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Enforcement ProceedingsShane A. Mullholand and Dissemination Services LLC Enjoined and Barred From Penny Stock OfferingsThe United States Securities and Exchange Commission (Commission) announced that on July 30, 2012, the Honorable Sidney A. Fitzwater of the United States District Court for the Northern District of Texas enjoined Shane A. Mullholand of Dallas, TX, and Dissemination Services LLC (Dissemination) from violating Section 5 of the Securities Act of 1933, based on the defendants’ consent to sanctions after summary judgment was entered against them on January 26, 2012. The Commission’s complaint alleged that Mullholand and Dissemination violated the securities laws by acting as underwriters engaged in a scheme to evade the securities registration requirements by offering and selling the securities of six companies when no registration statements were filed or in effect to provide information to public investors. The six companies issued penny stocks, which are defined as equity securities trading at a price of less than five dollars per share, and the defendants initiated public trading in the over-the-counter market under the following trading symbols: American Television & Film Company (ATFT), Ecogate, Inc. (ECGT), Media International Concepts, Inc. (MEIC), Vanquish Productions, Inc. (VQPI), Auction Mills, Inc. (AUML), and Custom Designed Compressor Systems, Inc. (CUPY). The court also barred Mullholand and Dissemination for seven years from participating in the offer or sale of penny stocks. In addition, the court enjoined Mullholand and Dissemination from violating Section 15(a) of the Securities Exchange Act of 1934 by engaging in the securities transaction without registering as brokers or dealers with the Commission. The court also ordered the defendants to pay disgorgement totaling $3,349,334 of profits from their unregistered securities sales plus prejudgment interest of $1,499,278, and civil penalties of $120,000 each. The Commission’s claims against other defendants were previously resolved on April 10, 2012 and May 7, 2009. [SEC v. Phillip W. Offill, Jr., et al., Civil Action No. 07-CV-1643-D (N.D. Tex.)] (LR-22431) Final Judgments Entered Against Former Executives of Massachusetts CompanyThe Securities and Exchange Commission announced today that final judgments were entered on July 23 and 24, 2012 in its civil injunctive action against Kevin Mann, Sr., and Michael J. Cuomo, filed in the United States District Court of Massachusetts. The Commission’s complaint alleged that Inofin and its executives, Cuomo, of Plymouth, Massachusetts, Mann of Marshfield, Massachusetts, and Melissa George of Duxbury, Massachusetts, illegally raised at least $110 million from hundreds of investors in 25 states and the District of Columbia through the sale of unregistered notes. According to the SEC’s complaint, Inofin, along with Cuomo, Mann and George, materially misrepresented how the Company was using investor money and the Company’s financial performance. The SEC also charged two sales agents – David Affeldt and Thomas K. (Kevin) Keough – alleging that they promoted the offering and sale of Inofin’s unregistered securities. Keough’s wife Nancy Keough is named in the complaint as a relief defendant for the purposes of recovering proceeds she received as a result of the violations. Without admitting or denying the allegations in the complaint, Cuomo and Mann consented to entry of a permanent injunction against violations of Section 10(b) of the Securities Exchange Act of 1934 (the “Exchange Act”), and Rule 10b-5 promulgated thereunder, and