All Securities Law, Franchise Law, and Take-Over Law Filings for 4/8/2018 through 4/14/2018
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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 FORWARD COMMUNITY INVESTMENTS INC Number of Exemption Filings: 1 MADISON, WI 4/10/ Exempt Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities PUTNAM MORTGAGE SECURITIES FUND CLASS R6 BOSTON, MA 4/13/ Pending-Cleared NATIONWIDE MUTUAL FUNDS NATIONWIDE FUND CLASS R6 WEST ALLIS, WI 4/11/ Registered RBB FUND INC ABBEY CAPITAL MULTI ASSET FUND CLASS I SHARES VOYA EQUITY TR VOYA LARGE CAP GROWTH FUND CLASS P3 VOYA EQUITY TR VOYA LARGE CAP VALUE FUND CLASS P3 VOYA EQUITY TR VOYA MIDCAP OPPORTUNITIES FUND CLASS P3 VOYA EQUITY TR VOYA MULTI MANAGER MID CAP VALUE FUND CLASS P3 MILWAUKEE, WI 4/11/ Registered SCOTTSDALE, AZ 4/11/ Registered SCOTTSDALE, AZ 4/11/ Registered SCOTTSDALE, AZ 4/11/ Registered SCOTTSDALE, AZ 4/11/ Registered Page 1 of 9
2 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities VOYA EQUITY TR VOYA REAL ESTATE FUND CLASS P3 SCOTTSDALE, AZ 4/11/ Registered VOYA EQUITY TR VOYA SMALLCAP OPPORTUNITIES FUND CLASS P3 VOYA EQUITY TR VOYA SMID CAP GROWTH FUND CLASS P3 VOYA FUNDS TR VOYA FLOATING RATE FUND CLASS P3 VOYA FUNDS TR VOYA HIGH YIELD BOND FUND CLASS P3 SCOTTSDALE, AZ 4/11/ Registered SCOTTSDALE, AZ 4/11/ Registered SCOTTSDALE, AZ 4/11/ Registered SCOTTSDALE, AZ 4/11/ Registered VOYA FUNDS TR VOYA INTERMEDIATE BOND FUND CLASS P3 VOYA FUNDS TR VOYA SHORT TERM BOND FUND CLASS P3 VOYA SERIES FUND INC VOYA CORPORATE LEADERS 100 FUND CLASS R6 VOYA SERIES FUND INC VOYA GLOBAL MULTI ASSET FUND CLASS R6 VOYA SERIES FUND INC VOYA SMALL CO FUND CLASS R ADVISORS DISCIPLINED TR 1877 TRANSFORMERS OPPORTUNITIES PORTFOLIO SERIES Q GUGGENHEIM DEFINED PORTFOLIOS SERIES 1746 ALTERNATIVE INCOME PORTFOLIO SERIES 11 SCOTTSDALE, AZ 4/11/ Registered SCOTTSDALE, AZ 4/11/ Registered SCOTTSDALE, AZ 4/11/ Registered SCOTTSDALE, AZ 4/11/ Registered SCOTTSDALE, AZ 4/11/ Registered MONUMENT, CO 4/10/ Registered LISLE, IL 4/10/ Registered Page 2 of 9
3 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities GUGGENHEIM DEFINED PORTFOLIOS SERIES 1747 FINANCIALS PORTFOLIO SERIES 11 LISLE, IL 4/10/ Registered NUVEEN INVESTMENT TR V NUVEEN GLOBAL REAL ESTATE SECURITIES FUND CLASS A NUVEEN INVESTMENT TR V NUVEEN GLOBAL REAL ESTATE SECURITIES FUND CLASS R6 NUVEEN INVESTMENT TR V NUVEEN GLOBAL REAL ESTATE SECURITIES FUND CLASS I NUVEEN INVESTMENT TR V NUVEEN GLOBAL REAL ESTATE SECURITIES FUND CLASS C 1ST TR COMBINED SERIES 576 TX EX MUNICIPAL INCOME TR INTERMEDIATE SERIES 34 FIDELITY ADVISOR SERIES 2 FIDELITY ADVISOR STRATEGIC INCOME FUND FIDELITY STRATEGIC INCOME FUND FT STRATEGIC ALLOCATION PORT 2Q 18 TERM FT STRATEGIC ALLOCATION PORT 2Q 18 TERM FT STRATEGIC ALLOCATION PORT 2Q FT 7260 DIVERSIFIED FIXED INCOME ETF PORTFOLIO SERIES 34 CHICAGO, IL 4/10/ Registered CHICAGO, IL 4/10/ Registered CHICAGO, IL 4/10/ Registered CHICAGO, IL 4/10/ Registered WHEATON, IL 4/9/ Registered BOSTON, MA 4/9/ Registered WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered Page 3 of 9
