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Commission AnnouncementsHong Kong Firm to Pay $14 Million to Settle Insider Trading ChargesThe Commission today announced that a Hong Kong-based firm charged with insider trading in July has agreed to settle the case by paying more than $14 million, which is double the amount of its alleged illicit profits. The proposed settlement is subject to the approval of Judge Richard J. Sullivan of the U.S. District Court for the Southern District of New York. The SEC filed an emergency action against Well Advantage to freeze its assets less than 24 hours after the firm placed an order to liquidate its entire position in Nexen Inc. The SEC alleged that Well Advantage had stockpiled shares of Nexen stock based on confidential information that China-based CNOOC Ltd. was about to announce an acquisition of Nexen. Well Advantage sold those shares for more than $7 million in illicit profits immediately after the deal was publicly announced. Well Advantage is controlled by prominent Hong Kong businessman Zhang Zhi Rong, who also controls another company that has a "strategic cooperation agreement" with CNOOC. "If approved by the court, Well Advantage has agreed to give up all of its ill-gotten profits from these trades and pay a substantial penalty on top of that," said Sanjay Wadhwa, Deputy Chief of the SEC Enforcement Division's Market Abuse Unit and Associate Director of the New York Regional Office. "The speedy resolution of this case shows the serious consequences that await traders who engage in insider trading." Well Advantage has agreed to the entry of a final judgment requiring payment of $7,122,633.52 in illegal profits made from trading Nexen stock, and payment of a $7,122,633.52 penalty. The proposed judgment also enjoins Well Advantage from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Exchange Act Rule 10b-5. Well Advantage neither admits nor denies the charges. The SEC's investigation, which is continuing, has been conducted by Michael P. Holland, Simona Suh, Charles D. Riely, and Joseph G. Sansone — members of the SEC's Market Abuse Unit in New York - and Elzbieta Wraga and Aaron Arnzen of the New York Regional Office. The SEC appreciates the assistance of the Financial Industry Regulatory Authority (FINRA). (Press Rel. 2012- 212) Enforcement proceedingsIn the Matter of Carlton L. WilliamsThe 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 Carlton L. Williams (Respondent). The Order finds that on February 15, 2012, a judgment was entered by consent against Respondent in SEC v. Joseph