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Latest filing received: a minute ago     Real-time updates on

Today's real-time filings:

an hour ago ...
Filer
Sibears Daniel J
Managers
Newfound Research LLC
Signed By
Daniel J. Sibears
Preview. View filing ...
13F-NT
0001615774-17-000205.nc XML (1)
Initial Quarterly Form 13F Notice Report filed by institutional managers
Period ending
Dec. 31, 2016
an hour ago ...
Filed By
KEELEY ASSET MANAGEMENT CORP
Subject Company
Forestar Group Inc.
Preview. View filing ...
SC 13G/A
0000897069-17-000032.nc
Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and institutions
an hour ago ...
Filer
OHIO NATIONAL FUND INC
Preview. View filing ...
497K
0001193125-17-013955.nc
Summary Prospectus for open-end management investment companies filed : Securities Act Rule 497
an hour ago ...
Filer
AntriaBio, Inc.
Preview. View filing ...
424B3
0001144204-17-003032.nc
Prospectus filed : Rule 424
an hour ago ...
Filer
OHIO NATIONAL FUND INC
Preview. View filing ...
497K
0001193125-17-013953.nc
Summary Prospectus for open-end management investment companies filed : Securities Act Rule 497
an hour ago ...
Filed By
KEELEY ASSET MANAGEMENT CORP
Subject Company
DENNYS CORP
Preview. View filing ...
SC 13G/A
0000897069-17-000030.nc
Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and institutions
Preview. View filing ...
D/A
0000919574-17-000662.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
BeaconLight Domestic Fund, LP [ Limited Partnership ] Jurisdiction: DELAWARE
Related Persons
-- BeaconLight GP LLC [ Executive Officer ] [ General Partner ]
-- BeaconLight Capital, LLC [ Executive Officer ] [ Investment Manager ]
Industry
Pooled Investment Fund Hedge Fund
Offering Data
Agg net asset value range: Decline to Disclose
Date of first sale: 2010-01-04
[ Equity ] [ Pooled investment fund ]
Total offer
$ Indefinite
Total sold
$ 141,130,000
Total remaining
$ Indefinite
# investors
41 investors have already invested in this offering
an hour ago ...
Filer
OHIO NATIONAL FUND INC
Preview. View filing ...
497
0001193125-17-013952.nc
Definitive materials - Filing of investment company prospectuses
Preview. View filing ...
13F-NT
0001615774-17-000203.nc XML (1)
Initial Quarterly Form 13F Notice Report filed by institutional managers
Period ending
Dec. 31, 2016
an hour ago ...
Filer
OHIO NATIONAL FUND INC
Preview. View filing ...
497K
0001193125-17-013951.nc
Summary Prospectus for open-end management investment companies filed : Securities Act Rule 497
an hour ago ...
Filer
ENTERPRISE BANCORP INC /MA/
Preview. View filing ...
8-K
0001018399-17-000006.nc
Current report Includes: Material events, Director, Executive officer elections resignations, departures, Financial disclosures, Changes in control, etc.
Item
5.02 Governance: Departure/Appointment/Compensation Directors and Officers
9.01 Financial Statements and Exhibits
Period ending
Jan. 17, 2017
an hour ago ...
Filer
Alaia Market Linked Trust
Preview. View filing ...
S-6
0001214659-17-000391.nc
Initial registration statement filed on Form S-6 for unit investment trusts
an hour ago ...
Filer
OHIO NATIONAL FUND INC
Preview. View filing ...
497K
0001193125-17-013950.nc
Summary Prospectus for open-end management investment companies filed : Securities Act Rule 497
Preview. View filing ...
4/A
0001190725-17-000021.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Jan. 11, 2017
Common Stock
[A : Grant / award] 4,474 shares x $0/sh Total owned: 4,474
an hour ago ...
Filer
Monaker Group, Inc.
Preview. View filing ...
10-Q/A MKGI 
0001580695-17-000052.nc XBRL XML (6)
Quarterly report ( Financial statements and condition ) ( Risk ) ( Corporate Governance ) ( Executive compensation ) ( Management Discussion Analysis MDA MD&A )
Focus Period
2016 : Q3
Fiscal year ends
--02-29
Period ending
Nov. 30, 2015
Financials (experimental)
In USD 3 mo ending 2015-11-30 3 mo ending 2014-11-30 9 mo ending 2015-11-30 9 mo ending 2014-11-30
Revenues  21,717  310,341  507,077  1,061,643
Net Income  -1,010,859  5,210,078  -4,913,920  3,586,619
EPS Diluted  -0.40  0.87  -3.17  0.62
EPS Basic  -0.40  12.67  -3.17  8.83
an hour ago ...
