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ENFORCEMENT PROCEEDINGSSEC Shuts Down $600 Million Online Pyramid and Ponzi SchemeThe Securities and Exchange Commission today announced fraud charges and an emergency asset freeze to halt a $600 million Ponzi scheme on the verge of collapse. The emergency action assures that victims can recoup more of their money and potentially avoid devastating losses. The SEC alleges that online marketer Paul Burks of Lexington, N.C. and his company Rex Venture Group have raised money from more than one million Internet customers nationwide and overseas through the website ZeekRewards.com, which they began in January 2011. According to the SEC’s complaint filed in federal court in Charlotte, N.C., customers were offered several ways to earn money through the ZeekRewards program, two of which involved purchasing securities in the form of investment contracts. These securities offerings were not registered with the SEC as required under the federal securities laws. The SEC alleges that investors were collectively promised up to 50 percent of the company’s daily net profits through a profit sharing system in which they accumulate rewards points that they can use for cash payouts. However, the website fraudulently conveyed the false impression that the company was extremely profitable when, in fact, the payouts to investors bore no relation to the company’s net profits. Most of ZeekRewards’ total revenues and the “net profits” paid to investors have been comprised of funds received from new investors in classic Ponzi scheme fashion. “The obligations to investors drastically exceed the company’s cash on hand, which is why we need to step in quickly, salvage whatever funds remain and ensure an orderly and fair payout to investors,” said Stephen Cohen, an Associate Director in the SEC’s Division of Enforcement. “ZeekRewards misused the power of the Internet and lured investors by making them believe they were getting an opportunity to cash in on the next big thing. In reality, their cash was just going to the earlier investor.” The SEC’s complaint alleges that the scheme is teetering on collapse with investor funds at risk of dissipation without its emergency enforcement action. Last month, ZeekRewards brought in approximately $162 million while total investor cash payouts were approximately $160 million. If customers continue to increasingly elect to receive cash payouts rather than reinvesting their money to reach higher levels of rewards points, ZeekRewards’ cash outflows would eventually exceed its total revenue. Burks has agreed to settle the SEC’s charges against him without admitting or denying the allegations, and agreed to cooperate with a court-appointed receiver. According to the SEC’s complaint, ZeekRewards has paid out nearly $375 million to investors to date and holds approximately $225 million in investor funds in 15 foreign and domestic financial institutions. Those funds will be frozen under the emergency asset freeze granted by the court at the SEC’s request. Meanwhile, Burks has personally siphoned several million dollars of investors’ funds while operating Rex Venture and ZeekRewards, and he distributed at least $1 million to family members. Burks has agreed to relinquish his interest in the company and its assets plus pay a $4 million penalty. Additionally, the court has appointed a receiver to collect, marshal, manage and distribute remaining assets for return to harmed investors. The SEC’s investigation was conducted by Brian M. Privor and Alfred C. Tierney in the SEC’s Enforcement Division in Washington D.C. The SEC acknowledges the assistance of the Quebec Autorite des Marches Financiers and the Ontario Securities Commission. (Press Rel. 2012-160) In the Matter of Dennis L. DeSenderOn August 16, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Dennis L. DeSender (DeSender). On June 4, 2012, a judgment by consent was entered against DeSender, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, in Securities and Exchange Commission v. Walker, et al., Civil Action No. 11-cv-3655 (D. Minn.). The Commission’s complaint alleged that, from at least 2001 to 2010, DeSender made numerous material misrepresentations and omissions to investors and prospective investors in connection with the offer and sale of the securities of Bixby Energy Systems, Inc. (Bixby). The complaint further alleged that, acting as an unregistered broker, DeSender and his company, DLD Financial, Ltd., sold over $12 million in Bixby securities to more than 300 investors. As compensation for their sale of Bixby securities, DeSender and DLD Financial, Ltd. received commissions of at least $3.6 million in cash and warrants to purchase at least 549,000 shares of Bixby common stock. Finally, the complaint alleged that DeSender sold unregistered securities. On September 14, 2011, DeSender pled guilty to one count of securities fraud in a parallel criminal proceeding before the United States District Court for the District of Minnesota, in United States v. Dennis L. DeSender, CR 11-71 (SRN). Based on the above, the Order bars DeSender from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The Order further bars him from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent, or other person who engages in activities with a broker, dealer, or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase of sale of any penny stock. DeSender consented to the issuance of the Order. (Rel. 34-67679; File No. 3-14986) In the Matter of Robert C. ButlerOn August 16, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Robert C. Butler (Respondent). The Order finds that on March 6, 2012, a judgment was entered by consent against Respondent in SEC v. Robert C. Butler, et al. (Civil Action No. SACV 11-3792 MMM (FFMx) (C.D. Cal.)), permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. The Order further finds that the Commission’s complaint in SEC v. Robert C. Butler, et al. alleged that Butler raised at least $3.3 million in an unregistered offering from January 2009 through April 2011. The complaint further alleged that Butler falsely promised investors monthly returns of up to 10% through investments in his day-trading business. The complaint further alleges that Butler never earned such returns, but instead misappropriated investor funds and lost investor funds through unsuccessful trading activity. The complaint also alleged that, to conceal his losses, Butler prepared falsified monthly brokerage account statements that he showed to investors. Based on the above, the Order bars Robert C. Butler from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Respondent consented to the issuance of the Order without admitting or denying any of the findings except as to the entry of the order of permanent injunction. (Rel. IA-3447; File No. 3-14987) New Charges in Insider Trading Case Include Former CEO and Professional Baseball PlayerThe Securities and Exchange Commission today announced a second round of charges in an insider trading case involving former professional baseball players and the former top executive at a California-based medical eye products company that was the subject of the illegal trading. The SEC brought initial charges in the case last year, accusing former professional baseball player Doug DeCinces and three others of insider trading on confidential information ahead of an acquisition of Advanced Medical Optics Inc. DeCinces and his three tippees made more than $1.7 million in illegal profits, and they agreed to pay more than $3.3 million to settle the SEC’s charges. Now the SEC is charging the source of those illegal tips about the impending transaction – DeCinces’s close friend and neighbor James V. Mazzo, who was