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Latest filing received: 2 minutes ago     Real-time updates on

Today's real-time filings:

2 minutes ago ...
Issuer
MATRIX SERVICE CO MTRX
Reporting Owner
Rinehart Bradley J [ Officer, President, Matrix PDM Eng, ]
Signed By
Bradley J Rinehart
Preview. View filing ...
4
0000866273-17-000124.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Dec. 12, 2017
COMMON STOCK
[F : Pmt of exercise price or tax liab] 762 shares x $17.25/sh Total owned: 59,720
3 minutes ago ...
Issuer
FIRST MERCHANTS CORP FRME
Reporting Owner
LORENTSON JEFFREY B [ Officer, Chief Risk Officer, Other, Senior Vice President, ]
Signed By
Addison Nicoll Confirming Statement on File
Preview. View filing ...
4
0000712534-17-000330.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Dec. 11, 2017
Common Stock
[M : Exer. or conv. of deriv. security exempted] 1,500 shares x $28.25/sh Total owned: 15,820.13
Employee Stock Option (right to buy)
[M : Exer. or conv. of deriv. security exempted] 1,500 shares x $0/sh Total owned: 0 [ Underlying Securities: Common Stock ] 1,500 shares
3 minutes ago ...
Issuer
CABOT MICROELECTRONICS CORP CCMP
Reporting Owner
Polezoes Lisa A [ Officer, VP, Human Resources, ]
Signed By
H Carol Bernstein Power of Attorney
Preview. View filing ...
4
0001127602-17-034530.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Dec. 11, 2017
Common Stock
[A : Grant / award] 1,083 shares x $92.31/sh Total owned: 21,425.843
Common Stock
[A : Grant / award] 541 shares x $92.31/sh Total owned: 21,966.843
3 minutes ago ...
Filer
Franklin Templeton ETF Trust
Preview. View filing ...
CERTNYS
9999999997-17-010527.nc
Certification by the New York Stock Exchange approving securities for listing
4 minutes ago ...
Filer
CANYON RIDGE BUSINESS PARK LLC
Form D persons
David Inman
Signed By
Nicholas J Campbell
Preview. View filing ...
D
0001725115-17-000001.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)
Primary Issuer
CANYON RIDGE BUSINESS PARK LLC [ Limited Liability Company ] Jurisdiction: NEVADA
Related Persons
David Inman [ Director ] [ David Inman is the company's manager. ]
Industry
Commercial
Offering Data
Revenue range: No Revenues
Date of first sale: 2017-11-20
[ Equity ]
Total offer
$ 3,300,000
Total sold
$ 3,300,000
Total remaining
$ 0
# investors
17 investors have already invested in this offering
4 minutes ago ...
Filer
JNL SERIES TRUST
Preview. View filing ...
DEF 14C
0000933691-17-000746.nc
Definitive information statements
Period ending
Dec. 13, 2017
5 minutes ago ...
Issuer
CABOT MICROELECTRONICS CORP CCMP
Reporting Owner
Naman Ananth [ Officer, VP & Chief Technology Officer, ]
Signed By
H Carol Bernstein Power of Attorney
Preview. View filing ...
4
0001127602-17-034529.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Dec. 11, 2017
Common Stock
[A : Grant / award] 1,083 shares x $92.31/sh Total owned: 18,572.8088
Common Stock
[A : Grant / award] 541 shares x $92.31/sh Total owned: 19,113.8088
5 minutes ago ...
Issuer
PREMIER FINANCIAL BANCORP INC PFBI
Reporting Owner
Kelley Scot A. [ Officer, VP Credit Adminstration, ]
Signed By
Scot A Kelley
Preview. View filing ...
4
0001140361-17-045985.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Dec. 12, 2017
PFBI Common Stock
[M : Exer. or conv. of deriv. security exempted] 916 shares x $13.1182/sh Total owned: 11,891
PFBI Common Stock
[M : Exer. or conv. of deriv. security exempted] 1,045 shares x $13.3818/sh Total owned: 12,936
PFBI Common Stock
[M : Exer. or conv. of deriv. security exempted] 1,045 shares x $13.5454/sh Total owned: 13,981
PFBI Common Stock
[F : Pmt of exercise price or tax liab] 2,062 shares x $19.48/sh Total owned: 11,919
Employee Stock Option (Right to Buy)
[M : Exer. or conv. of deriv. security exempted] 1,045 shares x $0/sh Total owned: 2,090 [ Underlying Securities: PFBI Common ] 1,045 shares
Employee Stock Option (Right to Buy)
[M : Exer. or conv. of deriv. security exempted] 1,045 shares x $0.00/sh Total owned: 1,045 [ Underlying Securities: PFBI Common ] 1,045 shares
Employee Stock Option (Right to Buy)
[M : Exer. or conv. of deriv. security exempted] 916 shares x $0.00/sh Total owned: 0 [ Underlying Securities: PFBI Common ] 916 shares
Employee Stock Option (Right to Buy) (PFBI Common)
Total owned: 3,000 [ Underlying Securities: PFBI Common ] 3,000 shares
6 minutes ago ...
