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Enforcement proceedingsInvestment Adviser SanctionedInvestment adviser Gualario & Co., LLC, and its owner, Ronald Gualario (Gualario), have been sanctioned following a hearing before an administrative law judge. They were ordered to cease and desist from violations of the antifraud and registration provisions of the securities laws, to disgorge ill-gotten gains of $492,249.67, and to pay a civil money penalty of $390,000. Additionally, Gualario was barred from association with any broker-dealer, investment adviser, or investment company. The law judge found that Gualario & Co., LLC, and Gualario violated the antifraud provisions by making material misrepresentations and omissions in the sale of promissory notes to investors and in the operation of a hedge fund. Additionally, they acted as unregistered brokers. (Initial Decision No. 452; File No. 3-14340) In the Matter of Dustin D. WhiteThe Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Order) against Dustin D. White of Mesa, Arizona, who previously resided in Colorado Springs, Colorado. White consented, without admitting or denying the Commission’s findings except as to the Commission’s jurisdiction and to the entry of the previous injunction, to be barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and barred from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. On August 31, 2011, a final judgment was entered enjoining White from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder in a civil action entitled Securities and Exchange Commission v. Wellco Energy LLC, et al., Civil Action Number 1:09-CV-1114 (D. Colo.). In the Order, the Commission found that the complaint in the civil action alleged that in connection with White’s sales of fractional undivided interests in oil and gas rights, he misrepresented that Wellco Energy LLC was the operator of the four oil and gas projects. The complaint also alleged that, in fact, Wellco did not operate the projects and instead purchased fractional undivided interests from another company, which interests it further divided and resold to investors. The complaint further alleged White misrepresented that Wellco’s principal, Justin William Rifkin (Rifkin), had extensive experience operating oil and gas prospects. In fact, the complaint alleged, Rifkin’s experience was limited to raising money through sales of other companies’ oil and gas projects, and he had no experience operating oil and gas wells. The complaint further alleged that, in connection with White’s offers and sales, he made misrepresentations about how investors’ funds would be used, and did not tell investors that he would receive a twenty percent commission. The complaint also alleged that White sold securities when no registration statement was filed or in effect with the Commission. The complaint further alleged that White was not registered or associated with a broker or dealer during the time when he offered and sold the securities at issue in the case. For further