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SEC News Digest
Issue 2012-112
June 11, 2012
Commission Announcements
SEC Issues “Roadmap” on Phase in of Derivatives Regulation
The Securities and Exchange Commission today issued a policy statement describing the order in which it expects new rules regulating the derivatives market would take effect. The statement covers final rules to be adopted by the SEC under the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act.
Title VII of the Dodd-Frank Act establishes a comprehensive framework to regulate over-the-counter derivatives, authorizing the Commodity Futures Trading Commission to regulate “swaps,” and the SEC to regulate “security-based swaps.”
The SEC is requesting public comment on its plan to phase in final rules regulating security-based swaps and security-based swap market participants. The policy statement does not estimate when the rules would be put in place, but describes the sequence in which they would take effect. The phased-in approach is intended to avoid the disruption that could occur if all the new rules took effect simultaneously. To date, the Commission has proposed nearly all the rules required under the Act and already has begun to adopt those rules.
“The policy statement seeks to provide a ‘roadmap’ to market participants and the public on how we expect to implement the various regulatory requirements for this market,” said Chairman Mary L. Schapiro. “We look forward to public comment on our anticipated sequencing as we continue to adopt and implement the rules under the law.”
In addition, the policy statement discusses the timing of the expiration of the temporary relief the SEC previously granted to securities-based swaps market participants. The relief exempts these market participants from certain provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939. Much of this relief is due to expire when certain final rules under Title VII become effective.
The SEC will seek public comments for 60 days after the date of the policy statement’s publication in the Federal Register. (Press Rel. 2012-111)
Enforcement Proceedings
Commission Revokes Registration of Securities of Pavilion Energy Resources, Inc. (f/k/a Global Business Services, Inc.) (n/k/a Matchtrade, Inc.) For Failure to Make Required Periodic Filings
On June 11, 2012, the Commission revoked the registration of each class of registered securities of Pavilion Energy Resources (f/k/a Global Business Services, Inc.) (n/k/a Matchtrade, Inc.) (Matchtrade) 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, Matchtrade consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Pavilion Energy Resources (f/k/a Global Business Services, Inc.) (n/k/a Matchtrade, Inc.) finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Matchtrade’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Matchtrade in In the Matter of One Voice Technologies, Inc., et al., Administrative Proceeding File No. 3-14871.
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 . . . .
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of One Voice Technologies, Inc., et al., Administrative Proceeding File No. 3-14871, Exchange Act Release No. 66938, May 8, 2012. (Rel. 34-67174; File No. 3-14871)
In the Matter of Ronny J. Halperin
On June 11, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against Ronny J. Halperin, Esq. The Order finds that Halperin is a licensed attorney with the Florida bar. The Order further finds that from January 14, 2009 until April 16, 2009, he was CEO of HydroGenetics, Inc., a Florida corporation. Halperin also served as a director for HydroGenetics, Inc. until he resigned in late 2011.
The Order further finds that on May 4, 2012, the United States District Court for the Southern District of Florida entered by consent a judgment against Halperin, permanently enjoining him from violating Sections 5(a) and (c) of the Securities Act of 1933 and aiding and abetting violations of Section 10(b) of the Securities Exchange Act of 1934 and Exchange Act Rule 10b-5(a) and (c), in the civil action entitled Securities and Exchange Commission v. Recycle Tech, Inc., et al., Case No. 12-cv-21656-JAL. The judgment also ordered him to pay disgorgement of $235,060, prejudgment interest of $15,000, and a civil penalty of $75,000.
The Order also finds that the Commission’s complaint alleged, among other things, that Halperin violated the registration and antifraud provisions of the securities laws in connection with Recycle Tech’s fraudulent, unregistered offering of securities. The complaint also alleged that Recycle Tech, along with other defendants, orchestrated, coordinated, and funded a “pump-and-dump” scheme and that Halperin assisted with the execution of their scheme.
Based on the above, the Order suspends Halperin from appearing or practicing before the Commission as an attorney for a period of five years. Halperin consented to the Commission’s Order without admitting or denying any of the findings therein, except as to the entry of the judgment, which he admitted. (Rel. 34-67179; File No. 3-14912)
SEC Charges Atlanta Investment Advisor and its Owner for Misappropriating Client Funds
On Saturday, June 9, 2012, The Securities and Exchange Commission filed a civil action in the United States District Court for the Northern District of Georgia against Benjamin Daniel DeHaan and Lighthouse Financial Partners, LLC. Lighthouse, an investment advisor located in Atlanta and registered with the State of Georgia, has been owned and operated by DeHaan since 2007.
