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Enforcement proceedingsIn the Matter of Fifth Third BancorpOn November 22, 2011, the Commission issued an Order Instituting Cease-And-Desist Proceedings, Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-And-Desist Order (Order). The Order finds that Fifth Third Bancorp violated fair disclosure rules when it selectively disclosed to certain investors that it would be redeeming trust preferred securities (TruPS). In particular, the Order finds that in May 2011, Fifth Third informed certain investors that it would be redeeming a class of its TruPS at a significant discount to the market price at that time. Fifth Third did not publicly disclose the redemption until it became aware that investors who appeared to have learned of the redemption had been selling the securities to unwitting buyers. Without admitting or denying the Commission’s findings, Fifth Third consented to the issuance of a cease-and-desist order finding that it violated Regulation FD, which prohibits issuers from selectively disclosing material nonpublic information about itself or its securities to certain market participants without also disclosing the information to the public generally. In its Order, the SEC found that Fifth Third issued a redemption notice to the Depository Trust Corporation, the holder of record of the securities, on May 16, 2011. To inform the beneficial holders of the redemption, DTC posted the notice the following day on its Legal Notification System (“LENS”), an on-line library available to subscribers and DTC member banks and brokers. The redemption notice indicated that Fifth Third would be redeeming the TruPS for about $25 per share. At the time, the securities were trading on the New York Stock Exchange for about $26.50 per share. After certain investors learned that the TruPS would be redeemed at a discount to the prevailing market price, they began selling the securities to buyers who were unaware of the redemption. The SEC’s Order finds that Fifth Third publicly disclosed the redemption only after it learned of the impact that its selective disclosure had on the market. Based on the above, the Order requires Fifth Third to cease and desist from committing or causing any violations and any future violations of Section 13(a) of the Exchange Act, 15 U.S.C. § 78m(a), and Regulation FD, 17 C.F.R. § 243.100, et seq. In accepting Fifth Third’s offer of settlement, the Commission considered the cooperation afforded the Commission staff and remedial acts promptly and voluntarily undertaken by Fifth Third. Fifth Third has offered to compensate investors harmed by the timing of its disclosure. Fifth Third has also adopted additional policies and procedures relating to the redemption of securities. Beth Collier Groves, Paul Gunson and Jonathan Jacobs conducted the SEC’s investigation in this matter. (Rel. 34-65808; File No. 3-14639) SEC Charges Illinois-Based Hedge Fund Adviser and Its Owner For Fraudulent ConductThe Securities and Exchange Commission today announced that on November 18, it filed a civil injunctive action against Patrick G. Rooney (“Rooney”), a resident of