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Enforcement proceedingsDelinquent Filers’ Stock Registrations RevokedThe registrations of the registered securities of TTC Technology Corp. (f/k/a SmarTire Systems Inc.), TWL Corp., TXP Corp., Valentec Systems, Inc. (f/k/a Acorn Holdings Corp.), Verdant Technology Corp., and VPGI Corp. have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-66570; File No. 3-14702) SEC Settles With Former Wall Street Professional for Insider Trading Relating to the Acquisition of Jamdat Mobile, Inc.The Securities and Exchange Commission today announced that on March 9, 2012, Judge Katherine B. Forrest of the United States District Court in Manhattan, entered a final judgment against Alissa Joelle Kueng (Kueng), the last-remaining defendant in an insider trading action involving tipping and trading prior to an announcement that Jamdat Mobile Inc. (Jamdat), a software company that designed games for cell phones, would be acquired by Electronic Arts, Inc. (Electronic Arts). The final judgment permanently enjoins her from violating Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and orders her to pay a $25,000 civil penalty. Kueng consented to the entry of the final judgment, without admitting or denying the allegations against her in the complaint. The Commission’s civil complaint, filed in Oct. 2009, alleged that Kueng, a former sales specialist at J.P. Morgan Securities Inc., in Dec. 2005, had conveyed to a J.P. Morgan trader and two institutional customers, highly specific material, nonpublic information regarding Jamdat’s impending acquisition by Electronic Arts that she had received from a friend in the securities brokerage industry. The trader and the institutional customers invested in Jamdat stock on the basis of that information and realized profits totaling approximately $350,000. The Commission further asserted that given the specificity of the information Kueng had received, which included the price per share and the timing of the acquisition, she knew or should have known that the information had been obtained in breach of a duty to Jamdat. Also, in Oct. 2009, the Commission filed a civil action in federal district court in Northern California charging four other defendants, including a Jamdat insider, with insider trading for tipping and/or trading on the basis of material, nonpublic information regarding Jamdat. Those defendants settled the charges against them. Kueng also has agreed to the issuance of an administrative order, based on the entry of the permanent injunction against her, barring her from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, with a right to reapply for association in a non-supervisory capacity after ten years and barring her from participating in the offering of a penny stock, with the right to apply for re-entry after ten years. For further information see LR-22282 and LR-21249). [SEC v. Alissa Joelle Kueng, United States District Court for the Southern District of New York, Civil Action No. 09-8763 (KBF)] (LR-22284; 34-66585) Investment company act releasesAres Capital Corporation, et al.A notice has been issued giving interested persons until March 29, 2012, to request a hearing on an application filed by Ares Capital Corporation (the Company), Ares Capital Management LLC and Ivy Hill Asset Management, L.P. (Ivy Hill) 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 