Probes Reporter FOIA Update / Data Feed: No Recent SEC Investigative Records Found – 84 Companies

FOLD
APPF
AGX
AFI
AHT
AC
ATRA
ATNI
ATRI
BK
BLUE
CALD
CPB
CASS
CDR
CEVA
CHE
CLX
CMRE
CACC
EGRX
EFSC
EVOL
EXAS
EXPO
FGEN
FNF
FPRX
FIVN
GDDY
HSTM
HMSY
HD
HUD
ICFI
IPHS
IRWD
ITRI
KAI
LGND
LORL
MDU
MRK
VIVO
NWLI
NP
NPTN
NRE
NVCR
NRG
OLLI
OSG
PLXS
PTLA
PTC
RPD
RGS
RSG
RAD
RMR
SAFT
SASR
SPNS
SEMG
SHG
SP
STAG
STFC
SHOO
SUP
SUPN
TDS
TTI
TXN
THR
TG
TCBK
GTS
TRST
TRMK
TTMI
VLO
VIAB
WAL

No Recent SEC Investigative Records Found – 84 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 Amicus Therapeutics Inc. FOLD 6-Sep-2019
2 AppFolio Inc. APPF 5-Sep-2019
3 Argan Inc. AGX 5-Sep-2019
4 Armstrong Flooring, Inc. AFI 4-Sep-2019
5 Ashford Hospitality Trust Inc. AHT 4-Sep-2019
6 Associated Capital Group Inc. AC 5-Sep-2019
7 Atara Biotherapeutics Inc. ATRA 5-Sep-2019
8 ATN International, Inc. ATNI 10-Sep-2019
9 Atrion Corp. ATRI 4-Sep-2019
10 Bank of New York Mellon Corporation, The BK 7-May-2019
11 Bluebird Bio, Inc. BLUE 10-Sep-2019
12 Callidus Software, Inc. CALD 15-Apr-2019
13 Campbell Soup Co CPB 11-Sep-2019
14 Cass Information Systems Inc. CASS 4-Sep-2019
15 Cedar Realty Trust Inc. CDR 5-Sep-2019
16 CEVA, Inc. CEVA 12-Sep-2019
17 Chemed Corp. CHE 11-Sep-2019
18 Clorox Company, The CLX 12-Sep-2019
19 Costamare, Inc. CMRE 5-Sep-2019
20 Credit Acceptance Corp. CACC 5-Sep-2019
21 Eagle Pharmaceuticals, Inc. EGRX 5-Sep-2019
22 Enterprise Financial Services Corporation EFSC 12-Sep-2019
23 Evolving Systems Inc. EVOL 12-Sep-2019
24 EXACT Sciences Corp. EXAS 12-Sep-2019
25 Exponent Inc. EXPO 12-Sep-2019
26 FibroGen Inc. FGEN 11-Sep-2019
27 Fidelity National Financial, Inc. FNF 11-Sep-2019
28 Five Prime Therapeutics Inc. FPRX 13-Sep-2019
29 Five9 Inc. FIVN 4-Sep-2019
30 GoDaddy Inc. GDDY 12-Sep-2019
31 Healthstream Inc. HSTM 9-Sep-2019
32 HMS Holdings Corp. HMSY 13-Sep-2019
33 Home Depot Inc., The HD 11-Sep-2019
34 Hudson Ltd. HUD 12-Sep-2019
35 ICF International Inc. ICFI 12-Sep-2019
36 Innophos Holdings Inc. IPHS 12-Sep-2019
37 Ironwood Pharmaceuticals, Inc. IRWD 9-Sep-2019
38 Itron, Inc. ITRI 10-Sep-2019
39 Kadant, Inc. KAI 11-Sep-2019
40 Ligand Pharmaceuticals, Inc. LGND 9-Sep-2019
41 Loral Space & Communications, Inc. LORL 9-Sep-2019
42 MDU Resources Group, Inc. MDU 6-Mar-2019
43 Merck & Co. Inc. MRK 12-Sep-2019
44 Meridian Bioscience, Inc. VIVO 4-Sep-2019
45 National Western Life Group, Inc. NWLI 6-Sep-2019
46 Neenah, Inc. NP 12-Sep-2019
47 NeoPhotonics Corp. NPTN 4-Sep-2019
48 Northstar Realty Europe Corp. NRE 4-Sep-2019
49 Novocure, Ltd. NVCR 4-Sep-2019
50 NRG Energy, Inc. NRG 10-Sep-2019
51 Ollie's Bargain Outlet Holdings Inc. OLLI 10-Sep-2019
52 Overseas Shipholding Group Inc. OSG 13-Sep-2019
53 Plexus Corp. PLXS 12-Sep-2019
54 Portola Pharmaceuticals, Inc. PTLA 4-Sep-2019
55 PTC Inc. PTC 11-Sep-2019
56 Rapid7 Inc. RPD 12-Sep-2019
57 Regis Corporation RGS 4-Sep-2019
58 Republic Services, Inc. RSG 11-Feb-2019
59 Rite Aid Corporation RAD 10-Sep-2019
60 RMR Group Inc., The RMR 4-Sep-2019
61 Safety Insurance Group, Inc. SAFT 11-Sep-2019
62 Sandy Spring Bancorp, Inc. SASR 9-Sep-2019
63 Sapiens International Corp. N.V. SPNS 9-Sep-2019
64 SemGroup Corp. SEMG 9-Sep-2019
65 Shinhan Financial Group Company Limited SHG 10-Sep-2019
66 SP Plus Corporation SP 13-Sep-2019
67 STAG Industrial Inc. STAG 4-Sep-2019
68 State Auto Financial Corp. STFC 13-Sep-2019
69 Steven Madden Ltd. SHOO 10-Apr-2019
70 Superior Industries International, Inc. SUP 11-Sep-2019
71 Supernus Pharmaceuticals Inc. SUPN 13-Sep-2019
72 Telephone & Data Systems, Inc. TDS 9-Sep-2019
73 Tetra Technologies, Inc. TTI 11-Sep-2019
74 Texas Instruments, Inc. TXN 12-Mar-2019
75 Thermon Group Holdings, Inc. THR 12-Sep-2019
76 Tredegar Corporation TG 5-Sep-2019
77 Trico Bancshares TCBK 12-Sep-2019
78 Triple-S Management Corporation GTS 12-Sep-2019
79 TrustCo Bank Corp NY TRST 5-Sep-2019
80 Trustmark Corporation TRMK 12-Sep-2019
81 TTM Technologies Inc. TTMI 12-Sep-2019
82 Valero Energy Corporation VLO 9-Sep-2019
83 Viacom, Inc. VIAB 11-Sep-2019
84 Western Alliance Bancorporation WAL 4-Sep-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. 

No