Sections 5 and 17(a) of the Securities Act of 1933 (the “Securities Act”). The final judgment as to Cuomo orders him pay disgorgement of $1,272, 914.57, representing profits he gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $440,181.42 for a total of $1,713,095.90, plus a civil penalty in the amount of $150,000. The final judgment as to Mann orders him to pay disgorgement of $733,944, representing profits he gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $170,762 for a total of $904,706, plus a civil penalty in the amount of $150,000. The SEC’s action remains pending against Inofin, George, Affeldt and the Keoughs. [SEC v. Inofin, Inc., Michael J. Cuomo, Kevin J. Mann, Sr., Melissa George, Thomas Kevin Keough, David Affeldt, and Nancy Keough, 1:11-CV-10633 (D. Mass)] (LR-22435) SEC Freezes An Additional $6 Million in Nexen Insider Trading CaseOn August 6, 2012, the Securities and Exchange Commission obtained an emergency court order in the United States District Court for the Southern District of New York to freeze more than $6 million in assets of additional unknown traders who made approximately $2.3 million in illegal profits by trading in advance of the July 23, 2012 announcement that China-based CNOOC Ltd. had agreed to acquire Canada-based Nexen Inc. for approximately $15.1 billion. On Friday, July 27, 2012, just days after the acquisition announcement, the SEC filed an initial complaint in federal district court in Manhattan alleging that Hong Kong-based Well Advantage Limited and other unknown traders had traded Nexen stock based on nonpublic information about CNOOC’s impending acquisition of Nexen and reaped a total of more than $13 million in illicit trading profits. That same day, the SEC obtained a court order freezing the assets of the initial defendants valued at more than $38 million. One week later, on Friday, August 3, 2012, the SEC filed an amended complaint adding allegations that additional unknown traders in possession of material nonpublic information purchased Nexen stock in the days leading up to the public announcement of its acquisition. According to the SEC’s First Amended Complaint, the additional unknown traders opened a U.S. brokerage account through Hong Kong-based CSI Capital Management Limited only one week before the announcement and purchased 250,000 shares of Nexen stock during the following two days at a cost of approximately $4.2 million. Immediately following the announcement, the unknown traders sold these shares for nearly $6.5 million, reaping approximately $2.3 million in illegal profits. In connection with filing the First Amended Complaint, the SEC obtained another emergency court order freezing nearly $6.5 million in the assets of these additional traders, bringing the total value of assets frozen in this case to more than $44 million. The SEC’s complaint charges the unknown traders with violating Section 10(b) of the Securities Exchange Act of 1934 and Exchange Act Rule 10b-5. In addition to the emergency relief, the Commission is seeking a final judgment ordering the traders to disgorge their ill-gotten gains with interest and pay financial penalties, and permanently barring them from future violations. For additional information, see Litigation Release No. 22428 (July 30, 2012). [SEC v. Well Advantage Limited, et al., Civil Action 12-CV-5786 (SDNY)(RJS)] (LR-22436) Self-Regulatory OrganizationsProposed Rule ChangesThe Commission issued notice of a proposed rule change submitted by BATS Exchange, Inc. (SR-BATS-2012-033) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade shares of the iShares Ultrashort Duration Bond Fund. Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67583) BOX Options Exchange LLC filed a proposed rule change (SR-BOX-2012-003) to amend the Price Improvement Period. Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67592) Joint Industry PlansOrder Approving Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation InformationThe Commission granted approval to an amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information submitted pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608 thereunder by the Options Price Reporting Authority (SR-OPRA-2012-03) to revise the definition of the term “Nonprofessional.” Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67589) 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-B UNITED MEXICAN STATES, 0 ($743,852,000.00) Non-Convertible Debt, (File 333-183038 - Aug. 3) (BR. DN) S-8 CONSOL Energy Inc, CNX CENTER, 1000 CONSOL ENERGY DRIVE, CANONSBURG, PA, 15317, 724-485-4000 - 0 ($228,080,000.00) Equity, (File 333-183039 - Aug. 3) (BR. 09A) S-3ASR SOUTHERN CALIFORNIA EDISON CO, 2244 WALNUT GROVE AVE, P O BOX 800, ROSEMEAD, CA, 91770, 6263021212 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183045 - Aug. 3) (BR. 02B) S-8 ALLETE INC, 30 W SUPERIOR ST, DULUTH, MN, 55802-2093, 2182795000 - 200,000 ($8,258,000.00) Equity, (File 333-183051 - Aug. 3) (BR. 02B) S-3ASR NEXTERA ENERGY INC, 700 UNIVERSE BLVD, JUNO BEACH, FL, 33408, 5616946333 - 0 ($0.00) Other, (File 333-183052 - Aug. 3) (BR. 02A) S-8 ATHENAHEALTH INC, 311 ARSENAL STREET, WATERTOWN, MA, 02472, 617-402-1000 - 0 ($291,343,500.00) Equity, (File 333-183053 - Aug. 3) (BR. 02A) S-3 EAGLE BANCORP INC, 7815 WOODMONT AVENUE, BETHESDA, MD, 20814, 3019861800 - 0 ($125,000,000.00) Equity, (File 333-183054 - Aug. 3) (BR. 07C) S-8 SUNPEAKS VENTURES, INC., 9337 FRASER AVE., SILVER SPRING, MD, 20910, (204) 898-8160 - 40,000,000 ($2,500,000.00) Equity, (File 333-183055 - Aug. 3) (BR. 09B) S-1 VOLITIONRX LTD, 150 ORCHARD ROAD, ORCHARD PLAZA 08-02, U0, 238841, 000-000-0000 - 1,058,845 ($3,693,656.15) Equity, (File 333-183056 - Aug. 3) (BR. 09A) S-8 FIRST COMMUNITY BANCSHARES INC /NV/, PO BOX 989, BLUEFIELD, VA, 26406-0989, 3044879000 - 600,000 ($8,541,000.00) Equity, (File 333-183057 - Aug. 3) (BR. 07C) S-1 ENERGY FOCUS, INC/DE, 32000 AURORA ROAD, SOLON, OH, 44139, 5104900719 - 29,525,000 ($7,381,250.00) Equity, (File 333-183058 - Aug. 3) (BR. 11A) S-3ASR BECTON DICKINSON & CO, ONE BECTON DR, FRANKLIN LAKES, NJ, 07417-1880, 2018476800 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183059 - Aug. 3) (BR. 10A) S-1 GUARANTY FEDERAL BANCSHARES INC, 1341 WEST BATTLEFIELD, SPRINGFIELD, MO, 65807, 4175204333 - 12,000 ($12,000,000.00) Equity, (File 333-183062 - Aug. 3) (BR. 07B) S-8 ALERE INC., 51 SAWYER ROAD, SUITE 200, WALTHAM, MA, 02453, 7816473900 - 1,000,000 ($17,910,000.00) Equity, (File 333-183063 - Aug. 3) (BR. 01A) S-8 ALERE INC., 51 SAWYER ROAD, SUITE 200, WALTHAM, MA, 02453, 7816473900 - 3,500,000 ($62,685,000.00) Equity, (File 333-183064 - Aug. 3) (BR. 01A) S-8 INTERSIL CORP/DE, 1001 MURPHY RANCH ROAD, MILPITAS, CA, 95035, 408-432-8888 - 7,500,000 ($66,750,000.00) Equity, (File 333-183065 - Aug. 3) (BR. 10A) S-8 AGENUS INC, 162 FIFTH AVENUE SUITE 900, NEW YORK, NY, 10010, 212-994-8200 - 0 ($10,004,003.00) Equity, (File 333-183066 - Aug. 3) (BR. 01B) S-8 AGENUS INC, 162 FIFTH AVENUE SUITE 900, NEW YORK, NY, 10010, 212-994-8200 - 100,000 ($492,000.00) Equity, (File 333-183067 - Aug. 3) (BR. 01B) S-8 WORDLOGIC CORP, 650 WEST GEORGIA STREET, SUITE 2400, VANCOUVER, A1, V6B 4N7, 604-257-3600 - 10,000,000 ($950,000.00) Equity, (File 333-183068 - Aug. 3) (BR. 03C) S-8 Approach Resources Inc, ONE