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Commission AnnouncementsSecurities and Exchange Commission Suspends Trading in the Securities of Columbus Geographic Systems (GIS) Ltd. for Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of Columbus Geographic Systems (GIS) Ltd. (CGSE), commencing at 9:30 a.m. EDT on July 13, 2011, and terminating at 11:59 p.m. EDT on July 26, 2011. The Commission temporarily suspended trading in the securities of CGSE due to a lack of current and accurate information about the company because it has not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by this company. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspension, no quotation may be entered relating to the securities of the subject company unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of this company that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-64868) Securities and Exchange Commission Suspends Trading in the Securities of Six Issuers for Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on July 13, 2011, and terminating at 11:59 p.m. EDT on July 26, 2011.
The Commission temporarily suspended trading in the securities of these six issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-64870) Securities and Exchange Commission Suspends Trading in the Securities of Three Issuers for Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on July 13, 2011, and terminating at 11:59 p.m. EDT on July 26, 2011.
The Commission temporarily suspended trading in the securities of these three issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-64872) Rules and Related MattersAdoption of Interim Final Temporary Rule for Broker-Dealers Engaging in a Retail Forex BusinessOn July 13, 2011, the U.S. Securities and Exchange Commission adopted interim final temporary Rule 15b12-1T to allow a registered broker-dealer to engage in a retail forex business until July 16, 2012, provided that the broker-dealer complies with the Securities Exchange Act of 1934, the rules and regulations thereunder, and the rules of the self-regulatory organization(s) of which the broker-dealer is a member, insofar as they are applicable to retail forex transactions. Rule 15b12-1T is intended to preserve the existing regulatory structure for broker-dealers while providing the Commission with an opportunity to receive comments and evaluate whether to prescribe additional rules and to further consider investor protection concerns as they affect the regulatory treatment of retail forex transactions by broker-dealers. The Commission does not intend to create any new obligations for broker-dealers that are engaged in a retail forex business under this interim final temporary rule. The rule is effective on July 15, 2011. (Rel. 34-64874; File No. S7-30-11) Enforcement ProceedingsCommission Revokes Registration of Securities of Simex Technologies, Inc. (n/k/a CT Holdings, Inc.) for Failure to Make Required Periodic FilingsOn July 13, 2011, the Commission revoked the registration of each class of registered securities of Simex Technologies, Inc. (n/k/a CT Holdings, Inc.) (CT Holdings) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Columbia Futures Fund consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Simex Technologies, Inc. (n/k/a CT Holdings, Inc.) finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of CT Holdings’ securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against CT Holdings in In the Matter of Samaritan Pharmaceuticals, Inc., et al., Administrative Proceeding File No. 3-14423. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Samaritan Pharmaceuticals, Inc., et al., Administrative Proceeding File No. 3-14423, Exchange Act Release No. 64644, June 14, 2011. (Rel. 34-64866; File No. 3-14423) Commission Orders Hearings on Registration Suspension or Revocation Against CGSE for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of CGSE for failure to make required periodic filings with the Commission: In the Matter of Columbus Geographic Systems (GIS) Ltd., Administrative Proceeding File No. 3-14461 In this Order, the Division of Enforcement (Division) alleges that Columbus Geographic Systems (GIS) Ltd. 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 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 judge in the proceeding will then determine whether the registration pursuant to Exchange Act Section 12 of each class of the securities of this Respondent 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. 34-64867) Commission Orders Hearings on Registration Suspension or Revocation Against Six Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted separate public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of six companies for failure to make required periodic filings with the Commission: In the Matter of Maxicare Health Plans, Inc., et al., Administrative Proceeding File No. 3-14462
In the Order, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission. In these proceedings, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the 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 judge in the proceedings 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 the proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64869; File No. 3-14462) Commission Orders Hearings on Registration Suspension or Revocation Against Three Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of three companies for failure to make required periodic filings with the Commission: In the Matter of Aqua Society, Inc., et al., Administrative Proceeding File No. 3-14463
In this Order, the Division of Enforcement (Division) alleges that the three 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 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 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. 34-64871; File No. 3-14463) In the Matter of Gregory D. WoodOn July 13, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Gregory D. Wood. The Order finds that on April 20, 2011 a Judgment of Permanent Injunction and Other Relief was entered by consent against Wood, permanently enjoining him from future violations of Sections 17(a), 5(a) and (c) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Art Intellect, Inc., et al., Civil Action Number 2:11-cv-00357, in the United States District Court for the District of Utah. Based on the above, the Order bars Wood from being associated with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and bars him from participating in any offering of a penny stock, including acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Wood consented to the issuance of the Order without admitting or denying the findings in the Order, except he admitted the entry of the injunction. (Rel. 34-64873; File No. 3-14464) SEC Charges Philadelphia-Based Investment Adviser With FraudThe Securities and Exchange Commission today charged Sam Otto Folin (Folin), his Philadelphia-based registered investment adviser, Benchmark Asset Managers LLC (Benchmark) and its parent company, Harvest Managers LLC (Harvest) with misappropriating approximately $8.7 million from advisory clients, friends and family through material misrepresentations and omissions. According to the SEC’s complaint filed in the U.S. District Court for the Eastern District of Pennsylvania, from approximately 2002 through October 2010, Folin, Benchmark and Harvest offered and sold securities in Harvest, Benchmark, and Safe Haven Portfolios LLC (Safe Haven), a pooled investment vehicle, promising investors that their funds would be invested in public and private companies with “socially responsible” goals and purposes. Instead, the complaint