SEC Charges Pfizer With FCPA Violations
The Securities and Exchange Commission today charged Pfizer Inc. with violating the Foreign Corrupt Practices Act (FCPA) when its subsidiaries bribed doctors and other health care professionals employed by foreign governments in order to win business.
The SEC alleges that employees and agents of Pfizer’s subsidiaries in Bulgaria, China, Croatia, Czech Republic, Italy, Kazakhstan, Russia, and Serbia made improper payments to foreign officials to obtain regulatory and formulary approvals, sales, and increased prescriptions for the company’s pharmaceutical products. They tried to conceal the bribery by improperly recording the transactions in accounting records as legitimate expenses for promotional activities, marketing, training, travel and entertainment, clinical trials, freight, conferences, and advertising.
The SEC separately charged another pharmaceutical company that Pfizer acquired a few years ago – Wyeth LLC – with its own FCPA violations. Pfizer and Wyeth agreed to separate settlements in which they will pay more than $45 million combined to settle their respective charges. In a parallel action, the Department of Justice announced that Pfizer H.C.P. Corporation agreed to pay a $15 million penalty to resolve its investigation of FCPA violations.
“Pfizer subsidiaries in several countries had bribery so entwined in their sales culture that they offered points and bonus programs to improperly reward foreign officials who proved to be their best customers,” said Kara Brockmeyer, Chief of the SEC Enforcement Division’s Foreign Corrupt Practices Act Unit. “These charges illustrate the pitfalls that exist for companies that fail to appropriately monitor potential risks in their global operations.”
According to the SEC’s complaint against Pfizer filed in U.S. District Court for the District of Columbia, the misconduct dates back as far as 2001. Employees of Pfizer’s subsidiaries authorized and made cash payments and provided other incentives to bribe government doctors to utilize Pfizer products. In China, for example, Pfizer employees invited “high-prescribing doctors” in the Chinese government to club-like meetings that included extensive recreational and entertainment activities to reward doctors’ past product sales or prescriptions. Pfizer China also created various “point programs” under which government doctors could accumulate points based on the number of Pfizer prescriptions they wrote. The points were redeemed for various gifts ranging from medical books to cell phones, tea sets, and reading glasses. In Croatia, Pfizer employees created a “bonus program” for Croatian doctors who were employed in senior positions in Croatian government health care institutions. Once a doctor agreed to use Pfizer products, a percentage of the value purchased by a doctor’s institution would be funneled back to the doctor in the form of cash, international travel, or free products.
According to the SEC’s complaint, Pfizer made an initial voluntary disclosure of misconduct by its subsidiaries to the SEC and Department of Justice in October 2004, and fully cooperated with SEC investigators. Pfizer took such extensive remedial actions as undertaking a comprehensive worldwide review of its compliance program.
The SEC further alleges that Wyeth subsidiaries engaged in FCPA violations primarily before but also after the company’s acquisition by Pfizer in late 2009. Starting at least in 2005, subsidiaries marketing Wyeth nutritional products in China, Indonesia, and Pakistan bribed government doctors to recommend their products to patients by making cash payments or in some cases providing BlackBerrys and cell phones or travel incentives. They often used fictitious invoices to conceal the true nature of the payments. In Saudi Arabia, Wyeth’s subsidiary made an improper cash payment to a customs official to secure the release of a shipment of promotional items used for marketing purposes. The promotional items were held in port because Wyeth Saudi Arabia had failed to secure a required Saudi Arabian Standards Organization Certificate of Conformity.
Following Pfizer’s acquisition of Wyeth, Pfizer undertook a risk-based FCPA due diligence review of Wyeth’s global operations and voluntarily reported the findings to the SEC staff. Pfizer diligently and promptly integrated Wyeth’s legacy operations into its compliance program and cooperated fully with SEC investigators.
