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SEC News Digest
Issue 2012-171
September 4, 2012 Commission announcements
Commission Charges China-Based Company and Top Executive with Inflating Financial Results through Phony Sales
The Commission today charged a China-based company and its chief executive with fraud for recording fake sales of a weight loss product to inflate revenues in the company’s financial statements by millions of dollars.
The SEC alleges that China Sky One Medical Inc. (CSKI) falsely stated in 2007 annual and quarterly reports that it had entered into a strategic distribution agreement with a Malaysian company that would become the “exclusive” distributor of CSKI’s “slim patch” in Malaysia and generate $1 million per month in sales. However, the company never actually entered into any such agreement. CSKI instead created approximately $19.8 million in phony export sales to Malaysia that were recorded as revenue in its financial results for 2007 and 2008. CEO Yan-qing Liu certified the overstated financial results, which appear in CSKI’s financial statements through 2010 and continue to impact the company’s retained earnings on its balance sheet. (Rel. 2012-175).
SEC Charges California Man for Illegal Tips to Hedge Fund Manager
The Commission today charged a California man with illegally tipping a hedge fund manager with inside information about Nvidia Corporation’s quarterly earnings that he learned from his friend who worked at the company. The SEC alleges that Hyung Lim of Los Altos, Calif., received $15,000 and stock tips about a pending corporate acquisition for regularly providing a fellow poker player, Danny Kuo, with nonpublic details ahead of Nvidia’s quarterly earnings announcements. Kuo, a hedge fund manager, illegally traded on the information and passed it on to multi-billion dollar hedge fund advisory firms Diamondback Capital Management LLC and Level Global Investors LP. (Rel. 2012-176).
ENFORCEMENT PROCEEDINGS
In The Matter Of Daniel Bogar, Bernerd E. Young, and Jason T. Green
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 against three former executives of Stanford Group Company (SGC), a dually registered U.S. broker-dealer and investment adviser owned by Robert Allen Stanford (Allen Stanford). The Order alleges that these former SGC executives defrauded investors of certificates of deposit (CDs) issued by an affiliated Antiguan bank, Stanford International Bank (SIB). The Division of Enforcement alleges that SGC marketed and sold SIB CDs to U.S. investors as safe and secure based on the purported liquid and diversified composition of SIB’s investment portfolio. However, SIB repeatedly refused to reveal – even to its own affiliate, SGC – the contents of its portfolio. SGC also marketed and sold SIB CDs as “insured” even though the only backing they possessed was the full faith and credit of Allen Stanford. Further, SGC failed to disclose the significant conflicts of interest created by SGC’s overall reliance on cash infusions by SIB and by SGC’s CD-centric compensation program.
The former Stanford Group Company executives charged today (Respondents) are:
- Daniel Bogar, formerly SGC’s President;
- Bernerd E. Young, formerly SGC’s Chief Compliance Officer and Managing Director of Compliance; and
- Jason T. Green, formerly President of SGC’s Private Client Group
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide the Respondents with an opportunity to respond to these allegations, and to determine what sanctions, if any, are necessary and appropriate in the public interest. The Order directs the Administrative Law Judge to issue an initial decision no later than 300 days from the date of service of the Order on the Respondents. (Rel. 33-9356; File No. 3-15003).
Brian M. Campbell Sanctioned
Brian M. Campbell has been barred from association with any broker, dealer, or investment adviser. The sanctions were ordered in an administrative proceeding before an administrative law judge, following a November 2011 conviction for mail fraud. The wrongdoing underlying Campbell’s conviction took place between August 2007 and April 2009. He was the managing director of the subsidiary of a bank that used the services of a broker-dealer and investment adviser and caused commission checks they owed to the bank subsidiary to be paid directly to him and diverted the funds, totaling approximately $571,000, to his own personal bank account. (Rel. 34-67770, IA-3454; File No. 3-14944)
In the Matter of Jason A. D’Amato
The Commission announced the issuance of an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, and Notice of Hearing. In the Order, the Division of Enforcement alleges that Jason A. D’Amato, the former President and Senior Investment Officer of Stanford Capital Management, LLC (SCM), an investment adviser registered with the Commission from September 2006 through September 2009, misrepresented to investors and prospective investors the performance of a proprietary mutual fund wrap product known as Stanford Allocation Strategies (SAS). D’Amato, the portfolio manager for the SAS program, created and used personalized proposals in one-on-one presentations to prospective clients (Pitchbooks) that contained charts showing the annual performance of SAS strategies dating back to 2000. Pitchbooks created after May 2007, however, were materially misleading because they combined – under the heading “historical performance” – hypothetical, backtested data for 2000 to 2004 with audited, composite data for 2005 to 2008, without an appropriate explanation of the differences in the way the data was calculated and presented. D’Amato failed to disclose these facts to clients, prospective clients, and Stanford Group Company (SGC) financial advisers (FAs). Additionally, from at least February 2005 through the Fall of 2008, D’Amato actively misrepresented his credentials to clients, prospective clients, and SGC FAs, holding himself out as a Chartered Financial Analyst (CFA) when, in fact, he had never been a CFA charterholder. To perpetuate this lie, D’Amato fabricated an e-mail, purporting to be sent by the CFA Institute, that congratulated him on passing the Level III CFA exam and achieving CFA charterholder status. Thereafter, D’Amato used the CFA acronym next to his name on his business cards, in his e-mail signature block, and in copies of his biography that were passed along to clients, prospective clients, and SGC FAs. Based on D’Amato’s misrepresentations about his qualifications, SCM and SGC also actively promoted D’Amato as a CFA charterholder.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide D’Amato with an opportunity to respond to these allegations, and to determine what sanctions, if any, are necessary and appropriate in the public interest. The Order directs the Administrative Law Judge to issue an initial decision no later than 300 days from the date of service of the Order on D’Amato. (Rel. 34-67773; File No. 3-15004)
Commission Charges China-Based Company and Top Executive with Inflating Financial Results through Phony Sales
The Commission filed a complaint today in the United States District Court for the Central District of California, charging China Sky One Medical, Inc. (CSKI) and its chief executive officer Yan-qing Liu with fraud for recording fake sales of a weight loss product to inflate revenues in the company’s financial statements by millions of dollars.
