 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
ENFORCEMENT PROCEEDINGSCommission Revokes Registration of Securities of MTI Technology Corp. For Failure to Make Required Periodic FilingsOn November 2, 2011, the Commission revoked the registration of each class of registered securities of MTI Technology Corp. (MTI Technology) 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, MTI Technology 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 MTI Technology Corp. 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 MTI Technology’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against MTI Technology in In the Matter of Maxicare Health Plans, Inc., et al., Administrative Proceeding File No. 3-14462. 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 Maxicare Health Plans, Inc., et al., Administrative Proceeding File No. 3-14462, Exchange Act Release No. 64869, July 13, 2011. (Rel. 34-65664; File No. 3-14462) In the Matter of MAS Acquisition XX Corp., et al.An Administrative Law Judge has found the allegations in the Order Instituting Proceedings issued by the Securities and Exchange Commission (Commission) in MAS Acquisition XX Corp., to be true that MAS Acquisition XX Corp., National Healthcare Financial Services, Inc., Neuromedical Technologies, Inc., and Note Bankers of America, Inc. (n/k/a Facit Group Holdings, Inc.), issuers of securities registered pursuant to Section 12 of the Securities Exchange Act of 1934 (Exchange Act), have failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Commission. As a result, the Administrative Law Judge ordered that the registration of each class of registered securities of each of the issuers is revoked. (Rel. 34-65665; File No. 3-14568) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-102) to adopt a Market-Maker Trade Prevention Order on the CBOE Stock Exchange has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65662) Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule ChangeThe Financial Industry Regulatory Authority, Inc. filed Partial Amendment No. 1 to a proposed rule change (SR-FINRA-2011-035) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the consolidated FINRA rulebook and the Commission has instituted proceedings to determine whether to approve or disapprove the proposed rule change (SR-FINRA-2011-035), as modified by Partial Amendment No. 1. Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65663) 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-11 Terra Secured Income Trust, Inc., 805 THIRD AVENUE, 8TH FLOOR, NEW YORK, NY, 10022, (855)858-1492 - 0 ($550,000,000.00) Equity, (File 333-177634 - Nov. 1) (BR. 08) S-1 DUNKIN' BRANDS GROUP, INC., 130 ROYALL STREET, CANTON, MA, 02021, 7817374516 - 0 ($714,313,875.00) Equity, (File 333-177637 - Nov. 1) (BR. 05A) S-8 AuRico Gold Inc., 320 BAY STREET, SUITE 1520, TORONTO, A6, M5H 4A6, 647-260-8880 - 3,183,000 ($28,774,320.00) Equity, (File 333-177638 - Nov. 1) (BR. 09B) S-8 TAKEDOWN ENTERTAINMENT INC., 22 BILLITER STREET, LONDON, X0, EC3M 2RY, 310-995-1070 - 15,000,000 ($3,105,000.00) Equity, (File 333-177639 - Nov. 1) (BR. 09A) S-8 BANK OF NOVA SCOTIA /, 44 KING STREET WEST, SCOTIA PLAZA 8TH FL., TORONTO, A6, M5H 1H1, (416)866-7555 - 20,000 ($1,019,400.00) Equity, (File 333-177640 - Nov. 1) (BR. 12A) S-8 AOXING PHARMACEUTICAL COMPANY, INC., 15 EXCHANGE PLACE, SUITE 500, JERSEY CITY, NJ, 07302, 646-367-1747 - 1,500,000 ($600,000.00) Equity, (File 333-177641 - Nov. 1) (BR. 01B) S-8 CNH GLOBAL N V, 6900 VETERANS BLVD, BURR RIDGE, IL, 60527, 630 887 2233 - 0 ($338,100,000.00) Equity, (File 