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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-13
January 20, 2012


Commission announcements

Securities and Exchange Commission Suspends Trading in the Securities of Four Issuers For Failure to Make Required Periodic Filings

The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EST on January 20, 2012 and terminating at 11:59 p.m. EST on February 2, 2012.

  • Amstem Corporation (AMST)
     
  • Anesiva, Inc. (ANSVQ)
     
  • Balsam Ventures, Inc. (BSVN)
     
  • Catcher Holdings, Inc. (CTHH)

The Commission temporarily suspended trading in the securities of these four issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).

The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.

Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.

If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-66199)

Fee Rate Advisory #5 for Fiscal Year 2012

The Securities and Exchange Commission today announced that on February 21, 2012 the fees rates applicable to most securities transactions will decrease from $19.20 per million dollars to $18.00 per million dollars. The assessment on security futures transactions will remain unchanged at $0.0042 for each round turn transaction.

The Commission determined these new rates in accordance with Section 31 of the Securities Exchange Act of 1934 (“Exchange Act”). Accordingly, the Commission consulted with both the Congressional Budget Office and the Office of Management and Budget regarding the annual adjustment. These adjustments do not affect the amount of funding available to the Commission. A copy of the Commission’s order, including the calculation methodology, is available at http://www.sec.gov/rules/other/2012/34-66202.pdf.

Please note that the fee rates for fiscal year 2012 previously announced on May 2, 2011 never became effective. As stated in that announcement, those fee rates would never become effective if, as was the case, a regular appropriation to the Commission for fiscal year 2012 was not enacted by October 1, 2011. Instead, the Commission is now issuing revised fee rates in accordance with the amendments to Section 31 of the Exchange Act made by the Dodd-Frank Wall Street Reform and Consumer Protection Act.

The Office of Interpretation and Guidance in the Commission’s Division of Trading and Markets is available for questions on Section 31 at (202) 551-5777, or by e-mail at tradingandmarkets@sec.gov. (Press Rel. 2012-15)

Rules and related matters

Covered Securities of Bats Exchange, Inc.

The Commission is adopting amendments to Rule 146(b) under the Securities Act of 1933 (“Securities Act”) to designate securities listed, or authorized for listing, on Tier I and Tier II of BATS Exchange, Inc. as “covered securities” under Section 18 of the Securities Act. Such a designation exempts these securities from state law qualification or registration requirements. The Commission also adopted amendments to Rule 146(b) to account for the name changes of the American Stock Exchange to NYSE Amex LLC, and the Philadelphia Stock Exchange, Inc. to NASDAQ OMX PHLX LLC. Publication is expected in the Federal Register during the week of January 23. (Rel. 33-9295)

Enforcement proceedings

In the Matter of Derek Lopez

On January 19, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Derek Lopez.

In the Order the Division of Enforcement alleges that Lopez was enjoined from future violations of Sections 5 and 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder in the civil action entitled Securities and Exchange Commission v. Blake G. Williams, et al., Civil Action Number 3:10-cv-10681, in the United States District Court for the Northern District of Texas. The Commission’s complaint in that action alleges, among other things, that Lopez engaged in a fraudulent scheme to sell stock in unregistered, non-exempt public offerings and to manipulate the markets for those stocks beginning in or about the middle of 2006 and continuing through at least 2008. The complaint alleges that through this conduct Lopez violated the securities registration and anti-fraud provisions of the federal securities laws. The complaint also alleges that Lopez’s conduct was part of a pervasive fraudulent scheme involving the stocks of several microcap issuers. Lopez consented to the final judgment (See Litigation Release No. 21539).

A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, to provide Lopez an opportunity to respond to the allegations, and to determine what, if any, remedial sanctions are appropriate in the public interest. The Order directs the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Commission’s Order. (Rel. 34-66194; File No. 3-14705)

Delinquent Filers’ Stock Registrations Revoked

The registrations of the registered securities of AEC, I, Inc., Aegir Ventures, Inc., American Toy Vending, Inc., and Bridge-It Corp. 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. 34-66195; File No. 3-14646)

In the Matter of Regenesis Centers, Inc.

An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Five Respondents (Default Order) in Regenesis Centers, Inc., Admin. Proc. No. 3-14652. 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 Regenesis Centers, Inc., Regenex, Inc., A.J. Ross Logistics, Inc., Southern Gourmet Products, Inc., and Status Game Corp., pursuant to Section 12(j) of the Securities Exchange Act of 1934.

This proceeding has ended as to Respondent Suncast Network, Inc. See Regenesis Centers, Inc., Exchange Act Release No. 66185 (Jan. 19, 2012). (Rel. 34-66196; File No. 3-14652)

In the Matter of Ramco Energy PLC (n/k/a SeaEnergy PLC)

An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Seven Respondents (Default Order) in Ramco Energy PLC (n/k/a SeaEnergy PLC)., Admin. Proc. No. 3-14661. 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 RTI, Inc., RTICA Corp., Runcorp, Inc. (f/k/a Remote Utilities, Inc.), Source Scientific, Inc., SpectraCom, Inc., Sportsco, Inc., and Stationmate, Inc. (n/k/a Oxysure, Inc.), pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act).

