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SEC News Digest
Issue 2012-99
May 22, 2012
Commission Announcements
SEC Charges Former Yahoo Executive and Former Ameriprise Manager with Insider Trading
On May 21, 2012, the Securities and Exchange Commission charged a former executive at Yahoo! Inc. and a former mutual fund manager at a subsidiary of Ameriprise Financial Inc. with insider trading on confidential information about a search engine partnership between Yahoo and Microsoft Corporation.
The SEC alleges that Robert W. Kwok, who was Yahoo’s senior director of business management, breached his duty to the company when he told Reema D. Shah in July 2009 that a deal between Yahoo and Microsoft would be announced soon. Shah had reached out to Kwok amid market rumors of an impending partnership between the two companies, and Kwok told her the information was kept quiet at Yahoo and only a few people knew of the coming announcement. Based on Kwok’s illegal tip, Shah prompted the mutual funds she managed to buy more than 700,000 shares of Yahoo stock that were later sold for profits of approximately $389,000.
The SEC further alleges that a year earlier, the roles were reversed. Shah tipped Kwok with material nonpublic information about an impending acquisition announcement between two other companies. Kwok traded in a personal account based on the confidential information for profits of $4,754.
Kwok and Shah, who each live in California, have agreed to settle the SEC’s charges. Financial penalties and disgorgement will be determined by the court at a later date. Under the settlements, Shah will be permanently barred from the securities industry and Kwok will be permanently barred from serving as an officer or director of a public company.
“Kwok and Shah played a game of you scratch my back and I’ll scratch yours,” said Scott W. Friestad, Associate Director in the SEC’s Division of Enforcement. “When corporate executives and mutual fund professionals misuse their access to confidential information, they undermine the integrity of our markets and violate the trust placed in them by investors.”
In a parallel criminal case announced today by the U.S. Attorney’s Office for the Southern District of New York, Kwok has pled guilty to conspiracy to commit securities fraud, and Shah has pled guilty to both a primary and conspiracy charge. Both are awaiting sentencing.
According to the SEC’s complaint filed in U.S. District Court for the Southern District of New York, Shah and Kwok first met in January 2008 when Shah was attending a real estate conference in California at the same facility where Yahoo was holding a meeting. The two met in a hallway and began discussing their respective businesses, and thereafter they spoke frequently by phone or in person. Kwok provided Shah with information about Yahoo, including whether Yahoo’s quarterly financial performance was expected to be in line with market estimates. In return, Shah provided Kwok with information she learned in the course of her work, and he used it to help make his personal investment decisions. Both Shah and Kwok benefitted from this exchange of information.
The SEC alleges that in early 2008, shortly after their initial meeting, Shah told Kwok that she had learned through an inside source at Autodesk Inc. that it intended to acquire Moldflow Corporation. Based on this illegal tip that Kwok received from Shah, he purchased 1,500 shares of Moldflow in a personal account from April 7 to April 25. Autodesk and Moldflow announced the acquisition on May 1, and the price of Moldflow stock increased 11 percent. Kwok then sold his shares for a profit.
According to the SEC’s complaint, Shah followed Yahoo closely as a portfolio manager at Ameriprise subsidiary RiverSource Investments LLC and previously at J. & W. Seligman & Co. She believed that the announcement of a partnership between Yahoo and Microsoft would have a positive impact on Yahoo’s stock. In July 2009, when certain media began reporting that a deal could be forthcoming with Microsoft making a large up-front payment to Yahoo, Shah reached out to Kwok for inside information. Both Kwok and Shah knew that Kwok was tipping Shah in breach of his duty to Yahoo. Based on the confidential information she received from Kwok, Shah prompted certain RiverSource funds she helped managed to purchase 700,300 shares of Yahoo on July 16. The largest purchase was made in the Seligman Communications and Information Fund, which alone added approximately 450,000 shares of Yahoo to its holdings. On July 28, the shares were sold and a profit was realized.
The SEC’s complaint charges Kwok and Shah with violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. In the settlements that are subject to court approval, Kwok and Shah acknowledged the facts to which they pled guilty and consented to judgments that impose permanent injunctions. The settlements also include the bars and to-be-determined financial sanctions.
The SEC’s investigation, which is continuing, has been conducted by Brian O. Quinn and Brian D. Vann in the SEC’s Division of Enforcement. The SEC thanks the U.S. Attorney’s Office for the Southern District of New York and the Federal Bureau of Investigation for their assistance in this matter. (Press Rel. 2012-99; LR-22372)
SEC Charges Two Feeders for One of South Florida's Largest-Ever Ponzi Schemes
The Securities and Exchange Commission today charged two individuals who provided the biggest influx of investor funds into one of the largest-ever Ponzi schemes in South Florida.
The SEC alleges that George Levin and Frank Preve, who live in the Fort Lauderdale area, raised more than $157 million from 173 investors in less than two years by issuing promissory notes from Levin’s company and interests in a private investment fund they operated. They used investor funds to purchase discounted legal settlements from former Florida attorney Scott Rothstein through his prominent law firm Rothstein Rosenfeldt and Adler PA. However, the settlements Rothstein sold were not real and the supposed plaintiffs and defendants did not exist. Rothstein simply used the funds in classic Ponzi scheme fashion to make payments due other investors and support his lavish lifestyle. Rothstein’s Ponzi scheme collapsed in October 2009, and he is currently serving a 50-year prison sentence.
