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Enforcement proceedingsCommission Revokes Registration of Securities of Brilliant Technologies Corporation for Failure to Make Required Periodic FilingsOn July 20, 2012, the Commission revoked the registration of each class of registered securities of Brilliant Technologies Corporation (BLLN) 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, BLLN 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 Brilliant Technologies Corporation 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 BLLN’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against BLLN in In the Matter of Advanced BioPhotonics, Inc., et al., Administrative Proceeding File No. 3-14815. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
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 Advanced BioPhotonics, Inc., et al., Administrative Proceeding File No. 3-14815, Exchange Act Release No. 66672 (March 29, 2012). (Rel. 34-67473; File No. 3-14815) In the Matter of Charles L. Rizzo and Gina M. HornbogenThe United States Securities and Exchange Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Section 15(b)(6) of the Securities Exchange Act of 1934 (Order) against Charles L. Rizzo (Rizzo) and Gina M. Hornbogen (Hornbogen). The Respondents consented to the entry of the Order without admitting or denying the Commission’s findings. The Order bars Respondents Rizzo and Hornbogen from associating in a supervisory capacity with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The Order also orders that Respondent Rizzo pay disgorgement of $35,079, prejudgment interest of $7,731, and civil penalties of $130,000, and that Respondent Hornbogen pay disgorgement of $15,592, prejudgment interest of $3,467, and, in light of her financial condition, civil penalties of $25,000. The Order also creates a fair fund for the monetary sanctions collected in this matter pursuant to Section 308(a) of the Sarbanes-Oxley Act of 2002. In the Order, the Commission finds that Respondents Rizzo and Hornbogen failed reasonably to supervise Steven Salutric (Salutric), who, while acting as an investment adviser for Results One Financial, LLC, misappropriated $7 million from fifteen of his advisory clients. The Order finds that between 2004 and 2009, Rizzo and Hornbogen failed to investigate numerous serious red flags indicating misconduct by Salutric while permitting his continued access to his victims’ accounts. For example Order finds that Charles Schwab & Co. alerted Rizzo and Hornbogen to numerous suspicious transactions in Salutric client accounts, including a forged client signature. The Order also finds that Rizzo was concerned that Salutric might be operating a Ponzi scheme in connection with these transactions. The Order also finds that Results One’s attorney advised Rizzo and Hornbogen to contact all clients who were affected by the suspicious transactions, but that they ignored this advice. (Rel. 34-67479; IA-3436; File No. 3-14641) SEC Charges CEO With Insider Trading in Secondary Offering of Company SecuritiesOn July 19, 2012, the Securities and Exchange Commission charged the chairman and CEO of a Santa Ana, Calif.