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SEC News Digest
Issue 2012-13
January 20, 2012
Commission announcements
Securities and Exchange Commission Suspends Trading in the Securities of Four Issuers For Failure to Make Required Periodic Filings
The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EST on January 20, 2012 and terminating at 11:59 p.m. EST on February 2, 2012.
- Amstem Corporation (AMST)
- Anesiva, Inc. (ANSVQ)
- Balsam Ventures, Inc. (BSVN)
- Catcher Holdings, Inc. (CTHH)
The Commission temporarily suspended trading in the securities of these four issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-66199)
Fee Rate Advisory #5 for Fiscal Year 2012
The Securities and Exchange Commission today announced that on February 21, 2012 the fees rates applicable to most securities transactions will decrease from $19.20 per million dollars to $18.00 per million dollars. The assessment on security futures transactions will remain unchanged at $0.0042 for each round turn transaction.
The Commission determined these new rates in accordance with Section 31 of the Securities Exchange Act of 1934 (“Exchange Act”). Accordingly, the Commission consulted with both the Congressional Budget Office and the Office of Management and Budget regarding the annual adjustment. These adjustments do not affect the amount of funding available to the Commission. A copy of the Commission’s order, including the calculation methodology, is available at http://www.sec.gov/rules/other/2012/34-66202.pdf.
Please note that the fee rates for fiscal year 2012 previously announced on May 2, 2011 never became effective. As stated in that announcement, those fee rates would never become effective if, as was the case, a regular appropriation to the Commission for fiscal year 2012 was not enacted by October 1, 2011. Instead, the Commission is now issuing revised fee rates in accordance with the amendments to Section 31 of the Exchange Act made by the Dodd-Frank Wall Street Reform and Consumer Protection Act.
The Office of Interpretation and Guidance in the Commission’s Division of Trading and Markets is available for questions on Section 31 at (202) 551-5777, or by e-mail at tradingandmarkets@sec.gov. (Press Rel. 2012-15)
Rules and related matters
Covered Securities of Bats Exchange, Inc.
The Commission is adopting amendments to Rule 146(b) under the Securities Act of 1933 (“Securities Act”) to designate securities listed, or authorized for listing, on Tier I and Tier II of BATS Exchange, Inc. as “covered securities” under Section 18 of the Securities Act. Such a designation exempts these securities from state law qualification or registration requirements. The Commission also adopted amendments to Rule 146(b) to account for the name changes of the American Stock Exchange to NYSE Amex LLC, and the Philadelphia Stock Exchange, Inc. to NASDAQ OMX PHLX LLC. Publication is expected in the Federal Register during the week of January 23. (Rel. 33-9295)
Enforcement proceedings
In the Matter of Derek Lopez
On January 19, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Derek Lopez.
In the Order the Division of Enforcement alleges that Lopez was enjoined from future violations of Sections 5 and 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder in the civil action entitled Securities and Exchange Commission v. Blake G. Williams, et al., Civil Action Number 3:10-cv-10681, in the United States District Court for the Northern District of Texas. The Commission’s complaint in that action alleges, among other things, that Lopez engaged in a fraudulent scheme to sell stock in unregistered, non-exempt public offerings and to manipulate the markets for those stocks beginning in or about the middle of 2006 and continuing through at least 2008. The complaint alleges that through this conduct Lopez violated the securities registration and anti-fraud provisions of the federal securities laws. The complaint also alleges that Lopez’s conduct was part of a pervasive fraudulent scheme involving the stocks of several microcap issuers. Lopez consented to the final judgment (See Litigation Release No. 21539).
A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, to provide Lopez an opportunity to respond to the allegations, and to determine what, if any, remedial sanctions are appropriate in the public interest. The Order directs the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Commission’s Order. (Rel. 34-66194; File No. 3-14705)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of AEC, I, Inc., Aegir Ventures, Inc., American Toy Vending, Inc., and Bridge-It Corp. have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each 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 revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-66195; File No. 3-14646)
In the Matter of Regenesis Centers, Inc.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Five Respondents (Default Order) in Regenesis Centers, Inc., Admin. Proc. No. 3-14652. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of registered securities of Regenesis Centers, Inc., Regenex, Inc., A.J. Ross Logistics, Inc., Southern Gourmet Products, Inc., and Status Game Corp., pursuant to Section 12(j) of the Securities Exchange Act of 1934.
This proceeding has ended as to Respondent Suncast Network, Inc. See Regenesis Centers, Inc., Exchange Act Release No. 66185 (Jan. 19, 2012). (Rel. 34-66196; File No. 3-14652)
In the Matter of Ramco Energy PLC (n/k/a SeaEnergy PLC)
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Seven Respondents (Default Order) in Ramco Energy PLC (n/k/a SeaEnergy PLC)., Admin. Proc. No. 3-14661. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of registered securities of RTI, Inc., RTICA Corp., Runcorp, Inc. (f/k/a Remote Utilities, Inc.), Source Scientific, Inc., SpectraCom, Inc., Sportsco, Inc., and Stationmate, Inc. (n/k/a Oxysure, Inc.), pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act).
