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Commission AnnouncementsSEC Hosts Nationwide Shadowing Event for High School Finance StudentsThe Securities and Exchange Commission today hosted a shadowing event at its Washington D.C. headquarters and several regional offices to enable high school students studying finance to gain some firsthand knowledge about the government’s work to protect investors. The students are involved in the Academy of Finance, one of five career-themed academies that are part of the National Academy Foundation (NAF). More than 250 students are visiting SEC offices this week in Washington, Atlanta, Boston, Denver, Los Angeles, Miami, Salt Lake City, and San Francisco. They’re hearing from SEC Commissioners Elisse Walter and Troy Paredes and other SEC leaders in group discussions, and are then paired with an SEC professional to observe the workday. SEC staff members from various divisions and offices volunteered to be shadowed, and are enjoying the opportunity to explain their work and interact with America’s next generation of financial professionals. “By shadowing an SEC employee for the day, students can learn about the SEC’s mission on behalf of investors and the work that we do on a daily basis to achieve it,” said Kathy Floyd, a Deputy Director in the SEC’s Office of Investor Education and Advocacy. “We hope to pique the students’ interest as they consider their own potential career paths in the financial services industry or in public service at an agency like the SEC.” JD Hoye, President of the National Academy Foundation, added, “The National Academy Foundation provides students with experiences that allow them to see the real world applications of what they are learning in school and hone the skills necessary to excel in their careers. Through our partnership with the SEC, students gain a window into an important part of the financial industry, underscoring the relevance of their class work and exposing them to possible career paths.” The shadowing program helps the SEC meet objectives in Section 342 of the Dodd-Frank Act, which calls for federal financial regulators to seek diversity in their workforce at all levels and, where feasible, to partner with inner-city high schools, girls’ high schools, and high schools with primarily minority populations to establish or enhance financial literacy programs and provide mentoring. There are nearly 500 academies across the country in NAF’s network, more than 200 of which are Academies of Finance reaching more than 20,000 students. Academy of Finance students are taught a curriculum that covers accounting, banking, credit issues, economics, financial planning, international finance, and securities. The curriculum is complemented by work-based learning experiences such as job shadowing. Earlier this year, the SEC piloted the Student Shadowing Program at its Washington D.C. headquarters and hosted 28 high school students for the day from a local Academy of Finance in Prince George’s County, Md. The program has since expanded to the SEC’s regional offices as well. The Academy of Finance students will be returning for another shadowing day scheduled for spring 2012. (Press Rel. 2011-242) Commission MeetingsClosed Meeting on Monday, November 21, 2011 at 2:00 p.m.The subject matter of the Closed Meeting scheduled for Monday, November 21, 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 PROCEEDINGSDelinquent Filer’s Stock Registration RevokedThe registration of the registered securities of CuraTech Industries, Inc., has been revoked. It had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, it violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-65747; File No. 3-14606) Commission Revokes Registration of Securities of Avicena Group, Inc. For Failure to Make Required Periodic FilingsOn November 15, 2011, the Commission revoked the registration of each class of registered securities of Avicena Group, Inc. (Avicena Group) 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, Avicena Group 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 Avicena Group, 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 Avicena Group’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Avicena Group in In the Matter of Advanced Remote Communication Solutions, Inc., et al., Administrative Proceeding File No. 3-14608. 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 Advanced Remote Communication Solutions, Inc., et al., Administrative Proceeding File No. 3-14608, Exchange Act Release No. 65661, October 31, 2011. (Rel. 34-65748; File No. 3-14608) SEC Charges Philadelphia-Based Business Owner For Defrauding Investors Through an Offering Scheme Involving U.S. Treasury StripsThe Securities and Exchange Commission today filed a Complaint in United States District Court for the Southern District of New York charging Tyrone L. Gilliams and his company TL Gilliams, LLC with fraud for misappropriating approximately $5 million from investors through an offering scheme involving U.S. Treasury STRIPS. According to the SEC’s Complaint Gilliams and TLG, from at least June 2010 through April 2011, claimed, among other things, to have a U.S. Treasury STRIPS Trading Program. According to the Complaint, Gilliams claimed that he would pool and use investor money to engage in large purchases and sales of Treasury STRIPS and that the trading program would yield weekly returns of five percent and was virtually risk-free. U.S. Treasury STRIPS are the individual interest payment components of a United States Treasury bond, payable semi-annually over the life of the bond. These STRIPS are then separately tradeable like other securities. The term STRIPS derives from the program implemented by the Treasury to facilitate this type of trading, entitled “Separate Trading of Interest and Principal of Securities.” The Complaint further alleges that contrary to his representations about the Treasury STRIPS Trading Program, Gilliams did not invest any of the funds received from investors in any U.S. Treasury STRIPS, nor in any program that invested in U.S. Treasury STRIPS. Rather, Gilliams used the misappropriated money to support