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

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‹ Sun, Jan 27, 2013

Monday, January 28, 2013

383 filings · 226 companiesAll checks passed · Updated Oct 30

Tue, Jan 29, 2013 ›

Front page5 By time of day Results14 Reports10 Insiders19 Agreements7 Officers and directors10 Filings103 Index

Nothing from your lists

By time of day

103 filings

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

Results
Other filings

02:0004:0006:0008:0010:0012:0014:0016:0018:0020:0022:00

Pre-marketMarket hoursAfter-hours

22 without a time on file

Results

14 announced

Nothing from your lists

Reports

4 quarterly · 6 annual

CompanyRevenueOn the year

J&J Snack Foods CorpJJSF · 10-Q · Dec 29 · 20:59
$191.41M+10.8%

Nothing from your lists

Insiders

19 filings

Purchases$4.49M8 filings

Sales$5.79M11 filings

TZOOTravelzoo · Ralph Bartel 2005 Trust, 10% owner$3.13MSale · 140,782 sh

Nothing from your lists

Agreements

7 filings

22:21IESC IES Holdings, Inc. · Shareholder rights changed · Bylaws or fiscal year changed · New agreement
21:28

Nothing from your lists

Officers and directors

10 filings

22:00BXC BlueLinx Holdings Inc. · Officers or directors
21:28

Nothing from your lists

Filings

103 listed

Find a company, form or word

17:00

17:36GMED
GMED Globus Medical Inc · Officers or directors

02:00

02:25VNO
VNO Vornado Realty Trust · Bylaws or fiscal year changed

07:00

07:26HOS
HOS Hornbeck Offshore Services, Inc. · New agreement
07:45ROP
ROP Roper Technologies Inc · Results, pre-market

08:00

08:36FTK
FTK Flotek Industries Inc · Officers or directors

09:00

09:14HCI
HCI HCI Group, Inc. · New debt · New agreement
09:24PETS
PETS Petmed Express Inc · Announcement

10:00

10:08CSPI
CSPI CSP Inc · Amended annual report
10:53RDNT
RDNT RadNet, Inc. · Stake reported

11:00

11:10LEXX
LEXX Lexaria Bioscience Corp. · Stake amended
11:10LOOP
LOOP Loop Industries, Inc. · Quarterly report
11:26PEBK
PEBK Peoples Bancorp of North Carolina Inc · Results, market hours
11:36ANIX
ANIX Anixa Biosciences Inc · New debt · Unregistered shares sold · New agreement

12:00

12:04ECIA
ECIA Encision Inc · Results, market hours
12:38NX
NX Quanex Building Products CORP · Proxy statement

13:00

13:41ESRT
ESRT Empire State Realty Trust, Inc. · Merger communication
13:52ESRT
ESRT Empire State Realty Trust, Inc. · Merger communication

14:00

14:01ESRT
ESRT Empire State Realty Trust, Inc. · Merger communication
14:01PETS
PETS Petmed Express Inc · Officers or directors
14:17ESRT
ESRT Empire State Realty Trust, Inc. · Merger communication
14:31INN
INN Summit Hotel Properties, Inc. · Acquisition or sale completed · New agreement
14:40ACRG
ACRG American Clean Resources Group, Inc. · Officers or directors

15:00

15:00CMTV
CMTV Community Bancorp · Results, market hours
15:00LCNB
LCNB LCNB Corp · Officers or directors
15:37SMBC
SMBC Southern Missouri Bancorp, Inc. · Results, market hours
15:48SCDA
SCDA B-Scada, Inc. · Annual report
15:49CBAT
CBAT CBAK Energy Technology Ltd · Proxy statement

16:00

16:00HIO
HIO Western Asset High Income Opportunity Fund Inc. · Investor disclosure
16:03MHF
MHF Western Asset Municipal High Income Fund Inc. · Investor disclosure
16:03DMO
DMO Western Asset Mortgage Opportunity Fund Inc. · Investor disclosure
16:03MMU
MMU Western Asset Managed Municipals Fund Inc. · Investor disclosure
16:03EMO
EMO ClearBridge Energy Midstream Opportunity Fund Inc. · Investor disclosure
16:04IGI
IGI Western Asset Investment Grade Opportunity Trust Inc. · Investor disclosure
16:04SCD
SCD LMP Capital & Income Fund Inc. · Investor disclosure
16:04SBI
SBI Western Asset Intermediate Muni Fund Inc. · Investor disclosure
16:05EMD
EMD Western Asset Emerging Markets Debt Fund Inc. · Investor disclosure
16:05GDO
GDO Western Asset Global Corporate Opportunity Fund Inc. · Investor disclosure
16:06EHI
EHI Western Asset Global High Income Fund Inc. · Investor disclosure
16:06HIX
HIX Western Asset High Income Fund II Inc. · Investor disclosure
16:06HYI
HYI Western Asset High Yield Opportunity Fund Inc. · Investor disclosure