333-177642 - Nov. 1) (BR. 10A) S-4 TUPPERWARE BRANDS CORP, 14901 S ORANGE BLOSSOM TRAIL, ORLANDO, FL, 32837-6600, (407) 826-5050 - 0 ($400,000,000.00) Debt, (File 333-177643 - Nov. 1) (BR. 06C) S-3 WAVE SYSTEMS CORP, 480 PLEASANT ST, LEE, MA, 01238, 4132431600 - 0 ($13,379,129.96) Equity, (File 333-177644 - Nov. 1) (BR. 03A) F-3ASR UNILEVER N V, WEENA 455, 3013 AL ROTTERDAM, THE NETHERLANDS, P7, NONE, 201-894-2790 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-177645 - Nov. 1) (BR. 04B) S-3 Campus Crest Communities, Inc., 2100 REXFORD ROAD, SUITE 414, CHARLOTTE, NC, 28211, 704-496-2500 - 0 ($750,000,000.00) Unallocated (Universal) Shelf, (File 333-177646 - Nov. 1) (BR. 08C) S-1 TURBOSONIC TECHNOLOGIES INC, 550 PARKSIDE DRIVE, STE A-14, WATERLOO, A6, N2L 5V4, 5198855513 - 4,000,000 ($1,560,000.00) Equity, (File 333-177647 - Nov. 1) (BR. 06C) S-3 Campus Crest Communities, Inc., 2100 REXFORD ROAD, SUITE 414, CHARLOTTE, NC, 28211, 704-496-2500 - 0 ($3,381,421.00) Equity, (File 333-177648 - Nov. 1) (BR. 08C) S-4 GMX RESOURCES INC, ONE BENHAM PLACE, SUITE 600, OKLAHOMA CITY, OK, 73114, 4056000711 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-177650 - Nov. 1) (BR. 04A) S-4 FIRST PACTRUST BANCORP INC, 610 BAY BOULEVARD, CHULA VISTA, CA, 91910, 6196911519 - 0 ($19,690,482.00) Equity, (File 333-177652 - Nov. 1) (BR. 07C) 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 3D SYSTEMS CORP DE 1.01,2.01,7.01,9.01 11/01/11 Acadia Healthcare Company, Inc. DE 1.01,1.02,2.01,2.03, 10/28/11 3.03,5.02,5.03,9.01 ADEPT TECHNOLOGY INC DE 1.01,9.01 10/31/11 AGREE REALTY CORP DE 1.01,2.03,7.01,9.01 10/26/11 AKORN INC LA 2.02,9.01 11/01/11 ALBANY INTERNATIONAL CORP /DE/ DE 1.01,8.01,9.01 10/27/11 ALBANY INTERNATIONAL CORP /DE/ DE 5.02,9.01 10/28/11 ALEXANDERS J CORP TN 2.02,7.01,9.01 11/01/11 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 11/01/11 ALNYLAM PHARMACEUTICALS, INC. 2.02,9.01 11/01/11 Alphatec Holdings, Inc. DE 2.02,9.01 11/01/11 ALTERRA CAPITAL HOLDINGS Ltd 2.02,8.01,9.01 11/01/11 Altra Holdings, Inc. DE 2.02,9.01 11/01/11 AMEDISYS INC DE 2.02,5.02,7.01,9.01 11/01/11 American Capital Agency Corp 1.01 11/01/11 AMERICAN CAPITAL, LTD 2.02,9.01 11/01/11 AMERICAN EXPRESS CREDIT ACCOUNT MASTE DE 8.01 11/01/11 AMERICAN NATIONAL INSURANCE CO /TX/ TX 1.02 10/31/11 AMERICAN TOWER CORP /MA/ DE 2.02,9.01 11/01/11 AMERIGON INC MI 1.01,8.01,9.01 10/28/11 AMERIGROUP CORP 8.01,9.01 11/01/11 AMERISAFE INC TX 2.02,9.01 11/01/11 AMERISOURCEBERGEN CORP DE 2.02,7.01,9.01 11/01/11 AMICUS THERAPEUTICS INC DE 2.02,9.01 11/01/11 Amtrust Financial Services, Inc. DE 2.02,9.01 11/01/11 AMYRIS, INC. DE 2.02,9.01 11/01/11 ANNALY CAPITAL MANAGEMENT INC MD 2.02,9.01 11/01/11 ANNAPOLIS BANCORP INC MD 2.02,9.01 11/01/11 ante5, Inc. DE 1.01,2.03,5.02,7.01, 10/26/11 9.01 ARCHER DANIELS MIDLAND CO DE 2.02,9.01 11/01/11 Arlington Asset Investment Corp. VA 8.01,9.01 11/01/11 ARRAY BIOPHARMA INC DE 1.01,5.07 10/26/11 ASPEN TECHNOLOGY INC /DE/ DE 2.02,9.01 11/01/11 ASSET ACCEPTANCE CAPITAL CORP 2.02,2.05,9.01 11/01/11 Athens Bancshares Corp 2.02,9.01 10/31/11 ATLAS PIPELINE PARTNERS LP DE 2.02,9.01 10/31/11 ATMEL CORP DE 2.02,9.01 11/01/11 ATMI INC DE 7.01,9.01 11/01/11 ATMI INC DE 7.01,9.01 10/31/11 AMEND AtriCure, Inc. DE 2.02,9.01 11/01/11 ATWOOD OCEANICS INC TX 7.01,9.01 11/01/11 AVALONBAY COMMUNITIES INC MD 2.02,9.01 10/31/11 AVISTA CORP WA 8.01 10/27/11 AXIM INTERNATIONAL INC. NV 2.01,5.06 10/28/11 AZZ INC TX 1.01,2.03,9.01 10/28/11 BAKER HUGHES INC DE 2.02,7.01,9.01 11/01/11 Baltic Trading Ltd 1T 2.02,9.01 11/01/11 BANCTRUST FINANCIAL