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Enforcement ProceedingsIn the Matter of Anand SekaranOn November 30, 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 (Order) against Anand Sekaran (Sekaran). On November 26, 2012, the Honorable Jesse M. Furman, United States District Judge for the Southern District of New York, entered a final judgment by consent against Sekaran in the civil action entitled Securities and Exchange Commission v. Anand Sekaran, et al., Civil Action No. 12-CV-8199 (S.D.N.Y.). The final judgment imposed permanent injunctions from future violations of the antifraud provisions of the federal securities laws. Sekaran is also required to pay $2.3 million to satisfy restitution and forfeiture orders in a related criminal matter. The Commission’s complaint alleged, inter alia, that Sekaran, as an investment adviser, engaged in fraudulent conduct, including making material misrepresentations to clients, providing fabricated and misleading account statements to clients, and misappropriating client funds. Based on the above, the Order bars Sekaran from association with any broker, dealer, investment adviser, municipal securities dealer, municipal adviser, transfer agent, or nationally recognized statistical rating organization; and from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent, or other person who engages in activities with a broker, dealer, or issuer for purposes of the issuance or trading any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Sekaran consented to the issuance of the Order. (Rels. 34-68331; IA-3508; File No. 3-15114) In the Matter of the Registration Statement of Caribbean Pacific Marketing, Inc.On December 3, 2012, the Commission issued an Order Making Findings and Suspending the Effectiveness of Registration Statement Pursuant to Section 8(d) of the Securities Act of 1933 (Order) against Caribbean Pacific Marketing, Inc. The Order finds that Respondent Caribbean Pacific Marketing, Inc. filed a Form S-1 Registration Statement with the Commission to register an offering of securities under the Securities Act, which is materially misleading and deficient as it fails to disclose that William J. Reilly, a disbarred attorney subject to an injunction is a de factor executive officer and control person of the Respondent. The Registration Statement failed to include any information about Reilly’s position with Respondent and his business experience. Based on the above, the Order suspends the effectiveness of Caribbean Pacific Marketing, Inc.’s August 29, 2012 Registration Statement. Caribbean Pacific Marketing, Inc. consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 33-9371; File No. 3-15083) Commission Revokes Registration of Securities of Crystal Mountain, Inc. for Failure to Make Required Periodic FilingsOn December 3, 2012, the Commission revoked the registration of each class of registered securities of Crystal Mountain, Inc. (Crystal Mountain) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Crystal Mountain consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Crystal Mountain, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Crystal Mountain’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Crystal Mountain in In the Matter of Castle Hill Associates, Inc., et al., Administrative Proceeding File No. 3-15088. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Castle Hill Associates, Inc., et al., Administrative Proceeding File No. 3-15088, Exchange Act Release No. 68184, November 8, 2012. (Rel. 34-68332; File No. 3-15088) Commission Revokes Registration of Securities of CSI Computer Specialists, Inc. for Failure to Make Required Periodic FilingsOn December 3, 2012, the Commission revoked the registration of each class of registered securities of CSI Computer Specialists, Inc. (CSI Computer Specialists) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, CSI Computer Specialists consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to CSI Computer Specialists, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of CSI Computer Specialists’ securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against CSI Computer Specialists in In the Matter of China Voice Holding Corp., et al., Administrative Proceeding File No. 3-15076. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of China Voice Holding Corp., et al., Administrative Proceeding File No. 3-15076, Exchange Act Release No. 68091, October 24, 2012. (Rel. 34-68333; File No. 3-15076) In the Matter of Arnett L. WatersOn December 3, 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 Arnett L. Waters. The Order finds that Waters, a resident of Milton, Massachusetts and the president, chief executive officer, owner and former registered representative of A.L. Waters Capital, LLC, an investment adviser registered with the Commission, pled guilty on October 2, 2012 to two counts of criminal contempt before the United States District Court for the District of Massachusetts in SEC v. A.L. Waters Capital, LLC, et al., Case No. 12-CV-10873-DJC. The counts of the criminal information to which Waters pled guilty alleged that Waters had knowingly and willfully violated the Court’s preliminary injunction order by establishing an undisclosed bank account, transferring funds to that account, dissipating assets, and failing to disclose the bank account as required by the Court. Based on the above, the Order bars Waters from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Waters consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rels. 34-68334; IA-3509; File No. 3-15115) SEC Charges China Affiliates of Big Four Accounting Firms with Violating U.S. Securities Laws in Refusing to Produce DocumentsThe Securities and Exchange Commission today began administrative proceedings against the China affiliates of each of the Big Four accounting firms and another large U.S. accounting firm for refusing to produce audit work papers and other documents related to China-based companies under investigation by the SEC for potential accounting fraud against U.S. investors. The SEC charged the following firms with violating the Securities Exchange Act and the Sarbanes-Oxley Act, which requires foreign public accounting firms to provide the SEC upon request with audit work papers involving any company trading on U.S. markets:
According to the SEC’s order instituting the proceedings, SEC investigators have been making efforts for the past several months to obtain documents from these firms. The audit materials are being sought as part of SEC investigations into potential wrongdoing by nine China-based companies whose securities are publicly traded in the U.S. The audit firms have refused to cooperate in the investigations. “Only with access to work papers of foreign public accounting firms can the SEC test the quality of the underlying audits and protect investors from the dangers of accounting fraud,” said Robert Khuzami, Director of the SEC’s Division of Enforcement. “Firms that conduct audits knowing they cannot comply with laws requiring access to these work papers face serious sanctions.” An administrative law judge will schedule a hearing and determine the appropriate remedial sanction against the firms. The order requires the administrative law judge to issue an initial decision no later than 300 days from the date of service of the order. The SEC has launched an initiative to address concerns arising from reverse mergers and foreign issuers. Through the work of a Cross Border Working Group, the agency has deregistered the securities of nearly 50 companies and filed fraud cases against more than 40 foreign issuers and executives. The SEC’s Enforcement Division has taken a series of actions against China-based audit firms. Earlier this year, the SEC announced an enforcement action against Shanghai-based Deloitte Touche Tomatsu for refusing to produce documents for an SEC investigation