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SEC News Digest
Issue 2011-183
September 21, 2011
Commission Announcements
Closed Meeting on Monday, September 26, 2011 at 10:00 a.m.
The subject matter of the Closed Meeting scheduled for Monday, September 26, 2011, will be: institution and settlement of an administrative proceeding.
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.
Enforcement Proceedings
In the Matter of Mark S. Parnass
On September 2, 2011, the Commission denied the motion of Mark S. Parnass to vacate a Commission order imposed in 1975 with Parnass' consent for aiding and abetting his firm's net capital violations. The order barred Parnass from associating with any broker, dealer, investment adviser, or investment company, with the right to reapply to become associated with a broker-dealer in a non-supervisory and non-proprietary capacity after eighteen months and in a supervisory and proprietary capacity after three and one-half years.
Noting, among other things, that the Commission issued another consent order in 1986 which found that Parnass violated the registration provisions of the Securities Act of 1933, the Commission concluded that "Parnass has not presented 'compelling circumstances' that demonstrate that the public interest and investor protection will be served if Parnass is permitted to function in the securities industry without the safeguards provided by the 1975 Order." Although the Commission denied Parnass' motion to vacate his bar from associating with a broker or dealer, it vacated that portion of the order that imposed a collateral bar against Parnass from associating with an investment company or investment advisor, citing a similar result in Salim B. Lewis. (Rel. 34-65261; File No. 3-4393)
In the Matter of John Scott Clark
On September 8, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against John Scott Clark (Clark). The Order finds that Clark was the founder and control person of Impact Cash, LLC and Impact Payment Systems, LLC. From at least March 2006, Clark was acting as an unregistered broker selling securities in the form of Joint Operating Agreements for Impact Cash, LLC and Impact Payment Systems, LLC. The Order further finds that on June 16, 2011, a judgment was entered by consent against Clark, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. John Scott Clark, et al., Civil Action Number 1:11-CV-0046, in the United States District Court for the District of Utah.
Based on the above, the Order bars Clark from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock.
Clark 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. 34-65294; File No. 3-14540)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Three Public Companies for Failure to Make Required Periodic Filings
On September 20, 2011, 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 three companies for failure to make required periodic filings with the Commission:
- Sharon Energy, Ltd.
- Sheldahl, Inc. (SHELQ)
- Sonoma International, Inc.
In this Order, the Division of Enforcement (Division) alleges that the three 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. 34-65363; File No. 3-14556)
In the Matter of Basin Water, Inc.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default (Default Order) in Basin Water, Inc., Admin. Proc. No. 3-14450. The Order Instituting Proceedings alleged that Respondent repeatedly failed to file required annual and quarterly reports 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 Basin Water, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-65364; File No. 3-14450)
In the Matter of Colorado Wyoming Reserve Co., Grant Life Sciences, Inc., NOXSO Corp., Omni Medical Holdings, Inc., and TSI, Inc.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Three Respondents (Default Order) in Colorado Wyoming Reserve Co., Admin. Proc. No. 3-14508. 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 Colorado Wyoming Reserve Co., Grant Life Sciences, Inc., and Omni Medical Holdings, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934.
