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Commission announcementsPamela Dyson Named SEC's Deputy Chief Information OfficerThe Securities and Exchange Commission today announced that Pamela C. Dyson has been named the SEC’s Deputy Chief Information Officer and will work to further modernize and enhance the agency’s information technology systems. Technology is a vital component of SEC initiatives to protect investors, maintain orderly markets, and promote capital formation. Ms. Dyson has filled a number of key roles in the agency’s Office of Information Technology (OIT) since joining the SEC staff in November 2010. As Deputy Director, Ms. Dyson will coordinate closely with the agency’s divisions and offices to maintain an innovative, secure, and efficient technology infrastructure. “Pam is an outstanding professional with a valuable combination of technical knowledge and leadership experience,” said Thomas A. Bayer, the SEC’s Chief Information Officer. “Her efforts to increase the efficiency of OIT operations have already made a significant impact on the agency, and we’re pleased to welcome her to this new position.” Ms. Dyson said, “I am honored by the opportunity to serve the SEC in this new capacity. We are committed to delivering innovative solutions to help the SEC serve investors, and look forward to advancing the agency’s strategic vision through better use of technology.” In recent years, the SEC has taken significant steps to enhance its technological capabilities and modernize its computer system. This includes deploying a centralized database for the thousands of tips and complaints it receives, installing a new automated work-flow system to track and triage enforcement actions, creating a new automated e-discovery system to help investigators rapidly review evidence, setting up a national standardized collection and storage system for SEC inspections and examinations, developing and procuring a unique system to analyze market data, and refurbishing its financial management system. By leveraging modern, reliable, and innovative technologies and predictive analytics, the SEC is transforming the way it performs its mission. Ms. Dyson’s first position at the SEC was Assistant Director for Enterprise Operations. She managed day-to-day operations such as network engineering, database administration, data storage, telecommunications, and support services for the SEC’s headquarters and 11 regional offices. She was later promoted to Chief Technology Officer, a role in which she implemented a rigorous and persistent security program, managed enterprise architecture and system development, and enhanced the project management and investment oversight functions. Prior to joining the SEC staff, Ms. Dyson was the Deputy Chief Information Officer for the U.S. International Trade Commission, where she held several positions of increasing responsibility and served as an auxiliary member of several agency-wide executive committees. Ms. Dyson is a graduate of the University of Maryland in College Park. (Press Rel. 2012-208) Enforcement ProceedingsIn the Matter of Stephen B. BlankenshipThe 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 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Stephen B. Blankenship. The Order finds that on September 12, 2012, Blankenship pled guilty to a two count criminal Information before the United States District Court for the District of