All Securities Law, Franchise Law, and Take-Over Law Filings for 1/14/2018 through 1/20/2018
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1 Securities Law Registration Filings Made with DFI s Securities JONES LANG LASALLE INCOME PROPERTY TR INC CHICAGO, IL 1/19/ Pending Number of Registration Filings: 1 Securities Law Exemption Filings Made with DFI s Securities INLAND RESIDENTIAL PROPERTIES TR INC OAK BROOK, IL 1/16/ Not Disallowed LIONHEART CIDER LLC Number of Exemption Filings: 2 MINNEAPOLIS, MN 1/16/ Not Disallowed CONESTOGA FUNDS CONESTOGA SMID CAP FUND INVESTORS CLASS CINCINNATI, OH 1/19/ Registered CLASS A SHARES CLASS B SHARES CLASS C SHARES CLASS I SHARES BOSTON, MA 1/17/ Registered BOSTON, MA 1/17/ Registered BOSTON, MA 1/17/ Registered BOSTON, MA 1/17/ Registered Page 1 of 7
2 CLASS R1 SHARES BOSTON, MA 1/17/ Registered CLASS R2 SHARES CLASS R3 SHARES CLASS R4 SHARES CLASS R6 SHARES 1ST TR COMBINED SERIES 568 TX EX MUNICIPAL INCOME TR YEAR SERIES 32 ADVISORS DISCIPLINED TR 1854 INFLATION SENSITIVE DIVIDEND PORTFOLIO SERIES Q HIMCO PORTFOLIO ADVISORS DISCIPLINED TR 1855 BRIC ADVANTAGE PORTFOLIO SERIES ADVISORS DISCIPLINED TR ASSET ALLOCATION PORTFOLIO SERIES Q FUND ALPHAONE NEXTGEN TECHNOLOGY FUND INVESTOR CLASS SHARES FUND ALPHAONE NEXTGEN TECHNOLOGY FUND INSTITUTIONAL CLASS SHARES BOSTON, MA 1/17/ Registered BOSTON, MA 1/17/ Registered BOSTON, MA 1/17/ Registered BOSTON, MA 1/17/ Registered WHEATON, IL 1/16/ Registered MONUMENT, CO 1/16/ Registered MONUMENT, CO 1/16/ Registered MONUMENT, CO 1/16/ Registered BOSTON, MA 1/16/ Registered BOSTON, MA 1/16/ Registered Page 2 of 7
3 FUND ALPHAONE VIMCO SMALL CAP VALUE FUND INSTITUTIONAL CLASS SHARES FUND ALPHAONE VIMCO SMALL CAP VALUE FUND INVESTOR CLASS SHARES All Securities Law, Franchise Law, and Take-Over Law Filings BOSTON, MA 1/16/ Registered BOSTON, MA 1/16/ Registered ALLIANZ FUNDS MULTI STRATEGY TR ALLIANZGI REAL ESTATE DEBT FUND INSTITUTIONAL CLASS ALLIANZ FUNDS MULTI STRATEGY TR ALLIANZGI REAL ESTATE DEBT FUND CLASS P CENTRE FUNDS CENTRE GLOBAL INFRASTRUCTURE FUND INVESTOR CLASS NEW YORK, NY 1/16/ Registered NEW YORK, NY 1/16/ Registered NEW YORK, NY 1/16/ Pending-Cleared CHARLES SCHWAB FAMILY OF FUNDS SCHWAB US TREASURY MONEY FUND INVESTOR SHARES SAN FRANCISCO, CA 1/16/ Registered DREYFUS INVESTMENT FUNDS DREYFUS BOSTON CO SMALL MID CAP GROWTH FUND CLASS Z FT ST TR ETF ALLOCATION PORTFOLIO SERIES 23 FT 7119 ETF GROWTH & INCOME JAN 18 FT 7120 BROOKMONT EQUITY DIVIDEND PORTFOLIO SERIES 14 FT 7121 TECHNOLOGY OPPORTUNITY PORTFOLIO SERIES 3 NEW YORK, NY 1/16/ Registered WHEATON, IL 1/16/ Registered WHEATON, IL 1/16/ Registered WHEATON, IL 1/16/ Registered WHEATON, IL 1/16/ Registered Page 3 of 7
4 FT 7122 SABRIENT BAKERS DOZEN PORTFOLIO JANUARY 2018 SERIES WHEATON, IL 1/16/ Registered FT 7124 EMERGING MARKETS STRENGTH PORTFOLIO SERIES 39 FT 7142 UBS FALLEN ANGELS EQUITY ADVISOR GROUP PORTFOLIO FT 7143 INFLATION HEDGE PORTFOLIO SERIES 36 FT 7144 BOFA MERRILL LYNCH 11 STOCKS FOR 2018 PORTFOLIO FT 7146 INCOME DIVIDEND EQUITY ALLOCATION IDEA PORTFOLIO SERIES 15 FT 7168 DEEP VALUE DIVIDEND OPPORTUNITY PORTFOLIO SERIES 3 FT 7195 STRATEGIC INCOME ADVANTAGE SELECT CLOSED END PORTFOLIO SERIES 72 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1695 BOFA MERRILL LYNCH TAX REFORM BENEFICIARIES PORTFOLIOO SERIES 1 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1710 GUGGENHEIM US HIGH DIVIDEND STRATEGY PORTFOLIO SERIES 27 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1710 GUGGENHEIM US SMID HIGH DIVIDEND PORTFOLIO SERIES 27 WHEATON, IL 1/16/ Registered WHEATON, IL 1/16/ Registered WHEATON, IL 1/16/ Registered WHEATON, IL 1/16/ Registered WHEATON, IL 1/16/ Registered WHEATON, IL 1/16/ Registered WHEATON, IL 1/16/ Registered LISLE, IL 1/16/ Registered LISLE, IL 1/16/ Registered LISLE, IL 1/16/ Registered Page 4 of 7
5 OPPENHEIMER INTEGRITY FUNDS OPPENHEIMER GLOBAL UNCONSTRAINED BOND FUND CLASS I SHARES DENVER, CO 1/16/ Registered OPPENHEIMER INTEGRITY FUNDS OPPENHEIMER GLOBAL UNCONSTRAINED BOND FUND CLASS Y SHARES OPPENHEIMER INTEGRITY FUNDS OPPENHEIMER GLOBAL UNCONSTRAINED BOND FUND CLASS A SHARES SCHRODER SERIES TR SCHRODER CORE BOND FUND R6 SHARES SMART TR 362 SMART TR DORSEY WRIGHT INTERNATIONAL MOMENTUM TR SERIES 10 SMART TR 362 SMART TR MILLER HOWARD NORTH AMERICAN ENERGY OPPORTUNITIES TR SERIES 9 DENVER, CO 1/16/ Registered DENVER, CO 1/16/ Registered NEW YORK, NY 1/16/ Registered PARSIPPANY, NJ 1/16/ Registered PARSIPPANY, NJ 1/16/ Registered STARBOARD INVESTMENT TR ROUMELL OPPORTUNISTIC VALUE FUND INSTITUTIONAL CLASS ROCKY MOUNT, NC Number of Investment Company Filings: 45 1/16/ Registered Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities 3RD ELEMENT INC GREEN BAY, WI 1/19/ Filed ALLIANCEBERNSTEIN DE BUSINESS TR AB GLOBAL RESEARCH INSIGHTS SERIES 2 AMAZING ENERGY OIL & GAS GO NEW YORK, NY 1/19/ Filed AMARILLO, TX 1/19/ Filed Page 5 of 7
