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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-65
April 4, 2012


enforcement proceedings

Delinquent Filer’s Stock Registration Revoked

On April 4, 2012, the Commission revoked the registration of each class of registered securities of California Oil & Gas Corp. (COGC) for failure to make required periodic filings with the Commission.

Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, COGC consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to California Oil & Gas Corp. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of COGC’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against COGC in In the Matter of BIOTECH Holdings Ltd., et al., Administrative Proceeding File No. 3-14763.

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. 34-66730; File No. 3-14763)

In the Matter of Bryan N. Polozola, CPA

On April 4, 2012, the Commission announced the issuance of an Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice against Bryan N. Polozola, CPA (Order). The Order finds that Bryan N. Polozola (Polozola) is licensed as a certified public accountant in Texas and New York. The Order also finds that on March 26, 2012, Polozola was convicted of one count of making false statements to Commission staff during investigative testimony in violation of 18 U.S.C. 1001, before the United States District Court for the District of Columbia, in United States v. Bryan N. Polozola, No. 1:11-cr-00374-RLW. In addition, the Order finds that Polozola was sentenced to 24 months of probation and ordered to serve 200 hours of community service and to pay an assessment in the amount of $100.

Based on the above, the Commission forthwith suspended Polozola from appearing or practicing before the Commission. (Rel. 34-66735; AAE Rel. 3376; File No. 3-14834)

In the Matter of Grant M. Carroll

The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Grant M. Carroll, a resident of Texas, based on the entry of a permanent injunction against him in the civil action entitled Securities and Exchange Commission v. Grant M. Carroll, et al., Civil Action No. 1:10-CV-913 in the United States District Court for the Western District of Texas, Austin Division.

In the Order, the Commission finds that, on December 6, 2011, an agreed permanent injunction was entered against Carroll, permanently enjoining him from future violations of Sections 5(a) and 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934. The Commission further finds in the Order that the Commission filed a Complaint against Carroll, alleging that from April 2007 through approximately May 2008, Carroll, together with the other defendants, participated in an unregistered securities offering in which approximately $9 million was raised from investors from the sale of interests in high-yield or “Prime Bank” investment schemes. According to the Complaint, Carroll misrepresented that he was a licensed securities broker and that he had verified the legitimacy of the transactions.

Based on the above, the Order bars Carroll from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; the Order also bars Carroll from participating in any offering of a penny stock. In consenting to the entry of the Order, Carroll admitted the Order’s finding as to the entry of the injunction against him and its findings that the Commission has jurisdiction over him and over the matters set forth in the Order; Carroll did not, however, admit any of the other findings in the Order. (Rel. 34-66739; File No. 3-14836)

In the Matter of Daniel J. Burns

An Administrative Law Judge issued an Order Making Findings and Imposing Remedial Sanctions by Default (Default Order) in Daniel J. Burns, Admin. Proc. No. 3-14765. The Default Order finds the allegations in the Order Instituting Proceedings, alleging that Respondent Daniel J. Burns (Burns) was permanently enjoined from violating various provisions of the federal securities statutes in SEC v. Burns, No. 1:11-CV-246 (N.D. Ill. Jan. 31, 2012), to be true. In addition, the Default Order finds that the district court ordered Burns to disgorge ill-gotten gains of $804,100, prejudgment interest of $324,325, for a total of $1,128,425, and barred him from acting as an officer or director of a public company.

Based on these findings and public interest considerations, the Default Order bars Burns, pursuant to Section 15(b) of the Securities Exchange Act of 1934, from association with a broker, dealer, investment adviser, municipal securities dealer, transfer agent, and from participating in an offering of penny stock. (Rel. No. 34-66738; File No. 3-14765)

In the Matter of Kenneth E. Marsh et al.

An Administrative Law Judge has issued an Order Making Findings and Imposing Sanctions by Default (Default Order) in Kenneth E. Marsh, Admin. Proc. No. 3-14653. The Securities and Exchange Commission issued its Order Instituting Proceedings (OIP) on December 7, 2011, pursuant to Section 203(f) of the Investment Advisers Act of 1940. The OIP alleges that from at least 2007 through April 2010, Respondents marketed Gryphon Holdings, Inc. (Gryphon), an unregistered investment adviser by repeatedly making false statements about virtually every aspect of Gryphon’s business, including the scope of the firm’s investment management operations, the past performance of its trading recommendations, the credentials and qualifications of its staff, and the satisfaction of prior clients. The OIP also alleges that Respondents were enjoined from violating the antifraud provisions of the federal securities laws and were criminally convicted of conspiracy and securities fraud violations. The Default Order finds the allegations of the OIP to be true.

