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SEC News Digest
Issue 2012-114
June 13, 2012
Commission Announcements
Securities and Exchange Commission Suspends Trading in the Securities of Five Issuers For Failure to Make Required Periodic Filings
The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on June 13, 2012 and terminating at 11:59 p.m. EDT on June 26, 2012.
- ROK Entertainment Group, Inc. (ROKE)
- RussOil Corp. (RUSO)
- Tricell, Inc. (TCLL)
- Tunex International, Inc. (n/k/a Aone Dental International Group, Inc.) (AODG)
- Wireless Age Communications, Inc. (WLSA)
The Commission temporarily suspended trading in the securities of these five issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-67191)
Enforcement proceedings
In the Matter of James Fleishman
On June 12, 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 James Fleishman (Fleishman). The Order finds that Fleishman was a sales manager at Primary Global Research LLC (PGR) from at least 2008 through December 2010, and he held Series 7 and 63 licenses that were registered with a broker-dealer affiliate of PGR during the relevant time period. On May 7, 2012, a final judgment was entered by consent against Fleishman, permanently enjoining him from future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled SEC v. Longoria et al., Civil Action No. 11-CV-0753 (S.D.N.Y.). On September 20, 2011, Fleishman was convicted of one count of conspiracy to commit securities fraud and one count of conspiracy to commit wire fraud in violation of Title 18 United States Code, Sections 371 and 1349, before the United States District Court for the Southern District of New York, in United States v. James Fleishman, 11-cr-00032 (JSR).
Based on the above, the Order bars Fleishman from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. It also bars Fleishman from participating in any offering of a penny stock. Fleishman consented to the issuance of the Order. (Rel. 34-67190; File No. 3-14913)
Commission Orders Hearings on Registration Suspension or Revocation Against Five Companies for Failure to Make Required Periodic Filings
In conjunction with these trading suspensions, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of five companies for failure to make required periodic filings with the Commission:
- ROK Entertainment Group, Inc. (ROKE)
- RussOil Corp. (RUSO)
- Tricell, Inc. (TCLL)
- Tunex International, Inc. (n/k/a Aone Dental International Group, Inc.) (AODG)
- Wireless Age Communications, Inc. (WLSA)
In this Order, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission.
In these proceedings, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceedings will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in the proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-67192; File No. 3-14914)
Anthracite Capital Inc.
An Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default (Default Order) in Anthracite Capital Inc., Admin. Proc. 3-14870 on June 13, 2012. The Default Order finds that Anthracite Capital, Inc., Auto Data Network Inc., Avenue Group, Inc., Ckrush, Inc., Clickable Enterprises, Inc., and DCI USA, Inc., issuers of securities registered pursuant to Section 12 of the Securities Exchange Act of 1934 (Exchange Act), have failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Securities and Exchange Commission. As a result, the Administrative Law Judge ordered that the registration of each class of registered securities of each named Respondent is revoked. (Rel. 34-67193; File No. 3-14870)
In the Matter of Steven H. Bethke
On June 13, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 17A of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Steven H. Bethke, a resident of Houston, Texas, and the former principal of an unregistered transfer agent, First National Trust Company.
On May 31, 2012, the Commission filed a civil injunctive action against Bethke in the United States District Court for the Southern District of Texas (Court), alleging that, while acting as transfer agent to Bederra Corporation (Bederra), Bethke misappropriated Bederra stock certificates and used them to issue over one billion shares of Bederra common stock without authorization from Bederra. Bethke sold the shares, which were unregistered, for his own account, in exchange for payments of approximately $355,250. Bethke also fabricated officers’ certificates and company resolutions in connection with the sale of the shares.
On June 5, 2012, the Court entered a final judgment against Bethke, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder.
