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Commission AnnouncementsDanforth Townley Named Attorney Fellow in SEC’s Division of Investment ManagementThe Securities and Exchange Commission today announced that Danforth Townley has been appointed an Attorney Fellow in its Division of Investment Management, which protects investors and promotes capital formation through oversight and regulation of the nation’s multi-trillion dollar investment management industry. Mr. Townley will provide counsel on rulemaking issues and other policy initiatives beginning in January 2013. “We are pleased to announce that Dan is joining the Division of Investment Management. He has longtime experience in private practice in advising hedge funds, private equity funds, and investment companies that will be helpful to the Division,” said Norm Champ, Director of the SEC’s Division of Investment Management. Mr. Townley said, “I’m extremely excited to have this opportunity to serve at the SEC during this busy period of regulatory change for the financial industry. I look forward to working with Norm Champ and the staff of the Division of Investment Management on important rulemaking activities and other regulatory initiatives.” Mr. Townley comes to the SEC from law firm Davis Polk & Wardwell, where he is a partner in the firm’s Corporate Department and practices in its Investment Management Group in New York. He has advised clients on investment funds and related corporate finance transactions including the structuring and offering of hedge funds, private equity funds, and other investment vehicles. Mr. Townley has advised financial institutions, fund sponsors, corporations, employees’ securities companies, and other entities about regulatory compliance and exemptions pertaining to the Investment Company Act of 1940 and the Investment Advisers Act of 1940. He has served as Chair of the Practising Law Institute’s Annual Conference on Hedge Funds and as a regular panelist on investment fund topics. From 1985 to 1986, Mr. Townley clerked for the Honorable Robert W. Sweet, U.S. District Court for the Southern District of New York. Mr. Townley has a B.A. from Yale College, magna cum laude, and a J.D. from Yale Law School, where he served as editor of The Yale Law Journal. (Press Rel. 2012-265) Enforcement ProceedingsCommission Bars John W. Lawton Following His Injunction for Anti-Fraud Violations of the Securities LawsThe Commission has barred John W. Lawton, formerly associated with Crossroad Capital Management, LLC, an investment adviser, from association with any investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The Commission found that Lawton consented to a permanent injunction from anti-fraud securities law violations based on his fraudulent statements to investors, and was ordered to disgorge more than $1.7 million in ill-gotten gains. The Commission also found that Lawton pleaded guilty to criminal mail fraud and to making a false statement to mislead the Commission's fraud investigation, and was sentenced to seventy months' imprisonment and ordered