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Commission announcementsCommission MeetingsClosed Meeting on Thursday, July 19, 2012 at 10:00 a.m.The subject matter of the Closed Meeting scheduled for Thursday, July 19, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; a litigation matter; an adjudicatory matter; and other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. 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. (LR-22414) Enforcement proceedingsIn 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 No. 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) In The Matter of Charles Michael VaughnThe 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 Charles Michael Vaughn (Vaughn). The Order alleges that on October 24, 2011, Vaughn entered a guilty plea to one count of wire fraud in violation of Title 18 United States Code, Sections 1343 and 2 before the United States District Court for the Northern District of Georgia, in United States v. Charles Michael Vaughn, Indictment No. 1:11-CR-310-RWS. As detailed in the negotiated plea agreement, between July 2004 and October 2007, Vaughn induced more than 50 individuals to invest in a purported pooled investment fund that he claimed earned annual returns from 15 to 50 percent. However, as alleged in the plea agreement, rather than actually investing investor funds in the pooled investment fund, Vaughn misappropriated such funds to finance various private companies that he owned and/or operated and also to pay his personal expenses and to repay earlier investors. The Order further alleges that during the period from August 2001 through March 2008, Vaughn was the sole owner and principal of CM Vaughn, LLC, an unregistered broker based in multiple locations in and around Atlanta, Georgia. A public hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, to provide Vaughn an opportunity to respond to the allegations, and to determine what, if any, remedial sanctions are 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. (Rel. 34-67426; File No. 3-14949) In the Matter of Fashion Fantasia Co.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) in Fashion Fantasia Co., Admin. Proc. File No. 3-14910. The Order Instituting Proceedings alleged that each Respondent repeatedly failed to timely file periodic reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true as to Fashion Fantasia Co., Fedders Corp. (n/k/a FC Liquidating, Inc.), Fifth Dimension, Inc., Fischel Holdings, Inc., Fortunata, Inc., GCA II Acquisition Corp., and GCA III Acquisition Corp. and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-67428; File No. 3-14910) In the Matter of Stream Communications Network & Media, Inc.On July 13, 2012, the Commission revoked the registration of each class of registered securities of Stream Communications Network & Media, Inc. (Stream Communications) (stock symbol SCNWF) 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, Stream Communications 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 