The Commission’s complaint alleges that from approximately January 2011 through early May 2012, DeHaan moved approximately $1.2 million in funds belonging to his clients from their accounts at a custodial broker-dealer into a bank account in Lighthouse’s name that he controlled, thus gaining custody and control of these client assets. DeHaan and Lighthouse told the clients that these funds would be used to open new accounts at another broker-dealer. Once in this account, at least some of these funds were moved to a personal account belong to DeHaan and to accounts used by Lighthouse for business expenses. At least $600,000 in client funds remains unaccounted for. DeHaan is also alleged to have provided false documents to the Commission’s staff and to an examiner for the State of Georgia.
Without admitting or denying the allegations in the Commission’s complaint, DeHaan and Lighthouse have offered to consent to interim relief in the form of an order providing for a preliminary injunction against violations of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940, allowing for expedited discovery, freezing their assets, preventing the destruction or concealment of documents and requiring an accounting. The Commission may seek additional relief, such as a permanent injunction, disgorgement of any ill-gotten gains with prejudgment interest and civil penalties, at a later time.
The Commission acknowledges the assistance and cooperation of the Securities Division of the Georgia Secretary of State’s Office in investigating this matter. [SEC v. Benjamin Daniel DeHaan and Lighthouse Financial Partners, LLC, Civil Action No. 1:12-cv-01996-TWT (U.S. District Court for the Northern District of Georgia)] (LR-22390)
Self Regulatory organizations
Immediate Effectiveness of Proposed Rule Changes
BATS Exchange, Inc. has filed with the Securities and Exchange Commission a proposed rule change (SR-BATS-2012-019) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to modify Rule 11.19, Entitled “Short Sales”. Publication is expected in the Federal Register during the week of June 11. (Rel. 34-67162)
A proposed rule change (SR-BATS-2012-021) filed by BATS Exchange, Inc. to adopt rules related to risk management functionality for BATS Option 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 June 11. (Rel. 34-67165)
A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-48) regarding rebates for certain complex orders 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 June 11. (Rel. 34-67166)
A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-47) regarding fees 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 June 11. (Rel. 34-67167)
A proposed rule change filed by the International Securities Exchange LLC (SR-ISE-2012-46) to delete certain fees has become immediately 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 June 11. (Rel. 34-67168)
A proposed rule change filed by Chicago Mercantile Exchange Inc. (CME) regarding extension of fee waiver program relating to its cleared-only OTC FX Clearing Offering (SR-CME-2012-20) 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 June 11. (Rel. 34-67170)
A proposed rule change submitted by BATS Exchange, Inc. (SR-BATS-2012-020) related to fees for use of BATS Exchange, Inc. 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 June 11. (Rel. 34-67172)
Approval of Proposed Rule Change
