 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
Commission announcementsSecurities and Exchange Commission Suspends Trading in the Securities of Six Issuers For Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on March 29, 2012, and terminating at 11:59 p.m. EDT on April 12, 2012.
The Commission temporarily suspended trading in the securities of these six issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with quedtions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-66671) Securities and Exchange Commission Suspends Trading in the Securities of Four Issuers For Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on March 29, 2012, and terminating at 11:59 p.m. EDT on April 12, 2012.
The Commission temporarily suspended trading in the securities of these four issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-66674) enforcement proceedingsCommission Orders Hearings on Registration Suspension or Revocation Against Six Companies for Failure to Make Required Periodic FilingsIn conjunction with today’s trading suspension, the Commission also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of six companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the six 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 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 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. 34-66672; File No. 3-14815) Commission Revokes US Registration of Securities of Satyam Computer Services Limited d/b/a Mahindra SatyamToday, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the United States registration of each class of registered securities of Satyam Computer Services Limited d/b/a Mahindra Satyam (Satyam) 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, Satyam consented to the entry of an Order Instituting Proceedings Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Making Findings, and Revoking Registration of Securities finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-16 thereunder and revoking the registration of each class of Satyam’s securities pursuant to Section 12(j) of the Exchange Act. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . (Rel. 34-66673; File No. 3-14816) Commission Orders Hearings on Registration Suspension or Revocation Against Four Companies for Failure to Make Required Periodic FilingsIn conjunction with today’s trading suspension, the Commission also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of four companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the four 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 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 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. 34-66675; File No. 3-14817) In the Matter of American Capital Partners Limited, Inc.Today the Commission instituted public administrative proceedings against American Capital Partners Limited, Inc. (ACPL) for failing to provide and maintain a fidelity bond and ceasing to engage in business. ACPL is a Nevada corporation located in West Palm Beach, Florida. According to the Nevada Secretary of State, ACPL’s corporate registration is currently in default. On December 6, 2004, ACPL elected to be regulated as a BDC. Its securities were registered under Section 12(g) of the Exchange Act, but the registration was revoked on November 8, 2011. (Rel. 34-65701, File No. 3-14534) In the Order, the Division of Enforcement (Division) alleges that ACPL (1) violated Section 17(g) of the Investment Company Act and Rule 17g-1 thereunder by failing to provide and maintain a fidelity bond, and (2) has ceased to engage in business. In this proceeding, instituted pursuant to Investment Company Act Sections 9(f) and 54(c), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and ACPL to determine whether the allegations of the Division contained in the Order are true. The judge in the proceeding will then determine whether to issue a cease-and-desist order against ACPL and whether to revoke ACPL’s election as a BDC. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 300 days from the date of service of the order instituting proceedings. (Rel IC-30015; File No. 3-14822) In the Matter of International Asset Group, Inc.Today the Commission instituted public administrative proceedings against International Asset Group, Inc. (IAG) for failing to provide and maintain a fidelity bond, failing to make required filings, and ceasing to engage in business. IAG is a Nevada corporation located in Atlanta, Georgia. According to the Nevada Secretary of State, IAG’s corporate registration has been revoked. On October 24, 2002, IAG elected BDC status, but also filed a notification of registration (as an investment company) pursuant to Section 8(a) of the Investment Company Act of 1940 (Investment Company Act). In the Order, the Division of Enforcement (Division) alleges that IAG: (1) violated Section 17(g) of the Investment Company Act and Rule 17g-1 thereunder by failing to provide and maintain a fidelity bond; (2) violated Sections 30(a) and 30(b) of the Investment Company Act and Rule 30b1-1 thereunder by failing to make required annual and semi-annual filings; and (3) has ceased to engage in business. In this proceeding, instituted pursuant to Investment Company Act Sections 9(f) and 54(c), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the IAG to determine whether the allegations of the Division contained in the Order are true. The judge in the proceeding will then determine whether to issue a cease-and-desist order against IAG for violations and future violations of Investment Company Act Sections 17(g), 30(a), and 30(b) and Rules 17g-1 and 30b1-1 thereunder, and whether to revoke IAG’s election as a BDC. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 300 days from the date of service of the order instituting proceedings. (Rel IC-30018; File No. 3-14825) In the Matter of Superior Community Capital CorporationToday the Commission instituted public administrative proceedings against Superior Community Capital Corporation (SCCC), a company that elected to be regulated as a business development company (BDC), because it has ceased to engage in business. SCCC is a Mississippi corporation located in Clarksdale, Mississippi. According to the Mississippi Secretary of State, SCCC was created on March 2, 2005 and was dissolved on December 5, 2008. On September 28, 2006, SCCC elected to be regulated as a BDC. In this Order, the Division of Enforcement (Division) alleges that SCCC has ceased to engage in business. In this proceeding, instituted pursuant to Investment Company Act Section 54(c), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the SCCC to determine whether the allegation of the Division contained in the Order that SCCC has ceased to engage in business is true. The judge in the proceeding will then determine whether to revoke SCCC’s election as a BDC. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 300 days from the date of service of the order instituting proceedings. (Rel. IC-30021; File No. 3-14828) In the Matter of Principal Mortgage Fund, Inc.Today the Commission instituted public administrative proceedings against Principal Mortgage Fund, Inc. (PMF) for failing to provide and maintain a fidelity bond and because it has ceased to engage in business. PMF is a Nevada corporation located in Carson City, Nevada. According to the Nevada Secretary of State, PMF’s corporate registration has been revoked. On August 24, 2007, PMF filed a notice of intent to elect to be regulated as a BDC, and then on August 27, 2007 PMF elected to be regulated as a BDC. In this Order, the Division of Enforcement (Division) alleges that PMF: (1) violated Section 17(g) of the Investment Company Act and Rule 17g-1 thereunder by failing to provide and maintain a fidelity bond; and (2) has ceased to engage in business. In this proceeding, instituted pursuant to Investment Company Act Sections 9(f) and 54(c), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the PMF to determine whether the allegations of the Division contained in the Order are true. The judge in the proceeding will then determine whether to issue a cease-and-desist order against PFM for violations and future violations of Investment Company Act 17(g) and Rule 17g-1 thereunder and whether to revoke PMF’s election as a BDC. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 300 days from the date of service of the order instituting proceedings. (Rel. IC-30022; File No. 3-14829). In the Matter of Entertainment Capital Corp.Today the Commission instituted public administrative proceedings against Entertainment Capital Corp. (ECC) for failing to provide and maintain a fidelity bond, failing to make required periodic filings, failing to file certain forms pursuant to Regulation E, and ceasing to engage in business. ECC is a Nevada corporation located in Temecula, California. According to the Nevada Secretary of State, ECC’s corporate registration has been revoked. ECC elected BDC status on January 25, 2005. Its securities are registered under Section 12(g) of the Exchange Act. In this Order, the Division of Enforcement (Division) alleges that ECC: (1) violated Section 17(g) of the Investment Company Act and Rule 17g-1 thereunder by failing to provide and maintain a fidelity bond; (2) violated and failed to comply with Section 13(a) of the Exchange Act and Rules 13(a) and Rules 13a-11 and 13a-13 thereunder by failing to file quarterly and annual reports with the Commission; (3) issued securities pursuant to the Regulation E of the Exchange Act, but failed to comply with the filing requirements; and (4) has ceased to engage in business. In this proceeding, instituted pursuant to Exchange Act Sections 12(j) and 21C, Investment Company Act Sections 9(f) and 54(c), and Rule 610(c) of Regulation E, a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and ECC to determine whether the allegations of the Division contained in the Order are true. The judge in the proceeding will then determine whether to: (1) issue a cease-and-desist order against ECC; (2) issue an order that permanently suspends ECC’s Regulation E exemption pursuant to Rule 610(c) of Regulation E; (3) revoke ECC’s election as a BDC; and (4) suspend for a period not exceeding twelve months, or revoke each class of ECC’s securities. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 300 days from the date of service of the order instituting proceedings. (Rel 33-9305; File No. 3-14824) In the Matter of OLM Ventures, Inc.Today the Commission instituted public administrative proceedings against OLM Ventures, Inc. (OLM) for failing to provide and maintain a fidelity bond, failing to make required periodic filings, failing to file certain forms pursuant to Regulation E, and ceasing to engage business. OLM is a Colorado corporation located in Calgary, British Columbia. According to the Colorado Secretary of State, OLM’s corporate status is “delinquent.” OLM elected BDC status on April 29, 2005. Its securities are registered under Section 12(g) of the Exchange Act. In this Order, the Division of Enforcement (Division) alleges that OLM: (1) violated Section 17(g) of the Investment Company Act and Rule 17g-1 thereunder by failing to provide and maintain a fidelity bond; (2) violated and failed to comply with Section 13(a) of the Exchange Act and Rules 13(a) and Rules 13a-11 and 13a-13 thereunder by failing to file quarterly and annual reports with the Commission; (3) issued securities pursuant to the Regulation E of the Exchange Act, but failed to comply with the filing requirements; and (4) has ceased to engage in business. In this proceeding, instituted pursuant to Exchange Act Sections 12(j) and 21C, Investment Company Act Sections 9(f) and 54(c), and Rule 610(c) of Regulation E, a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and OLM to determine whether the allegations of the Division contained in the Order are true. The judge in the proceeding will then determine whether to: (1) issue a cease-and-desist order against OLM for violations and future violations of Investment Company Act 17(g) and Rule 17g-1 thereunder, and Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder; (2) issue an order that permanently suspends OLM’s Regulation E exemption pursuant to Rule 610(c) of Regulation E; (3) revoke OLM’s election as a BDC; and (4) suspend for a period not exceeding twelve months, or revoke each class of ECC securities. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 300 days from the date of service of the order instituting proceedings. (Rel. 33-9306; File No. 3-14827) In the Matter of Central Capital Venture CorporationToday the Commission instituted public administrative proceedings against Central Capital Venture Corporation (CCVC) for failing to provide and maintain a fidelity bond, issuing common stock with different voting rights, failing to adopt and implement written policies and procedures reasonably designed to prevent violations of the federal securities laws, failing to appoint a chief compliance officer, and ceasing to engage in business. CCVC is a Nevada corporation located in Dallas, Texas. According to the Nevada Secretary of State, CCVC’s corporate registration has been revoked. CCVC elected BDC status on June 20, 2000. Its securities are registered under Section 12(g) of the Exchange Act. In this Order, the Division of Enforcement (Division) alleges that CCVC: (1) violated Section 17(g) of the Investment Company Act and Rule 17g-1 thereunder by failing to provide and maintain a fidelity bond, violated Section 18(i) of the Investment Company Act by issuing common stock with different voting rights, and violated Investment Company Act Rule 38a-1 by failing to adopt and implement written policies and procedures reasonably designed to prevent violations of the federal securities laws and failing to appoint a chief compliance officer; (2) violated and failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder by failing to file quarterly and annual reports with the Commission; and (3) has ceased to engage in business. In this proceeding, instituted pursuant to Exchange Act Sections 12(j) and 21C and Investment Company Act Sections 9(f) and 54(c), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and CCVC to determine whether the allegations of the Division contained in the Order are true. The judge in the proceeding will then determine whether to: (1) issue a cease-and-desist order against CCVC; (2) revoke or suspend for a period not exceeding twelve months the registration of each class of securities of CCVC; and (3) revoke CCVC’s election as a BDC. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 300 days from the date of service of the order instituting proceedings. (Rel 34-66685; File No. 3-14823) In the Matter of Interim Capital Corp.Today the Commission instituted public administrative proceedings against Interim Capital Corp. (ICC) for failing to provide and maintain a fidelity bond, failing to file periodic reports, and ceasing to engage in business. ICC is a Nevada corporation located in Las Vegas, Nevada. According to the Nevada Secretary of State, ICC’s corporate registration has been revoked, its officers resigned on November 11, 2007, and its registered agent resigned on February 2, 2011. On February 14, 2006, ICC elected to be regulated as a BDC. Its securities are registered under Section 12(g) of the Exchange Act. In this Order, the Division of Enforcement (Division) alleges that ICC: (1) violated Section 17(g) of the Investment Company Act and Rule 17g-1 thereunder by failing to provide and maintain a fidelity bond; (2) violated and failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder by failing to file quarterly and annual reports with the Commission; and (3) has ceased to engage in business. In this proceeding, instituted pursuant to Exchange Act Sections 12(j) and 21C, Investment Company Act Sections 9(f) and 54(c), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the ICC to determine whether the allegations of the Division contained in the Order are true. The judge in the proceeding will then determine whether to: (1) issue a cease-and-desist order against ICC for violations and future violations of Investment Company Act 17(g) and Rule 17g-1 thereunder, and Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder; (2) revoke or suspend for a period not exceeding twelve months the registration of each class of securities of ICC; and (3) revoke ICC’s election as a BDC. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 300 days from the date of service of the order instituting proceedings. (Rel 34-66687; File No. 3-14826) SEC Obtains Preliminary Injunction in New York Investment Adviser CaseThe U.S. Securities and Exchange Commission announced that on March 27, 2012, the U.S. District Court for the Eastern District of New York issued an order granting a preliminary injunction and other relief against Brian Raymond Callahan of Old Westbury, New York, and Callahan’s investment advisory firms, Horizon Global Advisors Ltd., and Horizon Global Advisors, LLC. The Commission's complaint, filed on March 5, 2012, alleges that Callahan defrauded investors in five offshore funds and used some of their money to buy himself a multi-million dollar beach resort property on Long Island. According to the Complaint, Callahan raised more than $74 million from at least two dozen investors since 2005. The Complaint alleges that Callahan promised investors that their money would be invested in liquid assets, but instead diverted investors’ money to his brother-in-law’s real estate project, which was facing foreclosure, in exchange for unsecured, illiquid, overstated promissory notes. According to the Complaint, Callahan and his advisory firms used these promissory notes to hide Callahan’s misuse of investor funds, and the overstated promissory notes