The SEC alleges CSKI falsely stated in 2007 annual and quarterly reports that it had entered into a strategic distribution agreement with a Malaysian company that would become the “exclusive” distributor of CSKI’s “slim patch” in Malaysia and generate $1 million per month in sales. However, the company never actually entered into any such agreement. CSKI instead created approximately $19.8 million in phony export sales to Malaysia that were recorded as revenue in its financial results for 2007 and 2008. CEO Yan-qing Liu certified the overstated financial results, which appear in CSKI’s financial statements through 2010 and continue to impact the company’s retained earnings on its balance sheet.
According to the SEC’s complaint, CSKI is based Harbin, China. In addition to weight loss patches, the company produces and sells sprays, ointments, and other Chinese traditional pain relief and health and beauty products. CSKI became a public company trading on the U.S. markets through a reverse merger in May 2006.
The SEC alleges that after CSKI devised the purported strategic distribution agreement with Takasima Industries – which is a Malaysian fitness equipment manufacturer and retailer – CSKI went on to falsely report export sales to Malaysia of more than $12.2 million for 2007, which constituted 25 percent of its total revenues. CSKI then falsely recorded $7.5 million (8.2 percent of total revenues) in such sales for 2008. Virtually all of CSKI’s reported sales to Malaysia via Takasima were bogus. Takasima only purchased $167,542 in slim patches from CSKI in 2007, and none in 2008. And it never entered into any distribution agreement with CSKI and never undertook – much less satisfied – any minimum purchase commitment.
According to the SEC’s complaint, CSKI also falsely claimed in its public filings that its top two customers for 2007 were sales agents for Takasima. CSKI identified those customers as Ningbo Yuehua International Trading Company and Guangzhou Xinghe International Trading Company, which collectively accounted for the phony 25 percent of CSKI’s total revenues for 2007. CSKI claimed that all of these purported sales to Ningbo Yuehua and Guangzhou Xinghe went through Takasima, while in fact Takasima never had any relationship with these two entities.
CSKI and Liu are charged with violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, and various Exchange Act provisions including corporate reporting, recordkeeping, internal controls, and false statements to auditors.
The SEC’s complaint seeks financial penalties against CSKI and Liu as well as disgorgement of ill-gotten gains by Liu, who personally benefited from the overstated financial statements through the company’s 2008 private placement of securities. The SEC also seeks to have Liu reimburse CSKI for certain incentive-based compensation he received during the period affected by the fraud pursuant to Section 304 of the Sarbanes-Oxley Act, and to have Liu barred from acting as an officer or director of a public company. In addition, the SEC seeks to have CSKI and Liu permanently enjoined from future violations of these provisions of the federal securities laws.
In addition to the court action, the Commission issued an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 to determine whether to revoke or suspend registration of CSKI’s securities due to the company’s failure to file its annual report for 2011 or any quarterly reports for 2012.
[SEC v. China Sky One Medical, Inc. and Yan-qing Liu, (Civil Action No. CV12-7543 MWF (MANx) (C.D.Cal.)] (LR-22470; AAE Rel. No. 3404)
[Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934] (Rel. 34-67775; File No. 3-15005)
Hedge Fund Manager and His Firm Ordered to Disgorge more than $2 Million of Illicit Profits from Insider Trading Scheme
The Commission announced that on August 29, 2012, the U. S. District Court for the District of New Jersey entered final judgments against New Jersey hedge fund firm Clay Capital Management, LLC and its former Chief Investment Officer, James F. Turner II, for their roles in an insider trading scheme involving the securities of three companies – Moldflow Corporation, Autodesk, Inc. and Salesforce.com, Inc. The Court ordered Clay Capital and Turner to pay $2.1 million in illicit gains and permanently enjoined them from future violations of the antifraud provisions of the federal securities laws.
The Commission’s August 31, 2011 complaint alleged that Turner’s brother-in-law, a director at Autodesk, tipped Turner with inside information about Autodesk’s planned acquisition of Moldflow in advance of Autodesk’s public merger announcement on May 1, 2008 and about Autodesk’s fourth quarter 2008 earnings in advance of Autodesk’s public earnings announcement in February 2008. The complaint further alleged that Turner’s close friend, a manager at Salesforce, tipped Turner with confidential information about Salesforce’s performance in advance of Salesforce’s public earnings announcement in February 2008. Turner traded on the inside information in Clay Capital’s hedge fund’s account, his personal accounts and several family member’s accounts. Turner also recommended that several other friends and family members trade in the three companies’ securities. In total, the traders made illicit gains of nearly $3.9 million.
In December 2011, Turner pled guilty to securities fraud in a related criminal action brought by the U. S. Attorney’s Office for the District of New Jersey and was sentenced in April 2012 to a prison term of twelve months followed by three years of supervised release and ordered to pay a fine in the amount of $25,000. U. S. v. James Turner, Case No. 2:11-cr-00868 (D.N.J.).
The final judgments, entered pursuant to Clay Capital’s and Turner’s consents, permanently enjoined them from violating Section 17(a) of the Securities Act of 1933, Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder. Without admitting or denying the Commission’s allegations, Clay Capital consented to an order for disgorgement of $1,062,822.36 plus prejudgment interest of $182,444.73, provided that all but $850,000 is waived based on its financial condition. Turner consented to an order for disgorgement of $2,585,241.94 plus prejudgment interest of $430,047.42, provided that all but $1,250,000 is waived based on his financial condition. Turner also has agreed to settle an administrative proceeding, to be instituted based on his criminal conviction and the entry of the permanent injunction, in which the Commission would bar him from associating with any broker, dealer, investment adviser, municipal securities dealer or transfer agent.
[SEC v. Clay Capital Management, LLC, et al., Civil Action No. 2:11-cv-05020-DMC-JAD (D.N.J.)] (LR-22464)
Commission Charges Former Mississippi Investment Adviser, Now Based In Bahamas, With Fraud
On August 31, 2012, the Commission filed a civil action in the United States District Court for the Northern District of Georgia against Anthony K. Welch, a former investment adviser formerly of Oxford, Mississippi, with securities fraud in conjunction with a series of false and misleading press releases issued in 2010 by eHydrogen Solutions, Inc. (“eHydrogen”) and ChromoCure, Inc. (“ChromoCure”), two now defunct microcap stock companies. Welch served as Chairman and Chief Executive Officer of the two companies during the relevant period and was responsible for the issuance of the false and misleading press releases of both companies. Welch is now based offshore, most recently in Freeport, Bahamas.
