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Enforcement ProceedingsIn the Matter of Sanctuary Woods Multimedia Corp.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) in Sanctuary Woods Multimedia Corp., Admin. Proc. No. 3-14406. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registrations of each class of registered securities of Sanctuary Woods Multimedia Corp., Satellite Auction Network, Inc. (a/k/a L International Computers, Inc.), Scientific Measurement Systems, Inc., Scorpion Technologies, Inc., Scott Science & Technology, Inc., Security Environmental Systems, Inc., and Sensotron, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-64827; File No. 3-14406) Commission Revokes Registration of Securities of Independence Brewing Co. for Failure to Make Required Periodic FilingsOn July 7, 2011, the Commission revoked the registration of each class of registered securities of Independence Brewing Co. (IBCO) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, IBCO consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Independence Brewing Co. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of IBCO’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against IBCO in In the Matter of Dawn Technologies, Inc., et al., Administrative Proceeding File No. 3-14422. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Dawn Technologies, Inc., et al., Administrative Proceeding File No. 3-14422, Exchange Act Release No. 64661 (June 14, 2011). (Rel. 34-64828; File No. 3-14422) Commission Revokes Registration of Securities of Flooring America, Inc. for Failure to Make Required Periodic FilingsOn July 7, 2011, the Commission revoked the registration of each class of registered securities of Flooring America, Inc. (FRAE) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, FRAE consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Flooring America, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of FRAE’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against FRAE in In the Matter of BP International, Inc., et al., Administrative Proceeding File No. 3-14427. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of BP International, Inc., et al., Administrative Proceeding File No. 3-14427, Exchange Act Release No. 64682 (June 16, 2011). (Rel. 34-64829; File No. 3-14427) Commission Revokes Registration of Securities of Diversified Realty, Inc. for Failure to Make Required Periodic FilingsOn July 7, 2011, the Commission revoked the registration of each class of registered securities of Diversified Realty, Inc. (Diversified Realty) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Diversified Realty consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Diversified Realty, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Diversified Realty’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Diversified Realty in In the Matter of Delcott Commodity Partners, et al., Administrative Proceeding File No. 3-14405. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Delcott Commodity Partners, et al., Administrative Proceeding File No. 3-14405, Exchange Act Release No. 64573, May 31, 2011. (Rel. 34-64830; File No. 3-14405) In the Matter of James L. HertzOn July 7, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Sections 15(b) and 15B(c) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions against James L. Hertz, a former J.P. Morgan Securities Inc. vice-president and marketer. Hertz consented to a Commission Order barring him from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and from participating in any offering of penny stock. This sanction was based upon Hertz’s December 6, 2010 guilty plea to a criminal information, filed in U.S. v Hertz, Crim. No.: 10-cr-1178, that charged him with two counts of conspiracy and one count of wire fraud for engaging in misconduct in connection with the competitive bidding process for municipal reinvestment products. The Commission recognizes Hertz’s cooperation in the SEC’s investigation as well as investigations conducted by other law enforcement agencies. In a related enforcement action, the SEC filed today a complaint in the United States District Court for the District of New Jersey against J.P. Morgan Securities LLC (JPMS), alleging that, from 1997 through 