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SEC News Digest
Issue 2012-16
January 25, 2012
Commission announcements
Securities and Exchange Commission Suspends Trading in the Securities of Six 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 25, 2012 and terminating at 11:59 p.m. EST on February 7, 2012.
- Tornado Gold International Corp. (TOGI)
- Twin Faces East Entertainment Corp. (TFAC)
- Universal Ice Blast, Inc. (UIBT)
- US Farms, Inc. (USFM)
- US Microbics, Inc. (BUGS)
- Visitel Network, Inc. (a/k/a PRG Group, Inc.) (PRGJ)
The Commission temporarily suspended trading in the securities of these six 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 Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-66232)
Enforcement proceedings
American Capital Partners Limited, Inc.
On January 24, 2012, an Administrative Law Judge issued an Initial Decision as to Bio-Warm Corp. (n/k/a PHI Gold) in American Capital Partners Limited, Inc., Admin. Proc. 3-14534. The Initial Decision finds that the allegations in the Order Instituting Proceeding issued on September 7, 2011, are true. Bio-Warm Corp. (n/k/a PHI Gold), an issuer of securities registered pursuant to Section 12 of the Securities Exchange Act of 1934 (Exchange Act), has failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Securities and Exchange Commission since 2005. The Initial Decision revokes the registration of each class of Bio-Warm Corp. (n/k/a PHI Gold)’s registered securities. (Initial Decision No. 449; File No. 3-14534)
Commission Orders Hearings on Registration Suspension or Revocation Against Six 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 six companies for failure to make required periodic filings with the Commission:
- Tornado Gold International Corp. (TOGI)
- Twin Faces East Entertainment Corp. (TFAC)
- Universal Ice Blast, Inc. (UIBT)
- US Farms, Inc. (USFM)
- US Microbics, Inc. (BUGS)
- Visitel Network, Inc. (a/k/a PRG Group, Inc.) (PRGJ)
In the Order, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission.
In these proceedings, 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 proceedings 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 the proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-66233; File No. 3-14712)
SEC Obtains Final Judgments Against Investment Adviser Carlo G. Chiaese and His Firm, C.G.C. Advisors, LLC, and his wife Micol Chiaese
The Securities and Exchange Commission announced today that it has obtained final judgments in its civil enforcement action against investment adviser, Carlo G. Chiaese, age 39 and resident of Springfield, New Jersey, his company, C.G.C. Advisors, LLC, and his wife, Micol Chiaese, a relief defendant.
The Commission’s Complaint, filed in October 2010 in the District of New Jersey, alleged that, since 2008, Chiaese and CGC had misappropriated at least approximately $2.4 million from six of their advisory clients. Micol Chiaese, an officer of CGC, benefited from this fraud by directly receiving at least $289,000 of clients’ funds. The Complaint charged Chiaese and CGC with violating Section 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.
On January 23, 2012, the Court entered a consent judgment against Chiaese for full injunctive relief and acknowledging that while he is liable for $2,464,518 in disgorgement, such disgorgement shall be deemed satisfied by the order of restitution in the criminal action. On November 3, 2011, the Court entered a consent judgment against CGC for full injunctive relief. And on December 12, 2011, the Court entered a final judgment against relief defendant Micol Chiaese, ordering that she pay disgorgement of her ill-gotten gains of $304,860.34, inclusive of prejudgment interest. [SEC v. Carlo G. Chiaese, et al., Civil Action No. 10-cv-5110 (WJM) (D.N.J.)] (LR-22232)
SEC Charges Former CFO of Oak Hill Financial, Inc. and Two Others With Insider Trading
The Securities and Exchange Commission today charged three people with insider trading in the securities of Oak Hill Financial, Inc. (“Oak Hill”) ahead of a July 20, 2007 announcement that Oak Hill would be acquired by WesBanco, Inc. (Nasdaq: WSBC). The Commission alleges Dale Shafer, who at the time was Oak Hill’s interim CFO, shared information with his cousin, Jason Gonski, about the anticipated merger. Gonski purchased Oak Hill stock in his account and another account and made approximately $35,500 in illicit profits. In addition, Gonski tipped his friend Joseph Mroz, and the two men together made approximately $15,099 from illegal trading in Oak Hill stock.
The case was filed in the U.S. District Court for the Southern District of Ohio. The complaint alleges that:
Shafer learned of the planned merger on May 14, 2007, and told Gonski about it. Gonski misappropriated the information by trading on it. He later told Shafer that he bought Oak Hill stock. Shafer did not tell Gonski to stop trading and did not tell anyone at Oak Hill what had happened. Over the next several weeks, Shafer continued to provide material, nonpublic information about the merger to Gonski and during this time period, Gonski substantially increased his position in Oak Hill. Gonski also tipped his friend Mroz, and they both bought shares of Oak Hill using Mroz’s brokerage account. Total profits in the accounts Gonski traded in were approximately $50,000, which includes $15,099 in profits from trading in the account of Mroz.
