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Commission announcementsSecurities and Exchange Commission Suspends Trading in the Securities of Six Issuers For Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on July 12, 2012 and terminating at 11:59 p.m. EDT on July 25, 2012.
The Commission temporarily suspended trading in the securities of these six issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-67417) Enforcement proceedingsDelinquent Filers’ Stock Registrations RevokedThe registrations of the registered securities of ROK Entertainment Group, Inc., Tricell, Inc., and Tunex International, Inc. (n/k/a Aone Dental International Group, 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. 34-67416; File No. 3-14914) Commission Orders Hearings on Registration Suspension or Revocation Against Seven Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, 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 seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the seven issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-67418; File No. 3-14946) In the Matter of Stanley Ng, C.P.A.The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order and Order of Suspension Pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice (Order) against Stanley Ng, C.P.A. The Order finds that Ng is a Certified Public Accountant licensed in California (although his license is currently inactive). From 2002 through 2011, Ng worked in the finance department of Marvell Technology Group, Ltd., serving as the company’s “SEC Reporting Manager” from 2002 until September 2010. In late 2007 and 2008, Ng participated in an insider trading scheme with his friends Winifred Jiau and Son Ngoc Nguyen. In exchange for stock tips from Jiau and Nguyen, Ng provided them with material, nonpublic information regarding the financial performance of his employer, Marvell. In May 2008, Ng provided material information regarding Marvell’s quarterly earnings to both Jiau and Nguyen in advance of the company disclosing this information to the public. Jiau and Nguyen executed securities trades while in possession of that material nonpublic information and reaped $6,464 in combined profits from those trades. By providing Marvell earnings information to Jiau and Nguyen, Ng violated the duty he owed to Marvell to keep all material nonpublic information concerning the company confidential, as well as a specific company policy which prohibits the tipping of material nonpublic information to persons outside Marvell. As a result of the conduct described above, Ng violated Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, which prohibit fraudulent conduct in connection with the purchase or sale of securities. On December 7, 2011, Ng pleaded guilty to one count of conspiracy to commit securities fraud and wire fraud before the United States District Court for the Southern District of New York in U.S. v. Ng, S4 11-cr-161 (JSR). On May 9, 2012, Ng was sentenced to two years of probation, ordered to forfeit $6,464 and fined $2,000. Based on the above, the Order requires Ng to cease and desist from committing or causing any violations and any future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Order also suspends Ng from appearing or practicing before the Commission pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice, and bars him from acting as an officer or director of any issuer that has a class of securities registered pursuant to Section 12 of the Exchange Act or that is required to file reports pursuant to Section 15(d) of the Exchange Act. The Order requires Ng to pay disgorgement of $6,464 and prejudgment interest of $984.23, for