![]() |
![]() |
|||||||||||||||
![]() |
|
![]() |
![]() |
INVESTMENT COMPANY ACT RELEASESNeuberger Berman Alternative Funds, et al.An order has been issued on an application filed by Neuberger Berman Alternative Funds, Neuberger Berman Management LLC, and NB Alternative Investment Management LLC, exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-30232 - October 15) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangeThe NASDAQ Stock Market LLC filed a proposed rule change (SR-NASDAQ-2012-118) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to modify certain disclosure requirements to require listed companies to publicly describe the specific basis and concern identified by Nasdaq when a company does not meet a listing standard and give Nasdaq the authority to make such public announcement when a listed company fails to do so. Publication is expected in the Federal Register during the week of October 15. (Rel. 34-68053) 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-4 M&T BANK CORP, C/O CORPORATE REPORTING, ONE M&T PLAZA 5TH FLOOR, BUFFALO, NY, 14203, 7168425390 - 0 ($2,723,486,271.00) Equity, (File 333-184411 - Oct. 15) (BR. 12A) S-8 1ST CONSTITUTION BANCORP, 2650 ROUTE 130, BOX 634, CRANBURY, NJ, 08512, 6096554500 - 300,000 ($2,709,000.00) Equity, (File 333-184412 - Oct. 15) (BR. 07B) S-1 Millennial Media Inc., 2400 BOSTON STREET, SUITE 301, Baltimore, MD, 21224, (410) 552-8705 - 0 ($179,400,000.00) Equity, (File 333-184413 - Oct. 15) (BR. 11A) F-1 YY Inc., No. 50 Jianzhung Road, Tianhe Software Park, Tianhe District, Guangzhou, F4, 510660, (+86 20) 8553-5024 - 0 ($100,000,000.00) ADRs/ADSs, (File 333-184414 - Oct. 15) (BR. 03A) S-3 Shellpoint Mortgage Acceptance LLC, 2 GRAND CENTRAL TOWER, 140 E. 45TH ST., 37TH FLOOR, NEW YORK, NY, 10017, 212 850 7701 - 0 ($1,000,000.00) Mortgage Backed Securities, (File 333-184419 - Oct. 15) (BR. 08) S-3ASR SCANA CORP, 100 SCANA PARKWAY, MAIL CODE - B123, CAYCE, SC, 29033, 8032179000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184426 - Oct. 15) (BR. 02A) S-4 Gulf South Pipeline Company, LP, 9 GREENWAY PLAZA, SUITE 2800, HOUSTON, TX, 77046, (866) 913-2122 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-184428 - Oct. 15) (BR. ) 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 ----------------------------------------------------------------------------------------- A123 SYSTEMS, INC. DE 1.01,2.06,8.01,9.01 10/11/12 ACCENTIA BIOPHARMACEUTICALS INC FL 1.01,2.03,3.02 10/09/12 Activision Blizzard, Inc. DE 5.02 10/09/12 ADVANCED ENERGY