into one of its China-based clients. That proceeding is ongoing. The SEC previously filed a subpoena enforcement action in federal court against the firm for failing to produce documents in response to a subpoena pertaining to its longtime client Longtop Financial Technologies Limited. In the separate administrative proceeding against Longtop, an administrative law judge found that Longtop was delinquent in its reporting obligations and ordered Longtop’s securities registration to be revoked. “U.S. investors should be able to rely on the quality of audited financial statements,” said Kara Brockmeyer, co-head of the SEC’s Cross Border Working Group. “Our Working Group’s actions demonstrate how the SEC is proactively identifying emerging risks to protect U.S. investors from accounting fraud.” This enforcement action was coordinated by the Cross Border Working Group and involved investigative teams in SEC offices in Washington D.C., Boston, New York, Fort Worth, and Los Angeles. (Press Rel. 2012-249; Rel. 34-68335; AAE Rel. 3426; File No. 3-15116) SEC v. Joseph P. CilloThe Securities and Exchange Commission (“Commission”) announced today that the Honorable James D. Whittemore, United States District Judge for the Middle District of Florida in Tampa has entered final judgment against defendant Joseph P. Cillo (“Cillo”) of Dade City, Florida. The judgment permanently enjoins Cillo from further violations of Section 15(b)(6)(B)(i) of the Securities Exchange Act of 1934 (“Exchange Act”), imposes a statutory penny stock bar on him pursuant to Section 21(d)(6) of the Exchange Act, and orders that he pay disgorgement in the amount of $20,000 with prejudgment interest thereon in the amount of $1.124.50 within 30 days. In addition, Cillo was ordered to pay a civil penalty in the amount of $60,000 within 30 days. Cillo consented to the final judgment without admitting or denying the allegations of the Commission’s complaint. The Complaint alleged that in November 2007, through a reverse merger with a penny-stock shell company, Cillo became the CEO and controlling shareholder of eFUEL EFN Corp. (“eFUEL”), a purported web development company then based in Tampa, Florida and listed on the OTC Market Group’s “OTC Pink” market tier (formerly the “Pink Sheets”) under the symbol “EFUL.” It further alleged that in connection with an ongoing market manipulation investigation involving eFUEL and other related entities and individuals, the SEC determined that Cillo engaged in various activities related to, and for the purpose of, issuing, trading, and inducing the purchase of eFUEL’s stock. Specifically, Cillo (1) offered and/or issued hundreds of millions of shares of eFUEL stock to third-parties as purported payment for debts and services, (2) drafted and approved multiple press releases touting the company’s business plan and development prospects, and (3) prepared, signed, and submitted periodic reports to the OTC Markets Group in order to comply with the Pink Sheets’ minimal requirements for “adequate current information.” These activities constituted violations of a 1995 Commission order which barred Cillo from participating in the offering of any penny stock. [SEC v. Joseph P. Cillo, Civil Action No. 8:11-cv-02320 (M.D. Fla.)] (LR-22555) Court Enters Final Judgment Against SEC Defendants Christopher W. Bass and His CompaniesThe Securities and Exchange Commission announced that on October 26, 2012, the Honorable Lawrence E. Kahn, United States District Court Judge for the Northern District of New York, entered a final judgment against Defendants Christopher W. Bass, Swiss Capital Harbor-USA, LLC, Swiss Capital Harbor Fund A Partners, L.P., Swiss Capital Harbor Fund B Partners, L.P. and Swiss Capital Harbor Fund C Partners, L.P. (collectively, the “Defendants”). The final judgment amends the default judgment previously ordered by the Court on September 14, 2011, permanently enjoining the Defendants