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SEC News Digest
Issue 2012-49
March 13, 2012
Commission announcements
SEC Charges Five With Insider Trading on Confidential Merger Negotiations Between Philadelphia Company and Japanese Firm
The Securities and Exchange Commission today charged two financial advisors and three others in their circle of family and friends with insider trading for more than $1.8 million in illicit profits based on confidential information about a Philadelphia-based insurance holding company’s merger negotiations with a Japanese firm.
The SEC alleges that Timothy J. McGee and Michael W. Zirinsky, who are registered representatives at Ameriprise Financial Services, illegally traded in the stock of Philadelphia Consolidated Holding Corp. (PHLY) based on nonpublic information about the company’s impending merger with Tokio Marine Holdings. McGee obtained the inside information from a PHLY senior executive who was confiding in him through their relationship at Alcoholics Anonymous (AA) about pressures he was confronting at work. McGee then purchased PHLY stock in advance of the merger announcement on July 23, 2008, and made a $292,128 profit when the stock price jumped 64 percent that day.
According to the SEC’s complaint filed in U.S. District Court for the Eastern District of Pennsylvania, McGee tipped Zirinsky, who purchased PHLY stock in his own trading account as well as those of his wife, sister, mother, and grandmother. Zirinsky tipped his father Robert Zirinsky and his friend Paulo Lam, a Hong Kong resident who in turn tipped another friend whose wife Marianna sze wan Ho also traded on the nonpublic information. The Zirinsky family collectively obtained illegal profits of $562,673 through their insider trading. Lam made an illicit profit of $837,975 and Ho, also a Hong Kong resident, profited by $110,580.
Lam and Ho each agreed to settle the SEC’s charges and pay approximately $1.2 million and $140,000 respectively.
“McGee stole information shared with him in the utmost confidence, and as securities industry professionals he and Zirinsky clearly knew better,” said Elaine C. Greenberg, Associate Director of the SEC’s Philadelphia Regional Office. “As this case demonstrates, we will follow each link in a tipping chain all the way to Hong Kong if necessary.”
According to the SEC’s complaint, McGee met the PHLY executive at AA in 1999. By spring and early summer 2008, while the PHLY executive was participating in the merger negotiations and under significant pressure to ensure a successful sale, he and McGee had known each other for almost a decade and forged a close relationship in which they routinely shared confidences about each other’s personal lives and problems impacting them professionally. Their relationship eventually extended beyond AA as they occasionally trained together for triathlons, and McGee even suggested that the PHLY executive should invest his money with him because he knew his personal history. McGee, who lives in Malvern, Pa., assured the PHLY executive on many occasions that he would keep the information they discussed confidential.
The SEC alleges that in early July 2008, immediately after an AA meeting, the PHLY executive confided to McGee that he was under considerable pressure as a result of ongoing confidential negotiations to sell PHLY. In response, McGee expressed interest in the details of the PHLY sale and questioned him about the details of the impending deal. McGee learned that Tokio Marine would be the acquirer, the sale was getting close, and that the price would be approximately three times the book value of the company. McGee had successive conversations with the PHLY executive both face-to-face and by phone during this critical juncture of the negotiations. After learning about the impending merger on July 14, McGee entered an order for PHLY stock and bought additional shares on July 17, 18, and 22. McGee bought the majority of his PHLY stock on margin and funded the remaining purchases with sales of existing securities and money market funds. Two days after the public announcement, McGee sold approximately one-third of his PHLY stock and held the balance until the merger closed on December 1. Subsequent to the merger announcement, McGee admitted to the PHLY executive that he had traded on the basis of the confidential information told to him about the merger and made money as a result.
According to the SEC’s complaint, McGee has worked in the same office as Zirinsky for more than 15 years and they have become friends and business associates. McGee learned confidential information about the mergers and tipped Zirinsky with the details. For instance, after a brief conversation with the PHLY executive on July 16 at 5:09 p.m., McGee and Zirinsky spoke later that evening. The next morning at 8:26 a.m., McGee placed another call to the PHLY executive, and just several minutes after that conversation ended he called Zirinsky on his cell phone. Only seconds after that call between McGee and Zirinsky ended, Zirinsky attempted to reach his father at three different telephone numbers. He also called his sister. Later that morning, Zirinsky began purchasing PHLY stock in three of his Ameriprise accounts and the Ameriprise accounts of his wife, sister, mother, and grandmother. He also entered trades in IRA accounts held by his father and mother. Meanwhile, Robert Zirinsky, who lives in Quakertown, Pa., purchased additional shares of PHLY stock in an account at another broker. None of Michael Zirinsky’s family members had ever purchased PHLY shares prior to that day, when they bought more than $700,000 of stock in the company.
The SEC alleges that Zirinsky, who lives in Schwenksville, Pa., contacted Lam in Hong Kong via text message and two phone calls amid speaking with McGee on the morning of July 17. Within hours, Lam began buying shares in PHLY stock, which he had never previously owned. Lam also tipped a friend in Hong Kong, who is married to Marianna sze wan Ho. Shortly after that conversation, Ho made purchases of PHLY stock that were triple the value of any equities previously purchased in the account. She sold all of the PHLY shares on the day of the merger announcement.
The SEC’s complaint charges McGee, Michael Zirinsky, Robert Zirinsky, and Hong Kong residents Lam and Ho with violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The complaint also names as relief defendants Zirinsky’s wife Kellie Zirinsky, sister Jillynn Zirinsky, mother Geraldine Zirinsky, and grandmother Mary Zirinsky for the purpose of recovering the illegal profits in their trading accounts. The complaint seeks a final judgment ordering disgorgement of ill-gotten gains together with prejudgment interest from the defendants and relief defendants, and permanent injunctions and penalties against the defendants.
Of the various defendants, two individuals who received the tips, Lam and Ho, each agreed to settle the case, without admitting or denying the allegations, by disgorging all their illicit gains and paying a penalty, as well as agreeing to the entry of a final judgment permanently enjoining them from violating Section 10(b) of the Exchange Act and Rule 10b-5. In particular, Lam agreed to pay $837,975 in disgorgement, $123,649 in prejudgment interest, and a penalty of $251,392. Ho has agreed to pay $110,580 in disgorgement, $16,317 in prejudgment interest, and a penalty of $16,587. The settlements are subject to court approval.