Stream Communications Network & Media, 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 Stream Communications’ securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Stream Communications in In the Matter of Stream Communications Network & Media, Inc., Administrative Proceeding File No. 3-14916. (Rel. 34-67429; File No. 3-12916) In the Matter of Artes Medical, Inc.On July 13, 2012, the Commission revoked the registration of each class of registered securities of Artes Medical, Inc. (ARTEQ) 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, ARTEQ 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 Artes Medical, 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 ARTEQ’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against ARTEQ in In the Matter of Alderox, Inc., et al., Administrative Proceeding File No. 3-14886. (Rel. 34-67430; File No. 3-14886) In the Matter of Future Now Group, Inc.On July 13, 2012, the Commission revoked the registration of each class of registered securities of Future Now Group, Inc. (Future Now Group) (stock symbol FUTR) 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, Future Now Group 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 Future Now Group, 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 Future Now Group’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Future Now Group in In the Matter of Future Now Group, Inc., et al. (Rel. 34-67431; File No. 3-14902) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangeNYSE Arca, Inc. filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-NYSEArca-2012-70) amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services. Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67424) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change (SR-NYSEArca-2012-71) filed by NYSE Arca, Inc. relating to amendments to the NYSE Arca Options Fee Schedule to increase the posted liquidity credit for Market Makers 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. 34-67419) A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2012-17) amending the NYSE Amex Options Fee Schedule for Professional Customers and Broker-Dealers to increase the transaction fee for electronic executions and introduce volume-based tiers for certain electronic executions that would be charged a lower per contract rate 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. 34-67420) A proposed rule change filed by BATS Y-Exchange, Inc. related to fees for use of BATS Y-Exchange, Inc. (SR-BYX-2012-013) has become effective under Section 19(b)(3)(A) of the Exchange Act. . Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67422) A proposed rule change (SR-FINRA-2012-034) filed by the Financial Industry Regulatory Authority, Inc. to amend TRACE reporting rules relating to transfers of TRACE-Eligible Securities to create or redeem instruments such as ETFs 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. 