Oakbrook, Illinois, and his company, Solaris Management, LLC (“Solaris Management”), the investment adviser to the Solaris Opportunity Fund, LP (“Solaris Fund”) for the fraudulent misuse of the Solaris Fund’s assets and other illegal conduct. According to the SEC’s complaint, the Solaris Fund is purportedly a non-directional hedge fund with approximately 30 investors and reported assets of $16,277,780 as of December 2008. Contrary to the Solaris Fund’s offering documents and marketing materials, Rooney and Solaris Management allegedly made a radical change in the Solaris Fund’s investment strategy by becoming wholly invested in Positron Corp. (“Positron”), a financially troubled microcap company of which Rooney has been Chairman since 2004. Rooney, who has received compensation from Positron since September 2005, allegedly misused the Solaris Fund’s money by investing over $3.6 million in Positron through both private transactions and market purchases. Many of the private transactions were undocumented while other investments were loans to Positron at 0% interest. The complaint alleges that Rooney and Solaris Management hid the Positron investments and Rooney’s relationship with the company from the Solaris Fund’s investors for over four years. Although Rooney finally told investors about the Positron investments in a March 2009 newsletter, he allegedly lied by telling them he became Chairman to safeguard the Solaris Funds’ investment. The complaint further alleges that these investments benefited Positron and Rooney while providing the Solaris Fund with a concentrated, undiversified, and illiquid position in a cash-poor company with a lengthy track record of losses. The SEC’s complaint, filed in the United States District Court for the Northern District of Illinois, charges Rooney and Solaris Management with violating Section 17(a) of the Securities Act of 1933, Sections 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rules 10b-5 and thereunder, and Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 (“Advisers Act”) and Rule 206(4)-8(a)(1) and (a)(2) thereunder. The complaint also charges Rooney with aiding and abetting Solaris Management’s violations of Section 206(4) of the Advisers Act and Rule 206(4)-8(a)(1) thereunder, and Rooney and Solaris Management with aiding and abetting the Solaris Fund’s violation of Section 10(b) of the Exchange Act and Rule 10b-5(b) thereunder, and Section 13(d)(1) of the Exchange Act and Rule 13d-1 thereunder. The SEC is seeking permanent injunctions, disgorgement of any ill-gotten gains plus prejudgment interest and civil monetary penalties against Rooney and Solaris Management, and an officer and director bar against Rooney. [SEC v. Patrick G. Rooney and Solaris Management, LLC, Case No. 1:11-cv-08264 (N.D. IL)] (LR-22167) Investment company act releasesGenesis Capital, LLC and Northern Lights Fund TrustA notice has been issued giving interested persons until December 16, 2011 to request a hearing on an application filed by Genesis Capital, LLC and Northern Lights Fund Trust for an order exempting them from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC-29867 - November 21) Citadel