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SEC News Digest
Issue 2012-93
May 14, 2012
Commission Announcements
SEC Suspends Trading in Common Stock of Three Hundred Seventy-Nine Companies Quoted on OTC Link
On May 14, 2012, the Securities and Exchange Commission ordered the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on May 14, 2012, and terminating at 11:59 p.m. EDT on May 25, 2012:
Issuer/Ticker
1. 1-800-ATTORNEY, Inc. ATTY
2. Accessible Software Inc. ASWE
3. Accom, Inc. ACMM
4. AccuHealth, Inc. AHLHQ
5. Adaptive Solutions, Inc. ADPVQ
6. AHSI, Inc. AHSI
7. Ainslie Corp. ANSE
8. American Cattle Co., Inc. ALCC
9. American Interactive Media, Inc. AIME
10. AmeriStar International Holdings Corp. AIHC
11. Angeles Corp. ANGC
12. Aprogenex, Inc. APGX
13. Ardent Communications, Inc. ARDTQ
14. Asante Technologies, Inc. ASNL
15. ASFG, Inc. ASFJ
16. Asia Pacific Engineering Solutions International, Inc. APCI
17. Atlantic Central Enterprise Ltd. ALCN
18. ATM Capitol Co. ATMA
19. Avatex Corp. AVATQ
20. Avisana Corp. AVSA
21. Axtive Corporation AXTC
22. Batterymarch Trust BTYM
23. Bedford Holdings, Inc. BFHI
24. Beijing Logistic, Inc. BJGL
25. Belle Isle Corp. BILSU
26. Ben Ezra, Weinstein & Co. BNEZ
27. Bestway Coach Express, Inc. BWCX
28. Biomedtex, Inc. BMDX
29. BMJ Medical Management, Inc. BONSQ
30. Bon Coeur, Inc. BOCU
31. BRIAZZ, Inc. BRZZQ
32. Buffalo, Inc. BUFO
33. Burr Oak Coal Corp. BOAK
34. Cabo Group, Ltd. (The) CGLT
35. CallNOW.com, Inc. CALN
36. Capital Media Group Ltd. CPMG
37. Capitol First Corp. CFCO
38. Cartis, Inc. CARI
39. CCI Group, Inc. CCIG
40. Centra Capital Corp. CENC
41. CES International, Inc. CSNL
42. Chambersburg Engineering Co. CEGR
43. Chariot Group, Inc. CGRU
44. Chemicorp International, Inc. CHEM
45. Chemtrak, Inc. CTKI
46. China Cable & Communication, Inc. CCCI
47. China TianRen Organic Food, Inc. CTRI
48. ChinaMallUSA.com, Inc. CHML
49. Christian Brothers, Inc. CHBI
50. Ciao Cucina Corp. CIAQQ
51. Clarent Corp. CLRN
52. Clinicorp, Inc. CLNI
53. CNF Technologies, Inc. CNFT
54. Columbia Management Co. CLMB
55. Columbia Ventures, Inc. COVE
56. Commonwealth Oil Refining Co., Inc. CWLO
57. Community Medical Transport, Inc. CMTI
58. Computer Learning Centers, Inc. CLCXQ
59. Computerized Thermal Imaging, Inc. COIB
60. Condor Technology Solutions, Inc. CTSI
61. Continental Information Systems Corp. CISC
62. Conversion Industries, Inc. CVII
63. Country Maid Financial, Inc. CMFI
64. C-Phone Corp. CFON
65. Cray Computer Corp. CRYYQ
66. Creative Gourmet, Inc. CGOM
67. Credit Depot Corp. CDDJ
68. Crowley Maritime Corp. CWLM
69. Crowley Milner & Company CWYM
70. Crown Andersen Inc. CRAN
71. Crown City Plating Co. CCPGQ
72. Crown Financial Holdings, Inc. CFGI
73. CTI Technology, Inc. CTIT
74. CybeRecord, Inc. CYRD
75. Data Systems of Oregon DSTO
76. Datatrend Services, Inc. DATV
77. Defense Technology Systems, Inc. DFTS
78. Design Media Technology, Inc. DMTK
79. Digital Armor Inc. DTALQ
80. DNA Medical Technologies, Inc. DNAT
81. dot1Web, Inc. DTWB
82. dotwap.com Holdings Corp. DWAP
83. DualStar Technologies Corp. DSTR
84. Duncan Hill Co., Ltd. DUNC
85. Dunes Hotels & Casinos, Inc. DUNE
86. Dynamic Leisure Corp. DYLI
87. EAC Industries, Inc. EACI
88. Eagle-Picher Industries, Inc. EGLP
89. eChapman, Inc. ECMN
90. EGM International, Inc. EGML
91. Electro Brain International Corp. EBIC
92. Electronic Transmission Corp. ETSM
93. Elsinore Corp. ELSO
94. Emergisoft Holding, Inc. ESHG
95. E-Monee.com, Inc. EMNC
96. Enerphaze Corp. EPHZ
97. Enhance Biotech, Inc. EBOI
98. Enviro Global Corp. ENVG
99. Environmental Asset Management Inc. EVAM
100. ETI International, Inc. ETIC
101. Excal Enterprises, Inc. EXCL
102. Fastlane Footwear, Inc. FSLF
103. Firamada Inc. FAMH
104. Firebrand Financial Group, Inc. FFGI
105. First Look Media, Inc. FRST
106. First Medical Group, Inc. FMDG
107. First Sun South Corp. FSSU
108. Florida Development Fund (1995), Inc. FLDV
109. Florida Partners Corp. FPCO
110. Florsheim Group, Inc. (FGI Group, Inc.) FLSCQ
111. Fone America, Inc. FONM
112. Fruehauf Trailer Corp. FTCFQ
113. Future Healthcare, Inc. FHCI
114. Gargoyles, Inc. GOYL
115. General Broadcasting Inc. GNBR
116. General Store International Corp. (The) GSIL
117. Georgia 400 Industries, Inc. GAID
118. Glengarry Holdings Ltd. GLGH
119. Global iTechnology, Inc. GITN
120. Global Teledata Corp. GDAC
121. Gold Lake Mines, Inc. GOLM
122. Grant Enterprise, Ltd. GRET
123. Great Train Store Co. (The) GTRNQ
124. Greenleaf Technologies Corp. GLFC
125. GreyStone Digital Technology, Inc. GSTN
126. Harriet & Henderson Yarns, Inc. HHYN
127. Hartz Restaurants International, Inc. HRII
128. Hayden Hall, Inc. HYDN
129. HealthRenu Medical, Inc. HRUM
130. Helionetics, Inc. HLXC
131. Henley Healthcare, Inc. HENL
132. Hi-Rise Recycling Systems, Inc. HIRI
133. Home Energy Savings Corp. HESV
134. Home Security International, Inc. HMSI
135. Home Solutions Health, Inc. HSHL
136. Home State Holdings, Inc. HOMH
137. HomeGold Financial, Inc. HGFNQ
138. Homeland Holding Corp. HMLD
139. Hubco Exploration, Inc. HBCE
140. Hungarian Broadcasting Corp. HBCO
141. Huntco, Inc. HCOIQ
142. HyperFeed Technologies, Inc. HYPRQ
143. HyperSecur Corp. HYUR
144. iBX Group, Inc. IBXG
145. IFS International Holdings, Inc. IFSH
146. IGIA, Inc. IGAI
147. ImageMatrix Corp. IMCX
148. IMC Mortgage Co. IMCC
149. IMP, Inc. IMPX
150. Imperial Credit Industries, Inc. ICII
151. IMT, Inc IMIT
152. Inamco International Corp. IICC
153. Incomnet, Inc. ICNT
154. Industrial Imaging Corp. INIM
155. Industrial Technologies, Inc. INTE
156. Innovative Materials, Inc. INOMA
157. Instruments For Industry, Inc INSF
158. In-Systcom, Inc. ISYX
159. Integrated Information Systems, Inc. IISX
160. Integrated Services Group, Inc. ISVG
161. Integrated Waste Services, Inc. IWSI
162. INTER*ACT Communications, Inc. IAMM
163. Interactive Media Technologies, Inc. IMDI
164. Interactive Television Networks, Inc. ITTV
165. Intercontinental Holdings, Inc. ICLH
166. International Building Concepts Ltd. IBDG
167. International Capital Equipment, Ltd. ICQLF
168. Interpharm Holdings, Inc. IPAH
169. Interspeed, Inc. ISPD
170. InterWorld Corp. ITWR
171. Intrenet, Inc. IRNE
172. IPTV Corp. IPTV
173. Iridium World Communications Ltd. IRIDQ
174. Istec-Industries & Technologies, Ltd. ISEF
175. IT Group Holdings, Inc. ITGL
176. J.Rish Group, Inc. (The) RISH
177. JEC Lasers, Inc. JECL
178. JPE, Inc. JPEI
179. Kentucky Central Life Insurance Co. KENCA
180. Krause's Furniture, Inc. KAUSQ
181. Kuala Healthcare, Inc. KUAL
182. L.A. Gear, Inc. LAGR
183. Lady Baltimore Foods, Inc. LDYBA
184. LeaseSmart, Inc. LSMJ
185. Lexington Healthcare Group Inc. LEXI
186. Liberate Technologies LBTE
187. Liberty Group Holdings, Inc. LGHI
188. Liberty International Entertainment, Inc. LIEI
189. LINC Capital, Inc. LNCC
190. Link Energy, LLC LNKE
