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Commission AnnouncementsSEC Announces Agenda and Panelists for Small Business ForumThe Securities and Exchange Commission today announced the agenda and panelists for next week’s Government-Business Forum on Small Business Capital Formation. The event will begin at 9 a.m. on November 15 and will include two morning panel discussions. The first panel will focus on JOBS Act implementation and the second panel will focus on small business capital formation issues not addressed by the JOBS Act. In the afternoon, breakout groups will develop recommendations on a variety of issues related to small business capital formation. The small business forum will take place at the SEC’s Washington D.C. headquarters and is open to public. The morning sessions will be webcast live at www.sec.gov. The afternoon breakout group sessions will not be webcast, but will be open to the public and accessible by phone. Anyone wishing to participate in a breakout group session either in person or by phone must pre-register online by November 14. Background materials are available on the small business forum webpage. (Press Rel. 2012-221; Sunshine Act Notice) Enforcement ProceedingsIn the Matter of John JantzenAn Administrative Law Judge has issued an Initial Decision in John Jantzen, Admin. Proc. File No. 3-14880. On March 29, 2012, the United States District Court for the Western District of Texas (District Court) entered a final judgment permanently enjoining John Jantzen (Jantzen) from future violations of Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5 and 14e-3 thereunder in SEC v. Jantzen, No. 1:10-cv-740-JRN. The District Court also ordered disgorgement of $29,374.20, representing profits gained from illegal trading and prejudgment interest, and imposed a civil monetary penalty of $26,920.50 on Jantzen. Based on the final judgment, the Initial Decision bars Jantzen, pursuant to Section 15(b) of the Exchange Act, from association with a broker, dealer, investment adviser, municipal securities dealer, transfer agent, or nationally recognized statistical rating organization for a period of five years. (Initial Decision No. 472; File No. 3-14880) INVESTMENT COMPANY ACT RELEASESPermal Hedge Strategies Fund, et al.An order has been issued on an application filed by Permal Hedge Strategies Fund, et al. under Section 6(c) of the Investment Company Act of 1940 (Act) granting an exemption from Sections 18(c) and 18(i) of the Act. The order permits 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-30257 – November 5) Fidelity Aberdeen Street Trust, et al.A notice has been issued giving interested persons until November 30, 2012, to request a hearing on an application filed by Fidelity Aberdeen Street Trust, et al., for an order to amend a prior order under (a) section 6(c) of the Investment Company Act of 1940 (Act) granting an exemption from sections 18(f) and 21(b) of the Act; (b) section 12(d)(1)(J) of the Act granting an exemption from section 12(d)(1) of the Act; (c) sections 6(c) and 17(b) of the Act granting an exemption from sections 17(a)(1) and 17(a)(3) of the Act; and (d) section 17(d) of the Act and rule 17d-1 under the Act to permit certain joint arrangements (Prior Order). The Prior Order permitted certain registered open-end management investment companies to participate in a joint lending and borrowing facility. The amended order would modify certain rate conditions in the Prior Order and grant an exemption from section 17(a)(2) of the Act. (Rel. IC-30258 – November 6) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change (SR-BOX-2012-017) filed by BOX Options Exchange, LLC to Amend the Fee Schedule for Trading on BOX 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. 34-68149) A proposed rule change filed by New York Stock Exchange LLC proposing to make changes to certain fees and credits within the New York Stock Exchange LLC Price List (SR-NYSE-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. 