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SEC News Digest
Issue 2011-218
November 10, 2011
Commission announcements
Three Former Directors at Military Body Armor Supplier Settle SEC Charges
The Securities and Exchange Commission today announced that three former directors have agreed to more than $1.6 million in monetary sanctions to settle charges that they were involved in an accounting fraud at a major supplier of body armor to the U.S. military and law enforcement agencies.
The settlements agreed to by Cary Chasin, Jerome Krantz and Gary Nadelman – former members of the board of directors at Pompano Beach, Fla.-based DHB Industries – would impose permanent officer-and-director bars in addition to the monetary sanctions. The settlements are subject to court approval.
“These directors failed to comply with their responsibilities by ignoring the repeated red flags of the massive accounting fraud that senior management orchestrated at DHB,” said Eric I. Bustillo, Director of the SEC’s Miami Regional Office. “While we won’t second guess the good-faith efforts of most company directors, we will hold accountable those who completely abdicate the duties they owe to the companies and shareholders they represent.”
Earlier this year, the SEC separately charged DHB Industries and Chasin, Krantz and Nadelman. The SEC previously charged former DHB CEO David Brooks as well as two other former DHB senior officers for their roles in the fraud. DHB Industries is now known as Point Blank Solutions.
The proposed final judgments filed by the SEC today in U.S. District Court for the Southern District of Florida would find:
- Chasin liable for disgorgement of $100,000 plus prejudgment interest of $5,723 and a penalty of $100,000.
- Krantz liable for disgorgement of $375,000 plus prejudgment interest of $21,464 and a penalty of $100,000.
- Nadelman liable for disgorgement of $820,000 plus prejudgment interest of $46,935 and a penalty of $100,000.
The proposed final judgments would bar Chasin, Krantz and Nadelman from acting as officers or directors of any issuer that has a class of securities registered pursuant to Section 12 and 15(d) of the Securities Exchange Act of 1934. The proposed judgments would enjoin Chasin, Krantz and Nadelman from violating Sections 10(b) and 14(a) and Rules 10b-5 and 14a-9 of the Exchange Act and from aiding and abetting violations of Sections 10(b), 13(a), 13(b)(2)(A), and 13(b)(2)(B) and Rules 10b-5, 12b-20, 13a-1, 13a-11, and 13a-13 of the Exchange Act. The judgments also would enjoin Nadelman from violating Section 13(b)(5) and Rules 13b2-1 and 13b2-2 of the Exchange Act. Chasin, Krantz and Nadelman agreed to settle the SEC’s charges without admitting or denying the allegations.
The SEC’s civil litigation against Brooks and the other two former DHB officers is stayed pending the resolution of criminal actions filed against them by the U.S. Attorney’s Office for the Eastern District of New York. (Press Rel. 2011-238)
Commission Meetings
SEC Government-Business Forum on Small Business Capital Formation on Thursday, November 17, 2011, at 9:00 a.m.
The Securities and Exchange Commission will host the SEC Government-Business Forum on Small Business Capital Formation on Thursday, November 17, 2011, beginning at 9:00 a.m., in the Auditorium of the Commission's headquarters at 100 F Street, NE, Washington, DC.
The forum will include remarks by SEC Commissioners and panel discussions that Commissioners may attend. Panel topics will include current capital formation issues for private companies and initial public offerings and securities regulation involving smaller public companies. Members of the public may attend the forum without charge. The Commissioner remarks and panel discussions will be webcast from the SEC’s web site. Doors will open at 8:30 a.m. Visitors will be subject to security checks.
Closed Meeting on Thursday, November 17, 2011, at 2:00 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, November 17, 2011 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; an adjudicatory matter; and other matters relating to enforcement proceedings.
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 proceedings
In the Matter of Western Pacific Capital Management, LLC and Kevin James O’Rourke
On November 10, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing (Order) against Western Pacific Capital Management, LLC (Western Pacific) and Kevin James O’Rourke (O’Rourke).
In the Order, the Division of Enforcement alleges that Western Pacific and its president, O’Rourke, urged many Western Pacific clients to invest in a security without disclosing that Western Pacific would receive a 10% commission. The Division of Enforcement further alleges that Western Pacific and O’Rourke failed to register as a broker, failed to provide required written disclosures to clients, improperly redeemed one hedge fund investor’s interest ahead of another’s, and made material misstatements and omissions to clients regarding the fund’s liquidity.
The Division of Enforcement further alleges that during 2005 and 2006 Western Pacific and O’Rourke acted as brokers in the non-public offering of stock by Ameranth, Inc., for which Ameranth paid Western Pacific a 10% “success fee.” Even though Western Pacific and O’Rourke advised their clients to purchase the Ameranth stock, they failed to advise each of their clients that Western Pacific and O’Rourke would financially benefit from the clients’ purchases of stock, and failed to provide any clients with the required written disclosures regarding their role in the offering. Western Pacific received $482,745 in success fees from Ameranth, of which $450,495 was due to investments made by its clients.
According to the Division’s allegations, from 2005 through 2008, Western Pacific and O’Rourke misrepresented the liquidity of The Lighthouse Fund, LP, a hedge fund that they formed and managed. Western Pacific and O’Rourke repeatedly stated that only 25% of the Lighthouse Fund was invested in illiquid assets, when in fact 90% of its assets consisted of illiquid securities. Western Pacific used Lighthouse Fund assets to resolve a dispute with a client who no longer wanted his $800,000 of Ameranth stock. O’Rourke caused the Fund to buy some of the stock and permitted the client to use the remainder of the stock to finance his investment in the Fund. O’Rourke ultimately redeemed the client’s interest in the Fund for cash ahead of another client who had previously requested a full redemption.
As alleged in the Order, Western Pacific and O’Rourke willfully violated Section 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2), 206(3), and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder.
A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to afford the Respondents an opportunity to establish defenses to the allegations, and to determine whether remedial action is appropriate and in the public interest.
The Order requires the Administrative Law Judge to issue an initial decision no later than 300 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rels. 33-9275; 34-65726; IA-3313; IC-29859; File No. 3-14619)
In the Matter of UBS Securities LLC
On November 10, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order as to UBS Securities LLC (UBS).
The Order found that UBS had flawed practices in recording the basis upon which locates were provided to customers to enable them to sell securities short. Those practices obscured inquiry into whether UBS had a reasonable basis for granting locates and created a risk of locates being granted based on sources that could not be relied upon if shares were needed for settlement. In particular, the Order found that UBS’s record of locates contained notations indicating that the availability of stock for potential short sales had been confirmed with specific employees of lenders even when no one at UBS had actually contacted those employees to confirm availability.
UBS consented to the issuance of the Order, without admitting or denying any of its findings. The Order finds that UBS willfully violated Section 17(a) of the Exchange Act and Rule 203(b) of Regulation SHO thereunder, and requires UBS to pay an $8 million penalty and to retain an independent compliance consultant to conduct a comprehensive review of UBS’s policies, procedures and practices with respect to granting locate requests. The Order also requires UBS to cease and desist from committing or causing any violations and any future violations of Section 17(a) of the Exchange Act and Rule 203(b) thereunder.