R. Porche, et al. (Civil Action No. SACV 10-01165 DOC (RNBx) (C.D. Cal.)), permanently enjoining him from future violations of Sections 5(a) and 5(c) of the Securities Act of 1933, and Section 15(a) of the Securities Exchange Act of 1934. The Order further finds that the Commission's complaint in SEC v. Porche, et al. alleged that Williams was a member of the sales staff of Kensington Resources, Inc. (Kensington), an entity through which Williams and others solicited investors in American Environmental Energy, Inc. (AEEI), the purported "green energy" company to which investor funds were to be sent. The complaint further alleged that Williams participated in an offering of AEEI stock, which is a penny stock, and was a member of its sales staff and that, through the offering, Kensington raised over $11 million from approximately 200 investors nationwide. The complaint also alleged that Williams received commissions for his sales of AEEI stock and was not registered with the Commission at the time of the sales. Based on the above, the Order bars Carlton L. Williams from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent. Respondent consented to the issuance of the Order without admitting or denying any of the findings except as to the entry of the order of permanent injunction, which he admitted. (Rel. 34-68064; File No. 3-15072) In the Matter of Global Pari-Mutuel Services, Inc.,An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default (Default Order) in Global Pari-Mutuel Services, Inc., Admin. Proc. No. 3-15009. The Order Instituting Proceedings alleged that Global Pari-Mutuel Services, Inc. (Global), repeatedly failed to file timely periodic reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of registered securities of Global, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-68063; File No. 3-15009) 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. N-2 CORNERSTONE STRATEGIC VALUE FUND INC, ULTIMUS FUND SOLUTIONS, LLC, 350 JERICHO TURNPIKE, SUITE 206, JERICHO, NY, 11753, (646) 881-4985 - 144,301 ($1,000,005.00) Equity, (File 333-184453 - Oct. 17) (BR. 16) N-2 CORNERSTONE TOTAL RETURN FUND INC, C/O ULTIMUS FUND SOLUTIONS, LLC, 350 JERICHO TURNPIKE, SUITE 206, JERICHO, NY, 11753, (646) 881-4985 - 166,667 ($1,000,002.00) Equity, (File 333-184454 - Oct. 17) (BR. 16) F-1 FREESEAS INC., 10 ELEFTHERIOU VENIZELOU STREET, (PANEPISTIMIOU AVENUE), ATHENS, J3, 10671, 011-30-210-452-8770 - 2,352,962 ($498,592.65) Equity, (File 333-184455 - Oct. 17) (BR. 05B) S-3 Acadia Healthcare Company, Inc., 725 COOL SPRINGS BOULEVARD, SUITE 600, FRANKLIN, TN, 