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SEC News Digest
Issue 2011-176
September 12, 2011
Enforcement Proceedings
In the Matter of Blake G. Williams
An Administrative Law Judge has issued an Order Making Findings and Imposing Remedial Sanctions by Default (Default Order) in Blake G. Williams, Admin. Proc. No. 3-14456. The Order Instituting Proceedings (OIP) alleged that Respondent Blake G. Williams (Williams) violated the antifraud provisions of the federal securities laws by engaging in a pervasive fraudulent scheme to manipulate the stocks of at least a dozen microcap issuers. On February 3, 2011, a final judgment by default was entered against Williams in SEC v. Williams, et al., 3:10-CV-01068-O (N.D. Tex.), permanently enjoining him from future violations of Sections 5(a) and 5(c) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. Williams was further ordered by the court to disgorge over $2 million in illegal profits and pay a civil money penalty of $130,000.
The Default Order finds the allegations of the OIP to be true and concludes that, pursuant to Section 15(b)(6)(A) of the Exchange Act of 1934, it is in the public interest to bar Williams from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, and nationally recognized statistical rating organization. (Rel. 34-65296; File No. 3-14456)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Ten Public Companies for Failure to Make Required Periodic Filings
Today the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of ten companies for failure to make required periodic filings with the Commission:
- Interactive Therapeutics, Inc.
- Interchem (N.A.) Industries, Inc.
- International Cavitation Technologies, Inc.
- International Fibercom, Inc.
- International Gaming Management, Inc.
- International Meta Systems, Inc.
- Internet Communications Corp.
- InvestAmerica, Inc.
- IQUniverse, Inc.
- IRG Technologies, Inc.
In this Order, the Division of Enforcement (Division) alleges that the ten issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 or 13a-16 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-65320; File No. 3-14545)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Six Public Companies for Failure to Make Required Periodic Filings
Today the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of six companies for failure to make required periodic filings with the Commission:
- International Solubles Corp.
- Internet Capital Ventures & Association, Inc. (n/k/a Atlantis Studios Corporation)
- Intratel Group, Ltd.
- iQrom Communications, Inc.
- Irutil Co. Inc.
- ISNI.net, Inc.
