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Enforcement proceedingsDelinquent Filer's Stock Registration RevokedThe registration of the registered securities of A-Power Energy Generation Systems, Ltd., has been revoked. It had failed to file required annual reports with the Securities and Exchange Commission. Thus, it violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocation was ordered in an administrative proceeding before an administrative law judge. (Initial Decision No. 470; File No. 3-14935) Investment company act releasesArden Investment Series Trust; Arden Asset Management LLCA notice has been issued giving interested persons until November 27, 2012 to request a hearing on an application filed by Arden Investment Series Trust and Arden Asset Management LLC, for an order 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 would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (Rel. IC-30255 - November 2) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule changed filed by NASDAQ OMX PHLX LLC relating to branch offices (SR-Phlx-2012-124) 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 November 5. (Rel. 34-68127) A proposed rule change filed by NYSE MKT LLC to amend Rule 968NY to allow for the split-price priority provisions to apply to open outcry trading of cabinet trades (SR-NYSEMKT-2012-55) 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 November 5. (Rel. 34-68128) A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-101) to amend the fees schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68131) The Fixed Income Clearing Corporation ("FICC") filed a proposed rule change (SR-FICC-2012-08) under Section19(b)(1) of the Securities Exchange Act of 1934 to clarify a stated policy with regard to existing provisions of the loss allocation rules of the Government Securities Division and the Mortgage-Backed Securities Division. The proposed rule change has become effective pursuant to Section 19(b)(3)(A)(i) of the Act and Rule 19b-4(f)(1) thereunder. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68133) A proposed rule change (SR-NYSE-2012-58) filed by the New York Stock Exchange LLC to temporarily suspend those aspects of Rules 36.20, 36.21, and 36.30 that would not permit Designated Market Makers and floor brokers to use personal portable phone devices on the Trading Floor following the aftermath of Hurricane Sandy from October 31, 2012 until the earlier of when phone service is fully restored or Friday, November 2, 2012, has become effective. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68137) A proposed rule change (SR-NYSEMKT-2012-59) filed by the NYSE MKT LLC to temporarily suspend those aspects of Rules 36.20 - Equities, 36.21 - Equities, and 36.30 - Equities that would not permit Designated Market Makers and floor brokers to use personal portable phone devices on the Trading Floor following the aftermath of Hurricane Sandy from October 31, 2012 until the earlier of when phone service is fully restored or Friday, November 2, 2012, has become effective. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68138) A proposed rule change filed by NYSE MKT LLC to amend the NYSE Amex Options LLC Fee Schedule to amend the fees for Specialists and eSpecialists relating to Qualified Contingent Cross Orders (SR-NYSEMKT-2012-56) 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 November 5. (Rel. 34-68139) A proposed rule change filed by BOX Options Exchange LLC (SR-BOX-2012-016) regarding quote mitigation has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68141) Proposed Rule ChangeThe Municipal Securities Rulemaking Board filed a proposed rule change (SR-MSRB-2012-08), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, consisting of amendments to streamline new issue information submission requirements under MSRB Rules G-32 and G-34. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68134) Designation of Longer Period for Commission Action on a Proposed Rule ChangeThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-NYSEMKT-2012-41) filed by NYSE MKT LLC to amend Commentary .04 to NYSE Amex Options Rule 903 to permit the Exchange to list additional strike prices until the close of trading on the second business day prior to monthly expiration in unusual market conditions. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68135) Approval of Proposed Rule ChangesThe Commission approved a proposed rule change (SR-NYSE-2012-44), pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, .amending Section 907.00 of the Listed Company Manual, which describes certain complimentary products and services that are offered to certain issuers. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68143) A proposed rule change (SR-CBOE-2012-102) filed by the Chicago Board Options Exchange, Incorporated related to extending the FLEX exercise settlement values pilot has become effective. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68145) A proposed rule change filed by the New York Stock Exchange LLC to amend the transaction fees on the New York Block Exchange (SR-NYSE-2012-59) 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 November 5. (Rel. 34-68146) The Commission granted approval of a proposed rule change (SR-OCC-2012-17) pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, filed by The Options Clearing Corporation (OCC), as modified by Amendment No. 1 thereto, relating to the margining of segregated futures customer accounts on a gross basis. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68148) Notice of No Objection to Advance NoticeThe Commission issued a notice of no objection to an advance notice filing (SR-OCC-2012-17) under Section 806(e)(1)(I) of the Payment, Clearing, and Settlement Supervision Act of 2010, filed by The Options Clearing Corporation (OCC), as modified by Amendment No. 1 thereto, relating to the margining of segregated futures customer accounts on a gross basis. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68147) 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 EXELON GENERATION CO LLC, 0 ($1,311,506,000.00) Debt, (File 333-184712 - Nov. 2) (BR. 02B) S-3ASR TEREX CORP, 200 NYALA FARM ROAD, WESTPORT, CT, 06880, 2032227170 - 0 ($0.00) Debt, 0 ($0.00) Equity, (File 333-184713 - Nov. 2) (BR. 10B) S-1 Capital Bank Financial Corp., 121 ALHAMBRA PLAZA, SUITE 1601, CORAL GABLES, FL, 33134, 305 670 0200 - 0 ($529,732,293.00) Equity, (File 333-184714 - Nov. 2) (BR. 07) S-1 HOME LOAN SERVICING SOLUTIONS, LTD., C/O JAMES LAUTER, 2002 SUMMIT BLVD., SIXTH FLOOR, ATLANTA, GA, 30319, 561-682-7561 - 0 ($350,000,000.00) Equity, (File 333-184715 - Nov. 