This proceeding is still ongoing as to Respondent Ramco Energy PLC (n/k/a SeaEnergy PLC). This proceeding has ended as to Respondent Spectacular Attractions, Inc. See Ramco Energy PLC (n/k/a SeaEnergy PLC), Exchange Act Release No. 66146 (Jan.12, 2012). (Rel. 34-66197; File No. 3-14661)

Commission Orders Hearings on Registration Suspension or Revocation Against Four Companies for Failure to Make Required Periodic Filings

In conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of four companies for failure to make required periodic filings with the Commission:

  • Amstem Corporation (AMST)
     
  • Anesiva, Inc. (ANSVQ)
     
  • Balsam Ventures, Inc. (BSVN)
     
  • Catcher Holdings, Inc. (CTHH)

In this Order, the Division of Enforcement (Division) alleges that the four issuers are delinquent in their required periodic filings with the Commission.

In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-66198; File No. 3-14706)

Commission Sustains FINRA Disciplinary Action Against Midas Securities, LLC, and Jay S. Lee

The Commission sustained FINRA disciplinary action against Midas Securities, LLC, formerly a FINRA member firm, and Jay S. Lee, its former president and chief executive officer. It also sustained FINRA's imposition of fines against Midas and Lee totaling $130,000 and a two year suspension against Lee in all principal capacities.

The Commission found that Midas violated Section 5 of the Securities Act of 1933 and NASD Rule 2110 by unlawfully selling securities for a customer without a registration statement in effect or an available exemption. The security involved was iStorage, Inc., a little known, thinly traded penny stock, which in late 2004 and early 2005 was subject of a spam e mail campaign touting the sale of the stock on the Pink Sheets. According to the Commission's decision, Midas conducted "no inquiry" into its customer's proposed iStorage sales, despite substantial indications that the sales were part of an illegal distribution. In connection with these unlawful sales, the Commission also found that Midas and Lee failed to reasonably supervise the salesmen conducting the sales and that Midas and Lee failed to maintain adequate written supervisory procedures in violation of NASD Rules.

In sustaining FINRA's sanctions, the Commission stated that Applicants' unregistered sales of securities and related supervisory failings "deprived investors of the protections afforded by the registration and disclosure requirements of the Securities Act." The Commission's decision stressed "that violations of the antifraud and other provisions of the securities laws frequently depend for their consummation . . . on the activities of broker dealers who fail to make diligent inquiry to obtain sufficient information to justify their activity in the security." (Rel. 34-66200; File No. 3 14308)

In the Matter of Leo T. Buggy

On January 20, 2012, 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 Leo T. Buggy. The Order finds that Buggy, formerly from Green River, Wyoming, a registered representative formerly associated with AXA Advisors, LLC, pled guilty to one count each of mail fraud, wire fraud, and money laundering before the United States District Court for the District of Wyoming, in United States v. Leo T. Buggy, No. 09-CR-190-B. Buggy was sentenced to a prison term of 46 months followed by three years of supervised release and ordered to make restitution in the amount of $1,220,067.80. The counts of the criminal information to which Buggy pled guilty alleged, inter alia, that Buggy knowingly devised and intended to devise a scheme and artifice to defraud and to obtain money from his clients at AXA Advisors by means of false and fraudulent pretenses, representations, and promises.

Based on the above, the Order bars Buggy 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 an offering of penny stock. Buggy consented to the issuance of the Order without admitting or denying any of the findings, except he admitted that he entered the guilty plea described above and that the criminal sanctions described above were imposed upon him. (Rel. 34-66205; File No. 3-14707)

In the Matter of AXA Advisors, LLC

On January 20, 2012, the Commission issued an Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Pursuant to Section 15(b)(4) of the Securities Exchange Act of 1934, (Order) against AXA Advisors, LLC (AXA Advisors). The Order finds that AXA Advisors failed reasonably to supervise Leo T. Buggy (Buggy) with a view to preventing and detecting his violations of the federal securities laws during the period December 2005 through December 2008. During this time period, Buggy fraudulently induced customers to redeem securities held at AXA Advisors, including variable annuities and mutual funds, under the false representation that the proceeds from such redemptions would be invested in other securities through AXA Advisors. Instead, Buggy caused customers to place those funds in a bank account controlled by Buggy, from which he misappropriated the funds.

Specifically, the Order finds that AXA Advisors failed to implement adequate procedures regarding the review of redemptions by customers of variable annuities. During the relevant period, AXA Advisors had procedures in place requiring supervisory review of securities transactions but did not have in place adequate procedures for the review of redemptions of variable annuities which occurred in the accounts of Buggy’s customers. The Order further finds that AXA Advisors failed to establish reasonable procedures to supervise registered representatives who were on leave for an extended period of time, including absences due to disability, with respect to the registered representatives’ servicing of customer accounts. During much of the relevant period, Buggy was certified as disabled by Respondent’s disability insurance carrier or advised AXA Advisors that he was not well and continued to take extended periods of leave. AXA Advisors assigned for servicing some of Buggy’s customer accounts to other registered representatives who were subject to the firm’s supervision. However, these measures were not sufficient to adequately supervise Buggy with respect to his servicing of the remainder of his customer accounts.

