SEC News Digest, June 20, 2012

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Commission Announcements

SEC Adopts Rule Requiring Listing Standards For Compensation Committees and Compensation Advisers

The Securities and Exchange Commission has approved a rule that directs national securities exchanges to adopt listing standards for public company boards of directors and compensation advisers.

The new rule, required by the Dodd-Frank Wall Street Reform and Consumer Protection Act, requires exchange listing standards to address:

The independence of the members on a compensation committee
The committee’s authority to retain compensation advisers
The committee’s consideration of the independence of any compensation advisers and
The committee’s responsibility for the appointment, compensation, and oversight of the work of any compensation adviser.

Once an exchange’s new listing standards are in effect, a listed company must meet the standards in order for its shares to continue trading on that exchange.

“This rule will help to enhance the board’s decision-making process on executive compensation matters, particularly the selection, engagement and oversight of compensation advisers, and will provide more transparency with respect to conflicts of interest of consultants engaged by boards,” said SEC Chairman Mary L. Schapiro.

The SEC also amended its proxy disclosure rules to require new disclosures from companies about their use of compensation consultants and conflicts of interest.

The new rule and rule amendments will take effect 30 days after publication in the Federal Register. No later than 90 days after effectiveness, each exchange that lists equity securities must propose listing standards that comply with the new rule. The new listing standards must be approved by the Commission within one year of the new rule becoming effective. (Press Rel. 2012-115)

SEC Chief Accountant James Kroeker to Leave the Commission

The Securities and Exchange Commission today announced that Chief Accountant James L. Kroeker will leave the SEC in July to enter the private sector.

Mr. Kroeker came to the SEC in 2007 as Deputy Chief Accountant and has been the agency’s Chief Accountant since January 2009. In that role, he has guided the operations of the SEC’s Office of the Chief Accountant and counseled the Commission on a wide range of accounting and auditing issues.

“Jim has provided superb counsel on a range of accounting and auditing related matters and has always stressed the importance of accounting to our investor protection mission,” said Chairman Mary L. Schapiro.

Mr. Kroeker said, “It has been a unique privilege to be a member of the Commission’s staff during this truly unprecedented time and to have had the opportunity to work alongside the talented and dedicated individuals in the SEC's Office of the Chief Accountant and across the Commission.”

At the SEC, Mr. Kroeker served as staff director of the agency’s study of fair value accounting standards, which was mandated by Congress in 2008, and led the efforts of the Office of the Chief Accountant to improve off-balance sheet accounting standards. He also guided the Commission’s efforts as it continues to consider convergence of U.S. and international accounting standards.

Before joining the SEC staff, Mr. Kroeker was partner at Deloitte & Touche LLP, most recently serving in the firm's National Office Accounting Services Group. From 1999 to 2001, Mr. Kroeker served as a Practice Fellow at the Financial Accounting Standards Board. (Press Rel. 2012-116)

Enforcement Proceedings

Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Seven Public Companies For Failure to Make Required Periodic Filings

Today, 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:

Florida First Equities Corp. (n/k/a Data Imaging Services, Inc.)
Fooquest, Inc.
Foodvision.com, Inc. (FVSN)
Forefront, Inc. (f/k/a Anyox Resources, Inc.)
Futronix Group, Inc.
Genicom Corp. (n/k/a Oldgen, Inc.)
Global Online India, Inc. (GOLX)

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. 34-67221; File No. 3-14923)

SEC Charges Massachusetts Investment Adviser With Fraud and Obtains Preliminary Injunction and Asset Freeze

The Securities and Exchange Commission announced today that it has charged Gary J. Martel of Chelsea, Massachusetts with defrauding investors. The Commission’s complaint, filed in federal district court on June 19, 2012, alleges that from at least 2006 to the present, Martel, who did business as Martel Financial Group and MFG Funding, defrauded at least 12 investors in Massachusetts, Vermont and Florida of at least $1.6 million and likely obtained significantly more from other investors. Today, with Martel’s consent, the court entered a preliminary injunction freezing Martel’s assets and prohibiting him from continuing to violate the antifraud provisions of the federal securities laws.

The complaint alleges that Martel told investors, many of them retirees looking for a safe investment earning reliable income, that he would place their money in “pass-through bonds” or other products, which he assured investors were safe. In March 2012, Martel allegedly also solicited investments in a Facebook investment pool. In fact, however, the complaint alleges that the investments Martel offered were fictitious.

