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commission announcementsSEC Charges Former Pharmaceutical Company Employee with Insider Trading on Biotech DealsThe Securities and Exchange Commission today charged that a former employee of Takeda Pharmaceuticals International, Inc. traded on inside information about the Japanese firm’s business alliances and corporate acquisitions. Brent Bankosky, a former Senior Director in Takeda’s U.S.-based business development group, has agreed to pay more than $136,000 to settle the SEC’s charges. The proposed settlement is subject to the approval of Judge Harold Baer, Jr. of the U.S. District Court for the Southern District of New York. Under the proposed settlement, the Court, upon motion by the Commission, will determine whether to impose an officer-and-director bar against Bankosky. The SEC’s complaint, filed in federal court in Manhattan, alleges that Bankosky reaped more than $63,000 of profits, achieving a 169% rate of return, by trading on non-public information about two business transactions in 2008. Takeda’s business development group worked on the transactions, a strategic alliance with Cell Genesys, Inc., and the acquisition of Millennium Pharmaceuticals, Inc., which were referred to internally by their code names, Project Ceres and Project Mercury. Bankosky’s trading violated U.S. securities laws and Takeda’s policies, which forbade employees from disclosing or trading based on inside information. “Brent Bankosky was entrusted with highly confidential information of Takeda and betrayed that trust to line his own pocket,” said George S. Canellos, Director of the SEC’s New York Regional Office. “His is another cautionary tale of an employee who succumbed to greed and the delusion that he wouldn’t get caught.” Sanjay Wadhwa, Associate Director of the SEC’s New York Regional Office and Deputy Chief of the Market Abuse Unit, added, “We are determined to rid the U.S. marketplace of illegal insider trading, and we will pursue it wherever we find it, irrespective of whether it’s a hedge fund reaping millions of dollars in illicit gains or an individual investor hoping to fly under the radar by making relatively small insider trading profits.” According to the SEC’s complaint, almost immediately after Bankosky joined Takeda in January 2008 as a Director in its business development group, he began to misuse confidential corporate information for his personal benefit. In February 2008, Bankosky began placing trades in his personal brokerage account based on non-public information about Takeda’s proposed strategic alliance with Cell Genesys, which was announced in March. Starting in March 2008, Bankosky made additional trades for his own account based on non-public information about Takeda’s plan to acquire Millennium, which was announced in April. Bankosky also traded on other confidential information in 2009 and 2010, purchasing call options in the securities of Arena Pharmaceutical, Inc., and AMAG Pharmaceutical, Inc., respectively, when the firms were engaged in confidential discussions on business transactions with Takeda. Bankosky, who was promoted to Senior Director