In determining to accept AXA Advisors’ Offer, the Commission considered the remedial acts undertaken by AXA Advisors to make improvements to its supervisory system. The Commission also considered the cooperation afforded the Commission’s staff, the cooperation afforded the criminal authorities who investigated Buggy’s scheme, and Respondent’s prompt reimbursement of all losses experienced by its customers.

Based on the above, the Order censures AXA Advisors, imposes a $100,000 civil money penalty, and orders AXA Advisors to undertake to have an Independent Compliance Consultant evaluate, and if appropriate, recommend enhancements to, its supervisory and compliance practices for circumstances where registered representatives are on extended leave, and in particular situations where registered representatives are receiving or seeking disability benefits, giving due regard to applicable employment and disability law considerations. AXA Advisors consented to the issuance of the Order without admitting or denying any of the findings therein. (Rel. 34-66206; File No. 3-14708)

In the Matter of Noah Freeman

On January 20, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions against Noah Freeman. The Order finds that from June 2008 to January 2010, Freeman was employed as a portfolio manager in the Boston Office of SAC Capital Management, LLC, an unregistered investment advisor based in Stamford, Connecticut, and that prior to June 2008, Freeman was a managing director at Sonar Capital Management, LLC (Sonar Capital), an investment adviser and hedge fund located in Boston, Massachusetts. Sonar Capital was a registered investment advisor from April 2005 until October 2006.

On February 8, 2011, the Commission filed a civil action against Freeman in SEC v. Longoria et al., Civil Action No. 11-CV-0753 (S.D.N.Y.). On December 23, 2011, the Court entered an order permanently enjoining Freeman, by consent, from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission’s complaint alleged that, in connection with the purchase or sale of securities, Freeman knew, recklessly disregarded, or should have known, that material non-public information he received from a tipper was disclosed or misappropriated in breach of a fiduciary duty, or similar relationship of trust and confidence, and Freeman is liable for the trading by Sonar Capital because he directly or indirectly caused Sonar Capital to place trades and/or unlawfully tipped inside information to Sonar Capital. On February 8, 2011, in a parallel criminal proceeding, Freeman pled guilty to one count of securities fraud and one count of conspiracy to commit securities fraud and wire fraud in violation of 15 U.S.C. 78j(b) and 78ff and 18 U.S.C. 371 before the United States District Court for the Southern District of New York, in United States v. Noah Freeman, 11-CR-000116 (JSR).

Based on the above, the Order bars Noah Freeman from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent. Freeman consented to the issuance of the Order without admitting or denying the findings in the Order, except he admitted to the entry of the injunction and the conviction. (Rel. IA-3359; File No. 3-14709)

Self-Regulatory Organizations

Approval of Proposed Rule Change

The Commission has approved a proposed rule change (SR-DTC-2011-09) filed by The Depository Trust Company (DTC) under Section 19(b)(2) of the Securities Exchange Act of 1934 with respect to a modification of a practice in order to mitigate systemic risk, specifically liquidity related, associated with DTC end of day net funds settlement. Publication is expected in the Federal Register during the week of January 23. (Rel. 34-66186)

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by the BATS Y-Exchange, Inc. (SR-BYX-2012-002) to extend the pilot program related to Clearly Erroneous Execution reviews 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 January 23. (Rel. 34-66187)

A proposed rule change filed by the BATS Exchange, Inc. (SR-BATS-2012-002) to extend the pilot program related to Clearly Erroneous Execution reviews 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 January 23. (Rel. 34-66188)

A proposed rule change filed by BATS Y-Exchange, Inc. (SR-BYX-2012-001) to extend the pilot program related to trading pauses due to extraordinary market volatility 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 January 23. (Rel. 34-66189)

A proposed rule change filed by BATS Exchange, Inc. (SR-BATS-2012-001) to extend the pilot program related to trading pauses due to extraordinary market volatility 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 January 23. (Rel. 34-66190)

Accelerated Approval of Proposed Rule Changes

The NYSE Arca, Inc. filed, and the Commission approved on an accelerated basis, a proposed rule change (SR-NYSEArca-2012-02) pursuant to Section 19(b)(1) of the Exchange Act to amend NYSE Arca Rule 9.4 and NYSE Equities Inc. Rules 5.3(d) and 9.4 relating to discretionary proxy voting on executive compensation matters and election of directors to comply with the Dodd-Frank Act. Publication is expected in the Federal Register during the week of January 23. (Rel. 34-66192)

The Commission granted approval to the accelerated delivery of a supplement to the options disclosure document, submitted by The Options Clearing Corporation (SR-ODD-2012-01) pursuant to Rule 9b-1 under the Securities Exchange Act of 1934, regarding disclosures on relative performance options. Publication is expected in the Federal Register during the week of January 23. (Rel. 34-66193)

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     Ample-Tee, Inc., 112 NORTH CURRY STREET, CARSON CITY, NV, 89703-4934, 
        (775)321-8214 - 5,000,000 ($150,000.00) Equity, (File 333-179079 - 
        Jan. 19) (BR. 02)

