SEC News Digest, December 30, 2011

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Enforcement proceedings

In the Matter of Vinayak S. Gowrish

On December 29, 2011, the Securities and Exchange Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940 (Order) against Vinayak S. Gowrish, based on the entry of a permanent injunction in the civil action Securities and Exchange Commission v. Vinayak S. Gowrish, Civil Action Number 09-05883(SI) in the United States District Court for the Northern District of California.

On July 15, 2011, the United States District Court for the Northern District of California entered a final judgment permanently enjoining Gowrish from violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.

The Commission’s complaint alleged that, from at least December 2006 through May 2007, Gowrish, in breach of a duty owed to his employer, misappropriated material nonpublic information from his employer in connection with TPG’s negotiations to acquire Sabre Holdings Corp. (Sabre), TXU Corp. (TXU), and Alliance Data Systems Corp. (ADS). The complaint further alleged that Gowrish tipped the confidential acquisition information to his long-time friend, Adnan Zaman. Zaman, in turn, tipped the information to their two friends, Pascal S. Vaghar and Sameer N. Khoury. On the basis of the information provided by Gowrish through Zaman, Vaghar and Khoury then traded Sabre, TXU, and ADS securities, realizing approximately $375,000 in illicit profits. The Commission’s complaint alleged that, in exchange for the confidential information, Vaghar provided cash kickbacks to both Gowrish and Zaman. On February 3, 2011, a federal jury found that Gowrish violated Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. On July 15, 2011, the district court entered a final judgment against Respondent Gowrish in which the court, in addition to permanently enjoining him from future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, ordered him to pay disgorgement of $12,000 (and prejudgment interest thereon) and a $100,000 civil penalty. Respondent Gowrish has paid the ordered disgorgement (and prejudgment interest thereon) and civil penalty to the Commission in accordance with the court’s order.

Gowrish consented to the issuance of the Order without admitting or denying any of the findings in the Order except as to the entry of the final judgment, which he admitted. The Order bars him from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent. (Rel. IA-3347; File No. 3-14552).

Delinquent Filers’ Stock Registrations Revoked

The registrations of the registered securities of Brendan Technologies, Inc., CenterStaging Corp., PGMI, Inc., and Trinity3 Corporation have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-66072; File No. 3-14656)

Commission Revokes Registration of Securities of Thermal Energy Storage, Inc. For Failure to Make Required Periodic Filings

On December 30, 2011, the Commission revoked the registration of each class of registered securities of Thermal Energy Storage, Inc. (THES) 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, THES 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 Thermal Energy Storage, Inc. 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 THES’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against THES in In the Matter of Brendan Technologies, Inc., et al., Administrative Proceeding File No. 3-14656.

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 Brendan Technologies, Inc., et al., Administrative Proceeding File No. 3-14656, Exchange Act Release No. 65920 (December 9, 2011). (Rel. 34-66073; File No. 3-14656)

Initial Decision as to James Frankfurth

An Administrative Law Judge has issued an Initial Decision as to James Frankfurth (Frankfurth) in Peter Emrich, Admin. Proc. No. 3-14509. The Securities and Exchange Commission (Commission) issued its Order Instituting Proceedings (OIP) on August 18, 2011, pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act). The OIP alleges that on May 9, 2005, Respondent Frankfurth pled guilty to one count of conspiracy to commit securities fraud in violation of 18 U.S.C. § 371 before the United States District Court for the Eastern District of New York in United States v. Kozak, 02-CR-879. The Initial Decision finds it is in the public interest to bar Respondent James Frankfurth from association with any broker, dealer, investment adviser, municipal securities dealer, transfer agent; and from participating in any penny stock offering.

The proceeding was Stayed as to Respondents Peter Emrich, Alberto Ferreiras, Frank Rossi, and Dana Valensky pending Commission approval of their offers of settlement. (Initial Decision No. 446; File No. 3-14509)

