 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
Commission announcementsFormer Banco Santander Analyst Agrees to Settle Insider Trading ChargesOn April 25, 2011, the Securities and Exchange Commission announced that former Banco Santander S.A. analyst Juan Jose Fernandez Garcia of Madrid, Spain, has agreed to pay more than $625,000 to settle insider trading charges against him. The SEC accused Garcia in August 2010 of illegally trading in advance of a corporate takeover by a company that Santander advised. The settlement with Garcia requires the approval of U.S. District Judge Marvin J. Aspen in the Northern District of Illinois. “This concludes our emergency action against Garcia and demonstrates that the Commission will act swiftly to prevent foreign citizens who commit fraud in the U.S. securities markets from reaping the profits of their illegal activity,” said Daniel M. Hawke, Chief of the Enforcement Division’s Market Abuse Unit. The SEC filed an emergency court action on Aug. 20, 2010, against Garcia and another trader in Spain and obtained an ex parte temporary restraining order and asset freeze over the funds held in Garcia’s brokerage account at Interactive Brokers LLC. The SEC alleged that Garcia just days earlier had traded on the basis of material, nonpublic information about a multi-billion dollar cash tender offer by BHP Billiton Plc to acquire Potash Corp. of Saskatchewan Inc. At the time, Garcia was the head of a research arm at Santander, a Spanish banking group advising BHP on its bid. Garcia purchased 282 call option contracts for Potash stock in the days leading up to the public announcement, and immediately sold all of his options following the announcement for illicit profits of $576,033. Without admitting or denying the SEC’s allegations, Garcia agreed to the entry of a final judgment permanently enjoining him from future violations of Sections 10(b) and 14(e) of the Exchange Act and Exchange Act Rules 10b-5 and 14e-3, and ordering him to pay disgorgement of $576,033 and a penalty of $50,000. The SEC’s charges against the other trader, Luis Martin Caro Sanchez, remain pending. For more information about this enforcement action, contact: Daniel M. Hawke, Chief, Market Abuse Unit, SEC Enforcement Division, (267) 226-7081; Timothy L. Warren, Associate Regional Director, Chicago Regional Office, (312) 353-7394; or Kathryn A. Pyszka, Assistant Director in SEC’s Chicago Regional Office and Market Abuse Unit, (312) 353-7416. (Press Rel. 2011-98) Enforcement proceedingsSecurities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Eight Public Companies for Failure to Make Required Periodic FilingsToday the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of eight companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the eight issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 or 13a-16 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64339; File No. 3-14356) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Twelve