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Enforcement ProceedingsCommission Revokes Registration of Securities of Paradise Tan, Inc. (n/k/a General Red International, Inc.) for Failure to Make Required Periodic FilingsOn October 9, 2012, the Commission revoked the registration of each class of securities of Paradise Tan, Inc. (n/k/a General Red International, Inc.) (General Red International) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, General Red International consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Paradise Tan, Inc. (n/k/a General Red International, Inc.), finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of General Red International’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against General Red International in In the Matter of OptiSystems Solutions, Ltd., et al., Administrative Proceeding File No. 3-14940. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of OptiSystems Solutions, Ltd., et al., Administrative Proceeding File No. 3-14940, Exchange Act Release No. 67365, July 6, 2012. (Rel. 34-68003; File No. 3-14940) In the Matter of Banc of America Securities LLCOn October 9, 2012, the Commission issued an Amended Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b)(4) and 21C of the Securities Exchange Act of 1934 against Banc of America Securities LLC (BAS) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (MLPFS) as Successor (Amended Order). The Amended Order eliminates inconsistent obligations imposed on MLPFS by a 2007 Commission order and a 2003 court order following the merger of the parent companies of MLPFS and BAS. As a result of a previous settlement with the Commission, BAS, and its successors, are subject to a Commission order dated March 14, 2007 (2007 Commission Order), including an addendum addressing conflicts of interest between equity analysts and investment banking personnel. (AP File No. 3-12591). Similarly, MLPFS is the subject of a 2003 court order and addendum imposed by the District Court for the Southern District of New York that contained comparable, but not identical, remedial provisions. After Bank of America Corporation merged with Merrill Lynch & Co., it transferred the BAS equity analysts and investment banking personnel to MLPFS, and dissolved BAS. As a result, MLPFS, as the successor to BAS, became subject to two differing orders and addenda concerning substantially similar subjects. To remedy this, the Amended Order strikes the addendum to the 2007 Commission Order; orders successors and assigns of BAS to comply with all orders, addenda and undertakings in SEC v. Merrill Lynch, Pierce, Fenner & Smith Inc., 03 Civ. 2941 (WHP) (S.D.N.Y. April 28, 2003); and orders that, aside from the stricken addendum, the 2007 Commission Order remains in effect and binding on BAS’ successors and assigns, including MLPFS. MLPFS, as successor to BAS, consented to the issuance of the Amended Order without admitting or denying any of the facts in the administrative proceeding. (Rel. 34-68023; File No. 3-12591) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX BX, Inc. to amend Exchange rule 4758(a)(1)(A) to reflect a change in its routing functionality to allow routable orders to simultaneously execute against Exchange available shares and route to other markets for execution of the remainder of the order (SR-BX-2012-064) 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 October 8. (Rel. 34-67990) A proposed rule change filed by NASDAQ OMX PHLX LLC to amend Exchange rule 3315(a)(1)(A) to reflect a change in its routing functionality to allow routable orders to simultaneously execute against Exchange available shares and route to other markets for execution of the remainder of the order (SR-Phlx-2012-116) 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 October 8. (Rel. 34-67991) A proposed rule change (SR-Phlx-2012-118) filed by NASDAQ OMX PHLX LLC relating to inbound routing from an affiliated exchange has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 8. (Rel. 34-67996) 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-1 ATHERSYS, INC / NEW, 3201 CARNEGIE AVENUE, CLEVELAND, OH, 44115-2634, 216-431-9900 - 19,550,000 ($26,197,000.00) Equity, (File 333-184333 - Oct. 9) (BR. 01B) S-8 UNIVERSAL STAINLESS & ALLOY PRODUCTS INC, 600 MAYER ST, BRIDGEVILLE, PA, 15017, 4122577600 - 0 ($26,320,150.00) Equity, (File 333-184334 - Oct. 9) (BR. 06A) S-8 UNIVERSAL STAINLESS & ALLOY PRODUCTS INC, 600 MAYER ST, BRIDGEVILLE, PA, 15017, 4122577600 - 0 ($18,475,000.00) Equity, (File 333-184335 - Oct. 9) (BR. 06A) S-8 UNIVERSAL STAINLESS & ALLOY PRODUCTS INC, 600 MAYER ST, BRIDGEVILLE, PA, 15017, 4122577600 - 0 ($1,847,500.00) Equity, (File 333-184336 - Oct. 9) (BR. 06A) S-8 WMX Group Holdings, Inc., 301 YAMATO ROAD, SUITE 1240, BOCA RATON, FL, 33431, (617) 501-6766 - 55,000,000 ($825,000.00) Equity, (File 333-184338 - Oct. 9) (BR. 05A) S-1 JAMMIN JAVA CORP., 8200 WILSHIRE BLVD., SUITE 200, BEVERLY HILLS, CA, 90211, 323-556-0746 - 16,312,500 ($2,610,000.00) Equity, (File 333-184340 - Oct. 9) (BR. 09A) S-3 MRC GLOBAL INC., 2 HOUSTON CENTER, 909 FANNIN, SUITE 3100, HOUSTON, TX, 77010, 877.294.7574 - 0 ($912,544,257.00) Equity, (File 333-184341 - Oct. 9) (BR. 06C) S-8 SAVIENT PHARMACEUTICALS INC, ONE TOWER CENTER, EAST BRUNSWICK, NJ, 08816, 7324189300 - 400,000 ($1,168,000.00) Equity, (File 333-184342 - Oct. 9) (BR. 01A) S-3ASR BLOCK FINANCIAL LLC, ONE H&R BLOCK WAY, KANSAS CITY, MO, 64105, 816-854-3000 - 0 ($0.00) Debt, (File 333-184343 - Oct. 9) (BR. 11) S-8 OVERSTOCK.COM, INC, 6350 SOUTH 3000 EAST, SALT LAKE CITY, UT, 84121, 8019473100 - 0 ($1,578,000.00) Equity, (File 333-184344 - Oct. 9) (BR. 02A) S-8 TEAM INC, 200 HERMANN DRIVE, ALVIN, TX, 77056, 2813316154 - 0 ($16,710,000.00) Equity, (File 333-184345 - Oct. 9) (BR. 11C) 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
-----------------------------------------------------------------------------------------
3D SYSTEMS CORP DE 7.01,8.01,9.01 10/09/12
ACCESS MIDSTREAM PARTNERS LP DE 7.01,9.01 10/03/12
ACORDA THERAPEUTICS INC 5.02,9.01 10/03/12
ACTIVE POWER INC DE 1.01,5.02,7.01,9.01 10/08/12
ADEPT TECHNOLOGY INC DE 1.01,5.02,9.01 10/04/12
AeroVironment Inc DE 5.07 10/04/12
AFFYMETRIX INC DE 2.02 10/08/12
ALASKA AIR GROUP, INC. DE 7.01,8.01,9.01 10/09/12
ALION SCIENCE & TECHNOLOGY CORP DE 3.02 09/30/12
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 10/09/12
ALLIANCE FINANCIAL CORP /NY/ NY 1.01,5.02,8.01,9.01 10/08/12
ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 10/08/12
ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 10/08/12
Ally Master Owner Trust 1.01,8.01,9.01 10/04/12
AMERICAN AIRLINES INC DE 8.01 10/08/12
AMERICAN AIRLINES INC DE 8.01,9.01 10/09/12
AMERICAN HONDA RECEIVABLES LLC DE 6.01,9.01 10/09/12
American Midstream Partners, LP DE 8.01,9.01 10/04/12
AMERICAN REALTY CAPITAL NEW YORK RECO MD 2.01,9.01 06/30/12 AMEND
AMR CORP DE 8.01 10/08/12
AMR CORP DE 8.01,9.01 10/09/12
Anacor Pharmaceuticals Inc DE 8.01,9.01 10/05/12
ANGIODYNAMICS INC DE 2.02,9.01 10/08/12
ANWORTH MORTGAGE ASSET CORP MD 3.03,8.01,9.01 10/09/12
Apollo Commercial Real Estate Finance MD 1.01,9.01 10/02/12
APOLLO INVESTMENT CORP MD 8.01,9.01 10/09/12
APRICUS BIOSCIENCES, INC. NV 8.01 10/04/12
Arcis Resources Corp NV 1.01,2.01,5.02,9.01 08/24/12
AVIV REIT, INC. MD 5.02,8.01,9.01 10/09/12
AxoGen, Inc. MN 1.01,1.02,2.03,5.02, 10/05/12
7.01,8.01,9.01
B&G Foods, Inc. DE 8.01,9.01 10/09/12
BakerCorp International, Inc. DE 7.01,9.01 10/05/12
BANCTRUST FINANCIAL GROUP INC AL 1.01,8.01,9.01 10/05/12
BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 10/09/12
BERRY PLASTICS CORP DE 5.02,9.01 10/04/11
BERRY PLASTICS GROUP INC DE 5.02,9.01 10/04/12
BEST BUY CO INC MN 5.02,7.01,9.01 10/09/12
BIOGEN IDEC INC. DE 5.03,9.01 10/09/12
BIOLASE, INC DE 7.01,9.01 10/04/12
BJs RESTAURANTS INC CA 8.01,9.01 10/09/12
BLACK BOX CORP DE 5.02,9.01 10/02/12
Black Ridge Oil & Gas, Inc. DE 8.01 10/05/12
BLACKHAWK CAPITAL GROUP BDC INC DE 1.01 10/05/12
