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Commission announcementsSecurities and Exchange Commission Suspends Trading in the Securities of ASP Ventures Corp. For Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of ASP Ventures Corp. (APVE), commencing at 9:30 a.m. EDT on March 15, 2012 and terminating at 11:59 p.m. EDT on March 28, 2012. The Commission temporarily suspended trading in the securities of APVE due to a lack of current and accurate information about the company because it has not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by this company. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspension, no quotation may be entered relating to the securities of the subject company unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of this company that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-66603) Securities and Exchange Commission Suspends Trading in the Securities of Asiamart, Inc. For Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of Asiamart, Inc. (AAMA), commencing at 9:30 a.m. EDT on March 15, 2012 and terminating at 11:59 p.m. EDT on March 28, 2012. The Commission temporarily suspended trading in the securities of AAMA due to a lack of current and accurate information about the company because it has not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by this company. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspension, no quotation may be entered relating to the securities of the subject company unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of this company that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-66605) Securities and Exchange Commission Suspends Trading in the Securities of Eugene Science, Inc. For Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of Eugene Science, Inc. (EUSI), commencing at 9:30 a.m. EDT on March 15, 2012 and terminating at 11:59 p.m. EDT on March 28, 2012. The Commission temporarily suspended trading in the securities of EUSI due to a lack of current and accurate information about the company because it has not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by this company. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspension, no quotation may be entered relating to the securities of the subject company unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of this company that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-66607) SEC Charges Chicago-Based Management Consultant With Insider TradingThe Securities and Exchange Commission today charged a Chicago-based management consultant with insider trading based on confidential information about his client’s impending takeover of a Long Island-based vitamin company. The SEC alleges that Sherif Mityas and others at his global management consulting firm were retained by Washington, D.C.-based private equity firm The Carlyle Group to provide strategic advice related to the acquisition of NBTY Inc. That same month, Mityas purchased NBTY stock and subsequently tipped a relative who also bought NBTY shares. After Carlyle publicly announced its acquisition of NBTY, Mityas and his relative sold their NBTY stock for a combined profit of nearly $38,000. Mityas, who is a partner and vice president at the firm, has agreed to pay more than $78,000 to settle the SEC’s charges. In a parallel action, the U.S. Attorney’s Office for the Eastern District of New York today announced the unsealing of criminal charges against Mityas. “Mityas was entrusted with highly confidential information but, driven by greed, he violated that trust and jeopardized a successful consulting career for the chance to make a quick buck,” said Sanjay Wadhwa, Deputy Chief of the SEC’s Market Abuse Unit and Associate Director of the New York Regional Office. “Corporate transactions such as mergers and acquisitions demand confidentiality until they become public, and not just from company employees but also from the lawyers, accountants, consultants, and others who work on the deals.” According to the SEC’s complaint filed in U.S. District Court for the Eastern District of New York, Mityas’s firm was retained by Carlyle in May 2010. Only five days after being told during a May 17 conference call that NBTY was Carlyle’s acquisition target, Mityas moved $50,000 from a bank account he shared with a relative into a brokerage account they shared. On May 27, he transferred $49,000 from that brokerage account to a different relative’s brokerage account that he controlled as custodian, and then used those funds to purchase 1,300 shares of NBTY at a cost of more than $44,000. On July 7, based on a tip from Mityas, yet another relative bought 440 shares of NBTY stock. That same relative bought an additional 210 shares on July 14. Carlyle’s acquisition of NBTY was publicly announced the following day. Mityas sold all of his shares only three hours after the announcement was made, for an illegal profit of $25,896. The relative held the shares purchased on July 7 and 14 through the completion of the merger, and sold all of the shares on October 1 for an illicit profit of $12,035. The SEC’s complaint charges Mityas with violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The settlement, which is subject to court approval, would require Mityas to pay disgorgement of his and his relative’s ill-gotten gains totaling $37,931, plus prejudgment interest of $2,375.39, and a penalty of $37,931. The settlement also would bar Mityas from serving as an officer or director of a public company and permanently enjoin him from future violations of these provisions of the federal securities laws. The SEC’s investigation was conducted by Daniel R. Marcus and Amelia A. Cottrell – members of the SEC’s Market Abuse Unit in New York – and Layla Mayer of the SEC’s New York Regional Office. The SEC acknowledges the assistance of the U.S. Attorney’s Office for the Eastern District of New York, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority (FINRA). The SEC’s investigation is continuing. (Press Rel. 2012-44; (LR-22293) SEC Charges Bay Area Investment Adviser For Defrauding Investors With Bogus Audit ReportThe Securities and Exchange Commission today charged a San Francisco-area investment adviser with defrauding investors by giving them a bogus audit report that embellished the financial performance of the fund in which they were investing. The SEC alleges that James Michael Murray raised more than $4.5 million from investors in his various funds including Market Neutral Trading LLC (MNT), a purported hedge fund that claimed to invest primarily in domestic equities. Murray provided MNT investors with a report purportedly prepared by independent auditor Jones, Moore & Associates (JMA). However, JMA is not a legitimate accounting firm but rather a shell company that Murray secretly created and controlled. The phony audit report misstated the financial condition and performance of MNT to investors.
The U.S. Attorney’s Office for the Northern District of California also has filed criminal charges against Murray in a complaint unsealed yesterday. According to the SEC’s complaint filed in federal court in San Francisco, Murray began raising the funds from investors in 2008. The following year, MNT distributed the phony audit report to investors claiming the audit was conducted by a legitimate third-party accounting firm. However, JMA is not registered or licensed as an accounting firm in Delaware, where it purports to do business. JMA’s website was paid for by a Murray-controlled entity and listed 12 professionals with specific degrees and licenses who supposedly work for JMA. However, at least five of these professionals do not exist, including the two named principals of the firm: “Richard Jones” and “Joseph Moore.” Murray has attempted to open brokerage accounts in the name of JMA, identified himself as JMA’s chief financial officer, and called brokerage firms falsely claiming to be the principal identified on most JMA documents. The SEC alleges that the bogus audit report provided to investors understated the costs of MNT’s investments and thus overstated the fund’s investment gains by approximately 90 percent. The JMA audit report also overstated MNT’s income by approximately 35 percent, its member capital by approximately 18 percent, and its total assets by approximately 10 percent. The SEC’s complaint charges Murray with violating an SEC rule prohibiting fraud by investment advisers on investors in a pooled investment vehicle. The complaint seeks injunctive relief and financial penalties from Murray. The SEC’s investigation was conducted by Karen Kreuzkamp and Robert S. Leach of the San Francisco Regional Office following an examination of MNT conducted by Yvette Panetta and Doreen Piccirillo of the New York Regional Office’s broker-dealer examination program. The SEC’s litigation will be led by Robert L. Mitchell of the San Francisco Regional Office. The SEC thanks the U.S. Attorney’s Office for the Northern District of California and the U.S. Secret Service for their assistance in this matter. (Press Rel. 2012-45) SEC Charges Senior Executives at California-Based Firm in Stock Lending SchemeThe Securities and Exchange Commission today charged two senior executives and their California-based firm with defrauding officers and directors at publicly-traded companies in an elaborate $8 million stock lending scheme. The SEC alleges that Argyll Investments LLC’s purported stock-collateralized loan business is merely a fraud perpetrated by James T. Miceli and Douglas A. McClain, Jr. to acquire publicly traded stock from corporate officers and directors at a discounted price from market value, separately sell the shares for full market value in order to fund the loan, and use the remaining proceeds from the sale of the collateral for their own personal benefit. Miceli, McClain, and Argyll typically lied to borrowers by explicitly telling them that their collateral would not be sold unless a default occurred. However, since Argyll had no independent source of funds other than the borrowers’ collateral, Argyll often sold the collateral prior to closing the loan and then used the proceeds to fund it. “Miceli and McClain thought they had devised a foolproof way to make substantial risk-free profits, but their purported business model was nothing