|
commission announcementsSEC Proposes Rules to Help Prevent and Detect Identity TheftThe Securities and Exchange Commission today announced a rule proposal to help protect investors from identity theft by ensuring that broker-dealers, mutual funds, and other SEC-regulated entities create programs to detect and respond appropriately to red flags. The SEC issued the proposal jointly with the Commodity Futures Trading Commission (CFTC). Section 1088 of the Dodd-Frank Act transferred authority over certain parts of the Fair Credit Reporting Act from the Federal Trade Commission (FTC) to the SEC and CFTC for entities they regulate. The proposed rules are substantially similar to rules adopted in 2007 by the FTC and other federal financial regulatory agencies that were previously required to adopt such rules. The rule proposal would require SEC-regulated entities to adopt a written identity theft program that would include reasonable policies and procedures to:
The proposed rule would include guidelines and examples of red flags to help firms administer their programs. The proposal will be published in the Federal Register with a 60-day public comment period. (Press Rel. 2012-34) Enforcement proceedingsCommission Sustains Disciplinary Action Against Howard BraffThe Commission has sustained disciplinary action against Howard Braff, formerly registered as a general securities representative, general securities principal, and options principal with various FINRA member firms. The Commission found that Braff violated NASD Rule 3050(c) and Rule 2110 because he failed to provide written notice of his outside brokerage accounts to three member firms with which he was associated, and failed to provide written notice of his association with the member firms to the brokerage firms where he maintained the outside accounts. FINRA also found that Braff violated Rule 2110 because he falsely stated on certain employment documents that he had no outside brokerage accounts. In sustaining the $25,000 fine and two year suspension imposed on Braff, the Commission agreed with FINRA that "Braff purposely thwarted safeguards intended to protect the integrity and transparency of the securities industry, and in so doing, created an environment ripe for customer abuse." The Commission found that the sanctions are remedial because they will deter Braff and others from failing to disclose information about outside brokerage accounts and firm associations thereby protecting the investing public by facilitating more direct and early detection of potential rule violations, such as a conflict of interest with a firm or its customers. (Rel. 34-66467; File No. 3-14417) In the Matter of Robert Chiu (a/k/a Chi Hung Chiu)On February 27, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions (“Order”) against Robert Chiu. The Order finds that Chiu was an audit partner at a major public accounting firm and served as its Relationship Partner for the Syntax-Brillian Corporation engagement for the fiscal year ended June 30, 2006, and the fiscal quarter ended September 30, 2006. The Order further finds that on February 20, 2012, a final judgment was entered against Chiu, by consent, enjoining him from aiding and abetting violations of Sections 10(b), 13(b)(2)(A), 13(b)(2)(B), and 13(b)(5) of the Securities Exchange Act of 1934 (“Exchange Act”), and Exchange Act Rules 10b-5, 13b2-1, and 13b2-2. Based on the above, the Order suspends Robert Chiu from appearing or practicing before the Commission as an accountant with the right to apply for reinstatement after a period of five years. Chiu consented to the issuance of the