Based on the above, the Order bars Bethke from association with any transfer agent, broker, dealer, investment adviser, or municipal securities dealer. Bethke consented to the issuance of the Order without admitting or denying any of the findings in the Order, other than admitting entry of the injunction. (Rel. 34-67197; File No. 3-14915)
Self Regulatory Organizations
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NYSE Arca, Inc. amending Commentary .07 to NYSE Arca Rule 6.4 allowing the Exchange to open Short Term Option Series that are opened by other securities exchanges in option classes selected by other exchanges under their respective Short Term Option rules (SR-NYSEArca-2012-60) 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. 34-67178)
A proposed rule change, (SR-Phlx-2012-77), filed by NASDAQ OMX PHLX LLC, relating to market participant categories, rebates and fees for adding and removing liquidity in Select Symbols and Multiply Listed Options 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. 34-67189)
Proposed Rule Changes
The Commission issued notice of a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2012-55) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of the STAR™ Global Buy-Write ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of June 11. (Rel. 34-67183)
NYSE MKT LLC filed a proposed rule change under Rule 19b-4 of the Securities Exchange Act of 1934 (SR-NYSEMKT-2012-07) amending Independence Policy of the board of directors of NYSE Euronext and creating new Independence Policy for boards of directors of the New York Stock Exchange LLC, NYSE MKT LLC, NYSE Regulation, Inc. and NYSE Market, Inc. Publication is expected in the Federal Register during the week of June 11. (Rel. 34-67184)
New York Stock Exchange LLC filed a proposed rule change under Rule 19b-4 of the Securities Exchange Act of 1934 (SR-NYSE-2012-17) amending Independence Policy of the board of directors of NYSE Euronext and creating new Independence Policy for boards of directors of the New York Stock Exchange LLC, NYSE MKT LLC, NYSE Regulation, Inc. and NYSE Market, Inc. Publication is expected in the Federal Register during the week of June 11. (Rel. 34-67185)
NYSE Arca, Inc. filed a proposed rule change under Rule 19b-4 of the Securities Exchange Act of 1934 (SR-NYSEArca-2012-59) amending Independence Policy of the board of directors of NYSE Euronext and creating new Independence Policy for boards of directors of the New York Stock Exchange LLC, NYSE MKT LLC, NYSE Regulation, Inc. and NYSE Market, Inc. Publication is expected in the Federal Register during the week of June 11. (Rel. 34-67186)
