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Enforcement proceedingsCommission Revokes Registration of Securities of Visitel Network (a/k/a PRG Group, Inc.) For Failure to Make Required Periodic FilingsOn February 15, 2012, the Commission revoked the registration of each class of registered securities of Visitel Network (a/k/a PRG Group, Inc.) (PRG Group) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, PRG Group consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Visitel Network (a/k/a PRG Group, Inc.) finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of PRG Group’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against PRG Group in In the Matter of Tornado Gold International Corp., et al., Administrative Proceeding File No. 3-14712. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Tornado Gold International Corp., et al., Administrative Proceeding File No. 3-14712, Exchange Act Release No. 66233, January 25, 2012. (Rel. 34-66396; File No. 3-14712) Delinquent Filer’s Stock Registrations RevokedThe registration of the registered securities of Absolute Potential, Inc. (f/k/a Absolute Waste Services, Inc.), has been revoked. The company had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, it violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocation was ordered in an administrative proceeding before an administrative law judge. (Initial Decision No. 453; File No. 3-14587) In the Matter of Robert PinkasOn February 15, 2012, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Notice of Hearing against Robert Pinkas. In the Order, the Division of Enforcement charges Pinkas with committing fraud and violating his investment adviser bar. The Division alleges in the Order that Pinkas, an investment adviser, misappropriated funds from an advisory client to pay legal defense and settlement costs arising from an unrelated Commission investigation. The Division also alleges that Pinkas made material misrepresentations and failed to disclose material information to investors related to the misappropriation of assets. Finally, the Division alleges that Pinkas violated an investment adviser bar imposed in a previous Commission matter by continuing to associate with an investment adviser. Based on the above, the Division alleges that respondent willfully violated, or in the alternative, willfully aided and abetted and caused violations of Advisers Act Sections 206(1), 206(2), and 206(4) and Rule 206(4)-8 thereunder and that he willfully violated Advisers Act Section 203(f). A hearing will be held before an Administrative Law Judge to determine whether the allegations contained in the Order are true, to provide Pinkas an opportunity to respond to the allegations, and to determine what, if any, remedial sanctions are appropriate in the public interest. The Order directs the Administrative Law Judge to issue an initial decision no later than 300 days from the date of service of the Commission’s Order. (Rel. IA-3371; File No. 3-14759) Investment company act releasesMain Street