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Commission AnnouncementsSEC Advisory Committee on Small and Emerging Companies to Hold Conference Call MeetingThe Securities and Exchange Commission Advisory Committee on Small and Emerging Companies will hold a public meeting by conference telephone call on Friday, January 6. The meeting will begin at 1:00 p.m. EST, and an audio webcast will be available on the SEC’s website at www.sec.gov. The agenda includes discussion of a recommendation to the Commission on relaxing restrictions on general solicitation and advertising of securities offerings that are exempt from registration. The advisory committee was formed last year to provide a formal mechanism for the Commission to receive advice and recommendations on privately held small businesses and publicly traded companies with a market capitalization less than $250 million. More information about the SEC's Advisory Committee on Small and Emerging Companies is available at http://www.sec.gov./info/smallbus/acsec.shtml. (Press Rel. 2012-4) ENFORCEMENT PROCEEDINGSIn the Matter of Clyde R. ParksOn January 3, 2012, the Commission issued an an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against Clyde R. Parks, a resident of Texas, based on the entry of a permanent injunction against him in the civil action entitled Securities and Exchange Commission v. Lindsey P. Vinson and Clyde R. Parks, Civil Action No. 3:06-2240 in the United States District Court for the Northern District of Texas, Dallas Division. In the Order, the Commission finds that, on December 9, 2011, the court entered an order permanently enjoining Parks, by consent, from future violations of Sections 10(b) and 13(b)(5) of the Exchange Act and Rules 10b-5 and 13a-14 thereunder and from aiding and abetting violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1, 13a-13 thereunder. Parks was ordered to pay $8,769 in disgorgement relief, $702 in prejudgment interest and a civil penalty of $8,769. The Commission further finds that the Complaint alleged that from about October 2003 through August 2005, Lindsey P. Vinson, a recidivist securities law violator, schemed to increase the price of stock in a company named Moliris Corporation. During a portion of this period, Parks acted as the company’s president and signed its periodic filings and a certification under Exchange Act Rule 13a-14. In addition, Parks was unjustly enriched through sales of Moliris stock under his control. Based on the above, the Order suspends Parks from appearing or practicing before the Commission as an attorney for five years. In consenting to the entry of the Order, Parks admitted the Order’s findings as to the entry of the injunction against him and its findings that the Commission has jurisdiction over him and over the matters set forth in the Order, Parks did not, however, admit any of the other findings in the Order. (Rel. 34-66089; File No. 3-14683) In the Matter of Anthony Fields, CPA d/b/a Anthony Fields & Associates and d/b/a Platinum Securities BrokersOn January 4, 2012, 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), and Section 9(b) of the Investment Company Act of 1940 to determine whether Anthony Fields (Fields) willfully violated the antifraud provisions of the Securities Act, the Exchange Act, and the Advisers Act and the books-and-records provisions of the Advisers Act. Fields resides in Lyons, Illinois and is an investment adviser that has been registered with the Commission since March 2010. The Division of Enforcement alleges in the Order that from Fall 2010 through November 2011, Fields made fraudulent offers of fictitious securities through various forms of social media, including LinkedIn, and thereby willfully violated Section 17(a) of the Securities Act, which prohibits the fraudulent offer or sale of securities. The Division of Enforcement further alleges that Fields had no assets under management and therefore was ineligible to register with the Commission, thus willfully violating Section 203A of the Advisers Act, that Fields reported false and materially misleading information to the Commission on his Form ADV in violation of Section 207 of the Advisers Act, which prohibits making untrue statements of material fact in Commission filings, and that Fields published