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. F-10 Gold Standard Ventures Corp., SUITE 610 ? 815 WEST HASTINGS STREET,
VANCOUVER, A1, V6C 1B4, 604-669-5702 - 0 ($29,578,000.00) Equity,
(File 333-182057 - Jun. 12) (BR. 09B)
S-1 VENZA GOLD CORP., SUITE 610, 1100 MELVILLE STREET, VANCOUVER, A1,
V6E 4A6, 604-306-2525 - 6,443,328 ($644,332.80) Equity,
(File 333-182059 - Jun. 12) (BR. 09)
S-4 HORNBECK OFFSHORE SERVICES INC /LA, 103 NORTHPARK BOULEVARD, SUITE 300,
COVINGTON, LA, 70433, 9857272000 -
0 ($375,000,000.00) Non-Convertible Debt, (File 333-182061 - Jun. 12)
(BR. 05A)
S-8 ACE Ltd, BARENGASSE 32, ZURICH CH-8001, V8, 00000, 441 295 5200 -
0 ($107,235,000.00) Equity, (File 333-182062 - Jun. 12) (BR. 01A)
S-3ASR 3D SYSTEMS CORP, 333 THREE D SYSTEMS CIRCLE, ROCK HILL, SC, 29730,
8033263900 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-182065 - Jun. 12) (BR. 03A)
S-8 KRAFT FOODS INC, THREE LAKES DRIVE, NORTHFIELD, IL, 60093, 8476462000 -
0 ($18,915,000.00) Equity, (File 333-182066 - Jun. 12) (BR. 04A)
S-8 NORTHSTAR REALTY FINANCE CORP., 399 PARK AVENUE,, 18TH FLOOR, NEW YORK,
NY, 10022, 212-547-2640 - 0 ($27,445,000.00) Equity, (File 333-182067 -
Jun. 12) (BR. 08B)
S-8 Heckmann Corp, 300 CHERRINGTON PARKWAY, SUITE 200, CORAOPOLIS, PA,
15108, 412-329-7275 - 0 ($15,550,000.00) Equity, (File 333-182068 -
Jun. 12) (BR. 04B)
S-3ASR SAKS INC, 12 EAST 49TH STREET, NEW YORK, NY, 10017, (212) 940-5305 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-182069 - Jun. 12)
(BR. 02B)
S-3 GigOptix, Inc., 130 BAYTECH DRIVE, SAN JOSE, CA, 95134,
(408) 522-3100 - 0 ($20,000,000.00) Unallocated (Universal) Shelf,
(File 333-182070 - Jun. 12) (BR. 10A)
S-1 Aim Exploration Inc., SUITE 514, VGP CENTER, 6772 AYALA AVENUE,
MAKATI CITY, MANILA, R6, 00000, 206-274-4598 -
13,500,000 ($135,000.00) Equity, (File 333-182071 - Jun. 12) (BR. )
F-1 HUNT MINING CORP, 1611 N MOLTER ROAD, SUITE 201, LIBERTY LAKE, WA,
99019, 509-892-5287 - 50,000,000 ($5,000,000.00) Equity,
(File 333-182072 - Jun. 12) (BR. )
S-1 ENTEST BIOMEDICAL, INC., 4700 SPRING STREET, ST 203, LA MESA, CA,
91941, (619) 702-1404 - 46,238,705 ($157,211.60) Equity,
(File 333-182073 - Jun. 12) (BR. 05B)
S-8 COHERENT INC, 5100 PATRICK HENRY DR, SANTA CLARA, CA, 95054,
4087644000 - 0 ($42,580,000.00) Equity, (File 333-182074 - Jun. 12)
(BR. 10A)
S-1 MOTORCAR PARTS AMERICA INC, 2929 CALIFORNIA STREET, TORRANCE, CA,
90503, 3109724015 - 1,936,000 ($8,266,720.00) Equity,
(File 333-182075 - Jun. 12) (BR. 10B)
S-4 Cazador Acquisition Corp Ltd., C/O ARCO CAPITAL MANAGEMENT LLC,