The Commission approved a proposed rule change, as modified by Amendment No. 1, filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-40) relating to quarterly trading requirements applicable to Registered Options Traders. Publication is expected in the Federal Register during the week of June 11. (Rel. 34-67169)
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-3 KIT digital, Inc., 26 WEST 17TH STREET, 2ND FLOOR, NEW YORK, NY, 10011,
6465534845 - 15,050,000 ($54,768,000.00) Equity, (File 333-181987 -
Jun. 8) (BR. 11C)
S-1 Domus Holdings Corp, 1 CAMPUS DRIVE, PARSIPPANY, NJ, 07054,
973-407-2000 - 100,000,000 ($1,000,000,000.00) Equity,
(File 333-181988 - Jun. 8) (BR. 08B)
S-1 MDS Energy Public 2012 Program, 409 BUTLER ROAD, SUITE A, KITTANNING,
PA, 16201, 724-548-2501 -
600 ($6,000,000.00) Limited Partnership Interests,
29,400 ($294,000,000.00) Other, (File 333-181993 - Jun. 8) (BR. 04)
S-8 UNIVERSAL INSURANCE HOLDINGS, INC., 1110 W. COMMERCIAL BLVD.,
SUITE 100, FORT LAUDERDALE, FL, 33309, 9549581200 -
0 ($10,770,000.00) Equity, (File 333-181994 - Jun. 8) (BR. 01A)
S-1 Northfield Bancorp, Inc., 581 MAIN STREET, SUITE 810, WOODBRIDGE, NJ,
07095, (732) 499-7200 - 0 ($643,218,850.00) Equity, (File 333-181995 -
Jun. 8) (BR. 07B)
S-8 DEX ONE Corp, 1001 WINSTEAD DRIVE, CARY, NC, 27513, 9198046000 -
0 ($394,000.00) Equity, (File 333-181996 - Jun. 8) (BR. 11C)
S-4 Northfield Bancorp, Inc., 1410 ST. GEORGES AVENUE, AVENEL, NJ, 07001,
(732) 499-7200 - 0 ($17,242,514.00) Equity, (File 333-181997 - Jun. 8)
(BR. 07C)
S-8 WIRELESS RONIN TECHNOLOGIES INC, BAKER TECHNOLOGY PLAZA,
5929 BAKER ROAD, SUITE 475, MINNETONKA, MN, 55345, 952-564-3500 -
490,000 ($355,250.00) Equity, (File 333-181999 - Jun. 8) (BR. 03C)
S-8 USEC INC, 2 DEMOCRACY CENTER, 6903 ROCKLEDGE DRIVE, BETHESDA, MD,
20817, 3015643200 - 10,000,000 ($7,100,000.00) Equity,
(File 333-182000 - Jun. 8) (BR. 09B)
S-8 Talon Therapeutics, Inc., 2207 BRIDGEPOINTE PARKWAY, SUITE 250,
SAN MATEO, CA, 94404, 650-588-6404 - 1,500,000 ($1,155,000.00) Equity,
(File 333-182001 - Jun. 8) (BR. 01A)
S-11 CapSource Fund I, LP, 2009 E. WINDMILL LANE, LAS VEGAS, NV, 89123,
(702) 240-0977 - 25,000 ($25,000,000.00) Equity, (File 333-182002 -
Jun. 8) (BR. )
S-8 INFINITY PHARMACEUTICALS, INC., 780 MEMORIAL DRIVE, CAMBRIDGE, MA,
02139, 6174531000 - 0 ($36,240,000.00) Equity, (File 333-182005 -
Jun. 8) (BR. 01A)
S-4 EVERTEC, LLC, CUPEY CENTER BUILDING, ROAD 176, KM 1.3, RIO PIEDRAS, PR,
00926, 787.759.9999 - 0 ($40,000,000.00) Debt, (File 333-182006 -
Jun. 8) (BR. 03A)
S-8 SPS COMMERCE INC, 333 SOUTH SEVENTH STREET, SUITE 1000, MINNEAPOLIS,
MN, 55402, 612-435-9400 - 0 ($32,052,000.00) Equity, (File 333-182007 -
Jun. 8) (BR. 03B)
S-8 UNITED RENTALS INC /DE, FOUR GREENWICH OFFICE PARK, GREENWICH, CT,
06830, 2036223131 - 0 ($106,981,000.00) Equity, (File 333-182008 -
Jun. 8) (BR. 06B)
S-8 CLEAN DIESEL TECHNOLOGIES INC, 4567 TELEPHONE ROAD, SUITE 100, VENTURA,
CA, 93003, 805 639 9458 - 0 ($3,495,993.08) Equity, (File 333-182009 -
Jun. 8) (BR. 06C)
S-1 MINT LEASING INC, 323 N. LOOP WEST, HOUSTON, TX, 77008, 713-665-2000 -
80,000,000 ($4,160,000.00) Equity, (File 333-182010 - Jun. 8) (BR. 07C)
S-8 BIOSANTE PHARMACEUTICALS INC, 111 BARCLAY BLVD, LINCOLNSHIRE, IL,
60069, 8474780500 - 0 ($2,383,332.38) Equity, (File 333-182011 -
Jun. 8) (BR. 01B)
S-8 STILLWATER MINING CO /DE/, 1321 DISCOVERY DRIVE, BILLINGS, MT, 59102,
406.373.8700 - 5,000,000 ($43,075,000.00) Equity, (File 333-182012 -
Jun. 8) (BR. 09A)
S-8 QUANTUM FUEL SYSTEMS TECHNOLOGIES WORLDWIDE, INC.,
17872 CARTWRIGHT ROAD, IRVINE, CA, 92614, 949-399-4500 -
0 ($1,829,000.00) Equity, (File 333-182013 - Jun. 8) (BR. 05B)