34-68150) The Options Clearing Corporation (“OCC”) filed a proposed rule change (File No. SR-OCC-2012-20) under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 to clarify the applicability of OCC’s rules governing delivery of Treasury securities underlying Treasury futures contracts to futures on Treasury securities with maturities of greater than 25 years. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68151) A proposed rule change, as modified by Amendment No. 1, filed by The NASDAQ Stock Market LLC to amend several NASDAQ Rules to reflect changes to Rules of the Financial Industry Regulatory Authority (“FINRA”) (SR-NASDAQ-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. 34-68153) A proposed rule change filed by C2 Options Exchange, Incorporated relating to system access, connectivity, and testing (SR-C2-2012-036) 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. 34-68154) A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to system access, connectivity, and testing (SR-CBOE-2012-100) 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. 34-68155) A proposed rule change submitted by NYSE MKT LLC (SR-NYSEMKT-2012-57) to amend the NYSE Amex Options fee schedule to remove dividend spreads from the list of strategy executions for which fee caps apply 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. 34-68156) A proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEARCA-2012-119) to amend the NYSE Arca Options Fee Schedule to remove dividend spreads from the list of strategy executions for which fee caps apply 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. 34-68157) The National Securities Clearing Corporation (NSCC) filed a proposed rule change (File No. SR-NSCC-2012-08) under Section 19(b)(1) of the Securities Exchange Act of 1934 to modify Rule 52 (Mutual Fund Services) and Addendum A (NSCC’s Fee Structure). Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68159) A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-098) 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. 34-68163) A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2012-46) relating to amendments to the EDGX Exchange, Inc. Fee 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. 34-68166) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2012-46) relating to amendments to the EDGA Exchange, Inc. Fee 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. 34-68168) A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Fees Schedule (SR-CBOE-2012-105) 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. 34-68169) Proposed Rule ChangeICE Clear Europe filed a proposed rule change (File No. SR-ICEEU-2012-09) under Section 19(b)(2) of the Securities Exchange Act of 1934 to provide for a customer clearing model for CDS products and to amend, clarify and consolidate certain rules and procedures. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68152) Approval of Proposed Rule ChangesThe Commission granted approval of a proposed rule change (SR-NYSEArca-2012-101) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade shares of the PowerShares S&P 500 Downside Hedged Portfolio under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68158) The Commission approved a proposed rule change submitted by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-071), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to increase the maximum term for LEAPS to fifteen years. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68164) Proposed Minor Rule Violation PlanBOX Options Exchange, LLC filed a proposed Minor Rule Violation Plan (File No. 4-655) pursuant to Section 19(d)(1) of the Securities Exchange Act of 1934 and Rule 19d-1(c)(2) thereunder. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68170) 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. F-3 CHINA METRO-RURAL HOLDINGS Ltd, OMAR HODGE BUILDING, WICKHAMS CAY 1, PO BOX 362, ROAD TOWN, TORTOLA, D8, 00000, (852)23179888 - 0 ($57,809,086.32) Equity, (File 333-184774 - Nov. 6) (BR. 08B) S-3ASR INFINITY PHARMACEUTICALS, INC., 780 MEMORIAL DRIVE, CAMBRIDGE, MA, 02139, 6174531000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184775 - Nov. 6) (BR. 01A) S-8 KIMCO REALTY CORP, 3333 NEW HYDE PARK RD, PO BOX 5020, NEW HYDE PARK, NY, 11042, 5168699000 - 5,000,000 ($97,500,000.00) Equity, (File 333-184776 - Nov. 6) (BR. 08B) S-3ASR CHEVRON CORP, 6001 BOLLINGER CANYON ROAD, SAN RAMON, CA, 94583, 925-842-1000 - 0 ($0.00) Debt, (File 333-184777 - Nov. 6) (BR. 04A) S-1 TransBiotec, Inc., 3030 OLD RANCH PARKWAY, SUITE 350, SUITE 350, SEAL BEACH, CA, 90740, (562) 280-0483 - 8,500,000 ($1,912,500.00) Equity, (File 333-184778 - Nov. 6) (BR. 05B) S-1 ENANTA PHARMACEUTICALS INC, 500 ARSENAL STREET, WATERTOWN, MA, 02472, 617 607 0800 - 0 ($69,000,000.00) Equity, (File 333-184779 - Nov. 6) (BR. 01) S-3 AMERICAN SUPERCONDUCTOR CORP /DE/, SIXTY FOUR JACKSON ROAD, DEVENS, MA, 01434, 9788423000 - 765,301 ($2,762,736.61) Equity, (File 333-184780 - Nov. 6) (BR. 10A) S-8 DOUGLAS DYNAMICS, INC, 7777 NORTH 73RD ST, MILWAUKEE, WI, 53233, 414-362-3940 - 0 ($7,525,000.00) Equity, (File 333-184781 - Nov. 6) (BR. 10A) S-8 L 3 COMMUNICATIONS CORP, 600 THIRD AVENUE, 34TH FLOOR, NEW YORK, NY, 10016, 1216971111 - 0 ($30,000,000.00) Other, (File 333-184783 - Nov. 6) (BR. 11A) S-8 VERTEX PHARMACEUTICALS INC / MA, 130 WAVERLY STREET, CAMBRIDGE, MA, 02139-4242, 6173416100 - 0 ($110,175,000.00) Equity, (File 333-184784 - Nov. 6) (BR. 01B) S-3 RESEARCH FRONTIERS INC, 240 CROSSWAYS PARK DR, WOODBURY, NY, 11797-2033, 5163641902 - 4,750,000 ($18,945,000.00) Equity, (File 333-184785 - Nov. 6) (BR. 03B) S-8 CUMMINS INC, 500 JACKSON ST, BOX 3005 MAIL CODE 60207, COLUMBUS, IN, 47202-3005, 8123773842 - 540,000 ($50,727,600.00) Equity, (File 333-184786 - Nov. 6) (BR. 10A) S-8 VERTEX PHARMACEUTICALS INC / MA, 130 WAVERLY STREET, CAMBRIDGE, MA, 02139-4242, 6173416100 - 0 ($132,210,000.00) Equity, (File 333-184787 - Nov. 6) (BR. 01B) S-8 ISIS PHARMACEUTICALS INC, 2855 GAZELLE COURT, CARLSBAD, CA, 92010, 7609319200 - 0 ($1,752,000.00) Equity, (File 333-184788 - Nov. 6) (BR. 01A) S-8 Echo Global Logistics, Inc., 600 WEST CHICAGO AVENUE, SUITE 725, CHICAGO, IL, 60610, 1-800-354-7993 - 0 ($26,845,500.00) Equity, (File 333-184789 - Nov. 6) (BR. 05B) S-3ASR RETAIL PROPERTIES OF AMERICA, INC., C/O RETAIL PROPERTIES OF AMERICA, INC., 2901 BUTTERFIELD ROAD, OAK BROOK, IL, 60523, 630 368 2863 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184790 - Nov. 6) (BR. 08B) S-3ASR ZIMMER HOLDINGS INC, 345 EAST MAIN STREET, WARSAW, IN, 46580, 5742676131 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184791 - Nov. 6) (BR. 10B) 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 Century Bancshares, Inc. DE 2.02,9.01 11/06/12 ABBY INC. CO 1.01,9.01 11/05/12 ABBY INC. CO 1.01,9.01 10/31/12 AMEND ACACIA RESEARCH CORP DE 8.01 11/01/12 Acadia Healthcare Company, Inc. DE 2.02,9.01 11/06/12 ACELRX PHARMACEUTICALS INC DE 2.02,9.01 11/06/12 ACURA PHARMACEUTICALS, INC NY 2.02,9.01 11/06/12 AETNA INC /PA/ PA 8.01,9.01 11/06/12 AGR TOOLS, INC. NV 5.02,9.01 10/23/12 AIR INDUSTRIES GROUP, INC. DE 2.02,7.01,9.01 11/05/12 AKORN INC LA 2.02,9.01 11/06/12 ALBANY MOLECULAR RESEARCH INC DE 2.02,9.01 11/06/12 Alexza Pharmaceuticals Inc. DE 2.02,9.01 11/06/12 ALLEGHANY CORP /DE DE 2.02,9.01 11/06/12 Allezoe Medical Holdings Inc DE 5.03,5.07,8.01,9.01 10/25/12 ALLIANCE ONE INTERNATIONAL, INC. VA 2.02,9.01 11/06/12 ALMOST FAMILY INC DE 2.02,9.01 11/06/12 Alon Refining Krotz Springs, Inc. DE 2.02,9.01 11/05/12 Alon USA Energy, Inc. DE 2.02,9.01 11/05/12 ALPHA PRO TECH LTD DE 2.02,9.01 11/06/12 ALTERRA CAPITAL HOLDINGS Ltd 2.02,8.01,9.01 11/06/12 AMEDISYS INC DE 2.02,7.01,9.01 11/06/12 