7 SHEINOVO STREET, SOFIA, E0, 1504, 359 2 895 2000 -
34,831,092 ($343,957,033.50) Equity, (File 333-182076 - Jun. 12)
(BR. 11A)
S-3 STAR SCIENTIFIC INC, 16 SOUTH MARKET STREET, PETERSBURG, VA, 23803,
8048610681 - 10,835,254 ($36,530,687.70) Equity, (File 333-182077 -
Jun. 12) (BR. 05C)
S-3 UTAH MEDICAL PRODUCTS INC, 7043 S 300 WEST, MIDVALE, UT, 84047,
8015661200 - 2,000,000 ($2,000,000.00) Equity, (File 333-182078 -
Jun. 12) (BR. 10B)
S-3 ONE LIBERTY PROPERTIES INC, 60 CUTTER MILL RD, SUITE 303, GREAT NECK,
NY, 11021-3190, 5164663100 - 0 ($13,837,500.00) Equity,
(File 333-182080 - Jun. 12) (BR. 08C)
S-8 ONE LIBERTY PROPERTIES INC, 60 CUTTER MILL RD, SUITE 303, GREAT NECK,
NY, 11021-3190, 5164663100 - 0 ($11,070,000.00) Equity,
(File 333-182081 - Jun. 12) (BR. 08C)
S-8 SEACOR HOLDINGS INC /NEW/, 2200 ELLER DRIVE, PO BOX 13038,
FORT LAUDERDALE, FL, 33316, 954 523-2200 -
1,000,000 ($85,950,000.00) Equity, (File 333-182082 - Jun. 12) (BR. 05C)
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
-----------------------------------------------------------------------------------------
ACORDA THERAPEUTICS INC 8.01 06/11/12
Activision Blizzard, Inc. DE 5.02,5.07,9.01 06/07/12
AEROSONIC CORP /DE/ DE 2.02,9.01 06/11/12
AGR TOOLS, INC. NV 1.01,9.01 05/29/12 AMEND
ALERE INC. DE 8.01 06/11/12
Alexza Pharmaceuticals Inc. DE 5.03,9.01 06/12/12
Allison Transmission Holdings Inc DE 7.01,9.01 06/12/12
ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 1.01,2.03,8.01,9.01 06/11/12
Alphatec Holdings, Inc. DE 1.01,8.01,9.01 05/21/12
AMERCO /NV/ NV 5.02 06/06/12
AMEREN CORP MO 8.01 06/12/12
AMERICA FIRST TAX EXEMPT INVESTORS LP DE 8.01 06/12/12
AMERICAN EXPRESS CREDIT CORP DE 9.01 06/12/12
American Railcar Industries, Inc. ND 1.01,5.02,9.01 06/08/12
AMERICAN REALTY CAPITAL - RETAIL CENT MD 5.07 06/06/12
American Realty Capital Daily Net Ass MD 5.07 06/06/12
AMERICAN REALTY CAPITAL NEW YORK RECO MD 5.07 06/06/12
American Realty Capital Properties, I MD 5.07 06/12/12
American Realty Capital Properties, I MD 8.01,9.01 06/12/12
American Realty Capital Trust, Inc. DE 5.07 06/06/12
AMERICAN VANGUARD CORP DE 5.07 06/07/12
AMKOR TECHNOLOGY INC DE 8.01 06/11/12
Ampio Pharmaceuticals, Inc. DE 7.01,9.01 06/11/12
ANALYSTS INTERNATIONAL CORP 5.02,9.01 06/08/12
ANIKA THERAPEUTICS INC MA 5.07 06/07/12
Anoteros, Inc. NV 5.02 06/06/12
APARTMENT INVESTMENT & MANAGEMENT CO MD 7.01,9.01 06/12/12
Aquasil International Inc. NV 5.02 06/11/12
ARBOR REALTY TRUST INC MD 1.01,9.01 06/07/12
ARGAN INC DE 2.02,9.01 06/11/12
Artio Global Investors Inc. DE 7.01,9.01 06/12/12