Public Companies for Failure to Make Required Periodic FilingsToday the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of twelve companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the twelve issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64340; File No. 3-14357) Court Enters Final Judgment Against FLIR Systems, Inc. Former CEOThe U.S. Securities and Exchange Commission announced today that on April 14, 2011, the United States District Court for the District of Oregon entered a Final Judgment against J. Kenneth Stringer III in a pending civil action. The Final Judgment enjoins Stringer from violations of Sections 17(a)(2) and (a)(3) of the Securities Act of 1933 and Rules 13b2-1 and 13b2-2 of the Securities Exchange Act of 1934. In addition, the Court ordered Stringer to pay a civil penalty of $90,000 and permanently barred him from serving as an officer or director of a reporting company. The Commission filed its complaint against Stringer on Sept. 30, 2002; however, that litigation was stayed until Sept. 3, 2010, following the resolution of the criminal action against Stringer. According to the Commission’s Complaint, FLIR Systems Inc.’s year-end 1998 and quarterly 1999 earnings releases, periodic filings, and registration statements materially overstated earnings. The Complaint alleges that FLIR’s misstatements were the result of numerous improper revenue recognition practices carried out by Stringer and other FLIR executives. The Commission also alleged that Stringer signed a false management representation letter to FLIR’s independent auditor during the 1998 audit. The entry of Final Judgment against Stringer concludes this litigation. [SEC v. J. Kenneth Stringer III, et al., Civil Action No. CV 02-1341 ST District of Oregon] (LR-21948) Investment company act releasesJackson National Life Insurance Company, et al.An order has been issued pursuant to Section 6(c) of the Investment Company Act to Jackson National Life Insurance Company (Jackson), Jackson National Separate Account - I, Jackson National Life Insurance Company of New York (JNLNY), JNLNY Separate Account I, and Jackson National Life Distributors LLC, granting exemptions from the provisions of Sections 2(a)(32), 22(c), and 27(i)(2)(A) of the Act and Rule 22c-1 thereunder, to the extent necessary to permit recapture under specified circumstances of certain contract enhancements applied to purchase payments made under deferred variable annuity contracts issued and to be issued by Jackson and JNLNY. (Rel. IC-29658 - April 25) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by The NASDAQ Stock Market relating to the $2.50 Strike Price Program (SR-NASDAQ-2011-057) 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 April 25. (Rel. 34-64326) Approval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change, as modified by Amendment No. 1, submitted by NASDAQ OMX PHLX (SR-PHLX-2011-13) pursuant to Section 19(b)(1) and Rule 19b-4 under the Securities Exchange Act of 1934 relating to amendments to NASDAQ OMX PHLX LLC’s Limited Liability Company Agreement, By-Laws, Rules, Advices and Regulations. Publication is expected in the Federal Register during the week of April 25. (Rel. 34-64338) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-1 Teucrium Commodity Trust, 232 HIDDEN LAKE ROAD, BRATTLEBORO, VT, 05301,
