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Commission AnnouncementsSecurities and Exchange Commission Suspends Trading in the Securities of Eight Issuers For Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on October 27, 2011 and terminating at 11:59 p.m. EST on November 9, 2011:
The Commission temporarily suspended trading in the securities of these eight issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-65639) Brian Bussey Named Associate Director for Derivatives Policy and Trading Practices in Division of Trading and MarketsThe Securities and Exchange Commission today announced that Brian A. Bussey has been named Associate Director for Derivatives Policy and Trading Practices in the Division of Trading and Markets. The Office of Derivatives Policy and Trading Practices is at the forefront of the Division’s efforts to implement the derivatives provisions of the Dodd-Frank Act, and is responsible for the administration of Regulation SHO and other rules related to short selling and market manipulation. The Office oversees the Division’s efforts to provide legal and policy expertise to the Division of Enforcement in enforcement matters pertaining to market regulation and oversight. The Office of Derivatives Policy and Trading Practices is the successor to the Division’s Office of Trading Practices and Processing. During his tenure as head of the Office of Trading Practices and Processing, Mr. Bussey led the Division’s effort to establish an Office of Derivatives Policy and to expand the clearance and settlement program. As a result of the growth of the clearance and settlement program and its responsibilities, the Division recently announced the appointment of an Associate Director for Clearance and Settlement. “Brian played a transformative role during his tenure as Associate Director for Trading Practices and Processing through his leadership, vision, creativity, and drive,” said Robert Cook, Director of the SEC’s Division of Trading and Markets. “His ability to identify and recruit talent and build teams has resulted in a new derivatives policy program and a revitalized and significantly expanded clearance and settlement program within the Division.” Mr. Bussey said, “I look forward to facing new challenges with the talented and dedicated team of attorneys in the Office of Derivatives Policy and Trading Practices.” Mr. Bussey was named Associate Director for Trading Practices and Processing in the Division of Trading and Markets in September 2009, and was Assistant Chief Counsel in the Division from 2003 to 2009. From 2001 to 2003, he served as counsel to former SEC chairmen William Donaldson and Harvey Pitt and former Acting Chairman Laura Unger. He came to the SEC in 1998, first working as Senior Counsel in the Office of General Counsel and then as Special Counsel in the Office of Chief Counsel in the Division of Trading and Markets. Prior to joining the SEC staff, Mr. Bussey was a corporate associate at Kirkland & Ellis in Chicago. Mr. Bussey began his legal career in 1995 as a law clerk to Judge E. Grady Jolly, U.S. Court of Appeals for the Fifth Circuit. Mr. Bussey received his JD with high honors from the University of Chicago Law School, and was awarded Order of the Coif. He received his BA, cum laude, from Pomona College, where he was elected to Phi Beta Kappa. (Press Rel. 2011-228) SEC Names Peter Curley as Associate Director for Clearance and Settlement in Division of Trading and MarketsThe Securities and Exchange Commission today announced that Peter J. Curley has been named Associate Director for Clearance and Settlement in the SEC’s Division of Trading and Markets. As Associate Director, Mr. Curley will oversee the Division’s clearance and settlement program, which has been expanded significantly over the past two years. Traditionally focused on securities clearing agencies and transfer agents, the Division’s Office of Clearance and Settlement is now additionally responsible for implementing regulations under the Dodd-Frank Wall Street Reform and Consumer Protection Act for clearing agencies that clear security-based swaps, and will be responsible for overseeing security-based swap data repositories. “I am pleased to welcome Peter to this important role,” said Robert Cook, Director of the SEC’s Division of Trading and Markets. “His significant expertise in both the securities and derivatives markets together with his senior management experience in the exchange industry makes him a tremendous asset for the clearing and settlement program.” Mr. Curley said, “I am honored to have been asked to take on these new responsibilities as Associate Director. I know from personal experience that everyone in the Office of Clearance and Settlement is enormously talented, dedicated, and committed. I am excited about continuing my work with this team and the rest of the Commission staff in this new role.” Mr. Curley has been an Attorney Fellow in the Division of Trading and Markets since August 2010. Prior to joining the Commission, Mr. Curley was a senior executive with Hong Kong Exchanges and Clearing Limited, where he served as Head of Corporate Strategy and Head of IPO Regulation. He also was a partner with the international law firm of Allen & Overy. Mr. Curley holds an MBA from the Massachusetts Institute of Technology, a JD from the University of Virginia School of Law, and a BA from Colgate University. (Press Rel. 2011-229) Commission MeetingsFollowing is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration. Open meetings will be held in the Auditorium, Room L-002 at the Commission's headquarters building, 100 F Street, N.E., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting. Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact SECInterpreter@SEC.gov at least three business days in advance. For any other reasonable accommodation related disability contact DisabilityProgramOfficer or call 202-551-4158. Open Meeting on Wednesday, November 2, 2011 at 9:00 a.m.The Commission will hold an open meeting to hear oral argument in an appeal by Wendy McNeeley, CPA, from an initial decision of an administrative law judge. The law judge found that McNeeley engaged in improper professional conduct as defined in the Commission's Rule of Practice 102(e) by engaging in highly unreasonable conduct that resulted in a violation of applicable professional standards in circumstances in which McNeeley knew, or should have known, that heightened scrutiny was warranted. The law judge determined that McNeeley should be denied the privilege of appearing or practicing as an accountant before the Commission for one year. Issues likely to be considered at oral argument include whether McNeeley engaged in improper professional conduct as defined in the Commission's Rule of Practice 102(e) and, if so, the extent to which, under the circumstances, sanctions are warranted. Closed Meeting on Thursday, November 3, 2011 at 2:00 p.m.The subject matter of the Closed Meeting scheduled for Thursday, November 3, 2011 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; other matters relating to enforcement proceedings; and a post argument discussion. Roundtable Discussion of the Financial Reporting Series on Tuesday, November 8, 2011 at 10:00 a.m.Securities and Exchange Commission staff will hold the inaugural roundtable discussion of the Financial Reporting Series on Tuesday, November 8, 2011, in the Multipurpose Room, L-006. The meeting will begin at 10:00 a.m. and will be open to the public. Seating will be on a first-come, first-served basis. Doors will open at 9:30 a.m. Visitors will be subject to security checks. The roundtable will be webcast on the Commission’s website at www.sec.gov and will be archived for later viewing. On October 20, 2011, the Commission published notice of the roundtable discussion (Release No. 34-65602), indicating that the event is open to the public and inviting the public to submit written comments to the Commission staff. This Sunshine Act notice is being issued because a majority of the Commission may attend the roundtable discussion. The agenda for the roundtable includes opening remarks followed by panel discussions focusing on the recognition and communication of uncertainty in financial statements. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGSCommission Revokes Registration of Securities of Boston Communications Group, Inc. (n/k/a Xius Holding Corp.) For Failure to Make Required Periodic FilingsOn October 27, 2011, the Commission revoked the registration of each class of registered securities of Boston Communications Group, Inc. (n/k/a Xius Holding Corp.) (Boston Communications) 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, Boston Communications 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 Boston Communications Group, Inc. (n/k/a Xius Holding Corp.) 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 Boston Communications’ securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Boston Communications in In the Matter of Aampro Group, Inc. (n/k/a First Capital Trust, Inc.), et al., Administrative Proceeding File No. 3-14579. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For more 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 Aampro Group, Inc. (n/k/a First Capital Trust, Inc.), et al., Administrative Proceeding File No. 3-14579, Exchange Act Release No. 65506, October 6, 2011. (Rel. 34-65638; File No. 3-14579) Commission Orders Hearings on Registration Suspension or Revocation Against Eight Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of eight companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the eight 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 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 thereunder, are true. The 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. 34-65640; File No. 3-14604) SEC Orders FINRA to Improve Internal Compliance Policies and ProceduresThe Securities and Exchange Commission today ordered the Financial Industry Regulatory Authority (FINRA) to hire an independent consultant and undertake other remedial measures to improve its policies, procedures, and training for producing documents during SEC inspections. According to the SEC’s order instituting settled administrative proceedings, certain documents requested by the SEC’s Chicago Regional Office during an inspection were altered just hours before FINRA’s Kansas City District Office provided them. The SEC’s order finds that on Aug. 7, 2008, the Director of FINRA’s Kansas City District Office caused the alteration of three records of staff meeting minutes just hours before producing them to the SEC inspection staff, making the documents inaccurate and incomplete. According to the SEC’s order, the production of the altered documents by the Kansas City District Office was the third instance during an eight-year period in which an employee of FINRA or its predecessor (National Association of Securities Dealers) provided altered or misleading documents to the SEC. FINRA has consented to engage an independent consultant within 30 days that will:
Without admitting or denying the findings, FINRA consented to the SEC’s order requiring it to cease and desist from committing or causing future violations of Section 17(a) of the Securities Exchange Act of 1934 and Exchange Act Rule 17a-1, and to comply with the undertakings described above. In determining to accept FINRA’s settlement offer, the Commission considered remedial acts promptly undertaken by FINRA and cooperation afforded the SEC staff. (Rel. 34-65643; File No. 3-14605). INVESTMENT COMPANY ACT RELEASESDestra Capital Investments LLC and Destra Unit Investment TrustAn order has been issued on an application filed by Destra Capital Investments LLC and Destra Unit Investment Trust under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A), (B) and (C) of the Act and under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act. The order permits certain registered unit investment trusts to acquire shares of registered management investment companies and unit investment trusts both within and outside the same group of investment companies, and permit any registered investment companies that are open-end companies, their principal underwriters and any broker or dealer registered under the Securities Exchange Act of 1934 to sell such shares to the unit investment trusts. (Rel. IC-29842 - October 25) Principal Funds, Inc., et al.An order has been issued on an application filed by Principal Funds, Inc., et al. under (a) Section 6(c) of the Investment Company Act of 1940 (Act) granting an exemption from Sections 18(f) and 21(b) of the Act; (b) Section 12(d)(1)(J) of the Act granting an exemption from Section 12(d)(1) of the Act; (c) Sections 6(c) and 17(b) of the Act granting an exemption from Sections 17(a)(1), 17(a)(2) and 17(a)(3) of the Act; and (d) Section 17(d) of the Act and Rule 17d-1 under the Act to permit certain joint arrangements. The order permits certain registered open-end management investment companies to participate in a joint lending and borrowing facility. (Rel. IC-29843 - October 25) Orders of Deregistration Under the Investment Company ActOrders have been issued under Section 8(f) of the Investment Company Act of 1940 declaring that each of the following has ceased to be an investment company:
MFS Series Trust I, et al.An order has been issued on an application filed by MFS Series Trust I, et al. under (a) Section 6(c) of the Investment Company Act of 1940 (Act) granting an exemption from Sections 18(f) and 21(b) of the Act; (b) Section 12(d)(1)(J) of the Act granting an exemption from Section 12(d)(1) of the Act; (c) Sections 6(c) and 17(b) of the Act granting an exemption from Sections 17(a)(1), 17(a)(2) and 17(a)(3) of the Act; and (d) Section 17(d) of the Act and rule 17d-1 under the Act to permit certain joint arrangements. The order permits certain registered open-end management investment companies to participate in a joint lending and borrowing facility. (Rel. IC-29849 - October 26) Incapital LLC, et al.An order has been issued on an application filed by Incapital LLC, et al. for an exemption under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) from Sections 12(d)(1)(A), (B) and (C) of the Act, and under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act. The order permits certain series of a registered unit investment trust to acquire shares of registered management investment companies and unit investment trusts that are within or outside the same group of investment companies. (Rel. IC-29850 - October 26) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangesThe Options Clearing Corporation (OCC) filed a proposed rule change (SR-OCC-2011-15) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to management of liquidity risk. Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65622) NYSE Arca, Inc. filed a proposed rule change (SR-NYSEARCA-2011-75) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, expanding the scope of potential “Users” of its co-location services to include any market participant that requests to receive co-location services directly from the Exchange and amending its Fee Schedule to establish a fee for Users that host their customers at the Exchange’s data center. Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65624) NYSE Arca, Inc. filed a proposed rule change (SR-NYSEARCA-2011-74) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, expanding the scope of potential “Users” of its co-location services to include any market participant that requests to receive co-location services directly from the Exchange and amending its Fee Schedule to establish a fee for Users that host their customers at the Exchange’s data center. Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65625) NYSE Amex LLC filed a proposed rule change (SR-NYSEAMEX-2011-82) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, expanding the scope of potential “Users” of its co-location services to include any market participant that requests to receive co-location services directly from the Exchange and amending its Price List to establish a fee for Users that host their customers at the Exchange’s data center. Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65626) NYSE Amex LLC filed a proposed rule change (SR-NYSEAMEX-2011-81) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, expanding the scope of potential “Users” of its co-location services to include any market participant that requests to receive co-location services directly from the Exchange and amending its Price List to establish a fee for Users that host their customers at the Exchange’s data center. Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65627) New York Stock Exchange LLC filed a proposed rule change (SR-NYSE-2011-53) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, expanding the scope of potential “Users” of its co-location services to include any market participant that requests to receive co-location services directly from the Exchange and amending its Price List to establish a fee for Users that host their customers at the Exchange’s data center. Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65629) The Fixed Income Clearing Corporation filed a proposed rule change (File No. SR-FICC-2011-08) under Section 19(b)(1) of the Securities Exchange Act of 1934 to expand the applicability of the fails charge to Agency debt securities transactions. Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65632) Immediate Effectiveness of Proposed Rule ChangesThe National Securities Clearing Corporation (“NSCC”) filed a proposed rule change (File No. SR-NSCC-2011-09) under Section 19(b)(1) of the Securities Exchange Act of 1934 to revise NSCC’s fee schedule as it applies to certain hedge fund products within NSCC’s Alternative Investment Products Service. Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65623) A proposed rule change filed by the C2 Options Exchange, Incorporated to close trading at 3:00 p.m. Chicago time on the last day of trading of expiring P.M.-settled S&P 500 Options (SR-C2-2011-030) 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 31. (Rel. 34-65630) A proposed rule change filed by Chicago Mercantile Exchange, Inc. (CME) to establish a fee waiver program applicable to its OTC credit default swap index clearing offering (SR-CME-2011-11) 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 31. (Rel. 34-65634) Approval of Proposed Rule ChangeThe Commission approved a proposed rule change submitted by the Chicago Stock Exchange, Inc. (SR-CHX-2011-29) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to change the status of Exchange-registered Institutional Broker firms. Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65633) Accelerated Approval of Proposed Rule ChangesA proposed rule change filed by Chicago Mercantile Exchange, Inc. (CME) to make certain rule changes that affect the minimum guaranty fund requirements for Interest Rate Swap (“IRS”) Clearing Members at CME (File No. SR-CME-2011-15) 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 31. (Rel. 34-65635) A proposed rule change filed by Chicago Mercantile Exchange, Inc. (CME) to amend the performance bond regime applicable to certain cleared only OTC FX Swaps (File No. SR-CME-2011-14) 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 31. (Rel. 34-65636) A proposed rule change filed by Chicago Mercantile Exchange, Inc. (CME) to amend current CME rules to expand its cleared-only, foreign currency (“FX”) swaps offering to support the introduction of (1) twenty-six new foreign FX currency derivatives for over-the counter (“OTC”) cash settlement; and (2) eleven new FX non-deliverable forward transaction currency pairs for traditional, OTC cash settlement (File No. SR-CME-2011-12) 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 31. (Rel. 34-65637) 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-1 Oro East Mining, Inc., 1127 WEBSTER STREET, SUITE 28, OAKLAND, CA, 94607, (510) 544-1516 - 6,866,440 ($2,360.68) Equity, (File 333-177509 - Oct. 26) (BR. 07) S-8 NICE SYSTEMS LTD, 8 HAPNINA STREET, P.O.B. 690, RA'ANANA, L3, 43107, 972-9-775-3777 - 165,695 ($75,170.00) Equity, (File 333-177510 - Oct. 26) (BR. 03A) S-8 UNITED TECHNOLOGIES CORP /DE/, UNITED TECHNOLOGIES BLDG, ONE FINANCIAL PLZ, HARTFORD, CT, 06101, 8607287000 - 0 ($736,100,000.00) Equity, (File 333-177517 - Oct. 26) (BR. 05C) S-1 STEP OUT INC., 1976 GLACIER MEADOW DR, RENO, NV, 89521, 775-200-5814 - 2,000,000 ($20,000.00) Equity, (File 333-177518 - Oct. 26) (BR. ) S-3 Encore Bancshares Inc, NINE GREENWAY PLAZA SUITE 1000, HOUSTON, TX, 77046, 713.787.3118 - 32,914 ($32,914,000.00) Other, (File 333-177519 - Oct. 26) (BR. 07A) S-8 UNITED TECHNOLOGIES CORP /DE/, UNITED TECHNOLOGIES BLDG, ONE FINANCIAL PLZ, HARTFORD, CT, 06101, 8607287000 - 0 ($1,472,200,000.00) Equity, (File 333-177520 - Oct. 26) (BR. 