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 06/12/12
ASTA FUNDING INC DE 8.01,9.01 06/12/12
ASTEA INTERNATIONAL INC DE 5.07 06/12/12
Babcock & Wilcox Co DE 1.01,2.03,9.01 06/08/12
BANCORPSOUTH INC MS 7.01,9.01 06/12/12
BANKATLANTIC BANCORP INC FL 7.01,9.01 06/12/12
BAYLAKE CORP WI 1.02,9.01 06/04/12
BAZI INTERNATIONAL, INC. NV 1.01,2.03,3.02,5.03, 06/07/12
8.01,9.01
BB&T CORP NC 7.01,9.01 06/12/12
BG Medicine, Inc. DE 5.02,5.07 06/11/12
BIOMIMETIC THERAPEUTICS, INC. DE 5.05,5.07,8.01,9.01 06/07/12
BIOVEST INTERNATIONAL INC DE 1.01,9.01 06/06/12
BJs RESTAURANTS INC CA 8.01,9.01 06/12/12
BKF CAPITAL GROUP INC DE 8.01,9.01 06/12/12
BREEZE-EASTERN CORP DE 2.02,9.01 06/12/12
Bristow Group Inc DE 7.01,9.01 06/12/12
Burlington Coat Factory Investments H 7.01,9.01 06/12/12
Business Development Corp of America MD 5.07 06/06/12
CABELAS INC DE 5.02,5.07,9.01 06/06/12
Care Investment Trust Inc. MD 5.02,5.07 06/07/12
CAREER EDUCATION CORP DE 8.01,9.01 06/07/12
CASCADE CORP OR 2.02,9.01 06/07/12
CASCADE CORP OR 5.07,7.01,9.01 06/06/12
CASEYS GENERAL STORES INC IA 2.02,5.02,7.01,9.01 06/12/12
CASTLE A M & CO MD 8.01,9.01 06/12/12
Cazador Acquisition Corp Ltd. E9 8.01,9.01 06/12/12
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 06/11/12
Chelsea Therapeutics International, L DE 5.07 06/12/12
CHENIERE ENERGY INC DE 1.02,8.01,9.01 06/11/12
Cheniere Energy Partners, L.P. DE 3.02,3.03,5.03,8.01, 06/11/12
9.01
CHINACAST EDUCATION CORP DE 8.01 06/12/12
ChromaDex Corp. DE 5.02,7.01,9.01 06/12/12
Circle Entertainment, Inc. DE 1.01,2.03,5.02,9.01 06/07/12
CLAIRES STORES INC DE 5.02,9.01 06/06/12
Clean Coal Technologies Inc. NV 1.01,9.01 05/31/12
CMS ENERGY CORP MI 8.01 06/07/12
CNL LIFESTYLE PROPERTIES INC MD 9.01 06/08/12
COBIZ FINANCIAL INC CO 5.02 06/06/12
COLUMBIA SPORTSWEAR CO OR 5.07 06/07/12
COMPLIANCE SYSTEMS CORP 1.01,9.01 06/07/12
Consolidated Communications Holdings, DE 5.07,8.01,9.01 06/12/12
COPART INC CA 5.02 06/05/12
CORELOGIC, INC. DE 1.01,5.02,9.01 06/06/12
CORPORATE EXECUTIVE BOARD CO DE 5.07 06/07/12
COVER ALL TECHNOLOGIES INC DE 5.07 06/12/12
COWEN GROUP, INC. DE 5.07 06/12/12
CubeSmart MD 2.02,7.01,9.01 06/12/12
CYS Investments, Inc. MD 7.01 06/11/12
CYTOKINETICS INC 8.01 06/12/12
Data Call Technologies 4.01,9.01 06/08/12
DELL INC DE 5.02,7.01,8.01,9.01 06/11/12
DIGAGOGO VENTURES CORP DE 5.02 06/04/12
Discover Card Execution Note Trust DE 1.01,8.01,9.01 06/12/12
DUKE REALTY CORP IN 7.01,9.01 06/12/12
DUKE REALTY LIMITED PARTNERSHIP/ IN 7.01,9.01 06/12/12
ECB BANCORP INC NC 8.01 06/12/12
ECB BANCORP INC NC 5.02,5.07 06/07/12
