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commission announcementsDirector of L.A. Office Rosalind Tyson to Retire after 30 Years of SEC ServiceThe Securities and Exchange Commission today announced that Rosalind Ramsey Tyson, Director of the SEC’s Los Angeles Regional Office, will retire at the end of March after 30 years of service with the agency. Ms. Tyson has led the Los Angeles office since 2007, overseeing the enforcement and examination functions in the region covering Southern California, Arizona, Nevada, and Hawaii. The Los Angeles office has a staff of 170 people. “Through her tireless work and steady leadership of the Los Angeles office, Roz has been a key contributor to both the Enforcement Division’s unmatched record of protecting investors and the development of a smarter, more effective examination program,” said SEC Chairman Mary L. Schapiro. SEC Enforcement Director Robert Khuzami said, “Thirty years ago, Roz answered the call of public service and dedicated her career to protecting investors and maintaining the primacy of our capital markets. She served with distinction, and we will miss her greatly.” Carlo di Florio, Director of the SEC’s Office of Compliance Inspections and Examinations, added, “Roz has provided tremendous leadership to the exam program, nationally and regionally, helping to oversee our self-assessment and improvement initiatives. Roz’s leadership, teamwork, and collaboration have helped the SEC exam program better prevent fraud, promote compliance, monitor risk, and inform policy. Ms. Tyson said, “It has been a privilege throughout my career to serve alongside dedicated colleagues protecting American investors. I’m particularly grateful for the opportunity to participate in the substantial restructuring and refocusing of both the examination and enforcement programs during Chairman Schapiro’s tenure.” Under Ms. Tyson’s leadership, the Los Angeles office has brought enforcement actions in a significant number of subprime and financial crisis-related cases:
The Los Angeles office also brought significant emergency actions at Ms. Tyson’s direction to freeze assets in alleged Ponzi schemes, including an international offering fraud at Private Equity Management Group, an offering fraud at Medical Capital Holdings, and a real estate investment fraud at Diversified Lending Group. As member of the National Exam Program’s Executive Committee and co-chair of the Risk and Exam Process Steering Committee, Ms. Tyson was instrumental in shaping and implementing significant changes to make the examination program more effective and efficient. Ms. Tyson implemented similar-in-scope changes to streamline the enforcement management structure as well as the operational structure of the Los Angeles office. Ms. Tyson, 63, joined the Los Angeles office as an enforcement staff attorney in 1982 following several years in private practice. She later became Branch Chief of the Branch of Full Disclosure, which reviewed initial public offering registrations of small business issuers. Ms. Tyson was named an Assistant Regional Director of the