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Latest filing received: (Real-time updates will resume next trading day) March 23, 2017

Today's real-time filings:

March 23, 2017 .
Filer
CSB BANCORP INC /OH
Preview. View filing ...
DEF 14A
0001193125-17-093452.nc
Definitive proxy statements. Related to: Annual proxy shareholder meeting, Executive officer and director compensation, Voting
Period ending
April 26, 2017
Preview. View filing ...
4
0001127602-17-012785.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
March 21, 2017
Common Stock
[A : Grant / award] 434 shares x $0/sh Total owned: 37,807.2964
March 23, 2017 .
Filer
FOOT LOCKER, INC.
Preview. View filing ...
PRE 14A
0000930413-17-001181.nc
Preliminary proxy statement not related to a contested matter or merger/acquisition
Period ending
May 17, 2017
March 23, 2017 .
Filer
ProShares Trust II
Preview. View filing ...
424B3
0001193125-17-093506.nc
Prospectus filed : Rule 424
March 23, 2017 .
Filer
JONES SODA CO
Preview. View filing ...
10-K JSDA 
0001083522-17-000023.nc XBRL XML (6)
Annual report ( Financial statements and condition ) ( Risk ) ( Corporate Governance ) ( Executive compensation ) ( Management Discussion Analysis MDA MD&A )
Focus Period
2016 : FY
Fiscal year ends
--12-31
Period ending
Dec. 31, 2016
Financials (experimental)
In USD 3 mo ending 2016-12-31 3 mo ending 2015-12-31 12 mo ending 2016-12-31 12 mo ending 2015-12-31
Revenues  3,006,000  2,674,000  15,667,000  13,591,000
Net Income  -236,000  -545,000  -183,000  -1,120,000
EPS Diluted  -0.01  -0.01  0  -0.03
EPS Basic  -0.01  -0.01  0  -0.03
March 23, 2017 .
Filer
NUVEEN MUNICIPAL TRUST/MA
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497K
0001193125-17-092844.nc
Summary Prospectus for open-end management investment companies filed : Securities Act Rule 497
March 23, 2017 .
Filer
CymaBay Therapeutics, Inc.
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10-K CBAY 
0001193125-17-093759.nc XBRL XML (6)
Annual report ( Financial statements and condition ) ( Risk ) ( Corporate Governance ) ( Executive compensation ) ( Management Discussion Analysis MDA MD&A )
Focus Period
2016 : FY
Fiscal year ends
--12-31
Period ending
Dec. 31, 2016
Financials (experimental)
In USD 12 mo ending 2016-12-31 12 mo ending 2015-12-31
Net Income  -26,671,000  -15,529,000
EPS Diluted  -1.14  -0.83
EPS Basic  -1.14  -0.82
March 23, 2017 .
Filer
AVID TECHNOLOGY, INC.
Preview. View filing ...
8-K
0000896841-17-000054.nc
Current report Includes: Material events, Director, Executive officer elections resignations, departures, Financial disclosures, Changes in control, etc.
Item
2.02 Financial: Results of Operations and Financial Condition
7.01 Fair Disclosure: Regulation FD Disclosure
9.01 Financial Statements and Exhibits
Period ending
March 23, 2017
March 23, 2017 .
Filer
DEUTSCHE BANK AKTIENGESELLSCHAFT
Preview. View filing ...
424B2
0000950103-17-002724.nc
Prospectus filed: Rule 424
March 23, 2017 .
Issuer
USA Compression Partners, LP USAC
Reporting Owner
Millican Don P. [ 10% owner, ]
Signed By
Don P Millican
Preview. View filing ...
5
0001453622-17-000006.nc XML (1)
Ownership: Annual statement of changes in beneficial ownership of securities. Insider trading. ( Directors, Officers, Significant Shareholders )
Period ending
Dec. 31, 2016
Common Units
[S : Open market or private sale] 74,253 shares x $18.2321/sh Total owned: 0
Preview. View filing ...
FOCUSN
9999999997-17-004866.nc
Financial and operational combined uniform single report of brokers and dealers
Period ending
Dec. 31, 2016
March 23, 2017 .
Issuer
Alteryx, Inc. AYX
Reporting Owner
Cory Charles [ Director, ]
Signed By
Christopher M Lal by power of attorney
Preview. View filing ...
