 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
Commission AnnouncementsCommission MeetingsClosed Meeting on Saturday, May 12, 2012 at 11:00 a.m.The subject matter of the May 12, 2012 Closed Meeting was: an examination of a financial institution. Closed Meeting on Tuesday, May 15, 2012 at 2:00 p.m.The subject matter of the May 15, 2012 Closed Meeting was: an examination of a financial institution. 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 Revokes Registrations of Securities of Vineyard National Bancorp For Failure to Make Required Periodic FilingsOn May 15, 2012, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the registration of each class of registered securities of Vineyard National Bancorp (Vineyard National) (stock symbols VNBCQ and VNBAQ) for failure to make required periodic filings with the Commission. Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, Vineyard National consented to the entry of an Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Vineyard National’s securities pursuant to Section 12(j) of the Exchange Act. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
(Rel. 34-66987; File No. 3-14878) In the Matter of Liege Holding, Inc.An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default as to Liege Holding, Inc. (Liege Holding), (Default Order) in Jetborne International, Inc., Admin. Proc. No. 3-14809. The Order Instituting Proceedings alleges that Liege Holding repeatedly failed to file timely periodic reports while its securities were registered with the Securities and Exchange Commission (Commission). The Default Order finds these allegations to be true and revokes the registration of each class of registered securities of Liege Holding pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act). Respondent Kamp-Rite Holdings, Inc.’s registration was revoked on May 7, 2012. See Jetborne International, Inc., Exchange Act Release No. 66929 (May 7, 2012). The Commission has accepted the Offer of Settlement submitted by Respondent Mikron Infrared, Inc. See Jetborne International, Inc., Exchange Act Release No. 66836 (Apr. 20, 2012). All other Respondents except Liege Holding have been defaulted. See Jetborne International, Inc., Exchange Act Release No. 66878 (Apr. 30, 2012). (Rel. 34-66988; File No. 3-14809) In the Matter of Edward J. MarinoThe Securities and Exchange Commission announced today that Edward J. Marino of Boston, Massachusetts, the former chief executive officer of Connecticut-based Presstek, Inc., has agreed to settle previously-filed charges that he aided and abetted Presstek’s violations of Section 13(a) of the Securities Exchange Act of 1934 (“Exchange Act”) and Regulation FD promulgated thereunder. Regulation FD generally prohibits public companies from selectively disclosing material non-public information to certain investors without simultaneously disclosing it to all investors. Among other things, Marino has agreed to pay a $50,000 civil penalty. On March 9, 2010, the Commission filed a civil injunctive action against Marino and Presstek, a manufacturer and distributor of high-technology digital imaging equipment. The Commission's complaint alleged that on September 28, 2006, while acting on behalf of Presstek, Marino selectively disclosed material non-public information regarding Presstek's financial performance during the third quarter of 2006 to a partner of a registered investment adviser. According to the complaint, within minutes of receiving the information from Marino, the partner decided to sell all of the shares of Presstek stock managed by the investment adviser. The complaint alleged that Presstek violated Section 13(a) of the Exchange Act and Regulation FD when it did not simultaneously disclose to the public the information provided by Marino to the partner, and that Marino aided and abetted