to pay more than $7 million in restitution. The Commission determined that the Dodd-Frank Wall Street Reform and Consumer Protection Act authorized its decision to simultaneously bar Lawton from association with investment advisers, brokers, dealers, municipal securities dealers, municipal advisors, transfer agents, and NRSROs. Noting that the case addressed Lawton's conduct prior to the passage of Dodd-Frank in 2010, the Commission held that these remedies were not retroactive, finding that the bars were prospective remedies authorized by Congress "to protect investors from future harm." Based on the facts underlying Lawton's injunction and conviction, the Commission determined that the public interest requires a full securities industry bar, noting that his conduct "financially enriched Lawton while he knowingly concealed millions of dollars" in investor losses and constituted a "longstanding pattern" demonstrating unfitness for the securities markets in any capacity. It found that the bars are necessary to foreclose "opportunities for future illegal conduct" in the industry, and that his conduct during the Commission investigation "reveals an attitude toward regulatory oversight that is fundamentally incompatible with the principles of investor protection and with association in any capacity" in the securities industry. Commissioners Paredes and Gallagher concurred in part and dissented with respect to the bar from association with municipal advisors and nationally recognized statistical rating organizations. A dissenting opinion will issue separately. (Rel. IA-3513; File No. 3-14162) INVESTMENT COMPANY ACT RELEASESColumbia ETF Trust, et al.An order has been issued on an application filed by Columbia ETF Trust, et al., under Sections 6(c) and 17(b) of the Investment Company Act of 1940 (Act) for an exemption from Section 17(a) of the Act. The order permits registered investment companies for which certain direct or indirect wholly owned subsidiaries of Ameriprise Financial, Inc. act as an investment adviser to engage in certain primary and secondary market principal transactions in fixed income instruments with Merrill Lynch, Pierce, Fenner and Smith Incorporated (MLPF&S) and Bank of America, N.A. (BANA), including an internal division of BANA as well as affiliates of MLPF&S and BANA. (Rel. IC-30301 — December 11) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NYSE Arca, Inc. amending the NYSE Arca Options Fee Schedule (SR-NYSEArca-2012-137) 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 17. (Rel. 34-68405) A proposed rule change filed by NASDAQ OMX PHLX LLC relating to strategies (SR- Phlx-2012-138) 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 17. (Rel. 34-68406) A proposed rule change filed by the NYSE MKT, LLC, proposing to amend the NYSE Amex Options Fee Schedule for Professional Customers and Broker-Dealers to modify existing volume-based tiers and the associated rate per contract for certain electronic executions (SR-NYSEMKT-2012-74), 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 17. (Rel. 34-68407) A proposed