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Austerlitz Acquisition Corp II - ASZ

  • Commons

    $9.80

    +0.20%

    ASZ Vol: 134.1K

  • Warrants

    $1.05

    -5.41%

    ASZ+ Vol: 40.8K

  • Units

    $10.02

    -0.20%

    ASZ= Vol: 14.7K

Average: 0
Rating Count: 0
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SPAC Stats

Market Cap: 1.4G
Average Volume: 878.8K
52W Range: $9.63 - $10.14
Weekly %: +0.20%
Monthly %: +0.20%
Inst Owners: 107

Info

Target: Searching
Days Since IPO: 282
Unit composition:
Each unit has an offering price of $10.00 and consists of one Class A ordinary share and one-fourth of one redeemable warrant
Trust Size: 10000000000.0M

🕵Stocktwit Mentions

billiondollarSPACking posted at 2021-12-02T20:11:25Z

$IPOF $ASZ $CVII $AAC PSTH APSG PRPB - billionaire boys club! Hop on in😈

InsiderForms posted at 2021-12-01T21:30:12Z

Apollo Management Holdings L.P.,has filed Form 13F for Q3 2021.Opened NEW positions in $ACRO/WS $AMCIU $APTMU $ARGUU $ASZ $AVAN $BKLN

MoreInPumpit posted at 2021-11-30T22:49:11Z

$ASZ someone force these warrants to 99 cents so I can LOOOOOAAAAAD the 🚛

T8skmod posted at 2021-11-27T05:44:43Z

$ASZ Twits Stats Today's Change 39% + 🚀 https://t8sk.com/ASZ

billiondollarSPACking posted at 2021-11-23T16:58:35Z

$ASZ someone dumped the warrants? Sheesh thank you for letting me add more

stocktowatch7 posted at 2021-11-22T12:14:51Z

$WKHS, $ASZ here goes on http://www.stocksequity.com/active-stocks/blustering-stock-workhorse-group-inc-nasdaqwkhs-austerlitz-acquisition-corporation-ii-nyseasz/

T8skmod posted at 2021-11-20T23:52:03Z

$ASZ Twits Stats Today's Change 39% + 🚀 https://t8sk.com/ASZ

billiondollarSPACking posted at 2021-11-18T08:54:06Z

$ASZ wonder which billion $ SPAC gets a target first $PSTH $IPOF $AAC $CVII 🧐🧐

InsiderForms posted at 2021-11-15T22:51:30Z

Apollo Management Holdings L.P.,has filed Form 13F for Q3 2021.Opened NEW positions in $ACRO/WS $AMCIU $APTMU $ARGUU $ASZ $AVAN $BKLN

InsiderForms posted at 2021-11-15T16:10:45Z

LH Capital Markets LLC,has filed Form 13F for Q3 2021.Opened NEW positions in $ASZ/WS $CRU/WS $GGPI $HCNEW $IPOF/U $LCAHW $LUXAW $OLPX

cctranscripts posted at 2021-11-12T22:33:23Z

Austerlitz Acquisition Corp II Just Filed Its Quarterly Report: Net Income (Loss) Pe... https://www.conferencecalltranscripts.com/summary/?id=10104702 $ASZ

Last10K posted at 2021-11-12T22:16:12Z

$ASZ just filed a 10-Q Quarterly Report with 37 sections and 4 exhibits. Access them all or just read their earnings: https://last10k.com/sec-filings/asz/0001193125-21-328244.htm?utm_source=stocktwits&utm_medium=forum&utm_campaign=10KQ2040F&utm_term=asz

InsiderForms posted at 2021-11-12T22:10:56Z

MARINER INVESTMENT GROUP LLC,has filed Form 13F for Q3 2021.Opened NEW positions in $ACHR $ALTUW $ASZ $ASZ/WS $ATHN $ATHN/WS $CBAH/WS