ELIZABETH ARDEN INC FL 7.01,9.01 06/12/12
ENERGY EDGE TECHNOLOGIES CORP. NJ 1.01,9.01 06/11/12
Entertainment Gaming Asia Inc. NV 5.03,9.01 06/12/12
EQUITY LIFESTYLE PROPERTIES INC MD 2.02,7.01,9.01 06/11/12
ERESEARCHTECHNOLOGY INC /DE/ DE 8.01 06/12/12
ESSEX PROPERTY TRUST INC MD 7.01,9.01 06/12/12
FACTSET RESEARCH SYSTEMS INC DE 2.02,9.01 06/12/12
Federal Home Loan Bank of Atlanta X1 2.03 06/12/12
Federal Home Loan Bank of Chicago X1 2.03 06/06/12
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 06/07/12
Federal Home Loan Bank of Des Moines X1 2.03,9.01 06/08/12
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 06/12/12
Federal Home Loan Bank of New York X1 2.03,9.01 06/06/12
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 06/06/12
Federal Home Loan Bank of San Francis X1 2.03 06/06/12
Federal Home Loan Bank of Topeka 2.03,9.01 06/06/12
FEDERAL MOGUL CORP DE 5.02,9.01 06/06/12
First Advantage Bancorp 8.01 06/12/12
FIRST POTOMAC REALTY TRUST MD 7.01 06/12/12
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 06/12/12
FOREST CITY ENTERPRISES INC OH 7.01,9.01 06/12/12
FREDERICK'S OF HOLLYWOOD GROUP INC /N NY 2.02,9.01 06/12/12
FURMANITE CORP DE 2.05,9.01 06/08/12
GENERAL ELECTRIC CAPITAL CORP CT 3.03,8.01,9.01 06/08/12
GENERAL ELECTRIC CO NY 5.02 06/12/12
GenMark Diagnostics, Inc. DE 7.01,9.01 06/12/12
GEOGLOBAL RESOURCES INC. DE 5.02,8.01,9.01 06/12/12
GFI Group Inc. DE 5.07,9.01 06/07/12
GLIMCHER REALTY TRUST MD 8.01,9.01 06/12/12
GLOBAL PAYMENTS INC GA 8.01,9.01 06/12/12
GLOBAL POWER EQUIPMENT GROUP INC. DE 5.02,9.01 06/06/12
GLOBETRAC INC DE 5.02,8.01,9.01 06/11/12
GLU MOBILE INC DE 5.07 06/07/12
GOLD CREST MINES INC NV 5.02,8.01 06/08/12
GOLD CREST MINES INC NV 5.02 06/11/12
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 06/08/12
Great Lakes Dredge & Dock CORP DE 7.01,9.01 06/12/12
GREAT WALL BUILDERS LTD. TX 1.01 06/07/12
GT Advanced Technologies Inc. DE 5.02,9.01 06/06/12
GULFMARK OFFSHORE INC DE 5.07 06/07/12
GXS Worldwide, Inc. DE 5.07 06/06/12
HEALTH ENHANCEMENT PRODUCTS INC NV 5.02 06/07/12
HEALTH ENHANCEMENT PRODUCTS INC NV 8.01,9.01 06/12/12
HEALTHCARE TRUST OF AMERICA, INC. MD 1.02 06/06/12
HEALTHCARE TRUST OF AMERICA, INC. MD 1.02,9.01 06/06/12 AMEND
Hudson Pacific Properties, Inc. MD 5.02,5.07,9.01 06/07/12
IDERA PHARMACEUTICALS, INC. DE 3.01,9.01 06/07/12
IHS Inc. DE 7.01,9.01 06/12/12
Independence Energy Corp. NV 1.01,9.01 06/08/12
INLAND REAL ESTATE CORP MD 7.01,9.01 06/08/12
Interactive Brokers Group, Inc. DE 1.01,9.01 06/06/12
Intermec, Inc. DE 2.05,7.01,9.01 06/12/12
INTERNATIONAL PAPER CO /NEW/ NY 5.02 06/07/12