those violations. Without admitting or denying the Commission’s allegations, Marino has consented to the entry of a civil judgment requiring him to pay a $50,000 civil penalty. The civil judgment is subject to approval of the U.S. District Court for the District of Massachusetts. Marino also consented to the issuance of an administrative order making findings that he caused Presstek’s violations and ordering him to cease and desist from committing or causing any violations and any future violations of Section 13(a) of the Exchange Act and Regulation FD. At the time the case was originally filed in March 2010, Presstek agreed to settle the Commission's charges by consenting to a judgment that enjoins Presstek from further violations of Section 13(a) of the Exchange Act and Regulation FD and ordered it to pay a $400,000 civil penalty. For further information, see Litigation Release No. 21443 (March 9, 2010) [civil action filed against Presstek and Marino]. (Rel. 34-66990; File No. 3-14879) In the Matter of John JantzenOn May 15, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Order) against John Jantzen. The Division of Enforcement alleges that Jantzen engaged in illegal insider trading in the securities of Perot Systems Corp. (Perot Systems) in the days surrounding the September 21, 2009 public announcement that Dell Inc. (Dell) would acquire Perot Systems through a tender offer transaction. Specifically, the complaint alleged that Jantzen’s wife became aware of the pending transaction in the course of her duties as a Dell employee, and in breach of her duty to keep the information confidential, tipped Jantzen. The complaint alleged that on September 18, 2009, the last trading day before the public announcement of the tender offer, Jantzen purchased 500 shares of Perot Systems common stock and 24 Perot Systems call option contracts in the couples’ joint brokerage account while in possession of material, nonpublic information related to the acquisition. The complaint alleged that following the public announcement, Perot Systems’ stock price immediately increased, closing at $29.56, up $11.65 (approximately 65%) from the prior trading day’s close of $17.91. The complaint further alleged that immediately following the public announcement and resulting increase in the price of Perot System shares, Jantzen liquidated his entire position in Perot Systems stock and call options, realizing net trading profits of $26,813.58. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to provide the Respondents an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest. The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of this Order, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. (Rel. 34-66991; File No. 3-14880) SELF-REGULATORY ORGANIZATIONSNotice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2 Concerning Options Related Sales Practice MattersThe Commission noticed, approved, and declared effective a proposed amendment, filed on May 2, 2012, to the plan for the allocation of regulatory responsibilities relating to options-related sales practice matters between NYSE Amex LLC, BATS Exchange, Inc., C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, the BOX Options Exchange LLC, NASDAQ OMX BX, Inc., and the NASDAQ OMX PHLX, Inc. pursuant to Rule 17d-2 under the Securities Exchange Act of 1934 (File No. S7-966). Publication is expected in the Federal Register during the week of May 14. (Rel. 34-66974) Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Concerning Options-Related Market SurveillanceThe Commission noticed, approved, and declared effective a proposed amendment, filed on May 2, 2012, to the plan for the allocation of regulatory responsibilities relating to market surveillance between NYSE Amex LLC, BATS Exchange, Inc., C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, the