In settling the SEC’s charges, Pfizer and Wyeth neither admitted nor denied the allegations. Pfizer consented to the entry of a final judgment ordering it to pay disgorgement of $16,032,676 in net profits and prejudgment interest of $10,307,268 for a total of $26,339,944. Wyeth also is required to report to the SEC on the status of its remediation and implementation of compliance measures over a two-year period, and is permanently enjoined from further violations of Sections 13(b)(2)(A) and 13(b)(2)(B) of the Securities Exchange Act of 1934. Wyeth consented to the entry of a final judgment ordering it to pay disgorgement of $17,217,831 in net profits and prejudgment interest of $1,658,793, for a total of $18,876,624. As a Pfizer subsidiary, the status of Wyeth’s remediation and implementation of compliance measures will be subsumed in Pfizer’s two-year self-reporting period. Wyeth also is permanently enjoined from further violations of Sections 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act. The settlements are subject to court approval.
The SEC’s investigation was conducted by Michael Catoe and Charles Cain of the Enforcement Division’s FCPA Unit. The SEC acknowledges the assistance of the U.S. Department of Justice’s Criminal Division’s Fraud Section and the Federal Bureau of Investigation in this matter. (Press Rel. 2012-152)
Closed Meeting on Saturday, August 4, 2012 at 8:00 p.m.
The subject matter of the Closed Meeting on August 4, 2012 was a matter related to 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.
In the Matter of Apogee Technology, Inc.
On August 7, 2012, the Commission issued an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order). The Order finds that Apogee Technology, Inc. failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder because it failed to file required periodic reports with the Commission since the period ended June 30, 2011.
Based on the above, the Order revokes the registration of each class of Apogee Technology’s securities that are registered pursuant to Section 12 of the Exchange Act. Apogee Technology consented to the issuance of this Order without admitting or denying any of the findings in the Order. (Rel. 34-67605; File No. 3-14933)
In the Matter of Timothy T. Page; Page Consents to Collateral Bar
On August 7, 2012, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Order) against Timothy T. Page of Malibu, California, who previously resided in Austin, Texas. Page consented, without admitting or denying the Commission’s findings, to be barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and barred from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock.
These proceedings instituted on April 17, 2012, were based on an April 10, 2012, amended judgment that enjoined Page and others from violating Sections 5(a) and 5(c) of the Securities Act of 1933, and Section 15(a) of the Securities Exchange Act of 1934 in a civil action entitled Securities and Exchange Commission v. Phillip W. Offill, Jr., et al., Civil Action Number 3:07-CV-1643-D (N.D. Texas). In the civil case, Page was ordered to pay disgorgement and prejudgment interest totaling $429,315.44, and a civil penalty totaling $120,000.
For further information see (Rel. 34-66822, Apr. 17, 2012; AP File No. 3-14850; LR 22334, Apr. 17, 2012; LR 20302, Sept. 27, 2007). (Rel. 34-67611; File No. 3-14850)
In the Matter of Brian J. Smart
On August 7, 2012, the Commission issued an Order Making Findings, and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940 (Order) against Brian J. Smart (Smart). The Order finds that from 2003 until 2009, Smart owned and operated an unregistered investment adviser, Smart Assets, LLC (Smart Assets). On June 8, 2011, a final judgment was entered against Smart and Smart Assets, permanently enjoining defendants from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Exchange Act Rule 10b-5, and ordering defendants to pay $2,059,077 in disgorgement, prejudgment interest of $597,426, and a civil penalty of $2,059,077, in the civil action titled SEC v. Brian J. Smart, et al., Civil Action Number 2:09-CV-00224, in the United States District Court for the District of Utah. The Court found that Smart and Smart Assets, inter alia, misappropriated over $2.05 million from investors.
Based on the above, the Order bars Smart from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Smart consented to the issuance of the Order without admitting or denying the findings, except as to jurisdiction and the entry of the civil injunction. (Rel. IA-3442; File No. 3-14851)
In the Matter of Lewis J. Hunter
On August 7, 2012, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Lewis J. Hunter. In the Order, the Division of Enforcement alleges that, Hunter, while a registered representative with HD Vest Investment Securities, Inc., d/b/a H.D. Vest Investment Services (HD Vest), misappropriated approximately $300,000 from his brokerage customers by promising guaranteed returns in both foreign and domestic bank investments. In reality, Hunter used the funds to pay for personal and business expenses. Hunter concealed his actions by making false and misleading representations to his clients, including fabricating bank documents that purported to memorialize investments.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Hunter with an opportunity to respond to these allegations, and to determine what sanctions, if any, are necessary and appropriate in the public interest. The Order directs the Administrative Law Judge to issue an initial decision no later than 300 days from the date of service of the Order on the respondent. (Rels. 33-9348; 34-67612; File No. 3-14974)
In the Matter of Shane A. Mullholand
On August 7, 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 Shane A. Mullholand of Dallas, Texas. Mullholand consented, without admitting or denying the Commission’s findings except he admitted entry of the injunction, to be barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent or nationally recognized statistical rating organization.