2005, JPMS engaged in fraudulent practices in connection with the bids for municipal reinvestment products. The fraudulent practices, misrepresentations and omissions undermined the competitive bidding process, affected the prices that municipalities paid for the reinvestment products being bid, and deprived certain municipalities of a conclusive presumption that the reinvestment interest had been purchased at fair market value. JPMS’s fraudulent conduct also jeopardized the tax-exempt status of billions of dollars in municipal securities because the supposed competitive bidding process that establishes the fair market value of the investment was corrupted. Without admitting or denying the allegations, JPMS has consented, subject to court approval, to the entry of a final judgment enjoining it from future violations of Section 15(c)(1)(A) of the Securities Exchange Act of 1934 and ordering it to pay disgorgement, prejudgment interest and a civil penalty, totaling $51,186,349. The SEC thanks the Antitrust Division of the Department of Justice and the Federal Bureau of Investigation for their cooperation and assistance in this matter. (Rel. 34-64831; File No. 3-14455) Court Enters Final Judgment By Consent Against Former Officer of Navigators International Management Co., Ltd.On July 5, 2011, the Honorable Nancy F. Atlas of the United States District Court for the Southern District of Texas entered a final judgment in a civil action against Benjamin R. Young that (i) enjoins him from violating Sections 5 and 17(a) of the Securities Act of 1933 (Securities Act), and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and (ii) finds him liable for payment of $30,000 under Securities Act Section 20(d) and Exchange Act Section 21(d)(3). Young consented to entry of the judgment and did not admit or deny the allegations in the complaint. According to the Commission's complaint, Young and codefendant James R. Spurger, former officers of Navigators International Management Co., Ltd., a Bahamian Corporation, solicited investors to participate in an unregistered and fraudulent bond funding program. The complaint alleged that investors were promised returns of 67% or more and were assured that their principal was safe and collateralized. The complaint further alleged that investors' funds were not safe and collateralized and that none of the investors received a return of principal or payment of the promised profits. Earlier, on March 28, 2011, the Court entered final judgments against Spurger and Navigators International Management Co., Ltd. enjoining them from violating Sections 5 and 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and (ii) finding them liable for payment of $25,000 and $45,000, respectively, under Securities Act Section 20(d) and Exchange Act Section 21(d)(3). Spurger and the corporation consented to entry of the judgments and did not admit or deny the allegations in the complaint. [SEC v. Navigators International Management Co., Ltd., James R. Spurger and Benjamin W. Young, Jr., Case No.07-cv-04518 (S.D. Tex.)] (LR-22028) Amended Final Judgment of Disgorgement, Prejudgment Interest, and Civil Penalties Entered Against Defendants Carl E. Binette and Peter E. TalbotThe Securities and Exchange Commission announced on July 5, 2011, that the United States District Court for the District of Massachusetts, upon motion by the Commission, entered an amended final judgment against the defendants Carl E. Binette and Peter E. Talbot finding them jointly and severally liable for a $615,000 disgorgement, plus prejudgment interest of $76,235.28, for a total payment of $691,235.28, and ordering Binette and Talbot to each pay a $1,845,000 civil money penalty. On July 13, 2009, the Commission filed a civil injunctive complaint alleging Binette’s and Talbot’s insider trading in Safeco Corp. securities violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Binette and Talbot each consented to the entry of a judgment without admitting or denying the allegations in the Commission’s complaint. Among other things, the judgments enjoined Binette and Talbot, respectively, from committing or aiding and abetting future violations of the above securities law provisions. On Oct. 14, 2010, the United States Attorney’s office for the District