The Commission’s complaint alleges that from at least March 2010 through August 2010, Welch issued a series of press releases and made other public disclosures containing false and misleading information concerning, among other things, technologies acquired by and revenues generated by eHydrogen and ChromoCure. The complaint also alleges that the period of the false and misleading press releases coincided with suspicious price and trading volume increases in the common stock of eHydrogen and ChromoCure, and further alleged that in multiple instances such statements were intentionally false and misleading, distributed by Welch for no purpose other than to incite trading activity and artificially inflate the price and trading volume of eHydrogen and ChromoCure. For example, in a ChromoCure press release dated March 16, 2010, Welch stated among other things, “[t]he Company’s proprietary Chromosomal Scanner systems have proven accurate and efficient in the measurement of the unique genomic characteristic found in 100% of all cancers and never found in normal cells. The Company’s detection technology has been proven to have an effective accuracy of 100% for all cancers at all stages. This is superior to other detection approaches presently employed by pathologists, including biomarker detections, in every measurable way.” The same press release also stated that “[t]he Company’s detecting technology has an effective accuracy of 100% for all cancers at all stages.” The complaint alleges that this representation was false and misleading and that Welch and ChromoCure issued the statement without any reasonable basis for it, because in reality no 100% accurate cancer detection system is known to exist in the world.
The Complaint alleges that Defendant Welch, by virtue of his conduct, directly or indirectly, has engaged and, unless enjoined, will engage in violations of Section 10(b) of the Securities Exchange Act of 1934 ("Exchange Act") [15 U.S.C. § 78j(b)] and Rule 10b-5 thereunder [17 C.F.R. § 240.10b-5]. Welch also has liability as a controlling person, pursuant to Section 20(a) of the Exchange Act for violations by eHydrogen and ChromoCure of Section 10(b) of the Exchange Act and Rule 10b-5(b) thereunder. Welch is alternatively charged herein with aiding-and-abetting the antifraud violations of eHydrogen and ChromoCure. The Commission seeks a permanent injunction against Welch for fraud, an accounting, disgorgement plus prejudgment interest, civil penalties, a penny stock bar and an officer and director bar.
[SEC v. Anthony K. Welch, Civil Action No. 1:12-cv-3034, ND Ga Aug. 31, 2012] (LR-22463)
SEC Charges Griffin, Accountant and Three Others with Insider Trading
On August 28, 2012, the Commission filed a civil injunctive action against Thomas D. Melvin, Jr. (Melvin), a Griffin, Georgia based CPA; Michael S. Cain (Cain), a registered representative associated with a Commission-registered broker-dealer; Joel C. Jinks (Jinks), a one-time candidate for local sheriff; and Peter C. Doffing (Doffing). The Commission alleges that Melvin disclosed material non-public information about the pending tender offer for Chattem, Inc. (Chattem) securities to Cain and Jinks. The Commission also alleges that Cain tipped Jinks with this same information. The Commission further alleges that Cain, Jinks and Doffing traded in the securities of Chattem based on that material non-public information.
According to the Commission’s complaint, on December 21, 2009, Sanofi-Aventis (Sanofi), a French pharmaceutical company, announced its intent to make a tender offer for Chattem, a Tennessee-based distributor of over-the-counter pharmaceutical products, at the price of $93.50 per share (Announcement). Shares of Chattem closed 32.60% higher on the day of the Announcement than the prior trading day’s close of $69.98 and volume increased more than 3,000% to 10.3 million shares.
The Commission alleges that in early December 2009, several weeks before the Announcement, an independent board member of Chattem who owned Chattem options that would automatically exercise in the event of an ownership change at Chattem, initiated a series of confidential conversations and meetings with his longtime accountant, Melvin, to discuss potential methods of ameliorating the effect of an acquisition of Chattem on his tax liability. The Chattem board member told Melvin sufficient facts such that, given Melvin’s knowledge of the board member’s affairs, Melvin would have clearly known that the board member was discussing Chattem. Melvin and the Chattem board member also discussed the price impact of the tender offer on the board member’s options.
The Commission further alleges that Melvin misappropriated material non-public information regarding the impending tender offer for Chattem securities. Within days of his first meeting with the board member, Melvin disclosed material non-public information about the impending tender offer to Jinks and Cain. Jinks and Cain traded in Chattem securities based on the material non-public information disclosed by Melvin, and Cain tipped Doffing, who also traded.
The Commission’s complaint, filed in the United States District Court for the Northern District of Georgia, alleges that each defendant violated Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder, and seeks against each defendant permanent injunctions, disgorgement with prejudgment interest and civil monetary penalties pursuant to Section 21A of the Exchange Act.
[SEC v. Melvin et al., 1:12-CV-02984-CAP (N.D. Ga.)] (LR-22468)
SEC Charges Georgia Resident with Insider Trading
On August 28, 2012, the Commission filed a civil injunctive action in the Northern District of Georgia against Casey D. Jackson (Jackson). The Commission alleges that Thomas D. Melvin, Jr. (Melvin), a Griffin, Georgia based CPA and friend of C. Roan Berry (Berry), disclosed material non-public information about the pending tender offer for Chattem, Inc. (Chattem) securities to Berry. The Commission also alleges that Berry tipped his next door neighbor, Ashley J. Coots. The Commission further alleges that Coots tipped Casey D. Jackson (Jackson), and that Jackson traded in the securities of Chattem based on that material non-public information.
According to the Commission’s complaint, on December 21, 2009, Sanofi-Aventis (Sanofi), a French pharmaceutical company, announced its intent to make a tender offer for Chattem, a Tennessee-based distributor of over-the-counter pharmaceutical products, at the price of $93.50 per share (Announcement). Shares of Chattem closed 32.60% higher on the day of the Announcement than the prior trading day’s close of $69.98 and volume increased more than 3,000% to 10.3 million shares.
The Commission alleges that in early December 2009, several weeks before the Announcement, an independent board member of Chattem who owned Chattem options that would automatically exercise in the event of an ownership change at Chattem, initiated a series of confidential conversations and meetings with his longtime accountant, Melvin, to discuss potential methods of ameliorating the effect of an acquisition of Chattem on his tax liability. The Chattem board member told Melvin sufficient facts such that, given Melvin’s knowledge of the board member’s affairs, Melvin would have clearly known that the board member was discussing Chattem. Melvin and the Chattem board member also discussed the price impact of the tender offer on the board member’s options.
The Commission further alleges that Melvin misappropriated material non-public information regarding the impending tender offer for Chattem securities. Within days of his first meeting with the board member, Melvin disclosed material non-public information about the impending tender offer to Berry. Berry tipped Coots, who tipped Jackson. Jackson traded in Chattem securities based on the material non-public information Coots disclosed to him.