false and materially misleading information on two websites he controlled, thereby willfully violating Sections 206(1) and 206(2) of the Advisers Act, which prohibit fraudulent conduct by an investment adviser. The Division of Enforcement alleges that Fields failed to maintain required records, including copies of all communications circulated or distributed to 10 or more persons, thereby willfully violating Section 204 of the Advisers Act and Rule 204-2(e)(3)(i) thereunder, and that Fields did not have a written code of ethics, thereby willfully violating Section 204A of the Advisers Act and Rule 204A-1 thereunder. Additionally, the Division of Enforcement alleges that Fields failed to adopt and implement written policies and procedures reasonably designed to prevent violation of the Advisers Act and the rules thereunder, thereby willfully violating Section 206(4) of the Advisers Act and Rule 206(4)-7 thereunder. Finally, the Division of Enforcement alleges that Fields, without being registered as a broker-dealer, has used social media platforms, including LinkedIn, to offer to buy and sell fraudulent bank guarantees and medium term notes in exchange for transaction-based compensation, thereby willfully violating Section 15(a) of the Exchange Act, which prohibits operating as an unregistered broker-dealer. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, to provide the Respondent an opportunity to dispute the allegations, to determine: what, if any, remedial sanctions are appropriate in the public interest pursuant to Section 15(b) of the Exchange Act, Sections 203(e) and 203(f) of the Advisers Act, and Section 9(b) of the Investment Company Act of 1940; whether, pursuant to Section 8A of the Securities Act, Section 21C of the Exchange Act and Section 203(k) of the Advisers Act, Respondent should be ordered to cease and desist from committing or causing violations of or any future violations of Sections 17(a)(1) and 17(a)(3) of the Securities Act, Section 15(a) of the Exchange Act, and Sections 203A, 204, 204A, 206(1), 206(2), 206(4), and 207 of the Advisers Act and Rules 204-2(a)(11), 204-2(e)( 3)(i), 204A-1, 206(4)-1(a)(5), and 206(4)-7 thereunder; whether Respondent should be ordered to pay a civil penalty pursuant to Section 8A(g) of the Securities Act, Section 21B(a) of the Exchange Act, and Section 203(i) of the Advisers Act; and whether Respondent should be ordered to pay disgorgement pursuant to Section 8A(e) of the Securities Act, Sections 21B(e) and 21C(e) of the Exchange Act, and Section 203 of the Advisers Act. The Order requires the Administrative Law Judge to issue an initial decision no later than 300 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. 33-9291; File No. 3-14684) In the Matter of James L. HaleyOn January 4, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against James L. Haley (Haley). The Order finds that Haley was the sole owner of Cornerstone Capital Fund (Cornerstone) and Vantage Point Capital (Vantage Point). The Order further finds that Haley has never been registered as a broker-dealer or associated with a broker or dealer registered with the Commission and has never held any securities licenses. Haley solicited investors for Cornerstone and Vantage Point, neither of which registered any offering of its securities under the Securities Act of 1933 (Securities Act) or a class of securities under the Securities Exchange Act of 1934 (Exchange Act) and there was no valid exemption from registration of the securities. On December 22, 2011, a final judgment was entered by consent against Haley, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act, Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Raymond P. Morris, et al., Civil Action Number 2:11-cv-00021, in the United States District Court for the District of Utah, Central Division. Based on the above, the Order bars Haley from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and bars him from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase of any penny stock. Haley consented to the issuance of the Order without admitting or denying any of the findings in the Order, except that he admitted to the entry of the permanent injunction. (Rel. 34-66101; File No. 3-14685) In the Matter of Alfred Clay Ludlum, IIIAn Administrative Law Judge