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SEC News Digest
Issue 2011-233
December 5, 2011
Commission announcements
Change in the Meeting: Cancellation of Meeting
The Open Meeting scheduled for Tuesday, December 6, 2011 at 10:00 a.m. has been cancelled.
For further information please contact the Office of the Secretary at (202) 551-5400.
Enforcement Proceedings
Commission Declares Decision as to Mayfair Mining & Minerals, Inc. Final
The decision of an administrative law judge revoking the registration of the registered securities of Mayfair Mining & Minerals, Inc. (Mayfair) has become final. The law judge found that Mayfair, a Nevada corporation located in Lindfield, West Sussex, United Kingdom, violated Section 13(a) of the Securities Exchange Act of 1934 and Rules 13a-1 and 13a-13 by not filing any quarterly reports since July 2007, and its failure to file any compliant required annual reports for any year since the fiscal year ended March 31, 2006.
The law judge noted that on July 20, 2011, the Commission issued both an OIP and an order that temporarily suspended trading in Mayfair’s securities. At a prehearing conference held on August 25, 2011, a Mayfair representative stated that the company intended to file all 13 of its delinquent Forms 10-Q by the end of September 2011, but according to EDGAR records, no periodic reports had been filed since it filed a Form 10-K on September 8, 2011.
The law judge found that Mayfair’s violations were serious and recurrent. The law judge also found that, although Mayfair had made an effort to remedy its past violations by filing six Forms 10-K or 10-K/A (but none of the 13 required Forms 10-Q), the annual reports were materially deficient. The law judge further noted that revocation of the registration of Mayfair’s registered securities would serve the public interest and protect investors, pursuant to Section 12(j) of the Exchange Act. (Rel. 34-65879; File No. 3-14470)
Commission Revokes Registration of Securities of Surfect Holdings, Inc. For Failure to Make Required Periodic Filings
On December 5, 2011, the Commission revoked the registration of each class of registered securities of Surfect Holdings, Inc. (Surfect Holdings) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Surfect Holdings 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 Surfect Holdings, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Surfect Holdings’ securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Surfect Holdings in In the Matter of RMD Technologies, Inc., et al., Administrative Proceeding File No. 3-14616.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of RMD Technologies, Inc., et al., Administrative Proceeding File No. 3-14616, Exchange Act Release No. 65714, November 9, 2011. (Rel. 34-65880; File No. 3-14616)
Commission Revokes Registration of Securities of Global Aircraft Solutions, Inc. For Failure to Make Required Periodic Filings
On December 5, 2011, the Commission revoked the registration of each class of registered securities of Global Aircraft Solutions, Inc. (GACFQ) 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, GACFQ 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 Global Aircraft Solutions, 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 GACFQ’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against GACFQ in In the Matter of Accesspoint Corp., et al., Administrative Proceeding File No. 3-14604.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Accesspoint Corp., et al., Administrative Proceeding File No. 3-14604, Exchange Act Release No. 65640 (October 27, 2011). (Rel. 34-65881; File No. 3-14604)
In the Matter of Mark A. Konyndyk
On December 5, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions against Mark A. Konyndyk. The Order finds that on November 21, 2011, Konyndyk, who was at all relevant times a certified public accountant, was, by consent, permanently enjoined from future violations of Section 14(e) of the Securities Exchange Act of 1934 and Rule 14e-3 thereunder. See SEC v. Mark A. Konyndyk, Civil Action No. 11-CV-02055-GK (D.D.C.) (SEC v. Konyndyk). The Order further finds that the Commission’s complaint in SEC v. Konyndyk alleged, among other things, that Konyndyk traded in Activision, Inc. call options during the last week before the public announcement that Vivendi S.A. had agreed to acquire Activision by tender offer; that he did so despite having worked on the underlying acquisition talks for E&Y’s client, Vivendi, while employed by E&Y; that he knew or had reason to know that the information about the acquisition talks was material and nonpublic; and that at the time of Konyndyk’s trades, substantial steps had been taken in furtherance of the tender offer.
Based on the above, the Order suspends Konyndyk from appearing or practicing before the Commission as an accountant, with a right to seek reinstatement after two years. Konyndyk consented to issuance of the Order without admitting or denying the findings against him except he admitted the entry of the final judgment. (Rel. 34-65882; AAE Rel. 3339; File No. 3-14651)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Six Public Companies For Failure to Make Required Periodic Filings
Today the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of six companies for failure to make required periodic filings with the Commission:
- Regenesis Centers, Inc.
- Regenex, Inc.
- A.J. Ross Logistics, Inc.
- Southern Gourmet Products, Inc.
- Status Game Corp.
- Suncast Network, Inc.
In this Order, the Division of Enforcement (Division) alleges that the six issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-65891; File No. 3-14652)
SEC Charges Soyo Group, Inc.’s Former CFO and Two Members of Her Accounting Staff for Their Role in Financial Fraud
The Securities and Exchange Commission (Commission) announced today that it filed charges against three individuals who participated in a securities fraud scheme at Soyo Group, Inc. (Soyo), a now defunct California-based consumer electronics and computer parts company.
