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ENFORCEMENT PROCEEDINGSCommission Revokes Registration of Securities of Syntax-Brillian Corporation For Failure to Make Required Periodic FilingsOn March 5, 2012, the Securities and Exchange Commission revoked the registration of each class of registered securities of Syntax-Brillian Corporation (Syntax) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order), except as to jurisdiction, which Syntax admitted, Syntax consented to the entry of the Order finding that Syntax failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder. The Order found that Syntax failed to file an annual report on Form 10-K since the period ended June 30, 2007, or periodic or quarterly reports on Form 10-Q for any fiscal period subsequent to its fiscal quarter ended September 30, 2007. Based on the above, the Order revoked the registration of each class of Syntax’s securities registered pursuant to Section 12 of the Exchange Act. Brokers and dealers should be alert to the fact that Section 12(j) of the Exchange Act provides, in pertinent part, as follows:
(Rel. 34-66509; File No. 3-14784) SEC Sues California Insurance Broker and Pennsylvania Tax Manager For Insider TradingThe Securities and Exchange Commission today charged a California-based insurance broker and a Pennsylvania-based tax manager with insider trading on confidential information they obtained while providing their respective services to companies involved in an impending acquisition. The Commission alleges that William F. Duncan (Duncan), 60, of Redondo Beach, Calif., and John M. Williams (Williams), 38, of Media, Pa., separately traded illegally in the securities of Hi-Shear Technology Corporation (Hi-Shear), a Torrance, Calif.-based manufacturer of products for the aerospace and defense industries. After obtaining nonpublic information about Hi-Shear’s proposed acquisition by Chemring Group PLC (Chemring), Duncan and Williams each purchased Hi-Shear stock in breach of their duties to these companies before the public announcement of the sale on Sept. 16, 2009. Duncan and Williams each agreed to settle the Commission’s insider trading charges by paying $175,649 and $14,226.41 respectively. According to the Commission’s complaint against Duncan filed in federal court in Los Angeles, Hi-Shear sought quotes in late August 2009 for a “tail policy” from its longstanding insurance agent ISU-Olson Duncan Agency. A tail policy provides ongoing insurance coverage for a company’s officers and directors for claims made after a company is sold. Duncan is president of the insurance brokerage. As Hi-Shear’s point of contact, he knew that Hi-Shear expected him to keep sensitive business information confidential and that he had a duty to avoid self-dealing. However, Duncan traded on the basis of the confidential information concerning Hi-Shear’s need for a tail policy. Duncan realized illicit profits of approximately $85,525 on the purchase and sale of 10,000 shares of Hi-Shear stock. According to the Commission’s separate complaint against Williams filed in federal court in Philadelphia, Williams obtained the confidential information about