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Commission announcementsSecurities And Exchange Commission Suspends Trading In The Securities Of Five Issuers For Failure To Make Required Periodic Filings The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on June 29, 2012 and terminating at 11:59 p.m. EDT on July 13, 2012.
The Commission temporarily suspended trading in the securities of these five issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. (Rel. 34-67309) Securities and Exchange Commission Suspends Trading in Securities of China Medical Technologies, Inc. Due to Lack of Current and Accurate InformationThe Commission announced the temporary suspension of trading in the securities of China Medical Technologies, Inc. (“China Medical”), commencing at 9:30 a.m. EST, on June 29, 2012 through 11:59 p.m. EST, on July 13, 2012. The Commission temporarily suspended trading in the securities of China Medical because of questions that have been raised about the accuracy and adequacy of publicly disseminated information concerning, among other things, the status of the company’s officers and directors, the accuracy of the company’s financial statements and filings with the Commission, and the current financial condition of the company. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to China Medical securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. (Rel. 34-67311) Commission Revokes Exchange Act Registration Of Citizens Capital Corp.The Commission has revoked the registration of the securities of Citizens Capital Corp., a Texas corporation based in Dallas, Texas, pursuant to Section 12(j) of the Securities Exchange Act of 1934. The Commission found that the company violated Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 by failing to file any of its required periodic reports for a ten-year period between 2001 and 2011. The Commission also found that Citizens Capital’s consolidated Form 10-K, filed after the issuance of the Commission's Order Instituting Proceedings, was materially deficient for a number of reasons, including that it lacked audited financial statements. The Commission found that Citizens Capital’s violations “deprived the public of current, accurate financial and business information about the Company with which to make informed investment decisions . . . during a period when the Company admittedly engaged in various and significant changes in its business.” In determining to revoke, the Commission found that the company’s “delinquent and deficient filings and other disclosure failures indicate that it still does not appreciate the importance of regulatory compliance.” (Rel. 34-67313) Enforcement proceedingsSEC SHUTS DOWN MORTGAGE FUND PONZI-LIKE SCHEMEThe Securities and Exchange Commission (Commisssion) announced today that it has obtained an emergency court order to halt an alleged Ponzi-like scheme operated by Small Business Capital Corp. (SB Capital) and its principal Mark Feathers (Feathers). According to the Commission, SB Capital and Feathers raised $42 million by selling securities issued by two mortgage investment