SEC Filings

Latest SEC Documents

SEC Documents
Company
CIK
DocumentForm
BANK OF NEW YORK / ADR DIVISION
0001201935
Post-effective amendments for immediately effective filing
2019-02-15 15:20:39
F-6 POS
SHIONOGI & CO LTD
0001281721
Post-effective amendments for immediately effective filing
2019-02-15 15:20:39
F-6 POS
BALCHEM CORP
0000009326
Statement of changes in beneficial ownership of securities
2019-02-15 15:20:31
4
Harris Theodore L
0001378228
Statement of changes in beneficial ownership of securities
2019-02-15 15:20:31
4
CarMax Auto Owner Trust 2018-2
0001734850
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 15:20:10
10-D
Soliton, Inc.
0001548187
Form CERT
2019-02-15 15:18:31
CERT
CarMax Auto Owner Trust 2018-1
0001725618
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 15:18:30
10-D
Ally Auto Assets LLC
0001477336
Form SF-3/A [Amend]
2019-02-15 15:17:57
SF-3/A
SONOCO PRODUCTS CO
0000091767
Statement of changes in beneficial ownership of securities
2019-02-15 15:17:42
4
Albrecht Julie C
0001701692
Statement of changes in beneficial ownership of securities
2019-02-15 15:17:42
4
PERKINS CAPITAL MANAGEMENT INC
0000884300
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:17:36
SC 13G/A
CANCER GENETICS, INC
0001349929
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:17:36
SC 13G/A
OIL STATES INTERNATIONAL, INC
0001121484
Statement of changes in beneficial ownership of securities
2019-02-15 15:17:01
4
TAYLOR CINDY B
0001198828
Statement of changes in beneficial ownership of securities
2019-02-15 15:17:01
4
CarMax Auto Owner Trust 2017-4
0001718592
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 15:16:53
10-D
HIRSCHMAN ORIN
0001131362
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:16:13
SC 13G/A
ONE STOP SYSTEMS, INC.
0001394056
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:16:13
SC 13G/A
Moab Capital Partners LLC
0001377817
[Amend] Quarterly report filed by institutional managers, Holdings
2019-02-15 15:15:09
13F-HR/A
CarMax Auto Owner Trust 2017-3
0001710329
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 15:15:02
10-D
MARSHFIELD ASSOCIATES
0000914976
Quarterly report filed by institutional managers, Holdings
2019-02-15 15:14:50
13F-HR
YRC Worldwide Inc.
0000716006
Statement of changes in beneficial ownership of securities
2019-02-15 15:14:36
4
Ware Scott D.
0001565762
Statement of changes in beneficial ownership of securities
2019-02-15 15:14:36
4
Meritage Homes CORP
0000833079
Annual report [Section 13 and 15(d), not S-K Item 405]
2019-02-15 15:14:13
10-K
W FINANCIAL FUND, LP
0001248244
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.5
2019-02-15 15:14:05
D/A
Intudo Ventures II, LP
0001767999
Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 15:13:46
D
CarMax Auto Owner Trust 2017-2
0001702777
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 15:13:30
10-D
COMMUNITY BANCORP /VT
0000718413
Statement of changes in beneficial ownership of securities
2019-02-15 15:13:28
4
LALIME ROSEMARY M
0001190455
Statement of changes in beneficial ownership of securities
2019-02-15 15:13:28
4
LiveRamp Holdings, Inc.
0000733269
Statement of changes in beneficial ownership of securities
2019-02-15 15:13:11
4
Gramaglia Jerry
0001294181
Statement of changes in beneficial ownership of securities
2019-02-15 15:13:11
4
IDEXX LABORATORIES INC /DE
0000874716
Annual report [Section 13 and 15(d), not S-K Item 405]
2019-02-15 15:13:08
10-K
Medley Capital Corp
0001490349
Additional definitive proxy soliciting materials and Rule 14(a)(12) material
2019-02-15 15:12:53
DEFA14A
Managed Portfolio Series
0001511699
[Amend] Annual Report for Registered Investment Companies
2019-02-15 15:12:45
N-CEN/A
CONSUMER PORTFOLIO SERVICES INC
0000889609
Asset-backed securitizer report pursuant to Section 15G, item 1.02
2019-02-15 15:12:37
ABS-15G
Managed Portfolio Series
0001511699
[Amend] Annual Report for Registered Investment Companies
2019-02-15 15:12:34
N-CEN/A
Managed Portfolio Series
0001511699
[Amend] Annual Report for Registered Investment Companies
2019-02-15 15:12:24
N-CEN/A
Managed Portfolio Series
0001511699
[Amend] Annual Report for Registered Investment Companies
2019-02-15 15:12:14
N-CEN/A
Managed Portfolio Series
0001511699
[Amend] Annual Report for Registered Investment Companies
2019-02-15 15:12:05
N-CEN/A
XCel Brands, Inc.
0001083220
Current report, items 1.01, 2.01, 2.03, 3.02, and 9.01
2019-02-15 15:11:51
8-K
CarMax Auto Owner Trust 2017-1
0001693819
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 15:11:28
10-D
Medley Capital Corp
0001490349
Prospectuses and communications, business combinations
2019-02-15 15:11:06
425
Sierra Income Corp
0001523526
Prospectuses and communications, business combinations
2019-02-15 15:11:06
425
AMG Funds IV
0000912036
Definitive materials
2019-02-15 15:11:02
497
Cure Pharmaceutical Holding Corp.
0001643301
Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:10:49
SC 13G
Hangar202, LLC
0001766877
Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:10:49
SC 13G
MAPLELANE OFFSHORE FUND, LTD.
0001667062
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 15:10:26
D/A
Tanglin Venture Fund I, LLC
0001764104
Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 15:10:14
D
AMG FUNDS III
0000720309
Definitive materials
2019-02-15 15:10:02
497
Realm Therapeutics plc
0001718903
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 15:10:02
6-K
CFS Holding, Inc.
0001628209
Notice of Exempt Offering of Securities, item 06b
2019-02-15 15:09:51
D
CarMax Auto Owner Trust 2016-4
0001686277
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 15:09:49
10-D
SCP Vitalife Partners II LP
0001398330
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:09:18
SC 13G/A
ReWalk Robotics Ltd.
0001607962
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:09:18
SC 13G/A
YRC Worldwide Inc.
0000716006
Statement of changes in beneficial ownership of securities
2019-02-15 15:09:06
4
Stone Loren Robert
0001725405
Statement of changes in beneficial ownership of securities
2019-02-15 15:09:06
4
AMG Funds II
0000879947
Definitive materials
2019-02-15 15:09:02
497
FMC CORP
0000037785
Statement of changes in beneficial ownership of securities
2019-02-15 15:08:46
4
UTECHT ANDREA E
0001213989
Statement of changes in beneficial ownership of securities
2019-02-15 15:08:46
4
UBS Group AG
0001610520
Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:08:02
SC 13G
Voyager Therapeutics, Inc.
0001640266
Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:08:02
SC 13G
AMG Funds I
0000882443
Definitive materials
2019-02-15 15:08:02
497
CarMax Auto Owner Trust 2016-3
0001678507
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 15:08:01
10-D
FMC CORP
0000037785
Statement of changes in beneficial ownership of securities
2019-02-15 15:07:38
4
Sandifer Andrew D
0001739998
Statement of changes in beneficial ownership of securities
2019-02-15 15:07:38
4
JOHN HANCOCK TAX-ADVANTAGED DIVIDEND INCOME FUND
0001260041
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:07:32
SC 13G/A
UBS Group AG
0001610520
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:07:32
SC 13G/A
ENTRANET INC.
0001610473
[Amend] General form for registration of securities under the Securities Act of 1933
2019-02-15 15:07:28
S-1/A
CREDIT SUISSE AG
0001053092
Prospectus [Rule 424(b)(2)]
2019-02-15 15:07:02
424B2
FMC CORP
0000037785
Statement of changes in beneficial ownership of securities
2019-02-15 15:06:33
4
Pfeiffer Nicholas
0001584507
Statement of changes in beneficial ownership of securities
2019-02-15 15:06:33
4
CarMax Auto Owner Trust 2016-2
0001671212
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 15:06:33
10-D
AMG FUNDS
0001089951
Definitive materials
2019-02-15 15:06:32
497
DANA INC
0000026780
Annual report [Section 13 and 15(d), not S-K Item 405]
2019-02-15 15:06:28
10-K
PENINSULA ASSET MANAGEMENT INC
0001091923
Quarterly report filed by institutional managers, Holdings
2019-02-15 15:05:44
13F-HR
EMERGING MARKETS COUNTRY FUND
0000942359
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 15:05:42
D/A
FMC CORP
0000037785
Statement of changes in beneficial ownership of securities
2019-02-15 15:05:32
4
Graves Paul W
0001559551
Statement of changes in beneficial ownership of securities
2019-02-15 15:05:32
4
Energy Opportunities Capital Management, LLC
0001505791
Quarterly report filed by institutional managers, Holdings
2019-02-15 15:05:19
13F-HR
Alphatec Holdings, Inc.
0001350653
Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:05:03
SC 13G
UBS Group AG
0001610520
Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:05:03
SC 13G
CANADIAN PACIFIC RAILWAY LTD/CN
0000016875
Annual report [Section 13 and 15(d), not S-K Item 405]
2019-02-15 15:04:45
10-K
Cheaters III Ltd.
0001766361
Offering Statement
2019-02-15 15:04:44
C
YRC Worldwide Inc.
0000716006
Statement of changes in beneficial ownership of securities
2019-02-15 15:04:40
4
Simoneau Brianne L.
0001707105
Statement of changes in beneficial ownership of securities
2019-02-15 15:04:40
4
CarMax Auto Owner Trust 2016-1
0001662810
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 15:04:35
10-D
FMC CORP
0000037785
Statement of changes in beneficial ownership of securities
2019-02-15 15:04:24
4
DOUGLAS MARK
0001434812
Statement of changes in beneficial ownership of securities
2019-02-15 15:04:24
4
Clarfeld Financial Advisors, LLC
0001766347
Quarterly report filed by institutional managers, Holdings
2019-02-15 15:03:24
13F-HR
FMC CORP
0000037785
Statement of changes in beneficial ownership of securities
2019-02-15 15:03:14
4
BRONDEAU PIERRE R
0001240940
Statement of changes in beneficial ownership of securities
2019-02-15 15:03:14
4
Citigroup Global Markets Holdings Inc.
0000200245
Prospectus [Rule 424(b)(2)]
2019-02-15 15:03:13
424B2
CITIGROUP INC
0000831001
Prospectus [Rule 424(b)(2)]
2019-02-15 15:03:13
424B2
CarMax Auto Owner Trust 2015-4
0001654861
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 15:03:08
10-D
Shire plc
0000936402
Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:03:02
SC 13G
UBS Group AG
0001610520
Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:03:02
SC 13G
Eaton Vance Series Fund, Inc
0001552324
Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(K)
2019-02-15 15:02:56
497K
ISTAR INC.
0001095651
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:02:02
SC 13G/A
UBS Group AG
0001610520
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:02:02
SC 13G/A
CarMax Auto Owner Trust 2015-3
0001648945
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 15:01:46
10-D
BROADRIDGE FINANCIAL SOLUTIONS, INC.
0001383312
Current report, item 5.02
2019-02-15 15:01:38
8-K
LiveRamp Holdings, Inc.
0000733269
Statement of changes in beneficial ownership of securities
2019-02-15 15:01:04
4
FOX RICHARD P
0001249773
Statement of changes in beneficial ownership of securities
2019-02-15 15:01:04
4
ELLSWORTH GROWTH & INCOME FUND LTD
0000793040
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:01:02
SC 13G/A
Fortress Biotech, Inc.
0001429260
Current report, items 2.01, 8.01, and 9.01
2019-02-15 15:01:02
8-K
UBS Group AG
0001610520
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:01:02
SC 13G/A
BARCLAYS BANK PLC
0000312070
Prospectus [Rule 424(b)(2)]
2019-02-15 15:01:00
424B2
SPIRITS TIME INTERNATIONAL, INC.
0001434737
[Amend] Quarterly report [Sections 13 or 15(d)]
2019-02-15 15:00:49
10-Q/A
SILVERBOW RESOURCES, INC.
0000351817
Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:00:33
SC 13G
UBS Group AG
0001610520
Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:00:33
SC 13G
Baying Ecological Holding Group Inc.
0001333519
Quarterly report [Sections 13 or 15(d)]
2019-02-15 15:00:19
10-Q
Eaton Vance Series Fund, Inc
0001552324
Definitive materials
2019-02-15 15:00:18
497
HRT FINANCIAL LLC
0001475597
Quarterly report filed by institutional managers, Holdings
2019-02-15 15:00:16
13F-HR
WCM Focused Global Growth Long-Short Offshore Fund Ltd.
0001768107
Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 15:00:13
D
10-15 ASSOCIATES, INC.
0001511144
Quarterly report filed by institutional managers, Holdings
2019-02-15 15:00:11
13F-HR
HIRSCHMAN ORIN
0001131362
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:00:10
SC 13G/A
Vuzix Corp
0001463972
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 15:00:10
SC 13G/A
JPMORGAN CHASE & CO
0000019617
Prospectus [Rule 424(b)(2)]
2019-02-15 15:00:05
424B2
JPMorgan Chase Financial Co. LLC
0001665650
Prospectus [Rule 424(b)(2)]
2019-02-15 15:00:05
424B2
CarMax Auto Owner Trust 2015-2
0001640878
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 15:00:04
10-D
CITIZENS FINANCIAL GROUP INC/RI
0000759944
Statement of changes in beneficial ownership of securities
2019-02-15 14:59:45
4
Casady Mark S
0001405275
Statement of changes in beneficial ownership of securities
2019-02-15 14:59:45
4
YRC Worldwide Inc.
0000716006
Statement of changes in beneficial ownership of securities
2019-02-15 14:59:35
4
Ringgenberg Jason T
0001701686
Statement of changes in beneficial ownership of securities
2019-02-15 14:59:35
4
CITIZENS FINANCIAL GROUP INC/RI
0000759944
Statement of changes in beneficial ownership of securities
2019-02-15 14:59:12
4
HANKOWSKY WILLIAM P
0001248371
Statement of changes in beneficial ownership of securities
2019-02-15 14:59:12
4
PERKINS CAPITAL MANAGEMENT INC
0000884300
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:59:07
SC 13G
Avinger Inc
0001506928
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:59:07
SC 13G
JPMORGAN CHASE & CO
0000019617
Prospectus [Rule 424(b)(2)]
2019-02-15 14:59:05
424B2
JPMorgan Chase Financial Co. LLC
0001665650
Prospectus [Rule 424(b)(2)]
2019-02-15 14:59:05
424B2
WEST COAST VENTURES GROUP CORP.
0001551906
Other preliminary information statements
2019-02-15 14:58:53
PRE 14C
Advisory Services Network, LLC
0001573876
Quarterly report filed by institutional managers, Holdings
2019-02-15 14:58:53
13F-HR
ORLEANS CAPITAL MANAGEMENT CORP/LA
0001013234
Quarterly report filed by institutional managers, Holdings
2019-02-15 14:58:43
13F-HR
CITIZENS FINANCIAL GROUP INC/RI
0000759944
Statement of changes in beneficial ownership of securities
2019-02-15 14:58:39
4
KOCH CHARLES JOHN
0001220183
Statement of changes in beneficial ownership of securities
2019-02-15 14:58:39
4
CarMax Auto Owner Trust 2015-1
0001633241
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 14:58:36
10-D
HARRIS ASSOCIATES INVESTMENT TRUST
0000872323
Quarterly Schedule of portfolio holdings of management investment companies
2019-02-15 14:58:10
N-Q
JPMORGAN CHASE & CO
0000019617
Prospectus [Rule 424(b)(2)]
2019-02-15 14:58:08
424B2
JPMorgan Chase Financial Co. LLC
0001665650
Prospectus [Rule 424(b)(2)]
2019-02-15 14:58:08
424B2
CITIZENS FINANCIAL GROUP INC/RI
0000759944
Statement of changes in beneficial ownership of securities
2019-02-15 14:58:07
4
Watson Wendy A.
0001614169
Statement of changes in beneficial ownership of securities
2019-02-15 14:58:07
4
SELECTIVE INSURANCE GROUP INC
0000230557
Annual report [Section 13 and 15(d), not S-K Item 405]
2019-02-15 14:57:43
10-K
HARRIS ASSOCIATES INVESTMENT TRUST
0000872323
Periodic and interim reports mailed to shareholders
2019-02-15 14:57:43
N-30B-2
CITIZENS FINANCIAL GROUP INC/RI
0000759944
Statement of changes in beneficial ownership of securities
2019-02-15 14:57:35
4
Subramaniam Shivan S.
0001614157
Statement of changes in beneficial ownership of securities
2019-02-15 14:57:35
4
Invesco Ltd.
0000914208
[Amend] General statement of acquisition of beneficial ownership
2019-02-15 14:57:29
SC 13D/A
Motif Bio plc
0001674657
[Amend] General statement of acquisition of beneficial ownership
2019-02-15 14:57:29
SC 13D/A
CITIZENS FINANCIAL GROUP INC/RI
0000759944
Statement of changes in beneficial ownership of securities
2019-02-15 14:57:03
4
ZURAITIS MARITA
0001198960
Statement of changes in beneficial ownership of securities
2019-02-15 14:57:03
4
YOGA INTERNATIONAL, LLC
0001637678
Notice of Exempt Offering of Securities, item 06b
2019-02-15 14:57:03
D
CITIBANK CREDIT CARD MASTER TRUST I
0000921864
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 14:57:02
10-D
CITIBANK CREDIT CARD ISSUANCE TRUST
0001108348
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 14:57:02
10-D
Citibank, N.A., as depositor of Citibank Credit Card Issuance Trust
0001522616
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 14:57:02
10-D
Triton Pacific Investment Corporation, Inc.
0001521945
Definitive materials
2019-02-15 14:56:44
497
CITIZENS FINANCIAL GROUP INC/RI
0000759944
Statement of changes in beneficial ownership of securities
2019-02-15 14:56:30
4
RYAN ARTHUR F
0001187443
Statement of changes in beneficial ownership of securities
2019-02-15 14:56:30
4
PERKINS CAPITAL MANAGEMENT INC
0000884300
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:56:13
SC 13G/A
Black Ridge Oil & Gas, Inc.
0001490161
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:56:13
SC 13G/A
Magyar Bancorp, Inc.
0001337068
Current report, items 5.07 and 9.01
2019-02-15 14:56:12
8-K
AMALGAMATED BANK
0000919192
Quarterly report filed by institutional managers, Holdings
2019-02-15 14:56:05
13F-HR
JPMORGAN CHASE & CO
0000019617
Prospectus [Rule 424(b)(2)]
2019-02-15 14:56:02
424B2
Eldorado Resorts, Inc.
0001590895
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:56:02
SC 13G
UBS Group AG
0001610520
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:56:02
SC 13G
JPMorgan Chase Financial Co. LLC
0001665650
Prospectus [Rule 424(b)(2)]
2019-02-15 14:56:02
424B2
CITIZENS FINANCIAL GROUP INC/RI
0000759944
Statement of changes in beneficial ownership of securities
2019-02-15 14:55:59
4
DI IORIO ANTHONY M
0001026926
Statement of changes in beneficial ownership of securities
2019-02-15 14:55:59
4
1 800 FLOWERS COM INC
0001084869
Statement of changes in beneficial ownership of securities
2019-02-15 14:55:47
4
MCCANN CHRISTOPHER G
0001105954
Statement of changes in beneficial ownership of securities
2019-02-15 14:55:47
4
HOOPER HOLMES INC
0000741815
Current report, item 1.03
2019-02-15 14:55:46
8-K
Flux Power Holdings, Inc.
0001083743
Current report, items 2.02 and 9.01
2019-02-15 14:55:33
8-K
R F INDUSTRIES LTD
0000740664
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:55:29
SC 13G/A
HIRSCHMAN ORIN
0001131362
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:55:29
SC 13G/A
CITIZENS FINANCIAL GROUP INC/RI
0000759944
Statement of changes in beneficial ownership of securities
2019-02-15 14:55:28
4
Hanna Howard W. III
0001614155
Statement of changes in beneficial ownership of securities
2019-02-15 14:55:28
4
BJ's Wholesale Club Holdings, Inc.
0001531152
Statement of changes in beneficial ownership of securities
2019-02-15 14:55:12
4
Kessler Scott
0001743501
Statement of changes in beneficial ownership of securities
2019-02-15 14:55:12
4
YRC Worldwide Inc.
0000716006
Statement of changes in beneficial ownership of securities
2019-02-15 14:55:05
4
Moshier Howard
0001718346
Statement of changes in beneficial ownership of securities
2019-02-15 14:55:05
4
CITIZENS FINANCIAL GROUP INC/RI
0000759944
Statement of changes in beneficial ownership of securities
2019-02-15 14:54:51
4
Cumming Christine M
0001653487
Statement of changes in beneficial ownership of securities
2019-02-15 14:54:51
4
V'Ocean Investments Ltd.
0001663683
D/A [Amend] - Notice of Exempt Offering of Securities
2019-02-15 14:54:35
D/A [Amend]
V'Ocean Investments Ltd.
0001663683
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 14:54:35
D/A
CITIZENS FINANCIAL GROUP INC/RI
0000759944
Statement of changes in beneficial ownership of securities
2019-02-15 14:54:21
4
HIGDON LEO I JR
0001064587
Statement of changes in beneficial ownership of securities
2019-02-15 14:54:21
4
CITIZENS FINANCIAL GROUP INC/RI
0000759944
Statement of changes in beneficial ownership of securities
2019-02-15 14:53:46
4
Gannon Stephen T.
0001615931
Statement of changes in beneficial ownership of securities
2019-02-15 14:53:46
4
PERKINS CAPITAL MANAGEMENT INC
0000884300
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:53:16
SC 13G
TearLab Corp
0001299139
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:53:16
SC 13G
CITIZENS FINANCIAL GROUP INC/RI
0000759944
Statement of changes in beneficial ownership of securities
2019-02-15 14:53:14
4
Conner Brad L.
0001614164
Statement of changes in beneficial ownership of securities
2019-02-15 14:53:14
4
ORBCOMM Inc.
0001361983
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:53:02
SC 13G
UBS Group AG
0001610520
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:53:02
SC 13G
CITIZENS FINANCIAL GROUP INC/RI
0000759944
Statement of changes in beneficial ownership of securities
2019-02-15 14:52:42
4
MCCREE DONALD H III
0001197619
Statement of changes in beneficial ownership of securities
2019-02-15 14:52:42
4
Smart Lunches, Inc.