BOX Options Exchange LLC, NASDAQ OMX BX, Inc., and the NASDAQ OMX PHLX, Inc. pursuant to Rule 17d-2 under the Securities Exchange Act of 1934 (File No. 4-551). Publication is expected in the Federal Register during the week of May 14. (Rel. 34-66975) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by BOX Options Exchange LLC (SR-BOX-2012-002) to adopt the Fee Schedule for trading on BOX 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 May 14. (Rel. 34-66979) A proposed rule change filed by the BOX Options Exchange, LLC to update rules based on the Boston Options Exchange Group, LLC (“BOX Group”) rules and recent BOX Group rule filings (SR-BOX-2012-001) 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 May 14. (Rel. 34-66982) A proposed rule change (SR-Phlx-2012-61) filed by NASDAQ OMX PHLX LLC, relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols and Equity Options Fees 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 May 14. (Rel. 34-66985) Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule ChangesThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on proceedings to determine whether to disapprove proposed rule changes (SR-NYSE-2011-56 and SR-NYSEAmex-2011-86) filed by the New York Stock Exchange LLC and NYSE Amex LLC to codify certain traditional trading floor functions that may be performed by designated market makers. Publication is expected in the Federal Register during the week of May 14. (Rel. 34-66981) Proposed Rule ChangesPursuant to Rule 19b-4 of the Securities Exchange Act of 1934, NASDAQ OMX BX, Inc. (“BX”) has filed with the Securities and Exchange Commission a proposed rule change, as modified by Amendment No. 1, (SR-BX-2012-030) to establish a new options market, NASDAQ OMX BX Options. Publication is expected in the Federal Register during the week of May 14. (Rel. 34-66983) NYSE Amex LLC has filed a proposed rule change (SR-NYSEAmex-2012-29) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder amending commentary .07 to NYSE Amex Options Rule 904 to eliminate position limits for options on the SPDR® S&P 500® exchange-traded fund which list and trade under the symbol SPY. Publication is expected in the Federal Register during the week of May 14. (Rel. 34-66984) 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 LEAP WIRELESS INTERNATIONAL INC, 5887 COPLEY DRIVE, SAN DIEGO, CA, 92111, 8588826000 - 0 ($1,833,750.00) Equity, (File 333-181373 - May. 14) (BR. 11C) S-3 ECOTALITY, INC., 80 E RIO SALADO PARKWAY, SUITE 710, TEMPE, AZ, 85281, (480) 219-5005 - 3,937,007 ($5,000,000.00) Equity, (File 333-181374 - May. 14) (BR. 10A) S-8 NICE SYSTEMS LTD, 8 HAPNINA STREET, P.O.B. 690, RA'ANANA, L3, 43107, 972-9-775-3777 - 1,000,000 ($37,575,000.00) Equity, (File 333-181375 - May. 14) (BR. 03A) S-1 Shutterstock, Inc., 60 BROAD STREET, 30TH FLOOR, NEW YORK, NY, 10004, 646-710-3410 - 0 ($115,000,000.00) Equity, (File 333-181376 - May. 14) (BR. 03) S-3ASR KELLOGG CO, ONE KELLOGG SQ, P O BOX 3599, BATTLE CREEK, MI, 49016-3599, 2699612000 - 0 ($0.00) Debt, (File 333-181377 - May. 14) (BR. 04B) S-4 MONITRONICS INTERNATIONAL INC, 2350 VALLEY VIEW LANE, SUITE 100, DALLAS, TX, 75234-5736, (972) 243-7443 - 0 ($410,000,000.00) Debt, (File 333-181379 - May. 14) (BR. 11C) S-8 UR-ENERGY INC, SUITE 200, 10758 W. CENTENNIAL ROAD, LITTLETON, CO, 80127, 720-981-4588 - 2,216,000 ($2,337,880.00) Equity, (File 333-181380 - May. 14) (BR. 09B) S-8 MAGNETEK, INC., N49 W13650 CAMPBELL DRIVE, MENOMONEE FALLS, WI, 53051, 262-783-3500 - 250,000 ($4,660,000.00) Equity, (File 333-181381 - May. 14) (BR. 10B) S-8 Enphase Energy, Inc., 201 1ST STREET SUITE 100, PETALUMA, CA, 94952, 707-774-7000 - 0 ($42,191,799.60) Equity, (File 333-181382 - May. 14) (BR. 10A) S-8 MIND CTI LTD, INDUSTRIAL PARK BUILDING 7, YOQNEAM ILIT ISRAEL, L3, 20692, 97249936666 - 1,800,000 ($3,165,946.00) Equity, (File 333-181383 - May. 14) (BR. 03A) S-11 West Coast Realty Trust, Inc., 650 HOWE AVENUE, SUITE 730, SACRAMENTO, CA, 95825, (916) 925-9278 - 0 ($17,250,000.00) Equity, (File 333-181384 - May. 14) (BR. 08) S-B KfW, PALMENGARTENSTRASSE, 5 - 9, FRANKFURT AM MAIN, 2M, 60325, 496974310 - 0 ($8,500,000,000.00) Debt, (File 333-181385 - May. 14) (BR. DN) S-8 GARDNER DENVER INC, 1500 LIBERTY RIDGE DRIVE, SUITE 3000, WAYNE, PA, 19087, 6102492000 - 0 ($135,067,500.00) Equity, (File 333-181386 - May. 14) (BR. 10A) S-8 MULTIMEDIA GAMES HOLDING COMPANY, INC., 206 WILD BASIN RD. SOUTH, BUILDING B, AUSTIN, TX, 78746, 5123347500 - 1,900,000 ($24,747,000.00) Equity, (File 333-181387 - May. 14) (BR. 05B) S-1 CIMARRON SOFTWARE INC, 2749 EAST PARLEYS WAY STE 310, SALT LAKE CITY, UT, 84109, 375,715 ($187,857.50) Equity, (File 333-181388 - May. 14) (BR. ) S-8 AQUA AMERICA INC, 762 W. LANCASTER AVE, BRYN MAWR, PA, 19010-3489, 610-527-8000 - 0 ($22,840,000.00) Equity, (File 333-181389 - May. 14) (BR. 02C) S-3ASR E TRADE FINANCIAL Corp, 1271 AVENUE OF THE AMERICAS FL 14, NEW YORK, NY, 10020-1302, 6503316000 - 0 ($0.00) Other, (File 333-181390 - May. 14) (BR. 12A) S-8 CABOT CORP, TWO SEAPORT LANE SUITE 1300, BOSTON, MA, 02109-1806, 6173450100 - 0 ($102,577,200.00) Equity, (File 333-181391 - May. 14) (BR. 06C) S-8 RYDER SYSTEM INC, 11690 N.W. 105TH STREET, MIAMI, FL, 33178, 3055003726 - 3,500,000 ($161,875,000.00) Equity, (File 333-181396 - May. 14) (BR. 05C) S-8 EverBank Financial Corp, 501 RIVERSIDE AVENUE, 12TH FLOOR, JACKSONVILLE, FL, 32202, (904) 281-6000 - 0 ($297,327,981.00) Equity, (File 333-181397 - May. 14) (BR. 07) S-3 GAMCO INVESTORS, INC. ET AL, ONE CORPORATE CENTER, 401 THEODORE FREMD AVENUE, RYE, NY, 10580, 9149213700 - 200,000,000 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-181398 - May. 14) (BR. 12A) S-3 Excel Trust, Inc., 17140 BERNARDO CENTER DRIVE, SUITE 300, SAN DIEGO, CA, 92128, (858) 613-1800 - 0 ($12,899,434.00) Equity, (File 333-181399 - May. 14) (BR. 08C) S-4 URANIUM RESOURCES INC /DE/, 9723877777 - 0 ($22,087.52) Equity, (File 333-181400 - May. 14) (BR. 09A) S-3 SYNTROLEUM CORP, 5416 S. YALE, SUITE 400, TULSA, OK, 74135, 9185927900 - 0 ($212,504,326.00) Unallocated (Universal) Shelf, (File 333-181402 - May. 14) (BR. 04A) S-8 PMC SIERRA INC, 1380 BORDEAUX DRIVE, SUNNYVALE, CA, 94089, 408-369-1176 - 9,500,000 ($64,600,000.00) Equity, (File 333-181403 - May. 14) (BR. 10B) 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 ----------------------------------------------------------------------------------------- ACCELLENT INC 2.02,9.01 05/14/12 ADOBE SYSTEMS INC DE 5.02,9.01 05/14/12 ADVANT E CORP DE 2.02,9.01 05/14/12 ADVOCAT INC DE 8.01,9.01 05/14/12 AFFYMETRIX INC DE 5.07 05/11/12 AGILENT TECHNOLOGIES INC DE 2.02,9.01 05/14/12 AGR TOOLS, INC. NV 4.01,9.01 05/10/12 AIR LEASE CORP DE 2.02,9.01 05/14/12 ALASKA PACIFIC BANCSHARES INC AK 2.02,9.01 05/14/12 ALEXANDER & BALDWIN INC HI 5.07 05/11/12 Alexza Pharmaceuticals Inc. DE 5.02 05/10/12 ALION SCIENCE & TECHNOLOGY CORP DE 2.02,7.01,8.01 05/14/12 ALLIANCEBERNSTEIN HOLDING L.P. DE 5.02,7.01,9.01 05/14/12 ALLIANCEBERNSTEIN L.P. DE 5.02,7.01,9.01 05/14/12 Allied World Assurance Co Holdings, A 7.01,9.01 05/14/12 Ally Financial Inc. DE 5.07,8.01,9.01 05/14/12 ALTAIR NANOTECHNOLOGIES INC Z4 1.01,9.01 05/08/12 AMBASE CORP DE 8.01 05/14/12 AMBIENT CORP /NY DE 2.02 05/14/12 American Electric Technologies Inc FL 2.02,9.01 05/09/12 AMERICAN FINANCIAL GROUP INC OH 1.01,7.01,9.01 05/10/12 AMERICAN PUBLIC EDUCATION INC DE 8.01,9.01 05/14/12 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 2.01,2.03 05/09/12 AMERICAN SCIENCE & ENGINEERING, INC. MA 2.02,8.01,9.01 05/14/12 AMERICAN SHARED HOSPITAL SERVICES CA 2.02,9.01 05/14/12 ANAREN INC NY 5.02,9.01 05/14/12 ANNALY CAPITAL MANAGEMENT INC MD 1.01,2.03,9.01 