 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
Enforcement ProceedingsIn the Matter of Basin Water, Inc.On July 5, 2011, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of Basin Water, Inc. (Basin) for failure to make required periodic filings with the Commission. In this Order, the Division of Enforcement (Division) alleges that the Basin is delinquent in its required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and Basin to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64807; File No. 3-14450 In the Matter of Lawrence Collins, CPAOn July 5, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings and Imposing Remedial Sanctions (Order) against Lawrence Collins, CPA. The Order finds that the Amended Complaint alleged that Respondent and others at Cabletron Systems, Inc. and Enterasys Networks, Inc. reported revenues of the companies that did not qualify as revenue under generally accepted accounting principles (GAAP), while representing to the public that the companies reported revenue according to GAAP. The conduct hid from the investing public the true financial state of the company by filing materially false and misleading statements in the company’s annual reports on Forms 10-K, quarterly reports on Forms 10-Q, and current reports on Forms 8-K for fiscal years 2001 and 2002. Based on the above, the Order suspends Collins from appearing or practicing before the Commission as an accountant with a right to reapply after two years. Collins consented to the issuance of the Order without admitting or denying any of the findings in the Order except he admitted the entry of the injunction. (Rel. 34-64808; AAE Rel. 3300; File No. 3-14451) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Eight Public Companies for Failure to Make Required Periodic FilingsOn July 5, 2011, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of eight companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the eight issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64810; File No. 3-14452) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Seven Public Companies for Failure to Make Required Periodic FilingsOn July 5, 2011, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the seven issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64811; File No. 3-14453) Delinquent Filers’ Stock Registrations RevokedThe registrations of the registered securities of BP International, Inc., CyGene Laboratories, Inc., Delek Resources, Inc., Flooring America, Inc., International Diversified Industries, Inc., Nova Biogenetics, Inc., and The Tube Media Corp. have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-64812; File No. 3-14427) Commission Revokes Exchange Act Registration of Cobalis CorporationThe Commission has revoked the registration of the securities of Cobalis Corporation pursuant to Section 12(j) of the Securities Exchange Act of 1934. The Commission found that Cobalis violated Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 by failing to file annual or quarterly reports for any period since Dec. 31, 2007. The Commission determined that this failure