-based computer storage device company with insider trading in a secondary offering of his stock shares with knowledge of confidential information that a major customer’s demand for one of its most profitable products was turning out to be less than expected. The SEC alleges that Manouchehr Moshayedi sought to take advantage of a dramatically upward trend in the stock price of STEC Inc. by deciding to sell a significant portion of his stock holdings as well as shares owned by his brother, a company co-founder. The secondary offering was set to coincide with the release of the company’s financial results for the second quarter of 2009 and its revenue guidance for the third quarter. However, in the days leading up to the secondary offering, Moshayedi learned critical nonpublic information that was likely to have a detrimental impact on the stock price. Moshayedi did not call off the offering and abstain from selling his shares once he possessed the negative information unbeknownst to the investing public. Instead, he engaged in a fraudulent scheme to hide the truth through a secret side deal, and proceeded with the sale of 9 million shares from which he and his brother reaped gross proceeds of approximately $134 million each. According to the SEC’s complaint filed in U.S. District Court for the Central District of California, STEC’s stock price increased more than 800 percent from January to August 2009 as the company reported higher revenues, sales, and margins for its products, particularly its flagship flash memory product called “ZeusIOPS,” a solid state drive (SSD). The stock rise also came on the heels of STEC’s July 2009 announcement of a unique agreement with its largest customer, EMC Corporation, which agreed to buy $120 million worth of ZeusIOPS in the third and fourth quarter of 2009. Moshayedi touted the sales growth of ZeusIOPS and said the agreement with EMC was “part of the expected growth” for STEC going forward. The SEC alleges that as the Aug. 3, 2009 date for the secondary offering approached, Moshayedi learned in the course of his CEO duties two critical pieces of nonpublic information indicating that EMC’s actual demand for the ZeusIOPS was lower than previously expected. First, Moshayedi learned that EMC’s actual demand for the ZeusIOPS product in the third quarter would only be approximately $34 million – not nearly enough to ensure that STEC’s third quarter revenue guidance could meet or exceed consensus analyst estimates. Analysts had increased STEC’s revenue guidance estimates for the third quarter after STEC announced the agreement with EMC. Second, EMC informed Moshayedi that it would never again enter into a similar agreement with STEC. According to the SEC’s complaint, Moshayedi responded by entering into a secret side deal with EMC in order to meet third quarter consensus revenue estimates. Moshayedi convinced EMC on July 29 to take $55 million of ZeusIOPS product in the third quarter – far more than it actually needed – in exchange for an undisclosed additional $2 million price discount on the product in the fourth quarter. After securing this deal, STEC announced the orchestrated guidance figures that amounted to approximately $21 million more than EMC’s actual forecasted demand for the quarter. And even though EMC unequivocally informed Moshayedi on the morning of August 3 that