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ENFORCEMENT PROCEEDINGSIn the Matter of Principal Mortgage Fund, Inc.An Administrative Law Judge has issued an Order Making Findings and Imposing Sanctions by Default (Default Order) in Principal Mortgage Fund, Inc., Admin. Proc. File No. 3-14829. The Default Order finds that Principal Mortgage Fund, Inc. (Principal Mortgage Fund), a corporation that elected to be regulated as a business development company, violated Section 17(g) of the Investment Company Act of 1940 (Investment Company Act) and Rule 17g-1 thereunder, by not providing and maintaining a bond against larceny and embezzlement by officers and employees. The Default Order requires Principal Mortgage Fund to cease and desist from committing or causing violations of and any future violations of Section 17(g) of the Investment Company Act and Rule 17g-1 thereunder, and revokes Principal Mortgage Fund’s election as a business development company. (Rel. IC-30097; File No. 3-14829) Commission Revokes Registration of Securities of Adrenalina For Failure to Make Required Periodic FilingsOn June 6, 2012, the Commission revoked the registration of each class of registered securities of Adrenalina (AENA) 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, AENA 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 Adrenalina 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 AENA’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against AENA in In the Matter of Adrenalina, et al., Administrative Proceeding File No. 3-14874. 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 Adrenalina, et al., Administrative Proceeding File No. 3-14874, Exchange Act Release No. 66955 (May 10, 2012). (Rel. 34-67139; File No. 3-14874) In the Matter of OppenheimerFunds, Inc. and OppenheimerFunds Distributor, Inc.On June 6, 2012, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 15(b)(4) of the Securities Exchange Act of 1934, Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) as to OppenheimerFunds, Inc. and OppenheimerFunds Distributor, Inc. The Order finds that in late 2008, OppenheimerFunds, Inc. (OFI) and its wholly-owned distribution company, OppenheimerFunds Distributor, Inc. (OFDI), made misleading statements to financial advisers and investors concerning losses suffered by two Oppenheimer bond funds, Champion Income Fund and Core Bond Fund, and their prospects for recovery. The Order also finds that OFI and OFDI sold shares of the Champion Income Fund under a prospectus that misleadingly failed to disclose the fund’s practice of assuming substantial leverage through its use of derivative instruments such as total return swaps, which were the leading contributor to the fund’s nearly 80% loss in 2008. In light of this conduct, the Order finds that OFI willfully violated Section 34(b) of the Investment Company Act of 1940 (Investment Company Act) and Section 206(4) of the Investment Advisers Act of 1940 (Advisers Act) and Rule 206(4)-8(a)(1) and (2) thereunder and that both OFI and OFDI willfully violated Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933 (Securities Act). Based on the foregoing, the Order directs OFI to cease and desist from committing or causing any violations and any future violations of Section 17(a)(2) and (3) of the Securities Act, Section 206(4) of the Advisers Act and Rule 206(4)-8(a)(1) and (2) thereunder, and Section 34(b) of the Investment Company Act; directs OFDI to cease and desist from committing or causing any violations and any future violations of Sections 17(a)(2) and (3) of the Securities Act; censures both OFI and OFDI; and directs OFI to pay a civil penalty of $24 million, disgorgement of $9,879,706, and prejudgment