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What covered companies filed with the SEC, day by day.

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‹ Tue, Nov 13, 2012

Wednesday, November 14, 2012

667 filings · 513 companiesAll checks passed · Updated Oct 30

Thu, Nov 15, 2012 ›

Front page4 By time of day Results28 Reports264 Insiders57 Agreements6 Officers and directors11 Filings391 Index

Nothing from your lists

By time of day

391 filings

Each bar is 30 minutes, New York time. Select one to filter the filings below.

Results
Other filings

00:0002:0004:0006:0008:0010:0012:0014:0016:0018:0020:0022:0000:00

Pre-marketMarket hoursAfter-hours

87 without a time on file

Results

28 announced

Nothing from your lists

Reports

259 quarterly · 5 annual

CompanyRevenueOn the year

NGL Energy Partners LPNGL · 10-Q · Sep 30 · —
$1.14B+440.6%

Nothing from your lists

Insiders

57 filings

Purchases$1.44M39 filings

Sales$6.56M18 filings

CDZICadiz Inc · Donegan Mark, 10% owner$2.90MSale · 360,000 sh

Nothing from your lists

Agreements

6 filings

23:45FAF First American Financial Corp · New agreement
21:11

Nothing from your lists

Officers and directors

11 filings

22:54VXRT Vaxart, Inc. · Change in control · Acquisition or sale completed · Bylaws or fiscal year changed · Unregistered shares sold · Officers or directors
21:26

Nothing from your lists

Filings

391 listed

Find a company, form or word

17:00

17:39FDUS
FDUS Fidus Investment Corp · Officers or directors
17:41OGEN
OGEN Oragenics Inc · Quarterly report

18:00

18:06WERN
WERN Werner Enterprises Inc · Investor disclosure
18:24PEB
PEB Pebblebrook Hotel Trust · Investor disclosure
18:34BRID
BRID Bridgford Foods Corp · Investor disclosure
18:41GRBK
GRBK Green Brick Partners, Inc. · Quarterly report

19:00

19:54KBH
KBH KB Home · Officers or directors

22:00

22:35ATNM
ATNM Actinium Pharmaceuticals, Inc. · Quarterly report
22:41POWW
POWW Outdoor Holding Co · Quarterly report

23:00

23:24LSTA
LSTA Lisata Therapeutics, Inc. · Impairment · Restructuring costs · Agreement ended · Acquisition or sale completed

01:00

01:01CION
CION CION Investment Corp · Quarterly report

06:00

06:01BICX
BICX BioCorRx Inc. · Auditor change
06:06NORD
NORD Nordicus Partners Corp · Amended quarterly report
06:07XWEL
XWEL Xwell, Inc. · Investor disclosure
06:27APYX
APYX Apyx Medical Corp · Quarterly report

07:00

07:00ASTC
ASTC Astrotech Corp · Quarterly report
07:01ASTC
ASTC Astrotech Corp · Results, pre-market
07:08NORD
NORD Nordicus Partners Corp · Quarterly report
07:45FBIO
FBIO Fortress Biotech, Inc. · Results, pre-market

08:00

08:32TRT
TRT Trio-Tech International · Late filing notice
08:58PTN
PTN Palatin Technologies Inc · Results, pre-market

09:00

09:00IPI
IPI Intrepid Potash, Inc. · Investor disclosure
09:07VASO
VASO Vaso Corp · Late filing notice
09:15FBIO
FBIO Fortress Biotech, Inc. · Quarterly report
09:17CIM
CIM Chimera Investment Corp · Late filing notice
09:36HKHC
HKHC Horizon Kinetics Holding Corp · Quarterly report

10:00

10:01FXNC
FXNC First National Corp · Quarterly report
10:05—
— NewStream Energy Technologies Group Inc · Quarterly report
10:06DCM
DCM DeFi Capital Markets, Inc. · Quarterly report
10:23CRMZ
CRMZ Creditriskmonitor Com Inc · Quarterly report
10:27ADMG
ADMG Adamant DRI Processing & Minerals Group · Quarterly report
10:38WHWK
WHWK Whitehawk Therapeutics, Inc. · Quarterly report
10:41ETD
ETD Ethan Allen Interiors Inc · Shareholder vote
10:42KURA
KURA Kura Oncology, Inc. · Quarterly report

