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ENFORCEMENT PROCEEDINGSIn the Matter of Zanshin Enterprises, LLC and Frank K. McDonaldThe Securities and Exchange Commission (SEC) today issued an Order Making Findings and Imposing Remedial Sanctions and Cease-and-Desist Orders Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 (Order) as to Zanshin Enterprises, LLC (Zanshin), a Boise, Idaho based electronic trading firm, and its managing member Frank K. McDonald, also of Boise. The Order finds that Zanshin and McDonald acted as brokers without SEC registration in willful violation of Section 15(a) of the Securities Exchange Act of 1934 (Exchange Act) by extending sponsored market access to traders through Zanshin’s brokerage account. According to the Order, one of the traders was an individual who used the market access to profit from an account intrusion and market manipulation scheme. Zanshin and McDonald, without admitting or denying the SEC’s findings, each agreed to the issuance of the Order, which orders Zanshin to disgorge profits and prejudgment interest totaling $6,172.05, orders McDonald to pay a civil penalty of $35,000, censures Zanshin and McDonald, and orders them to cease and desist from committing or causing any violations and any future violations of Section 15(a) of the Exchange Act. (Rel. 34-67028; File No. 3-14720) In the Matter of Douglas G. FrederickThe Securities and Exchange Commission (SEC) today issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 (Order) as to Douglas G. Frederick of Brighton, Michigan. The Order finds that Frederick acted as a broker without SEC registration in willful violation of Section 15(a) of the Securities Exchange Act of 1934 (Exchange Act) by extending sponsored market access to traders through an omnibus brokerage account. According to the Order, one of the traders was an individual who used the market access to profit from an account intrusion and market manipulation scheme. Frederick, without admitting or denying the SEC’s findings, agreed to the issuance of the Order, which bars Frederick from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and from participating in any offering of a penny stock; orders Frederick to pay a civil penalty of $35,000; and orders him to cease and desist from committing or causing any violations and any future violations of Section 15(a) of the Exchange Act. (Rel. 34-67029; File No. 3-14720) In the Matter of AP Henderson Group, et al.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Four Respondents (Default Order) in AP Henderson Group, Admin. Proc. No. 3-14843. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of registered securities of AP Henderson Group, BPO Management Services, Inc., Capital Mineral Investors, Inc., and 1st Centennial Bancorp, pursuant to Section 12(j) of the Securities Exchange Act of 1934. The proceeding has ended as to Respondent CardioVascular BioTherapeutics, Inc. See AP Henderson Group, Exchange Act Release No. 66897 (May 2, 2012). (Rel. 34-67030; File No. 3-14843) Delinquent Filers’ Stock Registrations RevokedThe registrations of the registered securities of Keiretsu, Inc., Luminart, Inc., Macten, Inc., and Netlake, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-67031; File No. 3-14813) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by BATS Exchange, Inc. related to fees for use of BATS Exchange, Inc. (SR-BATS-2012-017) 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 21. (Rel. 34-67017) A proposed rule change (SR-NYSEArca-2012-41) filed by NYSE Arca, Inc. amending the NYSE Arca Options Fee Schedule relating to electronic executions of posted customer