37067, 615-732-6259 - 0 ($621,522,500.00) Equity, (File 333-184456 - Oct. 17) (BR. 01A) S-1 Creative App Solutions, Inc., 3965 PAULA STREET, LA MESA, CA, 91941, 619-699-9669 - 510,000 ($5.79) Equity, (File 333-184457 - Oct. 17) (BR. 03) S-8 JBI, INC., 1783 ALLANPORT ROAD, THOROLD, A6, L0S1K0, (905) 354-7222 - 10,000,000 ($9,000,000.00) Equity, (File 333-184458 - Oct. 17) (BR. 10A) S-1 800 Commerce, Inc., 477 SOUTH ROSEMARY AVENUE, SUITE 203, WEST PALM BEACH, FL, 33401, 561-296-6393 - 6,000,000 ($1,980.00) Equity, (File 333-184459 - Oct. 17) (BR. 03) S-8 NUTRI SYSTEM INC /DE/, FORT WASHINGTON EXECUTIVE CENTER, 600 OFFICE CENTER DRIVE, FORT WASHINGTON, PA, 19034, 2157065332 - 0 ($55,053,000.00) Equity, (File 333-184460 - Oct. 17) (BR. 02A) S-3 Tornier N.V., FRED ROESKESTRAAT 123, AMSTERDAM, P7, 1076EE, 952-426-7600 - 0 ($36,709,415.00) Equity, (File 333-184461 - Oct. 17) (BR. 10B) S-8 ADCARE HEALTH SYSTEMS INC, 5057 TROY RD, SPRINGFEILD, OH, 45502, 937-964-8974 - 0 ($4,990,000.00) Equity, (File 333-184462 - Oct. 17) (BR. 11A) S-3 Howard Hughes Corp, ONE GALLERIA TOWER, 13355 NOEL ROAD, SUITE 950, DALLAS, TX, 75240, 214-741-7744 - 0 ($968,012,812.00) Equity, (File 333-184466 - Oct. 17) (BR. 08B) S-3 REPROS THERAPEUTICS INC., 2408 TIMBERLOCH PL, SUITE B-7, WOODLANDS, TX, 77380, 2817193400 - 0 ($100,000,000.00) Equity, (File 333-184471 - Oct. 17) (BR. 01B) S-4 WINTRUST FINANCIAL CORP, 9700 WEST HIGGINS ROAD, 8TH FLOOR, ROSEMONT, IL, 60018, 8479399000 - 0 ($29,243,011.72) Equity, (File 333-184472 - Oct. 17) (BR. 07C) N-2 FS Investment Corp II, CIRA CENTRE, 2929 ARCH STREET, SUIT 675, PHILADELPHIA, PA, 19104, 215-495-1150 - 0 ($1,010,000,000.00) Equity, (File 333-184474 - Oct. 17) (BR. 18) S-3 Midway Gold Corp, POINT AT INVERNESS, SUITE 280, 8310 SOUTH VALLEY HIGHWAY, ENGLEWOOD, CO, 80112, (720) 979-0900 - 0 ($90,000,000.00) Equity, (File 333-184475 - Oct. 17) (BR. 09B) S-11 Resource Real Estate Opportunity REIT II, Inc., ONE CRESCENT DRIVE, SUITE 203, PHILDAELPHIA, PA, 19112, 2152317050 - 0 ($1,095,000,000.00) Equity, (File 333-184476 - Oct. 17) (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
4 KIDS ENTERTAINMENT INC NY 5.02,5.03,9.01 10/16/12
A123 SYSTEMS, INC. DE 1.01,1.02,1.03,2.04,5.02,9.01 10/11/12
ABBOTT LABORATORIES IL 2.02,9.01 10/17/12
Acadia Healthcare Company, Inc. DE 8.01,9.01 10/17/12
Acadia Healthcare Company, Inc. DE 8.01,9.01 10/17/12
ACCURAY INC DE 5.02,9.01 10/10/12
ACCURAY INC DE 5.02,9.01 10/11/12
ADCARE HEALTH SYSTEMS INC OH 1.01 09/27/12
AeroVironment Inc DE 7.01,9.01 10/17/12
AFC ENTERPRISES INC MN 1.01,8.01,9.01 10/11/12