inflated Callahan’s management fees. At the SEC’s request, and after a Court hearing on March 27, 2012, the Court issued an Order preliminarily enjoining Callahan and his advisory firms with violating the antifraud provisions of Sections 17(a)(1), (2) and (3) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rules 10b-5(a), (b) and (c) thereunder, and Sections 206(1), 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. Among other things, the Order continues to freeze assets of Callahan and his advisory firms, requires Callahan and his advisory firms to repatriate assets that may be located outside of the United States, prohibits Callahan and his advisory firms from soliciting or accepting any new investments, and appoints Steven Weinberg of Gottesman, Wolgel, Malamy, Flynn and Weinberg, P.C. as receiver for the estates of Callahan’s advisory firms. [SEC v. Brian Raymond Callahan, Horizon Global Advisors Ltd. and Horizon Global Advisors, LLC, Civil Action No. 12-CV-1065, USDC, EDNY] (LR-22311) SELF-REGULATORY ORGANIZATIONSOrder Granting Petition For Review and Scheduling Filing of StatementsThe Commission has issued an order: (1) granting the petition of The NASDAQ Stock Market LLC for review of the order disapproving by delegated authority File No. SR-NASDAQ-2011-010 and (2) establishing a period for interested parties to submit comments in support of or in opposition to the disapproval. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66667) Immediate Effectiveness of Proposed Rule ChangeA proposed rule change, (SR-Phlx-2012-35), filed by NASDAQ OMX PHLX LLC, relating to the Equity Options Fees and Singly Listed Option Fee 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 April 2. (Rel. 34-66668) Proposed Rule ChangeThe Commission issued notice of a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2012-21) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to the listing and trading of the First Trust North American Infrastructure Fund under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66669) Approval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change (SR-NYSEArca-2012-09) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder 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 April 2. (Rel. 34-66670) 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-4 BAKER HUGHES INC, 2929 ALLEN PARKWAY, SUITE 2100, HOUSTON, TX, 77019-2118, 7134398600 - 0 ($750,000,000.00) Non-Convertible Debt, (File 333-180387 - Mar. 28) (BR. 04A) S-4 AES CORP, 4300 WILSON BOULEVARD, ARLINGTON, VA, 22203, 7035221315 - 0 ($1,000,000,000.00) Debt, (File 333-180388 - Mar. 28) (BR. 02B) S-B PROVINCE OF NEW BRUNSWICK, 670 KING ST., FREDERICTON, A3, E3B 5H1, (506) 453-2515 - 0 ($1,000,000,000.00) Debt, (File 333-180390 - Mar. 28) (BR. DN) S-3 BGC Partners, Inc., 499 PARK AVENUE, NEW YORK, NY, 10022, 212-610-2200 - 0 ($7,759,500.00) Equity, (File 333-180391 - Mar. 28) (BR. 08C) S-1 Customers Bancorp, Inc., 1015 PENN AVENUE, SUITE 103, WYOMISSING, PA, 19610, 484-359-7113 - 0 ($115,000,000.00) Equity, (File 333-180392 - Mar. 28) (BR. 07B) S-8 DIGITAL ALLY INC, 7311 W 130TH ST, STE 170, OVERLAND PARK, KS, 66213, 913-232-5349 - 500,000 ($240,000.00) Equity, (File 333-180393 - Mar. 28) (BR. 11A) S-8 GENCORP INC, 2001 AEROJET ROAD, RANCHO CORDOVA, CA, 95742, 916-355-4000 - 3,000,000 ($20,250,000.00) Equity, (File 333-180400 - Mar. 28) (BR. 06C) F-10 TALISMAN ENERGY INC, 888 3RD STREET SW SUITE 2000, CALGARY, ALBERTA CANADA, A0, T2P 5C5, 4032371234 - 0 ($3,498,950,000.00) Other, (File 333-180401 - Mar. 28) (BR. 04A) S-3ASR WATTS WATER TECHNOLOGIES INC, 815 CHESTNUT ST, NORTH ANDOVER, MA, 01845, 9786881811 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-180402 - Mar. 28) (BR. 06B) S-1 CADIZ INC, 550 SOUTH HOPE STREET, SUITE 2850, LOS ANGELES, CA, 90071, 213-271-1600 - 888,889 ($8,648,889.97) Equity, (File 333-180403 - Mar. 28) (BR. 02C) S-8 KROGER CO, 1014 VINE ST, CINCINNATI, OH, 45201, 5137624000 - 0 ($241,000,000.00) Equity, (File 333-180404 - Mar. 28) (BR. 02B) S-8 JONES LANG LASALLE INC, 200 E RANDOLPH DR, CHICAGO, IL, 60601, 3127825800 - 30,000,000 ($30,000,000.00) Other, (File 333-180405 - Mar. 28) (BR. 08B) S-8 JONES LANG LASALLE INC, 200 E RANDOLPH DR, CHICAGO, IL, 60601, 3127825800 - 3,000,000 ($250,650,000.00) Equity, (File 333-180406 - Mar. 28) (BR. 08B) S-4 Consolidated Communications Holdings, Inc., 121 SOUTH 17TH STREET, MATTOON, IL, 61938, (217) 235-3311 - 10,417,450 ($164,897,559.00) Equity, (File 