his lavish lifestyle, including expenditures on hotels, nightclubs, airfare, designer apparel, jewelry, luxury car rentals, car payments and private school tuition for his children. In addition, the Complaint alleges, Gilliams caused TLG to spend at least $765,000 to sponsor a so-called celebrity charitable event in Philadelphia that culminated in a star-studded, black-tie gala on December 18, 2010, at the Ritz Carlton in Philadelphia. In February 2011, shortly after misappropriating the $5 million, the Complaint alleges that Gilliams filed paperwork with the Commission indicated TLG’s intent to raise an “indefinite” amount of funds from investors in connection with the “Black Fox Fund,” an unregistered entity created by Gilliams. The Complaint also alleges that Gilliams has made recent efforts to raise money from investors. The Complaint further alleges that Gilliams, the architect of the fraudulent scheme, used a series of middlemen who had access to investors or who controlled investment funds themselves. Gilliams promised the middlemen varying finder fees, and Gilliams paid some of the middlemen from the $5 million he ultimately obtained. Gilliams provided the middlemen and potential investors detailed information about his own experience trading Treasury STRIPS and his purported Treasury STRIPS Trading Program, including information regarding investment minimums, the expected trading frequency, and the expected rate of returns. According to the Complaint, nearly all of this information was false. The SEC’s Complaint charges Gilliams and TLG with violating Section 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 SEC seeks injunctive relief, disgorgement, prejudgment interest and civil monetary penalties. The U.S. Attorney’s Office for the Southern District of New York today filed an indictment charging Gilliams with wire fraud and securities fraud. The Commission would like to thank the U.S. Attorney’s Office for the Southern District of New York and the Federal Bureau of Investigation for their assistance in this matter. The SEC’s investigation is continuing. [SEC v. Tyrone L. Gilliams, Jr. and TL Gilliams, LLC; Civil Action No. 11-CV-8201 (S.D.N.Y.)] (LR-22152) SEC Obtains Final Judgments on Consent Against Mark Anthony Longoria and Donald LongueuilThe SEC announced that the Honorable Jed S. Rakoff, United States District Judge, United States District Court for the Southern District of New York, entered a Final Judgment on Consent as to Mark Anthony Longoria on November 9, 2011, and a Final Judgment on Consent as to Donald Longueuil on September 12, 2011, in the SEC’s insider trading case, SEC v. Mark Anthony Longoria, et al., 11-CV-0753 (SDNY) (JSR). The SEC filed its Complaint on February 3, 2011, charging two expert network employees and four consultants with insider trading for illegally tipping hedge funds and other investors. On February 8, 2011, the SEC filed an Amended Complaint, charging a New York-based hedge fund and four hedge fund portfolio managers and analysts who illegally traded on confidential information obtained from technology company employees moonlighting as expert network consultants. The scheme netted more than $30 million from trades based on material, nonpublic information about such companies as Advanced Micro Devices (“AMD”), Seagate Technology, Western Digital, Fairchild Semiconductor, and Marvell Technology Group Ltd. (“Marvell”). The charges were the first against traders in the SEC's ongoing investigation of insider trading involving expert networks. The SEC alleged that Longoria, a Supply Chain Manager at AMD, was privy to confidential information about AMD’s internal sales figures for the company’s various operational units. In addition, in at least 2009, Longoria paid a friend who worked in AMD’s finance department to provide him with “top line” quarterly revenue and profit margin information prior to the company’s release of such information in quarterly financial announcements. From 2006 to 2010, Longoria regularly provided Primary Global Research LLC (“PGR”) and PGR clients with this inside information so it could be used to trade securities. Longoria received a total of $178,850 for talking to PGR and its clients. The Final Judgment entered against Longoria: (1) permanently enjoins him from violations of Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”), Exchange Act Rule 10b-5, and Section 17(a) of the Securities Act of 1933; (2) orders him liable for disgorgement of ill-gotten gains of $178,850, together with prejudgment interest of $18,328.94, for a total of $197,178.94; and (3) permanently bars him from acting as an officer or director of a public company. Based on Longoria’s agreement to cooperate with the SEC, the Commission did not seek a civil penalty. With respect to Longueuil, the SEC alleged that in May 2008, while Longueil was working as a managing director at Empire Capital Management LLC (“Empire Capital”), Longueuil received material nonpublic information regarding an earnings report about to be issued by Marvell. Longueuil received this information from co-defendant Noah Freeman, who had received the information from co-defendant Winifred Jiau, a paid consultant at PGR. Jiau herself had received the information from a Marvell employee. After receiving the material nonpublic information, Longueuil caused Empire Capital to purchase more than 800,000 shares of Marvell stock. Days later, when Marvell announced better-than-expected quarterly results, Empire reaped a total of more than $2.5 million in profits. The Final Judgment entered against Longueuil: (1) permanently enjoins him from violations of Section 10(b) of the Exchange Act and Exchange Act Rule 10b-5; and (2) orders him to pay disgorgement in the amount of $250,000, plus prejudgment interest in the amount of $102,832.60, for a total of $352,832.60. Based on Longueuil’s agreement to cooperate with the SEC, the Commission did not seek a civil penalty. In addition, on September 27, 2011, the Commission issued an order on consent in a related administrative proceeding that bars Longueuil from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. [SEC