more than an illegal get-rich-quick scheme,” said Scott W. Friestad, Associate Director of the SEC’s Division of Enforcement. Also charged in the SEC’s complaint filed in U.S. District Court for the Southern District of California is a broker through which Argyll attracted potential borrowers. The SEC alleges that AmeriFund Capital Finance LLC and its owner Jeffrey Spanier violated the federal securities laws by brokering numerous transactions for Argyll while not registered with the SEC. The SEC alleges that Miceli and McClain induced at least nine corporate officers and directors since 2009 to transfer ownership of millions of shares of stock to Argyll as collateral for purported loans. Miceli and McClain promised to return the stock to the borrowers when the loans were repaid. However, rather than retaining the collateral shares as required, they sold the shares without the borrowers’ knowledge before or soon after funding the loans. In many cases, they used the proceeds from the collateral sales to fund the loans. Because Argyll typically loaned the borrowers 30 to 50 percent less than the current market value of the shares, the company retained substantial proceeds even after funding the loans. As a result of the scheme, Argyll reaped more than $8 million in unlawful gains that Miceli and McClain used in part toward their personal expenses. In addition to the fraud charges against Miceli, McClain, and Argyll, the SEC alleges that they violated the federal securities laws by improperly selling the collateral shares – all of which were restricted securities – into the public markets in unregistered transactions. They also failed to register with the SEC as brokers or dealers. The SEC’s complaint alleges that Miceli, McClain, and Argyll violated Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 5(a) and 5(c) of the Securities Act of 1933, and that Spanier and AmeriFund violated Section 15(a) of the Exchange Act. The SEC is seeking permanent injunctions, disgorgement of ill-gotten gains with prejudgment interest, and financial penalties. The SEC’s investigation was conducted by Jacob D. Krawitz, Anthony S. Kelly, and Anik Shah, and supervised by Julie M. Riewe. The SEC’s litigation effort will be led by Dean Conway. The SEC thanks the U.S. Attorney’s Office for the Southern District of California and the Federal Bureau of Investigation for their assistance with this matter. (Press Rel. 2012-46) Commission MeetingsClosed Meeting on Thursday, March 22, 2012 at 1:00 p.m.The subject matter of the Closed Meeting scheduled for Thursday, March 22, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; 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 Orders Hearings on Registration Suspension or Revocation Against ASP Ventures Corp. for Failure to Make Required Periodic Filings In conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of ASP Ventures Corp. (APVE), for failure to make required periodic filings with the Commission. In the Matter of ASP Ventures Corp., Administrative Proceeding File No. 3-14803. In this Order, the Division of Enforcement (Division) alleges that APVE is delinquent in its required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registration pursuant to Exchange Act Section 12 of each class of the securities of this Respondent should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-66604; File No. 3-14803) Commission Orders Hearings on Registration Suspension or Revocation Against Asiamart, Inc. for Failure to Make Required Periodic Filings In conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of Asiamart, Inc. (AAMA), for failure to make required periodic filings with the Commission. In the Matter of Asiamart, Inc., Administrative Proceeding File No. 3-14804. In this Order, the Division of Enforcement (Division) alleges that AAMA is delinquent in its required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registration pursuant to Exchange Act Section 12 of each class of the securities of this Respondent should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-66606; File No. 3-14804) Commission Orders Hearings on Registration Suspension or Revocation Against Eugene Science, Inc. for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of Eugene Science, Inc. (EUSI), for failure to make required periodic filings with the Commission. In the Matter of Eugene Science, Inc., Administrative Proceeding File No. 3-14805. In this Order, the Division of Enforcement (Division) alleges that EUSI is delinquent in its required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registration pursuant to Exchange Act Section 12 of each class of the securities of this Respondent should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-66608; File No. 3-14805) Commission Remands Proceeding Involving DTC'S Suspension of Services With Respect To Issuer's SecuritiesThe Commission has remanded to the Depository Trust Company ("DTC") an appeal by International Power Group, Ltd. ("IPWG") of DTC's suspension of clearance and settlement services with respect to IPWG's securities. The Commission found that IPWG was entitled to Commission review of DTC's