In the public interest, the Default Order bars Kenneth E. Marsh, Baldwin Anderson, Robert Anthony Budion, Jeanne M. Lada, and James T. Levier from association with a broker, dealer, investment adviser, municipal securities dealer, transfer agent, and nationally recognized statistical rating organization. (Rel. No. IA- 3391; File No. 3-14653)

Investment company act releases

Harris & Harris Group, Inc.

An order has been issued under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Sections 23(a), 23(b) and 63 of the Act; under Sections 57(a)(4) and 57(i) of the Act and Rule 17d-1 under the Act authorizing certain joint transactions otherwise prohibited by Section 57(a)(4) of the Act; and under Section 23(c)(3) of the Act for an exemption from Section 23(c) of the Act. The order permits Harris & Harris Group, Inc. to (a) issue restricted shares of its common stock (Restricted Stock) as part of the compensation package for directors, including non-employee directors, officers and employees (Participants), (b) withhold shares of its common stock or purchase shares of its common stock from Participants to satisfy tax withholding obligations relating to the vesting of Restricted Stock or the exercise of options to purchase shares of its common stock, and (c) permit certain Participants to pay the exercise price of options with shares of applicant’s common stock. (Rel. No. IC-30027 - April 3, 2012)

self-regulatory organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change (SR-BX-2012-021) filed by The NASDAQ OMX BX, Inc. to modify rebate pricing for BX members using the NASDAQ OMX BX equities routing system 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 April 2. (Rel. No. 34-66718)

A proposed rule change filed by The NASDAQ Stock market LLC (SR-NASDAQ-2012-046) relating to customer routing fees 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 April 2. (Rel. No. 34-66719)

A proposed rule change, (SR-Phlx-2012-34), filed by NASDAQ OMX PHLX LLC, relating to singly listed options has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66721)

A proposed rule change (SR-BYX-2012-007) filed by the BATS Y-Exchange, Inc. to amend the certificate of information of BATS Global Markets, Inc. 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 April 2. (Rel. No. 34-66722)

A proposed rule change (SR-BATS-2012-014) filed by the BATS Exchange, Inc. to amend the certificate of information of BATS Global Markets, Inc. 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 April 2. (Rel. No. 34-66723)

A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-025) relating to exchange trading floor booth fees and policy has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66727)

A proposed rule change filed by NASDAQ OMX BX, Inc. to amend the BOX Fee Schedule (SR-BX-2012-023) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66728)

A proposed rule change submitted by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-037) relating to fees for newly listed indexes has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 2. (Rel. No. 34-66729)

Approval of Proposed Rule Changes

The Commission granted approval of a proposed rule change (SR-NYSEArca-2012-10) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to listing and trading of shares of the BNP Paribas S&P Dynamic Roll Global Commodities Fund under NYSE Arca Equities Rule 8.200. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66717)

The Commission has approved a proposed rule change (SR-NSCC-2012-02) filed by the National Securities Clearing Corporation under Section 19(b)(1) of the Securities Exchange Act of 1934 to enhance its margining methodology as applied to municipal and corporate bonds. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66731)

Proposed Rule Changes

NYSE Arca, Inc. has filed a proposed rule change (SR-NYSEArca-2012-26) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade option contracts overlying 10 shares of a security (“Mini-Options Contracts”) and implementing rule text necessary to distinguish Mini-Options Contracts from option contracts overlying 100 shares of a security (“Standard Contracts”). Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66725)

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-4     NPC INTERNATIONAL INC, 720 W. 20TH ST, PITTSBURG, KS, 66762-2860, 
        3162313390 - 0 ($190,000,000.00) Debt, (File 333-180524 - Apr. 3) 
        (BR. 05C)

S-1     VISUALANT INC, 500 UNION STREET, SUITE 406, SEATTLE, WA, 98101, 
        206-903-1351 - 7,600,000 ($760,000.00) Other, (File 333-180525 - 
        Apr. 3) (BR. 10C)

S-3ASR  CROWN CASTLE INTERNATIONAL CORP, 1220 AUGUSTA DRIVE, SUITE 500, 
        HOUSTON, TX, 77057, 7135703000 - 0 ($0.00) Other, (File 333-180526 - 
        Apr. 3) (BR. 11A)

F-3ASR  DELHAIZE GROUP, SQUARE MARIE CURIE 40, BRUSSELS, C9, 1070, 
        011-32-2-412-2211 - 0 ($0.00) Debt, (File 333-180527 - Apr. 3) (BR. 02C)