would permit the Company to (a) continue to own (directly or indirectly) up to 100% of the outstanding equity interest of Ivy Hill and (b) make additional investments in Ivy Hill, in each case, following such time as Ivy Hill is required to become a registered investment adviser under the Investment Advisers Act of 1940 (Advisers Act).. (Rel. IC-29977 - March 9) Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change (SR-NASDAQ-2012-031) filed by The NASDAQ Stock Market LLC relating to Supplemental 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 March 12. (Rel. 34-66540) A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-25) to modify fees applicable to the trading of NMS Stocks through NASDAQ OMX PSX 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 March 12. (Rel. 34-66543) A proposed rule change filed by the NASDAQ Stock Market LLC (SR-NASDAQ-2012-032) to modify NASDAQ’s Investor Support Program 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 March 12. (Rel. 34-66544) A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-27) relating to Complex Order fees and rebates for adding and removing liquidity in Select Symbols 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 March 12. (Rel. 34-66551) A proposed rule change filed by Chicago Mercantile Exchange, Inc. (CME) amending the fee schedule applicable to its OTC Interest Rate Swap clearing offering (SR-CME-2012-04) has become effective pursuant to Section 19(b)(3)(A)(ii) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-66554) A proposed rule change filed by Financial Industry Regulatory Authority, Inc. to amend Online Form NMA, the Standardized Membership Application Form applicants must file pursuant to NASD Rule 1013 (New Member Application and Interview) (SR-FINRA-2012-017) 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 March 12. (Rel. 34-66555) A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-022) to amend its Fees Schedule 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 March 12. (Rel. 34-66556) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2012-06) to Amend EDGA Rule 11.9 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 March 12. (Rel. 34-66557) A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2012-06) relating to amendments to the EDGX Exchange, Inc. Fee Schedule 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 March 12. (Rel. 34-66558) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2012-07) relating to amendments to the EDGA Exchange, Inc. Fee Schedule 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 March 12. (Rel. 34-66559) A proposed rule change filed by NYSE Amex LLC (SR-NYSEAmex-2012-16) implementing changes to the per contract execution costs for certain participants 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 March 12. (Rel. 34-66561) A proposed rule change filed by Financial Industry Regulatory Authority, Inc. to amend FINRA Rule 9313 to conform to FINRA Rule 9136 regarding the authority of Counsel to the National Adjudicatory Council (SR-FINRA-2012-019) 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 March 12. (Rel. 34-66562) A proposed rule change filed by the Chicago Board Options Exchange, Incorporated to expand the Weeklys Program (SR-CBOE-2012-026) 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 March 12. (Rel. 34-66563) Approval of Proposed Rule ChangesThe Commission granted approval of a proposed rule change, as modified by Amendment No. 1 thereto (SR-C2-2011-043), submitted by the C2 Options Exchange, Incorporated pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to changes to the Automated Improvement Mechanism. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-66552) The Commission granted approval of a proposed rule change (SR-NYSEArca-2012-04) 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 listing and trading of shares of twenty-six series of ProShares Trust II under NYSE Arca Equities Rule 8.200. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-66553) A proposed rule change filed by Options Clearing Corporation (OCC) relating to public directors (SR-OCC-2012-01) has been approved to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-66560) Proposed Rule ChangesPursuant to Rule 19b-4 under the Securities Exchange Act of 1934, EDGX Exchange, Inc. filed a proposed rule change (SR-EDGX-2012-07) relating to a corporate transaction in which its indirect parent, SIX Swiss Exchange AG, will transfer its indirect ownership interest in ISE Holdings, Inc. to a newly formed Swiss corporation, Eurex Global Derivatives AG. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-66565) Pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, the International Securities Exchange, LLC has filed a proposed rule change (SR-ISE-2012-21) relating to a corporate transaction in which its indirect parent, SIX Swiss Exchange AG, will transfer its indirect ownership interest in ISE Holdings, Inc. to a newly formed Swiss Corporation, Eurex Global Derivatives AG. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-66566) Pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, EDGA Exchange, Inc filed a proposed rule change (SR-EDGA-2012-08) relating to a corporate transaction in which its indirect parent, SIX Swiss Exchange AG, will transfer its indirect ownership interest in ISE Holdings, Inc. to a newly formed Swiss corporation, Eurex Global Derivatives AG. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-66567) 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-8 SCHOOL SPECIALTY INC, W6316 DESIGN DRIVE, GREENVILLE, WI, 54942, (920) 734-5712 - 75,000 ($234,750.00) Equity, (File 333-180003 - Mar. 9) (BR. 02A) S-3ASR DIAMOND OFFSHORE DRILLING INC, 15415 KATY FREEWAY, HOUSTON, TX, 77094, 7134925300 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-180004 - Mar. 9) (BR. 04B) S-3 AMYRIS, INC., 5885 HOLLIS ST SUITE 100, EMERYVILLE, CA, 94608, 510-450-0761 - 4,173,622 ($19,741,232.06) Equity, (File 333-180005 - Mar. 9) (BR. 06B) S-8 AMYRIS, INC., 5885 HOLLIS ST SUITE 100, EMERYVILLE, CA, 94608, 510-450-0761 - 2,755,952 ($12,709,532.21) Equity, (File 333-180006 - Mar. 9) (BR. 06B) S-1 Caribbean Pacific Marketing, Inc., 2295 CORPORATE BLVD. NW, SUITE 131, BOCA RATON, FL, 33431, 561-208-6706 - 1,000,000 ($150,000.00) Equity, (File 333-180008 - Mar. 9) (BR. 01) S-8 ZIPREALTY INC, 2000 POWELL STREET, SUITE 300, EMERYVILLE, CA, 94608, 510-735-2600 - 822,606 ($1,069,388.00) Equity, (File 333-180010 - Mar. 9) (BR. 08B) S-3ASR MARATHON OIL CORP, P O BOX 3128, HOUSTON, TX, 77253-3128, 7136296600 - 0 ($97,710,000.00) Equity, (File 333-180014 - Mar. 9) (BR. 04B) S-3ASR CIT GROUP INC, 1 CIT DRIVE, LIVINGSTON, NJ, 07039, 9737405000 - 0 ($0.00) Non-Convertible Debt, (File 333-180015 - Mar. 9) (BR. 07B) S-8 CERNER CORP /MO/, 2800 ROCKCREEK PKWY-STE 