the Chairman and CEO of Advanced Medical Optics. The SEC also is charging two others who traded on inside information that DeCinces tipped to them – DeCinces’ former Baltimore Orioles teammate Eddie Murray and another friend David L. Parker, who is a businessman living in Utah. The SEC alleges that Murray made approximately $235,314 in illegal profits after Illinois-based Abbott Laboratories Inc. publicly announced its plan to purchase Advanced Medical Optics through a tender offer. Murray agreed to settle the SEC’s charges by paying $358,151. The SEC’s case continues against Parker and Mazzo, the latter of whom was directly involved in the tender offer and tipped the confidential information to DeCinces along the way. According to the SEC’s complaint filed in U.S. District Court for the Central District of California, the total unlawful profits resulting from Mazzo’s illegal tipping was more than $2.4 million. Once Mazzo began tipping DeCinces with confidential information about the upcoming transaction, DeCinces soon began to purchase Advanced Medical Optics stock in several brokerage accounts. DeCinces bought more and more shares as the deal progressed and as he continued communicating with Mazzo. DeCinces tipped at least five others who traded on the inside information, including Murray, Parker, and the three traders who settled their charges along with DeCinces last year – physical therapist Joseph J. Donohue, real estate lawyer Fred Scott Jackson, and businessman Roger A. Wittenbach. According to the SEC’s complaint, Mazzo and DeCinces had been close friends for quite some time and lived in the same exclusive gated community in Laguna Beach, Calif. They socialized together with their wives, belonging to the same Orange County country club and vacationing together overseas. They also communicated frequently by e-mail and through phone calls. Mazzo invested in the restaurant business of DeCinces’ son, and DeCinces’ daughter provided interior decorating services for Mazzo and his wife. Mazzo was directly involved in the impending Advanced Medical Optics/Abbott transaction from its inception in October 2008. With knowledge of confidential information about the deal and his duty not to disclose it, Mazzo illegally tipped DeCinces, who made significant purchases of Advanced Medical Optics shares on Nov. 5, 2008, and continuing up until and near the time of the public announcement of the acquisition. The SEC alleges that Parker and DeCinces had been friends and business associates at the time of the illegal trading. Between Jan. 6 and Jan. 8, 2009, Parker bought 25,000 shares of Advanced Medical Optics stock on the basis of confidential information received from DeCinces about the impending transaction. Parker made approximately $347,920 when he sold the stock on the same day as the public announcement. Meanwhile on January 7, Murray used all of the available cash in his self-directed brokerage account to purchase 17,000 shares of Advanced Medical Optics stock on the basis of the confidential information that DeCinces communicated to him. Murray sold all of his shares following the public announcement. Murray agreed to settle the charges against him without admitting or denying the SEC’s allegations by consenting to the entry of a final judgment permanently enjoining him from violating Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder. Murray agreed to pay disgorgement of $235,314, prejudgment interest of $5,180, and a penalty of $117,657 for a total of $358,151. The settlement is subject to final approval by the court. [SEC v. James V. Mazzo, David L. Parker and Eddie C. Murray, Case No. SACV-121327JST-(JPRX) (C.D. Cal.)] (LR-22451) INVESTMENT COMPANY ACT RELEASESCredit Suisse Asset Management, LLC, et al.An order has been issued on an application filed by Credit Suisse Asset Management, LLC, et