The SEC’s investigation was conducted by Philadelphia Regional Office enforcement staff Brendan P. McGlynn, Patricia A. Paw and Daniel L. Koster. The SEC’s litigation will be led by Scott A. Thompson, Nuriye C. Uygur, and G. Jeffrey Boujoukos.
The SEC acknowledges and appreciates the assistance of the Financial Industry and Regulatory Authority (FINRA). (Press Rel. 2012-41)
SEC Charges Three Mortgage Executives With Fraudulent Accounting Maneuvers in Midst of Financial Crisis
The Securities and Exchange Commission today charged the senior-most executives at formerly one of the nation’s largest mortgage companies with hiding the company’s deteriorating financial condition at the onset of the financial crisis. The plan backfired and the company lost 90 percent of its value in two weeks.
The SEC alleges that Thornburg Mortgage Inc. chief executive officer Larry Goldstone, chief financial officer Clarence Simmons, and chief accounting officer Jane Starrett schemed to fraudulently overstate the company’s income by more than $400 million and falsely record a profit rather than an actual loss for the fourth quarter in its 2007 annual report. Behind the scenes, Thornburg was facing a severe liquidity crisis and was unable to make on-time payments for substantial margin calls it received from its lenders in the weeks leading up to the filing of its annual report on Feb. 28, 2008.
According to the SEC’s complaint filed in federal court in New Mexico, even though Thornburg was violating lending agreements by failing to make on-time payments, the executives were unwilling to disclose the severity of their liquidity crisis to investors and Thornburg’s auditor. For example, in a February 25 e-mail from Starrett to Goldstone and Simmons, she said, “We have purposefully not told [our auditor] about the margins calls.” Goldstone, Simmons, and Starrett scrambled to satisfy all outstanding margin calls and then timed the filing of the annual report to occur just hours later in order to precede additional margin calls and avoid full disclosure. As Goldstone had earlier stated to Simmons and Starrett in an e-mail, “We don’t want to disclose our current circumstance until it is resolved.” The intention was “to keep the current situation quiet while we deal with it.”
The SEC alleges that the executives’ plan to never disclose the delayed margin call payments fell through when they were unable to raise cash quickly enough to meet more margin calls received soon after filing the annual report. When Thornburg began to default on this new round of margin calls, it was forced to disclose its problems in 8-K filings with the SEC. By the time the company filed an amended annual report on March 11, its stock price had collapsed by more than 90 percent. Thornburg never fully recovered and filed for bankruptcy on May 1, 2009.
“The truest test of corporate executives’ commitment to full and accurate shareholder disclosure comes not during times of soaring profits and double-digit growth, but when companies are under financial stress and shareholders have the greatest need for accurate information,” said Robert Khuzami, Director of the SEC’s Division of Enforcement. “These Thornburg executives flunked that test by issuing a series of misleading statements and half-truths to conceal Thornburg’s rapidly deteriorating situation.”
Donald Hoerl, Director of the SEC’s Denver Regional Office, added, “Thornburg’s executives schemed to drop a disingenuous annual report into the public realm at the most opportune moment possible while knowing it was merely the calm before the next storm.”
The SEC has now filed financial crisis-related enforcement actions against 98 individuals and entities, including more than 50 CEOs, CFOs, and other senior corporate officers.
According to the SEC’s complaint against the Thornburg executives, the company was based in Santa Fe, N.M., and considered the nation’s second-largest independent mortgage company after Countrywide. In addition to its lending business that focused on “jumbo” and “super-jumbo” adjustable rate mortgages (ARMs), Thornburg purchased and held ARM securities and also securitized ARM loans. In order to finance its mortgage business and investment-related activities, Thornburg needed constant access to financing, which included money borrowed from various lenders pursuant to reverse repurchase (repo) agreements. The repo agreements required Thornburg to maintain a degree of liquidity and subjected the company to margin calls if the value of its ARM securities serving as collateral for its loans fell below designated thresholds. Thornburg was generally required to pay cash to reduce its loan amount or pledge additional collateral to the lender either the same day or the day following a margin call.
In the weeks leading up to Thornburg’s annual report filing, the company received more than $300 million in margin calls that severely drained its liquidity. Thornburg was late in meeting the margin calls from at least three lenders and received a reservation of rights letter from one confirming that Thornburg was in violation of its lending agreement and could be declared in default at any time. Unwilling to disclose these events and the extent of the liquidity crisis, Thornburg executives improperly determined that more than $400 million in market value losses related to its ARM securities were temporary and therefore did not need to be recognized in the company’s income statement.
The SEC alleges that Goldstone, Simmons, and Starrett engaged in a scheme to deceive Thornburg’s auditor and investors into believing that Thornburg had successfully met all margin calls. Keeping the extent of its margin call crisis quiet and relying on the cooperation and forbearance of its lenders, Thornburg was able to make the final payment on its margin calls approximately 12 hours before filing its annual report. Knowing that its reprieve from outstanding margin calls was only temporary and additional margin calls were likely in light of February 27 news that a large European hedge fund holding substantial mortgage-backed securities like Thornburg’s ARM securities was about to collapse, Thornburg filed its annual report at 4 a.m. local time on February 28. The executives’ urgency to file the annual report before the negative impact of the hedge fund’s collapse was evident in an e-mail that Simmons sent to Starrett saying that he gave Thornburg’s SEC reporting manager “a 6:00 AM Thursday deadline to file the K. I do not want there to be any issues based on Thursday activity.”
According to the SEC’s complaint, Thornburg’s financial condition and liquidity immediately continued to deteriorate after filing its annual report. By 6 a.m., Thornburg began to receive additional margin calls that exceeded its available liquidity by 7:30 a.m. Nevertheless, even as Thornburg’s stock price dropped in the hours and days following the annual report filing, Goldstone and Simmons continued to publicly project the same false financial condition they had presented in the annual report, and they encouraged the company’s investor relations group to do the same. Privately, reflecting on the company’s stock price drop, Simmons commented in an e-mail to Goldstone soon after the annual report was filed, “I guess the recent development section did not go over well. If they only knew.”