S-8 DELCATH SYSTEMS INC, 810 SEVENTH AVENUE, FL 35, NEW YORK, NY, 10019,
212-489-2100 - 0 ($3,599,500.00) Equity, (File 333-182014 - Jun. 8)
(BR. 10A)
S-8 VIASAT INC, 6155 EL CAMINO REAL, CARLSBAD, CA, 92009, 760-476-2200 -
0 ($23,778,000.00) Equity, (File 333-182015 - Jun. 8) (BR. 11C)
S-3ASR MONTPELIER RE HOLDINGS LTD, MONTPELIER HOUSE, 94 PITTS BAY ROAD,
PEMBROKE, D0, HM 08, 441 296 5550 - 0 ($0.00) Equity,
(File 333-182016 - Jun. 8) (BR. 01B)
S-4 ISTAR FINANCIAL INC, 1114 AVENUE OF THE AMERICAS 27TH FLOOR, NEW YORK,
NY, 10036, 2129309494 - 0 ($275,000,000.00) Debt, (File 333-182017 -
Jun. 8) (BR. 08B)
S-3ASR EXELIXIS INC, 6508252200 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-182018 - Jun. 8) (BR. 01B)
S-1 QUALYS, INC., 1600 BRIDGE PARKWAY, REDWOOD SHORES, CA, 94065,
650-801-6100 - 0 ($100,000,000.00) Equity, (File 333-182027 - Jun. 8)
(BR. )
S-8 QUIDEL CORP /DE/, 10165 MCKELLAR CT, SAN DIEGO, CA, 92121, 8585521100 -
0 ($27,405,000.00) Equity, (File 333-182028 - Jun. 8) (BR. 01B)
S-8 Innolog Holdings Corp., 4000 LEGATO ROAD, SUITE 830, FAIRFAX,, VA,
22033, 310 998 8909 - 5,000,000 ($512,500.00) Equity,
(File 333-182029 - Jun. 8) (BR. 03A)
S-8 EXACTECH INC, 2320 NW 66TH COURT, GAINSVILLE, FL, 32653, 352-377-1140 -
0 ($10,185,500.00) Equity, (File 333-182030 - Jun. 8) (BR. 10A)
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
1.01
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Entry into a Material Definitive Agreement
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1.02
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Termination of a Material Definitive Agreement
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1.03
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Bankruptcy or Receivership
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2.01
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Completion of Acquisition or Disposition of Assets
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2.02
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Results of Operations and Financial Condition
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2.03
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Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
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2.04
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Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
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2.05
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Cost Associated with Exit or Disposal Activities
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2.06
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Material Impairments
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3.01
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Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
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3.02
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Unregistered Sales of Equity Securities
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3.03
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Material Modifications to Rights of Security Holders
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4.01
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Changes in Registrant's Certifying Accountant
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4.02
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Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