has issued Initial Decision No. 447, Alfred Clay Ludlum, III, Admin. Proc. No. 3-14572, finding that the allegations in the Order Instituting Proceedings issued by the Securities and Exchange Commission on September 29, 2011, are true. On September 21, 2011, Respondent Alfred Clay Ludlum, III (Ludlum) was enjoined from future violations of 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 Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 (Advisers Act), and from aiding and abetting violations of Sections 203, 204, and 207 of the Advisers Act. See SEC v. Ludlum, No. 2:10-cv-07379-MSG (E.D. Pa. Sept. 21, 2011). Initial Decision No. 447 finds that it is in the public interest to bar Ludlum from association with an investment adviser, broker, dealer, municipal securities dealer, or transfer agent. (Initial Decision No. 447; File No. 3-14572) SEC Charges Three Individuals For Their Role in $16 Million Ponzi SchemeOn January 3, 2012, the Securities and Exchange Commission announced that, on December 29, 2011, it filed a civil fraud action against Kevin J. Wilcox, Jennifer E. Thoennes, and Eric R. Nelson for their role in a $16 million Ponzi scheme operated by Joseph Nelson. The SEC previously charged Joseph Nelson and others involved in the scheme. The SEC’s complaint, filed in the U.S. District Court for the District of Utah, alleges that from at least June 2005 through June 2010, Joseph Nelson and his associates, including at various times Wilcox and Thoennes, solicited at least $16 million from more than 100 persons to invest in promissory notes offered by Joseph Nelson’s companies. Nelson, Wilcox, and Thoennes told investors – many of whom are fellow members of the Church of Jesus Christ of Latter Day Saints (“LDS”) that Nelson identified and targeted through church connections and during church functions – that Nelson and Nelson’s companies were engaged in the business of purchasing “merchant portfolios” of credit card processing accounts, holding them for a certain period of time, and then selling them for a profit to financial institutions, such as banks. According to the SEC’s complaint, Nelson, Wilcox, and Thoennes lured investors by offering extraordinary rates of return. Most investors were given promissory notes promising returns of 14% to 60% on an annualized basis and additional premium of 20% to 60% at maturity. Some investors were simply told that they would double their money. The SEC alleges that Nelson and his companies never purchased or sold a single merchant portfolio. The money invested with Nelson and his companies was instead used by Nelson to make incremental payments to investors in a Ponzi-scheme fashion, to pay his associates, including Wilcox and Thoennes, and to pay his own lavish personal expenses, as well as those of other family members. The SEC’s complaint alleges that between May 2008 and July 2010, Wilcox raised and helped to raise approximately $3 million from at least 11 people. Between August 2009 and January 2010, Thoennes raised and helped to raise at least $1.5 million from at least 4 persons, and solicited investments from at least 15 other individuals who did not invest with the Nelson companies. The SEC’s complaint also alleges that Eric Nelson, Joseph Nelson’s brother, created fictitious documents that Joseph Nelson and his associates used to mislead investors into believing that Joseph Nelson and his companies were engaged in the business of buying and selling merchant credit card portfolios. In addition, the SEC claims that Eric Nelson created fictitious bank account statements reflecting balances in his brother’s accounts that were far in excess of the actual amounts in those accounts, which deceived investors about the continued viability of Nelson and his companies. The SEC’s complaint charges that Wilcox, Thoennes, and Eric Nelson each violated and aided and abetted violations of the antifraud provisions of the federal securities laws – 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 complaint also alleges that Wilcox and Thoennes violated the broker-dealer and securities registration provisions of the securities laws – Sections 5(a) and 5(c) of the Securities Act, and Exchange Act Section 15(a). The SEC seeks permanent injunctions, disgorgement of ill-gotten gains with prejudgment