The SEC alleges that Levin and Preve misrepresented to investors that they had procedural safeguards in place to protect investor money when in fact they often purchased settlements without first seeing any legal documents or doing anything to verify that the settlement proceeds were actually in Rothstein’s bank accounts. Moreover, as the Ponzi scheme was collapsing and Rothstein stopped making payments on prior investments, Levin and Preve sought new investor money while falsely touting the continued success of their investment strategy. With their fate tied to Rothstein, Levin and Preve’s settlement purchasing business collapsed along with the Ponzi scheme.
“Levin and Preve fueled Rothstein’s Ponzi scheme with the false sense of security they gave investors,” said Eric I. Bustillo, Director of the SEC’s Miami Regional Office. “They promised to safeguard investors’ assets, but gave Rothstein money with nothing to show for it.”
According to the SEC’s complaint filed in federal court in Miami, Levin and Preve began raising money to purchase Rothstein settlements in 2007 by offering investors short-term promissory notes issued by Levin’s company – Banyon 1030-32 LLC. In 2009, seeking additional funds from investors, they formed a private investment fund called Banyon Income Fund LP that invested exclusively in Rothstein’s settlements. Banyon 1030-32 served as the general partner of the fund, and its profit was generated from the amount by which the settlement discounts obtained from Rothstein exceeded the rate of return promised to investors.
The SEC alleges that the offering materials for the promissory notes and the private fund contained material misrepresentations and omissions. They misrepresented to investors that prior to any settlement purchase, Banyon 1030-32 would obtain certain documentation about the settlements to ensure the safety of the investments. Levin and Preve, however, knew or were reckless in not knowing that Banyon 1030-32 often purchased settlements from Rothstein without obtaining any documentation whatsoever.
Furthermore, the SEC alleges that Banyon Income Fund’s private placement memorandum misrepresented that the fund would be a continuation of a successful business strategy pursued by Banyon 1030-32 during the prior two-and-a-half years. Levin and Preve failed to disclose that by the time the Banyon Income Fund offering began in May 2009, Rothstein had already ceased making payments on a majority of the prior settlements Levin and his entities had purchased. They also failed to inform investors that Levin’s ability to recover his prior investments from Rothstein was contingent on his ability to raise at least $100 million of additional funding to purchase more settlements from Rothstein.
The SEC’s complaint seeks disgorgement of ill gotten gains, financial penalties, and permanent injunctive relief against Levin and Preve to enjoin them from future violations of the federal securities laws.
The SEC’s investigation, which is continuing, has been conducted by senior counsels D. Corey Lawson and Steven J. Meiner and staff accountant Tonya T. Tullis under the supervision of Assistant Regional Director Chad Alan Earnst. Senior trial counsels James M. Carlson and C. Ian Anderson are leading the litigation.
The SEC acknowledges the assistance of the U.S. Attorney’s Office for the Southern District of Florida, the Federal Bureau of Investigation, and the Internal Revenue Service. (Press Rel. 2012-100)
Commission Meetings
Closed Meeting on Tuesday, May 22, 2012 at 4:30 p.m.
The subject matter of the Closed Meeting on May 22 will be examinations of financial institutions and a personnel matter.
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 Proceedings
In the Matter of Richard A. Finger, Jr.
On May 22, 2012, the Commission issued 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 Richard A. Finger, Jr. (Finger). The Order finds that Finger was a registered representative of several broker-dealer firms from 2001 through 2010, and in February 2011, became the chief executive officer of Black Diamond Securities, LLC (Black Diamond), a broker-dealer registered with the Commission with offices in Kirkland, Washington. The Order further finds that based on his guilty plea to one count of wire fraud, Finger was sentenced to 54 months in prison by the United States District Court for the Western District of Washington on April 13, 2012, in United States v. Richard A. Finger, Jr., Crim. No. 2:11-cr-00382-RSM-1. The wire fraud count, the Order finds, alleged that Finger defrauded multiple investors out of millions of dollars by generating significant trading losses in client brokerage accounts, diverting client funds to his benefit through charging excessive commissions, and providing clients with false account statements to conceal his conduct.
The Commission previously filed a civil injunctive action against Finger and Black Diamond. (LR-22087) Upon filing the action in September 2011, the Commission obtained a court order freezing Finger and Black Diamond’s assets and preliminarily enjoining them from violating antifraud provisions of the federal securities laws.
Based on the findings described above, the Commission’s Order bars Finger from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. It also bars him from participating in penny stock offerings. (Rel. 34-67041; File No. 3-14887)
Investment Company Act Releases
Advisors Series Trust
Orinda Asset Management, LLC
An order has been issued on an application filed by Advisors Series Trust and Orinda Asset Management, LLC, exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-30065 - May 21)
Praxis Mutual Funds
Everence Community Investments, Inc.