Issuer
ENERGY FUELS INC UUUU
Reporting Owner
Eshleman Benjamin III [ Director, ]
Signed By
Benjamin Eshleman III
Preview. View filing ...
4
0001385849-17-000050.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Dec. 12, 2017
Common Shares
[S : Open market or private sale] 1,600 shares x $2.02/sh Total owned: 2,875,704 [ Mestena, LLC ]
Common Shares
[S : Open market or private sale] 400 shares x $2.03/sh Total owned: 2,875,304 [ Mestena, LLC ]
Common Shares
[S : Open market or private sale] 1,700 shares x $2.04/sh Total owned: 2,873,604 [ Mestena, LLC ]
Common Shares
[S : Open market or private sale] 1,300 shares x $2.05/sh Total owned: 2,872,304 [ Mestena, LLC ]
Common Shares
[S : Open market or private sale] 400 shares x $1.9/sh Total owned: 2,871,904 [ Mestena, LLC ]
Common Shares
[S : Open market or private sale] 600 shares x $1.91/sh Total owned: 2,871,304 [ Mestena, LLC ]
Common Shares
[S : Open market or private sale] 300 shares x $1.915/sh Total owned: 2,871,004 [ Mestena, LLC ]
Common Shares
[S : Open market or private sale] 2,900 shares x $1.92/sh Total owned: 2,868,104 [ Mestena, LLC ]
Common Shares
[S : Open market or private sale] 100 shares x $1.93/sh Total owned: 2,868,004 [ Mestena, LLC ]
Common Shares
[S : Open market or private sale] 700 shares x $1.94/sh Total owned: 2,867,304 [ Mestena, LLC ]
Common Shares
Total owned: 1,203,369 [ Jones Ranch Unproven Limited Partnership ]
Common Shares
Total owned: 212,359 [ Mestena Unproven Limited Partnership ]
7 minutes ago ...
Filer
Principal Exchange-Traded Funds
Preview. View filing ...
CERTNAS
9999999997-17-010526.nc
Certification by NAS Stock Exchange approving securities for listing
7 minutes ago ...
Issuer
CABOT MICROELECTRONICS CORP CCMP
Reporting Owner
Li David H [ Officer, President and CEO, ]
Signed By
H Carol Bernstein Power of Attorney
Preview. View filing ...
4
0001127602-17-034528.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Dec. 11, 2017
Common Stock
[A : Grant / award] 1,083 shares x $92.31/sh Total owned: 74,431.8689
Common Stock
[A : Grant / award] 541 shares x $92.31/sh Total owned: 74,972.8689
Preview. View filing ...
D
0001723888-17-000002.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
REDMILE STRATEGIC FUND, LP [ Limited Partnership ] Jurisdiction: DELAWARE
Related Persons
General Partner Redmile Group (GP), LLC [ Director ] [ General Partner ]
Jeremy Green [ Executive Officer ] [ Jeremy Green is an executive officer of Redmile Group, LLC, the Investment Manager of the Issuer, and Redmile Group (GP), LLC, the General Partner of the Issuer. ]
Industry
Pooled Investment Fund Hedge Fund
Offering Data
Agg net asset value range: Decline to Disclose
Date of first sale: 2017-12-01
[ Pooled investment fund ]
Total offer
$ Indefinite
Total sold
$ 1,910,000
Total remaining
$ Indefinite
# investors
3 investors have already invested in this offering
11 minutes ago ...
Filer
CITY NATIONAL ROCHDALE FUNDS
Preview. View filing ...
497
0001398344-17-015832.nc
Definitive materials - Filing of investment company prospectuses
Preview. View filing ...