Order without admitting or denying any of the findings in the Order, except that he admitted to the entry of the injunction. (Rel. 34-66479; AAE Rel. 3367; File No. 3-14780) Delinquent Filers’ Stock Registrations RevokedThe registrations of the registered securities of Telos, Inc., Tianrong Building Material Holdings, Ltd. (f/k/a MAS Acquisition XVIII Corp.), TSS Ltd., Tuff Coat Manufacturing, Inc. (f/k/a Osage Acquisition Corp.), Tultex Corp., TVA, Inc., Tyger Holding, Inc., and U.S. Energy Systems, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-66480; File No. 3-14744) In the Matter of Damian Omar ValdezOn 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 Damian Omar Valdez. The Order finds that on December 22, 2011, following a contested evidentiary hearing, a permanent injunction was entered against Valdez, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in the civil action styled Securities and Exchange Commission v. Evolution Capital Advisors, et al, Civ. Action No. 4:11-CV-02945, In the United States District Court for the Southern District of Texas. Based on the above, the Order bars Valdez from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Valdez consented to the issuance of the Order without admitting or denying any of the findings in the Order, except as to the entry of the permanent injunction against him which he admits. (Rel. IA-3378; File No. 3-14773) In the Matter of Donald Anthony Walker YoungAn Administrative Law Judge has issued an Order Making Findings and Imposing Remedial Sanctions by Default (Default Order) in Donald Anthony Walker Young, a/k/a/ D.A. Walker Young, Admin. Proc. No. 3-14654. The Default Order finds that the allegations in the Order Instituting Proceeding are true, and that Respondents were enjoined from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rule 10b-5 and Sections 204, 206(1), (2), and (4) of the Investment Advisers Act of 1940 (Advisers Act) in SEC v. Young, No. 09-cv-01634 (E.D. Pa. Apr. 12, 2011). The Default Order also finds that Donald Anthony Walker Young pled guilty on July 20, 2010, to one count of mail fraud and one count of money laundering in a related proceeding, in which the defendants were charged with operating a Ponzi scheme that obtained more than $95 million from investors. Young is serving a prison sentence of seventeen and one half years. Based on these findings and public interest considerations, the Default Order (1) bars Young from association with any investment adviser, broker, dealer, municipal securities dealer, or transfer agent; and (2) revokes the investment adviser registration of Acorn Capital Management, LLC, pursuant to Section 203 of the Advisers Act. (Rel. IA-3379; File No. 3-14654) Investment company act releasesNotice of Applications for Deregistration Under the Investment Company Act of 1940For the month of February 2012, a notice has been issued giving interested persons until March 20, 2012, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act of 1940 declaring that the applicant has ceased to be an investment company:
(Rel. IC-29966 - February 24) Northwestern Mutual Series Fund, Inc.Mason Street Advisors, LLCAn order has been issued on an application filed by Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Rule 12d1-2(a) under the Act. The order permits open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29967 - February 27) Medley Capital Corporation, et al.A notice has been issued giving interested persons until March 23, 2012, to request a hearing on an application filed by Medley Capital Corporation, et al., for an order to permit a business development company to co-invest with certain affiliated investment funds in portfolio companies. (Rel. IC-29968 - February 27) Self-Regulatory OrganizationsOrders Cancelling Clearing Agency RegistrationPursuant to Section 19(a)(3) of the Exchange Act of 1934, on February 24, 2012, the Commission issued an order (File No. 600-9) cancelling the clearing agency registration of the Midwest Clearing Corporation. Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66458) Pursuant to Section 19(a)(3) of the Exchange Act of 1934, on February 24, 2012, the Commission issued an order (File No. 600-11) cancelling the clearing agency registration of the Pacific Clearing Corporation. Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66459) Pursuant to Section 19(a)(3) of the Exchange Act of 1934, on February 24, 2012, the Commission issued an order (File No. 600-10) cancelling the clearing agency registration of the Pacific Securities Depository Trust Company. Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66460) Pursuant to Section 19(a)(3) of the Exchange Act of 1934, on February 24, 2012, the Commission issued an order (File No. 600-7) cancelling the clearing agency registration of the Midwest Securities Trust Company. Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66461) Securities Act RegistrationsThe 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 STANLEY BLACK & DECKER, INC., 1000 STANLEY DR, P O BOX 7000, NEW BRITAIN, CT, 06053, 8602255111 - 4,000,000 ($302,640,000.00) Equity, (File 333-179699 - Feb. 27) (BR. 06C) S-8 ZIMMER HOLDINGS INC, 345 EAST MAIN STREET, WARSAW, IN, 46580, 5742676131 - 0 ($63,860,214.00) Equity, (File 333-179700 - Feb. 27) (BR. 10C) S-8 AES CORP, 4300 WILSON BOULEVARD, ARLINGTON, VA, 22203, 7035221315 - 0 ($137,500,000.00) Equity, (File 333-179701 - Feb. 27) (BR. 02B) S-8 TELEPHONE & DATA SYSTEMS INC /DE/, 30 NORTH LASALLE STREET, STE 4000, CHICAGO, IL, 60602, 3126301900 - 0 ($175,192,000.00) Equity, (File 333-179702 - Feb. 27) (BR. 11A) S-8 TELEPHONE & DATA SYSTEMS INC /DE/, 30 NORTH LASALLE STREET, STE 4000, CHICAGO, IL, 60602, 3126301900 - 0 ($172,320,000.00) Equity, (File 333-179703 - Feb. 27) (BR. 11A) S-8 TELEPHONE & DATA SYSTEMS INC /DE/, 30 NORTH LASALLE STREET, STE 4000, CHICAGO, IL, 60602, 3126301900 - 0 ($1,565,929.00) Equity, (File 333-179704 - Feb. 27) (BR. 11A) S-3D TELEPHONE & DATA SYSTEMS INC /DE/, 30 NORTH LASALLE STREET, STE 4000, CHICAGO, IL, 60602, 3126301900 - 0 ($6,948,431.00) Equity, (File 333-179705 - Feb. 27) (BR. 11A) S-1 InvenSense Inc, 1197 BORREGAS AVENUE, SUNNYVALE, CA, 94089, 650) 493-9300 - 0 ($110,000,000.00) Equity, (File 333-179706 - Feb. 27) (BR. 10B) S-8 COCA COLA CO, ONE COCA COLA PLAZA, ATLANTA, GA, 30313, 404-676-2121 - 0 ($687,800,000.00) Equity, (File 333-179707 - Feb. 27) (BR. 09A) S-8 COCA COLA CO, ONE COCA COLA PLAZA, ATLANTA, GA, 30313, 404-676-2121 - 0 ($4,814,600.00) Equity, (File 333-179708 - Feb. 27) (BR. 09A) S-3ASR QEP RESOURCES, INC., 1050 17TH STREET, SUITE 500, DENVER, CO, 80265, 303-672-6961 - 0 ($0.00) Other, (File 333-179709 - Feb. 27) (BR. 04B) S-3ASR WYNDHAM WORLDWIDE CORP, 22 SYLVAN WAY, PARSIPPANY, NJ, 07054, 973-428-9700 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179710 - Feb. 27) (BR. 08C) S-3ASR ARMSTRONG WORLD INDUSTRIES INC, 2500 COLUMBIA AVE, LANCASTER, PA, 17603, 7173970611 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179711 - Feb. 27) (BR. 06A) S-3ASR TECO ENERGY INC, 702 N FRANKLIN ST, TECO PLAZA, TAMPA, FL, 33602, 8132284111 - 0 ($0.00) Other, (File 333-179719 - Feb. 27) (BR. 02A) S-3ASR AVALONBAY COMMUNITIES INC, 671 N. GLEBE ROAD, SUITE 800, ARLINGTON, VA, 