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Commission AnnouncementsSecurities and Exchange Commission Suspends Trading in the Securities of Seven Issuers For Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EST on November 29, 2012 and terminating at 11:59 p.m. EST on December 12, 2012.
The Commission temporarily suspended trading in the securities of these seven issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-68316) SEC Names Todd K. Scharf as Chief Information Security Officer and Associate Director in Its Office of Information TechnologyThe Securities and Exchange Commission today announced that it has named Todd K. Scharf, Sr. as Chief Information Security Officer and Associate Director in the agency’s Office of Information Technology. “Todd Scharf has an extensive technical and operational background in information security,” said Thomas A. Bayer, the SEC’s Chief Information Officer. “Todd’s knowledge of market operations, along with his leadership efforts to improve the SEC’s information security operations already have had a significant effect on the agency, and we’re pleased to welcome him to this new position.” In recent years, the SEC has taken steps to enhance its technological capabilities, modernize its computer systems, and transform the way it performs its mission. It has deployed a centralized database for the tips and complaints it receives, installed an automated work-flow system to track and triage enforcement actions, created an automated e-discovery system to help investigators rapidly review evidence, established a national standardized collection and storage system for SEC inspections and examinations, procured a system to analyze market data, and refurbished its financial management system. Mr. Scharf joined the SEC in 2009 as the Assistant Director for Corporate Information Security, where he helped develop, maintain, and oversee agency-wide information technology security programs. During his tenure, Mr. Scharf implemented industry-leading security measures and programs that led to significant improvements in the SEC’s information technology and financial reporting processes. In two years, the SEC succeeded in reducing the information technology and financial reporting deficiencies identified by the agency, its Inspector General, and the Government Accountability Office to a level that, in November 2011, the GAO concluded that there were no longer “material weaknesses” in the SEC’s internal controls. Mr. Scharf began his civilian career in 1996 as a Data Security Analyst at GE Information Services, and spent 11 years at the Financial Industry Regulatory Authority (FINRA), where he worked in various capacities, starting as an Operations Manager for Information Security. He was named Director of Network Operations and Information Security at the self-regulatory organization in 2001, and became FINRA’s Associate Vice President for Corporate Information Security in 2003, overseeing information security and strategy. Mr. Scharf received his undergraduate degree in Criminal Justice from Penn State University and completed his master’s level courses in Business Management at Troy State University. He was honorably discharged from the U.S. Navy in 1996 