All Securities Law, Franchise Law, and Take-Over Law Filings for 9/30/2018 through 10/6/2018

Transcription

1 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 Federal Covered Security-Investment Company Filings Made with DFI s Securities Templeton Growth Fund Inc Class C Touchstone Strategic Trust Touchstone Ohio Tax-Free Bond Fund Class Y 2005 Fund 2010 Fund 2015 Fund 2020 Fund 2025 Fund 2030 Fund 2035 Fund 2040 Fund San Mateo, CA 10/5/ Filed Cincinnati, OH 10/5/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Page 1 of 10

2 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities 2045 Fund 2050 Fund 2055 Fund 2060 Fund Income Fund FIDELITY ADVISOR SERIES I Fidelity Advisor Floating Rate High Income Fund FIDELITY ADVISOR SERIES I Fidelity Advisor High Income Advantage Fund FIDELITY ADVISOR SERIES I Fidelity Advisor High Income Fund FIDELITY ADVISOR SERIES II Fidelity Advisor Limited Term Bond Fund FIDELITY ADVISOR SERIES II Fidelity Advisor Mortgage Securities Fund FIDELITY ADVISOR SERIES II Fidelity Advisor Strategic Income Fund Fidelity Advisor Biotechnology Fund Fidelity Advisor Consumer Discretionary Fund Fidelity Advisor Energy Fund Fidelity Advisor Financial Services Fund Fidelity Advisor Global Real Estate Fund Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Page 2 of 10

3 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities Fidelity Advisor Health Care Fund Fidelity Advisor Industrials Fund Fidelity Advisor Real Estate Fund Fidelity Advisor Semiconductors Fund Fidelity Advisor Technology Fund Fidelity Advisor Utilities Fund FIDELITY ADVISOR SERIES VIII Fidelity Advisor Emerging Asia Fund FIDELITY ADVISOR SERIES VIII Fidelity Advisor Global Equity Income Fund FIDELITY CALIFORNIA MUNICIPAL TRUST Fidelity California Municipal Income Fund Fidelity Advisor California Municipal Income Fund - 20% Fidelity Advisor Asset Manager 20% - 30% Fidelity Advisor Asset Manager 30% - 40% Fidelity Advisor Asset Manager 40% - 50% Fidelity Advisor Asset Manager 50% - 60% Fidelity Advisor Asset Manager 60% - Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Page 3 of 10

4 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities 70% Fidelity Advisor Asset Manager 70% - 85% Fidelity Advisor Asset Manager 85% - FIDELITY CONCORD STREET TRUST Fidelity Advisor Event Driven Opportunities Fund Class Z FIDELITY FINANCIAL TRUST Fidelity Convertible Securities Fund Fidelity Advisor Convertible Securities Fund - FIDELITY INCOME FUND Fidelity Government Income Fund Fidelity Advisor Government Income Fund - Fidelity Canada Fund Fidelity Advisor Canada Fund - Fidelity China Region Fund Fidelity Advisor China Region Fund - Fidelity Emerging Markets Discovery Fund Fidelity Advisor Emerging Markets Discovery Fund - Fidelity Europe Fund Fidelity Advisor Europe Fund - Fidelity Global Commodity Stock Fund Fidelity Advisor Global Commodity Stock Fund - Fidelity International Small Cap Fund Fidelity Advisor International Small Cap Fund - Fidelity International Small Cap Opportunities Fund Fidelity Advisor International Small Cap Opportunities Fund - Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Page 4 of 10

5 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities Fidelity International Value Fund Fidelity Advisor International Value Fund - Fidelity Japan Fund Fidelity Advisor Japan Fund - Fidelity Latin America Fund Fidelity Advisor Latin America Fund - Fidelity Total Emerging Markets Fund Fidelity Advisor Total Emerging Markets Fund - Class Z Fidelity Worldwide Fund Fidelity Advisor Worldwide Fund - Class Z FIDELITY MUNICIPAL TRUST Fidelity Limited Term Municipal Income Fund Fidelity Advisor Limited Term Municipal Income Fund - FIDELITY MUNICIPAL TRUST Fidelity Municipal Income Fund Fidelity Advisor Municipal Income Fund - FIDELITY NEW YORK MUNICIPAL TRUST Fidelity New York Municipal Income Fund Fidelity Advisor New York Municipal Income Fund - Fidelity Salem Street Trust Fidelity Corporate Bond Fund Fidelity Advisor Corporate Bond Fund - Fidelity Salem Street Trust Fidelity Investment Grade Bond Fund Fidelity Advisor Investment Grade Bond Fund - Fidelity Salem Street Trust Fidelity Short-Term Bond Fund Fidelity Advisor Short-Term Bond Fund - Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Page 5 of 10

