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Enforcement proceedingsIn the Matter of GE Funding Capital Market Services, Inc.The Securities and Exchange Commission announced that it has granted to General Electric Company (GE), General Electric Capital Services, Inc. (GECS), and GE Capital Corporation (GE Capital), indirect parent companies of GE Funding Capital Market Services, Inc. (GE Funding CMS), on behalf of themselves and their current and future affiliates a waiver of the disqualification provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 (Securities Act) and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 (Exchange Act). Those provisions disqualified GE Funding CMS and its current and future affiliates from making use of the safe harbor for forward-looking statements provided by Section 27A of the Securities Act and Section 21E of the Exchange Act. The disqualifications arose by virtue of a Final Judgment entered on January 23, 2012, by the Honorable William J. Martini, United States District Court Judge for the District of New Jersey in Securities and Exchange Commission v. GE Funding Capital Market Services, Inc. (Case No. 11-cv-07465-WJM-MF), enjoining GE Funding CMS from violating Section 17(a) of the Securities Act. Sections 27A(b) of the Securities Act and 21E(b) of the Exchange Act authorize the Commission to waive the disqualifications. In addition, the Securities and Exchange Commission granted, for good cause shown, GE Funding CMS and its current and future affiliates a waiver of the disqualification provisions of Rules 602(b)(4) and 602(c)(2) under the Securities Act that would otherwise be applicable by virtue of the Final Judgment. (Rel. 33-9297; 34-66289; 33-9298) SEC Charges Former Credit Suisse Investment Bankers in Subprime Bond Pricing SchemeThe Securities and Exchange Commission today announced a civil action against four former veteran investment bankers at Credit Suisse Group for engaging in a complex scheme to fraudulently overstate the prices of $3 billion in subprime bonds during the height of the subprime credit crisis. According to the SEC’s complaint, filed in U.S. District Court for the Southern District of New York, Credit Suisse’s former global head of structured credit trading Kareem Serageldin and former head of hedge trading David Higgs along with two mortgage bond traders deliberately ignored specific market information showing a sharp decline in the price of subprime bonds under the control of their group. They instead priced them in a way that allowed Credit Suisse to achieve fictional profits. Serageldin and Higgs periodically directed the traders, Faisal Siddiqui and Salmaan Siddiqui, who are not related, to change the bond prices in order to hit profit targets, cover up losses in other trading books, and send a message to senior management about their group’s profitability. The SEC’s complaint alleges that Serageldin, Higgs, Faisal Siddiqui, and Salmaan Siddiqui violated Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 and Rules 10b-5 and 13b2-1 thereunder, and aided and abetted pursuant to Section 20(e) of the Exchange Act violations of Sections 10(b) and 13(a) and 13(b)(2) of the