Documents
No Recent SEC Investigative Records Found – 54 Companies
As of the date of the response in the table below, we received Freedom of Information Act (FOIA) responses from the SEC to suggest the absence of recent SEC investigative activity. If you think any of these companies have SEC investigations, or had them in the recent past, let us know and we’ll file an appeal to challenge the adequacy of the search that led to the responses cited here.
| # | Company Name | Ticker | Date of Response |
| 1 | 1st Source Corporation | SRCE | 21-Aug-2019 |
| 2 | Adobe Systems Inc. | ADBE | 21-Aug-2019 |
| 3 | Aircastle Ltd | AYR | 22-Aug-2019 |
| 4 | Altra Industrial Motion Corporation | AIMC | 21-Aug-2019 |
| 5 | ANI Pharmaceuticals Inc. | ANIP | 21-Aug-2019 |
| 6 | Anika Therapeutics, Inc. | ANIK | 22-Aug-2019 |
| 7 | AO Smith Corp. | AOS | 20-Aug-2019 |
| 8 | Bristow Group, Inc. | BRS | 19-Aug-2019 |
| 9 | Chatham Lodging Trust | CLDT | 23-Aug-2019 |
| 10 | Cisco Systems, Inc. | CSCO | 19-Aug-2019 |
| 11 | Davita Inc. | DVA | 23-Aug-2019 |
| 12 | Diamond Hill Investment Group, Inc. | DHIL | 23-Aug-2019 |
| 13 | Diodes Incorporated | DIOD | 20-Aug-2019 |
| 14 | Douglas Dynamics Inc. | PLOW | 20-Aug-2019 |
| 15 | Editas Medicine Inc. | EDIT | 20-Aug-2019 |
| 16 | Ensign Group Inc., The | ENSG | 14-Aug-2019 |
| 17 | Global Brass & Copper Holdings Inc. | BRSS | 20-Aug-2019 |
| 18 | Halozyme Therapeutics Inc. | HALO | 20-Aug-2019 |
| 19 | HighPoint Resources Corporation | HPR | 20-Aug-2019 |
| 20 | Homestreet Inc. | HMST | 20-Aug-2019 |
| 21 | Horizon Pharma PLC | HZNP | 21-Aug-2019 |
| 22 | IMAX Corp. | IMAX | 20-Aug-2019 |
| 23 | Independent Bank Group Inc. | IBTX | 20-Aug-2019 |
| 24 | Ingles Markets Inc. | IMKTA | 13-Aug-2019 |
| 25 | Intersections Inc. | INTX | 22-Aug-2019 |
| 26 | iStar Inc. | STAR | 22-Aug-2019 |
| 27 | Kelly Services Inc. | KELYA | 22-Aug-2019 |
| 28 | Kimco Realty Corp. | KIM | 16-Aug-2019 |
| 29 | Lakeland Financial Corp. | LKFN | 14-Aug-2019 |
| 30 | LGI Homes Inc. | LGIH | 22-Aug-2019 |
| 31 | Live Nation Entertainment, Inc. | LYV | 19-Aug-2019 |
| 32 | Masimo Corporation | MASI | 19-Aug-2019 |
| 33 | Meridian Bancorp, Inc. | EBSB | 22-Aug-2019 |
| 34 | National General Holdings Corp. | NGHC | 23-Aug-2019 |
| 35 | Neogenomics Inc. | NEO | 22-Aug-2019 |
| 36 | New Jersey Resources Corp. | NJR | 20-Aug-2019 |
| 37 | NXP Semiconductors NV | NXPI | 15-Aug-2019 |
| 38 | Overstock.com, Inc. | OSTK | 23-Aug-2019 |
| 39 | Qumu Corp. | QUMU | 22-Aug-2019 |
| 40 | SeaChange International, Inc. | SEAC | 19-Aug-2019 |
| 41 | Select Medical Holdings Corp. | SEM | 23-Aug-2019 |
| 42 | Shoe Carnival, Inc. | SCVL | 22-Aug-2019 |
| 43 | Sinclair Broadcast Group Inc. | SBGI | 16-Aug-2019 |
| 44 | Sprouts Farmers Market, Inc. | SFM | 19-Aug-2019 |
| 45 | State Bank Financial Corp. | STBZ | 21-Aug-2019 |
| 46 | Synergy Pharmaceuticals Inc. | SGYP | 22-Aug-2019 |
| 47 | TimkenSteel Corp. | TMST | 23-Aug-2019 |
| 48 | Tompkins Financial Corp. | TMP | 21-Aug-2019 |
| 49 | Universal Insurance Holdings Inc. | UVE | 20-Aug-2019 |
| 50 | Valhi, Inc. | VHI | 21-Aug-2019 |
| 51 | Varonis Systems Inc. | VRNS | 21-Aug-2019 |
| 52 | Verint Systems Inc. | VRNT | 21-Aug-2019 |
| 53 | Virtusa Corp | VRTU | 23-Aug-2019 |
| 54 | Walker & Dunlop, Inc. | WD | 20-Aug-2019 |
Notes: New SEC investigative activity could theoretically begin or end after the date covered by the latest information in this report, which would not be reflected here. Where applicable, the SEC did not disclose the details on investigations referenced herein. All we know is that they somehow pertain to the conduct, transactions, and/or disclosures of the companies. Companies with undisclosed SEC investigations are maintained on our Watch List of companies with undisclosed SEC investigations. The SEC reminds us that its assertion of the law enforcement exemption should not be construed as an indication by the Commission or its staff that any violations of law have occurred with respect to any person, entity, or security.
