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SEC News Digest
Issue 2012-22
February 2, 2012
Commission announcements
Securities and Exchange Commission Suspends Trading in the Securities of China Agro-Technology Holdings, Ltd. For Failure to Make Required Periodic Filings
The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of China Agro-Technology Holdings, Ltd. (CAGTF), commencing at 9:30 a.m. EST on February 2, 2012 and terminating at 11:59 p.m. EST on February 15, 2012:
The Commission temporarily suspended trading in the securities of CAGTF due to a lack of current and accurate information about the company because it has not filed certain periodic reports with the Commission. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by CAGTF.
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 CAGTF 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 CAGTF that has 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 contact Ansu N. Banerjee in the Division of Enforcement at (202) 551-5673, or by e-mail at banerjeea@sec.gov. (Rel. 34-66292)
In the Matter of Blue Earth Refineries, Inc.
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 against Blue Earth Refineries, Inc. (Blue Earth). The Division of Enforcement alleges that Blue Earth is delinquent in its periodic filings with the Commission, having not filed any periodic reports since it filed a Form 20-F for the period ended June 30, 2007.
The Commission also announced the issuance of an Order of Suspension of Trading Pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Order of Suspension) against Blue Earth. The Order of Suspension finds that there is a lack of current and accurate information concerning the securities of Blue Earth because it has been delinquent in its required periodic reports since December 2007.
Based on the above, the Order suspends the trading in the securities of Blue Earth for the period of February 2, 2012 through February 15, 2012.
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 Blue Earth 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 in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. 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, John T. Dugan of the Boston Regional Office of the Securities and Exchange Commission should be telephoned at (617) 573-8900. (Rel. 34-66295)
Securities and Exchange Commission Suspends Trading in the Securities of Six 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 February 2, 2012 and terminating at 11:59 p.m. EST on February 15, 2012:
- American Unity Investments, Inc. (AUNI)
- China Display Technologies, Inc. (CDYT)
- China Wind Energy, Inc. (CWEY)
- Fuda Faucet Works, Inc. (FUFW)
- Greater China Media & Entertainment Corp. (GTCN)
- Xechem International, Inc. (XKEM)
The Commission temporarily suspended trading in the securities of the foregoing companies due to a lack of current and accurate information about the companies because they have not filed certain periodic reports with the Commission. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to trading suspensions until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately contact Ansu N. Banerjee in the Division of Enforcement at (202) 551-5673, or by e-mail at banerjeea@sec.gov. (Rel. 34-66297)
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 February 2, 2012 and terminating at 11:59 p.m. EST on February 15, 2012.
- BluePoint Linux Software Corp. (BLPT)
- China Bottles Inc. (CBTT)
- Long-e International, Inc. (LOGE)
- Nano Superlattice Technology, Inc. (NSLT)
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 three 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 in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. 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.
The Commission also announced the issuance of an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 against: BluePoint Linux Software Corp; China Bottles Inc.; China Hinon Biotech, Inc.; China One Holding, Inc.; China Private Equity Group, Corporation; Chinese Manufacturers Online Corp.; Long-e International, Inc.; and Nano Superlattice Technology, Inc. The Division of Enforcement alleges that these issuers are delinquent in its periodic filings with the Commission.
If any broker, dealer or other person has any information which may relate to this matter, John T. Dugan of the Boston Regional Office of the Securities and Exchange Commission should be telephoned at (617) 573-8900. (Rel. 34-66299; Administrative Proceeding - 34-66298; File No. 3-14728)
Securities and Exchange Commission Suspends Trading in the Securities of Beicang Iron & Steel, Inc. For Failure to Make Required Periodic Filings
The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of Beicang Iron & Steel, Inc. (BEIC), commencing at 9:30 a.m. EST on February 2, 2012 and terminating at 11:59 p.m. EST on February 15, 2012:
The Commission temporarily suspended trading in the securities of BEIC due to a lack of current and accurate information about the company because it has not filed certain periodic reports with the Commission. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by BEIC.
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 BEIC 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 BEIC 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 contact Ansu N. Banerjee in the Division of Enforcement at (202) 551-5673, or by e-mail at banerjeea@sec.gov. (Rel. 34-66301)
Securities and Exchange Commission Suspends Trading in the Securities of Two 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 February 2, 2012 and terminating at 11:59 p.m. EST on February 15, 2012.
- Along Mobile Technologies, Inc. (AGMB)
- China Yingxia International, Inc. (CYXI)
The Commission temporarily suspended trading in the securities of these two 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. 34-66305)
Commission Meetings
Closed Meeting on Thursday, February 9, 2012 at 2:00 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, February 9, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; an adjudicatory 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
Securities and Exchange Commission Institutes Administrative Proceedings Against Heli Electronics Corp. For Failure to Make Required Periodic Filings
The U.S. Securities and Exchange Commission today instituted public administrative proceedings against Heli Electronics Corp. (Heli) to determine whether the registration of each class of its securities should be revoked or suspended for a period not exceeding twelve months.
In the Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order), the Division of Enforcement (Division) alleges that Heli is delinquent in its required periodic filings with the Commission.
In this proceeding, a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondent 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 the Respondent 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. 34-66290; File No. 3-14736)
Commission Orders Hearings on Registration Suspension or Revocation Against Two Companies For Failure to Make Required Periodic Filings
The Commission today 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 the following two companies for failure to make required periodic filings with the Commission:
- China Ventures Limited (CVTRF)
- Chinatek, Inc. (CTAK)
In the Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order), the Division of Enforcement (Division) alleges that the two issuers listed above are delinquent in their required periodic filings with the Commission.