3
0001140361-17-013087.nc XML (1)
Ownership: Initial statement of beneficial ownership of securities. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
March 23, 2017
Director Stock Option (right to buy)
[ Underlying Securities: Class B Common Stock ] 132,656 shares
March 23, 2017 .
Issuer
KOHLS Corp KSS
Reporting Owner
SCHLIFSKE JOHN E. [ Director, ]
Signed By
Jason J Kelroy POA
Preview. View filing ...
4
0000892712-17-000224.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
March 22, 2017
Common Stock
[A : Grant / award] 43 shares Total owned: 12,954
March 23, 2017 .
Issuer
KOHLS Corp KSS
Reporting Owner
SHAPIRA ADRIANNE [ Director, ]
Signed By
Jason J Kelroy POA
Preview. View filing ...
4
0000892712-17-000226.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
March 22, 2017
Common Stock
[A : Grant / award] 38 shares Total owned: 2,639
March 23, 2017 .
Issuer
JUNIATA VALLEY FINANCIAL CORP JUVF
Reporting Owner
Wagner Bradley J. [ Director, ]
Signed By
JoAnn N McMinn EVPCFO
Preview. View filing ...
4
0001242865-17-000002.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
March 23, 2017
Common Stock
[P : Open market or private purchase] 40 shares x $18.75/sh Total owned: 707
March 23, 2017 .
Filer
Western Copper & Gold Corp
Preview. View filing ...
40-F
0001062993-17-001463.nc
Annual reports filed by Canadian issuers : Section 15 ( International Canada )
Period ending
Dec. 31, 2016
March 23, 2017 .
Filer
NUCOR CORP
Preview. View filing ...
DEF 14A
0001193125-17-092987.nc
Definitive proxy statements. Related to: Annual proxy shareholder meeting, Executive officer and director compensation, Voting
Period ending
May 11, 2017
March 23, 2017 .
Filer
Wingstop Inc.
Preview. View filing ...
DEFA14A
0001193125-17-092880.nc
Additional proxy soliciting materials - definitive - required under Section 14
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D/A
0000950142-17-000637.nc XML (1)
Notice of exempt offering of securities - made without registration ( Regulation D and Section 4 Small Businesses )
Item
06b Federal Exemptions and Exclusions: Rule 506(b)
3C Federal Exemptions and Exclusions: Investment Company Act Section 3(c)
3C.7 Federal Exemptions and Exclusions: Investment Company Act Section 3(c)(7)
Primary Issuer
Apollo Total Return Fund (Exempt) LP [ Limited Partnership ] Jurisdiction: DELAWARE
Related Persons
Joseph D. Glatt [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
James Zelter [ Executive Officer ] [ President of the GP of the GP of the Issuer ]
Robert Azerad [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
Lisa Bernstein [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
Leon D. Black [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
Anthony Civale [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
James Elworth [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
Christopher Gruszczynski [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
Joshua J. Harris [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
Martin B. Kelly [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
William Kuesel [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
Maria Lennox [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
Jessica L. Lomm [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
Frank Marra [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
Laurie D. Medley [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
Cindy Z. Michel [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
Wendy K. Modlin [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
Katherine G. Newman [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
Marc J. Rowan [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
Marc Selfon [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
John J. Suydam [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
George Travers [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
Joseph Verderami [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
Shari Verschell [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
Chris Weidler [ Executive Officer ] [ Vice President of the GP of the GP of the Issuer ]
Industry
Pooled Investment Fund Hedge Fund
Offering Data
Agg net asset value range: Decline to Disclose
Date of first sale: 2014-05-01
[ Equity ] [ Pooled investment fund ]
Total offer
$ Indefinite
Total sold
$ 72,828,521
Total remaining
$ Indefinite
# investors
13 investors have already invested in this offering
March 23, 2017 .
Filer
RiceBran Technologies
Preview. View filing ...
8-K
0001140361-17-013034.nc
Current report Includes: Material events, Director, Executive officer elections resignations, departures, Financial disclosures, Changes in control, etc.
Item
2.02 Financial: Results of Operations and Financial Condition
9.01 Financial Statements and Exhibits
Period ending
March 23, 2017
March 23, 2017 .