information see Rel. 34-65331, Sept. 13, 2011; AP File No. 3-14547. (Rel. 34-66395; File No. 3-14547) Investment company act releasesPacific Life Insurance Company, et al.A notice has been issued giving interested persons until March 9, 2012 to request a hearing on an application filed by Pacific Life Insurance Company, et al. for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act, for an exemption from Section 17(a) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The order would permit (a) certain series of registered open-end management investment companies to acquire shares of other registered open-end management investment companies or unit investment trusts that are within or outside the same “group of investment companies,” as defined in Section 12(d)(G)(ii) of the Act, as the acquiring companies and (b) certain series of registered open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29944 - February 13) Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2012-13) amending the NYSE Arca Equities Fee Schedule to increase the Investor Tier 1 credit for ETP Holders and Market Makers has become immediately effective pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 13. (Rel. 34-66378) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2012-11) amending the NYSE Arca Equities Fee Schedule increasing the indication of interest Tier 1 credit and the Tracking Order Tier 1 credit for ETP Holders and Market Makers has become immediately effective pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 13. (Rel. 34-66379) A proposed rule change filed by the EDGX Exchange, Inc. amending its rules regarding registration, qualification and continuing education requirements for Authorized Traders of Members and recognizing the Series 56 exam (SR-EDGX-2012-04) 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. 34-66383) A proposed rule change filed by NYSE Amex LLC to provide for “Self-Trade Prevention” on the Exchange (SR-NYSEAmex-2012-03) 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. 34-66385) A proposed rule change filed by NYSE Arca, Inc. to provide for “Self-Trade Prevention” on the Exchange (SR-NYSEArca-2012-08) 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. 34-66386) Proposed Rule ChangeC2 Options Exchange, Incorporated filed a proposed rule change (SR-C2-2012-006) pursuant to Section 19(b)(1) of the Securities Exchange Act, and Rule 19b-4 thereunder, relating to its Automated Improvement Mechanism. Publication is expected in the Federal Register during the week of February 13. (Rel. 34-66384) 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-11 Empire State Realty Trust, Inc., ONE GRAND CENTRAL PLACE, 60 EAST 42ND STREET, NEW YORK, NY, 10165, 212-953-0888 - 0 ($1,000,000,000.00) Equity, (File 333-179485 - Feb. 13) (BR. 08) S-4 Empire State Realty Trust, Inc., ONE GRAND CENTRAL PLACE, 60 EAST 42ND STREET, NEW YORK, NY, 10165, 212-953-0888 - 0 ($1,362,135,000.00) Equity, (File 333-179486 - Feb. 13) (BR. 08) S-1 EQT Midstream Partners, LP, 625 LIBERTY AVENUE, SUITE 