The Commission’s civil injunctive complaint, filed in the U.S. District Court for the Central District of California on Nov. 29, 2011, alleges that between January 2007 and November 2008, Soyo, through the actions of its chief financial officer, Nancy Shao Wen Chu, and members of her accounting staff, Elizabeth Tsang and Eric Jon Strasser, misled Soyo’s investors, primary lending bank, and auditor by materially overstating Soyo’s net revenues and understating its liabilities. According to the complaint, Chu and Tsang caused Soyo to book over $47 million in fraudulent sales revenues arising from at least 120 fictitious transactions with 21 customers, resulting in Soyo materially overstating its net revenues in its periodic filings by amounts ranging from 14.4 to 76.8 percent. The complaint also alleges that in order to obtain additional bank financing for Soyo and keep its existing line of credit from defaulting, Chu misled Soyo’s investors, primary lending bank, and auditor regarding a $6 million debt-for-equity transaction with a Soyo vendor that was never completed. The complaint further alleges that Strasser, a consultant who prepared Soyo’s filings with the Commission, was alerted to the falsity of the debt-for-equity transaction disclosures, but he failed to correct the misstatements or inform Soyo’s auditor prior to the next quarter’s filing.
The Commission’s complaint alleges that, as a result of their conduct, Chu and Tsang violated, and unless enjoined, will continue to violate, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and that Strasser aided and abetted an antifraud violation. The complaint also alleges that Chu violated, and unless enjoined, will continue to violate Section 17(a) of the Securities Act of 1933, and is liable as a control person for Soyo’s antifraud violations. As part of this action, the Commission seeks against each of the defendants an injunction against future violations of the provisions set forth above, disgorgement, pre-judgment interest, third tier civil money penalties and, as to Chu, an officer and director bar. [SEC v. Nancy S.W. Chu et al., Civil Action No. CV11-09859, USDC, CD Cal] (LR-22174)
SEC Resolves Fraud-Based Lawsuit Against Denver-Area Company and Its Owner
The Securities and Exchange Commission announced today that on December 1, 2011, the United States District Court for the District of Colorado entered judgments against Richard Dalton and Universal Consulting Resources LLC (UCR) and ordered them to pay $15,842,948, which includes a civil penalty of $7,549,458. The Court found that Dalton routinely provided investors with false and materially misleading information about investments contracts known as the Trading Program and the Diamond Program. The Court stated that Dalton told investors they would receive annual profits ranging from 48% to 120% when, in fact, he was operating a Ponzi scheme, with new investors providing the funds for UCR’s profit payments to existing investors. The Court held that Dalton misappropriated investors’ funds and used at least $2.5 million for his personal benefit or for the benefit of family members.
According to the Commission’s complaint, Dalton raised approximately $17 million from 130 investors in 13 states. Dalton told investors in the Trading Program that their money would be held in an escrow account in a U.S. bank, and that a European trader would use the value of that account to obtain leveraged funds to purchase and sell bank notes. The Diamond Program supposedly generated profits from the trading of cut and uncut diamonds.
The Court permanently enjoined Dalton and UCR from violating Sections 5 and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, and Dalton from violating Exchange Act Section 15(a).
The Court also entered a judgment on December 1, 2011 against Marie Dalton, who was named as a relief defendant in the Commission’s complaint. According to the Commission’s complaint, Marie Dalton purchased a residence in Golden, Colorado with over $900,000 in investors’ funds. The Court stated that a receiver would be appointed to sell the residence. The Court also ordered Marie Dalton to disgorge $115,000 in investors’ funds that were deposited in her bank account.
On October 19, 2011, a federal grand jury in the District of Colorado handed up an indictment charging Dalton and Marie Dalton with violations of federal criminal laws in connection with a scheme involving investments in UCR’s Trading Program and the Diamond Program.
For additional information, see SEC Litigation Release No. LR 22175 and SEC Litigation Release No. 21754 (November 23, 2010). [SEC v. Richard Dalton and Universal Consulting Resources LLC, Defendants, and Marie Dalton, Relief Defendant, Civil Action No. 10-CV-02794-REB-KLM (D. Colo.)] (LR-22175)
SEC Charges Hedge Fund Manager and Broker With Multi-Million Dollar Overvaluation Scheme
The Securities and Exchange Commission announced today that it filed a civil injunctive action charging two individuals with engaging in a fraudulent scheme to overvalue illiquid asset holdings of the now insolvent hedge fund, Millennium Global Emerging Credit Fund (the Fund), and thereby inflate the Fund’s reported returns and net asset value. The defendants named in the Commission’s complaint are Michael Balboa, the Fund’s former portfolio manager, and Gilles De Charsonville, a broker with BCP Securities, LLC.
The SEC’s complaint, filed in the U.S. District Court for the Southern District of New York, alleges that from January through October 2008, Balboa surreptitiously provided De Charsonville and another broker with fictional prices for them to pass on to the Fund’s outside valuation agent and its auditor. This scheme caused the Fund to drastically overvalue two of its illiquid securities holdings by as much as $163 million in August 2008, which, in turn, allowed the Fund to report inflated and false-positive monthly returns throughout this time-period.
The SEC’s complaint alleges that the defendants violated or and/or aided and abetted violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, Section 206 of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder and, as to Balboa, Section 17(a) of the Securities Act of 1933.
De Charsonville is also charged with violating Financial Industry Regulatory Authority Rule 5210. As to both defendants, the SEC’s complaint seeks a permanent injunction against future violations, disgorgement of ill-gotten gains plus prejudgment interest, and monetary penalties. [Securities and Exchange Commission v. Michael R. Balboa and Gilles T. De Charsonville, Civil Action No. 8731 (S.D.N.Y. Dec. 1, 2011)] (LR-22176).
The United States Attorney’s Office for the Southern District of New York, which conducted a parallel investigation of this matter, has also announced the arrest of Balboa and the simultaneous filing of a criminal complaint against him based on the conduct that is alleged in the SEC’s complaint.