S-3ASR  Jazz Pharmaceuticals plc, 3180 PORTER DRIVE, PALO ALTO, CA, 94304, 
        650-496-3777 - 0 ($0.00) Equity, (File 333-179080 - Jan. 19) (BR. 01A)

S-1     A&C United Agriculture Developing Inc., 700 COMMERCE DR., SUITE 500, 
        OAK BROOK, IL, 60523, 630-689-3456 - 4,305,000 ($430,500.00) Equity, 
        (File 333-179082 - Jan. 19) (BR. 05)

S-3     AEP TEXAS CENTRAL CO, 1 RIVERSIDE PLAZA, COLUMBUS, OH, 43215, 
        614-716-1000 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, 
        (File 333-179092 - Jan. 19) (BR. 02B)

S-1     FIRST CAPITAL BANCORP, INC., 4222 COX ROAD, SUITE 200, GLEN ALLEN, VA, 
        23060, 804-276-1160 - 0 ($26,740,540.00) Equity, (File 333-179095 - 
        Jan. 19) (BR. 07B)

S-1     BIOHEART, INC., 13794 NW 4TH STREET, SUITE 212, SUNRISE, FL, 33325, 
        954-835-1500 - 40,000,000 ($1,800,000.00) Equity, (File 333-179096 - 
        Jan. 19) (BR. 01B)

S-8     RESEARCH FRONTIERS INC, 240 CROSSWAYS PARK DR, WOODBURY, NY, 
        11797-2033, 5163641902 - 750,000 ($2,685,000.00) Equity, 
        (File 333-179097 - Jan. 19) (BR. 03B)

S-3     ExlService Holdings, Inc., 280 PARK AVENUE, 38TH FLOOR, NEW YORK, X1, 
        10017, (212) 872-1415 - 0 ($130,567,132.00) Equity, 
        0 ($3,000,000.00) Unallocated (Universal) Shelf, (File 333-179098 - 
        Jan. 19) (BR. 02B)

S-3     RESEARCH FRONTIERS INC, 240 CROSSWAYS PARK DR, WOODBURY, NY, 
        11797-2033, 5163641902 - 3,000,000 ($11,280,000.00) Equity, 
        (File 333-179099 - Jan. 19) (BR. 03B)

S-4     PROSPERITY BANCSHARES INC, 4295 SAN FELIPE, N/A, HOUSTON, TX, 77027, 
        7136939300 - 0 ($21,709,912.00) Equity, (File 333-179100 - Jan. 19) 
        (BR. 07B)

S-8     CALAVO GROWERS INC, 2530 RED HILL AVE., SANTA ANA, CA, 92705, 
        9098334200 - 0 ($40,128,400.00) Equity, (File 333-179101 - Jan. 19) 
        (BR. 05A)

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

-----------------------------------------------------------------------------------------