GROUP INC AL 2.02,9.01 10/31/11 BB&T CORP NC 8.01,9.01 11/01/11 BCSB Bancorp Inc. 2.02,9.01 10/28/11 Behringer Harvard Mid-Term Value Enha TX 2.01,9.01 10/26/11 Bering Exploration, Inc. NV 5.02,9.01 10/28/11 BIG 5 SPORTING GOODS CORP DE 2.02,9.01 11/01/11 BIO RAD LABORATORIES INC DE 2.02,9.01 11/01/11 BIO RAD LABORATORIES INC DE 5.02,9.01 10/26/11 BioFuel Energy Corp. 1.01,2.03,9.01 10/28/11 BLACK BOX CORP DE 2.02,9.01 11/01/11 BLACKBAUD INC 2.02,5.02,9.01 11/01/11 BLUEGREEN CORP MA 5.02,9.01 10/26/11 Blueknight Energy Partners, L.P. DE 7.01,8.01,9.01 11/01/11 BOEING CO DE 5.02,9.01 10/31/11 BOSTON BEER CO INC MA 2.02,9.01 11/01/11 BRE PROPERTIES INC /MD/ MD 2.02,8.01,9.01 11/01/11 Bridgepoint Education Inc DE 2.02,9.01 11/01/11 BROADCOM CORP CA 1.01,9.01 10/31/11 BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 8.01 10/31/11 BSQUARE CORP /WA WA 1.01 11/01/11 BTU INTERNATIONAL INC DE 2.02,9.01 11/01/11 Burger King Holdings Inc DE 5.02 10/26/11 CADUCEUS SOFTWARE SYSTEMS CORP. NV 4.01,9.01 10/25/11 AMEND Cal Dive International, Inc. DE 2.02,7.01,9.01 11/01/11 Canadian Tactical Training Academy In NV 5.02,9.01 10/31/11 CAPITAL GROWTH SYSTEMS INC /FL/ FL 8.01,9.01 11/01/11 CAPITAL GROWTH SYSTEMS INC /FL/ FL 8.01,9.01 11/01/11 CAPITAL GROWTH SYSTEMS INC /FL/ FL 8.01,9.01 11/01/11 CAPITAL GROWTH SYSTEMS INC /FL/ FL 8.01,9.01 11/01/11 CARDTRONICS INC DE 8.01,9.01 11/01/11 CARVER BANCORP INC DE 3.03,5.03 10/27/11 CASTLE A M & CO MD 2.02,5.02,9.01 11/01/11 Catalent Pharma Solutions, Inc. DE 2.02,9.01 11/01/11 CBEYOND, INC. 5.02,9.01 10/27/11 CBIZ, Inc. DE 2.02,9.01 10/26/11 CBOE Holdings, Inc. DE 5.02,9.01 11/01/11 CBRE GROUP, INC. DE 7.01,9.01 11/01/11 CDW Corp DE 2.02,9.01 11/01/11 CEDAR FAIR L P DE 1.01,5.07,9.01 10/27/11 CENTRAL VERMONT PUBLIC SERVICE CORP VT 8.01 11/01/11 CERUS CORP DE 2.02,9.01 11/01/11 CF Industries Holdings, Inc. DE 2.02,9.01 11/01/11 CHAMPIONS ONCOLOGY, INC. DE 5.02,8.01,9.01 11/01/11 CHARLES RIVER LABORATORIES INTERNATIO 2.02,9.01 11/01/11 CHARTER COMMUNICATIONS, INC. /MO/ DE 2.02,9.01 11/01/11 CHECKPOINT SYSTEMS INC PA 2.02 11/01/11 Chemtura CORP DE 2.02,9.01 11/01/11 CHESAPEAKE ENERGY CORP OK 8.01,9.01 10/25/11 Chesapeake Lodging Trust MD 2.02,9.01 11/01/11 CHICAGO BRIDGE & IRON CO N V 7.01,9.01 11/01/11 CHINA PEDIATRIC PHARMACEUTICALS, INC. NV 4.01 10/28/11 CHINDEX INTERNATIONAL INC DE 5.07 06/10/11 AMEND Chineseinvestors.com, Inc. IN 1.01 11/01/11 CHOICE BANCORP, INC. WI 2.02,9.01 11/01/11 CHOICEONE FINANCIAL SERVICES INC MI 2.02,9.01 11/01/11 Chrysler Group LLC DE 8.01,9.01 11/01/11 CIBER INC DE 2.02,9.01 11/01/11 CIT GROUP INC DE 8.01,9.01 10/26/11 CITIGROUP INC DE 9.01 11/01/11 CME GROUP INC. DE 2.02,9.01 11/01/11 Cobalt International Energy, Inc. 2.02,9.01 11/01/11 CODEXIS INC 2.02,9.01 11/01/11 COEUR D ALENE MINES CORP ID 8.01 10/31/11 COGNEX CORP MA 2.02,9.01 11/01/11 COMERICA INC /NEW/ 5.02 11/01/11 COMMUNITY FINANCIAL SHARES INC DE 2.02,9.01 10/28/11 Community Partners Bancorp NJ 1.01,9.01 10/26/11 COMMUNITY WEST BANCSHARES / CA 2.02,9.01 10/31/11 COMMVAULT SYSTEMS INC DE 2.02,9.01 11/01/11 Compass Diversified Holdings DE 8.01,9.01 08/24/11 AMEND CONCURRENT COMPUTER CORP/DE DE 2.02,9.01 11/01/11 CONVENIENTCAST INC. NV 1.01,5.02 10/28/11 CORINTHIAN COLLEGES INC 2.02,9.01 11/01/11 CORVEL CORP DE 2.02,9.01 11/01/11 CRAY INC WA 2.02,9.01 11/01/11 CRAY INC WA 8.01 10/28/11 CREDIT ACCEPTANCE CORP MI 2.02,9.01 11/01/11 Crestwood Midstream Partners LP DE 7.01,9.01 11/01/11 Crestwood Midstream Partners LP DE 5.02,9.01 10/28/11 CreXus Investment Corp. MD 5.07 05/26/11 AMEND CSG SYSTEMS INTERNATIONAL