Self-Regulatory Organizations

Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change

The Commission is instituting proceedings pursuant to Section 19(b)(2)(B) of the Securities Exchange Act of 1934 to determine whether to disapprove proposed rule changes filed by BATS Exchange, Inc.; BATS Y-Exchange, Inc.; NASDAQ OMX BX, Inc.; Chicago Board Options Exchange, Incorporated; C2 Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Financial Industry Regulatory Authority, Inc.; International Securities Exchange LLC; The NASDAQ Stock Market LLC; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; National Stock Exchange, Inc.; NASDAQ OMX PHLX LLC (SR-BATS-2011-038; SR-BYX-2011-025; SR-BX-2011-068; SR-CBOE-2011-087; SR-C2-2011-024; SR-CHX-2011-30; SR-EDGA-2011-31; SR-EDGX-2011-30; SR-FINRA-2011-054; SR-ISE-2011-61; SR-NASDAQ-2011-131; SR-NSX-2011-11; SR-NYSE-2011-48; SR-NYSEAmex-2011-73; SR-NYSEArca-2011-68; SR-Phlx-2011-129) related to trading halts due to extraordinary market volatility. Publication is expected in the Federal Register during the week of January 2. (Rel. 34-66065)

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-127) to amend the CBOE Stock Exchange Fees Schedule 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 January 2. (Rel. 34-66067)

Approval of Proposed Rule Change

The Commission has approved a proposed rule change (SR-OCC-2011-13) filed by The Options Clearing Corporation (OCC) under Section 19(b)(2) of the Securities Exchange Act of 1934 relating to relative performance indexes. Publication is expected in the Federal Register during the week of January 2. (Rel. 34-66070)

Securities Act Registrations

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

S-1     Infantly Available, Inc., 2360 CORPORATE CIRCLE - SUITE 400, HENDERSON, 
        NV, 89074-7722, 702.664.6472 - 3,000,000 ($75,000.00) Equity, 
        (File 333-178788 - Dec. 29) (BR. )

S-1     AQUINO MILLING INC, MAUPLAS PINASLING, GERONA, TARLAC, R6, 2302, 
        866 655 7690 - 500,000 ($100,000.00) Equity, (File 333-178789 - 
        Dec. 29) (BR. )

S-1     Edgen Group Inc., 18444 HIGHLAND ROAD, BATON ROUGE, X1, 70809, 
        2257569868 - 0 ($100,000,000.00) Equity, (File 333-178790 - Dec. 29) 
        (BR. )

F-3ASR  Gol Intelligent Airlines Inc., RUA TAMOIOS 246, JARDIM AEROPORTO, 
        S?O PAULO, D5, 04630-000, 55 11 5033-4226 - 0 ($0.00) Equity, 
        (File 333-178791 - Dec. 29) (BR. 05B)

S-8     ENERGEN CORP, 605 RICHARD ARRINGTON JR BLVD N, BIRMINGHAM, AL, 
        35203-2707, 2053262997 - 0 ($150,270,000.00) Equity, (File 333-178794 - 
        Dec. 29) (BR. 04B)

S-8     IRVINE SENSORS CORP/DE/, 3001 REDHILL AVE, COSTA MESA, CA, 92626, 
        7145498211 - 0 ($100,000.00) Equity, (File 333-178795 - Dec. 29) 
        (BR. 10B)

S-3ASR  CBRE GROUP, INC., 11150 SANTA MONICA BOULEVARD, SUITE 1600, 
        LOS ANGELES, CA, 90025, 310-405-8900 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-178800 - Dec. 29) 
        (BR. 08B)

S-1     HomeTrust Bancshares, Inc., 10 WOODFIN STREET, ASHEVILLE, NC, 28801, 
        828-259-3939 - 19,573,000 ($195,730,000.00) Equity, (File 333-178817 - 
        Dec. 29) (BR. )

S-3     FIELDPOINT PETROLEUM CORP, 1703 EDELWEISS DRIVE, STE 301, CEDAR PARK, 
        TX, 78613, 5122508692 - 7,983,175 ($31,932,700.00) Equity, 
        (File 333-178818 - Dec. 29) (BR. 04A)

S-3     DELCATH SYSTEMS INC, 810 SEVENTH AVENUE, FL 35, NEW YORK, NY, 10019, 
        212-489-2100 - 0 ($100,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-178819 - Dec. 29) (BR. 10A)

S-3     Primo Water Corp, 104 CAMBRIDGE PLAZA DRIVE, Winston Salem, NC, 27104, 
        336-331-4000 - 0 ($75,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-178820 - Dec. 29) (BR. 02)

S-3     Ascent Solar Technologies, Inc., 12300 GRANT STREET, THORNTON, CO, 
        80241, (720) 872-5000 - 0 ($25,000,000.00) Equity, (File 333-178821 - 
        Dec. 29) (BR. 10A)