of Takeda’s business development group in September 2010, resigned from Takeda in May 2011. The SEC’s complaint charges Bankosky with violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, as well as Section 14(e) of the Exchange Act and Rule 14e-3. The complaint seeks a final judgment ordering Bankosky to pay a financial penalty and disgorge his ill-gotten gains plus prejudgment interest, preventing him from serving as an officer or director of a public company, and permanently enjoining him from future violations of those provisions of the federal securities laws. The SEC’s investigation, which is continuing, has been conducted by Charles D. Riely and Amelia A. Cottrell – members of the SEC’s Market Abuse Unit in New York – and Layla Mayer of the SEC’s New York Regional Office. (Press Rel. 2012-26) Enforcement proceedingsIn the Matter of Gregg M.S. BergerOn February 9, 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 Gregg M.S. Berger. The Order finds that Berger was permanently enjoined, by consent, from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934. This Order is based on a Final Judgment entered against him on January 27, 2012 in the United States District Court for the Eastern District of Michigan in the civil action entitled Securities and Exchange Commission v. Gregg M.S. Berger, et al., Civil Action number 2:11-CV-10403. The Order finds that Berger along with ten other individuals and entities, engaged in schemes to pump and dump the securities of at least eight U.S. microcap stocks of issuers, primarily headquartered in the People’s Republic of China, and facilitated unregistered sales of millions of shares of these issuers stock that generated proceeds in excess of $33 million. Berger also organized and arranged the pump and dump of one of the issuer’s stocks. In a related criminal proceeding, Berger pled guilty to one count of conspiracy to commit wire fraud and securities fraud. He was sentenced to 24 months in prison and ordered to forfeit $600,000. Based on the above, the Order bars Berger from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent. Berger consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-66365; File No. 3-14755) Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by BATS Exchange, Inc. (SR-BATS-2012-007) to add reference to two variations of an existing routing strategy 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 February 13. (Rel. 34-66324) A proposed rule change filed by BATS Y-Exchange, Inc. (SR-BYX-2012-004) to add reference to a variation of an existing routing strategy 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 February 13. (Rel. 34-66325) A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-023) relating to post-only orders 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 February 13. (Rel. 34-66347) A proposed rule change filed by NYSE Amex LLC amending Commentary .05 to NYSE Amex Options Rule 903 to allow trading of options on iShares® Silver Trust and United States Oil Fund at $0.50 strike price intervals where the strike price is less than $75 (SR-NYSEAmex-2012-09) 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 