action and that DTC did not provide IPWG with adequate fair procedure in connection with the suspension. The Commission remanded the proceeding for a fair procedure and the development of the record in accordance with the Commission's opinion. (Rel. 34-66611; File No. 3-13687) Court Enters Order Amending Final Judgment Against Agile Group Founder and Head Portfolio Manager Neal R. GreenbergThe U.S. Securities and Exchange Commission announced today that the United States District Court for the District of Colorado entered an Order amending a February 11, 2011 Final Judgment wherein Greenberg, without admitting or denying the Commission’s allegations, consented to the entry of a Final Judgment that enjoined him from violations of Sections 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rules 206(4)-2, 206(4)-7, and 206(4)-8 thereunder. Greenberg was the former Chief Executive Officer and majority owner of registered investment adviser Tactical Allocation Services LLC (TAS) and the founder and head portfolio manager for a registered investment adviser wholly-owned by TAS, Agile Group LLC (Agile Group). The Final Judgment also found that Greenberg was liable for disgorgement of $3,941,185, plus prejudgment interest, but based on his financial condition waived payment of all but $330,000 of that amount and, in addition, required Greenberg to surrender his interests in certain Agile Group hedge funds. The Final Judgment imposed no penalty based on Greenberg’s financial condition and prohibited Greenberg from seeking reimbursement for the money and fund interests he was disgorging. Greenberg paid the $330,000 and those funds were distributed to Agile investors under a Court approved equitable distribution plan. On January 31, 2012, the Commission moved for an order requiring Greenberg to pay the unpaid portion of his disgorgement, pre- and post-judgment interest thereon, and a maximum civil penalty, alleging that Greenberg’s statement of financial condition on which the Final Judgment was based was incomplete. The Order, to which Greenberg stipulated, finds Greenberg liable for disgorgement of $3,998,145, representing the unpaid portion of the amount ordered to be disgorged in the Final Judgment (original $4,328,145 judgment comprised of $3,941,185 in disgorgement and $386,960 in prejudgment interest, offset by the $330,000 Greenberg paid on January 24, 2011). It further orders Greenberg to pay a civil penalty in the amount of $3,941,185, and post-judgment interest through February 29, 2012 of $130,480.03. The Order further imposes a freeze on Greenberg’s assets. According to the SEC’s original complaint in this matter, extensive losses were suffered by affiliated hedge funds managed and recommended by Greenberg, including the Agile Safety Fund, the Agile Safety Fund International, and the Agile Safety Variable Fund (collectively Agile hedge funds). The Agile hedge funds were marketed and managed by affiliated investment advisers Agile Group and TAS. The Commission’s complaint alleged that Greenberg negligently misrepresented the safety, suitability, and diversification of the Agile hedge funds to TAS clients, in many cases conservative investors in or near retirement. Further, the complaint alleged that Greenberg made inadequate disclosure concerning advisory fees; failed to implement adequate compliance policies and procedures; failed to properly supervise his subordinate investment advisers; and failed to provide account statements and annual reports to his clients. [SEC v. Neal R. Greenberg, 11-cv-00313-JLK (D. CO)] (LR-22291) Court Orders Former Broker to Pay Over $500,000 For Defrauding 9/11 WidowThe Securities and Exchange Commission announced that a federal judge in Massachusetts entered a final judgment on March 14, 2012 ordering defendant James J. Konaxis, formerly a registered representative of Beverly-based broker-dealer Sentinel Securities, Inc., to disgorge more than $483,000 in commissions earned over a two-year period by defrauding a former customer who was left widowed by the September 11, 2001 terrorist attacks. Together with prejudgment interested and a civil penalty, Konaxis has been ordered to pay a total of $514,954. In granting the Commission’s motion for monetary remedies, Judge Denise L. Casper found that Konaxis was liable in the amount of all commissions earned from three of the victim’s accounts over a two-year period because he “misled the victim into thinking her investments were safe, while churning (e.g., excessively trading) her funds in a manner contrary to her interests[.]” According to the Commission’s complaint, Konaxis violated Section 17(a) of the Securities Act of 1933 (“Securities Act”) and Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 10b-5 thereunder by excessively trading his customer’s funds while knowingly or recklessly disregarding her interests. During a two-year period, the Commission alleges that the value of his customer’s accounts (funded by payments made to the victim and her family by the September 11th Victim Compensation Fund) decreased from approximately $3.7 million to approximately $1.6 million, much of which was due