to file was serious, recurrent and evidenced a high degree of culpability. It further found that the company's failure to articulate clearly any remedial measures it has taken to rectify its reporting difficulties, among other things, significantly undermines the credibility of its assurances against further violations. The Commission concluded that revoking the registration of the company's common stock was warranted for the protection of investors. (Rel. 34-64813; File No. 3-13998) In the Matter of D’Brit Corp.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Seven Respondents (Default Order), in D’Brit Corp., Admin. Proc. No. 3-14411. The Order Instituting Proceedings alleged that eight Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registrations of each class of registered securities of D’Brit Corp., Dair Ventures, Inc., D.C. Trading & Development Corp., Delsoft Consulting, Inc., Dev-Tech Corp. (n/k/a Dev Sec, Inc.), Digital Products Corp., and Dollar Time Group, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934. The proceeding has ended as to Respondent DATEQ Information Network, Inc. (n/k/a LexisNexis Risk Solutions, Inc.). See Exchange Act Release No. 64801 (July 5, 2011). (Rel. 34-64815; File No. 3-14411) In the Matter of Christopher Love BlackwellOn July 6, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 (Advisers Act) Making Findings, and Imposing Remedial Sanctions (Order) against Christopher Love Blackwell. The Order finds that Blackwell was an investment adviser, and an officer, director, fund manager, and majority owner of AV Bar Reg, Inc., and the fund manager for Millers A Game, LLC. The Order finds that on March 23, 2011, an agreed judgment was entered by consent against Blackwell, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Advisers Act, in the civil action entitled Securities and Exchange Commission v. Christopher Love Blackwell, et al., Civil Action No. 3:11-CV-234-L, in the United States District Court for the Northern District of Texas, Dallas Division. The Order finds that the Commission’s complaint alleged, among other things, that Blackwell, while acting as an investment adviser, illegally raised more than $4 million from at least thirteen investors by offering and selling several fraudulent investments, including fixed income (or mid-term note) trading programs, hedge funds, movie distribution investment contracts, and related advisory services. As alleged, Blackwell made numerous false and misleading statements to investors, including representations about his investment offerings, profits, use of investor funds, academic pedigree, experience as a trader, and his purported prior employment at Goldman Sachs and The Bank of Madrid. The complaint also alleged that Blackwell did not purchase or trade any mid-term notes or other fixed income securities as he promised. Instead, the complaint alleged that he diverted the vast majority of the investors’ funds to pay for personal and business expenses, and to make Ponzi payments to prior investors. Based on the above, the Order bars Blackwell