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SEC News Digest
Issue 2011-202
October 19, 2011
commission announcements
Commission Meetings
Closed Meeting on Wednesday, October 26, 2011 at 1:00 p.m.
The subject matter of the Closed Meeting scheduled for Wednesday, October 26, 2011, will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; a litigation matter; and other matters relating to enforcement proceedings.
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
SEC Settles Stock Option Backdating Claims With Former General Counsel of Juniper Networks and KLA-Tencor Corp.
The Securities and Exchange Commission resolved its claims with Lisa C. Berry, the former General Counsel of KLA-Tencor Corp. and Juniper Networks, Inc. The Commission alleged that from 1997 through 2003 Berry caused KLA-Tencor and Juniper to report false financial information to the investing public through her preparation of corporate records that concealed that employee stock option grants were priced with the benefit of hindsight at both companies.
Without admitting or denying the Commission’s allegations, Berry consented to pay a $350,000 civil penalty, and also to pay disgorgement totaling $77,120, including interest. In addition, Berry consented to the entry of a final judgment that will enjoin her permanently from violating Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933, Section 13(b)(5) of the Securities Exchange Act of 1934, and Rule 13b2-1 under the Exchange Act, as well as aiding and abetting violations of Sections 13(a), 13(b)(2)(A), 13(b)(2)(B), and 14(a) of the Exchange Act, and Rules 12b-20, 13a-1, 13a-11, 13a-13 and 14a-9 thereunder. The United States District Court for the Northern District of California approved the settlement on October 7, 2011.
In a separate administrative proceeding, Berry also agreed to be suspended from appearing or practicing as an attorney before the Commission. Under the terms of the agreement, Berry may apply for reinstatement in five years. Berry agreed to the suspension without admitting or denying the Commission’s allegations.
The Commission previously resolved stock option backdating claims against Juniper, KLA-Tencor, and KLA-Tencor’s former Chief Executive Officer, Kenneth L. Schroeder. All consented to resolve the Commission’s claims without admitting or denying the Commission’s allegations. [SEC v. Lisa C. Berry, Case No. 07-cv-4431-RMW (N.D. Cal.)] (LR-22132)
SEC Charges Long Term-Short Term, Inc., d/b/a BetterTrades, and Its President with Securities Law Violations
On October 18, 2011, the Securities and Exchange Commission filed a settled civil injunctive action against Long Term-Short Term Inc., d/b/a BetterTrades, and Freddie Rick, the Company’s co-founder and president. Without admitting or denying the allegations in the complaint, the defendants consented to judgments enjoining them from violating the antifraud provisions of the federal securities laws. The Company and Rick also agreed to pay, respectively, civil penalties of $750,000 and $150,000, and agreed to continue enforcing internal compliance guidelines designed to prevent future violations. BetterTrades sells products designed to teach how to trade options, including seminars, workshops and software that facilitates options trading. The Commission’s complaint alleges that from at least 2007 and continuing through at least 2008, certain BetterTrades instructors falsely claimed to be highly successful options traders using the strategies taught by BetterTrades. In marketing materials, the defendants also claimed that certain Company instructors were successful, active traders. The complaint alleges that the defendants acted recklessly in making these claims without verifying their accuracy, despite red flags that the claims were false. The complaint alleges that the defendants violated Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Exchange Act Rule 10b-5.
The complaint also alleges that certain Company marketing materials claimed that Rick became wealthy through his options trading. According to the complaint, the Company knew or was reckless in not knowing that Rick’s wealth came primarily from Company operations. The complaint also alleges that Rick allowed infomercials to air that incorrectly implied that his wealth came from trading.
In determining to accept the defendants’ settlement offers, the SEC took into account the defendants’ voluntary remediation efforts. The Company retained counsel to review how it promoted and sold its classes, products and services, and it adopted policies that set forth standards of behavior expected from instructors, including mandatory instructor training on Company policies and interpretive guidelines, collection of instructor trading records, and vetting of any instructor claims of trading success against trading records. The Company also instituted policies and detailed guidelines regarding, among other things, review and revision of marketing materials, and required student claims of trading success to be vetted against trading records. The Company also took disciplinary actions against instructors who failed to adhere to Company policies.
