Latest Filing | | Type | | Category | Description | Documents |
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1/26/24 | | | 13F-HR | | Ownership: | | Quarterly Holdings and Combination Reports by Money Managers — Form 13F — Assets Under Management | 30 |
2/7/19 | OLD | | 15-12B | | Registration: | | Certifications of Terminations of Registration of Classes of Securities — Form 15 OLD | 2 |
1/30/19 | OLD | | 8-K | | Update: | | Current Reports — Form 8-K OLD — Press Releases & Conference Calls | 185 |
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| | 8-K Items: |
1/30/19 | OLD | | Business & Operations: | • | Entry into a Material Definitive Agreement — Item 1.01 OLD — ↓‘EX-10’ | 56 |
1/30/19 | OLD | | " | | | • | Termination of a Material Definitive Agreement — Item 1.02 OLD — ↓‘EX-10’ | 8 |
11/29/18 | OLD | | Financial Info: | • | Completion of Acquisition or Disposition of Assets — Item 2.01 OLD — ↓‘EX-2’ | 3 |
11/6/17 | OLD | | " | | | • | Results of Operations and Financial Condition — Item 2.02 OLD | 50 |
11/29/18 | OLD | | " | | | • | Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03 OLD — ↓‘EX-10’ | 18 |
1/18/19 | OLD | | Securities & Trading: | • | Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing — Item 3.01 OLD | 3 |
11/29/18 | OLD | | " | | | • | Unregistered Sales of Equity Securities — Item 3.02 OLD — ↓‘EX-1’ | 5 |
11/29/18 | OLD | | " | | | • | Material Modifications to Rights of Security Holders — Item 3.03 OLD — ↓‘EX-4’ | 1 |
5/10/16 | OLD | | Accountants & Accounting: | • | Changes in Registrant’s Certifying Accountant — Item 4.01 OLD — ↓‘EX-16’ | 2 |
3/16/17 | OLD | | " | | | • | Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review — Item 4.02 OLD | 1 |
11/29/18 | OLD | | Governance & Management: | • | Changes in Control of Registrant — Item 5.01 OLD | 1 |
1/18/19 | OLD | | " | | | • | Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02 OLD — List of Directors & Officers | 21 |
11/29/18 | OLD | | " | | | • | Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03 OLD — ↓‘EX-3’ | 11 |
7/5/07 | OLD | | " | | | • | Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics — Item 5.05 OLD | 1 |
6/21/18 | OLD | | " | | | • | Submission of Matters to a Vote of Security Holders — Item 5.07 OLD | 11 |
11/6/17 | OLD | | Disclosures: | • | Regulation FD Disclosure — Item 7.01 OLD — ↓‘EX-99’ | 15 |
1/17/19 | OLD | | Events: | • | Other Events — Item 8.01 OLD | 55 |
1/18/19 | OLD | | Financials: | • | Financial Statements and Exhibits — Item 9.01 OLD | 149 |
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1/28/19 | OLD | | 25 | | Trading: | | Notice by an Issuer of the Removal from Listing and Registration on a Securities Exchange of Matured, Redeemed or Retired Securities — Form 25 OLD | 1 |
12/11/18 | OLD | | D | | Registration: | | Notice of an Exempt Offering of Securities — Form D OLD | 1 |
11/29/18 | OLD | | S-8 POS | | Registration: | | Post-Effective Amendments of Form S-8 Registrations OLD | 2 |
11/29/18 | OLD | | SC 13E3 | | Ownership: | | Tender-Offer Statements by Certain Issuers – Going-Private Transactions — Schedule 13E-3 OLD | 5 |
11/9/18 | OLD | | 10-Q | | Update: | | Quarterly Reports — Form 10-Q OLD — Financial Reports | 39 |
6/18/18 | OLD | | DEFA14A | | Proxy: | | Definitive Additional Proxy Soliciting Materials — Schedule 14A OLD | 17 |
5/4/18 | OLD | | DEFM14A | | Proxy: | | Definitive Proxy Statement – Merger or Acquisition — Schedule 14A OLD | 1 |
4/30/18 | OLD | | CORRESP | | Comment: | | Comment-Response and Other Letters to the SEC [ a.k.a. COVER ] OLD — All Correspondence with the SEC | 61 |
4/23/18 | OLD | | 10-K | | Update: | | Annual Reports — Form 10-K OLD — Financial Reports | 15 |
4/9/18 | OLD | | PREM14A | | Proxy: | | Preliminary Proxy Statement – Merger or Acquisition — Schedule 14A OLD | 1 |
3/1/18 | OLD | | NT 10-K | | Update: | | Notices of Late Filings of Form 10-K Annual Reports — Form 12b-25 OLD | 2 |
9/29/17 | OLD | | CT ORDER | | SEC: | | SEC Confidential Treatment Order OLD | 1 |
4/11/17 | OLD | | DEF 14A | | Proxy: | | Definitive Proxy Statements — Schedule 14A OLD | 12 |
