Documents
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.