2) (BR. 07) S-8 Restoration Hardware Holdings Inc, 15 KOCH ROAD, SUITE J, CORTE MADERA, CA, 94925, 415-924-1005 - 0 ($286,063,008.00) Equity, (File 333-184716 - Nov. 2) (BR. 02) S-3ASR MICROSOFT CORP, ONE MICROSOFT WAY, REDMOND, WA, 98052-6399, 425-882-8080 - 0 ($0.00) Debt, (File 333-184717 - Nov. 2) (BR. 03A) S-8 Hillshire Brands Co, 3500 LACEY ROAD, DOWNERS GROVE, IL, 60515, 6305986000 - 0 ($635,250,000.00) Equity, (File 333-184720 - Nov. 2) (BR. 04A) S-3 LANNETT CO INC, 9000 STATE RD, PHILADELPHIA, PA, 19136, 2153339000 - 0 ($121,250,000.00) Equity, (File 333-184721 - Nov. 2) (BR. 01B) S-8 NATHANS FAMOUS INC, 1400 OLD COUNTRY RD, STE 400, WESTBURY, NY, 11590, 5163388500 - 250,000 ($6,927,500.00) Equity, (File 333-184722 - Nov. 2) (BR. 05B) S-3 MATERION Corp, 6070 PARKLAND BLVD., MAYFIELD HTS., OH, 44124, 2163834931 - 0 ($150,000,000.00) Unallocated (Universal) Shelf, (File 333-184723 - Nov. 2) (BR. 06A) S-1 Electric Tractor Corp., 3325 NORTH SERVICE RD., UNIT #105, BURLINGTON, A6, L7N3G2, 905-467-5531 - 1,038,068 ($519,034.00) Equity, (File 333-184724 - Nov. 2) (BR. 10A) S-8 DEL TORO SILVER CORP., 320 NORTH CARSON STREET, CARSON CITY, NV, 89701, 775-782-3999 - 3,000,000 ($270,000.00) Equity, (File 333-184725 - Nov. 2) (BR. 09A) S-8 DOW CHEMICAL CO /DE/, 2030 DOW CENTER, MIDLAND, MI, 48674-2030, 989-636-1000 - 0 ($352,200,000.00) Equity, (File 333-184726 - Nov. 2) (BR. 06B) S-8 IXIA, 26601 W AGOURA RD, CALABASAS, CA, 91302, 8188711800 - 0 ($5,925,000.00) Equity, (File 333-184727 - Nov. 2) (BR. 10A) S-8 CSR PLC, CHURCHILL HOUSE, CAMBRIDGE BUSINESS PARK, COWLEY ROAD, CAMBRIDGE, X0, CB4 0WZ, 44 (0) 1223 692000 - 0 ($284,000.00) Equity, (File 333-184728 - Nov. 2) (BR. 10A) S-3ASR CATERPILLAR INC, 100 NE ADAMS ST, PEORIA, IL, 61629, 3096751000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184729 - Nov. 2) (BR. 10A) S-3ASR JETBLUE AIRWAYS CORP, 27-01 QUEENS PLAZA NORTH, LONG ISLAND CITY, NY, 11101, 7182867900 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184730 - Nov. 2) (BR. 05B) F-1 GFI Software S.A., 7A, RUE ROBERT STUMPER, LUXEMBOURG, N4, L-2557, (356) 2205-2000 - 0 ($100,000,000.00) Equity, (File 333-184731 - Nov. 2) (BR. 03B) N-2 Transamerica AUIM Opportunistic Bond, 570 CARILLON PARKWAY, ST. PETERSBURG, FL, 33716, (727) 299-1800 - 0 ($1,000,000.00) Equity, (File 333-184732 - Nov. 2) (BR. ) S-B PROVINCE OF MANITOBA, 1251 AVE OF THE AMERICAS, C/O CANADIAN CONSULATE GENERAL, NEW YORK, NY, 10020, 0 ($1,800,000,000.00) Debt, (File 333-184733 - Nov. 2) (BR. DN) S-8 PENSKE AUTOMOTIVE GROUP, INC., 2555 TELEGRAPH RD, BLOOMFIELD HILLS, MI, 48302-0954, 248-648-2500 - 0 ($59,380,000.00) Equity, (File 333-184734 - Nov. 2) (BR. 02A) S-4 CASELLA WASTE SYSTEMS INC, 25 GREENS HILL ROAD, RUTLAND, VT, 05701, 8027750325 - 0 ($128,035,000.00) Debt, (File 333-184735 - Nov. 2) (BR. 06C) S-3ASR FMC CORP, 1735 MARKET STREET, PHILADELPHIA, PA, 19103, 215 299-6000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184736 - Nov. 2) (BR. 06B) S-1 Ideal Restaurant Group, Inc., 277 NORTH AVENUE, SUITE 200, NEW ROCHELLE, NY, 10801, 914-774-8811 - 1,000,000 ($5,000,000.00) Equity, (File 333-184737 - Nov. 2) (BR. ) S-3 NUPATHE INC., 227 WASHINGTON STREET, SUITE 200, CONSHOHOCKEN, PA, 19428, 484-567-0130 - 0 ($145,172,727.36) Equity, (File 333-184738 - Nov. 2) (BR. 01A) S-3 Cereplast Inc, 300 