INC DE 2.02,9.01 11/01/11 CSX CORP VA 1.01,2.03,9.01 10/27/11 CTS CORP IN 5.02 11/01/11 CVR ENERGY INC DE 2.02,9.01 11/01/11 CYTOKINETICS INC 8.01,9.01 11/01/11 CYTOMEDIX INC DE 8.01,9.01 10/25/11 DCB FINANCIAL CORP OH 8.01,9.01 11/01/11 DCT Industrial Trust Inc. MD 2.02,9.01 11/01/11 DENNYS CORP DE 2.02,9.01 11/01/11 DEPOMED INC CA 2.02,5.02,9.01 11/01/11 Diamond Foods Inc DE 8.01,9.01 11/01/11 DIGITALGLOBE INC 2.02,9.01 11/01/11 Discovery Communications, Inc. DE 2.02,9.01 11/01/11 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 2.02,9.01 11/01/11 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 5.02 10/28/11 DOW CHEMICAL CO /DE/ DE 8.01,9.01 11/01/11 Duff & Phelps Corp DE 2.02,9.01 11/01/11 DUKE REALTY CORP IN 2.02,5.02,9.01 10/26/11 DUKE REALTY LIMITED PARTNERSHIP/ IN 2.02,5.02,9.01 10/26/11 DUNKIN' BRANDS GROUP, INC. DE 2.02,9.01 11/01/11 DYNAMIC MATERIALS CORP DE 2.02,9.01 11/01/11 E-Debit Global Corp. CO 8.01 11/01/11 EAGLE ROCK ENERGY PARTNERS L P DE 5.02 11/01/11 Echo Therapeutics, Inc. DE 1.01,3.02,8.01,9.01 10/27/11 ECOLOGY COATINGS, INC. NV 3.02,8.01 10/31/11 Education Realty Trust, Inc. MD 8.01,9.01 10/31/11 ELEPHANT TALK COMMUNICATIONS CORP CA 5.02,9.01 10/27/11 EMAGIN CORP DE 8.01 10/31/11 EMERSON ELECTRIC CO MO 2.02,9.01 11/01/11 ENDOLOGIX INC /DE/ DE 1.01 10/26/11 ENTECH SOLAR, INC. DE 5.02,9.01 09/23/11 ENTERCOM COMMUNICATIONS CORP PA 2.02,9.01 11/01/11 ENTERGY CORP /DE/ DE 2.02,7.01,9.01 11/01/11 EOG RESOURCES INC DE 2.02,7.01,9.01 10/31/11 EXACTECH INC FL 2.02,7.01,9.01 11/01/11 Excel Trust, Inc. MD 1.01,3.02 10/26/11 EXPEDITORS INTERNATIONAL OF WASHINGTO WA 2.02 11/01/11 Federal Home Loan Bank of Atlanta X1 2.03 11/01/11 Federal Home Loan Bank of Boston X1 2.03 10/26/11 Federal Home Loan Bank of Chicago X1 2.03 10/26/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/26/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/28/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/01/11 Federal Home Loan Bank of New York X1 2.03,9.01 10/26/11 Federal Home Loan Bank of New York X1 2.02,8.01,9.01 11/01/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/26/11 Federal Home Loan Bank of San Francis X1 2.03 10/26/11 Federal Home Loan Bank of Seattle 2.03 10/26/11 Federal Home Loan Bank of Topeka 2.03,9.01 10/26/11 Federal Home Loan Bank of Topeka 5.02,9.01 10/27/11 FelCor Lodging Trust Inc MD 2.02,9.01 11/01/11 Fidelity National Information Service 2.02,8.01,9.01 10/31/11 FIRST BANCORP /PR/ PR 2.02,5.02,9.01 10/26/11 FIRST CITIZENS BANCSHARES INC /DE/ DE 8.01 10/28/11 FIRST MERCHANTS CORP IN 8.01,9.01 11/01/11 FIRSTENERGY CORP OH 2.02,9.01 11/01/11 FISERV INC WI 2.02,9.01 11/01/11 FMC CORP DE 2.02,9.01 10/31/11 FNB United Corp. NC 8.01,9.01 10/31/11 Ford Credit Auto Lease Trust 2011-B DE 1.01,9.01 10/31/11 FOREST OIL CORP NY 2.02,9.01 10/31/11 FOSTER L B CO PA 2.02,9.01 11/01/11 FOUR OAKS FINCORP INC NC 2.02,9.01 11/01/11 FRANKLIN STREET PROPERTIES CORP /MA/ 2.02,9.01 11/01/11 FREEPORT MCMORAN COPPER & GOLD INC DE 8.01,9.01 11/01/11 FreightCar America, Inc. DE 2.02,9.01 11/01/11 FRESH DEL MONTE PRODUCE INC E9 2.02,9.01 11/01/11 Fresh Harvest Products, Inc. NJ 1.01,3.02 09/20/11 FSB Community Bankshares Inc X1 2.02,9.01 10/31/11 G&K SERVICES INC MN 2.02,9.01 11/01/11 GALLAGHER ARTHUR J & CO DE 8.01,9.01 11/01/11 GARTNER INC DE 2.02,9.01 11/01/11 GAYLORD ENTERTAINMENT CO /DE DE 2.02,9.01 11/01/11 GENCO SHIPPING & TRADING LTD 2.02,9.01 11/01/11 GENERAC HOLDINGS INC. DE 2.02,9.01 11/01/11 General Finance CORP DE 8.01,9.01 11/01/11 General Moly, Inc DE 2.02,9.01 11/01/11 General Moly, Inc DE 