The SEC’s investigation is continuing. [SEC v. Michael R. Balboa and Gilles T. De Charsonville, Civil Action No. 8731 (S.D.N.Y.)] (LR-22176)
Court Enters Final Judgments Against China Voice Holding Corp. and Its Former CFO, David Ronald Allen
The Commission today announced the entry of final judgments against David Ronald Allen, the co-founder and former Chief Financial Officer and President of China Voice Holding Corp., six companies related to Allen, Allen’s wife, and China Voice. The Commission previously alleged that Allen made false and misleading statements and material omissions regarding China Voice, selectively disclosed material, non-public information regarding the company, aided and abetted an unregistered broker, and operated a Ponzi scheme.
Without admitting or denying the allegations in the complaint, Allen consented to entry of a final judgment enjoining him from violations of Sections 5 and 17(a) of the Securities Act of 1933, 10(b) and 15(a) of the Securities Exchange Act of 1934 (the “Exchange Act”) and Rule 10b-5 thereunder and from aiding and abetting violations of Section 13(a) of the Exchange Act and Regulation FD thereunder. The final judgment, entered on December 2, also orders Allen and his company, Winterstone Financial Ltd., to pay $225,468 in disgorgement and prejudgment interest and orders Allen to pay a civil penalty of $212,821. Five companies associated with Allen were further ordered to pay a civil penalty of $500,000. Allen’s wife agreed to pay disgorgement and prejudgment interest of $146,162. Allen is barred permanently from serving as an officer or director of a public company and from participating in an offering of a penny stock.
In addition, China Voice agreed to entry of a final judgment permanently enjoining it from violations of Section 17(a) of the Securities Act and Sections 10(b) and 13(a) of the Exchange Act and Rule 10b-5 and Regulation FD thereunder. The judgment, which China Voice consented to without admitting or denying the allegations in the Commission’s complaint, also requires China Voice to hire an independent consultant to evaluate the company’s internal controls. [SEC v. David Ronald Allen, et al., Civil Action No. 3:11-CV-882-O (N.D. Tex.)] (LR-22178)
Court Orders Integrity Financial Founders to Pay $4.2 Million For Offering Fraud Connected to Arizona Real Estate
The U.S. Securities and Exchange Commission (Commission) today announced that, on November 23, 2011, the U.S. District Court for the Northern District of Ohio entered final judgments against Steven R. Long and Stanley M. Paulic in a Commission injunctive action, United States Securities and Exchange Commission v. Integrity Financial AZ, LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller, Civil Action No. 10-CV-782 (SO) (N.D. Ohio filed Apr. 15, 2010). The Commission’s complaint alleges that Long and Paulic founded Integrity Financial AZ, LLC (IFAZ) and, with assistance from Walter W. Knitter and Robert C. Koeller, used the company to raise more than $8 million in a fraudulent unregistered offering of promissory notes purportedly secured by real estate in Arizona.
The final judgments were entered after the district court granted the Commission’s motion for summary judgment against Long and Paulic. The order granting summary judgment found that Long “knowingly made misrepresentations or omissions of material fact regarding the offer and sale of securities, while utilizing investors’ money for his own gain” and that “Paulic misrepresented material facts in connection with the offer and sale of securities” and “acted recklessly in conjunction with his activities and responsibilities as CEO and co-owner of IFAZ.”
The final judgments against Long and Paulic permanently enjoin each of them from further violations of the securities offering registration, antifraud, and broker registration provisions of the federal securities laws. The final judgment against Long also finds him liable for disgorgement in the amount of $1,481,736, plus prejudgment interest thereon in the amount of $97,723.32, and a civil penalty in the amount of $1,465,306. The final judgment against Paulic also finds him liable for disgorgement in the amount of $586,225, plus prejudgment interest thereon in the amount of $38,662.65, and a civil penalty in the amount of $586,225.