from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The final judgment also holds the Defendants jointly and severally liable for total combined disgorgement and prejudgment interest of $5,203,054. This sum is deemed satisfied by the criminal restitution order entered against Defendant Bass in his parallel criminal case, U.S. v. Christopher Bass, 10-cr-166 (N.D.N.Y) (LEK). On May 24, 2010, the SEC filed its complaint against the Defendants alleging that from at least January 2007 through at least June 2009, the Defendants conducted a Ponzi scheme, through which they defrauded over 400 investors. For further information, please see Litigation Release Number 21533 (May 25, 3010) [SEC Charges Albany, NY Resident with Conducting $5.9 Million Ponzi Scheme] and Litigation Release Number 22097 (September 19, 2011) [Court Enters Default Judgment Against SEC Defendants Christopher W. Bass and His Companies] The SEC acknowledges the assistance of the United States Attorney’s Office for the Northern District of New York. [SEC v. Christopher W. Bass, et al., Civil Action No. 10-cv-00606 (LEK) (DRH) (NDNY)] (LR-22556) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2012-47) to amend EDGX Rule 15.1(a) and (c) 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 December 3. (Rel. 34-68310) A proposed rule change filed by International Securities Exchange, LLC to adopt Gateway Fees (SR-ISE-2012-89) 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 December 3. (Rel. 34-68324) A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. relating to the wavier of certain TRACE late trade reporting fees due to Hurricane Sandy (SR-FINRA-2012-051) 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 December 3. (Rel. 34-68325) A proposed rule change (SR-BOX-2012-018) filed by BOX Options Exchange, LLC to increase the maximum term for LEAPS to fifteen years 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 December 3. (Rel. 34-68326) A proposed rule change filed by the Municipal Securities Rulemaking Board to extend the implementation date of the requirement to report the contractual dollar prices at which transactions were executed for inter-dealer transactions (SR-MSRB-2012-10) 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 December 3. (Rel. 34-68328) A proposed rule change filed by BATS Y-Exchange, Inc. to expand the availability of risk management tools (SR-BYX-2012-022) 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 December 3. (Rel. 34-68329) A proposed rule change filed by BATS Exchange, Inc. to expand the availability of risk management tools (SR-BATS-2012-045) 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 December 3. (Rel. 34-68330) 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-8 IMPAC MORTGAGE HOLDINGS INC, 19500 JAMBOREE ROAD, IRVINE, CA, 92612, 9494753600 - 0 ($3,452,500.00) Equity, (File 333-185195 - Nov. 30) (BR. 08B) S-8 FIVE BELOW, INC, 1818 MARKET STREET, SUITE 1900, PHILADELPHIA, PA, 19103, 215 546 7909 - 500,000 ($14,027,500.00) Equity, (File 333-185196 - Nov. 30) (BR. 02) S-4 UNIVERSAL HOSPITAL SERVICES INC, 7700 FRANCE AVE S, SUITE 275, EDINA, MN, 55435, 952-893-3200 - 0 ($425,000,000.00) Debt, (File 333-185204 - Nov. 30) (BR. 06C) N-2 BlackRock Fixed Income Strategic Opportunities, 55 EAST 52ND STREET, NEW YORK, NY, 10055, 800-882-0052 - 50,000 ($1,000,000.00) Equity, (File 333-185205 - Nov. 30) (BR. 17) S-8 Eaton Corp plc, 70 SIR JOHN ROGERSON'S QUAY, DUBLIN, L2, 2, 353 1 232 2000 - 0 ($3,796,838,549.72) Equity, (File 333-185206 - Nov. 30) (BR. 06C) S-4 tw telecom holdings inc., 10475 PARK MEADOWS DRIVE, LITTLETON, CO, 80124, 303 566-1279 - 0 ($480,000,000.00) Debt, (File 333-185207 - Nov. 30) (BR. 11C) S-1 Natfresh Beverages Corp., 2800 POST OAK BOULEVARD, SUITE 4100, HOUSTON, TX, 77056, 832-390-2235 - 18,147,741 ($11,796,031.65) Equity, (File 333-185208 - Nov. 30) (BR. ) S-8 PERCEPTRON INC/MI, 47827 HALYARD DRIVE, PLYMOUTH, MI, 48170-2461, 3134144816 - 400,000 ($2,252,000.00) Equity, (File 