RIDGMAR CENTRE, 6500 WEST FREEWAY, SUITE 800, FORT WORTH, TX, 76116, 8179899000 - 0 ($52,844,283.00) Equity, (File 333-183069 - Aug. 3) (BR. 04B) S-3D PITNEY BOWES INC /DE/, PITNEY BOWES INC, 1 ELMCROFT ROAD, STAMFORD, CT, 06926-0700, 2033565000 - 0 ($18,123,000.00) Equity, (File 333-183070 - Aug. 3) (BR. 03B) S-8 NeuroMetrix, Inc., 62 FOURTH AVENUE, WALTHAM, MA, 02451, (781) 890-9989 - 1,139,043 ($706,207.00) Equity, (File 333-183071 - Aug. 3) (BR. 10B) S-8 Eloqua, Inc., 1921 GALLOWS ROAD, SUITE 250, VIENNA, VA, 22182, 703-584-2750 - 0 ($82,062,368.00) Equity, (File 333-183072 - Aug. 3) (BR. 03A) S-4 PEABODY ENERGY CORP, 701 MARKET ST, ST LOUIS, MO, 63101-1826, 3143423400 - 0 ($2,858,465,000.00) Debt, (File 333-183073 - Aug. 3) (BR. 09A) S-8 MICROCHIP TECHNOLOGY INC, 2355 W CHANDLER BLVD, CHANDLER, AZ, 85224-6199, 480-792-7200 - 1,350,750 ($33,278,952.24) Equity, (File 333-183074 - Aug. 3) (BR. 10B) S-8 AMERICAN SUPERCONDUCTOR CORP /DE/, SIXTY FOUR JACKSON ROAD, DEVENS, MA, 01434, 9788423000 - 7,500,000 ($27,262,500.00) Equity, (File 333-183075 - Aug. 3) (BR. 10A) S-B PERU REPUBLIC OF, 241 EAST 49TH ST, NEW YORK, NY, 10017, 0 ($1.00) Unallocated (Universal) Shelf, (File 333-183076 - Aug. 3) (BR. DN) S-8 ELECTRONIC ARTS INC., 209 REDWOOD SHORES PARKWAY, REDWOOD CITY, CA, 94065, 650-628-1500 - 0 ($70,112,100.00) Equity, (File 333-183077 - Aug. 3) (BR. 03A) N-2 Market Vectors Double Tax-Free Municipal Income Fund, 335 MADISON AVENUE, NEW YORK, NY, 10017, (212) 293-2000 - 0 ($1,000,000.00) Equity, (File 333-183078 - Aug. 3) (BR. ) 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 Acadia Healthcare Company, Inc. DE 5.02,9.01 08/03/12 AMEND ACELRX PHARMACEUTICALS INC DE 8.01,9.01 08/01/12 ACTIVE NETWORK INC DE 5.02,9.01 07/30/12 ACTIVE NETWORK INC DE 5.07 07/30/12 AMEND ACTUATE CORP DE 2.02,9.01 08/02/12 ADVISORY BOARD CO DE 1.01,2.03,9.01 07/30/12 Aegion Corp DE 2.02,9.01 07/30/12 AGILENT TECHNOLOGIES INC DE 8.01,9.01 08/03/12 ALAMO GROUP INC DE 2.02,9.01 08/01/12 ALLETE INC MN 8.01 08/03/12 ALLIANCEBERNSTEIN HOLDING L.P. DE 2.02,7.01,9.01 08/02/12 ALLIANCEBERNSTEIN L.P. DE 2.02,7.01,9.01 08/02/12 ALLIANT ENERGY CORP WI 2.02,9.01 08/03/12 Allied World Assurance Co Holdings, A 5.03,9.01 07/30/12 Ally Financial Inc. DE 8.01,9.01 08/03/12 Alon Refining Krotz Springs, Inc. DE 1.01 07/31/12 Alon USA Energy, Inc. DE 1.01 07/31/12 Amarantus BioSciences, Inc. DE 5.02 07/31/12 American Capital Mortgage Investment MD 9.01 08/03/12 AMERICAN EAGLE OUTFITTERS INC DE 2.02,9.01 08/01/12 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 2.02,9.01 08/02/12 AMERICAN LITHIUM MINERALS, INC. 5.02 07/31/12 American Railcar Industries, Inc. ND 7.01,9.01 08/03/12 American Rare Earths & Materials, Cor NV 5.02,9.01 07/31/12 AMERICAN VANGUARD CORP DE 2.02,9.01 08/02/12 ANDERSONS INC OH 2.02 08/02/12 ANGIODYNAMICS INC DE 9.01 05/21/12 AMEND Annie's, Inc. DE 1.01,3.01,9.01 07/31/12 APARTMENT INVESTMENT & MANAGEMENT CO MD 2.02,9.01 08/02/12 APCO OIL & GAS INTERNATIONAL INC 7.01,9.01 08/02/12 Approach Resources Inc DE 2.02,7.01,9.01 08/02/12 ARBOR REALTY TRUST INC MD 2.02,9.01 08/02/12 ARCA biopharma, Inc. DE 1.01,9.01 08/02/12 ARDEN GROUP INC DE 2.02,9.01 08/03/12 Artio Global Investors Inc. DE 7.01,9.01 08/03/12 ASHLAND INC. KY 8.01,9.01 08/03/12 ASSISTED LIVING CONCEPTS INC NV 2.02,9.01 08/03/12 AVALONBAY COMMUNITIES INC MD 1.01,9.01 08/03/12 AVIS BUDGET GROUP, INC. DE 1.01,2.03,9.01 07/31/12 BALLANTYNE STRONG, INC. DE 2.02,9.01 08/03/12 BANKATLANTIC BANCORP INC FL 2.01,5.02,9.01 07/31/12 BEAZER HOMES USA INC DE 2.02,9.01 08/03/12 Behringer Harvard Opportunity REIT I, MD 7.01,9.01 08/03/12 BENCHMARK ELECTRONICS INC TX 