alleges that Folin, Benchmark and Harvest diverted a portion of the invested funds to pay previous investors as well as to sustain Benchmark’s and Harvest’s expenses which included paying Folin’s salary. More specifically, the complaint alleges that Benchmark and Harvest issued various “notes” to advisory clients, friends and family promising guaranteed above-market interest rates. Folin, Benchmark and Harvest assured investors that such notes were conservative and safe. According to the complaint, Folin, Benchmark and Harvest failed to disclose the true uses of those funds and continually misrepresented the value of the notes on quarterly statements. In addition, the complaint alleges that in August 2004 Folin and Benchmark formed Safe Haven which purported to offer investments in several different portfolios, including the Private Fixed Income Portfolio, the Hedged Equity Portfolio, the Green Real Estate Portfolio and the Sustainable Enhanced Cash Portfolio. The complaint also alleges that Folin and Benchmark caused Benchmark’s advisory clients to invest in Safe Haven and that Folin and Benchmark also acted as investment advisers to Safe Haven. From 2006 through 2009, the complaint alleges that Folin and Benchmark caused Safe Haven to pay over $1.7 million to Benchmark and Harvest under the guise of “development costs.” The complaint alleges that these “development costs” did not relate to any actual expenses incurred by Harvest or Benchmark in connection with the formation or offering of Safe Haven securities. Rather, the complaint alleges, the payments coincided with Harvest’s and Benchmark’s need for funds to pay previous investors, expenses and Folin’s salary. Moreover, the complaint alleges that Folin and Benchmark improperly amortized the development costs rather than expensing them as incurred in accordance with Generally Accepted Accounting Principles (GAAP) thereby causing the reported net asset values of the Safe Haven portfolio to be overstated on statements provided to advisory clients and investors. The complaint also alleges that Folin and Benchmark caused Safe Haven to make loans to Harvest and Benchmark in excess of $3.9 million. The complaint further alleges that Folin and Benchmark did not disclose these loans. Moreover, the complaint alleges that these loans violated several provisions of Safe Haven’s investment criteria including, among other things, that: (1) they were not supported by adequate collateral, (2) they violated the 5% net exposure requirement, and (3) they caused the portfolios to violate the “no leverage” provision. In addition, the complaint alleges that the financial statements provided by Folin and Benchmark to investors did not comply with GAAP. More specifically, the complaint alleges that the financial statements improperly valued the Safe Haven loans to Harvest and Benchmark at face value, rather than fair value or net realizable value. Finally, the complaint alleges that Folin and Benchmark failed to disclose to their advisory clients Benchmark’s dire financial situation and inability to sustain itself but for the monies it received under the guise of “development costs” and the loans from Safe Haven. Without admitting or denying the allegations in the SEC’s complaint, Folin and Benchmark have consented to the entry of a final judgment enjoining them from future violations of Sections 17 of the Securities Act of 1933, Section 10(b) of the Exchange Act of 1934 and Rule 10b-5, and Sections 206(1), 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. Harvest has consented to the entry of a final judgment enjoining it from future violations of Sections 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. Folin, Benchmark and Harvest have also consented to pay, jointly and severally, disgorgement of $8,706,620 plus prejudgment interest