N. CONTINENTAL, SUITE 100, EL SEGUNDO, CA, 90245, 310-615-1900 - 0 ($4,542,089.00) Equity, (File 333-184739 - Nov. 2) (BR. 06B) S-1 NEXSTAR BROADCASTING GROUP INC, 5215 N. O'CONNOR BLVD., SUITE 1400, IRVING, TX, 75039, 972-373-8800 - 0 ($472,916,070.00) Unallocated (Universal) Shelf, (File 333-184740 - Nov. 2) (BR. 11A) S-3 LPATH, INC, 4025 SORRENTO VALLEY BLVD., SAN DIEGO, CA, 92121-1404, 858-678-0800 - 0 ($20,000,000.00) Unallocated (Universal) Shelf, (File 333-184741 - Nov. 2) (BR. 01A) S-4 COLUMBIA BANKING SYSTEM INC, 1301 A STREET, TACOMA, WA, 98402, 2533051900 - 0 ($237,535,633.74) Equity, (File 333-184742 - Nov. 2) (BR. 07C) 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 2.02,9.01 11/02/12
4 KIDS ENTERTAINMENT INC NY 1.01,1.02,5.02,9.01 10/29/12
ABAKAN, INC NV 9.01 11/01/12
ABM INDUSTRIES INC /DE/ DE 8.01 11/01/12
ABM INDUSTRIES INC /DE/ DE 5.02,9.01 10/31/12
ACACIA RESEARCH CORP DE 8.01 11/01/12
ACCELR8 TECHNOLOGY CORP CO 5.03 10/31/12
ACCURIDE CORP DE 2.02,7.01,9.01 11/01/12
ADA-ES INC CO 5.02 10/29/12
AETRIUM INC MN 3.01 10/30/12
Aircastle LTD D0 7.01,9.01 11/01/12
Aleris International, Inc. DE 2.02,9.01 11/02/12
Aleris International, Inc. DE 9.01 09/30/12 AMEND
Ally Financial Inc. DE 2.02,9.01 11/02/12
Alpha Natural Resources, Inc. DE 2.02,9.01 11/02/12
Amarantus BioSciences, Inc. DE 8.01,9.01 10/28/12
AMERICAN CRYSTAL SUGAR CO /MN/ MN 1.01 11/02/12
AMTECH SYSTEMS INC AZ 9.01 10/29/12
APARTMENT INVESTMENT & MANAGEMENT CO MD 2.01,9.01 11/01/12
Apollo Commercial Real Estate Finance MD 2.02,9.01 11/01/12
AQUA AMERICA INC PA 2.02,9.01 11/01/12
ARAMARK CORP DE 2.01,9.01 10/29/12
ARBOR REALTY TRUST INC MD 2.02,9.01 09/30/12
ARCH CAPITAL GROUP LTD. 2.02,9.01 11/01/12
Armour Residential REIT, Inc. MD 2.02,9.01 11/02/12
ARMSTRONG WORLD INDUSTRIES INC PA 7.01,8.01,9.01 10/31/12
ASSISTED LIVING CONCEPTS INC NV 2.02,9.01 11/02/12
ASSOCIATED MATERIALS, LLC DE 8.01,9.01 11/02/12
ASTORIA FINANCIAL CORP DE 2.02,9.01 11/02/12
ATC Ventures Group, Inc. NV 8.01,9.01 11/01/12
Athens Bancshares Corp 2.02,9.01 10/31/12
AUTONATION, INC. DE 7.01,9.01 11/02/12
AUTOZONE INC NV 1.01,9.01 11/01/12
Avantair, Inc DE 5.07 11/01/12
AVAYA INC DE 1.01,2.03,9.01 10/29/12
BALCHEM CORP MD 2.02,9.01 11/02/12
BEAM INC DE 2.02,7.01,9.01 11/02/12
BENACO, INC. NV 5.03,9.01 10/29/12
BGC Partners, Inc. DE 2.02,9.01 11/02/12
BHM Discretionary Futures Fund L.P. DE 3.02 11/01/12
Big Time Acquisition, Inc. 1.01,2.01,3.02,5.01, 11/02/12
5.02,5.03,5.06,9.01
BIMINI CAPITAL MANAGEMENT, INC. MD 2.02,9.01 11/01/12
BioMed Realty Trust Inc MD 2.02,9.01 11/01/12
BioMed Realty Trust Inc MD 8.01 11/02/12
Bizzingo, Inc. NV 5.02 11/01/12
Blue Earth, Inc. NV 1.01,9.01 10/30/12
BLYTH INC DE 7.01 11/02/12
BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 5.02,9.01 10/30/12
Bravo Brio Restaurant Group, Inc. OH 5.02 11/01/12
Brookdale Senior Living Inc. DE 2.02,7.01,9.01 11/01/12
BUCKEYE PARTNERS, L.P. DE 2.02,9.01 11/02/12
CABOT CORP DE 7.01 11/02/12
CAESARS ENTERTAINMENT Corp DE 8.01 11/02/12
CAFEPRESS INC. DE 5.02 11/01/12
CALGON CARBON CORPORATION DE 2.02,9.01 11/02/12
CAMDEN PROPERTY TRUST TX 2.02,9.01 11/01/12
CANTEL MEDICAL CORP DE 5.02,8.01,9.01 10/31/12
Capella Healthcare, Inc. DE 2.02,9.01 11/02/12
CARRIAGE SERVICES INC DE 2.02,9.01 11/01/12
CARRIAGE SERVICES INC DE 2.02,9.01 11/01/12 AMEND
