SEC News Digest, March 23, 2012

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commission announcements

SEC Establishes New Supervisory Cooperation Arrangements With Foreign Counterparts

The Securities and Exchange Commission today announced that it has established comprehensive arrangements with the Cayman Islands Monetary Authority (CIMA) and the European Securities and Markets Authority (ESMA) as part of long-term strategy to improve the oversight of regulated entities that operate across national borders.

The two memoranda of understanding (MOUs) reached this month follow on a similar supervisory arrangement that the SEC concluded with the Quebec Autorité des marchés financiers and the Ontario Securities Commission in 2010 and expanded to include the Alberta Securities Commission and the British Columbia Securities Commission last September.

The SEC’s latest supervisory cooperation arrangements will enhance SEC staff ability to share information about such regulated entities as investment advisers, investment fund managers, broker-dealers, and credit rating agencies. The Cayman Islands is a major offshore financial center and home to large numbers of hedge funds, investment advisers and investment managers that frequently access the U.S. market. ESMA is a pan-European Union agency that regulates credit rating agencies and fosters regulatory convergence among European Union securities regulators.

“Supervisory cooperation arrangements help the SEC build closer relationships with its counterparts to cooperate and consult on each other’s oversight activities in ways that may help prevent fraud in the long term or lessen the chances of future financial crises,” said Ethiopis Tafara, Director of the SEC’s Office of International Affairs.

The SEC’s approach to supervisory cooperation with its overseas counterparts follows on more than two decades of experience with cross-border cooperation, starting in the late 1980s with MOUs facilitating the sharing of information between the SEC and other securities regulators in securities enforcement matters. The SEC’s enforcement cooperation arrangements – which now encompass partnerships with approximately 80 separate jurisdictions via bilateral MOUs and a Multilateral MOU under the auspices of the International Organization of Securities Commissions (IOSCO) – detail procedures and mechanisms by which the SEC and its counterparts can collect and share investigatory information where there are suspicions of a violation of either jurisdiction’s securities laws, and after a potential problem has arisen.

In contrast, the SEC’s supervisory cooperation arrangements generally establish mechanisms for continuous and ongoing consultation, cooperation and the exchange of supervisory information related to the oversight of globally active firms and markets. Such information may include routine supervisory information as well as the types of information regulators need to monitor risk concentrations, identify emerging systemic risks, and better understand a globally-active regulated entity’s compliance culture. These MOUs also facilitate the ability of the SEC and its counterparts to conduct on-site examinations of registered entities located abroad.

Although they are designed to achieve different things, enforcement and supervisory cooperation arrangements are complimentary tools. Supervisory cooperation involves ongoing sharing of information regarding day-to-day oversight of regulated entities. Enforcement cooperation MOUs, by contrast, help the Commission collect information abroad that is necessary to help ensure that the SEC’s enforcement program deters violations of the federal securities laws, while also helping to compensate victims of securities fraud when possible.

The SEC entered into its first supervisory cooperation MOU in March 2006 with the United Kingdom’s Financial Services Authority. Following the recent financial crisis, the Commission has expanded its emphasis on this form of continuous supervisory cooperation in an effort to better identify emerging risks to U.S. capital markets and the international financial system. As part of this effort, SEC commissioners and staff co-chaired an international task force in 2010 to develop principles for cross-border supervisory cooperation. These principles have since proven to be a useful guideline for structuring MOUs around the type of information to be shared, the mechanisms which regulators can use to share information, and the degree of confidentiality this information should be accorded.

Additional information about SEC cooperation arrangements with foreign regulators can be found at: http://www.sec.gov/about/offices/oia/oia_cooparrangements.shtml. (Press Rel. 2012-49)

Commission Meetings

Closed Meeting on Thursday, March 29, 2012 at 2:00 p.m.

The subject matter of the Closed Meeting scheduled for Thursday, March 29, 2012, will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; an adjudicatory matter; and other matters relating to enforcement proceedings.

At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.