Filer
ENDRA Life Sciences Inc.
Preview. View filing ...
S-1/A
0001654954-17-000390.nc
General form of registration statement for all companies including face-amount certificate companies. Including: IPO, Going public, offering securities, prospectus ( Small Businesses )
an hour ago ...
Filer
SCHWAB INVESTMENTS
Preview. View filing ...
485BXT
0001193125-17-013948.nc
Post-effective amendment filed : Securities Act Rule 485
an hour ago ...
Filer
Hoffstein Corey
Managers
Newfound Research LLC
Signed By
Corey M. Hoffstein
Preview. View filing ...
13F-NT
0001615774-17-000199.nc XML (1)
Initial Quarterly Form 13F Notice Report filed by institutional managers
Period ending
Dec. 31, 2016
Preview. View filing ...
D/A
0000919574-17-000660.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
BeaconLight Offshore Fund, Ltd. [ Other Cayman Islands Exempted Company] Jurisdiction: CAYMAN ISLANDS
Related Persons
-- BeaconLight Capital, LLC [ Executive Officer ] [ Investment Manager ]
Ed Bosek [ Director ]
Charles Rustin Holzer [ Director ]
Philip Dickie [ Director ]
Jon Morgan [ Director ]
Industry
Pooled Investment Fund Hedge Fund
Offering Data
Agg net asset value range: Decline to Disclose
Date of first sale: 2010-01-04
[ Equity ] [ Pooled investment fund ]
Total offer
$ Indefinite
Total sold
$ 45,425,000
Total remaining
$ Indefinite
# investors
8 investors have already invested in this offering
Preview. View filing ...
D
0001140361-17-002366.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.7 Federal Exemptions and Exclusions: Investment Company Act Section 3(c)(7)
Primary Issuer
LUNIA PARTNERS LP [ Limited Partnership ] Jurisdiction: DELAWARE
Related Persons
n/a LCGP LLC [ Executive Officer ] [ Promoter ] [ The General Partner of the Issuer. ]
n/a Lunia Capital LP [ Promoter ] [ The Investment Manager of the Issuer. ]
Vikas Lunia [ Executive Officer ] [ Promoter ] [ Mr. Lunia is the Managing Member of the General Partner of the Issuer and the founder, Principal and Chief Investment Officer of the Investment Manager of the Issuer. ]
Yatrik Munshi [ Executive Officer ] [ Mr. Munshi is the Chief Compliance Officer and Chief Operating Officer of 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: 2017-01-03
[ Other ] [ Pooled investment fund ] [ Limited partnership interests. The minimum amount reflected in Item 11 is for Series A. The minimum amount for Series F is $5,000,000. The General Partner, in its sole discretion, may accept lesser amounts. ]
Total offer
$ Indefinite
Total sold
$ 12,485,000
Total remaining
$ Indefinite
# investors
12 investors have already invested in this offering
an hour ago ...
Filed By
Pentagram Partners, L.P.
Subject Company
EMERGENT CAPITAL, INC.
Preview. View filing ...
SC 13G/A
0000897069-17-000028.nc
Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and institutions
Preview. View filing ...
13F-NT
0001615774-17-000197.nc XML (1)
Initial Quarterly Form 13F Notice Report filed by institutional managers
Period ending
Dec. 31, 2016
an hour ago ...
Filer
PILLARSTONE CAPITAL REIT
Preview. View filing ...
8-K
0000928953-17-000002.nc
Current report Includes: Material events, Director, Executive officer elections resignations, departures, Financial disclosures, Changes in control, etc.
Item
4.01 Accounting: Changes in Registrant's Certifying Accountant
9.01 Financial Statements and Exhibits
Period ending
Jan. 19, 2017
Preview. View filing ...
8-K
0001437749-17-000903.nc
Current report Includes: Material events, Director, Executive officer elections resignations, departures, Financial disclosures, Changes in control, etc.
Item
1.01 Business: Entry into a Material Definitive Agreement
3.02 Securities: Unregistered Sales of Equity Securities
7.01 Fair Disclosure: Regulation FD Disclosure
9.01 Financial Statements and Exhibits
Period ending
Jan. 17, 2017
Preview. View filing ...