1ST SOURCE CORP                         IN       2.02,9.01            01/19/12

22nd Century Group, Inc.                NV       5.02                 01/19/12

A. H. Belo CORP                         DE       5.02,9.01            01/13/12

ACACIA RESEARCH CORP                    DE       9.01                 01/12/12    AMEND

ACORN ENERGY, INC.                      DE       5.07                 10/17/11    AMEND

Aegerion Pharmaceuticals, Inc.          DE       5.02                 01/12/12

ALCOA INC                               PA       5.02,9.01            01/16/12

ALTAIR NANOTECHNOLOGIES INC             Z4       1.01                 01/17/12

AMCON DISTRIBUTING CO                   DE       2.02,9.01            01/19/12

AMERICAN EXPRESS CO                     NY       2.02,7.01            01/19/12

AMERICAN RIVER BANKSHARES               CA       7.01,9.01            01/19/12

AMERIGAS PARTNERS LP                    DE       2.01,3.02,9.01       01/12/12

AMERISTAR CASINOS INC                   NV       5.02                 01/12/12

Amtrust Financial Services, Inc.        DE       2.03,3.02,8.01       01/13/12

ARCA biopharma, Inc.                    DE       8.01,9.01            01/19/12

ARES CAPITAL CORP                       MD       1.01,2.03,9.01       01/18/12

Armour Residential REIT, Inc.           MD       7.01,9.01            01/19/12

ARROW ELECTRONICS INC                   NY       8.01,9.01            01/18/12

ASSOCIATED BANC-CORP                    WI       2.02,9.01            01/19/12

Atkore International Holdings Inc.      DE       5.02                 01/13/12

AUBURN NATIONAL BANCORPORATION, INC     DE       2.02,9.01            01/19/12

AUBURN NATIONAL BANCORPORATION, INC     DE       8.01,9.01            01/13/12

AWARE INC /MA/                          MA       5.02                 01/18/12

AXIS CAPITAL HOLDINGS LTD                        8.01,9.01            01/18/12

BALDWIN TECHNOLOGY CO INC               DE       8.01                 01/19/12

BANCFIRST CORP /OK/                     OK       7.01                 01/19/12

BANCORPSOUTH INC                        MS       7.01,9.01            01/18/12

BANK OF AMERICA CORP /DE/               DE       2.02,7.01,9.01       01/19/12

BANK OF KENTUCKY FINANCIAL CORP         KY       2.02,9.01            01/19/12

BankUnited, Inc.                        DE       2.02,9.01            01/19/12

BB&T CORP                               NC       2.02,9.01            01/19/12

BIOVEST INTERNATIONAL INC               DE       7.01,9.01            01/19/12

BLACK HILLS CORP /SD/                   SD       1.01,2.02,9.01       01/18/12

BlackRock Inc.                          DE       2.02,9.01            01/19/12

BOSTON FINANCIAL QUALIFIED HOUSING TA   DE       2.01                 01/19/12

BRUKER CORP                             DE       1.01,2.03,9.01       01/18/12

BUCKEYE TECHNOLOGIES INC                DE       1.01,7.01,9.01       01/18/12

CABOT CORP                              DE       5.02                 01/13/12

CAMPBELL SOUP CO                        NJ       5.02                 01/16/12

CAPITAL ONE FINANCIAL CORP              DE       2.02,7.01,8.01,9.01  01/19/12

CARDINAL FINANCIAL CORP                 VA       2.02,5.02,8.01,9.01  01/18/12

Castwell Precast Corp                   NV       1.01,9.01            01/17/12

CEDAR FAIR L P                          DE       2.02,7.01,9.01       01/19/12

CenterPoint Energy Transition Bond Co   DE       8.01,9.01            01/19/12

Chefs' Warehouse, Inc.                  DE       5.02,9.01            01/12/12

CINCINNATI FINANCIAL CORP               OH       2.02,9.01            01/19/12

CIT GROUP INC                           DE       8.01,9.01            01/19/12

CITIZENS & NORTHERN CORP                PA       8.01,9.01            01/19/12

CITY NATIONAL CORP                      DE       2.02,9.01            01/19/12

CLAIMSNET COM INC                       DE       1.01,2.03,9.01       01/17/12

CLARCOR INC.                            DE       2.02                 01/19/12

CLEAN TRANSPORTATION GROUP, INC.                 1.01,2.01,5.01,5.03, 01/11/12    AMEND
                                                 5.06,9.01
     
CNO Financial Group, Inc.               DE       5.02,9.01            01/18/12

COBIZ FINANCIAL INC                     CO       8.01                 01/19/12

COMMERCIAL METALS CO                    DE       8.01                 01/19/12

COMMERCIAL NATIONAL FINANCIAL CORP /P   PA       5.02                 01/19/12

COMMUNITY HEALTH SYSTEMS INC            DE       7.01,9.01            01/19/12

Community Partners Bancorp              NJ       5.02                 01/19/12

Community Partners Bancorp              NJ       5.02,9.01            01/18/12

COMPUWARE CORP                          MI       2.02,9.01            01/17/12

CONOLOG CORP                            DE       1.01,3.02,9.01       01/13/12

CONSTELLATION ENERGY GROUP INC          MD       1.01,9.01            01/16/12

ContinuityX Solutions, Inc.             DE       1.01,4.01,9.01       12/28/11

CROWN MEDIA HOLDINGS INC                DE       5.02                 01/12/12

CubeSmart                               MD       9.01                 11/03/11    AMEND

