All Securities Law, Franchise Law, and Take-Over Law Filings for 8/12/2018 through 8/18/2018
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1 Securities Law Registration Filings Made with DFI s Securities BLACKSTONE GSO FLOATING RATE ENHANCED INCOME FUND ADVISORY CLASS D NEW YORK, NY 8/17/ Registered FS MULTI ALTERNATIVE INCOME FUND PHILADELPHIA, PA 8/14/ Pending Number of Registration Filings: 2 Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings: 0 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities 1889 ADVISORS CORE EQUITY STRATEGY PORTFOLIO MONUMENT, CO 8/17/ Registered 1889 BAHL & GAYNOR INCOME GROWTH PORTFOLIO 1889 BLUE CHIP PORTFOLIO SERIES 1889 DIVIDEND ADVANTAGE PORTFOLIO 1889 DIVIDEND SUSTAINABILITY PORTFOLIO HARTFORD INVT MNGMT CMPY HIMCO PORT MONUMENT, CO 8/17/ Registered MONUMENT, CO 8/17/ Registered MONUMENT, CO 8/17/ Registered MONUMENT, CO 8/17/ Registered Page 1 of 8
2 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities 1889 DOW VALUE 10 PORTFOLIO MONUMENT, CO 8/17/ Registered 1889 ENERGY OPPORTUNITIES PORTFOLIO 1889 EUROPEAN SELECT PORTFOLIO CYRUS J LAWRENCE LLC CJL PORTFOLIO 1889 INTERNATIONAL HIGH 30 DIVIDEND PORTFOLIO 1889 MIN VOLATILITY EQUITY INCOME PORTFOLIO SERIES Q HARFORD INVST MNGMT HIMCO PORTFOLIO 1889 STRATEGIC FOUNDATIONS OF GROWTH PORTFOLIO 1889 STRATEGIC HIGH 80 DIVIDEND PORTFOLIO 1889 TACTICAL PLUS CLOSED END PORTFOLIO 15 MONTH 1889 UBIQUITOUS STRATEGY PORTFOLIO 15 MONTH ALLIANZ FUNDS ALLIANZGI SMALL CAP FUND CLASS R6 MONUMENT, CO 8/17/ Registered MONUMENT, CO 8/17/ Registered MONUMENT, CO 8/17/ Registered MONUMENT, CO 8/17/ Registered MONUMENT, CO 8/17/ Registered MONUMENT, CO 8/17/ Registered MONUMENT, CO 8/17/ Registered MONUMENT, CO 8/17/ Registered NEW YORK, NY 8/17/ Registered Page 2 of 8
3 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities ALLIANZ FUNDS MULTI STRATEGY TR ALLIANZGI SHORT TERM BOND FUND CLASS A NEW YORK, NY 8/17/ Registered ALLIANZ FUNDS MULTI STRATEGY TR ALLIANZGI SHORT TERM BOND FUND INSTITUTIONAL CLASS ALLIANZ FUNDS MULTI STRATEGY TR ALLIANZGI SHORT TERM BOND FUND CLASS P 2 ROADS SHARED TR REDWOOD ACTIVIST LEADERS FUND CLASS I 2 ROADS SHARED TR REDWOOD ALPHAFACTOR TACTICAL INTERNATIONAL FUND CLASS I 2 ROADS SHARED TR REDWOOD SYSTEMATIC MACRO SMART FUND CLASS I 2 ROADS SHARED TR WEALTHFRONT RISK PARITY FUND CLASS W COPELAND TR COPELAND SMID CAP DIVIDEND GROWTH FUND CLASS I NORTHERN LIGHTS FUND TR 2 BALTER INVENOMIC FUND INVESTOR CLASS NORTHERN LIGHTS FUND TR 3 COUNTERPOINT LONG SHORT EQUITY FUND CLASS A NORTHERN LIGHTS FUND TR 2 BALTER INVENOMIC FUND INSTITUTIONAL CLASS NEW YORK, NY 8/17/ Registered NEW YORK, NY 8/17/ Registered HAUPPAUGE, NY 8/15/ Registered HAUPPAUGE, NY 8/15/ Registered HAUPPAUGE, NY 8/15/ Registered HAUPPAUGE, NY 8/15/ Registered HAUPPAUGE, NY 8/15/ Registered HAUPPAUGE, NY 8/15/ Registered HAUPPAUGE, NY 8/15/ Registered HAUPPAUGE, NY 8/14/ Registered Page 3 of 8