The Commission also announced today, that on October 7, 2011, the district court entered a default judgment against IFAZ permanently enjoining it from violations of the securities offering registration, antifraud, and broker registration provisions and finding it liable for disgorgement in the amount of $5,598,717, plus prejudgment interest thereon in the amount of $429,403.44, and a civil penalty in the amount of $650,000.
Knitter settled with the Commission previously. The remaining defendant, Koeller, reached a partial settlement with the Commission on September 28, 2011. [SEC v. Integrity Financial AZ, LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller, Civil Action No. 10-CV-782 (SO) (N.D. Ohio)] (LR-22179)
Self-Regulatory Organizations
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NYSE Amex LLC to amend NYSE Amex Equities Rule 104(a)(1)(A) to reflect that Designated Market Maker unit quoting requirements are based on consolidated average daily volume (SR-NYSEAMEX-2011-90) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of December 5. (Rel. 34-65864)
A proposed rule change filed by the New York Stock Exchange LLC to amend NYSE Rule 104(a)(1)(A) to reflect that Designated Market Maker unit quoting requirements are based on consolidated average daily volume (SR-NYSE-2011-58) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of December 5. (Rel. 34-65865)
A proposed rule change filed by NASDAQ OMX BX, Inc. to modify its optional anti-internalization functionality (SR-BX-2011-080) 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 December 5. (Rel. 34-65867)
A proposed rule change filed by the NASDAQ Stock Market LLC to modify its optional anti-internalization functionality (SR-NASDAQ-2011-158) 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 December 5. (Rel. 34-65868)
A proposed rule change filed by NASDAQ OMX PHLX LLC to modify its optional anti-internalization functionality (SR-Phlx-2011-161) 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 December 5. (Rel. 34-65869)
The Options Clearing Corporation (OCC) filed a proposed rule change (SR-OCC-2011-16) under Section 19(b)(3)(A)(iii) of the Securities Act of 1934, which the proposed rule change became effective upon filing, that accommodates would accommodate certain cash-settled futures proposed to be traded by ELX Futures L.P. (“ELX”). Publication is expected in the Federal Register during the week of December 5. (Rel. 34-65870)
A proposed rule change filed by NASDAQ OMX BX, Inc. relating to routing fees for BX (SR-BX-2011-078) 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 December 5. (Rel. 34-65876)
Proposed Rule Changes
The Depository Trust Company (DTC) filed a proposed rule change (SR-DTC-2011-09) under Section 19(b)(1) of the Securities Exchange Act of 1934 to modify a practice in order to mitigate systemic risk, specifically liquidity related, associated with DTC end of day net funds settlement. (Rel. 34-65871)
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-113) related to trades for less than $1 has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. (Rel. 34-65872)
A proposed rule change (SR-NASDAQ-2011-164) filed by The NASDAQ Stock Market LLC to correct NOM rules has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of December 5. (Rel. 34-65873)
A proposed rule change filed by the C2 Options Exchange, Incorporated (SR-C2-2011-037) to amend its Fees Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of December 5. (Rel. 34-65874)
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-112) relating to FLEX transaction fees has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of December 5. (Rel. 34-65875)
The Financial Industry Regulatory Authority, Inc. has filed a proposed rule change (SR-FINRA-2011-069) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to post-trade transparency for agency pass-through mortgage-backed securities traded TBA. Publication is expected in the Federal Register during the week of December 5. (Rel. 34-65877)
JOINT INDUSTRY PLAN RELEASES
Notice of Filing And Immediate Effectiveness of Amendment No. 26 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information
Pursuant to Rule 608 under the Securities Exchange Act of 1934, the operating committee of the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation, and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis (“Nasdaq/UTP Plan”) filed a proposal to amend the Nasdaq/UTP Plan (S7-24-89) to harmonize the price structures among the U.S. National Market System plans by replacing the annual administrative fees that the Participants impose in respect of real-time data with monthly access fees. Publication is expected in the Federal Register during the week of December 5. (Rel. 34-65866)
