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Commission announcementsSecurities and Exchange Commission Suspends Trading in the Securities of China Mobile Media Technology, Inc. for Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of China Mobile Media Technology, Inc., commencing at 9:30 a.m. EDT on September 18, 2012 and terminating at 11:59 p.m. EDT on October 1, 2012. The Commission temporarily suspended trading in the securities of China Mobile Media Technology, Inc. due to a lack of current and accurate information about the company because it has 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 this company. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspension, no quotation may be entered relating to the securities of the subject company 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 this company that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-67873) Securities and Exchange Commission Suspends Trading in the Securities of Three Issuers For Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on September 18, 2012 and terminating at 11:59 p.m. EDT on October 1, 2012.
The Commission temporarily suspended trading in the securities of these three issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-67875) Securities and Exchange Commission Suspends Trading in the Securities of Enwin Resources, Inc. for Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of Enwin Resources, Inc., commencing at 9:30 a.m. EDT on September 18, 2012 and terminating at 11:59 p.m. EDT on October 1, 2012. The Commission temporarily suspended trading in the securities of Enwin Resources, Inc. due to a lack of current and accurate information about the company because it has 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 this company. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspension, no quotation may be entered relating to the securities of the subject company 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 this company that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-67877) ENFORCEMENT PROCEEDINGSSEC Charges Chicago-Based Investment Firm With Misleading Investors in Private Equity OfferingsThe Securities and Exchange Commission today charged the co-founder of a Chicago-based investment firm with misleading investors in two private equity offerings, and charged the other co-founder with supervisory failures related to the offerings. Advanced Equities Inc. – a broker-dealer and investment advisory firm – and co-founders Dwight O. Badger and Keith G. Daubenspeck were charged in connection with private offerings in 2009 and 2010 on behalf of an alternative energy company in Silicon Valley, Calif., which was not identified by name in the SEC’s administrative proceeding. Badger led the sales effort for the offerings and made misstatements about the energy company’s finances that Daubenspeck did not correct, thus failing to reasonably supervise Badger. Daubenspeck co-founded Advanced Equities with Badger and was the former chief executive of its parent company. Daubenspeck is the chairman of the parent company’s board. Badger, Daubenspeck, and their firm agreed to settle the SEC’s charges. According to the SEC’s order, Badger said in the 2009 offering that the energy company had more than $2 billion of order backlogs when the backlog never exceeded $42 million. He also said it had a $1 billion order from a national grocery store chain even though the store only had placed a $2 million order and signed a non-binding letter of intent for future purchases. Badger said that the company had