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As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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6:05pm† Vargas Matthew 3 Officer² 2:9K Emcore Corp. Securex Filings/FA
5:16pm Heaton Jeremy J. 3 Officer² 2:20K Alight, Inc./Delaware Donnelley … Solutions/FA
4:49pm Althoff Donald L. 3 Director² 2:364K Ecovyst Inc. Ecovyst Inc.
4:04pm Silverton Energy, Inc. 8-K/A:1,2,5 5/8/24 3:22M GlobalOne Filings Inc/FA
3:41pm Robotti Robert 4/A Director² 1:9K Tidewater Inc.
1:34pm Vaughn Joseph 3 Officer² 1:4K Packaging Corp. of America Donnelley … Solutions/FA
1:11pm Gowland Karen E 4 Director² 1:4K Packaging Corp. of America Donnelley … Solutions/FA
5/16/24 Rosser Kelly 3 Officer² 1:4K NET Power Inc. NET Power Inc.
5/16/24 Beeber Paul Stephen 4 Director² 1:11K Napco Security Technologies, Inc.
5/8/24 SS&C GIDS, Inc. TA-1/A 5/18/24 1:15K
5/8/24 Citibank, N.A. SBSE-A/A 5/16/24 3:274K
5/8/24‡ Cboe EDGX Exchange, Inc. 19B-4E 5/8/24 1:2K SEC #7
5/8/24‡ Cboe EDGA Exchange, Inc. 19B-4E 5/8/24 1:2K SEC #7
5/8/24‡ Cboe BZX Exchange, Inc. 19B-4E 5/8/24 1:2K SEC #7
5/8/24‡ Cboe BYX Exchange, Inc. 19B-4E 5/8/24 1:2K SEC #7
5/15/24 New Providence Acq Corp. II 8-K:5,9 5/8/24 12:320K EdgarAgents LLC/FA
5/15/24 Keene Harold L 4 Dir.,%Own.² 1:5K New Peoples Bankshares Inc. SEC Filing Solut… LLC/FA
5/15/24 Andrus Hannah 3 Off.,Other² 1:3K Bancfirst Corp./OK Equity Administr… Inc/FA
5/8/24 Janney Montgomery Scott LLC MA-A 12/31/17 1:63K
5/15/24 Li-Cycle Holdings Corp. 8-K:5,9 5/8/24 12:274K Donnelley … Solutions/FA
____________ | † | The Filing’s time of SEC acceptance (U.S. Eastern Time). The SEC’s Filings System is “open” Monday through Friday from 6am to 10pm ET. Because the SEC “closes” at 5:30pm ET, most subsequently-accepted Filings won’t be released to the public until sometime after 6am ET the next day. | ‡ | A non-Insider-Ownership Filing that was accepted after the SEC “closed” at 5:30:00pm ET. The legal “Filed As Of” date may be the next, or another, day. | ¹ | Filing/Form Types: | | 3 | Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 { The Filer is an Insider² of the Issuer }. | | 4 | Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 { The Filer is an Insider² of the Issuer }. | | 8-K | Current Report — Form 8-K { Item 1: Business & Operations; 2: Financial Info; 3: Securities & Trading; 4: Accountants & Accounting; 5: Governance & Management; 6: Asset-Backed Securities; 7: Disclosures; 8: Events; 9: Financials }. | | 19B-4E | Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e). | | MA-A | Annual Update of Registration by a Municipal Advisor — Form MA. | | SBSE-A | Application for Registration by a Security-Based Swap Dealer or Major Security-Based Swap Participant that is Registered or Registering with the CFTC as such — Form SBSE-A. | | TA-1 | Application for Registration by a Transfer Agent — Form TA-1. | | /A | Amendment to, or Amended version of, a previous Filing of this Type. | ² | Insider: The Filer is a Director, Officer, 10% Owner and/or Other “insider” of the Issuer. |
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