funds they controlled, Investors Prime Fund, LLC and SBC Portfolio Fund, LLC (Funds). The Honorable Edward J. Davila for the U.S. District Court for the Northern District of California granted the Commission’s request for a temporary restraining order and asset freeze against Feathers, SB Capital, and the Funds and appointed Thomas A. Seaman as a temporary receiver over SB Capital and the Funds. More than 400 investors were attracted to the Funds by promises that profits from mortgage investments would yield annual returns of 7.5 percent or more, the Commission alleged. In reality, it said Feathers operated a Ponzi-like scheme by paying returns to investors that came partly from Fund profits and partly from other investors. The Commission said that from 2009 to early 2012, Feathers improperly transferred more than $6 million from the Funds to SB Capital to pay its expenses, including substantial payments to Feathers. According to the Commission, the defendants had the Funds account for the transfers in a way that disguised the depletion of Fund assets, and did not tell investors that SB Capital’s ability to repay the Funds was uncertain and that it was only able to make the interest payments owed to the Funds by borrowing more from them. In addition, the Commission alleged that investors were not told that in February and March 2012, the defendants caused one Fund to sell mortgages to the other Fund at an inflated price, thus generating a “profit” for the selling Fund so it could pay SB Capital management fees of more than $575,000. The Commission also charged Feathers and SB Capital for SB Capital’s effecting transactions in the Funds’ securities without being registered as a broker-dealer with the SEC. The Commission’s complaint charges Feathers, SB Capital, and the Funds with violations of Section 17(a)(1)-(3) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5(a)-(c) thereunder, and Feathers and SB Capital with violations of Section 15(a) of the Exchange Act; and seeks preliminary and permanent injunctions, and disgorgement of ill-gotten gains with prejudgment interest thereon against all defendants and civil penalties against Feathers and SB Capital. Judge Davila has scheduled a court hearing for July 10, 2012, on the SEC’s motion for a preliminary injunction. (LR-22406) Commission Orders Hearings on Registration Suspension or Revocation Against Six Companies for Failure to Make Required Periodic Filings In conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of six companies for failure to make required periodic filings with the Commission: In the Matter of AngelCiti Entertainment, Inc., et al., Administrative Proceeding File No. 3-14932