liquidity in Penny Pilot Issues 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 21. (Rel. 34-67020) Approval of Proposed Rule ChangeThe Commission has approved a proposed rule change (SR-OCC-2012-03) filed by The Options Clearing Corporation (“OCC”) under Section 19(b)(1) of the Securities Exchange Act of 1934 to more closely align OCC's By-Laws and Rules with regulatory requirements related to “Statutory Disqualifications.” Publication is expected in the Federal Register during the week of May 21. (Rel. 34-67018) Proposed Rule ChangesThe Options Clearing Corporation filed a proposed rule change (SR-OCC-2012-07) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to adjustment panel voting. Publication is expected in the Federal Register during the week of May 21. (Rel. 34-67021) NASDAQ OMX PHLX LLC filed with the Securities and Exchange Commission a proposed rule change, as modified by Amendment No. 1, under Rule 19b-4 of the Securities Exchange Act of 1934 (SR-Phlx-2012-68) to accept inbound orders from NASDAQ OMX BX’s new options market. Publication is expected in the Federal Register during the week of May 21. (Rel. 34-67026) The NASDAQ Stock Market LLC filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 of the Securities Exchange Act of 1934 (SR-NASDAQ-2012-061) for the NASDAQ Options Market to accept inbound orders from NASDAQ OMX BX’s new options market. Publication is expected in the Federal Register during the week of May 21. ((Rel. 34-67027) Designation of Longer Period For Commission Action on Proposed Rule ChangeThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-NASDAQ-2012-043), as modified by Amendment No. 1 thereto, filed by The NASDAQ Stock Market LLC to establish the Market Quality Program. Publication is expected in the Federal Register during the week of May 21. (Rel. 34-67022) SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-8 PEPCO HOLDINGS INC, SUITE 1300, 701 NINTH STREET, NW, WASHINGTON, DC, 20068, 202-872-2000 - 8,000,000 ($149,840,000.00) Equity, (File 333-181505 - May. 18) (BR. 02A) S-8 JACK IN THE BOX INC /NEW/, 9330 BALBOA AVE, SAN DIEGO, CA, 92123-1516, 6195712121 - 3,700,000 ($83,953,000.00) Equity, (File 333-181506 - May. 18) (BR. 05B) S-8 E-HOUSE (CHINA) HOLDINGS LTD, 17/F MERCHANDISE HARVEST BUILDING (EAST), NO. 333 NORTH CHENGDU ROAD, SHANGHAI, F4, 200041, (86-21) 5298 0808 - 0 ($70,360,729.00) ADRs/ADSs, (File 333-181508 - May. 18) (BR. 08B) S-8 ORMAT TECHNOLOGIES, INC., 6225 NEIL ROAD, SUITE 300, RENO, NV, 89511-1136, 775-356-9029 - 4,000,000 ($86,880,000.00) Equity, (File 333-181509 - May. 18) (BR. 02C) S-8 Clear Channel Outdoor Holdings, Inc., 200 EAST BASSE ROAD, SAN ANTONIO, TX, 78209, 210-822-2828 - 39,512,640 ($272,242,090.00) Equity, (File 333-181514 - May. 18) (BR. 11C) S-3ASR PARK NATIONAL CORP /OH/, 50 NORTH THIRD ST, NEWARK, OH, 43055, 6143498451 - 0 ($0.00) Debt, 0 ($0.00) Equity, (File 333-181515 - May. 18) (BR. 07B) S-8 Bering Exploration, Inc., 710 POST OAK, SUITE 410, HOUSTON, TX, 77024, 713-780-0806 - 800,000 ($320,000.00) Equity, (File 333-181518 - May. 18) (BR. 04B) S-3ASR FIRSTENERGY CORP, 330-761-7837 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-181519 - May. 18) (BR. 02B) S-8 StellarOne CORP, 590 PETER JEFFERSON PARKWAY SUITE 250, CHARLOTTESVILLE, VA, 22911, 434-964-2217 - 0 ($12,150,000.00) Equity, (File 333-181520 - May. 18) (BR. 07B) S-8 POTASH CORP OF SASKATCHEWAN INC, SUITE 500, 122 - 1ST AVENUE SOUTH, SASKATOON, A9, S7K 7G3, 3069338500 - 3,000,000 ($118,380,000.00) Equity, (File 333-181521 - May. 18) (BR. 05A) S-8 BreitBurn Energy Partners L.P., 515 SOUTH FLOWER STREET, SUITE 4800, LOS ANGELES, CA, 90071, (213) 