22203, 7033296300 - 0 ($0.00) Equity, (File 333-179720 - Feb. 27) (BR. 08B) S-8 PROS Holdings, Inc., 3100 MAIN STREET, SUITE 900, HOUSTON, TX, 77002, 713-335-5151 - 0 ($16,560,000.00) Equity, (File 333-179721 - Feb. 27) (BR. 03C) S-3ASR IPG PHOTONICS CORP, 50 OLD WEBSTER ROAD, OXFORD, MA, 01540, 5083731100 - 0 ($0.00) Equity, (File 333-179722 - Feb. 27) (BR. 10B) S-3ASR LUFKIN INDUSTRIES INC, P O BOX 849, LUFKIN, TX, 75902-0849, 9366342211 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179723 - Feb. 27) (BR. 10B) S-3ASR WASTE CONNECTIONS, INC., WATERWAY PLAZA TWO, 10001 WOODLOCH FOREST DRIVE, SUITE 400, THE WOODLANDS, TX, 77380, 8324422200 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179724 - Feb. 27) (BR. 06B) S-3ASR VIRGIN MEDIA FINANCE PLC, MEDIA HOUSE, BARTLEY WOOD BUSINESS PARK, HOOK, HAMPSHIRE, X0, RG27 9UP, 0044 (0) 1256754344 - 0 ($0.00) Debt, (File 333-179725 - Feb. 27) (BR. 11A) F-10 Pretium Resources Inc., 570 GRANVILLE STREET, SUITE 1600, VANCOUVER, A1, V6C 3P1, 604-558-1784 - 0 ($180,216,260.00) Equity, (File 333-179726 - Feb. 27) (BR. 09) S-3ASR SNYDER'S-LANCE, INC., 13024 BALLANTYNE CORPORATE PL, SUITE 900, CHARLOTTE, NC, 28277, 7045541421 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179727 - Feb. 27) (BR. 04A) S-3ASR INTERNATIONAL PAPER CO /NEW/, 6400 POPLAR AVENUE, MEMPHIS, TN, 38197, 901-419-7000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179728 - Feb. 27) (BR. 04B) S-8 EXAR CORP, 48720 KATO ROAD, 48720 KATO ROAD, FREMONT, CA, 94538, 5106687000 - 1,200,000 ($7,716,000.00) Equity, (File 333-179730 - Feb. 27) (BR. 10A) S-3ASR SOUTHERN CO, 30 IVAN ALLEN JR. BLVD., N.W., ATLANTA, GA, 30308, 4045065000 - 27,511,002 ($1,211,859,638.10) Equity, (File 333-179734 - Feb. 27) (BR. 02A) F-10 STUDENT TRANSPORTATION INC., 160 SAUNDERS ROAD, UNIT 6, BARRIE, A6, L4N 9A4, 732-280-4200 - 0 ($86,353,625.00) Equity, (File 333-179736 - Feb. 27) (BR. 05C) S-3ASR SBA COMMUNICATIONS CORP, ONE TOWN CENTER RD, THIRD FLOOR, BOCA RATON, FL, 33486, 5619957670 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179737 - Feb. 27) (BR. 11C) S-1 FERMO GROUP, INC., 2360 CORPORATE CIRCLE STE 400, HENDERSON, NV, 89074-7722, 7029970504 - 3,000,000 ($90,000.00) Equity, (File 333-179738 - Feb. 27) (BR. ) S-8 Ceres, Inc., 1535 RANCHO CONEJO BLVD., THOUSAND OAKS, CA, 91320, 805-376-6500 - 0 ($32,835,856.57) Equity, (File 333-179739 - Feb. 27) (BR. 05) S-8 BLUE NILE INC, 411 FIRST AVE S, STE 700, SEATTLE, WA, 98104, 2063366700 - 0 ($27,958,115.00) Equity, (File 333-179741 - Feb. 27) (BR. 02C) S-8 SolarWinds, Inc., 3711 SOUTH MOPAC EXPRESSWAY, BUILDING TWO, AUSTIN, TX, 78746, 512-682-9500 - 0 ($63,835,000.00) Equity, (File 333-179742 - Feb. 27) (BR. 03A) S-3ASR AQUA AMERICA INC, 762 W. LANCASTER AVE, BRYN MAWR, PA, 19010-3489, 610-527-8000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179743 - Feb. 27) (BR. 02C) S-3ASR HESS CORP, 1185 AVENUE OF THE AMERICAS, NEW YORK, NY, 10036, 2129978500 - 0 ($0.00) Other, (File 333-179744 - Feb. 27) (BR. 04A) S-1 Stevia Corp, 7117 US 31 S, INDIANAPOLIS, IN, 46227, 888-250-2566 - 20,000,000 ($20,000,000.00) Equity, (File 333-179745 - Feb. 27) (BR. 05C) Recent 8K FilingsForm 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 11 GOOD ENERGY INC DE 5.02 02/06/12 8X8 INC /DE/ DE 5.02,9.01 02/21/12 AARON'S INC GA 5.02,7.01,9.01 02/21/12 Access Plans Inc 1.01,5.07,8.01,9.01 02/24/12 Access Plans Inc 1.01,9.01 02/22/12 ADVENTRX PHARMACEUTICALS INC DE 5.02,9.01 02/23/12 AECOM TECHNOLOGY CORP DE 5.02,9.01 02/27/12 AEP INDUSTRIES INC DE 1.01,2.03,9.01 02/22/12 AES CORP DE 2.02,7.01,9.01 02/27/12 AFFYMAX INC DE 1.01,8.01,9.01 02/24/12 