Without admitting or denying the allegations in the complaint, Shafer, Gonski and Mroz have offered to settle the case by consenting to the entry of a final judgment permanently enjoining them from violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The three settling defendants have agreed to pay disgorgement, prejudgment interest, and penalties totaling more than $150,000, as follows:
Gonski will pay disgorgement and prejudgment interest totaling $59,565.24 for which Shafer is jointly and severally liable for $38,957.81 of that amount and Mroz is jointly and severally liable for $8,766.74. Gonski will pay a civil penalty of $50,686.38. Shafer will pay a civil penalty of $33,484.08. Mroz will pay a civil penalty of $7,459.95. In addition, Shafer has agreed to be barred for five years from serving as an officer or director of a publicly traded company. Shafer has also consented to the issuance of an order under Rule 102(e)(3) suspending him from appearing or practicing before the Commission as an accountant with a right to apply for reinstatement after five years. The proposed settlements are subject to the court’s approval.
The Commission acknowledges the assistance of FINRA in this matter. [SEC v. Dale Shafer, Joseph Mroz and Jason Gonski, Civ. Action No. 1:12-CV-00062-SJD (S.D Ohio)] (LR-22233)
SEC Charges Former Loan Officer With Oak Hill Financial, Inc. and Three Others With Insider Trading
The Securities and Exchange Commission today charged four people with insider trading in the securities of Oak Hill Financial, Inc. (“Oak Hill”) ahead of a July 20, 2007 announcement that Oak Hill would be acquired by WesBanco, Inc. (Nasdaq: WSBC). The Commission alleges that Robert Ward, who at the time was a loan officer at Oak Hill, tipped his friend, Benjamin Lewis, about the anticipated merger. Benjamin Lewis then tipped his father, Stanley Lewis, who then tipped his daughter, Jamie Lewis. The Lewises made approximately $100,000 from their illegal trading in Oak Hill.
The case was filed in the U.S. District Court for the Southern District of Ohio. The complaint alleges that:
Robert Ward knowingly or recklessly tipped his childhood friend Benjamin Lewis about an imminent merger between Oak Hill and WesBanco. Benjamin Lewis tipped his father, Stanley Lewis, who then tipped his daughter, Jamie Lewis. The Lewises began purchasing Oak Hill stock. All total, Benjamin Lewis, Stanley Lewis and Jamie Lewis realized illicit profits of approximately $108,000.
Without admitting or denying the allegations in the complaint, the four settling defendants have agreed to pay disgorgement, prejudgment interest and penalties totaling more than $230,000 as follows:
Benjamin Lewis will pay disgorgement and prejudgment interest totaling $50,209.77. Stanley Lewis will pay disgorgement and prejudgment interest totaling $54,715.77. Jamie Lewis will pay disgorgement and prejudgment interest totaling $17,564.70. Robert Ward is jointly and severally liable with the Lewises for disgorgement and prejudgment interest, all of which has been waived based on a demonstrated inability to pay. A penalty has not been imposed on Robert Ward based on a demonstrated inability to pay. Benjamin Lewis will pay a civil penalty of $44,574.55. Stanley Lewis will pay a civil penalty of $48,842.66. Jamie Lewis will pay a civil penalty of $14,995.58. The proposed settlements are subject to the court’s approval.
The SEC acknowledges the assistance of FINRA in the investigation of this matter. [SEC v. Robert Ward, Stanley Lewis, Jamie Lewis, and Benjamin Lewis, Civ. Action No. 1:12-CV-00061-SSB-KLL (S.D Ohio)] (LR-22234)
SEC Brings Fraud Charges Against Former InPhonic Senior Vice President and President of Americas Premiere Corporation
On January 25, 2012, the Securities and Exchange Commission (Commission) filed a civil injunctive action against a former senior vice president and a vendor of InPhonic, Inc., a now-bankrupt online retailer of cellular phones that was headquartered in Washington, D.C. According to the Commission’s complaint, from late 2005 through early 2007, Len A. Familant, then an InPhonic senior vice president, and Paul V. Greene, president of telephone supplier Americas Premiere Corporation (APC), engaged in a fraudulent scheme involving a series of “round-trip transactions” to artificially inflate InPhonic’s financial results.
The Commission’s complaint, filed in federal court in the District of Columbia, alleges:
- After the end of the third quarter of 2005 and each quarter in 2006, but before InPhonic reported its financial results, Familant obtained a total of almost $10 million in sham credits from APC and Greene. Familant and Greene entered into an unwritten, undisclosed agreement that InPhonic would repay APC by purchasing cellular telephones and repair services from APC at inflated prices and by paying for fake repairs.
- InPhonic improperly recorded the false credits from APC as a decrease in cost of goods sold. InPhonic subsequently made repayments to APC in the form of overpayments for cellular telephones, repair services and fake repairs.
- The round-trip scheme agreed to and implemented by Familant and Greene resulted in material understatements of InPhonic’s net loss (between 7% and 55%) in quarterly and annual filings with the Commission and material overstatements of InPhonic’s adjusted EBITDA in earnings releases from 2005-2007.
- Familant and Greene concealed the fraudulent round-trip scheme. For instance, together they identified particular telephone models APC could provide to InPhonic at inflated prices without raising suspicion.
- Greene hid the round-trip scheme from InPhonic’s independent auditors even after APC’s accountant had informed Greene that APC’s sham credit transactions with InPhonic were illegal.
- Familant encouraged APC to hide its billing for phony services after Familant learned that APC’s accountant had told Greene, “[w]e cannot do that. That is fraud. . . .”
- In October 2007, as InPhonic’s business was failing and after APC had been unable to fully recoup the credits, Greene sent an email to himself outlining a proposed lawsuit against InPhonic. Greene referred to “the fake credits that were negotiated with INPC that they were using to hit certain quarterly numbers.”
