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| As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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10/8/20 Cboe EDGX Exchange, Inc. 19B-4E 10/8/20 1:2K SEC #7
10/8/20 Cboe EDGA Exchange, Inc. 19B-4E 10/8/20 1:2K SEC #7
10/8/20 Cboe BZX Exchange, Inc. 19B-4E 10/8/20 1:2K SEC #7
10/8/20 Cboe BYX Exchange, Inc. 19B-4E 10/8/20 1:2K SEC #7
10/8/20‡ Asta Funding Inc. EFFECT 10/8/20 1:2K SEC #5
10/8/20‡ iHuman Inc. EFFECT 10/8/20 1:2K SEC #5
10/8/20‡ Solitario Resources Corp. EFFECT 10/8/20 1:2K SEC #5
10/8/20‡ Sorrento Therapeutics, Inc. EFFECT 10/8/20 1:2K SEC #5
10/8/20‡ Tim S.A. EFFECT 10/8/20 1:2K SEC #5
10/8/20‡ Artelo Biosciences, Inc. EFFECT 10/8/20 1:2K SEC #5
10/8/20‡ Global Blue Group Holding AG EFFECT 10/8/20 1:2K SEC #5
10/8/20‡ Kronos Bio, Inc. EFFECT 10/8/20 1:2K SEC #5
10/8/20‡ Meta Materials Inc. EFFECT 10/8/20 1:2K SEC #5
10/8/20‡ Spruce Biosciences, Inc. EFFECT 10/8/20 1:2K SEC #5
10/8/20‡ Shattuck Labs, Inc. EFFECT 10/8/20 1:2K SEC #5
10/8/20‡ Emles Trust EFFECT 10/8/20 1:5K SEC #5
→ Emles @Home ETF
→ Emles Federal Contractors ETF
→ Emles Luxury Goods ETF
→ Emles Made in America ETF
→ Emles Protective Allocation ETF
→ Emles Real Estate Credit ETF
10/8/20‡ Vinco Ventures, Inc. EFFECT 10/8/20 1:2K SEC #5
10/8/20‡ Collectable Sports Assets, LLC QUALIF 10/8/20 1:2K SEC #4
10/8/20‡ Intrusion Inc. EFFECT 10/8/20 1:2K SEC #5
10/8/20‡ SoFi Technologies, Inc. EFFECT 10/8/20 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: -K | | 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. | | QUALIF | SEC Notice of Qualification. | | → | Fund / Series: Fund or Series of this Filer with a Class or Contract that this Filing pertains to. |
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