This proceeding is still ongoing as to Respondent Ramco Energy PLC (n/k/a SeaEnergy PLC). This proceeding has ended as to Respondent Spectacular Attractions, Inc. See Ramco Energy PLC (n/k/a SeaEnergy PLC), Exchange Act Release No. 66146 (Jan.12, 2012). (Rel. 34-66197; File No. 3-14661)
Commission Orders Hearings on Registration Suspension or Revocation Against Four Companies for Failure to Make Required Periodic Filings
In conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of four companies for failure to make required periodic filings with the Commission:
- Amstem Corporation (AMST)
- Anesiva, Inc. (ANSVQ)
- Balsam Ventures, Inc. (BSVN)
- Catcher Holdings, Inc. (CTHH)
In this Order, the Division of Enforcement (Division) alleges that the four 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 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 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. 34-66198; File No. 3-14706)
Commission Sustains FINRA Disciplinary Action Against Midas Securities, LLC, and Jay S. Lee
The Commission sustained FINRA disciplinary action against Midas Securities, LLC, formerly a FINRA member firm, and Jay S. Lee, its former president and chief executive officer. It also sustained FINRA's imposition of fines against Midas and Lee totaling $130,000 and a two year suspension against Lee in all principal capacities.
The Commission found that Midas violated Section 5 of the Securities Act of 1933 and NASD Rule 2110 by unlawfully selling securities for a customer without a registration statement in effect or an available exemption. The security involved was iStorage, Inc., a little known, thinly traded penny stock, which in late 2004 and early 2005 was subject of a spam e mail campaign touting the sale of the stock on the Pink Sheets. According to the Commission's decision, Midas conducted "no inquiry" into its customer's proposed iStorage sales, despite substantial indications that the sales were part of an illegal distribution. In connection with these unlawful sales, the Commission also found that Midas and Lee failed to reasonably supervise the salesmen conducting the sales and that Midas and Lee failed to maintain adequate written supervisory procedures in violation of NASD Rules.
In sustaining FINRA's sanctions, the Commission stated that Applicants' unregistered sales of securities and related supervisory failings "deprived investors of the protections afforded by the registration and disclosure requirements of the Securities Act." The Commission's decision stressed "that violations of the antifraud and other provisions of the securities laws frequently depend for their consummation . . . on the activities of broker dealers who fail to make diligent inquiry to obtain sufficient information to justify their activity in the security." (Rel. 34-66200; File No. 3 14308)
In the Matter of Leo T. Buggy
On January 20, 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 Leo T. Buggy. The Order finds that Buggy, formerly from Green River, Wyoming, a registered representative formerly associated with AXA Advisors, LLC, pled guilty to one count each of mail fraud, wire fraud, and money laundering before the United States District Court for the District of Wyoming, in United States v. Leo T. Buggy, No. 09-CR-190-B. Buggy was sentenced to a prison term of 46 months followed by three years of supervised release and ordered to make restitution in the amount of $1,220,067.80. The counts of the criminal information to which Buggy pled guilty alleged, inter alia, that Buggy knowingly devised and intended to devise a scheme and artifice to defraud and to obtain money from his clients at AXA Advisors by means of false and fraudulent pretenses, representations, and promises.
Based on the above, the Order bars Buggy from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and from participating in an offering of penny stock. Buggy consented to the issuance of the Order without admitting or denying any of the findings, except he admitted that he entered the guilty plea described above and that the criminal sanctions described above were imposed upon him. (Rel. 34-66205; File No. 3-14707)
In the Matter of AXA Advisors, LLC
On January 20, 2012, the Commission issued an Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Pursuant to Section 15(b)(4) of the Securities Exchange Act of 1934, (Order) against AXA Advisors, LLC (AXA Advisors). The Order finds that AXA Advisors failed reasonably to supervise Leo T. Buggy (Buggy) with a view to preventing and detecting his violations of the federal securities laws during the period December 2005 through December 2008. During this time period, Buggy fraudulently induced customers to redeem securities held at AXA Advisors, including variable annuities and mutual funds, under the false representation that the proceeds from such redemptions would be invested in other securities through AXA Advisors. Instead, Buggy caused customers to place those funds in a bank account controlled by Buggy, from which he misappropriated the funds.
Specifically, the Order finds that AXA Advisors failed to implement adequate procedures regarding the review of redemptions by customers of variable annuities. During the relevant period, AXA Advisors had procedures in place requiring supervisory review of securities transactions but did not have in place adequate procedures for the review of redemptions of variable annuities which occurred in the accounts of Buggy’s customers. The Order further finds that AXA Advisors failed to establish reasonable procedures to supervise registered representatives who were on leave for an extended period of time, including absences due to disability, with respect to the registered representatives’ servicing of customer accounts. During much of the relevant period, Buggy was certified as disabled by Respondent’s disability insurance carrier or advised AXA Advisors that he was not well and continued to take extended periods of leave. AXA Advisors assigned for servicing some of Buggy’s customer accounts to other registered representatives who were subject to the firm’s supervision. However, these measures were not sufficient to adequately supervise Buggy with respect to his servicing of the remainder of his customer accounts.
