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ENFORCEMENT PROCEEDINGSPeter Siris SanctionedPeter Siris (Siris), of New York City, has been barred from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and from participating in an offering of penny stock. The sanctions were ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against him. Siris was enjoined from violating the antifraud and other provisions of the securities laws, based on wrongdoing in connection with an investment vehicle that focused on the Chinese microcap market, including reverse-merged companies. (Initial Decision No. 477; File No. 3-15057) INVESTMENT COMPANY ACT RELEASESPNC Capital Advisors, LLC, et al.An order has been issued on an application filed by PNC Capital Advisors, LLC, et al., under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Rule 12d1-2(a) under the Act. The order permits funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30333 - December 28) Lord, Abbett & Co. LLC, et al.An order has been issued on an application filed by Lord, Abbett & Co. LLC, et al., under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Rule 12d1-2(a) under the Act. The order permits funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30334 - December 28) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by The NASDAQ Stock Market LLC to retire the automated quote management functionality described under rules 4613(a)(2)(F) and (G), and make conforming changes to Rule 4751(f)(15) (SR-NASDAQ-2012-140) 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 31. (Rel. 34-68528) ICE Clear Europe Limited filed a proposed rule change (SR-ICEEU-2012-20) under Section 19(b)(1) of the Securities Exchange Act of 1934 related to SPAN margin methodology enhancements to Inter-Contract Credits and the Average Option Pricing Model for Energy Clearing Members. Publication is expected in the Federal Register during the week of December 31. (Rel. 34-68542) Approval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change (SR-NYSEArca-2012-120) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade shares of the United States Asian Commodities Basket Fund under NYSE Arca Equities Rule 8.200. Publication is expected in the Federal Register during the week of December 31. (Rel. 34-68547) Proposed Rule ChangesThe Depository Trust Company (DTC) filed a proposed rule change (SR-DTC-2012-10) under Section 19(b)(1) of the Securities Exchange Act of 1934 to reduce liquidity risk relating to DTC processing of maturity and income presentments and issuances of money market instruments. Publication is expected in the Federal Register during the week of December 31. (Rel. 34-68548) The National Securities Clearing Corporation (NSCC) filed a proposed rule change (SR-NSCC-2012-10) under Section 19(b)(1) of the Securities Exchange Act of 1934 to eliminate the offset of NSCC obligations with institutional delivery transactions that settle at the Depository Trust Company for the purpose of calculating the NSCC clearing fund under Procedure XV of NSCC’s Rules & Procedures. Publication is expected in the Federal Register during the week of December 31. (Rel. 34-68549) 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-3 NEWLINK GENETICS CORP, 2503 SOUTH LOOP DRIVE, SUITE 5100, AMES, IA,