from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Blackwell consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted the entry of the civil injunction. (Rel. IA-3231; File No. 3-14454) Investment Company Act ReleasesSterling Capital Funds and Sterling Capital Management LLCA notice has been issued giving interested persons until July 25, 2011, to request a hearing on an application filed by Sterling Capital Funds and Sterling Capital Management LLC for an order exempting them from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (Rel. IC-29713 – July 1) Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the National Securities Clearing Corporation (SR-NSCC-2011-05) to revise NSCC’s trade recording and recording service fees related to the new Obligation Warehouse service has become effective pursuant to Section 19(b)(3)(A)(ii) of the Securities Exchange Act of 1934 and Rule 19b-4(f)(2) thereunder. Publication is expected in the Federal Register during the week of July 4. (Rel. 34-64798) A proposed rule change filed by NASDAQ OMX BX to modify its co-location fee schedule to establish fees for access to market data feeds from the Toronto Stock Exchange and the TSX Venture Exchange (SR-BX-2011-038) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 4. (Rel. 34-64802) A proposed rule change filed by NASDAQ OMX PHLX (SR-Phlx-2011-88) to modify its fee schedule regarding co-location fees to establish fees for access to market data feeds from the Toronto Stock Exchange and the TSX Venture Exchange has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 4. (Rel. 34-64803) A proposed rule change filed by the Municipal Securities Rulemaking Board consisting of revisions to the Study Outline for the Municipal Fund Securities Limited Principal Qualification Examination (Series 51) (SR-MSRB-2011-07) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 4. (Rel. 34-64804) A proposed rule change filed by the Chicago Board Options Exchange (SR-CBOE-2011-058) to adopt changes to its Fees Schedule related to Qualified Contingent Cross orders has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 4. (Rel. 34-64806) Designation of Longer Period for Commission Action on a Proposed RuleThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-NYSE-2011-20) filed by the New York Stock Exchange to add new Section 907.00 to the Listed Company Manual that sets forth certain complimentary products and services that are offered to currently and newly listed issuers. Publication is expected in the Federal Register during the week of July 4. (Rel. 34-64809) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-1 GOLDEN PHOENIX MINERALS INC, 1675 E. PRATER WAY,, SUITE 102, SPARKS, NV, 89434, 7758534919 - 51,419,753 ($6,170,370.00) Equity, (File 333-175334 - Jul. 5) (BR. 04C) S-4 LEVEL 3 COMMUNICATIONS INC, 1025 ELDORADO BOULEVARD, BLDG 2000, BROOMFIELD, CO, 80021, 7208881000 - 0 ($605,217,000.00) Debt, (File 333-175335 - Jul. 5) (BR. 11C) S-4 Level 3 Financing, Inc., 1025 ELDORADO BLVD., BROOMFIELD, CO, 80021, 720-888-1000 - 0 ($500,000,000.00) Debt, (File 333-175336 - Jul. 5) (BR. 11C) S-1 RAINBOW