Exchange Act and Rules 10b-5 12b-20 and 13a-16 thereunder. The SEC thanks the U.S. Attorney’s Office for the Southern District of New York, Federal Bureau of Investigation, and United Kingdom Financial Services Authority for their assistance in this matter. [SEC v. Kareem Serageldin et al., Civil Action No. 12 CIV. 0796 (Swain) (S.D.N.Y.)] (LR-22247) Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by The NASDAQ Stock Market LLC to modify fees assessed under Rule 7015(c) for subscription to Computer to Computer Interface Stations (SR-NASDAQ-2012-016) 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 January 30. (Rel. 34-66282) 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 Woodward, Inc., 5001 N SECOND ST, P O BOX 7001, ROCKFORD, IL, 61125-7001, 970-482-5811 - 750,000 ($32,520,000.00) Equity, (File 333-179248 - Jan. 31) (BR. 10C) S-8 MAXIM INTEGRATED PRODUCTS INC, 120 SAN GABRIEL DR, SUNNYVALE, CA, 94086, 4087377600 - 9,000,000 ($241,000,000.00) Equity, (File 333-179249 - Jan. 31) (BR. 10B) S-8 MEDICAL INFORMATION TECHNOLOGY INC, MEDITECH CIRCLE, WESTWOOD, MA, 02090, 781-821-3000 - 250,000 ($10,750,000.00) Equity, (File 333-179252 - Jan. 31) (BR. 03C) S-8 BOS BETTER ONLINE SOLUTIONS LTD, 20 FREIMAN STREET, RISHON LEZION, L3, 75100, 011-972-3-954-1000 - 270,000 ($232,200.00) Equity, (File 333-179253 - Jan. 31) (BR. 03A) S-3 INDIANA COMMUNITY BANCORP, 501 WASHINGTON STREET, COLUMBUS, IN, 47201, 8125221592 - 188,707 ($1.00) Equity, (File 333-179254 - Jan. 31) (BR. 07B) S-8 OCLARO, INC., 2584 JUNCTION AVENUE, SAN JOSE, CA, 95134, (408) 383-1400 - 1,700,000 ($7,157,000.00) Equity, (File 333-179255 - Jan. 31) (BR. 10B) S-3 BIODELIVERY SCIENCES INTERNATIONAL INC, 801 CORPORATE CENTER DRIVE, SUITE 210, RALEIGH, NC, 27607, 919 582 9050 - 0 ($40,000,000.00) Unallocated (Universal) Shelf, (File 333-179257 - Jan. 31) (BR. 01B) S-1 POSITIVEID Corp, 1690 SOUTH CONGRESS AVENUE, SUITE 200, DELRAY BEACH, FL, 33445, 561-805-8008 - 26,970,450 ($3,910,715.25) Equity, (File 333-179258 - Jan. 31) (BR. 11C) S-3 VENTRUS BIOSCIENCES INC, 99 HUDSON STREET, 5TH FLOOR, NEW YORK, NY, 10013, (212) 554-4388 - 0 ($100,000,000.00) Equity, (File 333-179259 - Jan. 31) (BR. 01B) S-3 KINGOLD JEWELRY, INC., 40 WALL STREET, 58TH FLOOR, NEW YORK, NY, 10005, (212) 509-1700 - 2,783,527 ($4,690,243.00) Equity, (File 333-179260 - Jan. 31) (BR. 02C) F-3 JOHN HANCOCK LIFE INSURANCE CO USA, 200 BLOOR STREET EAST, TORONTO, A6, M4W1E5, 4169260100 - 0 ($1.00) Unallocated (Universal) Shelf, (File 333-179261 - Jan. 31) (BR. 01B) S-1 Insynergy Products, Inc, 4705 LAUREL CANYON BLVD., SUITE 205, STUDIO CITY, CA, 91607, 818-760-1644 - 2,155,130 ($1,077,565.00) Equity, (File 333-179262 - Jan. 31) (BR. ) S-8 Crumbs Bake Shop, Inc., 110 WEST 40TH STREET, SUITE 2100, NEW YORK, NY, 10018, 212-221-7105 - 338,295 ($1,353,180.00) Equity, (File 333-179264 - Jan. 31) (BR. 02) S-8 Vanda Pharmaceuticals Inc., 9605 MEDICAL CENTER DRIVE, SUITE 300, ROCKVILLE, MD, 20850, 240-599-4500 - 0 ($5,589,664.57) Equity, (File 333-179265 - Jan. 31) (BR. 01B) S-3ASR CONSTELLATION BRANDS, INC., 207 HIGH POINT DRIVE, BUILDING 100, VICTOR, NY, 14564, 585-678-7100 - 0 ($0.00) Debt, (File 333-179266 - Jan. 31) (BR. 09A) S-4 LAM