it would not make further volume commitments, he withheld this critical information from investors prior to his secondary offering while at the same time touting in public documents the future growth of the ZeusIOPS product and the importance of the STEC-EMC $120 million agreement. The SEC’s complaint charges Moshayedi with violating the anti-fraud provisions of U.S. securities laws and seeks a final judgment ordering him to disgorge his own ill-gotten gains and the trading profits of his brother Mehrdad Mark Moshayedi, pay prejudgment interest and financial penalties, and be permanently barred from future violations and from serving as an officer and director of any registered public company. [SEC v. Manouchehr Moshayedi, Civil Action No. CV12-1179 JST (MLGx), USDC, CD Cal.] (LR-22419) SELF-REGULATORY ORGANIZATIONSApproval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change (SR-NASDAQ-2012-062) submitted by The NASDAQ Stock Market LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to modify its corporate governance rules. Publication in the Federal Register is expected during the week of July 23. (Rel. 34-67468) 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 a proposed rule change (SR-NYSEArca-2012-28) filed by NYSE Arca, Inc. to list and trade shares of the JPM XF Physical Copper Trust pursuant to NYSE Arca Equities Rule 8.201. Publication in the Federal Register is expected during the week of July 23. (Rel. 34-67470) Designation of Longer Period for Commission ActionThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-FINRA-2012-026) filed by Financial Industry Regulatory Authority, Inc. relating to the handling of stop and stop limit orders. Publication in the Federal Register is expected during the week of July 23. (Rel. 34-67471) 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. N-2 KKR Alternative Corporate Opportunities Fund, C/O KKR ASSET MANAGEMENT LLC, 555 CALIFORNIA ST., 50TH FLOOR, SAN FRANCISCO, CA, 94104, (415) 315-3620 - 0 ($1,000,000.00) Equity, (File 333-182744 - Jul. 19) (BR. 17) N-2 KKR Alternative Corporate Opportunities Fund P, C/O KKR ASSET MANAGEMENT LLC, 555 CALIFORNIA ST., 50TH FLOOR, SAN FRANCISCO, CA, 94104, (415) 315-3620 - 0 ($1,000,000.00) Equity, (File 333-182745 - Jul. 19) (BR. 17) S-8 CHAMPIONS ONCOLOGY, INC., 855 N. WOLFE STREET, SUITE 619, BALTIMORE, MD, 21205, 410-369-0365 - 30,000,000 ($12,300,000.00) Equity, (File 333-182747 - Jul. 19) (BR. 01B) S-3D Inland Diversified Real Estate Trust, Inc., 2901 BUTTERFIELD ROAD, OAK BROOK, IL, 60523, 630-218-8000 - 0 ($475,000,000.00) Equity, (File 333-182748 - Jul. 19) (BR. 08B) S-3ASR VERIZON COMMUNICATIONS INC, 140 WEST STREET, 29TH FLOOR, NEW YORK, NY, 10007, 212-395-1000 - 0 ($1,113,750,000.00) Equity, (File 333-182749 - Jul. 19) (BR. 11C) S-1 La Paz Mining Corp., 7558 W. THUNDERBIRD RD. #1-486, PEORIA, AZ, 85381, 604-331-4422 - 10,000,000 ($20,000.00) Equity, (File 333-182751 - Jul. 19) (BR. ) S-8 LUCID INC, 95 METHODIST HILL DRIVE, SUITE 500, ROCHESTER, NY, 14623, 585-239-9800 - 0 ($22,460,438.00) Equity, (File 333-182752 - Jul. 19) (BR. 10B) S-8 PENFORD CORP, 7094 SOUTH REVERE PARKWAY, CENTENNIAL, CO, 80112-3932, 303-649-1900 - 0 ($6,796,425.00) Equity, (File 333-182753 - Jul. 19) (BR. 04A) S-8 China 3C Group, 368 