An order has been issued on an application filed by Praxis Mutual Funds (Trust) and Everence Community Investments, Inc. (ECI). The order amends a prior order to permit the Trust to continue to invest in securities issued by ECI following the implementation of certain changes in ECI’s community development investment program. (Rel. IC-30066 - May 21)
Self-Regulatory Organizations
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the C2 Options Exchange, Incorporated (SR-C2-2012-013) to amend its Fees Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 21. (Rel. 34-67023)
A proposed rule change filed by The NASDAQ Stock Market LLC to Rule 4751(f)(7) concerning the processing of the Price to Comply Order (SR-NASDAQ-2012-060) 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 21. (Rel. 34-67024)
A proposed rule change filed by NYSE Arca, Inc. amending NYSE Arca Equities Rule 7.31(pp) to change the Primary After 3:45 Order to a Primary After 3:55 Order (SR-NYSEArca-2012-42) 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 21. (Rel. 34-67033)
A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-37) to terminate a pilot program related to an incentive plan for certain foreign currency options traded on the Exchange and to make a technical change to the Schedule of 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 May 21. (Rel. 34-67035)
A proposed rule change filed by Chicago Mercantile Exchange Inc. (CME) modifying a fee program related to its OTC interest rate swap clearing offering (SR-CME-2012-18) 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 21. (Rel. 34-67036)
Designation of Longer Period For Commission Action on a Proposed Rule Change
The Commission has designated a longer period for Commission action, pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, on a proposed rule change (SR-NYSEArca-2012-26) filed by NYSE Arca, Inc. to list and trade option contracts overlying 10 shares of a security (mini-options contracts) and implement 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 May 21. (Rel. 34-67034)
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. N-2 JOHN HANCOCK INVESTORS TRUST, C/O JOHN HANCOCK FUNDS,
601 CONGRESS STREET, BOSTON, MA, 02210, 617-663-3000 -
1,000 ($23.38) Equity, (File 333-181550 - May. 21) (BR. 17)
S-3 Voyager Oil & Gas, Inc., 2718 MONTANA AVENUE, SUITE 220, BILLINGS, MT,
59101, 406-245-4902 - 0 ($100,000,000.00) Equity, (File 333-181551 -
May. 21) (BR. 04A)
F-3 ROYAL BANK OF CANADA, ROYAL BANK PLAZA, 200 BAY STREET, TORONTO, A6,
M5J2J5, 2128587116 - 12,000,000,000 ($12,000,000,000.00) Debt,
(File 333-181552 - May. 21) (BR. 12A)
S-8 VanceInfo Technologies Inc., 3/F, BUILDING 8,
ZHONGGUANCUN SOFTWARE PARK, HAIDIAN DIST, BEIJING, F4, 100094,
(86-10) 8282-5266 - 0 ($19,950,000.00) ADRs/ADSs, (File 333-181553 -
May. 21) (BR. 03A)
S-8 Vipshop Holdings Ltd, No. 20 Huahai Street, Liwan district,, Guangzhou,
F4, 510370, 86 (20) 2233-0000 - 0 ($32,944,994.00) ADRs/ADSs,
(File 333-181559 - May. 21) (BR. 02)
S-8 Chemtura CORP, BENSON ROAD, MIDDLEBURY, CT, 06749, 2035732000 -
0 ($14,130,000.00) Equity, (File 333-181561 - May. 21) (BR. 06A)
N-2 ARES CAPITAL CORP, 245 PARK AVENUE, 44TH FLOOR, NEW YORK, NY, 10167,
2127507300 - 0 ($688,228,621.29) Other, (File 333-181563 - May. 21)
(BR. 17)
S-8 AVANIR PHARMACEUTICALS, INC., 20 ENTERPRISE, SUITE 200, ALISO VIEJO,
CA, 92656, 949-389-6700 - 0 ($14,754,137.00) Equity, (File 333-181564 -
May. 21) (BR. 01B)
S-4 WESTMORELAND COAL Co, 9540 SOUTH MAROON CIRCLE, SUITE 200, ENGLEWOOD,
CO, 80112, 303-922-6463 - 0 ($125,000,000.00) Debt, (File 333-181565 -
May. 21) (BR. 09B)
S-8 Facebook Inc, 1601 WILLOW ROAD, MENLO PARK, CA, 94025, 650-618-7714 -
605,015,804 ($15,456,895,764.12) Equity, (File 333-181566 - May. 21)
(BR. 03C)
F-1 National Commercial Bank Jamaica Ltd, 32 Traflgar Road, Kingston 10,
Jamaica, L8, 00000, (866) 622-3477 - 0 ($225,000,000.00) Equity,
(File 333-181567 - May. 21) (BR. 07)
S-4 S&T BANCORP INC, 800 PHILADELPHIA STREET, PO BOX 190, INDIANA, PA,
15701, 724-427-2347 - 0 ($15,451,091.00) Equity, (File 333-181568 -
May. 21) (BR. 07B)
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
1.01
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Entry into a Material Definitive Agreement
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1.02
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Termination of a Material Definitive Agreement
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1.03
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Bankruptcy or Receivership
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2.01
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Completion of Acquisition or Disposition of Assets
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2.02
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Results of Operations and Financial Condition
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2.03
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Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
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2.04
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Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
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2.05
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Cost Associated with Exit or Disposal Activities
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2.06
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Material Impairments
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3.01
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Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
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3.02
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Unregistered Sales of Equity Securities
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3.03
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Material Modifications to Rights of Security Holders
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4.01
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Changes in Registrant's Certifying Accountant
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4.02
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Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
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5.01
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Changes in Control of Registrant
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5.02
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer
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5.03
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Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
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5.04
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Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
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5.05
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Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
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5.06
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Change in Shell Company Status
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6.01
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ABS Informational and Computational Material.