Quantisnow posted at 2021-11-12T22:04:59Z

$ASZ 📜 SEC Form 10-Q filed by Austerlitz Acquisition Corporation II https://quantisnow.com/insight/2003312?s=s 45 seconds delayed.

risenhoover posted at 2021-11-12T22:04:37Z

$ASZ / Austerlitz Acquisition Corporation II files form 10-Q https://fintel.io/sf/us/asz?utm_source=stocktwits.com&utm_medium=Referral&utm_campaign=filing

Newsfilter posted at 2021-11-12T22:04:07Z

$ASZ Form 10-Q (quarterly report [sections 13 or 15(d)]) filed with the SEC https://newsfilter.io/a/2403b7b55606231aeb146f495d9c3b49

Jbkills posted at 2021-11-12T21:18:09Z

$ASZ Bought 15k warrants this afternoon at 1.14 - hoping some news cracks on this - IPO market seems nuts right now

JabooTrades posted at 2021-11-12T21:02:21Z

$ASZ 5.7M commons traded today. Even bigger than yesterday

PUTZ549 posted at 2021-11-12T20:31:18Z

$ASZ I am buying warrants here

LixLax posted at 2021-11-12T18:22:32Z

$ASZ This is under the radar. Huge trust as well

JabooTrades posted at 2021-11-12T17:49:32Z

$ASZ More volume today. 600k shares traded at 11:52am. Something is brewing

InsiderForms posted at 2021-11-12T14:50:20Z

Bulldog Investors LLP,has filed Form 13F for Q3 2021.Opened NEW positions in $AAC $ACHR/WS $ACII $AEHAU $AIF $ALCC $APACU $ASZ $ASZ/WS

JabooTrades posted at 2021-11-12T14:00:49Z

$ASZ Volume precedes price. 5M on commons and 1.5M on warrants yesterday 👀

JabooTrades posted at 2021-11-12T13:44:42Z

$ASZ Massive increase in relative volume on both commons and warrants. Something big is happening!

r1a1 posted at 2021-11-11T22:58:53Z

$ASZ huge increase in volume today

billiondollarSPACking posted at 2021-11-11T18:23:53Z

$ASZ warrants 1.30👀📈

SPAC1 posted at 2021-11-04T14:01:54Z

$ASZ The biggest fintech SPAC with 1B in trust, It’s only Plaid and the rumor is confirmed. Load on the warrants

SPAC1 posted at 2021-11-03T13:33:28Z

$ASZ Plaid deal announcement this Friday

SPAC1 posted at 2021-11-02T11:23:54Z

$ASZ to merge with Plaid, some leaks confirm

ChazzMikeMichaels posted at 2021-10-27T16:12:37Z

$ASZ This will rip on a rumour. Foley will lock in a nice target with this massive fund. It’s very much under the radar right now