Connecticut, in United States of America v. Stephen B. Blankenship, Criminal No. 12-197 (VLB). The Information alleged, among other things, that while acting as a registered representative of a broker-dealer and an investment adviser, Blankenship knowingly, willfully, and with the intent to defraud participated in a scheme to defraud his customers of Deer Hill Financial Group, LLC, an unregistered entity that Blankenship owned and operated in Danbury, Connecticut. The Information further alleged that from in or about 2002 and continuing until in or about March 2012, Blankenship enriched himself and Deer Hill by fraudulently obtaining money from Deer Hill customers through the sale of securities that would purportedly pay a safe return and by falsely representing that funds placed with Blankenship had been and would be used to purchase such securities. In furtherance of the scheme, Blankenship caused Deer Hill customers to provide him, by way of wire transfers and checks, approximately $800,000 in funds and diverted those funds for his own personal use and benefit, including to pay for personal expenses such as travel expenses, shopping, credit card payments, mortgage payments, improvements on his home, and for business expenses of Deer Hill. To corroborate the fraudulent misrepresentations that Blankenship made to Deer Hill customers, Blankenship sent his customers official-looking documents that contained false and misleading representations. The fraudulent documents that Blankenship sent included fraudulent “account statements” that reflected, among other things, fictitious holdings, fictitious transactions, fictitious prices for the securities, and fictitious balances. These account statements were sent to the Deer Hill customers for the purpose of lulling them into believing that their funds had been invested as represented, were secure, and were appreciating in value. Based on the above, the Order bars Stephen B. Blankenship from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and bars him 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. For further information, see Litigation Release No. 22479 (September 13, 2012) (SEC Charges Connecticut-Based Broker for Stealing Investor Funds). (Rel. 34-68038; IA-3484; File No. 3-15061) The Commission Orders Hearing on Registration Suspension or Revocation Against China Medical Technologies, Inc. for Failure to Make Required Annual FilingThe Commission today announced the issuance of an Order Instituting Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order) against China Medical Technologies, Inc. (Respondent). The Order alleges that Respondent has failed to file an annual report for the year ended March 31, 2012 in violation of Section 13(a) of the Exchange Act and rule 13a-1 thereunder. A hearing will be held by an Administrative Law Judge to determine whether the allegations contained in the Order are true, to afford the Respondent an opportunity to establish any defenses to such allegations, and to determine whether it is necessary or appropriate for the protection of investors to suspend for a period not exceeding twelve months, or revoke the registration of each class of securities of the Respondent registered pursuant to Section 12 of the Securities Exchange Act of 1934. The Order requires the Administrative Law Judge to issue an initial decision no later than 120 days from the date of service of this