Los Angeles office in 1988, and became an Associate Regional Director in 1993. Ms. Tyson graduated from Georgetown University’s School of Languages and Linguistics, the University of Hawaii, and Stanford Law School. She is a member of the California bar. Press Rel. 2012-28) Enforcement proceedingsIn the Matter of Leila C. JenkinsAn Administrative Law Judge has issued an Initial Decision (Decision) in Leila C. Jenkins, Admin. Proc. No. 3-14458. On June 30, 2011, the U. S. District Court for the District of Rhode Island entered a final judgment against Leila C. Jenkins (Jenkins), permanently enjoining her from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and Sections 206(1), 206(2), and 207 of the Investment Advisers Act of 1940 (Advisers Act), and from aiding and abetting violations of Sections 204 and 206(4) of the Advisers Act and Rules 204-2(a)(6), 204-2(a)(8), 204-2(a)(10), 204-2(a)(15), 204-2(a)(16), and 206(4)-1(a)(5) thereunder, as a result of Jenkins’ fraudulent misrepresentations regarding the nature and amount of her company’s assets under management. Based on the final judgment entered against Jenkins, the Decision bars Jenkins from associating with a broker, dealer, or investment adviser, pursuant to Section 15(b) of the Exchange Act and Section 203(f) of the Advisers Act. (Initial Decision No. 451; File No. 3-14458) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Ten Public Companies For Failure to Make Required Periodic FilingsToday the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of ten companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the ten issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-66388; File No. 3-14758) Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-15) amending the rebates and fees for adding and removing liquidity in Select Symbols 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 February 13. (Rel. 34-66367) A proposed rule change filed by the NASDAQ Stock Market LLC (SR-NASDAQ-2012-024) to modify NASDAQ’s Pre-Market Investor Program 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 February 13. (Rel. 34-66369) A proposed rule change filed by The NASDAQ Stock Market LLC relating to fidelity bonds (SR-NASDAQ-2012-021) 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 February 13. (Rel. 34-66372) A proposed rule change filed by NYSE Amex LLC (SR-NYSEAmex-12-05) amending an existing rebate relating to Qualified Contingent Cross orders that are entered and executed through the Exchange systems 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 February 13. (Rel. 34-66376) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2012-12) implementing changes to the NYSE Arca Options Fee Schedule relating to post liquidity credits 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 February 13. (Rel. 34-66377) A proposed rule change filed by the BATS Exchange, Inc. (SR-BATS-2012-009) to modify Exchange Rule 11.23 relating to auctions of Exchange-Listed securities 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 February 13. (Rel. 34-66380) A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-014) to