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Commission announcementsMarshall Gandy Named Head of Examinations Program in SEC’s Fort Worth Regional OfficeThe Securities and Exchange Commission today announced the appointment of Marshall Gandy as Associate Regional Director for Examinations in the agency’s Fort Worth Regional Office. Mr. Gandy has served as a Senior Regional Counsel at FINRA since 2008. Before that he was a trial counsel and enforcement attorney at the SEC, the Presiding Judge in a Dallas County Criminal Court, and an Assistant District Attorney in Dallas County. In his new position as Associate Regional Director for Examinations, Mr. Gandy will lead a staff of approximately 40 accountants, examiners, attorneys, and support personnel responsible for examining broker-dealers, investment companies, investment advisers, and transfer agents in Texas, Oklahoma, and Arkansas. “Marshall has a deep commitment to public service and the SEC’s core mission, and brings a wealth of experience as a securities lawyer, county court judge, and assistant district attorney,” said David Woodcock, Director of the SEC’s Fort Worth Regional Office. “His experience and leadership make him well-suited for our mission to prevent fraud, promote compliance, monitor risk, and inform policy.” Carlo di Florio, Director of the SEC’s Office of Compliance Inspections and Examinations, added, “I am pleased to welcome Marshall to the exam program and back to the SEC. His hard work, experience, and tenacity will make him a real asset in implementing the national examination program’s strategies for investor protection and market integrity at a time of significant regulatory change.” Mr. Gandy said, “I am thrilled and privileged to have the opportunity to return to the Commission and work with the enormously dedicated team in the Fort Worth Regional Office to help protect investors through administering the SEC's nationwide examination and inspection program.” Mr. Gandy received his law degree from Southern Methodist University and his bachelor’s degree from Sam Houston State University. (Press Rel. 2012-36) Judge Orders Brookstreet CEO to Pay $10 Million Penalty in SEC CaseThe Securities and Exchange Commission today announced that a federal judge has ordered the former CEO of Brookstreet Securities Corp. to pay a maximum $10 million penalty in a securities fraud case related to the financial crisis. The SEC litigated the case beginning in December 2009, when the agency charged Stanley C. Brooks and Brookstreet with fraud for systematically selling risky mortgage-backed securities to customers with conservative investment goals. Brookstreet and Brooks developed a program through which the firm’s registered representatives sold particularly risky and illiquid types of Collateralized Mortgage Obligations (CMOs) to more than 1,000 seniors, retirees, and others for whom the securities were unsuitable. Brookstreet and Brooks continued to promote and sell the risky CMOs even after Brooks received numerous warnings that these were dangerous investments that could become worthless overnight. The fraud caused severe investor losses and eventually caused the firm to collapse. The Honorable David O. Carter in federal court in Los Angeles granted summary judgment in favor of the SEC on February 23, finding Brookstreet and Brooks liable for violating Section 10(b) of the Securities Exchange Act of 1934 as well as Rule 10b-5. The judge entered a final judgment in the case yesterday and ordered the financial penalty sought by the SEC. “Brooks’ aggressive promotion and sale of risky mortgage products to seniors and other risk-averse investors deserves the maximum penalty possible, and that is what he got,” said Robert Khuzami, Director of the SEC’s Division of Enforcement. “Those who direct such exploitative practices from the boardroom will be held personally accountable and face severe consequences for their egregious actions.” Rosalind Tyson, Director of the SEC’s Los Angeles Regional Office, added, “The CMOs that Brookstreet