ALBEMARLE CORP VA 2.02,9.01 10/17/12
ALIGN TECHNOLOGY INC DE 2.02,8.01,9.01 10/17/12
AMERICAN AIRLINES INC DE 2.02,9.01 10/17/12
AMERICAN EXPRESS CO NY 2.02,7.01 10/17/12
AMERICAN REALTY CAPITAL - RETAIL CENT MD 5.02 10/16/12
American Realty Capital Properties, I MD 5.02 10/16/12
AMERICANWEST BANCORPORATION WA 7.01,9.01 10/15/12
Ameris Bancorp GA 5.07 05/31/12 AMEND
AMP Holding Inc. NV 2.02,7.01,9.01 10/17/12
AMPHENOL CORP /DE/ DE 2.02,9.01 10/17/12
AMR CORP DE 2.02,9.01 10/17/12
AP PHARMA INC /DE/ DE 8.01,9.01 10/16/12
Apollo Medical Holdings, Inc. DE 1.02 10/11/12
Apple REIT Ten, Inc. VA 1.02 10/11/12
ARCHER DANIELS MIDLAND CO DE 8.01,9.01 10/15/12
ARROW FINANCIAL CORP NY 2.02,9.01 10/17/12
Aspect FuturesAccess LLC DE 3.02 10/12/12
ASTORIA FINANCIAL CORP DE 2.02,5.02,9.01 10/17/12
AtheroNova Inc. DE 1.01,2.03,3.02 10/11/12
ATP OIL & GAS CORP TX 8.01 10/11/12
AVID TECHNOLOGY, INC. DE 5.02,9.01 10/15/12
BANK OF AMERICA CORP /DE/ DE 2.02,7.01,9.01 10/17/12
Bank of New York Mellon CORP DE 2.02,9.01 10/17/12
BAZI INTERNATIONAL, INC. NV 1.01,1.02,2.01,3.02,3.03,5.01,5.02,5.03,8.01 10/17/12
Bill The Butcher, Inc. NV 2.04 02/15/12
Bill The Butcher, Inc. NV 8.01 06/15/12 AMEND
Bioflamex Corp NV 5.02 10/15/12
Bioflamex Corp NV 4.01 10/11/12
BJs RESTAURANTS INC CA 8.01,9.01 10/17/12
BlackRock Inc. DE 2.02,9.01 10/17/12
BOEING CAPITAL CORP DE 1.01,2.03 10/15/12
BOEING CO DE 1.01,2.03 10/15/12
BofI Holding, Inc. DE 1.01,3.02,3.03,5.03,7.01,9.01 10/15/12
BOISE CASCADE HOLDINGS, L.L.C. DE 1.01 10/17/12
BOISE INC. DE 8.01,9.01 10/16/12
Bonds.com Group, Inc. DE 3.02,5.02,8.01,9.01 10/10/12
BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 2.02,9.01 10/17/12
Business Development Corp of America MD 8.01,9.01 10/11/12
Business Development Corp of America MD 1.01,9.01 10/17/12
BWAY PARENT COMPANY, INC. DE 2.02,9.01 10/17/12
C H ROBINSON WORLDWIDE INC DE 1.01,2.01,2.02,7.01,9.01 10/16/12
CAM Group, Inc. NV 7.01,9.01 10/16/12
Carroll Bancorp, Inc. MD 2.02,9.01 10/16/12
Castle Brands Inc FL 5.07 10/15/12
CEF EQUIPMENT HOLDING LLC DE 1.01,9.01 10/16/12
CEF EQUIPMENT HOLDING LLC DE 9.01 10/16/12
CelLynx Group, Inc. NV 5.02,7.01,9.01 10/13/12
CENTENE CORP 8.01,9.01 10/17/12
CENTRAL VALLEY COMMUNITY BANCORP CA 2.02,9.01 10/17/12
Chelsea Therapeutics International, L DE 8.01 10/17/12
CINTAS CORP WA 5.02,5.07 10/16/12
COMERICA INC /NEW/ DE 2.02,7.01,9.01 10/17/12
COMMUNITY TRUST BANCORP INC /KY/ KY 2.02,7.01,9.01 09/30/12
Comverse, Inc. DE 7.01 10/17/12
CONSUMER PORTFOLIO SERVICES INC CA 7.01,9.01 10/17/12
CORE LABORATORIES N V P7 2.02,9.01 10/17/12
Corporate Resource Services, Inc. DE 1.01 10/11/12