6 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities Fidelity Salem Street Trust Fidelity Strategic Dividend & Income Fund Fidelity Advisor Strategic Dividend & Income Fund - Fidelity Salem Street Trust Fidelity Strategic Real Return Fund Fidelity Advisor Strategic Real Return Fund - FIDELITY SCHOOL STREET TRUST Fidelity Advisor Multi- Asset Income Fund FIDELITY SCHOOL STREET TRUST Fidelity Global Credit Fund Fidelity Advisor Global Credit Fund - FIDELITY SCHOOL STREET TRUST Fidelity Intermediate Municipal Income Fund Fidelity Advisor Intermediate Municipal Income Fund - FIDELITY SECURITIES FUND Fidelity Real Estate Income Fund Fidelity Advisor Real Estate Income Fund - FIDELITY SECURITIES FUND Fidelity Small Cap Value Fund Fidelity Advisor Small Cap Value Fund - FIDELITY SELECT PORTFOLIOS Consumer Staples Portfolio Fidelity Advisor Consumer Staples Fund - Class Z FIDELITY SELECT PORTFOLIOS Fidelity International Real Estate Fund Fidelity Advisor International Real Estate Fund - FIDELITY SELECT PORTFOLIOS Gold Portfolio Fidelity Advisor Gold Fund - FIDELITY SELECT PORTFOLIOS Materials Portfolio Fidelity Advisor Materials Fund - Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Page 6 of 10

7 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities FIDELITY SELECT PORTFOLIOS Telecommunications Portfolio Fidelity Advisor Telecommunications Fund - FIDELITY SUMMER STREET TRUST Fidelity Short Duration High Income Fund Fidelity Advisor Short Duration High Income Fund - Principal Funds, Inc. Equity Income Fund Class J Voya Equity Trust Voya U.S. High Dividend Low Volatility Fund Class P3 Gabelli Equity Series Funds, Inc. The Gabelli Global Financial Services Fund Class A Shares Gabelli Equity Series Funds, Inc. The Gabelli Global Financial Services Fund Class AAA Shares Gabelli Equity Series Funds, Inc. The Gabelli Global Financial Services Fund Class C Shares Gabelli Equity Series Funds, Inc. The Gabelli Global Financial Services Fund Class I Shares GAMCO Global Series Funds, Inc. The Gabelli Global Mini Mites Fund Class A Shares GAMCO Global Series Funds, Inc. The Gabelli Global Mini Mites Fund Class AAA Shares GAMCO Global Series Funds, Inc. The Gabelli Global Mini Mites Fund Class C Shares GAMCO Global Series Funds, Inc. The Gabelli Global Mini Mites Fund Class I Shares Platform Ventures Diversified Housing REIT, LLC Touchstone Funds Group Trust Small Cap Value Fund Class Y Boston, MA 10/4/ Filed Boston, MA 10/4/ Filed Des Moines, IA 10/4/ Filed Scottsdale, AZ 10/4/ Filed Rye, NY 10/3/ Filed Rye, NY 10/3/ Filed Rye, NY 10/3/ Filed Rye, NY 10/3/ Filed Rye, NY 10/3/ Filed Rye, NY 10/3/ Filed Rye, NY 10/3/ Filed Rye, NY 10/3/ Filed Fairway, KS 10/3/ Filed Cincinnati, OH 10/3/ Filed Building Bits Properties I, LLC Portland, OR 10/2/ Filed Page 7 of 10

8 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities Advisors Disciplined Trust 1895 (Balanced Portfolio, Series ) Advisors Disciplined Trust 1895 (Cohen & Steers Equity Dividend & Income Closed-End Portfolio Series Advisors Disciplined Trust 1895 (Financial Opportunities Portfolio, Series ) Advisors Disciplined Trust 1895 (Ubiquitous Strategy Portfolio, Series ) Barings Funds Trust Barings Global Emerging Markets Equity Fund Class A Barings Funds Trust Barings Global Emerging Markets Equity Fund Class C Barings Funds Trust Barings Global Emerging Markets Equity Fund Class I Barings Funds Trust Barings Global Emerging Markets Equity Fund Class Y FT (7624 Diversified Equity Strategic Allocation Port. 4Q'18 - Term 1/15/20) FT 7619 (MLP Closed-End Fund and Energy Portfolio, Series 61) FT 7621 (Interest Rate Hedge Portfolio, Series 120) FT 7625 (Income Allocation Closed-End 4Q'18) FT 7654 (Equity Closed-End Opportunity Portfolio, Series 3) FT 7655 (Homebuilders Recovery Select Portfolio, Series 20) FT 7666 (Dividend & Income Select Closed-End Portfolio, Series 70) Series 1798 (Advisory Series: Investment Grade Corporate 3-7 Year Trust, Series 3) Monument, CO 10/1/ Filed Monument, CO 10/1/ Filed Monument, CO 10/1/ Filed Monument, CO 10/1/ Filed Charlotte, NC 10/1/ Filed Charlotte, NC 10/1/ Filed Charlotte, NC 10/1/ Filed Charlotte, NC 10/1/ Filed Wheaton, IL 10/1/ Filed Wheaton, IL 10/1/ Filed Wheaton, IL 10/1/ Filed Wheaton, IL 10/1/ Filed Wheaton, IL 10/1/ Filed Wheaton, IL 10/1/ Filed Wheaton, IL 10/1/ Filed CHICAGO, IL 10/1/ Pending-Cleared Page 8 of 10