The proceeding has ended as to TSI, Inc., and NOXSO Corp. See Colorado Wyoming Reserve Co., Exchange Act Release Nos. 65334 (Sept. 14, 2011), and 65304 (Sept. 9, 2011), respectively. (Rel. 34-65365; File No. 3-14508)
Commission Revokes Registration of Securities of Scoot.com PLC (n/k/a Coe Group LTD) for Failure to Make Required Periodic Filings
On September 21, 2011, the Commission revoked the registration of each class of registered securities of Scoot.com PLC (n/k/a Coe Group Ltd) (Coe Group) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Coe Group consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Scoot.com PLC (n/k/a Coe Group Ltd) finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-16 thereunder and revoking the registration of each class of Coe Group’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Coe Group in In the Matter of Santa Cruz Gold, Inc., et al., Administrative Proceeding File No. 3-14503.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Santa Cruz Gold, Inc., et al., Administrative Proceeding File No. 3-14503, Exchange Act Release No. 65097, August 10, 2011. (Rel. 34-65366; File No. 3-14503)
Commission Revokes Registration of Securities of Kingsley Coach, Inc. (The) for Failure to Make Required Periodic Filings
On September 21, 2011, the Commission revoked the registration of each class of registered securities of Kingsley Coach, Inc. (The) (KNGS) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, KNGS consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Kingsley Coach, Inc. (The) finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of KNGS’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against KNGS in In the Matter of Consolidated Energy, Inc., et al., Administrative Proceeding File No. 3-14507.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Consolidated Energy, Inc., et al., Administrative Proceeding File No. 3-14507, Exchange Act Release No. 65154 (August 18, 2011). (Rel. 34-65367; File No. 3-14507)
In the Matter of Spencer D. Mindlin and Alfred C. Mindlin, CPA
On September 21, 2011, the Commission issued an order instituting administrative and cease-and-desist proceeding as to Spencer D. Mindlin and cease-and-desist proceeding as to Alfred C. Mindlin. The Division of Enforcement alleges that Spencer Mindlin conveyed material nonpublic information that he obtained in the course of his duties as an employee of Goldman, Sachs & Co. (Goldman Sachs) to his father, Alfred Mindlin. Spencer and Alfred Mindlin then traded based on this information in a brokerage account in the name of a family member and in Alfred Mindlin’s brokerage account.
Specifically, the Division of Enforcement alleges in the Order that while working on Goldman Sachs’s Exchange-Traded Funds Desk, Spencer Mindlin obtained material nonpublic information concerning Goldman Sachs’s plans to purchase and sell large amounts of securities underlying an exchange-traded fund, the SPDR S&P Retail ETF (XRT). Spencer and Alfred Mindlin then traded in these securities ahead of Goldman Sachs. Prior to Goldman Sachs placing large buy orders in securities underlying the XRT (XRT underliers), Spencer and Alfred Mindlin took long positions in those same securities. When Goldman Sachs placed large sell orders in XRT underliers, Spencer and Alfred Mindlin took short positions in those same securities. On four occasions, in December 2007 and March 2008, Spencer and Alfred Mindlin traded XRT underliers with knowledge of Goldman’s trading intentions, reaping illicit profits in excess of $57,000.
The Division of Enforcement further alleges in the Order that Spencer Mindlin and Alfred Mindlin willfully violated Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, which prohibit fraudulent conduct in the offer and sale of securities and in connection with the purchase or sale of securities. A hearing will be scheduled before an administrative law judge to determined whether the allegations contained in the Order are true, to provide Spencer Mindlin and Alfred Mindlin an opportunity to dispute the allegations, and to determine what sanctions, if any, are appropriate and in the public interest. The Administrative Law Judge shall issue an initial decision no later than the 300 days from the date of the service of the order. (Rels. 33-9261; 34-65372; IA-3284; IC-29813; File No. 3-14557)
Former Polycom, Inc., Executive Settles Insider Trading Charges
The Securities and Exchange Commission announced today that, on September 19, 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 Sunil Bhalla in SEC v. Feinblatt, 11-CV-0170, the last remaining defendant in an insider trading case the SEC filed on January 10, 2011.
The Complaint alleged that Bhalla, then a senior executive at Polycom, Inc. (“Polycom”) tipped Roomy Khan, an individual investor, to material, nonpublic information concerning Polycom’s financial performance and anticipated financial performance. The Complaint alleged that Khan traded on the information, and passed it on to certain other defendants in the case, who then traded on the basis of the Polycom inside information and other inside information given to them by Khan, reaping illicit trading profits, in the aggregate, of more than $15 million. The illicit trading profits resulting from Bhalla’s Polycom tip to Khan alleged in the complaint totaled approximately $2.5 million.
To settle the SEC’s charges, Bhalla consented to the entry of a judgment that: (i) permanently enjoins him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; (ii) orders him to pay a civil penalty of $85,000; and (iii) bars him from serving as an officer or director of a public company for 5 years from the date of the entry of the judgment.
For further information, see Litigation Release Nos.: 21802 (Jan. 10, 2011); 22005 (June 17, 2011); 22085 (Sept. 7, 2011). [SEC v. Feinblatt, et al., Civil Action No. 11-CV-0170 (SDNY) (JSR)] (LR-22100)
Investment Company Act Releases
Stone Harbor Emerging Markets Income Fund, et al.
