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Rules and Related MattersSEC Proposes Extension of Temporary Principal Trading RuleThe Commission proposed extending the date on which Rule 206(3)-3T of the Investment Advisers Act will sunset from December 31, 2012 to December 31, 2014. Rule 206(3)-3T is a temporary rule that allows investment advisers that are registered as broker-dealers to engage in principal transactions. Without the two year extension, the rule would expire on December 31, 2012. The Commission believes that the issues raised by principal trading should be considered as part of the Commission’s broader consideration of the regulatory requirements applicable to broker-dealers and investment advisers. Comments on the proposing release should be submitted to the Commission on or before 30 days after publication in the Federal Register. (Rel. IA-3483) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by The NASDAQ Stock Market LLC to offer the ACT Reject Scan and assess a related fee (SR-NASDAQ-2012-110) 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 October 8. (Rel. 34-67977) A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to its closing rotation procedures for S&P 500 Index options (SR-CBOE-2012-095) 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 October 8. (Rel. 34-67992) A proposed rule changed filed by the International Securities Exchange, LLC regarding fees for Singly Listed Options (SR-ISE-2012-80) 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 October 8. (Rel. 34-67993) A proposed rule changed filed by The NASDAQ Stock Market LLC to modify fees assessed under Rule 7003(a) (SR-NASDAQ-2012-107) 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 October 8. (Rel. 34-67994) A proposed rule change (SR-BX-2012-066) filed by NASDAQ OMX BX, Inc. relating to inbound routing from an affiliated exchange 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 October 8. (Rel. 34-67995) A proposed rule change (SR-NASDAQ-2012-112) filed by The NASDAQ Stock Market LLC relating to inbound routing from an affiliated exchange 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 October 8. (Rel. 34-67997) A proposed rule change filed by NASDAQ OMX PHLX LLC to eliminate position limits for SPY options on a pilot basis (SR-Phlx-2012-122) 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 October 8. (Rel. 34-67999) A proposed rule change filed by International Securities Exchange, LLC to adopt a pilot program to eliminate position and exercise limits on SPY options (SR-ISE-2012-81) 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 October 8. (Rel. 34-68000) A proposed rule change filed by NYSE Arca, Inc. amending Commentary .06 to NYSE Arca Rule 6.8 adopting a pilot program eliminating position limits for options on the SPDR® S&P 500® exchange-traded fund, which list and trade under the symbol SPY (SR-NYSEArca-2012-112) 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 