sold its customers were among the most risky of all mortgage-backed securities. This judgment highlights the responsibility of brokerage firm principals to ensure the suitability of the securities they sell to customers.” In addition to the $10,010,000 penalty, Brooks was ordered to pay $110,713.31 in disgorgement and prejudgment interest. The court’s judgment also enjoins both Brookstreet and Brooks from violating Section 10(b) of the Exchange Act as well as Rule 10b-5. The SEC is awaiting a court decision in a separate Brookstreet-related enforcement action filed in federal court in Florida. In that case, the SEC charged 10 former Brookstreet registered representatives with making misrepresentations to investors in the purchases and sales of risky CMOs. Two representatives settled the charges, and the SEC tried the case against the remaining eight representatives in October 2011. The SEC has brought enforcement actions stemming from the financial crisis against 95 entities and individuals, including 49 CEOs, CFOs, and other senior officers. (Press Rel. 2012-37) Commission MeetingsClosed Meeting on Thursday, March 8, 2012 at 2:00 p.m.The subject matter of the Closed Meeting scheduled for Thursday, March 8, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; a litigation matter; 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 PROCEEDINGSCommission Declares Decision as to James Frankfurth FinalThe Commission has declared final the initial decision of an administrative law judge barring James Frankfurth from associating with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent; and from participating in any penny stock offering. The initial decision found that on May 9, 2005, the United States District Court for the Eastern District of New York accepted a guilty plea by Frankfurth to one count of conspiracy to commit securities fraud in violation of 18 U.S.C. § 371. United States v. Kozak, 02-CR-879 (Kozak case). On June 21, 2010, a criminal judgment was entered against Frankfurth in the Kozak case, and he was sentenced to five years probation, which included six months home detention and ordered to pay restitution in the amount of $338,338. Frankfurth was the executive director of a Delaware limited liability company operating out of San Diego, California. From approximately April 1999 through May 2001, Frankfurth, along with co-conspirators, sold unregistered securities to 95 investors. Frankfurth's sales agents employed cold-calling and high-pressure techniques in their solicitation of investors. The sales of the unregistered offering raised approximately $3.1 million. Frankfurth also repeatedly misrepresented his commissions to investors. Frankfurth and his co-conspirators circulated Private Placement Memorandums (PPMs) to investors. The PPMs materially misrepresented that between ten and fifteen percent of the proceeds would be paid as commissions to Frankfurth and an independent sales office (ISO) that Frankfurth operated. In reality, the commissions were between thirty and forty-five percent of the investor's proceeds, which were concealed by Frankfurth and his co-conspirators. The initial decision also found that Frankfurth's actions were egregious and recurrent. Additionally, Frankfurth has made no assurances against future violations. And, because his securities licenses have lapsed, without the imposition of a bar, Frankfurth would be able to retake the licensing examinations and return to the securities industry, which would present opportunities for future violations. (Rel. 34-66504; File No. 3-14509) Delinquent Filer’s Stock Registration RevokedThe registration of the registered securities of Heli Electronics Corp. has been revoked. It had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, it 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 revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-66505; File No. 3-14736) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangesNASDAQ OMX PHLX LLC filed a proposed rule change (SR-Phlx-2012-23) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend registration and qualification requirements. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-66497) ICE Clear Credit LLC filed a proposed rule change (SR-ICC-2012-01) under Section 19(b)(1) of the Securities Exchange Act of 1934 to provide that one hundred percent (100%) of the Initial Margin requirement for client-related positions cleared in a clearing participant’s customer account origin may be satisfied by a clearing participant utilizing US Treasuries. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-66500) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-020) to amend the CBOE Stock Exchange Fees Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-66498) A proposed rule change filed by NASDAQ OMX BX, Inc. to amend the BOX LLC Agreement (SR-BX-2012-014) 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 March 5. (Rel. 34-66501) Approval of Proposed Rule ChangesThe Commission approved a proposed rule change submitted by the Chicago Stock Exchange, Inc. (SR-CHX-2012-02) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to add to and amend its rules regarding the obligations of Institutional Brokers registered with the Exchange. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-66503) A proposed rule change filed by Chicago Mercantile Exchange, Inc. (CME) amending rules relating to credit default swap guaranty fund (SR-CME-2012-01) has been approved pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-66506) Designation of Longer Period For Commission Action on Proposed Rule ChangeThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-NASDAQ-2012-002) filed by The NASDAQ Stock Market LLC to adopt an alternative to the $4 initial listing bid price requirement for the Nasdaq Capital Market of either $2 or $3, if certain other listing requirements are met. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-66499) 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 PACIFIC BIOSCIENCES OF CALIFORNIA INC, 1380 WILLOW ROAD, MENLO PARK, CA, 94025, 650-521-8000 - 4,397,100 ($18,072,081.00) Equity, (File 333-179810 - Mar. 1) (BR. 10C) S-8 Bazaarvoice Inc, 3900 N. CAPITAL OF TEXAS HIGHWAY, SUITE 300, AUSTIN, TX, 78746, 512-732-9990 - 0 ($133,791,167.18) Equity, (File 333-179811 - Mar. 1) (BR. 03) S-3ASR KINDER MORGAN, INC., 500 DALLAS STREET, SUITE 1000, HOUSTON, TX, 77002, 713-369-9000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179812 - Mar. 1) (BR. 02C) S-3ASR KINDER MORGAN MANAGEMENT LLC, 500 DALLAS, SUITE 1000, HOUSTON, TX, 77002, 713-369-9000 - 0 ($0.00) Equity, (File 333-179813 - Mar. 1) (BR. 02C) S-3 KINDER MORGAN MANAGEMENT LLC, 500 DALLAS, SUITE 1000, HOUSTON, TX, 77002, 713-369-9000 - 0 ($750,000,000.00) Equity, (File 333-179814 - Mar. 1) (BR. 02C) S-1 QUINKO-TEK INTERNATIONAL, INC., 1855 HYMUS BLVD., DORVAL, A8, H9P 1J8, 514-685-2707 - 4,005,640 ($132,186.12) Equity, (File 333-179820 - Mar. 1) (BR. 02) S-3ASR NISOURCE INC/DE, 801 EAST 86TH AVE, MERRILLVILLE, IN, 46410-6272, 2196475200 - 0 ($28,236,000.00) Equity, (File 333-179821 - Mar. 1) (BR. 02A) S-3ASR HARTFORD LIFE INSURANCE CO, 200 HOPMEADOW STREET, SIMSBURY, CT, 06089, 860-547-5000 - 0 ($2,985,200,000.00) Other, (File 333-179822 - Mar. 1) (BR. 01A) S-8 Fairmount Bancorp, Inc., 8216 PHILADELPHIA ROAD, BALTIMORE, MD, 21237, 410-866-4500 - 0 ($876,512.40) Equity, (File 333-179823 - Mar. 1) (BR. 07C) S-8 EASTERN VIRGINIA BANKSHARES INC, P O BOX 1455, 330 HOSPITAL ROAD, TAPPAHANNOCK, VA, 22560, 8044438400 - 0 ($2,723.00) Equity, (File 333-179824 - Mar. 1) (BR. 07B) S-3ASR TOYOTA MOTOR CREDIT CORP, 19001 S. WESTERN AVENUE, TORRANCE, CA, 90509, (310) 468-1310 - 0 ($0.00) Debt, (File 333-179826 - Mar. 1) (BR. 07B) S-8 Energizer Resources, Inc., 520 ? 