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5.01
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Changes in Control of Registrant
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5.02
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer
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5.03
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Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
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5.04
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Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
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5.05
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Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
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5.06
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Change in Shell Company Status
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6.01
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ABS Informational and Computational Material.
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6.02
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Change of Servicer or Trustee.
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6.03
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Change in Credit Enhancement or Other External Support.
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6.04
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Failure to Make a Required Distribution.
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6.05
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Securities Act Updating Disclosure.
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7.01
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Regulation FD Disclosure
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8.01
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Other Events
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9.01
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Financial Statements and Exhibits
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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
-----------------------------------------------------------------------------------------
ADEPT TECHNOLOGY INC DE 1.01,8.01,9.01 06/08/12
ADVANCED MEDICAL ISOTOPE Corp DE 2.03,3.02 06/04/12
AGILYSYS INC OH 2.02,7.01,9.01 06/07/12
Aircastle LTD D0 8.01 06/08/12
ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 1.01,8.01,9.01 06/04/12
ALEXANDER & BALDWIN INC HI 1.01,5.02,5.03,8.01, 06/08/12
9.01
ALL GRADE MINING, INC. CO 1.01 06/08/12
Allegiant Travel CO NV 5.07 06/05/12
ALLSTATE CORP DE 8.01,9.01 06/07/12
ALMOST FAMILY INC DE 5.02,5.03 06/04/12
Alpha Natural Resources, Inc. DE 8.01,9.01 06/08/12
AMARILLO BIOSCIENCES INC TX 5.02 06/08/12
AMEDISYS INC DE 5.07,9.01 06/07/12
AMERICAN AIRLINES INC DE 8.01 06/08/12
AMERICAN EAGLE ENERGY Corp 8.01,9.01 05/23/12
AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 5.02,9.01 06/08/12
AMERICAN SHARED HOSPITAL SERVICES CA 5.07 06/07/12
AMR CORP DE 8.01 06/08/12
ANALOG DEVICES INC MA 5.02,9.01 06/05/12
ARES CAPITAL CORP MD 1.01,2.03,7.01,9.01 06/07/12
Armour Residential REIT, Inc. MD 7.01,9.01 06/08/12
ATHENAHEALTH INC DE 5.02,5.07 06/07/12
ATP OIL & GAS CORP TX 5.02,5.07,9.01 06/01/12
AUTODESK INC DE 5.02,5.07 06/05/12
AUTOMATIC DATA PROCESSING INC DE 5.03,9.01 06/07/12
AVISTAR COMMUNICATIONS CORP DE 5.07 06/06/12
BAKERS FOOTWEAR GROUP INC MO 8.01 06/07/12
Beneficial Mutual Bancorp Inc X1 5.02,8.01,9.01 06/04/12