Securities Act Registrations
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-8 China Zenix Auto International Ltd,
1608, North Circle Road State Highway, Zhangzhou, Fujian Province, F4,
363000, (86) 596-2600308 - 0 ($26,079,428.00) ADRs/ADSs,
(File 333-178271 - Dec. 2) (BR. 05A)
S-3ASR AETNA INC /PA/, 151 FARMINGTON AVENUE, HARTFORD, CT, 06156,
8602730123 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-178272 - Dec. 2) (BR. 01A)
S-3ASR ECOLAB INC, ECOLAB CORPORATE CENTER, 370 WABASHA STREET NORTH, ST PAUL,
MN, 55102, 6512932233 - 0 ($0.00) Debt, (File 333-178273 - Dec. 2)
(BR. 06A)
S-8 ISSUER DIRECT CORP, 500 PERIMETER PARK DRIVE, SUITE D, MORRISVILLE, NC,
27560, 9194611600 - 185,321 ($463,302.50) Equity, (File 333-178274 -
Dec. 2) (BR. 05B)
F-1 LUXFER HOLDINGS PLC, ANCHORAGE GATEWAY, 5 ANCHORAGE QUAY, SALFORD, X0,
M50 3XE, 44161300-0600 - 0 ($185,437,500.00) Equity, (File 333-178278 -
Dec. 2) (BR. 06C)
S-8 WINDSTREAM CORP, 4001 RODNEY PARHAM RD., LITTLE ROCK, AR, 72212,
5017487000 - 0 ($89,729,980.35) Equity, (File 333-178279 - Dec. 2)
(BR. 11A)
S-8 Puissant Industries, Inc., 3701 EDMONTON RD., COLUMBIA, KY, 42728,
(270)385-9877 - 200,000 ($400,000.00) Equity, (File 333-178280 -
Dec. 2) (BR. 04B)
F-1 Michael Kors Holdings Ltd, 12/F, Novel Industrial Building,
850-870 Lai Chi Kok Road Cheung Sha Wang, Kowloon, K3, 00000,
(852) 2371-8634 - 0 ($911,145,000.00) Equity, (File 333-178282 -
Dec. 2) (BR. 09)
S-8 Clovis Oncology, Inc., 2525 28TH STREET, SUITE 100, BOULDER, CO, 80301,
(303) 625-5000 - 0 ($24,358,862.00) Equity, (File 333-178283 - Dec. 2)
(BR. 01B)
S-3 VECTOR GROUP LTD, 100 S E SECOND ST, MIAMI, FL, 33131, 3055798000 -
9,511,974 ($168,266,820.06) Equity, (File 333-178284 - Dec. 2) (BR. 05C)
S-3 METRO BANCORP, INC., 3801 PAXTON STREET, HARRISBURG, PA, 17111,
7174126301 - 500,000 ($4,060,000.00) Equity, (File 333-178291 - Dec. 2)
(BR. 07B)
S-1 Mountain Valley Spring Co, 150 CENTRAL AVENUE, HOT SPRINGS, AR, 71901,
501-624-1635 - 0 ($23,000,000.00) Equity, (File 333-178292 - Dec. 2)
(BR. )
S-4 PREMIER ALLIANCE GROUP, INC., 4521 SHARON ROAD, SUITE 300, CHARLOTTE,
NC, 28211, 704-521-8078 - 0 ($5,500,000.00) Equity, (File 333-178299 -
Dec. 2) (BR. 03A)
S-8 ECOLAB INC, ECOLAB CORPORATE CENTER, 370 WABASHA STREET NORTH, ST PAUL,
MN, 55102, 6512932233 - 0 ($53,986,982.00) Equity, (File 333-178300 -
Dec. 2) (BR. 06A)
S-3 GenMark Diagnostics, Inc., 5964 LA PLACE COURT, CARLSBAD, CA, 92008,
(760) 448-4300 - 0 ($75,000,000.00) Unallocated (Universal) Shelf,
(File 333-178301 - Dec. 2) (BR. 10B)
S-8 ECOLAB INC, ECOLAB CORPORATE CENTER, 370 WABASHA STREET NORTH, ST PAUL,
MN, 55102, 6512932233 - 0 ($2,749,500.00) Equity, (File 333-178302 -
Dec. 2) (BR. 06A)
S-3 HOLLY ENERGY PARTNERS LP, 2828 N. HARWOOD, SUITE 1300, DALLAS, TX,
75201, 214-871-3555 - 0 ($2,590,837,022.60) Other, (File 333-178304 -
Dec. 2) (BR. 04B)
S-4 U S GOLD CORP, SUITE 4750, BROOKFIELD PLACE, 181 BAY ST., P.O. BOX 792,
TORONTO, A6, M5J 2T3, 647-258-0395 - 0 ($522,040,634.00) Equity,
(File 333-178306 - Dec. 2) (BR. 09B)
S-1 Chanticleer Holdings, Inc., 4201 CONGRESS STREET,, SUITE 145,,
CHARLOTTE, NC, 28209, 704-366-5122 - 0 ($38,617,500.00) Equity,
(File 333-178307 - Dec. 2) (BR. 08B)
S-1 PUMA BIOTECHNOLOGY, INC., 10940 WILSHIRE BLVD., SUITE 600, LOS ANGELES,
CA, 90024, (424) 248-6500 - 0 ($60,000,000.00) Equity,
(File 333-178308 - Dec. 2) (BR. 01A)
S-3 MOTRICITY INC, 601 108TH AVE NE, SUITE 900, BELLEVUE, WA, 98004,
425-957-6200 - 0 ($50,000,000.00) Equity, (File 333-178309 - Dec. 2)
(BR. 03A)
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
1.01
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Entry into a Material Definitive Agreement
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1.02
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Termination of a Material Definitive Agreement
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1.03
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Bankruptcy or Receivership
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2.01
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Completion of Acquisition or Disposition of Assets