of Massachusetts announced that Binette and Talbot were charged in a seven-count indictment with conspiracy and securities fraud related to their insider trading in Safeco. Binette was also charged with obstruction of justice for making false statements to the Commission during its attempts to investigate that scheme. U.S. v. Talbot et al., Criminal Action No. 3:10-cr-30036-MAP (D. Mass.) (Ponser, J.). [SEC v. Carl E. Binette and Peter E. Talbot, Case No. 3:09-cv-30107-MAP (D. Mass.)] (LR-22029) SEC Charges New York Brokerage Firm and Two Executives with Defrauding Investors in Private PlacementThe SEC alleges that Windham Securities, Inc., Windham’s owner and principal Joshua Constantin, and former Windham managing director Brian Solomon fraudulently induced investors to provide more than $1.25 million to Windham for securities investments and fees by making false claims concerning the intended use of investor funds as well as Windham’s investment expertise and historical returns. Instead of purchasing securities for investors as represented, the defendants misappropriated the investors’ funds and then provided false assurances to investors to cover up their fraud. The SEC’s complaint, filed in U.S. District Court for the Southern District of New York, charges Windham, Constantin, and Solomon 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 thereunder, and charges Constantin with liability as a control person for Windham’s Exchange Act violations and as an aider and abettor of Windham’s and Solomon’s Exchange Act violations. In its complaint, the SEC also names Constantin Resource Group, Inc. (CRG) and Domestic Applications Corp. (DAC) as relief defendants. The SEC’s complaint seeks permanent injunctions, disgorgement of ill-gotten gains plus prejudgment interest, and penalties against Windham, Constantin, and Solomon, and disgorgement of ill-gotten gains plus prejudgment interest against CRG and DAC as relief defendants. The SEC’s investigation is continuing. [SEC v. Joshua Constantin et al., United States District Court for the Southern District of New York, Civ. Action No. 11-CV-4642] (LR-22030) SEC Charges JPMS With Fraudulent Bidding Practices Involving Investment of Municipal Bond ProceedsJ.P. Morgan to Pay $228 Million to Settle Charges By SEC, OthersThe Securities and Exchange Commission today charged J.P. Morgan Securities LLC (JPMS) with fraudulently rigging at least 93 municipal bond reinvestment transactions in 31 states, generating millions of dollars in ill-gotten gains. To settle the SEC’s fraud charges, JPMS agreed to pay approximately $51.2 million that will be returned to the affected municipalities or conduit borrowers. JPMS and its affiliates also agreed to pay $177 million to settle parallel charges brought by other federal and state authorities. Typically, when investors purchase municipal securities, the municipalities temporarily invest the proceeds of the sales in municipal reinvestment products until the money is used for the intended purposes. Under relevant Internal Revenue Service (IRS) regulations, the proceeds of tax-exempt municipal securities generally must be invested at fair market value. The most common way of establishing fair market value is through a competitive bidding process in which bidding agents search for the appropriate investment vehicle for a municipality. The SEC alleges that from 1997 through 2005, JPMS’s fraudulent practices, misrepresentations and omissions undermined the competitive bidding process, affected the prices that municipalities paid for reinvestment products, and deprived certain municipalities of a conclusive presumption that the reinvestment instruments had been purchased at fair market value. JPMS’s fraudulent conduct also jeopardized the tax-exempt status of billions of dollars in municipal securities because the supposed competitive bidding process that establishes the fair market value of the investment was corrupted. The employees involved in the alleged misconduct are no longer with the company. According to the SEC’s complaint filed in U.S. District Court for the District of New Jersey, JPMS, acting as the agent for its affiliated commercial bank, JPMorgan Chase Bank, N.A., at times won bids because it obtained information from the bidding