141 ADELAIDE ST. W., TORONTO, A6, M5H 3L5, 416-364-4986 - 5,000,000 ($1,550,000.00) Equity, (File 333-179827 - Mar. 1) (BR. 09A) S-3 Summit Hotel Properties, Inc., 2701 S. MINNESOTA AVENUE, SUITE 6, SIOUX FALLS, SD, 57105, 605 361-9566 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-179828 - Mar. 1) (BR. 08C) S-4 Delphi Automotive PLC, COURTNEY ROAD, HOATH WAY, GILLINGHAM, KENT, X0, ME8 0RU, 011-44-163-423-4422 - 0 ($1,000,000,000.00) Debt, (File 333-179829 - Mar. 1) (BR. 05B) S-8 UNITEDHEALTH GROUP INC, UNITEDHEALTH GROUP CENTER, 9900 BREN ROAD EAST, MINNEAPOLIS, MN, 55343, 9529361300 - 0 ($19,253,500.00) Equity, (File 333-179830 - Mar. 1) (BR. 01B) S-3ASR FIRST INDUSTRIAL REALTY TRUST INC, 311 S WACKER DRIVE, SUITE 3900, CHICAGO, IL, 60606, 3123444300 - 0 ($0.00) Other, (File 333-179831 - Mar. 1) (BR. 08B) S-8 SUNPOWER CORP, 77 RIO ROBLES, SAN JOSE, CA, 95134, 408-240-5500 - 3,014,265 ($23,631,837.60) Equity, (File 333-179833 - Mar. 1) (BR. 10C) S-1 ELITE PHARMACEUTICALS INC /NV/, 165 LUDLOW AVENUE, NORTHVALE, NJ, 07647, 2017502646 - 71,071,429 ($6,751,786.00) Equity, (File 333-179834 - Mar. 1) (BR. 01A) S-3ASR PROGRESS ENERGY INC, 410 S WILMINGTON ST, RALEIGH, NC, 27601, 9195466463 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179835 - Mar. 1) (BR. 02A) S-8 BIG LOTS INC, 300 PHILLIPI ROAD, P.O.BOX 28512, COLUMBUS, OH, 43228-0512, 614-278-6800 - 881,215 ($38,297,604.00) Equity, (File 333-179836 - Mar. 1) (BR. 02C) S-3 ROYAL CARIBBEAN CRUISES LTD, 1050 CARIBBEAN WAY, MIAMI, FL, 33132, 3055396000 - 63,220,873 ($1,827,083,230.00) Other, (File 333-179837 - Mar. 1) (BR. 05C) S-1 GNC HOLDINGS, INC., 300 SIXTH AVENUE, PITTSBURGH, PA, 15222, (412) 288-4600 - 0 ($637,916,500.00) Equity, (File 333-179838 - Mar. 1) (BR. 02B) F-1 DE International Holdings B.V., VLEUTENSEVAART 100, UTRECHT, P7, 3532 AD, 31-30-292-7311 - 0 ($4,550,772,800.00) Equity, (File 333-179839 - Mar. 1) (BR. ) S-3 BADGER METER INC, 4545 WEST BROWN DEER ROAD, MILWAUKEE, WI, 53223, 4143715702 - 0 ($6,930,000.00) Equity, (File 333-179840 - Mar. 1) (BR. 10A) S-3ASR ARCH COAL INC, CITY PLACE ONE STE 300, ARCH MINERAL CORP, ST LOUIS, MO, 63141, 3149942700 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179841 - Mar. 1) (BR. 09A) S-4 ARCH COAL INC, CITY PLACE ONE STE 300, ARCH MINERAL CORP, ST LOUIS, MO, 63141, 3149942700 - 0 ($2,000,000,000.00) Debt, (File 333-179842 - Mar. 1) (BR. 09A) S-3ASR Spectra Energy Corp., 5400 WESTHEIMER COURT, HOUSTON, TX, 77056, 704-382-8160 - 5,000,000 ($156,925,000.00) Equity, (File 333-179843 - Mar. 1) (BR. 02A) 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 ----------------------------------------------------------------------------------------- A123 SYSTEMS, INC. DE 2.02,9.01 03/01/12 Accenture plc L2 5.02,9.01 03/01/12 ACCENTURE SCA 5.02,9.01 03/01/12 ACCO BRANDS CORP DE 5.02 02/23/12 ACCURIDE CORP DE 2.02,7.01,9.01 02/29/12 ACETO CORP NY 5.02,9.01 10/05/11 AMEND ACME UNITED CORP CT 2.02,9.01 03/01/12 Addus HomeCare Corp DE 2.02,9.01 03/01/12 Affinion Group Holdings, Inc. DE 2.02,9.01 03/01/12 Affinity Gaming, LLC NV 8.01,9.01 02/27/12 AG Mortgage Investment Trust, Inc. MD 7.01 03/01/12 AG Mortgage Investment Trust, Inc. MD 2.02,9.01 03/01/12 ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 2.02,9.01 03/01/12 ALLETE INC MN 8.01 03/01/12 Alternative Energy & Environmental So NV 1.02,9.01 03/01/12 Alto Group Holdings Inc. NV 5.02,8.01 02/23/12 AMEND AMERICAN ORIENTAL BIOENGINEERING INC CO 3.02,5.03,9.01 02/24/12 American Railcar Industries, Inc. ND 5.02 02/24/12 American Realty Capital Daily Net Ass MD 5.02 03/01/12 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 5.02 03/01/12 American Realty Capital Properties, I MD 5.02 03/01/12 American Realty Capital Trust III, In MD 5.02 03/01/12 American Realty Capital Trust, Inc. DE 1.01,2.03,9.01 02/28/12 American Realty Capital Trust, Inc. DE 7.01,8.01,9.01 03/01/12 American Standard Energy Corp. DE 1.01 02/24/12 Ameris Bancorp GA 1.01,2.01,8.01,9.01 02/24/12 AMERISAFE INC TX 2.02,9.01 03/01/12 AMERITRANS CAPITAL CORP DE 5.03,9.01 02/24/12 AMGEN INC DE 5.02,9.01 02/29/12 ANIKA THERAPEUTICS INC MA 2.02,9.01 02/29/12 AQUA AMERICA INC PA 5.02 02/24/12 ARAMARK CORP DE 1.01,9.01 02/29/12 ARBITRON INC DE 5.02 02/28/12 ARBOR REALTY TRUST INC MD 5.02,9.01 02/29/12 ARCH COAL INC DE 5.02 02/27/12 Arlington Asset Investment Corp. VA 7.01,9.01 03/01/12 ARQULE INC