0001557404
Notice of Exempt Offering of Securities, item 06b
2019-02-15 14:52:21
D
March Fund I US LP
0001768054
Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 14:52:21
D
Morgan Stanley Finance LLC
0001666268
Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 14:52:11
FWP
CITIZENS FINANCIAL GROUP INC/RI
0000759944
Statement of changes in beneficial ownership of securities
2019-02-15 14:52:08
4
VAN SAUN BRUCE
0001199914
Statement of changes in beneficial ownership of securities
2019-02-15 14:52:08
4
Weiss Asset Management LP
0001357550
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:51:58
SC 13G
Wealthbridge Acquisition Ltd
0001753673
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:51:58
SC 13G
Drone Guarder, Inc.
0001574863
Quarterly report [Sections 13 or 15(d)]
2019-02-15 14:51:26
10-Q
CAMPBELL CAPITAL MANAGEMENT INC
0000826794
Quarterly report filed by institutional managers, Holdings
2019-02-15 14:51:16
13F-HR
CITIZENS FINANCIAL GROUP INC/RI
0000759944
Statement of changes in beneficial ownership of securities
2019-02-15 14:51:13
4
GRIGGS MALCOLM D
0001247731
Statement of changes in beneficial ownership of securities
2019-02-15 14:51:13
4
QAD INC
0001036188
Statement of changes in beneficial ownership of securities
2019-02-15 14:51:12
4
LOPKER PAMELA M
0001102753
Statement of changes in beneficial ownership of securities
2019-02-15 14:51:12
4
AMERICAN AXLE & MANUFACTURING HOLDINGS INC
0001062231
Annual report [Section 13 and 15(d), not S-K Item 405]
2019-02-15 14:51:03
10-K
MORGAN STANLEY
0000895421
Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 14:50:49
FWP
Black Knight, Inc.
0001627014
Initial statement of beneficial ownership of securities
2019-02-15 14:50:44
3
Meyers Michele M
0001768036
Initial statement of beneficial ownership of securities
2019-02-15 14:50:44
3
PC Highland Gardens Holdings, LLC
0001767767
Notice of Exempt Offering of Securities, item 06b
2019-02-15 14:50:40
D
YRC Worldwide Inc.
0000716006
Statement of changes in beneficial ownership of securities
2019-02-15 14:50:24
4
Lilly Mitch
0001748787
Statement of changes in beneficial ownership of securities
2019-02-15 14:50:24
4
MORGAN STANLEY
0000895421
Prospectus [Rule 424(b)(2)]
2019-02-15 14:50:09
424B2
Morgan Stanley Finance LLC
0001666268
Prospectus [Rule 424(b)(2)]
2019-02-15 14:50:09
424B2
Pandora Media, LLC
0001230276
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:50:02
SC 13G
UBS Group AG
0001610520
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:50:02
SC 13G
BLACKROCK LARGE CAP SERIES FUNDS, INC.
0001097077
Post-effective amendment [Rule 485(b)]
2019-02-15 14:49:16
485BPOS
BLACKROCK LARGE CAP SERIES FUNDS, INC.
0001097077
Post-effective amendment [Rule 485(b)]
2019-02-15 14:49:16
485BPOS
Weiss Asset Management LP
0001357550
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:49:12
SC 13G
Leo Holdings Corp.
0001725134
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:49:12
SC 13G
LiveRamp Holdings, Inc.
0000733269
Statement of changes in beneficial ownership of securities
2019-02-15 14:48:59
4
DILLARD WILLIAM T II
0001179684
Statement of changes in beneficial ownership of securities
2019-02-15 14:48:59
4
LUMINUS ENERGY PARTNERS LTD
0001342506
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 14:47:27
D/A
SocialSwell, Inc.
0001768205
Notice of Exempt Offering of Securities, item 06b
2019-02-15 14:47:23
D
Evoqua Water Technologies Corp.
0001604643
Current report, items 8.01 and 9.01
2019-02-15 14:46:46
8-K
Weiss Asset Management LP
0001357550
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:46:43
SC 13G
TKK SYMPHONY ACQUISITION Corp
0001738758
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:46:43
SC 13G
JPMORGAN CHASE & CO
0000019617
Prospectus [Rule 424(b)(2)]
2019-02-15 14:46:40
424B2
JPMorgan Chase Financial Co. LLC
0001665650
Prospectus [Rule 424(b)(2)]
2019-02-15 14:46:40
424B2
COASTAL FINANCIAL CORP
0001437958
Statement of changes in beneficial ownership of securities
2019-02-15 14:46:26
4
Klee Stephan
0001747974
Statement of changes in beneficial ownership of securities
2019-02-15 14:46:26
4
COASTAL FINANCIAL CORP
0001437958
Statement of changes in beneficial ownership of securities
2019-02-15 14:46:22
4
Keithley Russ A
0001743785
Statement of changes in beneficial ownership of securities
2019-02-15 14:46:22
4
PUBLIC EMPLOYEES RETIREMENT SYSTEM OF OHIO
0001007280
Quarterly report filed by institutional managers, Holdings
2019-02-15 14:46:17
13F-HR
NVR INC
0000906163
Annual statement of changes in beneficial ownership of securities
2019-02-15 14:46:12
5
PREISER DAVID A
0001122670
Annual statement of changes in beneficial ownership of securities
2019-02-15 14:46:12
5
PFM Multi-Manager Series Trust
0001696729
Post-effective amendment [Rule 485(b)]
2019-02-15 14:46:11
485BPOS
PFM Multi-Manager Series Trust
0001696729
Post-effective amendment [Rule 485(b)]
2019-02-15 14:46:11
485BPOS
Public Resources Advisory Group, Inc.
0001612223
Application for Municipal Advisor Registration for Natural Persons
2019-02-15 14:45:43
MA-I
HIRSCHMAN ORIN
0001131362
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:45:15
SC 13G/A
NanoVibronix, Inc.
0001326706
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:45:15
SC 13G/A
COASTAL FINANCIAL CORP
0001437958
Statement of changes in beneficial ownership of securities
2019-02-15 14:45:15
4
Adams Christopher D
0001743622
Statement of changes in beneficial ownership of securities
2019-02-15 14:45:15
4
YRC Worldwide Inc.
0000716006
Statement of changes in beneficial ownership of securities
2019-02-15 14:44:56
4
Hawkins Darren
0001601616
Statement of changes in beneficial ownership of securities
2019-02-15 14:44:56
4
Florissant SSL, LLC
0001768180
Notice of Exempt Offering of Securities, item 06c
2019-02-15 14:44:27
D
KINGSTONE COMPANIES, INC.
0000033992
Current report, items 7.01 and 9.01
2019-02-15 14:44:06
8-K
COASTAL FINANCIAL CORP
0001437958
Statement of changes in beneficial ownership of securities
2019-02-15 14:44:04
4
Haugen John M Jr
0001743645
Statement of changes in beneficial ownership of securities
2019-02-15 14:44:04
4
HOVDE STEVEN D
0001019966
Statement of changes in beneficial ownership of securities
2019-02-15 14:42:58
4
COASTAL FINANCIAL CORP
0001437958
Statement of changes in beneficial ownership of securities
2019-02-15 14:42:58
4
COASTAL FINANCIAL CORP
0001437958
Statement of changes in beneficial ownership of securities
2019-02-15 14:42:54
4
Lane Thomas D
0001743650
Statement of changes in beneficial ownership of securities
2019-02-15 14:42:54
4
Luminus Energy Partners QP LP
0001307684
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 14:42:45
D/A
Cellectar Biosciences, Inc.
0001279704
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:42:32
SC 13G
UBS Group AG
0001610520
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:42:32
SC 13G
COASTAL FINANCIAL CORP
0001437958
Statement of changes in beneficial ownership of securities
2019-02-15 14:41:48
4
Skotdal Andrew P
0001745587
Statement of changes in beneficial ownership of securities
2019-02-15 14:41:48
4
COASTAL FINANCIAL CORP
0001437958
Statement of changes in beneficial ownership of securities
2019-02-15 14:41:44
4
Tisdel Gregory A
0001745650
Statement of changes in beneficial ownership of securities
2019-02-15 14:41:44
4
Sprink Eric M
0001299647
Statement of changes in beneficial ownership of securities
2019-02-15 14:41:40
4
COASTAL FINANCIAL CORP
0001437958
Statement of changes in beneficial ownership of securities
2019-02-15 14:41:40
4
OVERSTOCK.COM, INC
0001130713
Statement of changes in beneficial ownership of securities
2019-02-15 14:41:33
4
Moore Seth
0001697278
Statement of changes in beneficial ownership of securities
2019-02-15 14:41:33
4
ICONIQ Strategic Partners IV Co-Invest, L.P.
0001768196
Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 14:41:18
D
YRC Worldwide Inc.
0000716006
Statement of changes in beneficial ownership of securities
2019-02-15 14:41:06
4
Hall Justin M.
0001676182
Statement of changes in beneficial ownership of securities
2019-02-15 14:41:06
4
CREDIT SUISSE AG
0001053092
Prospectus [Rule 424(b)(2)]
2019-02-15 14:40:39
424B2
DICKSON JOHN J
0001221615
Statement of changes in beneficial ownership of securities
2019-02-15 14:40:34
4
COASTAL FINANCIAL CORP
0001437958
Statement of changes in beneficial ownership of securities
2019-02-15 14:40:34
4
SCHWAB CHARLES CORP
0000316709
Statement of changes in beneficial ownership of securities
2019-02-15 14:40:30
4
SCHWAB CHARLES R
0000923738
Statement of changes in beneficial ownership of securities
2019-02-15 14:40:30
4
EDWARDS JOEL G
0001260912
Statement of changes in beneficial ownership of securities
2019-02-15 14:40:26
4
COASTAL FINANCIAL CORP
0001437958
Statement of changes in beneficial ownership of securities
2019-02-15 14:40:26
4
TIMKEN CO
0000098362
Statement of changes in beneficial ownership of securities
2019-02-15 14:40:22
4
OVERSTOCK.COM, INC
0001130713
Statement of changes in beneficial ownership of securities
2019-02-15 14:40:22
4
Fracassa Philip D.
0001598539
Statement of changes in beneficial ownership of securities
2019-02-15 14:40:22
4
Lee Carter Paul
0001632937
Statement of changes in beneficial ownership of securities
2019-02-15 14:40:22
4
TIMKEN CO
0000098362
Statement of changes in beneficial ownership of securities
2019-02-15 14:39:49
4
Myers Ronald J
0001674190
Statement of changes in beneficial ownership of securities
2019-02-15 14:39:49
4
JPMORGAN CHASE & CO
0000019617
Prospectus [Rule 424(b)(2)]
2019-02-15 14:39:33
424B2
JPMorgan Chase Financial Co. LLC
0001665650
Prospectus [Rule 424(b)(2)]
2019-02-15 14:39:33
424B2
TIMKEN CO
0000098362
Statement of changes in beneficial ownership of securities
2019-02-15 14:39:16
4
Kyle Richard G
0001507947
Statement of changes in beneficial ownership of securities
2019-02-15 14:39:16
4
OVERSTOCK.COM, INC
0001130713
Statement of changes in beneficial ownership of securities
2019-02-15 14:39:12
4
Borda Catherine
0001755256
Statement of changes in beneficial ownership of securities
2019-02-15 14:39:12
4
RPC INC
0000742278
[Amend] Statement of changes in beneficial ownership of securities
2019-02-15 14:38:42
4/A
Kreisler Amy Rollins
0001688726
[Amend] Statement of changes in beneficial ownership of securities
2019-02-15 14:38:42
4/A
TIMKEN CO
0000098362
Statement of changes in beneficial ownership of securities
2019-02-15 14:38:41
4
Chadwick Shelly Marie
0001688289
Statement of changes in beneficial ownership of securities
2019-02-15 14:38:41
4
Motorola Solutions, Inc.
0000068505
Annual report [Section 13 and 15(d), not S-K Item 405]
2019-02-15 14:38:15
10-K
TIMKEN CO
0000098362
Statement of changes in beneficial ownership of securities
2019-02-15 14:38:09
4
Coughlin Christopher A
0001508035
Statement of changes in beneficial ownership of securities
2019-02-15 14:38:09
4
Citigroup Global Markets Holdings Inc.
0000200245
Prospectus [Rule 424(b)(2)]
2019-02-15 14:38:06
424B2
CITIGROUP INC
0000831001
Prospectus [Rule 424(b)(2)]
2019-02-15 14:38:06
424B2
OVERSTOCK.COM, INC
0001130713
Statement of changes in beneficial ownership of securities
2019-02-15 14:38:06
4
Goyal Sumit
0001752823
Statement of changes in beneficial ownership of securities
2019-02-15 14:38:06
4
OVERSTOCK.COM, INC
0001130713
Statement of changes in beneficial ownership of securities
2019-02-15 14:36:55
4
JOHNSON JONATHAN E III
0001268246
Statement of changes in beneficial ownership of securities
2019-02-15 14:36:55
4
HIRSCHMAN ORIN
0001131362
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:36:30
SC 13G/A
Millendo Therapeutics, Inc.
0001544227
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:36:30
SC 13G/A
Context BH Capital Management, LP
0001618872
[Amend] Quarterly report filed by institutional managers, Holdings
2019-02-15 14:36:02
13F-HR/A
Stratus Silver Lining, Inc.
0001721584
Notice of Exempt Offering of Securities, item 06b
2019-02-15 14:35:57
D
AMERICAN ENERGY GROUP LTD
0000843212
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:35:32
SC 13G/A
UBS Group AG
0001610520
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:35:32
SC 13G/A
HV Bancorp, Inc.
0001594555
Statement of changes in beneficial ownership of securities
2019-02-15 14:35:27
4
Connelly Hugh W
0001768230
Statement of changes in beneficial ownership of securities
2019-02-15 14:35:27
4
PermRock Royalty Trust
0001724009
Current report, items 2.02 and 9.01
2019-02-15 14:35:02
8-K
OVERSTOCK.COM, INC
0001130713
Statement of changes in beneficial ownership of securities
2019-02-15 14:34:38
4
Nickle Eric Glen
0001752824
Statement of changes in beneficial ownership of securities
2019-02-15 14:34:38
4
OVERSTOCK.COM, INC
0001130713
Statement of changes in beneficial ownership of securities
2019-02-15 14:33:19
4
Corbus Barclay F
0001397930
Statement of changes in beneficial ownership of securities
2019-02-15 14:33:19
4
PROCTER & GAMBLE Co
0000080424
Statement of changes in beneficial ownership of securities
2019-02-15 14:32:44
4
Matthew Price
0001630203
Statement of changes in beneficial ownership of securities
2019-02-15 14:32:44
4
LiveRamp Holdings, Inc.
0000733269
Statement of changes in beneficial ownership of securities
2019-02-15 14:32:24
4
CADOGAN TIMOTHY R.
0001550404
Statement of changes in beneficial ownership of securities
2019-02-15 14:32:24
4
OVERSTOCK.COM, INC
0001130713
Statement of changes in beneficial ownership of securities
2019-02-15 14:32:21
4
TABACCO JOSEPH J JR
0001403544
Statement of changes in beneficial ownership of securities
2019-02-15 14:32:21
4
Empyreal Enterprises, LLC
0001742234
Notice of Exempt Offering of Securities, item 06b
2019-02-15 14:32:08
D
YRC Worldwide Inc.
0000716006
Statement of changes in beneficial ownership of securities
2019-02-15 14:32:01
4
Fry James
0001506795
Statement of changes in beneficial ownership of securities
2019-02-15 14:32:01
4
ASPEN INSURANCE HOLDINGS LTD
0001267395
Securities to be offered to employees in employee benefit plans, post-effective amendments
2019-02-15 14:31:57
S-8 POS
OVERSTOCK.COM, INC
0001130713
Statement of changes in beneficial ownership of securities
2019-02-15 14:31:11
4
Aryafar Kamelia
0001752838
Statement of changes in beneficial ownership of securities
2019-02-15 14:31:11
4
Pinnacle Physicals & Financing Tax-Exempt Fund, L.P.
0001476059
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 14:30:46
D/A
OVERSTOCK.COM, INC
0001130713
Statement of changes in beneficial ownership of securities
2019-02-15 14:29:46
4
Knab John Paul
0001669861
Statement of changes in beneficial ownership of securities
2019-02-15 14:29:46
4
ASPEN INSURANCE HOLDINGS LTD
0001267395
Statement of changes in beneficial ownership of securities
2019-02-15 14:29:37
4
Jones Glyn
0001561430
Statement of changes in beneficial ownership of securities
2019-02-15 14:29:37
4
East Meadow Capital Fund, LP
0001634164
[Amend] Notice of Exempt Offering of Securities, item 06b
2019-02-15 14:29:17
D/A
AMG FUNDS
0001089951
Other definitive proxy statements
2019-02-15 14:29:03
DEF 14A
GUGGENHEIM DEFINED PORTFOLIOS, SERIES 1865
0001752116
Pre-effective pricing amendments [Rule 487]
2019-02-15 14:28:45
487
BANNER CORP
0000946673
Statement of changes in beneficial ownership of securities
2019-02-15 14:28:01
4
Layman John R
0001402220
Statement of changes in beneficial ownership of securities
2019-02-15 14:28:01
4
YRC Worldwide Inc.
0000716006
Statement of changes in beneficial ownership of securities
2019-02-15 14:27:12
4
Fisher Stephanie D.
0001550373
Statement of changes in beneficial ownership of securities
2019-02-15 14:27:12
4
Newtek Business Services Corp.
0001587987
Current report, items 2.02 and 9.01
2019-02-15 14:25:49
8-K
Soliton, Inc.
0001548187
[Amend] Registration of securities [Section 12(b)]
2019-02-15 14:25:43
8-A12B/A
FREEPORT-MCMORAN INC
0000831259
Annual report [Section 13 and 15(d), not S-K Item 405]
2019-02-15 14:25:42
10-K
ASPEN INSURANCE HOLDINGS LTD
0001267395
Statement of changes in beneficial ownership of securities
2019-02-15 14:25:33
4
Ireland Gordon
0001569317
Statement of changes in beneficial ownership of securities
2019-02-15 14:25:33
4
Cboe EDGX Exchange, Inc.
0001473845
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 14:25:26
19B-4E
BARNES GROUP INC
0000009984
Statement of changes in beneficial ownership of securities
2019-02-15 14:25:01
4
Sohovich JoAnna
0001604281
Statement of changes in beneficial ownership of securities
2019-02-15 14:25:01
4
HIRSCHMAN ORIN
0001131362
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:24:59
SC 13G/A
DUOS TECHNOLOGIES GROUP, INC.
0001396536
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:24:59
SC 13G/A
National American University Holdings, Inc.
0001399855
Current report, items 5.02 and 9.01
2019-02-15 14:24:58
8-K
COLUMBIA FUNDS SERIES TRUST I
0000773757
Post-effective amendment [Rule 485(b)]
2019-02-15 14:24:19
485BPOS
COLUMBIA FUNDS SERIES TRUST I
0000773757
Post-effective amendment [Rule 485(b)]
2019-02-15 14:24:19
485BPOS
BARNES GROUP INC
0000009984
Statement of changes in beneficial ownership of securities
2019-02-15 14:24:14
4
Nicolosi Anthony V.
0001705505
Statement of changes in beneficial ownership of securities
2019-02-15 14:24:14
4
DEUTSCHE DWS INVESTMENT TRUST
0000088064
Post-effective amendment [Rule 485(b)]
2019-02-15 14:24:10
485BPOS
DEUTSCHE DWS INVESTMENT TRUST
0000088064
Post-effective amendment [Rule 485(b)]
2019-02-15 14:24:10
485BPOS
Kirkland Lake Gold Ltd.
0001713443
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 14:23:55
6-K
Gafisa S.A.
0001389207
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 14:23:51
6-K
PPG INDUSTRIES INC
0000079879
Other preliminary proxy statements
2019-02-15 14:23:49
PRE 14A
Laffer Investments
0001307878
Quarterly report filed by institutional managers, Holdings
2019-02-15 14:23:39
13F-HR
JP MORGAN CHASE COMMERCIAL MORTGAGE SECURITIES CORP
0001013611
Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 14:23:37
FWP
JPMCC Commercial Mortgage Securities Trust 2019-COR4
0001763501
Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 14:23:37
FWP
Tewksbury Investment Fund Ltd.
0001698010
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 14:23:32
D/A
F5 NETWORKS INC
0001048695
Statement of changes in beneficial ownership of securities
2019-02-15 14:22:54
4
WHALEN CHAD MICHAEL
0001746640
Statement of changes in beneficial ownership of securities
2019-02-15 14:22:54
4
Wakefield Asset Management LLLP
0001600435
Quarterly report filed by institutional managers, Holdings
2019-02-15 14:22:29
13F-HR
Invesco Unit Trusts Series 1946
0001740714
Certification of no change in definitive materials
2019-02-15 14:22:24
497J
LiveRamp Holdings, Inc.
0000733269
Statement of changes in beneficial ownership of securities
2019-02-15 14:22:18
4
BATTELLE JOHN L.
0001555011
Statement of changes in beneficial ownership of securities
2019-02-15 14:22:18
4
YRC Worldwide Inc.
0000716006
Statement of changes in beneficial ownership of securities
2019-02-15 14:22:12
4
Boehmer Mark David
0001585620
Statement of changes in beneficial ownership of securities
2019-02-15 14:22:12
4
HUTTER HEIDI
0001164665
Statement of changes in beneficial ownership of securities
2019-02-15 14:21:54
4
ASPEN INSURANCE HOLDINGS LTD
0001267395
Statement of changes in beneficial ownership of securities
2019-02-15 14:21:54
4
OurCrowd
0001768211
Notice of Exempt Offering of Securities, items 06c, 3C, and 3C.1
2019-02-15 14:21:42
D
Cboe EDGA Exchange, Inc.
0001473606
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 14:21:30
19B-4E
Schneider National, Inc.
0001692063
Statement of changes in beneficial ownership of securities
2019-02-15 14:21:15
4
Zimmermann Kathleen M.
0001701082
Statement of changes in beneficial ownership of securities
2019-02-15 14:21:15
4
REINSURANCE GROUP OF AMERICA INC
0000898174
Statement of changes in beneficial ownership of securities
2019-02-15 14:21:11
4
HENDERSON ALAN C
0001184447
Statement of changes in beneficial ownership of securities
2019-02-15 14:21:11
4
Pinnacle Physicals & Financing LP
0001436620
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 14:20:45
D/A
Morgan Stanley Emerging Markets Domestic Debt Fund, Inc.