05C) S-8 SinoCubate, Inc, 65 BROADWAY, SUITE 501, NEW YORK, NY, 10006, 212-359-4301 - 5,000,000 ($1,500,000.00) Equity, (File 333-177522 - Oct. 26) (BR. 05C) S-8 CYTEC INDUSTRIES INC/DE/, FIVE GARRET MOUNTAIN PLAZA, WEST PATERSON, NJ, 07424, 9733573100 - 0 ($55,365,000.00) Equity, (File 333-177523 - Oct. 26) (BR. 06A) N-2 Arden Sage Multi-Strategy TEI Institutional Fund, L.L.C., 909 3RD AVENUE, 28TH FLOOR, NEW YORK, NY, 10022, (212) 908-9660 - 1 ($100,000,000.00) Limited Partnership Interests, (File 333-177524 - Oct. 26) (BR. 18) S-1 American Business Services, Inc., 4980 SILVER PINE DRIVE, CASTLE ROCK, CO, 80108, 303-730-7939 - 4,480,000 ($224,000.00) Equity, (File 333-177525 - Oct. 26) (BR. ) S-1 Green Ballast, Inc., 2620 THOUSAND OAKS, SUITE 4000, MEMPHIS, TN, 38118, 901-260-4400 - 24,234,400 ($7,058,600.00) Equity, (File 333-177526 - Oct. 26) (BR. ) S-8 GRANITE CITY FOOD & BREWERY LTD, 5402 PARKDALE, SUITE 101, MINNEAPOLIS, MN, 55416, 952-215-0660 - 0 ($910,000.00) Equity, (File 333-177527 - Oct. 26) (BR. 05B) S-4 Azur Pharma Public Ltd Co, 45 FITZWILLIAM SQUARE, DUBLIN, L2, 2, 353 1 634 4183 - 0 ($2,032,857,176.56) Equity, (File 333-177528 - Oct. 26) (BR. ) S-3ASR BRADY CORP, 6555 W GOOD HOPE RD, P O BOX 571, MILWAUKEE, WI, 53201-0571, 4143586600 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-177529 - Oct. 26) (BR. 06A) 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 3D SYSTEMS CORP DE 8.01,9.01 10/26/11 3Power Energy Group Inc. NV 5.02 10/19/11 ABBOTT LABORATORIES IL 8.01,9.01 10/19/11 Acadia Healthcare Company, Inc. DE 2.02,8.01,9.01 10/25/11 ACCESS NATIONAL CORP VA 2.02,7.01,9.01 10/19/11 ACCO BRANDS CORP DE 2.02,9.01 10/26/11 ACCURIDE CORP DE 2.02,7.01,9.01 10/25/11 ACTIVE POWER INC DE 2.02,9.01 10/26/11 ACXIOM CORP DE 2.02,9.01 10/26/11 ADA-ES INC CO 9.01 10/24/11 AMEND Advance America, Cash Advance Centers DE 2.02,8.01,9.01 10/26/11 Advance America, Cash Advance Centers DE 5.07 05/17/11 AMEND ADVENTRX PHARMACEUTICALS INC DE 8.01,9.01 10/26/11 AFFIRMATIVE INSURANCE HOLDINGS INC DE 3.01 10/20/11 AFLAC INC GA 2.02,9.01 10/26/11 Aircastle LTD D0 7.01,9.01 10/25/11 AKAMAI TECHNOLOGIES INC DE 2.02,5.02,9.01 10/24/11 Alamo Energy Corp. NV 7.01,9.01 10/26/11 ALERE INC. DE 2.02,9.01 10/26/11 Aleris International, Inc. DE 7.01,9.01 10/26/11 ALEXANDRIA REAL ESTATE EQUITIES INC MD 2.02,5.02,9.01 10/25/11 ALLEGHENY TECHNOLOGIES INC DE 2.02,9.01 10/26/11 Allegiant Travel CO NV 2.02,9.01 10/26/11 ALLERGAN INC DE 2.02,9.01 10/26/11 Allied Nevada Gold Corp. DE 7.01,9.01 10/25/11 AMBASSADORS GROUP INC DE 2.02,9.01 09/30/11 AMERICAN CAMPUS COMMUNITIES INC MD 2.02,7.01,9.01 10/25/11 American Capital Agency Corp 2.02,9.01 10/25/11 AMERICAN ELECTRIC POWER CO INC NY 2.02,9.01 10/26/11 AMERICAN ELECTRIC POWER CO INC NY 5.02 10/25/11 AMERICAN FINANCIAL GROUP INC OH 2.02,9.01 10/25/11 AMERICAN REALTY INVESTORS INC NV 5.02 10/25/11 AMERIPRISE FINANCIAL INC DE 2.02,9.01 10/26/11 AMERITYRE CORP NV 2.02,5.02,8.01 10/26/11 ANADIGICS INC DE 2.02,9.01 10/26/11 Ancestry.com Inc. DE 2.02,8.01,9.01 10/26/11 Apollo Global Management LLC DE 2.01,9.01 10/24/11 APPLIED MICRO CIRCUITS CORP DE 5.02,9.01 10/19/11 APTARGROUP INC DE 2.02,9.01 10/26/11 ARCH CAPITAL GROUP LTD. 2.02,9.01 10/25/11 ARDENT MINES LTD 2.01,9.01 10/24/11 ARKANSAS BEST CORP /DE/ DE 8.01,9.01 10/26/11 ARRIS GROUP INC DE 2.02,9.01 10/26/11 ARROW ELECTRONICS INC NY 2.02,9.01 10/26/11 ARROWHEAD RESEARCH CORP DE 1.01,3.02,3.03,5.03, 10/20/11 9.01 ASBURY AUTOMOTIVE GROUP INC DE 2.02,7.01,9.01 10/26/11 ASSOCIATED BANC-CORP WI 8.01,9.01 10/26/11 ASSURANCE GROUP INC. FL 4.01,9.01 10/25/11 AMEND ASSURANT INC 2.02,9.01 10/26/11 AUTOMATIC DATA PROCESSING INC DE 2.02,9.01 10/26/11 Avery Dennison Corp DE 2.02,9.01 10/26/11 AVIS BUDGET GROUP, INC. DE 1.01,2.03,7.01,9.01 10/20/11 AVX Corp DE 2.02,9.01 10/26/11 AVX Corp DE 5.07 07/21/11 AMEND Axius Inc. NV 3.02,9.01 10/12/11 AXT INC DE 2.02,9.01 10/26/11 AZTEC OIL & GAS, INC. NV 9.01 05/31/11 Bank of Commerce Holdings CA 8.01 10/26/11 BAR HARBOR BANKSHARES ME 2.02 10/26/11 BARRETT BUSINESS SERVICES INC MD 2.02,9.01 10/25/11 BCM Energy Partners Inc. DE 1.01,5.03 09/21/11 BE AEROSPACE INC DE 2.02,9.01 10/26/11 BEACON ENTERPRISE SOLUTIONS GROUP INC NV 1.02,7.01,9.01 10/26/11 BEMIS CO INC MO 2.02,9.01 10/26/11 BERKSHIRE HILLS BANCORP INC 1.01,2.02,8.01,9.01 10/25/11 BIG 5 SPORTING GOODS CORP DE 5.02,7.01,9.01 10/25/11 BMC SOFTWARE INC DE 2.02,9.01 10/26/11 BOEING CAPITAL CORP DE 2.02,9.01 10/26/11 BOEING CO DE 2.02,9.01 10/26/11 BOK FINANCIAL CORP ET AL OK 2.02,9.01 10/26/11 BRINKER INTERNATIONAL INC DE 2.02,9.01 10/26/11 BROADVISION INC DE 2.02,9.01 10/26/11 BUCKEYE TECHNOLOGIES INC DE 2.02,7.01,9.01 10/25/11 BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 10/26/11 CA, INC. DE 2.02,9.01 10/26/11 CABOT CORP DE 2.02,9.01 10/25/11 CADENCE DESIGN SYSTEMS INC DE 2.02,9.01 10/26/11 CADENCE DESIGN SYSTEMS INC DE 5.02 10/21/11 CADUCEUS SOFTWARE SYSTEMS CORP. NV 4.01,9.01 10/25/11 CALIFORNIA WATER SERVICE GROUP DE 5.03,9.01 10/26/11 CALIFORNIA WATER SERVICE GROUP DE 8.01,9.01 10/26/11 CALIFORNIA WATER SERVICE GROUP DE 2.02,9.01 10/26/11 CALIPER LIFE SCIENCES INC DE 8.01 10/25/11 CAMDEN NATIONAL CORP ME 2.02,9.01 10/25/11 CANYON COPPER CORP. 1.01,9.01 10/20/11 CAPITOL BANCORP LTD