Management

Our officers, directors and director nominees are as follows: Name Age Position William P. Foley, II 76 Founder and Director Director Nominee Director Nominee Director Nominee Richard N. Massey 64 Chief Executive Officer and Director Nominee David W. Ducommun 44 President Bryan D. Coy 50 Chief Financial Officer Ryan R. Caswell 38 Senior Vice President of Corporate Finance Michael L. Gravelle 59 General Counsel and Corporate Secretary William P. Foley, II is a founder and director of the company since January 2021. In addition, he has served as the Chairman of Cannae Holdings since July 2017. Mr. Foley is a founder of FNF, and has served as the Chairman of the board of directors of FNF since 1984. Mr. Foley serves as a Senior Managing Director of Trasimene Capital. He served as Chief Executive Officer of FNF until May 2007 and as President of FNF until December 1994. Mr. Foley also serves as the Chairman of Foley Trasimene I since May 2020, and he was previously Executive Chairman of Foley Trasimene I from March 2020 until May 2020. Mr. Foley also serves as the Chairman of Foley Trasimene II from July 2020 and has served as a Director of Austerlitz I since December 2020. Mr. Foley also serves as Chairman of Black Knight since December 2019, and served as the Executive Chairman of Black Knight from January 2014 to December 2019 and as the co-Executive Chairman of FGL Holdings from April 2016 to June 2020. Mr. Foley also previously served as a director of Ceridian from September 2013 to August 2019. Mr. Foley also serves as the Chairman of Dun & Bradstreet, which is a Cannae Holdings portfolio company. Mr. Foley also serves as the Chairman, Chief Executive Officer and President of Foley Family Wines Holdings, Inc., a private holding company for numerous vineyards and wineries, and the Executive Chairman and Chief Executive Officer of Black Knight Sports and Entertainment LLC, which is the private company that owns the Vegas Golden Knights, a National Hockey League team. Within the past five-years, Mr. Foley served as the Vice Chairman of FIS and as the Chairman of Remy. After receiving his B.S. degree in engineering from the United States Military Academy at West Point, Mr. Foley served in the U.S. Air Force, where he attained the rank of captain. Mr. Foley’s qualifications to serve on our Board include more than 30 years as a director and executive officer of FNF, his long and deep knowledge of our business and industry, his strategic vision, his experience as a Board member and executive officer of public and private companies in a wide variety of industries, and his strong track record of building and maintaining stockholder value and successfully negotiating and implementing mergers and acquisitions. Mr. Foley provides high-value added services to our Board and has sufficient time to focus on the company. Richard N. Massey has served as Chief Executive Officer of the company since January 2021 and has agreed to serve as a member of our Board. In addition, he serves as a Senior Managing Director of Trasimene Capital and Chief Executive Officer of Cannae Holdings. Mr. Massey served as the Chairman and principal shareholder of Bear State Financial, Inc., a publicly traded financial institution from 2011 until April 2018. Mr. Massey also serves as Chief Executive Officer of Foley Trasimene I since March 2020, as a director of Foley Trasimene I since May 2020 and as Chief Executive Officer of Austerlitz I since January 2021. Mr. Massey also serves as Chief Executive Officer of Foley Trasimene II from July 2020 and as a director of Foley Trasimene I from July 2020. Mr. Massey has served on Cannae Holdings’ board of directors since June 2018 and Dun & Bradstreet’s board of directors since February 2019, and previously served on Black Knight’s board of directors from December 2014 until July 2020. In addition, Mr. Massey served as a director of FNF from February 2006 to January 2021. Mr. Massey has been a partner in Westrock Capital, LLC, a private investment partnership, since January 2009. Prior to that, Mr. Massey was Chief Strategy Officer and General Counsel of Alltel Corporation 139 Table of Contents and served as a Managing Director of Stephens Inc., a private investment bank, during which time his financial advisory practice focused on software and information technology companies, and he formerly served as a director of FIS. Mr. Massey also previously served as a director of FGL Holdings. Mr. Massey is also a director of the Oxford American Literary Project and the Chairman of the board of directors of the Arkansas Razorback Foundation. Mr. Massey formerly served as a director of FIS and Chairman of Bear State Financial, Inc. Mr. Massey’s significant financial expertise and experience on the boards of a number of public companies make him well