In this Order, the Division of Enforcement (Division) alleges that the six issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 or 13a-16 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-65321; File No. 3-14546)
Investment Company Act Releases
Pax World Funds Series Trust I and Pax World Management LLC
An order has been issued on an application filed by Pax World Funds Series Trust I and Pax World Management LLC exempting applicants from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-29783 - September 7)
Stone Harbor Investment Partners LP and Stone Harbor Investment Funds
A notice has been issued giving interested persons until October 3, 2011, to request a hearing on an application filed by Stone Harbor Investment Partners LP and Stone Harbor Investment Funds for an order under Section 6(c) of the Investment Company Act for an exemption from Rule 12d1-2(a) under the Act. The order would permit open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29784 - September 7)
Self-regulatory organizations
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change
The Commission has designated a longer period within which to take action on the proposed rule change (SR-CHX-2011-17), submitted by Chicago Stock Exchange, Incorporated, under Section 19(b)(1) of the Securities Exchange Act of 1934, regarding the submission by the Exchange of clearing-related information for trades executed on the Exchange as well as for trades executed otherwise than on the Exchange. Publication is expected in the Federal Register during the week of September 12. (Rel. 34-65300)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by BATS Exchange, Inc. (SR-BATS-2011-034) to offer a bulk-quoting interface to all users of BATS Options 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 September 12. (Rel. 34-65307)
A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-082) related to opening and complex order price check parameter features 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 September 12. (Rel. 34-65310)
A proposed rule change filed by C2 Options Exchange, Incorporated (SR-C2-2011-018) related to opening and complex order price check parameter features 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 September 12. (Rel. 34-65311)
Approval of Proposed Rule Change
The Commission approved a proposed rule change (SR-CHX-2011-21) filed by Chicago Stock Exchange, Incorporated to amend Article 20, Rule 9 (Cancellation of Transactions) and Interpretation and Policy .01 thereunder regarding the cancellation of the stock leg of stock-option transactions done on the Exchange. Publication is expected in the Federal Register during the week of September 12. (Rel. 34-65308)
Proposed Rule Change