a total of $7,448.23, although Ng’s obligations to pay disgorgement in the amount of $6,464 will be credited dollar for dollar by the amount of the forfeiture order of in his criminal case. Finally, the Order requires Ng to pay a civil monetary penalty of $6,464. (Rel. 34-67423; AAE Rel. 3393; File No. 3-14947) In the Matter of Florin S. IloviciThe United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Florin S. Ilovici (Ilovici). In the Order, the Division of Enforcement alleges that, on July 5, 2012 a final judgment was entered against Ilovici in the civil action entitled Securities and Exchange Commission v. Florin S. Ilovici, et al., Civil Action No. 3:11-CV-00981-WWE in the United States District Court for the District of Connecticut, permanently enjoining him from future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Order further states that, in view of the allegations made by the Division of Enforcement, the Commission deems it necessary and appropriate in the public interest that public administrative proceedings be instituted to determine what, if any, remedial action is appropriate in the public interest against Ilovici pursuant to Section 15(b) of the Exchange Act. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Ilovici with an opportunity to respond to these allegations, and to determine what sanctions, if any, are necessary and appropriate in the public interest. The Order directs the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order on the respondent. (Rel. 34-67425; File No. 3-14948) Court Issues Final Judgment Enforcing Prior Order of the Commission Against Rodney R. SchoemannOn July 11, 2012, the Honorable Mary Ann Vial Lemmon of the United States District Court for the Eastern District of Louisiana ordered, pursuant to Section 20(c) of the Securities Act of 1933 (“Securities Act”), a writ of mandamus commanding Rodney R. Schoemann to fully comply with a prior Order of the Commission entered against him. Specifically, the District Court ordered Schoemann to pay $967,901 in disgorgement, and to pay prejudgment interest owed on that amount to date in the amount of $472,850.89. The final judgment concluded that Schoemann failed to comply with the terms of a final order of the Commission issued in In the Matter of Thomas J. Dudchik and Rodney R. Schoemann, Administrative Proceeding File No. 3-12943. The Commission’s earlier order had found Schoemann in violation of the registration provisions of the federal securities laws in connection with his sales of stock in Stinger Systems, Inc. in November 2004, had ordered him to cease and desist from further violations of Section 5 of the Securities Act, and had ordered him to pay $967,901 in disgorgement and prejudgment interest thereon. As of the filing of the action in federal court to enforce the earlier order of the Commission, Schoemann had not paid any portion of the amount previously ordered by the Commission. Schoemann consented to the entry of the instant judgment against him in district court, without admitting or denying the allegations of the Commission’s complaint. [SEC v. Rodney R. Schoemann, Civil Action No. 12-134, Section “N”(3), E.D.La.] (LR-22414) INVESTMENT COMPANY ACT RELEASESVersus Capital Multi-Manager Real Estate Income Fund LLC and Versus Capital Advisors LLCAn order has been issued on an application filed by Versus Capital Multi-Manager Real Estate Income Fund LLC and Versus Capital Advisors LLC under Section 6(c) of the Investment Company Act of 1940 (Act) granting an exemption from Sections 18(c) and 18(i) of the Act, under Sections 6(c) and 23(c)(3) of the Act granting an exemption from Rule 23c-3 under the