The Commission’s settlements with the defendants are subject to the approval of the U.S. District Court for the Eastern District of Virginia. [SEC v. Long Term-Short Term, Inc. and Freddie Rick, Civil Action No. 1:11-cv-1127 (E.D.Va)] (LR-22133)
Citigroup to Pay $285 Million to Settle SEC Charges For Misleading Investors About CDO
Company Profited From Proprietary Short Position
Former Citigroup Employee Sued For His Role In Transaction
The Securities and Exchange Commission (SEC) today charged Citigroup Global Markets Inc. (Citigroup), the principal U.S. broker-dealer subsidiary of Citigroup Inc., with misleading investors about a $1 billion collateralized debt obligation (CDO) called Class V Funding III (Class V III). At a time when the U.S. housing market was showing signs of distress, Citigroup structured and marketed Class V III and exercised significant influence over the selection of $500 million of the assets included in the CDO. Citigroup then took a proprietary short position with respect to those $500 million of assets. That short position would provide profits to Citigroup in the event of a downturn in the United States housing market and gave Citigroup economic interests in the Class V III transaction that were adverse to the interests of investors. Citigroup did not disclose to investors the role that it played in the asset selection process or the short position that it took with respect to the assets that it helped select. Without admitting or denying the SEC’s allegations, Citigroup has consented to settle the Commission’s action.
The SEC today also brought a litigated civil action against Brian Stoker (Stoker) and instituted settled administrative proceedings against Credit Suisse Asset Alternative Capital, LLC (formerly known as Credit Suisse Alternative Capital, Inc.) (CSAC), Credit Suisse Asset Management, LLC (CSAM), and Samir H. Bhatt (Bhatt), based on their conduct in the Class V III transaction. Stoker was the Citigroup employee primarily responsible for structuring the Class V III transaction. CSAM is the successor in interest to CSAC, which was the collateral manager for the Class V III transaction, and Bhatt was the portfolio manager at CSAC primarily responsible for the Class V III transaction. Without admitting or denying the Commission’s findings, CSAM, CSAC, and Bhatt have agreed to settle the Commission’s proceedings.
Citigroup Global Markets and Brian Stoker
According to the SEC's complaints, filed in the U.S. District Court for the Southern District of New York (SDNY), in or around October 2006, personnel from Citigroup’s CDO trading and structuring desks had discussions about possibly having the trading desk establish a short position in a specific group of assets by using credit default swaps (CDS) to buy protection on those assets from a CDO that Citigroup would structure and market. Following the institution of discussions with CSAC about having CSAC act as the collateral manager for a proposed CDO transaction, Stoker sent an e-mail to his supervisor in which he stated that he hoped that the transaction would go forward and described the transaction as the Citigroup trading desk head’s “prop trade (don’t tell CSAC). CSAC agreed to terms even though they don’t get to pick the assets.”
As further set forth in the complaints, Citigroup and CSAC agreed to proceed with the Class V III transaction. During the time when the transaction was being structured, CSAC allowed Citigroup to exercise significant influence over the selection of assets included in the Class V III portfolio. The Class V III transaction marketed primarily through a pitch book and an offering circular. Stoker was primarily responsible for these documents. Both the pitch book and the offering circular included disclosures that CSAC, the collateral manager, had selected the collateral for the Class V III portfolio and that Citigroup would act as the initial CDS counterparty. The disclosures, however, did not provide any information about the extent of Citigroup’s interest in the negative performance of the Class V III collateral or that, by the times when the pitch book and the offering circular were prepared, Citigroup already had short positions in $500 million of the collateral. The pitch book and the offering circular were materially misleading because they failed to disclose that Citigroup had played a substantial role in selecting the assets for Class V III, Citigroup had taken a $500 million short position in the Class V III collateral for its own account, and Citigroup’s short position was comprised of names it had been allowed to select, while Citigroup did not short names that it had no role in selecting. Nothing in the disclosures put investors on notice Citigroup had interests that were adverse to the interests of investors.
According to the complaints, the Class V III transaction closed on February 28, 2007. One experienced CDO trader characterized the Class V III portfolio as “dogsh!t” and “possibly the best short EVER!” and an experienced collateral manager commented that “the portfolio is horrible.” On November 7, 2007, a credit rating agency downgraded every tranche of Class V III, and on November 19, 2007, Class V III was declared to be in an Event of Default. The approximately 15 investors in the Class V III transaction lost their entire investments in Class V III. Citigroup received fees of approximately $34 million for structuring and marketing the transaction and realized net profits of at least $160 million from its short position on $500 million of the collateral.
As a result of their conduct, the Commission has alleged that Citigroup and Stoker each violated Sections 17(a)(2) and (3) of the Securities Act of 1933. Without admitting or denying the allegations in the Commission’s complaint, Citigroup has agreed to settle by consenting to the entry of a final judgment that (i) enjoins it from violating these provisions, (ii) requires it to pay $160 million in disgorgement, plus $30 million in prejudgment interest, and $95 million as a penalty, for a total of $285 million, which will be returned to investors through a Fair Fund distribution, and (iii) requires remedial action by Citigroup in its review and approval of offerings of certain mortgage-related securities. The settlement is subject to Court approval. With respect to Stoker, the SEC is seeking an injunction, disgorgement with prejudgment interest, and a civil money penalty.