50010, 515-296-5555 - 0 ($150,000,000.00) Other, (File 333-185721 -
Dec. 28) (BR. 01B)
S-8 PostRock Energy Corp, 210 PARK AVENUE, SUITE 2750, OKLAHOMA CITY, OK,
73102, (405)600-7704 - 2,000,000 ($3,000,000.00) Equity,
(File 333-185722 - Dec. 28) (BR. 04B)
F-10 HudBay Minerals Inc., 201 PORTAGE AVENUE, SUITE 1906, WINNEPEG, A2,
R3B 3L3, (204) 949-4261 - 0 ($500,000,000.00) Debt, (File 333-185723 -
Dec. 28) (BR. 09A)
N-2 Dreyfus Municipal Infrastructure Fund, Inc.,
C/O THE DREYFUS CORPORATION, 200 PARK AVENUE, NEW YORK, NY, 10166,
212-922-6000 - 66,700 ($1,000,500.00) Equity, (File 333-185730 -
Dec. 28) (BR. 18)
S-8 HANCOCK HOLDING CO, ONE HANCOCK PLZ, P.O. BOX 4019, GULFPORT, MS,
39501, 6018684605 - 1,200,000 ($38,136,000.00) Equity,
(File 333-185731 - Dec. 28) (BR. 07B)
S-4 US FOODS, INC., 9339 W. HIGGINS ROAD, SUITE 500, ROSEMONT, IL, 60018,
847-720-8000 - 0 ($975,000,000.00) Debt, (File 333-185732 - Dec. 28)
(BR. 02)
S-3 UNITED COMMUNITY BANKS INC, P O BOX 398, 59 HIGHWAY 515, BLAIRSVILLE,
GA, 30512, 5818073041 - 0 ($35,000,000.00) Non-Convertible Debt,
(File 333-185733 - Dec. 28) (BR. 07C)
N-2 GAMCO Natural Resources, Gold & Income Trust by Gabelli,
ONE CORPORATE CENTER, RYE, NY, 10580, 914-921-5100 -
0 ($200,000,000.00) Equity, (File 333-185735 - Dec. 28) (BR. 22)
S-3 MAINSOURCE FINANCIAL GROUP, 201 N BROADWAY, PO BOX 87, GREENSBURG, IN,
47240, 8126630157 - 0 ($1.00) Unallocated (Universal) Shelf,
(File 333-185736 - Dec. 28) (BR. 07C)
S-3 CorMedix Inc., 745 ROUTE 202-206, SUITE 303, BRIDGEWATER, NJ, 08807,
908-517-9500 - 0 ($30,000,000.00) Equity, (File 333-185737 - Dec. 28)
(BR. 01B)
S-1 Opexa Therapeutics, Inc., 2635 TECHNOLOGY FOREST BLVD., THE WOODLANDS,
TX, 77381, (281) 272-9331 - 1,702,740 ($2,179,507.00) Equity,
(File 333-185738 - Dec. 28) (BR. 01B)
S-3 GLOWPOINT, INC., 430 MOUNTAIN AVENUE, SUITE 301, MURRAY HILL, NJ,
07974, 9738553411 - 0 ($30,500,285.20) Equity, (File 333-185739 -
Dec. 28) (BR. 11C)
S-3 OCLARO, INC., 2584 JUNCTION AVENUE, SAN JOSE, CA, 95134,
(408) 383-1400 - 0 ($100,000,000.00) Unallocated (Universal) Shelf,
(File 333-185740 - Dec. 28) (BR. 10B)
S-8 Polypore International, Inc., (704) 588-5310 - 0 ($8,000,000.00) Other,
(File 333-185741 - Dec. 28) (BR. 06A)
S-4 Gulf Coast Ultra Deep Royalty Trust, 333 N. CENTRAL AVENUE, PHOENIX,
AZ, 85004, 504.582.8326 - 0 ($217,193,516.00) Other, (File 333-185742 -
Dec. 28) (BR. )
S-8 JAVELIN MORTGAGE INVESTMENT CORP., 3001 OCEAN DRIVE, SUITE 201,
VERO BEACH, FL, 32963, 772-617-4340 - 225,002 ($4,261,537.88) Equity,
(File 333-185744 - Dec. 28) (BR. 08C)
S-1 Anchor CNGo, 301 NORTH E ST., LAKE WORTH, FL, 33460, (908)892-4958 -
500,000 ($5,000,000.00) Equity, (File 333-185745 - Dec. 28) (BR. )
S-4 Dycom Investments Inc, 11770 US HIGHWAY 1, SUITE 101,
PALM BEACH GARDENS, FL, 33408, 561.627.7171 -
0 ($90,000,000.00) Non-Convertible Debt, (File 333-185746 - Dec. 28)
(BR. 06A)
S-4 FREEPORT MCMORAN COPPER & GOLD INC, 333 NORTH CENTRAL AVENUE, PHOENIX,
AZ, 85004, 6023668100 - 0 ($2,891,387,498.98) Equity,
(File 333-185747 - Dec. 28) (BR. 09B)
S-11 EquiTrust USA, 3475 PIEDMONT RD, NE, SUITE 1200, ATLANTA, GA, 30305,
(770) 444-9630 - 0 ($1,000,000.00) Equity, (File 333-185748 - Dec. 28)
(BR. )
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.