Bruce Karpati, Stephanie Shuler, Adam Grace, and Elzbieta Wraga of the SEC’s New York Regional Office conducted the investigation, with the assistance of Daphne Downes in the New York Regional Office’s Broker-Dealer Inspection Program. (Rel. 34-65733; File No. 3-14620)
In the Matter of Lodavina Grosnickle
An Administrative Law Judge has issued an Initial Decision (Decision) in Lodavina Grosnickle, Admin. Proc. No. 3-14408. On May 9, 2011, the U. S. District Court for the Central District of California entered a final default judgment against Lodavina Grosnickle (Grosnickle) permanently enjoining her from violations of the federal securities laws.
Based on the final judgment entered against Grosnickle, the Decision finds that Grosnickle violated Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act), Exchange Act Rule 10b-5 thereunder, and Section 17(a) of the Securities Act of 1933, in connection with the sale of “preferred membership units” in TG Capital LLC, an investment with guaranteed rates of return of 28% to 30%. Grosnickle participated in the dissemination of forged documents, helped divert investor funds for personal use, and misrepresented material facts to dozens of victims over the course of at least two months, resulting in a fraud loss of approximately $3.78 million.
Pursuant to Section 15(b) of the Exchange Act, the Decision bars Grosnickle from association with a broker, dealer, investment adviser, municipal securities dealer, nationally recognized statistical rating organization, and transfer agent, and from participating in a penny stock offering. (Initial Decision No. 441; File No. 3-14408)
Securities and Exchange Commission Institutes Proceedings against Longtop Financial Technologies Limited for Deficient Filings
On November 10, 2011, the Commission instituted public administrative proceedings to determine whether to suspend for a period not exceeding twelve months, or to revoke the registration of the securities of Longtop Financial Technologies Limited (Longtop) based on its failure to file annual reports with the Commission that contain current and accurate information.
In its Order, the Division of Enforcement (Division) alleges that Longtop failed to file an annual report on Form 20-F for the year ended March 31, 2011; and failed to provide the investing public with annual reports containing audited financial statements for 2008, 2009 and 2010 because Longtop’s former independent auditor stated in May 2011 that continuing reliance should no longer be placed on its prior audit reports on financial statements contained in Longtop’s Forms 20-F previously filed with the Commission. The Division also alleges that Longtop’s American depositary shares (ADSs) were listed and traded on the New York Stock Exchange (NYSE) under the symbol LFT beginning in October 2007, after an IPO, until August 29, 2011, when the NYSE delisted LFT after finding that the ADSs were no longer suitable for continued listing and trading. Currently, Longtop’s ADSs trade in the over-the-counter market under the ticker symbol LGFTY.
The institution of these proceedings automatically stays the termination of the registration of Longtop securities pursuant to the Form 25, Notification of Removal From Listing and/or Registration Under Section 12(b) of the Securities Exchange Act of 1934 (Exchange Act), filed by the NYSE on August 17, 2011. Until a final decision is made in this proceeding, Longtop is required to file reports with the Commission.
In this litigated administrative proceeding, instituted pursuant to Exchange Act Section 12(j), Longtop will have an opportunity to establish any defenses to the Enforcement Division’s allegations in the Order that Longtop failed to comply with Exchange Act Section 13(a) and Rule 13a-1 thereunder. The Administrative Law Judge in these proceedings will then determine whether the allegations of the Enforcement Division are true, and whether the registration of the securities of Longtop pursuant to Exchange Act Section 12 should be suspended for a period not exceeding twelve months, or revoked. 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. 34-65734; File No. 3-14622)
SEC Seeks Contempt Finding Against Certified Public Accountant Joseph S. Amundsen
The U.S. Securities and Exchange Commission announced today that it has filed a motion in the United States District Court for the Northern District of California in SEC v. Amundsen, No. 83-cv-0711 WHA, seeking to have Certified Public Accountant Joseph S. Amundsen held in civil contempt of court for violating the terms of an injunction barring him from appearing or practicing before the SEC in any way.
Amundsen was barred from appearing or practicing before the SEC in any way as the result of the 1983 SEC action alleging that Amundsen had provided materially false and misleading audit reports to Olympic Oil and Gas, which then included those reports its filings with the SEC. In settling the 1983 suit, Amundsen, without admitting or denying the allegations in the complaint, agreed to be permanently barred from appearing or practicing before the SEC. Amundsen also agreed at that time to be permanently enjoined from violating antifraud provisions of the federal securities laws.
According to the SEC’s contempt motion filed in federal court in San Francisco, Amundsen violated the terms of the injunction, whose entry he had consented to in February 1983, by repeatedly auditing the financial statements of broker-dealers that were registered with the SEC. Amundsen knew that those broker-dealers would then file those financial statements, including Amundsen’s audit report, with the SEC under Securities Exchange Act Rule 17a-5. The SEC’s motion asserts that Amundsen’s audits of broker-dealers violated the terms of the injunction because performing such audits constitutes practicing before the SEC as an accountant.
The SEC’s motion seeks an order finding that Amundsen has contemptuously violated the 1983 injunction, requiring him to disgorge all ill-gotten gains from violating the injunction, and imposing other equitable relief. The injunction barring Amundsen from appearing or practicing before the Commission in any way remains in effect. [SEC v. Joseph S. Amundsen, Civil Action No. 83-cv-00711 (N.D. Cal)] (LR-22150)
SEC Charges New York-Based Hedge Fund Managers ThinkStrategy Capital and Chetan Kapur with Securities Fraud
The Commission today filed a civil injunctive action charging ThinkStrategy Capital Management, LLC (ThinkStrategy) and its sole managing director, Chetan Kapur, with deceptive conduct in connection with two hedge funds that they managed and advised: ThinkStrategy Capital Fund (Capital Fund) and TS Multi-Strategy Fund (Multi-Strategy Fund). The Capital Fund traded primarily equities, while the larger Multi-Strategy Fund holds investments in other hedge funds. At its peak in 2008, ThinkStrategy managed approximately $520 million in assets.
The Commission’s complaint alleges that over nearly seven years, ThinkStrategy and Kapur engaged in a pattern of deceptive conduct designed to bolster their track record, size, and credentials. In particular, ThinkStrategy and Kapur materially overstated the performance of the Capital Fund, giving investors the false impression that the fund’s returns were consistently positive and minimally volatile. The complaint also alleges that ThinkStrategy and Kapur repeatedly inflated the firm’s assets, exaggerated the firm’s longevity and performance history, and misrepresented the size and credentials of ThinkStrategy’s management team.
With respect to the Multi-Strategy Fund, a fund of hedge funds, the complaint alleges that ThinkStrategy and Kapur misstated the scope and quality of due diligence checks on certain managers and funds selected for inclusion in the portfolio. Specifically, the complaint alleges that ThinkStrategy and Kapur told investors that all funds in the portfolio would be selected using a rigorous due diligence process, including having reputable service providers, but instead selected several funds that failed to meet this standard. As a result, the Multi-Strategy Fund made investments in certain hedge funds that were later revealed to be Ponzi schemes or other serious frauds, including Bayou Superfund, Valhalla/Victory Funds, and Finvest Primer Fund. Had ThinkStrategy adhered to its stated due diligence standards, and required audited financial statements certified by bona fide accounting firms, the Multi-Strategy Fund may not have invested detrimentally in those funds.
