All Securities Law, Franchise Law, and Take-Over Law Filings for 9/16/2018 through 9/22/2018
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1 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 LLC PROSPER MARKETPLACE INC FIVE 14 CHURCH PROVIDENCE BAPTIST CHURCH SALINAS VALLEY CHRISTIAN CHURCH INC VARIANT ALTERNATIVE INCOME FUND INSTITUTIONAL CLASS SHARES VARIANT ALTERNATIVE INCOME FUND INVESTOR CLASS SHARES Number of Registration Filings: 9 WEST CONSHOHOCKE N, PA WEST CONSHOHOCKE N, PA 9/20/ Registered 9/20/ Registered IRVING, TX 9/19/ Registered SAN FRANCISCO, CA NEW ALBANY, OH 9/19/ Registered 9/18/ Registered CLEVELAND, OH 9/18/ Registered SALINAS, CA 9/18/ Registered MILWAUKEE, WI 9/17/ Registered MILWAUKEE, WI 9/17/ Registered Securities Law Exemption Filings Made with DFI s Securities Division GRAYBAR ELECTRIC CO INC ST LOUIS, MO 9/20/ Not Disallowed BANCORP OF NEW GLARUS INC MCGREGOR BAPTIST CHURCH INC Number of Exemption Filings: 3 NEW GLARUS, WI 9/18/ Not Disallowed FORT MYERS, FL 9/17/ Not Disallowed Page 1 of 6
2 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities Division INDEPENDENCE GLOBAL TACTICAL ALLOCATION FUND CLASS A INDEPENDENCE GLOBAL TACTICAL ALLOCATION FUND INSTITUTIONAL CLASS INDEPENDENCE KS TX EX BOND FUND CLASS A INDEPENDENCE KS TX EX BOND FUND INSTITUTIONAL CLASS GALLERY TR MONDRIAN EMERGING MARKETS EQUITY FUND GALLERY TR MONDRIAN INTERNATIONAL GOVERNMENT FIXED INCOME FUND CALAMOS INVESTMENT TR CALAMOS INTERNATIONAL GROWTH FUND CLASS R6 SHARES 1ST STREIT OFFICE INC FT 7567 MARKET STRENGTH ALLOCATION OPPORTUNITY PORTFOLIO SERIES 6 FT 7568 TACTICAL INCOME PORTFOLIO SERIES 54 FT 7570 AEROSPACE & DEFENSE PORTFOLIO SERIES 22 FT 7601 EQUITY CLOSED END PORTFOLIO SERIES 50 FT 7602 MEGA CAP PORTFOLIO SERIES 50 FT 7607 LOW VOLATILITY PORTFOLIO SERIES 13 FT 7650 SILICON VALLEY OPPORTUNITY PORTFOLIO SERIES MANNING & NAPIER FUND INC OVERSEAS SERIES CLASS S DENVER, CO 9/21/ Filed DENVER, CO 9/21/ Filed DENVER, CO 9/21/ Filed DENVER, CO 9/21/ Filed OAKS, PA 9/21/ Filed OAKS, PA 9/21/ Filed MILWAUKEE, WI 9/20/ Filed LOS ANGELES, CA 9/19/ Filed WHEATON, IL 9/19/ Filed WHEATON, IL 9/19/ Filed WHEATON, IL 9/19/ Filed WHEATON, IL 9/19/ Filed WHEATON, IL 9/19/ Filed WHEATON, IL 9/19/ Filed WHEATON, IL 9/19/ Filed FAIRPORT, NY 9/19/ Filed Page 2 of 6
3 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities Division 1ST TR COMBINED SERIES 581 TX EX MUNICIPAL INCOME TR INTERMEDIATE SERIES 36 ADVISORS DISCIPLINED TR 1876 ADVISORS CORPORATE TR NAVELLIER DIAL HIGH INCOME OPPORTUNITIES PORTFOLIO SERIES 129 FT 7569 CAPITAL STRENGTH BUY WRITE PORTFOLIO SERIES 41 FT 7573 CAPITAL STRENGTH PORTFOLIO SERIES 44 FT 7579 SABRIENT BAKER'S DOZEN PORTFOLIO SEPTEMBER 2018 SERIES FT 7581 INNOVATIVE TECHNOLOGY PORTFOLIO SERIES 20 FT 7582 RICHARD BERNSTEIN ADVISORS TACTICAL SERIES AMERICAN INDUSTRIAL RENAISSANCE FT 7603 S&P DIVIDEND ARISTOCRATS BUY WRITE PORTFOLIO SERIES 2 FT 7604 PREFERRED INCOME PORTFOLIO SERIES 96 FT 7608 INTERNATIONAL HIGH DIVIDEND EQUITY PORTFOLIO SERIES 35 FT 7609 GLOBAL DEEP VALUE DIVIDEND PORTFOLIO SERIES 20 FT 7610 AI ROBOTICS & TECHNOLOGY OPPORTUNITY PORTFOLIO SERIES 5 FT 7611 COVERED CALL SELECT CLOSED END PORTFOLIO SERIES 67 FT 7612 INTEREST RATE HEDGE & ETF PORTFOLIO SERIES 22 FT 7653 STRATEGIC INCOME ADVANTAGE SELECT CLOSED END PORTFOLIO SERIES 78 FUNDRISE NATIONAL FOR SALE HOUSING EFUND LLC WHEATON, IL 9/18/ Filed MONUMENT, CO 9/18/ Filed WHEATON, IL 9/18/ Filed WHEATON, IL 9/18/ Filed WHEATON, IL 9/18/ Filed WHEATON, IL 9/18/ Filed WHEATON, IL 9/18/ Filed WHEATON, IL 9/18/ Filed WHEATON, IL 9/18/ Filed WHEATON, IL 9/18/ Filed WHEATON, IL 9/18/ Filed WHEATON, IL 9/18/ Filed WHEATON, IL 9/18/ Filed WHEATON, IL 9/18/ Filed WHEATON, IL 9/18/ Filed WASHINGTON, DC 9/18/ Filed Page 3 of 6