HUSHU NAN ROAD, HANGZHOU CITY, ZHEJIANG PROVINCE, F4, 310014, 086-0571-88381700 - 17,500,000 ($875,000.00) Equity, (File 333-182754 - Jul. 19) (BR. 02A) S-8 VERINT SYSTEMS INC, 330 SOUTH SERVICE ROAD, MELVILLE, NY, 11747, 6319629600 - 0 ($134,173,683.90) Equity, (File 333-182755 - Jul. 19) (BR. 03A) S-8 DICE HOLDINGS, INC., 1040 AVENUE OF THE AMERICAS, 16TH FLOOR, NEW YORK, NY, 10018, 212-725-6550 - 0 ($54,473,402.00) Equity, (File 333-182756 - Jul. 19) (BR. 03A) S-8 SUPERVALU INC, 11840 VALLEY VIEW RD, EDEN PRAIRIE, MN, 55344, 9528284000 - 0 ($111,860,000.00) Equity, (File 333-182757 - Jul. 19) (BR. 02A) S-8 DELL INC, ONE DELL WAY, STED, ROUND ROCK, TX, 78682-2244, 5127284737 - 0 ($1,459,200,000.00) Equity, (File 333-182758 - Jul. 19) (BR. 03B) S-3ASR STANCORP FINANCIAL GROUP INC, 1100 S W SIXTH AVENUE, PORTLAND, OR, 97204, 5033217000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-182759 - Jul. 19) (BR. 01B) S-3 FIDELITY SOUTHERN CORP, 3490 PIEDMONT RD, STE 1550, ATLANTA, GA, 30305, 4043715500 - 0 ($1.00) Equity, (File 333-182760 - Jul. 19) (BR. 07C) 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 3DICON CORP 8.01,9.01 07/13/12 ACACIA RESEARCH CORP DE 2.02,9.01 07/19/12 ADVANCED MICRO DEVICES INC DE 2.02,7.01,9.01 07/19/12 AEHR TEST SYSTEMS CA 2.02,9.01 05/31/12 Aircastle LTD D0 7.01,9.01 07/19/12 AK STEEL HOLDING CORP DE 7.01,9.01 07/18/12 ALCO STORES INC KS 7.01,8.01,9.01 07/18/12 Alexza Pharmaceuticals Inc. DE 8.01,9.01 07/18/12 ALIGN TECHNOLOGY INC DE 2.02,9.01 07/19/12 ALLIANCE DATA SYSTEMS CORP DE 2.02,7.01,9.01 07/19/12 ALLSTATE CORP DE 7.01,9.01 07/19/12 AMARIN CORP PLC\UK X0 8.01 07/19/12 AMBER RESOURCES CO OF COLORADO DE 5.02 07/13/12 AMCON DISTRIBUTING CO DE 2.02,9.01 07/19/12 AMERICAN RIVER BANKSHARES CA 5.02,9.01 07/19/12 AMERICAN RIVER BANKSHARES CA 2.02,9.01 07/19/12 AMYRIS, INC. DE 1.01,2.03 07/13/12 Apartment Trust of America, Inc. 3.03,5.03,9.01 07/13/12 APEX 4 Inc. DE 5.01,5.02 07/18/12 ARBITRON INC DE 2.02,9.01 07/19/12 ARBITRON INC DE 5.02 07/13/12 Ares Commercial Real Estate Corp MD 7.01,9.01 07/19/12 ARRAY BIOPHARMA INC DE 8.01,9.01 07/19/12 Aspect FuturesAccess LLC DE 3.02 07/16/12 ASSOCIATED BANC-CORP WI 2.02,9.01 07/19/12 ASTORIA FINANCIAL CORP DE 2.02,9.01 07/18/12 ATHENA SILVER CORP DE 2.03,3.02,7.01,9.01 07/18/12 ATHENAHEALTH INC DE 2.02,9.01 07/19/12 AUTONATION, INC. DE 2.02,9.01 07/19/12 B&G Foods, Inc. DE 2.02,7.01,9.01 07/19/12 BADGER METER INC WI 2.02,9.01 07/19/12 Bank of Commerce Holdings CA 5.02,9.01 07/19/12 BANK OF KENTUCKY FINANCIAL CORP KY 2.02,9.01 07/19/12 Bank of Marin Bancorp CA 7.01,9.01 07/19/12 BAXTER INTERNATIONAL INC DE 2.02,9.01 07/19/12 BB&T CORP NC 2.02,9.01 07/19/12 BB&T CORP NC 8.01,9.01 07/19/12 BEAZER HOMES USA INC DE 1.01,2.03,8.01,9.01 07/18/12 Blackstone Group L.P. DE 2.02,9.01 07/19/12 BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 07/18/12 Builders FirstSource, Inc. DE 2.02,9.01 07/19/12 CAPITAL SOUTHWEST CORP TX 5.07 07/19/12 CARDINAL FINANCIAL CORP VA 2.02,8.01,9.01 07/18/12 CASS INFORMATION SYSTEMS INC MO 2.02,8.01,9.01 07/19/12 CEPHEID CA 2.02,9.01 07/19/12 CHIPOTLE MEXICAN GRILL INC 2.02,9.01 07/19/12 CITIGROUP INC DE 8.01 07/16/12 CITIZENS & NORTHERN CORP PA 8.01,9.01 07/19/12 CITIZENS FIRST CORP KY 2.02,7.01,9.01 07/19/12 CITIZENS