qualified to serve as a member of our Board. We believe that Mr. Massey is able to fulfill his roles and devote sufficient time and attention to his duties as Chief Executive Officer, as a member of our Board upon completion of this offering and as a director of the other public company on which he serves. We are a blank check company whose business purpose is to effect a business combination, and we will have no operations for Mr. Massey to oversee until we complete our initial business combination. David W. Ducommun has served as President of the company since January 2021. In addition, he has served as an Executive Vice President of Corporate Finance of Foley Trasimene I since August 2020 and previously as a Senior Vice President of Corporate Finance since March 2020. Mr. Ducommun has also served as President of Austerlitz I since January 2021, as an Executive Vice President of Corporate Finance of Foley Trasimene II from August 2020 and previously as a Senior Vice President of Corporate Finance since July 2020. Mr. Ducommun has served as a Managing Director of Trasimene Capital since November 2019. Mr. Ducommun has also served as President of Cannae Holdings since January 2021, as an Executive Vice President of Corporate Finance since August 2020 and as a Senior Vice President of Corporate Finance since November 2017. Mr. Ducommun has over 10 years of experience in the financial industry. Mr. Ducommun has served as a Senior Vice President of Mergers and Acquisitions of FNF from 2011 to November 2019. He also served as Secretary of FGL Holdings from April 2016 until December 2017. Bryan D. Coy has served as Chief Financial Officer of the company since January 2021. In addition, he has served as Chief Financial Officer of Austerlitz I since January 2021, Chief Financial Officer of Foley Trasimene I since July 2020, as Chief Financial Officer of Foley Trasimene II since July 2020 and as Chief Financial Officer of Cannae Holdings since July 2020. He also serves as Managing Director of Trasimene Capital. He also serves as Chief Financial Officer of Black Knight Sports & Entertainment, LLC, which is the private company that owns the Vegas Golden Knights, a National Hockey League team, a position he has held since October 2017. He served as Chief Financial Officer of Foley Family Wines from 2017 until 2019. Prior to that, Mr. Coy served as Chief Accounting Officer of Interblock Gaming, an international supplier of electronic gaming tables, from September 2015 to October 2017. He served as Chief Financial Officer—Americas and Global Chief Accounting Officer of Aruze Gaming America from July 2010 through September 2015. Ryan R. Caswell has served as Senior Vice President of Corporate Finance of the company since January 2021 and has served as Senior Vice President of Corporate Finance of Austerlitz I since January 2021. Mr. Caswell is also a Managing Director of Trasimene Capital. Previously Mr. Caswell was a Managing Director in the Financial Institutions Group at BofA Securities where he executed advisory and capital raising transactions from 2008 to August 2020. Before BofA Securities, Mr. Caswell was an investment banker at Bear Stearns. Mr. Caswell has over 15 years of relevant investment and corporate finance experience across a wide variety of industries and transaction types. Michael L. Gravelle has served as General Counsel and Corporate Secretary of the company since January 2021. In addition, he has served as General Counsel and Corporate Secretary of Austerlitz I since January 2021, as General Counsel and Corporate Secretary of Foley Trasimene I since March 2020 and as an Executive Vice President, General Counsel and Corporate Secretary of Cannae Holdings since April 2017. Mr. Gravelle has also served as General Counsel and Corporate Secretary of Foley Trasimene II from July 2020. Mr. Gravelle has served as the Chief Compliance Officer for Trasimene Capital since January 2020. Mr. Gravelle has over 25 years of business and legal experience in the financial industry. Mr. Gravelle has served as an Executive Vice President, General Counsel and Corporate Secretary of FNF since January 2010, and also served in the capacity of an Executive Vice President, Legal since May 2006 and Corporate Secretary since April 2008. Mr. Gravelle joined FNF in 2003, serving as a Senior Vice President. Mr. Gravelle joined a subsidiary of FNF in 1993, where he served as a Vice President, General Counsel and Secretary beginning in 1996 and as a Senior Vice President, 140 Table of Contents General Counsel and Corporate Secretary beginning in 2000. Mr. Gravelle has also served as an Executive Vice President and General Counsel of Black Knight and its predecessors since January 2014 and as Corporate Secretary of Black Knight from January 2014 until May 2018. Number and Terms of Office