NASDAQ OMX PHLX LLC filed a proposed rule change (SR-Phlx-2011-126) relating to rebates and fees for complex orders. Publication is expected in the Federal Register during the week of September 12. (Rel. 34-65312)
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 DYNACQ HEALTHCARE INC, 10304 INTERSTATE 10 EAST, SUITE 369, HOUSTON,
TX, 77029, 7136736639 - 0 ($26,580,000.00) Equity, (File 333-176740 -
Sep. 9) (BR. 01B)
S-8 Geeknet, Inc, 11216 WAPLES MILL RD.,, SUITE 100, FAIRFAX,, VA, 22030,
(877) 433-5638 - 78,125 ($1,489,843.75) Equity, (File 333-176741 -
Sep. 9) (BR. 02C)
S-8 REALPAGE INC, 4000 INTERNATIONAL PARKWAY, CARROLLTON, TX, 75007-1913,
972-820-3923 - 0 ($1,535,152.27) Equity, (File 333-176742 - Sep. 9)
(BR. 03B)
S-8 Nine Mile Software, Inc., 3020 OLD RANCH PARKWAY, SUITE 140,
SEAL BEACH, CA, 90740, (562) 795-7500 -
6,000,000 ($3,060,000.00) Equity, (File 333-176743 - Sep. 9) (BR. 03A)
F-10 BANRO CORP, 1 FIRST CANADIAN PLACE, 100 KING STREET WEST, SUITE 7070,
TORONTO, A6, M5X 1E3, 416-366-2221 - 0 ($11,667,729.00) Equity,
(File 333-176744 - Sep. 9) (BR. 04B)
S-3D BB&T CORP, 200 WEST SECOND STREET, WINSTON-SALEM, NC, 27101,
3367332000 - 3,688,087 ($75,679,545.24) Equity, (File 333-176745 -
Sep. 9) (BR. 12A)
S-8 ChinaCache International Holdings Ltd.,
6/F, BLOCK A, GALAXY PLAZA, 10 JIUXIANQI,
ROAD MIDDLE, CHAOYANG DISTRICT, BEIJING, F4, 100015, 86 10 6437-3399 -
0 ($8,966,023.20) ADRs/ADSs, (File 333-176751 - Sep. 9) (BR. 03C)
S-1 Online-Redefined, Inc., 1347 NORTH STANLEY AVENUE, SUITE 4,
LOA ANGELES, CA, 90046, 203-668-5029 - 604,000 ($151,000.00) Equity,
(File 333-176752 - Sep. 9) (BR. 03)
S-1 Frac Tech International, LLC, 777 MAIN STREET, SUITE 3000, FORT WORTH,
TX, 76102, (817) 862-2000 - 0 ($1,150,000,000.00) Equity,
(File 333-176753 - Sep. 9) (BR. )
S-8 SUN BANCORP INC /NJ/, 226 LANDIS AVENUE, VINELAND, NJ, 08360,
8566917700 - 4,900,000 ($14,568,366.00) Equity, (File 333-176754 -
Sep. 9) (BR. 07C)
S-8 SUN BANCORP INC /NJ/, 226 LANDIS AVENUE, VINELAND, NJ, 08360,
8566917700 - 2,700,000 ($12,264,353.00) Equity, (File 333-176755 -
Sep. 9) (BR. 07C)
S-8 PEETS COFFEE & TEA INC, PO BOX 12509, BERKELEY, CA, 94712, 5105942100 -
750,000 ($41,595,000.00) Equity, (File 333-176757 - Sep. 9) (BR. 04C)
S-1 PERFORMANCE SPORTS BRANDS, INC., 1021 N. SEPULVEDA BLVD. SUITE G,
MANHATTAN BEACH, CA, 90266, 310-796-9422 -
3,205,000 ($1,602,500.00) Equity, (File 333-176758 - Sep. 9) (BR. )
S-1 Polonia Bancorp Inc, 3993 HUNTINGDON PIKE 3RD FLOOR, HUNTINGDON VALLEY,
PA, 19006, 215 938 8800 - 0 ($26,404,800.00) Equity, (File 333-176759 -
Sep. 9) (BR. )
S-8 Limelight Networks, Inc., 222 SOUTH MILL AVENUE, 8TH FLOOR, TEMPE, AZ,