S-8     CAFEPRESS INC., 1850 GATEWAY DRIVE, SUITE 300, SAN MATEO, CA, 94404, 
        650.655.3000 - 3,862,146 ($53,076,593.40) Equity, (File 333-180531 - 
        Apr. 3) (BR. 02)

S-3     ING LIFE INSURANCE & ANNUITY CO, ONE ORANGE WAY, WINDSOR, CT, 
        06095-4774, 860-580-2851 - 0 ($50,000,000.00) Other, (File 333-180532 - 
        Apr. 3) (BR. 01A)

S-3     PACIFIC BIOSCIENCES OF CALIFORNIA INC, 1380 WILLOW ROAD, MENLO PARK, 
        CA, 94025, 650-521-8000 - 
        150,000,000 ($150,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-180533 - Apr. 3) (BR. 10C)

S-3     HUTCHINSON TECHNOLOGY INC, 40 W HIGHLAND PARK, HUTCHINSON, MN, 55350, 
        3205873797 - 3,869,000 ($8,511,800.00) Equity, (File 333-180534 - 
        Apr. 3) (BR. 10B)

S-1     GeoVax Labs, Inc., 1900 LAKE PARK DRIVE, SUITE 380, SMYRNA, 2Q, 30080, 
        678-384-7220 - 11,733,332 ($10,970,666.00) Equity, (File 333-180535 - 
        Apr. 3) (BR. 01A)

S-1     BENSATA Corp, 2500 CITY WEST BLVD, SUITE 300, HOUSTON, TX, 77042, 
        713 267 2361 - 10,000,000 ($500,000.00) Equity, (File 333-180536 - 
        Apr. 3) (BR. 03)

S-8     Millennial Media Inc., 2400 BOSTON STREET, SUITE 301, Baltimore, MD, 
        21224, (410) 552-8705 - 0 ($81,760,008.99) Equity, (File 333-180540 - 
        Apr. 3) (BR. 11A)

S-3     FIRST M&F CORP/MS, 134 W WASHINGTON ST, P O BOX 520, KOSCIUSKO, MS, 
        39090, 6622898508 - 38,313,113 ($187,734,254.00) Equity, 
        (File 333-180542 - Apr. 3) (BR. 07B)

S-4     Liberty Interactive Corp, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 
        80112, 7208755400 - 0 ($787,661,450.44) Equity, (File 333-180543 - 
        Apr. 3) (BR. 11C)

S-3     HANSEN MEDICAL INC, 800 EAST MIDDLEFIELD ROAD, MOUNTAIN VIEW, CA, 
        94043, 650 404 5800 - 0 ($75,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-180547 - Apr. 3) (BR. 10B)