INTERNATIONAL, CORP., PEKARSKA 36, BRNO, 2N, 60200, 7029970504 - 2,000,000 ($80,000.00) Equity, (File 333-175337 - Jul. 5) (BR. ) S-3ASR MCCORMICK & CO INC, 18 LOVETON CIRCLE, P O BOX 6000, SPARKS, MD, 21152, 4107717301 - 0 ($0.00) Non-Convertible Debt, (File 333-175339 - Jul. 5) (BR. 04A) S-1 CHARLOTTE CAPITAL CORP, 81 DOW JONES ST. #8, HENDERSON, NV, 89074, 702-466-3333 - 9,000,000 ($900,000.00) Equity, (File 333-175344 - Jul. 5) (BR. ) S-8 UNIVERSAL ELECTRONICS INC, 6101 GATEWAY DRIVE, CYPRESS, CA, 90630-4841, 714-820-1000 - 0 ($24,305,000.00) Equity, (File 333-175345 - Jul. 5) (BR. 11C) F-1 Union Agriculture Group Corp., RINCON 611, MONTEVIDEO, X3, 11000, 598-2-9163300 - 0 ($287,500,000.00) Equity, (File 333-175348 - Jul. 5) (BR. 05) S-8 HUMANA INC, 500 W MAIN ST, LOUISVILLE, KY, 40202, 5025801000 - 18,500,000 ($1,515,520,000.00) Equity, (File 333-175350 - Jul. 5) (BR. 01B) S-8 DHT Holdings, Inc., 26 NEW STREET, ST. HELIER, JERSEY, CHANNEL IS, X0, JE23RA, 00 44 1534 639759 - 2,000,000 ($7,800,000.00) Equity, (File 333-175351 - Jul. 5) (BR. 05A) S-8 Sagent Pharmaceuticals, Inc., 1901 NORTH ROSELLE ROAD, SUITE 700, SCHAUMBURG, IL, 60195, 847-908-1604 - 0 ($130,660,171.00) Equity, (File 333-175352 - Jul. 5) (BR. 01B) S-1 TRANSUNION CORP., 555 WEST ADAMS STREET, CHICAGO, IL, 60661, (312) 985-2000 - 0 ($325,000,000.00) Equity, (File 333-175353 - Jul. 5) (BR. 11A) S-8 AG Mortgage Investment Trust, Inc., 245 PARK AVENUE, 26TH FLOOR, NEW YORK, NY, 10167, 212-692-2000 - 277,500 ($5,486,175.00) Equity, (File 333-175354 - Jul. 5) (BR. 08B) Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT Abingdon Futures Fund LP NY 3.02 07/01/11 ACACIA RESEARCH CORP DE 8.01 07/01/11 ADVANCED ENERGY INDUSTRIES INC DE 2.02,9.01 07/05/11 AEHR TEST SYSTEMS CA 5.02 06/28/11 AK STEEL HOLDING CORP DE 7.01,9.01 07/01/11 AlphaMetrix Managed Futures III LLC ( DE 3.02 07/01/11 AMERICAN APPAREL, INC DE 5.02 07/01/11 AMERICAN ELECTRIC POWER CO INC NY 7.01 07/05/11 AMERICAN ELECTRIC POWER CO INC NY 8.01 07/01/11 AMERICAN INDEPENDENCE CORP DE 5.02,9.01 07/01/11 American Mining Corp NV 5.02,7.01,9.01 07/01/11 AMERICAN NATIONAL BANKSHARES INC VA 2.01,3.03,5.02,5.03, 07/01/11 9.01 AMERICAN REALTY CAPITAL NEW YORK RECO MD 2.01,2.03,8.01,9.01 06/29/11 AMERON INTERNATIONAL CORP DE 1.01,5.02,8.01,9.01 07/01/11 Amtrust Financial Services, Inc. DE 1.01,8.01,9.01 06/30/11 ANNALY CAPITAL MANAGEMENT INC MD 8.01,9.01 07/05/11 AOXING PHARMACEUTICAL COMPANY, INC. FL 5.02,5.07,9.01 06/30/11 APCO OIL & GAS INTERNATIONAL INC 3.02,5.07 06/30/11 ASHFORD HOSPITALITY TRUST INC MD 8.01,9.01 06/29/11 ASSURED EQUITIES V CORP 1.01 07/01/11 AUSTRALIAN OIL & GAS CORP DE 2.01 07/05/11 AUTONATION, INC. DE 7.01,9.01 07/05/11 AVNET INC NY 8.01,9.01 07/05/11 BAKERS FOOTWEAR GROUP INC MO 1.01,2.03,3.02,3.03, 06/30/11 9.01 Bank of Marin Bancorp CA 5.07 07/05/11 AMEND BARRY R G CORP /OH/ OH 5.02 06/30/11 BIOLASE TECHNOLOGY INC DE 1.01 06/28/11 BONANZA GOLD CORP. DE 1.01,2.01,3.02,9.01 06/30/11 BORDERS GROUP INC MI 1.01,9.01 06/30/11 BRIDGE BANCORP INC NY 8.01,9.01 07/05/11 BRISTOL ENERGY FUND LP NY 3.02 07/01/11 Brooklyn Federal Bancorp, Inc. X1 