In this proceeding, 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. 34-66291; File No. 3-14735)
Commission Orders Hearings on Registration Suspension or Revocation Against China Agro-Technology Holdings, Ltd. 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 China Agro-Technology Holdings, Ltd. (CAGTF) for failure to make required periodic filings with the Commission. In the Matter of China Agro-Technology Holdings, Ltd., Administrative Proceeding File No. 3-14734
In the Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order), the Division of Enforcement (Division) alleges that CAGTF is delinquent in its required periodic filings with the Commission.
In this proceeding, a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondent 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 the Respondent 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. 34-66293; File No. 3-14734)
In the Matter of Blue Earth Refineries, Inc.
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 against Blue Earth Refineries, Inc. (Blue Earth). The Division of Enforcement alleges that Blue Earth is delinquent in its periodic filings with the Commission, having not filed any periodic reports since it filed a Form 20-F for the period ended June 30, 2007.
The Commission also announced the issuance of an Order of Suspension of Trading Pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Order of Suspension) against Blue Earth. The Order of Suspension finds that there is a lack of current and accurate information concerning the securities of Blue Earth because it has been delinquent in its required periodic reports since December 2007.
Based on the above, the Order suspends the trading in the securities of Blue Earth for the period of February 2, 2012 through February 15, 2012.
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 Blue Earth 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 in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. 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, John T. Dugan of the Boston Regional Office of the Securities and Exchange Commission should be telephoned at (617) 573-8900. Administrative Proceeding - Rel. 34-66294; File No. 3-14727)
Commission Orders Hearings on Registration Suspension or Revocation Against Nine Companies for Failure to Make Required Periodic Filings
In conjunction with this trading suspension, the Commission today also instituted 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 the following nine companies for failure to make required periodic filings with the Commission:
- American Unity Investments, Inc. (AUNI)
- China Display Technologies, Inc. (CDYT)
- China Wind Energy, Inc. (CWEY)
- Environment Ecology Holding Company of China
- First Capital China Corporation
- Fuda Faucet Works, Inc. (FUFW)
- Greater China Media & Entertainment Corp. (GTCN)
- Xechem International, Inc. (XKEM)
- Yi Xin International Copper, Inc.
In the Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order), the Division of Enforcement (Division) alleges that the nine issuers listed above are delinquent in their required periodic filings with the Commission.
In this proceeding, 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. 34-66296; File No. 3-14732)
Commission Orders Hearings on Registration Suspension or Revocation Against Beicang Iron & Steel, Inc. 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 Beicang Iron & Steel, Inc. (BEIC) for failure to make required periodic filings with the Commission.
In the Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order), the Division of Enforcement (Division) alleges that BEIC is delinquent in its required periodic filings with the Commission.
In this proceeding, a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondent 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 the Respondent 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. 34-66300; File No. 3-14733)
In the Matter of China Convergent Corp, Ltd.
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 against China Convergent Corp., Ltd. (China Convergent). The Division of Enforcement alleges that China Convergent is delinquent in its periodic filings with the Commission, having not filed any periodic reports since it filed a Form 20-F/A for the period ended December 31, 2000. (Rel. 34-66302; File No. 3-14730)
Commission Orders Separate Hearings on Registration Suspension or Revocation Against Two Companies for Failure to Make Required Periodic Filings
In conjunction with this trading suspension, the Commission today also instituted separate public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of two companies for failure to make required periodic filings with the Commission:
- In the Matter of Along Mobile Technologies, Inc., Administrative Proceeding — (Rel. 34-66303; File No. 3-14731)
- In the Matter of China Yingxia International, Inc., Administrative Proceeding — (Rel. 34-66304; File No. 3-14729)
In each Order, the Division of Enforcement (Division) alleges that the issuers are delinquent in their required periodic filings with the Commission.
In each of these proceedings, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearings, the judges will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in each 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 each proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of the relevant Respondent should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in each proceeding issue an initial decision not later than 120 days from the date of service of the pertinent order instituting proceedings.
In the Matter of Dale Shafer, CPA
On February 2, 2012, the Commission entered an Order Instituting Administrative Proceedings pursuant to Rule 102(e) of the Commission’s Rules of Practice making Findings and Imposing Remedial Sanctions suspending Dale Shafer from appearing or practicing before the Commission as an accountant.
The order finds that Dale Bruce Shafer, age 42, is and has been a certified public accountant licensed since 1996 to practice in the State of Ohio. He served as interim Chief Financial Officer and Senior Vice President of Oak Hill Financial, Inc. (Oak Hill) from December 2006 until May 2008.
The Order finds that Oak Hill was, at all relevant times, an Ohio corporation with its principal place of business in Jackson, Ohio. Oak Hill was a bank. At all relevant times, Oak Hill’s common stock was registered with the Commission pursuant to Section 12(b) of the Securities Exchange Act of 1934 (Exchange Act), and traded on the NASDAQ National Market under the symbol OAKF.
Finally, the Order finds that On January 19, 2012, the Commission filed a complaint against Shafer in SEC v. Dale Shafer, et al. (Civil Action No. 1:12-CV-62 S.D. Ohio). On January 27, 2012, the court entered an order permanently enjoining Shafer, by consent, from future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. Shafer was also ordered to pay $33,484.08 jointly and severally in disgorgement of ill-gotten gains and $5,473.73 in prejudgment interest; and a $33,484.08 civil money penalty. The Commission’s complaint alleged, among other things, that Shafer owed a fiduciary duty of trust and confidence to the shareholders of Oak Hill to maintain the confidentiality of the information entrusted to him about the merger with WesBanco. Shafer knowingly or recklessly breached his duty by communicating this information to his cousin and in doing so he thereby received a personal benefit.
