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For Period End 10/6/20
6
OCT


        

646  Filings
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  As Of               Filer                 Filing¹   For·On·As Docs:Size             Issuer                      Filing Agent      
Currently in descending order - Sort in ascending orderSort in ascending orderSort in ascending orderSort in descending orderSort in ascending orderSort in ascending order


        
  3/4/22  Engaged Capital Holdings, LLC     4          %Own.,Oth.² 1:27K  SunOpta Inc.                      Olshan Frome Wolosky LLP 
          Engaged Capital Co-Invest IV, LP
          Engaged Capital Co-Invest IV-A, LP
          Engaged Capital Flagship Fund, L.P.
          Engaged Capital Flagship Fund, Ltd.
          Engaged Capital Flagship Master Fund, LP
          Engaged Capital LLC
          Engaged Capital Special Situation Fund, LP
          Welling Glenn W.
 5/27/21  Sundstrom Karl-Henrik             4          Director²   1:10K  NXP Semiconductors N.V.           NXP Semiconductors N.V.  
 5/13/21  Transportation & Logistics S… Inc 8-K/A:2     10/6/20    1:37K                                    M2 Compliance LLC/FA     
 2/16/21  Epstein Stephen A                 3/A        D,O,%Owner² 1:4K   Healthcare Business Resources Inc Blueprint/FA             
 1/19/21  Moorehead Terrence                4/A        Dir.,Off.²  1:8K   Natures Sunshine Products Inc.                             
 1/15/21  Inpixon                           8-K/A:9     10/6/20    3:496K                                   EdgarAgents LLC/FA       
12/22/20  Inpixon                           8-K/A:9     10/6/20    5:1.4M                                   EdgarAgents LLC/FA       
12/18/20  Ricketts Todd M                   4/A        Director²   1:6K   Charles Schwab Corp.              CT’s hCue/FA             
12/18/20  Ricketts Todd M                   3/A        Director²   1:3K   Charles Schwab Corp.              CT’s hCue/FA             
 12/9/20  Digitiliti Inc.                   8-K:5       10/6/20    1:22K                                    GlobalOne Filings Inc/FA 
11/23/20  Invesco Unit Trusts Series 2022   24F-2NT     10/6/20    1:4K                                     Fin’l Graphic Svc Inc/FA 
11/16/20  Transportation & Logistics S… Inc 8-K:1,9     10/6/20    2:10M                                    M2 Compliance LLC/FA     
11/12/20  Apollo Principal Holdings II… Ltd 4          10% Owner²  3:50K  Global Business Travel Gp, Inc.   Toppan Merrill/FA        
          AP Caps II Holdings GP, LLC
          Apollo Principal Holdings III, L.P.
          APSG Sponsor, L.P.
11/10/20  KBL IV Sponsor LLC                4          10% Owner²  1:13K  180 Life Sciences Corp.           EdgarAgents LLC/FA       
          Krauss Marlene
 11/3/20  Foster James C                    4          Dir.,Off.²  1:13K  Charles River Labs Int’l, Inc.    Computershare Inc.       
 11/3/20  Oakes Frank R.                    4          Director²   1:6K   Edesa Biotech, Inc.               Blueprint/FA             
10/26/20  Minerva Advisors LLC              3          %Own.,Oth.² 1:12K  Telos Corp.                       Nelson Law Firm LLC      
          Cohen David P.
          Minerva GP, Inc.
          Minerva GP, LP
          Minerva Group LP
10/23/20  Light Jay O                       4          Director²   1:5K   Blackstone Inc.                   DONNELLEY FIN… File16/FA 
10/22/20  Icp M2, L.P.                      3/A        10% Owner²  5:43K  ION Acquisition Corp. 1 Ltd.      EdgarAgents LLC/FA       
          Icp M2 GP LLC
          Levey Stephen
10/20/20  Struthers Archie                  3          Other²      2:8K   abrdn Global Infrastructure I… Fd                          
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 ¹  Filing/Form Types: 
Type emoji
  3    Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 { The Filer is an Insider² of the Issuer }.
  4    Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 { The Filer is an Insider² of the Issuer }.
  8-K    Current Report — Form 8-K { Item 1: Business & Operations;  2: Financial Info;  3: Securities & Trading;  4: Accountants & Accounting;  5: Governance & Management;  6: Asset-Backed Securities;  7: Disclosures;  8: Events;  9: Financials }.
  24F-2NT    Annual Notice of Securities Sold by an Investment Company — Form 24F-2.
  /A  Amendment to, or Amended version of, a previous Filing of this Type.
 ²  Insider:  The Filer is a Director, Officer, 10% Owner and/or Other “insider” of the Issuer.
 
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