rule change filed by BOX Options Exchange LLC to eliminate market maker pre-opening obligations on BOX (SR-BOX-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 17. (Rel. 34-68412) A proposed rule change filed by International Securities Exchange, LLC to amend the Schedule of Fees (SR-ISE-2012-91) 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 17. (Rel. 34-68413) A proposed rule change filed by Miami International Securities Exchange, LLC, to adopt the MIAX Options Fee Schedule (SR-MIAX-2012-01) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. Publication is expected in the Federal Register during the week of December 17. (Rel. 34-68415) Approval of Proposed Rule ChangeThe Commission approved a proposed rule change filed pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder by NYSE Arca, Inc. (SR-NYSEArca-2012-117) to list and trade shares of the Pring Turner Business Cycle ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of December 17. (Rel. 34-68408) Proposed Rule ChangeThe Financial Industry Regulatory Authority, Inc. has filed a proposed rule change (SR-FINRA-2012-052) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to require members to report the Factor to TRACE in Asset-Backed Security transactions (except an Asset-Backed Security traded TBA), in the limited instances when members effect such transactions as agent and charge a commission. Publication is expected in the Federal Register during the week of December 17. (Rel. 34-68414) SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-4 FIRST BANCORP /PR/, 1519 PONCE DE LEON AVE, SANTURCE, SAN JUAN, PR, 00908-0146, 7877298200 - 0 ($44,051,379.00) Equity, (File 333-185393 - Dec. 12) (BR. 07B) F-1 North Atlantic Drilling Ltd., PAR-LA-VILLE PLACE, 4TH FLOOR, 14 PAR-LA-VILLE ROAD, HAMILTON, D0, HM 08, 14412959500 - 0 ($40,000,000.00) Equity, (File 333-185394 - Dec. 12) (BR. 04) S-3 ENERGY CORP OF AMERICA, 4643 SOUTH ULSTER STREET, SUITE 1100, DENVER, CO, 80237, 3036942667 - 0 ($73,572,886.00) Equity, (File 333-185396 - Dec. 12) (BR. 04C) S-4 ECA Marcellus Trust I, C/O BNY MELLON, 919 CONGRESS AVE. STE 500, AUSTIN, TX, 78701, 800-852-1422 - 0 ($63,993,212.00) Equity, (File 333-185397 - Dec. 12) (BR. 04A) S-3ASR ACCESS MIDSTREAM PARTNERS LP, 900 NW 63RD STREET, OKLAHOMA CITY, OK, 73118, (405) 935-1500 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-185398 - Dec. 12) (BR. 02C) S-8 FOREIGN TRADE BANK OF LATIN AMERICA, INC., BUSINESS PARK, TORRE V, PISO 5, AVENIDA LA ROTONDA, URBANIZACI?N COSTA DEL ESTE, R1, 000000, 5072108674 - 3,000,000 ($62,580,000.00) Equity, (File 333-185399 - Dec. 12) (BR. 07B) S-3D CHEMUNG FINANCIAL CORP, ONE CHEMUNG CANAL PLZ, P O BOX 1522, ELMIRA, NY, 14902, 6077373711 - 0 ($2,578,000.00) Equity, (File 333-185400 - Dec. 12) (BR. 07C) S-8 PROTECTIVE LIFE CORP, 2801 HGWY 280 S, BIRMINGHAM, AL, 35223, 2052683596 - 0 ($54,100,000.00) Equity, (File 333-185407 - Dec. 12) (BR. 01A) S-1 Sipup Corp, SUITE 572 - 5348 VEGAS DR, LAS VEGAS, NV, 89108, 498001813076 - 1,000,000 ($50,000.00) Equity, (File 333-185408 - Dec. 12) (BR. ) S-4 CROSSTEX