333-185209 - Nov. 30) (BR. 10B) S-1 Chum Mining Group Inc., 14727-129 STREET, EDMONTON, A0, T6V 1C4, 604-331-4422 - 10,000,000 ($20,000.00) Equity, (File 333-185210 - Nov. 30) (BR. ) S-3 Oiltanking Partners, L.P., 15631 JACINTOPORT BLVD., HOUSTON, TX, 77015, 281-457-7900 - 0 ($600,000,000.00) Debt, 0 ($291,522,869.67) Equity, (File 333-185211 - Nov. 30) (BR. 04A) F-1 Plastec Technologies, Ltd., UNIT 01, 21/F, AITKEN VANSON CENTRE, 61 HOI YUEN ROAD, KWUN TONG, KOWLOON, K3, 00000, 852-21917155 - 0 ($101,487,466.75) Equity, (File 333-185212 - Nov. 30) (BR. 06A) S-3 HYUNDAI ABS FUNDING CORP, 3161 MICHELSON DRIVE, SUITE 1900, IRVINE, CA, 92612, 949-732-2697 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-185213 - Nov. 30) (BR. OSF) S-3 MGT CAPITAL INVESTMENTS INC, 500 MAMARONECK AVENUE - SUITE 204, HARRISON, NY, 10528, (914) 630-7430 - 4,141,086 ($18,676,298.00) Equity, (File 333-185214 - Nov. 30) (BR. 03C) S-1 Stevia First Corp., 5225 CARLSON ROAD, YUBA CITY, CA, 95993, 530-231-7800 - 2,508,572 ($1,003,428.80) Equity, (File 333-185215 - Nov. 30) (BR. 09B) S-8 NetApp, Inc., 495 EAST JAVA DR, SUNNYVALE, CA, 94089, 4088226000 - 268,254 ($5,124,220.29) Equity, (File 333-185216 - Nov. 30) (BR. 03A) S-3ASR NetApp, Inc., 495 EAST JAVA DR, SUNNYVALE, CA, 94089, 4088226000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-185217 - Nov. 30) (BR. 03A) S-3ASR Bancorp, Inc., 302-385-5000 - 100,000,000 ($100,000,000.00) Equity, (File 333-185218 - Nov. 30) (BR. 07C) S-4 Momentive Performance Materials Inc., 22 CORPORATE WOODS BLVD, 2ND FLOOR, ALBANY, NY, 12211, 518-533-4703 - 0 ($1,100,000,000.00) Non-Convertible Debt, (File 333-185219 - Nov. 30) (BR. 06C) S-1 DYNAMICS RESEARCH CORP, 60 FRONTAGE ROAD, ANDOVER, MA, 01810-5498, 9784759090 - 148,466 ($1,478,961.00) Equity, (File 333-185220 - Nov. 30) (BR. 03B) S-3 FUELCELL ENERGY INC, 3 GREAT PASTURE RD, DANBURY, CT, 06813, 2038256000 - 20,000,000 ($17,400,000.00) Equity, (File 333-185221 - Nov. 30) (BR. 10A) S-1 Vantiv, Inc., 8500 GOVERNOR'S HILL DRIVE, SYMMES TOWNSHIP, OH, 45249, 513-900-5250 - 0 ($245,456,000.00) Equity, (File 333-185222 - Nov. 30) (BR. 02) S-8 Emerald Oil, Inc., 1600 BROADWAY, SUITE 1040, DENVER, CO, 80202, (303) 323-0008 - 2,785,714 ($14,095,713.00) Equity, (File 333-185224 - Nov. 30) (BR. 04A) S-1 Kips Bay Medical, Inc., 3405 ANNAPOLIS LANE, MINNEAPOLIS, MN, 55447, 763-235-3540 - 0 ($22,006,875.00) Equity, (File 333-185225 - Nov. 30) (BR. 10B) S-3 Bancorp, Inc., 302-385-5000 - 100,000,000 ($100,000,000.00) Equity, (File 333-185226 - Nov. 30) (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
-----------------------------------------------------------------------------------------
11 GOOD ENERGY INC DE 4.01,9.01 11/02/12 AMEND
ABBOTT LABORATORIES IL 1.01,5.02,9.01 11/28/12
ABRAXAS PETROLEUM CORP NV 7.01,9.01 11/30/12
ACCURAY INC DE 5.07 11/30/12
Aircastle LTD D0 1.01,2.03,3.03,9.01 11/30/12
AK STEEL HOLDING CORP DE 7.01,9.01 11/29/12
ALBANY MOLECULAR RESEARCH INC DE 2.05,7.01,9.01 11/29/12
ALERE INC. DE 1.01,8.01,9.01 11/28/12
Ally Financial Inc. DE 8.01,9.01 11/28/12
Alon USA Energy, Inc. DE 1.01,9.01 11/26/12
Alon USA Partners, LP DE 1.01,9.01 11/26/12
Altisource Asset Management Corp VI 5.02 11/26/12
AMERICAN AIRLINES INC DE 7.01,8.01,9.01 11/30/12
AMERICAN APPAREL, INC DE 7.01,9.01 11/29/12
AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 11/30/12
AMERICAN POWER GROUP Corp DE 3.01,7.01,9.01 11/27/12
American Realty Capital Properties, I MD 8.01,9.01 11/29/12
AMERICAN SIERRA GOLD CORP. NV 1.02 11/29/12
AMERIGROUP CORP 8.01,9.01 11/30/12
Ameris Bancorp GA 8.01,9.01 11/30/12
AMR CORP DE 7.01,8.01,9.01 11/30/12
AMTECH SYSTEMS INC AZ 9.01 03/10/08
Anacor Pharmaceuticals Inc DE 8.01 11/28/12
ANCHOR BANCORP WISCONSIN INC WI 1.01,9.01 11/30/12
ANN INC. DE 5.02 11/26/12
APPLE REIT SIX INC 8.01,9.01 11/30/12
Applied Minerals, Inc. DE 7.01,9.01 11/29/12
APRIA HEALTHCARE GROUP INC DE 5.02,9.01 11/29/12
Arista Power, Inc. NY 7.01,9.01 11/30/12
