All Securities Law, Franchise Law, and Take-Over Law Filings for 6/3/2018 through 6/9/2018
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1 Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings: 0 ALPS SERIES TR BEACON ACCELERATED RETURN STRATEGY FUND CLASS A DENVER, CO 6/8/ Registered ALPS SERIES TR BEACON PLANNED RETURN STRATEGY FUND CLASS A NUVEEN INVESTMENT FUNDS INC NUVEEN MID CAP VALUE FUND CLASS R6 ADVISORS INNER CIRCLE FUND 2 FROST CREDIT FUND A CLASS SHARES ADVISORS INNER CIRCLE FUND 2 FROST TOTAL RETURN BOND FUND A CLASS SHARES FT 7383 DORSEY WRIGHT RELATIVE STRENGTH TOP 50 SERIES 31 FT 7385 AQA LARGE CAP PORTFOLIO SERIES FT 7390 US INFRASTRUCTURE PORTFOLIO SRIES 15 DENVER, CO 6/8/ Registered CHICAGO, IL 6/8/ Registered BOSTON, MA 6/7/ Registered BOSTON, MA 6/7/ Registered WHEATON, IL 6/7/ Registered WHEATON, IL 6/7/ Registered WHEATON, IL 6/7/ Registered Page 1 of 10
2 FT 7391 ENERGY SELECT PORTFOLIO SERIES 68 All Securities Law, Franchise Law, and Take-Over Law Filings WHEATON, IL 6/7/ Registered FT 7392 WATER UTILITY & INFRASTRUCTURE SELECT PORTFOLIO SERIES 50 FT 7393 DIVIDEND EDGE PORTFOLIO SERIES 11 FT 7394 DIVIDEND STRENGTH OPPORTUNITY PORTFOLIO SERIES 5 FT 7395 HIGH DIVIDEND EQUITY ALLOCATION PORTFOLIO SERIES 28 FT 7399 STONEBRIDGE PREFERRED INCOME PORTFOLIO SERIES 18 FT 7400 STRATEGIC DIVIDEND SELECT PORTFOLIO SERIES 33 FT 7405 DORSEY WRIGHT RELATIVE STRENGTH DIVIDEND PORTFOLIO SERIES 31 FT 7413 BALANCED INCOME PORTFOLIO SERIES 62 FT 7420 BIOTECHNOLOGY PORTFOLIO SERIES 41 FT 7422 CYCLICAL STRENGTH PORTFOLIO SERIES 22 FT 7424 MUNICIPAL INCOME & DIVIDEND GROWERS PORTFOLIO SERIES 14 FT 7428 STRATEGIC INCOME ADVANTAGE OPPORTUNITY CLOSED END PORTFOLIO SERIES 7 WHEATON, IL 6/7/ Registered WHEATON, IL 6/7/ Registered WHEATON, IL 6/7/ Registered WHEATON, IL 6/7/ Pending-Cleared WHEATON, IL 6/7/ Registered WHEATON, IL 6/7/ Registered WHEATON, IL 6/7/ Registered WHEATON, IL 6/7/ Registered WHEATON, IL 6/7/ Registered WHEATON, IL 6/7/ Registered WHEATON, IL 6/7/ Registered WHEATON, WI 6/7/ Registered Page 2 of 10
3 FT 7474 DIVIDEND & INCOME SELECT CLOSED END PORTFOLIO SERIES 67 WHEATON, IL 6/7/ Registered FT 7478 SENIOR LOAN SELECT CLOSED END PORTFOLIO SERIES 32 AB CAP FUND INC AB FLEXFEE EMERGING MARKETS GROWTH PORTFOLIO ADVISOR CLASS AB CAP FUND INC AB FLEXFEE INTERNATIONAL STRATEGIC CORE PORTFOLIO ADVISOR CLASS WHEATON, IL 6/7/ Registered NEW YORK, NY 6/6/ Registered NEW YORK, NY 6/6/ Registered INVESCO UNIT TR SERIES 1886 INVESCO UNIT TR SERIES 1887 INVESCO UNIT TR SERIES 1888 DOWNERS GROVE, IL DOWNERS GROVE, IL DOWNERS GROVE, IL 6/6/ Pending-Cleared 6/6/ Pending-Cleared 6/6/ Pending-Cleared INVESCO UNIT TR TAXABLE INCOME SERIES 609 INVESTMENT GRADE CORPORATE TR 5 8 YEAR SERIES 33 INVESTCO UNIT TR MUNICIPAL SERIES 1313 INVESTMENT GRADE MUNICIPAL TR 7 13 YEAR SERIES CORE ANGELS PORTFOLIO SERIES UBIQUITOUS OPPORTUNITIES PORTFOLIO SERIES DOWNERS GROVE, IL DOWNERS GROVE, IL 6/6/ Pending-Cleared 6/6/ Pending-Cleared MONUMENT, CO 6/4/ Registered MONUMENT, CO 6/4/ Registered Page 3 of 10
