SEC Releases Risk Alert on Unauthorized Trading
The Securities and Exchange Commission today released an alert to help firms prevent and detect unauthorized trading in brokerage and advisory accounts.
The Risk Alert issued by the agency’s Office of Compliance Inspections and Examinations (OCIE) notes that although broker-dealers and investment advisers are subject to different regulatory requirements, both face similar risks of financial and reputational losses arising from unauthorized trading.
Unauthorized trading can include rogue trades in customer, client, or proprietary accounts or trades that exceed firm limits on position exposures, risk tolerances, and losses. Unauthorized trading can be done by traders, assistants on trading desks, portfolio managers, brokers, risk managers, or other personnel, including those in administrative positions in a firm’s back office.
“Unauthorized trading is not a new problem, and the risks it poses should be a perennial concern to financial firms as well as to regulators,” said Carlo di Florio, Director of OCIE. “We hope that the observations shared in the Risk Alert will be helpful for firms as they review their compliance and supervisory controls to detect and deter unauthorized trading.”
The alert notes that changes in trading patterns, a high volume of trade cancellations or corrections, manual trade adjustments, or unexplained profits for a particular trader or client may warrant additional scrutiny. The alert suggests compliance measures that firms might want to use to protect themselves and their clients from unauthorized trading, such as stress testing and independent trading reviews. The alert also discusses policies that require traders to take vacations without remote access to trading accounts. These policies could be enhanced, for instance, by using the trader’s vacation to conduct a special review of the trader’s portfolio for signs of unusual activity.
The alert is the second this year and the fourth in a continuing series of Risk Alerts that the SEC’s examination staff expects to issue.
The following staff contributed substantially to preparing this Risk Alert: Marita Bartolini, Julius Leiman-Carbia, Olin Filyaw, Dan Gregus, George Kramer, Lesley Ward, and Margaret Willenbucher. (Press Rel. 2012-33)
Commission Sanctions Eric J. Brown For Violations of the Antifraud and Books and Records Provisions of the Securities Laws; Matthew J. Collins For a Failure to Adequately Supervise and Violations of the Books and Records Provisions; and Kevin J. Walsh For Violations of the Antifraud Provisions
The Commission has found that Eric J. Brown, formerly associated with registered broker-dealer Prime Capital Services, Inc. ("Prime Capital"), violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Exchange Act Rule 10b-5 (collectively, the "antifraud provisions") by selling variable annuities to elderly customers while failing to disclose material information, including a prohibition on Brown's insurance license against making such sales, and by effecting unauthorized transactions in customer accounts. The Commission also found that Brown and Matthew J. Collins, who is associated with Prime Capital, aided and abetted and were a cause of Prime Capital violating Exchange Act Section 17(a) and Exchange Act Rule 17a-3 (collectively, the "books and records provisions") by falsifying customer account forms. The Commission additionally found that Collins failed to reasonably supervise Brown within the meaning of Exchange Act Sections 15(b)(4)(E) and 15(b)(6) by, among other things, allowing Brown to continue selling variable annuities despite a suspended license.
The Commission also found that Kevin J. Walsh, also formerly associated with Prime Capital, violated the antifraud provisions by failing to disclose material information to his customers when selling variable annuities – including concealing the very type of investment Walsh was selling. The Commission concluded, however, that the record did not establish that Walsh aided and abetted or was a cause of books and records violations. The Commission also concluded that the record did not establish that Mark W. Wells, who is associated with Prime Capital, violated the antifraud provisions or that he aided and abetted or was a cause of books and records violations.
For these violations, which the Commission found to be egregious, the Commission barred Brown, Collins, and Walsh from associating with any broker, dealer, or investment adviser (except with respect to Collins, who has a right to reapply in a non-supervisory capacity after two years); imposed cease-and-desist orders; ordered disgorgement of illegal profits; and assessed second-tier civil penalties. (Rels. 33-9299; 34-66469; IA-3376; File No. 3-13532)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Four Public Companies For Failure to Make Required Periodic Filings
Today the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of four companies for failure to make required periodic filings with the Commission:
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 Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-66470; File No. 3-14771)
In the Matter of Shawn R. Merriman
On February 27, 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 (Order) against Shawn R. Merriman (Merriman). Merriman consented to the entry of the Order in connection with his offer of settlement. The Order finds that on December 23, 2011, a final judgment was entered by consent against Merriman, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Section 206 of the Advisers Act and Rule 206(4)-8 thereunder, in the civil action entitled Securities and Exchange Commission v. Merriman, Civil Action Number 1:09-cv-00786-PAB, in the United States District Court for the District of Colorado. The Order also finds that the Commission’s complaint alleged that from about 1994 through 2009, when soliciting funds from investors, Merriman made materially false and misleading statements to them regarding, among other things, the purported uses of investor funds and the expected rates of return. The Complaint further alleged that Merriman misappropriated and misused investor proceeds, failed to trade in securities as represented to investors, and otherwise engaged in a variety of conduct which operated as a fraud or deceit on investors. The Complaint further alleged that Merriman sent false account statements to investors through the United States mail system in order to conceal the scheme. The Order also finds that in a related criminal case, on December 2, 2009, Merriman entered a plea of guilty to one count of mail fraud in violation of Title 18 United States Code, Section 1341 before the United States District Court for the District of Colorado, in United States v. Merriman, Case No. 09-cr-00369-MSK-01. On September 14, 2010, a judgment in the criminal case was entered against Merriman. He was sentenced to a prison term of 151 months followed by three years of supervised release and ordered to make restitution in the amount of $20,124,183.13.
