All Securities Law, Franchise Law, and Take-Over Law Filings for 2/4/2018 through 2/10/2018
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1 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/ Pending-Cleared ROCHESTER, NY 2/9/ Pending-Cleared Securities Law Exemption Filings Made with DFI s Securities SONRISE CHRISTIAN CENTER EVERETT, WA 2/9/ Not Disallowed ELECTROMEDIL TECHNOLOGIES INC SCOTTSDALE, AZ 2/6/ Filed GROUNDFLOOR FINANCE INC ATLANTA, GA 2/5/ Filed Number of Exemption Filings: 3 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities FINANCIAL INVESTORS TR HIGHLAND RESOLUTE FUND I DENVER, CO 2/9/ Registered FT 7167 INTERNATIONAL PITAL STRENGTH PORTFOLIO SERIES 37 FT 7167 SMID PITAL STRENGTH PORTFOLIO SERIES 37 WHEATON, IL 2/9/ Registered WHEATON, IL 2/9/ Registered Page 1 of 6
2 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities FT 7176 CORPORATE TAX REFORM PORTFOLIO SERIES 5 WHEATON, IL 2/9/ Registered FT 7178 AMERIN AGENDA PORTFOLIO SERIES 4 FT 7179 DEEP VALUE DIVIDEND PORTFOLIO SERIES 18 FT 7180 EQUITY INCOME SELECT PORTFOLIO SERIES 56 FT 7182 GLOBAL DIVIDEND PORTFOLIO SERIES 54 FT 7183 SMID HIGH DIVIDEND PORTFOLIO SERIES 29 FT 7207 EQUITY INCOME PORTFOLIO SERIES 59 FT 7214 DIVERSIFIED HIGH INCOME CLOSED END PORTFOLIO SERIES 31 FT 7216 MUNICIPAL INCOME SELECT CLOSED END PORTFOLIO SERIES 93 FT 7217 DIVIDEND & INCOME SELECT CLOSED END PORTFOLIO SERIES 64 FT 7251 SENIOR LOAN & LTD DURATION OPPORTUNITIES CLOSED END PORTFOLIO SERIES 53 WHEATON, IL 2/9/ Registered WHEATON, IL 2/9/ Registered WHEATON, IL 2/9/ Registered WHEATON, IL 2/9/ Registered WHEATON, IL 2/9/ Registered WHEATON, IL 2/9/ Registered WHEATON, IL 2/9/ Registered WHEATON, IL 2/9/ Registered WHEATON, IL 2/9/ Registered WHEATON, IL 2/9/ Registered VANGUARD WELLINGTON FUND VANGUARD US MULTIFACTOR FUND ADMIRAL SHARES VALLEY FORGE, PA 2/9/ Pending-Cleared Page 2 of 6
3 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities TCW FUNDS INC TCW ARTIFICIAL INTELLIGENCE EQUITY FUND I 2/8/ Registered TCW FUNDS INC TCW ARTIFICIAL INTELLIGENCE EQUITY FUND N 2/8/ Registered ALLIANZ FUNDS MULTI STRATEGY TR ALLIANZGI MULTI ASSET INCOME FUND INSTITUTIONAL BLACKROCK LARGE P SERIES FUNDS INC BLACKROCK ADVANTAGE LARGE P CORE FUND K SHARES NEW YORK, NY 2/7/ Registered WILMINGTON, DE 2/7/ Registered ABSOLUTE RETURN BOND FUND SI 2/7/ Registered CORE BOND FUND SI 2/7/ Registered EMERGING MARKETS CORPORATE BOND FUND SI EQUITY INCOME FUND SI FLOATING RATE FUND SI 2/7/ Registered 2/7/ Registered 2/7/ Registered STRATEGIC INCOME FUND SI 2/7/ Registered Page 3 of 6
4 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities PORTFOLIOS SERIES 1665 GUGGENHEIM INVESTMENT GRADE CORPORATE TR 3 7 YEAR SERIES 11 PORTFOLIOS SERIES 1717 GUGGENHEIM REIT PORTFOLIO SERIES 18 LISLE, IL 2/6/ Registered LISLE, IL 2/6/ Registered PORTFOLIOS SERIES 1717 MULTINATIONAL TITANS PORTFOLIO SERIES 14 PORTFOLIOS SERIES 1717 PRECIOUS METALS & MINERS PORTFOLIO SERIES 14 SEI INSTITUTIONAL MANAGED TR LARGE P INDEX FUND F SHARES BROOKFIELD INVESTMENT FUNDS CENTER COAST BROOKFIELD MLP FOCUS FUND I LISLE, IL 2/6/ Registered LISLE, IL 2/6/ Registered OAKS, PA 2/6/ Registered WEST ALLIS, WI 2/5/ Registered Number of Investment Company Filings: 31 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities 5TH AVENUE REAL ASSETS 4 LLC ALZAMEND NEURO INC NEW YORK, NY 2/9/ Filed SALT LAKE CTY, UT 2/9/ Filed CUREMARK LLC RYE, NY 2/9/ Filed DELOITTE CONSULTING LLP NEW YORK, NY 2/9/ Filed ECHO PITAL INVESTMENTS LP WILMETTE, IL 2/9/ Filed Page 4 of 6
5 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities HEARTIS BROOKFIELD INVESTORS LP DALLAS, TX 2/9/ Filed I 17 & JOMAX PARTNERS LLC SCOTTSDALE, AZ 2/9/ Filed LEXSHARES MARKETPLACE FUND 1 LLC LEXSHARES MARKETPLACE FUND 1 QP LLC NEW YORK, NY 2/9/ Filed NEW YORK, NY 2/9/ Filed MUKC FUND 1 LP MEQUON, WI 2/9/ Filed MURANO APT VENTURE LLC NORTHRIDGE, 2/9/ Filed RIVERSIDE PITAL APPRECIATION 7 ASP FUND SERIES OF ASPE LLC SACKS VENTURES 1 LP VITAHEAT MEDIL HOLDINGS LLC CHARLOTTE, NC 2/9/ Filed SAN FRANCISCO, 2/9/ Filed DEER PARK, IL 2/9/ Filed ENVIROLASTECH INC ROCHESTER, MN 2/7/ Filed FASTER FASTER INC BARTLESVILLE, OK 2/6/ Filed MCHENRY BANCORP INC MCHENRY, IL 2/6/ Filed HUBSTAR INC AUSTIN, TX 2/5/ Filed PORTFOLIO ADVISORS PRIVATE EQUITY FUND 2017 LP DARIEN, CT 2/5/ Filed Number of Regulation D Notice Filings: 19 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date BAB SYSTEMS INC / BIG APPLE BAGELS, MY FAVORITE MUFFIN DEERFIELD, IL 2/8/ Registered Page 5 of 6
