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SEC News Digest
Issue 2011-173
September 7, 2011
COMMISSION ANNOUNCEMENTS
Statement by Chairman Mary L. Schapiro on Proxy Access Litigation
Chairman Mary L. Schapiro confirmed that the Commission is not seeking rehearing of the decision by the U.S. Court of Appeals in Washington, D.C. vacating a Commission rule, Rule 14a-11, which would have required companies to include shareholders’ director nominees in company proxy materials in certain circumstances. Nor will the SEC seek Supreme Court review.
Last year, when the Commission adopted Rule 14a-11, it also adopted amendments to Rule 14a-8, the shareholder proposal rule. Under those amendments, eligible shareholders are permitted to require companies to include shareholder proposals regarding proxy access procedures in company proxy materials. Through this procedure, shareholders and companies have the opportunity to establish proxy access standards on a company-by-company basis -- rather than a specified standard like that contained in Rule 14a-11.
Although the amendments to Rule 14a-8 were not challenged in the litigation, the Commission voluntarily stayed the effective date of those amendments at the time it stayed the effective date of Rule 14a-11. The Commission’s stay order provides that the stay of the effective date of the amendments to Rule 14a-8 and related rules will expire without further Commission action when the court’s decision is finalized, which is expected to be September 13. Accordingly, absent further Commission action, Rule 14a-8 will go into effect and a notice of the effective date of the amendments will be published. (Press Rel. 2011-179).
Commission Suspends Trading in the Securities of Four Issuers for Failure to Make Required Periodic Filings
The Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on September 7, 2011 and terminating at 11:59 p.m. EDT on September 20, 2011.
- Astralis Ltd. (ASTR)
- Cavit Sciences, Inc. (CVIT)
- Crystal International Travel Group, Inc. (CINT)
- Tasker Products Corp. (TKER)
The Commission temporarily suspended trading in the securities of these four issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. No. 34-65277).
Commission Suspends Trading in the Securities of Nine Issuers for Failure to Make Required Periodic Filings
The Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on September 7, 2011 and terminating at 11:59 p.m. EDT on September 20, 2011:
- American Capital Partners Limited, Inc. (APRJ)
- American Educators Financial Corp. (n/k/a Asia Ventures Corp.) (AVEN)
- Austral Pacific Energy Ltd. (AUSPF)
- Bidville, Inc. (n/k/a PrimEdge, Inc.) (PEDI)
- Bio-Warm Corp. (n/k/a PHI Gold Corp.) (PHIG)
- Black Rock Golf Corp. (a/k/a Aurus Corp.) (AURC)
- Broadband Wireless International Corp. (BBAN)
- BSK & Tech, Inc. (BSKT)
- Buffalo Gold Ltd. (BYBUF)
The Commission temporarily suspended trading in the securities of the foregoing companies due to a lack of current and accurate information about the companies because they have not filed certain periodic reports with the Commission. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to trading suspensions until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. No. 34-65275).
ENFORCEMENT proceedings
In the Matter of bioMETRX, Inc
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Five Respondents (Default Order) in bioMETRX, Inc, Admin. Proc. No. 3-14465. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file required annual and quarterly reports while their 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 bioMETRX, Inc., Biopure Corp. (n/k/a PBBPC, Inc.), Distributed Energy Systems Corp., Fortified Holdings Corp., and Knobias, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act). The proceeding has ended as to Respondent One IP Voice, Inc. (n/k/a Indian Hill Holdings Corporation). (Rel. No. 34-65272; File No. 3-14465 (September 7, 2011)).
Commission Orders Hearings on Registration Suspension or Revocation Against Four Companies for Failure to Make Required Periodic Filings
In conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of four companies for failure to make required periodic filings with the Commission:
In the Matter of Astralis Ltd., et al., Administrative Proceeding File No. 3-14535
- Astralis Ltd. (ASTR)
- Cavit Sciences, Inc. (CVIT)
- Crystal International Travel Group, Inc. (CINT)
- Tasker Products Corp. (TKER)
In this Order, the Division of Enforcement (Division) alleges that the four 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 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 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. No. 34-65276; File No. 3-14535).
Commission Orders Hearings on Registration Suspension or Revocation Against Nine Companies for Failure to Make Required Periodic Filings
In conjunction with this trading suspension, the Commission today also instituted two separate public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of nine companies for failure to make required periodic filings with the Commission:
In the Matter of American Capital Partners Limited, Inc., et al., Administrative Proceeding File No. 3-14534
- American Capital Partners Limited, Inc. (APRJ)
- American Educators Financial Corp. (n/k/a Asia Ventures Corp.) (AVEN)
- Austral Pacific Energy Ltd. (AUSPF)
- Bidville, Inc. (n/k/a PrimEdge, Inc.) (PEDI)
- Bio-Warm Corp. (n/k/a PHI Gold Corp.) (PHIG)
- Black Rock Golf Corp. (a/k/a Aurus Corp.) (AURC)
- Broadband Wireless International Corp. (BBAN)
- Buffalo Gold Ltd. (BYBUF)
In the Matter of BSK & Tech, Inc., Administrative Proceeding File No. 3-14533
In the Orders, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission.