3.01,9.01 06/28/11 Buyrite Club Corp. 3.02 06/30/11 CAVCO INDUSTRIES INC DE 5.02,5.07,9.01 06/29/11 CH2M HILL COMPANIES LTD OR 3.03,5.02,5.03,9.01 07/01/11 Chatham Lodging Trust MD 7.01,9.01 06/29/11 Chatham Lodging Trust MD 1.01 06/29/11 Chesapeake Lodging Trust MD 1.01 06/30/11 CHINA AUTOMOTIVE SYSTEMS INC DE 2.02,9.01 06/28/11 China Growth CORP E9 5.02,9.01 06/28/11 China Natural Gas, Inc. DE 8.01,9.01 06/30/11 CHINA SECURITY & SURVEILLANCE TECHNOL DE 8.01,9.01 07/05/11 CITIZENS REPUBLIC BANCORP, INC. MI 8.01,9.01 07/01/11 COMMUNITY FIRST INC TN 5.02 06/28/11 COMPETITIVE TECHNOLOGIES INC DE 8.01,9.01 07/05/11 Con-way Inc. DE 8.01 07/05/11 CORINTHIAN COLLEGES INC 5.02 06/28/11 CORNING INC /NY NY 1.01,2.03,9.01 06/30/11 CPM Holdings, Inc. 8.01 06/30/11 CRAFT BREWERS ALLIANCE, INC. WA 5.02 06/29/11 Crexendo, Inc. DE 8.01,9.01 07/05/11 CYTODYN INC CO 5.02,7.01,9.01 06/30/11 CYTRX CORP DE 5.07 06/30/11 DG FastChannel, Inc DE 5.02,9.01 06/28/11 DIAMOND HILL INVESTMENT GROUP INC OH 8.01 07/05/11 DIGUANG INTERNATIONAL DEVELOPMENT CO. NV 5.02 06/30/11 Divine Skin Inc. FL 4.01,9.01 06/29/11 DOUGLAS DYNAMICS, INC DE 5.02,9.01 07/05/11 DOVER Corp DE 8.01 07/04/11 Duff & Phelps Corp DE 3.02,9.01 06/30/11 DUNE ENERGY INC DE 7.01,9.01 07/05/11 EMERGING CTA PORTFOLIO LP NY 3.02 07/01/11 EMMAUS HOLDINGS, INC. DE 1.01,2.01,2.02,3.02, 05/03/11 AMEND 5.01,5.02,5.03,5.06, 9.01 Energy Transfer Equity, L.P. DE 7.01,8.01,9.01 07/05/11 Energy Transfer Equity, L.P. DE 1.01,5.02,9.01 06/30/11 Energy Transfer Partners, L.P. DE 7.01,8.01,9.01 07/05/11 ENTERPRISE BANCORP INC /MA/ MA 5.02 06/28/11 ERHC Energy Inc CO 8.01,9.01 07/05/11 ESSEX PROPERTY TRUST INC MD 2.03,8.01,9.01 06/30/11 EXPRESS SCRIPTS INC DE 5.07 05/04/11 AMEND FAMOUS DAVES OF AMERICA INC MN 1.01,7.01,9.01 07/05/11 FASTENAL CO MN 7.01,9.01 07/05/11 Federal Home Loan Bank of Atlanta X1 2.03 07/05/11 Federal Home Loan Bank of Boston X1 2.03 06/28/11 Federal Home Loan Bank of Chicago X1 2.03 06/29/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 07/05/11 Federal Home Loan Bank of New York X1 2.03,9.01 06/29/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 06/29/11 Federal Home Loan Bank of San Francis X1 2.03 06/29/11 Federal Home Loan Bank of Seattle 2.03 06/29/11 Federal Home Loan Bank of Topeka 2.03,9.01 06/29/11 FINISAR CORP DE 8.01,9.01 07/05/11 First Clover Leaf Financial Corp. MD 8.01,9.01 06/28/11 FIRST M&F CORP/MS MS 7.01,9.01 07/05/11 FIRSTENERGY CORP OH 7.01 07/05/11 Flagstone Reinsurance Holdings, S.A. N4 8.01 06/30/11 Ford Credit Auto Lease Trust 2011-A DE 8.01,9.01 07/05/11 GALECTIN THERAPEUTICS INC NV 5.02,9.01 06/28/11 GASCO ENERGY INC NV 8.01 07/05/11 GENTOR RESOURCES, INC. FL 8.01,9.01 07/05/11 GENTOR RESOURCES, INC. FL 9.01 07/05/11 AMEND GLOBAL EARTH ENERGY, INC. NH 8.01,9.01 07/05/11 Global Income Trust, Inc. MD 2.01,2.03,9.01 06/28/11 GOLDEN QUEEN MINING CO LTD A1 5.07 06/23/11 GOLDMAN SACHS GROUP INC DE 9.01 07/05/11 Grand Canyon Education, Inc. DE 5.02 07/05/11 Greektown Superholdings, Inc. DE 5.02 06/28/11 GREIF INC DE 7.01 07/05/11 HARBINGER GROUP INC. DE 5.02,9.01 06/30/11 HEALTHCARE TRUST OF