4 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities FT ST TR ETF ALLOCATION PORTFOLIO SERIES 24 WHEATON, IL 4/9/ Registered FT 7283 HOMEBUILDERS RECOVERY SELECT PORTFOLIO SERIES 19 FT 7284 MLP CLOSED END FUND & ENERGY PORTFOLIO SERIES 59 FT 7294 INCOME ALLOCATION CLOSED END 2Q 18 FT 7296 TARGET DIVSD GLOBAL ALLOCATION 2Q 18 FT 7297 EUROPEAN TARGET HIGH QUALITY DVD 2Q 18 FT 7297 TARGET DVD BLEND 2Q 18 FT 7297 TARGET HIGH QUALITY DVD 2Q 18 TERM FT 7298 VALUE LINE TARGET SAFETY 30 2Q 18 WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered FT 7300 DOW TARGET 5 2Q 18 FT 7300 DOW TARGET DVD 2Q 18 FT 7300 GLOBAL TARGET 15 2Q 18 FT 7300 S&P DIVIDEND ARISTOCRATS 2Q 18 TERM WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered Page 4 of 9
5 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities FT 7300 S&P TARGET 24 2Q 18 WHEATON, IL 4/9/ Registered FT 7300 S&P TARGET SMID 60 2Q 18 FT 7300 TARGET DBL PLAY 2Q 18 FT 7300 TARGET DIVSD DVD 2Q 18 FT 7300 TARGET FOCUS 4 2Q 18 FT 7300 TARGET GLOBAL DVD LEADERS 2Q 18 WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered FT 7300 TARGET GROWTH 2Q 18 FT 7300 TARGET TRIAD 2Q 18 FT 7300 TARGET VIP 2Q 18 FT 7300 VALUE LINE TARGET 25 2Q 18 FT 7303 STRATEGIC INCOME SELECT CLOSED END PORTFOLIO SERIES 34 FT 7316 STRATEGIC INCOME ADVANTAGE OPPORTUNITY CLOSED END PORTFOLIO SERIES 6 FT 7317 BROOKMONT EQUITY DIVIDEND PORTFOLIO SERIES 15 GAMCO GROWTH FUND CLASS A SHARES WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered WHEATON, IL 4/9/ Registered RYE, NY 4/9/ Registered Page 5 of 9
6 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities GREEN CENTURY FUNDS GREEN CENTURY EQUITY FUND INSTITUTIONAL CLASS BOSTON, MA 4/9/ Pending-Cleared SMART TR 376 SMART TR DORSEY WRIGHT INTERNATIONAL MOMENTUM TR SERIES 11 SMART TR 376 SMART TR MILLER HOWARD NORTH AMERICAN ENERGY OPPORTUNITIES TR SERIES 10 TOUCHSTONE STRATEGIC TR TOUCHSTONE LARGE CAP FOCUSED FUND CLASS Y PARSIPPANY, NJ 4/9/ Pending-Cleared PARSIPPANY, NJ 4/9/ Registered CINCINNATI, OH 4/9/ Registered Number of Investment Company Filings: 61 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities BLOOM TREE OFFSHORE FUND LTD GRAND CAYMAN, AA 4/12/ Filed SEP GREEN BAY MOB LLC SKOKIE, IL 4/11/ Filed INTEGRATED VITAL MEDICAL DYNAMICS LLC MADISON, WI 4/10/ Filed Number of Regulation D Notice Filings: 3 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Chronic Tacos Enterprises, Inc. / Chronic Tacos Aliso Viejo, CA 4/13/ Registered Better Together, LLC / Dogtopia Phoenix, AZ 4/13/ Registered MMS Franchising LLC / Marilyn Monroe Spas Orlando, FL 4/13/ Registered InXpress, LLC / InXpress South Jordan, UT 4/13/ Registered Page 6 of 9
7 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date HCAC Franchise, Inc. / Heart Certified Auto Care GameTruck Licensing, LLC / GameTruck Pump It Up Holdings, LLC / Pump It Up MARCO'S FRANCHISING, LLC / Marco's Pizza PETS ARE INN INC / Pets Are Inn Rococo Franchise Corporation / Rocky Rococo Pizza and Pasta Clean Juice Franchising, LLC / Clean Juice BL Restaurant Franchises, LLC / Bar Louie Saladworks, LLC / Saladworks LABOR FINDERS INTERNATIONAL INC / Labor Finders GOLDEN CORRAL FRANCHISING SYSTEMS INC / Golden Corral Northbrook, IL 4/13/ Registered Tempe, AZ 4/13/ Registered Scottsdale, AZ 4/13/ Registered TOLEDO, OH 