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Commission AnnouncementsSecurities and Exchange Commission Suspends Trading in the Securities of Six Issuers For Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on May 18, 2012 and terminating at 11:59 p.m. EDT on June 1, 2012.
The Commission temporarily suspended trading in the securities of these six issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-67015) James McNamara Named Managing Executive of SEC’s Division of Trading and MarketsThe Securities and Exchange Commission today announced that James P. McNamara has been named to the newly-created position of Managing Executive of the SEC’s Division of Trading and Markets. Mr. McNamara is currently an Assistant Director in the SEC’s Office of Financial Management. In his new position, Mr. McNamara will be responsible for the administrative and operational aspects of the Division of Trading and Markets, including human resources, budget, information technology, and strategic planning. “The breadth of Jamey’s management experience, including his expertise with respect to managing and improving business processes in the financial, human resources, and IT areas, will be invaluable to the Division,” said Robert Cook, Director of the SEC’s Division of Trading and Markets. Mr. McNamara previously worked in the Division of Trading and Markets from 2003 to 2005, when he served as a Branch Chief for Administration. He then moved to the Office of Financial Management and became a Branch Chief for Budget Formulation and Performance Management until 2006, when he left to work in the private sector. Mr. McNamara returned to the SEC’s Office of Financial Management in 2010, serving as the agency’s Budget Officer for a year before becoming an Assistant Director. “I am honored to have been selected for this position. I look forward to returning to the Division and working with Robert and the talented staff in Trading and Markets,” Mr. McNamara said. Mr. McNamara began his federal service at the U.S. Department of Justice, where he worked for 10 years in positions of increasing responsibility in human resources management and budget formulation in the agency’s largest litigating division. Mr. McNamara received his bachelor’s degree in history from Brown University. (Rel. 2012-98) Commission MeetingsClosed Meeting on Thursday, May 24, 2012 at 2:00 p.m.The subject matter of the Closed Meeting scheduled for Thursday, May 24, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; consideration of amicus participation; and other matters relating to enforcement proceedings. Change In The Meeting: Time ChangeThe Closed Meeting scheduled for Friday, May 18, 2012 at 11:00 a.m. has been changed to Friday, May 18, 2012 at 3:00 p.m. 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 Orders Hearings on Registration Suspension or Revocation Against Six Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of six companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the six issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-67016; File No. 3-14886) Alan Berkun SanctionedAlan Berkun (Berkun) has been barred from association with a broker-dealer and from participating in an offering of penny stock and ordered to cease and desist from committing, causing, or aiding and abetting violations of the antifraud and other provisions of the securities laws. The sanctions were ordered in an administrative proceeding before an administrative law judge. Berkun’s wrongdoing occurred in connection with the securities of Americom Networks