The Commission’s complaint alleges that Martel violated Section 17(a) of the Securities Act of 1933; Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. In its action, the Commission seeks the entry of a permanent injunction against Martel, disgorgement of ill-gotten gains plus pre-judgment interest thereon, and the imposition of civil monetary penalties. [SEC v. Gary J. Martel, d/b/a Martel Financial Group, and MFG Funding 12-CV-11095 -FDS (D. Mass.)] (LR-22396)

Self-Regulatory Organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-53) to eliminate the rules and fees related to the Second Market 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 June 18. (Rel. 34-67211)

A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-55) to extend a fee discount pilot program for large-sized foreign currency options 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 June 18. (Rel. 34-67212)

A proposed rule change (SR-NYSEARCA-2012-61) filed by NYSE Arca prescribing the Series 56 examination as the qualifying examination for registered Market Makers, Market Maker Authorized Traders and Floor Brokers 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 June 18. (Rel. 34-67213)

A proposed rule change (SR-NYSEMKT-2012-09) filed by the NYSE MKT prescribing the Series 56 examination as the qualifying examination for registered Market Makers, Market Maker Authorized Traders and Floor Brokers, 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 June 18. (Rel. 34-67214)

Proposed Rule Change

International Securities Exchange, LLC, filed a proposed rule change (SR-ISE-2012-52) under Section 19(b)(1) of the Securities Exchange Act of 1934 to allow Competitive Market Makers to use their membership points to enter multiple quotes in an options class. Publication is expected in the Federal Register during the week of June 18. (Rel. 34-67216)

Securities Act Registrations

The 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     J C PENNEY CO INC, 6501 LEGACY DRIVE, PLANO, TX, 75024-3698, 
        9722431100 - 6,100,000 ($150,060,000.00) Equity, (File 333-182202 - 
        Jun. 19) (BR. 02B)

S-8     C&J Energy Services, Inc., 10375 RICHMOND AVENUE, SUITE 2000, HOUSTON, 
        TX, 77042, 713-260-9900 - 4,300,000 ($79,120,000.00) Equity, 
        (File 333-182203 - Jun. 19) (BR. 04A)

F-3ASR  BRITISH TELECOMMUNICATIONS PLC /ADR, 81 NEWGATE ST, LONDON, X0, 
        EC1A 7A5, 0114402073565000 - 0 ($0.00) Debt, (File 333-182204 - 
        Jun. 19) (BR. 11A)

S-3ASR  POPULAR INC, 209 MUNOZ RIVERA AVE, POPULAR CENTER BUILDING, HATO REY, 
        PR, 00918, 7877659800 - 0 ($6,860,000.00) Equity, (File 333-182210 - 
        Jun. 19) (BR. 12A)

S-1     Gulf United Energy, Inc., 3555 TIMMONS LANE, SUITE 1510, HOUSTON, TX, 
        77027, (713) 942-6575 - 75,125,000 ($6,010,000.00) Equity, 
        (File 333-182211 - Jun. 19) (BR. 09B)

S-8     Pandora Media, Inc., 2101 WEBSTER STREET, SUITE 1650, OAKLAND, CA, 
        94612, (510) 451-4100 - 0 ($65,820,306.44) Equity, (File 333-182212 - 
        Jun. 19) (BR. 11A)

S-3ASR  POPULAR INC, 209 MUNOZ RIVERA AVE, POPULAR CENTER BUILDING, HATO REY, 
        PR, 00918, 7877659800 - 0 ($0.00) Other, (File 333-182213 - Jun. 19) 
        (BR. 12A)

S-8     POWERSECURE INTERNATIONAL, INC., 1609 HERITAGE COMMERCE COURT, 
        WAKE FOREST, NC, 27587, 919-556-3056 - 
        1,400,000 ($6,622,000.00) Equity, (File 333-182214 - Jun. 19) (BR. 02C)

S-3     Fifth Third Holdings Funding, LLC, 1701 GOLF ROAD, TOWER 1, 9TH FLOOR, 
        ROLLING MEADOWS, IL, 60008, 847-354-7341 - 
        0 ($1,000,000.00) Asset-Backed Securities, (File 333-182215 - Jun. 19) 
        (BR. 05D)