1.01,2.03,9.01 07/30/12 BFC FINANCIAL CORP FL 2.01,8.01,9.01 07/31/12 BIMINI CAPITAL MANAGEMENT, INC. MD 7.01 08/03/12 BIODELIVERY SCIENCES INTERNATIONAL IN DE 5.02 08/01/12 BIOMIMETIC THERAPEUTICS, INC. DE 2.02,9.01 08/02/12 BION ENVIRONMENTAL TECHNOLOGIES INC CO 5.02,7.01,8.01,9.01 07/31/12 BKF CAPITAL GROUP INC DE 8.01,9.01 08/02/12 Blackstone Group L.P. DE 7.01,9.01 08/03/12 BLYTH INC DE 2.02 08/03/12 Booz Allen Hamilton Holding Corp DE 8.01,9.01 08/03/12 BRISTOL MYERS SQUIBB CO DE 8.01,9.01 08/01/12 BUCKEYE PARTNERS, L.P. DE 2.02,9.01 08/03/12 CA, INC. DE 5.07 08/01/12 CALGON CARBON CORPORATION DE 5.02,9.01 07/31/12 CAMBRIDGE HEART INC DE 1.01,2.03,3.02,5.02, 07/31/12 8.01 CAMDEN PROPERTY TRUST TX 2.02,9.01 08/02/12 Capella Healthcare, Inc. DE 2.02,9.01 08/03/12 Capstone Therapeutics Corp. DE 1.01,2.01,7.01,9.01 08/03/12 CARRIAGE SERVICES INC DE 2.02,9.01 08/02/12 CASUAL MALE RETAIL GROUP INC DE 5.07 08/02/12 CATALYST PHARMACEUTICAL PARTNERS, INC DE 8.01,9.01 08/02/12 CENTAURUS DIAMOND TECHNOLOGIES, INC. NV 5.02,7.01,9.01 07/31/12 CHAMPIONS ONCOLOGY, INC. DE 5.02,9.01 08/01/12 CHARTER COMMUNICATIONS, INC. /MO/ DE 5.02 08/03/12 Chatham Lodging Trust MD 5.07 05/01/12 CHENIERE ENERGY INC DE 2.02,8.01,9.01 08/03/12 Cheniere Energy Partners, L.P. DE 2.02,8.01,9.01 08/03/12 CHESAPEAKE ENERGY CORP OK 5.02 08/01/12 AMEND China Bilingual Technology & Educatio NV 4.01,9.01 08/01/12 China Hefeng Rescue Equipment, Inc. DE 5.03,5.07,9.01 08/01/12 China Hefeng Rescue Equipment, Inc. DE 4.01,9.01 08/01/12 AMEND CHINA MEDICINE CORP NV 5.02 07/30/12 CIT GROUP INC DE 1.01,9.01 07/31/12 CITY HOLDING CO WV 8.01,9.01 08/02/12 CLOUD PEAK ENERGY INC. DE 7.01,9.01 08/03/12 Colony Financial, Inc. MD 2.02,9.01 08/02/12 COMMUNITY FINANCIAL CORP /VA/ VA 1.01,8.01,9.01 05/11/12 CONSOLIDATED EDISON INC NY 2.02,9.01 08/02/12 Continental Alloy Wheel Corp NV 4.01,9.01 08/01/12 COTT CORP /CN/ 2.02,9.01 08/03/12 COWEN GROUP, INC. DE 2.02,9.01 08/03/12 COWEN GROUP, INC. DE 5.02,9.01 08/02/12 Coyote Resources, Inc. NV 2.03,9.01 08/02/12 CSS INDUSTRIES INC DE 5.07,8.01,9.01 07/31/12 CU Bancorp CA 8.01,9.01 08/03/12 CU Bancorp CA 2.01,5.01,5.02,5.06, 07/31/12 AMEND 8.01,9.01 CubeSmart MD 2.02,7.01,9.01 08/02/12 CURTISS WRIGHT CORP DE 2.02,9.01 06/30/12 DATALINK CORP MN 1.01,2.03,9.01 08/03/12 DCB FINANCIAL CORP OH 2.02,9.01 08/03/12 Dewmar International BMC, Inc. NV 1.01,5.01,5.02 10/28/11 AMEND Dresser-Rand Group Inc. DE 2.02,9.01 08/02/12 DST SYSTEMS INC DE 5.02,9.01 07/31/12 DXP ENTERPRISES INC TX 2.02,9.01 08/03/12 DYNEGY INC. DE 2.02,7.01,9.01 08/03/12 DYNEX CAPITAL INC VA 3.03,5.03,9.01 07/30/12 EASTMAN KODAK CO NJ 2.02,9.01 08/03/12 EGPI FIRECREEK, INC. NV 1.01,2.01,2.03,9.01 08/03/12 AMEND Ellington Financial LLC DE 8.01,9.01 08/02/12 EMMIS COMMUNICATIONS CORP IN 1.01 08/03/12 ENCORE CAPITAL GROUP INC DE 8.01,9.01 08/02/12 ENERGY CONVERSION DEVICES INC DE 1.03,3.03,5.02,9.01 07/30/12 ENTEGRIS INC DE 1.01,2.03,9.01 08/01/12 ENTERCOM COMMUNICATIONS CORP PA 2.02,9.01 08/03/12 ENVIRONMENTAL TECTONICS CORP PA 2.02,9.01 08/02/12 EPAM Systems, Inc. DE 2.02,9.01 08/03/12 EPLUS INC DE 5.02,9.01 07/31/12 Exelis Inc. IN 2.02,7.01,9.01 08/03/12 Expedia, Inc. DE 5.02,9.01 07/31/12 EXTREME NETWORKS INC DE 7.01,9.01 08/01/12 Farm Lands of Africa, Inc. NV 1.01,5.02,9.01 07/30/12 FAUQUIER BANKSHARES, INC. VA 2.02,9.01 08/02/12 FEDERAL SIGNAL CORP /DE/ DE 8.01,9.01 08/02/12 FIDELITY SOUTHERN CORP GA 8.01,9.01 08/01/12 FIRST DATA CORP DE 8.01,9.01 08/02/12 FIRST FINANCIAL BANCORP /OH/ OH 8.01 08/03/12 FIRST NATIONAL CORP /VA/ VA 2.02,9.01 08/01/12 FIRST NIAGARA FINANCIAL GROUP INC DE 2.01,9.01 05/18/12 AMEND FIRST OF LONG ISLAND CORP NY 2.02,9.01 