802-257-1617 - 100,000 ($5,000,000.00) Equity, (File 333-173691 -
Apr. 25) (BR. 08C)
S-1 Nepia Inc., TIAN BEI W. RD.,YUNG GUANG TIAN DI MING,,
XING GE, UNIT 1503, SHENZHEN, F4, XXXXX, XXXXXXXXXX -
720,000 ($21,600.00) Equity, (File 333-173699 - Apr. 25) (BR. )
S-1 ANHUI TAIYANG POULTRY CO INC, NO. 88, EASTERN OUTER RING ROAD,
NINGGUO CITY, F4, 242300, 86 0563-430-9999 -
5,485,300 ($8,227,950.00) Equity, (File 333-173700 - Apr. 25) (BR. 08)
N-2 MainStay DefinedTerm Municipal High Income Fund, 51 MADISON AVENUE,
NEW YORK, NY, 10010, 212-576-7000 - 0 ($20,000.00) Equity,
(File 333-173701 - Apr. 25) (BR. 22)
S-1 Excel Corp, 1384 BROADWAY, NEW YORK, NY, 10018, 212-391-4600 -
0 ($100,000.00) Equity, (File 333-173702 - Apr. 25) (BR. )
S-3ASR LPL Investment Holdings Inc., ONE BEACON STREET , FLOOR 22, BOSTON, MA,
02108, 617 423 3644 - 0 ($0.00) Equity, (File 333-173703 - Apr. 25)
(BR. 08B)
S-1 Iron Eagle Group, Inc., 61 WEST 62ND STREET, SUITE 23F, NEW YORK, NY,
10023, 8884814445 - 14,285,714 ($14,999,999.70) Equity,
(File 333-173705 - Apr. 25) (BR. 04B)
S-1 EXERGETIC ENERGY, INC., 23077 GREENFIELD ROAD, SUITE 470, SOUTHFIELD,
MI, 48075, 2485571030 - 15,000,000 ($2,250,000.00) Equity,
(File 333-173706 - Apr. 25) (BR. 09)
F-10 YAMANA GOLD INC, 150 YORK ST, STE 1902, TORONTO, A6, M5H 3S5,
4168150220 - 0 ($525,250,000.00) Equity, (File 333-173707 - Apr. 25)
(BR. 04A)
S-8 OSI RESTAURANT PARTNERS, LLC, 2202 NORTH WEST SHORE BLVD., SUITE 500,
TAMPA, FL, 33607, 813-282-1225 - 1,029 ($10,290,000.00) Other,
(File 333-173708 - Apr. 25) (BR. 05C)
S-1 WAGEWORKS, INC., 1100 PARK PLACE, 4TH FLOOR, SAN MATEO, CA, 94403,
650-557-5200 - 0 ($75,000,000.00) Equity, (File 333-173709 - Apr. 25)
(BR. )
S-3 NUMEREX CORP /PA/, 1600 PARKWOOD CIRCLE, SUITE 200, ATLANTA, GA, 30339,
770-693-5950 -
30,000,000 ($30,000,000.00) Unallocated (Universal) Shelf,
(File 333-173710 - Apr. 25) (BR. 11A)
S-8 San West, Inc, 21316 SEASPRITE CIRCLE, HUNTINGTON BEACH, CA, 92646,
760-510-6910 - 10,000,000 ($110,000.00) Equity, (File 333-173711 -
Apr. 25) (BR. 05B)
S-4 BWAY PARENT COMPANY, INC., THREE FIRST NATIONAL PLAZA, SUITE 4600,
CHICAGO, IL, 60602, 312-895-1000 -
0 ($241,918,367.00) Non-Convertible Debt, (File 333-173712 - Apr. 25)
(BR. )
S-8 1ST SOURCE CORP, 100 NORTH MICHIGAN STREET, SOUTH BEND, IN, 46601,
5742352702 - 100,000 ($2,060,000.00) Equity, (File 333-173713 -
Apr. 25) (BR. 07A)
S-8 1ST SOURCE CORP, 100 NORTH MICHIGAN STREET, SOUTH BEND, IN, 46601,
5742352702 - 100,000 ($2,060,000.00) Equity, (File 333-173714 -
Apr. 25) (BR. 07A)
S-8 1ST SOURCE CORP, 100 NORTH MICHIGAN STREET, SOUTH BEND, IN, 46601,
5742352702 - 2,000,000 ($41,200,000.00) Equity, (File 333-173715 -