interest of $1,487,190, all of which is to be deposited into a Fair Fund for the benefit of investors. OFI and OFDI consented to entry of the Order without admitting or denying the Commission’s findings. (Rel. 33-9329; File No. 3-14909) In the Matter of David Mark BunzelOn June 6, 2012, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Order (Order) against David Mark Bunzel (Bunzel). The Order finds that Bunzel, the managing member and owner of Irvine Capital Management, LLC, an unregistered investment adviser, manages two hedge funds, Irvine Capital Partners, LP and Irvine Capital Partners III, LP (the Irvine Funds). The Order further finds that Bunzel, in violation of Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder, knew or should have known that: (1) as of December 31, 2008, the valuation of the Irvine Funds’ primary asset, a private placement of common stock of a privately-held company, was unreasonable; (2) he charged the limited partners a 2% management fee, which was in excess of the 1.5% disclosed management fee; and (3) he failed to cause timely annual fund audits to be performed. Based on the above, the Order: (1) requires Bunzel to cease and desist from committing or causing any violations and any future violations of Section 206(4) of the Advisers Act and Rule 206(4)-8 thereunder; (2) suspends Bunzel for a period of 12 months from (a) association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent, (b) serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter, and (c) participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent, or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock; or inducing or attempting to induce the purchase or sale of any penny stock; and (3) requires Bunzel to pay civil penalties in the amount of $100,000. Bunzel consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted to the Commission’s jurisdiction over him and the subject matter of these proceedings. (Rel. 34-67140; File No. 3-14908) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Seven Public Companies For Failure to Make Required Periodic FilingsToday the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the seven 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 Administrative Law 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 Administrative Law 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. 34-67146; File No. 3-14910) INVESTMENT COMPANY ACT RELEASESVan Eck VIP Trust, et al.An order has been issued on an application filed by Van Eck VIP Trust, et al. under Section 12(d)(1)(J) of the Investment Company Act (Act) for an exemption from Sections 12(d)(1)(A) and (C) of the Act. The order amends a prior order that permits certain registered open-end management investment companies to acquire shares of other registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies. The amended order permits such registered open-end management investment companies to also acquire shares of registered closed-end investment companies and business development companies as defined by Section 2(a)(48) of the Act that are within and outside the same group of investment companies. (Rel. IC-30096 - June 5) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX BX, Inc. to dissolve the BOX Committee (SR-BX-2012-039) has become effective pursuant to 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 June 4. (Rel. 34-67102) The Depository Trust Company filed a proposed rule change (File No. SR-DTC-2012-04), which became effective upon filing, pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to update DTC’s corporate action service in order to enable issuers to send dividend announcements on sponsored American Depositary Receipts using eXtensible