| Company Name |
Form Type |
SEC Filings |
|
|
|
|
JP MORGAN ACCESS MULTI-STRATEGY FUND LLC
|
NPORT-P
|
|
|
Cedarview Opportunities I, LP
|
D/A
|
|
|
Gray Pine Group LP
|
D/A
|
|
|
Hagan Mark Christopher
|
4
|
|
|
Horizon SATX Holdings, LLC
|
D
|
|
|
PUTNAM SUSTAINABLE LEADERS FUND
|
NPORT-P
|
|
|
CITIGROUP COMMERCIAL MORTGAGE TRUST 2019-GC41
|
ABS-EE
|
|
|
Systematic Holding D AB
|
D
|
|
|
Systematic Holding C AB
|
D
|
|
|
PIASECKI NICOLE WEYERHAEUSER
|
4
|
|
|
WEYERHAEUSER CO
|
4
|
Financial Statements
|
|
Schutte John
|
4
|
|
|
Stock Yards Bancorp, Inc.
|
4
|
Financial Statements
|
|
PUTNAM MASTER INTERMEDIATE INCOME TRUST
|
NPORT-P
|
|
|
PUTNAM CALIFORNIA TAX EXEMPT INCOME FUND
|
NPORT-P
|
|
|
BAB, INC.
|
10-K
|
|
|
Saunier Edwin S
|
4
|
|
|
CITIGROUP COMMERCIAL MORTGAGE TRUST 2018-C6
|
10-D
|
|
|
COASTAL CARIBBEAN OILS & MINERALS LTD
|
REVOKED
|
|
|
Lieser Brian
|
4
|
|
|
Tanimoto Sarina
|
144
|
|
|
ARS Pharmaceuticals, Inc.
|
144
|
Financial Statements
|
|
Priebe Stephen M
|
4
|
|
|
CITIGROUP COMMERCIAL MORTGAGE TRUST 2018-C6
|
ABS-EE
|
|
|
AJ WCSC FUND LLC
|
D/A
|
|
|
ALLSPRING FUNDS TRUST
|
497K
|
|
|
Bickel Paul J III
|
4
|
|
|
VALUED ADVISERS TRUST
|
CERT
|
|
|
CubeWorks, Inc.
|
D
|
|
|
BCM Scout International Ltd.
|
D/A
|
|
|
Tang Vance W
|
144
|
|
|
BENCHMARK 2018-B6 MORTGAGE TRUST
|
10-D
|
|
|
Federated Hermes Money Market Obligations Trust
|
485BPOS
|
|
|
Kerrisdale Long Only Fund, LP
|
D/A
|
|
|
STOCK SECURITIES LLC
|
X-17A-5
|
|
|
Lytus Technologies Holdings PTV. Ltd.
|
6-K
|
Financial Statements
|
|
BENCHMARK 2018-B6 MORTGAGE TRUST
|
ABS-EE
|
|
|
Ducere Global Business School, Inc.
|
C
|
|
|
VanEck Merk Gold Trust
|
FWP
|
|
|
WREN CAPITAL, LLC
|
X-17A-5
|
|
|
CITIGROUP COMMERCIAL MORTGAGE TRUST 2018-C5
|
10-D
|
|
|
Banerjee Madhumita Moina
|
4
|
|
|
JBG SMITH Properties
|
4
|
Financial Statements
|
|
TRxADE HEALTH, INC
|
SEC STAFF ACTION
|
|
|
Asymmetria Investors III, LLC - Elk Park Center
|
D/A
|
|
|
CITIGROUP COMMERCIAL MORTGAGE TRUST 2018-C5
|
ABS-EE
|
|
|
Adams Robbin B.
|
4
|
|
|
GEOSPACE TECHNOLOGIES CORP
|
4
|
Financial Statements
|
|
Reid Shannon B
|
4
|
|
|
SENGSTACK GREGG C
|
144
|
|
|
FRANKLIN ELECTRIC CO INC
|
144
|
Financial Statements
|
|
ShuntAware Technologies, Inc.