been granted a U.S. Department of Energy loan exceeding $250 million when it had applied for a $96.8 million loan, and he again misstated the information about the loan application during the follow-up offering in 2010. “Dwight Badger misled investors by embellishing key facts about the energy company’s sales orders and its loan application to the Department of Energy,” said Merri Jo Gillette, Director of the SEC’s Chicago Regional Office. “The SEC will continue to be vigilant in uncovering fraud in private securities offerings and holding registered securities professionals accountable.” According to the SEC’s order, Daubenspeck participated in at least two internal sales calls with Advanced Equities brokers during the 2009 offering and remained silent after he heard Badger make misstatements about the company’s order backlog, grocery store order, and Department of Energy loan application. Despite the red flags raised by the misstatements and the obvious risk that false information would be repeated to investors, Daubenspeck did not take reasonable steps to correct the misstatements and thus failed reasonably to supervise Badger. Advanced Equities agreed to pay a $1 million penalty, and agreed to be censured and to cease and desist from committing or causing any future violations of the securities laws it was found to have violated. The firm also agreed to numerous undertakings including hiring an independent consultant to review its sales policies and procedures. Badger agreed to pay a $100,000 penalty and be barred for one year from association with any broker, dealer, investment adviser, municipal securities dealer or transfer agent. Daubenspeck agreed to pay a $50,000 penalty and a one-year supervisory suspension. Advanced Equities, Badger, and Daubenspeck consented to the entry of the cease-and-desist order without admitting or denying the SEC’s charges. The SEC’s investigation was conducted in the Chicago Regional Office by investigative attorneys Richard Stoltz and Anne McKinley and litigation counsel Steven Seeger and John Birkenheier with assistance from Jennifer Gladfelter, Christopher Caprio, George Jacobus, and Dan Gregus of the broker-dealer examinations staff and Daryl Hartman, Anne Salvador, Magdaline Gavas, Erik Lillya, Andrew Schuster, and David Mueller of the investment management examinations staff. (Press Rel. 2012-191; 33-9362) Commission Orders Hearings on Registration Suspension or Revocation Against China Mobile Media Technology, Inc., for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of China Mobile Media Technology, Inc., for failure to make required periodic filings with the Commission: In this Order, the Division of Enforcement (Division) alleges that China Mobile Media Technology, Inc., is delinquent in its 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 registration pursuant to Exchange Act Section 12 of each class of the securities of this Respondent 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. 34-67872; File No. 3-15026) Commission Orders Hearings on Registration Suspension or Revocation Against Three Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of three companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the three 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. 34-67874; File No. 3-15027) Commission Orders Hearings on Registration Suspension or Revocation Against Enwin Resources, Inc. for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of Enwin Resources, Inc. for failure to make required periodic filings with the Commission: In this Order, the Division of Enforcement (Division) alleges that Enwin Resources, Inc. is delinquent in its 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 registration pursuant to Exchange Act Section 12 of each class of the securities of this Respondent 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. 