06/20/2018
12:05 PM | PRINCIPAL FUNDS INC (Filer)
| Form 497
|  |
06/20/2018
12:02 PM | DTZ Jersey Holdings Ltd (Filer)
| Form S-1
Registration statement under Securities Act of 1933 | |
06/20/2018
12:01 PM | Zagg (ZAGG) (Filer)
| Form 8-K
Current report pursuant to Section 13 or 15(d) | |
06/20/2018
11:58 AM | BBH Wealth Strategies, LLC - Silver Point Distressed Opportunity Series (Filer)
| Form D
Notice of Exempt Offering of Securities | |
06/20/2018
11:58 AM | Sun Hydraulics (SNHY) (Filer)
| Form 8-K/A
| |
06/20/2018
11:58 AM | iDocsWeb, LLC (Filer)
| Form D
Notice of Exempt Offering of Securities | |
06/20/2018
11:58 AM | Comstock Mining (LODE) (Issuer)
Smith Timothy Dwinell (Reporting)
| Form 4
Statement of changes in beneficial ownership of securities | |
06/20/2018
11:55 AM | LendingClub (LC) (Filer)
| Form 424B3
| |
06/20/2018
11:54 AM | Lloyds Banking Group (LYG) (Filer)
| Form 6-K
Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 | |
06/20/2018
11:53 AM | Transcontinental Realty Investors (TCI) (Filer)
| Form 8-K
Current report pursuant to Section 13 or 15(d) | |
06/20/2018
11:51 AM | O'NEIL SECURITIES, INCORPORATED (Filer)
| Form X-17A-5
| |
06/20/2018
11:50 AM | BBH Wealth Strategies Unit Trust - Silver Point Distressed Opportunity Sub-Trust (Filer)
| Form D
Notice of Exempt Offering of Securities | |
06/20/2018
11:49 AM | Luckwel Pharmaceuticals Inc. (Filer)
| Form 8-K
Current report pursuant to Section 13 or 15(d) | |
06/20/2018
11:49 AM | B. Riley Financial (RILY) (Filer)
| Form DEF 14A
| |
06/20/2018
11:48 AM | FT 7384 (Filer)
| Form 487
| |
06/20/2018
11:48 AM | FT 7407 (Filer)
| Form 487
| |
06/20/2018
11:46 AM | FT 7433 (Filer)
| Form 487
| |
06/20/2018
11:46 AM | FT 7434 (Filer)
| Form 487
| |
06/20/2018
11:45 AM | China Telecom (CHA) (Filer)
| Form 6-K
Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 | |
06/20/2018
11:45 AM | AMERICAN CENTURY ETF TRUST (Filer)
| Form 485APOS
| |
06/20/2018
11:44 AM | RTW OFFSHORE FUND ONE, LTD. (Filer)
| Form D/A
| |
06/20/2018
11:44 AM | FT 7435 (Filer)
| Form 487
| |
06/20/2018
11:43 AM | FT 7479 (Filer)
| Form 487
| |
06/20/2018
11:41 AM | INVESCO EXCHANGE-TRADED FUND TRUST (Filer)
| Form 497
| |
06/20/2018
11:41 AM | Northern Reliability, Inc. (Filer)
| Form D
Notice of Exempt Offering of Securities | |
06/20/2018
11:41 AM | Global Equity Absolute Return Partners, L.P. (Filer)
| Form D/A
| |
06/20/2018
11:40 AM | Computer Programs & Systems (CPSI) (Issuer)
Hinckle Robert D (Reporting)
| Form 4
Statement of changes in beneficial ownership of securities | |
06/20/2018
11:36 AM | Advisors' Inner Circle Fund III (Filer)
| Form 485BXT
| |
06/20/2018
11:35 AM | Hawkes Bay Partners, L.P. (Filer)
| Form D/A
| |
06/20/2018
11:34 AM | BBH Wealth Strategies, LLC - Cedar Rock Capital Partners Series (Filer)
| Form D
Notice of Exempt Offering of Securities | |
06/20/2018
11:33 AM | Corix Bioscience, Inc. (Filer)
| Form 8-K/A
| |
06/20/2018
11:33 AM | South Park Commons Fund I, L.P. (Filer)
| Form D/A
| |
06/20/2018
11:32 AM | NEPHROS INC (Filer)
| Form S-1/A
| |
06/20/2018
11:32 AM | Relx (RENX) (Filer)
RELX Group (RELX) (Filer)
| Form 6-K
Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 | |
06/20/2018
11:31 AM | RTW Innovation Offshore Fund Ltd (Filer)
| Form D
Notice of Exempt Offering of Securities | |
06/20/2018
11:31 AM | Comstock Mining (LODE) (Issuer)
WINFIELD JOHN V (Reporting)
| Form 4
Statement of changes in beneficial ownership of securities | |