Shafer consented to the entry of the Order without admitting or denying any of the findings except he admitted the entry of the injunction. (Rel. 34-66312; AAE Rel. 3362; File No. 3-14737)
SEC Obtains Final Judgment by Consent Against Robert J. Therrien, Former CEO of Brooks Automation
The Commission announced that on February 1, 2012, the U.S. District Court for the District of Massachusetts entered a final judgment by consent against Robert J. Therrien of Boston, Massachusetts, a defendant in a civil injunctive action filed by the Commission in July 2007. The Commission alleged in its complaint that Therrien, the former CEO of Massachusetts-based Brooks Automation, Inc. (“Brooks”) engaged in a scheme to falsify company records to create the false appearance that certain options granted below the then-current market price actually had been granted at the then-current market price on an earlier date. Without admitting or denying the allegations in the Commission's Complaint, Therrien consented to the entry of a final judgment enjoining him from violating the antifraud, books and records, and other provisions of the federal securities laws, ordering him to disgorge $728,269, representing profits gained, and the proceeds of the sale of 150,000 shares of Brooks stock and to pay a civil penalty of $100,000, and barring him from serving as an officer or director of a public company.
The Commission's Complaint, filed July 26, 2007, alleged that, Therrien, in or about November 1999, created and signed false documents resulting in the issuance of the options to himself, which he immediately exercised, to purchase 225,000 shares of Brooks’ common stock. The Commission further alleged that Therrien signed these false documents after learning that his options to purchase the shares had expired unexercised a few months earlier in or about August 1999. According to the Complaint, the documents Therrien signed falsely indicated that he had actually exercised his option before it expired. As a result, according to the Complaint, Therrien received undisclosed compensation from Brooks, and Brooks failed to report this compensation in its Commission filings.
The final judgment imposed a permanent injunction prohibiting Therrien from violating Section 17(a) of the Securities Act of 1933 and Sections 10(b), 13(b)(5), 14(a), and 16(a) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rules 10b-5, 13a-14, 13b2-1, 13b2-2, 14a-9, and 16a-3 thereunder and aiding and abetting violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1, and 13a-13 thereunder; ordering him to pay $728,269 in disgorgement and to pay to Brooks the proceeds of the sale of 150,000 shares of Brooks stock; ordering him to pay a civil penalty in the amount of $100,000; and barring him from acting as an officer or director of a public company. The Commission filed a settled enforcement action against Brooks in May 2008 concerning Therrien’s conduct and other issues. [SEC v. Robert J. Therrien, 07-CV-11634-WGY (District of Massachusetts)] (LR-22248)
Securities Act Registrations
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-8 BROADCOM CORP, 5300 CALIFORNIA AVENUE, IRVINE, CA, 92617-3038,
949 926 5000 - 6,808,788 ($234,392,526.90) Equity, (File 333-179273 -
Feb. 1) (BR. 10A)
S-1 Ultimate Novelty Sports Inc., 371 FRONT STREET WEST, SUITE 245,
TORONTO, A6, M5V 3S8, (647) 864-2684 - 0 ($350,000.00) Equity,
(File 333-179280 - Feb. 1) (BR. )
S-8 MYRIAD GENETICS INC, 320 WAKARA WAY, SALT LAKE CITY, UT, 84108,
4,349,283 ($98,605,142.45) Equity, (File 333-179281 - Feb. 1) (BR. 01B)