1700, PITTSBURGH, PA, 15222, 412-553-5700 - 0 ($250,000,000.00) Equity, (File 333-179487 - Feb. 13) (BR. 02) S-4 BEAZER HOMES USA INC, 5775 PEACHTREE DUNW00DY RD, STE B 200, ATLANTA, GA, 30342, 4042503420 - 0 ($101,272,426.20) Equity, (File 333-179488 - Feb. 13) (BR. 06C) S-1 GOLD PARTY PAYDAY INC, 3189 PEPPERHILL DR, LEXINGTON, KY, 40502, 859-552-6204 - 666,667 ($80,000.04) Equity, (File 333-179490 - Feb. 13) (BR. ) S-8 EZCHIP SEMICONDUCTOR LTD, 1 HATAMAR STREET, PO BOX 527, YOKNEAM, L3, 20692, (972)(4) 959-6666 - 2,575,567 ($86,320,128.00) Equity, (File 333-179491 - Feb. 13) (BR. 03A) S-3 ARGAN INC, ONE CHURCH STREET SUITE 401, ROCKVILLE, MD, 20850, 301 315-0027 - 879,730 ($14,251,626.00) Equity, (File 333-179492 - Feb. 13) (BR. 06B) S-1 Greenpower International Group Ltd, 8728 VALLEY BOULEVARD, SUITE 209, ROSEMEAD, CA, 91770, (626)280-8787 - 11,000,000 ($44,000,000.00) Equity, (File 333-179493 - Feb. 13) (BR. 01B) S-8 KANSAS CITY SOUTHERN, 427 W 12TH STREET, KANSAS CITY, MO, 64105, 8169831303 - 0 ($41,328,000.00) Equity, (File 333-179494 - Feb. 13) (BR. 05B) S-3 OVERSEAS SHIPHOLDING GROUP INC, 666 THIRD AVENUE, NEW YORK, NY, 10017, 2122511153 - 0 ($500,000,000.00) Other, (File 333-179495 - Feb. 13) (BR. 05C) S-3 Heritage-Crystal Clean, Inc., 2175 POINT BOULEVARD, SUITE 375, ELGIN, IL, 60123, 847-836-5670 - 75,000,000 ($75,000,000.00) Equity, (File 333-179496 - Feb. 13) (BR. 06B) S-4 Dynacast International LLC, 14045 BALLANTYNE CORPORATE PLACE, SUITE, CHARLOTTE, NC, 28277, 704.927.2790 - 0 ($350,000,000.00) Non-Convertible Debt, (File 333-179497 - Feb. 13) (BR. ) 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 AbitibiBowater Inc. DE 2.02,8.01,9.01 02/09/12 AbitibiBowater Inc. DE 8.01,9.01 02/13/12 AbitibiBowater Inc. DE 8.01,9.01 02/13/12 ACCO BRANDS CORP DE 8.01,9.01 02/13/12 ACE Ltd V8 5.02 02/07/12 ACELRX PHARMACEUTICALS INC DE 5.02 02/07/12 ACQUIRED SALES CORP NV 1.01,2.01,3.02 12/31/11 ADEONA PHARMACEUTICALS, INC. DE 7.01,9.01 02/13/12 ADVANCED PHOTONIX INC DE 2.02,9.01 02/13/12 ADVENT SOFTWARE INC /DE/ DE 5.02 02/07/12 AeroGrow International, Inc. NV 2.02,7.01,9.01 02/13/12 Affinity Gaming, LLC NV 1.01,9.01 02/07/12 AFFIRMATIVE INSURANCE HOLDINGS INC DE 8.01 02/10/12 AGILYSYS INC OH 2.02,7.01,8.01,9.01 02/13/12 AGL RESOURCES INC GA 7.01 02/10/12 ALEXANDER & BALDWIN INC HI 2.02,9.01 02/13/12 Alexza Pharmaceuticals Inc. DE 8.01,9.01 02/13/12 ALLIANCEBERNSTEIN HOLDING L.P. DE 2.02,7.01,9.01 02/10/12 ALLIANCEBERNSTEIN L.P. DE 2.02,7.01,9.01 02/10/12 Ally Financial Inc. DE 8.01,9.01 02/09/12 ALTERA CORP DE 5.02 02/10/12 ALTERRA CAPITAL HOLDINGS Ltd 7.01,9.01 02/13/12 AMERICA WEST RESOURCES, INC. NV 5.02 02/10/12 AMERICAN AIRLINES INC DE 8.01,9.01 02/13/12 AMERICAN EXPRESS CO NY 5.02,9.01 02/08/12 Ameris Bancorp GA 7.01,9.01 02/13/12 AMERISOURCEBERGEN CORP DE 5.02,7.01,9.01 02/10/12 AMERITRANS CAPITAL CORP DE 5.02 02/09/12 AMICUS THERAPEUTICS INC DE 2.02,9.01 02/13/12 Ampio Pharmaceuticals, Inc. DE 2.02,7.01,9.01 02/09/12 AMR CORP DE 8.01,9.01 02/13/12 ANAVEX LIFE SCIENCES CORP. NV 