All Securities Law, Franchise Law, and Take-Over Law Filings for 8/6/2017 through 8/12/2017
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1 Securities Law Registration Filings Made with DFI s Securities GRIFFIN INSTITUTIONAL ACCESS CREDIT FUND CLASS L SHARES EL SEGUNDO, 8/11/ Registered OAKTREE REAL ESTATE INCOME TR INC LOS ANGELES, 8/11/ Pending-Cleared Number of Registration Filings: 2 Securities Law Exemption Filings Made with DFI s Securities SPARK NEW ZEALAND LTD AUCKLAND 1142, AA Number of Exemption Filings: 1 8/11/ Not Disallowed 1ST TR COMBINED SERIES 559 TX EX MUNICIPAL INCOME TR YEAR SERIES 31 WHEATON, IL 8/11/ Registered FT 6754 TECHNOLOGY SELECT PORTFOLIO SERIES 66 FT 6852 TACTIL INCOME PORTFOLIO SERIES 49 FT 6853 SABRIENT DIVIDEND PORTFOLIO SERIES 20 FT 6855 PITAL STRENGTH BUY WRITE PORTFOLIO SERIES 34 FT 6856 HIGH DIVIDEND EQUITY PORTFOLIO SERIES 33 WHEATON, IL 8/11/ Registered WHEATON, IL 8/11/ Registered WHEATON, IL 8/11/ Registered WHEATON, IL 8/11/ Registered WHEATON, IL 8/11/ Registered Page 1 of 7
2 FT 6857 AMERIN AGENDA PORTFOLIO SERIES 3 WHEATON, IL 8/11/ Registered FT 6858 CORPORATE TAX REFORM PORTFOLIO SERIES 3 FT 6859 SABRIENT BAKERS DOZEN PORTFOLIO AUGUST 2017 SERIES FT 6878 ADR PORTFOLIO AUGUST 2017 SERIES FT 6896 CHAIKIN LOW BETA GROWTH PORTFOLIO SERIES 8 FT 6902 CONTENT LEADERS OPPORTUNITY PORTFOLIO SERIES 5 FT 6903 CONTENT LEADERS PORTFOLIO SERIES 6 FT 6930 BALANCED INCOME SELECT PORTFOLIO SERIES 71 FT 6934 MUNICIPAL INCOME SELECT CLOSED END PORTFOLIO SERIES 88 SMART TR 333 SMART TR ENHANCED VALUE 2 TR SERIES 18 WHEATON, IL 8/11/ Registered WHEATON, IL 8/11/ Pending-Cleared WHEATON, IL 8/11/ Registered WHEATON, IL 8/11/ Registered WHEATON, IL 8/11/ Registered WHEATON, IL 8/11/ Registered WHEATON, IL 8/11/ Registered WHEATON, IL 8/11/ Registered PARSIPPANY, NJ 8/11/ Registered STADION ALTERNATIVE INCOME FUND CLASS T SHARES 8/11/ Registered STADION TACTIL DEFENSIVE FUND CLASS T SHARES 8/11/ Registered Page 2 of 7
3 STADION TACTIL GROWTH FUND CLASS T SHARES 8/11/ Registered STADION TRILOGY ALTERNATIVE RETURN FUND CLASS T SHARES 8/11/ Registered PORTFOLIOS SERIES 1645 GUGGENHEIM REIT PORTFOLIO SERIES 17 PORTFOLIOS SERIES 1646 ALTERNATIVE INCOME PORTFOLIO SERIES 9 PORTFOLIOS SERIES 1647 DIVERSIFIED CREDIT PORTFOLIO OF ETFS SERIES 11 PORTFOLIOS SERIES 1648 DIVIDEND GROWTH PORTFOLIO SERIES 12 LISLE, IL 8/9/ Registered LISLE, IL 8/9/ Registered LISLE, IL 8/9/ Registered LISLE, IL 8/9/ Registered INVESCO UNIT TR MUNICIPAL SERIES 1299 INSURED MUNICIPALS INCOME TR SERIES 695 8/8/ Pending-Cleared INVESCO UNIT TR MUNICIPAL SERIES 1300 QUALITY MUNICIPAL INCOME TR 20 PLUS YEAR SERIES 197 8/8/ Pending-Cleared 1797 NEW WORLD LEADERS PORTFOLIO /8/ Pending-Cleared 1798 SELECT 10 INDUTRIAL PORTFOLIO /8/ Pending-Cleared /8/ Pending-Cleared Page 3 of 7
4 1800 All Securities Law, Franchise Law, and Take-Over Law Filings 8/8/ Pending-Cleared 1803 GLOBAL WATER PORTFOLIO /8/ Pending-Cleared 1805 CLOSED END STRATEGY SELECT OPPORTUNITY PORTFOLIO /8/ Pending-Cleared INVESCO UNIT TR TAXABLE INCOME SERIES 605 INVESTMENT GRADE CORPORATE TR 5 8 YEAR SERIES 29 INVESCO UNIT TR TAXABLE INCOME SERIES 606 HIGH YIELD CORPORATE TR 4 7 YEAR SERIES 13 8/8/ Pending-Cleared 8/8/ Pending-Cleared NORTHERN LIGHTS FUND TR 4 MOERUS WORLDWIDE VALUE FUND INSTITUTIONAL CLASS BROWN ADVISORY FUNDS BROWN ADVISORY SUSTAINABLE BOND FUND INVESTOR CLASS FT 6759 DOW TARGET 10 AUG 17 TERM FT 6770 MLP CLOSED END PORTFOLIO SERIES 17 FT 6827 EQUITY INCOME OPPORTUNITY PORTFOLIO SERIES FT 6839 DIVERSIFIED INCOME & GROWTH PORTFOLIO FALL 2017 SERIES PORTFOLIOS SERIES 1643 CORPORATE HIGH YIELD & INCOME PORTFOLIO OF CEFS SERIES 32 OMAHA, NE 8/8/ Registered MILWAUKEE, WI 8/7/ Registered WHEATON, IL 8/7/ Registered WHEATON, IL 8/7/ Registered WHEATON, IL 8/7/ Registered WHEATON, IL 8/7/ Registered LISLE, IL 8/7/ Registered Page 4 of 7