The Commission’s complaint, which was filed in the U.S. District Court for the Southern District of New York, charges ThinkStrategy and Kapur with violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. The complaint seeks permanent injunctions, disgorgement and prejudgment interest thereon, and civil monetary penalties against ThinkStrategy and Kapur.
Without admitting or denying the allegations in the complaint, ThinkStrategy and Kapur have consented to the entry of a judgment permanently enjoining them from violating the above mentioned provisions, imposing a civil monetary penalty, and ordering them to pay disgorgement and prejudgment interest in amounts to be determined by the Court upon motion of the Commission. The settlements are subject to Court approval. In addition, Kapur has consented to the entry of a Commission order barring him from association with any investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. [SEC v. Chetan Kapur; Lilaboc, LLC d/b/a ThinkStrategy Capital Management, LLC; Civil Action No. 11-CIV-8094 (S.D.N.Y.)] (LR-22151)
Self-regulatory organizations
Accelerated Approval of Proposed Rule Changes
The Commission has approved a proposed rule change (SR-NYSE-2011-38), as modified by Amendment No. 2, pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, amending Sections 102.01 and 103.01 of the Exchange’s Listed Company Manual adopting additional listing requirements for Companies applying to list after consummation of a “reverse merger” with a shell company. Publication is expected in the Federal Register during the week of November 14. (Rel. 34-65709)
The Commission has approved a proposed rule change (SR-NYSEAmex-2011-55), as modified by Amendment No. 2, pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, amending Section 101 of the NYSE Amex Company Guide to adopt additional listing requirements for companies applying to list after consummation of a “reverse merger” with a shell company. Publication is expected in the Federal Register during the week of November 14. (Rel. 34-65710)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2011-148) relating to routing fees to C2 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 November 14. (Rel. 34-65711)
A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2011-150) to modify its Investor Support Program, offer an additional liquidity provider credit through a Pre-Market Investor Program, and make other changes to pricing for NASDAQ members using the NASDAQ Market Center 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 November 14. (Rel. 34-65717)
A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2011-147) relating to options fee disputes 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 November 14. (Rel. 34-65718)
A proposed rule change submitted by NASDAQ OMX PHLX LLC relating to Qualified Contingent Cross Orders (SR-Phlx-2011-148) 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 November 14. (Rel. 34-65719)
A proposed rule change submitted by NASDAQ OMX PHLX LLC relating to the Complex Order rebates and fees for adding and removing liquidity (SR-Phlx-2011-147) 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 November 14. (Rel. 34-65720)
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 AGENT155 MEDIA CORP., 30 DENVER CRES, SUITE 200, TORONTO, A6, M2J 1G8,
646-770-5518 - 4,400,000 ($264,000.00) Equity, (File 333-177831 -
Nov. 9) (BR. 02C)
S-1 FUSION-IO, INC., 6350 SOUTH 3000 EAST, 6TH FLOOR, SALT LAKE CITY, UT,
84121, 801-424-5500 - 0 ($350,000,000.00) Equity, (File 333-177832 -
Nov. 9) (BR. 03A)
S-3ASR OCWEN FINANCIAL CORP, 2002 SUMMIT BOULEVARD, 6TH FLOOR, ATLANTA, 2Q,
30319, 561-682-8000 - 0 ($375,000,000.00) Equity, (File 333-177833 -
Nov. 9) (BR. 07C)
S-8 SAPIENS INTERNATIONAL CORP N V, KAYA RICHARD J BEAUJON,
WILLEMSTAD CURACAO NETHERLANDS, CURACAO NETHERLANDS, P8, 4758,
97289382777 - 4,000,000 ($11,545,872.47) Equity, (File 333-177834 -
Nov. 9) (BR. 03C)
S-8 GULF RESOURCES, INC., 99 WENCHANG RD, CHEMING INDUSTRIAL PARK,
UNIT - HAOYUAN CHEMICAL COMPANY LIMITED, SHOUGUANG CITY, SHANDONG, F4,
262714, (310) 470-2886 - 1,841,989 ($4,733,912.00) Equity,
(File 333-177835 - Nov. 9) (BR. 06A)
S-8 RIMAGE CORP, 7725 WASHINGTON AVE S, EDINA, MN, 55439, 6129448144 -
150,000 ($1,695,000.00) Equity, (File 333-177836 - Nov. 9) (BR. 03A)
S-8 ALLIED HEALTHCARE PRODUCTS INC, 1720 SUBLETTE AVE, ST LOUIS, MO, 63110,
3147712400 - 600,000 ($2,130,000.00) Equity, (File 333-177837 - Nov. 9)
(BR. 10A)
S-3 ORMAT TECHNOLOGIES, INC., 6225 NEIL ROAD, SUITE 300, RENO, NV,