October 8. (Rel. 34-68001) Accelerated Approval of Proposed Rule ChangesThe Chicago Mercantile Exchange Inc. (“CME”) filed a proposed rule change (SR-CME-2012-30) under Section 19(b)(1) of the Securities Exchange Act of 1934 to comply with the Commodity Futures Trading Commission’s Part 22 regulations. Publication is expected in the Federal Register during the week of October 8. (Rel. 34-67982) ICE Clear Credit LLC (“ICC”) filed a proposed rule change (SR-ICC-2012-17) under Section 19(b)(1) of the Securities Exchange Act of 1934 to revise rules related to Legal Segregation with Operational Commingling (“LSOC”). Publication is expected in the Federal Register during the week of October 8. (Rel. 34-67983) A proposed rule change filed by ICE Clear Europe (ICEEU) to amend its CDS Procedures in order to implement new clearing certainty requirements under Commodity Futures Trading Commission (CFTC) Rules 39.12(b)(7) and 1.74(b) (SR-ICEEU-2012-07) has been approved on an accelerated basis pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 8. (Rel. 34-67998) 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-3ASR ENBRIDGE ENERGY MANAGEMENT L L C, 1100 LOUISIANA ST., SUITE 3300, HOUSTON, TX, 77002, 0 ($0.00) Equity, (File 333-184298 - Oct. 5) (BR. 04B) S-1 KALOBIOS PHARMACEUTICALS INC, 260 EAST GRAND AVE, SOUTH SAN FRANCISCO, CA, 94080, 650.243.3100 - 0 ($60,000,000.00) Equity, (File 333-184299 - Oct. 5) (BR. 01B) S-3 META FINANCIAL GROUP INC, 5501 SOUTH BROADBAND LANE, P O BOX 1307, SIOUX FALLS, SD, 57108, 6057821767 - 0 ($37,404,983.00) Equity, (File 333-184300 - Oct. 5) (BR. 07C) S-3 LAKELAND BANCORP INC, 250 OAK RIDGE RD, OAK RIDGE, NJ, 07438, 9736972000 - 0 ($25,738,991.45) Unallocated (Universal) Shelf, (File 333-184301 - Oct. 5) (BR. 07B) S-11 Global Growth Trust, Inc., 450 S. ORANGE AVENUE, 13TH FLR, ORLANDO, FL, 32801, 407-650-1000 - 0 ($1.00) Equity, (File 333-184308 - Oct. 5) (BR. 08B) S-1 RUCKUS WIRELESS INC, 350 WEST JAVA DRIVE, SUNNYVALE, CA, 94089, 650-265-4200 - 0 ($100,000,000.00) Equity, (File 333-184309 - Oct. 5) (BR. 11C) S-8 CAL MAINE FOODS INC, 3320 WOODROW WILSON DRIVE, JACKSON, MS, 39207, 6019486813 - 500,000 ($22,880,000.00) Equity, (File 333-184310 - Oct. 5) (BR. 05C) S-8 Durata Therapeutics, Inc., 89 HEADQUARTERS PLAZA NORTH, 14TH FLOOR, MORRISTOWN, NJ, 09760, 973-993-4867 - 0 ($26,641,481.00) Equity, (File 333-184311 - Oct. 5) (BR. 01B) N-2 HERCULES TECHNOLOGY GROWTH CAPITAL INC, 400 HAMILTON AVE, SUITE 310, PALO ALTO, CA, 94301, 650-289-3060 - 0 ($400,000,000.00) Unallocated (Universal) Shelf, (File 333-184312 - Oct. 5) (BR. 18) S-8 ICONIX BRAND GROUP, INC., 1450 BROADWAY, 4TH FL, NEW YORK, NY, 10018, 212-730-0030 - 0 ($73,160,000.00) Equity, (File 333-184313 - Oct. 5) (BR. 09B) S-4 Kraft Foods Group, Inc., THREE LAKES DRIVE, NORTHFIELD, IL, 60093, 847-646-2000 - 0 ($9,600,000,000.00) Debt, (File 333-184314 - Oct. 5) (BR. 04A) S-3 MILLER ENERGY RESOURCES, INC., 9721 COGDILL