Investment company act releases

American Equity Life Annuity Account

An order has been issued on an application filed by American Equity Life Annuity Account declaring that it has ceased to be an investment company. (Rel. IC-30006 - March 22)

self-regulatory organizations

Proposed Rule Change

NYSE Arca, Inc. filed a proposed rule change (SR-NYSEArca-2012-19) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to amend Commentary .01 to NYSE Arca Rule 6.35. Publication is expected in the Federal Register during the week of March 26. (Rel. 34-66642)

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change (SR-EDGA-2012-10) filed by the EDGA Exchange, Inc. to extend the pilot period of the inbound router, as described in EDGA Rule 2.12(b), 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 March 26. (Rel. 34-66643)

A proposed rule change (SR-EDGX-2012-09) filed by the EDGX Exchange, Inc. to extend the pilot period of the inbound router, as described in EDGX Rule 2.12(b), 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 March 26. (Rel. 34-66644)

Securities Act Registrations

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

S-4     COMMUNITY HEALTH SYSTEMS INC, 4000 MERIDIAN BOULEVARD, FRANKLIN, TN, 
        37067, 615-465-7000 - 0 ($1,000,000,000.00) Debt, (File 333-180265 - 
        Mar. 22) (BR. 01A)

S-8     MERU NETWORKS INC, 894 ROSS DRIVE, SUNNYVALE, CA, 94089, 4083162379 - 
        0 ($7,232,450.28) Equity, (File 333-180266 - Mar. 22) (BR. 03B)

N-2     Fifth Street Finance Corp, 10 BANK STREET, SUITE 1210, WHITE PLAINS, 
        NY, 10601, (914) 286-6800 - 
        0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-180267 - 
        Mar. 22) (BR. 16)

S-8     Vantiv, Inc., 8500 GOVERNOR'S HILL DRIVE, SYMMES TOWNSHIP, OH, 45249, 
        513-900-5250 - 0 ($603,500,000.00) Equity, (File 333-180268 - Mar. 22) 
        (BR. 02)

S-4     Level 3 Financing, Inc., 1025 ELDORADO BLVD., BROOMFIELD, CO, 80021, 
        720-888-1000 - 0 ($1,200,000,000.00) Debt, (File 333-180269 - Mar. 22) 
        (BR. 11C)

S-B     EXPORT IMPORT BANK OF KOREA, 460 PARK AVE 20TH FL, NEW YORK, NY, 10005, 
        0 ($5,000,000,000.00) Non-Convertible Debt, (File 333-180273 - Mar. 22) 
        (BR. DN)

S-11    American Realty Capital Trust IV, Inc., 405 PARK AVENUE, NEW YORK, NY, 
        10022, 212 415 6500 - 0 ($1,737,500,000.00) Equity, (File 333-180274 - 
        Mar. 22) (BR. 08)

S-8     China Modern Agricultural Information, Inc., NO. A09, WUZHOU SUN TOWN, 
        LIMIN AVENUE, LIMIN DEVELOPMENT DISTRICT, HARBIN, HEILONGJIANG, F4, 0, 
        (86)0451-84800733 - 3,000,000 ($1,800,000.00) Equity, 
        (File 333-180275 - Mar. 22) (BR. 05A)

S-8     Cheviot Financial Corp., 3723 GLENMORE AVENUE, CHEVIOT, OH, 45211, 
        (513) 661-0457 - 432,945 ($5,261,427.76) Equity, (File 333-180276 - 
        Mar. 22) (BR. 07)

S-8     NEXT GENERATION ENERGY CORP., 7516 G FULLERTON ROAD, SPRINGFIELD, VA, 
        22153, 7036440200 - 0 ($155,000.00) Equity, (File 333-180277 - Mar. 22) 
        (BR. 11A)

S-8     EWaste Systems, Inc., 101 FIRST STREET, NUMBER 493, LOS ALTOS, CA, 
        94022, 650-283-2907 - 500,000 ($715,000.00) Debt, (File 333-180279 - 
        Mar. 22) (BR. 02)

S-1     Durata Therapeutics, Inc., 89 HEADQUARTERS PLAZA NORTH, 14TH FLOOR, 
        MORRISTOWN, NJ, 09760, 973-993-4867 - 0 ($86,250,000.00) Equity, 
        (File 333-180280 - Mar. 22) (BR. )