as a Lieutenant after serving nine-and-a-half years in various capacities, from propulsion engineer to data center manager. Mr. Scharf will continue to lead the SEC’s Office of Information Security, which is responsible for identifying and mitigating potential information-technology security risks and information breaches. Mr. Scharf has been actively involved in directing SEC efforts to identify and resolve security risks and exposures and will continue those efforts in his new role. (Press Rel. 2012-246) Enforcement ProceedingsCommission Orders Hearings on Registration Suspension or Revocation Against Seven Companies for Failure to Make Required Periodic Filings In conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the seven issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-68315; File No. 3-15110) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Seven Public Companies for Failure to Make Required Periodic FilingsToday the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the seven issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-68321; File No. 3-15111) SEC Charges Chicago-Based Investment Adviser With Defrauding Investors in Failing Private Equity FundThe Securities and Exchange Commission today charged a Chicago-based investment adviser and his firm with defrauding clients and others who were promised returns that would “beat the market” for investing in a private equity fund they managed. What investors didn’t know was the fund was failing and they were being used to raise money to repay promissory notes to earlier investors. The SEC alleges that Joseph J. Hennessy and Resources Planning Group (RPG) raised more than $1.3 million by misrepresenting the Midwest Opportunity Fund (MOF) as a viable private equity fund that could offer high returns. Hennessy failed to tell investors about the fund’s poor financial condition or that their money was being used to repay MOF promissory notes that he had personally guaranteed. He therefore misappropriated client funds to make payments on the notes and prop up the fund. Hennessy used at least $641,408 to make partial payments to certain note holders, substantially reducing his personal liability on the notes. “Private equity fund investors expect their money to be invested in viable assets that will generate positive returns,” said Marshall S. Sprung, Deputy Chief of the SEC Enforcement Division’s Asset Management Unit. “Hennessy made these promises, but betrayed his clients and others by using their money to save himself from financial ruin.” According to the SEC’s complaint filed against Hennessy and RPG in federal court in Chicago, Hennessy financed MOF’s acquisition of its largest portfolio company in 2007 in part by having the fund issue $1.65 million in promissory notes, all of which he personally guaranteed. When MOF’s portfolio companies were unable to pay management fees later that year, MOF lacked sufficient funds to repay the notes. From September 2007 to March 2010, Hennessy raised $1.36 million from RPG clients and other investors to make payments on the notes. Hennessy falsely told investors that MOF was viable and offered high returns. The SEC further alleges that Hennessy misappropriated money from RPG clients. In