85281, 602-850-5000 - 0 ($8,845,969.21) Equity, (File 333-176760 -
Sep. 9) (BR. 03C)
N-2 Virtus-Newfleet Global Multi-Sector Income Fund, 100 PEARL STREET,
HARTFORD, CT, 06107, 860-243-1574 - 250,000 ($5,000,000.00) Equity,
(File 333-176761 - Sep. 9) (BR. )
S-3ASR MACERICH CO, 401 WILSHIRE BLVD, STE 700, SANTA MONICA, CA, 90401,
3103946000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-176762 - Sep. 9) (BR. 08B)
S-1 Wellesley Bancorp, Inc., 40 CENTRAL STREET, WELLESLEY, MA, 02482,
781-235-2550 - 0 ($33,961,800.00) Equity, (File 333-176764 - Sep. 9)
(BR. )
S-3 United States Oil Fund, LP, 1320 HARBOR BAY PARKWAY, SUITE 145,
ALMADEDA, CA, 94502, 510-522-9600 - 0 ($1.00) Other, (File 333-176765 -
Sep. 9) (BR. 08C)
F-10 Central GoldTrust, P.O. BOX 10106, MEADOWLANDS, ANCASTER, A6, L9K 1P3,
905-304-4653 - 0 ($1,000,000,000.00) Other, (File 333-176766 - Sep. 9)
(BR. 04A)
S-1 Restoration Hardware Holdings Inc, 15 KOCH ROAD, SUITE J, CORTE MADERA,
CA, 94925, 415-924-1005 - 0 ($150,000,000.00) Equity,
(File 333-176767 - Sep. 9) (BR. )
S-8 MITEL NETWORKS CORP, 350 LEGGET DRIVE, KANATA ONTARIO CANADA K2K 2W7,
A6, 00000, 6135922122 - 1,588,298 ($5,368,447.24) Equity,
(File 333-176768 - Sep. 9) (BR. 11C)
S-1 WESTMOUNTAIN INDEX ADVISOR INC, 2186 S. HOLLY ST., SUITE 104, DENVER,
CO, 80222, (303) 800-0678 - 6,686,095 ($8,357,619.00) Equity,
(File 333-176770 - Sep. 9) (BR. 08B)
S-1 MusclePharm Corp, 4721 IRONTON STREET, DENVER, CO, 80239,
(800) 210-7369 - 40,000,000 ($800,000.00) Equity, (File 333-176771 -
Sep. 9) (BR. 01B)
S-3 QUANTUM FUEL SYSTEMS TECHNOLOGIES WORLDWIDE, INC.,
17872 CARTWRIGHT ROAD, IRVINE, CA, 92614, 949-399-4500 -
0 ($75,000,000.00) Unallocated (Universal) Shelf, (File 333-176772 -
Sep. 9) (BR. 05B)
S-8 TeleNav, Inc., 1130 KIFER ROAD, SUNNYVALE, CA, 94086, (408) 245-3800 -
1,666,666 ($14,233,327.64) Equity, (File 333-176773 - Sep. 9) (BR. 05C)
S-8 TIVO INC, 2160 GOLD STREET, PO BOX 2160, ALVISO, CA, 95002,
408-519-9100 - 5,000,000 ($53,300,000.00) Equity, (File 333-176774 -
Sep. 9) (BR. 11C)
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
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9.01
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Financial Statements and Exhibits
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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
ABM INDUSTRIES INC /DE/ DE 2.02,8.01,9.01 09/08/11
ABRAXAS PETROLEUM CORP NV 5.02,7.01,9.01 09/07/11
ACETO CORP NY 2.02,9.01 09/09/11
ADVENT SOFTWARE INC /DE/ DE 5.02,5.03,9.01 09/08/11
AEP INDUSTRIES INC DE 2.02,9.01 09/09/11
All American Gold Corp. WY 2.02,9.01 09/09/11
ALLDIGITAL HOLDINGS, INC. NV 5.02 09/06/11
ALLIANCE RESOURCE PARTNERS LP DE 8.01 09/02/11