COVANTA HOLDING CORP DE 2.02,7.01,9.01 10/17/12
CROWN HOLDINGS INC PA 2.02,9.01 10/17/12
CSB BANCORP INC /OH OH 5.02 10/15/12
Cullman Bancorp, Inc. X1 8.01 10/17/12
CYMER INC NV 1.01,5.03,8.01,9.01 10/16/12
CYS Investments, Inc. MD 2.02,9.01 10/17/12
CYS Investments, Inc. MD 2.02,9.01 10/17/12 AMEND
CYTODYN INC CO 2.01,7.01,9.01 10/16/12
DAKOTA TERRITORY RESOURCE CORP NV 2.01,9.01 10/12/12
DC BRANDS INTERNATIONAL INC CO 1.01,3.02,5.01,5.02,5.03,8.01,9.01 10/11/12
DEAN FOODS CO DE 1.01,2.02,2.03,5.02,9.01 10/12/12
Derycz Scientific Inc NV 5.03,9.01 10/15/12
Deyu Agriculture Corp. NV 5.02 10/11/12
DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 10/17/12
Diamondback Energy, Inc. DE 1.01,7.01,9.01 10/11/12
DOVER Corp DE 2.02,9.01 10/17/12
DREW INDUSTRIES INC DE 8.01,9.01 10/17/12
DYAX CORP DE 5.02,9.01 10/16/12
DynaVox Inc. 5.02 10/16/12
DYNEX CAPITAL INC VA 2.02,9.01 10/15/12
EAST WEST BANCORP INC 2.02,9.01 10/17/12
EBAY INC DE 2.02,9.01 10/17/12
Edgen Group Inc. DE 1.01,2.03,3.03,8.01,9.01 10/16/12
Edgen Group Inc. DE 8.01,9.01 10/15/12 AMEND
El Paso Pipeline Partners, L.P. DE 2.02,9.01 10/17/12
EMERITUS CORP\WA\ WA 1.01,7.01,9.01 10/17/12
ENDOLOGIX INC /DE/ DE 1.01,9.01 10/16/12
ENERGY HOLDINGS INTERNATIONAL, INC. NV 4.02 10/10/12 AMEND
Ensco plc 7.01,9.01 10/17/12
ESB FINANCIAL CORP PA 2.02,9.01 10/16/12
EURONET WORLDWIDE INC DE 2.03,2.04,8.01 10/15/12
EXPONENT INC DE 2.02,9.01 10/17/12
FIDELITY BANCORP INC PA 8.01,9.01 10/17/12
First Advantage Bancorp 8.01,9.01 10/17/12
First Bancorp, Inc /ME/ ME 2.02 10/17/12
FIRST CASH FINANCIAL SERVICES INC DE 2.02,9.01 10/17/12
FIRST COMMUNITY CORP /SC/ SC 2.02,8.01,9.01 10/17/12
FIRST HORIZON NATIONAL CORP TN 5.02,5.03,8.01,9.01 10/15/12
FLEXSTEEL INDUSTRIES INC MN 2.02,9.01 10/16/12
FORMFACTOR INC DE 2.01,3.02,8.01,9.01 10/16/12
FRONTIER OILFIELD SERVICES INC TX 1.01,2.01,3.02,5.03,9.01 07/23/12 AMEND
FS Energy & Power Fund DE 2.02,9.01 10/11/12
FS Investment Corp II MD 2.02,9.01 10/15/12
GEOSPACE TECHNOLOGIES CORP DE 8.01,9.01 10/17/12
Global Stevia Corp. NV 5.06 07/10/12 AMEND
Globalstar, Inc. DE 3.01,7.01,9.01 10/16/12
GMX RESOURCES INC OK 8.01 10/17/12
GOLDMAN SACHS GROUP INC DE 5.02,9.01 10/15/12
Government Properties Income Trust MD 8.01,9.01 10/16/12
GRANITE CONSTRUCTION INC DE 1.01,2.03,7.01,9.01 10/11/12
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 10/12/12
GRAY TELEVISION INC GA 1.01,2.03,8.01,9.01 10/12/12 AMEND
GREEN MOUNTAIN COFFEE ROASTERS INC DE 5.02 10/15/12
GREENHILL & CO INC DE 2.02,9.01 10/17/12
GULFPORT ENERGY CORP DE 1.01,2.01,7.01,9.01 10/11/12
HD SUPPLY, INC. DE 1.01,2.03 10/15/12