D
0001723955-17-000001.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)
3C.7 Federal Exemptions and Exclusions: Investment Company Act Section 3(c)(7)
Primary Issuer
Wavecrest Growth Partners T1CRM SPV, L.P. [ Limited Partnership ] Jurisdiction: DELAWARE
Related Persons
Vaibhav Nalwaya [ Executive Officer ]
Deepak Sindwani [ Executive Officer ]
Industry
Pooled Investment Fund Venture Capital Fund
Offering Data
Revenue range: Not Applicable
Date of first sale: 2017-12-01
[ Pooled investment fund ]
Total offer
$ 17,500,000
Total sold
$ 16,920,800
Total remaining
$ 579,200
# investors
6 investors have already invested in this offering
12 minutes ago ...
Filer
EMX Royalty Corp
Preview. View filing ...
6-K
0001062993-17-005239.nc
Current report of foreign issuer / company : Rules 13a-16 and 15d-16 Amendments. Includes: Material Events ( International )
Period ending
Dec. 13, 2017
12 minutes ago ...
Filer
FIRST TRUST EXCHANGE-TRADED FUND VIII
Preview. View filing ...
CERTNAS
9999999997-17-010525.nc
Certification by NAS Stock Exchange approving securities for listing
Preview. View filing ...
424B3
0000072499-17-000025.nc
Prospectus filed : Rule 424
14 minutes ago ...
Filer
BARCLAYS BANK PLC
Preview. View filing ...
424B2
0001104659-17-073086.nc
Prospectus filed: Rule 424
16 minutes ago ...
Filer
CITY NATIONAL ROCHDALE FUNDS
Preview. View filing ...
497K
0001398344-17-015830.nc
Summary Prospectus for open-end management investment companies filed : Securities Act Rule 497
16 minutes ago ...
Filer
Highland Funds I
Preview. View filing ...
CERTNAS
9999999997-17-010524.nc
Certification by NAS Stock Exchange approving securities for listing
18 minutes ago ...
Filer
Cygnus SRSC LLC
Form D persons
Andy Cummings
Signed By
Andy Cummings
Preview. View filing ...
D
0001724737-17-000002.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)
Primary Issuer
Cygnus SRSC LLC [ Limited Liability Company ] Jurisdiction: GEORGIA
Related Persons
Andy Cummings [ Director ] [ LLC Manager ]
Industry
Other Real Estate
Offering Data
Revenue range: $25,000,001 - $100,000,000
Date of first sale: 2017-11-21
[ Equity ]
Total offer
$ 6,500,000
Total sold
$ 2,861,000
Total remaining
$ 3,639,000
# investors
10 investors have already invested in this offering
21 minutes ago ...
Filer
McGraw Conglomerate Corp
Preview. View filing ...
253G1
0001477932-17-006034.nc
Offering circular Rule 253(g)(1) (Reg A) Crowdfunding
21 minutes ago ...
Filer
AdvisorShares Trust
Preview. View filing ...
CERTNYS
9999999997-17-010523.nc
Certification by the New York Stock Exchange approving securities for listing
21 minutes ago ...
Issuer
FARMERS CAPITAL BANK CORP FFKT
Reporting Owner
Nash William C. [ Director, ]
Signed By
Mary Thomas Attorney in Fact by POA dated 42715
Preview. View filing ...
4
0001437749-17-020635.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Nov. 20, 2017
Common Stock .125 par value
[P : Open market or private purchase] 405 shares x $40.9468/sh Total owned: 3,500 [ By Wife. ]
Common Stock .125 par value
[P : Open market or private purchase] 250 shares x $40.625/sh Total owned: 2,983.3020
24 minutes ago ...
Filer
Franklin Templeton ETF Trust
Preview. View filing ...
CERTNYS
9999999997-17-010522.nc
Certification by the New York Stock Exchange approving securities for listing
25 minutes ago ...
Issuer
EnviroStar, Inc. EVI
Reporting Owner
LaMacchia Timothy P [ Director, ]
Signed By
Timothy P LaMacchia
Preview. View filing ...
4
0001174947-17-001789.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Dec. 12, 2017
Common Stock, $0.025 par value per share
[A : Grant / award] 1,546 shares x $0/sh Total owned: 1,546
26 minutes ago ...
Issuer
LEGGETT & PLATT INC LEG
Reporting Owner
TRENT TAMMY M [ Officer, SVP - Chief Accounting Officer, ]
Signed By
S Scott Luton by POA
Preview. View filing ...