ROAD, SUITE 302, KNOXVILLE, TN, 37932, (865) 223-6575 - 12,784,408 ($58,806,844.11) Equity, (File 333-184315 - Oct. 5) (BR. 04B) S-8 PS BUSINESS PARKS INC/CA, 701 WESTERN AVE, SUITE 200, GLENDALE, CA, 91201-2397, (818) 244-8080 - 1,444,500 ($96,008,693.50) Equity, (File 333-184316 - Oct. 5) (BR. 08C) S-1 SOLARCITY CORP, 3055 CLEARVIEW WAY, SAN MATEO, CA, 94402, 650-638-1028 - 0 ($201,250,000.00) Equity, (File 333-184317 - Oct. 5) (BR. 06C) S-B FMS WERTMANAGEMENT, Prinzregentenstrasse 56, Munich, 2M, 80538, 49-89-954-7627-301 - 0 ($2,000,000,000.00) Non-Convertible Debt, (File 333-184318 - Oct. 5) (BR. DN) S-1 808 RENEWABLE ENERGY CORP, 5011 ARGOSY AVE., SUITE 4, HUNTINGTON BEACH, CA, 92649, 714 891 8282 - 1,000,000 ($4,000,000.00) Equity, (File 333-184319 - Oct. 5) (BR. ) S-8 IROBOT CORP, 8 CROSBY DRIVE, BEDFORD, MA, 01730, 781-430-3000 - 116,239 ($511,451.60) Equity, (File 333-184320 - Oct. 5) (BR. 11A) S-1 ADVANCED CELL TECHNOLOGY, INC., 33 LOCKE DRIVE, MARLBOROUGH, MA, 01752, 508-756-1212 - 298,750,000 ($22,406,250.00) Equity, (File 333-184321 - Oct. 5) (BR. 01B) S-8 Guidance Software, Inc., 215 NORTH MARENGO AVENUE, PASADENA, CA, 91101, 6262299191 - 0 ($28,725,000.00) Equity, (File 333-184322 - Oct. 5) (BR. 03B) S-8 CHIQUITA BRANDS INTERNATIONAL INC, 550 SOUTH CALDWELL STREET, CHALOTTE, NC, 28202, 9806365000 - 1,671,127 ($12,800,832.82) Equity, (File 333-184323 - Oct. 5) (BR. 05B) S-8 Regulus Therapeutics Inc., 3545 JOHN HOPKINS COURT, SAN DIEGO, CA, 92121, 888-734-8587 - 0 ($26,826,191.42) Equity, (File 333-184324 - Oct. 5) (BR. 01B) S-3ASR ISHARES GOLD TRUST, BLACKROCK INC., 400 HOWARD STREET, SAN FRANCISCO, CA, 94105, 415-670-4879 - 75,000,000 ($1,294,125,000.00) Equity, (File 333-184325 - Oct. 5) (BR. 08B) S-1 Palo Alto Networks Inc, 3300 OLCOTT STREET, SANTA CLARA, CA, 95054, 408-753-4000 - 0 ($225,000,000.00) Equity, (File 333-184329 - Oct. 5) (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.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-----------------------------------------------------------------------------------------
ABERCROMBIE & FITCH CO /DE/ DE 7.01,9.01 10/05/12
Abtech Holdings, Inc. NV 7.01,9.01 10/04/12
AETNA INC /PA/ PA 8.01 10/05/12
AK STEEL HOLDING CORP DE 4.01,9.01 10/03/12
ALLIED MOTION TECHNOLOGIES INC CO 5.02 10/01/12
ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 2.06 10/03/12
Altegris QIM Futures Fund, L.P. DE 3.02 10/01/12
Altegris Winton Futures Fund, L.P. CO 3.02 10/01/12
Altisource Portfolio Solutions S.A. N4 1.01,9.01 10/01/12
AMAZON COM INC DE 1.01 10/01/12
AMERICAN INTERNATIONAL GROUP INC DE 1.01,1.02,2.03,9.01 10/05/12
AMERICAN POWER CORP. NV 1.01,3.02,9.01 10/03/12
American Realty Capital Global Trust, 1.01,8.01,9.01 10/05/12
AMSURG CORP TN 7.01,9.01 10/05/12
ANGIODYNAMICS INC DE 7.01 09/27/12
ARBOR REALTY TRUST INC MD 7.01,9.01 10/05/12
ASB Bancorp Inc 8.01,9.01 10/03/12
AtheroNova Inc. DE 1.01,3.02,9.01 10/01/12
Avery Dennison Corp DE 1.02,8.01,9.01 10/03/12