DE 2.02,9.01 03/01/12 Ascena Retail Group, Inc. DE 2.02,9.01 03/01/12 ASSOCIATED MATERIALS, LLC DE 5.02,9.01 02/24/12 ATWOOD OCEANICS INC TX 7.01,9.01 02/29/12 AUTHENTEC INC DE 2.02,9.01 03/01/12 AVI BIOPHARMA INC OR 2.02,8.01,9.01 02/24/12 Bank of Marin Bancorp CA 7.01 03/01/12 BANKATLANTIC BANCORP INC FL 8.01,9.01 02/27/12 BERKLEY W R CORP DE 5.03,9.01 02/28/12 BIO REFERENCE LABORATORIES INC NJ 2.02,9.01 03/01/12 BIONOVO INC DE 8.01,9.01 02/29/12 BIONOVO INC DE 1.02 02/29/12 BIOZONE PHARMACEUTICALS, INC. NV 3.02,5.02,9.01 02/24/12 BJs RESTAURANTS INC CA 8.01,9.01 02/29/12 BlackRock Kelso Capital CORP DE 2.02,7.01,9.01 03/01/12 Blackwater Midstream Corp. 1.01,2.03,7.01,9.01 02/29/12 BLUE DOLPHIN ENERGY CO DE 5.02,9.01 02/29/12 BOISE CASCADE HOLDINGS, L.L.C. DE 2.02,9.01 03/01/12 Builders FirstSource, Inc. DE 5.02 02/24/12 BURZYNSKI RESEARCH INSTITUTE INC DE 5.02 02/29/12 C&J Energy Services, Inc. DE 7.01,9.01 03/01/12 CACHE INC FL 5.02,8.01,9.01 02/24/12 CADIZ INC DE 1.01,8.01,9.01 02/28/12 CALIX, INC 5.02 02/23/12 AMEND CALLAWAY GOLF CO DE 5.02,8.01,9.01 02/24/12 Calpian, Inc. TX 1.01 02/29/12 Capitol Federal Financial Inc MD 8.01 03/01/12 Car Charging Group, Inc. NV 5.02,9.01 02/27/12 CARDINAL HEALTH INC OH 7.01 02/29/12 CARPENTER TECHNOLOGY CORP DE 1.01,2.01,3.02,5.02, 02/29/12 8.01,9.01 Carter Validus Mission Critical REIT, MD 8.01 02/24/12 CASTLE A M & CO MD 2.02,7.01,9.01 03/01/12 CASTLE A M & CO MD 7.01 03/01/12 CBS CORP DE 8.01,9.01 02/24/12 CELL THERAPEUTICS INC WA 2.02,7.01,9.01 02/29/12 CenterState Banks, Inc. FL 7.01 03/01/12 CENTRAL VERMONT PUBLIC SERVICE CORP VT 5.03,8.01,9.01 02/27/12 CENTRAL VIRGINIA BANKSHARES INC VA 2.02,9.01 03/01/12 CENVEO, INC CO 2.02,9.01 02/29/12 CENVEO, INC CO 8.01,9.01 02/29/12 CENVEO, INC CO 8.01,9.01 02/29/12 CFS BANCORP INC IN 5.02 02/27/12 AMEND CHART INDUSTRIES INC DE 7.01,9.01 02/28/12 CHEESECAKE FACTORY INC DE 8.01 03/01/12 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 03/01/12 Chesapeake Lodging Trust MD 5.02,8.01 02/24/12 CHESAPEAKE UTILITIES CORP DE 5.02 02/24/12 CHIMERA INVESTMENT CORP DE 7.01,9.01 03/01/12 China Premium Lifestyle Enterprise, I NV 5.02,9.01 03/01/12 CHINA VALVES TECHNOLOGY, INC NV 5.07 03/01/12 CHRISTOPHER & BANKS CORP DE 5.02,9.01 02/16/12 AMEND Chrysler Group LLC DE 5.02,5.03 02/23/12 Chrysler Group LLC DE 8.01,9.01 03/01/12 CIRCOR INTERNATIONAL INC DE 8.01 03/01/12 CITIZENS HOLDING CO /MS/ MS 7.01,9.01 02/29/12 CITY HOLDING CO WV 5.02 02/29/12 COHERENT INC DE 5.07 02/28/12 COINSTAR INC DE 8.01 02/29/12 CombiMatrix Corp DE 5.02,9.01 02/28/12 COMMUNITY HEALTH SYSTEMS INC DE 5.02 03/01/12 CONMED CORP NY 8.01 02/29/12 Consolidated Communications Holdings, DE 2.02,9.01 03/01/12 CONSOLIDATED TOMOKA LAND CO FL 1.01,1.02,2.03,9.01 02/27/12 CORINTHIAN COLLEGES INC 7.01 02/29/12 COUSINS PROPERTIES INC GA 1.01,2.03,9.01 02/28/12 COVANTA HOLDING CORP DE 7.01 03/01/12 CPM Holdings, Inc. 8.01 03/01/12 Crescent Financial Bancshares, Inc. 5.02 02/24/12 CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 03/01/12 CUBIC ENERGY INC TX 3.01 02/24/12 CUMBERLAND PHARMACEUTICALS INC 2.02,9.01 02/29/12 CURIS INC DE 1.01,5.02,9.01 02/24/12 DAVEY TREE EXPERT CO OH 8.01 02/27/12 DCP Midstream Partners, LP DE 1.01,9.01 02/27/12 Dehaier Medical Systems Ltd 5.02 03/01/12 DENDREON CORP DE 5.02,9.01 02/28/12 DEVRY INC DE 5.02,7.01,9.01 02/22/12 DEX ONE Corp DE 2.02,7.01,9.01 03/01/12 DEX ONE Corp DE 7.01,9.01 03/01/12 DIAMOND HILL INVESTMENT GROUP INC OH 5.02 03/01/12 DIAMOND HILL INVESTMENT GROUP INC OH 8.01 03/01/12 DIGIRAD CORP DE 8.01,9.01 02/29/12 DineEquity, Inc DE 2.02,7.01,9.01 03/01/12 Domtar CORP DE 8.01,9.01 03/01/12 Dresser-Rand Group Inc. DE 2.02,9.01 02/29/12 DSW Inc. OH 8.01,9.01 03/01/12 Duff & Phelps Corp DE 5.02,9.01 03/01/12 DURECT CORP DE 2.02,9.01 03/01/12 DURECT CORP DE 1.02 02/28/12 EAGLE BANCORP INC MD 5.02 02/07/12 AMEND EAGLE ROCK ENERGY PARTNERS L P DE 7.01 03/01/12 ecoTECH Energy Group Inc. NV 7.01,9.01 02/16/12 EDISON INTERNATIONAL CA 7.01,9.01 03/01/12 EGAIN COMMUNICATIONS CORP DE 5.02 02/28/12 EINSTEIN NOAH RESTAURANT