RESEARCH CORP, 4650 CUSHING BLVD, FREMONT, CA, 94538, 5106590200 - 0 ($3,597,315,549.83) Equity, (File 333-179267 - Jan. 31) (BR. 10B) S-8 SYMANTEC CORP, 350 ELLIS STREET, MOUNTAIN VIEW, CA, 94043, 650-527-2900 - 0 ($839,000.00) Equity, (File 333-179268 - Jan. 31) (BR. 03C) S-8 AUTHENTIDATE HOLDING CORP, CONNELL CORPORATE CENTER, 300 CONNELL DRIVE, 5TH FLOOR, BERKELEY HEIGHTS, NJ, 07922, 9087871700 - 6,700,000 ($4,613,325.00) Equity, (File 333-179269 - Jan. 31) (BR. 03B) S-8 INPHI Corp, 1154 SONORA COURT, SUNNYVALE, CA, 94086, 408-636-2700 - 1,000,000 ($15,220,000.00) Equity, (File 333-179270 - Jan. 31) (BR. 10B) S-8 TAYLOR CAPITAL GROUP INC, 350 EAST DUNDEE ROAD, WHEELING, IL, 60090, 8478086369 - 0 ($29,904,598.31) Equity, (File 333-179271 - Jan. 31) (BR. 07B) 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 ACE Ltd V8 2.02,9.01 01/31/12 ACTUATE CORP DE 2.02,9.01 01/30/12 ACXIOM CORP DE 2.02,9.01 01/31/12 ADVANCED ENERGY INDUSTRIES INC DE 2.02,9.01 01/30/12 AFFILIATED MANAGERS GROUP INC DE 2.02,8.01,9.01 01/31/12 AFFIRMATIVE INSURANCE HOLDINGS INC DE 3.01 01/25/12 AFLAC INC GA 2.02,9.01 01/31/12 AgFeed Industries, Inc. NV 3.01,4.02,7.01,9.01 01/31/12 AGILYSYS INC OH 5.03,9.01 01/30/12 ALLEGHANY CORP /DE DE 8.01 01/30/12 ALLIANCE FIBER OPTIC PRODUCTS INC CA 2.02,8.01,9.01 01/31/12 ALLOS THERAPEUTICS INC DE 8.01,9.01 01/30/12 Ally Financial Inc. DE 8.01 01/31/12 AMAZON COM INC DE 2.02,9.01 01/31/12 AMERICAN AIRLINES INC DE 7.01,9.01 01/31/12 American Realty Capital Trust III, In MD 2.01,2.03,9.01 01/25/12 American Strategic Minerals Corp NV 2.01,3.02,5.01,5.02, 01/26/12 5.03,5.06,5.07,9.01 AMERICAN TOWER CORP /MA/ DE 1.01,1.02,2.03,8.01, 01/31/12 9.01 AMERITRANS CAPITAL CORP DE 3.01 01/24/12 AMR CORP DE 7.01,9.01 01/31/12 ANGIODYNAMICS INC DE 7.01,8.01,9.01 01/30/12 ANIXTER INTERNATIONAL INC DE 2.02,9.01 01/31/12 ARCHER DANIELS MIDLAND CO DE 2.02,9.01 01/31/12 Ardea Biosciences, Inc./DE DE 2.02,8.01 01/31/12 ARMSTRONG WORLD INDUSTRIES INC PA 5.02 01/25/12 ARROW FINANCIAL CORP NY 5.02,9.01 01/31/12 ASB Bancorp Inc NC 2.02,9.01 01/31/12 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 01/30/12 ASHLAND INC. KY 5.02,5.07 01/26/12 ASPEN TECHNOLOGY INC /DE/ DE 2.02,9.01 01/31/12 ASSURANT INC 8.01,9.01 01/31/12 ASTRO MED INC /NEW/ RI 8.01,9.01 01/30/12 Avery Dennison Corp DE 2.02,9.01 01/31/12 AVISTAR COMMUNICATIONS CORP DE 2.02,5.02,9.01 01/25/12 BANCTRUST FINANCIAL GROUP INC AL 2.02,9.01 01/31/12 Bank of Commerce Holdings CA 2.02,9.01 01/31/12 BARD C R INC /NJ/ NJ 2.02,9.01 01/31/12 BCSB Bancorp Inc. 2.02,9.01 01/30/12 BERKSHIRE HATHAWAY INC DE 8.01,9.01 01/31/12 BIOGEN IDEC INC. DE 2.02,9.01 01/31/12 BioMed Realty Trust Inc MD 1.02,5.02,9.01 01/25/12 Bizzingo, Inc. NV 7.01,9.01 01/31/12 BLACK BOX CORP DE 2.02,9.01 01/31/12 Bluefire Renewables, Inc. NV 5.02,9.01 01/25/12 BNC BANCORP NC 2.02,9.01 01/31/12 BON TON STORES INC PA 1.02,5.02,9.01 01/26/12 BOTTOMLINE TECHNOLOGIES INC /DE/ DE 2.02,9.01 01/31/12 BRE PROPERTIES INC /MD/ MD 5.02,9.01 01/25/12 BROADCOM CORP CA 2.02,9.01 01/31/12 BROWN & BROWN INC FL 1.01,1.02,2.03 01/26/12 BRYN MAWR BANK CORP PA 7.01,9.01 01/31/12 BSQUARE CORP /WA WA 1.01 01/27/12 C H ROBINSON WORLDWIDE INC DE 2.02,9.01 01/31/12 CAMDEN