November 2007, he raised $750,000 from three RPG clients purportedly to invest in MOF. But then Hennessy used that money to redeem another client’s investment in the fund. Twice in mid-2009, Hennessy forged letters of authorization from a widowed RPG client to transfer $100,000 from her account to MOF in exchange for promissory notes that have yet to be repaid. The SEC’s complaint charges Hennessy with violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. Hennessy is also charged with violating Sections 206(1), (2) and (4) of the Investment Advisers Act of 1940 and Rule 206(4)-8. RPG is charged with violating Sections 206(1), (2) and (4) of the Advisers Act and Rule 206(4)-7. The SEC’s investigation was conducted by Amy S. Cotter, Luz M. Aguilar, and John J. Sikora, Jr. in the SEC’s Chicago Regional Office. Ms. Cotter and Mr. Sikora are members of the Asset Management Unit. The examination of RPG was conducted by Susan M. Weis, Matthew D. Harris, and Maureen S. Dempsey of the Investment Company/Investment Adviser examination group in the Chicago office. The SEC’s litigation will be led by Ms. Cotter and John E. Birkenheier. (Press Rel. 2012-244; [SEC v. Resources Planning Group, Inc. and Joseph J. Hennessy, Civil Action No. 12-cv-9509 (N.D. Ill.)] (LR-22548) SEC Charges Two Brokers With Insider Trading Ahead of IBM-SPSS Merger for $1 Million ProfitThe Securities and Exchange Commission today charged two retail brokers who formerly worked at a Connecticut-based broker-dealer with insider trading on nonpublic information ahead of IBM Corporation’s acquisition of SPSS Inc. The SEC alleges that Thomas C. Conradt learned confidential details about the merger from his roommate, a research analyst who got the information from an attorney working on the transaction who discussed it in confidence. Conradt purchased SPSS securities and subsequently tipped his friend and fellow broker David J. Weishaus, who also traded. The insider trading yielded more than $1 million in illicit profits. The SEC’s investigation uncovered instant messages between Conradt and Weishaus where they openly discussed their illegal activity. The SEC’s investigation is continuing. “When licensed professionals who are privileged to work in the securities industry violate legal duties and enrich themselves at investors’ expense, it undermines public confidence in the integrity of the markets,” said Daniel M. Hawke, Director of the SEC’s Philadelphia Regional Office. “As industry professionals, Conradt and Weishaus clearly understood that what they were doing was wrong, but did so anyway while knowing the consequences they would face if caught.” In a parallel action, the U.S. Attorney’s Office for the Southern District of New York today announced criminal charges against Conradt and Weishaus, who live in Denver and Baltimore respectively. According to the SEC’s complaint filed in federal court in Manhattan, the scheme occurred in 2009. Conradt revealed in instant messages that he received the information from the research analyst and warned Weishaus that they needed to “keep this in the family.” Weishaus agreed, typing “i don’t want to go to jail.” They went on to discuss other people who have been prosecuted for insider