CSAM, CSAC, and Bhatt
In the related administrative proceedings instituted against CSAM, CSAC, and Bhatt, the SEC found that, as a result of the roles that they played in the asset selection process and the preparation of the pitch book and the offering circular for the Class V III transaction, CSAM and CSAC violated Section 206(2) of the Investment Advisers Act of 1940 (Advisers Act) and Section 17(a)(2) of the Securities Act and that Bhatt violated Section 17(a)(2) of the Securities Act and caused the violations of Section 206(2) of the Advisers Act by CSAC. Without admitting or denying the SEC’s findings, CSAM and CSAC consented to the issuance of an order directing each of them to cease and desist from committing or causing any violations, or future violations, of Section 206(2) of the Advisers Act and Section 17(a)(2) of the Securities Act and requiring them to pay disgorgement of $1 million in fees that it received from the Class V III transaction plus $250,000 in prejudgment interest, and requiring them to pay a penalty of $1,250,000. Without admitting or denying the SEC’s findings, Bhatt consented to the issuance of an order directing him to cease and desist from committing or causing any violations, or future violations, of Section 206(2) of the Advisers Act and Section 17(a)(2) of the Securities Act, suspending him from association with any investment adviser for a period of 6 months, and requiring him to pay a $50,000 penalty. [SEC v. Citigroup Global Markets Inc., 11-Civ.-7387 (Rakoff, J.) (S.D.N.Y. filed Oct. 19, 2011); SEC v. Brian H. Stoker, 11-Civ.-7388 (S.D.N.Y. filed Oct. 19, 2011) (LR-22134); (Administrative Proceeding in the Matter of Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt - Rel. 33-9268; IA-3302; File No. 3-14594)
In the Matter of Roy D. Higgs
An Administrative Law Judge has issued an Order Making Findings and Imposing Sanctions By Default (Default) in Roy D. Higgs, Admin. Proc. No. 3-14361. On March 23, 2011, a final judgment was entered against Roy D. Higgs (Higgs), permanently enjoining him from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, in connection with a scheme to defraud investors through the sale of interests in mining claims in the desert near Las Vegas, Nevada. Higgs also pled guilty to criminal charges relating to the offer and sale of these securities.
Based on the final judgment entered against Higgs, the Default bars Higgs from association with a broker, dealer, investment adviser, municipal securities dealer, and transfer agent, and from participating in a penny stock offering, pursuant to Section 15(b) of the Exchange Act. (Rel. 34-65593; File No. 3-14361)
Investment company act releases
DFA Investment Dimensions Group Inc., et al.
An order has been issued on an application filed by DFA Investment Dimensions Group Inc., et al., under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Rule 12d1-2(a) under the Act. The order permits open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29838 - October 18)
Self-regulatory organizations