05/09/12 Antero Resources LLC DE 2.02,9.01 05/14/12 Apple REIT Eight, Inc. VA 8.01 05/14/12 Apple REIT Nine, Inc. VA 8.01 05/14/12 Apple REIT Seven, Inc. VA 8.01 05/14/12 APPLE REIT SIX INC 8.01 05/14/12 ARADIGM CORP CA 2.02,9.01 05/11/12 ARBITRON INC DE 5.02 05/11/12 ARC WIRELESS SOLUTIONS INC UT 8.01 04/06/12 AMEND ARCH CAPITAL GROUP LTD. 5.07,8.01 05/09/12 Archipelago Learning, Inc. DE 5.02,9.01 05/01/12 ARGAN INC DE 8.01,9.01 05/14/12 Artio Global Investors Inc. DE 5.07 05/11/12 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 05/10/12 ASSISTED LIVING CONCEPTS INC NV 8.01 05/09/12 ATHERSYS, INC / NEW DE 2.02,9.01 05/14/12 ATLANTIC AMERICAN CORP GA 2.02,9.01 05/14/12 Atlantic Coast Financial CORP MD 5.07 05/11/12 AVISTA CORP WA 5.07 05/10/12 AXION INTERNATIONAL HOLDINGS, INC. CO 4.02 05/10/12 BAKERS FOOTWEAR GROUP INC MO 5.02,9.01 05/14/12 BARFRESH FOOD GROUP INC. DE 7.01,9.01 05/14/12 BARRETT BUSINESS SERVICES INC MD 7.01 05/14/12 BB&T CORP NC 7.01,9.01 05/14/12 BCB BANCORP INC 5.02,9.01 05/10/12 Beacon Federal Bancorp, Inc. MD 2.02,9.01 05/10/12 BEST BUY CO INC MN 5.02,7.01,9.01 05/14/12 BIOTIME INC CA 7.01,9.01 05/14/12 BIOVEST INTERNATIONAL INC DE 7.01,9.01 05/14/12 BLUEFLY INC DE 2.02,9.01 05/14/12 BMC SOFTWARE INC DE 1.01,3.03,5.03,8.01, 05/12/12 9.01 BMC SOFTWARE INC DE 5.02 05/08/12 BOSTON SCIENTIFIC CORP DE 5.07 05/08/12 BRYN MAWR BANK CORP PA 7.01,9.01 05/14/12 BSB Bancorp, Inc. MD 5.07 05/09/12 CAMDEN PROPERTY TRUST TX 5.03,5.07,9.01 05/11/12 CANTERBURY PARK HOLDING CORP MN 2.02,9.01 05/14/12 CAPITAL ONE FINANCIAL CORP DE 7.01 05/14/12 CAPITAL SOUTHWEST CORP TX 5.02 05/14/12 CAPITAL TRUST INC MD 2.02,9.01 05/08/12 CARDINAL FINANCIAL CORP VA 8.01 05/14/12 CARPENTER TECHNOLOGY CORP DE 2.01,9.01 02/29/12 AMEND CASTLE A M & CO MD 5.02,9.01 05/10/12 CBRE GROUP, INC. DE 5.02,5.07 05/08/12 CELL THERAPEUTICS INC WA 7.01,8.01,9.01 05/10/12 CenterState Banks, Inc. FL 7.01,9.01 05/14/12 CENTRAL BANCORP INC /MA/ MA 2.02,9.01 05/11/12 Chanticleer Holdings, Inc. DE 5.07 05/11/12 CHARTER FINANCIAL CORP/GA 7.01,9.01 05/14/12 Chemtura CORP DE 5.07 05/10/12 CHESAPEAKE ENERGY CORP OK 2.03,7.01,9.01 05/11/12 CHINA EDUCATION INTERNATIONAL, INC. NV 5.03,9.01 05/11/12 China inSure Holdings, Inc NV 4.01,9.01 05/08/12 China TransInfo Technology Corp. NV 2.02,7.01,9.01 05/14/12 CHINACAST EDUCATION CORP DE 3.01,8.01 05/14/12 CITIZENS & NORTHERN CORP PA 5.02 05/14/12 CITY NATIONAL CORP DE 5.02,5.07 05/09/12 Cleantech Solutions International, In DE 7.01,9.01 05/11/12 CLIFFS NATURAL RESOURCES INC. OH 5.02,5.07,9.01 05/08/12 CLIFTON SAVINGS BANCORP INC 2.02,8.01,9.01 05/09/12 COLOMBIA ENERGY RESOURCES, INC. DE 5.02,5.05,5.07,8.01, 05/08/12 9.01 COMDISCO HOLDING CO INC DE 2.02,9.01 05/14/12 COMMUNITY BANK SYSTEM INC DE 5.07,8.01,9.01 05/09/12 Community Choice Financial Inc. 3.01,9.01 05/11/12 COMPASS MINERALS INTERNATIONAL INC DE 5.07 05/09/12 COMPUTER SCIENCES CORP NV 5.02,9.01 05/10/12 Computer Software Innovations, Inc. DE 2.02,3.02,5.07,9.01 05/08/12 CONCORD CAMERA CORP NJ 8.01 05/11/12 CONOCOPHILLIPS DE 5.07 05/09/12 Consolidated Communications Holdings, DE 8.01,9.01 05/14/12 Consolidated Communications Holdings, DE 7.01,9.01 05/14/12 Consolidated Communications Holdings, DE 8.01,9.01 05/14/12 CONTINENTAL RESOURCES INC OK 5.02,9.01 05/09/12 Cornerstone Financial Corp NJ 8.01,9.01 05/11/12 Cornerstone OnDemand Inc DE 2.02,9.01 05/14/12 COVANCE INC DE 1.01,5.07,9.01 05/08/12 COVER ALL TECHNOLOGIES INC DE 2.02,9.01 05/14/12 CRAWFORD & CO GA 5.07,8.01,9.01 05/09/12 CROGHAN BANCSHARES INC OH 5.07 05/08/12 CROSS COUNTRY HEALTHCARE INC DE 5.02 05/14/12 Crystal Rock Holdings, Inc. DE 1.01,9.01 05/14/12 CVS CAREMARK CORP DE 5.03,5.07 05/10/12 Cyclacel Pharmaceuticals, Inc. DE 2.02,9.01 05/14/12 DATA I/O CORP WA 5.07,7.01 05/10/12 DEL MONTE CORP 2.05,7.01 05/14/12 DELCATH SYSTEMS INC DE 7.01,9.01 