In this Order, the Division of Enforcement (Division) alleges that the six issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-67310) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by BOX Options Exchange LLC to amend the BOX Options Exchange LLC Limited Liability Company Agreement and the BOX Holdings Group LLC Limited Liability Company Agreement (SR-BOX-2012-008) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 2. (Rel. 34-67273) A proposed rule change filed by The NASDAQ Stock Market LLC to modify its Excess Order Fee (SR-NASDAQ-2012-073) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 2. (Rel. 34-67292) A proposed rule change filed by the C2 Options Exchange, Incorporated (SR-C2-2012-019) to amend Rule 8.2 regarding Market-Maker registration cost has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 2. (Rel. 34-67296) A proposed rule change filed by The NASDAQ Stock Market LLC applicable to a new version of the NASDAQ TotalView-ITCH Equities Depth Feed and Related Distributor and Administration Fees (SR-NASDAQ-2012-063) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 2. (Rel. 34-67297) A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2012-22) relating to new simultaneous routing functionality has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 2. (Rel. 34-67298) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2012-25) relating to new simultaneous routing functionality has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 2. (Rel. 34-67299) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2012-24) relating to amendments to the EDGA Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 2. (Rel. 34-67300) A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-077) correcting various NASDAQ Options Market Rules has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 2. (Rel. 34-67301) A proposed rule change (SR-CBOE-2012-061) filed by the Chicago Board Options Exchange, Incorporated relating to the Exchange’s Automated Improvement Mechanism has become effective under Section 19(b)(3)(A) under the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 2. (Rel. 34-67302) A proposed rule change filed by the C2 Options Exchange, Incorporated (SR-C2-2012-021) relating to the Exchange’s Automated Improvement Mechanisms has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 2. (Rel. 34-67303) Proposed Rule ChangeThe International Securities Exchange, LLC filed with the Securities and Exchange Commission a proposed rule change (SR-ISE-2012-58) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to list and trade option contracts overlying 10 shares of a security. Publication in the Federal Register is expected during the week of July 2. (Rel. 34-67284) EDGX Exchange, Inc. filed a proposed rule change (SR-EDGX-2012-25) to amend EDGX rules to add the Route Peg Order. Publication in the Federal Register is expected during the week of July 2. (Rel. 34-67290) EDGA Exchange, Inc. filed a proposed rule change (SR-EDGA-2012-28) to amend EDGA rules to add the Route Peg Order. Publication in the Federal Register is expected during the week of July 2. (Rel. 34-67291) The NASDAQ Stock Market LLC filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 of the Securities Exchange Act of 1934 (SR-NASDAQ-2012-072) with respect to the amendment of the by-laws of its parent corporation, the NASDAQ OMX Group, Inc. (“NASDAQ OMX”). Publication in the Federal Register is expected during the week of July 2. (Rel. 34-67293) Approval of Proposed Rule ChangeA proposed rule change by