International, Inc. (Americom), while he was associated with Preston Langley Asset Management (Preston Langley), a broker-dealer. At the instruction of Berkun and others, registered representatives at Preston Langley used fraudulent means to sell Americom stock to customers at inflated prices. Their practices included high pressure sales tactics, a “no net selling” policy, unauthorized purchases in customer accounts, false claims of inside information, and predictions about Americom’s future stock price based on misrepresentations and omissions. Berkun has also been convicted of conspiracy to commit securities, mail, and wire fraud and conspiracy to commit money laundering in a parallel criminal proceeding arising out of the same facts at issue in the administrative proceeding. His sentence included a prison term of seventy-two months and restitution of $3,684,199. (Rel. 33-9324, 34-67019; File No. 3-10624) SELF-REGULATORY ORGANIZATIONSApproval of Proposed Rule ChangesThe Commission granted approval of a proposed rule change (SR-NYSEArca-2012-24) 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 AdvisorShares Global Echo ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of May 21. (Rel. 34-67003) The Commission approved a proposed rule change (SR-EDGX-2012-08) filed by EDGX Exchange, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to amendments to Rule 2.11 that establish the authority to cancel orders and describe the operation of an error account. Publication is expected in the Federal Register during the week of May 21. (Rel. 34-67010) The Commission approved a proposed rule change (SR-EDGA-2012-09) filed by EDGA Exchange, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to amendments to Rule 2.11 that establish the authority to cancel orders and describe the operation of an error account. Publication is expected in the Federal Register during the week of May 21. (Rel. 34-67011) A proposed rule change filed by Options Clearing Corporation (OCC) relating to stock loan buy-in and sell-out rules (File No. SR-OCC-2012-04) has been approved 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 21. (Rel. 34-67013) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-64) to institute an excess order fee 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 21. (Rel. 34-67004) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2012-43) extending its program that allows transactions to take place at a price that is below $1 per option contract until May 31, 2013 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 21. (Rel. 34-67005) A proposed rule change filed by NYSE Amex LLC (SR-NYSEAmex-2012-30) extending its program that allows transactions to take place at a price that is below $1 per option contract until May 31, 2013 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 21. (Rel. 34-67006) A proposed rule change filed by NASDAQ OMX BX, Inc. to institute an excess order fee (SR-BX-2012-033) 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 21. (Rel. 34-67007) A proposed rule change filed by NASDAQ OMX BX, Inc. (SR-BX-2012-036) to amend the Grandfathered Rules, BOX Trading Rules, BX By-Laws, BX Rules and remove the BOXR Operating Agreement and By-Laws 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 May 21. (Rel. 34-67009) A proposed rule change filed by NASDAQ OMX BX, Inc. (SR-BX-2012-035) to remove the BOX Fee Schedule in effect while BOX was a facility of the Exchange 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 May 21. (Rel. 34-67012) Proposed Rule ChangesC2 Options Exchange, Incorporated has filed a proposed