AMERICA, INC. MD 7.01,9.01 07/05/11 HELMERICH & PAYNE INC DE 8.01,9.01 07/05/11 HIDENET SECURE ARCHITECTURES INC NJ 5.02 07/05/11 Hoku Corp DE 1.01,3.02,9.01 06/28/11 HONG KONG WINALITE GROUP, INC. 5.02 06/30/11 Horizon Lines, Inc. 1.01,9.01 07/01/11 Howard Hughes Corp DE 1.01,2.01,9.01 07/01/11 II-VI INC PA 7.01,9.01 07/05/11 IMMUCOR INC GA 1.01,3.03,8.01,9.01 07/02/11 IMMUCOR INC GA 8.01,9.01 07/05/11 Inca Global, Inc DE 1.01,5.06,9.01 03/22/11 AMEND INDEPENDENCE HOLDING CO DE 5.02 07/01/11 INDUSTRIAL MINERALS INC DE 5.03,5.07,9.01 06/29/11 INNOVATIVE SOFTWARE TECHNOLOGIES INC CA 5.02 06/30/11 INSIGNIA SYSTEMS INC/MN MN 8.01 07/01/11 INSULET CORP DE 1.01,2.03,9.01 06/29/11 INTELLIGENT COMMUNICATION ENTERPRISE PA 1.01,2.01,3.02,7.01, 06/17/11 9.01 INVESTORS CAPITAL HOLDINGS LTD MA 5.02,9.01 06/30/11 IVAX DIAGNOSTICS INC DE 8.01,9.01 07/05/11 JACKSONVILLE BANCORP INC /FL/ FL 5.02 07/01/11 Jingwei International LTD NV 5.07 06/30/11 KBR, INC. DE 5.02,9.01 07/05/11 KENEXA CORP 8.01 06/28/11 KEYCORP /NEW/ OH 8.01 06/29/11 Keyuan Petrochemicals, Inc. NV 4.01,9.01 07/05/11 KEYW HOLDING CORP MD 5.02,9.01 07/01/11 KONA GRILL INC DE 5.02 06/29/11 KORE NUTRITION, INC. NV 8.01 06/28/11 LA JOLLA PHARMACEUTICAL CO DE 1.01,5.02,9.01 06/30/11 LAKES ENTERTAINMENT INC MN 1.01,1.02,9.01 06/30/11 LEHMAN BROTHERS HOLDINGS INC DE 7.01,9.01 07/01/11 LIFE PARTNERS HOLDINGS INC TX 4.01,9.01 07/01/11 Lifeloc Technologies Inc CO 5.02 07/05/11 LMI AEROSPACE INC MO 5.02,5.07,8.01 06/28/11 MARATHON OIL CORP DE 5.02 07/05/11 MedClean Technologies, Inc. DE 4.01,9.01 06/29/11 MEDGENICS, INC. DE 5.02,7.01,9.01 06/20/11 MEDICAL CONNECTIONS HOLDINGS, INC. FL 4.01,5.02,9.01 06/30/11 MERU NETWORKS INC DE 7.01,9.01 07/05/11 Millennium India Acquisition CO Inc. DE 2.02,8.01 07/05/11 MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 07/05/11 NATIONAL HEALTH INVESTORS INC MD 2.01,9.01 06/30/11 NEOPHOTONICS CORP DE 5.02,8.01 07/05/11 NETSCOUT SYSTEMS INC DE 2.02,9.01 07/04/11 NEW FRONTIER ENERGY INC CO 5.02 06/20/11 NORTEK INC DE 5.02,9.01 06/30/11 NORTHWEST BIOTHERAPEUTICS INC DE 1.01,3.02 06/28/11 NRG ENERGY, INC. DE 1.01,2.03,9.01 07/01/11 NUTRACEA CA 5.03,9.01 06/30/11 Och-Ziff Capital Management Group LLC DE 7.01 07/05/11 OLD DOMINION FREIGHT LINE INC/VA VA 5.02 06/30/11 ORION FUTURES FUND LP NY 3.02 07/01/11 OURPETS CO CO 1.01,2.03,9.01 06/28/11 PARK CITY GROUP INC 2.03,8.01,9.01 06/28/11 PDL BIOPHARMA, INC. DE 8.01,9.01 06/30/11 PEGASYSTEMS INC MA 1.01,9.01 06/29/11 PennantPark Floating Rate Capital Ltd 7.01 07/01/11 PENNANTPARK INVESTMENT CORP 7.01 07/01/11 PENSKE AUTOMOTIVE GROUP, INC. DE 1.02,2.01,9.01 06/30/11 PIONEER DRILLING CO TX 1.01,2.03,9.01 06/30/11 PIONEER POWER SOLUTIONS, INC. DE 1.01,2.01,2.03,7.01, 06/28/11 9.01 POTOMAC FUTURES FUND LP NY 3.02 07/01/11 Propell Corporation. DE 1.01,3.02,9.01 06/30/11 ProPhase Labs, Inc. NV 3.01,9.01 06/29/11 PROVIDENT FINANCIAL HOLDINGS INC DE 5.02,9.01 06/30/11 PUBLIC STORAGE PROPERTIES IV LTD CA 1.01,9.01 07/05/11 PUBLIC STORAGE PROPERTIES LTD CA 1.01,9.01 07/05/11 PUBLIC STORAGE PROPERTIES V LTD CA 1.01,9.01 07/05/11 QKL Stores Inc. DE 5.02,9.01 