ICE Clear Credit LLC filed to Add Rules Related to the Clearing of Emerging Markets Sovereign Index Credit Default Swaps (File No. SR-ICC-2012-04) has been approved pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 2. (Rel. 34-67289) The Commission approved a proposed rule change, as modified by Amendment No.1, submitted by The NASDAQ OMX PHLX LLC (SR-PHLX-2012-68) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to accept inbound orders from NASDAQ OMX BX’s new options market. Publication in the Federal Register is expected during the week of July 2. (Rel. 34-67294) The Commission approved a proposed rule change submitted by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-061) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 for the NASDAQ Options Market to accept inbound orders from NASDAQ OMX BX’s new options market. Publication in the Federal Register is expected during the week of July 2. (Rel. 34-67295) 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-3 CORNING NATURAL GAS CORP, 330 W WILLIAM ST, P O BOX 58, CORNING, NY, 14830, 6079363755 - 260,000 ($4,095,000.00) Equity, (File 333-182386 - Jun. 28) (BR. 02A) S-8 AMBICOM HOLDINGS, INC, 500 ALDER DRIVE, MILPITAS, CA, 95035, 408-321-0822 - 3,000,000 ($210,000.00) Equity, (File 333-182387 - Jun. 28) (BR. 10A) S-1 NMHG HOLDING CO, 5875 LANDERBROOK DRIVE, CLEVELAND, OH, 44124, 4404499600 - 0 ($1.00) Equity, (File 333-182388 - Jun. 28) (BR. 10B) S-1 Personality Software Systems, Inc., 11730 W. SUNSET BLVD. NO. 119, LOS ANGELES, CA, 90049, 714-274-9379 - 3,000,000 ($150,000.00) Equity, (File 333-182393 - Jun. 28) (BR. ) F-3ASR AMERICA MOVIL SAB DE CV/, LAGO ZURICH 245, COLONIA GRANADA AMPLIACION, MEXICO DF, O5, 11529, 5255-2581-4449 - 0 ($0.00) Non-Convertible Debt, (File 333-182394 - Jun. 28) (BR. 11C) S-8 NYXIO TECHNOLOGIES Corp, 2156 NE BROADWAY, PORTLAND,, OR, 97232, 855-436-6996 - 4,500,000 ($447,750.00) Equity, (File 333-182395 - Jun. 28) (BR. 03B) S-4 LAMAR MEDIA CORP/DE, 5551 CORPORATE BLVD, BATON ROUGE, LA, 70808, 5049261000 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-182396 - Jun. 28) (BR. 11C) S-8 LOJACK CORP, 40 PEQUOT WAY, CANTON, MA, 02021, 781-302-4200 - 840,000 ($2,469,600.00) Equity, (File 333-182398 - Jun. 28) (BR. 11C) S-3ASR JONES LANG LASALLE INC, 200 E RANDOLPH DR, CHICAGO, IL, 60601, 3127825800 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-182399 - Jun. 28) (BR. 08B) S-4 Heckmann Corp, 300 CHERRINGTON PARKWAY, SUITE 200, CORAOPOLIS, PA, 15108, 412-329-7275 - 0 ($250,000,000.00) Debt, (File 333-182400 - Jun. 28) (BR. 04B) S-3D HINES REAL ESTATE INVESTMENT TRUST INC, 2800 POST OAK BLVD, SUITE 5000, HOUSTON, TX, 77056-6118, 7136218000 - 38,560,411 ($300,000,000.00) Equity, (File 333-182401 - Jun. 28) (BR. 08B) S-8 ULURU INC., 4452 BELTWAY DRIVE, ADDISON, TX, 75001, 214-905-5145 - 400,000 ($100,000.00) Equity, (File 333-182402 - Jun. 28) (BR. 01B) S-3ASR WEYERHAEUSER CO, 33663 WEYERHAEUSER WAY SOUTH, FEDERAL WAY, WA, 98003, 2539242345 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-182403 - Jun. 28) (BR. 08C) S-3 NORTHERN STATES POWER CO /WI/, 1414 W HAMILTON