In determining to accept AXA Advisors’ Offer, the Commission considered the remedial acts undertaken by AXA Advisors to make improvements to its supervisory system. The Commission also considered the cooperation afforded the Commission’s staff, the cooperation afforded the criminal authorities who investigated Buggy’s scheme, and Respondent’s prompt reimbursement of all losses experienced by its customers.
Based on the above, the Order censures AXA Advisors, imposes a $100,000 civil money penalty, and orders AXA Advisors to undertake to have an Independent Compliance Consultant evaluate, and if appropriate, recommend enhancements to, its supervisory and compliance practices for circumstances where registered representatives are on extended leave, and in particular situations where registered representatives are receiving or seeking disability benefits, giving due regard to applicable employment and disability law considerations. AXA Advisors consented to the issuance of the Order without admitting or denying any of the findings therein. (Rel. 34-66206; File No. 3-14708)
In the Matter of Noah Freeman
On January 20, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions against Noah Freeman. The Order finds that from June 2008 to January 2010, Freeman was employed as a portfolio manager in the Boston Office of SAC Capital Management, LLC, an unregistered investment advisor based in Stamford, Connecticut, and that prior to June 2008, Freeman was a managing director at Sonar Capital Management, LLC (Sonar Capital), an investment adviser and hedge fund located in Boston, Massachusetts. Sonar Capital was a registered investment advisor from April 2005 until October 2006.
On February 8, 2011, the Commission filed a civil action against Freeman in SEC v. Longoria et al., Civil Action No. 11-CV-0753 (S.D.N.Y.). On December 23, 2011, the Court entered an order permanently enjoining Freeman, by consent, from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission’s complaint alleged that, in connection with the purchase or sale of securities, Freeman knew, recklessly disregarded, or should have known, that material non-public information he received from a tipper was disclosed or misappropriated in breach of a fiduciary duty, or similar relationship of trust and confidence, and Freeman is liable for the trading by Sonar Capital because he directly or indirectly caused Sonar Capital to place trades and/or unlawfully tipped inside information to Sonar Capital. On February 8, 2011, in a parallel criminal proceeding, Freeman pled guilty to one count of securities fraud and one count of conspiracy to commit securities fraud and wire fraud in violation of 15 U.S.C. §§ 78j(b) and 78ff and 18 U.S.C. § 371 before the United States District Court for the Southern District of New York, in United States v. Noah Freeman, 11-CR-000116 (JSR).
Based on the above, the Order bars Noah Freeman from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent. Freeman consented to the issuance of the Order without admitting or denying the findings in the Order, except he admitted to the entry of the injunction and the conviction. (Rel. IA-3359; File No. 3-14709)
Self-Regulatory Organizations
Approval of Proposed Rule Change
The Commission has approved a proposed rule change (SR-DTC-2011-09) filed by The Depository Trust Company (DTC) under Section 19(b)(2) of the Securities Exchange Act of 1934 with respect to a modification of a practice in order to mitigate systemic risk, specifically liquidity related, associated with DTC end of day net funds settlement. Publication is expected in the Federal Register during the week of January 23. (Rel. 34-66186)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the BATS Y-Exchange, Inc. (SR-BYX-2012-002) to extend the pilot program related to Clearly Erroneous Execution reviews 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 23. (Rel. 34-66187)
A proposed rule change filed by the BATS Exchange, Inc. (SR-BATS-2012-002) to extend the pilot program related to Clearly Erroneous Execution reviews 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 23. (Rel. 34-66188)
A proposed rule change filed by BATS Y-Exchange, Inc. (SR-BYX-2012-001) to extend the pilot program related to trading pauses due to extraordinary market volatility 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 23. (Rel. 34-66189)
A proposed rule change filed by BATS Exchange, Inc. (SR-BATS-2012-001) to extend the pilot program related to trading pauses due to extraordinary market volatility 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 23. (Rel. 34-66190)
Accelerated Approval of Proposed Rule Changes
The NYSE Arca, Inc. filed, and the Commission approved on an accelerated basis, a proposed rule change (SR-NYSEArca-2012-02) pursuant to Section 19(b)(1) of the Exchange Act to amend NYSE Arca Rule 9.4 and NYSE Equities Inc. Rules 5.3(d) and 9.4 relating to discretionary proxy voting on executive compensation matters and election of directors to comply with the Dodd-Frank Act. Publication is expected in the Federal Register during the week of January 23. (Rel. 34-66192)