11:00

11:01SLNG
SLNG Stabilis Solutions, Inc. · Quarterly report
11:01FF
FF FutureFuel Corp. · Announcement
11:03GLBZ
GLBZ Glen Burnie Bancorp · Quarterly report
11:05KDOZF
KDOZF Kidoz Inc. · Quarterly report
11:09DRH
DRH DiamondRock Hospitality Co · Investor disclosure
11:24AUBN
AUBN Auburn National Bancorporation, Inc · Announcement

40 of 391

Index

Forms filed

Quarterly report10-Q255
Insider filing4121
Current report8-K75
Foreign issuer report6-K57
Late filing noticeNT 10-Q45
Free writing prospectus

364 companies

Find a company

#

374Water Inc.SCWO

A

Abeona Therapeutics Inc.ABEO
Accredited Solutions, Inc.ASII
Actinium Pharmaceuticals, Inc.ATNM
Adamant DRI Processing & Minerals GroupADMG
ADM Tronics Unlimited, Inc.ADMT
AEI Income & Growth Fund Xxii Ltd PartnershipXAEIU
Agassi Sports Entertainment Corp.AASP
AgEagle Aerial Systems Inc.UAVS
Alliancebernstein Holding L.P.AB
Allient IncALNT
Alto Ingredients, Inc.ALTO
AmBase CorpABCP
America Great Health
American Battery Materials, Inc.BLTH
American Realty Investors IncARL
American Shared Hospital ServicesAMS
Ameriguard Security Services, Inc.AGSS
AmpliTech Group, Inc.AMPG
Apyx Medical CorpAPYX
Armstrong World Industries IncAWI
Astrotech CorpASTC×2
Asure Software IncASUR
Athena Gold CorpAHNRF
Auburn National Bancorporation, IncAUBN
Aviat Networks, Inc.AVNW
Awaysis Capital, Inc.AWCA

B

Baltic International USA IncBISA
Barfresh Food Group Inc.BRFH
Basanite, Inc.BASA
Beam GlobalBEEM
Big Digital Energy, Inc.BGDE
Bio-Path Holdings, Inc.BPTH
BioCorRx Inc.BICX×2
Biolargo, Inc.BLGO
BK Technologies CorpBKTI×2
Blackstone Mortgage Trust, Inc.BXMT
Blink Charging Co.BLNK
Blue Biofuels, Inc.BIOF
Blue Dolphin Energy CoBDCO
Blue Line Protection Group, Inc.BLPG
BNB Standard CorpBNC×2
Bollinger Innovations, Inc.BINI
BrandywineGLOBAL-Global Income Opportunities Fund IncBWG
Bravo Multinational Inc.BRVO
Bridgford Foods CorpBRID
Broadway Financial Corp deBYFC

C

Cadiz IncCDZI
Capstone Companies, Inc.CAPC
Cardiff Oncology, Inc.CRDF
Carver Bancorp IncCARV
Catalyst Pharmaceuticals, Inc.
CervoMed Inc.CRVO
CF Bankshares Inc.CFBK×2
CFN Enterprises Inc.CNFN
Charging Robotics Inc.CHEV
Charlie's Holdings, Inc.CHUC
Chesapeake Granite Wash TrustCHKR
Chimera Investment CorpCIM
China Pharma Holdings, Inc.CPHI
Choiceone Financial Services IncCOFS
CION Investment CorpCION
Clean Energy Technologies, Inc.CETY
Clearone IncCLRO
ClearPoint Neuro, Inc.CLPT
Cluster Group Holdings Ltd CoCLUS
Cocrystal Pharma, Inc.COCP
Community BancorpCMTV
Comstock Holding Companies, Inc.CHCI
Consumers Bancorp IncCBKM
Consumers Energy CoCMS-PB
Contango Silver & Gold Inc.CTGO
Covenant Logistics Group, Inc.CVLG
Creatd, Inc.CRTD
Creditriskmonitor Com IncCRMZ
Cuentas Inc.CUEN
Customers Bancorp, Inc.CUBI
Cyberloq Technologies, Inc.CLOQ