American Assets Trust, Inc. MD 2.02,7.01,9.01 11/06/12 AMERICAN EAGLE OUTFITTERS INC DE 1.01 11/05/12 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 2.02 11/05/12 AMERICAN SUPERCONDUCTOR CORP /DE/ DE 2.02,9.01 11/06/12 Amtrust Financial Services, Inc. DE 2.02,9.01 11/06/12 AMYRIS, INC. DE 2.02,9.01 11/06/12 ANDERSONS INC OH 2.02 11/05/12 Antero Resources LLC DE 1.01,7.01,9.01 11/01/12 AOL Inc. DE 2.02,9.01 11/06/12 APOLLO GROUP INC AZ 5.02 11/02/12 APPLETON PAPERS INC/WI 2.02,9.01 11/05/12 Approach Resources Inc DE 2.02,7.01,9.01 11/05/12 ARABIAN AMERICAN DEVELOPMENT CO DE 5.02 11/05/12 ARCHER DANIELS MIDLAND CO DE 5.07 11/01/12 ARDEN GROUP INC DE 2.02,9.01 11/06/12 ARENA PHARMACEUTICALS INC DE 2.02,9.01 11/06/12 ARENA PHARMACEUTICALS INC DE 1.01 11/06/12 ARMSTRONG WORLD INDUSTRIES INC PA 7.01,8.01,9.01 11/05/12 ARRAY BIOPHARMA INC DE 8.01,9.01 11/06/12 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 11/06/12 ASTRONICS CORP NY 2.02,9.01 11/06/12 Atlantic Coast Financial CORP MD 2.02,9.01 11/06/12 ATLAS PIPELINE PARTNERS LP DE 1.01,9.01 11/05/12 ATWOOD OCEANICS INC TX 3.03 11/05/12 AVIS BUDGET GROUP, INC. DE 1.01,2.03,9.01 11/05/12 AVISTA CORP WA 2.02,9.01 11/06/12 AXESSTEL INC NV 2.02,9.01 11/06/12 BankFinancial CORP 7.01,9.01 11/06/12 BARRY R G CORP /OH/ OH 2.02,9.01 11/06/12 BECTON DICKINSON & CO NJ 5.02 11/06/12 Behringer Harvard Opportunity REIT II MD 2.01,9.01 10/31/12 BELK INC 5.02,9.01 11/01/12 BIO RAD LABORATORIES INC DE 2.02,9.01 11/02/12 BIOMIMETIC THERAPEUTICS, INC. DE 2.02,9.01 11/05/12 BioRestorative Therapies, Inc. NV 8.01,9.01 11/05/12 BJs RESTAURANTS INC CA 8.01,9.01 11/06/12 BLACKBAUD INC 5.02 11/01/12 Blueknight Energy Partners, L.P. DE 2.02,9.01 11/06/12 Bluforest Inc. NV 5.02 11/01/12 BreitBurn Energy Partners L.P. DE 2.02,5.02,7.01,9.01 11/06/12 BRIGHTCOVE INC DE 8.01 11/02/12 BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 2.02,9.01 11/06/12 BUCKLE INC NE 8.01,9.01 11/06/12 Bullfrog Gold Corp. DE 5.02,9.01 11/02/12 CABLEVISION SYSTEMS CORP /NY DE 2.02,9.01 11/06/12 CACHE INC FL 2.02,9.01 11/06/12 Calamos Asset Management, Inc. /DE/ 2.02,5.02,9.01 11/01/12 CALAVO GROWERS INC CA 1.01,2.01,9.01 10/31/12 CALIFORNIA WATER SERVICE GROUP DE 2.02,9.01 11/06/12 CALIX, INC 8.01,9.01 11/05/12 CALPINE CORP DE 2.02,9.01 11/06/12 CANADIAN DERIVATIVES CLEARING CORP A6 9.01 10/31/12 CAPITAL ONE FINANCIAL CORP DE 8.01,9.01 11/06/12 CARRIZO OIL & GAS INC TX 2.02 11/06/12 CARROLS RESTAURANT GROUP, INC. 2.02,9.01 11/05/12 Castmor Resources Ltd NV 1.01,2.01,2.02,3.02, 06/11/12 AMEND 4.01,5.01,5.02,5.06, 9.01 CATERPILLAR FINANCIAL SERVICES CORP DE 8.01,9.01 11/06/12 CATERPILLAR INC DE 5.02,9.01 11/06/12 CC Media Holdings Inc 8.01,9.01 11/06/12 CDEX INC NV 8.01 11/05/12 CEDAR FAIR L P DE 2.02,9.01 11/06/12 CENTRAL BANCORP INC /MA/ MA 9.01 10/31/12 CF Industries Holdings, Inc. DE 2.02,9.01 11/06/12 CHARTER COMMUNICATIONS, INC. /MO/ DE 2.02,9.01 11/06/12 CHICAGO BRIDGE & IRON CO N V 7.01,9.01 11/06/12 CHINA VALVES TECHNOLOGY, INC NV 5.02,9.01 11/05/12 CHURCHILL DOWNS INC KY 9.01 11/06/12 AMEND CIBER INC DE 2.02,2.05,9.01 11/06/12 CIBER INC DE 7.01,8.01,9.01 11/06/12 CINCINNATI BELL INC OH 8.01,9.01 11/06/12 Cinemark Holdings, Inc. DE 2.02,7.01,9.01 11/06/12 CITY NATIONAL CORP DE 7.01,9.01 11/05/12 Claridge Ventures, Inc. NV 5.02,9.01 11/06/12 Clarion Partners Property Trust Inc. MD 1.01,2.01,2.03,8.01, 10/31/12 9.01 CLEAR CHANNEL COMMUNICATIONS INC TX 8.01,9.01 11/06/12 Clear Channel Outdoor Holdings, Inc. DE 1.01,8.01,9.01 11/06/12 CNL Healthcare Trust, Inc. MD 1.01,9.01 10/31/12 COEUR D ALENE MINES CORP ID 9.01 11/06/12 COGENT COMMUNICATIONS GROUP INC 2.02,9.01 11/06/12 COGENT COMMUNICATIONS INC 2.02,9.01 11/06/12 COLOMBIA ENERGY RESOURCES, INC. DE 5.02,8.01 10/31/12 Colony Financial, Inc. MD 2.02,9.01 11/05/12 COLORADO GOLDFIELDS INC. NV 1.01,5.03,9.01 10/31/12 COMPUTER SCIENCES CORP NV 2.02,9.01 11/06/12 COMPX INTERNATIONAL INC