Apr. 25) (BR. 07A)
S-8 1ST SOURCE CORP, 100 NORTH MICHIGAN STREET, SOUTH BEND, IN, 46601,
5742352702 - 100,000 ($2,060,000.00) Equity, (File 333-173717 -
Apr. 25) (BR. 07A)
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
AARON'S INC GA 2.02,9.01 04/25/11
ACNB CORP PA 8.01,9.01 04/19/11
ACURA PHARMACEUTICALS, INC NY 8.01,9.01 04/25/11
AECOM TECHNOLOGY CORP DE 1.01,5.02,9.01 04/20/11
AEROFLEX HOLDING CORP. DE 8.01,9.01 04/25/11
AEROFLEX INC DE 8.01,9.01 04/25/11
AFH ACQUISITION IV, INC. DE 1.02,3.02,9.01 04/25/11
ALICO INC FL 5.02,9.01 04/25/11
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 04/25/11
ALLIANCE FIBER OPTIC PRODUCTS INC CA 2.02,9.01 04/25/11
American Liberty Petroleum Corp. NV 3.02 04/13/11
AMERICAN NATIONAL INSURANCE CO /TX/ TX 2.02,9.01 04/25/11
AMERIPRISE FINANCIAL INC DE 2.02,9.01 04/25/11
ANGIOTECH PHARMACEUTICALS INC 1.01,8.01,9.01 04/22/11
Anthera Pharmaceuticals Inc DE 5.02,5.07,8.01 04/19/11
Apextalk Holdings Inc DE 5.02 04/19/11
ARGENTEX MINING CORP DE 3.02 04/25/11
ARKANSAS BEST CORP /DE/ DE 2.02,9.01 04/25/11
ARKANSAS BEST CORP /DE/ DE 8.01,9.01 04/21/11
ARTHROCARE CORP DE 5.02 04/20/11
ASTEC INDUSTRIES INC TN 2.02,9.01 04/25/11
BANCTRUST FINANCIAL GROUP INC AL 2.02,9.01 04/22/11
BANCTRUST FINANCIAL GROUP INC AL 1.01,9.01 04/22/11
BANK OF KENTUCKY FINANCIAL CORP KY 5.07 04/21/11
Bank of Marin Bancorp CA 2.02,9.01 04/25/11
BE AEROSPACE INC DE 2.02,9.01 04/25/11
BELDEN INC. DE 1.01,1.02,2.03,9.01 04/25/11
BIGGEST LITTLE INVESTMENTS LP DE 4.01 04/06/11
Birmingham Bloomfield Bancshares MI 2.02,9.01 04/20/11
BRIGHTPOINT INC IN 8.01 04/19/11
Builders FirstSource, Inc. DE 2.02,9.01 04/25/11
Burger King Holdings Inc DE 8.01 04/19/11
Campus Crest Communities, Inc. MD 5.07 04/25/11
CAPITAL CITY BANK GROUP INC FL 2.02,9.01 03/31/11
Celanese CORP DE 5.07,7.01,8.01 04/25/11
CENTRAL BANCORP INC /MA/ MA 8.01,9.01 04/21/11
CHEMED CORP DE 2.02,9.01 04/25/11
CHINA AGRITECH INC DE 5.02,9.01 04/25/11
CHINA JO-JO DRUGSTORES, INC. 4.01,9.01 04/19/11
CHINA SECURITY & SURVEILLANCE TECHNOL DE 2.02,9.01 04/25/11
CHOICEONE FINANCIAL SERVICES INC MI 7.01 04/25/11
CINCINNATI FINANCIAL CORP OH 5.02,7.01,9.01 04/22/11
CITADEL BROADCASTING CORP DE 2.02,7.01 04/25/11
CITIZENS BANCSHARES CORP /GA/ GA 8.01,9.01 04/25/11
CITIZENS SOUTH BANKING CORP DE 2.02,9.01 04/25/11
CITY NATIONAL CORP DE 5.02,5.07 04/20/11
Clean Coal Technologies Inc. NV 1.01,9.01 04/18/11
CNO Financial Group, Inc. DE 2.02,7.01,9.01 04/25/11
COMMUNITY HEALTH SYSTEMS INC DE 7.01 04/25/11
Community Partners Bancorp NJ 2.02,9.01 04/25/11
COMPUTER TASK GROUP INC NY 2.02,9.01 04/25/11
CONEXANT SYSTEMS INC DE 5.02,5.03,9.01 04/19/11
CONSUMERS BANCORP INC /OH/ OH 2.02,9.01 04/25/11
Converted Organics Inc. DE 5.02,9.01 04/20/11
Cooper Industries plc 2.02,9.01 04/25/11
CORNING NATURAL GAS CORP NY 5.07 04/19/11
CORNING NATURAL GAS CORP NY 7.01,9.01 04/22/11
CUMULUS MEDIA INC DE 1.01,7.01,8.01,9.01 04/25/11
CYBEROPTICS CORP MN 2.02,9.01 04/25/11