INDUSTRIES INC DE 1.01,2.03,9.01 10/12/12 ALCO STORES INC KS 7.01,8.01,9.01 10/10/12 ALCOA INC PA 2.02,9.01 10/09/12 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 10/15/12 ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 5.02 10/15/12 Alta Mesa Holdings, LP TX 1.01,2.03,7.01,9.01 10/15/12 AMEDISYS INC DE 7.01,9.01 10/15/12 AMERICAN EXPRESS CO NY 7.01 10/15/12 American Lorain CORP NV 8.01,9.01 10/15/12 AMERICAN RIVER BANKSHARES CA 7.01,9.01 10/15/12 AMREP CORP. OK 5.02 10/10/12 ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 10/15/12 ARETE INDUSTRIES INC CO 9.01 07/29/11 AMEND Armada Oil, Inc. NV 1.01,4.01,5.02,9.01 10/10/12 ARTS WAY MANUFACTURING CO INC DE 2.02,9.01 10/15/12 ASURE SOFTWARE INC DE 1.01,9.01 10/09/12 AVISTA CORP WA 8.01 10/11/12 BASIC ENERGY SERVICES INC 8.01 10/15/12 BeesFree, Inc. NV 1.01,3.02,7.01,9.01 10/10/12 BENACO, INC. NV 5.02 10/09/12 BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 10/15/12 BioDrain Medical, Inc. MN 5.02,7.01,9.01 10/11/12 BIOVEST INTERNATIONAL INC DE 2.03 10/09/12 Blackwater Midstream Corp. 2.01,5.01,5.02,5.03, 10/09/12 8.01,9.01 Bluerock Enhanced Multifamily Trust, MD 7.01,9.01 10/15/12 BOISE CASCADE HOLDINGS, L.L.C. DE 2.02,8.01 10/15/12 BRAZIL FAST FOOD CORP DE 8.01 10/15/12 Bridgepoint Education Inc DE 8.01 10/15/12 BRIGHTPOINT INC IN 1.02,2.01,3.01,3.03, 10/15/12 5.01,5.02,5.03,9.01 CABELAS INC DE 7.01,9.01 10/15/12 CAMCO FINANCIAL CORP DE 5.02,9.01 10/09/12 CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 10/12/12 Carter Validus Mission Critical REIT, MD 7.01,9.01 10/15/12 CASEYS GENERAL STORES INC IA 7.01 10/15/12 CASTLE A M & CO MD 5.02,8.01,9.01 10/11/12 CASTLE A M & CO MD 5.02,8.01,9.01 10/11/12 AMEND CBL & ASSOCIATES PROPERTIES INC DE 3.02 10/11/12 Cellteck Inc. NV 9.01 10/04/12 CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 10/15/12 CHESAPEAKE ENERGY CORP OK 7.01,9.01 10/11/12 China Environmental Protection Inc. NV 1.01,1.02,2.01,9.01 07/01/11 China Environmental Protection Inc. NV 1.01,2.01,3.02,3.03, 02/12/10 AMEND 4.01,5.01,5.02,9.01 China Shengda Packaging Group Inc. NV 8.01,9.01 10/15/12 China XD Plastics Co Ltd NV 3.01 10/11/12 CIBER INC DE 8.01,9.01 10/15/12 CITIGROUP INC DE 2.02,9.01 10/15/12 CODORUS VALLEY BANCORP INC PA 2.02,9.01 10/15/12 COLLECTORS UNIVERSE INC DE 1.01,5.02,7.01,9.01 10/10/12 CONAGRA FOODS INC /DE/ DE 7.01 10/15/12 CONOLOG CORP DE 1.01,3.02,9.01 10/12/12 CONSUMER PORTFOLIO SERVICES INC CA 2.01,9.01 10/15/12 Cooper Industries plc 1.01 10/09/12 Cornerstone Core Properties REIT, Inc