DE 2.02,7.01,9.01 11/06/12 COMVERSE TECHNOLOGY INC/NY/ NY 2.01,9.01 10/31/12 CONSOLIDATED EDISON INC NY 2.02,9.01 11/05/12 CONTINENTAL RESOURCES, INC OK 5.03,9.01 10/31/12 CorMedix Inc. DE 5.02 10/31/12 Corridor Ventures I Acquisition Corp. NV 4.01,9.01 10/29/12 Crestwood Midstream Partners LP DE 2.02,9.01 11/06/12 Crumbs Bake Shop, Inc. DE 5.02 11/02/12 Cryoport, Inc. NV 5.02,9.01 11/05/12 CURIS INC DE 2.02,9.01 11/06/12 CVR ENERGY INC DE 2.02,7.01,9.01 11/06/12 CVS CAREMARK CORP DE 2.02,9.01 11/06/12 CYTORI THERAPEUTICS, INC. DE 5.02 10/31/12 DAKOTA PLAINS HOLDINGS, INC. NV 1.01,1.02,2.03,3.02, 11/02/12 7.01,9.01 Demandware Inc DE 2.02,9.01 11/06/12 DENBURY RESOURCES INC DE 2.02,9.01 11/06/12 DIRECTV DE 2.02 11/06/12 Discovery Communications, Inc. DE 2.02,9.01 11/06/12 DLD Group, Inc. NV 5.03,9.01 11/06/12 Douglas Emmett Inc MD 2.02,9.01 11/06/12 DRIVETIME AUTOMOTIVE GROUP INC DE 8.01 11/05/12 DubLi, Inc. NV 5.05,9.01 10/31/12 DUKE REALTY CORP IN 2.02,9.01 10/31/12 EASTERN AMERICAN NATURAL GAS TRUST DE 7.01,9.01 11/05/12 EGAIN COMMUNICATIONS CORP DE 2.02,9.01 11/06/12 EMERSON ELECTRIC CO MO 2.02,9.01 11/06/12 EMMIS COMMUNICATIONS CORP IN 1.01,5.07 11/02/12 EMPIRE RESORTS INC DE 1.01,5.07,9.01 10/31/12 ENDEAVOUR INTERNATIONAL CORP NV 1.01,9.01 10/31/12 Energy Future Holdings Corp /TX/ TX 8.01 11/06/12 EPL OIL & GAS, INC. DE 1.01,2.01,2.03,9.01 10/31/12 EPLUS INC DE 2.02,9.01 11/05/12 ESTERLINE TECHNOLOGIES CORP DE 8.01 11/05/12 EverBank Financial Corp DE 8.01,9.01 11/05/12 EXPEDITORS INTERNATIONAL OF WASHINGTO WA 2.02,9.01 11/06/12 EXPEDITORS INTERNATIONAL OF WASHINGTO WA 2.02,9.01 11/06/12 EXPEDITORS INTERNATIONAL OF WASHINGTO WA 7.01 11/06/12 FARMER BROTHERS CO CA 2.02,9.01 11/05/12 Federal Home Loan Bank of Atlanta X1 2.03 11/01/12 Federal Home Loan Bank of Boston X1 2.03 10/31/12 Federal Home Loan Bank of Chicago X1 2.03 11/01/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/31/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/02/12 Federal Home Loan Bank of New York X1 2.03,9.01 11/01/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/31/12 Federal Home Loan Bank of San Francis X1 2.03 11/01/12 Federal Home Loan Bank of Topeka 2.03,9.01 10/31/12 FEDERAL HOME LOAN MORTGAGE CORP 2.02,9.01 11/06/12 Financial Engines, Inc. 2.02,9.01 11/06/12 Financial Engines, Inc. 5.02,9.01 11/06/12 FIRST ACCEPTANCE CORP /DE/ DE 2.02,9.01 11/06/12 FIRST PACTRUST BANCORP INC MD 8.01,9.01 11/05/12 Firsthand Technology Value Fund, Inc. 8.01,9.01 11/06/12 FLIR SYSTEMS INC OR 7.01,9.01 11/06/12 Fortress Investment Group LLC DE 7.01 11/06/12 FOSSIL INC DE 2.02,9.01 11/06/12 FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 5.02,9.01 11/05/12 FRONTIER COMMUNICATIONS CORP DE 2.02,7.01,9.01 11/06/12 FUEL TECH, INC. DE 2.02,9.01 11/05/12 FUELCELL ENERGY INC DE 1.01,8.01,9.01 10/31/12 FUTURES PORTFOLIO FUND L.P. MD 3.02 11/01/12 FX ENERGY INC NV 8.01,9.01 11/05/12 GATEWAY TAX CREDIT FUND III LTD FL 4.01 11/05/12 GENERAL DYNAMICS CORP DE 8.01,9.01 11/06/12 GENESIS ENERGY LP DE 2.02,9.01 11/06/12 GeoEye, Inc. DE 2.02,9.01 11/06/12 Global Eagle Acquisition Corp. DE 1.01,2.03,3.02,9.01 11/06/12 GLOBAL GREEN INC. FL 7.01,9.01 11/06/12 GLOBALSCAPE INC DE 7.01,9.01 11/06/12 GLOBECOMM SYSTEMS INC 2.02,9.01 11/06/12 GOLDEN GLOBAL CORP. NV 5.02 11/01/12 GOLDMAN SACHS GROUP INC DE 5.02,9.01 11/05/12 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 11/06/12 Great Lakes Dredge & Dock CORP DE 2.02,9.01 11/06/12 GREENBRIER COMPANIES INC OR 5.02 10/31/12 Griffin-American Healthcare REIT II, MD 8.01 10/31/12 GSE Holding, Inc. DE 7.01,9.01 11/06/12 GT Advanced Technologies Inc. DE 2.02,7.01,9.01 11/06/12 H&E Equipment Services, Inc. DE 5.02 11/02/12 HALCON RESOURCES CORP DE 5.03,9.01 10/31/12 Hampden Bancorp, Inc. DE 7.01,9.01 11/06/12 HD SUPPLY, INC. DE 7.01,9.01 11/06/12 HEADWATERS INC DE 2.02,9.01 11/06/12 HEALTH CARE REIT INC /DE/ DE 2.02,9.01 11/06/12 Health in