Danvers Bancorp, Inc. DE 8.01 04/22/11
DATA I/O CORP WA 2.02 04/21/11
DC BRANDS INTERNATIONAL INC CO 7.01 04/25/11
DELTIC TIMBER CORP DE 2.02,9.01 04/25/11
DEVON ENERGY CORP/DE DE 1.01,9.01 04/19/11
diaDexus, Inc. DE 1.01 04/19/11
Digimarc CORP OR 2.02,9.01 04/25/11
Digitiliti Inc DE 5.02 04/25/11
DIMECO INC PA 2.02,9.01 04/25/10
Dot VN, Inc. DE 8.01,9.01 04/25/11
EAGLE BANCORP INC MD 2.02,9.01 04/25/11
EBIX INC DE 9.01 02/10/11 AMEND
ECB BANCORP INC NC 5.02 04/19/11
ELECTRO SENSORS INC MN 5.07 04/20/11
ELECTRONICS FOR IMAGING INC DE 2.02,9.01 04/25/11
EMPIRE ENERGY CORP UT 1.02,5.02 04/22/11
EMULEX CORP /DE/ DE 2.02,9.01 04/25/11
ENBRIDGE ENERGY MANAGEMENT L L C DE 7.01,9.01 04/25/11
ENBRIDGE ENERGY PARTNERS LP DE 5.03,8.01,9.01 04/21/11
ENDEAVOUR INTERNATIONAL CORP NV 1.02 04/20/11
ENNIS, INC. TX 2.02,9.01 04/25/11
EnteroMedics Inc 2.02,9.01 04/25/11
ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 1.01,8.01 04/19/11
EXPRESS SCRIPTS INC DE 8.01,9.01 04/25/11
EXPRESS SCRIPTS INC DE 2.02,7.01,9.01 04/25/11
FARMER BROTHERS CO CA 5.03,9.01 04/19/11
FelCor Lodging Trust Inc MD 2.02,9.01 04/25/11
FFD FINANCIAL CORP/OH OH 2.02,9.01 04/22/11
FIDELITY SOUTHERN CORP GA 2.02,8.01,9.01 04/21/11
FIFTH THIRD BANCORP OH 7.01,9.01 04/25/11 AMEND
FIRST CITIZENS BANC CORP /OH OH 7.01,9.01 04/25/11
FIRST CITIZENS BANCSHARES INC /DE/ DE 2.02,7.01,9.01 04/25/11
FIRST COMMUNITY BANCSHARES INC /NV/ NV 2.02,7.01,9.01 04/25/11
FIRST INTERSTATE BANCSYSTEM INC MT 2.02,9.01 04/25/11
FIRST MARINER BANCORP MD 1.01,3.02,5.03,8.01, 04/19/11
9.01
FIRST OTTAWA BANCSHARES INC DE 2.02,9.01 04/25/11
FNB CORP/FL/ FL 2.02,5.02,9.01 04/20/11
FORCE PROTECTION INC NV 5.07,9.01 04/22/11
Forex International Trading Corp. NV 8.01,9.01 04/25/11
FORWARD AIR CORP TN 8.01,9.01 04/22/11
FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.03,9.01 04/25/11
GeoBio Energy, Inc. CO 1.01,1.02 04/21/11
Georgetown Bancorp, Inc. X1 2.02,9.01 04/22/11
GIBRALTAR INDUSTRIES, INC. DE 8.01,9.01 04/25/11
GIBRALTAR INDUSTRIES, INC. DE 9.01 04/25/11 AMEND
Global Immune Technologies Inc. WY 5.02 04/25/11
GLU MOBILE INC DE 5.02 11/02/10 AMEND
GOLD CREST MINES INC NV 5.02 04/22/11
GYRODYNE CO OF AMERICA INC NY 8.01,9.01 04/22/11
HCP, INC. MD 5.02,7.01,9.01 04/22/11
Healthsport, Inc. DE 5.02 04/19/11
HEALTHSTREAM INC TN 2.02,7.01,9.01 04/25/11
HEALTHWAYS, INC DE 2.02,9.01 04/25/11
HEARTLAND FINANCIAL USA INC DE 2.02,9.01 04/25/11
HEXCEL CORP /DE/ DE 2.02,7.01,9.01 04/25/11
HF FINANCIAL CORP DE 2.02,8.01,9.01 04/25/11
HONEYWELL INTERNATIONAL INC DE 5.07 04/25/11
HOOKER FURNITURE CORP VA 5.02 04/21/11
HOUSTON AMERICAN ENERGY CORP DE 7.01,9.01 04/25/11
Hudson Pacific Properties, Inc. MD 5.02 04/22/11
Huron Consulting Group Inc. DE 2.02,9.01 04/25/11
IASIS Healthcare LLC DE 2.02,7.01,9.01 04/25/11
ICAGEN INC DE 1.01,9.01 04/20/11
IDEX CORP /DE/ DE 7.01,9.01 04/21/11
INSTITUTIONAL FINANCIAL MARKETS, INC. MD 5.02 04/19/11
INSTITUTIONAL FINANCIAL MARKETS, INC. MD 1.01,8.01,9.01 04/19/11
INTERACTIVE INTELLIGENCE INC IN 2.02,8.01,9.01 03/31/11