89511-1136, 775-356-9029 -
0 ($1,500,000,000.00) Unallocated (Universal) Shelf, (File 333-177838 -
Nov. 9) (BR. 02C)
S-8 ELIZABETH ARDEN INC, 2400 SW 145 AVENUE, SUITE 2S, MIRAMAR, FL, 33027,
954-364-6900 - 1,000,000 ($33,205,000.00) Equity, (File 333-177839 -
Nov. 9) (BR. 06C)
S-8 Liberty Interactive Corp, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO,
80112, 7208755400 - 0 ($3,266,000.00) Equity, (File 333-177840 -
Nov. 9) (BR. 11C)
S-8 Liberty Interactive Corp, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO,
80112, 7208755400 - 0 ($163,300,000.00) Equity, (File 333-177841 -
Nov. 9) (BR. 11C)
S-8 Liberty Interactive Corp, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO,
80112, 7208755400 - 0 ($46,493,845.19) Equity, (File 333-177842 -
Nov. 9) (BR. 11C)
S-8 Liberty Media Corp, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 80112,
(720) 875-5400 - 0 ($14,192,000.00) Equity, (File 333-177843 - Nov. 9)
(BR. 11C)
S-8 Liberty Media Corp, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 80112,
(720) 875-5400 - 0 ($116,680,000.00) Equity, (File 333-177844 - Nov. 9)
(BR. 11C)
S-8 IMPERVA INC, 3400 BRIDGE PARKWAY, SUITE 200, REDWOOD SHORES, CA, 94065,
650-345-9000 - 5,321,687 ($54,088,334.55) Equity, (File 333-177845 -
Nov. 9) (BR. 03B)
S-8 Discovery Communications, Inc., 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO,
80112, (720) 875-4000 - 0 ($65,175,000.00) Equity, (File 333-177850 -
Nov. 9) (BR. 11C)
S-8 Fabrinet, 294 MOO 8, VIBHAVADI RANGSIT ROAD, KOOKOT, LUMLOOKA,
PATUMTHANEE, W1, 12130, 662-998-9956 - 500,000 ($6,510,000.00) Equity,
(File 333-177853 - Nov. 9) (BR. 11C)
S-8 PENSKE AUTOMOTIVE GROUP, INC., 2555 TELEGRAPH RD, BLOOMFIELD HILLS, MI,
48302-0954, 248-648-2500 - 0 ($64,035,000.00) Equity,
(File 333-177855 - Nov. 9) (BR. 02A)
S-3 METALICO INC, 186 NORTH AVE EAST, 908-497-9610, CRANFORD, NJ, 07016,
908-497-9610 - 0 ($200,000,000.00) Unallocated (Universal) Shelf,
(File 333-177863 - Nov. 9) (BR. 06C)
S-3ASR CAMDEN PROPERTY TRUST, 3 GREENWAY PLAZA, SUITE 1300, HOUSTON, TX,
77046, 7133542500 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-177864 - Nov. 9) (BR. 08C)
S-8 BEAM INC, 510 LAKE COOK ROAD, DEERFIELD, IL, 60015, 8479488888 -
0 ($49,270,000.00) Equity, (File 333-177865 - Nov. 9) (BR. 06C)
S-8 SIGMA ALDRICH CORP, 3050 SPRUCE ST, ST LOUIS, MO, 63103, 3147715765 -
0 ($40,000,000.00) Other, (File 333-177866 - Nov. 9) (BR. 06B)
S-3 FIRST OF LONG ISLAND CORP, 10 GLEN HEAD RD, GLEN HEAD, NY, 11545,
5166714900 - 500,000 ($12,762,500.00) Equity, (File 333-177867 -
Nov. 9) (BR. 07A)
S-8 AMGEN INC, ONE AMGEN CENTER DRIVE, MAIL STOP 24-1-B, THOUSAND OAKS, CA,
91320-1799, (805)313-1762 - 0 ($200,000,000.00) Other,
(File 333-177868 - Nov. 9) (BR. 01A)
S-3ASR XL GROUP PLC, NO. 1 HATCH STREET UPPER, 4TH FLOOR, DUBLIN, L2, 2,
353-1-405-2033 - 0 ($0.00) Other, (File 333-177869 - Nov. 9) (BR. 01B)
S-3 SILVER BULL RESOURCES, INC., 885 WEST GEORGIA STREET, SUITE 2200,
VANCOUVER, A1, V6C 3E8, 604-887-5800 -
125,000,000 ($14,325.00) Unallocated (Universal) Shelf,
(File 333-177870 - Nov. 9) (BR. 09B)
S-3ASR ALLIANT ENERGY CORP, 4902 NORTH BILTMORE LANE, SUITE 1000, MADISON, WI,
53718-2148, 608-458-3311 - 0 ($101,475,000.00) Equity,
(File 333-177871 - Nov. 9) (BR. 02B)
S-3 SEACOAST BANKING CORP OF FLORIDA, 815 COLORADO AVE, P O BOX 9012,
STUART, FL, 34994, 5612874000 - 1,000,000 ($1,500,000.00) Equity,
(File 333-177872 - Nov. 9) (BR. 07C)
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
99 CENTS ONLY STORES CA 2.02,9.01 11/09/11
A123 SYSTEMS, INC. DE 2.02,9.01 11/09/11
AASTROM BIOSCIENCES INC MI 2.02,9.01 11/08/11
ABRAXAS PETROLEUM CORP NV 2.02,9.01 11/09/11
ACADIA PHARMACEUTICALS INC DE 2.02,9.01 11/09/11
Accretive Health, Inc. DE 2.02,9.01 11/09/11
ACCURIDE CORP DE 3.03,7.01,9.01 11/09/11
ADCARE HEALTH SYSTEMS INC OH 2.02,9.01 11/09/11
ADVANCE AUTO PARTS INC DE 2.02,9.01 11/09/11
ADVANCED ANALOGIC TECHNOLOGIES INC DE 2.02,8.01,9.01 11/09/11
ADVENTRX PHARMACEUTICALS INC DE 9.01 04/08/11 AMEND
AEROCENTURY CORP DE 2.02 11/08/11
AEROFLEX HOLDING CORP. DE 2.02,9.01 11/09/11
AFFYMAX INC DE 1.01,9.01 11/07/11
AFFYMAX INC DE 2.02,9.01 11/09/11
AGILYSYS INC OH 2.02,5.02,5.07,7.01, 11/09/11
9.01
AIR METHODS CORP DE 2.02,5.04,9.01 11/09/11
Aircastle LTD D0 7.01,9.01 11/08/11
ALBANY MOLECULAR RESEARCH INC DE 2.02,9.01 11/08/11
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 11/09/11
Alliance HealthCare Services, Inc CA 2.02,9.01 11/08/11
ALPHA PRO TECH LTD DE 2.02,9.01 11/09/11
Alto Group Holdings Inc. NV 5.01 11/04/11