S-3     HEMISPHERX BIOPHARMA INC, 1617 JFK BLVD #660, ONE PENN CENTER, 
        PHILADELPHIA, PA, 19104, 2159880080 - 0 ($150,000,000.00) Equity, 
        (File 333-182216 - Jun. 19) (BR. 01A)

S-8     CBL & ASSOCIATES PROPERTIES INC, 2030 HAMILTON PLACE BVLD, SUITE 500, 
        CBL CENTER, CHATTANOOGA, TN, 37421, 4238550001 - 
        10,400,000 ($186,160,000.00) Equity, (File 333-182217 - Jun. 19) 
        (BR. 08C)

S-8     INCYTE CORP, ROUTE 141 & HENRY CLAY ROAD, BUILDING E336, WILMINGTON, 
        DE, 19880, 3024986700 - 0 ($86,320,000.00) Equity, (File 333-182218 - 
        Jun. 19) (BR. 01A)

S-8     GATX CORP, 222 WEST ADAMS STREET, CHICAGO, X1, 60606-5314, 3126216200 - 
        3,500,000 ($131,407,500.00) Equity, (File 333-182219 - Jun. 19) 
        (BR. 05B)

S-3     WEYERHAEUSER CO, 33663 WEYERHAEUSER WAY SOUTH, FEDERAL WAY, WA, 98003, 
        2539242345 - 0 ($1.00) Unallocated (Universal) Shelf, 
        (File 333-182220 - Jun. 19) (BR. 08C)

S-8     BILL BARRETT CORP, 1099 18TH STREET, SUITE 2300, DENVER, CO, 80202, 
        303-293-9100 - 6,284,884 ($108,068,580.38) Equity, (File 333-182221 - 
        Jun. 19) (BR. 04A)

S-3ASR  DUN & BRADSTREET CORP/NW, 103 JFK PARKWAY, 103 JFK PARKWAY, 
        SHORT HILLS, NJ, 07078, 9739215500 - 0 ($0.00) Debt, (File 333-182222 - 
        Jun. 19) (BR. 11C)

S-3ASR  CHICAGO BRIDGE & IRON CO N V, P O BOX 74658, 1075 AD AMSTERDAM, P8, 
        00000, 0 ($0.00) Unallocated (Universal) Shelf, (File 333-182223 - 
        Jun. 19) (BR. 06A)

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

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

-----------------------------------------------------------------------------------------
3D SYSTEMS CORP                         DE       8.01,9.01            06/13/12