INTERNET CAPITAL GROUP INC DE 5.02 04/25/11
J&J SNACK FOODS CORP NJ 2.02,9.01 04/25/11
JOHNSON CONTROLS INC WI 2.02,7.01,9.01 04/25/11
KENTUCKY BANCSHARES INC /KY/ KY 2.02,9.01 04/25/11
KIMBERLY CLARK CORP DE 2.02,9.01 04/25/11
Kohlberg Capital CORP DE 8.01,9.01 04/25/11
LAKELAND FINANCIAL CORP IN 2.02,9.01 04/25/11
LEE ENTERPRISES, INC DE 8.01,9.01 04/25/11
LEXINGTON REALTY TRUST MD 1.01,9.01 04/21/11
LIVEDEAL INC NV 5.07 04/22/11
LPL Investment Holdings Inc. DE 2.02,9.01 04/25/11
MALVERN FEDERAL BANCORP INC X1 5.02 04/22/11
MASCO CORP /DE/ DE 2.02,9.01 04/25/11
MATTHEWS INTERNATIONAL CORP PA 2.02,9.01 04/25/11
MBT FINANCIAL CORP MI 8.01 04/22/11
MEDIA SCIENCES INTERNATIONAL INC 1.01 04/22/11
MERCHANTS BANCSHARES INC DE 8.01,9.01 04/21/11
MESA ROYALTY TRUST/TX TX 2.02,9.01 04/25/11
MINDSPEED TECHNOLOGIES, INC DE 2.02,9.01 04/25/11
MOODYS CORP /DE/ DE 5.02,5.07,9.01 04/25/11
MOTRICITY INC DE 1.01 04/22/11
MUNICIPAL MORTGAGE & EQUITY LLC DE 5.02,9.01 04/22/11
NASDAQ OMX GROUP, INC. DE 8.01 04/22/11
Neiman Marcus, Inc. DE 8.01,9.01 04/20/11
NETFLIX INC DE 2.02,9.01 04/25/11
NeurogesX Inc CA 8.01,9.01 04/21/11
Next 1 Interactive, Inc. NV 5.02,9.01 04/15/11
NINE MILE SOFTWARE, INC. NV 1.01,5.01,5.03,5.07, 04/19/11
9.01
NORTH BAY RESOURCES INC DE 1.01,3.02,9.01 04/22/11
NORTH CENTRAL BANCSHARES INC IA 5.02,5.07 04/25/11
NORTH CENTRAL BANCSHARES INC IA 8.01 04/25/11
NORTHWEST PIPE CO OR 5.02,9.01 04/21/11
NUCOR CORP DE 2.02,9.01 04/21/11 AMEND
OCZ TECHNOLOGY GROUP INC DE 5.02 04/19/11
OFFICE DEPOT INC DE 5.02,5.07,9.01 04/21/11
OHIO VALLEY BANC CORP OH 2.02,9.01 04/25/11
Oncologix Tech Inc. NV 4.01 09/09/10 AMEND
Onteco Corp NV 4.01,9.01 09/30/09 AMEND
OVERSTOCK.COM, INC DE 8.01,9.01 04/25/11
P F CHANGS CHINA BISTRO INC 1.01,5.02,5.07,9.01 04/19/11
PACCAR INC DE 5.02,5.07 04/19/11
PACIFIC OFFICE PROPERTIES TRUST, INC. MD 3.01,5.02,7.01,9.01 04/19/11
PACIFIC WEBWORKS INC NV 4.01 04/21/11
PAR TECHNOLOGY CORP DE 5.02,9.01 04/25/11
PARKE BANCORP, INC. NJ 2.02,9.01 04/25/11
PENGRAM CORP NV 5.02 04/21/11
PENN NATIONAL GAMING INC PA 2.02,9.01 04/21/11
People's United Financial, Inc. DE 8.01,9.01 04/22/11
PEOPLES BANCORP OF NORTH CAROLINA INC NC 2.02,9.01 04/25/11
PLUM CREEK TIMBER CO INC DE 2.02,9.01 04/25/11
PLX TECHNOLOGY INC DE 2.02,9.01 04/25/11
PLX TECHNOLOGY INC DE 1.01,8.01,9.01 04/19/11
PMFG, Inc. DE 5.02,9.01 04/25/11
POPULAR INC 7.01,9.01 04/25/11
PPG INDUSTRIES INC PA 5.07 04/21/11
PRE PAID LEGAL SERVICES INC OK 2.02,9.01 04/25/11
PREFORMED LINE PRODUCTS CO OH 5.07 04/25/11
ProPhase Labs, Inc. NV 5.02,5.07,9.01 04/21/11
PROSPERITY BANCSHARES INC TX 5.07 04/19/11
PROSPERITY BANCSHARES INC TX 5.02 04/19/11
RADIOSHACK CORP DE 2.02,7.01,9.01 03/31/11
RADIOSHACK CORP DE 8.01,9.01 04/25/11
RECOVERY ENERGY, INC. NV 5.02,9.01 04/19/11
REINSURANCE GROUP OF AMERICA INC MO 2.02,9.01 04/25/11
REPUBLIC AIRWAYS HOLDINGS INC DE 5.03,9.01 04/20/11
RESEARCH FRONTIERS INC DE 7.01 04/21/11
Resource Real Estate Opportunity REIT MD 7.01 04/21/11
rue21, inc. DE 5.02 04/21/11