MD 8.01,9.01 10/11/12 CRYO CELL INTERNATIONAL INC DE 2.02,9.01 10/15/12 CURTISS WRIGHT CORP DE 5.02,9.01 10/12/12 DAYSTAR TECHNOLOGIES INC DE 5.02,9.01 10/12/12 DELCATH SYSTEMS INC DE 8.01,9.01 10/15/12 DEVON ENERGY CORP/DE DE 2.05 10/11/12 Discovery Gold Corp NV 1.01,3.02,8.01,9.01 09/26/12 DOLLAR GENERAL CORP TN 5.02,9.01 10/12/12 Eagle Bancorp Montana, Inc. 8.01,9.01 10/15/12 EASTMAN CHEMICAL CO DE 7.01 10/15/12 Echo Automotive, Inc. NV 2.01,3.02,4.01,5.01, 0/11/12 5.02,5.06,9.011 EDIETS COM INC DE 5.02,9.01 10/10/12 ELITE PHARMACEUTICALS INC /NV/ NV 8.01,9.01 09/28/12 EMC METALS CORP. A1 5.07 10/12/12 ENB Financial Corp PA 2.02,9.01 10/12/12 ENDEAVOUR INTERNATIONAL CORP NV 1.01,2.03,8.01,9.01 10/10/12 ENDOCYTE INC DE 8.01 10/15/12 ENERGY XXI (BERMUDA) LTD D0 1.01,9.01 10/12/12 ENTERGY CORP /DE/ DE 2.02,9.01 10/15/12 EOG RESOURCES INC DE 7.01 10/15/12 EPL OIL & GAS, INC. DE 7.01,9.01 10/15/12 EQM Technologies & Energy, Inc. DE 8.01 10/15/12 EQUUS TOTAL RETURN, INC. DE 8.01,9.01 10/15/12 EURONET WORLDWIDE INC DE 1.01,2.03,7.01,9.01 10/11/12 Exterra Energy Inc. NV 7.01,9.01 10/12/12 Facebook Inc 1.01,2.03,9.01 10/12/12 FAMILY DOLLAR STORES INC DE 5.02,9.01 10/09/12 FIELDPOINT PETROLEUM CORP CO 5.02 10/01/12 FIRST COMMUNITY CORP /SC/ SC 8.01 10/08/12 FIRSTFED FINANCIAL CORP DE 8.01 10/11/12 Fuse Science, Inc. NV 8.01 10/12/12 FXCM Inc. 7.01,9.01 10/15/12 GANNETT CO INC /DE/ DE 2.02,9.01 10/15/12 GLADSTONE CAPITAL CORP MD 5.02,9.01 10/10/12 GLADSTONE COMMERCIAL CORP MD 5.02,9.01 10/10/12 GLADSTONE INVESTMENT CORPORATION\DE DE 5.02,9.01 10/10/12 GNC HOLDINGS, INC. DE 5.02 10/10/12 Golub Capital BDC, Inc. DE 2.02,7.01,9.01 10/15/12 Government Properties Income Trust MD 8.01,9.01 10/15/12 GRAY TELEVISION INC GA 1.01,2.03,8.01,9.01 10/12/12 GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 10/10/12 Guar Global Ltd. NV 5.03,9.01 10/15/12 GULF ISLAND FABRICATION INC LA 1.01,5.02 10/10/12 HAIN CELESTIAL GROUP INC DE 7.01,9.01 10/15/12 Hamilton Bancorp, Inc. MD 5.02,8.01,9.01 10/10/12 HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 10/15/12 HARVEST NATURAL RESOURCES, INC. DE 1.01,2.03,3.02,8.01, 10/11/12 9.01 HeartWare International, Inc. DE 8.01 10/15/12 High Plains Gas, Inc. NV 4.01 10/15/12 HIGHWOODS PROPERTIES INC MD 2.03,9.01 10/11/12 HOLOGIC INC DE 9.01 08/01/12 AMEND HOME LOAN SERVICING SOLUTIONS, LTD. E9 2.03 10/10/12 Honda Auto Receivables 2012-4 Owner T DE 1.01,9.01 10/11/12 ICU MEDICAL INC/DE DE 2.02,9.01 10/15/12 IDS Solar Technologies, Inc. NV 5.03,8.01,9.01 10/12/12 IHS Inc. DE 5.02,9.01 