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SEC News Digest
Issue 2011-141
July 22, 2011
Commission Announcements
SEC and Turkey Securities Regulator Announce Terms of Reference for Enhanced Cooperation and Collaboration
The Securities and Exchange Commission and the Capital Markets Board of Turkey (CMB) today announced a new relationship to enhance cooperation and collaboration with the aim of promoting investor protection, fostering market integrity, and facilitating cross-border securities activities between Turkey and the United States.
In light of the growing interest in the cross-border flow of financial services and investment between the U.S. and Turkey, the dialogue will provide an opportunity for the SEC and the CMB to discuss issues of common concern, including those relating to supervisory and enforcement matters.
SEC Chairman Mary Schapiro and CMB Chairman Dr. Vedat Akgiray elaborated on the terms establishing the structure of and agenda for a SEC-CMB dialogue, which has three main objectives:
- Identify and discuss regulatory issues of common concern.
- Improve cooperation and the exchange of information in cross-border securities enforcement matters.
- Maintain and continue to develop the existing jointly-sponsored training and technical assistance programs that benefit the SEC, CMB, and other regulators in the region.
Chairman Schapiro said, “Participating in cross-border efforts to increase transparency for investors, promote well-regulated markets, and strengthen cooperation in supervisory and enforcement matters is essential for any securities regulator in today’s global markets. The initiative established today will serve to benefit investors in the United States and Turkey, and facilitate cross-border capital flows.”
Chairman Akgiray said, “With the new dynamics caused by global financial markets, we would like to capitalize on this international dimension to the benefit our fast-growing capital market in Turkey. With this vision, the CMB and the SEC cooperation that will occur through this bilateral regulatory dialogue will significantly improve cooperation for regulatory and supervisory issues, address common concerns more effectively, and therefore prove to be mutually beneficial. Upgrading our financial markets in an internationally collaborative way will contribute to the Istanbul Financial Center workplan as well. We believe this initiative will facilitate the CMB’s mission of investor protection, market integrity, and a regulatory environment that encourages capital formation.”
Ethiopis Tafara, Director of the SEC’s Office of International Affairs, said, “We benefit immensely in obtaining the CMB’s perspectives on current challenges that securities regulators face given CMB’s unique location within the region. We look forward to discussions on a variety of matters of importance to investors in the global marketplace, including improving oversight of market intermediaries and the development of markets for small enterprises.”
This announcement reflects the long-standing tradition of bilateral technical assistance programs between the SEC and CMB. In 2008, 2009, and 2010, the CMB co-sponsored three major regional training sessions in Turkey on market regulation, inspections, enforcement, and disclosure with more than 575 people trained, including financial services staff and officials from the Turkish market as well as other foreign authorities from the region. At these programs, SEC and CMB senior staff shared their insights on promoting timely and accurate disclosure and transparency as a tool for regulating capital markets. The CMB has been particularly successful in attracting participation in these market-development training programs due to its current role as head of IOSCO’s Emerging Market Committee. (Press Rel. 2011-153)
Enforcement Proceedings
Commission Revokes Registration of Securities of Haber, Inc. for Failure to Make Required Periodic Filings
On July 22, 2011, the Commission revoked the registration of each class of registered securities of Haber, Inc. (HABE) 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, HABE 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 Haber, 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 HABE’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against HABE in In the Matter of Dawn Technologies, Inc., et al., Administrative Proceeding File No. 3-14422.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .
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 Dawn Technologies, Inc., et al., Administrative Proceeding File No. 3-14422, Exchange Act Release No. 64661 (June 14, 2011). (Rel. 34-64947; File No. 3-14422)
In the Matter of Ford Motor Credit Company
On July 22, 2011, the Commission issued an Order modifying its June 14, 2005 Order against Ford Motor Credit Company (Ford Credit) to provide Ford Credit with an up-dated method of making certain annual information available to the holders of certain variable denomination floating rate demand notes (the Notes). The Order replaces the requirement that Ford Credit provide Note holders with yearly delivery of its most recent Form 10-K with a requirement that Ford Credit deliver an annual notice that informs such Note holders of the availability of the Form 10-K on the Internet or a paper copy upon request.
Based on the above, the Order requires Ford Credit, on a yearly basis, to notify all Note holders by mail or, in the case of Note holders who have previously given consent to electronic delivery, by e-mail or other electronic means, that its most recent Form 10-K as well as its other reports filed with the SEC are available on Ford Credit’s web site and on the SEC’s EDGAR database and provide instructions on how Note holders can obtain a paper copy of Ford Credit’s Form 10-K as well as the Company’s other SEC filings at no cost. Ford Credit consented to the issuance of the Order without admitting or denying the findings in the June 14, 2005 Order. See Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, In the Matter of Ford Motor Credit Company, Admin. Proc. File No. 3-11950 (June 14, 2005). (Rel. 33-9240; File No. 3-11950)
In the Matter of Jeffrey Yokuty
On July 22, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions against Jeffrey Yokuty. The Order finds that Yokuty worked as an analyst at Trivium Capital Management Funds, LLC (Trivium), a Delaware limited liability company and registered investment adviser based in New York, New York. He has held Series 7 and 63 securities licenses. On January 10, 2011, the Commission filed a civil action against Yokuty in SEC v. Feinblatt et al., Civil Action No. 11-CV-0170 (SDNY). On June 28, 2011, the Commission amended its complaint. On July 11, 2011, the Court entered an order permanently enjoining Yokuty, by consent, 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. The Commission’s complaint alleged that, in connection with the purchase, offer or sale of securities, Yokuty knew, recklessly disregarded, or should have known, that the material non-public information he received from a tipper was disclosed or misappropriated in breach of a fiduciary duty, or similar relationship of trust and confidence, and Yokuty is liable for the trading that occurred in Trivium funds because he effectuated trades on behalf of Trivium, controlled Trivium and/or unlawfully tipped inside information to Trivium.
Based on the foregoing injunction, the Order bars Yokuty from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent, with the right to apply for reentry after 3 years to the appropriate self-regulatory organization, or if there is none, to the Commission. Jeffrey Yokuty consented to the issuance of the Order without admitting or denying the findings in the Order, except he admitted to the entry of the injunction and the conviction. (Rel. IA-3250; File No. 3-14484)
In the Matter of Danielle Chiesi
On July 22, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions against Danielle Chiesi. The Order finds that Chiesi was a consultant and portfolio manager at New Castle Funds, LLC (New Castle), a Delaware limited liability company and registered investment adviser based in White Plains, New York, that was formerly part of Bear Stearns Asset Management. She has held Series 7 and 63 securities licenses. On October 16, 2009, the Commission filed a civil action against Chiesi in SEC v. Galleon Management, LP, et al., Civil Action No. 1:09-CV-8811 (SDNY). On July 12, 2011, the Court entered an order permanently enjoining Chiesi, by consent, 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. The Commission’s complaint alleged that, in connection with the purchase, offer or sale of securities, Chiesi knew, recklessly disregarded, or should have known, that the material non-public information she received from a tipper was disclosed or misappropriated in breach of a fiduciary duty, or similar relationship of trust and confidence, and Chiesi is liable for the trading that occurred in New Castle funds because she effectuated trades on behalf of New Castle, controlled New Castle and/or unlawfully tipped inside information to New Castle. On January 19, 2011, in a parallel criminal action, Chiesi pleaded guilty to three counts of conspiracy to commit securities fraud in violation of 18 U.S.C. § 371 before the United States District Court for the Southern District of New York in United States v. Danielle Chiesi, 09-CR-1184.