AVE, EAU CLAIRE, WI, 54702, 7158392621 - 150,000,000 ($150,000,000.00) Debt, (File 333-182404 - Jun. 28) (BR. 02C) S-8 BRISTOL MYERS SQUIBB CO, 345 PARK AVE, NEW YORK, NY, 10154, 2125464000 - 0 ($2,979,277,076.50) Equity, (File 333-182405 - Jun. 28) (BR. 01A) S-3ASR TEAM HEALTH HOLDINGS INC., 265 BROOKVIEW CENTRE WAY, SUITE 400, KNOXVILLE, TN, 37919, 865-693-1000 - 0 ($0.00) Equity, (File 333-182406 - Jun. 28) (BR. 11C) S-8 BLACKBAUD INC, 2000 DANIEL ISLAND DRIVE, CHARLESTON, SC, 24992-7541, 8432166200 - 7,000,000 ($177,100,000.00) Equity, (File 333-182407 - Jun. 28) (BR. 03A) S-8 TRANZYME INC, 5001 SOUTH MIAMI BOULEVARD, SUITE 300, DURHAM, NC, 27703, 919 474 0020 - 0 ($3,275,000.00) Equity, (File 333-182408 - Jun. 28) (BR. 01B) S-8 DYAX CORP, 55 NETWORK DRIVE, BURLINGTON, MA, 01803-2756, 617-250-5769 - 3,281,286 ($6,956,326.32) Equity, (File 333-182409 - Jun. 28) (BR. 01A) S-8 Ascent Solar Technologies, Inc., 12300 GRANT STREET, THORNTON, CO, 80241, (720) 872-5000 - 1,000,000 ($790,000.00) Equity, (File 333-182410 - Jun. 28) (BR. 10A) S-4 CNH Capital LLC, 5729 WASHINGTON AVENUE, RACINE, WI, 53406, 262.636.6011 - 0 ($500,000,000.00) Debt, (File 333-182411 - Jun. 28) (BR. ) S-8 ENB Financial Corp, 31 E MAIN STREET, PO BOX 457, EPHRATA, PA, 17522-0457, 717-733-4181 - 140,000 ($3,605,000.00) Other, (File 333-182412 - Jun. 28) (BR. 07B) S-3ASR BILL BARRETT CORP, 1099 18TH STREET, SUITE 2300, DENVER, CO, 80202, 303-293-9100 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-182413 - Jun. 28) (BR. 04A) S-4 TGR Financial, Inc., 3560 KRAFT ROAD, NAPLES, FL, 34105, 239-348-8000 - 15,948,082 ($82,799,566.05) Equity, (File 333-182414 - Jun. 28) (BR. ) S-1 Lithium Exploration Group, Inc., 3200 N. HAYDEN ROAD, SUITE 235, SCOTTSDALE, AZ, 85251, 480-641-4790 - 7,999,999 ($3,439,999.57) Equity, (File 333-182415 - Jun. 28) (BR. 09A) S-3 EDAC TECHNOLOGIES CORP, 1806 NEW BRITAIN AVE, FARMINGTON, CT, 06032, 8606772603 - 150,523 ($1,708,436.05) Equity, (File 333-182416 - Jun. 28) (BR. 05B) 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 ----------------------------------------------------------------------------------------- 1st Financial Services CORP NC 5.07 06/25/12 4 KIDS ENTERTAINMENT INC NY 1.01,8.01,9.01 06/24/12 Accenture plc L2 2.02,9.01 06/28/12 ACCENTURE SCA 2.02,9.01 06/28/12 ACHILLION PHARMACEUTICALS INC DE 5.02,9.01 06/25/12 AEMETIS, INC NV 1.01,9.01 06/21/12 ALEXANDERS J CORP TN 1.01,3.03,5.02,5.03, 06/22/12 9.01 Alphatec Holdings, Inc. DE 5.07 06/21/12 AMERICAN GREETINGS CORP OH 2.02,9.01 06/28/12 AMERICAN INTERNATIONAL VENTURES INC / DE 1.01,9.01 06/28/12 AmeriCredit Automobile Receivables Tr 1.01,9.01 06/27/12 Ameris Bancorp GA 1.01,9.01 06/26/12 Amwest Imaging Inc NV 7.01,9.01 06/28/12 ANAVEX LIFE SCIENCES CORP. NV 1.01,3.02,5.02,9.01 06/26/12 Anthera Pharmaceuticals Inc DE 8.01,9.01 06/27/12 APARTMENT INVESTMENT & MANAGEMENT CO MD 8.01,9.01 06/26/12 Apartment Trust of America, Inc. 7.01,8.01,9.01 06/27/12 APPLE INC CA 5.02 06/28/12 APRICUS BIOSCIENCES, INC. NV 3.02 06/27/12 ARENA PHARMACEUTICALS INC DE 8.01 06/27/12 Astex Pharmaceuticals, Inc DE 5.02,9.01 06/22/12 