9 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities Series 1807 (Dow 10 Portfolio, Series 35) Series 1807 (International Dividend Strategy Portfolio, Series 41) Series 1808 (Enhanced Quality 16 Strategy Portfolio, Series 13) Series 1808 (Strategic Income Portfolio, Series 103) Series 1809 (Convertible & Income Portfolio of Funds, Series 29) Series 1810 (Alerian MLP Infrastructure & Income Portfolio, Series 4) Chicago, IL 10/1/ Filed Chicago, IL 10/1/ Filed CHICAGO, IL 10/1/ Filed CHICAGO, IL 10/1/ Filed CHICAGO, IL 10/1/ Filed CHICAGO, IL 10/1/ Filed Pioneer ILS Bridge Fund Boston, MA 10/1/ Filed REITless Impact Income Strategies LLC Smart Trust 398 (Smart Trust, Argus Dividend Growers Total Return Trust, Series 18) Smart Trust 398 (Smart Trust, Morningstar Dividend Yield Select Trust, Series 7) Transamerica Funds Transamerica International Stock Class A Shares Transamerica Funds Transamerica International Stock Class I Shares Transamerica Funds Transamerica International Stock Class I2 Shares Transamerica Funds Transamerica International Stock Class R6 Shares Number of Investment Company Filings: 119 Salt Lake City, UT 10/1/ Filed Parsippany, NJ 10/1/ Filed Parsippany, NJ 10/1/ Filed Denver, CO 10/1/ Filed Denver, CO 10/1/ Filed Denver, CO 10/1/ Filed Denver, CO 10/1/ Filed Page 9 of 10

10 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities Blackhorn Aperia SPV, LLC Boulder, CO 10/5/ Filed Cognos Therapeutics Inc Los Angeles, CA 10/5/ Filed CR Iconic Village LLC San Francisco, CA 10/5/ Filed Crown Scurry #5 Joint Venture Carrollton, TX 10/5/ Filed Deloitte touche Tohmatsu services, Inc. New York, NY 10/5/ Filed EMG PRES Equity, LP Dallas, TX 10/5/ Filed envista Carmel, IN 10/5/ Filed EPQ LLC AMT PS San Francisco, CA 10/5/ Filed MAG Fund I, L.P. Houston, TX 10/5/ Filed MGG SF Evergreen Fund LP New York, NY 10/5/ Filed MHP Boston Investments, LLC Loveland, CO 10/5/ Filed Old Saybrook Apartments QP, LLC Chicago, IL 10/5/ Filed Parker Monrovia Venture, L.P. Northridge, CA 10/5/ Filed Protecht, Inc. Newport Beach, CA 10/5/ Filed SLA Private Investors, LLC New York, NY 10/5/ Filed WAG-HCI Fund, LLC Columbus, OH 10/5/ Filed Wurzbach Portfolio, LP Austin, TX 10/5/ Filed Connect Dynamics, Inc. Memphis, TN 10/4/ Filed Number of Regulation D Notice Filings: 18 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Budget Blinds, LLC / Budget Blinds INFINIUM REALTY GROUP INC / HELP-U-SELL REAL ESTATE QuickHIT International Inc. / QuickHIT Fitness Lab Alamo Drafthouse Cinemas, LLC / Alamo Drafthouse Cinema Irvine, CA 10/5/ Registered SARASOTA, FL 10/5/ Registered Onalaska, WI 10/4/ Registered Austin, TX 10/4/ Registered Line-X Franchising, LLC / LINE-X Huntsville, AL 10/2/ Registered BAB Systems, Inc. / My Favorite Muffin Number of Franchise Filings: 6 Deerfield, IL 10/1/ Registered Page 10 of 10