Greene is charged with violating, and aiding and abetting InPhonic’s and Familant’s violations, of the antifraud provisions of Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 10b-5(a) and (c). Greene is also charged with violating the books and records provision of Exchange Act Rule 13b2-1, and with aiding and abetting InPhonic’s violations of the reporting and books and records provisions of Sections 13(a) and 13(b)(2)(A) of the Exchange Act and Exchange Act Rules 12b-20, 13a-1, 13a-11 and 13a-13. The SEC is seeking a permanent injunction, disgorgement, civil penalties and prejudgment interest against Greene.
Familant has agreed to settle the Commission’s charges without admitting or denying the allegations against him. Familant has consented to a final judgment enjoining him from violating the antifraud provisions of Section 10(b) of the Exchange Act and Exchange Act Rules 10b-5(a) and (c), and the books and records provision of Exchange Act Rule 13b2-1, and from aiding and abetting InPhonic’s violations of the reporting and books and records provisions of Sections 13(a) and 13(b)(2)(A) of the Exchange Act and Rules 12b-20, 13a-1, 13a-11 and 13a-13. Familant also has agreed to pay a $50,000 civil penalty and to be barred from serving as an officer or director of a public company. The proposed settlement with Familant is subject to the approval of the District Court. [SEC v. Len A Familant and Paul V. Greene, Defendants, Civil Action No. 1:12-CV-00119-JEB (U.S. District Court for the District of Columbia] (LR-22237; AAE Rel. 3356)
Investment company act releases
Incapital LLC (Incapital) and Incapital Unit Trust
A notice has been issued giving interested persons until February 17, 2012, to request a hearing on an application filed by Incapital LLC (Incapital) and Incapital Unit Trust for an order: (a) under Section 6(c) of the Investment Company Act of 1940 (Act) for exemptions from Sections 2(a)(32), 2(a)(35), 22(d) and 26(a)(2)(C) of the Act and Rule 22c-1 thereunder to permit certain unit investment trusts to impose sales charges on a deferred basis and waive the deferred sales charge in certain cases; (b) under Sections 11(a) and 11(c) of the Act to approve certain exchange and rollover privileges; (c) under Section 6(c) of the Act for an exemption from Section 14(a) of the Act to permit the unit investment trust series to publicly offer their units without Incapital having to take for its own account or place with others $100,000 worth of units; and (d) under Section 6(c) of the Act for an exemption from Section 19(b) of the Act and Rule 19b-1 thereunder to permit the series to distribute capital gains resulting from the sale of portfolio securities within a reasonable time after receipt. (Rel. IC-29924 - January 24)
Cantilever Capital, LLC (Cantilever) and Cantilever Group, LLC
An order has been issued on an application filed by Cantilever Capital, LLC (Cantilever) and Cantilever Group, LLC for an order under Section 6(c) of the Investment Company Act of 1940 (Act) granting an exemption from Section 12(d)(3) of the Act. The order permits Cantilever to invest in the securities of investment managers that each derives more than 15% of its gross revenues from securities related activities as defined in Rule 12d3-1(d)(1), in excess of the limitations in Rule 12d3-1(b). (Rel. IC-29925 - January 24)
GE Asset Management Incorporated, et al.