The SEC’s complaint charges Goldstone, Simmons, and Starrett with violations of the antifraud, deceit of auditors, reporting, record keeping, and internal controls provisions of the federal securities laws. The complaint seeks officer and director bars, disgorgement, and financial penalties.
The SEC’s investigation was conducted by Jeffrey Lyons, Julian Robinson, Donna Walker, and Ian Karpel in the SEC’s Denver Regional Office. The SEC’s litigation effort will be led by Stephen McKenna and Gregory Kasper. (Press Rel. 2012-42; [SEC v. Larry Goldstone, Clarence Simmons, and Jane Starrett, Case 1:12-cv-00257 (D.N.M.)] (LR-22287; AAE Rel. 3370)
Enforcement proceedings
Commission Revokes Registrations of Securities of Silvermex Resources, Inc. For Failure to Make Required Periodic Filings
On March 13, 2012, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the registration of each class of registered securities of Silvermex Resources, Inc. (Silvermex Resources) (stock symbol GGCRF) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, Silvermex Resources consented to the entry of an Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 thereunder and revoking the registration of each class of Silvermex Resources’ securities pursuant to Section 12(j) of the Exchange Act.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .
(Rel. 34-66578; File No. 3-14796)
Commission Revokes Registrations of Securities of Kings Road Entertainment, Inc. For Failure to Make Required Periodic Filings
On March 13, 2012, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the registration of each class of registered securities of Kings Road Entertainment, Inc. (Kings Road Entertainment) (stock symbol KREN) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, Kings Road Entertainment consented to the entry of an Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Kings Road Entertainment’s securities pursuant to Section 12(j) of the Exchange Act.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .
(Rel. 34-66579; File No. 3-14796)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against China MediaExpress Holdings, Inc. 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 China MediaExpress Holdings, Inc. (China Media) for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that China Media is delinquent in its required filings with the Commission. In particular, China Media has not filed its Form 10-K for the year ended December 31, 2010, which was due to be filed no later than March 31, 2011. Additionally, China Media, at the request of its former auditor, Deloitte Touche Tohmatsu Hong Kong (DTT HK), has informed the investing public that continuing reliance should no longer be placed on DTT HK’s prior audit report issued on China Media’s Form 10-K for the year ended December 31, 2009. Accordingly, China Media’s 2009 Form 10-K is materially deficient because it does not include audited financial statements. Further, China Media has made no periodic filings since November 8, 2010, when it filed its Form 10-Q for the period ended September 30, 2010.
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 China Media’s securities 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. 34-66586; File No. 3-14799)
Former StarMedia Executive Agrees to Settlement In SEC Litigation
The U.S. Securities and Exchange Commission today announced that on March 12, 2012, the U.S. District Court for the Southern District of New York entered a settled final judgment as to Adriana J. Kampfner, the former Senior Vice President of Global Sales for StarMedia Network, Inc., a now-defunct Internet portal, in Securities and Exchange Commission v. Fernando J. Espuelas et al., Civil Action No. 06 CV 2435 (PAE) (S.D.N.Y. filed Mar. 29, 2006). The Commission’s injunctive action alleged violations of the federal securities laws by eight former StarMedia executives. The Commission’s amended complaint alleges, in relevant part, that for fiscal year 2000 and the first two quarters of fiscal year 2001 StarMedia’s books and records misstated the company’s revenue. Without admitting or denying the allegations in the amended complaint, Kampfner consented to the entry of the final judgment permanently enjoining her from violating, or aiding and abetting violations of, corporate books and records provisions of the federal securities laws. [SEC v. Fernando J. Espuelas et al., Civil Action No. 06 CV 2435 (PAE) (S.D.N.Y.)] (LR-22285; AAE Rel. 3369)
District Court in New Mexico Orders Two Officers of United American Ventures to Pay $1 Million Penalties and $8.5 Million in Disgorgement
The U.S. Securities and Exchange Commission announced that a federal judge has ordered two current and former officers of United American Ventures, LLC to pay a total of $2 million in civil penalties and to disgorge over $8.5 million in ill-gotten profits in a securities fraud case.
The SEC litigated the case beginning in June 14, 2010 when the agency charged Eric J. Hollowell of Newport Beach, California, Philip Lee David Jack Thomas of Irvine, California, Matthew A. Dies of Corona, California, Anthony J. Oliva of Placitas, New Mexico, and United American Ventures, LLC, and Integra Investment Group, LLC with securities fraud. The complaint alleged that United American Ventures, LLC, which is also known as UAV, raised $10 million from at least 100 investors through the unregistered and fraudulent sale of convertible bonds. According to the complaint, Hollowell and Thomas founded UAV, with Hollowell acting as the company’s president from 2006 until 2009, when Thomas took over as president of the company.
The Honorable Judith C. Herrara in federal court in New Mexico granted judgment in favor of the SEC on March 2, 2012, finding Hollowell, Thomas, and United American Ventures, LLC jointly liable for disgorgement of $8,652,942 and prejudgment interest of $426,430. The court also assessed civil penalties of $1,000,000 each against Hollowell and Thomas. The court had previously enjoined Hollowell and Thomas from violating Section 10(b) of the Securities Exchange Act of 1934 as well as other provisions of federal securities laws.
The court also granted judgment in favor of the SEC finding Oliva and Integra Investment Group, LLC jointly liable for $284,039 in disgorgement, and Dies liable for $54,381 in disgorgement. It assessed a $130,000 civil penalty against Oliva and a $54,381 penalty against Dies.
For further information, see LR 21556 (June 14, 2010). See also LR 34-62973, 34-62974, 34-62975, and 34-62976.
[Securities and Exchange Commission v. United American Ventures, LLC, et al., Civil Case No. 10-cv-568-JCH/LFG (D. NM)] (LR-22286)
Investment company act releases
Pacific Life Insurance Company, et al.