06/20/2018
11:30 AM | Copart (CPRT) (Issuer)
Liaw Jeffrey (Reporting)
| Form 4
Statement of changes in beneficial ownership of securities | |
06/20/2018
11:29 AM | Romulus CCG Special Opportunity L.P. (Filer)
| Form D
Notice of Exempt Offering of Securities | |
06/20/2018
11:28 AM | CATERPILLAR FINANCIAL SERVICES CORP (Filer)
| Form 424B2
| |
06/20/2018
11:27 AM | TURNER MARK A (Reporting)
WSFS Financial (WSFS) (Issuer)
| Form 4
Statement of changes in beneficial ownership of securities | |
06/20/2018
11:27 AM | SCHWAB CAPITAL TRUST (Subject)
| Form 40-17F2
| |
06/20/2018
11:27 AM | ASCENT CAPITAL ADVISORS LLC (0001640470) (Filer)
| Form X-17A-5/A
| |
06/20/2018
11:26 AM | UBS AG (Filer)
| Form 424B2
| |
06/20/2018
11:26 AM | Archipelago Holdings, Ltd. (Filer)
| Form D/A
| |
06/20/2018
11:25 AM | Miyamoto Melvin M (Reporting)
Territorial Bancorp (TBNK) (Issuer)
| Form 4
Statement of changes in beneficial ownership of securities | |
06/20/2018
11:24 AM | Mercer Funds (Filer)
| Form 24F-2NT
| |
06/20/2018
11:24 AM | INVESTMENT VISA CONSULTANTS, LLC (Filer)
| Form X-17A-5
| |
06/20/2018
11:23 AM | Prosper Funding LLC (Filer)
PROSPER MARKETPLACE, INC (Filer)
| Form 424B3
| |
06/20/2018
11:22 AM | Tilray, Inc. (Filer)
| Form S-1
Registration statement under Securities Act of 1933 | |
06/20/2018
11:21 AM | Prosper Funding LLC (Filer)
PROSPER MARKETPLACE, INC (Filer)
| Form 424B3
| |
06/20/2018
11:20 AM | Avino Silver & Gold Mines (ASM) (Filer)
| Form 6-K
Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 | |
06/20/2018
11:20 AM | AMERICAN CHURCH MORTGAGE CO (Filer)
| Form 8-K
Current report pursuant to Section 13 or 15(d) | |
06/20/2018
11:20 AM | Armored Citizen, LLC. (Filer)
| Form C/A
| |
06/20/2018
11:19 AM | Archipelago Partners, L.P. (Filer)
| Form D/A
| |
06/20/2018
11:19 AM | Prosper Funding LLC (Filer)
PROSPER MARKETPLACE, INC (Filer)
| Form 424B3
| |
06/20/2018
11:18 AM | MILLER CRAIG (Reporting)
Taitron Components (TAIT) (Issuer)
| Form 4
Statement of changes in beneficial ownership of securities | |
06/20/2018
11:18 AM | 1290 Funds (Filer)
| Form DEF 14C
| |
06/20/2018
11:17 AM | CARANO BANDEL L (Reporting)
Kratos Defense & Security Solutions (KTOS) (Issuer)
OAK INVESTMENT PARTNERS IX L P (Reporting)
OAK INVESTMENT PARTNERS X LTD PARTNERSHIP (Reporting)
Oak Investment Partners XIII, Limited Partnership (Reporting)
OAK IX AFFILIATES FUND A LP (Reporting)
OAK IX AFFILIATES FUND LP (Reporting)
OAK X AFFILIATES FUND LP (Reporting)
| Form 4
Statement of changes in beneficial ownership of securities | |
06/20/2018
11:17 AM | Prosper Funding LLC (Filer)
PROSPER MARKETPLACE, INC (Filer)
| Form 424B3
| |
06/20/2018
11:16 AM | Church & Dwight (CHD) (Issuer)
Dierker Richard A (Reporting)
| Form 4
Statement of changes in beneficial ownership of securities | |
06/20/2018
11:14 AM | InPoint Commercial Real Estate Income, Inc. (Subject)
Noto John (Filed by)
| Form SC 13G/A
| |
06/20/2018
11:14 AM | Great Southern Bancorp (GSBC) (Filer)
| Form 8-K
Current report pursuant to Section 13 or 15(d) | |
06/20/2018
11:14 AM | Bomhard Britta (Reporting)
Church & Dwight (CHD) (Issuer)
| Form 4
Statement of changes in beneficial ownership of securities | |
06/20/2018
11:13 AM | CITY NATIONAL SECURITIES, INC. (Filer)
| Form X-17A-5
| |
06/20/2018
11:13 AM | ArcelorMittal (MT) (Filer)
| Form 6-K
Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 | |
06/20/2018
11:12 AM | CZIRR JAMES C (Reporting)
Galectin Therapeutics Inc. Common Stock (GALT) (Issuer)