4 1869 AMERICAN RENAISSANCE PORTFOLIO CJL PORTFOLIO 1869 BUILDING AMERICA STRATEGY PORTFOLIO MONUMENT, CO 6/4/ Registered MONUMENT, CO 6/4/ Registered 1869 BUSINESS DEVELOPMENT CO OPPORTUNITIES PORTFOLIO 1869 COHEN & STEERS CONVERTIBLE & INCOME CLOSED END PORTFOLIO 1869 COHEN & STEERS MLP MIDSTREAM & ENERGY INCOME CLOSED END PORTFOLIO 1869 COHEN & STEERS MUNICIPAL CLOSED END PORTFOLIO 1869 COHEN & STEERS SENIOR VARIABLE & INCOME CLOSED END PORTFOLIO 1869 GLOBAL BASIC MATERIALS PORTFOLIO 1869 HEALTH CARE OPPORTUNITIES PORTFOLIO MONUMENT, CO 6/4/ Registered MONUMENT, CO 6/4/ Registered MONUMENT, CO 6/4/ Registered MONUMENT, CO 6/4/ Registered MONUMENT, CO 6/4/ Registered MONUMENT, CO 6/4/ Registered MONUMENT, CO 6/4/ Registered Page 4 of 10
5 1869 SMALL MID CAP ADVANTAGE PORTFOLIO MONUMENT, CO 6/4/ Registered GUGGENHEIM DEFINED PORTFOLIOS SERIES 1766 EQUITY & INCOME PORTFOLIO OF CEFS SERIES 44 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1767 COVERED CALL & INCOME PORTFOLIO OF CEFS SERIES 41 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1768 INCOME & TREASURY LTD DURATION PORTFOLIO OF FUNDS SERIES 56 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1769 DIVERSIFIED INCOME WAVE PORTFOLIO SERIES 69 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1770 UBS OPPORTUNISTIC EQUITY INCOME LIST EQUITY ADVISORY GROUP SERIES 13 PRUDENTIAL GLOBAL TOTAL RETURN FUND INC PRUDENTIAL GLOBAL TOTAL RETURN FUND CLASS R4 PRUDENTIAL GLOBAL TOTAL RETURN FUND INC PRUDENTIAL GLOBAL TOTAL RETURN FUND CLASS R2 PORTFOLIOS 12 PRUDENTIAL GLOBAL REAL ESTATE FUND CLASS R2 CHICAGO, IL 6/4/ Registered CHICAGO, IL 6/4/ Registered CHICAGO, IL 6/4/ Registered CHICAGO, IL 6/4/ Registered CHICAGO, IL 6/4/ Registered NEWARK, NJ 6/4/ Registered NEWARK, NJ 6/4/ Registered NEWARK, NJ 6/4/ Registered Page 5 of 10
6 PORTFOLIOS 12 PRUDENTIAL GLOBAL REAL ESTATE FUND CLASS R4 NEWARK, NJ 6/4/ Registered PORTFOLIOS INC 10 PRUDENTIAL QMA MID CAP VALUE FUND CLASS R2 PORTFOLIOS INC 10 PRUDENTIAL QMA MID CAP VALUE FUND CLASS R4 PORTFOLIOS INC 15 PRUDENTIAL HIGH YIELD FUND CLASS R2 PORTFOLIOS INC 15 PRUDENTIAL HIGH YIELD FUND CLASS R4 PORTFOLIOS INC 17 PRUDENTIAL TOTAL RETURN BOND FUND CLASS R2 PORTFOLIOS INC 17 PRUDENTIAL TOTAL RETURN BOND FUND CLASS R4 PORTFOLIOS INC PRUDENTIAL JENNISON GROWTH FUND CLASS R2 PORTFOLIOS INC PRUDENTIAL JENNISON GROWTH FUND CLASS R4 PRUDENTIAL JENNISON MID CAP GROWTH FUND INC CLASS R2 NEWARK, NJ 6/4/ Registered NEWARK, NJ 6/4/ Registered NEWARK, NJ 6/4/ Registered NEWARK, NJ 6/4/ Registered NEWARK, NJ 6/4/ Registered NEWARK, NJ 6/4/ Registered NEWARK, NJ 6/4/ Registered NEWARK, NJ 6/4/ Registered NEWARK, NJ 6/4/ Registered Page 6 of 10
7 PRUDENTIAL JENNISON MID CAP GROWTH FUND INC CLASS R4 NEWARK, NJ 6/4/ Registered PRUDENTIAL JENNISON SMALL CO FUND INC CLASS R2 PRUDENTIAL JENNISON SMALL CO FUND INC CLASS R4 PRUDENTIAL SHORT TERM CORPORATE BOND FUND INC CLASS R2 PRUDENTIAL SHORT TERM CORPORATE BOND FUND INC CLASS R4 TARGET PORTFOLIO TR PRUDENTIAL QMA SMALL CAP VALUE FUND CLASS R4 TARGET PORTFOLIO TR PRUDENTIAL QMA SMALL CAP VALUE FUND CLASS R2 NEWARK, NJ 6/4/ Registered NEWARK, NJ 6/4/ Registered NEWARK, NJ 6/4/ Registered NEWARK, NJ 6/4/ Registered NEWARK, NJ 6/4/ Registered NEWARK, NJ 6/4/ Registered Number of Investment Company Filings: 67 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities BIOMATICS CAPITAL PARTNERS 2 LP SEATTLE, WA 6/8/ Filed EDISON PARTNERS 9 LP PRINCETON, NJ 6/8/ Filed FACTORYFIX INC CHICAGO, IL 6/8/ Filed FOREVERCAR HOLDINGS INC CHICAGO, IL 6/8/ Filed FOREVERCAR HOLDINGS INC CHICAGO, IL 6/8/ Filed Page 7 of 10