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

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

ACNB CORP                               PA       1.01,5.02,9.01       03/28/12

Advance America, Cash Advance Centers   DE       8.01,9.01            04/02/12

Affinity Gaming, LLC                    NV       2.02,9.01            04/03/12

Aircastle LTD                           D0       7.01,9.01            04/03/12

ALICO INC                               FL       8.01,9.01            04/02/12

Alon Refining Krotz Springs, Inc.       DE       8.01,9.01            04/03/12

Alon USA Energy, Inc.                   DE       8.01,9.01            04/03/12

American Capital Agency Corp                     1.01,5.03,9.01       04/02/12

American Casino & Entertainment Prope   DE       8.01                 03/28/12

AMERICAN INTERNATIONAL VENTURES INC /   DE       5.01,7.01,9.01       03/26/12

AMERICAN SCIENCE & ENGINEERING, INC.    MA       5.02                 03/29/12

Annie's, Inc.                           DE       5.03,9.01            04/02/12

APPLETON PAPERS INC/WI                           2.05                 04/03/12    AMEND

ASTROTECH Corp \WA\                     WA       5.07,9.01            03/29/12

AUTONATION, INC.                        DE       7.01,9.01            04/03/12

AVX Corp                                DE       5.02                 04/03/12

Bazaarvoice Inc                         DE       8.01                 03/30/12

BEHRINGER HARVARD MULTIFAMILY REIT I             7.01,9.01            04/03/12

BGC Partners, Inc.                      DE       8.01                 03/28/12

BILL BARRETT CORP                       DE       7.01,9.01            04/03/12

BIO-PATH HOLDINGS INC                   UT       2.02,8.01,9.01       03/29/12

BioDrain Medical, Inc.                  MN       1.01,2.03,3.02,9.01  03/28/12

BIOVEST INTERNATIONAL INC               DE       5.02                 03/30/12

Bizzingo, Inc.                          NV       7.01,9.01            04/03/12

BJs RESTAURANTS INC                     CA       8.01,9.01            04/03/12

Black Ridge Oil & Gas, Inc.             DE       5.03,9.01            04/02/12

BLONDER TONGUE LABORATORIES INC         DE       2.02,9.01            04/03/12

Bluefire Renewables, Inc.               NV       1.01,2.03,3.02       03/28/12

Bluefire Renewables, Inc.               NV       1.01,3.02            03/28/12

Bohai Pharmaceuticals Group, Inc.       NV       8.01                 04/03/12

BPZ RESOURCES, INC.                     TX       5.02,8.01,9.01       03/28/12

Buckeye Oil & Gas, Inc.                 FL       5.02,9.01            04/02/12

BUCKEYE PARTNERS, L.P.                  DE       5.02,8.01,9.01       03/29/12

BUCKEYE TECHNOLOGIES INC                DE       7.01,8.01,9.01       03/31/12

Campus Crest Communities, Inc.          MD       7.01,9.01            04/03/12

CANO PETROLEUM, INC                              7.01,9.01            04/03/12

CAPSTEAD MORTGAGE CORP                  MD       7.01,9.01            04/02/12

Cardigant Medical Inc.                  DE       5.02                 04/01/12

CARROLS RESTAURANT GROUP, INC.                   2.06                 03/16/12

Celldex Therapeutics, Inc.              DE       1.02                 03/29/12

CENTURY PROPERTIES FUND XIX             CA       2.01,9.01            03/29/12

CFS BANCORP INC                         IN       7.01,9.01            04/03/12

CHEMICAL FINANCIAL CORP                 MI       7.01                 04/03/12

China Housing & Land Development, Inc   NV       2.02,7.01,9.01       03/30/12

CHINA MARINE FOOD GROUP LTD             NV       2.02,9.01            03/27/12

CHINA SKY ONE MEDICAL, INC.             NV       4.01,9.01            03/12/12    AMEND

Chrysler Group LLC                      DE       8.01,9.01            04/03/12

CIT GROUP INC                           DE       8.01,9.01            04/02/12

CLAIBORNE LIZ INC                       DE       5.02,9.01            03/28/12

CleanTech Innovations, Inc.             NV       5.02                 04/02/12

Cogdell Spencer Inc.                    MD       1.02,3.01,3.03,5.01, 04/02/12
						 5.02,5.03,9.01                                

COMMERCIAL BARGE LINE CO                DE       5.02,9.01            03/30/12

Compass Diversified Holdings            DE       1.01,2.03,9.01       04/02/12

COMPETITIVE TECHNOLOGIES INC            DE       5.02                 04/03/12

COMPUTER SCIENCES CORP                  NV       8.01,9.01            03/16/12

Computer Software Innovations, Inc.     DE       8.01,9.01            04/03/12

COMVERSE TECHNOLOGY INC/NY/             NY       2.02,9.01            04/03/12

CONNS INC                               DE       2.02,9.01            04/03/12

COVANTA HOLDING CORP                    DE       7.01,9.01            04/03/12

CVS CAREMARK CORP                       DE       5.02,9.01            03/29/12

DELTA AIR LINES INC /DE/                DE       8.01,9.01            04/03/12

DEPOMED INC                             CA       8.01                 03/30/12

DIAMOND HILL INVESTMENT GROUP INC       OH       8.01                 04/03/12    AMEND

DOMINION RESOURCES INC /VA/             VA       2.02,9.01            04/03/12

DOUBLE EAGLE PETROLEUM CO               MD       1.02,5.02,9.01       03/30/12

DPL INC                                 OH       4.01,9.01            03/27/12    AMEND

DST SYSTEMS INC                         DE       5.02                 04/02/12

DYAX CORP                               DE       5.02                 03/30/12

EARTHSTONE ENERGY INC                   DE       8.01,9.01            04/03/12

Ecologic Transportation, Inc.                    1.01,2.01            03/15/12    AMEND

EL PASO ELECTRIC CO /TX/                TX       1.01,2.03            03/29/12

ELECTRO RENT CORP                       CA       2.02,9.01            04/03/12

EME HOMER CITY GENERATION LP            PA       1.01                 03/29/12

ENERGY FOCUS, INC/DE                    DE       8.01,9.01            03/29/12

EnteroMedics Inc                                 8.01,9.01            04/03/12

EnteroMedics Inc                                 1.01                 03/28/12

ENTERPRISE PRODUCTS PARTNERS L P        DE       8.01,9.01            04/02/12

ENTREMED INC                            DE       5.02,9.01            04/02/12

Envision Solar International, Inc.      NV       3.02,8.01            03/22/12    AMEND