225-5900 - 3,002,064 ($52,355,996.00) Equity, (File 333-181526 - May. 18) (BR. 04A) F-1 Intelsat Global Holdings S.A., 4, rue Albert Borschette, Luxembourg, N4, L-1246, +352 27-84-1600 - 0 ($1,750,000,000.00) Equity, (File 333-181527 - May. 18) (BR. 11) S-3 WASHINGTON GAS LIGHT CO, 101 CONSTITUTION AVE, N.W., WASHINGTON, DC, 20080, 7037504440 - 0 ($200,000,000.00) Debt, (File 333-181528 - May. 18) (BR. 02A) S-8 Prologis, Inc., PIER 1 BAY 1, SAN FRANCISCO, CA, 94111, 4153949000 - 0 ($506,806,935.00) Equity, (File 333-181529 - May. 18) (BR. 08C) S-8 SMART Technologies Inc., 3636 RESEARCH ROAD N.W., CALGARY, A0, T2L 1Y1, 403-245-0333 - 12,144,531 ($24,653,397.93) Other, (File 333-181530 - May. 18) (BR. 03B) S-3ASR BreitBurn Energy Partners L.P., 515 SOUTH FLOWER STREET, SUITE 4800, LOS ANGELES, CA, 90071, (213) 225-5900 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-181531 - May. 18) (BR. 04A) S-8 INOVIO PHARMACEUTICALS, INC., 11494 SORRENTO VALLEY ROAD, SAN DIEGO, CA, 92121-1318, 858 597-6006 - 0 ($914,622.30) Equity, (File 333-181532 - May. 18) (BR. 10A) S-3ASR MSCI Inc., 88 PINE STREET, NEW YORK, NY, 10005, 212-804-3990 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-181533 - May. 18) (BR. 03A) S-1 RXi Pharmaceuticals Corp, 60 PRESCOTT STREET, WORCESTER, MA, 01605, 800-794-6027 - 0 ($18,062,431.00) Equity, (File 333-181534 - May. 18) (BR. 01B) S-8 EBAY INC, 2145 HAMILTON AVENUE, SAN JOSE, CA, 95125, 408-376-7400 - 38,389,763 ($1,521,002,410.06) Equity, (File 333-181535 - May. 18) (BR. 02A) S-8 Invesco Ltd., 1555 PEACHTREE STREET NE, SUITE 1800, ATLANTA, GA, 30309, 404-892-0896 - 3,000,000 ($66,960,000.00) Equity, (File 333-181536 - May. 18) (BR. 06C) S-4 HALCON RESOURCES CORP, 1000 LOUISIANA STREET, SUITE 6700, HOUSTON, TX, 77002, 832-538-0300 - 0 ($412,098,687.00) Equity, (File 333-181537 - May. 18) (BR. 04A) S-8 EMC CORP, 176 SOUTH STREET, HOPKINTON, MA, 01748-9103, 5082937208 - 0 ($831,450.45) Equity, (File 333-181538 - May. 18) (BR. 03C) S-8 EBAY INC, 2145 HAMILTON AVENUE, SAN JOSE, CA, 95125, 408-376-7400 - 16,500,000 ($653,730,000.00) Equity, (File 333-181539 - May. 18) (BR. 02A) F-3 DIANA SHIPPING INC., PENDELIS 16, 175 64 PALAIO FALIRO, ATHENS, J3, 00000, 30-210-947-0100 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-181540 - May. 18) (BR. 05A) S-8 KEY ENERGY SERVICES INC, 1301 MCKINNEY STREET, SUITE 1800, HOUSTON, TX, 77010, 713-651-4300 - 4,000,000 ($39,960,000.00) Equity, (File 333-181541 - May. 18) (BR. 04B) S-3ASR HERSHEY CO, 100 CRYSTAL A DRIVE, P O BOX 810-EXTERNAL RPTG & COMPLIANCE, HERSHEY, PA, 17033-0810, 7175344200 - 0 ($0.00) Debt, (File 333-181542 - May. 18) (BR. 04B) S-8 ZOGENIX, INC., 12400 HIGH BLUFF DRIVE, SUITE 650, SAN DIEGO, CA, 92130, (858) 259-1165 - 0 ($102,247,349.13) Equity, (File 333-181543 - May. 18) (BR. 01B) S-3 RENTECH INC /CO/, 10877 WILSHIRE BLVD, #710, LOS ANGELES, CA, 90024, 310-571-9800 - 0 ($1,124,448.99) Equity, (File 333-181544 - May. 18) (BR. 05C) S-4 PIONEER DRILLING CO, 1250 N.E. LOOP 410, SUITE 1000, SAN ANTONIO, TX, 78209, 5128287689 - 0 ($175,000,000.00) Debt, (File 333-181545 - May. 18) (BR. 04B) S-1 MAGNEGAS CORP, 150 RAINVILLE ROAD, TARPON SPRINGS, FL, 34689, (727) 932-9593 - 30,089,375 ($19,461,031.25) Equity, (File 333-181546 - May. 18) (BR. 10B) S-8 KNIGHT TRANSPORTATION INC, 5601 W BUCKEYE RD, PHOENIX, AZ, 85043, 6022692000 - 4,000,000 ($64,780,000.00) Equity, (File 333-181547 - May. 18) (BR. 05B) S-4 ATLANTIC POWER CORP, 200 CLARENDON STREET, FLOOR 25, BOSTON, MA, 02116, 617-977-2701 - 0 ($460,000,000.00) Debt, (File 333-181548 - May. 18) (BR. 02B) S-3ASR EASTMAN CHEMICAL CO, PO BOX 511, 200 SOUTH WILCOX DRIVE, KINGSPORT, TN, 