Recent 8K Filings

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

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

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

2.04

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

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

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

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

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

5.01

Changes in Control of Registrant

5.02

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

5.03

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

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

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

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

                                        STATE
NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

99 CENTS ONLY STORES                    CA       8.01,9.01            12/29/11

ACACIA RESEARCH CORP                    DE       8.01                 12/23/11

ACI WORLDWIDE, INC.                     DE       8.01,9.01            12/29/11

ADA-ES INC                              CO       8.01,9.01            12/27/11

ADVANCED ENERGY INDUSTRIES INC          DE       1.01,1.02,9.01       12/28/11

AdvanSource Biomaterials Corp           DE       1.01,1.02,2.01,9.01  12/29/11

AEP INDUSTRIES INC                      DE       2.01,9.01            10/14/11    AMEND

ALSERES PHARMACEUTICALS INC /DE         DE       1.01                 12/22/11

AMERICAN DG ENERGY INC                  DE       5.02,9.01            12/29/11

AMR CORP                                DE       3.01,8.01,9.01       12/29/11

ANYTHINGIT INC                          DE       5.02,9.01            12/22/11

Apollo Commercial Real Estate Finance   MD       2.03                 12/22/11

APRICUS BIOSCIENCES, INC.               NV       2.01,9.01            12/29/11

AROTECH CORP                            DE       2.05,2.06            12/29/11

AT&T INC.                               DE       8.01                 12/27/11

Atrinsic, Inc.                          DE       1.01,1.02,8.01,9.01  12/28/11

Augme Technologies, Inc.                DE       4.02                 12/22/11

aVINCI MEDIA CORP                       DE       1.01,2.04,5.02       12/28/11

BAKERS FOOTWEAR GROUP INC               MO       1.01,7.01,9.01       12/29/11

BARCLAY ROAD, INC.                      WY       5.02                 12/24/11

BERKSHIRE HILLS BANCORP INC                      8.01,9.01            12/28/11

Boston Therapeutics, Inc.               DE       8.01                 11/08/11

Bridgeline Digital, Inc.                DE       2.02,9.01            12/29/11

BRINKS CO                               VA       5.02,9.01            12/22/11

BROADWAY FINANCIAL CORP \DE\            DE       8.01,9.01            12/28/11

CAGLES INC                              GA       2.03                 12/22/11

CENTURY PROPERTIES FUND XIX             CA       1.02                 12/29/11

CFS BANCORP INC                         IN       7.01,9.01            12/28/11

Chelsea Therapeutics International, L   DE       1.01,9.01            12/28/11

China Energy Recovery, Inc.             DE       1.01                 12/22/11

CHINA FUND INC                          MD       7.01,9.01            11/30/11

China Information Technology, Inc.               4.01,9.01            12/29/11

China Marketing Media Holdings, Inc.    TX       1.01,2.01,9.01       12/23/11

CHOICE HOTELS INTERNATIONAL INC /DE     DE       5.02                 12/23/11

CIG WIRELESS CORP.                      NV       5.03                 12/28/11

Clean Energy Fuels Corp.                DE       3.02,9.01            12/28/11

COLONIAL PROPERTIES TRUST               AL       7.01                 12/27/11

Computer Graphics International Inc.    NV       2.01,9.01            12/27/11

COMSTOCK RESOURCES INC                  NV       1.01,2.01,9.01       12/29/11

Cornerstone Core Properties REIT, Inc   MD       1.01,2.01            12/22/11

DARA BioSciences, Inc.                  DE       5.02                 12/27/11

DELCATH SYSTEMS INC                     DE       1.01,9.01            12/29/11

DIAMOND HILL INVESTMENT GROUP INC       OH       8.01,9.01            12/29/11

Douglas Lake Minerals Inc.              NV       8.01,9.01            12/22/11

DYAX CORP                               DE       8.01                 12/26/11

DYNASIL CORP OF AMERICA                 NJ       2.02,9.01            12/29/11

Edgen Murray II, L.P.                   DE       7.01,9.01            12/29/11

EPIQ SYSTEMS INC                        MO       1.01,2.01,7.01,9.01  12/28/11

EQUITY RESIDENTIAL                      MD       8.01,9.01            12/29/11

Evercore Partners Inc.                  DE       2.01,7.01,9.01       12/29/11