S-1 Delphi Automotive PLC, COURTNEY ROAD, HOATH WAY, GILLINGHAM, KENT, X0,
ME8 0RU, 011-44-163-423-4422 - 0 ($2,323,284,314.64) Equity,
(File 333-179282 - Feb. 1) (BR. 05B)
S-1 Bergio International, Inc., 12 DANIEL ROAD, EAST FAIRFIELD, NJ, 07004,
(973) 227-3230 - 9,500,000 ($95,000.00) Equity, (File 333-179283 -
Feb. 1) (BR. 02B)
S-8 Seven Arts Entertainment Inc., 1801 CENTURY PARK EAST, #1830,
LOS ANGELES, CA, 90067, 44 020 7043 5394 -
5,000,000 ($50,000.00) Equity, (File 333-179286 - Feb. 1) (BR. 05A)
S-1 Facebook Inc, 1601 WILLOW ROAD, MENLO PARK, CA, 94025, 650-618-7714 -
0 ($5,000,000,000.00) Equity, (File 333-179287 - Feb. 1) (BR. )
S-3ASR LENNAR CORP /NEW/, 700 NW 107TH AVENUE, SUITE 400, MIAMI, FL, 33172,
3055594000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-179288 - Feb. 1) (BR. 06A)
S-3 PARAMOUNT GOLD & SILVER CORP., 665 ANDERSON STREET, WINNEMUCCA, NV,
89445, (775) 625-3600 - 0 ($90,000,000.00) Equity, (File 333-179289 -
Feb. 1) (BR. 09A)
S-8 LENNAR CORP /NEW/, 700 NW 107TH AVENUE, SUITE 400, MIAMI, FL, 33172,
3055594000 - 5,000,000 ($113,000,000.00) Equity, (File 333-179290 -
Feb. 1) (BR. 06A)
S-3 SEQUOIA RESIDENTIAL FUNDING INC, ONE BELVEDERE PLACE,, SUITE 300,
MILL VALLEY, CA, 94941, 415-389-7373 -
0 ($5,000,000.00) Asset-Backed Securities, (File 333-179292 - Feb. 1)
(BR. OSF)
S-3 TENGION INC, 2900 POTSHOP LANE, SUITE 100, EAST NORRITON, PA, 19403,
267-960-4800 - 1 ($30,000,000.00) Equity, (File 333-179293 - Feb. 1)
(BR. 01A)
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
ABRAXAS PETROLEUM CORP NV 7.01,9.01 02/01/12
ACCESS NATIONAL CORP VA 2.02,7.01,9.01 01/31/12
ADEPT TECHNOLOGY INC DE 2.02,9.01 02/01/12
ADVISORY BOARD CO DE 2.02,9.01 02/01/12
AES CORP DE 9.01 01/31/12 AMEND
AETNA INC /PA/ PA 2.02,9.01 02/01/12
Allegiant Travel CO NV 2.02,7.01,9.01 02/01/12
ALLSTATE CORP DE 2.02,9.01 02/01/12
AMASYS CORP DE 1.01 01/23/12
AMERICAN AIRLINES INC DE 8.01,9.01 02/01/12
AMERICAN NATIONAL BANKSHARES INC VA 5.03 01/31/12
AMERIPRISE FINANCIAL INC DE 2.02,9.01 02/01/12
AMERISTAR CASINOS INC NV 2.02,9.01 02/01/12
Ampio Pharmaceuticals, Inc. DE 7.01,9.01 01/31/12
AMR CORP DE 8.01,9.01 02/01/12
AMSURG CORP TN 5.02 02/01/12
AOL Inc. DE 2.02,9.01 02/01/12
API Technologies Corp. DE 5.08,8.01 02/01/12 AMEND
ARBITRON INC DE 7.01,9.01 02/01/12
ARENA PHARMACEUTICALS INC DE 8.01 02/01/12
ARROW ELECTRONICS INC NY 2.02,9.01 02/01/12
ARTESIAN RESOURCES CORP DE 8.01 01/31/12
ARTS WAY MANUFACTURING CO INC DE 5.02,8.01,9.01 01/26/12
AspenBio Pharma, Inc. CO 8.01,9.01 02/01/12
ASSURANT INC 2.02,9.01 02/01/12
Athens Bancshares Corp 2.02,8.01,9.01 01/27/12
ATMI INC DE 2.02,7.01,9.01 12/31/11
ATWOOD OCEANICS INC TX 2.02,9.01 02/01/12
AUTOLIV INC DE 2.02,7.01,9.01 02/01/12
AUTONATION, INC. DE 1.01,7.01,9.01 01/27/12
AVALONBAY COMMUNITIES INC MD 2.02,9.01 02/01/12
AVIAT NETWORKS, INC. DE 2.02,7.01,9.01 02/01/12
Axion Power International, Inc. DE 1.01,9.01 01/31/12
Bacterin International Holdings, Inc. DE 7.01,9.01 02/01/12
BAR HARBOR BANKSHARES ME 2.02,9.01 01/31/12
BAY BANKS OF VIRGINIA INC VA 8.01 01/31/12
BBCN BANCORP INC DE 5.03,9.01 01/26/12
BCM Energy Partners Inc. DE 1.01 01/25/12
BE AEROSPACE INC DE 2.01,2.02,9.01 01/30/12
BERKELEY COFFEE & TEA, INC. NV 1.01,9.01 01/31/12
BERKLEY W R CORP DE 2.02,9.01 01/31/12
BERKSHIRE HILLS BANCORP INC 2.02,8.01,9.01 01/31/12
BEST BUY CO INC MN 7.01 02/01/12
Big Clix, Corp. FL 5.03,9.01 01/26/12
BIOVEST INTERNATIONAL INC DE 7.01,9.01 02/01/12
Bitstream Inc. DE 8.01 01/31/12
BLACKSANDS PETROLEUM, INC. NV 5.02,9.01 01/26/12
BMC SOFTWARE INC DE 2.02,9.01 02/01/12
BOND LABORATORIES, INC. NV 2.02,8.01,9.01 01/31/12