The Commission has issued a temporary order to GE Asset Management Incorporated, et al. under Section 9(c) of the Investment Company Act of 1940 (Act) with respect to an injunction issued against GE Funding Capital Market Services, Inc. (GE Funding CMS) by the U.S. District Court for the District of New Jersey on January 23, 2012. The temporary order exempts GE Asset Management Incorporated, GE Investment Distributors, Inc. and GE Funding CMS, as well as companies of which GE Funding CMS is or becomes an affiliated person, from the provisions of Section 9(a) of the Act until the Commission takes final action on an application for a permanent order. The Commission also has issued a notice giving interested persons until February 21, 2012 to request a hearing on the application filed by applicants for a permanent order under Section 9(c) of the Act. (Rel. IC-29926 - January 24)
Self-Regulatory Organizations
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by Chicago Board Options Exchange, Incorporated related to the appointments in Hybrid 3.0 classes (SR-CBOE-2012-009) 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. 34-66213)
A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-010) to extend the pilot period of the trading pause for NMS stocks other than rights and warrants 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. 34-66214)
A proposed rule change filed by the National Stock Exchange, Inc. (SR-NSX-2012-02) to extend the pilot program regarding Clearly Erroneous Executions 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. 34-66221)
A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2012-02) to amend EDGX Rule 11.13 to extend the operation of a pilot program pursuant to the Rule until July 31, 2012 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. 34-66222)
A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2012-02) to amend EDGA Rule 11.13 to extend the operation of a pilot program pursuant to the Rule until July 31, 2012 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. 34-66223)
A proposed rule change filed by the NASDAQ OMX PHLX LLC (SR-Phlx-2012-08) to extend the pilot period of amendments to the Clearly Erroneous Rule 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. 34-66224)
A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-011) to extend the pilot period of amendments to the Clearly Erroneous Rule 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. 34-66225)
A proposed rule change filed by the NASDAQ OMX BX, Inc. (SR-BX-2012-004) to extend the pilot period of amendments to the Clearly Erroneous Rule 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. 34-66226)
A proposed rule change filed by The NASDAQ Stock Market LLC regarding a clerical change to Nasdaq Rule 5730 (SR-NASDAQ-2012-008) 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. 34-66230)
Proposed Rule Change
The Financial Industry Regulatory Authority, Inc. has filed a proposed rule change, as modified by Partial Amendment No. 1 (SR-FINRA-2012-001), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to amend FINRA Rule 4560 (Short-Interest Reporting). Publication is expected in the Federal Register during the week of January 23. (Rel. 34-66220)
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 Del Frisco's Restaurant Group, LLC, 224 EAST DOUGLAS, SUITE 700,
WICHITA, KS, 67202, 316-264-8899 - 0 ($100,000,000.01) Equity,
(File 333-179141 - Jan. 24) (BR. 05B)
S-8 STRYKER CORP, 2825 AIRVIEW BLVD, KALAMAZOO, MI, 49002, 2693892600 -
25,000,000 ($1,317,000,000.00) Equity, (File 333-179142 - Jan. 24)
(BR. 10C)
S-8 U S GOLD CORP, SUITE 4750, BROOKFIELD PLACE, 181 BAY ST., P.O. BOX 792,
TORONTO, A6, M5J 2T3, 647-258-0395 - 0 ($4,494,226.50) Equity,
(File 333-179143 - Jan. 24) (BR. 09B)
S-8 U S GOLD CORP, SUITE 4750, BROOKFIELD PLACE, 181 BAY ST., P.O. BOX 792,
TORONTO, A6, M5J 2T3, 647-258-0395 - 0 ($21,780,000.00) Equity,
(File 333-179144 - Jan. 24) (BR. 09B)
S-1 BioDrain Medical, Inc., 2060 CENTRE POINTE BOULEVARD, SUITE 7,
MENDOTA HEIGHTS, MN, 55120, (612) 850-9460 -
9,196,667 ($1,793,350.00) Equity, (File 333-179145 - Jan. 24) (BR. 10A)
S-1 ONCOSEC MEDICAL Inc, 4690 EXECUTIVE DRIVE SUITE 250, SAN DIEGO, CA,