February 13. (Rel. 34-66349) A proposed rule change filed by NYSE Arca, Inc. amending Commentary .05 to NYSE Arca Rule 6.4 to allow trading of options on iShares® Silver Trust and United States Oil Fund at $0.50 Strike Price Intervals Where the Strike Price is Less than $75 (SR-NYSEArca-2012-14) 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 February 13. (Rel. 34-66350) A proposed rule change filed by NASDAQ OMX BX (SR-BX-2012-007) relating to a proposal to permit customer cross orders on BOX 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 February 13. (Rel. 34-66356) A proposed rule change filed by BATS Exchange, Inc. relating to the listing and trading of shares of the iShares® MSCI Denmark Capped Investable Market Index Fund (SR-BATS-2012-004) 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 February 13. (Rel. 34-66357) A proposed rule change filed by the BATS Exchange, Inc. (SR-BATS-2012-006) related to fees for use of BATS Exchange, Inc. 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 February 13. (Rel. 34-66358) A proposed rule change filed by NASDAQ OMX BX, Inc. relating to fidelity bonds (SR-BX-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 February 13. (Rel. 34-66359) A proposed rule change submitted by The Nasdaq Stock Market LLC (SR-NASDAQ-2012-022) relating to options 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 February 13. (Rel. 34-66360) Approval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change, as modified by Amendment No. 1, filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-122) related to trading of FLEX Options. Publication is expected in the Federal Register during the week of February 13. (Rel. 34-66348) Accelerated Approval of Proposed Rule ChangeA proposed rule change filed by Chicago Mercantile Exchange Inc. (CME) to amend certain aspects of the performance bond regime applicable to cleared only OTC FX swaps (SR-CME-2012-03) 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 February 13. (Rel. 34-66354) 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-3ASR FREEPORT MCMORAN COPPER & GOLD INC, 333 NORTH CENTRAL AVENUE, PHOENIX, AZ, 85004, 6023668100 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179420 - Feb. 8) (BR. 09B) S-1 CH REAL ESTATE II, INC, 175 SOUTH MAIN STREET, SUITE 1500, SALT LAKE CITY, UT, 84111, 801-739-8234 - 1,360,000 ($272,000.00) Equity, (File 333-179424 - Feb. 8) (BR. 08) S-8 RADVISION LTD, 24 RAOUL WALLENBERG ST, TEL AVIV ISRAEL, TEL AVIV, L4, 00000, 0119723645 - 0 ($6,468,736.00) Equity, (File 333-179425 - Feb. 8) (BR. 03A) F-3ASR DIAGEO PLC, LAKESIDE DRIVE, PARK ROYAL, LONDON, X0, NW10 7HQ, 442089786000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179426 - Feb. 8) (BR. 09B) S-3 TELULAR CORP, 311 SOUTH WACKER DRIVE, SUITE 4300, CHICAGO, IL, 60606, 3123798397 - 1,000,024 ($8,470,203.00) Equity, (File 333-179428 - Feb. 8) (BR. 11C) S-1 BIONOVO INC, 5858 HORTON STREET, SUITE 400, EMERYVILLE, CA, 94608, 510-601-2000 - 0 ($10,000,000.00) Equity, (File 333-179429 - Feb. 8) (BR. 01A) S-3ASR IRONWOOD PHARMACEUTICALS INC, 301 BINNEY STREET, CAMBRIDGE, MA, 02142, 617-621-7722 - 0 ($0.00) Equity, (File 