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Commission announcementsSEC Halts Fraudulent Investment Scheme by New York-Based Fund ManagerThe Securities and Exchange Commission today announced charges against a New York-based fund manager and his two firms for luring investors into a trading program that would purportedly maximize their profits but instead spent their money in unauthorized ways. The SEC alleges that since at least November 2011, Jason J. Konior and his firms raised approximately $11 million by selling investors limited partnership interests in Absolute Fund LP, an investment vehicle that Konior claimed had $220 million in trading capital. Konior and his firms falsely claimed that Absolute Fund would allocate millions of dollars in matching investment funds, place the combined funds in brokerage accounts through which investors could trade securities, and operate a “first loss” trading program that would allow investors to dramatically increase their potential profits. However, the SEC alleges that instead of using investor funds for trading purposes, Konior and his firms Absolute Fund Advisors (AFA) and Absolute Fund Management (AFM) siphoned off approximately $2 million of the proceeds to pay redemptions from earlier investors and to pay their personal and business expenses. The SEC obtained an asset freeze against Konior and his companies late yesterday in federal court in Manhattan. “Konior falsely portrayed Absolute Fund as a legitimate investment vehicle designed to maximize investors’ access to trading capital in order to grow their hedge fund businesses,” said Bruce Karpati, Co-Chief of the SEC Enforcement Division’s Asset Management Unit. “In reality, Konior’s operation became a way for Konior to funnel cash to his firms and himself for unauthorized purposes.” According to the SEC’s complaint, Konior falsely represented to several investors that upon receipt of their investments, Absolute Fund would:
The SEC alleges that Absolute Fund did not actually operate the first loss trading program as promised for these investors. Absolute Fund also did not provide these investors with any matching funds or satisfy investor demands for returns of their capital contribution. The SEC’s complaint charges Konior, AFA, and AFM with violating the antifraud provisions of the Securities Exchange Act of 1934 and seeks, among other things, permanent injunctive relief, disgorgement of ill-gotten gains, and financial penalties. Without admitting or denying the allegations in the SEC's complaint, Konior, AFA, and AFM have consented to the entry of an order freezing their assets, imposing a preliminary injunction against further violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and providing other relief. The Honorable Judge Louis L. Stanton issued the court order granting such relief. The SEC’s investigation, which is continuing, is being conducted by Catherine Lifeso, Lara Mehraban, Kerri Palen, and Ken C. Joseph of the New York Regional Office. Ms. Lifeso, Ms. Mehraban, and Mr. Joseph are members of the Enforcement Division’s Asset Management Unit. Aaron Arnzen is leading the SEC’s litigation. (Press Rel. 2012-103) Commission MeetingsClosed Meeting on Thursday, May 31, 2012 at 2:00 p.m.The subject matter of the Closed Meeting scheduled for Thursday, May 31, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings. 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 PROCEEDINGSIn the Matter of Spencer C. BaraschOn May 24, 2012, the U.S. Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission’s Rules of Practice, Making Findings and Imposing Remedial Sanctions (Order) against Spencer C. Barasch. The Order finds that Barasch, a former Associate District Director for Enforcement in the Commission’s Fort Worth Office, failed to comply with 18 U.S.C. § 207(a)(1) by knowingly communicating with Commission staff, with the intent to influence, on a matter in which he had participated personally and substantially while a Commission employee. The Order further finds that this failure constitutes “improper professional conduct” under Commission Rule of Practice 102(e)(1)(ii). Based on the above, the Order denies Barasch the privilege of appearing or practicing before the Commission as an attorney for one year. Barasch consented to the issuance of the Order without admitting or denying any of the findings, except as to jurisdiction, which is admitted. (Rel. 34-67060; File No. 3-14891; 2012-102) Delinquent Filer’s Stock Registration RevokedThe registration of the registered securities of MAS Acquisition XVII Corp. has been revoked. It had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, it 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 revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-67061; File No. 3-14744) Delinquent Filers’ Stock Registrations RevokedThe registrations of the registered securities of Affinity Technology Group, Inc., Braintech, Inc., Builders Transport, Incorporated, and Catuity, Inc. 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. 34-67062; File No. 3-14874) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change (SR-Phlx-2012-70) relating to reversal and conversion strategies 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 28. (Rel. 34-67047) A proposed rule change filed by the NASDAQ OMX PHLX LLC to amend Rule 616, Electronic Filing Requirements for Uniform Forms (SR-Phlx-2012-71) 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 28. (Rel. 34-67053) A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-050) relating to the name change of the CBOE Regulatory Oversight Committee 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 28. (Rel. 34-67055) A proposed rule change filed by C2 Options Exchange, Incorporated (SR-C2-2012-014) relating to the name change of the C2 Regulatory Oversight Committee 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 28. (Rel. 34-67056) Approval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change (SR-NYSEArca-2012-25) 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 the WisdomTree Brazil Bond Fund under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of May 28. (Rel. 34-67054) Proposed Rule ChangesNYSE Amex LLC has filed a proposed rule change (SR-NYSEAmex-2012-31) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 defining a Primary Specialist in each options class and modifying the Specialist entitlement accordingly. Publication is expected in the Federal Register during the week of May 28. (Rel. 34-67057) NYSE Arca, Inc. (the “Exchange”) filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 of the Securities Exchange Act of 1934 (SR-NYSEArca-2012-45) amending its rules to reflect the merger of Archipelago Holdings, Inc. (“Archipelago Holdings”), an intermediate holding company, into and with NYSE Group, Inc., thereby eliminating Archipelago Holdings from the ownership structure of the Exchange. Publication is expected in the Federal Register during the week of May 28. (Rel. 34-67058) The Fixed Income Clearing Corporation (FICC) filed a proposed rule change (SR-FICC-2012-04) under