F-1     OBJET LTD, 2 Holtzman Street, Science Park, P.O. Box 2496, Rehovot, l3, 
        76124, 972-8-931-4314 - 0 ($75,000,000.00) Equity, (File 333-180283 - 
        Mar. 22) (BR. 03)

S-8     BATS Global Markets, Inc., 8050 MARSHALL DRIVE, SUITE 120, LENEXA, KS, 
        66214, (913) 815-7000 - 0 ($65,104,333.00) Other, (File 333-180284 - 
        Mar. 22) (BR. 08C)

S-8     Allison Transmission Holdings Inc, 4700 West 10th Street, Indianapolis, 
        IN, 46222, (317) 242-5000 - 0 ($574,560,931.54) Equity, 
        (File 333-180285 - Mar. 22) (BR. 05A)

S-8     WESTERN DIGITAL CORP, 3355 MICHELSON DRIVE, SUITE 100, IRVINE, CA, 
        92612, 9499325000 - 0 ($52,020,280.00) Equity, (File 333-180286 - 
        Mar. 22) (BR. 03C)

S-8     WaferGen Bio-systems, Inc., 7400 PASEO PADRE PARKWAY, FREMONT, CA, 
        94555, (510) 651-4450 - 8,000,000 ($148.98) Equity, (File 333-180287 - 
        Mar. 22) (BR. 10C)

F-3ASR  HSBC HOLDINGS PLC, 8 CANADA SQUARE, LONDON, X0, E145HQ, 442079912652 - 
        0 ($0.00) Debt, (File 333-180288 - Mar. 22) (BR. 12A)

S-3ASR  HSBC USA INC /MD/, 452 FIFTH AVE, NEW YORK, NY, 10018, 2125253735 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-180289 - Mar. 22) 
        (BR. 12A)

