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Commission AnnouncementsSEC Staff Issues Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating OrganizationThe staff of the Securities and Exchange Commission today issued a report summarizing the staff’s observations and concerns arising from the examinations of ten credit rating agencies registered with the SEC as Nationally Recognized Statistical Rating Organizations (“NRSROs”) and subject to Commission oversight. The report notes that despite changes by some of the examined credit rating agencies to improve their operations, Commission staff identified concerns at each of the NRSROs. These concerns included apparent failures in some instances to follow ratings methodologies and procedures, to make timely and accurate disclosures, to establish effective internal control structures for the rating process and to adequately manage conflicts of interest. The report notes that the staff made various recommendations to the NRSROs to address the staff’s concerns and that in some cases the NRSROs have already taken steps to address such concerns. “This report demonstrates the SEC’s enhanced oversight of credit rating agencies,” said Carlo V. di Florio, Director of the SEC’s Office of Compliance Inspections and Examinations (OCIE). “We have recruited experts and strengthened the overall monitoring and examination process to better protect investors, ensure market integrity, and facilitate capital formation.” The Commission staff conducted the examinations as required by the 2010 Dodd-Frank Wall Street Reform and Consumer Protection, which imposed new reporting, disclosure and examination requirements to enhance the regulation and oversight of NRSROs. Among other things, the Dodd-Frank Act requires the Commission staff to examine each NRSRO at least annually and issue an annual report summarizing the essential findings of the examinations. “We are today issuing the first of the Commission staff’s annual reports on the examinations of the NRSROs,” said Norm Champ, the Deputy Director of OCIE. “We expect the credit rating agencies to address the concerns we have raised in a timely and effective way, and we will be monitoring their progress as part of our ongoing annual examinations.” Examination staff from the Commission’s Office of Compliance Inspections and Examinations and NRSRO monitors from the Commission’s Division of Trading and Markets conducted these examinations. The following staff made significant contributions to these examinations: Abe Losice, Rina Hussain, Jon Hertzke, David Beaning, Kenneth Godwin, Said Rafat, Natasha Kaden, Harriet Orol, Alan Dunetz, Diane Audino, Scott Davey, Kristin DeVitto, Ethan Allfree, Jennifer Fournier, Lisa Jordan, Kenny Sabogal, Bernard Bujack, Shanti Radkar, Jackie Sturgill, William Beggs, Scott Follin, Trinita Love, Jason Wentworth, Shipra Wells, Linda Heaphy and Steven Gilchrist. For more information about the report, contact: Carlo V. di Florio Norm Champ Abe Losice Jon Hertzke (Press Rel. 2011-199) Commission MeetingsClosed Meeting on Thursday, October 6, 2011 at 9:30 a.m.The subject matter of the Closed Meeting scheduled for Thursday, October 6, 2011 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGSIn the Matter of Alfred Clay Ludlum, IIIOn September 29, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing (Order) against Alfred Clay Ludlum, III (Ludlum). In the Order, the Division of Enforcement alleges that Ludlum is the founder, president, chief compliance officer, and sole individual in control of Printz Capital Management, LLC (Printz Capital), which was registered with the Commission as an investment adviser from September 19, 2006 until its registration was revoked on June 27, 2011. The Order also alleges that Ludlum wholly controls Printz Financial Group, Inc. and PCM Global Holdings LLC (together with Printz Capital, the Printz Entities). The Division of Enforcement further alleges in the Order that on September 21, 2011, the United States District Court for the Eastern District of Pennsylvania entered a judgment against Ludlum in the matter captioned Securities and Exchange Commission v. Alfred Clay Ludlum, III, et