rule change (SR-C2-2012-011) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the adoption of a disaster recovery rule. Publication is expected in the Federal Register during the week of May 21. (Rel. 34-67008) NASDAQ OMX BX, Inc. filed a proposed rule change (SR-BX-2012-034), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, with respect to the authority of the Exchange or NASDAQ Execution Services to cancel orders when a technical or system issue occurs and to describe the operation of an error account. Publication is expected in the Federal Register during the week of May 21. (Rel. 34-67014) 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-4 DTS, INC., 5220 LAS VIRGENES ROAD, CALABASAS, CA, 91302, 818 436-1000 - 0 ($82,169,080.00) Equity, (File 333-181475 - May. 17) (BR. 03A) S-1 KYTHERA BIOPHARMACEUTICALS INC, 27200 WEST AGOURA ROAD, SUITE 200, CALABASAS, CA, 91301, 818-587-4500 - 0 ($86,250,000.00) Equity, (File 333-181476 - May. 17) (BR. 01) S-8 Vringo Inc, 18 EAST 16TH STREET, NEW YORK, NY, 10003, 646-861-5575 - 14,139,342 ($40,906,925.00) Equity, (File 333-181477 - May. 17) (BR. 11A) S-8 Alpha Natural Resources, Inc., ONE ALPHA PLACE, P.O. BOX 16429, BRISTOL, VA, 24209, 276-619-4410 - 6,400,000 ($85,568,000.00) Equity, (File 333-181478 - May. 17) (BR. 09B) S-8 SUPERNUS PHARMACEUTICALS INC, 1550 E GUDE DR, ROCKVILLE, MD, 20850, 301-838-2500 - 0 ($19,513,606.00) Equity, (File 333-181479 - May. 17) (BR. 01) S-8 PostRock Energy Corp, 210 PARK AVENUE, SUITE 2750, OKLAHOMA CITY, OK, 73102, (405)600-7704 - 0 ($6,540,000.00) Equity, (File 333-181480 - May. 17) (BR. 04B) S-8 HEARTLAND FINANCIAL USA INC, 1398 CENTRAL AVE, DUBUQUE, IA, 52001, 5635892000 - 500,000 ($9,255,000.00) Equity, (File 333-181481 - May. 17) (BR. 07C) S-8 SCIQUEST INC, 6501 WESTON PARKWAY, SUITE 200, CARY, NC, 27513, 9196592100 - 0 ($14,050,000.00) Equity, (File 333-181482 - May. 17) (BR. 03A) S-8 BOSTON PROPERTIES INC, 800 BOYLSTON STREET, SUITE 1900, BOSTON, MA, 02199, 6172363300 - 0 ($689,390,000.00) Equity, (File 333-181483 - May. 17) (BR. 08C) S-8 LUMINEX CORP, 12212 TECHNOLOGY BLVD, 512-219-8020, AUSTIN, TX, 78727, 0 ($96,965,000.00) Equity, (File 333-181484 - May. 17) (BR. 10B) S-8 LUMINEX CORP, 12212 TECHNOLOGY BLVD, 512-219-8020, AUSTIN, TX, 78727, 0 ($11,825,000.00) Equity, (File 333-181485 - May. 17) (BR. 10B) S-1 NANOPHASE TECHNOLOGIES CORPORATION, 453 COMMERCE ST, BURR RIDGE, IL, 60521, 6303231200 - 0 ($2,392,500.00) Equity, (File 333-181486 - May. 17) (BR. 06B) S-8 Roundy's, Inc., 875 EAST WISCONSIN AVENUE, MILWAUKEE, WI, 53202, 414-231-5000 - 0 ($57,018,155.04) Equity, (File 333-181487 - May. 17) (BR. 02) S-8 FIDELITY D & D BANCORP INC, BLAKELY & DRINKER STREETS, DUNMORE, PA, 18512, 5703428281 - 500,000 ($10,350,000.00) Equity, (File 333-181488 - May. 17) (BR. 07B) S-8 FIDELITY D & D BANCORP INC, BLAKELY & DRINKER STREETS, DUNMORE, PA, 18512, 5703428281 - 500,000 ($10,350,000.00) Equity, (File 333-181489 - May. 17) (BR. 07B) S-8 ALLEGHENY TECHNOLOGIES INC, 1000 SIX PPG PLACE, PITTSBURGH, PA, 15222, 4123942800 - 2,500,000 ($94,600,000.00) Equity, (File 333-181491 - May. 17) (BR. 06A) S-8 SCIQUEST INC, 6501 WESTON PARKWAY, SUITE 200, CARY, NC, 27513, 9196592100 - 0 ($14,050,000.00) Equity, (File 333-181492 - May. 17) (BR. 03A) N-2 REAVES UTILITY INCOME FUND, C/O ALPS FUND SERVICES, INC., P.O. BOX 328, DENVER, CO, 80201-0328, 3036232577 - 38,009 ($1,000,016.79) Equity, (File 333-181494 - May. 17) (BR. 18) S-8 PINNACLE ENTERTAINMENT INC., 8918 SPANISH RIDGE AVENUE, LAS VEGAS, NV, 89148, 702-541-7777 - 0 ($20,080,000.00) Equity, (File 