1.01,3.02,9.01 02/09/12 ANNAPOLIS BANCORP INC MD 2.02,9.01 02/13/12 ANVEX INTERNATIONAL, INC. NV 1.01,2.01,3.02,5.01, 02/10/12 5.02,5.03,5.06,9.01 APPLIANCE RECYCLING CENTERS OF AMERIC MN 2.02 02/13/12 APRICUS BIOSCIENCES, INC. NV 8.01,9.01 02/08/12 ARCH COAL INC DE 1.04 02/13/12 ARRAY BIOPHARMA INC DE 5.02 02/09/12 AMEND ASIAINFO-LINKAGE, INC DE 2.02,9.01 02/13/12 AT&T INC. DE 8.01,9.01 02/13/12 AVNET INC NY 5.02,9.01 02/09/12 BANCORPSOUTH INC MS 7.01,9.01 02/13/12 Bank of New York Mellon CORP DE 2.02,9.01 02/13/12 BARNES GROUP INC DE 5.02,7.01,9.01 02/07/12 BEAZER HOMES USA INC DE 8.01,9.01 02/13/12 BERKSHIRE HILLS BANCORP INC 7.01,9.01 02/12/12 BG Medicine, Inc. DE 7.01,9.01 02/13/12 Bizzingo, Inc. NV 1.01,9.01 02/09/12 BLUE CALYPSO, INC. NV 5.02 02/07/12 BMC SOFTWARE INC DE 1.01,8.01,9.01 02/08/12 BRISTOL MYERS SQUIBB CO DE 8.01,9.01 02/13/12 C H ROBINSON WORLDWIDE INC DE 5.02 02/09/12 AMEND CAESARS ENTERTAINMENT Corp DE 7.01 02/13/12 CALGON CARBON CORPORATION DE 2.02,9.01 02/13/12 CALLIDUS SOFTWARE INC DE 2.02,9.01 02/13/12 Cardinal Ethanol LLC IN 1.01,5.02,5.07 02/08/12 Cardium Therapeutics, Inc. DE 1.01,8.01,9.01 02/13/12 CATALYST PHARMACEUTICAL PARTNERS, INC DE 8.01,9.01 02/13/12 CBL & ASSOCIATES PROPERTIES INC DE 5.02,9.01 02/07/12 CEL SCI CORP CO 1.01,9.01 02/10/12 Cereplast Inc NV 5.02 02/08/12 CERNER CORP /MO/ DE 2.03,9.01 02/10/12 CHARLES RIVER LABORATORIES INTERNATIO 2.02,9.01 02/13/12 CHARTER COMMUNICATIONS, INC. /MO/ DE 5.02 02/13/12 CHARTER FINANCIAL CORP/GA 7.01,9.01 02/13/12 Chelsea Therapeutics International, L DE 8.01,9.01 02/13/12 Chineseinvestors.com, Inc. IN 2.01 02/13/12 Chineseinvestors.com, Inc. IN 5.02 02/13/12 ChromaDex Corp. 5.02,9.01 02/07/12 Cinedigm Digital Cinema Corp. DE 2.02,9.01 02/09/12 CIRCUS & ELDORADO JOINT VENTURE 8.01,9.01 02/13/12 CIT GROUP INC DE 1.01,9.01 02/02/12 CLAIRES STORES INC DE 8.01,9.01 02/13/12 CLEAN WIND ENERGY TOWER, INC. NV 8.01 02/13/12 COLONY BANKCORP INC GA 8.01,9.01 02/13/12 COMDISCO HOLDING CO INC DE 2.02,9.01 02/13/12 CONVERSION SERVICES INTERNATIONAL INC DE 5.02 01/27/12 CORN PRODUCTS INTERNATIONAL INC DE 5.02 02/07/12 CRAWFORD & CO GA 2.02,7.01,9.01 02/13/12 CUTERA INC DE 2.02,9.01 02/13/12 CVR ENERGY INC DE 7.01,9.01 02/13/12 DELPHI FINANCIAL GROUP INC/DE DE 5.02 02/07/12 DIEBOLD INC OH 2.02,8.01,9.01 02/08/12 DOCUMENT SECURITY SYSTEMS INC NY 1.01,3.02,9.01 02/13/12 DREW INDUSTRIES INC DE 5.02,9.01 02/10/12 DREW INDUSTRIES INC DE 2.02,7.01,9.01 02/13/12 DREW INDUSTRIES INC DE 8.01,9.01 02/13/12 EAGLE BANCORP INC MD 8.01,9.01 02/13/12 EARTHSTONE ENERGY INC DE 2.02,9.01 02/13/12 EASTMAN KODAK CO NJ 2.05,9.01 02/13/12 EGAIN COMMUNICATIONS CORP DE 5.02 02/09/12 ELDORADO ARTESIAN SPRINGS INC CO 1.01,2.03,9.01 02/02/12 Electromed, Inc. 2.02,9.01 02/13/12 ELECTRONIC SYSTEMS TECHNOLOGY INC WA 8.01,9.01 02/10/12 EMPIRE ENERGY CORP UT 8.01 02/10/12 ENERGEN CORP AL 8.01,9.01 02/10/12 Enservco Corp DE 5.02,8.01 02/10/12 ENTERPRISE PRODUCTS PARTNERS L P DE 8.01,9.01 02/08/12 EnviroStar, Inc. DE 2.02,9.01 02/13/12 ENZON PHARMACEUTICALS INC DE 8.01 