al., Civil Action No.10-CV-7379 (E.D. Pa.). The judgment permanently enjoined Ludlum from violating Sections 5 and 17(a) of the Securities Act of 1933 (the Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (the Exchange Act) and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of Investment Advisers Act of 1940 (the Advisers Act), and from aiding and abetting any violations of Sections 203, 204, and 207 of the Advisers Act. The judgment also provided that disgorgement, prejudgment interest, and penalties will be imposed against Ludlum in amounts to be determined by the court, upon motion by the Commission. Ludlum consented to the entry of the judgment without admitting or denying the Commission’s allegations, except as to jurisdiction. The Commission filed its civil action against Ludlum and the Printz Entities on December 20, 2010. The Commission alleged that Ludlum and the Printz Entities made fraudulent misrepresentations and material omissions to investors, including Printz Capital advisory clients, concerning unregistered offerings of equity and debt securities in the Printz Entities. These investors were told that their funds would be used for working capital and to grow and operate the businesses of the Printz Entities when, in fact, Ludlum used most of these funds to support lifestyle, pay his personal expenses, and repay other investors. The Commission also alleged that Ludlum fraudulently obtained loans from one advisory client and made unauthorized transfers of funds belonging to three advisory clients to accounts that he controlled. The complaint further alleged that Ludlum failed to register the securities offerings in the Printz Entities with the Commission, even though no exemption from registration applied, and that Printz Capital, aided and abetted by Ludlum, violated additional provisions governing investment advisers. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations in the Order are true, to afford Ludlum an opportunity to establish defenses to the allegations, and to determine whether remedial action is necessary and appropriate. The Administrative Law Judge is directed to issue a decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. IA-3294; File No. 3-14572); [SEC v. Alfred Clay Ludlum, III, et. al., Civil Action No.10-7379 (E.D. Pa.)] (LR-22110) Commission Revokes Registration of Securities of Gray Peaks, Inc. For Failure to Make Required Periodic FilingsOn September 30, 2011, the Commission revoked the registration of each class of registered securities of Gray Peaks, Inc. (GRPK) 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, GRPK 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 Gray Peaks, 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 GRPK’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against GRPK in In the Matter of Amerex Group, Inc., et al., Administrative Proceeding File No. 3-14543. 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 Amerex Group, Inc., et al., Administrative Proceeding File No. 3-14543, Exchange Act Release No. 65306 (September 9, 2011). (Rel. 34-65443; File No. 3-14543) In the Matter of Brian Dvorak, Esq.On September 30, 2011, the Commission issued an Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3)(i) of the Commission’s Rules of Practice (Order) against Brian Dvorak an attorney admitted to the practice of law in the state of Nevada. The Order finds that a court of competent jurisdiction has found that Dvorak violated registration provisions of the federal securities laws, and has permanently enjoined him from further violations of those laws. Based on those violations, the Order temporarily suspends Dvorak from appearing or practicing before the Commission as an attorney. If Dvorak does not petition to lift that suspension within thirty days after service of the Order, the suspension will become permanent pursuant to Rule 102(e)(3)(ii) of the Commission’s Rules of Practice. (Rel. 34-65446; File No. 3-14573) In the Matter of Gilford Securities, Incorporated, Ralph Worthington, IV, David S. Kaplan, and Richard W. GranahanOn September 30, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Gilford Securities, Incorporated (Gilford), Ralph Worthington, IV (Worthington), Gilford’s Chief Executive Officer and trading desk supervisor, David S. Kaplan (Kaplan), the sales manager of Gilford’s New York office, and Richard W. Granahan (Granahan), Gilford’s Chief Compliance Officer and Anti-Money Laundering Officer. The Order finds, among other things, that Gilford, Worthington and Kaplan failed reasonably to supervise M.S. Gregg Berger (Berger), a former registered representative engaged in unregistered distributions of securities in violation of Sections 5(a) and 5(c) of the Securities Act in connection with international pump-and-dump schemes. On February 1, 2011, the Commission filed a civil injunctive action against Berger, alleging that Berger, along with ten other individuals and entities, engaged in schemes to pump and dump the securities of at least eight U.S. microcap stocks of issuers, primarily headquartered in the People’s Republic of China, Israel and Canada, and facilitated unregistered sales of millions of shares of these issuers’ stocks that generated proceeds in excess of $33 million. (SEC v. Gregg M.S. Berger, et al., 2:11-cv-10403 (E.D. Mich.). Also on February 1, 2011, a superseding indictment against Berger was unsealed charging him with one count of conspiracy to commit securities fraud and wire fraud in violation of 18 U.S.C. Sections 1343, 1348 and 1349 based on the same conduct described in the Commission’s Complaint. (U.S. v. Gregg M.S. Berger, 2:07-cr-20627 (E.D. Mich.). On April 21, 2011, Berger pleaded guilty to the conspiracy charge and on September 9, 2011, Berger was sentenced to 24 months in prison and ordered to forfeit $600,000. The Commission’s Order finds that from at least January 2005 through May 2006, Berger resold over 30 million shares of securities through at least 20 nominee accounts at Gilford when there was no resale registration statement on file or in effect with the Commission with respect to those securities and there was no valid exemption available for the resales. The Order further finds that Berger’s facilitation of the unregistered sales went undetected by Gilford as a result of its failure to develop reasonable systems to implement its policies and procedures regarding supervision of registered representatives at the firm with respect to facilitating customers’ unregistered sales of securities. According to the Order, Worthington had ultimate authority and responsibility for developing Gilford’s supervisory policies, procedures and implementation of these policies and procedures and Kaplan had ultimate responsibility for supervising Berger. The Order finds that Gilford, Worthington and Kaplan failed reasonably to supervise Berger with a view to detecting and preventing his violations of Sections 5(a) and 5(c) of the Securities Act. In addition, the Order also finds that Gilford violated: (a) Sections 5(a) and 5(c) by permitting customers to deliver in and sell millions of shares of stock without the registered representatives and officers at the firm conducting reasonable inquiry into the source of the stock being sold to the public; (b) the Currency and Financial Transactions Reporting Act of 1970 (commonly referred to as the Bank Secrecy Act, with regard to Suspicious Activity Reports (SARs) by failing to file a SAR in connection with Berger’s liquidation business; (c) Section 15(b)(7) of the Exchange Act and Rule 15b7-1 thereunder by allowing employees to improperly execute customer orders without the requisite trading licenses; (d) Section 17(a) and Rule 17a-3(a)(12)(i) thereunder by failing to make and keep current either a questionnaire or application for employment for these employees; and (e) Regulation S-P by sharing nonpublic customer information with unauthorized third parties. Finally, the Order finds that Worthington aided and abetted Gilford’s violation of Sections 15(b)(7) and 17(a) of the Exchange Act and Rules 15b7-1 and 17a-3(a)(12)(i) thereunder, Kaplan aided and abetted Gilford’s violations of Regulation S-P, and Granahan aided and abetted Gilford’s SARs violation. Based on the above, the Order: (1) censures Gilford and Granahan; (2) orders Gilford, Worthington, Kaplan and Granahan to cease