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Commission announcementsSEC Charges Montana-Based Paralegal and Her Father in Insider Trading Scheme The Securities and Exchange Commission today charged a former paralegal at a Kalispell, Mont.-based semiconductor company and her father with insider trading on confidential information about the 2009 acquisition of the company. The SEC alleges that Angela Milliard wired money to her boyfriend’s brokerage account so she could illegally trade on nonpublic details she learned while working as a legal assistant on Semitool Inc.’s then-secret deal with a Silicon Valley company. She also tipped her father Kenneth Milliard with the confidential information. He then traded on the nonpublic information and tipped his sons, who also made trades. The morning the acquisition was announced, the Milliards sold their shares for illicit profits of more than $67,000. Angela and Kenneth Milliard have agreed to settle the SEC’s charges by paying more than $175,000. “Angela Milliard exploited her access to confidential merger and acquisition information to illicitly enrich herself and her family,” said Marc Fagel, Director of the SEC’s San Francisco Regional Office. “As a member of a legal department entrusted with sensitive deal documents, she had a duty to safeguard that information, not trade on it.” According to the SEC’s complaint filed in federal court in Montana, Angela Milliard first gained access to confidential deal information in October 2009, when she learned that Semitool and the acquiring company – Applied Materials Inc. – had entered into advanced merger negotiations. After learning that the tender offer was to happen in mid-November at a nearly 30 percent premium over Semitool’s then-trading price, she wired money to her boyfriend’s brokerage account and used it to surreptitiously buy shares of Semitool. The SEC alleges that Angela Milliard tipped her father, who also purchased Semitool shares and encouraged his sons to do the same, which they did. They reaped their illegal insider trading profits following the public announcement of the merger on Nov. 17, 2009. The Milliards settled the SEC’s charges without admitting or denying the allegations. Angela Milliard agreed to pay full disgorgement of her trading profits totaling $20,355 plus prejudgment interest of $1,614.60 and a penalty of $54,022.11. Kenneth Milliard agreed to pay full disgorgement of his and his sons’ trading profits totaling $47,805 plus prejudgment interest of $3,765.19 and a penalty of $47,805.11. The SEC’s investigation was conducted by Jennifer J. Lee and Jina L. Choi of the San Francisco Regional Office. (Press Rel. 2012-84; LR-22357) Joint Statement on Regulation of OTC Derivatives MarketsThe Securities and Exchange Commission today released the following joint statement with other regulators: Leaders and senior representatives from key authorities with responsibility for the regulation of the over-the-counter (OTC) derivatives markets in their respective jurisdictions met on May 1, 2012 in Toronto. The meeting was hosted by the Ontario Securities Commission and its Chair, Mr. Howard I. Wetston, Q.C. The meeting included representatives from the Australian Securities and Investments Commission; Comissao de Valores Mobiliarios of Brazil; European Commission; European Securities and Markets Authority; Hong Kong Securities and Futures Commission; Japan Financial Services Agency; Ontario Securities Commission; l’Autorité des Marchés Financiers du Québec; Monetary Authority of Singapore; Swiss Financial Market Supervisory Authority; United States Commodity Futures Trading Commission; and United States Securities and Exchange Commission. The purpose of the meeting was to provide a forum for discussion among key OTC derivatives regulators responsible for introducing rules designed to give effect to implementing new international standards relating to OTC derivatives. This is the second time the authorities met to discuss technical issues relating to their implementation efforts. At the meeting, the authorities discussed a range of implementation issues, including: pre- and post-trade transparency, margin for uncleared derivatives, coordination of clearing mandates, access to data in trade repositories, and cross border clearing house crisis management. The participants welcomed the opportunity for continued discussion and sharing of information on implementation of OTC derivatives reform, with a view to further align regulatory requirements where possible. The authorities committed to continue to engage in bilateral discussions as necessary in their efforts to implement new requirements for OTC derivatives. (Press Rel. 2012-85) Commission MeetingsClosed Meeting on Monday, May 7, 2012 at 4:00 p.m.The subject matter of the May 7, 2012 Closed Meeting was: a personnel matter. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGSCommission Revokes Registration of Securities of Kamp-Rite Holdings, Inc. For Failure to Make Required Periodic FilingsOn May 7, 2012, the Commission revoked the registration of each class of registered securities of Kamp-Rite Holdings, Inc. (Kamp-Rite Holdings) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Kamp-Rite Holdings consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Kamp-Rite Holdings, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Kamp-Rite Holdings’ securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Kamp-Rite Holdings in In the Matter of Jetborne International, Inc., et al., Administrative Proceeding File No. 3-14809. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Jetborne International, Inc., et al., Administrative Proceeding File No. 3-14809, Exchange Act Release No. 66640, March 21, 2012. (Rel. 34-66929; File No. 3-14809) Commission Obtains Preliminary Injunction and Asset Freeze Against Massachusetts-Based Parties Who Misappropriated Investor FundsThe Securities and Exchange Commission announced today that it has charged Arnett L. Waters, a resident of Milton, Massachusetts, and two entities under his control, broker-dealer A.L. Waters Capital, LLC and investment adviser Moneta Management, LLC, with a scheme to defraud investors. The Commission’s Complaint alleges that, from at least 2009 to the present, the defendants used fictitious investment-related partnerships to draw in investors, misappropriate their investment money, and spend it on personal expenses. The action was filed in federal court in Boston, and on May 3, 2012, the court entered an order that, among other things, freezes the assets of the defendants and two other parties charged as relief defendants, including Arnett Waters’ wife. The Commission’s complaint alleges that the defendants have raised at least $780,000 from at least 8 investors. Among the investors was a church that placed a $500,000 investment with the defendants as recently the end of March 2012. According to the Commission’s complaint, the defendants promised the church that its money would be invested in a portfolio of securities, but instead a significant amount of the church’s investment was misappropriated by the defendants just days after the investment was made. The Commission also alleges that the defendants made multiple misrepresentations to investors, to the Financial Industry Regulatory Authority (“FINRA”) and to Commission staff to conceal the fact that investor money was misappropriated in a fraudulent scheme. The action was filed in federal court in Boston on May 1, 2012, and on May 3, 2012, the U.S. District Court in Massachusetts issued a preliminary injunction that, among other things, prohibits the defendants from continuing to violate certain federal securities laws and freezes the assets of the defendants and other parties named as relief defendants who are alleged to have received proceeds of the fraud. The parties agreed to this preliminary relief. The Court’s order further provides that the defendants are prohibited from soliciting or accepting additional investor funds and from altering or destroying any relevant documents, and also requires the defendants to provide an accounting of their assets and uses of investor funds. The Commission’s complaint alleges that the defendants violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and Section 17(a) of the Securities Act of 1933. The Commission also alleges that Arnett Waters and Moneta Management violated Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. The Complaint also named Arnett Waters’ wife, Janet Waters, and a third entity controlled by Arnett Waters, Port Huron Partners, L.P., as relief defendants. In its action, the Commission seeks the entry of a permanent injunction against the defendants, disgorgement of ill-gotten gains by both the defendants and relief defendants plus pre-judgment interest thereon, and the imposition of civil monetary penalties against the defendants. The Commission acknowledges the assistance of FINRA in this matter. [SEC v. A.L. Waters Capital, LLC, et al., Civil Action No. 12-cv-10783-DJC (District of Massachusetts)] (LR-22356) INVESTMENT COMPANY ACT RELEASESDestra Capital Investments LLC and Destra Unit Investment TrustA notice has been issued giving interested persons until May 29, 2012, to request a hearing on an application filed by Destra Capital Investments LLC (Destra) and Destra Unit Investment Trust for an order: (a) under Section 6(c) of the Investment Company Act of 1940 (Act) for exemptions from Sections 2(a)(32), 2(a)(35), 22(d) and 26(a)(2)(C) of the Act and Rule 22c-1 thereunder to permit certain unit investment trusts to impose sales charges on a deferred basis and waive the deferred sales charge in certain cases; (b) under Sections 11(a) and 11(c) of the Act to approve certain exchange and rollover privileges; (c) under Section 6(c) of the Act for an exemption from Section 14(a) of the Act to permit the unit investment trust series to publicly offer their units without Destra having to take for its own account or place with others $100,000 worth of units; and (d) under Section 6(c) of the Act for an exemption from Section 19(b) of the Act and Rule 19b-1 thereunder to permit the series to distribute capital gains resulting from the sale of portfolio securities within a reasonable time after receipt. (Rel. IC-30059 – May 3) SK Private Investment