CUBIST PHARMACEUTICALS INC              DE       2.02,9.01            01/19/12

CVB FINANCIAL CORP                      CA       2.02,9.01            01/18/12

DEBT RESOLVE INC                        DE       7.01,9.01            01/17/12

DENDREON CORP                           DE       5.02,9.01            01/12/12

DIGI INTERNATIONAL INC                  DE       2.02,9.01            01/19/12

DIRECT INSITE CORP                      DE       1.01,9.01            01/13/12

Diversified Restaurant Holdings, Inc.   NV       2.02,9.01            01/18/12

Dot VN, Inc.                            DE       5.02                 01/13/11

EAGLE FINANCIAL SERVICES INC            VA       8.01,9.01            01/19/12

EAST WEST BANCORP INC                            2.02,9.01            01/19/12

EASTMAN KODAK CO                        NJ       7.01,9.01            01/19/12

EASTMAN KODAK CO                        NJ       1.03,2.04,9.01       01/19/12

ECOLOGY & ENVIRONMENT INC               NY       5.07                 01/19/12

EDEN ENERGY CORP                        NV       1.01,2.01,8.01,9.01  12/28/11

EDGEWATER TECHNOLOGY INC/DE/            DE       8.01,9.01            01/19/12

EDUCATIONAL DEVELOPMENT CORP            DE       2.02,9.01            01/18/11

EMPIRE DISTRICT ELECTRIC CO             KS       1.01,2.03,9.01       01/19/12

EMPIRE ENERGY CORP                      UT       8.01                 01/18/12

ENB Financial Corp                      PA       2.02,9.01            01/18/12

ENDURANCE SPECIALTY HOLDINGS LTD                 7.01,9.01            01/19/12

Ensco plc                                        7.01,9.01            01/19/12

EON COMMUNICATIONS CORP                 DE       5.07                 01/18/12

ESB FINANCIAL CORP                      PA       5.07                 04/20/11    AMEND

EZCORP INC                              DE       2.02,8.01,9.01       01/19/12

FAIRCHILD SEMICONDUCTOR INTERNATIONAL   DE       2.02                 12/25/11

FARMERS CAPITAL BANK CORP               KY       2.02,9.01            01/18/12

Federal Home Loan Bank of Atlanta       X1       2.03                 01/19/12

Federal Home Loan Bank of Boston        X1       2.03                 01/13/12

Federal Home Loan Bank of Chicago       X1       2.03                 01/17/12

Federal Home Loan Bank of Cincinnati    X1       5.02,9.01            01/19/12

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            01/19/12

Federal Home Loan Bank of New York      X1       2.03,9.01            01/13/12

Federal Home Loan Bank of New York      X1       5.02                 11/17/11    AMEND

Federal Home Loan Bank of New York      X1       5.02                 12/15/11    AMEND

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            01/13/12

Federal Home Loan Bank of San Francis   X1       2.03                 01/13/12

Federal Home Loan Bank of Topeka                 2.03,9.01            01/17/12

FIELDPOINT PETROLEUM CORP               CO       7.01,9.01            01/19/12

Financial Engines, Inc.                 DE       5.02                 01/17/12

FIRST CAPITAL BANCORP, INC.             VA       1.01,8.01,9.01       01/19/12

FIRST CITIZENS BANC CORP /OH            OH       2.02                 01/19/12

FIRST COMMUNITY CORP /SC/               SC       2.02,8.01,9.01       01/18/12

FIRST FARMERS & MERCHANTS CORP          TN       2.02,9.01            01/18/12

FLEXTRONICS INTERNATIONAL LTD.          U0       2.02,9.01            01/19/12

Francesca's Holdings CORP                        7.01,9.01            01/18/12

FUEL DOCTOR HOLDINGS, INC.              DE       1.01,2.01,3.02,3.03, 08/24/11    AMEND
                                                 5.01,5.02,5.06,9.01
        