Order, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. (Rel. 34-68040; File No. 3-15062) INVESTMENT COMPANY ACT RELEASESPermal Hedge Strategies Fund, et al.A notice has been issued giving interested persons until November 2, 2012, to request a hearing on an application filed by Permal Hedge Strategies Fund, et al., for an order to permit certain registered closed-end management investment companies to issue multiple classes of shares with varying sales loads and asset-based distribution and service fees. (Rel. IC-30228 - October 9) Prudential Investment Portfolios 3, et al.n order has been issued on an application filed by Prudential Investment Portfolios 3, The Prudential Investment Portfolios, Inc. and Prudential Investments LLC for an exemption under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) from Sections 12(d)(1)(A) and (B) of the Act, and under Sections 6(c) and 17(b) of the Act for an exemption from Sections 17(a)(1) and 17(a)(2) of the Act. The order permits certain registered open-end management investment companies that operate as “funds of funds” to acquire shares of other registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies. (Rel. IC-30229 - October 9) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NYSE MKT LLC to establish fees for certain proprietary options market data products (SR-NYSEMKT-2012-49) 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 15. (Rel. 34-68004) A proposed rule change filed by NYSE Arca, Inc. establishing fees for certain proprietary options market data products (SR-NYSEARCA-2012-106) 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 15. (Rel. 34-68005) A proposed rule change filed by C2 Options Exchange, Incorporated relating to order routing rules (SR-C2-2012-035) 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 15. (Rel. 34-68009) A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to order routing rules (SR-CBOE-2012-096) 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 15. (Rel. 34-68010) A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-115) to clarify further that the provisions of the Rule 800 Series are not effective to permit the listing of securities and include a reference on the need to comply with Rule 10C-1 under the Securities Exchange Act of 1934 should the exchange list equity securities in the future has become effective pursuant to Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of October 15. (Rel. 34-68012) A proposed rule change filed by The NASDAQ Stock Market LLC to provide for automatic cancellation of Midpoint Peg Post-Only Orders at market close (SR-NASDAQ-2012-111) 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 15. (Rel. 34-68015) ICE Clear Credit LLC (“ICC”) filed a proposed rule change (File No. SR-ICC-2012-14) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend Schedule 502 of the ICC Rules to reflect a corporate succession event. Publication is expected in the Federal Register during the week of October 15. (Rel. 34-68016) A proposed rule change (SR-NYSE-2012-47) filed by the New York Stock Exchange LLC to amend Section 902.02 of the New York Stock Exchange Listed Company Manual Regarding Waivers for Certain Listing Fees 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 15. (Rel. 34-68017) A proposed rule change filed by New York Stock Exchange LLC implementing changes to certain fees and credits within the New York Stock Exchange LLC price list (SR-NYSE-2012-50) 