interest thereon, and civil penalties against Wilcox, Thoennes, and Eric Nelson. The SEC’s previously filed action against Joseph Nelson and others is pending in the U.S. District Court for the District of Utah. See Litigation Release No. 21570 (June 25, 2010). Wilcox and Eric Nelson were named as relief defendants in that action. [SEC v. Kevin J. Wilcox, Jennifer E. Thoennes, and Eric R. Nelson, Civil Action No. 2:11-cv-01219-DN (D. Utah] (LR-22218) SEC v. Life Partners Holdings, Inc., Brian D. Pardo, R. Scott Peden and David M. MartinThe Securities and Exchange Commission today charged Texas-based financial services firm Life Partners Holdings and three of its senior executives for their involvement in a fraudulent disclosure and accounting scheme involving life settlements. The SEC alleges that Life Partners chairman and CEO Brian Pardo, president and general counsel Scott Peden, and chief financial officer David Martin misled shareholders by failing to disclose a significant risk to Life Partners’ business: the company was systematically and materially underestimating the life expectancy estimates it used to price transactions. Life expectancy estimates are a critical factor impacting the company’s revenues and profit margins as well as the company’s ability to generate profits for its shareholders. The SEC alleges that Life Partners and the three executives were involved in disclosure violations and improper accounting that Life Partners used to overvalue assets held on the company’s books and create the appearance of a steady stream of earnings from brokering life settlement transactions. The SEC further charged Pardo and Peden with insider trading in their shares of Life Partners stock while in possession of material, non-public information indicating that the company had systematically and materially underestimated life expectancy estimates. [SEC v. Life Partners Holdings, Inc., Brian D. Pardo, R. Scott Peden and David M. Martin, Case No. 6:12-cv-00002 (United States District Court for the Western District of Texas] (LR-22219; AAE Rel. 3351) SEC Charges Company and Its Officers With Accounting FraudThe Securities and Exchange Commission announced today that it filed an action in federal court in Massachusetts against JBI, Inc., a publicly-traded company formerly located in Massachusetts and now headquartered in Ontario, Canada. The Commission also charged JBI’s current CEO, John Bordynuik, a resident of Ontario, Canada, and its former CFO, Ronald Baldwin, Jr, a resident of Palm Harbor, Florida. The action alleges that the defendants engaged in a scheme to commit securities and accounting fraud by reporting materially false and inaccurate financial information on the financial statements of JBI, Inc. for two reporting periods during 2009. According to the Commission’s complaint, JBI is purportedly a technology company focused on data restoration and recovery and environmentally engineered product development. The company is headquartered in Canada, but purportedly has operations in New York, Florida, Ohio, and Pennsylvania. The complaint alleges that JBI is purportedly also involved in the research and development of a process designed to convert plastic waste into oil, known as “Plastic2Oil” or “P2O”. The Commission alleges that during the third quarter of 2009 and the year end 2009, JBI materially overstated certain assets in an effort to bolster its balance sheet and success in two private capital raising efforts (Private Investment in Public Equity or PIPES) geared toward raising the capital necessary to begin commercial operation and production of P2O. The Complaint alleges that JBI raised over $8.4 million for the company in these PIPES just before the company issued a public statement indicating its financial statements could no longer be relied upon, in part, due to the erroneous valuation of certain assets, known as media credits, on the balance sheet. The Commission alleges that in contravention of Generally Accepted Accounting Principles (“GAAP”), the company erroneously booked the media credits at a value of $9.997 million, thereby becoming the single largest asset on the company’s balance sheet, when they should have been initially booked at a value of $1,000,000 when acquired in August 2009, and subsequently, the media