of Officers and Directors Our Board will be divided into three classes, with only one class of directors being appointed in each year, and with each class (except for those directors appointed prior to our first annual general meeting of shareholders) serving a three-year term. In accordance with the NYSE corporate governance requirements, we are not required to hold an annual general meeting until one year after our first fiscal year end following our listing on the NYSE. The term of office of the first class of directors, consisting of , will expire at our first annual general meeting of shareholders. The term of office of the second class of directors, consisting of and , will expire at our second annual general meeting of the shareholders. The term of office of the third class of directors, consisting of William P. Foley, II and , will expire at our third annual general meeting of shareholders. We may not hold an annual general meeting of shareholders until after we complete our initial business combination. Prior to the completion of an initial business combination, any vacancy on the Board may be filled by a nominee chosen by holders of a majority of our founder shares and alignment shares. In addition, prior to the completion of an initial business combination, holders of a majority of our founder shares and alignment shares may remove a member of the Board for any reason. Our officers are appointed by the Board and serve at the discretion of the Board, rather than for specific terms of office. Our Board is authorized to appoint persons to the offices set forth in our amended and restated memorandum and articles of association as it deems appropriate. Our amended and restated memorandum and articles of association will provide that our officers may consist of one or more chairman of the Board, chief executive officer, president, chief financial officer, vice presidents, secretary, treasurer and such other offices as may be determined by the Board. The service of certain of our directors and officers depends in part on their continued engagement with us. See “Risk Factors—Our ability to successfully effect our initial business combination and to be successful thereafter will be totally dependent upon the efforts of our key personnel, some of whom may join us following our initial business combination. The loss of key personnel could negatively impact the operations and profitability of our post-combination business.” Director Independence NYSE listing standards require that a majority of our Board be independent. An “independent director” is defined generally as a person other than an officer or employee of the company or its subsidiaries or any other individual having a relationship which in the opinion of the company’s Board, would interfere with the director’s exercise of independent judgment in carrying out the responsibilities of a director. Our Board has determined that , and are “independent directors” as defined in the NYSE listing standards and applicable SEC rules. Our independent directors will have regularly scheduled meetings at which only independent directors are present. Executive Officer and Director Compensation None of our executive officers or directors have received any cash compensation for services rendered to us. Commencing on the date that our securities are first listed on the NYSE through the earlier of completion of our initial business combination and our liquidation, we will reimburse Cannae Holdings for office space and administrative support services provided to us in the amount of $5,000 per month. In addition, our sponsor or any 141 Table of Contents of our existing executive officers and directors, or any of their respective affiliates will be paid a finder’s fee, consulting fee or other compensation and reimbursed for any out-of-pocket expenses related to identifying, investigating, negotiating and completing an initial business combination and performing due diligence on suitable business combinations. Our audit committee will review on a quarterly basis all payments that were made to our sponsor, executive officers or directors, or our or their affiliates. Any such payments prior to an initial business combination will be made using funds held outside the trust account. Other than quarterly audit committee review of such reimbursements, we do not expect to have any additional controls in place governing our reimbursement payments to our directors and executive officers for their out-of-pocket expenses incurred in connection with our activities on our behalf in connection with identifying and completing an initial business combination. Other than these payments and reimbursements, no compensation of any kind will be paid by the company to our sponsor, executive officers and directors, or any of their respective