SEC News Digest, December 14, 2011

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Enforcement Proceedings

Longtop Financial Technologies Limited

An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default (Default Order) in Longtop Financial Technologies Limited, Admin. Proc. No. 3-14622. The Order Instituting Proceedings alleged that Respondent failed to file an annual report on Form 20-F for the year ended March 31, 2011, and that it failed to provide the investing public with annual reports for 2008, 2009, and 2010, containing audited financial statements while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of registered securities of Longtop Financial Technologies Limited, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-65948; File No. 3-14622)

Commission Declares Decision as to Lodavina Grosnickle Final

The decision of an administrative law judge barring Lodavina Grosnickle from association with a broker, dealer, investment adviser, municipal securities dealer, NRSRO, and transfer agent, and from participating in a penny stock offering, has become final. The law judge noted that on

May 9, 2011, the United States District Court for the Central District of California entered a Final Judgment permanently enjoining Grosnickle from violating Sections 10(b) and 15(a) of the Securities Exchange Act of 1934, Exchange Act Rule 10b-5 thereunder, and Section 17(a) of the Securities Act of 1933. SEC v. TG Capital LLC, et al., Civil Action Number 8:07-cv-00579-CJC-AN. The Final Judgment imposed a third tier civil penalty of $130,000 and ordered disgorgement in the amount of $216,355.93.

Grosnickle was the co-founder and vice president of TG Capital LLC, a Nevada limited liability company formed in February 2007, with registered business addresses in Irvine, California, and Las Vegas, Nevada. The court found, that between the months of February and April 2007, Grosnickle, along with a co-conspirator, knowingly assisted in the dissemination of forged documents, misrepresented material facts and diverted approximately $3.78 million of investor funds for their personal use. The court further noted that Grosnickle’s misconduct was egregious, recurrent, and involved a high degree of scienter. (Rel. 34-65949; File No. 3-14408)

In the Matter of Kempisty & Company, CPAs, P.C., Philip C. Kempisty, CPA, and John Anthony Rubino, CPA

On December 14, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e)(1)(ii) and (iii) of the Commission’s Rules of Practice against Kempisty & Company, Certified Public Accountants, P.C.(Kempisty & Company), Philip C. Kempisty, CPA (Kempisty) and John Anthony Rubino, CPA (Rubino). The Order finds that Kempisty & Company, Kempisty and Rubino willfully aided and abetted and caused Kentucky Energy, Inc.’s violations of Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act), and Rules 13a-1, 13a-13 and 12b-20 thereunder. The Order also finds that Kempisty & Company, Kempisty and Rubino engaged in improper professional conduct pursuant to Section 4C(a)(2) of the Exchange Act and Rule 102(e)(1)(ii) of the Commission’s Rules of Practice.

Based on the above, the Order orders Kempisty & Company, Kempisty and Rubino to cease and desist from committing or causing any violations and any future violations of Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1 and13a-13 promulgated thereunder. The Order also denies Kempisty & Company, Kempisty and Rubino the privilege of appearing or practicing before the Commission as an accountant. After one year from the date of the Order, Kempisty may request that the Commission consider his reinstatement. After three years from the date of the Order, Rubino may request that the Commission consider his reinstatement.

Kempisty & Company, Kempisty and Rubino consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-65950; AAE Rel. 3344; File No. 3-14339)

In the Matter of Steven R. Long and Stanley M. Paulic

On December 14, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) and Notice of Hearing (Order) against Steven R. Long and Stanley M. Paulic (Respondents).

The Order finds that on November 23, 2011, a final judgment was entered by consent against Respondents permanently enjoining them from future violations of the antifraud and registration provisions of the federal securities laws in United States Securities and Exchange Commission v. Integrity Financial AZ, LLC, et al., Civil Action No. 1:10-CV-00782, filed in the United States District Court for the Northern District of Ohio. The Commission’s complaint in that action alleged that Long, who is based in Mather, California, and Paulic, who is based in Aurora, Ohio, co-founded, co-owned, and served as officers of Integrity Financial AZ, LLC, and, in their roles, offered and sold unregistered securities in the form of promissory notes purportedly secured by real estate in Arizona. The complaint further alleged that Long, Paulic and the other defendants made multiple fraudulent misrepresentations and omissions regarding the company’s performance, status and personnel, the use and handling of investors’ funds, and the security of the investments.