|
D
|
|
|
INVESTORS CORPORATE INCOME TRUST SERIES 1
|
N-CEN
|
|
|
DEBEL MARLENE
|
4
|
|
|
FIRST NATIONAL DUAL SERIES TAX EXEMPT BOND TRUST SERIES 3
|
N-CEN
|
|
|
FIRST TRUST EXCHANGE-TRADED FUND VI
|
NPORT-P
|
|
|
Warner Mark Andrew
|
4
|
|
|
SEI INVESTMENTS CO
|
4
|
Financial Statements
|
|
Principal Alternative Credit Rated Note Feeder Fund, LP
|
D
|
|
|
Wenick Mark J
|
4
|
|
|
FARMERS NATIONAL BANC CORP /OH/
|
4
|
Financial Statements
|
|
Iliad Research & Trading, L.P.
|
SC 13G/A
|
|
|
SHARING ECONOMY INTERNATIONAL INC.
|
SC 13G/A
|
|
|
Wallace Amber B
|
4
|
|
|
CITIGROUP COMMERCIAL MORTGAGE TRUST 2018-B2
|
10-D
|
|
|
Song Lianyue
|
3
|
|
|
Hartford Great Health Corp.
|
3
|
|
|
Shaffer Timothy F
|
4
|
|
|
BAGSHAW SETH H
|
4
|
|
|
MKS INSTRUMENTS INC
|
4
|
Financial Statements
|
|
Resonate Blends, Inc.
|
8-K
|
|
|
Matuszak Michael E
|
4
|
|
|
CITIGROUP COMMERCIAL MORTGAGE TRUST 2018-B2
|
ABS-EE
|
|
|
NATIONAL RURAL UTILITIES COOPERATIVE FINANCE CORP /DC/
|
424B3
|
|
|
Helmick Kevin J
|
4
|
|
|
FIRST TRUST EXCHANGE-TRADED FUND II
|
NPORT-P
|
|
|
BOROUGHS TIMOTHY ALAN
|
144
|
|
|
Chubb Ltd
|
144
|
Financial Statements
|
|
Lu Yuan
|
3
|
|
|
Adair Alan Troy
|
4
|
|
|
Walt Disney Co
|
DFAN14A
|
Financial Statements
|
|
TRIAN FUND MANAGEMENT, L.P.
|
DFAN14A
|
|
|
Lowenthal Richard E
|
144
|
|
|
Hicks Bradley W.
|
4
|
|
|
ROYAL BANK OF CANADA
|
424B2
|
Financial Statements
|
|
PRUDENTIAL INVESTMENT PORTFOLIOS 8
|
NPORT-P
|
|
|
FLAUGHER BRETT A
|
144
|
|
|
OLIN Corp
|
144
|
Financial Statements
|
|
STOCKBRIDGE FUND
|
D/A
|
|
|
St George Investments LLC
|
SC 13G/A
|
|
|
1PM Industries
|
SC 13G/A
|
|
|
MOORE DAN T III
|
4
|
|
|
PARK OHIO HOLDINGS CORP
|
4
|
Financial Statements
|
|
Premium Nickel Resources Ltd.
|
6-K
|
|
|
Projitech Inc.
|
D
|
|
|
PRUDENTIAL INVESTMENT PORTFOLIOS 12
|
NPORT-P
|
|
|
PRUDENTIAL INVESTMENT PORTFOLIOS, INC.
|
NPORT-P
|
|
|
PRUDENTIAL JENNISON SMALL CO FUND, INC.
|
NPORT-P
|
|
|
GRAMPA JOHN D
|
4
|
|
|
MACERICH CO
|
10-K
|
Financial Statements
|
|
AQR Funds
|
N-CSR
|
|
|
CathBuddy, Inc.
|
D/A
|
|
|
BENCHMARK 2018-B3 COMMERCIAL MORTGAGE TRUST
|
10-D
|
|
|
Hudbay Minerals Inc.