EPICEPT CORP                                     1.01,5.03,9.01       03/28/12

EPOCH HOLDING CORP                      DE       8.01,9.01            04/03/12

FARMER BROTHERS CO                      CA       5.02                 03/28/12

Federal Home Loan Bank of Atlanta       X1       2.03                 04/03/12

Federal Home Loan Bank of Boston        X1       2.03                 03/29/12

Federal Home Loan Bank of Chicago       X1       5.02                 03/30/12

Federal Home Loan Bank of Chicago       X1       2.03                 03/30/12

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            03/28/12

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            03/30/12

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            04/03/12

Federal Home Loan Bank of New York      X1       2.03,9.01            03/28/12

Federal Home Loan Bank of New York      X1       8.01,9.01            04/03/12

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            03/28/12

Federal Home Loan Bank of San Francis   X1       2.03                 03/28/12

Federal Home Loan Bank of Seattle                2.03                 03/28/12

Federal Home Loan Bank of Topeka                 2.03,9.01            03/28/12

FIRST BANCORP /NC/                      NC       5.02                 03/30/12

FIRST COLOMBIA GOLD CORP.               NV       1.01,2.03,3.02,9.01  03/29/12

FIRST FINANCIAL HOLDINGS INC /DE/       DE       8.01                 03/28/12

FLOWERS FOODS INC                       GA       1.01,2.03,9.01       03/29/12

FNBH BANCORP INC                        MI       5.02                 03/28/12

FORD MOTOR CO                           DE       8.01,9.01            04/03/12

FORD MOTOR CREDIT CO LLC                DE       8.01,9.01            04/03/12

FTI CONSULTING INC                      MD       5.02,8.01,9.01       03/28/12

FTI CONSULTING INC                      MD       5.05,9.01            04/01/12

FUQI INTERNATIONAL, INC.                DE       5.02,9.01            03/31/12

GAIAM, INC                              CO       2.01,2.03,9.01       03/28/12

GASTAR EXPLORATION LTD                           7.01,9.01            04/03/12

GENCORP INC                             OH       5.02,5.07,9.01       03/28/12

General Growth Properties, Inc.         DE       8.01                 04/02/12

Genie Energy Ltd.                       DE       5.02                 03/28/12

GENSPERA INC                            DE       8.01,9.01            03/29/12

GLOBAL AXCESS CORP                      NV       5.02                 04/02/12

GOLDMAN SACHS GROUP INC                 DE       5.02,8.01,9.01       03/30/12

GRAMERCY CAPITAL CORP                   MD       1.01,9.01            03/30/12

GRAN TIERRA ENERGY, INC.                NV       5.02                 02/03/12    AMEND

Green Ballast, Inc.                     DE       1.01,9.01            03/28/12

GROUP 1 AUTOMOTIVE INC                  DE       7.01,8.01,9.01       03/30/12

GRYPHON GOLD CORP                       NV       7.01,9.01            04/03/12

Hallwood Group Inc                      DE       2.02,9.01            04/02/12

HAWAIIAN ELECTRIC INDUSTRIES INC        HI       8.01                 03/29/12

HeartWare International, Inc.           DE       1.01,9.01            03/29/12    AMEND