ATHENAHEALTH INC DE 5.02,9.01 06/27/12 AWG International Water Corp 3.02 06/27/12 BANK OF SOUTH CAROLINA CORP SC 8.01,9.01 06/28/12 Banks.com, Inc. FL 5.07 06/27/12 BeesFree, Inc. NV 1.01,9.01 06/22/12 BGC Partners, Inc. DE 9.01 06/28/12 Bio-Matrix Scientific Group, Inc. DE 1.01,9.01 06/15/12 BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 06/28/12 BioMed Realty Trust Inc MD 1.01,2.03,9.01 06/28/12 BKF CAPITAL GROUP INC DE 8.01,9.01 06/28/12 BLAST ENERGY SERVICES, INC. CA 3.02,5.01,8.01,9.01 06/26/12 Bluerock Enhanced Multifamily Trust, MD 1.01,2.01,7.01,9.01 06/22/12 BLYTH INC DE 5.02 06/25/12 Bohai Pharmaceuticals Group, Inc. NV 1.01,9.01 06/28/12 Burger King Holdings Inc DE 5.02,9.01 06/24/12 CalAmp Corp. DE 2.02,9.01 06/28/12 CAMBIUM LEARNING GROUP, INC. 1.01,8.01,9.01 06/22/12 CAREER EDUCATION CORP DE 8.01,9.01 06/28/12 CARVER BANCORP INC DE 2.02 06/28/12 Celsion CORP DE 1.01,2.03,3.02 06/27/12 CHC Helicopter S.A. N4 5.02,8.01,9.01 06/25/12 CITY HOLDING CO WV 7.01 06/27/12 Clean Coal Technologies Inc. NV 5.07 06/26/12 CLEARSIGN COMBUSTION CORP WA 8.01,9.01 06/28/12 COLONIAL COMMERCIAL CORP NY 5.07 06/26/12 CONCEPTUS INC DE 5.02,9.01 06/28/12 CROWN MEDIA HOLDINGS INC DE 5.07 06/27/12 CRYO CELL INTERNATIONAL INC DE 8.01,9.01 06/28/12 CURTISS WRIGHT CORP DE 2.02,9.01 06/28/12 CYPRESS SEMICONDUCTOR CORP /DE/ DE 1.01,1.02,2.03,9.01 06/26/12 CYTOKINETICS INC 5.03 06/20/12 AMEND DEER VALLEY CORP 1.01,5.02,9.01 06/28/12 DISCOVERY LABORATORIES INC /DE/ DE 1.01 06/22/12 Dividend Capital Total Realty Trust I 5.07 06/26/12 EACO CORP FL 5.02 06/22/12 ECOTALITY, INC. NV 1.01,9.01 06/27/12 Ensco plc 5.02 06/27/12 EQUUS TOTAL RETURN, INC. DE 5.07,8.01,9.01 06/26/12 ESCALADE INC IN 8.01,9.01 06/22/12 AMEND EXELON CORP PA 1.01,2.03 06/28/12 FAIRPOINT COMMUNICATIONS INC DE 5.02 06/22/12 FAMILY DOLLAR STORES INC DE 2.02,7.01,9.01 06/28/12 Federal Home Loan Bank of Boston X1 2.03 06/25/12 Federal Home Loan Bank of Chicago X1 2.03 06/25/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 06/25/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 06/26/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 06/28/12 Federal Home Loan Bank of New York X1 2.03,9.01 06/25/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 06/25/12 Federal Home Loan Bank of San Francis X1 2.03 06/25/12 Federal Home Loan Bank of Topeka 2.03,9.01 06/25/12 Federal Home Loan Bank of Topeka 7.01,9.01 06/28/12 Fibrocell Science, Inc. DE 1.01,3.02,9.01 06/28/12 FIELDPOINT PETROLEUM CORP CO 7.01,9.01 06/25/12 FINANCIAL INSTITUTIONS INC NY 1.01,8.01 06/22/12 FIRST CITIZENS BANCSHARES INC /DE/ DE 8.01 06/28/12 FIRST CITIZENS BANCSHARES INC /DE/ DE 5.02 06/25/12 Firsthand Technology Value Fund, Inc. 8.01,9.01 06/28/12 FNB United Corp. NC 8.01,9.01 06/25/12 FORD MOTOR CO DE 8.01 06/28/12 FORD MOTOR CREDIT CO LLC DE 8.01 06/28/12 FRANKLIN COVEY CO UT 2.02,8.01,9.01 06/28/12 Fuel Systems Solutions, Inc. 5.02,9.01 06/28/12 FURNITURE BRANDS INTERNATIONAL INC DE 5.02,9.01 06/22/12 GENCORP INC OH 2.02,7.01,9.01 06/28/12 GEORESOURCES INC CO 8.01,9.01 06/28/12 Gevo, Inc. DE 8.01,9.01 06/28/12 GLOBAL CASINOS INC UT 1.01,9.01 