GROUP INC DE 2.02,9.01 03/01/12 EL PASO CORP/DE DE 8.01,9.01 02/29/12 EL PASO CORP/DE DE 8.01,9.01 02/29/12 EMISPHERE TECHNOLOGIES INC DE 5.02,9.01 03/01/12 Employers Holdings, Inc. NV 7.01,9.01 02/29/12 Energy Transfer Equity, L.P. DE 8.01,9.01 02/29/12 ENERNOC INC DE 5.02 02/27/12 AMEND EPIQ SYSTEMS INC MO 8.01,9.01 03/01/12 ERESEARCHTECHNOLOGY INC /DE/ DE 5.02 02/24/12 ESSA Bancorp, Inc. PA 7.01,9.01 03/01/12 ESTERLINE TECHNOLOGIES CORP DE 2.02,9.01 03/01/12 Excel Trust, Inc. MD 2.02,9.01 02/29/12 Extra Space Storage Inc. MD 8.01,9.01 03/01/12 Federal Home Loan Bank of Atlanta X1 2.03 03/01/12 Federal Home Loan Bank of Boston X1 2.03 02/27/12 Federal Home Loan Bank of Chicago X1 2.03 02/27/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 02/28/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 02/28/12 Federal Home Loan Bank of New York X1 2.03,9.01 02/28/12 Federal Home Loan Bank of New York X1 8.01,9.01 03/01/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/27/12 Federal Home Loan Bank of San Francis X1 2.03 02/27/12 Federal Home Loan Bank of Topeka 2.03,9.01 02/27/12 Fidelity National Information Service 7.01,9.01 03/01/12 FIRST COMMUNITY BANCSHARES INC /NV/ NV 1.01,7.01,8.01,9.01 03/01/12 FIRST POTOMAC REALTY TRUST MD 7.01,9.01 02/29/12 FISHER COMMUNICATIONS INC WA 2.02,9.01 03/01/12 FLOW INTERNATIONAL CORP WA 2.02,9.01 03/01/12 Ford Credit Auto Lease Trust 2012-A DE 1.01,8.01,9.01 02/28/12 FORD MOTOR CO DE 8.01,9.01 02/29/12 FORWARD INDUSTRIES INC NY 5.02 02/28/12 FRANKLIN ELECTRIC CO INC IN 5.02 02/24/12 FRANKLIN STREET PROPERTIES CORP /MA/ 7.01,9.01 03/01/12 FS Energy & Power Fund DE 2.02,9.01 02/29/12 FSP 50 South Tenth Street Corp 1.01,7.01,9.01 02/29/12 GAP INC DE 7.01,9.01 03/01/12 GARDNER DENVER INC DE 7.01,9.01 02/24/12 GASCO ENERGY INC NV 7.01,9.01 03/01/12 General Maritime Corp / MI 2.02,7.01,9.01 02/29/12 General Maritime Corp / MI 1.01,8.01,9.01 02/26/12 General Moly, Inc DE 2.02,9.01 03/01/12 GENESEE & WYOMING INC DE 8.01 03/01/12 Global Geophysical Services Inc DE 8.01,9.01 02/28/12 GLOBALWISE INVESTMENTS INC NV 5.02,5.03,9.01 02/27/12 GMX RESOURCES INC OK 2.02,5.02,9.01 02/28/12 GOLD HORSE INTERNATIONAL, INC. FL 2.02,7.01,9.01 03/01/12 GOLDMAN SACHS GROUP INC DE 9.01 03/01/12 Golub Capital BDC, Inc. DE 8.01 03/01/12 Greenwood Gold Resources, Inc. NV 1.01,9.01 02/14/12 AMEND GULF ISLAND FABRICATION INC LA 5.02 02/24/12 GULFMARK OFFSHORE INC DE 8.01,9.01 02/27/12 H&E Equipment Services, Inc. DE 2.02,8.01,9.01 03/01/12 H&E Equipment Services, Inc. DE 1.01,2.03,9.01 03/01/12 HALCON RESOURCES CORP DE 3.02,7.01,8.01,9.01 02/29/12 HANCOCK HOLDING CO MS 8.01,9.01 02/29/12 HARBINGER GROUP INC. DE 7.01 03/01/12 HARRIS INTERACTIVE INC DE 1.02,5.02,7.01,9.01 02/29/12 HARVARD BIOSCIENCE INC DE 2.02,9.01 03/01/12 Harvard Illinois Bancorp, Inc. MD 5.02 02/29/12 HD SUPPLY, INC. DE 2.02,9.01 03/01/12 HDS INTERNATIONAL CORP. NV 5.06 03/01/12 HollyFrontier Corp DE 7.01,9.01 03/01/12 HOOPER HOLMES INC NY 1.01,9.01 02/29/12 HORIZON PHARMA, INC. DE 1.01,3.02,9.01 02/28/12 HOUSTON AMERICAN ENERGY CORP DE 8.01 03/01/12 ICF International, Inc. DE 9.01 12/31/11 AMEND ID SYSTEMS INC DE 2.02,9.01 03/01/12 IDENTIVE GROUP, INC. DE 2.02,9.01 03/01/12 IMMERSION CORP DE 2.02,9.01 03/01/12 INDEPENDENT BANK CORP MA 8.01 03/01/12 Ingersoll-Rand plc L2 5.02 02/24/12 INLAND REAL ESTATE CORP MD 8.01,9.01 02/29/12 INNOSPEC INC. DE 1.02,3.03,9.01 03/01/12 INTEGRATED ELECTRICAL SERVICES INC DE 5.07,7.01 02/28/11 INTELSAT S.A. N4 2.02,9.01 03/01/12 Inventtech Inc. NV 4.01,9.01 02/29/12 Inventtech Inc. NV 4.01,9.01 02/29/12 AMEND INVENTURE FOODS, INC. DE 2.02,9.01 03/01/12 InZon CORP NV 5.01,5.02 02/29/12 IRIDEX CORP DE 2.02,9.01 03/01/12 IRIS INTERNATIONAL INC DE 2.02,9.01 03/01/12 ISC8 INC. /DE DE 8.01,9.01 02/27/12 IsoRay, Inc. MN 5.07 02/24/12 ISSUER DIRECT CORP 2.02,9.01 03/01/12 ITEX CORP NV 8.01 02/24/12 JACOBS ENTERTAINMENT INC DE 1.01,9.01 02/24/12 James River Coal CO VA 2.02,7.01,9.01 03/01/12 JANUS CAPITAL GROUP INC DE 8.01,9.01 03/01/12 JDA SOFTWARE GROUP INC DE 3.01,9.01 03/01/12 John Deere