Heelys, Inc.                            DE       1.02,5.02            03/28/12

Higher One Holdings, Inc.               DE       1.01                 04/03/12

HILLMAN COMPANIES INC                   DE       5.02                 04/02/12

Hines Global REIT, Inc.                 MD       2.01,7.01,9.01       03/29/12

HOMELAND ENERGY SOLUTIONS LLC                    8.01                 04/02/12

HOVNANIAN ENTERPRISES INC               DE       7.01,9.01            04/03/12

HUDSON VALLEY HOLDING CORP              NY       2.01,9.01            03/28/12

HYPERTENSION DIAGNOSTICS INC /MN        MN       8.01                 03/28/12

IMAGING3 INC                            CA       3.02,8.01            04/03/12

IMAGING3 INC                            CA       5.02                 03/31/12

Innovaro, Inc.                                   4.02,9.01            03/30/12

Inrad Optics, Inc.                      NJ       2.02,9.01            04/02/12

INTEGRATED ELECTRICAL SERVICES INC      DE       2.02,8.01,9.01       03/03/12

Intellicell Biosciences, Inc.           NV       8.01,9.01            03/28/12

INTERNATIONAL SPEEDWAY CORP             FL       2.02,7.01,8.01,9.01  04/03/12

ISTA PHARMACEUTICALS INC                DE       1.01,2.03,9.01       03/30/12

JOE'S JEANS INC.                        DE       8.01,9.01            03/29/12

KAISER VENTURES LLC                     DE       8.01                 03/30/12

KBS Real Estate Investment Trust, Inc   MD       1.01,8.01            03/30/12

KEYSTONE CONSOLIDATED INDUSTRIES INC    DE       5.02                 04/02/12

KFORCE INC                              FL       7.01,8.01            03/30/12

LANDMARK BANCORP INC                    DE       2.01,9.01            04/01/12

LEXON TECHNOLOGIES INC                  DE       5.02,5.07,8.01,9.01  01/01/12

LIFEWAY FOODS INC                       IL       7.01,9.01            04/02/12

LIGHTPATH TECHNOLOGIES INC              DE       2.02,9.01            04/03/12

Lithium Exploration Group, Inc.         NV       1.01,9.01            03/28/12

MACERICH CO                             MD       5.02,9.01            03/30/12

MAGNEGAS CORP                           DE       1.01,7.01,8.01,9.01  03/28/12

Maidenform Brands, Inc.                 DE       1.01,9.01            04/02/12

MARTIN MARIETTA MATERIALS INC           NC       8.01,9.01            04/03/12

Measurement Specialties Inc             NJ       1.01,9.01            04/02/12

Measurement Specialties Inc             NJ       5.02                 03/29/12    AMEND

MEDINA INTERNATIONAL HOLDINGS, INC.     CO       1.01,9.01            04/02/12

Memorial Production Partners LP         DE       8.01,9.01            04/02/12

MERGE HEALTHCARE INC                    DE       1.01                 03/28/12

MID AMERICA APARTMENT COMMUNITIES INC   TN       7.01,9.01            04/03/12

MIDAMERICAN ENERGY CO                   IA       7.01,9.01            04/03/12

MIDAMERICAN ENERGY HOLDINGS CO /NEW/    IA       7.01,9.01            04/03/12

Millennial Media Inc.                   DE       5.03,9.01            04/03/12

Mister Goody, Inc.                      FL       8.01,9.01            04/03/12

MITCHAM INDUSTRIES INC                  TX       2.02,9.01            04/03/12

MITEK SYSTEMS INC                       DE       8.01,9.01            04/03/12

MOCON INC                               MN       1.01,2.01,2.03,9.01  03/28/12

ModusLink Global Solutions Inc          DE       7.01                 04/03/12

MOLSON COORS BREWING CO                 DE       1.01,2.03,8.01,9.01  04/03/12

Monster Offers                          NV       7.01,9.01            04/03/12

Morgan Stanley Capital I Trust 2012-C   DE       8.01,9.01            04/03/12

MRV COMMUNICATIONS INC                  DE       5.02,9.01            03/30/12

MS STRUCTURED SATURNS SERIES 2001-6     DE       8.01,9.01            04/03/12

MS STRUCTURED SATURNS SERIES 2003-7     DE       8.01,9.01            04/03/12

NAVIDEA BIOPHARMACEUTICALS, INC.        DE       8.01,9.01            04/03/12

NCO Group, Inc.                         DE       8.01,9.01            04/03/12

NDB Energy, Inc.                        NV       2.01,3.02,5.02,7.01, 03/30/12
						 9.01 