34-67876; File No. 3-15028) In the Matter of Jeremy LouderOn September 18, 2012, the United States Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Jeffrey Louder (Louder). The Order finds that on October 18, 2011, Louder pleaded guilty to one count of conspiracy to commit mail fraud based on false statements and omissions used to solicit investments in Monarch Vision Advisors, LLC, d/b/a Quadwealth. See U.S. v. Jeremy Louder, Crim. No. 41:11-CR, USDC, EDTX. The Order finds that, in connection with the plea, Louder admitted to telling investors, among other things, representations that misled investors into believing that their investments were generating income when in fact these investments had been lost. Louder also admitted that he knew these representations and omissions were material. Based on the above, the Order bars Louder from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Louder consented to the issuance of the Order. (Rel. IA-3465; File No. 3-15029) In the Matter of Jeffrey BrownOn September 18, 2012, the United States Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Jeffrey Brown (Brown). The Order finds that on July 29, 2011, Brown pleaded guilty to one count of conspiracy to commit mail fraud based on false statements and omissions used to solicit investments in Monarch Vision Advisors, LLC, d/b/a Quadwealth. See U.S. v. Jeffrey Brown, Crim. No. 41:11-CR, USDC, EDTX. The Order finds that, in connection with the plea, Brown admitted to telling investors, among other things, that they could earn over 100% per year in investments that were safe, liquid, and guaranteed to never lose value, and that he knowingly failed to disclose that Quadwealth would use investor funds to pay for Brown’s personal expenses. Brown also admitted that he knew these representations and omissions were material. Based on the above, the Order bars Brown from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Brown consented to the issuance of the Order. (Rel. IA-3466; File No. 3-15030 In the Matter of Timothy J. AubreyThe United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Timothy J. Aubrey (Aubrey). The Order finds that on August 6, 2012, a final judgment was entered against Aubrey in Securities and Exchange Commission v. Jerry L. Aubrey, et al. (Civil Action Number SACV 11-1564 JVS (RNBx) (C.D. Cal.)), permanently enjoining him from future violations of Sections 5 and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Based on the above, the Order bars Aubrey from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and bars Aubrey from 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. Aubrey consented to the issuance of the Order without admitting or denying the findings in the Order, except he admitted the entry of the permanent injunctions. (Rel. 34-67883; File No. 3-15032) In the Matter of Michael K. KrohnThe United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against Michael K. Krohn (Krohn). [In the Matter of Michael K. Krohn, CPA, Administrative Proceeding Number 3-15033.] The Order finds that on August 9, 2012 a Final Judgment was entered by consent against Krohn, permanently enjoining him from future violations of Sections 5(a), 5(c), 17(a)(2), and 17(a)(3) of the Securities Act of 1933 in the civil action entitled