An order has been issued on an application filed by Pacific Life Insurance Company, et al. for an exemption under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1 2(a) under the Act. The order (a) permits certain series of registered open-end management investment companies to acquire shares of other registered open-end management investment companies and unit investment trusts that are within or outside the same group of investment companies, and (b) permits certain series of registered open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29979 - March 12)
Joint Industry Plan releases
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information
The Options Price Reporting Authority filed with the Securities and Exchange Commission a notice of filing and immediate effectiveness of a proposed amendment pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608 thereunder (SR-OPRA-2012-02) to amend the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to revise OPRA’s Nonprofessional Subscriber Fee and its Usage-based Fee and adopt a new Enterprise Rate Nonprofessional Subscriber Fee. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-66564)
Self-Regulatory Organizations
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEARCA-2012-17) to amend the NYSE Arca Equities Fee 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 12. (Rel. 34-66568)
Approval of Proposed Rule Changes
The Commission has approved a proposed rule change (SR-FINRA-2011-067), filed by the Financial Industry Regulatory Authority, Inc., to amend FINRA Rules 13201 (Statutory Employment Discrimination Claims) and 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) to align with statutes that invalidate predispute arbitration agreements for whistleblower disputes. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-66575)
The Commission approved a proposed rule change by the New York Stock Exchange LLC (SR-NYSE-2012-01) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to establish an NYBX immediate-or-cancel order. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-66576)
Proposed Rule Changes
NASDAQ OMX PHLX LLC filed a proposed rule change (SR-Phlx-2012-28) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to the MSCI EAFE Index. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-66569)
Pursuant to Rule 19b-4 of the Securities Exchange Act of 1934, BATS Exchange, Inc. has filed with the Securities and Exchange Commission a proposed rule change (SR-BATS-2012-013) to make permanent the existing pilot program that permits BATS Exchange, Inc. to receive inbound routes of equities orders through BATS Trading, Inc., BATS Exchange’s routing broker-dealer, from BATS Y-Exchange, Inc. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-66571)
Pursuant to Rule 19b-4 of the Securities Exchange Act of 1934, BATS Y-Exchange, Inc. has filed with the Securities and Exchange Commission a proposed rule change (SR-BYX-2012-006) to make permanent the existing pilot program that permits BATS Y-Exchange, Inc. to receive inbound routes of equities orders through BATS Trading, Inc., BATS Y-Exchange’s routing broker-dealer, from BATS Exchange, Inc. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-66572)
The Fixed Income Clearing Corporation (FICC) filed a proposed rule change (SR-FICC-2012-02) under Section 19(b)(1) of the Securities Exchange Act of 1934 to remove functionality in the Government Securities Division’s rules that is no longer utilized by participants. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-66574)
Securities Act Registrations
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-3 Spansion Inc., 915 DEGUIGNE DRIVE, P.O. BOX 3453, SUNNYVALE, CA, 94088,
(408) 962-2500 - 11,402,557 ($124,401,896.87) Equity,
(File 333-180034 - Mar. 12) (BR. 10C)
S-8 AtriCure, Inc., 6217 CENTRE PARK DRIVE, WEST CHESTER, OH, 45069,
513-755-4107 - 531,999 ($5,309,350.02) Equity, (File 333-180037 -
Mar. 12) (BR. 10A)
S-8 IEC ELECTRONICS CORP, 105 NORTON ST, NEWARK, NY, 14513, 3153317742 -
150,000 ($709,500.00) Equity, (File 333-180041 - Mar. 12) (BR. 03C)
S-3ASR MEDIVATION, INC., 201 SPEAR STREET, 3RD FLOOR, SAN FRANCISCO, CA,
94105, 415-543-3470 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-180042 - Mar. 12) (BR. 01B)
S-1 TANGOE INC, 35 Executive Boulevard, Orange, CT, 06477, 203-859-9300 -
0 ($163,622,000.00) Equity, (File 333-180044 - Mar. 12) (BR. 03C)
S-3ASR SOUTHWEST GAS CORP, 5241 SPRING MOUNTAIN RD, PO BOX 98510, LAS VEGAS,
NV, 89193-8510, 7028767237 - 0 ($1.00) Equity, (File 333-180045 -
Mar. 12) (BR. 02B)
S-8 COWEN GROUP, INC., 599 LEXINGTON AVENUE, 20TH FLOOR, NEW YORK, NY,
10022, 212-845-7900 - 0 ($21,962,028.93) Equity, (File 333-180046 -
Mar. 12) (BR. 12A)
S-8 MONOLITHIC POWER SYSTEMS INC, 6409 GUADALUPE MINES ROAD, SAN JOSE, CA,
95120, (408) 826-0600 - 2,367,821 ($38,469,187.00) Equity,
(File 333-180047 - Mar. 12) (BR. 10B)
S-8 Alexza Pharmaceuticals Inc., 2091 STIERLIN COURT, MOUNTAIN VIEW, CA,
94043, 650.944.7000 - 0 ($1,191,245.06) Equity, (File 333-180048 -
Mar. 12) (BR. 01A)
S-3 ALAMO GROUP INC, 1627 E WALNUT, SEGUIN, TX, 78155, 8303791480 -
4,532,300 ($119,834,012.00) Equity, (File 333-180049 - Mar. 12)
(BR. 10A)
S-8 PALL CORP, 2200 NORTHERN BLVD, EAST HILLS, NY, 11548, 5164845400 -
7,100,000 ($430,402,000.00) Equity, (File 333-180050 - Mar. 12)
(BR. 06B)
F-3ASR Fibria Celulose S.A., ALAMEDA SANTOS 1357-8 ANDAR,
01419-908 SAO PAULO SP, BRAZIL 55-11-269-400, D5, 00000, 212-848-7335 -
0 ($0.00) Equity, (File 333-180051 - Mar. 12) (BR. 04A)
S-8 Rouse Properties, Inc., 110 NORTH WACKER DRIVE, CHICAGO, IL, 60606,
312 960-5000 - 0 ($71,755,795.96) Equity, (File 333-180052 - Mar. 12)
(BR. 08B)
S-8 DUNE ENERGY INC, TWO SHELL PLAZA, 777 WALKER STREET SUITE 2300,
HOUSTON, TX, 77002, 7132296300 - 0 ($11,082,500.00) Equity,
(File 333-180053 - Mar. 12) (BR. 04B)
S-3ASR AVON PRODUCTS INC, 1345 AVENUE OF THE AMERICAS, NEW YORK, NY,
10105-0196, 212-282-5000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-180054 - Mar. 12) (BR. 06A)
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
1.01
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Entry into a Material Definitive Agreement
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1.02
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Termination of a Material Definitive Agreement
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1.03
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Bankruptcy or Receivership
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2.01
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Completion of Acquisition or Disposition of Assets
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2.02
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Results of Operations and Financial Condition
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2.03
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Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
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2.04
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Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
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2.05
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Cost Associated with Exit or Disposal Activities
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2.06
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Material Impairments
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3.01
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Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
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3.02
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Unregistered Sales of Equity Securities
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3.03
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Material Modifications to Rights of Security Holders
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4.01
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Changes in Registrant's Certifying Accountant
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4.02
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Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
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5.01
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Changes in Control of Registrant
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5.02
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer
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5.03
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Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
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5.04
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Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
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5.05
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Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
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5.06
|
Change in Shell Company Status
|
6.01
|
ABS Informational and Computational Material.