34-67427) Order Approving A Proposed Rule ChangeThe Commission approved a proposed rule change submitted by NYSE Amex LLC (SR-NYSEAmex-2012-31) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 defining a Primary Specialist in each options class and modifying the Specialist entitlement accordingly. Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67421) 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-1 GS Valet, Inc., 4315 LEMAC DRIVE, HOUSTON, TX, 77096, 732-851-3527 - 975,000 ($9,750.00) Equity, (File 333-182629 - Jul. 12) (BR. 05) S-1 Delek Logistics Partners, LP, 7102 COMMERCE WAY, BRENTWOOD, TN, 37027, (615) 771-6701 - 0 ($135,000,000.00) Limited Partnership Interests, (File 333-182631 - Jul. 12) (BR. 04) F-10 MANULIFE FINANCIAL CORP, 200 BLOOR ST EAST, NORTH TOWER 11, TORONTO ONTARIO CANA, A6, 00000, 4169263500 - 0 ($5,000,000,000.00) Unallocated (Universal) Shelf, (File 333-182632 - Jul. 12) (BR. 01B) S-8 UNIVERSAL SECURITY INSTRUMENTS INC, 11407 CRONHILL DRIVE, SUITES A-D, OWINGS MILLS, MD, 21117-3586, 4103633000 - 120,000 ($595,200.00) Equity, (File 333-182633 - Jul. 12) (BR. 10B) S-3D Lightstone Value Plus Real Estate Investment Trust, Inc., C/O THE LIGHTSTONE GROUP, 326 THIRD STREET, LAKEWOOD, NJ, 08701, (732)367-0129 - 0 ($50,960,296.68) Equity, (File 333-182634 - Jul. 12) (BR. 08C) S-8 HomeTrust Bancshares, Inc., 10 WOODFIN STREET, ASHEVILLE, NC, 28801, 828-259-3939 - 350,000 ($4,035,500.00) Equity, (File 333-182635 - Jul. 12) (BR. 07) N-2 SCS Hedged Opportunities (1099) Fund, LLC, ONE WINTHROP SQUARE, BOSTON, MA, 02110, 617-204-6400 - 0 ($60,000,000.00) Other, (File 333-182637 - Jul. 12) (BR. 17) S-8 CUBIST PHARMACEUTICALS INC, 65 HAYDEN AVENUE, LEXINGTON, MA, 02421, 781-860-8660 - 0 ($195,100,000.00) Equity, (File 333-182638 - Jul. 12) (BR. 01A) S-1 Canfield Medical Supply, Inc., 4120 BOARDMAN-CANFIELD ROAD, CANFIELD, OH, 44406, (330) 533-1914 - 2,700,000 ($675,000.00) Equity, (File 333-182639 - Jul. 12) (BR. ) S-4 LEGG MASON, INC., 100 INTERNATIONAL DRIVE, BALTIMORE, MD, 21202, 4105390000 - 0 ($650,000,000.00) Debt, (File 333-182640 - Jul. 12) (BR. 06A) S-3ASR KELLOGG CO, ONE KELLOGG SQ, P O BOX 3599, BATTLE CREEK, MI, 49016-3599, 2699612000 - 0 ($48,960,000.00) Equity, (File 333-182641 - Jul. 12) (BR. 04B) S-3 DCP Midstream Partners, LP, 370 17TH STREET, SUITE 2775, DENVER, CO, 80202, 720.944.9400 - 4,989,802 ($204,631,780.00) Limited Partnership Interests, (File 333-182642 - Jul. 12) (BR. 02C) S-4 Zayo Group LLC, 400 CENTENNIAL PARKWAY, SUITE 200, LOUISVILLE, CO, 80027, 303-381-4662 - 0 ($1,249,400,000.00) Non-Convertible Debt, (File 333-182643 - Jul. 12) (BR. 11) S-8 BANK OF MONTREAL /CAN/, 1 FIRST CANADIAN PLACE, TORONTO, A6, M5X 1A1, 4168677191 - 2,000,000 ($111,500,000.00) Equity, (File 333-182644 - Jul. 12) (BR. 12A) 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 30DC, INC. MD 7.01,9.01 07/11/12 ACME PACKET INC DE 7.01,9.01 07/12/12 Adama Technologies Corp DE 1.01,9.01 07/09/12 AFFYMAX INC DE 8.01,9.01 07/12/12 ALBEMARLE CORP VA 5.02,5.03,9.01 07/12/12 