Jackson has agreed to settle the Commission claims against him by consenting to the entry of a final judgment providing permanent injunctive relief under Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and by paying disgorgement of $2,369.78, prejudgment interest of $221.93, and a penalty of $1,184.89. Jackson neither admits nor denies the Commission’s allegations, and his settlement is subject to court approval.
[SEC v. Jackson, 1:12-CV-02987-CAP (N.D. Ga.)] (LR-22467).
SEC Charges Georgia resident with Insider Trading
On August 28, 2012, the Commission filed a civil injunctive action in the Northern District of Georgia against Ashley J. Coots (Coots). The Commission alleges that Thomas D. Melvin, Jr. (Melvin), a Griffin, Georgia based CPA and friend of C. Roan Berry (Berry), disclosed material non-public information about the pending tender offer for Chattem, Inc. (Chattem) securities to Berry. The Commission also alleges that Berry tipped his next door neighbor, Ashley J. Coots. The Commission further alleges that Coots traded in the securities of Chattem based on that material non-public information and tipped two others, who also traded.
According to the Commission’s complaint, on December 21, 2009, Sanofi-Aventis (Sanofi), a French pharmaceutical company, announced its intent to make a tender offer for Chattem, a Tennessee-based distributor of over-the-counter pharmaceutical products, at the price of $93.50 per share (Announcement). Shares of Chattem closed 32.60% higher on the day of the Announcement than the prior trading day’s close of $69.98 and volume increased more than 3,000% to 10.3 million shares.
The Commission alleges that in early December 2009, several weeks before the Announcement, an independent board member of Chattem who owned Chattem options that would automatically exercise in the event of an ownership change at Chattem, initiated a series of confidential conversations and meetings with his longtime accountant, Melvin, to discuss potential methods of ameliorating the effect of an acquisition of Chattem on his tax liability. The Chattem board member told Melvin sufficient facts such that, given Melvin’s knowledge of the board member’s affairs, Melvin would have clearly known that the board member was discussing Chattem. Melvin and the Chattem board member also discussed the price impact of the tender offer on the board member’s options.
The Commission further alleges that Melvin misappropriated material non-public information regarding the impending tender offer for Chattem securities. Within days of his first meeting with the board member, Melvin disclosed material non-public information about the impending tender offer to Berry. Berry tipped Coots, who traded based on the material non-public information disclosed to him by Berry. Coots also tipped two others, who traded based on the material non-public information Coots disclosed to them.
Coots has agreed to settle the Commission claims against him by consenting to the entry of a final judgment providing permanent injunctive relief under Sections 10(b) and 14(e) of the Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder, and by paying disgorgement of $17,360.43, prejudgment interest of $1,565.48, and a penalty of $13,231.80. Coots neither admits nor denies the Commission’s allegations, and his settlement is subject to court approval.
[SEC v. Coots, 1:12-CV-02986-CAP (N.D. Ga.)] (LR- 22466); SEC v. C. Roan Berry, Civil Action No. 1:12-CV-02985-CAP, (N.D. Ga.](LR-22465).
SELF-REGULATORY ORGANIZATIONS
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by NYSE MKT LLC amending the NYSE Amex Options Fee Schedule to change the number of Amex Trading Permits required by NYSE Amex Market Makers based on the number of options in their appointment (SR-NYSEMKT-2012-44) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week of September 3rd. (Rel. 34-67764).
A proposed rule change filed by EDGA Exchange, Inc. relating to Edge Routed Liquidity Report (SR-EDGA-2012-38) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of September 3rd. (Rel. 34-67765)
A proposed rule change filed by EDGX Exchange, Inc. relating to Edge Routed Liquidity Report (SR-EDGX-2012-37) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of September 3rd. (Rel. 34-67766)
Notice of Proposed Rule Change
C2 Options Exchange, Incorporated has filed a proposed rule change (SR-C2-2012-024) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to adopt a Designated Primary Market-Maker program. Publication is expected in the Federal Register during the week of September 3rd. (Rel. 34-67772).
INVESTMENT COMPANY ACT RELEASES
Cash Account Trust, et al.
A notice has been issued giving interested persons until September 24, 2012, to request a hearing on an application filed by Cash Account Trust, et al., for an order under Sections 6(c) and 17(b) of the Investment Company Act (Act) for an exemption from Section 17(a) of the Act. The order would permit certain registered investment companies (Funds) to engage in principal transactions involving taxable money market instruments and repurchase agreements with a broker‑dealer that is an affiliated person of an affiliated person of the Funds. (IC Rel. 30188 / August 31, 2012)
SECURITIES ACT REGISTRATIONS
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-8 XPO Logistics, Inc., 5 GREENWICH OFFICE PARK, GREENWICH, CT, 06831,
(203) 413-4003 - 0 ($4,880,000.00) Equity, (File 333-183648 - Aug. 31)
(BR. 05C)
S-3D American Realty Capital Trust III, Inc., 405 PARK AVE, NEW YORK, NY,
10022, (212) 415-6500 - 0 ($237,500,000.00) Equity, (File 333-183649 -
Aug. 31) (BR. 08B)
S-8 Taomee Holdings Ltd, 16/F, Bldg No. A-2, No. 1528 Gumei Road,
Xuhui District, Shanghai, F4, 200233, (86-21) 6128-0056 -
0 ($5,700,000.00) ADRs/ADSs, (File 333-183651 - Aug. 31) (BR. 03A)
S-8 CREDITRISKMONITOR COM INC, 704 EXECUTIVE BOULEVARD, SUITE A,
VALLEY COTTAGE, NY, 10989, 845-230-3000 - 0 ($3,950,000.00) Equity,
(File 333-183652 - Aug. 31) (BR. 11C)
S-8 STATE STREET CORP, ONE LINCOLN STREET, BOSTON, MA, 02111,
617 786-3000 - 0 ($639,375,000.00) Equity, (File 333-183656 - Aug. 31)
(BR. 12A)
S-8 Luxeyard, Inc., 4063 GLENCOE AVE., SUITE A, MARINA DEL REY,, CA, 90292,
(323)-488-3574 - 13,005,000 ($1,690,650.00) Equity, (File 333-183657 -
Aug. 31) (BR. 02)
S-8 Nutrastar International Inc., 7/F JINHUA MANSION, 41 HANGUANG STREET,
NANGANG DISTRICT,, HARBIN, F4, 150080, (86) 451-82287746 -
1,500,000 ($1,650,000.00) Equity, (File 333-183658 - Aug. 31) (BR. 11C)
S-1 Green Living Concepts Inc., 1810 E.SAHARA AVENUE, SUITE 1495,
LAS VEGAS, NV, 89104, (702) 866-9960 - 50,000,000 ($400,000.00) Equity,
(File 333-183659 - Aug. 31) (BR. )
S-3 NATIONAL RESEARCH CORP, 1245 Q STREET, LINCOLN, NE, 68508, 4024752525 -
4,000,000 ($197,960,000.00) Equity, (File 333-183660 - Aug. 31)
(BR. 01B)
S-4 Canopius Holdings Bermuda Ltd, CANON'S COURT, 22 VICTORIA STREET,
HAMILTON HM12, D0, HM12, (441) 295-2244 - 0 ($848,860,756.56) Equity,
(File 333-183661 - Aug. 31) (BR. )
S-3 SOLITARIO EXPLORATION & ROYALTY CORP., 4251 KIPLING STREET, SUITE 390,