|
6.02
|
Change of Servicer or Trustee.
|
6.03
|
Change in Credit Enhancement or Other External Support.
|
6.04
|
Failure to Make a Required Distribution.
|
6.05
|
Securities Act Updating Disclosure.
|
7.01
|
Regulation FD Disclosure
|
8.01
|
Other Events
|
9.01
|
Financial Statements and Exhibits
|
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-----------------------------------------------------------------------------------------
A. H. Belo CORP DE 5.02,8.01,9.01 03/08/12
AbitibiBowater Inc. DE 8.01,9.01 03/09/12
ACCO BRANDS CORP DE 7.01 03/12/12
ACE Ltd V8 5.03,9.01 03/08/12
AEP INDUSTRIES INC DE 2.02,9.01 03/12/12
AEROCENTURY CORP DE 1.01,2.02,2.03,9.01 03/06/12
AETNA INC /PA/ PA 7.01 03/12/12
ALAMO GROUP INC DE 2.02,9.01 03/07/12
Alexza Pharmaceuticals Inc. DE 2.02,9.01 03/12/12
ALL AMERICAN PET COMPANY, INC. MD 1.01,8.01,9.01 03/06/12
ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 03/12/12
ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 03/12/12
ALTERA CORP DE 7.01,9.01 03/08/12
AMERICAN INDEPENDENCE CORP DE 5.02 03/06/12
AMERICAN STATES WATER CO CA 2.02,9.01 03/12/12
AMERICAN TOWER CORP /MA/ DE 1.01,2.03,9.01 03/12/12
AMERICAS CARMART INC TX 1.01,2.03,9.01 03/09/12
AMERIPRISE FINANCIAL INC DE 7.01,9.01 03/12/12
AMERITRANS CAPITAL CORP DE 2.04,8.01 03/06/12
AMPAL-AMERICAN ISRAEL CORP NY 2.04 03/12/12
AMREP CORP. OK 2.02,9.01 03/09/12
AMYRIS, INC. DE 5.02 03/06/12
ANYTHINGIT INC DE 3.02,5.02,9.01 03/07/12
AON CORP DE 8.01,9.01 03/12/12
APARTMENT INVESTMENT & MANAGEMENT CO MD 7.01,9.01 03/12/12
ARBITRON INC DE 7.01,9.01 03/12/12
ARK RESTAURANTS CORP NY 8.01,9.01 03/07/12
Artio Global Investors Inc. DE 7.01,9.01 03/12/12
Ascend Acquisition Corp. DE 7.01,9.01 03/12/12
Ascent Capital Group, Inc. DE 2.02,9.01 03/12/12
ASTA FUNDING INC DE 8.01,9.01 03/09/12
ASTRO MED INC /NEW/ RI 5.02,8.01,9.01 03/09/12
ASURE SOFTWARE INC DE 1.01,2.02,3.02,9.01 03/10/12
Atkore International Holdings Inc. DE 1.01 03/06/12
Augme Technologies, Inc. DE 2.02,9.01 03/07/12
AUTOVATIVE PRODUCTS INC NV 4.01 03/09/12 AMEND
AVISTAR COMMUNICATIONS CORP DE 5.02 03/06/12
AXIS CAPITAL HOLDINGS LTD 8.01,9.01 03/12/12
Bacterin International Holdings, Inc. DE 7.01,9.01 03/12/12
BARFRESH FOOD GROUP INC. DE 4.01,9.01 03/08/12
BARNES & NOBLE INC DE 5.02,9.01 03/09/12
BILL BARRETT CORP DE 1.01,2.03,7.01,8.01, 03/12/12
9.01
BIOCRYST PHARMACEUTICALS INC DE 5.02,9.01 03/09/12
BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 03/12/12
BioDrain Medical, Inc. MN 5.02 03/09/12
BIONOVO INC DE 8.01,9.01 03/09/12
BIONOVO INC DE 1.01,8.01,9.01 03/12/12
BIOSPECIFICS TECHNOLOGIES CORP DE 7.01,9.01 03/12/12
BODY CENTRAL CORP 2.02,9.01 03/08/12
BofI Holding, Inc. DE 7.01,9.01 03/12/12
BOSTON BEER CO INC MA 8.01 03/09/12
BPZ RESOURCES, INC. TX 2.02,9.01 03/08/12
CADENCE PHARMACEUTICALS INC 2.02,9.01 03/12/12
CANO PETROLEUM, INC 5.02,9.01 03/06/12
CAPITALSOURCE INC DE 5.02 03/06/12
CAREER EDUCATION CORP DE 8.01 03/08/12
CARMIKE CINEMAS INC DE 2.02,9.01 03/12/12
CAS MEDICAL SYSTEMS INC DE 7.01,9.01 03/06/12 AMEND
CASCADE MICROTECH INC 8.01 03/12/12
CBRE GROUP, INC. DE 5.02,9.01 03/06/12
Ceelox Inc. 1.02,9.01 03/12/12
CENTRAL VALLEY COMMUNITY BANCORP CA 7.01 03/06/12
CENTURYLINK, INC LA 8.01,9.01 03/12/12
CHAMPION INDUSTRIES INC WV 2.02,9.01 03/12/12
China Biologic Products, Inc. 2.02,5.02,7.01,9.01 03/12/12
CHURCHILL DOWNS INC KY 2.02,9.01 03/12/12
CITIZENS BANCORP OF VIRGINIA INC VA 5.02 03/12/12
CLEAN DIESEL TECHNOLOGIES INC DE 2.02,7.01,9.01 03/12/12
Clean Energy Fuels Corp. DE 2.02,9.01 03/12/12