40 of 103

Index

Forms filed

Insider filing4104
Current report8-K62
Foreign issuer report6-K33
Merger communication42516
Passive stake amendedSC 13G/A16
Initial ownership

90 companies

Find a company

A

abrdn Total Dynamic Dividend FundAOD
Actinium Pharmaceuticals, Inc.ATNM×2
American Clean Resources Group, Inc.ACRG
ANI Pharmaceuticals IncANIP
Anixa Biosciences IncANIX
Aspira Women's Health Inc.AWHL
Atlas Lithium CorpATLX
Atossa Therapeutics, Inc.ATOS

B

B-Scada, Inc.SCDA
Beazer Homes USA IncBZH×3
Berkley W R CorpWRB
BlueLinx Holdings Inc.BXC
Brainstorm Cell Therapeutics Inc.BCLI
BrandywineGLOBAL-Global Income Opportunities Fund IncBWG
Bridgeline Digital, Inc.BLIN

C

CBAK Energy Technology LtdCBAT
CBAK Energy Technology, Inc.
ClearBridge Energy Midstream Opportunity Fund Inc.EMO
Coffee Holding Co IncJVA×2
Community BancorpCMTV
Crown Equity Holdings, Inc.CRWE
CSP IncCSPI

D

Digerati Technologies, Inc.DTGI
DyTb, LLC

E

Emmaus Life Sciences, Inc.EMMA
Empire State Realty OP, L.P.ESBA×6
Empire State Realty Trust, Inc.ESRT×6
Encision IncECIA

F

Fastenal CoFAST
Financial Gravity Companies, Inc.FGCO×2
Flotek Industries IncFTK

G

Gladstone Investment CorporationdeGAIN×2
Globus Medical IncGMED

H

HCI Group, Inc.HCI
Hornbeck Offshore Services, Inc.HOS
Hovnanian Enterprises IncHOV

I

IES Holdings, Inc.IESC
Innovative Designs IncIVDN
Inotiv, Inc.
Invesco Mortgage Capital Inc.IVR

J

J&J Snack Foods CorpJJSF×2

K

Kronos Worldwide IncKRO

L

LCNB CorpLCNB×2
LEE Enterprises, IncLEE
Lexaria Bioscience Corp.LEXX
Live Ventures IncLIVE
LMP Capital & Income Fund Inc.SCD
Loop Industries, Inc.LOOP

M

Macerich CoMAC
Manhattan Associates IncMANH
Mineralrite CorpRITE

N

Newmarket CorpNEU
Nexpoint Diversified Real Estate TrustNXDT
Northfield Bancorp, Inc.
Nuveen AMT-Free Quality Municipal Income FundNEA
Nuveen Arizona Quality Municipal Income FundNAZ×3
Nuwellis, Inc.NUWE

O

Oil-Dri Corp of AmericaODC
Oruka Therapeutics, Inc.ORKA

P

Park National CorpPRK
Peoples Bancorp of North Carolina IncPEBK
Petmed Express IncPETS×2
Phillips Edison & Company, Inc.PECO

Q

Quanex Building Products CORPNX

R

R F Industries LtdRFIL
RadNet, Inc.RDNT
Roper Technologies IncROP
RPM International IncRPM

S

Sanmina CorpSANM
ServisFirst Bancshares, Inc.SFBS
SolarWindow Technologies, Inc.WNDW
Southern Missouri Bancorp, Inc.SMBC
Summit Hotel Properties, Inc.INN

T

TD SYNNEX CorpSNX
Team IncTISI
TravelzooTZOO

V

Veeco Instruments IncVECO
Vornado Realty TrustVNO

W

Western Asset Emerging Markets Debt Fund Inc.EMD
Western Asset Global Corporate Opportunity Fund Inc.GDO
Western Asset Global High Income Fund Inc.EHI
Western Asset High Income Fund II Inc.HIX
Western Asset High Income Opportunity Fund Inc.HIO
Western Asset High Yield Opportunity Fund Inc.HYI
Western Asset Intermediate Muni Fund Inc.SBI
Western Asset Investment Grade Opportunity Trust Inc.IGI
Western Asset Managed Municipals Fund Inc.MMU
Western Asset Mortgage Opportunity Fund Inc.DMO
Western Asset Municipal High Income Fund Inc.MHF
Westwater Resources, Inc.WWR

ATNMActinium Pharmaceuticals, Inc.·Change in control · Auditor change · Acquisition or sale completed · Shell status changed · Code of ethics changed · Unregistered shares sold · New agreement · Officers or directors (amended)·21:28

Actinium Pharmaceuticals, Inc.: Change in control · Auditor change · Acquisition or sale completed · Shell status changed · Code of ethics changed · Unregistered shares sold · New agreement · Officers or directors (amended)

IESC·Shareholder rights changed · Bylaws or fiscal year changed · New agreement·22:21

IES Holdings, Inc.: Shareholder rights changed · Bylaws or fiscal year changed · New agreement

WWR·Shareholder rights changed · Bylaws or fiscal year changed · Officers or directors·17:01