Ameresco, Inc. DE 2.02 11/09/11
AMERICAN CRYSTAL SUGAR CO /MN/ MN 5.07,7.01 11/09/11
AMERICAN GREETINGS CORP OH 4.02 11/07/11
AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 11/09/11
AMERICAN LEARNING Corp NY 2.02,9.01 11/09/11
AMERICAN PUBLIC EDUCATION INC DE 7.01 11/09/11
AMERICAN REALTY CAPITAL NEW YORK RECO MD 2.01,2.03,8.01,9.01 11/03/11
AMERICAN SUPERCONDUCTOR CORP /DE/ DE 2.02,9.01 11/09/11
AMERIGON INC MI 2.02,9.01 11/08/11
AMERISERV FINANCIAL INC /PA/ PA 8.01,9.01 11/09/11
AMERISOURCEBERGEN CORP DE 1.01,7.01,9.01 11/08/11
AMGEN INC DE 5.04,9.01 11/07/11
AMICO GAMES CORP. NV 5.03,9.01 11/04/11
ANGIOTECH PHARMACEUTICALS INC 2.02,9.01 11/09/11
Apple REIT Ten, Inc. VA 9.01 09/01/11 AMEND
Apple REIT Ten, Inc. VA 9.01 09/20/11 AMEND
Apple REIT Ten, Inc. VA 9.01 09/30/11 AMEND
Apple REIT Ten, Inc. VA 9.01 11/01/11 AMEND
Approach Resources Inc DE 5.02 11/03/11
Archipelago Learning, Inc. DE 2.02,9.01 11/09/11
ARDEN GROUP INC DE 2.02,9.01 11/09/11
ARENA PHARMACEUTICALS INC DE 2.02,9.01 11/09/11
ARROW ELECTRONICS INC NY 5.02,9.01 11/08/11
ARTS WAY MANUFACTURING CO INC DE 8.01,9.01 11/08/11
ASHFORD HOSPITALITY TRUST INC MD 2.02,9.01 11/09/11
ASHLAND INC. KY 7.01,9.01 11/09/11
ATMOS ENERGY CORP TX 2.02,9.01 11/09/11
ATP OIL & GAS CORP TX 2.02,9.01 11/09/11
AUTODESK INC DE 5.02,9.01 11/04/11
AUTOMATIC DATA PROCESSING INC DE 5.02,9.01 11/09/11
AVENTINE RENEWABLE ENERGY HOLDINGS IN DE 2.02,9.01 11/09/11
Bancorp, Inc. 7.01,9.01 11/09/11
BankFinancial CORP 7.01,8.01,9.01 11/09/11
BENCHMARK ELECTRONICS INC TX 5.02,9.01 11/08/11
BERKSHIRE HILLS BANCORP INC 7.01,9.01 11/09/11
BIOCLINICA INC DE 2.02,9.01 11/09/11
Biodel Inc 3.01,9.01 11/08/11
BIOJECT MEDICAL TECHNOLOGIES INC OR 2.02,9.01 11/08/11
BIOSANTE PHARMACEUTICALS INC DE 2.02,9.01 11/09/11
BioScrip, Inc. DE 2.02 11/08/11
BLACKBOX SEMICONDUCTOR, INC. NV 5.02 10/20/11
BLOUNT INTERNATIONAL INC DE 5.02 11/04/11
Blue Earth, Inc. NV 7.01 11/09/11
Blueknight Energy Partners, L.P. DE 2.02,9.01 11/09/11
Booz Allen Hamilton Holding Corp DE 5.02,9.01 11/09/11
BROADCOM CORP CA 1.01,2.03,9.01 11/04/11
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 7.01,9.01 11/09/11
BUCKEYE PARTNERS, L.P. DE 7.01,9.01 11/09/11
Burger King Holdings Inc DE 2.02,9.01 11/09/11
C&J Energy Services, Inc. DE 2.02,7.01,9.01 11/09/11
CAMAC Energy Inc. DE 2.02,9.01 11/09/11
CAPITAL BANK CORP NC 2.02,9.01 11/09/11
CAPSTONE TURBINE Corp DE 2.02,9.01 11/09/11
Carbonite Inc DE 2.02,9.01 11/09/11
Care Investment Trust Inc. MD 2.02,7.01,9.01 11/09/11
CEDAR SHOPPING CENTERS INC MD 2.02,7.01,9.01 11/09/11
Chatham Lodging Trust MD 2.02,9.01 11/07/11
CHESAPEAKE MIDSTREAM PARTNERS LP DE 2.02,9.01 11/08/11
CHICAGO BRIDGE & IRON CO N V 7.01,9.01 11/09/11
CHINA AUTOMOTIVE SYSTEMS INC DE 2.02,9.01 11/08/11
China Chemical Corp. DE 5.02,9.01 11/05/11
China Information Technology, Inc. 2.02,9.01 11/09/11
CHINDEX INTERNATIONAL INC DE 2.02,7.01,9.01 11/09/11
CIGNA CORP DE 8.01,9.01 11/03/11
Ciralight Global, Inc. NV 7.01,9.01 11/09/11
CISCO SYSTEMS INC CA 2.02 11/09/11
CLAIBORNE LIZ INC DE 2.02,9.01 11/09/11
Clark Holdings Inc. DE 1.02,3.01,3.03,5.01, 11/03/11
5.02,5.03,5.07,9.01
CNB FINANCIAL CORP/PA PA 8.01,9.01 11/08/11
COMMUNITY TRUST BANCORP INC /KY/ KY 7.01,9.01 09/30/11
COMPLETE GENOMICS INC DE 2.02,9.01 11/08/11
COMPUTER SCIENCES CORP NV 2.02,9.01 11/09/11
COMVERGE, INC. DE 2.02,9.01 11/09/11
CONSOLIDATED GRAPHICS INC /TX/ TX 5.02 11/04/11
Consorteum Holdings, Inc. NV 1.01,2.01,2.03,3.02, 11/09/11
9.01
Converted Organics Inc. DE 5.02,8.01,9.01 11/08/11
CoroWare, Inc, DE 4.01 11/09/11
CORVEL CORP DE 5.02 11/03/11
CREDITRISKMONITOR COM INC NV 2.02,9.01 11/08/11
CROSSTEX ENERGY INC DE 7.01,9.01 11/08/11
CROSSTEX ENERGY LP DE 7.01,9.01 11/08/11
Crown Oil & Gas Inc. NV 5.02,9.01 11/03/11
CRYOLIFE INC FL 5.02 11/04/11
CTC Media, Inc. 2.02,9.01 11/09/11
CubeSmart MD 2.01,9.01 11/03/11
DAWSON GEOPHYSICAL CO TX 2.02,9.01 11/09/11
DAWSON GEOPHYSICAL CO TX 7.01,9.01 11/09/11
DEAN FOODS CO DE 2.02,9.01 11/09/11
Deer Consumer Products, Inc. NV 2.02,9.01 11/09/11
Delek US Holdings, Inc. 4.02 11/08/11
Delta Entertainment Group, Inc. FL 2.01,9.01 06/03/11 AMEND
Derycz Scientific Inc NV 1.01,5.02,9.01 11/03/11
DGT Holdings Corp. NY 2.01,8.01,9.01 11/03/11
diaDexus, Inc. DE 2.02,9.01 11/09/11
Digital Generation, Inc. DE 2.02,9.01 11/09/11
Digital Generation, Inc. DE 2.02,8.01,9.01 11/09/11
Discovery Communications, Inc. DE 5.02 11/03/11
DOUGLAS DYNAMICS, INC DE 5.02 11/03/11
Duke Energy CORP DE 9.01 11/09/11
Dutch Gold Resources Inc CO 4.01,9.01 03/18/11 AMEND
DynaVox Inc. 2.02,9.01 11/09/11
