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Latest SEC Filings

SEC filings are financial statements and other formal documents submitted to the U.S. Securities and Exchange Commission. Public companies, certain insiders, and broker-dealers are required to make regular SEC filings. Investors and financial professionals rely on these filings for information about companies they are evaluating for investment purposes.

DateFilerForm TypeView
12/23/2024
9:52 AM
Retractable Technologies (RVP) (Issuer)
SHAW THOMAS J (Reporting)
Form 4
Statement of changes in beneficial ownership of securities  
12/23/2024
9:52 AM
HSBC USA INC /MD/ (Filer)
Form 424B2
Transaction specifc information for a delayed shelf offering
12/23/2024
9:51 AM
NordHavn Ventures II, LLC (Filer)
Form D
Notice of Exempt Offering of Securities 
12/23/2024
9:51 AM
ROE Investment Management Capital Partners, LP (Filer)
Form D
Notice of Exempt Offering of Securities 
12/23/2024
9:51 AM
Nuveen New Jersey Quality Municipal Income Fund (NXJ) (Issuer)
Saba Capital Management, L.P. (Reporting)
Weinstein Boaz (Reporting)
Form 4
Statement of changes in beneficial ownership of securities  
12/23/2024
9:51 AM
Daimler Trucks Retail Trust 2023-1 (Filer)
Form 10-D
Asset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934  
12/23/2024
9:51 AM
Audax Credit BDC Inc. (Filer)
Form 8-K
Current report pursuant to Section 13 or 15(d)  
12/23/2024
9:50 AM
Senior Debt Portfolio (Filer)
Form NPORT-P
Monthly Portfolio Investments Report on Form NPORT
12/23/2024
9:50 AM
Silver Storm Mining Ltd. (Filer)
Form D
Notice of Exempt Offering of Securities 
12/23/2024
9:49 AM
Royal Bank of Canada (RY) (Filer)
Form 424B2
Transaction specifc information for a delayed shelf offering
12/23/2024
9:49 AM
General Mills (GIS) (Issuer)
MORIKIS JOHN G (Reporting)
Form 4
Statement of changes in beneficial ownership of securities  
12/23/2024
9:48 AM
Daimler Trucks Retail Trust 2022-1 (Filer)
Form 10-D
Asset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934  
12/23/2024
9:47 AM
Nester Paul W (Reporting)
RGC Resources (RGCO) (Issuer)
Form 4
Statement of changes in beneficial ownership of securities  
12/23/2024
9:47 AM
Corkrean John J (Reporting)
H.B. Fuller (FUL) (Issuer)
Form 4
Statement of changes in beneficial ownership of securities  
12/23/2024
9:47 AM
Campe Heather (Reporting)
H.B. Fuller (FUL) (Issuer)
Form 4
Statement of changes in beneficial ownership of securities  
12/23/2024
9:46 AM
RM Opportunity Trust (Filer)
Form 485BPOS
Post-effective amendment filed pursuant to Securities Act Rule 485(b)
12/23/2024
9:46 AM
SUREPASS ID INC. (Filer)
Form D
Notice of Exempt Offering of Securities 
12/23/2024
9:46 AM
Bank of Montreal (BMO) (Subject)
Form FWP
12/23/2024
9:45 AM
BARCLAYS BANK PLC (Filer)
Form 424B2
Transaction specifc information for a delayed shelf offering
12/23/2024
9:45 AM
PIMCO Aviation Income Partners II, L.P. (Filer)
Form D/A
12/23/2024
9:44 AM
GS Mortgage Securities Trust 2019-GC39 (Filer)
Form 10-D
Asset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934  
12/23/2024
9:44 AM
Everywhere Communications, Inc. (Filer)
Form D
Notice of Exempt Offering of Securities 
12/23/2024
9:44 AM
AltEnergy Acquisition (AEAE) (Filer)
AltEnergy Acquisition (AEAEU) (Filer)
AltEnergy Acquisition (AEAEW) (Filer)
Form 8-K
Current report pursuant to Section 13 or 15(d)  
12/23/2024
9:43 AM