to Konaxis’s investments and the resulting commissions paid to Konaxis. At the time the Commission’s complaint was filed, Konaxis entered into a partial settlement with the Commission, in which he consented to be enjoined from future violations of the antifraud provisions of the Securities Act and Exchange Act, and to be barred from participating in any offering of penny stock. In addition, as part of the settlement, Konaxis agreed to be barred in related administrative proceedings from any future association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent. However, the Commission also filed a motion with the Court seeking disgorgement of ill-gotten gains plus pre-judgment interest, and the imposition of a civil penalty, which Konaxis opposed. After a hearing on March 1, 2012, Judge Denise L. Casper issued an order granting the Commission’s motion for monetary remedies, including disgorgement in the full amount of Konaxis’ commissions earned over a two-year period from the three accounts churned, totaling $483,460.23, prejudgment interest in the amount of $31,494.44, and a civil penalty of $10,000, for a total of $514,954. [SEC v. James J. Konaxis, 1:11-CV-10489 (District of Massachusetts] (LR-22294) INVESTMENT COMPANY ACT RELEASESColumbia Funds Master Investment Trust, LLC, et al.A notice has been issued giving interested persons until April 9, 2012, to request a hearing on an application filed by Columbia Funds Master Investment Trust, LLC; Columbia Funds Series Trust; Columbia Funds Series Trust I; Columbia Funds Series Trust II; Columbia Funds Variable Insurance Trust; Columbia Funds Variable Insurance Trust I; Columbia Funds Variable Series Trust II; Columbia Management Investment Advisers, LLC; and Columbia Management Investment Distributors, Inc. for an order 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 would permit open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29980 - March 13) Capital Research and Management Company, et al.A notice has been issued giving interested persons until April 9, 2012 to request a hearing on an application filed by Capital Research and Management Company, et al., for an order 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 would permit open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29981 - March 14) 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 Energy Recovery, Inc., 1717 DOOLITTLE DRIVE, SAN LEANDRO, CA, 94577, (510) 483-7370 - 0 ($8,136,000.00) Equity, (File 333-180076 - Mar. 14) (BR. 10A) S-3D Cole Credit Property Trust III, Inc., 2325 EAST CAMELBACK ROAD, SUITE 1100, PHOENIX, AZ, 85016, 602-778-8700 - 0 ($712,500,000.00) Equity, (File 333-180077 - Mar. 14) (BR. 08B) S-1 ZYNGA INC, 699 EIGHTH STREET, SAN FRANCISCO, CA, 94103, 800-762-2530 - 0 ($400,000,000.00) Equity, (File 333-180078 - Mar. 14) (BR. 03A) N-2 PennantPark Floating Rate Capital Ltd., 590 MADISON AVENUE, 15TH FLOOR, NEW YORK, NY, 10022, (212) 905-1000 - 0 ($150,000,000.00) Unallocated (Universal) Shelf, (File 333-180084 - Mar. 14) (BR. 17) S-8 TE Connectivity Ltd., RHEINSTRASSE 20, CH-8200 SCHAFFHAUSEN, V8, 1, 41 (0)52 633 6661 - 0 ($707,100,000.00) Other, (File 333-180085 - Mar. 14) (BR. 10C) S-8 MEDIZONE INTERNATIONAL INC, 2330 MARINSHIP WAY, SUITE 300, SAUSALITO, CA, 94965, (415) 331-0303 - 10,000,000 ($2,052,500.00) Equity, (File 333-180087 - Mar. 14) (BR. 09B) S-8 AKAMAI TECHNOLOGIES INC, 8 CAMBRIDGE CENTER, CAMBRIDGE, MA, 02142, 6174443000 - 1,100,000 ($38,874,000.00) Equity, (File 333-180088 - Mar. 14) (BR. 03B) S-1 Ascend Acquisition Corp., 435 DEVON PARK DRIVE, BUILDING 400, WAYNE, PA, 19087, 610-293-2512 - 0 ($6,068,994.50) Equity, (File 333-180090 - Mar. 14) (BR. 03B) S-3ASR ANWORTH MORTGAGE ASSET CORP, 1299 OCEAN AVENUE, SUITE 250, SANTA MONICA, CA, 90401, 310-255-4493 - 0 ($178,470,000.00) Equity, (File 333-180093 - Mar. 14) (BR. 08C) S-3ASR FORD MOTOR CREDIT CO LLC, ONE AMERICAN ROAD, DEARBORN, MI, 48126, 313-322-3000 - 0 ($0.00) Non-Convertible Debt, (File 333-180094 - Mar. 14) (BR. 07C) S-8 NEOGENOMICS INC, 1726 MEDICAL BOULEVARD, SUITE 201, SUITE 201, NAPLES, FL, 34108, 9419231949 - 30,600 ($51,102.00) Equity, (File 333-180095 - Mar. 14) (BR. 09A) S-3ASR AMERIGAS PARTNERS LP, 460 N GULPH RD, BOX 965, VALLEY FORGE, PA, 19406, 6103377000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-180096 - Mar. 14) (BR. 02B) S-3 Gevo, Inc., 345 INVERNESS DRIVE SOUTH, BUILDING C, Suite 310, ENGLEWOOD, CO, 80112, 303-858-8358 - 0 ($150,000,000.00) Unallocated (Universal) Shelf, (File 333-180097 - Mar. 14) (BR. 06A) S-3 GSI GROUP INC, 125 MIDDLESEX TURNPIKE, ., BEDFORD, MA, 01730, 781-266-5618 - 0 ($231,864,000.00) Equity, (File 333-180098 - Mar. 14) (BR. 10B) S-8 HALCON RESOURCES CORP, 1000 LOUISIANA STREET, SUITE 6700, HOUSTON, TX, 77002, 832-538-0300 - 0 ($12,407,340.00) Equity, (File 333-180099 - Mar. 14) (BR. 04A) S-8 SOLTA MEDICAL INC, 25881 INDUSTRIAL BOULEVARD, HAYWARD, CA, 94545, 5107822286 - 2,700,000 ($7,722,000.00) Equity, (File 333-180100 - Mar. 14) (BR. 10C) S-8 SUNESIS PHARMACEUTICALS INC, 395 OYSTER POINT BOULEVARD, SUITE 400, SOUTH SAN FRANCISCO, CA, 94080, 650-266-3500 - 1,870,968 ($4,265,807.04) Equity, (File 