Securities and Exchange Commission v. The Companies (TC), LLC, et al., Civil Action Number 2:12-cv-00765-DN, in the United States District Court for the District of Utah. The Commission’s complaint alleged that Krohn and his partners participated in an offering by The Companies (TC), LLC (The Companies) involving the purchase of distressed real estate for investment. Krohn settled the civil action which was filed by the Commission on July 6, 2012, and alleged that Krohn participated in raising money to purchase real estate. The Companies or its subsidiary, Alpha Real Estate Holdings, L.P. (Alpha LP), initiated four unregistered offerings of securities from January 2009 to June 2011. Krohn participated in the offerings by providing content for and approval of the private placement memoranda (PPMs) used to solicit investors and by directly offering the securities to investors. The four offerings raised a total of approximately $11.9 million from approximately 169 investors. The PPMs contained material misrepresentations and omissions related to, among other things, the value of properties to be purchased or that were owned by the Companies or Alpha LP. In addition to containing false representations, each of the four offerings relied on the exemption to registration under Regulation D, Rule 506. The offerings did not qualify for the Rule 506 exemption because Krohn solicited investors through general solicitation at meetings that were open to the public. Based on the above, the Order bars Krohn from appearing or practicing before the Commission as an accountant with the option to apply for reinstatement after two years. Krohn consented to the issuance of the Order without admitting or denying the findings in the Order, except he admitted the entry of the injunction. (Rel. 34-67884; File No. 3-15033) In the Matter of Ryan M. ArmourThe United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940. Making Findings and Imposing Remedial Sanctions (Order) against Ryan M. Armour, 31 years old, of Chicago, Illinois. The Order finds that on September 10, 2012, a judgment was entered against Armour in United States v. Ryan Armour, Crim. Information No. 1:2012-CR-317 based on his guilty plea to one count of bank fraud in violation of Title 18 United States Code, Section 1344. The Order finds that the criminal information alleged that from March 2007 through March 2011, Armour was a managing director and 50% owner of Kingsbury Bridge Advisors, LLC (Kingsbury), an investment adviser registered with the Commission. Kingsbury was employed to provide investment advisory services to a trust (Trust) established to pay medical and living expenses for an individual. Armour also undertook responsibility for reviewing the individual's bills and preparing checks as needed. From approximately December 15, 2008 through August 10, 2010, Armour negotiated approximately 66 checks on the Trust bank account, naming either himself or his company, R.C. Venture Partners, LLC, as payee and by forging the trustee's signature. In this manner, Armour stole a total of approximately $682,500 from the Trust. Based on the above, the Order bars Ryan Armour from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Ryan Armour consented to the issuance of the Order. (Rel. IA-3468; File No. 3-15034) In the Matter of Urigen Pharmaceuticals, Inc.An Administrative Law Judge has issued an Initial Decision as to Urigen Pharmaceuticals, Inc. (Urigen), in Quintek Technologies, Inc., Admin. Proc. No. 3-14890. The Order Instituting Proceedings alleged that Urigen repeatedly failed to file