credits should have been remeasured at their current value and written down to zero as of the end of the company’s third fiscal quarter on September 30, 2009. According to the complaint, Bordynuik was aware of, or was reckless in not being aware of, GAAP concerns surrounding the reported value of the media credits in advance of the company’s third quarter 2009 Form 10-Q filing with the Commission on November 16, 2009 and the year end 2009 Form 10-K filing with the Commission on March 31, 2010 yet falsely certified that the company’s financial statements for those reporting periods were filed in conformity with GAAP. The Commission complaint further alleges that Baldwin was aware of, or was reckless in not being aware of, GAAP concerns surrounding the reported value of the media credits in advance of the company’s year-end 2009 10-K filing on March 31, 2010, yet falsely certified that the company’s financial statements for that period were filed in conformity with GAAP. The Commission’s complaint charges JBI, Inc. with violating Section 17(a) of the Securities Act of 1933 (“Securities Act”) and Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B) and 13(b)(5) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rules 10b-5, 12b-20, 13a-1, 13a-11 and 13a-13 thereunder. The complaint alleges that Bordynuik violated Sections 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5, and Section 13(b)(5) of the Exchange Act. In addition, the Commission’s complaint alleges that Baldwin violated Sections 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5, and Section 13(b)(5). Finally, the complaint alleges that Bordynuik and Baldwin violated directly or aided and abetted JBI’s violations of Sections 10(b), 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 10b-5, 12b-20, 13a-1, 13a-11 (Bordynuik only), 13a-14, 13b2-1 and 13b2-2 (Bordynuik only). In its complaint, the Commission seeks permanent injunctions, disgorgement plus prejudgment interest, and civil penalties against all three defendants, and officer and director bars against Bordynuik and Baldwin. [SEC v. JBI, Inc., John Bordynuik and Ronald Baldwin, Jr., Civil Action No. 1:12-cv-10012, United States District Court, District of Massachusetts] (LR-22220; AAE Rel. 3352) INVESTMENT COMPANY ACT RELEASESNotice of Applications for Deregistration under the Investment Company Act of 1940For the month of December 2011, a notice has been issued giving interested persons until January 24, 2012, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act of 1940 declaring that the applicant has ceased to be an investment company:
(Rel. IC-29898 - December 30) Orders of Deregistration Under the Investment Company Act of 1940Orders have been issued under Section 8(f) of the Investment Company Act of 1940 declaring that each of the following has ceased to be an investment company:
SELF-REGULATORY ORGANIZATIONSProposed Rule ChangesThe Financial Industry Regulatory Authority, Inc. filed Amendment No. 2 to a proposed rule change, as modified by Amendment No. 1, (SR-FINRA-2011-035) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the consolidated FINRA rulebook. Publication is expected in the Federal Register during the week of January 2. (Rel. 34-66049) NASDAQ OMX PHLX LLC filed with the Securities and Exchange Commission a proposed rule change (SR-Phlx-2011-179) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to the MSCI EM Index. Publication is expected in the Federal Register during the week of January 2. (Rel. 34-66077) NASDAQ OMX PHLX LLC filed a proposed rule change (SR-Phlx-2011-178) relating to Stock Execution Clerks pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 2. (Rel. 34-66079) The Commission issued a notice of filing of a proposed rule change by the Financial Industry Regulatory Authority, Inc. (FINRA) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, relating to establishing a Governmental Accounting Standards Board accounting support fee (SR-FINRA-2011-073). Publication is expected in the Federal Register during the week of January 2. (Rel. 34-66080) The Options Clearing Corporation (OCC) filed a proposed rule change (File No. SR-OCC-2011-19) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to the clearance and settlement of over-the-counter options. Publication is