05/14/12 Delta Tucker Holdings, Inc. DE 2.02,9.01 05/14/12 DEVON ENERGY CORP/DE DE 1.01,2.03,9.01 05/14/12 DOLLAR TREE INC VA 7.01,9.01 05/14/12 AMEND DOMINOS PIZZA INC 7.01,9.01 05/11/12 DORCHESTER MINERALS, L.P. DE 7.01,9.01 05/14/12 DOW CHEMICAL CO /DE/ DE 5.02,5.07,9.01 05/10/12 DREW INDUSTRIES INC DE 8.01,9.01 05/14/12 DTE ENERGY CO MI 2.02,9.01 05/14/12 DTS, INC. DE 5.07,8.01 05/10/12 DUMA ENERGY CORP NV 7.01,9.01 05/14/12 DUN & BRADSTREET CORP/NW DE 5.03,5.07,9.01 05/09/12 ECB BANCORP INC NC 7.01,9.01 05/14/12 EDIETS COM INC DE 2.02,9.01 05/14/12 Edwards Lifesciences Corp DE 5.02,5.07,9.01 05/10/12 Electromed, Inc. 1.01,5.02,9.01 05/11/12 Electromed, Inc. 2.02,9.01 05/14/12 Encore Bancshares Inc TX 5.07,8.01,9.01 05/10/12 ENCORE CAPITAL GROUP INC DE 7.01,9.01 05/14/12 ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 05/14/12 Energy Services of America CORP DE 2.02,9.01 05/11/12 Energy Telecom, Inc. FL 7.01,9.01 05/14/12 EnviroStar, Inc. DE 2.02,9.01 05/14/12 EQUITY ONE, INC. 7.01,9.01 05/14/12 Erickson Air-Crane Inc DE 7.01,9.01 05/14/12 ES Bancshares, Inc. MD 8.01,9.01 05/14/12 EVCARCO, INC. NV 1.01,9.01 05/08/12 Excel Trust, Inc. MD 8.01,9.01 05/14/12 Federal Home Loan Bank of Topeka 3.03,7.01,9.01 05/10/12 FEI CO OR 1.01,5.07,9.01 05/10/12 FIRST BANCORP /NC/ NC 5.07 05/10/12 FIRST KEYSTONE CORP PA 5.02,5.07,7.01,9.01 05/10/12 FIRST NATIONAL CORP /VA/ 5.07 05/08/12 Fortegra Financial Corp DE 5.02,5.07 05/08/12 Francesca's Holdings CORP 5.02,7.01,9.01 05/13/12 Fraternity Community Bancorp Inc 2.02,9.01 05/11/12 FriendFinder Networks Inc. NV 2.02,9.01 05/14/12 FRONTIER COMMUNICATIONS CORP DE 5.07 05/14/12 Galena Biopharma, Inc. 2.02,9.01 05/14/12 GANNETT CO INC /DE/ DE 5.02,9.01 05/14/12 Geeknet, Inc DE 5.02,8.01,9.01 05/14/12 GENCOR INDUSTRIES INC DE 2.02,9.01 05/14/12 General Finance CORP DE 8.01,9.01 05/14/12 GENTA INC DE/ DE 2.02,9.01 05/14/12 GENTIVA HEALTH SERVICES INC DE 5.07 05/10/12 GENWORTH FINANCIAL INC DE 5.02 05/14/12 GILEAD SCIENCES INC DE 5.07 05/10/12 GLIMCHER REALTY TRUST MD 2.01,9.01 05/09/12 GLOBALSCAPE INC DE 7.01 05/14/12 GOLFSMITH INTERNATIONAL HOLDINGS INC DE 1.01,5.03,8.01,9.01 05/11/12 Granite Falls Energy, LLC MN 7.01,9.01 05/14/12 Graystone Co DE 1.01,3.02,8.01 05/10/12 Great Lakes Dredge & Dock CORP DE 5.07 05/09/12 Green PolkaDot Box Inc NV 1.01,2.01,3.02,5.01, 02/29/12 AMEND 5.02,5.06,9.01 Griffin-American Healthcare REIT II, MD 7.01,9.01 05/14/12 Groupon, Inc. DE 2.02,9.01 05/14/12 GXS Worldwide, Inc. DE 2.02,9.01 05/14/12 HANCOCK HOLDING CO MS 8.01,9.01 05/14/12 HANGER ORTHOPEDIC GROUP INC DE 5.02,5.07 05/10/12 HARBINGER GROUP INC. DE 2.02,9.01 05/10/12 HAWAIIAN ELECTRIC INDUSTRIES INC HI 5.07 05/08/12 HICKOK INC OH 2.02,9.01 03/31/12 Home Federal Bancorp, Inc. of Louisia LA 7.01,9.01 05/14/12 HOME PROPERTIES INC MD 1.01,9.01 05/14/12 HOSPITALITY PROPERTIES TRUST MD 5.02,5.07,8.01,9.01 05/09/12 Hudson Pacific Properties, Inc. MD 8.01,9.01 05/14/12 HUNTINGTON BANCSHARES INC/MD MD 7.01,9.01 05/14/12 IBERIABANK CORP LA 7.01,9.01 05/14/12 IMMUCELL CORP /DE/ DE 2.02 05/14/12 IMPERIAL INDUSTRIES INC DE 2.02,9.01 05/14/12 INERGY L P DE 8.01,9.01 05/14/12 INERGY MIDSTREAM, L.P. 1.01,2.01,9.01 05/14/12 INTEGRA LIFESCIENCES HOLDINGS CORP DE 1.01,9.01 05/11/12 Integrated Management Information, In 2.01,9.01 02/29/12 INTELSAT S.A. N4 8.01 05/14/12 INTEST CORP DE 8.01 05/02/12 Intrepid Potash, Inc. DE 7.01,9.01 05/14/12 INTRUSION INC DE 2.02,9.01 05/14/12 INUVO, INC. NV 2.02,7.01,9.01 03/31/12 J2 GLOBAL, INC. DE 5.02,5.07 05/10/12 JACK IN THE BOX INC /NEW/ DE 5.02,9.01 05/14/12 JACOBS ENTERTAINMENT INC DE 2.02,9.01 05/14/12 JAGGED PEAK, INC. NV 9.01 05/14/12 JMP Group Inc. DE 7.01 05/14/12 KAISER ALUMINUM CORP DE 8.01,9.01 05/14/12 KAISER ALUMINUM CORP DE 8.01,9.01 05/14/12 KEATING CAPITAL INC 7.01,9.01 05/14/12 KINDER MORGAN, INC. DE 5.07 05/09/12 Kior