v. Mark Anthony Longoria, et al., Civil Action No. 11-CV- 0753 (SDNY) (JSR)] (LR-22153) In the Matter of LeadDog Capital Markets, LLC, Chris Messalas and Joseph LaRocco, Esq.On Nov. 15, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 (Securities Act), Sections 15(b) and 21C of the Securities Exchange Act of 1934 (Exchange Act), Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 (Advisers Act), Section 9(b) of the Investment Company Act of 1940, and Rule 102(e) of the Securities and Exchange Commission’s Rules of Practice (Order) against LeadDog Capital Markets, LLC, (LeadDog), Chris Messalas (Messalas) and Joseph LaRocco, Esq. (LaRocco) (collectively, Respondents). According to the Order, the Division of Enforcement (Division), following an investigation, alleges that LeadDog, an unregistered investment adviser, and its general partners and owners, Messalas and LaRocco, induced investors to invest in a hedge fund they controlled through material misrepresentations and omissions. The Respondents, acting deliberately or recklessly, allegedly made misrepresentations and omissions of material fact concerning, among other things: (i) Messalas’ negative regulatory history as a securities professional; (ii) Compensation received by Messalas and LaRocco in connection with the fund’s investments; and (iii) Messalas’ substantial ownership interest in, and control of, some of the same companies to which he directed fund investments. In addition, the Respondents misrepresented to, or concealed from, investors the substantial conflicts of interests and related party transactions that characterized the fund’s illiquid investments. The Division also alleges that, to induce one elderly investor to invest in the fund, Respondents represented falsely that at least half of the fund’s assets were liquid and could be marked to market each day, that LeadDog would value other fund assets in conformity with generally accepted accounting principles, and that the investor could exit the fund at any time. The Division alleges that the Respondents willfully violated Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder; Messalas and LaRocco willfully aided and abetted and caused LeadDog’s violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder; LeadDog and Messalas willfully violated Section 206(4) of the Advisers Act and Rule 206(4)-8 thereunder; Messalas aided and abetted LeadDog’s violations of Section 206(4) of the Advisers Act and Rule 206(4)-8 thereunder; and LaRocco aided and abetted LeadDog’s and Messalas’ violations of Section 206(4) of the Advisers Act and Rule 206(4)-8 thereunder. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to afford the Respondents an opportunity to establish defenses to the allegations, and to determine whether remedial action is appropriate and in the public interest. The Commission ordered the Administrative Law Judge in this proceeding to issue an initial decision within 300 days from the date of service of the Order. (Rels. 33-9277; 34-65750; IA-3314; IC-29861; File No. 3-14623) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the Financial Industry Regulatory Authority, Inc. to update Rule cross-references within certain FINRA Rules (SR-FINRA-2011-065) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. Publication is expected in the Federal Register during the week of November 14. (Rel. 34-65722) A proposed rule change filed by Chicago Board Options Exchange, Incorporated to provide a limited extension to the compliance deadline for registration and qualification pursuant to Rule 3.6A (SR-CBOE-2011-106) 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 November 14. (Rel. 34-65732) A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. (SR-FINRA-2011-066) relating the Order Audit Trail System definitions of Index Arbitrage Trade and Program Trade 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 November 14. (Rel. 34-65737) Proposed Rule ChangeNew York Stock Exchange LLC has filed a proposed rule change (SR-NYSE-2011-56) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to codify certain traditional Trading Floor functions that may be performed by Designated Market Makers. Publication is expected in the Federal Register during the week of November 14. (Rel. 34-65736) SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-1 BioAmber Inc., 3850 ANNAPOLIS LANE NORTH, SUITE 180, PLYMOUTH, MN, 55447-5476, 612-747-4423 - 0 ($150,000,000.00) Equity, (File 333-177917 - Nov. 14) (BR. ) S-1 Eurocan Holdings Ltd., 1 UNION SQUARE WEST, SUITE 610, NEW YORK, NY, 10003, 212-419-4924 - 5,000,000 ($50,000.00) Equity, (File 333-177918 - Nov. 14) (BR. ) S-8 SEQUANS COMMUNICATIONS, 19 LE PARVIS, BATIMENT CITICENTER, PARIS LA DEFENSE, I0, 92073, 0170721600 - 4,018,948 ($22,659,158.20) Equity, (File 333-177919 - Nov. 14) (BR. 10C) S-8 MGIC INVESTMENT CORP, 250 EAST KILBOURN AVENUE, MILWAUKEE, WI, 53202, 4143476480 - 1,000,000 ($3,090,000.00) Equity, (File 333-177920 - Nov. 14) (BR. 01A) S-1 Platinum Studios, Inc., 11400 W. OLYMPIC BOULEVARD, SUITE 1400, LOS ANGELES, CA, 90064, (301) 807-8100 - 98,000,000 ($431,200.00) Equity, (File 333-177921 - Nov. 14) (BR. 05C) S-3ASR JPMORGAN CHASE & CO, 270 PARK AVE, 38TH FL, NEW YORK, NY, 10017, 2122706000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-177923 - Nov. 14) (BR. 12A) S-3ASR CLOROX CO /DE/, THE CLOROX COMPANY, 1221 BROADWAY, OAKLAND, CA, 94612-1888, 5102717000 - 0 ($0.00) Debt, (File 333-177931 - Nov. 14) (BR. 06C) S-B QUEBEC, 12 ST-LOUIS ST, MINISTERE DES FINANCES, QUEBEC QC CANADA GIR 5L3, A8, 00000, 0 ($2,370,662,657.25) Non-Convertible Debt, (File 333-177932 - Nov. 14) (BR. DN) S-1 PBF Energy Inc., 1 SYLVAN WAY, PARSIPPANY, NJ, 07054, 973-455-7500 - 0 ($100,000,000.00) Equity, (File 333-177933 - Nov. 14) (BR. ) S-8 FIRST MARBLEHEAD CORP, 800 BOYLSTON ST., 34TH FLOOR, BOSTON, MA, 02199-8157, 617 638-2000 - 11,406,698 ($9,809,760.28) Equity, (File 333-177935 - Nov. 14) (BR. 07B) S-8 Niska Gas Storage Partners LLC, 1001 FANNIN STREET, SUITE 2500, HOUSTON, TX, 77002, (281) 404-1890 - 0 ($37,482,692.00) Equity, (File 333-177936 - Nov. 14) (BR. 02A) S-8 ZUOAN FASHION LTD, ROOM 213 TO 215 BLOCK 8, NO 1150 