trading. In another series of instant messages, Conradt bragged that he was “makin everyone rich” by sharing the nonpublic information. Weishaus later noted, “this is gonna be sweet.” The SEC alleges that the research analyst’s attorney friend sought moral support, reassurance, and advice when he privately told the research analyst about his new assignment at work on the SPSS acquisition by IBM. In describing the magnitude of the assignment, the lawyer disclosed material, nonpublic information about the proposed transaction, including the anticipated transaction price and the identities of the acquiring and target companies. The associate expected the research analyst to maintain this information in confidence and refrain from trading on this information or disclosing it to others. The SEC alleges that Conradt, Weishaus, and other downstream tippees purchased common stock and call options in SPSS. A call option is a security that derives its value from the underlying common stock of the issuer and gives the purchaser the right to buy the underlying stock at a specific price within a specified period of time. Typically, investors will purchase call options when they believe the stock of the underlying securities is going up. Conradt, Weishaus, and other downstream tippees invested so heavily in SPSS securities that the investments accounted for 76 percent to 100 percent of their various brokerage accounts. Conradt and Weishaus both hold law degrees. Conradt is admitted to practice law in Maryland, and he passed the Colorado bar examination administered in February 2012. The SEC alleges that Conradt and Weishaus violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The SEC is seeking disgorgement of ill-gotten gains with prejudgment interest and financial penalties, and a permanent injunction against the brokers. The SEC’s investigation is being conducted by Mary P. Hansen, A. Kristina Littman and John S. Rymas in the SEC’s Philadelphia Regional Office. G. Jeffrey Boujoukos and Catherine E. Pappas in the Philadelphia office are handling the litigation. The SEC acknowledges the assistance of the U.S. Attorney’s Office for the Southern District of New York and the Federal Bureau of Investigation. (Press Rel. 2012-245) In the Matter of Angelo A. AllecaOn November 29, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions against Angelo A. Alleca (Alleca) based on the entry of a permanent injunction against him. According to the Order, the Commission’s complaint alleged that Alleca and his company, Summit Wealth Management, Inc. (Summit Wealth Management), incurred substantial losses in Summit Investment Fund, LP (Summit Fund), and that Alleca concealed the losses from investors and provided them with false account statements. The Complaint further alleges that Alleca then raised additional funds from Summit Wealth Management clients for two additional hedge funds that he created, and that Alleca misappropriated money invested in the new funds in a Ponzi-like fashion in order to meet redemption requests in Summit Fund. Based on the above, Alleca is barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent or nationally recognized statistical rating organization, and barred from participating in any offering of a penny stock. Alleca consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted to the entry of the injunction. (Rel. 34-68323; IA-3507; File No. 3-15112) INVESTMENT COMPANY ACT RELEASESArden Investment Series Trust