LLC and CEIF LLCAn order has been issued on an application filed by Citadel LLC (Citadel) and CEIF LLC to exempt certain limited liability companies, limited partnerships, companies and other investment vehicles formed for the benefit of eligible employees of Citadel and its affiliates (ESC Funds) from certain provisions of the Investment Company Act of 1940 (Act). Each ESC Fund will be an “employees’ securities company” within the meaning of Section 2(a)(13) of the Act. (Rel. IC-29869 - November 22) Self-regulatory organizationsAccelerated Approval of Proposed Rule ChangeThe National Stock Exchange, Inc. filed, and the Commission approved on an accelerated basis, a proposed rule change (SR-NSX-2011-012) pursuant to Section 19(b)(1) of the Exchange Act to amend NSX rules to conform with Section 957 of the Dodd-Frank Act prohibiting members voting uninstructed shares on certain matters. Publication is expected in the Federal Register during the week of November 14. (Rel. 34-65804) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NYSE Amex LLC to increase from 20 to 30 the number of Short Term Options Series that may be opened for each option class that participates in the Exchange’s Short Term Option Series Program (SR-NYSEAmex-2011-89) 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. 34-65805) A proposed rule change filed by NYSE Arca, Inc. to increase from 20 to 30 the number of Short Term Options Series that may be opened for each option class that participates in the Exchange’s Short Term Option Series Program (SR-NYSEArca-2011-88) 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. 34-65806) 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-3ASR MFA FINANCIAL, INC., 350 PARK AVENUE, 21ST FL, NEW YORK, NY, 10022, 2122076400 - 1,185,865 ($7,909,719.55) Equity, (File 333-178096 - Nov. 22) (BR. 08B) S-3ASR BUCKEYE PARTNERS, L.P., ONE GREENWAY PLAZA, SUITE 600, HOUSTON, TX, 77046, 8326158600 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-178097 - Nov. 22) (BR. 04B) S-4 Whitestone REIT, 2600 SOUTH GESSNER, SUITE 500, HOUSTON, TX, 77063, 713-827-9595 - 1,321,431 ($15,698,600.28) Equity, (File 333-178098 - Nov. 22) (BR. 08C) S-1 iLOAN INC, 616 CORPORATE WAY, SUITE 2-3523, VALLEY COTTAGE, NY, 10989, 866 365 8141 - 1,000,000 ($100,000.00) Equity, (File 333-178099 - Nov. 22) (BR. ) S-8 SPREADTRUM COMMUNICATIONS INC, 810 E ARQUES AVE, SUNNYVALE, CA, 94085, 4087358126 - 2,700,000 ($22,653,000.00) Equity, (File 333-178100 - Nov. 22) (BR. 10C) S-3ASR VECTREN CORP, ONE VECTREN SQUARE, EVANSVILLE, IN, 47708, 8124914000 - 738,709 ($21,200,949.00) Equity, (File 333-178101 - Nov. 22) (BR. 02B) S-4 IMMUCOR INC, 3130 GATWAY, PO BOX 5625, NORCROSS, GA, 30091, 770 441 2051 - 0 ($400,000,000.00) Equity, (File 333-178102 - Nov. 22) (BR. 01A) S-8 Madison Bancorp Inc, 8615 RIDGELYS CHOICE DRIVE, SUITE 111, BALTIMORE, MD, 21236, 410-529-7400 - 0 ($640,337.40) Equity, (File 333-178109 - Nov. 22) (BR. 07B) S-3ASR EMERSON ELECTRIC CO, 8000 W FLORISSANT AVE, P O BOX 4100, ST LOUIS, MO, 63136, 3145532000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-178110 - Nov. 22) (BR. 10B) S-8 Amarantus BioSciences, Inc., 675 ALMANOR