Issuer
TIDEWATER INC TDW
Reporting Owner
BENNETT JOSEPH M [ Officer, Executive Vice President, ]
Signed By
Bruce D Lundstrom as Agent and Attorney-in-Fact for Joseph M Bennett
Preview. View filing ...
4
0001140361-17-013062.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
March 21, 2017
Common Stock
[M : Exer. or conv. of deriv. security exempted] 17,345 shares Total owned: 81,334
Common Stock
[D : Disp to issuer] 17,345 shares x $0.9851/sh Total owned: 63,989
Common Stock
Total owned: 4,884 [ by 401(k) Plan ]
Phantom Stock Units
[M : Exer. or conv. of deriv. security exempted] 17,345 shares x $0/sh Total owned: 34,690 [ Underlying Securities: Common Stock ] 17,345 shares
March 23, 2017 .
Issuer
Intrepid Potash, Inc. IPI
Reporting Owner
MARTIN J LANDIS [ Director, ]
Signed By
M Robert Morrill as Attorney-in-Fact
Preview. View filing ...
4
0001140361-17-013039.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
March 21, 2017
Common Stock
[P : Open market or private purchase] 3,150,000 shares x $1.20/sh Total owned: 3,233,709 [ By Martin Enterprises LLC ]
Common Stock
Total owned: 144,777
Preview. View filing ...
N-Q
0001193125-17-093814.nc
Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company
Period ending
Jan. 31, 2017
March 23, 2017 .
Filer
1st FRANKLIN FINANCIAL CORP
Preview. View filing ...
424B3
0000038723-17-000024.nc
Prospectus filed : Rule 424
March 23, 2017 .
Filer
ATLANTIC POWER CORP
Preview. View filing ...
8-K
0001104659-17-018881.nc
Current report Includes: Material events, Director, Executive officer elections resignations, departures, Financial disclosures, Changes in control, etc.
Item
7.01 Fair Disclosure: Regulation FD Disclosure
9.01 Financial Statements and Exhibits
Period ending
March 23, 2017
Preview. View filing ...
FWP
0001539497-17-000486.nc
Filing under Securities Act Rules 163/433 of free writing prospectus
March 23, 2017 .
Filer
HollyFrontier Corp
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DEFA14A
0001193125-17-093428.nc
Additional proxy soliciting materials - definitive - required under Section 14
March 23, 2017 .
Filer
FT 5347
Preview. View filing ...
24F-2NT
0001445546-17-001468.nc
Annual notice of securities sold investment companies
Period ending
Feb. 21, 2017
Preview. View filing ...
24F-2NT
0001007010-17-000006.nc
Annual notice of securities sold investment companies
Period ending
Dec. 31, 2016
March 23, 2017 .
Issuer
AtriCure, Inc. ATRC
Reporting Owner
GROVES REGINA E [ Director, ]
Signed By
Regina E Groves
Preview. View filing ...
4
0001209191-17-022558.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
March 21, 2017
Common Stock
[A : Grant / award] 9,469 shares x $0.00/sh Total owned: 9,469
March 23, 2017 .
Filer
DREYFUS MUNICIPAL FUNDS INC
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485BPOS
0000878092-17-000005.nc
Post-effective amendment filed : Securities Act Rule 485
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4
0001127602-17-012781.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
March 21, 2017
Common Stock
[A : Grant / award] 434 shares x $0/sh Total owned: 8,434
Common Stock
Total owned: 7,000 [ by Trust ]
Common Stock
Total owned: 10,000 [ through UTMA ]
Preview. View filing ...
10-K
0001056404-17-000976.nc
Annual report ( Financial statements and condition ) ( Risk ) ( Corporate Governance ) ( Executive compensation ) ( Management Discussion Analysis MDA MD&A )
ABS class
Commercial mortgages .
Period ending
Dec. 31, 2016
March 23, 2017 .
Filer
IDT CORP
Preview. View filing ...
8-K
0001213900-17-002709.nc
Current report Includes: Material events, Director, Executive officer elections resignations, departures, Financial disclosures, Changes in control, etc.
Item
7.01 Fair Disclosure: Regulation FD Disclosure
9.01 Financial Statements and Exhibits
Period ending
March 23, 2017
March 23, 2017 .
Filer
StrongVest ETF Trust
Preview. View filing ...