92121, (855) 662-6732 - 0 ($10,000,000.00) Equity, (File 333-179146 -
Jan. 24) (BR. 02C)
S-1 ANGLESEA ENTERPRISES, INC., 13799 PARK BLVD N., #147, SEMINOLE, FL,
33776, 727-393-7439 - 1,033,000 ($10,330.00) Equity, (File 333-179147 -
Jan. 24) (BR. )
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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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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Change in Shell Company Status
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ABS Informational and Computational Material.
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Change of Servicer or Trustee.
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Change in Credit Enhancement or Other External Support.
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Failure to Make a Required Distribution.
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Securities Act Updating Disclosure.
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Regulation FD Disclosure
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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
A123 SYSTEMS, INC. DE 5.02,9.01 01/23/12
ABAKAN, INC NV 5.02 01/14/12
ACI WORLDWIDE, INC. DE 8.01,9.01 01/19/12
ADVANCE AUTO PARTS INC DE 5.02,9.01 01/18/12
ADVANCED MICRO DEVICES INC DE 2.02,7.01,9.01 01/24/12
AIR PRODUCTS & CHEMICALS INC /DE/ DE 2.02,9.01 01/24/12
AK STEEL HOLDING CORP DE 2.02,9.01 01/24/12
AK STEEL HOLDING CORP DE 7.01,9.01 01/24/12
AKAMAI TECHNOLOGIES INC DE 5.02 01/19/12
ALASKA PACIFIC BANCSHARES INC AK 5.03,9.01 01/19/12
ALLIANT TECHSYSTEMS INC DE 7.01 01/23/12
ALLIANT TECHSYSTEMS INC DE 7.01 01/24/12
ALTERA CORP DE 2.02,9.01 01/24/12
American Assets Trust, Inc. MD 7.01,9.01 01/24/12
AMERICAN PARAMOUNT GOLD CORP. NV 5.03,9.01 01/24/12
AMERICAN SCIENTIFIC RESOURCES INC NV 5.02 01/19/12
AMERIGROUP CORP 1.01 01/18/12
AMERISERV FINANCIAL INC /PA/ PA 2.02 01/24/12
AMPHENOL CORP /DE/ DE 1.01,9.01 01/19/12
APPLE INC CA 2.02,9.01 01/24/12
Apps Genius Corp NV 7.01,9.01 01/20/12
ARES CAPITAL CORP MD 1.01,2.03,9.01 01/20/12
ARROW FINANCIAL CORP NY 2.02,9.01 01/24/12
ASHLAND INC. KY 2.02,9.01 01/24/12
ASHLAND INC. KY 7.01,9.01 01/24/12
Atkore International Holdings Inc. DE 5.02 01/13/12 AMEND
AZZ INC TX 7.01,9.01 01/24/12
BAKER HUGHES INC DE 2.02,7.01,9.01 01/24/12
BANCORPSOUTH INC MS 7.01,8.01,9.01 01/18/12
BANCORPSOUTH INC MS 2.02,9.01 01/24/12
Banyan Rail Services Inc. DE 5.02 01/23/12
BAR HARBOR BANKSHARES ME 8.01 01/24/12
BARD C R INC /NJ/ NJ 1.01,5.02,9.01 01/20/12
BASSETT FURNITURE INDUSTRIES INC VA 2.02,9.01 01/24/12
BAYHILL CAPITAL CORP DE 2.06,8.01,9.01 01/24/12
BEACON ENTERPRISE SOLUTIONS GROUP INC NV 7.01,9.01 01/24/12
Behringer Harvard Mid-Term Value Enha TX 5.02 01/20/12
Behringer Harvard Opportunity REIT I, MD 5.02,5.03,9.01 01/20/12
Behringer Harvard Opportunity REIT II MD 5.02,5.03,9.01 01/23/12
BEHRINGER HARVARD SHORT TERM OPPORTUN TX 5.02 01/20/12
Bering Exploration, Inc. NV 5.07,9.01 01/23/12
BERKSHIRE HATHAWAY INC DE 8.01 01/24/12
BEST BUY CO INC MN 7.01,9.01 01/24/12
BILL BARRETT CORP 2.02,7.01,9.01 01/24/12
BIOTIME INC CA 8.01,9.01 01/23/12
BLACK BOX CORP DE 2.06 01/23/12
Blue Earth, Inc. NV 9.01 10/30/09 AMEND
Bluerock Enhanced Multifamily Trust, MD 1.01,2.03 01/20/12
Boardwalk Pipeline Partners, LP DE 1.01,9.01 01/20/12
BODY CENTRAL CORP 2.03 01/20/12
Boomerang Systems, Inc. DE 5.02 01/18/12
Boston Therapeutics, Inc. DE 8.01 01/24/12
BRIDGE BANCORP INC NY 2.02,9.01 01/23/12
BRINKER INTERNATIONAL INC DE 2.02,9.01 01/24/12
BRISTOL MYERS SQUIBB CO DE 5.02,9.01 01/23/12
BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 01/24/12
CA, INC. DE 2.02,7.01,9.01 01/24/12
CAPITAL SOUTHWEST CORP TX 2.02,9.01 01/24/12
Car Charging Group, Inc. NV 1.01,5.02,9.01 01/18/12