Based on the above, the Order bars Danielle Chiesi from association with any investment adviser, broker, dealer, municipal securities dealer or transfer agent. Chiesi consented to the issuance of the Order without admitting or denying the findings in the Order, except she admitted to the entry of the injunction and the conviction. (Rel. IA-3251; File No. 3-14485)
SEC Issues Stop Order Suspending the Effectiveness of Registration Statements Filed By China Intelligent Lighting and Electronics, Inc.
On July 22, 2011, the Commission issued an Order Making Findings and Suspending the Effectiveness of Registration Statements (Order) against China Intelligent Lighting and Electronics, Inc. (CIL) pursuant to Section 8(d) of the Securities Act of 1933. CIL filed two registration statements that became effective on June 17, 2010 and December 15, 2010. The Order finds that the two registration statements are materially misleading and deficient because on March 24, 2011, CIL’s auditor withdrew its audit report for the financial statements included in those registration statements. The Order also finds that each registration statement includes an untrue statement of a material fact because it states that it contains audited financial statements and the report of an independent audit firm when in fact the auditor has withdrawn its audit report.
CIL consented to the issuance of the Order without admitting or denying any of the findings in the Order. This Order resolves the administrative proceeding instituted against CIL on June 10, 2011. (Rel. 33-9241; File No. 3-14418)
SEC Issues Stop Order Suspending the Effectiveness of Registration Statement Filed By China Century Dragon Media, Inc.
On July 22, 2011, the Commission issued an Order Making Findings and Suspending the Effectiveness of Registration Statement (Order) against China Century Dragon Media, Inc. (CDM) pursuant to Section 8(d) of the Securities Act of 1933. CDM filed a registration statement that became effective on February 7, 2011. The Order finds that the registration statement is materially misleading and deficient because on March 22, 2011, CDM’s auditor withdrew its audit report for the financial statements included in the registration statement. The Order also finds that the registration statement includes an untrue statement of a material fact because it states that it contains audited financial statements and the report of an independent audit firm when in fact the auditor has withdrawn its audit report.
CDM consented to the issuance of the Order without admitting or denying any of the findings in the Order. This Order resolves the administrative proceeding instituted against CDM on June 13, 2011. (Rel. 33-9242; File No. 3-14421)
In the Matter of Affiliated Computer Services, Inc.
On July 21, 2011, the Commission issued an Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Denying Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 (Securities Act) and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 (Exchange Act) as to Xerox Corporation (Order). The Order was issued in response to a July 8, 2011 request from Xerox Corporation (Xerox) for waivers of these disqualification provisions arising from the settlement by Affiliated Computer Services, Inc. (ACS) of a civil action brought against it by the Commission. ACS is a wholly-owned subsidiary of Xerox.
The Order finds that on September 9, 2010, the Commission filed a settled federal court action against ACS in the United States District Court for the Northern District of Texas. In its complaint, the Commission alleged that ACS violated (among other provisions) Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Exchange Act Rule 10b-5. Without admitting or denying the allegations, ACS consented to a final judgment that enjoins it from committing future violations of these (and other) provisions (the “Consent and Final Judgment”). On September 15, 2010, the court entered the Consent and Final Judgment.
The Order further finds that the safe harbor provisions of Section 27A(c) of the Securities Act and Section 21E(c) of the Exchange Act are not available for any forward-looking statement that is “made with respect to the business or operations of an issuer, if the issuer . . . during the 3-year period preceding the date on which the statement was first made . . . has been made the subject of a judicial . . . order arising out of a governmental action that . . . prohibits future violations of the antifraud provisions of the federal securities laws.” Section 27A(b)(1)(A)(ii) of the Securities Act and Section 21E(b)(1)(A)(ii) of the Exchange Act.
As the Order states, in the underlying settled civil action, ACS was made the subject of a judicial order prohibiting future violations of the antifraud provisions. The Order finds that nothing has come to the attention of the Commission that Xerox, the issuer that acquired ACS after the violations alleged in the civil action were committed, has been made the subject of the judicial order or subject to its prohibitions in this case. Thus, the Commission determined that the Consent and Final Judgment with ACS do not cause the disqualification provisions of Section 27A(b)(1)(A)(ii) of the Securities Act and Section 21E(b)(1)(A)(ii) of the Exchange Act to be applicable to Xerox. The Order concludes that for this reason, the Commission believes that Xerox’s request for a waiver of those disqualification provisions is unnecessary as a matter of law and should be denied. (Rel. 33-9243; 34-64949)
Court Enters Judgments Against Las Vegas Husband and Wife For Securities Fraud
SEC v. Gerald Harold Levine, et al.
The Securities and Exchange Commission announced that on July 8, 2011, the U.S. District Court for the District of Nevada entered final judgments against MaryAnn Metz, the former secretary/treasurer and a director of Nu Star Holdings, Inc. (Nu Star), and Darin Scott Metz (also known as Damien Metz), her husband, who was president of a related company named Global Environmental Systems, Inc. The Metzes were the only remaining defendants in a pending offering fraud and market manipulation case.
The Commission’s complaint, filed on April 17, 2007, alleged that the Metzes and others, including MaryAnn’s parents Gerald and Marie Levine, engaged in a fraudulent scheme to sell approximately $4.5 million worth of shares of Pink Sheet companies, primarily to investors in the United Kingdom, out of boiler rooms in Barcelona, Spain and Santa Ana, California, in violation of the federal securities laws. The complaint also alleged that the Metzes participated in a related market manipulation scheme involving stock of the same Pink Sheet companies, including Nu Star.
The Commission alleged that MaryAnn Metz, who was one of two officers and directors of Nu Star, participated in the offering fraud by: (1) failing to disclose that the Levines, who were Nu Star’s majority shareholders, had previously been found liable for committing securities fraud; (2) failing to disclose that the president of Nu Star had been suspended from the practice of law for three years; and (3) failing to disclose to investors the excessive commissions that were paid to the boiler room sales force from the proceeds of the sale of Nu Star stock. The complaint also alleged that both Metzes purchased Nu Star shares in trades that were orchestrated with Gerald Levine and others at increasing prices in order create the illusion that there was a robust and increasing market for Nu Star’s shares, and that the shares had value.