D

Daktronics IncDAKT
DarkPulse, Inc.DPLS
DeFi Capital Markets, Inc.DCM
Denison Mines Corp.DNN
DiamondRock Hospitality CoDRH
Dogecoin Cash, Inc.DOGP
Dominari Holdings Inc.DOMH
Duos Technologies Group, Inc.DUOT
Dynaresource, Inc.DYNR

E

Eagle Financial Services IncEFSI
Eaton Corp plcETN
Egain CorpEGAN
Elite Pharmaceuticals IncELTP
Eloxx Pharmaceuticals, Inc.ELOX
Emerson Radio CorpMSN
ENB Financial CorpENBP
Energy Focus, IncEFOI×2
Envela CorpELA
Equus Total Return, Inc.EQS
Escalon Medical CorpESMC
Ethan Allen Interiors IncETD

F

Fennec Pharmaceuticals Inc.FENC
Fidus Investment CorpFDUS
FiEE, Inc.FIEE
Firefly Neuroscience, Inc.AIFF
First American Financial CorpFAF
First Community Bankshares IncFCBC
First National CorpFXNC×2
Fitlife Brands, Inc.FTLF
Flexible Solutions International IncFSI
Flotek Industries IncFTK
Flux Power Holdings, Inc.FLUX
Fortress Biotech, Inc.FBIO×2
Franklin Covey CoFC
Franklin Wireless CorpFKWL
Freedom Holding Corp.FRHC
FuboTV Inc.FUBO
Fullnet Communications IncFULO
FutureFuel Corp.FF

G

Galaxy Gaming, Inc.GLXZ
Genie Energy Ltd.GNE
Geospace Technologies CorpGEOS
GeoVax Labs, Inc.GOVX
Glen Burnie BancorpGLBZ
Globalstar, Inc.GSAT×2
Glucose Health, Inc.GLUC
Gold Resource Corp
Golden Growers CooperativeGGROU
Golden Star Resource Corp.GLNS
Golub Capital BDC, Inc.GBDC
Good Gaming, Inc.GMER
Green Brick Partners, Inc.GRBK
Green Planet Bio Engineering Co. Ltd.GPLB
Greenlite Ventures IncGRNL
Guided Therapeutics IncGTHP

H

Halozyme Therapeutics, Inc.HALO
Happen, Inc.HAPN
Harrow, Inc.HROW
Havana Roasters Coffee Companies, Inc.THRC
Hawthorn Bancshares, Inc.HWBK×2
Healthier Choices Management Corp.HCMC
HomeTrust Bancshares, Inc.HTB
Hong Yuan Holding GroupHGYN
Hongchang International Co., Ltd
Horizon Kinetics Holding CorpHKHC
HST Global, Inc.HSTC

I

iBio, Inc.IBIO
Idaho Copper CorpCOPR
IGC Pharma, Inc.IGC
Income Opportunity Realty Investors IncIOR
InfuSystem Holdings, IncINFU×2
Innovaro, Inc.INNI
Integrated Biopharma IncINBP
Intellicheck, Inc.IDN
Intelligent Protection Management Corp.IPM
Intellinetics, Inc.INLX
Intest CorpINTT
Intrepid Potash, Inc.IPI
Invesco Advantage Municipal Income Trust IIVKI
iQSTEL IncIQST
Iveda Solutions, Inc.IVDA
iWallet CorpIWAL
IZEA Worldwide, Inc.IZEA

J

J&J Snack Foods CorpJJSF
Johnson Outdoors IncJOUT

K

Kartoon Studios, Inc.TOON
KB HomeKBH
Kidoz Inc.KDOZF
Kinder Morgan, Inc.KMI
Kingstone Companies, Inc.KINS
Kura Oncology, Inc.KURA

L

Leatt CorpLEAT×2
LendingTree, Inc.TREE
LGL Group IncLGL
Lifecore Biomedical, Inc. deLFCR
Lifevantage CorpLFVN
Lifeway Foods, Inc.LWAY
Ligand Pharmaceuticals IncLGND×4
Lightwave Logic, Inc.LWLG
Lineage Cell Therapeutics, Inc.LCTX
Liqtech International IncLIQT
Lisata Therapeutics, Inc.LSTA×2
Lithium CorpLTUM
Lunai Bioworks Inc.LNAI
Luvu Brands, Inc.LUVU