A notice has been issued giving interested persons until October 11, 2011, to request a hearing on an application filed by Stone Harbor Emerging Markets Income Fund, et al., under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Section 19(b) of the Act and Rule 19b-1 under the Act. The order would permit certain registered closed-end management investment companies to make periodic distributions of long-term capital gains with respect to their outstanding common stock as frequently as monthly in any taxable year, and as frequently as distributions are specified by or in accordance with the terms of any outstanding preferred stock that such investment companies may issue. (Rel. IC-29791 - September 16)
ASGI Agility Income Fund, et al.
A notice has been issued giving interested persons until October 14, 2011, to request a hearing on an application filed by ASGI Agility Income Fund, et al. for an order under Section 6(c) of the Investment Company Act (Act) for an exemption from Sections 18(c) and 18(i) of the Act, and an order pursuant to Section 17(d) of the Act and Rule 17d-1 under the Act. The order would permit certain registered closed-end management investment companies to issue multiple classes of shares and to impose asset-based distribution and service fees and contingent deferred sales loads. (Rel. IC-29793 - September 19)
Curian Series Trust And Curian Capital, LLC
A notice has been issued giving interested persons until October 14, 2011 to request a hearing on an application filed by Curian Series Trust and Curian Capital, LLC for an order exempting them from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC-29794 - September 19)
Self-regulatory organizations
Proposed Rule Changes
BATS Y-Exchange, Inc. filed a proposed rule change (SR-BYX-2011-022) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend and restate the Amended and Restated Bylaws of BATS Global Markets, Inc. Publication is expected in the Federal Register during the week of September 26. (Rel. 34-65352)
BATS Exchange, Inc. filed a proposed rule change (SR-BATS-2011-035) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend and restate the Amended and Restated Bylaws of BATS Global Markets, Inc. Publication is expected in the Federal Register during the week of September 26. (Rel. 34-65353)
The Chicago Stock Exchange, Inc. has filed a proposed rule change (SR-CHX-2011-29) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to change the status of Exchange-registered Institutional Broker firms. Publication is expected in the Federal Register during the week of September 26. (Rel. 34-65354)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change (SR-C2-2011-022) filed by the C2 Options Exchange, Incorporated (C2) that, among other things, provides C2 with flexibility in establishing the allocation algorithm for its complex order book and complex order auction has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of September 26. (Rel. 34-65360)