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 15. (Rel. 34-68021) Options Clearing Corporation (OCC) filed a proposed rule change (File No. SR-OCC-2012-18) under Section 19(b)(1) of the Securities Exchange Act, which proposed rule change became effective upon filing, to reduce the per contract clearing fee for routing trades executed in accordance with the options order protection and locked/crossed market plan to $.01 per contract. Publication is expected in the Federal Register during the week of October 15. (Rel. 34-68025) A proposed rule change filed by BATS Exchange, Inc. related to fees for use of BATS Exchange, Inc. (SR-BATS-2012-040) 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 15. (Rel. 34-68026) A proposed rule change filed by BATS Exchange, Inc. related to fees for use of BATS Y-Exchange, Inc. (SR-BYX-2012-021) 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 15. (Rel. 34-68027) A proposed rule change submitted by BATS Exchange, Inc. (SR-BATS-2012-041) related to fees for use of BATS Exchange, Inc. 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 15. (Rel. 34-68028) A proposed rule changed filed by the International Securities Exchange, LLC (SR-ISE-2012-84) to amend the Schedule of Fees 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 15. (Rel. 34-68031) A proposed rule change filed by International Securities Exchange, LLC regarding route out fees for priority customers (SR-ISE-2012-83) 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 15. (Rel. 34-68032) Proposed Rule ChangesNYSE Arca, Inc. filed a proposed rule change (SR-NYSEArca-2012-105) pursuant to Section 19(b)(1) of the Securities Exchange Act, and Rule 19b-4 thereunder, amending NYSE Arca Equities Rule 5.3(k)(4) to comply with the requirements of Securities and Exchange Commission Rule 10C-1. Publication is expected in the Federal Register during the week of October 15. (Rel. 34-68006) NYSE MKT LLC filed a proposed rule change, as modified by Amendment No. 1, (SR-NYSEMKT-2012-48) pursuant to Section 19(b)(1) of the Securities Exchange Act, and Rule 19b-4 thereunder, amending Sections 110, 801, 803 and 805 of the Exchange’s Company Guide to comply with the requirements of Securities and Exchange Commission Rule 10C-1. Publication is expected in the Federal Register during the week of October 15. (Rel. 34-68007) A proposed rule change (SR-Phlx-2012-120) relating to routing fees to NOM 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 15. (Rel. 34-68008) New York Stock Exchange LLC filed a proposed rule change, as modified by Amendment No. 1, (SR-NYSE-2012-49) pursuant to Section 19(b)(1) of the Securities Exchange Act, and Rule 19b-4 thereunder, amending Sections 303A.00, 303A.02(a) and 303A.05 of the Exchange’s Listed Company Manual to comply with the requirements of Securities and Exchange Commission Rule 10C-1. Publication is expected in the Federal Register during the week of October 15. (Rel. 34-68011) The NASDAQ Stock Market LLC filed a proposed rule change (SR-NASDAQ-2012-109) pursuant to Section 19(b)(1) of the Securities Exchange Act, and Rule 19b-4 thereunder, to modify the listing rules for compensation committees to comply with Rule 10C-1 under the Exchange Act and make other related changes. Publication is expected in the Federal Register during the week of October 15. (Rel. 34-68013) NASDAQ OMX BX, Inc. filed a proposed rule change (SR-BX-2012-063) pursuant