| Company Name |
Form Type |
SEC Filings |
|
|
|
|
ORVILLE JACOB A
|
144
|
|
|
SIT MUTUAL FUNDS INC
|
40-24B2
|
|
|
SIT U S GOVERNMENT SECURITIES FUND INC
|
40-24B2
|
|
|
SIT MUTUAL FUNDS II INC
|
40-24B2
|
|
|
SIT MID CAP GROWTH FUND INC
|
40-24B2
|
|
|
SIT LARGE CAP GROWTH FUND INC
|
40-24B2
|
|
|
Whitten Marc
|
4
|
|
|
Unity Software Inc.
|
4
|
Financial Statements
|
|
Soriano Lidio
|
4
|
|
|
Brooks Oliver W
|
4/A
|
|
|
PRUDENTIAL SERIES FUND
|
N-CSR
|
|
|
LORD ABBETT INVESTMENT TRUST
|
24F-2NT
|
|
|
Alpha Intelligence Enterprises Ltd.
|
SC 13G
|
|
|
Apollomics Inc.
|
SC 13G
|
|
|
Bennett Kelly Gean
|
4/A
|
|
|
NH INVESTMENT & SECURITIES AMERICA, INC.
|
X-17A-5
|
|
|
Coleman-Tio Jose R.
|
4
|
|
|
The Felix
|
4
|
|
|
BAR ROSELYN R
|
4/A
|
|
|
TRUST FOR PROFESSIONAL MANAGERS
|
NPORT-P
|
|
|
Garcia Jorge J.
|
4
|
|
|
Baranick Brian
|
144
|
|
|
Visoso Luis Felipe
|
4
|
|
|
PARK WEST PARTNERS LP
|
D/A
|
|
|
FERRER JAVIER D.
|
4
|
|
|
STEM, INC.
|
144
|
|
|
Carrington John Eugene
|
144
|
|
|
Gupta Anirma
|
4
|
|
|
KADANT INC
|
10-K
|
Financial Statements
|
|
Nuveen Multi-Asset Income Fund
|
NPORT-P
|
|
|
Cartwright Stacey
|
144
|
|
|
ALVAREZ IGNACIO
|
4
|
|
|
AerCap Holdings N.V.
|
144
|
Financial Statements
|
|
Nuveen Global High Income Fund
|
NPORT-P
|
|
|
Capitol Series Trust
|
485BPOS
|
|
|
Latour Trading LLC
|
X-17A-5
|
|
|
Whitehurst James M
|
4
|
|
|
MONZON GILBERTO
|
4
|
|
|
ADAMS ROBERT G
|
4
|
|
|
MOWBRAY DONALD F
|
4
|
|
|
SONO TEK CORP
|
4
|
|
|
HORACE MANN INVESTORS, INC.
|
X-17A-5
|
|
|
Barrysmith Mark
|
4
|
|
|
SEPULVEDA ELI
|
4
|
|
|
TIAA-CREF LIFE FUNDS
|
NPORT-P
|
|
|
Carpenter Carol W.
|
4
|
|
|
NEGRON EDUARDO J.
|
4
|
|
|
COLLEGE RETIREMENT EQUITIES FUND
|
NPORT-P
|
|
|
Nuveen S&P 500 BuyWrite Income Fund
|
NPORT-P
|
|
|
CU-0122 Fund I, a series of Roll Up Vehicles, LP
|
D
|
|
|
VAZQUEZ CARLOS J
|
4
|
|
|
Roberts Rebecca B
|
144
|
|
|
ADAMS W ANDREW
|
4
|
|
|
MSA Safety Inc
|
144
|
Financial Statements
|
|
Burckhart Camille
|
4
|
|
|
C & F FINANCIAL CORP
|
10-K
|
Financial Statements
|
|
CLEARCREEK SECURITIES, LLC
|
X-17A-5
|
|
|
Truth Arts Inc.
|
C
|
|
|
Knight-Swift Transportation Holdings Inc.
|
8-K
|
Financial Statements
|
|
Castellvi Beatriz
|
4
|
|
|
FORUM FUNDS II
|
NPORT-P
|
|
|
PSE SGF, LP
|
D
|
|
|
PARK WEST PARTNERS LTD
|
D/A
|
|
|
New Mountain Partners VII Private Investors Offshore, L.P.