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2.02
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Results of Operations and Financial Condition
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2.03
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Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
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2.04
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Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
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2.05
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Cost Associated with Exit or Disposal Activities
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2.06
|
Material Impairments
|
3.01
|
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
|
3.02
|
Unregistered Sales of Equity Securities
|
3.03
|
Material Modifications to Rights of Security Holders
|
4.01
|
Changes in Registrant's Certifying Accountant
|
4.02
|
Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
|
5.01
|
Changes in Control of Registrant
|
5.02
|
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer
|
5.03
|
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
|
5.04
|
Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
|
5.05
|
Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
|
5.06
|
Change in Shell Company Status
|
6.01
|
ABS Informational and Computational Material.
|
6.02
|
Change of Servicer or Trustee.
|
6.03
|
Change in Credit Enhancement or Other External Support.
|
6.04
|
Failure to Make a Required Distribution.
|
6.05
|
Securities Act Updating Disclosure.
|
7.01
|
Regulation FD Disclosure
|
8.01
|
Other Events
|
9.01
|
Financial Statements and Exhibits
|
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
ADDVANTAGE TECHNOLOGIES GROUP INC OK 2.02,7.01,9.01 12/01/11
ADVENT SOFTWARE INC /DE/ DE 1.01,2.03,9.01 11/30/11
ADVENTRX PHARMACEUTICALS INC DE 8.01,9.01 12/01/11
AeroVironment Inc DE 5.07 09/29/11 AMEND
AETRIUM INC MN 5.02,9.01 11/28/11
ALEXANDER & BALDWIN INC HI 5.02,7.01,8.01,9.01 11/30/11
ALEXION PHARMACEUTICALS INC DE 5.03,9.01 11/29/11
ALL GRADE MINING, INC. CO 3.02 12/02/11
ALLIANT TECHSYSTEMS INC DE 8.01 12/01/11
Alpha Natural Resources, Inc. DE 8.01 11/28/11
Alpha Natural Resources, Inc. DE 7.01 12/01/11
AlphaMetrix Managed Futures LLC DE 3.02 12/01/11
ALTRIA GROUP, INC. VA 7.01,8.01,9.01 12/02/11
AMAG PHARMACEUTICALS INC. DE 5.02,9.01 11/30/11
AMERICAN DG ENERGY INC DE 1.01,2.03,3.02,9.01 11/30/11
AMERICAN GREETINGS CORP OH 8.01,9.01 11/30/11
American Rare Earths & Materials, Cor NV 5.02,9.01 11/27/11
American Realty Capital Properties, I MD 8.01,9.01 12/01/11
ANALOGIC CORP MA 8.01,9.01 11/28/11
Anthera Pharmaceuticals Inc DE 8.01,9.01 12/01/11
ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 4.01,9.01 11/30/11
ARROW FINANCIAL CORP NY 9.01 11/30/10
ARTHROCARE CORP DE 7.01 12/02/11
Ascena Retail Group, Inc. DE 7.01,9.01 12/01/11
Atlas Therapeutics Corp NV 1.01,2.03,3.02,9.01 12/01/11
Atrinsic, Inc. DE 7.01 12/01/11
BANK OF AMERICA CORP /DE/ DE 3.02 11/29/11
BankGuam Holding Co 4.01,9.01 11/14/11 AMEND
BNL FINANCIAL CORP IA 8.01 12/01/11
BRAINY BRANDS COMPANY, INC. DE 4.01,9.01 11/28/11
BreitBurn Energy Partners L.P. DE 1.01,9.01 11/30/11
BRT REALTY TRUST MA 8.01 12/01/11
Buckingham Exploration Inc. NV 3.03 12/01/11
CADENCE DESIGN SYSTEMS INC DE 5.02,9.01 10/31/11
CAESARS ENTERTAINMENT Corp DE 5.02 11/29/11
CANO PETROLEUM, INC 2.02,7.01,9.01 12/01/11
Care Investment Trust Inc. MD 1.02,2.01 11/30/11
Celsion CORP DE 5.02 11/29/11
Celsion CORP DE 7.01 12/02/11
CHARTER COMMUNICATIONS, INC. /MO/ DE 8.01,9.01 11/30/11
CHARTER FINANCIAL CORP/GA 8.01,9.01 11/29/11
China Bio-Energy Corp. DE 4.01 06/21/11
China Housing & Land Development, Inc NV 8.01,9.01 11/28/11
CHURCH & DWIGHT CO INC /DE/ DE 8.01 12/01/11
CINTAS CORP WA 5.02 12/02/11
CLAIMSNET COM INC DE 1.01,2.03,9.01 11/30/11
CMS ENERGY CORP MI 7.01,9.01 12/02/11
COLONIAL COMMERCIAL CORP NY 1.01,5.02,9.01 11/29/11
COMCAST CORP PA 7.01,9.01 12/02/11
COMERICA INC /NEW/ DE 7.01,9.01 12/02/11
COMMERCETEL CORP NV 1.01,3.02,5.02,5.03, 11/25/11
9.01
Converted Organics Inc. DE 4.01,9.01 11/29/11
CorMedix Inc. DE 1.02 12/01/11
Crestwood Midstream Partners LP DE 8.01,9.01 12/01/11
CULP INC NC 5.07 09/20/11 AMEND
CUMULUS MEDIA INC DE 5.02,9.01 11/29/11
CVR ENERGY INC DE 5.02,9.01 11/29/11
CVR PARTNERS, LP DE 5.02,9.01 11/29/11
Cyalume Technologies Holdings, Inc. DE 4.01,9.01 11/28/11