3DICON CORP                                      8.01,9.01            06/18/12

ACCELERIZE NEW MEDIA INC                DE       8.01                 06/14/12

ACI WORLDWIDE, INC.                     DE       5.02,5.07,9.01       06/14/12

ADOBE SYSTEMS INC                       DE       2.02,9.01            06/19/12

AETNA INC /PA/                          PA       7.01                 06/19/12

AFFYMAX INC                             DE       1.01,5.02,5.07       06/13/12

AGENUS INC                              DE       5.02,5.07,7.01,9.01  06/13/12

AIR PRODUCTS & CHEMICALS INC /DE/       DE       8.01,9.01            06/14/12

AIR PRODUCTS & CHEMICALS INC /DE/       DE       7.01,9.01            06/19/12

ALION SCIENCE & TECHNOLOGY CORP         DE       7.01,9.01            06/19/12

ALLIANCE DATA SYSTEMS CORP              DE       7.01,9.01            06/19/12

ALLIANCE ONE INTERNATIONAL, INC.        VA       5.02,5.03,7.01,9.01  06/14/12

AMBIENT CORP /NY                        DE       4.01,9.01            06/08/12    AMEND

AMERICAN CAMPUS COMMUNITIES INC         MD       5.07                 05/05/11    AMEND

AMERICAN CHURCH MORTGAGE CO             MN       5.07                 06/19/12

American Electric Technologies Inc      FL       5.07                 06/14/12

AMERICAN EXPRESS CREDIT ACCOUNT MASTE   DE       8.01,9.01            06/19/12

AMERICAN GREETINGS CORP                 OH       5.07                 06/15/12

AMERICAN SIERRA GOLD CORP.              NV       5.03                 06/15/12

AMERICANWEST BANCORPORATION             WA       7.01,9.01            06/15/12

Ameris Bancorp                          GA       5.02                 06/14/12

AMICUS THERAPEUTICS INC                 DE       5.02,5.07            06/13/12

Applied Minerals, Inc.                  DE       4.01,9.01            06/14/12

Ares Commercial Real Estate Corp        MD       7.01,9.01            06/19/12

ARIAD PHARMACEUTICALS INC               DE       8.01,9.01            06/17/12

ARKANSAS BEST CORP /DE/                 DE       1.01,2.01,2.03,9.01  06/14/12

Aspect FuturesAccess LLC                DE       3.02                 06/14/12

ASSURED GUARANTY LTD                    D0       8.01,9.01            06/19/12

ASSURED GUARANTY LTD                    D0       2.02,9.01            06/19/12

ATHENA SILVER CORP                      DE       3.02,9.01            06/16/12

ATVROCKN                                NV       3.02                 06/15/12

AUDIENCE INC                                     8.01,9.01            06/19/12

BAKERS FOOTWEAR GROUP INC               MO       2.02,7.01,9.01       06/14/12

BALCHEM CORP                            MD       5.07,9.01            06/14/12

BANK JOS A CLOTHIERS INC /DE/           DE       5.07                 06/15/12

Bankrate, Inc.                          DE       5.07                 06/13/12

BankUnited, Inc.                        DE       8.01,9.01            06/19/12

BARNES & NOBLE INC                      DE       2.02,9.01            06/19/12

BARNES GROUP INC                        DE       5.02,9.01            06/14/12

BAYOU CITY EXPLORATION, INC.                     4.01,9.01            06/07/12    AMEND

BFC FINANCIAL CORP                      FL       5.07,8.01,9.01       06/19/12

BIOCUREX INC                            A1       5.02                 06/13/12

BioRestorative Therapies, Inc.          NV       9.01                 06/19/12

BIOSANTE PHARMACEUTICALS INC            DE       8.01,9.01            06/18/12

BLUEGREEN CORP                          MA       5.07,9.01            06/19/12

BODY CENTRAL CORP                                7.01,9.01            06/18/12

BOINGO WIRELESS INC                     DE       5.07                 06/13/12

BON TON STORES INC                      PA       1.01,9.01            06/15/12

CAMPBELL SOUP CO                        NJ       7.01,9.01            06/19/12

Capital Financial Holdings, Inc         ND       5.02                 06/12/12

Carbonite Inc                           DE       5.07                 06/18/12

CEDAR REALTY TRUST, INC.                MD       5.07                 06/15/12

CENTURY PROPERTIES FUND XIX             CA       1.01,9.01            06/14/12

CH ENERGY GROUP INC                     NY       5.07,9.01            06/19/12

CHAMPION INDUSTRIES INC                 WV       3.01                 06/18/12

CHEMBIO DIAGNOSTICS, INC.               NV       7.01,9.01            06/19/12

CHIMERA INVESTMENT CORP                 DE       7.01,9.01            06/19/12

CHINACAST EDUCATION CORP                DE       8.01                 06/19/12

CIRCLE STAR ENERGY CORP.                NV       1.01,9.01            06/18/12

CLEARSIGN COMBUSTION CORP               WA       8.01,9.01            06/19/12

CLOUD PEAK ENERGY INC.                  DE       7.01,9.01            06/19/12

CME GROUP INC.                          DE       5.07                 06/13/12

CMS ENERGY CORP                         MI       1.01,9.01            06/13/12

COACH INC                               MD       1.01,1.02,2.03       06/18/12

COLE REAL ESTATE INCOME STRATEGY (DAI   MD       5.03,9.01            06/14/12

CONCUR TECHNOLOGIES INC                 DE       1.01                 06/13/12

CORGENIX MEDICAL CORP/CO                NV       8.01,9.01            06/19/12