D/A
0001315863-17-000055.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
Glen Point Global Macro Fund LP [ Limited Partnership ] Jurisdiction: DELAWARE
Related Persons
Greg Link [ Director ] [ Director of Glen Point General Partner Limited, Issuer's general partner (the "General Partner") ]
Nick Gaze [ Director ] [ Director of the General Partner ]
Victoria Parry [ Director ] [ Director of the General Partner ]
Industry
Pooled Investment Fund Hedge Fund
Offering Data
Agg net asset value range: Decline to Disclose
Date of first sale: 2016-02-01
[ Equity ] [ Pooled investment fund ]
Total offer
$ Indefinite
Total sold
$ 238,800,000
Total remaining
$ Indefinite
# investors
18 investors have already invested in this offering
Preview. View filing ...
13F-NT
0001615774-17-000195.nc XML (1)
Initial Quarterly Form 13F Notice Report filed by institutional managers
Period ending
Dec. 31, 2016
an hour ago ...
Filer
Calvert Variable Products, Inc.
Preview. View filing ...
497
0000940394-17-000089.nc XBRL XML (6)
Definitive materials - Filing of investment company prospectuses
an hour ago ...
Filer
DATA SYSTEMS INC /OR/
Form D persons
AMY MITCHELL
Signed By
Amy Mitchell
Preview. View filing ...
D
0001461859-17-000002.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
DATA SYSTEMS INC /OR/ [ Corporation ] Jurisdiction: OREGON
Related Persons
AMY MITCHELL [ Executive Officer ] [ TRUSTEE AND PLAN AGENT ]
Industry
Other
Offering Data
Revenue range: Decline to Disclose
Date of first sale: 2016-12-23
[ Equity ]
Total offer
$ 1,190,000
Total sold
$ 1,190,000
Total remaining
$ 0
# investors
1 investors have already invested in this offering
Preview. View filing ...
D/A
0001315863-17-000054.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
Glen Point Global Macro Fund Ltd [ Other a Cayman Islands exempted company] Jurisdiction: CAYMAN ISLANDS
Related Persons
Greg Link [ Director ]
Nick Gaze [ Director ]
Victoria Parry [ Director ]
Industry
Pooled Investment Fund Hedge Fund
Offering Data
Agg net asset value range: Decline to Disclose
Date of first sale: 2016-02-01
[ Equity ] [ Pooled investment fund ]
Total offer
$ Indefinite
Total sold
$ 1,230,233,514
Total remaining
$ Indefinite
# investors
69 investors have already invested in this offering
The number of investors and total amount sold may reflect U.S. and non-U.S. investors
an hour ago ...
Filed By
JPMORGAN CHASE & CO
Subject Company
TRIBUNE MEDIA CO
Preview. View filing ...
SC 13G/A
0000019617-17-000167.nc
Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and institutions
Preview. View filing ...
13F-HR
0001333709-17-000002.nc XML (2)
Initial Quarterly Form 13F Holdings report filed by institutional managers
Period ending
Dec. 31, 2016
Filing contains
52  rows of securities
Total Value
584.6 million
an hour ago ...
Filer
ASSET SECURITIZATION CORP
Preview. View filing ...
ABS-15G
0000891092-17-000422.nc
Asset-Backed Securitizer report : section 15
Item
1.02 Business: Termination of a Material Definitive Agreement
ABS class
Commercial mortgages .
Period starting
Jan. 2, 2017
Period ending
Dec. 31, 2016
an hour ago ...
Filer
NUVEEN STRATEGY FUNDS, INC.
Preview. View filing ...
485BPOS NSFI 
0001193125-17-013939.nc XBRL XML (6)
Post-effective amendment filed : Securities Act Rule 485
an hour ago ...
Filer
NUVEEN INVESTMENT TRUST II
Preview. View filing ...
485BPOS NIT2 
0001193125-17-013937.nc XBRL XML (6)
Post-effective amendment filed : Securities Act Rule 485
an hour ago ...
Filer
NUVEEN INVESTMENT TRUST
Preview. View filing ...
485BPOS NIT1 
0001193125-17-013934.nc XBRL XML (6)
Post-effective amendment filed : Securities Act Rule 485
an hour ago ...
Filer
PAPERWEIGHT DEVELOPMENT CORP
Preview. View filing ...
8-K
0001193125-17-013936.nc
Current report Includes: Material events, Director, Executive officer elections resignations, departures, Financial disclosures, Changes in control, etc.
Item
1.01 Business: Entry into a Material Definitive Agreement
9.01 Financial Statements and Exhibits
Period ending
Jan. 16, 2017
Preview. View filing ...
