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As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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1/3/24 Shearman, Ralston Inc. X-17A-5 9/30/23 1:2K SEC #7
1/3/24 Mutual Funds Associates Inc. X-17A-5 10/31/23 1:2K SEC #7
1/3/24‡ Cybin Inc. EFFECT 1/3/24 1:2K SEC #5
1/3/24‡ Liquidia Corp. EFFECT 1/3/24 1:2K SEC #5
1/3/24‡ Theratechnologies Inc. EFFECT 1/3/24 1:2K SEC #5
1/3/24‡ First Internet Bancorp EFFECT 1/3/24 1:2K SEC #5
1/3/24‡ Realty Income Corp. EFFECT 1/3/24 1:2K SEC #5
1/3/24‡ Silvergate Capital Corp. EFFECT 1/3/24 1:2K SEC #5
1/3/24‡ Silvergate Capital Corp. EFFECT 1/3/24 1:2K SEC #5
1/3/24‡ Longboard Pharmaceuticals, Inc. S-3MEF 1/3/24 3:51K Donnelley … Solutions/FA
1/3/24 ToolBox OS, Inc. D 1/3/24 1:6K
1/3/24 FCP Realty Fund VI-A, L.P. D/A 1/3/24 1:12K
1/3/24 FCP Fund VI-C Feeder, L.P. D/A 1/3/24 1:12K
1/3/24 Troluce Special Opportuniti… I LP D 1/3/24 1:6K Kleinberg Kaplan Wo… P C
1/3/24 M&C 1 Equities Fund LP D 1/3/24 1:7K
1/3/24 Hudson Valley Property Group LLC D 1/3/24 1:6K
1/3/24 Fdctech, Inc. S-8 1/3/24 5:210K M2 Compliance LLC/FA
1/3/24 Old Glory Asset Management LLC 13F-NT 12/31/23 1:4K Toppan Merrill/FA
1/3/24 Silverwest Kauai Hotel, LLC D/A 1/3/24 1:10K
1/3/24 New Sky Investor Gp (2023), LLC D 1/3/24 1:6K
____________ | ‡ | 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 | | 13F-NT | Quarterly Holdings Notice by a Money Manager — Form 13F. | | D | Notice of an Exempt Offering of Securities — Form D. | | EFFECT | SEC Notice of Effectiveness. | | S-3MEF | Registration Statement to Add Securities to a Prior Form S-3 Registration. | | S-8 | Registration Statement – Securities for an Employee Benefit Plan — Form S-8. | | 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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