AVE., SUNNYVALE, CA, 94085, (408) 737-2734 - 3,797,500 ($613,296.25) Equity, (File 333-178113 - Nov. 22) (BR. 01A) S-8 WORLDS INC, 11 ROYAL ROAD, BROOKLINE, MA, 02445, 617-725-8900 - 178,571 ($25,000.00) Equity, (File 333-178114 - Nov. 22) (BR. 03C) S-8 SONY CORP, 7-1, KONAN, 1-CHOME, MINATO-KU, TOKYO, M0, 108-0075, 0367482180 - 2,537,500 ($49,629,708.00) Equity, (File 333-178115 - Nov. 22) (BR. 11A) S-8 INSIGNIA SYSTEMS INC/MN, 8799 BROOKLYN BLVD., MINNEAPOLIS, MN, 55445, 7633926200 - 300,000 ($657,000.00) Equity, (File 333-178116 - Nov. 22) (BR. 11C) S-3ASR BioMed Realty Trust Inc, 17190 BERNARDO CENTER DRIVE, SAN DIEGO, CA, 92128, 858-485-9840 - 0 ($1.00) Equity, (File 333-178117 - Nov. 22) (BR. 08C) S-3ASR HOST HOTELS & RESORTS, INC., 6903 ROCKLEDGE DR, SUITE 1500, BETHESDA, MD, 20817, 240-744-1000 - 0 ($1.01) Equity, (File 333-178118 - Nov. 22) (BR. 08B) S-3ASR CAMPBELL SOUP CO, CAMPBELL PL, CAMDEN, NJ, 08103, 8563424800 - 0 ($0.00) Non-Convertible Debt, (File 333-178119 - Nov. 22) (BR. 04B) S-3ASR AIR PRODUCTS & CHEMICALS INC /DE/, 7201 HAMILTON BLVD, ALLENTOWN, PA, 18195-1501, 6104814911 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-178120 - Nov. 22) (BR. 06C) S-3ASR BERKLEY W R CORP, 475 STEAMBOAT ROAD, ., GREENWICH, CT, 06830, 2036293000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-178121 - Nov. 22) (BR. 01A) S-3ASR PSEG POWER LLC, 80 PARK PLAZA T-6, `, NEWARK, NJ, 07111, 9734307000 - 0 ($0.00) Debt, 0 ($0.00) Equity, (File 333-178123 - Nov. 22) (BR. 02B) S-3ASR IDACORP INC, 1221 WEST IDAHO STREET, BOISE, ID, 83702-5627, 2083882200 - 999,494 ($1.00) Equity, (File 333-178124 - Nov. 22) (BR. 02B) S-4 DELUXE CORP, 3680 VICTORIA STREET NORTH, SHOREVIEW, MN, 55126, 6514837111 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-178125 - Nov. 22) (BR. 05A) S-3 FIELDPOINT PETROLEUM CORP, 1703 EDELWEISS DRIVE, STE 301, CEDAR PARK, TX, 78613, 5122508692 - 20,000,000 ($20,000,000.00) Equity, (File 333-178126 - Nov. 22) (BR. 04A) S-8 WAVE SYSTEMS CORP, 480 PLEASANT ST, LEE, MA, 01238, 4132431600 - 0 ($11,700,000.00) Equity, (File 333-178128 - Nov. 22) (BR. 03A) 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 1.01,2.03,3.02,9.01 11/21/11 AASTROM BIOSCIENCES INC MI 1.01,9.01 11/16/11 ACCO BRANDS CORP DE 1.01,8.01,9.01 11/17/11 ACORN ENERGY, INC. DE 5.02 11/16/11 ADA-ES INC CO 1.01,1.02,9.01 11/21/11 Adelphia Recovery Trust DE 3.03,5.03,9.01 11/21/11 Affinia Group Intermediate Holdings I DE 5.02 11/16/11 AGILENT TECHNOLOGIES INC DE 5.02,9.01 11/17/11 AIR LEASE CORP DE 5.02,5.05,9.01 11/17/11 AIR METHODS CORP DE 4.02,7.01,9.01 11/18/11 AIR PRODUCTS & CHEMICALS INC /DE/ DE 5.02 11/16/11 AMEND Alliance Holdings GP, L.P. DE 7.01,9.01 11/22/11 ALLIANCE RESOURCE PARTNERS LP DE 7.01,9.01 11/22/11 ALLIANT TECHSYSTEMS INC DE 8.01 11/22/11 American Sands Energy Corp. DE 5.03,9.01 11/21/11 AMERICAN WOODMARK CORP VA 2.02,9.01 11/22/11 AMERIGROUP CORP 8.01 11/18/11 AMSURG CORP TN 7.01,9.01 11/22/11 AMYRIS, INC. DE 1.01,2.03 11/16/11 ANHUI TAIYANG POULTRY CO INC DE 2.02,9.01 11/22/11 ARBITRON INC DE 1.01,2.03,5.03,9.01 11/16/11 ARDEN GROUP INC DE 1.01,2.03,9.01 11/21/11 ARRIS GROUP INC DE 2.01,9.01 11/21/11 Ascent Solar