Without admitting or denying the Commission’s allegations, except as to jurisdiction, the Metzes consented to the final judgments, which bar them from serving as officers or directors of publicly traded companies. MaryAnn is barred permanently, and Darin is barred for ten years. The final judgments also permanently bar both Metzes from participating in the offering of a penny stock. Additionally, MaryAnn Metz is permanently enjoined from violating Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, and Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934 (Exchange Act), while Darin Metz is permanently enjoined from violating Exchange Act Section 10(b) and Rule 10b-5. The final judgments also order Mary Ann Metz to disgorge $172,088, but waive payment and decline to impose penalties against her or Darin Metz based on their financial inability to pay. MaryAnn Metz also consented to the dismissal of her appeal of the order granting the Commission’s motion for summary judgment against her. SEC v. MaryAnn Metz, Case No. 10-17271 (9th Cir.)
The Court previously granted the Commission’s motion on summary judgment against Nu Star, the Levines, and Alan Copeland. The Levines’ appeal of that decision is pending. SEC v. Gerald Levine, et al., Case No. 10-16238 (9th Cir.). [SEC v. Gerald Harold Levine, et al., 2:07-CV-00506 (LDG/RJJ) (District of Nevada, Complaint filed April 17, 2007)] (LR-22052)
SEC v. Trevor G. Cook, Patrick J. Kiley, et al. and SEC v. Jason Bo-Alan Beckman, et al.
The Securities and Exchange Commission announced that on July 19, 2011, the U.S. Attorney's Office in Minnesota filed criminal charges against Jason Bo-Alan Beckman, Gerald Joseph Durand, and Patrick Joseph Kiley for their roles in a $194 million fraudulent foreign currency trading scheme orchestrated by Trevor Cook. The U.S. Attorney’s Office previously charged Cook and Christopher Pettengill for their involvement in the fraud. In August 2010, Cook entered a guilty plea to mail fraud and tax evasion and was sentenced to 25 years in prison and ordered to pay $155 million in restitution. On June 21, 2011, Pettengill agreed to plead guilty to securities fraud and awaits sentencing.
In November 2009, the SEC filed a civil injunctive action against Cook and Kiley and in March 2011, filed an injunctive action against Beckman. The SEC’s actions against these defendants, which were filed in the United States District Court for the District of Minnesota, arose out of the same facts that are the subject of the criminal case. The SEC’s complaints allege that from at least 2006 through 2009, Cook and Kiley with the help of Beckman and others raised at least $194 million from at least 1,000 investors through the unregistered offer and sale of investments in a purported foreign currency trading venture (the “Currency Program”). According to the SEC’s complaints, the defendants told investors that each investor’s money would be invested in the Currency Program, their money would be held in a segregated account, there was little or no risk to their money, they would receive guaranteed returns ranging from approximately 10% to 12% per year, and they could withdraw their money at any time. The SEC alleges that these representations were false. According to the SEC’s complaints, a significant portion of the investors’ funds were never invested in the Currency Program but instead were used to make purported interest and return of principal payments to other investors and also diverted to certain of the defendants and their companies. None of the funds were ever placed in segregated accounts at banks or foreign currency trading firms and the funds sent to the trading firms sustained significant losses.
The SEC's complaints against Cook, Kiley, and Beckman charge them with violating Sections 5 and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The complaint against Beckman also charges him with violating Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. On August 27, 2010, the court entered an order of permanent injunction against Cook prohibiting him from future violations of the federal securities laws and ordering him to pay disgorgement plus prejudgment interest and a civil penalty to be set by the court at a later date. The SEC’s against Kiley and Beckman remain pending. [SEC v. Trevor G. Cook, Patrick J. Kiley, et al., Case No. 09 SC 3333 (D. Minn.); SEC v. Jason Bo-Alan Beckman, et al., Case No. 11-CV-574 (D. Minn.)] (LR-22053)
Securities Act Registrations
The 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. F-3 Teekay Offshore Partners L.P., 4TH FLOOR, BELVEDERE BUILDING,
69 PITTS BAY ROAD, HAMILTON, D0, HM 08, (441) 298-2530 -
713,266 ($21,226,796.16) Equity, (File 333-175685 - Jul. 21) (BR. 05C)
S-1 VIST FINANCIAL CORP, 1240 BROADCASTING ROAD, WYOMISSING, PA, 19610,
6102080966 - 0 ($30,000,000.00) Equity, (File 333-175686 - Jul. 21)
(BR. 07C)
N-2 TORTOISE PIPELINE & ENERGY FUND, INC., 11550 ASH STREET, SUITE 300,
LEAWOOD, KS, 66211, 913-981-1020 - 0 ($5,000,000.00) Equity,