CC Media Holdings Inc 2.02,8.01,9.01 11/02/12
CCFNB BANCORP INC PA 2.02,9.01 11/02/12
CD INTERNATIONAL ENTERPRISES, INC. FL 5.02 10/31/12
CENTENE CORP 1.01,2.03,9.01 11/02/12
Chaparral Energy, Inc. DE 7.01,9.01 11/02/12
Chaparral Energy, Inc. DE 5.02 10/31/12
Chaparral Energy, Inc. DE 1.01 11/01/12
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 10/31/12
Chemtura CORP DE 5.02 10/29/12
CHESAPEAKE ENERGY CORP OK 2.02,9.01 11/01/12
CHEVRON CORP DE 2.02 11/02/12
China Shengda Packaging Group Inc. NV 8.01,9.01 11/02/12
CIMAREX ENERGY CO DE 2.02,7.01,9.01 11/02/12
CIRCLE STAR ENERGY CORP. NV 7.01,9.01 11/01/12
CLEAR CHANNEL COMMUNICATIONS INC TX 2.02,8.01,9.01 11/02/12
Clear Channel Outdoor Holdings, Inc. DE 2.02,8.01,9.01 11/02/12
CNL Healthcare Trust, Inc. MD 9.01 08/31/12 AMEND
COMPLIANCE SYSTEMS CORP 2.01,3.02,5.01,5.06, 10/30/12
9.01
COMVERSE TECHNOLOGY INC/NY/ NY 1.01,5.02,8.01,9.01 10/31/12
Comverse, Inc. DE 1.01,5.02,5.03,8.01, 10/30/12
9.01
CONNECTICUT WATER SERVICE INC / CT CT 1.01,1.02,2.03,9.01 10/29/12
COOPER TIRE & RUBBER CO DE 2.02,9.01 11/02/12
CROSSTEX ENERGY INC DE 7.01,9.01 11/01/12
CROSSTEX ENERGY LP DE 7.01,9.01 11/01/12
Cullman Bancorp, Inc. X1 8.01,9.01 11/02/12
DAIS ANALYTIC CORP 1.02 10/29/12
DDR CORP OH 2.02,9.01 11/01/12
DELTA AIR LINES INC /DE/ DE 7.01,9.01 11/02/12
DENDREON CORP DE 2.02,9.01 11/02/12
Destination Maternity Corp DE 1.01,2.03,9.01 11/01/12
DIRECTV DE 5.02,9.01 11/02/12
Discover Financial Services DE 8.01,9.01 11/02/12
Dolan Co. DE 2.02,9.01 11/02/12
Dresser-Rand Group Inc. DE 2.02,9.01 11/01/12
DSW Inc. OH 1.01,1.02,8.01,9.01 11/01/12
DYNAVAX TECHNOLOGIES CORP DE 2.02,9.01 11/01/12
DYNAVAX TECHNOLOGIES CORP DE 5.02 10/31/12
DYNEGY INC. DE 5.02,9.01 10/29/12
EMC INSURANCE GROUP INC IA 1.01,7.01,9.01 11/01/12
EMERGING CTA PORTFOLIO LP NY 3.02 11/01/12
EMPIRE DISTRICT ELECTRIC CO KS 1.01,2.03,9.01 10/30/12
ENDEAVOUR INTERNATIONAL CORP NV 5.02,9.01 10/29/12
ENPRO INDUSTRIES, INC NC 2.02,9.01 11/02/12
ENPRO INDUSTRIES, INC NC 5.02,5.03,9.01 10/29/12
Ensco plc 5.02 11/02/12
ENTERCOM COMMUNICATIONS CORP PA 5.02,8.01,9.01 11/01/12
ENZO BIOCHEM INC NY 8.01,9.01 11/02/12
EVERTEC Group, LLC PR 7.01,9.01 11/02/12
Excel Trust, Inc. MD 8.01,9.01 10/19/12 AMEND
Exelis Inc. IN 2.02,7.01,9.01 11/02/12
EXELON CORP PA 9.01 06/30/12
ExlService Holdings, Inc. DE 2.02,9.01 11/02/12
EXXON MOBIL CORP NJ 5.02 11/02/12
FAUQUIER BANKSHARES, INC. VA 2.02,9.01 11/01/12
Federal Home Loan Bank of New York X1 8.01 11/02/12
Federal Home Loan Bank of Pittsburgh PA 2.02,7.01,9.01 11/02/12
FEI CO OR 5.02 10/29/12
FIELDPOINT PETROLEUM CORP CO 5.07 10/19/12 AMEND
FIRST BANCORP /PR/ PR 5.02,9.01 10/30/12
FIRST COMMUNITY BANCSHARES INC /NV/ NV 2.02,7.01,9.01 11/02/12
FIRST DATA CORP DE 2.02,9.01 11/02/12
FIRST HARTFORD CORP ME 5.07 10/25/12
FIRST OF LONG ISLAND CORP NY 2.02,9.01 10/31/12
FIRST PACTRUST BANCORP INC MD 2.01,9.01 08/17/12 AMEND
FNB BANCORP/CA/ 2.02,9.01 11/02/12
FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 11/02/12
Full Circle Capital Corp MD 1.01,2.03,9.01 10/31/12
FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.01,2.03,3.02, 10/31/12
5.02,9.01
GALLAGHER ARTHUR J & CO DE 8.01,9.01 11/02/12
GAMCO INVESTORS, INC. ET AL NY 2.02,9.01 11/02/12
GARTNER INC DE 2.02,9.01 11/02/12
GateHouse Media, Inc. DE 2.02,9.01 11/01/12
GBS Enterprises Inc NV 1.01,2.03,3.02,9.01 10/26/12