2.02,7.01,9.01 11/01/11 GENESEE & WYOMING INC DE 2.02,9.01 11/01/11 GENOMIC HEALTH INC 2.02,9.01 11/01/11 GeoEye, Inc. DE 2.02,9.01 10/31/11 GETTY REALTY CORP /MD/ MD 2.02,9.01 10/31/11 Gevo, Inc. DE 2.02,9.01 11/01/11 GIGA TRONICS INC CA 2.02,9.01 10/31/11 GigOptix, Inc. DE 2.02,9.01 11/01/11 GLADSTONE COMMERCIAL CORP MD 2.02,9.01 11/01/11 GLOBAL NUTECH, INC. 5.02 10/25/11 GOLD RESERVE INC B0 8.01,9.01 11/01/11 GOLDEN PHOENIX MINERALS INC NV 5.02,7.01,9.01 10/20/11 Government Properties Income Trust MD 2.02,9.01 11/01/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 8.01,9.01 10/31/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 11/01/11 Great Lakes Dredge & Dock CORP DE 2.02,9.01 11/01/11 Green Endeavors, Inc. UT 5.02 11/01/11 GREENLIGHT CAPITAL RE, LTD. 2.02,9.01 10/31/11 Greenpower International Group Ltd 3.02,5.01,5.02,5.03 10/28/11 Guidance Software, Inc. DE 2.02,7.01,9.01 11/01/11 HAIN CELESTIAL GROUP INC DE 2.02,9.01 11/01/11 HARRIS INTERACTIVE INC DE 2.02,2.05,9.01 11/01/11 Harvard Illinois Bancorp, Inc. MD 5.03,9.01 10/27/11 HAWKER BEECHCRAFT ACQUISITION CO LLC DE 2.02,9.01 11/01/11 HCA Holdings, Inc. 2.02,7.01,9.01 11/01/11 HCC INSURANCE HOLDINGS INC/DE/ DE 2.02,9.01 11/01/11 HEADWATERS INC DE 2.02,9.01 11/01/11 HEALTH CARE REIT INC /DE/ DE 5.02,5.03,9.01 10/27/11 HEALTH CARE REIT INC /DE/ DE 8.01,9.01 11/01/11 HEALTH MANAGEMENT ASSOCIATES INC DE 7.01,9.01 11/01/11 HEALTHCARE REALTY TRUST INC MD 2.02,7.01,9.01 11/01/11 HEARTLAND EXPRESS INC NV 5.02,9.01 10/26/11 HENRY JACK & ASSOCIATES INC DE 2.02,9.01 11/01/11 HENRY SCHEIN INC DE 2.02,9.01 09/24/11 HENRY SCHEIN INC DE 8.01,9.01 11/01/11 HERBALIFE LTD. E9 2.02,8.01,9.01 10/31/11 HERITAGE COMMERCE CORP CA 2.02,9.01 09/30/11 HERITAGE COMMERCE CORP CA 5.02 10/27/11 HERITAGE FINANCIAL CORP /WA/ WA 8.01 10/28/11 AMEND Heron Lake BioEnergy, LLC MN 5.02 10/26/11 HFF, Inc. DE 2.02,9.01 10/31/11 HICKORY TECH CORP MN 2.02,7.01,9.01 11/01/11 Higher One Holdings, Inc. DE 2.02,7.01,9.01 11/01/11 Homeland Security Capital CORP DE 1.01,9.01 10/26/11 HOSPIRA INC DE 1.01,1.02,2.03,9.01 10/28/11 HUDSON HIGHLAND GROUP INC DE 2.02,9.01 11/01/11 HUNT J B TRANSPORT SERVICES INC AR 5.02,8.01,9.01 10/26/11 HUTCHINSON TECHNOLOGY INC MN 2.02,9.01 11/01/11 IHS Inc. DE 7.01 11/01/11 IMPAX LABORATORIES INC DE 2.02,9.01 11/01/11 INSPERITY, INC. DE 2.02,9.01 11/01/11 INTEGRATED SILICON SOLUTION INC DE 5.02 10/28/11 INTERNATIONAL FUEL TECHNOLOGY INC NV 5.07 10/28/11 INTERPHASE CORP TX 1.01,5.02,9.01 10/26/11 Investors Bancorp Inc DE 5.02 10/25/11 INVESTORS CAPITAL HOLDINGS LTD MA 5.02,5.07 10/26/11 INX Inc DE 1.01,8.01,9.01 11/01/11 IPG PHOTONICS CORP DE 2.02,9.01 11/01/11 ISABELLA BANK CORP MI 2.02,9.01 10/27/11 ITERIS, INC. DE 9.01 07/29/11 AMEND JAZZ PHARMACEUTICALS INC DE 2.02,9.01 11/01/11 JDS UNIPHASE CORP /CA/ DE 2.02,9.01 11/01/11 JEFFERSON BANCSHARES INC TN 5.07 10/27/11 John Bean Technologies CORP DE 2.02,8.01,9.01 11/01/11 JOY GLOBAL INC DE 1.01,2.03,9.01 10/31/11 Kaiser Federal Financial Group, Inc. MD 8.01,9.01 10/29/11 Kaiser Federal Financial Group, Inc. MD 2.02,9.01 11/01/11 KEY TRONIC CORP WA 2.02,9.01 11/01/11 KFORCE INC FL 2.02,9.01 11/01/11 KIMBALL INTERNATIONAL INC IN 2.02,9.01 11/01/11 KITE REALTY GROUP TRUST MD 5.07 11/01/11 AMEND Kraton Performance Polymers, Inc. DE 2.02,9.01 10/31/11 Kraton Performance Polymers, Inc. DE 2.02,9.01 11/01/11 Lazard Ltd D0 5.07 04/26/11 AMEND LEXICON PHARMACEUTICALS, INC./DE DE 2.02 11/01/11 LIGAND PHARMACEUTICALS INC DE 1.01 10/28/11 LIHUA INTERNATIONAL INC. DE 8.01,9.01 11/01/11 LKA INTERNATIONAL INC /DE/ DE 7.01,9.01 