Fund 1998 LLC, et al.A notice has been issued giving interested persons until May 30, 2012 to request a hearing on an application filed by SK Private Investment Fund 1998 LLC, et al. for an order to exempt certain limited liability companies formed for the benefit of eligible employees of Skadden, Arps, Slate, Meagher & Flom from certain provisions of the Investment Company Act of 1940 (Act). Each company will be an “employees’ securities company” within the meaning of Section 2(a)(13) of the Act. (Rel. IC-30060 – May 4) SELF-REGULATORY ORGANIZATIONSAccelerated Approval of Proposed Rule ChangesA proposed rule change filed by Chicago Mercantile Exchange Inc. (CME) to Amend Rules Regarding IRS Clearing Member Obligations and Qualifications (File No. SR-CME-2012-17) 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 May 7. (Rel. 34-66912) A proposed rule change filed by Chicago Mercantile Exchange Inc. (CME) to Amend Rules Regarding CDS Clearing Member Obligations and Qualifications (File No. SR-CME-2012-16) 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 May 7. (Rel. 34-66914) A proposed rule change filed by ICE Clear Credit LLC (ICC) relating to a proposed rule change to membership qualifications (File No. SR-ICC-2012-05) 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 May 7. (Rel. 34-66922) Approval of Proposed Rule ChangesThe Commission approved a proposed rule change (SR-DTC-2012-02) filed by The Depository Trust Company under Section 19(b)(1) of the Securities Exchange Act of 1934. The approved rule change amends DTC’s Settlement Service Guide to change certain deadlines associated with processing issuances and maturity presentments of money market instruments. Publication is expected in the Federal Register during the week of May 7. (Rel. 34-66919) The Commission approved by a three-two vote a proposed rule change, as modified by Amendment No. 2 thereto, submitted by the Municipal Securities Rulemaking Board (SR-MSRB-2011-09) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder consisting of Interpretive Notice concerning the application of MSRB Rule G-17 to underwriters of municipal securities. Publication is expected in the Federal Register during the week of May 7. (Rel. 34-66927) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by National Stock Exchange, Inc. to amend its rules regarding routing of limit orders (SR-NSX-2012-05) 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 May 7. (Rel. 34-66923) A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-53) to amend the Exchange’s pricing schedule 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 May 7. (Rel. 34-66925) A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-56) to modify Phlx’s fee schedule governing routing from its NASDAQ OMX PSX facility 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 May 7. (Rel. 34-66926) Proposed Rule ChangesThe Financial Industry Regulatory Authority, Inc. filed a proposed rule change (SR-FINRA-2012-023) pursuant to Section 19(b)(1) of the Securities Exchange Act relating to FINRA’s Trading Activity Fee rate for transactions in covered equity securities. Publication is expected in the Federal Register during the week of May 7. (Rel. 34-66924) Designation of Longer Period For Commission Action on Proposed Rule ChangesThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on proceedings whether to disapprove proposed rule changes (SR-NYSE-2011-55; SR-NYSEAmex-2011-84) filed by the New York Stock Exchange LLC and NYSE Amex LLC adopting new NYSE Rule 107C to establish a Retail Liquidity Program on a pilot basis to attract additional retail order flow to the Exchange for NYSE-listed Securities and new NYSE Amex Equities Rule 107C to establish a Retail Liquidity Program on a pilot basis to attract additional retail order flow to the Exchange for NYSE Amex Equities traded securities, respectively. Publication is expected in the Federal Register during the week of May 7. (Rel. 34-66928) 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 CEPHEID, 904 CARIBBEAN DRIVE, SUNNYVALE, CA, 94089, 4085414191 - 5,750,000 ($217,722,500.00) Equity, (File 333-181137 - May. 4) (BR. 10A) S-8 FRANKLIN ELECTRIC CO INC, 400 E SPRING ST, BLUFFTON, IN, 46714, 2608242900 - 1,200,000 ($60,780,000.00) Equity, (File 333-181138 - May. 4) (BR. 10A) S-8 LYDALL INC /DE/, ONE COLONIAL RD, P O BOX 151, MANCHESTER, CT, 06045-0151, 2036461233 - 2,937,083 ($31,603,013.00) Equity, (File 333-181139 - May. 4) (BR. 05A) S-8 CHEMICAL FINANCIAL CORP, 235 E MAIN ST, MIDLAND, MI, 48640, 989-839-5350 - 1,000,000 ($22,200,000.00) Equity, (File 333-181140 - May. 4) (BR. 07C) S-8 WEST BANCORPORATION INC, 1601 22ND ST, WEST DES MOINES, IA, 50266, 5152222309 - 800,000 ($7,675,200.00) Equity, (File 333-181146 - May. 4) (BR. 07B) S-1 Barrier 4, Inc., 6200 EAST CANYON RIM ROAD, SUITE 205, ANAHEIM HILLS, CA, 92808, 714-731-8867 - 8,000,000 ($8,000.00) Equity, (File 333-181147 - May. 4) (BR. ) S-8 TILLY'S, INC., 10 WHATNEY, IRVINE, CA, 92618, (949) 609-5599 - 0 ($62,617,710.00) Equity, (File 333-181148 - May. 4) (BR. 09) S-1 Deyu Agriculture Corp., 9TH FLOOR, BLOCK 8, AOLINJIATAI BUILDING, 1 KEHUIQIAN STREET, CHAOYANG