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1.01 |
Entry into a Material Definitive Agreement |
1.02 |
Termination of a Material Definitive Agreement |
1.03 |
Bankruptcy or Receivership |
2.01 |
Completion of Acquisition or Disposition of Assets |
2.02 |
Results of Operations and Financial Condition |
2.03 |
Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant |
2.04 |
Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement |
2.05 |
Cost Associated with Exit or Disposal Activities |
2.06 |
Material Impairments |
3.01 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing |
3.02 |
Unregistered Sales of Equity Securities |
3.03 |
Material Modifications to Rights of Security Holders |
4.01 |
Changes in Registrant's Certifying Accountant |
4.02 |
Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review |
5.01 |
Changes in Control of Registrant |
5.02 |
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer |
5.03 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year |
5.04 |
Temporary Suspension of Trading Under Registrant's Employee Benefit Plans |
5.05 |
Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics |
5.06 |
Change in Shell Company Status |
6.01 |
ABS Informational and Computational Material. |
6.02 |
Change of Servicer or Trustee. |
6.03 |
Change in Credit Enhancement or Other External Support. |
6.04 |
Failure to Make a Required Distribution. |
6.05 |
Securities Act Updating Disclosure. |
7.01 |
Regulation FD Disclosure |
8.01 |
Other Events |
9.01 |
Financial Statements and Exhibits |
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 11/26/12
ABBOTT LABORATORIES IL 8.01,9.01 11/28/12
ACCURAY INC DE 5.02 11/26/12
ACE Ltd V8 1.01,2.03 11/21/12
ADCARE HEALTH SYSTEMS INC OH 1.01,9.01 11/21/12
ADDVANTAGE TECHNOLOGIES GROUP INC OK 2.02,7.01,9.01 11/28/12
Advanced Voice Recognition Systems, I NV 1.01,3.02,9.01 11/28/12
AEROPOSTALE INC 2.02,9.01 11/28/12
AETRIUM INC MN 5.07,9.01 11/26/12
Affinion Group Holdings, Inc. DE 7.01,9.01 11/28/12
ALLSTATE CORP DE 7.01,9.01 11/28/12
AMERICAN EXPRESS CO NY 8.01,9.01 11/28/12
AMERICAN REALTY CAPITAL HEALTHCARE TR MD 1.01,2.01,9.01 11/21/12
AMERICAN SUPERCONDUCTOR CORP /DE/ DE 2.05,5.02,7.01,9.01 11/27/12
ANN INC. DE 2.02,9.01 11/28/12
Aon plc X0 8.01,9.01 11/28/12
APPLIED MATERIALS INC /DE DC 5.02 11/26/12
ARCH COAL INC DE 7.01,9.01 11/28/12
ARENA PHARMACEUTICALS INC DE 1.01 11/27/12
ARETE INDUSTRIES INC CO 5.02,8.01,9.01 11/21/12
ATP OIL & GAS CORP TX 7.01,9.01 11/20/12
BANK JOS A CLOTHIERS INC /DE/ DE 2.02,9.01 11/28/12
Banyan Rail Services Inc. DE 3.02 11/21/12
BAZI INTERNATIONAL, INC. NV 1.01,2.03,3.02,9.01 11/28/12
Behringer Harvard Opportunity REIT II MD 7.01,9.01 11/28/12
BEMIS CO INC MO 5.03,9.01 11/26/12
BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 11/27/12
BIOMARIN PHARMACEUTICAL INC DE 5.02 11/26/12
BLUE RIDGE REAL ESTATE CO PA 5.02 11/21/12
Bluforest Inc. NV 1.01,7.01,9.01 11/25/12
BOLDFACE GROUP, INC. NV 1.01,2.03,5.02,8.01, 11/21/12
9.01
BRANDYWINE REALTY TRUST MD 8.01,9.01 11/28/12