333-180407 - Mar. 28) (BR. 11C) S-8 AVG Technologies N.V., GATWICKSTRAAT 9-39, 1043 GL, Amsterdam, P7, 00000, 31-20-5226210 - 0 ($90,713,865.36) Equity, (File 333-180408 - Mar. 28) (BR. 03B) S-8 Biodel Inc, 100 SAW MILL ROAD, DANBURY, CT, 06810, 203-796-5000 - 1,096,756 ($647,087.00) Equity, (File 333-180409 - Mar. 28) (BR. 01A) S-3ASR PPL Corp, TWO N NINTH ST, ALLENTOWN, PA, 18101-1179, 610-774-5151 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-180410 - Mar. 28) (BR. 02B) S-3 ATHERSYS, INC / NEW, 3201 CARNEGIE AVENUE, CLEVELAND, OH, 44115-2634, 216-431-9900 - 0 ($14,521,742.00) Equity, (File 333-180411 - Mar. 28) (BR. 01B) S-8 MARVELL TECHNOLOGY GROUP LTD, CANON'S COURT, 22 VICTORIA STREET, HAMILTON HM 12, D0, 4412966395 - 8,000,000 ($125,640,000.00) Equity, (File 333-180412 - Mar. 28) (BR. 10B) S-3ASR HAWAIIAN ELECTRIC INDUSTRIES INC, 900 RICHARDS ST, HONOLULU, HI, 96813, 8085435662 - 0 ($98,984,751.00) Equity, (File 333-180413 - Mar. 28) (BR. 02C) S-8 Kaiser Federal Financial Group, Inc., 1359 NORTH GRAND AVENUE, COVINA, CA, 91724, (800) 524-2274 - 892,500 ($12,387,900.00) Equity, (File 333-180415 - Mar. 28) (BR. 07B) N-2 GSV Capital Corp., 2965 WOODSIDE ROAD, WOODSIDE, CA, 94062, (650) 294-4777 - 0 ($250,000,000.00) Equity, (File 333-180416 - Mar. 28) (BR. 16) S-8 VOCERA COMMUNICATIONS, INC., 525 RACE STREET, SUITE 150, SAN JOSE, CA, 95126-3495, 408-882-5100 - 4,636,862 ($29,689,828.52) Equity, (File 333-180417 - Mar. 28) (BR. 11C) S-3 FIELDPOINT PETROLEUM CORP, 1703 EDELWEISS DRIVE, STE 301, CEDAR PARK, TX, 78613, 5122508692 - 7,983,175 ($31,932,700.00) Equity, (File 333-180419 - Mar. 28) (BR. 04A) S-3ASR DEXCOM INC, 6340 SEQUENCE DRIVE, SAN DIEGO, CA, 92121, 8582000200 - 0 ($3,964,019.73) Equity, (File 333-180420 - Mar. 28) (BR. 10A) S-8 DEXCOM INC, 6340 SEQUENCE DRIVE, SAN DIEGO, CA, 92121, 8582000200 - 0 ($26,810,306.86) Equity, (File 333-180421 - Mar. 28) (BR. 10A) S-8 NeurogesX Inc, 2215 BRIDGEPOINTE PARKWAY, SUITE 200, SAN MATEO, CA, 94404, 650-358-3300 - 1,866,666 ($1,071,999.63) Equity, (File 333-180422 - Mar. 28) (BR. 01A) S-3 INNERWORKINGS INC, 600 WEST CHICAGO, SUITE 750, CHICAGO, IL, 60610, 312-642-3700 - 78,778 ($936,276.53) Equity, (File 333-180423 - Mar. 28) (BR. 05B) 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 ----------------------------------------------------------------------------------------- AES CORP DE 9.01 03/27/12 AETNA INC /PA/ PA 1.01,2.03,9.01 03/27/12 AFFYMAX INC DE 8.01,9.01 03/27/12 Aircastle LTD D0 7.01,9.01 03/27/12 ALLIANCE DATA SYSTEMS CORP DE 1.01,9.01 03/22/12 ALLIANCEBERNSTEIN HOLDING L.P. DE 5.02 03/26/12 ALLIANCEBERNSTEIN L.P. DE 5.02 03/26/12 ALNYLAM PHARMACEUTICALS, INC. 5.02 03/22/12 AMEREN CORP MO 1.01,9.01 03/28/12 AMERISAFE INC TX 5.02,9.01 03/22/12 AMYRIS, INC. DE 5.02 03/23/12 ANAVEX LIFE SCIENCES CORP. NV 5.02,9.01 03/27/12 Andina Acquisition Corp E9 8.01,9.01 03/22/12 API Technologies Corp. DE 1.01,2.03,3.02,3.03, 03/22/12 5.03,5.07,8.01,9.01 ARADIGM CORP CA 2.02,9.01 03/27/12 ARTIFICIAL LIFE INC DE 8.01,9.01 03/28/12 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 03/28/12 AXION INTERNATIONAL HOLDINGS, INC. CO 4.01,9.01 03/26/12 BANK JOS A CLOTHIERS INC /DE/ DE 2.02,9.01 03/28/12 Bank of the Carolinas CORP NC 5.02 03/28/12 BANNER CORP WA 5.02,9.01 03/26/12 Behringer Harvard Mid-Term Value Enha TX 5.02 03/22/12 Behringer Harvard Opportunity REIT I, MD 5.02 03/22/12 Behringer Harvard Opportunity REIT II MD 5.02 03/22/12 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 5.02 03/22/12 BGC Partners, Inc. DE 8.01,9.01 03/27/12 BIOMET INC IN 1.01,8.01,9.01 03/26/12 BISON INSTRUMENTS INC MN 4.01,9.01 03/20/12 AMEND BOVIE MEDICAL CORP DE 5.08 03/22/12 BRT REALTY TRUST MA 1.01,2.01,2.03,9.01 03/22/12 CAGLES INC GA 1.01,7.01,9.01 03/22/12 CALLAWAY GOLF CO DE 5.02,9.01 03/22/12 Car Charging Group, Inc. NV 5.02,8.01,9.01 03/19/12 Carbon Natural Gas Co DE 7.01,9.01 03/28/12 Carey Watermark Investors Inc 5.02 03/27/12 CARROLS RESTAURANT GROUP, INC. 1.01,5.02,8.01,9.01 03/26/12 Cazador Acquisition Corp Ltd. E9 5.02,8.01,9.01 03/22/12 CEDAR FAIR L P DE 5.02,9.01 03/27/12 CENTRAL VALLEY COMMUNITY BANCORP CA 1.01 03/21/12 CHARMING SHOPPES INC PA 5.02 03/22/12 China Liaoning Dingxu Ecological Agri NV 1.01,2.01,3.02,5.06, 12/12/11 AMEND 9.01 CHINA RECYCLING ENERGY CORP 1.01 03/23/12 China Shandong Industries, Inc. DE 1.01,2.03,9.01 02/27/12 AMEND CLARCOR INC. DE 5.02,5.07 03/28/12 CNS RESPONSE, INC. DE 1.01,5.02,5.03,8.01, 03/22/12 9.01 