Owner Trust 2012 DE 9.01 03/01/12 John Deere Owner Trust 2012 DE 8.01,9.01 03/01/12 JOHNSON CONTROLS INC WI 8.01,9.01 03/01/12 JOHNSON OUTDOORS INC WI 7.01,9.01 03/01/12 JONES SODA CO WA 5.02,9.01 02/27/12 JPMORGAN CHASE & CO DE 7.01,9.01 02/28/12 KEATING CAPITAL INC 7.01,9.01 03/01/12 KENEXA CORP 5.02 02/27/12 KEWAUNEE SCIENTIFIC CORP /DE/ DE 2.02,9.01 02/28/12 KEYNOTE SYSTEMS INC DE 5.02 02/28/12 KIT digital, Inc. DE 2.02,9.01 02/27/12 Kohlberg Capital CORP DE 1.01,2.01,2.03,3.02, 02/24/12 5.02,5.03,7.01,9.01 KOHLS Corp WI 2.02,9.01 03/01/12 Kosmos Energy Ltd. D0 2.02,7.01,9.01 03/01/12 Kraton Performance Polymers, Inc. DE 2.02,9.01 03/01/12 KROGER CO OH 2.02,7.01,9.01 03/01/12 KROGER CO OH 2.02,7.01,9.01 03/01/12 AMEND LAWSON PRODUCTS INC/NEW/DE/ DE 2.02,9.01 03/01/12 LBO CAPITAL CORP CO 8.01 03/01/12 LEGACY RESERVES LP DE 5.02 02/24/12 LEGEND INTERNATIONAL HOLDINGS INC DE 5.02 02/27/12 LEHMAN BROTHERS HOLDINGS INC DE 7.01,9.01 02/29/12 LENCO MOBILE INC. DE 4.01,5.02,9.01 02/27/12 Location Based Technologies, Inc. NV 8.01,9.01 03/01/12 LyondellBasell Industries N.V. P7 5.02,9.01 02/28/12 MABCURE INC. NV 5.02 03/01/12 MAGELLAN GOLD Corp NV 2.03 02/28/12 MANHATTAN PHARMACEUTICALS INC DE 1.01,8.01 02/24/12 MARKETING WORLDWIDE CORP DE 3.02,8.01 02/23/12 MARTHA STEWART LIVING OMNIMEDIA INC DE 2.02,9.01 03/01/12 MASTEC INC FL 2.02,7.01,9.01 02/29/12 MCG CAPITAL CORP DE 2.02,9.01 03/01/12 Mead Johnson Nutrition Co DE 5.02 03/01/12 MERCURY GENERAL CORP CA 5.02 02/27/12 MEREDITH CORP IA 8.01,9.01 02/29/12 MEREDITH CORP IA 1.01,9.01 02/29/12 METHODE ELECTRONICS INC DE 2.02,9.01 03/01/12 MIDAS INC DE 2.02 03/01/12 MISCOR GROUP, LTD. IN 2.02,9.01 03/01/12 MITEL NETWORKS CORP 2.02,9.01 03/01/12 MOMENTIVE SPECIALTY CHEMICALS INC. NJ 7.01 03/01/12 MONSTER WORLDWIDE, INC. DE 5.02 02/28/12 MORGAN CREEK ENERGY CORP NV 5.02 02/24/12 MOTRICITY INC DE 1.01,2.02,2.03,9.01 02/28/12 MRC GLOBAL INC. DE 2.02,5.03,9.01 02/29/12 Myrexis, Inc. DE 2.05,8.01,9.01 02/12/12 AMEND NASH FINCH CO DE 2.02,9.01 03/01/12 NAVIDEA BIOPHARMACEUTICALS, INC. DE 2.02,9.01 02/29/12 NAVISTAR INTERNATIONAL CORP DE 7.01 03/01/12 NBC ACQUISITION CORP DE 7.01,9.01 02/29/12 Net Element, Inc. DE 1.01,2.03,9.01 11/16/11 NEW CENTURY BANCORP INC NC 5.02 02/28/12 New Enterprise Stone & Lime Co., Inc. DE 1.01,7.01,9.01 03/01/12 NEWCASTLE INVESTMENT CORP MD 2.02,9.01 02/29/12 NEWS CORP 8.01,9.01 03/01/12 NII HOLDINGS INC DE 5.02 02/27/12 NON INVASIVE MONITORING SYSTEMS INC / FL 5.02 02/28/12 Noranda Aluminum Holding CORP DE 1.01,1.02,2.03,8.01, 02/29/12 9.01 Noranda Aluminum Holding CORP DE 5.02 02/24/12 NORDSTROM INC WA 7.01,9.01 03/01/12 NOVA NATURAL RESOURCES CORP CO 5.02 03/01/12 NYXIO TECHNOLOGIES Corp NV 8.01,9.01 02/28/12 OGLETHORPE POWER CORP GA 5.02,9.01 03/01/12 Oilsands Quest Inc 8.01,9.01 03/01/12 OLD LINE BANCSHARES INC MD 2.02,9.01 02/29/12 OMNICARE INC DE 8.01,9.01 03/01/12 ORGANOVO HOLDINGS, INC. DE 3.02,5.02,9.01 02/29/12 Oxford Resource Partners LP DE 8.01 02/28/12 OXYGEN BIOTHERAPEUTICS, INC. DE 1.02 02/27/12 PACER INTERNATIONAL INC TN 1.01,8.01 02/28/12 PARK CITY GROUP INC 7.01,8.01 03/01/12 Parks One, Inc. NV 3.02,5.01,9.01 02/28/12 PARLUX FRAGRANCES INC DE 5.07 02/27/12 PATTERSON UTI ENERGY INC DE 7.01,9.01 03/01/12 PC MALL INC DE 2.02,5.02,9.01 03/01/12 PennantPark Floating Rate Capital Ltd 7.01,9.01 03/01/12 PENNANTPARK INVESTMENT CORP 7.01,9.01 03/01/12 PENSECO FINANCIAL SERVICES CORP PA 2.02,9.01 03/01/12 PERFICIENT INC DE 2.02,7.01,9.01 03/01/12 PERFORMANCE TECHNOLOGIES INC \DE\ DE 2.02 12/31/11 PETROLEUM DEVELOPMENT CORP NV 2.02,9.01 03/01/12 PHH CORP MD 8.01 02/29/12 PIEDMONT NATURAL GAS CO INC NC 1.01,2.03 03/01/12 PIER 1 IMPORTS INC/DE DE 5.02,7.01,9.01 02/26/12 Pike Electric CORP 5.02,9.01 02/28/12 PIPER JAFFRAY COMPANIES DE 8.01 03/01/12 PLANTRONICS INC /CA/ DE 5.02,9.01 03/01/12 Plures Technologies, Inc./DE DE 5.02,8.01,9.01 02/28/12 POOL CORP DE 7.01,9.01 03/01/12 POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 03/01/12 PRO DEX INC CO 1.01,2.05,9.01 02/27/12 PROGAMING PLATFORMS CORP DE 3.03,5.03,9.01 03/01/12 