Approval of Proposed Rule Change
The Commission granted approval of a proposed rule change (SR-ISE-2011-42) submitted by International Securities Exchange, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to Rule 717. Publication is expected in the Federal Register during the week of September 26. (Rel. 34-65361)
Disapproval of Proposed Rule Change
The Commission disapproved a proposed rule change (SR-NASDAQ-2011-010) submitted by the NASDAQ Stock Market LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to link market data fees and transaction execution fees. Publication is expected in the Federal Register during the week of September 26. (Rel. 34-65362)
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-3ASR FIRST NIAGARA FINANCIAL GROUP INC, 6950 SOUTH TRANSIT ROAD, PO BOX 514,
LOCKPORT, NY, 14095, 7166257500 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-176919 - Sep. 20)
(BR. 07B)
S-8 Taomee Holdings Ltd, 16/F, Bldg No. A-2, No. 1528 Gumei Road,
Xuhui District, Shanghai, F4, 200233, (86-21) 6128-0056 -
0 ($24,222,800.00) ADRs/ADSs, (File 333-176920 - Sep. 20) (BR. 03A)
S-8 XPO Logistics, Inc., 429 POST ROAD, BUCHANAN, MI, 49107, 269-695-2700 -
0 ($4,880,000.00) Equity, (File 333-176921 - Sep. 20) (BR. 05C)
S-8 Star Bulk Carriers Corp., 7, FRAGOKLISIAS STREET, 2ND FLOOR,
MAROUSSI 151 25, ATHENS, J3, 00000, 011-30-210-617-8400 -
0 ($6,624,442.00) Equity, (File 333-176922 - Sep. 20) (BR. 05C)
S-8 DRINKS AMERICAS HOLDINGS, LTD, 372 DANBURY ROAD, WILTON, CT, 06997,
2037627000 - 75,000,000 ($750,000.00) Equity, (File 333-176923 -
Sep. 20) (BR. 09A)
S-8 Vitacost.com, Inc., 5400 BROKEN SOUND BLVD NW, SUITE 500, BOCA RATON,
FL, 33487-3521, (561) 982-4180 - 6,000,000 ($27,360,000.00) Equity,
(File 333-176925 - Sep. 20) (BR. 02B)
S-3ASR WINDSTREAM CORP, 4001 RODNEY PARHAM RD., LITTLE ROCK, AR, 72212,
5017487000 - 0 ($75,579,000.00) Equity, (File 333-176927 - Sep. 20)
(BR. 11A)
S-3ASR KB HOME, 10990 WILSHIRE BLVD, LOS ANGELES, CA, 90024, 3102314000 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-176930 - Sep. 20)
(BR. 06B)
S-8 ECOTALITY, INC., 80 E RIO SALADO PARKWAY, SUITE 710, TEMPE, AZ, 85281,
(480) 219-5005 - 63,248 ($130,291.00) Equity, (File 333-176931 -
Sep. 20) (BR. 10B)
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
3D SYSTEMS CORP DE 8.01,9.01 09/20/11
8X8 INC /DE/ DE 2.01,3.02,8.01,9.01 09/15/11
ABRAXAS PETROLEUM CORP NV 7.01,9.01 09/20/11
ACCENTIA BIOPHARMACEUTICALS INC 7.01,9.01 09/20/11
ADOBE SYSTEMS INC DE 2.02,8.01,9.01 09/20/11
ADVANCED ANALOGIC TECHNOLOGIES INC DE 8.01,9.01 09/20/11
Aegerion Pharmaceuticals, Inc. DE 8.01 09/13/11
AFS SenSub Corp. 8.01,9.01 09/20/11
AGL RESOURCES INC GA 1.01,2.03,7.01,9.01 09/15/11
Aircastle LTD D0 7.01,9.01 09/19/11
Alkermes plc. L2 5.02,9.01 09/15/11
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 09/20/11
Alto Group Holdings Inc. NV 5.02 09/19/11