agents about competing bids, a practice known as “last looks.” In other instances, it won bids set up in advance for JPMS to win (set-ups) because the bidding agent deliberately obtained non-winning bids from other providers, and it facilitated bids rigged for others to win by deliberately submitting non-winning bids. Without admitting or denying the allegations in the SEC’s complaint, JPMS has consented to the entry of a final judgment enjoining it from future violations of Section 15(c)(1)(A) of the Securities Exchange Act of 1934 and has agreed to pay a penalty of $32.5 million and disgorgement of $11,065,969 with prejudgment interest of $7,620,380. The settlement is subject to court approval. In a related enforcement action, the SEC barred former JPMS vice president and marketer James L. Hertz from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and from participating in any penny stock offering. This sanction is based on Hertz’s December 6, 2010 guilty plea to two counts of conspiracy and one count of wire fraud for engaging in misconduct in connection with the competitive bidding process involving the investment of proceeds of tax-exempt municipal bonds. The Commission recognizes Hertz’s cooperation in the SEC’s investigation and investigations conducted by other law enforcement agencies This is the SEC’s third settlement with a financial institution stemming from its ongoing investigation into corruption in the municipal reinvestment industry. On December 7, 2010, the SEC charged Banc of America Securities LLC (BAS) with securities fraud for similar conduct. BAS agreed to pay more than $36 million in disgorgement and interest to settle the SEC’s charges, and paid an additional $101 million to other federal and state authorities for its misconduct. On May 4, 2011, the SEC charged UBS Financial Services Inc. (UBS) with securities fraud for fraudulently rigging bids as both a provider and a bidding agent. UBS agreed to pay $47.2 million in disgorgement, interest and civil penalties to settle the SEC’s charges and to pay $113 million to other federal and state authorities in connection with their parallel cases. Deputy Chief Mark R. Zehner and Assistant Municipal Securities Counsel Denise D. Colliers, who are members of the Municipal Securities and Public Pensions Unit in the Philadelphia Regional Office, conducted the SEC’s investigation into this matter. The SEC thanks the Antitrust Division of the Department of Justice and the Federal Bureau of Investigation for their cooperation and assistance in this matter. The SEC is bringing this enforcement action in coordination with the Department of Justice, the IRS, the Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System and 25 State Attorneys General. The SEC’s investigation is ongoing. [SEC v. J.P. Morgan Securities LLC, Civil Action No. 11-cv-03877-WJM-MF (D.N.J.)] (LR-22031) Investment Company Act ReleasesWNC Tax Credits 40, LLC, et al.A notice has been issued giving interested persons until Aug. 1, 2011, to request a hearing on an application filed by WNC Tax Credits 40, LLC, WNC Tax Credits 41, LLC, WNC Housing Tax Credits Manager 2, LLC, WNC National Partners, LLC and WNC & Associates, Inc. for an order under Sections 6(c) and 6(e) of the Investment Company Act granting relief from all provisions of the Act, except Sections 37 through 53 of the Act and the rules and regulations under those sections other than Rule 38a-1. (Rel. IC-29715 – July 6) Allianz Life Insurance Company of North America, et al.An order has been issued pursuant to Sections 26(c) and 17(b) of the Investment Company Act, as amended on an application filed by Allianz Life Insurance Company of North America (Allianz Life) and Allianz Life Insurance Company of New York (Allianz NY) (together the Insurance Company Applicants); their respective separate accounts Allianz Life Variable Account A (Allianz Account A), Allianz Life Variable Account B (Allianz Account B), and Allianz Life of NY Variable Account C (Allianz Account C) (collectively with the Insurance Company Applicants, the Applicants); and PIMCO Equity Series VIT (collectively with the Applicants, the Section 17 Applicants). The order permits the Applicants to substitute the securities of the PIMCO EqS Pathfinder Portfolio for the