ENERGY LP, 0 ($250,000,000.00) Debt, (File 333-185409 - Dec. 12) (BR. 04B) S-8 PEREGRINE PHARMACEUTICALS INC, 14282 FRANKLIN AVE, TUSTIN, CA, 92780, 7145086000 - 8,000,000 ($9,680,000.00) Equity, (File 333-185423 - Dec. 12) (BR. 01B) S-8 Ingersoll-Rand plc, 170/175 LAKEVIEW DRIVE, AIRSIDE BUSINESS PARK, SWORDS,, CO. DUBLIN, L2, 00000, 732-652-7000 - 15,000,000 ($719,850,000.00) Equity, (File 333-185428 - Dec. 12) (BR. 10A) S-8 Ingersoll-Rand plc, 170/175 LAKEVIEW DRIVE, AIRSIDE BUSINESS PARK, SWORDS,, CO. DUBLIN, L2, 00000, 732-652-7000 - 36,000 ($1,727,640.00) Equity, (File 333-185429 - Dec. 12) (BR. 10A) S-1 OMEGA COMMERCIAL FINANCE CORP, 200 S. BISCAYNE BLVD SUITE 4450, MIAMI, FL, 33131, 305-677-0306 - 24,800,250 ($2,480,025.00) Equity, (File 333-185430 - Dec. 12) (BR. 07C) S-8 ZIOPHARM ONCOLOGY INC, 1180 AVENUE OF THE AMERICA, 19TH FLOOR, NEW YORK, NY, 10036, 646-214-0700 - 4,000,000 ($16,240,000.00) Equity, (File 333-185433 - Dec. 12) (BR. 01B) S-8 KORN FERRY INTERNATIONAL, 1900 AVENUE OF THE STARS, SUITE 2600, LOS ANGELES, CA, 90067, 3105521834 - 0 ($75,994,765.00) Equity, (File 333-185438 - Dec. 12) (BR. 08C) S-8 CYPRESS SEMICONDUCTOR CORP /DE/, 198 CHAMPION COURT, SAN JOSE, CA, 95134, 4089432600 - 3,495,388 ($35,196,028.62) Equity, (File 333-185439 - Dec. 12) (BR. 10A) 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
-----------------------------------------------------------------------------------------
3M CO DE 2.02,9.01 12/12/12
AASTROM BIOSCIENCES INC MI 5.02,7.01,9.01 12/12/12
ACACIA RESEARCH CORP DE 8.01 12/05/12
ACADIA PHARMACEUTICALS INC DE 1.01,3.02,8.01,9.01 12/12/12
ACCESS MIDSTREAM PARTNERS LP DE 1.01,7.01,9.01 12/11/12
ADVANT E CORP DE 8.01,9.01 12/12/12
ALERE INC. DE 5.02,9.01 12/12/12
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 12/12/12
Alliance HealthCare Services, Inc CA 8.01,9.01 12/07/12
ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 12/11/12
ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 12/11/12
Altisource Portfolio Solutions S.A. N4 8.01,9.01 12/12/12
AMARIN CORP PLC\UK X0 1.01,2.03,5.02,8.01, 12/06/12
9.01
American Energy Development Corp. NV 5.02 12/06/12
AMERICAN EXPRESS CO NY 8.01,9.01 12/12/12
AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 12/12/12
American Realty Capital Trust, Inc. DE 8.01,9.01 12/12/12
AMERISOURCEBERGEN CORP DE 7.01,9.01 12/12/12
AMN HEALTHCARE SERVICES INC DE 5.02 12/10/12
Approach Resources Inc DE 5.02,7.01,9.01 12/04/12
ARCA biopharma, Inc. DE 8.01,9.01 12/12/12
ARMSTRONG WORLD INDUSTRIES INC PA 7.01,8.01,9.01 12/12/12
ARROWHEAD RESEARCH CORP DE 8.01,9.01 12/07/12
ARTHROCARE CORP DE 7.01 12/07/12
Artio Global Investors Inc. DE 7.01,9.01 12/12/12
Ascena Retail Group, Inc. DE 5.07 12/11/12
Astex Pharmaceuticals, Inc DE 5.02 12/06/12
AT&T INC. DE 1.01,2.03,9.01 12/11/12
ATMOS ENERGY CORP TX 1.01,1.02,2.03,9.01 12/05/12 AMEND
AUTOZONE INC NV 5.02,5.07,9.01 12/11/12
AVNET INC NY 5.02,9.01 12/10/12
AVON PRODUCTS INC NY 2.05 12/10/12
BEHRINGER HARVARD MULTIFAMILY REIT I 8.01 12/11/12
BELDEN INC. DE 1.01,2.01,2.03,7.01, 12/10/12
9.01