CMS ENERGY CORP MI 8.01,9.01 03/12/12
COFFEE HOLDING CO INC NV 7.01,9.01 03/12/12
Coleman Cable, Inc. DE 2.02,9.01 03/12/12
COMPLETE GENOMICS INC DE 1.01,9.01 03/08/12
Computer Software Innovations, Inc. DE 1.01,1.02,2.01,2.03, 03/01/12
3.03,8.01,9.01
CONCHO RESOURCES INC DE 1.01,2.03,9.01 03/07/12
CONOCOPHILLIPS DE 8.01,9.01 03/07/12
Constant Contact, Inc. DE 5.02,9.01 03/07/12
CONSTELLATION ENERGY GROUP INC MD 5.04,9.01 03/12/12
Converted Organics Inc. DE 3.02,8.01 03/07/12
Cooper-Standard Holdings Inc. DE 2.02,9.01 03/12/12
CORPORATE BOND BACKED CERT TR SER 199 8.01,9.01 03/01/12
CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 8.01 03/09/12
CORRECTIONS CORP OF AMERICA MD 8.01 03/12/12
COVENTRY HEALTH CARE INC DE 8.01,9.01 03/12/12
COVER ALL TECHNOLOGIES INC DE 5.02,9.01 03/12/12
Coyote Resources, Inc. NV 2.03,5.02,9.01 03/06/12
CPI AEROSTRUCTURES INC NY 1.01 03/06/12
CubeSmart MD 2.02,7.01,9.01 03/12/12
CUBIST PHARMACEUTICALS INC DE 5.02 03/08/12
CUMULUS MEDIA INC DE 2.02,9.01 03/12/12
CUMULUS MEDIA INC DE 7.01,9.01 03/12/12
DDI CORP CA 5.02 03/06/12
DEL MONTE CORP 2.02,7.01,9.01 03/12/12
DiamondRock Hospitality Co 2.03,7.01,9.01 03/09/12
DIEBOLD INC OH 8.01,9.01 03/12/12
DIGITALGLOBE INC 5.02,9.01 03/06/12
DISH Network CORP NV 2.01,8.01,9.01 03/09/12
DITECH NETWORKS INC DE 2.02,9.01 03/09/12
DOLPHIN DIGITAL MEDIA INC NV 7.01,9.01 03/12/12
DOUGLAS DYNAMICS, INC DE 2.02,9.01 03/12/12
DREAMS INC UT 2.02,7.01,9.01 03/12/12
DTE ENERGY CO MI 7.01,9.01 03/12/12
DYNAVAX TECHNOLOGIES CORP DE 5.02 03/09/12
EASYLINK SERVICES INTERNATIONAL CORP DE 2.02,9.01 03/12/12
EDUCATION MANAGEMENT CORPORATION 8.01 03/12/12
EDUCATION MANAGEMENT CORPORATION 1.01,2.03,9.01 03/09/12
ELECSYS CORP KS 2.02,9.01 03/12/12
EMERGING MEDIA HOLDINGS INC NV 3.02,5.01 03/06/12
EMMIS COMMUNICATIONS CORP IN 5.02,9.01 03/07/12
ENZON PHARMACEUTICALS INC DE 2.02,9.01 03/12/12
EQUITY LIFESTYLE PROPERTIES INC MD 2.02,7.01,9.01 03/09/12
EQUITY ONE, INC. 7.01,9.01 03/12/12
ESSEX PROPERTY TRUST INC MD 7.01,9.01 03/12/12
ESTERLINE TECHNOLOGIES CORP DE 5.07,8.01,9.01 03/07/12
EWaste Systems, Inc. NV 1.01,9.01 03/06/12
EXAR CORP DE 7.01,9.01 03/12/12
EXPRESS SCRIPTS INC DE 8.01 03/12/12
EXTREME NETWORKS INC DE 5.02,9.01 03/09/12
FIRST BANCSHARES INC /MO/ MO 8.01,9.01 03/12/12
FIRST BUSINESS FINANCIAL SERVICES, IN WI 7.01,9.01 03/12/12
FIRST CASH FINANCIAL SERVICES INC DE 8.01,9.01 03/12/12
FIRST FARMERS & MERCHANTS CORP TN 4.01,9.01 03/08/12
FIRST FARMERS & MERCHANTS CORP TN 2.02,9.01 03/08/12
FIRST SOUTH BANCORP INC /VA/ VA 8.01,9.01 03/12/12
Firsthand Technology Value Fund, Inc. 8.01,9.01 03/12/12
FLOTEK INDUSTRIES INC/CN/ DE 1.01,5.02,7.01,9.01 03/05/12
Fox Chase Bancorp Inc 2.02,9.01 03/09/12
Freescale Semiconductor Holdings I, L D0 8.01 03/07/12
FS Investment CORP MD 1.01 03/08/12
FX ENERGY INC NV 8.01,9.01 03/12/12
G&K SERVICES INC MN 1.01,1.02,2.03,7.01, 03/07/12
9.01
GBS Enterprises Inc NV 1.01,2.01,3.02,8.01, 12/30/10 AMEND
9.01
General Growth Properties, Inc. DE 7.01,9.01 03/12/12
GeoEye, Inc. DE 2.02,9.01 03/12/12
GLIMCHER REALTY TRUST MD 5.02 03/08/12
Global Income Trust, Inc. MD 7.01,8.01,9.01 03/08/12
Global Pharm Holdings Group, Inc. DE 8.01,9.01 03/12/12
Globalstar, Inc. DE 1.01,2.02,7.01,9.01 03/06/12
GNC HOLDINGS, INC. DE 2.02,7.01,9.01 03/12/12
GRUBB & ELLIS CO DE 8.01 03/09/12
GSV Capital Corp. MD 2.02,9.01 03/12/12
GT Advanced Technologies Inc. DE 1.01 03/08/12
GULFMARK OFFSHORE INC DE 1.01,2.03,3.03,7.01, 03/12/12
9.01
H&R BLOCK INC MO 7.01,9.01 03/12/12