Business Reporting Language (“XBRL”) through DTC’s Worldwide Announcement Validation Enrichment System platform (“WAVE”). Publication is expected in the Federal Register during the week of June 4. (Rel. 34-67119) A proposed rule change filed by C2 Options Exchange, Incorporated to amend the Fees Schedule (SR-C2-2012-017) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of June 4. (Rel. 34-67120) A proposed rule change (SR-Phlx-2012-73) relating to 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 June 4. (Rel. 34-67121) A proposed rule change (SR-NASDAQ-2012-067) filed by The NASDAQ Stock Market LLC to update the NASDAQ Options Market Message Traffic Mitigation Rule 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 June 4. (Rel. 34-67122) A proposed rule change filed by the New York Stock Exchange LLC (SR-NYSE-2012-16) temporarily suspending the requirements of NYSE Rule 311 and related NYSE Rules concerning the approval of new member organizations in order to approve Apex Clearing Corporation, f/k/a Ridge Clearing and Outsourcing Solutions, Inc. as an NYSE Member Organization, subject to Apex Clearing complying with Exchange Rules for a new Member Organization within 30 calendar days of the date that Apex Clearing is provisionally approved as an NYSE member organization 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 June 4. (Rel. 34-67126) A proposed rule change filed by the National Stock Exchange, Inc. (SR-NSX-2012-08) to temporarily suspend the requirements of NSX Rule 2.5 and related NSX ETP Holder application rules and procedures in order to approve Apex Clearing Corporation, f/k/a Ridge Clearing and Outsourcing Solutions, Inc. as an NSX ETP Holder 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 June 4. (Rel. 34-67127) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2012-58) temporarily suspending the requirements of NYSE Arca Equities Rule 2.3, NYSE Arca Options Rule 2.4 and all related NYSE Arca Equities and NYSE Arca Options rules concerning the approval of new ETP Holders and OTP Holders in order to approve Apex Clearing Corporation, f/k/a Ridge Clearing and Outsourcing Solutions, Inc. as an NYSE Arca ETP Holder and OTP Holder, subject to Apex Clearing complying with Exchange Rules for a new member organization within 30 calendar days of the date that Apex clearing is provisionally approved for membership 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 June 4. (Rel. 34-67128) A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2012-06) temporarily suspending the requirements of Exchange Rule 311 - Equities and related Exchange Equities rules concerning the approval of new member organizations and Exchange Rule 353 and related Exchange rules concerning the approval of New ATP Holders in Order to Approve Apex Clearing Corporation, f/k/a Ridge Clearing and Outsourcing Solutions, Inc. as an Exchange Equities member organization and ATP Holder, subject to Apex Clearing complying with Exchange Rules for a new member organization and ATP Holder within 30 calendar days of the date that Apex Clearing is provisionally approved as an Exchange Equities member organization and ATP Holder 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 June 4. (Rel. 34-67129) A proposed rule change filed by BOX Options Exchange LLC (SR-BOX-2012-006) to temporarily suspend certain Exchange rules concerning approval of a new Options Participant 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 June 4. (Rel. 34-67130) A proposed rule change filed by International Securities Exchange, LLC (SR-ISE-2012-51) to temporarily suspend the requirements of ISE Rule 306 and related ISE rules concerning the approval of new Members of the Exchange 