Based on the above, the Order barred Merriman from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent. (Rel. IA-3377; File No. 3-14772)
Court Enters Judgments Against Defendants Magnum d’Or Resources, Inc., David Della Sciucca, Jr., and Dwight Flatt
The Securities and Exchange Commission announced that on February 13, 2012, the Court entered a final judgment of permanent injunction and other relief, by consent, against defendant Magnum d’Or Resources, Inc. The final judgment against Magnum enjoins the company from violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities and Exchange Act of 1934 and Exchange Act Rule 10b-5. In addition to injunctive relief, the Court orders Magnum to pay disgorgement in the amount of $7,728,824, representing profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest in the amount of $233,543.01, and imposes a civil penalty in the amount of $725,000. Also, on December 8, 2011 and January 4, 2012 the United States District Court for the Southern District of Florida entered judgments of permanent injunction and other relief, by consent, against defendants David Della Sciucca, Jr. and Dwight Flatt, respectively. The judgments enjoin Sciucca and Flatt from violations of Sections 5(a) and 5(c) of the Securities Act. Sciucca and Flatt also are barred from participating in any penny stock offering and from owning, receiving or purchasing Form S-8 stock. The judgments against Sciucca and Flatt provide for disgorgement and the imposition of civil penalties in amounts to be determined by the Court upon motion of the Commission.
The Commission commenced this action by filing its Complaint on April 29, 2011, against Magnum, Sciucca, Flatt, and others. The Complaint alleges Magnum issued stock pursuant to false Form S-8 registration statements, and used bogus consultants to funnel more than $7 million in illicit stock proceeds back into the company. The Complaint also alleges that in facilitating this kickback scheme, Magnum garnered the assistance of Flatt, Sciucca, and others, who liquidated Magnum S-8 stock, kept a portion of the sales proceeds, and then returned the remaining sales proceeds to Magnum under the guise of loan agreements. The Complaint further alleges that Magnum made false and misleading statements in its Form S-8 registration statements and in various press releases during the relevant time period. [SEC v. Magnum d’Or Resources, Inc., et al., Civil Action No. 11-60920-CIV-JORDAN/BANDSTRA (S.D. Fla.)] (LR-22268)
Court Accepts Guilty Plea From Gregory McKnight in $72 Million Ponzi Scheme
On February 24, 2012, the Securities and Exchange Commission announced that Gregory N. McKnight entered a guilty plea on February 16, 2012 to one count of wire fraud for his role in orchestrating a $72 million Ponzi scheme involving at least 3,000 investors. The U.S. Attorney’s Office for the Eastern District of Michigan filed criminal charges against McKnight on February 14, 2012. For his crimes, McKnight faces a potential maximum penalty of 20 years in federal prison. His sentence will be determined at a future date.
The criminal charges arose out of the same facts that were the subject of an emergency action that the SEC filed against McKnight and others on May 5, 2008 in the U.S. District Court in Flint, Michigan. According to the SEC’s complaint, McKnight, through his company Legisi Holdings, conducted a fraudulent, unregistered offering of securities from December 2005 through November 2007 in which he raised approximately $72 million from more than 3,000 investors. The SEC alleged that McKnight represented that he would invest the offering proceeds in various investment vehicles and pay interest of as much as 15 percent per month from the resulting profits. In addition, McKnight invested less than half of the offering proceeds and that these investments resulted in millions of dollars in losses. The SEC's complaint further charged that McKnight used investor funds to make Ponzi payments to investors and for his own use.
The SEC’s complaint charged McKnight with violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. In addition to an emergency court order to freeze McKnight’s assets and those of several companies he controlled and the appointment of a Receiver, the SEC sought a permanent injunction, disgorgement of ill-gotten gains with prejudgment interest, and civil penalties. The Court ordered an asset freeze and appointed a Receiver on May 5, 2008. On July 6, 2011, the Court entered a final judgment against McKnight and ordered him to pay disgorgement of ill-gotten gains, prejudgment interest, and civil penalties totaling approximately $6.5 million. The court also issued orders permanently enjoining McKnight from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act, Section 10(b) of the Exchange Act, and Rule 10b-5 thereunder. [SEC v. Gregory N. McKnight, et al.: 08-cv-11887 (E.D. Mich.)] (LR-22269)
SEC v. Mark Anthony Longoria, et al.
The SEC announced that the Honorable Jed S. Rakoff, United States District Judge, United States District Court for the Southern District of New York, entered a Final Judgment on Consent as to Jason Pflaum (“Pflaum”) on February 21, 2012, and a Final Judgment on Consent as to Walter Shimoon (“Shimoon”) on February 24, 2012, in the SEC’s insider trading case, SEC v. Mark Anthony Longoria, et al., 11-CV-0753 (SDNY) (JSR).
The SEC filed its Complaint on February 3, 2011, charging two employees of the so-called “expert network” firm, Primary Global Research LLC (“PGR”), and four consultants with insider trading for illegally tipping hedge funds and other investors. On February 8, 2011, the SEC filed an Amended Complaint, charging a New York-based hedge fund and four hedge fund portfolio managers and analysts who illegally traded on confidential information obtained from technology company employees moonlighting as expert network consultants. The scheme netted more than $30 million from trades based on material, nonpublic information about such companies as Advanced Micro Devices, Seagate Technology, Western Digital, Fairchild Semiconductor, and Marvell Technology Group. The charges were the first against traders in the SEC's ongoing investigation of insider trading involving expert networks.
The SEC alleged that from approximately 2008 through 2010, Pflaum, a former analyst at Barai Capital Management (“Barai Capital”), received material nonpublic information regarding several publicly traded securities and, along with co-defendant Samir Barai, caused Barai Capital to execute securities trades based on that information. In December 2010, Pflaum pleaded guilty to conspiracy and securities fraud in a parallel criminal case, United States v. Pflaum, 11 Cr. 01265 (JGK), arising from the same conduct. Pflaum has been cooperating with the Government and the SEC in connection with the criminal and civil prosecution of several former employees and clients of PGR and other related investigations.
The Final Judgment against Pflaum: (1) permanently enjoins him from violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”), and Exchange Act Rule 10b-5; and (2) orders him to pay disgorgement in the amount of $101,943.00 plus prejudgment interest thereon in the amount of $11,872.38, for a total of $113,815.38. Based on Pflaum’s agreement to cooperate with the SEC, the SEC did not seek a civil penalty. Separately, Pflaum has also consented to the entry of an order by the SEC instituting administrative proceedings pursuant to Section 203(f) of the Investment Advisers Act of 1940 and barring Pflaum from association with any investment adviser, broker, dealer, municipal securities dealer, or transfer agent.