333-181495 - May. 17) (BR. 08B) S-3 VENTRUS BIOSCIENCES INC, 99 HUDSON STREET, 5TH FLOOR, NEW YORK, NY, 10013, (212) 554-4388 - 948,378 ($10,299,385.08) Equity, (File 333-181498 - May. 17) (BR. 01B) S-3ASR ASHFORD HOSPITALITY TRUST INC, 14185 DALLAS PARKWAY SUITE 1100, DALLAS, TX, 75254, 9724909600 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-181499 - May. 17) (BR. 08C) S-B FEDERATIVE REPUBLIC OF BRAZIL, MINIST DA FEZANDA ESPLANADA DOS MINIST, BLOCO P ED ANEXO SALA A 071.70048-900, BRASILIA-DF, D5, 70071-970, 01155614123960 - 0 ($9,244,695,387.00) Debt, (File 333-181500 - May. 17) (BR. DN) S-4 LyondellBasell Industries N.V., 1221 MCKINNEY ST, SUITE 700, HOUSTON, TX, 77010, 713-309-7200 - 0 ($3,000,000,000.00) Non-Convertible Debt, (File 333-181501 - May. 17) (BR. 06A) S-1 InspireMD, Inc., 3 MENORAT HAMOR ST., TEL AVIV, L3, 67448, 972-3-6917691 - 18,584,517 ($14,495,923.26) Equity, (File 333-181502 - May. 17) (BR. 10A) S-4 LyondellBasell Industries N.V., 1221 MCKINNEY ST, SUITE 700, HOUSTON, TX, 77010, 713-309-7200 - 0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-181503 - May. 17) (BR. 06A) S-1 CKE Inc., 6307 CARPINTERIA AVE., SUITE A, CARPINTERIA, CA, 93013, 805-745-7500 - 0 ($100,000,000.00) Equity, (File 333-181504 - May. 17) (BR. ) RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- 11 GOOD ENERGY INC DE 1.01,5.02,9.01 05/15/12 AAON INC NV 5.07,8.01,9.01 05/17/12 ACADIA REALTY TRUST MD 5.07 05/16/12 ACCURAY INC DE 5.02,9.01 05/11/12 ADVANCE AUTO PARTS INC DE 2.02,9.01 05/17/12 AEROPOSTALE INC 2.02,9.01 05/17/12 ALBEMARLE CORP VA 2.05,9.01 05/17/12 Alkermes plc. 2.02,9.01 05/17/12 Alliqua, Inc. FL 5.02,7.01,9.01 05/17/12 Alliqua, Inc. FL 5.02,9.01 05/15/12 ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 5.02,5.03,9.01 05/12/12 ALLSTATE CORP DE 7.01,9.01 05/17/12 Alpha Natural Resources, Inc. DE 5.02,5.07,9.01 05/17/12 Altisource Portfolio Solutions S.A. N4 5.07 05/16/12 ALTRIA GROUP, INC. VA 5.02,5.07,7.01,9.01 05/16/12 AMERIANA BANCORP IN 7.01,9.01 05/17/12 AMERIANA BANCORP IN 7.01,9.01 05/17/12 AMEND AMERICAN FINANCIAL GROUP INC OH 5.07,9.01 05/16/12 AMERICAN PUBLIC EDUCATION INC DE 5.07 05/11/12 American Realty Capital Trust III, In MD 2.02,9.01 05/17/12 American Water Works Company, Inc. DE 5.07,8.01 05/11/12 Ancestry.com Inc. DE 5.02,9.01 05/15/12 ANNALY CAPITAL MANAGEMENT INC MD 5.07 05/26/11 AMEND APPLIED INDUSTRIAL TECHNOLOGIES INC OH 1.01,1.02,2.03,9.01 05/15/12 APPLIED MATERIALS INC /DE DC 2.02,9.01 05/17/12 APRICUS BIOSCIENCES, INC. NV 5.07 05/15/12 ARCH COAL INC DE 1.01,2.03,7.01,9.01 05/16/12 Archipelago Learning, Inc. DE 1.02,2.01,3.01,3.03, 05/17/12 5.01,5.02,5.03,8.01, 9.01 ARENA PHARMACEUTICALS INC DE 8.01,9.01 05/16/12 ARKANSAS BEST CORP /DE/ DE 7.01 05/17/12 ARQULE INC DE 7.01,9.01 05/17/12 ARUBA NETWORKS, INC. DE 2.02,9.01 05/17/12 ARUBA NETWORKS, INC. DE 5.02 05/11/12 ASHLAND INC. KY 8.01,9.01 05/17/12 ASHLAND INC. KY 5.02,9.01 05/17/12 Aspect FuturesAccess LLC DE 3.02 05/14/12 ASSURED GUARANTY LTD D0 2.02,8.01 05/17/12 ASTORIA FINANCIAL CORP DE 5.07 05/16/12 ASTRO MED INC /NEW/ RI 5.07,9.01 05/15/12 AtriCure, Inc. DE 5.02,5.07,8.01 05/15/12 AUTODESK INC DE 2.02,9.01 05/17/12 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 05/17/12 Bank of Marin Bancorp CA 5.07 05/15/12 BAR HARBOR BANKSHARES ME 5.07 05/15/12 Beacon Federal Bancorp, Inc. MD 5.07 05/17/12 BEAR STEARNS DEPOSITOR INC TRUST CERT 8.01,9.01 05/15/12 BEL FUSE INC /NJ NJ 5.04 05/17/12 Bella Petrellas Holdings, Inc. FL 5.03,5.07,9.01 05/14/12 AMEND Beneficial Mutual Bancorp Inc X1 7.01,9.01 05/17/12 Beneficial Mutual