6 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Maid Right Franchising LLC / Might Right Qdoba Restaurant Corporation / "Qdoba " "Qdoba Mexican Eats " "Qdoba Mexican Grill " Ultimate Fitness Group LLC / Orange Theory Unit Franchise Happy & Healthy Products, Inc. / Happy & Healthy Products GDK USA, Inc. / Doner Kebab Outlet Zoom Franchise Company LLC / Zoom Sewer and Drain Cleaning Be A Legend, LLC / Legends Boxing ANNEX BRANDS INC / Annex Brands Commercial Center ANB Clean Franchising, LLC / ANB Clean Storm Guard Franchise Systems, LLC / Storm Guard Number of Franchise Filings: 11 Alphretta, GA 2/8/ Registered San Diego, 2/8/ Registered Boca Raton, FL 2/7/ Registered Boca Raton, FL 2/7/ Registered Concord, MA 2/7/ Registered Norristown, PA 2/7/ Registered Salt Lake City, UT 2/7/ Registered SAN DIEGO, 2/6/ Registered Shakopee, MN 2/5/ Registered Fort Worth, TX 2/4/ Registered Corporate Take-Over Law Filings Made with DFI s Securities Takeover Filing Reference Number of Takeover Filings: 0 Date Page 6 of 6
All Securities Law, Franchise Law, and Take-Over Law Filings for 2/5/2017 through 2/11/2017
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 MEAD & HUNT COMPANIES INC MIDDLETON, WI 2/3/2017
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 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
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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
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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 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 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
All Securities Law, Franchise Law, and Take-Over Law Filings for 9/16/2018 through 9/22/2018
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
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 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
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 GRACEPOINT CHURCH BREMERTON, WA 11/1/2017 00819517-02 Pending Number of Registration Filings: 1 Securities Law Exemption Filings Made with
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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 8/27/2017 through 9/2/2017
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 Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities Hayes Brokerage Opportunity Fund #1, LLC Number
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 1/15/2017 through 1/21/2017
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
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
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 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 7/1/2018 through 7/7/2018
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 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 5/14/2017 through 5/20/2017
All Securities Law, Franchise Law, and Take-Over Law Filings Securities Law Registration Filings Made with DFI s Securities UNITED METHODIST DEVELOPMENT FUND Number of Registration Filings: 1 PHILADELPHIA,
All Securities Law, Franchise Law, and Take-Over Law Filings for 11/26/2017 through 12/2/2017
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
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
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 1/1/2017 through 1/7/2017
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:
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Securities Law Registration Filings Made with DFI s Securities MERCY HILL CHURCH IRONWOOD INSTITUTIONAL MULTI STRATEGY FUND LLC GREENSBORO, NC SAN FRANCISCO, CA 5/26/2017 00806164-02 Pending 5/25/2017
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