0001388141
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:20:32
SC 13G/A
UBS Group AG
0001610520
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:20:32
SC 13G/A
Gervasini Geoffrey Todd
0001766675
Quarterly report filed by institutional managers, Notice
2019-02-15 14:20:16
13F-NT
Subziwalla LLC
0001768151
[Amend] Offering Statement
2019-02-15 14:20:04
C/A
NORFOLK SOUTHERN CORP
0000702165
Statement of changes in beneficial ownership of securities
2019-02-15 14:19:57
4
Zampi Jason Andrew
0001762701
Statement of changes in beneficial ownership of securities
2019-02-15 14:19:57
4
BARNES GROUP INC
0000009984
Statement of changes in beneficial ownership of securities
2019-02-15 14:19:48
4
MORGAN WILLIAM J
0001377268
Statement of changes in beneficial ownership of securities
2019-02-15 14:19:48
4
Outerbridge Partners, LP
0001645589
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 14:19:36
D/A
DEUTSCHE DWS MUNICIPAL TRUST
0000203142
Post-effective amendment [Rule 485(b)]
2019-02-15 14:19:35
485BPOS
DEUTSCHE DWS MUNICIPAL TRUST
0000203142
Post-effective amendment [Rule 485(b)]
2019-02-15 14:19:35
485BPOS
EMERGENT CAPITAL, INC.
0001494448
[Amend] Notice of Exempt Offering of Securities, item 06b
2019-02-15 14:19:15
D/A
GUGGENHEIM DEFINED PORTFOLIOS, SERIES 1857
0001752096
Pre-effective pricing amendments [Rule 487]
2019-02-15 14:18:52
487
BARNES GROUP INC
0000009984
Statement of changes in beneficial ownership of securities
2019-02-15 14:18:50
4
MCCLELLAN HASSELL H
0001489944
Statement of changes in beneficial ownership of securities
2019-02-15 14:18:50
4
BARNES GROUP INC
0000009984
Statement of changes in beneficial ownership of securities
2019-02-15 14:18:05
4
Manner Hans-Peter
0001686346
Statement of changes in beneficial ownership of securities
2019-02-15 14:18:05
4
Sugar Creek Commons Note Fund, LLC
0001733513
[Amend] Notice of Exempt Offering of Securities, item 06b
2019-02-15 14:17:56
D/A
Schneider National, Inc.
0001692063
Statement of changes in beneficial ownership of securities
2019-02-15 14:17:54
4
Donald J. Schneider 2000 Trust f/b/o Kathleen M. Zimmermann
0001701166
Statement of changes in beneficial ownership of securities
2019-02-15 14:17:54
4
CHICKASAW SECURITIES, LLC
0001264642
FOCUS Report
2019-02-15 14:17:49
X-17A-5
CENTRAL FEDERAL CORP
0001070680
[Amend] General statement of acquisition of beneficial ownership
2019-02-15 14:17:32
SC 13D/A
Cochran Edward W
0001557204
[Amend] General statement of acquisition of beneficial ownership
2019-02-15 14:17:32
SC 13D/A
ASPEN INSURANCE HOLDINGS LTD
0001267395
Post-effective Amendment to an automatic shelf registration statement
2019-02-15 14:17:31
POSASR
BARNES GROUP INC
0000009984
Statement of changes in beneficial ownership of securities
2019-02-15 14:17:15
4
MANGUM MYLLE H
0001175893
Statement of changes in beneficial ownership of securities
2019-02-15 14:17:15
4
CROSS COUNTRY HEALTHCARE INC
0001141103
Current report, items 8.01 and 9.01
2019-02-15 14:17:12
8-K
ASPEN INSURANCE HOLDINGS LTD
0001267395
Statement of changes in beneficial ownership of securities
2019-02-15 14:16:51
4
Beer Albert
0001561308
Statement of changes in beneficial ownership of securities
2019-02-15 14:16:51
4
BANNER CORP
0000946673
Statement of changes in beneficial ownership of securities
2019-02-15 14:16:48
4
Larsen Kenneth A
0001655207
Statement of changes in beneficial ownership of securities
2019-02-15 14:16:48
4
Cboe BZX Exchange, Inc.
0001417835
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 14:16:33
19B-4E
POPULAR INC
0000763901
Securities to be offered to employees in employee benefit plans
2019-02-15 14:16:29
S-8
BARNES GROUP INC
0000009984
Statement of changes in beneficial ownership of securities
2019-02-15 14:16:26
4
HOOK THOMAS J
0001180346
Statement of changes in beneficial ownership of securities
2019-02-15 14:16:26
4
Evogene Ltd.
0001574565
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:16:03
SC 13G/A
UBS Group AG
0001610520
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:16:03
SC 13G/A
PSAV Group LP
0001748209
Notice of Exempt Offering of Securities, item 06b
2019-02-15 14:15:43
D
BARNES GROUP INC
0000009984
Statement of changes in beneficial ownership of securities
2019-02-15 14:15:38
4
Hipple Richard J
0001311365
Statement of changes in beneficial ownership of securities
2019-02-15 14:15:38
4
BANNER CORP
0000946673
Statement of changes in beneficial ownership of securities
2019-02-15 14:15:24
4
Rust Steven W
0001414635
Statement of changes in beneficial ownership of securities
2019-02-15 14:15:24
4
PRESSMAN RONALD R
0001233170
Statement of changes in beneficial ownership of securities
2019-02-15 14:14:56
4
ASPEN INSURANCE HOLDINGS LTD
0001267395
Statement of changes in beneficial ownership of securities
2019-02-15 14:14:56
4
GLAXOSMITHKLINE PLC
0001131399
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 14:14:43
6-K
BARNES GROUP INC
0000009984
Statement of changes in beneficial ownership of securities
2019-02-15 14:14:33
4
BENANAV GARY G
0001196429
Statement of changes in beneficial ownership of securities
2019-02-15 14:14:33
4
NetObjex, Inc
0001727925
Progress Update
2019-02-15 14:14:25
C-U
BALCHEM CORP
0000009326
Statement of changes in beneficial ownership of securities
2019-02-15 14:13:54
4
TELEVANTOS JOHN Y
0001236561
Statement of changes in beneficial ownership of securities
2019-02-15 14:13:54
4
BARNES GROUP INC
0000009984
Statement of changes in beneficial ownership of securities
2019-02-15 14:13:51
4
BARNES THOMAS O
0001007661
Statement of changes in beneficial ownership of securities
2019-02-15 14:13:51
4
BARNES GROUP INC
0000009984
Statement of changes in beneficial ownership of securities
2019-02-15 14:13:07
4
Barnes Elijah Kent
0001672756
Statement of changes in beneficial ownership of securities
2019-02-15 14:13:07
4
Cboe BYX Exchange, Inc.
0001476530
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 14:12:48
19B-4E
Diana Davis Spencer Foundation
0001633391
Quarterly report filed by institutional managers, Holdings
2019-02-15 14:12:35
13F-HR
HIRSCHMAN ORIN
0001131362
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:11:51
SC 13G/A
BioNano Genomics, Inc
0001411690
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:11:51
SC 13G/A
HITE Energy LP
0001757082
Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 14:11:49
D
STADIUM CAPITAL PARTNERS L P
0001076204
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 14:11:40
D/A
Star Alliance International Corp.
0001614556
Annual report [Section 13 and 15(d), not S-K Item 405]
2019-02-15 14:11:07
10-K
NYSE CHICAGO, INC.
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 14:11:01
19B-4E
RETRACTABLE TECHNOLOGIES INC
0000946563
Statement of changes in beneficial ownership of securities
2019-02-15 14:10:46
4
SHAW THOMAS J
0001174567
Statement of changes in beneficial ownership of securities
2019-02-15 14:10:46
4
CAVOORES JOHN PAUL
0001181384
Statement of changes in beneficial ownership of securities
2019-02-15 14:10:45
4
ASPEN INSURANCE HOLDINGS LTD
0001267395
Statement of changes in beneficial ownership of securities
2019-02-15 14:10:45
4
Western Asset Mortgage Capital Corp
0001465885
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:09:32
SC 13G
UBS Group AG
0001610520
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:09:32
SC 13G
NUVEEN TAX ADVANTAGED TOTAL RETURN STRATEGY FUND
0001265708
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:09:02
SC 13G/A
UBS Group AG
0001610520
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:09:02
SC 13G/A
Pinnacle Opportunity, LP
0001189551
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 14:08:45
D/A
Mutual Advisors, LLC
0001694080
Quarterly report filed by institutional managers, Holdings
2019-02-15 14:08:45
13F-HR
STADIUM CAPITAL QUALIFIED PARTNERS LP
0001427178
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 14:08:18
D/A
BANNER CORP
0000946673
Statement of changes in beneficial ownership of securities
2019-02-15 14:06:54
4
Klaue David A
0001401560
Statement of changes in beneficial ownership of securities
2019-02-15 14:06:54
4
HAMILTON FUND LTD
0000898703
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 14:06:50
D/A
ESTATE OF HAZINE CHERMON CHERY
0001744919
Report of proposed sale of securities
2019-02-15 14:06:45
144
ESTATE OF HAZINE CHERMON CHERY
0001744919
Report of proposed sale of securities
2019-02-15 14:06:45
144
Lexaria Bioscience Corp.
0001348362
Statement of changes in beneficial ownership of securities
2019-02-15 14:06:43
4
Spissinger Allan Horst
0001708848
Statement of changes in beneficial ownership of securities
2019-02-15 14:06:43
4
Barings BDC, Inc.
0001379785
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:06:32
SC 13G
UBS Group AG
0001610520
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:06:32
SC 13G
Wakefield Asset Managment Corp
0001759421
Quarterly report filed by institutional managers, Notice
2019-02-15 14:06:13
13F-NT
Oxford Northeast Ltd.
0001768206
General form for registration of securities under the Securities Act of 1933
2019-02-15 14:05:14
S-1
BANNER CORP
0000946673
Statement of changes in beneficial ownership of securities
2019-02-15 14:05:10
4
ORRICO BRENT A
0001187851
Statement of changes in beneficial ownership of securities
2019-02-15 14:05:10
4
Sundance Energy Australia Ltd
0001326089
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:05:02
SC 13G
UBS Group AG
0001610520
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:05:02
SC 13G
Pilgrim Bancshares, Inc.
0001601347
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:04:02
SC 13G
UBS Group AG
0001610520
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:04:02
SC 13G
BEACON ROOFING SUPPLY INC
0001124941
Statement of changes in beneficial ownership of securities
2019-02-15 14:03:45
4
MCLAUGHLIN ROBERT M
0001237784
Statement of changes in beneficial ownership of securities
2019-02-15 14:03:45
4
January Therapeutics, Inc.
0001708145
[Amend] Notice of Exempt Offering of Securities, item 06b
2019-02-15 14:03:42
D/A
New Heritage Capital Fund III-B, L.P.
0001768199
Notice of Exempt Offering of Securities, items 06b and 3C.7
2019-02-15 14:03:03
D
HV Bancorp, Inc.
0001594555
Initial statement of beneficial ownership of securities
2019-02-15 14:03:00
3
Connelly Hugh W
0001768230
Initial statement of beneficial ownership of securities
2019-02-15 14:03:00
3
PAVLIK CAPITAL PARTNERS LLC
0001429822
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 14:02:36
D/A
MANITOWOC CO INC
0000061986
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:02:32
SC 13G
UBS Group AG
0001610520
Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:02:32
SC 13G
BEACON ROOFING SUPPLY INC
0001124941
Statement of changes in beneficial ownership of securities
2019-02-15 14:02:25
4
RANDLE STUART A
0001256144
Statement of changes in beneficial ownership of securities
2019-02-15 14:02:25
4
ACHIEVE LIFE SCIENCES, INC.
0000949858
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:02:07
SC 13G/A
HIRSCHMAN ORIN
0001131362
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:02:07
SC 13G/A
NATURAL HEALTH FARM HOLDINGS INC
0001621697
Registration of securities [Section 12(g)]
2019-02-15 14:02:03
8-A12G
Neenah Inc
0001296435
Statement of changes in beneficial ownership of securities
2019-02-15 14:01:41
4
Benz Noah Samuel
0001748155
Statement of changes in beneficial ownership of securities
2019-02-15 14:01:41
4
SunOpta Inc.
0000351834
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:00:32
SC 13G/A
UBS Group AG
0001610520
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 14:00:32
SC 13G/A
NYSE CHICAGO, INC.
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 14:00:10
19B-4E
Subziwalla LLC
0001768151
Offering Statement
2019-02-15 13:59:06
C
GLAXOSMITHKLINE PLC
0001131399
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 13:58:49
6-K
MINERALS TECHNOLOGIES INC
0000891014
Annual report [Section 13 and 15(d), not S-K Item 405]
2019-02-15 13:58:31
10-K
Phocas Financial Corp.
0001356783
Quarterly report filed by institutional managers, Holdings
2019-02-15 13:57:21
13F-HR
Forethought Variable Insurance Trust
0001580353
Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(K)
2019-02-15 13:57:20
497K
BANNER CORP
0000946673
Statement of changes in beneficial ownership of securities
2019-02-15 13:57:11
4
ADAMS ROBERT D
0001187845
Statement of changes in beneficial ownership of securities
2019-02-15 13:57:11
4
Dalton Investments Trust
0001756601
[Amend] Notice of Exempt Offering of Securities, items 06c, 3C, and 3C.1
2019-02-15 13:57:04
D/A
CONSUMER PORTFOLIO SERVICES INC
0000889609
Statement of acquisition of beneficial ownership by individuals
2019-02-15 13:56:32
SC 13G
UBS Group AG
0001610520
Statement of acquisition of beneficial ownership by individuals
2019-02-15 13:56:32
SC 13G
PARNASSUS INCOME FUNDS
0000866256
Rule 24F-2 notice
2019-02-15 13:56:31
24F-2NT
Pinnacle Opportunity Offshore, Ltd.
0001612611
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 13:56:31
D/A
Forethought Variable Insurance Trust
0001580353
Definitive materials
2019-02-15 13:55:35
497
BANNER CORP
0000946673
Statement of changes in beneficial ownership of securities
2019-02-15 13:55:15
4
WAGERS GARY W
0001425275
Statement of changes in beneficial ownership of securities
2019-02-15 13:55:15
4
Wakefield Wealth Management LLLP
0001759448
Quarterly report filed by institutional managers, Notice
2019-02-15 13:55:12
13F-NT
JPMorgan Trust I
0001217286
Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(K)
2019-02-15 13:55:03
497K
WESTERN ASSET CORPORATE LOAN FUND INC.
0001068963
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 13:55:02
SC 13G/A
UBS Group AG
0001610520
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 13:55:02
SC 13G/A
NYSE CHICAGO, INC.
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 13:54:45
19B-4E
OSHKOSH CORP
0000775158
Statement of changes in beneficial ownership of securities
2019-02-15 13:54:39
4
Sagehorn David M.
0001414005
Statement of changes in beneficial ownership of securities
2019-02-15 13:54:39
4
Gathering UofM Salisbury Investor, LLC
0001766689
Notice of Exempt Offering of Securities, item 06b
2019-02-15 13:54:25
D
SELECT BANCORP, INC.
0001263762
Statement of changes in beneficial ownership of securities
2019-02-15 13:54:10
4
Wilfong Seth
0001725655
Statement of changes in beneficial ownership of securities
2019-02-15 13:54:10
4
PEARLMAN BRET D
0001077710
Statement of changes in beneficial ownership of securities
2019-02-15 13:54:02
4
ASPEN INSURANCE HOLDINGS LTD
0001267395
Statement of changes in beneficial ownership of securities
2019-02-15 13:54:02
4
AMC ENTERTAINMENT HOLDINGS, INC.
0001411579
4 - Statement of changes in beneficial ownership of securities
2019-02-15 13:53:44
4
MCDONALD MARK A
0001197427
Statement of changes in beneficial ownership of securities
2019-02-15 13:53:44
4
AMC ENTERTAINMENT HOLDINGS, INC.
0001411579
Statement of changes in beneficial ownership of securities
2019-02-15 13:53:44
4
LACM EMII, L.P.
0001655268
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 13:53:04
D/A
Reliant Investment Management, LLC
0001517429
Quarterly report filed by institutional managers, Holdings
2019-02-15 13:52:56
13F-HR
NYSE CHICAGO, INC.
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 13:52:48
19B-4E
Xcraft Enterprises, LLC
0001670450
[Amend] Offering Statement
2019-02-15 13:52:39
C/A
PARNASSUS FUNDS
0000747546
Rule 24F-2 notice
2019-02-15 13:52:33
24F-2NT
JPMorgan Trust I
0001217286
Definitive materials
2019-02-15 13:52:03
497
ASPEN INSURANCE HOLDINGS LTD
0001267395
Statement of changes in beneficial ownership of securities
2019-02-15 13:51:52
4
Gregg Gary R.
0001501790
Statement of changes in beneficial ownership of securities
2019-02-15 13:51:52
4
GLAXOSMITHKLINE PLC
0001131399
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 13:51:32
6-K
Terra Nova Asset Management LLC
0001658652
Quarterly report filed by institutional managers, Holdings
2019-02-15 13:50:53
13F-HR
NYSE CHICAGO, INC.
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 13:50:49
19B-4E
NYSE CHICAGO, INC.
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 13:49:13
19B-4E
MOOG INC.
0000067887
Current report, item 5.07
2019-02-15 13:49:01
8-K
Flowtex Dory Sidetrack Joint Venture
0001768109
Notice of Exempt Offering of Securities, item 06b
2019-02-15 13:48:42
D
NSV 2019 Opportunities Fund, L.P.
0001768198
Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 13:48:40
D
Avalanche Technology Inc
0001383215
Notice of Exempt Offering of Securities, item 06b
2019-02-15 13:48:17
D
MATERIA, INC.
0001084725
Notice of Exempt Offering of Securities, item 06b
2019-02-15 13:47:53
D
BLACKROCK FUNDS
0000844779
Post-effective amendment [Rule 485(b)]
2019-02-15 13:47:22
485BPOS
BLACKROCK FUNDS
0000844779
Post-effective amendment [Rule 485(b)]
2019-02-15 13:47:22
485BPOS
Lumentum Holdings Inc.
0001633978
[Amend] Current report, item 9.01
2019-02-15 13:47:04
8-K/A
UBS Group AG
0001610520
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 13:47:02
SC 13G/A
ZILLOW GROUP, INC.
0001617640
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 13:47:02
SC 13G/A
Pacific & General Investments LP
0001314612
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 13:46:15
D/A
NYSE CHICAGO, INC.
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 13:46:02
19B-4E
ASPEN INSURANCE HOLDINGS LTD
0001267395
Statement of changes in beneficial ownership of securities
2019-02-15 13:45:35
4
Botein Matthew
0001469142
Statement of changes in beneficial ownership of securities
2019-02-15 13:45:35
4
TORONTO DOMINION BANK
0000947263
Prospectus [Rule 424(b)(2)]
2019-02-15 13:45:25
424B2
AMC ENTERTAINMENT HOLDINGS, INC.
0001411579
4 - Statement of changes in beneficial ownership of securities
2019-02-15 13:45:02
4
MCDONALD JOHN D
0001197424
Statement of changes in beneficial ownership of securities
2019-02-15 13:45:02
4
AMC ENTERTAINMENT HOLDINGS, INC.
0001411579
Statement of changes in beneficial ownership of securities
2019-02-15 13:45:02
4
PRICE T ROWE GROUP INC
0001113169
Statement of changes in beneficial ownership of securities
2019-02-15 13:44:52
4
Dufetel Celine S
0001731465
Statement of changes in beneficial ownership of securities
2019-02-15 13:44:52
4
LACM Emerging Markets Fund L.P.
0001599755
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 13:44:48
D/A
AngioSoma, Inc.
0001502152
Notification of inability to timely file Form 10-Q or 10-QSB
2019-02-15 13:44:28
NT 10-Q
NYSE CHICAGO, INC.
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 13:44:05
19B-4E
ALLSTATE CORP
0000899051
Annual report [Section 13 and 15(d), not S-K Item 405]
2019-02-15 13:43:51
10-K
Fleischer Morton H
0001307827
Statement of changes in beneficial ownership of securities
2019-02-15 13:42:51
4
STORE CAPITAL Corp
0001538990
Statement of changes in beneficial ownership of securities
2019-02-15 13:42:51
4
NYSE CHICAGO, INC.
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 13:42:41
19B-4E
VERIZON COMMUNICATIONS INC
0000732712
Annual report [Section 13 and 15(d), not S-K Item 405]
2019-02-15 13:42:40
10-K
Pinnacle Natural Resources Offshore ERISA Fund Ltd.
0001468971
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 13:41:54
D/A
Pacific & General Investments Inc.
0001503162
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 13:41:36
D/A
First Savings Financial Group Inc
0001435508
Statement of changes in beneficial ownership of securities
2019-02-15 13:41:35
4
Lawson John P Jr
0001442091
Statement of changes in beneficial ownership of securities
2019-02-15 13:41:35
4
ASPEN INSURANCE HOLDINGS LTD
0001267395
Statement of changes in beneficial ownership of securities
2019-02-15 13:41:31
4
MAYR KARL
0001282620
Statement of changes in beneficial ownership of securities
2019-02-15 13:41:31
4
Summit Networks Inc.
0001619096
Current report, items 5.01 and 5.02
2019-02-15 13:41:16
8-K
GeoWealth Management, LLC
0001593387
Quarterly report filed by institutional managers, Notice
2019-02-15 13:40:40
13F-NT
NYSE CHICAGO, INC.
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 13:40:11
19B-4E
PRUDENTIAL INVESTMENT PORTFOLIOS 9
0001070287
Post-effective amendment [Rule 485(b)]
2019-02-15 13:40:04
485BPOS
PRUDENTIAL INVESTMENT PORTFOLIOS 9
0001070287
Post-effective amendment [Rule 485(b)]
2019-02-15 13:40:04
485BPOS
JP MORGAN CHASE COMMERCIAL MORTGAGE SECURITIES CORP
0001013611
Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 13:40:03
FWP
JPMCC Commercial Mortgage Securities Trust 2019-COR4
0001763501
Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 13:40:03
FWP
New Home Co Inc.