Section 19(b)(1) of the Securities Exchange Act of 1934 to clarify the ability of the Government Securities Division to use implied volatility indicators as part of the volatility model in its clearing fund formula. Publication is expected in the Federal Register during the week of May 28. (Rel. 34-67059) SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-3ASR CHS/Community Health Systems, Inc., 4000 MERIDIAN BLVD, FRANKLIN, TN, 37068-9020, 615-465-7084 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-181630 - May. 24) (BR. 01B) S-8 TRW AUTOMOTIVE HOLDINGS CORP, 12001TECH CENTER DRIVE, LIVONIA, MI, 48150, 734 855 2600 - 0 ($231,609,000.00) Equity, (File 333-181631 - May. 24) (BR. 05C) S-8 WESTMORELAND COAL Co, 9540 SOUTH MAROON CIRCLE, SUITE 200, ENGLEWOOD, CO, 80112, 303-922-6463 - 700,000 ($5,474,000.00) Equity, (File 333-181638 - May. 24) (BR. 09B) S-3 SAN DIEGO GAS & ELECTRIC CO, 8326 CENTURY PARK COURT, SAN DIEGO, CA, 92123, 6196962000 - 0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-181639 - May. 24) (BR. 02B) S-8 GRANITE CONSTRUCTION INC, 585 WEST BEACH ST, WATSONVILLE, CA, 95076, 8317241011 - 1,978,102 ($44,705,105.20) Equity, (File 333-181642 - May. 24) (BR. 06A) S-4 Xylem Inc., 1133 WESTCHESTER AVENUE, WHITE PLAINS, NY, 10604, 914-304-1700 - 0 ($1,200,000,000.00) Non-Convertible Debt, (File 333-181643 - May. 24) (BR. 10B) S-3ASR WILLIAMS COMPANIES INC, ONE WILLIAMS CTR, TULSA, OK, 74172, 9185732000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-181644 - May. 24) (BR. 02C) S-8 SLM CORP, 300 CONTINENTAL DRIVE, NEWARK, DE, 19713, (302) 283-8000 - 0 ($340,860,000.00) Equity, (File 333-181646 - May. 24) (BR. 12A) S-8 CITIGROUP INC, 399 PARK AVENUE, NEW YORK, NY, 10043, 2125591000 - 0 ($1,047,600,000.00) Equity, (File 333-181647 - May. 24) (BR. 12A) S-8 SI Financial Group, Inc., 803 MAIN STREET, WILLIMANTIC, CT, 06226, 860-423-4581 - 706,712 ($7,950,510.00) Equity, (File 333-181648 - May. 24) (BR. 07C) S-4 RADIATION THERAPY SERVICES, INC., 2270 COLONIAL BOULEVARD, FT. MYERS, FL, 33907, 239-931-7275 - 0 ($350,000,000.00) Debt, (File 333-181650 - May. 24) (BR. 01A) S-4 RITE AID CORP, 30 HUNTER LANE, CAMP HILL OWN, PA, 17011, 7177612633 - 0 ($902,000,000.00) Debt, (File 333-181651 - May. 24) (BR. 01B) S-1 Nostalgia Family Brands, Inc., 20 PAPE DRIVE, ATLANTIC HIGHLANDS, NJ, 07716, 848-466-9607 - 3,000,000 ($300,000.00) Equity, (File 333-181652 - May. 24) (BR. 04) S-8 Parametric Sound Corp, 13125 DANIELSON STREET, #110, POWAY, CA, 92064, 888-477-2150 - 853,000 ($3,180,380.00) Equity, (File 333-181653 - May. 24) (BR. 11A) S-1 LYRIS, INC., 6401 HOLLIS STREET, SUITE 125, EMERYVILLE, CA, 94608, 800-768-2929 - 0 ($17,250,000.00) Equity, (File 333-181654 - May. 24) (BR. 03C) S-8 MICREL INC, 1849 FORTUNE DR, SAN JOSE, CA, 95131, 4089440800 - 6,000,000 ($60,660,000.00) Equity, (File 333-181655 - May. 24) (BR. 10B) S-3 Uni-Pixel, 8708 TECHNOLOGY FOREST PLACE - SUITE 100, THE WOODLANDS, TX, 77381, 281-825-4500 - 2,462,058 ($63,541,319.00) Equity, (File 333-181656 - May. 24) (BR. 10B) S-3ASR RITE AID CORP, 30 HUNTER LANE, CAMP HILL OWN, PA, 17011, 7177612633 - 0 ($0.00) Other, (File 333-181657 - May. 24) (BR. 01B) S-8 UROPLASTY INC, 5420 FELTL ROAD, MINNETONKA, MN, 55343, (952) 426-6140 - 1,500,000 ($5,153,227.00) Equity, (File 333-181659 - May. 24) (BR. 10B) S-8 ALASKA COMMUNICATIONS SYSTEMS GROUP INC, 600 TELEPHONE AVENUE, -, ANCHORAGE, AK, 99503, 9072973000 - 1,500,000 ($2,715,000.00) Equity, (File 333-181660 - May. 24) (BR. 11A) S-8 Google Inc., 1600 AMPHITHEATRE PARKWAY, MOUNTAIN