8-A12B
0001398344-17-003826.nc
Form for the registration / listing of a class of securities on a national securities exchange : section 12
March 23, 2017 .
Filer
BLACKLINE, INC.
Preview. View filing ...
DEFA14A
0001193125-17-093766.nc
Additional proxy soliciting materials - definitive - required under Section 14
March 23, 2017 .
Filer
UBS AG
Preview. View filing ...
424B2
0001114446-17-002255.nc
Prospectus filed: Rule 424
March 23, 2017 .
Filer
NUVEEN INVESTMENT FUNDS INC
Preview. View filing ...
497K
0001193125-17-092822.nc
Summary Prospectus for open-end management investment companies filed : Securities Act Rule 497
March 23, 2017 .
Issuer
PRA GROUP INC PRAA
Reporting Owner
Olsen Geir [ Director, ]
Signed By
LaTisha S Owens Attorney-in-Fact
Preview. View filing ...
4/A
0001623675-17-000006.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
March 16, 2017
Common Stock
[P : Open market or private purchase] 114,800 shares x $34.87/sh Total owned: 114,800 [ Ubon Partners ]
Common Stock
[P : Open market or private purchase] 12,200 shares x $35.19/sh Total owned: 127,000 [ Ubon Partners ]
Common Stock
[P : Open market or private purchase] 16,000 shares x $34.40/sh Total owned: 143,000 [ Ubon Partners ]
Common Stock
Total owned: 25,000 [ By Andenes Investments SL ]
Common Stock
Total owned: 27,162
March 23, 2017 .
Filer
REGENXBIO Inc.
Preview. View filing ...
424B5
0001193125-17-092716.nc
Prospectus filed : Rule 424
Preview. View filing ...
10-D
0001570011-17-000006.nc
Asset-backed issuer periodic distribution report (Section 13 or 15(d) )
ABS class
Auto loans .
Period ending
Feb. 28, 2017
March 23, 2017 .
Filer
FT 6522
Preview. View filing ...
24F-2NT
0001445546-17-001539.nc
Annual notice of securities sold investment companies
Period ending
Feb. 22, 2017
March 23, 2017 .
Issuer
Maiden Holdings, Ltd. MHLD
Reporting Owner
Haveron Patrick J [ Officer, See Remarks, ]
Signed By
Patrick J Haveron
Preview. View filing ...
4
0001412100-17-000034.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
March 23, 2017
Common Shares
[F : Pmt of exercise price or tax liab] 7,500 shares x $13.80/sh Total owned: 83,527
March 23, 2017 .
Issuer
ROCKWELL MEDICAL, INC. RMTI
Reporting Owner
Gupta Ajay [ Officer, Chief Scientific Officer, ]
Signed By
Thomas E Klema attorney-in-fact for Ajay Gupta
Preview. View filing ...
4
0001209191-17-022662.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
March 21, 2017
Common Stock
[A : Grant / award] 68,500 shares x $0.00/sh Total owned: 560,167
March 23, 2017 .
Filer
NUVEEN MULTISTATE TRUST II /MA/
Preview. View filing ...
497K
0001193125-17-092833.nc
Summary Prospectus for open-end management investment companies filed : Securities Act Rule 497
March 23, 2017 .
Filer
Galmed Pharmaceuticals Ltd.
Preview. View filing ...
6-K
0001144204-17-016149.nc
Current report of foreign issuer / company : Rules 13a-16 and 15d-16 Amendments. Includes: Material Events ( International )
Period ending
March 23, 2017
March 23, 2017 .
Filed By
PACIFIC PREMIER BANCORP INC
Subject Company
HERITAGE OAKS BANCORP
Preview. View filing ...
425
0001028918-17-000088.nc
Filing under Securities Act Rule 425 of prospectuses and communications in connection with business combination transactions
March 23, 2017 .
Filer
TWENTY-FIRST CENTURY FOX, INC.
Preview. View filing ...
8-K
0001299933-17-000284.nc
Current report Includes: Material events, Director, Executive officer elections resignations, departures, Financial disclosures, Changes in control, etc.
Item
8.01 Other: Important event
9.01 Financial Statements and Exhibits
Period ending
March 23, 2017
March 6, 2017 .