4 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities NORTHERN LIGHTS FUND TR ALPHACORE STATISTICAL ARBITRAGE FUND CLASS I HAUPPAUGE, NY 8/14/ Registered 1ST TR COMBINED SERIES 579 TX EX MUNICIPAL INCOME TR SERIES 303 CAPITOL SERIES TR FULLER & THALER BEHAVIORAL MID CAP VALUE FUND INSTITUTIONAL SHARES FT 7484 DIVERSIFIED INCOME & GROWTH PORTFOLIO FALL 2018 SERIES FT 7485 SABRIENT BAKER'S DOZEN PORTFOLIO AUGUST 2018 SERIES FT 7506 HEALTH CARE SELECT PORTFOLIO SERIES 51 FT 7518 GLOBAL DIVIDEND PORTFOLIO SERIES 56 FT 7519 ADR PORTFOLIO AUGUST 2018 SERIES FT 7523 TECHNOLOGY DIVIDEND PORTFOLIO SERIES 27 FT 7534 SMID BIOTECHNOLOGY PORTFOLIO SERIES 3 FT 7544 BALANCED INCOME PORTFOLIO SERIES 63 FT 7545 SENIOR LOAN SELECT CLOSED END PORTFOLIO SERIES 33 WHEATON, IL 8/13/ Registered INDIANAPOLIS, IN 8/13/ Registered WHEATON, IL 8/13/ Registered WHEATON, IL 8/13/ Registered WHEATON, IL 8/13/ Registered WHEATON, IL 8/13/ Registered WHEATON, IL 8/13/ Registered WHEATON, IL 8/13/ Registered WHEATON, IL 8/13/ Registered WHEATON, IL 8/13/ Registered WHEATON, IL 8/13/ Registered Page 4 of 8
5 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities PORTFOLIOS SERIES 1787 DIVIDEND GROWTH PORTFOLIO SERIES 14 All Securities Law, Franchise Law, and Take-Over Law Filings CHICAGO, IL 8/13/ Registered PORTFOLIOS SERIES 1788 ZACKS INCOME ADVANTAGE STRATEGY PORTFOLIO SERIES 43 PORTFOLIOS SERIES 1789 DIVERSIFIED CREDIT PORTFOLIO OF ETFS SERIES 13 PORTFOLIOS SERIES 1790 DOW JONES SUSTAINABLE GROWTH PORTFOLIO SERIES 4 PORTFOLIOS SERIES 1791 CORE RETIREMENT PORTFOLIO SERIES 4 PORTFOLIOS SERIES 1792 BLUE CHIP GROWTH PORTFOLIO SERIES 19 FUND CLASS A SHARES FUND CLASS B SHARES FUND CLASS C SHARES FUND CLASS I SHARES FUND CLASS R1 SHARES CHICAGO, IL 8/13/ Registered CHICAGO, IL 8/13/ Registered CHICAGO, IL 8/13/ Registered CHICAGO, IL 8/13/ Registered CHICAGO, IL 8/13/ Registered BOSTON, MA 8/13/ Registered BOSTON, MA 8/13/ Registered BOSTON, MA 8/13/ Registered BOSTON, MA 8/13/ Registered BOSTON, MA 8/13/ Registered Page 5 of 8