AMERICAN SCIENCE & ENGINEERING, INC. MA 5.07 09/08/11
AMERICAN WAGERING INC NV 2.03 09/07/11
AMPHENOL CORP /DE/ DE 8.01,9.01 09/09/11
AMTECH SYSTEMS INC AZ 8.01 09/08/11
Anacor Pharmaceuticals Inc DE 1.01,9.01 09/02/11
Anthera Pharmaceuticals Inc DE 7.01,9.01 09/08/11
APPLETON PAPERS INC/WI 8.01 09/09/11
ARK RESTAURANTS CORP NY 8.01,9.01 09/08/11
ASHLAND INC. KY 8.01,9.01 09/09/11
ATHENA SILVER CORP CA 3.02,8.01,9.01 08/22/11
AtheroNova Inc. DE 8.01,9.01 09/08/11
ATLANTIC TELE NETWORK INC /DE DE 3.01 09/02/11
AVIAT NETWORKS, INC. DE 1.01,2.01,9.01 09/02/11
BEHRINGER HARVARD REIT I INC MD 7.01,9.01 09/09/11
BGC Partners, Inc. DE 1.01,8.01,9.01 09/09/11
BioDrain Medical, Inc. MN 5.03,9.01 09/08/11
Bizzingo, Inc. NV 8.01,9.01 09/02/11
BJs RESTAURANTS INC CA 5.02,5.03,9.01 09/08/11
BJs RESTAURANTS INC CA 5.02 09/08/11 AMEND
BJS WHOLESALE CLUB INC DE 5.07 09/09/11
BLUEFLY INC DE 5.02 09/08/11
BLUEFLY INC DE 1.01,3.02,9.01 09/07/11
BODY CENTRAL CORP 5.02,9.01 09/09/11
BORDERS GROUP INC MI 5.02 09/02/11
Brooklyn Federal Bancorp, Inc. X1 3.01,9.01 09/06/11
Brooklyn Federal Bancorp, Inc. X1 3.01,8.01,9.01 09/06/11
Burlington Coat Factory Investments H 1.01,2.03,8.01,9.01 09/02/11
CA, INC. DE 5.02,9.01 09/09/11
CABOT CORP DE 5.02,5.03 09/09/11
CAMPBELL FUND TRUST DE 3.02 09/09/11
CANADIAN DERIVATIVES CLEARING CORP A6 9.01 08/31/11
CARVER BANCORP INC DE 5.02 09/06/11
CASEYS GENERAL STORES INC IA 2.02,9.01 08/08/11
CENTERPOINT ENERGY INC 8.01 09/06/11
CERADYNE INC DE 7.01,9.01 09/08/11
CHAMPION INDUSTRIES INC WV 2.02,9.01 09/09/11
China Bilingual Technology & Educatio NV 1.01,9.01 08/31/11
China Energy CORP 5.02,9.01 09/02/11
China Green Agriculture, Inc. NV 2.02,9.01 09/09/11
CHINA SKY ONE MEDICAL, INC. NV 5.02,9.01 09/05/11
CIBER INC DE 5.02 09/06/11
CIMETRIX INC NV 9.01 09/08/11
CLAYTON WILLIAMS ENERGY INC /DE DE 7.01,9.01 09/09/11
CLEAN DIESEL TECHNOLOGIES INC DE 5.02,9.01 09/08/11
CNO Financial Group, Inc. DE 7.01,9.01 09/09/11
COBIZ FINANCIAL INC CO 1.01,1.02,3.02,3.03, 09/08/11
5.02,5.03,9.01
CODORUS VALLEY BANCORP INC PA 1.01 09/09/11 AMEND
COMERICA INC /NEW/ 7.01,9.01 09/09/11
COMPREHENSIVE CARE CORP DE 1.01,2.03,3.02,9.01 08/30/11
CONCURRENT COMPUTER CORP/DE DE 5.03,9.01 09/02/11
COPART INC CA 5.02 09/08/11
CORNERSTONE BANCSHARES INC TN 5.07 04/28/11
Cornerstone OnDemand Inc DE 5.02 09/02/11
Crexendo, Inc. DE 5.02,9.01 09/09/11
CurrencyShares Russian Ruble Trust NY 9.01 09/08/11 AMEND
CVD EQUIPMENT CORP NY 1.01,9.01 09/02/11
CYNOSURE INC 9.01 06/27/11 AMEND
CYTOKINETICS INC 5.07 09/09/11 AMEND
DAVITA INC DE 2.01,9.01 09/02/11
DecisionPoint Systems, Inc. DE 1.01,2.01,9.01 09/02/11
DECKERS OUTDOOR CORP DE 1.01 09/02/11