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 07/12/12 AMARIN CORP PLC\UK X0 5.02,5.07 07/10/12 AMERICAN RIVER BANKSHARES CA 7.01,9.01 07/12/12 Ameris Bancorp GA 1.01,2.01,8.01,9.01 07/06/12 ANGIODYNAMICS INC DE 2.02,9.01 07/12/12 ANTARES PHARMA, INC. DE 5.02,9.01 07/06/12 AP PHARMA INC /DE/ DE 8.01,9.01 07/10/12 ARENA PHARMACEUTICALS INC DE 8.01 07/11/12 ARES CAPITAL CORP MD 3.01 07/09/12 Artio Global Investors Inc. DE 7.01,9.01 07/12/12 AUTOBYTEL INC DE 3.03,5.03,8.01,9.01 07/11/12 AVENTINE RENEWABLE ENERGY HOLDINGS IN DE 1.01,2.03 07/06/12 AVI BIOPHARMA INC OR 5.03,5.07,8.01,9.01 07/10/12 Axius Inc. NV 8.01,9.01 07/05/12 Babcock & Wilcox Co DE 5.02,9.01 07/09/12 BANK OF SOUTH CAROLINA CORP SC 2.02,9.01 07/12/12 Bazaarvoice Inc DE 2.01,9.01 06/12/12 AMEND BE AEROSPACE INC DE 1.01,2.03,9.01 07/09/12 BILL BARRETT CORP DE 7.01,9.01 07/11/12 BioDrain Medical, Inc. MN 5.02 07/01/12 Blue Wolf Mongolia Holdings Corp. D8 5.02 07/09/12 BNC BANCORP NC 1.01,9.01 07/09/12 Bohai Pharmaceuticals Group, Inc. NV 7.01,8.01 07/12/12 CABOT CORP DE 8.01,9.01 07/09/12 Cal Dive International, Inc. DE 2.02,7.01,8.01,9.01 07/11/12 Cal Dive International, Inc. DE 1.01,2.03,9.01 07/09/12 CATALYST PHARMACEUTICAL PARTNERS, INC DE 8.01,9.01 07/12/12 CelLynx Group, Inc. NV 4.01,9.01 05/08/12 AMEND CenterState Banks, Inc. FL 7.01,9.01 07/12/12 Ceres, Inc. DE 2.02,9.01 07/12/12 Chanticleer Holdings, Inc. DE 7.01,9.01 07/12/12 CHDT CORP FL 8.01 07/12/12 CHEESECAKE FACTORY INC DE 8.01,9.01 07/11/12 CHENIERE ENERGY INC DE 8.01,9.01 07/12/12 Cheniere Energy Partners, L.P. DE 8.01,9.01 07/12/12 CIG WIRELESS CORP. NV 1.01,3.02 06/27/12 Cleantech Solutions International, In DE 7.01,9.01 07/09/12 COMMERCE BANCSHARES INC /MO/ MO 2.02,9.01 07/12/12 CONOCOPHILLIPS DE 5.02 07/10/12 CONSOLIDATED GRAPHICS INC /TX/ TX 5.02,7.01,9.01 07/11/12 CRIMSON EXPLORATION INC. 2.02,9.01 07/12/12 DARDEN RESTAURANTS INC FL 1.01,7.01,8.01,9.01 07/12/12 Discover Card Execution Note Trust DE 8.01 07/12/12 Dividend Capital Diversified Property 1.01,5.03,7.01,8.01, 07/11/12 9.01 DORCHESTER MINERALS, L.P. DE 2.02,7.01,9.01 07/12/12 DUMA ENERGY CORP NV 8.01,9.01 07/11/12 EMC CORP MA 8.01,9.01 07/12/12 EMC INSURANCE GROUP INC IA 7.01,9.01 07/12/12 ENERGY CONVERSION DEVICES INC DE 5.02,7.01,9.01 06/01/12 Ensco plc 5.02 07/11/12 ENVESTNET, INC. DE 9.01 05/01/12 AMEND EXCLUSIVE BUILDING SERVICES, INC NV 8.01 07/10/12 EXELON CORP PA 8.01,9.01 07/12/12 FASTENAL CO MN 2.02,9.01 07/11/12 Federal Home Loan Bank of Atlanta X1 2.03 07/12/12 Federal Home Loan Bank of Boston X1 2.03 07/09/12 Federal Home Loan Bank of Chicago X1 2.03 07/09/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 07/12/12 Federal Home Loan Bank of New York X1 2.03,9.01 07/09/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/09/12 Federal Home Loan Bank of San Francis X1 2.03 07/09/12 Federal Home Loan Bank of Topeka 2.03,9.01 07/09/12 Fifth & Pacific Companies, Inc. DE 1.02 07/12/12 FIRST COMMONWEALTH FINANCIAL CORP /PA PA 5.02,9.01 07/08/12 FIRST COMMUNITY CORP /SC/ SC 2.02,7.01,8.01,9.01 07/11/12 FIRST COMMUNITY FINANCIAL CORP PA 5.02 07/01/12 AMEND First Connecticut Bancorp, Inc. MD 5.07 07/12/12 FS Energy & Power Fund DE 2.02,9.01 07/10/12 FS Investment CORP MD 2.02,9.01 07/10/12 FS Investment Corp II MD 2.02,9.01 07/11/12 FUEL DOCTOR HOLDINGS, INC. DE 8.01 07/06/12 FX Alliance Inc. 1.01,3.02,5.01,8.01, 07/08/12 9.01 GASCO ENERGY INC NV 7.01,8.01 07/12/12 GBS Enterprises Inc NV 5.02,7.01,9.01 07/11/12 GELTOLOGY INC DE 5.03,9.01 07/06/12 GEN PROBE INC DE 8.01,9.01 07/10/12 Golub Capital BDC, Inc. DE 2.02,9.01 07/12/12 GRAY TELEVISION INC GA 2.02,9.01 07/12/12 GREYSTONE LOGISTICS, INC. 2.02,7.01,9.01 07/10/12 GRIFFIN LAND & NURSERIES INC DE 2.02,9.01 07/12/12 HALLMARK FINANCIAL SERVICES INC NV 1.01,9.01 07/11/12 HARBINGER GROUP INC. DE 7.01 07/12/12 Hawaiian Telcom Holdco, Inc. DE 8.01,9.01 07/12/12 HOLLY ENERGY PARTNERS LP DE 1.01,1.02,2.01,3.02, 07/12/12 5.03,7.01,9.01 HOLLY ENERGY PARTNERS LP DE 7.01,9.01 07/12/12 HollyFrontier Corp DE 1.01,1.02,7.01,9.01 07/12/12 HOLOGIC INC DE 5.02,9.01 07/10/12 HOME LOAN SERVICING SOLUTIONS, LTD. E9 2.02,9.01 07/12/12 HYUNDAI ABS FUNDING CORP DE 8.01,9.01 07/10/12 ICAHN ENTERPRISES L.P. DE 1.01,2.03,8.01,9.01 07/12/12 ICON ECI FUND FIFTEEN, L.P. DE 8.01 07/12/12 IMMUNOGEN INC MA 1.01,8.01,9.01 07/12/12 Inland American Real Estate Trust, In MD 7.01,9.01 07/12/12 INLAND REAL ESTATE CORP MD 8.01,9.01 07/11/12 ISSUER DIRECT CORP 5.02,9.01 07/06/12 K SWISS INC DE 1.01,9.01 07/12/12 KAISER ALUMINUM CORP DE 8.01,9.01 07/12/12 KBR, INC. DE 5.02,9.01 07/12/12 KBS Legacy Partners Apartment REIT, I MD 5.07 07/09/12 KBS Real Estate Investment Trust II, MD 5.07 07/10/12 KBS Real Estate Investment Trust III, MD 5.07 07/10/12 KBS Real Estate Investment Trust, Inc MD 5.07 07/10/12 KBS Strategic Opportunity REIT, Inc. MD 5.07 07/09/12 Kentucky First Federal Bancorp 8.01,9.01 07/10/12 KEYCORP /NEW/ OH 5.02,9.01 07/11/12 KINGOLD JEWELRY, INC. DE 7.01,8.01,9.01 07/12/12 LAKELAND FINANCIAL CORP IN 7.01 07/10/12 LEGEND INTERNATIONAL HOLDINGS INC DE 5.07 06/13/12 LEVEL 3 COMMUNICATIONS INC DE 8.01 07/09/12 LIFEWAY FOODS INC IL 5.07 07/06/12 Lightyear Network Solutions, Inc. NV 5.02 07/09/12 LOOKSMART LTD DE 5.07 07/10/12 LUMINEX CORP DE 1.01,2.01,9.01 07/12/12 Madison Enterprises Group, Inc. DE 4.01 07/06/12 MAINLAND RESOURCES INC. 3.02,9.01 07/10/12 Manitex International, Inc. MI 1.01,7.01,9.01 07/12/12 MARTHA STEWART LIVING OMNIMEDIA INC DE 1.01 07/11/12 MASS MEGAWATTS WIND POWER INC MA 5.03 07/12/12 MEDTOX SCIENTIFIC INC DE 2.02,8.01,9.01 07/12/12 MISSION WEST PROPERTIES INC CA 2.02,9.01 07/11/12 MONARCH CASINO & RESORT INC NV 9.01 04/26/12 AMEND MONSANTO CO /NEW/ DE 1.01,2.03,8.01,9.01 07/12/12 MORRIS PUBLISHING GROUP LLC GA 2.04,8.01 07/11/12 NABI BIOPHARMACEUTICALS DE 5.02 07/06/12 NABI BIOPHARMACEUTICALS DE 5.02 07/06/12 AMEND NATURALLY ADVANCED TECHNOLOGIES INC A1 7.01,9.01 07/12/12 NAVISTAR INTERNATIONAL CORP DE 1.01,9.01 07/12/12 NETLIST INC DE 5.07 07/11/12 NETSOL TECHNOLOGIES INC NV 