NATIONAL CORP ME 2.02,8.01,9.01 01/31/12 Camelot Entertainment Group, Inc. DE 3.02,8.01 01/31/12 CAN CAL RESOURCES LTD NV 1.01,5.02,8.01,9.01 01/25/12 Carbon Natural Gas Co DE 1.01,5.02,9.01 01/26/12 Carroll Bancorp, Inc. MD 2.02,9.01 01/26/12 CASH AMERICA INTERNATIONAL INC TX 5.02,9.01 01/25/12 CATHAY GENERAL BANCORP DE 8.01,9.01 01/30/12 CCFNB BANCORP INC PA 2.02,9.01 01/31/12 CEDAR REALTY TRUST, INC. MD 1.01,1.02,2.03 01/26/12 Celanese CORP DE 2.02,7.01,9.01 01/31/12 CELL THERAPEUTICS INC WA 2.02,7.01,9.01 01/31/12 Cell-nique Corp DE 1.01,2.01,3.02,5.03, 01/26/12 5.07,9.01 CENTURY PROPERTIES GROWTH FUND XXII CA 1.01,9.01 01/25/12 CEVA INC DE 2.02,9.01 01/31/12 CHARLES & COLVARD LTD NC 2.02,9.01 01/31/12 CHEESECAKE FACTORY INC DE 8.01,9.01 01/31/12 CHESAPEAKE MIDSTREAM PARTNERS LP DE 8.01,9.01 01/26/12 CHINACAST EDUCATION CORP DE 3.01,5.02 01/25/12 CIGNA CORP DE 2.01,9.01 01/31/12 CIT GROUP INC DE 2.02,9.01 01/31/12 Clean Slate, Inc. DE 1.01,5.02,8.01,9.01 01/30/12 CLECO CORP LA 8.01 01/31/12 CNS RESPONSE, INC. DE 1.01,2.03,3.02,5.07 01/26/12 COLONIAL PROPERTIES TRUST AL 5.03,9.01 01/25/12 COLONY BANKCORP INC GA 5.02,9.01 01/31/12 COMMUNITY BANCORP /VT VT 2.02,9.01 01/30/12 COMMUNITY BANK SHARES OF INDIANA INC IN 2.02,9.01 01/31/12 Community Bankers Trust Corp DE 2.02,9.01 01/31/12 COMPASS BIOTECHNOLOGIES INC. NV 1.02 01/12/12 COMPASS BIOTECHNOLOGIES INC. NV 1.01,3.02,9.01 08/19/11 AMEND COMPUWARE CORP MI 2.02,9.01 01/26/12 CONCURRENT COMPUTER CORP/DE DE 2.02,9.01 01/31/12 CONVERGYS CORP OH 5.02 01/25/12 CORNING INC /NY NY 5.02 01/31/12 CORTLAND BANCORP INC OH 2.02,9.01 01/31/12 CORVEL CORP DE 2.02,9.01 01/31/12 COSTAR GROUP INC DE 8.01 01/31/12 COSTCO WHOLESALE CORP /NEW WA 1.01,5.07,8.01,9.01 01/26/12 CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 01/30/12 CSB BANCORP INC /OH OH 5.02 01/26/12 CSB BANCORP INC /OH OH 2.02,9.01 01/31/12 CubeSmart MD 5.02,9.01 01/25/12 CYTEC INDUSTRIES INC/DE/ DE 2.02,9.01 01/31/12 CYTTA CORP. NV 1.01 09/30/11 DANAHER CORP /DE/ DE 2.02,9.01 01/30/12 DELCATH SYSTEMS INC DE 1.01,9.01 01/28/12 DELPHI FINANCIAL GROUP INC/DE DE 8.01,9.01 01/30/12 DENALI CONCRETE MANAGEMENT INC NV 5.03,7.01,9.01 01/25/12 Digital Realty Trust, Inc. 2.02,7.01,9.01 01/30/12 Dolby Laboratories, Inc. DE 2.02,9.01 01/31/12 DUKE REALTY CORP IN 2.02,9.01 01/25/12 DUKE REALTY LIMITED PARTNERSHIP/ IN 2.02,9.01 01/25/12 DYNEX CAPITAL INC VA 1.01,9.01 01/27/11 EMCLAIRE FINANCIAL CORP PA 2.02,9.01 01/31/12 Energy Future Holdings Corp /TX/ TX 7.01,8.01,9.01 01/31/12 ENNIS, INC. TX 1.01,9.01 01/30/12 ENTERGY CORP /DE/ DE 2.02,7.01,9.01 01/31/12 ENTERGY CORP /DE/ DE 5.02 01/31/12 Enterologics, Inc. NV 1.01,2.03,9.01 01/11/12 EXACTECH INC FL 2.02,7.01,9.01 01/31/12 EXCO RESOURCES INC TX 1.01,9.01 01/25/12 EXXON MOBIL CORP NJ 2.02,7.01 01/31/12 FAR EAST ENERGY CORP NV 5.02,9.01 01/31/12 Federal Home Loan Bank of Atlanta X1 2.03 01/31/12 Federal Home Loan Bank of Boston X1 2.03 01/25/12 Federal Home Loan Bank of Chicago X1 2.03 01/25/12 Federal Home Loan Bank of Dallas 2.03,9.01 01/25/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/27/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 01/31/12 Federal Home Loan Bank of New York X1 2.03,9.01 