10/31/11 LKQ CORP DE 7.01 11/01/11 Lone Pine Resources Inc. DE 2.02,9.01 10/31/11 LOOKSMART LTD DE 2.02,9.01 11/01/11 LSI CORP DE 1.01,7.01,9.01 10/26/11 LUMINEX CORP DE 2.02,9.01 11/01/11 MACERICH CO MD 2.02,7.01,9.01 11/01/11 MAGNETEK, INC. DE 3.01,9.01 10/26/11 MANAS PETROLEUM Corp NV 5.02,5.03,9.01 11/01/11 MANTECH INTERNATIONAL CORP DE 2.02,7.01,8.01,9.01 11/01/11 MARATHON OIL CORP DE 2.02,9.01 11/01/11 Marathon Petroleum Corp DE 2.02,9.01 11/01/11 MARTHA STEWART LIVING OMNIMEDIA INC DE 2.02,9.01 11/01/11 MARTIN MARIETTA MATERIALS INC NC 2.02,7.01,9.01 11/01/11 MAXLINEAR INC 2.02,9.01 11/01/11 MDC PARTNERS INC A6 2.02,9.01 11/01/11 MDU RESOURCES GROUP INC DE 2.02,7.01,9.01 09/30/11 Measurement Specialties Inc NJ 1.01,2.01,9.01 10/31/11 MEDNAX, INC. FL 2.02,9.01 11/01/11 MedQuist Holdings Inc. DE 9.01 08/18/11 AMEND METABOLIX, INC. 2.02,9.01 11/01/11 METROPCS COMMUNICATIONS INC DE 2.02,9.01 11/01/11 MICRONETICS INC DE 2.02,9.01 10/27/11 MIDDLEFIELD BANC CORP OH 2.02,9.01 10/31/11 MINDEN BANCORP, INC. LA 2.02,9.01 11/01/11 MINDSPEED TECHNOLOGIES, INC DE 2.02,9.01 11/01/11 MMEX Mining Corp 3.02 11/01/11 MONEYGRAM INTERNATIONAL INC 5.07 10/31/11 Monotype Imaging Holdings Inc. DE 2.02,9.01 11/01/11 MORGANS FOODS INC OH 1.01 10/27/11 MTS SYSTEMS CORP MN 5.05,9.01 10/31/11 MUSTANG ALLIANCES, INC. 4.01,9.01 10/24/11 AMEND MVC CAPITAL, INC. DE 8.01 10/31/11 MYRIAD GENETICS INC DE 2.02,9.01 11/01/11 NABORS INDUSTRIES LTD D0 8.01 10/28/11 NANOPHASE TECHNOLOGIES CORPORATION IL 8.01 10/28/11 NATHANS FAMOUS INC DE 2.02,9.01 11/01/11 NATIONAL SECURITY GROUP INC DE 8.01,9.01 10/29/11 NAVARRE CORP /MN/ MN 1.01,2.02,2.05,9.01 10/26/11 NETWORK EQUIPMENT TECHNOLOGIES INC DE 2.02,9.01 11/01/11 NEWMARKET CORP VA 2.02,9.01 11/01/11 NEWS CORP 8.01,9.01 11/01/11 NICOR INC IL 2.02,9.01 11/01/11 NN INC DE 2.02,9.01 11/01/11 Noble Corp / Switzerland V8 5.02 10/28/11 NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 10/31/11 NORTHEAST BANCORP /ME/ ME 2.01 09/30/11 NOVADEL PHARMA INC DE 2.02,9.01 11/01/11 NOVATEL WIRELESS INC DE 2.02,9.01 11/01/11 OCEANFIRST FINANCIAL CORP DE 7.01,8.01,9.01 10/31/11 OCZ TECHNOLOGY GROUP INC DE 7.01,9.01 11/01/11 OLIN CORP VA 5.02 10/26/11 OMEGA HEALTHCARE INVESTORS INC MD 2.02,9.01 11/01/11 ONEOK INC /NEW/ OK 2.02,7.01,9.01 11/01/11 ONEOK Partners LP DE 2.02,7.01,9.01 11/01/11 OPENTABLE INC DE 2.02,9.01 11/01/11 OPNEXT INC 2.02,9.01 11/01/11 Orexigen Therapeutics, Inc. DE 5.02,9.01 11/01/11 ORMAT TECHNOLOGIES, INC. DE 2.03,8.01,9.01 10/31/11 OSHKOSH CORP WI 2.02,9.01 11/01/11 Oxford Resource Partners LP DE 1.01 10/26/11 OXIS INTERNATIONAL INC DE 5.02 11/01/11 PACIFIC CAPITAL BANCORP /CA/ DE 2.02,9.01 10/27/11 PAPA JOHNS INTERNATIONAL INC DE 2.02,9.01 11/01/11 PAREXEL INTERNATIONAL CORP MA 2.02,9.01 10/31/11 PARKER HANNIFIN CORP OH 5.07 10/26/11 PARTNERRE LTD 2.02,9.01 10/31/11 Patriot Coal CORP DE 7.01,9.01 11/01/11 PEAPACK GLADSTONE FINANCIAL CORP NJ 2.02,9.01 11/01/11 PEETS COFFEE & TEA INC WA 2.02,9.01 11/01/11 PEETS COFFEE & TEA INC WA 2.02 11/01/11 AMEND PENN NATIONAL GAMING INC PA 5.07 06/09/11 AMEND PennantPark Floating Rate Capital Ltd 7.01,9.01 11/01/11 PEOPLES BANCORP INC OH 2.02,9.01 11/01/11 PEP BOYS MANNY MOE & JACK PA 7.01,9.01 11/01/11 PERICOM SEMICONDUCTOR CORP CA 2.02,9.01 11/01/11 PFIZER INC DE 2.02,9.01 11/01/11 PHH CORP MD 1.01,5.03,9.01 10/27/11 PINNACLE WEST CAPITAL CORP AZ 2.02,7.01,9.01 09/30/11 Pioneer Exploration Inc. NV 1.01,2.01 11/01/11 Pioneer Southwest Energy Partners L.P DE 2.02,9.01 11/01/11 PITNEY BOWES INC /DE/ DE 2.02,9.01 11/01/11 PLANTRONICS INC /CA/ DE 2.02,7.01,9.01 