NewtekOne (NEWT) (Issuer)
NewtekOne, Inc. 8.00% Fixed Rate Senior Notes due 2028 (NEWTI) (Issuer)
Newtek Business Services (NEWTL) (Issuer)
Newtek Business Services Corp. 5.50% Notes Due 2026 (NEWTZ) (Issuer)
SLOANE BARRY (Reporting)
Form 4
Statement of changes in beneficial ownership of securities  
12/23/2024
9:43 AM
Universal Security Instruments (UUU) (Filer)
Form DEFM14A
12/23/2024
9:42 AM
GS Mortgage Securities Trust 2019-GC39 (Filer)
Form ABS-EE
Form for Submission of Electronic Exhibits for Asset-Backed Securities  
12/23/2024
9:42 AM
Hypha Labs (DIGP) (Filer)
Form DEF 14C
12/23/2024
9:42 AM
Eaton Vance Growth Trust (Filer)
Form 485BPOS
Post-effective amendment filed pursuant to Securities Act Rule 485(b)
12/23/2024
9:42 AM
Gaingels Exostellar LLC (Filer)
Form D
Notice of Exempt Offering of Securities 
12/23/2024
9:41 AM
LEGG MASON PARTNERS MONEY MARKET TRUST (Filer)
Form 485BPOS
Post-effective amendment filed pursuant to Securities Act Rule 485(b)
12/23/2024
9:41 AM
PropertyGuru Group (PGRU) (Filer)
Form 15-12G
12/23/2024
9:40 AM
JPMorgan Chase & Co. (JPM) (Filer)
JPMorgan Chase & Co. (JPM.PRM) (Filer)
JPMorgan Chase Financial Co. LLC (Filer)
Form 424B3
12/23/2024
9:39 AM
Royal Bank of Canada (RY) (Filer)
Form 424B2
Transaction specifc information for a delayed shelf offering
12/23/2024
9:38 AM
SCHWAB STRATEGIC TRUST (Filer)
Form 497J
Certification of no change in definitive materials under paragraph (j) of Securities Act Rule 497
12/23/2024
9:38 AM
Federated Hermes Money Market Obligations Trust (Filer)
Form 497K
Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)
12/23/2024
9:38 AM
JPMorgan Chase & Co. (JPM) (Filer)
JPMorgan Chase & Co. (JPM.PRM) (Filer)
JPMorgan Chase Financial Co. LLC (Filer)
Form 424B2
Transaction specifc information for a delayed shelf offering
12/23/2024
9:37 AM
Federal Home Loan Bank of Cincinnati (Filer)
Form 8-K/A
12/23/2024
9:36 AM
SCHWAB INVESTMENTS (Filer)
Form 497J
Certification of no change in definitive materials under paragraph (j) of Securities Act Rule 497
12/23/2024
9:36 AM
PIMCO Energy and Tactical Credit Opportunities Fund (NRGX) (Issuer)
PIMCO Dynamic Income Strategy Fund (PDX) (Issuer)
Saba Capital Management, L.P. (Reporting)
Weinstein Boaz (Reporting)
Form 4
Statement of changes in beneficial ownership of securities  
12/23/2024
9:35 AM
ALLSPRING FUNDS TRUST (Filer)
Form 485BPOS
Post-effective amendment filed pursuant to Securities Act Rule 485(b)
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12/23/2024
9:35 AM
Federated Hermes Money Market Obligations Trust (Filer)
Form 497K
Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)
12/23/2024
9:34 AM
BULLFINCH FUND INC (Filer)
Form N-CEN
Annual Report for Registered Investment Companies
12/23/2024
9:34 AM
Dr. Carlos Alarid PsyD, Psychological Services, Inc. (Filer)
Form D
Notice of Exempt Offering of Securities 
12/23/2024
9:33 AM
Federated Hermes Money Market Obligations Trust (Filer)
Form 497K
Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)
12/23/2024
9:32 AM
Federated Hermes Money Market Obligations Trust (Filer)
Form 497K
Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)
12/23/2024
9:31 AM
Bank of Nova Scotia (BNS) (Filer)
Form 424B2
Transaction specifc information for a delayed shelf offering
12/23/2024
9:31 AM
BULLFINCH FUND INC (Filer)
Form N-CSR
Certified shareholder report of registered management investment companies  
