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As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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9/15/11 Cboe BZX Exchange, Inc. 19B-4E 9/15/11 1:2K SEC #7
9/15/11 Cboe BYX Exchange, Inc. 19B-4E 9/15/11 1:2K SEC #7
9/15/11 WMS Industries Inc./DE ARS 6/30/11 1:2K SEC #7
9/15/11 Gen Digital Inc. ARS 4/1/11 1:2K SEC #7
9/15/11 Triton Pacific Capital, LLC X-17A-5/A 12/31/10 1:2K SEC #7
9/15/11‡ Cardinal Health Inc. ARS 6/30/11 1:2K SEC #7
9/15/11‡ Park Sterling Corp. EFFECT 9/15/11 1:2K SEC #5
9/15/11‡ Trius Therapeutics Inc. EFFECT 9/15/11 1:2K SEC #5
9/15/11‡ CommunityOne Bancorp EFFECT 9/15/11 1:2K SEC #5
9/15/11‡ Lisata Therapeutics, Inc. EFFECT 9/15/11 1:2K SEC #5
9/15/11‡ Minim, Inc. EFFECT 9/15/11 1:2K SEC #5
9/15/11‡ Inhibitex, Inc. EFFECT 9/15/11 1:2K SEC #5
9/15/11‡ Colony Capital, Inc. EFFECT 9/15/11 1:2K SEC #5
9/15/11‡ Skajaquoda Group inc. EFFECT 9/15/11 1:2K SEC #5
9/15/11‡ Armada Oil, Inc. EFFECT 9/15/11 1:2K SEC #5
9/15/11‡ RPX Corp. EFFECT 9/15/11 1:2K SEC #5
9/15/11‡ Zogenix, Inc. EFFECT 9/15/11 1:2K SEC #5
9/15/11‡ Claymore ETF Trust 2 EFFECT 9/15/11 1:3K SEC #5
→ Guggenheim Yuan Bond ETF
9/15/11‡ Hudson Pacific Properties, Inc. EFFECT 9/15/11 1:2K SEC #5
9/15/11‡ Trius Therapeutics Inc. EFFECT 9/15/11 1:2K SEC #5
____________ | ‡ | 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: -D | | 19B-4E | Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e). | | ARS | Annual Report to Security Holders. | | EFFECT | SEC Notice of Effectiveness. | | X-17A-5 | Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5. | | /A | Amendment to, or Amended version of, a previous Filing of this Type. | → | Fund / Series: Fund or Series of this Filer with a Class or Contract that this Filing pertains to. |
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