MI 7.01,9.01 10/26/11 CASINO PLAYERS, INC. NV 1.01 10/24/11 CENTRAL ENERGY PARTNERS LP DE 4.01,9.01 10/12/11 AMEND CENTRAL EUROPEAN MEDIA ENTERPRISES LT 2.02,9.01 10/26/11 CENTRAL VERMONT PUBLIC SERVICE CORP VT 1.01,1.02,2.03,9.01 10/25/11 CFS BANCORP INC IN 2.02,9.01 09/30/11 CHEMUNG FINANCIAL CORP NY 5.02 10/26/11 CHENIERE ENERGY INC DE 1.01,8.01,9.01 10/25/11 Cheniere Energy Partners, L.P. DE 1.01,8.01,9.01 10/25/11 CHINA AMERICA HOLDINGS, INC. FL 1.01,2.01,2.03,2.04, 06/30/11 AMEND 3.02,5.01,5.02,5.03, 5.06 China Bilingual Technology & Educatio NV 5.03 10/19/11 China Industrial Steel Inc. MD 1.01,2.03,9.01 06/28/11 Chrysler Group LLC DE 8.01,9.01 10/26/11 CHURCH & DWIGHT CO INC /DE/ DE 5.02 10/26/11 CHURCHILL DOWNS INC KY 2.02,9.01 10/26/11 CNO Financial Group, Inc. DE 2.02,9.01 10/26/11 COLDWATER CREEK INC DE 5.02 10/21/11 COMMUNITY BANK SYSTEM INC DE 2.02,9.01 10/25/11 Community Bankers Trust Corp DE 5.05,9.01 10/20/11 COMMUNITY HEALTH SYSTEMS INC DE 2.02,7.01,9.01 10/26/11 COMPASS MINERALS INTERNATIONAL INC DE 2.02,9.01 10/26/11 Complete Production Services, Inc. DE 2.02,8.01,9.01 10/26/11 CONOCOPHILLIPS DE 2.02,9.01 10/26/11 CONSUMERS BANCORP INC /OH/ OH 2.02,9.01 10/26/11 CORNING INC /NY NY 2.02,9.01 09/30/11 CORTEX PHARMACEUTICALS INC/DE/ DE 1.01,3.02,9.01 10/20/11 COSTCO WHOLESALE CORP /NEW WA 8.01,9.01 10/25/11 CROWN CASTLE INTERNATIONAL CORP DE 2.02,9.01 10/25/11 CSB BANCORP INC /OH OH 2.02,9.01 10/26/11 CTS CORP IN 2.02,9.01 10/26/11 CubeSmart MD 1.01,7.01,9.01 10/25/11 CULLEN FROST BANKERS INC TX 2.02,9.01 10/26/11 DATA I/O CORP WA 2.02,5.02,8.01,9.01 10/19/11 DELPHI FINANCIAL GROUP INC/DE DE 2.02,9.01 10/25/11 DELTEK, INC DE 2.02,9.01 10/26/11 DELTIC TIMBER CORP DE 2.02,9.01 10/26/11 DOCUMENT SECURITY SYSTEMS INC NY 8.01 10/24/11 DOUBLE EAGLE PETROLEUM CO MD 1.01,2.03,9.01 10/24/11 DOVER DOWNS GAMING & ENTERTAINMENT IN DE 7.01,9.01 10/26/11 Dr Pepper Snapple Group, Inc. DE 2.02,9.01 10/26/11 DTE ENERGY CO MI 1.01,1.02,2.03,9.01 10/21/11 DTE ENERGY CO MI 1.01,1.02,2.03,9.01 10/21/11 DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 10/25/11 EAGLE ROCK ENERGY PARTNERS L P DE 7.01,8.01,9.01 10/26/11 EARTHLINK INC DE 5.02,9.01 10/24/11 EASTERN CO CT 2.02,7.01,9.01 10/26/11 EDAC TECHNOLOGIES CORP WI 2.02,9.01 10/26/11 EDUCATION MANAGEMENT CORPORATION 2.02,9.01 10/26/11 ELECTRO SCIENTIFIC INDUSTRIES INC OR 2.02,9.01 10/26/11 Embassy Bancorp, Inc. PA 1.01,9.01 10/21/11 ENCORE CAPITAL GROUP INC DE 2.02,9.01 10/26/11 ENCORE WIRE CORP DE 2.02,7.01,9.01 10/26/11 ENERGY XXI (BERMUDA) LTD D0 2.02,9.01 10/26/11 ENTEGRIS INC DE 2.02,9.01 10/26/11 EQT Corp PA 5.02 10/20/11 EQUIFAX INC GA 2.02,9.01 10/26/11 EQUINIX INC DE 2.02,9.01 10/26/11 EURONET WORLDWIDE INC DE 2.02,9.01 10/25/11 EVEREST RE GROUP LTD D0 2.02,9.01 10/26/11 EXELON CORP PA 2.02,7.01,9.01 10/26/11 FAMOUS DAVES OF AMERICA INC MN 2.02,9.01 10/26/11 FEDERAL HOME LOAN MORTGAGE CORP 2.02,9.01 10/26/11 FEDERAL HOME LOAN MORTGAGE CORP 5.02,9.01 10/26/11 FERRO CORP OH 2.02,9.01 10/26/11 FIDELITY D & D BANCORP INC PA 2.02,9.01 10/25/11 FIELDPOINT PETROLEUM CORP CO 5.07 10/21/11 FINANCIAL INSTITUTIONS INC NY 2.02,9.01 10/26/11 FIRST BANCORP /NC/ NC 1.01,7.01,9.01 10/21/11 FIRST FINANCIAL BANCORP /OH/ OH 2.02,9.01 10/26/11 FIRST FINANCIAL HOLDINGS INC /DE/ DE 1.01,9.01 10/25/11 FIRST MIDWEST BANCORP INC DE 7.01,9.01 10/26/11 FIRST MIDWEST BANCORP INC DE 2.02,7.01,9.01 10/26/11 FIRST SOLAR, INC. DE 2.02,9.01 10/26/11 Flagstone Reinsurance Holdings, S.A. N4 8.01,9.01 10/25/11 FLOTEK INDUSTRIES INC/CN/ DE 2.02,9.01 10/26/11 FMC TECHNOLOGIES INC DE 2.02,9.01 10/25/11 FNB BANCORP/CA/ 2.02,9.01 10/26/11 Ford Credit Auto Lease Trust 2011-B DE 1.01,8.01,9.01 10/25/11 FORD MOTOR CO DE 2.02,9.01 10/26/11 FORD MOTOR CREDIT CO LLC DE 2.02,9.01 10/26/11 FOSTER L B CO PA 7.01 10/26/11 Franklin Financial Corp VA 2.02,9.01 10/26/11 FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 2.02,9.01 10/26/11 FUSION-IO, INC. DE 9.01 08/11/11 AMEND Game Trading Technologies, Inc. DE 5.02 10/20/11 GANNETT CO INC /DE/ DE 5.02,9.01 10/24/11 GENERAL DYNAMICS CORP DE 2.02,9.01 10/26/11 Georgia-Carolina Bancshares, Inc GA 2.02,9.01 10/26/11 Gevo, Inc. DE 1.01,2.03,9.01 10/20/11 Global Geophysical Services Inc DE 8.01,9.01 10/25/11 Global Pharm Holdings Group, Inc. DE 1.01,2.03,3.02,9.01 10/20/11 GLOBALSCAPE INC DE 8.01 10/26/11 GOLDMAN SACHS GROUP INC DE 9.01 10/26/11 Greektown Superholdings, Inc. DE 8.01,9.01 10/26/11 Green Plains Renewable Energy, Inc. IA 2.02,9.01 10/26/11 GREENE COUNTY BANCORP INC DE 2.02,9.01 10/25/11 GRIFFIN LAND & NURSERIES INC DE 8.01,9.01 10/26/11 Guinness Exploration, Inc NV 5.02 10/25/11 HARMAN INTERNATIONAL INDUSTRIES INC / DE 7.01,9.01 10/26/11 HARRIS CORP /DE/ DE 2.02,7.01,9.01 10/26/11 HAWKINS INC MN 2.02,9.01 10/26/11 HCC INSURANCE HOLDINGS INC/DE/ DE 7.01,9.01 10/26/11 HEARTLAND EXPRESS INC NV 2.02,9.01 10/25/11 HEARTLAND, INC. KY 1.01,3.02,9.01 10/20/11 HERCULES OFFSHORE, INC. DE 7.01,9.01 10/26/11 HESS CORP DE 2.02,7.01,9.01 10/26/11 HOLLY ENERGY PARTNERS LP DE 7.01,9.01 10/26/11 Home Federal Bancorp, Inc. of Louisia LA 2.02,9.01 10/26/11 HORACE MANN EDUCATORS CORP /DE/ DE 2.02,9.01 10/26/11 HOSPIRA INC DE 2.02,9.01 10/26/11 HUDSON CITY BANCORP INC DE 2.02,9.01 10/26/11 HUDSON VALLEY HOLDING