HEARTLAND FINANCIAL USA INC DE 7.01,9.01 10/17/12
HELIX ENERGY SOLUTIONS GROUP INC MN 1.01,7.01,9.01 10/16/12
High Plains Gas, Inc. NV 1.01,9.01 10/16/12
Highbridge Commodities FuturesAccess DE 3.02 10/12/12
HMS HOLDINGS CORP 5.02 10/15/12
HORIZON BANCORP /IN/ IN 2.02,9.01 10/17/12
ICU MEDICAL INC/DE DE 5.02 10/17/12
iGo, Inc. DE 4.01 10/12/12
IMAGING3 INC CA 8.01 07/17/12
IMPERIAL INDUSTRIES INC DE 2.01,3.03,5.01,5.02,5.03,5.07,9.01 10/17/12
IMPERIAL OIL LTD 8.01,9.01 10/17/12
INDEPENDENCE REALTY TRUST, INC MD 1.01,2.01,2.03,3.02,9.01 10/11/12
INLAND REAL ESTATE CORP MD 8.01,9.01 10/17/12
INTEL CORP DE 2.02 10/16/12
INTELLIGENT COMMUNICATION ENTERPRISE PA 1.01,3.02,9.01 10/12/12
InterMetro Communications, Inc. 1.01,2.03,3.02 10/12/12
InterMetro Communications, Inc. 3.02,3.03,5.03,9.01 10/12/12
INTERMOUNTAIN COMMUNITY BANCORP ID 5.03,9.01 10/05/12 AMEND
INTERMUNE INC DE 8.01 10/16/12
INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 10/16/12
iPayment Holdings, Inc DE 5.02,9.01 10/15/12
Islet Sciences, Inc NV 5.02 08/20/12
JAVA EXPRESS INC NV 4.01,5.02,9.01 10/15/12
K12 INC DE 2.02,9.01 10/17/12
Kedem Pharmaceuticals Inc. NV 5.02 10/17/12
Kentucky First Federal Bancorp 8.01,9.01 10/12/12
KINDER MORGAN ENERGY PARTNERS L P DE 2.02,9.01 10/17/12
KINDER MORGAN, INC. DE 2.02,9.01 10/17/12
KNIGHT CAPITAL GROUP, INC. DE 2.02,7.01,9.01 10/17/12
KNOLL INC DE 2.02,9.01 10/17/12
KOKO LTD. NV 5.03,9.01 10/17/12
LAKELAND INDUSTRIES INC DE 1.01,9.01 10/17/12
LAM RESEARCH CORP DE 2.02,9.01 10/17/12
Laredo Petroleum Holdings, Inc. DE 7.01,9.01 10/17/12
LaSalle Hotel Properties MD 2.02,9.01 10/17/12
LaSalle Hotel Properties MD 5.02,7.01,9.01 10/17/12
LEHMAN ABS CORP BCKD TR CRTS FRD MOT DE 8.01,9.01 10/10/12
LIN TV CORP. DE 1.01,2.01,2.03,9.01 10/12/12
LINDSAY CORP DE 2.02,9.01 10/17/12
LINEAR TECHNOLOGY CORP /CA/ DE 2.02,9.01 10/17/12
LinnCo LLC DE 1.01,5.03,9.01 10/11/12
LNB BANCORP INC OH 7.01,9.01 10/17/12
M&T BANK CORP NY 2.02,9.01 10/17/12
Macquarie Global Infrastructure Total 7.01,9.01 10/16/12
MANNKIND CORP DE 2.02,7.01,8.01 10/17/12
MARTEN TRANSPORT LTD DE 2.02,9.01 10/16/12
MEDGENICS, INC. DE 5.02 10/16/12 AMEND
MEDIA GENERAL INC VA 2.02,9.01 10/17/12
MEDICIS PHARMACEUTICAL CORP DE 8.01 10/17/12
Mellanox Technologies, Ltd. L3 2.02,9.01 10/17/12
MERCURY COMPUTER SYSTEMS INC MA 1.01,1.02,2.03,5.02,5.07,8.01,9.01 10/12/12
Mid-Con Energy Partners, LP DE 1.01,7.01,9.01 10/16/12
MIDAMERICAN ENERGY CO IA 8.01 10/17/12
MidWestOne Financial Group, Inc. IA 8.01,9.01 10/16/12
MINN DAK FARMERS COOPERATIVE ND 5.07 10/17/12
ML Winton FuturesAccess LLC DE 3.02 10/12/12