Based on the above, the Commission deems it necessary and appropriate in the public interest that administrative proceedings be instituted to determine whether the allegations set forth in the Order are true and, in connection therewith, to afford Respondents an opportunity to establish any defenses to such allegations, and to determine what, if any, remedial action is appropriate in the public interest against Respondents pursuant to Section 15(b) of the Exchange Act.

A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Respondents Long and Paulic an opportunity to respond to these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. As directed by the Commission, an administrative law judge shall issue an initial decision in this matter no later than 210 days from the date of service of the Order Instituting Proceedings. (Rel. 34-65951; File No. 3-14662; 34-65952; File No. 3-14663)

Commission Decision as to Dale St. Jean Declared Final

The Commission has barred Dale St. Jean from association with any investment adviser, broker, dealer, municipal securities dealer, and transfer agent. Administrative proceedings were instituted based on the June 30, 2011 district court order permanently enjoining St. Jean, by default, from violating Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and from violating Sections 206(1), 206(2), and 206(4) of the Advisers Act and Rule 206(4)-8 thereunder. SEC v. St. Jean, 8:10-cv-02859-JDW-MAP (M.D. FL

June 30, 2011). The final judgment ordered that St. Jean pay a civil money penalty and disgorge approximately $1.6 million in illicit profits, plus prejudgment interest.

The injunctive complaint alleges that between April 2008 and July 2009, while acting as an investment adviser to two hedge funds, Arcanum Equity Fund, LLC and Vestium Equity Fund, LLC (the Funds), St. Jean repeatedly breached his fiduciary duty to investors by selecting and approving investments in which he had a financial interest, and accepting performance-based compensation when he knew, or should have known, that the Funds were not profitable. St. James, along with others, misappropriated $34 million in capital raised for the Funds.

The law judge found that St. Jean’s actions were egregious and recurring. The law judge further noted that St. Jean has not recognized the wrongful nature of his conduct; and, without an associational bar, there is the likelihood that he would commit future violations. (Rel. IA-3334; File No. 3-14472)

Investment company act releases

American Century Strategic Asset Allocation, Inc., et al.

A notice has been issued giving interested persons until January 9, 2011 to request a hearing on an application filed by American Century Strategic Asset Allocation, Inc., et al., for an order under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Rule 12d1-2(a) under the Act. The order would permit open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29883 – December 13)

Self-Regulatory Organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by the C2 Options Exchange, Incorporated related to a complex order auction feature (SR-C2-2011-039) 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 December 12. (Rel. 34-65938)

A proposed rule change filed by the Chicago Board Options Exchange, Incorporated related to a complex order auction feature (SR-CBOE-2011-119) 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 December 12. (Rel. 34-65939)

A proposed rule change filed by NYSE Amex LLC (SR-NYSEAmex-2011-95) amending the NYSE Amex Options Fee Schedule 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 December 12. (Rel. 34-65943)

Approval of Proposed Rule Change

The Commission approved a proposed rule change (SR-FINRA-2011-062) filed by the Financial Industry Regulatory Authority, Inc. pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to repeal incorporated NYSE Rule 2A (Jurisdiction). Publication is expected in the Federal Register during the week of December 12. (Rel. 34-65944)

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-1     Northern Tier Energy, Inc., 38C GROVE STREET, SUITE 100, RIDGEFIELD, 
        CT, 06877, (203) 244-6550 - 0 ($200,000,000.00) Equity, 
        (File 333-178457 - Dec. 13) (BR. 04)

S-4     Northern Tier Energy LLC, 38C GROVE STREET, STE. 100, RIDGEFIELD, CT, 
        06877, (203) 244-6550 - 0 ($290,000,000.00) Non-Convertible Debt, 
        (File 333-178458 - Dec. 13) (BR. 04)