PROSPERITY BANCSHARES INC TX 7.01,9.01 03/01/12 QEP RESOURCES, INC. DE 1.01,9.01 02/27/12 QLT INC/BC A1 8.01,9.01 03/01/12 QUANTRX BIOMEDICAL CORP NV 5.02 03/01/12 QUEPASA CORP NV 2.02,9.01 03/01/12 RADIENT PHARMACEUTICALS Corp DE 7.01 02/29/12 RAYONIER INC NC 1.01,7.01,9.01 02/29/12 RDA Holding Co. 8.01,9.01 02/29/12 Reliance Bancshares, Inc. MO 5.02,9.01 02/25/12 REPUBLIC AIRWAYS HOLDINGS INC DE 2.02,9.01 02/29/12 REVA Medical, Inc. DE 7.01,9.01 03/01/12 RF MONOLITHICS INC /DE/ DE 7.01,9.01 02/29/12 Rhino Resource Partners LP DE 2.02,9.01 03/01/12 RING ENERGY, INC. NV 3.02 12/07/11 AMEND ROCKWELL MEDICAL TECHNOLOGIES INC MI 2.02,9.01 03/01/12 RYDER SYSTEM INC FL 7.01,8.01,9.01 03/01/12 Sabra Health Care REIT, Inc. MD 2.02,9.01 02/29/12 SAKS INC TN 7.01,9.01 03/01/12 Santos Resource Corp. NV 3.02 02/24/12 SAVIENT PHARMACEUTICALS INC DE 2.02,9.01 02/27/12 SEARCH BY HEADLINES.COM CORP. NV 1.01,9.01 02/28/12 SEARS HOLDINGS CORP DE 5.04,9.01 02/24/12 SENESCO TECHNOLOGIES INC DE 8.01,9.01 02/28/12 SENOMYX INC DE 2.02,9.01 03/01/12 SHARPS COMPLIANCE CORP DE 5.02,9.01 03/01/12 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 2.02,9.01 03/01/12 Shire plc 8.01,9.01 02/29/12 Shire plc 8.01,9.01 03/01/12 SI Financial Group, Inc. 2.02,9.01 02/29/12 SILICON IMAGE INC DE 8.01 02/29/12 SILICON LABORATORIES INC DE 1.01,5.02,9.01 03/01/12 SIMULATIONS PLUS INC 5.02,7.01,9.01 03/01/12 Sono Resources, Inc. NV 5.02 02/24/12 SOUTHCOAST FINANCIAL CORP SC 2.02,9.01 02/27/12 SOUTHERN CALIFORNIA EDISON CO CA 7.01,9.01 03/01/12 SOUTHERN CONNECTICUT BANCORP INC CT 5.02,9.01 02/28/12 SOUTHERN UNION CO DE 8.01,9.01 02/29/12 SPARK NETWORKS INC DE 2.02,9.01 03/01/12 Spartan Gold Ltd. 4.01 02/01/12 AMEND Spectrum Brands Holdings, Inc. DE 7.01 03/01/12 Spectrum Brands, Inc. DE 7.01,9.01 03/01/12 SPECTRUM PHARMACEUTICALS INC DE 2.02,9.01 03/01/12 SPRINT NEXTEL CORP KS 1.01,2.03,8.01,9.01 03/01/12 STAGE STORES INC NV 8.01,9.01 02/28/12 STANDARD PARKING CORP DE 8.01,9.01 03/01/12 STERLING FINANCIAL CORP /WA/ WA 5.02,8.01,9.01 02/29/12 Sun Life Assurance Co of Canada (U.S. DE 8.01 02/24/12 SUNRISE SENIOR LIVING INC DE 2.02,9.01 02/29/12 SUNTRUST BANKS INC GA 7.01,9.01 03/01/12 SUPERIOR ENERGY SERVICES INC DE 1.01,9.01 02/29/12 SUPERMEDIA INC. DE 7.01 02/29/12 SUREWEST COMMUNICATIONS CA 8.01,9.01 02/27/12 THERAGENICS CORP DE 5.02,9.01 03/01/12 THERMADYNE HOLDINGS CORP /DE DE 1.01,3.03,7.01,8.01, 02/27/12 9.01 TIBCO SOFTWARE INC DE 5.02,9.01 02/27/12 TIBET PHARMACEUTICALS, INC. D8 8.01,9.01 03/01/12 TITAN INTERNATIONAL INC IL 4.01,9.01 02/29/12 AMEND TNP Strategic Retail Trust, Inc. MD 7.01,9.01 02/29/12 TOYOTA MOTOR CREDIT CORP CA 1.01,1.02,2.03,9.01 02/28/12 TRESORO MINING CORP. NV 4.01,9.01 02/27/12 TTM TECHNOLOGIES INC WA 2.02 02/07/12 AMEND TUTOR PERINI Corp MA 2.02,5.02,9.01 03/01/12 U.S. Auto Parts Network, Inc. DE 2.02,9.01 03/01/12 UMPQUA HOLDINGS CORP OR 7.01,9.01 02/29/12 AMEND United Development Funding IV MD 8.01 03/01/12 UNITED STATES STEEL CORP DE 5.03,9.01 02/28/12 UNIVERSAL HEALTH REALTY INCOME TRUST MD 2.02,9.01 03/01/12 US CONCRETE INC DE 8.01 02/29/12 Vanguard Natural Resources, LLC DE 2.02,7.01,9.01 03/01/12 VIRTUAL PIGGY, INC. DE 1.01,3.02,5.02,9.01 02/24/12 VISTEON CORP DE 5.03,9.01 02/28/12 VIVUS INC CA 1.01,8.01,9.01 02/29/12 VMWARE, INC. DE 5.02,8.01,9.01 02/29/12 Volcano Corp DE 5.02 02/27/12 W P CAREY & CO LLC DE 7.01,9.01 02/28/12 Walter Energy, Inc. DE 5.02,9.01 02/28/12 WASHINGTON MUTUAL, INC WA 7.01,9.01 02/29/12 WASHINGTON MUTUAL, INC WA 1.03,3.03,9.01 02/24/12 Wendy's Co DE 2.02,9.01 03/01/12 Wendy's Co DE 7.01,9.01 03/01/12 WINMARK CORP MN 1.01,2.02,7.01,9.01 02/29/12 WOUND MANAGEMENT TECHNOLOGIES, INC. TX 5.02,9.01 02/09/12 XATA CORP /MN/ MN 1.01,2.03,9.01 02/24/12 XINYINHAI TECHNOLOGY, LTD. UT 8.01 03/01/12 XNE, Inc. NV 5.02 03/01/12 Yankee Holding Corp. DE 2.02,9.01 03/01/12 YCC Holdings LLC DE 2.02,9.01 03/01/12 YTB International, Inc. DE 1.01,5.02 02/24/12 ZAGG Inc NV 2.02,9.01 02/27/12
http://www.sec.gov/news/digest/2012/dig030212.htm
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