required annual and quarterly reports while its securities were registered with the Securities and Exchange Commission. The Initial Decision finds these allegations to be true and revokes the registration of each class of registered securities of Urigen, pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act). The proceeding has ended as to the remaining Respondents. See Quintek Tech., Inc., Exchange Act Release Nos. 67269 (June 27, 2012), 67396 (July 11, 2012). (Initial Decision No. 469; File No. 3-14890) SEC Charges Former CEO and Chairman of Mamtek, U.S. with Fraud in the Offer and Sale of Municipal BondsThe Securities and Exchange Commission today filed suit in U.S. District Court for the Central District of California, charging former CEO and chairman of Mamtek U.S., Bruce Cole, with fraud related to the offer and sale of municipal bonds. The SEC’s complaint alleges that Cole executed a scheme to defraud investors and made material misrepresentations and omissions in connection with the July 2010 offer and sale of $39 million of appropriations credit bonds backed by the City of Moberly, Missouri (“Moberly”). The bond offering was intended to finance a sucralose processing plant in Moberly that Mamtek would construct and operate. The SEC alleges that Cole executed his fraud by directing unsuspecting Mamtek employees to take actions that diverted over $900,000 in bond proceeds for his and his wife’s personal use and by misleading city officials and bondholders about the use of those proceeds. According to the complaint, prior to the close of the bond offering, Cole directed Mamtek employees and consultants to create false documentation for a nonexistent company to falsely justify fictitious expenses for the sucralose project. The complaint alleges he then instructed Mamtek employees to wire his wife, Nanette H. Cole, $900,000 in bond proceeds, which were used to pay, among other things, their mortgage, credit card debt, homeowners and auto insurance, and household employees, in part, under the false pretense that she was an agent of the sham company. The complaint further alleges that as a precondition to the issuance of the bonds, Cole signed a certificate representing certain portions of the Official Statement delivered to bondholders for the $39 million offering were not false or misleading. However, at the time that Cole signed the document, he had already directed the creation of the false documentation and had made preliminary plans to divert and misuse the bond proceeds, rendering his representation in the closing certificate false. In doing so, he misrepresented the use of bond proceeds and the accuracy of the Official Statement. By engaging in this conduct, Cole has violated Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, for making material misrepresentations and omissions and engaging in a scheme to defraud the city and bondholders. Through this Complaint, the Commission seeks a permanent injunction, disgorgement with prejudgment interest, and a civil penalty. The Commission further names Nanette Cole as a relief defendant because she obtained the bond proceeds from her husband, and seeks return of those funds. The Commission acknowledges the cooperation and assistance of the Missouri Attorney General’s office in connection with this matter. [SEC v. Bruce Cole and Nanette Cole, United States District Court for the Central District of California (Case No. CV 12-8024 ABC (SHx))] (LR-22484) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by BOX Options Exchange LLC regarding strike price intervals in the