333-179430 - Feb. 8) (BR. 01B) N-2 HERCULES TECHNOLOGY GROWTH CAPITAL INC, 400 HAMILTON AVE, SUITE 310, PALO ALTO, CA, 94301, 650-289-3060 - 0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-179431 - Feb. 8) (BR. 18) S-1 Market Vectors Commodity Trust, 335 MADISON AVENUE, NEW YORK, NY, 10017, (212) 293-2000 - 40,000 ($1,000,000.00) Equity, (File 333-179432 - Feb. 8) (BR. ) N-2 Solar Senior Capital Ltd., 500 PARK AVENUE, NEW YORK, NY, 10022, (212) 993-1670 - 0 ($150,000,000.01) Equity, (File 333-179433 - Feb. 8) (BR. 18) 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 ----------------------------------------------------------------------------------------- 3M CO DE 5.02,9.01 02/08/12 ACCURAY INC DE 2.02,9.01 02/08/12 ACCURIDE CORP DE 1.01,2.03,7.01,9.01 02/07/12 ADVOCAT INC DE 5.02 02/03/12 AFFYMETRIX INC DE 2.02 12/31/11 AKAMAI TECHNOLOGIES INC DE 2.02,5.02,9.01 02/03/12 ALERE INC. DE 2.02,9.01 02/08/12 ALEXANDRIA REAL ESTATE EQUITIES INC MD 2.02,9.01 02/07/12 ALLIANCE FIBER OPTIC PRODUCTS INC CA 5.02 02/02/12 Alpha Natural Resources, Inc. DE 1.04 02/02/12 ALTERRA CAPITAL HOLDINGS Ltd 2.02,8.01,9.01 02/08/12 American Capital Mortgage Investment MD 2.02,9.01 02/08/12 AMERICAN PACIFIC CORP DE 2.02,9.01 02/08/12 Americredit Automobile Receivables Tr 8.01,9.01 02/08/12 AMERIGAS PARTNERS LP DE 5.02,9.01 02/08/12 AMPAL-AMERICAN ISRAEL CORP NY 8.01 02/08/12 Amwest Imaging Inc NV 1.01 02/08/12 Anacor Pharmaceuticals Inc DE 8.01,9.01 02/06/12 APARTMENT INVESTMENT & MANAGEMENT CO MD 2.02,9.01 02/08/12 APOLLO INVESTMENT CORP MD 5.02,9.01 02/06/12 Armour Residential REIT, Inc. MD 1.01,8.01,9.01 02/08/12 ASSURANT INC 8.01 02/07/12 ATMEL CORP DE 2.02,9.01 02/08/12 Avantair, Inc DE 2.02,9.01 02/08/12 AXCELIS TECHNOLOGIES INC DE 2.05 02/02/12 AXIS CAPITAL HOLDINGS LTD 5.02,9.01 02/06/12 BAKERS FOOTWEAR GROUP INC MO 2.02,7.01,9.01 02/02/12 BARNWELL INDUSTRIES INC DE 2.02,9.01 02/08/12 BBCN BANCORP INC DE 2.02,9.01 02/07/12 BEAZER HOMES USA INC DE 5.07 02/07/12 BELO CORP DE 2.02,9.01 02/07/12 BENIHANA INC DE 2.02,9.01 02/08/12 Bio Nitrogen Corp NJ 7.01,9.01 10/04/11 BIO REFERENCE LABORATORIES INC NJ 8.01,9.01 02/08/12 BIO-PATH HOLDINGS INC UT 8.01,9.01 02/07/12 Biodel Inc 2.02,9.01 02/08/12 BIOSANTE PHARMACEUTICALS INC DE 1.01,3.02 02/07/12 BIOZONE PHARMACEUTICALS, INC. NV 5.02,9.01 01/30/12 AMEND BJs RESTAURANTS INC CA 8.01,9.01 02/08/12 BMB MUNAI INC NV 1.01,9.01 02/02/12 Booz Allen Hamilton Holding Corp DE 7.01 02/08/12 BOSTON PROPERTIES INC DE 8.01,9.01 02/07/12 BreitBurn Energy Partners L.P. DE 1.01,7.01,9.01 02/03/12 Bristow Group Inc DE 7.01,9.01 02/08/12 Bullion Monarch Mining, Inc. (NEW) UT 1.01,8.01,9.01 02/07/12 Cadista Holdings Inc. DE 1.01,2.03,9.01 02/02/12 CAESARS ENTERTAINMENT Corp DE 7.01,9.01 02/07/12 CALLIDUS SOFTWARE INC DE 2.02,9.01 02/08/12 Campus Crest Communities, Inc. MD 8.01,9.01 02/02/12 CANADIAN DERIVATIVES CLEARING CORP A6 9.01 01/31/12 CAPITAL ONE FINANCIAL CORP DE 7.01 02/08/12 CARDICA INC DE 8.01,9.01 02/08/12 CASCADE MICROTECH INC 2.02,9.01 02/08/12 CCA INDUSTRIES INC DE 8.01,9.01 02/07/12 CENTRAL GARDEN & PET CO DE 8.01,9.01 02/08/12 CHESAPEAKE GRANITE WASH TRUST DE 2.02,9.01 02/08/12 