BERKELEY COFFEE & TEA, INC. NV 7.01 06/08/12
BEST BUY CO INC MN 5.02,5.03,9.01 06/07/12
BIOSANTE PHARMACEUTICALS INC DE 8.01,9.01 06/08/12
BIRNER DENTAL MANAGEMENT SERVICES INC CO 5.07 06/07/12
BLUE DOLPHIN ENERGY CO DE 5.07,7.01,9.01 06/08/12
BOSTON FINANCIAL TAX CREDIT FUND VIII 7.01,9.01 06/08/12
BROWN & BROWN INC FL 5.02 06/06/12
CalAmp Corp. DE 7.01,9.01 06/08/12
CALAVO GROWERS INC CA 2.02,9.01 06/04/12
Calumet Specialty Products Partners, DE 1.01,7.01,8.01,9.01 06/05/12
CAMPBELL FUND TRUST DE 3.02 05/31/12
CarMax Auto Owner Trust 2012-2 DE 1.01,8.01,9.01 06/06/12
CATHAY GENERAL BANCORP DE 5.02,9.01 06/06/12
CENVEO, INC CO 1.01,8.01,9.01 06/05/12
CERUS CORP DE 5.02,5.07 06/06/12
CHAMPION INDUSTRIES INC WV 3.01 06/08/12
ChemoCentryx, Inc. DE 5.02,7.01,9.01 06/05/12
CHESAPEAKE ENERGY CORP OK 5.02,5.03,5.07,7.01, 06/08/12
9.01
CHESAPEAKE MIDSTREAM PARTNERS LP DE 7.01,9.01 06/08/12
China Marketing Media Holdings, Inc. TX 5.02,9.01 06/04/12
China TransInfo Technology Corp. NV 1.01,8.01,9.01 06/07/12
CINCINNATI BELL INC OH 1.01,9.01 06/04/12
CINTAS CORP WA 8.01,9.01 06/05/12
CITIZENS INC CO 5.07,9.01 06/05/12
COINSTAR INC DE 5.07 06/07/12
Command Center, Inc. WA 9.01 01/04/12 AMEND
CommonWealth REIT MD 8.01,9.01 06/08/12
Consolidated Communications Holdings, DE 8.01 06/08/12
CONSOLIDATED GRAPHICS INC /TX/ TX 1.01,2.03,9.01 06/08/12
Converted Organics Inc. DE 5.07,9.01 06/08/12
COSTAR GROUP INC DE 5.02,5.03,5.07,9.01 06/05/12
CPI AEROSTRUCTURES INC NY 1.01,8.01,9.01 06/07/12
CTI INDUSTRIES CORP DE 5.07 06/08/12
DEERE & CO DE 8.01,9.01 06/05/12
DELTA APPAREL, INC GA 5.02,9.01 06/06/12
DELTA PETROLEUM CORP/CO CO 1.01,9.01 06/04/12
DENBURY RESOURCES INC DE 7.01,9.01 06/06/12
DEVON ENERGY CORP/DE DE 5.02,5.03,5.07,9.01 06/06/12
DEX ONE Corp DE 3.01,9.01 06/04/12
DGT Holdings Corp. NY 2.02,9.01 06/07/12
DIGIRAD CORP DE 5.08,8.01 06/08/12
Digital Domain Media Group, Inc. FL 1.01,3.02,9.01 06/07/12
DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 5.02,5.03,5.07,9.01 06/06/12
DYNASIL CORP OF AMERICA NJ 2.03 06/07/12
EAGLE ROCK ENERGY PARTNERS L P DE 5.02,5.07 06/08/12
EATON VANCE CORP MD 1.01,1.02,2.03,3.03, 06/04/12
9.01
EDGEWATER TECHNOLOGY INC/DE/ DE 5.02,5.07,9.01 06/06/12
ELECTRONIC SYSTEMS TECHNOLOGY INC WA 5.02,8.01,9.01 06/05/12
Ellington Financial LLC DE 7.01,9.01 06/07/12
ENDEAVOUR INTERNATIONAL CORP NV 1.01,1.02,2.01,2.03, 05/31/12 AMEND
9.01
Energy Recovery, Inc. DE 5.02,5.07 06/05/12
ENERNOC INC DE 5.07 06/06/12
ENVIRONMENTAL TECTONICS CORP PA 8.01 06/08/12
EPIQ SYSTEMS INC MO 5.07 06/05/12
Evercore Partners Inc. DE 5.07 06/07/12
EXELIXIS INC DE 8.01 05/30/12
Expedia, Inc. 5.07 06/05/12
FEDERAL AGRICULTURAL MORTGAGE CORP 8.01,9.01 06/07/12
Federal Home Loan Bank of Boston X1 2.03 06/04/12
FERRELLGAS PARTNERS L P DE 2.02,7.01,9.01 06/08/12
Fibrocell Science, Inc. DE 1.01,3.02,9.01 06/07/12
Fibrocell Science, Inc. DE 1.01 06/07/12
FIDUS INVESTMENT Corp MD 5.07 06/06/12
FIRST CORP /CN/ CO 1.01,2.01,2.03,9.01 06/04/12
FIRST FARMERS & MERCHANTS CORP TN 4.01,9.01 06/08/12 AMEND
First Financial Northwest, Inc. WA 8.01 06/07/12
FIRST REAL ESTATE INVESTMENT TRUST OF NJ 2.02,9.01 06/08/12
Firsthand Technology Value Fund, Inc. 8.01,9.01 06/08/12
FNBH BANCORP INC MI 5.07 05/24/12 AMEND
Fortress International Group, Inc. DE 5.02,5.07,9.01 06/06/12
Fresh Market, Inc. DE 5.07 06/06/12
FSP 303 East Wacker Drive Corp. 1.01,9.01 06/05/12
FSP PHOENIX TOWER CORP 1.01 06/04/12
FTI CONSULTING INC MD 5.07 06/06/12
FTI CONSULTING INC MD 8.01,9.01 06/06/12