AVIS BUDGET GROUP, INC. DE 1.01,9.01 10/02/12
AVON PRODUCTS INC NY 5.02,9.01 10/04/12
BILL BARRETT CORP DE 7.01,9.01 10/04/12
Bonanza Goldfield Corp. NV 1.01,2.03,3.02,7.01, 10/01/12
9.01
BROCADE COMMUNICATIONS SYSTEMS INC DE 8.01,9.01 10/05/12
BWAY PARENT COMPANY, INC. DE 1.01,8.01,9.01 10/02/12
Calumet Specialty Products Partners, DE 2.01 10/01/12
CAPITAL BANK CORP NC 1.01,2.01,2.03,3.03, 10/01/12
5.02,8.01,9.01
Capital Bank Financial Corp. DE 1.01,2.01,2.03,3.03, 10/01/12
5.02,8.01,9.01
CARDICA INC DE 4.01,9.01 10/04/12
CarMax Auto Owner Trust 2012-3 1.01,8.01,9.01 10/03/12
CBL & ASSOCIATES PROPERTIES INC DE 1.01,3.03,7.01,9.01 10/05/12
CBL & ASSOCIATES PROPERTIES INC DE 8.01,9.01 10/05/12
CD INTERNATIONAL ENTERPRISES, INC. FL 1.01,2.01,9.01 09/28/12
CHURCHILL DOWNS INC KY 8.01,9.01 10/05/12
CINCINNATI BELL INC OH 1.01,9.01 10/01/12
Cleartronic, Inc. FL 5.03,9.01 10/05/12
COCA-COLA ENTERPRISES, INC. DE 8.01 10/05/12
COLUMBIA LABORATORIES INC DE 5.02 10/04/12
CONSTELLATION BRANDS, INC. DE 2.02,7.01,9.01 10/05/12
CORONADO BIOSCIENCES INC DE 1.01,9.01 10/05/12
COVENTRY HEALTH CARE INC DE 8.01 10/05/12
CROSSTEX ENERGY INC DE 1.01,2.03,5.02,9.01 10/02/12
CROSSTEX ENERGY LP DE 1.01,2.03,5.02,9.01 10/02/12
CU Bancorp CA 7.01,8.01,9.01 10/05/12
CUBIST PHARMACEUTICALS INC DE 5.02,9.01 10/03/12
DCP Midstream Partners, LP DE 7.01,9.01 10/04/12
DealerTrack Holdings, Inc. DE 8.01,9.01 10/01/12
Deer Consumer Products, Inc. NV 3.01,5.02 10/01/12
DEMAND MEDIA INC. DE 5.02 10/01/12
Dussault Apparel Inc. 5.02 10/05/12
Edgen Group Inc. DE 8.01,9.01 10/05/12
EDUCATION MANAGEMENT CORPORATION 5.02 10/02/12
ENDEAVOUR INTERNATIONAL CORP NV 7.01,9.01 10/05/12
ENDO HEALTH SOLUTIONS INC. DE 5.02,9.01 09/27/12 AMEND
Energy Transfer Equity, L.P. DE 2.01,7.01,9.01 10/05/12
Energy Transfer Partners, L.P. DE 1.01,2.01,2.03,5.03, 10/05/12
7.01,9.01
ENGLOBAL CORP NV 3.01 10/03/12
ENTERTAINMENT PROPERTIES TRUST MD 8.01,9.01 10/04/12
ENTERTAINMENT PROPERTIES TRUST MD 8.01,9.01 10/05/12
ERBA Diagnostics, Inc. DE 1.01,2.01,3.02,9.01 10/03/12
Erickson Air-Crane Inc DE 1.01,8.01,9.01 10/01/12
EXELON CORP PA 8.01 10/03/12
FASTENAL CO MN 7.01,9.01 10/04/12
FBC Holding, Inc. 5.02,9.01 09/26/12
FEMALE HEALTH CO WI 7.01,9.01 10/05/12
FERRELLGAS PARTNERS L P DE 4.01 09/04/12 AMEND
FIRST CITIZENS BANC CORP /OH OH 2.02,8.01 10/05/12
FIRST POTOMAC REALTY TRUST MD 5.02 10/01/12
Flux Power Holdings, Inc. NV 9.01 06/14/12 AMEND
FRANKLIN WIRELESS CORP NV 8.01 10/03/12
FREEBUTTON, INC. NV 5.03,8.01,9.01 09/06/12
FRESH START PRIVATE MANAGEMENT, INC. NV 5.02,9.01 10/04/12
FriendFinder Networks Inc. NV 5.02,9.01 10/05/12
FS Investment CORP MD 2.02,9.01 10/03/12
FULL HOUSE RESORTS INC DE 1.01,2.01,2.03,9.01 10/01/12 AMEND
GENCORP INC OH 8.01 10/04/12
GENERAL EMPLOYMENT ENTERPRISES INC IL 5.02 10/02/12
GENESIS ENERGY LP DE 1.01,8.01,9.01 10/02/12
GEOSPACE TECHNOLOGIES CORP DE 8.01 10/05/12
GLOBAL PARTNERS LP 7.01,9.01 10/05/12