Bergio International, Inc. DE 5.03,9.01 11/29/12
Berkshire Homes, Inc. NV 3.03,5.03,9.01 12/11/12
BGC Partners, Inc. DE 1.01,8.01,9.01 12/12/12
Bio-Matrix Scientific Group, Inc. DE 4.01,9.01 12/04/12 AMEND
BioRestorative Therapies, Inc. NV 5.07 12/07/12
BLACK HILLS CORP /SD/ SD 8.01 12/11/12
Black Ridge Oil & Gas, Inc. DE 1.01,3.03,5.03,9.01 12/10/12
BLUE CALYPSO, INC. DE 1.01,3.02,9.01 12/12/12
BOSTON BEER CO INC MA 2.02,9.01 12/12/12
BRAINSTORM CELL THERAPEUTICS INC. DE 7.01,8.01,9.01 12/09/12
BRANDYWINE REALTY TRUST MD 8.01,9.01 12/12/12
BreitBurn Energy Partners L.P. DE 1.01,7.01,9.01 12/11/12
BROWN FORMAN CORP DE 1.01,2.03,7.01,9.01 12/10/12
BRT REALTY TRUST MA 2.01,9.01 12/12/12
Bullfrog Gold Corp. DE 1.01,2.03,3.02,9.01 12/10/12
Business Development Corp of America MD 1.01,9.01 12/07/12
CA, INC. DE 5.02,7.01,9.01 12/10/12
CADENCE PHARMACEUTICALS INC 1.01,1.02,8.01,9.01 12/06/12
CADIZ INC DE 1.01,9.01 12/07/12
CANANDAIGUA NATIONAL CORP NY 8.01 12/12/12
CAREFUSION Corp 1.01,2.03 12/10/12
Carey Watermark Investors Inc 1.01,2.01,9.01 12/06/12
CBL & ASSOCIATES PROPERTIES INC DE 5.02,7.01,9.01 12/12/12
CBOE Holdings, Inc. DE 5.02 12/11/12
CENTRAL EUROPEAN DISTRIBUTION CORP DE 8.01,9.01 12/12/12
CERNER CORP /MO/ DE 8.01,9.01 12/12/12
China Industrial Steel Inc. MD 8.01,9.01 12/12/12
CHINA NORTHERN MEDICAL DEVICE INC NV 4.02 09/30/12
ChinaNet Online Holdings, Inc. NV 8.01,9.01 12/12/12
CHURCHILL DOWNS INC KY 7.01,9.01 12/12/12
CIGNA CORP DE 5.03,7.01 12/06/12
Cleantech Solutions International, In DE 1.01,5.02,9.01 12/10/12
CMS ENERGY CORP MI 7.01,9.01 12/12/12
COHERENT INC DE 5.02,5.03,8.01,9.01 12/07/12
COMDISCO HOLDING CO INC DE 2.02,9.01 12/12/12
COMM 2012-CCRE5 Mortgage Trust DE 8.01,9.01 12/11/12
CONNS INC DE 8.01 12/12/12
CORRECTIONS CORP OF AMERICA MD 5.02 12/11/12
COSTCO WHOLESALE CORP /NEW WA 2.02,9.01 12/12/12
CROWN CASTLE INTERNATIONAL CORP DE 7.01,8.01,9.01 12/11/12
CUMMINS INC IN 9.01 12/12/12
CURIS INC DE 1.01,8.01,9.01 12/11/12
DAVE & BUSTERS INC MO 2.02,9.01 12/11/12
DAYSTAR TECHNOLOGIES INC DE 5.02,8.01,9.01 12/12/12
DEEP WELL OIL & GAS INC NV 1.01,3.02,5.01,9.01 11/23/12
DEL TORO SILVER CORP. NV 1.01,3.02,9.01 12/11/12
DELTA AIR LINES INC /DE/ DE 7.01,9.01 12/12/12
DIAGNOSTIC IMAGING INTERNATIONAL CORP NV 2.01,9.01 12/10/12
DICKS SPORTING GOODS INC DE 8.01 12/11/12
Digital Cinema Destinations Corp. DE 7.01,9.01 12/12/12
Digital Realty Trust, Inc. 7.01,9.01 12/12/12
Dolby Laboratories, Inc. DE 8.01,9.01 12/11/12
DYCOM INDUSTRIES INC FL 1.01,2.03,9.01 12/12/12
DYNASIL CORP OF AMERICA NJ 1.01,9.01 12/06/12
Eco-Trade Corp. DE 5.02 12/10/12
ENCORE CAPITAL GROUP INC DE 1.01,2.03,3.02,8.01, 12/06/12
9.01
ENERGIZER HOLDINGS INC MO 2.05,7.01,9.01 11/08/12 AMEND
Energy Future Holdings Corp /TX/ TX 5.02 12/07/12
Energy Services of America CORP DE 2.05,2.06 12/12/12
ENGLOBAL CORP NV 2.01,9.01 12/11/12
ENGLOBAL CORP NV 8.01,9.01 12/11/12 AMEND
ENTEST BIOMEDICAL, INC. NV 2.01,9.01 11/28/12
Ever-Glory International Group, Inc. FL 5.07 11/29/12
EXAR CORP DE 5.02,9.01 12/10/12
FAB Universal Corp. CO 2.02,7.01,9.01 12/12/12
FARMER BROTHERS CO CA 1.01,5.07,7.01,8.01, 12/06/12