01/25/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 01/25/12 Federal Home Loan Bank of Seattle 2.03 01/25/12 Federal Home Loan Bank of Topeka 2.03,9.01 01/26/12 FedFirst Financial Corp 2.02,9.01 01/31/12 FEMALE HEALTH CO WI 2.02,9.01 01/31/12 FIRST BANCORP /NC/ NC 2.02,9.01 01/31/12 FIRST BUSINESS FINANCIAL SERVICES, IN WI 5.02,5.03,9.01 01/30/12 FIRST BUSINESS FINANCIAL SERVICES, IN WI 2.03,9.01 01/26/12 FIRST CAPITAL BANCORP, INC. VA 8.01,9.01 01/31/12 First Connecticut Bancorp, Inc. MD 8.01 01/31/12 FIRST FINANCIAL CORP /IN/ IN 2.02,9.01 01/31/12 FIRST FINANCIAL CORP /IN/ IN 8.01,9.01 12/30/11 AMEND FIRST INTERSTATE BANCSYSTEM INC MT 5.02,9.01 01/25/12 FIRST M&F CORP/MS MS 2.02,9.01 01/23/12 AMEND FIRST MARBLEHEAD CORP 2.02,5.02,7.01,9.01 01/26/12 FIRST OTTAWA BANCSHARES INC DE 2.02,9.01 01/31/12 FIRST RESOURCES CORP NV 8.01 11/01/11 AMEND FLORIDIAN FINANCIAL GROUP INC 2.02,9.01 01/31/12 FLOTEK INDUSTRIES INC/CN/ DE 7.01,9.01 01/31/12 FORTINET INC 2.02,9.01 01/31/12 Frozen Food Gift Group, Inc DE 5.02 01/30/12 Fuer International Inc. NV 4.01,9.01 01/30/12 FUNCTION (X) INC. DE 2.01,9.01 12/31/11 AMEND G&K SERVICES INC MN 2.02,9.01 01/31/12 GALLAGHER ARTHUR J & CO DE 2.02,9.01 01/31/12 GAMETECH INTERNATIONAL INC DE 2.02,9.01 01/31/12 GASTAR EXPLORATION LTD 2.02,8.01,9.01 01/31/12 GENELINK INC PA 5.07 01/25/12 General Finance CORP DE 8.01,9.01 01/31/12 Genie Energy Ltd. DE 5.03,9.01 01/30/12 GENTEX CORP MI 2.02,9.01 01/31/12 GENUINE PARTS CO GA 7.01,9.01 01/31/12 GLADSTONE CAPITAL CORP MD 2.02,9.01 01/31/12 GLADSTONE COMMERCIAL CORP MD 1.01,8.01,9.01 01/31/12 Global Geophysical Services Inc DE 8.01,9.01 01/30/12 Gold Dynamics Corp. NV 5.02 01/24/12 Goldenway, Inc. NV 1.01,2.01,3.02,5.01, 01/31/12 AMEND 5.02,5.03,5.06,5.07, 9.01 GRACO INC MN 2.02,9.01 01/30/12 GRIFFIN LAND & NURSERIES INC DE 8.01,9.01 01/31/12 GRIFFON CORP DE 2.02,9.01 01/31/12 Guanwei Recycling Corp. NV 3.01 01/25/12 GUIDED THERAPEUTICS INC DE 7.01,9.01 01/31/12 HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 01/31/12 HARMONIC INC DE 2.02,9.01 01/31/12 HARRIS CORP /DE/ DE 2.02,7.01,9.01 01/31/12 HARTE HANKS INC DE 2.02,9.01 01/31/12 HAWAIIAN HOLDINGS INC DE 2.02,9.01 01/31/12 HAWTHORN BANCSHARES, INC. MO 5.02 01/30/12 HEADWATERS INC DE 2.02,9.01 01/31/12 HEALTH CARE REIT INC /DE/ DE 5.02 01/26/12 HEALTHCARE REALTY TRUST INC MD 2.02,9.01 01/31/12 HealthSpring, Inc. DE 1.02,2.01,3.01,3.03, 01/31/12 5.01,5.02,5.03,9.01 HELMERICH & PAYNE INC DE 2.02,9.01 01/31/12 HENRY JACK & ASSOCIATES INC DE 2.02,9.01 01/31/12 HERITAGE BANKSHARES INC /VA VA 2.02,5.02,8.01,9.01 01/25/12 HINES REAL ESTATE INVESTMENT TRUST IN 8.01 01/31/12 HOPFED BANCORP INC DE 2.02,9.01 01/30/12 HOSPIRA INC DE 5.02,8.01,9.01 01/27/12 IBERIABANK CORP LA 8.01,9.01 01/27/12 ICAHN ENTERPRISES L.P. DE 7.01,9.01 01/31/12 ICF International, Inc. DE 7.01,8.01,9.01 01/30/12 ICG GROUP, INC. DE 5.02 01/25/12 ICU MEDICAL INC/DE DE 2.02,9.01 01/30/12 IEC ELECTRONICS CORP DE 2.02,7.01,9.01 01/31/12 ILLINOIS TOOL WORKS INC DE 2.02,9.01 12/31/11 ILLUMINA INC DE 8.01,9.01 01/31/12 IMPERIAL OIL LTD 2.02,9.01 01/31/12 Independence Bancshares, Inc. SC 8.01 01/25/12 INERGY L P DE 2.02,7.01,9.01 01/31/12 INERGY MIDSTREAM, L.P. 2.02,7.01,9.01 