al. for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The order (a) permits certain registered management investment companies to acquire shares of certain registered open-end management investment companies that are outside the same group of investment companies as the acquiring investment companies, and (b) permits funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30169 - August 15) SELF-REGULATORY ORGANIZATIONSAccelerated Approval of Proposed Rule ChangeThe Chicago Mercantile Exchange Inc. (CME) filed a proposed rule change (SR-CME-2012-22) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend its rules to facilitate customer portfolio margining of interest rate futures and interest rate swaps. The proposed rule change has been approved on an accelerated basis pursuant to Section 19(b)(2) of the Exchange Act. Publication in the Federal Register is expected during the week of August 20. (Rel. 34-67650) Order Approving a Proposed Rule Change Amending the NYSE MKT Price List to Provide for Additional Co-Location Services and Establish Related FeesThe Commission granted approval of a proposed rule change (SR-NYSEMKT-2012-10), submitted by NYSE MKT LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, to amend the NYSE MKT Price List to Provide for Additional Co-location Services and Establish Related Fees. Publication in the Federal Register is expected during the week of August 20. (Rel. 34-67664) Order Approving a Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Provide for Additional Co-Location Services and Establish Related FeesThe Commission granted approval of a proposed rule change (SR-NYSEMKT-2012-11), submitted by NYSE MKT LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, to amend the NYSE Amex Options Fee Schedule to Provide for Additional Co-location Services and Establish Related Fees. Publication in the Federal Register is expected during the week of August 20. (Rel. 34-67665) Order Approving a Proposed Rule Change Amending the New York Stock Exchange Price List to Provide for Additional Co-Location Services and Establish Related FeesThe Commission granted approval of a proposed rule change (SR-NYSE-2012-18), submitted by the New York Stock Exchange LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, to amend the New York Stock Exchange Price List to Provide for Additional Co-location Services and Establish Related Fees. Publication in the Federal Register is expected during the week of August 20. (Rel. 34-67666) Order Approving a Proposed Rule Change Amending the NYSE Arca Options Fee Schedule to Provide for Additional Co-location Services and Establish Related Fees The Commission granted approval of a proposed rule change (SR-NYSEArca-2012-63), submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, to amend the NYSE Arca Options Fee Schedule to Provide for Additional Co-location Services and Establish Related Fees. Publication in the Federal Register is expected during the week of August 20. (Rel. 34-67667) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change (SR-CBOE-2012-078) filed by Chicago Board Options Exchange, Incorporated to amend the CBOE Stock Exchange Fees Schedule 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 August 20. (Rel. 34-67668) A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to its Automatic Order Handling Process (SR-CBOE-2012-076) 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 August 20. (Rel. 34-67670) A proposed rule change filed by C2 Options Exchange, Incorporated relating to its Automatic Order Handling Process (SR-C2-2012-026) 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 August 20. (Rel. 34-67671) A proposed rule change filed by the C2 Options Exchange, Incorporated (SR-C2-2012-027) making technical, non-substantive clarifications to its Fees Schedule 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 August 20. (Rel. 