CORINTHIAN COLLEGES INC                          2.05                 06/13/12

Coronado Corp.                          NV       5.03,9.01            06/14/12

Coronus Solar Inc.                      A1       1.01,7.01,9.01       06/19/12

CORPORATE OFFICE PROPERTIES TRUST       MD       5.02,5.03,9.01       06/19/12

COVENTRY HEALTH CARE INC                DE       7.01                 06/19/12

CRAWFORD & CO                           GA       8.01,9.01            06/14/12

CROSS TIMBERS ROYALTY TRUST             TX       2.02,9.01            06/19/12

Crumbs Bake Shop, Inc.                  DE       5.07                 06/14/12

CSS INDUSTRIES INC                      DE       5.03,9.01            06/18/12

CubeSmart                               MD       8.01                 06/19/12

CYTOKINETICS INC                                 3.01,9.01            06/19/12

DAWSON GEOPHYSICAL CO                   TX       7.01,9.01            06/19/12

DAYSTAR TECHNOLOGIES INC                DE       5.02                 06/13/12

DDR CORP                                OH       8.01,9.01            06/19/12

DecisionPoint Systems, Inc.                      1.01,9.01            05/24/12

Discover Financial Services             DE       2.02,9.01            06/19/12

DOLLAR TREE INC                         VA       5.02,5.07,7.01,9.01  06/13/12

DONEGAL GROUP INC                       DE       7.01,9.01            06/19/12

DTE ENERGY CO                           MI       3.02,9.01            06/18/12

DYNAMICS RESEARCH CORP                  MA       5.03,5.07,9.01       06/13/12

DYNEGY INC.                             DE       8.01,9.01            06/18/12

Eastern Insurance Holdings, Inc.        PA       8.01,9.01            06/18/12

EdgeWave, Inc.                          DE       5.07                 06/13/12

Enduro Royalty Trust                    DE       2.02,9.01            06/19/12

Energiz Renewable, Inc.                 FL       8.01,9.01            06/12/12

EnergySolutions, Inc.                   DE       5.02                 06/15/12

ENSIGN GROUP, INC                                5.02                 06/18/12    AMEND

Enstar Group LTD                        D0       7.01,9.01            06/19/12

EPOLIN INC /NJ/                         NJ       5.01,5.02,9.01       06/13/12

ESB FINANCIAL CORP                      PA       8.01,9.01            06/19/12

EXELON CORP                             PA       1.01,2.03            06/18/12    AMEND

ExlService Holdings, Inc.               DE       5.02,5.07            06/15/12

Federal Home Loan Bank of Atlanta       X1       2.03                 06/19/12

Federal Home Loan Bank of Chicago       X1       2.03                 06/13/12

Federal Home Loan Bank of Dallas                 2.03,9.01            06/18/12

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            06/15/12

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            06/19/12

Federal Home Loan Bank of New York      X1       2.03,9.01            06/13/12

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            06/13/12

Federal Home Loan Bank of San Francis   X1       2.03                 06/13/12

Federal Home Loan Bank of Seattle                2.03                 06/13/12

Federal Home Loan Bank of Topeka                 2.03,9.01            06/13/12

FEDEX CORP                              DE       2.02,9.01            06/19/12

FERRO CORP                              OH       1.01,9.01            06/15/12

FIRST BUSINESS FINANCIAL SERVICES, IN   WI       7.01,9.01            06/19/12

FIRST COMMONWEALTH FINANCIAL CORP /PA   PA       8.01,9.01            06/19/12

FIRST EQUITY PROPERTIES INC             NV       2.01                 06/19/12

FIRST INTERSTATE BANCSYSTEM INC         MT       8.01,9.01            06/19/12

First Liberty Power Corp                NV       1.01,2.01,9.01       05/31/12    AMEND

FIRST TRUST ACTIVE DIVIDEND INCOME FU            8.01,9.01            06/18/12

Flux Power Holdings, Inc.               NV       3.02                 06/14/12

Forestar Group Inc.                     DE       8.01                 06/16/12

FRANKLIN COVEY CO                       UT       8.01                 06/18/12

FRANKLIN COVEY CO                       UT       1.01,2.03,9.01       06/15/12

FSI INTERNATIONAL INC                   MN       2.02,5.02,9.01       06/19/12

FULTON FINANCIAL CORP                   PA       7.01,8.01,9.01       06/19/12

FURNITURE BRANDS INTERNATIONAL INC      DE       1.01,3.03,7.01,9.01  06/18/12

GALLAGHER ARTHUR J & CO                 DE       8.01,9.01            06/19/12

GAMCO INVESTORS, INC. ET AL             NY       8.01                 06/18/12

GASCO ENERGY INC                        NV       7.01,9.01            06/18/12

GEOVIC MINING CORP.                     DE       5.02,5.07,7.01,9.01  06/15/12

GLOBAL GOLD CORP                        DE       5.07,8.01            06/15/12

GOLDMAN SACHS GROUP INC                 DE       9.01                 06/19/12

GOOD TIMES RESTAURANTS INC              NV       1.01,3.02,8.01,9.01  06/19/12

Graystone Co                            DE       3.02,5.07,8.01       06/11/12

Greenpower International Group Ltd               2.01,3.02,5.02,5.06, 02/10/12    AMEND
                                                 9.01
          