01/31/12 INFOSPACE INC DE 2.01,7.01,8.01,9.01 01/31/12 INNOVATIVE FOOD HOLDINGS INC FL 5.03,5.07,9.01 01/25/12 Inova Technology Inc. NV 8.01 01/31/12 Inova Technology Inc. NV 8.01 01/31/12 Intcomex, Inc. DE 1.01,2.03,9.01 01/25/12 INTEVAC INC CA 2.02,9.01 01/31/12 Investors Bancorp Inc DE 2.02,9.01 01/26/12 ITC Holdings Corp. MI 5.02 01/26/12 IXYS CORP /DE/ DE 2.02,9.01 01/31/12 JDA SOFTWARE GROUP INC DE 2.02,9.01 01/31/12 KEATING CAPITAL INC 7.01 01/27/12 KEY TRONIC CORP WA 2.02,9.01 01/31/12 KEYNOTE SYSTEMS INC DE 2.02,9.01 01/31/12 KILROY REALTY CORP MD 2.02,9.01 01/30/12 Kodiak Oil & Gas Corp B0 2.02,9.01 01/30/12 KULICKE & SOFFA INDUSTRIES INC PA 2.02,9.01 01/31/12 L 3 COMMUNICATIONS HOLDINGS INC DE 2.02,9.01 01/31/12 LANDMARK BANCORP INC DE 2.02,8.01,9.01 01/31/12 LEGACY RESERVES LP DE 8.01 01/26/12 LEUCADIA NATIONAL CORP NY 8.01,9.01 01/25/12 LEXMARK INTERNATIONAL INC /KY/ DE 2.02,2.05,9.01 01/31/12 Li-ion Motors Corp. NV 5.03,9.01 01/26/12 LILLY ELI & CO IN 2.02,9.01 01/31/12 LINDSAY CORP DE 5.07 01/30/12 Live Nation Entertainment, Inc. DE 8.01 01/31/12 LOCKHEED MARTIN CORP MD 5.02,5.03,9.01 01/26/12 LogMeIn, Inc. DE 5.02 01/26/12 LoopNet, Inc. DE 8.01 01/31/12 LOWES COMPANIES INC NC 5.02,5.03,9.01 01/27/12 LSB INDUSTRIES INC DE 8.01 01/26/12 LyondellBasell Industries N.V. P7 2.05 09/27/11 AMEND Macy's, Inc. DE 5.02 01/31/12 MAJIC WHEELS CORP 5.03,9.01 07/28/10 MAKO Surgical Corp. DE 5.02,9.01 01/31/12 MANHATTAN ASSOCIATES INC GA 2.02,9.01 01/31/12 MANNKIND CORP DE 2.02,7.01,8.01 01/31/12 MARINEMAX INC DE 2.02,9.01 01/31/12 MARKWEST ENERGY PARTNERS L P 5.02,8.01,9.01 01/26/12 MARTHA STEWART LIVING OMNIMEDIA INC DE 5.02,9.01 01/26/12 MARTHA STEWART LIVING OMNIMEDIA INC DE 5.02 12/12/11 AMEND MATTEL INC /DE/ DE 2.02,8.01,9.01 01/31/12 MCDONALDS CORP DE 5.02,5.03,7.01,9.01 01/25/12 MCGRAW-HILL COMPANIES INC NY 2.02,7.01,9.01 01/31/12 MEADWESTVACO Corp DE 1.01,1.02,2.03,9.01 01/30/12 MEDIACOM LLC NY 8.01,9.01 01/31/12 MEDICAL PROPERTIES TRUST INC 7.01,9.01 01/31/12 MEDICAL PROPERTIES TRUST INC 1.01,2.02,5.03,7.01, 01/31/12 8.01,9.01 MedPro Safety Products, Inc. NV 7.01,9.01 01/31/12 MERCER INTERNATIONAL INC. WA 5.02,8.01,9.01 01/26/12 MEREDITH CORP IA 5.07 01/31/12 AMEND Meritage Homes CORP MD 2.02,9.01 01/31/12 MGT CAPITAL INVESTMENTS INC DE 3.01,9.01 01/26/12 MICRONETICS INC DE 2.02,9.01 01/30/12 MIDDLEBURG FINANCIAL CORP VA 2.02,8.01,9.01 01/31/12 MIDSOUTH BANCORP INC LA 2.02,8.01,9.01 12/31/11 MODINE MANUFACTURING CO WI 5.02,9.01 01/26/12 Monotype Imaging Holdings Inc. DE 8.01 01/30/12 Motors Liquidation Co DE 8.01,9.01 01/30/12 MYRIAD GENETICS INC DE 2.02,9.01 01/31/12 National Automation Services Inc NV 3.02,9.01 01/25/12 NATIONAL INSTRUMENTS CORP /DE/ DE 2.02,9.01 01/31/12 Native American Energy Group, Inc. DE 8.01,9.01 01/27/12 NATURAL GAS SERVICES GROUP INC 5.02 01/25/12 NAVARRE CORP /MN/ MN 2.02,9.01 01/30/12 Neenah Paper Inc DE 8.01,9.01 01/31/12 Neenah Paper Inc DE 2.01,9.01 01/31/12 Neenah Paper Inc DE 5.02 01/25/12 NEWMONT MINING CORP /DE/ DE 7.01 01/31/12 NEWS CORP 8.01,9.01 01/31/12 NewStar Financial, Inc. 1.01,2.03,9.01 01/27/12 NORTH AMERICAN ENERGY RESOURCES, INC. 9.01 10/28/11 AMEND NORTH SPRINGS RESOURCES CORP. NV 1.01,2.03,3.02,9.01 