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2011-65) to amend the volume threshold for tier-based rebates for Qualified Contingent Cross orders and Solicitation orders executed on the Exchange 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 October 17. (Rel. 34-65583)
A proposed rule change submitted by NASDAQ OMX PHLX LLC relating to the Tether Monthly Service Fee (SR-Phlx-2011-135) 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 October 17. (Rel. 34-65586)
A proposed rule change (SR-NASDAQ-2011-144) filed by The NASDAQ Stock Market LLC relating to the establishment of a direct market data product, NASDAQ Options Trade Outline (“NOTO”), 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 October 17. (Rel. 34-65587)
Proposed Rule Change
The Financial Industry Regulatory Authority, Inc. has filed a proposed rule change (SR-FINRA-2011-057) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to adopt new FINRA Rule 5123 regarding private placements of securities. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65585)
Approval of Proposed Rule Change
The Commission has approved a proposed rule change (SR-ICC-2011-01) filed by ICE Clear Credit LLC (ICC) under Section 19(b)(2) of the Securities Exchange Act of 1934 to add rules related to the clearing of emerging markets sovereigns. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65588)
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-3 PMFG, Inc., 14651 NORTH DALLAS PARKWAY, SUITE 500, DALLAS, TX, 75254,
(214) 357-6181 - 0 ($120,000,000.00) Other, (File 333-177358 - Oct. 18)
(BR. 06C)
S-1 LICONT, CORP., 2360 CORPORATE CIRCLE, STE. 400, HENDERSON, NV,
89074-7722, 4971191413498 - 1,090,000 ($54,500.00) Equity,
(File 333-177359 - Oct. 18) (BR. 02)
S-1 FriendFinder Networks Inc., 6800 BROKEN SOUND PARKWAY, BOCA RATON, FL,
33487, (561) 912-7000 - 245,962,554 ($245,962,554.00) Debt,
344,469,891 ($344,469,891.00) Debt Convertible into Equity,
22,949,766 ($45,899,532.00) Equity, (File 333-177360 - Oct. 18)
(BR. 03C)
S-1 Marina Biotech, Inc., 3830 MONTE VILLA PARKWAY, BOTHELL, WA, 98021,
4259083600 - 0 ($2,470,000.00) Equity, (File 333-177361 - Oct. 18)
(BR. 01B)
S-1 Boxceipts.com, Inc., 5711 W 157TH TERRACE, OVERLAND PARK, KS, 66223,
913-948-1233 - 200,000 ($6,000.00) Equity, (File 333-177362 - Oct. 18)
(BR. 03)
S-1 Vertex Energy Inc., 1331 GEMINI STREET, SUITE 250, HOUSTON, TX, 77058,
866-660-8156 - 2,300,000 ($5,980,000.00) Equity, (File 333-177363 -
Oct. 18) (BR. 06C)
S-8 Renren Inc., 23/F, Jing An Center, 8 North Third Ring Road East,
BEIJNG, F4, 100028, 86 (10) 8448-1818 - 0 ($165,912,125.16) ADRs/ADSs,
(File 333-177366 - Oct. 18) (BR. 03A)
S-8 AGENT155 MEDIA CORP., 30 DENVER CRES, SUITE 200, TORONTO, A6, M2J 1G8,
646-770-5518 - 3,200,000 ($480,000.00) Equity, (File 333-177368 -
Oct. 18) (BR. 02C)
N-2 Hatteras Sector Select Fund, 8540 COLONNADE CENTER DRIVE, SUITE 401,
RALEIGH, NC, 27615, 919-846-2324 - 2,500,000 ($250,000,000.00) Equity,
(File 333-177370 - Oct. 18) (BR. 18)
N-2 Hatteras Sector Select Institutional Fund, 8540 COLONNADE CENTER DRIVE,