DISTRICT, BEIJING, F4, 10086, 86 10 5524 1802 - 250,000 ($412,500.00) Equity, (File 333-181149 - May. 4) (BR. 04B) S-8 WILLIS GROUP HOLDINGS PLC, C/O WILLIS GROUP LIMITED, 51 LIME STREET, LONDON ENGLAND, X0, EC3M 7DQ, 44-20-3124-6000 - 0 ($499,000,586.00) Equity, (File 333-181150 - May. 4) (BR. 01B) S-1 Maxum Energy Logistics Partners, LP, 20 HORSENECK LANE, GREENWICH, CT, 06830, 2038611200 - 0 ($230,000,000.00) Equity, (File 333-181151 - May. 4) (BR. 04) S-1 Crescent Financial Bancshares, Inc., 3600 GLENWOOD AVENUE, SUITE 300, RALEIGH, NC, 27612-4937, (919) 659-9000 - 24,900 ($24,900,000.00) Equity, (File 333-181152 - May. 4) (BR. 07B) S-3ASR AAR CORP, 1100 N WOOD DALE RD, WOOD DALE, IL, 60191, 6302272000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-181153 - May. 4) (BR. 05A) S-3ASR Domtar CORP, 395 DE MAISONNEUVE BLVD. W., MONTREAL, A8, H3A 1L6, (514) 848-5555 - 0 ($54,075,905.78) Equity, (File 333-181154 - May. 4) (BR. 04A) S-3ASR American Water Works Company, Inc., 1025 LAUREL OAK ROAD, VOORHEES, NJ, 08043, 856-346-8200 - 0 ($0.00) Other, (File 333-181155 - May. 4) (BR. 02A) S-8 3DICON CORP, 7507 S SANDUSKY, TULSA, OK, 74136, 918-492-5802 - 5,000,000 ($1,150,000.00) Equity, (File 333-181156 - May. 4) (BR. 11C) S-3 VICAL INC, 10390 PACIFIC CENTER COURT, ., SAN DIEGO, CA, 92121-4340, 858-646-1100 - 0 ($150,000,000.00) Unallocated (Universal) Shelf, (File 333-181157 - May. 4) (BR. 01A) S-1 As Seen On TV, Inc., 14044 ICOT BLVD., CLEARWATER, FL, 33760, 727-288-2738 - 50,491,190 ($48,500,147.00) Equity, (File 333-181158 - May. 4) (BR. 05B) S-8 INTRICON CORP, 1260 RED FOX ROAD, ARDEN HILLS, MN, 55112, 6516369770 - 300,000 ($2,029,500.00) Equity, (File 333-181160 - May. 4) (BR. 10B) S-8 FIRST HORIZON NATIONAL CORP, 165 MADISON AVENUE, MEMPHIS, TN, 38103, 9018186232 - 8,000,000 ($74,280,000.00) Equity, (File 333-181162 - May. 4) (BR. 07C) S-8 AMERICAN AXLE & MANUFACTURING HOLDINGS INC, ONE DAUCH DRIVE, DETROIT, MI, 48211-1198, 3137583600 - 5,000,000 ($48,700,000.00) Equity, (File 333-181163 - May. 4) (BR. 05A) S-3 INLAND REAL ESTATE CORP, 2901 BUTTERFIELD RD, OAK BROOK, IL, 60523, 6302188000 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-181164 - May. 4) (BR. 08B) S-8 PREFERRED APARTMENT COMMUNITIES INC, 3625 CUMBERLAND BOULEVARD, SUITE 400, ATLANTA, GA, 30339, 770 818 4100 - 533,214 ($4,180,397.76) Equity, (File 333-181165 - May. 4) (BR. 08C) S-8 ENTROPIC COMMUNICATIONS INC, 6290 SEQUENCE DRIVE, SAN DIEGO, CA, 92121, 858-768-3600 - 0 ($9,154,000.00) Equity, (File 333-181166 - May. 4) (BR. 10A) S-8 MCCLATCHY CO, LEGAL DEPARTMENT, 2100 Q STREET, SACRAMENTO, CA, 95852, 9163211846 - 0 ($34,041,600.00) Equity, (File 333-181167 - May. 4) (BR. 05B) S-8 BROADWIND ENERGY, INC., 47 E. CHICAGO AVENUE, SUITE 332, NAPERVILLE, IL, 60540, 630-637-0315 - 0 ($4,320,000.00) Equity, (File 333-181168 - May. 4) (BR. 06C) S-1 Bluefire Renewables, Inc., 31 MUSICK, IRVINE, CA, 92618, 949-588-3767 - 5,500,000 ($1,925,000.00) Equity, (File 333-181169 - May. 4) (BR. 06B) S-8 BROADWIND ENERGY, INC., 47 E. CHICAGO AVENUE, SUITE 332, NAPERVILLE, IL, 60540, 630-637-0315 - 0 ($507,783.60) Equity, (File 333-181170 - May. 4) (BR. 06C) S-8 Gentium S.p.A., (39) 031 385111 - 2,200,000 ($21,054,000.00) Equity, (File 333-181171 - May. 4) (BR. 01A) S-11 MONMOUTH REAL ESTATE INVESTMENT CORP, 3499 ROUTE 9 N, SUITE 3-C, JUNIPER BUSINESS PLAZA, FREEHOLD, NJ, 07728, 7325779996 - 0 ($57,500,000.00) Equity, (File 333-181172 - May. 4) (BR. 08B) S-3ASR MID AMERICA APARTMENT COMMUNITIES INC, 6584 POPLAR AVE, STE 340, MEMPHIS, TN, 38138, 9016826600 - 0 ($0.00) Equity, (File 333-181173 - May. 4) (BR. 08B) S-3 DURECT CORP, 10240 BUBB RD, CUPERTINO, CA, 95014, 4087771417 - 0 ($50,000,000.00) Unallocated (Universal) Shelf, (File 333-181174 - May. 4) (BR. 01A) S-8 GEO GROUP INC, 621 NW 53RD STREET, SUITE 700, BOCA RATON, FL, 33487, 561-893-0101 - 0 ($10,330,000.00) Equity, (File 333-181175 - May. 4) (BR. 06C) S-8 GENERAL ELECTRIC CO, 3135 EASTON TURNPIKE, W3F, FAIRFIELD, CT, 06828, 203-373-2211 - 425,000,000 ($8,330,000,000.00) Equity, (File 333-181177 - May. 4) (BR. 10B) S-8 FIRST BANCORP /PR/, 1519 PONCE DE LEON AVE, SANTURCE, SAN JUAN, PR, 00908-0146, 7877298200 - 0 ($30,307,150.08) Equity, (File 333-181178 - May. 4) (BR. 07B) S-8 ORTHOFIX INTERNATIONAL N V, 7 ABRAHAM DE VEERSTRAAT, CURACAO, NETHERLANDS ANTILLES, P8, 00000, 0 ($5,958,750.00) Equity, (File 333-181179 - May. 4) (BR. 10B) S-8 BOINGO WIRELESS INC, 10960 WILSHIRE BLVD., SUITE 800, LOS ANGELES, CA, 90024, 310-586-5180 - 0 ($15,702,283.00) Equity, (File 333-181180 - May. 4) (BR. 11A) S-8 Domtar CORP, 395 DE MAISONNEUVE BLVD. W., MONTREAL, A8, H3A 1L6, (514) 848-5555 - 701,645 ($61,365,871.70) Equity, (File 333-181181 - May. 4) (BR. 04A) S-3 TRAVELCENTERS OF AMERICA LLC, 400 CENTRE STREET, NEWTON, MA, 02458, 617-964-8389 - 0 ($56,900,000.00) Unallocated (Universal) Shelf, (File 333-181182 - May. 4) (BR. 02A) N-2 NUVEEN TEXAS QUALITY INCOME MUNICIPAL FUND, 333 W WACKER DR, CHICAGO, IL, 60606, 312-917-8146 - 1,000 ($16,540.00) Equity, (File 333-181183 - May. 4) (BR. 18) F-1 CEVA INVESTMENTS LTD, 25 ST GEORGE ST, LONDON W1S 1FS U K, X0, 00000, 44-207-881-4281 - 0 ($400,000,000.00) Equity, (File 333-181184 - May. 4) (BR. ) S-3ASR HEALTH CARE REIT INC /DE/, 4500 DORR STREET, TOLEDO, OH, 43615, 419-247-2800 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-181185 - May. 4) (BR. 08B) S-8 QLIK TECHNOLOGIES INC, 150 N. RADNOR CHESTER ROAD, SUITE E220, RADNOR, PA, 19087, 888-828-9768 - 3,164,918 ($90,453,356.44) Equity, (File 333-181186 - May. 4) (BR. 03C) 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 8.01 05/03/12 AARON'S INC GA 5.07 05/01/12 ACACIA RESEARCH CORP DE 8.01 05/02/12 ACCELLENT INC 8.01,9.01 05/01/12 ACETO CORP NY 2.02,9.01 05/03/12 ACTIVE NETWORK INC DE 5.02 05/01/12 ADVANCED ENERGY INDUSTRIES INC DE 5.07 05/02/12 AEOLUS PHARMACEUTICALS, INC. DE 1.01 04/30/12 AES CORP DE 2.02,7.01,9.01 05/04/12 AETNA INC /PA/ PA 1.01,8.01,9.01 05/01/12 Affinity Gaming, LLC NV 8.01,9.01 05/04/12 AFFYMETRIX INC DE 1.01 05/03/12 AIS FUTURES FUND IV LP DE 3.02 04/30/12 Aleris International, Inc. DE 9.01 05/04/12 Alexza Pharmaceuticals Inc. DE 8.01,9.01 05/03/12 ALLIANCE BANKSHARES CORP 8.01,9.01 05/03/12 ALLIANT ENERGY CORP WI 2.02,9.01 05/04/12 ALLSTATE LIFE INSURANCE CO 8.01,9.01 05/04/12 Alon Refining Krotz Springs, Inc. DE 2.02,9.01 05/03/12 Alon USA Energy, Inc. DE 2.02,9.01 05/03/12 AMEREN CORP MO 2.02,8.01,9.01 05/04/12 American Capital Mortgage Investment MD 9.01 05/03/12 American Electric Technologies Inc FL 3.02,5.02,5.03,9.01 04/30/12 AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 05/04/12 AMERICAN INTERNATIONAL VENTURES INC / DE 1.01,5.02,9.01 05/01/12 AMERICAN LIFE HOLDING CO INC 5.03,9.01 04/16/12 AMERICAN REALTY CAPITAL - RETAIL CENT MD 8.01,9.01 05/04/12 American Realty Capital Daily Net Ass MD 5.02 05/04/12 American Realty Capital Global Daily 5.02 05/04/12 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 8.01,9.01 05/04/12 AMERICAN REALTY CAPITAL NEW YORK RECO MD 8.01,9.01 05/04/12 American Realty Capital Trust III, In MD 8.01,9.01 05/04/12 American Realty Capital Trust, Inc. DE 8.01,9.01 05/03/12 AMERICAN RIVER BANKSHARES CA 1.01,9.01 04/30/12 AMERICAN VANGUARD CORP DE 2.02,9.01 05/03/12 AMERIGON INC MI 2.02,9.01 05/04/12 Ameris Bancorp GA 1.01,2.01,9.01 02/24/12 AMEND AMERISOURCEBERGEN CORP DE 8.01,9.01 05/01/12 Aon plc X0 2.02,9.01 05/04/12 APARTMENT INVESTMENT & MANAGEMENT CO MD 2.02,9.01 05/03/12 ARBOR REALTY TRUST INC MD 2.02,9.01 05/02/12 ARCHER DANIELS MIDLAND CO DE 5.03,9.01 05/03/12 ARDENT MINES LTD 1.01 05/03/12 Ares Commercial Real Estate Corp MD 1.01,9.01 05/01/12 ARISTOCRAT GROUP CORP. FL 8.01 05/04/12 Art Design, Inc. CO 5.07 05/04/12 ASSISTED LIVING CONCEPTS INC NV 8.01 04/26/12 ASTEC INDUSTRIES INC TN 5.07 05/03/12 ASTRONICS CORP NY 5.07 05/02/12 AXION INTERNATIONAL HOLDINGS, INC. CO 1.01,2.03,9.01 04/30/12 AXIS CAPITAL HOLDINGS LTD 8.01 05/04/12 BAKERS FOOTWEAR GROUP INC MO 2.02,7.01,9.01 04/30/12 BALLANTYNE STRONG, INC. DE 2.02,5.07,8.01,9.01 05/02/12 BALLY TECHNOLOGIES, INC. NV 8.01,9.01 05/02/12 BALLY TECHNOLOGIES, INC. NV 5.07 12/07/11 AMEND BALQON CORP. NV 1.01,2.03,3.02 04/30/12 BANK OF AMERICA CORP /DE/ DE 8.01,9.01 05/04/12 BankFinancial CORP 7.01,9.01 05/04/12 BARNES GROUP INC DE 5.07 05/04/12 BioMed Realty Trust Inc MD 8.01 05/04/12 BIRCH BRANCH INC CO 4.01 05/01/12 BLACK HILLS CORP /SD/ SD 2.02,9.01 05/03/12 BLYTH INC DE 2.02 05/04/12 BODY CENTRAL CORP 2.02,9.01 05/03/12 BRINKER INTERNATIONAL INC DE 5.02,9.01 05/04/12 BRINKS CO VA 5.07 05/04/12 BROADWIND ENERGY, INC. DE 5.03,5.07,9.01 05/04/12 BUCKEYE PARTNERS, L.P. DE 2.02,5.02,9.01 05/02/12 Bunge LTD 8.01,9.01 05/01/12 Business Development Corp of America MD 8.01,9.01 05/04/12 CAMELOT CORP NV 5.02 05/03/12 Capella Healthcare, Inc. DE 2.02,9.01 05/04/12 CARLISLE COMPANIES INC DE 5.07 05/02/12 CASCADE BANCORP OR 5.02,8.01,9.01 04/30/12 CATALYST HEALTH SOLUTIONS, INC. DE 2.02,9.01 05/03/12 CBS CORP DE 5.02 05/02/12 CC Media Holdings Inc 2.02,9.01 05/04/12 CENTURY CASINOS INC /CO/ DE 2.02 03/31/12 Cereplast Inc NV 3.01 05/01/12 CF Industries Holdings, Inc. DE 2.02,9.01 05/04/12 CHAMPION INDUSTRIES INC WV 2.04 05/02/12 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 05/04/12 Chelsea Therapeutics International, L DE 8.01 05/02/12 CHENIERE ENERGY INC DE 2.02,9.01 05/04/12 Cheniere Energy Partners, L.P. DE 2.02,9.01 05/04/12 CHESAPEAKE ENERGY CORP OK 8.01,9.01 05/03/12 CHESAPEAKE UTILITIES CORP DE 5.07 05/02/12 CHICAGO BRIDGE & IRON CO N V 5.02,5.07,9.01 05/02/12 China Information Technology, Inc. 2.02,9.01 05/04/12 China Solar & Clean Energy Solutions, NV 5.02 04/26/12 CHURCH & DWIGHT CO INC /DE/ DE 2.02,9.01 05/04/12 CINCINNATI BELL INC OH 5.02,5.07 04/30/12 CIRCLE STAR ENERGY CORP. NV 7.01,9.01 05/04/12 CIRCOR INTERNATIONAL INC DE 5.07 05/03/12 CIT GROUP INC DE 1.01,9.01 05/04/12 Cleantech Solutions International, In DE 7.01,9.01 04/30/12 CLEAR CHANNEL COMMUNICATIONS INC TX 2.02,9.01 05/04/12 Clear Channel Outdoor Holdings, Inc. DE 2.02,9.01 05/04/12 Clearwire Corp /DE DE 1.01,9.01 05/04/12 CMS ENERGY CORP MI 7.01,9.01 05/04/12 COAST DISTRIBUTION SYSTEM INC DE 1.01,9.01 05/01/12 COFFEE HOLDING CO INC NV 8.01,9.01 05/04/12 COHU INC DE 1.01 04/30/12 COLE KENNETH PRODUCTIONS INC NY 2.02,9.01 05/04/12 Colony Financial, Inc. MD 5.07 05/02/12 COLUMBIA