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-----------------------------------------------------------------------------------------
4Licensing Corp NY 3.03,5.03,8.01,9.01 12/21/12
ACACIA RESEARCH CORP DE 8.01 12/27/12
ADMA BIOLOGICS, INC. DE 1.01,2.03 12/21/12
ADVANCED MICRO DEVICES INC DE 5.02 12/22/12
Advaxis, Inc. DE 1.01,3.02,9.01 12/20/12
AEHR TEST SYSTEMS CA 3.01 12/26/12
Alamo Energy Corp. NV 1.01,2.01,9.01 12/21/12
ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 5.02,9.01 12/28/12
Altisource Asset Management Corp VI 1.01,5.02,5.03,9.01 12/21/12
Altisource Portfolio Solutions S.A. N4 1.01,2.01,9.01 12/21/12
Altisource Residential Corp 1.01,5.02,9.01 12/21/12
Amarantus BioSciences, Inc. DE 1.01,8.01,9.01 12/28/12
AMAZON COM INC DE 5.02 12/26/12
AMERICAN DEFENSE SYSTEMS INC DE 5.02,9.01 12/20/12
AMERICAN REALTY CAPITAL - RETAIL CENT MD 2.01,2.03,9.01 12/21/12
American Strategic Minerals Corp NV 3.02,9.01 12/27/12
Ancestry.com Inc. DE 2.01,3.01,3.03,5.01, 12/28/12
5.02,8.01,9.01
ANIKA THERAPEUTICS INC MA 2.05 12/28/12
ANWORTH MORTGAGE ASSET CORP MD 3.03,8.01,9.01 12/28/12
APRIA HEALTHCARE GROUP INC DE 5.02,9.01 12/23/12
ARK RESTAURANTS CORP NY 2.02,7.01,9.01 12/26/12
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 12/27/12
ATLANTIC POWER CORP A1 2.06 12/28/12
AVON PRODUCTS INC NY 1.01,9.01 12/21/12
AXIS CAPITAL HOLDINGS LTD 5.02,9.01 12/27/12
BARNES & NOBLE INC DE 8.01 12/28/12
BGC Partners, Inc. DE 8.01 12/21/12
BIOANALYTICAL SYSTEMS INC IN 1.01,9.01 12/21/12
BOLDFACE GROUP, INC. NV 1.01,2.03,3.02,9.01 12/21/12
BOYD GAMING CORP NV 1.01,2.03 12/27/12
BRANDYWINE REALTY TRUST MD 8.01 12/28/12
BreitBurn Energy Partners L.P. DE 1.01,7.01,9.01 12/28/12
BRUNSWICK CORP DE 5.02 12/28/12
CELL THERAPEUTICS INC WA 2.02,7.01,9.01 12/28/12
CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.01,1.02,5.02,9.01 12/28/12
CHENIERE ENERGY INC DE 5.01 12/21/12
CHICAGO BRIDGE & IRON CO N V 1.01,2.03,9.01 12/28/12
China Botanic Pharmaceutical 5.02,9.01 12/24/12
CHINA VALVES TECHNOLOGY, INC NV 5.02 12/26/12
Clarion Partners Property Trust Inc. MD 9.01 10/18/12 AMEND
Cleantech Solutions International, In DE 7.01,9.01 12/27/12
CLECO CORP LA 8.01 12/21/12
CMS ENERGY CORP MI 1.01,9.01 12/21/12
CNA FINANCIAL CORP DE 5.02,9.01 12/27/12
CNB FINANCIAL CORP/PA PA 5.02,9.01 12/11/12
COMPUTER SCIENCES CORP NV 2.01,9.01 12/28/12
Computer Vision Systems Laboratories FL 1.01,2.01,3.02,5.01, 12/28/12 AMEND
5.02,5.03,9.01
CONSUMER PORTFOLIO SERVICES INC CA 1.01,2.03,9.01 12/19/12
Cornerstone Core Properties REIT, Inc MD 1.01,2.01,2.03,9.01 12/24/12
CORPORATE BOND BACKED CERT TR SER 199 8.01,9.01 12/17/12