02/10/12 EXPRESS SCRIPTS INC DE 8.01 02/10/12 EZJR, Inc. NV 4.01,9.01 02/09/12 Federal Home Loan Bank of New York X1 2.02,8.01,9.01 02/13/12 FENTURA FINANCIAL INC MI 5.02 02/10/12 Fidelity National Information Service 2.02,9.01 02/13/12 First California Financial Group, Inc DE 7.01,9.01 02/13/12 FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 02/10/12 FIRST MERCHANTS CORP IN 1.01,2.01,9.01 11/23/11 FIRST MERCHANTS CORP IN 1.01,2.01,9.01 02/10/12 AMEND FIRST MIDWEST BANCORP INC DE 7.01,9.01 02/13/12 FIRST NATIONAL CORP /VA/ 2.02,9.01 02/10/12 FIRST NIAGARA FINANCIAL GROUP INC DE 7.01,9.01 02/13/12 FNB CORP/FL/ FL 7.01,9.01 02/13/12 FREEPORT MCMORAN COPPER & GOLD INC DE 1.01,8.01,9.01 02/08/12 FREEPORT MCMORAN COPPER & GOLD INC DE 8.01,9.01 02/13/12 FUEL DOCTOR HOLDINGS, INC. DE 8.01 02/09/12 Galaxy Gaming, Inc. 5.02 02/08/12 GARDNER DENVER INC DE 2.02,9.01 02/09/12 GEN PROBE INC DE 2.02,9.01 02/13/12 GENCOR INDUSTRIES INC DE 2.02,9.01 02/13/12 GENERAL COMMUNICATION INC AK 5.07 02/07/12 GeoEye, Inc. DE 1.01,3.03,9.01 02/09/12 GEORGIA GULF CORP /DE/ DE 7.01 02/13/12 GLOBALWISE INVESTMENTS INC NV 1.01,2.01,3.02,5.01, 02/10/12 5.02,5.06,9.01 GOODYEAR TIRE & RUBBER CO /OH/ OH 5.02 02/10/12 GRAN TIERRA ENERGY, INC. NV 1.01 02/07/12 Granite Falls Energy, LLC MN 5.02 02/10/12 Greenpower International Group Ltd 2.01,3.02,5.02,5.06, 02/10/12 9.01 Hampden Bancorp, Inc. DE 2.02,8.01,9.01 02/07/12 HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 02/13/12 HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 02/13/12 HCA Holdings, Inc. 1.01,2.03,9.01 02/07/12 HEARTLAND EXPRESS INC NV 8.01,9.01 02/10/12 Helios & Matheson Information Technol DE 8.01 01/30/12 Heritage Financial Group Inc MD 7.01,9.01 02/08/12 HIGHLANDS BANKSHARES INC /WV/ WV 5.02 02/13/12 HOLLYWOOD MEDIA CORP FL 8.01,9.01 02/08/12 HOOKER FURNITURE CORP VA 5.02,9.01 02/09/12 HOUSING PROGRAMS LTD CA 5.02,7.01 02/06/12 HSBC USA INC /MD/ MD 9.01 02/13/12 IAC/INTERACTIVECORP DE 5.02 02/07/12 ILLINOIS TOOL WORKS INC DE 5.02,5.03,9.01 02/13/12 IMMUCELL CORP /DE/ DE 2.02,9.01 02/13/12 INFRASTRUCTURE DEVELOPMENTS CORP. 1.01,5.03,9.01 02/01/12 Inland American Real Estate Trust, In MD 7.01,9.01 02/13/12 INSIGHT ENTERPRISES INC DE 2.02,9.01 02/13/12 INSMED INC VA 8.01,9.01 02/10/12 INTEGRYS ENERGY GROUP, INC. WI 5.02 02/09/12 ION GEOPHYSICAL CORP DE 3.03,5.03,9.01 02/10/12 ISABELLA BANK CORP MI 2.02,9.01 02/10/12 J&J SNACK FOODS CORP NJ 8.01,9.01 02/13/12 JBI, INC. NV 8.01 02/09/12 JDS UNIPHASE CORP /CA/ DE 5.07 11/16/11 AMEND Jones Lang LaSalle Income Property Tr MD 2.04 02/10/12 JOSHUA GOLD RESOURCES INC NV 1.01,2.01,9.01 12/31/11 JOY GLOBAL INC DE 2.01,9.01 02/10/12 KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 02/09/12 KVH INDUSTRIES INC \DE\ DE 2.02,9.01 02/13/12 Lake Shore Bancorp, Inc. X1 7.01,9.01 02/10/12 LATTICE SEMICONDUCTOR CORP DE 5.02 02/07/12 Legend Oil & Gas, Ltd. CO 5.02,9.01 02/07/12 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 01/31/12 Lender Processing Services, Inc. DE 2.02,9.01 02/13/12 LEUCADIA NATIONAL CORP NY 