The Commission granted approval to the accelerated delivery of a supplement to the options disclosure document, submitted by The Options Clearing Corporation (SR-ODD-2012-01) pursuant to Rule 9b-1 under the Securities Exchange Act of 1934, regarding disclosures on relative performance options. Publication is expected in the Federal Register during the week of January 23. (Rel. 34-66193)
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-1 Ample-Tee, Inc., 112 NORTH CURRY STREET, CARSON CITY, NV, 89703-4934,
(775)321-8214 - 5,000,000 ($150,000.00) Equity, (File 333-179079 -
Jan. 19) (BR. 02)
S-3ASR Jazz Pharmaceuticals plc, 3180 PORTER DRIVE, PALO ALTO, CA, 94304,
650-496-3777 - 0 ($0.00) Equity, (File 333-179080 - Jan. 19) (BR. 01A)
S-1 A&C United Agriculture Developing Inc., 700 COMMERCE DR., SUITE 500,
OAK BROOK, IL, 60523, 630-689-3456 - 4,305,000 ($430,500.00) Equity,
(File 333-179082 - Jan. 19) (BR. 05)
S-3 AEP TEXAS CENTRAL CO, 1 RIVERSIDE PLAZA, COLUMBUS, OH, 43215,
614-716-1000 - 1,000,000 ($1,000,000.00) Asset-Backed Securities,
(File 333-179092 - Jan. 19) (BR. 02B)
S-1 FIRST CAPITAL BANCORP, INC., 4222 COX ROAD, SUITE 200, GLEN ALLEN, VA,
23060, 804-276-1160 - 0 ($26,740,540.00) Equity, (File 333-179095 -
Jan. 19) (BR. 07B)
S-1 BIOHEART, INC., 13794 NW 4TH STREET, SUITE 212, SUNRISE, FL, 33325,
954-835-1500 - 40,000,000 ($1,800,000.00) Equity, (File 333-179096 -
Jan. 19) (BR. 01B)
S-8 RESEARCH FRONTIERS INC, 240 CROSSWAYS PARK DR, WOODBURY, NY,
11797-2033, 5163641902 - 750,000 ($2,685,000.00) Equity,
(File 333-179097 - Jan. 19) (BR. 03B)
S-3 ExlService Holdings, Inc., 280 PARK AVENUE, 38TH FLOOR, NEW YORK, X1,
10017, (212) 872-1415 - 0 ($130,567,132.00) Equity,
0 ($3,000,000.00) Unallocated (Universal) Shelf, (File 333-179098 -
Jan. 19) (BR. 02B)
S-3 RESEARCH FRONTIERS INC, 240 CROSSWAYS PARK DR, WOODBURY, NY,
11797-2033, 5163641902 - 3,000,000 ($11,280,000.00) Equity,
(File 333-179099 - Jan. 19) (BR. 03B)
S-4 PROSPERITY BANCSHARES INC, 4295 SAN FELIPE, N/A, HOUSTON, TX, 77027,
7136939300 - 0 ($21,709,912.00) Equity, (File 333-179100 - Jan. 19)
(BR. 07B)
S-8 CALAVO GROWERS INC, 2530 RED HILL AVE., SANTA ANA, CA, 92705,
9098334200 - 0 ($40,128,400.00) Equity, (File 333-179101 - Jan. 19)
(BR. 05A)
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
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Material Impairments
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3.01
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Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
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3.02
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Unregistered Sales of Equity Securities
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3.03
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Material Modifications to Rights of Security Holders
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4.01
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Changes in Registrant's Certifying Accountant
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4.02
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Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
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5.01
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Changes in Control of Registrant
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5.02
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer
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5.03
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Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
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5.04
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Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
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5.05
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Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
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5.06
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Change in Shell Company Status
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6.01
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ABS Informational and Computational Material.
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6.02
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Change of Servicer or Trustee.
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6.03
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Change in Credit Enhancement or Other External Support.
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6.04
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Failure to Make a Required Distribution.
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6.05
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Securities Act Updating Disclosure.