ALEXANDRIA REAL ESTATE EQUITIES INC MD 8.01,9.01 02/22/12 Allied Nevada Gold Corp. DE 2.02,7.01,9.01 02/27/12 Allied Nevada Gold Corp. DE 7.01,9.01 02/27/12 ALLSTATE CORP DE 5.02,9.01 02/27/12 Alpha Natural Resources, Inc. DE 7.01,9.01 02/27/12 AMERICAN PARAMOUNT GOLD CORP. NV 5.02,7.01,9.01 02/24/12 AMERICAN POWER CORP. NV 1.01,3.02,9.01 02/21/12 American Realty Capital Properties, I MD 7.01,9.01 02/27/12 American Water Works Company, Inc. DE 2.02,9.01 02/27/12 AMERIGON INC MI 5.02,9.01 02/23/12 AMN HEALTHCARE SERVICES INC DE 8.01,9.01 02/24/12 AMPAL-AMERICAN ISRAEL CORP NY 8.01 02/27/12 AMYRIS, INC. DE 2.02,9.01 02/27/12 ANALYSTS INTERNATIONAL CORP 7.01,9.01 02/24/12 Antero Resources LLC DE 8.01,9.01 02/27/12 AOL Inc. DE 5.02 02/22/12 APPLE INC CA 5.07 02/23/12 APPLIANCE RECYCLING CENTERS OF AMERIC MN 2.02,9.01 02/27/12 ARES CAPITAL CORP MD 1.01,8.01,9.01 02/27/12 ARMSTRONG WORLD INDUSTRIES INC PA 2.02,7.01,9.01 02/27/12 ARMSTRONG WORLD INDUSTRIES INC PA 5.02 02/24/12 ARQULE INC DE 9.01 02/23/12 AMEND ARROW ELECTRONICS INC NY 8.01,9.01 02/27/12 ASSOCIATED BANC-CORP WI 8.01,9.01 02/27/12 ASSOCIATED BANC-CORP WI 7.01,9.01 02/27/12 ATC Ventures Group, Inc. NV 3.01,9.01 02/21/12 ATHERSYS, INC / NEW DE 5.02 02/24/12 AtriCure, Inc. DE 2.02,9.01 02/27/12 AUTOLIV INC DE 5.02,9.01 02/24/12 BERKSHIRE HATHAWAY INC DE 7.01,9.01 02/25/12 Bio-Solutions Corp. NV 5.02,9.01 02/15/12 BIOMIMETIC THERAPEUTICS, INC. DE 1.01,9.01 02/21/12 BlackRock Inc. DE 5.03,9.01 02/23/12 BLUEGREEN CORP MA 1.01 02/21/12 Boardwalk Pipeline Partners, LP DE 7.01,9.01 02/27/12 BRINKS CO VA 7.01,9.01 02/27/12 BROADSOFT, INC. DE 5.02 02/17/12 CALGON CARBON CORPORATION DE 2.02,9.01 02/27/12 Capital Group Holdings, Inc. MN 5.02 06/28/11 Carbonite Inc DE 7.01,9.01 02/22/12 AMEND CAREER EDUCATION CORP DE 2.02,9.01 02/27/12 CBIZ, Inc. DE 8.01 02/27/12 Celanese CORP DE 5.02 02/23/12 CEMPRA, INC. DE 8.01,9.01 02/27/12 Cereplast Inc NV 5.02,9.01 02/21/12 Chaparral Energy, Inc. DE 2.02 02/27/12 CHARTER COMMUNICATIONS, INC. /MO/ DE 2.02,9.01 02/27/12 Chatham Lodging Trust MD 5.02 02/21/12 CHEESECAKE FACTORY INC DE 8.01,9.01 02/27/12 Chemtura CORP DE 2.02,9.01 02/27/12 CHENIERE ENERGY INC DE 8.01,9.01 02/25/12 Cheniere Energy Partners, L.P. DE 1.01,8.01,9.01 02/25/12 China Energy CORP 5.02 02/26/12 CIMAREX ENERGY CO DE 3.03 02/22/12 CLAIRES STORES INC DE 8.01,9.01 02/27/12 CLAIRES STORES INC DE 8.01,9.01 02/27/12 CleanTech Innovations, Inc. NV 8.01,9.01 02/21/12 Cleantech Solutions International, In DE 7.01,9.01 02/24/12 CLICKER INC. NV 5.02,8.01,9.01 02/27/12 CN Resources Inc. NV 5.02 02/27/12 COLE CREDIT PROPERTY TRUST IV, INC. MD 5.03,5.07,8.01,9.01 02/23/12 COLUMBIA LABORATORIES INC DE 7.01,9.01 02/27/12 COMMUNITY TRUST BANCORP INC /KY/ KY 7.01,9.01 12/31/11 Compressco Partners, L.P. DE 2.02,9.01 02/27/12 CONCHO RESOURCES INC DE 5.02 02/21/12 COOPER TIRE & RUBBER CO DE 2.02,9.01 02/27/12 Cooper-Standard Holdings Inc. DE 2.02,7.01,9.01 02/27/12 Coronus Solar Inc. A1 1.01,2.03,3.02,7.01, 02/27/12 9.01 CRAY INC WA 2.02,9.01 02/27/12 CUBIST PHARMACEUTICALS INC DE 9.01 12/12/11 AMEND CVR ENERGY INC DE 2.02,9.01 02/27/12 CYBERDEFENDER CORP CA 1.01,1.03,8.01,9.01 02/23/12 CYTODYN INC CO 8.01 02/15/12 DealerTrack Holdings, Inc. DE 7.01,8.01,9.01 02/07/12 Debut Broadcasting Corporation, Inc. NV 5.02,9.01 02/27/12 DEERE JOHN CAPITAL CORP DE 9.01 02/27/12 DENDREON CORP DE 2.02,9.01 02/27/12 DENMARK BANCSHARES INC WI 5.03,9.01 02/21/12 DIAMOND HILL INVESTMENT GROUP INC OH 2.02,9.01 02/27/12 Digital Systems, Inc. CO 7.01,9.01 02/20/12 DILLARDS INC DE 2.02,9.01 02/23/12 DIME COMMUNITY BANCSHARES INC DE 8.01,9.01 02/24/12 DOVER SADDLERY