Technologies, Inc. DE 8.01 11/21/11 ASTRO MED INC /NEW/ RI 2.02,9.01 11/22/11 ATHENA SILVER CORP CA 7.01,9.01 11/18/11 AMEND ATLANTIC AMERICAN CORP GA 7.01,9.01 11/21/11 Atlas Capital Holdings, Inc. NV 1.01,2.03,5.03,9.01 11/22/11 AURA SYSTEMS INC DE 5.02 11/22/11 AURI INC DE 1.01,9.01 11/17/11 AVNET INC NY 1.01,1.02,2.03,8.01, 11/18/11 9.01 Bacterin International Holdings, Inc. DE 7.01,9.01 11/22/11 BANK OF HAWAII CORP DE 5.02 11/18/11 BAR HARBOR BANKSHARES ME 8.01 11/22/11 BB&T CORP NC 8.01,9.01 11/18/11 BEACON POWER CORP DE 7.01,9.01 11/19/11 BEAZER HOMES USA INC DE 5.02,9.01 11/16/11 BigBand Networks, Inc. DE 3.01,3.03,5.01,5.02, 11/21/11 5.03,9.01 Bio-Solutions Corp. NV 1.01,2.01,9.01 09/26/11 BIOMEDICAL TECHNOLOGY SOLUTIONS HOLDI CO 4.01,9.01 10/13/11 BIOVEST INTERNATIONAL INC DE 7.01,9.01 11/22/11 Bitzio, Inc. NV 5.02 11/21/11 Blue Earth, Inc. NV 9.01 09/07/11 AMEND BLUESKY SYSTEMS CORP 3.02,5.02 11/16/11 BOOKS A MILLION INC DE 2.02,9.01 11/22/11 CACI INTERNATIONAL INC /DE/ DE 1.01,5.07,9.01 11/17/11 CAMBIUM LEARNING GROUP, INC. 5.02,8.01,9.01 11/16/11 CAMPBELL SOUP CO NJ 2.02,9.01 11/22/11 CANO PETROLEUM, INC 2.02,7.01,9.01 11/22/11 CAPELLA EDUCATION CO 5.02 11/16/11 CAPSTONE TURBINE Corp DE 1.01,9.01 11/21/11 Carey Watermark Investors Inc 9.01 09/06/11 AMEND Cell-nique Corp DE 4.02 11/22/11 Cereplast Inc NV 5.07 11/21/11 CHESAPEAKE UTILITIES CORP DE 8.01 11/18/11 CHICOS FAS INC FL 2.02,8.01,9.01 11/22/11 CIGNA CORP DE 8.01,9.01 11/16/11 Citi Trends Inc 2.02,9.01 11/22/11 Clearfield, Inc. MN 5.02 11/17/11 Coleman Cable, Inc. DE 9.01 05/16/11 AMEND Complete Production Services, Inc. DE 8.01,9.01 11/22/11 CONTINENTAL MATERIALS CORP DE 2.02,9.01 11/21/11 Coronus Solar Inc. A1 7.01,9.01 11/22/11 CORPORATE BOND BACKED CERT TR SER 199 DE 8.01,9.01 11/15/11 COVENTRY HEALTH CARE INC DE 5.05,9.01 11/22/11 Covidien plc 5.02 11/16/11 CRACKER BARREL OLD COUNTRY STORE, INC TN 2.02,7.01,9.01 11/22/11 CROSSTEX ENERGY INC DE 7.01,9.01 11/21/11 CROSSTEX ENERGY LP DE 7.01,9.01 11/21/11 CUMBERLAND PHARMACEUTICALS INC 1.01,1.02,9.01 11/15/11 DAKTRONICS INC /SD/ SD 2.02,9.01 11/22/11 dELiAs, Inc. DE 2.02,9.01 11/22/11 DELTA NATURAL GAS CO INC KY 5.07,8.01 11/18/11 DELTA PETROLEUM CORP/CO CO 5.02 11/21/11 DELUXE CORP MN 8.01,9.01 11/22/11 DELUXE CORP MN 8.01,9.01 11/22/11 DELUXE CORP MN 8.01,9.01 11/22/11 DELUXE CORP MN 8.01,9.01 11/22/11 DEVRY INC DE 5.02 11/22/11 DGSE COMPANIES INC NV 5.02,9.01 11/17/11 Discover Card Execution Note Trust DE 8.01 11/22/11 DOLLAR TREE INC VA 1.01,7.01,9.01 11/21/11 Domark International Inc. NV 4.02 11/21/11 Domark International Inc. NV 8.01 11/16/11 AMEND DONALDSON CO INC DE 5.07 11/18/11 DOW CHEMICAL CO /DE/ DE 8.01,9.01 11/22/11 DRAYTON RICHDALE CORP NV 5.02 11/22/11 DSW Inc. OH 2.02,9.01 11/22/11 DUKE REALTY CORP IN 1.01,1.02,2.03,9.01 11/18/11 DUKE REALTY LIMITED PARTNERSHIP/ IN 1.01,1.02,2.03,9.01 11/18/11 DUPONT E I DE NEMOURS & CO DE 5.02,9.01 11/17/11 DYCOM INDUSTRIES INC FL 2.02,7.01,9.01 11/21/11 DYNEGY INC. DE 1.02,3.03 11/17/11 EAGLE ROCK ENERGY PARTNERS L P DE 5.02 11/22/11 EARTHSTONE ENERGY INC DE 2.01,7.01,9.01 11/18/11 EATON VANCE CORP MD 2.02,9.01 10/31/11 EL PASO ELECTRIC CO /TX/ TX 8.01 