LUOCHUAN MIDDLE ROAD, SHANGHAI 200072, F4, 00000, 86 21-5653-5557 - 0 ($2,844,185.00) Unallocated (Universal) Shelf, (File 333-177937 - Nov. 14) (BR. 09) S-3 RODMAN & RENSHAW CAPITAL GROUP, INC., 1251 AVENUE OF THE AMERICAS, 20TH FLOOR, NEW YORK, NY, 10020, 2123560500 - 8,866,667 ($13,300,000.00) Equity, (File 333-177945 - Nov. 14) (BR. 12A) S-1 CLEARSIGN COMBUSTION CORP, 3125 EAST LAURELHURST DRIVE NE, SEATTLE, WA, 98105, 206-522-7898 - 0 ($28,983,880.00) Debt, (File 333-177946 - Nov. 14) (BR. ) S-3ASR MONSANTO CO /NEW/, 800 N LINDBERGH BLVD, ST LOUIS, MO, 63167, 3146941000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-177947 - Nov. 14) (BR. 05B) S-8 PUBLIX SUPER MARKETS INC, 3300 PUBLIX CORPORATE PARKWAY, LAKELAND, FL, 33811, 863-688-1188 - 100,000,000 ($2,020,000,000.00) Equity, (File 333-177948 - Nov. 14) (BR. 02C) S-3ASR NATIONAL RURAL UTILITIES COOPERATIVE FINANCE CORP /DC/, 20701 COOPERATIVE WAY, DULLES, VA, 20166-6691, 7034671800 - 0 ($0.00) Debt, (File 333-177949 - Nov. 14) (BR. 07A) F-3 CELESTICA INC, 844 DON MILLS ROAD, TORONTO, A6, MC3 1V7, 416-448-5800 - 0 ($1.00) Other, (File 333-177950 - Nov. 14) (BR. 03A) S-3 BLUEFLY INC, 42 WEST 39TH ST, NEW YORK, NY, 10018, 2129448000 - 3,666,665 ($8,213,330.00) Equity, (File 333-177951 - Nov. 14) (BR. 02B) S-8 ADEPT TECHNOLOGY INC, 5960 INGLEWOOD DRIVE, PLEASANTON, CA, 94588, 9252453400 - 0 ($2,148,653.00) Equity, (File 333-177952 - Nov. 14) (BR. 10A) S-1 TMG ENERGY CORP, C/O FLEMING PLLC, 49 FRONT STREET, STE 206, ROCKVILLE CENTRE, NY, 11570, 917 881 8040 - 20,052,883 ($1,022,697.04) Equity, (File 333-177953 - Nov. 14) (BR. ) S-8 AEHR TEST SYSTEMS, 400 KATO TERRACE, FREMONT, CA, 94539, 5106239400 - 1,549,344 ($1,333,416.16) Equity, (File 333-177954 - Nov. 14) (BR. 10A) N-2 FIRST TRUST STRATEGIC ALLOCATION FUND, 120 EAST LIBERTY STREET, SUITE 400, WHEATON, IL, 60187, 630-765-8000 - 1,000 ($20,000.00) Equity, (File 333-177955 - Nov. 14) (BR. ) N-2 FIRST TRUST GLOBAL RESOURCE SOLUTION FUND, 120 EAST LIBERTY STREET, SUITE 400, WHEATON, IL, 60187, 630-765-8000 - 1,000 ($25,000.00) Equity, (File 333-177956 - Nov. 14) (BR. ) S-8 Rentech Nitrogen Partners, L.P., 10877 WILSHIRE BOULEVARD, SUITE 600, LOS ANGELES, CA, 90024, 310-571-9800 - 0 ($77,360,625.00) Equity, (File 333-177957 - Nov. 14) (BR. 05C) S-4 EAGLE ROCK ENERGY PARTNERS L P, THE WEDGE TOWER, 1415 LOUISIANA STREET, SUITE 2700, HOUSTON, TX, 77002, 281-408-1200 - 0 ($300,000,000.00) Debt, (File 333-177958 - Nov. 14) (BR. 04B) N-2 Permal Hedge Strategies Fund, 55 WATER STREET, FLOOR 32, NEW YORK, NY, 10041, 888-777-0102 - 0 ($1,000,000.00) Equity, (File 333-177961 - Nov. 14) (BR. ) S-1 Opko Health, Inc., 4400 BISCAYNE BLVD., SUITE 900, MIAMI, FL, 33137, 305-575-6015 - 4,494,380 ($23,191,000.00) Equity, (File 333-177962 - Nov. 14) (BR. 10B) S-11 Jones Lang LaSalle Income Property Trust, Inc., 200 EAST RANDOLPH DRIVE, CHICAGO, IL, 60601, 312-782-5800 - 0 ($3,000,000,000.00) Equity, (File 333-177963 - Nov. 14) (BR. 08B) S-3 OYO GEOSPACE CORP, 7007 PINEMONT DR., HOUSTON, TX, 77040, 7139864444 - 1,290,950 ($103,185,633.50) Equity, (File 333-177964 - Nov. 14) (BR. 10B) S-3 MITEK SYSTEMS INC, 8911 BALBOA AVE., SUITE B, SAN DIEGO, CA, 92123, 858-503-7810 - 0 ($106,728,000.00) Unallocated (Universal) Shelf, (File 333-177965 - Nov. 14) (BR. 03A) S-1 Midstates Petroleum Company, Inc., 4400 POST OAK PARKWAY, SUITE 1900, HOUSTON, TX, 77027, 713-595-9400 - 0 ($400,000,000.00) Equity, (File 333-177966 - Nov. 14) (BR. ) S-3 Aegerion Pharmaceuticals, Inc., 1140 ROUTE 22 EAST, SUITE 304, BRIDGEWATER, NJ, 08807, (908) 704-1300 - 0 ($125,000,000.00) Unallocated (Universal) Shelf, (File 333-177967 - Nov. 14) (BR. 01A) S-8 COMPLETE GENOMICS INC, 2071 STIERLIN COURT, MOUNTAIN VIEW, CA, 94043, (650) 943-2843 - 1,555,357 ($7,045,767.21) Equity, (File 333-177968 - Nov. 14) (BR. 01B) S-8 PDI INC, MORRIS CORPORATE CENTER 1, BUILDING A, 300 INTERPACE PARKWAY, PARSIPPANY, NJ, 07054, 8622077800 - 3,030,694 ($21,017,863.00) Equity, (File 333-177969 - Nov. 14) (BR. 03A) S-8 NeurogesX Inc, 2215 BRIDGEPOINTE PARKWAY, SUITE 200, SAN MATEO, CA, 94404, 650-358-3300 - 1,000,000 ($1,200,000.00) Equity, (File 333-177970 - Nov. 14) (BR. 01A) S-1 NBH Holdings Corp., 101 FEDERAL STREET, SUITE 1900, BOSTON, MA, 02110, 617-342-7000 - 0 ($250,000,000.00) Equity, (File 333-177971 - Nov. 14) (BR. ) S-1 Applied Medical Corp, 22872 AVENIDA EMPRESA, RANCHO SANTA MARGARITA, CA, 92688, (949) 713-8000 - 0 ($95,829,975.12) Equity, (File 333-177972 - Nov. 14) (BR. ) S-8 MEMSIC Inc, 800 Turnpike Street, North Andover, MA, 01845, 9787380900 - 1,250,000 ($3,831,250.00) Equity, (File 333-177974 - Nov. 14) (BR. 10B) S-3ASR OLD REPUBLIC INTERNATIONAL CORP, 307 N MICHIGAN AVE, CHICAGO, IL, 60601, 3123468100 - 1,000,000 ($8,420,000.00) Equity, (File 333-177975 - Nov. 14) (BR. 01B) S-8 NEUSTAR INC, 21575 RIDGETOP CIRCLE, STERLING, VA, 20166, 571-434-5400 - 0 ($681,091.64) Equity, (File 333-177976 - Nov. 14) (BR. 11A) S-8 LEVEL 3 COMMUNICATIONS INC, 1025 ELDORADO BOULEVARD, BLDG 2000, BROOMFIELD, CO, 80021, 7208881000 - 0 ($227,924,042.96) Equity, (File 333-177977 - Nov. 14) (BR. 11C) S-8 NEUSTAR INC, 21575 RIDGETOP CIRCLE, STERLING, VA, 20166, 571-434-5400 - 961,646 ($31,407,358.36) Equity, (File 333-177978 - Nov. 14) (BR. 11A) S-8 NEUSTAR INC, 21575 RIDGETOP CIRCLE, STERLING, VA, 20166, 571-434-5400 - 355,825 ($11,621,244.50) Equity, (File 333-177979 - Nov. 14) (BR. 11A) S-8 AxoGen, Inc., 13859 PROGRESS BLVD., SUITE 100, ALACHUA, FL, 32615, (386) 462-6817 - 2,300,000 ($6,394,000.00) Equity, (File 333-177980 - Nov. 14) (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 AARON'S INC GA 5.02,7.01,9.01 11/07/11 AASTROM BIOSCIENCES INC MI 7.01,8.01,9.01 11/14/11 ABAKAN, INC NV 2.01,5.06,7.01,9.01 07/13/11 AMEND Acadia Healthcare Company, Inc. DE 2.02,9.01 11/14/11 ACI WORLDWIDE, INC. DE 1.01,2.03,9.01 11/14/11 ADEONA PHARMACEUTICALS, INC. DE 2.02,9.01 11/14/11 ADINO ENERGY CORP MT 2.01,5.03,8.01,9.01 11/03/11 ADVENTRX PHARMACEUTICALS INC DE 1.01,8.01,9.01 11/11/11 Aegion Corp DE 5.02,9.01 11/10/11 AeroGrow International, Inc. NV 2.02,7.01,9.01 11/14/11 AES CORP DE 2.05,2.06,7.01 11/07/11 Affinity Gaming, LLC NV 2.02,9.01 11/14/11 