With respect to Shimoon, a former Vice President of Business Development at Flextronics International Ltd., and also a paid consultant for PGR, the SEC alleged, among other things, that from at least the second half of 2008, Shimoon provided detailed material nonpublic information concerning Flextronics and its customers to co-defendant Bob Nguyen (a PGR employee) and to PGR’s hedge fund clients. The SEC further alleged that PGR’s hedge fund clients traded on the basis of the information Shimoon provided. In July 2011, Shimoon pleaded guilty to conspiracy and securities fraud in a parallel criminal case, United States v. Shimoon, 11 Cr. 00032 (JSR), arising from the same conduct. Shimoon has been cooperating with the Government and the SEC in connection with the criminal and civil prosecution of several former employees and clients of PGR and other related investigations.
The Final Judgment against Shimoon: (1) permanently enjoins him from violations of Section 10(b) of the Exchange Act, and Exchange Act Rule 10b-5; (2) orders him to pay disgorgement in the amount of $44,175.00, plus prejudgment interest thereon in the amount of $6,099.39, for a total of $50,274.39; and (3) permanently bars him from acting as an officer or director of a public company. Based on Shimoon’s agreement to cooperate with the SEC, the SEC did not seek a civil penalty. [SEC v. Mark Anthony Longoria, et al., Civil Action No. 11-CV- 0753 (SDNY) (JSR)] (LR-22270)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-19) relating to routing fees 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 February 27. (Rel. 34-66451)
A proposed rule change filed by Financial Industry Regulatory Authority, Inc. to amend Section 4(c) of Schedule A to the FINRA By-Laws to increase Qualification Examination fees and assess a service charge for Regulatory Element Continuing Education sessions taken outside the United States (SR-FINRA-2012-009) 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 February 27. (Rel. 34-66465)
Proposed Rule Changes
The New York Stock Exchange LLC filed a proposed rule change (SR-NYSE-2012-06) to exclude foreign affiliates, eliminate the application process for approved persons, and make related technical and conforming changes. Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66462)
The NYSE Amex LLC filed a proposed rule change (SR-NYSEAmex-2012-12) to exclude foreign affiliates, eliminate the application process for approved persons, and make related technical and conforming changes. Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66463)
Partial Amendment to Proposed Rule Changes
The New York Stock Exchange LLC and NYSE Amex LLC filed Amendment No. 2 to proposed rule changes (SR-NYSE-2011-55; SR-NYSEAmex-2011-84) adopting new Rule 107C to establish a Retail Liquidity Provider Program on a pilot basis to attract additional retail order flow to the exchanges. Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66464)
Approval of Proposed Rule Change
The Commission granted approval of a proposed rule change (SR-NYSEArca-2011-97) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to listing and trading of shares of the Teucrium Agriculture Fund under NYSE Arca Equities Rule 8.200. Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66466)
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 SEACOR HOLDINGS INC /NEW/, 2200 ELLER DRIVE, PO BOX 13038, FORT LAUDERDALE, FL, 33316, 954 523-2200 - 233,607 ($22,823,403.90) Equity, (File 333-179655 - Feb. 24) (BR. 05C) S-8 SEACOR HOLDINGS INC /NEW/, 2200 ELLER DRIVE, PO BOX 13038, FORT LAUDERDALE, FL, 33316, 954 523-2200 - 1,000,000 ($97,700,000.00) Equity, (File 333-179656 - Feb. 24) (BR. 05C) S-8 EMC METALS CORP., #1100 - 888 DUNSMUIR STREET, VANCOUVER, A1, V6C 3K4, 604-648-4653 - 22,601,806 ($3,920,987.00) Equity, (File 333-179657 - Feb. 24) (BR. 09A) S-1 UNIFIED GROCERS, INC., 5200 SHEILA STREET, COMMERCE, CA, 