S-8     SavWatt USA, Inc., 6801 EASTERN AVENUE, SUITE 203, BALTIMORE, MD, 
        21224, 866 641 3507 - 250,000,000 ($225,000.00) Equity, 
        (File 333-178459 - Dec. 13) (BR. 06B)

S-3ASR  OLIN CORP, OLIN CORP, 190 CARONDELET PLAZA SUITE 1530, CLAYTON, MO, 
        63105, 3144801400 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-178460 - Dec. 13) (BR. 06C)

S-1     SKOOKUM SAFETY SOLUTIONS CORP., 1017 5TH STREET SE, HIGH RIVER, A0, 
        T1V 1J2, 866-279-7880 - 300,000 ($30,000.00) Equity, (File 333-178464 - 
        Dec. 13) (BR. 09)

S-8     Rhino Productions, Inc., 16887 NW KING RICHARD COURT, SHERWOOD, OR, 
        97140, 925-234-1783 - 1,200,000 ($237,000.00) Equity, 
        (File 333-178465 - Dec. 13) (BR. 04B)

S-1     Tumi Holdings, Inc., 1001 DURHAM AVE., SOUTH PLAINFIELD, NJ, 07080, 
        908-756-4400 - 0 ($300,000,000.00) Equity, (File 333-178466 - Dec. 13) 
        (BR. 09)

S-8     AVIAT NETWORKS, INC., 5200 GREAT AMERICA PARKWAY, SANTA CLARA, CA, 
        95054, 408-567-7000 - 6,000,000 ($10,500,000.00) Equity, 
        (File 333-178467 - Dec. 13) (BR. 11C)

S-8     PROSPER MARKETPLACE INC, 111 SUTTER STREET, 22ND FLOOR, SAN FRANCISCO, 
        CA, 94104, 415-593-5400 - 1,000,000 ($120,000.00) Equity, 
        (File 333-178468 - Dec. 13) (BR. 07C)

S-4     CLAYTON WILLIAMS ENERGY INC /DE, SIX DESTA DR, STE 6500, MIDLAND, TX, 
        79705, 9156826324 - 0 ($350,000,000.00) Debt, (File 333-178470 - 
        Dec. 13) (BR. 04A)

S-1     iVoiceIdeas, Inc., 9600 GREAT HILLS TRAIL, SUITE 150W, AUSTIN, TX, 
        78759, 512-637-1330 - 0 ($500,000.00) Equity, (File 333-178471 - 
        Dec. 13) (BR. )