M

Madrigal Pharmaceuticals, Inc.MDGL
Magellan Copper & Gold CorpMAGE
MAN AHL Diversified I LPMADL
Marine Petroleum TrustMARPS
Marvion Inc.MVNC
Marygold Companies, Inc.MGLD
Mastec IncMTZ
Matador Resources CoMTDR
Medifast IncMED
MGT Capital Investments, Inc.MGTI
Mid Penn Bancorp IncMPB
Mills Music TrustMMTRS
Mineralrite CorpRITE
Mitesco, Inc.MITI
Mobiquity Technologies, Inc.MOBQ
Mobivity Holdings Corp.
MSC Income Fund, Inc.MSIF

N

Nanoviricides, Inc.NNVC
National Bank Holdings CorpNBHC
National Bankshares IncNKSH×2
Natural Alternatives International IncNAII
NaturalShrimp IncSHMP
Neonode Inc.NEON×2
Netsol Technologies IncNTWK×2
NETWORK-1 Technologies, Inc.NTIP
New Concept Energy, Inc.GBR×2
New Momentum Corp.
Newport Gold, Inc.NWPG
NewStream Energy Technologies Group Inc
NextPlat CorpNXPL×2
NextSource Materials Inc.
NextTrip, Inc.NTRP
NGL Energy Partners LPNGL
Nordicus Partners CorpNORD×2
Nortech Systems IncNSYS
Northwest Biotherapeutics IncNWBO
Nuo Therapeutics, Inc.AURX
Nutex Health Inc.NUTX

O

Octave Specialty Group IncOSG
Oculus Inc.OVTZ
OLB Group, Inc.OLB
Old Second Bancorp IncOSBC
Omniq Corp.OMQS
ONE Group Hospitality, Inc.STKS
OptimizeRx CorpOPRX×3
OptimumBank Holdings, Inc.OPHC
Oragenics IncOGEN
Orbit International CorpORBT
Outdoor Holding CoPOWW
Oxford Industries IncOXM

P

P2 Solar, Inc.PTOS
Pacific Health Care Organization IncPFHO
Palatin Technologies IncPTN×2
Paradium.AI, Inc.PAAI
Park National CorpPRK
Parke Bancorp, Inc.PKBK
Parkervision IncPRKR
Patriot National Bancorp IncPNBK
PC Connection IncCNXN
PCS Edventures!, Inc.PCSV
Pebblebrook Hotel TrustPEB
Pedevco CorpPED
PennantPark Floating Rate Capital Ltd.PFLT×2
Pennantpark Investment CorpPNNT×2
Perspective Therapeutics, Inc.CATX×3
PetVivo Holdings, Inc.PETV
Phio Pharmaceuticals Corp.PHIO
Pilgrims Pride CorpPPC
Pioneer Power Solutions, Inc.PPSI
Planet Green Holdings Corp.PLAG
Plug Power IncPLUG
Positron CorpPOSC
Power REITPW
Power Solutions International, Inc.PSIX
Prairie Operating Co.PROP
Precision Optics Corporation, Inc.POCI
Processa Pharmaceuticals, Inc.PCSA
Procyon CorpPCYN
ProPhase Labs, Inc.PRPH
Puma Biotechnology, Inc.PBYI

Q

QDM International Inc.QDMI
QNB Corp.QNBC
Quest Resource Holding CorpQRHC
Quotemedia IncQMCI
QXO, Inc.QXO

R

Recon Technology, LtdRCON
Redwood Mortgage Investors IXRWDMU
Reed's, Inc.REED
Reflect Scientific, Inc.RSCF
Regional Management Corp.RM
Reliability IncRLBY
RemSleep Holdings Inc.RMSL
Reserve Petroleum CoRSRV
Retractable Technologies IncRVP
Rezolute, Inc.RZLT
Ridgefield Acquisition Corp
Riley Exploration Permian, Inc.REPX
Ring Energy, Inc.REI
Riverview Bancorp IncRVSB
Royal Gold IncRGLD
RTB Digital, Inc.RTB

