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As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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4/15/22 Level Four Financial, LLC FOCUSN 12/31/21 1:2K SEC #7
4/15/22 Level Four Financial, LLC X-17A-5 12/31/21 1:2K SEC #7
4/15/22 Rencap Securities, Inc. X-17A-5 12/31/21 1:2K SEC #7
4/15/22 Rencap Securities, Inc. FOCUSN 12/31/21 1:2K SEC #7
4/15/22‡ 4D Molecular Therapeutics, Inc. EFFECT 4/15/22 1:2K SEC #5
4/15/22‡ Greenbrook TMS Inc. EFFECT 4/15/22 1:2K SEC #5
4/15/22‡ SmartKem, Inc. EFFECT 4/15/22 1:2K SEC #5
4/15/22‡ Woodside Energy Group Ltd. EFFECT 4/15/22 1:2K SEC #5
4/15/22‡ Mullen Automotive Inc. EFFECT 4/15/22 1:2K SEC #5
4/15/22‡ Energy Co. of Minas Gerais EFFECT 4/15/22 1:2K SEC #5
4/15/22‡ Crane Holdings, Co. EFFECT 4/15/22 1:2K SEC #5
4/15/22‡ Greenpro Capital Corp. EFFECT 4/15/22 1:2K SEC #5
4/15/22‡ Masterworks 111, LLC QUALIF 4/15/22 1:2K SEC #4
4/15/22‡ Masterworks 114, LLC QUALIF 4/15/22 1:2K SEC #4
4/15/22‡ Bradesco Investments Inc. X-17A-5/A 12/31/21 4:6M
4/15/22‡ Bradesco Investments Inc. X-17A-5/A 12/31/21 2:834K
4/15/22 Shareholder Commons PX14A6G 4/15/22 1:143K Meta Platforms, Inc. Securex Filings/FA
4/15/22 RCapital Crypto II a Series o… LP D/A 4/15/22 1:6K
4/15/22 AirCare Investor, LLC D 4/15/22 1:5K
4/15/22 RxLightning, Inc. D 4/15/22 1:6K RDG Filings/FA
____________ | ‡ | 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 | Notice of an Exempt Offering of Securities — Form D. | | EFFECT | SEC Notice of Effectiveness. | | FOCUSN | Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer. | | PX14A6G | Notice of an Exempt Non-Management Proxy Solicitation. | | QUALIF | SEC Notice of Qualification. | | 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. |
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