Bancorp Inc X1 5.07 05/17/12 Bio-Matrix Scientific Group, Inc. DE 3.03 05/11/12 BIOSPECIFICS TECHNOLOGIES CORP DE 7.01,9.01 05/17/12 BLACKBAUD INC 5.02 05/11/12 BLUEFLY INC DE 5.07 05/16/12 BLYTH INC DE 5.07,7.01,8.01,9.01 05/16/12 BON TON STORES INC PA 2.02,9.01 05/17/12 BOYD GAMING CORP NV 1.01,7.01,9.01 05/16/12 BPZ RESOURCES, INC. TX 7.01,9.01 05/17/12 BROCADE COMMUNICATIONS SYSTEMS INC DE 2.02,9.01 05/17/12 BUCKLE INC NE 2.02,9.01 05/17/12 Burlington Coat Factory Investments H 1.01,2.03,9.01 05/16/12 C & F FINANCIAL CORP VA 8.01,9.01 05/16/12 CACHE INC FL 5.07 05/17/12 CAMBIUM LEARNING GROUP, INC. 5.07 05/16/12 CAMERON INTERNATIONAL CORP DE 1.01,2.03,7.01,9.01 05/14/12 CAPITAL ONE FINANCIAL CORP DE 8.01,9.01 05/17/12 CARDTRONICS INC DE 5.07 05/15/12 CASTLE A M & CO MD 5.02 05/14/12 Castle Brands Inc FL 1.01,5.02,9.01 05/11/12 CATERPILLAR INC DE 7.01 05/17/12 CENTRAL EUROPEAN DISTRIBUTION CORP DE 5.02 05/16/12 CENTRAL VALLEY COMMUNITY BANCORP CA 5.07 05/16/12 CERADYNE INC DE 7.01,9.01 05/16/12 CHESAPEAKE ENERGY CORP OK 2.03,7.01,9.01 05/15/12 CHILDRENS PLACE RETAIL STORES INC 2.02,9.01 05/17/12 China Housing & Land Development, Inc NV 2.02,7.01,9.01 03/30/12 China Internet Cafe Holdings Group, I NV 2.02,9.01 05/16/12 CHINA JO-JO DRUGSTORES, INC. 1.01,8.01,9.01 05/15/12 CHINA SHEN ZHOU MINING & RESOURCES, I NV 2.02,7.01,9.01 05/14/12 CHINACAST EDUCATION CORP DE 3.01,5.02,8.01,9.01 05/14/12 CITIZENS SOUTH BANKING CORP DE 1.01,5.02,5.07,8.01, 05/13/12 9.01 CLEARONE COMMUNICATIONS INC UT 8.01,9.01 05/16/12 CNB CORP /MI/ MI 5.07,8.01 05/17/12 CODORUS VALLEY BANCORP INC PA 5.07 05/15/12 COLE CREDIT PROPERTY TRUST IV, INC. MD 1.01,2.01,2.03,9.01 05/14/12 Colfax CORP DE 5.07 05/16/12 COMMUNITY BANK SHARES OF INDIANA INC IN 5.07 05/15/12 COMMUNITY HEALTH SYSTEMS INC DE 5.07 05/15/12 COMPUTER SCIENCES CORP NV 2.02,9.01 05/17/12 Constant Contact, Inc. DE 1.01 05/11/12 CORNERSTONE THERAPEUTICS INC DE 1.01,9.01 05/14/12 CREDIT ACCEPTANCE CORP MI 5.07 05/17/12 CROSSTEX ENERGY INC DE 7.01,9.01 05/16/12 CROSSTEX ENERGY LP DE 7.01,9.01 05/16/12 CSS INDUSTRIES INC DE 2.02,9.01 05/16/12 CVB FINANCIAL CORP CA 7.01,8.01,9.01 05/16/12 DARA BioSciences, Inc. DE 5.02,5.07 05/15/12 DEAN FOODS CO DE 5.03,5.07,9.01 05/16/12 Delaine Corp NV 5.02 05/17/12 DELTA AIR LINES INC /DE/ DE 7.01,9.01 05/17/12 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 05/17/12 Discovery Communications, Inc. DE 1.01,2.03,9.01 05/17/12 DOLLAR TREE INC VA 2.02,7.01,9.01 05/17/12 Dr Pepper Snapple Group, Inc. DE 5.07 05/17/12 DUMA ENERGY CORP NV 5.03,5.07,7.01,8.01, 05/16/12 9.01 Dutch Gold Resources Inc CO 7.01,9.01 05/17/12 EAGLE ROCK ENERGY PARTNERS L P DE 3.02,7.01,8.01,9.01 05/15/12 ECOTALITY, INC. NV 3.01 05/11/12 ENB Financial Corp PA 5.07,7.01,9.01 05/15/12 ENERGY CONVERSION DEVICES INC DE 2.05,5.02,9.01 05/11/12 Enphase Energy, Inc. DE 5.02,9.01 05/11/12 Enphase Energy, Inc. DE 5.02,9.01 05/11/12 AMEND Ensco plc 7.01,9.01 05/17/12 ENVESTNET, INC. DE 5.07 05/17/12 ePhoto Image, Inc. NV 5.03,9.01 05/14/12 EQUITY ONE, INC. 5.07 05/14/12 EQUUS TOTAL RETURN, INC. DE 8.01,9.01 05/15/12 ESSEX PROPERTY TRUST INC MD 5.07 05/15/12 EURASIA DESIGN INC. NV 5.01,5.02,8.01 05/17/12 EverBank Financial Corp DE 8.01,9.01 05/16/12 EXACT SCIENCES CORP DE 1.01,3.02 05/15/12 EXELON CORP PA 7.01,9.01 05/17/12 F&M BANK CORP VA 5.07 05/12/12 FAUQUIER BANKSHARES, INC. VA 5.07,8.01 05/15/12 Federal Home Loan Bank of Atlanta X1 2.03 05/17/12 Federal Home Loan Bank of Chicago X1 2.03 05/14/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 05/14/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 