|
6-K
|
Financial Statements
|
|
TAX EXEMPT TRUSTS FOR VARIOUS STATE RESIDENTS /DE/
|
N-CEN
|
|
|
INVESTOR MUNICIPAL YIELD TRUST SERIES 1
|
N-CEN
|
|
|
BENCHMARK 2018-B3 COMMERCIAL MORTGAGE TRUST
|
ABS-EE
|
|
|
Northern Lights Fund Trust
|
NPORT-P
|
|
|
NORTHERN LIGHTS FUND TRUST III
|
NPORT-P
|
|
|
Alternative Strategies Income Fund
|
NPORT-P
|
|
|
SPROTT FOCUS TRUST INC.
|
NPORT-P
|
|
|
CLS Holdings USA, Inc.
|
8-K
|
|
|
AULETTA PATRICK V
|
4
|
|
|
BANK OF NEW YORK / ADR DIVISION
|
F-6EF
|
|
|
L AIR LIQUIDE SA /FI
|
F-6EF
|
|
|
Columbia Funds Variable Series Trust II
|
NPORT-P
|
|
|
WANGER ADVISORS TRUST
|
NPORT-P
|
|
|
COLUMBIA FUNDS VARIABLE INSURANCE TRUST
|
NPORT-P
|
|
|
COLUMBIA FUNDS SERIES TRUST I
|
NPORT-P
|
|
|
TRI-CONTINENTAL CORP
|
NPORT-P
|
Financial Statements
|
|
COLUMBIA FUNDS SERIES TRUST
|
NPORT-P
|
|
|
Columbia Seligman Premium Technology Growth Fund, Inc.
|
NPORT-P
|
|
|
Columbia ETF Trust II
|
NPORT-P
|
|
|
COLUMBIA ACORN TRUST
|
NPORT-P
|
|
|
Columbia ETF Trust I
|
NPORT-P
|
|
|
CANADIAN IMPERIAL BANK OF COMMERCE /CAN/
|
424B5
|
Financial Statements
|
|
ID-1031 Fund II, a series of AX-RN-Funds, LP
|
D
|
|
|
RENAISSANCE CAPITAL GREENWICH FUNDS
|
NPORT-P
|
|
|
Stockbridge Fund, L.P.
|
D/A
|
|
|
CHESTNUT STREET EXCHANGE FUND
|
NPORT-P
|
|
|
CardioGenics Holdings Inc.
|
SC 13G/A
|
|
|
Blunt Matt
|
144
|
|
|
COPART INC
|
144
|
Financial Statements
|
|
ALTSHULER DAVID
|
144
|
|
|
PC GA GP Holdings, LLC
|
D
|
|
|
MASSMUTUAL SELECT FUNDS
|
NPORT-P
|
|
|
Jackson Todd
|
3
|
|
|
DZS INC.
|
3
|
Financial Statements
|
|
Gaug Joseph M
|
4
|
|
|
Cho Yun Sung
|
4
|
|
|
ARROW ELECTRONICS, INC.
|
4
|
Financial Statements
|
|
JPMorgan Chase Financial Co. LLC
|
FWP
|
|
|
NORTHERN INSTITUTIONAL FUNDS
|
24F-2NT
|
|
|
JPMORGAN CHASE & CO
|
FWP
|
Financial Statements
|
|
Barings Private Equity Opportunities & Commitments Fund
|
NPORT-P
|
|
|
Harwell Gregory N
|
4
|
|
|
McCarvill Alice
|
4
|
|
|
Squash the Beef, LLC
|
C/A
|
|
|
CITIGROUP COMMERCIAL MORTGAGE TRUST 2017-C4
|
10-D
|
|
|
T. Rowe Price Fixed Income Series, Inc.
|
485APOS
|
|
|
T. Rowe Price International Series, Inc.
|
485APOS
|
|
|
CITIGROUP COMMERCIAL MORTGAGE TRUST 2017-C4
|
ABS-EE
|
|
|
T. Rowe Price Equity Series, Inc.
|
485APOS
|
|
|
Halftermeyer Daniel A
|
4
|
|
|
HSBC HOLDINGS PLC
|
424B2
|
Financial Statements
|
|
WESTPORT FUEL SYSTEMS INC.