ARK RESTAURANTS CORP NY 8.01,9.01 11/29/12
Armada Oil, Inc. NV 7.01,8.01,9.01 11/30/12
ARUBA NETWORKS, INC. DE 5.07 11/29/12
Ascent Capital Group, Inc. DE 7.01,9.01 11/28/12
Aspect Software Group Holdings Ltd. DE 5.02 11/26/12
AT&T INC. DE 8.01,9.01 11/29/12
ATLANTIC POWER CORP A1 8.01,9.01 11/29/12
ATLANTIC POWER CORP A1 8.01,9.01 11/30/12
ATP OIL & GAS CORP TX 7.01,9.01 11/30/12
Avago Technologies LTD U0 5.02,9.01 11/30/12
AVANIR PHARMACEUTICALS, INC. DE 2.02,9.01 11/27/12
AXCELIS TECHNOLOGIES INC DE 3.01 11/26/12
BALCHEM CORP MD 7.01,9.01 11/30/12
Bank of Commerce Holdings CA 5.02 11/30/12
BankGuam Holding Co 8.01,9.01 11/26/12
BankUnited, Inc. DE 5.02,9.01 10/09/12
Baoshinn Corp NV 1.01,9.01 11/28/12
BE AEROSPACE INC DE 5.02 07/23/12
BILL BARRETT CORP DE 7.01,9.01 11/29/12
BIOCRYST PHARMACEUTICALS INC DE 1.02,8.01,9.01 11/29/12
BIOPACK ENVIRONMENTAL SOLUTIONS INC. NV 1.01,2.01,3.02,5.02, 04/27/12
9.01
BROADSOFT, INC. DE 5.02 11/26/12
BTU INTERNATIONAL INC DE 5.02 11/26/12
CAI International, Inc. 1.01,8.01,9.01 11/28/12
Capitol Federal Financial Inc MD 7.01 11/30/12
CARDICA INC DE 3.01 11/28/12
CASCADE CORP OR 2.02,9.01 11/28/12
CBIZ, Inc. DE 8.01,9.01 11/26/12
CELL THERAPEUTICS INC WA 2.02,7.01,9.01 11/30/12
CenterState Banks, Inc. FL 7.01,9.01 11/30/12
CENTRAL ENERGY PARTNERS LP DE 8.01,9.01 11/29/12
CHEMBIO DIAGNOSTICS, INC. NV 7.01 11/30/12
CHINA JO-JO DRUGSTORES, INC. 5.02,8.01,9.01 11/30/12
CHINA MARINE FOOD GROUP LTD NV 5.07 11/21/12
CHS INC MN 8.01 11/30/12
Citizens Community Bancorp Inc. MD 5.02 11/29/12
CLAIRES STORES INC DE 2.02,9.01 11/29/12
CLEAN HARBORS INC MA 1.01,9.01 11/27/12
CLEAN WIND ENERGY TOWER, INC. NV 1.01,9.01 11/27/12
COAST DISTRIBUTION SYSTEM INC DE 7.01,9.01 11/29/12
COLE CREDIT PROPERTY TRUST IV, INC. MD 1.01 11/26/12
Colorado Gold Mines, Inc. 5.01 11/29/12
Commercial Vehicle Group, Inc. DE 5.02 11/27/12
Compass Diversified Holdings DE 5.02,9.01 11/30/12
CompuCredit Holdings Corp 5.03,9.01 11/28/12
Computer Vision Systems Laboratories FL 4.02,9.01 11/26/12
CORCEPT THERAPEUTICS INC DE 8.01 11/26/12
COSI INC DE 3.01 11/26/12
CUMBERLAND PHARMACEUTICALS INC 2.05 11/29/12
DAEGIS INC. DE 2.02,9.01 11/29/12
DAWSON GEOPHYSICAL CO TX 5.02,5.03,9.01 11/27/12
DAYSTAR TECHNOLOGIES INC DE 1.02,9.01 11/30/12
DELTA APPAREL, INC GA 5.02 11/26/12
DIAGNOSTIC IMAGING INTERNATIONAL CORP NV 1.01 11/29/12
Digital Generation, Inc. DE 8.01,9.01 11/30/12
DOVER Corp DE 7.01,8.01,9.01 11/30/12
DST SYSTEMS INC DE 1.01,9.01 11/27/12
Eagle Bancorp Montana, Inc. 2.01,9.01 11/30/12
EAGLE MATERIALS INC DE 2.01,2.03,9.01 11/30/12
EASTMAN KODAK CO NJ 7.01,9.01 10/31/12
EDISON INTERNATIONAL CA 8.01 11/29/12
EDUCATIONAL DEVELOPMENT CORP DE 8.01,9.01 11/30/12
El Paso Pipeline Partners, L.P. DE 7.01 11/29/12
Electromed, Inc. 8.01,9.01 11/29/12
Emdeon Inc. DE 5.02 11/28/12
ENTRAVISION COMMUNICATIONS CORP DE 8.01,9.01 11/29/12
ENZON PHARMACEUTICALS INC DE 8.01,9.01 11/29/12
EQUITY RESIDENTIAL MD 2.03,3.02,8.01,9.01 11/26/12
EQUITY RESIDENTIAL MD 9.01 11/26/12 AMEND
ESP Resources, Inc. NV 8.01 11/21/12
EverBank Financial Corp DE 8.01 11/30/12
EWaste Systems, Inc. NV 5.02,8.01,9.01 11/28/11
EXELIXIS, INC. DE 8.01 11/29/12
Expedia, Inc. DE 5.02 11/29/12
EXXON MOBIL CORP NJ 5.02 11/28/12
FARMERS & MERCHANTS BANCORP DE 8.01,9.01 11/29/12
Federal Home Loan Bank of Dallas 2.03,9.01 11/27/12
Fifth & Pacific Companies, Inc. DE 3.02 11/26/12
FIFTH THIRD BANCORP OH 7.01,9.01 11/30/12
FIRST BANCSHARES INC /MS/ MS 7.01 11/30/12
FIRST UNITED CORP/MD/ MD 5.02 11/28/12
Flagstone Reinsurance Holdings, S.A. N4 1.02,3.01,3.03,5.01, 11/26/12
5.02,5.03,9.01
Flux Power Holdings, Inc. NV 8.01,9.01 11/30/12
FNB BANCORP/CA/ 8.01,9.01 11/30/12
Foreclosure Solutions, Inc. TX 5.01,5.02,9.01 11/16/12
FORUM ENERGY TECHNOLOGIES, INC. DE 7.01,9.01 11/29/12
GENERAL EMPLOYMENT ENTERPRISES INC IL 4.01,9.01 11/26/12
General Finance CORP DE 8.01,9.01 11/30/12
GENESCO INC TN 2.02,9.01 11/30/12
GEOPETRO RESOURCES CO CA 4.01,9.01 11/19/12 AMEND