The proceedings are based upon a permanent injunction entered on July 30, 2012, that enjoined Mullholand from violating Sections 5(a) and 5(c) of the Securities Act of 1933, and Section 15(a)(1) of the Securities Exchange Act of 1934 in a civil action entitled Securities and Exchange Commission v. Phillip W. Offill, Jr., et al., Civil Action Number 07-cv-1643-D (N.D. Tex.). In the Order the Commission finds that Mullholand, through his company, Dissemination Services LLC, engaged in the business of buying and selling securities for his own accounts by purchasing securities in non-public transactions with the issuers and then selling stock into the public market to raise money for the issuers, himself and Dissemination. The Order also finds that Mullholand was not registered as a dealer or associated with a dealer registered with the Commission during the time when he offered and sold the securities. (Rel. 34-67613; File No. 3-14975)
In the Matter of Travis Richey
On August 7, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Travis Richey (Richey).
The Division of Enforcement alleges in the Order that Richey was the control person of Blue Investments, LLC (Blue Investments), and offered and sold promissory notes to investors on behalf of Blue Investments. The Division further alleges that on January 20, 2012, a judgment was entered against Richey, convicting Richey of one count of operating a fraudulent scheme and artifice in violation of Arizona Revised Statutes (A.R.S.) § 13-2310(A), and two counts of transactions by unregistered dealers or salesmen in violation of A.R.S. § 44-1842, before the Superior Court of Maricopa County, Arizona, in State of Arizona v. Richey (Case No. CR 2010-006712-001DT). Richey was sentenced to two years imprisonment, seven years probation and ordered to pay restitution of $3,059,495.24.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Richey with an opportunity to respond to these allegations, and to determine what sanctions, if any, are necessary or appropriate for the protection of investors. The Order directs the administrative law judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. 34-67614; File No. 3-14976)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Seven Public Companies for Failure to Make Required Periodic Filings
Today the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the seven issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-67615; File No. 3-14977)
SEC Charges Real Estate Investment Company and its Principals with Offering Fraud
On July 6, 2012, the Securities and Exchange Commission filed a Complaint in federal district court against The Companies (TC), LLC (“The Companies”) and its principals, Kristoffer A. Krohn (“Kris Krohn”), Stephen R. Earl (“Earl”), and former officer, Michael K. Krohn (“Mike Krohn”) (collectively “Defendants”).
The Companies, directly and through related companies and subsidiaries, purchases distressed real estate for investment. The Complaint alleges that to raise money to purchase real estate, The Companies or its subsidiary, Alpha Real Estate Holdings, L.P. (“Alpha LP”), initiated four unregistered offerings of securities from January 2009 to June 2011. Kris Krohn, Earl, and Mike Krohn participated in the offerings by providing content for and approval of the private placement memoranda (“PPMs”) used to solicit investors and by directly offering the securities to investors. The four offerings raised a total of approximately $11.9 million from approximately 169 investors. The PPMs contained material misrepresentations and omissions related to, among other things, the value of properties to be purchased or that were owned by the Companies or Alpha LP.
In addition to containing false representations, each of the four offerings relied on the exemption to registration under Regulation D, Rule 506. The offerings did not qualify for the Rule 506 exemption because Defendants solicited investors through general solicitation at meetings that were open to the public.
The Defendants consented to entry of judgments against them without admitting or denying the allegations in the SEC’s complaint. Each of the Defendants consented to a judgment permanently enjoining them from violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933. In addition, The Companies agreed to undertake to inform all investors in writing of the final judgment, provide audited financial statements, and offer return of consideration for investors who choose to return their securities to The Companies after receiving the written disclosures. Kris Krohn, Mike Krohn, and Earl have also agreed to pay civil monetary penalties of $75,000 each. [SEC v. The Companies (TC), LLC, et al., Civil No. 2:12-cv-00765-DN (USDC Utah)] (LR-22437)
IndexIQ Advisors LLC and IndexIQ Active ETF Trust
An order has been issued on an application filed by IndexIQ Advisors LLC and IndexIQ Active ETF Trust, 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-30161 - August 3)
AmericaFirst Quantitative Trust and AmericaFirst Securities, Inc.