Capital Corporation, et al.An order has been issued on an application filed by Main Street Capital Corporation (Company), et al. under the Investment Company Act of 1940. The order permits the Company to purchase equity interests in a limited partnership from certain persons who are affiliated with the Company. (Rel. IC-29946 - February 14) New York Life Insurance and Annuity Corporation, et al.An order has been issued pursuant to Sections 26(c) and 17(b) of the Investment Company Act of 1940 (Act) on an application filed by New York Life Insurance and Annuity Corporation, et al. (Applicants). The order permits the Applicants to substitute shares of certain registered management investment companies for shares of certain other registered management investment companies. The order also exempts them from Section 17(a) of the Act to the extent necessary to permit certain in-kind transactions in connection with the substitutions. (Rel. IC-29947 - February 14) Self-Regulatory OrganizationsProposed Rule ChangeThe Commission issued notice of a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2012-10) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to listing and trading of shares of the BNP Paribas S&P Dynamic Roll Global Commodities Fund under NYSE Arca Equities Rule 8.200. Publication is expected in the Federal Register during the week of February 13. (Rel. 34-66390) Immediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-06) relating to fees for certain Complex Orders executed on the Exchange 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. 34-66392) 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 IMPERIAL SUGAR CO /NEW/, 8016 HIGHWAY 90-A, PO BOX 9, SUGARLAND, TX, 77487-0009, 2814919181 - 0 ($1,705,000.00) Equity, (File 333-179499 - Feb. 14) (BR. 04A) S-1 ATOSSA GENETICS INC, 4105 E MADISON STREET, SUITE 320, SEATTLE, WA, 98112, 206 325 6086 - 0 ($8,050,000.00) Equity, (File 333-179500 - Feb. 14) (BR. 10A) S-8 CANNABIS SCIENCE, INC., 2422 S. TRENTON WAY, UNIT H, DENVER, CO, 80231, 1-888-889-0888 - 50,000,000 ($1,782,500.00) Equity, (File 333-179501 - Feb. 14) (BR. 04B) S-1 Diamondback Energy, Inc., 500 WEST TEXAS, SUITE 1210, MIDLAND, TX, 79701, 405-463-6900 - 0 ($50,000,000.00) Equity, (File 333-179502 - Feb. 14) (BR. 04) S-3 Summit Hotel Properties, Inc., 2701 S. MINNESOTA AVENUE, SUITE 6, SIOUX FALLS, SD, 57105, 605 361-9566 - 0 ($100,141,500.00) Equity, (File 333-179503 - Feb. 14) (BR. 08C) S-1 PINGIFY INTERNATIONAL INC., 11139 - 157 AVE, EDMONTON, A0, T5X 4V1, 7806286867 - 25,000,000 ($125,000.00) Equity, (File 333-179505 - Feb. 14) (BR. ) N-2 eUnits(TM) 2 Year U.S. Market Participation Trust 2: Upside to Cap / Buffered Downside, C/O EATON VANCE MANAGEMENT, TWO INTERNATIONAL PLACE, BOSTON, MA, 02110, 617-482-8260 - 5,000 ($51,000.00) Equity, (File 333-179506 - Feb. 14) (BR. 16) S-8 ChemoCentryx, Inc., 850 MAUDE AVENUE, MOUNTAIN VIEW, CA, 94043, 650-210-2900 - 30,316,632 ($298,767,275.70) Equity, (File 333-179507 - Feb. 14) (BR. 01B) S-1 Caldera Pharmaceuticals Inc, 278 DP