12/23/2024
9:31 AM
Capitol Series Trust (Filer)
Form 24F-2NT
Rule 24F-2 notice filed on Form 24F-2
12/23/2024
9:31 AM
EquityZen Growth Technology Fund LLC - Series 1977 (Filer)
Form D
Notice of Exempt Offering of Securities 
12/23/2024
9:31 AM
Healthcare Trust of America (HTA) (Subject)
Wilson Julie F. (Reporting)
Form 144
Notice of proposed sale of securities pursuant to Rule 144  
12/23/2024
9:31 AM
Greif (GEF) (Filer)
Greif (GEF-B) (Filer)
Form 10-K
Annual report pursuant to Section 13 or 15(d)  
12/23/2024
9:31 AM
PHX Minerals (PHX) (Issuer)
True Chad (Reporting)
Form 4
Statement of changes in beneficial ownership of securities  
12/23/2024
9:30 AM
HSBC USA INC /MD/ (Subject)
Form FWP
12/23/2024
9:30 AM
Silchester International Investors International Value Equity Group Trust (Filer)
Form D/A
12/23/2024
9:29 AM
UBS AG (Filer)
Form 424B2
Transaction specifc information for a delayed shelf offering
12/23/2024
9:29 AM
Federated Hermes Money Market Obligations Trust (Filer)
Form 497K
Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)
12/23/2024
9:29 AM
D'Amico Raphael (Reporting)
PHX Minerals (PHX) (Issuer)
Form 4
Statement of changes in beneficial ownership of securities  
12/23/2024
9:29 AM
GS Mortgage Securities Trust 2019-GC38 (Filer)
Form 10-D
Asset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934  
12/23/2024
9:28 AM
PHX Minerals (PHX) (Issuer)
STEPHENS CHAD L (Reporting)
Form 4
Statement of changes in beneficial ownership of securities  
12/23/2024
9:28 AM
Federated Hermes Money Market Obligations Trust (Filer)
Form 497K
Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)
12/23/2024
9:28 AM
1290 Funds (Filer)
Form NPORT-P
Monthly Portfolio Investments Report on Form NPORT
12/23/2024
9:28 AM
Lianluo Smart (LLIT) (Subject)
Newegg Commerce (NEGG) (Subject)
Yang Yingmei (Reporting)
Form 144
Notice of proposed sale of securities pursuant to Rule 144  
12/23/2024
9:28 AM
LEGG MASON PARTNERS INSTITUTIONAL TRUST (Filer)
Form 485BPOS
Post-effective amendment filed pursuant to Securities Act Rule 485(b)
12/23/2024
9:27 AM
SHORT-TERM INVESTMENTS TRUST (Filer)
Form 497J
Certification of no change in definitive materials under paragraph (j) of Securities Act Rule 497
12/23/2024
9:27 AM
GS Mortgage Securities Trust 2019-GC38 (Filer)
Form ABS-EE
Form for Submission of Electronic Exhibits for Asset-Backed Securities  
12/23/2024
9:27 AM
Brunet Craig Jeffry (Reporting)
NewtekOne (NEWT) (Issuer)
NewtekOne, Inc. 8.00% Fixed Rate Senior Notes due 2028 (NEWTI) (Issuer)
Newtek Business Services (NEWTL) (Issuer)
Newtek Business Services Corp. 5.50% Notes Due 2026 (NEWTZ) (Issuer)
Form 4
Statement of changes in beneficial ownership of securities  
12/23/2024
9:27 AM
1290 Funds (Filer)
Form NPORT-P
Monthly Portfolio Investments Report on Form NPORT
12/23/2024
9:27 AM
1290 Funds (Filer)
Form NPORT-P
Monthly Portfolio Investments Report on Form NPORT
12/23/2024
9:27 AM
1290 Funds (Filer)
Form NPORT-P
Monthly Portfolio Investments Report on Form NPORT
12/23/2024
9:27 AM
1290 Funds (Filer)
Form NPORT-P
Monthly Portfolio Investments Report on Form NPORT
12/23/2024
9:27 AM
1290 Funds (Filer)
Form NPORT-P
Monthly Portfolio Investments Report on Form NPORT
12/23/2024
9:27 AM
1290 Funds (Filer)
Form NPORT-P
Monthly Portfolio Investments Report on Form NPORT
12/23/2024
9:27 AM
1290 Funds (Filer)
Form NPORT-P