and desist from violating various provisions of the federal securities laws; (3) requires Gilford to pay disgorgement and prejudgment interest of $352,113 and Kaplan to pay disgorgement and prejudgment interest of $288,092; (4) imposes a civil penalty of $260,000 on Gilford, $45,000 against Worthington, $30,000 against Kaplan and $20,000 against Granahan; (5) suspends Worthington and Kaplan from association in a supervisory capacity with any broker or dealer for a period of twelve months; and (6) requires Gilford to retain an independent compliance consultant. Gilford, Worthington, Kaplan and Granahan consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 33-9264; 34-65450; File No. 3-14574) Two Recidivists Charged in a Real Estate FraudThe Securities and Exchange Commission announced that on Sept. 29, 2011, it charged two recidivists, Stephen Amella and Andre Hayden, residents of Illinois and Tennessee, respectively, with making misrepresentations to investors regarding investments in a purported real estate joint venture and for acting as unregistered brokers. The SEC seeks, among other relief, conduct-based injunctions against the defendants, permanently enjoining them from soliciting existing or potential investors to purchase or sell securities. The SEC’s complaint alleges that Stephen Amella and Andre Hayden sold $450,000 in interests in a real estate joint venture on behalf of Titan Investment Partners Corp and its president, by making material misrepresentations about the joint venture and by failing to conduct due diligence on the joint venture. The complaint alleges that Amella and Hayden represented that the purported joint venture would generate a guaranteed 10% monthly profit, had already acquired some properties, and would return investors’ initial investments in the joint venture to them when the real estate projects were completed. The complaint also alleges that Amella and Hayden failed to conduct an appropriate investigation into the joint venture before soliciting investors. The complaint charges Amella and Hayden with violations of Section 17(a) of the Securities Act of 1933 and Sections 15(a) and 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The complaint seeks conduct-based injunctions against Amella and Hayden enjoining them from directly or indirectly soliciting existing or potential investors to purchase or sell securities, a statutory injunction enjoining them from acting as unregistered brokers, disgorgement, and civil penalties. The defendants were previously enjoined for misrepresenting the use of proceeds, expected returns, and the risks of an earlier offering. [see SEC v. Platinum Capital Advocates, Inc., et al., 07 C 0985 (N.D. Ill.)]. [SEC v. Stephen Amella, et al., Civil Action No. 11 C 6849 in the United States District Court for the Northern District of Illinois] (LR-22111) INVESTMENT COMPANY ACT RELEASESHorizon Technology Finance Corporation, et al.An order has been issued on an application filed by Horizon Technology Finance Corporation (Company), et al. for an order under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Sections 18(a) and 61(a) of the Act. The order permits the Company to adhere to a modified asset coverage requirement. (Rel. IC-29821 - September 27) FS Variable Annuity Account NineAn order has been issued on an application filed by FS Variable Annuity Account Nine pursuant to Section 8(f) of the Investment Company Act declaring that it has ceased to be an investment company. (Rel. IC-29823 – September 27) Principal Funds, Inc., et al.A notice has been issued giving interested persons until October 24, 2011, to request a hearing on an application filed by Principal Funds, Inc., et al. for an order under (a) Section 6(c) of the Investment Company Act of 1940 (Act) granting an exemption from Sections 18(f) and 21(b) of the Act; (b) Section 12(d)(1)(J) of the Act granting an exemption from Section 12(d)(1) of the Act; (c) Sections 6(c) and 17(b) of the Act granting an exemption from Sections 17(a)(1), 17(a)(2) and 17(a)(3) of the Act; and (d) Section 17(d) of the Act and Rule 17d-1 under the Act to permit certain joint arrangements. The order would permit certain