Act, and pursuant to Section 17(d) of the Act and Rule 17d-1 under the Act. The order permits certain registered closed-end management investment companies to issue multiple classes of shares and to impose asset-based distribution fees and early withdrawal charges. (Rel. IC-30133 - July 10) AmericaFirst Quantitative Trust and AmericaFirst Securities, Inc.A notice has been issued giving interested persons until August 3, 2012, to request a hearing on an application filed by AmericaFirst Quantitative Trust and AmericaFirst Securities, Inc. (AFSI) for an order: (a) under Section 6(c) of the Investment Company Act of 1940 (Act) for exemptions from Sections 2(a)(32), 2(a)(35), 22(d) and 26(a)(2)(C) of the Act and Rule 22c-1 thereunder to permit certain unit investment trusts to impose sales charges on a deferred basis and waive the deferred sales charge in certain cases; (b) under Sections 11(a) and 11(c) of the Act to approve certain exchange and rollover privileges; (c) under Section 6(c) of the Act for an exemption from Section 14(a) of the Act to permit the unit investment trust series to publicly offer their units without AFSI having to take for its own account or place with others $100,000 worth of units; and (d) under Section 6(c) of the Act for an exemption from Section 19(b) of the Act and Rule 19b-1 thereunder to permit the series to distribute capital gains resulting from the sale of portfolio securities within a reasonable time after receipt. (Rel. IC-30134 – July 10) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the NASDAQ Stock Market LLC (SR-NASDAQ-2012-83) relating to customer rebates in penny pilot options has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67388) A proposed rule change filed by the NASDAQ Stock Market LLC (SR-NASDAQ-2012-81) to delay the implementation date for non-display of primary pegged orders with an offset amount has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67389) A proposed rule change (SR-Phlx-2012-88) relating to routing fees to BX Options has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67398) A proposed rule change (SR-Phlx-2012-94) filed by NASDAQ OMX PHLX LLC relating to the extension of a pilot program regarding Price Improvement XL has become effective under Section 19(b)(3)(A) under the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67399) A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-63) to amend fees and rebates for certain complex orders executed on the Exchange has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67400) A proposed rule change filed by NYSE Arca, Inc. relating to the AdvisorShares Active Bear ETF (SR-NYSEArca-2012-68) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67401) A proposed rule change filed by the NASDAQ Stock Market LLC (SR-NASDAQ-2012-080) to modify Chapter XV, Section 2, governing pricing for NASDAQ members using the NASDAQ Options Market has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67402) A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-64) to amend fees for certain complex orders executed on the Exchange has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67403) A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-62) to amend fees for certain orders executed on the Exchange has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67404) A proposed rule change filed by New York Stock Exchange LLC to the Transaction Fees and Credits within Its Price List (SR-NYSE-2012-22) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67408) A proposed rule change filed by C2 Options Exchange, Incorporated relating to continuous quotes (SR-C2-2012-022) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67409) A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to continuous electronic quotes (SR-CBOE-2012-064) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67410) A proposed rule change filed by NASDAQ OMX PHLX LLC to PSX Rule 3301(f)(8) concerning the processing of the Price to Comply Order (SR-Phlx-2012-91) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67412) A proposed rule change filed by The NASDAQ Stock Market LLC to Rule 4751(f)(7) concerning the processing of the Price to Comply Order (SR-NASDAQ-2012-084) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67413) A proposed rule change filed by NASDAQ OMX BX, Inc. to Rule 4751(f)(7) concerning the processing of the Price to Comply Order (SR-BX-2012-050) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67414) Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule ChangesThe Commission has issued an order instituting proceedings under Section 19(b)(2) of the Securities Exchange Act of 1934 to determine whether to approve or disapprove proposed rule changes (SR-NASDAQ-2012-043; SR-NYSEArca-2012-37) filed by The NASDAQ Stock Market LLC and NYSE Arca, Inc. relating to market maker incentive programs for certain exchange-traded products. Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67411) 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 BankGuam Holding Co, 111 CHALAN SANTO PAPA, 10TH FLOOR - HEADQUARTERS BUILDING, HAGATNA, GU, 96932, 671-472-5271 - 0 ($13,125,000.00) Equity, (File 333-182615 - Jul. 11) (BR. 07) S-3 Atlas Resource Partners, L.P., 412-489-0006 - 0 ($148,674,081.00) Equity, (File 333-182616 - Jul. 11) (BR. 04A) S-8 MINDEN BANCORP, INC., 100 MBL BANK DRIVE, MINDEN, LA, 71055, (318) 377-0523 - 123,836 ($1,578,762.00) Equity, (File 333-182618 - Jul. 11) (BR. 07C) S-8 GroveWare Technologies Ltd., 1006 - 20 EGLINTON AVE. W., TORONTO, A6, M4R 1K8, 416-644-5111 - 300,000,000 ($210,000.00) Equity, (File 333-182619 - Jul. 11) (BR. 03B) S-1 EUROSITE POWER INC, 45 FIRST AVENUE, WALTHAM, MA, 02451, 781 622 1120 - 30,000,000 ($30,000,000.00) Equity, (File 333-182620 - Jul. 11) (BR. 02) S-3 China Biologic Products, Inc., NO.14 EAST HUSHAN ROAD, TAI'AN CITY, SHANDONG, F4, 271000, 86-538-620-3897 - 1,197,647 ($11,641,429.00) Equity, (File 333-182624 - Jul. 11) (BR. 01A) S-8 Graystone Co, 2620 REGATTA DRIVE, STE 102, LAS VEGAS, NV, 89128, 7025825535 - 30,000,000 ($300,000.00) Equity, (File 333-182625 - Jul. 11) (BR. 03B) S-8 ALCO STORES INC, 401 COTTAGE AVENUE, ABILENE, KS, 67410, 7852633350 - 0 ($4,370,000.00) Equity, (File 333-182626 - Jul. 11) (BR. 02A) S-8 CAPITOL BANCORP LTD, CAPITOL BANCORP CENTER, 200 WASHINGTON SQUARE NORTH, LANSING, MI, 48933, 5174876555 - 5,000,000 ($625,000.00) Equity, (File 333-182627 - Jul. 11) (BR. 07C) S-3ASR FINISH LINE INC /IN/, 3308 N MITTHOEFFER RD, INDIANAPOLIS, IN, 46235, 3178991022 - 1,205,950 ($24,601,380.00) Equity, (File 333-182628 - Jul. 11) (BR. 09B) 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 ADTRAN INC DE 2.02,9.01 07/10/12 Advaxis, Inc. DE 1.01,3.02,9.01 07/05/12 American Assets Trust, Inc. MD 5.07 07/10/12 AMERICAN CAMPUS COMMUNITIES INC MD 1.01,9.01 07/10/12 AMERICAN DEFENSE SYSTEMS INC DE 5.02 07/03/12 AMERICAN INTERNATIONAL GROUP INC DE 5.02,9.01 07/11/12 American Realty Capital Properties, I MD 8.01,9.01 07/11/12 American Sands Energy Corp. DE 8.01 06/15/12 AMEND AMP Holding Inc. NV 1.01,3.02,9.01 07/02/12 API Technologies Corp. DE 2.02,9.01 07/11/12 Apple REIT Ten, Inc. VA 1.01 07/06/12 ARISTOCRAT GROUP CORP. FL 5.02 07/09/12 ARTS WAY MANUFACTURING CO INC DE 2.02,9.01 07/11/12 AtheroNova Inc. DE 8.01,9.01 07/09/12 BEAZER HOMES USA INC DE 8.01,9.01 