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

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

21ST CENTURY HOLDING CO                 FL       2.02,9.01            03/22/12

ABERCROMBIE & FITCH CO /DE/             DE       8.01                 03/21/12

ACCELLENT INC                                    2.02,9.01            03/22/12

Accenture plc                           L2       2.02,9.01            03/22/12

ACCENTURE SCA                                    2.02,9.01            03/22/12

ACCO BRANDS CORP                        DE       1.01,9.01            03/19/12

ACELRX PHARMACEUTICALS INC              DE       2.02,9.01            03/20/12

Advanced BioEnergy, LLC                 DE       5.02,5.03,5.07,9.01  03/16/12

ADVANT E CORP                           DE       2.02,9.01            03/22/12

AK STEEL HOLDING CORP                   DE       1.01,9.01            03/19/12

American Casino & Entertainment Prope   DE       2.02,9.01            03/22/12

American Energy Development Corp.       NV       3.02,9.01            03/20/12

AMERICAN INTERNATIONAL GROUP INC        DE       1.01                 03/21/12

AMERICAN INTERNATIONAL GROUP INC        DE       8.01,9.01            03/22/12

AMERICAN REALTY CAPITAL NEW YORK RECO   MD       1.01,2.01,8.01,9.01  03/16/12

AMERICAN RESTAURANT CONCEPTS INC                 4.01,9.01            03/16/12

AMERICAN TOWER CORP /MA/                DE       8.01,9.01            03/22/12

AMERITRANS CAPITAL CORP                 DE       3.01,8.01            03/16/12

Ampio Pharmaceuticals, Inc.             DE       7.01,8.01,9.01       03/19/12

Andina Acquisition Corp                 E9       1.01,5.03,9.01       03/16/12

ANNALY CAPITAL MANAGEMENT INC           MD       1.01,9.01            03/19/12

ANVEX INTERNATIONAL, INC.               NV       4.01,9.01            02/13/12

AOXING PHARMACEUTICAL COMPANY, INC.     FL       4.01,9.01            03/19/12

APARTMENT INVESTMENT & MANAGEMENT CO    MD       7.01,9.01            03/22/12

ASSURED GUARANTY LTD                    D0       8.01,9.01            03/21/12

ASTORIA FINANCIAL CORP                  DE       8.01,9.01            03/22/12

Atlantic Resources Inc.                 NV       1.01,9.01            03/19/12

ATWOOD OCEANICS INC                     TX       7.01,9.01            03/22/12

AUTHENTIDATE HOLDING CORP               DE       3.01                 03/20/12

Bacterin International Holdings, Inc.   DE       2.02,9.01            03/22/12

BANCTRUST FINANCIAL GROUP INC           AL       8.01,9.01            03/21/12

Bank of Commerce Holdings               CA       5.02                 03/20/12

BANK OF SOUTH CAROLINA CORP             SC       8.01,9.01            03/22/12

BANNER CORP                             WA       8.01                 03/22/12

BB&T CORP                               NC       8.01,9.01            03/22/12

BEST BUY CO INC                         MN       7.01,9.01            03/21/12

BIO REFERENCE LABORATORIES INC          NJ       5.02,9.01            03/19/12

BIOTIME INC                             CA       7.01,9.01            03/22/12

Bizzingo, Inc.                          NV       1.01,7.01,9.01       03/14/12

Boston Therapeutics, Inc.               DE       8.01,9.01            03/20/12

BRAINY BRANDS COMPANY, INC.             DE       1.01,2.03,3.02,9.01  03/16/12

BRAINY BRANDS COMPANY, INC.             DE       5.02                 03/20/12

Bristow Group Inc                       DE       5.02,9.01            03/16/12

BROOKS AUTOMATION INC                   DE       7.01                 03/22/12

CAGLES INC                              GA       2.03                 03/16/12

CALIFORNIA GOLD CORP.                   NH       7.01,9.01            03/16/12

Carbon Natural Gas Co                   DE       5.02,9.01            03/16/12

CASTLE A M & CO                         MD       7.01,9.01            03/21/12    AMEND

CENTURYLINK, INC                        LA       8.01,9.01            03/22/12

Cheviot Financial Corp.                 MD       5.02,9.01            03/20/12

CHURCHILL DOWNS INC                     KY       5.02                 03/19/12

CIGNA CORP                              DE       8.01                 03/16/12

CIMAREX ENERGY CO                       DE       7.01,9.01            03/22/12

CIMAREX ENERGY CO                       DE       7.01,9.01            03/22/12

Citadel Exploration, Inc.               NV       1.01,8.01,9.01       03/16/12

CLAIRES STORES INC                      DE       2.02,9.01            03/21/12

CLARCOR INC.                            DE       2.02,9.01            03/21/12

CNL LIFESTYLE PROPERTIES INC            MD       2.02,9.01            03/21/12

CNO Financial Group, Inc.               DE       7.01,9.01            03/22/12

COLLECTIVE BRANDS, INC.                 DE       2.02,7.01            02/28/12    AMEND

COMVERGE, INC.                          DE       1.02                 03/16/12

CONAGRA FOODS INC /DE/                  DE       2.02,9.01            03/22/12

CONCHO RESOURCES INC                    DE       5.02,9.01            03/19/12

CONSUMER PORTFOLIO SERVICES INC         CA       1.01,2.03            03/21/12

CONTINENTAL AIRLINES INC /DE/           DE       8.01,9.01            03/22/12

CONVERGYS CORP                          OH       8.01,9.01            03/22/12

CORCEPT THERAPEUTICS INC                DE       8.01                 03/22/12