General Motors Co 8.01 11/01/12
GENTHERM Inc MI 2.02,9.01 11/01/12
GENWORTH FINANCIAL INC DE 8.01,9.01 11/02/12
GERMAN AMERICAN BANCORP, INC. IN 2.02,8.01,9.01 10/29/12
GlyEco, Inc. NV 1.01,2.01,9.01 10/26/12 AMEND
Go Green Smokeless Oil International DE 3.02,5.01,5.02 11/01/12
Golub Capital BDC, Inc. DE 1.01,9.01 10/30/12
Graymark Healthcare, Inc. OK 3.01,4.01,9.01 10/30/12
GROWLIFE, INC. DE 2.01,9.01 07/23/12 AMEND
Gulf United Energy, Inc. NV 1.01,2.03,3.02,8.01, 10/29/12
9.01
HAIN CELESTIAL GROUP INC DE 5.02,9.01 11/02/12
HALLADOR ENERGY CO CO 2.02 11/01/12
HANDY & HARMAN LTD. DE 5.03,9.01 11/02/12
HANMI FINANCIAL CORP DE 5.02,8.01,9.01 10/29/12
HARBINGER GROUP INC. DE 8.01 11/01/12
HARLAND CLARKE HOLDINGS CORP DE 2.02,9.01 11/02/12
HARMAN INTERNATIONAL INDUSTRIES INC / DE 2.02,7.01,9.01 11/02/12
HARRIS & HARRIS GROUP INC /NY/ NY 5.08 11/01/12
HARRIS TEETER SUPERMARKETS, INC. NC 2.02,9.01 11/01/12
HARSCO CORP DE 5.02 10/29/12
HARTFORD LIFE INSURANCE CO CT 8.01 11/02/12
HAWKINS INC MN 5.02 10/31/12
HERITAGE FINANCIAL CORP /WA/ WA 5.02,9.01 10/30/12
HESS CORP DE 2.02,7.01,9.01 11/02/12
HFF, Inc. DE 2.02,9.01 11/01/12
HFF, Inc. DE 5.02 10/30/12
hhgregg, Inc. DE 2.02,9.01 11/02/12
HILLS BANCORPORATION IA 5.02 11/01/12
HollyFrontier Corp DE 7.01,9.01 11/01/12
HOME PROPERTIES INC MD 2.02,9.01 11/01/12
Horizon Lines, Inc. 2.02,7.01,9.01 10/29/12
HOVNANIAN ENTERPRISES INC DE 2.02,9.01 11/02/12
HUDSON CITY BANCORP INC DE 8.01,9.01 11/01/12
Huntsman CORP DE 2.02,9.01 11/02/12
Huntsman CORP DE 8.01,9.01 11/02/12
ICF International, Inc. DE 2.02,9.01 11/02/12
IDENTIVE GROUP, INC. DE 5.02 10/29/12
INTERNATIONAL BANCSHARES CORP TX 8.01,9.01 11/01/12
INTEST CORP DE 2.02,9.01 10/31/12
INVESTMENT TECHNOLOGY GROUP INC DE 2.02,9.01 11/01/12
INVESTORS TITLE CO NC 1.01,3.03,5.03,9.01 10/31/12
ITT Corp IN 2.02,7.01,9.01 11/02/12
J2 GLOBAL, INC. DE 2.02,7.01,9.01 11/01/12
JAMESON STANFORD RESOURCES Corp 1.01,2.01,3.02,5.01, 10/29/12
5.02,5.06,9.01
JDA SOFTWARE GROUP INC DE 1.01,8.01,9.01 11/01/12
JETBLUE AIRWAYS CORP DE 7.01,9.01 11/02/12
Kearny Financial Corp. X1 2.02,9.01 11/02/12
KFORCE INC FL 8.01 11/02/12
KILROY REALTY CORP MD 8.01,9.01 11/02/12
Kraft Foods Group, Inc. 2.05 10/29/12
LAKELAND INDUSTRIES INC DE 8.01 10/27/12
LAM RESEARCH CORP DE 5.02,5.07 10/30/12
Life Technologies Corp DE 2.02,7.01,9.01 11/01/12 AMEND
LIMITED BRANDS INC DE 2.02,7.01,9.01 11/01/12
LIQUIDITY SERVICES INC DE 2.01,9.01 11/01/12
LNB BANCORP INC OH 5.02,9.01 10/29/12
LOUISIANA BANCORP INC LA 2.02,9.01 11/02/12
LSB INDUSTRIES INC DE 1.01,9.01 10/31/12
M&T BANK CORP NY 7.01,9.01 11/02/12
MABWE MINERALS INC. WY 1.01,9.01 10/26/12
MACATAWA BANK CORP MI 1.02 10/31/12
Madison Square Garden Co DE 2.02,9.01 11/02/12
Main Street Capital CORP MD 1.01,2.03,8.01,9.01 11/01/12
MARKETAXESS HOLDINGS INC 2.02,8.01,9.01 11/02/12
MARKETAXESS HOLDINGS INC 1.01,7.01,8.01,9.01 10/26/12 AMEND
MARTHA STEWART LIVING OMNIMEDIA INC DE 2.02,8.01,9.01 11/01/12
MASTEC INC FL 2.02,7.01,9.01 11/01/12
MAVERICK MINERALS CORP NV 3.02 10/29/12
MCGRAW-HILL COMPANIES INC NY 2.02,7.01,9.01 11/02/12
MEDICAL ACTION INDUSTRIES INC DE 5.02 10/30/12
MEDICAL ACTION INDUSTRIES INC DE 2.02,9.01 10/31/12
MERCADOLIBRE INC 2.02,7.01,9.01 11/01/12
MICHAELS STORES INC DE 1.02 11/01/12
MICROSOFT CORP WA 8.01 11/02/12
MICROSTRATEGY INC DE 2.02,9.01 10/29/12