07/30/12 FIRST PACTRUST BANCORP INC MD 2.01,7.01,8.01,9.01 08/02/12 Flagstone Reinsurance Holdings, S.A. N4 8.01 08/02/12 FOSTER WHEELER AG V8 1.01,1.02,2.03 08/03/12 FRANKLIN CREDIT HOLDING CORP/DE/ DE 1.03,9.01 08/02/12 Franklin Financial Corp VA 2.02,9.01 08/02/12 FriendFinder Networks Inc. NV 1.02,8.01 08/01/12 FUSION TELECOMMUNICATIONS INTERNATION DE 7.01 04/26/12 AMEND FX Alliance Inc. 5.07 07/31/12 GALLAGHER ARTHUR J & CO DE 8.01,9.01 08/03/12 GALLAGHER ARTHUR J & CO DE 8.01,9.01 08/03/12 GALLAGHER ARTHUR J & CO DE 8.01,9.01 08/03/12 GALLAGHER ARTHUR J & CO DE 8.01,9.01 08/03/12 GARDNER DENVER INC DE 5.02 07/30/12 GARTNER INC DE 2.02,9.01 08/03/12 GENERAL CABLE CORP /DE/ DE 1.01,2.03,7.01,9.01 08/01/12 Genpact LTD D0 1.01,5.02,8.01,9.01 08/01/12 GeoMet, Inc. DE 3.01,9.01 08/02/12 GERMAN AMERICAN BANCORP, INC. IN 2.02,8.01,9.01 07/30/12 GIBRALTAR INDUSTRIES, INC. DE 2.02,5.03,7.01,9.01 08/01/12 GLIMCHER REALTY TRUST MD 8.01,9.01 08/03/12 Global Technologies Group, Inc. FL 8.01 08/03/12 GRANDPARENTS.COM, INC. DE 1.01 07/30/12 GRANITE CONSTRUCTION INC DE 2.02,9.01 08/02/12 GRAY TELEVISION INC GA 2.02,9.01 08/03/12 Great Lakes Dredge & Dock CORP DE 8.01,9.01 08/03/12 Green PolkaDot Box Inc NV 2.03 07/17/12 GRYPHON GOLD CORP NV 1.01,2.03,3.02,9.01 03/20/12 AMEND GRYPHON GOLD CORP NV 1.01,2.03,3.02,9.01 04/18/12 AMEND GSE Holding, Inc. DE 2.02,9.01 08/03/12 GUARANTY FEDERAL BANCSHARES INC DE 8.01 08/03/12 Hangover Joe's Holding Corp CO 7.01,9.01 08/03/12 HARRIS & HARRIS GROUP INC /NY/ NY 5.03,9.01 08/02/12 HARRIS TEETER SUPERMARKETS, INC. NC 2.02,9.01 08/02/12 HARSCO CORP DE 5.02,5.03,9.01 07/30/12 HARVARD BIOSCIENCE INC DE 2.02,9.01 08/02/12 HAWAIIAN ELECTRIC INDUSTRIES INC HI 2.02,9.01 08/02/12 HD SUPPLY, INC. DE 1.01,2.03,8.01 08/02/12 HEALTH NET INC DE 2.02,9.01 08/03/12 HEARTLAND FINANCIAL USA INC DE 7.01,9.01 07/31/12 HeartWare International, Inc. DE 8.01,9.01 08/02/12 HENNESSY ADVISORS INC 2.02,7.01,9.01 08/02/12 HESS CORP DE 5.02,9.01 08/01/12 hhgregg, Inc. DE 5.07 07/31/12 HOME PROPERTIES INC MD 2.02,9.01 07/31/12 HORNBECK OFFSHORE SERVICES INC /LA DE 8.01,9.01 07/30/12 IDENIX PHARMACEUTICALS INC DE 1.01,8.01,9.01 08/02/12 Ignite Restaurant Group, Inc. 3.01,9.01 08/02/12 IMMERSION CORP DE 8.01 08/03/12 IMMUNOGEN INC MA 2.02,9.01 08/03/12 INCYTE CORP DE 2.02,9.01 08/02/12 AMEND INERGY L P DE 1.01,2.01,2.03,7.01, 08/01/12 9.01 InfuSystem Holdings, Inc DE 2.02,9.01 08/01/12 Inland American Real Estate Trust, In MD 1.01 07/30/12 INTERLINE BRANDS, INC./DE DE 2.02,9.01 08/03/12 Intermec, Inc. DE 2.02,2.06,7.01,9.01 08/02/12 AMEND International Stem Cell CORP DE 5.02 08/01/12 INTEST CORP DE 2.02,9.01 08/01/12 INVESTORS REAL ESTATE TRUST ND 3.03,5.03,8.01,9.01 08/03/12 ISABELLA BANK CORP MI 2.02,9.01 08/02/12 ITT Corp IN 2.02,7.01,9.01 08/03/12 Iveda Solutions, Inc. NV 3.02 07/30/12 IXYS CORP /DE/ DE 2.02,9.01 08/03/12 IZEA, Inc. NV 3.02 08/01/12 JACKSONVILLE BANCORP INC /FL/ FL 2.02,9.01 08/03/12 KADANT INC DE 1.01,2.03,3.03 08/03/12 Kearny Financial Corp. X1 2.02,9.01 08/03/12 KILROY REALTY CORP MD 8.01,9.01 08/03/12 KINDRED HEALTHCARE, INC DE 2.02,7.01,9.01 08/02/12 Kodiak Oil & Gas Corp B0 5.05,9.01 07/31/12 KSW INC NY 2.02,9.01 08/03/12 LA JOLLA PHARMACEUTICAL CO CA 8.01,9.01 08/02/12 LaSalle Hotel Properties MD 1.01,2.03,7.01,9.01 08/02/12 LECROY CORP DE 5.07,8.01,9.01 08/02/12 LENCO MOBILE INC. DE 1.01,2.03,3.02,5.02, 07/30/12 9.01 Liberty Global, Inc. DE 2.02,7.01 08/03/12 Liberty Global, Inc. DE 2.02,7.01 08/03/12 LIMITED BRANDS INC DE 2.02,7.01,8.01,9.01 08/02/12 LIQUIDITY SERVICES INC DE 8.01 08/03/12 LONGWEI PETROLEUM INVESTMENT HOLDING CO 4.01,9.01 08/02/12 LOUISIANA BANCORP INC