SEC Investigation Updates - February 07, 2023
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Today we published updates into SEC investigative activity at the following companies --
| 1 | AeroVironment, Inc. | AVAV |
| 2 | Akebia Therapeutics, Inc. | AKBA |
| 3 | American Axle & Manufacturing Holdings, Inc. | AXL |
| 4 | Bj's Wholesale Club Holdings, Inc. | BJ |
| 5 | Blackline, Inc. | BL |
| 6 | Blackstone Mortgage Trust, Inc. | BXMT |
| 7 | Bright Horizons Family Solutions, Inc. | BFAM |
| 8 | Brightview Holdings, Inc. | BV |
| 9 | Cactus Inc. | WHD |
| 10 | Capri Holdings | CPRI |
| 11 | Coca-Cola Company, The | KO |
| 12 | Cohen & Steers, Inc. | CNS |
| 13 | Ecovyst, Inc. | ECVT |
| 14 | Elbit Systems Ltd. | ESLT |
| 15 | Empire State Realty Trust, Inc. | ESRT |
| 16 | Fate Therapeutics, Inc. | FATE |
| 17 | Fluor Corporation | FLR |
| 18 | Forum Energy Technologies Inc. | FET |
| 19 | Franklin Electric Co., Inc. | FELE |
| 20 | FreightCar America Inc. | RAIL |
| 21 | Freshpet Inc. | FRPT |
| 22 | Frontline Ltd. | FRO |
| 23 | Gamestop Corp. | GME |
| 24 | Gartner Inc. | IT |
| 25 | Glaukos Corp. | GKOS |
| 26 | Green Plains, Inc. | GPRE |
| 27 | H.B. Fuller Company | FUL |
| 28 | Hannon Armstrong Sustainable Infrastructure Capital, Inc. | HASI |
| 29 | Helios Technologies, Inc. | HLIO |
| 30 | Hilton Grand Vacations Inc. | HGV |
| 31 | Horizon Bancorp Inc. | HBNC |
| 32 | Hurco Companies Inc. | HURC |
| 33 | Innoviva Inc. | INVA |
| 34 | JAKKS Pacific Inc. | JAKK |
| 35 | L3Harris Technologies, Inc. | LHX |
| 36 | Lexicon Pharmaceuticals Inc. | LXRX |
| 37 | Lucid Group Inc. | LCID |
| 38 | Lumentum Holdings Inc. | LITE |
| 39 | Lyft, Inc. | LYFT |
| 40 | Navient Corp. | NAVI |
| 41 | Nlight Inc. | LASR |
| 42 | Office Properties Income Trust | OPI |
| 43 | Palo Alto Networks, Inc. | PANW |
| 44 | Park National Corp. | PRK |
| 45 | Pennant Group Inc. | PNTG |
| 46 | Phillips 66 | PSX |
| 47 | Physicians Realty Trust | DOC |
| 48 | Pinnacle Financial Partners Inc. | PNFP |
| 49 | Price T. Rowe Group, Inc. | TROW |
| 50 | Progyny, Inc. | PGNY |
| 51 | Prudent Financial, Inc. | PRU |
| 52 | Red Rock Resorts Inc. | RRR |
| 53 | Selective Insurance Group Inc. | SIGI |
| 54 | Seritage Growth Properties | SRG |
| 55 | Simon Property Group Inc. | SPG |
| 56 | Smith & Nephew PLC | SNN |
| 57 | Standex International Corp. | SXI |
| 58 | Steel Dynamics Inc. | STLD |
| 59 | Summit Hotel Properties Inc. | INN |
| 60 | Takeda Pharmaceutical Co Ltd | TAK |
| 61 | TJX Companies Inc., The | TJX |
| 62 | Trex Company, Inc. | TREX |
| 63 | U.S. Silica Holdings Inc. | SLCA |
| 64 | United Fire Group Inc. | UFCS |
| 65 | Viatris Inc. | VTRS |
| 66 | Westwood Holdings Group Inc. | WHG |
| 67 | World Fuel Services Corp. | INT |
| 68 | World Wrestling Entertainment, Inc. | WWE |
| 69 | Zumiez Inc. | ZUMZ |
Important: The data reflected in this report are only current as of the dates indicated for each individual company. 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.
Similarly, public company disclosures made since the dates indicated herein could impact your analysis.
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.
Full disclosures and important additional information appear at the end of this report.