AG Mortgage Investment Trust, Inc. MD 2.02,9.01 11/14/11 AGENT155 MEDIA CORP. NV 3.02 11/01/11 AGY Holding Corp. DE 2.02,9.01 11/11/11 AIR LEASE CORP DE 8.01,9.01 11/14/11 ALIMERA SCIENCES INC DE 7.01,9.01 11/11/11 Ally Auto Receivables Trust 2011-5 DE 1.01,8.01,9.01 11/09/11 AMERICAN LOCKER GROUP INC DE 1.01,9.01 11/10/11 American Mining Corp NV 4.01 11/08/11 American Mining Corp NV 1.01,1.02,2.01,5.01, 11/08/11 9.01 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 2.02,9.01 11/14/11 American Realty Capital Properties, I MD 7.01,9.01 11/11/11 American Realty Capital Properties, I MD 2.02,7.01,9.01 11/14/11 American Realty Capital Properties, I MD 1.01 11/07/11 AMERICAN SHARED HOSPITAL SERVICES CA 2.02,9.01 11/14/11 AMERIGROUP CORP 1.01,8.01,9.01 11/10/11 AMERISOURCEBERGEN CORP DE 1.01,2.03,8.01,9.01 11/14/11 AMERITRANS CAPITAL CORP DE 3.01 11/08/11 AMICO GAMES CORP. NV 1.01,5.07,9.01 11/08/11 AMSCAN HOLDINGS INC DE 8.01,9.01 11/14/11 ANADIGICS INC DE 5.02,9.01 11/14/11 ANCHOR BANCORP WISCONSIN INC WI 3.01 11/10/11 Apple REIT Ten, Inc. VA 2.01 11/10/11 ARADIGM CORP CA 2.02,9.01 11/10/11 ARCA biopharma, Inc. DE 8.01,9.01 11/11/11 Armour Residential REIT, Inc. MD 7.01,9.01 11/14/11 AROTECH CORP DE 2.02,9.01 11/14/11 ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 2.02,9.01 11/14/11 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 11/14/11 ASSET ACCEPTANCE CAPITAL CORP 1.01,2.03,9.01 11/14/11 ASTEA INTERNATIONAL INC DE 2.02,9.01 11/14/11 ATHERSYS, INC / NEW DE 1.01,3.02,9.01 11/11/11 ATHERSYS, INC / NEW DE 1.01,1.02,2.02,9.01 11/11/11 ATLANTIC POWER CORP A1 2.02,9.01 11/11/11 AUBURN NATIONAL BANCORPORATION, INC DE 8.01,9.01 11/08/11 AURORA DIAGNOSTICS HOLDINGS LLC 8.01,9.01 11/14/11 AUTOBYTEL INC DE 2.02,9.01 11/10/11 AUTONATION, INC. DE 5.02,9.01 11/09/11 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 11/14/11 AUXILIUM PHARMACEUTICALS INC 5.07 11/11/11 AMEND AVIV REIT, INC. MD 2.02,9.01 11/14/11 AXIAL VECTOR ENGINE CORP NV 5.02 11/14/11 AXION INTERNATIONAL HOLDINGS, INC. CO 2.02,9.01 11/14/11 AxoGen, Inc. MN 4.01,9.01 09/30/11 AMEND Babcock & Wilcox Co DE 5.02,9.01 11/11/11 BADGER METER INC WI 8.01,9.01 11/11/11 BAKKEN RESOURCES INC 5.02 11/10/11 BANK OF AMERICA CORP /DE/ DE 8.01,9.01 11/14/11 Banks.com, Inc. FL 2.02,9.01 11/14/11 BARD C R INC /NJ/ NJ 8.01 11/10/11 BFC FINANCIAL CORP FL 1.01,7.01,9.01 11/11/11 BIOCRYST PHARMACEUTICALS INC DE 1.01 11/11/11 BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 11/14/11 BioMed Realty Trust Inc MD 7.01 11/14/11 BIOTIME INC CA 7.01,9.01 11/14/11 BIRNER DENTAL MANAGEMENT SERVICES INC CO 2.02,9.01 11/14/11 Blink Couture Inc. DE 1.01,9.01 11/10/11 BLONDER TONGUE LABORATORIES INC DE 2.02,9.01 11/14/11 BLUEGREEN CORP MA 1.01,7.01,9.01 11/11/11 BOEING CAPITAL CORP DE 1.01,2.03,9.01 11/10/11 BOEING CO DE 1.01,2.03,9.01 11/10/11 BofI Holding, Inc. DE 1.01,7.01 11/14/11 BOND LABORATORIES, INC. NV 2.02,9.01 11/14/11 BRINKS CO VA 5.02,5.03,9.01 11/13/11 BROOKS AUTOMATION INC DE 5.02 11/08/11 CABOT MICROELECTRONICS CORP DE 8.01,9.01 11/14/11 CADUCEUS SOFTWARE SYSTEMS CORP. NV 1.01,3.02,9.01 11/04/11 CALAVO GROWERS INC CA 1.01,2.03,9.01 11/11/11 CALIFORNIA WATER SERVICE GROUP DE 5.07 05/24/11 AMEND CAMBIUM LEARNING GROUP, INC. 2.02,9.01 11/08/11 CAMBRIDGE HEART INC DE 2.02,9.01 11/14/11 CANANDAIGUA NATIONAL CORP NY 7.01,9.01 11/14/11 CANTERBURY PARK HOLDING CORP MN 2.02,9.01 11/11/11 Capella Healthcare, Inc. DE 2.02,7.01,9.01 11/11/11 CAREER EDUCATION CORP DE 8.01,9.01 11/14/11 CAREER EDUCATION CORP DE 8.01,9.01 11/11/11 CarePayment Technologies, Inc. OR 5.02 11/07/11 CARMAX AUTO FUNDING LLC DE 8.01,9.01 11/10/11 CARROLS RESTAURANT GROUP, INC. 5.02 07/21/11 CASCADE BANCORP OR 2.02,9.01 11/14/11 CATALYST HEALTH SOLUTIONS, INC. DE 5.02,9.01 11/10/11 CDSI HOLDINGS INC DE 2.01,9.01 11/04/11 AMEND CELADON GROUP INC DE 5.02 10/25/11 CENTERLINE HOLDING CO DE 2.02,9.01 11/14/11 Cereplast Inc NV 1.01,7.01,9.01 11/10/11 CHEMUNG FINANCIAL CORP NY 2.02,9.01 11/14/11 CHENIERE ENERGY INC DE 1.01,8.01,9.01 11/11/11 Cheniere Energy Partners, L.P. DE 1.01,8.01,9.01 11/11/11 Chesapeake Lodging Trust MD 7.01,9.01 11/14/11 CHICAGO RIVET & MACHINE CO IL 2.02,9.01 11/08/11 CHIMERA INVESTMENT CORP DE 7.01,9.01 11/14/11 CHINA HEALTH RESOURCE, INC. DE 1.01 11/08/11 CHINA JO-JO DRUGSTORES, INC. 2.02,9.01 11/14/11 China Marketing Media Holdings, Inc. TX 4.01,9.01 10/19/11 AMEND China Nutrifruit Group LTD NV 2.02,7.01,9.01 11/14/11 China TransInfo Technology Corp. NV 2.02,7.01,9.01 11/14/11 ChinaNet Online Holdings, Inc. NV 2.02,9.01 11/10/11 CIFC Corp. DE 2.02,9.01 11/14/11 CIGNA CORP DE 1.01,9.01 11/10/11 CIT GROUP INC DE 8.01,9.01 11/14/11 CITIZENS BANCSHARES CORP /GA/ GA 2.02,9.01 11/14/11 CITY HOLDING CO WV 1.01,8.01,9.01 11/14/11 CLAIRES STORES INC DE 2.02,9.01 11/14/11 Cleantech Solutions International, In DE 7.01,9.01 11/09/11 CNB FINANCIAL CORP/PA PA 5.02,9.01 11/08/11 CODORUS VALLEY BANCORP INC PA 5.02,9.01 11/08/11 Colfax CORP DE 7.01,9.01 11/14/11 COMMERCETEL CORP NV 1.01,3.02,9.01 11/09/11 COMMUNITY FINANCIAL CORP /VA/ VA 2.02,9.01 11/14/11 Computer Software Innovations, Inc. DE 2.02,9.01 11/14/11 COMTECH TELECOMMUNICATIONS CORP /DE/ DE 5.02,8.01,9.01 11/14/11 Conmed Healthcare Management, Inc. DE 2.02,9.01 11/14/11 CONOCOPHILLIPS DE 5.02 11/10/11 CONSTELLATION ENERGY GROUP INC MD 8.01 11/14/11 Constellation Energy Partners LLC DE 7.01,8.01,9.01 11/10/11 Cooper-Standard Holdings Inc. DE 2.02,9.01 11/11/11 CoroWare, Inc, DE 4.01 11/09/11 AMEND CORPORATE PROPERTY ASSOCIATES 15 INC MD 7.01,9.01 11/14/11 Corporate Property Associates 17 - Gl MD 8.01,9.01 11/14/11 CORTEX PHARMACEUTICALS INC/DE/ DE 2.02,9.01 11/14/11 COVER ALL TECHNOLOGIES INC DE 2.02,9.01 11/10/11 AMEND CPS TECHNOLOGIES CORP/DE/ DE 2.02 11/10/11 CRAY INC WA 7.01,9.01 11/14/11 CRIMSON EXPLORATION INC. 7.01,9.01 11/10/11 CSB BANCORP INC /OH OH 5.02 11/10/11 CTI INDUSTRIES CORP DE 2.02,9.01 11/14/11 CUMULUS MEDIA INC DE 2.02,9.01 11/14/11 Cyber Informatix, Inc. NV 4.01,9.01 11/14/11 Cyclacel Pharmaceuticals, Inc. DE 2.02,9.01 11/14/11 DAYSTAR TECHNOLOGIES INC DE 2.02,5.02,9.01 11/10/11 DCP Midstream Partners, LP DE 1.01,1.02,2.03,7.01, 11/10/11 9.01 DEL TORO SILVER CORP. NV 