NEVADA GOLD & CASINOS INC               NV       1.01,9.01            03/30/12

NEW FRONTIER MEDIA INC                  CO       1.01,7.01,9.01       03/23/12

NEWS CORP                                        8.01,9.01            04/03/12

Nexxus Lighting, Inc.                   DE       5.02                 04/02/12

NN INC                                  DE       8.01,9.01            04/02/12

NORTHEAST UTILITIES                     MA       8.01                 04/02/12

Northumberland Resources, Inc.          NV       5.02                 04/01/12

NSTAR/MA                                         8.01                 04/03/12

Och-Ziff Capital Management Group LLC   DE       7.01                 04/03/12

OCWEN FINANCIAL CORP                    FL       2.01                 04/02/12

Oncothyreon Inc.                        DE       8.01,9.01            04/03/12

OPENTABLE INC                           DE       5.02,9.01            03/29/12

PACER INTERNATIONAL INC                 TN       8.01                 03/27/12

PACIFICORP /OR/                         OR       7.01,9.01            04/03/12

Parabel Inc.                            DE       8.01                 04/02/12

PARK ELECTROCHEMICAL CORP               NY       2.05,9.01            01/25/12

PARKWAY PROPERTIES INC                  MD       4.01,9.01            04/02/12

PARLUX FRAGRANCES INC                   DE       1.01,5.02,9.01       03/30/12

PEABODY ENERGY CORP                     DE       5.02,8.01,9.01       03/07/12    AMEND

PENN VIRGINIA CORP                      VA       5.02,9.01            02/16/12    AMEND

PERMA FIX ENVIRONMENTAL SERVICES INC    DE       3.03,5.03,9.01       03/29/12

PHARMATHENE, INC                        DE       1.01,2.03,9.01       03/30/12

PHOTRONICS INC                          CT       5.07                 04/02/12

Pinnacle Foods Finance LLC              DE       5.01                 04/02/12

Pioneer Southwest Energy Partners L.P   DE       1.01,2.03,9.01       04/03/12

PIXELWORKS, INC                         OR       8.01                 03/29/12

PLUG POWER INC                          DE       1.01,9.01            03/30/12

POLYMER GROUP INC                       DE       4.01,9.01            03/30/12

POTASH AMERICA, INC.                    NV       7.01,9.01            04/03/12

PREMIERWEST BANCORP                     OR       7.01                 04/02/12

PRIME GLOBAL CAPITAL GROUP Inc          NV       1.01,3.02,9.01       03/30/12

PRIVATE MEDIA GROUP INC                 NV       5.02,8.01            03/21/12

Proto Labs Inc                                   5.02,9.01            04/03/12

PRUDENTIAL FINANCIAL INC                NJ       8.01,9.01            04/03/12

PUBLIC SERVICE ENTERPRISE GROUP INC     NJ       7.01,9.01            04/03/12

QUEPASA CORP                            NV       7.01                 04/03/12

RADIENT PHARMACEUTICALS Corp            DE       2.04                 04/03/12

RAYMOND JAMES FINANCIAL INC             FL       1.01,9.01            04/02/12

RCM TECHNOLOGIES INC                    NV       7.01                 04/03/12

RDA Holding Co.                                  1.01,2.03,9.01       03/30/12

RENTECH INC /CO/                        CO       7.01,9.01            04/03/12

Rexnord Corp                            DE       1.01,1.02,3.03,5.03, 04/03/12
						 8.01,9.01

RGC RESOURCES INC                       VA       1.01,2.03,9.01       03/30/12

RING ENERGY, INC.                       NV       8.01,9.01            03/28/12

Rock Energy Resources, Inc.             DE       7.01,9.01            04/03/12

Rockville Financial, Inc. /CT/          CT       7.01,9.01            04/03/12

ROLLINS INC                             DE       8.01,9.01            04/02/12

Rosewood Acquisition Corp               DE       3.02,5.01,5.02       03/31/12

ROYALE ENERGY INC                       CA       3.02                 03/28/12

S&T BANCORP INC                         PA       1.01,8.01,9.01       03/29/12

SAN DIEGO GAS & ELECTRIC CO             CA       2.03                 03/30/12

SANDISK CORP                            DE       2.02,9.01            04/03/12

Scripps Networks Interactive, Inc.      OH       5.02,9.01            03/29/12

SEACOAST BANKING CORP OF FLORIDA        FL       8.01,9.01            04/03/12

Secure Luggage Solutions Inc.                    5.02,9.01            03/01/12

SEMPRA ENERGY                           CA       2.03                 03/30/12

Shire plc                                        8.01,9.01            04/02/12

Shire plc                                        8.01,9.01            04/03/12

SL INDUSTRIES INC                       NJ       2.02,9.01            03/30/12

SM Energy Co                            DE       5.02,7.01,9.01       03/29/12

SOLAZYME INC                            DE       1.01                 04/02/12

SOUTH JERSEY GAS Co                     NJ       1.01,2.03,9.01       03/29/12

SOUTHERN CALIFORNIA GAS CO              CA       2.03                 03/30/12

SPECTRUM PHARMACEUTICALS INC            DE       8.01                 04/01/12

SSI Investments II Ltd                  L2       2.02,9.01            04/03/12

STAGE STORES INC                        NV       5.02                 03/28/12

STAMPS.COM INC                          DE       5.02                 04/02/12

STARTEK INC                             DE       5.02                 03/28/12

STELLAR PHARMACEUTICALS INC                      7.01,9.01            03/16/12

STELLAR PHARMACEUTICALS INC                      2.02,9.01            04/02/12

STONE ENERGY CORP                       DE       7.01,9.01            04/03/12

Strategic Mining Corp                            4.02                 03/30/12    AMEND