333-180101 - Mar. 14) (BR. 01B) S-3 METALS USA HOLDINGS CORP., 2400 E. COMMERCIAL BLVD., SUITE 905, FORT LAUDERDALE, FL, 33308, 954-202-4000 - 23,728,650 ($301,828,428.00) Equity, 23,728,650 ($200,000,000.00) Other, (File 333-180102 - Mar. 14) (BR. 05A) S-8 Trius Therapeutics Inc, 6310 NANCY RIDGE DR SUITE 105, SAN DIEGO, CA, 92121, 858-452-0370 - 0 ($4,528,870.00) Equity, (File 333-180103 - Mar. 14) (BR. 01B) S-3ASR GREAT PLAINS ENERGY INC, 1200 MAIN ST., KANSAS CITY, MO, 64106, 8165562200 - 0 ($19,585,000.00) Equity, (File 333-180104 - Mar. 14) (BR. 02B) S-3ASR GREAT PLAINS ENERGY INC, 1200 MAIN ST., KANSAS CITY, MO, 64106, 8165562200 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-180105 - Mar. 14) (BR. 02B) S-8 PULSE ELECTRONICS CORP, 1210 NORTHBROOK DR, SUITE 470, TREVOSE, PA, 19053, 2153552900 - 130,522 ($324,998.78) Equity, (File 333-180107 - Mar. 14) (BR. 10C) S-8 GLU MOBILE INC, 45 FREMONT STREET, SUITE 2800, SAN FRANCISCO, CA, 94105, 415-800-6100 - 0 ($2,170,168.52) Equity, (File 333-180110 - Mar. 14) (BR. 03A) S-8 SEAWRIGHT HOLDINGS INC, 600 CAMERON STREET, 600 CAMERON STREET, ALEXANDRIA, VA, 22134, 7033401629 - 2,600,000 ($208,000.00) Equity, (File 333-180111 - Mar. 14) (BR. 09B) 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 ----------------------------------------------------------------------------------------- ADVANCED CELL TECHNOLOGY, INC. DE 8.01,9.01 03/14/12 AECOM TECHNOLOGY CORP DE 5.07 03/08/12 AEP TEXAS CENTRAL CO TX 9.01 03/14/12 Affinia Group Intermediate Holdings I DE 2.02,9.01 03/14/12 AFFYMAX INC DE 2.02,9.01 03/14/12 AK STEEL HOLDING CORP DE 1.02 03/13/12 ALEXANDRIA REAL ESTATE EQUITIES INC MD 3.03,5.03,8.01,9.01 03/08/12 ALICO INC FL 5.02,9.01 03/14/12 ALLEGHENY TECHNOLOGIES INC DE 8.01,9.01 03/14/12 Allegiant Travel CO NV 1.01 03/08/12 Alliance HealthCare Services, Inc CA 2.02,9.01 03/14/12 Ally Auto Assets LLC DE 1.01,8.01,9.01 03/14/12 Ally Financial Inc. DE 8.01,9.01 03/13/12 Ally Financial Inc. DE 1.01,9.01 03/12/12 ALPHA PRO TECH LTD DE 2.02,9.01 03/14/12 ALTERNATE ENERGY HOLDINGS, INC. NV 5.02,9.01 03/07/12 AMERICAN APPAREL, INC DE 2.02,9.01 03/14/12 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 5.02 03/09/12 American Midstream Partners, LP DE 2.02,9.01 03/12/12 American Realty Capital Trust, Inc. DE 7.01,8.01,9.01 03/13/12 American Realty Capital Trust, Inc. DE 8.01,9.01 03/14/12 American Renal Associates Holdings, I DE 2.02,7.01,9.01 03/14/12 American Renal Holdings Inc. DE 2.02,7.01,9.01 03/14/12 American Strategic Minerals Corp NV 2.01,3.02,5.01,5.02, 01/26/12 AMEND 5.03,5.06,5.07,9.01 American Strategic Minerals Corp NV 9.01 01/30/12 AMEND AMERICAN VANGUARD CORP DE 8.01,9.01 03/12/12 AMERIGAS PARTNERS LP DE 5.03,9.01 03/13/12 AMERIGAS PARTNERS LP DE 9.01 03/14/12 AON CORP DE 5.02 03/14/12 APRIA HEALTHCARE GROUP INC DE 5.02,8.01,9.01 03/14/12 ARENA PHARMACEUTICALS INC DE 2.02,9.01 03/14/12 ARES CAPITAL CORP MD 1.01,2.03,3.02,9.01 03/14/12 Armour Residential REIT, Inc. MD 1.01,8.01,9.01 03/08/12 ASTA FUNDING INC DE 8.01,9.01 03/13/12 Atlas Energy, L.P. DE 1.01,5.02,8.01,9.01 03/12/12 Atlas Resource Partners, L.P. 3.03,5.02,5.03,5.05, 03/09/12 8.01,9.01 AUTHENTIDATE HOLDING CORP DE 1.01,2.03,3.02,9.01 03/09/12 AXIS CAPITAL HOLDINGS LTD 8.01,9.01 03/12/12 BALL CORP IN 5.07 03/14/12 AMEND BASIC ENERGY SERVICES INC 5.02,9.01 03/08/12 BB&T CORP NC 8.01,9.01 03/13/12 Biodel Inc 5.07 03/08/12 BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 03/14/12 BioLaser Technology Inc. DE 5.03 02/23/12 BIOMIMETIC THERAPEUTICS, INC. DE 2.02,9.01 03/13/12 BioScrip, Inc. DE 5.02 03/08/12 BIOTIME INC CA 2.02,9.01 03/14/12 BLUE DOLPHIN ENERGY CO DE 1.01,2.01,3.02,5.01, 02/15/12 AMEND 5.02,9.01 BLYTH INC DE 2.02 03/14/12 BROADCAST INTERNATIONAL INC UT 1.01,1.02,3.02,9.01 03/13/12 BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 1.01,2.06,9.01 03/13/12 Burger King Holdings Inc DE 2.02,9.01 03/14/12 CAGLES INC GA 7.01,9.01 02/29/12 CALGON CARBON CORPORATION DE 1.01,7.01,9.01 03/09/12 CAMBIUM LEARNING GROUP, INC. 2.02,9.01 03/08/12 CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 03/14/12 CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 03/14/12 Catalent Pharma Solutions, Inc. DE 7.01 03/14/12 CENTRAL VERMONT PUBLIC SERVICE CORP VT 2.02,7.01,9.01 03/14/12 CENVEO, INC CO 8.01,9.01 03/08/12 CHENIERE ENERGY INC DE 7.01,9.01 03/14/12 CHICOPEE BANCORP, INC. 5.02,9.01 03/13/12 CHINA BAK BATTERY INC NV 5.07 03/14/12 CHINA NORTH EAST PETROLEUM HOLDINGS L NV 7.01,9.01 03/14/12 Circle Entertainment, Inc. DE 1.01,2.03,9.01 03/08/12 CIRCLE STAR ENERGY CORP. NV 1.01 03/14/12 CLAIRES STORES INC DE 1.01,2.03,8.01,9.01 03/12/12 CLAYTON WILLIAMS ENERGY INC /DE DE 8.01 03/14/12 CLEAN DIESEL TECHNOLOGIES INC DE 1.01,1.02,5.02,9.01 03/08/12 CLEAN TRANSPORTATION GROUP, INC. 1.01,2.01,5.01,5.03, 08/12/11 AMEND 5.06,9.01 CLEAN WIND ENERGY TOWER, INC. NV 2.04,9.01 03/08/12 CLIFFS NATURAL RESOURCES INC. OH 8.01,9.01 03/13/12 COCA COLA CO DE 8.01,9.01 03/09/12 COEUR D ALENE MINES CORP ID 5.02 03/11/12 Colfax CORP DE 8.01 03/13/12 COMERICA INC /NEW/ DE 7.01,9.01 03/14/12 Comstock Mining Inc. NV 7.01,9.01 03/14/12 COMVERGE, INC. DE 5.02 03/08/12 CONSOLIDATED