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7.01
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Regulation FD Disclosure
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8.01
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Other Events
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9.01
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Financial Statements and Exhibits
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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
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1ST SOURCE CORP IN 2.02,9.01 01/19/12
22nd Century Group, Inc. NV 5.02 01/19/12
A. H. Belo CORP DE 5.02,9.01 01/13/12
ACACIA RESEARCH CORP DE 9.01 01/12/12 AMEND
ACORN ENERGY, INC. DE 5.07 10/17/11 AMEND
Aegerion Pharmaceuticals, Inc. DE 5.02 01/12/12
ALCOA INC PA 5.02,9.01 01/16/12
ALTAIR NANOTECHNOLOGIES INC Z4 1.01 01/17/12
AMCON DISTRIBUTING CO DE 2.02,9.01 01/19/12
AMERICAN EXPRESS CO NY 2.02,7.01 01/19/12
AMERICAN RIVER BANKSHARES CA 7.01,9.01 01/19/12
AMERIGAS PARTNERS LP DE 2.01,3.02,9.01 01/12/12
AMERISTAR CASINOS INC NV 5.02 01/12/12
Amtrust Financial Services, Inc. DE 2.03,3.02,8.01 01/13/12
ARCA biopharma, Inc. DE 8.01,9.01 01/19/12
ARES CAPITAL CORP MD 1.01,2.03,9.01 01/18/12
Armour Residential REIT, Inc. MD 7.01,9.01 01/19/12
ARROW ELECTRONICS INC NY 8.01,9.01 01/18/12
ASSOCIATED BANC-CORP WI 2.02,9.01 01/19/12
Atkore International Holdings Inc. DE 5.02 01/13/12
AUBURN NATIONAL BANCORPORATION, INC DE 2.02,9.01 01/19/12
AUBURN NATIONAL BANCORPORATION, INC DE 8.01,9.01 01/13/12
AWARE INC /MA/ MA 5.02 01/18/12
AXIS CAPITAL HOLDINGS LTD 8.01,9.01 01/18/12
BALDWIN TECHNOLOGY CO INC DE 8.01 01/19/12
BANCFIRST CORP /OK/ OK 7.01 01/19/12
BANCORPSOUTH INC MS 7.01,9.01 01/18/12
BANK OF AMERICA CORP /DE/ DE 2.02,7.01,9.01 01/19/12
BANK OF KENTUCKY FINANCIAL CORP KY 2.02,9.01 01/19/12
BankUnited, Inc. DE 2.02,9.01 01/19/12
BB&T CORP NC 2.02,9.01 01/19/12
BIOVEST INTERNATIONAL INC DE 7.01,9.01 01/19/12
BLACK HILLS CORP /SD/ SD 1.01,2.02,9.01 01/18/12
BlackRock Inc. DE 2.02,9.01 01/19/12
BOSTON FINANCIAL QUALIFIED HOUSING TA DE 2.01 01/19/12
BRUKER CORP DE 1.01,2.03,9.01 01/18/12
BUCKEYE TECHNOLOGIES INC DE 1.01,7.01,9.01 01/18/12
CABOT CORP DE 5.02 01/13/12
CAMPBELL SOUP CO NJ 5.02 01/16/12
CAPITAL ONE FINANCIAL CORP DE 2.02,7.01,8.01,9.01 01/19/12
CARDINAL FINANCIAL CORP VA 2.02,5.02,8.01,9.01 01/18/12
Castwell Precast Corp NV 1.01,9.01 01/17/12
CEDAR FAIR L P DE 2.02,7.01,9.01 01/19/12
CenterPoint Energy Transition Bond Co DE 8.01,9.01 01/19/12
Chefs' Warehouse, Inc. DE 5.02,9.01 01/12/12
CINCINNATI FINANCIAL CORP OH 2.02,9.01 01/19/12
CIT GROUP INC DE 8.01,9.01 01/19/12
CITIZENS & NORTHERN CORP PA 8.01,9.01 01/19/12
CITY NATIONAL CORP DE 2.02,9.01 01/19/12
CLAIMSNET COM INC DE 1.01,2.03,9.01 01/17/12
CLARCOR INC. DE 2.02 01/19/12
CLEAN TRANSPORTATION GROUP, INC. 1.01,2.01,5.01,5.03, 01/11/12 AMEND
5.06,9.01
CNO Financial Group, Inc. DE 5.02,9.01 01/18/12
COBIZ FINANCIAL INC CO 8.01 01/19/12
COMMERCIAL METALS CO DE 8.01 01/19/12
COMMERCIAL NATIONAL FINANCIAL CORP /P PA 5.02 01/19/12
COMMUNITY HEALTH SYSTEMS INC DE 7.01,9.01 01/19/12
Community Partners Bancorp NJ 5.02 01/19/12
Community Partners Bancorp NJ 5.02,9.01 01/18/12