INC CO 8.01,9.01 07/18/12 CITY NATIONAL CORP DE 2.02,9.01 07/19/12 COBIZ FINANCIAL INC CO 2.02,8.01,9.01 07/19/12 COLE CREDIT PROPERTY TRUST IV, INC. MD 1.01,2.03 07/13/12 COLUMBUS MCKINNON CORP NY 5.02 07/16/12 COLUMBUS MCKINNON CORP NY 2.02,9.01 07/19/12 CommonWealth REIT MD 5.02,9.01 07/18/12 CONNECTICUT WATER SERVICE INC / CT CT 1.01,8.01,9.01 07/19/12 CONSUMER PORTFOLIO SERVICES INC CA 2.02,9.01 07/18/12 COUPON EXPRESS, INC. NV 1.01,3.02,5.03,7.01, 07/16/12 9.01 CPI CORP DE 8.01 07/17/12 CPI CORP DE 8.01,9.01 07/18/12 AMEND CUBIST PHARMACEUTICALS INC DE 2.02,9.01 07/19/12 CVB FINANCIAL CORP CA 2.02,9.01 07/18/12 CYPRESS SEMICONDUCTOR CORP /DE/ DE 2.02,9.01 07/19/12 CYTEC INDUSTRIES INC/DE/ DE 2.02,9.01 07/19/12 DAIS ANALYTIC CORP 1.01,1.02,2.03,9.01 07/13/12 DANAHER CORP /DE/ DE 2.02,9.01 07/18/12 DARA BioSciences, Inc. DE 5.02 07/13/12 DARA BioSciences, Inc. DE 4.01,9.01 07/17/12 DealerTrack Holdings, Inc. DE 1.01,7.01,8.01,9.01 07/15/12 Deep Down, Inc. NV 5.03,9.01 07/17/12 DELCATH SYSTEMS INC DE 5.02,9.01 07/16/12 DELL INC DE 5.02,5.07,9.01 07/13/12 DIAMOND OFFSHORE DRILLING INC DE 2.02,9.01 07/19/12 DISH Network CORP NV 7.01,9.01 07/19/12 DOLE FOOD CO INC DE 2.02,7.01,9.01 07/19/12 DREW INDUSTRIES INC DE 8.01,9.01 07/19/12 DYAX CORP DE 2.02,9.01 07/19/12 E TRADE FINANCIAL Corp DE 2.02,9.01 07/19/12 EARTH DRAGON RESOURCES INC. 5.06 07/19/12 EASTGROUP PROPERTIES INC MD 2.02,9.01 07/19/12 ECOLOCAP SOLUTIONS INC. NV 8.01,9.01 07/17/12 EGAIN COMMUNICATIONS CORP DE 5.02 07/19/12 ELECTRONICS FOR IMAGING INC DE 1.01,2.02,7.01,9.01 07/18/12 EMCORE CORP NJ 7.01,9.01 07/18/12 ENTEGRIS INC DE 2.02,9.01 07/19/12 EPLUS INC DE 1.01,2.03 07/13/12 EPOCRATES INC DE 8.01 07/19/12 ERHC Energy Inc CO 8.01,9.01 07/18/12 ESTEE LAUDER COMPANIES INC DE 5.03,9.01 07/17/12 EURO SOLAR PARKS, INC. 5.02 07/19/12 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 2.02 07/19/12 FAIRPOINT COMMUNICATIONS INC DE 7.01 07/19/12 FARMERS CAPITAL BANK CORP KY 2.02,9.01 07/18/12 FBR & Co. VA 8.01 07/18/12 Federal Home Loan Bank of Atlanta X1 2.03 07/19/12 Federal Home Loan Bank of Boston X1 2.03 07/17/12 Federal Home Loan Bank of Chicago X1 2.03 07/16/12 Federal Home Loan Bank of Chicago X1 5.02 07/16/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 07/16/12 Federal Home Loan Bank of Dallas 2.03,9.01 07/13/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 07/17/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 07/19/12 Federal Home Loan Bank of New York X1 2.03,9.01 07/16/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/16/12 Federal Home Loan Bank of San Francis X1 2.03 07/16/12 Federal Home Loan Bank of Seattle 2.03 07/17/12 Federal Home Loan Bank of Topeka 2.03,9.01 07/16/12 FEDERAL REALTY INVESTMENT TRUST MD 8.01,9.01 07/16/12 Fifth Street Finance Corp DE 8.01,9.01 07/19/12 FIFTH THIRD BANCORP OH 2.02,7.01,9.01 07/19/12 FIRST FINANCIAL BANKSHARES INC TX 2.02,9.01 07/19/12 FIRST SOUTH BANCORP INC /VA/ VA 2.02,9.01 07/18/12 FIRSTBANK CORP MI 8.01 07/18/12 FLAGSTAR BANCORP INC MI 2.02,7.01,9.01 07/18/12 Ford Credit Auto Owner Trust 2012-C DE 1.01,8.01,9.01 07/17/12 FORTINET INC 5.02 07/13/12 FORWARD AIR CORP TN 2.02,9.01 06/30/12 FRANKLIN CREDIT HOLDING CORP/DE/ DE 1.03,3.03,9.01 07/19/12 FREEPORT MCMORAN COPPER & GOLD INC DE 