7.01,9.01 11/14/11 DELTA APPAREL, INC GA 5.07 11/10/11 Delta Tucker Holdings, Inc. DE 2.02,9.01 11/14/11 DELTEK, INC DE 8.01,9.01 11/14/11 Desert Gateway, Inc. OK 5.03 11/08/11 DFC GLOBAL CORP. DE 5.02,9.01 11/14/11 DIEBOLD INC OH 5.02 11/07/11 DILLARDS INC DE 2.02,9.01 11/11/11 DineEquity, Inc DE 7.01,9.01 11/14/11 DIODES INC /DEL/ DE 2.02,7.01,9.01 11/08/11 DOCUMENT SECURITY SYSTEMS INC NY 2.02,4.02,9.01 11/10/11 Dolby Laboratories, Inc. DE 5.02,9.01 11/07/11 DOW CHEMICAL CO /DE/ DE 8.01,9.01 11/04/11 DPL INC OH 8.01,9.01 11/08/11 DREAMS INC UT 2.02,9.01 11/14/11 DUKE REALTY CORP IN 7.01,9.01 11/14/11 DUKE REALTY LIMITED PARTNERSHIP/ IN 7.01,9.01 11/14/11 DUNE ENERGY INC DE 8.01,9.01 11/10/11 DYNEGY INC. DE 2.02,7.01,9.01 11/14/11 EAGLE ROCK ENERGY PARTNERS L P DE 8.01,9.01 11/14/11 ECOLAB INC DE 8.01 10/31/11 EDIETS COM INC DE 2.02,9.01 11/14/11 EGAIN COMMUNICATIONS CORP DE 5.07 11/11/11 eLayaway, Inc. DE 5.02 11/08/11 ELECTRO SCIENTIFIC INDUSTRIES INC OR 5.07 08/11/11 AMEND ELECTRONIC SYSTEMS TECHNOLOGY INC WA 8.01,9.01 11/11/11 ELIZABETH ARDEN INC FL 5.07 11/09/11 ELLIE MAE INC DE 5.02,7.01,9.01 11/11/11 EMAGIN CORP DE 2.02,9.01 11/10/11 Emergent BioSolutions Inc. DE 5.02,9.01 11/07/11 EMERSON RADIO CORP DE 2.02,9.01 11/14/11 EMISPHERE TECHNOLOGIES INC DE 7.01,9.01 11/14/11 EMMIS COMMUNICATIONS CORP IN 1.01,8.01 11/10/11 EMPIRE ENERGY CORP UT 8.01,9.01 11/10/11 Emrise CORP DE 2.02,7.01,9.01 11/14/11 ENDO PHARMACEUTICALS HOLDINGS INC DE 8.01 11/11/11 ENERGY CONVERSION DEVICES INC DE 2.02,9.01 11/14/11 ENERGY INCOME & GROWTH FUND 7.01,9.01 11/14/11 Energy Recovery, Inc. DE 7.01,9.01 11/14/11 ENTERCOM COMMUNICATIONS CORP PA 7.01,9.01 11/14/11 ENTREMED INC DE 2.02,9.01 11/14/11 EnviroStar, Inc. DE 2.02,5.07,8.01,9.01 11/11/11 EPOCRATES INC DE 7.01 11/09/11 ESCALADE INC IN 8.01,9.01 11/09/11 EV Energy Partners, LP DE 7.01,8.01,9.01 11/08/11 Evercore Partners Inc. DE 1.01,7.01,9.01 11/11/11 EVERGREEN ENERGY INC DE 5.02,9.01 11/13/11 EVOLUTION PETROLEUM CORP NV 2.02,9.01 11/11/11 EXELON CORP PA 8.01 11/14/11 EXPRESS SCRIPTS INC DE 7.01,9.01 11/14/11 Feihe International Inc UT 2.02,9.01 11/14/11 FERRO CORP OH 7.01,9.01 11/11/11 Fifth Street Finance Corp DE 2.02,9.01 11/14/11 First American Silver Corp. NV 7.01,9.01 11/10/11 FIRST BANCSHARES INC /MO/ MO 2.02,9.01 11/14/11 FIRST MARBLEHEAD CORP 1.01,2.01,8.01,9.01 11/14/11 FIRST PACTRUST BANCORP INC MD 8.01,9.01 11/14/11 First Trinity Financial CORP 8.01,9.01 11/10/11 Forbes Energy Services Ltd. D0 8.01,9.01 11/08/11 FOREVER VALUABLE COLLECTIBLES, INC. CO 4.01 11/14/11 Fortegra Financial Corp DE 2.02 11/10/11 FREDS INC TN 5.07 08/22/11 AMEND FRONTIER COMMUNICATIONS CORP DE 7.01,9.01 11/14/11 FS Energy & Power Fund DE 2.02,3.03,9.01 11/08/11 FS Investment CORP MD 2.02,3.03,5.02,9.01 11/08/11 FUEL DOCTOR HOLDINGS, INC. DE 1.01,2.01,3.02,3.03, 08/24/11 AMEND 5.01,5.02,5.06,9.01 GAIN Capital Holdings, Inc. DE 5.02,9.01 11/14/11 Galena Biopharma, Inc. 2.02,9.01 11/14/11 GALLAGHER ARTHUR J & CO DE 8.01,9.01 11/14/11 GEN PROBE INC DE 5.02 11/07/11 General Maritime Corp / MI 1.01 11/10/11 GENESCO INC TN 5.07 06/22/11 AMEND GERON CORP DE 2.05,5.02,8.01 11/11/11 GERON CORP DE 1.02 11/14/11 GETTY REALTY CORP /MD/ MD 5.03,9.01 11/10/11 GIGA TRONICS INC CA 1.01,3.02,3.03,5.01, 11/08/11 5.02,5.03,9.01 Global Entertainment Holdings, Inc. NV 4.01,9.01 11/14/11 GLOBAL PAYMENTS INC GA 5.07 11/14/11 AMEND Global Pharm Holdings Group, Inc. DE 9.01 08/03/11 AMEND GLOBAL POWER EQUIPMENT GROUP INC. DE 2.02,9.01 11/14/11 Golden Minerals Co 2.02,9.01 11/14/11 GOLDMAN SACHS GROUP INC DE 9.01 11/14/11 GOODYEAR TIRE & RUBBER CO /OH/ OH 5.02,9.01 11/08/11 GRAFTECH INTERNATIONAL LTD DE 8.01 11/10/11 GREAT ATLANTIC & PACIFIC TEA CO INC MD 7.01,9.01 11/11/11 Greektown Superholdings, Inc. DE 2.02,9.01 11/14/11 GREEN BANKSHARES, INC. TN 2.02,9.01 11/14/11 GREEN ENERGY GROUP INC. FL 4.01,9.01 11/14/11 Green Plains Renewable Energy, Inc. IA 7.01,9.01 11/10/11 GREER BANCSHARES INC SC 7.01,9.01 11/11/11 GROUP 1 AUTOMOTIVE INC DE 7.01,8.01,9.01 11/10/11 Grubb & Ellis Healthcare REIT II, Inc MD 7.01,9.01 11/14/11 GRYPHON GOLD CORP NV 7.01,9.01 11/14/11 GULF RESOURCES, INC. DE 2.02,8.01,9.01 11/14/11 GULFPORT ENERGY CORP DE 5.07 06/16/11 AMEND GXS Worldwide, Inc. DE 2.02,9.01 11/14/11 HALLIBURTON CO DE 1.01,9.01 11/08/11 HALLMARK FINANCIAL SERVICES INC NV 7.01,9.01 11/11/11 HANDY & HARMAN LTD. DE 2.02,9.01 11/10/11 HANMI FINANCIAL CORP DE 8.01,9.01 11/14/11 HARDWIRED INTERACTIVE, INC. NV 1.01,2.01,3.02,4.01, 11/03/11 5.01,5.02,5.06,9.01 HAWTHORN BANCSHARES, INC. MO 2.02,9.01 11/10/11 HAWTHORN BANCSHARES, INC. MO 8.01 11/10/11 HEALTH CARE REIT INC /DE/ DE 8.01 11/14/11 HEALTHCARE TRUST OF AMERICA, INC. MD 2.02,9.01 11/14/11 HEALTHSTREAM INC TN 8.01,9.01 11/14/11 Heckmann CORP 8.01 11/09/11 HESKA CORP DE 2.02,9.01 09/30/11 HIGHLANDS BANKSHARES INC /WV/ WV 2.02,9.01 11/14/11 Highpower International, Inc. DE 2.02,7.01,9.01 11/14/11 Hillenbrand, Inc. IN 9.01 08/31/11 AMEND HNI CORP IA 8.01,9.01 11/14/11 Horizon Lines, Inc. 5.02,9.01 11/14/11 HORIZON PHARMA, INC. DE 2.02,9.01 11/14/11 HORTON D R INC /DE/ DE 2.02,9.01 11/11/11 HOST HOTELS & RESORTS, INC. MD 8.01 11/14/11 HOST HOTELS & RESORTS, INC. MD 8.01,9.01 11/14/11 HOST HOTELS & RESORTS, INC. MD 8.01,9.01 11/14/11 Hyatt Hotels Corp DE 7.01 11/14/11 IDEX CORP /DE/ DE 5.03,9.01 11/07/11 IDT CORP DE 8.01 11/14/11 IHS Inc. DE 7.01 11/14/11 IKONICS CORP 2.02,9.01 11/10/11 Imperial Holdings, Inc. 2.02,9.01 11/14/11 IMPERIAL INDUSTRIES INC DE 2.02,9.01 11/14/11 IMPERIAL PETROLEUM INC NV 5.02,9.01 11/08/11 Independent Film Development CORP NV 4.01 07/27/11 AMEND INFINITY PHARMACEUTICALS, INC. DE 7.01,9.01 11/14/11 INFORMATION ANALYSIS INC VA 2.02,9.01 11/10/11 Inland American Real Estate Trust, In MD 7.01,9.01 11/11/11 INNOTRAC CORP GA 2.02,9.01 11/14/11 INSIGNIA SYSTEMS INC/MN MN 8.01 11/07/11 InsPro Technologies Corp DE 8.01,9.01 11/14/11 IntelGenx Technologies Corp. DE 8.01 11/14/11 INTELLIGENT SYSTEMS CORP GA 2.02,9.01 11/14/11 INTERNATIONAL BUSINESS MACHINES CORP NY 1.01,2.03,9.01 11/10/11 INTERNATIONAL RECTIFIER CORP /DE/ DE 5.02,5.07,7.01,9.01 11/11/11 INTRICON CORP PA 1.01,8.01 09/26/11 INUVO, INC. NV 7.01,9.01 09/30/11 INVESTORS