Eagle Bulk Shipping Inc. 2.02,9.01 11/09/11
EDELMAN FINANCIAL GROUP INC. TX 2.02,7.01,9.01 11/08/11
Education Realty Trust, Inc. MD 7.01,9.01 11/08/11
EGAIN COMMUNICATIONS CORP DE 2.02,9.01 11/09/11
EMCORE CORP NJ 5.02 11/08/11
ENERGY XXI (BERMUDA) LTD D0 5.07,9.01 11/08/11
EnerSys DE 2.02,9.01 11/09/11
ENSURGE INC NV 3.02,9.01 11/09/11
EQUITY LIFESTYLE PROPERTIES INC MD 8.01 11/08/11
Essex Rental Corp. DE 2.02,9.01 11/08/11
EXCO RESOURCES INC TX 1.01,9.01 11/08/11
EXOPACK HOLDING CORP 5.02 11/09/11
FIRST COMMUNITY BANCSHARES INC /NV/ NV 7.01,9.01 11/09/11
FIRST FINANCIAL BANCORP /OH/ OH 7.01,9.01 11/09/11
First Guaranty Bancshares, Inc. LA 2.02 11/09/11
FIRST PACTRUST BANCORP INC MD 8.01,9.01 11/09/11
Firsthand Technology Value Fund, Inc. 8.01,9.01 11/09/11
FLEETCOR TECHNOLOGIES INC DE 2.02,9.01 11/09/11
FLOTEK INDUSTRIES INC/CN/ DE 2.02,9.01 11/09/11
Forex International Trading Corp. NV 1.01,3.02,9.01 11/01/11
Fortress International Group, Inc. DE 2.02,2.03,9.01 11/09/11
FRANKLIN COVEY CO UT 2.02,8.01,9.01 11/08/11
FRANKLIN ELECTRIC CO INC IN 7.01,9.01 11/09/11
FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 11/09/11
FROZEN FOOD EXPRESS INDUSTRIES INC TX 8.01,9.01 11/09/11
Fuel Systems Solutions, Inc. 2.02,9.01 11/09/11
Full Circle Capital Corp MD 2.02,9.01 11/09/11
FULTON FINANCIAL CORP PA 7.01,9.01 11/09/11
FutureFuel Corp. DE 2.02,9.01 11/09/11
FX ENERGY INC NV 8.01,9.01 11/09/11
GARDNER DENVER INC DE 7.01,9.01 11/09/11
General Growth Properties, Inc. DE 2.02,7.01,9.01 11/09/11
General Motors Co 2.02,9.01 11/09/11
General Motors Financial Company, Inc TX 2.02,9.01 11/09/11
Genie Energy Ltd. DE 5.02 11/03/11
GenOn Energy, Inc. DE 2.02,9.01 11/09/11
GENVEC INC DE 2.02,9.01 11/09/11
GeoMet, Inc. DE 2.02,9.01 11/09/11
GEORESOURCES INC CO 2.02,7.01,9.01 11/07/11
Global Cash Access Holdings, Inc. DE 2.02,9.01 11/09/11
Global Geophysical Services Inc DE 2.02,9.01 11/09/11
Global Investor Services, Inc. UT 3.02,9.01 11/04/11
Global Telecom & Technology, Inc. DE 2.02,9.01 11/09/11
GOLDEN STAR RESOURCES LTD 2.02,9.01 11/08/11
Government Properties Income Trust MD 9.01 11/09/11
GRAMERCY CAPITAL CORP MD 2.02,7.01,9.01 11/08/11
GRANITE CITY FOOD & BREWERY LTD MN 2.02,9.01 11/08/11
GREEN MOUNTAIN COFFEE ROASTERS INC DE 2.02,9.01 11/09/11
GREENE COUNTY BANCORP INC DE 5.07,9.01 11/05/11
GREENE COUNTY BANCORP INC DE 7.01,9.01 11/05/11
Grubb & Ellis Healthcare REIT II, Inc MD 1.01,1.02,7.01,8.01, 11/07/11
9.01
GRYPHON GOLD CORP NV 7.01,9.01 11/09/11
GSE SYSTEMS INC DE 2.02 09/30/11
HALLMARK FINANCIAL SERVICES INC NV 2.02,9.01 11/08/11
Hampden Bancorp, Inc. DE 7.01,9.01 11/07/11
HARDINGE INC NY 2.02,9.01 11/09/11
HASBRO INC RI 8.01,9.01 11/09/11
HCP, INC. MD 7.01,8.01,9.01 11/09/11
HEALTH CARE REIT INC /DE/ DE 8.01,9.01 11/04/11
HEALTH ENHANCEMENT PRODUCTS INC NV 5.02 11/04/11
HEALTH MANAGEMENT ASSOCIATES INC DE 1.01,8.01,9.01 11/08/11
Heckmann CORP 2.02,5.02,7.01,8.01, 11/09/11
9.01
Heelys, Inc. DE 2.02,9.01 11/09/11
HOST HOTELS & RESORTS, INC. MD 5.02,9.01 11/08/11
IDENTIVE GROUP, INC. DE 2.02,9.01 10/31/11
IMMUNOGEN INC MA 5.07 11/08/11
IMPAX LABORATORIES INC DE 5.02,9.01 11/07/11
Infusion Brands International, Inc. NV 1.01,3.02 09/22/11
INLAND WESTERN RETAIL REAL ESTATE TRU MD 8.01,9.01 11/09/11
Innovaro, Inc. 2.02,9.01 11/09/11
INSMED INC VA 7.01,9.01 11/09/11
INTER PARFUMS INC DE 2.02,7.01,8.01,9.01 11/09/11
INTERCONTINENTALEXCHANGE INC 1.01,1.02,2.03,7.01, 11/09/11
9.01
INTERNATIONAL RECTIFIER CORP /DE/ DE 7.01 11/09/11
IRONCLAD PERFORMANCE WEAR CORP 2.02,7.01,9.01 11/09/11
ISHARES GOLD TRUST NY 5.02 11/09/11
iShares S&P GSCI Commodity-Indexed Tr DE 5.02 11/09/11
iShares Silver Trust NY 5.02 11/09/11
JAMBA, INC. DE 2.02,9.01 11/09/11
John Bean Technologies CORP DE 7.01,9.01 11/09/11
KAMAN CORP CT 5.02,9.01 11/09/11
KBS Real Estate Investment Trust, Inc MD 8.01 11/09/11
KELLY SERVICES INC DE 2.02,9.01 11/09/11
Kentucky First Federal Bancorp 2.02,9.01 11/07/11
KEYSTONE CONSOLIDATED INDUSTRIES INC DE 2.02,7.01,9.01 11/09/11
KFORCE INC FL 8.01 11/07/11
KID BRANDS, INC NJ 2.02,9.01 11/09/11
Kohlberg Capital CORP DE 2.02,9.01 11/09/11
KSW INC NY 2.02,9.01 11/09/11
LADENBURG THALMANN FINANCIAL SERVICES FL 2.02,8.01,9.01 11/09/11
LADENBURG THALMANN FINANCIAL SERVICES FL 1.01,2.01,2.03,3.02, 11/04/11
7.01,9.01
LAM RESEARCH CORP DE 5.02,5.07 11/03/11
LANNETT CO INC DE 2.02,9.01 11/03/11
Liberty Interactive Corp 2.02,9.01 11/08/11
Liberty Media Corp DE 2.02,9.01 11/08/11
LIHUA INTERNATIONAL INC. DE 2.02,9.01 11/09/11
LINN ENERGY, LLC DE 1.01,9.01 11/04/11