Chesapeake Lodging Trust MD 2.02,9.01 02/08/12 China Green Agriculture, Inc. NV 8.01,9.01 02/02/12 China Green Agriculture, Inc. NV 2.02,9.01 02/08/12 CIFC Corp. DE 1.01,2.01,8.01,9.01 02/07/12 CIG WIRELESS CORP. NV 5.02 02/06/12 CINCINNATI FINANCIAL CORP OH 2.02,9.01 02/08/12 CIRCOR INTERNATIONAL INC DE 8.01,9.01 02/07/12 CISCO SYSTEMS, INC. CA 2.02 02/08/12 CLAIBORNE LIZ INC DE 8.01 02/06/12 CNO Financial Group, Inc. DE 7.01,9.01 02/08/12 COCA-COLA ENTERPRISES, INC. DE 5.02 02/08/12 COGNIZANT TECHNOLOGY SOLUTIONS CORP 2.02,5.02,9.01 02/06/12 COMMERCETEL CORP NV 5.02,9.01 02/01/12 COMPUTER SCIENCES CORP NV 2.02,9.01 02/08/12 COMPUTER SCIENCES CORP NV 5.02,5.03,9.01 02/07/12 Consolidated Communications Holdings, DE 1.01,9.01 02/05/12 CONSOLIDATED GRAPHICS INC /TX/ TX 2.02,9.01 02/07/12 Contango ORE, Inc. DE 2.02,9.01 02/06/12 Coronus Solar Inc. A1 1.01,1.02,2.03,3.02, 02/07/12 5.02,7.01,9.01 COVANTA HOLDING CORP DE 2.02,7.01,9.01 02/08/12 COVENTRY HEALTH CARE INC DE 2.02,9.01 02/08/12 CREDO PETROLEUM CORP DE 8.01,9.01 02/07/12 CURIS INC DE 2.02,5.02,9.01 02/06/12 CVR ENERGY INC DE 7.01,9.01 02/07/12 CVS CAREMARK CORP DE 2.02,9.01 02/08/12 DEERE & CO DE 7.01 02/08/12 DemandTec, Inc. DE 8.01 02/08/12 Deyu Agriculture Corp. NV 1.01,2.01,9.01 02/02/12 Diamond Foods Inc DE 4.02,5.02,9.01 02/07/12 Discover Card Execution Note Trust DE 8.01 02/08/12 DISCOVERY LABORATORIES INC /DE/ DE 1.01,8.01,9.01 02/02/12 Dolby Laboratories, Inc. DE 2.02,8.01,9.01 02/08/12 Domain Extremes Inc. 5.02 02/07/12 AMEND DOT HILL SYSTEMS CORP DE 2.05 02/02/12 Dr Pepper Snapple Group, Inc. DE 8.01,9.01 02/08/12 DUPONT FABROS TECHNOLOGY, INC. MD 2.02,7.01,9.01 02/07/12 DynaVox Inc. 2.02,9.01 02/08/12 EASTERN CO CT 2.02,7.01,9.01 02/08/12 EASTERN CO CT 1.01 02/08/12 ECA Marcellus Trust I DE 2.02,9.01 02/08/12 EdgeWave, Inc. DE 1.01,5.02,9.01 02/02/12 EDUCATION MANAGEMENT CORPORATION 5.07 02/03/12 AMEND EGAIN COMMUNICATIONS CORP DE 2.02,9.01 02/08/12 ELECTRONIC ARTS INC. DE 5.02 02/03/12 Ellington Financial LLC DE 7.01,9.01 02/07/12 EnerSys DE 2.02,9.01 02/08/12 Enertopia Corp. NV 7.01,9.01 02/08/12 EQUIFAX INC GA 2.02,9.01 02/08/12 ESCALADE INC IN 8.01 02/06/12 EVEREST RE GROUP LTD D0 2.02,9.01 02/08/12 EXELIXIS INC DE 2.02,9.01 02/08/12 EXERCISE FOR LIFE SYSTEMS, INC. NC 5.01,5.02 11/14/11 EZJR, Inc. NV 5.01,5.02,8.01 02/08/12 FBL FINANCIAL GROUP INC IA 5.02 02/07/12 FBR & Co. VA 2.02,9.01 02/08/12 FEI CO OR 2.02,9.01 02/08/12 Fidelity National Financial, Inc. 2.02,9.01 02/08/12 Fidelity National Financial, Inc. 2.02,9.01 02/08/11 AMEND Fifth Season International, Inc. DE 2.01,3.02,5.01,5.02, 02/08/12 AMEND 5.03,5.06,9.01 FIFTH THIRD BANCORP OH 7.01,9.01 02/08/12 FINOTEC GROUP INC NV 2.01 01/30/12 FIRSTENERGY CORP OH 2.02,2.05,2.06,9.01 02/07/12 FLEETCOR TECHNOLOGIES INC DE 1.01,2.03,9.01 02/06/12 FLEETCOR TECHNOLOGIES INC DE 2.02,9.01 02/08/12 FMC CORP DE 2.02,9.01 02/08/12 GAMCO INVESTORS, INC. ET AL NY 8.01 02/07/12 GameStop Corp. DE 8.01,9.01 02/08/12 GENERAL CABLE CORP /DE/ DE 2.02,9.01 02/08/12 General Growth Properties, Inc. DE 2.02,7.01,9.01 02/08/12 GENESEE & WYOMING INC DE 2.02,9.01 02/08/12 GIGA TRONICS INC CA 5.07 02/07/12 GLOBAL AXCESS