CORNING INC /NY                         NY       5.02                 03/22/12

Corporate Property Associates 17 - Gl   MD       8.01,9.01            03/22/12

COST PLUS INC/CA/                       CA       2.02,9.01            03/22/12

COVENTRY HEALTH CARE INC                DE       5.02                 03/22/12

Crown Alliance Capital Ltd              NV       1.01,9.01            03/15/12

CRYOLIFE INC                            FL       5.02,9.01            03/16/12

CSV International Holdings, Inc.        NV       5.03,9.01            03/21/12

CVD EQUIPMENT CORP                      NY       1.01,2.01,2.03,9.01  03/16/12

CVS CAREMARK CORP                       DE       5.07                 05/11/11    AMEND

CYBEX INTERNATIONAL INC                 NY       1.01,8.01            03/20/12

Cyclacel Pharmaceuticals, Inc.          DE       1.01,3.02,8.01,9.01  03/22/12

Delek US Holdings, Inc.                          7.01,9.01            03/22/12

DEX ONE Corp                            DE       8.01,9.01            03/21/12

diaDexus, Inc.                          DE       1.01                 03/16/12

DigitalTown, Inc.                       MN       4.01,9.01            03/22/12

Disability Access Corp                           1.01                 03/16/12

Discover Financial Services             DE       7.01,9.01            03/22/12

DOLLAR GENERAL CORP                     TN       2.02,7.01,9.01       03/22/12

DR. TATTOFF, INC.                       FL       5.03,9.01            03/21/12

DUCKWALL ALCO STORES INC                KS       5.02,7.01,9.01       03/15/12

Dynastar Holdings, Inc.                 NV       5.02                 03/18/12

Ecologic Transportation, Inc.                    2.01                 03/16/01

Ecologic Transportation, Inc.                    4.01                 03/22/12

eHealth, Inc.                           DE       5.02,9.01            03/21/12

ELITE PHARMACEUTICALS INC /NV/          NV       1.01,9.01            03/16/12

EMPIRE RESORTS INC                      DE       4.01,9.01            03/20/12    AMEND

ENTERPRISE FINANCIAL SERVICES CORP      DE       1.01,9.01            03/22/12

ENTEST BIOMEDICAL, INC.                 NV       5.03,9.01            03/13/12

Federal Home Loan Bank of Atlanta       X1       2.03                 03/22/12

Federal Home Loan Bank of Boston        X1       2.03                 03/19/12

Federal Home Loan Bank of Chicago       X1       2.03                 03/19/12

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            03/19/12

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            03/20/12

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            03/22/12

Federal Home Loan Bank of New York      X1       2.03,9.01            03/19/12

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            03/19/12

Federal Home Loan Bank of San Francis   X1       2.03                 03/19/12

Federal Home Loan Bank of Seattle                2.03                 03/20/12

Federal Home Loan Bank of Topeka                 2.03,9.01            03/19/12

FEDEX CORP                              DE       2.02,9.01            03/22/12

FIELDPOINT PETROLEUM CORP               CO       7.01,9.01            03/21/12

FIFTH THIRD BANCORP                     OH       5.02,8.01,9.01       03/21/12

FIRST COMMUNITY BANCSHARES INC /NV/     NV       7.01,9.01            03/22/12

First Financial Northwest, Inc.         WA       5.03,9.01            03/21/12

Firsthand Technology Value Fund, Inc.            8.01,9.01            03/21/12

FLAGSTAR BANCORP INC                    MI       2.02,7.01,9.01       03/20/12

FreightCar America, Inc.                DE       3.01,9.01            03/21/12

FUELCELL ENERGY INC                     DE       1.01,8.01,9.01       03/22/12

G III APPAREL GROUP LTD /DE/            DE       2.02,9.01            03/22/12

GALLERY MANAGEMENT HOLDING CORP                  8.01                 03/20/12

Genesis Biopharma, Inc                  NV       5.02,9.01            03/21/12

Genesis Biopharma, Inc                  NV       5.02,9.01            03/21/12    AMEND

Genie Energy Ltd.                       DE       4.01,9.01            03/19/12

Genius Brands International, Inc.       NV       2.02,9.01            03/22/12

Genius Brands International, Inc.       NV       2.02,9.01            03/22/12    AMEND

GEORESOURCES INC                        CO       7.01,9.01            03/16/12

Georgia-Carolina Bancshares, Inc        GA       4.01,9.01            03/16/12

GeoVax Labs, Inc.                       DE       1.01,3.02,3.03,8.01, 03/16/12
                                                 9.01
          
GILEAD SCIENCES INC                     DE       2.01,9.01            01/17/12    AMEND

GLOBALSCAPE INC                         DE       2.02,9.01            03/22/12

GLOBECOMM SYSTEMS INC                            5.07                 11/21/11    AMEND

GlyEco, Inc.                            NV       8.01                 03/16/12

GMS Capital Corp.                       FL       1.01,2.01,7.01,8.01, 03/16/12
                                                 9.01
          
GOLDEN GRAIN ENERGY                     IA       5.02                 03/19/12

GRAPHIC PACKAGING HOLDING CO            DE       1.01,2.03,9.01       03/16/12

Griffin Capital Net Lease REIT, Inc.             1.01,2.01,2.03,7.01, 03/16/12
                                                 9.01
          