CC Media Holdings Inc 2.02,5.02 01/20/12
CENTRUE FINANCIAL CORP DE 5.02,9.01 01/19/12
Chino Commercial Bancorp CA 8.01,9.01 01/23/12
ChromaDex Corp. 5.02,9.01 01/22/12
Citizens Community Bancorp Inc. MD 7.01,9.01 01/24/12
CITIZENS FINANCIAL SERVICES INC PA 2.02,9.01 01/24/12
CITIZENS INC CO 8.01,9.01 01/20/12
CLEAR CHANNEL COMMUNICATIONS INC TX 2.02,5.02 01/20/12
Clear Channel Outdoor Holdings, Inc. DE 2.02,5.02 01/20/12
Clearwire Corp /DE DE 2.02,8.01,9.01 01/24/12
Clearwire Corp /DE DE 8.01,9.01 01/24/12
CLOUD PEAK ENERGY INC. DE 1.01,9.01 01/20/12
COACH INC MD 2.02,9.01 01/24/12
CODEXIS INC 5.02,9.01 01/19/12
COMMERCE BANCSHARES INC /MO/ MO 2.02,9.01 01/24/12
COMMERCIAL NATIONAL FINANCIAL CORP /P PA 5.02 01/24/12
COMMODORE APPLIED TECHNOLOGIES INC DE 9.01 01/06/12
COMMUNITY BANK SYSTEM INC DE 7.01,9.01 01/23/12
Cooper Industries plc 2.02,9.01 01/24/12
Core-Mark Holding Company, Inc. DE 5.02,9.01 01/18/12
Corporate Capital Trust, Inc. MD 8.01,9.01 01/23/12
CRANE CO /DE/ DE 2.02,8.01,9.01 01/23/12
Crescent Financial Bancshares, Inc. 1.01,9.01 01/20/12
CUI Global, Inc. CO 7.01,9.01 01/23/12
CVB FINANCIAL CORP CA 5.02 01/19/12
DCB FINANCIAL CORP OH 2.02,9.01 01/24/12
DIGI INTERNATIONAL INC DE 5.02,5.07 01/18/12
Digital Systems, Inc. CO 7.01,9.01 01/20/12
DJO Finance LLC DE 2.02,7.01,9.01 01/24/12
Domark International Inc. NV 1.02,9.01 01/24/12
Domark International Inc. NV 7.01 01/24/12
DUPONT E I DE NEMOURS & CO DE 2.02,9.01 01/24/12
Eagle Bancorp Montana, Inc. 2.02,9.01 01/24/12
EAGLE ROCK ENERGY PARTNERS L P DE 7.01 01/24/12
EASTMAN KODAK CO NJ 7.01,8.01,9.01 01/23/12
EL PASO CORP/DE DE 5.02,9.01 01/19/12
ELECTRONICS FOR IMAGING INC DE 2.02,9.01 01/24/12
EMC CORP MA 2.02,9.01 01/24/12
EMC CORP MA 5.02,9.01 01/20/12
ENERGY KING, INC. 5.02,9.01 01/24/12
Energy Transfer Partners, L.P. DE 7.01 01/24/12
EQUITY LIFESTYLE PROPERTIES INC MD 2.02,5.02,9.01 01/18/12
ETHAN ALLEN INTERIORS INC DE 2.02,9.01 01/24/12
EVEREST RE GROUP LTD D0 8.01,9.01 01/24/12
EVERGREEN ENERGY INC DE 1.03,2.04,5.02 01/23/12
EVOLVING SYSTEMS INC DE 5.02 01/20/12
FARMERS & MERCHANTS BANCORP INC OH 8.01,9.01 01/20/12
Federal Home Loan Bank of Atlanta X1 2.03 01/24/12
Federal Home Loan Bank of Boston X1 2.03 01/18/12
Federal Home Loan Bank of Chicago X1 2.03 01/18/12
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 01/18/12
Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/20/12
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 01/24/12
Federal Home Loan Bank of New York X1 2.03,9.01 01/18/12
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 01/18/12
Federal Home Loan Bank of San Francis X1 2.03 01/18/12
Federal Home Loan Bank of Seattle 2.03 01/18/12
Federal Home Loan Bank of Topeka 2.03,9.01 01/18/12
FFD FINANCIAL CORP/OH OH 2.02,9.01 01/23/12
FIDELITY SOUTHERN CORP GA 5.02,9.01 01/19/12
FIFTH THIRD BANCORP OH 5.02,9.01 01/19/12
FIRST ASIA HOLDINGS Ltd A6 5.02 01/21/12
FIRST BUSEY CORP /NV/ NV 2.02,9.01 01/24/12
FIRST DEFIANCE FINANCIAL CORP OH 2.02,9.01 01/23/12
FIRST FINANCIAL BANKSHARES INC TX 5.03,9.01 01/24/12
First Guaranty Bancshares, Inc. LA 8.01 12/31/11
FIRSTMERIT CORP /OH/ OH 9.01 01/24/12
Forestar Group Inc. DE 1.01,9.01 01/20/12
FUSION-IO, INC. DE 1.01,2.02,9.01 01/20/12
GENEREX BIOTECHNOLOGY CORP DE 1.01,2.03 01/19/12
GenMark Diagnostics, Inc. DE 1.01 01/19/12
GENTA INC DE/ DE 8.01 01/23/12
GIGA TRONICS INC CA 2.02,2.04,2.06,9.01 01/20/12
GLADSTONE CAPITAL CORP MD 1.01,9.01 01/19/12
GOLDMAN SACHS GROUP INC DE 9.01 01/24/12
Government Properties Income Trust MD 5.03,9.01 01/18/12
GRAPHON CORP/DE DE 8.01 01/18/12
GREAT ATLANTIC & PACIFIC TEA CO INC MD 7.01,9.01 01/20/12
GREAT SOUTHERN BANCORP INC MD 2.02,9.01 01/24/12
GREENE COUNTY BANCORP INC DE 8.01 01/18/12
GRUBB & ELLIS CO DE 8.01 01/18/12
Guardian 8 Holdings 7.01,8.01,9.01 01/10/12