SUITE 401, RALEIGH, NC, 27615, 919-846-2324 -
3,500,000 ($350,000,000.00) Equity, (File 333-177371 - Oct. 18) (BR. 18)
N-2 GL Beyond Income Fund, 400 FIFTH AVE, SUITE 600, WALTHAM, MA, 02451,
781-547-4107 - 10,000,000 ($100,000,000.00) Equity, (File 333-177372 -
Oct. 18) (BR. 22)
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
A.C. Moore Arts & Crafts, Inc. PA 1.01,9.01 10/17/11
A.C. Moore Arts & Crafts, Inc. PA 8.01,9.01 10/18/11
ABM INDUSTRIES INC /DE/ DE 5.02 10/17/11
ACTIVE POWER INC DE 2.02,5.02,7.01, 10/14/11
9.01
ACTIVECARE, INC. DE 1.01,7.01,9.01 10/10/11
ADCARE HEALTH SYSTEMS INC OH 8.01 10/12/11
AGENUS INC DE 8.01,9.01 10/18/11
AGL RESOURCES INC GA 2.02,9.01 10/17/11
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 10/18/11
AMERICAN CHURCH MORTGAGE CO MN 1.02 10/18/11
American Energy Development Corp. NV 3.02,9.01 10/12/11
AMERISERV FINANCIAL INC /PA/ PA 2.02 10/18/11
AMICO GAMES CORP. NV 5.02 10/13/11
API Technologies Corp. DE 2.02,9.01 10/17/11
APPLE INC CA 2.02,9.01 10/18/11
Aquilex Holdings LLC DE 1.01,5.02 10/13/11
ARGAN INC DE 8.01,9.01 10/17/11
ARROW FINANCIAL CORP NY 2.02,9.01 10/18/11
ASBURY AUTOMOTIVE GROUP INC DE 1.01,2.03,5.02, 10/17/11
9.01
ASPI, INC. DE 1.01,9.01 09/08/11
ASSURED GUARANTY LTD D0 4.02,9.01 10/18/11
ASSURED GUARANTY LTD D0 8.01 10/18/11
ASTROTECH Corp \WA\ WA 8.01,9.01 10/14/11
ATLANTIC POWER CORP A1 8.01,9.01 10/17/11
ATWOOD OCEANICS INC TX 1.01,2.03,7.01, 10/17/11
9.01
BALDWIN & LYONS INC IN 8.01,9.01 10/18/11
BANK OF AMERICA CORP /DE/ DE 2.02,7.01,9.01 10/18/11
BANK OF GRANITE CORP DE 5.07 10/18/11
Bank of Marin Bancorp CA 7.01,9.01 10/18/11
BAR HARBOR BANKSHARES ME 8.01 10/18/11
BARD C R INC /NJ/ NJ 1.01,2.03 10/12/11
BASSETT FURNITURE INDUSTRIES INC VA 5.03,9.01 10/12/11
BCB BANCORP INC 5.02 10/17/11
BENCHMARK ELECTRONICS INC TX 8.01,9.01 10/17/11
BILL BARRETT CORP 1.01,2.03,9.01 10/18/11
BioFuel Energy Corp. 3.01 10/17/11
BJs RESTAURANTS INC CA 8.01,9.01 10/18/11
BONANZA GOLD CORP. DE 3.02 09/06/11
BPZ RESOURCES, INC. TX 7.01,9.01 10/18/11
BRIGGS & STRATTON CORP WI 1.01,2.03,9.01 10/13/11
BROWN & BROWN INC FL 2.02 09/30/11
Castle Brands Inc FL 1.02,3.02,8.01 10/14/11
CEDAR FAIR L P DE 1.01,5.02,9.01 10/14/11
CENTRAL ENERGY PARTNERS LP DE 4.01 10/12/11
CHASE CORP MA 2.02,9.01 10/13/11
CHDT CORP FL 2.02,9.01 10/04/11
Chemtura CORP DE 2.02,8.01,9.01 10/18/11
China Botanic Pharmaceutical 5.02,5.07,8.01, 10/15/11
9.01
CHINA EDUCATION INTERNATIONAL, INC. 9.01 08/02/11 AMEND
CHINA SKY ONE MEDICAL, INC. NV 5.07,9.01 10/12/11
CHINACAST EDUCATION CORP DE 8.01,9.01 10/18/11
CNB CORP /MI/ MI 8.01,9.01 10/17/11
CNL LIFESTYLE PROPERTIES INC MD 1.01,2.01,9.01 10/12/11
COCA COLA CO DE 2.02,9.01 10/18/11
COLDWATER CREEK INC DE 7.01,9.01 10/17/11
Compass Diversified Holdings DE 2.01,9.01 10/17/11
COMPUTER TASK GROUP INC NY 7.01,9.01 10/18/11
Core-Mark Holding Company, Inc. DE 5.02,9.01 10/17/11
CPI CORP DE 3.01,9.01 10/12/11
CREE INC NC 2.02,9.01 10/18/11
CRYO CELL INTERNATIONAL INC DE 2.02,9.01 10/17/11
CST HOLDING CORP. CO 5.02 10/13/11
CSX CORP VA 2.02,9.01 10/18/11