4/13/ Registered MINNEAPOLIS, MN 4/13/ Registered Oconomowoc, WI 4/13/ Registered Charlotte, NC 4/13/ Registered Addison, TX 4/13/ Registered West Conshohocken, PA PALM BEACH GARDENS, FL 4/13/ Registered 4/13/ Registered RALEIGH, NC 4/13/ Registered Zava Zone LG, LLC / Zava Zone Rockville, MD 4/13/ Registered Ground Round Independent Owners Cooperative, LLC / Ground Round Grill & Bar Restaurants; Ground Round Sports Grille & Restaurants RPM Summit Group, LLC / Rocket Fizz Renew Crew Franchising Corporation / Renew Crew ENGEL & VOLKERS Americas INC / Engel & Volkers North America and Engel & Volkers Americas Pandora Franchising, LLC / Pandora Uptown Cheapskate, LLC / Uptown Cheapskate HAND AND STONE FRANCHISE CORP / Hand & Stone Massage, Facial Spa Chick-fil-A, Inc. / "Chick-fil-A" or "Chick-fil-A, Inc." Freeport, ME 4/13/ Registered Incline Village, NV 4/12/ Registered Richmond, VA 4/12/ Registered New York, NY 4/12/ Registered Baltimore, MD 4/12/ Registered North Salt Lake, UT 4/12/ Registered Trevose, PA 4/12/ Registered Atlanta, GA 4/12/ Registered Page 7 of 9
8 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Chick-fil-A, Inc. / "Chick-fil-A" or "Chick-fil-A, Inc." Amazing Athletes Franchise System, LLC / Amazing Athletes CoreLife Eatery Franchisor, LLC / CoreLife Eatery HOTWORX Franchising, LLC / HOTWORX Studio MJ MK Enterprises LLC / Deka Lash Mosquito Squad Franchising Corporation / Mosquito Squad Outdoor Lighting Perspectives Franchising, Inc. / Outdoor Lighting Business HomeVestors of America, Inc. / HomeVestors FLOORCOVERINGS INTERNATIONAL LTD / FCI KILWINS CHOCOLATES FRANCHISE, INC / Kilwins Atlanta, GA 4/12/ Registered Franklin, TN 4/12/ Registered Binghamton, NY 4/12/ Registered Marrero, LA 4/12/ Registered McMurray, PA 4/12/ Registered Richmond, VA 4/11/ Registered Richmond, VA 4/11/ Registered Dallas, TX 4/11/ Registered Norcross, GA 4/11/ Registered PETOSKY, MI 4/11/ Registered Kitchen Wise, LLC / Kitchen Wise La Crosse, WI 4/11/ Registered KS La Crosse Investments, LLC / Kitchen Solvers HomeWell Senior Care, Inc. / HomeWell Senior Care NATIONAL HUNTING LEASE NETWORK LLC / Hunting Lease Network Big Frog Custom T-Shirts, Inc. / Big Frog ZOUP! Systems, LLC / Zoup Restaurants THE CLEANING AUTHORITY LLC AFC Franchising, LLC / AFC/American Family Care Burrito Holdings Franchise Services, Inc. / Uberrito Image Marketing Enterprises, LLC / John Casablancas Modeling & Career Center WOW 1 DAY PAINTING LLC / WOW 1 DAY PAINTING Next Step Franchising, LLC / Lapels Dry Cleaning La Crosse, WI 4/11/ Registered Fort Worth, TX 4/11/ Registered OMAHA, NE 4/11/ Registered Dunedin, FL 4/11/ Registered Southfield, MI 4/11/ Registered COLUMBIA, MD 4/11/ Registered Birmingham, AL 4/11/ Registered Houston, TX 4/11/ Registered Chesterfield, MO 4/10/ Registered Vancouver, BC 4/10/ Registered Clearwater, FL 4/10/ Registered Page 8 of 9
