All Securities Law, Franchise Law, and Take-Over Law Filings for 1/29/2017 through 2/4/2017
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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 MEAD & HUNT COMPANIES INC MIDDLETON, WI 2/3/ Not Disallowed RISE CO CORP Number of Exemption Filings: 2 WASHINGTON, DC 1/31/ Filed ADVISORS DISCIPLINED TR 1769 COHEN & STEERS DYNAMIC INCOME PORTFOLIO SERIES MONUMENT, CO 2/3/ Registered ADVISORS DISCIPLINED TR 1769 DIVIDEND SUSTAINABILITY PORTFOLIO SERIES HIMCO PORTFOLIO EATON VANCE INVESTMENT TR EATON VANCE SHORT DURATION MUNICIPAL OPPORTUNITIES FUND CLASS I SHARES EATON VANCE INVESTMENT TR EATON VANCE SHORT DURATION MUNICIPAL OPPORTUNITIES FUND CLASS A SHARES EATON VANCE INVESTMENT TR EATON VANCE SHORT DURATION MUNICIPAL OPPORTUNITIES FUND CLASS C SHARES MONUMENT, CO 2/3/ Registered BOSTON, MA 2/3/ Registered BOSTON, MA 2/3/ Registered BOSTON, MA 2/3/ Registered Page 1 of 8
2 GAMCO GLOBAL SERIES FUNDS INC GAMCO GLOBAL TELECOMMUNICATIONS FUND CLASS I SHARES GUGGENHEIM DEFINED PORTFOLIOS SERIES 1464 GUGGENHEIM INVESTMENT GRADE CORPORATE TR 3 7 YEAR SERIES 8 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1566 CORPORATE HIGH YIELD & INCOME PORTFOLIO OF CEFS SERIES 31 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1566 INFRASTRUCTURE & MLP PORTFOLIO OF CEFS SERIES 29 NUVEEN UNIT INVESTMENT TR SERIES 167 NUVEEN DYNAMIC ALLOCATION PORTFOLIO 1Q 2017 RYE, NY 2/3/ Registered LISLE, IL 2/3/ Registered LISLE, IL 2/3/ Registered LISLE, IL 2/3/ Registered CHICAGO, IL 2/3/ Registered UNIFIED SERIES TR SELECTIVE OPPORTUNITY FUND INDIANAPOLIS, IN 2/3/ Registered BLACKROCK FUNDS 2 BLACKROCK MULTI ASSET INCOME PORTFOLIO CLASS K SHARES WILMINGTON, DE 2/2/ Pending-Cleared BLACKROCK FUNDS BLACKROCK TOTAL FACTOR FUND CLASS K SHARES FIDELITY ADVISOR EQUITY VALUE FUND CLASS Z FIDELITY ADVISOR GROWTH & INCOME FUND CLASS Z FIDELITY ADVISOR LARGE CAP FUND CLASS Z WILMINGTON, DE 2/2/ Pending-Cleared BOSTON, MA 2/2/ Registered BOSTON, MA 2/2/ Registered BOSTON, MA 2/2/ Registered Page 2 of 8
3 FIDELITY ADVISOR STOCK SELECTOR MID CAP FUND CLASS Z BOSTON, MA 2/2/ Registered FIDELITY ADVISOR VALUE FUND CLASS Z FIDELITY ADVISOR SERIES VIII FIDELITY ADVISOR INTERNATIONAL CAPITAL APPRECIATION FUND CLASS Z FIDELITY ADVISOR SERIES VIII FIDELITY ADVISOR OVERSEAS FUND CLASS Z FIDELITY CAPITAL TR FIDELITY STOCK SELECTOR SMALL CAP FUND FIDELITY ADVISOR STOCK SELECTOR SMALL CAP FUND CLASS Z FIDELITY DEVONSHIRE TR FIDELITY MID CAP VALUE FUND FIDELITY ADVISOR MID CAP VALUE FUND CLASS Z FIDELITY DEVONSHIRE TR FIDELITY STOCK SELECTOR LARGE CAP VALUE FUND FIDELITY ADVISOR STOCK SELECTOR LARGE CAP VALUE FIDELITY INVESTMENT TR FIDELITY TOTAL INTERNATIONAL EQUITY FUND FIDELITY ADVISOR TOTAL INTERNATIONAL EQUITY FUND CLASS FIDELITY SECURITIES FUND FIDELITY SMALL CAP GROWTH FUND FIDELITY ADVISOR SMALL CAP GROWTH FUND CLASS Z BOSTON, MA 2/2/ Registered BOSTON, MA 2/2/ Registered BOSTON, MA 2/2/ Registered BOSTON, MA 2/2/ Registered BOSTON, MA 2/2/ Registered BOSTON, MA 2/2/ Registered BOSTON, MA 2/2/ Registered BOSTON, MA 2/2/ Registered Page 3 of 8