Border Management, Inc. NV 5.03 01/06/12
BOSTON PROPERTIES INC DE 2.02,9.01 01/31/12
BOSTON PROPERTIES LTD PARTNERSHIP DE 2.02,9.01 01/31/12
BRANDYWINE REALTY TRUST MD 1.01,1.02 02/01/12
Bridge Capital Holdings CA 2.02,9.01 02/01/12
BRIGHTPOINT INC IN 2.02,9.01 02/01/12
BROADWAY FINANCIAL CORP \DE\ DE 5.02,9.01 01/27/12
CABOT CORP DE 2.02,9.01 02/01/12
CACI INTERNATIONAL INC /DE/ DE 2.02,7.01,9.01 02/01/12
CADENCE DESIGN SYSTEMS INC DE 2.02,9.01 02/01/12
CAGLES INC GA 2.03 01/26/12
CENTRAL GARDEN & PET CO DE 2.02,9.01 02/01/12
CENTRAL VALLEY COMMUNITY BANCORP CA 2.02 02/01/12
CENTRUE FINANCIAL CORP DE 5.02,9.01 01/31/12
CENTURY PROPERTIES FUND XIX CA 1.01,9.01 01/26/12
CHARTER COMMUNICATIONS, INC. /MO/ DE 1.01,2.03,8.01,9.01 01/26/12
CHAUS BERNARD INC NY 2.03,8.01,9.01 01/31/12
CHESAPEAKE MIDSTREAM PARTNERS LP DE 8.01,9.01 02/01/12
China Botanic Pharmaceutical 2.02,9.01 01/30/12
China Housing & Land Development, Inc NV 1.01,2.03,9.01 01/26/12
CHIPOTLE MEXICAN GRILL INC 2.02,8.01,9.01 02/01/12
CHOICE HOTELS INTERNATIONAL INC /DE DE 5.02,9.01 01/27/12
ChromaDex Corp. 1.01,9.01 02/01/12
Chrysler Group LLC DE 2.02,9.01 02/01/12
Chrysler Group LLC DE 8.01,9.01 02/01/12
CHS INC MN 1.01,9.01 02/01/12
CLEAR SYSTEM RECYCLING, INC. NV 5.03 01/30/12
COLLECTORS UNIVERSE INC DE 7.01,9.01 01/26/12
COMMUNITY WEST BANCSHARES / CA 2.02,9.01 02/01/12
COMMUNITY WEST BANCSHARES / CA 1.01,9.01 01/26/12
COMMVAULT SYSTEMS INC DE 2.02,9.01 02/01/12
COMPETITIVE TECHNOLOGIES INC DE 8.01,9.01 02/01/12
COMSTOCK RESOURCES INC NV 7.01,9.01 02/01/12
CONCUR TECHNOLOGIES INC DE 2.02,9.01 02/01/12
CONVERSION SERVICES INTERNATIONAL INC DE 5.02 01/27/12
Convio, Inc. DE 5.02 01/26/12
CORE LABORATORIES N V P7 2.02,9.01 02/01/12
CORINTHIAN COLLEGES INC 2.02,9.01 02/01/12
CORTLAND BANCORP INC OH 8.01 12/19/11
COVENTRY HEALTH CARE INC DE 5.02,9.01 01/26/12
CROWN HOLDINGS INC PA 2.02,9.01 02/01/12
CSS INDUSTRIES INC DE 2.02,9.01 01/31/12
CVR PARTNERS, LP DE 1.01,5.02,7.01,9.01 01/31/12
DAWSON GEOPHYSICAL CO TX 2.02,9.01 02/01/12
Delek US Holdings, Inc. 7.01,9.01 02/01/12
DEXCOM INC 5.02 01/26/12
DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 02/01/12
Divine Skin Inc. FL 5.02 01/31/12
Dr Pepper Snapple Group, Inc. DE 7.01,9.01 02/01/12
DSP GROUP INC /DE/ DE 2.02,9.01 02/01/12
DUKE REALTY CORP IN 8.01 02/01/12
EDUCATION MANAGEMENT CORPORATION 2.02,9.01 02/01/12
EL PASO ELECTRIC CO /TX/ TX 5.02 01/30/12
EL PASO ELECTRIC CO /TX/ TX 8.01,9.01 02/01/12
ELECTRONIC ARTS INC. DE 2.02,9.01 02/01/12
EMC INSURANCE GROUP INC IA 7.01,9.01 01/31/12
EMPIRE GLOBAL CORP. DE 1.01 12/09/11 AMEND
ENDEAVOUR INTERNATIONAL CORP NV 1.01,2.02,7.01,8.01, 01/31/12
9.01
ENDEAVOUR INTERNATIONAL CORP NV 8.01,9.01 01/31/12
ENERGIZER HOLDINGS INC MO 2.02,9.01 02/01/12
ENERGIZER HOLDINGS INC MO 5.07 01/30/12
ENTEGRIS INC DE 2.02,9.01 02/01/12
ENTERPRISE PRODUCTS PARTNERS L P DE 2.02,9.01 01/31/12
ENTROPIC COMMUNICATIONS INC DE 2.02,9.01 02/01/12
ENZO BIOCHEM INC NY 5.07 01/26/12
EXAR CORP DE 2.02,9.01 02/01/12
EXPONENT INC DE 2.02,9.01 02/01/12
FARMERS NATIONAL BANC CORP /OH/ OH 2.02,9.01 01/31/12
FAUQUIER BANKSHARES, INC. VA 2.02,9.01 01/31/12
FIDELITY D & D BANCORP INC PA 2.02,9.01 01/31/12
FIELDPOINT PETROLEUM CORP CO 7.01,9.01 02/01/12
FINANCIAL INSTITUTIONS INC NY 5.02 01/30/12
FIRST AMERICAN SCIENTIFIC CORP. NV 1.01,5.02,7.01,9.01 01/26/12
FIRST CAPITAL BANCORP, INC. VA 2.02,9.01 02/01/12
FIRST CITIZENS BANC CORP /OH OH 2.02,9.01 02/01/12
FIRST DATA CORP DE 2.02,9.01 02/01/12
FIRST FINANCIAL HOLDINGS INC /DE/ DE 2.02,5.07,9.01 12/31/11
FIRST MARINER BANCORP MD 2.02,9.01 01/30/12
FIRST NORTHERN COMMUNITY BANCORP CA 2.02,7.01,8.01,9.01 01/31/12