Chemring’s impending acquisition of Hi-Shear while working as a tax manager at Deloitte Tax LLP (Deloitte), which provided services to Chemring and its subsidiaries. Williams assisted in the tax due diligence for the proposed transaction and was told that Hi-Shear was Chemring’s acquisition target. Williams then traded on the basis of the confidential information and concealed his trades from Deloitte, which required its employees to pre-clear and report their trades. Williams realized illicit profits of approximately $6,803.18 on the purchase and sale of 850 shares of Hi-Shear stock. Duncan and Williams each consented to the entry of final judgments without admitting or denying the allegations against them. They agreed to pay disgorgement of their trading profits, prejudgment interest, and a penalty equal to the amount of their profits pursuant to Section 21A(a) of the Securities Exchange Act of 1934 (Exchange Act). They also agreed to be permanently enjoined them from future violations of the antifraud provisions of Section 10(b) of the Exchange Act and Rule 10b-5. Williams, who has passed the CPA examination, also consented to the entry of an administrative order that suspends him for five years from appearing or practicing before the SEC as an accountant pursuant to Rule 102(e)(3) of the Commission’s Rules of Practice. The Commission acknowledges the assistance of FINRA in this matter. [SEC v. William F. Duncan, United States District Court for the Central District of California, Civil Action No. CV 12-1785 R (AGRx) (C.D. Cal.); SEC v. John M. Williams, United States District Court for the Eastern District of Pennsylvania, Civil Action No. 12-1126 PBT (E.D. Pa.)] (LR-22274) SELF-REGULATORY ORGANIZATIONSApproval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change, as modified by Amendment No. 3 thereto (SR-NYSEArca-2011-81), submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of the Guggenheim Enhanced Short Duration High Yield Bond ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-66507) Proposed Rule ChangeFinancial Industry Regulatory Authority, Inc. filed a proposed rule change (SR-FINRA-2012-018) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to adopt new standardized electronic form CMA. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-66508) 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 CONSTELLATION ENERGY GROUP INC, 100 CONSTELLATION WAY, BALTIMORE, MD, 21202, 4104702800 - 0 ($0.00) Equity, (File 333-179844 - Mar. 2) (BR. 02A) S-8 REVA Medical, Inc., 5751 COPLEY DRIVE, SAN DIEGO, CA, 92111, (858) 966-3000 - 0 ($5,489,623.00) Equity, (File 333-179845 - Mar. 2) (BR. 10C) S-3ASR SL GREEN REALTY CORP, 420 LEXINGTON AVENUE, ATTN: STEVEN KAHN, NEW YORK, NY, 10170, 2125942700 - 0 ($262,815,000.00) Equity, (File 333-179846 - Mar. 2) (BR. 08C) S-8 HERSHA HOSPITALITY TRUST, 44 HERSHA DRIVE, HARRISBURG, PA, 17102, 7172364400 - 7,500,000 ($38,550,000.00) Equity, (File 333-179847 - Mar. 2) (BR. 08B) S-3ASR STRATEGIC HOTELS & RESORTS, INC, 200 WEST MADISON STREET, SUITE 1700, CHICAGO, IL, 60606-3415, 3126585000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179850 - Mar. 2) (BR. 08C) S-1 