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Enforcement proceedingsSecurities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Six Public Companies For Failure to Make Required Periodic FilingsOn October 31, 2011, 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:
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 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. 34-65661; File No. 3-14608) In the Matter of Terry HarrisOn November 1, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing (Order) against Terry Harris, who formerly resided in Birmingham, Alabama. The Order alleges that Harris was the founder and president of Wealth Builders International, Inc. (Wealth Builders). The Order further alleges that from at least May 2002 through March 2003, Wealth Builders and Harris engaged in the business of providing options trading advice for compensation. During this period, Harris pooled clients’ money in a brokerage account for the purpose of investing in options. Harris recommended options investments to clients and executed the recommended options trades in the pooled brokerage account. Harris received compensation for the options trading advice from deposits that investors made with Wealth Builders or another entity that he controlled. Harris also misappropriated money from clients’ accounts. On February 4, 2011, the Circuit Court of the Tenth Judicial Circuit, Jefferson County, Alabama entered a judgment of criminal conviction against Harris after a jury found Harris guilty of six counts of fraud and two counts of securities registration violations, in State of Alabama v. Terry Harris, Case No. CC-2007-001624.00. Harris was sentenced to serve 25 years in prison and ordered to make restitution in the amount of $1,646,944. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations are true, to provide Harris an opportunity to respond to these allegations, and to determine what, if any, remedial sanction is appropriate in the public interest. An Administrative Law Judge will issue an initial decision no later than 210 days from the date of service of the Commission’s Order. (Rel. IA-3309; File No. 3-14610) Investment company act releasesGlobal X Funds, et al.An order has been issued on an application filed by Global X Funds, et al. The order permits: (a) series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Creation Units for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. The order supersedes a prior order. (Rel. IC-29852 - October 28) Notice of Applications for Deregistration under the Investment Company Act of 1940For the month of October 2011, a notice has been issued giving interested persons until November 25, 2011, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act of 1940 declaring that the applicant has ceased to be an investment company:
(Rel. IC-29853 - October 28) Self-regulatory organizationsProposed Rule ChangeFinancial Industry Regulatory Authority, Inc. filed a proposed rule change under Rule 19b-4 (SR-FINRA-2011-062) to repeal incorporated NYSE Rule 2A (Jurisdiction). Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65656) Immediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by the Chicago Board Options Exchange, Incorporated related to FLEX Options (SR-CBOE-2011-098) 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. 34-65659) Designation of Longer Period For Commission Action on Proposed Rule ChangesThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on proposed rule changes (SR-EDGA-2011-29 and SR-EDGX-2011-28) filed by EDGA Exchange, Inc. and EDGX Exchange, Inc. relating to amendments to EDGA and EDGX rules regarding the registration and obligations of Market Makers. Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65660) 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 WEB.COM GROUP, INC., 12808 GRAN BAY PARKWAY WEST, JACKSONVILLE, FL, 32258, 9046806600 - 955,900 ($8,058,237.00) Equity, (File 333-177610 - Oct. 31) (BR. 03B) S-1 Isola Group Ltd., 3100 WEST RAY ROAD, SUITE 301, CHANDLER, AZ, 85226, (480) 893-6527 - 0 ($100,000,000.00) Equity, (File 333-177611 - Oct. 31) (BR. 03B) S-8 Ku6 Media Co., Ltd, BUILDING 6, ZHENGTONGCHUANGYI CENTRE, NO. 18 XIBAHE XILI, CHAOYANG DISTRICT, BEIJING, F4, 100028, 86-10-5758-6818 - 698,381,300 ($34,524,261.00) Other, (File 333-177612 - Oct. 31) (BR. 11A) S-8 AVT, Inc., 342 BONNIE CIRCLE, SUITE 102, CORONA, CA, 92880, 951-737-1057 - 1,000,000 ($1,000.00) Equity, (File 333-177614 - Oct. 31) (BR. 06B) S-4 IASIS Healthcare LLC, 117 SEABOARD LANE, BUILDING E, FRANKLIN, TN, 37067, (615) 844-2747 - 0 ($850,000,000.00) Non-Convertible Debt, (File 333-177620 - Oct. 31) (BR. 01A) S-8 Yandex N.V., Laan Copes Van CattenBurch 52, The Hague, P7, 2585, +31-70-3454700 - 0 ($412,164,077.12) Equity, (File 333-177622 - Oct. 31) (BR. 03B) S-8 Lumos Networks Corp., ONE LUMOS PLAZA, P.O. BOX 1068, WAYNESBORO, VA, 22980, 540-946-3500 - 4,100,000 ($52,480,000.00) Equity, (File 333-177627 - Oct. 31) (BR. 11C) S-8 OXIGENE INC, 701 GATEWAY BLVD., SOUTH SAN FRANCISCO, CA, 94080, 650-635-7000 - 0 ($2,975,000.00) Equity, (File 333-177628 - Oct. 31) (BR. 01B) N-2 ABERDEEN GLOBAL INCOME FUND INC, 1735 MARKET STREET, 32ND FLOOR, PHILADELPHIA, PA, 19103, 215-405-5700 - 0 ($60,000,000.00) Equity, (File 333-177629 - Oct. 31) (BR. 17) F-9 METHANEX CORP, 1800 WATERFRONT CENTER, 200 BURRARD STREET, VANCOUVER BC CANADA, A1, 00000, 6046847500 - 500,000,000 ($500,000,000.00) Debt Convertible into Equity, (File 333-177632 - Oct. 31) (BR. 06C) F-9 CANADIAN NATIONAL RAILWAY CO, 935 DE LA GAUCHETIERE ST W, MONTREAL QUEBEC, CANADA, A8, H3B 2M9, 5143996569 - 0 ($2,522,000,000.00) Debt, (File 333-177633 - Oct. 31) (BR. 05A)