4
0001127602-17-034525.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Dec. 12, 2017
Common Stock
[M : Exer. or conv. of deriv. security exempted] 250 shares x $16.96/sh Total owned: 11,824.1846
Common Stock
[S : Open market or private sale] 250 shares x $46.4819/sh Total owned: 11,574.1846
Common Stock
Total owned: 4,187.06 [ Held in Trust Under Issuer's Retirement Plan ]
Employee Stock Options (Right to Buy)
[M : Exer. or conv. of deriv. security exempted] 250 shares x $0/sh Total owned: 0 [ Underlying Securities: Common Stock ] 250 shares
26 minutes ago ...
Filer
RT PL Investment II LLC
Form D persons
Suhail Rizvi
Signed By
Suhail Rizvi
Preview. View filing ...
D
0001725266-17-000001.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
RT PL Investment II LLC [ Limited Liability Company ] Jurisdiction: DELAWARE
Related Persons
Suhail Rizvi [ Executive Officer ] [ Director ] [ Managing Director of Manager of Issuer ]
Industry
Pooled Investment Fund Other Investment Fund
Offering Data
Agg net asset value range: Decline to Disclose
Date of first sale: 2017-12-01
[ Equity ] [ Pooled investment fund ]
Total offer
$ Indefinite
Total sold
$ 5,000,000
Total remaining
$ Indefinite
# investors
1 investors have already invested in this offering
29 minutes ago ...
Issuer
EnviroStar, Inc. EVI
Reporting Owner
LaMacchia Timothy P [ Director, ]
Signed By
Timothy P LaMacchia
Preview. View filing ...
3
0001174947-17-001788.nc XML (1)
Ownership: Initial statement of beneficial ownership of securities. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Dec. 12, 2017
Common Stock, $0.025 par value per share
Total owned: 0
29 minutes ago ...
Issuer
BOSTON BEER CO INC SAM
Reporting Owner
Grinnell David L. [ Officer, Vice President of Brewing, ]
Signed By
Michael G Andrews under POA for the benefit of David L Grinnell
Preview. View filing ...
4
0001562180-17-003861.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Dec. 13, 2017
Class A Common
[M : Exer. or conv. of deriv. security exempted] 1,000.00 shares x $95.09/sh Total owned: 3,898.00
Class A Common
[S : Open market or private sale] 1,000.00 shares x $186.75/sh Total owned: 2,898.00
Stock Option (Right to Buy)
[M : Exer. or conv. of deriv. security exempted] 1,000.00 shares x $0.00/sh Total owned: 22,372.00 [ Underlying Securities: Class A Common ] 30,000 shares
31 minutes ago ...
Issuer
EVEREST RE GROUP LTD RE
Reporting Owner
Addesso Dominic James [ Director, Officer, President and CEO, ]
Signed By
SANJOY MUKHERJEEAttorney-in-fact
Preview. View filing ...
4
0001140361-17-045981.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Dec. 11, 2017
Common Shares
[J : Other acqui. or dispo.] 1,000 shares x $214.095/sh Total owned: 79,209
Common Shares
[J : Other acqui. or dispo.] 1,000 shares x $214.095/sh Total owned: 2,000 [ Indirect through Addesso Family Trust ]
31 minutes ago ...
Filer
D.T.I. HOLDINGS, LLC
Form D persons
JONATHAN DAYAN
ALON GORBONOS
Signed By
ELIZABETH BUCKLEY
Preview. View filing ...
D/A
0001689848-17-000002.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)
Primary Issuer
D.T.I. HOLDINGS, LLC [ Limited Liability Company ] Jurisdiction: NORTH CAROLINA
Related Persons
JONATHAN DAYAN [ Director ] [ MANAGING MEMBER OF DTI HOLDINGS MANAGEMENT, LLC, MANAGER ]
ALON GORBONOS [ Director ] [ MANAGING MEMBER OF DTI HOLDINGS MANAGEMENT, LLC, MANAGER ]
Industry
Residential
Offering Data
Revenue range: No Revenues
Date of first sale: Yet to occur
[ Equity ]
Total offer
$ 10,000,000
Total sold
$ 5,600,000
Total remaining
$ 4,400,000
# investors
26 investors have already invested in this offering
$10,000,000 IS THE MAXIMUM OFFERING AMOUNT, BUT IT MAY BE AS LOW AS $7,000,000
31 minutes ago ...