HARRIS & HARRIS GROUP INC /NY/ NY 7.01,9.01 03/12/12
HARRIS INTERACTIVE INC DE 1.01,8.01,9.01 03/06/12
HARSCO CORP DE 5.02 03/07/12
HCC INSURANCE HOLDINGS INC/DE/ DE 5.02 03/12/12
HD SUPPLY, INC. DE 7.01,9.01 03/12/12
HELIX BIOMEDIX INC DE 1.01,3.02 03/06/12
HELIX ENERGY SOLUTIONS GROUP INC MN 1.01,2.03,9.01 03/12/12
HEWLETT PACKARD CO DE 8.01,9.01 03/07/12
HICKOK INC OH 5.07 03/07/12
HICKOK INC OH 5.02,7.01,9.01 03/07/12
HOLLY ENERGY PARTNERS LP DE 1.01,2.03,8.01,9.01 03/12/12
HOOPER HOLMES INC NY 2.02,9.01 03/09/12
Horizon Technology Finance Corp DE 2.02,9.01 03/12/12
HOSPITALITY PROPERTIES TRUST MD 1.01,2.03,8.01,9.01 03/12/12
HUMANA INC DE 7.01 03/12/12
Huntington Funding, LLC DE 6.05,9.01 03/12/12
HUTCHINSON TECHNOLOGY INC MN 8.01,9.01 03/09/12
IDT CORP DE 2.01,8.01,9.01 03/12/12
ILLUMINA INC DE 5.02,9.01 03/08/12
Inland American Real Estate Trust, In MD 7.01,9.01 03/12/12
Intellicell Biosciences, Inc. NV 1.01,3.02,9.01 02/24/12
INTER PARFUMS INC DE 2.02,7.01,8.01,9.01 03/12/12
INTERFACE INC GA 8.01 03/12/12
INTERNATIONAL FLAVORS & FRAGRANCES IN NY 5.03,9.01 03/06/12
INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01 03/09/12
INVESTORS REAL ESTATE TRUST ND 2.02,7.01,9.01 03/12/12
ISC8 INC. /DE DE 5.07 03/06/12
JETBLUE AIRWAYS CORP DE 7.01,8.01,9.01 03/12/12
Jingwei International LTD NV 3.01,9.01 03/09/11
John Bean Technologies CORP DE 7.01,9.01 03/09/12
KEMPER Corp DE 1.01,1.02,2.03,9.01 03/07/12
KITE REALTY GROUP TRUST MD 7.01 03/09/12
KITE REALTY GROUP TRUST MD 1.01,5.03,9.01 03/12/12
KULICKE & SOFFA INDUSTRIES INC PA 1.02 03/07/12
LEAP WIRELESS INTERNATIONAL INC DE 5.02 03/07/12
LEHMAN ABS CORP BCKD TR CRTS TOYS R U DE 8.01,9.01 03/01/12
LEHMAN ABS CORP KINDER MORGAN DEBEN B DE 8.01,9.01 03/01/12
LEHMAN BROTHERS HOLDINGS INC DE 1.01,1.03,3.03,5.01, 03/06/12
5.02,5.03,9.01
Limoneira CO DE 2.02,9.01 03/12/12
LRI HOLDINGS, INC. 2.02,9.01 03/12/12
LTS Nutraceuticals, Inc. NV 7.01,9.01 03/10/12
Lumber Liquidators Holdings, Inc. 5.02,9.01 03/07/12
MASIMO CORP DE 7.01,9.01 03/12/12
McEwen Mining Inc. CO 5.03,8.01,9.01 03/08/12
MEDASSETS INC DE 5.02,7.01,9.01 03/09/12
MEDCO HEALTH SOLUTIONS INC DE 8.01 03/12/12
MEDIA GENERAL INC VA 8.01 03/12/12
MGT CAPITAL INVESTMENTS INC DE 8.01,9.01 03/08/12
MICRO IMAGING TECHNOLOGY, INC. CA 1.01,7.01,9.01 03/07/12
MIDDLEBY CORP DE 2.02,9.01 03/09/12
Midway Gold Corp A1 2.02,7.01,9.01 03/09/12
MILLER ENERGY RESOURCES, INC. 2.02,7.01,9.01 03/12/12
MINERALS TECHNOLOGIES INC DE 5.02 03/12/12
MOCON INC MN 1.01,7.01,9.01 03/09/12
MOKITA, INC. NV 5.02 03/08/12
MS STRUCTURED SATURNS SERIES 2005-3 DE 8.01,9.01 03/01/12
National American University Holdings DE 7.01,9.01 03/12/12
NATIONAL FINANCIAL PARTNERS CORP 5.02,9.01 03/12/12
NAUTILUS, INC. WA 2.02,9.01 03/12/12
NAVARRE CORP /MN/ MN 5.03,9.01 03/08/12
NETSUITE INC DE 5.02 03/06/12
NEW YORK MORTGAGE TRUST INC MD 7.01,9.01 03/09/12
NEWCASTLE INVESTMENT CORP MD 1.01,9.01 03/06/12
NEWLINK GENETICS CORP 5.02,9.01 03/09/12
NEWS CORP 8.01,9.01 03/12/12
NN INC DE 2.02,9.01 03/12/12
NSTAR/MA 5.02,9.01 03/12/12
NTS MORTGAGE INCOME FUND DE 8.01,9.01 03/09/12 AMEND
OFFICE DEPOT INC DE 8.01,9.01 03/12/12
OHIO LEGACY CORP OH 3.01 03/08/12
ON SEMICONDUCTOR CORP DE 8.01,9.01 03/12/12
OptimumBank Holdings, Inc. FL 3.01 03/12/12
ORBCOMM Inc. DE 5.02 03/08/12
Orient Paper Inc. NV 7.01,9.01 03/12/12
ORRSTOWN FINANCIAL SERVICES INC PA 2.02,9.01 03/12/12
PACIFIC CAPITAL BANCORP /CA/ DE 1.01,5.07,9.01 03/09/12
PACIFIC PREMIER BANCORP INC DE 5.02,9.01 03/08/12
PANHANDLE OIL & GAS INC OK 5.02,5.07 03/08/12