securities of the Mutual Global Discovery Securities Fund (the Substitution) held by Allianz Account A, Allianz Account B, or Allianz Account C to support certain individual variable annuity contracts and variable life insurance contracts issued by Allianz Life and Allianz NY. The order also exempts the Section 17 Applicants from Section 17(a) of the Act to the extent necessary to permit them to engage in certain in-kind transactions in connection with the Substitution. (Rel. IC-29716 – July 6) Standards Setting BoardsProposed Rule ChangesThe Commission issued a notice to solicit comments on proposed rules (PCAOB-2011-01), submitted by the Public Company Accounting Oversight Board pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, for an interim inspection program related to audits of brokers and dealers. (Rel. 34-64814) The Commission issued a notice to solicit comments on proposed rules (PCAOB-2011-02), submitted by the Public Company Accounting Oversight Board pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, relating to the funding of the PCAOB’s operations. (Rel. 34-64816) Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NYSE Arca amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to introduce two new pricing tiers, Step-Up Tier 1 and Step-Up Tier 2 (SR-NYSEArca-2011-41) 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 July 11. (Rel. 34-64820) A proposed rule change filed by the NASDAQ Stock Market relating to routing priority (SR-NASDAQ-2011-088) 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 July 11. (Rel. 34-64821) A proposed rule change filed by NASDAQ OMX PHLX relating to routing priority (SR-Phlx-2011-91) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 11. (Rel. 34-64822) A proposed rule change filed by NYSE Arca correcting the numbering of a recently adopted NYSE Arca Equities rule (SR-NYSEArca-2011-42) 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 July 11. (Rel. 34-64823) A proposed rule change (SR-CBOE-2011-063) filed by the Chicago Board Options Exchange relating to PULSe fees has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 11. (Rel. 34-64824) A proposed rule change (SR-C2-2010-014) filed by the C2 Options Exchange relating to PULSe Fees has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 11. (Rel. 34-64825) A proposed rule change filed by the NASDAQ Stock Market regarding expansion of the short term option series program (SR-NASDAQ-2011-090) 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 July 11. (Rel. 34-64826) Approving Proposed Rule ChangeThe Commission approved a proposed rule change (SR-ISE-2011-30) submitted by International Securities Exchange pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 that allows complex orders to be entered in the Price Improvement Mechanism. Publication is expected in the Federal Register during the week of July 11. (Rel. 34-64805) Joint Industry PlansNotice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation InformationThe Options Price Reporting Authority filed a notice of filing and immediate effectiveness of a proposed amendment pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608 thereunder (SR-OPRA-2011-02) to amend the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to adopt a New Hosted Solution Fee and other changes to the Fee Schedule. Publication is expected in the Federal Register during the week of July 11. (Rel. 34-64819) 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-8 AMERICAN EQUITY INVESTMENT LIFE HOLDING CO, 5000 WESTOWN PARKWAY, SUITE 440, WEST DEMOINES, IA, 50266, 5152210002 - 250,000 ($3,200,000.00) Equity, (File 333-175355 - Jul. 6) (BR. 01C) S-3 Globalstar, Inc., 300 HOLIDAY SQUARE BLVD.,, COVINGTON,, LA, 70433, 408-933-4000 - 0 ($22,140,000.00) Equity, (File 333-175356 - Jul. 6) (BR. 11C) S-8 RRSat Global Communications Network Ltd., D. N. SHIKMIM, REEM, L3, 79813, 972-8-861-0000 - 520,397 ($3,559,516.00) Equity, (File 333-175357 - Jul. 6) (BR. 11C) S-3ASR EQUINIX INC, ONE LAGOON DRIVE, 4TH FLOOR, REDWOOD CITY, CA, 94065, (650) 598-6000 - 0 ($0.00) Non-Convertible Debt, (File 333-175358 - Jul. 6) (BR. 11C) S-8 Mecox Lane Ltd, 22ND FLOOR, GEMS TOWER, BUILDING 20, NO. 487, TIANLIN ROAD, SHANGHAI, F4, 200233, (86-21) 6495 0500 - 0 ($35,764,995.00) ADRs/ADSs, (File 