ROAD SUITE D, LOS ALAMOS, NM, 87544, 505-601-2420 - 1,348,264 ($6,741,350.00) Equity, (File 333-179508 - Feb. 14) (BR. ) N-2 eUnits(TM) 2 Year U.S. Market Participation Trust 3: Upside to Cap / Buffered Downside, C/O EATON VANCE MANAGEMENT, TWO INTERNATIONAL PLACE, BOSTON, MA, 02110, 617-482-8260 - 5,000 ($51,000.00) Equity, (File 333-179509 - Feb. 14) (BR. 16) N-2 eUnits(TM) 2 Year U.S. Market Participation Trust 4: Upside to Cap / Buffered Downside, C/O EATON VANCE MANAGEMENT, TWO INTERNATIONAL PLACE, BOSTON, MA, 02110, 617-482-8260 - 5,000 ($51,000.00) Equity, (File 333-179510 - Feb. 14) (BR. 16) N-2 eUnits(TM) 2 Year U.S. Market Participation Trust 5: Upside to Cap / Buffered Downside, C/O EATON VANCE MANAGEMENT, TWO INTERNATIONAL PLACE, BOSTON, MA, 02110, 617-482-8260 - 5,000 ($51,000.00) Equity, (File 333-179511 - Feb. 14) (BR. 16) N-2 eUnits(TM) 2 Year U.S. Market Participation Trust 6: Upside to Cap / Buffered Downside, C/O EATON VANCE MANAGEMENT, TWO INTERNATIONAL PLACE, BOSTON, MA, 02110, (617) 482-8260 - 5,000 ($51,000.00) Equity, (File 333-179512 - Feb. 14) (BR. 16) S-8 STANDEX INTERNATIONAL CORP/DE/, 11 KEEWAYDIN DRIVE, SUITE 300, SALEM, NH, 03079, 603-893-9701 - 600,000 ($24,564,000.00) Equity, (File 333-179513 - Feb. 14) (BR. 06C) S-8 AUTODESK INC, 111 MCINNIS PKWY, SAN RAFAEL, CA, 94903, 4155075000 - 0 ($815,646,076.00) Equity, (File 333-179514 - Feb. 14) (BR. 03B) S-1 MusclePharm Corp, 4721 IRONTON STREET, DENVER, CO, 80239, (800) 210-7369 - 194,833,333 ($2,697,499.99) Equity, (File 333-179515 - Feb. 14) (BR. 01B) S-1 JA Energy, 7495 W. AZURE DR., SUITE 110, LAS VEGAS, NV, 89130, 702-515-4036 - 6,000,000 ($240,000.00) Equity, (File 333-179516 - Feb. 14) (BR. 06A) S-1 ULURU INC., 4452 BELTWAY DRIVE, ADDISON, TX, 75001, 214-905-5145 - 2,500,000 ($1,000,000.00) Equity, (File 333-179517 - Feb. 14) (BR. 01B) S-3 Heckmann Corp, 300 CHERRINGTON PARKWAY, SUITE 200, CORAOPOLIS, PA, 15108, 412-329-7275 - 0 ($400,000,000.00) Unallocated (Universal) Shelf, (File 333-179518 - Feb. 14) (BR. 04B) S-3ASR AUTONATION, INC., 200 SW 1ST AVE, SUITE 1600, FORT LAUDERDALE, FL, 33301, 9547696000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179519 - Feb. 14) (BR. 02C) S-1 Amerilithium Corp., 297 KINGSBURY GRADE, LAKE TAHOE, NV, 89449-4470, (775) 996-2210 - 19,000,000 ($1,710,000.00) Equity, (File 333-179520 - Feb. 14) (BR. 09B) S-11 Moody National REIT I, Inc., 6363 WOODWAY DRIVE, SUITE 110, HOUSTON, TX, 77057, 713-977-7500 - 100,526,316 ($1.00) Equity, (File 333-179521 - Feb. 14) (BR. 08C) S-1 Restoration Industries, Inc., 4728 SOUTH STATE STREET, ANN ARBOR, MI, 48108, 734-996 0086 - 2,000,000 ($200,000.00) Debt, (File 333-179522 - Feb. 14) (BR. ) S-1 Revolutions Medical CORP, 670 MARINA DRIVE, 3RD FLOOR, CHARLESTON, SC, 29492, 8439714848 - 8,200,000 ($2,500,000.00) Equity, (File 333-179523 - Feb. 14) (BR. 10C) 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 A123 SYSTEMS, INC. DE 5.02 02/08/12 ACI WORLDWIDE, INC. DE 2.02,7.01,9.01 02/14/12 ACI WORLDWIDE, INC. DE 2.01,8.01,9.01 02/10/12 ACTIVE