0001574596
Statement of acquisition of beneficial ownership by individuals
2019-02-15 13:40:02
SC 13G
UBS Group AG
0001610520
Statement of acquisition of beneficial ownership by individuals
2019-02-15 13:40:02
SC 13G
RIVERPARK FUNDS TRUST
0001494928
Certification of no change in definitive materials
2019-02-15 13:39:48
497J
ETF Series Solutions
0001540305
Other preliminary proxy statements
2019-02-15 13:39:44
PRE 14A
ASPEN INSURANCE HOLDINGS LTD
0001267395
Current report, items 2.01, 3.01, 3.03, 5.01, 5.02, 5.03, and 9.01
2019-02-15 13:39:26
8-K
EXCO RESOURCES INC
0000316300
Securities registration termination [Section 12(b)]
2019-02-15 13:39:02
15-12B
Volk Christopher H
0001307828
Statement of changes in beneficial ownership of securities
2019-02-15 13:38:51
4
STORE CAPITAL Corp
0001538990
Statement of changes in beneficial ownership of securities
2019-02-15 13:38:51
4
MICROCHIP TECHNOLOGY INC
0000827054
Statement of changes in beneficial ownership of securities
2019-02-15 13:37:40
4
CHAPMAN MATTHEW W
0000933690
Statement of changes in beneficial ownership of securities
2019-02-15 13:37:40
4
Western Wealth Management, LLC
0001767902
Quarterly report filed by institutional managers, Holdings
2019-02-15 13:36:57
13F-HR
NYSE CHICAGO, INC.
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 13:36:46
19B-4E
Long Catherine F.
0001307943
Statement of changes in beneficial ownership of securities
2019-02-15 13:36:42
4
STORE CAPITAL Corp
0001538990
Statement of changes in beneficial ownership of securities
2019-02-15 13:36:42
4
OLD REPUBLIC INTERNATIONAL CORP
0000074260
Statement of changes in beneficial ownership of securities
2019-02-15 13:36:36
4
KOVALESKI CHARLES J
0001751885
Statement of changes in beneficial ownership of securities
2019-02-15 13:36:36
4
RIPPLE FOODS, PBC
0001659461
Notice of Exempt Offering of Securities, item 06b
2019-02-15 13:36:27
D
Emancipation Management LLC
0001478861
Quarterly report filed by institutional managers, Holdings
2019-02-15 13:36:11
13F-HR
NYSE CHICAGO, INC.
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 13:35:40
19B-4E
Cetera Investment Advisers
0001666741
Quarterly report filed by institutional managers, Holdings
2019-02-15 13:35:29
13F-HR
AMC ENTERTAINMENT HOLDINGS, INC.
0001411579
4 - Statement of changes in beneficial ownership of securities
2019-02-15 13:35:17
4
AMC ENTERTAINMENT HOLDINGS, INC.
0001411579
Statement of changes in beneficial ownership of securities
2019-02-15 13:35:17
4
FRANK ELIZABETH F
0001592354
Statement of changes in beneficial ownership of securities
2019-02-15 13:35:17
4
Karpus Management, Inc.
0001048703
[Amend] Quarterly report filed by institutional managers, Holdings
2019-02-15 13:34:53
13F-HR/A
Cetera Advisors LLC
0001534400
Quarterly report filed by institutional managers, Holdings
2019-02-15 13:34:46
13F-HR
Cetera Advisor Networks LLC
0001534468
Quarterly report filed by institutional managers, Holdings
2019-02-15 13:34:07
13F-HR
STORE CAPITAL Corp
0001538990
Statement of changes in beneficial ownership of securities
2019-02-15 13:33:54
4
LAFRANCE STACY M
0001730829
Statement of changes in beneficial ownership of securities
2019-02-15 13:33:54
4
First Allied Advisory Services, Inc.
0001512647
Quarterly report filed by institutional managers, Holdings
2019-02-15 13:33:08
13F-HR
BIOANALYTICAL SYSTEMS INC
0000720154
Current report, items 5.02, 7.01, and 9.01
2019-02-15 13:32:20
8-K
Lunia Capital LP
0001694165
[Amend] Quarterly report filed by institutional managers, Holdings
2019-02-15 13:31:37
13F-HR/A
LACM Small Cap Growth Fund LP
0001710291
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 13:31:31
D/A
UBS Group AG
0001610520
Statement of acquisition of beneficial ownership by individuals
2019-02-15 13:31:02
SC 13G
Welbilt, Inc.
0001650962
Statement of acquisition of beneficial ownership by individuals
2019-02-15 13:31:02
SC 13G
GoMoto, Inc.
0001619318
Notice of Exempt Offering of Securities, item 06b
2019-02-15 13:30:05
D
STORE CAPITAL Corp
0001538990
Statement of changes in beneficial ownership of securities
2019-02-15 13:29:43
4
Fedewa Mary
0001624968
Statement of changes in beneficial ownership of securities
2019-02-15 13:29:43
4
FAIRFAX FINANCIAL HOLDINGS LTD/ CAN
0000915191
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 13:29:38
6-K
BLACKROCK FUNDS
0000844779
Post-effective amendment [Rule 485(b)]
2019-02-15 13:29:27
485BPOS
BLACKROCK FUNDS
0000844779
Post-effective amendment [Rule 485(b)]
2019-02-15 13:29:27
485BPOS
UNIPROP MANUFACTURED HOUSING COMMUNITIES INCOME FUND II /MI/
0000805993
Current report, items 8.01 and 9.01
2019-02-15 13:28:50
8-K
GENERAL MONEY MARKET FUND, INC.
0000353560
Rule 24F-2 notice
2019-02-15 13:28:41
24F-2NT
STONEMOR PARTNERS LP
0001286131
Quarterly report [Sections 13 or 15(d)]
2019-02-15 13:28:10
10-Q
NYSE CHICAGO, INC.
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 13:28:04
19B-4E
AMERICAN STATES WATER CO
0001056903
Statement of changes in beneficial ownership of securities
2019-02-15 13:27:28
4
TANG EVA G
0001192741
Statement of changes in beneficial ownership of securities
2019-02-15 13:27:28
4
EPR PROPERTIES
0001045450
Statement of changes in beneficial ownership of securities
2019-02-15 13:27:17
4
Peterson Mark Alan
0001251221
Statement of changes in beneficial ownership of securities
2019-02-15 13:27:17
4
NATIONAL BANK OF GREECE SA
0001096061
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 13:27:05
6-K
Bennett Michael T
0001327006
Statement of changes in beneficial ownership of securities
2019-02-15 13:26:52
4
STORE CAPITAL Corp
0001538990
Statement of changes in beneficial ownership of securities
2019-02-15 13:26:52
4
SMITH & NEPHEW PLC
0000845982
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 13:26:39
6-K
ING GROEP NV
0001039765
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 13:26:36
6-K
NYSE CHICAGO, INC.
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 13:26:32
19B-4E
SCHULMAN A INC
0000087565
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 13:25:52
SC 13G/A
Channing Capital Management, LLC
0001302404
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 13:25:52
SC 13G/A
PINNACLE NATURAL RESOURCES OFFSHORE LTD
0001433068
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 13:25:34
D/A
BANK OF AMERICA CORP /DE/
0000070858
Prospectus [Rule 424(b)(2)]
2019-02-15 13:25:31
424B2
Cormorant Global Healthcare Offshore Fund, Ltd.
0001576591
[Amend] Notice of Exempt Offering of Securities, item 06b
2019-02-15 13:25:22
D/A
UBS Group AG
0001610520
Statement of acquisition of beneficial ownership by individuals
2019-02-15 13:25:02
SC 13G
Falcon Minerals Corp
0001703785
Statement of acquisition of beneficial ownership by individuals
2019-02-15 13:25:02
SC 13G
TOUCHSTONE STRATEGIC TRUST
0000711080
Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(K)
2019-02-15 13:24:44
497K
CONESTOGA FUNDS
0001175813
Post-effective amendment [Rule 485(b)]
2019-02-15 13:24:34
485BPOS
CONESTOGA FUNDS
0001175813
Post-effective amendment [Rule 485(b)]
2019-02-15 13:24:34
485BPOS
GENERAL GOVERNMENT SECURITIES MONEY MARKET FUNDS, INC.
0000702172
Rule 24F-2 notice
2019-02-15 13:24:33
24F-2NT
Shourie Rajath
0001411325
Statement of changes in beneficial ownership of securities
2019-02-15 13:23:58
4
STORE CAPITAL Corp
0001538990
Statement of changes in beneficial ownership of securities
2019-02-15 13:23:58
4
Black Creek Diversified Property Fund Inc.
0001327978
Post-effective amendment adding exhibits to registration statement [Rule 462(d)]
2019-02-15 13:23:21
POS EX
TallyX, Inc.
0001758924
Notice of Exempt Offering of Securities, item 06b
2019-02-15 13:22:59
D
AMERICAN INTERNATIONAL GROUP INC
0000005272
Annual report [Section 13 and 15(d), not S-K Item 405]
2019-02-15 13:22:56
10-K
CONCORDE FUNDS INC
0000822519
Other definitive proxy statements
2019-02-15 13:22:55
DEF 14A
MCCALLION ANNE
0001232611
Statement of changes in beneficial ownership of securities
2019-02-15 13:22:16
4
PennyMac Financial Services, Inc.
0001745916
Statement of changes in beneficial ownership of securities
2019-02-15 13:22:16
4
BARCLAYS BANK PLC
0000312070
Prospectus [Rule 424(b)(2)]
2019-02-15 13:21:40
424B2
EPR PROPERTIES
0001045450
Statement of changes in beneficial ownership of securities
2019-02-15 13:21:36
4
Hirons Michael L
0001361364
Statement of changes in beneficial ownership of securities
2019-02-15 13:21:36
4
Bray Capital Advisors
0001631738
Quarterly report filed by institutional managers, Holdings
2019-02-15 13:20:52
13F-HR
MRC GLOBAL INC.
0001439095
Annual report [Section 13 and 15(d), not S-K Item 405]
2019-02-15 13:20:06
10-K
Black Creek Diversified Property Fund Inc.
0001327978
Prospectus [Rule 424(b)(3)]
2019-02-15 13:19:10
424B3
CANADIAN IMPERIAL BANK OF COMMERCE /CAN/
0001045520
Prospectus [Rule 424(b)(2)]
2019-02-15 13:18:40
424B2
PRUDENTIAL INVESTMENT PORTFOLIOS 2
0001099692
Post-effective amendment [Rule 485(b)]
2019-02-15 13:18:19
485BPOS
PRUDENTIAL INVESTMENT PORTFOLIOS 2
0001099692
Post-effective amendment [Rule 485(b)]
2019-02-15 13:18:19
485BPOS
LACM Global Equity Fund L.P.
0001599758
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 13:17:41
D/A
North Rock Fund, Ltd
0001631067
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 13:17:41
D/A
DREYFUS MANAGER FUNDS II
0001224568
Rule 24F-2 notice
2019-02-15 13:17:32
24F-2NT
DREYFUS ULTRA SHORT INCOME FUND
0000804887
Rule 24F-2 notice
2019-02-15 13:17:30
24F-2NT
ESTEE LAUDER COMPANIES INC
0001001250
Statement of changes in beneficial ownership of securities
2019-02-15 13:17:01
4
LAUDER LEONARD A
0001006352
Statement of changes in beneficial ownership of securities
2019-02-15 13:17:01
4
Leonard A. Lauder 2013 Revocable Trust
0001594022
Statement of changes in beneficial ownership of securities
2019-02-15 13:17:01
4
Cormorant Global Healthcare Fund, LP
0001576590
[Amend] Notice of Exempt Offering of Securities, item 06b
2019-02-15 13:16:47
D/A
ESTEE LAUDER COMPANIES INC
0001001250
Statement of changes in beneficial ownership of securities
2019-02-15 13:16:37
4
LAUDER RONALD S FOUNDATION
0001008089
Statement of changes in beneficial ownership of securities
2019-02-15 13:16:37
4
Cordillera Environmental Assets Fund, LLC
0001767052
Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 13:16:23
D
PRINCIPAL VARIABLE CONTRACTS FUNDS INC
0000012601
Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(K)
2019-02-15 13:15:52
497K
Dalton India
0001614149
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 13:15:50
D/A
Altimeter Capital Management, LP
0001541617
[Amend] Quarterly report filed by institutional managers, Holdings
2019-02-15 13:15:41
13F-HR/A
CRANE CO /DE/
0000025445
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 13:15:02
SC 13G/A
UBS Group AG
0001610520
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 13:15:02
SC 13G/A
PRINCIPAL FUNDS INC
0000898745
Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(K)
2019-02-15 13:14:59
497K
M101 CORP.
0001651932
Notification of inability to timely file Form 10-Q or 10-QSB
2019-02-15 13:14:48
NT 10-Q
CAMDEN PROPERTY TRUST
0000906345
Annual report [Section 13 and 15(d), not S-K Item 405]
2019-02-15 13:14:43
10-K
PRINCIPAL VARIABLE CONTRACTS FUNDS INC
0000012601
Definitive materials
2019-02-15 13:13:55
497
BLACKROCK BOND FUND, INC.
0000276463
Post-effective amendment [Rule 485(b)]
2019-02-15 13:13:34
485BPOS
BLACKROCK BOND FUND, INC.
0000276463
Post-effective amendment [Rule 485(b)]
2019-02-15 13:13:34
485BPOS
Lighthouse V Fund Ltd
0001469994
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 13:12:40
D/A
North Rock Fund, L.P.
0001630948
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 13:12:36
D/A
AIM INVESTMENT FUNDS
0000826644
Definitive materials
2019-02-15 13:12:18
497
ALGER FUNDS
0000003521
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 13:12:05
485BXT
ALGER FUNDS
0000003521
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 13:12:05
485BXT
BLACKROCK BALANCED CAPITAL FUND, INC.
0000110055
Post-effective amendment [Rule 485(b)]
2019-02-15 13:11:54
485BPOS
BLACKROCK BALANCED CAPITAL FUND, INC.
0000110055
Post-effective amendment [Rule 485(b)]
2019-02-15 13:11:54
485BPOS
DBX ETF Trust
0001503123
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 13:11:33
485BXT
DBX ETF Trust
0001503123
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 13:11:33
485BXT
StemGen, Inc.
0001023198
[Amend] Current report, items 1.01, 2.01, 2.02, 3.02, 5.03, 5.06, and 9.01
2019-02-15 13:11:18
8-K/A
AGCO CORP /DE
0000880266
Statement of changes in beneficial ownership of securities
2019-02-15 13:10:51
4
Veltmaat Hans Bernd
0001435752
Statement of changes in beneficial ownership of securities
2019-02-15 13:10:51
4
PRUDENTIAL WORLD FUND, INC.
0000741350
Post-effective amendment [Rule 485(b)]
2019-02-15 13:10:28
485BPOS
PRUDENTIAL WORLD FUND, INC.
0000741350
Post-effective amendment [Rule 485(b)]
2019-02-15 13:10:28
485BPOS
O'Reilly Opportunity Fund, LLC
0001767931
Notice of Exempt Offering of Securities, item 06b
2019-02-15 13:10:15
D
Sprint Spectrum Depositor LLC
0001687076
Asset-backed securitizer report pursuant to Section 15G, item 1.02
2019-02-15 13:10:02
ABS-15G
Dreyfus Institutional Liquidity Funds
0001717375
Rule 24F-2 notice
2019-02-15 13:09:58
24F-2NT
HEXO Corp.
0001690947
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 13:09:50
6-K
BALCHEM CORP
0000009326
Statement of changes in beneficial ownership of securities
2019-02-15 13:09:49
4
Bengtsson Carl Martin
0001766386
Statement of changes in beneficial ownership of securities
2019-02-15 13:09:49
4
Dalton India
0001614148
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 13:09:47
D/A
PRINCIPAL VARIABLE CONTRACTS FUNDS INC
0000012601
Definitive materials
2019-02-15 13:09:38
497
Black Creek Diversified Property Fund Inc.
0001327978
Current report, items 8.01 and 9.01
2019-02-15 13:09:02
8-K
NYSE CHICAGO, INC.
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 13:08:23
19B-4E
NHIT: Core Plus Fixed Income Trust
0001557645
[Amend] Notice of Exempt Offering of Securities, item 06b
2019-02-15 13:08:21
D/A
Drake Energy Fund, L.P.
0001667190
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 13:08:14
D/A
HOME BANCSHARES INC
0001331520
Current report, items 8.01 and 9.01
2019-02-15 13:08:02
8-K
NYSE CHICAGO, INC.
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 13:07:19
19B-4E
PINNACLE NATURAL RESOURCES, LP
0001268349
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 13:07:06
D/A
PRINCIPAL FUNDS INC
0000898745
Definitive materials
2019-02-15 13:06:32
497
Invesco Exchange-Traded Fund Trust II
0001378872
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 13:06:32
485BXT
Invesco Exchange-Traded Fund Trust II
0001378872
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 13:06:32
485BXT
LIGHTHOUSE STRATEGIES FUND LLC - LIGHTHOUSE HEALTHCARE SERIES
0001432362
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 13:06:12
D/A
HOME BANCSHARES INC
0001331520
Additional definitive proxy soliciting materials and Rule 14(a)(12) material
2019-02-15 13:06:07
DEFA14A
NYSE CHICAGO, INC.
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 13:06:07
19B-4E
COTY INC.
0001024305
Current report, items 8.01 and 9.01
2019-02-15 13:06:06
8-K
UBS Group AG
0001610520
Statement of acquisition of beneficial ownership by individuals
2019-02-15 13:05:32
SC 13G
ProQR Therapeutics N.V.
0001612940
Statement of acquisition of beneficial ownership by individuals
2019-02-15 13:05:32
SC 13G
VALENTINE VENTURES LLC
0001025948
Quarterly report filed by institutional managers, Holdings
2019-02-15 13:04:47
13F-HR
NYSE CHICAGO, INC.
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 13:04:10
19B-4E
G Squared Opportunities Fund IV LLC, Series R-1
0001768013
Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 13:03:29
D
STEEL DYNAMICS INC
0001022671
Current report, items 8.01 and 9.01
2019-02-15 13:02:50
8-K
FIDELITY CONCORD STREET TRUST
0000819118
Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(K)
2019-02-15 13:02:47
497K
AVALON
0001457662
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 13:02:33
D/A
BALCHEM CORP
0000009326
Statement of changes in beneficial ownership of securities
2019-02-15 13:02:32
4
Stach Mark A
0001731179
Statement of changes in beneficial ownership of securities
2019-02-15 13:02:32
4
Resonant Inc
0001579910
[Amend] General statement of acquisition of beneficial ownership
2019-02-15 13:01:55
SC 13D/A
Longboard Capital Advisors, LLC
0001604815
[Amend] General statement of acquisition of beneficial ownership
2019-02-15 13:01:55
SC 13D/A
NEW YORK STOCK EXCHANGE LLC
0000876661
Notification filed by national security exchange to report the removal from listing and registration of matured, redeemed or retired securities
2019-02-15 13:01:54
25-NSE
GOLDMAN SACHS GROUP INC
0000886982
Notification filed by national security exchange to report the removal from listing and registration of matured, redeemed or retired securities
2019-02-15 13:01:54
25-NSE
CEREBAIN BIOTECH CORP.
0001453099
Notification of inability to timely file Form 10-Q or 10-QSB
2019-02-15 13:01:41
NT 10-Q
Artemis Founders Investments, LLC
0001750297
[Amend] Notice of Exempt Offering of Securities, item 06b
2019-02-15 13:01:19
D/A
Lighthouse SRI Global Long/Short Fund, LP
0001575909
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 13:01:14
D/A
NYSE CHICAGO, INC.
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 13:00:48
19B-4E
NewCo H2O LLC
0001768105
Notice of Exempt Offering of Securities, item 06c
2019-02-15 12:59:49
D
PRUDENTIAL GLOBAL TOTAL RETURN FUND, INC.
0000793159
Post-effective amendment [Rule 485(b)]
2019-02-15 12:59:46
485BPOS
PRUDENTIAL GLOBAL TOTAL RETURN FUND, INC.
0000793159
Post-effective amendment [Rule 485(b)]
2019-02-15 12:59:46
485BPOS
Nasdaq PHLX LLC
0000876798
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 12:59:31
19B-4E
DALTON GREATER CHINA
0001384438
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:59:26
D/A
PHC Fund Ltd.
0001706251
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:59:17
D/A
NextMed III, LLC
0001768184
Notice of Exempt Offering of Securities, item 06b
2019-02-15 12:59:00
D
PROSPER MARKETPLACE, INC
0001416265
Prospectus [Rule 424(b)(3)]
2019-02-15 12:58:33
424B3
Prosper Funding LLC
0001542574
Prospectus [Rule 424(b)(3)]
2019-02-15 12:58:33
424B3
HUGOTON ROYALTY TRUST
0000862022
Current report, items 2.02 and 9.01
2019-02-15 12:58:02
8-K
Nasdaq BX, Inc
0000876796
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 12:57:37
19B-4E
Invesco Exchange-Traded Self-Indexed Fund Trust
0001657201
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 12:57:32
485BXT
Invesco Exchange-Traded Self-Indexed Fund Trust
0001657201
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 12:57:32
485BXT
TOUCHSTONE STRATEGIC TRUST
0000711080
Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(K)
2019-02-15 12:57:30
497K
TECHNOLOGY OPERATORS FUND III, L.P.
0001731749
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 12:57:21
D/A
AMC ENTERTAINMENT HOLDINGS, INC.
0001411579
4 - Statement of changes in beneficial ownership of securities
2019-02-15 12:57:08
4
ARON ADAM M
0001032673
Statement of changes in beneficial ownership of securities
2019-02-15 12:57:08
4
AMC ENTERTAINMENT HOLDINGS, INC.
0001411579
Statement of changes in beneficial ownership of securities
2019-02-15 12:57:08
4
PRINCIPAL FUNDS INC
0000898745
Definitive materials
2019-02-15 12:56:30
497
Lighthouse SRI Global Long/Short Fund Ltd
0001573887
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:56:06
D/A
NATIONAL BANKSHARES INC
0000796534
Statement of changes in beneficial ownership of securities
2019-02-15 12:55:51
4
BALL LAWRENCE J
0001276854
Statement of changes in beneficial ownership of securities
2019-02-15 12:55:51
4
PROSPER MARKETPLACE, INC
0001416265
Prospectus [Rule 424(b)(3)]
2019-02-15 12:55:28
424B3
Prosper Funding LLC
0001542574
Prospectus [Rule 424(b)(3)]
2019-02-15 12:55:28
424B3
Worldcast Live Inc
0001737190
[Amend] Offering Statement
2019-02-15 12:54:41
C/A
LendingClub Corp
0001409970
Prospectus [Rule 424(b)(3)]
2019-02-15 12:54:29
424B3
LIGHTHOUSE NM FUND LTD
0001648452
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:54:17
D/A
iShares U.S. ETF Trust
0001524513
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 12:54:03
485BXT
iShares U.S. ETF Trust
0001524513
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 12:54:03
485BXT
KIRR MARBACH PARTNERS FUNDS INC
0001071196
Quarterly Schedule of portfolio holdings of management investment companies
2019-02-15 12:53:57
N-Q
TITAN PARTNERS LP
0001457812
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 12:53:37
D/A
Hatteras Master Fund, L.P.