registered open-end management investment companies to participate in a joint lending and borrowing facility. (Rel. IC-29824 - September 29) Destra Capital Investments LLC and Destra Unit Investment TrustA notice has been issued giving interested persons until October 24, 2011, to request a hearing on an application filed by Destra Capital Investments LLC and Destra Unit Investment Trust for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A), (B) and (C) of the Act and under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act. The order would permit certain registered unit investment trusts to acquire shares of registered management investment companies and unit investment trusts both within and outside the same group of investment companies, and permit any registered investment companies that are open-end companies, their principal underwriters and any broker or dealer registered under the Securities Exchange Act of 1934 to sell such shares to the unit investment trust. (Rel. IC-29825 - September 29) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2011-66) to simplify the $1 Strike Price Program has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65418) A proposed rule change filed by The NASDAQ Stock Market LLC (SR-Nasdaq-2011-133) to simplify the $1 Strike Price Program has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65419) A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2011-128) to simplify the $1 Strike Price Program has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65420) A proposed rule change filed by NYSE Amex LLC (SR-NYSEAmex-2011-70) to simplify the $1 Strike Price Program has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65421) A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. relating to the extension of the implementation date for expansion of the Order Audit Trail System to all NMS stocks (SR-FINRA-2011-055) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65442) Approval of Proposed Rule ChangeThe Commission approved a proposed rule change filed by the Municipal Securities Rulemaking Board (SR-MSRB-2011-11) under Section 19(b)(2) of the Securities Exchange Act of 1934, consisting of amendments to Rule A-3, on Membership on the Board. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65424) Proposed Rule ChangesInternational Securities Exchange, LLC filed a proposed rule change under Rule 19b-4 (SR-ISE-2011-61) related to trading halts due to extraordinary market volatility. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65425) Chicago Stock Exchange, Inc. filed a proposed rule change under Rule 19b-4 (SR-CHX-2011-30) to revise the current methodology for determining when to halt trading in all stocks due to extraordinary market volatility. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65426) New York Stock Exchange LLC filed a proposed rule change under Rule 19b-4 (SR-NYSE-2011-48) amending Exchange Rule 80B to revise the current methodology for determining when to halt trading in all stocks due to extraordinary market volatility. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65427) NASDAQ OMX BX, Inc. filed a proposed rule change under Rule 19b-4 (SR-BX-2011-068) to revise the methodology for determining when to halt trading due to extraordinary market volatility. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65428) BATS Exchange, Inc. filed a proposed rule change under Rule 19b-4 (SR-BYX-2011-025) to modify the rule for halting trading in all stocks due to extraordinary market volatility. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65429) Financial Industry Regulatory Authority, Inc. filed a proposed rule change under Rule 19b-4 (SR-FINRA-2011-054) to update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities). Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65430) NYSE Amex LLC filed a proposed rule change under Rule 19b-4 (SR-NYSEAMEX-2011-73) amending NYSE Amex Equities Rule 80B to revise the current methodology for determining when to halt trading in all stocks due to extraordinary market volatility. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65432) C2 Options Exchange, Incorporated filed a proposed rule change under Rule 19b-4 (SR-C2-2011-024) related to market-wide circuit breakers. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65433) NASDAQ OMX PHLX LLC filed a proposed rule change under Rule 19b-4 (SR-Phlx-2011-129) relating to trading halts due to extraordinary market volatility. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65434) The Nasdaq Stock Market LLC filed a proposed rule change under Rule 19b-4 (SR-NASDAQ-2011-131) to revise the methodology for determining when to halt trading due to extraordinary market volatility. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65435) National Stock Exchange, Inc. filed a proposed rule change under Rule 19b-4 (SR-NSX-2011-11) to revise the current methodology for determining when to halt trading in all stocks due to extraordinary market volatility. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65436) BATS Exchange, Inc. filed a proposed rule change under Rule 19b-4 (SR-BATS-2011-038) to modify the rule for halting trading in all stocks due to extraordinary market volatility. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65437) NYSE Arca, Inc. filed a proposed rule change under Rule 19b-4 (SR-NYSEARCA-2011-68) amending NYSE Arca Equities Rule 7.12 to revise the current methodology for determining when to halt trading in all stocks due to extraordinary market volatility. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65439) EDGX Exchange, Inc. filed a proposed rule change under Rule 19b-4 (SR-EDGX-2011-30) to amend EDGX Rule 11.14. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65440) 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-3 FIRST PACTRUST BANCORP INC, 610 BAY BOULEVARD, CHULA VISTA, CA, 91910, 6196911519 - 32,000 ($32,000,000.00) Equity, (File 333-177055 - Sep. 29) (BR. 07C) S-8 GRAPHON CORP/DE, 5400 SOQUEL AVENUE, SUITE A2, SANTA CRUZ, CA, 95062, 8004727466 - 11,438,333 ($2,599,233.00) Equity, (File 333-177069 - Sep. 29) (BR. 03A) S-1 AirTouch Communications, Inc., 1401 DOVE STREET, SUITE 220, NEWPORT BEACH, CA, 92660, 949-825-6570 - 20,417,754 ($56,148,823.50) Equity, (File 333-177071 - Sep. 29) (BR. 11A) S-8 ARMSTRONG WORLD INDUSTRIES INC, 2500 COLUMBIA AVE, LANCASTER, PA, 17603, 7173970611 - 1,600,000 ($60,232,000.00) Equity, (File 333-177072 - Sep. 29) (BR. 06A) S-1 GRAPHON CORP/DE, 5400 SOQUEL AVENUE, SUITE A2, SANTA CRUZ, CA, 95062, 8004727466 - 58,575,000 ($13,179,375.00) Equity, (File 333-177073 - Sep. 29) (BR. 03A) S-B EUROPEAN INVESTMENT BANK, 100 BD KONRAD ADENAUER, LUXEMBURG, N4, L 2900, 15,000,000,000 ($15,000,000,000.00) Debt, (File 333-177074 - Sep. 29) (BR. DN) S-1 United States Commodity Funds Trust I, 1320 HARBOR BAY PARKWAY, SUITE 145, ALAMEDA, CA, 94502, 510-522-9600 - 1,000 ($25,000.00) Other, (File 333-177075 - Sep. 29) (BR. 08) S-1 ARDENT MINES LTD, 100 WALL STREET,, 21ST FLOOR, NEW YORK,, NY, 10005, (561) 989-3200 - 519,482 ($1,948,058.00) Equity, (File 333-177076 - Sep. 29) (BR. 04B) S-8 PIONEER DRILLING CO, 1250 N.E. LOOP 410, SUITE 1000, SAN ANTONIO, TX, 78209, 5128287689 - 0 ($14,639,500.00) Equity, (File 333-177077 - Sep. 29) (BR. 04B) S-4 CityCenter Holdings, LLC, 3950 LAS VEGAS BLVD, SOUTH, LAS VEGAS, NV, 89119, 702-632-9724 - 0 ($1,533,350,001.00) Non-Convertible Debt, (File 333-177078 - Sep. 29) (BR. ) S-1 LIGHTPATH TECHNOLOGIES INC, 2603 CHALLENGER TECH CT, SUITE 100, ORLANDO, FL, 32826, 4073824003 - 5,175,000 ($7,814.25) Equity, (File 333-177079 - Sep. 29) (BR. 10B) 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 3M CO DE 8.01,9.01 09/29/11 AARON'S INC GA 5.07 05/03/11 AMEND ACNB CORP PA 5.02 09/27/11 AEHR TEST SYSTEMS CA 2.02,9.01 08/31/11 AETRIUM INC MN 5.02,8.01,9.01 09/28/11 Affinity Gaming, LLC NV 8.01,9.01 09/29/11 AgFeed Industries, Inc. NV 5.02,8.01,9.01 09/25/11 ALERE INC. DE 7.01 09/27/11 Alkermes plc. L2 1.01,2.01,2.03,4.01, 09/15/11 AMEND 5.03,5.05,8.01,9.01 Alto Group Holdings Inc. NV 5.01,5.03 09/28/11 AMAG PHARMACEUTICALS INC. DE 8.01,9.01 09/29/11 AMERICAN LITHIUM MINERALS, INC. 3.02 09/15/11 Ameris Bancorp GA 1.01,2.01,9.01 07/15/11 AMEND AMSURG CORP TN 7.01,9.01 09/28/11 ANDREA ELECTRONICS CORP NY 5.07 09/23/11 ARROW RESOURCES DEVELOPMENT INC DE 8.01 05/23/11 AVI BIOPHARMA