8 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities MADRONA VENTURE FUND 7 LP SEATTLE, WA 6/8/ Filed OAKTREE SPECIAL SITUATIONS FUND 2 FEEDER LP LOS ANGELES, CA 6/8/ Filed OAKTREE SPECIAL SITUATIONS FUND 2 LP LOS ANGELES, CA 6/8/ Filed POLLCORE INC DES PLAINES, IL 6/8/ Filed REDHAWK MINERALS FUND 2 LP RIVERVIEW INVESTMENTS LLC TAK COMMUNICATIONS WI LLC DALLAS, TX 6/8/ Filed EVANSVILLE, IN 6/8/ Filed SIOUX FALLS, SD 6/8/ Filed VICIS INC SEATTLE, WA 6/8/ Filed WRR MADISON 7 LP ZIEGLER EMPLOYEE OPPORTUNITY FUND 1 LLC FORT WORTH, TX 6/8/ Filed MILWAUKEE, WI 6/8/ Filed HOMETOWN BANCORP LTD N FOND DU LAC, WI 6/7/ Filed PALMETTO CATASTROPHE FUND LP HAMILTON, AA 6/7/ Filed TRIGRAN INVESTMENTS LP 2 NORTHBROOK, IL 6/6/ Filed XLS ENERGY INC LAS VEGAS, NV 6/4/ Filed Number of Regulation D Notice Filings: 19 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Maid Right, LLC Charlottesville, VA 6/9/ Registered Page 8 of 10
9 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Sears Home & Business Franchises, Inc. / Sears Maid Services Sears Home & Business Franchises, Inc. / Sears Handyman Solutions SEARS HOME & BUSINESS FRANCHISES, INC. / Sears Garage Door SEARS HOME & BUSINESS FRANCHISES, INC. / Sears Carpet & Upholstery Care SEARS HOME & BUSINESS FRANCHISES, INC. / Sears Air Duct Cleaning Meathead Franchising, LLC / MEATHEADS Scotty's Brewhouse Franchising, LLC / Scotty's Brewhouse SHH Group, LLC / Sculpture Hospitality Financial Achievements Corporation / Orange Shoe Personal Fitness Columbus, OH 6/8/ Registered Columbus, OH 6/8/ Registered Columbus, OH 6/8/ Registered Columbus, OH 6/8/ Registered Columbus, OH 6/8/ Registered Chicago, IL 6/8/ Registered Indianapolis, IN 6/8/ Registered Toronto, ON 6/7/ Registered Deerfield, WI 6/7/ Registered Captain D's, LLC Nashville, TN 6/6/ Registered ESH Strategies Franchise LLC / Extended Stay America Charlotte, NC 6/6/ Registered Frenchies, LLC / Frenchies Littleton, CO 6/6/ Registered Two Maids Franchising, LLC / Two Maids & A Mop EVERYTHING YOGURT BRANDS, LLC / SOUTH PHILLY STEAKS & FRIES EVERYTHING YOGURT BRANDS, LLC / GREEN LEAF'S BEYOND GREAT SALADS/BANANAS SMOOTHIES & FROZEN YOGURT Birmingham, AL 6/5/ Registered Morristown, NJ 6/5/ Registered Morristown, NJ 6/5/ Registered VILLA PIZZA, LLC / VILLA PIZZA Morristown, NJ 6/5/ Registered EVOLVE REAL ESTATE GROUP, LLC / REALean SCA FRANCHISING CORP / SCA Appraisal Services All Securities Law, Franchise Law, and Take-Over Law Filings SWEETWATERS GROUP LLC / SWEETWATERS Number of Franchise Filings: 20 St. Petersburg, FL 6/5/ Registered BURBANK, CA 6/5/ Registered ANN ARBOR, MI 6/4/ Registered Page 9 of 10
10 Corporate Take-Over Law Filings Made with DFI s Securities Takeover Filing Reference Number of Takeover Filings: 0 Date Page 10 of 10
All Securities Law, Franchise Law, and Take-Over Law Filings for 12/2/2018 through 12/8/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings: 0 FT 7689 (Preferred
All Securities Law, Franchise Law, and Take-Over Law Filings for 11/26/2017 through 12/2/2017
Securities Law Registration Filings Made with DFI s Securities ANGEL OAK STRATEGIC CREDIT FUND Number of Registration Filings: 1 MILWAUKEE, WI 12/1/2017 00824070-01 Registered Securities Law Exemption
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/29/2017 through 2/4/2017
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities MEAD & HUNT COMPANIES INC MIDDLETON, WI 2/3/2017