0001307689
Quarterly Schedule of portfolio holdings of management investment companies
2019-02-15 12:53:33
N-Q
DALTON GREATER CHINA
0001314143
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:53:24
D/A
CROSS TIMBERS ROYALTY TRUST
0000881787
Current report, items 2.02 and 9.01
2019-02-15 12:53:02
8-K
PRUDENTIAL SECTOR FUNDS, INC.
0000352665
Post-effective amendment [Rule 485(b)]
2019-02-15 12:53:01
485BPOS
PRUDENTIAL SECTOR FUNDS, INC.
0000352665
Post-effective amendment [Rule 485(b)]
2019-02-15 12:53:01
485BPOS
BANK OF AMERICA N.A.
0000838927
Annual disclosure filing made by all bank and non-bank Transfer Agents
2019-02-15 12:52:56
TA-2
GIC Private Ltd
0000936828
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 12:52:09
SC 13G/A
iKang Healthcare Group, Inc.
0001524190
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 12:52:09
SC 13G/A
BANK OF MONTREAL /CAN/
0000927971
Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 12:51:52
FWP
iShares U.S. ETF Trust
0001524513
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 12:51:35
485BXT
iShares U.S. ETF Trust
0001524513
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 12:51:35
485BXT
HHR TITAN OFFSHORE, LTD
0001457647
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:50:59
D/A
Vaxess Technologies, Inc.
0001578117
Notice of Exempt Offering of Securities, item 06b
2019-02-15 12:50:41
D
MORGAN STANLEY
0000895421
Prospectus [Rule 424(b)(2)]
2019-02-15 12:50:05
424B2
Morgan Stanley Finance LLC
0001666268
Prospectus [Rule 424(b)(2)]
2019-02-15 12:50:05
424B2
TOUCHSTONE STRATEGIC TRUST
0000711080
Definitive materials
2019-02-15 12:49:36
497
SUNRISE CAPITAL LLC
0001766021
Notice of Exempt Offering of Securities, item 06b
2019-02-15 12:49:34
D
Hatteras Core Alternatives Fund, L.P.
0001310192
Quarterly Schedule of portfolio holdings of management investment companies
2019-02-15 12:49:32
N-Q
GOLDMAN SACHS GROUP INC
0000886982
Prospectus [Rule 424(b)(2)]
2019-02-15 12:49:18
424B2
GS Finance Corp.
0001419828
Prospectus [Rule 424(b)(2)]
2019-02-15 12:49:18
424B2
HHR Atlas Ltd.
0001362423
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:49:06
D/A
iShares U.S. ETF Trust
0001524513
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 12:49:05
485BXT
iShares U.S. ETF Trust
0001524513
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 12:49:05
485BXT
Lighthouse Multi-Strategy Fund Ltd
0001497810
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:48:38
D/A
NORTHERN LIGHTS FUND TRUST III
0001537140
Definitive materials
2019-02-15 12:48:37
497
Lighthouse Palmetto Strategic Partnership, L.P.
0001540997
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:48:26
D/A
AB Multi-Manager Alternative Fund
0001543188
Tender offer statement by Issuer
2019-02-15 12:48:02
SC TO-I
MESIROW ABSOLUTE RETURN FUND, LTD.
0001161687
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:47:56
D/A
DALTON GREATER CHINA
0001384438
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:47:53
D/A
Griffin-American Healthcare REIT IV, Inc.
0001632970
Current report, item 8.01
2019-02-15 12:47:44
8-K
JUBILEE
0001457646
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 12:47:35
D/A
Invesco Actively Managed Exchange-Traded Commodity Fund Trust
0001595386
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 12:47:32
485BXT
Invesco Actively Managed Exchange-Traded Commodity Fund Trust
0001595386
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 12:47:32
485BXT
DXP ENTERPRISES INC
0001020710
Annual statement of changes in beneficial ownership of securities
2019-02-15 12:47:25
5
LITTLE DAVID R
0001031749
Annual statement of changes in beneficial ownership of securities
2019-02-15 12:47:25
5
LACM Large Cap Alpha Fund L.P.
0001599761
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:47:25
D/A
Hatteras Core Alternatives Institutional Fund, L.P.
0001382143
Quarterly Schedule of portfolio holdings of management investment companies
2019-02-15 12:46:33
N-Q
Jubilee Tax Exempt Partners, L.P.
0001077286
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 12:45:27
D/A
GS MORTGAGE SECURITIES CORP II
0001004158
FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 12:45:16
FWP
GS MORTGAGE SECURITIES CORP II
0001004158
Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 12:45:16
FWP
GS Mortgage Securities Trust 2019-GC38
0001763207
Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 12:45:16
FWP
LYNCH THOMAS J
0001208323
Statement of changes in beneficial ownership of securities
2019-02-15 12:44:27
4
TE Connectivity Ltd.
0001385157
Statement of changes in beneficial ownership of securities
2019-02-15 12:44:27
4
Hatteras Core Alternatives TEI Fund, L.P.
0001307688
Quarterly Schedule of portfolio holdings of management investment companies
2019-02-15 12:43:52
N-Q
EUCLIDEAN FUND I LP
0001452332
[Amend] Notice of Exempt Offering of Securities, items 06c, 3C, and 3C.1
2019-02-15 12:43:38
D/A
Lighthouse Global Long/Short Fund Ltd
0001470174
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:43:29
D/A
LEGGETT & PLATT INC
0000058492
Statement of changes in beneficial ownership of securities
2019-02-15 12:43:14
4
MCCLANATHAN JOSEPH W
0001182964
Statement of changes in beneficial ownership of securities
2019-02-15 12:43:14
4
DALTON ASIA
0001428125
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:43:05
D/A
Western Asset Investment Grade Defined Opportunity Trust Inc.
0001462586
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 12:42:32
SC 13G/A
UBS Group AG
0001610520
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 12:42:32
SC 13G/A
BG Staffing, Inc.
0001474903
Statement of changes in beneficial ownership of securities
2019-02-15 12:42:30
4
Baum Richard L Jr
0001621461
Statement of changes in beneficial ownership of securities
2019-02-15 12:42:30
4
CHART INDUSTRIES INC
0000892553
Statement of changes in beneficial ownership of securities
2019-02-15 12:42:27
4
Evanko Jillian C.
0001699043
Statement of changes in beneficial ownership of securities
2019-02-15 12:42:27
4
HSBC HOLDINGS PLC
0001089113
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 12:42:12
6-K
GS MORTGAGE SECURITIES CORP II
0001004158
FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 12:41:58
FWP
GS MORTGAGE SECURITIES CORP II
0001004158
Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 12:41:58
FWP
GS Mortgage Securities Trust 2019-GC38
0001763207
Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 12:41:58
FWP
CAM GLOBAL PARTNERS, LP
0001632244
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 12:40:24
D/A
FAIRHOLME FUNDS INC
0001096344
Rule 24F-2 notice
2019-02-15 12:40:21
24F-2NT
Hatteras Core Alternatives TEI Institutional Fund, L.P.
0001382142
Quarterly Schedule of portfolio holdings of management investment companies
2019-02-15 12:40:20
N-Q
BALCHEM CORP
0000009326
Statement of changes in beneficial ownership of securities
2019-02-15 12:40:10
4
Premdas Perry W
0001311568
Statement of changes in beneficial ownership of securities
2019-02-15 12:40:10
4
British American Tobacco p.l.c.
0001303523
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 12:39:11
6-K
LIGHTHOUSE GLOBAL LONG SHORT FUND LP
0001323161
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:39:01
D/A
Icarus Blockchain Group Inc.
0001759483
[Amend] Offering Statement
2019-02-15 12:38:18
C/A
MESIROW ABSOLUTE RETURN FUND
0001162596
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:37:45
D/A
XCEL ENERGY INC
0000072903
Current report, item 8.01
2019-02-15 12:36:22
8-K
SOUTHWESTERN PUBLIC SERVICE CO
0000092521
Current report, item 8.01
2019-02-15 12:36:22
8-K
LIGHTHOUSE DIVERSIFIED FUND QP II LP
0001164272
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:35:49
D/A
NUTRAFUELS INC
0001563463
Other definitive information statements
2019-02-15 12:35:38
DEF 14C
WASATCH FUNDS TRUST
0000806633
Definitive materials
2019-02-15 12:35:04
497
Sierra Auto Receivables Funding LLC
0001668784
Asset-backed securitizer report pursuant to Section 15G, item 1.02
2019-02-15 12:35:03
ABS-15G
OVERSTOCK.COM, INC
0001130713
Statement of changes in beneficial ownership of securities
2019-02-15 12:34:36
4
Auwerda Nathan Forrest
0001760961
Statement of changes in beneficial ownership of securities
2019-02-15 12:34:36
4
FIRST TRYON SECURITIES, LLC
0000201843
[Amend] Application for Municipal Advisor Registration for Natural Persons
2019-02-15 12:34:35
MA-I/A
LIGHTHOUSE MULTI-STRATEGY FUND, L.P.
0001456071
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:34:24
D/A
Sonos Inc
0001314727
Statement of acquisition of beneficial ownership by individuals
2019-02-15 12:34:09
SC 13G
Valdur Koha Trust - 1999
0001768221
Statement of acquisition of beneficial ownership by individuals
2019-02-15 12:34:09
SC 13G
FRANCIS FINANCIAL GROUP LLC
0001644081
[Amend] Application for Municipal Advisor Registration for Natural Persons
2019-02-15 12:34:06
MA-I/A
Western Financial Group, LLC
0001613478
[Amend] Application for Municipal Advisor Registration for Natural Persons
2019-02-15 12:33:43
MA-I/A
Western Financial Group, LLC
0001613478
[Amend] Application for Municipal Advisor Registration for Natural Persons
2019-02-15 12:33:25
MA-I/A
Mesirow Institutional Multi-Strategy Fund, L.P.
0001456820
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:33:20
D/A
DW WOODBINE FRANCES KUNKEL #2 LP
0001768016
D - Notice of Exempt Offering of Securities
2019-02-15 12:32:54
D
DW WOODBINE FRANCES KUNKEL #2 LP
0001768016
Notice of Exempt Offering of Securities, item 06b
2019-02-15 12:32:54
D
Western Financial Group, LLC
0001613478
[Amend] Application for Municipal Advisor Registration for Natural Persons
2019-02-15 12:32:51
MA-I/A
Lighthouse Diversified Fund Ltd
0001470173
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:32:39
D/A
GS MORTGAGE SECURITIES CORP II
0001004158
FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 12:30:56
FWP
GS MORTGAGE SECURITIES CORP II
0001004158
Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 12:30:56
FWP
GS Mortgage Securities Trust 2019-GC38
0001763207
Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 12:30:56
FWP
IBERIABANK CORP
0000933141
Statement of changes in beneficial ownership of securities
2019-02-15 12:30:37
4
MACKIE HADDON SPURGEON JR
0001527701
Statement of changes in beneficial ownership of securities
2019-02-15 12:30:37
4
NACCO INDUSTRIES INC
0000789933
Statement of changes in beneficial ownership of securities
2019-02-15 12:30:30
4
Dewing Carroll L
0001611503
Statement of changes in beneficial ownership of securities
2019-02-15 12:30:30
4
SALISBURY BANCORP INC
0001060219
Statement of changes in beneficial ownership of securities
2019-02-15 12:30:28
4
ANDOLA CHARLES M
0001627629
Statement of changes in beneficial ownership of securities
2019-02-15 12:30:28
4
CAPITAL GROUP EMERGING MARKETS TOTAL OPPORTUNITIES FUND
0001527972
Definitive materials
2019-02-15 12:30:21
497
NORTHERN LIGHTS FUND TRUST III
0001537140
Definitive materials
2019-02-15 12:30:20
497
GAM Global Rates Series, a Series of LHP Atlas Fund, LLC
0001683646
D/A [Amend] - Notice of Exempt Offering of Securities
2019-02-15 12:29:35
D/A [Amend]
GAM Global Rates Series, a Series of LHP Atlas Fund, LLC
0001683646
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:29:35
D/A
NatWest Markets Plc
0000729153
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 12:29:33
6-K
Oak Valley Bancorp
0001431567
Statement of changes in beneficial ownership of securities
2019-02-15 12:29:23
4
HOLDER H RANDOLPH JR
0001662767
Statement of changes in beneficial ownership of securities
2019-02-15 12:29:23
4
WASATCH FUNDS TRUST
0000806633
Post-effective amendment [Rule 485(b)]
2019-02-15 12:29:10
485BPOS
WASATCH FUNDS TRUST
0000806633
Post-effective amendment [Rule 485(b)]
2019-02-15 12:29:10
485BPOS
Greater Cannabis Company, Inc.
0001695473
Current report, items 1.01, 2.03, and 9.01
2019-02-15 12:28:58
8-K
NACCO INDUSTRIES INC
0000789933
Statement of changes in beneficial ownership of securities
2019-02-15 12:28:53
4
TIPTON HARRY B
0001521467
Statement of changes in beneficial ownership of securities
2019-02-15 12:28:53
4
FT 7885
0001759845
Pre-effective pricing amendments [Rule 487]
2019-02-15 12:28:42
487
Antares Global Opportunities, L.P.
0001678643
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:28:31
D/A
Oak Valley Bancorp
0001431567
Statement of changes in beneficial ownership of securities
2019-02-15 12:28:26
4
Courtney Christopher M.
0001442250
Statement of changes in beneficial ownership of securities
2019-02-15 12:28:26
4
WALKER INNOVATION INC.
0001294649
Securities registration termination [Section 12(b)]
2019-02-15 12:28:15
15-12B
FT 7866
0001759461
Pre-effective pricing amendments [Rule 487]
2019-02-15 12:27:59
487
American Express Issuance Trust II
0001562914
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 12:27:32
10-D
American Express Receivables Financing Corp VIII LLC
0001562918
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 12:27:32
10-D
FT 7865
0001759460
Pre-effective pricing amendments [Rule 487]
2019-02-15 12:27:20
487
NACCO INDUSTRIES INC
0000789933
Statement of changes in beneficial ownership of securities
2019-02-15 12:27:19
4
Sullivan John Patrick Jr.
0001575343
Statement of changes in beneficial ownership of securities
2019-02-15 12:27:19
4
GAM Global Rates Segregated Portfolio, a Segregated Portfolio of LHP Atlas Fund SPC
0001683643
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:27:15
D/A
Home Federal Bancorp, Inc. of Louisiana
0001500375
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 12:26:46
SC 13G/A
HOME FEDERAL BANK EMPLOYEE STOCK OWNERSHIP PLAN
0001512553
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 12:26:46
SC 13G/A
Lighthouse Credit Opportunities Fund Ltd
0001525800
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:26:39
D/A
SVB FINANCIAL GROUP
0000719739
Statement of changes in beneficial ownership of securities
2019-02-15 12:26:32
4
Edmonds-Waters Christopher
0001421898
Statement of changes in beneficial ownership of securities
2019-02-15 12:26:32
4
MONY LIFE INSURANCE CO OF AMERICA
0000835357
General form for registration of securities under the Securities Act of 1933
2019-02-15 12:26:09
S-1
PetMasters LLC
0001768202
Notice of Exempt Offering of Securities, item 06b
2019-02-15 12:26:04
D
Northern Lights Variable Trust
0001352621
Post-effective amendment [Rule 485(a)]
2019-02-15 12:25:53
485APOS
Northern Lights Variable Trust
0001352621
Post-effective amendment [Rule 485(a)]
2019-02-15 12:25:53
485APOS
GS MORTGAGE SECURITIES CORP II
0001004158
FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 12:25:31
FWP
GS MORTGAGE SECURITIES CORP II
0001004158
Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 12:25:31
FWP
GS Mortgage Securities Trust 2019-GC38
0001763207
Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 12:25:31
FWP
MC SQUARE CAPITAL, LLC
0001590108
[Amend] FOCUS Report
2019-02-15 12:25:26
X-17A-5/A
Mesirow Centennial Fund, Ltd.
0001745504
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:24:53
D/A
Global Clean Energy Holdings, Inc.
0000748790
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 12:24:50
SC 13G/A
TARGETED GROWTH INC
0001198919
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 12:24:50
SC 13G/A
GTJ REIT, Inc.
0001368757
Current report, item 8.01
2019-02-15 12:24:48
8-K
GSI TECHNOLOGY INC
0001126741
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 12:24:35
SC 13G/A
Wu Bor-Tay
0001394670
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 12:24:35
SC 13G/A
2513 Holt Venture LLC
0001768222
Notice of Exempt Offering of Securities, item 06b
2019-02-15 12:24:04
D
Three Bridges Series, a Series of LHP Atlas Fund, LLC
0001683655
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:23:59
D/A
GS MORTGAGE SECURITIES CORP II
0001004158
FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 12:23:56
FWP
GS MORTGAGE SECURITIES CORP II
0001004158
Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 12:23:56
FWP
GS Mortgage Securities Trust 2019-GC38
0001763207
Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 12:23:56
FWP
NACCO INDUSTRIES INC
0000789933
Statement of changes in beneficial ownership of securities
2019-02-15 12:23:55
4
Neumann John D
0001509958
Statement of changes in beneficial ownership of securities
2019-02-15 12:23:55
4
GOLDMAN SACHS TRUST
0000822977
Definitive materials
2019-02-15 12:23:33
497
DALTON ASIA
0001428064
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:23:08
D/A
NACCO INDUSTRIES INC
0000789933
Statement of changes in beneficial ownership of securities
2019-02-15 12:22:23
4
Lund LaVern K
0001705977
Statement of changes in beneficial ownership of securities
2019-02-15 12:22:23
4
AMERICAN EXPRESS CREDIT ACCOUNT MASTER TRUST
0001003509
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 12:21:35
10-D
AMERICAN EXPRESS RECEIVABLES FINANCING CORP III LLC
0001283434
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 12:21:35
10-D
LIGHTHOUSE CREDIT OPPORTUNITIES FUND LP
0001224274
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:21:05
D/A
NACCO INDUSTRIES INC
0000789933
Statement of changes in beneficial ownership of securities
2019-02-15 12:20:36
4
Hart Andrew Blair
0001765717
Statement of changes in beneficial ownership of securities
2019-02-15 12:20:36
4
Northern Lights Fund Trust
0001314414
Post-effective amendment [Rule 485(b)]
2019-02-15 12:20:31
485BPOS
Northern Lights Fund Trust
0001314414
Post-effective amendment [Rule 485(b)]
2019-02-15 12:20:31
485BPOS
Three Bridges Segregated Portfolio, a Segregated Portfolio of LHP Atlas Fund SPC
0001683644
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:20:30
D/A
Mesirow Garfield Ridge South Fund, Ltd.
0001745501
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:20:29
D/A
Persona Network, Inc.
0001759332
[Amend] Offering Statement
2019-02-15 12:20:03
C/A
Inlet Point Special Opportunities Fund, LLC
0001653670
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:19:20
D/A
NACCO INDUSTRIES INC
0000789933
Statement of changes in beneficial ownership of securities
2019-02-15 12:19:14
4
Haberer Miles B
0001568384
Statement of changes in beneficial ownership of securities
2019-02-15 12:19:14
4
BALCHEM CORP
0000009326
Statement of changes in beneficial ownership of securities
2019-02-15 12:18:51
4
Wineinger Matthew David
0001652942
Statement of changes in beneficial ownership of securities
2019-02-15 12:18:51
4
Banner Oak Multifamily Enhanced Core Venture, LP
0001767323
Notice of Exempt Offering of Securities, items 06b, 3C, 3C.1, and 3C.7
2019-02-15 12:18:50
D
NORTHERN INSTITUTIONAL FUNDS
0000710124
Rule 24F-2 notice
2019-02-15 12:18:44
24F-2NT
OLIN CORP
0000074303
Statement of changes in beneficial ownership of securities
2019-02-15 12:18:22
4
LARRIMORE RANDALL W
0001220616
Statement of changes in beneficial ownership of securities
2019-02-15 12:18:22
4
GENERAL AMERICAN INVESTORS CO INC
0000040417
Quarterly report filed by institutional managers, Holdings
2019-02-15 12:17:54
13F-HR
Mangham Associates,LLC
0001730480
Quarterly report filed by institutional managers, Holdings
2019-02-15 12:17:31
13F-HR
U.S. Real Estate QOZ Partners 1, LP
0001768063
Notice of Exempt Offering of Securities, items 06b, 3C.1, and 3C.7
2019-02-15 12:17:23
D
NORTHWESTERN CORP
0000073088
Current report, items 5.02 and 9.01
2019-02-15 12:17:14
8-K
HARRIS ASSOCIATES INVESTMENT TRUST
0000872323
485BPOS - Post-effective amendment [Rule 485(b)]
2019-02-15 12:17:01
485BPOS
HARRIS ASSOCIATES INVESTMENT TRUST
0000872323
485BPOS - Post-effective amendment [Rule 485(b)]
2019-02-15 12:17:01
485BPOS
HARRIS ASSOCIATES INVESTMENT TRUST
0000872323
Post-effective amendment [Rule 485(b)]
2019-02-15 12:17:01
485BPOS
HARRIS ASSOCIATES INVESTMENT TRUST
0000872323
Post-effective amendment [Rule 485(b)]
2019-02-15 12:17:01
485BPOS
DIANA SHIPPING INC.
0001318885
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 12:17:00
6-K
Mesirow MRP Fund, Ltd.
0001745499
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:15:56
D/A
LHP Strategic Alpha Fund, LLC
0001657171
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:15:06
D/A
Morningstar, Inc.
0001289419
Statement of changes in beneficial ownership of securities
2019-02-15 12:14:51
4
Mansueto Joseph D
0001324069
Statement of changes in beneficial ownership of securities
2019-02-15 12:14:51
4
FIRST INTERSTATE BANCSYSTEM INC
0000860413
Statement of changes in beneficial ownership of securities
2019-02-15 12:13:52
4
EBZERY WILLIAM B
0001198514
Statement of changes in beneficial ownership of securities
2019-02-15 12:13:52
4
Lighthouse Asian Compass Series, A Series of Lighthouse Strategies Fund, LLC
0001522454
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:13:47
D/A
SOUTHWEST IOWA RENEWABLE ENERGY, LLC
0001424844
Current report, items 7.01 and 9.01
2019-02-15 12:13:28
8-K
Neuberger Berman Group LLC
0001465109
Statement of acquisition of beneficial ownership by individuals
2019-02-15 12:12:38
SC 13G
Inovalon Holdings, Inc.