IPC The Hospitalist Company, Inc. DE 5.02,5.07,9.01 06/07/12
JACK IN THE BOX INC /NEW/ DE 7.01,9.01 06/12/12
Jazz Pharmaceuticals plc L2 1.01,2.01,2.03,8.01, 06/12/12
9.01
JETBLUE AIRWAYS CORP DE 7.01,9.01 06/12/12
JOHNSON & JOHNSON NJ 1.01,8.01,9.01 06/12/12
JONES LANG LASALLE INC MD 7.01,9.01 06/12/12
JPMORGAN CHASE & CO DE 8.01,9.01 06/11/12
KAISER ALUMINUM CORP DE 5.02,5.07,9.01 06/07/12
KEYCORP /NEW/ OH 8.01 06/12/12
KRONOS WORLDWIDE INC 5.02,7.01,9.01 06/11/12
LAKELAND INDUSTRIES INC DE 8.01,9.01 06/12/12
LIONS GATE ENTERTAINMENT CORP /CN/ A1 8.01 06/12/12
LIQTECH INTERNATIONAL INC NV 5.02 06/06/12
Lone Pine Resources Inc. DE 7.01,9.01 06/11/12
M&F BANCORP INC /NC/ NC 5.07 06/11/12
MAM SOFTWARE GROUP, INC. DE 8.01,9.01 06/12/12
MANAGEMENT NETWORK GROUP INC 3.03,5.02,5.03,5.07, 06/07/12
9.01
MASCO CORP /DE/ DE 5.02 06/06/12
Matador Resources Co TX 5.07 06/07/12
MAVERICK MINERALS CORP NV 1.01,2.01,8.01,9.01 06/08/12
MCGRATH RENTCORP CA 5.07 06/06/12
Measurement Specialties Inc NJ 2.02,9.01 06/06/12
METALICO INC 8.01,9.01 06/12/12
MICRONETICS INC DE 1.01,5.02,8.01,9.01 06/08/12
MIDDLEFIELD BANC CORP OH 5.02,9.01 06/11/12
Midway Gold Corp A1 7.01,9.01 06/12/12
MINDSPEED TECHNOLOGIES, INC DE 1.01,9.01 06/12/12
Molycorp, Inc. DE 5.02 06/11/12
Monarch Financial Holdings, Inc. VA 1.01,2.03,9.01 06/12/12
Monster Beverage Corp DE 5.07 06/08/12
Motors Liquidation Co DE 8.01,9.01 06/12/12
MRC GLOBAL INC. DE 7.01,9.01 06/12/12
NATUS MEDICAL INC DE 5.07 06/08/12
Net Element, Inc. DE 8.01,9.01 06/12/12
NETWORK EQUIPMENT TECHNOLOGIES INC DE 5.02 06/07/12
NEWPARK RESOURCES INC DE 5.07 06/07/12
NEWS CORP 8.01,9.01 06/12/12
NORTHERN TRUST CORP DE 7.01,9.01 06/12/12
NORTHSTAR REALTY FINANCE CORP. MD 1.01,2.03,3.02,8.01, 06/06/12
9.01
NORTHWESTERN CORP DE 7.01,9.01 06/12/12
NUPATHE INC. DE 5.07 06/07/12
NuStar Energy L.P. DE 1.01,1.02,2.03,9.01 06/06/12
Oak Ridge Financial Services, Inc. NC 5.07 06/07/12
OMNI BIO PHARMACEUTICAL, INC. CO 1.01,2.03,3.02 06/11/12
OMNICARE INC DE 5.01,9.01 06/10/12
OMNICELL, Inc CA 8.01,9.01 06/12/12
ONE LIBERTY PROPERTIES INC MD 5.02,5.03,5.07,8.01, 06/12/12
9.01
One2one Living Corp NV 3.03,5.03,9.01 05/14/12
OPEN TEXT CORP A6 5.02 06/12/12
ORCHARD SUPPLY HARDWARE STORES CORP DE 2.02,9.01 06/12/12
ORGANA GARDENS INTERNATIONAL 5.03 06/08/12
ORION ENERGY SYSTEMS, INC. WI 2.02,9.01 06/07/12
PALADIN REALTY INCOME PROPERTIES INC MD 7.01,9.01 06/12/12
Pay Mobile, Inc NV 1.01,5.02 06/11/12
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 5.02,5.03,5.07,9.01 06/07/12
Piedmont Office Realty Trust, Inc. MD 7.01,9.01 06/12/12