BRINKER INTERNATIONAL INC DE 5.02,9.01 11/28/12
C & F FINANCIAL CORP VA 8.01,9.01 11/28/12
CADENCE PHARMACEUTICALS INC 1.01 11/27/12
CAMPBELL FUND TRUST DE 3.02 11/28/12
Cape Bancorp, Inc. MD 8.01,9.01 11/28/12
CENTERLINE HOLDING CO DE 1.01,9.01 11/21/12
chatAND Inc NV 1.01,5.02,9.01 11/19/12
CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 11/28/12
CHIMERA INVESTMENT CORP DE 7.01,9.01 11/28/12
CHINA RECYCLING ENERGY CORP 3.01 11/21/12
CINCINNATI BELL INC OH 8.01,9.01 11/28/12
CLEAN WIND ENERGY TOWER, INC. NV 1.01,2.03,3.02,9.01 11/09/12
CMG HOLDINGS GROUP, INC. NV 8.01 11/28/12
CNH Capital LLC DE 8.01 11/25/12
COLDWATER CREEK INC DE 2.02,5.02,9.01 11/28/12
COMMUNITY HEALTH SYSTEMS INC DE 1.01,2.03,8.01,9.01 11/27/12
CONAGRA FOODS INC /DE/ DE 1.01,9.01 11/26/12
COPART INC CA 2.02,9.01 11/27/12
Cornerstone Core Properties REIT, Inc MD 9.01 09/14/12 AMEND
CRAILAR TECHNOLOGIES INC A1 7.01,9.01 11/28/12
CURIS INC DE 1.01,2.03,8.01,9.01 11/27/12
DAKOTA PLAINS HOLDINGS, INC. NV 7.01,9.01 11/27/12
Dewmar International BMC, Inc. NV 5.02 10/22/12
DIEBOLD INC OH 5.05,9.01 11/21/12
Discover Card Execution Note Trust DE 8.01 11/28/12
DNB FINANCIAL CORP /PA/ PA 8.01,9.01 11/28/12
DYCOM INDUSTRIES INC FL 8.01,9.01 11/27/12
DYCOM INDUSTRIES INC FL 9.01 11/28/12
DYCOM INDUSTRIES INC FL 7.01,9.01 11/28/12
DYNACQ HEALTHCARE INC NV 5.02,8.01 11/28/12
E TRADE FINANCIAL Corp DE 7.01,9.01 11/28/12
EARTHBLOCK TECHNOLOGIES, INC. NV 4.01,9.01 11/27/12
EFT Holdings, Inc. NV 5.02,9.01 11/20/12
El Paso Pipeline Partners, L.P. DE 7.01 11/27/12
EMPIRE RESORTS INC DE 5.02,9.01 11/26/12
ENDOLOGIX INC /DE/ DE 5.02 11/26/12
Exelis Inc. IN 7.01,9.01 11/28/12
EXPRESS, INC. 2.02,9.01 11/28/12
FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 11/28/12
FAR EAST ENERGY CORP NV 1.01,9.01 11/28/12
FEDERAL HOME LOAN MORTGAGE CORP 7.01,9.01 11/28/12
FedFirst Financial Corp 8.01,9.01 11/28/12
FIDELITY BANCORP INC PA 5.07,8.01,9.01 11/27/12
FIDELITY BANCORP INC PA 7.01,9.01 11/28/12
FINANCIAL INSTITUTIONS INC NY 8.01,9.01 11/28/12
FIRST KEYSTONE CORP PA 8.01,9.01 11/28/12
Flagstone Reinsurance Holdings, S.A. N4 5.07,8.01,9.01 11/28/12
Fresh Market, Inc. DE 5.02,9.01 11/26/12
Fresh Market, Inc. DE 2.02,9.01 11/28/12
Fushi Copperweld, Inc. NV 8.01,9.01 11/28/12
GENERAL DYNAMICS CORP DE 5.04,9.01 11/21/12
GENERAL EMPLOYMENT ENTERPRISES INC IL 5.02 11/26/12
General Finance CORP DE 1.01,9.01 11/26/12
General Motors Co 1.01,9.01 11/21/12
General Motors Financial Company, Inc TX 1.01,9.01 11/21/12
GEOPETRO RESOURCES CO CA 3.01,7.01,9.01 11/21/12
GILLA INC. NV 1.01,1.02,2.01,3.02, 11/21/12
5.01,5.02,5.06,9.01
GLADSTONE CAPITAL CORP MD 5.02 11/28/12
GLADSTONE COMMERCIAL CORP MD 5.02 11/28/12
GLADSTONE INVESTMENT CORPORATION\DE DE 5.02 11/28/12
GLOBALSCAPE INC DE 7.01,9.01 11/28/12
Golden Minerals Co 5.02 11/26/12
Gordmans Stores, Inc. DE 2.02,9.01 11/28/12
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 11/23/12
GREAT CHINA MANIA HOLDINGS, INC. FL 1.01,5.02,9.01 11/28/12
Greektown Superholdings, Inc. DE 8.01 11/28/12
GUESS INC DE 2.02,9.01 11/28/12
GULF RESOURCES, INC. DE 1.01,9.01 11/26/12
HCC INSURANCE HOLDINGS INC/DE/ DE 1.01,2.03,9.01 11/21/12
HDS INTERNATIONAL CORP. NV 1.01,1.02,3.02,7.01, 11/27/12
9.01