of $1,454,177. In addition, Folin has consented to pay a civil penalty of $150,000 and Harvest and Benchmark have consented to pay civil penalties of $750,000 each. The settlements are subject to court approval. Without admitting or denying the Commission's findings, Folin also consented to the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions which bars him from association with any broker, dealer, investment adviser, municipal securities dealer, transfer agent, municipal advisor, or nationally recognized statistical ratings organization based upon the entry of the final judgment. Similarly, without admitting or denying the Commission’s findings, Benchmark consented to the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions which revokes its investment adviser registration based upon the entry of the final judgment. [SEC v. Sam Otto Folin, Benchmark Asset Managers LLC and Harvest Managers LLC Civil Action No. 11-cv-4447 (E.D. Pa.)] (LR-22036) SEC Files Settled Anti-Bribery, Books and Records, and Internal Controls Charges Against Armor Holdings, Inc.The Securities and Exchange Commission today filed a settled civil enforcement action against Armor Holdings, Inc. (Armor Holdings), alleging violations of the anti-bribery, books and records, and internal controls provisions of the Foreign Corrupt Practices Act (FCPA). Armor Holdings, a manufacturer of military and law enforcement safety equipment based in Jacksonville, Florida, agreed to pay a total of $5,690,744 in disgorgement, prejudgment interest, and civil penalties in order to resolve the Commission’s charges. In a related matter, Armor Holdings will pay a $10,290,000 fine to the U.S. Department of Justice (DOJ). According to the Commission’s complaint: From 2001 to 2006, certain agents of Armor Holdings participated in a bribery scheme to help a U.K. subsidiary of Armor Holdings, Armor Products International, Ltd. (API), obtain contracts for the supply of body armor to be used in United Nations (U.N.) peacekeeping missions. These agents of Armor Holdings caused API to enter into a sham consulting agreement with a third-party intermediary for purportedly legitimate services in connection with the sale of goods to the U.N. In September 2001, the third-party intermediary instructed API to provide a signed, but otherwise blank, pricing sheet that the intermediary would complete after learning from a U.N. procurement official about non-public bids submitted by competitors for the contract. In October 2001, the U.N. awarded API a multi-year contract for the supply of body armor. In February 2003, an agent of Armor Holdings asked the third-party intermediary how API could win a renewal contract to sell body armor to the U.N. The intermediary responded that the same rules would apply to the 2003 tender as applied to the 2001 tender. In August 2003, API received another three-year contract from the U.N. In 2006, API received an additional one-year supply extension from the U.N. on the 2003 contract, without assistance from the third-party intermediary. By late 2006, API had made at least ninety-two payments to the intermediary, totaling approximately $222,750. Agents of Armor Holdings caused API to wire payments to the intermediary with the understanding that part of these payments would be offered to a U.N. official who could help steer business to API. From the 2001 and 2003 U.N. contracts, together with the extension granted in 2006, Armor Holdings derived gross revenues of approximately $7,121,237, and net profits of approximately $1,552,306. From 2001 through June 2007, a U.S. subsidiary of Armor Holdings, Armor Holdings Products, LLC (AHP), employed a separate accounting practice that disguised in the books and records of Armor Holdings approximately $4,371,278 in commissions paid to intermediaries who brokered the sale of goods to foreign governments. Despite internal and external admonitions that this practice violated U.S. Generally Accepted Accounting Principles, AHP failed to record commissions in at least 92 transactions through June 2007—resulting in approximately $4,371,278 of undisclosed commissions on the books and records of Armor Holdings. On July 31, 2007, after the conduct in the Commission’s complaint had occurred, Armor Holdings was acquired by BAE Systems, Inc.