191. LogicalOptions International, Inc. LOGO
192. LogiMetrics, Inc. LGMTA
193. Lois/USA, Inc. LSUS
194. Louisiana Central Oil & Gas Co. LCNTU
195. LoyaltyPoint, Inc. LYLP
196. LTI Technologies, Inc. LTTI
197. LTWC Corp. LTWC
198. Lucille Farms, Inc. LUCY
199. M.POS Inc. MPSN
200. Malibu Entertainment Worldwide, Inc. MBEW
201. Marine Management Systems, Inc. MMSY
202. Marine Sports, Inc. MRSP
203. Marnetics Broadband Technologies Ltd. MXBTF
204. Master Woodcraft, Inc. MCFL
205. Materials Protection Technologies Inc. MTXLF
206. Matrix Denture Systems International, Inc. MDSI
207. MaxWorldwide, Inc. MAXW
208. Meadowbrook Golf Group Inc. MGGI
209. Media 100, Inc. MDEA
210. Media Logic, Inc. MDLG
211. MediaWorx, Inc. MEWX
212. Medical Sciences, Inc. MCLS
213. Medical Technology Products, Inc. MTPX
214. Medra Corp. MDRA
215. Mega Group, Inc. MGINQ
216. Mellin Industries, Inc. MELL
217. Meridian Software, Inc. MSWI
218. Merit Studios, Inc. MRITQ
219. Metals Research Group Corp. MLRA
220. Metro Airlines, Inc. MEAI
221. MidasTrade.com, Inc. MIDS
222. MIIX Group, Inc. (The) MIIX
223. Miniscribe Corp. MINY
224. Miravant Medical Technologies MRVT
225. Mobile Ready Entertainment Corp. MRDY
226. MyGlobalConcierge.com, Inc. MGCG
227. Nahdree Group Ltd. (The) NDRE
228. National Cable, Inc. NCAB
229. National Terminals Corp. NTRM
230. Nelson (L.B.) Corp. NLBC
231. NetImpact Holdings, Inc. NTHD
232. NetObjects, Inc. NETO
233. Netplex Group Inc. (The) NTPL
234. Network Connection, Inc. (The) TNCXQ
235. Neuro Bioscience, Inc. NRBO
236. New York & Harlem Railroad Co. NYHA
237. NewGen Technologies, Inc. NWGN
238. Next Generation Technology Holdings, Inc. NGTHQ
239. Nextrata Energy Inc. NXTA
240. North American Building, Inc. NABD
241. Northeast Digital Networks, Inc. GSMI
242. NorthPoint Communications Group, Inc. NPNTQ
243. Nuko Information Systems, Inc. NUKO
244. nVIEW Corp. NVUE
245. Ocean Power Corp. PWREQ
246. Ohmstar Home Lending LLC OMST
247. Omega Ventures Group, Inc. OMGV
248. Omni Multimedia Group, Inc. OMMG
249. One World Nutrition, Inc. OWDN
250. Oneita Industries, Inc. ONTAQ
251. OneLink Corp. OLNK
252. OneSource Technologies, Inc. OSRC
253. Open Plan Systems, Inc. PLANQ
254. Optomedic Medical Technologies Ltd. KPLNF
255. Oriole Systems, Inc. ORLSF
256. OTC Wireless, Inc. OTCL
257. OTR Express, Inc. OTRX
258. Panama Coca-Cola Bottling Co., Inc. PCOK
259. Paper Warehouse, Inc. PWHSQ
260. Pentronics Industries, Inc. PNTN
261. Phoenix Gold International, Inc. PGLD
262. Pilot Therapeutics Holdings, Inc. PLTT
263. Pioneer Commercial Funding Corp. PCFC
264. Plastic Recycling, Inc. PLTK
265. PlayNet Technologies, Inc. PLYI
266. Pluma, Inc. PLUAQ
267. PMD Investment Co. PMDI
268. Portivity, Inc. BRLS
269. Precision Optics, Inc. PREO
270. Preiss Byron Multimedia, Inc. RSVP
271. Presidion Corp. PSDI
272. Pressure Piping Components, Inc. PPCI
273. Prestige Graphics, Inc. PGPI
274. PreventCo, Inc. PREV
275. PrimePlayer Incorporated PPYR
276. Princeton American Corp. PAMC
277. Princeton Chemical Research, Inc. PRCH
278. ProMedCo Management Co. PMCOQ
279. Proterion Corporation PROI
280. Public Service Investment & Management Corp. PSIM
281. Publishers Equipment Corp. PEQU
282. Pure Vanilla eXchange, Inc. PVNX
283. Quality Data Processing, Inc. QDTA
284. Radio World Corp. RAWO
285. Receptors, Inc. RCRS
286. Regent Assisted Living, Inc. RGNT
287. Renaissance Capital Group, Inc. RNCG
288. Response Oncology, Inc. ROIX
289. Robomatix Technologies Ltd. RBMXF
290. Rodman & Renshaw Capital Group, Inc. RRSHQ
291. Room Plus, Inc. PLSSQ
292. Royal Palm Beach Colony, L.P. RPAML
293. R-Tec Holding, Inc. RTHG
294. RxBazaar, Inc. RXBZ
295. Sanders Confectionery Products, Inc. SDCF
296. Security Asset Capital Corporation SCYA
297. Seiler Pollution Control Systems, Inc. SEPE
298. Sequel Technology Corp. SEQL
299. Shallbetter Industries, Inc. SBNS
300. Silverado Foods, Inc. SVFO
301. Silvercrest Corp. SLVI
302. Simmons-Boardman Publishing Corp. SBPG
303. SimPlayer.com Ltd. SMPLF
304. SISCOM, Inc. SATI
305. SiVault Systems, Inc. SVTLQ
306. SmarTalk TeleServices, Inc. STKTQ
307. Smith Corona Corp. SITM
308. Smith Technology Corp. SMTQQ
309. SMX Corp. SMXP
310. Solo Serve Corp. SSVR
311. Speaking Roses International, Inc. SRII
312. Specialty Chemical Resources, Inc. SCCS
313. Spectrum Oil Corp. SPOC
314. Spotlight Homes, Inc. SPHM
315. Star Entertainment Group, Inc. SREN
316. Stars To Go, Inc. STGO
317. Sterling Business Solutions Inc. STLB
318. Storage Computer Corp. SOSO
319. Stratcomm Media Ltd. SMMT
320. Summit Life Corporation SMLF
321. Sundance Homes, Inc. SDHM
322. Sungroup, Inc. SGUP
323. Sunstyle Corp. SSCO
324. SVC Financial Services, Inc. SVCX
325. Sykes Datatronics, Inc. PSYC
326. TechLite, Inc. THLT
327. Telcoa International Corp. TCOA
328. Teledigital, Inc. TLDG
329. Teletrak Environmental Systems, Inc. TAES
330. Tellurian, Inc. TLRN
331. TeraForce Technology Corp. TERA
332. Terminal Applications Group, Inc. TAGI
333. Top Air Manufacturing, Inc. TPAM
334. Trans World Airlines, Inc. TWAIQ
335. Transco Realty Trust TCRTS
336. Trans-Industries, Inc. TRNIQ
337. Transportation Components, Inc. TUIC
338. TRISM, Inc. TSMX
339. TVC Telecom, Inc. TVCE
340. U.S.A. Floral Products, Inc. ROSI
341. UMC Electronics Co. UMCE
342. UniCapital Corp. UCPC
343. Uniglobe.com Inc. UGTRF
344. UnionFed Financial Corp. UNFD
345. Unison HealthCare Corp. UNHC
346. Unitel Video, Inc. UTLV
347. UniverCell Holdings, Inc. UVCL
348. Universal Automotive Industries, Inc. UVSLQ
349. Value Added Communications, Inc. VACI
350. VECTRA Technologies, Inc. VCTRQ
351. VIA NET.WORKS, Inc. VNWI
352. Vie Financial Group, Inc. VIFI
353. Viral Response Systems, Inc. VRSI
354. Viseon, Inc. VSNI
355. Visicom International, Inc. VSCM
356. Vision Technology Corp. VSTCQ
357. Vision Twenty-One, Inc. EYES
358. Vistula Communications Services, Inc. VSTL
359. VR Business Brokers, Inc. VRBB
360. Washtenaw Group, Inc. (The) TWHR
361. Watchit Media, Inc. WMDA
362. Wavex International Inc. WVXI
363. Wayne's Famous Phillies, Inc. WFPI
364. West Coast Entertainment Corp. WCEC
365. Westbury Metals Group, Inc. WMET
366. Wilshire Technologies, Inc. WILK
367. Winfield Capital Corp. WCAP
368. Wismer-Martin, Inc. WSMM
369. Womens Golf Unlimited, Inc. WGLF
370. Woodroast Systems, Inc. WRSI
371. WorldModal Network Services, Inc. WMDL
372. Worldwide Data, Inc. WWDI
373. Wright (G. F.) Steel & Wire Co. WRGFP
374. Wright (G. F.) Steel & Wire Co. WRGF
375. Wright Brothers Energy, Inc. WOIL
376. XI Tec, Inc. XTIC
377. Xpedior Inc. XPDR
378. York Research Corp. YORK
379. ZeroPlus.com, Inc. ZPLSQ
The Commission temporarily suspended trading in these securities because of questions that have been raised about the accuracy and adequacy of publicly disseminated information concerning the companies’ operating status, if any.