LIONS GATE ENTERTAINMENT CORP /CN/ 2.02,9.01 11/09/11
LOCAL.COM DE 7.01,9.01 11/09/11
Location Based Technologies, Inc. NV 8.01,9.01 11/08/11
LORAL SPACE & COMMUNICATIONS INC. DE 2.02,9.01 11/09/11
Lumos Networks Corp. VA 2.02,9.01 11/09/11
LyondellBasell Industries N.V. P7 1.01,9.01 11/04/11
MACROSOLVE INC OK 5.02,9.01 11/01/11
Macy's, Inc. DE 2.02,9.01 11/09/11
MAD CATZ INTERACTIVE INC Z4 2.02,5.03,9.01 11/08/11
MAGNUM HUNTER RESOURCES CORP DE 2.02,7.01,9.01 11/09/11
Maidenform Brands, Inc. DE 2.02,9.01 11/09/11
MAKO Surgical Corp. DE 2.02,9.01 11/09/11
Manitex International, Inc. MI 2.02,9.01 11/09/11
MARKWEST ENERGY PARTNERS L P 7.01,9.01 11/09/11
Mattersight Corp DE 2.02,7.01,9.01 11/09/11
MAXYGEN INC DE 8.01,9.01 11/09/11
MB FINANCIAL INC /MD 7.01 11/09/11
MBIA INC CT 2.02,7.01,9.01 11/09/11
MEDIACOM BROADBAND LLC DE 2.02,9.01 11/09/11
MEDIACOM LLC NY 2.02,9.01 11/09/11
MEDIVATION, INC. DE 2.02,9.01 11/09/11
MERCADOLIBRE INC 8.01 11/09/11
MF Global Holdings Ltd. DE 5.02,9.01 11/04/11
MGP INGREDIENTS INC KS 2.02,7.01,9.01 11/09/11
MICROSEMI CORP DE 2.01,9.01 10/25/11 AMEND
MIDDLEBY CORP DE 2.02,9.01 11/08/11
MISONIX INC NY 2.02,9.01 11/09/11
ML MACADAMIA ORCHARDS L P DE 2.02,9.01 11/09/11
Momentive Performance Materials Inc. DE 2.02,9.01 11/09/11
MOMENTIVE SPECIALTY CHEMICALS INC. NJ 2.02,9.01 11/09/11
MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 11/09/11
MOSAIC CO 7.01,9.01 11/08/11
Mueller Water Products, Inc. DE 7.01,9.01 11/09/11
MUNICIPAL MORTGAGE & EQUITY LLC DE 2.02 11/09/11
NARA BANCORP INC DE 8.01,9.01 11/04/11
NATIONAL BANKSHARES INC VA 8.01,9.01 11/09/11
Neenah Paper Inc DE 2.02,9.01 11/08/11
NEVADA GOLD & CASINOS INC NV 1.01,8.01,9.01 11/02/11
NEW CENTURY BANCORP INC NC 2.02,9.01 11/04/11
NEWBRIDGE BANCORP NC 7.01,9.01 11/09/11
NEWCASTLE INVESTMENT CORP MD 2.02,9.01 11/08/11
NEWS CORP 8.01,9.01 11/09/11
NEWTEK BUSINESS SERVICES, INC. NY 2.02,9.01 11/09/11
NF Energy Saving Corp DE 3.01 11/07/11
NII HOLDINGS INC DE 5.02 11/09/11
NORTH CENTRAL BANCSHARES INC IA 2.02,9.01 09/30/11
NORTHERN OIL & GAS, INC. 5.02,9.01 11/08/11
Novelis Inc. A6 2.02,9.01 11/09/11
NTELOS HOLDINGS CORP 7.01,9.01 11/09/11
OAK RIDGE MICRO-ENERGY INC CO 1.01,9.01 11/08/11
Obagi Medical Products, Inc. DE 2.02,9.01 11/09/11
OCLARO, INC. DE 2.02,9.01 11/09/11
OCWEN FINANCIAL CORP FL 8.01,9.01 11/08/11
OCZ TECHNOLOGY GROUP INC DE 7.01,9.01 11/09/11
ODYSSEY MARINE EXPLORATION INC NV 1.01,3.02,8.01,9.01 11/08/11
Oiltanking Partners, L.P. DE 2.02,9.01 11/09/11
OM GROUP INC DE 2.02,9.01 11/09/11
OMEGA PROTEIN CORP NV 2.02,9.01 11/08/11
ON4 COMMUNICATIONS INC. DE 1.01,9.01 11/03/11
ON4 COMMUNICATIONS INC. DE 5.02 11/04/11
ON4 COMMUNICATIONS INC. DE 5.02 11/04/11
ONVIA INC DE 2.02,9.01 11/09/11
OPEN TEXT CORP A6 2.03,9.01 11/09/11
OPNET TECHNOLOGIES INC DE 2.02,8.01,9.01 11/09/11
Optionable Inc 8.01,9.01 11/07/11
ORBCOMM Inc. DE 2.02,9.01 11/09/11
Orient Paper Inc. NV 2.02,9.01 11/09/11
OXIGENE INC DE 2.02,9.01 11/09/11
PACIFIC PREMIER BANCORP INC DE 7.01,9.01 09/30/11
Park Sterling Corp NC 7.01,9.01 11/09/11
PDC 2002 D LTD PARTNERSHIP 2.01,5.01 11/02/11
PDC 2003-A LP WV 2.01,5.01 11/02/11
PDC 2003-B LP WV 2.01,5.01 11/02/11
PDC 2003-C LP WV 2.01,5.01 11/02/11
PDC 2003-D LP WV 2.01,5.01 11/02/11
PDL BIOPHARMA, INC. DE 2.02,7.01,9.01 11/09/11
PEGASYSTEMS INC MA 2.02,9.01 11/09/11
PEGASYSTEMS INC MA 7.01 11/08/11
PHARMATHENE, INC DE 2.02,9.01 11/09/11
PHOTRONICS INC CT 2.02,9.01 11/08/11
PIER 1 IMPORTS INC/DE DE 7.01,9.01 11/09/11
Pike Electric CORP 2.02,9.01 11/09/11
Pinnacle Foods Finance LLC DE 2.02 11/09/11
PIZZA INN HOLDINGS, INC /MO/ 2.02,9.01 09/30/11
PLUMAS BANCORP CA 2.02,9.01 11/09/11
PMC COMMERCIAL TRUST /TX TX 2.02,9.01 11/08/11
PMFG, Inc. DE 2.02,9.01 11/09/11
PostRock Energy Corp DE 2.02,9.01 11/09/11
PREFORMED LINE PRODUCTS CO OH 1.01,9.01 11/07/11
PRESIDENTIAL REALTY CORP/DE/ DE 1.01,1.02,3.02,5.01, 11/08/11
5.02,8.01,9.01
Prestige Brands Holdings, Inc. 2.02,7.01,9.01 11/09/11
PRICESMART INC DE 2.02,9.01 11/09/11
Primoris Services Corp DE 2.02,8.01,9.01 11/08/11
PRINCETON REVIEW INC DE 1.02 11/04/11
PRINCETON REVIEW INC DE 2.02,9.01 11/09/11
PRO DEX INC CO 2.02,9.01 11/09/11
PROGENICS PHARMACEUTICALS INC DE 2.02,9.01 09/30/11
ProPhase Labs, Inc. NV 2.02,9.01 11/09/11
QNB CORP PA 5.02,9.01 11/07/11
Radiation Therapy Services Holdings, DE 2.02,9.01 11/09/11
Radius Health, Inc. DE 9.01 05/17/11 AMEND
RALPH LAUREN CORP DE 2.02,9.01 11/09/11
RAM ENERGY RESOURCES INC DE 2.02,9.01 11/07/11
RBC Bearings INC 2.02,9.01 11/09/11
RBC LIFE SCIENCES, INC. DE 2.02 11/09/11
REDDY ICE HOLDINGS INC DE 2.02,9.01 11/09/11