2.02,9.01 07/19/12 Freescale Semiconductor, Ltd. D0 2.02,9.01 07/19/12 GARDNER DENVER INC DE 5.02 07/13/12 AMEND GATX CORP NY 2.02,7.01,9.01 07/19/12 GAYLORD ENTERTAINMENT CO /DE DE 8.01,9.01 07/19/12 General Motors Financial Company, Inc TX 1.01,9.01 07/13/12 GENUINE PARTS CO GA 2.02,9.01 07/19/12 GEORGIA GULF CORP /DE/ DE 1.01,8.01,9.01 07/18/12 GLEN BURNIE BANCORP MD 1.01,5.02,9.01 07/16/12 Global Income Trust, Inc. MD 1.01 07/18/12 GLOBAL PARTNERS LP 7.01,9.01 07/19/12 GOLDEN CENTURY RESOURCES Ltd DE 1.01,1.02,2.01,9.01 07/18/12 GOLDEN ENTERPRISES INC DE 8.01,9.01 07/19/12 Google Inc. DE 2.02,8.01,9.01 07/19/12 GRANT HARTFORD CORP MT 5.02 07/15/12 Guaranty Bancorp DE 2.02,2.05,2.06,7.01, 07/13/12 9.01 GUARANTY FEDERAL BANCSHARES INC DE 2.02,9.01 07/18/12 HALLIBURTON CO DE 8.01 07/19/12 HANMI FINANCIAL CORP DE 2.02,9.01 07/19/12 HANOVER INSURANCE GROUP, INC. DE 8.01,9.01 07/18/12 HARLEYSVILLE SAVINGS FINANCIAL CORP 2.02,8.01,9.01 07/18/12 HEALTHCARE TRUST OF AMERICA, INC. MD 8.01,9.01 07/19/12 Highbridge Commodities FuturesAccess DE 3.02 07/16/12 HIGHLANDS BANCORP, INC. NJ 2.02,9.01 07/18/12 HNI CORP IA 2.02,9.01 07/18/12 HOLOGIC INC DE 1.01,7.01,9.01 07/19/12 HOME BANCSHARES INC 2.02,7.01,9.01 07/18/12 Honda Auto Receivables 2012-3 Owner T DE 1.01,9.01 07/17/12 HORACE MANN EDUCATORS CORP /DE/ DE 8.01,9.01 07/19/12 HORIZON BANCORP /IN/ IN 2.02,9.01 07/18/12 HOUSTON AMERICAN ENERGY CORP DE 8.01,9.01 07/19/12 HUBBELL INC CT 2.02,9.01 07/19/12 HUNTINGTON BANCSHARES INC/MD MD 2.02,9.01 07/19/12 Huron Consulting Group Inc. DE 8.01,9.01 07/19/12 IMMUCELL CORP /DE/ DE 8.01,9.01 07/19/12 INDEPENDENT BANK CORP MA 2.02,7.01,9.01 07/19/12 INDEPENDENT BANK CORP /MI/ MI 5.02 07/13/12 INERGY L P DE 1.01,2.03,9.01 07/17/12 INERGY L P DE 1.01,7.01,9.01 07/19/12 INFINITY PHARMACEUTICALS, INC. DE 1.01,1.02,3.02,8.01, 07/17/12 9.01 INSTEEL INDUSTRIES INC NC 2.02,9.01 07/19/12 INSTITUTIONAL FINANCIAL MARKETS, INC. MD 1.01,5.02,8.01,9.01 07/15/12 INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 07/18/12 INTERNATIONAL ISOTOPES INC TX 5.07 07/17/12 INTUITIVE SURGICAL INC DE 2.02,9.01 07/19/12 Invesco Mortgage Capital Inc. MD 8.01 07/19/12 INVESTORS REAL ESTATE TRUST ND 4.01,9.01 07/19/12 AMEND JOHNSON CONTROLS INC WI 2.02,7.01,9.01 07/19/12 KEMPER Corp DE 2.02,8.01,9.01 07/19/12 KENTUCKY BANCSHARES INC /KY/ KY 5.07 07/19/12 KEYCORP /NEW/ OH 2.02,7.01,9.01 07/19/12 KIT digital, Inc. DE 8.01,9.01 07/19/12 KIT digital, Inc. DE 5.02 07/14/12 KNOLL INC DE 2.02,9.01 07/19/12 LABORATORY CORP OF AMERICA HOLDINGS DE 2.02 07/19/12 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 07/19/12 LACROSSE FOOTWEAR INC WI 8.01,9.01 07/18/12 LATTICE SEMICONDUCTOR CORP DE 2.02,9.01 07/19/12 LIBBEY INC DE 7.01,9.01 07/18/12 LIBBEY INC DE 5.02,9.01 07/16/12 Liberty Gold Corp. DE 1.02,2.01,5.02,8.01, 06/18/12 9.01 LIFE TIME FITNESS, INC. MN 2.02,5.03,9.01 07/17/12 LIFEWAY FOODS INC IL 5.02 07/13/12 LIGHTSTONE VALUE PLUS REAL ESTATE INV MD 1.01,2.01,2.03,8.01, 07/13/12 9.01 Limelight Networks, Inc. DE 5.02 07/13/12 LINCARE HOLDINGS INC DE 8.01,9.01 07/19/12 LNB BANCORP INC OH 7.01,8.01,9.01 07/18/12 LTV CORP DE 8.01,9.01 07/18/12 MAGNEGAS CORP DE 7.01,9.01 07/17/12 MAGNUM HUNTER RESOURCES CORP DE 4.01 07/17/12 MAGNUM HUNTER RESOURCES CORP DE 7.01 07/16/12 