Federal Home Loan Bank of Chicago       X1       2.03                 12/27/11

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            12/27/11

Federal Home Loan Bank of New York      X1       8.01,9.01            12/29/11

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            12/23/11

Federal Home Loan Bank of Topeka                 2.03,9.01            12/27/11

FIRST FARMERS & MERCHANTS CORP          TN       4.01,9.01            12/20/11

FIRST OTTAWA BANCSHARES INC             DE       5.02                 12/28/11

FIRST PLACE FINANCIAL CORP /DE/         DE       5.02,8.01            12/29/11

FIRST SECURITY GROUP INC/TN             TN       5.02,9.01            12/22/11

FIRST SOLAR, INC.                       DE       5.02                 12/28/11    AMEND

FOCUS GOLD Corp                                  1.01,7.01,9.01       12/20/11

FRANKLIN STREET PROPERTIES CORP /MA/             1.01,2.03,9.01       12/29/11

Fresh Harvest Products, Inc.            NJ       1.01,3.02,9.01       11/15/11

FSP 50 South Tenth Street Corp                   1.01,2.03,9.01       12/29/11

FUNCTION (X) INC.                       DE       1.01,9.01            12/23/11

GAMETECH INTERNATIONAL INC              DE       1.01,2.01,9.01       12/22/11

GARDNER DENVER INC                      DE       4.01,9.01            12/22/11

GARMIN LTD                              V8       1.01,5.02,9.01       12/28/11

GENTOR RESOURCES, INC.                  FL       7.01                 12/14/11

GIA INVESTMENTS CORP.                   NV       1.01,9.01            12/25/11

GLOBALWISE INVESTMENTS INC              NV       8.01                 12/20/11

GYRODYNE CO OF AMERICA INC              NY       8.01,9.01            12/28/11

HERITAGE OAKS BANCORP                   CA       7.01,9.01            12/29/11

Higher One Holdings, Inc.               DE       1.01                 12/22/11

Hines Global REIT, Inc.                 MD       1.01,9.01            12/22/11

HINES REAL ESTATE INVESTMENT TRUST IN            8.01                 12/29/11

Hoku Corp                               DE       1.01                 12/27/11

III TO I MARITIME PARTNERS CAYMAN I L            1.01,2.03,9.01       12/22/11

IMAGE SENSING SYSTEMS INC               MN       1.01,9.01            12/22/11

India Globalization Capital, Inc.       MD       5.07,9.01            12/28/11

INFORMATICA CORP                        DE       8.01                 12/23/11

Inland American Real Estate Trust, In   MD       1.01,7.01,8.01,9.01  12/29/11

INTERNATIONAL FLAVORS & FRAGRANCES IN   NY       8.01,9.01            12/29/11

INX Inc                                 DE       5.07,8.01,9.01       12/29/11

IPASS INC                               DE       5.02                 12/22/11

IVAX DIAGNOSTICS INC                    DE       1.01,9.01            12/29/11

JDA SOFTWARE GROUP INC                  DE       5.07                 05/26/11    AMEND

JOY GLOBAL INC                          DE       8.01,9.01            12/29/11

Kandi Technologies Corp                 DE       5.07                 12/28/11

LAKELAND INDUSTRIES INC                 DE       7.01,9.01            12/28/11

LAZARE KAPLAN INTERNATIONAL INC         DE       8.01                 12/23/11

LIBERTY STAR URANIUM & METALS CORP.     NV       3.02,9.01            12/13/11

MARSHALL EDWARDS INC                    DE       1.01,3.02,9.01       12/28/11

MDC PARTNERS INC                        A6       7.01,9.01            12/29/11

MERRILL LYNCH DEPOSITOR INC INDEXPLUS   DE       8.01,9.01            12/20/11

METLIFE INC                             DE       5.02,9.01            12/24/11

MID AMERICA APARTMENT COMMUNITIES INC   TN       5.02,9.01            12/27/11

MINN DAK FARMERS COOPERATIVE            ND       8.01                 12/27/11

MOHEGAN TRIBAL GAMING AUTHORITY                  2.02,9.01            12/29/11

MS STRUCTURED TILES SERIES 2005-1       DE       1.01,9.01            12/23/11

MS STRUCTURED TILES SERIES 2006-1       DE       1.01,9.01            12/23/11

NEW YORK MORTGAGE TRUST INC             MD       3.01                 12/22/11

NewCardio, Inc.                         DE       5.02,5.03,9.01       12/22/11

NEWS CORP                                        8.01,9.01            12/29/11

NextMart Inc.                           DE       5.02                 12/21/11

NORD RESOURCES CORP                     DE       8.01,9.01            12/28/11

NORMAN CAY DEVELOPMENT, INC.            NV       8.01                 12/22/11

NORTH SPRINGS RESOURCES CORP.           NV       8.01                 12/28/11

NORTHEAST COMMUNITY BANCORP INC         X1       8.01,9.01            12/27/11

NORTHEAST UTILITIES                     MA       8.01                 12/20/11

NSTAR/MA                                         8.01                 12/20/11

NYSE Euronext                           DE       8.01                 12/22/11    AMEND