DEL MONTE CORP 2.02,7.01,9.01 09/09/11
DELL INC DE 5.02,9.01 09/08/11
DFC GLOBAL CORP. DE 5.02,9.01 09/07/11
DITECH NETWORKS INC DE 2.02,9.01 09/08/11
DOW CHEMICAL CO /DE/ DE 8.01 09/09/11
Dutch Gold Resources Inc CO 7.01,9.01 01/29/10 AMEND
DYNEX CAPITAL INC VA 5.02,9.01 09/07/11
DYNEX CAPITAL INC VA 5.07 05/11/11 AMEND
Eastern Insurance Holdings, Inc. PA 8.01,9.01 09/07/11
ECB BANCORP INC NC 1.01,3.02,9.01 09/09/11
Eco Energy Pumps, Inc. NV 1.01,4.01,5.02,9.01 08/22/11 AMEND
EDGEWATER TECHNOLOGY INC/DE/ DE 8.01,9.01 09/09/11
EdgeWave, Inc. DE 1.01,2.03,9.01 09/08/11
ENER1 INC FL 3.01 09/06/11
Envision Solar International, Inc. NV 1.01,2.03,9.01 09/06/11
EPICEPT CORP 8.01,9.01 09/05/11
EURO SOLAR PARKS, INC. NV 5.02 09/07/11
EXELON CORP PA 5.02,9.01 09/09/11
EXELON CORP PA 7.01,9.01 09/09/11
EXOPACK HOLDING CORP 5.02 09/09/11
EXTERRAN HOLDINGS INC. DE 5.02,9.01 09/08/11
FAMILY DOLLAR STORES INC DE 5.02 09/07/11
FIRST FINANCIAL HOLDINGS INC /DE/ DE 8.01 09/09/11
FIRST INTERSTATE BANCSYSTEM INC MT 5.07 05/24/11 AMEND
FLUOR CORP DE 8.01,9.01 09/08/11
Fresh Harvest Products, Inc. NJ 5.07 09/02/11
FTI CONSULTING INC MD 1.02,7.01,9.01 09/02/11
FULTON FINANCIAL CORP PA 7.01,9.01 09/09/11
FUTURES PORTFOLIO FUND L.P. MD 3.02 09/01/11
General Motors Co 8.01 09/07/11
GENTA INC DE/ DE 8.01 09/09/11
Global Karaoke Network, Inc. DE 4.01,9.01 09/08/11
GLOBAL NUTECH, INC. 5.02 09/05/11
GLOBETRAC INC DE 1.02,8.01,9.01 09/08/11
Golden Minerals Co 1.01,2.01,2.03,3.02, 09/02/11
5.01,5.02,5.03,9.01
GOLDMAN SACHS GROUP INC DE 9.01 09/09/11
Graham Packaging Co Inc. DE 1.01,1.02,2.01,2.03, 09/08/11
3.03,5.01,5.02,5.03,
9.01
Graham Packaging Co Inc. DE 3.01 09/08/11
GREAT WEST LIFE & ANNUITY INSURANCE C CO 5.02 09/09/10
GREEN EARTH TECHNOLOGIES, INC DE 8.01,9.01 09/08/11
HANSEN MEDICAL INC 8.01 09/07/11
HEALTH NET INC DE 7.01 09/09/11
HECLA MINING CO/DE/ DE 1.01,2.03,9.01 09/08/11
High Plains Gas, Inc. NV 5.02 09/08/11
HollyFrontier Corp DE 7.01,9.01 09/08/11
Homeland Security Capital CORP DE 1.01,9.01 09/07/11
HOSPITALITY PROPERTIES TRUST MD 1.01,1.02,2.03,9.01 09/08/11
HUIHENG MEDICAL, INC. NV 1.01,9.01 09/06/11
HURCO COMPANIES INC IN 2.02,9.01 09/09/11
Hyatt Hotels Corp DE 1.01,2.03,7.01,9.01 09/09/11
ICF International, Inc. DE 5.02 09/06/11
INFORMATION ARCHITECTS CORP NC 8.01 09/09/11
INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 09/09/11
INVESTORS CAPITAL HOLDINGS LTD MA 5.05 09/06/11
INVESTORS REAL ESTATE TRUST ND 2.02,7.01,9.01 09/09/11
IRELAND INC. NV 7.01,9.01 09/08/11
Island Radio, Inc. NV 5.02,9.01 09/09/11
Island Radio, Inc. NV 8.01,9.01 09/09/11
ITRONICS INC TX 8.01 09/09/11
IZEA Holdings, Inc. NV 4.02 09/08/11