FIRST OF LONG ISLAND CORP NY 2.02,9.01 01/30/12
Florida Bank Group, Inc. FL 1.01 01/26/12
FLUSHING FINANCIAL CORP DE 2.02,9.01 01/31/12
FORD MOTOR CO DE 8.01,9.01 02/01/12
Fortune Brands Home & Security, Inc. DE 2.02,7.01,9.01 02/01/12
FRANKLIN COVEY CO UT 5.03,5.07,9.01 01/27/12
FRANKLIN RESOURCES INC DE 2.02,9.01 02/01/12
FULLER H B CO MN 2.05,5.02,9.01 01/26/12
FURMANITE CORP DE 5.02 01/27/12
General Maritime Corp / MI 2.02,7.01,9.01 02/01/12
General Maritime Corp / MI 8.01,9.01 02/01/12
GENEREX BIOTECHNOLOGY CORP DE 1.01,3.02,5.03,9.01 01/31/12
GENTOR RESOURCES, INC. FL 8.01,9.01 01/25/12
GEORGIA GULF CORP /DE/ DE 7.01,9.01 02/01/12
GERON CORP DE 5.02 01/30/12
GILEAD SCIENCES INC DE 5.02 01/26/12
GLADSTONE INVESTMENT CORPORATION\DE DE 2.02,9.01 02/01/12
Global Income Trust, Inc. MD 7.01,8.01,9.01 01/31/12
Global Investor Services, Inc. UT 4.01,9.01 01/27/12
GLOBAL NUTECH, INC. NV 1.01,2.01,3.02,5.02, 01/27/12
7.01,9.01
GLOBALSCAPE INC DE 7.01 01/31/12
GOLDEN EAGLE INTERNATIONAL INC CO 4.01,5.02,9.01 01/26/12
GREEN MOUNTAIN COFFEE ROASTERS INC DE 2.02,9.01 02/01/12
GREEN MOUNTAIN COFFEE ROASTERS INC DE 7.01,9.01 02/01/12
GREEN MOUNTAIN COFFEE ROASTERS INC DE 5.02 02/01/12
GRUBB & ELLIS CO DE 8.01 01/31/12
GT Advanced Technologies Inc. DE 2.02,7.01,9.01 02/01/12
GTJ REIT, Inc. MD 2.01,9.01 01/12/12 AMEND
GULF ISLAND FABRICATION INC LA 5.02 01/30/12
GULFMARK OFFSHORE INC DE 1.01,2.03,8.01,9.01 01/26/12
HAIN CELESTIAL GROUP INC DE 2.02,9.01 02/01/12
HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 02/01/12
HARLEY DAVIDSON INC WI 2.03,9.01 01/26/12
HARTFORD FINANCIAL SERVICES GROUP INC DE 7.01 02/01/12
Hartman Short Term Income Properties MD 1.01,1.02,9.01 01/31/12
Harvard Illinois Bancorp, Inc. MD 5.02,9.01 01/31/12
HAWAIIAN HOLDINGS INC DE 5.02 01/26/12
HAWKER BEECHCRAFT ACQUISITION CO LLC DE 5.02,9.01 02/01/12
HAWKINS INC MN 2.02,9.01 02/01/12
HCP, INC. MD 5.02,9.01 01/26/12
HEALTH ENHANCEMENT PRODUCTS INC 1.01,2.03,8.01,9.01 01/26/11
HEALTHCARE REALTY TRUST INC MD 8.01 02/01/12
HERITAGE COMMERCE CORP CA 5.02,9.01 01/26/12
HERITAGE FINANCIAL CORP /WA/ WA 2.02,8.01,9.01 02/01/12
HERSHEY CO DE 2.02,9.01 02/01/12
Hillenbrand, Inc. IN 2.02,9.01 02/01/12
HOLLY ENERGY PARTNERS LP DE 7.01,9.01 01/31/12
HORTON D R INC /DE/ DE 5.07 01/26/12
HOT TOPIC INC /CA/ CA 2.02,9.01 02/01/12
HUDSON VALLEY HOLDING CORP NY 2.02,9.01 02/01/12
HYPERDYNAMICS CORP DE 1.01,7.01,8.01,9.01 01/30/12
IAC/INTERACTIVECORP DE 2.02,4.02,7.01 01/27/12
III TO I MARITIME PARTNERS CAYMAN I L 1.01,2.03,9.01 01/26/12
IMAGEWARE SYSTEMS INC DE 8.01,9.01 01/30/12
INFORMATION ARCHITECTS CORP NC 2.01,9.01 01/31/12 AMEND
Innovaro, Inc. 7.01,9.01 02/01/12
INPHI Corp DE 2.02,9.01 02/01/12
INSITE VISION INC DE 5.02 01/27/12
INTELSAT S.A. N4 2.02,7.01 02/01/12
Interactive Intelligence Group, Inc. IN 2.02,9.01 02/01/12
INTERSIL CORP/DE DE 2.02,7.01,9.01 02/01/12
IntraLinks Holdings, Inc. DE 5.02,7.01,9.01 01/27/12
INVESTMENT TECHNOLOGY GROUP INC DE 2.02,9.01 02/01/12
JABIL CIRCUIT INC DE 5.07 01/26/12
JDS UNIPHASE CORP /CA/ DE 2.02,9.01 02/01/12
JONES LANG LASALLE INC MD 2.02,9.01 01/31/12
JUNIATA VALLEY FINANCIAL CORP PA 2.02,8.01,9.01 02/01/12
KENTUCKY BANCSHARES INC /KY/ KY 2.02,9.01 02/01/12
KMG CHEMICALS INC TX 8.01 02/01/12
KSW INC NY 5.03,9.01 01/27/12
KVH INDUSTRIES INC \DE\ DE 8.01,9.01 02/01/12
Lake Shore Bancorp, Inc. X1 2.02,9.01 02/01/12
LANTRONIX INC DE 7.01,9.01 02/01/12
LAS VEGAS SANDS CORP NV 2.02,9.01 02/01/12
LaSalle Hotel Properties MD 5.02 01/26/12
LEARNING TREE INTERNATIONAL INC DE 5.02,9.01 01/26/12
LENNAR CORP /NEW/ DE 8.01,9.01 02/01/12