34-67675) A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-094) to remove the expired pilot under Rule 4753(c) from the NASDAQ Rule Book 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 August 20. (Rel. 34-67678) Order Approving a Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Provide for Additional Co-location Services and Establish Related Fees The Commission granted approval of a proposed rule change (SR-NYSEArca-2012-62), submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, to amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Provide for Additional Co-location Services and Establish Related Fees. Publication in the Federal Register is expected during the week of August 20. (Rel. 34-67669) Approval of Proposed Rule ChangeThe Commission approved a proposed rule change, as modified by Amendment No. 1 thereto, submitted by NYSE Amex LLC (SR-NYSEAmex-2012-029), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, amending commentary .07 to NYSE Amex Options Rule 904 to eliminate position limits for options on the SPDR® S&P 500® exchange-traded fund. Publication in the Federal Register is expected during the week of August 20. (Rel. 34-67672) Notice of Designation of a 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-EDGX-2012-25) filed by EDGX Exchange, Inc. to provide an additional order type, the Route Peg Order. Publication in the Federal Register is expected during the week of August 20. (Rel. 34-67676) Notice of Designation of a 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-EDGA-2012-28) filed by EDGA Exchange, Inc. to provide an additional order type, the Route Peg Order. Publication in the Federal Register is expected during the week of August 20. (Rel. 34-67677) 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-4 NRG ENERGY, INC., 211 CARNEGIE CENTER, -, PRINCETON, NJ, 08540, 609-524-4500 - 0 ($2,008,249,587.00) Equity, (File 333-183334 - Aug. 16) (BR. 02A) S-1 FVA Ventures, Inc., 1607 E. Big Beaver Rd., Suite 110, Troy, MI, 48083, 877-847-2587 - 0 ($175,000,000.00) Equity, (File 333-183335 - Aug. 16) (BR. 09) S-3ASR Molycorp, Inc., 5619 DENVER TECH CENTER PARKWAY, SUITE 1000, GREENWOOD VILLAGE, CO, 80111, (303) 843-8040 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183336 - Aug. 16) (BR. 09B) S-3ASR O REILLY AUTOMOTIVE INC, 233 S PATTERSON AVE, SPRINGFIELD, MO, 65802, 417-829-5878 - 0 ($0.00) Non-Convertible Debt, (File 333-183338 - Aug. 16) (BR. 02C) S-8 PROVIDENCE SERVICE CORP, 64 EAST BROADWAY BLVD., TUSCON, AZ, 85701, 520-747-6600 - 1,500,000 ($15,007,500.00) Equity, (File 333-183339 - Aug. 16) (BR. 09B) S-8 DRINKS AMERICAS HOLDINGS, LTD, 424R MAIN STREET, RIDGEFIELD, CT, 06877, 2037627000 - 2,000,000 ($1,300,000.00) Equity, (File 333-183340 - Aug. 16) (BR. 09A) S-3ASR OLD NATIONAL BANCORP /IN/, ONE MAIN ST, EVANSVILLE, IN, 47708, 8124641434 - 0 ($1.00) Equity, (File 333-183344 - Aug. 16) (BR. 07C) N-2 Pioneer Multi-Asset Credit Trust, 60 STATE STREET, BOSTON, MA, 02109, 617-742-7825 - 40,000 ($1,000,000.00) Equity, (File 333-183345 - Aug. 16) (BR. ) S-8 ACME UNITED CORP, 60 ROUND HILL ROAD, FAIRFIELD, CT, 06824, 203-254-6060 - 170,000 ($1,806,585.00) Equity, (File 333-183351 - Aug. 16) (BR. 06A) S-3 1ST CONSTITUTION BANCORP, 2650 ROUTE 130, BOX 634, CRANBURY, NJ, 08512, 6096554500 - 800,000 ($7,000,000.00) Equity, (File 333-183352 - Aug. 16) (BR. 07B) S-8 L 3 COMMUNICATIONS HOLDINGS INC, 600 THIRD AVENUE, 34TH FLOOR, NEW YORK, NY, 10016, 2126971111 - 0 ($355,368,000.00) Equity, (File 333-183353 - Aug. 16) (BR. 11A) S-8 RF MICRO DEVICES INC, 7628 THORNDIKE ROAD, GREENSBORO, NC, 27409-9421, 3366641233 - 3,000,000 ($11,070,000.00) Equity, (File 333-183354 - Aug. 16) (BR. 10B) S-11 PREFERRED APARTMENT COMMUNITIES INC, 3625 CUMBERLAND BOULEVARD, SUITE 400, ATLANTA, GA, 30339, 770 818 4100 - 0 ($1,003,000,000.00) Equity, (File 333-183355 - Aug. 16) (BR. 08C) S-8 RF MICRO