Bluerock Enhanced Multifamily Trust, MD 1.01,2.01,2.03,9.01 10/02/12
BMB MUNAI INC NV 8.01 10/09/12
BNC BANCORP NC 5.02 10/02/12
Bohai Pharmaceuticals Group, Inc. NV 8.01 10/09/12
BOSTON SCIENTIFIC CORP DE 8.01,9.01 10/09/12
BPZ RESOURCES, INC. TX 1.01,2.03,7.01 10/05/12
Bristow Group Inc DE 8.01 10/05/12
BWAY PARENT COMPANY, INC. DE 8.01,9.01 10/05/12
CAL MAINE FOODS INC DE 5.07 10/05/12
CAMCO FINANCIAL CORP DE 5.02 10/08/12
CAPITOL BANCORP LTD MI 1.01,3.02,9.01 10/09/12
Carter Validus Mission Critical REIT, MD 7.01,9.01 10/09/12
CASELLA WASTE SYSTEMS INC DE 1.01,8.01,9.01 10/09/12
CASH AMERICA INTERNATIONAL INC TX 8.01,9.01 10/09/12
CD INTERNATIONAL ENTERPRISES, INC. FL 7.01,9.01 10/08/12
CDEX INC NV 8.01 10/09/12
CEMPRA, INC. DE 8.01,9.01 10/08/12
CENTERLINE HOLDING CO DE 1.01,8.01 10/05/12
CENTRAL EUROPEAN DISTRIBUTION CORP DE 2.02,9.01 10/08/12
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 10/09/12
CHC Helicopter S.A. N4 1.01,2.03,8.01,9.01 10/02/12
CHEESECAKE FACTORY INC DE 8.01,9.01 10/09/12
CHEVRON CORP DE 2.02 10/09/12
China Auto Logistics Inc NV 8.01,9.01 10/09/12
China Hefeng Rescue Equipment, Inc. DE 1.01,2.01,3.02,5.01, 06/15/12 AMEND
5.02,5.03,5.06,9.01
China Integrated Energy, Inc. DE 9.01 09/22/12 AMEND
Chineseinvestors.com, Inc. IN 8.01,9.01 10/09/12
Clarion Partners Property Trust Inc. MD 1.01 10/02/12
Clearwater Paper Corp DE 5.02,9.01 10/05/12
CMS ENERGY CORP MI 7.01,9.01 10/08/12
COLLECTIVE BRANDS, INC. DE 2.01,3.01,3.03,5.01, 10/09/12
5.02,5.03,8.01,9.01
COLLECTORS UNIVERSE INC DE 7.01,9.01 10/05/12
CombiMatrix Corp DE 5.02 10/09/12
Compass Diversified Holdings DE 8.01,9.01 10/09/12
COMPUTER TASK GROUP INC NY 7.01,9.01 10/09/12
CONTINENTAL AIRLINES INC /DE/ DE 1.01,2.03,9.01 10/03/12
CONTINENTAL RESOURCES, INC OK 7.01,9.01 10/08/12
COPART INC CA 5.02 10/02/12
CORE LABORATORIES N V P7 7.01,9.01 10/09/12
Crestwood Midstream Partners LP DE 7.01 10/09/12
CROSS COUNTRY HEALTHCARE INC DE 8.01,9.01 10/09/12
CROWN DYNAMICS CORP DE 4.02 10/09/12
CROWN DYNAMICS CORP DE 4.02 10/09/12
CUBIC ENERGY INC TX 1.01,9.01 10/02/12
CUMMINS INC IN 2.02,9.01 10/09/12
CURTISS WRIGHT CORP DE 2.02,9.01 10/05/12
CVR ENERGY INC DE 8.01,9.01 10/09/12
CVR ENERGY INC DE 7.01,8.01,9.01 10/09/12
CYTEC INDUSTRIES INC/DE/ DE 1.01,7.01,8.01,9.01 10/09/12
Deer Consumer Products, Inc. NV 3.01 10/02/12
Destination Maternity Corp DE 2.02,9.01 10/09/12
DOLLAR TREE INC VA 7.01,9.01 10/05/12
DreamWorks Animation SKG, Inc. 3.02 10/02/12
DTE ENERGY CO MI 7.01,9.01 10/09/12
DUPONT E I DE NEMOURS & CO DE 2.02,7.01 10/09/12
E2open Inc DE 2.02,9.01 10/08/12
EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 10/09/12
EASTMAN CHEMICAL CO DE 5.02,9.01 10/04/12