TITLE CO NC 2.02,9.01 11/14/11 IO World Media, Inc FL 1.01,2.01,3.02,9.01 11/07/11 ION GEOPHYSICAL CORP DE 7.01 11/14/11 IPAYMENT INC DE 2.02,9.01 11/14/11 ISLAND BREEZE INTERNATIONAL, INC. DE 1.01,3.02,8.01,9.01 11/14/11 IVAX DIAGNOSTICS INC DE 2.02,9.01 11/14/11 Iveda Solutions, Inc. NV 5.02 11/07/11 Iveda Solutions, Inc. NV 9.01 04/30/11 AMEND J C PENNEY CO INC DE 2.02,9.01 11/14/11 JACK IN THE BOX INC /NEW/ DE 2.02,9.01 11/14/11 JACOBS ENTERTAINMENT INC DE 2.02,9.01 11/14/11 Jones Lang LaSalle Income Property Tr MD 1.01,5.02,5.03,5.05, 11/11/11 8.01,9.01 KANSAS CITY SOUTHERN DE 8.01,9.01 11/10/11 KATY INDUSTRIES INC DE 2.02,9.01 11/11/11 KENEXA CORP 2.01,9.01 11/14/11 Kentucky First Federal Bancorp 5.07 11/10/11 KILROY REALTY CORP MD 8.01,9.01 11/10/11 KINDRED HEALTHCARE, INC DE 8.01,9.01 11/14/11 KNIGHT CAPITAL GROUP, INC. DE 5.02,9.01 11/07/11 AMEND Kodiak Oil & Gas Corp B0 1.01,2.03,3.02,8.01, 11/14/11 9.01 Kodiak Oil & Gas Corp B0 8.01,9.01 11/14/11 Kodiak Oil & Gas Corp B0 7.01,9.01 11/14/11 KV PHARMACEUTICAL CO /DE/ DE 4.02,7.01,9.01 11/07/11 LANDAUER INC DE 7.01,9.01 11/14/11 Lantheus Medical Imaging, Inc. DE 2.02 11/14/11 Laredo Oil, Inc. DE 5.07 11/06/11 LAYNE CHRISTENSEN CO DE 7.01,9.01 11/11/11 LEGACY RESERVES LP DE 8.01 11/14/11 LGL GROUP INC DE 1.01,5.02,9.01 11/10/11 Lifevantage Corp CO 2.02,9.01 11/14/11 LIGHTSTONE VALUE PLUS REAL ESTATE INV MD 8.01 11/14/11 Lightstone Value Plus Real Estate Inv MD 8.01 11/14/11 LIVEWIRE ERGOGENICS INC. 5.03,5.07,9.01 09/20/11 LOWES COMPANIES INC NC 2.02,5.02,9.01 11/11/11 LSI CORP DE 5.02,5.03,9.01 11/08/11 LUNA INNOVATIONS INC DE 2.02,9.01 11/14/11 MACE SECURITY INTERNATIONAL INC DE 2.02,9.01 11/14/11 Marathon Petroleum Corp DE 7.01 11/14/11 MARCHEX INC DE 7.01 11/14/11 Marriott Vacations Worldwide Corp DE 5.02 11/07/11 MARTIN MIDSTREAM PARTNERS LP DE 8.01,9.01 11/14/11 MATTHEWS INTERNATIONAL CORP PA 8.01,9.01 11/14/11 MAXIMUS INC VA 2.02,9.01 11/10/11 MCDONALDS CORP DE 7.01,9.01 11/10/11 MCGRAW-HILL COMPANIES INC NY 8.01,9.01 11/04/11 MEDCATH CORP DE 2.02,5.02,9.01 11/08/11 Mercantile Bancorp, Inc. DE 3.01,7.01,9.01 11/08/11 MEREDITH CORP IA 5.07 11/09/11 MESA LABORATORIES INC /CO CO 2.02,9.01 11/09/11 MEXCO ENERGY CORP CO 2.02,9.01 11/14/11 MICHAEL FOODS GROUP, INC. DE 2.02,9.01 11/14/11 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 11/14/11 MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA 8.01 11/10/11 MINN DAK FARMERS COOPERATIVE ND 8.01 11/14/11 MIPS TECHNOLOGIES INC DE 5.02 11/09/11 MIPSolutions, Inc. NV 4.01 11/01/11 MITEK SYSTEMS INC DE 2.02,9.01 11/14/11 MMRGlobal, Inc. DE 2.02,9.01 11/14/11 MONEYGRAM INTERNATIONAL INC 5.03,7.01,8.01,9.01 11/14/11 MONSANTO CO /NEW/ DE 8.01 11/14/11 AMEND MONSANTO CO /NEW/ DE 8.01 11/14/11 AMEND MOTRICITY INC DE 1.01,2.02,2.03,9.01 11/14/11 MULTI COLOR Corp OH 2.02,8.01,9.01 11/08/11 MUNICIPAL MORTGAGE & EQUITY LLC DE 5.07 11/09/11 NATIONAL SECURITY GROUP INC DE 7.01,9.01 11/14/11 NATURAL GAS SERVICES GROUP INC 2.02,9.01 11/08/11 NATURAL HEALTH TRENDS CORP DE 2.02,8.01,9.01 11/14/11 NAVARRE CORP /MN/ MN 5.07 09/15/11 AMEND NEAH POWER SYSTEMS, INC. NV 1.01,3.02,3.03,5.02, 11/10/11 5.03,9.01 Neonode, Inc DE 5.07 11/11/11 NeoStem, Inc. DE 2.02,8.01,9.01 11/11/11 NETLIST INC DE 8.01 11/14/11 NETLOGIC MICROSYSTEMS INC DE 8.01 11/11/11 NeurogesX Inc CA 8.01,9.01 11/14/11 New England Bancshares, Inc. 2.02,9.01 11/14/11 New England Bancshares, Inc. 8.01,9.01 11/14/11 NEW FRONTIER MEDIA INC CO 2.02,9.01 11/14/11 NEW HAMPSHIRE THRIFT BANCSHARES INC DE 8.01,9.01 11/10/11 New Mountain Finance Corp DE 2.02,9.01 11/14/11 New Western Energy Corp NV 7.01,9.01 11/09/11 NEWS CORP 8.01,9.01 11/11/11 NICOR INC IL 5.02,9.01 11/10/11 Nissan Auto Receivables 2011-B Owner DE 1.01,8.01,9.01 11/09/11 NISSAN AUTO RECEIVABLES CORP II DE 8.01,9.01 11/09/11 NNN 2002 VALUE FUND LLC 5.02 11/10/11 NNN 2003 VALUE FUND LLC 5.02 11/10/11 NOBILITY HOMES INC FL 1.01,2.06,8.01,9.01 10/25/11 NORCRAFT COMPANIES LP 2.02,9.01 11/11/11 NORFOLK SOUTHERN CORP VA 8.01,9.01 11/14/11 NOVADEL PHARMA INC DE 1.01 11/14/11 NOVAVAX INC DE 5.02,9.01 11/07/11 NUPATHE INC. DE 2.02,9.01 11/14/11 NX Global, Inc NV 1.01,5.02 11/11/11 Obscene Jeans Corp. FL 5.02 11/02/11 OCEANEERING INTERNATIONAL INC DE 7.01 11/11/11 OFFICE DEPOT INC DE 5.02,9.01 11/14/11 OGE ENERGY CORP. OK 8.01 11/09/11 OKLAHOMA GAS & ELECTRIC CO OK 8.01 11/09/11 OLIN CORP VA 7.01,9.01 11/14/11 OMEGA PROTEIN CORP NV 8.01 11/09/11 Oncothyreon Inc. DE 3.02 11/10/11 Opexa Therapeutics, Inc. TX 8.01,9.01 11/11/11 Opko Health, Inc. DE 8.01,9.01 11/14/11 Opko Health, Inc. DE 9.01 10/11/11 AMEND Opko Health, Inc. DE 9.01 10/13/11 AMEND OptimumBank Holdings, Inc. FL 2.02,9.01 11/14/11 Orange 21 Inc. DE 2.02,9.01 11/14/11 ORB Automotive E9 1.01,3.02,9.01 11/09/11 ORBIT INTERNATIONAL CORP DE 2.02,9.01 11/08/11 Oritani Financial Corp DE 8.01,9.01 11/14/11 ORMAT TECHNOLOGIES, INC. DE 5.07 05/04/11 AMEND OURPETS CO CO 2.02,9.01 11/11/11 PAA NATURAL GAS STORAGE LP DE 5.02 11/09/11 PACIFIC OFFICE PROPERTIES TRUST, INC. MD 2.02,9.01 11/14/11 PARK CITY GROUP INC 2.02,8.01,9.01 11/14/11 PATRIOT NATIONAL BANCORP INC CT 2.02,9.01 11/09/11 PAWS Pet Company, Inc. IL 2.02,9.01 11/14/11 PC CONNECTION INC DE 8.01,9.01 11/14/11 PEABODY ENERGY CORP DE 8.01,9.01 11/07/11 PENN VIRGINIA RESOURCE PARTNERS L P DE 7.01,9.01 11/14/11 PennyMac Mortgage Investment Trust MD 1.01,2.03,9.01 11/07/11 PFSWEB INC DE 2.02 11/10/11 PG&E CORP CA 8.01 11/10/11 Phillips Edison - ARC Shopping Center MD 2.02,9.01 11/14/11 PHOTOTRON HOLDINGS, INC. DE 1.01,2.03 10/08/11 AMEND PINNACLE DATA SYSTEMS INC OH 1.01,8.01,9.01 11/10/11 PITNEY BOWES INC /DE/ DE 5.02,7.01,9.01 11/11/11 AMEND PLAINS ALL AMERICAN PIPELINE LP DE 1.01,7.01,9.01 11/09/11 PLAYERS NETWORK NV 5.02 11/08/11 PLC SYSTEMS INC B0 2.02,9.01 11/14/11 PMC SIERRA INC DE 8.01 11/10/11 POKERTEK, INC. NC 1.01,9.01 11/08/11 POWER SOLUTIONS INTERNATIONAL, INC. DE 2.02,9.01 11/14/11 Pregis Holding II CORP DE 2.02,9.01 11/14/11 PRESSTEK INC /DE/ DE 2.02,9.01 11/14/11 PRIMUS TELECOMMUNICATIONS GROUP INC DE 2.02,9.01 11/14/11 Protea Biosciences Group, Inc. DE 1.01,2.01,3.02,4.01, 09/02/11 AMEND 5.01,5.02,5.03,5.06, 9.01 PROTEONOMIX, INC. DE 8.01 11/14/11 