Goldeo, Inc., 5100 WASHINGTON STREET, SUITE 202, HOLLYWOOD, FL, 33021, 754-816-6371 - 50,250,000 ($4,525,000.00) Equity, (File 333-179853 - Mar. 2) (BR. ) S-3ASR ROYAL CARIBBEAN CRUISES LTD, 1050 CARIBBEAN WAY, MIAMI, FL, 33132, 3055396000 - 63,220,873 ($1,827,083,230.00) Other, (File 333-179854 - Mar. 2) (BR. 05C) S-8 BERKSHIRE HATHAWAY INC, 3555 FARNAM STREET, OMAHA, NE, 68131, 4023461400 - 0 ($395,200,000.00) Equity, (File 333-179855 - Mar. 2) (BR. 01A) S-8 WESTINGHOUSE AIR BRAKE TECHNOLOGIES CORP, 1001 AIR BRAKE AVE, WILMERDING, PA, 15148, 4128251000 - 1,900,000 ($141,322,000.00) Equity, (File 333-179857 - Mar. 2) (BR. 05C) S-3ASR AMERICAN FINANCIAL GROUP INC, GREAT AMERICAN INSURANCE GROUP TOWER, 301 E. 4TH STREET, CINCINNATI, OH, 45202, 5135792121 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179867 - Mar. 2) (BR. 01B) S-3 RADIANT LOGISTICS, INC, 405 114TH AVENUE, SE, THIRD FLOOR, BELLEVUE, WA, 98004, 425-943-4599 - 11,460 ($100,000,000.00) Other, (File 333-179868 - Mar. 2) (BR. 05B) S-8 RADIANT LOGISTICS, INC, 405 114TH AVENUE, SE, THIRD FLOOR, BELLEVUE, WA, 98004, 425-943-4599 - 5,000,000 ($4,858,371.00) Equity, (File 333-179869 - Mar. 2) (BR. 05B) S-4 Nexeo Solutions, LLC, 5200 BLAZER PARKWAY, DUBLIN, OH, 43017, (281) 362-5500 - 0 ($175,000,000.00) Non-Convertible Debt, (File 333-179870 - Mar. 2) (BR. ) S-8 BROADCOM CORP, 5300 CALIFORNIA AVENUE, IRVINE, CA, 92617-3038, 949 926 5000 - 10,084,740 ($260,237,564.00) Equity, (File 333-179871 - Mar. 2) (BR. 10A) S-3ASR REALTY INCOME CORP, 600 LA TERRAZA BLVD, ESCONDIDO, CA, 92025, 7607412111 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179872 - Mar. 2) (BR. 08C) S-3 LEAP WIRELESS INTERNATIONAL INC, 5887 COPLEY DRIVE, SAN DIEGO, CA, 92111, 8588826000 - 23,533,869 ($253,930,446.51) Equity, (File 333-179873 - Mar. 2) (BR. 11C) S-3ASR SIMON PROPERTY GROUP INC /DE/, 225 WEST WASHINGTON STREET, INDIANAPOLIS, IN, 46204-3438, 317-636-1600 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179874 - Mar. 2) (BR. 08C) S-3ASR STATE STREET CORP, ONE LINCOLN STREET, BOSTON, MA, 02111, 617 786-3000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179875 - Mar. 2) (BR. 12A) S-8 BIO RAD LABORATORIES INC, 1000 ALFRED NOBEL DR, HERCULES, CA, 94547, 5107247000 - 0 ($61,572,000.00) Equity, (File 333-179876 - Mar. 2) (BR. 10A) N-2 ENERGY INCOME & GROWTH FUND, 187 DANBURY ROAD, WILTON, CT, 06897, 630-765-8000 - 5,649,000 ($177,152,640.00) Equity, (File 333-179878 - Mar. 2) (BR. 18) S-3ASR MCKESSON CORP, ONE POST ST, MCKESSON PLAZA, SAN FRANCISCO, CA, 94104, 4159838300 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179879 - Mar. 2) (BR. 09B) S-8 PENSON WORLDWIDE INC, 1700 PACIFIC AVE, STE 1400, DALLAS, TX, 75201, 2147651100 - 0 ($1,661,329.92) Equity, (File 333-179881 - Mar. 2) (BR. 12A) S-1 SEVILLE VENTURES CORP, 5481 NORTH RIVER RD., BYRON, IL, 61010, 847-599-6000 - 3,500,000 ($245,000.00) Equity, (File 333-179882 - Mar. 2) (BR. ) S-3 Williams Partners L.P., ONE WILLIAMS CENTER, TULSA, OK, 74172-0172, (918) 573-2000 - 0 ($466,983,278.91) Equity, (File 333-179883 - Mar. 2) (BR. 02C) S-8 EOG RESOURCES INC, 1111 BAGBY, SKY LOBBY 2, HOUSTON, TX, 77002, 7136517000 - 0 ($17,293,500.00) Equity, (File 333-179884 - Mar. 2) (BR. 04B) S-3ASR IBERIABANK CORP, 200 WEST CONGRESS STREET, LAFAYETTE, LA, 70501, 337-521-4788 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179885 - Mar. 2) (BR. 07C) S-1 Recursos Montana S.A., 1ST STREET, #3, CERROS DEL ATLANTICO, PUERTO PLATA, G8, 006234, 037 022 0092 - 30,000,000 ($60,000.00) Equity, (File 333-179886 - Mar. 2) (BR. ) N-2 PIMCO Dynamic Income Fund, C/O ROPES & GRAY LLP, PRUDENTIAL TOWER, 800 BOYLSTON STREET, BOSTON, MA, 02199, 617-951-7467 - 40,000 ($1,000,000.00) Equity, (File 333-179887 - Mar. 2) (BR. ) S-3ASR CENTURYLINK, INC, P O BOX 4065, 100 CENTURYLINK DR, MONROE, LA, 71203, 3183889000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179888 - Mar. 2) (BR. 11A) 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 ----------------------------------------------------------------------------------------- 21ST CENTURY HOLDING CO FL 1.01,9.01 02/28/12 4 KIDS ENTERTAINMENT INC NY 1.01,9.01 02/27/12 Abingdon Futures Fund LP NY 3.02 03/01/12 ACACIA RESEARCH CORP DE 8.01 03/01/12 ACURA PHARMACEUTICALS, INC NY 8.01,9.01 03/02/12 ADVANCED CELL TECHNOLOGY, INC. DE 2.02,9.01 03/01/12 Aegion Corp DE 2.02,9.01 02/27/12 AGENUS INC DE 8.01,9.01 03/02/12 AGREE REALTY CORP DE 2.02,9.01 02/29/12 AIS FUTURES FUND IV LP DE 3.02 02/29/12 ALIMERA SCIENCES INC DE 1.01 03/02/12 ALLEGHANY CORP /DE DE 8.01,9.01 03/02/12 Alpha Natural Resources, Inc. DE 1.04 02/27/12 AMARIN CORP PLC\UK X0 8.01 03/02/12 American Energy Development Corp. NV 7.01,9.01 03/02/12 AMERICAN REALTY CAPITAL - RETAIL CENT MD 5.02 03/01/12 AMERICAN RIVER BANKSHARES CA 7.01,9.01 03/01/12 AMICUS THERAPEUTICS INC DE 1.01,9.01 03/01/12 ARBOR REALTY TRUST INC MD 2.02,9.01 03/02/12 ARCH CAPITAL GROUP LTD. 8.01 02/29/12 ARDENT MINES LTD 1.01,5.02 02/24/12 ARENA PHARMACEUTICALS INC DE 8.01 03/02/12 ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 1.01,2.03 02/24/12 ARTHROCARE CORP DE 5.02,7.01,9.01 02/29/12 Ascent Capital Group, Inc. DE 2.02,7.01,9.01 03/01/12 ASHFORD HOSPITALITY TRUST INC MD 8.01,9.01 03/02/12 ASSET ACCEPTANCE CAPITAL CORP 5.02 02/27/12 Atlantic Coast Financial CORP MD 5.02 03/02/12 Atlantic Green Power Holding Co DE 1.01 02/27/12 ATLANTIC POWER CORP A1 7.01,9.01 03/01/12 ATLANTIC POWER CORP A1 8.01 03/02/12 ATLANTIC TELE NETWORK INC /DE DE 2.02,9.01 03/01/12 Atlas Energy, L.P. DE 5.08 03/01/12 AUTONATION, INC. DE 7.01,9.01 03/02/12 AVISTA CORP WA 5.02 02/28/12 AXA EQUITABLE LIFE INSURANCE CO NY 5.02 03/01/12 BALCHEM CORP MD 2.02,9.01 02/27/12 Bank of Commerce Holdings CA 5.02,9.01 03/01/12 Bank of Commerce Holdings CA 5.02 03/01/12 BE AEROSPACE INC DE 5.02,9.01 02/29/12 BHM Discretionary Futures Fund L.P. DE 3.02 03/01/12 BigString CORP DE 8.01,9.01 02/27/12 BILL BARRETT CORP DE 7.01,8.01,9.01 03/01/12 BioFuel Energy Corp. 2.02,9.01 03/01/12 BIOGEN IDEC INC. DE 5.02 02/27/12 BLACK HILLS CORP /SD/ SD 2.01,9.01 02/29/12 BofI Holding, Inc. DE 5.07 03/02/12 AMEND BOSTON SCIENTIFIC CORP DE 5.02,9.01 02/28/12 Boston Therapeutics, Inc. DE 8.01,9.01 02/28/12 BROWN & BROWN INC FL 5.03,9.01 02/28/12 BRUKER CORP DE 5.02 03/01/12 BURLINGTON NORTHERN SANTA FE, LLC 1.01,2.03,9.01 02/28/12 CADUCEUS