INC OR 1.01 09/26/11 BIOGEN IDEC INC. DE 5.02 09/29/11 BIOVEST INTERNATIONAL INC DE 7.01,9.01 09/29/11 BJs RESTAURANTS INC CA 8.01,9.01 09/29/11 BlackRock Inc. DE 5.02,9.01 09/26/11 BLOCKBUSTER INC DE 7.01 09/28/11 BMB MUNAI INC NV 3.01,8.01,9.01 09/29/11 CalAmp Corp. DE 2.02,9.01 09/29/11 Cardium Therapeutics, Inc. DE 8.01,9.01 09/27/11 CARVER BANCORP INC DE 3.01 09/27/11 CATERPILLAR INC DE 1.02 09/29/11 CENTERPOINT ENERGY INC 8.01 09/28/11 CENTRAL EUROPEAN DISTRIBUTION CORP DE 5.03,9.01 09/28/11 CENTRAL VERMONT PUBLIC SERVICE CORP VT 5.07,8.01 09/29/11 CHARTER FINANCIAL CORP/GA 8.01,9.01 09/27/11 CHESAPEAKE ENERGY CORP OK 7.01,9.01 09/28/11 CHESAPEAKE MIDSTREAM PARTNERS LP DE 7.01,9.01 09/27/11 CHINA GENGSHENG MINERALS, INC. NV 5.02,5.07,9.01 09/29/11 China Industrial Waste Management Inc NV 5.02 09/26/11 CINTAS CORP WA 8.01 09/29/11 CISCO SYSTEMS INC CA 8.01 09/23/11 CITY HOLDING CO WV 7.01,9.01 09/29/11 CITY HOLDING CO WV 5.02 09/28/11 CLEAN POWER CONCEPTS INC. 4.02,9.01 09/09/11 AMEND COCA-COLA ENTERPRISES, INC. DE 8.01 09/29/11 CODORUS VALLEY BANCORP INC PA 1.01,9.01 09/29/11 COFFEE HOLDING CO INC NV 9.01 09/26/11 AMEND COMMERCETEL CORP NV 7.01,9.01 09/28/11 COMVERSE TECHNOLOGY INC/NY/ NY 5.02 09/25/11 CorMedix Inc. DE 8.01,9.01 09/29/11 Coronus Solar Inc. A1 1.01,1.02,7.01,9.01 09/29/11 CREENERGY Corp NV 1.01,9.01 08/23/11 AMEND Crestwood Midstream Partners LP DE 5.02 09/23/11 DemandTec, Inc. DE 2.02,9.01 09/29/11 Dialogic Inc. DE 5.02,8.01,9.01 09/27/11 Digital Systems, Inc. CO 7.01,9.01 09/20/11 Discover Card Execution Note Trust DE 8.01 09/27/11 DISCOVER CARD MASTER TRUST I DE 8.01 09/27/11 Dividend Capital Total Realty Trust I 7.01,9.01 09/27/11 DOCUMENT CAPTURE TECHNOLOGIES, INC. 5.02,9.01 09/27/11 DOMINOS PIZZA INC 5.07 09/29/11 AMEND DOVER Corp DE 8.01,9.01 09/28/11 DPL INC OH 5.07 09/23/11 DPL INC OH 8.01 09/23/11 AMEND DRINKS AMERICAS HOLDINGS, LTD DE 8.01 09/19/11 EBAY INC DE 5.02 09/28/11 EFL OVERSEAS, INC. NV 4.01,9.01 09/26/11 EMMAUS LIFE SCIENCES, INC. DE 4.02,9.01 09/23/11 ENBRIDGE ENERGY PARTNERS LP DE 1.01,1.02,2.03,9.01 09/26/11 Encore Bancshares Inc TX 1.01,3.02,3.03,5.02, 09/27/11 5.03,8.01,9.01 EXELIXIS INC DE 5.02 09/28/11 EXTREME NETWORKS INC DE 8.01 09/28/11 FAMILY DOLLAR STORES INC DE 1.01,5.02,9.01 09/28/11 Federal Home Loan Bank of Atlanta X1 2.03 09/29/11 Federal Home Loan Bank of Boston X1 2.03 09/26/11 Federal Home Loan Bank of Chicago X1 2.03 09/26/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 09/27/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 09/26/11 Federal Home Loan Bank of San Francis X1 2.03 09/26/11 Federal Home Loan Bank of Seattle 2.03 09/27/11 Federal Home Loan Bank of Topeka 2.03,9.01 09/26/11 FIELDPOINT PETROLEUM CORP CO 7.01,9.01 09/25/11 First Clover Leaf Financial Corp. MD 5.02,9.01 09/27/11 FIRST FEDERAL BANCSHARES OF ARKANSAS TX 7.01 09/29/11 FIRST FINANCIAL BANCORP /OH/ OH 8.01 09/23/11 FIRST POTOMAC REALTY TRUST MD 8.01,9.01 09/29/11 GALECTIN THERAPEUTICS INC NV 7.01,9.01 09/27/11 Galena Biopharma, Inc. 8.01,9.01 09/28/11 GE Equipment Midticket LLC, Series 20 DE 1.01,9.01 09/28/11 GE Equipment Midticket LLC, Series 20 DE 9.01 09/28/11 GENCORP INC OH 2.02,7.01,9.01 09/29/11 GENERAL MILLS INC DE 5.02,5.07 09/26/11 GEO GROUP INC FL 8.01,9.01 09/29/11 GLACIER BANCORP INC DE 8.01,9.01 09/28/11 GLOBAL CLEAN ENERGY, INC. MD 5.02 03/01/09 AMEND GLOBAL PAYMENTS INC GA 5.02,5.07,9.01 09/29/11 GRANITE CITY FOOD & BREWERY LTD MN 5.07 05/10/11 AMEND GREAT ATLANTIC & PACIFIC TEA CO INC MD 7.01,9.01 09/28/11 Great Wall Builders Ltd., 1.02,5.02 09/22/11 Harbin Electric, Inc 8.01,9.01 09/29/11 HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 09/29/11 HENRY SCHEIN INC DE 1.01,9.01 09/27/11 HEWLETT PACKARD CO DE 5.02,9.01 09/27/11 HEXCEL CORP /DE/ DE 7.01 09/28/11 Hines Global REIT, Inc. MD 8.01,9.01 09/29/11 HINES REAL ESTATE INVESTMENT TRUST IN 8.01 09/29/11 Home Federal Bancorp, Inc. MD 2.02,9.01 09/28/11 Horizon Lines, Inc. 1.01,2.04,8.01,9.01 09/26/11 HOVNANIAN ENTERPRISES INC DE 8.01,9.01 09/28/11 Hudson Pacific Properties, Inc. MD 5.02 09/28/11 HYUNDAI ABS FUNDING CORP DE 8.01,9.01 09/29/11 India Globalization Capital, Inc. MD 5.07 09/26/11 INGRAM MICRO INC DE 