INC 2.02,7.01,9.01 02/22/12 EDIETS COM INC DE 1.01,5.02,9.01 02/23/12 Edwards Lifesciences Corp DE 4.02 02/21/12 EL PASO CORP/DE DE 1.01 02/24/12 EL PASO CORP/DE DE 2.02,9.01 02/27/12 El Paso Pipeline Partners, L.P. DE 2.02,9.01 02/27/12 Employers Holdings, Inc. NV 2.02,8.01,9.01 02/27/12 ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 02/27/12 Energy Telecom, Inc. FL 1.01,9.01 02/21/12 ENERNOC INC DE 2.02,9.01 02/27/12 ENTECH SOLAR, INC. DE 2.03,3.02,9.01 02/22/12 ENTRAVISION COMMUNICATIONS CORP DE 1.01,9.01 02/24/12 ENVESTNET, INC. DE 9.01 12/13/11 AMEND EOG RESOURCES INC DE 5.02,9.01 02/21/12 ERESEARCHTECHNOLOGY INC /DE/ DE 2.02,9.01 02/27/12 ERIE INDEMNITY CO PA 2.02,8.01,9.01 02/27/12 EVERFLOW EASTERN PARTNERS LP DE 2.01,9.01 02/21/12 EVERTEC, Inc. PR 5.02,7.01,9.01 02/22/12 FBL FINANCIAL GROUP INC IA 1.01,5.05,8.01,9.01 02/26/12 Federal Home Loan Bank of Pittsburgh PA 2.02,7.01,9.01 02/27/12 FIRST COLOMBIA GOLD CORP. NV 5.02 02/24/12 FLEETCOR TECHNOLOGIES INC DE 2.01,9.01 12/13/11 AMEND FREQUENCY ELECTRONICS INC DE 1.01,2.01,8.01,9.01 02/21/12 FRESH START PRIVATE MANAGEMENT, INC. NV 1.01,1.02,2.01 10/31/11 AMEND FTI CONSULTING INC MD 7.01,9.01 02/27/12 G REIT Liquidating Trust 2.04,8.01 12/20/11 GALECTIN THERAPEUTICS INC NV 8.01 02/23/12 GASCO ENERGY INC NV 1.01,7.01,9.01 02/23/12 GBS Enterprises Inc NV 2.02,9.01 02/27/12 General Finance CORP DE 8.01,9.01 02/27/12 General Finance CORP DE 8.01,9.01 02/27/12 GEO GROUP INC FL 2.02,7.01,9.01 02/21/12 GFI Group Inc. DE 4.01,9.01 02/21/12 Giggles N' Hugs, Inc. NV 5.02,8.01,9.01 02/23/12 GLOBAL NUTECH, INC. NV 7.01,9.01 02/24/12 GLOBAL POWER EQUIPMENT GROUP INC. DE 1.01,1.02,9.01 02/21/12 GLOBALSCAPE INC DE 7.01 02/27/12 GOLD AMERICAN MINING CORP. NV 1.02 02/21/12 GOLDFIELD CORP DE 8.01,9.01 02/24/11 GRAN TIERRA ENERGY, INC. NV 2.02,9.01 02/27/12 GRANDPARENTS.COM, INC. DE 1.01,2.01,3.03,4.01, 02/22/12 5.01,5.02,5.03,5.06, 9.01 GREAT PLAINS ENERGY INC MO 2.02,9.01 02/27/12 GUIDED THERAPEUTICS INC DE 7.01,9.01 02/27/12 GULF ISLAND FABRICATION INC LA 2.02,9.01 02/27/12 GULF ISLAND FABRICATION INC LA 8.01,9.01 02/24/12 GULF POWER CO ME 8.01 02/27/12 GULFMARK OFFSHORE INC DE 7.01,9.01 02/23/12 HARBINGER GROUP INC. DE 5.02,9.01 02/24/12 HARRIS CORP /DE/ DE 2.05,2.06,7.01,8.01, 02/24/12 9.01 HEADWATERS INC DE 5.07,9.01 02/23/12 HEALTH CARE REIT INC /DE/ DE 8.01,9.01 02/21/12 HERTZ CORP DE 2.02,9.01 02/23/12 HERTZ GLOBAL HOLDINGS INC 2.02,9.01 02/23/12 HOLLY ENERGY PARTNERS LP DE 8.01,9.01 02/27/12 Horsehead Holding Corp 7.01,9.01 02/27/12 HUMAN GENOME SCIENCES INC DE 2.02,9.01 02/27/12 ICF International, Inc. DE 5.02 02/21/12 IMMUCOR INC GA 5.02 02/12/12 Industrial Income Trust Inc. MD 1.01,3.03,9.01 02/21/12 INFOSONICS CORP 1.01,5.02 02/21/12 INTEGRATED ELECTRICAL SERVICES INC DE 3.01,9.01 02/22/12 INTERGROUP CORP DE 5.07 02/22/12 INTERNATIONAL BANCSHARES CORP TX 2.02,8.01,9.01 02/27/12 IntraLinks Holdings, Inc. DE 2.02,9.01 02/27/12 InvenSense Inc DE 7.01 02/27/12 J C PENNEY CO INC DE 2.02,5.02,5.03,9.01 02/21/12 Jazz Pharmaceuticals plc DE 2.02,9.01 02/27/12 JBI, INC. NV 7.01,8.01,9.01 02/27/12 JONES LANG LASALLE INC MD 7.01,9.01 02/27/12 KAMAN CORP CT 2.02,9.01 02/27/12 KANSAS CITY SOUTHERN DE 1.01,2.03,3.03,5.02, 02/22/12 7.01,9.01 KEY ENERGY SERVICES INC MD 5.03,9.01 02/22/12 KINDER MORGAN ENERGY PARTNERS L P DE 1.01,9.01 02/27/12 KINDER MORGAN, INC. DE 1.01,8.01,9.01 02/24/12 LAKES ENTERTAINMENT INC MN 7.01,9.01 02/24/12 LEMAITRE VASCULAR INC 2.02,9.01 02/27/12 LEUCADIA NATIONAL CORP NY 8.01,9.01 02/27/12 Liberty Global, Inc. DE 7.01 02/24/12 Liberty Interactive Corp 2.02,7.01,8.01,9.01 02/21/12 Liberty Media Corp DE 