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

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

1 800 FLOWERS COM INC                   DE       5.07                 12/12/11

ACACIA RESEARCH CORP                    DE       8.01                 12/06/11

Aegerion Pharmaceuticals, Inc.          DE       5.02,9.01            12/07/11

AEROSONIC CORP /DE/                     DE       2.02,9.01            12/12/11

AeroVironment Inc                       DE       5.02                 12/11/11

AGILYSYS INC                            OH       4.01,9.01            12/09/11

AGL RESOURCES INC                       GA       5.03,8.01,9.01       12/07/11

ALBEMARLE CORP                          VA       5.02,9.01            12/07/11

Aleris International, Inc.              DE       5.02                 12/07/11

Alexza Pharmaceuticals Inc.             DE       8.01,9.01            12/13/11

ALLETE INC                              MN       7.01                 12/13/11

ALLIANCEBERNSTEIN HOLDING L.P.          DE       7.01,9.01            12/12/11

ALLIANCEBERNSTEIN L.P.                  DE       7.01,9.01            12/12/11

Alpha Lujo, Inc.                        NY       5.02,9.01            07/14/11

AlumiFuel Power Corp                    NV       5.03,9.01            12/07/11

AMERCO /NV/                             NV       8.01,9.01            12/07/11

AMERICAN GREETINGS CORP                 OH       5.02                 12/08/11

AMERICAN LOCKER GROUP INC               DE       5.02                 12/05/11

AMERICAN MEDICAL ALERT CORP             NY       8.01,9.01            12/12/11

American Realty Capital Properties, I   MD       2.01,9.01            12/12/11

American Strategic Minerals Corp        NV       4.01,9.01            12/09/11

AMERICAN WOODMARK CORP                  VA       2.05,2.06,9.01       12/12/11

AMERICAS ENERGY Co - AECO               NV       1.01,1.03,9.01       11/07/11

Amwest Imaging Inc                      NV       5.02                 12/12/11

ANIXTER INTERNATIONAL INC               DE       5.02                 12/08/11

APOLLO GROUP INC                        AZ       8.01                 12/12/11

APOLLO GROUP INC                        AZ       5.02                 12/07/11

Apple REIT Ten, Inc.                    VA       1.01                 12/08/11

Arcis Resources Corp                    NV       5.03,9.01            12/12/11

Arcland Energy Corp                     UT       7.01,8.01,9.01       11/16/11

Armour Residential REIT, Inc.           MD       1.01,8.01,9.01       12/07/11

ARRIS GROUP INC                         DE       5.02,9.01            12/12/11

ASIAINFO-LINKAGE, INC                   DE       5.02,9.01            12/07/11

ASSURED GUARANTY LTD                    D0       7.01                 12/13/11

Atlas Energy, L.P.                      DE       5.03,9.01            12/12/11

ATLAS PIPELINE PARTNERS LP              DE       5.03,9.01            12/12/11

AUXILIUM PHARMACEUTICALS INC                     7.01,9.01            12/13/11

AVI BIOPHARMA INC                       OR       2.05                 12/09/11

AVON PRODUCTS INC                       NY       5.02                 12/13/11

BAXTER INTERNATIONAL INC                DE       8.01,9.01            12/13/11

BEACON ENTERPRISE SOLUTIONS GROUP INC   NV       7.01,9.01            12/12/11

Behringer Harvard Opportunity REIT II   MD       1.01                 12/07/11

BEST BUY CO INC                         MN       2.02,9.01            12/13/11

BHM Discretionary Futures Fund L.P.     DE       5.02                 12/06/11

BIO-PATH HOLDINGS INC                   UT       8.01,9.01            12/13/11

BioDrain Medical, Inc.                  MN       5.02                 12/13/11

BIOVEST INTERNATIONAL INC               DE       7.01,9.01            12/13/11

Black Tusk Minerals Inc.                NV       7.01,9.01            12/08/11

BORGWARNER INC                          DE       7.01,8.01            12/12/11

BUCKLE INC                              NE       8.01,9.01            12/13/11

Bunge LTD                                        8.01                 12/07/11

Burlington Coat Factory Investments H            7.01,9.01            12/13/11

CABOT MICROELECTRONICS CORP             DE       8.01,9.01            12/13/11

Carbon Natural Gas Co                   DE       1.01,5.02,5.07,9.01  12/07/10

CASTLE A M & CO                         MD       8.01,9.01            12/13/11

Cavico Corp                                      5.02                 09/01/11

CENTER BANCORP INC                      NJ       1.01,8.01,9.01       12/07/11

CFCRE Commercial Mortgage Trust 2011-   DE       8.01,9.01            12/13/11

CHARMING SHOPPES INC                    PA       7.01,9.01            12/13/11

CHARMING SHOPPES INC                    PA       5.02                 12/09/11

CHENIERE ENERGY INC                     DE       7.01,9.01            12/13/11

CHESAPEAKE UTILITIES CORP               DE       8.01                 12/06/11

China Liaoning Dingxu Ecological Agri   NV       5.03                 12/12/11

China Liaoning Dingxu Ecological Agri   NV       4.01,9.01            12/06/11

China Liaoning Dingxu Ecological Agri   NV       1.01,2.01,3.02,5.06, 12/12/11
                                                 9.01
          