CORP NY 9.01 10/26/11 ILLUMINA INC DE 2.05 10/25/11 INCOME OPPORTUNITY REALTY INVESTORS I NV 5.02 10/25/11 INFOSPACE INC DE 5.02 10/21/11 INNODATA ISOGEN INC DE 2.02,9.01 10/26/11 INOVIO PHARMACEUTICALS, INC. 1.01,9.01 10/07/11 AMEND INPHI Corp DE 2.02,9.01 10/26/11 INTEGRATED SILICON SOLUTION INC DE 2.02,9.01 10/26/11 INTERNATIONAL BUSINESS MACHINES CORP NY 5.02,9.01 10/25/11 INTERSIL CORP/DE DE 2.02,7.01,9.01 10/26/11 INVENTURE FOODS, INC. DE 2.02,9.01 10/26/11 ISRAMCO INC DE 8.01,9.01 10/24/11 ITRON INC /WA/ WA 2.02,9.01 10/26/11 ITRON INC /WA/ WA 2.05,2.06,8.01,9.01 10/24/11 J2 GLOBAL COMMUNICATIONS INC DE 8.01,9.01 10/24/11 JABIL CIRCUIT INC DE 5.02 10/20/11 JARDEN CORP DE 2.02,9.01 10/26/11 JETBLUE AIRWAYS CORP DE 2.02,9.01 10/26/11 JETBLUE AIRWAYS CORP DE 7.01,9.01 10/26/11 JMP Group Inc. DE 2.02,9.01 10/26/11 JONES GROUP INC PA 2.02,7.01,9.01 10/26/11 JPMORGAN CHASE & CO DE 8.01,9.01 10/26/11 Kat Gold Holdings Corp. NV 5.02 10/20/11 KBR, INC. DE 2.02,9.01 10/26/11 KENSEY NASH CORP DE 5.02,9.01 10/21/11 KNIGHT TRANSPORTATION INC AZ 2.02,9.01 10/26/11 KNOLOGY INC DE 2.02,4.02 10/25/11 KONA GRILL INC DE 1.01,3.01,5.02,9.01 10/20/11 KVH INDUSTRIES INC \DE\ DE 2.02,9.01 10/26/11 LA JOLLA PHARMACEUTICAL CO DE 8.01 10/25/11 LECROY CORP DE 2.02,9.01 10/26/11 Legend Oil & Gas, Ltd. CO 2.01,3.02,5.02,7.01, 10/20/11 9.01 LEXARIA CORP. NV 7.01 10/26/11 Liberty Global, Inc. DE 2.02,7.01 10/26/11 Liberty Global, Inc. DE 2.03,9.01 10/25/11 Liberty Interactive Corp 5.02,9.01 10/25/11 Liberty Media Corp DE 5.02,9.01 10/25/11 Life Technologies Corp DE 5.02,9.01 10/24/11 Lightwave Logic, Inc. NV 5.02,7.01,9.01 10/26/11 LIN TV CORP. DE 1.01,1.02,2.03,8.01 10/26/11 LITHIA MOTORS INC OR 2.02,7.01,9.01 10/26/11 LOCKHEED MARTIN CORP MD 2.02,9.01 10/26/11 LogMeIn, Inc. DE 2.02,9.01 10/26/11 Lone Star Gold, Inc. NV 3.02 10/24/11 LoopNet, Inc. DE 2.02,9.01 10/26/11 LPATH, INC NV 8.01 10/26/11 LPL Investment Holdings Inc. DE 2.02,9.01 10/26/11 LSI CORP DE 2.02,9.01 10/26/11 lululemon athletica inc. DE 5.07 06/08/11 AMEND MAGNACHIP SEMICONDUCTOR Corp DE 2.02,9.01 10/26/11 Magnolia Solar Corp NV 8.01,9.01 10/26/11 Main Street Capital CORP MD 8.01,9.01 10/26/11 MANITOWOC CO INC WI 2.02,9.01 10/25/11 MARINE PRODUCTS CORP DE 2.02,9.01 10/26/11 MARKETAXESS HOLDINGS INC 2.02,8.01,9.01 10/26/11 MARRIOTT INTERNATIONAL INC /MD/ DE 8.01,9.01 10/25/11 MARSHALL EDWARDS INC DE 1.01,5.02 10/20/11 MASIMO CORP DE 5.03,9.01 10/20/11 MCDERMOTT INTERNATIONAL INC R1 2.02,9.01 10/26/11 MEADWESTVACO Corp DE 2.02,9.01 10/26/11 MEDCO HEALTH SOLUTIONS INC DE 2.02,9.01 10/26/11 MEDICINES CO /DE DE 2.02,9.01 10/26/11 MEDNAX, INC. FL 5.02 10/21/11 Mellanox Technologies, Ltd. L3 2.02,9.01 10/26/11 MEREDITH CORP IA 2.02,9.01 10/26/11 MEREDITH CORP IA 2.02,9.01 10/26/11 Merriman Holdings, Inc DE 3.01,9.01 10/26/11 MERU NETWORKS INC DE 2.02,9.01 10/26/11 MGP INGREDIENTS INC KS 5.07 10/20/11 MICROSEMI CORP DE 7.01,9.01 10/26/11 MID PENN BANCORP INC PA 2.02,8.01,9.01 10/26/11 MIDDLESEX WATER CO NJ 8.01,9.01 10/26/11 MIDSOUTH BANCORP INC LA 2.02,8.01,9.01 09/30/11 MISSISSIPPI POWER CO MS 1.01,2.01,2.03,2.04, 10/20/11 9.01 MONTPELIER RE HOLDINGS LTD 2.02,9.01 10/26/11 MSC INDUSTRIAL DIRECT CO INC NY 2.02,9.01 10/26/11 MYLAN INC. PA 2.02,9.01 10/26/11 MYMETICS CORP DE 5.02 10/21/11 NABORS INDUSTRIES LTD D0 2.02,9.01 10/25/11 NANOPHASE TECHNOLOGIES CORPORATION IL 2.02,9.01 10/26/11 NASDAQ OMX GROUP, INC. DE 2.02,7.01,9.01 10/26/11 NATIONAL HEALTHCARE CORP DE 1.01,9.01 10/25/11 NATIONAL INSTRUMENTS CORP /DE/ DE 2.02,9.01 10/26/11 NAVISTAR INTERNATIONAL CORP DE 1.01,9.01 10/18/11 AMEND NELNET INC NE 8.01 10/25/11 NETLOGIC MICROSYSTEMS INC DE 2.02 09/30/11 NEW FRONTIER MEDIA INC CO 1.01 10/20/11 NewMarket Technology Inc NV 7.01,9.01 10/20/11 NEWPORT CORP NV 2.02,9.01 10/26/11 NEWS CORP 8.01,9.01 10/26/11 NGL Energy Partners LP DE 3.03,5.03,9.01 10/20/11 NIC INC CO 5.02,7.01,9.01 10/24/11 NORFOLK SOUTHERN CORP VA 2.02,7.01,9.01 10/26/11 NORTHRIM BANCORP INC AK 2.02,9.01 10/25/11 NORTHROP GRUMMAN CORP /DE/ DE 2.02,9.01 10/26/11 NORTHWESTERN CORP DE 2.02,9.01 10/26/11 NOVELLUS SYSTEMS INC CA 2.02,9.01 10/26/11 OBA Financial Services, Inc. MD 2.02,9.01 10/26/11 OCEANEERING INTERNATIONAL INC DE 2.02,8.01,9.01 10/26/11 OICCO ACQUISITION I, INC. DE 1.01,9.01 10/14/11 OLD SECOND BANCORP INC DE 2.02,9.01 10/26/11 ONE Bio, Corp. 4.01,9.01 10/25/11 Oneida Financial Corp. MD 2.02,9.01 10/25/11 OPEN TEXT CORP A6 2.02,9.01 10/26/11 Orchids Paper Products CO /DE DE 2.02,8.01,9.01 10/26/11 Organic Spice Imports, Inc. DE 1.02,9.01 10/25/11 ORRSTOWN FINANCIAL SERVICES INC PA 2.02,9.01 10/26/11 Owens Corning DE 2.02,9.01 10/26/11 OWENS ILLINOIS INC /DE/ DE 2.02,5.02,9.01 10/26/11 Pacific Ethanol, Inc. DE 2.02,9.01 10/26/11 PARAMETRIC TECHNOLOGY CORP MA 2.02,7.01,9.01 10/26/11 PATRIOT GOLD CORP NV 9.01 10/25/11 PENN VIRGINIA RESOURCE PARTNERS L P DE 2.02,7.01,9.01 10/25/11 PENTAIR INC MN 2.02,9.01 10/26/11 PEOPLES BANCORP OF NORTH CAROLINA INC NC 2.02,9.01 10/26/11 PEOPLES FINANCIAL CORP /MS/ MS 2.02,9.01 10/26/11 PETMED EXPRESS INC FL 8.01,9.01 10/24/11 PHC INC /MA/ MA 2.02,8.01,9.01 10/25/11 PHC INC /MA/ MA 5.07 10/26/11 Philip Morris International Inc. VA 1.01,1.02,2.03,9.01 10/25/11 PINNACLE AIRLINES CORP DE 2.02 10/26/11 PLEXUS CORP WI 