Harmony, Inc. 5.01,5.02 10/31/12 HealthMarkets, Inc. DE 5.02,9.01 11/01/12 HECLA MINING CO/DE/ DE 2.02,8.01,9.01 11/06/12 HERITAGE OAKS BANCORP CA 5.02,9.01 11/05/12 HERTZ CORP DE 2.02,9.01 11/01/12 HERTZ GLOBAL HOLDINGS INC 2.02,9.01 11/01/12 HICKORY TECH CORP MN 1.01,9.01 11/05/12 Higher One Holdings, Inc. DE 2.02,7.01,9.01 11/06/12 Homeowners Choice, Inc. FL 2.02,9.01 11/06/12 HomeTown Bankshares Corp 2.02,9.01 11/01/12 Horizon Technology Finance Corp DE 2.02,9.01 11/06/12 HOSPITALITY PROPERTIES TRUST MD 2.02,9.01 11/06/12 HYPERDYNAMICS CORP DE 8.01,9.01 10/31/12 HYSTER-YALE MATERIALS HANDLING, INC. DE 2.02,7.01,9.01 11/06/12 HYSTER-YALE MATERIALS HANDLING, INC. DE 2.02,7.01,9.01 11/06/12 ICAHN ENTERPRISES L.P. DE 8.01,9.01 11/05/12 ICEWEB INC DE 4.01,9.01 11/02/12 IEC ELECTRONICS CORP DE 2.02,7.01 11/02/12 IMPERVA INC DE 5.02 11/02/12 INFINITY PHARMACEUTICALS, INC. DE 2.02,5.02,7.01,8.01, 11/02/12 9.01 InfuSystem Holdings, Inc DE 2.02,9.01 11/01/12 Intellicheck Mobilisa, Inc. DE 5.07 11/01/12 AMEND INTERNATIONAL FLAVORS & FRAGRANCES IN NY 2.02,9.01 11/06/12 INTERNATIONAL RECTIFIER CORP /DE/ DE 5.07,7.01,9.01 11/06/12 Interval Leisure Group, Inc. DE 2.02,8.01,9.01 11/06/12 INVESTORS TITLE CO NC 2.02,9.01 11/06/12 ION GEOPHYSICAL CORP DE 7.01 11/06/12 ISIS PHARMACEUTICALS INC DE 2.02,9.01 11/06/12 ITC Holdings Corp. MI 5.02 10/31/12 J.D. HUTT Corp NV 8.01 10/31/12 JAMBA, INC. DE 5.02 10/29/12 John Bean Technologies CORP DE 2.02,9.01 11/05/12 JOSHUA GOLD RESOURCES INC NV 8.01,9.01 10/11/12 JOSHUA GOLD RESOURCES INC NV 8.01,9.01 11/02/12 KAR Auction Services, Inc. DE 2.02,9.01 11/06/12 KBR, INC. DE 8.01,9.01 11/05/12 KCAP Financial, Inc. DE 8.01,9.01 11/05/12 KENEXA CORP 8.01 10/31/12 Kennedy-Wilson Holdings, Inc. DE 2.02,9.01 11/02/12 Kennedy-Wilson Holdings, Inc. DE 9.01 11/05/12 Kentucky First Federal Bancorp 8.01,9.01 11/05/12 KMP Futures Fund I LLC DE 8.01,9.01 11/01/12 KOPIN CORP DE 2.02,9.01 11/06/12 LAKES ENTERTAINMENT INC MN 2.02,9.01 11/06/12 Landmark Apartment Trust of America, 2.01,2.03,9.01 08/28/12 AMEND LEUCADIA NATIONAL CORP NY 8.01,9.01 11/06/12 LEXICON PHARMACEUTICALS, INC./DE DE 2.02,9.01 11/06/12 LIBBEY INC DE 7.01,9.01 11/06/12 LIFEAPPS DIGITAL MEDIA INC. DE 4.01,9.01 10/31/12 LifeCare Holdings, Inc. DE 1.01,9.01 11/01/12 LIVEPERSON INC DE 2.02,7.01,9.01 11/06/12 Lone Star Gold, Inc. NV 3.02 09/14/12 AMEND LOUISIANA-PACIFIC CORP DE 2.02,9.01 11/05/12 LSB INDUSTRIES INC DE 2.02,9.01 11/06/12 MAD CATZ INTERACTIVE INC Z4 2.02,9.01 11/06/12 MAM SOFTWARE GROUP, INC. DE 2.02,9.01 11/06/12 MARATHON OIL CORP DE 2.02,9.01 11/06/12 Marathon Petroleum Corp DE 1.01,2.01,9.01 10/31/12 MARSH & MCLENNAN COMPANIES, INC. DE 2.02,9.01 11/06/12 MARTIN MARIETTA MATERIALS INC NC 2.02,7.01,9.01 11/06/12 MAXYGEN INC DE 2.02,9.01 11/06/12 MCDERMOTT INTERNATIONAL INC R1 2.02,9.01 11/05/12 McEwen Mining Inc. CO 7.01,9.01 11/05/12 MEDALLION FINANCIAL CORP DE 2.02,9.01 11/05/12 MERGE HEALTHCARE INC DE 2.02,9.01 10/31/12 MERISEL INC /DE/ DE 1.01,5.02 10/26/12 METROPOLITAN HEALTH NETWORKS INC FL 1.01,5.02,7.01,9.01 11/02/12 METROPOLITAN HEALTH NETWORKS INC FL 8.01,9.01 11/05/12 MFA FINANCIAL, INC. MD 2.02,7.01 11/06/12 MGE ENERGY INC WI 2.02,9.01 11/06/12 MHI Hospitality CORP MD 2.02,9.01 11/06/12 Millennium India Acquisition CO Inc. DE 2.02,8.01,9.01 11/05/12 MIPS TECHNOLOGIES INC DE 8.01,9.01 11/05/12 MIPS TECHNOLOGIES INC DE 8.01,9.01 11/06/12 MISSION WEST PROPERTIES INC CA 8.01,9.01 11/02/12 AMEND Mister Goody, Inc. FL 9.01 08/24/12 AMEND MODINE MANUFACTURING CO WI 2.02,9.01 11/06/12 MONARCH COMMUNITY BANCORP INC MD 2.02,9.01 11/01/12 MOTRICITY INC DE 1.01 09/21/12 AMEND MPLX LP DE 1.01,2.01,3.02,5.02, 10/31/12 5.03,9.01 MSCI Inc. DE 2.02,9.01 11/06/12 N-VIRO INTERNATIONAL CORP DE 1.01,9.01 11/06/12 NACCO INDUSTRIES INC DE 2.02,7.01,9.01 11/06/12 Nationstar Mortgage Holdings Inc. DE 2.02,9.01 11/06/12 NATURAL RESOURCE PARTNERS LP DE 2.02,9.01 11/05/12 