ECOSPHERE TECHNOLOGIES INC DE 5.02 10/03/12
Edwards Lifesciences Corp DE 2.02,9.01 10/08/12
EGPI FIRECREEK, INC. NV 5.02 10/01/12
ELECTRO RENT CORP CA 2.02,9.01 10/08/12
ELEPHANT TALK COMMUNICATIONS CORP DE 5.07 10/04/12
Ellington Financial LLC DE 7.01,9.01 10/05/12
EMC METALS CORP. A1 7.01,9.01 10/02/12
EME HOMER CITY GENERATION LP PA 7.01 10/05/12
EMISPHERE TECHNOLOGIES INC DE 2.04 10/04/12
EMPIRE ENERGY CORP UT 8.01 09/14/12
Employers Holdings, Inc. NV 8.01,9.01 10/09/12
ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 10/09/12
Energy Services of America CORP DE 3.01,9.01 10/04/12
EnergySolutions, Inc. DE 2.05 10/08/12
ESCO TECHNOLOGIES INC MO 2.02,7.01,9.01 10/09/12
ExactTarget, Inc. DE 5.02,9.01 10/06/12
Excel Trust, Inc. MD 1.01,3.02 10/09/12
FAMOUS DAVES OF AMERICA INC MN 5.02,9.01 10/08/12
Federal Home Loan Bank of Atlanta X1 2.03 10/03/12
Federal Home Loan Bank of Chicago X1 2.03 10/03/12
Federal Home Loan Bank of Dallas 2.03,9.01 10/03/12
Federal Home Loan Bank of Des Moines X1 5.02 10/02/12
Federal Home Loan Bank of New York X1 2.03,9.01 10/03/12
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/03/12
Federal Home Loan Bank of San Francis X1 2.03 10/04/12
Federal Home Loan Bank of Seattle 2.03 10/03/12
FEDERATED NATIONAL HOLDING CO FL 8.01 10/04/12
FERRO CORP OH 2.02,2.06,7.01,9.01 10/03/12
Fibrocell Science, Inc. DE 1.01,3.02,5.02,5.03, 10/05/12
7.01,9.01
FIRST BUSEY CORP /NV/ NV 8.01 10/09/12
FISHER COMMUNICATIONS INC WA 5.02,9.01 10/02/12
FONU2 Inc. NV 4.01,9.01 10/08/12
FOREST OIL CORP NY 5.02 10/05/12
Fuelstream INC DE 3.02 10/02/12
FX ENERGY INC NV 8.01,9.01 10/09/12
GCI INC AK 1.01,2.03,9.01 10/03/12
GENERAL COMMUNICATION INC AK 1.01,2.03,9.01 10/03/12
GENERAL ELECTRIC CO NY 8.01,9.01 10/01/12
GERON CORP DE 1.01,8.01,9.01 10/08/12
GLADSTONE INVESTMENT CORPORATION\DE DE 1.01,9.01 10/05/12
Global Gate Property Corp. NV 4.01,9.01 07/15/12
GLOBAL PARTNERS LP 1.01,2.03,9.01 10/03/12
GLU MOBILE INC DE 2.02,9.01 10/09/12
GlyEco, Inc. NV 1.01,9.01 10/03/12
GlyEco, Inc. NV 1.01,9.01 10/03/12
Gold & Gemstone Mining Inc. NV 2.01,5.01,5.02,5.06, 10/09/12 AMEND
9.01
GRAY TELEVISION INC GA 1.01,2.03,8.01,9.01 10/09/12
GREAT WALL BUILDERS LTD. TX 4.01,4.02 06/28/12 AMEND
GULFPORT ENERGY CORP DE 1.01,7.01,8.01,9.01 10/09/12
H&R BLOCK INC MO 8.01 10/09/12
HAEMONETICS CORP MA 9.01 10/08/12
HARBINGER GROUP INC. DE 7.01,9.01 10/08/12
Hartman Short Term Income Properties MD 1.01 10/09/12
HAWAIIAN HOLDINGS INC DE 2.02,9.01 10/09/12
HD SUPPLY, INC. DE 8.01,9.01 10/09/12
HD SUPPLY, INC. DE 2.02,7.01 10/09/12
HEARTLAND PAYMENT SYSTEMS INC DE 7.01,9.01 10/08/12
HEARTLAND PAYMENT SYSTEMS INC DE 7.01,9.01 10/08/12