COMMERCIAL METALS CO DE 2.02,9.01 03/28/12 CONCEPTUS INC DE 5.02,9.01 03/26/12 CONTINENTAL AIRLINES INC /DE/ DE 1.01,2.03,9.01 03/22/12 Continental Resources Group, Inc. DE 4.02,9.01 03/27/12 CVR ENERGY INC DE 8.01,9.01 03/28/12 CYTODYN INC CO 8.01 03/06/12 DAYSTAR TECHNOLOGIES INC DE 5.07 03/26/12 Deep Down, Inc. NV 2.02,9.01 03/28/12 Dialogic Inc. DE 1.01,2.03,3.02,5.02 03/22/12 Diamond Resorts Corp MD 7.01,9.01 03/27/12 DIGIRAD CORP DE 5.02,9.01 03/23/12 DIGITAL ALLY INC 2.02,9.01 03/28/12 DJO Finance LLC DE 5.02 03/22/12 DYCOM INDUSTRIES INC FL 7.01,9.01 03/28/12 DYNATRONICS CORP UT 5.02,9.01 03/26/12 DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 03/27/12 DYNEGY HOLDINGS, LLC DE 8.01,9.01 03/28/12 EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 03/28/12 ECHELON CORP DE 1.01,9.01 03/23/12 EDIETS COM INC DE 7.01,9.01 03/27/12 EL PASO CORP/DE DE 7.01,9.01 03/28/12 EMCORE CORP NJ 1.01,7.01,9.01 03/27/12 ENDOLOGIX INC /DE/ DE 5.02,9.01 03/22/12 Energy Transfer Equity, L.P. DE 1.01,1.02,2.01,2.03, 03/23/12 3.03,5.03,7.01,9.01 Energy Transfer Partners, L.P. DE 1.01,2.01,2.03,3.02, 03/23/12 3.03,5.03,7.01,9.01 Enertopia Corp. NV 1.01,3.02,5.02,7.01, 03/27/12 9.01 Envision Solar International, Inc. NV 1.01,9.01 03/22/12 EQUINIX INC DE 8.01 03/28/12 EXELON CORP PA 7.01,9.01 03/28/12 EXPRESS SCRIPTS INC DE 8.01 03/28/12 EXXON MOBIL CORP NJ 2.02,7.01 03/26/12 FAMILY DOLLAR STORES INC DE 2.02,7.01,9.01 03/28/12 Federal Home Loan Bank of New York X1 5.02 03/22/12 FERRO CORP OH 5.02,7.01 03/28/12 FIELDPOINT PETROLEUM CORP CO 7.01,9.01 03/27/12 FIFTH THIRD BANCORP OH 8.01,9.01 03/27/12 FIRST INTERSTATE BANCSYSTEM INC MT 5.02 03/22/12 FIRST POTOMAC REALTY TRUST MD 7.01 03/28/12 FIRST SECURITY GROUP INC/TN TN 5.02,5.07,9.01 03/22/12 FIRSTFED FINANCIAL CORP DE 5.02 02/22/12 FLEETCOR TECHNOLOGIES INC DE 7.01,9.01 03/28/12 Fortress International Group, Inc. DE 2.02,9.01 03/28/12 FUELCELL ENERGY INC DE 8.01,9.01 03/27/12 Galena Biopharma, Inc. 8.01 03/28/12 Galena Biopharma, Inc. 2.02,9.01 03/28/12 GASCO ENERGY INC NV 1.01,2.01,7.01,9.01 03/22/12 GENESIS ENERGY LP DE 1.01,8.01,9.01 03/23/12 GenOn Energy, Inc. DE 7.01,9.01 03/28/12 GENTA INC DE/ DE 2.02,9.01 03/28/12 GENTA INC DE/ DE 2.02,9.01 03/28/12 GigOptix, Inc. DE 1.01,5.02,9.01 03/27/12 Global Cash Access Holdings, Inc. DE 5.02,9.01 03/28/12 GlyEco, Inc. NV 7.01,9.01 03/28/12 GRANITE CITY FOOD & BREWERY LTD. MN 8.01,9.01 03/28/12 Griffin-American Healthcare REIT II, MD 9.01 01/10/12 AMEND HALLADOR ENERGY CO CO 7.01,9.01 03/27/12 HANSEN MEDICAL INC DE 5.02 03/27/12 HARRIS INTERACTIVE INC DE 8.01 03/23/12 HD SUPPLY, INC. DE 7.01 03/27/12 HEINZ H J CO PA 5.02,9.01 03/26/12 HERCULES OFFSHORE, INC. DE 1.01,8.01,9.01 03/22/12 Heron Lake BioEnergy, LLC MN 5.07 03/22/12 Home Federal Bancorp, Inc. MD 5.07 03/27/12 AMEND HomeStreet, Inc. WA 1.02,9.01 03/26/12 Horizon Lines, Inc. 1.01,2.02,7.01,9.01 03/26/12 HORIZON PHARMA, INC. DE 8.01 03/28/12 HUNTINGTON INGALLS INDUSTRIES, INC. DE 2.02,9.01 03/28/12 HUTCHINSON TECHNOLOGY INC MN 8.01,9.01 03/28/12 INDUSTRIAL SERVICES OF AMERICA INC /F FL 5.02,9.01 03/22/12 INFORMATION ARCHITECTS CORP NC 5.02 03/28/12 INTERNATIONAL SHIPHOLDING CORP DE 2.01,9.01 03/26/12 International Stem Cell CORP DE 5.02 03/22/12 INTERVEST BANCSHARES CORP DE 5.02,5.07,9.01 03/27/12 INTREorg SYSTEMS INC. TX 5.02 03/16/12 Islet Sciences, Inc NV 1.01,3.02,9.01 03/23/12 ISTA PHARMACEUTICALS INC DE 1.01,3.03,9.01 03/26/12 JOHNSON & JOHNSON NJ 7.01,9.01 03/28/12 KBS Real Estate Investment Trust, Inc MD 7.01,9.01 03/28/12 KEMET CORP DE 1.01,2.03,8.01,9.01 03/22/12 KRISPY KREME DOUGHNUTS INC NC 8.01,9.01 03/28/12 LAMPERD LESS LETHAL INC NV 8.01 03/28/12 LEARNING TREE INTERNATIONAL INC DE 1.02,5.02 03/23/12 Liberty Global, Inc. DE 2.03 03/27/12 LINDSAY CORP DE 2.02,9.01 03/28/12 LUNA INNOVATIONS INC DE 1.01,7.01,9.01 03/22/12 MACE SECURITY INTERNATIONAL INC DE 2.02,9.01 03/28/12 MACKINAC FINANCIAL CORP /MI/ MI 1.01,3.02,7.01,8.01, 03/27/12 9.01 Mastech Holdings, Inc. PA 5.02 03/26/12 MAUI LAND & PINEAPPLE CO INC HI 5.02 03/22/12 MEDCO HEALTH SOLUTIONS INC DE 8.01 03/28/12 MEDICIS PHARMACEUTICAL CORP DE 1.01,8.01 03/20/12 Meritage Homes CORP MD 8.01,9.01 03/27/12 METABOLIX, INC. 5.02,7.01,9.01 03/22/12 MetroCorp Bancshares, Inc. TX 5.02,9.01 03/26/12 ML MACADAMIA ORCHARDS L P DE 2.02,9.01 03/28/12 Morgan Stanley Capital I Trust 2012-C DE 8.01,9.01 03/28/12 MRC GLOBAL INC. DE 8.01 03/28/12 MRC GLOBAL INC. DE 7.01 03/28/12 MRC GLOBAL INC. DE 1.01,1.02,2.03,9.01 