NAVISTAR INTERNATIONAL CORP DE 7.01,9.01 11/06/12 New Mountain Finance Corp DE 2.02,9.01 11/06/12 NEW YORK TIMES CO NY 5.02,9.01 11/02/12 NEWS CORP 2.02,9.01 11/06/12 NEWS CORP 8.01,9.01 11/06/12 NewStar Financial, Inc. 1.01,2.03,9.01 11/05/12 NEXSTAR BROADCASTING GROUP INC DE 2.02,8.01,9.01 11/05/12 NGP Capital Resources Co MD 2.02,9.01 11/06/12 NL INDUSTRIES INC NJ 2.02,7.01,9.01 11/06/12 Northern Tier Energy LP DE 1.01,8.01,9.01 11/02/12 NORTHWEST NATURAL GAS CO OR 2.02,9.01 11/06/12 Novelis Inc. A6 2.02,9.01 11/06/12 NTS, INC. NV 1.02,5.02 11/06/12 NUCOR CORP DE 1.01,9.01 10/31/12 NYSE Euronext DE 2.02,9.01 11/06/12 OAK RIDGE MICRO-ENERGY INC CO 1.01,2.01,9.01 10/31/12 Oaktree Capital Group, LLC DE 2.02,9.01 11/06/12 OCLARO, INC. DE 2.02,9.01 11/05/12 OFFICE DEPOT INC DE 2.02,9.01 11/06/12 OFFICEMAX INC DE 2.02,9.01 11/06/12 OMEGA PROTEIN CORP NV 2.02,9.01 11/05/12 OMNI BIO PHARMACEUTICAL, INC. CO 1.01,2.03,3.02 10/31/12 OneBeacon U.S. Holdings, Inc. DE 7.01,9.01 11/06/12 OSAGE EXPLORATION & DEVELOPMENT INC DE 4.01,9.01 10/10/12 AMEND OSL HOLDINGS INC. 2.04 11/01/12 OTELCO INC. DE 2.02,9.01 11/06/12 Otter Tail Corp MN 2.02,9.01 11/05/12 OXFORD INDUSTRIES INC GA 5.02 11/06/12 Oxford Resource Partners LP 2.02,9.01 11/06/12 OXIS INTERNATIONAL INC DE 7.01,9.01 11/06/12 PEPCO HOLDINGS INC DE 2.02,7.01,9.01 11/06/12 PERICOM SEMICONDUCTOR CORP CA 1.01,9.01 11/01/12 PHARMACYCLICS INC DE 7.01,9.01 11/05/12 PHARMACYCLICS INC DE 2.02,9.01 11/05/12 PHARMATHENE, INC DE 2.02,9.01 11/06/12 PHOTOMEDEX INC DE 9.01 11/04/12 PIONEER POWER SOLUTIONS, INC. DE 1.01,2.03 10/31/12 PIXELWORKS, INC OR 5.02,9.01 11/02/12 PLEXUS CORP WI 7.01,9.01 11/06/12 PLUMAS BANCORP CA 2.02,9.01 11/06/12 POKERTEK, INC. NC 2.02,9.01 11/06/12 Poly Shield Technologies Inc. DE 1.01,9.01 11/02/12 POWIN CORP 5.02,9.01 11/01/12 PRESSTEK INC /DE/ DE 2.01,3.01,5.01,5.02, 10/31/12 5.03,9.01 PROASSURANCE CORP DE 2.02,7.01,9.01 11/06/12 PROCERA NETWORKS INC NV 2.02,9.01 11/06/12 PSB Holdings, Inc. 5.07 11/02/12 PSYCHEMEDICS CORP DE 2.02,9.01 11/05/12 QUANTUM CORP /DE/ DE 2.03,3.02 11/06/12 QUICKSILVER RESOURCES INC DE 2.02,9.01 11/06/12 RAAM Global Energy Co DE 5.02 10/30/12 RACKSPACE HOSTING, INC. 2.02,9.01 11/06/12 Raptor Pharmaceutical Corp DE 8.01,9.01 11/05/12 READING INTERNATIONAL INC NV 1.01 10/31/12 Renewable Energy Group, Inc. 2.02,9.01 11/06/12 RETAIL PROPERTIES OF AMERICA, INC. MD 8.01,9.01 11/06/12 REX ENERGY CORP DE 2.02,7.01,9.01 11/06/12 REYNOLDS AMERICAN INC 1.02,2.04 10/31/12 RIGEL PHARMACEUTICALS INC DE 2.02,9.01 11/06/12 ROBERTS REALTY INVESTORS INC GA 4.01,9.01 11/05/12 ROCHESTER MEDICAL CORPORATION MN 7.01,9.01 11/06/12 ROYAL QUANTUM GROUP INC NV 3.02,5.01 10/30/12 Rubicon Technology, Inc. DE 2.02,9.01 11/06/12 Ryman Hospitality Properties, Inc. DE 2.02,9.01 11/06/12 SABINE ROYALTY TRUST TX 2.02,9.01 11/05/12 SAGA COMMUNICATIONS INC DE 2.02,9.01 11/06/12 SAGE FUND LP 3.02 11/01/12 SAN DIEGO GAS & ELECTRIC CO CA 2.02,9.01 11/06/12 Sarepta Therapeutics, Inc. OR 5.02,8.01,9.01 11/05/12 SBA COMMUNICATIONS CORP FL 2.02,9.01 11/05/12 SCANA CORP SC 2.02,9.01 10/31/12 SCIENTIFIC GAMES CORP DE 2.02,9.01 11/06/12 SEMPRA ENERGY CA 2.02,9.01 11/06/12 Shire plc 8.01,9.01 11/05/12 Shire plc 8.01,9.01 11/06/12 SHORE BANCSHARES INC MD 5.02,9.01 11/06/12 Shoshone Silver/Gold Mining Co ID 1.01,2.01,9.01 11/05/12 Silicon Graphics International Corp DE 2.02,9.01 11/06/12 SMG Indium Resources Ltd. DE 5.07 11/06/12 SOCKET MOBILE, INC. DE 1.01,2.02,3.02,8.01, 11/05/12 9.01 SOHU COM INC DE 2.02,9.01 11/05/12 SOUTHERN CALIFORNIA GAS CO CA 2.02,9.01 11/06/12 SOUTHERN FIRST BANCSHARES INC SC 2.02,9.01 11/06/12 SOUTHWEST GAS CORP CA 2.02 11/06/12 SOUTHWESTERN ENERGY CO DE 7.01 11/06/12 SPARTON CORP OH 2.02,7.01,9.01 11/06/12 Spring Creek Healthcare Systems, Inc. NV 4.01,9.01 08/06/12 AMEND Sputnik Enterprises, Inc NV 8.01,9.01 11/05/12 SquareTwo Financial Corp DE 8.01,9.01 11/06/12 STAG Industrial, Inc. 