LA 2.02,9.01 08/03/12 LUCID INC NY 4.01,9.01 07/30/12 Macquarie Infrastructure CO LLC DE 2.02,9.01 08/01/12 MALVERN FEDERAL BANCORP INC X1 2.02,9.01 08/03/12 MARKWEST ENERGY PARTNERS L P 2.02,9.01 08/02/12 MARTIN MIDSTREAM PARTNERS LP DE 2.01,9.01 08/03/12 McEwen Mining Inc. CO 7.01,9.01 08/03/12 MEDIVATION, INC. DE 8.01,9.01 08/03/12 MEMSIC Inc 5.02 08/01/12 MENS WEARHOUSE INC TX 5.02 08/01/12 MERCADOLIBRE INC 2.02,7.01,9.01 08/02/12 MERCADOLIBRE INC 8.01 08/02/12 Merriman Holdings, Inc DE 3.02,3.03,5.03,5.07, 07/30/12 9.01 METROPCS COMMUNICATIONS INC DE 5.02 07/30/12 Mister Goody, Inc. FL 1.01,9.01 08/02/12 MModal Inc. DE 2.02,9.01 08/03/12 MMRGlobal, Inc. DE 3.02 07/30/11 Morningstar, Inc. IL 7.01 08/03/12 MS STRUCTURED SATURNS SERIES 2003-6 DE 8.01,9.01 07/31/12 MS STRUCTURED SATURNS SERIES 2004-2 DE 8.01 08/02/12 MUELLER INDUSTRIES INC DE 8.01,9.01 08/03/12 National American University Holdings DE 2.02,9.01 08/01/12 NATIONAL FUEL GAS CO NJ 2.02,9.01 08/02/12 NATURES SUNSHINE PRODUCTS INC UT 2.02,5.07,8.01,9.01 08/01/12 NAVIGATORS GROUP INC DE 2.02,5.02,7.01,9.01 08/02/12 NETWORK ENGINES INC DE 2.02,9.01 08/02/12 NETWORK EQUIPMENT TECHNOLOGIES INC DE 7.01,9.01 08/03/12 NEULION, INC. 1.01,9.01 08/03/12 Neuralstem, Inc. DE 7.01,9.01 08/03/12 NeurogesX Inc CA 2.02,8.01,9.01 08/03/12 NEW CENTURY BANCORP INC NC 2.02,9.01 07/30/12 NEWS CORP 8.01,9.01 08/03/12 NGL Energy Partners LP DE 5.02 07/31/12 NORFOLK SOUTHERN CORP VA 8.01,9.01 08/03/12 NORTH BAY RESOURCES INC DE 1.01,2.03,3.02,9.01 08/02/12 NORTHWEST NATURAL GAS CO OR 2.02,9.01 08/03/12 NTELOS HOLDINGS CORP 5.02 07/30/12 NYSE Euronext DE 2.02,9.01 08/03/12 Oasis Petroleum Inc. DE 5.02,9.01 07/30/12 OCEANFIRST FINANCIAL CORP DE 5.02,9.01 08/02/12 OLD DOMINION FREIGHT LINE INC/VA VA 1.02,8.01,9.01 07/31/12 OMNICELL, Inc CA 2.01,9.01 05/21/12 AMEND Opko Health, Inc. DE 1.01,2.01,3.02,7.01, 08/02/12 9.01 OPTIMER PHARMACEUTICALS INC 2.02,9.01 08/02/12 Orgenesis Inc. NV 1.01,3.02,9.01 08/02/12 ORION FUTURES FUND LP NY 3.02 08/01/12 OYO GEOSPACE CORP DE 2.02,9.01 08/03/12 PANTRY INC DE 1.01,2.03,2.04,3.03, 08/03/12 8.01,9.01 PENN VIRGINIA RESOURCE PARTNERS L P DE 8.01,9.01 08/03/12 PENN VIRGINIA RESOURCE PARTNERS L P DE 8.01,9.01 08/03/12 PEOPLES BANCORP INC OH 8.01 08/03/12 PHOENIX COMPANIES INC/DE DE 2.02,9.01 08/01/12 PLAINSCAPITAL CORP TX 1.01,2.02,2.03,9.01 07/30/12 PMI Construction Group NV 4.01,9.01 08/01/12 PNM RESOURCES INC NM 2.02,9.01 08/03/12 POPE RESOURCES LTD PARTNERSHIP DE 8.01,9.01 08/03/12 POST DATA, INC. 5.02,8.01,9.01 07/30/12 PPG INDUSTRIES INC PA 1.01,2.03,9.01 07/31/12 Precision Aerospace Components, Inc. 9.01 08/03/12 AMEND PREFERRED APARTMENT COMMUNITIES INC MD 7.01,9.01 08/02/12 PRIMUS TELECOMMUNICATIONS GROUP INC DE 2.05,2.06,5.02,9.01 06/27/12 AMEND PROCTER & GAMBLE Co OH 2.02 08/03/12 PROCTER & GAMBLE Co OH 7.01 08/03/12 PROVIDENT COMMUNITY BANCSHARES, INC. 2.02,9.01 08/03/12 PSS WORLD MEDICAL INC FL 8.01,9.01 08/03/12 Public Storage MD 2.02,9.01 06/30/12 PULSE ELECTRONICS CORP PA 5.02,9.01 07/30/12 PULTEGROUP INC/MI/ MI 8.01 07/30/12 RADIO ONE, INC. DE 2.02,4.02,9.01 08/02/12 RAND CAPITAL CORP NY 2.02,9.01 08/03/12 RBC Bearings INC 2.02,9.01 08/03/12 RealD Inc. DE 5.02,5.07 08/02/12 RELIABRAND INC. 7.01,9.01 07/31/12 REPUBLIC AIRWAYS HOLDINGS INC DE 5.07,8.01 07/31/12 RESOURCE AMERICA, INC. DE 2.02,9.01 08/02/12 RESPONSE GENETICS INC 5.07 07/30/12 ROCKWELL MEDICAL, INC. MI 5.02,9.01 08/03/12 Sarepta Therapeutics, Inc. OR 8.01 08/02/12 SBA COMMUNICATIONS CORP FL 2.02,9.01 08/02/12 SCANA CORP SC 8.01,9.01 08/03/12 SCIQUEST INC DE 2.01,9.01 08/01/12 SCIQUEST INC DE 5.02,9.01 07/31/12 AMEND Scripps Networks Interactive, Inc. OH 