|
D
|
|
|
BANK OF MONTREAL /CAN/
|
6-K
|
Financial Statements
|
|
Perez Ortiz Inigo
|
4
|
|
|
GRAFTECH INTERNATIONAL LTD
|
4
|
Financial Statements
|
|
Gunning Gina K
|
4
|
|
|
BANK OF NOVA SCOTIA
|
FWP
|
Financial Statements
|
|
Hedoux-Delgado Catherine
|
4
|
|
|
Flanagan Timothy K
|
4
|
|
|
Barzel Roy I
|
4
|
|
|
Village Bank & Trust Financial Corp.
|
4
|
|
|
Halford Jeremy S.
|
4
|
|
|
PUTNAM SUSTAINABLE LEADERS FUND
|
N-CSRS
|
|
|
FRIED BERNARD
|
144
|
|
|
QUANTA SERVICES, INC.
|
144
|
Financial Statements
|
|
New Mountain Partners VII Private Investors, LLC
|
D
|
|
|
ARK MULTIFAMILY REIT, LLC
|
SEC STAFF ACTION
|
|
|
Froese Tamara Dionne
|
4
|
|
|
ZEBRA TECHNOLOGIES CORP
|
4
|
Financial Statements
|
|
FT 11288
|
497J
|
|
|
Private Shares Fund
|
NPORT-P
|
|
|
FEDERAL SIGNAL CORP /DE/
|
10-K
|
Financial Statements
|
|
PUTNAM INTERNATIONAL EQUITY FUND
|
N-CSRS
|
|
|
O'Sullivan Colleen M
|
4
|
|
|
ONESPAWORLD HOLDINGS Ltd
|
4
|
|
|
HEYER ANDREW R
|
4
|
|
|
Standen James D.
|
144
|
|
|
COMPASS MINERALS INTERNATIONAL INC
|
144
|
Financial Statements
|
|
NATIONWIDE MUTUAL FUNDS
|
POS AMI
|
|
|
YS LF CLF II LLC
|
D
|
|
|
FT 11279
|
497J
|
|
|
PUTNAM FUNDS TRUST
|
N-CSRS
|
|
|
FT 11248
|
497J
|
|
|
Jensen Glenn
|
4
|
|
|
CYANOTECH CORP
|
4
|
Financial Statements
|
|
Williams Darren K
|
4
|
|
|
Tatterson William Mark
|
4
|
|
|
Schultheis Anna J
|
4
|
|
|
Proctor Michael
|
4
|
|
|
Shaver Ami L
|
4
|
|
|
Mildren Charles J.
|
4
|
|
|
KAYES HENRY M JR
|
4
|
|
|
Humphrey Matthew L
|
4
|
|
|
Gurtis Julie R
|
4
|
|
|
Ernest Douglas Bryan
|
4
|
|
|
Draber Ross M
|
4
|
|
|
HERITAGE FINANCIAL CORP /WA/
|
10-K
|
Financial Statements
|
|
CONSAGRA JAMES J JR
|
4
|
|
|
ADAMS RICHARD M SR
|
4
|
|
|
ADAMS RICHARD M JR
|
4
|
|
|
BAIN CAPITAL DISTRIBUTORS, LLC
|
X-17A-5
|
|
|
BNY Mellon Investment Funds III
|
485BPOS
|
|
|
Padmanabhan Aravind
|
144
|
|
|
nVent Electric plc
|
144
|
Financial Statements
|
|
FMC CORP
|
10-K
|
Financial Statements
|
|
SOUTHSIDE BANCSHARES INC
|
10-K
|
Financial Statements
|
|
YS PMK REQ II LLC
|
D
|
|
|
FORUM FUNDS
|
NPORT-P
|
|
|
Walt Disney Co
|
DEFA14A
|
Financial Statements
|
|
DABBAH SECURITIES CORP.
|
X-17A-5
|
|
|
FMC CORP
|
8-K/A
|
Financial Statements
|
|
TOBIAS DAVID
|
4
|
|
|
Cannabis Sativa, Inc.