MINERALS TECHNOLOGIES INC DE 2.02,9.01 11/01/12
MONDIAL VENTURES, INC. NV 4.01,9.01 10/29/12
MOOG INC NY 2.02,9.01 11/02/12
Morgans Hotel Group Co. DE 2.02,9.01 11/01/12
National American University Holdings DE 5.07,8.01,9.01 10/30/12
National Bank Holdings Corp DE 2.02,7.01,9.01 11/01/12
NATIONAL FUEL GAS CO NJ 2.02,9.01 11/01/12
NATURALLY ADVANCED TECHNOLOGIES INC A1 5.03,8.01,9.01 10/31/12
NAVIGATORS GROUP INC DE 2.02,7.01,9.01 11/02/12
Neenah Paper Inc DE 8.01,9.01 11/01/12
NETWORK 1 SECURITY SOLUTIONS INC DE 5.02,9.01 11/01/12
Neutral Tandem Inc 5.02,9.01 11/02/12
NEWS CORP 8.01,9.01 11/02/12
Nexxus Lighting, Inc. DE 8.01 11/02/12
NISOURCE INC/DE DE 2.02,9.01 11/02/12
NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 10/31/12
NORTHEAST UTILITIES MA 5.07,5.08,8.01 10/31/12
Northern Tier Energy LP DE 8.01,9.01 10/31/12
NORTHSTAR REALTY FINANCE CORP. MD 2.02,9.01 11/02/12
NORTHWEST BANCORPORATION INC WA 2.02,9.01 11/02/12
NRG ENERGY, INC. DE 2.02,9.01 11/02/12
NTELOS HOLDINGS CORP 5.02,8.01,9.01 10/29/12
NV ENERGY, INC. NV 2.02,7.01,9.01 11/02/12
Oak Ridge Financial Services, Inc. NC 8.01 10/31/12
Och-Ziff Capital Management Group LLC DE 7.01 11/02/12
Och-Ziff Capital Management Group LLC DE 2.02,8.01,9.01 11/02/12
OLIN CORP VA 7.01,9.01 11/02/12
OMNICELL, Inc CA 5.02 10/30/12
ONCOR ELECTRIC DELIVERY CO LLC DE 2.02,9.01 11/02/12
ORIENT EXPRESS HOTELS LTD D0 2.02,9.01 11/01/12
ORION FUTURES FUND LP NY 3.02 11/01/12
Otter Tail Corp MN 1.01,2.03,9.01 10/29/12
Pacific Ethanol, Inc. DE 1.01,2.03 10/29/12
Park Sterling Corp NC 2.02,7.01,8.01,9.01 11/02/12
Patriot Coal CORP DE 7.01,9.01 11/01/12
PEETS COFFEE & TEA INC WA 8.01,9.01 10/05/12
PENSKE AUTOMOTIVE GROUP, INC. DE 2.02,7.01,9.01 11/02/12
Phillips 66 DE 8.01,9.01 11/02/12
Pike Electric CORP 5.07 11/01/12
PINNACLE WEST CAPITAL CORP AZ 2.02,7.01,9.01 11/02/12
Plymouth Opportunity REIT Inc. MD 2.01,9.01 11/02/12 AMEND
PNM RESOURCES INC NM 2.02,9.01 11/02/12
Polypore International, Inc. 7.01,9.01 11/02/12
POST PROPERTIES INC GA 8.01,9.01 11/02/12
PRESSURE BIOSCIENCES INC MA 5.02 11/02/12
PRICELINE COM INC DE 2.02 11/01/12
Primoris Services Corp DE 1.01,9.01 10/29/12
ProUroCare Medical Inc. NV 1.01,2.03,9.01 10/29/12
PVH CORP. /DE/ DE 1.01,8.01,9.01 10/29/12
Pzena Investment Management, Inc. DE 5.02,9.01 11/01/12
RADIANT LOGISTICS, INC DE 8.01,9.01 11/01/12
Radiation Therapy Services Holdings, DE 2.02,9.01 11/02/12
RAIT Financial Trust MD 7.01,9.01 10/25/12
RALPH LAUREN CORP DE 2.02,9.01 11/02/12
RAND CAPITAL CORP NY 2.02,9.01 11/02/12
Raptor Pharmaceutical Corp DE 2.02,8.01,9.01 11/01/12
RBC Bearings INC 2.02,9.01 11/02/12
RED MOUNTAIN RESOURCES, INC. FL 8.01 10/30/12
Resolute Forest Products Inc. DE 2.02,9.01 10/30/12
Rock-Tenn CO GA 2.02,9.01 11/01/12
Rock-Tenn CO GA 8.01,9.01 11/01/12
ROCKWELL AUTOMATION INC DE 5.02 10/31/12
ROLLINS INC DE 1.01,1.02,2.03,9.01 10/31/12
ROYAL CARIBBEAN CRUISES LTD 8.01,9.01 11/02/12
Ryman Hospitality Properties, Inc. DE 8.01,9.01 11/02/12
Ryman Hospitality Properties, Inc. DE 5.02,8.01,9.01 11/02/12
SAFETY INSURANCE GROUP INC DE 2.02,9.01 11/02/12
SaveDaily Inc NV 1.01,2.03,3.02,9.01 10/19/12
SEABOARD CORP /DE/ DE 2.02,9.01 11/02/12
SEALED AIR CORP/DE DE 1.01,2.02,9.01 10/30/12
Searchlight Minerals Corp. NV 3.03,7.01,9.01 11/01/12
SEATTLE GENETICS INC /WA DE 5.02 10/30/12