4 INVESTMENT MANAGERS SERIES TR SEGALL BRYANT & HAMILL EMERGING MARKETS FUND CLASS I MILWAUKEE, WI 2/2/ Registered AIM SECTOR FUNDS INVESCO SECTOR FUNDS INVESCO SMALL CAP VALUE FUND CLASS R6 SHARES EATON VANCE MUTUAL FUNDS TR PARAMETRIC VOLATILITY RISK PREMIUM DEFENSIVE FUND INSTITUTIONAL CLASS SHARES EATON VANCE GROWTH TR EATON VANCE ATLANTA CAPITAL SELECT EQUITY FUND CLASS R6 SHARES LOOMIS SAYLES FUNDS 2 LOOMIS SAYLES GLOBAL EQUITY & INCOME FUND CLASS N LOOMIS SAYLES FUNDS 2 LOOMIS SAYLES LTD TERM GOVERNMENT & AGENCY FUND CLASS N LOOMIS SAYLES FUNDS I LOOMIS SAYLES INFLATION PROTECTED SECURITIES FUND CLASS N RMB INVESTORS TR RMB FUND CLASS I RMB INVESTORS TR RMB MENDON FINANCIAL SERVICES FUND CLASS I ALLIANZ FUNDS MULTI STRATEGY TR ALLIANZGI SHORT DURATION HIGH INCOME FUND CLASS R6 HOUSTON, TX 2/1/ Pending-Cleared BOSTON, MA 2/1/ Registered BOSTON, MA 1/31/ Registered BOSTON, MA 1/31/ Registered BOSTON, MA 1/31/ Registered BOSTON, MA 1/31/ Registered NEW YORK, NY 1/31/ Registered NEW YORK, NY 1/31/ Registered NEW YORK, NY 1/30/ Pending-Cleared Page 4 of 8
5 AMG FUNDS AMG YACKTMAN FOCUSED FUND SECURITY SELECTION ONLY CLASS I GREENWICH, CT 1/30/ Registered AMG FUNDS AMG YACKTMAN FOCUSED FUND SECURITY SELECTION ONLY CLASS N FT 6455 EMERGING MARKETS STRENGTH PORTFOLIO SERIES 34 FT 6492 BROOKMONT EQUITY DIVIDEND PORTFOLIO SERIES 10 FT 6506 STRATEGIC DIVIDEND PLUS PORTFOLIO SERIES 30 GREENWICH, CT 1/30/ Registered WHEATON, IL 1/30/ Registered WHEATON, IL 1/30/ Registered WHEATON, IL 1/30/ Registered MUTUAL FUND SERIES TR CATALYST IPOX ALLOCATION FUND CLASS C NORTHERN LIGHTS FUND TR POWER MOMENTUM INDEX FUND CLASS A NORTHERN LIGHTS FUND TR POWER MOMENTUM INDEX FUND CLASS I PEAR TREE FUNDS PEAR TREE POLARIS FOREIGN VALUE FUND R6 SHARES PEAR TREE FUNDS PEAR TREE POLARIS FOREIGN VALUE SMALL CAP FUND R6 SHARES HAUPPAUGE, NY 1/30/ Registered HAUPPAUGE, NY 1/30/ Registered HAUPPAUGE, NY 1/30/ Registered LINCOLN, MA 1/30/ Registered LINCOLN, MA 1/30/ Registered Number of Investment Company Filings: 45 Page 5 of 8
6 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities AVISTONE NORTHGATE 3 LLC LAGUNA NIGUEL, CA 2/3/ Filed BENEFIT STREET PARTNERS 4 PRIVATE INVESTORS LLC NEW YORK, NY 2/3/ Filed BRIAR PATCH INVESTMENTS LLC CARLYLE REALTY PARTNERS 8 ASP FUND SERIES OF ALTERNATIVE STRATEGIES PRIVATE EQUITY PLATFORM LLC CONVERGENCE EQUITY PARTNERS LP CANTON, GA 2/3/ Filed CHARLOTTE, NC 2/3/ Filed SAN FRANCISCO, CA 2/3/ Filed DELOITTE & TOUCHE LLP NEW YORK, NY 2/3/ Filed DELOITTE CONSULTING LLP NEW YORK, NY 2/3/ Filed DELOITTE TAX LLP NEW YORK, NY 2/3/ Filed IGF INVESTMENT GRADE FUND 1 LP SANTA BARBARA, CA 2/3/ Filed MAXIMIZED LIVING PARTNERS LP NAPLES, FL 2/3/ Filed MVP LS FUND 2 LLC AUSTIN, TX 2/3/ Filed REALTYSHARES 277 LLC LEWES, DE 2/3/ Filed REALTYSHARES 280 LLC LEWES, DE 2/3/ Filed REDHAWK MINERALS FUND 1 LP DALLAS, TX 2/3/ Filed REDOX INC MADISON, WI 2/3/ Filed RIVERVIEW FINANCIAL CORP HARRISBURG, PA 2/3/ Filed SAFARI EXPLORER LLC SEATTLE, WA 2/3/ Filed Page 6 of 8