2.02,7.01,9.01 02/21/12 Life Technologies Corp DE 5.02,9.01 02/22/12 LILLY ELI & CO IN 5.03,9.01 02/21/12 LIMITED BRANDS INC DE 2.02 02/22/12 LIONS GATE ENTERTAINMENT CORP /CN/ A1 1.01,5.02,9.01 02/23/12 Lone Star Gold, Inc. NV 5.03,9.01 02/24/12 LOUISIANA-PACIFIC CORP DE 2.02 02/27/12 LOWES COMPANIES INC NC 2.02,9.01 02/27/12 LTC PROPERTIES INC MD 2.02,9.01 02/27/12 LUFKIN INDUSTRIES INC TX 2.01,9.01 12/31/11 AMEND Lumos Networks Corp. VA 2.02,2.06,9.01 02/27/12 MAINSOURCE FINANCIAL GROUP IN 8.01,9.01 02/27/12 MAKO Surgical Corp. DE 5.02,9.01 02/23/12 Manitex International, Inc. MI 2.04,9.01 02/21/12 MARRIOTT INTERNATIONAL INC /MD/ DE 8.01,9.01 02/22/12 MATERION Corp 2.02,9.01 02/27/12 MAYDAO Corp UT 8.01 02/27/12 MDC PARTNERS INC A6 2.02,9.01 02/27/12 MEDICINES CO /DE DE 5.02 02/21/12 MEDICIS PHARMACEUTICAL CORP DE 2.02,9.01 02/27/12 MERIDIAN INTERSTATE BANCORP INC 5.02,9.01 02/27/12 MGM Resorts International DE 1.01,2.03,9.01 02/24/12 MICROVISION INC DE 2.02,9.01 02/27/12 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 02/27/12 Mid-Con Energy Partners, LP DE 7.01,9.01 02/24/12 Midway Gold Corp A1 7.01,9.01 02/27/12 Mogul Energy International, Inc. DE 5.07,7.01,9.01 02/27/12 MOLEX INC DE 5.02,9.01 02/22/12 MOLSON COORS BREWING CO DE 5.02,9.01 02/23/12 Motorola Solutions, Inc. DE 1.01,5.02,8.01,9.01 02/26/12 NABORS INDUSTRIES LTD D0 5.02,9.01 02/24/12 NCI BUILDING SYSTEMS INC DE 5.07 02/27/12 NEWS CORP 8.01,9.01 02/27/12 NNN 2002 VALUE FUND LLC 2.04,8.01 12/20/11 NORTHSTAR REALTY FINANCE CORP. MD 1.01,9.01 02/21/12 NYXIO TECHNOLOGIES Corp NV 1.01,3.02,8.01,9.01 02/21/12 Oldwebsites.com, Inc. UT 8.01 02/27/12 OLIN CORP VA 7.01,9.01 02/27/12 OneBeacon Insurance Group, Ltd. D0 5.02,9.01 02/21/12 Opexa Therapeutics, Inc. TX 2.02,9.01 02/27/12 OPNEXT INC 5.07 02/21/12 Optex Systems Holdings Inc DE 8.01,9.01 02/21/12 ORASURE TECHNOLOGIES INC DE 1.01,9.01 02/24/12 ORBCOMM Inc. DE 1.01,2.03,9.01 02/22/12 ORMAT TECHNOLOGIES, INC. DE 2.02,9.01 02/23/12 ORRSTOWN FINANCIAL SERVICES INC PA 5.02 02/22/12 OSI SYSTEMS INC DE 8.01,9.01 02/27/12 Pacific Ethanol, Inc. DE 2.02,9.01 02/27/12 PARKWAY PROPERTIES INC MD 5.02 02/27/12 PEABODY ENERGY CORP DE 7.01,9.01 02/27/12 PENSECO FINANCIAL SERVICES CORP PA 5.03,9.01 02/21/12 PEOPLES BANCORP INC OH 5.02,9.01 02/27/12 Phillips Edison - ARC Shopping Center MD 1.01,2.01,7.01,8.01, 02/20/12 9.01 PIPER JAFFRAY COMPANIES DE 5.02 02/22/12 Polypore International, Inc. 8.01,9.01 02/03/12 Polypore International, Inc. 2.02,9.01 02/23/12 PORTSMOUTH SQUARE INC CA 5.07 02/23/12 POWER INTEGRATIONS INC CA 1.01 02/21/12 PPL Corp 1.01,7.01,9.01 02/23/12 PPL Corp 2.02,7.01,9.01 02/10/12 AMEND PROSPERITY BANCSHARES INC TX 1.01,7.01,9.01 02/26/12 PROVIDENT FINANCIAL HOLDINGS INC DE 5.02,9.01 02/24/12 QLIK TECHNOLOGIES INC DE 5.02 02/21/12 QUESTCOR PHARMACEUTICALS INC CA 2.02,9.01 02/22/12 QUESTCOR PHARMACEUTICALS INC CA 7.01,9.01 02/27/12 QUICKSILVER RESOURCES INC DE 2.02,9.01 02/27/12 RACKSPACE HOSTING, INC. 5.02 02/21/12 RADIANT LOGISTICS, INC DE 8.01,9.01 02/27/12 RANGE RESOURCES CORP DE 1.01,7.01,9.01 02/24/12 RAYMOND JAMES FINANCIAL INC FL 5.02,5.07,7.01,9.01 02/23/12 RBS GLOBAL INC DE 7.01 02/27/12 REALOGY CORP DE 2.02 02/24/12 REALOGY CORP DE 5.02 02/27/12 REALPAGE INC DE 5.02,9.01 02/22/12 REDWOOD TRUST INC MD 2.02,5.02,7.01,9.01 02/22/12 REGAL ONE Corp FL 4.01,9.01 02/24/12 RENAISSANCERE HOLDINGS LTD D0 5.02,9.01 02/21/12 REPROS THERAPEUTICS INC. DE 8.01,9.01 02/27/12 REYNOLDS AMERICAN INC 1.01,2.03,9.01 02/24/12 RIMAGE CORP MN 5.02 02/21/12 RITE AID CORP DE 1.01,2.03,8.01,9.01 02/24/12 ROBERTS REALTY INVESTORS INC GA 1.01,2.03,9.01 02/21/12 ROLLINS INC