FuLuCai Productions Ltd. NV 1.02 04/04/12
GAMCO INVESTORS, INC. ET AL NY 8.01 06/08/12
GASCO ENERGY INC NV 5.07 06/06/12
GENERAL STEEL HOLDINGS INC NV 2.02,4.02,8.01,9.01 05/28/12
GENESEE & WYOMING INC DE 5.02 06/05/12
GENSPERA INC DE 5.07 06/05/12
GEOKINETICS INC DE 7.01,9.01 06/08/12
GERON CORP DE 1.01,9.01 06/04/12
Golden Minerals Co 5.07 05/24/12
GREIF INC DE 2.02,7.01,8.01,9.01 06/06/12
Griffin-American Healthcare REIT II, MD 1.01,2.03,8.01,9.01 06/08/12
Griffin-American Healthcare REIT II, MD 8.01 06/06/12
GTJ REIT, Inc. MD 5.07 06/07/12
Guru Health Inc NV 8.01 06/04/12
Hampden Bancorp, Inc. DE 8.01,9.01 06/05/12
HANCOCK FABRICS INC DE 2.02,5.03,5.05,9.01 06/07/12
HANGER, INC. DE 8.01,9.01 06/08/12
HARRIS & HARRIS GROUP INC /NY/ NY 5.07 06/07/12
HAVERTY FURNITURE COMPANIES INC MD 1.01,3.03,9.01 06/08/12
HAWTHORN BANCSHARES, INC. MO 5.07 06/08/12
Heelys, Inc. DE 5.07 06/07/12
HEMISPHERX BIOPHARMA INC DE 5.02,8.01,9.01 06/05/12
HENNESSY ADVISORS INC 1.01,9.01 06/06/12
HIBBETT SPORTS INC 5.02,7.01,9.01 06/08/12
Horizon Lines, Inc. 5.02,5.07,9.01 06/07/12
HURCO COMPANIES INC IN 2.02,9.01 06/08/12
IDENIX PHARMACEUTICALS INC DE 5.07 06/07/12
IMAX CORP A6 5.02,5.07 06/05/12
IMPERVA INC DE 5.02,5.07 06/07/12
Independence Energy Corp. NV 8.01 06/07/12
InfuSystem Holdings, Inc DE 1.01,3.03,9.01 06/08/12
INNOTRAC CORP GA 5.07 06/07/12
INTEGRAMED AMERICA INC DE 5.07 06/05/12
Intellicell Biosciences, Inc. NV 1.01,2.03,3.02,9.01 06/07/12
InterDigital, Inc. PA 5.07 06/07/12
INTERMUNE INC DE 5.02,5.07,9.01 06/04/12
INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 06/08/12
ISIS PHARMACEUTICALS INC DE 5.07 06/07/12
J&J SNACK FOODS CORP NJ 8.01,9.01 06/08/12
JOHNSON & JOHNSON NJ 8.01 06/08/12
KMG CHEMICALS INC TX 2.02,9.01 06/08/12
KRAFT FOODS INC VA 3.01,9.01 06/08/12
LEHMAN ABS CORP CORP BACKED TRUST CER DE 8.01,9.01 06/01/12
Limelight Networks, Inc. DE 5.02,5.07 06/07/12
Lithium Exploration Group, Inc. NV 1.01,3.02,5.02,9.01 05/01/12
LIVEPERSON INC DE 5.07,9.01 06/07/12
LOGITECH INTERNATIONAL SA 2.05,9.01 04/23/12 AMEND
LOJACK CORP MA 5.02 06/04/12
Longhai Steel Inc. NV 1.01,3.02,9.01 06/08/12
Manitex International, Inc. MI 5.07 06/07/12
MARKETAXESS HOLDINGS INC 5.07 06/07/12
MARTHA STEWART LIVING OMNIMEDIA INC DE 5.02 06/06/12
McEwen Mining Inc. CO 7.01,9.01 06/08/12
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 06/01/12
Merriman Holdings, Inc DE 4.01,9.01 06/04/12
MET PRO CORP PA 2.02,9.01 06/08/12
MET PRO CORP PA 5.02,5.07,7.01,9.01 06/08/12
MOLINA HEALTHCARE INC DE 7.01,9.01 06/07/12
MORGAN CREEK ENERGY CORP NV 5.03,8.01,9.01 05/30/12
MPG Office Trust, Inc. MD 7.01,8.01,9.01 06/06/12
MRV COMMUNICATIONS INC DE 5.02 06/06/12
MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 06/08/12
NANOPHASE TECHNOLOGIES CORPORATION IL 7.01,9.01 06/08/12
NETGEAR, INC DE 5.02,5.07 06/06/12
NEXT FUEL, INC. NV 3.02,9.01 05/29/12
NORTHSTAR ELECTRONICS INC DE 4.02 06/08/12
NORTHSTAR ELECTRONICS INC DE 4.02 06/08/12
Oak Valley Bancorp CA 7.01,9.01 06/05/12
Omega Flex, Inc. PA 5.07 06/06/12
OMEGA HEALTHCARE INVESTORS INC MD 5.07 06/08/12
ORIENT EXPRESS HOTELS LTD D0 5.07,9.01 06/07/12
OSHKOSH CORP WI 5.02 06/06/12
OWENS & MINOR INC/VA/ VA 1.01,9.01 06/05/12
OXFORD INDUSTRIES INC GA 7.01 06/08/12
Pacific Ethanol, Inc. DE 3.01 06/06/12
PALATIN TECHNOLOGIES INC DE 5.07 06/07/12
Pandora Media, Inc. DE 5.07 06/06/12
PATTERSON UTI ENERGY INC DE 5.07 06/07/12
PENSECO FINANCIAL SERVICES CORP PA 5.02 06/04/12
People's United Financial, Inc. DE 7.01,9.01 06/08/12
PEOPLES EDUCATIONAL HOLDINGS MN 3.01 06/05/12