affiliates, prior to completion of our initial business combination. After the completion of our initial business combination, directors or members of our management team who remain with us may be paid consulting or management fees from the combined company. All of these fees will be fully disclosed to shareholders, to the extent then known, in the proxy solicitation materials or tender offer materials furnished to our shareholders in connection with a proposed business combination. We have not established any limit on the amount of such fees that may be paid by the combined company to our directors or members of management. It is unlikely the amount of such compensation will be known at the time of the proposed business combination, because the directors of the post-combination business will be responsible for determining executive officer and director compensation. Any compensation to be paid to our executive officers will be determined, or recommended to the Board for determination, either by a compensation committee constituted solely by independent directors or by a majority of the independent directors on our Board. We do not intend to take any action to ensure that members of our management team maintain their positions with us after the completion of our initial business combination, although it is possible that some or all of our executive officers and directors may negotiate employment or consulting arrangements to remain with us after our initial business combination. The existence or terms of any such employment or consulting arrangements to retain their positions with us may influence our management’s motivation in identifying or selecting a target business but we do not believe that the ability of our management to remain with us after the completion of our initial business combination will be a determining factor in our decision to proceed with any potential business combination. We are not party to any agreements with our executive officers and directors that provide for benefits upon termination of employment. Committees of the Board of Directors Upon the effectiveness of the registration statement of which this prospectus forms a part, our Board will have three standing committees: an audit committee, a compensation committee and a corporate governance and nominating committee. Subject to phase-in rules and a limited exception, the rules of the NYSE and Rule 10A of the Exchange Act require that the audit committee of a listed company be comprised solely of independent directors. Subject to phase-in rules and a limited exception, the rules of the NYSE require that the compensation committee of a listed company be comprised solely of independent directors. Audit Committee Upon the effectiveness of the registration statement of which this prospectus forms a part, we will establish an audit committee of the Board. , and will serve as members of our audit committee. Our Board has determined that each of , and is independent under the NYSE listing standards and applicable SEC rules. will serve as the chairman of the audit committee. Each member of the audit committee is financially literate and our Board has determined that each of , and qualifies as an “audit committee financial expert” as defined in applicable SEC rules. 142 Table of Contents The primary functions of the audit committee include: • appointing, compensating and overseeing our independent registered public accounting firm; • reviewing and approving the annual audit plan for the company; • overseeing the integrity of our financial statements and our compliance with legal and regulatory requirements; • discussing the annual audited financial statements and unaudited quarterly financial statements with management and the independent registered public accounting firm; • pre-approving all audit services and permitted non-audit services to be performed by our independent registered public accounting firm, including the fees and terms of the services to be performed; • appointing or replacing the independent registered public accounting firm; • establishing procedures for the receipt, retention and treatment of complaints (including anonymous complaints) we receive concerning accounting, internal accounting controls, auditing matters or potential violations of law; • monitoring our environmental sustainability and governance practices; • establishing procedures for the receipt, retention and treatment of complaints received by us regarding accounting, internal accounting controls or reports which raise material issues regarding our financial statements or accounting policies; • approving audit and non-audit services provided by our independent registered public accounting firm; • discussing earnings press releases and financial information provided to analysts and rating agencies; • discuss