—an indirect wholly-owned U.S. subsidiary of Britain’s BAE Systems PLC. Accordingly, Armor Holdings is no longer an issuer of securities. Without admitting or denying the allegations in the Commission’s complaint, Armor Holdings has consented to a court order permanently enjoining it from violating Sections 30A, 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act; ordering it to pay disgorgement of $1,552,306, together with prejudgment interest of $458,438; imposing on it a civil penalty of $3,680,000; and ordering it to comply with certain undertakings regarding its FCPA compliance program. The proposed settlement is subject to court approval. Armor Holdings conducted a thorough internal investigation to determine the scope of the improper payments and cooperated with the Commission’s inquiry. The Commission acknowledges the assistance of the Fraud Section of DOJ’s Criminal Division and the Federal Bureau of Investigation. The Commission’s investigation is continuing. [SEC v. Armor Holdings, Inc., Case No. 1:11-cv-01271 (D. D.C) (ESH)] (LR-22037; AAE Rel. 3302) Investment Company Act ReleasesHighmark Funds and Highmark Capital Management, Inc.A notice has been issued giving interested persons until Aug. 5, 2011, to request a hearing on an application filed by HighMark Funds and HighMark Capital Management, Inc. 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. (Rel. IC-29723 – July 12) Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ Stock Market (SR-NASDAQ-2011-094) to extend the waiver of certain co-location installation fees for an additional month 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 11. (Rel. 34-64858) A proposed rule change filed by NYSE Amex (SR-NYSEAmex-2011-47) extending the operative date of NYSE Amex Equities Rule 92(c)(3) from August 1, 2011 to September 12, 2011 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 11. (Rel. 34-64859 A proposed rule change filed by New York Stock Exchange (SR-NYSE-2011-32) extending the operative date of NYSE Rule 92(c)(3) from Aug. 1, 2011 to September 12, 2011 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 11. (Rel. 34-64860) A proposed rule change filed by the International Securities Exchange (SR-ISE-2011-38) relating to a market maker incentive plan for foreign currency options 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 11. (Rel. 34-64861) A proposed rule change filed by NASDAQ OMX PHLX (SR-Phlx-2011-94) relating to the Options Floor Broker Subsidy has become immediately 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 11. (Rel. 34-64863) Proposed Rule ChangeThe Depository Trust Company filed a proposed rule change (SR-DTC-2011-06) pursuant to Section 19(b)(1) of the Act that would amend DTC’s Redemption Service Guide as it relates to the early redemption of certain Certificates of Deposit held at DTC. Publication is expected in the Federal Register during the week of July 11. (Rel. 34-64864) 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 FLINT TELECOM GROUP INC., 7500 COLLEGE BLVD, SUITE 500, OVERLAND PARK, KS, 66210, 5619620230 - 60,000,000 ($240,000.00) Equity, (File 333-175476 - Jul. 12) (BR. 11C) S-4 CUMULUS MEDIA INC, 3280 PEACHTREE ROAD N.W., SUITE 2300, ATLANTA, GA, 30305, 4049490700 - 0 ($431,124,121.00) Equity, (File 333-175477 - Jul. 12) (BR. 11C) S-3 QUANTUM FUEL SYSTEMS TECHNOLOGIES