01/25/12 Northfield Bancorp, Inc. X1 5.02,9.01 01/25/12 NOVADEL PHARMA INC DE 1.01,7.01,9.01 08/18/11 AMEND NuStar Energy L.P. DE 5.02,9.01 01/26/12 OLD POINT FINANCIAL CORP VA 2.02,9.01 01/31/12 OLIN CORP VA 2.02,9.01 01/30/12 ONCOR ELECTRIC DELIVERY CO LLC DE 7.01 01/31/12 ONCOR ELECTRIC DELIVERY CO LLC DE 2.02,7.01 01/31/12 Onteco Corp NV 3.02,9.01 01/24/12 ORCHARD SUPPLY HARDWARE STORES CORP DE 1.02,5.02,9.01 01/30/12 ORIENTAL FINANCIAL GROUP INC PR 2.02,9.01 01/30/12 OSHKOSH CORP WI 2.02,9.01 01/31/12 OSHKOSH CORP WI 5.02,5.07 01/27/12 PACCAR INC DE 2.02,9.01 01/31/12 PACIFIC CAPITAL BANCORP /CA/ DE 2.02,9.01 01/30/12 Pacific Ethanol, Inc. DE 1.01,9.01 01/25/12 PALADIN REALTY INCOME PROPERTIES INC MD 9.01 11/15/11 AMEND PAREXEL INTERNATIONAL CORP MA 2.02,9.01 01/30/12 PARK NATIONAL CORP /OH/ OH 2.02,4.02,8.01 01/27/12 PARTNERRE LTD 8.01,9.01 01/25/12 PATHFINDER BANCORP INC DE 5.02 01/26/12 PENSKE AUTOMOTIVE GROUP, INC. DE 8.01,9.01 01/31/12 PENTAIR INC MN 2.02,9.01 01/31/12 Peoples Federal Bancshares, Inc. MD 2.02,9.01 01/31/12 PEOPLES FINANCIAL CORP /MS/ MS 2.02,9.01 01/31/12 Pernix Group, Inc. 5.02,9.01 01/26/12 PETROQUEST ENERGY INC DE 2.02,9.01 01/31/12 PFIZER INC DE 2.02,9.01 01/31/12 PIXELWORKS, INC OR 2.02,9.01 01/30/12 PLANTRONICS INC /CA/ DE 2.02,7.01,9.01 01/31/12 Polypore International, Inc. 7.01,9.01 01/31/12 POSITIVEID Corp DE 5.02,8.01 01/27/12 POTLATCH CORP DE 2.02,9.01 01/31/12 PPL Corp 8.01 12/22/11 PROGRESS SOFTWARE CORP /MA MA 8.01 01/30/12 PROVIDENT FINANCIAL HOLDINGS INC DE 2.02,7.01,9.01 01/31/12 QCR HOLDINGS INC DE 2.02,9.01 01/30/12 QUALITY SYSTEMS, INC CA 2.02,5.02,9.01 01/25/12 AMEND QUALSTAR CORP CA 2.02,9.01 01/31/12 QUANTA SERVICES INC DE 1.01,9.01 01/26/12 QUANTUM CORP /DE/ DE 8.01 01/31/12 RADISYS CORP OR 2.02,9.01 01/31/12 RALCORP HOLDINGS INC /MO MO 1.01,2.04,9.01 01/27/12 RBS GLOBAL INC DE 2.01,9.01 01/31/12 Regency Energy Partners LP DE 5.02 01/30/12 RENT A CENTER INC DE 2.02,9.01 01/30/12 REVA Medical, Inc. DE 2.02,7.01,9.01 01/30/12 RigNet, Inc. DE 5.02,9.01 01/31/12 RIVERVIEW BANCORP INC WA 8.01,9.01 01/31/12 Rotoblock CORP NV 9.01 05/10/11 AMEND RTI Biologics, Inc. DE 2.02,9.01 01/31/12 Ruths Hospitality Group, Inc. DE 5.02 01/26/12 SAIA INC DE 2.02,9.01 01/31/12 SAIA INC DE 1.01,9.01 01/26/12 SAIC, Inc. 5.03,9.01 01/31/12 SCHAWK INC 7.01,9.01 01/31/12 SEACOAST BANKING CORP OF FLORIDA FL 2.02,7.01,9.01 01/26/12 Seagate Technology plc L2 2.02,9.01 01/31/12 SEALY CORP DE 7.01,9.01 01/30/12 SECURITY FEDERAL CORP SC 2.02,9.01 01/30/12 Shire plc 8.01,9.01 01/31/12 SIGMA ALDRICH CORP DE 2.01,8.01,9.01 01/31/12 SIGNATURE GROUP HOLDINGS, INC. NV 8.01 01/26/12 SJW CORP CA 5.02 01/27/12 SL GREEN REALTY CORP MD 8.01,9.01 01/30/12 SL GREEN REALTY CORP MD 2.02,7.01,9.01 01/30/12 Southeastern Bank Financial CORP GA 2.02,8.01,9.01 01/27/12 SOUTHWEST BANCORP INC OK 5.02,7.01 01/26/12 St. Joseph Bancorp, Inc. MD 8.01,9.01 01/31/12 STANDARD MICROSYSTEMS CORP DE 1.01 08/16/11 AMEND STANLEY FURNITURE CO INC. DE 2.02,5.02,9.01 01/31/12 Station Casinos LLC NV 7.01,9.01 01/31/12 StellarOne CORP VA 8.01,9.01 01/31/12 Stratus Media Group, Inc NV 2.03,9.01 01/25/12 SUFFOLK BANCORP NY 2.02,9.01 01/31/12 SUMMIT FINANCIAL GROUP INC WV 