Alto Group Holdings Inc. NV 5.02 09/20/11
AMERICAN CAMPUS COMMUNITIES INC MD 7.01,9.01 09/19/11
AMERICAN CAPITAL, LTD 8.01,9.01 09/20/11
AMERICAN DEFENSE SYSTEMS INC DE 3.01,8.01,9.01 09/14/11
American Energy Development Corp. NV 1.01,7.01,9.01 09/13/11
AMERICAN REALTY CAPITAL - RETAIL CENT MD 8.01 09/19/11
ANADYS PHARMACEUTICALS INC 3.01 09/14/11
ANALOGIC CORP MA 2.02,9.01 09/20/11
AP PHARMA INC /DE/ DE 8.01,9.01 09/19/11
Armour Residential REIT, Inc. MD 8.01,9.01 09/16/11
Artio Global Investors Inc. DE 5.02 09/15/11
ASB Bancorp Inc NC 8.01,9.01 09/19/11
ASBURY AUTOMOTIVE GROUP INC DE 8.01 09/20/11
ASTROTECH Corp \WA\ WA 2.02,9.01 09/20/11
ATP OIL & GAS CORP TX 5.07 05/26/11 AMEND
AUTOZONE INC NV 2.02,9.01 09/20/11
AvStar Aviation Group, Inc. CO 3.02,8.01,9.01 08/29/11
Babcock & Wilcox Co DE 5.02,9.01 09/19/11
BALCHEM CORP MD 5.02,9.01 09/15/11
BANKUNITED FINANCIAL CORP FL 8.01,9.01 09/15/11
BARCLAY ROAD, INC. WY 1.01,2.01,3.02,5.01, 09/19/11
5.02,8.01,9.01
BARD C R INC /NJ/ NJ 8.01 09/20/11
BARNES & NOBLE INC DE 5.02,8.01,9.01 09/20/11
BigBand Networks, Inc. DE 5.02,9.01 09/16/11
BIOMODA INC/NM 5.03,5.07,9.01 09/16/11
BioPharma Manufacturing Solutions Inc 3.02,5.01,5.02,5.03 08/31/11 AMEND
BJs RESTAURANTS INC CA 8.01,9.01 09/20/11
BLONDER TONGUE LABORATORIES INC DE 5.02,7.01,9.01 09/14/11
BORDERS GROUP INC MI 7.01,9.01 09/20/11
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 7.01,9.01 09/20/11
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 5.02,9.01 09/16/11
BUCKLE INC NE 8.01,9.01 09/20/11
CABCO SERIES 2004-102 TRUST (SBC COMM 8.01,9.01 09/15/11
CARDINAL BANKSHARES CORP VA 5.02,9.01 09/14/11
Care Investment Trust Inc. MD 5.02,7.01,9.01 09/19/11
CARNIVAL CORP DE 2.02,9.01 09/20/11
CATERPILLAR INC DE 7.01 09/20/11
CCA INDUSTRIES INC DE 8.01 09/20/11
CELADON GROUP INC DE 8.01 09/19/11
CHAUS BERNARD INC NY 8.01,9.01 09/16/11
CHEESECAKE FACTORY INC DE 8.01,9.01 09/20/11
CHINA EDUCATION ALLIANCE INC. NC 5.02,5.07,8.01,9.01 09/18/11
CHINA ELECTRIC MOTOR, INC. DE 5.02,8.01,9.01 09/15/11
CHINA-BIOTICS, INC DE 8.01 09/15/11
CHIPOTLE MEXICAN GRILL INC 5.07 05/25/11 AMEND
CISCO SYSTEMS INC CA 5.02,9.01 09/16/11
Citadel EFT, Inc. NV 3.02 09/19/11
CLEAN POWER CONCEPTS INC. 1.02,4.02,5.02,9.01 09/09/11
CMS ENERGY CORP MI 7.01,9.01 09/20/11
CNH CAPITAL RECEIVABLES LLC DE 8.01,9.01 09/19/11 AMEND
COBRA ELECTRONICS CORP DE 1.01,2.03,9.01 09/14/11
COLOMBIA CLEAN POWER & FUELS, INC NV 1.02,5.02,8.01 09/19/11
Colony Financial, Inc. MD 8.01 09/16/11
COMARCO INC CA 1.02,2.04 09/15/11
CONAGRA FOODS INC /DE/ DE 2.02,9.01 09/20/11
CONOCOPHILLIPS DE 5.07 05/11/11 AMEND
CORONADO BIOSCIENCES INC DE 8.01 09/16/11
CORTS TRUST FOR WEYERHAEUSER DEBENTUR DE 8.01,9.01 09/15/11
CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 09/20/11
CVD EQUIPMENT CORP NY 5.07 09/14/11
CYBERONICS INC DE 1.01 09/20/11
DCT Industrial Trust Inc. MD 5.02,9.01 09/16/11
DELTATHREE INC DE 2.03 09/20/11
DELUXE CORP MN 5.02 09/14/11