Holder Stats

1 0
% of Shares Held by All Insider 0.00%
% of Shares Held by Institutions 60.71%
% of Float Held by Institutions 60.71%
Number of Institutions Holding Shares 107

Mutual Fund Holders

Holder Shares Date Reported Value % Out
Blackstone Alternative Multi-Strategy Fund 465000 2021-06-29 4524450 0.33999999999999997
RiverNorth/DoubleLine Strategic Income Fund 435000 2021-06-29 4232550 0.32
RiverNorth/DoubleLine Strategic Opportunity Fund 107500 2021-06-29 1045975 0.08
ETF Series Solutions-Defiance Next Gen SPAC Derived ETF 54732 2021-09-29 533637 0.04
RiverNorth Core Opportunity Fund 50000 2021-06-29 486500 0.04
High Income Securities Fund 50000 2021-08-30 484000 0.04
RiverNorth Opportunities Fd 26936 2021-07-30 262356 0.02
ETF Series Solutions-Morgan Creek-Exos SPAC Originated ETF 12178 2021-09-29 118735 0.01

Institutional Holders

Reporting Date Hedge Fund Shares Held Market Value % of Portfolio Quarterly Change in Shares Ownership in Company
2021-12-01 Apollo Management Holdings L.P. 500,000 $4,880,000 0.0% 0 0.254%
2021-11-16 Schonfeld Strategic Advisors LLC 100,000 $980,000 0.0% +75.1% 0.051%
2021-11-16 Oaktree Capital Management LP 150,000 $1,460,000 0.0% 0 0.076%
2021-11-15 Berkley W R Corp 247,707 $2,420,000 0.2% +152.1% 0.126%
2021-11-15 Capstone Investment Advisors LLC 60,000 $590,000 0.0% +500.0% 0.030%
2021-11-15 Athanor Capital LP 306,558 $2,990,000 0.4% -1.4% 0.156%
2021-11-15 Penserra Capital Management LLC 54,732 $530,000 0.0% +65.7% 0.028%
2021-11-15 Sunriver Management LLC 1,033,318 $10,080,000 1.6% -16.6% 0.524%
2021-11-15 Dark Forest Capital Management LP 26,859 $260,000 0.1% 0 0.014%
2021-11-15 HighTower Advisors LLC 908,710 $8,870,000 0.0% +0.3% 0.461%
2021-11-12 Wolverine Asset Management LLC 141,929 $1,380,000 0.0% -20.7% 0.072%
2021-11-12 Hsbc Holdings PLC 1,192,877 $11,640,000 0.0% 0 0.605%
2021-11-12 Credit Suisse AG 11,750 $120,000 0.0% -21.7% 0.006%
2021-11-02 Raymond James Financial Services Advisors Inc. 13,120 $130,000 0.0% 0 0.007%
2021-08-17 Boothbay Fund Management LLC 331,545 $3,330,000 0.1% +56.6% 0.168%
2021-08-16 Credit Suisse AG 15,000 $150,000 0.0% 0 0.008%
2021-08-16 BlueMar Capital Management LLC 134,762 $1,390,000 0.3% -1.7% 0.068%
2021-08-16 Sunriver Management LLC 247,836 $9,960,000 1.7% -75.2% 0.126%
2021-08-13 Senator Investment Group LP 937,500 $9,120,000 0.2% +25.0% 0.476%
2021-08-13 RP Investment Advisors LP 1,984,745 $19,310,000 2.6% +32.4% 1.007%
2021-08-13 Alpine Global Management LLC 200,000 $1,950,000 0.3% +33.3% 0.101%
2021-08-13 Toronto Dominion Bank 400,000 $3,890,000 0.0% +298.4% 0.203%
2021-08-13 Qube Research & Technologies Ltd 36,746 $360,000 0.0% 0 0.019%
2021-08-12 Penserra Capital Management LLC 33,028 $320,000 0.0% 0 0.017%
2021-08-12 Commonwealth of Pennsylvania Public School Empls Retrmt SYS 50,000 $490,000 0.0% 0 0.025%
2021-08-10 Toronto Dominion Bank 400,000 $3,890,000 0.0% +298.4% 0.203%
2021-07-28 Cohen & Co Financial Management LLC 500,000 $4,870,000 3.1% 0 0.254%
2021-05-06 NewGen Asset Management Ltd 27,183 $270,000 0.1% 0 0.042%