CUMBERLAND PHARMACEUTICALS INC 1.01,5.02,9.01 10/12/11
CYANOTECH CORP NV 5.02 10/12/11
CYBEX INTERNATIONAL INC NY 2.02,9.01 10/18/11
CYTOKINETICS INC 2.05,5.02,8.01, 10/18/11
9.01
Digital Systems, Inc. CO 7.01,9.01 10/18/11
DOMINOS PIZZA INC 2.02,9.01 10/18/11
DPAC TECHNOLOGIES CORP CA 2.01,5.02,5.03, 10/12/11
9.01
DYNAMICS RESEARCH CORP MA 9.01 06/30/11 AMEND
EASYLINK SERVICES INTERNATIONAL CORP DE 7.01,9.01 10/18/11
ECHELON CORP DE 8.01,9.01 10/12/11
ECO VENTURES GROUP, INC. NV 7.01 10/17/11
EDEN ENERGY CORP NV 5.02 10/17/11
EDUCATIONAL DEVELOPMENT CORP DE 2.02,9.01 10/17/11
EL PASO CORP/DE DE 1.01,8.01,9.01 10/16/11
EMC CORP MA 2.02,9.01 10/18/11
ENCISION INC CO 8.01,9.01 10/17/11
Energy Transfer Partners, L.P. DE 1.01,8.01,9.01 10/15/11
ENTERGY CORP /DE/ DE 2.02,9.01 10/18/11
ENTERGY CORP /DE/ DE 2.02,9.01 10/18/11 AMEND
ENTERPRISE BANCORP INC /MA/ MA 8.01,9.01 10/18/11
EQUITY LIFESTYLE PROPERTIES INC MD 2.02,9.01 10/17/11
Federal Home Loan Bank of Atlanta X1 2.03 10/18/11
Federal Home Loan Bank of Boston X1 2.03 10/13/11
Federal Home Loan Bank of Chicago X1 2.03 10/12/11
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/13/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/14/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/18/11
Federal Home Loan Bank of New York X1 2.03,9.01 10/13/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/12/11
Federal Home Loan Bank of San Francis X1 2.03 10/13/11
Federal Home Loan Bank of Seattle 2.03 10/12/11
Federal Home Loan Bank of Topeka 2.03,9.01 10/12/11
Fifth Street Finance Corp DE 8.01,9.01 10/18/11
FINISAR CORP DE 5.02 10/12/11
FIRST COMMONWEALTH FINANCIAL CORP /PA PA 7.01,9.01 10/18/11
FNBH BANCORP INC MI 1.01,3.03,5.03, 10/14/11
8.01,9.01
FOREST LABORATORIES INC DE 2.02,9.01 10/18/11
FPIC INSURANCE GROUP INC FL 8.01 10/17/11
FRISCHS RESTAURANTS INC OH 2.02,9.01 10/18/11
FSI INTERNATIONAL INC MN 2.02,9.01 10/18/11
Full Throttle Indoor Kart Racing Inc CO 4.01,9.01 08/22/11 AMEND
FULTON FINANCIAL CORP PA 2.02,9.01 10/18/11
FuLuCai Productions Ltd. NV 1.01,9.01 10/18/11
GASCO ENERGY INC NV 7.01,9.01 10/18/11
GENUINE PARTS CO GA 2.02,9.01 10/18/11
Global Technologies Group, Inc. FL 8.01,9.01 10/18/11
Globalstar, Inc. DE 7.01 10/17/11
GOLDEN STAR RESOURCES LTD 2.02,9.01 10/17/11
GOLDMAN SACHS GROUP INC DE 2.02,8.01,9.01 10/18/11
GOLDMAN SACHS GROUP INC DE 9.01 10/18/11
Grace 2, Inc. DE 1.01,2.01,3.02, 10/13/11
4.01,5.01,5.02,
5.03,5.06,9.01
GRAINGER W W INC IL 2.02,9.01 10/18/11
HALLIBURTON CO DE 2.02 10/17/11
HAMPSHIRE GROUP LTD DE 5.07,7.01,8.01, 10/17/11
9.01
Harbin Electric, Inc 8.01,9.01 10/18/11
HARBINGER GROUP INC. DE 7.01 10/18/11
HARLEY DAVIDSON INC WI 2.02,9.01 10/18/11
HARTFORD FINANCIAL SERVICES GROUP INC DE 5.02 10/13/11
HAWAIIAN HOLDINGS INC DE 2.02,9.01 10/18/11
Heavy Earth Resources, Inc. 5.03,9.01 10/13/11
HOSPIRA INC DE 2.02,9.01 10/18/11
HOVNANIAN ENTERPRISES INC DE 8.01,9.01 10/17/11
HYBRID Coating Technologies Inc. 1.01,9.01 10/18/11
IBI ACQUISITIONS, INC. CO 8.01 10/18/11
IDT CORP DE 8.01 10/12/11
IGATE CORP PA 8.01,9.01 10/18/11
IMAX CORP A6 8.01 10/17/11