An order has been issued on an application filed by AmericaFirst Quantitative Trust and AmericaFirst Securities, Inc. (Depositor) under Section 6(c) of the Investment Company Act of 1940 (Act) for exemptions from Sections 2(a)(32), 2(a)(35), 14(a), 19(b), 22(d) and 26(a)(2)(C) of the Act and Rules 19b-1 and 22c-1 under the Act, and under Sections 11(a) and 11(c) of the Act to approve certain offers of exchange and rollover privileges. The order would permit certain unit investment trusts to: (a) impose sales charges on a deferred basis and waive the deferred sales charge in certain cases; (b) offer unitholders certain exchange and rollover privileges; (c) publicly offer units without requiring the Depositor to take for its own account or place with others $100,000 worth of units; and (d) distribute capital gains resulting from the sale of portfolio securities within a reasonable time after receipt. (Rel. IC-30162 - August 6)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NASDAQ OMX BX, Inc. to modify BX’s fee schedule governing order routing (SR-BX-2012-058) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67593)
A proposed rule change filed by The NASDAQ Stock Market LLC to modify NASDAQ’s fee schedule governing order routing (SR-NASDAQ-2012-093) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67594)
A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2012-80) to amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67595)
A proposed rule change filed by the C2 Options Exchange, Incorporated (SR-C2-2012-023) relating to the Options Regulatory Fee has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of August 6. ((Rel. 34-67596)
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-065) relating to the Options Regulatory Fee has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67597)
The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-NYSE-2012-35) filed by the New York Stock Exchange LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 reducing from 10 days to five days the shareholder notification period that is a condition to a waiver of the NYSE’s shareholder approval requirements pursuant to Section 312.05 of the exchange’s Listed Company Manual. Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67603)
Proposed Rule Changes
EDGX Exchange, Inc. has filed a proposed rule change (SR-EDGX-2012-33) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to amend EDGX Rule 11.5(c) to add the Edge Market CloseSM Order. Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67598)
The Chicago Board Options Exchange, Incorporated has filed a proposed rule change (SR-CBOE-2012-071) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to increase the maximum term for LEAPS to fifteen years. Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67600)
Accelerated Approval of Proposed Rule Change
The Depository Trust Company (“DTC”) filed a proposed rule change (SR-DTC-2012-03) under Section 19(b)(1) of the Securities Exchange Act of 1934 to implement a change in the practices of DTC as they relate to post-payable adjustments. Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67599)
Approval of Proposed Rule Change
The Commission approved a proposed rule change (SR-ISE-2012-52) filed by International Securities Exchange, LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to allow Competitive Market Makers to use their membership points to enter multiple quotes in an options class. Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67602)