06/25/12 Globalstar, Inc. DE 8.01 06/24/12 GRAPHITE CORP NV 8.01,9.01 06/22/12 GREENBRIER COMPANIES INC OR 2.02,9.01 06/28/12 HALCON RESOURCES CORP DE 8.01,9.01 06/28/12 HARBINGER GROUP INC. DE 8.01 06/27/12 HECLA MINING CO/DE/ DE 5.02,8.01 06/26/12 HENNESSY ADVISORS INC 7.01,9.01 06/25/12 HERITAGE FINANCIAL CORP /WA/ WA 5.02,9.01 06/25/12 Hines Global REIT, Inc. MD 8.01 06/28/12 HINES REAL ESTATE INVESTMENT TRUST IN 8.01 06/28/12 HOUSTON AMERICAN ENERGY CORP DE 8.01,9.01 06/27/12 HUDSON TECHNOLOGIES INC /NY NY 1.01,1.02,2.03,9.01 06/22/12 ICON ECI FUND FIFTEEN, L.P. DE 8.01 06/28/12 ICON Equipment & Corporate Infrastruc DE 8.01 06/28/12 INLAND REAL ESTATE CORP MD 5.07 06/28/12 INUVO, INC. NV 5.07 06/21/12 INVESTORS CAPITAL HOLDINGS LTD MA 2.02 06/28/12 INVESTORS REAL ESTATE TRUST ND 5.02,9.01 06/28/12 ISIS PHARMACEUTICALS INC DE 1.01,2.03 10/15/08 AMEND JONES SODA CO WA 5.02,8.01,9.01 06/28/12 AMEND Kallo Inc. NV 7.01,9.01 06/27/12 KIT digital, Inc. DE 3.02 06/22/12 KNIGHT CAPITAL GROUP, INC. DE 1.01,2.03,9.01 06/27/12 KRISPY KREME DOUGHNUTS INC NC 8.01,9.01 06/28/12 LAS VEGAS SANDS CORP NV 1.01,1.02,2.03,7.01 06/25/12 LEGG MASON, INC. MD 1.01,1.02,2.03,8.01, 06/27/12 9.01 Liberty Interactive Corp 7.01,9.01 06/27/12 Lightstone Value Plus Real Estate Inv MD 7.01,9.01 06/28/12 LORAL SPACE & COMMUNICATIONS INC. DE 1.01,9.01 06/26/12 Lustros Inc. UT 4.01,9.01 06/28/12 Marriott Vacations Worldwide Corp DE 8.01,9.01 06/28/12 McEwen Mining Inc. CO 7.01,9.01 06/28/12 MEDALLION FINANCIAL CORP DE 8.01,9.01 06/25/12 MEDTOX SCIENTIFIC INC DE 8.01,9.01 06/28/12 METHODE ELECTRONICS INC DE 2.02,9.01 06/28/12 MetroCorp Bancshares, Inc. TX 1.01,8.01,9.01 06/27/12 MINN DAK FARMERS COOPERATIVE ND 8.01 06/26/12 Monster Offers NV 3.02,9.01 06/28/12 MORGAN STANLEY DE 5.02,7.01,9.01 06/27/12 MSC INDUSTRIAL DIRECT CO INC NY 2.02,9.01 06/28/12 NACCO INDUSTRIES INC DE 7.01,9.01 06/28/12 New York & Company, Inc. 5.02,9.01 06/28/12 NEWS CORP 8.01,9.01 06/28/12 NEWS CORP 8.01,9.01 06/28/12 NIKE INC OR 2.02,9.01 06/28/12 NiMin Energy Corp. A0 5.07,8.01,9.01 06/26/12 NOBILITY HOMES INC FL 3.01,9.01 06/22/12 NUVILEX, INC. NV 2.01,2.03,3.02,9.01 05/26/11 Oiltanking Partners, L.P. DE 5.02,7.01,9.01 06/25/12 OMEROS CORP WA 1.01,8.01,9.01 06/27/12 OMNOVA SOLUTIONS INC OH 2.02,9.01 06/27/12 Oraco Resources, Inc. NV 1.01,2.01,3.02,5.01, 05/16/11 AMEND 5.06,8.01,9.01 ORIENTAL FINANCIAL GROUP INC PR 7.01,9.01 06/28/12 ORIENTAL FINANCIAL GROUP INC PR 8.01 06/27/12 Oryon Technologies, Inc. NV 2.01,3.02,4.01,5.01, 05/04/12 AMEND 5.02,5.03,5.06,9.01 OVERHILL FARMS INC NV 8.01 06/26/12 OxySure Systems Inc 3.02 06/28/12 P&F INDUSTRIES INC DE 5.02,9.01 06/22/12 Pacific Ethanol, Inc. DE 1.01,7.01,8.01,9.01 06/27/12 PediatRx Inc. NV 1.01,9.01 06/27/12 PGT, Inc. DE 8.01 06/28/12 PHARMATHENE, INC DE 5.07 06/22/12 PHH CORP MD 2.03,5.02,8.01,9.01 06/22/12 PHOENIX COMPANIES INC/DE DE 8.01,9.01 06/28/12 PIONEER NATURAL RESOURCES CO DE 1.01,9.01 06/26/12 PNC FINANCIAL SERVICES GROUP, INC. PA 8.01,9.01 06/28/12 PRIME GLOBAL CAPITAL GROUP Inc NV 1.01,3.02,9.01 06/25/12 Primoris Services Corp DE 1.01,9.01 06/20/12 PROASSURANCE