All Securities Law, Franchise Law, and Take-Over Law Filings for 10/29/2017 through 11/4/2017
Securities Law Registration Filings Made with DFI s Securities GRACEPOINT CHURCH BREMERTON, WA 11/1/2017 00819517-02 Pending Number of Registration Filings: 1 Securities Law Exemption Filings Made with
All Securities Law, Franchise Law, and Take-Over Law Filings for 2/12/2017 through 2/18/2017
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities TRILINC GLOBAL IMPACT FUND LLC MANHATTAN BEACH,
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/1/2017 through 1/7/2017
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 KNIGHTSCOPE INC Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings:
All Securities Law, Franchise Law, and Take-Over Law Filings for 12/9/2018 through 12/15/2018
Securities Law Registration Filings Made with DFI s Securities Bethel Presbyterian Church Marlborough, MA 12/12/2018 849526-02 Pending Number of Registration Filings: 1 Securities Law Exemption Filings
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/28/2018 through 2/3/2018
CNL HEALTHCARE PROPERTIES 2 INC Securities Law Registration Filings Made with DFI s Securities ORLANDO, FL 2/2/2018 00832026-01 Registered BLACK CREEK DIVERSIFIED PROPERTY FUND INC DENVER, CO 1/29/2018
All Securities Law, Franchise Law, and Take-Over Law Filings for 9/30/2018 through 10/6/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings: 0 Securities Law
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/27/2017 through 9/2/2017
Securities Law Registration Filings Made with DFI s Securities FS CREDIT INCOME FUND I HEART CHURCH CHURCH IN WV INC Number of Registration Filings: 2 PHILADELPHIA, PA MOUNT HOPE, WV 8/28/2017 00812789-01
All Securities Law, Franchise Law, and Take-Over Law Filings for 9/23/2018 through 9/29/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities SIERRA INCOME CORP NEW YORK, NY 9/24/2018 848612-08
All Securities Law, Franchise Law, and Take-Over Law Filings for 11/25/2018 through 12/1/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings: 0 Securities Law
All Securities Law, Franchise Law, and Take-Over Law Filings for 9/16/2018 through 9/22/2018
Securities Law Registration Filings Made with DFI s Securities Division AIP ALTERNATIVE LENDING FUND A AIP ALTERNATIVE LENDING FUND P AMERICAN BEACON APOLLO TOTAL RETURN FUND CLASS Y SHARES PROSPER FUNDING
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/15/2017 through 1/21/2017
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities RED RIBBON RANCH LLC LA CANADA, CA 1/20/2017
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/6/2017 through 8/12/2017
Securities Law Registration Filings Made with DFI s Securities GRIFFIN INSTITUTIONAL ACCESS CREDIT FUND CLASS L SHARES EL SEGUNDO, 8/11/2017 00811784-01 Registered OAKTREE REAL ESTATE INCOME TR INC LOS
All Securities Law, Franchise Law, and Take-Over Law Filings for 5/20/2018 through 5/26/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities WESLEYAN INVESTMENT FOUNDATION INC Number of
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/14/2018 through 1/20/2018
Securities Law Registration Filings Made with DFI s Securities JONES LANG LASALLE INCOME PROPERTY TR INC CHICAGO, IL 1/19/2018 00830973-01 Pending Number of Registration Filings: 1 Securities Law Exemption