Griffin-American Healthcare REIT II,    MD       8.01                 06/15/12

GRYPHON GOLD CORP                       NV       7.01,9.01            06/18/12

GUIDED THERAPEUTICS INC                 DE       7.01,9.01            06/19/12

GULFMARK OFFSHORE INC                   DE       5.02,9.01            06/13/12

HARRIS INTERACTIVE INC                  DE       7.01                 06/15/12

HEALTHCARE TRUST OF AMERICA, INC.       MD       8.01,9.01            05/16/12

HEALTHSOUTH CORP                        DE       7.01,9.01            06/19/12

Highbridge Commodities FuturesAccess    DE       3.02                 06/14/12

HORIZON PHARMA, INC.                    DE       1.01                 06/14/12

HUGOTON ROYALTY TRUST                   TX       2.02,9.01            06/19/12

IMMUCELL CORP /DE/                      DE       8.01,9.01            06/19/12

IMMUNOGEN INC                           MA       5.02                 06/13/12

Independence Energy Corp.               NV       1.01,9.01            06/18/12

INDEPENDENCE HOLDING CO                 DE       5.03,9.01            06/19/12

INNODATA INC                            DE       5.02                 06/14/12

Innovaro, Inc.                                   5.02,9.01            06/14/12

INTEGRATED DEVICE TECHNOLOGY INC        DE       8.01,9.01            06/19/12

INTEGRYS ENERGY GROUP, INC.             WI       1.01,2.03,9.01       06/13/12

INTERNAP NETWORK SERVICES CORP          DE       5.07                 06/14/12

INTERNATIONAL MONETARY SYSTEMS LTD /W   WI       5.07                 06/14/12

Investors Bancorp Inc                   DE       1.01,7.01,9.01       06/14/12

JABIL CIRCUIT INC                       DE       2.02,9.01            06/19/12

JEFFERIES GROUP INC /DE/                DE       2.02,9.01            06/19/12

JONES LANG LASALLE INC                  MD       8.01                 06/19/12

KINGSWAY FINANCIAL SERVICES INC         A6       8.01                 06/18/12

KKR & Co. L.P.                          DE       7.01,9.01            06/19/12

KRONOS WORLDWIDE INC                             9.01                 06/13/12    AMEND

LA-Z-BOY INC                            MI       2.02,9.01            06/19/12

LAKES ENTERTAINMENT INC                 MN       5.07                 06/15/12

Lazard Group LLC                        DE       5.02,9.01            06/13/12

Lazard Ltd                              D0       5.02,9.01            06/13/12

LIFEPOINT HOSPITALS, INC.                        1.01,8.01,9.01       06/13/12

LINKEDIN CORP                           DE       5.07                 06/14/12

LNB BANCORP INC                         OH       1.01,9.01            06/13/12

LPL Financial Holdings Inc.             DE       5.03,9.01            06/15/12

LyondellBasell Industries N.V.          P7       1.02,8.01            06/15/12

MAGELLAN GOLD Corp                      NV       1.02                 06/15/12

MAKEMUSIC, INC.                         MN       5.02,8.01,9.01       06/13/12

MARKWEST ENERGY PARTNERS L P                     7.01,9.01            06/19/12

MARTIN MIDSTREAM PARTNERS LP            DE       1.01,7.01,9.01       06/18/12

MB FINANCIAL INC /MD                             5.07                 06/13/12

MBIA INC                                CT       5.02,7.01,9.01       06/19/12

MCKESSON CORP                           DE       7.01,9.01            06/19/12

MEDGENICS, INC.                         DE       1.01,3.02,7.01,9.01  06/18/12

MEMC ELECTRONIC MATERIALS INC           DE       5.02                 06/19/12    AMEND

MERITOR INC                             IN       1.01,1.02,2.03       06/18/12

MESA ROYALTY TRUST/TX                   TX       2.02,9.01            06/19/12

METLIFE INC                             DE       8.01                 06/18/12

MF Global Holdings Ltd.                 DE       7.01,9.01            06/15/12

MINES MANAGEMENT INC                    ID       5.07                 06/14/12

MITEL NETWORKS CORP                              2.02,9.01            06/19/12

ML Winton FuturesAccess LLC             DE       3.02                 06/14/12

MOTRICITY INC                           DE       3.01,5.02,9.01       06/14/12