SELECT MEDICAL HOLDINGS CORP 2.02,9.01 11/01/12
Sequoia Mortgage Trust 2012-5 8.01,9.01 10/01/12
SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 2.02,9.01 11/02/12
SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 7.01,9.01 11/02/12
Shire plc 8.01,9.01 11/02/12
SHUTTERFLY INC DE 2.02,8.01,9.01 11/01/12
SIGMA DESIGNS INC CA 2.02,9.01 10/29/12
SIGNET JEWELERS LTD 7.01 11/02/12
SINGING MACHINE CO INC DE 1.01,9.01 10/19/12
SKY POWER SOLUTIONS CORP. NV 3.02 11/01/12
SMF ENERGY CORP DE 7.01,9.01 10/22/12
Solar Capital Ltd. MD 2.02,9.01 11/01/12
Solar Senior Capital Ltd. MD 2.02,9.01 11/01/12
Sound Financial Bancorp, Inc. MD 2.02,9.01 11/01/12
SOUTHERN MISSOURI BANCORP INC MO 5.03,5.07,9.01 10/29/12
SOUTHWESTERN ENERGY CO DE 2.02,9.01 11/01/12
SOUTHWESTERN ENERGY CO DE 7.01 11/02/12
SOUTHWESTERN ENERGY CO DE 5.02 10/29/12
Spectrum Brands Holdings, Inc. DE 1.01,9.01 11/01/12
Spectrum Brands, Inc. DE 1.01,9.01 11/01/12
SPECTRUM PHARMACEUTICALS INC DE 5.02 10/29/12
SPINDLETOP OIL & GAS CO TX 1.01 10/30/12
STAR SCIENTIFIC INC DE 5.02,8.01 10/29/12
SUNTRUST BANKS INC GA 7.01,9.01 11/01/12
SUSQUEHANNA BANCSHARES INC PA 7.01,9.01 11/02/12
SYCAMORE NETWORKS INC DE 2.05,8.01 11/01/12
TEREX CORP DE 8.01 11/01/12
THRESHOLD PHARMACEUTICALS INC DE 2.02,9.01 11/02/12
TOWER FINANCIAL CORP IN 1.02 11/01/12
Travelport LTD D0 2.02,9.01 11/02/12
TREDEGAR CORP VA 2.02,9.01 11/01/12
Trunkbow International Holdings Ltd NV 8.01,9.01 11/02/12
TUTOR PERINI Corp MA 5.02 10/31/12
U.S. SILICA HOLDINGS, INC. DE 2.02,9.01 11/01/12
UFP TECHNOLOGIES INC DE 2.02,9.01 11/01/12
ULTRALIFE CORP DE 2.02,9.01 11/01/12
UNITED MINES INC AZ 8.01,9.01 10/24/12
UNITEDHEALTH GROUP INC MN 5.02 10/29/12
UNIVERSAL AMERICAN CORP. DE 2.02,8.01,9.01 11/01/12
UNS Energy Corp AZ 2.02,9.01 11/02/12
US BANCORP \DE\ DE 7.01,9.01 11/02/12
Valeant Pharmaceuticals International A6 2.02,9.01 11/02/12
VALOR GOLD CORP. DE 3.02,5.07,9.01 10/29/12
VECTOR GROUP LTD DE 8.01,9.01 11/02/12
VERIZON COMMUNICATIONS INC DE 7.01 11/02/12
VERIZON COMMUNICATIONS INC DE 7.01,9.01 11/02/12
ViewPoint Financial Group Inc. 7.01,9.01 11/02/12
VII Peaks-KBR Co-Optivist Income BDC MD 2.02 11/01/12
Vulcan Materials CO NJ 5.02,9.01 10/31/12
WABCO Holdings Inc. DE 2.02,7.01,9.01 11/02/12
WARNACO GROUP INC /DE/ DE 1.01,9.01 10/29/12
WARRINGTON FUND LP NY 3.02 11/01/12
WASHINGTON POST CO DE 2.02,9.01 11/02/12
WATSON PHARMACEUTICALS INC NV 1.01,2.01,5.02,7.01, 10/31/12
9.01
WELLCARE HEALTH PLANS, INC. DE 8.01 11/01/12
Whiffletree Acquisition Corp DE 3.02,5.01,5.02 11/01/12
WILLIAMS CONTROLS INC DE 1.01,3.01,3.03,8.01, 10/31/12
9.01
WILLIAMS CONTROLS INC DE 1.01,9.01 10/29/12
Williams Partners L.P. 1.01,3.02,9.01 10/29/12
Winthrop Realty Trust OH 2.02,7.01,8.01,9.01 11/01/12
WMI HOLDINGS CORP. WA 8.01,9.01 10/31/12
WNC HOUSING TAX CREDIT FUND V LP SERI CA 4.01 11/02/12
WNC HOUSING TAX CREDIT FUND VI LP SER CA 4.01 11/02/12
WNC Housing Tax Credit Fund VI, L.P., CA 4.01 11/02/12
WVS FINANCIAL CORP PA 5.07 10/30/12
XCEL ENERGY INC MN 8.01 11/01/12
XPLORE TECHNOLOGIES CORP DE 5.03,9.01 11/01/12
YRC Worldwide Inc. DE 2.02,9.01 11/02/12
Z Holdings Group, Inc. DE 1.01,2.01,3.02,5.01, 11/02/12
5.02,5.03,5.06,9.01
ZION OIL & GAS INC DE 5.02 10/29/12
ZOGENIX, INC. DE 1.01 11/02/12
http://www.sec.gov/news/digest/2012/dig110512.htm
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