PC MALL INC DE 8.01,9.01 03/12/12
PEPSICO INC NC 5.02,5.03,7.01,9.01 03/08/12
PG&E CORP CA 8.01 03/12/12
PGT, Inc. DE 5.02 03/08/12
PHOENIX COMPANIES INC/DE DE 5.02,9.01 03/07/12
PIMI AGRO CLEANTECH, INC. DE 1.01,3.02,5.03,9.01 03/09/12
PIZZA INN HOLDINGS, INC /MO/ MO 7.01 03/12/12
PLATINUM ENERGY SOLUTIONS, INC. NV 1.01,5.02 03/06/12
PLC SYSTEMS INC B0 1.01,3.02,9.01 03/12/12
POKERTEK, INC. NC 4.02 03/12/12
POLYONE CORP 5.02,9.01 03/07/12
Polypore International, Inc. 8.01 03/12/12
POWER-SAVE ENERGY CO UT 1.01,2.01,3.02,5.01, 03/12/12
5.02
POWER-SAVE ENERGY CO UT 1.01,2.01,3.02,5.01, 03/12/12
5.02
Prestige Brands Holdings, Inc. 7.01,9.01 03/12/12
PRICELINE COM INC DE 1.01,3.02,9.01 03/07/12
PRINCETON REVIEW INC DE 5.02,9.01 03/06/12
PULSE ELECTRONICS CORP PA 2.02,9.01 03/12/12
QUESTCOR PHARMACEUTICALS INC CA 7.01,9.01 03/12/12
QUIKSILVER INC DE 5.02,9.01 03/06/12
RAIT Financial Trust MD 1.01,9.01 03/06/12
Resolute Energy Corp DE 2.02,5.02,8.01,9.01 03/08/12
Rhino Resource Partners LP DE 1.01,9.01 03/06/12
RVUE HOLDINGS, INC. NV 5.02,8.01,9.01 03/09/12
S&T BANCORP INC PA 2.01,9.01 03/09/12
Sagent Pharmaceuticals, Inc. DE 5.02 03/07/12
SALIX PHARMACEUTICALS LTD 7.01,9.01 03/12/12
SBA COMMUNICATIONS CORP FL 1.01,9.01 03/07/12
SEITEL INC DE 2.02,9.01 03/12/12
Select Income REIT MD 1.01,2.03,5.02,5.03, 03/06/12
8.01,9.01
SMART ONLINE INC DE 2.03,3.02 03/09/12
SMITH & WESSON HOLDING CORP NV 7.01,9.01 03/12/12
SOUTHERN CALIFORNIA EDISON CO CA 8.01,9.01 03/08/12
SOUTHERN UNION CO DE 8.01,9.01 03/12/12
SOUTHWEST BANCORP INC OK 5.02 10/02/11
SPIRE Corp MA 1.01,2.01,9.01 03/09/12
Spirit Airlines, Inc. DE 7.01,9.01 03/12/12
SRS LABS INC DE 2.02,9.01 03/12/12
Start Scientific, Inc. UT 1.01,3.02 03/01/12
STRONGBOW RESOURCES INC. NV 5.02 03/07/12
SUN HYDRAULICS CORP FL 2.02,8.01,9.01 03/12/12
Sunshine Heart, Inc. DE 7.01,9.01 03/12/12
SUPERIOR ENERGY SERVICES INC DE 5.02,5.03,9.01 03/07/12
SUSQUEHANNA BANCSHARES INC PA 7.01,9.01 03/12/12
Swank, Inc. DE 8.01,9.01 03/12/12
Synacor, Inc. DE 2.02,9.01 03/12/12
Synthetic Biologics, Inc. DE 1.01,2.01,9.01 03/09/12
SYNTROLEUM CORP DE 8.01,9.01 03/07/12
TECUMSEH PRODUCTS CO MI 2.02,9.01 03/12/12
TELEFLEX INC DE 5.02,7.01,9.01 03/09/12
TELEPHONE & DATA SYSTEMS INC /DE/ DE 5.02,9.01 03/09/12
Terreno Realty Corp MD 4.01,9.01 03/06/12
TESORO LOGISTICS LP DE 5.02,9.01 03/12/12
TETRA TECHNOLOGIES INC DE 7.01,9.01 03/09/12
THESTREET, INC. DE 2.02,5.02 03/09/12
TIFFANY & CO DE 7.01 03/12/12
TRANS LUX CORP DE 3.03,5.02,5.03,5.07, 03/09/12
9.01
TRANZYME INC DE 8.01,9.01 03/12/12
TRIM HOLDING GROUP NV 5.02 03/09/12
TYCO INTERNATIONAL LTD V8 5.07,8.01,9.01 03/07/12
U.S. Auto Parts Network, Inc. DE 7.01,9.01 03/09/12
UDR, Inc. MD 7.01,9.01 03/12/12
ULURU INC. NV 3.01,8.01,9.01 03/12/12
Uni-Pixel DE 8.01,9.01 03/12/12
UNIONBANCAL CORP DE 1.01,7.01,8.01,9.01 03/09/12
UNITED RENTALS INC /DE DE 1.01,2.03,8.01,9.01 03/09/12
UNITED STATES STEEL CORP DE 8.01,9.01 03/12/12
UNITEDHEALTH GROUP INC MN 7.01 03/12/12
UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 03/12/12
URANIUM ENERGY CORP NV 7.01,9.01 03/12/12
VERIFONE SYSTEMS, INC. DE 7.01 03/09/12
ViewPoint Financial Group Inc. 8.01,9.01 03/09/12
WASHINGTON MUTUAL, INC WA 1.01,9.01 03/06/12
WASHINGTON TRUST BANCORP INC RI 5.02 03/06/12
WHOLE FOODS MARKET INC TX 5.07,8.01 03/09/12
YORK WATER CO PA 2.02,9.01 03/12/12
YTB International, Inc. DE 7.01,9.01 03/10/12
ZOLL MEDICAL CORP MA 1.01,3.03,8.01,9.01 03/12/12
http://www.sec.gov/news/digest/2012/dig031312.htm
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