CYTOKINETICS INC 5.02,9.01 11/17/11
DAKTRONICS INC /SD/ SD 7.01,9.01 12/02/11
DAKTRONICS INC /SD/ SD 5.02 12/01/11
Data Storage Corp NV 1.01,3.02,8.01,9.01 11/29/11
DAYSTAR TECHNOLOGIES INC DE 3.01 11/29/11
DEERE & CO DE 7.01 12/02/11
DEERE JOHN CAPITAL CORP DE 9.01 12/02/11
DIAMOND HILL INVESTMENT GROUP INC OH 8.01 12/02/11
Douglas Lake Minerals Inc. NV 2.01,3.02 11/30/11
DPL INC OH 4.01 11/28/11
DUSA PHARMACEUTICALS INC NJ 1.01 11/29/11
DYNEGY INC. DE 5.02,7.01,9.01 11/28/11
DYNEGY INC. DE 8.01,9.01 12/01/11
ECOLAB INC DE 2.01,5.03,8.01,9.01 12/01/11
EMPIRE ENERGY CORP UT 8.01,9.01 12/02/11
EMTEC INC/NJ UT 5.02 12/01/11
Encore Energy Partners LP DE 1.02,3.01,3.03,5.02, 12/02/11
5.03,5.07,7.01,9.01
ENVIRO VORAXIAL TECHNOLOGY INC ID 5.02 12/02/11
EVERGREEN ENERGY INC DE 3.01,9.01 12/01/11
FAR EAST ENERGY CORP NV 1.01,2.03,9.01 11/28/11
FedFirst Financial Corp 5.02,9.01 11/30/11
FEMALE HEALTH CO WI 2.02,9.01 12/02/11
FIDUCIARY/CLAYMORE MLP OPPORTUNITY FU DE 7.01,9.01 11/30/11
FINISAR CORP DE 5.07 11/28/11
FIRST CHINA PHARMACEUTICAL GROUP, INC NV 2.01,3.02,5.02,5.06, 09/15/10 AMEND
9.01
FIRST PACTRUST BANCORP INC MD 8.01,9.01 12/01/11
First Trinity Financial CORP 1.01,8.01,9.01 11/29/11
FLUSHING FINANCIAL CORP DE 7.01,9.01 12/02/11
Franklin Financial Corp VA 2.02,9.01 12/01/11
FREDERICK'S OF HOLLYWOOD GROUP INC /N NY 3.01,9.01 11/30/11
FRIENDLY ENERGY EXPLORATION NV 1.01,2.03,3.02,9.01 07/15/11
FRONTIER COMMUNICATIONS CORP DE 3.01,9.01 12/02/11
GASTAR EXPLORATION LTD 1.01,9.01 12/02/11
GBS Enterprises Inc NV 5.02 12/02/11
General Finance CORP DE 1.01,1.02 12/02/11
Genius Brands International, Inc. NV 5.03,8.01,9.01 11/28/11
GETTY REALTY CORP /MD/ MD 8.01,9.01 11/30/11
GLOBAL BEVERAGES, INC. NV 8.01,9.01 02/01/11
Global Telecom & Technology, Inc. DE 5.02 11/28/11
GLOBE SPECIALTY METALS INC 5.02 11/30/11
GRANITE CITY FOOD & BREWERY LTD MN 5.02,9.01 11/29/11
Greektown Superholdings, Inc. DE 8.01 12/02/11
GREEN EQUITY HOLDINGS, INC. NV 4.01 11/28/11
Green Planet Bio Engineering Co. Ltd. 4.01,9.01 11/18/11 AMEND
Guggenheim Build America Bonds Manage DE 7.01,9.01 11/30/11
GUGGENHEIM ENHANCED EQUITY STRATEGY F DE 7.01,9.01 11/30/11
GUGGENHEIM STRATEGIC OPPORTUNITIES FU DE 7.01,9.01 11/30/11
H&R BLOCK INC MO 2.02,9.01 12/01/11
Hampden Bancorp, Inc. DE 5.02,9.01 11/29/11
HAMPTON ROADS BANKSHARES INC VA 5.02 12/02/11
HILLMAN COMPANIES INC DE 8.01,9.01 12/01/11
HOLLY ENERGY PARTNERS LP DE 1.01,9.01 12/01/11
HUMANA INC DE 7.01 12/02/11
IDERA PHARMACEUTICALS, INC. DE 1.02,5.02,9.01 11/28/11
Independence Energy Corp. NV 5.02 11/30/11
Industrial Income Trust Inc. MD 8.01 11/30/11
INGRAM MICRO INC DE 5.02,5.05,9.01 11/29/11
INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01 12/01/11
JOHNSON CONTROLS INC WI 2.03,8.01,9.01 11/29/11
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 12/02/11
KINDER MORGAN MANAGEMENT LLC DE 7.01 12/02/11
KINDER MORGAN, INC. DE 7.01 12/02/11
KINDRED HEALTHCARE, INC DE 8.01 11/29/11
KRATOS DEFENSE & SECURITY SOLUTIONS, DE 8.01,9.01 12/01/11
LANDMARK ENERGY ENTERPRISE, INC. NV 4.01,9.01 11/30/11
LEXARIA CORP. NV 1.01,2.03,3.02,9.01 12/02/11
LIFEWAY FOODS INC IL 8.01,9.01 11/29/11
LIGHTSTONE VALUE PLUS REAL ESTATE INV MD 8.01 11/29/11 AMEND
LIMITED BRANDS INC DE 2.02,7.01,8.01 11/26/11
LOCAL.COM DE 1.01,9.01 11/29/11
LRAD Corp DE 5.02 11/30/11
Madison Square Garden Co DE 5.07 11/30/11
MAGNUM HUNTER RESOURCES CORP DE 1.01,1.02,8.01,9.01 12/02/11
MANAS PETROLEUM Corp NV 1.01,3.02,9.01 11/22/11
MAP Pharmaceuticals, Inc. DE 1.01 11/29/11
Marine Drive Mobile Corp. NV 1.01,2.01,3.02,5.02, 09/12/11 AMEND
5.06,9.01
MDC HOLDINGS INC DE 5.02 12/01/11
MEDICINOVA INC DE 5.02 11/29/11
MEDICIS PHARMACEUTICAL CORP DE 2.01,9.01 12/02/11
MEDIWARE INFORMATION SYSTEMS INC NY 5.02,5.07,8.01,9.01 12/01/11
Meritage Homes CORP MD 2.06,8.01,9.01 12/02/11
METRO BANCORP, INC. 8.01 12/02/11
MF Global Holdings Ltd. DE 1.03,5.02 11/28/11
MOTRICITY INC DE 9.01 04/14/11 AMEND
Nalco Holding CO 2.01,3.01,3.03,5.01, 12/02/11
5.02,5.03,9.01
NeuMedia, Inc. DE 3.02 12/01/11
NEW ENERGY SYSTEMS GROUP NV 5.07 11/28/11
NEW YORK MORTGAGE TRUST INC MD 1.01,9.01 12/01/11
NEWS CORP 8.01,9.01 12/02/11
Next 1 Interactive, Inc. NV 2.03,9.01 10/04/11
NORTHWEST BIOTHERAPEUTICS INC DE 1.01,3.02,8.01 11/28/11
O REILLY AUTOMOTIVE INC 8.01 11/29/11
Och-Ziff Capital Management Group LLC DE 7.01 12/02/11
OCZ TECHNOLOGY GROUP INC DE 2.02,9.01 12/01/11