establish transaction fees for options on the CBOE Emerging Markets ETF Volatility Index, the CBOE Brazil ETF Volatility Index and CBOE Oil ETF Volatility Index 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 February 13. (Rel. 34-66382) Approval of Proposed Rule ChangesThe Commission granted approval of a proposed rule change submitted by NYSE Amex LLC (SR-NYSEAmex-2011-101), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, amending NYSE Amex Equities Rules 504 and 509 to modify the quoting requirements applicable to Designated Market Maker units registered in Nasdaq Stock Market securities traded on the Exchange subject to the Unlisted Trading Privileges Pilot Program. Publication is expected in the Federal Register during the week of February 13. (Rel. 34-66371) The Commission granted approval of a proposed rule change (SR-CBOE-2011-117) submitted by the Chicago Board Options Exchange, Incorporated pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to its Automated Improvement Mechanism. Publication is expected in the Federal Register during the week of February 13. (Rel. 34-66375) Proposed Rule ChangeNYSE Arca, Inc. filed with the Securities and Exchange Commission a proposed rule change (SR-NYSEArca-2012-09) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to the listing and trading of the PIMCO Global Advantage Inflation-Linked Bond Strategy Fund under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of February 13. (Rel. 34-66381) 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 NEOPHOTONICS CORP, 2911 ZANKER ROAD, SAN JOSE, CA, 951342125,
4082329200 - 1,470,190 ($8,482,996.30) Equity, (File 333-179453 -
Feb. 10) (BR. 11A)
S-1 Quicksilver Production Partners LP, 801 CHERRY STREET,
SUITE 3700, UNIT 19, FORT WORTH, TX, 76102, 817-665-5000 -
0 ($250,000,000.00) Other, (File 333-179454 - Feb. 10) (BR. 04)
S-8 VelaTel Global Communications, Inc., 12526 HIGH BLUFF DRIVE, STE 155,
SAN DIEGO, CA, 92130, 760-230-8986 - 2,032,847 ($105,708.04) Equity,
(File 333-179459 - Feb. 10) (BR. 11A)
S-1 Twin Cities Power Holdings, LLC, 16233 KENYON AVE., SUITE 210,
LAKEVILLE, MN, 55044, (952)241-3103 - 0 ($50,000,000.00) Debt,
(File 333-179460 - Feb. 10) (BR. 08)
S-1 ROYAL BEES COMPANY, INC., 6049 PASEO ACAMPO #257, CARLSBAD, CA, 92009,
760-613-0041 - 5,855,000 ($585,500.00) Equity, (File 333-179461 -
Feb. 10) (BR. 05)
S-8 XILINX INC, 2100 LOGIC DR, SAN JOSE, CA, 95124, 4085597778 -
0 ($235,885,000.00) Equity, (File 333-179463 - Feb. 10) (BR. 10C)
S-1 CALIFORNIA GOLD CORP., C/O GOTTBETTER & PARTNERS, LLP,
488 MADISON AVE., 12TH FL., NEW YORK,, NY, 10022, 212 400 6900 -
25,000,000 ($4,079,304.00) Equity, (File 333-179466 - Feb. 10) (BR. 09B)
S-8 NETSUITE INC, 2955 CAMPUS DR, STE 100, SAN MATEO, CA, 94403,
650-627-1000 - 2,693,604 ($124,175,144.40) Equity, (File 333-179467 -
Feb. 10) (BR. 03B)
S-3ASR GROUP 1 AUTOMOTIVE INC, 800 GESSNER, SUITE 500, HOUSTON, TX, 77024,
713-647-5700 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-179468 - Feb. 10) (BR. 02A)
S-1 IMAGEWARE SYSTEMS INC, 10815 RANCHO BERNARDO RD.,, SUITE 310,