90040, 323-264-5200 - 0 ($43,300,000.00) Equity, (File 333-179658 - Feb. 24) (BR. 02A) S-1 UNIFIED GROCERS, INC., 5200 SHEILA STREET, COMMERCE, CA, 90040, 323-264-5200 - 0 ($69,660,330.00) Equity, (File 333-179659 - Feb. 24) (BR. 02A) S-8 iSoftStone Holdings Ltd, International Software Plaza Bldg 9, Zhongguancun Software Park No. 8 West Do, Beijing, F4, 100193, (86-10) 5874-9000 - 0 ($16,978,387.13) ADRs/ADSs, (File 333-179662 - Feb. 24) (BR. 03C) S-3ASR RANGE RESOURCES CORP, 100 THROCKMORTON STE. 1200, FT WORTH, TX, 76102, 817-870-2601 - 0 ($1.01) Debt, (File 333-179663 - Feb. 24) (BR. 04A) S-3ASR INTERPUBLIC GROUP OF COMPANIES, INC., 1114 AVENUE OF THE AMERICAS, 19TH FLOOR, NEW YORK, NY, 10036, 212-704-1200 - 0 ($0.00) Debt, (File 333-179667 - Feb. 24) (BR. 11C) S-8 CAPITAL TRUST INC, 410 PARK AVENUE, 14TH FLOOR, NEW YORK, NY, 10022, 2126550220 - 1,000,000 ($3,410,000.00) Equity, (File 333-179668 - Feb. 24) (BR. 08C) S-1 New Global Energy, Inc., 215 SOUTH RIVERSIDE DRIVE, SUITE 12, COCOA, FL, 32922, 321-684-5721 - 3,000,000 ($3,300,000.00) Equity, (File 333-179669 - Feb. 24) (BR. 09) S-8 INSTEEL INDUSTRIES INC, 1373 BOGGS DR, MOUNT AIRY, NC, 27030, 9107862141 - 900,000 ($11,637,000.00) Equity, (File 333-179670 - Feb. 24) (BR. 06C) S-3ASR EATON CORP, EATON CTR, 1111 SUPERIOR AVE, CLEVELAND, OH, 44114-2584, 2165235000 - 0 ($25,545,000.00) Equity, (File 333-179671 - Feb. 24) (BR. 06C) S-8 EATON CORP, EATON CTR, 1111 SUPERIOR AVE, CLEVELAND, OH, 44114-2584, 2165235000 - 500,000 ($25,545,000.00) Equity, (File 333-179673 - Feb. 24) (BR. 06C) S-8 EATON CORP, EATON CTR, 1111 SUPERIOR AVE, CLEVELAND, OH, 44114-2584, 2165235000 - 500,000 ($25,545,000.00) Equity, (File 333-179674 - Feb. 24) (BR. 06C) S-8 EATON CORP, EATON CTR, 1111 SUPERIOR AVE, CLEVELAND, OH, 44114-2584, 2165235000 - 1,000,000 ($51,090,000.00) Equity, (File 333-179675 - Feb. 24) (BR. 06C) S-3ASR EATON CORP, EATON CTR, 1111 SUPERIOR AVE, CLEVELAND, OH, 44114-2584, 2165235000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179676 - Feb. 24) (BR. 06C) S-8 EQUINIX INC, ONE LAGOON DRIVE, 4TH FLOOR, REDWOOD CITY, CA, 94065, (650) 598-6000 - 500,000 ($67,355,000.00) Equity, (File 333-179677 - Feb. 24) (BR. 11C) S-3ASR COMCAST CORP, 0 ($0.00) Other, (File 333-179678 - Feb. 24) (BR. 11C) S-8 IKANOS COMMUNICATIONS, 47669 FREMONT BLVD., FREMONT, CA, 94538, (510) 979-0400 - 8,500,000 ($7,140,000.00) Equity, (File 333-179679 - Feb. 24) (BR. 11C) S-8 VMWARE, INC., 3401 HILLVIEW AVENUE, PALO ALTO, CA, 94304, (650) 427-5000 - 194,622 ($19,113,826.62) Equity, (File 333-179680 - Feb. 24) (BR. 03C) S-8 COMPETITIVE TECHNOLOGIES INC, 1375 KINGS HIGHWAY EAST, FAIRFIELD, CT, 06824, (203) 368-6044 - 180,000 ($217,800.00) Equity, (File 333-179681 - Feb. 24) (BR. 03A) S-1 Fuse Science, Inc., 6135 NW 167TH STREET, #E21, MIAMI, FL, 33015, 305-503-3873 - 104,802,674 ($37,728,960.00) Equity, (File 333-179682 - Feb. 24) (BR. 08C) S-8 RAYMOND JAMES FINANCIAL INC, 880 CARILLON PKWY, P O BOX 12749, ST PETERSBURG, FL, 33716, 727-567-1000 - 24,243,944 ($848,780,479.44) Equity, (File 333-179683 - Feb. 24) (BR. 12A) S-8 ACME PACKET INC, 100 CROSBY DRIVE, BEDFORD, MA, 01730, 781-328-4400 - 0 ($104,372,999.00) Equity, (File 333-179684 - Feb. 24) (BR. 03A) F-3 RBS Holdings N.V., GUSTAV MAHLERLAAN 10, AMSTERDAM, P7, 1082 PP, 44 207 672 1758 - 0 ($1,000,000.00) Other, (File 333-179685 - Feb. 24) (BR. 12A) F-1 Newsummit Biopharma Holdings Ltd, 2F, No. 780 Cailun Road, Zhangjiang Hi-Tech Park, Pudong District, Shanghai, F4, 201203, (+86) 21-5079-8788 - 0 ($80,000,000.00) ADRs/ADSs, (File 333-179686 - Feb. 24) (BR. 01) S-1 DUNE ENERGY INC, TWO SHELL PLAZA, 777 WALKER STREET SUITE 2300, HOUSTON, TX, 77002, 7132296300 - 0 ($83,817,789.77) Equity, (File 333-179687 - Feb. 24) (BR. 04B) S-8 GENERAL ELECTRIC CO, 3135 EASTON TURNPIKE, W3F, FAIRFIELD, CT, 06828, 203-373-2211 - 0 ($2,882,600,000.00) Other, (File 333-179688 - Feb. 24) (BR. 10B) F-3 EDAP TMS SA, PARC D'ACTIVITES LA POUDRETTE LAMARTINE, 4 RUE DU DAUPHINE, 69120 VAULX EN VELIN, I0, 1,908,691 ($1,569,908.00) Equity, (File 333-179689 - Feb. 24) (BR. 10A) S-8 KONINKLIJKE PHILIPS ELECTRONICS NV, BREITNER CENTER, AMSTELPLEIN 2, AMSTERDAM, P7, 1096 BC, 31 20 59 77777 - 17,500,000 ($375,725,000.00) Equity, (File 333-179692 - Feb. 24) (BR. 10B) S-3 MERRILL LYNCH & CO., INC., 4 WORLD FINANCIAL CTR, NEW YORK, NY, 10080, 2124491000 - 0 ($1.00) Unallocated (Universal) Shelf, (File 333-179693 - Feb. 24) (BR. 12A) S-3 KINGOLD JEWELRY, INC., 40 WALL STREET, 58TH FLOOR, NEW YORK, NY, 10005, (212) 509-1700 - 0 ($80,000,000.00) Equity, (File 333-179694 - Feb. 24) (BR. 02C) S-8 WHIRLPOOL CORP /DE/, WHIRLPOOL CNTR 2000 M 63, C/O CORPORATE SECRETARY, BENTON HARBOR, MI, 49022-2692, 6169235000 - 0 ($70,450,000.00) Equity, (File 333-179695 - Feb. 24) (BR. 11C) S-3ASR NATIONAL RETAIL PROPERTIES, INC., 450 S ORANGE AVE, SUITE 900, ORLANDO, FL, 32801, 407-666-7348 - 0 ($1.00) Unallocated (Universal) Shelf, (File 333-179696 - Feb. 24) (BR. 08C) S-3ASR NATIONAL RETAIL PROPERTIES, INC., 450 S ORANGE AVE, SUITE 900, ORLANDO, FL, 32801, 407-666-7348 - 0 ($425,600,000.00) Equity, (File 333-179698 - Feb. 24) (BR. 08C)
Form 8-K is used by companies to file current reports on the following events:
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 ABBOTT LABORATORIES IL 5.03,9.01 02/17/12 AbitibiBowater Inc. DE 8.01,9.01 02/23/12 ACTIVE POWER INC DE 5.02 02/17/12 ALBANY INTERNATIONAL CORP /DE/ DE 5.02 02/24/12 ALBANY INTERNATIONAL CORP /DE/ DE 2.05,9.01 02/23/12 Allied Nevada Gold Corp. DE 7.01,9.01 02/23/12 ALLOS THERAPEUTICS INC DE 5.02,9.01 02/21/12 Alpha Natural Resources, Inc. DE 2.02,9.01 02/24/12 Alpha Natural Resources, Inc. DE 1.04 02/17/12 ALTERRA CAPITAL HOLDINGS Ltd 1.01,9.01 02/22/11 AMERICAN EAGLE OUTFITTERS INC DE 1.01,1.02,5.02,9.01 02/24/12 AMERICAN POWER CORP. NV 1.01,3.02,9.01 02/17/12 American Railcar Industries, Inc. ND 5.02,9.01 02/17/12 AMERICAN SCIENTIFIC RESOURCES INC NV 1.01,2.01,9.01 02/23/12 ANIXTER INTERNATIONAL INC DE 5.03,9.01 02/23/12 AOL Inc. DE 8.01,9.01 02/24/12 Apollo Commercial Real Estate Finance MD 5.02 02/24/12 Apollo Global Management LLC DE 5.02 02/24/12 APRICUS BIOSCIENCES, INC. NV 1.01 02/22/12 ARDEN GROUP INC DE 2.05 02/17/12 Arlington Asset Investment Corp. VA 2.02,9.01 02/23/12 ARQULE INC DE 5.02,9.01 02/23/12 ASSOCIATED ESTATES REALTY CORP OH 5.02 02/21/12 ASSURANCEAMERICA CORP NV 5.02 02/24/12 ATC Ventures Group, Inc. NV 2.02,9.01 02/17/12 ATLANTIC CITY ELECTRIC CO NJ 5.02 02/23/12 Atlas Energy, L.P. DE 1.01,9.01 02/23/12 Atlas Resource Partners, L.P. 1.01,9.01 02/23/12 ATOMIC PAINTBALL INC 5.02 02/21/12 Attitude Drinks Inc. DE 1.01,3.02,9.01 02/22/12 AXCELIS TECHNOLOGIES INC DE 5.02,9.01 02/24/12 Bacterin International Holdings, Inc. DE 7.01,9.01 02/24/12 BB&T CORP NC 5.02,5.03,9.01 02/21/12 Beacon Federal Bancorp, Inc. MD 8.01,9.01 02/23/12 BEACON POWER CORP DE 7.01,9.01 02/22/12 BEAM INC DE 5.02 02/22/12 BGC Partners, Inc. DE 2.02,9.01 02/24/12 BioRestorative Therapies, Inc. NV 5.02,5.07 02/10/12 AMEND BIOSPECIFICS TECHNOLOGIES CORP DE 8.01,9.01 02/23/12 BLUE RIDGE REAL ESTATE CO PA 1.01,9.01 02/20/12 BLYTH INC DE 5.02 02/23/12 BOSTON FINANCIAL TAX CREDIT FUND VII MA 8.01 02/17/12 BROADCOM CORP CA 8.01 02/24/12 BROADVIEW NETWORKS HOLDINGS INC DE 5.02,8.01,9.01 02/21/12 C & F FINANCIAL CORP VA 8.01,9.01 02/22/12 CAMAC Energy Inc. DE 7.01,9.01 02/21/12 CAMAC Energy Inc. DE 5.02 02/23/12 CAPITAL SENIOR LIVING CORP DE 5.02 02/22/12 CAPITAL TRUST INC MD 8.01,9.01 02/24/12 CardioGenics Holdings Inc. NV 4.01,9.01 02/20/12 CARRIAGE SERVICES INC DE 2.02,9.01 02/22/12 Catalent Pharma Solutions, Inc. DE 1.01,2.01,2.03,9.01 02/17/12 Celldex Therapeutics, Inc. DE 1.01,9.01 02/24/12 CENTRAL ENERGY PARTNERS LP DE 1.01,9.01 02/17/12 CENTRAL VERMONT PUBLIC SERVICE CORP VT 5.02 02/22/12 Chelsea