10/12/12 ILLINOIS TOOL WORKS INC DE 5.02,9.01 10/15/12 INGRAM MICRO INC DE 2.01,9.01 10/15/12 INLAND REAL ESTATE CORP MD 1.01,9.01 10/15/12 INLAND REAL ESTATE CORP MD 8.01,9.01 10/15/12 InspireMD, Inc. DE 8.01 10/15/12 INTERMOLECULAR INC DE 8.01 10/12/12 INTERVEST BANCSHARES CORP DE 2.02,9.01 10/15/12 IROBOT CORP DE 5.02 10/15/12 ITT Corp IN 1.01,7.01,9.01 10/15/12 J CREW GROUP INC DE 1.01,2.03,9.01 10/11/12 Jazz Pharmaceuticals plc L2 2.01,8.01,9.01 10/15/12 JMG Exploration, Inc. NV 8.01,9.01 08/29/12 AMEND JOE'S JEANS INC. DE 2.02,9.01 10/15/12 KALEX CORP DE 1.01,4.02,9.01 07/12/12 LEHMAN BROTHERS HOLDINGS INC. PLAN TR 7.01,9.01 10/12/12 LEXARIA CORP. NV 7.01,9.01 10/10/12 LIBERTY SILVER CORP NV 8.01,9.01 10/12/12 Lightwood Acquisition Corp DE 5.03 10/15/12 LIONS GATE ENTERTAINMENT CORP /CN/ A1 1.01,9.01 10/15/12 MAGELLAN MIDSTREAM PARTNERS LP DE 8.01,9.01 10/12/12 MDU RESOURCES GROUP INC DE 5.02 10/02/12 MEDIACOM BROADBAND LLC DE 8.01 10/15/12 MELA SCIENCES, INC. /NY 1.01 10/12/12 METALICO INC 5.02 10/15/12 MFRI INC DE 5.02 10/10/12 MICROCHIP TECHNOLOGY INC DE 2.02,9.01 10/15/12 Millennial Media Inc. DE 2.02,8.01,9.01 10/15/12 MISSION WEST PROPERTIES INC CA 7.01,9.01 10/11/12 MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 10/15/12 MYOS Corp NV 5.02 10/15/12 NACCO INDUSTRIES INC DE 1.01 10/10/12 NAKED BRAND GROUP INC. NV 1.01,3.02,9.01 10/09/12 NATURALLY ADVANCED TECHNOLOGIES INC A1 8.01,9.01 10/11/12 NEW HAMPSHIRE THRIFT BANCSHARES INC DE 2.02,9.01 10/15/12 NEW PEOPLES BANKSHARES INC VA 8.01 10/15/12 NEWS CORP 8.01,9.01 10/15/12 NORTEK INC DE 7.01,9.01 10/15/12 NORTEK INC DE 8.01,9.01 10/15/12 NORTEK INC DE 7.01,9.01 10/15/12 Nova Lifestyle, Inc. NV 8.01,9.01 10/05/12 Novelis Inc. A6 1.01,8.01,9.01 10/12/12 NOVELOS THERAPEUTICS, INC. DE 8.01 10/11/12 Nuance Communications, Inc. DE 7.01,8.01,9.01 10/15/12 OCTAGON 88 RESOURCES, INC. NV 1.01,5.02,9.01 10/12/12 OLD SECOND BANCORP INC DE 8.01 10/15/12 OMEGA COMMERCIAL FINANCE CORP WY 3.03,9.01 10/11/12 Otter Tail Corp MN 1.01 10/10/12 PACIFIC PREMIER BANCORP INC DE 1.01,8.01,9.01 10/15/12 Pana-Minerales S.A. 1.02,2.01,3.02,4.01, 10/12/12 9.01 PETMED EXPRESS INC FL 8.01,9.01 08/15/12 PG&E Corp CA 8.01 10/11/12 PG&E Corp CA 8.01 10/12/12 AMEND PINNACLE BANKSHARES CORP VA 2.02,8.01,9.01 10/12/12 PPL Corp 2.03,8.01,9.01 10/10/12 PREMIER EXHIBITIONS, INC. FL 2.02,9.01 10/15/12 PREMIER HOLDING CORP. NV 5.02,5.07 10/04/12 PRICELINE COM INC DE 5.02 10/10/12 PROCYON CORP CO 1.01,5.02,9.01 10/09/12 Raider Ventures Inc. NV 5.03,9.01 09/28/12 RICHARDSON