PLATINUM ENERGY SOLUTIONS, INC. NV 4.02 06/11/12
PNC FINANCIAL SERVICES GROUP, INC. PA 2.02,9.01 06/12/12
POLYMEDIX, INC DE 1.01,9.01 06/11/12
PRIMUS TELECOMMUNICATIONS GROUP INC DE 5.07 06/12/12
PROTEONOMIX, INC. DE 4.01,9.01 06/12/12
PRUDENTIAL FINANCIAL INC NJ 8.01,9.01 06/12/12
QC Holdings, Inc. KS 5.07,8.01 06/06/12
QKL Stores Inc. DE 3.03,5.03,8.01,9.01 06/11/12
RADIAN GROUP INC DE 5.02 06/06/12
RadNet, Inc. DE 5.07 06/07/12
RAMCO GERSHENSON PROPERTIES TRUST MD 5.02,5.07,9.01 06/06/12
RBC LIFE SCIENCES, INC. DE 5.02,5.07 06/07/12
REPRO MED SYSTEMS INC NY 8.01,9.01 06/07/12
Resource Real Estate Opportunity REIT MD 9.01 03/27/12 AMEND
RETAIL PROPERTIES OF AMERICA, INC. MD 7.01,9.01 06/12/12
RIDER EXPLORATION INC NV 5.03,9.01 03/29/12
ROCKY BRANDS, INC. OH 1.01,3.03,9.01 06/07/12
RTG VENTURES INC FL 1.01,2.01,5.02,9.01 06/12/12
SCHULMAN A INC DE 1.01,9.01 06/09/12
SCOTTS MIRACLE-GRO CO OH 2.02,9.01 06/12/12
Silver Falcon Mining, Inc. DE 8.01 06/11/12
SORL Auto Parts Inc DE 5.07 06/07/12
SOUTHWESTERN PUBLIC SERVICE CO NM 8.01,9.01 06/12/12
SSI Investments II Ltd L2 2.02,9.01 06/12/12
STAGE STORES INC NV 8.01,9.01 06/11/12
STERIS CORP OH 8.01 05/31/12
Swisher Hygiene Inc. DE 5.02,9.01 06/06/12
SYSCO CORP DE 1.01,2.03,9.01 06/06/12
TearLab Corp DE 8.01 06/06/12
TELVUE CORP DE 5.07 06/11/12
Texas Rare Earth Resources Corp. NV 8.01 06/08/12
THERAGENICS CORP DE 1.01,5.04,8.01,9.01 06/12/12
THOR INDUSTRIES INC DE 2.02,5.02,9.01 06/07/12
Tonix Pharmaceuticals Holding Corp. NV 7.01,9.01 06/12/12
TOYS R US INC DE 7.01,9.01 06/12/12
TPG Specialty Lending, Inc. DE 5.07 06/11/12
TRANZYME INC DE 5.07 06/07/12
UDR, Inc. MD 7.01,9.01 06/11/12
UNIGENE LABORATORIES INC DE 5.02,9.01 06/08/12
UNITED INSURANCE HOLDINGS CORP. DE 5.02,9.01 06/08/12
United Maritime Group, LLC FL 1.02,2.01 06/11/12
UNITED ONLINE INC DE 7.01,9.01 06/11/12
UniTek Global Services, Inc. DE 3.02 06/11/12
UNIVERSAL HEALTH SERVICES INC DE 5.02 06/11/12
US BANCORP \DE\ DE 7.01,9.01 06/12/12
UWHARRIE CAPITAL CORP NC 2.02,9.01 06/12/12
VALOR GOLD CORP. DE 3.02,4.01,9.01 06/08/12
VIPER POWERSPORTS INC NV 2.06,4.02 06/12/12
VirtualScopics, Inc. DE 2.02,7.01,9.01 06/12/12
Vocus, Inc. DE 5.07 06/07/12
Vu1 CORP CA 5.02 06/06/12
Walker & Dunlop, Inc. MD 8.01,9.01 06/12/12
WEBSTER FINANCIAL CORP DE 7.01 06/12/12
Wendy's Co DE 2.01,9.01 06/11/12
WILSHIRE BANCORP INC 4.01,9.01 06/06/12
World Energy Solutions, Inc. DE 5.02,9.01 06/06/12
ZYNGA INC DE 5.07 06/08/12
ZYNGA INC DE 2.01,8.01 03/02/12 AMEND
http://www.sec.gov/news/digest/2012/dig061312.htm
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