JACKSONVILLE BANCORP INC /FL/ FL 5.02 07/01/11 AMEND
JAMMIN JAVA CORP. 4.01,9.01 09/06/11 AMEND
KENSEY NASH CORP DE 9.01 05/24/11 AMEND
KOSS CORP DE 8.01,9.01 09/06/11
KROGER CO OH 2.02,7.01,9.01 09/09/11
LANNETT CO INC DE 2.02,9.01 09/07/11
LianDi Clean Technology Inc. NV 5.02 09/01/11
Liberty Global, Inc. DE 7.01 09/08/11
LIBERTY MEDIA CORP 5.07,8.01,9.01 09/07/11
LIGAND PHARMACEUTICALS INC DE 1.01,9.01 09/05/11
Limoneira CO DE 2.02,9.01 09/09/11
LOCAL.COM DE 7.01,9.01 09/09/11
LUBRIZOL Corp OH 5.02 09/02/11
lululemon athletica inc. DE 2.02,9.01 09/09/11
MACERICH CO MD 8.01,9.01 09/09/11
MACERICH CO MD 8.01,9.01 09/09/11
MAGELLAN PETROLEUM CORP /DE/ DE 1.01,2.01,3.02,8.01, 09/02/11
9.01
MAGNETEK, INC. DE 3.01,9.01 09/08/11
MARRIOTT INTERNATIONAL INC /MD/ DE 2.06 09/08/11
MARSHALL EDWARDS INC DE 8.01,9.01 09/08/11
MASTEC INC FL 1.01,5.02,9.01 09/08/11
MASTEC INC FL 5.07 05/05/11 AMEND
MCMORAN EXPLORATION CO /DE/ DE 1.01,3.02,9.01 09/08/11
MEDCO HEALTH SOLUTIONS INC DE 8.01,9.01 09/09/11
MEDIFAST INC DE 8.01 09/07/11
MINERALS TECHNOLOGIES INC DE 8.01 09/07/11
MIPS TECHNOLOGIES INC DE 5.02,8.01,9.01 09/09/11
MYRIAD GENETICS INC DE 8.01,9.01 09/08/11
NATIONAL FUEL GAS CO NJ 7.01,9.01 09/09/11
NATIONAL PROPERTY INVESTORS 5 CA 2.01 09/08/11
NATURALLY ADVANCED TECHNOLOGIES INC A1 5.02,8.01,9.01 08/31/11
NATUS MEDICAL INC DE 5.07 06/02/11 AMEND
NEOGEN CORP MI 1.01,2.03,9.01 09/02/11
NEOPROBE CORP DE 8.01,9.01 09/07/11
NEWS CORP 8.01,9.01 09/09/11
NUCOR CORP DE 5.03,9.01 09/07/11
O REILLY AUTOMOTIVE INC 1.01,8.01,9.01 09/09/11
Ocean Power Technologies, Inc. NJ 2.02,9.01 09/09/11
OHIO LEGACY CORP OH 8.01,9.01 09/09/11
Orient Paper Inc. NV 8.01,9.01 09/06/11
Otter Tail Corp MN 5.02,9.01 09/08/11
OXIGENE INC DE 5.02,9.01 09/02/11
PALL CORP NY 2.02,9.01 09/07/11
PALMDALE EXECUTIVE HOMES, CORP. NV 1.01,5.02 09/07/11
Pana-Minerales S.A. NV 5.03,9.01 09/09/11
PARKERVISION INC FL 1.01,8.01,9.01 09/09/11
PARKVALE FINANCIAL CORP PA 2.02,8.01,9.01 09/09/11
PATHEON INC 2.02,7.01,9.01 09/09/11
PENN MILLERS HOLDING CORP 1.01,8.01,9.01 09/07/11
PEREGRINE PHARMACEUTICALS INC DE 2.02,7.01,9.01 09/09/11
Premier Power Renewable Energy, Inc. DE 5.02 09/07/11
PRESSURE BIOSCIENCES INC MA 1.01,2.03,3.02 09/08/11
PRIVATE MEDIA GROUP INC NV 8.01 08/30/11
PRIVATE MEDIA GROUP INC NV 5.02 09/02/11
Protea Biosciences Inc. 1.01,2.01,3.02,4.01, 09/02/11
5.01,5.02,5.03,5.06,
9.01
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,9.01 08/24/11
RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 09/08/11
RCLC, INC. NJ 1.03,7.01,9.01 08/29/11
REALNETWORKS INC WA 5.02 09/07/11
RED MOUNTAIN RESOURCES, INC. FL 3.02 09/06/11
Rockville Financial, Inc. /CT/ CT 5.02,9.01 09/02/11