Filer
RICHARD D. SCHUBERT, INC.
Preview. View filing ...
X-17A-5
9999999997-17-004789.nc
Annual audited report: Required of Brokers and Dealers - Sec 17 and Rule 17a-5 ( Broker-Dealers SRO Self Regulatory Organizations )
Period starting
March 2, 2017
Period ending
Dec. 31, 2016
Feb. 24, 2017 .
Filer
ACER INVESTMENT GROUP, LLC
Preview. View filing ...
FOCUSN
9999999997-17-004812.nc
Financial and operational combined uniform single report of brokers and dealers
Period ending
Dec. 31, 2016
Preview. View filing ...
D
0001697348-17-000001.nc XML (1)
Notice of exempt offering of securities - made without registration ( Regulation D and Section 4 Small Businesses )
Item
06b Federal Exemptions and Exclusions: Rule 506(b)
3C Federal Exemptions and Exclusions: Investment Company Act Section 3(c)
3C.1 Federal Exemptions and Exclusions: Investment Company Act Section 3(c)(1)
Primary Issuer
A-PPL-19-Fund, a series of Abstract Ventures Special Opportunities, LLC [ Limited Liability Company ] Jurisdiction: UTAH
Related Persons
LLC Assure Fund Management [ Director ] [ Issuer's Manager ]
Mateo Johnson [ Executive Officer ] [ Officer of the Issuer's Manager ]
Jeremy Neilson [ Executive Officer ] [ Managing Director of the Issuer's Manager ]
Industry
Pooled Investment Fund Other Investment Fund
Offering Data
Agg net asset value range: Decline to Disclose
Date of first sale: 2017-03-14
[ Pooled investment fund ]
Total offer
$ 258,000
Total sold
$ 258,000
Total remaining
$ 0
# investors
24 investors have already invested in this offering
March 23, 2017 .
Filer
Baqua Inc.
Preview. View filing ...
C-U
0001665160-17-000073.nc XML (1)
Regulation Crowdfunding Progress Update
Preview. View filing ...
10-K
0001056404-17-000952.nc
Annual report ( Financial statements and condition ) ( Risk ) ( Corporate Governance ) ( Executive compensation ) ( Management Discussion Analysis MDA MD&A )
ABS class
Commercial mortgages .
Period ending
Dec. 31, 2016
March 23, 2017 .
Filer
URSTADT BIDDLE PROPERTIES INC
Preview. View filing ...
8-K
0001029800-17-000021.nc
Current report Includes: Material events, Director, Executive officer elections resignations, departures, Financial disclosures, Changes in control, etc.
Item
5.07 Governance: Submission to a Vote of Security Holders
Period ending
March 22, 2017
March 23, 2017 .
Issuer
CAMBIUM LEARNING GROUP, INC. ABCD
Reporting Owner
Benson Barbara [ Officer, Chief Financial Officer, ]
Signed By
Barbara Benson By: J Scott McWhorter Esq Attorney-in-Fact
Preview. View filing ...
4
0001466815-17-000014.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
March 21, 2017
Stock Options (right to buy)
[A : Grant / award] 10,000 shares Total owned: 167,400 [ Underlying Securities: Common Stock, par value $0.001 per share ] 10,000 shares
March 23, 2017 .
Filer
Amplify ETF Trust
Preview. View filing ...
485BXT
0001398344-17-003799.nc
Post-effective amendment filed : Securities Act Rule 485
March 23, 2017 .
Filer
HUANENG POWER INTERNATIONAL INC
Preview. View filing ...
6-K
0001341004-17-000171.nc
Current report of foreign issuer / company : Rules 13a-16 and 15d-16 Amendments. Includes: Material Events ( International )
Period ending
March 22, 2017
Preview. View filing ...
24F-2NT
0001193125-17-093187.nc
Annual notice of securities sold investment companies
Period ending
Dec. 31, 2016
Preview. View filing ...
3
0001209191-17-022665.nc XML (1)
Ownership: Initial statement of beneficial ownership of securities. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
March 23, 2017
Class B Common Stock
[ See footnote ] [ Underlying Securities: Class A Common Stock ] 2,452,343 shares
Class B Common Stock
[ See footnote ] [ Underlying Securities: Class A Common Stock ] 71,423 shares
Ltst filing
spro