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List All Filings | or | ||
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Most-Recent Filing: | ‘13F-HR’ — Quarterly Holdings and Combination Report by a Money Manager — Form 13F — for 9/30/23 — | ||
New-Filing E-Mail: |
Latest Filing | Type | Category | Description | Documents | |||||||
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11/13/23 | 13F-HR | Ownership: | Quarterly Holdings and Combination Reports by Money Managers — Form 13F — | 49 | |||||||
9/11/14 | OLD | NO ACT | SEC: | SEC No-Action Letter re: a Shareholder Proposal OLD | 1 | ||||||
2/6/13 | OLD | APP WDG | SEC: | Withdrawal of an Application for an Exemption Order – ‘APP WD’ SEC Grant OLD | 1 | ||||||
10/1/10 | OLD | APP WD | Registration: | Withdrawals of Applications for Exemption Orders and Other Relief OLD | 2 | ||||||
12/18/09 | OLD | 40-APP | Registration: | Applications for Exemption Orders and Other Relief by Investment Companies OLD | 6 | ||||||
Form-Specific Documents: | |||||||||||
11/13/23 | INFO-TABLE | Portfolio Securities Holdings – Info Tables — Form 13F — | 42 | ||||||||
General Exhibits: | |||||||||||
12/10/09 | OLD | EX-3 | Articles of Incorporation/Organization or Bylaws OLD | 1 | |||||||
12/10/09 | OLD | EX-2 | Plan of Acquisition, Reorganization, Arrangement, Liquidation or Succession OLD | 1 | |||||||
12/10/09 | OLD | EX-1 | Underwriting Agreement or Conflict Minerals Report (or mislabeled “1st Exhibit”) OLD | 1 |
Year | # of Filings | |
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2023 | 4 | |
2022 | 4 | |
2021 | 4 | |
2020 | 4 | |
2019 | 4 | |
2018 | 4 | |
2017 | 4 | |
2016 | 4 | |
2015 | 4 | |
2014 | 5 | |
2013 | 5 | |
2012 | 4 | |
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2010 | 2 | |
2009 | 6 |