07/11/12 BEAZER HOMES USA INC DE 8.01,9.01 07/11/12 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 1.01 07/05/12 Booz Allen Hamilton Holding Corp DE 7.01,9.01 07/11/12 BRUKER CORP DE 5.02 07/10/12 CABOT CORP DE 5.02 07/10/12 CALIX, INC 2.02,9.01 07/11/12 CASTLE A M & CO MD 8.01,9.01 07/11/12 CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.01,3.02,3.03,5.02, 07/08/12 8.01,9.01 CENTURY BANCORP INC MA 2.02,9.01 07/10/12 CENTURY BANCORP INC MA 8.01,9.01 07/10/12 CHEVRON CORP DE 2.02 07/11/12 China Advanced Construction Materials DE 1.02,9.01 07/11/12 CIG WIRELESS CORP. NV 8.01 06/30/12 CIRCLE STAR ENERGY CORP. NV 7.01,9.01 07/11/12 COGNIZANT TECHNOLOGY SOLUTIONS CORP 5.02 07/09/12 COMMUNITY BANCORP /VT VT 2.02,9.01 07/10/12 COOPER COMPANIES INC DE 8.01,9.01 07/11/12 Copano Energy, L.L.C. 8.01,9.01 07/11/12 CoroWare, Inc, DE 3.03,9.01 07/11/12 COSI INC DE 1.01,3.02,3.03,8.01, 07/09/12 9.01 CPI CORP DE 8.01 07/03/12 CYCLONE POWER TECHNOLOGIES INC FL 3.02,9.01 06/06/12 DEL TORO SILVER CORP. NV 1.01,3.02,9.01 07/09/12 DiamondRock Hospitality Co 8.01,9.01 07/09/12 Diversified Restaurant Holdings, Inc. NV 1.02 07/05/12 Dutch Gold Resources Inc CO 1.01 07/11/12 DYAX CORP DE 1.01 07/02/12 DYNEGY INC. DE 3.01 07/06/12 EAGLE ROCK ENERGY PARTNERS L P DE 8.01,9.01 07/10/12 Eastern Resources, Inc. DE 1.01,2.01,3.02,5.01, 04/06/12 AMEND 5.02,9.01 EASTMAN KODAK CO NJ 8.01 07/11/12 ECO Building Products, Inc. CO 1.01,2.03,5.01,9.01 07/06/12 EDAC TECHNOLOGIES CORP WI 5.02,9.01 07/06/12 EDUCATIONAL DEVELOPMENT CORP DE 2.02,9.01 07/11/12 ELEPHANT TALK COMMUNICATIONS CORP DE 5.02 07/11/12 ENERGY CONVERSION DEVICES INC DE 4.01,9.01 07/10/12 EnerJex Resources, Inc. NV 8.01,9.01 07/11/12 EURASIA DESIGN INC. NV 1.01,2.01,3.02,5.03, 07/06/12 5.06,8.01,9.01 EVCARCO, INC. NV 1.01,9.01 07/03/12 FAR EAST ENERGY CORP NV 1.01,9.01 07/05/12 FASTENAL CO MN 7.01,9.01 07/11/12 FEDERAL REALTY INVESTMENT TRUST MD 5.02,9.01 07/09/12 First California Financial Group, Inc DE 7.01,9.01 07/09/12 FIRST FINANCIAL HOLDINGS INC /DE/ DE 1.01,2.01,9.01 04/27/12 AMEND FIRST FINANCIAL SERVICE CORP KY 2.01,8.01,9.01 07/06/12 FIVE STAR QUALITY CARE INC 8.01 07/06/12 FLEETCOR TECHNOLOGIES INC DE 7.01,9.01 07/11/12 FX ENERGY INC NV 8.01,9.01 07/11/12 GALLAGHER ARTHUR J & CO DE 1.01,2.03,7.01,9.01 07/11/12 GLOBALSCAPE INC DE 7.01 07/11/12 Golub Capital BDC, Inc. DE 2.02,9.01 07/11/12 GRAPHITE CORP NV 5.02 07/09/12 Graystone Co DE 3.02 07/06/12 HEALTHCARE SERVICES GROUP INC PA 2.02,9.01 07/10/12 HEMISPHERX BIOPHARMA INC DE 7.01,9.01 06/08/12 HI TECH PHARMACAL CO INC NY 2.02,9.01 07/10/12 Hicks Acquisition CO II, Inc. 8.01,9.01 07/10/12 HOLOGIC INC DE 8.01,9.01 07/11/12 HOLOGIC INC DE 2.02,7.01,9.01 07/11/12 Home Federal Bancorp, Inc. of Louisia LA 7.01,9.01 07/11/12 HomeTrust Bancshares, Inc. MD 8.01,9.01 07/09/12 Horizon Technology Finance Corp DE 2.02 07/11/11 IHS Inc. DE 7.01,9.01 07/11/12 InspireMD, Inc. DE 7.01,8.01,9.01 07/05/12 INTEGRATED DEVICE TECHNOLOGY INC DE 8.01,9.01 07/11/12 INTERNATIONAL BANCSHARES CORP TX 8.01,9.01 07/11/12 Internet Patents Corp 5.02 07/10/12 Invesco Ltd. D0 7.01,9.01 07/11/12 IPARTY CORP DE 8.01,9.01 07/11/12 Jacksonville Bancorp, Inc. MD 2.02,9.01 07/11/12 Kallo Inc. NV 7.01,9.01 07/10/12 KB HOME DE 8.01,9.01 07/11/12 KCAP Financial, Inc. DE 8.01,9.01 07/11/12 KEMET CORP DE 8.01,9.01 07/11/12 KLA TENCOR CORP DE 2.02 07/10/12 LBO CAPITAL CORP CO 8.01 06/30/12 LEXARIA CORP. NV 7.01,9.01 07/11/12 LIGHTING SCIENCE GROUP CORP DE 5.02,9.01 07/05/12 LOUISIANA-PACIFIC CORP DE 1.01,9.01 07/06/12 LUCID INC NY 1.01,2.03,9.01 07/05/12 LUNA INNOVATIONS INC DE 1.01,9.01 07/10/12 MARINE PRODUCTS CORP DE 8.01,9.01 07/10/12 MARRIOTT INTERNATIONAL