In these proceedings, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the 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 judge in the proceedings 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 the proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. No. 34-65274; File No. 3-14534 & Rel. No. 34-65273; File No. 3-14533).
Commission Defendant Indicted in Money Laundering Scheme to Hide and Conceal Assets and Obstruct Justice in a Commission Civil Enforcement Action
The Commission announced that on August 24, 2011, the United States Attorney’s Office for the Southern District of Florida unsealed an Indictment charging Steven Steiner a/k/a Steven Steinger, a defendant in a now settled SEC action, with obstructing justice by lying to the SEC. The 54 count Indictment charges Steiner, along with Henry Fecker, III, with money laundering and other violations. According to the Indictment, Steiner and Fecker, among other things, concealed assets and lied in financial statements that they submitted to the SEC. Steiner and Fecker submitted the financial statements during settlement negotiations to resolve the SEC’s case against Steiner for his antifraud and other violations in a billion dollar offering fraud conducted by Mutual Benefits Corporation (MBC). Fecker was the sole officer and director of Camden Consulting, Inc., a relief defendant in that case.
The Commission first halted the on-going fraud at MBC in May 2004 when it filed a contested emergency civil enforcement action against MBC and its principals, including Steiner’s brothers, Joel and Leslie Steinger. In its complaint, the SEC alleged that the defendants had raised over $1 billion from more than 29,000 investors through a fraudulent, unregistered offering of securities in the form of fractionalized interests in viatical and life settlements. The SEC obtained a restraining order to halt the alleged fraud at MBC, and thereafter a receiver was appointed by the United States District Court for the Southern District of Florida (the “MBC Receiver”), to identify and trace the assets of MBC.
In June 2005, the SEC filed an amended complaint adding Steiner as a defendant and naming SKS Consulting, Inc. (SKS) a company he controlled, and Camden, as relief defendants. In the amended complaint, the SEC alleged that Steiner was the "public face" of MBC, who participated in all or most initial sales training sessions for new in-house and outside sales agents, met with prospective and existing MBC investors, and made misrepresentations to investors about the safety of investing with MBC and the manner in which it obtained life expectancies for the insurance policies that formed the basis of an investment in MBC. The SEC also alleged that Fecker – Steiner’s life partner – was Camden’s sole officer and director and shared signatory authority with Steiner on the company’s bank accounts. In January 2006, the SEC filed a second amended complaint and further alleged relief defendant Camden acted as a conduit for MBC to make undisclosed payments to Steiner.
On April 10, 2007, the Court entered a settled Final Judgment of Permanent Injunction and Other Relief against Steiner and Relief Defendants SKS and Camden. The Final Judgment enjoins Steiner from violating Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, and Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934. The Final Judgment also holds Steiner, SKS, and Camden jointly and severally liable for disgorgement and prejudgment interest in the amount of $5,000,000, but orders them to pay $3,925,000 based on their financial statements and other information submitted to the Commission and waives the remainder of the amount and did not impose a penalty based on the financial information.
According to the Indictment, in the years after 2004 when MBC was shut down, Steiner and Fecker engaged in a series of transactions to hide assets from the SEC and the MBC Receiver by placing funds attributable to Steiner with third parties or in Fecker’s name alone, and later by causing third parties to make payments of monies due to Steiner, instead to Fecker. Fecker used the funds to support a lavish lifestyle for Fecker and Steiner. To obtain a favorable settlement of the SEC’s case against Steiner, SKS, and Camden, the Indictment alleges that in 2006 and early 2007, Steiner and Fecker submitted a series of false and misleading documents to conceal their true financial condition.
The Indictment further alleges that in late 2009, to further conceal assets from the SEC and the MBC receiver, Steiner sold a luxury New York apartment for $1.3 million, but caused false documents to state that the sales price was $1.1 million, and submitted these documents to the SEC and the MBC Receiver. The Indictment alleges that Steiner caused the purchaser to make an additional $200,000 in undisclosed side payments to Fecker, and that these undisclosed and concealed funds were thereafter used to support the lavish lifestyle of Steiner and Fecker. To further thwart the SEC’s efforts to recover assets attributable to MBC, the Indictment alleges that Steiner provided false and misleading testimony under oath to the MBC Receiver concerning his assets and financial condition.
The SEC’s actions regarding Mutual Benefits resulted in injunctions and other relief against eight defendants and eight relief defendants, and orders to pay disgorgement and civil penalties totaling $30 million. In addition, before the August 24 Indictment, the United States Attorney’s Office for the Southern District of Florida had charged 10 defendants in criminal actions for their roles in the fraud.
The SEC acknowledges the work of the United States Attorney’s Office for the Southern District of Florida, the Federal Bureau of Investigation, Miami Field Office, and the Internal Revenue Service, Criminal Investigation Division in this matter. [Securities and Exchange Commission v. Mutual Benefits Corp., et al., Case No. 04-60573-CIV- MORENO; LR-22084]
In the Matter of Montford and Company, Inc. d/b/a Montford Associates, and Ernest V. Montford, Sr.