0001619954
Statement of acquisition of beneficial ownership by individuals
2019-02-15 12:12:38
SC 13G
Mesirow TSRHC Fund, Ltd.
0001745498
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:11:46
D/A
DTE ENERGY CO
0000936340
Statement of changes in beneficial ownership of securities
2019-02-15 12:11:40
4
ANDERSON GERARD M
0001167314
Statement of changes in beneficial ownership of securities
2019-02-15 12:11:40
4
WALKER INNOVATION INC.
0001294649
Annual report [Section 13 and 15(d), not S-K Item 405]
2019-02-15 12:11:37
10-K
FT 7884
0001759843
Certification of no change in definitive materials
2019-02-15 12:11:30
497J
FT 7883
0001759842
Certification of no change in definitive materials
2019-02-15 12:11:05
497J
TOUCHSTONE STRATEGIC TRUST
0000711080
Definitive materials
2019-02-15 12:10:48
497
FT 7864
0001759459
Certification of no change in definitive materials
2019-02-15 12:10:41
497J
KBS Growth & Income REIT, Inc.
0001631256
Statement of acquisition of beneficial ownership by individuals
2019-02-15 12:10:35
SC 13G
Comrit Investments 1, LP
0001726993
Statement of acquisition of beneficial ownership by individuals
2019-02-15 12:10:35
SC 13G
FT 7863
0001759458
Certification of no change in definitive materials
2019-02-15 12:10:12
497J
Strategic Storage Trust IV, Inc.
0001680232
Statement of acquisition of beneficial ownership by individuals
2019-02-15 12:09:50
SC 13G
Comrit Investments 1, LP
0001726993
Statement of acquisition of beneficial ownership by individuals
2019-02-15 12:09:50
SC 13G
FT 7862
0001759457
Certification of no change in definitive materials
2019-02-15 12:09:48
497J
BALCHEM CORP
0000009326
Statement of changes in beneficial ownership of securities
2019-02-15 12:09:34
4
Fischer David B
0001305182
Statement of changes in beneficial ownership of securities
2019-02-15 12:09:34
4
NATIONAL WESTMINSTER BANK PLC /ENG/
0000702162
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 12:09:32
6-K
Strategic Student & Senior Housing Trust, Inc.
0001698538
Statement of acquisition of beneficial ownership by individuals
2019-02-15 12:09:20
SC 13G
Comrit Investments 1, LP
0001726993
Statement of acquisition of beneficial ownership by individuals
2019-02-15 12:09:20
SC 13G
Hutchison Telecommunications Hong Kong Holdings Ltd
0001461402
Prospectus [Rule 424(b)(3)]
2019-02-15 12:09:11
424B3
INVESTABLE EMERGING MARKETS COUNTRY FUND
0001019369
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:08:48
D/A
Otter Tail Corp
0001466593
Statement of changes in beneficial ownership of securities
2019-02-15 12:08:33
4
Smestad Jennifer O.
0001726153
Statement of changes in beneficial ownership of securities
2019-02-15 12:08:33
4
Inlet Point Special Opportunities Offshore Fund Ltd.
0001689298
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:08:27
D/A
International Finance Corp
0001384542
Distribution of primary obligations Development Bank report
2019-02-15 12:08:13
DSTRBRPT
BOGUS DONALD W
0001108970
4 - Statement of changes in beneficial ownership of securities
2019-02-15 12:08:09
4
OLIN CORP
0000074303
Statement of changes in beneficial ownership of securities
2019-02-15 12:08:09
4
BOGUS DONALD W
0001108970
Statement of changes in beneficial ownership of securities
2019-02-15 12:08:09
4
Mesirow East Burton Fund, Ltd.
0001745502
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:08:00
D/A
BALCHEM CORP
0000009326
Statement of changes in beneficial ownership of securities
2019-02-15 12:07:46
4
Knutson Daniel E
0001730344
Statement of changes in beneficial ownership of securities
2019-02-15 12:07:46
4
Level One Bancorp Inc
0001412707
4 - Statement of changes in beneficial ownership of securities
2019-02-15 12:07:42
4
Level One Bancorp Inc
0001412707
Statement of changes in beneficial ownership of securities
2019-02-15 12:07:42
4
Wernette Gregory A.
0001736586
Statement of changes in beneficial ownership of securities
2019-02-15 12:07:42
4
grace capital
0001441646
Quarterly report filed by institutional managers, Holdings
2019-02-15 12:06:52
13F-HR
Noble Mineral Exploration Inc.
0001254742
Notice of Exempt Offering of Securities, item 06b
2019-02-15 12:06:43
D
GREYSTONE LOGISTICS, INC.
0001088413
Statement of changes in beneficial ownership of securities
2019-02-15 12:06:32
4
KRUGER WARREN F
0001261715
Statement of changes in beneficial ownership of securities
2019-02-15 12:06:32
4
ATA Inc.
0001420529
[Amend] General statement of acquisition of beneficial ownership
2019-02-15 12:06:02
SC 13D/A
Sun Cheng Yaw
0001592487
[Amend] General statement of acquisition of beneficial ownership
2019-02-15 12:06:02
SC 13D/A
LIGHTHOUSE AGGRESSIVE GROWTH FUND LP
0001157733
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:05:54
D/A
GREYSTONE LOGISTICS, INC.
0001088413
[Amend] Statement of changes in beneficial ownership of securities
2019-02-15 12:05:50
4/A
KRUGER WARREN F
0001261715
[Amend] Statement of changes in beneficial ownership of securities
2019-02-15 12:05:50
4/A
RELX PLC
0000929869
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 12:05:30
6-K
James Hardie Industries plc
0001159152
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 12:05:06
6-K
Gravity Power, LLC
0001757969
Progress Update
2019-02-15 12:04:50
C-U
RIVER & MERCANTILE ASSET MANAGEMENT LLP
0001486180
Quarterly report filed by institutional managers, Holdings
2019-02-15 12:03:43
13F-HR
MACQUARIE GROUP LTD
0001418333
Quarterly report filed by institutional managers, Holdings
2019-02-15 12:03:35
13F-HR
Delegate Lighthouse Select Fund, LLC
0001555883
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:03:30
D/A
VESTOR CAPITAL, LLC
0001132699
Quarterly report filed by institutional managers, Holdings
2019-02-15 12:02:50
13F-HR
MERGER FUND VL
0001208133
Filing of sales literature pursuant to Rule 24b2 under the Investment Company Act of 1940
2019-02-15 12:02:24
40-24B2
NATIONAL HEALTHCARE CORP
0001047335
Current report, items 8.01 and 9.01
2019-02-15 12:02:11
8-K
Level One Bancorp Inc
0001412707
4 - Statement of changes in beneficial ownership of securities
2019-02-15 12:01:45
4
Level One Bancorp Inc
0001412707
Statement of changes in beneficial ownership of securities
2019-02-15 12:01:45
4
Bellinson James L.
0001736580
Statement of changes in beneficial ownership of securities
2019-02-15 12:01:45
4
Eaton Vance Tax-Managed Buy-Write Strategy Fund
0001480999
Statement of changes in beneficial ownership of securities
2019-02-15 12:01:22
4
Orseck Jonathan
0001494170
Statement of changes in beneficial ownership of securities
2019-02-15 12:01:22
4
Eaton Vance Tax-Managed Buy-Write Strategy Fund
0001480999
Statement of changes in beneficial ownership of securities
2019-02-15 12:01:18
4
Everding Kenneth
0001494171
Statement of changes in beneficial ownership of securities
2019-02-15 12:01:18
4
Mesirow Institutional Multi-Strategy Offshore Fund, Ltd.
0001508448
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 12:01:15
D/A
Eaton Vance Tax-Managed Buy-Write Strategy Fund
0001480999
Statement of changes in beneficial ownership of securities
2019-02-15 12:01:14
4
Evans James
0001495440
Statement of changes in beneficial ownership of securities
2019-02-15 12:01:14
4
Eaton Vance Tax-Managed Buy-Write Strategy Fund
0001480999
Statement of changes in beneficial ownership of securities
2019-02-15 12:01:10
4
COOCH DEVIN J.
0001678278
Statement of changes in beneficial ownership of securities
2019-02-15 12:01:10
4
Eaton Vance Tax-Managed Buy-Write Strategy Fund
0001480999
Statement of changes in beneficial ownership of securities
2019-02-15 12:01:05
4
BARNEY BRIAN
0001678281
Statement of changes in beneficial ownership of securities
2019-02-15 12:01:05
4
AMERICAN EXPRESS CO
0000004962
Current report, item 7.01
2019-02-15 12:00:30
8-K
NACCO INDUSTRIES INC
0000789933
Statement of changes in beneficial ownership of securities
2019-02-15 12:00:24
4
FRY SARAH E
0001705980
Statement of changes in beneficial ownership of securities
2019-02-15 12:00:24
4
ICC Holdings, Inc.
0001681903
Statement of changes in beneficial ownership of securities
2019-02-15 12:00:09
4
Beck Howard J.
0001699897
Statement of changes in beneficial ownership of securities
2019-02-15 12:00:09
4
Modify Health LLC
0001744101
D/A [Amend] - Notice of Exempt Offering of Securities
2019-02-15 11:58:37
D/A [Amend]
NACCO INDUSTRIES INC
0000789933
Statement of changes in beneficial ownership of securities
2019-02-15 11:58:37
4
BUTLER HELEN RANKIN
0001247868
Statement of changes in beneficial ownership of securities
2019-02-15 11:58:37
4
Modify Health LLC
0001744101
[Amend] Notice of Exempt Offering of Securities, item 06b
2019-02-15 11:58:37
D/A
Taurus CD 200 Orlando Residential I LP
0001755238
[Amend] Notice of Exempt Offering of Securities, item 06b
2019-02-15 11:58:14
D/A
Viabuilt Ventures Inc.
0001575975
Notification of inability to timely file Form 10-Q or 10-QSB
2019-02-15 11:57:57
NT 10-Q
SOUTH STATE Corp
0000764038
Annual statement of changes in beneficial ownership of securities
2019-02-15 11:57:52
5
HILL ROBERT R JR
0001225909
Annual statement of changes in beneficial ownership of securities
2019-02-15 11:57:52
5
NACCO INDUSTRIES INC
0000789933
Statement of changes in beneficial ownership of securities
2019-02-15 11:57:03
4
BUTLER JOHN C JR
0001247860
Statement of changes in beneficial ownership of securities
2019-02-15 11:57:03
4
Phoenix LHF Ltd.
0001679708
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 11:56:26
D/A
LMP CAPITAL & INCOME FUND INC.
0001270131
Initial statement of beneficial ownership of securities
2019-02-15 11:56:05
3
Eades Tatiana
0001768044
Initial statement of beneficial ownership of securities
2019-02-15 11:56:05
3
Velt International Group Inc.
0001539778
Current report, items 4.01 and 9.01
2019-02-15 11:56:03
8-K
NACCO INDUSTRIES INC
0000789933
Statement of changes in beneficial ownership of securities
2019-02-15 11:54:50
4
Maxwell Thomas A
0001652429
Statement of changes in beneficial ownership of securities
2019-02-15 11:54:50
4
COMPUTER TASK GROUP INC
0000023111
Current report, items 7.01 and 9.01
2019-02-15 11:54:02
8-K
NACCO INDUSTRIES INC
0000789933
Statement of changes in beneficial ownership of securities
2019-02-15 11:53:32
4
Loveman Elizabeth
0001602461
Statement of changes in beneficial ownership of securities
2019-02-15 11:53:32
4
GSO European Senior Debt Fund II Levered EEA Feeder SCSp
0001766349
Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 11:53:28
D
Proteus Funding DAC
0001760555
Asset-backed securitizer report pursuant to Section 15G, item 1.02
2019-02-15 11:53:23
ABS-15G
TriBuild Inc.
0001768204
Notice of Exempt Offering of Securities, item 06b
2019-02-15 11:53:10
D
INSTRUCTURE INC
0001355754
SC 13G/A [Amend] - Statement of acquisition of beneficial ownership by individuals
2019-02-15 11:52:07
SC 13G/A [Amend]
INSTRUCTURE INC
0001355754
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 11:52:07
SC 13G/A
Nine Ten Partners LP
0001603715
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 11:52:07
SC 13G/A
CAPE ANN SAVINGS BANK
0000936938
Quarterly report filed by institutional managers, Holdings
2019-02-15 11:51:57
13F-HR
NACCO INDUSTRIES INC
0000789933
Statement of changes in beneficial ownership of securities
2019-02-15 11:51:50
4
Adkins Jesse Lance
0001575362
Statement of changes in beneficial ownership of securities
2019-02-15 11:51:50
4
ICC Holdings, Inc.
0001681903
Statement of changes in beneficial ownership of securities
2019-02-15 11:51:02
4
Schmeichel Norman D.
0001699813
Statement of changes in beneficial ownership of securities
2019-02-15 11:51:02
4
Oak Valley Bancorp
0001431567
Statement of changes in beneficial ownership of securities
2019-02-15 11:50:11
4
Leonard Daniel J
0001538662
Statement of changes in beneficial ownership of securities
2019-02-15 11:50:11
4
CERAGON NETWORKS LTD
0001119769
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 11:50:02
SC 13G/A
SAMBERG JOSEPH D
0001264542
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 11:50:02
SC 13G/A
NACCO INDUSTRIES INC
0000789933
Statement of changes in beneficial ownership of securities
2019-02-15 11:49:10
4
Dale Eric A
0001693211
Statement of changes in beneficial ownership of securities
2019-02-15 11:49:10
4
BIGEON CORP.
0001753391
[Amend] General form for registration of securities under the Securities Act of 1933
2019-02-15 11:48:58
S-1/A
X Financial
0001725033
Statement of acquisition of beneficial ownership by individuals
2019-02-15 11:48:51
SC 13G
Mangrove Coast Investment Ltd
0001768213
Statement of acquisition of beneficial ownership by individuals
2019-02-15 11:48:51
SC 13G
CRAWFORD & CO
0000025475
Statement of changes in beneficial ownership of securities
2019-02-15 11:47:16
4
CRAWFORD JESSE C
0001080459
Statement of changes in beneficial ownership of securities
2019-02-15 11:47:16
4
LUMINUS MANAGEMENT LLC
0001279151
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 11:47:03
SC 13G/A
TimkenSteel Corp
0001598428
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 11:47:03
SC 13G/A
CarMax Auto Owner Trust 2018-4
0001754008
Asset-Backed Electronic Exhibits
2019-02-15 11:47:00
ABS-EE
SOUTH STATE Corp
0000764038
Annual statement of changes in beneficial ownership of securities
2019-02-15 11:46:49
5
SUGGS THOMAS E
0001226907
Annual statement of changes in beneficial ownership of securities
2019-02-15 11:46:49
5
Juhl Clean Energy Assets, Inc.
0001723412
[Amend] Notice of Exempt Offering of Securities, item 06b
2019-02-15 11:46:22
D/A
GSO European Senior Debt Fund II Levered EEA SCSp
0001766359
Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 11:46:18
D
Tikehau Investment Management
0001740840
[Amend] Quarterly report filed by institutional managers, Holdings
2019-02-15 11:45:20
13F-HR/A
High Falls Advisors, Inc
0001569139
Quarterly report filed by institutional managers, Holdings
2019-02-15 11:44:30
13F-HR
The Nasdaq Stock Market LLC
0001354457
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 11:44:25
19B-4E
SOUTH STATE Corp
0000764038
Annual statement of changes in beneficial ownership of securities
2019-02-15 11:43:34
5
WESTBROOK L ANDREW III
0001328022
Annual statement of changes in beneficial ownership of securities
2019-02-15 11:43:34
5
The Nasdaq Stock Market LLC
0001354457
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 11:43:00
19B-4E
Harlow Apt Venture, LLC
0001768182
Notice of Exempt Offering of Securities, item 06b
2019-02-15 11:42:50
D
Mercantil Bank Holding Corp
0001734342
Statement of acquisition of beneficial ownership by individuals
2019-02-15 11:42:33
SC 13G
Medina de Marturet Diana
0001768194
Statement of acquisition of beneficial ownership by individuals
2019-02-15 11:42:33
SC 13G
SEALED AIR CORP/DE
0001012100
Statement of changes in beneficial ownership of securities
2019-02-15 11:42:27
4
Stiehl William G.
0001565523
Statement of changes in beneficial ownership of securities
2019-02-15 11:42:27
4
GSO European Senior Debt Fund II EEA Feeder SCSp
0001766387
D - Notice of Exempt Offering of Securities
2019-02-15 11:40:49
D
GSO European Senior Debt Fund II EEA Feeder SCSp
0001766387
Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 11:40:49
D
The Nasdaq Stock Market LLC
0001354457
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 11:40:44
19B-4E
China SXT Pharmaceuticals, Inc.
0001723980
General statement of acquisition of beneficial ownership
2019-02-15 11:40:33
SC 13D
Zhou Albert Feng
0001768175
General statement of acquisition of beneficial ownership
2019-02-15 11:40:33
SC 13D
CommScope Holding Company, Inc.
0001517228
Current report, items 5.02 and 9.01
2019-02-15 11:40:02
8-K
Achaogen, Inc.
0001301501
Statement of acquisition of beneficial ownership by individuals
2019-02-15 11:39:49
SC 13G
SABBY MANAGEMENT, LLC
0001535610
Statement of acquisition of beneficial ownership by individuals
2019-02-15 11:39:49
SC 13G
BALCHEM CORP
0000009326
Statement of changes in beneficial ownership of securities
2019-02-15 11:39:44
4
COOMBS PAUL D
0001182275
Statement of changes in beneficial ownership of securities
2019-02-15 11:39:44
4
SOUTH STATE Corp
0000764038
Annual statement of changes in beneficial ownership of securities
2019-02-15 11:39:42
5
RAINWATER KEITH S
0001540751
Annual statement of changes in beneficial ownership of securities
2019-02-15 11:39:42
5
Xiamen Lutong International Travel Agency Co., Ltd.
0001445175
Notification of inability to timely file Form 10-Q or 10-QSB
2019-02-15 11:39:09
NT 10-Q
Wall Street Access Asset Management, LLC
0001507971
Quarterly report filed by institutional managers, Holdings
2019-02-15 11:38:26
13F-HR
SCWorx Corp.
0001674227
Statement of changes in beneficial ownership of securities
2019-02-15 11:37:29
4
Schessel Marc Sanford
0001767842
Statement of changes in beneficial ownership of securities
2019-02-15 11:37:29
4
HYDRO ONE INC
0001114445
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 11:36:33
6-K
S L Capital Strategies LLC
0001616206
Annual Update of Munipal Advisor Registration for Business Entities
2019-02-15 11:36:24
MA-A
NATIONAL WESTMINSTER BANK PLC /ENG/
0000702162
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 11:35:06
6-K
Francis Knuettel II
0001433316
Statement of changes in beneficial ownership of securities
2019-02-15 11:34:35
4
SCWorx Corp.
0001674227
Statement of changes in beneficial ownership of securities
2019-02-15 11:34:35
4
AVENUE THERAPEUTICS, INC.
0001644963
Initial statement of beneficial ownership of securities
2019-02-15 11:33:31
3
Gogtay Jaideep Ashok
0001767647
Initial statement of beneficial ownership of securities
2019-02-15 11:33:31
3
GSO European Senior Debt Fund II EEA SCSp
0001766391
Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 11:33:18
D
AIR INDUSTRIES GROUP
0001009891
[Amend] Statement of changes in beneficial ownership of securities
2019-02-15 11:33:13
4/A
TAGLICH ROBERT
0001353439
[Amend] Statement of changes in beneficial ownership of securities
2019-02-15 11:33:13
4/A
Hydro One Ltd
0001712356
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 11:33:02
6-K
VERMILION ENERGY INC.
0001293135
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 11:32:24
6-K
PRICE T ROWE GROUP INC
0001113169
Statement of changes in beneficial ownership of securities
2019-02-15 11:32:00
4
Robert W. Sharps
0001693713
Statement of changes in beneficial ownership of securities
2019-02-15 11:32:00
4
RYANAIR HOLDINGS PLC
0001038683
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 11:31:33
6-K
GTJ REIT, Inc.
0001368757
Tender offer statement by Issuer
2019-02-15 11:31:26
SC TO-I
ETF Series Solutions
0001540305
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 11:31:04
485BXT
ETF Series Solutions
0001540305
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 11:31:04
485BXT
CarMax Auto Owner Trust 2018-3
0001742867
Asset-Backed Electronic Exhibits
2019-02-15 11:31:02
ABS-EE
Diesel Co-Investment L.P.
0001731947
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, 3C.1, and 3C.7
2019-02-15 11:30:59
D/A
ASIAN DEVELOPMENT BANK
0000311669
[Amend] [Paper]Periodic Development Bank filing, submitted quarterly
2019-02-15 11:30:40
QRTLYRPT/A
AIR INDUSTRIES GROUP
0001009891
[Amend] Statement of changes in beneficial ownership of securities
2019-02-15 11:30:39
4/A
TAGLICH ROBERT
0001353439
[Amend] Statement of changes in beneficial ownership of securities
2019-02-15 11:30:39
4/A
China Core Fund Feeder 2
0001766203
Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 11:30:20
D
Spruce Point Capital Management, LLC
0001731579
Quarterly report filed by institutional managers, Holdings
2019-02-15 11:30:15
13F-HR
SOUTH STATE Corp
0000764038
Annual statement of changes in beneficial ownership of securities
2019-02-15 11:30:10
5
SEALED AIR CORP/DE
0001012100
Statement of changes in beneficial ownership of securities
2019-02-15 11:30:10
4
Doheny Edward L II
0001363620
Statement of changes in beneficial ownership of securities
2019-02-15 11:30:10
4
BROOKS RENEE R
0001511998
Annual statement of changes in beneficial ownership of securities
2019-02-15 11:30:10
5
PNC FINANCIAL SERVICES GROUP, INC.
0000713676
Current report, items 8.01 and 9.01
2019-02-15 11:30:02
8-K
PRICE T ROWE GROUP INC
0001113169
Statement of changes in beneficial ownership of securities
2019-02-15 11:29:49
4
BERNARD EDWARD C
0001203065
Statement of changes in beneficial ownership of securities
2019-02-15 11:29:49
4
AIR INDUSTRIES GROUP
0001009891
[Amend] Statement of changes in beneficial ownership of securities
2019-02-15 11:29:18
4/A
TAGLICH MICHAEL N
0001024533
[Amend] Statement of changes in beneficial ownership of securities
2019-02-15 11:29:18
4/A
Walker Lane Exploration, Inc.