(File 333-175687 - Jul. 21) (BR. 17)
S-1 LEXARIA CORP., 604-602-1675 - 15,280,607 ($5,293,493.33) Equity,
(File 333-175689 - Jul. 21) (BR. 04B)
S-8 MODINE MANUFACTURING CO, 1500 DEKOVEN AVE, RACINE, WI, 53403,
2626361200 - 3,250,000 ($47,417,500.00) Equity, (File 333-175690 -
Jul. 21) (BR. 05B)
S-1 NEW FOUND SHRIMP INC, 7830 INISHMORE DRIVE, INDIANAPOLIS, IN, 46214,
317-247-1998 - 3,600,000 ($36,000.00) Equity, (File 333-175692 -
Jul. 21) (BR. )
S-8 Ascena Retail Group, Inc., 30 DUNNIGAN DRIVE, SUFFERN, NY, 10901,
845.369.4500 - 6,000,000 ($198,900,000.00) Equity, (File 333-175693 -
Jul. 21) (BR. 09)
S-3 ALNYLAM PHARMACEUTICALS, INC., 300 THIRD STREET, CAMBRIDGE, MA, 02142,
(617) 551-8200 - 0 ($150,000,000.00) Unallocated (Universal) Shelf,
(File 333-175694 - Jul. 21) (BR. 01B)
S-4 Black Diamond, Inc., 2084 EAST 3900 SOUTH, SALT LAKE CITY, UT, 84124,
801-278-5552 - 5,750,000 ($51,290,000.00) Equity, (File 333-175695 -
Jul. 21) (BR. 09B)
S-8 WESTWOOD HOLDINGS GROUP INC, 200 CRESCENT COURT, SUITE 1200, DALLAS,
TX, 75201, 2147566900 - 0 ($29,595,000.00) Equity, (File 333-175696 -
Jul. 21) (BR. 06A)
S-8 GEORESOURCES INC, 110 CYPRESS STATION DRIVE, SUITE 220, HOUSTON, TX,
77090-1629, 2815379920 - 1,250,000 ($32,500,000.00) Equity,
(File 333-175697 - Jul. 21) (BR. 04B)
N-2 John Hancock Emerging Markets Income Fund, 601 CONGRESS STREET, BOSTON,
MA, 02210, 1-800-225-6020 - 50,000 ($1,000,000.00) Equity,
(File 333-175698 - Jul. 21) (BR. )
S-4 Great Lakes Dredge & Dock CORP, 2122 YORK ROAD, OAK BROOK, IL, 60523,
630-574-3000 - 0 ($250,000,000.00) Non-Convertible Debt,
(File 333-175699 - Jul. 21) (BR. 06B)
S-3ASR V F CORP, 105 CORPORATE CENTER BOULEVARD, GREENSBORO, NC, 27408,
(336)424-6000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-175700 - Jul. 21) (BR. 09B)
N-2 GABELLI GLOBAL UTILITY & INCOME TRUST, ONE CORPORATE CENTER, RYE, NY,
10580, 8149219105 - 0 ($1,000,000.00) Unallocated (Universal) Shelf,
(File 333-175701 - Jul. 21) (BR. 22)
S-8 Cardiovascular Systems Inc, 651 CAMPUS DRIVE, ST. PAUL, MN, 55112,
651-259-1600 - 169,871 ($2,444,443.69) Equity, (File 333-175702 -
Jul. 21) (BR. 10C)
S-8 Cardiovascular Systems Inc, 651 CAMPUS DRIVE, ST. PAUL, MN, 55112,
651-259-1600 - 849,353 ($12,222,189.67) Equity, (File 333-175703 -
Jul. 21) (BR. 10C)
S-8 ADVANTEST CORP, SHIN-MARUNOUCHI CENTER BUILDING, 1-6-2 MARUNOUCHI,,
CHIYODA-KU, TOKYO 100-0005, M0, 00000, 81-3-3214-7500 -
2,387,046 ($39,553,352.00) Equity, (File 333-175704 - Jul. 21) (BR. 10A)
S-1 Planet Payment Inc, 670 LONG BEACH BLVD, LONG BEACH, NY, 11561,
516-670-3200 - 0 ($75,000,000.00) Equity, (File 333-175705 - Jul. 21)
(BR. )
S-8 PYRAMID OIL CO, 2008 21ST ST, BAKERSFIELD, CA, 93301, 6613251000 -
0 ($1,462,507.50) Equity, (File 333-175706 - Jul. 21) (BR. 04C)
S-8 SEACHANGE INTERNATIONAL INC, 50 NAGOG PARK, ACTON, MA, 01720,
9788970100 - 2,800,000 ($29,484,000.00) Equity, (File 333-175707 -
Jul. 21) (BR. 11C)
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
1.01
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Entry into a Material Definitive Agreement
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1.02
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Termination of a Material Definitive Agreement
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1.03
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Bankruptcy or Receivership
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2.01
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Completion of Acquisition or Disposition of Assets
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2.02
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Results of Operations and Financial Condition
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2.03
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Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
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2.04
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Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
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2.05
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Cost Associated with Exit or Disposal Activities
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2.06
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Material Impairments
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3.01
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Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
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3.02
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Unregistered Sales of Equity Securities
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3.03
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Material Modifications to Rights of Security Holders
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4.01
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Changes in Registrant's Certifying Accountant
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4.02