Inc DE 2.02,7.01,9.01 05/14/12 Kodiak Oil & Gas Corp B0 7.01,9.01 05/14/12 Kodiak Oil & Gas Corp B0 8.01,9.01 05/14/12 Kodiak Oil & Gas Corp B0 8.01,9.01 05/14/12 Kohlberg Capital CORP DE 9.01 02/29/12 AMEND KOHLS Corp WI 5.07,8.01,9.01 05/10/12 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 05/14/12 LAKELAND INDUSTRIES INC DE 8.01 05/08/12 LANTRONIX INC DE 3.01,5.02,9.01 05/14/12 LEAP WIRELESS INTERNATIONAL INC DE 5.02 05/10/12 LEGGETT & PLATT INC MO 5.02,5.07,9.01 05/10/12 LEHMAN ABS CORP KRAFT FOODS NOTE BACK DE 8.01,9.01 05/01/12 LEVI STRAUSS & CO DE 8.01 05/11/12 LGL GROUP INC DE 2.02,7.01,9.01 05/14/12 LIBBEY INC DE 7.01,9.01 05/11/12 LSI CORP DE 5.02,5.07,9.01 05/09/12 LYRIS, INC. 5.07 05/14/12 MACE SECURITY INTERNATIONAL INC DE 2.02,9.01 05/14/12 MAGNUM HUNTER RESOURCES CORP DE 1.01,8.01,9.01 05/11/12 MARCHEX INC DE 7.01,9.01 05/11/12 MARKWEST ENERGY PARTNERS L P 1.01,7.01,9.01 05/09/12 MATTEL INC /DE/ DE 5.02,5.07,9.01 05/10/12 MAXWELL TECHNOLOGIES INC DE 5.07 05/09/12 MAXYGEN INC DE 8.01,9.01 05/11/12 MEDICAL MAKEOVER CORP OF AMERICA DE 5.02 05/14/12 Memorial Production Partners LP DE 8.01,9.01 05/14/12 METROPOLITAN HEALTH NETWORKS INC FL 2.02,9.01 05/08/12 MICHAEL FOODS GROUP, INC. DE 2.02,9.01 05/14/12 MICROFINANCIAL INC MA 5.07 05/10/12 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 05/14/12 MIDDLEBY CORP DE 5.07 05/10/12 Millennial Media Inc. DE 2.02,9.01 05/14/12 MINDSPEED TECHNOLOGIES, INC DE 5.02 05/10/12 Molycorp, Inc. DE 8.01,9.01 05/14/12 Molycorp, Inc. DE 7.01,9.01 05/14/12 Monotype Imaging Holdings Inc. DE 5.07 05/10/12 MRI INTERVENTIONS, INC. DE 5.02,9.01 05/08/12 NATIONAL HEALTH INVESTORS INC MD 5.07 05/10/12 NATIONAL SECURITY GROUP INC DE 7.01,9.01 05/14/12 Nationstar Mortgage Holdings Inc. DE 8.01,9.01 05/14/12 NCI BUILDING SYSTEMS INC DE 1.01,3.02,8.01,9.01 05/08/12 Neonode, Inc DE 2.02,9.01 05/14/12 NEW ENERGY TECHNOLOGIES, INC. 7.01,9.01 05/08/12 New England Bancshares, Inc. 8.01,9.01 05/14/12 NEWCASTLE INVESTMENT CORP MD 2.02,9.01 05/10/12 NEWS CORP 8.01,9.01 05/14/12 NORTHLAND CABLE PROPERTIES SEVEN LIMI WA 8.01,9.01 05/10/12 NORTHWEST INDIANA BANCORP IN 5.02 05/11/12 NORTHWEST PIPE CO OR 2.02,9.01 05/14/12 NORWOOD FINANCIAL CORP PA 7.01,9.01 05/14/12 NUCOR CORP DE 5.02,5.07 05/09/12 NV ENERGY, INC. NV 5.02,5.05,5.07,9.01 05/10/12 OCEANFIRST FINANCIAL CORP DE 5.07 05/10/12 OCULUS VISIONTECH INC. WY 5.02,5.03,5.07,9.01 01/30/12 OHIO VALLEY BANC CORP OH 5.07 05/14/12 Ohr Pharmaceutical Inc 8.01 05/14/12 OMNICOMM SYSTEMS INC DE 2.02,9.01 05/10/12 Oneida Financial Corp. MD 5.02,5.07,9.01 05/08/12 OPNET TECHNOLOGIES INC DE 2.02,8.01,9.01 05/14/12 ORBIT INTERNATIONAL CORP DE 2.02,9.01 05/10/12 ORRSTOWN FINANCIAL SERVICES INC PA 5.02 05/14/12 Oryon Technologies, Inc. NV 2.01,9.01 05/04/12 AMEND Otter Tail Corp MN 1.01,9.01 05/14/12 PACIFIC CAPITAL BANCORP /CA/ DE 5.07 05/10/12 PALATIN TECHNOLOGIES INC DE 2.02,9.01 05/14/12 PARK CITY GROUP INC 2.02,9.01 05/14/12 Park Sterling Corp NC 8.01,9.01 05/14/12 PDI INC 2.02,9.01 05/14/12 PDL BIOPHARMA, INC. DE 7.01,9.01 05/14/12 PETROLEUM DEVELOPMENT CORP NV 1.01,9.01 05/11/12 PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 05/11/12 PetroLogistics LP DE 1.01,9.01 05/09/12 PETROQUEST ENERGY INC DE 5.07 05/09/12 Phillips Edison - ARC Shopping Center MD 8.01,9.01 05/14/12 Portlogic Systems Inc. NV 1.01,9.01 05/14/12 POTOMAC BANCSHARES INC WV 7.01,9.01 05/14/12 POWER SOLUTIONS INTERNATIONAL, INC. DE 2.02,9.01 05/14/12 PREMIER BIOMEDICAL INC NV 1.01,9.01 05/09/12 PRINCETON NATIONAL BANCORP INC DE 5.02 05/11/12 Prologis, Inc. MD 5.02 05/11/12 PROLOR Biotech, Inc. NV 1.01,8.01,9.01 05/10/12 PROTECTIVE LIFE CORP DE 8.01,9.01 05/14/12 PROTEONOMIX, INC. DE 4.01,9.01 05/08/12 PROVECTUS PHARMACEUTICALS INC NV 5.02,9.01 05/14/12 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 05/14/12 QUALSTAR CORP CA 