SEC Investigation Updates - January 18, 2023
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Today we published updates into SEC investigative activity at the following 118 companies --
| 1 | AbbVie Inc. | ABBV |
| 2 | Adient PLC | ADNT |
| 3 | Adtalem Global Education, Inc. | ATGE |
| 4 | Agios Pharmaceuticals, Inc. | AGIO |
| 5 | Air Transport Services Group, Inc. | ATSG |
| 6 | Allison Transmission Holdings Inc. | ALSN |
| 7 | Aluminum Corporation of China Limited (ADR) | ACH |
| 8 | American Airlines Group Inc. | AAL |
| 9 | American Eagle Outfitters, Inc. | AEO |
| 10 | Annaly Capital Management Inc. | NLY |
| 11 | Anterix Inc. | ATEX |
| 12 | Aptiv PLC. | APTV |
| 13 | Archer-Daniels-Midland Company | ADM |
| 14 | Astec Industries, Inc. | ASTE |
| 15 | Baidu, Inc. | BIDU |
| 16 | Ball Corporation | BLL |
| 17 | Becton, Dickinson & Company | BDX |
| 18 | Berry Global Group, Inc. | BERY |
| 19 | Bloomin' Brands Inc. | BLMN |
| 20 | Boot Barn Holdings Inc. | BOOT |
| 21 | Boyd Gaming Corporation | BYD |
| 22 | Brighthouse Financial, Inc. | BHF |
| 23 | Byline Bancorp, Inc. | BY |
| 24 | Cable One, Inc. | CABO |
| 25 | Calavo Growers Inc. | CVGW |
| 26 | Chegg Inc. | CHGG |
| 27 | Chevron Corporation | CVX |
| 28 | City Office REIT Inc. | CIO |
| 29 | Comcast Corporation | CMCSA |
| 30 | CTI BioPharma Corporation | CTIC |
| 31 | Darden Restaurants, Inc. | DRI |
| 32 | Dick's Sporting Goods, Inc. | DKS |
| 33 | Dorman Products, Inc. | DORM |
| 34 | ESCO Technologies, Inc. | ESE |
| 35 | Farmer Brothers Co. | FARM |
| 36 | FARO Technologies, Inc. | FARO |
| 37 | FB Financial Corp. | FBK |
| 38 | First Hawaiian, Inc. | FHB |
| 39 | Fortive Corp. | FTV |
| 40 | GrafTech International Ltd. | GTI |
| 41 | Granite Point Mortgage Trust, Inc. | GPMT |
| 42 | GSI Technology Inc. | GSIT |
| 43 | Healthpeak Properties, Inc. | PEAK |
| 44 | Heska Corp. | HSKA |
| 45 | Hostess Brands Inc. | TWNK |
| 46 | Illumina Inc. | ILMN |
| 47 | Independent Bank Corp. | IBCP |
| 48 | Ingevity Corp. | NGVT |
| 49 | Invesco Mortgage Capital Inc. | IVR |
| 50 | Iovance Biotherapeutics Inc. | IOVA |
| 51 | iRobot Corporation | IRBT |
| 52 | JM Smucker Company, The | SJM |
| 53 | Kratos Defense & Security Solutions Inc. | KTOS |
| 54 | Kronos Worldwide Inc. | KRO |
| 55 | Lamb Weston Holdings, Inc. | LW |
| 56 | Liberty Latin America Ltd. | LILA |
| 57 | Life Storage, Inc. | LSI |
| 58 | Lithia Motors, Inc. | LAD |
| 59 | Livent Corp. | LTHM |
| 60 | Logitech International SA | LOGI |
| 61 | Marathon Petroleum Corp. | MPC |
| 62 | Marlin Business Services Corp. | MRLN |
| 63 | Masonite International Corp. | DOOR |
| 64 | MGIC Investment Corp. | MTG |
| 65 | Momentive Global Inc. | MNTV |
| 66 | Neogen Corp. | NEOG |
| 67 | NetScout Systems, Inc. | NTCT |
| 68 | New Relic Inc. | NEWR |
| 69 | Nexpoint Residential Trust, Inc. | NXRT |
| 70 | NuVasive, Inc. | NUVA |
| 71 | Olympic Steel Inc. | ZEUS |
| 72 | Omega Healthcare Investors Inc. | OHI |
| 73 | OneSpan Inc. | OSPN |
| 74 | PACCAR Inc. | PCAR |
| 75 | Parsons Corp | PSN |
| 76 | Paylocity Holding Corp. | PCTY |
| 77 | Penske Automotive Group, Inc. | PAG |
| 78 | Premier Inc. | PINC |
| 79 | Prothena Corporation PLC | PRTA |
| 80 | Pure Storage Inc. | PSTG |
| 81 | Quest Diagnostics, Inc. | DGX |
| 82 | Quinstreet, Inc. | QNST |
| 83 | RadNet, Inc. | RDNT |
| 84 | Redfin Corp. | RDFN |
| 85 | S&T Bancorp, Inc. | STBA |
| 86 | Sabre Corp. | SABR |
| 87 | Select Energy Services, Inc. | WTTR |
| 88 | Service Corporation International | SCI |
| 89 | Stoke Therapeutics, Inc. | STOK |
| 90 | Store Capital Corp. | STOR |
| 91 | Sunstone Hotel Investors Inc. | SHO |
| 92 | Take-Two Interactive Software Inc. | TTWO |
| 93 | TAL Education Group | TAL |
| 94 | TE Connectivity Ltd. | TEL |
| 95 | Terex Corp. | TEX |
| 96 | Textron, Inc. | TXT |
| 97 | TowneBank | TOWN |
| 98 | Transocean Ltd. | RIG |
| 99 | TripAdvisor, Inc. | TRIP |
| 100 | UniFirst Corp. | UNF |
| 101 | United Rentals, Inc. | URI |
| 102 | Uniti Group, Inc. | UNIT |
| 103 | Univar Inc. | UNVR |
| 104 | US Bancorp | USB |
| 105 | USANA Health Sciences Inc. | USNA |
| 106 | Varex Imaging Corp. | VREX |
| 107 | Vera Bradley, Inc. | VRA |
| 108 | Verisign, Inc. | VRSN |
| 109 | Vir Biotechnology, Inc. | VIR |
| 110 | W.W. Grainger, Inc. | GWW |
| 111 | WestRock Company | WRK |
| 112 | Weyerhaeuser Co. | WY |
| 113 | White Mountains Insurance Group, Ltd. | WTM |
| 114 | Winmark Corp. | WINA |
| 115 | Wyndham Hotels & Resorts, Inc. | WH |
| 116 | XPO Logistics Inc. | XPO |
| 117 | Zimmer Biomet Holdings Inc. | ZBH |
| 118 | Zuora, Inc. | ZUO |
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.