COMPUWARE CORP MI 2.02,9.01 01/17/12
CONOLOG CORP DE 1.01,3.02,9.01 01/13/12
CONSTELLATION ENERGY GROUP INC MD 1.01,9.01 01/16/12
ContinuityX Solutions, Inc. DE 1.01,4.01,9.01 12/28/11
CROWN MEDIA HOLDINGS INC DE 5.02 01/12/12
CubeSmart MD 9.01 11/03/11 AMEND
CUBIST PHARMACEUTICALS INC DE 2.02,9.01 01/19/12
CVB FINANCIAL CORP CA 2.02,9.01 01/18/12
DEBT RESOLVE INC DE 7.01,9.01 01/17/12
DENDREON CORP DE 5.02,9.01 01/12/12
DIGI INTERNATIONAL INC DE 2.02,9.01 01/19/12
DIRECT INSITE CORP DE 1.01,9.01 01/13/12
Diversified Restaurant Holdings, Inc. NV 2.02,9.01 01/18/12
Dot VN, Inc. DE 5.02 01/13/11
EAGLE FINANCIAL SERVICES INC VA 8.01,9.01 01/19/12
EAST WEST BANCORP INC 2.02,9.01 01/19/12
EASTMAN KODAK CO NJ 7.01,9.01 01/19/12
EASTMAN KODAK CO NJ 1.03,2.04,9.01 01/19/12
ECOLOGY & ENVIRONMENT INC NY 5.07 01/19/12
EDEN ENERGY CORP NV 1.01,2.01,8.01,9.01 12/28/11
EDGEWATER TECHNOLOGY INC/DE/ DE 8.01,9.01 01/19/12
EDUCATIONAL DEVELOPMENT CORP DE 2.02,9.01 01/18/11
EMPIRE DISTRICT ELECTRIC CO KS 1.01,2.03,9.01 01/19/12
EMPIRE ENERGY CORP UT 8.01 01/18/12
ENB Financial Corp PA 2.02,9.01 01/18/12
ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 01/19/12
Ensco plc 7.01,9.01 01/19/12
EON COMMUNICATIONS CORP DE 5.07 01/18/12
ESB FINANCIAL CORP PA 5.07 04/20/11 AMEND
EZCORP INC DE 2.02,8.01,9.01 01/19/12
FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 2.02 12/25/11
FARMERS CAPITAL BANK CORP KY 2.02,9.01 01/18/12
Federal Home Loan Bank of Atlanta X1 2.03 01/19/12
Federal Home Loan Bank of Boston X1 2.03 01/13/12
Federal Home Loan Bank of Chicago X1 2.03 01/17/12
Federal Home Loan Bank of Cincinnati X1 5.02,9.01 01/19/12
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 01/19/12
Federal Home Loan Bank of New York X1 2.03,9.01 01/13/12
Federal Home Loan Bank of New York X1 5.02 11/17/11 AMEND
Federal Home Loan Bank of New York X1 5.02 12/15/11 AMEND
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 01/13/12
Federal Home Loan Bank of San Francis X1 2.03 01/13/12
Federal Home Loan Bank of Topeka 2.03,9.01 01/17/12
FIELDPOINT PETROLEUM CORP CO 7.01,9.01 01/19/12
Financial Engines, Inc. DE 5.02 01/17/12
FIRST CAPITAL BANCORP, INC. VA 1.01,8.01,9.01 01/19/12
FIRST CITIZENS BANC CORP /OH OH 2.02 01/19/12
FIRST COMMUNITY CORP /SC/ SC 2.02,8.01,9.01 01/18/12
FIRST FARMERS & MERCHANTS CORP TN 2.02,9.01 01/18/12
FLEXTRONICS INTERNATIONAL LTD. U0 2.02,9.01 01/19/12
Francesca's Holdings CORP 7.01,9.01 01/18/12
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
FULLER H B CO MN 2.02,9.01 01/18/12
GATX CORP NY 2.02,7.01,9.01 01/19/12
General Growth Properties, Inc. DE 8.01 01/12/12
GENTA INC DE/ DE 8.01,9.01 01/18/12
GENTA INC DE/ DE 8.01,9.01 01/18/12
GLACIER BANCORP INC DE 8.01,9.01 01/18/12
GLOBAL PARTNERS LP 1.01,2.03,9.01 01/13/12
GOLDMAN SACHS GROUP INC DE 8.01,9.01 01/19/12
Google Inc. DE 2.02,8.01,9.01 01/19/12
Government Properties Income Trust MD 1.01,2.03,9.01 01/12/12
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 01/13/12
GULF RESOURCES, INC. DE 8.01,9.01 01/16/12
HANDY & HARMAN LTD. DE 2.02,9.01 01/19/12
HEARTLAND FINANCIAL USA INC DE 7.01,9.01 01/18/12
HENNESSY ADVISORS INC 2.02,7.01,9.01 01/19/12
HERCULES OFFSHORE, INC. DE 7.01,9.01 01/19/12
HESS CORP DE 8.01,9.01 01/18/12