11/21/11 EMMIS COMMUNICATIONS CORP IN 8.01 11/22/11 ENER1 INC FL 1.01,2.03,9.01 11/16/11 EnviroStar, Inc. DE 1.01,2.03,9.01 11/16/11 ESPEY MFG & ELECTRONICS CORP NY 5.07,8.01,9.01 11/21/11 Expedia, Inc. 8.01,9.01 11/21/11 Federal Home Loan Bank of Atlanta X1 2.03 11/16/11 Federal Home Loan Bank of Boston X1 2.03 11/16/11 Federal Home Loan Bank of Chicago X1 2.03 11/16/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 11/16/11 Federal Home Loan Bank of Dallas 5.02 11/17/11 Federal Home Loan Bank of Dallas 2.03,9.01 11/16/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/18/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/22/11 Federal Home Loan Bank of Indianapoli X1 1.01,9.01 11/21/11 Federal Home Loan Bank of New York X1 2.03,9.01 11/16/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/16/11 Federal Home Loan Bank of San Francis X1 2.03 11/16/11 Federal Home Loan Bank of Seattle 2.03 11/16/11 Federal Home Loan Bank of Seattle 5.02,9.01 11/17/11 Federal Home Loan Bank of Topeka 2.03,9.01 11/16/11 FIFTH THIRD BANCORP OH 8.01,9.01 11/22/11 Financial Engines, Inc. DE 5.02,8.01,9.01 11/18/11 FIRST BANCORP /NC/ NC 8.01,9.01 11/22/11 First Connecticut Bancorp, Inc. MD 8.01,9.01 11/22/11 FIRST MIDWEST BANCORP INC DE 8.01,9.01 11/22/11 FIRST NATIONAL COMMUNITY BANCORP INC PA 5.02,9.01 11/21/11 First Savings Financial Group Inc IN 2.02,9.01 11/18/11 FMC CORP DE 1.01,2.03,8.01,9.01 11/17/11 FMC CORP DE 7.01,9.01 11/22/11 FNB BANCORP/CA/ 8.01,9.01 11/18/11 FREDS INC TN 2.02,9.01 11/22/11 FriendFinder Networks Inc. NV 5.02,9.01 11/18/11 Fuelstream INC DE 5.03,9.01 11/20/11 FUSION-IO, INC. DE 5.07 11/18/11 GALECTIN THERAPEUTICS INC NV 8.01 11/18/11 GENESCO INC TN 2.02,9.01 11/22/11 GeoMet, Inc. DE 1.01,2.01,2.03,7.01, 11/18/11 9.01 GLOBAL AXCESS CORP NV 1.01,7.01,9.01 11/16/11 Global Clean Energy Holdings, Inc. DE 5.02 11/16/11 Global Pharm Holdings Group, Inc. DE 2.02,9.01 11/21/11 GLOBALSCAPE INC DE 8.01 11/22/11 GOLDMAN SACHS GROUP INC DE 9.01 11/22/11 Green Planet Bio Engineering Co. Ltd. 4.01,9.01 11/18/11 Guanwei Recycling Corp. NV 5.07 11/18/11 GULF RESOURCES, INC. DE 8.01,9.01 11/22/11 GYMBOREE CORP DE 2.02,9.01 11/22/11 HARLEYSVILLE GROUP INC DE 8.01 11/08/11 HARMONIC ENERGY, INC. NV 5.01 11/16/11 HENRY JACK & ASSOCIATES INC DE 5.07 11/17/11 HERTZ GLOBAL HOLDINGS INC 5.05,9.01 11/17/11 HITOR GROUP, IN. NV 4.02 10/20/11 AMEND HKN, Inc. DE 2.01,9.01 11/17/11 HORMEL FOODS CORP /DE/ DE 2.02,9.01 11/22/11 Hybred International, Inc. CO 3.02,3.03,5.03 11/22/11 Industrial Income Trust Inc. MD 1.01 11/16/11 INNERWORKINGS INC 5.02,9.01 11/17/11 INSIGNIA SYSTEMS INC/MN MN 8.01 11/22/11 INX Inc DE 8.01,9.01 11/01/11 Jintai Mining Group, Inc. DE 5.02 11/21/11 JOHNSON & JOHNSON NJ 5.02 11/22/11 KANSAS CITY SOUTHERN DE 5.04,9.01 11/22/11 KRANEM CORP CO 1.01,3.02,3.03,5.01, 11/22/11 9.01 L 3 COMMUNICATIONS HOLDINGS INC DE 2.03,8.01,9.01 11/17/11 LANCASTER COLONY CORP OH 5.07,8.01,9.01 11/21/11 LANTRONIX INC DE 5.07 11/16/11 AMEND LEAF Equipment Finance Fund 4, L.P. DE 5.02 11/16/11 LEAF Equipment Leasing Income Fund II DE 5.02 11/16/11 LEASE EQUITY APPRECIATION FUND I LP DE 5.02 11/16/11 Lease Equity Appreciation Fund II, L. DE 