PETROLEUM DEVELOPMENT CORP NV 5.03,5.07 06/07/12
PHARMACYCLICS INC DE 7.01,9.01 06/06/12
PHH CORP MD 5.07 06/06/12
POPULAR INC 7.01,9.01 06/08/12
PPL Corp 7.01,8.01,9.01 06/08/12
PPL Corp 7.01,8.01,9.01 06/07/12
PPL Corp 8.01 05/31/12
PROGRESS SOFTWARE CORP /MA MA 2.02,9.01 06/07/12
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 5.02,9.01 10/27/11 AMEND
R F INDUSTRIES LTD NV 2.02,9.01 06/07/12
RAMTRON INTERNATIONAL CORP DE 5.07 06/05/12
Rand Logistics, Inc. DE 7.01,9.01 06/08/12
RENTECH INC /CO/ CO 5.07 06/05/12
Resource Real Estate Opportunity REIT MD 1.01 06/06/12
RIMAGE CORP MN 5.02 06/05/12
Rio Bravo Oil, Inc. NV 1.01,2.01,2.03,3.02, 05/18/12
5.03,9.01
RUBY TUESDAY INC GA 5.02 06/04/12
rue21, inc. DE 5.07 06/08/12
SALESFORCE COM INC DE 1.01,5.02,5.07,9.01 06/07/12
SAPIENT CORP DE 5.02,5.07,8.01,9.01 06/07/12
SAVIENT PHARMACEUTICALS INC DE 2.04,9.01 06/04/12
SCIENTIFIC LEARNING CORP DE 5.07 06/05/12
Scio Diamond Technology Corp NV 1.01,3.02 06/05/12
ScripsAmerica, Inc. DE 4.01,9.01 06/07/12
SEACOR HOLDINGS INC /NEW/ DE 5.07 06/07/12
Seneca Foods Corp NY 2.02,9.01 03/31/12
SENOMYX INC DE 5.07 06/07/12
Shire plc 8.01,9.01 06/08/12
SHUTTERFLY INC DE 5.02 06/05/12
SILLENGER EXPLORATION CORP. NV 1.01 06/05/12
SILLENGER EXPLORATION CORP. NV 1.01 06/05/12 AMEND
Silver Falcon Mining, Inc. DE 1.01,2.03,9.01 06/07/12
SIMPSON MANUFACTURING CO INC /CA/ DE 5.02,9.01 06/05/12
SOLTA MEDICAL INC DE 5.07 06/07/12
STAPLES INC DE 5.02,5.03,5.07,9.01 06/04/12
STARBUCKS CORP WA 5.02 06/05/12
SUBURBAN PROPANE PARTNERS LP DE 7.01 06/08/12
SUN RIVER ENERGY, INC CO 1.01,1.02,9.01 02/24/12
SUNOVIA ENERGY TECHNOLOGIES INC NV 5.02,9.01 06/04/12
TANDY LEATHER FACTORY INC DE 5.07 06/05/12
TANGOE INC DE 5.07 06/06/12
TAUBMAN CENTERS INC MI 5.07 06/07/12
TEMPUR PEDIC INTERNATIONAL INC DE 7.01,9.01 06/08/12
Territorial Bancorp Inc. MD 5.07 05/23/12 AMEND
TESCO CORP 1.01,2.01,9.01 06/04/12
TESLA MOTORS INC DE 5.02,5.03,5.07,9.01 06/05/12
TESORO CORP /NEW/ DE 1.01,9.01 06/06/12
TEXTRON INC DE 5.02 06/04/12
TGC INDUSTRIES INC TX 5.07 06/05/12
Timberline Resources Corp DE 7.01,9.01 06/07/12
TIME WARNER INC. DE 8.01,9.01 04/17/12
TMS International Corp. DE 5.07 06/06/12
TORTOISE CAPITAL RESOURCES CORP 5.02 06/06/12
TOYS R US INC DE 2.02,9.01 06/08/12
TPC Group Inc. DE 5.07 06/05/12
TRANS1 INC 5.07 06/05/12
tw telecom inc. DE 5.07 06/07/12
U. S. Premium Beef, LLC 8.01,9.01 06/08/12
UMH PROPERTIES, INC. MD 5.07 06/08/12
UNIGENE LABORATORIES INC DE 7.01 06/08/12
United Continental Holdings, Inc. DE 8.01,9.01 06/07/12
UNITED RENTALS INC /DE DE 5.02,5.07 06/08/12
UNITEDHEALTH GROUP INC MN 5.07 06/04/12
USA TECHNOLOGIES INC PA 7.01,9.01 06/08/12
VERTEX PHARMACEUTICALS INC / MA MA 5.02 06/08/12
VIDAROO Corp 1.01 06/04/12
Vitacost.com, Inc. DE 5.07 06/08/12
Vitamin Shoppe, Inc. DE 5.07 06/07/12
VONAGE HOLDINGS CORP DE 1.01,3.03,8.01,9.01 06/07/12
VONAGE HOLDINGS CORP DE 5.07 06/07/12
Vystar Corp GA 5.07 06/04/12
Walker & Dunlop, Inc. MD 1.01,9.01 06/07/12
Wayside Technology Group, Inc. DE 5.07 06/06/12
Western Refining, Inc. DE 7.01 06/08/12
WILSHIRE BANCORP INC 8.01,9.01 06/07/12
WIRELESS RONIN TECHNOLOGIES INC MN 5.02,5.07 06/07/12
WISCONSIN ENERGY CORP WI 7.01,9.01 06/08/12
WMI HOLDINGS CORP. WA 8.01,9.01 06/07/12
XCEL ENERGY INC MN 8.01 06/07/12
XPO Logistics, Inc. 3.01,9.01 06/08/12
YA ZHU SILK, INC. NV 1.01,2.01,3.02,5.01, 02/20/12 AMEND
5.06,9.01
ZIX CORP TX 5.02,5.07 06/06/12
http://www.sec.gov/news/digest/2012/dig061212.htm
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