2.02,9.01 01/31/12 SUN BANCORP INC /NJ/ NJ 2.02,9.01 01/30/12 SUNPOWER CORP DE 3.02,8.01 01/31/12 SUPERTEL HOSPITALITY INC VA 8.01 01/31/12 SUSSEX BANCORP NJ 2.02,9.01 01/27/12 Symmetry Medical Inc. DE 8.01,9.01 01/30/12 Talon Therapeutics, Inc. DE 8.01 01/30/12 Tanke Biosciences Corp NV 4.01,8.01,9.01 01/20/12 AMEND Targa Resources Partners LP DE 1.01,2.03,8.01,9.01 01/26/12 TAYLOR CAPITAL GROUP INC DE 1.01,9.01 01/30/12 TECHNE CORP /MN/ MN 2.02,9.01 01/31/12 TECHNE CORP /MN/ MN 8.01,9.01 01/31/12 TELETECH HOLDINGS INC DE 5.02,9.01 01/26/12 TELLABS INC DE 2.02,2.05,8.01,9.01 01/25/12 TELULAR CORP DE 2.02,8.01,9.01 01/26/12 Tennessee Commerce Bancorp, Inc. TN 3.01,5.02,8.01 01/24/12 Tennessee Commerce Bancorp, Inc. TN 3.01 01/30/12 THERMOGENESIS CORP DE 1.02,5.02,8.01,9.01 01/27/12 THQ INC DE 3.01 01/25/12 TJX COMPANIES INC /DE/ DE 5.02 01/27/12 TRANSATLANTIC HOLDINGS INC DE 8.01 01/30/12 Treaty Energy Corp NV 8.01,9.01 01/27/12 TRI COUNTY FINANCIAL CORP /MD/ MD 8.01,9.01 01/30/12 TRICO BANCSHARES / CA 8.01,9.01 01/30/12 TRIM HOLDING GROUP NV 8.01 12/31/10 Trunity Holdings, Inc. DE 1.01,2.01,3.02,4.01, 01/24/12 5.01,5.02,5.06,8.01, 9.01 Tundra Gold Corp. NV 8.01,9.01 01/25/12 TYCO INTERNATIONAL LTD V8 2.02,9.01 01/31/12 TYCO INTERNATIONAL LTD V8 2.02,7.01 01/31/12 Ubiquiti Networks, Inc. DE 2.02,9.01 01/31/12 ULTRALIFE CORP DE 8.01,9.01 01/31/12 UNISYS CORP DE 2.02,9.01 01/31/12 UNITED COMMUNICATIONS PARTNERS INC NV 3.02,8.01 12/19/11 UNITED PARCEL SERVICE INC DE 2.02,9.01 01/31/12 UNITED STATES STEEL CORP DE 2.02,9.01 01/31/12 UNITY BANCORP INC /NJ/ NJ 2.02,9.01 01/30/12 Upstream Worldwide, Inc. DE 3.02,5.02,5.03 01/26/12 URANIUM ENERGY CORP NV 7.01,9.01 01/31/12 US ENERGY CORP WY 7.01,9.01 01/31/12 UTAH MEDICAL PRODUCTS INC UT 2.02 01/31/12 VALERO ENERGY CORP/TX DE 2.02 01/31/12 VERTEX PHARMACEUTICALS INC / MA MA 8.01 01/31/12 Vicor Technologies, Inc. DE 5.02 01/26/12 VIRTUSA CORP 1.01,2.02,9.01 01/31/12 VISA INC. DE 5.02,5.07,9.01 01/31/12 VISION SCIENCES INC /DE/ DE 2.02,9.01 01/31/12 Vitacost.com, Inc. DE 5.02,9.01 01/25/12 Vulcan Materials CO NJ 1.01,9.01 01/27/12 WADDELL & REED FINANCIAL INC DE 2.02,9.01 01/31/12 WEBSENSE INC DE 2.02,5.02,9.01 01/25/12 WEGENER CORP DE 5.07 01/31/12 WELLS REAL ESTATE FUND IX LP GA 7.01,8.01,9.01 01/31/12 WELLS REAL ESTATE FUND VIII LP GA 7.01,8.01,9.01 01/31/12 WELLS REAL ESTATE FUND XI L P GA 7.01,8.01,9.01 01/31/12 WELLS REAL ESTATE FUND XII LP GA 7.01,8.01,9.01 01/31/12 WELLS REAL ESTATE FUND XIII L P 7.01,8.01,9.01 01/31/12 WELLS REAL ESTATE FUND XIV LP GA 7.01,8.01,9.01 01/31/12 WEST BANCORPORATION INC IA 5.02 01/25/12 WESTMORELAND COAL Co DE 1.01,8.01,9.01 01/25/12 WILSHIRE BANCORP INC 2.02,9.01 01/23/12 WINMARK CORP MN 1.01,9.01 01/30/12 WINN DIXIE STORES INC FL 8.01,9.01 01/31/12 WMS INDUSTRIES INC /DE/ DE 2.02,9.01 01/26/12 WPCS INTERNATIONAL INC DE 8.01,9.01 01/31/12 WRIGHT MEDICAL GROUP INC DE 8.01,9.01 01/30/12 WSB Holdings Inc DE 2.02,9.01 01/30/12 WVS FINANCIAL CORP PA 8.01,9.01 01/31/12 XFONE INC. NV 8.01,9.01 01/31/12 XPLORE TECHNOLOGIES CORP DE 7.01,9.01 01/31/12 ZION OIL & GAS INC DE 8.01,9.01 01/31/12
http://www.sec.gov/news/digest/2012/dig020112.htm
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