GLOWPOINT, INC. DE 1.02,2.01,2.03,3.02, 10/01/12
9.01
GMX RESOURCES INC OK 1.01,7.01,8.01,9.01 10/01/12
Green Endeavors, Inc. UT 4.01,9.01 10/05/12
Groupon, Inc. DE 5.07 06/19/12 AMEND
GSV Capital Corp. MD 5.02 10/02/12
GULFPORT ENERGY CORP DE 8.01,9.01 10/05/12
HARBOR ISLAND DEVELOPMENT CORP. NV 3.02,5.01,5.02 09/28/12
Hawaiian Telcom Holdco, Inc. DE 5.02 10/05/12
HealthWarehouse.com, Inc. DE 8.01 08/02/12
Heavy Earth Resources, Inc. FL 7.01,9.01 10/03/12
Hill-Rom Holdings, Inc. IN 1.01,2.01,9.01 07/23/12 AMEND
Hull Energy, Inc. NV 1.01,3.02,5.01,5.02, 10/05/12
9.01
Imperial Holdings, Inc. 7.01,9.01 10/05/12
Inland Diversified Real Estate Trust, MD 7.01,9.01 10/01/12 AMEND
INSMED INC VA 5.02,9.01 10/05/12
INTEGRATED FREIGHT Corp FL 2.05,3.02,8.01,9.01 10/05/12
Intrepid Potash, Inc. DE 7.01,9.01 10/05/12
ISC8 INC. /DE DE 1.01,2.03,3.02,3.03, 09/28/12 AMEND
9.01
KALOBIOS PHARMACEUTICALS INC DE 8.01,9.01 10/05/12
KCAP Financial, Inc. DE 8.01,9.01 10/04/12
KEATING CAPITAL INC 7.01,9.01 10/02/12
KINDRED HEALTHCARE, INC DE 1.01,7.01,9.01 10/04/12
Landmark Apartment Trust of America, 2.01,2.03,9.01 08/28/12 AMEND
Laredo Petroleum Holdings, Inc. DE 2.02 10/05/12
LAYNE CHRISTENSEN CO DE 7.01,9.01 10/05/12
LEMAITRE VASCULAR INC 1.01 10/01/12
LEVEL 3 COMMUNICATIONS INC DE 1.01,2.03,9.01 10/04/12
LEVI STRAUSS & CO DE 5.02,9.01 10/04/12
Lightstone Value Plus Real Estate Inv MD 8.01,9.01 10/05/12
LIONS GATE ENTERTAINMENT CORP /CN/ A1 7.01 10/05/12
LIONS GATE ENTERTAINMENT CORP /CN/ A1 5.02,9.01 10/03/12
LITHIA MOTORS INC OR 7.01,9.01 10/05/12
Location Based Technologies, Inc. NV 7.01,9.01 10/03/12
LPATH, INC NV 5.03,9.01 10/03/12 AMEND
LUCID INC NY 5.02,5.05,9.01 07/09/12 AMEND
MAGELLAN GOLD Corp NV 3.02 10/03/12
MANITOWOC CO INC WI 1.01,2.03,8.01,9.01 10/04/12
MANNKIND CORP DE 8.01,9.01 10/05/12
MEXICO FUND INC MD 7.01,9.01 09/30/12
Mondelez International, Inc. VA 2.01,9.01 10/01/12
Mondelez International, Inc. VA 7.01,9.01 10/01/12
MONTPELIER RE HOLDINGS LTD 1.01,8.01,9.01 10/05/12
Moxian Corp DE 5.01,5.02 10/05/12
MV Oil Trust DE 2.02,9.01 10/05/12
Nano Labs, Inc. CO 1.02 10/02/12
NATIONAL SECURITY GROUP INC DE 8.01,9.01 10/05/12
NeoStem, Inc. DE 5.02,5.07,8.01,9.01 10/05/12
Net Element International, Inc. E9 2.01,3.01,3.03,5.01, 10/02/12
5.02,5.03,5.06,5.07,
9.01
Neutral Tandem Inc 8.01,9.01 10/05/12
NEWS CORP 8.01,9.01 10/05/12
NORTHEAST UTILITIES MA 7.01,9.01 10/05/12
Nuance Communications, Inc. DE 2.02,9.01 10/01/12
NYSE Euronext DE 8.01,9.01 10/01/12
OCLARO, INC. DE 2.02,9.01 10/05/12
OCLARO, INC. DE 9.01 07/23/12 AMEND
OCWEN FINANCIAL CORP FL 1.01,9.01 10/03/12
OCWEN FINANCIAL CORP FL 1.01,9.01 10/01/12
OMNI BIO PHARMACEUTICAL, INC. CO 3.02,5.02 10/01/12
ORBCOMM Inc. DE 5.02 10/01/12
OXYGEN BIOTHERAPEUTICS, INC. DE 3.01 10/03/12
PACIFIC BIOSCIENCES OF CALIFORNIA INC 1.01,9.01 10/05/12
Park Sterling Corp NC 2.01,3.03,5.02,5.03, 10/01/12
8.01,9.01
PEAPACK GLADSTONE FINANCIAL CORP NJ 5.02,9.01 10/04/12