DE 7.01,9.01 02/24/12 Rosetta Resources Inc. DE 2.02,9.01 02/24/12 Rouse Properties, Inc. DE 5.02,9.01 02/21/12 ROWAN COMPANIES INC DE 7.01,9.01 02/27/12 SALIX PHARMACEUTICALS LTD 2.02,9.01 02/27/12 San West, Inc CA 5.02,5.03,9.01 01/26/12 SANDRIDGE ENERGY INC DE 8.01,9.01 02/27/12 SANTA FE FINANCIAL CORP NV 5.07 02/23/12 SBA COMMUNICATIONS CORP FL 1.01,3.02,7.01,9.01 02/18/12 Scrap China CORP UT 8.01 02/27/12 SELECT COMFORT CORP MN 5.02,9.01 02/27/12 SELECT COMFORT CORP MN 7.01,9.01 02/27/12 SELECT MEDICAL HOLDINGS CORP 7.01,9.01 02/27/12 SEVERN BANCORP INC MD 5.02,9.01 02/27/12 SHERWIN WILLIAMS CO OH 1.01,2.03,9.01 02/27/12 Shire plc 8.01,9.01 02/23/12 SHORE BANCSHARES INC MD 5.02 02/24/12 SIGNATURE GROUP HOLDINGS, INC. NV 8.01 02/24/12 SIMMONS FIRST NATIONAL CORP AR 8.01,9.01 02/27/12 SMITHFIELD FOODS INC VA 2.02,9.01 02/27/12 SMSA Treemont Acquisition Corp NV 1.01,2.01,3.02,4.01, 05/13/11 AMEND 5.01,5.02,5.06,9.01 Somaxon Pharmaceuticals, Inc. DE 5.02,9.01 02/23/12 SOUTHWEST GAS CORP CA 8.01 02/27/12 SOUTHWESTERN ENERGY CO DE 5.02,5.03 02/24/12 SP Bancorp, Inc. MD 8.01,9.01 02/27/12 SPRINT NEXTEL CORP KS 8.01,9.01 02/27/12 SPRINT NEXTEL CORP KS 8.01,9.01 02/27/12 ST JOE CO FL 2.02,9.01 02/27/12 STEVEN MADDEN, LTD. DE 2.01 02/21/12 Stevia Corp NV 1.01,8.01,9.01 02/21/12 STONE ENERGY CORP DE 9.01 12/28/11 AMEND STRATEGIC HOTELS & RESORTS, INC 5.02,9.01 02/21/12 STRATTEC SECURITY CORP WI 5.02,9.01 02/27/12 Swank, Inc. DE 2.02,9.01 02/27/12 SYKES ENTERPRISES INC FL 2.02,9.01 02/27/12 Synutra International, Inc. DE 5.07 02/23/12 T REIT LIQUIDATING TRUST VA 2.04,8.01 12/20/11 TANDY BRANDS ACCESSORIES INC DE 5.02 02/22/12 TearLab Corp DE 1.01,8.01,9.01 02/22/12 TECHE HOLDING CO LA 8.01,9.01 02/23/12 TELETOUCH COMMUNICATIONS INC DE 2.04,9.01 02/21/12 TESCO CORP 2.02,9.01 02/23/12 TGC INDUSTRIES INC TX 2.02,9.01 02/27/12 Thompson Creek Metals CO Inc. A6 2.02,9.01 02/27/12 TMST, Inc. MD 7.01,9.01 02/23/12 TORCHMARK CORP DE 5.02,9.01 02/21/12 Tower Group, Inc. DE 2.02,9.01 02/27/12 TRANSDEL PHARMACEUTICALS INC DE 5.03,8.01 02/23/12 Transocean Ltd. V8 2.02,9.01 02/27/12 Transocean Ltd. V8 7.01,9.01 02/27/12 TRANSUNION CORP. 7.01,9.01 02/27/12 TREX CO INC DE 2.02,9.01 02/27/12 TRIDENT MICROSYSTEMS INC DE 8.01 02/24/12 TRIMAS CORP DE 2.02,9.01 02/27/12 UNIFIED GROCERS, INC. CA 5.07 02/22/12 UNISOURCE ENERGY CORP AZ 2.02,9.01 02/27/12 UNIVERSAL HEALTH SERVICES INC DE 2.02,9.01 02/27/12 URS CORP /NEW/ DE 2.02,8.01,9.01 02/24/12 USA Mobility, Inc DE 7.01,9.01 02/23/12 Valeant Pharmaceuticals International A6 2.02,9.01 02/27/12 VALERO ENERGY CORP/TX DE 5.02,9.01 02/22/12 VALERO ENERGY CORP/TX DE 5.02,9.01 02/23/12 VALIDUS HOLDINGS LTD 7.01,9.01 02/27/12 VECTOR GROUP LTD DE 1.01,2.03,5.02 02/21/12 VEECO INSTRUMENTS INC DE 5.02 02/24/12 VERISIGN INC/CA DE 5.02 02/21/12 VERTICAL HEALTH SOLUTIONS INC FL 1.01,2.03,3.02,9.01 02/21/12 VIASAT INC DE 5.02 02/24/12 VIASAT INC DE 1.01,2.03,9.01 02/27/12 VIRGINIA COMMERCE BANCORP INC 5.02 02/21/12 VISTEON CORP DE 2.02,7.01,9.01 02/27/12 VISTEON CORP DE 4.01,9.01 01/27/12 AMEND VOLT INFORMATION SCIENCES, INC. NY 5.02 02/22/12 WASTE CONNECTIONS, INC. DE 9.01 02/13/12 AMEND WELLS FARGO & CO/MN DE 9.01 02/27/12 WESCO INTERNATIONAL INC 1.02,5.02 02/27/12 WEST PHARMACEUTICAL SERVICES INC PA 5.02,6.05,9.01 02/21/12 Western Gas Partners LP DE 2.02,9.01 02/27/12 Westinghouse Solar, Inc. DE 5.02 02/22/12 WINN DIXIE STORES INC FL 8.01 02/27/12 XZERES Corp. NV 3.02,7.01 02/24/12 YA ZHU SILK, INC. NV 1.01,2.01,3.02,5.01, 02/20/12 5.06,9.01 YESDTC HOLDINGS, INC. NV 5.02,8.01 02/27/12 ZIPCAR INC 5.02,9.01 02/22/12
http://www.sec.gov/news/digest/2012/dig022812.htm
|