DEVICES INC, 7628 THORNDIKE ROAD, GREENSBORO, NC, 27409-9421, 3366641233 - 17,000,000 ($62,730,000.00) Equity, (File 333-183356 - Aug. 16) (BR. 10B) S-4 HEARTLAND FINANCIAL USA INC, 1398 CENTRAL AVE, DUBUQUE, IA, 52001, 5635892000 - 407,055 ($8,497,414.00) Equity, (File 333-183357 - Aug. 16) (BR. 07C) S-8 AOL Inc., 770 BROADWAY, 4TH FLOOR, NEW YORK, NY, 10003, 703-265-1000 - 0 ($489,100,000.00) Equity, (File 333-183358 - Aug. 16) (BR. 03A) S-1 Icarus Wind Energy, Inc., 110 GREENE STREET, SUITE 403, NEW YORK, NY, 10012, 315-207-3222 - 9,441,955 ($944,195.50) Equity, (File 333-183359 - Aug. 16) (BR. ) S-1 Solid Solar Energy, Inc., 110 GREENE STREET, SUITE 403, NEW YORK, NY, 10012, 315-207-3223 - 9,442,455 ($944,245.50) Equity, (File 333-183360 - Aug. 16) (BR. ) S-8 HMS HOLDINGS CORP, 401 PARK AVENUE SOUTH, NEW YORK, NY, 10016, 2126854545 - 0 ($217,560,000.00) Equity, (File 333-183361 - Aug. 16) (BR. 03A) 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. NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- A123 SYSTEMS, INC. DE 1.01,9.01 08/16/12
A123 SYSTEMS, INC. DE 1.01,2.03,3.02,7.01, 08/16/12
9.01
AccelPath, Inc. DE 4.01,9.01 08/10/12
ACORN ENERGY, INC. DE 7.01,9.01 08/15/12
ADVENT SOFTWARE INC /DE/ DE 5.02,5.03,9.01 08/10/12
AEROFLEX HOLDING CORP. DE 2.02,9.01 08/16/12
Allied Nevada Gold Corp. DE 7.01,9.01 08/15/12
Alliqua, Inc. FL 3.02,9.01 08/14/12
Ally Auto Assets LLC DE 1.01,8.01,9.01 08/15/12
Alpha Natural Resources, Inc. DE 5.02 08/15/12 AMEND
Altisource Portfolio Solutions S.A. N4 1.01,9.01 08/10/12
AMERICAN ENVIRONMENTAL, INC. FL 4.01 08/15/12
AMERICAN FINANCIAL GROUP INC OH 5.03,9.01 08/15/12
American Railcar Industries, Inc. ND 7.01,9.01 08/16/12
American Realty Capital Trust, Inc. DE 8.01 03/06/12 AMEND
AMSURG CORP TN 5.02 08/14/12
ANGIOTECH PHARMACEUTICALS INC 1.01,2.03,3.03,8.01, 08/13/12
9.01
AOXING PHARMACEUTICAL COMPANY, INC. FL 4.02 08/11/12
APPALACHIAN POWER CO VA 8.01,9.01 08/16/12
Arlington Asset Investment Corp. VA 5.02,9.01 08/16/12
AspenBio Pharma, Inc. CO 8.01,9.01 08/15/12
ASSOCIATED MATERIALS, LLC DE 8.01 08/15/12 AMEND
ASTORIA FINANCIAL CORP DE 5.02 08/15/12
AUTOLIV INC DE 8.01,9.01 08/16/12
Avago Technologies LTD U0 2.02,7.01,9.01 08/16/12
BB&T CORP NC 8.01 08/16/12
BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 08/16/12
BIO-PATH HOLDINGS INC UT 2.02,9.01 08/16/12
BIOLIFE SOLUTIONS INC DE 5.02 08/10/12
BIOTIME INC CA 7.01,9.01 08/16/12
BON TON STORES INC PA 2.02,9.01 08/16/12
BOVIE MEDICAL CORP DE 9.01 02/22/12 AMEND
BROADCOM CORP CA 1.01,2.03,5.03,8.01, 08/16/12
9.01
BROCADE COMMUNICATIONS SYSTEMS INC DE 2.02,9.01 08/16/12
BROCADE COMMUNICATIONS SYSTEMS INC DE 5.02,9.01 08/12/12
BUCKLE INC NE 2.02,9.01 08/16/12
CAESARS ENTERTAINMENT Corp DE 7.01,9.01 08/15/12
Campus Crest Communities, Inc. MD 5.02,7.01,9.01 08/15/12
CANANDAIGUA NATIONAL CORP NY 2.02,9.01 06/30/12
Carey Watermark Investors Inc 9.01 05/31/12 AMEND
CCOM Group, Inc. NY 2.02,5.02,9.01 08/10/12
CECIL BANCORP INC MD 5.02 08/15/12
CENTRAL BANCORP INC /MA/ MA 8.01,9.01 08/14/12
CENTRAL EUROPEAN MEDIA ENTERPRISES LT 1.02,2.03 08/16/12
CHARTER COMMUNICATIONS, INC. /MO/ DE 5.02,8.01,9.01 08/15/12
CHEESECAKE FACTORY INC DE 8.01,9.01 08/16/12
CHILDRENS PLACE RETAIL STORES INC 2.02,9.01 08/16/12
China Precision Steel, Inc. CO 5.02,9.01 08/13/12
CHINA SHEN ZHOU MINING & RESOURCES, I NV 2.02,7.01,9.01 08/14/12
CHYRON CORP NY 1.01,2.03,9.01 08/13/12
CLEAN HARBORS INC MA 1.02,9.01 08/13/12
CLEARSIGN COMBUSTION CORP WA 7.01,9.01 08/16/12
CMS ENERGY CORP MI 7.01,9.01 08/16/12
COINSTAR INC DE 7.01 08/16/12
Cole Credit Property Trust III, Inc. MD 8.01 04/27/12
CONSUMER PORTFOLIO SERVICES INC CA 7.01,9.01 08/16/12
CONTINENTAL RESOURCES INC OK 5.07 08/10/12
CONTINENTAL RESOURCES INC OK 1.01,2.03,9.01 08/16/12
CORTEX PHARMACEUTICALS INC/DE/ DE 1.01,2.01,3.02,5.02, 08/10/12
9.01
Crumbs Bake Shop, Inc. DE 2.02,9.01 08/14/12