37660, 4232292000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-181549 - May. 18) (BR. 06A) 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 ----------------------------------------------------------------------------------------- 22nd Century Group, Inc. NV 1.01,3.02,7.01,9.01 05/15/12 AASTROM BIOSCIENCES INC MI 5.02 05/14/12 AbitibiBowater Inc. DE 8.01,9.01 05/17/12 ADVANCE AUTO PARTS INC DE 5.02,5.07 05/15/12 Advaxis, Inc. DE 1.01,2.03,3.02,8.01, 05/08/12 9.01 Air Transport Services Group, Inc. DE 2.02,9.01 05/14/12 AKAMAI TECHNOLOGIES INC DE 5.07 05/16/12 ALASKA AIR GROUP INC DE 7.01,9.01 05/17/12 ALASKA AIR GROUP, INC. DE 5.07 05/15/12 ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 5.02 05/16/12 ALLEGHANY CORP /DE DE 9.01 03/06/12 AMEND Allegiant Travel CO NV 8.01 05/18/12 Allezoe Medical Holdings Inc DE 8.01 05/18/12 ALLIANT ENERGY CORP WI 5.07 05/17/12 Allied Nevada Gold Corp. DE 1.01,9.01 05/15/12 ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 8.01 05/18/12 Alpha Natural Resources, Inc. DE 1.04 05/14/12 Alpha Natural Resources, Inc. DE 7.01,9.01 05/18/12 ALTERRA CAPITAL HOLDINGS Ltd 8.01 05/16/12 Alveron Energy Corp. DE 1.01 05/15/12 AMBAC FINANCIAL GROUP INC DE 8.01,9.01 05/16/12 AMBAC FINANCIAL GROUP INC DE 8.01,9.01 05/15/12 American Realty Capital Global Daily 5.02,9.01 05/17/12 American Renal Associates Holdings, I DE 5.02,9.01 05/15/12 American Renal Holdings Inc. DE 5.02 05/15/12 AMERICAN RIVER BANKSHARES CA 1.01 05/16/12 American Standard Energy Corp. DE 9.01 03/05/12 AMEND AMERICANWEST BANCORPORATION WA 7.01,9.01 05/15/12 AMKOR TECHNOLOGY INC DE 8.01,9.01 05/18/12 AMYRIS, INC. DE 1.01,2.03 05/17/12 ANN INC. DE 2.02,9.01 05/18/12 Annec Green Refractories Corp DE 1.01,9.01 05/14/12 API Technologies Corp. DE 3.03,5.03,9.01 05/16/12 Apple REIT Nine, Inc. VA 8.01 05/15/12 ARQULE INC DE 8.01,9.01 05/18/12 ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 2.02,9.01 05/17/12 Ascend Acquisition Corp. DE 1.01,5.02 05/14/12 ASHFORD HOSPITALITY TRUST INC MD 5.07 05/15/12 ASIA8, INC. NV 1.01,3.02,9.01 05/16/12 AVID TECHNOLOGY, INC. DE 5.07 05/15/12 AXIS CAPITAL HOLDINGS LTD 5.02,9.01 05/16/12 BankFinancial CORP 8.01,9.01 05/15/12 BankGuam Holding Co 5.07 05/14/12 BAR HARBOR BANKSHARES ME 1.01 05/18/12 BEHRINGER HARVARD REIT I INC MD 7.01,9.01 05/18/12 Bidz.com, Inc. CA 1.01,8.01,9.01 05/17/12 BIGLARI HOLDINGS INC. IN 2.02,9.01 05/18/12 BIO BRIDGE SCIENCE INC DE 2.05,5.02 05/14/12 BIO-PATH HOLDINGS INC UT 2.02,9.01 05/17/12 BIOCLINICA INC DE 5.07,8.01 05/16/12 BlueFlash Communications, Inc. FL 5.02 05/15/12 BlueLinx Holdings Inc. DE 5.07 05/17/12 BOSTON BEER CO INC MA 8.01 05/15/12 BOTETOURT BANKSHARES INC VA 5.07 05/18/12 BRAZIL FAST FOOD CORP DE 2.02,9.01 05/17/12 Bridgepoint Education Inc DE 5.02,5.07 05/14/12 BROWN SHOE CO INC NY 2.02,9.01 05/18/12 BRUKER CORP DE 5.07 05/18/12 BRYN MAWR BANK CORP PA 1.01,8.01,9.01 05/15/12 Cal Dive International, Inc. DE 5.02,5.07,9.01 05/18/12 CALPINE CORP DE 7.01,9.01 05/18/12 CAMCO FINANCIAL CORP DE 5.02,9.01 05/14/12 CAMDEN PROPERTY TRUST TX 1.01,9.01 05/17/12 Caribou Coffee Company, Inc. MN 5.02 05/15/12 CAROLINA POWER & LIGHT CO NC 8.01,9.01 05/15/12 CARROLS RESTAURANT GROUP, INC. 7.01,9.01 05/17/12 CASUAL MALE RETAIL GROUP INC DE 2.02,9.01 05/18/12 CATO CORP DE 9.01 05/18/12 CECO ENVIRONMENTAL CORP DE 5.07 05/15/12 CEL SCI CORP CO 5.07 05/18/12 CEVA INC DE 5.07 05/14/12 CHARLES & COLVARD LTD NC 5.07 05/17/12 CHEMUNG FINANCIAL CORP NY 5.02,5.03,9.01 05/16/12 CHESAPEAKE ENERGY CORP OK 7.01,9.01 05/18/12 CHICOS FAS INC FL 2.02,9.01 05/16/12 CHIPOTLE MEXICAN GRILL INC 8.01 05/17/12 CIG WIRELESS CORP. NV 5.02 05/14/12 CITY NATIONAL