VIEW, CA, 94043, 650 623 4000 - 1,104,350 ($606,962,598.18) Equity, (File 333-181661 - May. 24) (BR. 03A) S-3ASR BERRY PETROLEUM CO, 1999 BROADWAY, SUITE 3700, DENVER, CO, 80202, 303-999-4400 - 0 ($0.00) Other, (File 333-181662 - May. 24) (BR. 04A) S-3ASR RAYMOND JAMES FINANCIAL INC, 880 CARILLON PKWY, P O BOX 12749, ST PETERSBURG, FL, 33716, 727-567-1000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-181663 - May. 24) (BR. 12A) S-8 Weatherford International Ltd./Switzerland, 515 POST OAK BLVD., HOUSTON, TX, 77027, (713) 693-4000 - 0 ($227,160,000.00) Equity, (File 333-181664 - May. 24) (BR. 04B) S-8 APPLIED MATERIALS INC /DE, 3050 BOWERS AVE, SANTA CLARA, CA, 95054-3299, 4087275555 - 0 ($40,000,000.00) Other, (File 333-181665 - May. 24) (BR. 10A) S-8 APPLIED MATERIALS INC /DE, 3050 BOWERS AVE, SANTA CLARA, CA, 95054-3299, 4087275555 - 125,000,000 ($1,311,250,000.00) Equity, (File 333-181666 - May. 24) (BR. 10A) S-8 MEDNAX, INC., 1301 CONCORD TERRACE, SUNRISE, FL, 33323, 9543840175 - 0 ($234,150,000.00) Equity, (File 333-181667 - May. 24) (BR. 01A) S-3ASR HEWLETT PACKARD CO, 3000 HANOVER ST, MS 1050, PALO ALTO, CA, 94304, 6508571501 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-181669 - May. 24) (BR. 03C) S-8 REPLIGEN CORP, 41 SEYON STREET, BUILDING 1, SUITE 100, WALTHAM, MA, 02453, 7814499560 - 0 ($8,960,000.00) Equity, (File 333-181670 - May. 24) (BR. 01B) S-3 CHRISTOPHER & BANKS CORP, 2400 XENIUM LANE NORTH, PLYMOUTH, MN, 55441-3626, 6125515000 - 0 ($75,000,000.00) Unallocated (Universal) Shelf, (File 333-181671 - May. 24) (BR. 09B) S-3 CORCEPT THERAPEUTICS INC, 149 COMMONWEALTH DRIVE, MENLO PARK, CA, 94025, 650.688.8803 - 4,202,443 ($17,103,943.01) Equity, (File 333-181672 - May. 24) (BR. 01B) S-3 GEOGLOBAL RESOURCES INC., SUITE 200, 625 - 4TH AVENUE S.W., CALGARY, A0, T2P 0K2, 403-777-9250 - 9,632,500 ($1,878,337.50) Equity, (File 333-181673 - May. 24) (BR. 04A) S-8 BASIC ENERGY SERVICES INC, 400 W. ILLINOIS, SUITE 800, MIDLAND, TX, 79701, 4326205500 - 0 ($36,146,500.00) Equity, (File 333-181674 - May. 24) (BR. 04B) S-8 UNITED COMMUNITY BANKS INC, P O BOX 398, 59 HIGHWAY 515, BLAIRSVILLE, GA, 30512, 5818073041 - 0 ($13,066,500.00) Equity, (File 333-181675 - May. 24) (BR. 07C) 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 ----------------------------------------------------------------------------------------- A123 SYSTEMS, INC. DE 1.01,9.01 05/23/12 ACTUATE CORP DE 5.07 05/23/12 ACXIOM CORP DE 8.01 05/24/12 AETRIUM INC MN 5.07 05/23/12 AFC ENTERPRISES INC MN 2.02,9.01 05/23/12 Aircastle LTD D0 5.07 05/24/12 Alliance Holdings GP, L.P. DE 1.01,1.02,2.03,9.01 05/23/12 ALLIANCE RESOURCE PARTNERS LP DE 1.01,1.02,2.03,9.01 05/23/12 Ally Auto Assets LLC DE 1.01,8.01,9.01 05/22/12 Alpha Natural Resources, Inc. DE 1.04 05/18/12 America's Suppliers, Inc. 5.07 05/17/12 AMERICAN DG ENERGY INC DE 5.07,8.01 05/24/12 AMERICAN EAGLE OUTFITTERS INC DE 2.05,2.06,8.01,9.01 05/18/12 AMERICAN EAGLE OUTFITTERS INC DE 2.02,9.01 05/23/12 AMERICAN EAGLE OUTFITTERS INC DE 1.01,5.02,7.01,9.01 05/18/12 AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 05/24/12 American Lorain CORP NV 5.02 05/18/12 AMERICAN STATES WATER CO CA 5.02,5.07,9.01 05/22/12 AMGEN INC DE 5.02,5.03,5.07,9.01 05/23/12 Andover Holdings, Inc./FL FL 4.01 05/17/12 AMEND ANNALY CAPITAL MANAGEMENT INC MD 5.07 05/24/12 APOLLO INVESTMENT CORP MD 7.01,8.01,9.01 05/23/12 APOLLO INVESTMENT CORP MD 8.01,9.01 05/23/12 APOLLO INVESTMENT CORP MD 8.01,9.01 05/23/12 APPLE INC CA 5.02 05/24/12 ARBITRON INC DE 5.07 05/22/12 Ares Commercial Real