Strategic Storage Trust, Inc.           MD       7.01,8.01,9.01       04/02/12

STUDIO II BRANDS INC                    FL       5.02                 03/29/12

SUNESIS PHARMACEUTICALS INC             DE       1.01,3.02,9.01       03/29/12

SUNOVIA ENERGY TECHNOLOGIES INC         NV       5.02,9.01            03/26/12

SYNTHESIS ENERGY SYSTEMS INC            DE       7.01,9.01            04/03/12

TBS International plc                   L2       1.03,3.03,9.01       03/29/12

TELOS CORP                              MD       5.02,9.01            03/29/12

TENGION INC                             DE       3.01,7.01,9.01       04/03/12

TESORO CORP /NEW/                       DE       1.01,2.01,2.03,9.01  03/30/12

TESORO LOGISTICS LP                     DE       1.01,2.01,2.03,3.02, 03/30/12
						 5.03,9.01

TESSERA TECHNOLOGIES INC                DE       5.07                 03/30/12

THERMODYNETICS INC                      DE       5.02                 03/31/12

Timberline Resources Corp               DE       7.01,9.01            03/30/12

TMX Finance LLC                         DE       2.02,9.01            03/29/12

Tonix Pharmaceuticals Holding Corp.     NV       1.01,2.01,3.02,4.01, 10/07/11    AMEND
						 5.01,5.02,5.06,8.01,
						 9.01

Transcept Pharmaceuticals Inc           DE       7.01,9.01            04/03/12

Transocean Ltd.                         V8       8.01                 03/29/12

Treaty Energy Corp                      NV       2.03,9.01            03/27/12

TWO RIVERS WATER Co                     CO       2.03                 03/29/12

UNIGENE LABORATORIES INC                DE       8.01,9.01            04/03/12

UNITED INSURANCE HOLDINGS CORP.         DE       1.01,5.02,9.01       03/28/12

UNITED SURGICAL PARTNERS INTERNATIONA   DE       7.01,9.01            04/03/12

UniTek Global Services, Inc.            DE       1.01,5.02,9.01       03/28/12

URANIUM ENERGY CORP                     NV       1.01,8.01,9.01       04/02/12

USG CORP                                DE       8.01,9.01            04/02/12

VALUECLICK INC/CA                       DE       5.02,9.01            04/03/12

Vantage Drilling CO                     E9       8.01,9.01            03/30/12

VISHAY INTERTECHNOLOGY INC              DE       1.01,2.03,8.01,9.01  04/03/12

VISTA GOLD CORP                         B0       7.01,9.01            03/30/12

VYCOR MEDICAL INC                       DE       2.02,9.01            03/30/12

W R GRACE & CO                          DE       7.01,9.01            04/03/12

WABCO Holdings Inc.                     DE       5.02,9.01            03/28/12

WALTER INVESTMENT MANAGEMENT CORP       MD       5.02,8.01,9.01       03/09/12

WASHINGTON GAS LIGHT CO                 DC       8.01                 03/29/12

WEIKANG BIO-TECHNOLOGY GROUP CO., INC   NV       2.02,9.01            04/02/12

WELLCARE HEALTH PLANS, INC.             DE       8.01,9.01            04/03/12

Wendy's Co                              DE       7.01                 04/03/12

Western Refining, Inc.                  DE       8.01,9.01            03/29/12

WFRBS Commercial Mortgage Trust 2012-   NC       8.01,9.01            03/30/12

WILSHIRE BANCORP INC                             1.01,9.01            03/28/12

WNC Housing Tax Credit Fund VI, L.P.,   CA       2.02,9.01            04/03/12

WORLD HEART CORP                        DE       1.01,9.01            03/29/12

WORTHINGTON INDUSTRIES INC              OH       2.02,9.01            03/29/12

WPCS INTERNATIONAL INC                  DE       5.02,9.01            04/03/12

XCEL ENERGY INC                         MN       8.01                 03/29/12

YAHOO INC                               DE       8.01                 04/02/12

ZIOPHARM ONCOLOGY INC                   DE       8.01,9.01            04/03/12

ZIOPHARM ONCOLOGY INC                   DE       5.02,9.01            03/30/12

 

http://www.sec.gov/news/digest/2012/dig040412.htm


Modified: 04/04/2012