9.01
FARMERS CAPITAL BANK CORP KY 5.02,9.01 12/10/12
FEDERAL AGRICULTURAL MORTGAGE CORP 5.03,5.05,8.01,9.01 12/06/12
Federal Home Loan Bank of Atlanta X1 5.02 10/05/12 AMEND
Federal Home Loan Bank of Dallas 2.03,9.01 12/06/12
Federal Home Loan Bank of Seattle 5.02 12/12/12
FIFTH THIRD BANCORP OH 8.01 12/12/12
First Advantage Bancorp 5.02 12/11/12
FIRST CITIZENS BANCSHARES INC /DE/ DE 8.01 12/11/12
FIRST FINANCIAL BANCORP /OH/ OH 8.01 12/12/12
FLEXSTEEL INDUSTRIES INC MN 5.07 12/10/12
FOSTER L B CO PA 8.01,9.01 12/12/12
FREDERICK'S OF HOLLYWOOD GROUP INC /N NY 2.02,9.01 12/11/12
FREQUENCY ELECTRONICS INC DE 2.02,9.01 12/12/12
FTI CONSULTING INC MD 8.01,9.01 12/11/12
FURMANITE CORP DE 8.01,9.01 12/11/12
GARB OIL & POWER CORP UT 8.01,9.01 11/30/12
GASCO ENERGY INC NV 3.01,7.01,9.01 12/06/12
GENESIS GROUP HOLDINGS INC 5.03,9.01 12/07/12
GENSPERA INC DE 4.01,9.01 12/10/12
GEO GROUP INC FL 1.01,7.01,8.01,9.01 12/06/12
GEO POINT TECHNOLOGIES INC UT 7.01,9.01 12/12/12
GEOKINETICS INC DE 5.02,9.01 12/06/12
GILEAD SCIENCES INC DE 1.01,9.01 12/12/12
GILLA INC. NV 1.01,1.02,2.01,3.02, 11/21/12 AMEND
4.01,5.01,5.02,5.06,
7.01
GMX RESOURCES INC OK 1.01,2.03,3.02,3.03, 12/06/12
8.01,9.01
GOLDEN QUEEN MINING CO LTD A1 3.02 12/07/12
GRAMERCY CAPITAL CORP MD 2.01,3.02,5.03,7.01, 12/05/12
9.01
Granite Falls Energy, LLC MN 2.02,9.01 12/12/12
GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 12/10/12
GULFMARK OFFSHORE INC DE 8.01,9.01 12/11/12
HANSEN MEDICAL INC DE 5.02,8.01 12/10/12
HARBINGER GROUP INC. DE 8.01,9.01 12/12/12
HDS INTERNATIONAL CORP. NV 1.01,1.02,7.01,9.01 12/10/12
HEARTLAND FINANCIAL USA INC DE 7.01,9.01 12/12/12
Heavy Earth Resources, Inc. FL 1.01,2.03,3.02,9.01 12/06/12
HIGHWATER ETHANOL LLC 7.01,9.01 12/12/12
Hillenbrand, Inc. IN 1.01,2.03 12/06/12
Homeowners Choice, Inc. FL 5.02 12/06/12
HOSPITALITY PROPERTIES TRUST MD 1.01,8.01,9.01 12/10/12
HSBC USA INC /MD/ MD 1.01,8.01,9.01 12/11/12
IHS Inc. DE 7.01,9.01 12/12/12
iMetrik M2M Solutions Inc. NV 7.01,9.01 12/11/12
INDEPENDENT BANK CORP MA 8.01 12/12/12
INFINITY PHARMACEUTICALS, INC. DE 8.01,9.01 12/12/12
Inland American Real Estate Trust, In MD 7.01,9.01 12/12/12
Intermec, Inc. DE 5.02,8.01 12/09/12
INTL FCSTONE INC. DE 2.02,7.01,9.01 12/12/12
Invesco Ltd. D0 7.01,9.01 12/11/12
IPASS INC DE 5.02,9.01 12/06/12
IPG PHOTONICS CORP DE 8.01,9.01 12/12/12
IXIA CA 5.02,9.01 12/06/12
IZEA, Inc. NV 8.01,9.01 12/10/12
Jacksonville Bancorp, Inc. MD 8.01,9.01 12/11/12
JANUS CAPITAL GROUP INC DE 5.02 12/10/12
JETBLUE AIRWAYS CORP DE 7.01,9.01 12/12/12
JOY GLOBAL INC DE 2.02,7.01,9.01 12/12/12
JTH Holding, Inc. DE 7.01,9.01 12/12/12
JTH Holding, Inc. DE 7.01,9.01 12/12/12
JUNIPER NETWORKS INC DE 3.02,7.01 12/07/12
Kabe Exploration Inc. 5.03,8.01,9.01 12/07/12
KIRKLAND'S, INC 5.02 12/07/12
LAMAR ADVERTISING CO/NEW DE 8.01,9.01 12/12/12
LATTICE SEMICONDUCTOR CORP DE 7.01,9.01 12/12/12
LAYNE CHRISTENSEN CO DE 7.01,9.01 12/12/12
LEGGETT & PLATT INC MO 5.02,9.01 12/10/12
LENNOX INTERNATIONAL INC DE 7.01,9.01 12/12/12
LEXINGTON REALTY TRUST MD 3.02 12/12/12
LIME ENERGY CO. DE 1.01,2.03,3.02,9.01 12/07/12