03/28/12 National Asset Recovery Corp. NV 1.01,5.01,5.02,8.01, 03/23/12 9.01 NATUS MEDICAL INC DE 5.03,8.01 03/22/12 NB Manufacturing, Inc. NV 5.03,9.01 02/29/12 NBTY INC DE 5.02,8.01 03/22/12 NCO Group, Inc. DE 8.01,9.01 03/28/12 NEOGEN CORP MI 2.02,9.01 03/27/12 NEOGENOMICS INC NV 1.01,9.01 03/26/12 NETWORK EQUIPMENT TECHNOLOGIES INC DE 3.01 03/22/12 NEWLINK GENETICS CORP 1.01,5.02,9.01 03/28/12 NEWS CORP 8.01,9.01 03/28/12 NORTHEAST UTILITIES MA 2.03,9.01 03/22/12 Nutrastar International Inc. NV 2.02,7.01,9.01 03/28/12 NVIDIA CORP DE 5.02,9.01 03/22/12 Ocean Electric Inc. 3.02 03/26/12 Oilsands Quest Inc 1.01,8.01,9.01 03/26/12 Omagine, Inc. DE 8.01,9.01 03/28/12 Oncothyreon Inc. DE 8.01,9.01 03/28/12 OPENWAVE SYSTEMS INC DE 5.02,9.01 03/22/12 OPNEXT INC 1.01,5.02,8.01,9.01 03/26/12 OVERLAND STORAGE INC CA 8.01,9.01 03/28/12 P&F INDUSTRIES INC DE 2.02,9.01 03/28/12 Parametric Sound Corp NV 3.02,5.02 03/27/12 PAYCHEX INC DE 2.02,9.01 03/28/12 Peninsula Gaming, LLC DE 2.02,9.01 03/28/12 PENTAIR INC MN 8.01,9.01 03/28/12 PEREGRINE PHARMACEUTICALS INC DE 3.01,9.01 03/28/12 PETSMART INC DE 1.01,9.01 03/23/12 PFSWEB INC DE 8.01 03/22/12 PHYSICIANS FORMULA HOLDINGS, INC. DE 5.02,9.01 03/26/12 Point.360 CA 3.01,9.01 03/27/12 POTOMAC BANCSHARES INC WV 5.02 03/28/12 PowerShares DB Commodity Index Tracki 8.01,9.01 03/28/12 PowerShares DB G10 Currency Harvest F DE 8.01,9.01 03/28/12 PowerShares DB Multi-Sector Commodity DE 8.01,9.01 03/28/12 PowerShares DB US Dollar Index Trust DE 8.01,9.01 03/28/12 PPL Corp 8.01,9.01 03/28/12 Pregis Holding II CORP DE 1.01,1.02,2.03 03/23/12 PROGRESS SOFTWARE CORP /MA MA 2.02,9.01 03/28/12 PROGRESS SOFTWARE CORP /MA MA 5.02,9.01 03/22/12 PROSPERITY BANCSHARES INC TX 8.01 03/27/12 PURE BIOSCIENCE, INC. DE 3.01 03/23/12 RADIENT PHARMACEUTICALS Corp DE 2.04 03/28/12 RARE ELEMENT RESOURCES LTD A1 7.01,9.01 03/26/12 RED HAT INC DE 2.02,9.01 03/28/12 RED HAT INC DE 8.01,9.01 03/28/12 Red Lion Hotels CORP WA 5.02,8.01,9.01 03/24/12 Regency Energy Partners LP DE 7.01,9.01 03/28/12 Regency Energy Partners LP DE 7.01,9.01 03/28/12 Regency Resources, Inc. NV 1.01,9.01 03/22/12 RESOURCES CONNECTION INC DE 2.02,9.01 03/28/12 RESPONSE GENETICS INC 2.02,9.01 03/27/12 ROBBINS & MYERS, INC. OH 2.02,9.01 03/27/12 ROI Acquisition Corp. DE 5.03 03/27/12 Rosetta Resources Inc. DE 7.01,9.01 03/28/12 ROYAL CARIBBEAN CRUISES LTD 1.01 03/26/12 RSC Holdings Inc. DE 8.01,9.01 03/28/12 Shengkai Innovations, Inc. FL 8.01 03/26/12 SIGMA DESIGNS INC CA 1.01,9.01 03/23/12 Sino Agro Food, Inc. NV 1.01,7.01,9.01 03/26/12 Solar Power, Inc. CA 4.02 03/28/12 Solar Power, Inc. CA 2.02,9.01 03/28/12 SOLTA MEDICAL INC DE 5.02 03/26/12 Sound Financial, Inc. 2.02,9.01 03/27/12 SOUTHERN COMMUNITY FINANCIAL CORP 1.01,9.01 03/26/12 Soy Energy, LLC IA 5.02 03/01/12 SPHERIX INC DE 2.02,9.01 03/28/12 STEC, INC. CA 5.02,8.01 03/22/12 SUNESIS PHARMACEUTICALS INC DE 5.02,9.01 03/22/12 Swisher Hygiene Inc. DE 4.02,9.01 03/21/12 TANDY BRANDS ACCESSORIES INC DE 7.01,9.01 03/28/12 Teavana Holdings Inc 2.02,9.01 03/28/12 THERMOGENESIS CORP DE 1.01,9.01 03/28/12 AMEND TIAA REAL ESTATE ACCOUNT NY 2.02,7.01,9.01 03/28/12 TIDEWATER INC DE 8.01,9.01 03/27/12 Todays Alternative Energy Corp NY 5.02 03/22/12 TORCHMARK CORP DE 5.02,9.01 03/23/12 TYCO INTERNATIONAL LTD V8 8.01,9.01 03/27/12 U S PHYSICAL THERAPY INC /NV NV 5.02,9.01 03/27/12 U S PRECIOUS METALS INC DE 8.01 03/28/12 UNIFIRST CORP MA 2.02,9.01 03/28/12 UNISOURCE ENERGY CORP AZ 3.02 03/27/12 UNITED SURGICAL PARTNERS INTERNATIONA DE 1.01,8.01,9.01 03/28/12 US CONCRETE INC DE 5.02 03/27/12 US ENERGY CORP WY 7.01,9.01 03/28/12 Valley Commerce Bancorp CA 5.02,9.01 03/26/12 VANGUARD HEALTH SYSTEMS INC DE 8.01,9.01 03/27/12 VERINT SYSTEMS INC DE 2.02,7.01,9.01 03/28/12 VERISIGN INC/CA DE 8.01 03/27/12 VERMILLION, INC. DE 5.02 03/22/12 Vestin Realty Mortgage I, Inc. 3.03,5.03 03/28/12 Vestin Realty Mortgage II, Inc MD 3.03,5.03 03/28/12 VITRAN CORP INC A6 8.01,9.01 03/28/12 WaferGen Bio-systems, Inc. NV 5.02 03/26/12 WEBMEDIABRANDS INC. DE 3.01 03/23/12 WEIGHT WATCHERS INTERNATIONAL INC VA 2.03,8.01 03/27/12 WESTERN LIBERTY BANCORP DE 5.02,9.01 03/23/12 Whiting USA Trust II DE 1.01,1.02,3.02,5.03, 03/22/12 9.01 Willow Creek Enterprises Inc. 1.01,2.03,9.01 03/22/12 WMI HOLDINGS CORP. WA 3.02,9.01 03/19/12 WNC HOUSING TAX CREDIT FUND VI LP SER CA 2.02,9.01 03/28/12 Zalicus Inc. DE 1.02 03/28/12 ZOLTEK COMPANIES INC DE 7.01,9.01 03/27/12
http://www.sec.gov/news/digest/2012/dig032912.htm
|