2.01,9.01 10/09/12 AMEND STANLEY BLACK & DECKER, INC. CT 1.01,2.03,9.01 11/01/12 STEC, INC. CA 2.02,8.01,9.01 11/06/12 STEIN MART INC FL 8.01 11/06/12 STERLING FINANCIAL CORP /WA/ WA 7.01,9.01 11/06/12 STERLING GROUP VENTURES INC NV 7.01,9.01 11/05/12 STONE ENERGY CORP DE 2.02,7.01,9.01 11/06/12 STONEMOR PARTNERS LP DE 2.02,9.01 11/06/12 STRATASYS INC DE 2.02,9.01 11/02/12 STRATEGIC HOTELS & RESORTS, INC 1.01,2.03,7.01,9.01 11/01/12 Strategic Storage Trust, Inc. MD 7.01,8.01,9.01 11/06/12 STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 10/29/12 STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 11/01/12 SunOpta Inc. 2.02,9.01 11/06/12 SURMODICS INC MN 2.02,9.01 11/06/12 SVB FINANCIAL GROUP 7.01,9.01 11/06/12 Swingplane Ventures, Inc. NV 5.02 11/05/12 SWS GROUP INC DE 2.02,9.01 11/06/12 SYNAGEVA BIOPHARMA CORP DE 2.02,9.01 11/06/12 SYPRIS SOLUTIONS INC DE 2.02,7.01,9.01 11/06/12 TANGOE INC DE 2.02,9.01 11/06/12 TARGACEPT INC 2.02,9.01 11/06/12 Teavana Holdings Inc 7.01,9.01 11/06/12 TECO ENERGY INC FL 5.02 10/31/12 TETRA TECHNOLOGIES INC DE 2.02,9.01 11/06/12 THL Credit, Inc. DE 2.02,9.01 11/06/12 THOR INDUSTRIES INC DE 2.02,9.01 11/05/12 TIDELANDS BANCSHARES INC 2.02,9.01 11/06/12 TIDEWATER INC DE 2.02,9.01 11/06/12 Titanium Asset Management Corp DE 2.02,9.01 11/06/12 TMX Finance LLC DE 8.01,9.01 10/31/12 TOR MINERALS INTERNATIONAL INC DE 8.01,9.01 11/06/12 TORCHMARK CORP DE 8.01,9.01 11/01/12 TORTOISE CAPITAL RESOURCES CORP 8.01,9.01 11/01/12 Towers Watson & Co. DE 2.02,9.01 11/06/12 TOWN SPORTS INTERNATIONAL HOLDINGS IN DE 7.01,9.01 11/06/12 TRACTOR SUPPLY CO /DE/ DE 5.03,9.01 11/06/12 TransMontaigne Partners L.P. DE 2.02,9.01 11/06/12 TransUnion Holding Company, Inc. DE 1.01,2.03,9.01 11/01/12 TRAVELCENTERS OF AMERICA LLC 2.02,9.01 11/06/12 TreeHouse Foods, Inc. DE 2.02,7.01,9.01 11/06/12 TRINITY INDUSTRIES INC DE 7.01,9.01 11/06/12 TrovaGene Inc. DE 7.01,9.01 11/06/12 tw telecom inc. DE 2.02,9.01 11/05/12 TWIN DISC INC WI 7.01,9.01 11/06/12 Two Harbors Investment Corp. 2.02,9.01 11/02/12 TWO RIVERS WATER Co CO 2.01 11/02/12 U.S. Auto Parts Network, Inc. DE 2.02,9.01 11/06/12 UMH PROPERTIES, INC. MD 8.01 10/31/12 UNION DRILLING INC DE 1.01,2.01,2.03,3.01, 11/05/12 3.03,5.01,5.02,5.03, 9.01 UNITED INSURANCE HOLDINGS CORP. DE 5.02,9.01 10/22/12 AMEND UNITED STATES ANTIMONY CORP MT 8.01 11/06/12 UNIVERSAL CORP /VA/ VA 2.02,8.01,9.01 11/06/12 UNIVERSAL FOREST PRODUCTS INC MI 7.01,9.01 11/06/12 UNIVERSAL POWER GROUP INC. TX 5.07 10/23/12 Urban Barns Foods Inc. 4.02 11/02/12 URS CORP /NEW/ DE 2.02,9.01 11/06/12 UTi WORLDWIDE INC D8 5.02 11/05/12 UWHARRIE CAPITAL CORP NC 2.02,9.01 11/06/12 VALHI INC /DE/ DE 2.02,9.01 11/06/12 VECTREN CORP IN 2.02 11/05/12 VelaTel Global Communications, Inc. NV 3.02 10/09/12 Verisk Analytics, Inc. DE 8.01,9.01 11/06/12 VIASAT INC DE 2.02,9.01 11/06/12 Vishay Precision Group, Inc. DE 2.02,9.01 11/06/12 VISTEON CORP DE 5.02 11/05/12 Vitamin Shoppe, Inc. DE 2.02,9.01 11/06/12 VIVUS INC CA 2.02,9.01 11/06/12 Volcano Corp DE 2.02,9.01 11/06/12 WAGEWORKS, INC. DE 2.02,9.01 11/06/12 Walter Energy, Inc. DE 2.02,9.01 11/05/12 Warner Chilcott plc 8.01,9.01 11/06/12 WERNER ENTERPRISES INC NE 7.01,9.01 11/05/12 Western Gas Partners LP DE 7.01,9.01 11/05/12 Western Refining, Inc. DE 8.01,9.01 11/06/12 WESTMORELAND COAL Co DE 1.04 10/29/12 WET SEAL INC DE 2.02,9.01 11/01/12 WILEY JOHN & SONS, INC. NY 8.01 11/06/12 WILLIS GROUP HOLDINGS PLC L2 5.02 11/01/12 WMS INDUSTRIES INC /DE/ DE 2.02,9.01 11/01/12 WRIGHT MEDICAL GROUP INC DE 5.02,9.01 11/06/12 WVS FINANCIAL CORP PA 5.02 11/05/12 XL RENT, INC. NV 5.01,9.01 11/05/12 XPO Logistics, Inc. 2.02,9.01 11/05/12 ZBB ENERGY CORP WI 2.02,9.01 11/05/12 ZEBRA TECHNOLOGIES CORP 2.02,9.01 11/06/12 ZIPREALTY INC 2.02,9.01 11/06/12 Zoom Telephonics, Inc. DE 2.02,9.01 11/01/12
http://www.sec.gov/news/digest/2012/dig110712.htm
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