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6.02
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Change of Servicer or Trustee.
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6.03
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Change in Credit Enhancement or Other External Support.
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6.04
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Failure to Make a Required Distribution.
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6.05
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Securities Act Updating Disclosure.
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7.01
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Regulation FD Disclosure
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8.01
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Other Events
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9.01
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Financial Statements and Exhibits
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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
-----------------------------------------------------------------------------------------
1st Century Bancshares, Inc. DE 8.01 05/21/12
1ST SOURCE CORP IN 8.01 05/16/12
4 KIDS ENTERTAINMENT INC NY 5.07 05/21/12
A. H. Belo CORP DE 5.07 05/17/12
ABERCROMBIE & FITCH CO /DE/ DE 2.02,8.01,9.01 05/15/12
Acadia Healthcare Company, Inc. DE 1.01,8.01,9.01 05/15/12
ACCO BRANDS CORP DE 5.02,5.07 05/15/12
ADCARE HEALTH SYSTEMS INC OH 1.01 05/15/12
ADVENTRX PHARMACEUTICALS INC DE 7.01,9.01 05/21/12
AETNA INC /PA/ PA 5.07 05/18/12
AGR TOOLS, INC. NV 5.07 05/18/12
ALIGN TECHNOLOGY INC DE 5.02,8.01,9.01 05/21/12
ALLIANCE FIBER OPTIC PRODUCTS INC CA 5.07 05/18/12
AMC ENTERTAINMENT INC DE 7.01,9.01 05/20/12
AMERIANA BANCORP IN 5.07 05/17/12
AMERICAN RIVER BANKSHARES CA 5.07,8.01,9.01 05/18/12
AMERIGROUP CORP 3.02 05/15/12
Amerilithium Corp. NV 4.02 05/21/12
AMERITRANS CAPITAL CORP DE 8.01 05/16/12
AMETEK INC/ DE 8.01 05/21/12
AMYRIS, INC. DE 1.01,2.03 05/18/12
ANADARKO PETROLEUM CORP DE 5.07 05/15/12
Andover Holdings, Inc./FL FL 4.01 05/17/12
ANN INC. DE 5.07 05/16/12
ANNAPOLIS BANCORP INC MD 5.07 05/21/12
ANSYS INC DE 5.03,5.07,9.01 05/17/12
Aon plc X0 5.05,5.07 05/18/12
AOXING PHARMACEUTICAL COMPANY, INC. FL 5.02 05/15/12
APARTMENT INVESTMENT & MANAGEMENT CO MD 7.01,9.01 05/21/12
APRICUS BIOSCIENCES, INC. NV 4.01,9.01 05/18/12
ARCH COAL INC DE 1.04 05/15/12
ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 05/21/12
ASPEN TECHNOLOGY INC /DE/ DE 8.01,9.01 05/21/12
ASSOCIATED BANC-CORP WI 7.01,9.01 05/21/12
ASSOCIATED BANC-CORP WI 8.01,9.01 05/21/12
ATLANTIC TELE NETWORK INC /DE DE 2.03,9.01 05/18/12
Atlas Energy, L.P. DE 1.01,2.03,9.01 05/16/12
Atlas Resource Partners, L.P. 1.01,3.02,7.01,9.01 05/17/12
AUXILIUM PHARMACEUTICALS INC 1.01,7.01,9.01 05/18/12
AUXILIUM PHARMACEUTICALS INC 7.01,9.01 05/21/12
AVEO PHARMACEUTICALS INC DE 8.01 05/16/12
AXESSTEL INC NV 7.01,9.01 05/21/12
BAKER HUGHES INC DE 5.02,5.03,9.01 05/21/12
BANCTRUST FINANCIAL GROUP INC AL 5.02 05/15/12
BANK OF THE JAMES FINANCIAL GROUP INC VA 5.07,9.01 05/15/12
Bering Exploration, Inc. NV 3.02 05/16/12
BERRY PETROLEUM CO DE 5.07 05/21/12
BERRY PETROLEUM CO DE 8.01 05/21/12
BEST BUY CO INC MN 5.02 05/16/12 AMEND
BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 05/21/12
BIOTIME INC CA 3.02,8.01,9.01 05/18/12
BLACK BOX CORP DE 5.02,8.01 05/15/12
Blueknight Energy Partners, L.P. DE 7.01,9.01 05/21/12
BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 7.01,8.01,9.01 05/15/12
BOTTOMLINE TECHNOLOGIES INC /DE/ DE 5.02,8.01 05/17/12
BRE PROPERTIES INC /MD/ MD 5.07 05/15/12
BROADCOM CORP CA 5.07 05/15/12
CABCO SERIES 2004-101 TRUST (GOLDMAN 8.01,9.01 05/15/12
CABLEVISION SYSTEMS CORP /NY DE 5.07 05/18/12
CAMPBELL SOUP CO NJ 2.02,9.01 05/21/12
CANO PETROLEUM, INC 7.01,9.01 05/21/12
CARDINAL HEALTH INC OH 8.01,9.01 05/21/12
Cardium Therapeutics, Inc. DE 8.01,9.01 05/15/12
Care Investment Trust Inc. MD 2.02,7.01,9.01 05/15/12
CAROLINA BANK HOLDINGS INC NC 5.02,5.07 05/15/12
CBRE GROUP, INC. DE 5.02 05/15/12
CC Media Holdings Inc 5.02,5.07,9.01 05/18/12
CDI CORP PA 7.01 05/21/12
CelLynx Group, Inc. NV 4.01,9.01 05/11/12
CENTRAL FEDERAL CORP DE 5.07 05/17/12
CENTRAL FEDERAL CORP DE 8.01,9.01 05/21/12
CERADYNE INC DE 5.07 05/16/12
CHC Helicopter S.A. N4 5.02 05/15/12
CHDT CORP FL 5.03,7.01,8.01 05/16/12
CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 05/21/12
China Auto Logistics Inc NV 3.01,9.01 05/15/12
China Biologic Products, Inc. 5.02 05/21/12
China Carbon Graphite Group, Inc. NV 2.02,9.01 05/16/12
CHROMCRAFT REVINGTON INC DE 2.02,9.01 05/15/12
CHUGACH ELECTRIC ASSOCIATION INC AK 5.03,9.01 05/17/12
CIMAREX ENERGY CO DE 5.07 05/16/12
CITIZENS FIRST CORP KY 5.07 05/16/12
CLEAR CHANNEL COMMUNICATIONS INC TX 5.02,9.01 05/18/12
Clear Channel Outdoor Holdings, Inc. DE 5.02,5.07,9.01 05/18/12
CNO Financial Group, Inc. DE 7.01 05/18/12
Coastal Carolina Bancshares, Inc. SC 5.02,9.01 05/16/12
COBIZ FINANCIAL INC CO 5.07 05/17/12
Colonial Financial Services, Inc. MD 5.07 05/17/12
COMMUNITY BANK SHARES OF INDIANA INC IN 5.07 05/21/12 AMEND
COMPUTER SCIENCES CORP NV 8.01 05/21/12
Consorteum Holdings, Inc. NV 5.02 05/18/12
CONVERGYS CORP OH 2.01,9.01 05/21/12
Cooper Industries plc 7.01,8.01,9.01 05/21/12
Copano Energy, L.L.C. 5.02,5.07,9.01 05/15/12
CoreSite Realty Corp MD 5.07 05/16/12
CORN PRODUCTS INTERNATIONAL INC DE 5.07 05/15/12
CORTEX PHARMACEUTICALS INC/DE/ DE 1.01 05/17/12
COSI INC DE 2.02,7.01,9.01 05/17/12
COVENTRY HEALTH CARE INC DE 5.03,5.07,9.01 05/21/12
CRANE CO /DE/ DE 9.01 05/18/12
CRYOLIFE INC FL 5.07 05/16/12
CSS INDUSTRIES INC DE 5.02,9.01 05/15/12
Cullen Agricultural Holding Corp DE 2.01,9.01 05/15/12
CVB FINANCIAL CORP CA 7.01,8.01,9.01 05/18/12
CYTOMEDIX INC DE 5.03,5.05,5.07,9.01 05/18/12
Cytosorbents Corp 7.01,9.01 05/16/12
DAVITA INC DE 1.01,9.01 05/20/12
DAVITA INC DE 7.01,9.01 05/21/12
DDR CORP OH 5.02,5.07,9.01 05/15/12
DELPHI FINANCIAL GROUP INC/DE DE 4.01,9.01 05/15/12
DENBURY RESOURCES INC DE 5.03,5.07,7.01,9.01 05/15/12
diaDexus, Inc. DE 5.07 05/17/12
DIAL GLOBAL, INC. /DE/ DE 1.01,5.02,9.01 05/21/12
DineEquity, Inc DE 5.07 05/15/12
Duke Energy CORP DE 8.01,9.01 05/21/12 AMEND
DUPONT FABROS TECHNOLOGY, INC. MD 5.02,9.01 05/21/12
EAGLE FINANCIAL SERVICES INC VA 5.07 05/16/12
EATON CORP OH 7.01,8.01,9.01 05/21/12
Echo Therapeutics, Inc. DE 1.02 05/18/12
ECOLOGY COATINGS, INC. NV 5.02 05/21/12
EDIETS COM INC DE 5.07 05/15/12
El Paso Pipeline Partners, L.P. DE 1.01,3.02,9.01 05/17/12
EMPIRE ENERGY CORP UT 8.01,9.01 05/16/12