05/15/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 05/17/12 Federal Home Loan Bank of New York X1 2.03,9.01 05/14/12 Federal Home Loan Bank of New York X1 8.01,9.01 05/17/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 05/14/12 Federal Home Loan Bank of San Francis X1 2.03 05/14/12 Federal Home Loan Bank of Seattle 2.03 05/14/12 Federal Home Loan Bank of Topeka 2.03,9.01 05/14/12 FIDELITY BANCORP INC PA 2.02,9.01 05/17/12 FIELDPOINT PETROLEUM CORP CO 1.01,9.01 05/16/12 FIELDPOINT PETROLEUM CORP CO 7.01,9.01 05/16/12 Financial Engines, Inc. DE 5.07 05/15/12 FIRST BANCSHARES INC /MO/ MO 3.01,9.01 05/17/12 FIRST BUSINESS FINANCIAL SERVICES, IN WI 7.01,9.01 05/14/12 FIRST FARMERS & MERCHANTS CORP TN 4.01,9.01 03/15/12 AMEND FIRST NATIONAL COMMUNITY BANCORP INC PA 5.02,9.01 05/11/12 FIRST NATIONAL COMMUNITY BANCORP INC PA 5.02,9.01 05/15/12 FIRST OTTAWA BANCSHARES INC DE 5.07 05/16/12 First Trinity Financial CORP 5.07 05/16/12 FLEXIBLE SOLUTIONS INTERNATIONAL INC NV 2.02 05/15/12 FONAR CORP DE 2.02 03/31/12 Fraternity Community Bancorp Inc 5.02,5.07,8.01,9.01 05/14/12 GameStop Corp. DE 2.02,8.01,9.01 05/15/12 GAMETECH INTERNATIONAL INC DE 5.02 05/11/12 GAP INC DE 2.02,9.01 05/17/12 GLOBAL ENERGY INC NV 8.01,9.01 05/17/12 Global Security Agency Inc. NV 1.01,9.01 05/14/12 GMX RESOURCES INC OK 5.03,5.07,9.01 05/16/12 GMX RESOURCES INC OK 3.02 05/16/12 GOVERNMENT TRUST 1 D IL 8.01,9.01 05/15/12 GREAT PLAINS ENERGY INC MO 5.02 05/17/12 GRIFFIN LAND & NURSERIES INC DE 7.01,9.01 05/17/12 GULFMARK OFFSHORE INC DE 7.01,9.01 05/16/12 HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 05/17/12 HARTFORD FINANCIAL SERVICES GROUP INC DE 5.07 05/16/12 HARTFORD FINANCIAL SERVICES GROUP INC DE 5.02 05/17/12 HAVERTY FURNITURE COMPANIES INC MD 5.07,8.01,9.01 05/17/12 HEALTHCARE TRUST OF AMERICA, INC. MD 8.01,9.01 05/17/12 Heavy Earth Resources, Inc. FL 1.01,2.01,9.01 05/15/12 HERCULES OFFSHORE, INC. DE 7.01,9.01 05/17/12 HERE ENTERPRISES, INC. NV 5.02 05/14/12 Highbridge Commodities FuturesAccess DE 3.02 05/14/12 Higher One Holdings, Inc. DE 5.07,8.01 05/14/12 HighLight Networks, Inc. NV 5.02,9.01 05/16/12 HINES REAL ESTATE INVESTMENT TRUST IN 7.01,9.01 05/17/12 HOLOGIC INC DE 1.01,9.01 05/11/12 HUB GROUP INC DE 5.02 05/17/12 HUMAN GENOME SCIENCES INC DE 1.01,3.03,7.01,9.01 05/16/12 IA GLOBAL INC DE 1.02,2.02,2.06,5.02 10/31/11 IMPERIAL OIL LTD 8.01,9.01 05/17/12 Independence Bancshares, Inc. SC 5.07 05/16/12 INDUSTRIAL SERVICES OF AMERICA INC /F FL 5.07 05/15/12 INFOSONICS CORP 3.01,8.01,9.01 05/16/12 INLAND REAL ESTATE CORP MD 8.01,9.01 05/17/12 INNOVATIVE FOOD HOLDINGS INC FL 1.01,8.01,9.01 05/11/12 INOVIO PHARMACEUTICALS, INC. 5.07 05/16/12 Inrad Optics, Inc. NJ 2.02,7.01,9.01 05/16/12 INSIGHT ENTERPRISES INC DE 5.07 05/16/12 INSMED INC VA 5.02,9.01 05/17/12 INSPERITY, INC. DE 5.07 05/15/12 INTEGRATED ELECTRICAL SERVICES INC DE 2.02,9.01 02/14/12 INTERNATIONAL BARRIER TECHNOLOGY INC A1 7.01,9.01 05/16/12 INTUIT INC DE 2.02,8.01,9.01 05/17/12 INVESTORS TITLE CO NC 5.07 05/16/12 IVAX DIAGNOSTICS INC DE 4.01,9.01 05/15/12 IXI Mobile, Inc. DE 5.02 05/17/12 JBI, INC. NV 1.01,3.02,5.02,9.01 05/15/12 KELLOGG CO DE 1.01,2.03,8.01,9.01 05/17/12 Kior Inc DE 8.01 05/15/12 KIRBY CORP NV 7.01 05/17/12 KNOLL INC DE 7.01 05/16/12 Kodiak Oil & Gas Corp B0 1.01,2.03,8.01,9.01 05/14/12 Lantheus Medical Imaging, Inc. DE 8.01,9.01 05/17/12 LAWSON PRODUCTS INC/NEW/DE/ DE 5.07 05/17/12 Leaplab Corp 5.02 05/11/12 AMEND LEGG MASON, INC. MD 8.01,9.01 05/16/12 Lightning Gaming, Inc. NV 2.04,5.02 05/17/12 Lightwave Logic, Inc. NV 7.01,9.01 05/17/12 