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Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
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5.01
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Changes in Control of Registrant
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5.02
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer
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5.03
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Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
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5.04
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Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
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5.05
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Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
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5.06
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Change in Shell Company Status
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6.01
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ABS Informational and Computational Material.
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6.02
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Change of Servicer or Trustee.
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6.03
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Change in Credit Enhancement or Other External Support.
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6.04
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Failure to Make a Required Distribution.
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6.05
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Securities Act Updating Disclosure.
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7.01
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Regulation FD Disclosure
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8.01
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Other Events
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9.01
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Financial Statements and Exhibits
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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
1ST SOURCE CORP IN 2.02,9.01 07/21/11
1ST SOURCE CORP IN 5.07 04/21/11 AMEND
ACACIA RESEARCH CORP DE 2.02,9.01 07/21/11
ACME PACKET INC DE 2.02,9.01 07/21/11
ACME UNITED CORP CT 2.02,9.01 07/21/11
ACNB CORP PA 8.01,9.01 07/19/11
ADVANCED MICRO DEVICES INC DE 2.02,7.01,9.01 07/21/11
Affinion Group, Inc. DE 5.02 07/21/11
Aircastle LTD D0 7.01,9.01 07/21/11
Alamo Energy Corp. NV 7.01,9.01 07/21/11
ALASKA AIR GROUP INC DE 2.02,7.01,9.01 07/21/11
ALBEMARLE CORP VA 2.02,9.01 07/21/11
ALEXION PHARMACEUTICALS INC DE 2.02,9.01 07/21/11
ALLIANCE DATA SYSTEMS CORP DE 2.02,7.01,9.01 07/21/11
Allied Nevada Gold Corp. DE 7.01,9.01 07/19/11
AMBASSADORS INTERNATIONAL INC DE 7.01,9.01 07/21/11
AMERICAN AIRLINES INC DE 5.02 07/21/11
American Energy Fields, Inc. DE 4.02,9.01 07/14/11 AMEND
American Realty Capital Trust III, In MD 8.01 07/20/11
American Realty Capital Trust, Inc. DE 8.01,9.01 07/20/11
AMERICAN RIVER BANKSHARES CA 7.01,9.01 07/21/11
Ameris Bancorp GA 2.02,9.01 07/21/11
Ameris Bancorp GA 1.01,2.01,8.01,9.01 07/15/11
AMHN, Inc. UT 1.01,9.01 07/18/11
AMPAL-AMERICAN ISRAEL CORP NY 5.02 07/21/11
AMR CORP DE 5.02 07/21/11
AMSURG CORP TN 2.02,7.01,9.01 07/21/11
ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 07/21/11
APPLIANCE RECYCLING CENTERS OF AMERIC MN 2.02 07/21/11
APPLIED DNA SCIENCES INC DE 1.01,9.01 07/18/11
Applied Natural Gas Fuels, Inc. NV 5.02,9.01 07/15/11
ARBITRON INC DE 2.02,9.01 07/21/11
AspenBio Pharma, Inc. CO 8.01,9.01 07/21/11
ASSOCIATED BANC-CORP WI 2.02,9.01 07/21/11
ASTORIA FINANCIAL CORP DE 2.02,9.01 07/20/11
AT&T INC. DE 2.02,9.01 07/21/11
AT&T INC. DE 2.02,9.01 07/21/11
AT&T INC. DE 8.01,9.01 07/21/11
ATHENAHEALTH INC DE 1.01,2.02,7.01,9.01 07/21/11
AtheroNova Inc. DE 3.02 07/18/11
AUTOLIV INC DE 2.02,7.01,9.01 07/21/11
AVENTINE RENEWABLE ENERGY HOLDINGS IN DE 1.01,2.03 07/20/11
AVID TECHNOLOGY, INC. DE 2.02,9.01 07/21/11
AVISTAR COMMUNICATIONS CORP DE 2.02,9.01 07/21/11
AVX Corp DE 5.07 07/21/11
BANCORP RHODE ISLAND INC 2.02,9.01 07/21/11
Bancorp, Inc. 2.02,9.01 07/21/11
Bank of New York Mellon CORP DE 2.02,8.01,9.01 07/21/11
BankFinancial CORP 8.01,9.01 07/20/11
BANNER CORP WA 2.02,9.01 07/20/11
BARD C R INC /NJ/ NJ 2.02,9.01 07/21/11
BASIC ENERGY SERVICES INC 1.01,8.01,9.01 07/15/11
BAXTER INTERNATIONAL INC DE 2.02,9.01 07/21/11
BB&T CORP NC 2.02,9.01 06/30/11
BENIHANA INC DE 2.02,9.01 07/21/11
BERKSHIRE HILLS BANCORP INC 8.01,9.01 07/21/11
BillMyParents, Inc. CO 5.02,9.01 06/21/11
Bizzingo, Inc. NV 7.01,9.01 07/20/11
BJs RESTAURANTS INC CA 2.02,9.01 07/21/11
Blackstone Group L.P. DE 2.02,9.01 07/21/11
BLUE NILE INC DE 5.02,9.01 07/15/11
BROOKLINE BANCORP INC DE 2.02 07/20/11
Builders FirstSource, Inc. DE 2.02,9.01 07/21/11
CALIX, INC 2.02,9.01 07/21/11
CAMERON INTERNATIONAL CORP DE 5.05 07/20/11