Heavy Earth Resources, Inc. FL 5.02,9.01 10/02/12
HOLLYWOOD MEDIA CORP FL 8.01 10/01/12
INNOSPEC INC. DE 8.01,9.01 10/09/12
INNOVUS PHARMACEUTICALS, INC. NV 1.01 10/04/12
Inrad Optics, Inc. NJ 8.01,9.01 10/04/12
IntelGenx Technologies Corp. DE 7.01 10/09/12
INTERSIL CORP/DE DE 2.02,7.01,9.01 10/09/12
INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 10/09/12
INVIVO THERAPEUTICS HOLDINGS CORP. NV 1.01,2.03,3.02,9.01 10/05/12
Iron Eagle Group, Inc. DE 9.01 10/02/12
JACK IN THE BOX INC /NEW/ DE 5.02,9.01 10/09/12
JTH Holding, Inc. DE 7.01,9.01 10/09/12
Kaiser Federal Financial Group, Inc. MD 8.01,9.01 10/09/12
KBS Strategic Opportunity REIT, Inc. MD 1.01 10/08/12
Kosmos Energy Ltd. D0 5.07 05/11/12 AMEND
KOSS CORP DE 5.02,5.07 10/05/12
KULICKE & SOFFA INDUSTRIES INC PA 5.02,9.01 10/02/12
LAKELAND BANCORP INC NJ 8.01,9.01 10/05/12
LAKELAND BANCORP INC NJ 8.01 10/07/12
LCNB CORP OH 1.01,7.01,9.01 10/09/12
LEHMAN ABS CORP MOTOROLA DEBENTURE BA DE 8.01,9.01 10/01/12
LEVI STRAUSS & CO DE 2.02,9.01 10/09/12
LEXINGTON REALTY TRUST MD 1.01,2.01,7.01,9.01 09/07/12 AMEND
Liberty Interactive Corp 2.02,7.01,9.01 10/08/12
LIBERTY SILVER CORP NV 8.01,9.01 10/05/12
LIFELOCK, INC. DE 5.03,9.01 10/09/12
Lone Pine Resources Inc. DE 7.01,9.01 10/09/12
Luxeyard, Inc. DE 5.02 10/03/12
LVB Acquisition, Inc. 1.01,2.03,9.01 10/04/12
MACK CALI REALTY CORP MD 1.01,8.01,9.01 10/08/12
MACROSOLVE INC OK 5.02,9.01 10/03/12
Magnolia Solar Corp NV 8.01,9.01 10/09/12
Marathon Petroleum Corp DE 1.01,9.01 10/07/12
MARINE PRODUCTS CORP DE 8.01,9.01 10/09/12
MARTIN MIDSTREAM PARTNERS LP DE 1.01,2.01,5.03,7.01, 10/02/12
9.01
Max Sound Corp DE 8.01,9.01 10/02/12
Maxray Optical Technology Co. Ltd. DE 1.01,9.01 12/15/09 AMEND
MCMORAN EXPLORATION CO /DE/ DE 2.01,9.01 10/02/12
Medefile International, Inc. NV 5.03,9.01 10/08/12
MEDIA GENERAL INC VA 1.01,2.01,9.01 10/08/12
MEDICIS PHARMACEUTICAL CORP DE 8.01 10/08/12
MERRILL LYNCH MUNICIPAL ABS INC NY 9.01 10/01/12
METLIFE INC DE 7.01,9.01 10/09/12
MGT CAPITAL INVESTMENTS INC DE 1.01,3.02,7.01,9.01 10/09/12
MICROSOFT CORP WA 5.02,9.01 10/09/12
Midas Medici Group Holdings, Inc. 2.01,9.01 10/02/12
Mistras Group, Inc. DE 2.02,9.01 10/09/12
MITEK SYSTEMS INC DE 5.02,8.01,9.01 10/03/12
MMRGlobal, Inc. DE 8.01 10/03/12
Morningstar, Inc. IL 8.01,9.01 10/05/12
MOSAIC CO 2.02,9.01 10/02/12
MOSAIC CO 5.07 10/04/12
MOVE INC DE 5.02,8.01,9.01 10/05/12
MRC GLOBAL INC. DE 2.02,7.01,9.01 10/09/12
NBT BANCORP INC DE 1.01,9.01 10/07/12
NBTY INC DE 7.01,9.01 10/09/12
NEOPHOTONICS CORP DE 5.02 10/02/12
Net Element International, Inc. E9 1.01 10/03/12
NEW YORK MORTGAGE TRUST INC MD 1.01,9.01 10/03/12
NEWS CORP 8.01,9.01 10/08/12