Hicks Acquisition CO II, Inc. 5.02,9.01 01/13/12
HOME BANCSHARES INC 2.02,7.01,9.01 01/19/12
HSBC USA INC /MD/ MD 9.01 01/19/12
HUNTINGTON BANCSHARES INC/MD MD 2.02,9.01 01/19/12
Idle Media, Inc. NV 1.01,9.01 01/17/12
INDEPENDENT BANK CORP MA 2.02,7.01,9.01 01/19/12
INGRAM MICRO INC DE 5.02,7.01,9.01 01/16/12
INLAND REAL ESTATE CORP MD 2.02 01/19/12
INSTEEL INDUSTRIES INC NC 2.02,9.01 01/19/12
INTEL CORP DE 2.02 01/19/12
INTELSAT S.A. N4 5.02 01/12/12
Interactive Brokers Group, Inc. DE 2.02,8.01,9.01 01/19/12
Intermec, Inc. DE 5.02,9.01 01/19/12
INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 01/19/12
INTERNATIONAL FLAVORS & FRAGRANCES IN NY 2.05,9.01 01/18/12
INTUITIVE SURGICAL INC DE 2.02,9.01 01/19/12
Janus Resources, Inc. NV 5.02,7.01 01/12/12
Jazz Pharmaceuticals plc DE 8.01,9.01 01/19/12
JOHNSON CONTROLS INC WI 2.02,7.01,9.01 01/19/12
KELLOGG CO DE 5.02 01/16/12
KERYX BIOPHARMACEUTICALS INC DE 5.02,9.01 01/13/12
KIMCO REALTY CORP MD 5.02,9.01 01/18/12
KNIGHT CAPITAL GROUP, INC. DE 2.02,7.01,9.01 01/19/12
KROGER CO OH 8.01,9.01 01/19/12
Laredo Petroleum Holdings, Inc. DE 2.02,7.01,8.01,9.01 01/18/12
LEHMAN ABS CORP HSBC DEBENTURE BACKED DE 8.01,9.01 01/17/12
LEHMAN ABS CORP PRUDENTIAL FINANCIAL DE 8.01,9.01 01/17/12
LEXARIA CORP. NV 7.01,9.01 01/19/12
Liberator, Inc. FL 7.01,9.01 01/19/12
MAGELLAN HEALTH SERVICES INC DE 8.01,9.01 01/18/12
MAGNUM HUNTER RESOURCES CORP DE 1.01,1.02,8.01,9.01 01/18/12
MEMC ELECTRONIC MATERIALS INC DE 5.04 01/19/12
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 01/17/12 AMEND
MICROSOFT CORP WA 2.02,9.01 01/19/12
MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 01/19/12
MORGAN STANLEY DE 2.02,9.01 01/19/12
MOTRICITY INC DE 2.05,8.01,9.01 01/14/12
MULTI FINELINE ELECTRONIX INC 1.01,2.03,9.01 01/17/12
MULTI FINELINE ELECTRONIX INC 5.02,9.01 01/18/12
MUNICIPAL MORTGAGE & EQUITY LLC DE 1.01,9.01 01/18/12
NETSCOUT SYSTEMS INC DE 2.02,9.01 01/19/12
NEUROCRINE BIOSCIENCES INC CA 1.01,9.01 01/19/12
NEW YORK MORTGAGE TRUST INC MD 5.02,7.01,9.01 01/18/12
NEWMARKET CORP VA 5.02 01/17/12
NEWS CORP 8.01,9.01 01/19/12
NORMAN CAY DEVELOPMENT, INC. NV 7.01,9.01 01/17/12
NORTHEAST UTILITIES MA 8.01 01/18/12
NOVADEL PHARMA INC DE 5.02,5.03,8.01,9.01 01/12/12
NSTAR/MA 8.01 01/19/12
OLD SECOND BANCORP INC DE 8.01 01/19/12
OPENWAVE SYSTEMS INC DE 5.02,9.01 01/12/12
OptimumBank Holdings, Inc. FL 3.01 01/13/12
ORBCOMM Inc. DE 2.01,3.02,9.01 01/12/12
PAR TECHNOLOGY CORP DE 2.01,8.01,9.01 01/13/12
PCS EDVENTURES COM INC ID 8.01 10/28/11 AMEND
PediatRx Inc. NV 2.02,9.01 01/19/12
PEOPLES EDUCATIONAL HOLDINGS MN 5.02,5.07 01/13/12
Perfumania Holdings, Inc. FL 1.01,5.03,7.01,9.01 01/19/12 AMEND
PERKINELMER INC MA 2.01,9.01 11/07/11 AMEND
PETMED EXPRESS INC FL 8.01,9.01 01/17/12
PG&E CORP CA 8.01 01/19/12
Pioneer Exploration Inc. NV 1.01,2.01,5.01,5.06, 11/01/11 AMEND
7.01,9.01
Polonia Bancorp 5.02 01/17/12
PORTLAND GENERAL ELECTRIC CO /OR/ OR 5.02 01/14/12
PPG INDUSTRIES INC PA 2.02,9.01 01/19/12
PROGRESSIVE CORP/OH/ OH 2.02,9.01 01/19/12
PULASKI FINANCIAL CORP MO 2.02,9.01 01/17/12
PURE CYCLE CORP CO 5.07 01/17/12
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 8.01,9.01 01/13/12
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 5.03 01/13/12