SAN DIEGO, CA, 92127, 8586738600 - 0 ($29,492,792.00) Equity,
(File 333-179469 - Feb. 10) (BR. 03C)
S-4 CHESAPEAKE MIDSTREAM PARTNERS LP, 900 NW 63RD, OKLAHOMA CITY, OK,
73118, (405) 935-1500 - 0 ($1,100,000,000.00) Debt, (File 333-179470 -
Feb. 10) (BR. 02C)
S-3ASR Williams Partners L.P., ONE WILLIAMS CENTER, TULSA, OK, 74172-0172,
(918) 573-2000 - 0 ($0.00) Other, (File 333-179471 - Feb. 10) (BR. 02C)
S-8 ABB LTD, PO BOX 8131, CH 8050, ZURICH SWITZERLAND, V8, 999999999,
0 ($108,850,000.00) ADRs/ADSs, (File 333-179472 - Feb. 10) (BR. 10A)
S-3 Armour Residential REIT, Inc., 3001 OCEAN DRIVE, SUITE 201, VERO BEACH,
FL, 32963, (772) 617-4340 - 20,000,000 ($140,300,000.00) Equity,
(File 333-179473 - Feb. 10) (BR. 08B)
S-8 COMPREHENSIVE CARE CORP, 3405 W. DR. MARTIN LUTHER KING JR. BLVD.,
SUITE 101, TAMPA, FL, 33607, 813-288-4808 -
50,000,000 ($11,250,000.00) Equity, (File 333-179475 - Feb. 10)
(BR. 01A)
S-8 AKORN INC, 1925 W. FIELD COURT, SUITE 300, LAKE FOREST, IL, 60045,
8472796100 - 8,000,000 ($94,840,000.00) Equity, (File 333-179476 -
Feb. 10) (BR. 01A)
S-8 CEL SCI CORP, 8229 BOONE BLVD ., SUITE 802, VIENNA, VA, 22182,
7035069460 - 19,000,000 ($8,170,000.00) Equity, (File 333-179477 -
Feb. 10) (BR. 01A)
S-8 GSE Holding, Inc., 10 SOUTH WACKER DR., SUITE 3175, CHICAGO, IL, 60606,
281-443-8564 - 0 ($27,118,915.00) Equity, (File 333-179478 - Feb. 10)
(BR. 06C)
S-8 U.S. SILICA HOLDINGS, INC., 8490 PROGRESS DRIVE, SUITE 300, FREDERICK,
MD, 21701, 301-682-0600 - 0 ($78,293,489.00) Equity, (File 333-179480 -
Feb. 10) (BR. 09B)
S-8 Riverbed Technology, Inc., 199 FREMONT STREET, SAN FRANCISCO, CA,
94105, (415) 247-8800 - 0 ($45,435,000.00) Equity, (File 333-179482 -
Feb. 10) (BR. 03A)
S-4 Pan American Holdco Inc., 595 HOWE STREET, UNIT 906, VANCOUVER, Z4,
A1 V6C 2T5, (604) 681-1163 - 70,592,397 ($13,412,555.00) Other,
(File 333-179483 - Feb. 10) (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. STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 30DC, INC. MD 7.01,9.01 02/09/12 AARON'S INC GA 2.02,9.01 02/09/12 ACCESS PHARMACEUTICALS INC DE 1.01,9.01 02/10/12 ACME PACKET INC DE 5.02,9.01 02/06/12 Addus HomeCare Corp DE 7.01 02/07/12 AETRIUM INC MN 2.02,9.01 02/09/12 AFLAC INC GA 1.01,2.03,9.01 02/08/12 AgFeed Industries, Inc. NV 2.04 02/06/12 ALLIANCE ONE INTERNATIONAL, INC. VA 9.01 12/31/11 ALLIANT ENERGY CORP WI 2.02,9.01 02/10/12 Alliqua, Inc. FL 8.01,9.01 02/07/12 AMAZON COM INC DE 5.02 02/09/12 AMBAC FINANCIAL GROUP INC DE 5.02 02/06/12 AMERIANA BANCORP IN 2.02,9.01 02/10/12 AMERICAN LEARNING Corp NY 2.02,8.01,9.01 02/10/12 American Midstream Partners, LP DE 9.01 12/01/11 AMEND American Railcar Industries, Inc. ND 7.01,8.01,9.01 02/09/12 AMPAL-AMERICAN ISRAEL CORP NY 3.01 02/10/12 AmREIT Monthly Income & Growth Fund I 1.01,1.02,2.01,2.04, 02/06/12 9.01 AMYRIS, INC. DE 7.01,9.01 02/09/12 Apollo Global Management LLC DE 2.02,9.01 02/10/12 APPLIED ENERGETICS, INC. DE 8.01 02/09/12 APTARGROUP INC DE 2.02,9.01 02/09/12 ARCH COAL INC DE 2.02,9.01 02/10/12 Artio Global Investors Inc. DE 7.01,9.01 02/10/12 ASB Bancorp Inc NC 8.01,9.01 02/10/12 ATMOS ENERGY CORP TX 