Therapeutics International, L DE 8.01,9.01 02/23/12 CHENIERE ENERGY INC DE 2.02,9.01 02/24/12 Cheniere Energy Partners, L.P. DE 2.02,9.01 02/24/12 CHICOS FAS INC FL 2.02,9.01 02/22/12 ChromaDex Corp. DE 5.02,9.01 02/21/12 Citizens Community Bancorp Inc. MD 5.03,5.07 02/23/12 CMS Bancorp, Inc. DE 5.07 02/24/12 Cobalt International Energy, Inc. 1.01,8.01,9.01 02/23/12 COBIZ FINANCIAL INC CO 7.01 02/24/12 COBRA ELECTRONICS CORP DE 2.02,9.01 02/24/12 COLE KENNETH PRODUCTIONS INC NY 8.01,9.01 02/24/12 Colfax CORP DE 5.02,7.01,9.01 02/22/12 COLOMBIA ENERGY RESOURCES, INC. DE 8.01 02/17/12 COLONY RESORTS LVH ACQUISITIONS LLC NV 5.02 02/24/12 COMMERCETEL CORP NV 4.01,9.01 02/20/12 CompuCredit Holdings Corp GA 1.01,2.03,9.01 11/02/11 AMEND Conquest Petroleum Inc TX 8.01,9.01 02/24/12 CORCEPT THERAPEUTICS INC DE 5.02,8.01,9.01 02/17/12 CORN PRODUCTS INTERNATIONAL INC DE 5.02 02/24/12 COSI INC DE 8.01,9.01 02/23/12 COVANCE INC DE 5.02,9.01 02/20/12 COVER ALL TECHNOLOGIES INC DE 8.01,9.01 02/21/12 CRACKER BARREL OLD COUNTRY STORE, INC 5.03,9.01 02/23/12 CREDO PETROLEUM CORP DE 8.01,9.01 02/21/12 CROWN CASTLE INTERNATIONAL CORP DE 5.02,9.01 02/23/12 CROWN MEDIA HOLDINGS INC DE 2.02,9.01 02/24/12 Cryoport, Inc. NV 1.01,3.02,9.01 02/17/12 CubeSmart MD 2.02,7.01,9.01 02/23/12 CYBERONICS INC DE 2.02,9.01 02/24/12 DELMARVA POWER & LIGHT CO /DE/ DE 5.02 02/23/12 Diamond Foods Inc DE 5.02,9.01 02/18/12 DISCOUNT DENTAL MATERIALS, INC. NV 4.01,9.01 02/21/12 AMEND DOLE FOOD CO INC DE 9.01 11/17/11 AMEND DONEGAL GROUP INC DE 2.02,9.01 02/24/12 DORCHESTER MINERALS, L.P. DE 2.02,7.01,9.01 02/24/12 DreamWorks Animation SKG, Inc. 1.01,5.08,8.01,9.01 02/17/12 Duke Energy CORP DE 5.02,9.01 02/24/12 DURECT CORP DE 3.01 02/21/12 EATON CORP OH 5.02 02/21/12 EMERSON ELECTRIC CO MO 7.01 02/24/12 ENDO PHARMACEUTICALS HOLDINGS INC DE 2.02,9.01 02/24/12 ENDOLOGIX INC /DE/ DE 1.01 02/20/12 Energy Future Holdings Corp /TX/ TX 8.01,9.01 02/23/12 ENERGY XXI (BERMUDA) LTD D0 3.02,8.01,9.01 02/24/12 Evercore Partners Inc. DE 5.02,9.01 02/20/12 EVERGREEN SOLAR INC DE 5.02 02/08/12 EWaste Systems, Inc. NV 5.02,9.01 02/20/12 EXACT SCIENCES CORP DE 5.02 02/16/12 EXCO RESOURCES INC TX 2.02,9.01 02/23/12 EXTERRAN HOLDINGS INC. DE 1.01,7.01,9.01 02/22/12 EXTERRAN PARTNERS, L.P. DE 1.01,2.03,3.02,7.01, 02/22/12 9.01 EXTERRAN PARTNERS, L.P. DE 9.01 02/22/12 AMEND EXTREME NETWORKS INC DE 8.01 02/24/12 FAMILY DOLLAR STORES INC DE 1.01,3.03,9.01 02/24/12 FARMERS & MERCHANTS BANCORP DE 8.01 01/20/12 AMEND FARMERS & MERCHANTS BANCORP INC OH 5.02 02/17/12 FARMERS & MERCHANTS BANCORP INC OH 8.01 01/20/12 AMEND FEDERAL HOME LOAN MORTGAGE CORP 7.01,9.01 02/24/12 FERRELLGAS PARTNERS L P DE 7.01 02/24/12 FIRST BANCORP /PR/ PR 1.01 02/17/12 Firsthand Technology Value Fund, Inc. 8.01,9.01 02/23/12 FORD MOTOR CREDIT CO LLC DE 8.01 02/24/12 Freedom Environmental Services, Inc. DE 4.01 02/24/12 FTI CONSULTING INC MD 2.02,7.01,9.01 02/24/12 FULTON FINANCIAL CORP PA 7.01,9.01 02/24/12 GARDNER DENVER INC DE 5.02,9.01 02/20/12 GC China Turbine Corp. NV 5.02,9.01 02/17/12 GIBRALTAR INDUSTRIES, INC. DE 2.02,7.01,9.01 02/23/12 Global Indemnity plc L2 5.02 02/24/12 GLOBALSCAPE INC DE 7.01 02/24/12 GOLDEN FORK CORP 5.01,5.02 02/17/12 GOLDMAN SACHS GROUP INC DE 9.01 02/24/12 GRAY TELEVISION INC GA 2.02,7.01,9.01 02/24/12 GREEN MOUNTAIN COFFEE ROASTERS INC DE 1.01 02/23/12 GRUBB & ELLIS CO DE 5.02 02/21/12 GRYPHON GOLD CORP NV 2.02,7.01,9.01 02/24/12 Harvard Illinois Bancorp, Inc. MD 2.02,9.01 02/24/12 HEALTH MANAGEMENT ASSOCIATES INC DE 5.02 02/21/12 HEARTLAND EXPRESS INC NV 5.02 02/22/12 HELIX ENERGY SOLUTIONS GROUP INC MN 5.02 02/23/12 HERSHA HOSPITALITY TRUST MD 2.02,9.01 02/23/12 HERSHEY CO DE 5.02,5.03,9.01 02/24/12 Higher One Holdings, Inc. DE 8.01 02/24/12 HollyFrontier Corp DE 5.02,9.01 02/21/12 Horizon Lines, Inc. 5.02,9.01 02/17/12 Huron Consulting Group Inc. DE 7.01,9.01 02/24/12 HUTCHINSON TECHNOLOGY INC MN 1.01,3.03,9.01 