POWER INC DE 2.02,9.01 02/14/12 ADDVANTAGE TECHNOLOGIES GROUP INC OK 2.02,7.01,9.01 02/14/12 ADVANCED PHOTONIX INC DE 2.02,7.01,9.01 02/13/12 AMEND AGENT155 MEDIA CORP. NV 3.02 01/27/12 AGR TOOLS, INC. NV 5.01,5.02,9.01 01/30/12 ALEXANDER & BALDWIN INC HI 1.01,7.01,9.01 02/13/12 ALEXANDER & BALDWIN INC HI 8.01,9.01 02/14/12 Alto Group Holdings Inc. NV 3.02,3.03,5.01,5.02, 02/09/12 5.03,5.07,9.01 AMERCO /NV/ NV 2.02,9.01 02/09/12 AMERICAN CAPITAL, LTD 2.02,9.01 02/14/12 AMERICAN DENTAL PARTNERS INC DE 1.01,1.02,2.03,3.01, 02/09/12 3.03,5.01,5.02,5.03, 9.01 AMERICAN INTERNATIONAL VENTURES INC / DE 5.02 02/08/12 AMERITYRE CORP NV 5.02,9.01 02/14/12 AON CORP DE 5.02,9.01 02/13/12 ARBITRON INC DE 2.02,7.01,9.01 02/14/12 ARENA PHARMACEUTICALS INC DE 5.02,8.01,9.01 02/10/12 Armour Residential REIT, Inc. MD 8.01,9.01 02/13/12 ARROW ELECTRONICS INC NY 8.01,9.01 02/13/12 ASBURY AUTOMOTIVE GROUP INC DE 2.02,7.01,9.01 02/14/12 ASBURY AUTOMOTIVE GROUP INC DE 5.02,9.01 02/08/12 ASPEN INSURANCE HOLDINGS LTD D0 5.02 02/10/12 ASSET ACCEPTANCE CAPITAL CORP 5.02 02/08/12 AUTOBYTEL INC DE 8.01 02/13/12 AVEO PHARMACEUTICALS INC DE 2.02,9.01 02/14/12 AVON PRODUCTS INC NY 2.02,2.06,9.01 02/14/12 AWARE INC /MA/ MA 2.02,9.01 02/14/12 BAKKEN RESOURCES INC NV 5.02 02/07/12 BARNES GROUP INC DE 2.02 02/14/12 BARRETT BUSINESS SERVICES INC MD 2.02,9.01 02/13/12 BCM Energy Partners Inc. DE 5.02,9.01 02/02/12 Bidz.com, Inc. CA 3.01,9.01 02/09/12 BIOLASE TECHNOLOGY INC DE 7.01,9.01 02/12/12 BLUE RIDGE REAL ESTATE CO PA 5.02,9.01 02/08/12 BOEING CAPITAL CORP DE 8.01,9.01 02/10/12 BofI Holding, Inc. DE 7.01,9.01 02/14/12 Bonanza Creek Energy, Inc. DE 2.02,9.01 02/14/12 BORGWARNER INC DE 2.02,9.01 02/14/12 BOSTON PROPERTIES INC DE 5.02 02/13/12 BOSTON PROPERTIES LTD PARTNERSHIP DE 5.02 02/13/12 Bridgeline Digital, Inc. DE 2.02,9.01 02/14/12 Bridgepoint Education Inc DE 5.02,8.01 02/13/12 Bridgepoint Education Inc DE 5.02,8.01 11/17/11 AMEND CABOT MICROELECTRONICS CORP DE 1.01,1.02,2.03,8.01, 02/13/12 9.01 CADENCE PHARMACEUTICALS INC 7.01,9.01 02/14/12 CALAIS RESOURCES INC 5.02 02/10/12 CANO PETROLEUM, INC 5.02,9.01 02/08/12 CAPELLA EDUCATION CO 2.02,9.01 02/14/12 CARVER BANCORP INC DE 2.02 02/14/12 Catalent Pharma Solutions, Inc. DE 7.01,9.01 02/14/12 CATALYST HEALTH SOLUTIONS, INC. DE 7.01 02/08/12 CDEX INC NV 8.01 02/13/12 CEDAR FAIR L P DE 5.02 02/08/12 CHEMED CORP DE 2.02,9.01 02/14/12 CHESAPEAKE MIDSTREAM PARTNERS LP DE 9.01 12/28/11 AMEND China Direct Industries, Inc. FL 2.02,9.01 02/14/12 CHINA JO-JO DRUGSTORES, INC. 8.01,9.01 02/14/12 CHINA VALVES TECHNOLOGY, INC NV 4.02 02/14/12 ChromaDex Corp. 3.02,8.01,9.01 02/10/12 CIT GROUP INC DE 8.01,9.01 02/14/12 CLAIRES STORES INC DE 9.01 02/13/12 CMS Bancorp, Inc. DE 2.02,9.01 02/14/12 COMMUNITY FINANCIAL CORP /VA/ VA 2.02,9.01 02/14/12 COMSCORE, INC. DE 2.02,9.01 02/14/12 Constellation Energy Partners LLC DE 3.01,9.01 02/08/12 CONVENIENTCAST INC. NV 1.01,5.01,5.02,9.01 10/28/11 AMEND Converted Organics Inc. DE 2.02,8.01,9.01 02/14/12 Cornerstone OnDemand Inc DE 2.02,9.01 02/14/12 