CORP DE 5.03,9.01 05/18/12 Clarion Partners Property Trust Inc. MD 1.01 05/16/12 Cleantech Solutions International, In DE 2.02,9.01 05/16/12 CLIFFS NATURAL RESOURCES INC. OH 5.02 05/15/12 CLOUD PEAK ENERGY INC. DE 5.07 05/16/12 CMS ENERGY CORP MI 7.01,9.01 05/18/12 COBIZ FINANCIAL INC CO 7.01 05/18/12 COMFORT SYSTEMS USA INC 5.07 05/17/12 Command Center, Inc. WA 5.02,8.01,9.01 05/17/12 COMMERCEFIRST BANCORP INC MD 5.07 05/18/12 COMMERCIAL BANCSHARES INC \OH\ OH 5.07 05/17/12 COMMUNITY FIRST INC TN 5.02 05/16/12 Community Partners Bancorp NJ 5.07 05/16/12 COMPUTER SCIENCES CORP NV 7.01,9.01 05/17/12 COMVERGE, INC. DE 1.01,3.01,3.02,3.03, 05/15/12 5.01,5.02,5.03,8.01, 9.01 CPS TECHNOLOGIES CORP/DE/ DE 2.02 03/31/12 CRAFT BREW ALLIANCE, INC. WA 5.07 05/14/12 CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 05/18/12 CRYOLIFE INC FL 1.01,2.01,9.01 05/14/12 CUMBERLAND PHARMACEUTICALS INC 8.01 05/17/12 CVB FINANCIAL CORP CA 5.07 05/16/12 DAVEY TREE EXPERT CO OH 5.07 05/15/12 DDI CORP CA 8.01,9.01 05/18/12 DELTA NATURAL GAS CO INC KY 5.02 05/17/12 DENNYS CORP DE 5.07,8.01,9.01 05/16/12 DEPOMED INC CA 1.01,5.02,5.07,8.01, 05/15/12 9.01 DERMA SCIENCES, INC. PA 8.01 05/17/12 Discovery Communications, Inc. DE 5.07 05/15/12 Dolan Co. DE 5.07 05/17/12 DOMINION RESOURCES BLACK WARRIOR TRUS DE 2.02,9.01 05/18/12 DONALDSON CO INC DE 2.02,9.01 05/18/12 DOT HILL SYSTEMS CORP DE 1.01 05/15/12 DSP GROUP INC /DE/ DE 1.01,5.02,5.07 05/15/12 Duke Energy CORP DE 8.01,9.01 05/18/12 DYNACQ HEALTHCARE INC NV 5.02,9.01 05/17/12 DYNAMIC VENTURES CORP. 1.01,2.03,3.02,9.01 05/15/12 Dynastar Holdings, Inc. NV 4.01,9.01 05/14/12 DYNEX CAPITAL INC VA 5.07 05/14/12 EAGLE BANCORP INC MD 5.07 05/17/12 EAGLE MATERIALS INC DE 5.02,9.01 05/14/12 EASTMAN CHEMICAL CO DE 8.01,9.01 05/18/12 Echo Global Logistics, Inc. DE 5.02 05/14/12 ELECTRONIC ARTS INC. DE 5.02,9.01 05/15/12 ELLIE MAE INC DE 5.07 05/15/12 EMPIRE RESOURCES INC /NEW/ DE 2.02,9.01 05/15/12 ENCORE WIRE CORP DE 1.01,9.01 05/14/12 ENCORIUM GROUP INC NV 1.03,2.04,5.02 05/14/12 Enduro Royalty Trust DE 2.02,9.01 05/18/12 ENSIGN GROUP, INC 5.07 05/15/12 ENTERCOM COMMUNICATIONS CORP PA 5.07 05/17/12 ENTROPIC COMMUNICATIONS INC DE 5.07 05/15/12 ESCO TECHNOLOGIES INC MO 1.01,1.02,2.03,9.01 05/14/12 EVANS & SUTHERLAND COMPUTER CORP UT 5.07 05/17/12 F5 NETWORKS INC WA 5.02 05/17/12 FARMERS & MERCHANTS BANCORP DE 8.01,9.01 05/17/12 Fifth & Pacific Companies, Inc. DE 5.03,5.07,8.01,9.01 05/14/12 FIRST BUSEY CORP /NV/ NV 5.07 05/18/12 FIRST CAPITAL INC IN 8.01 05/18/12 FIRST COMMUNITY CORP /SC/ SC 5.07 05/16/12 FIRST FINANCIAL SERVICE CORP KY 8.01 03/18/12 FIRST M&F CORP/MS MS 7.01,9.01 05/15/12 FIRST ROBINSON FINANCIAL CORP DE 2.02,8.01,9.01 05/16/12 FIRST SOUTH BANCORP INC /VA/ VA 5.07 05/17/12 First Trinity Financial CORP 8.01 05/16/12 FIRSTENERGY CORP OH 7.01 05/18/12 FNB BANCORP/CA/ 5.07,9.01 05/16/12 FNBH BANCORP INC MI 2.02,9.01 05/18/12 FOOT LOCKER INC NY 2.02,9.01 05/18/12 FORUM ENERGY TECHNOLOGIES, INC. DE 5.02 05/18/12 Freescale Semiconductor, Ltd. D0 5.07 04/27/12 AMEND FriendFinder Networks Inc. NV 5.02,9.01 05/10/12 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 05/17/12 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 05/18/12 FROZEN FOOD EXPRESS INDUSTRIES INC TX 5.07,8.01 05/16/12 FS Investment CORP MD 1.01,2.03,9.01 05/17/12 FUSION-IO, INC. DE 1.01,9.01 05/16/12 GALLAGHER ARTHUR J & CO DE 8.01,9.01 05/18/12 GENETHERA INC FL 1.01,9.01 05/17/12 GEOGLOBAL RESOURCES INC. DE 3.02 05/17/12 GeoMet, Inc. DE 5.02,9.01 05/14/12 GEORGIA POWER CO GA 5.07 05/16/12 GERON CORP DE 5.02,5.03,5.07,9.01 05/17/12 Global Technologies Group, Inc. FL 8.01,9.01 05/07/12 GOLDEN STAR