333-175359 - Jul. 6) (BR. 09) S-4 SunGame Corp, 501 SILVERSIDE ROAD, SUITE 105, WILMINGTON, DE, 19809, 310-666-0051 - 0 ($2,663,625.00) Equity, (File 333-175361 - Jul. 6) (BR. 03B) S-8 Global Arena Holding, Inc., 708 THIRD STREET, NEW YORK, NY, 10017, 212-508-4700 - 100,000 ($244,000.00) Equity, (File 333-175369 - Jul. 6) (BR. 09A) S-8 HOMEAWAY INC, 1011 W. 5TH STREET, SUITE 300, AUSTIN, TX, 78703, 512-505-1525 - 0 ($177,006,436.89) Equity, (File 333-175371 - Jul. 6) (BR. 03A) S-4 Nielsen Finance LLC, 770 BROADWAY, NEW YORK, NY, 10003, 646-654-5000 - 0 ($1,080,000,000.00) Non-Convertible Debt, (File 333-175374 - Jul. 6) (BR. 08C) S-8 CYMER INC, 17075 THORNMINT COURT, SAN DIEGO, CA, 92127, 8583857300 - 0 ($195,844,130.91) Equity, (File 333-175375 - Jul. 6) (BR. 10A) F-3ASR GOLAR LNG LTD, PAR LA VILLE PLACE, 14 PAR LA VILLE ROAD, 4TH FLOOR, HAMILTON, D0, HM 08, 441-295-3494 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-175376 - Jul. 6) (BR. 05A) S-8 TOYOTA MOTOR CORP/, 1 TOYOTA CHO TOYOTA CITY, AICHI PREFECTURE 471-8571, JAPAN, M0, 00000, 81-565-28-2121 - 0 ($52,509,430.00) Equity, (File 333-175377 - Jul. 6) (BR. 05C) S-8 Pandora Media, Inc., 2101 WEBSTER STREET, SUITE 1650, OAKLAND, CA, 94612, (510) 451-4100 - 0 ($289,327,149.76) Equity, (File 333-175378 - Jul. 6) (BR. 11A) S-4 LECTEC CORP /MN/, 1407 S. KINGS HIGHWAY, TEXARKANA, TX, 75501, (903) 280-8454 - 0 ($569.00) Equity, (File 333-175379 - Jul. 6) (BR. 10B) F-10 YM BIOSCIENCES INC, 5045 ORBITOR DRIVE, BUILDING 11 SUITE 400, MISSISSAUGA, A6, 00000, 0 ($125,000,000.00) Equity, (File 333-175381 - Jul. 6) (BR. 01C) F-10 SQI Diagnostics Inc, 36 METEOR DRIVE, TORONTO, A6, M9W1A4, (416)674-9500 - 0 ($34,500,000.00) Equity, (File 333-175382 - Jul. 6) (BR. ) Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ABRAXAS PETROLEUM CORP NV 1.01,2.03,7.01,9.01 06/30/11 AFFILIATED MANAGERS GROUP INC DE 1.01,9.01 07/05/11 AFFYMETRIX INC DE 2.02 06/30/11 AIR METHODS CORP DE 1.01,2.03,7.01,9.01 07/05/11 ALEXANDER & BALDWIN INC HI 5.02,9.01 06/23/11 Allied Nevada Gold Corp. DE 7.01,9.01 07/06/11 AlphaMetrix Managed Futures LLC (Aspe DE 3.02 07/01/11 AMERICAN AIRLINES INC DE 8.01 07/06/11 Amerilithium Corp. NV 1.01,2.03,3.02,7.01, 06/29/11 9.01 AMR CORP DE 8.01 07/06/11 ANIXTER INTERNATIONAL INC DE 5.02 07/01/11 ANTS SOFTWARE INC DE 3.02,8.01 06/23/11 Apple REIT Ten, Inc. VA 5.02 07/05/11 APRICUS BIOSCIENCES, INC. NV 2.01,9.01 06/30/11 ARABIAN AMERICAN DEVELOPMENT CO DE 8.01 07/06/11 ARADIGM CORP CA 1.01,3.02,8.01,9.01 07/05/11 AsherXino Corp DE 4.02 06/06/11 ASSOCIATED MATERIALS, LLC DE 5.02 06/29/11 AVI BIOPHARMA INC OR 8.01 07/05/11 Azteca Acquisition Corp D8 1.01,3.02,5.03,9.01 06/29/11 AZZ INC TX 7.01,8.01,9.01 07/05/11 BANK OF AMERICA CORP /DE/ DE 5.02 04/15/11 AMEND BIOLIFE SOLUTIONS INC DE 8.01,9.01 07/06/11 Blackhawk Fund NV 8.01 07/01/11 BOND LABORATORIES, INC. NV 5.02 07/05/11 Bonds.com Group, Inc. DE 5.07 07/01/11 CALLAWAY GOLF CO DE 1.01,1.02,2.03,2.05, 06/29/11 5.02,9.01 Capitol Federal Financial Inc MD 5.02 07/06/11 Carbon Natural Gas Co DE 1.01,2.01,3.02,5.03, 06/29/11 8.01,9.01 CareFusion Corp DE 1.01,1.02,2.03,9.01 07/06/11 CARVER BANCORP INC DE 1.01,3.02,3.03,5.02, 06/29/11 5.03,8.01,9.01 Casablanca Mining Ltd. NV 2.01 06/29/11 CELL THERAPEUTICS INC WA 1.01,3.03,5.03,7.01, 06/29/11 9.01 Celldex Therapeutics, Inc. DE 5.02,9.01 07/01/11 Celsion CORP DE 1.01,7.01,9.01 06/30/11 CENTRAL ENERGY PARTNERS LP DE 5.02 06/29/11 CHEESECAKE FACTORY INC DE 8.01,9.01 07/06/11 China Intelligence Information System NV 4.01,8.01,9.01 06/29/11 Chino Commercial Bancorp CA 1.01,5.07 06/16/11 CITIBANK OMNI-S MASTER TRUST 8.01 07/01/11 COINSTAR INC DE 5.02,9.01 07/05/11 COLLECTIVE BRANDS, INC. DE 5.02,9.01 07/06/11 COLLECTIVE BRANDS, INC. DE 5.02,9.01 07/05/11 AMEND COMARCO INC CA 5.02 06/30/11 Compass Diversified Holdings DE 8.01,9.01 07/06/11 CONSOLIDATED TOMOKA LAND CO FL 5.02,9.01 06/30/11 CONSUMER PORTFOLIO SERVICES INC CA 3.01,9.01 06/30/11 COVANTA HOLDING CORP DE 8.01,9.01 07/06/11 DAIS ANALYTIC CORP 1.01,9.01 03/23/11 AMEND DANA HOLDING CORP DE 2.01,7.01,9.01 06/30/11 DealerTrack Holdings, Inc. DE 1.01,2.01,2.03,8.01, 07/01/11 9.01 DECKERS OUTDOOR CORP DE 1.01,2.01,7.01,9.01 07/01/11 DENALI CONCRETE MANAGEMENT INC NV 1.01 07/06/11 DEPOMED INC CA 1.01 06/29/11 DEWMAR INTERNATIONAL