Global Ecology Corp NV 8.01 11/29/12
Granite Falls Energy, LLC MN 7.01,9.01 11/30/12
GRAPHIC PACKAGING HOLDING CO DE 8.01,9.01 11/28/12
Graystone Co DE 8.01 11/30/12
GULF ISLAND FABRICATION INC LA 8.01,9.01 11/30/12
Hanesbrands Inc. MD 8.01,9.01 11/29/12
HARMONIC ENERGY, INC. NV 1.01,9.01 05/22/12
HARVEST NATURAL RESOURCES, INC. DE 1.01,9.01 11/30/12
HEALTH CARE REIT INC /DE/ DE 8.01,9.01 11/27/12
HEALTH MANAGEMENT ASSOCIATES, INC DE 2.02,9.01 11/29/12
HEALTHCARE REALTY TRUST INC MD 8.01 11/30/12
Heckmann Corp DE 7.01,9.01 11/30/12
HI TECH PHARMACAL CO INC NY 7.01,9.01 11/30/12
HINES REAL ESTATE INVESTMENT TRUST IN 8.01 11/29/12
HPIL HOLDING NV 8.01 09/30/12
ICON Equipment & Corporate Infrastruc DE 8.01 11/30/12
ICON LEASING FUND ELEVEN, LLC DE 8.01 11/30/12
ICON LEASING FUND TWELVE, LLC DE 8.01 11/30/12
IDACORP INC ID 7.01,9.01 11/30/12
IDERA PHARMACEUTICALS, INC. DE 3.01 11/26/12
INERGY MIDSTREAM, L.P. 1.01,7.01,9.01 11/29/12
INFORMATICA CORP DE 5.02 07/19/12 AMEND
INTERLEUKIN GENETICS INC DE 1.01,9.01 11/30/12
INTERLEUKIN GENETICS INC DE 5.02,9.01 11/29/12
INTERMUNE INC DE 5.02 11/26/12
ITEX CORP NV 1.01,2.03,7.01,8.01, 11/26/12
9.01
JAMESON STANFORD RESOURCES Corp 1.01,2.01,3.02,4.01, 10/29/12 AMEND
5.01,5.02,5.06,9.01
JOHNSON OUTDOORS INC WI 2.02,9.01 11/30/12
KANSAS CITY SOUTHERN DE 1.01,2.03,7.01,9.01 11/29/12
Kansas City Southern de Mexico, S.A. 1.01,2.03,7.01,9.01 11/29/12
KAR Auction Services, Inc. DE 1.01,8.01,9.01 11/29/12
KIMCO REALTY CORP MD 1.01,9.01 11/28/12
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 11/29/12
KINDER MORGAN MANAGEMENT LLC DE 7.01 11/29/12
KINDER MORGAN, INC. DE 7.01 11/29/12
LANDAUER INC DE 8.01,9.01 11/29/12
LAPIS TECHNOLOGIES INC DE 1.01,5.02 11/26/12
LEUCADIA NATIONAL CORP NY 8.01,9.01 11/30/12
LICONT, CORP. NV 1.01,5.01,5.02,9.01 08/31/12 AMEND
LIQUIDITY SERVICES INC DE 7.01,9.01 11/29/12
LRR Energy, L.P. DE 8.01 11/29/12
LTX-CREDENCE CORP MA 5.07 11/28/12
LYDALL INC /DE/ DE 5.02 11/26/12
Madison Square Garden Co DE 5.07 11/29/12
Marina Biotech, Inc. DE 1.01,8.01,9.01 11/28/12
Marriott Vacations Worldwide Corp DE 1.01,8.01,9.01 11/30/12
Mastech Holdings, Inc. PA 8.01,9.01 11/29/12
MEDIENT STUDIOS, INC. NV 1.01,9.01 11/26/12
MENDOCINO BREWING CO INC CA 1.01 11/27/12
MERIT MEDICAL SYSTEMS INC UT 9.01 11/26/12 AMEND
Mesa Energy Holdings, Inc. DE 8.01,9.01 11/30/12
Mesa Energy Holdings, Inc. DE 8.01,9.01 11/30/12 AMEND
MGIC INVESTMENT CORP WI 1.01,8.01,9.01 11/30/12
MIDAMERICAN ENERGY CO IA 5.02 11/28/12
MISCOR GROUP, LTD. IN 1.01,2.03,9.01 11/30/12
MISSION COMMUNITY BANCORP CA 5.02 11/27/12
MONITRONICS INTERNATIONAL INC TX 7.01,9.01 11/28/12
MPG Office Trust, Inc. MD 1.01,5.02,8.01,9.01 11/28/12
MURPHY OIL CORP /DE DE 8.01,9.01 11/27/12
NABORS INDUSTRIES LTD D0 1.01,1.02,9.01 11/29/12
NAKED BRAND GROUP INC. NV 2.01,3.02,4.01,5.01, 07/30/12 AMEND
5.02,5.03,5.06,9.01
NASDAQ OMX GROUP, INC. DE 8.01 11/26/12
NATIONAL HEALTH INVESTORS INC MD 5.02 11/27/12
NATIONAL SECURITY GROUP INC DE 8.01 11/30/12
Neiman Marcus, Inc. DE 1.01,2.03,8.01 11/29/12
Net Element International, Inc. E9 1.01,9.01 11/26/12
NeurogesX Inc CA 2.05,8.01 11/29/12
Neutral Tandem Inc 5.02,9.01 11/28/12
NEW FRONTIER MEDIA INC CO 2.01,3.01,3.02,3.03, 11/28/12
5.01,5.02,5.03,9.01
NEWBRIDGE BANCORP NC 3.02,3.03,5.03,9.01 11/29/12
NEWPORT CORP NV 5.02,9.01 11/29/12
NEWS CORP 8.01,9.01 11/30/12
NEXSTAR BROADCASTING GROUP INC DE 8.01,9.01 11/29/12
North American Oil & Gas Corp. NV 1.01,2.01,3.02,3.03, 11/20/12
5.01,5.03,5.06,9.01
NORTHWEST INDIANA BANCORP IN 8.01,9.01 11/30/12
NTELOS HOLDINGS CORP 7.01 11/30/12
O REILLY AUTOMOTIVE INC 8.01 11/29/12
OCEANEERING INTERNATIONAL INC DE 7.01 11/30/12
ONEOK INC /NEW/ OK 7.01,9.01 11/30/12
ONEOK Partners LP DE 7.01,9.01 11/30/12
Opexa Therapeutics, Inc. TX 3.01 11/26/12
OPT SCIENCES CORP NJ 8.01,9.01 11/30/12
Orexigen Therapeutics, Inc. DE 5.02 11/29/12
ORGANA GARDENS INTERNATIONAL 1.01 11/23/12
ORION ENERGY SYSTEMS, INC. WI 5.02,9.01 11/27/12
PACIFIC FINANCIAL CORP WA 8.01 11/28/12
