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As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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3:55pm† Merrill Lynch International SBSE-A/A 5/17/24 5:10M
4/24/24 Goldman Sachs & Co. LLC MA/A 5/16/24 1:744K
4/24/24 Bank of America NA SBSE-A/A 5/6/24 5:14M
4/24/24 NYSE Arca, Inc. 19B-4E 4/24/24 1:2K SEC #7
4/24/24 Building Hope Services, LLC MA-A 12/31/16 1:13K
4/24/24 BofA Securities Europe SA SBSE-A/A 4/29/24 5:8.9M
4/24/24 NYSE National, Inc. 1/A 4/26/24 1:2K SEC #7
4/24/24 NYSE Chicago, Inc. 1/A 4/26/24 1:2K SEC #7
4/24/24 NYSE Arca, Inc. 1/A 4/26/24 1:2K SEC #7
4/24/24 NYSE American LLC 1/A 4/26/24 1:2K SEC #7
4/24/24 New York Stock Exchange LLC 1/A 4/26/24 1:2K SEC #7
4/24/24‡ Mesoblast Ltd. EFFECT 4/24/24 1:2K SEC #5
4/24/24 SG Americas Securities, LLC MA/A 4/25/24 1:256K
4/24/24 Equitable Trust Co. 13F-HR 3/31/24 2:282K
4/24/24 Meridian BidCo LLC SC TO-C 4/25/24 2:508K MariaDB plc Broadridge Fin’l So… Inc
K1 Investment Management, LLC³
K5 Capital Advisors, L.P.³
K5 Private Investors, L.P.³
Meridian Topco, LLC³
4/24/24‡ Loar Holdings Inc. EFFECT 4/24/24 1:2K SEC #5
4/24/24‡ Apollomics Inc. EFFECT 4/24/24 1:2K SEC #5
4/24/24‡ 180 Life Sciences Corp. EFFECT 4/24/24 1:2K SEC #5
4/24/24‡ Rubrik, Inc. EFFECT 4/24/24 1:2K SEC #5
4/24/24‡ AmpliTech Group, Inc. EFFECT 4/24/24 1:2K SEC #5
____________ | † | The Filing’s time of SEC acceptance (U.S. Eastern Time). The SEC’s Filings System is “open” Monday through Friday from 6am to 10pm ET. Because the SEC “closes” at 5:30pm ET, most subsequently-accepted Filings won’t be released to the public until sometime after 6am ET the next day. | ‡ | A non-Insider-Ownership Filing that was accepted after the SEC “closed” at 5:30:00pm ET. The legal “Filed As Of” date may be the next, or another, day. | ¹ | Filing/Form Types: | | 1 | Application for Registration, or an Exemption from Registration, as a National Securities Exchange — Form 1. | | 13F-HR | Quarterly Holdings and Combination Report by a Money Manager — Form 13F. | | 19B-4E | Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e). | | EFFECT | SEC Notice of Effectiveness. | | MA | Application for Registration by a Municipal Advisor — Form MA. | | MA-A | Annual Update of Registration by a Municipal Advisor — Form MA. | | SBSE-A | Application for Registration by a Security-Based Swap Dealer or Major Security-Based Swap Participant that is Registered or Registering with the CFTC as such — Form SBSE-A. | | SC TO-C | Tender-Offer Communication by an Issuer or Third Party — Schedule TO. | | /A | Amendment to, or Amended version of, a previous Filing of this Type. | ³ | Group Member: A Registrant or non-Registrant party to this Filing made by a Group. |
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