7 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities SATTER MEDICAL TECHNOLOGY PARTNERS LP CHICAGO, IL 2/3/ Filed SHERMAN REAL ESTATE FUND 12 LLC STERLING LAW HOLDINGS LLC WMS PRIVATE INCOME FUND 1 LLC CENTERFIELD CAPITAL PARTNERS 4 LP DEERFIELD, IL 2/3/ Filed DENVER, CO 2/3/ Filed TOWSON, MD 2/3/ Filed INDIANAPOLIS, IN 2/2/ Filed INFINITE YIELD FUND LP LIBERTYVILLE, IL 2/2/ Filed FORSYTH BALDWIN LLC ST LOUIS, MO 1/31/ Filed GLOBAL INFRASTRUCTURE PARTNERS 3 AB LP NEW YORK, NY 1/31/ Filed MN MEDICAL SOLUTIONS LLC EDINA, MN 1/31/ Filed INRANGE SYSTEMS INC ALTOONA, PA 1/30/ Filed Number of Regulation D Notice Filings: 27 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date SW Franchise Inc. / Super Wash Morrison, IL 2/2/ Registered BB Franchise LLC / The Baked Bear ABM Franchising Group, LLC / TEGG ABM Franchising Group, LLC / Linc Service VALVOLINE INSTANT OIL CHANGE FRANCHISING, INC. / VALVOLINE INSTANT OIL CHANGE Floyd's 99 Franchising, LLC / Floyd's 99 Barbershop San Diego, CA 2/2/ Registered Canonsburg, PA 2/2/ Registered Canonsburg, PA 2/2/ Registered LEXINGTON, KY 2/1/ Registered Greenwood Village, CO 1/31/ Registered Page 7 of 8
8 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date DISCOVERY MAP INTERNATIONAL, INC. / Discovery Map All Securities Law, Franchise Law, and Take-Over Law Filings Pizzeria Uno Corporation / Uno Chicago Grill and Uno Due Go Number of Franchise Filings: 8 Waitsfield, VA 1/30/ Registered West Roxbury, MA 1/30/ Registered Corporate Take-Over Law Filings Made with DFI s Securities Takeover Filing Reference Number of Takeover Filings: 0 Date Page 8 of 8
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 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 2/4/2018 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
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 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 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 6/3/2018 through 6/9/2018
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 ALPS SERIES TR
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 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 SIERRA INCOME CORP NEW YORK, NY 9/24/2018 848612-08
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 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
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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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
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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 Securities Law Exemption Filings Made with DFI s Securities RED RIBBON RANCH LLC LA CANADA, CA 1/20/2017
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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
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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 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 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
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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 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
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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 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 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 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
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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 FUNDRISE GROWTH EREIT 2, DC 8/23/2018 00845559-25
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