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 June 4. (Rel. 34-67131) A proposed rule change filed by BATS Exchange, Inc. (SR-BATS-2012-022) relating to the proposed membership of Apex Clearing. Publication is expected in the Federal Register during the week of June 4. (Rel. 34-67132) A proposed rule change filed by BATS Y-Exchange, Inc. (SR-BYX-2012-010) relating to the proposed membership of Apex Clearing. Publication is expected in the Federal Register during the week of June 4. (Rel. 34-67133) A proposed rule change filed by the C2 Options Exchange, Incorporated (SR-C2-2012-018) regarding the approval of Trading Permit Holders 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 June 4. (Rel. 34-67134) A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-055) regarding the approval of Trading Permit Holders 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 June 4. (Rel. 34-67135) A proposed rule change filed by EDGX Exchange, Inc. (SR-EDGX-2012-20) to temporarily suspend the requirements of EDGX Rule 2.6 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 June 4. (Rel. 34-67136) A proposed rule change filed by EDGA Exchange, Inc. (SR-EDGA-2012-21) to temporarily suspend the requirements of EDGA Rule 2.6 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 June 4. (Rel. 34-67137) A proposed rule change filed by Chicago Stock Exchange, Incorporated (SR-CHX-2012-10) to temporarily suspend the requirements of CHX Article 3, Rule 3 and related CHX rules in order to approve Apex Clearing Corporation as a CHX Participant and Trading Permit Holder. Publication is expected in the Federal Register during the week of June 4. (Rel. 34-67138) Proposed Rule ChangeNYSE Arca, Inc. has filed a proposed rule change (SR-NYSEArca-2012-50) 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 First Trust CBOE VIX Tail Hedge Index Fund under NYSE Arca Equities Rule 5.2(j)(3). Publication is expected in the Federal Register during the week of June 4. (Rel. 34-67107) 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 Duff & Phelps Corp, 55 EAST 52ND STREET, NEW YORK, NY, 10055, (212) 871-2000 - 6,000,000 ($81,000,000.00) Equity, (File 333-181880 - Jun. 5) (BR. 12A) S-3ASR ALEXANDRIA REAL ESTATE EQUITIES INC, 385 E. COLORADO BLVD, SUITE 299, PASADENA, CA, 91101, 6265780777 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-181881 - Jun. 5) (BR. 08C) S-1 FAC PROPERTYS LLC, 1329 NEEDHAM AVENUE, BRONX, NY, 10469, 347-843-8040 - 8,100,000 ($11,745,000.00) Equity, (File 333-181882 - Jun. 5) (BR. ) S-8 HOT TOPIC INC /CA/, 18305 EAST SAN JOSE AVENUE, CITY OF INDUSTRY, CA, 91748, 6268394681 - 0 ($39,002,033.00) Equity, (File 333-181887 - Jun. 5) (BR. 09A) S-8 Eureka Financial Corp., 3455 FORBES AVENUE, PITTSBURGH, PA, 15213, 412-681-8400 - 0 ($1,582,239.00) Equity, (File 333-181888 - Jun. 5) (BR. 07B) S-4 OFFSHORE GROUP INVESTMENT Ltd, P.O. BOX 309, UGLAND HOUSE, GRAND CAYMAN, E9, KY1-1104, (281) 404-4700 - 0 ($775,000,000.00) Non-Convertible Debt, (File 333-181890 - Jun. 5) (BR. 04A) S-8 NETGEAR, INC, 350 EAST PLUMERIA DRIVE, SAN JOSE, CA, 95134, 4089078000 - 3,000,000 ($90,150,000.00) Equity, (File 333-181892 - Jun. 5) (BR. 11A) S-8 PACER INTERNATIONAL INC, 6805 PERIMETER DR, DUBLIN, OH, 43016, 6149231400 - 0 ($16,345,682.00) Equity, (File 333-181893 - Jun. 5) (BR. 05C) S-8 BROADWIND ENERGY, INC., 47 E. CHICAGO AVENUE, SUITE 332, NAPERVILLE, IL, 60540, 630-637-0315 - 0 ($810,000.00) Equity, (File 333-181901 - Jun. 5) (BR. 06C) S-4 IBERIABANK CORP, 200 WEST CONGRESS STREET, LAFAYETTE, LA, 70501, 337-521-4788 - 0 ($26,834,654.00) Equity, (File 333-181910 - Jun. 5) (BR. 07C) S-8 MAJESCO ENTERTAINMENT CO, 160 RARITAN CENTER PARKWAY, SUITE 1, EDISON, NJ, 08837, 7328727490 - 3,800,000 ($7,980,000.00) Equity, (File 333-181912 - Jun. 5) (BR. 03C) S-8 diaDexus, Inc., 349 OYSTER POINT BOULEVARD, SOUTH SAN FRANCISCO, CA, 94080, 650-246-6400 - 15,004,396 ($6,033,023.17) Equity, (File 333-181913 - Jun. 5) (BR. 01B) S-8 Ignite Restaurant Group, Inc., 9900 WESTPARK DRIVE, SUITE 300, HOUSTON, TX, 77063, (713) 336-7500 - 0 ($32,162,767.70) Equity, (File 333-181914 - Jun. 5) (BR. 05A) S-3 Ally Central Originating Lease Trust, 200 RENAISSANCE CENTER, 12TH FLOOR, DETROIT, MI, 48265, 313-656-5500 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-181915 - Jun. 5) (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 ----------------------------------------------------------------------------------------- 3PEA INTERNATIONAL, INC. NV 1.02,3.02,9.01 05/30/12 Abingdon Futures Fund LP NY 3.02 06/01/12 ABOVENET INC DE 5.07,8.01,9.01 06/05/12 AccelPath, Inc. DE 5.02 06/04/12 ACE MARKETING & PROMOTIONS INC NY 7.01,9.01 06/04/12 AeroGrow International, Inc. NV 3.02 05/31/12 AETHLON MEDICAL INC NV 5.07 06/04/12 Aircastle LTD D0 8.01 06/04/12 AIS FUTURES FUND IV LP DE 3.02 05/31/12 ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 7.01,8.01 06/05/12 ALASKA PACIFIC BANCSHARES INC AK 5.07,8.01,9.01 05/22/12 ALEXANDRIA REAL ESTATE EQUITIES INC MD 8.01,9.01 06/05/12 Alliance HealthCare Services, Inc CA 3.01,5.02 06/01/12 Alliance Holdings GP, L.P. DE 7.01,9.01 06/05/12 ALLIANCE RESOURCE PARTNERS LP DE 7.01,9.01 06/05/12 ALLIED HEALTHCARE PRODUCTS INC DE 5.02 05/31/12 Alliqua, Inc. FL 5.02,9.01 05/31/12 ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 5.02 05/30/12 AMEDISYS INC DE 7.01,9.01 06/05/12 Ameresco, Inc. DE 5.02,5.07 05/31/12 AMERICAN FINANCIAL GROUP INC OH 8.01,9.01 06/05/12 AMERICAN PACIFIC CORP DE 1.01,9.01 06/04/12 American Realty Funds Corp TN 3.02 05/31/12 AMERICAN WOODMARK CORP VA 2.02,9.01 06/05/12 AMSCAN HOLDINGS INC DE 8.01,9.01 06/04/12 AMYLIN PHARMACEUTICALS INC DE 8.01 06/05/12 ANHUI TAIYANG POULTRY CO INC DE 5.02,9.01 06/03/12 Antero Resources LLC DE 7.01,9.01 06/04/12 APCO OIL & GAS INTERNATIONAL INC 5.07 05/31/12 Apollo Global Management LLC DE 5.02 06/01/12 Ardea Biosciences, Inc./DE DE 5.07,8.01,9.01 05/31/12 ARES CAPITAL CORP MD 5.07 06/04/12 ARRIS GROUP INC DE 7.01 06/05/12 ARTHROCARE CORP DE 8.01,9.01 06/04/12 Aspect Software Group Holdings Ltd. DE 5.02,9.01 06/05/12 ASPEN GROUP, INC. DE 3.02 05/30/12 ATLAS AIR WORLDWIDE HOLDINGS INC DE 5.02,5.07,9.01 06/01/12 AVANIR PHARMACEUTICALS, INC. DE 2.03 06/04/12 AVI BIOPHARMA INC OR 5.02 06/01/12 BARRETT BUSINESS SERVICES INC MD 5.07 05/30/12 BELK INC 2.02,5.03,5.07,9.01 05/30/12 BHM Discretionary Futures Fund L.P. DE 3.02 06/01/12 BIO-PATH HOLDINGS INC UT 8.01,9.01 06/04/12 BIOSPECIFICS TECHNOLOGIES CORP DE 8.01,9.01 06/04/12 Black Ridge Oil & Gas, Inc. DE 7.01,8.01,9.01 06/01/12 BOB EVANS FARMS INC DE 2.02,9.01 06/05/12 Bonds.com Group, Inc. DE 3.02,5.02,9.01 05/30/12 Bridgeline Digital, Inc. DE 1.01,2.01,3.02,7.01, 05/31/12 9.01 BUCKEYE PARTNERS, L.P. DE 7.01,9.01 06/05/12 BUCKLE INC NE 5.07 06/01/12 Calpian, Inc. TX 3.02 06/01/12 CANADIAN DERIVATIVES CLEARING CORP A6 9.01 05/31/12 CANTERBURY PARK HOLDING CORP MN 1.01,9.01 06/04/12 Carbon Natural Gas Co DE 8.01 06/05/12 Cardium Therapeutics, Inc. DE 5.07,8.01 05/31/12 CATALYST PHARMACEUTICAL PARTNERS, INC DE 5.07 06/01/12 CELL THERAPEUTICS INC WA 1.01,2.01,3.02,5.02, 05/31/12 7.01,9.01 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 06/05/12 CHECKPOINT SYSTEMS INC PA 5.07 05/31/12 CHEESECAKE FACTORY INC DE 5.07 05/31/12 Chelsea Therapeutics International, L DE 8.01 06/05/12 China Bio-Energy Corp. DE 5.02,9.01 06/04/12 China Media Group CORP TX 8.01 06/05/12 ChinaNet Online Holdings, Inc. NV 3.01 05/30/12 CHOICE HOTELS INTERNATIONAL INC /DE DE 7.01,9.01 06/05/12 CHRISTOPHER & BANKS CORP DE 2.02,9.01 06/05/12 CITIZENS BANCORP OF VIRGINIA INC VA 5.02 06/01/12 CITY HOLDING CO WV 8.01,9.01 06/01/12 CleanTech Biofuels, Inc. 1.01,9.01 05/30/12 CLEARSIGN COMBUSTION CORP WA 7.01,9.01 06/04/12 Cleartronic, Inc. FL 5.02 06/05/12 COHERENT INC DE 1.01,2.03,9.01 05/30/12 COMMUNITY FIRST INC TN 4.01,5.07,9.01 05/30/12 COMPLETE GENOMICS INC DE 2.05,5.02,8.01,9.01 06/01/12 CONCHO RESOURCES INC DE 1.01,2.03,9.01 05/31/12 Constant Contact, Inc. DE 5.07 06/05/12 Constellation Energy Partners LLC DE 1.01,1.02,5.02,9.01 06/04/12 COVENANT BANCSHARES, INC. IL 4.01,9.01 09/19/11 AMEND CROWN DYNAMICS CORP DE 1.01,3.02,5.06,9.01 01/18/12 AMEND CVD EQUIPMENT CORP NY 1.01 05/31/12 CVR ENERGY INC DE 5.02 06/04/12 DAKOTA PLAINS HOLDINGS, INC. NV 1.01,9.01 06/01/12 DARA BioSciences, Inc. DE 5.02 06/01/12 DERMA SCIENCES, INC. PA 5.02,5.07,9.01 05/30/12 Derycz Scientific Inc NV 5.02 06/01/12 Dialogic Inc. DE 5.02 05/30/12 DISH Network CORP NV 2.06 06/05/12 DOUBLE CROWN RESOURCES INC. NV 4.01,9.01 05/30/12 DOUBLE CROWN RESOURCES INC. NV 4.01,9.01 05/30/12 AMEND DUCOMMUN INC /DE/ DE 5.02,9.01 06/04/12 DUNE ENERGY INC DE 5.07,7.01 06/05/12 DYAX CORP DE 8.01 06/05/12 E DIGITAL CORP DE 8.01,9.01 05/30/12 Earn-A-Car Inc. NV 1.01,9.01 05/29/12 EASTMAN CHEMICAL CO DE 1.01,2.03,8.01,9.01 06/05/12 El Paso Pipeline Partners, L.P. DE 7.01 06/05/12 Emergent Health Corp. NV 8.01 03/31/12 EMERGING CTA PORTFOLIO LP NY 3.02 06/01/12 EMISPHERE TECHNOLOGIES INC DE 5.03,5.07,9.01 05/31/12 Energy Future Holdings Corp /TX/ TX 5.02 05/31/12 Energy Recovery, Inc. DE 7.01,9.01 06/05/12 Enphase Energy, Inc. DE 5.02 05/30/12 ENTERPRISE FINANCIAL SERVICES CORP DE 5.02,5.07,9.01 06/04/12 Express Scripts Holding Co. DE 5.07,7.01 05/30/12 EXPRESS, INC. 5.07 05/31/12 FactorShares 2X: Gold Bull/S&P500 Bea 5.01 06/01/12 FactorShares 2X: Oil Bull/S&P500 Bear 5.01 06/01/12 FactorShares 2X: S&P500 Bull/TBond Be 5.01 06/01/12 FactorShares 2X: S&P500 Bull/USD Bear 5.01 06/01/12 FactorShares 2X: TBond Bull/S&P500 Be 5.01 06/01/12 FARMER BROTHERS CO CA 8.01 05/30/12 FBR & Co. VA 5.07 06/05/12 Federal Home Loan Bank of Atlanta X1 2.03 06/05/12 Federal Home Loan Bank of Boston X1 2.03 05/31/12 Federal Home Loan Bank of Chicago X1 2.03 05/30/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 06/01/12 Federal Home Loan Bank of Dallas 2.03,9.01 05/30/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 06/01/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 06/05/12 Federal Home Loan Bank of New York X1 2.03,9.01 05/30/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 05/30/12 Federal Home Loan Bank of San Francis X1 2.03 05/30/12 Federal Home Loan Bank of Topeka 2.03,9.01 05/30/12 FEDERAL NATIONAL MORTGAGE ASSOCIATION 5.02,7.01,9.01 06/05/12 FIRST COMMUNITY BANCSHARES INC /NV/ NV 7.01,9.01 06/05/12 FIRST PACTRUST BANCORP INC MD 8.01,9.01 06/04/12 Firsthand Technology Value Fund, Inc. 8.01,9.01 06/05/12 Fortress Investment Group LLC DE 7.01 06/05/12 FRANKLIN CREDIT HOLDING CORP/DE/ DE 1.01,1.03,9.01 06/04/12 FULLER H B CO MN 2.05,9.01 05/30/12 G III APPAREL GROUP LTD /DE/ DE 2.02,9.01 06/05/12 Gas Natural Inc. OH 1.01,2.03,9.01 06/01/12 General Motors Co 8.01 06/01/12 GENESCO INC TN 7.01 06/05/12 GIGA TRONICS INC CA 2.02,9.01 06/04/12 Global Geophysical Services Inc DE 5.07 05/30/12 GLOBALSCAPE INC DE 5.07 06/04/12 Goldenway, Inc. NV 5.02,9.01 06/05/12 GOLDFIELD CORP DE 5.07 05/31/12 GRAY TELEVISION INC GA 5.07 05/30/12 Greenwood Gold Resources, Inc. NV 5.03,8.01,9.01 05/08/12 Griffin Capital Net Lease REIT, Inc. 7.01,8.01,9.01 06/04/12 GS Mortgage Securities Trust 2012-GCJ DE 9.01 06/05/12 Guaranty Bancorp DE 7.01,9.01 06/05/12 Guidewire Software, Inc. DE 2.02,9.01 