China Pharmaceuticals Inc               NV       8.01                 12/07/11

CIGNA CORP                              DE       5.02,9.01            12/09/11

CLAYTON WILLIAMS ENERGY INC /DE         DE       8.01,9.01            12/13/11

Clearwire Corp /DE                      DE       1.01,5.07,8.01,9.01  12/07/11

CLIFFS NATURAL RESOURCES INC.           OH       8.01                 12/09/11

COHERENT INC                            DE       5.02,8.01            12/09/11

COLE REAL ESTATE INCOME STRATEGY (DAI   MD       1.01,2.01,2.03,8.01, 12/08/11
                                                 9.01
          
CONSOLIDATED GRAPHICS INC /TX/          TX       7.01                 12/13/11

COOPER TIRE & RUBBER CO                 DE       5.02,8.01,9.01       12/08/11

Coronado Corp.                          NV       1.01,9.01            12/08/11

CoroWare, Inc,                          DE       4.01                 11/09/11    AMEND

CORRECTIONS CORP OF AMERICA             MD       5.02,7.01,9.01       12/13/11

Covidien plc                                     5.02                 12/09/11

CREDIT ONE FINANCIAL INC                FL       5.02                 12/12/11

CURTISS WRIGHT CORP                     DE       8.01,9.01            12/09/11

CVR ENERGY INC                          DE       7.01,9.01            12/09/11

CYPRESS SEMICONDUCTOR CORP /DE/         DE       8.01,9.01            12/08/11

DELTA NATURAL GAS CO INC                KY       9.01                 12/08/11

DEVRY INC                               DE       8.01                 12/12/11

Digital Realty Trust, Inc.                       7.01,9.01            12/13/11

DIODES INC /DEL/                        DE       7.01,9.01            12/08/11

Douglas Lake Minerals Inc.              NV       5.02                 12/12/11

DTE ENERGY CO                           MI       7.01,9.01            12/13/11

DUNKIN' BRANDS GROUP, INC.              DE       7.01,9.01            12/12/11

DYNEX CAPITAL INC                       VA       7.01,9.01            12/13/11

EARTHSTONE ENERGY INC                   DE       8.01,9.01            12/13/11

EASTMAN CHEMICAL CO                     DE       1.01,1.02,2.03,9.01  12/07/11

ELLIE MAE INC                           DE       1.01,9.01            12/12/11

EMPIRE RESORTS INC                      DE       5.07,9.01            12/13/11

ENCORE CAPITAL GROUP INC                DE       5.02,9.01            12/07/11

ENDOCYTE INC                            DE       7.01,9.01            12/13/11

EnteroMedics Inc                                 8.01,9.01            12/13/11

ENTERPRISE PRODUCTS PARTNERS L P        DE       7.01,8.01,9.01       12/08/11

ENVESTNET, INC.                         DE       2.01,8.01,9.01       12/09/11

EPOCRATES INC                           DE       5.02                 12/07/11

EXPRESS SCRIPTS INC                     DE       8.01                 12/13/11

FACTSET RESEARCH SYSTEMS INC            DE       2.02,9.01            12/13/11

FBL FINANCIAL GROUP INC                 IA       5.02                 12/08/11

Federal Home Loan Bank of Atlanta       X1       2.03                 12/13/11

Federal Home Loan Bank of Boston        X1       2.03                 12/07/11

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            12/07/11

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            12/09/11

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            12/13/11

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            12/07/11

Federal Home Loan Bank of San Francis   X1       2.03                 12/07/11

Federal Home Loan Bank of Topeka                 2.03,9.01            12/07/11

Fibrocell Science, Inc.                 DE       8.01                 12/13/11

FIRST BANCORP /PR/                      PR       5.07                 12/09/11

FIRST INTERSTATE BANCSYSTEM INC         MT       8.01,9.01            12/13/11

FIRST NIAGARA FINANCIAL GROUP INC       DE       8.01,9.01            12/13/11