The Commission cautions broker-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 the company.
Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to these companies’ securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. 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.
Any broker-dealer, investor, or other person with information relating to this matter is invited to contact the Securities and Exchange Commission at http://www.sec.gov. The Commission’s Office of Investor Education and Advocacy has information for investors and members of the general public on topics related to investing at http://www.investor.gov. (Rel. 34-66980; Press Rel. 2012-91)
Rules and Related Matters
Order Granting Application of BOX Options Exchange, LLC for a Limited Exemption from Exchange Act Rule 10b-10(a)(2)(i)(A) pursuant to Rule 10b-10(f)
An order has been issued on an application filed by BOX Options Exchange, LLC (“Exchange”), on behalf of Options Participants that execute trades as agent for their customers on BOX Market LLC (an options trading facility of the Exchange), for a limited exemption under Rule 10b-10(f) of the Securities Exchange Act of 1934 (“Exchange Act”) from the requirements of Exchange Act Rule 10b-10(a)(2)(i)(A). Based on the facts and representations presented in the Exchange’s application, the order provides Options Participants with a limited exemption from Rule 10b-10(a)(2)(i)(A) to the extent that Options Participants execute trades for their customers on BOX Market LLC as described in the Application. Publication is expected in the Federal Register during the week of May 14. (Rel. 34-66976)
Enforcement Proceedings
In the Matter of George Sobol
On May 14, 2012 the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against George Sobol (Sobol), a resident of Beverly Hills, California, based on the entry of a permanent injunction against him in the civil action entitled Securities and Exchange Commission v. e-Smart Technologies, Inc. et al., Civil Action No. 1:11-cv-00895-JEB in the United States District Court for the District of Columbia.
In the Order, the Commission finds that, on April 27, 2012, a permanent injunction was entered against Sobol, permanently enjoining him form future violations of Sections 5(a) and 5(c) of the Securities Act of 1933 and Section 15(a) of the Securities Exchange Act of 1934. The Commission further finds in the Order that the Commission filed a Complaint against Sobol, alleging that Sobol participated in the unregistered stock offering from at least March 2005 through June 2006, completing at least 19 transactions totaling over 8.8 million e-Smart shares. During this period, Sobol was not registered with the Commission as a broker-dealer or associated with a registered broker-dealer.
Based on the above, the Order bars Sobol from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent or nationally recognized statistical rating organization. (Rel. 34-66977; File No. 3-14876)
In the Matter of Kenneth A. Wolkoff
On May 14, 2012 the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Kenneth A. Wolkoff (Wolkoff), a resident of Park City, Utah, based on the entry of a permanent injunction against him in the civil action entitled Securities and Exchange Commission v. e-Smart Technologies, Inc. et al., Civil Action No. 1:11-cv-00895-JEB in the United States District Court for the District of Columbia.
In the Order, the Commission finds that, on April 27, 2012, a permanent injunction was entered against Wolkoff, permanently enjoining him from future violations of Sections 5(a) and 5(c) of the Securities Act of 1933 and Section 15(a) of the Securities Exchange Act of 1934. The Commission further finds in the Order that the Commission filed a Complaint against Wolkoff alleging that he participated in an unregistered stock offering from at least April 2005 through July 2006, completing at least 115 transactions totaling over 26 million e-Smart shares. During this period, Wolkoff was not registered with the Commission as a broker-dealer or associated with a registered broker-dealer.
Based on the above, the Order bars Wolkoff from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent or nationally recognized statistical rating organization. (Rel. 34-66978; File No. 3-14877)
SEC Charges China-Based Company and Executive For Concealing Loans To Benefit His Family
The Securities and Exchange Commission filed a complaint today in the United States District Court for the Southern District of New York against China Natural Gas, Inc. and Qinan Ji. The SEC alleges that China Natural Gas, a China-based natural gas company, and Ji, the chairman and former CEO, defrauded investors by secretly loaning company funds to benefit his son and nephew while failing to disclose the true nature of the loans.
The SEC alleges that Ji coordinated two short-term loans totaling more than $14 million in January 2010. One loan went to a real estate firm co-owned by Ji’s son and nephew through a sham borrower. The other loan went to a business partner of the real estate firm. Ji signed the company’s SEC filings that falsely stated the loans were made to third parties. Ji then lied about the true borrower to China Natural Gas’s board, investors, and auditors as well as during the company’s internal investigation.
According to the SEC’s complaint filed in U.S. District Court for the Southern District of New York, Ji’s nephew approached China Natural Gas in late 2009 to obtain a loan for a large real estate development project being run by Demaoxing Real Estate Co., a firm that was 90 percent owned by Ji’s son and 10 percent owned by Ji’s nephew. Ji recognized it was inappropriate for China Natural Gas to loan money directly to his nephew, so he asked his niece’s husband, who was the company’s internal audit chief, to use a sham borrower. The internal audit chief located an individual named Taoxiang Wang, and fabricated notes of a meeting with her to discuss loan terms. Wang signed a loan agreement for $9.9 million, and the money was wired directly into a Demaoxing bank account with a note stating that the amount was for “raw material expenses.”
The SEC alleges that around the same time, China Natural Gas made a $4.4 million loan to Shaanxi Juntai Housing Purchase Co., a business partner on Demaoxing’s real estate development project. Shaanxi Juntai’s then-general manager was Ji’s friend. The internal audit chief talked with Ji’s nephew about the project when arranging the loan, which directly benefitted Demaoxing.
According to the SEC’s complaint, Ji was the company CEO until he resigned in October 2011. He approved both loans without obtaining prior authorization from the board or informing the CFO. Ji repeatedly lied to conceal the related party nature of both loans. When questioned about the loans by the China Natural Gas board, Ji falsely stated that the loans involved senior Chinese government officers who were in charge of the company’s liquid natural gas project. During a May 10, 2010 conference call about quarterly earnings, Ji responded to a question about the loans by again stating that they were made to obtain approvals from government officials. He later told the board that he made the loans to earn quick and lucrative interest, and lied about the true nature of the loans during the company’s internal investigation. Ji also lied to the company’s auditors by signing a letter stating that the two loans were for business purposes and the borrowers were not related parties.
The SEC also alleges that in the fourth quarter of 2008, China Natural Gas paid $19.6 million to acquire a natural gas company but did not timely and properly report the transaction in its SEC filings. As with the loans, Ji approved the acquisition without obtaining prior authorization from the board.
Ji and China Natural Gas are charged with violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, as well as the proxy solicitation rules and various Exchange Act provisions including corporate reporting, recordkeeping, internal controls, and false statements to auditors. Ji also is charged with violating provisions of the Sarbanes-Oxley Act that require him to repay China Natural Gas the bonuses and stock sale profits he received after the company filed false reports with the SEC.
The SEC’s complaint seeks a final judgment that imposes financial penalties, bars Ji from acting as an officer or director of a public company, and permanently enjoins Ji and China Natural Gas from future violations of these provisions. [SEC v. China Natural Gas, Inc. and Qinan Ji, Civil Action No. 12-cv-3824 (PGG) (S.D.N.Y.)] (LR-22368; AAE Rel. 3385; Press Rel. 2012-92)
Investment Company Act Releases
Van Eck VIP Trust, et al.