PACIFIC GOLD CORP NV 8.01 11/27/12
PACIFIC PREMIER BANCORP INC DE 8.01,9.01 11/30/12
PALL CORP NY 2.02,9.01 11/28/12
PARK NATIONAL CORP /OH/ OH 8.01 11/30/12
Patriot Minefinders Inc. NV 7.01,9.01 11/28/12
PATRIOT NATIONAL BANCORP INC CT 2.02,9.01 11/29/12
Peoples Federal Bancshares, Inc. 8.01,9.01 11/30/12
PINNACLE AIRLINES CORP DE 7.01,9.01 11/29/12
PIPER JAFFRAY COMPANIES DE 1.01,2.03,9.01 11/30/12
PLAINS EXPLORATION & PRODUCTION CO DE 1.01,2.01,2.03,9.01 11/30/12
POWERWAVE TECHNOLOGIES INC DE 3.01 11/27/12
Probe Manufacturing Inc NV 5.07 11/28/12
PROGENICS PHARMACEUTICALS INC DE 1.01,8.01,9.01 11/29/12
ProUroCare Medical Inc. NV 1.01,2.03,8.01,9.01 11/29/12
PSB HOLDINGS INC /WI/ WI 5.02,8.01,9.01 11/28/12
PUB CRAWL HOLDINGS, INC. NV 1.01,2.01,3.02,9.01 11/28/12
PUB CRAWL HOLDINGS, INC. NV 3.02,5.01,5.02 11/27/12
PUB CRAWL HOLDINGS, INC. NV 3.02,5.01,5.02 11/27/12 AMEND
RAYMOND JAMES FINANCIAL INC FL 5.03,9.01 11/29/12
RED MOUNTAIN RESOURCES, INC. FL 5.02,9.01 11/30/12
REGAL ENTERTAINMENT GROUP DE 8.01,9.01 11/29/12
RETAIL OPPORTUNITY INVESTMENTS CORP DE 5.02,9.01 11/30/12
REXAHN PHARMACEUTICALS, INC. DE 1.01,8.01,9.01 11/29/12
RICKS CABARET INTERNATIONAL INC TX 9.01 09/17/12 AMEND
Roadrunner Transportation Systems, In DE 5.02 11/28/12
SALEM COMMUNICATIONS CORP /DE/ DE 5.02 10/20/12
SALESFORCE COM INC DE 5.02,7.01 11/27/12
SANTARUS INC DE 1.01 11/30/12
SARATOGA RESOURCES INC /TX TX 1.01,7.01,9.01 11/29/12
SBT Bancorp, Inc. CT 5.02,9.01 11/29/12
SEARS HOLDINGS CORP DE 5.02,9.01 11/30/12
Sears Hometown & Outlet Stores, Inc. DE 2.02,9.01 11/30/12
SemiLEDs Corp 8.01,9.01 11/30/12
Shire plc 8.01,9.01 11/30/12
Silver Dragon Resources Inc. DE 1.01 11/30/12
SOUNDBITE COMMUNICATIONS INC 8.01,9.01 11/29/12
SOUTHERN CALIFORNIA EDISON CO CA 8.01 11/29/12
Southern National Bancorp of Virginia VA 8.01,9.01 11/29/12
SPARTAN MOTORS INC MI 1.01 11/30/12
STAGE STORES INC NV 8.01,9.01 11/29/12
STEIN MART INC FL 5.02 11/30/12
STERLING FINANCIAL CORP /WA/ WA 8.01 11/30/12
STRATASYS INC DE 8.01,9.01 11/30/12
SunCoke Energy, Inc. 8.01 11/30/12
Superior Venture Corp NV 1.01,9.01 11/30/12
Superior Venture Corp NV 7.01,9.01 11/29/12
SYSTEMAX INC DE 8.01,9.01 11/29/12
T3 Motion, Inc. DE 1.01,2.03,3.02,3.03, 11/26/12
5.02,8.01,9.01
TAYLOR CAPITAL GROUP INC DE 5.02 11/29/12
TE Connectivity Ltd. V8 5.03,9.01 11/30/12
TELLABS INC DE 5.02,8.01,9.01 11/29/12
TEMPUR PEDIC INTERNATIONAL INC DE 8.01,9.01 11/30/12
TENET HEALTHCARE CORP NV 5.02,9.01 11/26/12
TEREX CORP DE 1.01,2.03,3.03,8.01, 11/26/12
9.01
TESSCO TECHNOLOGIES INC DE 5.02 11/27/12
TIMKEN CO OH 1.01,2.03,9.01 11/30/12
TPC Group Inc. DE 8.01,9.01 11/29/12
TRANS ENERGY INC NV 7.01 11/26/12
TRANS ENERGY INC NV 7.01,9.01 11/27/12
TUESDAY MORNING CORP/DE DE 5.02,9.01 11/28/12
TUTOR PERINI Corp MA 5.02 11/30/12
UNITED NATURAL FOODS INC DE 2.02,9.01 11/30/12
UniTek Global Services, Inc. DE 2.01,9.01 09/13/12 AMEND
UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 11/30/12
VALIDUS HOLDINGS LTD 2.01,2.03,3.02,9.01 11/30/12
VALLEY FORGE COMPOSITE TECHNOLOGIES, FL 8.01,9.01 11/29/12
Vantage Drilling CO E9 5.05,9.01 11/27/12
Vantiv, Inc. 2.01,8.01,9.01 11/30/12
VECTREN CORP IN 8.01 11/28/12
VEECO INSTRUMENTS INC DE 3.01,9.01 11/26/12
VERISIGN INC/CA DE 1.01,9.01 11/29/12
Viacom Inc. DE 8.01,9.01 11/26/12
Village Bank & Trust Financial Corp. 3.01 11/28/12
VIRTUAL PIGGY, INC. DE 3.02 11/30/12
Vulcan Materials CO NJ 1.04 11/27/12
W. S. Industries, Inc. NV 5.02 11/30/12
WESTMOUNTAIN INDEX ADVISOR INC CO 8.01,9.01 11/26/12
WHITEWAVE FOODS Co DE 2.02,9.01 11/30/12
WHOLE FOODS MARKET INC TX 8.01,9.01 11/29/12
WIRELESS RONIN TECHNOLOGIES INC MN 3.03,5.03,8.01,9.01 11/28/12
Writers Group Film Corp DE 5.02 11/30/12
X-CHANGE CORP NV 1.02,2.01,3.02 11/30/12
YAHOO INC DE 8.01,9.01 11/30/12
YUM BRANDS INC NC 8.01,9.01 11/29/12
ZILLOW INC WA 2.01,7.01,9.01 11/30/12
ZYTO CORP 5.02 11/26/12
http://www.sec.gov/news/digest/2012/dig120312.htm
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