ModusLink Global Solutions Inc DE 3.01,9.01 10/16/12
MONEYGRAM INTERNATIONAL INC 5.02,9.01 10/12/12
Morgan Stanley Bank of America Merril DE 8.01,9.01 10/17/12
MRV COMMUNICATIONS INC DE 5.07 10/11/12
MusclePharm Corp NV 2.02,8.01 09/28/12
NABI BIOPHARMACEUTICALS DE 8.01,9.01 10/17/12
NATIONAL MENTOR HOLDINGS, INC. DE 1.01,9.01 10/17/12
NATIONAL RURAL UTILITIES COOPERATIVE DC 2.03,8.01,9.01 10/16/12
NAVISTAR INTERNATIONAL CORP DE 5.02,9.01 10/15/12
NEVADA GOLD & CASINOS INC NV 5.02,5.07,8.01,9.01 10/16/12
NEWBRIDGE BANCORP NC 5.02 10/16/12
NEWS CORP 7.01,8.01,9.01 10/17/12
NGP Capital Resources Co MD 5.02,7.01,9.01 10/15/12
NIVS IntelliMedia Technology Group, I DE 8.01 10/07/12
Noble Corp / Switzerland V8 2.02,9.01 10/17/12
NORTHERN TRUST CORP DE 2.02,9.01 10/17/12
NVE CORP /NEW/ MN 2.02 10/17/12
OCZ TECHNOLOGY GROUP INC DE 5.02 10/12/12
OMNICOMM SYSTEMS INC DE 5.02 10/15/12
Oncologix Tech Inc. NV 3.02 10/16/12
OneBeacon Insurance Group, Ltd. D0 8.01,9.01 10/17/12
ONEOK INC /NEW/ OK 7.01,9.01 10/17/12
ONEOK Partners LP DE 7.01,9.01 10/17/12
ORIGINOIL INC NV 1.01,8.01,9.01 10/16/12
Ortus Currency FuturesAccess LLC DE 3.02 10/12/12
Owens Corning DE 7.01,9.01 10/17/12
PACIFIC CONTINENTAL CORP OR 2.02,9.01 10/17/12
PACWEST BANCORP DE 2.02,9.01 10/17/12
PEETS COFFEE & TEA INC WA 8.01,9.01 10/05/12
PENN TREATY AMERICAN CORP PA 5.02 10/11/12
PENN VIRGINIA CORP VA 1.01,3.03,5.03,7.01,9.01 10/12/12
Peoples Federal Bancshares, Inc. 8.01,9.01 10/17/12
PEPSICO INC NC 2.02,9.01 10/17/12
PEREGRINE PHARMACEUTICALS INC DE 8.01,9.01 10/17/12
PHARMOS CORP NV 1.02,5.02,8.01 10/11/12
Phillips Edison - ARC Shopping Center MD 8.01,9.01 10/12/12
PHOTOMEDEX INC DE 8.01,9.01 10/15/12
PINNACLE FINANCIAL PARTNERS INC TN 2.02,9.01 10/16/12
PIPER JAFFRAY COMPANIES DE 2.02,9.01 10/17/12
PLATINUM UNDERWRITERS HOLDINGS LTD D0 2.02,9.01 10/17/12
PREMIER EXHIBITIONS, INC. FL 5.02,8.01,9.01 10/16/12
PROVECTUS PHARMACEUTICALS INC NV 7.01,9.01 10/17/12
PULSE ELECTRONICS CORP PA 3.01,9.01 10/10/12
QKL Stores Inc. DE 8.01,9.01 10/17/12
QUEST DIAGNOSTICS INC DE 2.02,9.01 10/17/12
RAYONIER INC NC 8.01,9.01 10/11/12
REINSURANCE GROUP OF AMERICA INC MO 2.02,9.01 10/17/12
RELIABRAND INC. 7.01,9.01 10/15/12
Remark Media, Inc. DE 5.02 10/15/12
RLI CORP IL 2.02,9.01 10/17/12
Searchlight Minerals Corp. NV 8.01 10/16/12
SELECT COMFORT CORP MN 2.02,9.01 10/17/12
SemiLEDs Corp 5.02 10/16/12
ServisFirst Bancshares, Inc. DE 2.02,9.01 10/16/12
SERVOTRONICS INC /DE/ DE 1.01,3.03,9.01 10/15/12
SEVERN BANCORP INC MD 2.02,9.01 10/16/12
ShengdaTech, Inc. 1.01,1.03,5.02,8.01,9.01 10/17/12