WHEAT RIDGE, CO, 80033, 3035341030 - 1,624,748 ($2,500,000.00) Equity,
(File 333-183662 - Aug. 31) (BR. 09B)
S-8 PROVIDENT NEW YORK BANCORP, 400 RELLA BLVD, MONTEBELLO, NY, 10901,
8453698040 - 0 ($26,275,994.01) Equity, (File 333-183663 - Aug. 31)
(BR. 07C)
S-8 KAYAK Software Corp, 55 NORTH WATER STREET, SUITE 1, NORWALK, CT,
06854, 2038993100 - 0 ($168,455,540.52) Equity, (File 333-183664 -
Aug. 31) (BR. 03B)
S-8 BSQUARE CORP /WA, 110 110TH AVENUE NE, SUITE 200, BELLEVUE, WA,
98004, 4255195900 - 0 ($812,026.50) Equity, (File 333-183667 - Aug. 31)
(BR. 03B)
S-8 BSQUARE CORP /WA, 110 110TH AVENUE NE, SUITE 200, BELLEVUE, WA,
98004, 4255195900 - 0 ($1,080,000.00) Equity, (File 333-183668 -
Aug. 31) (BR. 03B)
S-3ASR BioMed Realty Trust Inc, 17190 BERNARDO CENTER DRIVE, SAN DIEGO, CA,
92128, 858-485-9840 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-183669 - Aug. 31) (BR. 08C)
S-3ASR BioMed Realty Trust Inc, 17190 BERNARDO CENTER DRIVE, SAN DIEGO, CA,
92128, 858-485-9840 - 0 ($1.01) Equity, (File 333-183670 - Aug. 31)
(BR. 08C)
S-1 Alon USA Partners, LP, 7616 LBJ FREEWAY, SUITE 300, DALLAS, TX, 75251,
(972)367-3600 - 0 ($230,000,000.00) Limited Partnership Interests,
(File 333-183671 - Aug. 31) (BR. )
S-1 ProShares Trust II, 7501 WISCONSIN AVE, SUITE 1000, BETHESDA, MD,
20814, 240-497-6400 - 0 ($600,000,000.00) Other, (File 333-183672 -
Aug. 31) (BR. 08B)
S-3 Trius Therapeutics Inc, 6310 NANCY RIDGE DR SUITE 105, SAN DIEGO, CA,
92121, 858-452-0370 - 0 ($77,000,000.00) Unallocated (Universal) Shelf,
(File 333-183673 - Aug. 31) (BR. 01B)
S-3 ProShares Trust II, 7501 WISCONSIN AVE, SUITE 1000, BETHESDA, MD,
20814, 240-497-6400 - 0 ($1,533,246,073.00) Other, (File 333-183674 -
Aug. 31) (BR. 08B)
S-3 DELCATH SYSTEMS INC, 810 SEVENTH AVENUE, FL 35, NEW YORK, NY, 10019,
212-489-2100 - 0 ($37,032,801.00) Other, (File 333-183675 - Aug. 31)
(BR. 10A)
S-3ASR BioMed Realty Trust Inc, 17190 BERNARDO CENTER DRIVE, SAN DIEGO, CA,
92128, 858-485-9840 - 0 ($1.01) Equity, (File 333-183676 - Aug. 31)
(BR. 08C)
S-3ASR BioMed Realty Trust Inc, 17190 BERNARDO CENTER DRIVE, SAN DIEGO, CA,
92128, 858-485-9840 - 0 ($1.02) Equity, (File 333-183677 - Aug. 31)
(BR. 08C)
S-8 FriendFinder Networks Inc., 6800 BROKEN SOUND PARKWAY, BOCA RATON, FL,
33487, (561) 912-7000 - 2,000,000 ($1,780,000.00) Equity,
(File 333-183678 - Aug. 31) (BR. 03C)
S-3 MANNKIND CORP, 28903 NORTH AVE PAINE, VALENCIA, CA, 91355, 6617755300 -
0 ($500,000,000.00) Other, (File 333-183679 - Aug. 31) (BR. 01B)
S-1 Advaxis, Inc., TECHNOLOGY CENTRE OF NEW JERSEY, 675 ROUTE 1,
NORTH BRUNSWICK, NJ, 08902, 732 545 1590 -
11,326,923 ($690,942.30) Equity, (File 333-183682 - Aug. 31) (BR. 01A)
S-1 Technology Applications International Corp,
1001 BRICKELL BAY DRIVE, SUITE 1716, MIAMI, FL, 33131, (786) 360-3429 -
12,448,000 ($12,448,000.00) Other, (File 333-183683 - Aug. 31) (BR. 06B)
N-2 PCM FUND, INC., 1633 BROADWAY, NEW YORK, NY, 10019, 212 -739-3000 -
82,169 ($999,996.73) Equity, (File 333-183684 - Aug. 31) (BR. 17)
S-1 ORAGENICS INC, 12085 RESEARCH DRIVE, ALACHUA, FL, 32615, 3864184018 -
9,437,834 ($21,423,884.00) Equity, (File 333-183685 - Aug. 31) (BR. 01B)
S-3ASR Aon plc, 8 DEVONSHIRE SQUARE, LONDON, X0, EC2M 4PL, (44) 20 7623 5500 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-183686 - Aug. 31)
(BR. 01A)
S-8 DHT Holdings, Inc., 26 NEW STREET, ST. HELIER, JERSEY, CHANNEL IS, X0,
JE23RA, 00 44 1534 639759 - 455,000 ($2,557,100.00) Equity,
(File 333-183687 - Aug. 31) (BR. 05A)
S-3 YOU ON DEMAND HOLDINGS, INC., 27 UNION SQUARE, WEST, SUITE 502,
NEW YORK, NY, 10003, 212-206-1216 - 0 ($50,000,000.00) Equity,
(File 333-183689 - Aug. 31) (BR. 11A)
S-1 Advaxis, Inc., TECHNOLOGY CENTRE OF NEW JERSEY, 675 ROUTE 1,
NORTH BRUNSWICK, NJ, 08902, 732 545 1590 -
15,000,000 ($915,000.00) Equity, (File 333-183690 - Aug. 31) (BR. 01A)
RECENT 8K FILINGS
Form 8-K is used by companies to file current reports on the following events:
1.01
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Entry into a Material Definitive Agreement
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1.02
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Termination of a Material Definitive Agreement
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1.03
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Bankruptcy or Receivership
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2.01
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Completion of Acquisition or Disposition of Assets
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2.02
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Results of Operations and Financial Condition
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2.03
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Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
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2.04
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Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
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2.05
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Cost Associated with Exit or Disposal Activities
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2.06
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Material Impairments
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3.01
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Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
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3.02
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Unregistered Sales of Equity Securities
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3.03
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Material Modifications to Rights of Security Holders
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4.01
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Changes in Registrant's Certifying Accountant
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4.02
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Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
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5.01
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Changes in Control of Registrant
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5.02
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer
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5.03
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Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
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5.04
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Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
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5.05
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Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
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5.06
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Change in Shell Company Status
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6.01
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ABS Informational and Computational Material.