A notice has been issued giving interested persons until June 4, 2012, to request a hearing on an application filed by Van Eck VIP Trust, et al. for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A) and (C) of the Act. The order would amend a prior order that permits certain registered open-end management investment companies to acquire shares of other registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies. The amended order would permit such registered open-end management investment companies to also acquire shares of registered closed-end investment companies and business development companies as defined by Section 2(a)(48) of the Act that are within and outside the same group of investment companies. (Rel. IC-30063 – May 10)
Self-Regulatory Organizations
Proposed Rule Changes
The NASDAQ Stock Market LLC filed a proposed rule change (SR-NASDAQ-2012-057), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, with respect to the authority of NASDAQ or NASDAQ Execution Services to cancel orders when a technical or system issue occurs and to describe the operation of an error account. Publication is expected in the Federal Register during the week of May 14. (Rel. 34-66964)
The Commission issued notice of a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2012-37) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 proposing a pilot program to create a Lead Market Maker Issuer Incentive Program for issuers of certain exchange-traded products listed on NYSE Arca, Inc. Publication is expected in the Federal Register during the week of May 14. (Rel. 34-66966)
The NASDAQ Stock Market LLC has filed a proposed rule change (SR-NASDAQ-2012-059) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to establish “Benchmark Orders” under NASDAQ Rule 4751(f). Publication is expected in the Federal Register during the week of May 14. (Rel. 34-66972)
NYSE Arca, Inc. has filed a proposed rule change (SR-NYSEArca-2012-39) pursuant to Section 19(b) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to listing and trading the Global Alpha & Beta ETF pursuant to NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of May 14. (Rel. 34-66973)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NYSE Arca, Inc. to amend NYSE Arca Equities Rule 5.2(j)(1), the Exchange’s “Other Securities” listing standard, to delete a provision providing that if a security listed under the rule contains redemption provisions, the redemption price must be at least $3.00 per unit (SR-NYSEArca-2012-38) 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 May 14. (Rel. 34-66965)
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-60) to establish the PHLX depth of market data product 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 May 14. (Rel. 34-66967)
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-57) relating to Complex Order fees for removing liquidity in Select Symbols 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 May 14. (Rel. 34-66968)
A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2012-17) relating to amendments to the EDGX Exchange, Inc. Fee Schedule 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 May 14. (Rel. 34-66970)
A proposed rule change filed by EDGA Exchange, Inc. (SR-EDGA-2012-18) relating to amendments to the EDGA Exchange, Inc. Fee Schedule 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 May 14. (Rel. 34-66971)
Joint Industry Plan Releases
Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan
A proposed amendment to the Options Order Protection and Locked/Crossed Market Plan (4-546) filed by BOX Options Exchange LLC pursuant to Section 11A(a)(3) of the Securities Exchange Act of 1934 to add BOX Options Exchange LLC as a Participant has become effective. Publication is expected in the Federal Register during the week of May 14. (Rel. 34-66969)
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 CARMIKE CINEMAS INC, 1301 FIRST AVE, COLUMBUS, GA, 31901, 7065763400 -
0 ($210,000,000.00) Non-Convertible Debt, (File 333-181323 - May. 11)
(BR. 05B)
S-8 ORGANOVO HOLDINGS, INC., 5871 OBERLIN DR., SUITE 150, SAN DIEGO, CA,
92121, 858-550-9994 - 0 ($18,947,181.00) Equity, (File 333-181324 -
May. 11) (BR. 01A)
S-8 Edwards Group Ltd, MANOR ROYAL, CRAWLEY, WEST SUSSEX, X0, RH10 9LW,
44(0) 1293 528844 - 0 ($51,864,408.00) Other, (File 333-181325 -
May. 11) (BR. 10A)
S-8 GREEN DOT CORP, 605 E HUNTINGTON DRIVE, SUITE 205, MONROVIA, CA, 91016,
6267753400 - 3,091,760 ($71,095,021.20) Equity, (File 333-181326 -
May. 11) (BR. 07C)
S-8 MARCHEX INC, 520 PIKE STREET, SUITE 2000, SEATTLE, WA, 98101,
206-774-5000 - 0 ($11,830,000.00) Equity, (File 333-181327 - May. 11)
(BR. 03B)
S-3 GLEN BURNIE BANCORP, 101 CRAIN HWY SE, GLEN BURNIE, MD, 21227,
4107663300 - 150,000 ($1,522,500.00) Equity, (File 333-181328 -
May. 11) (BR. 07C)
S-3ASR CALIFORNIA WATER SERVICE GROUP, 1720 N FIRST ST,
C/O CALIFORNIA WATER SERVICE CO, SAN JOSE, CA, 95112, 4083678200 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-181329 - May. 11)
(BR. 02B)
S-1 OncoMed Pharmaceuticals Inc, 800 CHESAPEAKE DRIVE, REDWOOD CITY, CA,
94063, 650-995-8200 - 0 ($115,000,000.00) Equity, (File 333-181331 -
May. 11) (BR. 01)
F-10 ENBRIDGE INC, 3000 425 - 1ST STREET SW, CALGARY ALBERTA CANA, A0,
T2P 3L8, 4032313900 -
0 ($4,000,000,000.00) Unallocated (Universal) Shelf, (File 333-181333 -
May. 11) (BR. 04B)
S-8 INTERCONTINENTAL HOTELS GROUP PLC /NEW/, BROADWATER PARK, DENHAM,
BUCKINGHAMSHIRE, X0, UB9 5HJ, 4045513500 - 0 ($237,900,000.00) Other,
(File 333-181334 - May. 11) (BR. 08B)
S-8 WASTE MANAGEMENT INC, 1001 FANNIN STREET, STE 4000, HOUSTON, TX, 77002,
7135126200 - 0 ($101,745,000.00) Equity, (File 333-181335 - May. 11)
(BR. 06A)
S-4 Meritage Homes CORP, 17851 NORTH 85TH STREET, SUITE 300, SCOTTSDALE,
AZ, 85255, 480-515-8100 - 0 ($300,000,000.00) Non-Convertible Debt,
(File 333-181336 - May. 11) (BR. 06A)
S-8 Midway Gold Corp, POINT AT INVERNESS, SUITE 280,
8310 SOUTH VALLEY HIGHWAY, ENGLEWOOD, CO, 80112, (720) 979-0900 -
7,715,935 ($9,518,788.70) Equity, (File 333-181337 - May. 11) (BR. 09B)
S-8 Tim Hortons Inc., 874 SINCLAIR ROAD, OAKVILLE, A6, L6K 2Y1,
(905) 845-6511 - 0 ($161,124,000.00) Equity, (File 333-181338 -
May. 11) (BR. 05B)