ENBRIDGE ENERGY PARTNERS LP DE 1.01,7.01,8.01,9.01 05/16/12
ENERGY PARTNERS LTD DE 2.01,9.01 05/15/12
EQUITY ONE, INC. 2.02,7.01 05/21/12
EXPEDITORS INTERNATIONAL OF WASHINGTO WA 7.01 05/21/12
EXTREME NETWORKS INC DE 8.01 05/21/12
FARO TECHNOLOGIES INC FL 5.07 05/16/12
Federal Home Loan Bank of Dallas 2.03,9.01 05/15/12
FelCor Lodging Trust Inc MD 5.07 05/21/12
FERRELLGAS PARTNERS L P DE 7.01 05/21/12
First Advantage Bancorp 5.07 05/21/12
FIRST BANCORP /PR/ PR 2.02,7.01,9.01 05/21/12
FIRST CHINA PHARMACEUTICAL GROUP, INC NV 2.02,9.01 05/18/12
FIRST COMMUNITY CORP /SC/ SC 5.02,9.01 05/15/12
FIRST FINANCIAL SERVICE CORP KY 1.01,8.01,9.01 05/15/12
First Guaranty Bancshares, Inc. LA 5.07 05/18/12
FIRST NORTHERN COMMUNITY BANCORP CA 5.07 05/15/12
First Sentry Bancshares, Inc. WV 2.02,9.01 05/17/12
FIRSTFED FINANCIAL CORP DE 8.01,9.01 05/15/12
Firsthand Technology Value Fund, Inc. 8.01,9.01 05/21/12
FIVE STAR QUALITY CARE INC 5.07 05/15/12
FLOTEK INDUSTRIES INC/CN/ DE 5.02,5.07,9.01 05/18/12
FLUIDIGM CORP DE 5.07 05/16/12
FOOT LOCKER INC NY 5.02,5.07,9.01 05/16/12
FRISCHS RESTAURANTS INC OH 2.02,9.01 05/16/12
FULLER H B CO MN 2.01,9.01 03/05/12 AMEND
FX ENERGY INC NV 8.01,9.01 05/20/12
GAMCO INVESTORS, INC. ET AL NY 8.01,9.01 05/21/12
GDT TEK, Inc. 8.01 04/30/12
GE Dealer Floorplan Master Note Trust DE 1.01,9.01 05/16/12
GENERAL CABLE CORP /DE/ DE 1.01,8.01,9.01 05/18/12
Genpact LTD D0 5.07 05/16/12
GENWORTH FINANCIAL INC DE 5.02,5.07,9.01 05/17/12
GEORGIA GULF CORP /DE/ DE 8.01,9.01 05/21/12
GLADSTONE INVESTMENT CORPORATION\DE DE 2.02,9.01 05/21/12
Goa Sweet Tours Ltd. 5.01,5.02 05/15/12
GOLDEN GLOBAL CORP. NV 1.01,9.01 05/02/12
Grand Canyon Education, Inc. DE 5.02,5.07 05/17/12
HALLIBURTON CO DE 5.02,5.07 05/16/12
HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 05/21/12
HAMPTON ROADS BANKSHARES INC VA 5.02,7.01,9.01 05/21/12
HANGER ORTHOPEDIC GROUP INC DE 5.02,7.01,9.01 05/21/12
HANMI FINANCIAL CORP DE 7.01,9.01 05/21/12
HASBRO INC RI 5.07 05/17/12
HASTINGS ENTERTAINMENT INC TX 2.02,9.01 05/21/12
HEALTHCARE TRUST OF AMERICA, INC. MD 1.01,9.01 05/21/12
HEARTLAND FINANCIAL USA INC DE 1.01,3.03,5.02,5.07, 05/16/12
9.01
HELMERICH & PAYNE INC DE 7.01,9.01 05/21/12
HERITAGE OAKS BANCORP CA 7.01,9.01 05/21/12
HOME LOAN SERVICING SOLUTIONS, LTD. E9 7.01,9.01 05/21/12
HOPFED BANCORP INC DE 5.07 05/16/12
HUDSON VALLEY HOLDING CORP NY 7.01,9.01 05/21/12
HUGOTON ROYALTY TRUST TX 2.02,9.01 05/18/12
HUMANA INC DE 7.01,8.01 05/21/12
IBERIABANK CORP LA 5.07 05/16/12
IDACORP INC ID 3.03,5.02,5.03,5.07, 05/17/12
9.01
IDENIX PHARMACEUTICALS INC DE 5.02 05/15/12
IMAGE SENSING SYSTEMS INC MN 5.07,7.01 05/18/12
Independence Resources PLC X0 8.01 05/16/12
INDEPENDENT BANK CORP MA 1.01 05/15/12
InfuSystem Holdings, Inc DE 2.02,3.01,9.01 05/18/12
INLAND REAL ESTATE CORP MD 7.01,9.01 05/21/12
Interactive Intelligence Group, Inc. IN 5.07 05/16/12
INTERMUNE INC DE 1.01 05/15/12
Internal Fixation Systems, Inc. FL 5.02 05/17/12
INVACARE CORP OH 5.02,5.07 05/17/12
Investview, Inc. NV 1.01,5.02,9.01 05/15/12
IVAX DIAGNOSTICS INC DE 2.02,9.01 05/21/12
J C PENNEY CO INC DE 5.07 05/18/12
Jazz Pharmaceuticals plc L2 8.01 05/18/12
JUNIATA VALLEY FINANCIAL CORP PA 5.07,8.01,9.01 05/15/12
KAR Auction Services, Inc. DE 5.07 05/17/12
KBR, INC. DE 5.07 05/21/12
KEY TECHNOLOGY INC OR 5.02,9.01 05/16/12