601, KANSAS CITY, MO, 64117, 8162211024 - 0 ($1,121,850,000.00) Equity, (File 333-180016 - Mar. 9) (BR. 03C) S-8 UNIVERSAL TECHNICAL INSTITUTE INC, 16220 NORTH SCOTTSDALE ROAD, SUITE 100, SCOTTSDALE, AZ, 85254, 623-445-9500 - 0 ($10,871,500.00) Equity, (File 333-180017 - Mar. 9) (BR. 11C) S-1 Georgetown Bancorp, Inc., 2 EAST MAIN STREET, GEORGETOWN, MA, 01833, 978-352-8600 - 0 ($23,339,500.00) Equity, (File 333-180018 - Mar. 9) (BR. ) S-8 Forbes Energy Services Ltd., 3000 SOUTH BUSINESS HIGHWAY 281, ALICE, TX, 78332, 361-664-0549 - 0 ($21,759,394.00) Equity, (File 333-180019 - Mar. 9) (BR. 04B) S-3ASR PRUDENTIAL FINANCIAL INC, 751 BROAD ST, NEWARK, NJ, 07102, 9738026000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-180020 - Mar. 9) (BR. 01B) S-8 VIKING SYSTEMS INC, 134 FLANDERS ROAD, WESTBOROUGH, MA, 01581, 508-366-3668 - 3,000,000 ($630,000.00) Equity, (File 333-180021 - Mar. 9) (BR. 10C) F-1 Michael Kors Holdings Ltd, UNIT 1001, 10/F, MIRAMAR TOWER, 132 NATHAN ROAD, TSIM SHA TSUI, K3, 00000, (852) 2371-8634 - 0 ($1,336,012,500.00) Equity, (File 333-180022 - Mar. 9) (BR. 09) S-3ASR HUMANA INC, 500 W MAIN ST, LOUISVILLE, KY, 40202, 5025801000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-180023 - Mar. 9) (BR. 01B) S-8 Oncothyreon Inc., 2601 FOURTH AVENUE, SUITE 500, SEATTLE, WA, 98121, (206) 801-2100 - 1,796,118 ($9,501,465.00) Equity, (File 333-180025 - Mar. 9) (BR. 01A) S-1 Meetinghouse Bancorp, Inc., 2250 DORCHESTER STREET, DORCHESTER, MA, 02124, 617-298-2250 - 0 ($6,612,500.00) Equity, (File 333-180026 - Mar. 9) (BR. ) N-2 Blackstone / GSO Short Duration High Yield Fund, 345 PARK AVENUE, 31ST FLOOR, NEW YORK, NY, 10154, 212-503-2100 - 0 ($1,000,000.00) Equity, (File 333-180027 - Mar. 9) (BR. ) S-3 PEREGRINE PHARMACEUTICALS INC, 14282 FRANKLIN AVE, TUSTIN, CA, 92780, 7145086000 - 0 ($150,000,000.00) Equity, (File 333-180028 - Mar. 9) (BR. 01B) S-8 DELTEK, INC, 2291 WOOD OAK DRIVE, HERNDON, VA, 20171, 7037348606 - 2,048,168 ($22,304,549.52) Equity, (File 333-180031 - Mar. 9) (BR. 03C) S-4 CENTRAL GARDEN & PET CO, 1340 TREAT BOULEVARD, SUITE 600, WALNUT CREEK, CA, 94597, 9259484000 - 0 ($50,000,000.00) Debt, (File 333-180032 - Mar. 9) (BR. 02B) S-4 CORELOGIC, INC., 4 FIRST AMERICAN WAY, SANTA ANA, CA, 92707, 714-250-6400 - 0 ($400,000,000.00) Non-Convertible Debt, (File 333-180033 - Mar. 9) (BR. 03A) 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 AASTROM BIOSCIENCES INC MI 8.01,9.01 03/09/12 AASTROM BIOSCIENCES INC MI 1.01,3.02,3.03,5.03, 03/09/12 7.01,9.01 ACORN ENERGY, INC. DE 7.01,9.01 03/09/12 ACUITY BRANDS INC DE 2.05 03/09/12 ADCARE HEALTH SYSTEMS INC OH 2.02,9.01 03/08/12 AIR LEASE CORP DE 2.02,5.02,9.01 03/06/12 ALLEGHANY CORP /DE DE 8.01,9.01 03/09/12 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 03/08/12 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 03/08/12 Allied Nevada Gold Corp. DE 5.03,8.01,9.01 03/07/12 Allied Nevada Gold Corp. DE 5.02,9.01 03/05/12 Ally Auto Assets LLC DE 1.01,8.01,9.01 03/07/12 Alon Refining Krotz Springs, Inc. DE 2.02 03/08/12 Alon USA Energy, Inc. DE 2.02 03/08/12 American Caresource Holdings, Inc. DE 2.02,9.01 03/08/12 AMERICAN ELECTRIC POWER CO INC NY 9.01 03/09/12 AMEND American Energy Development Corp. NV 7.01,9.01 03/09/12 AMERICAN PARAMOUNT GOLD CORP. NV 7.01,9.01 03/09/12 AMERICAN REALTY CAPITAL - RETAIL CENT MD 1.01,5.02,8.01,9.01 03/07/12 American Standard Energy Corp. DE 