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 ABAXIS INC CA 5.07 10/26/11 AbitibiBowater Inc. DE 1.01,1.02,2.02,5.02, 10/25/11 7.01,9.01 ACI WORLDWIDE, INC. DE 8.01,9.01 10/31/11 ACNB CORP PA 2.02,9.01 10/31/11 ACURA PHARMACEUTICALS, INC NY 2.02,9.01 10/31/11 Adama Technologies Corp DE 8.01,9.01 10/31/11 ADVANCED BATTERY TECHNOLOGIES, INC. DE 5.02 10/25/11 Aegion Corp DE 2.02,9.01 10/25/11 AGILYSYS INC OH 5.02,9.01 10/28/11 AK STEEL HOLDING CORP DE 1.01,2.03,9.01 10/31/11 ALL Fuels & Energy Co DE 5.07 10/28/11 ALLERGAN INC DE 1.01,2.03,9.01 10/28/11 ALLSTATE CORP DE 2.02,9.01 10/31/11 ALPHA PRO TECH LTD DE 4.01,9.01 10/25/11 AMBASE CORP DE 8.01 10/31/11 AMBASSADORS INTERNATIONAL INC DE 7.01,9.01 10/31/11 AMERCO /NV/ NV 8.01,9.01 06/07/11 AMERICA WEST RESOURCES, INC. NV 4.01,9.01 10/03/11 AMERICAN SUPERCONDUCTOR CORP /DE/ DE 1.02,9.01 10/28/11 AMERISTAR CASINOS INC NV 5.07 06/15/11 AMEND AMP Holding Inc. NV 1.01,3.02,9.01 05/10/11 AMEND ANADARKO PETROLEUM CORP DE 2.02,9.01 10/31/11 APPLIED INDUSTRIAL TECHNOLOGIES INC OH 5.02,5.07,9.01 10/25/11 ARI NETWORK SERVICES INC /WI WI 2.02,9.01 10/31/11 ARKANSAS BEST CORP /DE/ DE 5.02 10/25/11 AMEND Armour Residential REIT, Inc. MD 8.01,9.01 10/31/11 ARMSTRONG WORLD INDUSTRIES INC PA 2.02,7.01,8.01,9.01 10/31/11 ARRAY BIOPHARMA INC DE 2.02,9.01 10/31/11 ASB Bancorp Inc NC 2.02,9.01 10/31/11 ASIAINFO-LINKAGE, INC DE 2.02,9.01 10/31/11 AspenBio Pharma, Inc. CO 8.01,9.01 10/28/11 Astex Pharmaceuticals, Inc DE 2.02,9.01 10/31/11 ATMI INC DE 1.01,7.01,9.01 10/31/11 ATVROCKN NV 8.01 10/26/11 AUXILIUM PHARMACEUTICALS INC 2.02,7.01,9.01 10/31/11 AUXILIUM PHARMACEUTICALS INC 5.02 10/27/11 AVANIR PHARMACEUTICALS, INC. DE 2.02,5.02,8.01,9.01 10/31/11 AVIAT NETWORKS, INC. DE 5.02,9.01 10/31/11 B&G Foods, Inc. DE 1.01,7.01,9.01 10/28/11 Bacterin International Holdings, Inc. DE 7.01,9.01 10/31/11 BANK OF HAWAII CORP DE 7.01 10/31/11 BankUnited, Inc. DE 2.01,7.01,9.01 10/27/11 BARCLAY ROAD, INC. WY 3.02 10/28/11 BEACON POWER CORP DE 1.03,2.04 10/30/11 BEHRINGER HARVARD REIT I INC MD 1.01,2.03,7.01,9.01 10/25/11 BENIHANA INC DE 8.01,9.01 10/31/11 BioPharma Manufacturing Solutions Inc 3.02,5.01,5.02,5.03 08/31/11 AMEND Biostar Pharmaceuticals, Inc. MD 3.01,5.07 10/25/11 Black Diamond, Inc. DE 2.02,9.01 10/31/11 BLUE SPHERE CORP. NV 1.01,9.01 10/25/11 Boardwalk Pipeline Partners, LP DE 2.02,9.01 10/31/11 BOISE INC. DE 5.02 10/31/11 BRITTON & KOONTZ CAPITAL CORP MS 2.02,9.01 10/27/11 CABLEVISION SYSTEMS CORP /NY DE 8.01,9.01 10/31/11 CANYON COPPER CORP. 8.01 10/31/11 Capitol Federal Financial Inc MD 2.02,7.01,9.01 10/31/11 Capitol Federal Financial Inc MD 8.01,9.01 10/31/11 CARDTRONICS INC DE 5.07 06/15/11 AMEND CAROLINA BANK HOLDINGS INC NC 2.02,9.01 10/31/11 