The Commission issued an Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 (Order) against Montford and Company, Inc. d/b/a Montford Associates (Montford Associates) and Sections 203(f) and 203(k) of the Advisers Act against Ernest V. Montford, Sr. (Montford) (jointly Respondents). The Division of Enforcement alleges in the Order that Montford Associates, a registered investment adviser, and Ernest Montford, the firm’s sole owner/CEO, defrauded their clients by failing to disclose material conflicts of interest.
Specifically, the Division of Enforcement alleges that Respondents told their clients and stated in reports filed with Commission that they were independent and did not accept any fees from investment managers. However, Respondents recommended that certain clients invest in two hedge funds managed by SJK Investment Management, LLC (SJK) without disclosing that Montford Associates had a compensation arrangement with, and ultimately received $210,000 from, SJK for recommending that clients invest in the hedge funds and providing certain administrative services to SJK. The Division of Enforcement alleges in the Order that, as a result of their conduct, Respondents willfully violated and/or aided and abetted violations of Sections 206(1), 206(2), 207, and 204 of the Advisers Act and Rule 204-1(a)(2) thereunder.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Respondents an opportunity to dispute the allegations, and to determine what sanctions, if any are 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 the service of the order. (Rel. No. IA-3273; File No. 3-14536)
Former Trivium Hedge Fund Principal and Analyst Settle Insider Trading Charges
The Commission announced today that, on July 18, 2011, the Honorable Jed S. Rakoff of the United States District Court for the Southern District of New York entered a consent judgment against Defendant Robert Feinblatt in SEC v. Feinblatt, 11-CV-0170, an insider trading case the SEC filed on January 10, 2011. Feinblatt was a co-founder and former principal of Trivium Capital Management LLC, a New York-based hedge fund investment adviser that has since wound down its investment management business. Previously, on July 11, 2011, the Court entered a consent judgment against Defendant Jeffrey Yokuty, formerly an analyst who reported to Feinblatt at Trivium.
The Complaint alleged that Feinblatt and Yokuty engaged in insider trading in the securities of Polycom, Hilton, Google and Kronos. The complaint further alleged that a senior executive at Polycom and an employee at Market Street Partners, an investor relations firm that did work for Google, tipped Roomy Khan, an individual investor, to inside information that Khan passed on to Feinblatt and Yokuty. The Complaint alleged that Feinblatt and Yokuty then traded on the basis of this and other inside information given to them by Khan on behalf of Trivium’s hedge funds, reaping illicit profits for the funds of more than $15 million.
To settle the SEC’s charges, Feinblatt consented to the entry of a judgment that: (i) permanently enjoins him from future 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 (ii) orders him to pay disgorgement of $829,765, plus $186,023 in prejudgment interest, plus a civil penalty of $1,659,530. Yokuty consented to the entry of a judgment that: (i) permanently enjoins him from future 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 (ii) orders him to pay disgorgement of $127,595.10, plus $34,935.12 in prejudgment interest, plus a civil penalty of $127,595.10.
In separate administrative proceedings, instituted against Feinblatt on September 2, 2011, and Yokuty on July 22, 2011, Feinblatt and Yokuty each consented to be barred from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent. Feinblatt may apply for reentry after 5 years and Yokuty may apply for reentry after 3 years. [SEC v. Robert Feinblatt, et al., Civil Action No. 11-CV-0170 (SDNY) (JSR); LR- 22085).
In the Matter of Brian D. Walsh
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Brian D. Walsh, a resident of San Diego, California, based on the entry of a permanent injunction against him in the civil action entitled Securities and Exchange Commission v. Rockwell Energy of Texas, LLC, et al., Civil Action No. 4:09-cv-4080 in the United States District Court for the Southern District of Texas, Houston Division.
On July 11, 2011, a final judgment by default was entered against Walsh in the civil action, permanently enjoining him from future violations of Sections 5(a) and 5(c) of the Securities Act of 1933, and Section 15(a)(1) of the Exchange Act of 1934. The Commission’s Complaint alleged that Smith sold limited partnership interests in fraudulent and unregistered oil-and-gas offerings based in Texas. According to the Complaint, Walsh received, directly or indirectly, sales or other promotional commissions as high as 40%, and pocketed approximately $355000 in investor proceeds. The Complaint alleges he solicited investors through cold calls, and was neither licensed nor associated with a registered broker or dealer.
A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to provide the Respondent an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest.
The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of this Order, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. (Rel. No. 34-65284; File No. 3-14537).
In The Matter Of W. Todd Smith
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against W. Todd Smith, a resident of Corona, California, based on the entry of a permanent injunction against him in the civil action entitled Securities and Exchange Commission v. Rockwell Energy of Texas, LLC, et al., Civil Action No. 4:09-cv-4080 in the United States District Court for the Southern District of Texas, Houston Division.
On July 11, 2011, a final judgment by default was entered against Smith in the civil action, permanently enjoining him from future violations of Sections 5(a) and 5(c) of the Securities Act of 1933, and Section 15(a)(1) of the Exchange Act of 1934. The Commission’s Complaint alleged that Smith sold limited partnership interests in fraudulent and unregistered oil-and-gas offerings based in Texas. According to the Complaint, Smith received, directly or indirectly, sales or other promotional commissions as high as 40%, and pocketed approximately $990,000 in investor proceeds. The Complaint alleges he solicited investors through cold calls, and was neither licensed nor associated with a registered broker or dealer.