1.01,2.01,2.03,3.02, 03/05/12 9.01 AMYLIN PHARMACEUTICALS INC DE 8.01,9.01 03/07/12 ANADARKO PETROLEUM CORP DE 8.01,9.01 03/09/12 ANN INC. DE 2.02,9.01 03/09/12 Anthera Pharmaceuticals Inc DE 8.01,9.01 03/09/12 APPLIED MATERIALS INC /DE DC 5.02,5.07,9.01 03/06/12 Approach Resources Inc DE 7.01,9.01 03/08/12 AMEND ARCHER DANIELS MIDLAND CO DE 5.02,9.01 03/06/12 Ardea Biosciences, Inc./DE DE 2.02,9.01 03/09/12 ARES CAPITAL CORP MD 8.01,9.01 03/09/12 ASTEA INTERNATIONAL INC DE 5.02 03/08/12 AUTOBYTEL INC DE 4.01,9.01 03/06/12 Axius Inc. NV 3.02,9.01 03/01/12 BALL CORP IN 1.01,2.03,9.01 03/08/12 BANKUNITED FINANCIAL CORP FL 1.03,3.03,5.02,9.01 03/02/12 BAYHILL CAPITAL CORP DE 8.01,9.01 03/09/12 BAYOU CITY EXPLORATION, INC. 1.01,3.02,9.01 03/08/12 BAZI INTERNATIONAL, INC. NV 2.03,9.01 02/23/12 BERRY PETROLEUM CO DE 1.01,7.01,9.01 03/06/12 BERRY PETROLEUM CO DE 1.01,2.03,8.01,9.01 03/09/12 BEST BUY CO INC MN 8.01,9.01 03/09/12 BIMINI CAPITAL MANAGEMENT, INC. MD 2.02,9.01 03/08/12 BIOLASE TECHNOLOGY INC DE 2.02,9.01 03/08/12 BION ENVIRONMENTAL TECHNOLOGIES INC CO 7.01,9.01 03/08/12 BioScrip, Inc. DE 5.02 03/05/12 BIOSPECIFICS TECHNOLOGIES CORP DE 2.02,8.01,9.01 03/09/12 BIOTIME INC CA 7.01,9.01 03/08/12 BOTTOMLINE TECHNOLOGIES INC /DE/ DE 8.01 03/09/12 BROADLEAF CAPITAL PARTNERS INC NV 1.01,3.02 03/09/12 BWAY PARENT COMPANY, INC. DE 4.01 03/08/12 CABCO TRUST FOR J.C. PENNEY DEBENTURE DE 8.01,9.01 03/01/12 Campus Crest Communities, Inc. MD 9.01 12/29/11 AMEND CarePayment Technologies, Inc. OR 1.01,2.03,9.01 03/05/12 CARNIVAL CORP DE 2.02,9.01 03/09/12 CARRIAGE SERVICES INC DE 5.02 03/05/12 CAS MEDICAL SYSTEMS INC DE 7.01,9.01 03/06/12 CASEY CONTAINER CORP NV 8.01,9.01 03/09/12 CEC ENTERTAINMENT INC KS 5.02 03/05/12 CENTENE CORP 1.01 03/09/12 CENTRAL EUROPEAN MEDIA ENTERPRISES LT 5.02 03/07/12 Cereplast Inc NV 3.01 03/06/12 Chefs' Warehouse, Inc. DE 7.01 03/09/12 CHESAPEAKE ENERGY CORP OK 8.01,9.01 03/05/12 CIBER INC DE 8.01,9.01 03/09/12 Citi Trends Inc 2.02,9.01 03/09/12 CLEAN WIND ENERGY TOWER, INC. NV 1.02,8.01,9.01 03/09/12 CNB CORP /MI/ MI 8.01 03/09/12 CNB FINANCIAL CORP/PA PA 5.02,9.01 01/01/12 COCA COLA BOTTLING CO CONSOLIDATED /D DE 2.02,9.01 03/07/12 CODEXIS INC 5.02 03/07/12 CODEXIS INC 5.02 01/19/12 AMEND COFFEE HOLDING CO INC NV 2.02,8.01,9.01 03/09/12 Cogdell Spencer Inc. MD 5.07 03/09/12 COLGATE PALMOLIVE CO DE 5.02 03/08/12 COLOMBIA ENERGY RESOURCES, INC. DE 1.01,5.02 03/06/12 COLOMBIA ENERGY RESOURCES, INC. DE 9.01 10/07/11 AMEND Colony Financial, Inc. MD 2.01 01/09/12 AMEND Commercial Vehicle Group, Inc. DE 5.02,9.01 03/05/12 COMMUNICATIONS SYSTEMS INC MN 5.02,9.01 03/01/12 COMMUNITY HEALTH SYSTEMS INC DE 1.01,2.03,9.01 03/06/12 CONSOLIDATED GRAPHICS INC /TX/ TX 7.01 03/09/12 CORCEPT THERAPEUTICS INC DE 2.02,7.01,9.01 03/05/12 CORINTHIAN COLLEGES INC 7.01 03/05/12 CORPORATE OFFICE PROPERTIES TRUST MD 8.01,9.01 03/08/12 COVANTA HOLDING CORP DE 1.01,9.01 03/08/12 CRC Health CORP DE 1.01,2.03,9.01 03/09/12 CRYO CELL INTERNATIONAL INC DE 5.02,9.01 03/05/12 Cryoport, Inc. NV 5.02 03/07/12 Cullman Bancorp, Inc. X1 8.01,9.01 03/09/12 Cyclacel Pharmaceuticals, Inc. DE 3.03 03/06/12 DAEGIS INC. DE 2.02,9.01 03/09/12 DCP Midstream Partners, LP DE 1.01,7.01,9.01 03/08/12 DEAN FOODS CO DE 5.02,9.01 03/07/12 DELCATH SYSTEMS INC DE 2.02,9.01 03/08/12 DEX ONE Corp DE 1.01,9.01 03/09/12 DigiPath,Inc. NV 1.01,3.02 03/05/12 DIODES INC /DEL/ DE 7.01,9.01 03/08/12 Dolan