GUIDED THERAPEUTICS INC DE 7.01,9.01 01/24/12
HALLIBURTON CO DE 2.02 01/23/12
HARLEY DAVIDSON INC WI 2.02,9.01 01/24/12
HENRY COUNTY BANCSHARES INC GA 1.03,9.01 01/20/12
HUTCHINSON TECHNOLOGY INC MN 2.02,9.01 01/24/12
IBI ACQUISITIONS, INC. CO 4.01,9.01 01/18/12
IGEN NETWORKS CORP NV 5.02 11/01/11
II-VI INC PA 2.02,9.01 01/24/12
IMPLANT SCIENCES CORP MA 5.02,7.01,9.01 01/24/12
INDUSTRIAL SERVICES OF AMERICA INC /F FL 5.02,5.03,9.01 01/19/12
INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 01/24/12
INTERNATIONAL GAME TECHNOLOGY NV 2.02,9.01 01/24/12
INTERSECTIONS INC DE 1.01 01/19/12
ISA INTERNATIONALE INC DE 5.02 12/31/11
JARDEN CORP DE 2.02,9.01 01/24/12
Jazz Pharmaceuticals plc DE 5.02 01/18/12
JOHNSON & JOHNSON NJ 2.02,9.01 01/24/12
KANSAS CITY SOUTHERN DE 2.02,9.01 01/23/12
KEYCORP /NEW/ OH 2.02,7.01,9.01 01/24/12
KIMBERLY CLARK CORP DE 2.02,8.01,9.01 01/24/12
KNIGHT CAPITAL GROUP, INC. DE 5.03,9.01 01/18/12
LANDMARK BANCORP INC DE 7.01,9.01 01/24/12
LANNETT CO INC DE 5.07 01/18/12
Liberator, Inc. FL 7.01,9.01 01/24/12
LIBERTY STAR URANIUM & METALS CORP. NV 3.02,9.01 01/10/12
Lithium Exploration Group, Inc. NV 7.01 01/24/12
LNB BANCORP INC OH 7.01,9.01 01/24/12
LPL Investment Holdings Inc. DE 9.01 04/27/11 AMEND
LUBYS INC DE 5.07 01/20/12
MACC PEI LIQUIDATING TRUST 8.01 01/23/12
MACQUARIE/FIRST TRUST GLOBAL INFRASTR 7.01,9.01 01/24/12
MACROSOLVE INC OK 7.01,9.01 01/24/12
MARTEN TRANSPORT LTD DE 2.02,9.01 01/24/12
Max Sound Corp DE 1.01,9.01 06/10/11 AMEND
MCDONALDS CORP DE 2.02,9.01 01/24/12
MEDIA TECHNOLOGIES, INC. NV 1.01 01/13/12
MEDIWARE INFORMATION SYSTEMS INC NY 5.02,9.01 01/24/12
Medytox Solutions, Inc. NV 1.02 01/18/12
MERCURY COMPUTER SYSTEMS INC MA 2.02,9.01 01/24/12
MEREDITH CORP IA 2.02,9.01 01/24/12
MEREDITH CORP IA 2.02,9.01 01/24/12
MGIC INVESTMENT CORP WI 2.02,8.01,9.01 01/23/12
Mindesta Inc. DE 8.01,9.01 01/24/12
MINISTRY PARTNERS INVESTMENT COMPANY, 8.01,9.01 12/28/11
MModal Inc. DE 5.03,9.01 01/23/12
Monotype Imaging Holdings Inc. DE 5.02 01/19/12
MONSANTO CO /NEW/ DE 5.07 01/23/12
MOTORCAR PARTS AMERICA INC NY 1.01,1.02,2.03,7.01, 01/18/12
9.01
MRV COMMUNICATIONS INC DE 5.02,5.07,8.01,9.01 01/18/12
NATUS MEDICAL INC DE 5.02 01/18/12
NBT BANCORP INC DE 2.02,5.02,9.01 01/23/12
NEDAK ETHANOL, LLC NE 3.03,5.03,7.01,9.01 01/24/12
NEWS CORP 8.01,9.01 01/24/12
NORFOLK SOUTHERN CORP VA 2.02,7.01,9.01 01/24/12
NORTHRIM BANCORP INC AK 5.02,9.01 01/18/12
NTN BUZZTIME INC DE 8.01,9.01 01/24/12
NUVILEX, INC. NV 5.02 01/19/12
Oak Ridge Financial Services, Inc. NC 5.02,9.01 01/24/12
OHIO VALLEY BANC CORP OH 8.01 01/24/12
ONEOK INC /NEW/ OK 7.01,9.01 01/24/12
ONEOK Partners LP DE 7.01,9.01 01/24/12
Onstream Media CORP FL 3.03,5.03,9.01 01/24/12
Opko Health, Inc. DE 1.01,7.01,9.01 01/20/12
Oraco Resources, Inc. NV 1.01,2.01,3.02,5.01, 05/16/11 AMEND
5.02,5.06,8.01,9.01
ORAMED PHARMACEUTICALS INC. NV 8.01,9.01 01/24/12
OSI SYSTEMS INC DE 2.02,9.01 01/24/12
PACIFIC CONTINENTAL CORP OR 2.02,9.01 01/24/12
PACIFIC PREMIER BANCORP INC DE 2.02,9.01 12/31/11
PACKAGING CORP OF AMERICA 2.02,9.01 01/23/12
Parametric Sound Corp NV 8.01,9.01 01/24/12
PATAPSCO BANCORP INC MD 2.02,9.01 01/23/12
PDL BIOPHARMA, INC. DE 8.01,9.01 01/18/12
PEABODY ENERGY CORP DE 2.02,9.01 01/24/12
Pebblebrook Hotel Trust MD 7.01,9.01 01/23/12
PENN VIRGINIA RESOURCE PARTNERS L P DE 7.01,9.01 01/24/12
PEOPLES BANCORP INC OH 2.02,9.01 01/24/12
PERVASIVE SOFTWARE INC DE 2.02,9.01 01/24/12
PETMED EXPRESS INC FL 8.01,9.01 01/23/12
PHOTOTRON HOLDINGS, INC. DE 5.02 01/17/12
PostRock Energy Corp DE 8.01,9.01 01/19/12
POWER EFFICIENCY CORP DE 5.03,9.01 01/18/12
PRIVATEBANCORP, INC DE 2.02,9.01 01/24/12
PROVIDENT NEW YORK BANCORP DE 2.02,9.01 01/23/12
PUMA BIOTECHNOLOGY, INC. DE 5.02,9.01 01/19/12
Q LOTUS HOLDINGS INC NV 1.01,2.03,9.01 01/18/12
Q LOTUS HOLDINGS INC NV 1.01,2.03,9.01 01/18/12