|
4
|
|
|
AIP Alternative Lending Fund P
|
NPORT-P
|
|
|
Wolf Michael W.
|
4
|
|
|
JUNIATA VALLEY FINANCIAL CORP
|
4
|
|
|
NATIONAL RESEARCH CORP
|
10-K
|
Financial Statements
|
|
AMERICAN CENTURY INVESTMENT SERVICES, INC.
|
X-17A-5
|
|
|
Gravitas Management, L.L.C.
|
D/A
|
|
|
Solomon Lawrence F
|
144
|
|
|
EPAM Systems, Inc.
|
144
|
Financial Statements
|
|
BlackRock Alpha Strategies Fund
|
NPORT-P
|
|
|
MILES DAVID W
|
4
|
|
|
WINNEBAGO INDUSTRIES INC
|
4
|
Financial Statements
|
|
YS GP TPQF II LLC
|
D
|
|
|
NanoVMs, Inc.
|
C-TR
|
|
|
Grayscale Bitcoin Trust
|
FWP
|
|
|
CARY STREET PARTNERS LLC
|
X-17A-5
|
|
|
Gaingels Enterprise I LLC
|
D/A
|
|
|
Tidal Trust II
|
NPORT-P
|
|
|
Woods Jacqueline D.
|
4
|
|
|
CSAIL 2016-C6 Commercial Mortgage Trust
|
10-D
|
|
|
ALTI PRIVATE EQUITY ACCESS & COMMITMENTS FUND
|
NPORT-P
|
|
|
John Hancock Funds III
|
DEFA14A
|
|
|
P3 Health Partners Inc.
|
SC 13G/A
|
|
|
AMERIPRISE FINANCIAL INC
|
SC 13G/A
|
Financial Statements
|
|
Airsculpt Technologies, Inc.
|
10-K
|
Financial Statements
|
|
BANK OF NOVA SCOTIA
|
424B2
|
Financial Statements
|
|
YS JLR REQ II TE LLC
|
D
|
|
|
Pioneer Series Trust VI
|
485BPOS
|
|
|
BETA OPERATORS FUND, L.P.
|
D
|
|
|
Tidal ETF Trust
|
NPORT-P
|
|
|
AEGIS INVESTMENTS, INC.
|
X-17A-5
|
|
|
Innovator ETFs Trust
|
485BPOS
|
|
|
Hollis Jeffrey Ryan
|
4
|
|
|
PAR PACIFIC HOLDINGS, INC.
|
4
|
Financial Statements
|
|
CRACKER BARREL OLD COUNTRY STORE, INC
|
10-Q
|
Financial Statements
|
|
Monteleone William
|
4
|
|
|
Jordan Nora M.
|
144
|
|
|
LAS VEGAS SANDS CORP
|
144
|
Financial Statements
|
|
Creamer Richard
|
4
|
|
|
HARTFORD MUTUAL FUNDS II INC
|
485BPOS
|
|
|
Flores Shawn David
|
4
|
|
|
Odyssey Semiconductor Technologies, Inc.
|
8-K
|
|
|
Mattiussi Danielle
|
4
|
|
|
HARTFORD MUTUAL FUNDS INC/CT
|
485BPOS
|
|
|
Guerra Ivan Daniel
|
4
|
|
|
QuantBio Absolute Return LP
|
D
|
|
|
YS AEF V LLC
|
D
|
|
|
Called Higher Studios, Inc.
|
C/A
|
|
|
PRUDENTIALS GIBRALTAR FUND
|
N-CSR
|
|
|
Weinstein Boaz
|
4
|
|
|
Saba Capital Management, L.P.
|
4
|
|
|
BLACKROCK MUNIYIELD PENNSYLVANIA QUALITY FUND
|
4
|
|
|
Tomaszewski Jeffrey S
|
4
|
|
|
SONOCO PRODUCTS CO
|
4
|
Financial Statements
|
|
CSAIL 2016-C5 Commercial Mortgage Trust
|
10-D
|
|
|
Series Portfolios Trust
|
485BPOS
|
|
|
NanoVMs, Inc.