GULF RESOURCES, INC.                    DE       2.02,8.01,9.01       03/15/12

HARSCO CORP                             DE       5.02                 03/16/12

Hartman Short Term Income Properties    MD       7.01,9.01            03/22/12

HCP, INC.                               MD       8.01,9.01            03/21/12

Heckmann Corp                           DE       8.01,9.01            03/07/12

HOMELAND ENERGY SOLUTIONS LLC                    8.01                 03/21/12

Horizon Technology Finance Corp         DE       1.01,9.01            03/16/12

HOT TOPIC INC /CA/                      CA       5.02                 03/21/12

HOVNANIAN ENTERPRISES INC               DE       3.02                 03/07/12

ICAHN ENTERPRISES L.P.                  DE       5.02,9.01            03/16/12

IHS Inc.                                DE       2.02,9.01            03/22/12

IHS Inc.                                DE       2.02,9.01            03/22/12

IMAGENETIX INC /NV/                     NV       5.02                 03/21/12

ImmunoCellular Therapeutics, Ltd.       DE       1.01,9.01            03/20/12

INTELLIGENT SYSTEMS CORP                GA       2.02,9.01            03/22/12

INTERNATIONAL BANCSHARES CORP           TX       5.02,8.01,9.01       03/22/12

International Stem Cell CORP            DE       2.02,9.01            03/20/12

JABIL CIRCUIT INC                       DE       1.01,1.02,2.03       03/19/12

KBS Real Estate Investment Trust III,   MD       1.01                 03/16/12

KEMET CORP                              DE       7.01,8.01,9.01       03/22/12

KEYW HOLDING CORP                       MD       7.01,9.01            03/22/12

KILROY REALTY CORP                      MD       7.01,8.01,9.01       03/16/12

LEAP WIRELESS INTERNATIONAL INC         DE       5.02                 03/16/12

LEVEL 3 COMMUNICATIONS INC              DE       2.01,9.01            03/22/12

LEVEL 3 COMMUNICATIONS INC              DE       1.01,8.01,9.01       03/22/12

LIBERTY PROPERTY TRUST                  MD       5.02                 03/16/12

LIBERTY STAR URANIUM & METALS CORP.     NV       1.01,3.02,9.01       03/14/12

LIONS GATE ENTERTAINMENT CORP /CN/      A1       8.01,9.01            03/21/12

LIONS GATE ENTERTAINMENT CORP /CN/      A1       2.01,9.01            01/13/12    AMEND

LOCAL.COM                               DE       4.01,9.01            03/19/12

LRR Energy, L.P.                        DE       2.02,9.01            03/21/12

lululemon athletica inc.                DE       2.02,9.01            03/22/12

MAGELLAN HEALTH SERVICES INC            DE       8.01,9.01            03/21/12

Manitex International, Inc.             MI       2.02,9.01            03/22/12

MARTHA STEWART LIVING OMNIMEDIA INC     DE       5.03,9.01            03/16/12

MCCLATCHY CO                            DE       5.02,5.03,8.01,9.01  03/19/12

MEDICINOVA INC                          DE       1.01,9.01            03/19/12

MELA SCIENCES, INC. /NY                          1.01,9.01            03/21/12

Mercedes-Benz Auto Lease Trust 2012-A   DE       8.01,9.01            03/22/12

MERCURY GENERAL CORP                    CA       5.02                 03/20/12

MERU NETWORKS INC                       DE       5.02,9.01            03/18/12

MEXCO ENERGY CORP                       CO       8.01,9.01            03/22/12

MGM Resorts International               DE       1.01,8.01,9.01       03/22/12

MICRON TECHNOLOGY INC                   DE       2.02,9.01            03/01/12

ModusLink Global Solutions Inc          DE       1.01,3.03,9.01       03/21/12

NAVISTAR INTERNATIONAL CORP             DE       5.03,9.01            03/22/12

NAVISTAR INTERNATIONAL CORP             DE       5.03,5.07,9.01       02/21/12    AMEND

Neiman Marcus, Inc.                     DE       7.01,8.01,9.01       03/19/12

NEWS CORP                                        8.01,9.01            03/22/12

NIKE INC                                OR       2.02,9.01            03/20/12

NON INVASIVE MONITORING SYSTEMS INC /   FL       5.07                 03/16/12

Northern Empire Energy Corp             NV       1.01,3.02,5.02,9.01  03/20/12