9 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Gotcha Covered Franchising, LLC / Gotcha Covered USA INSULATION FRANCHISE CORP / USA INSULATION Sperry Commercial Global Affiliates, LLC / Sperry Commercial Global Affiliates and SperryCGA Denver, CO 4/10/ Registered Cleveland, OH 4/10/ Registered Irvine, CA 4/9/ Registered PB Franchising, LLC / Pure Barre Denver, CO 4/9/ Registered New Horizons Franchising Group Inc. / New Horizons Paisano's Franchise System, Inc. / Paisano's DREAM DINNERS INC / Dream Dinners My Place Hotels of America, LLC / My Place Mr. Goodcents Franchise Systems, Inc. / Goodcents Deli Fresh Subs Anaheim, CA 4/9/ Registered Chantilly, VA 4/9/ Registered SNOHOMISH, WA 4/9/ Registered Aberdeen, SD 4/9/ Registered De Soto, KS 4/9/ Registered CruiseOne, Inc. / CruiseOne Ft Lauderdale, FL 4/9/ Registered Board and Brush Creative Studio Franchising LLC / Board and Brush Creative Studio The Haagen-Dazs Shoppe Company, Inc. / Haagen-Dazs Shop Number of Franchise Filings: 58 Hartland, WI 4/9/ Registered Minneapolis, MN 4/9/ Registered Corporate Take-Over Law Filings Made with DFI s Securities Takeover Filing Reference Number of Takeover Filings: 0 Date Page 9 of 9
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
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,
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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 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 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
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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:
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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 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
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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
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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 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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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 7/8/2018 through 7/14/2018
Securities Law Registration Filings Made with DFI s Securities HEDGE FUND GUIDED PORTFOLIO SOLUTION Number of Registration Filings: 1 CHICAGO, IL 7/13/2018 00842088-01 Pending-Cleared Securities Law Exemption
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
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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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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 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 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
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Securities Law Registration Filings Made with DFI s Securities Division DESTRA INTERNATIONAL & EVENT DRIVEN CREDIT FUND CHICAGO, IL 3/21/2018 00835564-01 Pending RIVER CHRISTIAN CENTER INC DBA RIVER CHRISTIAN
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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 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 12/16/2018 through 12/22/2018
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
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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
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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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