02/24/12 HYPERDYNAMICS CORP DE 5.07 02/17/12 iGlue, Inc. NV 5.02 02/20/12 iGo, Inc. DE 3.01 02/23/12 IMOGO MOBILE TECHNOLOGIES CORP. NV 5.03,7.01,9.01 02/24/12 IMPLANT SCIENCES CORP MA 1.01,2.03,7.01,9.01 02/24/12 Independence Energy Corp. NV 5.02 02/22/12 Indigo International, Corp. NV 1.01,2.03,9.01 02/16/12 INFITECH VENTURES INC NV 3.02 02/23/12 INSPERITY, INC. DE 7.01 02/23/12 INTERCONTINENTALEXCHANGE INC DE 5.02,9.01 02/24/12 INTERLINE BRANDS, INC./DE DE 2.02,9.01 02/24/12 INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01,9.01 02/24/12 INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01,9.01 02/24/12 InvenSense Inc DE 1.01,9.01 02/17/12 Iridium Communications Inc. DE 5.02,9.01 02/22/12 ITT Corp IN 5.02,9.01 02/23/12 James River Coal CO VA 1.04 02/22/12 JARDEN CORP DE 1.01,2.03,9.01 02/17/12 Juhl Wind, Inc 1.01,2.01,8.01,9.01 10/13/11 KAYDON CORP DE 2.02,5.02,8.01,9.01 02/22/12 KENTUCKY BANCSHARES INC /KY/ KY 8.01,9.01 02/24/12 KILROY REALTY CORP MD 5.02,9.01 02/22/12 KINDRED HEALTHCARE, INC DE 2.02,7.01,8.01,9.01 02/23/12 LA JOLLA PHARMACEUTICAL CO DE 8.01 02/23/12 Lattice INC DE 4.01,9.01 01/28/12 Legend Oil & Gas, Ltd. CO 4.02 02/23/12 LEUCADIA NATIONAL CORP NY 1.01,1.02,8.01,9.01 02/17/12 LEXICON PHARMACEUTICALS, INC./DE DE 1.01,8.01,9.01 02/24/12 LEXINGTON REALTY TRUST MD 2.02,7.01,9.01 02/23/12 LIBERTY ENERGY CORP. NV 1.01,2.01,3.02,9.01 02/22/12 LIGHTSTONE VALUE PLUS REAL ESTATE INV MD 2.01,9.01 02/20/12 LITHIA MOTORS INC OR 2.02,7.01,9.01 02/24/12 LSB INDUSTRIES INC DE 3.03,8.01,9.01 02/21/12 Magyar Bancorp, Inc. DE 5.07,9.01 02/22/12 MEDICAL PROPERTIES TRUST INC 1.01,9.01 02/17/12 Mellanox Technologies, Ltd. L3 5.02 02/22/12 MERCADOLIBRE INC 8.01 02/23/12 AMEND MERCURY GENERAL CORP CA 5.02 02/23/12 METALICO INC 1.01,2.03 02/17/12 MGE ENERGY INC WI 2.02,9.01 02/24/12 MGT CAPITAL INVESTMENTS INC DE 3.01,9.01 02/17/12 MID AMERICA APARTMENT COMMUNITIES INC TN 2.01,9.01 01/12/11 MINE SAFETY APPLIANCES CO PA 5.03,9.01 02/17/12 MOSAIC CO 8.01,9.01 02/21/12 MUSTANG GEOTHERMAL CORP 5.02 02/24/12 NATIONAL BANCSHARES CORP /OH/ OH 2.02,9.01 12/31/11 National CineMedia, Inc. DE 5.02 02/21/12 NATIONAL INSTRUMENTS CORP /DE/ DE 5.02,9.01 02/18/12 NATIONAL OILWELL VARCO INC DE 5.02,9.01 02/21/12 NB&T FINANCIAL GROUP INC OH 5.02,9.01 11/15/11 NELNET INC NE 1.01,1.02,2.03,9.01 02/17/12 NEUROCRINE BIOSCIENCES INC CA 5.02,5.03,9.01 02/23/12 NEWMARKET CORP VA 8.01,9.01 02/23/12 NEWMONT MINING CORP /DE/ DE 2.02,9.01 02/23/12 NEWPARK RESOURCES INC DE 7.01,9.01 02/24/12 NEWS CORP 8.01,9.01 02/24/12 NISSAN AUTO RECEIVABLES CORP II DE 1.01,9.01 02/22/12 Northfield Bancorp, Inc. X1 8.01,9.01 02/22/12 NORTHWEST INDIANA BANCORP IN 8.01,9.01 02/24/12 NTS MORTGAGE INCOME FUND DE 1.01,7.01,9.01 02/22/12 Oilsands Quest Inc 5.08 02/19/12 AMEND OMNIVISION TECHNOLOGIES INC DE 5.02 02/21/12 OptimizeRx Corp NV 7.01,9.01 02/21/12 ORIENT EXPRESS HOTELS LTD D0 2.02,9.01 02/23/12 ORIENT EXPRESS HOTELS LTD D0 2.02,9.01 02/24/12 ORION ENERGY SYSTEMS, INC. WI 2.02,9.01 02/23/12 PATRICK INDUSTRIES INC IN 2.02,9.01 02/23/12 PediatRx Inc. NV 1.01 02/24/12 Peoples Federal Bancshares, Inc. MD 5.07 02/21/12 PEPCO HOLDINGS INC DE 2.02,5.02,7.01,9.01 02/23/12 PERVASIP CORP NY 3.02 02/14/12 PGT, Inc. DE 2.02 02/23/12 PHH CORP MD 5.02,9.01 02/19/12 PINNACLE AIRLINES CORP DE 7.01,9.01 02/24/12 PINNACLE WEST CAPITAL CORP AZ 2.02,7.01,9.01 12/31/11 PivX Solutions, Inc. NV 9.01 12/31/11 PIXELWORKS, INC OR 5.02 02/22/12 Poage Bankshares, Inc. MD 5.07 02/24/12 PORTLAND GENERAL ELECTRIC CO /OR/ OR 2.02,9.01 02/24/12 POTOMAC ELECTRIC POWER CO VA 5.02 02/23/12 Press Ventures, Inc. 8.01 01/10/12 PRIVATEBANCORP, INC DE 5.02,7.01,9.01 02/24/12 PROLOR Biotech, Inc. NV 7.01,9.01 02/24/12 PROSPERITY BANCSHARES INC TX 5.02,9.01 02/22/12 PS BUSINESS PARKS INC/CA CA 5.02,5.03,9.01 02/24/12 Psychic Friends Network Inc. NV 5.03,7.01,9.01 02/17/12 Public Storage MD 2.02,9.01 02/23/12 