DAVITA INC DE 8.01,9.01 08/14/12
DECKERS OUTDOOR CORP DE 1.01,2.03,9.01 08/10/12
DELCATH SYSTEMS INC DE 8.01,9.01 08/15/12
Delta Seaboard International, Inc. NV 5.03,9.01 08/16/12
Digital Realty Trust, Inc. 2.03 08/10/12
DOLLAR TREE INC VA 2.02,7.01,9.01 08/16/12
DreamWorks Animation SKG, Inc. 1.01,1.02,2.03,9.01 08/10/12
Duke Energy CORP DE 8.01,9.01 08/13/12
EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 08/16/12
EASTERN AMERICAN NATURAL GAS TRUST DE 1.01,9.01 08/16/12
EASTERN CO CT 1.01,5.02,9.01 08/15/12
Ecologic Transportation, Inc. 1.01,2.01,3.02,5.01, 03/15/12 AMEND
5.02,9.01
ECOLOGY COATINGS, INC. NV 1.01 08/16/12
EDAC TECHNOLOGIES CORP WI 9.01 06/01/12 AMEND
EFT Holdings, Inc. NV 4.01,9.01 08/01/12 AMEND
Emergent BioSolutions Inc. DE 5.03 08/16/12
EMMIS COMMUNICATIONS CORP IN 7.01 08/10/12
ENSURGE INC NV 4.01,9.01 08/01/12 AMEND
Evolucia Inc. NV 5.03,9.01 08/13/12
EXA CORP MA 7.01,9.01 08/15/12
Federal Home Loan Bank of Atlanta X1 2.03 08/16/12
Federal Home Loan Bank of Boston X1 2.03 08/13/12
Federal Home Loan Bank of Chicago X1 2.03 08/14/12
Federal Home Loan Bank of Des Moines X1 2.03,9.01 08/14/12
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/16/12
Federal Home Loan Bank of New York X1 2.03,9.01 08/14/12
Federal Home Loan Bank of New York X1 8.01,9.01 08/16/12
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/13/12
Federal Home Loan Bank of San Francis X1 2.03 08/14/12
Federal Home Loan Bank of Topeka 2.03,9.01 08/14/12
FEDERAL MOGUL CORP DE 9.01 08/09/12 AMEND
FIRST CAPITAL INC IN 5.02 08/15/12
FIRST CASH FINANCIAL SERVICES INC DE 1.01,7.01,9.01 08/10/12
FIRST MIDWEST BANCORP INC DE 5.07 05/16/12 AMEND
FLATBUSH FEDERAL BANCORP INC 2.02,9.01 08/14/12
FLEXIBLE SOLUTIONS INTERNATIONAL INC NV 2.02,9.01 08/14/12
FLUIDIGM CORP DE 1.01,8.01,9.01 08/16/12
FORUM ENERGY TECHNOLOGIES, INC. DE 5.02 08/15/12
G&K SERVICES INC MN 2.02,9.01 08/16/12
GameStop Corp. DE 2.02,8.01,9.01 08/14/12
GAMETECH INTERNATIONAL INC DE 1.01,8.01,9.01 08/10/12
GAP INC DE 2.02,9.01 08/16/12
GARDNER DENVER INC DE 2.05,7.01,9.01 08/16/12
GAYLORD ENTERTAINMENT CO /DE DE 1.01,8.01,9.01 08/13/12
GBS Enterprises Inc NV 1.01,9.01 08/13/12
General Motors Financial Company, Inc TX 1.01,2.03,9.01 08/13/12
Global Growth Trust, Inc. MD 5.02 08/14/12
Global Income Trust, Inc. MD 5.02 08/14/12
GLOBAL PAYMENTS INC GA 1.01,9.01 08/14/12
GLOWPOINT, INC. DE 5.02,9.01 08/15/12
Graystone Co DE 8.01 08/16/12
HARRIS INTERACTIVE INC DE 2.02,9.01 08/16/12
HAUPPAUGE DIGITAL INC DE 5.07 08/15/12
HERSHA HOSPITALITY TRUST MD 2.01,9.01 08/11/12
HollyFrontier Corp DE 7.01,9.01 08/16/12
ICONIX BRAND GROUP, INC. DE 5.07 08/15/12
Imperial Holdings, Inc. 5.02,5.03,9.01 08/02/12 AMEND
Ingredion Inc DE 5.02,9.01 08/15/12
INLAND REAL ESTATE CORP MD 8.01,9.01 08/15/12
Inrad Optics, Inc. NJ 2.02,9.01 08/15/12
InsPro Technologies Corp DE 5.02,5.07 08/15/12
INTERLINE BRANDS, INC./DE DE 8.01 08/14/12
ISC8 INC. /DE DE 2.02,9.01 08/10/12
IXIA CA 9.01 06/01/12 AMEND
JEFFERSONVILLE BANCORP NY 2.02,8.01,9.01 08/15/12
JOLLEY MARKETING INC NV 4.01,9.01 08/07/12 AMEND
JWC Acquisition Corp. DE 8.01 08/15/12
JWC Acquisition Corp. DE 3.03,5.07,8.01,9.01 08/16/12
KBS Legacy Partners Apartment REIT, I MD 5.02 08/13/12
Kior Inc DE 7.01,9.01 08/16/12
KV PHARMACEUTICAL CO /DE/ DE 8.01 08/15/12
LACROSSE FOOTWEAR INC WI 2.01,3.01,3.03,5.01, 08/16/12
5.02,5.03,8.01,9.01
LaPorte Bancorp, Inc. X1 1.01,8.01,9.01 08/10/12
LaPorte Bancorp, Inc. MD 1.01,9.01 08/10/12
Liberty Global, Inc. DE 7.01 08/16/12
LOOKSMART LTD DE 8.01 08/14/12
LSB INDUSTRIES INC DE 8.01 08/10/12
LSI INDUSTRIES INC OH 2.02,9.01 08/16/12
Madison County Financial, Inc. MD 1.01,9.01 08/10/12
MAGNEGAS CORP DE 1.01,8.01,9.01 08/15/12
MARVELL TECHNOLOGY GROUP LTD D0 2.02,8.01,9.01 08/16/12
MCG CAPITAL CORP DE 1.01 08/15/12
Midway Gold Corp A1 7.01,9.01 08/16/12
MILAGRO OIL & GAS, INC. DE 2.02,9.01 08/15/12
Molycorp, Inc. DE 3.02,8.01 08/16/12