S-3ASR WHIRLPOOL CORP /DE/, WHIRLPOOL CNTR 2000 M 63, C/O CORPORATE SECRETARY,
BENTON HARBOR, MI, 49022-2692, 6169235000 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-181339 - May. 11)
(BR. 11C)
S-1 US-DADI FERTILIZER INDUSTRY INTERNATIONAL, INC.,
699 SERRAMONTE BLVD., STE 212, DALY CITY, CA, 94015, 650-530-0699 -
19,500,000 ($390,000.00) Equity, (File 333-181340 - May. 11) (BR. )
S-1 US-BLH BIO-ENGINEERING INT'L, INC., 699 SERRAMONTE BLVD., STE 212,
DALY CITY, CA, 94015, 650-530-0699 - 19,500,000 ($390,000.00) Equity,
(File 333-181341 - May. 11) (BR. )
S-1 US-FEIWO AGRICULTURAL INDUSTRY INTERNATIONAL, INC.,
699 SERRAMONTE BLVD., STE 212, DALY CITY, CA, 94015, 650-530-0699 -
19,500,000 ($390,000.00) Equity, (File 333-181342 - May. 11) (BR. )
S-1 US-HM STRAW CONSTRUCTION MATERIAL INT'L, INC.,
699 SERRAMONTE BLVD., STE 212, DALY CITY, CA, 94015, 650-530-0699 -
19,500,000 ($390,000.00) Equity, (File 333-181343 - May. 11) (BR. )
S-1 US-LBJ HUSBANDRY INDUSTRY INT'L, INC., 699 SERRAMONTE BLVD., STE 212,
DALY CITY, CA, 94015, 650-530-0699 - 19,500,000 ($390,000.00) Equity,
(File 333-181344 - May. 11) (BR. )
S-8 COCA COLA BOTTLING CO CONSOLIDATED /DE/, 4100 COCA COLA PLZ, CHARLOTTE,
NC, 28211, 7045514400 - 0 ($15,592,500.00) Equity, (File 333-181345 -
May. 11) (BR. 09A)
S-1 US-LUJIA PHARMACEUTICAL INDUSTRY INTERNATIONAL, INC.,
699 SERRAMONTE BLVD., STE 212, DALY CITY, CA, 94015, 650-530-0699 -
19,500,000 ($390,000.00) Equity, (File 333-181346 - May. 11) (BR. )
S-1 PEOPLES BANCORP OF NORTH CAROLINA INC, 518 WEST C STREET, NEWTON, NC,
28658-4007, 8284645620 - 382,288 ($28,812,101.68) Equity,
(File 333-181347 - May. 11) (BR. 07C)
S-1 US-PS ENERGY SAVE CONSTRUCTION MATERIAL INT'L, INC.,
699 SERRAMONTE BLVD., STE 212, DALY CITY, CA, 94015, 650-530-0699 -
19,500,000 ($390,000.00) Equity, (File 333-181348 - May. 11) (BR. )
S-1 US-RUQUAN DAIRY PRODUCTION INT'L, INC., 699 SERRAMONTE BLVD., STE 212,
DALY CITY, CA, 94015, 650-530-0699 - 19,500,000 ($390,000.00) Equity,
(File 333-181349 - May. 11) (BR. )
S-1 US-TH ENERGY SCIENCE & TECHNOLOGY INT'L, INC.,
699 SERRAMONTE BLVD., STE 212, DALY CITY, CA, 94015, 650-530-0699 -
19,500,000 ($390,000.00) Equity, (File 333-181350 - May. 11) (BR. )
S-3ASR Sally Beauty Holdings, Inc., 3001 COLORADO BOULEVARD, DENTON, TX,
76210, (940) 898-7500 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-181351 - May. 11) (BR. 02A)
S-8 COMPUTER PROGRAMS & SYSTEMS INC, 6600 WALL STREET, MOBILE, AL, 36695,
2516398100 - 0 ($5,596,000.00) Equity, (File 333-181352 - May. 11)
(BR. 03A)
S-3ASR EASTGROUP PROPERTIES INC, P O BOX 22728, JACKSON, MS, 39202,
6013543555 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-181353 - May. 11) (BR. 08B)
S-8 ASSET ACCEPTANCE CAPITAL CORP, 28405 VAN DYKE AVENUE, WARREN, MI,
48093, (586) 939-9600 - 0 ($28,380,000.00) Equity, (File 333-181354 -
May. 11) (BR. 07C)
S-8 DOW CHEMICAL CO /DE/, 2030 DOW CENTER, MIDLAND, MI, 48674-2030,
989-636-1000 - 0 ($1,419,105,000.00) Equity, (File 333-181356 -
May. 11) (BR. 06B)
S-3ASR Otter Tail Corp, 215 S CASCADE ST, PO BOX 496, FERGUS FALLS, MN,
56538-0496, 866-410-8780 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-181357 - May. 11) (BR. 02B)
S-8 CEMPRA, INC., 6340 QUADRANGLE DRIVE, SUITE 100, CHAPEL HILL, NC,
27517-8149, 919-313-6617 - 2,242,131 ($15,425,861.28) Equity,
(File 333-181358 - May. 11) (BR. 01B)
S-3ASR Otter Tail Corp, 215 S CASCADE ST, PO BOX 496, FERGUS FALLS, MN,
56538-0496, 866-410-8780 - 0 ($32,175,000.00) Equity,
(File 333-181359 - May. 11) (BR. 02B)
S-1 Shepherd's Finance, LLC, 3508 WASHINGTON ROAD, MCMURRAY, PA, 15317,
4129138719 - 0 ($700,000,000.00) Non-Convertible Debt,
(File 333-181360 - May. 11) (BR. 07)
S-1 ASSURED PHARMACY, INC., 2595 DALLAS PARKWAY, SUITE 206, FRISCO, TX,
75034, 972-668-7394 - 2,292,067 ($1,547,145.00) Equity,
(File 333-181361 - May. 11) (BR. 01B)
S-8 Otter Tail Corp, 215 S CASCADE ST, PO BOX 496, FERGUS FALLS, MN,
56538-0496, 866-410-8780 - 0 ($10,725,000.00) Equity,
(File 333-181362 - May. 11) (BR. 02B)
S-8 MOHAWK INDUSTRIES INC, 160 S INDUSTRIAL BLVD, PO BOX 12069, CALHOUN,
GA, 30701, 678-355-5814 - 3,200,000 ($228,224,000.00) Equity,
(File 333-181363 - May. 11) (BR. 02C)
S-8 O REILLY AUTOMOTIVE INC, 233 S PATTERSON AVE, SPRINGFIELD, MO, 65802,
417-829-5878 - 0 ($1,023,100,000.00) Equity, (File 333-181364 -
May. 11) (BR. 02C)
S-8 NeoStem, Inc., 420 LEXINGTON AVENUE, SUITE 450, NEW YORK, NY, 10170,
212-584-4171 - 3,000,000 ($1,170,000.00) Equity, (File 333-181365 -
May. 11) (BR. 09B)
S-4 Green Field Energy Services, Inc., 4023 AMBASSADOR CAFFERY PARKWAY,
SUITE 200, LAFAYETTE, LA, 70503, 337-706-1700 -
0 ($250,000,000.00) Non-Convertible Debt, (File 333-181366 - May. 11)
(BR. )
F-3 CHIPMOS TECHNOLOGIES BERMUDA LTD, SCIENCE BASED INDUSTRIAL PARK,
R&D RD, HSINCHU TAIWAN, F5, 300, 88635770055 -
0 ($21,747,656.00) Equity, (File 333-181367 - May. 11) (BR. 10A)
S-3ASR American Realty Capital Trust, Inc., 106 OLD YORK ROAD, JENKINTOWN, PA,
19046, 215.887.2189 - 0 ($0.00) Debt, 0 ($0.00) Equity,
(File 333-181368 - May. 11) (BR. 08B)
S-8 LENNOX INTERNATIONAL INC, 2140 LAKE PARK BLVD, RICHARDSON, TX, 75080,
972-497-5000 - 2,500,000 ($107,650,000.00) Equity, (File 333-181369 -
May. 11) (BR. 06C)
S-1 Lehigh Gas Partners LP, 702 WEST HAMILTON ST., SUITE 203, ALLENTOWN,
PA, 18101, 610-625-8000 - 0 ($120,000,000.00) Equity,
(File 333-181370 - May. 11) (BR. )
S-3ASR LIONS GATE ENTERTAINMENT CORP /CN/, 2700 COLORADO AVENUE, SUITE 200,
SANTA MONICA, CA, 90404, 877-848-3866 - 0 ($113,739,871.00) Other,
(File 333-181371 - May. 11) (BR. 05B)
S-11 American Capital Mortgage Investment Corp., 2 BETHESDA METRO CENTER,
14TH FLOOR, BETHESDA, MD, 20814, 301-951-6122 -
11,500,000 ($267,030,000.00) Equity, (File 333-181372 - May. 11)
(BR. 08C)
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
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Change in Credit Enhancement or Other External Support.
|
6.04
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Failure to Make a Required Distribution.
|
6.05
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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
-----------------------------------------------------------------------------------------
A123 SYSTEMS, INC. DE 2.02,9.01 05/11/12
AB&T Financial CORP NC 1.01,9.01 05/07/12