6 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities FUND CLASS R2 SHARES All Securities Law, Franchise Law, and Take-Over Law Filings BOSTON, MA 8/13/ Registered FUND CLASS R3 SHARES FUND CLASS R4 SHARES FUND CLASS R6 SHARES SERIES PORTFOLIOS TR EQUABLE SHARES SMALL CAP FUND SERIES 1 CLASS I BOSTON, MA 8/13/ Registered BOSTON, MA 8/13/ Registered BOSTON, MA 8/13/ Registered WEST ALLIS, WI 8/13/ Registered USAA MUTUAL FUNDS TR INTERNATIONAL FUND R6 SHARES SAN ANTONIO, TX 8/13/ Registered Number of Investment Company Filings: 55 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities BCB BANCORP INC BAYONNE, NJ 8/17/ Filed BFG ISSAQUAH LLC WINTER PARK, FL 8/17/ Filed BODY IRON LLC HOWELL, MI 8/17/ Filed CINNAIRE FUND FOR HOUSING LP 33 LANSING, MI 8/17/ Filed CLICKSWITCH HOLDINGS INC MINNEAPOLIS, MN 8/17/ Filed COOPER SQUARE FUND 2 LP NEW YORK, NY 8/17/ Filed Page 6 of 8
7 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities GRANITE HALL MASTER FUND SERIES LLC CODA SERIES SEPARATE SERIES CHICAGO, IL 8/17/ Filed HAPPY BANCSHARES INC AMARILLO, TX 8/17/ Filed JOSEPH STONE SPECIAL OPPORTUNITY FUND LLC MINEOLA, NY 8/17/ Filed JOUST LABS INC DENVER, CO 8/17/ Filed MARQMETRIX INC SEATTLE, WA 8/17/ Filed RELAY HOLDINGS LLC NORFOLK, VA 8/17/ Filed RENERVA LLC PITTSBURGH, PA 8/17/ Filed ROERS CHANHASSEN LLC LONG LAKE, MN 8/17/ Filed ROERS SENIOR LIVING BURNSVILLE LLC RX3 VENTURES LP SEGRA INTERNATIONAL CORP LONG LAKE, MN 8/17/ Filed NEWPORT BEACH, CA 8/17/ Filed RICHMOND, BC 8/17/ Filed SMPI BORDEAUX SPV 3 LLC DOVER, DE 8/17/ Filed TAILORED CARE ENTERPRISES INC VEDANTRA PHARMACEUTICALS INC MADISON, WI 8/17/ Filed CAMBRIDGE, MA 8/17/ Filed VICIS INC SEATTLE, WA 8/17/ Filed VIREO HEALTH INC WHITE OAKS ALTERNATIVE STRATEGIES FUND SP INFRA VIA EUROPEAN FUND 4 SCSP MINNEAPOLIS, MN GRAND CAYMAN, AA SENNINGERBER G, AA 8/17/ Filed 8/17/ Filed 8/14/ Filed Number of Regulation D Notice Filings: 24 Page 7 of 8
8 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Namaste Nail Sanctuary, LLC / Namaste (Unit) Namaste Nail Sanctuary, LLC / Namaste (AR) Sirius Day Spa Franchising, LLC / Sirius Day Spa (Area Representative) Sirius Day Spa Franchising, LLC / Sirius Day Spa The Growler Guys, LLC / The Growler Guys Woodland Hills, CA Woodland Hills, CA 8/17/ Registered 8/17/ Registered Scottsdale, AZ 8/17/ Registered Scottsdale, AZ 8/17/ Registered Bend, OR 8/16/ Registered Playtri Franchising, LLC / Playtri Dallas, TX 8/13/ Registered BIMBO FOODS BAKERIES DISTRIBUTION, LLC / Bimbo Foods Bakeries Distribution or BFBD Earthgrains Distribution, LLC / Earthgrains Velofix Holdings USA, Inc. / Velofix Number of Franchise Filings: 9 HORSHAM, PA 8/13/ Registered Horsham, PA 8/13/ Registered Vancouver, BC 8/13/ Registered Corporate Take-Over Law Filings Made with DFI s Securities Takeover Filing Reference Number of Takeover Filings: 0 Date Page 8 of 8
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