U.S. Securities and Exchange Commission

U.S. Securities and Exchange Commission Articles

From 13D Tracker In a 13D filing on TLC Vision Corporation (Nasdaq: TLCV), Glenhill Advisors discloses a 13.9% stake (9.6 million shares) and disclosed a letter to the Chairman of the Board of...
In a 13D filing on Hypercom Corporation (NYSE: HYC), RLR Capital Partners disclosed a 5.1% stake (2.7 million shares) in the company. This is up from the 539K share stake the firm disclosed for the...
From 13D Tracker In an amended 13D filing on Griffon Corporation (NYSE: GFF), 5.24% holder Barington Capital disclosed a letter sent to the company’s Chairman and CEO Harvey R. Blau outlining a...
From 13D Tracker In an amended 13D filing on Lenox Group Inc. (NYSE: LNX), Clinton Group showed they bumped their stake in the company to 10.9% from 9.6%. The firm also disclosed a letter to the...
Take-Two Interactive (TTWO) is seeing a strange issue today because of a Schedule 13D filing with the SEC on behalf of shareholders.  A group of shareholders have banded together and are going to...
UnitedHealth (UNH-NYSE) has finally become current in its SEC Filings as of this morning, but this shouldn’t be that big of a surprise.  The company did go back and restate earnings over stock...
By William Trent, CFA of Stock Market Beat’ NVR, Inc. is a member of our Small Cap Watch List, Mid Cap Watch List and Large Cap Watch List. We reviewed its recently issued 10K and have outlined our...
The New York Stock Exchange (NYX-NYSE) is being looked at by the SEC over its trading glitch and whether or not the switch to an all-electronic trading platform was partially responsible for the 200+...
Usually when a 10-K (Annual Report) filing comes out, the first thing traders peer at is the ‘Legal Proceedings’ section and the ‘Auditor notes’.  Particularly of note, they look for phrases...
Jim Cramer has stated on today’s Wall Street Confidential on TheStreet.com that regulators won’t block the XM (XMSR) & Sirius (SIRI) merger, plus EMI/WMG, plus an assault on Trump. Warner...
As if the options back-dating scandal, which involves over 100 companies, was not enough, there is an emerging investigation into the use of inside information at America’s top investment banks....
By William Trent, CFA of Stock Market Beat We noted recently that Small Cap Watch List and Mid Cap Watch List member Tempur-Pedic (TPX) is on a tear lately. Of course, with that kind of performance...
Krispy Kreme Doughnuts, Inc. (KKD-NYSE) announced today that it has finally become current in its SEC Filings: Form 10-Q for Q1 2004 and Q3 2005 fiscal year; filing follows the filings of the...
Stock Tickers: WDC, STX, AMGN, DELL, EOP, F, NOK, QCOM, GPS, FCBP, SUNW, NOVL, COMS, GTW, We have compiled a list of our TOP ISSUES for the week.  These aren’t necessarily the top issues in the...
Monotype Imaging Solutions has filed to come public via an IPO under the NASDAQ ticker "TYPE."  Monotype has filed to sell up to $135 million in shares of common stock with Banc of America as the...