FULLER H B CO                           MN       2.02,9.01            01/18/12

GATX CORP                               NY       2.02,7.01,9.01       01/19/12

General Growth Properties, Inc.         DE       8.01                 01/12/12

GENTA INC DE/                           DE       8.01,9.01            01/18/12

GENTA INC DE/                           DE       8.01,9.01            01/18/12

GLACIER BANCORP INC                     DE       8.01,9.01            01/18/12

GLOBAL PARTNERS LP                               1.01,2.03,9.01       01/13/12

GOLDMAN SACHS GROUP INC                 DE       8.01,9.01            01/19/12

Google Inc.                             DE       2.02,8.01,9.01       01/19/12

Government Properties Income Trust      MD       1.01,2.03,9.01       01/12/12

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            01/13/12

GULF RESOURCES, INC.                    DE       8.01,9.01            01/16/12

HANDY & HARMAN LTD.                     DE       2.02,9.01            01/19/12

HEARTLAND FINANCIAL USA INC             DE       7.01,9.01            01/18/12

HENNESSY ADVISORS INC                            2.02,7.01,9.01       01/19/12

HERCULES OFFSHORE, INC.                 DE       7.01,9.01            01/19/12

HESS CORP                               DE       8.01,9.01            01/18/12

Hicks Acquisition CO II, Inc.                    5.02,9.01            01/13/12

HOME BANCSHARES INC                              2.02,7.01,9.01       01/19/12

HSBC USA INC /MD/                       MD       9.01                 01/19/12

HUNTINGTON BANCSHARES INC/MD            MD       2.02,9.01            01/19/12

Idle Media, Inc.                        NV       1.01,9.01            01/17/12

INDEPENDENT BANK CORP                   MA       2.02,7.01,9.01       01/19/12

INGRAM MICRO INC                        DE       5.02,7.01,9.01       01/16/12

INLAND REAL ESTATE CORP                 MD       2.02                 01/19/12

INSTEEL INDUSTRIES INC                  NC       2.02,9.01            01/19/12

INTEL CORP                              DE       2.02                 01/19/12

INTELSAT S.A.                           N4       5.02                 01/12/12

Interactive Brokers Group, Inc.         DE       2.02,8.01,9.01       01/19/12

Intermec, Inc.                          DE       5.02,9.01            01/19/12

INTERNATIONAL BUSINESS MACHINES CORP    NY       2.02                 01/19/12

INTERNATIONAL FLAVORS & FRAGRANCES IN   NY       2.05,9.01            01/18/12

INTUITIVE SURGICAL INC                  DE       2.02,9.01            01/19/12

Janus Resources, Inc.                   NV       5.02,7.01            01/12/12

Jazz Pharmaceuticals plc                DE       8.01,9.01            01/19/12

JOHNSON CONTROLS INC                    WI       2.02,7.01,9.01       01/19/12

KELLOGG CO                              DE       5.02                 01/16/12

KERYX BIOPHARMACEUTICALS INC            DE       5.02,9.01            01/13/12

KIMCO REALTY CORP                       MD       5.02,9.01            01/18/12

KNIGHT CAPITAL GROUP, INC.              DE       2.02,7.01,9.01       01/19/12

KROGER CO                               OH       8.01,9.01            01/19/12

Laredo Petroleum Holdings, Inc.         DE       2.02,7.01,8.01,9.01  01/18/12

LEHMAN ABS CORP HSBC DEBENTURE BACKED   DE       8.01,9.01            01/17/12

LEHMAN ABS CORP PRUDENTIAL FINANCIAL    DE       8.01,9.01            01/17/12

LEXARIA CORP.                           NV       7.01,9.01            01/19/12

Liberator, Inc.                         FL       7.01,9.01            01/19/12

MAGELLAN HEALTH SERVICES INC            DE       8.01,9.01            01/18/12

MAGNUM HUNTER RESOURCES CORP            DE       1.01,1.02,8.01,9.01  01/18/12

MEMC ELECTRONIC MATERIALS INC           DE       5.04                 01/19/12

MERRILL LYNCH DEPOSITOR INC PREFERRED   DE       8.01,9.01            01/17/12    AMEND

MICROSOFT CORP                          WA       2.02,9.01            01/19/12

MONMOUTH REAL ESTATE INVESTMENT CORP    MD       7.01,9.01            01/19/12

MORGAN STANLEY                          DE       2.02,9.01            01/19/12

MOTRICITY INC                           DE       2.05,8.01,9.01       01/14/12

MULTI FINELINE ELECTRONIX INC                    1.01,2.03,9.01       01/17/12

MULTI FINELINE ELECTRONIX INC                    5.02,9.01            01/18/12

MUNICIPAL MORTGAGE & EQUITY LLC         DE       1.01,9.01            01/18/12

NETSCOUT SYSTEMS INC                    DE       2.02,9.01            01/19/12

NEUROCRINE BIOSCIENCES INC              CA       1.01,9.01            01/19/12

NEW YORK MORTGAGE TRUST INC             MD       5.02,7.01,9.01       01/18/12

NEWMARKET CORP                          VA       5.02                 01/17/12

NEWS CORP                                        8.01,9.01            01/19/12

NORMAN CAY DEVELOPMENT, INC.            NV       7.01,9.01            01/17/12

NORTHEAST UTILITIES                     MA       8.01                 01/18/12

NOVADEL PHARMA INC                      DE       5.02,5.03,8.01,9.01  01/12/12

NSTAR/MA                                         8.01                 01/19/12

OLD SECOND BANCORP INC                  DE       8.01                 01/19/12

OPENWAVE SYSTEMS INC                    DE       5.02,9.01            01/12/12

OptimumBank Holdings, Inc.              FL       3.01                 01/13/12

ORBCOMM Inc.                            DE       2.01,3.02,9.01       01/12/12

PAR TECHNOLOGY CORP                     DE       2.01,8.01,9.01       01/13/12

PCS EDVENTURES COM INC                  ID       8.01                 10/28/11    AMEND

PediatRx Inc.                           NV       2.02,9.01            01/19/12

PEOPLES EDUCATIONAL HOLDINGS            MN       5.02,5.07            01/13/12

Perfumania Holdings, Inc.               FL       1.01,5.03,7.01,9.01  01/19/12    AMEND

PERKINELMER INC                         MA       2.01,9.01            11/07/11    AMEND

PETMED EXPRESS INC                      FL       8.01,9.01            01/17/12

PG&E CORP                               CA       8.01                 01/19/12

Pioneer Exploration Inc.                NV       1.01,2.01,5.01,5.06, 11/01/11    AMEND
                                                 7.01,9.01
     
Polonia Bancorp                                  5.02                 01/17/12

PORTLAND GENERAL ELECTRIC CO /OR/       OR       5.02                 01/14/12

PPG INDUSTRIES INC                      PA       2.02,9.01            01/19/12

PROGRESSIVE CORP/OH/                    OH       2.02,9.01            01/19/12

PULASKI FINANCIAL CORP                  MO       2.02,9.01            01/17/12

PURE CYCLE CORP                         CO       5.07                 01/17/12

QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR   DE       8.01,9.01            01/13/12

QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR   DE       5.03                 01/13/12

QUICKLOGIC CORPORATION                  CA       5.02                 01/16/12

REGENCY CENTERS CORP                    FL       5.02                 01/19/12

RENTRAK CORP                            OR       5.07                 08/24/11    AMEND

REPUBLIC BANCORP INC /KY/               KY       2.02,9.01            01/19/12

RF MONOLITHICS INC /DE/                 DE       5.07,7.01,9.01       01/18/12

RFS HOLDING LLC                                  1.01,8.01,9.01       01/18/12

RIVER VALLEY BANCORP                    IN       2.02,9.01            01/17/12

RIVER VALLEY BANCORP                    IN       5.02                 01/17/12

Rock Energy Resources, Inc.             DE       7.01,8.01,9.01       01/19/12

ROCKWELL COLLINS INC                    DE       2.02,7.01,9.01       01/19/12

Rouse Properties, Inc.                  DE       1.01,2.01,2.03,3.02, 01/12/12
                                                 5.01,5.02,8.01,9.01
        