Mount Knowledge Holdings, Inc.          NV       1.01                 06/15/12

MSB FINANCIAL CORP.                     X1       8.01,9.01            06/18/12

NATIONAL PATENT DEVELOPMENT CORP        DE       1.01,8.01,9.01       06/18/12

NETWORK EQUIPMENT TECHNOLOGIES INC      DE       8.01,9.01            06/19/12

NETWORK EQUIPMENT TECHNOLOGIES INC      DE       5.02                 06/18/12

NeurogesX Inc                           CA       1.01,2.03            06/15/12

NeurogesX Inc                           CA       8.01,9.01            06/18/12

NEWFIELD EXPLORATION CO /DE/            DE       7.01,8.01,9.01       06/19/12

NEWFIELD EXPLORATION CO /DE/            DE       7.01,9.01            06/19/12

NEWLINK GENETICS CORP                            8.01,9.01            06/19/12

NEWS CORP                                        8.01,9.01            06/19/12

NORTH BAY RESOURCES INC                 DE       1.01,2.03,3.02,9.01  06/19/12

NOVA NATURAL RESOURCES CORP             CO       8.01                 05/31/12

NYSE Euronext                           DE       1.01,1.02,2.03,9.01  06/15/12

ONLINE INTERNET NETWORK, INC.           NV       8.01,9.01            06/15/12

ORIENT EXPRESS HOTELS LTD               D0       2.02,9.01            06/19/12

ORTHOFIX INTERNATIONAL N V                       7.01,9.01            06/18/12

Ortus Currency FuturesAccess LLC        DE       3.02                 06/14/12

OVERLAND STORAGE INC                    CA       5.07                 06/12/12

OVERSEAS SHIPHOLDING GROUP INC          DE       5.02,5.05,8.01,9.01  06/14/12

Pacific Coast Oil Trust                 DE       1.01,5.03,9.01       06/15/12

PACIFIC OFFICE PROPERTIES TRUST, INC.   MD       2.01,9.01            06/18/12

PALATIN TECHNOLOGIES INC                DE       8.01,9.01            06/19/12

PAWS Pet Company, Inc.                  IL       1.01,3.02,9.01       06/19/12

PDL BIOPHARMA, INC.                     DE       8.01,9.01            06/18/12

PENN VIRGINIA RESOURCE PARTNERS L P     DE       7.01,9.01            06/18/12

PEP BOYS MANNY MOE & JACK               PA       5.02,9.01            06/18/12

PEPSICO INC                             NC       5.02,7.01,9.01       06/15/12

PEPSICO INC                             NC       7.01                 06/19/12

PERMIAN BASIN ROYALTY TRUST             TX       2.02,9.01            06/19/12

PHARMACYCLICS INC                       DE       7.01,9.01            06/16/12

PLURISTEM THERAPEUTICS INC              NV       8.01                 06/19/12

POWIN CORP                                       5.02,5.07,9.01       06/13/12

PROSPECT GLOBAL RESOURCES INC.          NV       8.01,9.01            06/19/12

PUGET ENERGY INC /WA                    WA       5.02                 06/19/12

Quadrant 4 Systems Corp                 FL       2.02,7.01,9.01       06/19/12

Quamtel, Inc.                           NV       5.02                 06/11/12

QUESTCOR PHARMACEUTICALS INC            CA       7.01,9.01            06/14/12

RAINMAKER SYSTEMS INC                   DE       1.01,2.03,9.01       06/14/12

RAMTRON INTERNATIONAL CORP              DE       5.02,9.01            06/14/12

Raptor Pharmaceutical Corp              DE       8.01,9.01            06/18/12

Regency Energy Partners LP              DE       1.01,9.01            06/19/12

ROSETTA STONE INC                                5.02,9.01            06/18/12

SAN JUAN BASIN ROYALTY TRUST            TX       2.02,9.01            06/19/12

Sanchez Energy Corp                     DE       8.01                 06/19/12

SAVANNAH BANCORP INC                    GA       1.01,9.01            06/13/12

SIGNET JEWELERS LTD                              8.01                 06/19/12

SIGNET JEWELERS LTD                              5.07                 06/15/12

SINCLAIR BROADCAST GROUP INC            MD       5.07                 06/14/12

Skinny Nutritional Corp.                NV       5.03,9.01            06/13/12

SKULLCANDY, INC.                                 5.02,5.07            06/15/12

SMART ONLINE INC                        DE       1.01,2.03,3.02,5.07, 06/13/12
                                                 9.01
          