LITTLEFIELD CORP DE 5.07 05/16/12 Lone Pine Resources Inc. DE 5.02,5.07,9.01 05/16/12 LUMINEX CORP DE 5.02,5.07 05/17/12 MACROSOLVE INC OK 7.01,9.01 05/17/12 Madison Bancorp Inc MD 2.02,9.01 05/16/12 MAGNEGAS CORP DE 5.02,8.01,9.01 05/11/12 MARKEL CORP VA 5.02,5.07,9.01 05/14/12 MARVELL TECHNOLOGY GROUP LTD D0 2.02,8.01,9.01 05/17/12 Mastech Holdings, Inc. PA 5.07 05/16/12 MAXLINEAR INC 8.01 05/15/12 Medefile International, Inc. NV 2.02,9.01 05/16/12 MEDICAL ALARM CONCEPTS HOLDINGS INC NV 1.01,8.01 05/17/12 MERIDIAN INTERSTATE BANCORP INC 5.03,5.07,9.01 05/16/12 METALS USA HOLDINGS CORP. DE 5.07 05/17/12 MetroCorp Bancshares, Inc. TX 1.01,8.01,9.01 05/16/12 MICHAELS STORES INC DE 5.02,8.01,9.01 05/16/12 MIDDLEFIELD BANC CORP OH 5.07 05/16/12 MINDEN BANCORP, INC. LA 5.07,8.01,9.01 05/15/12 MINISTRY PARTNERS INVESTMENT COMPANY, 5.02,5.07 05/10/12 ML Winton FuturesAccess LLC DE 3.02 05/14/12 Momentive Performance Materials Inc. DE 7.01,9.01 05/17/12 Monarch Financial Holdings, Inc. VA 8.01,9.01 05/17/12 MULTI COLOR Corp OH 8.01,9.01 05/14/12 Neenah Paper Inc DE 5.07 05/16/12 NEW ENERGY SYSTEMS GROUP NV 2.02,9.01 05/16/12 New York & Company, Inc. 2.02,7.01,9.01 05/17/12 NEWBRIDGE BANCORP NC 5.07 05/16/12 NEWPORT CORP NV 5.07 05/15/12 NEWS CORP 8.01,9.01 05/17/12 NGP Capital Resources Co MD 5.07 05/16/12 NL INDUSTRIES INC NJ 5.07,7.01,9.01 05/16/12 NOBLE ROMANS INC IN 1.01,2.03 05/15/12 NORTHROP GRUMMAN CORP /DE/ 5.03,5.07,8.01,9.01 05/15/12 NORTHWEST BANCORPORATION INC WA 5.02,5.07 05/11/12 OLD DOMINION FREIGHT LINE INC/VA VA 5.02 05/15/12 OM GROUP INC DE 5.02 05/14/12 ON SEMICONDUCTOR CORP DE 5.07 05/15/12 Orchids Paper Products CO /DE DE 5.07,8.01,9.01 05/17/12 Ortus Currency FuturesAccess LLC DE 3.02 05/14/12 OSI RESTAURANT PARTNERS, LLC DE 5.02,9.01 05/15/12 OSIRIS THERAPEUTICS, INC. DE 8.01 05/17/12 Ottawa Savings Bancorp, Inc. X1 5.07 05/16/12 P F CHANGS CHINA BISTRO INC 8.01,9.01 05/15/12 P F CHANGS CHINA BISTRO INC 5.02,8.01 05/17/12 PACIFIC GOLD CORP NV 1.01 05/11/12 PACIFIC SUNWEAR OF CALIFORNIA INC CA 2.02,9.01 05/17/12 Park Sterling Corp NC 1.01,9.01 05/13/12 PEABODY ENERGY CORP DE 7.01 05/17/12 PENN VIRGINIA RESOURCE PARTNERS L P DE 7.01,9.01 05/17/12 PERRY ELLIS INTERNATIONAL INC FL 2.02,9.01 05/17/12 PFSWEB INC DE 2.02 05/14/12 PHARMACYCLICS INC DE 7.01,9.01 05/17/12 PharMerica CORP DE 8.01 05/15/12 PICO HOLDINGS INC /NEW CA 5.07 05/14/12 PINNACLE FINANCIAL PARTNERS INC TN 7.01,9.01 05/17/12 PITNEY BOWES INC /DE/ DE 5.07 05/14/12 PLC SYSTEMS INC B0 2.02,9.01 05/15/12 PLUMAS BANCORP CA 5.02,5.07 05/16/12 PNM RESOURCES INC NM 5.02,5.07,9.01 05/15/12 Polonia Bancorp 5.07 05/15/12 Post Holdings, Inc. MO 2.02,9.01 05/16/12 PRECISION CASTPARTS CORP OR 2.02,9.01 05/17/12 Prestige Brands Holdings, Inc. 2.02,7.01,9.01 05/17/12 Primerica, Inc. DE 5.07 05/17/12 Primo Water Corp DE 5.02,5.07,9.01 05/16/12 PROASSURANCE CORP DE 7.01,8.01,9.01 05/16/12 PROOFPOINT INC DE 2.02,9.01 05/17/12 PyroTec, Inc. DE 1.01,5.02,9.01 05/17/12 QCR HOLDINGS INC DE 8.01,9.01 05/17/12 QLIK TECHNOLOGIES INC DE 5.07 05/16/12 QUALITY SYSTEMS, INC CA 2.02,9.01 05/17/12 RDA Holding Co. 7.01 05/17/12 REAL ESTATE ASSOCIATES LTD VII CA 8.01 05/16/12 REDWOOD TRUST INC MD 7.01,9.01 05/17/12 REINSURANCE GROUP OF AMERICA INC MO 5.07 05/16/12 Remark Media, Inc. DE 2.02,7.01,9.01 05/15/12 REPUBLIC AIRWAYS HOLDINGS INC DE 7.01,9.01 05/17/12 REPUBLIC AIRWAYS HOLDINGS INC DE 1.01,9.01 05/11/12 REPUBLIC SERVICES, INC. DE 5.07 05/17/12 RESMED INC DE 8.01,9.01 05/17/12 RETAIL PROPERTIES OF AMERICA, INC. MD 5.02 05/14/12 REVA Medical, Inc. DE 7.01,9.01 05/17/12 RGC