SOFTWARE SYSTEMS CORP. NV 5.02 02/27/12 CAESARS ENTERTAINMENT Corp DE 1.01,2.03,9.01 03/01/12 Calamos Asset Management, Inc. /DE/ 5.02 02/28/12 CAREER EDUCATION CORP DE 8.01,9.01 02/27/12 Catalent Pharma Solutions, Inc. DE 1.01,2.03,9.01 02/27/12 CENTRAL VERMONT PUBLIC SERVICE CORP VT 5.02 02/27/12 CENTRAL VERMONT PUBLIC SERVICE CORP VT 5.02,9.01 02/27/12 CENTURYLINK, INC LA 8.01,9.01 03/02/12 CHARLOTTE CAPITAL CORP DE 8.01,9.01 02/24/12 ChemoCentryx, Inc. DE 5.02 02/27/12 China Information Technology, Inc. 3.03,5.03,8.01,9.01 03/02/12 CHINA PHARMA HOLDINGS, INC. DE 4.02 02/28/12 China Shandong Industries, Inc. DE 1.01,2.03 02/27/12 CHURCH & DWIGHT CO INC /DE/ DE 8.01 03/01/12 CIRCUS & ELDORADO JOINT VENTURE 2.04 03/01/12 CITIGROUP INC DE 5.02,9.01 03/02/12 CLEAN HARBORS INC MA 5.02 02/29/12 CleanTech Innovations, Inc. NV 1.01,2.03,9.01 03/01/12 Clear Skies Solar, Inc DE 8.01 03/02/12 COMERICA INC /NEW/ DE 7.01,9.01 03/02/12 COMMERCETEL CORP NV 4.01,9.01 02/20/12 AMEND COMVERGE, INC. DE 5.02,9.01 02/27/12 Conmed Healthcare Management, Inc. DE 2.02,9.01 03/02/12 CONSOLIDATED TOMOKA LAND CO FL 4.01 03/02/12 COOPER TIRE & RUBBER CO DE 1.01,9.01 02/28/12 Cornerstone Core Properties REIT, Inc MD 8.01,9.01 03/01/12 COWEN GROUP, INC. DE 2.02,9.01 03/02/12 CRA INTERNATIONAL, INC. MA 5.02,9.01 02/28/12 CRC Health CORP DE 8.01 03/02/12 CROSSROADS SYSTEMS INC DE 2.02,9.01 02/29/12 CROSSTEX ENERGY INC DE 7.01,9.01 03/01/12 CROSSTEX ENERGY LP DE 7.01,9.01 03/01/12 Cryoport, Inc. NV 5.02 03/01/12 CUBIC CORP /DE/ DE 5.02,5.07 02/28/12 CVR ENERGY INC DE 8.01 03/02/12 CVS CAREMARK CORP DE 5.02 03/01/12 CYBERDEFENDER CORP CA 3.01 02/23/12 DATA I/O CORP WA 5.02,9.01 03/01/12 DATAWATCH CORP DE 1.01,9.01 03/01/12 DAWSON GEOPHYSICAL CO TX 7.01,9.01 03/02/12 DCP Midstream Partners, LP DE 1.01,7.01,9.01 03/02/12 DealerTrack Holdings, Inc. DE 8.01,9.01 03/02/12 DEERE & CO DE 5.07 02/29/12 DEERE & CO DE 7.01 03/02/12 DELTA AIR LINES INC /DE/ DE 8.01,9.01 03/02/12 DELTA AIR LINES INC /DE/ DE 5.02,9.01 02/29/12 DGSE COMPANIES INC NV 4.02,9.01 04/15/11 AMEND DGT Holdings Corp. NY 2.02,9.01 03/02/12 DOCUMENT SECURITY SYSTEMS INC NY 1.01,9.01 02/29/12 DONEGAL GROUP INC DE 7.01 02/16/12 DOUBLE EAGLE PETROLEUM CO MD 2.02,7.01,9.01 03/01/12 Duff & Phelps Corp DE 1.01,9.01 02/27/12 Duke Energy CORP DE 9.01 03/02/12 DYCOM INDUSTRIES INC FL 2.02,7.01,9.01 02/29/12 DYNEGY INC. DE 5.04,9.01 03/02/12 EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 03/01/12 EDGAR ONLINE INC DE 1.01,1.02,2.02,2.03, 02/28/12 9.01 EMERGING CTA PORTFOLIO LP NY 3.02 03/01/12 EMMIS COMMUNICATIONS CORP IN 3.01 02/28/12 ENB Financial Corp PA 5.02,9.01 02/29/12 ENER1 INC FL 1.01,1.03,7.01,8.01, 02/27/12 9.01 EnviroStar, Inc. DE 7.01,9.01 03/02/12 ESCALADE INC IN 2.02,9.01 03/02/12 ESSA Bancorp, Inc. PA 5.07 03/01/12 Exelis Inc. IN 2.02,7.01,9.01 03/02/12 Fifth Street Finance Corp DE 1.01,2.03,9.01 02/29/12 Finishing Touches Home Goods Inc. 5.02 03/01/12 First California Financial Group, Inc DE 7.01,9.01 02/13/12 First California Financial Group, Inc DE 7.01 03/02/12 FIRST FINANCIAL BANCORP /OH/ OH 5.02 02/27/12 FIRST INDUSTRIAL REALTY TRUST INC MD 1.01,1.02,8.01,9.01 02/29/12 FIRST