CAMERON INTERNATIONAL CORP DE 5.07 07/20/11 AMEND
CARLISLE COMPANIES INC DE 8.01,9.01 07/18/11
CARMAX INC VA 5.02 07/18/11
Carter Validus Mission Critical REIT, MD 7.01,9.01 07/21/11
CASH AMERICA INTERNATIONAL INC TX 2.02,7.01,9.01 07/21/11
CASS INFORMATION SYSTEMS INC MO 2.02,8.01,9.01 07/18/11
CATALYST HEALTH SOLUTIONS, INC. DE 5.02 07/15/11
Celanese CORP DE 2.02,7.01,9.01 07/21/11
Celsion CORP DE 7.01,9.01 07/21/11
CENTRAL VALLEY COMMUNITY BANCORP CA 9.01 07/20/11
CEPHALON INC DE 8.01,9.01 07/21/11
CEPHEID CA 2.02,9.01 07/21/11
CHESAPEAKE ENERGY CORP OK 7.01,9.01 07/18/11
CHICAGO BRIDGE & IRON CO N V 2.02,9.01 07/21/11
Chile Mining Technologies Inc. NV 5.02 07/21/11
CHINA BAK BATTERY INC NV 5.07 03/09/11 AMEND
China Shengda Packaging Group Inc. NV 5.07 07/21/11
Chrysler Group LLC DE 5.01 07/21/11
CHUBB CORP NJ 2.02,9.01 07/21/11
Circle Entertainment, Inc. DE 5.07 07/21/11
CIRRUS LOGIC INC DE 2.02,9.01 07/21/11
CITIZENS & NORTHERN CORP PA 8.01,9.01 07/21/11
CITIZENS FIRST CORP KY 2.02,7.01,9.01 07/21/11
CITIZENS INC CO 8.01,9.01 07/18/11
CITY NATIONAL CORP DE 2.02,9.01 07/21/11
COBIZ FINANCIAL INC CO 2.02,8.01,9.01 07/21/11
COCONNECT INC NV 4.02 07/21/11
CODEXIS INC 5.02,8.01 06/14/11
Cogo Group, Inc. MD 1.01,2.03,9.01 07/14/11
COHU INC DE 2.02,9.01 07/20/11
COINSTAR INC DE 2.02,7.01,9.01 07/21/11
COINSTAR INC DE 1.01,2.03,8.01,9.01 07/15/11
COMMUNITY BANCORP /VT VT 2.02,9.01 07/15/11
COMVERSE TECHNOLOGY INC/NY/ NY 5.02 07/21/11
CONTINUCARE CORP 5.07 02/24/11 AMEND
Cooper Industries plc 2.02,9.01 07/21/11
CORELOGIC, INC. DE 5.02,9.01 07/20/11
COSI INC DE 2.02,9.01 07/21/11
COURIER Corp MA 2.02,8.01,9.01 07/21/11
CROSS BORDER RESOURCES, INC. NV 8.01,9.01 07/12/11
Cullman Bancorp, Inc. X1 8.01,9.01 07/19/11
CVB FINANCIAL CORP CA 2.02,9.01 07/20/11
CYMER INC NV 2.02,9.01 07/21/11
CYPRESS SEMICONDUCTOR CORP /DE/ DE 2.02,9.01 07/21/11
CYTEC INDUSTRIES INC/DE/ DE 2.02,9.01 07/21/11
CYTODYN INC CO 8.01 05/24/11
DANAHER CORP /DE/ DE 2.02,9.01 07/20/11
DAWSON GEOPHYSICAL CO TX 7.01,9.01 07/20/11
DELTA AIR LINES INC /DE/ DE 5.02,9.01 07/20/11
DENNYS CORP DE 5.02 07/15/11
DIAMOND OFFSHORE DRILLING INC DE 2.02,7.01,9.01 07/21/11
DIGAGOGO VENTURES CORP DE 5.06,9.01 07/20/11 AMEND
DIGAGOGO VENTURES CORP DE 5.06,9.01 07/20/11 AMEND
DIGI INTERNATIONAL INC DE 2.02,9.01 07/21/11
Digimarc CORP OR 2.02,9.01 07/21/11
DNB FINANCIAL CORP /PA/ PA 2.02,9.01 06/30/11
DST SYSTEMS INC DE 1.01,7.01,9.01 07/19/11
EAGLE BANCORP INC MD 2.02,9.01 07/20/11
EAGLE FINANCIAL SERVICES INC VA 8.01,9.01 07/21/11
EASTGROUP PROPERTIES INC MD 2.02,9.01 07/21/11
Education Realty Trust, Inc. MD 2.02,7.01,9.01 07/21/11
Edwards Lifesciences Corp DE 2.02,9.01 07/21/11
ELECTRONICS FOR IMAGING INC DE 2.02,5.02,9.01 07/20/11
Enertopia Corp. NV 1.01,7.01,9.01 07/21/11
ENTECH SOLAR, INC. DE 1.01,3.02,9.01 07/20/11
ENTEGRIS INC DE 2.02,9.01 07/21/11
EnteroMedics Inc 2.02,9.01 07/21/11
ENTERPRISE BANCORP INC /MA/ MA 2.02,9.01 07/21/11
ENVIRONMENTAL TECTONICS CORP PA 5.07 07/21/11
EPOCRATES INC DE 8.01 07/21/11
ePunk, Inc. NV 1.01,2.01,3.02,5.03, 06/30/11
8.01,9.01
EXPRESS SCRIPTS INC DE 8.01,9.01 07/21/11
EXPRESS SCRIPTS INC DE 2.02,9.01 07/21/11
EXPRESS SCRIPTS INC DE 8.01,9.01 07/21/11
EZCORP INC DE 2.02,9.01 07/21/11
FARMERS CAPITAL BANK CORP KY 2.02,9.01 07/20/11
Federal Home Loan Bank of Atlanta X1 2.03 07/21/11
Federal Home Loan Bank of Boston X1 2.03 07/18/11
Federal Home Loan Bank of Chicago X1 2.03 07/18/11
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 07/18/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 07/19/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 07/21/11
Federal Home Loan Bank of New York X1 2.03,9.01 07/18/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/18/11
Federal Home Loan Bank of San Francis X1 2.03 07/18/11
Federal Home Loan Bank of Seattle 2.03 07/18/11
Federal Home Loan Bank of Topeka 2.03,9.01 07/18/11
FERRELLGAS PARTNERS L P DE 8.01,9.01 07/21/11
FIDELITY BANCORP INC PA 2.02,8.01,9.01 07/21/11
FIFTH THIRD BANCORP OH 2.02,7.01,9.01 07/21/11
FINISH LINE INC /IN/ IN 5.07,8.01,9.01 07/21/11
FIRST BANCORP /PR/ PR 9.01 05/30/11 AMEND
FIRST BANCORP /PR/ PR 9.01 06/27/11 AMEND
FIRST COMMUNITY CORP /SC/ SC 2.02,8.01,9.01 07/20/11
FIRST FEDERAL BANCSHARES OF ARKANSAS TX 3.03,5.03,9.01 07/20/11
FIRST FINANCIAL BANKSHARES INC TX 2.02,9.01 07/21/11
FIRST MARINER BANCORP MD 3.01 07/15/11
FIRST NIAGARA FINANCIAL GROUP INC DE 2.02,9.01 07/21/11
FLEXTRONICS INTERNATIONAL LTD. U0 2.02,8.01,9.01 07/21/11
FLORIDA GAMING CORP DE 1.01,2.01,2.03,8.01, 06/16/11
9.01
Ford Credit Auto Owner Trust 2011-B DE 1.01,8.01,9.01 07/19/11
FOX PETROLEUM INC. NV 4.01,5.03,9.01 07/20/11
FRANKLIN COVEY CO UT 5.02,9.01 07/15/11
Franklin Financial Corp VA 5.05,9.01 07/19/11
FREEPORT MCMORAN COPPER & GOLD INC DE 2.02,9.01 07/21/11
FS Energy & Power Fund DE 1.02,2.02,9.01 07/15/11
FS Investment CORP MD 1.02 07/15/11
General Motors Financial Company, Inc TX 1.01,9.01 07/15/11
GenOn Energy, Inc. DE 5.02 07/18/11
GENTEX CORP MI 2.02,9.01 07/21/11