06/05/12 GYRODYNE CO OF AMERICA INC NY 8.01,9.01 06/05/12 HALCON RESOURCES CORP DE 5.02,8.01,9.01 05/16/12 HEALTHWAYS, INC DE 5.07 05/31/12 HeartWare International, Inc. DE 5.07,9.01 05/31/12 HERCULES OFFSHORE, INC. DE 8.01 06/05/12 HOSPITALITY PROPERTIES TRUST MD 1.01,8.01,9.01 05/30/12 HUDSON VALLEY HOLDING CORP NY 7.01,8.01,9.01 06/05/12 HUDSON VALLEY HOLDING CORP NY 7.01,9.01 05/21/12 AMEND IBERIABANK CORP LA 8.01,9.01 06/04/12 IDENTIVE GROUP, INC. DE 2.05 05/31/12 INFORMATICA CORP DE 5.02,5.07 05/31/12 Inland American Real Estate Trust, In MD 7.01,9.01 06/05/12 InspireMD, Inc. DE 5.02,5.03,8.01,9.01 06/01/12 INTERMOLECULAR INC DE 5.07 05/30/12 Interval Leisure Group, Inc. DE 7.01,9.01 06/05/12 IRON MOUNTAIN INC DE 7.01,8.01,9.01 06/05/12 ISTA PHARMACEUTICALS INC DE 5.07,8.01,9.01 06/05/12 IVAX DIAGNOSTICS INC DE 5.02 05/30/12 JOY GLOBAL INC DE 5.02 06/05/12 Jpak Group, Inc. NV 5.07 06/05/12 KAPSTONE PAPER & PACKAGING CORP DE 7.01,9.01 06/05/12 KAYDON CORP DE 8.01,9.01 06/05/12 KEATING CAPITAL INC 7.01,9.01 06/05/12 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 06/05/12 KINDER MORGAN MANAGEMENT LLC DE 7.01 06/05/12 KINDER MORGAN, INC. DE 7.01 06/05/12 KINGSWAY FINANCIAL SERVICES INC A6 5.07 06/05/12 Kohlberg Capital CORP DE 5.02,9.01 06/01/12 LAYNE CHRISTENSEN CO DE 2.02,9.01 06/05/12 LIONS GATE ENTERTAINMENT CORP /CN/ A1 8.01 06/05/12 LIQUIDMETAL TECHNOLOGIES INC DE 1.01,2.03,3.02,7.01, 06/01/12 9.01 Lithium Corp 5.02 05/31/12 Lithium Corp 7.01 05/31/12 LOUISIANA-PACIFIC CORP DE 8.01,9.01 06/04/12 LPATH, INC NV 5.02,9.01 06/01/12 LPL Investment Holdings Inc. DE 1.01,5.02,5.07,9.01 05/30/12 Luxeyard, Inc. DE 8.01 05/31/12 Luxeyard, Inc. DE 1.01,3.02,9.01 04/24/12 AMEND LVB Acquisition, Inc. 1.01,9.01 06/01/12 MAGNACHIP SEMICONDUCTOR Corp DE 5.07 05/30/12 MAKO Surgical Corp. DE 8.01,9.01 06/05/12 Marathon Petroleum Corp DE 5.03,9.01 05/30/12 Marathon Petroleum Corp DE 5.02,5.07,9.01 04/25/12 AMEND Marina Biotech, Inc. DE 1.01,8.01,9.01 05/31/12 MARKWEST ENERGY PARTNERS L P 5.02,5.07 06/01/12 MARSHALL EDWARDS INC DE 8.01 06/04/12 MASTERCARD INC DE 5.07 06/05/12 MATTEL INC /DE/ DE 8.01 05/30/12 MATTRESS FIRM HOLDING CORP. DE 2.02,9.01 06/05/12 McEwen Mining Inc. CO 7.01,9.01 06/05/12 MEDICAL INTERNATIONAL TECHNOLOGY INC CO 7.01,9.01 06/05/12 MEDICINES CO /DE DE 8.01,9.01 06/05/12 MeetMe, Inc. DE 5.02,5.07,8.01,9.01 06/01/12 MENTOR GRAPHICS CORP OR 5.02,5.07,9.01 05/30/12 MICRONETICS INC DE 2.02,9.01 05/31/12 MICROS SYSTEMS INC MD 2.01,9.01 05/31/12 Millburn Multi-Markets Fund L.P. DE 3.02 06/01/12 MITCHAM INDUSTRIES INC TX 2.02,9.01 06/05/12 MONMOUTH REAL ESTATE INVESTMENT CORP MD 1.01,3.03,5.03,7.01, 05/31/12 9.01 MOOG INC NY 8.01 06/04/12 MOVE INC DE 5.03,9.01 05/31/12 MPHASE TECHNOLOGIES INC NJ 8.01 06/05/12 MRI INTERVENTIONS, INC. DE 7.01,9.01 06/05/12 Mueller Water Products, Inc. DE 7.01,9.01 06/05/12 Nationstar Mortgage Holdings Inc. DE 8.01,9.01 06/05/12 NBC ACQUISITION CORP DE 1.03,7.01,9.01 05/30/12 NCI BUILDING SYSTEMS INC DE 7.01,9.01 06/05/12 NCI BUILDING SYSTEMS INC DE 7.01,9.01 06/05/12 NEKTAR THERAPEUTICS DE 8.01 06/05/12 NETFLIX INC DE 5.07 06/01/12 NEULION, INC. 5.02,5.07,8.01,9.01 06/05/12 NEWLINK GENETICS CORP 8.01,9.01 06/04/12 NEWS CORP 8.01,9.01 06/05/12 NON INVASIVE MONITORING SYSTEMS INC / FL 1.01,2.03,9.01 05/30/12 NORMAN CAY DEVELOPMENT, INC. NV 9.01 10/14/11 AMEND NOVAGEN SOLAR INC. NV 1.01 06/01/12 NTN BUZZTIME INC DE 5.02,9.01 06/04/12 Nuveen Diversified Commodity Fund DE 7.01,8.01,9.01 05/31/12 OCLARO, INC. DE 5.02,8.01 06/05/12 OGE ENERGY CORP. OK 8.01 05/30/12 OKLAHOMA GAS & ELECTRIC CO OK 8.01 05/30/12 ONEOK INC /NEW/ OK 7.01,8.01,9.01 06/05/12 OPTIMER PHARMACEUTICALS INC 5.02,9.01 06/05/12 ORION FUTURES FUND LP NY 3.02 06/01/12 