NORTHWEST PIPE CO                       OR       3.01,9.01            03/16/12

OLD REPUBLIC INTERNATIONAL CORP         DE       8.01,9.01            03/21/12

OMEGA PROTEIN CORP                      NV       1.01,2.03,5.02,9.01  03/16/12

ON SEMICONDUCTOR CORP                   DE       5.02,9.01            03/21/12

ONLINE RESOURCES CORP                   DE       5.02                 03/22/12

Orgenesis Inc.                          NV       4.01,9.01            03/21/12

Pathfinder Cell Therapy, Inc.           DE       2.03,3.02            03/15/12

PC MALL INC                             DE       1.01                 03/16/12

PERFORMANCE TECHNOLOGIES INC \DE\       DE       1.01,5.02            03/21/12

PERRY ELLIS INTERNATIONAL INC           FL       2.02,9.01            03/22/12

PETROQUEST ENERGY INC                   DE       7.01,9.01            03/21/12

PHOTOTRON HOLDINGS, INC.                DE       1.01,1.02,2.03,9.01  03/21/12

Piedmont Office Realty Trust, Inc.      MD       7.01,8.01,9.01       03/19/12

PINNACLE WEST CAPITAL CORP              AZ       7.01,9.01            03/22/12

Plan A Promotions, Inc.                 UT       5.07                 03/19/12

PLUG POWER INC                          DE       8.01                 03/22/12

PMI GROUP INC                           DE       7.01,9.01            03/21/12

PNC FINANCIAL SERVICES GROUP, INC.      PA       8.01,9.01            03/22/12

POPE RESOURCES LTD PARTNERSHIP          DE       7.01                 03/22/12

POZEN INC /NC                                    8.01,9.01            03/22/12

POZEN INC /NC                                    5.02                 03/16/12

Prestige Brands Holdings, Inc.                   7.01,9.01            03/22/12

PROGENICS PHARMACEUTICALS INC           DE       4.01                 03/16/12

PROGRESSIVE CORP/OH/                    OH       5.02,9.01            03/19/12

QR Energy, LP                           DE       1.01,8.01,9.01       03/19/12

QUIKSILVER INC                          DE       5.07                 03/20/12

RAYMOND JAMES FINANCIAL INC             FL       7.01,9.01            03/21/12

RDA Holding Co.                                  2.02,9.01            03/22/12

REALTY INCOME CORP                      MD       8.01,9.01            03/22/12

RED MOUNTAIN RESOURCES, INC.            FL       1.01,5.02,9.01       02/07/12    AMEND

RELM WIRELESS CORP                      NV       5.02                 03/19/12

RETAIL OPPORTUNITY INVESTMENTS CORP     DE       5.02                 03/20/12

RETAIL PROPERTIES OF AMERICA, INC.      MD       5.03,7.01,8.01,9.01  03/20/12

ROMA FINANCIAL CORP                     X1       8.01,9.01            03/21/12

Rosetta Resources Inc.                  DE       7.01,9.01            03/21/12

RSC Holdings Inc.                       DE       8.01,9.01            03/22/12

Santo Pita Corp                         NV       5.03,5.07,8.01,9.01  03/22/12

SBT Bancorp, Inc.                       CT       5.03,9.01            03/21/12

SCHIFF NUTRITION INTERNATIONAL, INC.    DE       2.02,9.01            03/22/12

SCIENTIFIC GAMES CORP                   DE       5.02                 03/20/12

Scripps Networks Interactive, Inc.      OH       8.01,9.01            03/22/12

SGS International, Inc.                 DE       2.02,9.01            03/22/12

ShoreTel Inc                            CA       1.01                 03/15/12

SIGMA DESIGNS INC                       CA       8.01,9.01            03/21/12

SIGNET JEWELERS LTD                              2.02                 03/22/12

SMF ENERGY CORP                         DE       1.01,2.02,5.02,9.01  03/16/12

Solo Cup CO                             DE       1.01,7.01            03/21/12

SOUTHERN CONNECTICUT BANCORP INC        CT       5.02                 03/20/12

SOUTHWEST IOWA RENEWABLE ENERGY, LLC    IA       5.07                 03/16/12

SPARE BACKUP, INC.                      DE       1.01                 03/22/12

STAKOOL, INC.                           NV       1.01,2.01,3.02,4.01, 09/15/11    AMEND
                                                 5.01,5.02,9.01