RESOURCES LTD 1.01,8.01,9.01 05/17/12 GRAFTECH INTERNATIONAL LTD DE 5.07 05/18/12 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 04/30/12 Graymark Healthcare, Inc. OK 5.02,5.07,9.01 05/14/12 GRIFFIN LAND & NURSERIES INC DE 5.02,5.07,7.01,9.01 05/17/12 GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 05/14/12 GULF POWER CO FL 8.01,9.01 05/15/12 HARLAND CLARKE HOLDINGS CORP DE 8.01 05/18/12 HARRIS PREFERRED CAPITAL CORP MD 5.02 05/18/12 Hartman Short Term Income Properties MD 1.01,2.01,2.03,7.01, 05/18/12 9.01 HCA Holdings, Inc. 5.07 04/26/12 AMEND HEALTHCARE REALTY TRUST INC MD 5.07 05/15/12 HEALTHCARE TRUST OF AMERICA, INC. MD 3.03,5.02,8.01,9.01 05/16/12 HELMERICH & PAYNE INC DE 8.01 05/18/12 HERCULES OFFSHORE, INC. DE 5.03,5.07,8.01,9.01 05/15/12 HIBBETT SPORTS INC 2.02,7.01,9.01 05/18/12 Hicks Acquisition CO II, Inc. 1.01,9.01 05/16/12 HITTITE MICROWAVE CORP 5.07 05/15/12 HomeTown Bankshares Corp 5.03,5.07,9.01 05/15/12 HORNE INTERNATIONAL, INC. DE 1.01,3.02 05/18/12 Horsehead Holding Corp 5.07 05/17/12 HSBC USA INC /MD/ MD 8.01,9.01 05/18/12 HSN, Inc. DE 5.07 05/18/12 Hudson Pacific Properties, Inc. MD 1.01,7.01,9.01 05/15/12 HYPERDYNAMICS CORP DE 3.01,9.01 05/14/12 iGo, Inc. DE 5.02,9.01 05/14/12 Independence Energy Corp. NV 1.01,9.01 05/15/12 INFINERA CORP DE 5.07 05/18/12 INFINITY PHARMACEUTICALS, INC. DE 5.02,5.07,9.01 05/16/12 Inland American Real Estate Trust, In MD 7.01,9.01 05/18/12 InspireMD, Inc. DE 8.01,9.01 05/17/12 INSTITUTIONAL FINANCIAL MARKETS, INC. MD 2.04 05/15/12 INTEGRA LIFESCIENCES HOLDINGS CORP DE 5.07 05/17/12 Intellicell Biosciences, Inc. NV 2.04 05/17/12 INTERFACE INC GA 5.07 05/18/12 INTERMOUNTAIN COMMUNITY BANCORP ID 5.02,5.03,5.07,9.01 05/17/12 INTERSECTIONS INC DE 5.07 05/14/12 INTERSTATE POWER & LIGHT CO IA 5.07 05/17/12 INUVO, INC. NV 7.01,9.01 05/18/12 INVENTURE FOODS, INC. DE 5.07 05/16/12 Invesco Ltd. D0 5.07 05/18/12 IZEA Holdings, Inc. NV 7.01,9.01 05/17/12 JANUS CAPITAL GROUP INC DE 5.03,9.01 05/18/12 JARDEN CORP DE 5.02,5.07 05/17/12 JDA SOFTWARE GROUP INC DE 3.01,9.01 05/15/12 JEFFERSON BANCSHARES INC TN 5.02 05/14/12 JPMORGAN CHASE & CO DE 5.07 05/15/12 KAISER ALUMINUM CORP DE 8.01,9.01 05/18/12 KAPSTONE PAPER & PACKAGING CORP DE 5.07 05/16/12 KBS Real Estate Investment Trust II, MD 8.01,9.01 05/16/12 KEATING CAPITAL INC 5.07,7.01,9.01 05/18/12 KEYCORP /NEW/ OH 5.07 05/17/12 KEYSTONE CONSOLIDATED INDUSTRIES INC DE 5.07 05/18/12 KINDRED HEALTHCARE, INC DE 5.07,8.01,9.01 05/17/12 KINDRED HEALTHCARE, INC DE 5.02,8.01,9.01 05/17/12 Kiwibox.Com, Inc. DE 1.01,2.01,7.01,9.01 05/14/12 KRAFT FOODS INC VA 8.01,9.01 05/15/12 KSW INC NY 5.07 05/09/12 LANTRONIX INC DE 3.01 05/15/12 LaPorte Bancorp, Inc. X1 5.07,9.01 05/15/12 LaSalle Hotel Properties MD 7.01,8.01,9.01 05/18/12 Legend Oil & Gas, Ltd. CO 3.02 05/17/12 Li3 Energy, Inc. NV 1.01,9.01 05/02/12 Liberty Interactive Corp 8.01,9.01 05/14/12 Liberty Media Corp DE 7.01,9.01 05/16/12 LIBERTY STAR URANIUM & METALS CORP. NV 8.01,9.01 05/15/12 Lifevantage Corp CO 5.02,9.01 05/17/12 LIMITED BRANDS INC DE 2.02,7.01 05/16/12 Lithium Exploration Group, Inc. NV 1.01,2.03,3.02,9.01 05/15/12 LORILLARD, INC. DE 5.07 05/17/12 Lumos Networks Corp. VA 5.02,5.07 05/18/12 MAGICJACK VOCALTEC LTD L3 8.01 05/18/12 MAM SOFTWARE GROUP, INC. DE 5.02,8.01,9.01 05/18/12 MAP Pharmaceuticals, Inc. DE 5.07 05/17/12 MARINE PETROLEUM TRUST TX 7.01,9.01 05/18/12 MCCLATCHY CO DE 5.02,5.07,9.01 05/16/12 McEwen Mining Inc. CO 7.01,9.01 05/17/12 McEwen Mining Inc. CO 7.01,9.01 05/18/12 McEwen Mining Inc. CO 5.07 05/17/12 MEDIA GENERAL INC VA 1.01,1.02,2.03,9.01 05/17/12 Medidata Solutions, Inc. DE 5.02,5.07,9.01 05/16/12 Medytox Solutions, Inc. NV 