Issuer
RAYMOND JAMES FINANCIAL INC RJF
Reporting Owner
Elwyn Tashtego S [ Officer, President - RJA, ]
Signed By
Tashtego S Elwyn by Jonathan J Doyle as Attorney-in-Fact
Preview. View filing ...
4
0001225208-17-018562.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Dec. 11, 2017
Common Stock
[M : Exer. or conv. of deriv. security exempted] 2,000.0000 shares x $37.8700/sh Total owned: 17,500.0000
Common Stock
[M : Exer. or conv. of deriv. security exempted] 503.0000 shares x $48.2000/sh Total owned: 18,003.0000
Common Stock
[G : Gift] 100.0000 shares x $0.0000/sh Total owned: 17,903.0000
Common Stock
Total owned: 4,095.0000 [ ESOP ]
Common Stock
Total owned: 50.0000 [ UTMA Custodian for Daughter ]
Common Stock
Total owned: 50.0000 [ UTMA Custodian for Son ]
Employee Stock Option (right to buy)
[M : Exer. or conv. of deriv. security exempted] 503.0000 shares x $0.0000/sh Total owned: 2,000.0000 [ Underlying Securities: Common Stock ] 503 shares
Employee Stock Option (right to buy)
[M : Exer. or conv. of deriv. security exempted] 2,000.0000 shares x $0.0000/sh Total owned: 0.0000 [ Underlying Securities: Common Stock ] 2,000 shares
Preview. View filing ...
424B3
0000950103-17-012403.nc
Prospectus filed : Rule 424
33 minutes ago ...
Filer
British American Tobacco p.l.c.
Preview. View filing ...
6-K
0000950157-17-001593.nc
Current report of foreign issuer / company : Rules 13a-16 and 15d-16 Amendments. Includes: Material Events ( International )
Period ending
Dec. 13, 2017
34 minutes ago ...
Filer
USAA MUTUAL FUNDS TRUST
Preview. View filing ...
485BPOS USAA 
0001683863-17-000458.nc XBRL XML (6)
Post-effective amendment filed : Securities Act Rule 485
Preview. View filing ...
D
0001725262-17-000001.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)
Primary Issuer
Tri-County Financial Group, Inc. [ Corporation ] Jurisdiction: DELAWARE
Related Persons
Timothy J McConville [ Executive Officer ] [ Director ]
Kent Carnahan [ Director ]
Matthew Carroll [ Director ]
Kenneth Otterbach [ Director ]
Thomas Prescott [ Director ]
Julie Setchell [ Director ]
Goodwin Toraason [ Executive Officer ] [ Director ]
Robert Vickrey [ Director ]
Doug Fitzgerald [ Director ]
Jacqueline Bend [ Executive Officer ]
Connie Ganz [ Executive Officer ]
Trisha Harrison [ Executive Officer ]
Industry
Commercial Banking
Offering Data
Revenue range: Decline to Disclose
Date of first sale: 2017-10-09
[ Equity ]
Total offer
$ 20,000,033
Total sold
$ 20,000,033
Total remaining
$ 0
# investors
1 investors have already invested in this offering
37 minutes ago ...
Filer
SHINECO, INC.
Preview. View filing ...
8-K
0001144204-17-063452.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
Dec. 11, 2017
38 minutes ago ...
Filer
American Gas & Technology LP
Signed By
Fay Matsukage
Preview. View filing ...
1-A/A
0001214659-17-007281.nc XML (1)
Offering statement under Regulation A (Reg A Small Businesses ) Crowdfunding
Total Aggregate amount
$ 35,000,000.0
Net Amount
$ 31,477,000.0
Price per share
$ 7.0
# Securities offered
5,000,000
40 minutes ago ...
Issuer
WashingtonFirst Bankshares, Inc. WFBI
Reporting Owner
Johnson Matthew R [ Officer, Chief Financial Officer, ]
Signed By
Matthew R Johnson
Preview. View filing ...
4
0001564492-17-000012.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Dec. 12, 2017
Common Stock
[M : Exer. or conv. of deriv. security exempted] 10,288 shares x $9.8136/sh Total owned: 77,343
Stock Option
[M : Exer. or conv. of deriv. security exempted] 10,288 shares x $9.8136/sh Total owned: 14,020 [ Underlying Securities: Common Stock ] 10,288 shares
41 minutes ago ...
Issuer
AVISTA CORP AVA
Reporting Owner
Thackston Jason R [ Officer, Senior Vice President, ]
Signed By
Jason R Thackston
Preview. View filing ...