SONUS NETWORKS INC                      DE       7.01,8.01,9.01       06/19/12

SONUS NETWORKS INC                      DE       1.01,8.01,9.01       06/18/12

Spirit Airlines, Inc.                   DE       5.07                 06/13/12

STAGE STORES INC                        NV       8.01,9.01            06/19/12

Star Gold Corp.                         NV       3.02                 06/19/12

STEEL DYNAMICS INC                      IN       8.01,9.01            06/15/12

Strategic Mining Corp                            1.01,3.02,9.01       04/10/12    AMEND

SUFFOLK BANCORP                         NY       5.02,9.01            06/18/12

SUNPOWER CORP                           DE       5.02                 06/18/12

Surge Global Energy, Inc.               DE       1.01,2.03,3.02,5.02, 05/16/12
                                                 9.01
          
SYNTA PHARMACEUTICALS CORP                       5.07                 06/14/12

SYNTHESIS ENERGY SYSTEMS INC            DE       1.01,3.02,7.01,9.01  06/18/12

TECHPRECISION CORP                               8.01,9.01            06/19/12

THERAVANCE INC                          DE       8.01,9.01            06/19/12

Thermon Group Holdings, Inc.            DE       5.02,9.01            06/15/12

Tianli Agritech, Inc.                   D8       1.02,9.01            06/15/12

TIDELANDS ROYALTY TRUST B               TX       7.01,9.01            06/19/12

TMX Finance LLC                         DE       5.02                 06/14/12

TNP Strategic Retail Trust, Inc.        MD       1.01,2.03,9.01       06/13/12

Tonix Pharmaceuticals Holding Corp.     NV       7.01,9.01            06/19/12

TPG Specialty Lending, Inc.             DE       3.02                 06/18/12

TRANSATLANTIC PETROLEUM LTD.            D0       1.01,1.02,2.01,9.01  06/13/12

TRI CITY BANKSHARES CORP                WI       5.07                 06/13/12

TRICO BANCSHARES /                      CA       4.01,9.01            06/13/12

Trunkbow International Holdings Ltd     NV       5.07                 06/14/12

TWO RIVERS WATER Co                     CO       7.01                 06/19/12

UFP TECHNOLOGIES INC                    DE       5.07                 06/14/12

UNITED BANCORP INC /MI/                 MI       1.01,9.01            06/19/12

United Health Products, Inc.            NV       5.02                 06/19/12

UNIVERSAL AMERICAN CORP.                DE       5.02                 06/18/12

US HOME SYSTEMS INC                     DE       5.07                 06/15/12

VERINT SYSTEMS INC                      DE       1.01,5.02,5.07,9.01  06/13/12

Vringo Inc                              DE       8.01,9.01            06/19/12

W R GRACE & CO                          DE       7.01,9.01            06/18/12

WALGREEN CO                             IL       2.02,7.01,8.01,9.01  06/19/12

WALGREEN CO                             IL       1.01,3.02,8.01,9.01  06/18/12

WEB.COM GROUP, INC.                     DE       5.02,9.01            06/15/12

WESTBRIDGE RESEARCH GROUP               CA       5.07                 06/19/12

Western Refining, Inc.                  DE       8.01,9.01            06/13/12

WILEY JOHN & SONS, INC.                 NY       7.01                 04/30/12

XATA CORP /MN/                          MN       5.02                 06/18/12

XILINX INC                              DE       5.02,9.01            06/13/12

YATERRA VENTURES CORP.                           1.01,9.01            06/01/12

Zalicus Inc.                            DE       8.01,9.01            06/19/12

Zayo Group LLC                          DE       1.01,3.03,8.01,9.01  06/15/12

ZIOPHARM ONCOLOGY INC                   DE       8.01,9.01            06/19/12

Zumiez Inc                              WA       1.01,7.01,9.01       06/19/12

http://www.sec.gov/news/digest/2012/dig062012.htm

SEC News Digest