4 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities Division GUGGENHEIM DEFINED PORTFOLIOS SERIES 1805 DIVERSIFIED DIVIDEND & INCOME PORTFOLIO SERIES 29 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1819 NDR PRECIOUS METALS & MINERS PORTFOLIO SERIES 15 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1894 Q GARP PORTFOLIOS SERIES Q INTEGRITY FUNDS INTEGRITY ENERGIZED DIVIDEND FUND CLASS I FT 7580 BALANCED INCOME OPPORTUNITY PORTFOLIO SERIES 6 MANAGED PORTFOLIO SERIES OLSTEIN ALL CAP VALUE FUND CLASS A MANAGER DIRECTED PORTFOLIOS MARMONT REDWOOD INTERNATIONAL EQUITY FUND RETAIL SHARES Number of Investment Company Filings: 39 CHICAGO, IL 9/18/ Filed CHICAGO, IL 9/18/ Filed CHICAGO, IL 9/18/ Pending-Cleared MINOT, ND 9/18/ Filed WHEATON, IL 9/17/ Filed MILWAUKEE, WI 9/17/ Filed MILWAUKEE, WI 9/17/ Filed Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities Division ADVANTAGE ADVISERS TX EX HIGH INCOME FUND 1 LLC API PERMIAN 3 JOINT VENTURE NEW YORK, NY 9/21/ Filed DALLAS, TX 9/21/ Filed BLUEPRINT CAPITAL REIT INC SEATTLE, WA 9/21/ Filed CHARLOTTE'S WEB HOLDINGS INC DULLES GREENE HOLDINGS LLC BOULDER, CO 9/21/ Filed NORFOLK, VA 9/21/ Filed EPHARMIX INC SAINT LOUIS, MO 9/21/ Filed EPHARMIX INC SAINT LOUIS, MO 9/21/ Filed ESTRELLA PARKWAY LLC SCOTTSDALE, AZ 9/21/ Filed Page 4 of 6
5 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities Division EXCHAGERIGHT NET LEASED PORTFOLIO 23 DST HARLAN MOUNTAIN INVESTMENTS LLC PASADENA, CA 9/21/ Filed ROME, GA 9/21/ Filed HEDERA HASHGRAPH LLC RICHARDSON, TX 9/21/ Filed HERE FOODS INVESTORS LLC CAROL STREAM, IL JERRICK MEDIA HOLDINGS INC 9/21/ Filed FORT LEE, NJ 9/21/ Filed JUNIPER HTX3 HOLDINGS LTD HOUSTON, TX 9/21/ Filed NAM SPECIAL SITUATIONS FUND 6 LLC SERIES 6 NEW YORK, NY 9/21/ Filed P3 MEDIA INC MILWAUKEE, WI 9/21/ Filed PARTNERS FOR PAYMENT RELIEF DE 4 LLC BERWYN, PA 9/21/ Filed REALTYHARES 360 LLC LEWES, DE 9/21/ Filed REALTYSHARES 328 LLC LEWES, DE 9/21/ Filed RIVERSIDE MICRO CAP FUND 5 LP SPF SECURITIZED PRODUCTS FUND LTD TOON GOGGLES INC NEW YORK, NY 9/21/ Filed GEORGE TOWN, AA SHERMAN OAKS, CA 9/21/ Filed 9/21/ Filed TRANSPLANT GENOMICS INC MANSFIELD, MA 9/21/ Filed WCG SILL INVESTORS LLC CLEVELAND, OH 9/21/ Filed WOLFE ZION LANE LLC PLANO, TX 9/21/ Filed Number of Regulation D Notice Filings: 25 Franchise Law Filings Made with DFI s Securities Division Legal Name / Trade Name Location Date Painting Masters Franchise Corporation / Painting Masters For Eyes Franchising, LLC / For Eyes Optical Los Angeles, CA 9/21/ Registered Miramar, FL 9/21/ Registered Stayfull Services, LLC Woodridge, IL 9/20/ Registered JDog Franchises, LLC / J Dog junk Removal & Hauling Profile Franchising, LLC / Profile Sanford Berwyn, PA 9/20/ Registered Sioux Falls, SD 9/19/ Registered Page 5 of 6
6 Franchise Law Filings Made with DFI s Securities Division Legal Name / Trade Name Location Date High Achievers Enterprises, LLC / High Achievers Ram Jack Systems Distribution, LLC / Ram Jack Foundation Solutions Number of Franchise Filings: 7 Marietta, GA 9/19/ Registered Ada, OK 9/17/ Registered Page 6 of 6
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