CROWN CASTLE INTERNATIONAL CORP DE 1.01,2.03,8.01,9.01 12/24/12
Crystal Rock Holdings, Inc. DE 1.01,9.01 12/21/12
CULP INC NC 5.02,9.01 12/27/12
Desert Hawk Gold Corp. NV 1.01,9.01 12/27/12
Dialogic Inc. DE 3.01 12/26/12
DIODES INC /DEL/ DE 7.01,9.01 12/27/12
Discover Card Execution Note Trust DE 8.01 12/28/12
DISH Network CORP NV 1.01 12/21/12
DRIVETIME AUTOMOTIVE GROUP INC DE 1.01 12/21/12
EASTMAN KODAK CO NJ 9.01 09/30/12
EASTMAN KODAK CO NJ 7.01,9.01 11/30/12
Echo Global Logistics, Inc. DE 5.02,9.01 12/28/12
EchoStar CORP NV 1.01 12/21/12
ECOSPHERE TECHNOLOGIES INC DE 5.02 12/20/12
Edgen Group Inc. DE 1.01,1.02,2.03,9.01 12/21/12
EFL OVERSEAS, INC. NV 2.01,9.01 10/17/12 AMEND
Emergent BioSolutions Inc. DE 8.01,9.01 12/27/12
EMMIS COMMUNICATIONS CORP IN 1.01,5.02,9.01 12/28/12
Energy Telecom, Inc. FL 5.07,7.01,9.01 12/21/12
Enstar Group LTD D0 2.03 12/21/12
EPOCRATES INC DE 5.02 12/26/12
EQM Technologies & Energy, Inc. DE 8.01,9.01 12/27/12
EQUIFAX INC GA 1.02,2.01,7.01,9.01 12/01/12
ERHC Energy Inc CO 7.01,9.01 12/27/12
ESCALON MEDICAL CORP PA 3.01 12/27/12
FAB Universal Corp. CO 8.01 12/28/12
FactorShares 2X: Gold Bull/S&P500 Bea 1.01,1.02,9.01 12/27/12
FactorShares 2X: Oil Bull/S&P500 Bear 1.01,1.02,9.01 12/27/12
FactorShares 2X: S&P500 Bull/TBond Be 1.01,1.02,9.01 12/27/12
FactorShares 2X: S&P500 Bull/USD Bear 1.01,1.02,9.01 12/27/12
FactorShares 2X: TBond Bull/S&P500 Be 1.01,1.02,9.01 12/27/12
FARMACIA Corp NV 1.01,5.01,5.02,5.03, 12/17/12
8.01,9.01
Federal Home Loan Bank of Dallas 2.03,9.01 12/21/12
FIRST PACTRUST BANCORP INC MD 5.02,9.01 12/26/12
FIRST POTOMAC REALTY TRUST MD 5.02,9.01 12/21/12
FIRST UNITED CORP/MD/ MD 5.02 12/28/12
FLIR SYSTEMS INC OR 8.01,9.01 12/28/12
FLOTEK INDUSTRIES INC/CN/ DE 1.01,7.01,9.01 12/27/12
FNBH BANCORP INC MI 1.01,2.03,3.02,7.01, 12/28/12
9.01
FX ENERGY INC NV 8.01,9.01 12/27/12
Gas Natural Inc. OH 1.01,9.01 12/21/12
GateHouse Media, Inc. DE 5.02 12/26/12
GENERAL DYNAMICS CORP DE 5.02 12/26/12
GENERAL EMPLOYMENT ENTERPRISES INC IL 1.01 12/14/12
GEOSPACE TECHNOLOGIES CORP DE 8.01,9.01 12/27/12
GILMAN CIOCIA, INC. DE 5.02 12/26/12
Graystone Co DE 3.02 12/28/12
Gulf United Energy, Inc. NV 8.01 12/28/12
GULFPORT ENERGY CORP DE 2.01 12/24/12
HANCOCK HOLDING CO MS 1.01,1.02,2.03,9.01 12/21/12
HARTFORD LIFE INSURANCE CO CT 8.01 12/28/12
Hawaiian Telcom Holdco, Inc. DE 8.01,9.01 12/28/12
HEALTHCARE REALTY TRUST INC MD 8.01 12/28/12
HELIX BIOMEDIX INC DE 5.07,8.01,9.01 12/28/12
HOLLOMAN ENERGY CORP NV 2.03 12/24/12
Home Federal Bancorp, Inc. of Louisia LA 5.02,9.01 12/27/12
HOMEFED CORP DE 5.02,9.01 12/24/12
HomeStreet, Inc. WA 8.01,9.01 12/28/12
Horizon Lines, Inc. 5.02,9.01 12/26/12