Molycorp, Inc. DE 8.01,9.01 08/16/12
Morgans Hotel Group Co. DE 8.01,9.01 08/16/12
MUTUALFIRST FINANCIAL INC MD 8.01,9.01 08/16/12
NATIONAL HEALTH INVESTORS INC MD 8.01,9.01 08/16/12
NATURALLY ADVANCED TECHNOLOGIES INC A1 7.01,9.01 08/16/12
NAUTILUS, INC. WA 5.02 08/09/12
NeoStem, Inc. DE 7.01,9.01 08/15/12
NETWORK EQUIPMENT TECHNOLOGIES INC DE 8.01 08/16/12
New York & Company, Inc. 2.02,9.01 08/16/12
NEWS CORP 8.01,9.01 08/16/12
NORFOLK SOUTHERN CORP VA 8.01,9.01 08/16/12
NTS, INC. NV 8.01,9.01 08/16/12
NYTEX Energy Holdings, Inc. DE 2.02,7.01,9.01 08/16/12
Obagi Medical Products, Inc. DE 5.02,9.01 08/16/12
OCWEN FINANCIAL CORP FL 1.01,9.01 08/15/12
OGE ENERGY CORP. OK 7.01 08/16/12
OLD NATIONAL BANCORP /IN/ IN 8.01,9.01 08/16/12
OPLINK COMMUNICATIONS INC DE 2.02,9.01 08/16/12
OSL HOLDINGS INC. 8.01,9.01 08/15/12
Owens Corning DE 5.02 08/15/12
PARAMETRIC TECHNOLOGY CORP MA 1.01,1.02,2.03,9.01 08/16/12
Patriot Minefinders Inc. NV 7.01,9.01 08/14/12 AMEND
PC MALL INC DE 5.02 08/10/12
Pebblebrook Hotel Trust MD 2.03 08/13/12
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 1.01,2.03 08/15/12
PERRIGO CO MI 2.02,9.01 08/16/12
PERRY ELLIS INTERNATIONAL INC FL 2.02,9.01 08/16/12
PG&E Corp CA 8.01,9.01 08/16/12
Phillips Edison - ARC Shopping Center MD 8.01,9.01 08/13/12
Point.360 CA 1.02,2.03,9.01 08/15/12
PRECISION CASTPARTS CORP OR 5.02,5.07,9.01 08/16/12
PROCTER & GAMBLE Co OH 8.01,9.01 08/16/12
PROVIDENCE SERVICE CORP DE 7.01,9.01 08/16/12
PROVIDENT NEW YORK BANCORP DE 2.01,9.01 08/10/12
PURE BIOSCIENCE, INC. DE 3.01,3.03,5.03,8.01, 08/10/12
9.01
RAPTOR RESOURCES HOLDINGS INC. NV 2.01,3.02,9.01 08/16/12
RED MOUNTAIN RESOURCES, INC. FL 1.01,3.02 07/19/12 AMEND
REGENCY CENTERS CORP FL 1.01,3.03,5.03,9.01 08/14/12
RLI CORP IL 5.02,8.01,9.01 08/15/12
ROSS STORES INC DE 2.02,9.01 08/16/12
ROTATE BLACK INC NV 8.01,9.01 08/16/12
ROYAL GOLD INC DE 1.01,2.01,8.01,9.01 08/10/12
SAUER ENERGY, INC. NV 1.01,9.01 08/16/12
SCANSOURCE INC SC 2.02,9.01 08/16/12
SCHAWK INC 5.02,7.01,9.01 08/14/12
Scio Diamond Technology Corp NV 5.06 08/16/11 AMEND
SEARS HOLDINGS CORP DE 2.02,9.01 08/16/12
SEI HOLDINGS, INC. FL 4.01 08/15/12
SERVICEMASTER CO DE 7.01 08/16/12
SERVICEMASTER CO DE 7.01 08/16/12
SERVICEMASTER CO DE 7.01 08/16/12
SilverSun Technologies, Inc. DE 7.01,9.01 08/15/12
Sino Clean Energy Inc NV 5.02 08/10/12
SMUCKER J M CO OH 5.07 08/15/12
Solar Power, Inc. CA 2.02,9.01 08/16/12
SOLITARIO EXPLORATION & ROYALTY CORP. CO 1.01,2.03,3.02,9.01 08/10/12
SORL Auto Parts Inc DE 7.01,9.01 08/14/12
Sound Financial Bancorp, Inc. MD 8.01,9.01 08/15/12
SOUTHERN UNION CO DE 1.01 08/16/12
STATE BANK FINANCIAL CORP GA 8.01,9.01 08/16/12
STATE STREET CORP MA 5.04 08/16/12
STEIN MART INC FL 2.02,9.01 08/16/12
Strategic Storage Trust, Inc. MD 1.01,2.03,9.01 08/15/12
SYMMETRICOM INC DE 5.02 08/10/12
Targeted Medical Pharma, Inc. 1.01,2.01,3.02,5.01, 08/16/12 AMEND
5.02,5.03,5.06,9.01
TELETOUCH COMMUNICATIONS INC DE 1.01,2.01,9.01 08/11/12
Tennessee Valley Authority 5.02 08/14/12
TETRA TECHNOLOGIES INC DE 5.02,9.01 08/15/12
TNP Strategic Retail Trust, Inc. MD 7.01,8.01,9.01 08/13/12
TRIMAS CORP DE 1.01,8.01,9.01 08/13/12
Tundra Gold Corp. NV 1.02 08/15/12
UNIGENE LABORATORIES INC DE 5.02 08/13/12
Unum Group DE 5.02,9.01 08/15/12
Unum Group DE 9.01 08/16/12
VALMONT INDUSTRIES INC DE 1.01,1.02,2.03,9.01 08/15/12
VASCULAR SOLUTIONS INC MN 8.01 08/14/12
VERINT SYSTEMS INC DE 5.02,8.01 08/16/12
VMWARE, INC. DE 5.02 08/14/12
WABASH NATIONAL CORP /DE DE 7.01,9.01 08/16/12
WAL MART STORES INC DE 2.02,9.01 08/16/12
WELLS FARGO & COMPANY/MN DE 5.03,9.01 08/15/12
WEST CORP DE 1.01,2.03,5.02,8.01, 08/15/12
9.01
WireCo WorldGroup Inc. 2.02 08/15/12
XCEL ENERGY INC MN 7.01 08/16/12
Zayo Group LLC DE 7.01,9.01 08/15/12
ZION OIL & GAS INC DE 1.01,9.01 08/13/12
http://www.sec.gov/news/digest/2012/dig081712.htm
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