A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to provide the Respondent an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest.
The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of this Order, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. . (Rel. No. 34-65285; File No. 3-14538).
In the Matter of Travis W. Vrbas
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings and Imposing Remedial Sanctions (Order) against Travis W. Vrbas (Vrbas). The Order finds that on July 13, 2011, a final judgment was entered by consent against Vrbas, permanently enjoining him from future violations of Sections 17(a)(1) and 17(a)(3) of the Securities Act of 1933, Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act), Rules 10b-5, 13a-14, and 13b2-1 thereunder, and aiding and abetting violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder, in the civil action entitled Securities and Exchange Commission v. Travis W. Vrbas, Case No. 11-CV-2251 WEB/KGG, in the United States District Court for the District of Kansas. The Order further finds that the Commission’s complaint in the civil action alleged that, among other things, Vrbas, the former chief financial officer of Brooke Corporation and Brooke Capital Corporation, and other senior executives at the Brooke companies, in Commission filings and other public statements for year-end 2007 and the first and second quarters of 2008, misrepresented, among other things, the number of Brooke Capital franchisees and their financial health, and the increasingly dire liquidity and financial condition of the Brooke companies.
Based on the above, the Order suspends Vrbas from appearing or practicing before the Commission as an accountant. Vrbas consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted the entry of the injunction. (Rel. No. 34-65254; File No. 3-14527; AAER Rel. No. 3316).
In the Matter of Leland G. Orr, CPA
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings and Imposing Remedial Sanctions (Order) against Leland G. Orr, CPA (Leland Orr). The Order finds that on July 13, 2011, a judgment was entered by consent against Leland Orr, permanently enjoining him from future violations of Sections 17(a)(1) and 17(a)(3) of the Securities Act of 1933, Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act), Rules 10b-5, 13a-14, 13b2-1 and 13b2-2 thereunder, and aiding and abetting violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder, in the civil action entitled Securities and Exchange Commission v. Leland G. Orr, Case No. 11-CV-2251 WEB/KGG, in the United States District Court for the District of Kansas. The Order further finds that the Commission’s complaint in the civil action alleged that, among other things, Leland Orr, the former chief executive officer, chief financial officer, and vice-chairman of the board of Brooke Corporation, and former chief financial officer of Brooke Capital Corporation, and other senior executives at the Brooke companies, in Commission filings and other public statements for year-end 2007 and the first and second quarters of 2008, misrepresented, among other things, the number of Brooke Capital franchisees and their financial health, and the increasingly dire liquidity and financial condition of the Brooke companies.
Based on the above, the Order suspends Leland Orr from appearing or practicing before the Commission as an accountant. Leland Orr consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted the entry of the injunction. (Rel. No. 65260; File No. 3-14528; AAER Rel. No. 3317).
Self-regulatory organizations
Proposed Rule Change
BATS Exchange, Inc. filed a proposed rule change (SR-BATS-2011-032) under Section 19(b)(1) of the Securities Exchange Act of 1934 to adopt rules applicable to auctions conducted by the exchange for exchange-listed securities. Publication of the proposal is expected in the Federal Register during the week of September 6th. (Rel. No. 34-65266).
The Commission issued a notice of filing of a proposed rule change by the Municipal Securities Rulemaking Board (MSRB) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, consisting of proposed Rule G-36, on fiduciary duty of municipal advisors, and a proposed interpretive notice concerning the application of proposed Rule G-36 to municipal advisors (SR-MSRB-2011-14). Publication is expected in the Federal Register during the week of September 6th. (Rel. No. 34-65282).
A proposed rule change filed by the NASDAQ Stock Market LLC regarding a clarifying amendment to direct connectivity services (SR-NASDAQ-2011-119) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of September 6th. (Rel. No. 34-65252).
Immediate Effectiveness of Proposed Rule Changes
New York Stock Exchange LLC filed a proposed rule change (File No. SR-NYSE-2011-44), which became effective upon filing pursuant to Section 19(b)(3)(A) of the Exchange Act, that amends NYSE’s Listed Company Manual’s Requirement for Direct Registration System Requirements as it relates to foreign issuers. Publication of the proposal is expected to be made in the Federal Register during the week of September 6th. (Rel. No. 34-65264).
A proposed rule change filed by Chicago Stock Exchange, Inc. (SR-CHX-2011-26) to remove its tiered schedule of fees and rebates and lower or remove certain rebates has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected to made in the Federal Register during the week of September 6th. (Rel. No. 34-65269).
A proposed rule change filed by Chicago Stock Exchange, Inc. (SR-CHX-2011-25) to alter its order cancellation fee has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected to made in the Federal Register during the week of September 6th. (Rel. No. 34-65268).
Investment Company Act Releases
Northern Trust Investments, Inc., et al.
An order has been issued on an application filed by Northern Trust Investments, Inc., et al., for an order to permit: (a) series of certain open-end management investment companies whose portfolios will consist of the component securities of a securities index to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. The order supersedes a prior order. (Rel. No. IC-29782 / September 6, 2011).