Liberator, Inc. FL 7.01,9.01 01/31/12
LIBERTY STAR URANIUM & METALS CORP. NV 1.01,9.01 01/19/12
Lincolnway Energy, LLC IA 7.01,9.01 02/01/12
LIONS GATE ENTERTAINMENT CORP /CN/ A1 7.01,9.01 02/01/12
LIQUIDITY SERVICES INC DE 2.02,9.01 02/01/12
LIQUIDITY SERVICES INC DE 7.01,9.01 02/01/12
LKQ CORP DE 2.03 01/31/12
Lone Star Gold, Inc. NV 1.01,3.02,5.06,9.01 01/26/12
MAC-GRAY CORP DE 5.02 01/31/12
MAGNACHIP SEMICONDUCTOR Corp DE 2.02,9.01 02/01/12
MANITOWOC CO INC WI 2.02,9.01 01/31/12
MANPOWER INC /WI/ WI 2.02,9.01 02/01/12
MARATHON OIL CORP DE 2.02,9.01 12/31/11
Marathon Petroleum Corp DE 2.02,9.01 02/01/12
MARKEL CORP VA 2.02,9.01 02/01/12
MARKETAXESS HOLDINGS INC 2.02,8.01,9.01 02/01/12
Mastech Holdings, Inc. PA 2.02,9.01 02/01/12
MATTEL INC /DE/ DE 2.01,7.01,9.01 02/01/12
MATTSON TECHNOLOGY INC DE 2.02,9.01 02/01/12
MEDIVATION, INC. DE 8.01,9.01 01/31/12
MERU NETWORKS INC DE 2.02,9.01 02/01/12
MKS INSTRUMENTS INC MA 2.02,9.01 02/01/12
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 02/01/12
MONARCH COMMUNITY BANCORP INC MD 2.02,9.01 01/30/12
MPHASE TECHNOLOGIES INC NJ 8.01 02/01/12
MSB FINANCIAL CORP. X1 2.02,9.01 02/01/12
Mueller Water Products, Inc. DE 2.02,9.01 01/31/12
Mueller Water Products, Inc. DE 7.01,9.01 02/01/12
MULTIMEDIA GAMES HOLDING COMPANY, INC TX 2.02,9.01 02/01/12
NASDAQ OMX GROUP, INC. DE 2.02,7.01,9.01 02/01/12
NATIONAL RURAL UTILITIES COOPERATIVE DC 8.01,9.01 01/26/12
NAVIDEA BIOPHARMACEUTICALS, INC. DE 8.01,9.01 02/01/12
NAVISTAR INTERNATIONAL CORP DE 7.01,9.01 02/01/12
NBC ACQUISITION CORP DE 7.01,9.01 01/31/12
NETWORK EQUIPMENT TECHNOLOGIES INC DE 2.02,9.01 02/01/12
NeurogesX Inc CA 8.01,9.01 01/31/12
NEW YORK COMMUNITY BANCORP INC DE 7.01,9.01 01/30/12
NEW YORK MORTGAGE TRUST INC MD 5.03,9.01 02/01/12
NEWMARKET CORP VA 2.02,9.01 02/01/12
NEWS CORP 8.01,9.01 02/01/12
NISOURCE INC/DE DE 2.02,9.01 02/01/12
NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 01/31/12
NORTHROP GRUMMAN CORP /DE/ DE 2.02,9.01 02/01/12
NOVADEL PHARMA INC DE 5.02 01/30/12
NTS, INC. NV 5.03,9.01 02/01/12
NuStar Energy L.P. DE 1.01,9.01 01/30/12
Ocean Shore Holding Co. 2.02,9.01 01/31/12
OCZ TECHNOLOGY GROUP INC DE 1.01,9.01 01/31/12
ODYSSEY MARINE EXPLORATION INC NV 8.01 01/31/11
OHIO VALLEY BANC CORP OH 2.02,9.01 12/31/11
OMEROS CORP WA 1.01,9.01 01/27/12
Oneida Financial Corp. MD 2.02,9.01 01/31/12
OPEN TEXT CORP A6 2.02,9.01 02/01/12
OPENWAVE SYSTEMS INC DE 2.02,9.01 02/01/12
ORBITAL SCIENCES CORP /DE/ DE 5.02,9.01 01/26/12
Oro East Mining, Inc. DE 4.01,9.01 02/01/12 AMEND
OSL HOLDINGS INC. 8.01,9.01 01/27/12
PACIFIC MERCANTILE BANCORP CA 3.03,5.07,7.01,9.01 01/26/12
PATHFINDER BANCORP INC DE 8.01 02/01/12
PATRIOT TRANSPORTATION HOLDING INC FL 2.02,9.01 02/01/12
PEABODY ENERGY CORP DE 1.04 02/01/12
PennantPark Floating Rate Capital Ltd 7.01,9.01 02/01/12
Peoples Federal Bancshares, Inc. MD 8.01,9.01 02/01/12
PERFORMANCE TECHNOLOGIES INC \DE\ DE 5.02 01/26/12
PERICOM SEMICONDUCTOR CORP CA 2.02,9.01 01/31/12
PETROQUEST ENERGY INC DE 7.01,9.01 02/01/12
PFF BANCORP INC DE 8.01,9.01 01/23/12
PHH CORP MD 1.01,5.02,5.03,9.01 01/26/12
PHOTRONICS INC CT 5.07 01/31/12
PINNACLE DATA SYSTEMS INC OH 1.02,2.01,3.01,3.03, 01/30/12
5.01,5.02,5.03,9.01
PMFG, Inc. DE 2.02,9.01 02/01/12
PMFG, Inc. DE 2.01,9.01 11/08/11 AMEND
PPL Corp 5.02 01/26/12
PPOL INC CA 8.01 02/01/12
PRESSTEK INC /DE/ DE 5.02,7.01 02/01/12
PROTEONOMIX, INC. DE 8.01 02/01/12
PROVIDENT FINANCIAL SERVICES INC DE 5.02,9.01 02/01/12
QUALCOMM INC/DE DE 2.02,9.01 02/01/12
QUICKSILVER RESOURCES INC DE 8.01,9.01 01/31/12
QUINSTREET, INC DE 2.02,9.01 02/01/12
RAVEN INDUSTRIES INC SD 5.02,9.01 02/01/12