6 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities AMC FUND 10 LLC ANDERSON POINTE INVESTMENTS LLC All Securities Law, Franchise Law, and Take-Over Law Filings NORTHRIDGE, CA 1/19/ Filed ROME, GA 1/19/ Filed BEECKEN PETTY OKEEFE FUND 5 LP CENTRAL PARK GROUP ALPINVEST CO INVESTMENT FUND 7 LLC COALG ON BROADWAY LTD LIABILITY CO CHICAGO, IL 1/19/ Filed NEW YORK, NY 1/19/ Filed NEW YORK, NY 1/19/ Filed CRESTLAWN INVESTORS LLC ALPHARETTA, GA 1/19/ Filed ENERGY TR PARTNERS 5 LP DALLAS, TX 1/19/ Filed FOUNTAIN PARC INVESTMENTS LLC HARBERT EUROPEAN REAL ESTATE FUND 5 LP INDIANAPOLIS, IN 1/19/ Filed BIRMINGHAM, AL 1/19/ Filed HEDGEPREMIER MILLENNIUM INTERNATIONAL LTD GRAND CAYMAN, AA 1/19/ Filed HUB JUNCTION EXCHANGE IP LLC ATLANTA, GA 1/19/ Filed PASSCO GREENWOOD DST IRVINE, CA 1/19/ Filed PDR INVESTMENTS LLC BOWLING GREEN, KY 1/19/ Filed REALTYSHARES 347 LLC LEWES, DE 1/19/ Filed REVOLVERCAP PARTNERS FUND LP NEW YORK, NY 1/19/ Filed ROYALE ENERGY INC EL CAJON, CA 1/19/ Filed STATON TECHIYA LLC DELRAY BEACH, FL 1/19/ Filed Page 6 of 7
7 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities SUNSTONE INCOME APARTMENTS 4 LLC All Securities Law, Franchise Law, and Take-Over Law Filings WESTLAKE VILLAGE, CA 1/19/ Filed THOMA BRAVO DISCOVER FUND 2 LP EWM ALTERNATIVE INVESTMENTS SPV LLC SERIES 5 FINTECH CHICAGO, IL 1/19/ Filed APPLETON, WI 1/16/ Filed IPSIDY INC LONG BEACH, NY 1/16/ Filed PRIMUS HIGH YIELD BOND FUND LP NEW YORK, NY 1/16/ Filed Number of Regulation D Notice Filings: 25 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date ANNEX BRANDS INC / Annex Brands Retail Centers Sharkey's Cuts for Kids International Co., LLC / Sharkey's Cuts for Kids Dough Nation Headquarters, LLC / Urban Bricks Pizza Alair Enterprises USA Inc. / Alair Homes Alair Enterprises USA Inc. / Alair Homes Spring Touch Franchising, LLC / Spring Touch Lawn and Pest Control Number of Franchise Filings: 6 SAN DIEGO, CA 1/19/ Registered Westport, CT 1/19/ Registered San Antonio, TX 1/18/ Registered Nanaimo, BC 1/17/ Registered Nanaimo, BC 1/17/ Registered St. Peter, MN 1/14/ Registered Corporate Take-Over Law Filings Made with DFI s Securities Takeover Filing Reference Number of Takeover Filings: 0 Date Page 7 of 7
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 1/28/2018 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 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 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 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
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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 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
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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 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
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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
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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
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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 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 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
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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 8/20/2017 through 8/26/2017
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
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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
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 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
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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
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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
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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
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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
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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
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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
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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
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Securities Law Registration Filings Made with DFI s Securities HEDGE FUND GUIDED PORTFOLIO SOLUTION Number of Registration Filings: 1 CHICAGO, IL 7/13/2018 00842088-01 Pending-Cleared Securities Law Exemption
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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
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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
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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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