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 SPECTRUM PHARMACEUTICALS INC, 11500 S. EASTERN AVE., SUITE 240,
HENDERSON, NV, 89052, 702-835-6300 - 0 ($8,706,298.00) Other,
(File 333-176681 - Sep. 6) (BR. 01C)
S-8 VALUECLICK INC/CA, 30699 RUSSELL RANCH DRIVE, SUITE 250,
WESTLAKE VILLAGE, CA, 91362, 818 575-4500 -
1,009,001 ($2,159,262.14) Equity, (File 333-176682 - Sep. 6) (BR. 11C)
S-3ASR VALUECLICK INC/CA, 30699 RUSSELL RANCH DRIVE, SUITE 250,
WESTLAKE VILLAGE, CA, 91362, 818 575-4500 -
7,481,387 ($114,689,662.71) Equity, (File 333-176683 - Sep. 6) (BR. 11C)
S-1 Havana Furnishings Inc., EDIFICIO ULTRAMAR PLAZA APT.#4A, 47TH STREET,
PANAMA CITY, R1, 00000, 0000000000 - 4,000,000 ($60,000.00) Equity,
(File 333-176684 - Sep. 6) (BR. )
S-1 Carlyle Group L.P., C/O THE CARLYLE GROUP,
1001 PENNSYLVANIA AVENUE, N.W., WASHINGTON, DC, 20004, 202 729 5626 -
0 ($100,000,000.00) Limited Partnership Interests, (File 333-176685 -
Sep. 6) (BR. 06)
S-1 San Lotus Holding Inc, 4790 CAUGHLIN PKWY, SUITE 387, RENO, NV, 89519,
775-851-7397 - 494,000 ($74,100.00) Equity, (File 333-176694 - Sep. 6)
(BR. )
S-8 Crocs, Inc., 6328 MONARCH PARK PLACE, NIWOT, CO, 80503, 3038487000 -
0 ($174,825.00) Equity, (File 333-176696 - Sep. 6) (BR. 06C)
S-3ASR SYNOVUS FINANCIAL CORP, 1111 BAY AVENUE, STE 500 PO BOX 120, COLUMBUS,
GA, 31901, 7066494818 - 3,000,000 ($4,215,000.00) Equity,
(File 333-176699 - Sep. 6) (BR. 07B)
S-3 XPO Logistics, Inc., 429 POST ROAD, BUCHANAN, MI, 49107, 269-695-2700 -
0 ($650,000,000.00) Unallocated (Universal) Shelf, (File 333-176700 -
Sep. 6) (BR. 05C)
S-4 UNION PACIFIC CORP, 1400 DOUGLAS STREET, STOP 0310, OMAHA, NE, 68179,
402 544 5214 - 0 ($750,000,000.00) Non-Convertible Debt,
(File 333-176701 - Sep. 6) (BR. 05C)
S-1 HBC Acquisition Corp, 3963 MAPLE AVENUE, SUITE 450, DALLAS, TX, 75219,
214-451-4640 - 0 ($115,000,000.00) Other, (File 333-176703 - Sep. 6)
(BR. )
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
1 800 FLOWERS COM INC DE 8.01,9.01 09/06/11
A5 Laboratories Inc. NV 4.01,9.01 08/30/11
AbitibiBowater Inc. DE 7.01 09/02/11 AMEND
ACE MARKETING & PROMOTIONS INC NY 7.01,9.01 09/06/11
ADEPT TECHNOLOGY INC DE 5.02 08/31/11
AES CORP DE 5.02,9.01 09/04/11
ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 5.02 08/30/11
ALLIANT TECHSYSTEMS INC DE 8.01,9.01 09/06/11
AlphaMetrix Managed Futures LLC DE 3.02 09/01/11
ALPHARX INC DE 1.01,9.01 09/02/11
AMASYS CORP DE 1.01 08/31/11
AMERICAN AIRLINES INC DE 8.01 09/06/11
AMERICAN AIRLINES INC DE 7.01 09/06/11
AMERICAN SUPERCONDUCTOR CORP /DE/ DE 7.01 09/06/11
AMERISOURCEBERGEN CORP DE 8.01,9.01 09/02/11
AMPAL-AMERICAN ISRAEL CORP NY 5.02 09/06/11
AMR CORP DE 8.01 09/06/11
AMR CORP DE 7.01 09/06/11
Andatee China Marine Fuel Services Co DE 8.01 09/02/11
ARIAD PHARMACEUTICALS INC DE 8.01,9.01 09/06/11
Armour Residential REIT, Inc. MD 7.01,9.01 09/06/11
ARTESIAN RESOURCES CORP DE 1.01,9.01 08/31/11
ASIAINFO-LINKAGE, INC DE 5.07 04/21/11 AMEND
ASSOCIATED BANC-CORP WI 8.01,9.01 09/06/11
AUTONATION, INC. DE 7.01,9.01 09/06/11
AUXILIUM PHARMACEUTICALS INC 7.01,9.01 09/06/11
AUXILIUM PHARMACEUTICALS INC 7.01,9.01 09/06/11
AVI BIOPHARMA INC OR 5.02 09/06/11