Industrial Income Trust Inc. MD 7.01,9.01 10/18/11
INFINERA CORP DE 2.02,9.01 10/18/11
INLAND REAL ESTATE CORP MD 8.01,9.01 10/17/11
INTEL CORP DE 2.02 10/18/11
INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 10/17/11
INTUITIVE SURGICAL INC DE 2.02,9.01 10/18/11
ISTA PHARMACEUTICALS INC DE 7.01,9.01 10/17/11
JACOBS ENGINEERING GROUP INC /DE/ DE 5.02,9.01 10/14/11
JAKKS PACIFIC INC DE 2.02,9.01 10/18/11
JDS UNIPHASE CORP /CA/ DE 5.02,5.03,7.01, 10/14/11
9.01
JETBLUE AIRWAYS CORP DE 5.02,7.01,9.01 10/18/11
JOHNSON & JOHNSON NJ 2.02,9.01 10/18/11
JUNIPER NETWORKS INC DE 2.02,9.01 10/18/11
Keyuan Petrochemicals, Inc. NV 5.02 10/12/11
KOHLS Corp WI 9.01 10/12/11
KULICKE & SOFFA INDUSTRIES INC PA 5.02,9.01 10/13/11
LAKELAND BANCORP INC NJ 2.02,8.01,9.01 10/18/11
LANDEC CORP \CA\ CA 5.02,5.03,5.07, 10/13/11
9.01
LAZARE KAPLAN INTERNATIONAL INC DE 2.02,8.01 10/18/11
LINCARE HOLDINGS INC DE 2.02,9.01 10/17/11
Lone Star Gold, Inc. NV 8.01 10/18/11 AMEND
LOUISIANA-PACIFIC CORP DE 1.01 10/14/11
LSB INDUSTRIES INC DE 3.02,8.01 09/12/11
MACROSOLVE INC OK 8.01,9.01 10/18/11
MAGNUM HUNTER RESOURCES CORP DE 5.04,9.01 10/12/11
MAGNUM HUNTER RESOURCES CORP DE 1.01,9.01 10/13/11
MANHATTAN ASSOCIATES INC GA 2.02,9.01 10/18/11
MATERION Corp 1.01,9.01 10/17/11
MCJUNKIN RED MAN HOLDING CORP DE 5.02,9.01 10/17/11
MCMORAN EXPLORATION CO /DE/ DE 2.02,9.01 10/17/11
MERCANTILE BANK CORP MI 2.02,9.01 10/18/11
MICHAEL FOODS GROUP, INC. DE 4.01,9.01 10/13/11
MICROFINANCIAL INC MA 1.01,9.01 10/12/11
ModusLink Global Solutions Inc DE 1.01,3.03,5.03, 10/17/11
9.01
Momentive Performance Materials Inc. DE 2.02,9.01 10/18/11
MOMENTIVE SPECIALTY CHEMICALS INC. NJ 2.02,9.01 10/18/11
MORRIS PUBLISHING GROUP LLC GA 8.01 10/14/11
NABI BIOPHARMACEUTICALS DE 5.07 05/25/11 AMEND
NANOVIRICIDES, INC. NV 7.01 10/17/11
NCO Group, Inc. DE 7.01,8.01,9.01 10/14/11
NEOPHOTONICS CORP DE 2.01,9.01 10/12/11
NEPHROS INC DE 8.01,9.01 10/18/11
NEUROLOGIX INC/DE DE 5.07,9.01 10/13/11
NEWS CORP 8.01,9.01 10/16/11
NEXTERA ENERGY INC FL 5.02,9.01 10/13/11
NOBLE ENERGY INC DE 1.01,1.02,2.03, 10/14/11
9.01
NORTHERN OIL & GAS, INC. 1.01,2.03 10/17/11
NORTHLAND CABLE PROPERTIES SEVEN LIMI WA 1.01 10/14/11
Northport Network Systems, Inc. 5.02 10/07/11
NTS MORTGAGE INCOME FUND DE 1.01,9.01 10/17/11
Nuance Communications, Inc. DE 2.02,8.01,9.01 10/18/11
O CHARLEYS INC TN 1.01,2.01,2.03, 10/17/11
7.01,9.01
OHIO VALLEY BANC CORP OH 8.01 10/18/11
OIL DRI CORP OF AMERICA DE 8.01,9.01 10/18/11
OMNICOM GROUP INC NY 2.02,7.01,9.01 10/18/11
OVERSEAS SHIPHOLDING GROUP INC DE 5.02,9.01 10/12/11
OXIGENE INC DE 8.01,9.01 10/13/11 AMEND
PACKAGING CORP OF AMERICA 2.02,9.01 10/17/11
Panacea Global, Inc. NV 8.01 10/07/11
PARKER HANNIFIN CORP OH 2.02,7.01,9.01 10/18/11
Pebblebrook Hotel Trust MD 7.01 10/18/11
PENNS WOODS BANCORP INC PA 2.02,9.01 10/17/11
PEOPLES LIBERATION INC DE 1.01 10/03/11
PETROLEUM DEVELOPMENT CORP NV 1.01,2.03,9.01 10/12/11
PG&E CORP CA 8.01 10/18/11
PIONEER NATURAL RESOURCES CO DE 2.02,7.01 10/18/11
Pioneer Southwest Energy Partners L.P DE 2.02,7.01 10/18/11