5.02,9.01 08/01/12 SEACHANGE INTERNATIONAL INC DE 5.02 08/02/12 Secure Window Blinds, Inc. NV 1.01,5.01,5.02,9.01 08/02/12 Seneca Foods Corp NY 2.02,9.01 06/30/12 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 2.02,9.01 08/03/12 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 7.01,9.01 08/03/12 SIGMA DESIGNS INC CA 1.01,5.03,9.01 08/02/12 SILVER BULL RESOURCES, INC. NV 8.01,9.01 08/03/12 SimplePons, Inc. DE 3.02,7.01,8.01,9.01 07/23/12 SIRONA DENTAL SYSTEMS, INC. DE 2.02,9.01 08/03/12 SKYWEST INC UT 7.01,9.01 08/02/12 SOCKET MOBILE, INC. DE 1.01,3.02,9.01 08/01/12 SOUTHWESTERN ENERGY CO DE 2.02,9.01 08/02/12 SOUTHWESTERN ENERGY CO DE 7.01 08/03/12 SOUTHWESTERN ENERGY CO DE 7.01 08/03/12 STANCORP FINANCIAL GROUP INC OR 8.01,9.01 08/03/12 STAR BUFFET INC DE 4.01 07/26/12 STERLING BANCORP NY 8.01 08/02/12 STERLING BANCORP NY 7.01,9.01 08/02/12 STEWART INFORMATION SERVICES CORP DE 7.01,9.01 08/03/12 STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 08/01/12 STURM RUGER & CO INC DE 7.01 08/02/12 SUNPEAKS VENTURES, INC. NV 8.01,9.01 03/08/12 AMEND SUPERIOR INDUSTRIES INTERNATIONAL INC CA 2.02 08/03/12 SURFACE COATINGS, INC. NV 2.01,8.01 08/03/12 AMEND TACTICAL AIR DEFENSE SERVICES, INC. 1.01,3.02,5.02,7.01, 07/12/12 9.01 TALBOTS INC DE 3.01,3.02,3.03,5.01, 08/02/12 5.02,5.03,9.01 TEL INSTRUMENT ELECTRONICS CORP NJ 1.01,2.03,3.02 07/26/12 TELEPHONE & DATA SYSTEMS INC /DE/ DE 2.02,9.01 08/03/12 Texas Rare Earth Resources Corp. NV 5.02 07/30/12 TII NETWORK TECHNOLOGIES, INC. DE 2.01,3.01,3.03,5.01, 07/31/12 5.02,5.07,7.01,9.01 TIVO INC DE 5.07 08/01/12 TPC Group Inc. DE 2.02,7.01,9.01 08/02/12 Trafalgar Resources, Inc. UT 4.01,9.01 08/01/12 TRAILBLAZER RESOURCES INC. NV 8.01 07/31/12 TRANSCAT INC OH 2.02,9.01 07/31/12 Transcept Pharmaceuticals Inc DE 8.01 07/31/12 Travelport LTD D0 5.02 07/31/12 TREDEGAR CORP VA 2.02,9.01 08/01/12 TRI CITY BANKSHARES CORP WI 2.02,9.01 08/03/12 UFP TECHNOLOGIES INC DE 2.02,9.01 08/02/12 UIL HOLDINGS CORP CT 2.02,7.01,9.01 08/03/12 Ultra Sun Corp UT 4.01,9.01 08/01/12 UNITED REFINING CO PA 5.02 07/30/12 UNITED STATES CELLULAR CORP DE 2.02,9.01 08/03/12 UNIVERSAL HOSPITAL SERVICES INC MN 1.01,9.01 07/31/12 UNWIRED PLANET, INC. DE 5.02,9.01 07/30/12 US AIRWAYS GROUP INC DE 2.02,9.01 08/03/12 US CONCRETE INC DE 1.01,9.01 08/02/12 Valmie Resources, Inc. NV 4.01,9.01 08/01/12 Vanguard Natural Resources, LLC DE 2.02,7.01,8.01,9.01 08/03/12 VECTREN CORP IN 2.02 08/01/12 Viacom Inc. DE 2.02,9.01 08/03/12 VIASPACE Green Energy Inc. D8 5.02,8.01,9.01 07/30/12 VICON INDUSTRIES INC /NY/ NY 2.02,9.01 08/03/12 Warner Chilcott plc 2.02,9.01 08/03/12 WARRINGTON FUND LP NY 3.02 08/01/12 WARWICK VALLEY TELEPHONE CO NY 5.02,9.01 08/03/12 WASHINGTON POST CO DE 2.02,9.01 06/30/12 Weatherford International Ltd./Switze V8 8.01,9.01 08/02/12 WELLCARE HEALTH PLANS, INC. DE 2.02,9.01 08/03/12 WELLCARE HEALTH PLANS, INC. DE 2.02 08/03/12 AMEND Wendy's Co DE 1.01,9.01 08/01/12 Westway Group, Inc. DE 8.01,9.01 08/02/12 WGL HOLDINGS INC VA 2.02,9.01 07/03/12 WHITE MOUNTAIN TITANIUM CORP NV 3.02 07/31/12 White River Capital Inc IN 2.02,9.01 08/03/12 Winthrop Realty Trust OH 2.02,7.01,8.01,9.01 08/02/12 Wonhe High-Tech International, Inc. NV 4.01,9.01 08/01/12 AMEND WORLD HEART CORP DE 2.01,3.01,3.03,5.01, 08/02/12 5.02,5.03,5.07,8.01, 9.01 WRIGHT MEDICAL GROUP INC DE 5.02 07/31/12 XERIUM TECHNOLOGIES INC DE 3.01,9.01 08/02/12 Xtraplan, Inc. NV 5.03,9.01 08/02/12 Your Event, Inc. NV 5.01 08/01/12 YRC Worldwide Inc. DE 2.02,9.01 08/03/12 ZOLTEK COMPANIES INC DE 2.02,9.01 08/02/12
http://www.sec.gov/news/digest/2012/dig080612.htm
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