CORP DE 7.01,9.01 06/27/12 PROSPERITY BANCSHARES INC TX 8.01,9.01 06/27/12 PULASKI FINANCIAL CORP MO 1.01,9.01 06/27/12 QR Energy, LP DE 8.01 06/28/12 QUALSTAR CORP CA 5.02 06/22/12 QUANTUM CORP /DE/ DE 1.01,9.01 06/28/12 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,1.02,2.03,3.02, 06/22/12 9.01 QUICK-MED TECHNOLOGIES INC 1.01 06/28/12 AMEND QUICKLOGIC CORPORATION CA 1.01,9.01 06/28/12 RADISYS CORP OR 5.07 06/26/12 RANCHER ENERGY CORP. NV 1.03 06/19/12 Resolute Energy Corp DE 8.01,9.01 06/28/12 REYNOLDS AMERICAN INC 8.01,9.01 06/28/12 Santander Drive Auto Receivables Trus DE 1.01,8.01,9.01 06/26/12 Santander Drive Auto Receivables Trus DE 8.01,9.01 06/28/12 SBA COMMUNICATIONS CORP FL 1.01,3.02,7.01,9.01 06/25/12 SCHNITZER STEEL INDUSTRIES INC OR 2.02,9.01 06/28/12 SCOLR Pharma, Inc. DE 2.02,9.01 06/20/12 SeaCube Container Leasing Ltd. 1.01,2.03,9.01 06/27/12 SELECT COMFORT CORP MN 7.01,9.01 06/28/12 Shoshone Silver/Gold Mining Co ID 5.02 06/27/12 Skinny Nutritional Corp. NV 1.01,3.02,9.01 06/22/12 SMITH & WESSON HOLDING CORP NV 2.02,9.01 06/28/12 SMITH & WESSON HOLDING CORP NV 7.01,9.01 06/28/12 SunCoke Energy, Inc. 7.01,9.01 06/28/12 SYNAGEVA BIOPHARMA CORP DE 5.07 06/27/12 SYNTA PHARMACEUTICALS CORP 7.01,8.01,9.01 06/27/12 SYNTHESIS ENERGY SYSTEMS INC DE 5.07 06/28/12 SYPRIS SOLUTIONS INC DE 8.01,9.01 06/25/12 TEAM HEALTH HOLDINGS INC. DE 8.01,9.01 06/28/12 TEC Technology, Inc. DE 1.01,3.03,5.03,9.01 06/28/12 TEL OFFSHORE TRUST TX 2.02,9.01 06/28/12 TELLABS INC DE 5.02,9.01 06/27/12 Tennessee Valley Authority 1.01,1.02,2.03,9.01 06/25/12 TESSERA TECHNOLOGIES INC DE 8.01,9.01 06/28/12 THERMO FISHER SCIENTIFIC INC. DE 2.05 06/22/12 TIBCO SOFTWARE INC DE 2.02,9.01 06/28/12 TRANSATLANTIC PETROLEUM LTD. D0 7.01,9.01 06/28/12 TripAdvisor, Inc. DE 5.07 06/26/12 TRIUMPH GROUP INC DE 8.01 06/28/12 ULTRATECH INC DE 1.01,9.01 06/26/12 United Continental Holdings, Inc. DE 7.01,9.01 06/28/12 United States Heating Oil Fund, LP DE 7.01,9.01 06/28/12 US BANCORP \DE\ DE 8.01 06/28/12 USA TECHNOLOGIES INC PA 7.01,9.01 06/28/12 USA TECHNOLOGIES INC PA 8.01,9.01 06/28/12 USA TECHNOLOGIES INC PA 8.01,9.01 06/28/12 Varca Ventures, Inc. NV 1.01,2.03,3.02,9.01 06/22/12 VIASYSTEMS GROUP INC DE 1.01,2.03,9.01 06/27/12 VII Peaks-KBR Co-Optivist Income BDC MD 5.03,5.07,9.01 06/27/12 VISTA GOLD CORP B0 7.01,9.01 06/28/12 W&T OFFSHORE INC TX 5.02 06/19/12 AMEND Walker & Dunlop, Inc. MD 8.01,9.01 06/28/12 WASHINGTON TRUST BANCORP INC RI 5.02,9.01 06/27/12 WELLS REAL ESTATE INVESTMENT TRUST II MD 1.01 06/28/12 Wendy's Co DE 7.01,9.01 06/27/12 WESTERN CAPITAL RESOURCES, INC. MN 1.01,8.01 06/22/12 Western Gas Partners LP DE 1.01,1.02,9.01 06/28/12 WFRBS Commercial Mortgage Trust 2012- 8.01,9.01 06/28/12 Wikifamilies, Inc. NV 4.01 06/27/12 WILLIAMS SONOMA INC CA 1.01 06/22/12 Wonhe High-Tech International, Inc. NV 1.01,2.01,5.01,5.02, 06/27/12 5.03,5.06,9.01 WORTHINGTON INDUSTRIES INC OH 2.02,7.01,9.01 06/28/12 WOUND MANAGEMENT TECHNOLOGIES, INC. TX 2.04 05/21/12 ZAP COM CORP NV 8.01 06/27/12
http://www.sec.gov/news/digest/2012/dig062912.htm
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