5.02 11/16/11 LEHMAN ABS CORP AT&T NOTE BACKED SERI DE 8.01,9.01 11/15/11 LEHMAN ABS CORP BCKD TR CRTS FRD MOT DE 8.01,9.01 11/21/11 LEHMAN ABS CORP CNA FINANCIAL DEBENTU DE 8.01,9.01 11/15/11 LEHMAN ABS CORP SPRINT CAPITAL BACK S DE 8.01,9.01 11/15/11 LEHMAN BROTHERS HOLDINGS INC DE 7.01,9.01 11/22/11 LEXICON PHARMACEUTICALS, INC./DE DE 8.01,9.01 11/22/11 Liberty Global, Inc. DE 7.01 11/21/11 LNB BANCORP INC OH 7.01,9.01 11/22/11 Lone Pine Resources Inc. DE 5.02,7.01,9.01 11/17/11 LRR Energy, L.P. DE 1.01,2.01,2.03,3.02, 11/16/11 5.03,9.01 LTV CORP DE 8.01,9.01 11/17/11 LTX-CREDENCE CORP MA 2.02,9.01 11/22/11 LYRIS, INC. 1.01,8.01,9.01 11/21/11 Main Street Capital CORP MD 1.01,2.03,8.01,9.01 11/21/11 MANNKIND CORP DE 8.01 11/17/11 Marriott Vacations Worldwide Corp DE 1.01,2.01,3.03,5.01, 11/17/11 5.02,5.03,9.01 MEADWESTVACO Corp DE 1.01,8.01,9.01 11/17/11 MEDCATH CORP DE 8.01 11/22/11 MEDTRONIC INC MN 2.02,9.01 11/22/11 Medytox Solutions, Inc. NV 4.01 11/22/11 AMEND MEMC ELECTRONIC MATERIALS INC DE 5.04,9.01 11/22/11 MERIDIAN INTERSTATE BANCORP INC 8.01,9.01 11/16/11 Merriman Holdings, Inc DE 3.02 11/16/11 MGT CAPITAL INVESTMENTS INC DE 8.01 11/21/11 MIDAMERICAN ENERGY CO IA 8.01 11/22/11 MONEYGRAM INTERNATIONAL INC 1.01,2.03,9.01 11/21/11 MOSAIC CO 8.01 11/17/11 MOUNTAIN NATIONAL BANCSHARES INC TN 1.01,9.01 11/16/11 MULTIMEDIA GAMES HOLDING COMPANY, INC TX 7.01,9.01 11/22/11 NETFLIX INC DE 1.01,9.01 11/21/11 NETLIST INC DE 1.01,9.01 11/21/11 NETLOGIC MICROSYSTEMS INC DE 5.07,8.01,9.01 11/22/11 NEW CENTURY BANCORP INC NC 1.01,9.01 11/16/11 NEWS CORP 8.01,9.01 11/21/11 NEWTEK BUSINESS SERVICES, INC. NY 8.01,9.01 11/21/11 NORTHRIM BANCORP INC AK 5.02,9.01 11/17/11 Northumberland Resources, Inc. NV 4.02,9.01 11/21/11 NTS MORTGAGE INCOME FUND DE 1.01,9.01 11/18/11 Nuance Communications, Inc. DE 2.02,9.01 11/22/11 NUGEN HOLDINGS, INC. DE 1.01,9.01 11/14/11 O REILLY AUTOMOTIVE INC 8.01 11/21/11 OBA Financial Services, Inc. MD 5.07,9.01 11/17/11 OCEANEERING INTERNATIONAL INC DE 1.01,9.01 11/22/11 Onstream Media CORP FL 2.02,7.01,9.01 11/22/11 Oritani Financial Corp DE 5.07,9.01 11/22/11 OYO GEOSPACE CORP DE 8.01,9.01 11/22/11 Pandora Media, Inc. DE 2.02,9.01 11/22/11 PAR PHARMACEUTICAL COMPANIES, INC. DE 5.02,9.01 11/22/11 PARK NATIONAL CORP /OH/ OH 8.01 11/22/11 PARTNERRE LTD 8.01,9.01 11/18/11 PATAPSCO BANCORP INC MD 5.07 11/17/11 PAXTON ENERGY INC NV 1.01,2.03,3.02 11/14/11 PAXTON ENERGY INC NV 9.01 11/14/11 AMEND PDF SOLUTIONS INC DE 5.02,9.01 11/16/11 Pegasi Energy Resources Corporation. NV 1.01,3.02,9.01 11/21/11 PEREGRINE PHARMACEUTICALS INC DE 8.01,9.01 11/22/11 PG&E CORP CA 8.01,9.01 11/22/11 Piedmont Office Realty Trust, Inc. MD 1.02 11/17/11 PLAINS EXPLORATION & PRODUCTION CO DE 1.01,2.03,7.01,9.01 11/16/11 PLURISTEM THERAPEUTICS INC NV 7.01,9.01 11/22/11 PMI GROUP INC DE 8.01 11/22/11 PNM RESOURCES INC NM 5.02 11/18/11 Polonia Bancorp 2.02,4.02 11/16/11 PONIARD PHARMACEUTICALS, INC. WA 5.03,5.07,8.01,9.01 11/21/11 POOL CORP DE 8.01,9.01 11/22/11 PostRock Energy Corp DE 5.02 11/17/11 Powder River Coal Corp. FL 3.02 11/22/11 POWER EFFICIENCY CORP DE 8.01,9.01 11/22/11 PRESIDENTIAL LIFE CORP DE 5.02,9.01 11/22/11 AMEND