D
0001661361-17-000001.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
MedVet Associates, LLC [ Limited Liability Company ] Jurisdiction: OHIO
Related Persons
Eric R Schertel [ Executive Officer ] [ Director ]
Linda Lehmkuhl [ Executive Officer ] [ Director ]
David Kergosien [ Director ]
Peter G. Davies [ Director ]
David R. Meuse [ Director ]
Matthew Ebbel [ Director ]
Stephen Ley [ Executive Officer ] [ Director ]
Industry
Other
Offering Data
Revenue range: Decline to Disclose
Date of first sale: 2017-01-13
[ Equity ]
Total offer
$ 1,800,000
Total sold
$ 1,800,000
Total remaining
$ 0
# investors
14 investors have already invested in this offering
an hour ago ...
Issuer
ADVISORY BOARD CO ABCO
Reporting Owner
Miller Cormac F [ Officer, Chief Product Officer, ]
Signed By
Cormac F Miller by Seth A Allyn by Power of Attorney
Preview. View filing ...
4
0001209191-17-004767.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Jan. 18, 2017
Common Stock
[M : Exer. or conv. of deriv. security exempted] 750 shares x $16.58/sh Total owned: 18,237
Common Stock
[S : Open market or private sale] 750 shares x $40.53/sh Total owned: 17,487
Common Stock
Total owned: 3,499 [ By Spouse ]
Common Stock Options
[M : Exer. or conv. of deriv. security exempted] 750 shares x $0.00/sh Total owned: 4,500 [ Underlying Securities: Common Stock ] 750 shares
an hour ago ...
Filed By
JPMORGAN CHASE & CO
Subject Company
BRANDYWINE REALTY TRUST
Preview. View filing ...
SC 13G/A
0000019617-17-000165.nc
Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and institutions
an hour ago ...
Filer
O2MICRO INTERNATIONAL LTD
Preview. View filing ...
6-K
0001171843-17-000324.nc
Current report of foreign issuer / company : Rules 13a-16 and 15d-16 Amendments. Includes: Material Events ( International )
Period ending
Jan. 10, 2017
an hour ago ...
Filer
O2MICRO INTERNATIONAL LTD
Preview. View filing ...
6-K
0001171843-17-000323.nc
Current report of foreign issuer / company : Rules 13a-16 and 15d-16 Amendments. Includes: Material Events ( International )
Period ending
Jan. 4, 2017
an hour ago ...
Filer
O2MICRO INTERNATIONAL LTD
Preview. View filing ...
6-K
0001171843-17-000322.nc
Current report of foreign issuer / company : Rules 13a-16 and 15d-16 Amendments. Includes: Material Events ( International )
Period ending
Dec. 16, 2016
an hour ago ...
Filer
VFD Real Estate Partners, LLC
Form D persons
Anuj James
Signed By
Anuj James, DDS
Anuj James
Preview. View filing ...
D
0001695301-17-000001.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)
4a5 Federal Exemptions and Exclusions: Securities Act Section 4(a)(5)
Primary Issuer
VFD Real Estate Partners, LLC [ Limited Liability Company ] Jurisdiction: NORTH CAROLINA
Related Persons
Anuj James [ Executive Officer ] [ Manager ]
Industry
Commercial
Offering Data
Revenue range: Decline to Disclose
Date of first sale: 2017-01-03
[ Equity ]
Total offer
$ 740,000
Total sold
$ 740,000
Total remaining
$ 0
# investors
1 investors have already invested in this offering
an hour ago ...
Filed By
GS Finance Corp.
Subject Company
GS Finance Corp.
Preview. View filing ...
FWP
0001104659-17-003259.nc
Filing under Securities Act Rules 163/433 of free writing prospectus
an hour ago ...
Filer
PEMBINA PIPELINE CORP
Preview. View filing ...
6-K
0001279569-17-000101.nc
Current report of foreign issuer / company : Rules 13a-16 and 15d-16 Amendments. Includes: Material Events ( International )
Period ending
Jan. 20, 2017
an hour ago ...
Issuer
ZION OIL & GAS INC ZN
Reporting Owner
Scammahorn Gene [ Director, ]
Signed By
Tim Hill
Preview. View filing ...