0001413659
15-15D - Suspension of duty to report [Section 13 and 15(d)]
2019-02-15 11:28:56
15-15D
Walker Lane Exploration, Inc.
0001413659
Suspension of duty to report [Section 13 and 15(d)]
2019-02-15 11:28:56
15-15D
Laredo Petroleum, Inc.
0001528129
Initial statement of beneficial ownership of securities
2019-02-15 11:28:54
3
SailingStone Capital Partners LLC
0001608904
Initial statement of beneficial ownership of securities
2019-02-15 11:28:54
3
SailingStone Holdings LLC
0001685655
Initial statement of beneficial ownership of securities
2019-02-15 11:28:54
3
Davis MacKenzie B
0001685657
Initial statement of beneficial ownership of securities
2019-02-15 11:28:54
3
Settles Kenneth L Jr
0001685658
Initial statement of beneficial ownership of securities
2019-02-15 11:28:54
3
PRICE T ROWE GROUP INC
0001113169
Statement of changes in beneficial ownership of securities
2019-02-15 11:28:34
4
Alderson Christopher D
0001456872
Statement of changes in beneficial ownership of securities
2019-02-15 11:28:34
4
AVENUE THERAPEUTICS, INC.
0001644963
Initial statement of beneficial ownership of securities
2019-02-15 11:28:21
3
Saxena Nishant
0001767496
Initial statement of beneficial ownership of securities
2019-02-15 11:28:21
3
Smart Trust 428
0001767021
Registration statement for unit investment trusts
2019-02-15 11:27:48
S-6
AIR INDUSTRIES GROUP
0001009891
[Amend] Statement of changes in beneficial ownership of securities
2019-02-15 11:27:36
4/A
TAGLICH MICHAEL N
0001024533
[Amend] Statement of changes in beneficial ownership of securities
2019-02-15 11:27:36
4/A
GSO European Senior Debt Feeder Fund II LP
0001766360
Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 11:27:35
D
Smart Trust 427
0001767020
Registration statement for unit investment trusts
2019-02-15 11:26:33
S-6
Amur Equipment Finance, Inc.
0001633217
Asset-backed securitizer report pursuant to Section 15G, item 1.02
2019-02-15 11:26:02
ABS-15G
TOUCHSTONE FUNDS GROUP TRUST
0000914243
Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(K)
2019-02-15 11:25:10
497K
Smart Trust 426
0001767018
Registration statement for unit investment trusts
2019-02-15 11:24:48
S-6
MERGANSER INTERMEDIATE TERM BOND FUND II LLC
0001634405
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 11:23:40
D/A
Amur Equipment Finance, Inc.
0001633217
Asset-backed securitizer report pursuant to Section 15G, item 1.02
2019-02-15 11:23:32
ABS-15G
Smart Trust 425
0001767016
Registration statement for unit investment trusts
2019-02-15 11:23:08
S-6
Smart Trust 424
0001767015
Registration statement for unit investment trusts
2019-02-15 11:21:26
S-6
CarMax Auto Owner Trust 2018-2
0001734850
Asset-Backed Electronic Exhibits
2019-02-15 11:21:24
ABS-EE
TITAN MEDICAL INC
0000840551
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 11:21:22
6-K
INTERCONTINENTAL HOTELS GROUP PLC /NEW/
0000858446
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 11:20:28
6-K
SOUTH STATE Corp
0000764038
Annual statement of changes in beneficial ownership of securities
2019-02-15 11:20:15
5
JOHNSON THOMAS J
0001226821
Annual statement of changes in beneficial ownership of securities
2019-02-15 11:20:15
5
UNITED FIRE GROUP INC
0000101199
Current report, items 8.01 and 9.01
2019-02-15 11:19:47
8-K
TOA Distribution Systems Inc.
0001445541
Quarterly report [Sections 13 or 15(d)]
2019-02-15 11:18:58
10-Q
JPMORGAN CHASE & CO
0000019617
Prospectus [Rule 424(b)(2)]
2019-02-15 11:18:56
424B2
JPMorgan Chase Financial Co. LLC
0001665650
Prospectus [Rule 424(b)(2)]
2019-02-15 11:18:56
424B2
VW CREDIT INC
0000833733
Asset-backed securitizer report pursuant to Section 15G, item 1.02
2019-02-15 11:18:32
ABS-15G
Smart Trust 423
0001767014
Registration statement for unit investment trusts
2019-02-15 11:18:27
S-6
NEW PERSPECTIVE FUND
0000071516
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 11:18:26
SC 13G/A
NEW PERSPECTIVE FUND
0000071516
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 11:18:26
SC 13G/A
Ultragenyx Pharmaceutical Inc.
0001515673
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 11:18:26
SC 13G/A
GoDaddy Inc.
0001609711
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 11:18:26
SC 13G/A
Brilliant US Feeder 1 Fund Ltd.
0001763564
Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 11:17:59
D
FT 7934
0001763225
Registration statement for unit investment trusts
2019-02-15 11:17:46
S-6
GOLDMAN SACHS GROUP INC
0000886982
Prospectus [Rule 424(b)(2)]
2019-02-15 11:17:45
424B2
Merganser Core Bond Fund II LLC
0001672658
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 11:17:35
D/A
ETF Series Solutions
0001540305
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 11:17:33
485BXT
ETF Series Solutions
0001540305
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 11:17:33
485BXT
FIRST DEFIANCE FINANCIAL CORP
0000946647
Statement of changes in beneficial ownership of securities
2019-02-15 11:17:25
4
Hileman Donald P.
0001459346
Statement of changes in beneficial ownership of securities
2019-02-15 11:17:25
4
Duke Energy CORP
0001326160
[Amend] Statement of changes in beneficial ownership of securities
2019-02-15 11:17:23
4/A
Jamil Dhiaa M.
0001426975
[Amend] Statement of changes in beneficial ownership of securities
2019-02-15 11:17:23
4/A
CACI INTERNATIONAL INC /DE/
0000016058
Statement of changes in beneficial ownership of securities
2019-02-15 11:16:59
4
REVOILE CHARLES P
0001230979
Statement of changes in beneficial ownership of securities
2019-02-15 11:16:59
4
TOA Distribution Systems Inc.
0001445541
Notification of inability to timely file Form 10-Q or 10-QSB
2019-02-15 11:16:49
NT 10-Q
GOOD LYNN J
0001230175
Statement of changes in beneficial ownership of securities
2019-02-15 11:16:48
4
Duke Energy CORP
0001326160
Statement of changes in beneficial ownership of securities
2019-02-15 11:16:48
4
NATIONWIDE PRIVATE PLACEMENT VARIABLE ACCOUNT 2
0001213556
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 11:16:39
D/A
SIRE DISCOVERY GROUP L P
0000917900
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 11:16:36
D/A
CACI INTERNATIONAL INC /DE/
0000016058
Statement of changes in beneficial ownership of securities
2019-02-15 11:16:24
4
Plunkett Debora A
0001699997
Statement of changes in beneficial ownership of securities
2019-02-15 11:16:24
4
Duke Energy CORP
0001326160
Statement of changes in beneficial ownership of securities
2019-02-15 11:16:15
4
Anderson Melissa H.
0001631925
Statement of changes in beneficial ownership of securities
2019-02-15 11:16:15
4
Hixson Holdings Inc
0001320141
Notice of Exempt Offering of Securities, item 04
2019-02-15 11:16:00
D
CACI INTERNATIONAL INC /DE/
0000016058
Statement of changes in beneficial ownership of securities
2019-02-15 11:15:56
4
PHILLIPS WARREN R
0001230977
Statement of changes in beneficial ownership of securities
2019-02-15 11:15:56
4
ESAMANN DOUGLAS F
0001196675
Statement of changes in beneficial ownership of securities
2019-02-15 11:15:36
4
Duke Energy CORP
0001326160
Statement of changes in beneficial ownership of securities
2019-02-15 11:15:36
4
PRICE T ROWE GROUP INC
0001113169
Statement of changes in beneficial ownership of securities
2019-02-15 11:15:34
4
Stromberg William J
0001352578
Statement of changes in beneficial ownership of securities
2019-02-15 11:15:34
4
CACI INTERNATIONAL INC /DE/
0000016058
Statement of changes in beneficial ownership of securities
2019-02-15 11:15:24
4
Pavitt James L
0001441955
Statement of changes in beneficial ownership of securities
2019-02-15 11:15:24
4
Duke Energy CORP
0001326160
Statement of changes in beneficial ownership of securities
2019-02-15 11:15:04
4
YOUNG STEVEN K
0001329406
Statement of changes in beneficial ownership of securities
2019-02-15 11:15:04
4
CACI INTERNATIONAL INC /DE/
0000016058
Statement of changes in beneficial ownership of securities
2019-02-15 11:14:52
4
Johnson Gregory G
0001380885
Statement of changes in beneficial ownership of securities
2019-02-15 11:14:52
4
JANSON JULIA S
0001227045
Statement of changes in beneficial ownership of securities
2019-02-15 11:14:32
4
Duke Energy CORP
0001326160
Statement of changes in beneficial ownership of securities
2019-02-15 11:14:32
4
GSO European Senior Debt Fund II LP
0001766381
Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 11:14:32
D
Hedge Fund Guided Portfolio Solution
0001738008
Post-effective amendments filed by certain investment companies [Section 8(c)]
2019-02-15 11:14:25
POS 8C
Hedge Fund Guided Portfolio Solution
0001738008
Post-effective amendments filed by certain investment companies [Section 8(c)]
2019-02-15 11:14:25
POS 8C
CACI INTERNATIONAL INC /DE/
0000016058
Statement of changes in beneficial ownership of securities
2019-02-15 11:14:22
4
JEWS WILLIAM L
0001107218
Statement of changes in beneficial ownership of securities
2019-02-15 11:14:22
4
Duke Energy CORP
0001326160
Statement of changes in beneficial ownership of securities
2019-02-15 11:13:57
4
Jacobs Dwight L.
0001742689
Statement of changes in beneficial ownership of securities
2019-02-15 11:13:57
4
MDU RESOURCES GROUP INC
0000067716
Current report, items 5.03 and 9.01
2019-02-15 11:13:51
8-K
Yates Lloyd M
0001311411
4 - Statement of changes in beneficial ownership of securities
2019-02-15 11:13:23
4
Yates Lloyd M
0001311411
Statement of changes in beneficial ownership of securities
2019-02-15 11:13:23
4
Duke Energy CORP
0001326160
Statement of changes in beneficial ownership of securities
2019-02-15 11:13:23
4
GENERAL ELECTRIC CO
0000040545
Quarterly report filed by institutional managers, Holdings
2019-02-15 11:13:16
13F-HR
Duke Energy CORP
0001326160
Statement of changes in beneficial ownership of securities
2019-02-15 11:12:50
4
Jamil Dhiaa M.
0001426975
Statement of changes in beneficial ownership of securities
2019-02-15 11:12:50
4
Blue Hills Bancorp, Inc.
0001601545
Statement of changes in beneficial ownership of securities
2019-02-15 11:12:50
4
Kivlehan Jim
0001611215
Statement of changes in beneficial ownership of securities
2019-02-15 11:12:50
4
CarMax Auto Owner Trust 2018-1
0001725618
Asset-Backed Electronic Exhibits
2019-02-15 11:12:11
ABS-EE
BB&T CORP
0000092230
Statement of changes in beneficial ownership of securities
2019-02-15 11:11:41
4
Yates William Rufus
0001557353
Statement of changes in beneficial ownership of securities
2019-02-15 11:11:41
4
Cboe EDGX Exchange, Inc.
0001473845
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 11:11:39
19B-4E
BB&T CORP
0000092230
Statement of changes in beneficial ownership of securities
2019-02-15 11:11:37
4
Johnson Robert Jerome JR
0001499835
Statement of changes in beneficial ownership of securities
2019-02-15 11:11:37
4
BB&T CORP
0000092230
Statement of changes in beneficial ownership of securities
2019-02-15 11:11:33
4
Goodrich Donna C
0001385102
Statement of changes in beneficial ownership of securities
2019-02-15 11:11:33
4
Cboe EDGX Exchange, Inc.
0001473845
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 11:11:30
19B-4E
BB&T CORP
0000092230
Statement of changes in beneficial ownership of securities
2019-02-15 11:11:29
4
Starnes Clarke R III
0001385101
Statement of changes in beneficial ownership of securities
2019-02-15 11:11:29
4
BB&T CORP
0000092230
Statement of changes in beneficial ownership of securities
2019-02-15 11:11:25
4
DUCK BARBARA F
0001260887
Statement of changes in beneficial ownership of securities
2019-02-15 11:11:25
4
BB&T CORP
0000092230
Statement of changes in beneficial ownership of securities
2019-02-15 11:11:21
4
MERGANSER CORE PLUS BOND FUND LLC
0001200289
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 11:11:21
D/A
Bible Daryl N.
0001449506
Statement of changes in beneficial ownership of securities
2019-02-15 11:11:21
4
BB&T CORP
0000092230
Statement of changes in beneficial ownership of securities
2019-02-15 11:11:17
4
Henson Christopher L
0001289488
Statement of changes in beneficial ownership of securities
2019-02-15 11:11:17
4
BB&T CORP
0000092230
Statement of changes in beneficial ownership of securities
2019-02-15 11:11:13
4
KING KELLY S
0001195189
Statement of changes in beneficial ownership of securities
2019-02-15 11:11:13
4
5280 Distilling Corp
0001764400
Notice of Exempt Offering of Securities, item 04.2
2019-02-15 11:10:38
D
Capital Directions Investment Advisors, LLC
0001427684
Quarterly report filed by institutional managers, Holdings
2019-02-15 11:09:54
13F-HR
Health Platforms Group, Inc.
0001716227
[Amend] Notice of Exempt Offering of Securities, item 06b
2019-02-15 11:09:52
D/A
NORTH COUNTRY FUNDS
0001123460
Rule 24F-2 notice
2019-02-15 11:08:52
24F-2NT
CACI INTERNATIONAL INC /DE/
0000016058
Statement of changes in beneficial ownership of securities
2019-02-15 11:08:51
4
GILMORE JAMES III
0001237270
Statement of changes in beneficial ownership of securities
2019-02-15 11:08:51
4
CACI INTERNATIONAL INC /DE/
0000016058
Statement of changes in beneficial ownership of securities
2019-02-15 11:08:13
4
Daniels Michael A
0001403830
Statement of changes in beneficial ownership of securities
2019-02-15 11:08:13
4
CBL & ASSOCIATES PROPERTIES INC
0000910612
Statement of changes in beneficial ownership of securities
2019-02-15 11:08:01
4
Reinsmidt Kathryn A.
0001698266
Statement of changes in beneficial ownership of securities
2019-02-15 11:08:01
4
CRAWFORD & CO
0000025475
Statement of changes in beneficial ownership of securities
2019-02-15 11:07:55
4
Ogburn Charles H
0001339995
Statement of changes in beneficial ownership of securities
2019-02-15 11:07:55
4
TRUSTEES OF GENERAL ELECTRIC PENSION TRUST
0000902967
Quarterly report filed by institutional managers, Holdings
2019-02-15 11:06:50
13F-HR
UNITED STATES STEEL CORP
0001163302
Annual report [Section 13 and 15(d), not S-K Item 405]
2019-02-15 11:06:06
10-K
Merganser Floating Rate Bond Fund LLC
0001587664
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 11:05:43
D/A
SCOTT MACON ASSET MANAGEMENT FUND LLC
0001420713
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 11:05:09
D/A
Cboe EDGA Exchange, Inc.
0001473606
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 11:04:38
19B-4E
CBL & ASSOCIATES PROPERTIES INC
0000910612
Statement of changes in beneficial ownership of securities
2019-02-15 11:04:20
4
LEBOVITZ ALAN L.
0001457217
Statement of changes in beneficial ownership of securities
2019-02-15 11:04:20
4
Cboe BZX Exchange, Inc.
0001417835
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 11:02:45
19B-4E
Cboe BYX Exchange, Inc.
0001476530
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 11:01:23
19B-4E
AMERICAN CENTURY ETF TRUST
0001710607
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 11:01:21
485BXT
AMERICAN CENTURY ETF TRUST
0001710607
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 11:01:21
485BXT
SPECBOND INC
0001768203
Notice of Exempt Offering of Securities, item 06b
2019-02-15 11:00:42
D
CBL & ASSOCIATES PROPERTIES INC
0000910612
Statement of changes in beneficial ownership of securities
2019-02-15 11:00:36
4
Harrison Michael C. Jr.
0001731413
Statement of changes in beneficial ownership of securities
2019-02-15 11:00:36
4
Advanced Aesthetic Technologies, Inc.
0001651778
[Amend] Offering Statement
2019-02-15 11:00:24
C/A
MERGANSER SHORT TERM BOND FUND LLC
0001130724
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 11:00:07
D/A
Check-Cap Ltd
0001610590
Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:59:52
SC 13G
Barna Capital Group Ltd.
0001727575
Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:59:52
SC 13G
ASLAN Pharmaceuticals Ltd
0001722926
Confidential treatment order
2019-02-15 10:59:37
CT ORDER
Nielsen David J.
0001541524
4 - Statement of changes in beneficial ownership of securities
2019-02-15 10:58:42
4
OVERSTOCK.COM, INC
0001130713
Statement of changes in beneficial ownership of securities
2019-02-15 10:58:42
4
Nielsen David J.
0001541524
Statement of changes in beneficial ownership of securities
2019-02-15 10:58:42
4
CHICAGO STOCK EXCHANGE INC
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 10:58:08
19B-4E
CHICAGO STOCK EXCHANGE INC
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 10:57:48
19B-4E
CHICAGO STOCK EXCHANGE INC
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 10:57:21
19B-4E
OVERSTOCK.COM, INC
0001130713
Statement of changes in beneficial ownership of securities
2019-02-15 10:57:16
4
ABRAHAM ALLISON H
0001205771
Statement of changes in beneficial ownership of securities
2019-02-15 10:57:16
4
CBL & ASSOCIATES PROPERTIES INC
0000910612
Statement of changes in beneficial ownership of securities
2019-02-15 10:57:02
4
LANDRESS BEN S
0001220923
Statement of changes in beneficial ownership of securities
2019-02-15 10:57:02
4
CHICAGO STOCK EXCHANGE INC
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 10:56:57
19B-4E
CHICAGO STOCK EXCHANGE INC
0000876882
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 10:56:27
19B-4E
SUN LIFE FINANCIAL INC
0001097362
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 10:56:22
6-K
CRAWFORD & CO
0000025475
Statement of changes in beneficial ownership of securities
2019-02-15 10:56:04
4
Williams Donald R.
0001487159
Statement of changes in beneficial ownership of securities
2019-02-15 10:56:04
4
SOUTH STATE Corp
0000764038
Annual statement of changes in beneficial ownership of securities
2019-02-15 10:55:56
5
HARTLEY CYNTHIA A
0001196246
Annual statement of changes in beneficial ownership of securities
2019-02-15 10:55:56
5
OVERSTOCK.COM, INC
0001130713
Statement of changes in beneficial ownership of securities
2019-02-15 10:55:34
4
Kalyanam Kirthi
0001632980
Statement of changes in beneficial ownership of securities
2019-02-15 10:55:34
4
OVERSTOCK.COM, INC
0001130713
Statement of changes in beneficial ownership of securities
2019-02-15 10:53:25
4
Iverson Gregory James
0001456658
Statement of changes in beneficial ownership of securities
2019-02-15 10:53:25
4
The Nasdaq Stock Market LLC
0001354457
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 10:52:52
19B-4E
ICICI BANK LTD
0001103838
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 10:52:51
6-K
SCI Engineered Materials, Inc.
0000830616
Statement of changes in beneficial ownership of securities
2019-02-15 10:52:50
4
Young Jeremiah Ray
0001722788
Statement of changes in beneficial ownership of securities
2019-02-15 10:52:50
4
GLENMEDE FUND INC
0000835663
Certification of no change in definitive materials
2019-02-15 10:52:33
497J
The Nasdaq Stock Market LLC
0001354457
[Paper]Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)]
2019-02-15 10:52:22
19B-4E
GREAT-WEST FUNDS INC
0000356476
Certification of no change in definitive materials
2019-02-15 10:52:02
497J
Trend Discovery SPV I, LLC
0001764463
[Amend] Notice of Exempt Offering of Securities, item 06b
2019-02-15 10:51:33
D/A
TELE2 AB
0001122535
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 10:51:15
6-K
NEW YORK STOCK EXCHANGE LLC
0000876661
Notification filed by national security exchange to report the removal from listing and registration of matured, redeemed or retired securities
2019-02-15 10:50:36
25-NSE
ASPEN INSURANCE HOLDINGS LTD
0001267395
Notification filed by national security exchange to report the removal from listing and registration of matured, redeemed or retired securities
2019-02-15 10:50:36
25-NSE
NEOGEN CORP
0000711377
Statement of changes in beneficial ownership of securities
2019-02-15 10:49:35
4
PARNELL JACK C
0001188979
Statement of changes in beneficial ownership of securities
2019-02-15 10:49:35
4
HUAHUI EDUCATION GROUP CORP
0001680935
Quarterly report [Sections 13 or 15(d)]
2019-02-15 10:49:06
10-Q
Northern Lights Fund Trust IV
0001644419
Rule 24F-2 notice
2019-02-15 10:49:04
24F-2NT
SUMMIT FINANCIAL GROUP INC
0000811808
Statement of changes in beneficial ownership of securities
2019-02-15 10:48:53
4
JENNINGS SCOTT C
0001186835
Statement of changes in beneficial ownership of securities
2019-02-15 10:48:53
4
AUDIOCODES LTD
0001086434
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:48:13
SC 13G/A
Senvest Management, LLC
0001328785
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:48:13
SC 13G/A
Chicken Soup for the Soul Entertainment, Inc.