11/10/16 | OLD | | NT 10-Q | | Update: | | Notice of a Late Filing of a Form 10-Q Quarterly Report — Form 12b-25 OLD | 1 |
9/28/16 | OLD | | CERTNYS | | Trading: | | Certifications by the NYSE Approving Listings — Form CERT OLD | 8 |
9/27/16 | OLD | | 8-A12B | | Registration: | | Registration Statements for Certain Classes of Securities — Form 8-A OLD | 11 |
9/21/16 | OLD | | 424B2 | | Registration: | | Prospectuses – Primary Offerings and Shelf Securities OLD | 12 |
9/20/16 | OLD | | FWP | | Registration: | | Prospectuses – Free Writing OLD | 8 |
9/20/16 | OLD | | 424B5 | | Registration: | | Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events OLD | 9 |
3/14/16 | OLD | | PRE 14A | | Proxy: | | Preliminary Proxy Statements — Schedule 14A OLD | 3 |
12/14/15 | OLD | | 424B3 | | Registration: | | Prospectuses – New Facts or Events OLD | 4 |
12/10/15 | OLD | | EFFECT | | SEC: | | SEC Notices of Effectiveness OLD | 5 |
12/7/15 | OLD | | S-4 | | Registration: | | Registration Statements – Securities for Mergers — Form S-4 OLD | 3 |
6/11/15 | OLD | | S-3ASR | | Registration: | | Automatic Shelf Registration Statements by Well-Known Issuers — Form S-3 OLD | 3 |
4/24/15 | OLD | | ARS | | Update: | | Annual Reports to Security Holders OLD | 6 |
3/22/13 | OLD | | PRER14A | | Proxy: | | Preliminary Revised Proxy Soliciting Material — Schedule 14A OLD | 1 |
3/12/13 | OLD | | 425 | | Registration: | | Prospectus or Communication – Merger OLD | 1 |
10/13/10 | OLD | | S-3 | | Registration: | | Registration Statements – Securities for Transactions — Form S-3 OLD | 2 |
5/19/10 | OLD | | S-8 | | Registration: | | Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8 OLD | 2 |
8/2/07 | OLD | | POS AM | | Registration: | | Post-Effective Amendment of a Registration Statement OLD | 1 |
11/15/06 | OLD | | CERTNAS | | Trading: | | Certification by the Nasdaq Stock Market Approving a Listing — Form CERT OLD | 1 |
11/8/06 | OLD | | S-1 | | Registration: | | Registration Statements (General Form) — Form S-1 OLD | 6 |
| | |
| | Form-Specific Documents: |
1/26/24 | | | INFO-TABLE | | Portfolio Securities Holdings – Info Tables — Form 13F — Assets Under Management | 30 |
| | |
| | General Exhibits: |
1/17/19 | OLD | | EX-4 | | Instruments, Including Indentures, Defining the Rights of Security Holders OLD | 27 |
1/3/19 | OLD | | EX-10 | | Material Contracts OLD | 131 |
11/29/18 | OLD | | EX-3 | | Articles of Incorporation/Organization and Bylaws OLD | 17 |
6/7/18 | OLD | | EX-2 | | Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions OLD | 8 |
3/16/18 | OLD | | EX-23 | | Consents of Experts and Counsel OLD | 45 |
3/16/18 | OLD | | EX-21 | | Subsidiaries Lists OLD | 13 |
9/27/16 | OLD | | EX-5 | | Opinions of Counsel re: Legality OLD | 18 |
9/27/16 | OLD | | EX-1 | | Underwriting Agreements (and mislabeled “1st Exhibits”) OLD | 9 |
6/11/15 | OLD | | EX-24 | | Powers of Attorney OLD | 5 |
6/11/15 | OLD | | EX-25 | | Statement of Eligibility to Act as a Trustee OLD | 1 |
| | |
| | ABS Exhibits: |
8/9/13 | OLD | | EX-33 | | Report of Compliance with Servicing Criteria OLD | 1 |
| | |
| | Additional Exhibits: |
1/18/19 | OLD | | EX-99 | | Miscellaneous Exhibits, such as Press Releases OLD — Press Releases & Conference Calls | 141 |
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| | Financials: |
11/9/18 | OLD | | EX-31 | | Certifications — §302 – SOA’02 OLD | 108 |
11/9/18 | OLD | | EX-32 | | Certifications — §906 – SOA’02 OLD | 106 |
11/9/18 | OLD | | XML & R# | | IDEA Financial Reports Info OLD — Financial Reports | 2,973 |
11/9/18 | OLD | | EXCEL | | IDEA Workbooks of Financial Reports Info OLD — Workbooks of Financial Reports | 39 |
11/9/18 | OLD | | EX-101.* | | XBRL Data (XBRL Files) OLD | 192 |
11/9/18 | OLD | | ZIP | | XBRL Zipped Folders (Folders of XBRL Files) OLD | 32 |
9/27/16 | OLD | | EX-12 | | Statements re: Computations of Ratios OLD | 12 |
5/10/16 | OLD | | EX-16 | | Letters re: Changes in Accountants OLD | 3 |
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| | Graphics: |
1/18/19 | OLD | | GRAPHIC | | Photos, Images and Graphs OLD | 1,546 |