to Section 19(b)(1) of the Securities Exchange Act, and Rule 19b-4 thereunder, to modify the listing rules for compensation committees to comply with Rule 10C-1 under the Exchange Act and make other related changes. Publication is expected in the Federal Register during the week of October 15. (Rel. 34-68018) The Chicago Board Options Exchange, Incorporated has filed a proposed rule change (SR-CBOE-2012-094) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to update its Rule 31.10 - Corporate Governance - in order to comply with new Rule 10C-1 Under the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 15. (Rel. 34-68020) The BATS Exchange, Inc. has filed a proposed rule change, as modified by amendment No.1, (SR-BATS-2012-039) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to adopt listing standards related to certain Compensation Committee and Compensation Adviser Requirements. Publication is expected in the Federal Register during the week of October 15. (Rel. 34-68022) 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 PEDEVCO CORP, 4125 BLACKHAWK PLAZA CIRCLE, SUITE 201, DANVILLE, CA, 94506, 855-733-2685 - 0 ($50,000,000.00) Equity, (File 333-184346 - Oct. 10) (BR. 04B) S-8 LUXFER HOLDINGS PLC, ANCHORAGE GATEWAY, 5 ANCHORAGE QUAY, SALFORD, X0, M50 3XE, 44161300-0600 - 0 ($24,721,558.00) Equity, (File 333-184351 - Oct. 10) (BR. 06C) S-1 Silex Holdings, Inc., 4142 SOUTH HARVARD AVE., SUITE D3, TULSA, OK, 74135, 918-551-7893 - 20,000,000 ($20,000,000.00) Equity, (File 333-184352 - Oct. 10) (BR. ) S-3 China Armco Metals, Inc., ONE WATERS PARK DRIVE, SUITE 98, SAN MATEO, CA, 94403, (650) 212-7620 - 4,157,324 ($1,579,783.00) Equity, (File 333-184354 - Oct. 10) (BR. 05B) S-4 AMERISTAR CASINOS INC, 3773 HOWARD HUGHES PKWY, SUITE 490 SOUTH, LAS VEGAS, NV, 89169, 7025677000 - 0 ($240,000,000.00) Debt, (File 333-184355 - Oct. 10) (BR. 08C) S-3 NORTHSTAR REALTY FINANCE CORP., 399 PARK AVENUE,, 18TH FLOOR, NEW YORK, NY, 10022, 212-547-2640 - 0 ($88,225,660.58) Equity, (File 333-184356 - Oct. 10) (BR. 08B) S-1 RE-AD MARKETING INC, 4790 CAUGHLIN PKWY, STE 387, RENO, NV, 89519, 775-851-7397 - 3,000,000 ($60,000.00) Equity, (File 333-184357 - Oct. 10) (BR. ) S-8 HeartWare International, Inc., 14000 NW 57TH COURT, MIAMI LAKES, FL, 33014, 508-739-0841 - 1,375,000 ($130,487,500.00) Equity, (File 333-184358 - Oct. 10) (BR. 10A) S-3 CombiMatrix Corp, 310 GODDARD, SUITE 150, IRVINE, CA, 92618, 949-753-0624 - 0 ($2,628,448.88) Equity, (File 333-184359 - Oct. 10) (BR. 10A) S-8 LIFELOCK, INC., 60 E. RIO SALADO PARKWAY, SUITE 400, TEMPE, AZ, 85281, 480-682-5100 - 0 ($129,508,909.00) Equity, (File 333-184360 - Oct. 10) (BR. 03C) N-2 SharesPost 100 Fund LLC, 1150 BAYHILL DRIVE, SAN BRUNO, CA, 94066, 800-279-7754 - 25,000,000 ($500,000,000.00) Limited Partnership Interests, (File 333-184361 - Oct. 10) (BR. 16) S-3 INNERWORKINGS INC, 600 WEST CHICAGO, SUITE 750, CHICAGO, IL, 60610, 312-642-3700 - 459,629 ($6,531,328.09) Equity, (File 333-184362 - Oct. 10) (BR. 05B) S-1 POWERSTORM CAPITAL CORP, 2321 ROSECRANS AVENUE, SUITE 4265, EL SEGUNDO, CA, 90245, 310 297 6807 - 130,000 ($13,000.00) Equity, (File 333-184363 - Oct. 10) (BR. ) S-8 CARDIFF INTERNATIONAL INC, 2747 PARADISE ROAD, UNIT 1103, LAS VEGAS, NV, 89109, 818-783-2100 - 10,000,000 ($190,000.00) Equity, (File 333-184366 - Oct. 10) (BR. 03C) 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 CONSTITUTION BANCORP NJ 8.01,9.01 10/10/12