Co. DE 2.02,9.01 03/09/12 Domark International Inc. NV 1.01,2.01,5.01,5.02, 03/05/12 9.01 Domark International Inc. NV 9.01 02/29/12 AMEND DRAVCO MINING INC NV 7.01,8.01,9.01 03/08/12 DUKE REALTY CORP IN 1.01,5.03,9.01 03/06/12 DUKE REALTY LIMITED PARTNERSHIP/ IN 3.03,5.03,9.01 03/06/12 DYNEGY INC. DE 7.01,9.01 03/09/12 EDGEWATER TECHNOLOGY INC/DE/ DE 5.02 03/07/12 EL PASO CORP/DE DE 5.07,8.01,9.01 03/09/12 EMPIRE RESORTS INC DE 8.01,9.01 03/08/12 Encore Bancshares Inc TX 1.01,9.01 03/05/12 ENERGY PARTNERS LTD DE 2.02,9.01 03/08/12 Energy Recovery, Inc. DE 5.02,9.01 03/06/12 ENERGY XXI (BERMUDA) LTD D0 3.02,8.01,9.01 03/08/12 ENTREMED INC DE 2.02,9.01 03/09/12 EQUITY ONE, INC. 1.01,9.01 03/05/12 Excel Trust, Inc. MD 8.01,9.01 03/09/12 Exelis Inc. IN 5.02,9.01 03/06/12 Federal Home Loan Bank of Dallas 2.03,9.01 03/05/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/13/12 AMEND FEDERAL HOME LOAN MORTGAGE CORP 2.02,9.01 03/09/12 FERRELLGAS PARTNERS L P DE 2.02,7.01,9.01 03/09/12 FIRST BANCORP /NC/ NC 8.01,9.01 03/09/12 FIRST BUSINESS FINANCIAL SERVICES, IN WI 2.02,9.01 03/09/12 FIRST CORP /CN/ CO 4.01,9.01 02/06/12 AMEND FIRST DATA CORP DE 8.01,9.01 03/09/12 FIRST INDUSTRIAL REALTY TRUST INC MD 5.02 03/08/12 FIRST MARBLEHEAD CORP 8.01,9.01 03/02/12 First Trinity Financial CORP 2.01,9.01 12/28/11 AMEND Fixed Income Client Solutions LLC 8.01,9.01 03/06/12 FREEPORT MCMORAN COPPER & GOLD INC DE 8.01,9.01 03/09/12 FRESH START PRIVATE MANAGEMENT, INC. NV 4.01,9.01 02/07/12 AMEND Fushi Copperweld, Inc. NV 2.02,9.01 03/08/12 Game Face Gaming, Inc. FL 1.01,2.03,3.02,9.01 10/27/11 GASTAR EXPLORATION LTD 2.02,9.01 03/08/12 GateHouse Media, Inc. DE 2.02,9.01 03/08/12 GelTech Solutions, Inc. DE 1.01,3.02 03/08/12 GENELINK INC PA 4.01,9.01 03/05/12 Genpact LTD D0 5.02 03/06/12 GEORESOURCES INC CO 2.02,9.01 03/06/12 GETTY REALTY CORP /MD/ MD 8.01,9.01 03/07/12 Golden Minerals Co 2.02,9.01 03/08/12 GOLDMAN SACHS GROUP INC DE 9.01 03/05/12 GRAFTECH INTERNATIONAL LTD DE 8.01 03/06/12 GREEN ENVIROTECH HOLDINGS CORP. DE 1.01,1.02,5.02,9.01 03/05/12 GREEN EQUITY HOLDINGS, INC. NV 1.01 03/08/12 GREEN MOUNTAIN COFFEE ROASTERS INC DE 7.01,8.01,9.01 03/09/12 GreenHouse Holdings, Inc. NV 1.01,2.01 03/05/12 GSE SYSTEMS INC DE 5.02 03/09/12 GulfStar Energy Corp CO 3.02,5.02,8.01 03/08/12 HALLMARK FINANCIAL SERVICES INC NV 7.01,9.01 03/08/12 HALOZYME THERAPEUTICS INC DE 2.02,9.01 03/09/12 Hanesbrands Inc. MD 5.02 03/08/12 HARVEST NATURAL RESOURCES, INC. DE 3.02,7.01,8.01,9.01 03/08/12 HELICOS BIOSCIENCES CORP DE 8.01 03/09/12 HELMERICH & PAYNE INC DE 8.01,9.01 03/09/12 HIBBETT SPORTS INC 2.02,5.02,7.01,9.01 03/08/12 Hill International, Inc. DE 1.01,2.03,7.01,9.01 03/06/12 Horsehead Holding Corp 5.02,9.01 03/09/12 HURCO COMPANIES INC IN 2.02,9.01 03/09/12 Hyundai Auto Receivables Trust 2012-A DE 1.01,9.01 03/07/12 ICAD INC DE 3.01 03/08/12 ICAHN ENTERPRISES L.P. DE 2.02,9.01 03/09/12 ICONIX BRAND GROUP, INC. DE 5.02,9.01 03/05/12 IMPERIAL SUGAR CO /NEW/ TX 1.01 03/07/12 INCYTE CORP DE 5.02 03/08/12 Inland American Real Estate Trust, In MD 8.01,9.01 03/09/12 INSMED INC VA 5.03,9.01 03/06/12 INTEGRATED FREIGHT Corp FL 2.01,2.02,2.04,2.05, 03/09/12 2.06,4.02,5.02,8.01 Internal Fixation Systems, Inc. FL 1.01,1.02,2.03,3.02, 12/06/11 5.02,8.01,9.01 INTERNATIONAL GAME TECHNOLOGY NV 5.07 03/05/12 INTERNATIONAL PAPER CO /NEW/ NY 5.02,7.01 03/07/12 Interval Leisure Group, Inc. DE 5.02 03/06/12 