4
0000104918-17-000146.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Dec. 13, 2017
Common Stock
[S : Open market or private sale] 1,500 shares x $51.58/sh Total owned: 22,974
42 minutes ago ...
Filer
AxoGen, Inc.
Preview. View filing ...
S-8
0001558370-17-009306.nc
Initial registration statement for securities to be offered to employees : employee benefit plans
43 minutes ago ...
Filer
LendingClub Corp
Preview. View filing ...
424B3
0001409970-17-001530.nc
Prospectus filed : Rule 424
43 minutes ago ...
Filer
Ironwood Advisors
Preview. View filing ...
MA-I
0001620620-17-000003.nc XML (1)
Info about persons who engage in Municipal Advisory Activities
Preview. View filing ...
D/A
0000935836-17-000562.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
Brayton Partners, L.P. [ Limited Partnership ] Jurisdiction: DELAWARE
Related Persons
N/A Fairview Capital Investment Management, LLC [ Executive Officer ] [ General Partner ]
N/A Fairview Capital [ Executive Officer ] [ Manager of Fairview Capital Investment Management, LLC, General Partner ]
Andrew F. Mathieson [ Executive Officer ] [ Director ] [ President of Fairview Capital, the Manager of Fairview Capital Investment Management, LLC, the General Partner ]
Industry
Pooled Investment Fund Hedge Fund
Offering Data
Agg net asset value range: Decline to Disclose
Date of first sale: Yet to occur
[ Equity ] [ Other ] [ Pooled investment fund ] [ Limited Partner Interests ]
Total offer
$ Indefinite
Total sold
$ 0
Total remaining
$ Indefinite
# investors
0 investors have already invested in this offering
Preview. View filing ...
ABS-EE
0001539497-17-002300.nc XML (2)
Form for Submission of Electronic Exhibits for Asset-Backed Securities ( ABS )
ABS class
Commercial mortgages .
Period starting
Dec. 2, 2017
Period ending
Dec. 11, 2017
45 minutes ago ...
Filer
Plain Old Texas, LLC
Form D persons
Timothy Carroll
Peter Haise
Signed By
Laurna A. Kinnel
Preview. View filing ...
D
0001724332-17-000003.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)
Primary Issuer
Plain Old Texas, LLC [ Limited Liability Company ] Jurisdiction: TEXAS
Related Persons
Timothy Carroll [ Executive Officer ] [ Managing member of managing LLC ]
Peter Haise [ Executive Officer ] [ Managing member of managing LLC ]
Industry
Commercial
Offering Data
Revenue range: Decline to Disclose
Date of first sale: 2017-12-07
[ Equity ]
Total offer
$ 1,200,000
Total sold
$ 675,000
Total remaining
$ 525,000
# investors
4 investors have already invested in this offering
46 minutes ago ...
Filer
EM SECURITIES LLC
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X-17A-5
0001443552-17-000002.nc XML (1)
Annual audited report: Required of Brokers and Dealers - Sec 17 and Rule 17a-5 ( Broker-Dealers SRO Self Regulatory Organizations )
Period starting
Dec. 2, 2017
Period ending
Sept. 30, 2017
47 minutes ago ...
Filer
LPL Financial LLC /TA
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TA-1/A
0001007444-17-000025.nc XML (1)
Application for registration as a transfer agent filed : the Securities Exchange Act of 1934
48 minutes ago ...
Filer
MONEY MARKET OBLIGATIONS TRUST
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485BPOS MMOT 
0001623632-17-002627.nc XBRL XML (6)
Post-effective amendment filed : Securities Act Rule 485
51 minutes ago ...
Issuer
First Savings Financial Group Inc FSFG
Reporting Owner
York Douglas A [ Director, ]
Signed By
John P Lawson Jr pursuant to Power of Attorney
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4/A
0001140361-17-045978.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Nov. 21, 2016
Common Stock
[A : Grant / award] 250 shares x $0.00/sh Total owned: 13,839
Common Stock
Total owned: 20,000 [ By Corporation ]
Stock Options
[A : Grant / award] 500 shares x $0.00/sh Total owned: 500 [ Underlying Securities: Common Stock ] 500 shares
Stock Options
Total owned: 8,972 [ Underlying Securities: Common Stock ] 8,972 shares
52 minutes ago ...