BankFinancial CORP 5.02,9.01 09/02/11
BAZI INTERNATIONAL, INC. NV 8.01,9.01 08/30/11
BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 09/06/11
BIOHEART, INC. FL 7.01,9.01 08/30/10
BIOTIME INC CA 1.01,9.01 08/30/11
BLYTH INC DE 2.02 09/06/11
Brownshire Holdings, Inc. NV 4.01,9.01 09/06/11
CAPITAL BANK CORP NC 1.01,9.01 09/01/11
Casablanca Mining Ltd. NV 1.01,3.02,9.01 09/01/11
CATASYS, INC. DE 8.01,9.01 09/02/11
CB RICHARD ELLIS GROUP INC DE 7.01,9.01 09/06/11
CEL SCI CORP CO 1.01 09/01/11
CELGENE CORP /DE/ DE 1.01,2.03,9.01 09/02/11
CenterState Banks, Inc. FL 7.01 09/06/11
CENTRAL VIRGINIA BANKSHARES INC VA 5.02 08/30/11
CHART INDUSTRIES INC DE 7.01,9.01 09/06/11
China Direct Industries, Inc. FL 1.01,3.02,7.01,9.01 08/30/11
China Fruits Corp NV 5.02 09/01/11
Chrysler Group LLC DE 5.02,9.01 09/06/11
CLAIBORNE LIZ INC DE 1.01,2.06,7.01,9.01 09/01/11
CODEXIS INC 1.01 08/30/11
COMMUNITY FIRST INC TN 5.02 08/30/11
COMSCORE, INC. DE 5.02,9.01 09/06/11
Conquest Petroleum Inc TX 8.01,9.01 09/06/11
CORE LABORATORIES N V P7 1.01 08/30/11
CORINTHIAN COLLEGES INC 5.02,9.01 09/01/11
CorMedix Inc. DE 1.01,9.01 08/31/11
CORNERSTONE THERAPEUTICS INC DE 5.02 08/30/11
CORNING NATURAL GAS CORP NY 7.01 09/01/11
CRYOLIFE INC FL 1.01 08/30/11
Cyalume Technologies Holdings, Inc. DE 1.01,3.02,9.01 08/31/11
DARDEN RESTAURANTS INC FL 7.01,9.01 09/06/11
DAWSON GEOPHYSICAL CO TX 8.01,9.01 09/06/11
DECKERS OUTDOOR CORP DE 1.01,2.03,9.01 08/30/11
DELCATH SYSTEMS INC DE 8.01,9.01 09/01/11
DENDREON CORP DE 1.02 09/01/11
DENTSPLY INTERNATIONAL INC /DE/ DE 1.01,2.03,9.01 08/31/11
DineEquity, Inc DE 5.02,7.01,9.01 09/06/11
DineEquity, Inc DE 7.01,9.01 09/06/11
DISCOVERY LABORATORIES INC /DE/ DE 8.01,9.01 09/06/11
DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 1.02 08/31/11
DRI CORP NC 1.01,2.03,9.01 08/30/11
DURECT CORP DE 8.01,9.01 09/06/11
DUSA PHARMACEUTICALS INC NJ 1.02 08/31/11
DYNACQ HEALTHCARE INC NV 5.07 09/02/11
Eastern Insurance Holdings, Inc. PA 1.01,9.01 09/02/11
EBAY INC DE 5.02,9.01 09/02/11
ECOLAB INC DE 8.01,9.01 09/06/11
ELECSYS CORP KS 2.02,9.01 09/06/11
EMERALD DAIRY INC NV 1.01,2.03,8.01,9.01 08/23/11
EMMAUS HOLDINGS, INC. DE 5.02 09/01/11
EMPIRE ENERGY CORP UT 1.01,8.01,9.01 08/22/11
Employers Holdings, Inc. NV 7.01 09/06/11
EXAR CORP DE 5.07 08/31/11
EXELON CORP PA 7.01,9.01 09/06/11
EXPRESS, INC. 5.02 09/01/11
FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 2.02 09/06/11
Federal Home Loan Bank of Atlanta X1 2.03 09/06/11
Federal Home Loan Bank of Boston X1 2.03 09/01/11
Federal Home Loan Bank of Chicago X1 2.03 08/31/11
Federal Home Loan Bank of New York X1 2.03,9.01 08/31/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/31/11
Federal Home Loan Bank of San Francis X1 2.03 08/31/11
Federal Home Loan Bank of Seattle 2.03 08/31/11
Fidelity National Information Service 7.01,9.01 09/06/11
FIRST BANCORP /NC/ NC 1.01,3.02,3.03,5.02,
5.03,8.01,9.01 08/30/11
Flagstone Reinsurance Holdings, S.A. N4 1.01,9.01 08/31/11
FOREST OIL CORP NY 8.01,9.01 09/06/11
Fortune Brands Home & Security, Inc. DE 7.01,9.01 09/06/11
Fortune Brands Home & Security, Inc. DE 1.01,3.03,5.03,8.01,
9.01 09/06/11