OXFORD INDUSTRIES INC GA 2.02,9.01 06/05/12 Parametric Sound Corp NV 8.01,9.01 06/01/12 PARK OHIO HOLDINGS CORP OH 9.01 03/23/12 AMEND PARKER HANNIFIN CORP OH 5.02 06/04/12 PARKWAY PROPERTIES INC MD 5.03,9.01 05/30/12 Patient Safety Technologies, Inc DE 7.01,9.01 06/04/12 PDL BIOPHARMA, INC. DE 8.01,9.01 06/05/12 PENNANTPARK INVESTMENT CORP 7.01,9.01 06/05/12 PennyMac Mortgage Investment Trust MD 1.01,2.03,7.01,9.01 05/31/12 PEOPLES BANCORP INC OH 8.01,9.01 06/05/12 PNM RESOURCES INC NM 7.01 05/31/12 Polypore International, Inc. 7.01,9.01 06/05/12 POSITIVEID Corp DE 1.01,2.03,3.02,5.07, 05/31/12 9.01 PRO DEX INC CO 2.03,9.01 05/31/12 PROSPECT CAPITAL CORP MD 8.01,9.01 06/01/12 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 06/05/12 PyroTec, Inc. DE 1.01,2.01,5.03,5.06, 06/04/12 8.01,9.01 QAD INC DE 1.01,1.02,2.03,9.01 05/30/12 QLT INC/BC A1 8.01,9.01 06/04/12 Quest Water Global, Inc. DE 3.02,9.01 05/30/12 RAYTHEON CO/ DE 5.07 05/31/12 RENTECH INC /CO/ CO 7.01,9.01 06/05/12 RLJ Lodging Trust MD 2.01,9.01 05/30/12 Rock-Tenn CO GA 7.01,9.01 06/05/12 Rockwood Holdings, Inc. DE 1.01,2.03,9.01 05/31/12 Rockwood Holdings, Inc. DE 7.01,9.01 06/05/12 ROPER INDUSTRIES INC DE 5.07 06/04/12 SABINE ROYALTY TRUST TX 2.02,9.01 06/05/12 SALON MEDIA GROUP INC DE 1.01,5.02,9.01 05/29/12 Sara Lee Corp MD 7.01,9.01 06/05/12 SCIENTIFIC GAMES CORP DE 5.07 06/05/12 SELECT COMFORT CORP MN 7.01,9.01 06/05/12 SELECT COMFORT CORP MN 7.01,9.01 06/05/12 SILICON IMAGE INC DE 5.02 05/30/12 SLM Student Loan Trust 2003-1 DE 8.01,9.01 06/05/12 SLM Student Loan Trust 2003-4 DE 8.01,9.01 06/05/12 SLM Student Loan Trust 2003-7 DE 8.01,9.01 06/05/12 SOUTHERN CALIFORNIA GAS CO CA 8.01,9.01 06/05/12 SPECIAL OPPORTUNITIES FUND, INC. MD 9.01 06/05/12 STAGE STORES INC NV 5.02 06/01/12 Steel Excel Inc. DE 2.01,5.01,8.01,9.01 05/31/12 STRATASYS INC DE 8.01,9.01 06/05/12 Strategic Storage Trust, Inc. MD 1.01 06/01/12 STRYKER CORP MI 8.01 05/31/12 SUPERFUND GOLD, L.P. DE 1.01,9.01 06/01/12 SUPERFUND GREEN, L.P. J5 1.01,9.01 06/01/12 SUREWEST COMMUNICATIONS CA 1.01,5.02,9.01 06/04/12 Swisher Hygiene Inc. DE 1.01,9.01 05/30/12 SYNTEL INC MI 7.01 06/05/12 TENGION INC DE 5.03,9.01 05/30/12 Terra Tech Corp. NV 1.01,2.01,3.02,3.03, 02/09/12 AMEND 5.01,5.03,5.06,9.01 TEXAS INSTRUMENTS INC DE 5.02 06/04/12 TFS Financial CORP DE 5.02 06/05/12 THOMAS PROPERTIES GROUP INC DE 5.07 06/01/12 THRESHOLD PHARMACEUTICALS INC DE 8.01,9.01 06/04/12 Titan Machinery Inc. DE 5.07 06/01/12 Transocean Ltd. V8 5.03,8.01,9.01 05/30/12 TRIPLE-S MANAGEMENT CORP 5.02,7.01,9.01 05/31/12 Two Harbors Investment Corp. 7.01,9.01 06/04/12 U S PHYSICAL THERAPY INC /NV NV 7.01,9.01 06/05/12 Ulta Salon, Cosmetics & Fragrance, In DE 2.02,9.01 06/05/12 UMPQUA HOLDINGS CORP OR 8.01 06/05/12 UNIGENE LABORATORIES INC DE 7.01,9.01 06/05/12 UNITED NATURAL FOODS INC DE 2.02,9.01 06/05/12 US AIRWAYS GROUP INC DE 2.02,9.01 06/05/12 USA Graphite Inc. NV 8.01 05/29/12 VENTAS INC DE 9.01 05/31/12 VIRTUAL PIGGY, INC. DE 5.02,8.01,9.01 06/05/12 VISHAY INTERTECHNOLOGY INC DE 5.03,9.01 06/05/12 VISTA GOLD CORP B0 4.01,9.01 05/31/12 VIVUS INC CA 8.01,9.01 06/05/12 VWR Funding, Inc. DE 1.01,2.03,9.01 06/04/12 WALGREEN CO IL 2.02,9.01 06/05/12 WALTER INVESTMENT MANAGEMENT CORP MD 7.01,9.01 06/05/12 WARRINGTON FUND LP NY 3.02 06/01/12 WARWICK VALLEY TELEPHONE CO NY 5.02 06/01/12 Westinghouse Solar, Inc. DE 7.01,9.01 06/05/12 Whitestone REIT TX 5.02,8.01 05/30/12 XENOPORT INC DE 2.05,5.02,8.01 05/31/12 Xun Energy, Inc. NV 1.02 06/04/12 YTB International, Inc. DE 5.02,9.01 05/31/12 Zayo Group LLC DE 1.01,7.01,9.01 06/04/12 ZION OIL & GAS INC DE 8.01,9.01 06/05/12
http://www.sec.gov/news/digest/2012/dig060612.htm
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