RAYMOND JAMES FINANCIAL INC FL 8.01 01/26/12
RealD Inc. DE 2.02,9.01 02/01/12
RealD Inc. DE 8.01,9.01 02/01/12
RECOVERY ENERGY, INC. NV 5.02 01/31/12
REGENCY CENTERS CORP FL 2.02,9.01 02/01/12
REPUBLIC BANCORP INC /KY/ KY 1.01,2.01,9.01 01/26/12 AMEND
REPUBLIC FIRST BANCORP INC PA 2.02,9.01 02/01/12
REX ENERGY CORP DE 1.01,8.01,9.01 01/31/12
RING ENERGY, INC. NV 8.01,9.01 01/30/12
ROBERTSON GLOBAL HEALTH SOLUTIONS COR NV 1.01,2.03,9.01 01/26/12
Rockwood Holdings, Inc. DE 7.01,9.01 02/01/12
ROYAL MINES & MINERALS CORP NV 1.01,3.02,7.01,9.01 01/26/12
Ruby Creek Resources, Inc. NV 5.02,9.01 01/31/12
RUDDICK CORP NC 1.01,1.02,2.03,9.01 01/30/12
RVUE HOLDINGS, INC. NV 2.03,9.01 01/27/12
SANFILIPPO JOHN B & SON INC DE 2.02,9.01 02/01/12
SANGAMO BIOSCIENCES INC DE 1.01,7.01,9.01 01/31/12
SBA COMMUNICATIONS CORP FL 5.03,9.01 01/26/12
SCBT FINANCIAL CORP SC 5.02 01/26/12
SCHAWK INC 1.01,2.03,9.01 01/27/12
SCHWEITZER MAUDUIT INTERNATIONAL INC DE 8.01,9.01 02/01/12
SCHWEITZER MAUDUIT INTERNATIONAL INC DE 5.02,9.01 02/01/12
SCHWEITZER MAUDUIT INTERNATIONAL INC DE 2.02,9.01 02/01/12
Sensata Technologies Holding N.V. P7 2.02,9.01 02/01/12
SERVOTRONICS INC /DE/ DE 1.01 01/31/12
SHC Advance Services Inc. DE 4.01,5.01,5.02,5.07 01/26/12
Shire plc 8.01,9.01 02/01/12
ShoreTel Inc CA 2.02,9.01 02/01/12
SIGNET JEWELERS LTD 8.01 02/01/12
Skinny Nutritional Corp. NV 1.01,2.03,3.02 01/26/12
SOLIGENIX, INC. DE 5.03,8.01,9.01 02/01/12
SOUTHERN CALIFORNIA EDISON CO CA 8.01,9.01 01/30/12
SOUTHWEST BANCORP INC OK 5.03,7.01 01/26/12
SPANISH BROADCASTING SYSTEM INC DE 1.01,8.01,9.01 01/31/12
Steadfast Income REIT, Inc. MD 1.01,2.01,2.03,7.01, 01/26/12
9.01
SunCoke Energy, Inc. 7.01,9.01 02/01/12
SuperDirectories Inc. DE 4.01 02/01/12 AMEND
Symetra Financial CORP DE 2.02,9.01 02/01/12
Teavana Holdings Inc 1.01,9.01 01/31/12
TESORO CORP /NEW/ DE 5.02 12/20/11
TESORO CORP /NEW/ DE 2.02,9.01 02/01/12
TESSERA TECHNOLOGIES INC DE 8.01,9.01 01/31/12
TFS Financial CORP DE 2.02,9.01 02/01/12
TFS Financial CORP DE 7.01,9.01 02/01/12
THERMO FISHER SCIENTIFIC INC. DE 2.02,9.01 02/01/12
THOR INDUSTRIES INC DE 5.02,9.01 01/31/12
THQ INC DE 1.01,2.05,5.02,8.01, 01/26/12
9.01
Tim Hortons Inc. A6 1.01,2.03,9.01 01/26/12
TN-K ENERGY GROUP INC. DE 7.01,9.01 01/31/12
TRACTOR SUPPLY CO /DE/ DE 2.02,9.01 02/01/12
TRANSATLANTIC HOLDINGS INC DE 2.02,9.01 02/01/12
TRANZYME INC DE 1.01,2.03,3.02,9.01 01/31/12
TUPPERWARE BRANDS CORP DE 2.02,9.01 02/01/12
UIL HOLDINGS CORP CT 2.03,9.01 01/30/12
UNITED FIRE & CASUALTY CO IA 2.01,3.01,3.03 02/01/12
United States Natural Gas Fund, LP 8.01,9.01 02/01/12
UNIVERSAL GOLD MINING CORP. NV 8.01,9.01 01/28/12
UNIVERSAL HEALTH REALTY INCOME TRUST MD 9.01 12/07/11 AMEND
VANGUARD HEALTH SYSTEMS INC DE 2.02,9.01 02/01/12
VANGUARD HEALTH SYSTEMS INC DE 5.02 02/01/12
VASCULAR SOLUTIONS INC MN 2.02,9.01 02/01/12
Vera Bradley, Inc. 5.02 01/26/12
VISA INC. DE 8.01,9.01 02/01/12
VISTAPRINT N.V. P7 2.02,9.01 01/26/12 AMEND
VOLT INFORMATION SCIENCES, INC. NY 1.01,7.01,9.01 01/27/12
W R GRACE & CO DE 2.02,9.01 02/01/12
Warner Chilcott plc 5.02,9.01 02/01/12
WAUSAU PAPER CORP. WI 8.01,9.01 01/31/12
Web Wizard, Inc. NV 1.01,9.01 01/27/12
WELLS FARGO & CO/MN DE 9.01 02/01/12
WEST BANCORPORATION INC IA 5.02 01/25/12 AMEND
WEST CORP DE 2.02,9.01 02/01/12
WESTLAKE CHEMICAL CORP 7.01,8.01,9.01 02/01/12
WHIRLPOOL CORP /DE/ DE 2.02,9.01 02/01/12
WINN DIXIE STORES INC FL 8.01,9.01 02/01/12
Wizard World, Inc. DE 1.01,2.01,3.02,5.01, 12/07/10 AMEND
5.02,5.03,5.06,9.01
Zumiez Inc WA 7.01,9.01 02/01/12
http://www.sec.gov/news/digest/2012/dig020212.htm
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