Fortune Brands Home & Security, Inc. DE 1.01,2.03 08/31/11
FORTUNE BRANDS INC DE 1.01,2.03 08/31/11
FORWARD INDUSTRIES INC NY 1.01,9.01 08/30/11
FRONTIER COMMUNICATIONS CORP DE 7.01,9.01 09/06/11
FX ENERGY INC NV 7.01,9.01 09/06/11
GARB OIL & POWER CORP UT 4.01,9.01 07/29/11 AMEND
GCI INC AK 1.01,2.03,9.01 08/30/11
GENERAL COMMUNICATION INC AK 1.01,2.03,9.01 08/30/11
GENTA INC DE/ DE 1.01,3.02,9.01 09/06/11
GRAPHON CORP/DE DE 8.01 09/02/11
GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 09/02/11
GUIDED THERAPEUTICS INC DE 7.01,9.01 09/06/11
Harbin Electric, Inc 8.01,9.01 09/06/11
HARDINGE INC NY 1.01,2.03 08/31/11
HAWKER BEECHCRAFT ACQUISITION CO LLC DE 5.02,9.01 09/06/11
HEALTHSOUTH CORP DE 7.01,9.01 09/06/11
HealthWarehouse.com, Inc. DE 1.01,2.03,3.02,9.01 09/02/11
HollyFrontier Corp DE 7.01,9.01 09/06/11
ICAGEN INC DE 5.01,9.01 09/02/11
IEH CORPORATION NY 5.02,5.07,9.01 08/31/11
III TO I MARITIME PARTNERS CAYMAN I L 8.01,9.01 08/31/11
IMPAX LABORATORIES INC DE 5.02,9.01 09/06/11
INKSURE TECHNOLOGIES INC. DE 1.01,9.01 09/06/11
Innocent, Inc. 1.02 09/02/11
INTERNATIONAL PAPER CO /NEW/ NY 1.01,9.01 09/06/11
INTERNATIONAL PAPER CO /NEW/ NY 1.01,9.01 09/06/11
INVESTORS REAL ESTATE TRUST ND 8.01 09/06/11
KAMAN CORP CT 8.01,9.01 09/06/11
KENSINGTON LEASING, LTD. NV 5.02 08/30/11
Kinetic Resources Corp. NV 1.01,5.01,5.02,
8.01,9.01 08/31/11
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 09/06/11
LAKESIDE MORTGAGE FUND LLC CA 4.01,9.01 08/30/11
LECTEC CORP /MN/ MN 8.01,9.01 09/06/11
LEFT BEHIND GAMES INC. WA 7.01,9.01 09/06/11
LianDi Clean Technology Inc. NV 8.01,9.01 09/06/11
Liberty Global, Inc. DE 2.03 09/06/11
Limelight Networks, Inc. DE 1.01,8.01,9.01 08/30/11
Lone Pine Resources Inc. DE 7.01,8.01,9.01 09/06/11
LYRIS, INC. 1.01,2.03,9.01 08/31/11
MAINLAND RESOURCES INC. 5.02 08/30/11
Marathon Petroleum Corp DE 7.01 09/06/11
MARTHA STEWART LIVING OMNIMEDIA INC DE 5.02 09/06/11
MEDCO HEALTH SOLUTIONS INC DE 8.01 09/02/11
MELA SCIENCES, INC. /NY 8.01,9.01 09/06/11
MET PRO CORP PA 2.01,9.01 09/06/11
MOHEGAN TRIBAL GAMING AUTHORITY 5.02 08/30/11
Morningstar, Inc. IL 5.07 05/17/11 AMEND
MULTI FINELINE ELECTRONIX INC 8.01 09/02/11
NATIONAL RETAIL PROPERTIES, INC. MD 7.01,9.01 09/06/11
NATURAL GAS SERVICES GROUP INC 5.02 09/02/11
NETSOL TECHNOLOGIES INC NV 3.01 09/02/11
Neurokine Pharmaceuticals Inc. A1 5.02 08/30/11
NEWS CORP 8.01,9.01 09/05/11
Nova Lifestyle, Inc. NV 1.01,9.01 08/31/11
Nuveen Diversified Commodity Fund DE 5.02,8.01 08/30/11
Nuveen Mortgage Opportunity Term Fund MA 2.02,9.01 08/29/11
Obscene Jeans Corp. FL 5.02 09/06/11
Orpheum Property Inc DE 1.01,2.01,3.02,9.01 05/21/11
OURPETS CO CO 8.01,9.01 09/01/11
Pacira Pharmaceuticals, Inc. DE 1.01,7.01,9.01 08/30/11
PATHFINDER BANCORP INC DE 1.01 09/01/11
PCS EDVENTURES COM INC ID 1.01,2.03,9.01 09/27/10 AMEND
PEP BOYS MANNY MOE & JACK PA 2.02,9.01 09/06/11
Pike Electric CORP 2.02,9.01 09/06/11
PINNACLE WEST CAPITAL CORP AZ 7.01,9.01 09/06/11
PIONEER NATURAL RESOURCES CO DE 7.01 09/06/11
PLAINS EXPLORATION & PRODUCTION CO DE 7.01,9.01 09/06/11
Poage Bankshares, Inc. MD 8.01,9.01 09/02/11
POTOMAC BANCSHARES INC WV 5.02 08/31/11