CAVIUM, INC. DE 2.02,9.01 10/31/11 CC Media Holdings Inc 2.02,9.01 10/31/11 CENTRAL BANCORP INC /MA/ MA 2.02,9.01 10/28/11 CEPHEID CA 1.01,5.02,5.03,9.01 10/25/11 CHART INDUSTRIES INC DE 7.01,9.01 10/27/11 China Green Lighting Ltd 5.02 10/25/11 China Shengda Packaging Group Inc. NV 3.01,9.01 10/31/11 China XD Plastics Co Ltd NV 4.02 10/26/11 CHINA-BIOTICS, INC DE 5.02 10/31/11 CHROMCRAFT REVINGTON INC DE 1.01,1.02,2.03,9.01 10/25/11 CITY HOLDING CO WV 5.02 10/26/11 CLEAR CHANNEL COMMUNICATIONS INC TX 2.02,9.01 10/31/11 Clear Channel Outdoor Holdings, Inc. DE 2.02,9.01 10/31/11 Clenergen Corp NV 5.02,9.01 10/31/11 CNA FINANCIAL CORP DE 2.02,9.01 10/31/11 COBIZ FINANCIAL INC CO 7.01 10/31/11 COMSTOCK RESOURCES INC NV 2.02,9.01 10/31/11 CONSUMERS BANCORP INC /OH/ OH 5.07 10/26/11 COOPER TIRE & RUBBER CO DE 2.02,9.01 10/31/11 Cornerstone Core Properties REIT, Inc MD 1.01,9.01 10/26/11 CORPORATE EXECUTIVE BOARD CO DE 2.02,9.01 10/31/11 CORTLAND BANCORP INC OH 2.02,9.01 10/31/11 CrowdGather, Inc. NV 5.02,5.07,7.01,9.01 10/28/11 Crown Oil & Gas Inc. NV 5.02,7.01,9.01 10/19/11 CSX CORP VA 7.01,9.01 10/31/11 CubeSmart MD 1.01,7.01,9.01 10/28/11 CVR PARTNERS, LP DE 2.02,9.01 10/31/11 CYCLONE POWER TECHNOLOGIES INC FL 4.02 10/25/11 CYS Investments, Inc. MD 8.01 10/31/11 DEARBORN BANCORP INC /MI/ MI 8.01,9.01 09/07/11 DENMARK BANCSHARES INC WI 2.02,9.01 10/31/11 DGSE COMPANIES INC NV 1.01,3.02,5.02,9.01 10/31/11 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 1.01,1.02,2.03,9.01 10/26/11 Dot VN, Inc. DE 8.01,9.01 10/31/11 Duff & Phelps Corp DE 3.02,9.01 10/31/11 Duff & Phelps Corp DE 5.02 10/31/11 AMEND Dussault Apparel Inc. 5.02 10/31/11 DYNAVAX TECHNOLOGIES CORP DE 2.02,8.01,9.01 10/27/11 EAGLE FINANCIAL SERVICES INC VA 2.02,9.01 10/26/11 EAGLE ROCK ENERGY PARTNERS L P DE 7.01,8.01,9.01 10/31/11 EAST COAST DIVERSIFIED CORP NV 1.01,2.01,2.03,3.02 10/23/11 EATON VANCE CORP MD 5.02,5.07,9.01 10/26/11 ECOLAB INC DE 1.01,2.03,8.01,9.01 10/27/11 ECOLAB INC DE 5.02,8.01,9.01 10/27/11 ECOLOGY & ENVIRONMENT INC NY 2.02,9.01 10/31/11 EDUCATION MANAGEMENT CORPORATION 8.01,9.01 10/28/11 EMC INSURANCE GROUP INC IA 7.01,9.01 10/28/11 EMTEC INC/NJ UT 1.01 10/26/11 ENBRIDGE ENERGY PARTNERS LP DE 2.02,9.01 10/28/11 ENER1 INC FL 5.02 10/25/11 ENERGY INCOME & GROWTH FUND 7.01,9.01 10/31/11 ESCALADE INC IN 2.02,9.01 10/31/11 EXELIXIS INC DE 8.01 10/28/11 EXIDE TECHNOLOGIES DE 5.02 10/25/11 EXPRESS, INC. 5.07 06/03/11 AMEND Feihe International Inc UT 7.01,9.01 10/31/11 FIDELITY BANCORP INC PA 8.01,9.01 10/31/11 FIRST BANCORP /NC/ NC 2.02,9.01 10/31/11 FIRST BANCSHARES INC /MO/ MO 5.07 10/28/11 FIRST SOLAR, INC. DE 5.02,5.03,9.01 10/25/11 FIRSTENERGY CORP OH 7.01,9.01 10/30/11 FNB United Corp. NC 9.01 10/19/11 AMEND Ford Credit Auto Lease Trust 2011-B DE 8.01,9.01 10/31/11 FS Energy & Power Fund DE 2.02,9.01 10/30/11 FutureFuel Corp. DE 5.02 10/28/11 GENERAL CABLE CORP /DE/ DE 2.02,8.01,9.01 10/31/11 Georgetown Bancorp, Inc. X1 2.02,9.01 10/27/11 Global Income Trust, Inc. MD 7.01,9.01 10/31/11 GOLDMAN SACHS GROUP INC DE 9.01 10/31/11 Goliath Film & Media Holdings NV 1.01,2.01,3.02,5.01, 10/25/11 5.02,8.01,9.01 GORMAN RUPP CO OH 2.02,9.01 10/27/11 Government Properties Income Trust MD 9.01 10/31/11 HAEMONETICS CORP MA 2.02,9.01 10/31/11 HAIN CELESTIAL GROUP INC DE 1.01,2.01,8.01,9.01 10/25/11 Harbin Electric, Inc 5.07,8.01,9.01 10/29/11 HCP, INC. MD 2.02,9.01 10/31/11 HERTZ CORP DE 2.01,9.01 09/01/11 AMEND HERTZ GLOBAL HOLDINGS INC 2.01,9.01 09/01/11 AMEND HF FINANCIAL CORP DE 2.02,8.01,9.01 10/31/11 Hill International, Inc. DE 5.07 06/03/11 AMEND HMN FINANCIAL INC DE 5.03,9.01 10/25/11 Home Federal Bancorp, Inc. MD 2.02,9.01 10/28/11 HOME PROPERTIES INC MD 8.01,9.01 10/17/11 Horizon Lines, Inc. 8.01,9.01 10/31/11 HUMANA INC DE 2.02,7.01,9.01 10/31/11 ID SYSTEMS INC DE 2.02,9.01 10/31/11 INDEPENDENT BANK CORP /MI/ MI 2.02,9.01 10/31/11 Indigo International, Corp. NV 5.01,5.02,9.01 10/31/11 INLAND REAL ESTATE CORP MD 5.07 06/15/11 AMEND INTEGRA LIFESCIENCES HOLDINGS CORP DE 2.02,7.01,9.01 10/31/11 INTEGRATED DEVICE TECHNOLOGY INC DE 2.02,9.01 10/31/11 Intellicell Biosciences, Inc. NV 1.01,3.02,5.03,9.01 10/21/11 AMEND INTERMOUNTAIN COMMUNITY BANCORP ID 2.02,9.01 10/28/11 INTERMUNE INC DE 5.02 10/31/11 INTERNATIONAL BUSINESS MACHINES CORP NY 9.01 10/27/11 INTERPUBLIC GROUP OF COMPANIES, INC. DE 2.02,9.01 10/28/11 INTEVAC INC CA 2.02,9.01 10/31/11 INTUITIVE SURGICAL INC DE 7.01,9.01 10/27/11 IRVINE SENSORS CORP/DE/ DE 5.02,9.01 10/25/11 Jintai Mining Group, Inc. DE 8.01 10/31/11 JOE'S JEANS INC. DE 5.02,5.07 10/26/11 JOSHUA GOLD RESOURCES INC NV 5.02 06/30/11 KAISER VENTURES LLC DE 1.03,9.01 10/30/11 KAPSTONE PAPER & PACKAGING CORP DE 1.01,1.02,2.01,2.03, 10/31/11 7.01,9.01 KBS Real Estate Investment Trust III, MD 1.01,2.01,2.03,9.01 10/28/11 KEYCORP /NEW/ OH 8.01 10/31/11 KNIGHT CAPITAL GROUP, INC. DE 7.01,9.01 10/31/11 Lake Shore Bancorp, Inc. X1 2.02,9.01 10/31/11 LendingClub Corp DE 5.02 10/27/11 LEVEL 3 COMMUNICATIONS INC DE 9.01 10/04/11 AMEND Liberator, Inc. FL 1.01,9.01 10/28/11 LINKEDIN CORP DE 1.01,9.01 10/25/11 LOCATEPLUS HOLDINGS CORP 1.01,1.03,2.01,9.01 09/30/11 LOEWS CORP DE 2.02,9.01 10/31/11 Macquarie Equipment Leasing Fund, LLC DE 8.01,9.01 10/31/11 MAGELLAN PETROLEUM CORP /DE/ DE 8.01,9.01 10/21/11 Marathon Petroleum Corp DE 5.02 10/25/11 MB FINANCIAL INC /MD 5.02 10/31/11 AMEND MBT FINANCIAL CORP MI 5.02 10/25/11 MCG CAPITAL CORP DE 5.02,9.01 10/31/11 MEDALLION FINANCIAL CORP DE 8.01,9.01 10/26/11 MERCURY GENERAL CORP CA 2.02,8.01,9.01 10/28/11 METLIFE INC DE 7.01,9.01 10/28/11 MFA FINANCIAL, INC. MD 7.01 10/31/11 MID PENN BANCORP