1.01,1.02,2.03,9.01 09/28/11 INTEGRAMED AMERICA INC DE 5.02,9.01 09/29/11 INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 1.01,3.02,8.01,9.01 09/23/11 INTERLINE BRANDS, INC./DE DE 5.02,9.01 09/29/11 IRON MOUNTAIN INC DE 1.01,2.03,9.01 09/23/11 IRONWOOD PHARMACEUTICALS INC 8.01,9.01 09/29/11 IsoRay, Inc. MN 2.02,9.01 09/28/11 J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 09/29/11 Jingwei International LTD NV 1.01,7.01,9.01 09/23/11 Jinmimi Network Inc NV 8.01 09/26/11 KEMPER Corp DE 8.01,9.01 09/28/11 LECTEC CORP /MN/ MN 5.07,8.01,9.01 09/27/11 Lifevantage Corp CO 2.02,9.01 09/28/11 Lumber Liquidators Holdings, Inc. 2.02,8.01,9.01 09/29/11 LYDALL INC /DE/ DE 5.02 09/27/11 MAC-GRAY CORP DE 5.07 05/18/11 AMEND MARSHALL EDWARDS INC DE 1.01,3.02,9.01 09/27/11 MEDICAL ALARM CONCEPTS HOLDINGS INC NV 1.01 09/29/11 MICRON TECHNOLOGY INC DE 2.02,9.01 09/01/11 Midway Gold Corp A1 7.01,9.01 09/23/11 MOSAIC CO 2.02,9.01 09/28/11 MOSAIC CO 8.01,9.01 09/23/11 NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 5.07,9.01 09/27/11 NAVISTAR INTERNATIONAL CORP DE 1.02,9.01 09/28/11 NewPage Holding CORP DE 1.01 09/23/11 NEWS CORP 8.01,9.01 09/29/11 NORDSON CORP OH 5.02 09/27/11 NORMAN CAY DEVELOPMENT, INC. NV 8.01 09/28/11 NTS MORTGAGE INCOME FUND DE 1.01,9.01 09/28/11 NUVASIVE INC DE 1.01,3.02,8.01,9.01 09/28/11 OCWEN FINANCIAL CORP FL 5.07 05/12/11 AMEND OGE ENERGY CORP. OK 8.01 09/23/11 OIL DRI CORP OF AMERICA DE 8.01,9.01 09/29/11 Oneida Financial Corp. MD 8.01,9.01 09/28/11 ONEOK INC /NEW/ OK 7.01,9.01 09/26/11 ONEOK Partners LP DE 7.01,9.01 09/26/11 PARKVIDA GROUP, INC. NV 2.01,3.02,5.03,5.06, 09/23/11 7.01,9.01 Patient Safety Technologies, Inc DE 8.01,9.01 09/28/11 PEERLESS SYSTEMS CORP DE 8.01,9.01 09/29/11 Pendrell Corp DE 1.01,9.01 09/28/11 PG&E CORP CA 5.02 09/23/11 PHH CORP MD 1.01,9.01 09/27/11 Phillips Edison - ARC Shopping Center MD 7.01,9.01 09/21/11 PNM RESOURCES INC NM 9.01 09/23/11 AMEND POKERTEK, INC. NC 8.01 09/23/11 PREMIER EXHIBITIONS, INC. FL 8.01,9.01 09/29/11 Probe Manufacturing Inc NV 5.05,9.01 09/28/11 PROELITE, INC. NJ 9.01 09/27/11 PROTEONOMIX, INC. DE 8.01 09/29/11 RACKSPACE HOSTING, INC. 1.01,1.02 09/26/11 RACKSPACE HOSTING, INC. 9.01 09/26/11 AMEND RED MOUNTAIN RESOURCES, INC. FL 1.01,5.02,9.01 09/26/11 RENT A CENTER INC DE 5.03,8.01,9.01 09/28/11 RESPECT YOUR UNIVERSE, INC. 7.01 09/23/11 RoomStore, Inc. VA 1.01 09/23/11 ROWAN COMPANIES INC DE 7.01,9.01 09/29/11 SANDY SPRING BANCORP INC MD 5.02,5.05,9.01 09/28/11 SANTARUS INC DE 5.07 09/27/11 SANUWAVE Health, Inc. NV 5.02,9.01 09/28/11 SENESCO TECHNOLOGIES INC DE 2.02,9.01 09/29/11 SMART BALANCE, INC. DE 5.03,9.01 09/28/11 SMF ENERGY CORP DE 2.02,9.01 09/28/11 STANDARD CAPITAL CORP DE 1.01 09/29/11 STAPLES INC DE 5.02,9.01 09/27/11 STILLWATER MINING CO /DE/ DE 1.02,9.01 09/28/11 SunGame Corp DE 5.02 09/26/11 Support.com, Inc. DE 2.05,3.02,5.02,7.01, 09/27/11 9.01 SUPREME INDUSTRIES INC DE 5.02,9.01 09/23/11 TELETOUCH COMMUNICATIONS INC DE 5.02 09/26/11 TENGION INC DE 5.02,5.07 09/28/11 TESORO CORP /NEW/ DE 8.01 09/26/11 TEXAS INDUSTRIES INC DE 2.02,9.01 09/28/11 TITAN INTERNATIONAL INC IL 8.01,9.01 09/28/11 TORON INC. NV 8.01 09/12/11 Travelport LTD D0 7.01,9.01 09/28/11 TRIO TECH INTERNATIONAL CA 2.02,9.01 09/26/11 TRUSTMARK CORP MS 5.07 05/10/11 AMEND UMPQUA HOLDINGS CORP OR 7.01,8.01,9.01 09/29/11 United Development Funding IV MD 8.01 09/27/11 UNITED TECHNOLOGIES CORP /DE/ DE 8.01,9.01 09/28/11 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 09/28/11 US Dry Cleaning Services Corp DE 1.01,1.03,3.02,3.03, 09/23/11 5.02,9.01 Verecloud, Inc. NV 2.02,9.01 09/28/11 VIPER POWERSPORTS INC NV 3.02 09/23/11 VIRGINIA COMMERCE BANCORP INC 3.03,9.01 09/27/11 VIST FINANCIAL CORP PA 8.01 09/19/11 WAL MART STORES INC DE 5.02,9.01 09/23/11 WELLS CORE OFFICE INCOME REIT INC 2.01,9.01 09/28/11 WESTAR ENERGY INC /KS KS 1.01,2.03,9.01 09/29/11 Western Union CO DE 1.01,1.02,9.01 09/23/11 WORTHINGTON INDUSTRIES INC OH 2.02,7.01,9.01 09/28/11 Xtreme Oil & Gas, Inc. NV 1.01,2.03,3.02,9.01 09/29/11 YRC Worldwide Inc. DE 5.02,9.01 09/23/11 ZANETT INC DE 3.01 09/28/11
http://www.sec.gov/news/digest/2011/dig093011.htm
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