|
6-K
|
Financial Statements
|
|
APPYEA, INC
|
424B3
|
|
|
Kleveland Gunnar
|
4
|
|
|
FLUHLER STEPHAN
|
144
|
|
|
FIRST MERCHANTS CORP
|
144
|
Financial Statements
|
|
Vor Private Opportunities SPC - Segregated Portfolio Two
|
D
|
|
|
Invesco Unit Trusts Taxable Income Series 630
|
485BPOS
|
|
|
NORTHERN FUNDS
|
NPORT-P
|
|
|
Invesco Unit Trusts Taxable Income Series 589
|
485BPOS
|
|
|
Managed Portfolio Series
|
NPORT-P
|
|
|
Invesco Unit Trusts Taxable Income Series 575
|
485BPOS
|
|
|
Tatsis Ourania
|
144
|
|
|
Oswald Stephen G
|
144
|
|
|
DUCOMMUN INC /DE/
|
144
|
Financial Statements
|
|
Invesco Unit Trusts Taxable Income Series 537
|
485BPOS
|
|
|
CABRERA CAPITAL MARKETS, LLC
|
X-17A-5
|
|
|
ALPS Variable Investment Trust
|
NPORT-P
|
|
|
Invesco Unit Trusts Taxable Income Series 536
|
485BPOS
|
|
|
Invesco Unit Trusts Taxable Income Series 534
|
485BPOS
|
|
|
Alternative Investment Partners Absolute Return Fund
|
SC TO-I
|
|
|
Invesco Unit Trusts Taxable Income Series 488
|
485BPOS
|
|
|
STATE STREET VARIABLE INSURANCE SERIES FUNDS INC
|
N-CSR
|
|
|
FIDELITY SCHOOL STREET TRUST
|
485BPOS
|
|
|
CITIGROUP COMMERCIAL MORTGAGE TRUST 2016-P6
|
10-D
|
|
|
P2G4CCI, LLC
|
D
|
|
|
Alternative Investment Partners Absolute Return Fund STS
|
SC TO-I
|
|
|
SRO CAPITAL FUND, L.P.
|
D/A
|
|
|
Invesco Unit Trusts Taxable Income Series 485
|
485BPOS
|
|
|
Invesco Unit Trusts Taxable Income Series 459
|
485BPOS
|
|
|
Invesco Unit Trusts Taxable Income Series 458
|
485BPOS
|
|
|
CITIGROUP COMMERCIAL MORTGAGE TRUST 2016-P6
|
ABS-EE
|
|
|
Invesco Unit Trusts Taxable Income Series 432
|
485BPOS
|
|
|
Invesco Unit Trusts Taxable Income Series 429
|
485BPOS
|
|
|
Lafayette Square Holding Company, LLC
|
D
|
|
|
Van Kampen Unit Trusts Taxable Income Series 428
|
485BPOS
|
|
|
Van Kampen Unit Trusts Taxable Income Series 427
|
485BPOS
|
|
|
Van Kampen Unit Trusts Taxable Income Series 426
|
485BPOS
|
|
|
BLACKROCK ALLOCATION TARGET SHARES
|
485BXT
|
|
|
Ganges Winchester LLC
|
D
|
|
|
Van Kampen Unit Trusts Taxable Income Series 422
|
485BPOS
|
|
|
Krane Funds Advisors LLC
|
13F-HR/A
|
|
|
FIDELITY HASTINGS STREET TRUST
|
485BPOS
|
|
|
Van Kampen Unit Trusts Taxable Income Series 421
|
485BPOS
|
|
|
Van Kampen Unit Trusts Taxable Income Series 362
|
485BPOS
|
|
|
Securian Funds Trust
|
NPORT-P
|
|
|
Alternative Investment Partners Absolute Return Fund
|
SC TO-I/A
|
|
|
Van Kampen Unit Trusts Taxable Income Series 361
|
485BPOS
|
|
|
Che Austin
|
144
|
|
|
Ginkgo Bioworks Holdings, Inc.