FIRST QUANTUM VENTURES INC              NV       8.01                 12/13/11

First Trinity Financial CORP                     1.01,5.02,9.01       12/08/11

FLEETCOR TECHNOLOGIES INC               DE       1.01,2.01,7.01,9.01  12/13/11

Forbes Energy Services Ltd.             D0       1.01,9.01            12/08/11

FOREST OIL CORP                         NY       7.01,9.01            12/12/11

FORMFACTOR INC                          DE       2.02,8.01,9.01       12/13/11

Furiex Pharmaceuticals, Inc.            DE       8.01,9.01            12/08/11

GARTNER INC                             DE       1.01,9.01            12/12/11

GateHouse Media, Inc.                   DE       8.01,9.01            12/08/11

Genesis Biopharma, Inc                  NV       9.01                 10/05/11    AMEND

GENVEC INC                              DE       5.02,9.01            12/07/11

GigOptix, Inc.                          DE       1.01,2.03,8.01,9.01  12/09/11

GILEAD SCIENCES INC                     DE       1.01,2.03,9.01       12/13/11

Global Income Trust, Inc.               MD       9.01                 10/27/11    AMEND

GLOBE SPECIALTY METALS INC                       5.02                 12/08/11

GMX RESOURCES INC                       OK       1.01,1.02,8.01,9.01  12/08/11

GOLDFIELD CORP                          DE       5.02                 12/08/11

GOOD SAM ENTERPRISES, LLC               DE       5.02                 12/08/11

GRAN TIERRA ENERGY, INC.                NV       1.02                 12/06/11

GREATBATCH, INC.                        DE       1.01,8.01,9.01       12/09/11

GREEN ENERGY GROUP INC.                 FL       4.01,9.01            12/13/11    AMEND

GREIF INC                               DE       2.02,7.01,8.01,9.01  12/07/11

Griffin Capital Net Lease REIT, Inc.             7.01,9.01            12/13/11

Grubb & Ellis Healthcare REIT II, Inc   MD       8.01                 12/09/11

HARMAN INTERNATIONAL INDUSTRIES INC /   DE       5.02,5.03,5.07,9.01  12/07/11

HECLA MINING CO/DE/                     DE       1.01,3.02,9.01       12/12/11

HOME PROPERTIES INC                     MD       1.01,2.03,9.01       12/09/11

Horizon Lines, Inc.                              1.01,5.03,8.01,9.01  12/07/11

Horsehead Holding Corp                           8.01                 12/13/11

HOST HOTELS & RESORTS, INC.             MD       8.01                 12/13/11

HUNTINGTON BANCSHARES INC/MD            MD       8.01,9.01            12/13/11

IASIS Healthcare LLC                    DE       8.01,9.01            12/13/11

iBio, Inc.                              DE       5.07                 12/08/11

Infrared Systems International          NV       4.02                 12/01/11    AMEND

INGLES MARKETS INC                      NC       5.02                 12/13/11

INSIGNIA SYSTEMS INC/MN                 MN       8.01                 12/08/11

INTEVAC INC                             CA       5.02                 12/09/11

INTL FCSTONE INC.                       DE       2.02,7.01,9.01       12/13/11

Intrepid Potash, Inc.                   DE       1.01,9.01            12/09/11

INUVO, INC.                             NV       7.01,9.01            12/13/11

Invesco Ltd.                            D0       7.01,9.01            12/12/11

Invesco Mortgage Capital Inc.           MD       8.01,9.01            12/13/11

James River Coal CO                     VA       8.01                 12/09/11

JOHNSON & JOHNSON                       NJ       8.01                 12/12/11

KENSEY NASH CORP                        DE       5.02,5.07,9.01       12/07/11

LaSalle Hotel Properties                MD       5.02                 12/08/11

LEARNING TREE INTERNATIONAL INC         DE       2.02,9.01            12/13/11

LEFT BEHIND GAMES INC.                  WA       7.01,9.01            12/13/11

LIVEDEAL INC                            NV       8.01                 12/12/11

LUFKIN INDUSTRIES INC                   TX       1.01,2.01,2.03,7.01, 11/30/11    AMEND
                                                 9.01
          