LEVEL ENTERTAINMENT GROUP, INC. FL 3.02 02/29/12 FIRST MID ILLINOIS BANCSHARES INC DE 1.01,9.01 02/29/12 FIRST PACTRUST BANCORP INC MD 8.01,9.01 03/01/12 FIRST REAL ESTATE INVESTMENT TRUST OF NJ 2.02,9.01 03/02/12 FOOT LOCKER INC NY 2.02,9.01 03/01/12 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 02/29/12 FUTURES PORTFOLIO FUND L.P. MD 3.02 03/01/12 GAIN Capital Holdings, Inc. DE 5.02 02/27/12 GALLERY MANAGEMENT HOLDING CORP 1.01,2.02,3.02,5.01, 02/23/12 5.02,8.01,9.01 General Motors Co 8.01 03/01/12 GENESCO INC TN 2.02,5.02,9.01 03/01/12 GLOBAL GOLD CORP DE 8.01,9.01 03/02/12 GOLFSMITH INTERNATIONAL HOLDINGS INC DE 2.02,9.01 03/01/12 Graystone Co DE 8.01 03/02/12 GREAT ATLANTIC & PACIFIC TEA CO INC MD 7.01,9.01 03/02/12 Green Plains Renewable Energy, Inc. IA 1.01,9.01 03/01/12 GreenHaven Continuous Commodity Index DE 1.01,9.01 02/29/12 GREIF INC DE 2.02,5.07,7.01,8.01, 02/27/12 9.01 Griffin-American Healthcare REIT II, MD 7.01,9.01 03/02/12 GSI GROUP INC A3 5.02 02/27/12 Guaranty Bancorp DE 7.01 03/02/12 Gulf United Energy, Inc. NV 8.01 03/01/12 HANDENI GOLD INC. NV 5.02,9.01 03/01/12 HARMONIC INC DE 5.02 02/28/12 HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 02/24/12 HCC INSURANCE HOLDINGS INC/DE/ DE 7.01,9.01 03/02/12 HealthMarkets, Inc. DE 8.01,9.01 02/29/12 HEINZ H J CO PA 8.01,9.01 02/28/12 HERCULES OFFSHORE, INC. DE 5.02,9.01 02/28/12 HERITAGE FINANCIAL CORP /WA/ WA 4.01,9.01 02/27/12 HF FINANCIAL CORP DE 7.01,9.01 03/02/12 HICKORY TECH CORP MN 7.01,9.01 03/01/12 HICKORY TECH CORP MN 2.03,9.01 03/01/12 HIGHWATER ETHANOL LLC 7.01,8.01,9.01 03/01/12 HNI CORP IA 7.01 03/01/12 ICAD INC DE 5.02 03/01/12 IDENTIVE GROUP, INC. DE 5.02 12/21/11 AMEND Industrial Income Trust Inc. MD 1.01,9.01 02/27/12 INERGY MIDSTREAM, L.P. 5.02,9.01 03/01/12 INFOSPACE INC DE 5.02,8.01 03/01/12 INGLES MARKETS INC NC 4.01,9.01 02/02/12 INLAND REAL ESTATE CORP MD 1.01,5.03,8.01,9.01 02/28/12 Integrated Management Information, In 2.01,3.02,7.01,9.01 02/29/12 INTERGROUP CORP DE 5.02 02/28/12 INTERPUBLIC GROUP OF COMPANIES, INC. DE 1.01,2.03,9.01 03/02/12 INTRICON CORP PA 1.01 03/01/12 IPG PHOTONICS CORP DE 1.01,8.01,9.01 03/01/12 IRONCLAD PERFORMANCE WEAR CORP 5.02,9.01 02/27/12 ISSUER DIRECT CORP 5.02,9.01 02/27/12 JACOBS ENTERTAINMENT INC DE 9.01 10/28/11 AMEND JDA SOFTWARE GROUP INC DE 3.01,9.01 03/01/12 AMEND JEWETT CAMERON TRADING CO LTD OR 8.01 03/02/12 Jive Software, Inc. DE 5.02,9.01 02/27/12 KBW, INC. 5.02 02/29/12 KENNAMETAL INC PA 2.01 03/01/12 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 03/02/12 KINDER MORGAN MANAGEMENT LLC DE 7.01 03/02/12 KINDER MORGAN, INC. DE 7.01 03/02/12 KINDER MORGAN, INC. DE 5.07 03/02/12 KMG CHEMICALS INC TX 2.01 03/01/12 KONA GRILL INC DE 5.02,9.01 02/28/12 KROGER CO OH 1.01,9.01 02/29/12 Laufer Bridge Enterprises, Inc. NV 5.02 03/01/12 LECROY CORP DE 5.07 10/26/11 AMEND LENNOX INTERNATIONAL INC DE 5.02 02/27/12 Liberty Global, Inc. DE 5.02 02/29/12 Liberty Global, Inc. DE 2.03 02/29/12 LINN ENERGY, LLC DE 1.01,2.03,8.01,9.01 02/28/12 LIQUIDMETAL TECHNOLOGIES INC DE 1.01 01/17/12 LML PAYMENT SYSTEMS INC A1 1.01,9.01 03/01/12 LSB FINANCIAL CORP IN 5.03,9.01 02/27/12 LUCID INC NY 5.02 