NF Energy Saving Corp DE 8.01 10/09/12
NORTHEAST UTILITIES MA 8.01,9.01 10/09/12
NUPATHE INC. DE 7.01,8.01,9.01 10/09/12
NUVASIVE INC DE 5.02,9.01 10/04/12
OAK RIDGE MICRO-ENERGY INC CO 1.01,2.01,3.02,5.01, 10/02/12
5.02,9.01
Ocean Power Technologies, Inc. NJ 5.07 10/04/12
OCZ TECHNOLOGY GROUP INC DE 5.02,9.01 09/17/12 AMEND
ODYSSEY PICTURES CORP NV 4.01 08/21/12
OGLETHORPE POWER CORP GA 5.02,9.01 10/09/12
ONLINE INTERNET NETWORK, INC. NV 1.01,5.06 10/04/12
OPTIMER PHARMACEUTICALS INC 1.01,2.01,2.02,9.01 10/05/12
ORBCOMM Inc. DE 8.01,9.01 10/08/12
Orgenesis Inc. NV 1.02,9.01 10/05/12
OVERSEAS SHIPHOLDING GROUP INC DE 8.01,9.01 10/04/12
Owens Corning DE 2.02,9.01 10/09/12
OXFORD INDUSTRIES INC GA 5.02,9.01 10/09/12
PACIFIC SUNWEAR OF CALIFORNIA INC CA 5.02 10/03/12
PALL CORP NY 5.02 10/03/12
Pay Mobile, Inc NV 2.01,9.01 06/27/12 AMEND
PDL BIOPHARMA, INC. DE 1.01,8.01,9.01 10/05/12
PEDEVCO CORP TX 4.01,9.01 10/09/12 AMEND
Pegasi Energy Resources Corporation. NV 5.02,9.01 10/05/12
PENN VIRGINIA CORP VA 9.01 10/09/12
PERVASIP CORP NY 1.01,3.02,9.01 10/02/12
PHARMACYCLICS INC DE 1.01 10/04/12
PHOENIX COMPANIES INC/DE DE 5.02,9.01 10/02/12
Plandai Biotechnology, Inc. 2.01,3.02,5.01,5.02, 11/23/11 AMEND
5.03,9.01
PLURISTEM THERAPEUTICS INC NV 7.01,9.01 10/09/12
PLX TECHNOLOGY INC DE 5.02,9.01 10/06/12
PNC FINANCIAL SERVICES GROUP, INC. PA 8.01,9.01 10/09/12
PRINCIPAL FINANCIAL GROUP INC DE 1.01,7.01,9.01 10/05/12
PROCTER & GAMBLE Co OH 7.01 10/09/12
PROCTER & GAMBLE Co OH 7.01 10/09/12
PROGRESS SOFTWARE CORP /MA MA 5.02,9.01 10/02/12
PROTECT PHARMACEUTICAL Corp NV 4.02 10/09/12
Pzena Investment Management, Inc. DE 8.01,9.01 09/30/12
QUESTCOR PHARMACEUTICALS INC CA 2.02,7.01 10/09/12
RACKSPACE HOSTING, INC. 5.02 10/08/12
RealD Inc. DE 8.01,9.01 10/08/12
REPROS THERAPEUTICS INC. DE 8.01,9.01 10/08/12
RES CARE INC /KY/ KY 1.02,5.02 10/03/12
REVLON INC /DE/ DE 1.01 10/08/12
Rexnord Corp DE 1.01,2.03,9.01 10/04/12
RIDGEWOOD ENERGY K FUND LLC 2.01,3.03,5.03,8.01, 10/02/12
9.01
Ridgewood Energy M Fund LLC 2.01,3.03,5.03,9.01 10/02/12
RPC INC DE 8.01,9.01 10/09/12
RPM INTERNATIONAL INC/DE/ DE 5.07,8.01,9.01 10/04/12
SABA SOFTWARE INC DE 3.01,9.01 10/05/12
Sabra Health Care REIT, Inc. MD 7.01,9.01 10/09/12
SANDERSON FARMS INC MS 1.01,9.01 10/04/12
SANTANDER DRIVE AUTO RECEIVABLES LLC DE 8.01,9.01 10/03/12
SCANSOURCE INC SC 2.02,9.01 10/09/12
SCHMITT INDUSTRIES INC OR 5.02,9.01 10/05/12
SEACHANGE INTERNATIONAL INC DE 7.01,9.01 10/09/12
SEARS HOLDINGS CORP DE 8.01,9.01 10/09/12
SECURE NetCheckIn Inc NV 4.01 10/08/12 AMEND
Select Notes Trust LT 2004-1 DE 8.01,9.01 10/01/12
SHAW GROUP INC LA 8.01 10/06/12
ShengdaTech, Inc. 1.03,9.01 10/02/12