LV Futures Fund L.P.                    DE       5.02                 12/06/11

MAGELLAN HEALTH SERVICES INC            DE       1.01,2.03,8.01,9.01  12/09/11

MANAGED FUTURES CHARTER GRAHAM L.P.     DE       5.02                 12/06/11

MARCHEX INC                             DE       7.01                 12/09/11

MARTHA STEWART LIVING OMNIMEDIA INC     DE       9.01                 12/12/11    AMEND

MEDCATH CORP                            DE       8.01,9.01            11/30/11

MEDIA TECHNOLOGIES, INC.                NV       3.02                 07/28/11

Meritage Futures Fund L.P.              DE       5.02                 12/06/11

Mindesta Inc.                           DE       8.01,9.01            12/13/11

MORGAN STANLEY                          DE       8.01,9.01            12/13/11

MS STRUCTURED SATURNS SERIES 2002-11    DE       8.01,9.01            12/01/11

MusclePharm Corp                        NV       1.01,2.03,3.02,9.01  10/15/11

NASB FINANCIAL INC                      MO       2.02,9.01            12/13/11

NAVISTAR INTERNATIONAL CORP             DE       7.01                 12/13/11

Neutral Tandem Inc                               8.01                 12/13/11

NEW ENERGY SYSTEMS GROUP                NV       8.01                 12/07/11

NEW ENERGY TECHNOLOGIES, INC.                    5.02,7.01            12/08/11

NEW ENERGY TECHNOLOGIES, INC.                    7.01,9.01            12/12/11

NEWPORT CORP                            NV       7.01                 12/13/11

NEWPORT CORP                            NV       7.01                 12/09/11

NEWS CORP                                        8.01,9.01            12/13/11

NEXTERA ENERGY INC                      FL       8.01,9.01            12/13/11

NORTHLAND CABLE PROPERTIES EIGHT LIMI   WA       1.02,7.01,9.01       12/13/11

NOVAGEN SOLAR INC.                      NV       5.02                 12/07/11

NPC INTERNATIONAL INC                   KS       1.01,7.01,9.01       12/13/11

NSTAR/MA                                         5.07                 12/13/11

NTS REALTY HOLDINGS LP                  DE       8.01,9.01            12/13/11

OIL DRI CORP OF AMERICA                 DE       5.07,8.01,9.01       12/13/11

Otter Tail Corp                         MN       1.01,9.01            12/12/11

OXYGEN BIOTHERAPEUTICS, INC.            DE       9.01                 12/08/11    AMEND

PAID INC                                DE       1.01,2.03,3.02       12/07/11    AMEND

PANTRY INC                              DE       2.02,9.01            12/13/11

PEPSICO INC                             NC       5.02,9.01            12/12/11

PFIZER INC                              DE       5.02,8.01,9.01       12/12/11

PHARMATHENE, INC                        DE       5.02,5.07            12/07/11

PILGRIMS PRIDE CORP                     DE       1.01,3.03            12/13/11

PINNACLE AIRLINES CORP                  DE       5.02                 12/08/11

PLUMAS BANCORP                          CA       5.04                 12/13/11

Polaris Futures Fund L.P.               DE       5.02                 12/06/11

PREMIER ALLIANCE GROUP, INC.            NV       5.02                 12/12/11

PRIME GLOBAL CAPITAL GROUP Inc          NV       8.01,9.01            12/08/11

Prologis, Inc.                          MD       5.02,9.01            12/08/11

Protalix BioTherapeutics, Inc.          FL       7.01,9.01            12/13/11

PUMA BIOTECHNOLOGY, INC.                DE       1.01,9.01            12/07/11

Quanex Building Products CORP           DE       7.01,9.01            12/12/11

RANGE RESOURCES CORP                    DE       5.02,9.01            12/08/11

Regency Resources, Inc.                 NV       8.01                 12/12/11

Regeneca, Inc.                          NV       5.02                 12/08/11

RPC INC                                 DE       8.01,9.01            12/13/11