Short Term Options Program (SR-BX-2012-012) 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 September 17. (Rel. 34-67870) Notice of Designation of Longer Period for Commission ActionThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-BOX-2012-003) filed by BOX Options Exchange LLC, to amend the Price Improvement Period. Publication is expected in the Federal Register during the week of September 17. (Rel. 34-67871) 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 STAKOOL, INC., 18565 SOLEDAD CANYON ROAD #153, CANYON COUNTRY, CA, 91351, (310) 309-9080 - 400,000,000 ($360,000.00) Equity, (File 333-183928 - Sep. 17) (BR. 04B) S-1 Lake Play Inc, 2710 OXBOROUGH DRIVE, MATTHEWS, NC, 28105, 704-708-9284 - 10,597,572 ($529,880.00) Equity, (File 333-183937 - Sep. 17) (BR. ) S-1 Boomer Ventures Inc., POSADA DEL REY VIA ITALIA PUNTA PAITILLA, PANAMA CITY, R1, 00000, 507-6004-1546 - 0 ($100,000.00) Equity, (File 333-183938 - Sep. 17) (BR. 03) S-3ASR CIMAREX ENERGY CO, 1700 LINCOLN STREET, SUITE 1800, DENVER, CO, 80203-4518, 303-295-3995 - 0 ($0.00) Other, (File 333-183939 - Sep. 17) (BR. 04A) S-3 COUNTERPATH CORP, 300-505 BURRARD STREET, VANCOUVER, A1, V7X 1M3, 604-320-3344 - 0 ($50,000,000.00) Other, (File 333-183940 - Sep. 17) (BR. 03B) S-8 TRINITY INDUSTRIES INC, 2525 STEMMONS FREEWAY, DALLAS, TX, 75207-2401, 214-631-4420 - 3,000,000 ($94,020,000.00) Equity, (File 333-183941 - Sep. 17) (BR. 05B) S-3 CORONADO BIOSCIENCES INC, 15 NEW ENGLAND EXECUTIVE PARK, BURLINGTON, MA, 01802, 781-238-6621 - 0 ($75,000,000.00) Equity, (File 333-183943 - Sep. 17) (BR. 01B) S-1 BIOMET INC, 56 EAST BELL DR, WARSAW, IN, 46582, 5742676639 - 0 ($1.00) Other, (File 333-183946 - Sep. 17) (BR. 10A) S-4 SM Energy Co, 1775 SHERMAN STREET, SUITE 1200, DENVER, CO, 80203, 303-861-8140 - 0 ($400,000,000.00) Debt, (File 333-183948 - Sep. 17) (BR. 04B) S-1 Longhai Steel Inc., NO. 1 JINGGUANG ROAD, NEIQIU COUNTY, XINGTAI CITY, HEBEI PROVINCE, F4, 13090, 315-430-8047 - 2,560,006 ($2,592,006.06) Equity, (File 333-183949 - Sep. 17) (BR. 06B) 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. NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- Abtech Holdings, Inc. NV 3.02,8.01,9.01 09/12/12
ACI WORLDWIDE, INC. DE 1.01,9.01 09/11/12
Addus HomeCare Corp DE 5.02 09/13/12
ADT Corp DE 7.01,9.01 09/17/12
ADT Corp DE 8.01,9.01 09/17/12
ADVANCED MICRO DEVICES INC DE 5.02,7.01,9.01 09/17/12
ADVOCAT INC DE 8.01 09/17/12
AEROFLEX HOLDING CORP. DE 8.01 09/10/12
AF OCEAN INVESTMENT MANAGEMENT Co FL 5.02,9.01 09/17/12
AgFeed Industries, Inc. NV 2.02,9.01 09/14/12
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 09/17/12
Alta Mesa Holdings, LP TX 7.01,9.01 09/17/12
AMBAC FINANCIAL GROUP INC DE 7.01 09/14/12
AMERICAN AXLE & MANUFACTURING HOLDING DE 8.01,9.01 09/17/12
AMERICAN EXPRESS CO NY 7.01 09/17/12
AMERICAN PACIFIC CORP DE 8.01,9.01 09/14/12
American Standard Energy Corp. DE 1.01,2.01,2.03,3.02, 09/11/12
5.02,9.01
AMERICAN VANGUARD CORP DE 5.02,8.01,9.01 09/12/12
AMYRIS, INC. DE 1.01,2.03,3.02 09/14/12
ARES CAPITAL CORP MD 1.01,2.03,7.01,9.01 09/14/12
ASURE SOFTWARE INC DE 9.01 07/01/12 AMEND
Bancorp, Inc. 8.01,9.01 09/17/12
BERKSHIRE HATHAWAY INC DE 8.01,9.01 09/17/12
BMC SOFTWARE INC DE 5.02 09/17/12
BNC BANCORP NC 5.02,8.01,9.01 09/14/12
BREEZE-EASTERN CORP DE 5.07 09/14/12
BROOKS AUTOMATION INC DE 2.05 09/12/12
CABELAS INC DE 7.01,9.01 09/17/12
CABLEVISION SYSTEMS CORP /NY DE 8.01,9.01 09/13/12
CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 09/14/12
Cardigant Medical Inc. DE 5.02 09/17/12
Care Investment Trust Inc. MD 1.01,7.01,9.01 09/12/12