CORP NV 5.02,9.01 02/03/12 GLOBECOMM SYSTEMS INC 2.02,9.01 02/08/12 Golub Capital BDC, Inc. DE 5.07 02/02/12 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 02/03/12 Green Plains Renewable Energy, Inc. IA 2.02,9.01 02/08/12 Groupon, Inc. DE 2.02,9.01 02/08/12 Guanwei Recycling Corp. NV 4.01,9.01 02/06/12 Guidance Software, Inc. DE 1.01,9.01 02/07/12 HEALTHCARE SERVICES GROUP INC PA 2.02,9.01 02/07/12 hhgregg, Inc. DE 2.02,9.01 02/08/12 HIGHLANDS BANCORP, INC. NJ 2.02,9.01 02/07/12 HIGHLANDS BANKSHARES INC /VA/ VA 5.02 12/14/11 HNI CORP IA 2.02,9.01 02/07/12 HollyFrontier Corp DE 7.01,9.01 02/08/12 HOST HOTELS & RESORTS, INC. MD 1.01,5.02,9.01 02/02/12 HUDSON CITY BANCORP INC DE 8.01,9.01 02/08/12 IDEX CORP /DE/ DE 7.01,9.01 02/07/12 IEC ELECTRONICS CORP DE 2.02,8.01,9.01 02/08/12 ILLUMINA INC DE 2.02,8.01,9.01 02/02/12 ImmunoCellular Therapeutics, Ltd. DE 8.01,9.01 02/07/12 IMMUNOMEDICS INC DE 2.02,9.01 02/08/12 Ingersoll-Rand plc L2 2.02,9.01 02/08/12 INGRAM MICRO INC DE 2.02,9.01 02/08/12 INNODATA ISOGEN INC DE 2.02,9.01 02/08/12 InspireMD, Inc. DE 8.01,9.01 02/06/12 INTERCONTINENTALEXCHANGE INC DE 2.02,9.01 02/08/12 INTL FCSTONE INC. DE 2.02,7.01,9.01 02/08/12 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 02/08/12 IROBOT CORP DE 2.02,9.01 02/08/12 Iron Eagle Group, Inc. DE 1.01,3.02,5.02,9.01 12/13/11 IRONWOOD PHARMACEUTICALS INC 8.01,9.01 02/08/12 IZEA Holdings, Inc. NV 1.01,2.03,3.02,9.01 02/03/12 JONES GROUP INC PA 2.02,7.01,9.01 02/08/12 JONES GROUP INC PA 5.02 02/08/12 KEMET CORP DE 7.01,9.01 02/08/12 KFORCE INC FL 2.02,9.01 02/07/12 KILROY REALTY CORP MD 7.01,8.01,9.01 02/08/12 KIMCO REALTY CORP MD 2.02 02/08/12 KITE REALTY GROUP TRUST MD 2.02,9.01 02/08/12 KNOLL INC DE 5.02 02/02/12 L 3 COMMUNICATIONS HOLDINGS INC DE 1.01,2.03,9.01 02/03/12 LAKELAND BANCORP INC NJ 8.01,9.01 02/08/12 LANNETT CO INC DE 2.02,9.01 02/07/12 LEAP TECHNOLOGY INC / DE DE 1.01,9.01 02/07/12 LEVEL 3 COMMUNICATIONS INC DE 2.02,9.01 02/08/12 LIMITED BRANDS INC DE 8.01,9.01 02/07/12 LITTELFUSE INC /DE DE 5.02 02/03/12 MAD CATZ INTERACTIVE INC Z4 1.01,2.02,9.01 02/08/12 Madison Bancorp Inc MD 2.02,9.01 02/07/12 Madison Square Garden Co DE 2.02,9.01 02/08/12 MALVERN FEDERAL BANCORP INC X1 7.01,9.01 02/08/12 Marriott Vacations Worldwide Corp DE 7.01,9.01 02/08/12 MATERION Corp 2.02,9.01 02/08/12 MCDONALDS CORP DE 7.01,9.01 02/08/12 Measurement Specialties Inc NJ 1.01 02/06/12 AMEND MERCURY COMPUTER SYSTEMS INC MA 9.01 12/30/11 AMEND MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 02/01/12 METTLER TOLEDO INTERNATIONAL INC/ DE 2.02,9.01 02/08/12 MEXICO FUND INC MD 7.01,9.01 01/31/12 MModal Inc. DE 5.02,9.01 02/02/12 Mojo Ventures, Inc. DE 7.01,9.01 02/02/12 Molycorp, Inc. DE 5.02 02/02/12 MOODYS CORP /DE/ DE 2.02,7.01,9.01 02/08/12 MRV COMMUNICATIONS INC DE 5.02,8.01,9.01 02/02/12 Mueller Water Products, Inc. DE 7.01,9.01 02/08/12 MULTI COLOR Corp OH 2.02,9.01 02/08/12 MUNICIPAL MORTGAGE & EQUITY LLC DE 1.01,5.02,9.01 02/08/12 N-VIRO INTERNATIONAL CORP DE 8.01,9.01 02/08/12 NANOMETRICS INC DE 2.02 02/08/12 NASB FINANCIAL INC MO 2.02,9.01 02/08/12 NATIONAL FINANCIAL PARTNERS CORP 7.01,9.01 02/08/12 NATIONAL FUEL GAS CO