diaDexus, Inc. DE 5.02 09/14/11
Digital Realty Trust, Inc. 1.01,3.02,3.03,5.03, 09/14/11
9.01
Discover Card Execution Note Trust DE 1.01,9.01 09/19/11
Discover Card Execution Note Trust DE 8.01 09/20/11
DYCOM INDUSTRIES INC FL 7.01,9.01 09/20/11
Education Realty Trust, Inc. MD 1.01,8.01,9.01 09/20/11
EL PASO CORP/DE DE 8.01 09/16/11
ELEPHANT TALK COMMUNICATIONS INC CA 5.02,5.07,9.01 09/14/11
EMERSON ELECTRIC CO MO 7.01 09/20/11
ENZON PHARMACEUTICALS INC DE 5.02 09/15/11
ESSEX PROPERTY TRUST INC MD 7.01,9.01 09/20/11
ESSEX PROPERTY TRUST INC MD 2.03,9.01 09/16/11
Essex Rental Corp. DE 7.01,9.01 09/20/11
Essex Rental Corp. DE 5.07 06/16/11 AMEND
ESTEE LAUDER COMPANIES INC DE 5.02,9.01 09/19/11
EURONET WORLDWIDE INC DE 5.05 09/14/11
EXIDE TECHNOLOGIES DE 5.07 09/16/11
EXPRESS SCRIPTS INC DE 8.01,9.01 09/20/11
FACTSET RESEARCH SYSTEMS INC DE 2.02,9.01 09/20/11
FARMERS CAPITAL BANK CORP KY 4.01,9.01 09/14/11
Federal Home Loan Bank of Atlanta X1 2.03 09/14/11
Federal Home Loan Bank of Chicago X1 2.03 09/14/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 09/16/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 09/20/11
Federal Home Loan Bank of New York X1 2.03,9.01 09/14/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 09/14/11
Federal Home Loan Bank of San Francis X1 2.03 09/16/11
Federal Home Loan Bank of Seattle 2.03 09/14/11
Federal Home Loan Bank of Seattle 2.03 07/13/11 AMEND
Federal Home Loan Bank of Topeka 2.03,9.01 09/14/11
Fifth Street Finance Corp DE 1.01,2.03,9.01 09/16/11
Fifth Street Finance Corp DE 8.01,9.01 09/20/11
FIRST BANCSHARES INC /MS/ MS 2.01,8.01,9.01 09/16/11
FIRST CAPITAL INC IN 5.02 09/19/11
FIRSTFED FINANCIAL CORP DE 8.01,9.01 09/15/11
FOREST OIL CORP NY 7.01,8.01,9.01 09/19/11
FORWARD INDUSTRIES INC NY 8.01 09/14/11
FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.03,9.01 09/20/11
FX ENERGY INC NV 1.01,1.02,9.01 09/16/11
GBS Enterprises Inc NV 7.01,9.01 03/14/11 AMEND
General Finance CORP DE 8.01,9.01 09/20/11
General Motors Co 8.01 09/14/11
GEO GROUP INC FL 8.01,9.01 09/19/11
GOLDMAN SACHS GROUP INC DE 9.01 09/20/11
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 09/20/11
Grubb & Ellis Healthcare REIT II, Inc MD 1.01,2.03,8.01,9.01 09/14/11
GULF RESOURCES, INC. DE 8.01,9.01 09/20/11
HANGER ORTHOPEDIC GROUP INC DE 8.01,9.01 09/19/11
HEALTH CARE REIT INC /DE/ DE 8.01 09/19/11
HealthMarkets, Inc. DE 5.02 09/15/11
HECLA MINING CO/DE/ DE 8.01,9.01 09/20/11
Helix Wind, Corp. NV 1.01,3.02,9.01 09/16/11
Helix Wind, Corp. NV 3.02 09/16/11
HERSHA HOSPITALITY TRUST MD 5.07 05/26/11 AMEND
Hoku Corp DE 1.01 09/19/11
HOME PROPERTIES INC MD 1.01,8.01,9.01 09/20/11
Horizon Lines, Inc. 8.01,9.01 09/19/11
HUGOTON ROYALTY TRUST TX 2.02,9.01 09/20/11
IMMERSION CORP DE 5.02 09/15/11
INSITE VISION INC DE 5.02 09/16/11
INTERNATIONAL GAME TECHNOLOGY NV 5.02 09/20/11
IRON MOUNTAIN INC DE 8.01,9.01 09/20/11
IRON MOUNTAIN INC DE 8.01 09/20/11
ITERIS, INC. DE 5.07 09/16/11