S

Safeguard Scientifics IncSFES
Saker Aviation Services, Inc.SKAS
Sanara MedTech Inc.SMTI
Sanfilippo John B & SON IncJBSS
SANUWAVE Health, Inc.SNWV
Scandium International Mining Corp.SCYYF
Scientific Industries IncSCND
Seafarer Exploration CorpSFRX
Security Federal CorpSFDL
Security National Financial CorpSNFCA
Selectis Health, Inc.
Sharing Economy International Inc.SEII
Singularity Future Technology Ltd.SGLY
Sixth Street Specialty Lending, Inc.TSLX
Skinvisible, Inc.SKVI
Skytech Orion Global Corp.SKTG
Smart Powerr Corp.CREG
Smartfinancial Inc.SMBK
Socket Mobile, Inc.SCKT
Solesence, Inc.SLSN
Soligenix, Inc.SNGX
Sound Financial Bancorp, Inc.SFBC
South Dakota Soybean Processors LLCSDSYA
Southern Missouri Bancorp, Inc.SMBC
Sow Good Inc.SOWG
SPAR Group, Inc.SGRP
Spectral Capital CorpFCCN
Spindletop Oil & Gas CoSPND
Stabilis Solutions, Inc.SLNG
Strategic Acquisitions IncSTQN
Stratus Properties IncSTRS×2
Suburban Propane Partners LPSPH×2
SUI Group Holdings Ltd.SUIG
Sunoco LPSUN

T

Taitron Components IncTAIT
Tandy Leather Factory IncTLF
Tanke Biosciences CorpTNBI
Team IncTISI
Techprecision CorpTPCS
Telos CorpTLS
Telvantis, Inc.RDAR
TG Therapeutics, Inc.TGTX
Theriva Biologics, Inc.TOVX×2
Tofutti Brands IncTOFB
Tonix Pharmaceuticals Holding Corp.TNXP
TPG Mortgage Investment Trust, Inc.MITT
Transcontinental Realty Investors IncTCI
Trio-Tech InternationalTRT
Tronox Holdings plcTROX
TSS, Inc.TSSI
Tucows IncTCX×2

U

Union Bankshares IncUNB
United States 12 Month Natural Gas Fund, LPUNL
United States Brent Oil Fund, LPBNO
Usio, Inc.USIO
Uwharrie Capital CorpUWHR

V

Valero Energy CorpVLO
Vaso CorpVASO
Vaxart, Inc.VXRT
Vistagen Therapeutics, Inc.VTGN
VivoSim Labs, INC.VIVS
Volitionrx LtdVNRX
VPR Brands, LP.VPRB
Vycor Medical IncVYCO
Vystar CorpVYST

W

WD 40 CoWDFC
Werner Enterprises IncWERN
Western Asset High Yield Opportunity Fund Inc.HYI
Whitehawk Therapeutics, Inc.WHWK
Widepoint CorpWYY
Windtree Therapeutics Inc
Worldwide NFT Inc.WNFT

X

Xeriant, Inc.XERI
XMax Inc.XMAX
Xwell, Inc.XWEL×3

Y

Yale Transaction Finders, Inc.YTFD
Yunhong Green CTI Ltd.YHGJ

Z

Zivo Bioscience, Inc.ZIVO
Zumiez IncZUMZ
ZW Data Action Technologies Inc.CNET

LSTALisata Therapeutics, Inc.·Impairment · Restructuring costs · Agreement ended · Acquisition or sale completed·23:24

Lisata Therapeutics, Inc.: Impairment · Restructuring costs · Agreement ended · Acquisition or sale completed

VXRT·Change in control · Acquisition or sale completed · Bylaws or fiscal year changed · Unregistered shares sold · Officers or directors·22:54

Vaxart, Inc.: Change in control · Acquisition or sale completed · Bylaws or fiscal year changed · Unregistered shares sold · Officers or directors

BNC·Auditor change·14:46

BNB Standard Corp: Auditor change

BICX·Auditor change·06:01

BioCorRx Inc.: Auditor change

Thaler ResearchEngraved from SEC EDGAR© 2026 Thaler. All rights reserved.Last sale prices: Data provided for free by IEX. By accessing or using IEX Historical Data, you agree to the IEX Historical Data Terms of Use.