WORLDWIDE, INC., 17872 CARTWRIGHT ROAD, IRVINE, CA, 92614, 949-399-4500 - 4,810,681 ($20,018,764.00) Equity, (File 333-175478 - Jul. 12) (BR. 05B) S-8 ReneSola Ltd, NO. 8 BAOQUN ROAD, YAOZHUANG, JIASHAN, F4, 314117, (86-573) 8477 3058 - 5,000,000 ($23,850,000.00) Equity, (File 333-175479 - Jul. 12) (BR. 10C) S-1 GOLDEN OASIS NEW ENERGY GROUP, INC., 2112A STONINGTON AVENUE, HOFFMAN ESTATES, IL, 60169, 630 254 8655 - 611,500 ($61,150.00) Equity, (File 333-175482 - Jul. 12) (BR. 10B) S-1 NYC MODA INC, 547 N YALE AVE, VILLA PARK, IL, 60181, 331-262-0006 - 4,000,000 ($80,000.00) Equity, (File 333-175483 - Jul. 12) (BR. 09) S-1 IMAGING DIAGNOSTIC SYSTEMS INC /FL/, 5307 NW 35TH TERRACE, FORT LAUDERDALE, FL, 33309, 954 581-9800 - 200,000,000 ($3,100,000.00) Equity, (File 333-175492 - Jul. 12) (BR. 10B) S-8 Naugatuck Valley Financial Corp, 333 CHURCH STREET, NAUGATUCK, CT, 06770, 203 720 50000 - 0 ($4,018,685.00) Equity, (File 333-175493 - Jul. 12) (BR. 07) S-8 Naugatuck Valley Financial Corp, 333 CHURCH STREET, NAUGATUCK, CT, 06770, 203 720 50000 - 0 ($3,880,003.00) Equity, (File 333-175496 - Jul. 12) (BR. 07) S-3 CURRENCYSHARES EURO TRUST, C/O RYDEX INVESTMENTS, 9601 BLACKWELL ROAD, SUITE 500, ROCKVILLE, MD, 20009, 301-296-5100 - 0 ($1,422,100,000.00) Other, (File 333-175502 - Jul. 12) (BR. 08B) S-3ASR CURRENCYSHARES CANADIAN DOLLAR TRUST, C/O RYDEX INVESTMENTS, ATTN: TIM MEYER, 9601 BLACKWELL ROAD, SUITE 500, ROCKVILLE, MD, 20850, 301-296-5129 - 0 ($514,100,000.00) Other, (File 333-175503 - Jul. 12) (BR. 08B) S-3ASR CURRENCYSHARES SWISS FRANC TRUST, C/O RYDEX INVESTMENTS, ATTN: TIM MEYER, 9601 BLACKWELL ROAD, SUITE 500, ROCKVILLE, MD, 20850, 301-296-5129 - 0 ($586,150,000.00) Other, (File 333-175504 - Jul. 12) (BR. 08B) S-8 POLYCOM INC, 4750 WILLOW ROAD, PLEASANTON, CA, 94588-2708, 9259246000 - 26,800,000 ($817,848,000.00) Equity, (File 333-175506 - Jul. 12) (BR. 11C) S-1 WaferGen Bio-systems, Inc., 7400 PASEO PADRE PARKWAY, FREMONT, CA, 94555, (510) 651-4450 - 112,346,479 ($66,284,423.00) Equity, (File 333-175507 - Jul. 12) (BR. 10C) S-3ASR AMERICAN AXLE & MANUFACTURING HOLDINGS INC, ONE DAUCH DRIVE, DETROIT, MI, 48211-1198, 3137583600 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-175508 - Jul. 12) (BR. 05A) S-1 West End Indiana Bancshares, Inc., 34 SOUTH 7TH STREET, RICHMOND, IN, 47374, (765) 962-9587 - 0 ($18,895,000.00) Equity, (File 333-175509 - Jul. 12) (BR. ) 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
ABRAXAS PETROLEUM CORP NV 7.01,9.01 07/12/11
ALCOA INC PA 2.02,9.01 07/11/11
Alto Group Holdings Inc. NV 1.01 07/07/11
AMERICAN INTERNATIONAL INDUSTRIES INC NV 1.01,3.02,8.01 07/12/11
AMERITRANS CAPITAL CORP DE 5.02,9.01 07/06/11
AMERON INTERNATIONAL CORP DE 2.02,8.01,9.01 07/08/11
ANNALY CAPITAL MANAGEMENT INC MD 8.01,9.01 07/11/11
Anoteros, Inc. NV 9.01 07/11/11 AMEND
APAC CUSTOMER SERVICES, INC IL 1.01,8.01,9.01 07/06/11
APARTMENT INVESTMENT & MANAGEMENT CO MD 7.01,9.01 07/12/11
APOLLO GROUP INC AZ 8.01 07/11/11
ARKADOS GROUP, INC. DE 1.01,2.01,3.02,9.01 06/24/11
Atrinsic, Inc. DE 3.01 07/08/11
Azteca Acquisition Corp D8 8.01 07/06/11
BANCFIRST CORP /OK/ OK 7.01 07/12/11
BASIC ENERGY SERVICES INC 1.01,2.01,7.01,9.01 07/06/11
BIMINI CAPITAL MANAGEMENT, INC. MD 7.01 07/12/11
BIOMET INC IN 2.02,9.01 07/12/11
Bizzingo, Inc. NV 5.01 05/16/11
BJs RESTAURANTS INC CA 8.01,9.01 07/12/11
BLUE NILE INC DE 5.02 07/06/11
BRISTOL MYERS SQUIBB CO DE 5.02 07/07/11
BUCYRUS INTERNATIONAL INC DE 1.02,2.01,3.01,3.03, 07/08/11
5.01,5.02,5.03,9.01
CACI INTERNATIONAL INC /DE/ DE 5.02 07/06/11
CADIZ INC DE 8.01,9.01 07/12/11
CAESARS ENTERTAINMENT Corp DE 1.01,5.02,8.01,9.01 07/08/11
Carbon Natural Gas Co DE 8.01,9.01 06/29/11
CATERPILLAR INC DE 8.01,9.01 07/12/11
Celsion CORP DE 5.02 07/08/11
CENTRAL VERMONT PUBLIC SERVICE CORP VT 1.01,1.02,8.01,9.01 07/11/11