ACACIA RESEARCH CORP DE 8.01 05/03/12
ACL SEMICONDUCTORS INC 8.01 05/11/12
ACXIOM CORP DE 5.02 05/09/12
ADAMS GOLF INC DE 2.02,9.01 05/11/12
ADVANCED MICRO DEVICES INC DE 5.07 05/10/12
Aegion Corp DE 5.07 05/09/12
AeroVironment Inc DE 5.02,9.01 05/07/12
Air Transport Services Group, Inc. DE 2.02,9.01 05/11/12
Air Transport Services Group, Inc. DE 5.07,8.01,9.01 05/11/12
Air Transport Services Group, Inc. DE 2.02,9.01 05/11/12 AMEND
ALEXION PHARMACEUTICALS INC DE 5.07 05/07/12
ALIMERA SCIENCES INC DE 2.02,9.01 05/11/12
ALLETE INC MN 5.07 05/08/12
Allezoe Medical Holdings Inc DE 5.02 05/11/12
ALLIED AMERICAN STEEL CORP. NV 1.02 05/07/12
ALMOST FAMILY INC DE 5.07 05/07/12
ALTERA CORP DE 5.03,5.07,9.01 05/08/12
ALTERRA CAPITAL HOLDINGS Ltd 7.01,9.01 05/11/12
AMBASSADORS GROUP INC DE 5.02 05/11/12
AMCOL INTERNATIONAL CORP DE 5.07 05/10/12
American Caresource Holdings, Inc. DE 2.02,9.01 05/10/12
American Casino & Entertainment Prope DE 2.02,9.01 05/11/12
American Realty Capital Daily Net Ass MD 2.02,9.01 05/10/12
AMERICAN REALTY CAPITAL NEW YORK RECO MD 2.02,9.01 03/05/12
AMERIGON INC MI 5.07,9.01 05/10/12
AMKOR TECHNOLOGY INC DE 5.02,5.07,9.01 05/08/12
ANDERSONS INC OH 5.07 05/11/12
Angie's List, Inc. DE 5.07 05/08/12
ANIXTER INTERNATIONAL INC DE 5.07 05/10/12
ANIXTER INTERNATIONAL INC DE 7.01,9.01 05/11/12
Antaga Internatinal Corp NV 5.02 05/10/12
ANTS SOFTWARE INC DE 6.02 05/11/12
Apollo Residential Mortgage, Inc. MD 5.07 05/08/12
APPLIANCE RECYCLING CENTERS OF AMERIC MN 5.07 05/10/12
Aptalis Pharma Inc DE 8.01 04/18/12
AQUA AMERICA INC PA 5.02 05/10/12
AQUA AMERICA INC PA 5.02 05/10/12
AQUA AMERICA INC PA 5.03,9.01 05/10/12
ARRIS GROUP INC DE 5.07 05/09/12
ARTESIAN RESOURCES CORP DE 5.07 05/09/12
ASSET ACCEPTANCE CAPITAL CORP 5.07 05/10/12
ASSOCIATED ESTATES REALTY CORP OH 5.07 05/09/12
ASSURED GUARANTY LTD D0 2.02,9.01 05/10/12
ASTEC INDUSTRIES INC TN 8.01 05/11/12
Atkore International Holdings Inc. DE 2.02,9.01 05/11/12
AUBURN NATIONAL BANCORPORATION, INC DE 5.07 05/08/12
AUTONATION, INC. DE 5.02,5.07,9.01 05/09/12
AVID TECHNOLOGY, INC. DE 2.02,9.01 05/11/12
AVX Corp DE 5.03,9.01 05/07/12
BABY ALL CORP. DE 1.01,2.01,3.01,5.01, 05/10/12
5.02,5.06,7.01,9.01
BALLANTYNE STRONG, INC. DE 2.03,3.03,9.01 05/08/12
BANCORPSOUTH INC MS 5.02,9.01 05/11/12
BAXTER INTERNATIONAL INC DE 5.07 05/08/12
BAY BANKS OF VIRGINIA INC VA 8.01,9.01 05/10/12
BEFUT International Co., Ltd. NV 5.03,8.01 05/10/12
BENCHMARK ELECTRONICS INC TX 5.07 05/09/12
BERKSHIRE HILLS BANCORP INC 5.07,8.01,9.01 05/10/12
BIOANALYTICAL SYSTEMS INC IN 2.02,9.01 05/11/12
BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 05/10/12
BIOPACK ENVIRONMENTAL SOLUTIONS INC. NV 1.01,5.01,5.02,9.01 04/27/12
BioScrip, Inc. DE 5.02 05/07/12
Black Elk Energy Offshore Operations, TX 2.02,9.01 05/11/12
BLUE VALLEY BAN CORP KS 2.02,7.01,9.01 05/11/12
BOB EVANS FARMS INC DE 8.01 05/11/12
Bohai Pharmaceuticals Group, Inc. NV 1.01,9.01 05/08/12
BOTETOURT BANKSHARES INC VA 2.02,9.01 05/11/12
BreitBurn Energy Partners L.P. DE 1.01,7.01,9.01 05/10/12
Bridgeline Digital, Inc. DE 2.02,9.01 05/11/12
BROOKLINE BANCORP INC DE 5.07 05/09/12
CACHE INC FL 2.02,9.01 05/11/12
CAFEPRESS INC. DE 2.02,5.02,9.01 05/08/12
CalAmp Corp. DE 1.01,2.01,2.03,7.01, 05/07/12
9.01
CALLAWAY GOLF CO DE 5.02 05/08/12
CALLON PETROLEUM CO DE 5.07 05/10/12
Cape Bancorp, Inc. MD 5.02,9.01 05/11/12
CAPELLA EDUCATION CO 5.07 05/08/12
Caribou Coffee Company, Inc. MN 5.07 05/11/12
CARROLS RESTAURANT GROUP, INC. 2.01,5.02,9.01 05/07/12
Catalent Pharma Solutions, Inc. DE 2.02,9.01 05/11/12
CDW Corp DE 1.01,9.01 05/10/12
CF Industries Holdings, Inc. DE 5.07 05/10/12
CH2M HILL COMPANIES LTD DE 5.02,9.01 05/07/12
CH2M HILL COMPANIES LTD DE 5.07,8.01 05/07/12
CHARLES RIVER LABORATORIES INTERNATIO 5.07 05/08/12
ChemoCentryx, Inc. DE 2.02,9.01 05/10/12
CHEMUNG FINANCIAL CORP NY 5.02,5.07,9.01 05/10/12
CHINA AUTOMOTIVE SYSTEMS INC DE 2.02,9.01 05/09/12
China Biologic Products, Inc. 5.02,9.01 05/11/12
China Shengda Packaging Group Inc. NV 7.01,9.01 05/11/12
CIB MARINE BANCSHARES INC WI 8.01,9.01 05/11/12
Cinemark Holdings, Inc. DE 5.07 05/11/12
Ciralight Global, Inc. NV 7.01,9.01 05/08/12
COLE CREDIT PROPERTY TRUST IV, INC. MD 8.01 05/07/12
COLLECTORS UNIVERSE INC DE 2.02,9.01 05/09/12
CombiMatrix Corp DE 2.02,9.01 05/11/12
Commercial Vehicle Group, Inc. DE 5.02,5.07,9.01 05/10/12
CommonWealth REIT MD 5.02,5.07,8.01,9.01 05/08/12
COMMUNITY FINANCIAL CORP /VA/ VA 2.02,9.01 05/11/12
COMPUTER PROGRAMS & SYSTEMS INC DE 5.07 05/10/12
Comstock Homebuilding Companies, Inc. DE 2.02,9.01 05/10/12
CONSOLIDATED WATER CO LTD E6 2.02,9.01 05/10/12
CONTANGO OIL & GAS CO DE 2.02,9.01 05/09/12
Coronado Corp. NV 1.01,2.01,3.02,5.01, 05/07/12
5.02,5.06,5.07,9.01
CORPORATE PROPERTY ASSOCIATES 15 INC MD 7.01,9.01 05/11/12
Corporate Property Associates 17 - Gl MD 8.01,9.01 05/11/12
CORRECTIONS CORP OF AMERICA MD 5.07,8.01,9.01 05/10/12
CROSSTEX ENERGY INC DE 1.01,2.03,7.01,8.01, 05/09/12
9.01
CROSSTEX ENERGY LP DE 1.01,2.03,7.01,8.01, 05/09/12
9.01
CSP INC /MA/ MA 3.03,5.03 05/11/12
CSX CORP VA 5.02,5.07,9.01 05/09/12
CUMULUS MEDIA INC DE 5.07 05/08/12
CVR ENERGY INC DE 1.01,3.03,5.01,5.02, 05/07/12
9.01
CVR PARTNERS, LP DE 7.01,9.01 05/11/12
CYS Investments, Inc. MD 1.01,5.07,9.01 05/11/12
DARLING INTERNATIONAL INC DE 5.07 05/08/12
DC BRANDS INTERNATIONAL INC CO 5.02,8.01,9.01 05/03/12
DELCATH SYSTEMS INC DE 7.01 05/11/12
DELTA NATURAL GAS CO INC KY 5.02 05/11/12
DENMARK BANCSHARES INC WI 5.02,9.01 05/09/12
Dialogic Inc. DE 1.01,2.05,5.08,8.01, 05/09/12
9.01
DIGITAL ALLY INC 2.02,9.01 05/10/12
DILLARDS INC DE 2.02,9.01 05/10/12
DIODES INC /DEL/ DE 2.02,7.01,9.01 05/08/12
Discovery Communications, Inc. DE 8.01,9.01 05/10/12
Discovery Energy Corp. NV 1.01,5.02,8.01,9.01 05/07/12
DISCOVERY LABORATORIES INC /DE/ DE 5.02,9.01 05/04/12 AMEND
DOLLAR TREE INC VA 7.01,9.01 05/10/12
DOT HILL SYSTEMS CORP DE 5.07 05/07/12
DREW INDUSTRIES INC DE 8.01,9.01 05/11/12
Duke Energy CORP DE 9.01 05/11/12
DXP ENTERPRISES INC TX 5.02,9.01 05/11/12
DYAX CORP DE 5.02,5.07 05/09/12
E TRADE FINANCIAL Corp DE 5.03,5.07,8.01,9.01 05/10/12
EASTGROUP PROPERTIES INC MD 8.01,9.01 05/11/12
ECHELON CORP DE 2.05 05/10/12
Echo Therapeutics, Inc. DE 2.02,9.01 05/11/12
EMAGIN CORP DE 2.02,9.01 05/10/12