ACCURIDE CORP DE 7.01,9.01 10/10/12
ACORDA THERAPEUTICS INC 8.01,9.01 10/10/12
ADTRAN INC DE 2.02,9.01 10/09/12
AEHR TEST SYSTEMS CA 2.02,9.01 08/31/12
AIR LEASE CORP DE 8.01,9.01 10/10/12
ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 1.01 10/04/12
ALCOA INC PA 1.01,2.02,9.01 10/09/12
ALEXANDERS J CORP TN 3.01,9.01 10/09/12
AMARIN CORP PLC\UK X0 8.01 10/09/12
American Assets Trust, Inc. MD 1.01,2.03,7.01,9.01 10/10/12
AMERICAN REALTY CAPITAL NEW YORK RECO MD 2.01,2.03,5.02,9.01 10/10/12
ANNALY CAPITAL MANAGEMENT INC MD 5.02,9.01 10/08/12
AOXING PHARMACEUTICAL COMPANY, INC. FL 5.02 10/08/12
ARES CAPITAL CORP MD 1.01,2.03,3.02,9.01 10/10/12
Armour Residential REIT, Inc. MD 7.01,9.01 10/09/12
ASTEA INTERNATIONAL INC DE 3.01 10/05/12
Atkore International Holdings Inc. DE 2.02,9.01 10/10/12
BANK OF SOUTH CAROLINA CORP SC 8.01,9.01 10/10/12
BEAM INC DE 5.02,9.01 10/03/12
BECTON DICKINSON & CO NJ 5.02 10/05/12
Bioflamex Corp NV 8.01 10/04/12
Bluerock Enhanced Multifamily Trust, MD 4.01,9.01 10/03/12
Boardwalk Pipeline Partners, LP DE 1.01,9.01 10/04/12
Boston Therapeutics, Inc. DE 7.01,9.01 10/10/12
BRINKS CO VA 5.02 10/09/12
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 7.01,9.01 10/05/12
BRT REALTY TRUST MA 1.01,2.01,2.03,9.01 10/04/12
BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 10/10/12
CAESARS ENTERTAINMENT Corp DE 1.01,2.03,9.01 10/05/12
CAFEPRESS INC. DE 1.01,2.02,3.02,7.01, 10/05/12
9.01
CALPINE CORP DE 1.01,2.03,7.01,9.01 10/09/12
CAM Group, Inc. NV 7.01,9.01 10/10/12
CAMPBELL FUND TRUST DE 3.02 10/10/12
Car Charging Group, Inc. NV 5.02 08/16/12
Carey Watermark Investors Inc 1.01,2.01,9.01 10/03/12
CARPENTER TECHNOLOGY CORP DE 5.07 10/08/12
CASELLA WASTE SYSTEMS INC DE 5.07 10/10/12
CD INTERNATIONAL ENTERPRISES, INC. FL 1.01,2.01,2.02,7.01, 10/08/12
9.01
CENTURY BANCORP INC MA 2.02,9.01 10/09/12
CHINA BAK BATTERY INC NV 5.02 10/10/12
China Intelligence Information System NV 8.01 08/31/12
China XD Plastics Co Ltd NV 5.02,9.01 10/04/12
CHOICE HOTELS INTERNATIONAL INC /DE DE 7.01,9.01 10/10/12
CLICKER INC. NV 5.02,9.01 10/05/12
CODORUS VALLEY BANCORP INC PA 8.01,9.01 10/09/12
COHERENT INC DE 5.02 10/04/12
Copano Energy, L.L.C. 8.01,9.01 10/10/12
COPYTELE INC DE 5.02 10/08/12
COPYTELE INC DE 7.01,9.01 10/10/12
CORPORATE OFFICE PROPERTIES TRUST MD 8.01 10/10/12
COSTCO WHOLESALE CORP /NEW WA 2.02,9.01 10/10/12
CVR ENERGY INC DE 8.01,9.01 10/10/12
DATA I/O CORP WA 2.02,9.01 10/09/12
DCT Industrial Trust Inc. MD 5.02,9.01 10/09/12
DecisionPoint Systems, Inc. 1.01,3.02,5.03,9.01 10/03/12
DELTEK, INC DE 2.01,3.01,3.03,5.01, 10/10/12
5.02,5.03,9.01
DEPOMED INC CA 5.02 10/08/12
DGSE COMPANIES INC NV 5.02,9.01 10/03/12
Dolan Co. DE 1.01,1.02,2.02,2.06, 10/05/12
9.01
DPL INC OH 8.01,9.01 10/10/12
DUNKIN' BRANDS GROUP, INC. DE 5.07 10/10/12 AMEND
DYCOM INDUSTRIES INC FL 5.02,9.01 10/04/12
DYNAMIC MATERIALS CORP DE 5.02,9.01 10/08/12
EGAIN COMMUNICATIONS CORP DE 2.02,9.01 10/10/12
ENDEAVOUR INTERNATIONAL CORP NV 2.02,7.01,8.01,9.01 10/10/12
EnerJex Resources, Inc. NV 1.01,9.01 10/05/12
ESCALON MEDICAL CORP PA 1.01,2.01,9.01 10/04/12
EZJR, Inc. NV 5.02 10/09/12
FASTENAL CO MN 7.01,9.01 10/10/12
FEDERAL AGRICULTURAL MORTGAGE CORP 5.02 10/03/12
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/03/12
Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/05/12
Federal Home Loan Bank of Topeka 2.03,9.01 10/03/12
Fifth & Pacific Companies, Inc. DE 5.02,9.01 10/08/12