|
C-AR
|
|
|
BlackRock ESG Capital Allocation Term Trust
|
4
|
|
|
EATON VANCE SERIES TRUST II
|
485BPOS
|
|
|
MARKY CORP.
|
8-K
|
|
|
Haynes Ernest D III
|
4
|
|
|
Maddox Mike
|
4
|
|
|
CROSSFIRST BANKSHARES, INC.
|
4
|
Financial Statements
|
|
Rothe Christian E
|
4
|
|
|
GRACO INC
|
4
|
Financial Statements
|
|
BlackRock Health Sciences Term Trust
|
4
|
|
|
CRISPRQC INC.
|
D
|
|
|
INTER-AMERICAN DEVELOPMENT BANK
|
DSTRBRPT
|
|
|
YS PE DIRECT TPQF I LLC
|
D
|
|
|
Impactive Balentine Fund LP
|
D/A
|
|
|
Payne Jennifer M
|
4
|
|
|
BlackRock Innovation & Growth Term Trust
|
4
|
|
|
BLUE OWL SECURITIES LLC
|
X-17A-5
|
|
|
UNIFIED SERIES TRUST
|
485BPOS
|
|
|
VBLA CLIENTS SPV VVIV LLC
|
D
|
|
|
VISTA POINT ADVISORS, LLC
|
X-17A-5
|
|
|
Investment Managers Series Trust II
|
485BPOS
|
|
|
OEP SKNA, L.P.
|
144
|
|
|
ALLEGRO MICROSYSTEMS, INC.
|
144
|
Financial Statements
|
|
Fauss Amy
|
4
|
|
|
ADVANCED SERIES TRUST
|
NPORT-P
|
|
|
PRUDENTIAL SERIES FUND
|
NPORT-P
|
|
|
U.S. STERLING SECURITIES, INC.
|
X-17A-5
|
|
|
KKR Real Estate Select Trust Inc.
|
NPORT-P
|
|
|
BlackRock Capital Allocation Term Trust
|
4
|
|
|
Impactive Bangor Fund LP
|
D/A
|
|
|
Merengo Claudio
|
4
|
|
|
PIONEER MID CAP VALUE FUND
|
485BPOS
|
|
|
Randolph Amy L
|
4
|
|
|
FIRST BUSEY CORP /NV/
|
4
|
Financial Statements
|
|
SOUTHERN CO
|
424B2
|
Financial Statements
|
|
Rapp W. Randall
|
4
|
|
|
ACCESS Loan Fund I, L.P.
|
D
|
|
|
PERRIGO Co plc
|
10-K
|
Financial Statements
|
|
CSAIL 2015-C4 Commercial Mortgage Trust
|
10-D
|
|
|
CorEnergy Infrastructure Trust, Inc.
|
POS AM
|
|
|
Phillips Scott A.
|
4
|
|
|
YS LF CLF III LLC
|
D
|
|
|
First Trust Real Assets Fund
|
NPORT-P
|
|
|
Impactive Capital Fund LP
|
D/A
|
|
|
ALTRIA GROUP, INC.
|
10-K
|
Financial Statements
|
|
Clouse Benjamin R
|
4
|
|
|
Federal Home Loan Bank of New York
|
8-K
|
|
|
ASA Gold & Precious Metals Ltd
|
DEFA14A
|
Financial Statements
|
|
VBLA CLIENTS SPV SORENSON VENTURE 2 LLC
|
D
|
|
|
MURPHY PEGGY A
|
4
|
|
|
ESPEY MFG & ELECTRONICS CORP
|
4
|
Financial Statements
|
|
Union Square Park Capital Management, LLC
|
SC 13D/A
|
|
|
REED'S, INC.
|
SC 13D/A
|
Financial Statements
|
|
DUKEMAN VAN A
|
4
|
|
|
SMB Education Funding, LLC
|
ABS-15G
|
|
|
Geo Capital Gestora de Recursos Ltd
|
13F-HR
|
|
|
Jones Jeffrey David
|
4
|
|
|
Choe Zia
|
4
|
|
|
Cardiff Lexington Corp
|
4
|
|
|
Impactive Capital Fund Ltd.