Employers Holdings, Inc. NV 5.02,9.01 05/10/12
ENDURANCE SPECIALTY HOLDINGS LTD 5.07 05/11/12
EnteroMedics Inc 5.07 05/09/12
EQUITY LIFESTYLE PROPERTIES INC MD 5.02,8.01 05/08/12
Euramax Holdings, Inc. DE 2.02,9.01 05/11/12
EV Energy Partners, LP DE 7.01,9.01 05/09/12
EVEREST RE GROUP LTD D0 5.07 05/09/12
Exelis Inc. IN 5.03,5.07,9.01 05/09/12
Federal Home Loan Bank of Atlanta X1 7.01,8.01,9.01 05/11/12
Federal Home Loan Bank of Boston X1 5.02,9.01 05/07/12
Federal Home Loan Bank of Dallas 2.03,9.01 05/07/12
Federal Home Loan Bank of Des Moines X1 7.01,9.01 05/11/12
First Advantage Bancorp 2.02,9.01 05/11/12
FIRST BANCORP /PR/ PR 2.02,8.01,9.01 05/07/12
FIRST CAPITAL BANCORP, INC. VA 8.01,9.01 05/09/12
FIRST INDUSTRIAL REALTY TRUST INC MD 5.07 05/10/12
FIRST OTTAWA BANCSHARES INC DE 8.01 05/11/12
FIRST PACTRUST BANCORP INC MD 7.01,8.01,9.01 05/11/12
First Sentry Bancshares, Inc. WV 8.01 05/11/12
FIRST SOLAR, INC. DE 5.02,9.01 05/09/12
FIRSTENERGY CORP OH 1.01,1.02,2.03 05/08/12
Firsthand Technology Value Fund, Inc. 8.01,9.01 05/11/12
FLEETCOR TECHNOLOGIES INC DE 7.01 05/11/12
FLEXSTEEL INDUSTRIES INC MN 1.01,2.03,9.01 05/11/12
FNBH BANCORP INC MI 1.01,2.03,3.02 05/08/12
FOREST LABORATORIES INC DE 5.02,9.01 05/11/12
FOREST OIL CORP NY 5.07 05/08/12
FS Investment CORP MD 8.01 05/11/12
FTI CONSULTING INC MD 7.01,9.01 05/09/12
GALECTIN THERAPEUTICS INC NV 2.02,9.01 05/11/12
GameStop Corp. DE 2.02,9.01 05/10/12
GAYLORD ENTERTAINMENT CO /DE DE 5.07 05/10/12
GE Dealer Floorplan Master Note Trust DE 1.01,9.01 05/09/12
GE Dealer Floorplan Master Note Trust DE 8.01,9.01 05/09/12
Geeknet, Inc DE 8.01,9.01 05/11/12
GENELINK INC PA 2.02,4.02,9.01 05/04/12 AMEND
GENERAC HOLDINGS INC. DE 7.01,8.01,9.01 05/11/12
GENERAL CABLE CORP /DE/ DE 5.07 05/10/12
General Finance CORP DE 8.01,9.01 05/11/12
General Motors Financial Company, Inc TX 1.01,9.01 05/10/12
Genesis Biopharma, Inc NV 1.01,3.02,8.01,9.01 05/07/12
GenOn Energy, Inc. DE 5.07 05/09/12
GENTEX CORP MI 8.01 05/11/12
GEOKINETICS INC DE 1.01,2.03,3.02,3.03, 05/09/12
5.03,9.01
GEOKINETICS INC DE 2.02,9.01 05/09/12
GeoMet, Inc. DE 3.01,9.01 05/10/12
GEORGIA POWER CO GA 8.01,9.01 05/08/12
GLEN BURNIE BANCORP MD 5.07 05/10/12
GLU MOBILE INC DE 8.01 05/10/12
GOLD RESOURCE CORP CO 2.02,9.01 05/10/12
GOLDFIELD CORP DE 2.02,9.01 05/11/12
Gordmans Stores, Inc. DE 2.02,9.01 05/11/12
GRANDPARENTS.COM, INC. DE 5.03,9.01 05/09/12
GRAYSON BANKSHARES INC VA 2.02,5.07,7.01,9.01 05/08/12
GREAT PLAINS ENERGY INC MO 7.01,9.01 05/11/12
GreenCell, Inc FL 5.02,9.01 05/11/12
GROUP 1 AUTOMOTIVE INC DE 5.07,8.01,9.01 05/07/12
Guaranty Bancorp DE 5.07 05/08/12
Guidance Software, Inc. DE 5.02,5.07 05/09/12
H&R BLOCK INC MO 1.01,5.02,9.01 05/09/12
HALCON RESOURCES CORP DE 1.01 05/08/12
HARDINGE INC NY 2.02,5.07,9.01 05/08/12
HARLAND CLARKE HOLDINGS CORP DE 1.01,2.03,8.01,9.01 05/11/12
HARRIS & HARRIS GROUP INC /NY/ NY 7.01 05/11/12
HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,7.01,9.01 05/11/12
Heavy Earth Resources, Inc. 1.01,9.01 05/04/12
Heckmann Corp DE 5.07 05/08/12
HELIX ENERGY SOLUTIONS GROUP INC MN 5.07,9.01 05/11/12
HERITAGE FINANCIAL CORP /WA/ WA 7.01,9.01 05/09/12
HERSHA HOSPITALITY TRUST MD 2.01,9.01 05/07/12
HERSHA HOSPITALITY TRUST MD 2.02 05/08/12
HESKA CORP DE 5.07 05/08/12
HIGHLANDS BANKSHARES INC /VA/ VA 5.07 05/09/12
Highpower International, Inc. DE 2.02,7.01,9.01 05/11/12
Hilltop Holdings Inc. MD 1.01,8.01,9.01 05/08/12
HNI CORP IA 5.02,5.07 05/08/12
HOME LOAN SERVICING SOLUTIONS, LTD. E9 8.01 03/05/12
Homeland Security Capital CORP DE 1.01,9.01 05/11/12
HOSPIRA INC DE 5.03,5.07,9.01 05/09/12
Houston Wire & Cable CO 5.03,5.07,8.01,9.01 05/08/12
HUDSON VALLEY HOLDING CORP NY 5.02,5.07,8.01,9.01 05/07/12
HUSA Liquidating Corp DE 1.03 05/07/12 AMEND
IASIS Healthcare LLC DE 2.02,9.01 05/11/12
IMPERIAL PETROLEUM INC NV 1.01,3.02,5.02,8.01, 05/08/12
9.01
IMPLANT SCIENCES CORP MA 5.02,7.01,9.01 05/11/12
Inland American Real Estate Trust, In MD 7.01,9.01 05/11/12
INNOSPEC INC. DE 5.07 05/09/12
INTEL CORP DE 7.01 05/10/12
InterDigital, Inc. PA 5.02,9.01 05/09/12
INTERLINE BRANDS, INC./DE DE 5.07 05/10/12
iPayment Holdings, Inc DE 2.02,9.01 05/11/12
ISTAR FINANCIAL INC MD 1.01,2.03,9.01 05/11/12
JA Energy 8.01 05/10/12
JEWETT CAMERON TRADING CO LTD OR 8.01 05/11/12
KBS Real Estate Investment Trust III, MD 1.01,2.01,2.03,9.01 05/09/12
KENTUCKY BANCSHARES INC /KY/ KY 2.02,9.01 05/11/12
KID BRANDS, INC NJ 2.02,9.01 05/11/12
Kosmos Energy Ltd. D0 5.07 05/11/12
KRONOS WORLDWIDE INC 5.07,7.01,9.01 05/10/12
L&L Acquisition Corp. DE 8.01 05/10/12
LAKE AREA CORN PROCESSORS LLC SD 1.01 05/07/12
LAM RESEARCH CORP DE 5.07,8.01,9.01 05/10/12
LANNETT CO INC DE 5.02,9.01 05/09/12
LANTRONIX INC DE 8.01,9.01 05/10/12
LAS VEGAS RAILWAY EXPRESS, INC. DE 1.01,3.02,9.01 05/03/12
LAS VEGAS RAILWAY EXPRESS, INC. DE 5.02 05/01/12
LENNOX INTERNATIONAL INC DE 5.02,5.07 05/10/12
LEVI STRAUSS & CO DE 1.01,2.03,5.02,8.01, 05/08/12
9.01
Liberty Global, Inc. DE 2.02,7.01 05/11/12
Liberty Global, Inc. DE 2.02,7.01 05/11/12
Liberty Interactive Corp 2.02,8.01,9.01 05/08/12
Liberty Media Corp DE 2.02,9.01 05/08/12
LIME ENERGY CO. DE 7.01 05/10/12
Linkwell CORP FL 9.01 05/09/12 AMEND
LODGENET INTERACTIVE CORP DE 5.02,9.01 05/10/12
LOEWS CORP DE 5.07 05/11/12
LUCID INC NY 1.01,2.03,9.01 05/07/12
LyondellBasell Industries N.V. P7 5.07 05/09/12
MAGICJACK VOCALTEC LTD L3 8.01 05/11/12
MAGNUM HUNTER RESOURCES CORP DE 7.01,9.01 05/11/12
MAINSTREET BANKSHARES INC VA 8.01 05/10/12
Manitex International, Inc. MI 7.01,9.01 05/11/12
MATTSON TECHNOLOGY INC DE 5.02,5.07,9.01 05/10/12
McEwen Mining Inc. CO 7.01,9.01 05/10/12
McEwen Mining Inc. CO 7.01,9.01 05/11/12
MEDICINOVA INC DE 7.01 05/11/12
MEDICIS PHARMACEUTICAL CORP DE 8.01,9.01 05/10/12
MERU NETWORKS INC DE 5.07 05/09/12
META FINANCIAL GROUP INC DE 1.01,3.02,9.01 05/09/12
MIDAMERICAN ENERGY CO IA 8.01 05/11/12
MOHAWK INDUSTRIES INC DE 5.02,5.07,9.01 05/09/12
Motor Sport Country Club Holdings Inc 4.02,9.01 04/13/12 AMEND
Motorola Solutions, Inc. DE 5.02 05/09/12
Motors Liquidation Co DE 8.01 05/07/12
MRV COMMUNICATIONS INC DE 2.02,9.01 05/10/12
Myrexis, Inc. DE 5.02,7.01,9.01 05/07/12
NACCO INDUSTRIES INC DE 5.02,5.07,9.01 05/09/12
NATIONAL HEALTH INVESTORS INC MD 2.03,9.01 05/09/12