India Globalization Capital, Inc. MD 5.02,9.01 12/21/12
INVESTMENT TECHNOLOGY GROUP INC DE 5.02 12/24/12
ISC8 INC. /DE DE 1.01,2.03,3.02,3.03, 12/20/12
9.01
ITRONICS INC TX 3.02,8.01 12/21/12
IVANHOE ENERGY INC 2.01,7.01,9.01 12/28/12
IXIA CA 1.01,2.03,9.01 12/21/12
JDA SOFTWARE GROUP INC DE 1.02,2.03,9.01 12/21/12
JTH Holding, Inc. DE 1.01,9.01 12/28/12
KID BRANDS, INC NJ 1.01,1.02,2.03,9.01 12/21/12
Kips Bay Medical, Inc. DE 8.01,9.01 12/28/12
KNIGHT CAPITAL GROUP, INC. DE 5.07 12/27/12
Kosmos Energy Ltd. D0 5.02,9.01 12/21/12
LEAP TECHNOLOGY INC / DE DE 1.01,2.03,9.01 12/27/12
LEAP WIRELESS INTERNATIONAL INC DE 5.02 12/28/12
LEHMAN BROTHERS HOLDINGS INC. PLAN TR 7.01,9.01 12/28/12
LIBERTY SILVER CORP NV 5.03,5.07,9.01 12/21/12
LIME ENERGY CO. DE 4.02,9.01 12/21/12
Live Nation Entertainment, Inc. DE 5.02,9.01 12/27/12
MAGICJACK VOCALTEC LTD L3 5.02,7.01,9.01 12/28/12
MANAS PETROLEUM Corp NV 8.01,9.01 12/21/12
Mandalay Digital Group, Inc. DE 1.01,3.02 12/23/12
Marina District Finance Company, Inc. NJ 1.01,2.03 12/27/12
Mattersight Corp DE 5.03 12/26/12
Maxwell Resources, Inc. NV 3.02,5.03,9.01 12/26/12
MB FINANCIAL INC /MD 8.01 12/28/12
MEMC ELECTRONIC MATERIALS INC DE 5.02,9.01 12/21/12
MENDOCINO BREWING CO INC CA 4.01,9.01 12/21/12
MEXCO ENERGY CORP CO 8.01,9.01 12/28/12
MICROFINANCIAL INC MA 1.01,9.01 12/21/12
MICROSTRATEGY INC DE 5.02,9.01 12/26/12
MID PENN BANCORP INC PA 1.01,3.02,7.01,9.01 12/28/12
Mid-Con Energy Partners, LP DE 5.02 12/21/12
MISCOR GROUP, LTD. IN 1.01,2.03,7.01,9.01 12/28/12
Molycorp, Inc. DE 5.02 12/22/12
MONMOUTH REAL ESTATE INVESTMENT CORP MD 1.01,9.01 12/28/12
MORGAN GROUP HOLDING CO 1.01,3.02,5.02,9.01 12/21/12
MRV COMMUNICATIONS INC DE 5.02 12/21/12
NANOSPHERE INC DE 5.02,9.01 12/27/12
NATIONAL BANCSHARES CORP /OH/ OH 7.01,9.01 12/28/12
NetApp, Inc. CA 1.01,2.03,9.01 12/21/12
NETFLIX INC DE 5.02 12/28/12
NETWORK CN INC DE 5.02 12/28/12
NEW HAMPSHIRE THRIFT BANCSHARES INC DE 5.02,8.01,9.01 12/21/12
NEWS CORP 8.01,9.01 12/28/12
NORTH BAY RESOURCES INC DE 1.01,9.01 12/12/12
NTS REALTY HOLDINGS LP DE 1.01,9.01 12/27/12
NUMEREX CORP /PA/ PA 5.02 12/25/12
O'Donnell Strategic Industrial REIT, 1.01,2.01,2.03,9.01 12/24/12
Ocean Electric Inc. 4.01,9.01 11/28/12 AMEND
OCLARO, INC. DE 2.01,9.01 07/23/12 AMEND
OCWEN FINANCIAL CORP FL 1.01,2.01,2.03,3.02, 12/27/12
3.03,5.03,9.01
ORGANOVO HOLDINGS, INC. DE 3.02 12/21/12
PARK NATIONAL CORP /OH/ OH 5.02,9.01 12/24/12
Pathfinder Cell Therapy, Inc. DE 2.03,3.02 12/21/12
PATRIOT NATIONAL BANCORP INC CT 5.07 12/18/12
PEREGRINE PHARMACEUTICALS INC DE 1.01,5.02,9.01 12/27/12
PERFORMANCE TECHNOLOGIES INC \DE\ DE 3.01 12/27/12