02/27/12 LUFKIN INDUSTRIES INC TX 1.01,2.01,2.03,7.01, 02/27/12 9.01 Lumos Networks Corp. VA 5.02 02/29/12 Luxeyard, Inc. DE 1.01,5.02,5.03,8.01, 12/20/11 9.01 MAC-GRAY CORP DE 1.01,1.02,8.01,9.01 02/29/12 Main Street Capital CORP MD 5.02 03/02/12 MAINLAND RESOURCES INC. 5.02 02/27/12 MAJESCO ENTERTAINMENT CO DE 5.02,9.01 02/27/12 MAJIC WHEELS CORP 2.01,9.01 03/02/12 MATTEL INC /DE/ DE 8.01 02/28/12 MAUI LAND & PINEAPPLE CO INC HI 2.02,9.01 03/01/12 McEwen Mining Inc. CO 7.01,9.01 03/02/12 MEADWESTVACO Corp DE 8.01 03/02/12 MEDIA TECHNOLOGIES, INC. NV 3.02 02/28/12 MEDICIS PHARMACEUTICAL CORP DE 5.02 02/28/12 MERU NETWORKS INC DE 5.02,9.01 02/29/12 MESA LABORATORIES INC /CO CO 1.01,1.02,2.03,9.01 02/29/12 MGP INGREDIENTS INC KS 5.02,7.01,8.01,9.01 03/01/12 MGP INGREDIENTS INC KS 8.01 03/02/12 MGP INGREDIENTS INC KS 9.01 12/27/11 AMEND MICHAEL BAKER CORP PA 5.02,9.01 02/28/12 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 03/02/12 Momentive Performance Materials Inc. DE 2.02,9.01 03/02/12 MOMENTIVE SPECIALTY CHEMICALS INC. NJ 2.02,9.01 03/02/12 MONTPELIER RE HOLDINGS LTD 5.02,9.01 02/29/12 MONY LIFE INSURANCE CO OF AMERICA AZ 5.02 03/01/12 MULTIMEDIA GAMES HOLDING COMPANY, INC TX 8.01 03/02/12 Neiman Marcus, Inc. DE 2.02,9.01 03/02/12 Neonode, Inc DE 5.03 02/29/12 NETLIST INC DE 5.02,9.01 03/02/12 NETSOL TECHNOLOGIES INC NV 1.01,8.01,9.01 03/01/12 NEUSTAR INC 5.02,9.01 02/29/12 NEWBRIDGE BANCORP NC 1.01,5.02,9.01 03/02/12 NORDSTROM INC WA 8.01 03/02/12 NORTH VALLEY BANCORP CA 7.01,8.01,9.01 03/01/12 NORTHERN OIL & GAS, INC. 1.01,2.03,9.01 02/28/12 Oasis Petroleum Inc. DE 5.02,9.01 03/01/12 Och-Ziff Capital Management Group LLC DE 7.01 03/02/12 OFFICE DEPOT INC DE 5.02 03/01/12 OLD LINE BANCSHARES INC MD 7.01 03/01/12 OLD STONE CORP RI 5.02 12/20/10 Oneida Financial Corp. MD 1.01,9.01 03/01/12 ONEOK INC /NEW/ OK 1.01,7.01,9.01 02/28/08 ONEOK Partners LP DE 1.01,3.02,7.01,9.01 02/28/12 ORION FUTURES FUND LP NY 3.02 03/01/12 Orion Marine Group Inc 2.02,9.01 03/01/12 OVERSEAS SHIPHOLDING GROUP INC DE 2.02,8.01,9.01 02/28/12 OVERSTOCK.COM, INC DE 2.02,9.01 03/02/12 OVERSTOCK.COM, INC DE 8.01,9.01 03/02/12 OWENS MORTGAGE INVESTMENT FUND A CALI CA 8.01,9.01 02/29/12 PACIFIC MERCANTILE BANCORP CA 1.01,1.02,3.02,7.01, 02/28/12 9.01 Parks One, Inc. NV 3.02,5.01,9.01 02/28/12 AMEND PennantPark Floating Rate Capital Ltd 5.07 02/28/12 PENNANTPARK INVESTMENT CORP 5.07 02/28/12 PEPSICO INC NC 8.01,9.01 02/29/12 PETROLEUM DEVELOPMENT CORP NV 2.01 02/28/12 Polaris Futures Fund L.P. DE 3.02 03/01/12 POLYONE CORP 9.01 12/21/11 AMEND POTOMAC BANCSHARES INC WV 2.02 03/02/12 POWER SOLUTIONS INTERNATIONAL, INC. DE 1.01,9.01 02/28/12 Primoris Services Corp DE 2.02,8.01,9.01 03/01/12 PROVIDENT FINANCIAL HOLDINGS INC DE 7.01,9.01 03/02/12 PUBLIX SUPER MARKETS INC FL 2.02,9.01 03/01/12 QUIDEL CORP /DE/ DE 5.02,9.01 02/27/12 RAMTRON INTERNATIONAL CORP DE 1.01,2.03,9.01 02/29/12 RARE ELEMENT RESOURCES LTD A1 7.01,9.01 02/27/12 RBC Bearings INC 5.07 09/07/11 AMEND RELM WIRELESS CORP NV 5.02,9.01 02/29/12 RENTECH INC /CO/ CO 1.02 02/28/12 Rentech Nitrogen Partners, L.P. DE 1.01,1.02,2.03,9.01 02/28/12 Resource Capital Corp. MD 2.03,9.01 02/27/12 RICKS