IXYS CORP /DE/ DE 5.07 09/16/11
JEFFERIES GROUP INC /DE/ DE 2.02,9.01 09/20/11
JONES SODA CO WA 3.01 09/16/11
KANSAS CITY POWER & LIGHT CO MO 8.01,9.01 09/15/11
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 09/20/11
KINDER MORGAN MANAGEMENT LLC DE 7.01 09/20/11
KINDER MORGAN, INC. DE 7.01 09/20/11
Kips Bay Medical, Inc. DE 8.01,9.01 09/20/11
Li3 Energy, Inc. NV 1.01,1.02,3.02,5.02 09/14/11
LIGHTSTONE VALUE PLUS REAL ESTATE INV MD 5.07 09/20/11
Lightstone Value Plus Real Estate Inv MD 5.07 09/20/11
LINDSAY CORP DE 5.02 09/18/11
Location Based Technologies, Inc. NV 7.01,9.01 09/07/11
Man AHL FuturesAccess LLC DE 3.02 09/15/11
MATTSON TECHNOLOGY INC DE 5.02,8.01,9.01 09/15/11
MDC HOLDINGS INC DE 8.01,9.01 09/20/11
MEDCATH CORP DE 5.02 09/14/11
MEDCO HEALTH SOLUTIONS INC DE 8.01,9.01 09/20/11
MedQuist Holdings Inc. DE 1.01,2.02,7.01,9.01 09/14/11
MEDQUIST INC NJ 1.01,9.01 09/14/11
MENDOCINO BREWING CO INC CA 2.04,3.02 09/14/11
MERCER GOLD CORP. NV 7.01,9.01 09/20/11
Meritage Homes CORP MD 7.01,9.01 09/20/11
MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 09/15/11
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 09/15/11
MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 09/20/11
MID PENN BANCORP INC PA 7.01 09/16/11
ML Aspect FuturesAccess LLC DE 3.02 09/15/11
ML Systematic Momentum FuturesAccess DE 3.02 09/15/11
ML Transtrend DTP Enhanced FuturesAcc DE 3.02 09/15/11
ML Winton FuturesAccess LLC DE 3.02 09/15/11
MONTPELIER RE HOLDINGS LTD 1.01,9.01 09/19/11
MORRIS PUBLISHING GROUP LLC GA 8.01 09/14/11
MTS SYSTEMS CORP MN 8.01,9.01 09/19/11
Mueller Water Products, Inc. DE 7.01,9.01 09/20/11
MULTIBAND CORP MN 1.01,9.01 08/17/11 AMEND
NANOPHASE TECHNOLOGIES CORPORATION IL 3.01,9.01 09/16/11
NATIONAL RURAL UTILITIES COOPERATIVE DC 8.01 09/20/11
NB&T FINANCIAL GROUP INC OH 8.01 09/20/11
NEOGENOMICS INC NV 8.01 09/20/11
NETWORK 1 SECURITY SOLUTIONS INC DE 8.01,9.01 09/15/11
NETWORK ENGINES INC DE 5.02,7.01,9.01 09/15/11
NEUROLOGIX INC/DE DE 3.02,5.02,5.03,9.01 09/19/11
NEW YORK MORTGAGE TRUST INC MD 8.01,9.01 09/20/11
NEWS CORP 8.01,9.01 09/20/11
Nine Mile Software, Inc. NV 5.02,8.01,9.01 09/13/11
OptimumBank Holdings, Inc. FL 5.02 09/12/11 AMEND
ORACLE CORP 2.02,8.01,9.01 09/20/11
Orexigen Therapeutics, Inc. DE 8.01 09/20/11
OXYGEN BIOTHERAPEUTICS, INC. DE 2.02,9.01 09/19/11
PACIFIC BIOSCIENCES OF CALIFORNIA INC 2.05 09/16/11
PARKWAY PROPERTIES INC MD 5.02 09/15/11
PATRIOT NATIONAL BANCORP INC CT 5.02 09/16/11
PCS EDVENTURES COM INC ID 5.07 09/14/11
PDL BIOPHARMA, INC. DE 7.01,9.01 09/20/11
Pebblebrook Hotel Trust MD 3.03,5.03,7.01,8.01, 09/14/11
9.01
PEOPLES EDUCATIONAL HOLDINGS MN 3.01 09/16/11
PERMIAN BASIN ROYALTY TRUST TX 2.02,7.01,9.01 09/20/11
PHI GROUP INC NV 4.01,9.01 09/06/11
POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 09/20/11
PPLUS Trust Series JPM-1 DE 8.01,9.01 09/15/11
PULSE ELECTRONICS CORP PA 5.02,9.01 09/16/11