2.02 10/26/11 POPE RESOURCES LTD PARTNERSHIP DE 2.02,9.01 10/26/11 POPE RESOURCES LTD PARTNERSHIP DE 8.01,9.01 10/26/11 PRAXAIR INC DE 2.02,9.01 10/26/11 PREMIERWEST BANCORP OR 2.02,9.01 10/25/11 Princeton Security Technologies, Inc. NJ 2.02,9.01 10/26/11 Prologis, Inc. MD 2.02,9.01 10/26/11 Protalix BioTherapeutics, Inc. FL 7.01,9.01 10/26/11 PVF CAPITAL CORP OH 7.01,9.01 10/26/11 QNB CORP PA 2.02,9.01 10/26/11 QUESTAR CORP UT 2.02,9.01 09/30/11 RAILAMERICA INC /DE DE 2.02,9.01 10/25/11 RAMCO GERSHENSON PROPERTIES TRUST MD 2.02,7.01,9.01 10/25/11 RANGE RESOURCES CORP DE 2.02,9.01 10/25/11 Raptor Pharmaceutical Corp DE 8.01,9.01 10/25/11 Raystream Inc. NV 5.02 10/25/11 RED MOUNTAIN RESOURCES, INC. FL 1.01,2.03,9.01 10/25/11 RENTECH INC /CO/ CO 2.02 10/26/11 RF MONOLITHICS INC /DE/ DE 2.02,3.01,9.01 10/25/11 ROCKY BRANDS, INC. OH 2.02,9.01 10/26/11 ROLLINS INC DE 8.01,9.01 10/25/11 ROLLINS INC DE 2.02,9.01 10/26/11 ROWAN COMPANIES INC DE 7.01,9.01 10/26/11 RPC INC DE 8.01,9.01 10/26/11 RPC INC DE 2.02,9.01 10/26/11 RURBAN FINANCIAL CORP OH 2.02,9.01 10/26/11 Ruths Hospitality Group, Inc. DE 2.02,9.01 10/26/11 RYLAND GROUP INC MD 2.02,9.01 10/26/11 S1 CORP /DE/ DE 8.01,9.01 10/25/11 SAFEGUARD SCIENTIFICS INC PA 2.02,5.02,9.01 10/24/11 SAIA INC DE 2.02,9.01 10/26/11 SCANA CORP SC 2.02,7.01,9.01 10/26/11 SEACOAST BANKING CORP OF FLORIDA FL 2.02,7.01,9.01 10/20/11 SEALED AIR CORP/DE DE 2.02,9.01 10/26/11 SELECTIVE INSURANCE GROUP INC NJ 2.02,7.01,9.01 10/26/11 SENESCO TECHNOLOGIES INC DE 3.01,9.01 10/20/11 SENESCO TECHNOLOGIES INC DE 8.01,9.01 10/26/11 Sensata Technologies Holding N.V. P7 8.01 10/25/11 SERVICE CORPORATION INTERNATIONAL TX 2.02,9.01 10/26/11 SHUTTERFLY INC DE 2.02,9.01 10/26/11 SIGNET JEWELERS LTD 8.01 10/26/11 SILICON LABORATORIES INC DE 2.02,9.01 10/26/11 SKECHERS USA INC DE 2.02,9.01 10/26/11 SKY PETROLEUM, INC. NV 7.01,9.01 10/25/11 Smart Kids Group Inc. FL 1.01,3.02,9.01 10/25/11 SOLUTIA INC DE 2.02,9.01 10/26/11 Sonora Resources Corp. NV 4.01,9.01 10/24/11 SOURCEFIRE INC DE 5.02 10/25/11 AMEND SOUTHERN CO DE 2.02 10/26/11 SOUTHERN CO DE 8.01 10/20/11 SPARTAN MOTORS INC MI 2.02,8.01,9.01 10/26/11 SPECTRANETICS CORP DE 2.02,9.01 10/26/11 SPRINT NEXTEL CORP KS 2.02,9.01 10/26/11 SPRINT NEXTEL CORP KS 1.01,2.03,9.01 10/25/11 STAMPS.COM INC DE 1.01 10/19/11 AMEND STANDARD MOTOR PRODUCTS INC NY 8.01,9.01 10/25/11 Steadfast Income REIT, Inc. MD 5.02 10/23/11 STEINER LEISURE Ltd C5 2.02,9.01 09/30/11 STERICYCLE INC DE 2.02,9.01 10/26/11 Strategic Storage Trust, Inc. MD 7.01,9.01 10/26/11 SuccessFactors, Inc. DE 2.02,9.01 10/26/11 SUN BANCORP INC /NJ/ NJ 2.02,9.01 09/30/11 SUN RIVER ENERGY, INC CO 1.01,7.01,9.01 10/25/11 SUSQUEHANNA BANCSHARES INC PA 2.02,9.01 10/26/11 SYMANTEC CORP DE 2.02,9.01 10/26/11 Symetra Financial CORP DE 2.02,9.01 10/26/11 SYMMETRICOM INC DE 2.02,9.01 10/26/11 TAL International Group, Inc. DE 2.02,9.01 10/26/11 TD AMERITRADE HOLDING CORP DE 5.02 10/19/11 Technology Applications International FL 3.02,8.01 10/25/11 TEREX CORP DE 2.02,7.01,9.01 10/26/11 THERMO FISHER SCIENTIFIC INC. DE 2.02,9.01 10/26/11 Thwapr, Inc. NV 5.02,9.01 10/24/11 TITAN INTERNATIONAL INC IL 4.02 10/25/11 TORCHMARK CORP DE 2.02,9.01 10/26/11 TOWER BANCORP INC PA 2.02,8.01,9.01 10/25/11 TOWN SPORTS INTERNATIONAL HOLDINGS IN DE 2.02,9.01 10/26/11 TRANSATLANTIC HOLDINGS INC DE 2.02,9.01 10/26/11 TRANSCONTINENTAL REALTY INVESTORS INC NV 5.02 10/25/11 TRI COUNTY FINANCIAL CORP /MD/ MD 2.02,9.01 10/25/11 TRIDENT MICROSYSTEMS INC DE 1.01 10/20/11 TRINITY INDUSTRIES INC DE 2.02,7.01,9.01 10/25/11 TRIQUINT SEMICONDUCTOR INC DE 2.02,9.01 10/26/11 TriView Global Fund, LLC DE 8.01 09/26/11 TrueBlue, Inc. WA 2.02,9.01 10/26/11 TUPPERWARE BRANDS CORP DE 2.02,9.01 10/26/11 TWO RIVERS WATER Co CO 7.01 10/24/11 UDR, Inc. MD 1.01,2.03,8.01,9.01 10/25/11 ULTIMATE SOFTWARE GROUP INC DE 2.02,9.01 10/25/11 UMB FINANCIAL CORP MO 2.02,8.01,9.01 10/25/11 UMB FINANCIAL CORP MO 9.01 10/25/11 AMEND UNI CORE HOLDINGS CORP UT 8.01 10/25/11 UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 2.02,9.01 10/26/11 UNIVEST CORP OF PENNSYLVANIA PA 2.02,9.01 10/26/11 URANIUM ENERGY CORP NV 7.01,9.01 10/26/11 USA Mobility, Inc DE 2.02,8.01,9.01 10/26/11 VALASSIS COMMUNICATIONS INC DE 2.02,9.01 10/26/11 Valeant Pharmaceuticals International A6 1.01,2.03,9.01 10/20/11 VelaTel Global Communications, Inc. NV 1.01,9.01 10/21/11 AMEND VERAMARK TECHNOLOGIES INC DE 5.02 10/21/11 Verisk Analytics, Inc. DE 1.01,9.01 10/25/11 Vicor Technologies, Inc. DE 5.02 10/24/11 VISA INC. DE 2.02,9.01 10/26/11 VISCOUNT SYSTEMS INC NV 5.02 10/25/11 VISTAPRINT N.V. P7 1.01,9.01 10/21/11 Vitamin Shoppe, Inc. DE 2.02,8.01,9.01 10/25/11 WASHINGTON FEDERAL INC WA 5.02 10/24/11 WASHINGTON FEDERAL INC WA 5.02 10/24/11 AMEND WCA WASTE CORP DE 2.02,9.01 10/26/11 WELLPOINT, INC IN 2.02,9.01 10/26/11 WELLS FARGO & CO/MN DE 5.02,9.01 10/25/11 WESTAR ENERGY INC /KS KS 5.02,9.01 10/26/11 WESTFIELD FINANCIAL INC MA 2.02,9.01 10/26/11 WINTRUST FINANCIAL CORP IL 2.02,9.01 10/26/11 WNC HOUSING TAX CREDIT FUND IV L P SE CA 2.02,9.01 10/26/11 WYNDHAM WORLDWIDE CORP DE 2.02,9.01 10/26/11 XTREME GREEN PRODUCTS INC. NV 7.01,9.01 06/30/11
http://www.sec.gov/news/digest/2011/dig102711.htm
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