Profit Planners Management, Inc. NV 1.01,5.02,9.01 11/18/11 PROTEONOMIX, INC. DE 8.01 11/22/11 PUGET SOUND ENERGY INC WA 8.01,9.01 11/17/11 QAD INC DE 2.02,9.01 11/22/11 QCR HOLDINGS INC DE 8.01,9.01 11/21/11 Quad/Graphics, Inc. WI 5.02 11/18/11 RadNet, Inc. DE 1.01,2.03,9.01 11/21/11 RAVEN INDUSTRIES INC SD 2.02,9.01 11/22/11 RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 11/22/11 RED MOUNTAIN RESOURCES, INC. FL 1.01,2.03 11/16/11 REDDY ICE HOLDINGS INC DE 8.01,9.01 11/21/11 REGENERON PHARMACEUTICALS INC NY 5.02,9.01 11/22/11 REGENERON PHARMACEUTICALS INC NY 8.01,9.01 11/22/11 AMEND REMEC LIQUIDATING TRUST CA 8.01 11/17/11 RESMED INC DE 5.02,5.03,5.07,9.01 11/16/11 RESOURCE AMERICA, INC. DE 8.01 11/16/11 Resource Capital Corp. MD 8.01 11/16/11 Revett Minerals Inc. A6 8.01,9.01 11/21/11 RICKS CABARET INTERNATIONAL INC TX 1.01,9.01 11/17/11 Riverview Financial Corp PA 8.01,9.01 11/16/11 ROCKWELL MEDICAL TECHNOLOGIES INC MI 5.02,9.01 11/17/11 Santos Resource Corp. NV 5.02 11/16/11 SCHOOL SPECIALTY INC WI 2.02,9.01 11/22/11 Seagate Technology plc L2 7.01,9.01 11/21/11 SHARPS COMPLIANCE CORP DE 5.02,5.07,9.01 11/21/11 SIGNET JEWELERS LTD 2.02 11/22/11 SILVERSTAR MINING CORP. NV 4.01 10/24/11 AMEND Sino Clean Energy Inc NV 5.07 11/18/11 SMTP, Inc. DE 1.01,9.01 11/22/11 SOUTHERN MICHIGAN BANCORP INC MI 7.01,9.01 11/22/11 SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 8.01,9.01 11/22/11 Spansion Inc. DE 3.02 11/22/11 SPIRE Corp MA 1.01,9.01 11/22/11 SS&C Technologies Holdings Inc DE 8.01,9.01 11/18/11 STANLEY BLACK & DECKER, INC. CT 1.01,2.03,9.01 11/17/11 SUPERTEX INC CA 4.01,9.01 11/22/11 SWIFT ENERGY CO 1.01,9.01 11/22/11 SWS GROUP INC DE 5.02,5.07,9.01 11/17/11 TECHNICAL COMMUNICATIONS CORP MA 2.02,5.02,8.01,9.01 11/17/11 TENET HEALTHCARE CORP NV 1.01,2.03,8.01,9.01 11/21/11 TESSCO TECHNOLOGIES INC DE 8.01,9.01 11/22/11 Texas Roadhouse, Inc. DE 5.02,8.01,9.01 11/17/11 TherapeuticsMD, Inc. UT 1.01,2.01,3.02,5.01, 10/04/11 AMEND 5.02,9.01 Thermon Group Holdings, Inc. DE 8.01 11/16/11 TIDEWATER INC DE 8.01,9.01 11/16/11 TIDEWATER INC DE 8.01,9.01 11/21/11 TIVO INC DE 2.02,9.01 11/22/11 TIVO INC DE 8.01 11/22/11 TRAILER BRIDGE INC 1.01,2.02,9.01 11/18/11 TRANSATLANTIC HOLDINGS INC DE 1.01,3.03,8.01,9.01 11/20/11 Travelport LTD D0 8.01 11/21/11 TRIO TECH INTERNATIONAL CA 1.01,2.03 11/16/11 Tropicana Entertainment Inc. DE 5.02 11/16/11 TurkPower Corp DE 1.01,5.02 11/15/11 TWO RIVERS WATER Co CO 7.01 11/22/11 UNIT CORP DE 1.01,9.01 11/21/11 UNITED SECURITY BANCSHARES INC DE 5.02 11/17/11 US AIRWAYS GROUP INC DE 5.02,9.01 11/22/11 VALSPAR CORP DE 2.02,9.01 11/22/11 VERISIGN INC/CA DE 7.01,9.01 11/22/11 VICTORY EAGLE RESOURCES CORP. NV 5.02 11/21/11 WACCAMAW BANKSHARES INC NC 3.01,9.01 11/21/11 WFRBS Commercial Mortgage Trust 2011- NC 8.01,9.01 11/22/11 WHITE MOUNTAINS INSURANCE GROUP LTD D0 5.02 11/16/11 WHITE SMILE GLOBAL, INC. NV 1.01,9.01 11/10/11 WILLIAMS COMPANIES INC DE 8.01,9.01 11/21/11 WINDSTREAM CORP DE 1.01,2.03,8.01,9.01 11/22/11 WORLD FUEL SERVICES CORP FL 7.01,9.01 11/22/11 YORK WATER CO PA 8.01 11/22/11
http://www.sec.gov/news/digest/2011/dig112311.htm
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