Westwater Resources, Inc.: Shareholder rights changed · Bylaws or fiscal year changed · Officers or directors

MAC·Acquisition or sale completed·16:17

Macerich Co: Acquisition or sale completed

INN·Acquisition or sale completed · New agreement·14:31

Summit Hotel Properties, Inc.: Acquisition or sale completed · New agreement

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-market1

07:45ROPRoper Technologies Inc

Market hours4

11:26PEBKPeoples Bancorp of North Carolina Inc

3

15

Annual ownership512

CORRESP12

UPLOAD11

Proxy statementDEF 14A8

N-Q8

NSAR-B8

4975

Proxy materialDEFA14A5

Passive stake reportedSC 13G5

Annual report10-K4

Quarterly report10-Q4

Exchange listing8-A12B4

EFFECT4

Exempt offering noticeD3

N-CSR3

NSAR-A3

Stake reportedSC 13D3

10-12G/A2

Amended annual report10-K/A2

Prospectus supplement424B52

Insider filing, amended4/A2

DEFR14A2

Registration statementS-12

Initial ownership, amended3/A1

Prospectus supplement424B31

6-K/A1

Current report (amended)8-K/A1

CERTNAS1

CT ORDER1

DEL AM1

DFAN14A1

DRS/A1

F-6EF1

N-30B-21

N-CSRS1

NSAR-B/A1

POS 8C1

POS AM1

PRER14A1

PRRN14A1

S-11/A1

Amended shelf registrationS-3/A1

Employee plan registrationS-81

Stake amendedSC 13D/A1

SC TO-C1

SC TO-I/A1

12:04

E

ECIAEncision Inc

15:00C

CMTVCommunity Bancorp

15:37S

SMBCSouthern Missouri Bancorp, Inc.

After-hours9

16:11SANMSanmina Corp
16:15LCNBLCNB Corp
16:40GAINGladstone Investment Corporationde
16:41PRKPark National Corp
17:07JVACoffee Holding Co Inc
17:08NEUNewmarket Corp
19:52SFBSServisFirst Bancshares, Inc.
21:01JJSFJ&J Snack Foods Corp
21:01BZHBeazer Homes USA Inc

Coffee Holding Co IncJVA · 10-K · Oct 31 · 17:09

$173.66M

+18.3%

CSP IncCSPI · 10-K/A · Sep 30 · 10:08

$84.81M+15.2%

B-Scada, Inc.SCDA · 10-K · Oct 31 · 15:48

$1.07M+9.2%

Innovative Designs IncIVDN · 10-K · Oct 31 · 17:25

$812.76K21.8%

Loop Industries, Inc.LOOP · 10-Q · Dec 31 · 11:10

——

Gladstone Investment CorporationdeGAIN · 10-Q · Dec 31 · 16:33

——

Emmaus Life Sciences, Inc.EMMA · 10-K/A · Sep 30 · 17:20

——

Beazer Homes USA IncBZH · 10-Q · Dec 31 · 21:09

——

TD SYNNEX CorpSNX · 10-K · Jan 15 · —

——

KROKronos Worldwide Inc · Harold C Simmons, Chairman of the Board$1.98MPurchase · 100,000 sh

FASTFastenal Co · Michael Scott Camp, Executive Vice President$1.21MSale · 25,000 sh

NXDTNexpoint Diversified Real Estate Trust · Dondero James D$1.18MPurchase · 171,532 sh

AODabrdn Total Dynamic Dividend Fund · Stephen A Lieber, Executive Vice President$601.50KPurchase · 150,000 sh

ORKAOruka Therapeutics, Inc. · Michael R Bristow, President and CEO$500.00KPurchase · 1,069,290 sh

Open insider activity

A

ATNM Actinium Pharmaceuticals, Inc. · Change in control · Auditor change · Acquisition or sale completed · Shell status changed · Code of ethics changed · Unregistered shares sold · New agreement · Officers or directors (amended)

16:23I

IVR Invesco Mortgage Capital Inc. · New agreement

14:31S

INN Summit Hotel Properties, Inc. · Acquisition or sale completed · New agreement

11:36A

ANIX Anixa Biosciences Inc · New debt · Unregistered shares sold · New agreement

09:14H

HCI HCI Group, Inc. · New debt · New agreement

07:26H

HOS Hornbeck Offshore Services, Inc. · New agreement

ATNM Actinium Pharmaceuticals, Inc. · Change in control · Auditor change · Acquisition or sale completed · Shell status changed · Code of ethics changed · Unregistered shares sold · New agreement · Officers or directors (amended)

17:02M

MANH Manhattan Associates Inc · Officers or directors

17:01W

WWR Westwater Resources, Inc. · Shareholder rights changed · Bylaws or fiscal year changed · Officers or directors

16:43O

ODC Oil-Dri Corp of America · Officers or directors

15:00L

LCNB LCNB Corp · Officers or directors

14:40A

ACRG American Clean Resources Group, Inc. · Officers or directors

14:01P

PETS Petmed Express Inc · Officers or directors

The dayMonday, January 28