expected in the Federal Register during the week of January 2. (Rel. 34-66090) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the C2 Options Exchange, Incorporated (SR-C2-2011-042) related to the exchange’s Automated Improvement Mechanisms 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 January 2. (Rel. 34-66075) A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2011-173) to modify fees for the trading and compliance data package 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 January 2. (Rel. 34-66078) A proposed rule change filed by C2 Options Exchange, Incorporated to amend the fees schedule with respect to public customer maker/taker fee (rebate) and connectivity charges (SR-C2-2011-041) 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 January 2. (Rel. 34-66082) A proposed rule change (SR-ISE-2011-84) filed by the International Securities Exchange, LLC to modify the fees for complex orders in Nasdaq 100 Index options and Russell 2000 Index options 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 January 2. (Rel. 34-66084) A proposed rule change filed by the NASDAQ OMX PHLX LLC (SR-Phlx-2011-180) relating to the rebates and fees for adding and removing liquidity in Select Symbols 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 January 2. (Rel. 34-66085) A proposed rule change filed by the NASDAQ OMX PHLX LLC (SR-Phlx-2011-181) to access service fees 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 January 2. (Rel. 34-66086) A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2011-182) relating to the PHLX Market Exhaust functionality 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 January 2. (Rel. 34-66087) Accelerated Approval of Proposed Rule ChangesA proposed rule change filed by Options Clearing Corporation (OCC) relating to DCO 60 Day Regulations (SR-OCC-2011-18) has been approved on an accelerated basis pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 2. (Rel. 34-66081) A proposed rule change filed by Chicago Mercantile Exchange Inc. (CME) to comply with new CFTC DCO Regulations (SR-CME-2011-19) has been approved on an accelerated basis pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 2. (Rel. 34-66083) 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 EFACTOR HOLDINGS INC, 105 BARBAREE WAY, TIBURON, CA, 94920, 415-381-4806 - 6,805,000 ($9,527,000.00) Equity, (File 333-178851 - Jan. 3) (BR. 03A) S-8 TENGION INC, 2900 POTSHOP LANE, SUITE 100, EAST NORRITON, PA, 19403, 267-960-4800 - 958,519 ($43.94) Equity, (File 333-178864 - Jan. 3) (BR. 01A) S-8 VALLEY NATIONAL BANCORP, 1455 VALLEY RD, WAYNE, NJ, 07470, 9733053380 - 0 ($6,009,291.60) Equity, (File 333-178867 - Jan. 3) (BR. 07C) S-3 TOWERSTREAM CORP, 55 HAMMARLUND WAY, MIDDLETOWN, RI, 02842, (401) 848-5848 - 1,015,723 ($2,254,905.06) Equity, (File 333-178868 - Jan. 3) (BR. 11C) S-4 ACCO BRANDS CORP, 300 TOWER PARKWAY, LINCOLNSHIRE, IL, 60069, 847-484-4800 - 0 ($551,412,000.00) Equity, (File 333-178869 - Jan. 3) (BR. 05A) RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 3D SYSTEMS CORP DE 2.01,7.01,9.01 01/03/12 ACACIA RESEARCH CORP DE 8.01 12/29/11 ACCELRYS, INC. DE 1.01,8.01,9.01 12/30/11 ACME PACKET INC DE 2.02,9.01 01/03/12 ACTUATE CORP DE 1.01,2.03,9.01 12/29/11 ADVANCE AUTO PARTS INC DE 5.02 12/27/11 ADVANCED ANALOGIC TECHNOLOGIES INC DE 8.01,9.01 01/03/12 AES CORP DE 7.01,9.01 01/03/12 AKORN INC LA 5.02,5.07,9.01 12/29/11 ALANCO TECHNOLOGIES INC AZ 1.01,9.01 01/03/12 ALL AMERICAN PET COMPANY, INC. MD 3.02,5.03 12/30/11 ALTAIR NANOTECHNOLOGIES INC Z4 7.01 01/03/12 AMARIN CORP PLC\UK X0 8.01,9.01 01/03/12 AMBASE CORP DE 5.02,8.01 12/30/11 AMEREN CORP MO 8.01 01/03/12 AMERICAN BIO MEDICA CORP NY 4.01 12/27/11 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 1.01,2.01,9.01 01/03/12 AMERICAN RIVER BANKSHARES CA 5.02,9.01 12/30/11 AMERICAN RIVER BANKSHARES CA 5.02,9.01 01/03/12 AMERICAN SCIENTIFIC RESOURCES INC NV 5.02 12/29/11 AMERICAN TOWER CORP /MA/ DE 1.01,2.01,2.03,3.01, 12/30/11 3.03,5.02,5.03,9.01 AMETEK INC/ DE 8.01 01/03/12 AMPAL-AMERICAN ISRAEL CORP NY 7.01,9.01 01/03/12 AMYRIS, INC. DE 2.03 12/28/11 ANNALY CAPITAL MANAGEMENT INC MD 8.01,9.01 01/03/12 ANWORTH MORTGAGE ASSET CORP MD 1.01,1.02,8.01,9.01 12/31/11 APARTMENT INVESTMENT & MANAGEMENT CO MD 8.01,9.01 12/31/11 APD ANTIQUITIES, INC. NV 