Silver Dragon Resources Inc. DE 7.01,9.01 10/09/12
SMITH A O CORP DE 5.02,9.01 10/09/12
SMUCKER J M CO OH 7.01 10/09/12
SONIC CORP DE 5.02 10/05/12
SPANISH BROADCASTING SYSTEM INC DE 3.01 10/03/12
Spectrum Brands Holdings, Inc. DE 7.01,9.01 10/08/12
Spectrum Brands, Inc. DE 7.01,9.01 10/08/12
State Auto Financial CORP OH 8.01,9.01 10/08/12
STELLAR PHARMACEUTICALS INC 7.01,9.01 10/03/12
STRATTEC SECURITY CORP WI 5.07 10/09/12
STRUCTURED PROD CORP TIERS CORP BND-B DE 8.01,9.01 10/01/12
STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 10/01/12
Summit Hotel Properties, Inc. MD 7.01,9.01 10/09/12
SUN COMMUNITIES INC MD 1.01,8.01,9.01 10/03/12
SUNOCO INC PA 5.07 10/04/12
Super Micro Computer, Inc. CA 2.02,9.01 10/09/12
Targa Resources Corp. DE 1.01,2.03,9.01 10/03/12
Targa Resources Partners LP DE 1.01,2.03,9.01 10/03/12
TARGACEPT INC 2.05,7.01,9.01 09/28/12
TIDEWATER INC DE 8.01,9.01 10/02/12
TNP Strategic Retail Trust, Inc. MD 5.02 10/02/12
TOWN SPORTS INTERNATIONAL HOLDINGS IN DE 2.02,7.01 10/09/12
TRANSCONTINENTAL REALTY INVESTORS INC NV 8.01 11/14/11
TransDigm Group INC DE 7.01,9.01 10/09/12
TRIDENT MICROSYSTEMS INC DE 8.01,9.01 10/05/12
Trius Therapeutics Inc DE 8.01,9.01 10/09/12
TRUSTCO BANK CORP N Y NY 8.01,9.01 10/08/12
TRUSTMARK CORP MS 1.01,8.01,9.01 10/05/12
TUESDAY MORNING CORP/DE DE 2.02,9.01 10/09/12
United Continental Holdings, Inc. DE 8.01,9.01 10/08/12
UNITEDHEALTH GROUP INC MN 2.02,7.01,8.01,9.01 10/06/12
UNIVERSAL ELECTRONICS INC DE 1.01,2.03 10/02/12
UNWIRED PLANET, INC. DE 8.01,9.01 10/08/12
US CONCRETE INC DE 8.01,9.01 10/04/12
USA InvestCo Holdings, Inc. NV 4.01,5.03,8.01,9.01 09/05/12
Valeant Pharmaceuticals International A6 1.01,2.03,9.01 10/02/12
VALUEVISION MEDIA INC MN 5.02 10/03/12
Vanguard Natural Resources, LLC DE 1.01,2.03,9.01 10/02/12
VERENIUM CORP DE 1.01,2.03 10/05/12
VERENIUM CORP DE 8.01,9.01 10/09/12
VIPER POWERSPORTS INC NV 1.01 10/09/12
VIRTUSA CORP 2.03 10/04/12
Voyager Oil & Gas, Inc. MT 1.01,7.01,9.01 10/05/12
Voyager Oil & Gas, Inc. MT 2.01,7.01,9.01 10/05/12 AMEND
WEINGARTEN REALTY INVESTORS /TX/ TX 2.03,8.01,9.01 10/09/12
WELLPOINT, INC IN 2.03,3.02,8.01,9.01 10/09/12
WESTERN ALLIANCE BANCORPORATION NV 8.01,9.01 10/09/12
WESTERN LIBERTY BANCORP DE 8.01,9.01 10/09/12
Western Refining, Inc. DE 7.01,9.01 10/09/12
WET SEAL INC DE 5.02,9.01 10/05/12
WIRELESS RONIN TECHNOLOGIES INC MN 8.01 10/09/12
WMI HOLDINGS CORP. WA 1.01,1.02,9.01 10/02/12
WOLVERINE WORLD WIDE INC /DE/ MI 7.01,9.01 10/09/12
WOLVERINE WORLD WIDE INC /DE/ MI 1.01,2.01,2.03,9.01 10/08/12
YUM BRANDS INC NC 2.02,9.01 10/09/12
http://www.sec.gov/news/digest/2012/dig101012.htm
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