INTEST CORP DE 2.02,5.02,9.01 03/06/12 ION GEOPHYSICAL CORP DE 5.02 03/09/12 KAISER ALUMINUM CORP DE 5.02,9.01 03/05/12 KEY ENERGY SERVICES INC MD 1.01,2.03,8.01,9.01 03/05/12 KITE REALTY GROUP TRUST MD 1.01,9.01 03/09/12 KITE REALTY GROUP TRUST MD 1.01,9.01 03/07/12 KMG CHEMICALS INC TX 2.02,9.01 03/09/12 KRONOS WORLDWIDE INC 7.01,9.01 03/08/12 LA JOLLA PHARMACEUTICAL CO DE 8.01 03/09/12 LaSalle Hotel Properties MD 7.01,8.01,9.01 03/09/12 LAYNE CHRISTENSEN CO DE 5.02 03/06/12 Lightstone Value Plus Real Estate Inv MD 8.01 03/09/12 LIONS GATE ENTERTAINMENT CORP /CN/ A1 1.01,5.02,9.01 03/05/12 LKQ CORP DE 5.02,5.03,9.01 03/05/12 LMI AEROSPACE INC MO 2.02,7.01,9.01 03/09/12 Longhai Steel Inc. NV 2.02,7.01,9.01 03/09/12 MAGNUM HUNTER RESOURCES CORP DE 1.01,9.01 03/05/12 Mantra Venture Group Ltd. 1.01,9.01 02/29/12 MARSH & MCLENNAN COMPANIES, INC. DE 1.01,2.03,9.01 03/07/12 MASCO CORP /DE/ DE 8.01,9.01 03/05/12 MDC HOLDINGS INC DE 5.02,9.01 03/08/12 MedClean Technologies, Inc. DE 5.02,9.01 03/02/12 MEDIACOM BROADBAND LLC DE 2.02,9.01 03/09/12 MEDIACOM LLC NY 2.02,9.01 03/09/12 Memorial Production Partners LP DE 5.02,7.01,8.01,9.01 03/07/12 MGP INGREDIENTS INC KS 9.01 12/27/11 AMEND MICROSTRATEGY INC DE 5.02 03/05/12 MISSISSIPPI POWER CO MS 8.01,9.01 03/05/12 MOCON INC MN 2.02,9.01 03/09/12 MOHEGAN TRIBAL GAMING AUTHORITY 1.01,2.03,3.03 03/05/12 Molycorp, Inc. DE 5.02 03/08/12 MOOG INC NY 1.01,2.03,9.01 03/05/12 MOVADO GROUP INC NY 1.01 03/05/12 MUSTANG GEOTHERMAL CORP 1.01,5.07,9.01 03/08/12 NanoTech Entertainment, Inc. NV 9.01 03/08/12 NATIONAL HEALTH INVESTORS INC MD 8.01,9.01 03/09/12 NATIONAL RURAL UTILITIES COOPERATIVE DC 5.02 03/05/12 NBC ACQUISITION CORP DE 8.01,9.01 03/07/12 Neuralstem, Inc. DE 7.01,9.01 03/07/12 NEW FRONTIER MEDIA INC CO 7.01,9.01 03/09/12 New Mountain Finance Corp DE 5.02,8.01 03/07/12 New Western Energy Corp NV 7.01,9.01 03/09/12 NEW YORK MORTGAGE TRUST INC MD 2.02,7.01,9.01 03/09/12 NEWMONT MINING CORP /DE/ DE 2.03,8.01,9.01 03/05/12 NEWS CORP 8.01,9.01 03/09/12 NORTH CENTRAL BANCSHARES INC IA 2.02,9.01 12/31/11 NOVASTAR FINANCIAL INC MD 5.02,9.01 03/09/12 NTS MORTGAGE INCOME FUND DE 8.01,9.01 03/08/12 NUTRA PHARMA CORP CA 5.02 03/07/12 Ocean Power Technologies, Inc. NJ 2.02,9.01 03/09/12 OFFICE DEPOT INC DE 8.01,9.01 03/09/12 OFFICEMAX INC DE 5.02 03/05/12 OHIO VALLEY BANC CORP OH 5.02,9.01 03/06/12 OIL DRI CORP OF AMERICA DE 2.02,9.01 03/09/12 OMNI VENTURES INC KS 5.02 03/08/12 OmniAmerican Bancorp, Inc. MD 7.01,9.01 03/09/12 ORBIT INTERNATIONAL CORP DE 2.02,9.01 03/08/12 Orchids Paper Products CO /DE DE 8.01,9.01 03/09/12 Organic Spice Imports, Inc. DE 1.01,3.02,9.01 03/05/12 OSIRIS THERAPEUTICS, INC. DE 2.02,9.01 03/09/12 OWENS ILLINOIS INC /DE/ DE 5.02 03/06/12 PALL CORP NY 2.02,9.01 03/07/12 PATHEON INC 2.02,7.01,9.01 03/09/12 PEABODY ENERGY CORP DE 5.02,8.01 03/07/12 PEREGRINE PHARMACEUTICALS INC DE 8.01,9.01 03/09/12 PEREGRINE PHARMACEUTICALS INC DE 2.02,7.01,9.01 03/09/12 Pershing Gold Corp. NV 5.02 03/06/12 PFF BANCORP INC DE 8.01,9.01 02/27/12 PIER 1 IMPORTS INC/DE DE 7.01,9.01 03/09/12 PINNACLE ENTERTAINMENT INC. DE 1.01,8.01,9.01 03/05/12 POSITIVEID Corp DE 1.01,2.03 03/07/12 POWER INTEGRATIONS INC CA 1.01 03/05/12 Power REIT MD 9.01 03/09/12 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 03/09/12 QLT INC/BC A1 5.02 03/05/12 QUALCOMM INC/DE DE 5.03,5.07,9.01 03/06/12 QUEST SOFTWARE INC CA 1.01,5.02,9.01 03/08/12 