5.07 02/08/12 ATWOOD OCEANICS INC TX 5.07 02/10/12 AXA EQUITABLE LIFE INSURANCE CO NY 5.02 02/10/12 Bacterin International Holdings, Inc. DE 7.01,9.01 02/10/12 Bancorp, Inc. 7.01,9.01 02/10/12 BANK OF AMERICA CORP /DE/ DE 8.01 02/09/12 Bank of the Carolinas CORP NC 2.02,9.01 02/10/12 BARD C R INC /NJ/ NJ 8.01 02/10/12 BARD C R INC /NJ/ NJ 5.02 02/08/12 BCSB Bancorp Inc. 5.07 02/08/12 BEACON ENTERPRISE SOLUTIONS GROUP INC NV 7.01,9.01 02/10/12 BEACON ROOFING SUPPLY INC DE 5.07 02/08/12 Behringer Harvard Opportunity REIT I, MD 5.02 02/10/12 BERRY PLASTICS CORP DE 5.02 02/10/12 BIGLARI HOLDINGS INC. IN 5.02 02/08/12 BIMINI CAPITAL MANAGEMENT, INC. MD 8.01,9.01 02/10/12 BIOANALYTICAL SYSTEMS INC IN 2.02,9.01 02/10/12 BIOMIMETIC THERAPEUTICS, INC. DE 8.01,9.01 02/06/12 Bitzio, Inc. NV 2.01,3.02,9.01 09/14/11 AMEND BLUE NILE INC DE 5.02,9.01 02/06/12 Bravo Brio Restaurant Group, Inc. OH 5.02 02/09/12 BRINKER INTERNATIONAL INC DE 7.01,9.01 02/09/12 BUCKEYE PARTNERS, L.P. DE 1.01,2.02,5.02,7.01, 02/08/12 8.01,9.01 Cadista Holdings Inc. DE 1.01,5.02 02/06/12 CAESARS ENTERTAINMENT Corp DE 7.01,9.01 02/09/12 CALPINE CORP DE 2.02,9.01 02/10/12 CAPITAL TRUST INC MD 5.05,8.01,9.01 02/07/12 CAPSTEAD MORTGAGE CORP MD 7.01,9.01 02/10/12 CardioNet, Inc. CA 1.01,7.01,9.01 02/10/12 CAREFUSION Corp 8.01,9.01 02/10/12 Catalent Pharma Solutions, Inc. DE 2.02,9.01 02/10/12 CBL & ASSOCIATES PROPERTIES INC DE 2.02,9.01 02/08/12 CDEX INC NV 1.03,2.04 02/10/12 CENTERLINE HOLDING CO DE 8.01,9.01 02/06/12 CH ENERGY GROUP INC NY 5.02,9.01 02/06/12 CH2M HILL COMPANIES LTD DE 8.01 02/10/12 CHASE CORP MA 5.07 02/06/12 CHEMUNG FINANCIAL CORP NY 2.02,9.01 12/31/11 China Armco Metals, Inc. NV 5.02,9.01 02/08/12 CHINA EDUCATION TECHNOLOGY, INC. NV 2.04,5.01,5.02,5.07, 02/10/12 9.01 CHINA SHEN ZHOU MINING & RESOURCES, I NV 1.01,2.01,3.02,8.01, 01/16/12 AMEND 9.01 Chineseinvestors.com, Inc. IN 3.02 02/06/12 CHOICE BANCORP, INC. WI 2.02,9.01 02/10/12 CIRCLE STAR ENERGY CORP. NV 1.02,8.01 02/06/12 CIRCLE STAR ENERGY CORP. NV 1.01,2.03,3.02,8.01 02/08/12 Citi Trends Inc 5.02,9.01 02/07/12 CITIGROUP INC DE 2.02,8.01,9.01 02/09/12 CLAIRES STORES INC DE 2.02,9.01 02/10/12 CLEAN WIND ENERGY TOWER, INC. NV 8.01,9.01 02/10/12 Cogdell Spencer Inc. MD 8.01 02/10/12 COGNIZANT TECHNOLOGY SOLUTIONS CORP 5.02 02/09/12 COLLECTORS UNIVERSE INC DE 2.02,9.01 02/09/11 COLOMBIA ENERGY RESOURCES, INC. DE 1.01,2.01,2.03,9.01 10/07/11 COMSTOCK FUNDS INC MD 1.01,9.01 02/08/12 Comstock Mining Inc. NV 1.01,9.01 02/08/12 Converted Organics Inc. DE 3.02 02/07/12 CORNING NATURAL GAS CORP NY 1.01,8.01,9.01 02/06/12 CRAWFORD & CO GA 5.05,9.01 02/07/12 CRIMSON EXPLORATION INC. 8.01,9.01 02/08/12 CSX CORP VA 5.02,9.01 02/10/12 AMEND CUBIST PHARMACEUTICALS INC DE 8.01,9.01 02/09/12 DIEBOLD INC OH 8.01 02/10/12 DISCOUNT DENTAL MATERIALS, INC. 1.01,2.01,2.03,3.02, 02/09/12 4.01,5.01,5.02,5.03, 9.01 Dresser-Rand Group Inc. DE 5.02,5.03,9.01 02/08/12 DYNEX CAPITAL INC VA 7.01,9.01 02/10/12 E TRADE FINANCIAL Corp DE 5.02 02/10/12 EAGLE BANCORP INC MD 8.01,9.01 02/10/12 EAGLE BANCORP INC MD 5.02 02/07/12 EAGLE ROCK ENERGY PARTNERS L P DE 