BMC, INC. NV 1.01,9.01 07/05/11 AMEND DIEBOLD INC OH 1.01,1.02,2.03,9.01 06/30/11 Digital Realty Trust, Inc. 8.01,9.01 07/06/11 Digitiliti Inc DE 1.01,3.02,5.02 06/29/11 DIVALL INSURED INCOME PROPERTIES 2 LI WI 5.07 06/30/11 DONALDSON CO INC DE 5.02,7.01,9.01 07/05/11 DST SYSTEMS INC DE 1.01,2.03,9.01 06/30/11 Duncan Energy Partners L.P. DE 1.01,9.01 06/30/11 EBIX INC DE 8.01,9.01 06/30/11 ECOSYSTEM CORP 5.03,9.01 07/05/11 El Paso Pipeline Partners, L.P. DE 1.01,2.01,9.01 06/29/11 ENERNOC INC DE 1.01,3.02,7.01,9.01 07/01/11 ENTECH SOLAR, INC. DE 8.01,9.01 06/29/11 EPOCH HOLDING CORP DE 8.01,9.01 07/06/11 EVEREST RE GROUP LTD D0 8.01,9.01 07/06/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 07/01/11 FIRST CORP /CN/ CO 8.01,9.01 07/01/11 FIRST MERCHANTS CORP IN 5.02 07/06/11 FLUIDIGM CORP DE 8.01,9.01 06/30/11 FOREST OIL CORP NY 1.01,2.02,7.01,9.01 06/30/11 Fortress International Group, Inc. DE 2.02,9.01 07/06/11 General Moly, Inc DE 7.01,9.01 07/05/11 GENESIS GROUP HOLDINGS INC 7.01,9.01 07/05/11 GEOGLOBAL RESOURCES INC. DE 8.01,9.01 07/01/11 GLOBAL GOLD CORP DE 8.01,9.01 07/05/11 Global Telecom & Technology, Inc. DE 1.01,2.03 07/05/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 07/06/11 Grizzly Gold Corp. FL 5.07 07/05/11 GROUP 1 AUTOMOTIVE INC DE 1.01,2.03,8.01,9.01 07/01/11 Grubb & Ellis Healthcare REIT II, Inc MD 7.01,9.01 07/06/11 GT Solar International, Inc. DE 1.01,2.03,9.01 06/29/11 GUESS INC DE 1.01,1.02,2.03,7.01, 07/06/11 9.01 GULF RESOURCES, INC. DE 5.02,9.01 06/29/11 HARRIS INTERACTIVE INC DE 2.05,5.02,9.01 06/29/11 HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 07/05/11 HEADWATERS INC DE 5.07 02/24/11 AMEND Helix Wind, Corp. NV 1.01,3.02,9.01 07/01/11 HESKA CORP DE 5.02,9.01 07/06/11 HIBERNIA BANCORP, INC. 5.03,8.01,9.01 06/30/11 HORTON D R INC /DE/ DE 1.01,2.03,9.01 06/29/11 HQ SUSTAINABLE MARITIME INDUSTRIES, I DE 5.02,8.01,9.01 05/04/11 HuntMountain Resources WA 4.01,9.01 06/30/11 HUTCHINSON TECHNOLOGY INC MN 2.02,8.01,9.01 07/06/11 ICU MEDICAL INC/DE DE 8.01,9.01 07/06/11 IMAGEWARE SYSTEMS INC DE 4.01,9.01 06/30/11 IMPERIAL CAPITAL BANCORP, INC. DE 1.03,9.01 06/20/11 INNSUITES HOSPITALITY TRUST OH 5.02 07/05/11 IPASS INC DE 5.02,9.01 06/29/11 IRON MOUNTAIN INC DE 5.02,9.01 07/06/11 IXIA CA 5.07 05/19/11 AMEND Kaiser Federal Financial Group, Inc. MD 5.02,9.01 07/01/11 KILROY REALTY CORP MD 1.01,9.01 07/05/11 KUNEKT CORP NV 1.01,1.02 06/29/11 LANNETT CO INC DE 5.02,9.01 07/05/11 Lawson Software, Inc. DE 1.01,2.03,3.01,3.03, 07/05/11 5.01,5.02,5.03,8.01, 9.01 LAZARE KAPLAN INTERNATIONAL INC DE 1.01,8.01,9.01 07/01/11 LECROY CORP DE 1.01,8.01,9.01 07/05/11 LIBERTY PROPERTY TRUST MD 8.01,9.01 06/30/11 AMEND Location Based Technologies, Inc. NV 1.01,9.01 06/28/11 Lone Pine Resources Inc. DE 2.02,5.02,7.01,9.01 07/01/11 LSB INDUSTRIES INC DE 8.01 07/06/11 LYDALL INC /DE/ DE 7.01,8.01,9.01 06/29/11 MAN SHING AGRICULTURAL HOLDINGS, INC NV 4.01,9.01 06/30/11 Manitex International, Inc. MI 1.01,2.03,9.01 06/29/11 MARKETAXESS HOLDINGS INC 5.02 06/29/11 MATERIAL SCIENCES CORP DE 5.07 07/06/11 MCMORAN EXPLORATION CO /DE/ DE 1.01,2.03,9.01 06/30/11 MEADE INSTRUMENTS CORP DE 1.01,3.02,5.02,9.01 06/29/11 MEDGENICS, INC. DE 1.01,7.01,9.01 07/06/11 MEDICINOVA INC DE 1.01 06/29/11 MEMC ELECTRONIC MATERIALS INC DE 1.02 06/30/11 MGP INGREDIENTS INC KS 1.01,2.03 06/28/11 MidWestOne Financial Group, Inc. IA 8.01,9.01 07/06/11 MISCOR GROUP, LTD. IN 1.01,9.01 07/06/11 MITEL NETWORKS CORP 7.01,9.01 07/06/11 MoSys, Inc. CA 5.02 06/30/11 MS STRUCTURED SATURNS SERIES 2001-6 DE 8.01,9.01 06/30/11 NATIONAL RETAIL PROPERTIES, INC. MD 2.03,9.01 07/06/11 NETWORK EQUIPMENT TECHNOLOGIES INC DE 5.02 06/29/11 Nevada Property 1 LLC DE 5.02 06/29/11 NEW JERSEY RESOURCES CORP NJ 1.01,2.03,9.01 06/30/11 New Source Energy Group, Inc. 5.02,8.01 06/30/11 No Show, Inc. NV 5.02 07/06/11 Noble Corp / Switzerland V8 7.01,9.01 07/06/11 NORTHSIGHT CAPITAL, INC. NV 5.02 07/06/11 NYXIO TECHNOLOGIES Corp NV 5.02 07/04/11 Oak Ridge Financial Services, Inc. NC 5.02,5.07 06/09/11 Oculus Innovative Sciences, Inc. CA 1.01,9.01 06/29/11 OCZ TECHNOLOGY GROUP INC DE 2.02,9.01 07/06/11 OmniAmerican Bancorp, Inc. MD 5.07,9.01 05/24/11 AMEND OPNEXT INC 5.02 06/29/11 Options Media Group Holdings, Inc. NV 5.02 06/29/11 Organic Sales & Marketing Inc 4.01 