QUEST DIAGNOSTICS INC DE 2.02,8.01,9.01 01/24/12
RALCORP HOLDINGS INC /MO MO 1.01,1.02,2.03,2.04, 01/20/12
9.01
RANGE RESOURCES CORP DE 7.01,9.01 01/23/12
RAYONIER INC NC 2.02,9.01 01/24/12
REGENERON PHARMACEUTICALS INC NY 5.02 01/23/12 AMEND
REGIONS FINANCIAL CORP DE 2.02,7.01,9.01 01/24/12
Renewable Energy Group, Inc. 5.02 01/18/12
RESOURCES CONNECTION INC DE 8.01,9.01 01/19/12
RESOURCES CONNECTION INC DE 5.07 01/19/12 AMEND
RF MICRO DEVICES INC NC 2.02,9.01 01/24/12
RFS HOLDING LLC 1.01,9.01 01/23/12
RIGHTNOW TECHNOLOGIES INC MT 8.01 01/20/12
S&T BANCORP INC PA 8.01,9.01 01/23/12
S1 CORP /DE/ DE 8.01,9.01 01/19/12
SCHNITZER STEEL INDUSTRIES INC OR 5.02,7.01,9.01 01/17/12
SCOTTS MIRACLE-GRO CO OH 5.02,5.05,5.07,9.01 01/18/12
SEMTECH CORP DE 1.01,7.01,9.01 01/23/12
ServisFirst Bancshares, Inc. DE 2.02,9.01 01/24/12
SHARPS COMPLIANCE CORP DE 2.02,9.01 01/24/12
SHARPS COMPLIANCE CORP DE 7.01,9.01 01/24/12
SIERRA BANCORP CA 2.02,9.01 01/23/12
Smart-tek Solutions Inc NV 4.01,9.01 01/20/12
SONIC CORP DE 5.02,5.07 01/19/12
Sono Resources, Inc. NV 5.03,5.07,9.01 01/19/12
SOUTH CAROLINA ELECTRIC & GAS CO SC 8.01,9.01 01/23/12
SOUTH JERSEY INDUSTRIES INC NJ 7.01,9.01 01/23/12
SOUTHERN FIRST BANCSHARES INC SC 2.02,8.01,9.01 01/24/12
SOUTHERN STATES SIGN Co NV 3.02 01/23/12
SOUTHWEST BANCORP INC OK 2.02,7.01,9.01 01/24/12
SOUTHWEST GEORGIA FINANCIAL CORP GA 2.02,9.01 12/31/11
SPICY PICKLE FRANCHISING INC CO 5.02 01/20/12
SPX CORP DE 1.01 01/23/12
STATE INVESTORS BANCORP, INC. 5.02,5.07,7.01,9.01 01/24/12
STONE ENERGY CORP DE 2.02,7.01,9.01 01/23/12
STONEMOR PARTNERS LP DE 1.01,1.02,2.03,9.01 01/19/12
STRYKER CORP MI 2.02,9.01 12/31/11
SUNGARD CAPITAL CORP DE 4.02 01/22/12
Super Micro Computer, Inc. CA 2.02,9.01 01/24/12
SuperDirectories Inc. DE 4.01,9.01 01/07/12
SUPERTEX INC CA 2.02,9.01 01/24/12
SYNERGY RESOURCES CORP CO 8.01,9.01 01/24/12
SYNOVUS FINANCIAL CORP GA 2.02,7.01,9.01 01/24/12
TANDY BRANDS ACCESSORIES INC DE 1.01 01/20/12
TCF FINANCIAL CORP DE 2.02,9.01 01/24/12
Tempco, Inc. NV 8.01,9.01 01/24/12
TEMPUR PEDIC INTERNATIONAL INC DE 2.02,7.01,9.01 01/20/12
TMST, Inc. MD 8.01 01/23/12
TOTAL SYSTEM SERVICES INC GA 2.02,7.01,9.01 01/24/12
TOWER BANCORP INC PA 8.01,9.01 01/20/12
TRAILBLAZER RESOURCES INC. NV 8.01 12/15/11
TRAVELERS COMPANIES, INC. MN 2.02,9.01 01/24/12
TRUSTMARK CORP MS 2.02,9.01 01/24/12
TUESDAY MORNING CORP/DE DE 7.01,9.01 01/23/12
U S GOLD CORP CO 1.01,2.01,3.02,3.03,5.02,5.03,9.0101/20/12
UAN CULTURAL & CREATIVE CO., LTD. DE 5.02 01/12/12
UAN Power Corp DE 4.01,5.02,9.01 01/12/12
UGI CORP /PA/ PA 5.07 01/19/12
Ulta Salon, Cosmetics & Fragrance, In DE 5.02,9.01 01/20/12
UNIVERSAL HEALTH SERVICES INC DE 5.02 01/18/12
Vanguard Natural Resources, LLC DE 1.01,7.01,9.01 01/24/12
VERIZON COMMUNICATIONS INC DE 2.02,9.01 01/24/12
VERIZON COMMUNICATIONS INC DE 7.01 01/24/12
VIASPACE Inc. 5.02,9.01 01/19/12
VIASPACE Inc. 5.02,9.01 01/19/12 AMEND
Vicor Technologies, Inc. DE 4.01,5.02 01/13/12
VICTORY ENERGY CORP NV 5.02,9.01 01/17/12
VIRGINIA COMMERCE BANCORP INC 2.02,7.01,9.01 01/24/12
VIRGINIA COMMERCE BANCORP INC 2.02,7.01,9.01 01/24/12 AMEND
VISTA GOLD CORP B0 7.01,9.01 01/24/12
W&E Source Corp. DE 1.01,3.02,9.01 01/24/12
WATERS CORP /DE/ DE 2.02,9.01 01/24/12
WATSON PHARMACEUTICALS INC NV 2.02,7.01,9.01 01/24/12
WebXU, Inc. DE 9.01 11/14/11 AMEND
Wells Timberland REIT, Inc. MD 1.01 01/20/12
WESBANCO INC WV 2.02,9.01 01/24/12
WESTELL TECHNOLOGIES INC DE 2.02,9.01 01/24/12
WESTERN DIGITAL CORP DE 7.01 01/23/12
WESTMORELAND COAL Co DE 8.01,9.01 01/23/12
WVS FINANCIAL CORP PA 2.02,9.01 01/24/12
Xun Energy, Inc. NV 1.01,9.01 01/20/12
YAHOO INC DE 2.02,9.01 01/24/12
Yukonic Minerals Corp. NV 5.03,8.01,9.01 01/10/12
http://www.sec.gov/news/digest/2012/dig012512.htm
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