5.02,5.05,9.01 02/06/12 ECA Marcellus Trust I DE 2.02,9.01 02/09/12 EDIETS COM INC DE 5.02,9.01 02/06/12 ELECTRONICS FOR IMAGING INC DE 5.02,9.01 02/08/12 Ellington Financial LLC DE 8.01,9.01 02/09/12 EMPIRE ENERGY CORP UT 8.01 02/09/12 Emrise CORP DE 1.01,2.03,8.01,9.01 02/07/12 EMTEC INC/NJ UT 5.07 02/07/12 ENVESTNET, INC. DE 1.01,7.01,9.01 02/10/12 EVANS BANCORP INC NY 2.02,9.01 02/09/12 EXELIXIS INC DE 8.01,9.01 02/09/12 EXIDE TECHNOLOGIES DE 7.01 02/10/12 EXPRESS SCRIPTS INC DE 1.01,2.03,7.01,9.01 02/06/12 FAIR ISAAC CORP DE 5.02,5.07,9.01 02/06/12 FARMER BROTHERS CO CA 2.02,9.01 02/08/12 FBL FINANCIAL GROUP INC IA 7.01 02/10/12 FBR & Co. VA 8.01 02/08/12 Federal Home Loan Bank of Dallas 2.03,9.01 02/06/12 FIRST FINANCIAL BANCORP /OH/ OH 7.01,9.01 02/10/12 FIRST REAL ESTATE INVESTMENT TRUST OF NJ 8.01 02/03/12 AMEND First Savings Financial Group Inc 1.01,8.01,9.01 02/08/12 FLIR SYSTEMS INC OR 2.02,9.01 02/10/12 FLOW INTERNATIONAL CORP WA 1.01,9.01 02/06/12 FLOWERS FOODS INC GA 2.02,9.01 02/09/12 FLUSHING FINANCIAL CORP DE 7.01,9.01 02/10/12 FMC TECHNOLOGIES INC DE 8.01,9.01 02/09/12 FORD MOTOR CO DE 5.02,9.01 02/09/12 FORD MOTOR CO DE 5.02,9.01 02/09/12 FOUR RIVERS BIOENERGY INC. NV 1.01,9.01 02/09/12 FRANKLIN CREDIT HOLDING CORP/DE/ DE 1.01,9.01 02/08/12 FUNCTION (X) INC. DE 8.01,9.01 02/10/12 GameStop Corp. DE 5.02 02/09/12 Geeknet, Inc DE 5.02,9.01 02/09/12 GEN PROBE INC DE 5.02,9.01 02/08/12 GENERAC HOLDINGS INC. DE 1.01,1.02,2.03,9.01 02/09/12 General Finance CORP DE 8.01,9.01 02/10/12 General Finance CORP DE 8.01,9.01 02/10/12 GENTA INC DE/ DE 8.01 02/10/12 GIBRALTAR INDUSTRIES, INC. DE 5.02 02/06/12 GLOBAL NUTECH, INC. NV 5.02 02/03/12 GLU MOBILE INC DE 8.01 02/10/12 GOLDEN RIVER RESOURCES CORP. DE 1.01,2.01,9.01 02/06/12 GREAT PLAINS ENERGY INC MO 5.02 02/07/12 GUARANTY FEDERAL BANCSHARES INC DE 5.02 02/07/12 HALOZYME THERAPEUTICS INC DE 1.01,8.01,9.01 02/10/12 HARBINGER GROUP INC. DE 2.02,9.01 02/09/12 HARMONY METALS, INC. FL 5.03 12/30/11 AMEND HAWKER BEECHCRAFT ACQUISITION CO LLC DE 5.02,9.01 02/06/12 HINTO ENERGY, INC WY 7.01,9.01 02/09/12 HOME PROPERTIES INC MD 2.02,9.01 02/09/12 HomeTown Bankshares Corp 2.02,9.01 02/06/12 HORIZON BANCORP /IN/ IN 1.01,7.01,9.01 02/09/12 HUDSON CITY BANCORP INC DE 5.02,9.01 02/09/12 HUNT GLOBAL RESOURCES, INC. CO 2.03,3.02,5.02,7.01, 02/07/12 9.01 HUTCHINSON TECHNOLOGY INC MN 1.01 02/06/12 INFOSPACE INC DE 5.02,9.01 02/08/12 INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 3.02 02/06/12 INTERNATIONAL CARD ESTABLISHMENT INC DE 4.01,9.01 02/07/12 INTERPHASE CORP TX 2.02,9.01 02/09/12 Invesco Ltd. D0 7.01,9.01 02/09/12 INVIVO THERAPEUTICS HOLDINGS CORP. NV 2.02 02/06/12 IPG PHOTONICS CORP DE 2.02,9.01 02/10/12 ISECURETRAC CORP DE 5.02 02/03/12 ISLE OF CAPRI CASINOS INC DE 2.01,2.06,9.01 02/07/12 JETBLUE AIRWAYS CORP DE 7.01,8.01,9.01 02/10/12 Kallo Inc. NV 4.01 02/06/12 Kodiak Oil & Gas Corp B0 2.02,9.01 02/08/12 KRONOS WORLDWIDE INC 7.01,9.01 02/09/12 LABORATORY CORP OF AMERICA HOLDINGS DE 2.02 02/10/12 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 02/10/12 LADENBURG THALMANN FINANCIAL SERVICES FL 