Issuer
First Savings Financial Group Inc FSFG
Reporting Owner
Ludden Michael F [ Director, ]
Signed By
John P Lawson Jr pursuant to Power of Attorney
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4/A
0001140361-17-045977.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Nov. 21, 2016
Common Stock
Total owned: 25,383
Common Stock
Total owned: 10,000 [ By Spouse ]
Stock Options
[A : Grant / award] 500 shares x $0.00/sh Total owned: 500 [ Underlying Securities: Common Stock ] 500 shares
Stock Options
Total owned: 13,458 [ Underlying Securities: Common Stock ] 13,458 shares
53 minutes ago ...
Issuer
First Savings Financial Group Inc FSFG
Reporting Owner
Haley Marie [ Officer, EVP and Chief Retail Officer, ]
Signed By
John P Lawson Jr pursuant to Power of Attorney
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4/A
0001140361-17-045976.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Nov. 21, 2016
Common Stock
[A : Grant / award] 1,000 shares x $0.00/sh Total owned: 1,000
Common Stock
Total owned: 28 [ By Spouse's IRA ]
Stock Options
[A : Grant / award] 3,000 shares x $0.00/sh Total owned: 3,000 [ Underlying Securities: Common Stock ] 3,000 shares
53 minutes ago ...
Issuer
First Savings Financial Group Inc FSFG
Reporting Owner
Bennett-Martin Pamela [ Director, ]
Signed By
John P Lawson Jr pursuant to Power of Attorney
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4/A
0001140361-17-045975.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Nov. 21, 2016
Common Stock
[A : Grant / award] 150 shares x $0.00/sh Total owned: 3,412
Stock Options
[A : Grant / award] 500 shares x $0.00/sh Total owned: 500 [ Underlying Securities: Common Stock ] 500 shares
Stock Options
Total owned: 4,486 [ Underlying Securities: Common Stock ] 4,486 shares
55 minutes ago ...
Filer
TOROTEL INC
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10-Q TTLO 
0001558370-17-009313.nc XBRL XML (6)
Quarterly report ( Financial statements and condition ) ( Risk ) ( Corporate Governance ) ( Executive compensation ) ( Management Discussion Analysis MDA MD&A )
Focus Period
2018 : Q2
Fiscal year ends
--04-30
Period ending
Oct. 31, 2017
Financials (experimental)
In USD 3 mo ending 2017-10-31 3 mo ending 2016-10-31 6 mo ending 2017-10-31 6 mo ending 2016-10-31
Revenues  4,684,000  3,864,000  9,214,000  7,955,000
Net Income  -171,000  -110,000  -364,000  15,000
EPS Basic  -0.03  -0.02  -0.07  0
56 minutes ago ...
Issuer
First Savings Financial Group Inc FSFG
Reporting Owner
Colin John E [ Director, ]
Signed By
John P Lawson Jr pursuant to Power of Attorney
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4/A
0001140361-17-045973.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Nov. 21, 2016
Common Stock
[A : Grant / award] 845 shares x $0.00/sh Total owned: 2,845
Stock Options
[A : Grant / award] 2,900 shares x $0.00/sh Total owned: 2,900 [ Underlying Securities: Common Stock ] 2,900 shares
56 minutes ago ...
Filed By
Pendrell Corp
Subject Company
Pendrell Corp
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SC 13E3/A
0001193125-17-368060.nc
Schedule filed to report going private transactions Rule 13e-3
57 minutes ago ...
Issuer
First Savings Financial Group Inc FSFG
Reporting Owner
Czeschin Frank [ Director, ]
Signed By
John P Lawson Jr pursuant to Power of Attorney
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4/A
0001140361-17-045972.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Nov. 21, 2016
Common Stock
Total owned: 1,794
Common Stock
Total owned: 1,000 [ By IRA ]
Stock Options
[A : Grant / award] 500 shares x $0.00/sh Total owned: 500 [ Underlying Securities: Common Stock ] 500 shares
Stock Options
Total owned: 4,486 [ Underlying Securities: Common Stock ] 4,486 shares
57 minutes ago ...
Filer
Norwegian Cruise Line Holdings Ltd.
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CERT
9999999997-17-010521.nc
Certification approving securities for listing.
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4
0001645291-17-000003.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Dec. 8, 2017
Series B Mandatory Redeemable Preferred Shares
[J : Other acqui. or dispo.] 200,000 shares x $25.02/sh Total owned: 0 [ subsidiary ]
Ltst filing
spro