ELECTRONICS LTD/DE DE 5.02,5.03,5.07,9.01 10/09/12 Rock Energy Resources, Inc. DE 7.01,9.01 10/15/12 Rosetta Resources Inc. DE 7.01,9.01 10/15/12 SARATOGA INVESTMENT CORP. MD 2.02,9.01 10/15/12 SCHWAB CHARLES CORP DE 2.02,9.01 10/15/12 SCIENTIFIC LEARNING CORP DE 3.01 10/09/12 Sears Hometown & Outlet Stores, Inc. DE 1.01,5.02,5.03,9.01 10/11/12 SENESCO TECHNOLOGIES INC DE 5.02,9.01 10/09/12 SEYCHELLE ENVIRONMENTAL TECHNOLOGIES NV 7.01,9.01 10/15/12 Shire plc 8.01,9.01 10/15/12 SINGLE TOUCH SYSTEMS INC DE 8.01 10/15/12 SLM Student Loan Trust 2003-14 8.01,9.01 10/15/12 SLM Student Loan Trust 2004-1 8.01,9.01 04/15/12 SLM Student Loan Trust 2004-10 DE 8.01,9.01 10/15/12 SLM Student Loan Trust 2004-5 8.01,9.01 10/15/12 SLM Student Loan Trust 2004-8 DE 8.01,9.01 10/15/12 SM Energy Co DE 7.01,9.01 10/12/12 SONOCO PRODUCTS CO SC 1.01 10/12/12 SPECTRASCIENCE INC MN 1.01,2.03,3.02,7.01 10/12/12 SPRINT NEXTEL CORP KS 7.01,9.01 10/15/12 SPRINT NEXTEL CORP KS 1.01,2.03,3.02,9.01 10/15/12 STATE STREET CORP MA 8.01 10/15/12 Strategic Storage Trust, Inc. MD 1.01,2.03,9.01 10/10/12 SunCoke Energy, Inc. 7.01,9.01 10/15/12 TC GLOBAL, INC. WA 1.03,4.01,5.02 08/08/12 TEREX CORP DE 1.01,9.01 10/12/12 Terra Tech Corp. NV 1.01,2.01,3.02,3.03, 02/09/12 AMEND 5.01,5.03,5.06,9.01 TGR Financial, Inc. FL 3.02 10/10/12 Tootie Pie Company, Inc. TX 4.01 10/15/12 TransDigm Group INC DE 1.01,2.03,7.01,9.01 10/09/12 TransMontaigne Partners L.P. DE 8.01,9.01 10/15/12 TURBOSONIC TECHNOLOGIES INC DE 1.01,9.01 10/15/12 UNIVERSAL TECH CORP DE 5.01,5.02 10/03/12 AMEND UNWIRED PLANET, INC. DE 8.01,9.01 10/15/12 URANIUM ENERGY CORP NV 7.01,9.01 10/15/12 US GEOTHERMAL INC DE 5.07 10/15/12 US Highland, Inc. OK 1.01,3.02,5.01,9.01 07/02/12 Vanda Pharmaceuticals Inc. DE 7.01,9.01 10/15/12 Vantage Drilling CO E9 7.01,8.01,9.01 10/15/12 Versant International, Inc. NV 8.01,9.01 10/13/12 ViewPoint Financial Group Inc. 8.01,9.01 10/15/12 Volcano Corp DE 8.01 08/11/12 WALTER INVESTMENT MANAGEMENT CORP MD 8.01,9.01 10/15/12 WARREN RESOURCES INC MD 1.01,7.01,9.01 10/09/12 WD 40 CO DE 2.02,9.01 10/15/12 WEBDIGS INC MN 1.01,2.01,3.02,5.01, 10/09/12 5.02,5.03,9.01 WESTERN DIGITAL CORP DE 7.01 10/15/12 WILLIAM LYON HOMES DE 1.01,3.02 10/12/12 WIRELESS TELECOM GROUP INC NJ 5.03,9.01 10/12/12 WORTHINGTON ENERGY, INC. NV 5.07,8.01,9.01 10/12/12 XPLORE TECHNOLOGIES CORP DE 8.01,9.01 10/15/12 YAHOO INC DE 5.02,9.01 10/15/12 Yongye International, Inc. NV 8.01,9.01 10/15/12 ZEBRA TECHNOLOGIES CORP 2.03,9.01 10/10/12
http://www.sec.gov/news/digest/2012/dig101612.htm
|