1.01,5.02,9.01 02/08/12 LANDAUER INC DE 5.07 02/09/12 LIBERATOR MEDICAL HOLDINGS, INC. NV 1.01,9.01 02/08/12 Liberator, Inc. FL 7.01,9.01 02/07/12 Lifeloc Technologies Inc CO 2.02,9.01 02/04/12 LML PAYMENT SYSTEMS INC A1 2.02,7.01,9.01 02/10/12 LNB BANCORP INC OH 7.01,9.01 02/10/12 LTS Nutraceuticals, Inc. NV 2.01,9.01 12/14/11 AMEND LyondellBasell Industries N.V. P7 2.02,7.01,9.01 02/10/12 MAGMA DESIGN AUTOMATION INC DE 8.01 02/08/12 Mass Hysteria Entertainment Company, NV 5.02 02/08/12 MASTERCARD INC DE 5.02 02/06/12 Mattersight Corp DE 5.02 02/06/12 MCDONALDS CORP DE 5.02 02/08/12 MEDIA GENERAL INC VA 1.01,9.01 02/08/12 Medley Capital Corp DE 1.01,9.01 02/10/12 METABOLIX, INC. 1.01,3.03,9.01 02/06/12 Mindesta Inc. DE 8.01,9.01 02/10/12 Momentive Performance Materials Inc. DE 2.02,9.01 02/10/12 MOMENTIVE SPECIALTY CHEMICALS INC. NJ 2.02,9.01 02/10/12 MONY LIFE INSURANCE CO OF AMERICA AZ 5.02 02/10/12 MUSTANG ALLIANCES, INC. 1.01,3.02,5.02,9.01 02/01/12 Myrexis, Inc. DE 2.02,9.01 02/09/12 NACCO INDUSTRIES INC DE 5.02 12/15/11 AMEND NEOMEDIA TECHNOLOGIES INC DE 1.01,3.02,9.01 02/06/12 NEPHROS INC DE 8.01,9.01 02/10/12 NETFLIX INC DE 8.01 02/10/12 NETREIT, INC. MD 8.01,9.01 12/28/11 AMEND NEWS CORP 8.01,9.01 02/10/12 NGL Energy Partners LP DE 2.01,8.01,9.01 02/06/12 Northfield Bancorp, Inc. X1 7.01,9.01 02/10/12 Northfield Bancorp, Inc. X1 2.02,9.01 02/08/12 NV ENERGY, INC. NV 5.02 02/10/12 NYSE Euronext DE 2.02,9.01 02/10/12 Oculus Innovative Sciences, Inc. CA 3.01 02/07/12 OCWEN FINANCIAL CORP FL 8.01 02/10/12 Omnitek Engineering Corp CA 1.01,9.01 02/01/12 Orange 21 Inc. DE 5.03,8.01,9.01 02/06/12 OSIRIS THERAPEUTICS, INC. DE 1.02,9.01 02/08/12 OVERLAND STORAGE INC CA 2.02,9.01 02/10/12 OVERSEAS SHIPHOLDING GROUP INC DE 8.01,9.01 02/09/12 PALOMAR MEDICAL TECHNOLOGIES INC DE 5.02,9.01 02/10/12 Park Sterling Corp NC 7.01,9.01 02/10/12 PennantPark Floating Rate Capital Ltd 5.07 02/07/12 PENNANTPARK INVESTMENT CORP 5.07 02/07/12 PENSON WORLDWIDE INC DE 5.02,9.01 02/09/12 PEOPLES BANCORP INC OH 7.01,8.01,9.01 02/10/12 PERFICIENT INC DE 7.01,9.01 02/09/12 PERNIX THERAPEUTICS HOLDINGS, INC. MD 1.01,8.01,9.01 02/10/12 PetroAlgae Inc. DE 5.02,5.03,7.01,9.01 02/10/12 Piedmont Office Realty Trust, Inc. MD 2.02,9.01 02/09/12 PIXELWORKS, INC OR 1.01,5.02,9.01 02/08/12 POWERSECURE INTERNATIONAL, INC. DE 1.01,2.03,9.01 02/07/12 PPL Corp 2.02,7.01,9.01 02/10/12 PRESSTEK INC /DE/ DE 1.01,5.02,9.01 02/10/12 Prestige Brands Holdings, Inc. 2.02,7.01,9.01 02/10/12 AMEND PROCTER & GAMBLE Co OH 8.01 02/10/12 PROTECTIVE LIFE CORP DE 2.02,9.01 02/09/12 PROTEONOMIX, INC. DE 5.02 02/10/12 PSS WORLD MEDICAL INC FL 8.01,9.01 02/10/12 Pzena Investment Management, Inc. DE 2.02,9.01 12/31/11 Pzena Investment Management, Inc. DE 8.01,9.01 01/31/12 QUALITY DISTRIBUTION INC FL 2.02,9.01 02/09/12 QUICKSILVER RESOURCES INC DE 7.01,9.01 02/10/12 QUICKSILVER RESOURCES INC DE 8.01 02/10/12 RADIANT LOGISTICS, INC DE 9.01 12/01/11 AMEND RADIENT PHARMACEUTICALS Corp DE 5.03,8.01 01/03/12 AMEND Rand Logistics, Inc. DE 7.01,9.01 02/10/12 RAPTOR NETWORKS TECHNOLOGY INC 1.01,3.02,5.01,5.02, 12/05/11 AMEND 9.01 