Phillips Edison - ARC Shopping Center MD 1.01,8.01 12/21/12
PLX TECHNOLOGY INC DE 5.02,5.03 12/21/12
PMI GROUP INC DE 7.01,9.01 12/28/12
Polypore International, Inc. 5.02 12/27/12
PREMIER HOLDING CORP. NV 8.01,9.01 12/27/12
PRESIDENTIAL LIFE CORP DE 2.01,3.01,3.03,5.01, 12/28/12
5.02,5.03,8.01,9.01
PRIMUS TELECOMMUNICATIONS GROUP INC DE 8.01 12/28/12
Prologis, Inc. MD 5.02,9.01 12/27/12
ProPhase Labs, Inc. NV 3.01,3.02 12/21/12
PROSPER MARKETPLACE INC DE 5.02 12/20/12
QNB CORP PA 5.02,9.01 12/27/12
Quamtel, Inc. NV 5.02 12/28/12
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,9.01 12/28/12
RAINMAKER SYSTEMS INC DE 3.01 12/26/12
RCM TECHNOLOGIES INC NV 5.02,9.01 12/27/12
REALGOLD INTERNATIONAL INC NV 1.01,2.01,5.03,5.06 11/22/12
RED HAT INC DE 8.01 12/21/12
ROCHESTER MEDICAL CORPORATION MN 5.02,9.01 12/28/12
Roebling Financial Corp, Inc. 8.01,9.01 12/28/12
Santo Mining Corp. NV 1.01,3.02,8.01,9.01 12/19/12
Scripps Networks Interactive, Inc. OH 5.02,9.01 12/21/12
Selga Inc NV 3.03,9.01 12/21/12
SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 2.02,9.01 12/28/12
Sino Gas International Holdings, Inc. UT 1.01,2.03,3.02,9.01 12/21/12
SL GREEN REALTY CORP MD 8.01 12/26/12
SMARTHEAT INC. NV 1.01,3.02,9.01 12/21/12
Spansion Inc. DE 3.02 12/28/12
STATER BROS HOLDINGS INC DE 8.01 12/24/12
STEMCELLS INC DE 8.01,9.01 12/21/12
SUN BANCORP INC /NJ/ NJ 5.02 12/20/12
SUNRISE SENIOR LIVING INC DE 8.01,9.01 12/28/12
SYNERGY PHARMACEUTICALS, INC. DE 8.01,9.01 12/28/12
TERRA NITROGEN CO L P /DE DE 1.01,9.01 12/28/12
TF FINANCIAL CORP DE 1.01,8.01,9.01 12/28/12
TigerLogic CORP DE 1.01,3.02,7.01,9.01 12/27/12
Tower International, Inc. DE 7.01,9.01 12/28/12
TRAILBLAZER RESOURCES INC. NV 8.01 12/17/12
Ubiquiti Networks, Inc. DE 1.01 12/21/12
UMPQUA HOLDINGS CORP OR 7.01 12/28/12
Universal Bioenergy, Inc. 9.01 12/28/12
USA TRUCK INC DE 5.02 12/26/12
UTG INC 5.02 12/27/12
VENTAS INC DE 8.01 12/21/12
Vista International Technologies Inc DE 5.03,9.01 12/26/12
VOLT INFORMATION SCIENCES, INC. NY 5.02,9.01 12/24/12
Warner Music Group Corp. DE 5.02 12/21/12
WELLCARE HEALTH PLANS, INC. DE 5.02,9.01 12/21/12
Western Gas Partners LP DE 1.01,9.01 12/28/12
Wheeler Real Estate Investment Trust, MD 1.01,2.01,9.01 12/21/12
WHITE DENTAL SUPPLY, INC. NV 2.01,5.01,5.02,9.01 12/24/12
WIDEPOINT CORP DE 1.01,2.03,9.01 12/21/12
Woodward, Inc. DE 1.01,2.01,2.03,9.01 12/27/12
WPCS INTERNATIONAL INC DE 3.01 12/26/12
X-CHANGE CORP NV 1.01,5.02,9.01 12/12/12
Yosen Group, Inc. NV 3.03,5.03,9.01 12/21/12
ZION OIL & GAS INC DE 5.02 12/21/12
http://www.sec.gov/news/digest/2012/dig123112.htm
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