1.01,2.03 05/14/12 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 05/15/12 Merriman Holdings, Inc DE 3.02,3.03,5.03,5.07, 05/14/12 9.01 MIDDLEFIELD BANC CORP OH 7.01,9.01 05/16/12 MISSISSIPPI POWER CO MS 5.07 05/16/12 Mobile Integrated Systems, Inc. NV 3.02,5.02,8.01 04/30/12 Molycorp, Inc. DE 8.01,9.01 05/18/12 MONTPELIER RE HOLDINGS LTD 5.02,5.07,9.01 05/18/12 MPM TECHNOLOGIES INC WA 8.01 05/18/12 MRI INTERVENTIONS, INC. DE 7.01,8.01,9.01 05/17/12 MUELLER INDUSTRIES INC DE 1.01,9.01 05/16/12 MURPHY OIL CORP /DE DE 8.01,9.01 05/15/12 NATIONAL PRESTO INDUSTRIES INC WI 5.07,9.01 05/15/12 Naugatuck Valley Financial Corp 8.01,9.01 05/17/12 NAUTILUS, INC. WA 5.07 05/17/12 NBC ACQUISITION CORP DE 5.02,7.01,9.01 05/14/12 NEAH POWER SYSTEMS, INC. NV 3.02,8.01 05/02/12 Neologic Animation Inc NV 1.01,2.01,3.02,5.01, 05/08/12 5.02,5.03,5.06,9.01 NETWORK CN INC DE 4.01,9.01 05/18/12 NEWMONT MINING CORP /DE/ DE 1.01,2.03,9.01 05/15/12 Newport Bancorp Inc 5.07 05/18/12 NEWS CORP 8.01,9.01 05/18/12 NISOURCE INC/DE DE 1.01 05/15/12 NISSAN MASTER OWNER TRUST RECEIVABLES DE 1.01,8.01,9.01 05/15/12 NISSAN WHOLESALE RECEIVABLES CORP II DE 1.01,8.01,9.01 05/15/12 NISSAN WHOLESALE RECEIVABLES CORP II DE 8.01,9.01 05/18/12 NISSAN WHOLESALE RECEIVABLES CORP II DE 8.01,9.01 05/18/12 NORTHERN OIL & GAS, INC. 1.01,2.03,9.01 05/15/12 NORTHERN STATES FINANCIAL CORP /DE/ DE 5.07 05/17/12 NOVA NATURAL RESOURCES CORP CO 5.03,8.01 05/18/12 Nuance Communications, Inc. DE 2.01,9.01 04/26/12 AMEND Ocean Shore Holding Co. 5.07 05/16/12 OMEGA PROTEIN CORP NV 7.01,9.01 05/18/12 ONCOR ELECTRIC DELIVERY CO LLC DE 2.03,8.01,9.01 05/18/12 ORBCOMM Inc. DE 8.01,9.01 05/15/12 Pacira Pharmaceuticals, Inc. DE 1.01 05/17/12 PAIN THERAPEUTICS INC DE 5.07 05/17/12 PALMETTO BANCSHARES INC SC 5.07,7.01,9.01 05/17/12 PALOMAR MEDICAL TECHNOLOGIES INC DE 5.07 05/18/12 PAPERWEIGHT DEVELOPMENT CORP WI 1.01,5.02,9.01 05/16/12 Parabel Inc. DE 5.02,7.01,9.01 05/15/12 PARKWAY PROPERTIES INC MD 5.07 05/17/12 PARTNERRE LTD 5.02,5.07 05/16/12 PennantPark Floating Rate Capital Ltd 1.01,2.03,9.01 05/14/12 PEPCO HOLDINGS INC DE 5.02,5.07,9.01 05/18/12 PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 05/18/12 PETROSONIC ENERGY, INC. 5.03,8.01,9.01 05/16/12 PFSWEB INC DE 8.01 05/14/12 PHARMOS CORP NV 8.01,9.01 05/17/12 PHH CORP MD 2.03 05/17/12 PHOENIX COMPANIES INC/DE DE 5.03,5.07,9.01 05/15/12 PIONEER BANKSHARES INC/VA 5.07 05/16/12 Pioneer Exploration Inc. NV 1.01,2.01,4.01,4.02, 05/18/12 AMEND 5.01,5.06,7.01,9.01 PIONEER NATURAL RESOURCES CO DE 5.02,5.03,5.07,9.01 05/18/12 PIONEER POWER SOLUTIONS, INC. DE 9.01 05/15/12 PITNEY BOWES INC /DE/ DE 7.01 05/18/12 PLUG POWER INC DE 5.02,5.07,9.01 05/16/12 Poage Bankshares, Inc. MD 5.02 05/18/12 Porter Bancorp, Inc. KY 5.07,8.01,9.01 05/16/12 POTASH CORP OF SASKATCHEWAN INC Z4 5.02,5.07,9.01 05/17/12 Power REIT MD 9.01 05/18/12 PPLUS Trust Series GSC-2 DE 8.01,9.01 05/15/12 PROTECTIVE LIFE CORP DE 1.01,2.03,9.01 05/15/12 PROVIDENT COMMUNITY BANCSHARES, INC. 2.02,5.07,9.01 05/16/12 Q LOTUS HOLDINGS INC NV 5.02 05/10/12 Quad/Graphics, Inc. WI 5.07 05/14/12 RADISYS CORP OR 8.01 05/18/12 RAMCO GERSHENSON PROPERTIES TRUST MD 7.01,9.01 05/18/12 RAVEN INDUSTRIES INC SD 2.02,9.01 05/18/12 RigNet, Inc. DE 5.07 05/16/12 Rockwood Holdings, Inc. DE 5.07 05/18/12 ROSS STORES INC DE 5.07 05/16/12 ROYALE ENERGY INC CA 2.02,3.01,9.01 05/15/12 Ruths Hospitality Group, Inc. DE 5.07 05/17/12 S&W Seed Co NV 1.01,8.01,9.01 05/18/12 SAFEWAY INC DE 2.02,7.01,9.01 03/06/12 AMEND Sally Beauty Holdings, Inc. 1.01,2.03,9.01 05/15/12 SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 05/18/12 SANDRIDGE ENERGY INC DE 8.01,9.01 05/18/12 