07/06/11 AMEND Orient Paper Inc. NV 1.01,9.01 06/30/11 Pacific Ethanol, Inc. DE 1.01,9.01 06/30/11 PAETEC Holding Corp. 5.02,9.01 07/01/11 PediatRx Inc. NV 8.01,9.01 07/06/11 PEGASYSTEMS INC MA 1.01,9.01 06/29/11 AMEND PETROHAWK ENERGY CORP DE 1.01,2.01,2.03,9.01 07/01/11 PHH CORP MD 1.01,2.03,9.01 06/29/11 Piedmont Office Realty Trust, Inc. MD 5.03,5.07 06/30/11 PMI GROUP INC DE 8.01,9.01 06/30/11 POTLATCH CORP DE 1.02 06/28/11 PRIMUS TELECOMMUNICATIONS GROUP INC DE 8.01,9.01 07/05/11 PULTEGROUP INC/MI/ MI 5.02,9.01 07/06/11 Rebornne (USA), Inc. 1.01,2.01,3.02,4.01, 05/28/10 AMEND 5.03,5.06,9.01 REGIS CORP MN 1.01,9.01 06/30/11 REPUBLIC AIRWAYS HOLDINGS INC DE 8.01,9.01 06/24/11 RESPECT YOUR UNIVERSE, INC. NV 1.01,3.02,5.02,9.01 06/30/11 SABINE ROYALTY TRUST TX 2.02,9.01 07/05/11 SAVVIS, Inc. DE 8.01 07/06/11 SCHIFF NUTRITION INTERNATIONAL, INC. DE 1.01,1.02,8.01,9.01 07/05/11 SCICLONE PHARMACEUTICALS INC DE 5.02,5.07,9.01 06/30/11 Scripps Networks Interactive, Inc. OH 1.01,9.01 06/30/11 Secure Netwerks, Inc. UT 1.01,3.02,3.03,5.01, 07/06/11 5.03,9.01 SecureAlert, Inc. UT 5.02 06/30/11 SELECT COMFORT CORP MN 1.01,9.01 06/29/11 SENTRY PETROLEUM LTD. 7.01,9.01 07/06/11 SHAMIKA 2 GOLD, INC. NV 5.02 07/05/11 SINOBIOMED INC DE 1.01,3.02,5.02,9.01 07/01/11 SINOBIOMED INC DE 5.02,9.01 06/09/11 AMEND SMART BALANCE, INC. DE 5.02,9.01 07/05/11 SOUTHERN BELLA INC 1.01,9.01 06/29/11 SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 1.01,9.01 06/30/11 SquareTwo Financial Corp DE 8.01,9.01 06/30/11 STARINVEST GROUP, INC. NV 5.02 04/20/11 Steadfast Income REIT, Inc. MD 1.01,2.01,2.03,7.01, 06/28/11 9.01 STEELE RESOURCES CORP NV 1.01,9.01 07/01/11 STEINWAY MUSICAL INSTRUMENTS INC DE 5.02,8.01,9.01 07/01/11 STEMCELLS INC DE 3.03,5.03,5.07 06/30/11 Stereotaxis, Inc. DE 1.01,9.01 07/06/11 STRATEGIC HOTELS & RESORTS, INC 5.02,9.01 06/29/11 STRATEGIC HOTELS & RESORTS, INC 5.02,9.01 06/29/11 AMEND SunOpta Inc. 8.01 07/06/11 SWISSINSO HOLDING INC. DE 5.02 06/29/11 TANDY BRANDS ACCESSORIES INC DE 2.05,2.06,9.01 06/29/11 TANGER FACTORY OUTLET CENTERS INC NC 1.01,7.01,9.01 07/06/11 TearLab Corp DE 5.02 06/30/11 Tennessee Valley Authority 5.02 06/30/11 TERRA ENERGY & RESOURCE TECHNOLOGIES, DE 5.02,9.01 07/01/11 TESSERA TECHNOLOGIES INC DE 2.02,9.01 07/06/11 TEXADA VENTURES INC NV 1.01,9.01 07/01/11 THRESHOLD PHARMACEUTICALS INC DE 8.01,9.01 07/06/11 TORCH ENERGY ROYALTY TRUST DE 8.01,9.01 07/06/11 TORTOISE CAPITAL RESOURCES CORP 8.01,9.01 06/30/11 TRANSATLANTIC HOLDINGS INC DE 7.01,9.01 07/05/11 Tree.com, Inc. DE 1.01,2.03,9.01 06/29/11 TRIG ACQUISITION 1, INC NV 4.01,5.02,5.03,9.01 06/30/11 TRINITY INDUSTRIES INC DE 1.01,2.03 06/29/11 TRUSTCO BANK CORP N Y NY 8.01 07/06/11 TUTOR PERINI Corp MA 1.01,2.01,7.01,9.01 07/01/11 UNIFY CORP 2.02,9.01 07/06/11 UNIFY CORP 5.03,8.01,9.01 07/01/11 UNION DRILLING INC DE 1.01,7.01,9.01 07/05/11 United American Petroleum Corp. NV 1.01,2.03,3.02,9.01 06/30/11 UNITED SECURITY BANCSHARES INC DE 1.01,1.02,5.02,8.01, 06/30/11 9.01 UNITEDHEALTH GROUP INC MN 5.02,9.01 07/01/11 Unum Group DE 5.02,9.01 06/29/11 UQM TECHNOLOGIES INC CO 5.02 07/01/11 URANIUM 308 CORP. NV 1.01,3.02,8.01,9.01 06/15/11 US AIRWAYS GROUP INC DE 2.02,9.01 07/06/11 US AIRWAYS GROUP INC DE 2.02,9.01 07/06/11 Valeant Pharmaceuticals International A6 1.01,9.01 06/29/11 Verecloud, Inc. NV 3.02,5.02,9.01 06/30/11 VGTel, Inc. 5.02,8.01,9.01 06/28/11 VISA INC. DE 7.01 07/06/11 VISTAPRINT N.V. P7 5.02,5.07 06/30/11 Vitacost.com, Inc. DE 5.07 07/05/11 VOICESERVE INC DE 2.02,9.01 07/05/11 Vuzix Corp DE 5.07 06/29/11 Warner Music Group Corp. DE 5.07,8.01,9.01 07/06/11 WASHINGTON REAL ESTATE INVESTMENT TRU MD 2.03,9.01 07/06/11 WELLS CORE OFFICE INCOME REIT INC 1.01,2.03 06/29/11 WELLS FARGO & CO/MN DE 9.01 07/06/11 WELLS REAL ESTATE INVESTMENT TRUST II MD 1.01,2.03 06/30/11 WESTAR ENERGY INC /KS KS 5.02,7.01,9.01 07/06/11 WORTHINGTON INDUSTRIES INC OH 2.02,5.02,9.01 06/29/11 XcelMobility Inc. NV 1.01,9.01 07/05/11 XFONE INC. NV 8.01,9.01 07/06/11 YATERRA VENTURES CORP. 7.01 07/05/11 Z3 ENTERPRISES, INC. NV 5.02 06/29/11 ZHONGPIN INC. DE 7.01,9.01 07/06/11 ZIPCAR INC 1.01,9.01 06/29/11 Zoom Telephonics, Inc. DE 5.07 06/30/11 Zumiez Inc WA 7.01,9.01 07/06/11
http://www.sec.gov/news/digest/2011/dig070711.htm
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