GLOBAL PARTNERS LP 1.01,2.02,2.03,7.01, 07/19/11
9.01
GLOBAL PAYMENTS INC GA 2.02,9.01 07/21/11
GLOBECOMM SYSTEMS INC 1.01,2.03,9.01 07/18/11
GOLDEN ENTERPRISES INC DE 8.01,9.01 07/21/11
GOLDEN ENTERPRISES INC DE 8.01,9.01 07/21/11
Golden Star Resource Corp. NV 4.01,9.01 07/07/11
GOLDMAN SACHS GROUP INC DE 9.01 07/21/11
Golub Capital BDC, Inc. DE 1.01,2.03,9.01 07/21/11
GOODRICH CORP NY 2.02,9.01 07/21/11
Government Properties Income Trust MD 5.03,8.01,9.01 07/20/11
Great Lakes Dredge & Dock CORP DE 8.01,9.01 07/21/11
GREEN EARTH TECHNOLOGIES, INC DE 8.01,9.01 07/20/11
HANMI FINANCIAL CORP DE 2.02,9.01 07/21/11
HARLEYSVILLE SAVINGS FINANCIAL CORP 2.02,8.01,9.01 07/20/11
HARMONIC INC DE 2.02,9.01 07/21/11
HASCO Medical, Inc. FL 9.01 05/13/11 AMEND
HEALTHSOUTH CORP DE 5.07 07/21/11 AMEND
HEALTHWAYS, INC DE 2.02,9.01 07/21/11
HERITAGE COMMERCE CORP CA 5.02,9.01 07/21/11
HEWLETT PACKARD CO DE 8.01 07/21/11
HIGHLANDS BANCORP, INC. NJ 2.02,9.01 07/21/11
HITTITE MICROWAVE CORP 2.02,9.01 07/21/11
HNI CORP IA 2.02,9.01 07/20/11
HOME BANCSHARES INC 2.02,7.01,9.01 07/21/11
HORIZON BANCORP /IN/ IN 2.02,9.01 07/20/11
HORMEL FOODS CORP /DE/ DE 8.01,9.01 07/21/11
Horsehead Holding Corp 7.01,9.01 07/20/11
HUBBELL INC CT 2.02,9.01 07/21/11
HUMAN GENOME SCIENCES INC DE 2.02,9.01 07/21/11
HUNTINGTON BANCSHARES INC/MD MD 2.02,9.01 07/21/11
ICAD INC DE 5.07 07/19/11
ICU MEDICAL INC/DE DE 5.02 07/14/11
IDENTIVE GROUP, INC. DE 8.01,9.01 07/18/11
IDEX CORP /DE/ DE 2.02,9.01 07/20/11
IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 8.01,9.01 07/13/11
INFORMATICA CORP DE 2.02,9.01 07/21/11
INFOSPACE INC DE 5.02,7.01,9.01 07/15/11
Ingersoll-Rand plc L2 2.02,9.01 07/21/11
INSIGNIA SYSTEMS INC/MN MN 4.01 07/21/11
INSTEEL INDUSTRIES INC NC 2.02,9.01 07/21/11
INSWEB CORP 5.07 07/18/11
INTEL CORP DE 2.02 07/20/11
Interactive Brokers Group, Inc. DE 2.02,9.01 07/20/11
INTERDOM, CORP. NV 1.01,2.03 07/18/11
INTERNATIONAL BUSINESS MACHINES CORP NY 9.01 07/19/11
ITT EDUCATIONAL SERVICES INC DE 2.02,9.01 07/21/11
IXIA CA 2.02,9.01 07/21/11
J P MORGAN CHASE & CO DE 8.01,9.01 07/21/11
Jacksonville Bancorp, Inc. MD 8.01,9.01 07/19/11
JANUS CAPITAL GROUP INC DE 2.02,9.01 07/21/11
JBI, INC. NV 8.01,9.01 07/14/11
JBI, INC. NV 8.01,9.01 07/20/11
KANSAS CITY SOUTHERN DE 2.02,9.01 07/21/11
LABORATORY CORP OF AMERICA HOLDINGS DE 2.02 07/21/11
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 07/21/11
LACROSSE FOOTWEAR INC WI 2.02,9.01 07/21/11
LANDSTAR SYSTEM INC DE 2.02,9.01 07/21/11
LATTICE SEMICONDUCTOR CORP DE 2.02,9.01 07/21/11
LEHMAN ABS CORP HSBC DEBENTURE BACKED DE 8.01,9.01 07/15/11
LEHMAN ABS CORP PRUDENTIAL FINANCIAL DE 8.01,9.01 07/15/11
LEHMAN BROTHERS HOLDINGS INC DE 7.01,9.01 07/21/11
LIFE TIME FITNESS, INC. MN 2.02,9.01 07/21/11
LILLY ELI & CO IN 2.02,9.01 07/21/11
LINCOLN ELECTRIC HOLDINGS INC OH 2.02,9.01 07/21/11
LKQ CORP DE 5.02 07/20/11
Longhai Steel Inc. NV 5.02 07/21/11
LUFKIN INDUSTRIES INC TX 5.02 07/21/11
LUFKIN INDUSTRIES INC TX 2.02,9.01 07/21/11
MANPOWER INC /WI/ WI 2.02,9.01 07/21/11
MARCUS CORP WI 2.02,9.01 07/21/11
MARTEN TRANSPORT LTD DE 2.02,9.01 07/19/11
MATTHEWS INTERNATIONAL CORP PA 5.02,9.01 07/21/11
MEDCO HEALTH SOLUTIONS INC DE 2.02,9.01 07/21/11
MEDCO HEALTH SOLUTIONS INC DE 8.01,9.01 07/21/11
Medefile International, Inc. NV 1.01,9.01 07/06/11 AMEND
MELA SCIENCES, INC. /NY 5.02 07/15/11
MERIDIAN BIOSCIENCE INC OH 2.02,9.01 07/21/11
MERIT MEDICAL SYSTEMS INC UT 2.02,9.01 07/21/11
MERITOR INC IN 2.02,5.02,9.01 07/20/11
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 07/15/11
MICROFINANCIAL INC MA 2.02,9.01 07/20/11
MICRON TECHNOLOGY INC DE 8.01,9.01 07/20/11
MICROSOFT CORP WA 2.02,9.01 07/21/11
MICROVISION INC DE 2.02,9.01 07/21/11
MOLINA HEALTHCARE INC DE 2.02,9.01 07/21/11
MONARCH CASINO & RESORT INC NV 2.02,9.01 07/20/11
Monarch Financial Holdings, Inc. VA 2.02,9.01 07/21/11
MORGAN STANLEY DE 2.02,9.01 07/21/11
MS STRUCTURED SATURNS SERIES 2003-7 DE 8.01,9.01 07/15/11
NASH FINCH CO DE 2.02,9.01 07/21/11
NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 5.02,9.01 07/20/11
NBC ACQUISITION CORP DE 1.01,8.01,9.01 07/17/11
NCR CORP MD 2.02,9.01 07/21/11
NCR CORP MD 1.01,9.01 07/11/11 AMEND
NEPHROS INC DE 8.01,9.01 07/21/11
NETSCOUT SYSTEMS INC DE 2.02,9.01 07/21/11
NEULION, INC. 1.01,9.01 07/15/11
NEW YORK COMMUNITY BANCORP INC DE 2.02,7.01,9.01 07/21/11
NEW YORK TIMES CO NY 2.02,9.01 07/21/11
NEWBRIDGE BANCORP NC 2.02,9.01 07/21/11
NEWFIELD EXPLORATION CO /DE/ DE 2.02,7.01,9.01 07/20/11
NOBILITY HOMES INC FL 5.02,5.07,9.01 07/19/11
NORTH SPRINGS RESOURCES CORP. NV 5.03,8.01,9.01 07/21/11
NORTHROP GRUMMAN CORP /DE/ DE 5.02,8.01,9.01 07/19/11
NUCOR CORP DE 2.02,9.01 07/21/11
NVR INC VA 2.02,9.01 07/21/11
OLD POINT FINANCIAL CORP VA 2.02,9.01 07/21/11
OMEGA PROTEIN CORP NV 5.02,9.01 07/18/11
OMNI BIO PHARMACEUTICAL, INC. CO 1.01,2.01,5.02,9.01 07/15/11
ORBITAL SCIENCES CORP /DE/ DE 2.02,9.01 07/20/11
Orient Paper Inc. NV 7.01,9.01 07/19/11
PACIFIC CONTINENTAL CORP OR 2.02,9.01 06/30/11
PEERLESS SYSTEMS CORP DE 5.02,9.01 07/18/11