Crystal Rock Holdings, Inc. DE 1.01,5.02 02/10/12 CURTISS WRIGHT CORP DE 5.02 02/06/12 CYNOSURE INC 2.02,9.01 02/14/12 DELCATH SYSTEMS INC DE 7.01,9.01 02/14/12 DELTA PETROLEUM CORP/CO CO 5.02 02/12/12 DICKS SPORTING GOODS INC DE 8.01,9.01 02/13/12 DIODES INC /DEL/ DE 2.02,7.01,9.01 02/08/12 DOW CHEMICAL CO /DE/ DE 8.01,9.01 02/14/12 DOW CHEMICAL CO /DE/ DE 8.01,9.01 02/14/12 DREW INDUSTRIES INC DE 7.01,9.01 02/13/12 DRS Inc. NV 8.01 02/14/12 DUCOMMUN INC /DE/ DE 5.02,9.01 02/08/12 DUNKIN' BRANDS GROUP, INC. DE 7.01,9.01 02/14/12 DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 02/13/12 EARTH DRAGON RESOURCES INC. 2.01,3.02,5.01,5.02 02/13/12 EASTGROUP PROPERTIES INC MD 2.02,9.01 02/14/12 EASTMAN KODAK CO NJ 7.01,9.01 02/14/12 Echo Global Logistics, Inc. DE 2.02,9.01 02/14/12 ECO Building Products, Inc. CO 4.01,9.01 02/09/12 ECOLOGY COATINGS, INC. NV 3.02 02/14/12 Ellington Financial LLC DE 2.02,7.01,9.01 02/13/12 EMCORE CORP NJ 2.02,7.01,9.01 02/14/12 ENCORE WIRE CORP DE 5.02,7.01,9.01 02/08/12 ENERGY CONVERSION DEVICES INC DE 1.01,1.03,2.01,2.02, 02/13/12 2.04,7.01,9.01 ENSIGN GROUP, INC 5.02,9.01 02/08/12 ENTEGRIS INC DE 2.02,7.01,9.01 02/08/12 ePhoto Image, Inc. NV 5.01 02/09/12 EXPONENT INC DE 5.03,8.01,9.01 02/09/12 FARMERS NATIONAL BANC CORP /OH/ OH 7.01,9.01 02/13/12 FBR & Co. VA 5.02,9.01 02/08/12 Federal Home Loan Bank of Atlanta X1 2.03 02/14/12 Federal Home Loan Bank of Boston X1 2.03 02/08/12 Federal Home Loan Bank of Chicago X1 2.03 02/08/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 02/08/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 02/10/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/14/12 Federal Home Loan Bank of New York X1 2.03,9.01 02/09/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/08/12 Federal Home Loan Bank of San Francis X1 2.03 02/08/12 Federal Home Loan Bank of Seattle 2.03 02/08/12 Federal Home Loan Bank of Topeka 2.03,9.01 02/08/12 Fidelity National Information Service 2.02,9.01 02/13/12 Fidelity National Information Service 7.01,9.01 02/14/12 FIRST BANCSHARES INC /MO/ MO 2.02,9.01 02/14/12 FIRST CORP /CN/ CO 4.01,9.01 02/06/12 FIRST FINANCIAL SERVICE CORP KY 1.01,8.01,9.01 02/08/12 FIRST FINANCIAL SERVICE CORP KY 5.02,9.01 02/10/12 First Guaranty Bancshares, Inc. LA 2.02 02/14/12 FIRST NATIONAL CORP /VA/ 5.02,9.01 02/08/12 FLUIDIGM CORP DE 2.02,9.01 02/14/12 Forestar Group Inc. DE 5.02 02/13/12 Forex International Trading Corp. NV 8.01,9.01 02/13/12 FORWARD INDUSTRIES INC NY 2.02,5.03,9.01 02/08/12 FOSSIL INC DE 2.02,9.01 02/14/12 FOUR RIVERS BIOENERGY INC. NV 8.01 02/14/12 FREDERICK'S OF HOLLYWOOD GROUP INC /N NY 5.02,9.01 02/09/12 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 02/14/12 Fuse Science, Inc. NV 1.01,3.02 02/07/12 AMEND FX ENERGY INC NV 8.01,9.01 02/14/12 FXCM Inc. 7.01,9.01 02/14/12 GALECTIN THERAPEUTICS INC NV 7.01,9.01 02/14/12 GALLAGHER ARTHUR J & CO DE 8.01,9.01 02/14/12 Game Trading Technologies, Inc. DE 5.02 02/14/12 Geeknet, Inc DE 2.02,9.01 02/15/11 GEN PROBE INC DE 5.02,5.05,9.01 02/08/12 GENERAC