1.01,3.02,5.07,9.01 12/28/11 ARENA PHARMACEUTICALS INC DE 8.01 01/03/12 Arista Power, Inc. NY 8.01,9.01 01/03/12 ATWOOD OCEANICS INC TX 7.01 01/03/12 AVEO PHARMACEUTICALS INC DE 8.01 01/03/12 Avery Dennison Corp DE 1.01,8.01,9.01 12/30/11 AXCELIS TECHNOLOGIES INC DE 1.01 12/27/11 BADGER METER INC WI 1.01,9.01 12/30/11 BARNES GROUP INC DE 8.01,9.01 12/30/11 Behringer Harvard Opportunity REIT II MD 1.02 12/27/11 BENIHANA INC DE 7.01,9.01 01/03/12 BIOTIME INC CA 8.01,9.01 01/03/12 BLACK HILLS CORP /SD/ SD 5.02 12/28/11 BLOUNT INTERNATIONAL INC DE 5.02,9.01 12/31/11 BLUE DOLPHIN ENERGY CO DE 5.02,9.01 01/03/12 Blue Earth, Inc. NV 1.01,2.01,3.02,5.02, 12/31/10 AMEND 9.01 BNL FINANCIAL CORP IA 5.01,5.07 12/28/11 BROOKLINE BANCORP INC DE 2.01,5.02,9.01 01/01/12 CARBONICS CAPITAL CORP DE 1.01,9.01 01/03/12 Cardiovascular Systems Inc DE 1.01,2.03 12/27/11 Cardium Therapeutics, Inc. DE 8.01,9.01 01/03/12 CELL THERAPEUTICS INC WA 7.01,8.01,9.01 01/03/11 CHAMPION INDUSTRIES INC WV 1.01,2.03,9.01 12/28/11 CHAMPION INDUSTRIES INC WV 5.02 01/03/12 Chelsea Therapeutics International, L DE 8.01,9.01 01/03/12 China Energy Recovery, Inc. DE 1.01 12/29/11 CHINA JO-JO DRUGSTORES, INC. 5.07 01/03/12 CHINA RECYCLING ENERGY CORP 1.01,2.01,9.01 12/31/11 China XD Plastics Co Ltd NV 5.02,9.01 12/31/11 Clean Slate, Inc. DE 1.01,5.01,5.02,9.01 12/23/11 Clear Channel Outdoor Holdings, Inc. DE 5.02 12/27/11 CNS RESPONSE, INC. DE 1.01,2.03,3.02 12/27/11 COMFORT SYSTEMS USA INC 5.02,9.01 12/29/11 COMMAND SECURITY CORP NY 5.02,9.01 01/03/12 COMMERCIAL METALS CO DE 1.01,2.03,8.01,9.01 12/27/11 COMMUNITYCORP 5.02 12/27/11 Computer Vision Systems Laboratories DE 8.01,9.01 01/03/12 CONMED CORP NY 1.01,9.01 01/03/12 CONNECTICUT WATER SERVICE INC / CT CT 1.01,1.02,5.02,8.01, 01/03/12 9.01 Converted Organics Inc. DE 1.01,2.03,3.02,9.01 01/03/12 CORPORATE EXECUTIVE BOARD CO DE 8.01 12/30/11 Corporate Resource Services, Inc. DE 5.03,9.01 12/29/11 CUBIC ENERGY INC TX 3.01,9.01 12/27/11 CUTERA INC DE 2.02,8.01,9.01 12/30/11 CYTOMEDIX INC DE 7.01,8.01,9.01 12/28/11 DAYSTAR TECHNOLOGIES INC DE 5.07 12/30/11 Delek US Holdings, Inc. 7.01,9.01 01/03/12 DOVER Corp DE 8.01,9.01 12/30/11 DOVER DOWNS GAMING & ENTERTAINMENT IN DE 1.01,3.03,9.01 01/01/12 EastBridge Investment Group Corp AZ 1.01,2.01,9.01 01/03/12 EASTMAN KODAK CO NJ 3.01,9.01 12/27/11 ECOLOGY COATINGS, INC. NV 8.01 01/03/12 EDIETS COM INC DE 1.01,5.02,9.01 12/30/11 Emergent BioSolutions Inc. DE 1.01 12/29/11 EMPIRE RESORTS INC DE 8.01,9.01 01/03/12 Extra Space Storage Inc. MD 8.01,9.01 12/31/11 Federal Home Loan Bank of Atlanta X1 2.03 01/03/12 Federal Home Loan Bank of Boston X1 2.03 12/29/11 Federal Home Loan Bank of Chicago X1 5.02 12/27/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 01/03/12 Federal Home Loan Bank of New York X1 2.03,9.01 12/29/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/28/11 Federal Home Loan Bank of Topeka 2.03,9.01 12/29/11 FIRST COMMUNITY CORP /SC/ SC 8.01 01/03/12 FIRST M&F CORP/MS MS 7.01,9.01 12/30/11 FIRST POTOMAC REALTY TRUST MD 1.01,2.03,9.01 12/29/11 FLURIDA GROUP INC NV 5.02 01/01/12 Forticell BioScience, Inc. DE 7.01 02/15/11 Fortress International Group, Inc. DE 5.02,9.01 01/03/12 Fushi Copperweld, Inc. NV 8.01,9.01 12/28/11 GASTAR EXPLORATION LTD 7.01,9.01 12/05/11 GENSPERA INC DE 5.02,9.01 12/28/11 Global Cash Access Holdings, Inc. DE 1.01 12/27/11 GOLDEN GRAIN ENERGY IA 1.01 12/16/11 GRUBB & ELLIS CO DE 5.07 12/29/11 GRYPHON GOLD CORP NV 7.01,9.01 01/03/12 GTJ REIT, Inc. MD 1.01 12/27/11 GULF ISLAND FABRICATION INC LA 5.02,9.01 01/01/12 Hartman Short Term Income Properties MD 5.03 12/30/11 HollyFrontier Corp DE 7.01,9.01 01/03/12 HORNE INTERNATIONAL, INC. DE 1.01,2.03,5.02,9.01 12/23/11 IBI ACQUISITIONS, INC. CO 1.01,2.01,3.02,5.02, 01/03/12 5.03,5.06,9.01 ICAD INC DE 1.01,2.03,3.02,9.01 12/29/11 ICF International, Inc. DE 2.01,8.01,9.01 12/31/11 IDACORP INC ID 8.01,9.01 12/30/11 Imperial Holdings, Inc. 1.01,1.02,7.01,9.01 12/30/11 Industrial Income Trust Inc. MD 8.01,9.01 01/03/12 INTERNAP NETWORK SERVICES CORP DE 1.01,2.03,7.01,9.01 12/30/11 INTERNATIONAL BUSINESS MACHINES CORP NY 5.03 01/01/12 INTERNATIONAL TEXTILE GROUP INC DE 1.01,2.03 12/27/11 IntraLinks Holdings, Inc. DE 8.01 12/27/11 ION GEOPHYSICAL CORP DE 5.02 01/01/12 JMG Exploration, Inc. NV 8.01 01/03/12 JONES SODA CO WA 