SEC Filings

Form Type Form Description Filing Date Document Link
10-Q 10-Q 2021-11-12 https://www.sec.gov/Archives/edgar/data/1839191/000119312521328244/d218559d10q.htm
10-Q 10-Q 2021-08-16 https://www.sec.gov/Archives/edgar/data/1839191/000119312521247411/d215702d10q.htm
10-Q 10-Q 2021-05-17 https://www.sec.gov/Archives/edgar/data/1839191/000119312521163425/d120425d10q.htm
4 FORM 4 SUBMISSION 2021-05-05 https://www.sec.gov/Archives/edgar/data/1839191/000089924321018349/xslF345X03/doc4.xml
3 FORM 3 SUBMISSION 2021-04-27 https://www.sec.gov/Archives/edgar/data/1839191/000089924321017079/xslF345X02/doc3.xml
8-K 8-K 2021-04-23 https://www.sec.gov/Archives/edgar/data/1839191/000119312521129284/d157233d8k.htm
8-K 8-K 2021-04-19 https://www.sec.gov/Archives/edgar/data/1839191/000119312521120442/d150731d8k.htm
4 FORM 4 2021-03-18 https://www.sec.gov/Archives/edgar/data/1839191/000114036121009145/xslF345X03/form4.xml
8-K 8-K 2021-03-08 https://www.sec.gov/Archives/edgar/data/1839191/000119312521073445/d118447d8k.htm
4 FORM 4 SUBMISSION 2021-03-05 https://www.sec.gov/Archives/edgar/data/1839191/000089924321010218/xslF345X03/doc4.xml
8-K FORM 8-K 2021-03-03 https://www.sec.gov/Archives/edgar/data/1839191/000119312521067709/d138683d8k.htm
424B4 424B4 2021-03-01 https://www.sec.gov/Archives/edgar/data/1839191/000119312521063818/d109187d424b4.htm
S-1MEF S-1MEF 2021-03-01 https://www.sec.gov/Archives/edgar/data/1839191/000119312521063095/d143806ds1mef.htm
S-1MEF S-1MEF 2021-02-26 https://www.sec.gov/Archives/edgar/data/1839191/000119312521057869/d108810ds1mef.htm
EFFECT 2021-02-25 https://www.sec.gov/Archives/edgar/data/1839191/999999999521000747/xslEFFECTX01/primary_doc.xml
3 FORM 3 SUBMISSION 2021-02-25 https://www.sec.gov/Archives/edgar/data/1839191/000089924321008331/xslF345X02/doc3.xml
3 FORM 3 SUBMISSION 2021-02-25 https://www.sec.gov/Archives/edgar/data/1839191/000089924321008326/xslF345X02/doc3.xml
3 FORM 3 SUBMISSION 2021-02-25 https://www.sec.gov/Archives/edgar/data/1839191/000089924321008325/xslF345X02/doc3.xml
3 FORM 3 SUBMISSION 2021-02-25 https://www.sec.gov/Archives/edgar/data/1839191/000089924321008323/xslF345X02/doc3.xml
3 FORM 3 SUBMISSION 2021-02-25 https://www.sec.gov/Archives/edgar/data/1839191/000089924321008321/xslF345X02/doc3.xml
3 FORM 3 SUBMISSION 2021-02-25 https://www.sec.gov/Archives/edgar/data/1839191/000089924321008317/xslF345X02/doc3.xml
3 FORM 3 SUBMISSION 2021-02-25 https://www.sec.gov/Archives/edgar/data/1839191/000089924321008314/xslF345X02/doc3.xml
3 FORM 3 SUBMISSION 2021-02-25 https://www.sec.gov/Archives/edgar/data/1839191/000089924321008311/xslF345X02/doc3.xml
3 FORM 3 SUBMISSION 2021-02-25 https://www.sec.gov/Archives/edgar/data/1839191/000089924321008305/xslF345X02/doc3.xml
CERT NYSE CERTIFICATION 2021-02-25 https://www.sec.gov/Archives/edgar/data/1839191/000087666121000255/ASZ022521.pdf
8-A12B 8-A12B 2021-02-24 https://www.sec.gov/Archives/edgar/data/1839191/000119312521054688/d43149d8a12b.htm
CORRESP 2021-02-23 https://www.sec.gov/Archives/edgar/data/1839191/000119312521052486/filename1.htm
CORRESP 2021-02-23 https://www.sec.gov/Archives/edgar/data/1839191/000119312521052470/filename1.htm
S-1/A S-1/A 2021-02-23 https://www.sec.gov/Archives/edgar/data/1839191/000119312521052033/d109187ds1a.htm
S-1/A S-1/A 2021-02-22 https://www.sec.gov/Archives/edgar/data/1839191/000119312521049404/d109187ds1a.htm
S-1/A S-1/A 2021-02-16 https://www.sec.gov/Archives/edgar/data/1839191/000119312521043945/d109187ds1a.htm
CORRESP 2021-02-10 https://www.sec.gov/Archives/edgar/data/1839191/000119312521035244/filename1.htm
S-1 S-1 2021-02-10 https://www.sec.gov/Archives/edgar/data/1839191/000119312521035228/d109187ds1.htm
UPLOAD 2021-02-08 https://www.sec.gov/Archives/edgar/data/1839191/000000000021001574/filename1.pdf
DRS 2021-01-12 https://www.sec.gov/Archives/edgar/data/1839191/000095012321000259/filename1.htm