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Pre-market4

07:01ASTCAstrotech Corp
07:45FBIOFortress Biotech, Inc.
08:58

FWP

31

Annual ownership59

Institutional holdings13F-HR6

Prospectus supplement424B36

CORRESP6

Initial ownership35

UPLOAD5

Amended quarterly report10-Q/A4

Shelf registrationS-34

Annual report10-K3

13F-NT3

Exchange listing8-A12B3

EFFECT3

Amended annual report10-K/A2

Notice of intent to sell1442

Exempt offering noticeD2

Proxy statementDEF 14A2

POS AM2

RW2

Registration statementS-12

Prospectus supplement424B51

Merger communication4251

497AD1

6-K/A1

8-A12G/A1

Current report (amended)8-K/A1

CERTNYS1

CT ORDER1

N-Q1

S-3MEF1

Stake amendedSC 13D/A1

Passive stake amendedSC 13G/A1

P

PTNPalatin Technologies Inc

02:41P

CATXPerspective Therapeutics, Inc.

Market hours9

11:39GOVXGeoVax Labs, Inc.
12:15PHIOPhio Pharmaceuticals Corp.
12:26STRSStratus Properties Inc
12:31SEIISharing Economy International Inc.
12:57HWBKHawthorn Bancshares, Inc.
14:05LSTALisata Therapeutics, Inc.
14:16NTWKNetsol Technologies Inc
15:13ORBTOrbit International Corp
15:50TCXTucows Inc

After-hours15

16:01CFBKCF Bankshares Inc.
16:05XWELXwell, Inc.
16:05TPCSTechprecision Corp
16:08GSATGlobalstar, Inc.
16:42PSIXPower Solutions International, Inc.
16:44INFUInfuSystem Holdings, Inc
16:53OPRXOptimizeRx Corp
17:51GBRNew Concept Energy, Inc.
21:18TOVXTheriva Biologics, Inc.
21:28PFLTPennantPark Floating Rate Capital Ltd.
21:30BKTIBK Technologies Corp
21:33PNNTPennantpark Investment Corp

Sunoco LPSUN · 10-Q · Sep 30 · 19:43

$1.12B

+13.3%

Tronox Holdings plcTROX · 10-Q · Sep 30 · 16:12

$487.00M+4.7%

Alto Ingredients, Inc.ALTO · 10-Q · Sep 30 · 17:00

$215.86M20.5%

Octave Specialty Group IncOSG · 10-Q · Sep 30 · 21:41

$197.16M+666.7%

Franklin Covey CoFC · 10-K · Aug 31 · 20:24

$170.46M+6.0%

Covenant Logistics Group, Inc.CVLG · 10-Q · Sep 30 · 12:17

$168.43M+4.3%

Green Brick Partners, Inc.GRBK · 10-Q · Sep 30 · 18:41

$116.15M28.5%

TPG Mortgage Investment Trust, Inc.MITT · 10-Q · Sep 30 · 01:15

$64.92M+339.3%

Security National Financial CorpSNFCA · 10-Q · Sep 30 · 17:18

$63.75M+54.3%

TISITeam Inc · Arthur F Victorson, Sr. Vice President$1.27MSale · 39,000 sh

MTZMastec Inc · C Robert Campbell, EVP & CFO$511.14KSale · 22,222 sh

WDFCWD 40 Co · Mario L Crivello, Director$472.13KSale · 10,000 sh

HALOHalozyme Therapeutics, Inc. · Kathryn e Falberg, Director$260.50KPurchase · 50,000 sh

MDGLMadrigal Pharmaceuticals, Inc. · Bruce Kovner, Director$260.46KPurchase · 37,700 sh

Open insider activity

NXPL NextPlat Corp · Unregistered shares sold · New agreement

16:49C

CMS-PB Consumers Energy Co · New agreement

16:37F

FTK Flotek Industries Inc · New agreement

12:12D

DAKT Daktronics Inc · New agreement

23:24L

LSTA Lisata Therapeutics, Inc. · Impairment · Restructuring costs · Agreement ended · Acquisition or sale completed

OXM Oxford Industries Inc · Officers or directors

17:39L

LFCR Lifecore Biomedical, Inc. de · Officers or directors

17:04N

NKSH National Bankshares Inc · Officers or directors

16:54S

SGRP SPAR Group, Inc. · Officers or directors

16:42M

MED Medifast Inc · Officers or directors

16:15P

CNXN PC Connection Inc · Officers or directors

15:01S

SPH Suburban Propane Partners LP · Officers or directors

The dayWednesday, November 14