pSivida Corp. DE 8.01,9.01 11/10/11 PULASKI FINANCIAL CORP MO 8.01,9.01 11/10/11 QKL Stores Inc. DE 2.02,9.01 11/14/11 QR Energy, LP DE 2.02,9.01 11/14/11 Quanex Building Products CORP DE 2.05,2.06,7.01,9.01 11/07/11 QUEPASA CORP NV 2.02,7.01,9.01 11/14/11 QUEPASA CORP NV 2.01,9.01 11/09/11 AMEND QUICKLOGIC CORPORATION CA 5.07 04/28/11 AMEND RACKSPACE HOSTING, INC. 5.02,9.01 11/09/11 RADIO ONE, INC. DE 5.02 11/07/11 RadNet, Inc. DE 1.01,2.01,8.01,9.01 11/07/11 AMEND RAINMAKER SYSTEMS INC DE 3.01,5.02 11/09/11 RAINMAKER SYSTEMS INC DE 2.02,7.01,9.01 11/14/11 RAMCO GERSHENSON PROPERTIES TRUST MD 7.01,9.01 11/14/11 RED MOUNTAIN RESOURCES, INC. FL 1.01 11/09/11 REDWOOD TRUST INC MD 7.01,8.01,9.01 11/14/11 REGENERON PHARMACEUTICALS INC NY 7.01,9.01 11/14/11 REPROS THERAPEUTICS INC. DE 8.01,9.01 11/14/11 REYNOLDS AMERICAN INC 1.01,2.02,9.01 11/11/11 ROBBINS & MYERS, INC. OH 5.02 11/12/11 Rockville Financial, Inc. /CT/ CT 5.07,9.01 11/14/11 RUDDICK CORP NC 2.01,5.02,9.01 11/07/11 Saga Energy, Inc. FL 1.01,2.01,5.06,9.01 11/11/11 SAKS INC TN 1.01,9.01 11/11/11 SALIX PHARMACEUTICALS LTD 1.01,8.01,9.01 11/08/11 SANMINA-SCI CORP DE 5.02 11/08/11 Santander Holdings USA, Inc. PA 8.01,9.01 11/08/11 SCANA CORP SC 7.01,9.01 11/14/11 SemGroup Corp DE 2.02,9.01 11/14/11 SERVICEMASTER CO DE 2.02,7.01,9.01 11/14/11 Shiner International, Inc. NV 2.02,9.01 11/11/11 SHORE BANCSHARES INC MD 5.07 04/26/11 AMEND SILVERSTAR MINING CORP. NV 4.01 10/24/11 AMEND SINOHUB, INC. DE 2.02,7.01,9.01 11/14/11 SMF ENERGY CORP DE 2.02,9.01 11/14/11 SMITH & WESSON HOLDING CORP NV 7.01 11/14/11 SMITH A O CORP DE 9.01 08/26/11 AMEND SMITH MICRO SOFTWARE INC DE 5.07 06/24/11 AMEND Snap Interactive, Inc DE 2.01,9.01 11/14/11 SOLERA HOLDINGS, INC DE 8.01,9.01 11/14/11 SOTHEBYS DE 2.02,9.01 11/07/11 SOUTHERN CONNECTICUT BANCORP INC CT 8.01 09/30/11 AMEND SOUTHWALL TECHNOLOGIES INC /DE/ DE 2.02,9.01 11/14/11 SPANISH BROADCASTING SYSTEM INC DE 2.02,9.01 11/10/11 SPHERIX INC DE 2.02,9.01 11/11/11 STAGE STORES INC NV 8.01,9.01 11/10/11 STANDARD MICROSYSTEMS CORP DE 5.02 11/10/11 STANLEY BLACK & DECKER, INC. CT 8.01,9.01 11/14/11 STRATEGIC DIAGNOSTICS INC/DE/ DE 2.02,9.01 11/14/11 STRATUS PROPERTIES INC DE 2.02,9.01 11/14/11 STRAYER EDUCATION INC MD 8.01,9.01 11/09/11 SUFFOLK BANCORP NY 3.01,9.01 11/08/11 SUMMIT FINANCIAL SERVICES GROUP INC FL 2.02,9.01 11/14/11 SunCoke Energy, Inc. 7.01,9.01 11/14/11 SUNESIS PHARMACEUTICALS INC DE 2.02,9.01 11/14/11 SUNLINK HEALTH SYSTEMS INC OH 5.07 11/07/11 SUNTRUST BANKS INC GA 5.02 11/07/11 SUPER DEAL.COM, INC. FL 4.01,9.01 11/14/11 Sutor Technology Group LTD 2.02,7.01,9.01 11/14/11 SUTRON CORP VA 2.02,9.01 11/09/11 SUTRON CORP VA 5.02 11/01/11 Swank, Inc. DE 2.02,9.01 11/10/11 Swisher Hygiene Inc. DE 2.02,7.01,9.01 11/14/11 SYNAGEVA BIOPHARMA CORP DE 4.01,9.01 11/02/11 AMEND SYNERGY RESOURCES CORP CO 2.02,8.01,9.01 11/14/11 TAKE TWO INTERACTIVE SOFTWARE INC DE 8.01,9.01 11/10/11 TAUBMAN CENTERS INC MI 8.01,9.01 11/14/11 TECHPRECISION CORP 2.02,9.01 11/14/11 TELESTONE TECHNOLOGIES CORP CO 1.01,3.02 11/07/11 TELETECH HOLDINGS INC DE 7.01 11/09/11 TENGION INC DE 2.02,9.01 11/14/11 TETRA TECHNOLOGIES INC DE 5.02,9.01 11/11/11 TEXAS INSTRUMENTS INC DE 9.01 11/14/11 AMEND THERAVANCE INC DE 7.01,9.01 11/14/11 THERMADYNE HOLDINGS CORP /DE DE 5.02,9.01 11/07/11 Thermon Group Holdings, Inc. DE 2.02,9.01 11/14/11 Thermon Holding Corp. DE 2.02,9.01 11/14/11 THUNDER MOUNTAIN GOLD INC NV 1.01,3.02,8.01,9.01 11/14/11 Tianli Agritech, Inc. D8 7.01,9.01 11/14/11 TIDEWATER INC DE 8.01,9.01 11/08/11 TIDEWATER INC DE 8.01,9.01 11/10/11 TII NETWORK TECHNOLOGIES, INC. DE 2.02,9.01 10/24/11 TIMBERLAND BANCORP INC WA 2.02,9.01 11/10/11 Timberline Resources Corp DE 7.01,9.01 10/31/11 TOWERSTREAM CORP DE 2.02,9.01 11/14/11 TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 11/14/11 TRANSATLANTIC PETROLEUM LTD. D0 1.01,9.01 11/07/11 TRANSGENOMIC INC DE 1.01,9.01 11/08/11 TRIAD GUARANTY INC DE 2.02,9.01 11/11/11 Triangle Petroleum Corp NV 8.01,9.01 11/14/11 TRIMBLE NAVIGATION LTD /CA/ CA 5.02,5.03,9.01 11/09/11 Trunkbow International Holdings Ltd NV 2.02,9.01 11/14/11 TUESDAY MORNING CORP/DE DE 5.07 11/09/11 U. S. Premium Beef, LLC 7.01,9.01 11/14/11 UDR, Inc. MD 7.01,9.01 11/14/11 UNIFI INC NY 7.01,9.01 11/14/11 UNIGENE LABORATORIES INC DE 8.01,9.01 11/14/11 UNILENS VISION INC 8.01,9.01 11/14/11 United Community Bancorp X1 2.02,9.01 11/11/11 UNITED COMMUNITY FINANCIAL CORP OH 2.02,9.01 11/14/11 UNITED INSURANCE HOLDINGS CORP. DE 5.02 08/15/11 AMEND UROLOGIX INC MN 5.02,5.07 11/08/11 US DATAWORKS INC NV 2.02,9.01 11/14/11 US HOME SYSTEMS INC DE 2.02,9.01 11/10/11 UTG INC 1.01 11/09/11 VALENCE TECHNOLOGY INC DE 8.01 11/10/11 VALLEY FORGE COMPOSITE TECHNOLOGIES, FL 4.02,9.01 10/28/11 AMEND VANGUARD HEALTH SYSTEMS INC DE 9.01 09/01/11 AMEND VASOMEDICAL INC DE 9.01 09/04/11 AMEND VECTREN CORP IN 1.01,2.03,9.01 11/10/11 VelaTel Global Communications, Inc. NV 1.01,9.01 11/08/11 VENTRUS BIOSCIENCES INC DE 8.01,9.01 11/14/11 VENTRUS BIOSCIENCES INC DE 8.01,9.01 11/14/11 Verecloud, Inc. NV 2.02,9.01 11/14/11 VERIFONE SYSTEMS, INC. DE 1.01 11/12/11 VERMILLION, INC. DE 5.02 11/08/11 Vestin Realty Mortgage I, Inc. 1.01 10/03/11 AMEND Vestin Realty Mortgage II, Inc MD 1.01 10/03/11 AMEND VIEWCAST COM INC DE 2.02,9.01 11/14/11 VIRGIN MEDIA INC. DE 8.01 11/10/11 VISUALANT INC NV 1.01,9.01 11/09/11 VORNADO REALTY TRUST MD 8.01 11/07/11 VORNADO REALTY TRUST MD 1.01,2.03,9.01 11/07/11 Vuzix Corp DE 2.04 09/30/11 WEBSTER PREFERRED CAPITAL CORP CT 8.01,9.01 11/14/11 WEST COAST BANCORP /NEW/OR/ OR 5.02 11/08/11 WESTERN DIGITAL CORP DE 5.07 11/10/11 WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 1.01,1.02,2.03,9.01 11/07/11 WESTMORELAND COAL Co DE 2.02,9.01 11/08/11 Willbros Group, Inc.\NEW\ 2.02,9.01 11/07/11 WORLD FINANCIAL NETWORK CREDIT CARD M DE 1.01,9.01 11/09/11 WORLD FINANCIAL NETWORK CREDIT CARD M DE 1.01,8.01,9.01 11/09/11 XCEL ENERGY INC MN 8.01 11/14/11 XERIUM TECHNOLOGIES INC DE 5.02,7.01,9.01 11/08/11 Yayi International Inc DE 2.02,9.01 11/14/11 ZBB ENERGY CORP WI 5.02,5.07 11/09/11 ZBB ENERGY CORP WI 2.02,9.01 11/14/11 ZION OIL & GAS INC DE 5.07 11/14/11 AMEND
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