LABORATORIES INC DE 2.02,9.01 05/04/12 COMMERCIAL BARGE LINE CO DE 2.02,9.01 05/03/12 Consumer Capital Group, Inc. 1.01,9.01 04/30/12 Cornerstone OnDemand Inc DE 5.02 04/30/12 COWEN GROUP, INC. DE 2.02,9.01 05/04/12 CPI CORP DE 2.02,9.01 05/04/12 CubeSmart MD 2.02,7.01,9.01 05/03/12 CUBIC ENERGY INC TX 5.02 04/30/12 Cyalume Technologies Holdings, Inc. DE 4.01 05/01/12 CYPRESS SEMICONDUCTOR CORP /DE/ DE 1.01 04/30/12 DELMARVA POWER & LIGHT CO /DE/ DE 8.01 05/04/12 DEMAND MEDIA INC. DE 5.02 04/30/12 DENBURY RESOURCES INC DE 7.01,9.01 05/01/12 DERMA SCIENCES, INC. PA 5.02,9.01 05/01/12 Diamond Resorts Corp MD 1.01 04/27/12 Domtar CORP DE 8.01 05/04/12 Domtar CORP DE 5.02,5.07,9.01 05/02/12 DOVER Corp DE 5.07,8.01 05/03/12 DREW INDUSTRIES INC DE 7.01,9.01 05/03/12 Duke Energy CORP DE 2.02,9.01 05/04/12 Eastern Insurance Holdings, Inc. PA 2.02,9.01 05/03/12 ECB BANCORP INC NC 2.02,3.01,9.01 04/30/12 ECOLAB INC DE 5.03,5.07,9.01 05/03/12 EdgeWave, Inc. DE 1.01,2.03,9.01 04/30/12 EdgeWave, Inc. DE 2.02,9.01 05/04/12 Emergent BioSolutions Inc. DE 2.02,9.01 05/03/12 EMMIS COMMUNICATIONS CORP IN 1.01 05/02/12 Encom Group, Inc. NV 4.01,9.01 05/03/12 ENCORE WIRE CORP DE 5.07 05/01/12 ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 05/04/12 ENPRO INDUSTRIES, INC NC 5.02,5.07,9.01 05/02/12 ENTERPRISE FINANCIAL SERVICES CORP DE 2.02,7.01,9.01 05/03/12 ENTREMED INC DE 3.01,5.02,5.07,9.01 04/30/12 EQUIFAX INC GA 5.07,7.01,9.01 05/03/12 ERESEARCHTECHNOLOGY INC /DE/ DE 1.01,2.03 05/01/12 ESTEE LAUDER COMPANIES INC DE 2.02,9.01 05/04/12 EXACTECH INC FL 5.07 05/03/12 Exelis Inc. IN 2.02,7.01,9.01 05/04/12 EXELON CORP PA 2.02,7.01,9.01 05/04/12 EXPEDITORS INTERNATIONAL OF WASHINGTO WA 5.02,5.07 05/02/12 FEDERAL REALTY INVESTMENT TRUST MD 5.07 05/02/12 FIRSTBANK CORP MI 5.07 04/23/12 Flagstone Reinsurance Holdings, S.A. N4 9.01 03/31/12 FMC TECHNOLOGIES INC DE 5.03,5.07,9.01 05/02/12 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 05/04/12 FOSTER WHEELER AG V8 5.03,5.07 05/01/12 FRANKLIN ELECTRIC CO INC IN 7.01,9.01 05/04/12 FRANKLIN ELECTRIC CO INC IN 7.01,9.01 05/04/12 FRANKLIN ELECTRIC CO INC IN 5.02,9.01 05/04/12 Franklin Financial Corp VA 2.02,8.01,9.01 05/03/12 Fresh Harvest Products, Inc. NJ 3.02 05/04/12 GANNETT CO INC /DE/ DE 5.07 05/01/12 GAP INC DE 5.02,7.01,9.01 05/04/12 GASTAR EXPLORATION LTD 7.01,9.01 05/04/12 GateHouse Media, Inc. DE 2.02,9.01 05/03/12 GENELINK INC PA 4.01,9.01 04/24/12 AMEND GENERAL ELECTRIC CAPITAL CORP CT 8.01,9.01 02/22/12 General Growth Properties, Inc. DE 1.01,9.01 04/30/12 GeoEye, Inc. DE 7.01,9.01 05/04/12 GEOPETRO RESOURCES CO CA 5.02,8.01 04/30/12 GERMAN AMERICAN BANCORP, INC. IN 2.02,5.02,8.01,9.01 04/30/12 GIBRALTAR INDUSTRIES, INC. DE 2.02,5.07,7.01,9.01 05/03/12 GLADSTONE COMMERCIAL CORP MD 5.07 05/03/12 Global Telecom & Technology, Inc. DE 1.01,2.01,2.03,3.02, 04/30/12 8.01,9.01 Gold & Gemstone Mining Inc. NV 2.01,5.01,5.02,5.06, 05/04/12 9.01 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 05/04/12 Great Wolf Resorts, Inc. DE 2.01,3.01,3.02,3.03, 05/04/12 5.01,5.02,5.03,9.01 GSI GROUP INC A3 1.01,2.03,9.01 05/01/12 GTX INC /DE/ DE 5.07 05/03/12 GULFMARK OFFSHORE INC DE 2.02,9.01 05/02/12 GULFMARK OFFSHORE INC DE 7.01,9.01 05/03/12 HAMPSHIRE GROUP LTD DE 1.01 04/30/12 HARLAND CLARKE HOLDINGS CORP DE 2.02,9.01 05/04/12 HARRIS TEETER SUPERMARKETS, INC. NC 2.02,9.01 05/03/12 HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 05/02/12 HEARTLAND FINANCIAL USA INC DE 8.01,9.01 05/04/12 Heavy Earth Resources, Inc. 1.01,2.01,3.02,5.01, 05/03/12 5.06,9.01 Helios & Matheson Information Technol DE 5.02 05/02/12 HERBALIFE LTD. E9 1.01 05/02/12 HEXCEL CORP /DE/ DE 5.02,5.07,9.01 05/03/12 HIGHLANDS BANCORP, INC. NJ 5.07 05/03/12 HOLLY ENERGY PARTNERS LP DE 7.01,9.01 05/03/12 HOME PROPERTIES INC MD 2.02,9.01 05/03/12 HOPFED BANCORP INC DE 2.02,9.01 05/03/12 HORNBECK OFFSHORE SERVICES INC /LA DE 8.01 04/30/12 Horsehead Holding Corp 2.02,9.01 05/04/12 HORTON D R INC /DE/ DE 1.01,9.01 05/01/12 Huron Consulting Group Inc. DE 5.02,5.07 05/04/12 InsPro Technologies Corp DE 8.01 04/30/12 INSULET CORP DE 5.07 05/02/12 INTEST CORP DE 2.02,9.01 05/02/12 IntraLinks Holdings, Inc. DE 8.01 05/01/12 Invesco Mortgage Capital Inc. MD 5.07 05/04/12 INVESTORS TITLE CO NC 2.02,9.01 05/04/12 Iowa Renewable Energy, LLC IA 7.01,8.01,9.01 05/04/12 Islet Sciences, Inc NV 1.01,3.02,9.01 04/30/12 ISTA PHARMACEUTICALS INC DE 2.02,9.01 05/03/12 ISTAR FINANCIAL INC MD 8.01,9.01 05/04/12 ITRON INC /WA/ WA 5.07 05/04/12 ITT Corp IN 2.02,7.01,9.01 05/04/12 J2 GLOBAL, INC. DE 2.02,7.01,9.01 05/03/12 JOHNSON OUTDOORS INC WI 2.02,9.01 05/04/12 KAISER ALUMINUM CORP DE 5.02 04/30/12 KENT FINANCIAL SERVICES INC NV 1.02,9.01 05/03/12 KIMBERLY CLARK CORP DE 5.07 05/03/12 KINDER MORGAN MANAGEMENT LLC DE 8.01,9.01 05/03/12 KITE REALTY GROUP TRUST MD 1.01,2.03,9.01 04/30/12 KONA GRILL INC DE 5.07,8.01 05/03/12 Koppers Holdings Inc. PA 2.02,5.07,9.01 05/03/12 L & L ENERGY, INC. NV 8.01,9.01 05/04/12 LAM RESEARCH CORP DE 8.01 05/04/12 LEUCADIA NATIONAL CORP NY 8.01,9.01 05/04/12 LEXARIA CORP. NV 5.07,7.01,9.01 05/04/12 LEXINGTON REALTY TRUST MD 2.02,7.01,9.01 05/03/12 Liberator, Inc. FL 8.01 05/04/12 LIGAND