KIMCO REALTY CORP MD 8.01,9.01 05/21/12
KIRKLAND'S, INC 2.02,9.01 05/18/12
KIT digital, Inc. DE 1.01,5.02,9.01 05/16/12
KRISPY KREME DOUGHNUTS INC NC 2.02,7.01,9.01 05/21/12
KRISPY KREME DOUGHNUTS INC NC 8.01,9.01 05/21/12
LEAP WIRELESS INTERNATIONAL INC DE 5.02,5.07 05/17/12
Liberty Global, Inc. DE 7.01 05/21/12
LOUISIANA-PACIFIC CORP DE 1.01,8.01,9.01 05/18/12
LOWES COMPANIES INC NC 2.02,9.01 05/21/12
Macy's, Inc. DE 5.07 05/18/12
MANTHEY REDMOND Corp DE 1.01,9.01 05/17/12
Mastech Holdings, Inc. PA 5.07 05/16/12 AMEND
MB FINANCIAL INC /MD 7.01 05/21/12
MEADOWBROOK INSURANCE GROUP INC MI 5.07 05/17/12
MEDALLION FINANCIAL CORP DE 8.01,9.01 05/21/12
MEDICAL PROPERTIES TRUST INC 5.07 05/17/12
MEDICIS PHARMACEUTICAL CORP DE 8.01 05/16/12
Medytox Solutions, Inc. NV 1.01,2.03 05/14/12 AMEND
MEMC ELECTRONIC MATERIALS INC DE 5.02 05/15/12
MESA LABORATORIES INC /CO CO 1.01,2.01,9.01 05/15/12
MESA ROYALTY TRUST/TX TX 2.02,9.01 05/21/12
METRO BANCORP, INC. 5.07 05/17/12
MF Global Holdings Ltd. DE 7.01,9.01 05/15/12
Midway Gold Corp A1 5.02,7.01,9.01 05/18/12
Monster Offers NV 5.02 05/14/12
MORGANS FOODS INC OH 5.03,9.01 05/17/12
Motorola Mobility Holdings, Inc 8.01 05/19/12
MULTI COLOR Corp OH 2.02,9.01 05/21/12
MYOS Corp NV 5.03,9.01 05/15/12
NATIONAL BANCSHARES CORP /OH/ OH 2.02 05/15/12
NATIONAL HEALTH INVESTORS INC MD 7.01 05/21/12
NATIONAL HOLDINGS CORP DE 2.02,9.01 05/16/12
NEW YORK MORTGAGE TRUST INC MD 5.07 05/17/12
NEWCASTLE INVESTMENT CORP MD 1.01,9.01 05/18/12
NEWS CORP 8.01,9.01 05/21/12
Next 1 Interactive, Inc. NV 5.03,9.01 05/17/12
NEXTERA ENERGY INC FL 8.01,9.01 05/21/12
NGL Energy Partners LP DE 1.01,3.02,5.02,7.01, 05/17/12
9.01
NightCulture, Inc. NV 1.01,2.01,3.02,9.01 05/21/12
NORDSON CORP OH 1.01,9.01 05/18/12
NORDSON CORP OH 2.02,9.01 05/21/12
NORTHEAST BANCORP /ME/ ME 8.01,9.01 05/21/12
NOVAVAX INC DE 8.01,9.01 05/18/12
NPS PHARMACEUTICALS INC DE 5.07 05/16/12
OGLETHORPE POWER CORP GA 7.01,9.01 05/21/12
Oiltanking Partners, L.P. DE 1.01,2.03,9.01 05/16/12
ONEOK INC /NEW/ OK 7.01,9.01 05/21/12
ONEOK Partners LP DE 7.01,9.01 05/21/12
Pacific Coast Oil Trust DE 2.02,9.01 05/21/12
PACIFIC CONTINENTAL CORP OR 8.01 05/21/12
PACIFIC MERCANTILE BANCORP CA 3.03,5.02,5.07,9.01 05/17/12
PACIFIC OFFICE PROPERTIES TRUST, INC. MD 5.07 05/18/12
PAR PHARMACEUTICAL COMPANIES, INC. DE 5.07 05/17/12
PAR TECHNOLOGY CORP DE 5.02 05/16/12
PATRIOT NATIONAL BANCORP INC CT 2.02,9.01 05/18/12
PEABODY ENERGY CORP DE 1.04 05/15/12
PEERLESS SYSTEMS CORP DE 4.01,9.01 05/17/12
PENSON WORLDWIDE INC DE 1.01,1.02 05/15/12
PEPCO HOLDINGS INC DE 7.01,9.01 05/21/12
PEREGRINE PHARMACEUTICALS INC DE 8.01,9.01 05/21/12
PINNACLE AIRLINES CORP DE 1.01 05/15/12
PITNEY BOWES INC /DE/ DE 7.01,9.01 05/21/12
PMX Communities, Inc. NV 8.01,9.01 04/18/12
POPULAR INC 5.04,9.01 05/18/12
PPL Corp 5.07 05/16/12
PROASSURANCE CORP DE 7.01,9.01 05/21/12
PROGUARD ACQUISITION CORP 9.01 05/07/12 AMEND
PROTECT PHARMACEUTICAL Corp NV 9.01 05/18/12
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 05/21/12
PURE BIOSCIENCE, INC. DE 1.02 05/18/12
Pzena Investment Management, Inc. DE 5.07 05/17/12
Q LOTUS HOLDINGS INC NV 1.01,2.03,3.02,9.01 05/02/12
QUANTA SERVICES INC DE 5.07 05/17/12
QUIDEL CORP /DE/ DE 5.03,5.07,9.01 05/15/12
QUINSTREET, INC DE 5.02 05/18/12
RADIENT PHARMACEUTICALS Corp DE 1.01,8.01,9.01 05/17/12