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6.02
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Change of Servicer or Trustee.
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6.03
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Change in Credit Enhancement or Other External Support.
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6.04
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Failure to Make a Required Distribution.
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6.05
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Securities Act Updating Disclosure.
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7.01
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Regulation FD Disclosure
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8.01
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Other Events
|
9.01
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Financial Statements and Exhibits
|
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 STATE 8K ITEM NUMBERS DATE COMMENT
3DICON CORP 1.01,2.03,3.02,9.01 08/24/12
ACACIA RESEARCH CORP DE 8.01 08/30/12
ACELRX PHARMACEUTICALS INC DE 8.01,9.01 08/23/12
ACELRX PHARMACEUTICALS INC DE 1.01,9.01 08/31/12
ACELRX PHARMACEUTICALS INC DE 8.01,9.01 08/31/12
ACHILLION PHARMACEUTICALS INC DE 1.01,8.01,9.01 08/30/12
ACTIVE NETWORK INC DE 5.02 08/28/12
Advanced Cloud Storage, Inc. NV 4.01,9.01 08/02/12 AMEND
AIR LEASE CORP DE 5.02,9.01 08/28/12
Alarion Financial Services Inc 5.02,9.01 08/31/12
ALPHARX INC DE 1.01,9.01 08/29/11
ALR TECHNOLOGIES INC. NV 3.02,5.01,5.02 08/31/12
AMAG PHARMACEUTICALS INC. DE 1.01,5.02,9.01 08/27/12
AMBASE CORP DE 5.02,8.01 08/31/12
American Caresource Holdings, Inc. DE 5.03,9.01 08/31/12
American Realty Capital Properties, I MD 8.01,9.01 08/30/12
AMERIGROUP CORP 1.01 08/27/12
AMPAL-AMERICAN ISRAEL CORP NY 1.03,3.01,9.01 08/30/12
Anoteros, Inc. NV 3.02,5.02,8.01 08/22/12
Aon plc X0 8.01,9.01 08/31/12
ARRAY BIOPHARMA INC DE 5.02,9.01 08/31/12
ARTESIAN RESOURCES CORP DE 1.01 08/31/12
ASSISTED LIVING CONCEPTS INC NV 8.01 08/29/12
AURORA DIAGNOSTICS HOLDINGS LLC 8.01,9.01 08/31/12
Bacterin International Holdings, Inc. DE 7.01,9.01 08/31/12
Bank of Commerce Holdings CA 2.01,9.01 08/31/12
BankGuam Holding Co 8.01,9.01 08/27/12
BankUnited, Inc. DE 5.02,9.01 08/29/12
BELK INC 2.01,9.01 08/30/12
BioMed Realty Trust Inc MD 8.01,9.01 08/31/12
BLUE DOLPHIN ENERGY CO DE 7.01 08/31/12
BODY CENTRAL CORP 5.02,9.01 08/31/12
BON TON STORES INC PA 5.02 08/29/12
Carter Validus Mission Critical REIT, MD 1.01,2.01,2.03, 08/27/12
7.01,9.01
Casablanca Mining Ltd. NV 5.02,8.01 08/30/12
CASTLE A M & CO MD 1.01,3.03,5.03, 08/31/12
8.01,9.01
CCOM Group, Inc. NY 1.01,2.03,9.01 08/28/12
CELL THERAPEUTICS INC WA 3.03,5.03,7.01,9.01 08/30/12
CELL THERAPEUTICS INC WA 2.02,7.01,9.01 08/31/12
CENTRAL PACIFIC FINANCIAL CORP HI 5.02 08/27/12
Cereplast Inc NV 1.01,3.02,9.01 08/24/12
CERUS CORP DE 1.01,9.01 08/31/12
CHART INDUSTRIES INC DE 7.01,9.01 08/31/12
Chefs' Warehouse, Inc. DE 5.02,7.01,9.01 08/27/12
China Intelligence Information System NV 5.02,9.01 08/27/12
CHS INC MN 8.01 08/31/12
CITIZENS HOLDING CO /MS/ MS 7.01,9.01 08/30/12
CLAIRES STORES INC DE 5.02 08/28/12
CLEAR SYSTEM RECYCLING, INC. NV 1.01,9.01 08/23/12
COLLECTIVE BRANDS, INC. DE 2.02,7.01,9.01 08/31/12
Constellation Energy Partners LLC DE 5.02 08/30/12
CROSSTEX ENERGY INC DE 1.01,2.03,8.01,9.01 08/30/12
CROSSTEX ENERGY LP DE 1.01,2.03,8.01,9.01 08/30/12
CROWN DYNAMICS CORP DE 1.01,2.03,3.02,9.01 08/29/12 AMEND
CVB FINANCIAL CORP CA 8.01,9.01 08/28/12
CYANOTECH CORP NV 5.07 08/27/12
CYTOMEDIX INC DE 9.01 02/08/12 AMEND
Dakota Gold Corp FL 2.03,9.01 08/27/12
Daulton Capital Corp. NV 1.01,9.01 08/20/12
Daulton Capital Corp. NV 5.02,9.01 08/28/12