PHARMACEUTICALS INC DE 5.02 05/04/12 Lightyear Network Solutions, Inc. NV 5.02 05/01/12 LIMITED BRANDS INC DE 5.02,9.01 05/03/12 LIMITED BRANDS INC DE 2.02,7.01,9.01 04/28/12 LIQUIDITY SERVICES INC DE 7.01,9.01 05/03/12 LITTELFUSE INC /DE DE 5.02 04/30/12 Location Based Technologies, Inc. NV 1.01,3.02 05/01/12 Location Based Technologies, Inc. NV 8.01,9.01 05/04/12 Location Based Technologies, Inc. NV 8.01,9.01 05/04/12 Lone Star Gold, Inc. NV 1.01 04/30/12 Longhai Steel Inc. NV 5.02,9.01 05/04/12 LOWES COMPANIES INC NC 5.02 05/04/12 AMEND LUCID INC NY 1.01,2.04,9.01 04/30/12 Lumos Networks Corp. VA 2.02,9.01 05/03/12 LUNA INNOVATIONS INC DE 5.02 05/01/12 Luxeyard, Inc. DE 5.03,9.01 05/02/12 MABCURE INC. NV 5.02 05/04/12 Madison Square Garden Co DE 2.02,9.01 05/04/12 MAGELLAN PETROLEUM CORP /DE/ DE 5.07 05/04/12 AMEND MAGICJACK VOCALTEC LTD L3 8.01 05/04/12 MAGNUM HUNTER RESOURCES CORP DE 7.01,8.01,9.01 05/03/12 MANITOWOC CO INC WI 5.02,5.07,9.01 05/01/12 MANNKIND CORP DE 5.02 04/30/12 MANPOWER INC /WI/ WI 5.07 05/02/12 MAP Pharmaceuticals, Inc. DE 2.02,9.01 05/04/12 Marina Biotech, Inc. DE 1.01 04/30/12 MARTEN TRANSPORT LTD DE 5.02,5.07,9.01 05/01/12 MATERIAL SCIENCES CORP DE 2.02,9.01 05/04/12 MATRIX SERVICE CO DE 5.02 05/01/12 MAXIMUS INC VA 2.02,9.01 05/04/12 Mead Johnson Nutrition Co DE 5.07 05/04/12 MEADOWBROOK INSURANCE GROUP INC MI 2.02,7.01,9.01 04/30/12 MEDIA SCIENCES INTERNATIONAL INC 8.01 05/04/12 Medical Care Technologies Inc. NV 1.01,3.02,9.01 04/27/12 Medidata Solutions, Inc. DE 8.01,9.01 05/04/12 MERCHANTS BANCSHARES INC DE 5.07 05/01/12 MERRILL LYNCH DEPOSITOR INC PREFERRED NY 8.01,9.01 05/01/12 METLIFE INC DE 5.02,9.01 05/01/12 MEXICO FUND INC MD 7.01,9.01 04/30/12 MFA FINANCIAL, INC. MD 2.02,7.01 05/04/12 MICRO IMAGING TECHNOLOGY, INC. CA 1.02 05/03/12 MID AMERICA APARTMENT COMMUNITIES INC TN 8.01,9.01 05/04/12 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 05/04/12 MIDDLEFIELD BANC CORP OH 3.02,8.01 04/30/12 MIDDLESEX WATER CO NJ 2.02,9.01 05/04/12 ML TREND-FOLLOWING FUTURES FUND L.P. DE 5.03,9.01 04/30/12 MOBILE MINI INC DE 2.02,9.01 05/04/12 MOCON INC MN 2.02,9.01 05/04/12 Monarch Financial Holdings, Inc. VA 8.01,9.01 05/04/12 Monarch Financial Holdings, Inc. VA 5.07 05/04/12 MONMOUTH REAL ESTATE INVESTMENT CORP MD 5.07 05/03/12 Monotype Imaging Holdings Inc. DE 5.02 05/01/12 Morningstar, Inc. IL 7.01 05/04/12 MRC GLOBAL INC. DE 2.02,9.01 05/04/12 MUELLER INDUSTRIES INC DE 5.07,8.01,9.01 05/03/12 MURPHY OIL CORP /DE DE 5.07 05/11/11 AMEND MYLAN INC. PA 5.07 05/04/12 National American University Holdings DE 8.01,9.01 04/30/12 National CineMedia, Inc. DE 5.02,5.07,9.01 05/01/12 NATIONAL FUEL GAS CO NJ 2.02,9.01 05/03/12 NATIONAL FUEL GAS CO NJ 7.01,9.01 05/04/12 NATIONAL HEALTH INVESTORS INC MD 1.01,2.03,9.01 05/01/12 NATIONAL HEALTHCARE CORP DE 5.07 05/03/12 NAVIGATORS GROUP INC DE 2.02,7.01,9.01 05/03/12 NeurogesX Inc CA 3.01 05/03/12 NEWS CORP 1.01,1.02,2.03,9.01 05/02/12 NEWS CORP 8.01,9.01 05/04/12 NEXTERA ENERGY INC FL 8.01,9.01 05/04/12 NGL Energy Partners LP DE 1.01,3.02,5.02,8.01, 05/01/12 9.01 NorthStar Real Estate Income Trust, I MD 7.01 05/03/12 NORTHWEST NATURAL GAS CO OR 2.02,9.01 05/04/12 NORTHWEST PIPE CO OR 2.02,9.01 04/30/12 NOVELLUS SYSTEMS INC CA 8.01 05/04/12 Oak Valley Bancorp CA 8.01 05/04/12 OFFICEMAX INC DE 5.07 04/30/12 OmniAmerican Bancorp, Inc. MD 2.02,9.01 05/04/12 Onteco Corp NV 1.01,9.01 04/30/12 OPTIMER PHARMACEUTICALS INC 5.02 04/30/12 ORIENT EXPRESS HOTELS LTD D0 2.02,9.01 05/03/12 Orient Paper Inc. NV 7.01,9.01 05/04/12 Oryon Holdings, Inc. NV 5.03,9.01 05/03/12 OSI RESTAURANT PARTNERS, LLC DE 5.02,7.01,9.01 05/04/12 OURPETS CO CO 2.02,9.01 05/02/12 OxySure Systems Inc 1.01 05/03/12 OYO GEOSPACE CORP DE 2.02,8.01,9.01 05/03/12 P F CHANGS CHINA BISTRO INC 8.01,9.01 05/03/12 P F CHANGS CHINA BISTRO INC 8.01 05/01/12 PACIFICHEALTH LABORATORIES INC DE 2.02,9.01 05/03/12 PALMETTO BANCSHARES INC SC 2.02,9.01 05/04/12 Parametric Sound Corp NV 5.02,8.01,9.01 05/01/12 PARKWAY PROPERTIES INC MD 1.01 04/30/12 PEABODY ENERGY CORP DE 5.05,5.07 05/01/12 PENN TREATY AMERICAN CORP PA 8.01,9.01 05/03/12 PennyMac Mortgage Investment Trust MD 2.02,9.01 05/03/12 PEPCO HOLDINGS INC DE 2.02,7.01,9.01 05/03/12 PEPCO HOLDINGS INC DE 7.01,8.01,9.01 05/04/12 PEPSICO INC NC 5.07,8.01 05/01/12 PGT, Inc. DE 5.07 04/30/12 Phillips Edison - ARC Shopping Center MD 9.01 02/23/12 AMEND PHOENIX COMPANIES INC/DE DE 2.02,9.01 05/02/12 PIONEER BANKSHARES INC/VA 2.02,9.01 05/04/12 PIPER JAFFRAY COMPANIES DE 1.01,9.01 02/05/12 Plandai Biotechnology, Inc. NV 7.01 05/03/12 PNM RESOURCES INC NM 2.02,9.01 05/04/12 POLYMEDIX, INC DE 5.07 05/01/12 POOL CORP DE 5.07,7.01,9.01 05/04/12 POTOMAC ELECTRIC POWER CO VA 8.01 03/26/12 POW! ENTERTAINMENT, INC. DE 5.02 05/02/12 POWER ONE INC DE 5.07 05/01/12 PPL Corp 2.02,7.01,9.01 05/03/12 PREMIER EXHIBITIONS, INC. FL 5.02,5.03,9.01 04/30/11 PRO DEX INC CO 2.02,9.01 05/04/12 PROCTER & GAMBLE Co OH 7.01 05/04/12 Progressive Care Inc. DE 1.01,2.03,3.02,9.01 04/30/12 Progressive Care Inc. DE 1.01,3.02,9.01 04/30/12 PRUDENTIAL BANCORP INC OF PENNSYLVANI 2.01,9.01 05/04/12 Psychic Friends Network Inc. NV 3.02,5.02 04/26/12 Pyrotec, Inc. DE 