STATER BROS HOLDINGS INC                DE       4.01,9.01            03/19/12

STEELCASE INC                           MI       1.01,1.02,2.02,2.03, 03/19/12
                                                 7.01,9.01
     
STRATEGIC AMERICAN OIL CORP             NV       7.01,9.01            03/22/12

STRATEGIC DIAGNOSTICS INC/DE/           DE       2.02,9.01            03/22/12

SUNPEAKS VENTURES, INC.                          8.01,9.01            03/08/12

Sunstone Hotel Investors, Inc.          MD       5.03,8.01,9.01       03/19/12

Surna Inc.                              NV       1.01                 03/19/12

TELULAR CORP                            DE       2.01,9.01            02/01/12    AMEND

TELVUE CORP                             DE       3.03,5.03,8.01,9.01  03/19/12

TENNECO INC                             DE       1.01,2.03,8.01,9.01  03/22/12

TEXAS CAPITAL BANCSHARES INC/TX                  5.07                 05/17/11    AMEND

TII NETWORK TECHNOLOGIES, INC.          DE       5.02,9.01            03/16/12

TIVO INC                                DE       7.01                 03/21/12

Travelport LTD                          D0       2.02,9.01            03/22/12

Tropicana Las Vegas Hotel & Casino, I   DE       1.01,9.01            02/16/12

TSIC, Inc.                              DE       7.01,9.01            03/20/12

U.S. SILICA HOLDINGS, INC.              DE       5.02,9.01            03/16/12

Ubiquiti Networks, Inc.                 DE       5.02                 03/16/12

ULURU INC.                              NV       3.01                 03/20/12

UNIGENE LABORATORIES INC                DE       8.01,9.01            03/19/12

UNITED RENTALS INC /DE                  DE       8.01,9.01            03/22/12

United States 12 Month Natural Gas Fu            5.02                 03/20/12

United States 12 Month Oil Fund, LP              5.02                 03/20/12

United States Brent Oil Fund, LP        DE       5.02                 03/20/12

United States Commodity Index Funds T   DE       5.02                 03/20/12

United States Gasoline Fund, LP         DE       5.02                 03/20/12

United States Heating Oil Fund, LP      DE       5.02                 03/20/12

United States Natural Gas Fund, LP               5.02                 03/20/12

United States Oil Fund, LP              DE       5.02                 03/20/12

United States Short Oil Fund, LP        DE       5.02                 03/20/12

UTi WORLDWIDE INC                       D8       2.02,9.01            03/22/12

Vantage Drilling CO                     E9       8.01,9.01            03/22/12

VEECO INSTRUMENTS INC                   DE       5.02                 03/16/12

VENTRUS BIOSCIENCES INC                 DE       5.02                 03/16/12

Verso Paper Corp.                       DE       1.01,2.03,8.01,9.01  03/21/12

VISUALANT INC                           NV       8.01,9.01            03/20/12

Vystar Corp                             GA       3.02                 03/16/12

W&T OFFSHORE INC                        TX       7.01                 03/22/12

WAYNE SAVINGS BANCSHARES INC /DE/       DE       7.01,9.01            03/22/12

WELLS CORE OFFICE INCOME REIT INC                2.01,9.01            03/22/12

WELLS FARGO & CO/MN                     DE       9.01                 03/22/12

WMS INDUSTRIES INC /DE/                 DE       5.02,9.01            03/16/12

WSFS FINANCIAL CORP                     DE       8.01                 03/19/12

WSFS FINANCIAL CORP                     DE       5.02                 03/22/12

WSI INDUSTRIES, INC.                    MN       2.02,8.01,9.01       03/19/12

Zep Inc.                                DE       8.01                 03/22/12

http://www.sec.gov/news/digest/2012/dig032312.htm

SEC News Digest