NATIONAL INSTRUMENTS CORP /DE/ DE 5.07 05/08/12
NAVIGANT CONSULTING INC DE 5.02 05/11/12
NETGEAR, INC DE 5.02,9.01 05/08/12
NEW YORK TIMES CO NY 8.01 05/10/12
NEWS CORP 8.01,9.01 05/11/12
NewStar Financial, Inc. 5.07 05/09/12
Nielsen Holdings N.V. P7 5.07 05/08/12
NiMin Energy Corp. A0 2.02,9.01 05/10/12
NORMAN CAY DEVELOPMENT, INC. NV 9.01 10/14/11 AMEND
NOVELLUS SYSTEMS INC CA 5.07,8.01,9.01 05/10/12
NPC Acquisition Holdings, LLC DE 2.02,9.01 05/11/12
NRG ENERGY, INC. DE 1.01,9.01 05/09/12
NVIDIA CORP DE 2.02,9.01 05/11/12
Obscene Jeans Corp. FL 8.01 05/09/12
Oilsands Quest Inc 8.01,9.01 05/11/12
OLD NATIONAL BANCORP /IN/ IN 7.01,9.01 05/11/12
OM GROUP INC DE 5.07 05/08/12
OMNICARE INC DE 8.01,9.01 05/10/12
Onstream Media CORP FL 8.01,9.01 05/10/12
Opexa Therapeutics, Inc. TX 2.02,9.01 05/11/12
OptimumBank Holdings, Inc. FL 3.02 03/30/12
ORGANOVO HOLDINGS, INC. DE 1.01,2.01,3.02,4.01, 02/08/12 AMEND
5.01,5.02,5.03,5.06,
9.01
OSI RESTAURANT PARTNERS, LLC DE 2.02 05/11/12
OSIRIS THERAPEUTICS, INC. DE 2.02,9.01 05/11/12
P F CHANGS CHINA BISTRO INC 8.01,9.01 05/11/12
PACKAGING CORP OF AMERICA 5.07,7.01,9.01 05/08/12
PACWEST BANCORP DE 5.07,8.01,9.01 05/08/12
PAID INC DE 4.01,8.01 04/05/12 AMEND
PENN TREATY AMERICAN CORP PA 8.01,9.01 05/04/12
PENN VIRGINIA RESOURCE PARTNERS L P DE 7.01,9.01 05/11/12
PENN VIRGINIA RESOURCE PARTNERS L P DE 8.01,9.01 05/11/12
PennyMac Mortgage Investment Trust MD 8.01,9.01 05/07/12
PEOPLES FINANCIAL SERVICES CORP. PA 1.01,9.01 05/10/12
PHARMACYCLICS INC DE 2.02,9.01 05/10/12
Phillips Edison - ARC Shopping Center MD 8.01,9.01 05/11/12
Phillips Edison - ARC Shopping Center MD 2.02,9.01 05/11/12
PHOTOMEDEX INC DE 2.02,9.01 05/10/12
PLY GEM HOLDINGS INC DE 2.02,9.01 05/11/12
PMC SIERRA INC DE 5.02,5.07 05/10/12
POLYCOM INC DE 1.01,2.05,9.01 05/09/12
POLYONE CORP 5.02,5.07,9.01 05/09/12
Polypore International, Inc. 5.07 05/09/12
PREFERRED APARTMENT COMMUNITIES INC MD 1.01,5.02,5.07,8.01, 05/07/12
9.01
PREMIER FINANCIAL BANCORP INC KY 7.01,9.01 05/11/12
PRINCETON REVIEW INC DE 8.01 05/11/12
PS BUSINESS PARKS INC/CA CA 7.01 05/07/12
PUBLIC SERVICE ELECTRIC & GAS CO NJ 8.01,9.01 05/07/12
QUAKER CHEMICAL CORP PA 5.07 05/09/12
QUALITY DISTRIBUTION INC FL 1.01,8.01,9.01 05/09/12
QUICKSILVER RESOURCES INC DE 7.01 05/11/12
RadNet, Inc. DE 2.02,9.01 03/31/12
RARE ELEMENT RESOURCES LTD A1 7.01,9.01 05/07/12
RDA Holding Co. 1.01,9.01 05/10/12
REALGOLD INTERNATIONAL INC NV 5.02 05/11/12
REALTY INCOME CORP MD 1.01,2.03,9.01 05/10/12
RECOVERY ENERGY, INC. NV 7.01,9.01 05/10/12
RED MOUNTAIN RESOURCES, INC. FL 1.01 05/09/12
RENTECH INC /CO/ CO 2.02,9.01 05/11/12
Rentech Nitrogen Partners, L.P. DE 2.02,9.01 05/11/12
REX ENERGY CORP DE 1.01,2.03,5.03,5.07, 05/07/12
7.01,9.01
REYNOLDS AMERICAN INC 7.01,9.01 05/11/12
Rio Bravo Oil, Inc. NV 1.01,2.01,3.02,5.01, 02/10/12 AMEND
5.02,5.03,5.06,9.01
RLJ Lodging Trust MD 2.02,9.01 05/10/12
ROGERS CORP MA 2.05 05/10/12
RUBICON FINANCIAL INC NV 8.01 05/01/12
S&W Seed Co NV 2.02,9.01 05/09/12
SandRidge Permian Trust 7.01 05/10/12
Sara Lee Corp MD 8.01,9.01 05/11/12
SaveDaily Inc NV 4.02 04/16/12 AMEND
SBT Bancorp, Inc. CT 5.07 05/08/12
SEALY CORP DE 1.01,2.03,9.01 05/09/12
Searchlight Minerals Corp. NV 5.02,5.07 05/08/12
SEMPRA ENERGY CA 8.01 05/11/12
SGS International, Inc. DE 2.02,9.01 05/11/12
SHORE BANCSHARES INC MD 5.02 05/09/12
SI Financial Group, Inc. 5.02,5.07 05/09/12
Six Flags Entertainment Corp 5.02,9.01 05/10/12
SMTC CORP DE 2.02,9.01 05/11/12
SMTP, Inc. DE 3.02,8.01 05/09/12
SOUTHSIDE BANCSHARES INC TX 5.07 05/03/12
SP Bancorp, Inc. MD 2.02,9.01 05/11/12
STAGE STORES INC NV 8.01,9.01 05/10/12
STANDARD PACIFIC CORP /DE/ DE 5.03 05/09/12
STAR SCIENTIFIC INC DE 7.01,9.01 05/10/12
Stereotaxis, Inc. DE 7.01,9.01 05/11/12
STERLING CONSTRUCTION CO INC DE 2.02,5.02,5.07,9.01 05/08/12
STUDIO ONE MEDIA, INC. DE 5.02 03/19/12
STW RESOURCES HOLDING CORP. NV 1.01,9.01 05/04/12
SunCoke Energy, Inc. 5.07 05/10/12
SunOpta Inc. 5.02,9.01 05/10/12
SUNPEAKS VENTURES, INC. 1.01,9.01 05/02/12
Sunstone Hotel Investors, Inc. MD 2.02,9.01 05/03/12
Sur Ventures, Inc. NV 1.01,2.03,9.01 05/09/12
Sutor Technology Group LTD 2.02,7.01,9.01 05/11/12
SWIFT ENERGY CO 5.02,5.07,9.01 05/08/12
SXC Health Solutions Corp. A6 1.01,9.01 05/10/12
Synthetic Biologics, Inc. NV 5.02,9.01 05/10/12
TANDY LEATHER FACTORY INC DE 2.02,9.01 05/11/12
TAYLOR CALVIN B BANKSHARES INC MD 5.07 05/09/12
TAYLOR CALVIN B BANKSHARES INC MD 5.02 05/09/12
TELETOUCH COMMUNICATIONS INC DE 8.01 05/07/12
TENET HEALTHCARE CORP NV 5.07 05/10/12
TEREX CORP DE 5.07 05/10/12
TETRA TECHNOLOGIES INC DE 5.07 05/08/12
THOMAS & BETTS CORP TN 8.01,9.01 05/11/12
Thompson Creek Metals CO Inc. A6 5.07 05/08/12
Thompson Creek Metals CO Inc. A6 1.01,2.03,9.01 05/07/12
Tonix Pharmaceuticals Holding Corp. NV 5.02,7.01,9.01 05/09/12 AMEND
TOWERSTREAM CORP DE 8.01 04/30/12
TOWN SPORTS INTERNATIONAL HOLDINGS IN DE 5.07 05/10/12
TRANS1 INC 2.02,9.01 05/08/12
TRANSCAT INC OH 5.02,9.01 05/07/12
TRAVELCENTERS OF AMERICA LLC 5.07,8.01,9.01 05/10/12
TREX CO INC DE 2.02,9.01 05/07/12 AMEND
TRIAD GUARANTY INC DE 2.02,9.01 05/11/12
TRIMAS CORP DE 5.07 05/10/12
Uni-Pixel DE 8.01,9.01 05/11/12
UNION PACIFIC CORP UT 5.07 05/10/12
United Maritime Group, LLC FL 1.01,8.01,9.01 05/10/12
UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 03/31/12
UNWIRED PLANET, INC. DE 5.02 05/07/12
US CONCRETE INC DE 2.02,9.01 05/11/12
VALIDUS HOLDINGS LTD 7.01,9.01 05/11/12
VCA ANTECH INC DE 7.01,9.01 05/11/12
Venture Lending & Leasing V, Inc. MD 5.07 05/09/12
Venture Lending & Leasing VI, Inc. MD 5.07 05/09/12
VIPER POWERSPORTS INC NV 3.02 05/07/12
VITRO DIAGNOSTICS INC NV 3.02 05/10/12
WACHOVIA PREFERRED FUNDING CORP DE 5.07 05/08/12
WALTER INVESTMENT MANAGEMENT CORP MD 2.02,9.01 05/11/12
WASHINGTON POST CO DE 5.07 05/10/12
WATERS CORP /DE/ DE 5.07,8.01 05/09/12
WAVE SYSTEMS CORP DE 2.02,9.01 05/10/12
WEB.COM GROUP, INC. DE 1.01,8.01,9.01 05/10/12
WESTERN DIGITAL CORP DE 9.01 03/06/12 AMEND
WILLAMETTE VALLEY VINEYARDS INC OR 5.02 05/04/12
Willbros Group, Inc.\NEW\ 2.02,9.01 05/07/12
WINLAND ELECTRONICS INC MN 2.02,9.01 05/11/12
WINNER MEDICAL GROUP INC NV 2.02,9.01 05/10/12
XL GROUP PLC L2 7.01,9.01 05/11/12
http://www.sec.gov/news/digest/2012/dig051412.htm
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