0001679063
Current report, items 8.01 and 9.01
2019-02-15 10:48:08
8-K
Vericimetry Funds
0001524968
Post-effective amendment [Rule 485(b)]
2019-02-15 10:47:08
485BPOS
Vericimetry Funds
0001524968
Post-effective amendment [Rule 485(b)]
2019-02-15 10:47:08
485BPOS
ASIAN DEVELOPMENT BANK
0000311669
[Paper]Periodic Development Bank filing, submitted quarterly
2019-02-15 10:45:11
QRTLYRPT
Amster Howard
0000904853
Statement of changes in beneficial ownership of securities
2019-02-15 10:44:39
4
RAIT Financial Trust
0001045425
Statement of changes in beneficial ownership of securities
2019-02-15 10:44:39
4
Advisors Disciplined Trust 1926
0001741186
S-6/A [Amend] - Registration statement for unit investment trusts
2019-02-15 10:43:07
S-6/A [Amend]
Advisors Disciplined Trust 1926
0001741186
[Amend] Registration statement for unit investment trusts
2019-02-15 10:43:07
S-6/A
SOUTH STATE Corp
0000764038
Annual statement of changes in beneficial ownership of securities
2019-02-15 10:42:32
5
WALKER KEVIN P
0001504978
Annual statement of changes in beneficial ownership of securities
2019-02-15 10:42:32
5
Advisors Disciplined Trust 1938
0001751388
Registration statement for unit investment trusts
2019-02-15 10:41:53
S-6
Aclipse Therapeutics LLC
0001730907
[Amend] Notice of Exempt Offering of Securities, item 06b
2019-02-15 10:41:50
D/A
CITRIX SYSTEMS INC
0000877890
Annual report [Section 13 and 15(d), not S-K Item 405]
2019-02-15 10:41:47
10-K
ABS Long/Short Strategies Fund
0001649363
[Amend] Tender offer statement by Issuer
2019-02-15 10:41:42
SC TO-I/A
Altegris KKR Commitments Master Fund
0001606789
Tender offer statement by Issuer
2019-02-15 10:40:49
SC TO-I
GLOBEFLEX CAPITAL L P
0000921531
[Amend] Quarterly report filed by institutional managers, Holdings
2019-02-15 10:39:32
13F-HR/A
CRAWFORD & CO
0000025475
Statement of changes in beneficial ownership of securities
2019-02-15 10:39:31
4
Patel Rahul
0001712544
Statement of changes in beneficial ownership of securities
2019-02-15 10:39:31
4
WFB Funding, LLC
0001540723
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 10:39:29
10-D
Cabela's Master Credit Card Trust
0001592143
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 10:39:29
10-D
Cabela's Credit Card Master Note Trust
0001592145
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 10:39:29
10-D
NatWest Markets Plc
0000729153
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 10:37:57
6-K
Epsilon Energy Ltd.
0001726126
SEC Staff Action: ORDER
2019-02-15 10:36:57
SEC STAFF ACTION
Chicken Soup for the Soul Entertainment, Inc.
0001679063
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:36:41
SC 13G/A
Greenhaven Road Investment Management, L.P.
0001741129
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:36:41
SC 13G/A
Acer Therapeutics Inc.
0001069308
Confidential treatment order
2019-02-15 10:36:01
CT ORDER
CAPITAL ONE MASTER TRUST
0000922869
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 10:35:46
10-D
CAPITAL ONE FUNDING, LLC
0001162387
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 10:35:46
10-D
CAPITAL ONE MULTI ASSET EXECUTION TRUST
0001163321
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 10:35:46
10-D
Westmoreland Resource Partners, LP
0001412347
8-K - Current report
2019-02-15 10:35:41
Current report
Westmoreland Resource Partners, LP
0001412347
Current report, item 2.01
2019-02-15 10:35:41
8-K
BRP Inc.
0001748797
Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:35:33
SC 13G
Bain Capital Luxembourg Investments S.a r.l.
0001767341
Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:35:33
SC 13G
VINTAGE CC SALES INC.
0001768098
Notice of Exempt Offering of Securities, item 06b
2019-02-15 10:34:36
D
BIO-RAD LABORATORIES, INC.
0000012208
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:34:01
SC 13G/A
EATON VANCE MANAGEMENT
0001076598
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:34:01
SC 13G/A
BELO CORP
0000356080
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:33:34
SC 13G/A
PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC.
0001238990
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:33:34
SC 13G/A
NAVIGATORS GROUP INC
0000793547
Current report, items 8.01 and 9.01
2019-02-15 10:33:16
8-K
Melvin Capital Management LP
0001628110
SC 13G/A [Amend] - Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:33:03
SC 13G/A [Amend]
LAUREATE EDUCATION, INC.
0000912766
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:33:03
SC 13G/A
Melvin Capital Management LP
0001628110
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:33:03
SC 13G/A
Bruce & Co., Inc.
0001358331
Quarterly report filed by institutional managers, Holdings
2019-02-15 10:32:57
13F-HR
Melvin Capital Management LP
0001628110
SC 13G/A [Amend] - Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:31:58
SC 13G/A [Amend]
Melvin Capital Management LP
0001628110
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:31:58
SC 13G/A
CARVANA CO.
0001690820
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:31:58
SC 13G/A
APTARGROUP INC
0000896622
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:31:54
SC 13G/A
EATON VANCE MANAGEMENT
0001076598
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:31:54
SC 13G/A
MFS SERIES TRUST V
0000200489
Post-effective amendment [Rule 485(b)]
2019-02-15 10:31:23
485BPOS
MFS SERIES TRUST V
0000200489
Post-effective amendment [Rule 485(b)]
2019-02-15 10:31:23
485BPOS
ROYAL BANK OF SCOTLAND GROUP PLC
0000844150
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 10:31:13
6-K
SOUTH STATE Corp
0000764038
Annual statement of changes in beneficial ownership of securities
2019-02-15 10:30:47
5
BURNS JOE E
0001225243
Annual statement of changes in beneficial ownership of securities
2019-02-15 10:30:47
5
CION Investment Corp
0001534254
Tender offer statement by Issuer
2019-02-15 10:30:40
SC TO-I
CRAWFORD & CO
0000025475
Statement of changes in beneficial ownership of securities
2019-02-15 10:30:28
4
JOHNSON JOIA M
0001204987
Statement of changes in beneficial ownership of securities
2019-02-15 10:30:28
4
IVA Fiduciary Trust
0001437921
Post-effective amendment [Rule 485(b)]
2019-02-15 10:29:18
485BPOS
IVA Fiduciary Trust
0001437921
Post-effective amendment [Rule 485(b)]
2019-02-15 10:29:18
485BPOS
SUMMIT FINANCIAL GROUP INC
0000811808
Statement of changes in beneficial ownership of securities
2019-02-15 10:28:38
4
MADDY H CHARLES III
0001186827
Statement of changes in beneficial ownership of securities
2019-02-15 10:28:38
4
MFS SERIES TRUST XI
0000911637
Post-effective amendment [Rule 485(b)]
2019-02-15 10:27:47
485BPOS
MFS SERIES TRUST XI
0000911637
Post-effective amendment [Rule 485(b)]
2019-02-15 10:27:47
485BPOS
THRIVENT INVESTMENT MANAGEMENT INC
0001179396
Quarterly report filed by institutional managers, Notice
2019-02-15 10:27:06
13F-NT
Morgan Stanley Finance LLC
0001666268
Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 10:26:55
FWP
Aptiv PLC
0001521332
Statement of changes in beneficial ownership of securities
2019-02-15 10:26:47
4
Abulaban Majdi
0001541795
Statement of changes in beneficial ownership of securities
2019-02-15 10:26:47
4
ROYAL BANK OF SCOTLAND GROUP PLC
0000844150
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 10:26:20
6-K
SUMMIT FINANCIAL GROUP INC
0000811808
Statement of changes in beneficial ownership of securities
2019-02-15 10:26:04
4
Ritchie Bradford E
0001538429
Statement of changes in beneficial ownership of securities
2019-02-15 10:26:04
4
EATON VANCE MANAGEMENT
0001076598
Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:26:03
SC 13G
Apollo Tactical Income Fund Inc.
0001526697
Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:26:03
SC 13G
MORGAN STANLEY
0000895421
Filing under Securities Act Rules 163/433 of free writing prospectuses
2019-02-15 10:25:59
FWP
THRIVENT TRUST Co
0001083097
Quarterly report filed by institutional managers, Notice
2019-02-15 10:25:50
13F-NT
TOUCHSTONE FUNDS GROUP TRUST
0000914243
Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(K)
2019-02-15 10:25:31
497K
Assurant Commercial Mortgage Depositor, LLC
0001673681
Asset-backed securitizer report pursuant to Section 15G, item 1.02
2019-02-15 10:24:24
ABS-15G
AUTOMATIC DATA PROCESSING INC
0000008670
Statement of changes in beneficial ownership of securities
2019-02-15 10:24:23
4
Rodriguez Carlos A
0001378514
Statement of changes in beneficial ownership of securities
2019-02-15 10:24:23
4
METTLER TOLEDO INTERNATIONAL INC/
0001037646
Statement of changes in beneficial ownership of securities
2019-02-15 10:23:38
4
SPOERRY ROBERT F
0001207936
Statement of changes in beneficial ownership of securities
2019-02-15 10:23:38
4
Voyager Global Master Fund, L.P.
0001259373
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 10:23:34
D/A
SUMMIT FINANCIAL GROUP INC
0000811808
Statement of changes in beneficial ownership of securities
2019-02-15 10:22:33
4
Markwood Julie R
0001339953
Statement of changes in beneficial ownership of securities
2019-02-15 10:22:33
4
BOSTON TRUST & WALDEN FUNDS
0000882748
Post-effective amendment [Rule 485(a)]
2019-02-15 10:22:27
485APOS
BOSTON TRUST & WALDEN FUNDS
0000882748
Post-effective amendment [Rule 485(a)]
2019-02-15 10:22:27
485APOS
Greenhouse Overseas Fund Ltd.
0001591028
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 10:20:00
D/A
VanEck Vectors ETF Trust
0001137360
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 10:19:33
485BXT
VanEck Vectors ETF Trust
0001137360
New effective date for post-effective amendment [Rule 485(b)(1)(iii)]
2019-02-15 10:19:33
485BXT
SUMMIT FINANCIAL GROUP INC
0000811808
Statement of changes in beneficial ownership of securities
2019-02-15 10:19:17
4
FRYE PATRICK
0001186821
Statement of changes in beneficial ownership of securities
2019-02-15 10:19:17
4
Egerton Capital Equity Fund
0001501224
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 10:18:59
D/A
Greenhouse Onshore Fund LP
0001591089
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 10:18:28
D/A
Cooper-Standard Holdings Inc.
0001320461
Current report, items 2.02 and 9.01
2019-02-15 10:18:26
8-K
VOYAGER SPECIALISTS LP
0001072439
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 10:17:56
D/A
Thrivent Asset Management, LLC
0001346952
Quarterly report filed by institutional managers, Notice
2019-02-15 10:17:03
13F-NT
SUMMIT FINANCIAL GROUP INC
0000811808
Statement of changes in beneficial ownership of securities
2019-02-15 10:16:58
4
TISSUE ROBERT S
0001186836
Statement of changes in beneficial ownership of securities
2019-02-15 10:16:58
4
AEA Mezzanine Fund IV LP
0001731270
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 10:16:36
D/A
Specialty Surgery Center, LLC
0001555029
Notice of Exempt Offering of Securities, item 06b
2019-02-15 10:16:07
D
ADVISORS MANAGEMENT GROUP INC /ADV
0000842766
Quarterly report filed by institutional managers, Holdings
2019-02-15 10:15:49
13F-HR
THRIVENT FINANCIAL FOR LUTHERANS
0000314984
Quarterly report filed by institutional managers, Holdings
2019-02-15 10:15:39
13F-HR
Legg Mason Global Asset Management Trust
0001474103
Post-effective amendment [Rule 485(b)]
2019-02-15 10:14:36
485BPOS
Legg Mason Global Asset Management Trust
0001474103
Post-effective amendment [Rule 485(b)]
2019-02-15 10:14:36
485BPOS
SOUTH STATE Corp
0000764038
Annual statement of changes in beneficial ownership of securities
2019-02-15 10:14:18
5
Windley John F
0001356283
Annual statement of changes in beneficial ownership of securities
2019-02-15 10:14:18
5
MARINE PETROLEUM TRUST
0000062362
Current report, items 7.01 and 9.01
2019-02-15 10:14:03
8-K
Eckington Residential Holdings, LLC
0001768076
Notice of Exempt Offering of Securities, item 06c
2019-02-15 10:13:54
D
SUMMIT FINANCIAL GROUP INC
0000811808
Annual statement of changes in beneficial ownership of securities
2019-02-15 10:13:32
5
VOYAGER PARTNERS L P
0001038088
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 10:13:32
D/A
JENNINGS SCOTT C
0001186835
Annual statement of changes in beneficial ownership of securities
2019-02-15 10:13:32
5
METTLER TOLEDO INTERNATIONAL INC/
0001037646
Statement of changes in beneficial ownership of securities
2019-02-15 10:12:33
4
Vadala Shawn
0001592710
Statement of changes in beneficial ownership of securities
2019-02-15 10:12:33
4
ZwitterCo, Inc.
0001749837
[Amend] Notice of Exempt Offering of Securities, item 06b
2019-02-15 10:08:12
D/A
California Republic Auto Receivables Trust 2015-1
0001633933
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 10:07:32
10-D
POPULAR INC
0000763901
Current report, items 8.01 and 9.01
2019-02-15 10:07:15
8-K
CI INVESTMENTS INC.
0001163648
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:06:48
SC 13G/A
SOUTH STATE Corp
0000764038
Annual statement of changes in beneficial ownership of securities
2019-02-15 10:06:45
5
POLLOK JOHN C
0001226909
Annual statement of changes in beneficial ownership of securities
2019-02-15 10:06:45
5
ALLIED MOTION TECHNOLOGIES INC
0000046129
[Amend] Current report, item 9.01
2019-02-15 10:06:43
8-K/A
California Republic Auto Receivables Trust 2015-2
0001643102
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 10:06:32
10-D
California Republic Auto Receivables Trust 2017-1
0001694276
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 10:06:03
10-D
California Republic Auto Receivables Trust 2018-1
0001741276
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 10:05:32
10-D
California Republic Auto Receivables Trust 2016-2
0001675171
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 10:05:32
10-D
California Republic Auto Receivables Trust 2017-1
0001694276
Asset-Backed Electronic Exhibits
2019-02-15 10:05:09
ABS-EE
California Republic Auto Receivables Trust 2018-1
0001741276
Asset-Backed Electronic Exhibits
2019-02-15 10:04:34
ABS-EE
CRAWFORD & CO
0000025475
Statement of changes in beneficial ownership of securities
2019-02-15 10:04:32
4
California Republic Auto Receivables Trust 2014-4
0001626937
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 10:04:32
10-D
Jarrard Michelle
0001693850
Statement of changes in beneficial ownership of securities
2019-02-15 10:04:32
4
California Republic Auto Receivables Trust 2015-3
0001650526
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 10:03:33
10-D
California Republic Auto Receivables Trust 2016-1
0001667270
Asset-Backed Issuer Distribution Report [Section 13 or 15(d) of the Securities Exchange Act of 1934]
2019-02-15 10:03:32
10-D
JPMorgan Trust I
0001217286
Definitive materials
2019-02-15 10:03:03
497
Morningstar, Inc.
0001289419
SC 13G/A [Amend] - Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:02:16
SC 13G/A [Amend]
EATON VANCE MANAGEMENT
0001076598
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:02:16
SC 13G/A
Morningstar, Inc.
0001289419
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:02:16
SC 13G/A
Bling Capital Fund I Opps-A LP
0001759943
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.1
2019-02-15 10:01:50
D/A
CI INVESTMENTS INC.
0001163648
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 10:01:34
SC 13G/A
NuZee, Inc.
0001527613
Notification of inability to timely file Form 10-Q or 10-QSB
2019-02-15 10:01:27
NT 10-Q
ROYAL BANK OF SCOTLAND GROUP PLC
0000844150
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 10:00:20
6-K
PENNSYLVANIA REAL ESTATE INVESTMENT TRUST
0000077281
Current report, items 2.02 and 9.01
2019-02-15 09:58:44
8-K
COLUMBIA SPORTSWEAR CO
0001050797
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 09:58:31
SC 13G/A
EATON VANCE MANAGEMENT
0001076598
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 09:58:31
SC 13G/A
WEXFORD CAPITAL LP
0001048462
[Amend] Quarterly report filed by institutional managers, Holdings
2019-02-15 09:58:13
13F-HR/A
SUNTRUST BANKS INC
0000750556
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 09:57:04
SC 13G/A
WisdomTree Investments, Inc.
0000880631
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 09:57:04
SC 13G/A
ALLAGASH OPPORTUNITY ZONE CRE FUND I LP
0001768179
Notice of Exempt Offering of Securities, items 06c, 3C, and 3C.7
2019-02-15 09:55:48
D
MACFARLANE JOHN L
0001105337
Statement of acquisition of beneficial ownership by individuals
2019-02-15 09:54:35
SC 13G
Sonos Inc
0001314727
Statement of acquisition of beneficial ownership by individuals
2019-02-15 09:54:35
SC 13G
SOUTH STATE Corp
0000764038
Annual statement of changes in beneficial ownership of securities
2019-02-15 09:53:20
5
ROQUEMORE JAMES W
0001226904
Annual statement of changes in beneficial ownership of securities
2019-02-15 09:53:20
5
Commonfund Ltd Duration Series, a Series of Commonfund Direct Series LLC
0001666920
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 09:53:16
D/A
GLOBAL STRATEGIC MANAGEMENT INC
0001413303
Quarterly report filed by institutional managers, Holdings
2019-02-15 09:52:51
13F-HR
Village Farms International, Inc.
0001584549
Form CERT
2019-02-15 09:52:22
CERT
CRAWFORD & CO
0000025475
Statement of changes in beneficial ownership of securities
2019-02-15 09:51:34
4
Crawford Jesse C JR
0001642161
Statement of changes in beneficial ownership of securities
2019-02-15 09:51:34
4
Sierra Metals Inc.
0001705259
Report of foreign issuer [Rules 13a-16 and 15d-16]
2019-02-15 09:50:47
6-K
EATON VANCE MANAGEMENT
0001076598
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 09:50:04
SC 13G/A
Artisan Partners Asset Management Inc.
0001517302
[Amend] Statement of acquisition of beneficial ownership by individuals
2019-02-15 09:50:04
SC 13G/A
FT 7933
0001763224
Registration statement for unit investment trusts
2019-02-15 09:49:33
S-6
HALSEY ASSOCIATES INC/CT
0001034188
Quarterly report filed by institutional managers, Holdings
2019-02-15 09:49:01
13F-HR
LINCOLN VARIABLE INSURANCE PRODUCTS TRUST
0000914036
Definitive materials
2019-02-15 09:48:40
497
QUEBEC
0000722803
Prospectus [Rule 424(b)(5)]
2019-02-15 09:48:20
424B5
Two Sigma Absolute Return Cayman Fund, Ltd.
0001534023
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 09:47:49
D/A
BRYN MAWR TRUST Co
0000900974
Quarterly report filed by institutional managers, Holdings
2019-02-15 09:47:16
13F-HR
New York State Empire Outlet Fund I, LLC
0001731375
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.5
2019-02-15 09:47:07
D/A
TIMOTHY PLAN
0000916490
PRE 14A - Other preliminary proxy statements
2019-02-15 09:44:58
PRE 14A
TIMOTHY PLAN
0000916490
Other preliminary proxy statements
2019-02-15 09:44:58
PRE 14A
LINCOLN VARIABLE INSURANCE PRODUCTS TRUST
0000914036
Definitive materials
2019-02-15 09:44:11
497
GlyEco, Inc.
0000931799
Annual statement of changes in beneficial ownership of securities
2019-02-15 09:44:01
5
Olsson Michael
0001727754
Annual statement of changes in beneficial ownership of securities
2019-02-15 09:44:01
5
SOUTH STATE Corp
0000764038
Annual statement of changes in beneficial ownership of securities
2019-02-15 09:43:09
5
HORGER ROBERT R
0001225907
Annual statement of changes in beneficial ownership of securities
2019-02-15 09:43:09
5
AxiaTP Holdings, LLC
0001768056
Notice of Exempt Offering of Securities, item 06b
2019-02-15 09:42:44
D
ENDONOVO THERAPEUTICS, INC.
0001528172
Statement of changes in beneficial ownership of securities
2019-02-15 09:40:53
4
Collier Alan Brian
0001645470
Statement of changes in beneficial ownership of securities
2019-02-15 09:40:53
4
PGIM Funds plc
0001697853
[Amend] Notice of Exempt Offering of Securities, items 06b, 3C, and 3C.7
2019-02-15 09:39:47
D/A
Provident Mutual Funds, Inc.
0000796227
Quarterly Schedule of portfolio holdings of management investment companies
2019-02-15 09:39:23
N-Q
HOWARD FINANCIAL SERVICES, LTD.
0001768130
Quarterly report filed by institutional managers, Holdings
2019-02-15 09:38:12
13F-HR
Agape ATP Corp
0001713210
Quarterly report [Sections 13 or 15(d)]
2019-02-15 09:38:09
10-Q
ENDONOVO THERAPEUTICS, INC.
0001528172
Statement of changes in beneficial ownership of securities
2019-02-15 09:36:01
4
Collier Alan Brian
0001645470
Statement of changes in beneficial ownership of securities
2019-02-15 09:36:01
4
Managed Portfolio Series
0001511699
Rule 24F-2 notice
2019-02-15 09:34:16
24F-2NT
CRAWFORD & CO
0000025475
Statement of changes in beneficial ownership of securities
2019-02-15 09:33:12
4
BENSON P GEORGE
0001165515
Statement of changes in beneficial ownership of securities
2019-02-15 09:33:12
4
SOUTH STATE Corp
0000764038
Annual statement of changes in beneficial ownership of securities
2019-02-15 09:31:32
5
Addison Jimmy Evan
0001364606
Annual statement of changes in beneficial ownership of securities
2019-02-15 09:31:32
5
SMITH, MOORE & CO.
0000200724
Quarterly report filed by institutional managers, Holdings
2019-02-15 09:31:07
13F-HR
Towercrest Capital Management
0001633288
Quarterly report filed by institutional managers, Holdings
2019-02-15 09:30:18
13F-HR
CarMax Auto Owner Trust 2017-4
0001718592
Asset-Backed Electronic Exhibits
2019-02-15 09:30:16
ABS-EE
BOSTON SCIENTIFIC CORP
0000885725
Current report, items 8.01 and 9.01
2019-02-15 09:30:12
8-K
Statim Holdings LLC
0001768189
Notice of Exempt Offering of Securities, item 06c
2019-02-15 09:30:02
D
MacAndrews & Forbes Inc.
0000918939
[Amend] General statement of acquisition of beneficial ownership
2019-02-15 09:29:38
SC 13D/A
vTv Therapeutics Inc.
0001641489
[Amend] General statement of acquisition of beneficial ownership
2019-02-15 09:29:38
SC 13D/A