TOMOKA LAND CO FL 7.01,9.01 03/14/12 CONSTELLATION ENERGY GROUP INC MD 1.01,2.01,3.01,3.03, 03/09/12 5.01,5.02,5.03,8.01, 9.01 Converted Organics Inc. DE 1.01,2.03,3.02,9.01 03/12/12 Cooper-Standard Holdings Inc. DE 7.01,9.01 03/14/12 Cornerstone Core Properties REIT, Inc MD 5.02 03/08/12 CORVEL CORP DE 5.02 03/14/12 CRIMSON EXPLORATION INC. 2.02,9.01 03/13/12 CRIMSON EXPLORATION INC. 8.01,9.01 03/13/12 CYANOTECH CORP NV 1.01,9.01 03/09/12 De Yang International Group Ltd DE 5.01,5.02,5.03 03/02/12 DELCATH SYSTEMS INC DE 7.01,9.01 03/09/12 Delek US Holdings, Inc. 7.01,9.01 03/14/12 DENBURY RESOURCES INC DE 5.02 03/08/12 DEX ONE Corp DE 8.01 03/14/12 DIRECTV DE 1.01,2.03,9.01 03/08/12 DIXIE GROUP INC TN 5.02,9.01 03/12/12 DOCUMENT SECURITY SYSTEMS INC NY 1.02,3.02 03/13/12 DOT HILL SYSTEMS CORP DE 2.02,8.01,9.01 03/14/12 DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 03/13/12 ECB BANCORP INC NC 1.02,9.01 03/14/12 ECOTALITY, INC. NV 1.01,2.03,3.02,8.01, 03/13/12 9.01 ENBRIDGE ENERGY PARTNERS LP DE 2.02,9.01 03/13/12 ENDEAVOUR INTERNATIONAL CORP NV 7.01,9.01 03/13/12 ENERGY CONVERSION DEVICES INC DE 3.01 03/13/12 EnergySolutions, Inc. DE 2.02,9.01 03/14/12 ENTERGY CORP /DE/ DE 2.03,9.01 03/09/12 ENZO BIOCHEM INC NY 2.02,7.01,9.01 03/12/12 EQUITY ONE, INC. 2.02,7.01 03/14/12 EXELON CORP PA 1.01,2.01,2.03,3.03, 03/09/12 5.02,5.03,5.05,8.01, 9.01 EXXON MOBIL CORP NJ 2.02,7.01 03/08/12 Federal Home Loan Bank of Dallas 2.03,9.01 03/09/12 FEDERAL MOGUL CORP DE 5.02,7.01,9.01 03/10/12 FIFTH THIRD BANCORP OH 7.01,8.01,9.01 03/13/12 FIRST POTOMAC REALTY TRUST MD 1.01,5.03,9.01 03/09/12 First Sentry Bancshares, Inc. WV 8.01 03/14/12 FIRST UNITED CORP/MD/ MD 2.02,9.01 03/12/12 FLEXTRONICS INTERNATIONAL LTD. U0 5.02,9.01 03/13/12 FLUIDIGM CORP DE 5.02 03/09/12 FLUOR CORP DE 5.02 03/12/12 FOSSIL INC DE 5.02,9.01 03/14/12 Francesca's Holdings CORP 2.02,9.01 03/13/12 FRANKLIN COVEY CO UT 5.02,9.01 03/14/12 FRANKLIN RESOURCES INC DE 5.03,9.01 03/14/12 FREDERICK'S OF HOLLYWOOD GROUP INC /N NY 2.02,9.01 03/13/12 FUELCELL ENERGY INC DE 2.02,9.01 03/12/12 FUNCTION (X) INC. DE 8.01,9.01 03/14/12 FXCM Inc. 2.02,7.01,9.01 03/14/12 GABRIEL TECHNOLOGIES CORP DE 8.01,9.01 03/14/12 GeoEye, Inc. DE 5.02,9.01 03/08/12 Gevo, Inc. DE 5.02,9.01 03/14/12 GLOBAL POWER EQUIPMENT GROUP INC. DE 2.02,9.01 03/14/12 GMS Capital Corp. FL 5.01,5.02,9.01 03/09/12 GOLDMAN SACHS GROUP INC DE 8.01 03/13/12 GREEN DOT CORP DE 1.01,7.01,9.01 03/08/12 Green Plains Renewable Energy, Inc. IA 5.02 03/09/12 GSI GROUP INC A3 2.02,9.01 03/14/12 GUESS INC DE 2.02,9.01 03/14/12 HAMPTON ROADS BANKSHARES INC VA 1.02,7.01,9.01 03/14/12 HANDENI GOLD INC. NV 7.01,9.01 03/14/12 HEALTH NET INC DE 8.01,9.01 03/13/12 HELMERICH & PAYNE INC DE 5.02,5.03,9.01 03/12/12 Hilltop Holdings Inc. MD 5.02 03/08/12 Home System Group 4.01,9.01 12/13/11 Homeowners Choice, Inc. FL 1.01,5.02 01/01/12 HomeStreet, Inc. WA 1.01,5.02,9.01 03/08/12 HOST HOTELS & RESORTS, INC. MD 7.01,8.01,9.01 03/06/12 HOST HOTELS & RESORTS, INC. MD 8.01,9.01 03/14/12 IGATE CORP PA 1.01,8.01,9.01 03/14/12 IGATE CORP PA 9.01 03/14/12 Industrial Income Trust Inc. MD 2.02,8.01,9.01 03/14/12 INFOSONICS CORP 2.02,9.01 03/14/12 INFOSPACE INC DE 4.01,9.01 03/09/12 INKSURE TECHNOLOGIES INC. DE 2.02,9.01 03/14/12 INNODATA ISOGEN INC DE 5.02 03/08/12 Intellicell Biosciences, Inc. NV 7.01,9.01 03/14/12 INTERNATIONAL SHIPHOLDING CORP DE 1.01,9.01 03/13/12 IRELAND INC. NV 3.02 03/08/12 ITT Corp IN 5.02 03/08/12 JAKKS PACIFIC INC DE 8.01,9.01 03/14/12 JPMORGAN CHASE & CO DE 8.01,9.01 03/13/12 KENILWORTH SYSTEMS CORP NY 7.01 05/05/11 KEWAUNEE SCIENTIFIC CORP /DE/ DE 5.02,5.03,9.01 03/12/12 KEYCORP /NEW/ OH 8.01,9.01 03/13/12 KIRKLAND'S, INC 2.02,9.01 03/08/12 KONA GRILL INC DE 5.02,9.01 03/08/12 KRAFT FOODS INC VA 1.01,2.03 03/08/12 Kraton Performance Polymers, Inc. DE 1.01,1.02 03/13/12 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 03/13/12 LAM RESEARCH CORP DE 5.02 03/12/12 Lightyear Network Solutions, Inc. NV 2.02,9.01 03/14/12 LIN TV CORP. DE 2.02,9.01 03/14/12 LIQUIDMETAL TECHNOLOGIES INC DE 4.02 03/09/12 LSI CORP DE 7.01,9.01 03/14/12 MACROSOLVE INC OK 2.02,9.01 03/14/12 Mandalay Digital Group, Inc. DE 1.01,3.02 03/09/12 MANTECH INTERNATIONAL CORP DE 5.02,9.01 03/08/12 MARCUS CORP WI 2.02,9.01 03/14/12 MARKETAXESS HOLDINGS INC 5.02,9.01 03/13/12 MARRIOTT INTERNATIONAL INC /MD/ DE 8.01,9.01 03/09/12 MATTEL INC /DE/ DE 5.02,7.01,9.01 03/14/12 MB FINANCIAL INC /MD 8.01,9.01 03/14/12 MEDICAL ACTION INDUSTRIES INC DE 5.02 03/14/12 Medley Capital Corp DE 5.07 03/09/12 METALICO INC 2.02,8.01,9.01 03/14/12 METLIFE INC DE 7.01,9.01 03/13/12 MMRGlobal, Inc. DE 8.01 03/14/12 MOBILE MINI INC DE 2.02,7.01,9.01 02/24/12 MOLINA HEALTHCARE INC DE 5.02 03/12/12 Molycorp, Inc. DE 1.01,3.02,7.01,9.01 03/08/12 Momentive Performance Materials Inc. DE 7.01 03/14/12 Motors Liquidation Co DE 8.01,9.01 03/08/12 MSB FINANCIAL CORP. X1 8.01 03/12/12 MVC CAPITAL, INC. DE 5.07 03/12/12 NABI BIOPHARMACEUTICALS DE 2.02,9.01 03/14/12 NACCO INDUSTRIES INC DE 1.01,9.01 03/08/12 NATIONAL WESTERN LIFE INSURANCE CO CO 2.02,9.01 03/14/12 NAVIGANT CONSULTING INC DE 5.02 03/08/12 NCO Group, Inc. DE 7.01,8.01,9.01 