REEDS INC DE 8.01,9.01 11/09/11
RELM WIRELESS CORP NV 2.02,9.01 09/30/11
Renewable Energy Group, Inc. 1.01,2.03,9.01 11/03/11
RENTECH INC /CO/ CO 1.01,2.01,9.01 11/03/11
Rentech Nitrogen Partners, L.P. DE 1.01,2.01,3.02,3.03, 11/03/11
5.03,9.01
ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 1.01,2.03 11/08/11
ROFIN SINAR TECHNOLOGIES INC DE 5.03,9.01 11/03/11
ROYAL BANCSHARES OF PENNSYLVANIA INC PA 3.01 11/04/11
Sally Beauty Holdings, Inc. 1.01,2.03,9.01 11/03/11
SALLY HOLDINGS LLC DE 1.01,2.03,9.01 11/03/11
SANFILIPPO JOHN B & SON INC DE 7.01,9.01 11/09/11
SAVIENT PHARMACEUTICALS INC DE 2.02,8.01,9.01 11/03/11
SemiLEDs Corp 5.02 11/09/11
SIEBERT FINANCIAL CORP NY 1.01 11/03/11
SILGAN HOLDINGS INC DE 5.02 11/03/11
Silver Falcon Mining, Inc. DE 8.01 11/09/11
SINOCOKING COAL & COKE CHEMICAL INDUS FL 8.01,9.01 11/09/11
SM Energy Co DE 7.01 11/08/11
SMART ONLINE INC DE 2.03,3.02 11/07/11
SONOMA VALLEY BANCORP CA 8.01,9.01 06/07/11 AMEND
SOUTH JERSEY INDUSTRIES INC NJ 2.02,7.01,9.01 11/08/11
SPAN AMERICA MEDICAL SYSTEMS INC SC 2.02,9.01 11/09/11
SPARTON CORP OH 7.01,9.01 11/09/11
SPDR GOLD TRUST 8.01,9.01 11/09/11
SPRINT NEXTEL CORP KS 1.01,2.03,8.01,9.01 11/09/11
STAKOOL, INC. NV 1.01,2.01,3.02,4.01, 09/15/11 AMEND
5.01,5.02,5.06,9.01
STARWOOD HOTEL & RESORTS WORLDWIDE IN MD 8.01 11/07/11
STARWOOD PROPERTY TRUST, INC. 1.01 11/03/11
State Auto Financial CORP OH 2.02,7.01,9.01 11/07/11
STERLING BANCORP NY 7.01,9.01 11/04/11
STIFEL FINANCIAL CORP DE 2.02,9.01 11/09/11
STONEMOR PARTNERS LP DE 2.02,9.01 11/09/11
STRATEGIC HOTELS & RESORTS, INC 2.02,9.01 11/03/11
Strategic Mining Corp 5.02 11/07/11
STUDIO ONE MEDIA, INC. DE 4.02 11/04/11
SuccessFactors, Inc. DE 7.01 11/09/11
Summer Infant, Inc. DE 2.02,9.01 11/09/11
SUNVALLEY SOLAR, INC. NV 1.01,9.01 10/06/11
SUPERIOR UNIFORM GROUP INC FL 8.01 11/09/11
SUPREME INDUSTRIES INC DE 2.02,9.01 11/08/11
Susser Holdings CORP DE 2.02,9.01 11/09/11
SYNTHESIS ENERGY SYSTEMS INC DE 2.02,9.01 11/09/11
Synutra International, Inc. DE 2.02,9.01 11/09/11
TAUBMAN CENTERS INC MI 1.01,2.03,9.01 11/04/11
TECHNICAL COMMUNICATIONS CORP MA 1.01,9.01 11/03/11
TECHS LOANSTAR, INC. NV 5.02 11/07/11
TechTarget Inc 2.02,9.01 11/09/11
THERMADYNE HOLDINGS CORP /DE DE 2.02,9.01 11/09/11
TORON INC. NV 1.01,2.01,5.06,9.01 11/04/11
TORTOISE CAPITAL RESOURCES CORP 2.02,9.01 11/08/11
Total Nutraceutical Solutions, Inc. NV 1.01,9.01 10/28/11 AMEND
Tower Group, Inc. DE 5.03,9.01 11/03/11
TRANS1 INC 5.02,9.01 11/04/11
TRANSACT TECHNOLOGIES INC DE 2.02,9.01 11/09/11
TRANSGENOMIC INC DE 2.02,9.01 11/09/11
Travelport LTD D0 2.02,9.01 11/09/11
TRC COMPANIES INC /DE/ DE 2.02,9.01 11/09/11
TRI CITY BANKSHARES CORP WI 2.02,9.01 09/30/11
TRIUMPH GROUP INC DE 8.01,9.01 11/07/11
TRUMP ENTERTAINMENT RESORTS, INC. DE 5.02,5.07 11/03/11
TUCOWS INC /PA/ PA 2.02,7.01,9.01 11/08/11
TUFCO TECHNOLOGIES INC DE 1.01,9.01 11/08/11
Two Harbors Investment Corp. 7.01,9.01 11/09/11
U S PHYSICAL THERAPY INC /NV NV 8.01 11/09/11
U.S. Auto Parts Network, Inc. DE 1.01,9.01 11/07/11
UFood Restaurant Group, Inc. NV 1.01,1.02 11/07/11
UNIGENE LABORATORIES INC DE 2.02,9.01 11/09/11
UNIGENE LABORATORIES INC DE 8.01,9.01 11/09/11
UNIGENE LABORATORIES INC DE 7.01,9.01 11/09/11
Unilife Corp DE 2.02,7.01,9.01 11/09/11
UNITED AMERICAN HEALTHCARE CORP MI 1.01,5.02,9.01 11/01/11
UNITED BANKSHARES INC/WV WV 5.02 11/03/11
UNITED GUARDIAN INC DE 2.02,9.01 11/09/11
UNITED INSURANCE HOLDINGS CORP. DE 2.02,9.01 11/09/11
UNIVERSAL HOSPITAL SERVICES INC MN 2.02,7.01,9.01 11/09/11
UROLOGIX INC MN 2.02,9.01 11/07/11
UWHARRIE CAPITAL CORP NC 2.02,9.01 11/09/11
VALUECLICK INC/CA DE 2.01,9.01 08/31/11 AMEND
VENTAS INC DE 8.01,9.01 11/09/11
VENTRUS BIOSCIENCES INC DE 8.01,9.01 11/09/11
VERMILLION, INC. DE 1.01,2.02,8.01,9.01 11/08/11
Vertro, Inc. DE 2.02,8.01,9.01 11/09/11
VISTA GOLD CORP B0 7.01,9.01 11/07/11
VISTAPRINT N.V. P7 5.07 11/03/11
VWR Funding, Inc. DE 2.02,7.01 11/09/11
WALGREEN CO IL 7.01,9.01 11/09/11
Warner Chilcott plc 8.01,9.01 11/09/11
WELLS REAL ESTATE INVESTMENT TRUST II MD 7.01,9.01 11/04/11
Wendy's Co DE 2.02,9.01 11/09/11
Wendy's Co DE 7.01,9.01 11/09/11
Western Refining, Inc. DE 7.01,9.01 11/09/11
WORLD OMNI AUTO RECEIVABLES LLC DE 8.01,9.01 11/09/11
WWA GROUP INC NV 4.01 11/03/11
XPLORE TECHNOLOGIES CORP DE 2.02,5.02,7.01,9.01 11/07/11
Yongye International, Inc. NV 5.07 06/10/11 AMEND
ZHONGPIN INC. DE 2.02,9.01 11/08/11
ZST Digital Networks, Inc. DE 2.02,7.01,9.01 11/09/11
http://www.sec.gov/news/digest/2011/dig111011.htm
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