POZEN INC /NC 8.01 08/31/11
PRAXAIR INC DE 1.01,9.01 09/06/11
PROGRESS SOFTWARE CORP /MA MA 2.02,9.01 09/06/11
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 4.01,9.01 09/01/11
RASER TECHNOLOGIES INC UT 8.01 08/30/11
RED MOUNTAIN RESOURCES, INC. FL 4.01,9.01 08/30/11
REINSURANCE GROUP OF AMERICA INC MO 7.01,9.01 09/06/11
RESPECT YOUR UNIVERSE, INC. 3.02 08/05/11 AMEND
Roadrunner Transportation Systems, In DE 1.01,2.01,2.03,9.01 08/31/11
ROBERTS REALTY INVESTORS INC GA 8.01,9.01 09/06/11
ROOMLINX INC NV 5.02,5.07 08/31/11
SABINE ROYALTY TRUST TX 2.02,9.01 09/02/11
Sara Lee Corp MD 1.01 08/30/11
SAVIENT PHARMACEUTICALS INC DE 5.02,9.01 09/01/11
SEABOARD CORP /DE/ DE 1.02,5.02,8.01,9.01 09/01/11
Searchlight Minerals Corp. NV 7.01,9.01 09/06/11
Select Notes Trust LT 2004-1 DE 8.01,9.01 09/01/11
SFN Group Inc. DE 1.02,3.01,3.03,5.01,
5.02,5.03,9.01 09/02/11
SILGAN HOLDINGS INC DE 8.01,9.01 09/06/11
SmartMetric, Inc. 8.01,9.01 08/29/11
SMSA Treemont Acquisition Corp NV 1.01,2.01,3.02,4.01,
5.01,5.02,5.06,9.01 09/06/11 AMEND
SMTC CORP DE 8.01,9.01 09/01/11
Spirit Airlines, Inc. DE 8.01,9.01 09/06/11
Stalar 1, Inc. DE 1.01,9.01 09/02/11
STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 09/01/11
STRUCTURED PRODUCTS CORTS TRUST FOR J DE 8.01,9.01 09/01/11
Surna Inc. NV 1.02,2.01,3.02,9.01 09/06/11
SYNOVUS FINANCIAL CORP GA 1.01,8.01,9.01 09/06/11
TBX RESOURCES INC TX 1.01,3.02,5.02,
7.01,9.01 09/01/11
TEMPLE INLAND INC DE 8.01,9.01 09/06/11
TGC INDUSTRIES INC TX 8.01,9.01 09/02/11
TIB FINANCIAL CORP. FL 8.01,9.01 09/01/11
Tiga Energy Services Inc. NV 1.01,9.01 08/31/11
Timberline Resources Corp DE 7.01,8.01,9.01 09/01/11
TITANIUM METALS CORP DE 7.01,9.01 09/06/11
TNP Strategic Retail Trust, Inc. MD 1.01,9.01 08/31/11
TRUE RELIGION APPAREL INC DE 5.07 04/27/11 AMEND
TWO RIVERS WATER Co CO 7.01 09/01/11
Under Armour, Inc. MD 5.02,9.01 09/06/11
UNICO INC /AZ/ AZ 5.02 08/26/11
UNITED COMMUNITY FINANCIAL CORP OH 1.01,9.01 08/31/11
United Maritime Group, LLC FL 5.02 08/30/11
UNITEDHEALTH GROUP INC MN 7.01 09/06/11
Universal Truckload Services, Inc. MI 7.01,9.01 09/06/11
US AIRWAYS GROUP INC DE 2.02,9.01 09/06/11
VANGUARD HEALTH SYSTEMS INC DE 2.01,9.01 09/06/11
VERIFONE SYSTEMS, INC. DE 2.02,7.01,9.01 09/06/11
VERIFONE SYSTEMS, INC. DE 2.02,9.01 09/06/11
VERINT SYSTEMS INC DE 7.01,9.01 09/02/11
VERITEC INC NV 5.02 08/29/11
ViewPoint Financial Group Inc. MD 5.02 09/06/11
VIROPHARMA INC DE 8.01,9.01 09/06/11
Vringo Inc DE 5.02 09/01/11
WALGREEN CO IL 7.01,9.01 09/06/11
WALGREEN CO IL 2.02,9.01 09/06/11
WASHINGTON BANKING CO WA 5.02 09/02/11
WEBSENSE INC DE 5.02,9.01 09/06/11
WESTWOOD ONE INC /DE/ DE 1.01,8.01 08/30/11
WILEY JOHN & SONS, INC. NY 8.01 09/06/11
WORLD FUEL SERVICES CORP FL 7.01,9.01 09/06/11
WYNN RESORTS LTD 7.01,9.01 09/05/11
XcelMobility Inc. NV 2.01,3.02,5.01,5.02,
5.03,5.06,9.01 08/30/11
XPO Logistics, Inc. DE 1.01,3.02,3.03,5.01,
5.02,5.03,8.01,9.01 09/02/11
YUM BRANDS INC NC 5.02 09/01/11
Zagg INC NV 2.01,9.01 06/21/11 AMEND
ZAP CA 5.02 09/01/11
ZIOPHARM ONCOLOGY INC DE 5.02,9.01 09/06/11
http://www.sec.gov/news/digest/2011/dig090711.htm
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