SAUER ENERGY, INC. NV 1.01 05/18/12 SBA COMMUNICATIONS CORP FL 5.07 05/17/12 SCHNITZER STEEL INDUSTRIES INC OR 7.01,9.01 05/17/12 SEALED AIR CORP/DE DE 5.07 05/18/12 SEFE, INC. NV 2.03,3.02,9.01 05/17/12 ShengdaTech, Inc. 8.01,9.01 05/16/12 SIERRA MONITOR CORP /CA/ CA 5.07 05/11/12 SILVER BULL RESOURCES, INC. NV 5.02 05/15/12 Sino Agro Food, Inc. NV 2.02,7.01,9.01 05/18/12 SONIC AUTOMOTIVE INC DE 4.01,9.01 05/14/12 Southern National Bancorp of Virginia VA 5.07 03/31/12 SPINDLE, INC. NV 7.01,9.01 05/16/12 SPRINT NEXTEL CORP KS 3.03,5.07 05/15/12 SRI SURGICAL EXPRESS INC FL 5.07 05/17/12 STAGE STORES INC NV 2.02,9.01 05/17/12 STANDARD MOTOR PRODUCTS INC NY 5.07,8.01,9.01 05/17/12 STANDARD REGISTER CO OH 3.01,9.01 05/18/12 STELLAR PHARMACEUTICALS INC 1.01,2.03,3.02,9.01 05/11/12 SunOpta Inc. 5.07 05/18/12 SUPERIOR ENERGY SERVICES INC DE 5.07 05/16/12 SURGLINE INTERNATIONAL, INC. NV 1.01,3.02,9.01 05/17/12 SXC Health Solutions Corp. A6 5.07 05/16/12 SYKES ENTERPRISES INC FL 5.07 05/17/12 TALBOTS INC DE 8.01,9.01 05/15/12 TANDY BRANDS ACCESSORIES INC DE 5.02 05/18/12 TANGER FACTORY OUTLET CENTERS INC NC 5.07,7.01,9.01 05/18/12 TEAM HEALTH HOLDINGS INC. DE 5.07 05/18/12 TENGION INC DE 3.01,9.01 05/15/12 Texas Rare Earth Resources Corp. NV 8.01 05/16/12 Texas Roadhouse, Inc. DE 5.07,8.01,9.01 05/17/12 TG THERAPEUTICS, INC. DE 5.02 05/14/12 Thompson Creek Metals CO Inc. A6 7.01 05/16/12 THRESHOLD PHARMACEUTICALS INC DE 5.07 05/17/12 TIAA REAL ESTATE ACCOUNT NY 2.02,7.01,9.01 05/18/12 TITAN INTERNATIONAL INC IL 5.07 05/17/12 TITANIUM METALS CORP DE 5.07,7.01,9.01 05/17/12 TNP Strategic Retail Trust, Inc. MD 1.01,2.03,7.01,9.01 05/15/12 Tongxin International, Ltd. D8 5.02 05/14/12 Touchmark Bancshares, Inc. GA 5.07 05/16/12 TRANS WORLD ENTERTAINMENT CORP NY 2.02,7.01,9.01 05/17/12 TREDEGAR CORP VA 5.07,7.01,9.01 05/16/12 TRUSTCO BANK CORP N Y NY 5.07 05/17/12 TRW AUTOMOTIVE HOLDINGS CORP DE 5.07 05/15/12 U. S. Premium Beef, LLC 8.01,9.01 05/18/12 UFood Restaurant Group, Inc. NV 8.01,9.01 05/18/12 UNION BANKSHARES INC VT 5.02,5.07 05/16/12 UNION PACIFIC CORP UT 7.01 05/17/12 United American Petroleum Corp. NV 1.01,2.01,2.03,3.02, 11/29/11 AMEND 9.01 UNITED RENTALS INC /DE DE 8.01 05/17/12 UNITED STATES CELLULAR CORP DE 5.07 05/15/12 UNITED STATIONERS INC DE 5.07 05/16/12 Universal Business Payment Solutions DE 8.01 05/18/12 UNIVERSAL ELECTRONICS INC DE 1.01,9.01 05/11/12 URS CORP /NEW/ DE 1.01,2.01,2.03,7.01, 05/14/12 9.01 US BANCORP \DE\ DE 8.01,9.01 05/18/12 VECTREN CORP IN 5.02,5.03,5.07 05/16/12 VIAD CORP DE 5.07 05/15/12 VIASYSTEMS GROUP INC DE 8.01,9.01 05/18/12 ViewPoint Financial Group Inc. 5.07 05/15/12 VIROPHARMA INC DE 8.01 05/18/12 VIRTUS INVESTMENT PARTNERS, INC. DE 5.07 05/16/12 VITESSE SEMICONDUCTOR CORP DE 5.02 05/18/12 Vu1 CORP CA 5.02 05/11/12 WARREN RESOURCES INC MD 5.02,9.01 05/18/12 WARREN RESOURCES INC MD 5.07 05/16/12 WASHINGTON REAL ESTATE INVESTMENT TRU MD 1.01,2.03,9.01 05/17/12 WELLS FARGO & COMPANY/MN DE 9.01 05/18/12 Wells Timberland REIT, Inc. MD 5.02 05/18/12 WEST MARINE INC DE 5.07 05/18/12 WESTFIELD FINANCIAL INC MA 2.02,9.01 04/25/12 AMEND WIDEPOINT CORP DE 2.02,9.01 05/15/12 Willbros Group, Inc.\NEW\ 5.02 05/17/12 WINNEBAGO INDUSTRIES INC IA 8.01,9.01 05/18/12 WUHAN GENERAL GROUP (CHINA), INC NV 3.01 05/14/12 XCEL ENERGY INC MN 5.07,9.01 05/16/12 XENOPORT INC DE 5.03,5.07,9.01 05/16/12 YRC Worldwide Inc. DE 5.02 05/16/12 YUM BRANDS INC NC 5.07 05/17/12 YUM BRANDS INC NC 5.02 05/17/12 AMEND Zayo Group LLC DE 4.01,9.01 05/15/12 AMEND ZST Digital Networks, Inc. DE 4.01 05/15/12
http://www.sec.gov/news/digest/2012/dig052112.htm
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