Puramed Bioscience Inc. MN 5.02 02/24/12 PURE CYCLE CORP CO 8.01 02/24/12 PYRAMID OIL CO CA 2.02,9.01 02/21/12 Pzena Investment Management, Inc. DE 2.02,9.01 02/08/12 AMEND Quanex Building Products CORP DE 5.07,8.01,9.01 02/23/12 QUEPASA CORP NV 5.02 02/17/12 QUINSTREET, INC DE 5.02 02/17/12 RAIT Financial Trust MD 7.01,9.01 02/09/12 RALCORP HOLDINGS INC /MO MO 7.01,9.01 02/24/12 RANGE RESOURCES CORP DE 1.01,9.01 02/21/12 RANGE RESOURCES CORP DE 7.01,9.01 02/24/12 REGIONS FINANCIAL CORP DE 8.01,9.01 02/24/12 RIMAGE CORP MN 2.02,8.01,9.01 02/21/12 RITE AID CORP DE 5.02,9.01 02/17/12 Roadrunner Transportation Systems, In DE 8.01,9.01 02/24/12 Rockville Financial, Inc. /CT/ CT 5.02,9.01 02/23/12 Rockwood Holdings, Inc. DE 1.01,2.03,9.01 02/22/12 Sagebrush Gold Ltd. NV 1.01,3.02,5.07,8.01, 02/21/12 9.01 SAIC, Inc. 5.02,9.01 02/23/12 SANTARUS INC DE 5.02,9.01 02/21/12 SBA COMMUNICATIONS CORP FL 2.02,9.01 02/23/12 SCRIPPS E W CO /DE OH 2.02,9.01 02/24/12 SemiLEDs Corp 5.02,9.01 02/20/12 SEQUENOM INC DE 8.01 02/22/12 Shopoff Properties Trust, Inc. MD 2.03,9.01 02/17/12 SIGMA ALDRICH CORP DE 5.02,9.01 02/23/12 SOLITARIO EXPLORATION & ROYALTY CORP. CO 7.01,9.01 02/24/12 Solo International, Inc NV 4.01,9.01 02/17/12 SOUTHERN UNION CO DE 2.02,9.01 02/24/12 SPAN AMERICA MEDICAL SYSTEMS INC SC 3.02,9.01 12/09/11 AMEND SPICY PICKLE FRANCHISING INC CO 4.01,5.02,8.01,9.01 02/17/12 SquareTwo Financial Corp DE 2.02,9.01 02/24/12 STAGE STORES INC NV 5.02,9.01 02/21/12 STAGE STORES INC NV 8.01,9.01 02/22/12 Standard Financial Corp. MD 8.01 02/24/12 STANDARD PARKING CORP DE 8.01 02/23/12 STANDARD REGISTER CO OH 2.02,5.02,9.01 02/24/12 Steadfast Income REIT, Inc. MD 1.01,2.01,2.03,7.01, 02/17/12 9.01 STERLING BANCORP NY 8.01 02/23/12 Strategic Storage Trust, Inc. MD 8.01,9.01 02/23/12 STRONGBOW RESOURCES INC. NV 1.01,2.01,3.02,5.06 02/21/12 STRYKER CORP MI 5.02,9.01 02/21/12 STUDIO II BRANDS INC FL 5.02 02/17/12 STURM RUGER & CO INC DE 7.01 02/23/12 SUN RIVER ENERGY, INC CO 5.02 02/21/12 SUNESIS PHARMACEUTICALS INC DE 5.02 02/20/12 SUPERIOR ENERGY SERVICES INC DE 2.02,9.01 02/23/12 SURGLINE INTERNATIONAL, INC. NV 1.01,2.01,2.02,3.02, 09/01/11 AMEND 4.01,5.01,5.02,9.01 Talon Therapeutics, Inc. DE 5.02,9.01 02/17/12 TELEPHONE & DATA SYSTEMS INC /DE/ DE 2.02,9.01 02/24/12 THERAGENICS CORP DE 1.01 02/24/12 TherapeuticsMD, Inc. UT 1.01,2.03,3.02,9.01 02/24/12 TigerLogic CORP DE 5.07 02/23/12 TIVO INC DE 5.03,9.01 02/21/12 TMST, Inc. MD 8.01 02/22/12 TRANSATLANTIC PETROLEUM LTD. D0 4.01,9.01 02/21/12 Tree.com, Inc. DE 2.02,9.01 02/24/12 TUCOWS INC /PA/ PA 2.02,9.01 02/15/12 Two Harbors Investment Corp. 1.01,8.01,9.01 02/22/12 UFP TECHNOLOGIES INC DE 2.02,5.02,9.01 02/17/12 UNITED RENTALS INC /DE DE 7.01,8.01,9.01 02/24/12 UNITED SECURITY BANCSHARES INC DE 5.02 12/31/11 UNITED SECURITY BANCSHARES INC DE 5.03,9.01 02/23/12 UNITED STATES CELLULAR CORP DE 2.02,9.01 02/24/12 Universal Truckload Services, Inc. MI 2.02,9.01 02/23/12 VALHI INC /DE/ DE 7.01,9.01 02/23/12 VECTOR GROUP LTD DE 2.02,9.01 02/23/12 VOLITIONRX LTD DE 1.01,2.01,3.02,5.01, 10/06/11 AMEND 5.02,5.03,5.06,9.01 W P CAREY & CO LLC DE 7.01,9.01 02/24/12 W R GRACE & CO DE 2.02,9.01 02/24/12 W&T OFFSHORE INC TX 2.02,9.01 02/23/12 Warner Chilcott plc 2.02,9.01 02/24/12 WASHINGTON POST CO DE 2.02,9.01 12/31/11 WCA WASTE CORP DE 8.01 02/24/12 WebMD Health Corp. DE 8.01,9.01 02/23/12 WELLCARE HEALTH PLANS, INC. DE 8.01,9.01 02/23/12 WELLS FARGO & CO/MN DE 5.03,9.01 02/23/12 WESTAR ENERGY INC /KS KS 5.02 02/24/12 WESTERN DIGITAL CORP DE 5.02 02/17/12 Westinghouse Solar, Inc. DE 7.01,9.01 02/23/12 WHIRLPOOL CORP /DE/ DE 5.02 02/20/12 WHITE MOUNTAINS INSURANCE GROUP LTD D0 5.02 02/22/12 WINN DIXIE STORES INC FL 8.01,9.01 02/24/12 WYNN RESORTS LTD 8.01,9.01 02/18/12 XCEL ENERGY INC MN 7.01 02/24/12 XENOPORT INC DE 8.01 02/23/12 Z TRIM HOLDINGS, INC IL 1.01,2.03,3.02,9.01 02/17/12 Zeltiq Aesthetics Inc DE 5.02 02/17/12 AMEND