Opko Health, Inc.                       DE       2.01,3.01,7.01,9.01  12/29/11

ORBCOMM Inc.                            DE       1.01,8.01,9.01       12/23/11

ORCHARD SUPPLY HARDWARE STORES CORP     DE       1.01,2.03,8.01,9.01  12/22/11

Orofino Gold Corp                       NV       5.02                 12/22/11

PAR TECHNOLOGY CORP                     DE       1.01,8.01,9.01       12/23/11

PEOPLES BANCORP INC                     OH       1.01,9.01            12/29/11

PEREGRINE PHARMACEUTICALS INC           DE       8.01,9.01            12/29/11

Platinum Studios, Inc.                  CA       5.02                 12/29/11

Platinum Studios, Inc.                  CA       5.02                 12/29/11    AMEND

PPL Corp                                         8.01                 12/22/11

RADIAN GROUP INC                        DE       5.02,9.01            12/23/11

Renewable Energy Group, Inc.                     1.01,1.02,2.03,9.01  12/23/11

REX ENERGY CORP                         DE       1.01,2.03            12/22/11

ROWAN COMPANIES INC                     DE       7.01,9.01            12/29/11

SECURITY FEDERAL CORP                   SC       8.01,9.01            12/28/11

SELECTICA INC                           DE       3.03,9.01            12/28/11

Solar Power, Inc.                       CA       1.01,9.01            11/09/11    AMEND

Star Gold Corp.                         NV       5.02,5.03            12/26/11

State Auto Financial CORP               OH       5.02                 12/22/11

STATER BROS HOLDINGS INC                DE       8.01                 12/21/11

Steadfast Income REIT, Inc.             MD       1.01,2.01,2.03,9.01  12/22/11

STEEL DYNAMICS INC                      IN       8.01,9.01            12/27/11

STILLWATER MINING CO /DE/               DE       1.01,9.01            12/23/11

STRAYER EDUCATION INC                   MD       8.01,9.01            12/22/11

STREAMLINE HEALTH SOLUTIONS INC.        DE       1.01,9.01            12/28/11

SUN RIVER ENERGY, INC                   CO       4.01,9.01            12/21/11

SUN RIVER ENERGY, INC                   CO       8.01                 12/23/11

SUNRISE SENIOR LIVING INC               DE       1.01                 12/22/11

TAIWAN FUND INC                         DE       7.01,9.01            11/30/11

TCF FINANCIAL CORP                      DE       8.01,9.01            12/28/11

TearLab Corp                            DE       1.01,9.01            12/22/11

TECHPRECISION CORP                               7.01,9.01            12/29/11

TPG Specialty Lending, Inc.             DE       1.01,2.03            12/22/11

TRX INC/GA                              GA       1.01                 12/23/11

Tuffnell Ltd.                           NV       8.01                 12/26/11

TX Holdings, Inc.                       GA       1.01                 12/10/11

U.S. RARE EARTHS, INC                   NV       5.02,9.01            12/19/11

UBS-Citigroup Commercial Mortgage Tru            9.01                 12/29/11

UBS-Citigroup Commercial Mortgage Tru            9.01                 12/29/11

UMPQUA HOLDINGS CORP                    OR       7.01                 12/28/11

UNITED RENTALS INC /DE                  DE       1.01,8.01,9.01       12/28/11

VIRGIN MEDIA INC.                       DE       8.01                 12/29/11

VISTAPRINT N.V.                         P7       1.01,2.01,3.02,9.01  12/27/11

Vyteris, Inc.                           NV       1.01,8.01            11/23/11

Western Refining, Inc.                  DE       2.01,8.01,9.01       12/29/11

Winland Ocean Shipping Corp             TX       4.01,9.01            12/22/11

WIRED ASSOCIATES SOLUTIONS INC          NV       1.01,2.01,3.02,4.01, 12/22/11
                                                 5.01,5.02,5.06,9.01
        
YA ZHU SILK, INC.                       NV       4.01,9.01            10/29/11

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SEC News Digest