RADIOSHACK CORP DE 5.07 05/17/12
RAILAMERICA INC /DE DE 5.07,8.01 05/17/12
RAYONIER INC NC 5.02 05/18/12 AMEND
REAL ESTATE ASSOCIATES LTD VII CA 8.01 05/17/12
RECOVERY ENERGY, INC. NV 5.02,9.01 05/18/12
REDWOOD TRUST INC MD 5.02,5.03,5.07,9.01 05/17/12
REGIONS FINANCIAL CORP DE 7.01,9.01 05/21/12
RELIANCE STEEL & ALUMINUM CO CA 5.07,9.01 05/16/12
REPUBLIC SERVICES, INC. DE 8.01,9.01 05/21/12
REVA Medical, Inc. DE 7.01,9.01 05/20/12
RIMAGE CORP MN 5.07 05/17/12
Riverbed Technology, Inc. DE 8.01,9.01 05/21/12
Rockville Financial, Inc. /CT/ CT 5.07 05/17/12
ROWAN COMPANIES PLC X0 1.01,2.03,9.01 05/16/12
ROYAL BANCSHARES OF PENNSYLVANIA INC PA 2.02,5.07,9.01 05/15/12
RR Donnelley & Sons Co DE 5.07 05/17/12
Sara Lee Corp MD 1.01,2.03,8.01,9.01 05/15/12
SCOTTS LIQUID GOLD INC CO 5.07 05/16/12
Scripps Networks Interactive, Inc. OH 5.02,5.07,9.01 05/15/12
SEACHANGE INTERNATIONAL INC DE 7.01,9.01 05/21/12
SILICON LABORATORIES INC DE 1.01,2.01,9.01 05/16/12
SIMON PROPERTY GROUP INC /DE/ DE 5.02,5.07,9.01 05/17/12
Sino Clean Energy Inc NV 8.01 05/18/12
SKECHERS USA INC DE 1.01,7.01,9.01 05/16/12
SMITH & WESSON HOLDING CORP NV 2.02,9.01 05/21/12
Solar Capital Ltd. MD 5.02,9.01 05/21/12
Solar Senior Capital Ltd. MD 5.02,9.01 05/21/12
SOUNDBITE COMMUNICATIONS INC 5.07 05/16/12
SOUTHEASTERN BANKING CORP GA 5.07 05/17/12
SP Bancorp, Inc. MD 5.07,9.01 05/17/12
SPAR GROUP INC DE 5.07 05/18/12
SPARE BACKUP, INC. DE 5.02 05/15/12
SPARTA COMMERCIAL SERVICES, INC. NV 8.01 05/21/12
SPARTAN STORES INC MI 7.01 05/21/12
SPLUNK INC DE 5.02,9.01 05/18/12
STEMCELLS INC DE 3.01 05/16/12
STRATEGIC DIAGNOSTICS INC/DE/ DE 5.02,5.07,8.01 05/15/12
SUBURBAN PROPANE PARTNERS LP DE 7.01 05/21/12
SUMMIT FINANCIAL GROUP INC WV 5.07 05/17/12
SUPERIOR INDUSTRIES INTERNATIONAL INC CA 5.07 05/18/12
TECH DATA CORP FL 2.02,9.01 05/21/12
TELEPHONE & DATA SYSTEMS INC /DE/ DE 5.07 05/17/12
THERAGENICS CORP DE 5.07 05/21/12
THERMOENERGY CORP DE 5.02 05/15/12
Thompson Creek Metals CO Inc. A6 7.01,9.01 05/18/12
TIDEWATER INC DE 2.02,9.01 05/21/12
TIME WARNER INC. DE 5.07 05/15/12
TNP Strategic Retail Trust, Inc. MD 7.01,8.01,9.01 05/18/12
TOR MINERALS INTERNATIONAL INC DE 8.01,9.01 05/21/12
TOR MINERALS INTERNATIONAL INC DE 1.01,9.01 05/21/12
TransMontaigne Partners L.P. DE 7.01,9.01 05/21/12
Transocean Ltd. V8 5.07 05/18/12
TRINITY CAPITAL CORP NM 5.07,8.01,9.01 05/18/12
Trunity Holdings, Inc. DE 5.03 05/18/12
Trunkbow International Holdings Ltd NV 2.02,9.01 05/21/12
TX Holdings, Inc. GA 1.01 05/21/12
ULTIMATE SOFTWARE GROUP INC DE 5.02,5.07,9.01 05/18/12
US BANCORP \DE\ DE 7.01,9.01 05/21/12
US ECOLOGY, INC. DE 5.07 05/17/12
US HOME SYSTEMS INC DE 1.01,9.01 05/21/12
VALIDUS HOLDINGS LTD 5.02,9.01 05/21/12
VIDAROO Corp 1.01,9.01 05/16/12
WESTAR ENERGY INC /KS KS 5.07 05/17/12
WESTERN DIGITAL CORP DE 3.01,7.01,9.01 05/18/12
WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 5.07,8.01,9.01 05/21/12
WILLIAMS COMPANIES INC DE 5.07 05/17/12
World Energy Solutions, Inc. DE 5.07 05/17/12
X-Factor Communications Holdings, Inc DE 1.01,2.01,3.02,4.01, 05/15/12
5.01,5.02,5.03,5.06,
9.01
XCEL ENERGY INC MN 7.01 05/21/12
XILINX INC DE 7.01 05/18/12
YOU ON DEMAND HOLDINGS, INC. NV 1.01,9.01 05/21/12
http://www.sec.gov/news/digest/2012/dig052212.htm
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