|
144
|
|
|
Van Kampen Unit Trusts Taxable Income Series 360
|
485BPOS
|
|
|
FIDELITY COVINGTON TRUST
|
485BPOS
|
|
|
Van Kampen Unit Trusts Taxable Income Series 356
|
485BPOS
|
|
|
Piedmont Lithium Inc.
|
8-K/A
|
Financial Statements
|
|
Alternative Investment Partners Absolute Return Fund STS
|
SC TO-I/A
|
|
|
Van Kampen Unit Trusts Taxable Income Series 355
|
485BPOS
|
|
|
Van Kampen Unit Trusts Taxable Income Series 338
|
485BPOS
|
|
|
CITIGROUP COMMERCIAL MORTGAGE TRUST 2016-P5
|
10-D
|
|
|
VAN KAMPEN FOCUS PORTFOLIOS TAXABLE INCOME SERIES 23
|
485BPOS
|
|
|
VAN KAMPEN FOCUS PORTFOLIOS TAXABLE INCOME SERIES 21
|
485BPOS
|
|
|
Invesco Unit Trusts, Municipal Series 1361
|
485BPOS
|
|
|
Invesco Unit Trusts, Municipal Series 1360
|
485BPOS
|
|
|
FIDELITY MUNICIPAL TRUST
|
485BPOS
|
|
|
TIFIN atWork Inc.
|
D
|
|
|
Invesco Unit Trusts, Municipal Series 1357
|
485BPOS
|
|
|
Invesco Unit Trusts, Municipal Series 1352
|
485BPOS
|
|
|
Ecofin Tax-Exempt Private Credit Fund, Inc.
|
NPORT-P
|
|
|
AGC KSLCP VI, LLC
|
D/A
|
|
|
Invesco Unit Trusts, Municipal Series 1343
|
485BPOS
|
|
|
Invesco Unit Trusts, Municipal Series 1330
|
485BPOS
|
|
|
Plainview Funds PLC - MacKay Shields Emerging Markets Debt Portfolio
|
D/A
|
|
|
CITIGROUP COMMERCIAL MORTGAGE TRUST 2016-P4
|
10-D
|
|
|
Invesco Unit Trusts, Municipal Series 1307
|
485BPOS
|
|
|
Invesco Unit Trusts, Municipal Series 1302
|
485BPOS
|
|
|
Invesco Unit Trusts, Municipal Series 1249
|
485BPOS
|
|
|
FIDELITY TREND FUND
|
485BPOS
|
|
|
Sachdev Amit
|
144
|
|
|
Van Kampen Unit Trusts, Municipal Series 1120
|
485BPOS
|
|
|
Turpen John G
|
4
|
|
|
Independent Bank Group, Inc.
|
4
|
Financial Statements
|
|
Citigroup Commercial Mortgage Trust 2016-GC37
|
10-D
|
|
|
Tippit James P
|
4
|
|
|
Electra Battery Materials Corp
|
6-K
|
|
|
Montgomery Brenda K
|
4
|
|
|
FIDELITY ADVISOR SERIES I
|
485BPOS
|
|
|
Langdale Paul B
|
4
|
|
|
FIDELITY SUMMER STREET TRUST
|
485BPOS
|
|
|
Hobbs Michael B
|
4
|
|
|
COMMONWEALTH ADVISORS, INC.