SAGE FUND LP MD 3.02 09/01/11
Sagebrush Gold Ltd. NV 1.02,5.02,9.01 09/02/11
SANDISK CORP DE 5.02,9.01 09/09/11
SCHIFF NUTRITION INTERNATIONAL, INC. DE 5.02,9.01 09/07/11
SHAMIKA 2 GOLD, INC. NV 1.01,3.02 09/09/11
ShengdaTech, Inc. 8.01 09/02/11
Sino Clean Energy Inc NV 5.02,9.01 09/05/11
SMART ONLINE INC DE 2.03,3.02 09/09/11
Solar Thin Films, Inc. DE 8.01 09/07/11
SOUPMAN, INC. DE 3.02 08/29/11
SOUTHWEST OIL & GAS INCOME FUND IX-A DE 7.01,9.01 09/09/11
SOUTHWEST OIL & GAS INCOME FUND X-A L DE 7.01,9.01 09/09/11
SOUTHWEST OIL & GAS INCOME FUND X-B L DE 7.01,9.01 09/09/11
SOUTHWEST ROYALTIES INSTITUTIONAL INC DE 7.01,9.01 09/09/11
SOUTHWEST ROYALTIES INSTITUTIONAL INC DE 7.01,9.01 09/09/11
SOUTHWEST ROYALTIES INSTITUTIONAL INC DE 7.01,9.01 09/09/11
SPECTRUM PHARMACEUTICALS INC DE 5.02,9.01 09/02/11
SpeedSport Branding, inc. NV 8.01 08/31/11
SPRINGLEAF FINANCE CORP IN 8.01 09/08/11
STARINVEST GROUP, INC. NV 9.01 09/06/11
STEELE RESOURCES CORP NV 1.02,9.01 08/31/11
STRATEGIC HOTELS & RESORTS, INC 7.01,9.01 09/09/11
SUSQUEHANNA BANCSHARES INC PA 5.02 09/08/11
SyntheMed, Inc. DE 1.01,2.01,3.02,3.03, 09/02/11
4.01,5.01,5.02,5.03,
9.01
TD AMERITRADE HOLDING CORP DE 7.01,9.01 09/07/11
TEXADA VENTURES INC NV 3.02 09/08/11
TITANIUM METALS CORP DE 7.01,9.01 09/09/11
TRANSGLOBAL ASSETS, INC. NV 3.02,9.01 09/09/11
TRINITY INDUSTRIES INC DE 5.07 05/02/11 AMEND
U. S. Premium Beef, LLC 7.01,9.01 09/09/11
UGI CORP /PA/ PA 8.01,9.01 09/08/11
UGI UTILITIES INC PA 8.01,9.01 09/08/11
UIL HOLDINGS CORP CT 7.01,9.01 09/09/11
United Continental Holdings, Inc. DE 8.01,9.01 09/08/11
UNIVERSAL BIOSENSORS INC DE 1.01 09/09/11
UNIVERSAL CORP /VA/ VA 8.01,9.01 09/09/11
UROLOGIX INC MN 1.01,2.01,9.01 09/06/11
URSTADT BIDDLE PROPERTIES INC MD 2.02,9.01 09/07/11
USEC INC DE 5.07 09/09/11 AMEND
Verecloud, Inc. NV 5.02 09/02/11
Vertro, Inc. DE 7.01,9.01 09/09/11
VILLAGE SUPER MARKET INC NJ 7.01,9.01 09/09/11
VIROPHARMA INC DE 1.01,2.03 09/09/11
VISHAY INTERTECHNOLOGY INC DE 1.01,2.03,9.01 09/08/11
VISTA GOLD CORP B0 7.01 09/06/11
WALTER INVESTMENT MANAGEMENT CORP MD 5.02 09/02/11
WASHINGTON REAL ESTATE INVESTMENT TRU MD 2.01,9.01 09/02/11
WEBSTER FINANCIAL CORP DE 8.01 09/09/11
WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 5.07 05/11/11 AMEND
WGL HOLDINGS INC VA 5.04,9.01 09/09/11
Willbros Group, Inc.\NEW\ 7.01 09/09/11
WILLIS GROUP HOLDINGS PLC L2 7.01,9.01 09/09/11
WINLAND ELECTRONICS INC MN 1.01,9.01 09/02/11
Wonder Auto Technology, Inc NV 3.01,9.01 09/07/11
Xtreme Oil & Gas, Inc. NV 1.01,2.03,3.02,9.01 09/08/11
Zayo Group LLC DE 2.02,7.01,9.01 09/08/11
http://www.sec.gov/news/digest/2011/dig091211.htm
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