5
0001562140-17-000001.nc XML (1)
Ownership: Annual statement of changes in beneficial ownership of securities. Insider trading. ( Directors, Officers, Significant Shareholders )
Period ending
Jan. 26, 2016
Common Stock
[P : Open market or private purchase] 29.762 shares x $1.68/sh Total owned: 140,743.76
Common Stock
[P : Open market or private purchase] 28.088 shares x $1.78/sh Total owned: 140,771.85
Common Stock
[P : Open market or private purchase] 27.473 shares x $1.82/sh Total owned: 140,799.32
Common Stock
[P : Open market or private purchase] 28.571 shares x $1.75/sh Total owned: 140,827.89
Common Stock
[P : Open market or private purchase] 31.056 shares x $1.61/sh Total owned: 140,858.95
Common Stock
[P : Open market or private purchase] 33.67 shares x $1.49/sh Total owned: 140,892.62
Common Stock
[P : Open market or private purchase] 33.898 shares x $1.48/sh Total owned: 140,926.52
Common Stock
[P : Open market or private purchase] 35.461 shares x $1.41/sh Total owned: 140,961.98
Common Stock
[P : Open market or private purchase] 37.879 shares x $1.32/sh Total owned: 140,999.86
Common Stock
[P : Open market or private purchase] 37.175 shares x $1.35/sh Total owned: 141,037.03
Common Stock
[P : Open market or private purchase] 35.587 shares x $1.41/sh Total owned: 141,072.62
Common Stock
[P : Open market or private purchase] 38.911 shares x $1.29/sh Total owned: 141,111.531
an hour ago ...
Filed By
GOLDMAN SACHS GROUP INC
Subject Company
GOLDMAN SACHS GROUP INC
Preview. View filing ...
FWP
0001104659-17-003258.nc
Filing under Securities Act Rules 163/433 of free writing prospectus
Preview. View filing ...
D/A
0000919574-17-000658.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
NEZU JAPAN FUND LTD. [ Other Cayman Islands Exempted Company] Jurisdiction: CAYMAN ISLANDS
Related Persons
Richard Kincaid [ Director ]
Tom Parsons [ Director ]
Vijayabalan Murugesu [ Director ]
David Mann [ Director ]
-- Nezu Asia Capital Management Limited [ Executive Officer ] [ Manager ]
Industry
Pooled Investment Fund Hedge Fund
Offering Data
Agg net asset value range: Decline to Disclose
Date of first sale: 2006-10-02
[ Equity ] [ Pooled investment fund ]
Total offer
$ Indefinite
Total sold
$ 3,331
Total remaining
$ Indefinite
# investors
1 investors have already invested in this offering
Preview. View filing ...
5
0001412665-17-000003.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 Stock
[G : Gift] 20,890 shares x $0/sh Total owned: 2,245,693 [ By self as trustee of the John M. Morrison Revocable Trust #4 ]
an hour ago ...
Filer
John Deere Owner Trust 2013-B
Preview. View filing ...
15-15D
0001104659-17-003257.nc
Notice of suspension of duty to file reports (Section 13 and 15)
an hour ago ...
Issuer
INPHI Corp IPHI
Reporting Owner
Torten Ron [ Officer, Sr. VP of Operations & IT, ]
Signed By
John Edmunds attorney-in-fact
Preview. View filing ...
4
0001437749-17-000902.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Jan. 18, 2017
Common Stock
[S : Open market or private sale] 6,421 shares x $46.7496/sh Total owned: 50,500
Preview. View filing ...
8-K/A
0001325814-17-000012.nc
Current report Includes: Material events, Director, Executive officer elections resignations, departures, Financial disclosures, Changes in control, etc.
Item
5.02 Governance: Departure/Appointment/Compensation Directors and Officers
Period ending
Nov. 8, 2016
Preview. View filing ...
13F-NT
0000950123-17-000317.nc XML (1)
Initial Quarterly Form 13F Notice Report filed by institutional managers
Period ending
Dec. 31, 2016
an hour ago ...
Filer
UNIFIED SERIES TRUST
Preview. View filing ...
40-17G
0001193125-17-013919.nc
Bond filed (Rule 17g1)
an hour ago ...
Issuer
ELLSWORTH GROWTH & INCOME FUND LTD ECF
Reporting Owner
Dinsmore James Andrew [ Director, ]
Signed By
James A Dinsmore
Preview. View filing ...
4
0001271163-17-000001.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Jan. 19, 2017
Common Shares
[P : Open market or private purchase] 600 shares x $8.5193/sh Total owned: 4,366.941
an hour ago ...
Issuer
Stone Harbor Emerging Markets Total Income Fund EDI
Reporting Owner
Torchia David A [ Other, Officer of Investment Adviser, ]
Signed By
David A Torchia
Preview. View filing ...
3
0001291802-17-000004.nc XML (1)
Ownership: Initial statement of beneficial ownership of securities. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Jan. 20, 2017
Ltst filing
spro