Quadrant 4 Systems Corp FL 8.01,9.01 09/19/11
Regeneca, Inc. NV 9.01 09/19/11 AMEND
REPROS THERAPEUTICS INC. DE 8.01,9.01 09/20/11
REVA Medical, Inc. DE 7.01,9.01 09/20/11
ROWAN COMPANIES INC DE 7.01,9.01 09/20/11
S&W Seed Co DE 2.02,9.01 09/19/11
SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 09/20/11
SANTARUS INC DE 8.01,9.01 09/20/11
SCBT FINANCIAL CORP SC 8.01,9.01 09/20/11
SELECTIVE INSURANCE GROUP INC NJ 1.01,9.01 09/19/11
SINOCOKING COAL & COKE CHEMICAL INDUS FL 8.01,9.01 09/20/11
SL GREEN REALTY CORP MD 3.02,8.01,9.01 09/20/11
SMART ONLINE INC DE 5.02 09/14/11
SOLERA HOLDINGS, INC DE 5.02 09/15/11
Sono Resources, Inc. NV 1.01,9.01 09/14/11
SOUTHWEST AIRLINES CO TX 7.01 09/15/11
SOUTHWEST GAS CORP CA 5.07 09/20/11 AMEND
SPARE BACKUP, INC. DE 1.01 09/20/11
SPECTRUM PHARMACEUTICALS INC DE 7.01,9.01 09/20/11
Spine Pain Management, Inc DE 5.02,9.01 09/19/11
ST JOSEPH INC CO 4.01,9.01 09/20/11 AMEND
STRATEGIC HOTELS & RESORTS, INC 5.02,9.01 09/15/11
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 09/15/11
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 09/15/11
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 09/15/11
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 09/15/11
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 09/15/11
STRUCTURED PROD CORTS TR II FOR PROVI DE 8.01,9.01 09/15/11
STRUCTURED PRODUCTS CORP CORTS FOR PR DE 8.01,9.01 09/15/11
STRUCTURED PRODUCTS CORP CORTS TR III DE 8.01,9.01 09/15/11
SUBAYE, INC. 5.02 08/25/11 AMEND
SUN RIVER ENERGY, INC CO 7.01,9.01 09/20/11
SUPREME INDUSTRIES INC DE 1.01,1.02,2.03,9.01 09/14/11
TD AMERITRADE HOLDING CORP DE 5.02,9.01 09/14/11
THERMADYNE HOLDINGS CORP /DE DE 2.05 09/14/11
TIDELANDS ROYALTY TRUST B TX 7.01,9.01 09/20/11
TORON INC. NV 5.02 09/12/11
TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 09/20/11
TRANSATLANTIC PETROLEUM LTD. D0 1.01 09/19/11
TRANSDEL PHARMACEUTICALS INC DE 5.02 09/16/11
TRANZYME INC DE 5.02,9.01 09/19/11
TRAVELERS COMPANIES, INC. MN 5.07 05/26/11 AMEND
TreeHouse Foods, Inc. DE 5.07 09/19/11 AMEND
TRIMBLE NAVIGATION LTD /CA/ CA 9.01 09/20/11 AMEND
TSIC, Inc. DE 7.01,9.01 09/19/11
U S GOLD CORP CO 7.01,9.01 09/20/11
UNICO INC /AZ/ AZ 1.01,9.01 09/13/11
UNIVERSAL TRAVEL GROUP NV 5.07,8.01,9.01 09/19/11
USChina Taiwan Inc NV 8.01 09/20/11
VASCO DATA SECURITY INTERNATIONAL INC DE 8.01,9.01 09/19/11
VERTEX PHARMACEUTICALS INC / MA MA 8.01 09/20/11
VERTICAL HEALTH SOLUTIONS INC FL 1.01,2.01,3.02,5.01, 04/15/11 AMEND
5.02,5.06,9.01
Vicor Technologies, Inc. DE 5.02 09/19/11
VistaGen Therapeutics, Inc. NV 5.02 09/19/11
WEST CORP DE 5.02,9.01 09/16/11
WILLIAM LYON HOMES DE 8.01 09/16/11
Wonder Auto Technology, Inc NV 5.02,9.01 09/14/11
WORTHINGTON INDUSTRIES INC OH 5.02,9.01 09/14/11
XCEL ENERGY INC MN 8.01 09/15/11
XCEL ENERGY INC MN 5.02,9.01 09/19/11
XILINX INC DE 7.01,9.01 09/20/11
http://www.sec.gov/news/digest/2011/dig092111.htm
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