|
X-17A-5
|
|
|
FIDELITY ADVISOR SERIES II
|
485BPOS
|
|
|
Brooks Daniel W
|
4
|
|
|
FIDELITY SALEM STREET TRUST
|
485BPOS
|
|
|
CITIGROUP COMMERCIAL MORTGAGE TRUST 2016-C2
|
10-D
|
|
|
Brooks David R
|
4
|
|
|
Stillwell Mary-Lee
|
4
|
|
|
VERIZON COMMUNICATIONS INC
|
4
|
Financial Statements
|
|
Venkatesh Vandana
|
4
|
|
|
Skiadas Anthony T
|
4
|
|
|
AMD CAPITAL, LLC
|
X-17A-5
|
|
|
LIXTE BIOTECHNOLOGY HOLDINGS, INC.
|
8-K
|
|
|
Silliman Craig L.
|
4
|
|
|
Sampath Sowmyanarayan
|
4
|
|
|
Russo Joseph J.
|
4
|
|
|
David Shay
|
4
|
|
|
KALTURA INC
|
4
|
Financial Statements
|
|
Hammock Samantha
|
4
|
|
|
Malady Kyle
|
4
|
|
|
PROGRESSIVE CORP/OH/
|
10-K
|
Financial Statements
|
|
Theophilus Nicole B
|
4
|
|
|
WESTINGHOUSE AIR BRAKE TECHNOLOGIES CORP
|
4
|
Financial Statements
|
|
Vestberg Hans Erik
|
4
|
|
|
Citigroup Commercial Mortgage Trust 2016-C1
|
10-D
|
|
|
Atkinson Edward Morrow III
|
144
|
|
|
W Funds, LP - D3
|
D/A
|
|
|
OBSIDIAN ENERGY LTD.
|
6-K
|
Financial Statements
|
|
Two Roads Shared Trust
|
NPORT-P
|
|
|
Vericimetry Funds
|
NPORT-P
|
|
|
Biguet Stephane
|
144
|
|
|
SCHLUMBERGER LIMITED/NV
|
144
|
Financial Statements
|
|
Citigroup Commercial Mortgage Trust 2015-GC35
|
10-D
|
|
|
BOYAR VALUE FUND INC
|
NPORT-P
|
|
|
Cowen Financial Products LLC
|
SC 13G/A
|
|
|
Stoke Therapeutics, Inc.
|
SC 13G/A
|
Financial Statements
|
|
Cowen Financial Products LLC
|
SC 13G
|
|
|
Stoke Therapeutics, Inc.
|
SC 13G
|
Financial Statements
|
|
SCHWAB STRATEGIC TRUST
|
NPORT-P
|
|
|
Citigroup Commercial Mortgage Trust 2015-GC33
|
10-D
|
|
|
DC Super Home Services, LLC
|
D
|
|
|
RENAISSANCE MACRO SECURITIES, LLC
|
X-17A-5
|
|
|
Nationwide VLI Separate Account-7
|
497
|
|
|
TRUST FOR PROFESSIONAL MANAGERS
|
NPORT-P
|
|
|
Draft Ventures II, LP - D2
|
D/A
|
|
|
Reverberi Francesca
|
4
|
|
|
Avery Dennison Corp
|
4
|
Financial Statements
|
|
Citigroup Commercial Mortgage Trust 2015-GC31
|
10-D
|
|
|
KRIPITZ JEFFREY H
|
4
|
|
|
PARKE BANCORP, INC.
|
4
|
Financial Statements
|
|
AltAlpha Abacorum Fund, a sub-fund of AltAlpha Strategies SICAV plc
|
D/A
|
|
|
SCHWAB CAPITAL TRUST
|
NPORT-P
|
|
|
SCHWAB ANNUITY PORTFOLIOS
|
NPORT-P
|
|
|
LAUDUS TRUST
|
NPORT-P
|
|
|
Octagon XAI CLO Income Fund
|
3
|
|
|
Cupps Danielle
|
3
|
|
|
Citigroup Commercial Mortgage Trust 2015-GC29
|
10-D
|
|
|
SO-0115 Fund I, a series of MV Funds, LP
|
D
|
|
|
Abundance Asset Management LP
|
D/A
|
|
