Defendant Name: Omega Protein Corporation 

Defendant Type: Public Company
SIC Code: 2077
CUSIP: 68210P10

Initial Case Details

Legal Case Name In the Matter of Omega Protein Corporation
First Document Date 29-Aug-2019
Initial Filing Format Administrative Action
File Number 3-19398
Allegation Type Issuer Reporting and Disclosure

Violations Alleged

Exchange Act
• Rule 12b-20
• Sec 13(a)
• Rule 13a-1
• Rule 13a-13
Securities Act
• Sec 17(a)(2)

Resolutions

First Resolution Date 29-Aug-2019

Related Documents:

33-10679 29-Aug-2019 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
On August 29, 2019, the SEC instituted settled administrative cease and desist proceedings against Omega Protein Corporation. The SEC stated: "Omega, a Houston-based manufacturer and distributor of omega-3 fish oils and fish meal products with facilities in Virginia, Mississippi, and Louisiana, materially misrepresented its compliance with loan covenants in periodic reports filed with the Commission in 2015."
33-10679-s 29-Aug-2019 Administrative Summary
SEC Settles Charges Against Fish Oil Manufacturer for Misrepresenting Compliance with Loan Covenants
The SEC stated that: "[I]t announced the institution of settled cease-and- desist proceedings against a Houston-based manufacturer and distributor of omega-3 fish oils, Omega Protein Corporation ("Omega"), for misrepresenting its compliance with federal loan covenants in its SEC filings. Omega agreed to settle these charges without admitting or denying the findings in the SEC's order."