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 1.01,9.01 10/01/12
Perfumania Holdings, Inc. FL 7.01,9.01 10/04/12
PIER 1 IMPORTS INC/DE DE 8.01 10/01/12
PostRock Energy Corp DE 3.02 10/01/12
PPL Corp 7.01,8.01,9.01 10/05/12
PROTEONOMIX, INC. DE 3.03 10/05/12
PURE BIOSCIENCE, INC. DE 3.01 10/01/12
RADIENT PHARMACEUTICALS Corp DE 1.01,8.01 10/05/12 AMEND
RADIOSHACK CORP DE 5.02 10/01/12
RAILAMERICA INC /DE DE 1.02,3.01,3.03,5.01, 10/01/12
5.02,5.03,9.01
REALTY INCOME CORP MD 8.01,9.01 10/02/12
Renewable Fuel Corp NV 5.02 09/29/12
RESEARCH FRONTIERS INC DE 1.01,3.02,8.01,9.01 10/02/12
Revett Minerals Inc. A6 5.02 10/04/12
ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 2.02,9.01 10/04/12
Sabine Pass LNG, L.P. DE 1.01,2.03,9.01 10/01/12
SANTANDER DRIVE AUTO RECEIVABLES LLC DE 1.01,8.01,9.01 10/03/12
SCHMITT INDUSTRIES INC OR 2.02,9.01 10/05/12
SCIENTIFIC LEARNING CORP DE 1.01,9.01 10/03/12
SERVICESOURCE INTERNATIONAL, INC. 5.02 10/05/12
SI Financial Group, Inc. 2.02,9.01 10/04/12
SIGNATURE GROUP HOLDINGS, INC. NV 8.01 10/02/12
SIRONA DENTAL SYSTEMS, INC. DE 5.02,9.01 10/01/12
SKYLINE CORP IN 2.02,9.01 10/05/12
SOUTHWEST AIRLINES CO TX 7.01,9.01 09/30/12
SPECTRANETICS CORP DE 1.01,9.01 10/02/12
STEWART INFORMATION SERVICES CORP DE 5.02,9.01 10/01/12
STONERIDGE INC OH 2.02,9.01 10/05/12
Strike Axe, Inc DE 1.01,5.02,9.01 09/30/12
Success Exploration & Resources Inc NV 5.02 10/03/12
SWIFT ENERGY CO 1.01,9.01 10/04/12
Synthetic Biologics, Inc. NV 5.07 10/05/12
TACTICAL AIR DEFENSE SERVICES, INC. 1.01,5.03,7.01,9.01 09/27/12
Targeted Medical Pharma, Inc. 5.02 10/01/12
TESCO CORP 5.02 10/05/12
Titan Oil & Gas, Inc. NV 5.02,9.01 10/02/12
TransUnion Holding Company, Inc. DE 7.01,9.01 10/05/12
Treaty Energy Corp NV 1.01 10/01/12
United Continental Holdings, Inc. DE 7.01,9.01 10/05/12
UNIVERSAL HOSPITAL SERVICES INC MN 5.02,9.01 10/05/12
Urigen Pharmaceuticals, Inc. DE 1.01,7.01,9.01 10/01/12
US ECOLOGY, INC. DE 7.01,8.01,9.01 10/04/12
Venoco, Inc. DE 1.01,2.01,2.03,3.01, 10/03/12
3.03,5.02,5.03,9.01
VERIZON COMMUNICATIONS INC DE 7.01,9.01 10/05/12
Versant International, Inc. NV 8.01,9.01 10/01/12
VIASPACE Green Energy Inc. D8 1.01,3.02,9.01 10/01/12
VIASPACE Inc. 1.01,2.01,3.02,5.01, 10/01/12
9.01
VIRGIN MEDIA INC. DE 5.03,9.01 10/02/12
VOLKSWAGEN AUTO LEASE/LOAN UNDERWRITT DE 8.01,9.01 10/03/12
VOLKSWAGEN AUTO LEASE/LOAN UNDERWRITT DE 8.01,9.01 10/03/12
Vringo Inc DE 1.01,8.01,9.01 10/04/12
Vystar Corp GA 5.02,9.01 10/01/12
WARREN RESOURCES INC MD 5.02 10/04/12
Westpoint Energy, Inc. NV 8.01,9.01 10/02/12
WET SEAL INC DE 1.01,5.02,5.07,8.01, 10/04/12
9.01
WILLIS LEASE FINANCE CORP DE 8.01,9.01 09/27/12
WILSHIRE BANCORP INC 8.01,9.01 10/04/12
WIRELESS RONIN TECHNOLOGIES INC MN 3.01 10/02/12
XENOPORT INC DE 8.01 10/04/12
Zayo Group LLC DE 1.01,7.01,9.01 10/05/12
ZaZa Energy Corp DE 5.02,7.01,9.01 10/03/12
ZYNGA INC DE 2.02,9.01 10/04/12
http://www.sec.gov/news/digest/2012/dig100912.htm
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