2.02,9.01 07/12/12 New York & Company, Inc. 7.01,9.01 07/12/12 NEW YORK MORTGAGE TRUST INC MD 7.01,9.01 07/12/12 NEWS CORP 8.01,9.01 07/12/12 NGP Capital Resources Co MD 7.01,9.01 07/12/12 NORTHROP GRUMMAN CORP /DE/ 8.01,9.01 07/11/12 NTELOS HOLDINGS CORP 5.02 07/07/12 OptimumBank Holdings, Inc. FL 7.01,9.01 07/12/12 Pandora Media, Inc. DE 7.01 07/12/12 PANTRY INC DE 8.01,9.01 07/12/12 PDL BIOPHARMA, INC. DE 7.01,9.01 07/12/12 PEOPLES BANCORP INC/MD MD 5.02 07/09/12 PERNIX THERAPEUTICS HOLDINGS, INC. MD 8.01,9.01 07/02/12 Philip Morris International Inc. VA 5.02 05/07/12 AMEND PIONEER NATURAL RESOURCES CO DE 7.01 07/12/12 PLX TECHNOLOGY INC DE 1.01,9.01 07/06/12 PPL Corp 8.01 07/11/12 PREMIER EXHIBITIONS, INC. FL 2.02,9.01 07/11/12 Premier Power Renewable Energy, Inc. DE 5.02,9.01 07/09/12 PROGRESSIVE CORP/OH/ OH 2.02,9.01 07/12/12 PROVIDENCE SERVICE CORP DE 3.01 07/09/12 PURE BIOSCIENCE, INC. DE 1.01,8.01,9.01 07/09/12 QUAINT OAK BANCORP INC 7.01,9.01 07/11/12 QUALITY DISTRIBUTION INC FL 5.02 07/09/12 Raptor Pharmaceutical Corp DE 8.01,9.01 07/11/12 Resource Real Estate Opportunity REIT MD 5.07 07/11/12 RESOURCES CONNECTION INC DE 2.02,9.01 07/12/12 RETRACTABLE TECHNOLOGIES INC TX 3.02,5.02,8.01,9.01 07/10/12 RIDGEWOOD ENERGY K FUND LLC 2.06 07/10/12 RIDGEWOOD ENERGY Q FUND LLC 2.06 07/10/12 ROLLINS INC DE 8.01,9.01 07/11/12 SCIENTIFIC LEARNING CORP DE 2.02,2.03,2.05,3.01, 07/06/12 5.02,5.05,9.01 SIGMA DESIGNS INC CA 8.01,9.01 07/12/12 Silicon Graphics International Corp DE 5.02,9.01 07/10/12 SIRONA DENTAL SYSTEMS, INC. DE 9.01 05/31/12 AMEND Stratex Oil & Gas Holdings, Inc. CO 1.01,2.01,3.02,4.01, 07/06/12 5.01,5.02,5.06,9.01 Sucampo Pharmaceuticals, Inc. 7.01,9.01 07/12/12 SYNERGY RESOURCES CORP CO 2.02,9.01 07/09/12 SYNTROLEUM CORP DE 8.01 07/12/12 SYPRIS SOLUTIONS INC DE 5.02,9.01 07/11/12 TAITRON COMPONENTS INC CA 3.01 07/10/12 TECHPRECISION CORP 1.01,9.01 07/06/12 TELECOMMUNICATION SYSTEMS INC /FA/ MD 1.01,2.03,9.01 07/06/12 TESSERA TECHNOLOGIES INC DE 7.01,9.01 07/11/12 TEXAS INDUSTRIES INC DE 5.02,9.01 07/11/12 TEXAS INDUSTRIES INC DE 2.02,9.01 07/11/12 TIDEWATER INC DE 8.01 07/12/12 TOWER FINANCIAL CORP IN 1.02 07/12/12 TRANS WORLD CORP NV 2.01 07/12/12 TURBINE TRUCK ENGINES INC NV 1.01,9.01 07/11/12 Two Harbors Investment Corp. 8.01 07/12/12 TYCO INTERNATIONAL LTD V8 7.01,9.01 07/11/12 UMB FINANCIAL CORP MO 7.01,9.01 07/11/12 UNI CORE HOLDINGS CORP UT 8.01 06/19/12 Uni-Pixel DE 8.01,9.01 07/12/12 UNIT CORP DE 1.01,9.01 07/10/12 US ENERGY CORP WY 2.06,9.01 07/09/12 USA TECHNOLOGIES INC PA 5.07 06/28/12 AMEND Vampt America, Inc. NV 1.01,9.01 07/11/12 VERINT SYSTEMS INC DE 5.02,8.01 07/10/12 VISTA GOLD CORP B0 7.01,9.01 07/12/12 WEIS MARKETS INC PA 3.01,5.02 07/10/12 Wendy's Co DE 2.01,9.01 06/11/12 AMEND Willbros Group, Inc.\NEW\ 5.02 07/10/12 XCel Brands, Inc. DE 1.01,9.01 07/10/12 Yinfu Gold Corp. WY 8.01,9.01 07/12/12 ZOGENIX, INC. DE 8.01 07/12/12
http://www.sec.gov/news/digest/2012/dig071312.htm
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