QUICKLOGIC CORPORATION CA 5.02 01/16/12
REGENCY CENTERS CORP FL 5.02 01/19/12
RENTRAK CORP OR 5.07 08/24/11 AMEND
REPUBLIC BANCORP INC /KY/ KY 2.02,9.01 01/19/12
RF MONOLITHICS INC /DE/ DE 5.07,7.01,9.01 01/18/12
RFS HOLDING LLC 1.01,8.01,9.01 01/18/12
RIVER VALLEY BANCORP IN 2.02,9.01 01/17/12
RIVER VALLEY BANCORP IN 5.02 01/17/12
Rock Energy Resources, Inc. DE 7.01,8.01,9.01 01/19/12
ROCKWELL COLLINS INC DE 2.02,7.01,9.01 01/19/12
Rouse Properties, Inc. DE 1.01,2.01,2.03,3.02, 01/12/12
5.01,5.02,8.01,9.01
Rouse Properties, Inc. DE 3.03,5.03,5.05,9.01 01/12/12
SCANA CORP SC 8.01,9.01 01/18/12
SELECT COMFORT CORP MN 7.01,9.01 01/19/12
SEQUENOM INC DE 2.02,8.01 01/19/12
SHARPS COMPLIANCE CORP DE 1.02,9.01 01/13/12
SIMMONS FIRST NATIONAL CORP AR 2.02,9.01 12/31/11
SIMULATIONS PLUS INC 8.01,9.01 01/12/12
Sino Green Land Corp NV 7.01,9.01 01/15/12
SIRONA DENTAL SYSTEMS, INC. DE 5.02,9.01 01/17/12
SKYSTAR BIO-PHARMACEUTICAL CO NV 3.01,9.01 01/12/12
SKYWORKS SOLUTIONS, INC. DE 2.02,9.01 01/19/12
SLM FUNDING LLC DE 9.01 01/19/12
SLM Student Loan Trust 2012-1 DE 1.01,2.01,9.01 01/19/12
SOUTH HERTFORDSHIRE UNITED KINGDOM FU CO 8.01 01/17/12
SOUTHWEST AIRLINES CO TX 2.02,9.01 12/31/11
SPANISH BROADCASTING SYSTEM INC DE 2.02,9.01 01/18/12
STAR GAS PARTNERS LP DE 2.02,7.01,9.01 01/19/12
Star Gold Corp. NV 4.02 01/19/12
STIFEL FINANCIAL CORP DE 8.01,9.01 01/18/12
Strike Axe, Inc DE 1.01,3.02,9.01 01/17/12
STRYKER CORP MI 8.01,9.01 01/18/12
SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 01/19/12
SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 01/19/12
Targa Resources Corp. DE 5.02,9.01 01/12/12
Targa Resources Partners LP DE 5.02,9.01 01/12/12
TARGACEPT INC 5.02 01/13/12
TECHS LOANSTAR, INC. NV 5.02 01/13/12
Texas Rare Earth Resources Corp. NV 7.01,9.01 01/10/12
THERMOENERGY CORP DE 5.02 01/14/12
TRANS1 INC 7.01 01/19/12
TRIMAS CORP DE 1.01,9.01 01/13/12
TTM TECHNOLOGIES INC WA 5.02,9.01 01/16/12
UMH PROPERTIES, INC. MD 7.01,9.01 01/19/12
UNION BANKSHARES INC VT 2.02,8.01,9.01 01/18/12
UNION PACIFIC CORP UT 2.02,9.01 01/19/12
United Continental Holdings, Inc. DE 2.02,9.01 01/19/12
UNITEDHEALTH GROUP INC MN 2.02,9.01 01/19/12
US Highland, Inc. OK 4.01,9.01 01/05/12
US Highland, Inc. OK 1.01,9.01 10/20/11
VICTORIA INTERNET SERVICES INC NV 8.01 01/19/12
Vishay Precision Group, Inc. DE 2.02,9.01 01/19/12
VISUALANT INC NV 8.01,9.01 01/19/12
VOC Energy Trust 2.02,9.01 01/19/12
VORNADO REALTY LP DE 5.02,9.01 01/13/12
VORNADO REALTY TRUST MD 5.02,9.01 01/13/12
WATSON PHARMACEUTICALS INC NV 5.03,9.01 01/16/12
WebMD Health Corp. DE 7.01 01/19/12
WEBSTER FINANCIAL CORP DE 2.02,9.01 01/19/12
WELLS REAL ESTATE FUND IX LP GA 1.01 01/17/12
WELLS REAL ESTATE FUND VIII LP GA 1.01 01/17/12
Wesco Aircraft Holdings, Inc 5.02 01/19/12
WESTAMERICA BANCORPORATION CA 2.02,9.01 01/19/12
WESTERN ALLIANCE BANCORPORATION NV 2.02,9.01 01/19/12
Wilhelmina International, Inc. DE 1.01,2.03,9.01 01/12/12
WINMARK CORP MN 7.01,8.01,9.01 01/18/12
WINTRUST FINANCIAL CORP IL 2.02,9.01 01/19/12
WIZZARD SOFTWARE CORP /CO CO 7.01,9.01 01/18/12
YAHOO INC DE 5.02,9.01 01/16/12
ZAGG Inc NV 4.02 01/17/12
ZOLL MEDICAL CORP MA 2.02,9.01 01/19/12
http://www.sec.gov/news/digest/2012/dig012012.htm
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