NJ 7.01,9.01 02/08/12 NAVARRE CORP /MN/ MN 8.01,9.01 02/08/12 NEAH POWER SYSTEMS, INC. NV 1.01,3.02,9.01 02/08/12 Neuralstem, Inc. DE 1.01,9.01 02/02/12 NEUROCRINE BIOSCIENCES INC CA 2.02,9.01 02/08/12 NeuroMetrix, Inc. DE 8.01,9.01 02/07/12 NEW CENTURY BANCORP INC NC 5.02 02/06/12 NEWS CORP 2.02,9.01 02/08/12 NEWS CORP 8.01,9.01 02/08/12 NORTH BAY RESOURCES INC DE 1.01,2.03,3.02,9.01 02/02/12 NOVADEL PHARMA INC DE 1.01,9.01 02/02/12 Novelis Inc. A6 2.02,9.01 02/08/12 OFFICIAL PAYMENTS HOLDINGS, INC. DE 2.02,9.01 02/08/12 Omnitek Engineering Corp CA 1.01,3.02,9.01 02/01/12 ON SEMICONDUCTOR CORP DE 2.02,9.01 02/08/12 ONYX PHARMACEUTICALS INC DE 5.02,9.01 02/02/12 OPEN TEXT CORP A6 5.02,9.01 02/03/12 ORASURE TECHNOLOGIES INC DE 2.02,7.01,9.01 02/08/12 Orchids Paper Products CO /DE DE 2.02,8.01,9.01 02/08/12 Orgenesis Inc. NV 1.01,2.01,3.02,5.01, 02/02/12 5.02,5.06,9.01 OUTDOOR CHANNEL HOLDINGS INC 1.01,5.02 02/02/12 AMEND PAA NATURAL GAS STORAGE LP DE 2.02,7.01,9.01 02/08/12 PAA NATURAL GAS STORAGE LP DE 5.02,5.03,7.01,9.01 02/02/12 PARLUX FRAGRANCES INC DE 2.02,9.01 02/08/12 PATTERSON UTI ENERGY INC DE 7.01,9.01 02/08/12 PAXTON ENERGY INC NV 5.03,9.01 01/27/12 PENNANTPARK INVESTMENT CORP 2.02,9.01 02/08/12 PEOPLES LIBERATION INC DE 1.01,1.02,2.03,3.02, 02/02/12 3.03,5.01,5.03,9.01 PERVASIP CORP NY 1.01,3.02,8.01,9.01 02/03/12 PHYSICIANS FORMULA HOLDINGS, INC. DE 5.02 02/02/12 PLAINS ALL AMERICAN PIPELINE LP DE 2.02,7.01,9.01 02/08/12 POLYCOM INC DE 5.02,9.01 02/03/12 POPE RESOURCES LTD PARTNERSHIP DE 2.02,9.01 02/08/12 POPE RESOURCES LTD PARTNERSHIP DE 8.01,9.01 02/08/12 Post Holdings, Inc. MO 1.01,2.01,2.03,3.02, 02/02/12 5.01,5.02,8.01,9.01 PostRock Energy Corp DE 8.01,9.01 02/06/12 POWELL INDUSTRIES INC NV 2.02,9.01 02/07/12 PPLUS Trust Series LMG-3 8.01,9.01 02/01/12 PPlus Trust Series LMG-4 DE 8.01,9.01 02/01/12 PROCERA NETWORKS INC NV 1.01,2.03,9.01 02/03/12 Prologis, Inc. MD 1.01,1.02,2.03,9.01 02/02/12 Prologis, Inc. MD 2.02,7.01,9.01 02/08/12 PRUDENTIAL BANCORP INC OF PENNSYLVANI 5.07 02/06/12 PRUDENTIAL FINANCIAL INC NJ 2.02,7.01,9.01 02/08/12 pSivida Corp. DE 2.02,9.01 02/08/12 Q Holdings, Inc. DE 1.01,2.01,3.02,4.01, 10/13/11 AMEND 5.01,5.02,5.03,5.06, 9.01 RALCORP HOLDINGS INC /MO MO 2.02,9.01 02/07/12 RALCORP HOLDINGS INC /MO MO 1.01,7.01,9.01 02/02/12 RALPH LAUREN CORP DE 2.02,9.01 02/08/12 RAMBUS INC DE 8.01,9.01 02/08/12 RARUS TECHNOLOGIES INC NV 8.01,9.01 01/19/12 RBC Bearings INC 2.02,9.01 02/08/12 RED MOUNTAIN RESOURCES, INC. FL 1.01,5.02,9.01 02/07/12 REYNOLDS AMERICAN INC 2.02,9.01 02/08/12 RIGEL PHARMACEUTICALS INC DE 5.02,9.01 02/03/12 Roadrunner Transportation Systems, In DE 2.02,9.01 02/08/12 Rock-Tenn CO GA 5.07 02/07/12 ROCKWELL COLLINS INC DE 5.07 02/03/12 Rosetta Resources Inc. DE 7.01,9.01 02/01/12 SANGAMO BIOSCIENCES INC DE 2.02,9.01 02/08/12 SATCON TECHNOLOGY CORP DE 1.01,7.01,9.01 02/06/12 SAVE THE WORLD AIR INC NV 3.02,9.01 02/03/12 SCOLR Pharma, Inc. DE 1.01,5.02,9.01 02/02/12 SELECT COMFORT CORP MN 2.02,9.01 02/08/12 SERVICE CORPORATION INTERNATIONAL TX 7.01,9.01 02/08/12 SERVICE CORPORATION INTERNATIONAL TX 2.02,9.01 02/08/12 SINCLAIR BROADCAST GROUP INC MD 2.02,9.01 02/08/12 