03/14/12 NEUSTAR INC 8.01,9.01 03/14/12 Neutral Tandem Inc 2.02,9.01 03/14/12 New Concept Energy, Inc. NV 8.01 02/14/12 NEWS CORP 8.01,9.01 03/14/12 NEWTEK BUSINESS SERVICES, INC. NY 2.02,9.01 03/14/12 Northfield Bancorp, Inc. X1 8.01,9.01 03/13/12 NORWOOD FINANCIAL CORP PA 8.01,9.01 03/14/12 NOVAVAX INC DE 2.02,9.01 03/09/12 NSTAR/MA 1.01,9.01 03/13/12 Oiltanking Partners, L.P. DE 2.02,9.01 03/14/12 OMEGA HEALTHCARE INVESTORS INC MD 9.01 03/14/12 ONE LIBERTY PROPERTIES INC MD 2.02,9.01 03/14/12 ONLINE RESOURCES CORP DE 2.02,9.01 03/14/12 OPTICAL CABLE CORP VA 2.02,9.01 03/12/12 Oryon Holdings, Inc. NV 1.01,9.01 03/09/12 PATHFINDER BANCORP INC DE 5.02 03/14/12 PC TEL INC DE 5.02 03/08/12 PDF SOLUTIONS INC DE 5.02 03/13/12 PDL BIOPHARMA, INC. DE 8.01,9.01 03/14/12 Pegasi Energy Resources Corporation. NV 1.01,3.02,9.01 03/09/12 PENSON WORLDWIDE INC DE 1.01,2.02,5.02,9.01 03/12/12 PENSON WORLDWIDE INC DE 8.01,9.01 03/13/12 PERMA FIX ENVIRONMENTAL SERVICES INC DE 2.02,9.01 03/14/12 PHH CORP MD 5.02,7.01,9.01 03/12/12 PHOENIX COMPANIES INC/DE DE 8.01 03/08/12 PILGRIMS PRIDE CORP DE 5.02 03/12/12 PILGRIMS PRIDE CORP DE 4.01 03/08/12 PMFG, Inc. DE 1.01,9.01 03/14/12 PREFERRED APARTMENT COMMUNITIES INC MD 2.02,9.01 03/14/12 PRIMUS TELECOMMUNICATIONS GROUP INC DE 2.02,9.01 03/14/12 PROGRESSIVE CORP/OH/ OH 7.01,9.01 03/14/12 PROSPERITY BANCSHARES INC TX 8.01 03/12/12 PROVIDENCE SERVICE CORP DE 2.02,7.01,9.01 03/14/12 RAVEN INDUSTRIES INC SD 2.02,9.01 03/13/12 REDtone Asia Inc NV 5.02 03/12/12 Reis, Inc. MD 8.01,9.01 03/14/12 RESPECT YOUR UNIVERSE, INC. NV 5.02 03/09/12 REYNOLDS AMERICAN INC 2.05,9.01 03/14/12 RITE AID CORP DE 8.01 03/13/12 RODMAN & RENSHAW CAPITAL GROUP, INC. DE 2.02,9.01 03/14/12 ROTECH HEALTHCARE INC DE 2.02 03/14/12 ROYAL GOLD INC DE 8.01,9.01 03/14/12 ROYALE ENERGY INC CA 2.02,9.01 03/14/12 RPX Corp DE 1.01 03/09/12 rue21, inc. DE 2.02,9.01 03/14/12 RUSH ENTERPRISES INC \TX\ TX 5.02,9.01 03/08/12 S&W Seed Co NV 1.01,2.03,8.01,9.01 03/12/12 SAGA COMMUNICATIONS INC DE 5.02 03/08/12 SAIC, Inc. 1.01,2.02,9.01 03/14/12 SALAMON GROUP INC 5.02,8.01,9.01 03/14/12 Sanchez Energy Corp DE 1.01,5.02,9.01 03/09/12 SEAWRIGHT HOLDINGS INC DE 4.01,9.01 03/13/12 SHUFFLE MASTER INC MN 5.07 03/17/11 AMEND SIGNATURE GROUP HOLDINGS, INC. NV 2.02,7.01,9.01 03/14/12 SIMON PROPERTY GROUP INC /DE/ DE 1.01,9.01 03/08/12 SMARTPAY EXPRESS, INC. NV 4.01,5.02 03/09/12 SOUTHWEST OIL & GAS INCOME FUND IX-A DE 3.03,5.01,9.01 03/14/12 SOUTHWEST OIL & GAS INCOME FUND X-A L DE 3.03,5.01,9.01 03/14/12 SOUTHWEST OIL & GAS INCOME FUND X-B L DE 3.03,5.01,9.01 03/14/12 SOUTHWEST ROYALTIES INSTITUTIONAL INC DE 3.03,5.01,9.01 03/14/12 SOUTHWEST ROYALTIES INSTITUTIONAL INC DE 3.03,5.01,9.01 03/14/12 SOUTHWEST ROYALTIES INSTITUTIONAL INC DE 3.03,5.01,9.01 03/14/12 SPARTECH CORP DE 2.02,9.01 03/14/12 SPECTRANETICS CORP DE 2.02,7.01,9.01 02/16/12 AMEND SS&C Technologies Holdings Inc DE 1.01,2.03,7.01,9.01 03/14/12 STANDARD MICROSYSTEMS CORP DE 1.01 08/16/11 AMEND STANDARD PACIFIC CORP /DE/ DE 5.02,9.01 03/14/12 Steadfast Income REIT, Inc. MD 2.02,9.01 03/14/12 STERLING FINANCIAL CORP /WA/ WA 1.01,1.02,5.02,9.01 03/12/12 STONERIDGE INC OH 1.01,9.01 03/08/12 STR HOLDINGS, INC. DE 2.02,9.01 03/13/12 SUNESIS PHARMACEUTICALS INC DE 2.02,9.01 03/14/12 SUNTRUST BANKS INC GA 8.01 03/13/12 SURGLINE INTERNATIONAL, INC. NV 1.01,2.01,2.02,3.02, 09/01/11 AMEND 4.01,5.01,5.02,9.01 SXC Health Solutions Corp. A6 9.01 03/14/12 AMEND SYNTHESIS ENERGY SYSTEMS INC DE 7.01,9.01 03/14/12 TANDY LEATHER FACTORY INC DE 2.02,9.01 03/14/12 TELEFLEX INC DE 7.01,9.01 03/14/12 TELVUE CORP DE 5.07 03/12/12 TENET HEALTHCARE CORP NV 5.02,9.01 03/12/12 TESCO CORP 5.02 03/08/12 THERMO FISHER SCIENTIFIC INC. DE 5.02 03/13/12 THRESHOLD PHARMACEUTICALS INC DE 8.01,9.01 03/14/12 Timberline Resources Corp DE 7.01,9.01 03/14/12 TOLL BROTHERS INC DE 5.07 03/14/12 TOWERSTREAM CORP DE 2.02,9.01 03/14/12 Transcept Pharmaceuticals Inc DE 2.02,9.01 03/14/12 Tri-Tech Holding, Inc. E9 5.02,9.01 03/13/12 TRIM HOLDING GROUP NV 4.01 03/12/12 Trio Merger Corp. DE 8.01,9.01 03/14/12 UNITED SURGICAL PARTNERS INTERNATIONA DE 7.01,9.01 03/14/12 UNIVERSAL ELECTRONICS INC DE 5.07 06/09/11 AMEND US BANCORP \DE\ DE 8.01,9.01 03/13/12 USEC INC DE 2.02,9.01 03/14/12 VelaTel Global Communications, Inc. NV 3.02 03/08/12 Vera Bradley, Inc. 2.02,9.01 03/14/12 Verastem, Inc. DE 2.02,9.01 03/14/12 VISION SCIENCES INC /DE/ DE 8.01,9.01 03/14/12 VISTA GOLD CORP B0 7.01,9.01 03/12/12 Vringo Inc DE 1.01,2.02,5.02,7.01, 03/08/12 8.01,9.01 VSB BANCORP INC NY 8.01 03/13/12 VSE CORP DE 8.01 03/07/12 WASTE MANAGEMENT INC DE 5.02,9.01 03/09/12 WATSCO INC FL 7.01,9.01 03/14/12 WATSCO INC FL 1.01,3.02,9.01 03/13/12 WELLS FARGO & CO/MN DE 8.01,9.01 03/13/12 WELLS FARGO & CO/MN DE 8.01 03/14/12 WELLS FARGO & CO/MN DE 9.01 03/14/12 WELLS MID-HORIZON VALUE-ADDED FUND I 1.01 03/12/12 WILLIS LEASE FINANCE CORP DE 2.02,7.01,9.01 03/12/12 WORTHINGTON ENERGY, INC. NV 1.01,2.03,3.02,9.01 12/01/11 XCEL ENERGY INC MN 7.01 03/14/12 ZHONGPIN INC. DE 2.02,9.01 03/13/12 ZIONS BANCORPORATION /UT/ UT 7.01 03/13/12
http://www.sec.gov/news/digest/2012/dig031512.htm
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