Estate Corp MD 1.01,2.03,9.01 05/18/12 Arlington Asset Investment Corp. VA 8.01 05/24/12 AspenBio Pharma, Inc. CO 5.02,8.01,9.01 05/23/12 AspenBio Pharma, Inc. CO 5.02,5.07,9.01 05/22/12 ASTA FUNDING INC DE 8.01,9.01 05/18/12 AUXILIUM PHARMACEUTICALS INC 7.01,8.01,9.01 05/24/12 AVALONBAY COMMUNITIES INC MD 5.07 05/23/12 AWARE INC /MA/ MA 5.07 05/23/12 Bazaarvoice Inc DE 1.01,2.02,7.01,9.01 05/24/12 BECTON DICKINSON & CO NJ 1.01,1.02,2.03,8.01, 05/18/12 9.01 BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 05/24/12 BGC Partners, Inc. DE 7.01,9.01 05/24/12 BGC Partners, Inc. DE 9.01 04/13/12 AMEND Bidz.com, Inc. CA 3.01 05/21/12 Bio-Matrix Scientific Group, Inc. DE 8.01,9.01 05/20/12 BIOMARIN PHARMACEUTICAL INC DE 5.02,9.01 05/21/12 BIOSTEM U.S. CORP NV 1.01,3.02,9.01 05/23/12 Bitzio, Inc. NV 1.01,2.01,3.02,9.01 01/06/12 AMEND BKF CAPITAL GROUP INC DE 8.01,9.01 05/24/12 BON TON STORES INC PA 8.01,9.01 05/22/12 BOYD GAMING CORP NV 8.01,9.01 05/24/12 BREEZE-EASTERN CORP DE 1.01,3.02,5.02,8.01, 05/21/12 9.01 Bristow Group Inc DE 7.01,9.01 05/24/12 BRYN MAWR BANK CORP PA 4.01,9.01 05/18/12 CA, INC. DE 5.02 05/24/12 CALIX, INC 5.07 05/23/12 CAPITAL SENIOR LIVING CORP DE 5.07 05/23/12 CARDINAL BANKSHARES CORP VA 5.07 05/22/12 CARRIAGE SERVICES INC DE 5.07 05/23/12 Celldex Therapeutics, Inc. DE 7.01,9.01 05/23/12 Chanticleer Holdings, Inc. DE 5.03,9.01 05/23/12 CHINACAST EDUCATION CORP DE 1.01,2.03,3.02,9.01 05/18/12 CHIQUITA BRANDS INTERNATIONAL INC NJ 5.07 05/22/12 CHROMCRAFT REVINGTON INC DE 7.01,9.01 05/24/12 CICERO INC DE 4.01,9.01 05/02/12 AMEND CLAIRES STORES INC DE 2.02,9.01 05/23/12 CLEAN DIESEL TECHNOLOGIES INC DE 5.02,5.03,5.07,9.01 05/23/12 COASTAL BANKING CO INC SC 5.07 05/23/12 Coastal Carolina Bancshares, Inc. SC 5.07 05/23/12 Cole Credit Property Trust III, Inc. MD 8.01 01/20/12 COLE KENNETH PRODUCTIONS INC NY 5.03,9.01 05/24/12 COLLECTIVE BRANDS, INC. DE 5.07,9.01 05/24/12 COMMUNICATIONS SYSTEMS INC MN 1.01,5.07,9.01 05/22/12 COMMUNITY HEALTH SYSTEMS INC DE 8.01,9.01 05/22/12 COMPASS MINERALS INTERNATIONAL INC DE 1.01,7.01,9.01 05/18/12 COMPASS MINERALS INTERNATIONAL INC DE 5.02,9.01 05/21/12 CONAGRA FOODS INC /DE/ DE 7.01,9.01 05/24/12 CONSOLIDATED EDISON INC NY 5.07 05/21/12 CONSUMER PORTFOLIO SERVICES INC CA 5.07 05/18/12 Cooper Industries plc 1.01,3.03,9.01 05/21/12 CORNERSTONE BANCSHARES INC TN 7.01 05/24/12 CORNERSTONE THERAPEUTICS INC DE 5.07 05/22/12 Corporate Resource Services, Inc. DE 5.02 05/21/12 CORTLAND BANCORP INC OH 5.07,7.01,9.01 05/22/12 COSTCO WHOLESALE CORP /NEW WA 2.02,9.01 05/24/12 CreXus Investment Corp. MD 5.07 05/24/12 CROSSTEX ENERGY INC DE 1.01,2.03,9.01 05/23/12 CROSSTEX ENERGY LP DE 1.01,2.03,9.01 05/23/12 CUMBERLAND PHARMACEUTICALS INC 5.02,8.01,9.01 05/18/12 CYBEX INTERNATIONAL INC NY 5.02,5.07 05/23/12 Cyclacel Pharmaceuticals, Inc. DE 5.02,5.07,9.01 05/23/12 CYTOKINETICS INC 8.01,9.01 05/24/12 DAIS ANALYTIC CORP 2.04,9.01 05/18/12 DAYBREAK OIL & GAS INC WA 1.01,2.03,9.01 05/18/12 DDI CORP CA 5.07,8.01,9.01 05/24/12 Delphi Automotive PLC Y9 8.01,9.01 05/24/12 DELTEK, INC DE 5.07 05/24/12 DIGAGOGO VENTURES CORP DE 4.01,9.01 04/30/12 AMEND DIME COMMUNITY BANCSHARES INC DE 5.07 05/24/11 DIODES INC /DEL/ DE 5.02,5.03,5.07,7.01, 05/21/12 8.01,9.01 DIRECT INSITE CORP DE 5.07,8.01 05/21/12 DOUBLE EAGLE PETROLEUM CO MD 5.07 05/24/12 Douglas Emmett Inc MD 5.07 05/24/12 DOW CHEMICAL CO /DE/ DE 8.01 05/24/12 DYCOM INDUSTRIES INC FL 8.01 05/23/12 DYM ENERGY Corp 8.01 05/12/12 EATON CORP OH 1.01,5.02,9.01 05/21/12 EDISON INTERNATIONAL CA 1.01,2.03,9.01 05/18/12 EDUCATIONAL