|
D/A
|
|
|
YS BWA LF VII LLC
|
D
|
|
|
CALAMOS INVESTMENT TRUST/IL
|
497K
|
|
|
Voya MUTUAL FUNDS
|
485BPOS
|
|
|
CENTRAL PACIFIC FINANCIAL CORP
|
8-K
|
Financial Statements
|
|
Hansen Carl L. G.
|
4
|
|
|
AbCellera Biologics Inc.
|
4
|
Financial Statements
|
|
Choe Zia
|
3
|
|
|
Cardiff Lexington Corp
|
3
|
|
|
Guinness Atkinson Asset Management Inc
|
40-APP
|
|
|
GUINNESS ATKINSON FUNDS
|
40-APP
|
|
|
HIGHWOOD SECURITIES LLC
|
X-17A-5
|
|
|
TCW ETF Trust
|
485BPOS
|
|
|
LYKINS GREGORY B
|
4
|
|
|
LINCOLN LIFE VARIABLE ANNUITY ACCOUNT N
|
497VPI
|
|
|
SYNTAX ETF TRUST
|
NPORT-P
|
|
|
TOYOTA MOTOR CREDIT CORP
|
424B2
|
|
|
Uribe Jorge A.
|
4
|
|
|
GENERAL MILLS INC
|
4
|
Financial Statements
|
|
TRC MARKETS LLC
|
X-17A-5
|
|
|
REVVITY, INC.
|
10-K
|
Financial Statements
|
|
KBS Real Estate Investment Trust III, Inc.
|
8-K
|
|
|
UHF Logistics Group, Inc.
|
8-K
|
|
|
PIONEER EQUITY INCOME FUND
|
485BPOS
|
|
|
CorEnergy Infrastructure Trust, Inc.
|
S-3DPOS
|
|
|
Willingham John A.
|
4
|
|
|
F&M BANK CORP
|
4
|
|
|
Gaingels AI Fund I LLC
|
D/A
|
|
|
Gaucho Group Holdings, Inc.
|
8-K
|
|
|
Alta Fundamental Advisers Onshore LP
|
D/A
|
|
|
ODLAND STEPHEN A
|
4
|
|
|
Critical Metals Corp.
|
425
|
|
|
EquityZen Growth Technology Fund LLC - Series 1837
|
D
|
|
|
Advisors Disciplined Trust 2215
|
497J
|
|
|
DiMaio John Michael
|
SC 13D/A
|
|
|
Spectral AI, Inc.
|
SC 13D/A
|
|
|
YS DRP REQ I LLC
|
D
|
|
|
LINCOLN LIFE VARIABLE ANNUITY ACCOUNT N
|
497VPU
|
|
|
Alta Fundamental Advisers Offshore Ltd
|
D/A
|
|
|
LYB International Finance III LLC
|
424B5
|
|
|
LyondellBasell Industries N.V.
|
424B5
|
Financial Statements
|
|
Azitra, Inc.
|
SC 13G
|
|
|
LYTTON LAURENCE W
|
SC 13G
|
|
|
MORIKIS JOHN G
|
4
|
|
|
Venture Lane Capital III, LLC
|
D/A
|
|
|
Stock Yards Bancorp, Inc.
|
10-K
|
Financial Statements
|
|
CorEnergy Infrastructure Trust, Inc.
|
S-8 POS
|
|
|
SOUND SHORE FUND INC
|
NPORT-P
|
|
|
Alta Fundamental Advisers SP LLC
|
D/A
|
|
|
Bowe Monica L
|
4
|
|
|
HENRY MARIA
|
4
|
|
|
Cunningham Alex H.
|
4
|
|
|
Varkey Johnson
|
4
|
|
|
WASTE MANAGEMENT INC
|
4
|
Financial Statements
|
|
Carroll John A.
|
4
|
|
|
Boettcher Charles C
|
4
|
|
|
Cunningham Alex H.
|
3
|
|
|
Carrasco Rafael
|
4
|
|
|
Rooney Kelly C.
|
4
|
|
|
BREAKWATER GROUP DISTRIBUTION SERVICES, LLC
|
X-17A-5
|
|
|
INGERSOLL ELLEN M
|
4
|
|