5.02,9.01 05/09/12 RADIANT LOGISTICS, INC DE 5.02,9.01 05/14/12 Radiation Therapy Services Holdings, DE 1.01,2.03,9.01 05/10/12 Radiation Therapy Services Holdings, DE 2.02,9.01 05/14/12 RADISYS CORP OR 5.02,5.03,9.01 05/11/12 Raptor Pharmaceutical Corp DE 5.03,8.01,9.01 05/11/12 REDWOOD TRUST INC MD 7.01 05/14/12 Regency Energy Partners LP DE 7.01,9.01 05/14/12 RENT A CENTER INC DE 5.07,8.01,9.01 05/10/12 Resource Capital Corp. MD 7.01,8.01,9.01 05/14/12 ROCKY BRANDS, INC. OH 5.07 05/09/12 ROYALE ENERGY INC CA 3.01 05/08/12 Sabra Health Care REIT, Inc. MD 7.01,9.01 05/14/12 SANTEON GROUP, INC. DE 7.01,9.01 05/14/12 SAUL CENTERS INC MD 5.07,8.01,9.01 05/04/12 SAVIENT PHARMACEUTICALS INC DE 2.02,9.01 05/09/12 SBA COMMUNICATIONS CORP FL 1.01,2.03,9.01 05/09/12 SELECTIVE INSURANCE GROUP INC NJ 7.01,9.01 05/14/12 SEMPRA ENERGY CA 5.07 05/10/12 SERENA SOFTWARE INC DE 5.02,9.01 05/08/12 SERVICE CORPORATION INTERNATIONAL TX 5.07 05/09/12 SERVOTRONICS INC /DE/ DE 2.02,7.01,9.01 05/14/12 SHARPROCK RESOURCES INC. NV 5.02 05/08/12 Shengkai Innovations, Inc. FL 2.02,9.01 05/14/12 Sibling Entertainment Group Holdings, TX 4.01,9.01 03/24/12 AMEND Silicon Graphics International Corp DE 5.02,9.01 05/08/12 Skajaquoda Group inc. DE 4.01 05/14/12 AMEND SLM Student Loan Trust 2006-7 DE 8.01,9.01 05/14/12 Solar Capital Ltd. MD 8.01,9.01 05/14/12 Solar Power, Inc. CA 2.02,9.01 05/14/12 Sorrento Therapeutics, Inc. DE 1.01,3.02,9.01 05/14/12 SOUTHERN MICHIGAN BANCORP INC MI 5.07 05/10/12 Spansion Inc. DE 5.07 05/11/12 SPAR GROUP INC DE 8.01,9.01 05/14/12 StellarOne CORP VA 8.01 05/14/12 STRATEGIC HOTELS & RESORTS, INC 7.01,9.01 05/14/12 Summer Infant, Inc. DE 2.02,9.01 05/14/12 SYNTHESIS ENERGY SYSTEMS INC DE 7.01,9.01 05/14/12 TALON INTERNATIONAL, INC. DE 5.02 05/09/12 TALON INTERNATIONAL, INC. DE 2.02,9.01 05/14/12 TANDY BRANDS ACCESSORIES INC DE 2.02,9.01 05/14/12 TAPIMMUNE INC NV 3.02,5.02,8.01,9.01 05/14/12 TCP Capital Corp. DE 2.02,9.01 05/14/12 THERMADYNE HOLDINGS CORP /DE DE 2.02,8.01,9.01 05/09/12 TII NETWORK TECHNOLOGIES, INC. DE 1.01,2.02,7.01,9.01 05/13/12 TOR MINERALS INTERNATIONAL INC DE 5.07 05/11/12 TOYOTA MOTOR CREDIT CORP CA 7.01,9.01 05/14/12 TPG Specialty Lending, Inc. DE 1.01,2.03 05/08/12 Transcept Pharmaceuticals Inc DE 2.02,9.01 05/14/12 Travelport LTD D0 1.01,2.03,5.02,9.01 05/08/12 TRI COUNTY FINANCIAL CORP /MD/ MD 5.03,9.01 05/11/12 Two Harbors Investment Corp. 7.01,9.01 05/14/12 U S PHYSICAL THERAPY INC /NV NV 7.01,9.01 05/14/12 U S PRECIOUS METALS INC DE 5.02 05/11/12 UNICO AMERICAN CORP NV 2.02 03/31/12 UNITED SECURITY BANCSHARES INC DE 5.07 05/09/12 UNITEDHEALTH GROUP INC MN 7.01 05/14/12 UNITIL CORP NH 7.01,8.01,9.01 05/10/12 UNIVERSAL BIOSENSORS INC DE 5.07 05/10/12 UNIVERSAL HOSPITAL SERVICES INC MN 2.02,7.01,9.01 05/14/12 UNIVERSAL POWER GROUP INC. TX 2.02,9.01 05/09/12 URANIUM RESOURCES INC /DE/ DE 8.01,9.01 05/10/12 US ENERGY CORP WY 7.01,9.01 05/14/12 USA REAL ESTATE INVESTMENT TRUST /CA CA 2.01,8.01 05/10/12 USEC INC DE 3.01,9.01 05/08/12 USG CORP DE 5.02,5.07 05/09/12 VALUECLICK INC/CA DE 5.07 05/08/12 Vantage Drilling CO E9 2.02,9.01 05/10/12 VENTRUS BIOSCIENCES INC DE 8.01,9.01 05/14/12 VENTRUS BIOSCIENCES INC DE 5.07 05/08/12 Verastem, Inc. DE 2.02,9.01 05/14/12 Verso Paper Corp. DE 2.02,9.01 05/14/12 VISTAPRINT N.V. P7 8.01 05/14/12 VITESSE SEMICONDUCTOR CORP DE 5.02 05/09/12 WABASH NATIONAL CORP /DE DE 1.01,2.01,2.03,9.01 05/08/12 WASTE MANAGEMENT INC DE 5.07 05/14/12 WATSON PHARMACEUTICALS INC NV 5.02,5.07,9.01 05/11/12 Willbros Group, Inc.\NEW\ 8.01,9.01 05/14/12 WRIGHT MEDICAL GROUP INC DE 5.07 05/09/12 XERIUM TECHNOLOGIES INC DE 5.02,7.01,9.01 05/08/12 YAHOO INC DE 1.01,5.02,8.01,9.01 05/12/12 Your Event, Inc. NV 5.02 05/10/12 ZIMMER HOLDINGS INC DE 5.03,5.07,9.01 05/08/12 ZOGENIX, INC. DE 2.02,9.01 05/14/12
http://www.sec.gov/news/digest/2012/dig051512.htm
|