DAVE & BUSTERS INC MO 2.02,9.01 08/30/12
DEBT RESOLVE INC DE 5.02 08/28/12
DENMARK BANCSHARES INC WI 8.01,9.01 08/31/12
DGT Holdings Corp. NY 2.02,5.02,9.01 08/29/12
Dialogic Inc. DE 3.01 08/28/12
Discover Card Execution Note Trust DE 8.01 08/30/12
DISCOVER CARD MASTER TRUST I DE 8.01 08/30/12
DreamWorks Animation SKG, Inc. 2.01,9.01 08/29/12
DYNEGY INC. DE 8.01,9.01 08/30/12
Eastern Insurance Holdings, Inc. PA 8.01,9.01 08/31/12
EdgeWave, Inc. DE 5.03 08/30/12
EDUCATIONAL DEVELOPMENT CORP DE 5.02,8.01,9.01 08/31/12
eHealth, Inc. DE 1.01,2.03,9.01 08/29/12
EMTEC INC/NJ UT 1.01,9.01 08/29/12
Energy Services of America CORP DE 5.02,9.01 08/31/12 AMEND
EOG RESOURCES INC DE 8.01 08/31/12
EPICEPT CORP 1.01,5.02,9.01 08/27/12
ESTERLINE TECHNOLOGIES CORP DE 2.02,9.01 08/30/12
Evercore Partners Inc. DE 5.02,8.01 08/31/12
ExamWorks Group, Inc. DE 1.01,2.01,2.03, 08/31/12
7.01,9.01
FAIRWAY PROPERTIES, INC. NV 1.01,5.01,5.02,9.01 08/28/12
FBL FINANCIAL GROUP INC IA 7.01 08/31/12
FIELDPOINT PETROLEUM CORP CO 7.01,9.01 08/30/12
FIRST COMMUNITY CORP /SC/ SC 8.01,9.01 08/29/12
FIRSTMERIT CORP /OH/ OH 5.02 08/31/12
FLATBUSH FEDERAL BANCORP INC 5.02 08/31/12
FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 5.02 08/31/12
Fresh Traffic Group Inc. NV 2.01,3.02,5.01, 08/28/12
5.02,5.03,9.01
FriendFinder Networks Inc. NV 7.01,9.01 08/31/12
FS Investment CORP MD 1.01,1.02,2.03,9.01 08/29/12
GLOBALWISE INVESTMENTS INC NV 1.01,2.03,9.01 08/27/12
GUESS INC DE 1.01,2.03,9.01 08/31/12
GYMBOREE CORP DE 5.02 08/27/12
HEALTHCARE REALTY TRUST INC MD 8.01 08/31/12
Healthient, Inc. 5.07 08/31/12
HEINZ H J CO PA 5.03,9.01 08/28/12
HELEN OF TROY LTD 5.07 08/28/12
HELICOS BIOSCIENCES CORP DE 8.01 08/28/12
HERITAGE FINANCIAL CORP /WA/ WA 8.01,9.01 08/30/12
Hines Global REIT, Inc. MD 8.01 08/30/12
HINES REAL ESTATE INVESTMENT TRUST IN 8.01 08/31/12
HKN, Inc. DE 1.01 08/30/12
HOMEAWAY INC DE 7.01,9.01 08/31/12
Horsehead Holding Corp 1.01,2.03,9.01 08/28/12
HUDSON CITY BANCORP INC DE 1.01,9.01 08/27/12
iMetrik M2M Solutions Inc. NV 7.01,9.01 08/31/12
Imprimis Pharmaceuticals, Inc. DE 1.01,3.02,8.01,9.01 08/30/12
INDEPENDENT BANK CORP /MI/ MI 5.02 08/28/12
INFINITE GROUP INC DE 5.02 08/29/12
Invesco Mortgage Capital Inc. MD 1.01,9.01 08/31/12
IRONWOOD PHARMACEUTICALS INC 8.01,9.01 08/30/12
ISABELLA BANK CORP MI 8.01,9.01 08/30/12
ISRAEL GROWTH PARTNERS ACQUISITION CO DE 1.01,5.07,9.01 08/28/12
Kraft Foods Group, Inc. 5.02 08/27/12
KRAFT FOODS INC VA 5.02 08/27/12
LEVI STRAUSS & CO DE 5.02 07/31/12 AMEND
Liberty Interactive Corp 7.01,9.01 08/29/12
LIFE PARTNERS HOLDINGS INC TX 5.02 08/31/12
Live Nation Entertainment, Inc. DE 8.01 08/29/12
Location Based Technologies, Inc. NV 8.01,9.01 08/27/12
Longhai Steel Inc. NV 5.02 08/29/12
M&T BANK CORP NY 1.01,9.01 08/27/12
MAGELLAN MIDSTREAM PARTNERS LP DE 8.01 08/30/12
MATERION Corp 1.01,9.01 08/24/12
McEwen Mining Inc. CO 7.01,9.01 08/31/12
MEDIVATION, INC. DE 8.01,9.01 08/31/12
METALICO INC 5.03,9.01 08/31/12
METLIFE INC DE 8.01,9.01 08/27/12
MMRGlobal, Inc. DE 3.02 08/28/12
MONAR INTERNATIONAL INC. NV 7.01,9.01 08/31/12
MONSANTO CO /NEW/ DE 5.02,9.01 08/29/12
MusclePharm Corp NV 1.02,9.01 08/21/12
MYERS INDUSTRIES INC OH 5.02,9.01 08/31/12
National American University Holdings DE 5.03,8.01,9.01 08/27/12
Naugatuck Valley Financial Corp 5.02,8.01,9.01 08/31/12
NEOMAGIC CORP DE 5.02 08/31/12
NEWS CORP 8.01,9.01 08/31/12
NORTHWEST BIOTHERAPEUTICS INC DE 1.01,2.03,3.02 08/27/12
NTS REALTY HOLDINGS LP DE 8.01,9.01 08/31/12
O REILLY AUTOMOTIVE INC 8.01 08/28/12
OLD NATIONAL BANCORP /IN/ IN 1.01,7.01,9.01 08/28/12
OMEGA PROTEIN CORP NV 7.01,9.01 08/30/12
ON SEMICONDUCTOR CORP DE 5.02 08/30/12
OPTICAL CABLE CORP VA 1.01,9.01 08/31/12
ORTHOFIX INTERNATIONAL N V 5.02,9.01 08/29/12