QUESTCOR PHARMACEUTICALS INC CA 7.01 03/09/12 RadNet, Inc. DE 2.02,9.01 03/08/12 RadNet, Inc. DE 2.02,9.01 03/08/12 AMEND RANGE RESOURCES CORP DE 1.01,2.03,9.01 03/09/12 RAYMOND JAMES FINANCIAL INC FL 1.01 03/09/12 REDWOOD TRUST INC MD 5.02 03/09/12 REINSURANCE GROUP OF AMERICA INC MO 7.01,9.01 03/09/12 Renewable Fuel Corp NV 3.02 03/01/12 RENT A CENTER INC DE 8.01,9.01 03/08/12 RETAIL PROPERTIES OF AMERICA, INC. MD 5.03,7.01,9.01 03/08/12 ROTATE BLACK INC NV 8.01 03/09/12 Ruths Hospitality Group, Inc. DE 1.01,5.02,9.01 03/08/12 Ryerson Holding Corp DE 2.02,9.01 03/09/12 RYERSON INC. DE 2.02,9.01 03/09/12 SEYCHELLE ENVIRONMENTAL TECHNOLOGIES NV 4.01,9.01 03/09/12 AMEND Shengkai Innovations, Inc. FL 5.03,8.01,9.01 03/09/12 SHUFFLE MASTER INC MN 1.01,9.01 03/05/12 SHUFFLE MASTER INC MN 2.02,9.01 03/05/12 Smart Kids Group Inc. FL 1.02,9.01 03/08/12 SMITH & WESSON HOLDING CORP NV 2.02,7.01,9.01 03/08/12 SOHU COM INC DE 5.02 03/07/12 AMEND Sono Resources, Inc. NV 7.01,9.01 03/09/12 SOUTHWEST OIL & GAS INCOME FUND IX-A DE 5.07 03/07/12 SOUTHWEST OIL & GAS INCOME FUND X-A L DE 5.07 03/07/12 SOUTHWEST OIL & GAS INCOME FUND X-B L DE 5.07 03/07/12 SOUTHWEST ROYALTIES INSTITUTIONAL INC DE 5.07 03/07/12 SOUTHWEST ROYALTIES INSTITUTIONAL INC DE 5.07 03/07/12 SOUTHWEST ROYALTIES INSTITUTIONAL INC DE 5.07 03/07/12 SPARE BACKUP, INC. DE 1.01 03/09/12 STAAR SURGICAL CO DE 5.02 03/08/12 STAG Industrial, Inc. 2.02,9.01 03/08/12 STAG Industrial, Inc. 5.02 03/05/12 STANDARD PARKING CORP DE 8.01,9.01 03/09/12 STANDARD PARKING CORP DE 2.02,8.01 03/07/12 AMEND Steadfast Income REIT, Inc. MD 9.01 12/22/11 AMEND STEIN MART INC FL 2.02,9.01 03/08/12 STERLING FINANCIAL CORP /WA/ WA 1.02 03/05/12 STRATEGIC HOTELS & RESORTS, INC 8.01,9.01 03/09/12 Sucampo Pharmaceuticals, Inc. 5.07,8.01 03/05/12 AMEND Sunway Global Inc. NV 4.01,9.01 12/15/11 SYPRIS SOLUTIONS INC DE 5.02 03/05/12 Tennessee Valley Authority 5.02 03/07/12 THOR INDUSTRIES INC DE 2.02,9.01 03/08/12 THORATEC CORP CA 5.02 03/08/12 TIDELANDS BANCSHARES INC 2.02,9.01 03/09/12 Tootie Pie Company, Inc. TX 5.02 03/05/12 TORON INC. NV 2.01 02/29/12 TPC Group Inc. DE 2.02,7.01,9.01 03/08/12 Tree.com, Inc. DE 8.01 03/06/12 TRICO BANCSHARES / CA 8.01,9.01 03/08/12 TRINITY INDUSTRIES INC DE 5.02,5.03,9.01 03/08/12 TRUSTMARK CORP MS 5.02 03/05/12 U. S. Premium Beef, LLC 7.01,9.01 03/09/12 UNITED COMMUNICATIONS PARTNERS INC NV 3.01,8.01 03/09/12 UNITED ONLINE INC DE 5.02 03/05/12 URANIUM RESOURCES INC /DE/ DE 8.01,9.01 03/09/12 URSTADT BIDDLE PROPERTIES INC MD 2.02,9.01 03/07/12 US CONCRETE INC DE 2.02,9.01 03/09/12 VelaTel Global Communications, Inc. NV 1.01,9.01 03/05/12 WaferGen Bio-systems, Inc. NV 5.02,9.01 03/08/12 Walter Energy, Inc. DE 8.01 03/06/12 WEIGHT WATCHERS INTERNATIONAL INC VA 5.02 03/06/12 WELLS MID-HORIZON VALUE-ADDED FUND I 7.01,9.01 03/09/12 WELLS REAL ESTATE FUND IX LP GA 7.01,9.01 03/09/12 WELLS REAL ESTATE FUND XIV LP GA 7.01,9.01 03/09/12 Wesco Aircraft Holdings, Inc 5.07 03/07/12 WESTERN DIGITAL CORP DE 1.01 03/02/12 WESTERN DIGITAL CORP DE 1.01,1.02,2.01,2.03, 03/06/12 3.02,5.02,7.01,9.01 WIDEPOINT CORP DE 1.01,2.01,2.03,5.02, 12/30/11 AMEND 8.01,9.01 WINN DIXIE STORES INC FL 1.01,1.02,2.01,3.01, 03/09/12 5.01,5.02,5.03,5.07, 9.01 WIRELESS RONIN TECHNOLOGIES INC MN 1.01,2.03,9.01 03/06/12 YELP INC DE 5.03,9.01
http://www.sec.gov/news/digest/2012/dig031212.htm
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