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Documents Incorporated by Reference in ‘10-K’ Filing 1654954-24-4122 · Filed re: Tuesday, 8/9/22
9
AUG


        

5  Filings
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  As Of               Filer                 Filing¹   For·On·As Docs:Size             Issuer                      Filing Agent      
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  8/9/22  Mill City Ventures III, Ltd.      8-K:7,9      8/8/22   11:192K                                   Toppan Merrill/FA        
  8/9/22  Mill City Ventures III, Ltd.      CERT         8/9/22    1:116K                                   Nasdaq Stock Market LLC  
  8/9/22  Mill City Ventures III, Ltd.      424B4                  1:2.6M                                   Toppan Merrill/FA2       
  8/8/22  Mill City Ventures III, Ltd.      8-A12B       8/9/22    1:16K                                    Toppan Merrill/FA        
  8/8/22 Mill City Ventures III, Ltd.      EFFECT       8/8/22    1:2K                                     SEC #5                   
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 ‡  A non-Insider-Ownership Filing that was accepted after the SEC “closed” at 5:30:00pm
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.  The legal “Filed As Of” date may be the next, or another, day.
 ¹  Filing/Form Types: 
Type emoji
  8-A12B    Registration Statement for a Class of Securities — Form 8-A.
  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 }.
  424B4    Prospectus – Info Previously Omitted & New Facts or Events.
  CERT    Certification by a Securities Exchange Approving a Listing — Form CERT.
  EFFECT    SEC Notice of Effectiveness.

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