HEALTHCARE TRUST OF AMERICA, INC. MD 7.01,9.01 11/28/12
HERCULES OFFSHORE, INC. DE 7.01,8.01,9.01 11/28/12
HOME LOAN SERVICING SOLUTIONS, LTD. E9 7.01,9.01 11/28/12
Horizon Technology Finance Corp DE 8.01,9.01 11/27/12
ID SYSTEMS INC DE 8.01 11/21/12
Ignite Restaurant Group, Inc. 5.02,9.01 11/26/12
IMPERIAL OIL LTD 8.01,9.01 11/28/12
INFOBLOX INC 2.02,9.01 11/28/12
INTERNATIONAL BANCSHARES CORP TX 8.01,9.01 11/28/12
J CREW GROUP INC DE 2.02,9.01 11/28/12
JAMESON STANFORD RESOURCES Corp 1.01,2.01,3.02,4.01, 10/29/12 AMEND
5.01,5.02,5.06,9.01
JMG Exploration, Inc. NV 8.01 11/21/12
KAPSTONE PAPER & PACKAGING CORP DE 1.01,8.01,9.01 11/28/12
KBR, INC. DE 8.01,9.01 11/27/12
KCAP Financial, Inc. DE 8.01,9.01 11/27/12
Kenergy Scientific, Inc. NJ 8.01,9.01 11/28/12
Kennedy-Wilson Holdings, Inc. DE 1.01,2.03,8.01,9.01 11/28/12
LA-Z-BOY INC MI 2.02,9.01 11/28/12
LASERLOCK TECHNOLOGIES INC NV 5.02 11/21/12
LIBERTY SILVER CORP NV 5.02,8.01,9.01 11/28/12
Lightman Grant, Inc. DE 5.01,5.02 11/13/12
Lithium Corp 3.02 11/19/12
Live Event Media, Inc. NV 1.01,3.02,5.01,5.02, 11/21/12
9.01
LIVEWIRE ERGOGENICS INC. 4.02,8.01 11/21/12
LODGENET INTERACTIVE CORP DE 5.02 11/21/12
LUBYS INC DE 1.01,9.01 11/21/12
Macy's, Inc. DE 8.01,9.01 11/28/12
Magnolia Solar Corp NV 8.01,9.01 11/28/12
MAGNUM HUNTER RESOURCES CORP DE 1.01,7.01,9.01 11/21/12
McEwen Mining Inc. CO 7.01,9.01 11/28/12
MEDICIS PHARMACEUTICAL CORP DE 8.01 11/28/12
MEDIENT STUDIOS, INC. NV 4.01,9.01 09/30/12
MERITOR INC IN 7.01,8.01,9.01 11/28/12
METHA ENERGY SOLUTIONS INC. DE 1.01,2.01,3.02,4.01, 10/29/12 AMEND
5.01,5.02,5.06,9.01
Mid-Con Energy Partners, LP DE 1.01,9.01 11/26/12
MONARCH CEMENT CO KS 1.01,2.03,3.03,9.01 11/21/12
MOVADO GROUP INC NY 2.02,7.01,9.01 11/28/12
MS STRUCTURED SATURNS SERIES 2005-2 DE 8.01 11/28/12
MusclePharm Corp NV 3.03,8.01,9.01 11/26/12
NASH FINCH CO DE 1.01,9.01 11/27/12
National CineMedia, Inc. DE 1.01,1.02,2.03,9.01 11/26/12
NAVIGATORS GROUP INC DE 1.01,2.03,9.01 11/22/12
NCR CORP MD 1.01,7.01,9.01 11/28/12
NETREIT, INC. MD 2.03 11/21/12
New York & Company, Inc. 2.02,9.01 11/28/12
NEW YORK MORTGAGE TRUST INC MD 7.01,8.01,9.01 11/28/12
NightCulture, Inc. NV 9.01 09/12/12 AMEND
NORTH BAY RESOURCES INC DE 1.01,9.01 11/26/12
NUVEL HOLDINGS, INC. FL 1.01,2.03,3.02,9.01 11/21/12
Ocean Electric Inc. 4.02 08/23/12
Ocean Electric Inc. 4.01,9.01 11/28/12
OGLETHORPE POWER CORP GA 2.03,8.01,9.01 11/27/12
OMEGA COMMERCIAL FINANCE CORP WY 3.02 10/22/12
OMEGA COMMERCIAL FINANCE CORP WY 3.02 10/22/12 AMEND
ONCOSEC MEDICAL Inc NV 8.01 11/28/12
ORASURE TECHNOLOGIES INC DE 8.01,9.01 11/28/12
ORTHOFIX INTERNATIONAL N V 5.02 11/27/12
OUTDOOR CHANNEL HOLDINGS INC 8.01 11/21/12
PACIFIC GOLD CORP NV 8.01 11/28/12
PATTERSON UTI ENERGY INC DE 7.01,9.01 11/28/12
PEABODY ENERGY CORP DE 7.01,9.01 11/28/12
PENTAIR LTD V8 1.01,2.03,9.01 11/26/12
PEOPLES BANCORP INC OH 7.01,9.01 11/28/12
PIONEER ENERGY SERVICES CORP TX 7.01,9.01 11/28/12
Post Holdings, Inc. MO 2.02,9.01 11/28/12
POZEN INC /NC 8.01 11/21/12
PROGENICS PHARMACEUTICALS INC DE 8.01,9.01 11/28/12
PROGENICS PHARMACEUTICALS INC DE 7.01,9.01 11/28/12
PRUCO LIFE INSURANCE OF NEW JERSEY NJ 8.01,9.01 11/28/12
PRUDENTIAL ANNUITIES LIFE ASSURANCE C CT 8.01,9.01 11/28/12
Q Holdings, Inc. DE 8.01,9.01 11/28/12