SINCLAIR BROADCAST GROUP INC MD 1.01,2.03,9.01 10/12/12
Sino Agro Food, Inc. NV 7.01,9.01 10/17/12
SLM CORP DE 2.02,9.01 10/17/12
SMITH A O CORP DE 2.02,9.01 10/17/12
SNYDER'S-LANCE, INC. NC 2.01,2.03,8.01,9.01 10/11/12
SOUTHCOAST FINANCIAL CORP SC 2.02,9.01 10/15/12
ST JUDE MEDICAL INC MN 2.02,9.01 10/17/12
Standard Gold CO 5.02 09/27/12
STANLEY BLACK & DECKER, INC. CT 2.02,9.01 10/17/12
STILLWATER MINING CO /DE/ DE 1.01,8.01,9.01 10/11/12
STILLWATER MINING CO /DE/ DE 1.01,2.03,9.01 10/17/12
STREAMLINE HEALTH SOLUTIONS INC. DE 5.02,9.01 10/12/12
STRYKER CORP MI 2.02,9.01 10/17/12
STRYKER CORP MI 5.02,9.01 10/15/12 AMEND
SUNGARD CAPITAL CORP DE 5.02 10/01/12
SUNPEAKS VENTURES, INC. NV 1.01,3.02,9.01 10/11/12
Synthetic Biologics, Inc. NV 3.02,8.01 10/16/12
Targa Resources Corp. DE 2.02,9.01 10/17/12
Targa Resources Partners LP DE 2.02,9.01 10/17/12
TAYLOR CAPITAL GROUP INC DE 2.02,7.01,9.01 10/17/12
TEAM INC TX 5.02 10/17/12
TEREX CORP DE 8.01,9.01 10/17/12
TEXTRON INC DE 2.02,9.01 10/17/12
THERAPEUTIC SOLUTIONS INTERNATIONAL, NV 5.03,5.07,9.01 10/15/12
Thompson Creek Metals CO Inc. A6 7.01,9.01 10/16/12
TNP Strategic Retail Trust, Inc. MD 5.02,7.01,9.01 10/11/12
Tornier N.V. P7 8.01,9.01 10/17/12
TRESORO MINING CORP. NV 4.01 10/12/12
UNIFI INC NY 5.02 10/16/12
UNIFIRST CORP MA 2.02,9.01 08/25/12
UNITED RENTALS INC /DE DE 2.02,7.01,9.01 10/16/12
UNITED SECURITY BANCSHARES CA 2.02,9.01 10/16/12
UNITED STATES ANTIMONY CORP MT 8.01 10/17/12
UNIVERSAL FOREST PRODUCTS INC MI 2.02,9.01 10/17/12
US BANCORP \DE\ DE 2.02,9.01 10/17/12
VERIZON COMMUNICATIONS INC DE 7.01,9.01 10/17/12
VIVUS INC CA 8.01,9.01 10/17/12
W&T OFFSHORE INC TX 1.01,2.03,9.01 10/12/12
WebMD Health Corp. DE 1.01,5.02,9.01 10/17/12
WESCO INTERNATIONAL INC 7.01,8.01,9.01 10/17/12
WESCO INTERNATIONAL INC 1.01,9.01 10/15/12
WEST CORP DE 2.02,9.01 10/17/12
WESTAMERICA BANCORPORATION CA 2.02,9.01 10/17/12
WESTERN LIBERTY BANCORP DE 8.01,9.01 10/16/12
WESTERN LIBERTY BANCORP DE 5.07 10/17/12
Western Refining, Inc. DE 8.01,9.01 10/17/12
Western Standard Energy Corp. NV 1.01,3.02,5.02,9.01 10/12/12
WINTRUST FINANCIAL CORP IL 2.02,9.01 10/17/12
XILINX INC DE 2.02,9.01 10/17/12
XPO Logistics, Inc. 2.01,9.01 08/03/12 AMEND
YAHOO INC DE 5.02,9.01 10/11/12
Your Event, Inc. NV 5.02,8.01 10/16/12
Zayo Group LLC DE 1.01,7.01,9.01 10/12/12
ZaZa Energy Corp DE 7.01,9.01 10/16/12 AMEND
Zep Inc. DE 7.01,9.01 10/17/12
Zep Inc. DE 7.01,9.01 10/17/12
Zep Inc. DE 1.01,9.01 10/16/12
ZHONE TECHNOLOGIES INC DE 2.02,9.01 10/17/12
http://www.sec.gov/news/digest/2012/dig101812.htm
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