Rentech Nitrogen Partners, L.P. DE 5.03,9.01 02/09/12 Riverview Financial Corp PA 2.02,8.01 02/09/12 ROCKWELL AUTOMATION INC DE 5.07 02/07/12 ROCKWELL MEDICAL TECHNOLOGIES INC MI 1.01,9.01 02/09/12 Ruths Hospitality Group, Inc. DE 2.02,9.01 02/10/12 SALIX PHARMACEUTICALS LTD 8.01,9.01 02/07/12 Sally Beauty Holdings, Inc. 1.01,8.01,9.01 02/06/12 SANMINA-SCI CORP DE 8.01,9.01 02/10/12 SECURITY NATIONAL FINANCIAL CORP UT 8.01 12/21/11 SERACARE LIFE SCIENCES INC 2.02,9.01 02/10/12 SERVICESOURCE INTERNATIONAL, INC. 5.02,9.01 02/06/12 SINOCOKING COAL & COKE CHEMICAL INDUS FL 8.01,9.01 02/10/12 SNYDER'S-LANCE, INC. NC 2.02,9.01 02/10/12 SOUND KITCHEN ENTERTAINMENT GROUP, IN FL 5.02,5.03,9.01 02/09/12 SOUPMAN, INC. DE 7.01,9.01 02/10/12 SOUTHERN CO DE 8.01 02/09/12 SPANISH BROADCASTING SYSTEM INC DE 3.01 02/06/12 SPRINT NEXTEL CORP KS 7.01,9.01 02/09/12 STAMPS.COM INC DE 2.02,9.01 02/09/12 STATE INVESTORS BANCORP, INC. 2.02,9.01 02/09/12 SUPERVALU INC DE 5.02 02/07/12 SUREWEST COMMUNICATIONS CA 8.01,9.01 02/10/12 SURMODICS INC MN 5.02,5.07,9.01 02/06/12 SYNTHESIS ENERGY SYSTEMS INC DE 2.02,7.01,9.01 02/09/12 TANDY BRANDS ACCESSORIES INC DE 2.02,9.01 02/10/12 TBS International plc L2 3.01 02/07/12 TECHPRECISION CORP 5.02,9.01 02/08/12 Tennessee Valley Authority 8.01 02/09/12 Terra Tech Corp. NV 1.01,2.01,3.02,3.03, 02/09/12 5.01,5.03,5.06,8.01, 9.01 TIDEWATER INC DE 8.01,9.01 02/07/12 TIMKEN CO OH 8.01 02/10/12 TITAN PHARMACEUTICALS INC DE 8.01,9.01 02/09/12 Tootie Pie Company, Inc. TX 5.02,9.01 02/06/12 TORTOISE CAPITAL RESOURCES CORP 7.01,8.01,9.01 02/06/12 TOWER BANCORP INC PA 5.02 02/09/12 TPG Specialty Lending, Inc. DE 3.02 02/08/12 TrackSoft Systems, Inc. WY 1.01,2.01,3.02,4.01, 02/06/12 5.01,5.02,5.06,9.01 TRANSWITCH CORP /DE DE 1.01,7.01,9.01 02/10/12 TreeHouse Foods, Inc. DE 2.02,7.01,9.01 02/10/12 Tropicana Entertainment Inc. DE 7.01,9.01 02/10/12 Two Harbors Investment Corp. 7.01,9.01 02/10/12 U-SWIRL, INC. NV 8.01 02/08/12 U. S. Premium Beef, LLC 7.01,9.01 02/10/12 Unilife Corp DE 2.02,7.01,9.01 02/09/12 United Financial Bancorp, Inc. 7.01,9.01 02/10/12 UNITED STATES ANTIMONY CORP MT 5.02 02/09/12 UNIVERSAL HOSPITAL SERVICES INC MN 5.02 02/08/12 USA TRUCK INC DE 2.02,5.02,9.01 02/06/12 VAIL RESORTS INC DE 5.02 02/06/12 VALUEVISION MEDIA INC MN 1.01,1.02,2.02,2.03, 02/09/12 8.01,9.01 Vanity Events Holding, Inc. DE 8.01 02/09/12 VAULT AMERICA, INC. A0 2.01,5.01,9.01 02/02/12 VERDE RESOURCES, INC. NV 1.01,9.01 02/08/12 ViewPoint Financial Group Inc. 7.01,8.01,9.01 02/10/12 VirtualScopics, Inc. DE 8.01,9.01 02/09/12 Web Wizard, Inc. NV 8.01 02/07/12 WEIKANG BIO-TECHNOLOGY GROUP CO., INC NV 8.01 02/06/12 WELLS FARGO & CO/MN DE 8.01,9.01 02/09/12 WESBANCO INC WV 7.01,9.01 02/10/12 WESTWOOD HOLDINGS GROUP INC DE 5.02,7.01,9.01 02/07/12 WINN DIXIE STORES INC FL 8.01,9.01 02/10/12 WINNER MEDICAL GROUP INC NV 2.02,9.01 02/09/12 XENOPORT INC DE 5.02,9.01 02/09/12 XTRA-GOLD RESOURCES CORP 7.01,9.01 02/10/12 ZOLL MEDICAL CORP MA 5.07 02/09/12 Zumiez Inc WA 2.05 02/06/12
http://www.sec.gov/news/digest/2012/dig021312.htm
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