2.01,9.01 12/30/11 AMEND LIBERTY STAR URANIUM & METALS CORP. NV 8.01,9.01 02/08/12 Limelight Networks, Inc. DE 2.02,9.01 02/13/12 Limelight Networks, Inc. DE 5.02 02/07/12 LIVEPERSON INC DE 2.02,9.01 02/13/12 MALVERN FEDERAL BANCORP INC X1 5.07 02/09/12 Marina Biotech, Inc. DE 1.01,2.03,3.02,9.01 02/10/12 MARRIOTT INTERNATIONAL INC /MD/ DE 5.02,9.01 02/09/12 MASCO CORP /DE/ DE 2.02,9.01 02/13/12 Matador Resources Co TX 5.03,9.01 02/07/12 MAXIMUS INC VA 8.01 02/06/12 MAXWELL TECHNOLOGIES INC DE 5.02 02/07/12 MB FINANCIAL INC /MD 7.01 02/13/12 MBT FINANCIAL CORP MI 2.02,8.01,9.01 02/13/12 McEwen Mining Inc. CO 7.01,9.01 02/13/12 MEDCO HEALTH SOLUTIONS INC DE 5.04,9.01 02/10/12 MEDCO HEALTH SOLUTIONS INC DE 8.01 02/10/12 Medical Billing Assistance, Inc. CO 1.01,9.01 02/03/12 MERCER INTERNATIONAL INC. WA 1.01,9.01 02/09/12 MGM Resorts International DE 7.01,8.01,9.01 02/13/12 MGM Resorts International DE 8.01,9.01 02/13/12 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 02/10/12 MOBILE STAR CORP DE 1.01,5.02,8.01 02/07/12 MOHEGAN TRIBAL GAMING AUTHORITY 8.01,9.01 02/13/12 Momentive Performance Materials Inc. DE 5.02 02/13/12 MSCI Inc. DE 8.01 02/12/12 MULTI COLOR Corp OH 8.01,9.01 02/10/12 NATIONAL HOLDINGS CORP DE 5.02 02/08/12 NATIONAL TAX CREDIT INVESTORS II CA 5.02,7.01 02/06/12 NATIONAL TAX CREDIT PARTNERS L P CA 5.02,7.01 02/06/12 New England Bancshares, Inc. 8.01,9.01 02/13/12 NEW FRONTIER MEDIA INC CO 2.02,9.01 02/13/12 NEW HAMPSHIRE THRIFT BANCSHARES INC DE 5.02,9.01 02/13/12 Noble Corp / Switzerland V8 1.01,9.01 02/10/12 NOBLE ENERGY INC DE 5.02 02/01/12 NORTHERN ILLINOIS GAS CO /IL/ /NEW/ IL 7.01 02/10/12 NTS, INC. NV 8.01 02/13/12 NV ENERGY, INC. NV 5.02 02/10/12 OCWEN FINANCIAL CORP FL 8.01 02/13/12 OCZ TECHNOLOGY GROUP INC DE 1.01,9.01 02/07/12 OLD NATIONAL BANCORP /IN/ IN 7.01,9.01 02/13/12 OmniAmerican Bancorp, Inc. MD 2.02,9.01 02/13/12 OMNICELL, Inc CA 5.02,9.01 02/07/12 Opera Jet International Ltd DE 2.01,3.02,5.06,9.01 02/06/12 Opexa Therapeutics, Inc. TX 7.01,9.01 02/13/12 OPTIMER PHARMACEUTICALS INC 5.02,9.01 02/07/12 ORGANOVO HOLDINGS, INC. NV 1.01,2.01,3.02,4.01, 02/08/12 5.01,5.02,5.03,5.06, 9.01 OYO GEOSPACE CORP DE 5.02,8.01,9.01 02/13/12 PDL BIOPHARMA, INC. DE 7.01,9.01 02/13/12 Pendrell Corp DE 5.02 02/07/12 Philip Morris International Inc. VA 5.02,9.01 02/09/12 PLAINS EXPLORATION & PRODUCTION CO DE 5.02 02/13/12 PLUM CREEK TIMBER CO INC DE 5.02,9.01 02/07/12 PNC FINANCIAL SERVICES GROUP, INC. PA 5.02 02/07/12 PORTFOLIO RECOVERY ASSOCIATES INC DE 8.01,9.01 02/13/12 PREMIER FINANCIAL BANCORP INC KY 7.01,9.01 02/13/12 QLOGIC CORP DE 5.03,9.01 02/09/12 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,3.02,9.01 02/10/12 R&R ACQUISITION VI, INC DE 1.01,2.01,3.02,4.01, 02/13/12 5.01,5.02,5.03,5.06, 9.01 RACKSPACE HOSTING, INC. 2.02,9.01 02/13/12 RADISYS CORP OR 5.02 02/13/12 RAPTOR NETWORKS TECHNOLOGY INC 1.01,3.02,5.01,5.02, 12/05/11 AMEND 9.01 RARUS TECHNOLOGIES INC NV 8.01 02/08/12 AMEND REAL ESTATE ASSOCIATES LTD II CA 5.02,7.01 02/06/12 REAL ESTATE ASSOCIATES LTD