11/01/11 PLURISTEM THERAPEUTICS INC NV 1.01 11/01/11 POST PROPERTIES INC GA 2.02,9.01 10/31/11 POWER SOLUTIONS INTERNATIONAL, INC. DE 5.02 10/26/11 POWERWAVE TECHNOLOGIES INC DE 2.02,9.01 11/01/11 Premier Power Renewable Energy, Inc. DE 5.07 10/27/11 AMEND PRICELINE COM INC DE 1.01,2.03,5.03,9.01 10/26/11 Probe Manufacturing Inc NV 7.01,9.01 10/31/11 PROCTER & GAMBLE Co OH 7.01 11/01/11 PROFILE TECHNOLOGIES INC DE 7.01,8.01,9.01 10/20/11 PROSPECT GLOBAL RESOURCES INC. NV 5.02,5.07,9.01 10/27/11 PROVIDENT NEW YORK BANCORP DE 5.02,9.01 10/27/11 PS BUSINESS PARKS INC/CA CA 2.02,9.01 10/31/11 PSI CORP NV 1.01,3.02,5.02,5.03, 10/26/11 7.01,9.01 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 2.02,7.01,9.01 11/01/11 PUBLIX SUPER MARKETS INC FL 2.02,9.01 11/01/11 QUALITY SYSTEMS, INC CA 2.02,9.01 10/27/11 AMEND QUICKLOGIC CORPORATION CA 2.02,9.01 11/01/11 RADIAN GROUP INC DE 2.02,9.01 11/01/11 ReachLocal Inc DE 2.02,2.05,9.01 11/01/11 REAL ESTATE ASSOCIATES LTD III CA 8.01 10/26/11 REALNETWORKS INC WA 5.02,7.01,9.01 10/27/11 REALOGY CORP DE 2.02,9.01 11/01/11 REALPAGE INC DE 2.02,9.01 11/01/11 RED MOUNTAIN RESOURCES, INC. FL 3.02 10/26/11 REGAL BELOIT CORP WI 2.02,7.01,9.01 10/31/11 REGAL BELOIT CORP WI 7.01 11/01/11 RELIV INTERNATIONAL INC DE 2.03,9.01 10/27/11 RENAISSANCERE HOLDINGS LTD D0 2.02,9.01 11/01/11 Renewable Energy Group, Inc. 5.02,5.07 10/26/11 RESOURCES CONNECTION INC DE 5.07,8.01,9.01 10/26/11 REX ENERGY CORP DE 2.02,7.01,9.01 11/01/11 REXNORD LLC DE 2.02,9.01 11/01/11 Rhino Resource Partners LP DE 7.01,9.01 11/01/11 RIGEL PHARMACEUTICALS INC DE 2.02,9.01 11/01/11 RIVERVIEW BANCORP INC WA 2.02,9.01 10/27/11 ROADSHIPS HOLDINGS, INC. DE 5.02 10/28/11 RODMAN & RENSHAW CAPITAL GROUP, INC. DE 2.02,8.01,9.01 11/01/11 ROMA FINANCIAL CORP X1 2.02,9.01 10/31/11 ROTATE BLACK INC NV 5.02 10/27/11 ROWAN COMPANIES INC DE 2.02,9.01 11/01/11 RPX Corp DE 2.02,9.01 11/01/11 RTI INTERNATIONAL METALS INC OH 2.02,9.01 11/01/11 S1 CORP /DE/ DE 8.01,9.01 10/28/11 Sagebrush Gold Ltd. NV 3.02,3.03,9.01 10/26/11 Samson Oil & Gas LTD C3 2.02,8.01,9.01 10/28/11 SANDERSON FARMS INC MS 5.02 10/26/11 SANMINA-SCI CORP DE 2.02,9.01 11/01/11 Sara Lee Corp MD 5.07 10/27/11 SBA COMMUNICATIONS CORP FL 2.02,9.01 10/31/11 SEABOARD CORP /DE/ DE 8.01 10/31/11 Shengtai Pharmaceutical, Inc. 5.02,9.01 11/01/11 SIERRA MONITOR CORP /CA/ CA 2.02,9.01 11/01/11 SIFCO INDUSTRIES INC OH 1.01,2.01,2.03,9.01 10/28/11 SilverSun Technologies, Inc. DE 1.01,2.03 10/26/11 SINGLE TOUCH SYSTEMS INC DE 5.02 11/01/11 SIRIUS XM RADIO INC. DE 2.02,9.01 11/01/11 Six Flags Entertainment Corp 2.02,9.01 10/27/11 Skilled Healthcare Group, Inc. DE 2.02,9.01 10/31/11 SM Energy Co DE 2.02,9.01 10/31/11 Snap Interactive, Inc DE 5.02,7.01,9.01 10/27/11 SOHU COM INC DE 2.02,9.01 10/31/11 SOLAR ACQUISITION CORP. FL 4.01,9.01 10/13/11 AMEND Solar Capital Ltd. MD 2.02,9.01 11/01/11 Solar Power, Inc. CA 5.02 11/01/11 Solar Senior Capital Ltd. MD 2.02,9.01 11/01/11 SOLTA MEDICAL INC DE 2.02,9.01 11/01/11 SOMERSET HILLS BANCORP NJ 7.01,9.01 11/01/11 SOURCEFIRE INC DE 2.02,9.01 11/01/11 SOUTHSIDE BANCSHARES INC TX 2.02,9.01 10/27/11 SOUTHWESTERN ENERGY CO DE 7.01 10/31/11 SPX CORP DE 5.03,9.01 10/26/11 STAG Industrial, Inc. 1.01,9.01 10/26/11 STANDARD MOTOR PRODUCTS INC NY 2.02,9.01 11/01/11 STARTEK INC DE 5.03,9.01 10/27/11 STEMCELLS INC DE 2.02,9.01 11/01/11 Stream Global Services, Inc. DE 1.01,9.01 11/01/11 Sucampo Pharmaceuticals, Inc. 1.01 10/26/11 SUN HEALTHCARE GROUP INC DE 2.02,9.01 11/01/11 SUNTRUST BANKS INC GA 8.01,9.01 10/27/11 SVB FINANCIAL GROUP 7.01,9.01 11/01/11 SYMMETRICOM