CarePayment Technologies, Inc. OR 8.01,9.01 09/17/12
CASEYS GENERAL STORES INC IA 5.07,7.01,9.01 09/14/12
CATERPILLAR FINANCIAL SERVICES CORP DE 1.01,2.03,9.01 09/13/12
CATERPILLAR INC DE 1.01,2.03,9.01 09/13/12
CHAMPION INDUSTRIES INC WV 1.01,2.03,9.01 09/17/12
CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 09/17/12
Chesapeake Lodging Trust MD 8.01,9.01 09/13/12
COMPLETE GENOMICS INC DE 1.01,2.03,9.01 09/15/12
CPI International Holding Corp. 8.01 09/17/12
CRIMSON EXPLORATION INC. 8.01,9.01 09/17/12
CROGHAN BANCSHARES INC OH 8.01 09/17/12
Cryoport, Inc. NV 5.07 09/13/12
Customers Bancorp, Inc. PA 1.01,3.02,7.01,9.01 09/14/12
DARA BioSciences, Inc. DE 1.01 09/12/12
DEL TORO SILVER CORP. NV 1.01,7.01 09/12/12
Digital Development Group Corp NV 8.01 09/10/12
Douglas Emmett Inc MD 8.01,9.01 09/13/12
E DIGITAL CORP DE 1.01,1.02,9.01 09/11/12
EMISPHERE TECHNOLOGIES INC DE 1.01,5.02,9.01 09/13/12
EPLUS INC DE 5.07 09/13/12
EVCARCO, INC. NV 5.02,9.01 09/12/12
Evolucia Inc. NV 1.01,5.02,9.01 09/13/12
FIRST PACTRUST BANCORP INC MD 9.01 07/01/12 AMEND
FLEXTRONICS INTERNATIONAL LTD. U0 8.01,9.01 09/17/12
FLOW INTERNATIONAL CORP WA 5.07 09/13/12
FMC CORP DE 5.02,9.01 09/13/12
FOCUS GOLD Corp 5.02,8.01 09/13/12
FOREST OIL CORP NY 1.01,2.03,9.01 09/12/12
Forestar Group Inc. DE 1.01,2.03,9.01 09/14/12
FOSSIL INC DE 5.02,9.01 09/13/12
FS Energy & Power Fund DE 2.02,9.01 09/14/12
FS Investment Corp II MD 2.02,9.01 09/14/12
FX ENERGY INC NV 8.01,9.01 09/17/12
GENERAL CABLE CORP /DE/ DE 7.01,9.01 09/17/12
GEOGLOBAL RESOURCES INC. DE 5.02,8.01,9.01 09/12/12
GERON CORP DE 5.02,7.01,9.01 09/17/12
Global Immune Technologies Inc. WY 1.02,5.01,5.02,7.01, 09/17/12
8.01
Grand Canyon Education, Inc. DE 5.02 09/12/12
GRANITE CONSTRUCTION INC DE 5.02,9.01 09/13/12
GREEN MOUNTAIN COFFEE ROASTERS INC DE 5.02 09/14/12 AMEND
GROWLIFE, INC. DE 4.01 09/14/12
Gumtree Acquisition Corp DE 3.02,5.01,5.02,5.03 09/07/12
HEALTHCARE TRUST OF AMERICA, INC. MD 7.01,9.01 09/13/12
HMS INCOME FUND, INC. MD 8.01,9.01 09/13/12
HORTON D R INC /DE/ DE 1.01,9.01 09/14/12
HUBBELL INC CT 5.02,9.01 09/11/12
IA GLOBAL INC DE 1.02,2.06,5.02,9.01 05/11/12
Ignite Restaurant Group, Inc. 8.01 09/17/12
IMAGE SENSING SYSTEMS INC MN 5.02 09/11/12
Immunovative, Inc. FL 5.02,8.01,9.01 09/12/12
INFINITY PROPERTY & CASUALTY CORP OH 1.01,2.03,9.01 09/12/12
Infusion Brands International, Inc. NV 1.01,2.03,9.01 09/12/12
Infusion Brands International, Inc. NV 4.01,9.01 09/01/12 AMEND
INLAND REAL ESTATE CORP MD 8.01,9.01 09/17/12
Inrad Optics, Inc. NJ 5.02,9.01 09/12/12
INTERNATIONAL BANCSHARES CORP TX 8.01,9.01 09/17/12
INVESTORS REAL ESTATE TRUST ND 5.04,9.01 09/17/12
INVIVO THERAPEUTICS HOLDINGS CORP. NV 5.02 09/11/12
IRIS INTERNATIONAL INC DE 1.01,3.02,8.01,9.01 09/17/12
IROBOT CORP DE 1.01,7.01,9.01 09/14/12
JONES SODA CO WA 3.01 09/11/12
KBS Strategic Opportunity REIT, Inc. MD 1.01,2.01 09/13/12
KCAP Financial, Inc. DE 8.01,9.01 09/17/12
KEMET CORP DE 7.01,9.01 09/17/12
Keyuan Petrochemicals, Inc. NV 8.01 09/11/12
KEYW HOLDING CORP MD 8.01,9.01 09/17/12
KINDRED HEALTHCARE, INC DE 7.01 09/14/12
KINGSWAY FINANCIAL SERVICES INC A6 2.05,9.01 09/17/12
KIT digital, Inc. DE 2.05,9.01 09/17/12
LIQUIDITY SERVICES INC DE 1.01,9.01 09/13/12
LITTLEFIELD CORP DE 5.02 09/07/12
Lone Pine Resources Inc. DE 7.01,9.01 09/17/12
LOWES COMPANIES INC NC 8.01,9.01 09/17/12
McEwen Mining Inc. CO 7.01,9.01 09/14/12
MOSAIC CO 7.01,9.01 09/17/12
MULTIBAND CORP MN 7.01 09/17/12
NACCO INDUSTRIES INC DE 1.01,5.02,9.01 09/12/12
Native American Energy Group, Inc. DE 5.02 09/14/12
NET TALK.COM, INC. FL 9.01 09/07/12 AMEND