All Securities Law, Franchise Law, and Take-Over Law Filings for 6/10/2018 through 6/16/2018
Securities Law Registration Filings Made with DFI s Securities BLACKSTONE REAL ESTATE INCOME TR INC Number of Registration Filings: 1 NEW YORK, NY 6/14/2018 00840772-01 Pending Securities Law Exemption
All Securities Law, Franchise Law, and Take-Over Law Filings for 2/5/2017 through 2/11/2017
Securities Law Registration Filings Made with DFI s Securities GRACE REDEEMER CHURCH NY NONPROFIT CORP TEANECK, NJ 2/8/2017 00797023-02 Pending PHILLIPS EDISON GROCERY CENTER REIT 3 INC CINCINNATI, OH
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/5/2018 through 8/11/2018
All Securities Law, Franchise Law, and Take-Over Law Filings Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with
All Securities Law, Franchise Law, and Take-Over Law Filings for 11/12/2017 through 11/18/2017
Securities Law Registration Filings Made with DFI s Securities SOLERA NATIONAL BANCORP INC Number of Registration Filings: 1 LAKEWOOD, CO 11/13/2017 00821024-01 Pending Securities Law Exemption Filings
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/7/2018 through 1/13/2018
Securities Law Registration Filings Made with DFI s Securities BLACKSTONE GSO FLOATING RATE ENHANCED INCOME FUND INSTITUTIONAL CLASS I Number of Registration Filings: 1 NEW YORK, NY 1/12/2018 00829869-01
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/12/2018 through 8/18/2018
Securities Law Registration Filings Made with DFI s Securities BLACKSTONE GSO FLOATING RATE ENHANCED INCOME FUND ADVISORY CLASS D NEW YORK, NY 8/17/2018 00844968-01 Registered FS MULTI ALTERNATIVE INCOME
All Securities Law, Franchise Law, and Take-Over Law Filings for 7/1/2018 through 7/7/2018
Securities Law Registration Filings Made with DFI s Securities PREDEX PREDEX CLASS I HAUPPAUGE, NY 7/3/2018 00841912-01 Registered AMERIN BEACON SOUND POINT ENHANCED INCOME FUND Y CLASS IRVING, TX 7/2/2018
All Securities Law, Franchise Law, and Take-Over Law Filings for 12/16/2018 through 12/22/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities Hayes Brokerage Opportunity Fund #1, LLC Number
All Securities Law, Franchise Law, and Take-Over Law Filings for 2/4/2018 through 2/10/2018
Securities Law Registration Filings Made with DFI s Securities ACCESS FUND INC ACCESS FUND I SHARES ACCESS FUND INC ACCESS FUND W SHARES Number of Registration Filings: 2 ROCHESTER, NY 2/9/2018 00832143-01
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Securities Law Registration Filings Made with DFI s Securities HINES GLOBAL REIT 2 INC HOUSTON, TX 8/23/2017 00812947-01 Pending Number of Registration Filings: 1 Securities Law Exemption Filings Made
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/19/2018 through 8/25/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities FUNDRISE GROWTH EREIT 2, DC 8/23/2018 00845559-25
All Securities Law, Franchise Law, and Take-Over Law Filings for 10/28/2018 through 11/3/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings: 0 Securities Law
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/26/2018 through 9/1/2018
Securities Law Registration Filings Made with DFI s Securities OFI RLYLE PRIVATE CREDIT FUND CLASS I CENTENNIAL, CO 8/29/2018 00845871-01 Registered OFI RLYLE PRIVATE CREDIT FUND CLASS L OFI RLYLE PRIVATE
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