INC /MD/ DE 2.02,9.01 07/11/12 MATERIAL SCIENCES CORP DE 2.02,9.01 07/11/12 MEDIANET GROUP TECHNOLOGIES INC NV 1.01,8.01,9.01 07/05/12 MILESTONE SCIENTIFIC INC. DE 5.07 06/06/12 MINDEN BANCORP, INC. LA 7.01,9.01 07/11/12 MPG Office Trust, Inc. MD 1.01,7.01,9.01 07/10/12 N-VIRO INTERNATIONAL CORP DE 8.01,9.01 07/11/12 NB&T FINANCIAL GROUP INC OH 5.02 07/10/12 NEKTAR THERAPEUTICS DE 1.01,2.03,7.01,9.01 07/11/12 New Mountain Finance Corp DE 2.02 07/11/12 NEW YORK MORTGAGE TRUST INC MD 7.01,9.01 07/11/12 NEW YORK MORTGAGE TRUST INC MD 8.01 07/11/12 NEWS CORP 8.01,9.01 07/11/12 NORTHERN OIL & GAS, INC. 2.02,9.01 07/11/12 NORTHERN TECHNOLOGIES INTERNATIONAL C DE 2.02,9.01 07/11/12 NUTRI SYSTEM INC /DE/ DE 5.07 06/06/12 ORASURE TECHNOLOGIES INC DE 1.01,8.01,9.01 07/10/12 Orexigen Therapeutics, Inc. DE 8.01 07/11/12 ORIGINOIL INC NV 8.01,9.01 07/11/12 Oryon Technologies, Inc. NV 5.02 07/09/12 Pacific Copper Corp. DE 5.02 07/05/12 Patriot Coal CORP DE 7.01,9.01 07/10/12 Pebblebrook Hotel Trust MD 5.07 07/10/12 PENFORD CORP WA 1.01,2.02,2.03,8.01, 07/09/12 9.01 PENNS WOODS BANCORP INC PA 5.02 07/10/12 PHYHEALTH Corp DE 2.01,5.01,8.01 07/05/12 Polypore International, Inc. 8.01,9.01 07/11/12 POW! ENTERTAINMENT, INC. DE 7.01,9.01 07/11/12 PROGAMING PLATFORMS CORP DE 5.02 07/10/12 QLT INC/BC A1 2.05,5.02,8.01,9.01 07/09/12 QUALCOMM INC/DE DE 5.02,5.03,9.01 07/08/12 REFLECT SCIENTIFIC INC UT 1.01,9.01 06/29/07 AMEND ROOMLINX INC NV 5.02 07/06/12 ROYAL CARIBBEAN CRUISES LTD 5.02,9.01 07/10/12 RPC INC DE 8.01,9.01 07/10/12 SAPIENT CORP DE 5.02 07/05/12 SEARCH BY HEADLINES.COM CORP. NV 1.01,2.03,9.01 07/06/12 SENIOR HOUSING PROPERTIES TRUST MD 5.03,8.01,9.01 07/10/12 Seven Arts Entertainment Inc. NV 3.01,9.01 07/03/12 Shoshone Silver/Gold Mining Co ID 8.01 07/10/12 Shoshone Silver/Gold Mining Co ID 8.01 07/10/12 AMEND SMARTHEAT INC. NV 1.01,5.02,9.01 07/10/12 SOUTH CAROLINA ELECTRIC & GAS CO SC 8.01,9.01 07/10/12 Spirit Airlines, Inc. DE 2.02,7.01,9.01 07/11/12 STANDARD REGISTER CO OH 8.01,9.01 07/11/12 Stevia Corp NV 1.01,3.02,9.01 07/05/12 STRATS (SM) TRUST FOR JPMORGAN CHASE 8.01,9.01 07/02/12 STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 06/29/12 Strats(SM) Trust for JPMorgan Chase C 8.01,9.01 07/02/12 STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 07/02/12 SUPERVALU INC DE 2.02,8.01,9.01 07/11/12 TECH DATA CORP FL 8.01,9.01 07/10/12 Tianli Agritech, Inc. D8 1.01,9.01 06/28/12 TOYOTA MOTOR CREDIT CORP CA 7.01,9.01 07/11/12 Transcept Pharmaceuticals Inc DE 8.01 07/09/12 Transcept Pharmaceuticals Inc DE 7.01,9.01 07/11/12 TRANSCONTINENTAL GAS PIPE LINE COMPAN DE 8.01,9.01 07/10/12 TRANSUNION CORP. 5.02 07/11/12 TWO RIVERS WATER Co CO 7.01 07/11/12 UNION FIRST MARKET BANKSHARES CORP VA 5.02,9.01 07/09/12 UNIT CORP DE 8.01,9.01 07/11/12 UNITED MINES INC AZ 5.02,8.01,9.01 07/06/12 UNIVERSAL DETECTION TECHNOLOGY CA 8.01,9.01 07/05/12 VALENCE TECHNOLOGY INC DE 3.01,5.02,9.01 07/05/12 Vantage Drilling CO E9 5.07 07/10/12 Verastem, Inc. DE 1.01,8.01,9.01 07/11/12 VICTORY ENERGY CORP NV 4.01,9.01 06/18/12 AMEND Viggle Inc. DE 8.01 07/11/12 VII Peaks-KBR Co-Optivist Income BDC MD 8.01,9.01 07/10/12 VIKING INVESTMENTS GROUP, INC. NV 5.02 03/29/12 VISTA GOLD CORP B0 7.01,9.01 07/11/12 VSB BANCORP INC NY 2.02,9.01 07/10/12 Wells Timberland REIT, Inc. MD 1.01 07/11/12 Western Refining, Inc. DE 7.01,9.01 07/11/12 WHIRLPOOL CORP /DE/ DE 8.01 07/11/12 WISCONSIN ENERGY CORP WI 7.01,9.01 07/11/12 Woodward Energy Partners Inc. DE 4.01 07/11/12 AMEND XERIUM TECHNOLOGIES INC DE 5.02,9.01 07/11/12 Zoro Mining Corp. NV 5.02 07/05/12
http://www.sec.gov/news/digest/2012/dig071212.htm
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