lululemon athletica inc. DE 7.01 12/10/12
M/A-COM Technology Solutions Holdings DE 5.02,9.01 12/10/12
MAGELLAN HEALTH SERVICES INC DE 5.02,8.01,9.01 12/10/12
MAGNUM HUNTER RESOURCES CORP DE 8.01 12/12/12
Marriott Vacations Worldwide Corp DE 5.02,8.01,9.01 12/06/12
MATERION Corp 7.01 12/10/12 AMEND
MEDICINES CO /DE DE 1.01,8.01,9.01 12/11/12
MEDICINES CO /DE DE 1.01,8.01,9.01 12/11/12
MEDIVATION, INC. DE 5.02,9.01 12/07/12
Memorial Production Partners LP DE 1.01,2.01,7.01,9.01 12/06/12
MET PRO CORP PA 5.02 10/22/12 AMEND
METLIFE INC DE 8.01,9.01 12/12/12
MICROPAC INDUSTRIES INC DE 8.01 12/12/12
MILLER INDUSTRIES INC /TN/ TN 1.01,2.03 12/10/12
MobileBits Holdings Corp NV 9.01 10/04/12 AMEND
MONMOUTH REAL ESTATE INVESTMENT CORP MD 2.02,7.01,9.01 12/12/12
MOOG INC NY 2.04,9.01 12/12/12
MURPHY OIL CORP /DE DE 1.01 12/10/12
MVB FINANCIAL CORP WV 3.02 12/12/12
MVP REIT, Inc. MD 8.01 12/12/12
MYLAN INC. PA 8.01,9.01 12/12/12
NAPCO SECURITY TECHNOLOGIES, INC DE 5.02 12/10/12
NAVISTAR INTERNATIONAL CORP DE 5.02,7.01,9.01 12/10/12
NetApp, Inc. CA 1.01,8.01,9.01 12/12/12
New Enterprise Stone & Lime Co., Inc. DE 1.01,7.01,9.01 12/07/12
NEWS CORP 8.01,9.01 12/12/12
NORDSTROM INC WA 8.01 12/12/12
NORFOLK SOUTHERN CORP VA 8.01,9.01 12/07/12
NPS PHARMACEUTICALS INC DE 5.03,9.01 12/12/12
NUTRACEUTICAL INTERNATIONAL CORP DE 8.01,9.01 12/11/12
OFFICIAL PAYMENTS HOLDINGS, INC. DE 2.02,9.01 12/12/12
OphthaliX, Inc. NV 5.01,9.01 12/12/12
OXFORD INDUSTRIES INC GA 5.02 12/12/12
OXIS INTERNATIONAL INC DE 1.01,2.03,3.02,9.01 12/07/12
PACIFIC PREMIER BANCORP INC DE 8.01,9.01 12/12/12
PAREXEL INTERNATIONAL CORP MA 5.07 12/06/12
PCS EDVENTURES COM INC ID 2.03,9.01 12/03/12
PEP BOYS MANNY MOE & JACK PA 8.01,9.01 12/12/12
PERNIX THERAPEUTICS HOLDINGS, INC. MD 1.01,7.01,9.01 12/10/12
PHOENIX COMPANIES INC/DE DE 7.01,9.01 12/12/12
PHYSICIANS FORMULA HOLDINGS, INC. DE 2.01,3.01,3.03,5.01, 12/12/12
5.02,5.03,9.01
PINNACLE ENTERTAINMENT INC. DE 1.01,9.01 12/06/12
PLAINS ALL AMERICAN PIPELINE LP DE 1.01,9.01 12/10/12
PLATINUM UNDERWRITERS HOLDINGS LTD D0 2.02,8.01,9.01 12/12/12
POTLATCH CORP DE 1.01,1.02,9.01 12/11/12
PRGX GLOBAL, INC. GA 5.02,8.01 12/11/12
PROGRESSIVE CORP/OH/ OH 7.01,9.01 12/12/12
PROLOR Biotech, Inc. NV 7.01,9.01 12/12/12
PROSPECT CAPITAL CORP MD 5.07 12/07/12
PROVIDENT FINANCIAL HOLDINGS INC DE 7.01,9.01 12/12/12
PURE BIOSCIENCE, INC. DE 2.02,9.01 12/12/12
Rangeford Resources, Inc. NV 4.01,9.01 12/12/12
REALGOLD INTERNATIONAL INC NV 8.01 12/12/12
RELIABRAND INC. 5.02 12/07/12
Restoration Hardware Holdings Inc DE 2.02,9.01 12/12/12
REX ENERGY CORP DE 1.01,2.03,9.01 12/07/12
RICKS CABARET INTERNATIONAL INC TX 1.01 12/06/12
ROBERTS REALTY INVESTORS INC GA 5.07 12/10/12
RR Donnelley & Sons Co DE 5.02 12/07/12
RUDOLPH TECHNOLOGIES INC DE 8.01,9.01 12/12/12
SAGA COMMUNICATIONS INC DE 8.01,9.01 12/12/12
Sagetree Acquisition Corp DE 3.02,5.01,5.02 12/11/12
SANMINA CORP DE 8.01,9.01 12/10/12
SANTARUS INC DE 8.01 12/12/12
SEACOR HOLDINGS INC /NEW/ DE 8.01,9.01 12/12/12
SEALED AIR CORP/DE DE 7.01,8.01,9.01 12/10/12
SECURITY NATIONAL FINANCIAL CORP UT 5.02,8.01 12/07/12