Ryerson Holding Corp                    DE       8.01,9.01            12/09/11

RYERSON INC.                            DE       8.01,9.01            12/09/11

Santander Holdings USA, Inc.            PA       8.01,9.01            12/13/11

Scio Diamond Technology Corp            NV       5.02                 12/08/11

SCRIPPS E W CO /DE                      OH       1.01,9.01            12/09/11

SEALY CORP                              DE       5.02,9.01            12/12/11

SHAW GROUP INC                          LA       5.02                 12/12/11

SILVER BULL RESOURCES, INC.             NV       8.01,9.01            12/13/11

SM Energy Co                            DE       7.01,9.01            12/12/11

Smart Kids Group Inc.                   FL       3.03,5.03,9.01       12/12/11

SMITH A O CORP                          DE       5.02,9.01            12/12/11

Sono Resources, Inc.                    NV       7.01,9.01            12/13/11

STR HOLDINGS, INC.                      DE       5.02,9.01            12/07/11

STR HOLDINGS, INC.                      DE       5.07                 05/24/11    AMEND

STRATEGIC AMERICAN OIL CORP             NV       7.01,9.01            12/13/11

STRATEGIC DIAGNOSTICS INC/DE/           DE       1.01,2.01,9.01       12/08/11

STRATTEC SECURITY CORP                  WI       7.01,9.01            12/13/11

STUDIO II BRANDS INC                    FL       1.01,2.01,3.02,4.02, 02/10/11    AMEND
                                                 5.02,9.01
     
SUN HEALTHCARE GROUP INC                DE       1.01,9.01            12/13/11

SYNERGY PHARMACEUTICALS, INC.           FL       7.01,9.01            12/13/11

SYNOVIS LIFE TECHNOLOGIES  INC          MN       1.01,3.03,8.01,9.01  12/12/11

TECHNEST HOLDINGS INC                   NV       1.01,9.01            12/07/11

TEREX CORP                              DE       5.03,9.01            12/08/11

THERMOENERGY CORP                       DE       5.02                 12/13/11

Tongli Pharmaceuticals (USA), Inc.      DE       5.02                 12/12/11

TOR MINERALS INTERNATIONAL INC          DE       8.01                 12/13/11

TOYS R US INC                           DE       7.01,9.01            12/13/11

TPG Specialty Lending, Inc.             DE       1.01,5.07,9.01       12/12/11

TRINITY INDUSTRIES INC                  DE       5.02                 12/07/11

U S GOLD CORP                           CO       7.01,9.01            12/13/11

U S PHYSICAL THERAPY INC /NV            NV       7.01,9.01            12/13/11

U S PRECIOUS METALS INC                 DE       1.01,7.01,9.01       11/29/11

UNIGENE LABORATORIES INC                DE       8.01                 12/13/11

UNIVERSAL TECHNICAL INSTITUTE INC       DE       8.01                 12/12/11

URANIUM ENERGY CORP                     NV       7.01,9.01            12/13/11

US BANCORP \DE\                         DE       5.02,8.01,9.01       12/13/11

VALASSIS COMMUNICATIONS INC             DE       7.01,9.01            12/13/11

VALMONT INDUSTRIES INC                  DE       5.02,9.01            12/13/11

VERISIGN INC/CA                         DE       5.02                 12/07/11

Vishay Precision Group, Inc.            DE       5.02,9.01            12/08/11

WaferGen Bio-systems, Inc.              NV       7.01,9.01            12/08/11

WARNACO GROUP INC /DE/                  DE       5.02,7.01,9.01       12/13/11

WPX ENERGY, INC.                        DE       5.02                 12/11/11

Xun Energy, Inc.                        NV       8.01                 12/13/11

ZIX CORP                                TX       5.02                 12/06/11

ZIX CORP                                TX       5.05                 12/06/11

Zurvita Holdings, Inc.                  DE       1.01,3.02            12/06/11

http://www.sec.gov/news/digest/2011/dig121411.htm

SEC News Digest