RESOURCES INC VA 1.01,1.02,5.02,9.01 05/15/12 RING ENERGY, INC. NV 8.01,9.01 05/15/12 RLJ Lodging Trust MD 5.02 05/11/12 Rosetta Resources Inc. DE 5.07 05/17/12 ROSS STORES INC DE 2.02,9.01 05/17/12 Roundy's, Inc. DE 5.02,8.01,9.01 05/17/12 RUBY TUESDAY INC GA 1.01,2.03,9.01 05/14/12 S&W Seed Co NV 8.01,9.01 05/17/12 SAFEWAY INC DE 1.01,5.07,9.01 05/15/12 SAGA COMMUNICATIONS INC DE 5.07 05/14/12 SALESFORCE COM INC DE 2.02,9.01 05/17/12 SALISBURY BANCORP INC CT 5.07 05/16/12 Santander Drive Auto Receivables Trus DE 1.01,9.01 05/16/12 SBT Bancorp, Inc. CT 8.01,9.01 05/16/12 SeaBright Holdings, Inc. DE 5.07 05/15/12 SEARS HOLDINGS CORP DE 2.02,9.01 05/17/12 SEARS HOLDINGS CORP DE 8.01,9.01 05/17/12 SEQUENOM INC DE 8.01,9.01 05/17/12 SHOE CARNIVAL INC IN 2.02,9.01 05/17/12 SILICON IMAGE INC DE 5.07 05/16/12 Skilled Healthcare Group, Inc. DE 5.02,5.07 05/14/12 Somaxon Pharmaceuticals, Inc. DE 1.01,9.01 04/26/12 AMEND SONO TEK CORP NY 7.01,9.01 05/16/12 SORL Auto Parts Inc DE 7.01,9.01 05/15/12 SOUTHERN CALIFORNIA EDISON CO CA 8.01,9.01 05/10/12 SOUTHWEST AIRLINES CO TX 5.07 05/16/12 Start Scientific, Inc. UT 1.01,2.01,3.02 05/16/12 STEIN MART INC FL 2.02,9.01 05/17/12 STEMCELLS INC DE 8.01,9.01 05/17/12 Strike Axe, Inc DE 4.01,9.01 05/10/12 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 05/15/12 SUBURBAN PROPANE PARTNERS LP DE 7.01,9.01 05/17/12 SupportSave Solutions Inc 1.02,9.01 05/17/12 Swisher Hygiene Inc. DE 1.01,3.01,5.02,8.01, 05/14/12 9.01 TELEPHONE & DATA SYSTEMS INC /DE/ DE 5.02,9.01 05/16/12 TELESTONE TECHNOLOGIES CORP CO 2.02,7.01,9.01 05/15/12 TELOS CORP MD 5.07 05/14/12 TENNECO INC DE 5.07,9.01 05/16/12 TherapeuticsMD, Inc. UT 5.02,9.01 05/16/12 THERAVANCE INC DE 3.02,5.07 05/15/12 TIANYIN PHARMACEUTICAL CO., INC. DE 7.01,9.01 05/17/12 TIFFANY & CO DE 8.01 05/17/12 TII NETWORK TECHNOLOGIES, INC. DE 5.07 05/15/12 TOR MINERALS INTERNATIONAL INC DE 5.02,9.01 05/16/12 TPG Specialty Lending, Inc. DE 3.02 05/16/12 Transocean Ltd. V8 7.01,9.01 05/17/12 TRIQUINT SEMICONDUCTOR INC DE 8.01,9.01 05/15/12 Tropicana Entertainment Inc. DE 5.07 05/17/12 TRUSTCO BANK CORP N Y NY 8.01,9.01 05/17/12 TSIC, Inc. DE 7.01,9.01 05/15/12 TUCANA LITHIUM CORP. NV 1.01,2.01,3.02,9.01 05/11/12 TUFCO TECHNOLOGIES INC DE 2.02,9.01 05/15/12 U. S. Premium Beef, LLC 7.01,9.01 05/17/12 United American Petroleum Corp. NV 1.01,2.01,2.03,3.02, 12/31/10 AMEND 5.01,5.02,5.03,9.01 UNITED FIRE GROUP INC 5.07,7.01,8.01,9.01 05/16/12 UNITED GUARDIAN INC DE 7.01,9.01 05/17/12 UNITED STATES ANTIMONY CORP MT 8.01 05/16/12 UNIVERSAL DISPLAY CORP \PA\ PA 8.01 05/17/12 UNIVERSAL HEALTH SERVICES INC DE 5.07 05/16/12 URANIUM RESOURCES INC /DE/ DE 8.01 05/11/12 US HOME SYSTEMS INC DE 2.02,9.01 05/15/12 VARIAN MEDICAL SYSTEMS INC DE 5.02 05/14/12 VERAMARK TECHNOLOGIES INC DE 5.07 05/16/12 VERIFONE SYSTEMS, INC. DE 5.02 05/15/12 VERTEX PHARMACEUTICALS INC / MA MA 1.01,5.07 05/16/12 VIASAT INC DE 2.02,9.01 05/17/12 WABASH NATIONAL CORP /DE DE 7.01,9.01 05/17/12 WAL MART STORES INC DE 2.02,8.01,9.01 05/17/12 WARRINGTON FUND LP NY 1.01,9.01 05/11/12 WATTS WATER TECHNOLOGIES INC DE 5.07,8.01,9.01 05/16/12 Weatherford International Ltd./Switze V8 8.01,9.01 05/17/12 WEST MARINE INC DE 5.02,9.01 05/17/12 WEST MARINE INC DE 5.02,9.01 05/17/12 AMEND WESTFIELD FINANCIAL INC MA 7.01,9.01 05/17/12 Win Global Markets, Inc. NV 5.02 05/17/12 WireCo WorldGroup Inc. 2.02 05/17/12 Wolverine Bancorp, Inc. MD 5.02,9.01 05/11/12 YAHOO INC DE 5.02 05/13/12 Zumiez Inc WA 2.02,9.01 05/17/12
http://www.sec.gov/news/digest/2012/dig051812.htm
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