5 PORTFOLIOS SERIES 1644 PRECIOUS METALS & MINERS PORTFOLIO SERIES 13 SARATO ADVANTAGE TR JAMES ALPHA MANAGED RISK DOMESTIC EQUITY PORTFOLIO CLASS I SHARES LISLE, IL 8/7/ Registered HAUPPAUGE, NY 8/7/ Registered SARATO ADVANTAGE TR JAMES ALPHA MANAGED RISK EMERGING MARKETS EQUITY PORTFOLIO CLASS I SHARES SEI DAILY INCOME TR GOVERNMENT FUND CLASS A SHARES HAUPPAUGE, NY 8/7/ Registered OAKS, PA 8/7/ Registered Number of Investment Company Filings: 45 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities BOOSTER FUELS INC BURLINME, 8/11/ Filed PITAL PARTNERS PRIVATE EQUITY INCOME FUND 3 LP NORWALK, CT 8/11/ Filed CIFC CLO OPPORTUNITY HOLDINGS FUND 2 LP NEW YORK, NY 8/11/ Filed COATUE KONA 3 LP NEW YORK, NY 8/11/ Filed COVINGTON GLEN HOLDINGS LLC EXCHANGERIGHT NET LEASED PORTFOLIO 16 DST NEW YORK, NY 8/11/ Filed PASADENA, 8/11/ Filed HUDGINS CLAPTON 3D JOINT VENTURE ICONIQ ACCESS 62 LP SAN ANTONIO, TX 8/11/ Filed 8/11/ Filed Page 5 of 7
6 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities INTRINSIC EDGE MARKET NEUTRAL OFFSHORE LTD All Securities Law, Franchise Law, and Take-Over Law Filings CHIGO, IL 8/11/ Filed LIM INNOVATIONS INC PART OF PLAN LTD LIABILITY CO 8/11/ Filed NEW YORK, NY 8/11/ Filed RS LENDING INC SNIPPET CORP STRIPE INC STURGEON BAY, WI 8/11/ Filed 8/11/ Filed 8/11/ Filed TELOS PITAL FUND 1 LLC PASADENA, 8/11/ Filed VOLPI PITAL INVESTMENTS LP WWEX UNI TOPCO HOLDINGS LLC LONDON, AA 8/11/ Filed DALLAS, TX 8/11/ Filed WATERS OF EXCELSIOR INVESTORS LLC MINNETONKA, MN 8/10/ Filed RING WITH HONOR LLC MILWAUKEE, WI 8/7/ Filed Number of Regulation D Notice Filings: 19 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date OMEX INTERNATIONAL INC / OMEX ESH Strategies Franchise LLC / Extended Stay America MH Franchising L.L.C. / Mosquito Hunters Le Macaron Development LLC / Le Macaron HUDDLE HOUSE, INC / HUDDLE HOUSE TailWaggers Franchise Trio / TailWaggers Doggy Daycare MP HILL, PA 8/11/ Registered Charlotte, NC 8/10/ Registered Grand Rapids, MI 8/9/ Registered Sarasota, FL 8/9/ Registered Sandy Springs, 8/9/ Registered Greenville, WI 8/9/ Registered Page 6 of 7
7 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Tough Mudder Bootcamp Franchising LLC / Tough Mudder Bootcamp BlueFrog Plumbing and Drain, LLC / BlueFrog Plumbing + Drain Shred415 Franchising, LLC / Shred415 (Area Representative) The Intelligent Office System, LLC / The Intelligent Office All Securities Law, Franchise Law, and Take-Over Law Filings Number of Franchise Filings: 10 Brooklyn, NY 8/8/ Registered Phoenix, AZ 8/7/ Registered Chicago, IL 8/7/ Registered Boulder, CO 8/7/ Registered Corporate Take-Over Law Filings Made with DFI s Securities Takeover Filing Reference Number of Takeover Filings: 0 Date Page 7 of 7
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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 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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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 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 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 Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities MEAD & HUNT COMPANIES INC MIDDLETON, WI 2/3/2017
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