1.01,2.03,9.01 12/27/11 KENSEY NASH CORP DE 7.01,9.01 01/03/12 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 01/03/12 LANDEC CORP \CA\ CA 2.02,9.01 01/03/12 LANDSTAR SYSTEM INC DE 5.02,9.01 01/03/12 LAPOLLA INDUSTRIES INC DE 3.02,8.01 12/26/11 LEAPFROG ENTERPRISES INC 5.01 12/27/11 Li3 Energy, Inc. NV 7.01,9.01 01/03/12 Liberty Interactive Corp 7.01,9.01 12/28/11 Liberty Media Corp DE 7.01,9.01 12/28/11 LINCARE HOLDINGS INC DE 8.01,9.01 01/03/12 LSB INDUSTRIES INC DE 8.01,9.01 12/30/11 Medley Capital Corp DE 5.02,9.01 12/28/11 MERITOR INC IN 8.01,9.01 01/02/12 MGP INGREDIENTS INC KS 5.03,9.01 01/03/12 Midway Gold Corp A1 3.01 01/03/12 MIMEDX GROUP, INC. FL 1.01,2.03,3.02,9.01 12/27/11 MONRO MUFFLER BRAKE INC NY 5.07 08/09/11 AMEND MONTPELIER RE HOLDINGS LTD 8.01,9.01 12/31/11 MOSAIC CO 2.02,9.01 12/28/11 MYR GROUP INC. DE 5.02,9.01 01/03/12 NATIONAL INSTRUMENTS CORP /DE/ DE 2.02,9.01 01/03/12 Natural Resources USA Corp 5.02,8.01 12/27/11 NeurogesX Inc CA 5.02,9.01 01/01/12 NEWTEK BUSINESS SERVICES, INC. NY 8.01 01/03/12 NEXAIRA WIRELESS INC. NV 2.04 12/30/11 O REILLY AUTOMOTIVE INC 7.01,9.01 01/03/12 OFFICIAL PAYMENTS HOLDINGS, INC. DE 5.03,8.01,9.01 01/03/12 OptimumBank Holdings, Inc. FL 5.07,9.01 12/27/11 ORASURE TECHNOLOGIES INC DE 7.01,9.01 01/03/12 Pacific Bepure Industry Inc DE 5.02 01/03/12 Parametric Sound Corp NV 1.01,3.02,5.02,9.01 12/29/11 PARKVALE FINANCIAL CORP PA 2.01,3.01,3.03,5.01, 12/30/11 9.01 PEOPLES FINANCIAL SERVICES CORP. PA 9.01 12/31/11 PFF BANCORP INC DE 8.01,9.01 12/20/11 PHH CORP MD 1.01,2.03,9.01 12/28/11 PIONEER DRILLING CO TX 7.01,8.01,9.01 01/03/12 PIXELWORKS, INC OR 5.02 12/30/11 POTASH AMERICA, INC. NV 3.02 01/03/12 PREFERRED APARTMENT COMMUNITIES INC MD 5.02,9.01 12/30/11 PREMIER HOLDING CORP. NV 1.01,2.01,3.02,8.01, 12/29/11 9.01 PREMIERWEST BANCORP OR 7.01 01/03/12 PROGRESS SOFTWARE CORP /MA MA 2.02,9.01 01/03/12 PROSPERITY BANCSHARES INC TX 8.01,9.01 01/03/12 QKL Stores Inc. DE 3.01 12/28/11 RADIENT PHARMACEUTICALS Corp DE 5.03,7.01,8.01,9.01 01/03/12 RAMBUS INC DE 8.01,9.01 01/03/12 RAMTRON INTERNATIONAL CORP DE 1.01,2.03,9.01 12/30/11 RCM TECHNOLOGIES INC NV 1.01,2.03,9.01 12/13/11 REGENERON PHARMACEUTICALS INC NY 1.01,9.01 01/03/12 REPROS THERAPEUTICS INC. DE 8.01,9.01 01/03/12 REPROS THERAPEUTICS INC. DE 8.01,9.01 01/03/12 RICKS CABARET INTERNATIONAL INC TX 5.07 08/16/11 AMEND ROTECH HEALTHCARE INC DE 5.02,9.01 12/29/11 RUSH ENTERPRISES INC \TX\ TX 1.01,9.01 12/29/11 SELECTIVE INSURANCE GROUP INC NJ 7.01 01/03/12 SENESCO TECHNOLOGIES INC DE 8.01,9.01 01/03/12 Shire plc 8.01,9.01 01/03/12 SIGNATURE GROUP HOLDINGS, INC. NV 7.01,9.01 12/29/11 Sino Green Land Corp NV 1.01,2.01,7.01,9.01 12/20/11 SMSA Treemont Acquisition Corp NV 1.01,2.01,3.02,4.01, 05/13/11 AMEND 5.01,5.02,5.06,9.01 SMUCKER J M CO OH 7.01,9.01 01/03/12 Snap Interactive, Inc DE 5.03,9.01 01/03/12 Solo International, Inc NV 1.01,9.01 12/20/11 AMEND Sound Financial, Inc. 5.02 12/30/11 SOVRAN SELF STORAGE INC MD 5.02 12/30/11 STEIN MART INC FL 8.01,9.01 12/29/11 STELLAR PHARMACEUTICALS INC 7.01,9.01 09/13/11 STELLAR PHARMACEUTICALS INC 7.01,9.01 09/13/11 STELLAR PHARMACEUTICALS INC 7.01,9.01 01/03/12 Strategic Storage Trust, Inc. MD 1.01,2.01,2.03,7.01, 12/27/11 9.01 SUFFOLK BANCORP NY 5.02,9.01 12/30/11 SYNTEL INC MI 5.02,9.01 01/01/12 TEAM INC TX 2.02,9.01 01/03/12 TECKMINE INDUSTRIES INC. NV 5.02,9.01 12/29/11 TGC INDUSTRIES INC TX 7.01,9.01 01/03/12 THOMAS PROPERTIES GROUP INC DE 1.02 12/19/11 TIVO INC DE 1.01,7.01,9.01 01/03/12 TODA INTERNATIONAL HOLDINGS INC. E9 5.02 12/29/11 TREDEGAR CORP VA 2.01,9.01 10/24/11 AMEND TREE TOP INDUSTRIES, INC. NV 5.03,9.01 12/28/11 Trius Therapeutics Inc DE 8.01,9.01 01/03/12 Two Harbors Investment Corp. 5.02,9.01 01/01/12 UTG INC 5.02 01/03/12 VALLEY NATIONAL BANCORP NJ 3.02,5.02,8.01,9.01 12/28/11 VECTREN CORP IN 8.01 01/03/12 Versant International, Inc. NV 1.01,3.03,5.01,5.02 12/27/11 VIEWCAST COM INC DE 1.01,3.02 12/27/11 WEST CORP DE 5.02,8.01,9.01 12/29/11 Western Union CO DE 5.02,9.01 01/03/12 WIKILOAN INC. 8.01,9.01 01/03/12 WORLD FUEL SERVICES CORP FL 5.02,9.01 01/03/12 XPLORE TECHNOLOGIES CORP DE 1.01,7.01,9.01 12/30/11 Zentric, Inc. NV 1.01 11/18/11 ZION OIL & GAS INC DE 8.01,9.01 01/03/12 ZOLTEK COMPANIES INC DE 1.01,9.01 01/01/12
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