DEVELOPMENT CORP DE 5.02 05/21/12 EL PASO CORP/DE DE 8.01,9.01 05/24/12 EL PASO CORP/DE DE 2.01,5.02,9.01 05/24/12 El Paso Pipeline Partners, L.P. DE 1.01,3.02,9.01 05/24/12 EMULEX CORP /DE/ DE 5.02,5.03,9.01 05/22/12 ENERGIZER HOLDINGS INC MO 1.01,2.03,7.01,8.01, 05/21/12 9.01 Energizer Resources, Inc. MN 5.02 05/24/12 ENTEGRIS INC DE 7.01,9.01 05/23/12 EverBank Financial Corp DE 2.02,7.01,9.01 05/23/12 EXPRESS, INC. 8.01,9.01 05/24/12 Extra Space Storage Inc. MD 5.07 05/22/12 Federal Home Loan Bank of Atlanta X1 2.03 05/24/12 Federal Home Loan Bank of Boston X1 2.03 05/22/12 Federal Home Loan Bank of Chicago X1 2.03 05/21/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 05/22/12 Federal Home Loan Bank of Cincinnati X1 5.02 05/18/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 05/22/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 05/24/12 Federal Home Loan Bank of New York X1 2.03,9.01 05/21/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 05/21/12 Federal Home Loan Bank of San Francis X1 2.03 05/22/12 Federal Home Loan Bank of Topeka 2.03,9.01 05/21/12 Fifth Street Finance Corp DE 8.01,9.01 05/24/12 FIRST KEYSTONE CORP PA 8.01 05/24/12 FIRST NIAGARA FINANCIAL GROUP INC DE 2.01,7.01,9.01 05/18/12 FIRST OTTAWA BANCSHARES INC DE 1.01,9.01 05/22/12 FIRST REPUBLIC PREFERRED CAPITAL CORP 7.01 05/24/12 FIRST SOLAR, INC. DE 5.07 05/23/12 FIRSTFED FINANCIAL CORP DE 5.02 05/18/12 FISERV INC WI 5.03,5.07,9.01 05/23/12 FLOWERS FOODS INC GA 2.02,9.01 05/24/12 FNB United Corp. NC 1.01,9.01 05/18/12 FOSTER L B CO PA 5.07 05/24/12 FREDS INC TN 2.02,9.01 05/24/12 G&K SERVICES INC MN 1.01,2.03,9.01 05/22/12 GENCOR INDUSTRIES INC DE 5.02,9.01 05/24/12 GENERAL MILLS INC DE 8.01,9.01 05/24/12 GENTA INC DE/ DE 8.01,9.01 05/24/12 GENVEC INC DE 3.02,5.02,9.01 05/18/12 Georgetown Bancorp, Inc. X1 5.07,9.01 05/22/12 GOLDMAN SACHS GROUP INC DE 5.07 05/24/12 GRAPHIC PACKAGING HOLDING CO DE 1.01,9.01 05/18/12 GREEN MOUNTAIN COFFEE ROASTERS INC DE 5.02 05/22/12 GT Advanced Technologies Inc. DE 7.01,9.01 05/24/12 HAMPTON ROADS BANKSHARES INC VA 1.01,3.02,9.01 05/21/12 HARMONIC ENERGY, INC. NV 1.01,9.01 05/22/12 HARRIS INTERACTIVE INC DE 5.02 05/22/12 HARTE HANKS INC DE 5.07 05/23/12 HEALTH NET INC DE 5.07,7.01 05/22/12 HEALTHCARE TRUST OF AMERICA, INC. MD 8.01,9.01 05/24/12 HEINZ H J CO PA 2.02,7.01,9.01 05/24/12 HELIX BIOMEDIX INC DE 5.07 05/23/12 Heritage Financial Group Inc MD 5.07 05/23/12 HICKORY TECH CORP MN 7.01,9.01 05/24/12 Howard Bancorp Inc MD 8.01,9.01 05/22/12 IDT CORP DE 8.01 05/16/12 IMATION CORP DE 1.01,9.01 05/18/12 Independence Energy Corp. NV 1.01,9.01 05/24/12 Independent Film Development CORP NV 4.02 05/18/12 INFOBLOX INC 2.02,9.01 05/24/12 INNOVATIVE FOOD HOLDINGS INC FL 1.01,2.01,9.01 05/18/12 InspireMD, Inc. DE 8.01,9.01 05/24/12 Investors Bancorp Inc DE 5.07 05/22/12 INVESTORS CAPITAL HOLDINGS LTD MA 5.02 05/24/12 IROBOT CORP DE 5.07 05/22/12 ISC8 INC. /DE DE 2.02,9.01 05/11/12 ISTA PHARMACEUTICALS INC DE 1.01,8.01,9.01 05/23/12 IXYS CORP /DE/ DE 2.02,9.01 05/24/12 J CREW GROUP INC DE 5.02 05/23/12 JAMESON STANFORD RESOURCES Corp 1.01,5.02 05/24/12 JUNIPER NETWORKS INC DE 5.02,5.03,5.07,9.01 05/22/12 KAISER ALUMINUM CORP DE 1.01,2.03,8.01,9.01 05/23/12 KINDER MORGAN, INC. DE 8.01,9.01 05/24/12 Kips Bay Medical, Inc. DE 5.07 05/22/12 Kiwibox.Com, Inc. DE 8.01 05/16/12 KRAFT FOODS INC VA 5.03,5.07,9.01 05/23/12 LA JOLLA PHARMACEUTICAL CO DE 5.02,5.07 05/22/12 LANDMARK BANCORP INC DE 5.07 05/23/12 Lender Processing Services, Inc. DE 5.07 05/24/12 Liberty Global, Inc. DE 7.01 05/24/12 LIBERTY