Real Goods Solar, Inc. CO 3.01 11/26/12
REDWOOD TRUST INC MD 7.01,9.01 11/28/12
Remark Media, Inc. DE 2.03,9.01 11/23/12
RING ENERGY, INC. NV 3.02 11/19/12 AMEND
Riverbed Technology, Inc. DE 8.01 11/28/12
Rock-Tenn CO GA 7.01,9.01 11/28/12
ROCKWELL MEDICAL, INC. MI 3.02,9.01 11/22/12
Rosetta Resources Inc. DE 7.01,9.01 11/27/12
rue21, inc. DE 2.02,9.01 11/28/12
SafeBrain Systems, Inc. DE 5.02 11/26/12
SEALED AIR CORP/DE DE 1.01,2.03,8.01,9.01 11/27/12
SELECTIVE INSURANCE GROUP INC NJ 7.01,9.01 11/28/12
SemiLEDs Corp 2.02,9.01 11/28/12
SEMTECH CORP DE 2.02,7.01,9.01 11/28/12
Shire plc 8.01,9.01 11/28/12
Sino Agro Food, Inc. NV 5.02,5.03,9.01 11/22/12
SL GREEN REALTY CORP MD 8.01,9.01 11/28/12
Snap Interactive, Inc DE 2.02,9.01 11/28/12
STARWOOD HOTEL & RESORTS WORLDWIDE, I MD 8.01,9.01 11/26/12
STATE BANK FINANCIAL CORP GA 8.01,9.01 11/28/12
STEINER LEISURE Ltd C5 9.01 11/27/12
STIFEL FINANCIAL CORP DE 7.01,9.01 11/28/12
STILLWATER MINING CO /DE/ DE 5.02,9.01 11/28/12
STONE ENERGY CORP DE 7.01,9.01 11/27/12
STRATEGIC DIAGNOSTICS INC/DE/ DE 1.02 11/21/12
Strategic Storage Trust, Inc. MD 7.01,9.01 11/28/12
STRUCTURED PRODUCTS CORPTIERS PRINC P DE 8.01,9.01 11/19/12
SUBURBAN PROPANE PARTNERS LP DE 2.02,9.01 11/28/12
SUPERTEX INC CA 8.01 11/27/12
SURREY BANCORP NC 8.01,9.01 11/28/12
SW China Imports, Inc. NV 8.01 11/27/12
SYNERGETICS USA INC 1.01,9.01 11/27/12
TECHE HOLDING CO LA 7.01,9.01 11/28/12
Thompson Creek Metals CO Inc. A6 1.01,8.01,9.01 11/27/12
TIMKEN CO OH 7.01,9.01 11/28/12
TIVO INC DE 2.02,9.01 11/28/12
Tonix Pharmaceuticals Holding Corp. NV 7.01,9.01 11/28/12
Tower Group, Inc. DE 1.01,2.03,9.01 11/26/12
TRANS WORLD ENTERTAINMENT CORP NY 1.01,2.01,8.01,9.01 11/27/12
TRANZYME INC DE 7.01,9.01 11/28/12
Travelport LTD D0 1.01,5.02 11/21/12
TrovaGene Inc. DE 1.01,3.02,8.01,9.01 11/21/12
United States 12 Month Natural Gas Fu 7.01,9.01 11/28/12
United States 12 Month Oil Fund, LP 7.01,9.01 11/28/12
United States Brent Oil Fund, LP DE 7.01,9.01 11/28/12
United States Commodity Index Funds T DE 7.01,9.01 11/28/12
United States Diesel-Heating Oil Fund DE 7.01,9.01 11/28/12
United States Gasoline Fund, LP DE 7.01,9.01 11/28/12
United States Natural Gas Fund, LP 7.01,9.01 11/28/12
United States Oil Fund, LP DE 7.01,9.01 11/28/12
United States Short Oil Fund, LP DE 7.01,9.01 11/28/12
UNIVERSAL BIOSENSORS INC DE 3.02,9.01 11/23/12
UNIVERSAL INSURANCE HOLDINGS, INC. DE 8.01,9.01 11/28/12
UNIVERSAL TECHNICAL INSTITUTE INC DE 2.02,9.01 11/27/12
UNIVEST CORP OF PENNSYLVANIA PA 8.01,9.01 11/28/12
VALIDUS HOLDINGS LTD 7.01,9.01 11/28/12
VERMILLION, INC. DE 5.02,7.01,9.01 11/26/12
VIRTUAL PIGGY, INC. DE 1.01,5.02,9.01 11/26/12
VISCOUNT SYSTEMS INC NV 3.02 11/26/12
Vitamin Shoppe, Inc. DE 1.01,9.01 11/21/12
VOLT INFORMATION SCIENCES, INC. NY 5.02,9.01 11/26/12
WEBSTER FINANCIAL CORP DE 8.01,9.01 11/27/12
WELLS FARGO & COMPANY/MN DE 8.01 11/20/12
Western Asset Mortgage Capital Corp DE 7.01,9.01 11/28/12
Western Gas Partners LP DE 7.01,9.01 11/27/12
WHITEWAVE FOODS Co DE 5.02 11/21/12
Workday, Inc. DE 2.02,9.01 11/28/12
XCel Brands, Inc. DE 1.02,5.02,5.07 11/21/12
ZOLTEK COMPANIES INC DE 2.02,9.01 11/27/12
http://www.sec.gov/news/digest/2012/dig112912.htm
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