NEWS CORP 8.01,9.01 09/17/12
NEXSTAR BROADCASTING GROUP INC DE 5.02,9.01 09/11/12
Nexxus Lighting, Inc. DE 1.01,1.02,3.02,8.01, 09/12/12
9.01
NOBILITY HOMES INC FL 3.01 09/17/12
NORTHWEST BIOTHERAPEUTICS INC DE 1.01,2.03,3.02 09/11/12
NovaBay Pharmaceuticals, Inc. CA 1.01,3.02 09/13/12
NYC MODA INC NV 1.01,5.01,5.02,9.01 09/12/12
OHIO LEGACY CORP OH 3.01,5.03,8.01,9.01 09/13/12
OLD NATIONAL BANCORP /IN/ IN 7.01,9.01 09/15/12
OXIGENE INC DE 8.01,9.01 09/17/12
P&F INDUSTRIES INC DE 5.03,8.01,9.01 09/12/12
PECO ENERGY CO PA 1.01,2.03,9.01 09/17/12
PEDEVCO CORP TX 8.01,9.01 09/17/12
Pike Electric CORP 5.02,9.01 09/12/12
Polonia Bancorp 8.01,9.01 09/17/12
Polonia Bancorp Inc MD 8.01,9.01 09/17/12
PowerShares DB Commodity Index Tracki 5.02 09/17/12
PowerShares DB G10 Currency Harvest F DE 5.02 09/17/12
PowerShares DB Multi-Sector Commodity DE 5.02 09/17/12
PowerShares DB US Dollar Index Trust DE 5.02 09/17/12
PRIMUS TELECOMMUNICATIONS GROUP INC DE 1.01,9.01 09/11/12
ProPhase Labs, Inc. NV 8.01,9.01 09/17/12
PVR PARTNERS, L P DE 5.02,9.01 09/13/12
RESMED INC DE 5.03,9.01 08/24/12 AMEND
RigNet, Inc. DE 2.01,9.01 07/05/12 AMEND
RING ENERGY, INC. NV 9.01 06/28/12 AMEND
SALEM COMMUNICATIONS CORP /DE/ DE 1.01,2.03,9.01 09/12/12
Samson Oil & Gas LTD C3 2.02,9.01 09/13/12
Sanchez Energy Corp DE 8.01,9.01 09/14/12
SANDISK CORP DE 5.02 09/13/12
SBA COMMUNICATIONS CORP FL 8.01 09/14/12
SEQUENOM INC DE 1.01,2.03,3.02,8.01, 09/17/12
9.01
SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 1.01,2.03,9.01 09/14/12
SIMMONS FIRST NATIONAL CORP AR 7.01,9.01 09/14/12
SINOCOKING COAL & COKE CHEMICAL INDUS FL 8.01,9.01 09/17/12
SKY POWER SOLUTIONS CORP. NV 5.03,9.01 08/30/12
SOTHEBYS DE 8.01 09/17/12
SPAR GROUP INC DE 8.01,9.01 09/11/12
SPECTRUM GROUP INTERNATIONAL, INC. DE 1.01,8.01,9.01 09/14/12
SSI Investments II Ltd L2 7.01,9.01 09/17/12
Steadfast Income REIT, Inc. MD 8.01 09/11/12
STRATEGIC HOTELS & RESORTS, INC 1.01,2.03,9.01 09/12/12
SUNRISE SENIOR LIVING INC DE 1.01,7.01,8.01,9.01 09/13/12
TARGACEPT INC 8.01,9.01 09/17/12
TESORO CORP /NEW/ DE 1.01,2.01,2.03,8.01, 09/14/12
9.01
TESORO LOGISTICS LP DE 1.01,2.01,2.03,3.02, 09/14/12
5.03,8.01,9.01
THRESHOLD PHARMACEUTICALS INC DE 8.01,9.01 09/17/12
TORCHMARK CORP DE 7.01,9.01 09/17/12
TransDigm Group INC DE 7.01,9.01 09/17/12
TransDigm Group INC DE 1.01,2.03,9.01 09/14/12
TRANSGENOMIC INC DE 5.02,9.01 09/12/12
TRIMAS CORP DE 5.02 09/14/12
TYCO INTERNATIONAL LTD V8 5.07,7.01,9.01 09/17/12
ULTRA CLEAN HOLDINGS INC DE 9.01 07/03/12 AMEND
UNITED PARCEL SERVICE INC DE 2.03 09/16/12
Universal Business Payment Solutions DE 3.01 09/11/12
Universal Truckload Services, Inc. MI 8.01 09/14/12
Unum Group DE 8.01,9.01 09/17/12
UROPLASTY INC MN 5.07 09/13/12
US CONCRETE INC DE 8.01,9.01 09/14/11
US ENERGY CORP WY 7.01,9.01 09/17/12
US FUEL CORP NV 8.01 09/14/12
Vanda Pharmaceuticals Inc. DE 5.02 09/12/12
Vanguard Natural Resources, LLC DE 1.01,9.01 09/17/12
VERSAR INC DE 1.01,2.03,5.02,9.01 09/13/12
VILLAGE SUPER MARKET INC NJ 8.01,9.01 09/14/12
VIRTUSA CORP 5.07 09/12/12
VITAMIN BLUE, INC. DE 3.02 09/11/12
VIVUS INC CA 7.01 09/17/12
Walter Energy, Inc. DE 8.01,9.01 09/17/12
WASHINGTON REAL ESTATE INVESTMENT TRU MD 2.03,9.01 09/17/12
WELLS FARGO & COMPANY/MN DE 9.01 09/17/12
WELLS MID-HORIZON VALUE-ADDED FUND I 1.01 09/15/12
Wells Timberland REIT, Inc. MD 5.02 09/14/12
WMS INDUSTRIES INC /DE/ DE 5.02 09/13/12
WORTHINGTON INDUSTRIES INC OH 8.01,9.01 09/17/12
XCEL ENERGY INC MN 7.01 09/17/12
Yinfu Gold Corp. WY 1.01,9.01 09/12/12
http://www.sec.gov/news/digest/2012/dig091812.htm
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