Sino-American Investment Holdings Inc DE 8.01 12/31/11 Six Flags Entertainment Corp 8.01,9.01 02/08/12 Sky Harvest Windpower Corp. NV 1.01,8.01,9.01 02/03/12 Skyview Holdings Corp. DE 1.02,9.01 02/08/12 SMITH & WESSON HOLDING CORP NV 7.01,9.01 02/08/12 SOHU COM INC DE 2.02,9.01 02/06/12 Solar Capital Ltd. MD 1.01,9.01 02/08/12 SONOCO PRODUCTS CO SC 5.03,9.01 02/08/12 SONOCO PRODUCTS CO SC 8.01,9.01 02/08/12 SONOCO PRODUCTS CO SC 5.02 07/20/11 AMEND Sound Financial, Inc. 5.02 12/30/11 AMEND Southern National Bancorp of Virginia VA 2.02,8.01,9.01 02/07/12 SP Bancorp, Inc. MD 8.01,9.01 02/08/12 SPARTAN STORES INC MI 2.02,9.01 02/08/12 SPARTON CORP OH 7.01,9.01 02/08/11 SPICY PICKLE FRANCHISING INC CO 8.01 02/08/12 SPORT CHALET INC DE 2.02,9.01 02/08/12 SPRINT NEXTEL CORP KS 2.02 02/08/12 SPS COMMERCE INC 2.02,9.01 02/08/12 SPS COMMERCE INC 5.02 02/06/12 STRATEGIC DIAGNOSTICS INC/DE/ DE 1.01,9.01 02/02/12 SUNGARD CAPITAL CORP DE 8.01 02/08/12 SUPERIOR ENERGY SERVICES INC DE 1.01,2.01,2.03,5.02, 02/07/12 5.03,5.07,8.01,9.01 SUPERIOR ENERGY SERVICES INC DE 7.01,8.01,9.01 02/07/12 Support.com, Inc. DE 2.02,9.01 02/08/12 SUREWEST COMMUNICATIONS CA 8.01,9.01 02/05/12 TAKEDOWN ENTERTAINMENT INC. NV 1.01,3.02,9.01 02/08/12 TAUBMAN CENTERS INC MI 2.02,9.01 02/08/12 TBS International plc L2 1.03,2.04,7.01,9.01 02/06/12 THORATEC CORP CA 2.02,9.01 02/08/12 TIME WARNER INC. DE 2.02,9.01 02/08/12 TNP Strategic Retail Trust, Inc. MD 1.01,2.03,7.01,9.01 02/03/12 TRANSAX INTERNATIONAL LTD CO 1.01,2.01,3.02,5.01, 12/30/11 AMEND 5.02,5.06,7.01,9.01 TRC COMPANIES INC /DE/ DE 2.02,9.01 02/07/12 Tree.com, Inc. DE 1.01,8.01,9.01 02/07/12 TRI COUNTY FINANCIAL CORP /MD/ MD 2.02,9.01 02/07/12 TRI VALLEY CORP 8.01 02/02/12 TripAdvisor, Inc. DE 2.02,9.01 02/08/12 TRIPLE-S MANAGEMENT CORP 2.02,9.01 02/08/12 TRIQUINT SEMICONDUCTOR INC DE 2.02,9.01 02/08/12 Tropicana Entertainment Inc. DE 7.01,9.01 02/08/12 TrueBlue, Inc. WA 2.02,9.01 02/08/12 UGI CORP /PA/ PA 5.02,9.01 02/08/12 ULTIMATE SOFTWARE GROUP INC DE 2.02,9.01 02/07/12 United Continental Holdings, Inc. DE 8.01,9.01 02/07/12 UNIVERSAL TRAVEL GROUP NV 8.01,9.01 02/07/12 USA TECHNOLOGIES INC PA 5.02,9.01 02/02/12 VALENCE TECHNOLOGY INC DE 2.02,9.01 02/08/12 VALERO ENERGY CORP/TX DE 7.01,9.01 02/08/12 VALLEY NATIONAL BANCORP NJ 7.01,9.01 02/08/12 VIASYSTEMS GROUP INC DE 2.02,5.02,9.01 02/08/12 VICAL INC DE 2.02,8.01,9.01 02/08/12 VIRGIN MEDIA INC. DE 2.02,9.01 02/08/12 VIRGIN MEDIA INC. DE 8.01 02/08/12 VISA INC. DE 2.02,9.01 02/08/12 Vishay Precision Group, Inc. DE 2.02,9.01 02/08/12 VITRAN CORP INC A6 2.02,9.01 02/08/12 W R GRACE & CO DE 5.02 02/08/12 WALTER INVESTMENT MANAGEMENT CORP MD 7.01,9.01 02/08/12 WASTE CONNECTIONS, INC. DE 7.01 02/08/12 WELLPOINT, INC IN 5.02,7.01 02/08/12 WHOLE FOODS MARKET INC TX 2.02,9.01 02/08/12 Winthrop Realty Trust OH 1.01,2.01,2.03,8.01, 02/03/12 9.01 WOUND MANAGEMENT TECHNOLOGIES, INC. TX 1.01,2.01,9.01 01/11/12 Wright Express CORP 2.02,9.01 02/08/12 WYNDHAM WORLDWIDE CORP DE 2.02,9.01 02/08/12 XATA CORP /MN/ MN 2.02,9.01 02/08/12 YAHOO INC DE 5.02 02/07/12
http://www.sec.gov/news/digest/2012/dig020912.htm
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