PROPERTY TRUST MD 5.07 05/22/12 LIFE PARTNERS HOLDINGS INC TX 8.01,9.01 05/23/12 LIGHTING SCIENCE GROUP CORP DE 1.01,3.02,5.02,7.01, 05/18/12 9.01 Lightwave Logic, Inc. NV 5.02,9.01 05/21/12 LINN ENERGY, LLC DE 5.02 05/24/12 LIVEDEAL INC NV 5.02 05/20/12 LKQ CORP DE 7.01,9.01 05/23/12 Lone Pine Holdings, Inc NV 1.01,8.01,9.01 05/18/12 LRR Energy, L.P. DE 7.01,9.01 05/21/12 LTC PROPERTIES INC MD 5.07 05/22/12 LUNA INNOVATIONS INC DE 5.07 05/22/12 MAM SOFTWARE GROUP, INC. DE 8.01,9.01 05/21/12 MANHATTAN ASSOCIATES INC GA 5.07 05/24/12 MASTEC INC FL 1.01 05/24/12 MEDIA GENERAL INC VA 1.01,1.02,2.03,3.02, 05/17/12 AMEND 3.03,9.01 MEDTOX SCIENTIFIC INC DE 5.07,8.01,9.01 05/21/12 MERIT MEDICAL SYSTEMS INC UT 5.07 05/23/12 MGE ENERGY INC WI 5.07 05/22/12 MICHAELS STORES INC DE 2.02,9.01 05/24/12 MILLER ENERGY RESOURCES, INC. TN 5.02,7.01,9.01 05/20/12 MISSION COMMUNITY BANCORP CA 5.07 05/22/12 Mojo Organics, Inc. DE 3.02,5.01,5.02 05/21/12 MONARCH COMMUNITY BANCORP INC MD 5.07 05/15/12 Monster Offers NV 8.01 05/23/12 MORGAN CREEK ENERGY CORP NV 1.01,8.01,9.01 05/21/12 MORRIS PUBLISHING GROUP LLC GA 8.01 05/21/12 MoSys, Inc. DE 1.01,1.02,9.01 05/18/12 MOTORCAR PARTS AMERICA INC NY 5.02,9.01 05/18/12 MUELLER INDUSTRIES INC DE 2.04,8.01,9.01 05/24/12 National American University Holdings DE 5.02,7.01,9.01 05/21/12 NATIONAL FINANCIAL PARTNERS CORP 5.07,7.01,9.01 05/23/12 NAVARRE CORP /MN/ MN 8.01,9.01 05/23/12 NELNET INC NE 5.07 05/24/12 NEUROCRINE BIOSCIENCES INC CA 5.07 05/23/12 Neutral Tandem Inc 5.07 05/23/12 NEW YORK MORTGAGE TRUST INC MD 8.01,9.01 05/23/12 NEW YORK MORTGAGE TRUST INC MD 7.01,9.01 05/24/12 NEWS CORP 8.01,9.01 05/24/12 Nexeo Solutions, LLC DE 7.01,9.01 05/15/12 Next 1 Interactive, Inc. NV 8.01,9.01 05/21/12 NiMin Energy Corp. A0 1.01,9.01 05/18/12 NiMin Energy Corp. A0 8.01,9.01 05/24/12 NISSAN MASTER OWNER TRUST RECEIVABLES DE 1.01,9.01 05/23/12 NISSAN WHOLESALE RECEIVABLES CORP II DE 1.01,9.01 05/23/12 Nova Mining CORP 5.01 05/14/12 NOVATION COMPANIES, INC. MD 5.03,7.01,8.01,9.01 05/23/12 NOVATION COMPANIES, INC. MD 5.07 05/24/12 Novelis Inc. A6 2.02,9.01 05/24/12 OCLARO, INC. DE 1.01 05/15/12 AMEND OLD DOMINION FREIGHT LINE INC/VA VA 5.05,5.07 05/22/12 OLD LINE BANCSHARES INC MD 7.01 05/24/12 OLD POINT FINANCIAL CORP VA 5.07 05/24/12 OMNI BIO PHARMACEUTICAL, INC. CO 1.01,2.03,3.02 05/18/12 OMNICARE INC DE 5.07 05/23/12 OMNICARE INC DE 5.02,9.01 05/24/12 OMNICOM GROUP INC NY 5.03,5.07,9.01 05/22/12 ONLINE DISRUPTIVE TECHNOLOGIES, INC. NV 1.01,3.02,5.01,9.01 05/23/12 Orion Marine Group Inc 5.07 05/22/12 ORMAT TECHNOLOGIES, INC. DE 5.02,9.01 05/22/12 OWENS ILLINOIS INC /DE/ DE 5.02 05/21/12 AMEND PARKER DRILLING CO /DE/ DE 5.02 05/21/12 PATTERSON COMPANIES, INC. MN 2.02,9.01 05/24/12 PEOPLES BANCORP INC/MD MD 5.07 05/23/12 PEPSICO INC NC 1.01,8.01 05/22/12 PERFORMANCE TECHNOLOGIES INC \DE\ DE 5.07 05/24/12 PINNACLE AIRLINES CORP DE 1.01 05/18/12 Powder River Coal Corp. FL 3.02 05/24/12 PowerShares DB Commodity Index Tracki 8.01,9.01 05/24/12 PowerShares DB G10 Currency Harvest F DE 8.01,9.01 05/24/12 PowerShares DB Multi-Sector Commodity DE 8.01,9.01 05/24/12 PowerShares DB US Dollar Index Trust DE 8.01,9.01 05/24/12 Preventia, Inc. 2.01,5.01,5.02 05/18/12 PRIMEENERGY CORP DE 5.07,8.01 05/22/12 PRIVATEBANCORP, INC DE 5.07,9.01 05/24/12 PROGUARD ACQUISITION CORP 7.01,9.01 05/24/12 Protea Biosciences Group, Inc. DE 3.02,9.01 05/21/12 PRUDENTIAL FINANCIAL INC NJ 2.02,7.01,9.01 05/24/12 PSS WORLD MEDICAL INC FL 2.02,7.01,9.01 05/24/12 PULSE ELECTRONICS CORP PA 5.02,5.07,9.01 05/18/12 RANGE