CHASE CORP MA 2.02,9.01 07/07/11
China Direct Industries, Inc. FL 7.01,9.01 07/12/11
CHOICE HOTELS INTERNATIONAL INC /DE DE 1.01,2.03 07/11/11
CIFC Deerfield Corp. DE 5.02,9.01 07/11/11
CIRCLE STAR ENERGY CORP. NV 1.01,5.02,9.01 07/06/11
COMTECH TELECOMMUNICATIONS CORP /DE/ DE 1.01,8.01,9.01 07/07/11
Cooper Industries plc 8.01,9.01 07/11/11
CORE LABORATORIES N V P7 7.01 07/12/11
CRANE CO /DE/ DE 8.01,9.01 07/12/11
CRIMSON EXPLORATION INC. 5.02,9.01 06/29/11
CROSS TIMBERS ROYALTY TRUST TX 4.01,9.01 07/07/11
CROSSTEX ENERGY INC DE 1.01,2.03,7.01,9.01 07/11/11
CROSSTEX ENERGY LP DE 1.01,2.03,7.01,9.01 07/11/11
Cyclacel Pharmaceuticals, Inc. DE 3.03 07/08/11
CYTORI THERAPEUTICS, INC. DE 1.01,9.01 07/11/11
DANAHER CORP /DE/ DE 5.03,9.01 07/12/11
DEER VALLEY CORP 1.01,9.01 07/08/11
DEVON ENERGY CORP/DE DE 1.01,2.03,9.01 07/12/11
Douglas Emmett Inc MD 9.01 07/11/11
DURECT CORP DE 1.01,8.01,9.01 07/11/11
eHealth, Inc. DE 1.01,2.03,9.01 07/08/11
EL CAPITAN PRECIOUS METALS INC NV 1.01,3.02,9.01 07/11/11
ELECTRONIC ARTS INC. DE 1.01,7.01,9.01 07/12/11
Emergent BioSolutions Inc. DE 5.02 07/08/11
ENER1 INC FL 5.02 07/11/11
ENERGY CONVERSION DEVICES INC DE 5.02,9.01 07/06/11
Energy Transfer Equity, L.P. DE 7.01,8.01,9.01 07/08/11
Enstar Group LTD D0 2.01,9.01 07/12/11
EPL Intermediate, Inc. DE 8.01 07/11/11
EQUITY RESIDENTIAL MD 5.02 07/12/11
Extra Space Storage Inc. MD 1.02,5.02 05/24/11
EXTREME NETWORKS INC DE 8.01 07/09/11
FASTENAL CO MN 2.02,9.01 07/12/11
FBC Holding, Inc. 1.01,7.01,9.01 07/12/11
Federal Home Loan Bank of Boston X1 2.03 07/06/11
Federal Home Loan Bank of Chicago X1 2.03 07/06/11
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 07/07/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 07/08/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 07/12/11
Federal Home Loan Bank of New York X1 2.03,9.01 07/06/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/06/11
Federal Home Loan Bank of San Francis X1 2.03 07/06/11
Federal Home Loan Bank of Seattle 2.03 07/06/11
Federal Home Loan Bank of Topeka 2.03,9.01 07/06/11
FIRST BUSEY CORP /NV/ NV 8.01 07/12/11
FIRST CITIZENS BANCSHARES INC /DE/ DE 8.01 07/08/11
FLUOROPHARMA MEDICAL, INC. NV 1.01,2.01,3.02,5.01, 05/16/11 AMEND
5.02,5.03,5.06,9.01
FOREST LABORATORIES INC DE 3.01,9.01 07/06/11
Forex International Trading Corp. NV 2.02,7.01,9.01 07/11/11
FREEDOM FINANCIAL GROUP INC DE 8.01 07/12/11
Freescale Semiconductor Holdings I, L D0 5.02,9.01 07/06/11
GameStop Corp. DE 5.02,9.01 07/12/11
Gamma Pharmaceuticals Inc DE 8.01,9.01 07/09/11
GENERAL DYNAMICS CORP DE 8.01,9.01 07/12/11
Glen Rose Petroleum CORP DE 1.01,3.02,9.01 07/06/11
GlenRose Instruments Inc. 5.02 07/12/11
GNC HOLDINGS, INC. DE 5.02,9.01 07/06/11
GOLDMAN SACHS GROUP INC DE 9.01 07/12/11
Google Inc. DE 8.01,9.01 07/12/11
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 07/12/11
Graymark Healthcare, Inc. OK 7.01,9.01 07/11/11
GREAT ATLANTIC & PACIFIC TEA CO INC MD 1.01 07/12/11
GREENBRIER COMPANIES INC DE 5.02 07/06/11
GSV Capital Corp. MD 8.01,9.01 07/12/11
HCA Holdings, Inc. 5.02 07/11/11
HCP, INC. MD 8.01,9.01 07/12/11
HEARTLAND EXPRESS INC NV 5.07 07/11/11 AMEND
HMS HOLDINGS CORP 5.02,5.03,5.07,8.01, 07/06/11
9.01
HOME BANCSHARES INC 1.01,7.01,9.01 07/06/11
Horizon Technology Finance Corp DE 5.07 07/12/11
HUGOTON ROYALTY TRUST TX 4.01,9.01 07/07/11
IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 8.01 07/12/11
Inland American Real Estate Trust, In MD 7.01,8.01,9.01 07/12/11
INLAND REAL ESTATE CORP MD 8.01,9.01 07/11/11
INTERNATIONAL GAME TECHNOLOGY NV 5.02,7.01,9.01 07/06/11
Invesco Ltd. D0 2.02,8.01,9.01 07/12/11
KEATING CAPITAL INC 7.01,9.01 07/11/11
KENDLE INTERNATIONAL INC OH 2.01,3.01,3.03,5.01, 07/12/11
5.02,5.03,9.01
KLA TENCOR CORP DE 8.01,9.01 07/12/11
LA JOLLA PHARMACEUTICAL CO DE 8.01 07/08/11
LaPorte Bancorp, Inc. X1 5.02,9.01 07/12/11