Oryon Technologies, Inc. NV 1.02,3.02 08/31/12
OxySure Systems Inc 3.02 08/29/12
PACIFIC PREMIER BANCORP INC DE 8.01,9.01 08/31/12
Patriot Coal CORP DE 7.01,9.01 08/30/12
PECO ENERGY CO PA 1.01,2.03,9.01 08/31/12
PEGASYSTEMS INC MA 1.01,5.02,9.01 08/27/12
PERCEPTRON INC/MI MI 8.01,9.01 08/30/12
Phillips Edison - ARC Shopping Center MD 1.01,2.01,9.01 08/30/12
PINNACLE AIRLINES CORP DE 8.01,9.01 08/31/12
PLATINUM ENERGY SOLUTIONS, INC. NV 5.02 08/27/12
POSITIVEID Corp DE 7.01 08/28/12
POTASH CORP OF SASKATCHEWAN INC Z4 1.04 08/31/12
POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 08/31/12
PROASSURANCE CORP DE 7.01,8.01,9.01 08/31/12
PROGRESS SOFTWARE CORP /MA MA 7.01,9.01 08/28/12
PROSPECT CAPITAL CORP MD 2.01,3.02,9.01 06/15/12 AMEND
PRUDENTIAL BANCORP INC OF PENNSYLVANI 5.02,9.01 08/28/12
Punchline Entertainment, Inc. NV 1.01,9.01 08/27/12
Pzena Investment Management, Inc. DE 5.02 08/31/12
R F INDUSTRIES LTD NV 5.07,8.01,9.01 08/30/12
Rand Logistics, Inc. DE 1.01,1.02,2.03,9.01 08/30/12
Rangeford Resources, Inc. NV 5.02,7.01,9.01 08/28/12
RED TRAIL ENERGY, LLC 4.01 08/27/12
Resource Real Estate Opportunity REIT MD 9.01 06/20/12 AMEND
RFS HOLDING LLC 1.01,9.01 08/29/12
Roundy's, Inc. DE 8.01,9.01 08/31/12
RYDER SYSTEM INC FL 8.01 08/16/12
SANDRIDGE ENERGY INC DE 8.01,9.01 06/20/12 AMEND
SCHNITZER STEEL INDUSTRIES INC OR 2.05,5.02,7.01,9.01 08/27/12
SCIQUEST INC DE 2.01,9.01 08/01/12 AMEND
SEACOAST BANKING CORP OF FLORIDA FL 5.02 08/31/12
SHAW GROUP INC LA 8.01,9.01 08/31/12
Silver Dragon Resources Inc. DE 5.02,9.01 08/31/12
SilverSun Technologies, Inc. DE 2.01,9.01 08/30/12 AMEND
SIMMONS FIRST NATIONAL CORP AR 8.01,9.01 08/31/12
SLM Student Loan Trust 2006-7 DE 8.01,9.01 08/31/12
SOLUTION TECHNOLOGY INTERNATIONAL INC 1.01 08/31/12
SOUTH AMERICAN GOLD CORP. NV 4.02 08/31/12
SOUTHWEST AIRLINES CO TX 5.02 08/29/12
SPECTRUM GROUP INTERNATIONAL, INC. DE 8.01,9.01 08/30/12
Spy Inc. DE 2.05,5.02 08/27/12
SS&C Technologies Holdings Inc DE 5.02 08/30/12
STAGE STORES INC NV 8.01,9.01 08/30/12
STAKOOL, INC. NV 1.01,3.02,3.03, 07/23/12
5.01,5.03,9.01
STEEL DYNAMICS INC IN 1.02,8.01,9.01 08/31/12
STONE ENERGY CORP DE 7.01,9.01 08/30/12
SUNPOWER CORP DE 5.02 08/29/12
SUPERNUS PHARMACEUTICALS INC DE 5.02 08/28/12
TagLikeMe Corp. NV 5.02,9.01 08/29/12
TagLikeMe Corp. NV 1.01,2.01,5.02,9.01 06/29/12
TAKE TWO INTERACTIVE SOFTWARE INC DE 5.02 08/27/12
TARGACEPT INC 1.01 08/27/12
TE Connectivity Ltd. V8 5.03,9.01 08/31/12
TIDEWATER INC DE 8.01,9.01 08/28/12
Trius Therapeutics Inc DE 1.01,9.01 08/30/12
U.S. RARE EARTHS, INC NV 3.02,5.02 08/27/12
UMPQUA HOLDINGS CORP OR 8.01,9.01 08/30/12
Unilife Corp DE 2.02,7.01,9.01 08/30/12
UNITED FIRE GROUP INC 7.01,8.01,9.01 08/31/12
UNITED RENTALS INC /DE DE 7.01,9.01 08/31/12
UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 5.02,9.01 08/27/12
Universal Truckload Services, Inc. MI 1.01,2.03,9.01 08/30/12
US AIRWAYS GROUP INC DE 7.01,9.01 08/31/12
US FUEL CORP NV 8.01 08/31/12
VENTAS INC DE 8.01,9.01 08/30/12
Verisk Analytics, Inc. DE 2.01,9.01 08/31/12
Viggle Inc. DE 8.01,9.01 08/17/12
VIROPHARMA INC DE 1.01 08/29/12
VirtualScopics, Inc. DE 3.01,9.01 08/29/12
VISION SCIENCES INC /DE/ DE 1.01,5.02 08/28/12
VISTA GOLD CORP B0 7.01,9.01 08/29/12
Vitamin Shoppe, Inc. DE 1.01,9.01 08/30/12
VLOV INC. NV 8.01,9.01 08/30/12
Vringo Inc DE 8.01 08/31/12
WELLS FARGO & COMPANY/MN DE 9.01 08/31/12
WELLS REAL ESTATE FUND XIV LP GA 7.01 08/31/12
Wonder Auto Technology, Inc NV 8.01 08/22/12
WORTHINGTON ENERGY, INC. NV 3.02 08/30/12
YOU ON DEMAND HOLDINGS, INC. NV 1.01,3.02,9.01 08/30/12
Zann Corp NV 9.01 08/10/12
ZYGO CORP DE 5.02,9.01 08/29/12
http://www.sec.gov/news/digest/2012/dig090412.htm
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