| Form 4
Statement of changes in beneficial ownership of securities | |
06/20/2018
11:11 AM | CAPITAL CITY SECURITIES, LLC (Filer)
| Form X-17A-5
| |
06/20/2018
11:11 AM | City Financial Investment Co Ltd (Filer)
| Form 13F-HR/A
| |
06/20/2018
11:10 AM | BANK OF NEW YORK / ADR DIVISION (Filed by)
Genting International PLC (Subject)
| Form F-6 POS
| |
06/20/2018
11:09 AM | WELLINGTON SHIELDS & CO., LLC (Filer)
| Form X-17A-5
| |
06/20/2018
11:07 AM | 10X Capital Management, LLC (Reporting)
10X Fund, L.P. (Reporting)
Galectin Therapeutics Inc. Common Stock (GALT) (Issuer)
| Form 4
Statement of changes in beneficial ownership of securities | |
06/20/2018
11:04 AM | EZ Exchange Ltd (Filer)
| Form D
Notice of Exempt Offering of Securities | |
06/20/2018
11:03 AM | FORMELA JEAN FRANCOIS (Reporting)
Intellia Therapeutics (NTLA) (Issuer)
| Form 4
Statement of changes in beneficial ownership of securities | |
06/20/2018
11:02 AM | Managed Portfolio Series (Filer)
| Form 485BPOS
| |
06/20/2018
11:02 AM | AMERICAN BEACON FUNDS (Filer)
| Form 497
| |
06/20/2018
11:01 AM | MAINE SECURITIES CORPORATION (Filer)
| Form FOCUSN
| |
06/20/2018
11:00 AM | Athersys (ATHX) (Issuer)
Randall Lorin (Reporting)
| Form 4
Statement of changes in beneficial ownership of securities | |
06/20/2018
11:00 AM | JPMorgan Chase & Co. (JPM) (Filer)
JPMorgan Chase Financial Co. LLC (Filer)
| Form 424B2
| |
06/20/2018
10:59 AM | AMG Funds IV (Filer)
| Form 497K
| |
06/20/2018
10:58 AM | Marshall Wace Funds LP - MW TOPS China Absolute Return Fund (0001696771) (Filer)
| Form D/A
| |
06/20/2018
10:58 AM | Leggett & Platt (LEG) (Filer)
| Form 11-K
Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d) | |
06/20/2018
10:58 AM | AMG Funds IV (Filer)
| Form 497
| |
06/20/2018
10:57 AM | Backus William A. (Reporting)
Balchem (BCPC) (Issuer)
| Form 4
Statement of changes in beneficial ownership of securities | |
06/20/2018
10:54 AM | FORWARD SECURITIES, LLC (Filer)
| Form FOCUSN
| |
06/20/2018
10:54 AM | Lokaksema, Inc. (Filer)
| Form D
Notice of Exempt Offering of Securities | |
06/20/2018
10:53 AM | DeMarcay Development Preferred Partners, LLC (Filer)
| Form D
Notice of Exempt Offering of Securities | |
06/20/2018
10:51 AM | GOLDMAN SACHS TRUST (Filer)
| Form 497
| |
06/20/2018
10:50 AM | MOTILAL OSWAL SECURITIES INTERNATIONAL PRIVATE LIMITED (Filer)
| Form FOCUSN
| |
06/20/2018
10:50 AM | FITCH SANFORD (Reporting)
IRIDEX (IRIX) (Issuer)
| Form 4/A
| |
06/20/2018
10:50 AM | Olin (OLN) (Filer)
| Form 11-K
Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d) | |
06/20/2018
10:49 AM | Santander Drive Auto Receivables Trust 2013-5 (Filer)
| Form 15-15D
| |
06/20/2018
10:48 AM | MOTILAL OSWAL SECURITIES INTERNATIONAL PRIVATE LIMITED (Filer)
| Form X-17A-5
| |
06/20/2018
10:47 AM | Evoke Pharma (EVOK) (Filer)
| Form CT ORDER
| |
06/20/2018
10:47 AM | Granite Construction (GVA) (Issuer)
Krusi Alan (Reporting)
| Form 3
Initial statement of beneficial ownership of securities | |
06/20/2018
10:47 AM | KW SECURITIES CORPORATION (Filer)
| Form X-17A-5
| |
06/20/2018
10:45 AM | LORD ABBETT INVESTMENT TRUST (Subject)
| Form 425
| |
06/20/2018
10:45 AM | MAY CAPITAL GROUP, L.L.C. (Filer)
| Form FOCUSN
| |
06/20/2018
10:45 AM | GOLDMAN SACHS TRUST (Filer)
| Form 485BPOS
| |
06/20/2018
10:45 AM | SP Sutter Partners, LP (Filer)
| Form D/A
| |
06/20/2018
10:44 AM | Acacia Research (ACTG) (Filer)
| Form 8-K
Current report pursuant to Section 13 or 15(d) | |