SELECTICA INC DE 5.02,9.01 12/10/12
Shire plc 8.01,9.01 12/12/12
SIFCO INDUSTRIES INC OH 8.01,9.01 12/10/12
SIGMATRON INTERNATIONAL INC DE 2.02,9.01 12/12/12
SIMPSON MANUFACTURING CO INC /CA/ DE 5.02,8.01,9.01 12/10/12
SOEFL INC. NV 7.01,9.01 12/12/12
Soul & Vibe Interactive, Inc UT 8.01 12/11/12
SOUTHWESTERN ENERGY CO DE 5.02 12/06/12
SPHERIX INC DE 5.07 12/06/12
Spirit Airlines, Inc. DE 7.01,9.01 12/12/12
STATE STREET CORP MA 5.02 12/11/12
STERLING FINANCIAL CORP /WA/ WA 8.01,9.01 12/12/12
Superior Venture Corp NV 7.01,9.01 12/12/12
SUSQUEHANNA BANCSHARES INC PA 7.01,9.01 12/11/12
Susser Holdings CORP DE 3.01 12/06/12
TCF FINANCIAL CORP DE 8.01,9.01 12/12/12
TESORO CORP /NEW/ DE 7.01,9.01 12/11/12
TESORO LOGISTICS LP DE 9.01 12/06/12 AMEND
TORCH ENERGY ROYALTY TRUST DE 3.01,9.01 12/06/12
TPG Specialty Lending, Inc. DE 3.02 12/10/12
TRANSUNION CORP. 5.02,9.01 12/06/12
Travelport LTD D0 1.01,2.03,9.01 12/11/12
TRIAD GUARANTY INC DE 1.03,5.02,5.03,9.01 12/11/12
TRINITY INDUSTRIES INC DE 5.02,5.03,9.01 12/06/12
TripAdvisor, Inc. DE 5.01,5.02 12/11/12
Trius Therapeutics Inc DE 8.01,9.01 12/12/12
TRUE RELIGION APPAREL INC DE 8.01,9.01 12/12/12
TRUMP ENTERTAINMENT RESORTS, INC. DE 8.01,9.01 12/12/12
U S GLOBAL INVESTORS INC TX 8.01,9.01 12/07/12
UMB FINANCIAL CORP MO 5.02,9.01 12/10/12
UNIGENE LABORATORIES INC DE 8.01,9.01 12/12/12
UNIGENE LABORATORIES INC DE 8.01 12/07/12
UNION FIRST MARKET BANKSHARES CORP VA 8.01,9.01 12/12/12
United Health Products, Inc. NV 5.02 09/05/12
UNITED SURGICAL PARTNERS INTERNATIONA DE 7.01 12/12/12
Universal Business Payment Solutions DE 1.02,5.07,8.01 12/11/12
UNIVERSAL TECHNICAL INSTITUTE INC DE 5.02,9.01 12/06/12
Unseen Solar Inc DE 5.03,8.01 12/12/12
UPSTREAM BIOSCIENCES INC. NV 4.01,9.01 12/06/12
URANIUM ENERGY CORP NV 7.01,9.01 12/12/12
USMD Holdings, Inc. DE 5.02,9.01 12/10/12
Vantiv, Inc. 3.02 12/12/12
VENTAS INC DE 9.01 12/06/12
VIRGINIA COMMERCE BANCORP INC 1.01,7.01,9.01 12/11/12
VIROPHARMA INC DE 1.01 12/06/12
VISA INC. DE 5.02,9.01 12/12/12
VSB BANCORP INC NY 8.01 12/11/12
VSE CORP DE 8.01 12/07/12
W&T OFFSHORE INC TX 8.01,9.01 12/11/12
W&T OFFSHORE INC TX 9.01 10/05/12 AMEND
Walker & Dunlop, Inc. MD 1.01,2.03,9.01 12/06/12
WASTE MANAGEMENT INC DE 5.03,9.01 12/06/12
WEBMEDIABRANDS INC. DE 5.02 12/07/12
WEBSTER FINANCIAL CORP DE 8.01,9.01 12/06/12
WEIGHT WATCHERS INTERNATIONAL INC VA 5.02,9.01 12/07/12
WESCO INTERNATIONAL INC 1.02,8.01,9.01 12/11/12
Western Gas Equity Partners, LP DE 1.01,3.02,5.02,5.03, 12/12/12
9.01
Western Gas Partners LP DE 1.01,3.02,5.03,9.01 12/12/12
WHOLEHEALTH PRODUCTS, INC. NV 5.02 12/11/12
WILLIAMS COMPANIES INC DE 7.01,9.01 12/11/12
WILLIAMS COMPANIES INC DE 7.01,9.01 12/11/12
WILLIAMS COMPANIES INC DE 1.01 12/11/12
WINNER MEDICAL GROUP INC NV 1.01,3.01,3.03,5.01, 12/11/12
5.02,5.03,9.01
WISCONSIN ENERGY CORP WI 5.02 12/06/12
WMI HOLDINGS CORP. WA 7.01,9.01 12/12/12
XCEL ENERGY INC MN 7.01 12/12/12
XL GROUP PLC L2 8.01,9.01 12/12/12
ZIMMER HOLDINGS INC DE 5.02,9.01 12/10/12
http://www.sec.gov/news/digest/2012/dig121312.htm
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