CABARET INTERNATIONAL INC TX 8.01 02/28/12 Rio Bravo Oil, Inc. NV 1.01,2.03,9.01 02/24/12 Rockville Financial, Inc. /CT/ CT 8.01,9.01 03/02/12 Rotoblock CORP NV 4.01,5.03,9.01 05/30/11 AMEND SAGE FUND LP MD 3.02 03/01/12 SAIC, Inc. 5.02,9.01 02/21/12 AMEND SALESFORCE COM INC DE 5.02 02/28/12 SALIX PHARMACEUTICALS LTD 8.01,9.01 02/28/12 SANDERSON FARMS INC MS 2.02,9.01 02/28/12 SCHMITT INDUSTRIES INC OR 1.01,2.03 02/28/12 SELECT COMFORT CORP MN 1.01,9.01 02/28/12 SELECTIVE INSURANCE GROUP INC NJ 7.01,9.01 03/02/12 SENESCO TECHNOLOGIES INC DE 1.01,9.01 03/01/12 SEQUENOM INC DE 8.01 02/29/12 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 7.01,9.01 03/02/12 Shiner International, Inc. NV 3.01,9.01 02/29/12 Silver Falcon Mining, Inc. DE 8.01 02/29/12 Silver Falcon Mining, Inc. DE 8.01 03/01/12 SILVER HORN MINING LTD. DE 1.01,1.02,2.03,3.02, 02/21/12 9.01 SLM CORP DE 4.01,9.01 02/27/12 SOTHEBYS DE 2.02,9.01 03/02/12 SOUTHWESTERN ENERGY CO DE 7.01 02/28/12 SRI SURGICAL EXPRESS INC FL 1.01,9.01 02/28/12 STAGE STORES INC NV 8.01,9.01 03/01/12 STANDARD PACIFIC CORP /DE/ DE 5.02,5.03,9.01 03/01/12 STANDARD PARKING CORP DE 8.01,9.01 03/02/12 Stream Global Services, Inc. DE 5.02 03/01/12 SUN HEALTHCARE GROUP INC DE 8.01 03/01/12 TCF FINANCIAL CORP DE 5.03,8.01,9.01 02/27/12 TESSERA TECHNOLOGIES INC DE 1.01,7.01,9.01 03/01/12 TherapeuticsMD, Inc. UT 5.02,9.01 02/29/12 THERMO FISHER SCIENTIFIC INC. DE 5.02,9.01 02/28/12 Thwapr, Inc. NV 1.01,5.02,8.01,9.01 02/27/12 Titanium Asset Management Corp DE 2.02,9.01 03/02/12 TMS International Corp. DE 8.01,9.01 03/02/12 TRAILER BRIDGE INC 5.02 03/02/12 TRANS WORLD ENTERTAINMENT CORP NY 2.02,7.01,9.01 03/01/12 TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 03/02/12 TRANSUNION CORP. 1.01,9.01 02/27/12 TREDEGAR CORP VA 2.02,9.01 03/01/12 Triangle Capital CORP MD 1.01,2.03,9.01 03/02/12 TRINITY CAPITAL CORP NM 2.02,9.01 03/02/12 Uni-Pixel DE 8.01,9.01 03/02/12 UNION PACIFIC CORP UT 5.02,9.01 03/02/12 UNITED BANKSHARES INC/WV WV 5.02 02/27/12 United Health Products, Inc. NV 5.02 02/29/12 UNITED ONLINE INC DE 8.01 02/28/12 UNITED SURGICAL PARTNERS INTERNATIONA DE 2.02,7.01,9.01 03/01/12 UNIVERSAL GOLD MINING CORP. NV 8.01,9.01 02/28/12 Upstream Worldwide, Inc. DE 2.03 02/29/12 URANIUM RESOURCES INC /DE/ DE 8.01,9.01 03/01/12 US BANCORP \DE\ DE 8.01,9.01 03/02/12 US CONCRETE INC DE 5.02 02/28/12 US Highland, Inc. OK 5.07 02/27/12 UTi WORLDWIDE INC D8 8.01 02/28/12 VIROPHARMA INC DE 1.01 02/28/12 VISA INC. DE 8.01 02/29/12 VistaGen Therapeutics, Inc. NV 2.03,3.02,9.01 02/28/12 Vital Products, Inc. DE 5.03 02/24/12 VWR Funding, Inc. DE 2.02,7.01 03/02/12 W P CAREY & CO LLC DE 5.02,9.01 03/01/12 WARNACO GROUP INC /DE/ DE 2.02,9.01 02/28/12 AMEND WASTE CONNECTIONS, INC. DE 8.01,9.01 02/27/12 WEINGARTEN REALTY INVESTORS /TX/ TX 2.02,9.01 02/29/12 WELLS FARGO & CO/MN DE 5.02 02/28/12 WINN DIXIE STORES INC FL 8.01,9.01 03/02/12 Winthrop Realty Trust OH 1.01,2.02,7.01,8.01, 02/28/12 9.01 WYNN RESORTS LTD 1.01,9.01 01/27/12 WYNN RESORTS LTD 8.01 03/02/12 AMEND Zeltiq Aesthetics Inc DE 1.01 02/27/12
http://www.sec.gov/news/digest/2012/dig030512.htm
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