LEVEL 3 COMMUNICATIONS INC DE 1.01,9.01 07/06/11
LEVI STRAUSS & CO DE 2.02,9.01 07/12/11
LEXARIA CORP. NV 1.01,3.02,5.02,7.01, 07/11/11
9.01
Lightwave Logic, Inc. NV 7.01,9.01 07/12/11
LJM Energy Corp. NV 5.02,9.01 07/08/11
MATERIAL SCIENCES CORP DE 2.02,9.01 07/11/11
MCJUNKIN RED MAN HOLDING CORP DE 8.01,9.01 07/11/11
MEDICINOVA INC DE 1.01,9.01 07/06/11
MedQuist Holdings Inc. DE 1.01,3.02,5.02,8.01, 06/30/11
9.01
MedQuist Holdings Inc. DE 7.01,9.01 07/12/11
MEDQUIST INC NJ 1.01,5.02,9.01 06/30/11
METALICO INC 8.01,9.01 07/12/11
MOBILE STAR CORP DE 3.02,5.01,5.02,9.01 07/12/11
MOHAWK INDUSTRIES INC DE 1.01,1.02,2.03,9.01 07/08/11
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 07/12/11
MONOLITHIC POWER SYSTEMS INC CA 1.01 07/08/11
NCR CORP MD 1.01,2.03,9.01 07/11/11
NEWS CORP 8.01,9.01 07/12/11
nFinanSe Inc. 5.03,9.01 07/07/11
NISOURCE INC/DE DE 7.01 07/12/11
NORTEL NETWORKS CORP 8.01 07/11/11
Nuance Communications, Inc. DE 1.01,9.01 07/07/11
NxStage Medical, Inc. DE 5.02,7.01,9.01 07/08/11
OBN HOLDINGS INC NV 8.01 07/12/11
OCEAN BIO CHEM INC FL 1.01,1.02,9.01 07/06/11
ORAGENICS INC FL 1.01,9.01 07/08/11
ORIGINOIL INC NV 3.02 07/11/11
OXIS INTERNATIONAL INC DE 1.01,8.01,9.01 06/29/11
Panacea Global, Inc. NV 1.01,9.01 07/07/11
PIONEER DRILLING CO TX 2.02,8.01,9.01 07/12/11
PLATINUM UNDERWRITERS HOLDINGS LTD D0 2.02,8.01,9.01 07/11/11
PONIARD PHARMACEUTICALS, INC. WA 5.07,8.01,9.01 07/08/11
POWERWAVE TECHNOLOGIES INC DE 2.02,9.01 07/12/11
PRECISION CASTPARTS CORP OR 8.01,9.01 07/10/11
PREMIER EXHIBITIONS, INC. FL 2.02,9.01 07/12/11
PRINCETON REVIEW INC DE 5.02,9.01 07/06/11
PRIVATE MEDIA GROUP INC NV 3.01,5.02 07/01/11
PROCTER & GAMBLE CO OH 7.01 07/12/11
QR Energy, LP DE 5.02 06/29/11 AMEND
QUEST SOFTWARE INC CA 2.02,9.01 07/12/11
RAAM Global Energy Co DE 7.01,8.01 07/12/11
RADIANT SYSTEMS INC GA 1.01,9.01 07/11/11
REGIONAL BANK HOLDERS SM TRUST NY 8.01,9.01 07/12/11
RETRACTABLE TECHNOLOGIES INC TX 8.01,9.01 07/11/11
SANUWAVE Health, Inc. NV 7.01,9.01 07/12/11
SCHMITT INDUSTRIES INC OR 2.02,9.01 07/12/11
SecureAlert, Inc. UT 1.01,3.02,7.01,9.01 07/06/11
Siga Resources Inc. 1.01,9.01 06/07/11
SKY DIGITAL STORES CORP. NV 1.01,2.01,3.02,4.01, 05/05/11 AMEND
5.01,5.02,5.03,5.06,
9.01
SMITH MICRO SOFTWARE INC DE 5.02 07/11/11
SMTP, Inc. DE 7.01,8.01,9.01 07/12/11
SOUTHWEST BANCORP INC OK 5.02 07/11/11
SPECTRAL CAPITAL Corp 1.01 07/08/11
SPECTRANETICS CORP DE 5.02,9.01 07/08/11
STAG Industrial, Inc. 1.01,2.03 07/08/11
STRATEGIC HOTELS & RESORTS, INC 1.01,2.03,7.01,9.01 07/06/11
Stream Global Services, Inc. DE 5.02 07/08/11
SUMMIT FINANCIAL SERVICES GROUP INC FL 1.01,5.02,9.01 07/06/11
SUN BANCORP INC /NJ/ NJ 5.02 07/06/11
TC Global, Inc. 5.02,9.01 07/06/11
TECHPRECISION CORP 4.01,9.01 07/06/11 AMEND
TELETECH HOLDINGS INC DE 5.02,9.01 07/06/11
TEREX CORP DE 8.01,9.01 07/12/11
THERMO FISHER SCIENTIFIC INC. DE 8.01,9.01 07/12/11
TITAN PHARMACEUTICALS INC DE 8.01,9.01 06/11/11
TURBOSONIC TECHNOLOGIES INC DE 1.01,9.01 07/12/11
UDR, Inc. MD 7.01,9.01 07/12/11
UDR, Inc. MD 8.01,9.01 07/12/11
UNIGENE LABORATORIES INC DE 8.01 07/08/11
VALASSIS COMMUNICATIONS INC DE 1.01,2.03 07/06/11
VANGUARD HEALTH SYSTEMS INC DE 2.04,8.01,9.01 07/12/11
VANGUARD HEALTH SYSTEMS INC DE 8.01,9.01 07/12/11
Vaughan Foods, Inc. OK 1.01 07/06/11
VITRAN CORP INC A6 1.01,9.01 07/11/11
VOICESERVE INC DE 1.01,3.02,9.01 06/06/11
Warner Music Group Corp. DE 1.01,8.01,9.01 07/08/11
WASTE CONNECTIONS, INC. DE 1.01,2.03 07/11/11
WCA WASTE CORP DE 8.01 07/08/11
WOLVERINE WORLD WIDE INC /DE/ MI 2.02,9.01 07/12/11
XO HOLDINGS INC DE 1.01,8.01,9.01 07/11/11
YA ZHU SILK, INC. NV 1.01,3.02,5.02 06/29/11
Your Event, Inc. NV 5.01,9.01 06/10/11
ZION OIL & GAS INC DE 1.01,9.01 07/11/11
ZOGENIX, INC. DE 1.01,8.01,9.01 07/11/11
http://www.sec.gov/news/digest/2011/dig071311.htm
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