MEDIANET GROUP TECHNOLOGIES INC NV 3.02 07/15/12 MERCHANTS BANCSHARES INC DE 8.01,9.01 07/18/12 MESA ROYALTY TRUST/TX TX 2.02,9.01 07/19/12 MICROFINANCIAL INC MA 2.02,9.01 07/18/12 MICROSOFT CORP WA 2.02,9.01 07/19/12 MIDDLESEX WATER CO NJ 8.01,9.01 07/19/12 ML Winton FuturesAccess LLC DE 3.02 07/16/12 Monarch Financial Holdings, Inc. VA 8.01,9.01 07/19/12 Monarch Financial Holdings, Inc. VA 2.02,9.01 07/19/12 Monarch Financial Holdings, Inc. VA 8.01,9.01 07/19/12 AMEND MORGAN STANLEY DE 2.02,9.01 07/19/12 MusclePharm Corp NV 1.01,3.02,5.02,9.01 07/13/12 MVB FINANCIAL CORP WV 5.02,9.01 07/18/12 MYERS INDUSTRIES INC OH 2.02,7.01,9.01 07/19/12 N-VIRO INTERNATIONAL CORP DE 1.01,9.01 07/19/12 NANOSPHERE INC DE 7.01,9.01 07/19/12 NASH FINCH CO DE 2.02,9.01 07/19/12 NATIONAL BANKSHARES INC VA 2.02,9.01 07/19/12 Nationstar Mortgage Holdings Inc. DE 7.01,8.01,9.01 07/19/12 Nationstar Mortgage Holdings Inc. DE 8.01,9.01 07/19/12 NCR CORP MD 2.02,9.01 07/19/12 NetApp, Inc. CA 5.02 07/14/12 NETSCOUT SYSTEMS INC DE 2.02,9.01 07/19/12 NEWMARKET CORP VA 5.02,8.01,9.01 07/17/12 NEXSTAR BROADCASTING GROUP INC DE 7.01,9.01 07/19/12 NorthStar Real Estate Income Trust, I MD 1.01,9.01 07/18/12 NORTHWEST INDIANA BANCORP IN 2.02,9.01 07/19/12 NUCOR CORP DE 2.02,9.01 07/19/12 NVR INC VA 2.02,9.01 07/19/12 Oak Valley Bancorp CA 2.02,7.01,9.01 07/18/12 Ohr Pharmaceutical Inc 5.02 07/18/12 OPNEXT INC 5.07,8.01,9.01 07/17/12 ORBITAL SCIENCES CORP /DE/ DE 2.02,9.01 07/18/12 Ortus Currency FuturesAccess LLC DE 3.02 07/16/12 OVERSTOCK.COM, INC DE 2.02,9.01 07/19/12 Pacific Ethanol, Inc. DE 1.01,2.01,2.03,9.01 07/13/12 PACIFIC PREMIER BANCORP INC DE 2.02,9.01 06/30/12 PACWEST BANCORP DE 2.02,9.01 07/18/12 PENSKE AUTOMOTIVE GROUP, INC. DE 8.01,9.01 07/19/12 Philip Morris International Inc. VA 2.02,9.01 07/19/12 Pioneer Southwest Energy Partners L.P DE 2.02 07/18/12 PIXELWORKS, INC OR 2.02,9.01 07/19/12 PLUMAS BANCORP CA 5.02 07/18/12 PMI GROUP INC DE 5.02 07/13/12 POOL CORP DE 2.02,7.01,9.01 07/19/12 PPG INDUSTRIES INC PA 8.01,9.01 07/19/12 PPG INDUSTRIES INC PA 2.02,9.01 07/19/12 PPG INDUSTRIES INC PA 1.01,9.01 07/18/12 PREMIERE GLOBAL SERVICES, INC. GA 2.02,9.01 07/19/12 PRIMUS TELECOMMUNICATIONS GROUP INC DE 8.01,9.01 07/19/12 pSivida Corp. DE 5.03,8.01,9.01 07/18/12 QUEST DIAGNOSTICS INC DE 2.02,9.01 07/19/12 RAINMAKER SYSTEMS INC DE 5.07 07/17/12 RAMBUS INC DE 2.02,9.01 07/19/12 READING INTERNATIONAL INC NV 8.01 06/28/12 REGENCY CENTERS CORP FL 8.01,9.01 07/18/12 REGENERX BIOPHARMACEUTICALS INC DE 1.01,7.01,9.01 07/15/12 REPUBLIC BANCORP INC /KY/ KY 2.02,9.01 07/19/12 SAFEWAY INC DE 2.02,9.01 07/19/12 SANDISK CORP DE 2.02,9.01 07/19/12 SANDY SPRING BANCORP INC MD 2.02,9.01 07/19/12 SATCON TECHNOLOGY CORP DE 3.03,5.03,8.01,9.01 07/18/12 SCHOLASTIC CORP DE 2.02,9.01 07/19/12 SEACHANGE INTERNATIONAL INC DE 5.07 07/18/12 SEATTLE GENETICS INC /WA DE 5.02 07/17/12 SENIOR HOUSING PROPERTIES TRUST MD 8.01,9.01 07/17/12 SHERWIN WILLIAMS CO OH 2.02,9.01 07/19/12 Shire plc 8.01,9.01 07/19/12 SLM Student Loan Trust 2012-5 DE 9.01 07/12/12 SLM Student Loan Trust 2012-5 DE 1.01,2.01,9.01 07/16/12 SMART ONLINE INC DE 1.02 07/13/12 SNAP-ON Inc DE 2.02,9.01 07/19/12 Solar Energy Initiatives, Inc. DE 1.01,9.01 07/19/12 Somaxon Pharmaceuticals, Inc. DE 1.01,9.01 07/17/12 