III CA 5.02,7.01 02/06/12 REAL ESTATE ASSOCIATES LTD IV CA 5.02,7.01 02/06/12 REAL ESTATE ASSOCIATES LTD V CA 5.02,7.01 02/06/12 REAL ESTATE ASSOCIATES LTD VI CA 5.02,7.01 02/06/12 REAL ESTATE ASSOCIATES LTD VII CA 5.02,7.01 02/06/12 REALTY INCOME CORP MD 5.03,9.01 02/07/12 REGAL ENTERTAINMENT GROUP DE 2.02,8.01,9.01 02/13/12 REGENCY CENTERS CORP FL 1.01,7.01,8.01,9.01 02/07/12 REGENERON PHARMACEUTICALS INC NY 2.02,7.01,9.01 02/13/12 Rockville Financial, Inc. /CT/ CT 7.01,9.01 02/08/12 RPX Corp DE 2.02,9.01 02/13/12 RTI Biologics, Inc. DE 5.02 02/09/12 Sagebrush Gold Ltd. NV 5.02,5.07,9.01 02/09/12 SALON MEDIA GROUP INC DE 5.02 02/09/12 SANDY SPRING BANCORP INC MD 5.02 01/18/12 SEATTLE GENETICS INC /WA DE 2.02,9.01 02/13/12 SERACARE LIFE SCIENCES INC 8.01,9.01 02/13/12 SHERWIN WILLIAMS CO OH 1.01,2.03,9.01 02/13/12 Silicon Graphics International Corp DE 2.02,9.01 02/13/12 SILICON IMAGE INC DE 1.01,5.02 02/07/12 SIMULATIONS PLUS INC 7.01,9.01 02/13/12 Skilled Healthcare Group, Inc. DE 2.02,9.01 02/13/12 SMF ENERGY CORP DE 5.07 02/07/12 Snap Interactive, Inc DE 2.02,9.01 02/13/12 SOLTA MEDICAL INC DE 2.02,9.01 02/13/12 SONOCO PRODUCTS CO SC 5.02 02/07/12 SPANISH BROADCASTING SYSTEM INC DE 8.01,9.01 02/13/12 SPANISH BROADCASTING SYSTEM INC DE 1.01,1.02,2.03,9.01 02/07/12 SPECTRAL CAPITAL Corp 1.01,9.01 02/13/12 SPRINT NEXTEL CORP KS 5.02 02/08/12 STANDEX INTERNATIONAL CORP/DE/ DE 2.02,9.01 12/31/11 STARTEK INC DE 8.01 02/07/12 STRATEGIC AMERICAN OIL CORP NV 7.01,9.01 02/13/12 STRYKER CORP MI 5.02,9.01 02/07/12 Sucampo Pharmaceuticals, Inc. 7.01,9.01 02/13/12 SUNVESTA, INC. FL 4.01,9.01 02/08/12 Super Micro Computer, Inc. CA 5.07 02/08/12 SYNOVUS FINANCIAL CORP GA 1.01,8.01,9.01 02/08/12 SYNTEL INC MI 1.01 02/10/12 TAL International Group, Inc. DE 2.02,9.01 02/13/12 TARA GOLD RESOURCES CORP. NV 4.01,9.01 02/10/12 Tara Minerals Corp. NV 4.01,9.01 02/10/12 TASER INTERNATIONAL INC 5.02 02/08/12 TERRA NITROGEN CO L P /DE DE 2.02,9.01 02/10/12 TESORO LOGISTICS LP DE 5.02 02/07/12 Timberline Resources Corp DE 2.02,7.01,9.01 02/10/12 TMS International Corp. DE 5.02,9.01 02/08/12 TOREADOR RESOURCES CORP DE 8.01,9.01 02/13/12 Tree.com, Inc. DE 5.02 02/07/12 TRUSTMARK CORP MS 7.01,9.01 02/13/12 ULTRA CLEAN HOLDINGS INC DE 2.02,9.01 02/13/12 United Community Bancorp X1 2.02,9.01 02/10/12 UNITED STATIONERS INC DE 2.02,9.01 02/13/12 US Highland, Inc. OK 1.01,5.02,9.01 02/10/12 VENTRUS BIOSCIENCES INC DE 8.01,9.01 02/13/12 VIRTUAL PIGGY, INC. DE 1.01,3.02,9.01 02/07/12 VISTA GOLD CORP B0 1.01,7.01,9.01 02/12/12 WALT DISNEY CO/ DE 8.01,9.01 02/09/12 WAUSAU PAPER CORP. WI 1.01,9.01 02/10/12 WEIS MARKETS INC PA 9.01 02/13/12 WESTFIELD FINANCIAL INC MA 7.01,9.01 02/13/12 WHOLE FOODS MARKET INC TX 5.02,9.01 02/10/12 Wilhelmina International, Inc. DE 5.07 02/07/12 WILLIAMS COMPANIES INC DE 5.02,7.01,9.01 02/07/12 WINN DIXIE STORES INC FL 8.01,9.01 02/13/12 WYNN LAS VEGAS LLC NV 8.01 02/08/12 WYNN RESORTS LTD 8.01 02/08/12
http://www.sec.gov/news/digest/2012/dig021412.htm
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