SANMINA-SCI CORP DE 2.02,9.01 04/25/11
SELECT MEDICAL HOLDINGS CORP 8.01,9.01 04/25/11
SENSIENT TECHNOLOGIES CORP WI 5.07 04/21/11
SentiSearch, Inc. DE 1.01,2.03,3.02 04/19/11
SHERWIN WILLIAMS CO OH 5.07,9.01 04/20/11
SHILOH INDUSTRIES INC DE 1.01,2.03,9.01 04/25/11
SHUTTERFLY INC DE 2.01,3.02,8.01,9.01 04/25/11
SMUCKER J M CO OH 5.02,9.01 04/21/11
SOLERA HOLDINGS, INC DE 1.01,7.01,9.01 04/23/11
SOLTA MEDICAL INC DE 1.01,2.03,9.01 04/20/11
SONIC AUTOMOTIVE INC DE 5.07 04/21/11
SONOCO PRODUCTS CO SC 5.07 04/20/11
SONOSITE INC 2.02,9.01 04/25/11
SPANISH BROADCASTING SYSTEM INC DE 5.02,9.01 04/19/11
STANCORP FINANCIAL GROUP INC OR 2.02,9.01 04/25/11
STERLING FINANCIAL CORP /WA/ WA 5.03,5.07,9.01 04/21/11
STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 04/15/11
STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 04/15/11
STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 04/15/11
STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 04/15/11
STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 04/15/11
STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 04/15/11
SUPERTEX INC CA 5.02 04/22/11
TechTarget Inc 4.01,9.01 04/19/11
Tennessee Commerce Bancorp, Inc. TN 3.01,9.01 04/25/11
TERREMARK WORLDWIDE INC. DE 8.01,9.01 04/22/11
TESORO CORP /NEW/ DE 1.01,9.01 04/19/11
TESORO LOGISTICS LP DE 1.01,9.01 04/19/11
Thompson Creek Metals CO Inc. A6 8.01,9.01 04/21/11
THRESHOLD PHARMACEUTICALS INC DE 8.01 04/25/11
TIBET PHARMACEUTICALS, INC. D8 8.01,9.01 04/19/11
TRANS ENERGY INC NV 5.02 04/22/11 AMEND
TRANSGLOBAL ASSETS, INC. NV 1.01 04/25/11
TUESDAY MORNING CORP/DE DE 2.02,9.01 04/25/11
ULTRA CLEAN HOLDINGS INC DE 2.02,9.01 04/25/11
UNISYS CORP DE 2.02,9.01 04/25/11
UNITED BANCSHARES INC/OH OH 2.02,7.01,9.01 04/25/11
United Financial Bancorp, Inc. 2.02,5.02,5.07,9.01 04/21/11
USA TRUCK INC DE 2.02,9.01 03/31/11
VALUECLICK INC/CA DE 2.02,7.01,9.01 04/25/11
VEECO INSTRUMENTS INC DE 2.02,8.01,9.01 04/25/11
VISA INC. DE 8.01,9.01 04/21/11
Vitacost.com, Inc. DE 4.01,9.01 04/20/11
VOLTERRA SEMICONDUCTOR CORP 5.02,9.01 04/22/11
VOLTERRA SEMICONDUCTOR CORP 2.02,9.01 04/25/11
VOLTERRA SEMICONDUCTOR CORP 8.01,9.01 04/25/11
Walter Energy, Inc. DE 2.02,7.01,9.01 04/21/11
WASHINGTON TRUST BANCORP INC RI 2.02,9.01 04/25/11
WASTE CONNECTIONS, INC. DE 2.02,7.01,9.01 04/25/11
WAUSAU PAPER CORP. WI 2.02,5.07,9.01 04/21/11
WELLS FARGO & CO/MN DE 8.01 04/25/11
WESBANCO INC WV 5.02,5.07 04/25/11
WEST COAST BANCORP /NEW/OR/ OR 2.02,9.01 04/25/11
WESTERN ALLIANCE BANCORPORATION NV 2.02,9.01 04/25/11
WESTERN DIGITAL CORP DE 8.01 04/25/11
WESTWOOD HOLDINGS GROUP INC DE 5.07 04/20/11
WILEY JOHN & SONS, INC. NY 8.01 04/25/11
Willow Creek Enterprises Inc. 1.01,2.03,7.01,9.01 04/21/11
Wizard World, Inc. DE 1.01,3.02,5.03,9.01 04/18/11
Woodward, Inc. DE 2.02,9.01 04/25/11
XATA CORP /MN/ MN 5.02 04/21/11
XERIUM TECHNOLOGIES INC DE 5.02 04/19/11
ZALE CORP DE 1.01,9.01 04/21/11
Zoo Entertainment, Inc DE 3.02 04/19/11
http://www.sec.gov/news/digest/2011/dig042611.htm
|