Monthly Portfolio Investments Report on Form NPORT
12/23/2024
9:27 AM
1290 Funds (Filer)
Form NPORT-P
Monthly Portfolio Investments Report on Form NPORT
12/23/2024
9:27 AM
1290 Funds (Filer)
Form NPORT-P
Monthly Portfolio Investments Report on Form NPORT
12/23/2024
9:27 AM
1290 Funds (Filer)
Form NPORT-P
Monthly Portfolio Investments Report on Form NPORT
12/23/2024
9:27 AM
1290 Funds (Filer)
Form NPORT-P
Monthly Portfolio Investments Report on Form NPORT
12/23/2024
9:27 AM
1290 Funds (Filer)
Form NPORT-P
Monthly Portfolio Investments Report on Form NPORT
12/23/2024
9:27 AM
1290 Funds (Filer)
Form NPORT-P
Monthly Portfolio Investments Report on Form NPORT
12/23/2024
9:27 AM
1290 Funds (Filer)
Form NPORT-P
Monthly Portfolio Investments Report on Form NPORT
12/23/2024
9:27 AM
1290 Funds (Filer)
Form NPORT-P
Monthly Portfolio Investments Report on Form NPORT
12/23/2024
9:27 AM
Federated Hermes Money Market Obligations Trust (Filer)
Form 497K
Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)
12/23/2024
9:26 AM
UBS AG (Filer)
Form 424B2
Transaction specifc information for a delayed shelf offering
12/23/2024
9:26 AM
Silchester International Investors International Value Equity Exclusion Trust (Filer)
Form D/A
12/23/2024
9:24 AM
Federated Hermes Money Market Obligations Trust (Filer)
Form 497K
Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)
12/23/2024
9:24 AM
Federated Hermes Money Market Obligations Trust (Filer)
Form 497K
Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)
12/23/2024
9:24 AM
Greif (GEF) (Issuer)
Greif (GEF-B) (Issuer)
ROSE B ANDREW (Reporting)
Form 4
Statement of changes in beneficial ownership of securities  
12/23/2024
9:24 AM
MFP INVESTORS LLC (Reporting)
MFP PARTNERS LP (Reporting)
Price Jennifer C. (Reporting)
S&W Seed (SANW) (Issuer)
Form 4
Statement of changes in beneficial ownership of securities  
12/23/2024
9:24 AM
Silchester International Investors International Value Equity Trust (Filer)
Form D/A
12/23/2024
9:23 AM
Bank of Nova Scotia (BNS) (Filer)
Form 424B2
Transaction specifc information for a delayed shelf offering
Crypto’s hidden gem + greatest crypto bull run in history = $$$? (Ad)

You don’t actually want to buy Bitcoin this time around. That’s because there’s a better way to take advantage of this new bull market… One market expert calls it Crypto’s Hidden Gem And it’s a new way that has given folks like you and me the chance to see bigger and faster moves than the traditional way of buying Bitcoin… That means if you’ve stayed away from Bitcoin and crypto because it's confusing or seems risky… This is a much safer and better approach to ride this years’ crypto bull run. Because believe it or not… The 2024 crypto bull run is one you DON’T want to miss.

Click Here to get the full details about Crypto’s Hidden Gem
12/23/2024
9:22 AM
Still Lake Value Partners, LP (Filer)
Form D/A
12/23/2024
9:22 AM
Federated Hermes Money Market Obligations Trust (Filer)
Form 497K
Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)
12/23/2024
9:22 AM
AMERICAN CENTURY INTERNATIONAL BOND FUNDS (Filer)
Form N-CSR
Certified shareholder report of registered management investment companies  
12/23/2024
9:22 AM
Eaton Vance New York Municipal Bond Fund (ENX) (Issuer)
Form 4
Statement of changes in beneficial ownership of securities  

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SEC Filings and Trading Data