INC DE 5.07 10/28/11 SYNCHRONOSS TECHNOLOGIES INC 2.02,9.01 11/01/11 SYSTEMAX INC DE 2.02,9.01 11/01/11 TALEO CORP DE 2.02,9.01 11/01/11 TARGACEPT INC 2.02,9.01 11/01/11 TARGET CORP MN 5.02,9.01 11/01/11 TaxMasters, Inc. NV 4.02,9.01 08/25/11 AMEND TEAM HEALTH HOLDINGS INC. DE 4.02 10/28/11 TEAM HEALTH HOLDINGS INC. DE 2.02,9.01 11/01/11 TECO ENERGY INC FL 2.02,9.01 11/01/11 TENET HEALTHCARE CORP NV 2.02,9.01 11/01/11 Tennessee Commerce Bancorp, Inc. TN 2.02,3.01,4.02,9.01 10/27/11 TEREX CORP DE 9.01 08/16/11 AMEND TERRA NITROGEN CO L P /DE DE 2.02,9.01 11/01/11 Teucrium Commodity Trust 1.01,1.02,9.01 10/31/11 Teucrium Commodity Trust 1.01,1.02,9.01 10/31/11 Teucrium Commodity Trust 1.01,1.02,9.01 10/31/11 Teucrium Commodity Trust 1.01,1.02,9.01 10/31/11 Teucrium Commodity Trust 1.01,1.02,9.01 10/31/11 Teucrium Commodity Trust 1.01,1.02,9.01 10/31/11 THL Credit, Inc. DE 2.02,9.01 11/01/11 THORATEC CORP CA 2.02,9.01 11/01/11 TNS INC 2.02,7.01,9.01 11/01/11 TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 11/01/11 TRANSWITCH CORP /DE DE 2.02,9.01 11/01/11 Triangle Petroleum Corp NV 5.02 11/01/11 TRIDENT MICROSYSTEMS INC DE 5.02 10/26/11 TRIMBLE NAVIGATION LTD /CA/ CA 2.02,8.01,9.01 11/01/11 TRUE RELIGION APPAREL INC DE 2.02,9.01 11/01/11 TUPPERWARE BRANDS CORP DE 8.01,9.01 11/01/11 TUPPERWARE BRANDS CORP DE 8.01,9.01 11/01/11 UDR, Inc. MD 8.01,9.01 04/01/11 AMEND Uni-Pixel DE 8.01,9.01 11/01/11 UNIFI INC NY 5.02 10/26/11 United Community Bancorp X1 8.01,9.01 10/27/11 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 09/30/11 Unum Group DE 2.02,9.01 11/01/11 US ECOLOGY, INC. DE 2.02,9.01 11/01/11 UTAH MEDICAL PRODUCTS INC UT 8.01 11/01/11 VALERO ENERGY CORP/TX DE 2.02,9.01 11/01/11 VANGUARD HEALTH SYSTEMS INC DE 2.02,7.01,9.01 10/31/11 VECTREN CORP IN 1.01,9.01 10/31/11 VECTREN CORP IN 1.01 10/31/11 Venoco, Inc. DE 2.02,9.01 11/01/11 Ventura Assets LTD CO 4.01,9.01 10/26/11 VERIFONE SYSTEMS, INC. DE 7.01 10/31/11 Verisk Analytics, Inc. DE 2.02,9.01 11/01/11 VICAL INC DE 2.02,9.01 11/01/11 VIRGINIA COMMERCE BANCORP INC 5.02,9.01 10/26/11 VISHAY INTERTECHNOLOGY INC DE 2.02,7.01,9.01 11/01/11 Vishay Precision Group, Inc. DE 2.02,9.01 11/01/11 VISTAPRINT N.V. P7 2.01,9.01 10/31/11 VOLITIONRX LTD DE 9.01 10/06/11 AMEND W&T OFFSHORE INC TX 2.02,9.01 10/31/11 WABASH NATIONAL CORP /DE DE 2.02,9.01 11/01/11 WATSON PHARMACEUTICALS INC NV 2.02,9.01 11/01/11 WebXU, Inc. DE 7.01,9.01 11/01/11 WELLS REAL ESTATE FUND IX LP GA 7.01,9.01 11/01/11 WELLS REAL ESTATE FUND VIII LP GA 7.01,9.01 11/01/11 WELLS REAL ESTATE FUND X L P GA 7.01,9.01 11/01/11 WELLS REAL ESTATE FUND XI L P GA 7.01,9.01 11/01/11 WELLS REAL ESTATE FUND XII LP GA 7.01,9.01 11/01/11 WELLS REAL ESTATE FUND XIII L P 7.01,9.01 11/01/11 WELLS REAL ESTATE FUND XIV LP GA 7.01,9.01 11/01/11 WEST COAST BANCORP /NEW/OR/ OR 5.02 10/25/11 AMEND WEST PHARMACEUTICAL SERVICES INC PA 2.02,7.01,9.01 11/01/11 Western Gas Partners LP DE 2.02,9.01 11/01/11 WESTLAKE CHEMICAL CORP 2.02,9.01 11/01/11 White River Capital Inc IN 5.02,9.01 10/26/11 WILLIAMS COMPANIES INC DE 1.01,1.02,9.01 11/01/11 Williams Partners L.P. 2.02,9.01 11/01/11 World Energy Solutions, Inc. DE 1.01,2.01,3.02,9.01 10/31/11 WORLD FUEL SERVICES CORP FL 2.02,7.01,9.01 11/01/11 WORTHINGTON INDUSTRIES INC OH 8.01 10/31/11 WRIGHT MEDICAL GROUP INC DE 2.02,9.01 11/01/11 XCel Brands, Inc. DE 5.03,9.01 10/26/11 XL GROUP PLC L2 2.02,9.01 11/01/11 ZION OIL & GAS INC DE 8.01,9.01 11/01/11 ZIPREALTY INC 2.02,9.01 11/01/11 ZOOM TECHNOLOGIES INC DE 3.02,5.02,9.01 10/26/11
http://www.sec.gov/news/digest/2011/dig110211.htm
|