RESOURCES CORP DE 5.07 05/23/12 REALNETWORKS INC WA 7.01,9.01 05/24/12 RED HAT INC DE 8.01,9.01 05/24/12 RELM WIRELESS CORP NV 5.07 05/23/12 Roadrunner Transportation Systems, In DE 5.07 05/23/12 ROSS STORES INC DE 5.02 05/22/12 ROTATE BLACK INC NV 8.01,9.01 05/22/12 ROYAL GOLD INC DE 1.01,7.01,9.01 05/23/12 RUDOLPH TECHNOLOGIES INC DE 5.07,8.01,9.01 05/23/12 rue21, inc. DE 2.02,9.01 05/24/12 Sanchez Energy Corp DE 5.02,5.07,9.01 05/23/12 Santa Fe Petroleum, Inc. DE 5.03,5.07,9.01 05/18/12 SAUL CENTERS INC MD 1.01,1.02,2.03,9.01 05/21/12 SEALED AIR CORP/DE DE 5.02,9.01 05/24/12 SEI INVESTMENTS CO PA 5.07,8.01,9.01 05/23/12 SEMTECH CORP DE 2.02,7.01,9.01 05/24/12 SEYCHELLE ENVIRONMENTAL TECHNOLOGIES NV 5.02 05/24/12 Shire plc 8.01,9.01 05/23/12 SIGNET JEWELERS LTD 2.02 05/24/12 SIRIUS XM RADIO INC. DE 5.07 05/22/12 SOUTHERN CALIFORNIA EDISON CO CA 1.01,2.03,9.01 05/18/12 Southern Trust Securities Holding Cor FL 1.01,9.01 05/24/12 SOUTHWEST BANCORP INC OK 1.02,5.02,8.01,9.01 05/23/12 SOUTHWEST GEORGIA FINANCIAL CORP GA 5.07,8.01,9.01 05/24/12 SPARTAN MOTORS INC MI 5.02,5.07 05/23/12 SRKP 16 INC DE 1.01,2.01,2.02,3.02, 01/11/12 AMEND 5.01,5.02,5.03,5.06, 9.01 SRKP 16 INC DE 4.01,9.01 04/06/12 AMEND SS&C Technologies Holdings Inc DE 1.01,2.03,9.01 05/23/12 STR HOLDINGS, INC. DE 5.07 05/22/12 SUPERMEDIA INC. DE 5.07 05/23/12 SUPERTEL HOSPITALITY INC VA 1.01,5.02,5.03,5.07, 05/22/12 9.01 Synacor, Inc. DE 5.07 05/24/12 T.O ENTERTAINMENT, INC. CO 2.01,3.02,5.01,5.02, 01/03/12 AMEND 5.03,5.06,9.01 TAIWAN FUND INC DE 7.01,9.01 04/30/12 TEAMSTAFF INC NJ 1.01,2.03,8.01,9.01 05/21/12 THERAVANCE INC DE 1.01 05/22/12 TIFFANY & CO DE 2.02,9.01 05/24/12 TIMKEN CO OH 2.05 05/24/12 Tootie Pie Company, Inc. TX 4.01,9.01 05/22/12 TORO CO DE 2.02,8.01,9.01 05/24/12 TORO CO DE 7.01,9.01 05/24/12 TOWER FINANCIAL CORP IN 5.07 05/22/12 TRANSAKT LTD. A0 1.01,3.02 05/17/12 TransBiotec, Inc. DE 5.02 05/17/12 TRANSCAT INC OH 2.02,9.01 05/21/12 Two Harbors Investment Corp. 5.02,5.07,7.01,9.01 05/22/12 UNITED BANKSHARES INC/WV WV 5.07 05/21/12 UNITED COMMUNITY BANKS INC GA 5.07,9.01 05/23/12 UNIVEST CORP OF PENNSYLVANIA PA 8.01,9.01 05/23/12 US BANCORP \DE\ DE 7.01,9.01 05/24/12 VALASSIS COMMUNICATIONS INC DE 5.02,9.01 05/23/12 VALERO ENERGY CORP/TX DE 7.01,9.01 05/23/12 Valley Commerce Bancorp CA 8.01 05/22/12 VALLEY NATIONAL BANCORP NJ 5.03,9.01 05/22/12 Vantage Health NV 1.02,5.02,9.01 04/14/12 AMEND VERIFONE SYSTEMS, INC. DE 2.02,9.01 05/24/12 VERSANT CORP CA 2.02,9.01 05/24/12 Verso Paper Corp. DE 5.07 05/23/12 VICON INDUSTRIES INC /NY/ NY 5.07 05/24/12 VICTORY ENERGY CORP NV 2.01,9.01 05/10/12 VICTORY ENERGY CORP NV 8.01,9.01 05/03/12 Village Bank & Trust Financial Corp. 5.07 05/22/12 VISHAY INTERTECHNOLOGY INC DE 5.07 05/24/12 Volcano Corp DE 5.07 05/23/12 Vuzix Corp DE 1.01,2.03,9.01 05/19/12 WATTS WATER TECHNOLOGIES INC DE 5.02,9.01 05/23/12 WebXU, Inc. DE 1.01,2.03,3.02,9.01 05/24/12 WELLS REAL ESTATE FUND XIII L P 1.01 05/21/12 WELLS REAL ESTATE FUND XIV LP GA 1.01 05/21/12 Wesco Aircraft Holdings, Inc 1.01,7.01,9.01 05/23/12 WESCO INTERNATIONAL INC 5.07 05/24/12 XENOPORT INC DE 8.01 05/24/12 Xstelos Holdings, Inc. DE 7.01,8.01,9.01 05/24/12 Xun Energy, Inc. NV 5.02,9.01 05/24/12 Xun Energy, Inc. NV 5.02,9.01 05/24/12 Xun Energy, Inc. NV 1.01,9.01 05/24/12 YAHOO INC DE 1.01,9.01 05/20/12 YATERRA VENTURES CORP. 1.01,2.01,9.01 05/01/12 Zalicus Inc. DE 5.07 05/23/12 ZEBRA TECHNOLOGIES CORP 5.07 05/18/12 Zumiez Inc WA 5.07 05/23/12
http://www.sec.gov/news/digest/2012/dig052512.htm
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