INC PA 5.02 10/26/11 MIMEDX GROUP, INC. FL 1.01,2.02,5.02,9.01 10/25/11 MINT LEASING INC NV 1.01,9.01 10/27/11 MISCOR GROUP, LTD. IN 1.01,9.01 10/31/11 Mojo Ventures, Inc. DE 5.03,9.01 09/09/11 Motors Liquidation Co DE 8.01,9.01 10/31/11 MPG Office Trust, Inc. MD 1.01,7.01,9.01 10/31/11 MPG Office Trust, Inc. MD 2.02,7.01,9.01 10/31/11 MWI Veterinary Supply, Inc. DE 2.01,7.01,9.01 10/31/11 NABORS INDUSTRIES LTD D0 5.07 06/07/11 AMEND NARA BANCORP INC DE 8.01,9.01 10/31/11 NATIONAL PRESTO INDUSTRIES INC WI 2.02,9.01 10/28/11 NAVIGATORS GROUP INC DE 5.02 10/25/11 NAVISTAR INTERNATIONAL CORP DE 7.01,9.01 10/31/11 Neiman Marcus, Inc. DE 7.01,8.01,9.01 10/27/11 NET 1 UEPS TECHNOLOGIES INC 5.02 10/26/11 NEUROCRINE BIOSCIENCES INC CA 2.02,5.02,9.01 10/25/11 NeurogesX Inc CA 5.02,9.01 10/27/11 NeurogesX Inc CA 2.02,8.01,9.01 10/31/11 NEUROLOGIX INC/DE DE 1.01,9.01 10/28/11 NEW AMERICA ENERGY CORP. NV 1.01,9.01 10/31/11 NEW FRONTIER MEDIA INC CO 3.03,9.01 10/27/11 NEWPARK RESOURCES INC DE 5.02,9.01 10/26/11 NEWS CORP 8.01,9.01 10/31/11 NOBLE ENERGY INC DE 5.05,9.01 10/25/11 NORTH SPRINGS RESOURCES CORP. NV 8.01 10/28/11 Northfield Bancorp, Inc. X1 2.02,9.01 10/26/11 NORTHWESTERN CORP DE 5.03,9.01 10/31/11 NPS PHARMACEUTICALS INC DE 8.01,9.01 10/31/11 ODYSSEY PICTURES CORP NV 1.01 10/31/11 OLD NATIONAL BANCORP /IN/ IN 2.02,9.01 10/31/11 ONCOR ELECTRIC DELIVERY CO LLC DE 5.02 10/25/11 ONEOK INC /NEW/ OK 7.01,8.01,9.01 10/31/11 AMEND OPENWAVE SYSTEMS INC DE 5.02 10/27/11 OptimumBank Holdings, Inc. FL 1.01,3.02,8.01,9.01 10/25/11 ORBITAL SCIENCES CORP /DE/ DE 5.03,9.01 10/25/11 Pacira Pharmaceuticals, Inc. DE 2.02,8.01,9.01 10/31/11 PARKE BANCORP, INC. NJ 2.02,9.01 10/31/11 PATRIOT TRANSPORTATION HOLDING INC FL 1.02 10/31/11 PAXTON ENERGY INC NV 1.01,9.01 10/25/11 Pendrell Corp DE 2.01,9.01 10/31/11 PennyMac Mortgage Investment Trust MD 2.02,9.01 10/27/11 PETMED EXPRESS INC FL 8.01,9.01 10/31/11 PharMerica CORP DE 5.07 06/10/11 AMEND PINNACLE BANKSHARES CORP VA 2.02,9.01 10/28/11 PIZZA INN HOLDINGS, INC /MO/ 1.01,9.01 10/26/11 PNM RESOURCES INC NM 1.01,1.02,2.03,9.01 10/31/11 POINDEXTER J B & CO INC DE 2.02,9.01 10/28/11 PREMIER FINANCIAL BANCORP INC KY 7.01,9.01 10/31/11 Premier Power Renewable Energy, Inc. DE 5.07 10/27/11 Prologis, Inc. MD 7.01 10/31/11 PROVIDENT COMMUNITY BANCSHARES, INC. 2.02,9.01 10/31/11 PROVIDENT COMMUNITY BANCSHARES, INC. 3.01,9.01 10/25/11 PROVIDENT NEW YORK BANCORP DE 2.02,9.01 10/31/11 PULSE ELECTRONICS CORP PA 5.03,5.07,9.01 10/28/11 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 5.02,5.07,9.01 10/27/11 REAL ESTATE ASSOCIATES LTD VI CA 8.01 10/25/11 Rockville Financial, Inc. /CT/ CT 2.02,9.01 10/31/11 ROGERS CORP MA 2.02,9.01 10/31/11 RUDOLPH TECHNOLOGIES INC DE 2.02,9.01 10/31/11 Sancon Resources Recovery, Inc. 2.01,9.01 10/31/11 SCHIFF