Financial Engines, Inc. DE 7.01,9.01 10/10/12
FINANCIAL INSTITUTIONS INC NY 7.01,9.01 10/05/12
First Trinity Financial CORP OK 1.01,5.02,9.01 10/08/12
Firsthand Technology Value Fund, Inc. 8.01,9.01 10/10/12
FOCUS GOLD Corp 1.01,2.01,8.01,9.01 10/05/12
FOSSIL INC DE 5.02,9.01 10/09/12
FRANKLIN STREET PROPERTIES CORP /MA/ 1.01 10/10/12
FREDERICK COUNTY BANCORP INC MD 2.02,7.01,9.01 10/10/12
Freedom Environmental Services, Inc. DE 1.03,4.01 10/10/12 AMEND
FreightCar America, Inc. DE 5.02,9.01 10/08/12
Fuelstream INC DE 5.02 10/08/12
FUTURES PORTFOLIO FUND L.P. MD 5.02 10/01/12
FUTURES PORTFOLIO FUND L.P. MD 3.02 10/01/12
GENCORP INC OH 2.02,7.01,9.01 10/10/12
GENESIS FINANCIAL INC WA 9.01 07/19/12 AMEND
Global Income Trust, Inc. MD 1.01,2.03,9.01 10/03/12
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 10/05/12
Graystone Co DE 8.01 10/10/12
GROUP 1 AUTOMOTIVE INC DE 7.01 10/09/12
Gulf United Energy, Inc. NV 5.03 08/30/12
Hampden Bancorp, Inc. DE 1.01 10/05/12
HD SUPPLY, INC. DE 7.01 10/09/12
HEALTHCARE SERVICES GROUP INC PA 2.02,9.01 10/09/12
HENNESSY ADVISORS INC 5.02,9.01 10/08/12
HERTZ CORP DE 2.03,9.01 10/09/12
HERTZ GLOBAL HOLDINGS INC 2.03,9.01 10/09/12
Home Federal Bancorp, Inc. of Louisia LA 7.01,9.01 10/10/12
HomeTrust Bancshares, Inc. MD 8.01,9.01 10/10/12
HOST HOTELS & RESORTS, INC. MD 2.02,9.01 10/10/12
HPIL HOLDING NV 3.02 09/30/12
INDEPENDENT BANK CORP MA 8.01,9.01 10/03/12
InfuSystem Holdings, Inc DE 5.02,9.01 10/04/12
Inland Diversified Real Estate Trust, MD 1.01,2.01,2.03,9.01 10/03/12
InsPro Technologies Corp DE 1.01,2.03,9.01 10/03/12
INTEGRATED ELECTRICAL SERVICES INC DE 8.01,9.01 10/10/12
INTERMOUNTAIN COMMUNITY BANCORP ID 5.03 10/05/12
INTERNATIONAL PAPER CO /NEW/ NY 5.02 06/07/12 AMEND
Invesco Ltd. D0 7.01,9.01 10/09/12
Jacksonville Bancorp, Inc. MD 2.02,9.01 10/10/12
JBI, INC. NV 2.05 07/09/12 AMEND
JOSHUA GOLD RESOURCES INC NV 1.01,2.01,3.02,9.01 10/04/12
KELLOGG CO DE 7.01,9.01 10/10/12
KINDER MORGAN ENERGY PARTNERS L P DE 9.01 10/10/12 AMEND
LAKELAND FINANCIAL CORP IN 7.01 10/09/12
LEAP WIRELESS INTERNATIONAL INC DE 1.01,2.03,9.01 10/10/12
Li3 Energy, Inc. NV 1.01,9.01 09/24/12
LIBERTY SILVER CORP NV 8.01,9.01 10/10/12
LINCOLN NATIONAL CORP IN 5.02,9.01 10/10/12
Lithium Exploration Group, Inc. NV 1.01,9.01 10/01/12
Luxeyard, Inc. DE 8.01 09/24/12 AMEND
LVB Acquisition, Inc. 2.02,9.01 10/10/12
MABCURE INC. NV 5.02 10/10/12
MALVERN FEDERAL BANCORP INC X1 8.01,9.01 10/10/12
Marina Biotech, Inc. DE 1.01,3.02,9.01 10/04/12
Matador Resources Co TX 2.02,7.01,9.01 10/10/12
MATERIAL SCIENCES CORP DE 2.02,9.01 10/10/12
Meritage Homes CORP MD 5.02,9.01 10/08/12
MILAGRO OIL & GAS, INC. DE 1.01 10/03/12
MINDEN BANCORP, INC. LA 7.01,8.01,9.01 10/10/12
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 10/10/12
MONARCH CASINO & RESORT INC NV 8.01,9.01 10/08/12
NANOSPHERE INC DE 5.02,9.01 10/08/12
NATIONAL BEVERAGE CORP DE 5.02,5.07 10/05/12
NATIONAL HOLDINGS CORP DE 5.02 10/03/12
NATIONAL RURAL UTILITIES COOPERATIVE DC 8.01,9.01 10/09/12
NAVISTAR INTERNATIONAL CORP DE 1.01,1.02,3.03,5.02, 10/05/12
5.03,9.01
Net Element International, Inc. E9 1.01,2.03,9.01 09/28/12
NetSpend Holdings, Inc. DE 5.02,9.01 10/05/12
NEULION, INC. 9.01 07/23/12 AMEND
NEW FRONTIER MEDIA INC CO 5.02,9.01 10/08/12 AMEND
NEWLINK GENETICS CORP 8.01,9.01 10/10/12
NEWS CORP 8.01,9.01 10/10/12
NOBILITY HOMES INC FL 2.06 08/06/11
NORTHERN STATES POWER CO /WI/ WI 8.01,9.01 10/10/12