HOLDINGS INC. DE 2.02,9.01 02/14/12 GEOGLOBAL RESOURCES INC. DE 5.07 02/10/12 Georgetown Bancorp, Inc. X1 5.02,9.01 02/09/12 Global Arena Holding, Inc. DE 4.01,9.01 01/24/12 AMEND GLOBAL CASINOS INC UT 2.03,3.02,9.01 02/10/12 Global Indemnity plc L2 2.02,9.01 02/13/12 Goliath Film & Media Holdings NV 8.01,9.01 02/13/12 GOODYEAR TIRE & RUBBER CO /OH/ OH 2.02,9.01 02/14/12 GORMAN RUPP CO OH 2.02,9.01 02/08/12 GRAPHON CORP/DE DE 8.01,9.01 02/08/12 GREEN DOT CORP DE 7.01,9.01 02/14/12 GRUBB & ELLIS CO DE 5.02 02/10/12 HALCON RESOURCES CORP DE 2.01,5.02,9.01 02/08/12 AMEND Hatteras Financial Corp 2.02,9.01 02/14/12 HAUPPAUGE DIGITAL INC DE 2.02,9.01 02/14/12 HCA Holdings, Inc. 5.02,9.01 02/08/12 HCP, INC. MD 2.02,9.01 02/14/12 HEALTH MANAGEMENT ASSOCIATES INC DE 2.02,9.01 02/13/12 HEALTHCARE TRUST OF AMERICA, INC. MD 7.01,9.01 02/14/12 HEALTHWAYS, INC DE 8.01 02/10/12 HEARTLAND PAYMENT SYSTEMS INC DE 1.01 02/14/12 HeartWare International, Inc. DE 8.01,9.01 02/14/12 Helios & Matheson Information Technol DE 7.01 02/13/12 HERITAGE FINANCIAL CORP /WA/ WA 7.01,9.01 02/14/12 HICKOK INC OH 2.02,5.02,9.01 12/31/11 Hill-Rom Holdings, Inc. IN 5.07,8.01,9.01 03/08/11 AMEND HITTITE MICROWAVE CORP 2.02,9.01 02/14/12 HOMELAND ENERGY SOLUTIONS LLC 2.02,9.01 02/14/12 HORIZON PHARMA, INC. DE 7.01 02/14/12 HOSPIRA INC DE 2.02,9.01 02/14/12 HOST HOTELS & RESORTS, INC. MD 2.02,9.01 02/14/12 HUNTINGTON BANCSHARES INC/MD MD 7.01,9.01 02/14/12 IBERIABANK CORP LA 5.02 02/10/12 IBERIABANK CORP LA 5.02,5.03,9.01 02/13/12 ICAHN ENTERPRISES L.P. DE 2.02,7.01,9.01 02/14/12 INNERWORKINGS INC 2.02,9.01 02/14/12 INSPERITY, INC. DE 2.02,9.01 02/14/12 IntelGenx Technologies Corp. DE 1.01,9.01 02/14/12 INTERMOUNTAIN COMMUNITY BANCORP ID 2.02,9.01 02/13/12 INTERSIL CORP/DE DE 5.02,5.03 02/13/12 INVACARE CORP OH 5.02,9.01 02/09/12 ISHARES GOLD TRUST NY 8.01,9.01 02/10/12 iShares Silver Trust NY 8.01,9.01 02/10/12 ITT Corp IN 2.02,7.01,9.01 02/10/12 IZEA Holdings, Inc. NV 5.03,5.07,9.01 02/14/12 KAMAN CORP CT 8.01,9.01 02/13/12 KANSAS CITY LIFE INSURANCE CO MO 8.01,9.01 02/14/12 KBS Strategic Opportunity REIT, Inc. MD 8.01 02/14/12 KENNAMETAL INC PA 1.01,2.03,9.01 02/09/12 KEY TECHNOLOGY INC OR 5.07 02/13/12 KILROY REALTY CORP MD 7.01,8.01,9.01 02/09/12 KINGSTONE COMPANIES, INC. DE 8.01,9.01 02/14/12 KONA GRILL INC DE 1.01,2.02,2.03,8.01, 02/08/12 9.01 LAMAR ADVERTISING CO/NEW DE 1.01,2.03,8.01,9.01 02/09/12 Lantis Laser Inc. NV 2.01,3.02,9.01 09/19/11 LCA VISION INC DE 2.02,9.01 02/14/12 Life Technologies Corp DE 1.01,2.03,9.01 02/14/12 Lifevantage Corp CO 2.02,9.01 02/14/12 LINCARE HOLDINGS INC DE 5.02,9.01 02/10/12 LUFKIN INDUSTRIES INC TX 2.01,9.01 12/01/11 AMEND Market Leader, Inc. WA 5.02 02/08/12 MARKWEST ENERGY PARTNERS L P 7.01,9.01 02/14/12 MARSH & MCLENNAN COMPANIES, INC. DE 2.02,9.01 02/14/12 MASIMO CORP DE 2.02,9.01 02/14/12 Mayflower Bancorp Inc MA 5.03,9.01 02/09/12 MEREDITH CORP IA 8.01,9.01 02/14/12 MERITOR INC IN 5.02 02/08/12 MESABI TRUST NY 4.01,9.01 02/10/12 META FINANCIAL GROUP INC DE 2.02,9.01 02/14/12 METLIFE INC DE 