1.01,5.01,5.02,9.01 04/23/12 AMEND QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 3.01 04/30/12 RALCORP HOLDINGS INC /MO MO 1.01,2.03,9.01 05/04/12 RAMCO GERSHENSON PROPERTIES TRUST MD 8.01,9.01 05/04/12 Reliance Bancshares, Inc. MO 8.01 05/04/12 RESOURCE AMERICA, INC. DE 2.02,9.01 05/03/12 RITE AID CORP DE 8.01,9.01 05/03/12 RLI CORP IL 5.07,8.01,9.01 05/03/12 ROOMLINX INC NV 4.01 04/30/12 ROOMLINX INC NV 4.01,9.01 04/24/12 AMEND Rovi Corp DE 5.02 04/30/12 ROWAN COMPANIES PLC DE 1.01,2.01,2.03,3.01, 05/04/12 5.01,5.02,9.01 RVPlus Inc. DE 1.01,3.02,5.01,5.02, 05/04/12 9.01 SABINE ROYALTY TRUST TX 2.02,9.01 05/03/12 SALISBURY BANCORP INC CT 7.01 05/04/12 SANFILIPPO JOHN B & SON INC DE 5.05,9.01 05/01/12 SCANA CORP SC 5.07 05/03/12 SCIENTIFIC LEARNING CORP DE 2.02 05/03/12 AMEND SEABOARD CORP /DE/ DE 2.02,9.01 05/04/12 SELECT MEDICAL HOLDINGS CORP 5.07 05/01/12 Select Notes Trust LT 2004-1 DE 8.01,9.01 05/01/12 SELECTICA INC DE 2.02,9.01 05/03/12 Shea Homes Limited Partnership CA 7.01,9.01 05/04/12 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 2.02,9.01 05/04/12 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 7.01,9.01 05/04/12 SHORE BANCSHARES INC MD 8.01 05/03/12 SIGNATURE GROUP HOLDINGS, INC. NV 2.02,7.01,9.01 05/04/12 Silver Falcon Mining, Inc. DE 8.01 05/04/12 SIRONA DENTAL SYSTEMS, INC. DE 2.02,9.01 05/04/12 Six Flags Entertainment Corp 5.02,5.07 05/02/12 Skajaquoda Group inc. DE 4.01 05/04/12 SKYWEST INC UT 5.07 05/01/12 Smart Kids Group Inc. FL 1.01,2.01,3.02,5.01, 04/30/12 5.02,5.03,9.01 SOLITRON DEVICES INC DE 1.01 03/30/12 Sono Resources, Inc. NV 2.01,8.01,9.01 05/03/12 Southern National Bancorp of Virginia VA 2.02,8.01,9.01 05/03/12 SOUTHSIDE BANCSHARES INC TX 2.02,9.01 05/03/12 SOUTHWEST GAS CORP CA 2.02 05/04/12 SOUTHWESTERN ENERGY CO DE 2.02,9.01 05/03/12 SOUTHWESTERN ENERGY CO DE 7.01 05/04/12 SOUTHWESTERN ENERGY CO DE 7.01 05/04/12 Spring Creek Healthcare Systems, Inc. NV 5.02 04/30/12 SPRINT NEXTEL CORP KS 5.02 05/04/12 ST JUDE MEDICAL INC MN 5.02,5.07,9.01 05/03/12 STAAR SURGICAL CO DE 7.01,9.01 05/02/12 Steadfast Income REIT, Inc. MD 9.01 02/17/12 AMEND STEEL PARTNERS HOLDINGS L.P. DE 7.01,9.01 05/04/12 STERLING BANCORP NY 8.01 05/03/12 STURM RUGER & CO INC DE 5.07,8.01 05/02/12 SUFFOLK BANCORP NY 2.02,9.01 05/04/12 SunCoke Energy, Inc. 5.02 05/03/12 SUNERGY INC NV 4.01,9.01 05/02/12 SUNPEAKS VENTURES, INC. 1.01,9.01 05/02/12 Sunstone Hotel Investors, Inc. MD 5.07 05/01/12 SUSQUEHANNA BANCSHARES INC PA 7.01,9.01 05/04/12 SUTRON CORP VA 1.01,8.01,9.01 04/30/12 SYMANTEC CORP DE 5.02 04/30/12 SYNERGY PHARMACEUTICALS, INC. DE 1.01,9.01 05/03/12 SYNTROLEUM CORP DE 8.01,9.01 05/03/12 TECO ENERGY INC FL 5.03,5.07,9.01 05/02/12 TELEPHONE & DATA SYSTEMS INC /DE/ DE 2.02,9.01 05/04/12 TELKONET INC UT 5.02,9.01 05/01/12 TENET HEALTHCARE CORP NV 1.01,2.03,8.01,9.01 04/30/12 Territorial Bancorp Inc. MD 8.01,9.01 04/04/12 Territorial Bancorp Inc. MD 8.01,9.01 05/04/12 Thompson Creek Metals CO Inc. A6 2.02,9.01 05/03/12 THOR INDUSTRIES INC DE 2.02,9.01 05/02/12 THRESHOLD PHARMACEUTICALS INC DE 2.02,9.01 05/03/12 THUNDER MOUNTAIN GOLD INC NV 1.01,3.02,9.01 05/01/12 TICC Capital Corp. MD 2.02,9.01 05/04/12 TIDEWATER INC DE 8.01,9.01 05/01/12 Tonix Pharmaceuticals Holding Corp. NV 5.03,5.07,7.01,9.01 04/30/12 TOR MINERALS INTERNATIONAL INC DE 1.02,3.02,9.01 05/04/12 TOTAL SYSTEM SERVICES INC GA 5.02,5.07,9.01 05/01/12 Tower Group, Inc. DE 5.07 05/03/12 TRANS LUX CORP DE 5.03,9.01 05/03/12 TransMontaigne Partners L.P. DE 8.01,9.01 05/04/12 TREDEGAR CORP VA 2.02,9.01 05/03/12 Triangle Petroleum Corp NV 7.01 04/30/12 TRIPLE-S MANAGEMENT CORP 5.07 05/01/12 TRIUMPH GROUP INC DE 2.02,9.01 05/02/12 TUTOR PERINI Corp MA 2.02,9.01 05/04/12 UFP TECHNOLOGIES INC DE 2.02,9.01 05/03/12 ULTRALIFE CORP DE 2.02,9.01 05/03/12 UNITED RENTALS INC /DE DE 5.02,7.01,9.01 05/04/12 UNITED STATES CELLULAR CORP DE 2.02,9.01 05/04/12 UNWIRED PLANET, INC. DE 2.01,9.01 04/30/12 US AIRWAYS GROUP INC DE 8.01,9.01 04/30/12 UWHARRIE CAPITAL CORP NC 2.02,9.01 05/04/12 VALERO ENERGY CORP/TX DE 5.02 05/03/12 VALERO ENERGY CORP/TX DE 5.07 05/03/12 VALIDUS HOLDINGS LTD 5.02,9.01 05/02/12 VECTREN CORP IN 8.01 05/04/12 VECTREN CORP IN 8.01 05/04/12 VERMILLION, INC. DE 8.01,9.01 04/27/12 VICON INDUSTRIES INC /NY/ NY 2.02,9.01 05/04/12 Viper Resources,Inc. NV 1.01,3.02 04/30/12 VIRTUAL PIGGY, INC. DE 1.01,3.02,9.01 04/25/12 VSE CORP DE 5.07 05/01/12 Warner Chilcott plc 2.02,9.01 05/04/12 WARREN RESOURCES INC MD 5.02,9.01 05/02/12 WASHINGTON POST CO DE 2.02,9.01 03/31/12 WAUSAU PAPER CORP. WI 5.02 05/01/12 WEB.COM GROUP, INC. DE 5.07 05/02/12 WELLS CORE OFFICE INCOME REIT INC 9.01 03/22/12 AMEND Winthrop Realty Trust OH 2.02,7.01,8.01,9.01 05/03/12 WOLVERINE WORLD WIDE INC /DE/ MI 1.01,9.01 05/01/12 Wonder Auto Technology, Inc NV 5.02 04/30/12 WORLD FUEL SERVICES CORP FL 7.01,9.01 05/04/12 XCEL ENERGY INC MN 7.01 05/04/12 YELP INC DE 2.02,9.01 05/02/12 ZAGG Inc NV 2.02,9.01 05/03/12 ZaZa Energy Corp DE 5.02 05/01/12 Zevotek, Inc DE 5.02,9.01 03/19/12 ZILLOW INC WA 7.01 05/04/12 ZOLTEK COMPANIES INC DE 2.02,9.01 05/03/12
http://www.sec.gov/news/digest/2012/dig050712.htm
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