NORTHSTAR REALTY FINANCE CORP. MD 1.01,5.03,8.01,9.01 10/03/12
NYSE Euronext DE 2.02,9.01 10/10/12
OCZ TECHNOLOGY GROUP INC DE 2.02,9.01 10/10/12
Onstream Media CORP FL 3.01,9.01 10/10/12
ORGANOVO HOLDINGS, INC. DE 8.01,9.01 10/08/12
OSAGE EXPLORATION & DEVELOPMENT INC DE 4.01,9.01 10/10/12
PCS EDVENTURES COM INC ID 5.07 09/28/12
PREMIER BIOMEDICAL INC NV 1.01,3.02,5.02,9.01 09/28/12
PRIVATEBANCORP, INC DE 2.02,8.01,9.01 10/10/12
PRIVATEBANCORP, INC DE 8.01,9.01 10/10/12
PROGRESSIVE CORP/OH/ OH 2.02,9.01 10/10/12
REALTY INCOME CORP MD 8.01,9.01 10/10/12
RECOVERY ENERGY, INC. NV 3.01 10/09/12
RESPONSE GENETICS INC 8.01,9.01 10/05/12
RiceBran Technologies CA 5.02,5.03,9.01 10/03/12
RLJ ENTERTAINMENT, INC. NV 1.01,2.01,2.03,3.02, 10/03/12
5.01,5.02,5.05,8.01,
9.01
ROBBINS & MYERS, INC. OH 8.01,9.01 10/09/12
RUBY TUESDAY INC GA 1.01,2.02,5.02,5.07, 10/10/12
9.01
Ryerson Holding Corp DE 8.01,9.01 10/09/12
RYERSON INC. DE 8.01,9.01 10/09/12
Ryman Hospitality Properties, Inc. DE 5.02 10/04/12
SAGE FUND LP MD 5.02 10/01/12
SAGE FUND LP MD 3.02 10/01/12
SANTARUS INC DE 1.01,9.01 10/05/12
SEALED AIR CORP/DE DE 5.02 10/05/12
SENECA GLOBAL FUND, L.P. DE 5.02 10/01/12
SGS International, Inc. DE 8.01,9.01 10/10/12
SINGLE TOUCH SYSTEMS INC DE 1.01,2.03,3.02 10/05/12
SIONIX CORP NV 1.01,5.02 09/19/12
SITEL Worldwide Corp DE 1.01,3.03,9.01 10/05/12
SPHERIX INC DE 8.01 10/10/12
STAAR SURGICAL CO DE 7.01 10/09/12
STAKOOL, INC. NV 5.02 09/21/12
STANDARD MOTOR PRODUCTS INC NY 5.02,9.01 10/09/12
STARWOOD PROPERTY TRUST, INC. 8.01,9.01 10/03/12
STEMCELLS INC DE 7.01,9.01 09/10/12
STRATTEC SECURITY CORP WI 7.01,9.01 10/09/12
STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 10/03/12
SYCAMORE NETWORKS INC DE 2.02,9.01 10/10/12
Technologies Scan Corp A8 5.02,9.01 09/20/12
Tonix Pharmaceuticals Holding Corp. NV 5.02,9.01 10/05/12
TOWER FINANCIAL CORP IN 5.02,9.01 10/10/12
TransDigm Group INC DE 7.01,9.01 10/10/12
Trinity Place Holdings Inc. DE 5.02 10/03/12
TRIO TECH INTERNATIONAL CA 2.02,9.01 10/08/12
TRUE RELIGION APPAREL INC DE 5.03,8.01,9.01 10/09/12
Two Harbors Investment Corp. 7.01,9.01 10/09/12
Ubiquiti Networks, Inc. DE 5.02,9.01 10/04/12
UMB FINANCIAL CORP MO 7.01,9.01 10/10/12
United Development Funding IV MD 8.01 10/10/12
UNITED INSURANCE HOLDINGS CORP. DE 1.01,9.01 10/10/12
UNITED SURGICAL PARTNERS INTERNATIONA DE 7.01,9.01 10/10/12
UNIVERSAL TECH CORP DE 5.01,5.02 10/03/12
URANIUM ENERGY CORP NV 7.01,9.01 10/10/12
USA TECHNOLOGIES INC PA 1.01 10/09/12
Vanda Pharmaceuticals Inc. DE 8.01 10/08/12
Vanity Events Holding, Inc. DE 5.02,9.01 10/04/12
VASCO DATA SECURITY INTERNATIONAL INC DE 2.02,9.01 10/09/12
VIASPACE Green Energy Inc. D8 1.01,3.01 10/01/12 AMEND
VIASPACE Inc. 1.01,3.02 10/01/12 AMEND
VIRGIN MEDIA INC. DE 8.01,9.01 10/10/12
VISION INDUSTRIES CORP FL 8.01 08/24/12
VITRAN CORP INC A6 7.01,9.01 10/10/12
VOICESERVE INC DE 4.01,9.01 09/14/12
VSB BANCORP INC NY 2.02,9.01 10/10/12
VWR Funding, Inc. DE 7.01,9.01 10/10/12
W. P. Carey Inc. /MD/ MD 7.01 10/10/12
WESTMOUNTAIN INDEX ADVISOR INC CO 2.03,9.01 09/11/12
WFN CREDIT CO LLC 1.01,8.01,9.01 10/05/12
Whitestone REIT TX 8.01,9.01 10/09/12
WisdomTree Investments, Inc. DE 5.02,9.01 10/08/12
WRIGHT MEDICAL GROUP INC DE 8.01,9.01 10/08/12
XPLORE TECHNOLOGIES CORP DE 5.03,9.01 10/10/12
XRS Corp MN 5.02,7.01,9.01 10/05/12
ZOOM TECHNOLOGIES INC DE 4.01,9.01 10/08/12
http://www.sec.gov/news/digest/2012/dig101112.htm
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