Rouse Properties, Inc.                  DE       3.03,5.03,5.05,9.01  01/12/12

SCANA CORP                              SC       8.01,9.01            01/18/12

SELECT COMFORT CORP                     MN       7.01,9.01            01/19/12

SEQUENOM INC                            DE       2.02,8.01            01/19/12

SHARPS COMPLIANCE CORP                  DE       1.02,9.01            01/13/12

SIMMONS FIRST NATIONAL CORP             AR       2.02,9.01            12/31/11

SIMULATIONS PLUS INC                             8.01,9.01            01/12/12

Sino Green Land Corp                    NV       7.01,9.01            01/15/12

SIRONA DENTAL SYSTEMS, INC.             DE       5.02,9.01            01/17/12

SKYSTAR BIO-PHARMACEUTICAL CO           NV       3.01,9.01            01/12/12

SKYWORKS SOLUTIONS, INC.                DE       2.02,9.01            01/19/12

SLM FUNDING LLC                         DE       9.01                 01/19/12

SLM Student Loan Trust 2012-1           DE       1.01,2.01,9.01       01/19/12

SOUTH HERTFORDSHIRE UNITED KINGDOM FU   CO       8.01                 01/17/12

SOUTHWEST AIRLINES CO                   TX       2.02,9.01            12/31/11

SPANISH BROADCASTING SYSTEM INC         DE       2.02,9.01            01/18/12

STAR GAS PARTNERS LP                    DE       2.02,7.01,9.01       01/19/12

Star Gold Corp.                         NV       4.02                 01/19/12

STIFEL FINANCIAL CORP                   DE       8.01,9.01            01/18/12

Strike Axe, Inc                         DE       1.01,3.02,9.01       01/17/12

STRYKER CORP                            MI       8.01,9.01            01/18/12

SUBURBAN PROPANE PARTNERS LP            DE       7.01,8.01,9.01       01/19/12

SUBURBAN PROPANE PARTNERS LP            DE       7.01,8.01,9.01       01/19/12

Targa Resources Corp.                   DE       5.02,9.01            01/12/12

Targa Resources Partners LP             DE       5.02,9.01            01/12/12

TARGACEPT INC                                    5.02                 01/13/12

TECHS LOANSTAR, INC.                    NV       5.02                 01/13/12

Texas Rare Earth Resources Corp.        NV       7.01,9.01            01/10/12

THERMOENERGY CORP                       DE       5.02                 01/14/12

TRANS1 INC                                       7.01                 01/19/12

TRIMAS CORP                             DE       1.01,9.01            01/13/12

TTM TECHNOLOGIES INC                    WA       5.02,9.01            01/16/12

UMH PROPERTIES, INC.                    MD       7.01,9.01            01/19/12

UNION BANKSHARES INC                    VT       2.02,8.01,9.01       01/18/12

UNION PACIFIC CORP                      UT       2.02,9.01            01/19/12

United Continental Holdings, Inc.       DE       2.02,9.01            01/19/12

UNITEDHEALTH GROUP INC                  MN       2.02,9.01            01/19/12

US Highland, Inc.                       OK       4.01,9.01            01/05/12

US Highland, Inc.                       OK       1.01,9.01            10/20/11

VICTORIA INTERNET SERVICES INC          NV       8.01                 01/19/12

Vishay Precision Group, Inc.            DE       2.02,9.01            01/19/12

VISUALANT INC                           NV       8.01,9.01            01/19/12

VOC Energy Trust                                 2.02,9.01            01/19/12

VORNADO REALTY LP                       DE       5.02,9.01            01/13/12

VORNADO REALTY TRUST                    MD       5.02,9.01            01/13/12

WATSON PHARMACEUTICALS INC              NV       5.03,9.01            01/16/12

WebMD Health Corp.                      DE       7.01                 01/19/12

WEBSTER FINANCIAL CORP                  DE       2.02,9.01            01/19/12

WELLS REAL ESTATE FUND IX LP            GA       1.01                 01/17/12

WELLS REAL ESTATE FUND VIII LP          GA       1.01                 01/17/12

Wesco Aircraft Holdings, Inc                     5.02                 01/19/12

WESTAMERICA BANCORPORATION              CA       2.02,9.01            01/19/12

WESTERN ALLIANCE BANCORPORATION         NV       2.02,9.01            01/19/12

Wilhelmina International, Inc.          DE       1.01,2.03,9.01       01/12/12

WINMARK CORP                            MN       7.01,8.01,9.01       01/18/12

WINTRUST FINANCIAL CORP                 IL       2.02,9.01            01/19/12

WIZZARD SOFTWARE CORP /CO               CO       7.01,9.01            01/18/12

YAHOO INC                               DE       5.02,9.01            01/16/12

ZAGG Inc                                NV       4.02                 01/17/12

ZOLL MEDICAL CORP                       MA       2.02,9.01            01/19/12

 

http://www.sec.gov/news/digest/2012/dig012012.htm


Modified: 01/20/2012