06/30/11 QR Energy, LP DE 5.02,9.01 07/01/11 QUALCOMM INC/DE DE 5.07,8.01 03/08/11 AMEND QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,3.02 07/01/11 Rand Logistics, Inc. DE 7.01,9.01 06/29/11 RASER TECHNOLOGIES INC UT 7.01,9.01 06/29/11 Redpoint Bio CORP 8.01 07/05/11 ROLLINS INC DE 8.01,9.01 07/01/11 RURAL/METRO CORP /DE/ DE 1.01,1.02,2.01,3.01, 06/30/11 3.03,5.01,5.02,5.03, 9.01 SATCON TECHNOLOGY CORP DE 1.01,2.02,2.03,2.05, 06/29/11 3.02,5.07,7.01,9.01 SCICLONE PHARMACEUTICALS INC DE 9.01 04/18/11 AMEND SCICLONE PHARMACEUTICALS INC DE 9.01 04/18/11 AMEND SIGNATURE GROUP HOLDINGS INC NV 7.01,9.01 07/05/11 SILICON LABORATORIES INC DE 5.02 07/03/11 Sino Agro Food, Inc. NV 7.01,9.01 06/30/11 SM Energy Co DE 1.01,7.01,9.01 07/05/11 SMART Modular Technologies (WWH), Inc E9 7.01,9.01 07/05/11 Soltera Mining Corp. NV 3.02,7.01,9.01 07/05/11 SOUTH JERSEY INDUSTRIES INC NJ 7.01,9.01 07/05/11 SOUTHERN UNION CO DE 1.01,7.01,8.01,9.01 07/04/11 SPX CORP DE 1.01,1.02,2.03,9.01 06/30/11 SUNOCO LOGISTICS PARTNERS L.P. DE 1.01,3.02,3.03,5.03, 06/29/11 8.01,9.01 SYSCO CORP DE 1.01,2.03 06/30/11 TACTICAL DIVERSIFIED FUTURES FUND L.P NY 3.02 07/01/11 TALEO CORP DE 8.01 06/28/11 Tanke Biosciences Corp NV 4.01,9.01 05/17/11 AMEND TCF FINANCIAL CORP DE 8.01,9.01 06/30/11 TD AMERITRADE HOLDING CORP DE 1.01,1.02,2.03,9.01 06/28/11 TEAMSTAFF INC NJ 5.02 06/28/11 TearLab Corp DE 3.02,9.01 06/23/11 AMEND THERMODYNETICS INC DE 8.01,9.01 06/29/11 THQ INC DE 5.02,8.01 06/30/11 TIDEWATER FUTURES FUND LP NY 3.02 07/01/11 TNP Strategic Retail Trust, Inc. MD 1.01,2.01,2.03,7.01, 06/28/11 9.01 TRANSAKT LTD. A0 1.01,3.02,9.01 06/21/11 TRANSUNION CORP. 1.01,3.02,5.02,9.01 06/28/11 U.S. RARE EARTH MINERALS, INC NV 3.02 07/05/11 ULTRALIFE CORP DE 5.02 06/29/11 UMH PROPERTIES, INC. MD 7.01,9.01 07/05/11 UNITED FIRE & CASUALTY CO IA 7.01,8.01,9.01 06/29/11 AMEND UNITED REFINING CO PA 2.02,9.01 07/05/11 UNIVERSAL DISPLAY CORP \PA\ PA 1.01 07/05/11 UNIVERSAL TECHNICAL INSTITUTE INC DE 8.01 07/01/11 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 5.02 07/05/11 URANIUM RESOURCES INC /DE/ DE 8.01,9.01 06/14/11 URANIUM RESOURCES INC /DE/ DE 8.01,9.01 06/28/11 US ENERGY CORP WY 8.01,9.01 06/30/11 VALASSIS COMMUNICATIONS INC DE 7.01,9.01 07/05/11 Vaughan Foods, Inc. OK 1.01 06/29/11 Verigy Ltd. U0 1.01,2.01,2.04,3.01, 07/04/11 3.03,5.01,5.02,8.01, 9.01 VERTICAL HEALTH SOLUTIONS INC 1.01,9.01 06/28/11 VIASYSTEMS GROUP INC DE 5.02 07/05/11 VIASYSTEMS GROUP INC DE 8.01,9.01 07/05/11 VIRTUSA CORP 1.01,2.01,2.02,7.01, 07/01/11 9.01 VISION INDUSTRIES CORP FL 5.03,8.01 06/30/11 Volcano Corp DE 1.01 06/30/11 Walker & Dunlop, Inc. MD 1.01,9.01 06/29/11 Walter Energy, Inc. DE 5.02 06/29/11 WALTER INVESTMENT MANAGEMENT CORP MD 8.01,9.01 07/01/11 WARRINGTON FUND LP NY 3.02 07/01/11 Wendy's Co DE 5.03,7.01,9.01 07/05/11 Western Union CO DE 7.01,8.01,9.01 07/05/11 WESTPORT JWH FUTURES FUND LP NY 3.02 07/01/11 WORTHINGTON INDUSTRIES INC OH 8.01,9.01 07/05/11 WYNDHAM WORLDWIDE CORP DE 1.01 06/28/11 YUHE INTERNATIONAL, INC. NV 3.01 06/28/11 ZAP COM CORP NV 5.02 06/30/11
http://www.sec.gov/news/digest/2011/dig070611.htm
|