2.02,9.01 02/14/12 METROPCS COMMUNICATIONS INC DE 5.02 02/07/12 MEXCO ENERGY CORP CO 2.02,9.01 02/14/12 MIMVI, INC. NV 5.02 02/14/12 ML Aspect FuturesAccess LLC DE 5.03 02/08/12 ML Systematic Momentum FuturesAccess DE 5.03 02/08/12 MOBILE STAR CORP DE 1.01,5.02,8.01 02/07/12 AMEND MobileBits Holdings Corp NV 9.01 12/06/11 AMEND MOHEGAN TRIBAL GAMING AUTHORITY 8.01,9.01 02/14/12 MOLINA HEALTHCARE INC DE 5.02 02/13/12 Moody National REIT I, Inc. MD 4.01,4.02,9.01 02/07/12 MS STRUCTURED SATURNS SERIES 2003-7 DE 8.01,9.01 01/20/12 MZT Holdings, Inc. DE 8.01,9.01 02/14/12 National Interstate CORP OH 2.02,9.01 02/09/12 NATIONAL MENTOR HOLDINGS, INC. DE 2.02,9.01 02/14/12 NATIONAL RETAIL PROPERTIES, INC. MD 8.01,9.01 02/14/12 NEKTAR THERAPEUTICS DE 5.02,7.01 02/08/12 NEOMEDIA TECHNOLOGIES INC DE 5.02,8.01,9.01 02/08/12 NEOPHOTONICS CORP DE 2.02,9.01 02/14/12 NETSCOUT SYSTEMS INC DE 5.02,9.01 02/08/12 NetSpend Holdings, Inc. DE 8.01,9.01 02/14/12 NEUROLOGIX INC/DE DE 5.02 02/10/12 NEW CENTURY BANCORP INC NC 8.01 02/10/12 New England Bancshares, Inc. 2.02,9.01 02/14/12 NEWS CORP 8.01,9.01 02/14/12 NORMAN CAY DEVELOPMENT, INC. NV 1.01,3.02,5.02,7.01, 02/09/12 9.01 NORTHERN OIL & GAS, INC. 1.01,2.03 02/10/12 Omagine, Inc. DE 7.01,9.01 02/14/12 OMNI VENTURES INC KS 5.02 02/08/12 OMNICOM GROUP INC NY 2.02,9.01 02/14/12 ON ASSIGNMENT INC DE 2.02,9.01 02/14/12 ORGANOVO HOLDINGS, INC. NV 8.01,9.01 02/14/12 PARK CITY GROUP INC 2.02,8.01,9.01 02/14/12 PATHEON INC 5.02,9.01 02/13/12 PATRIOT SCIENTIFIC CORP DE 5.07 02/14/12 Pay Mobile, Inc NV 3.02 02/14/12 Pebblebrook Hotel Trust MD 5.02 02/08/12 PEETS COFFEE & TEA INC WA 2.02,7.01,9.01 02/14/12 PERRY ELLIS INTERNATIONAL INC FL 2.02,9.01 02/14/12 PITNEY BOWES INC /DE/ DE 5.02 02/13/12 AMEND PLATINUM UNDERWRITERS HOLDINGS LTD D0 8.01,9.01 02/14/12 POPULAR INC 7.01,9.01 02/14/12 POWERWAVE TECHNOLOGIES INC DE 2.02,9.01 02/14/12 PVH CORP. /DE/ DE 5.02 02/14/12 QEP RESOURCES, INC. DE 1.01,3.03,9.01 02/14/12 QKL Stores Inc. DE 4.01,8.01,9.01 02/09/12 QUANTUM SOLAR POWER CORP. 5.02 02/09/12 QUEST SOFTWARE INC CA 2.02,9.01 02/14/12 QUEST SOFTWARE INC CA 5.02,9.01 02/14/12 QUESTAR CORP UT 2.02,9.01 02/14/12 REMEDENT, INC. NV 2.01,7.01,9.01 02/10/12 Rio Bravo Oil, Inc. NV 1.01,2.01,3.02,5.02, 02/10/12 5.03,5.06,9.01 RITE AID CORP DE 8.01,9.01 02/14/12 RITE AID CORP DE 8.01,9.01 02/14/12 RITE AID CORP DE 8.01,9.01 02/14/12 Rock-Tenn CO GA 8.01,9.01 02/14/12 RTI INTERNATIONAL METALS INC OH 2.01,9.01 02/13/12 S1 CORP /DE/ DE 2.01,3.01,3.03,5.01, 02/10/12 5.02,5.03,9.01 Sabra Health Care REIT, Inc. MD 1.01,2.03,7.01,9.01 02/13/12 Saga Energy, Inc. FL 1.02,5.02 02/14/12 SALIX PHARMACEUTICALS LTD 8.01,9.01 02/13/12 Sally Beauty Holdings, Inc. 5.04,9.01 02/13/12 Samson Oil & Gas LTD C3 2.02,5.02,9.01 02/08/12 SANTARUS INC DE 1.01,2.03,9.01 02/13/12 SAPIENT CORP DE 2.02,9.01 02/14/12 SCANA CORP SC 7.01,9.01 02/14/12 SCOLR Pharma, Inc. DE 1.01,2.03,9.01 02/10/12 SELECTIVE INSURANCE GROUP INC NJ 7.01,9.01 02/14/12 SENESCO TECHNOLOGIES INC DE 1.01,9.01 02/08/12 SERACARE LIFE SCIENCES INC 