PLATINUM UNDERWRITERS HOLDINGS LTD D0 2.02,9.01 10/18/11
PMFG, Inc. DE 1.01,9.01 10/17/11
POLARIS INDUSTRIES INC/MN MN 2.02,7.01,9.01 10/18/11
POWERWAVE TECHNOLOGIES INC DE 9.01 10/17/11
Pregis Holding II CORP DE 1.01,9.01 10/13/11
PROTEONOMIX, INC. DE 8.01 10/18/11
R F INDUSTRIES LTD NV 8.01,9.01 10/18/11
Regeneca, Inc. NV 5.02 08/09/11 AMEND
REGENERON PHARMACEUTICALS INC NY 8.01,9.01 10/17/11
RENAISSANCE LEARNING INC WI 8.01,9.01 10/17/11
RENASANT CORP MS 2.02,9.01 10/18/11
REPUBLIC BANCORP INC /KY/ KY 2.02,9.01 10/18/11
Sally Beauty Holdings, Inc. 1.01,8.01,9.01 10/12/11
SAVANNAH BANCORP INC GA 2.02 09/30/11
SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 8.01,9.01 10/18/11
SKY DIGITAL STORES CORP. NV 1.01,9.01 10/12/11
SKY PETROLEUM, INC. NV 7.01,9.01 10/12/11
SM Energy Co DE 1.01,7.01,9.01 10/18/11
Smart Kids Group Inc. FL 1.01,7.01,9.01 10/17/11
SMUCKER J M CO OH 1.01,8.01,9.01 10/13/11
SMUCKER J M CO OH 1.01,2.03,9.01 10/18/11
SOCKET MOBILE, INC. DE 1.01 10/12/11
SONOCO PRODUCTS CO SC 2.02,9.01 10/18/11
SOUTHERN COPPER CORP/ DE 8.01,9.01 10/14/11
STANLEY BLACK & DECKER, INC. CT 2.02,9.01 10/17/11
STATE STREET CORP MA 2.02,9.01 10/18/11
Stevia Corp NV 1.01,8.01,9.01 10/12/11
SunSi Energies Inc. NV 5.02,9.01 10/17/11
SUNVALLEY SOLAR, INC. NV 1.01,9.01 10/06/11
SUNVALLEY SOLAR, INC. NV 1.01,2.03,3.02, 10/06/11
9.01
SYNOPSYS INC DE 1.01,9.01 10/14/11
TECUMSEH PRODUCTS CO MI 5.02,9.01 10/17/11
TELESTONE TECHNOLOGIES CORP CO 7.01,9.01 10/18/11
TELKONET INC UT 5.07 10/17/11
TEREX CORP DE 8.01,9.01 10/17/11
TESSCO TECHNOLOGIES INC DE 9.01 10/17/11
TIBET PHARMACEUTICALS, INC. D8 4.01,9.01 10/14/11
TNP Strategic Retail Trust, Inc. MD 8.01,9.01 10/17/11
TORCH ENERGY ROYALTY TRUST DE 7.01,9.01 10/13/11
Transcept Pharmaceuticals Inc DE 7.01 10/12/11
Transocean Ltd. V8 7.01,9.01 10/17/11
TRANSUNION CORP. 7.01,9.01 10/18/11
Travelport LTD D0 5.02 10/13/11
TREE TOP INDUSTRIES, INC. NV 1.01,9.01 10/12/11
Triangle Petroleum Corp NV 1.01,5.02,7.01, 10/17/11
9.01
UGI CORP /PA/ PA 5.02,9.01 10/12/11
UNIFIRST CORP MA 2.02,9.01 10/18/11
United American Petroleum Corp. NV 1.01,2.03,3.02, 10/14/11
9.01
UNITED TECHNOLOGIES CORP /DE/ DE 8.01,9.01 10/12/11
UNITEDHEALTH GROUP INC MN 2.02,9.01 10/18/11
USA TECHNOLOGIES INC PA 8.01,9.01 10/18/11
USA TECHNOLOGIES INC PA 1.01 10/12/11
USA VIDEO INTERACTIVE CORP WY 8.01,9.01 10/17/11
Vera Bradley, Inc. 5.02,9.01 10/12/11
ViewPoint Financial Group Inc. MD 8.01,9.01 10/18/11
VOC Energy Trust 2.02,9.01 10/18/11
VSE CORP DE 5.02 10/12/11
WASHINGTON FEDERAL INC WA 8.01,9.01 10/17/11
WASTE CONNECTIONS, INC. DE 2.02,7.01,9.01 10/18/11
WINNEBAGO INDUSTRIES INC IA 5.02 10/12/11
Wonder Auto Technology, Inc NV 3.01 10/11/11
WORLD FUEL SERVICES CORP FL 7.01,9.01 10/18/11
WVS FINANCIAL CORP PA 2.02,9.01 10/18/11
XPLORE TECHNOLOGIES CORP DE 1.01,3.02,7.01, 10/14/11
9.01
YAHOO INC DE 2.02,9.01 10/18/11
Z TRIM HOLDINGS, INC IL 1.01 10/17/11
ZOOM TECHNOLOGIES INC DE 2.01,2.03,3.02, 10/12/01
8.01,9.01
http://www.sec.gov/news/digest/2011/dig101911.htm
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