PENSKE AUTOMOTIVE GROUP, INC. DE 2.02,7.01,9.01 07/21/11
PEPSICO INC NC 2.02,9.01 07/21/11
PERNIX THERAPEUTICS HOLDINGS, INC. MD 1.01,8.01,9.01 07/21/11
Philip Morris International Inc. VA 2.02,9.01 07/21/11
PIXELWORKS, INC OR 2.02,9.01 07/21/11
PMC SIERRA INC DE 2.02,9.01 07/21/11
POLARIS INDUSTRIES INC/MN MN 8.01,9.01 07/20/11
POLYCOM INC DE 2.02,9.01 07/21/11
POOL CORP DE 2.02,7.01,9.01 07/21/11
POWERWAVE TECHNOLOGIES INC DE 8.01 07/20/11
PPG INDUSTRIES INC PA 2.02,9.01 07/21/11
PREMIERE GLOBAL SERVICES, INC. GA 2.02,8.01,9.01 07/20/11
QNB CORP PA 2.02,9.01 07/21/11
Radius Health, Inc. DE 5.02 07/14/11
RAMBUS INC DE 2.02,2.03,9.01 07/20/11
Rand Logistics, Inc. DE 2.01 07/21/11
RAYMOND JAMES FINANCIAL INC FL 7.01 07/21/11
RealD Inc. DE 1.01,8.01,9.01 07/20/11
Renewable Energy Group, Inc. 1.01,3.02,5.07,8.01, 07/15/11
9.01
REPUBLIC BANCORP INC /KY/ KY 2.02,9.01 07/21/11
Republik Media & Entertainment, Ltd. DE 5.01,5.02,8.01 07/12/11
RIVER VALLEY BANCORP IN 2.02,9.01 07/19/11
RIVERVIEW BANCORP INC WA 2.02,9.01 07/19/11
Riverview Financial Corp PA 2.02,9.01 07/20/11
RLI CORP IL 2.02,9.01 07/20/11
ROMA FINANCIAL CORP X1 5.02 07/20/11
RSC Holdings Inc. DE 2.02,9.01 07/21/11
RUBY TUESDAY INC GA 1.01,2.02,2.03,5.02, 07/19/11
9.01
SAFEWAY INC DE 2.02,9.01 07/21/11
Saker Aviation Services, Inc. NV 1.01,1.02,2.03 07/20/11
SANDISK CORP DE 2.02,9.01 07/21/11
SANDY SPRING BANCORP INC MD 2.02,9.01 07/21/11
SCHIFF NUTRITION INTERNATIONAL, INC. DE 2.02,9.01 07/21/11
SCHLUMBERGER LTD /NV/ P8 5.02,7.01,9.01 07/21/11
SCHOLASTIC CORP DE 2.02,9.01 07/21/11
Secure Luggage Solutions Inc. 1.01,9.01 07/18/11
SEI INVESTMENTS CO PA 2.02,9.01 07/21/11
SENOMYX INC DE 5.07 05/26/11 AMEND
SENSIENT TECHNOLOGIES CORP WI 2.02,9.01 07/21/11
SENSIENT TECHNOLOGIES CORP WI 5.07 04/21/11 AMEND
SFN Group Inc. DE 1.01,3.03,5.02,8.01, 07/20/11
9.01
Shearson American REIT, Inc. NV 5.02 07/11/11
SHERWIN WILLIAMS CO OH 2.02,9.01 07/21/11
SIMMONS FIRST NATIONAL CORP AR 2.02,9.01 07/21/11
SINOCOKING COAL & COKE CHEMICAL INDUS FL 4.01,9.01 07/21/11 AMEND
SkyPeople Fruit Juice, Inc FL 8.01,9.01 07/15/11
SKYWORKS SOLUTIONS, INC. DE 2.02,9.01 07/21/11
SMITH MICRO SOFTWARE INC DE 5.02 07/20/11
SNAP-ON Inc DE 2.02,9.01 07/21/11
SOMERSET HILLS BANCORP NJ 2.02,9.01 07/21/11
SONOCO PRODUCTS CO SC 2.02,9.01 07/21/11
SONOCO PRODUCTS CO SC 5.02 07/20/11
SOUTHERN COMMUNITY FINANCIAL CORP 2.02,9.01 07/21/11
SOUTHWEST GEORGIA FINANCIAL CORP GA 2.02,9.01 06/30/11
STANCORP FINANCIAL GROUP INC OR 2.02,9.01 07/21/11
STANDARD PARKING CORP DE 8.01 07/21/11
Star Gold Corp. NV 5.02 07/21/11
STARTEK INC DE 5.02,9.01 07/15/11
STATE BANCORP INC NY 8.01,9.01 07/19/11
STEINWAY MUSICAL INSTRUMENTS INC DE 5.07 06/24/11 AMEND
STRUCTURED PRODUCTS CORP TIERS PRI PR DE 8.01,9.01 07/15/11
SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 07/21/11
SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 07/21/11
SUPERIOR UNIFORM GROUP INC FL 2.02,9.01 07/21/11
SUREWEST COMMUNICATIONS CA 8.01,9.01 07/20/11
SVB FINANCIAL GROUP 2.02,9.01 07/21/11
SWIFT TRANSPORTATION Co 2.02,9.01 07/21/11
SYMS CORP NJ 8.01,9.01 07/20/11
SYNTA PHARMACEUTICALS CORP 1.01,9.01 07/15/11
SYNTEL INC MI 2.02,9.01 07/21/11
TANGER FACTORY OUTLET CENTERS INC NC 2.01,7.01,9.01 07/15/11
TAYLOR CAPITAL GROUP INC DE 2.02,9.01 07/21/11
TAYLOR CAPITAL GROUP INC DE 7.01,9.01 07/21/11
TCF FINANCIAL CORP DE 2.02,9.01 07/21/11
TEMPLE INLAND INC DE 2.02,7.01,9.01 07/21/11
TEXAS CAPITAL BANCSHARES INC/TX 2.02,9.01 07/20/11
THOMAS & BETTS CORP TN 2.02,9.01 07/21/11
THOR INDUSTRIES INC DE 5.02,9.01 07/18/11
TOMPKINS FINANCIAL CORP NY 5.07 07/20/11
TRAVELERS COMPANIES, INC. MN 2.02,9.01 07/21/11
TRUSTCO BANK CORP N Y NY 2.02,9.01 07/21/11
ULTRATECH INC DE 2.02,9.01 07/21/11
UMPQUA HOLDINGS CORP OR 2.02,9.01 07/21/11
UNION FIRST MARKET BANKSHARES CORP VA 2.02 07/21/11
UNION PACIFIC CORP UT 2.02,9.01 07/21/11
United Continental Holdings, Inc. DE 2.02,7.01,9.01 07/21/11
UNITED STATES STEEL CORP DE 1.01,2.03,9.01 07/18/11
UNIVERSAL HEALTH REALTY INCOME TRUST MD 2.02,9.01 07/21/11
US AIRWAYS GROUP INC DE 2.02,9.01 07/21/11
US AIRWAYS GROUP INC DE 7.01,9.01 07/21/11
V F CORP PA 2.02,7.01,9.01 07/21/11
Valeant Pharmaceuticals International A6 1.01,8.01,9.01 07/15/11
VALENCE TECHNOLOGY INC DE 2.02,9.01 07/18/11
VALLEY FORGE COMPOSITE TECHNOLOGIES, FL 1.01 07/15/11
VelaTel Global Communications, Inc. NV 3.02 07/15/11
W&T OFFSHORE INC TX 9.01 05/11/11 AMEND
WERNER ENTERPRISES INC NE 2.02,9.01 07/20/11
WESCO INTERNATIONAL INC 2.02,7.01,9.01 07/21/11
WEST CORP DE 2.02,9.01 07/20/11
WESTERN ALLIANCE BANCORPORATION NV 2.02,9.01 07/21/11
WESTERN DIGITAL CORP DE 2.02,9.01 07/21/11
WET SEAL INC DE 5.02,9.01 07/18/11
WHIRLPOOL CORP /DE/ DE 2.02,9.01 07/21/11
WILLIAM PENN BANCORP INC 7.01,9.01 07/21/11
WILLIS GROUP HOLDINGS PLC L2 8.01,9.01 07/21/11
WSB Holdings Inc DE 2.02,9.01 07/20/11
YOUNG INNOVATIONS INC MO 2.02,8.01,9.01 07/20/11
YUHE INTERNATIONAL, INC. NV 3.01,8.01,9.01 07/15/11
http://www.sec.gov/news/digest/2011/dig072211.htm
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