Oncothyreon Inc. DE 5.02 12/01/11
ONCURE HOLDINGS INC 1.01,5.02 11/28/11
OPENWAVE SYSTEMS INC DE 5.02 11/28/11
OSI SYSTEMS INC DE 5.07 12/01/11
Pacific Ethanol, Inc. DE 1.01,9.01 11/29/11
PAETEC Holding Corp. 1.02,2.01,3.01,3.03, 11/30/11
5.01,5.02,5.03,9.01
PERMA FIX ENVIRONMENTAL SERVICES INC DE 5.07 08/24/11 AMEND
PetroAlgae Inc. DE 1.01,9.01 10/25/11
PFF BANCORP INC DE 8.01,9.01 11/21/11
PFF BANCORP INC DE 8.01,9.01 11/21/11 AMEND
PHH CORP MD 8.01 12/02/11
PINNACLE AIRLINES CORP DE 5.02,9.01 11/30/11
POPULAR INC 7.01,9.01 12/02/11
Premier Beverage Group Corp NV 5.03,7.01,8.01,9.01 12/01/11
PRGX GLOBAL, INC. GA 1.01,3.02,9.01 12/01/11
pSivida Corp. DE 5.07 11/29/11
RACKSPACE HOSTING, INC. 1.01,5.02,9.01 12/01/11
Reliance Bancshares, Inc. MO 5.02 11/28/11
REPUBLIC BANCORP INC /KY/ KY 1.01,9.01 11/29/11
RESOURCE AMERICA, INC. DE 1.01,2.03,9.01 11/29/11
Revett Minerals Inc. A6 4.01,9.01 12/02/11
REYNOLDS AMERICAN INC 5.02,9.01 12/02/11
River Rock Entertainment Authority XX 8.01,9.01 12/02/11
ROSETTA STONE INC 5.02,9.01 12/01/11
ROYAL BANCSHARES OF PENNSYLVANIA INC PA 8.01 12/01/11
S1 CORP /DE/ DE 8.01,9.01 11/30/11
Samson Oil & Gas LTD C3 5.07,8.01,9.01 11/28/11
Sanomedics International Holdings, In DE 1.01,5.02,9.01 12/01/11
Santander Holdings USA, Inc. PA 8.01,9.01 12/02/11
SATCON TECHNOLOGY CORP DE 1.01,3.02,9.01 12/01/11
SAVIENT PHARMACEUTICALS INC DE 4.01,9.01 11/30/11
SENOMYX INC DE 8.01,9.01 12/01/11
SERVICE CORPORATION INTERNATIONAL TX 5.02 12/01/11
SHARPS COMPLIANCE CORP DE 5.02 12/02/11
Shire plc 8.01,9.01 12/01/11
SILLENGER EXPLORATION CORP. NV 1.01,5.02,9.01 11/30/11 AMEND
SILVER BULL RESOURCES, INC. NV 1.01,9.01 12/01/11
SOLUTIA INC DE 7.01,9.01 12/01/11
SONESTA INTERNATIONAL HOTELS CORP NY 8.01,9.01 12/02/11
SONOCO PRODUCTS CO SC 7.01,9.01 12/02/11
ST JOSEPH INC CO 4.01,9.01 09/02/11 AMEND
STAGE STORES INC NV 8.01,9.01 12/01/11
STARWOOD HOTEL & RESORTS WORLDWIDE IN MD 8.01 12/01/11
STATE BANCORP INC NY 8.01,9.01 11/29/11
SUSSEX BANCORP NJ 5.02,9.01 12/02/11
SYNERGETICS USA INC 1.01,2.03,9.01 11/30/11
SYNERGY RESOURCES CORP CO 1.01,2.03,9.01 11/30/11
T3 Motion, Inc. DE 7.01,9.01 12/02/11
TAL International Group, Inc. DE 1.01,2.03 11/30/11
Targa Resources Corp. DE 5.02 12/01/11
Targa Resources Partners LP DE 5.02 12/01/11
TBS International plc L2 7.01,9.01 12/02/11
TD AMERITRADE HOLDING CORP DE 1.01,9.01 11/28/11
TEAM INC TX 1.01,3.03,5.03,9.01 12/02/11
Teavana Holdings Inc 2.02,5.02,9.01 12/01/11
THERAVANCE INC DE 8.01,9.01 12/02/11 AMEND
THERMOENERGY CORP DE 4.01,9.01 12/01/11
THOR INDUSTRIES INC DE 2.02,9.01 11/28/11
TIME WARNER CABLE INC. DE 8.01,9.01 12/02/11
TIMKEN CO OH 8.01 11/29/11
TITAN INTERNATIONAL INC IL 1.02,9.01 11/30/11
TITAN PHARMACEUTICALS INC DE 8.01,9.01 12/01/11
TK Star Design, Inc. NV 1.01,3.02,9.01 11/30/11
TMX Finance LLC DE 2.02,9.01 11/29/11
TRANS LUX CORP DE 5.02 12/02/11
Transocean Ltd. V8 8.01,9.01 12/01/11 AMEND
TRANZYME INC DE 1.01,2.03,9.01 12/01/11 AMEND
TRI-CONTINENTAL CORP MD 7.01,9.01 12/02/11
Tri-Tech Holding, Inc. E9 5.07,9.01 11/30/11
UIL HOLDINGS CORP CT 1.01,2.03,9.01 11/30/11
United Continental Holdings, Inc. DE 5.02 11/28/11
UNITED STATES STEEL CORP DE 5.03,9.01 11/29/11
US CONCRETE INC DE 5.02 11/28/11
UTAH MEDICAL PRODUCTS INC UT 9.01 03/17/11 AMEND
Vanguard Natural Resources, LLC DE 1.01,1.02,2.01,2.03, 12/02/11
5.07,7.01,9.01
VECTOR GROUP LTD DE 8.01,9.01 12/02/11
Venoco, Inc. DE 5.02 12/02/11
VENTAS INC DE 8.01 11/29/11
VERINT SYSTEMS INC DE 5.02,7.01,8.01,9.01 11/30/11
Verisk Analytics, Inc. DE 1.01,8.01,9.01 12/01/11
VERIZON COMMUNICATIONS INC DE 7.01,9.01 12/02/11
VICON INDUSTRIES INC /NY/ NY 2.02 12/01/11
VICON INDUSTRIES INC /NY/ NY 2.02,9.01 12/01/11 AMEND
Vicor Technologies, Inc. DE 5.02 11/29/11
VirnetX Holding Corp DE 8.01 12/02/11
Wendy's Co DE 1.01,9.01 12/02/11
WESTERN DIGITAL CORP DE 7.01,9.01 12/01/11
Western Refining, Inc. DE 1.01,9.01 11/30/11
WGL HOLDINGS INC VA 8.01 11/30/11
WINDSTREAM CORP DE 1.01,2.03,8.01,9.01 11/30/11
WINLAND ELECTRONICS INC MN 2.02,9.01 11/14/11
WINNER MEDICAL GROUP INC NV 2.02,9.01 11/30/11
WISCONSIN ENERGY CORP WI 5.02 12/01/11
Wizard World, Inc. DE 5.02,9.01 12/01/11
WORLDWIDE ENERGY & MANUFACTURING USA CO 1.01,9.01 11/21/11
XCel Brands, Inc. DE 5.03,9.01 12/01/11
XENOPORT INC DE 8.01 12/02/11
ZALDIVA INC FL 5.07 12/02/11
ZILLOW INC WA 7.01 12/02/11
http://www.sec.gov/news/digest/2011/dig120511.htm
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