SOMERSET HILLS BANCORP NJ 2.02,9.01 07/19/12 SONOCO PRODUCTS CO SC 2.02,9.01 07/19/12 SOUTHERN MISSOURI BANCORP INC MO 8.01,9.01 07/17/12 SOUTHWEST AIRLINES CO TX 2.02,9.01 06/30/12 Spirit AeroSystems Holdings, Inc. DE 2.02,9.01 07/19/12 SRKP 16 INC DE 3.02 07/13/12 STAR GAS PARTNERS LP DE 2.02,7.01,9.01 07/19/12 STATE STREET CORP MA 7.01,9.01 07/19/12 Steadfast Income REIT, Inc. MD 7.01,9.01 07/19/12 STR HOLDINGS, INC. DE 5.02 07/18/12 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 07/16/12 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 07/16/12 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 07/16/12 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 07/16/12 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 07/16/12 SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 07/19/12 SUBURBAN PROPANE PARTNERS LP DE 1.01,7.01,9.01 07/19/12 Sucampo Pharmaceuticals, Inc. 5.02 07/13/12 SunCoke Energy, Inc. 7.01,9.01 07/19/12 SUNOVIA ENERGY TECHNOLOGIES INC NV 1.01,3.02,9.01 07/16/12 Super Micro Computer, Inc. CA 2.02,9.01 07/19/12 SUPERIOR UNIFORM GROUP INC FL 2.02,9.01 07/19/12 Susser Holdings CORP DE 1.01 07/19/12 SWIFT TRANSPORTATION Co 2.02,9.01 07/19/12 SYMS CORP NJ 1.01,8.01,9.01 07/13/12 SYNERGY RESOURCES CORP CO 5.07 07/17/12 SYNTEL INC MI 2.02,9.01 07/19/12 TCF FINANCIAL CORP DE 2.02,9.01 07/19/12 TCF FINANCIAL CORP DE 2.02,9.01 07/19/12 AMEND TearLab Corp DE 8.01 07/18/12 TEL INSTRUMENT ELECTRONICS CORP NJ 2.02 07/18/12 TELETECH HOLDINGS INC DE 2.05 07/13/12 TENGION INC DE 3.01 07/13/12 Terreno Realty Corp MD 3.03,5.03,9.01 07/13/12 Texas Gulf Energy Inc NV 5.02,5.03,9.01 07/15/12 TEXTRON INC DE 2.02,9.01 07/19/12 TOTAL SYSTEM SERVICES INC GA 8.01,9.01 07/17/12 Transcept Pharmaceuticals Inc DE 8.01 07/13/12 TransMontaigne Partners L.P. DE 5.02 07/16/12 Transocean Ltd. V8 7.01,9.01 07/18/12 TRAVELERS COMPANIES, INC. MN 2.02,9.01 07/19/12 ULTRATECH INC DE 5.07 07/17/12 ULTRATECH INC DE 2.02,9.01 07/19/12 UMPQUA HOLDINGS CORP OR 2.02,9.01 07/18/12 UMPQUA HOLDINGS CORP OR 5.02,8.01,9.01 07/19/12 UNIFI INC NY 1.01 07/17/12 UNION PACIFIC CORP UT 2.02,9.01 07/19/12 UNITEDHEALTH GROUP INC MN 2.02,9.01 07/19/12 UNIVERSAL FOREST PRODUCTS INC MI 2.02,9.01 07/19/12 URANIUM ENERGY CORP NV 8.01 07/18/12 V F CORP PA 2.02,7.01,9.01 07/19/12 VERIZON COMMUNICATIONS INC DE 2.02,9.01 07/19/12 VIRGINIA COMMERCE BANCORP INC 2.02,7.01,9.01 07/19/12 VISA INC. DE 8.01,9.01 07/17/12 VIST FINANCIAL CORP PA 5.07,8.01,9.01 07/17/12 VITRAN CORP INC A6 2.02,9.01 07/19/12 VOC Energy Trust 2.02,9.01 07/19/12 WALGREEN CO IL 8.01,9.01 07/19/12 WEBTRADEX INTERNATIONAL CORP NV 2.01,9.01 07/18/12 WELLS FARGO & COMPANY/MN DE 9.01 07/19/12 WERNER ENTERPRISES INC NE 2.02,9.01 07/18/12 WESCO INTERNATIONAL INC 2.02,7.01,9.01 07/19/12 WEST SUBURBAN BANCORP INC IL 4.02 07/18/12 WESTERN ALLIANCE BANCORPORATION NV 2.02,9.01 07/19/12 WESTWOOD HOLDINGS GROUP INC DE 2.02,7.01,9.01 07/19/12 WINMARK CORP MN 2.02,7.01,9.01 07/18/12 WINTRUST FINANCIAL CORP IL 2.02,9.01 07/19/12 WOUND MANAGEMENT TECHNOLOGIES, INC. TX 1.01,3.02,9.01 07/13/12 YAHOO INC DE 5.02,9.01 07/15/12 YUM BRANDS INC NC 2.02,9.01 07/18/12 ZYNGA INC DE 5.02,9.01 07/17/12
http://www.sec.gov/news/digest/2012/dig072012.htm
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