NUTRITION INTERNATIONAL, INC. DE 5.07 10/26/11 SCIQUEST INC DE 1.01,9.01 10/25/11 SECURE NetCheckIn Inc NV 8.01 10/28/11 SHAW GROUP INC LA 2.02,5.02,9.01 10/31/11 SIGNET JEWELERS LTD 8.01 10/31/11 SILVER BULL RESOURCES, INC. NV 8.01,9.01 10/31/11 SIMPSON MANUFACTURING CO INC /CA/ DE 1.01,9.01 10/26/11 SKULLCANDY, INC. 1.01,2.03,9.01 10/25/11 SKYWORKS SOLUTIONS, INC. DE 8.01 10/27/11 SMART BALANCE, INC. DE 5.02 10/25/11 SOUTHCOAST FINANCIAL CORP SC 2.02,9.01 10/27/11 Southeastern Bank Financial CORP GA 2.02,9.01 10/28/11 SOUTHERN COPPER CORP/ DE 5.02 10/27/11 SOUTHWESTERN ENERGY CO DE 7.01 10/31/11 ST JOE CO FL 5.07 05/17/11 AMEND STAMPS.COM INC DE 2.02,9.01 10/27/11 Stevia Corp NV 1.01,8.01,9.01 10/25/11 SUFFOLK BANCORP NY 2.02,7.01 10/30/11 SYMANTEC CORP DE 5.07 10/25/11 SYPRIS SOLUTIONS INC DE 5.03,9.01 10/25/11 Target Acquisitions I, Inc. DE 4.01 10/31/11 TASER INTERNATIONAL INC 2.02,9.01 10/31/11 TCF FINANCIAL CORP DE 2.02,7.01,9.01 10/31/11 TECHNE CORP /MN/ MN 8.01,9.01 10/27/11 TECHNE CORP /MN/ MN 5.07,8.01 10/27/11 TELECOMMUNICATION SYSTEMS INC /FA/ MD 2.02,9.01 10/27/11 TELLABS INC DE 8.01 10/27/11 Texas Rare Earth Resources Corp. NV 7.01,9.01 10/28/11 TGC INDUSTRIES INC TX 2.02,9.01 10/31/11 Timberline Resources Corp DE 1.01,7.01,9.01 10/31/11 Titan Holding Group, Inc. FL 5.03 10/31/11 AMEND TITAN PHARMACEUTICALS INC DE 8.01,9.01 10/25/11 TORON INC. NV 5.02 10/25/11 TOWERSTREAM CORP DE 8.01,9.01 10/31/11 TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 10/28/11 Tree.com, Inc. DE 1.01,1.02,2.03 10/25/11 TREX CO INC DE 2.02,9.01 10/31/11 TRICO BANCSHARES / CA 8.01,9.01 10/28/11 TURBOSONIC TECHNOLOGIES INC DE 1.01,9.01 10/31/11 tw telecom inc. DE 5.07 10/31/11 UDR, Inc. MD 2.02,9.01 10/31/11 UNION DRILLING INC DE 2.02,9.01 10/31/11 UNISOURCE ENERGY CORP AZ 2.02,9.01 10/31/11 UNITED FIRE & CASUALTY CO IA 2.02,9.01 10/31/11 UNITED STATES LIME & MINERALS INC TX 2.02,9.01 10/27/11 URANIUM ENERGY CORP NV 1.01,7.01,9.01 10/25/11 URANIUM RESOURCES INC /DE/ DE 1.01,9.01 10/28/11 VCA ANTECH INC DE 5.07 06/06/11 VENTURE LENDING & LEASING IV INC MD 5.07 10/28/11 VERSAR INC DE 1.01,9.01 10/25/11 VistaGen Therapeutics, Inc. NV 5.07 10/28/11 VITRAN CORP INC A6 2.02,9.01 10/31/11 VLOV INC. NV 8.01,9.01 10/31/11 Volcano Corp DE 2.02,9.01 10/31/11 VSE CORP DE 2.02,9.01 10/27/11 WATTS WATER TECHNOLOGIES INC DE 1.01,5.02 10/30/11 WAVE SYSTEMS CORP DE 9.01 09/22/11 AMEND WEB.COM GROUP, INC. DE 5.02 10/26/11 WEST COAST BANCORP /NEW/OR/ OR 4.02,5.02 10/25/11 WESTERN ALLIANCE BANCORPORATION NV 5.02 10/25/11 Wikifamilies, Inc. NV 5.03,9.01 10/27/11 WILLIAMS COMPANIES INC DE 7.01,9.01 10/28/11 XL GROUP PLC L2 5.02,9.01 10/27/11 YTB International, Inc. DE 1.01,9.01 10/25/11
http://www.sec.gov/news/digest/2011/110111.htm
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