1.01,9.01 02/12/12 SERVICEMASTER CO DE 1.01,2.03,7.01,9.01 02/13/12 Shengtai Pharmaceutical, Inc. 5.07,8.01,9.01 02/13/12 SI Financial Group, Inc. 8.01,9.01 02/13/12 Sino-Global Shipping America, Ltd. VA 7.01,9.01 02/14/12 SINOHUB, INC. DE 1.01,9.01 02/13/12 SMART ONLINE INC DE 2.03,3.02 02/10/12 SOVRAN SELF STORAGE INC MD 5.02,8.01,9.01 02/13/12 SPARTAN MOTORS INC MI 1.01,2.02,2.03,2.05, 02/10/12 2.06,9.01 SPARTAN STORES INC MI 7.01 02/14/12 STANLEY BLACK & DECKER, INC. CT 5.02 02/13/12 STERICYCLE INC DE 8.01,9.01 02/14/12 STEVEN MADDEN, LTD. DE 5.02,9.01 02/08/12 Sutor Technology Group LTD 2.02,7.01,9.01 02/14/12 SYNOVIS LIFE TECHNOLOGIES INC MN 2.01,3.01,3.03,5.01, 02/14/12 5.02,5.03,9.01 TANGER FACTORY OUTLET CENTERS INC NC 2.02,7.01,9.01 02/14/12 TEAM INC TX 5.07 09/29/11 AMEND TECHPRECISION CORP 2.02,9.01 02/14/12 TECHPRECISION CORP 8.01,9.01 02/11/12 TETRA TECH INC DE 8.01 02/13/12 Texas Roadhouse, Inc. DE 8.01 02/09/12 THERMADYNE HOLDINGS CORP /DE DE 2.02,7.01,9.01 02/14/12 TIAA REAL ESTATE ACCOUNT NY 2.02,7.01,9.01 02/14/12 TigerLogic CORP DE 8.01 02/09/12 TIMKEN CO OH 7.01,9.01 02/14/12 TMS International Corp. DE 2.02,9.01 02/14/12 Transocean Ltd. V8 7.01,9.01 02/14/12 TRIQUINT SEMICONDUCTOR INC DE 5.02 02/09/12 UNILENS VISION INC 8.01,9.01 02/14/12 UNITED THERAPEUTICS Corp DE 2.02,9.01 02/14/12 US DATAWORKS INC NV 2.02,9.01 02/14/12 USMD Holdings, Inc. DE 1.01,9.01 02/09/12 VALSPAR CORP DE 2.02,9.01 02/14/12 Vanda Pharmaceuticals Inc. DE 2.02,9.01 02/14/12 Vantage Health NV 1.01,5.02,8.01,9.01 02/07/12 VENTAS INC DE 1.01,2.03,9.01 02/10/12 Verecloud, Inc. NV 3.01,9.01 02/13/12 VERMILLION, INC. DE 1.01,8.01 02/09/12 VIASYSTEMS GROUP INC DE 2.02,9.01 02/14/12 Vringo Inc DE 3.02,7.01,9.01 02/08/12 WATSON PHARMACEUTICALS INC NV 2.02,9.01 02/14/12 WEB.COM GROUP, INC. DE 5.02,9.01 02/08/12 WEBSTER FINANCIAL CORP DE 8.01,9.01 02/14/12 WEIGHT WATCHERS INTERNATIONAL INC VA 2.02,9.01 02/14/12 WELLS REAL ESTATE FUND IX LP GA 7.01,9.01 02/14/12 WELLS REAL ESTATE FUND VIII LP GA 7.01,9.01 02/14/12 WELLS REAL ESTATE FUND XI L P GA 7.01,9.01 02/14/12 WELLS REAL ESTATE FUND XII LP GA 7.01,9.01 02/14/12 WELLS REAL ESTATE FUND XIII L P 7.01,9.01 02/14/12 WELLS REAL ESTATE FUND XIV LP GA 7.01,9.01 02/14/12 WESTERN LIBERTY BANCORP DE 2.02,9.01 02/13/12 WIKILOAN INC. 2.01,3.02,5.03,8.01, 02/09/12 9.01 Wind Works Power Corp. NV 5.02 02/14/12 WINN DIXIE STORES INC FL 8.01,9.01 02/14/12 Wolverine Bancorp, Inc. MD 9.01 02/08/12 WOLVERINE WORLD WIDE INC /DE/ MI 5.02 02/08/12 WORLD ACCEPTANCE CORP SC 8.01 02/14/12 XENOPORT INC DE 2.02,9.01 02/14/12 XOMA Corp DE 5.02 02/14/12 Yayi International Inc DE 2.02,9.01 02/14/12 YOU ON DEMAND HOLDINGS, INC. NV 5.03,9.01 02/09/12 Zayo Group LLC DE 2.02,7.01,9.01 02/13/12 Zayo Group LLC DE 9.01 02/14/12 AMEND ZEBRA TECHNOLOGIES CORP 2.02,9.01 02/14/12 ZIOPHARM ONCOLOGY INC DE 8.01,9.01 02/13/12 ZIPCAR INC 2.02,9.01 02/14/12 ZIPREALTY INC 5.02 02/13/12 Ziyang Ceramics Corp FL 7.01,9.01 02/14/12 ZYNGA INC DE 2.02,9.01 02/14/12
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