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-3ASR KNIGHT CAPITAL GROUP, INC., 2012229400 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183079 - Aug. 6) (BR. 12A) S-4 FORD MOTOR CREDIT CO LLC, ONE AMERICAN ROAD, DEARBORN, MI, 48126, 313-322-3000 - 0 ($2,500,000,000.00) Debt, (File 333-183080 - Aug. 6) (BR. 07C) S-1 Goldstream Mining Inc., 12865 WEST HIGHWAY 40, OCALA, FL, 34481, 604-331-4422 - 5,000,000 ($15,000.00) Equity, (File 333-183086 - Aug. 6) (BR. 09) S-8 CSR PLC, CHURCHILL HOUSE, CAMBRIDGE BUSINESS PARK, COWLEY ROAD, CAMBRIDGE, X0, CB4 0WZ, 44 (0) 1223 692000 - 3,500,000 ($19,985,000.00) Other, (File 333-183089 - Aug. 6) (BR. 10A) S-8 ENTERGY CORP /DE/, 639 LOYOLA AVE, NEW ORLEANS, LA, 70113, 5045764000 - 3,000,000 ($220,230,000.00) Other, (File 333-183090 - Aug. 6) (BR. 02C) S-8 CYTOKINETICS INC, 280 EAST GRAND AVENUE, ., SOUTH SAN FRANCISCO, CA, 94080, (650) 624-3000 - 0 ($1,650,000.00) Equity, (File 333-183091 - Aug. 6) (BR. 01B) S-3ASR ALLERGAN INC, 2525 DUPONT DRIVE, IRVINE, CA, 92612, 7142464500 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183092 - Aug. 6) (BR. 01B) S-3 AUTHENTIDATE HOLDING CORP, CONNELL CORPORATE CENTER, 300 CONNELL DRIVE, 5TH FLOOR, BERKELEY HEIGHTS, NJ, 07922, 9087871700 - 0 ($7,512,500.00) Unallocated (Universal) Shelf, (File 333-183093 - Aug. 6) (BR. 03B) S-8 PEP BOYS MANNY MOE & JACK, 3111 W ALLEGHENY AVE, PHILADELPHIA, PA, 19132, 2152299000 - 0 ($26,535,000.00) Equity, (File 333-183094 - Aug. 6) (BR. 02C) S-1 American Standard Energy Corp., 4800 NORTH SCOTTSDALE ROAD, SUITE 1400, SCOTTSDALE, AZ, 85281, (757) 961-0866 - 6,666,666 ($6,866,666.00) Equity, (File 333-183097 - Aug. 6) (BR. 04A) S-1 MYOS Corp, 45 HORSEHILL ROAD, SUITE 106, CEDAR KNOLLS, NJ, 07927, 973-509-0444 - 22,980,000 ($5,630,100.00) Equity, (File 333-183098 - Aug. 6) (BR. 02A) S-3ASR BAXTER INTERNATIONAL INC, ONE BAXTER PKWY, DF2-1W, DEERFIELD, IL, 60015, 8479482000 - 0 ($0.00) Debt, (File 333-183099 - Aug. 6) (BR. 10A) S-3ASR WELLCARE HEALTH PLANS, INC., 8725 HENDERSON ROAD, RENAISSANCE ONE, TAMPA, FL, 33634, 8132906200 - 0 ($0.00) Other, (File 333-183100 - Aug. 6) (BR. 01A) S-8 SIGA TECHNOLOGIES INC, 35 EAST 62ND STREET, NEW YORK, NY, 10065, 212-672-9100 - 2,500,000 ($6,900,000.00) Equity, (File 333-183101 - Aug. 6) (BR. 01B) S-8 LEAPFROG ENTERPRISES INC, 6401 HOLLIS ST, STE 100, EMERYVILLE, CA, 94608, 5104205000 - 1,191,753 ($11,816,231.00) Equity, (File 333-183102 - Aug. 6) (BR. 05B) S-8 JOY GLOBAL INC, 100 EAST WISCONSIN AVE SUITE 2780, MILWAUKEE, WI, 53202, 414-319-8500 - 1,000,000 ($50,580,000.00) Equity, (File 333-183103 - Aug. 6) (BR. 10A)
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT Advanced BioEnergy, LLC DE 1.01,1.02 07/31/12 ADVANCED MICRO DEVICES INC DE 8.01,9.01 08/06/12 ADVENTRX PHARMACEUTICALS INC DE 2.02,9.01 08/06/12 AES CORP DE 2.02,7.01,9.01 08/06/12 AGL RESOURCES INC GA 5.03,9.01 07/31/12 AIS FUTURES FUND IV LP DE 3.02 07/31/12 ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 8.01,9.01 06/04/12 ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 2.02,9.01 08/06/12 ALEXANDERS J CORP TN 2.02,7.01,9.01 08/06/12 ALICO INC FL 8.01 07/27/12 AMEND Alkermes plc. 5.02,5.07,9.01 08/01/12 ALLEGHANY CORP /DE DE 2.02,9.01 08/06/12 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 08/06/12 ALNYLAM PHARMACEUTICALS, INC. 2.02,9.01 08/06/12 Alpha Natural Resources, Inc. DE 5.02,9.01 07/31/12 ALSERES PHARMACEUTICALS INC /DE DE 1.01 07/31/12 Altegris QIM Futures Fund, L.P. DE 3.02 08/01/12 Altegris Winton Futures Fund, L.P. CO 3.02 08/01/12 ALTRIA GROUP, INC. VA 7.01,8.01,9.01 08/06/12 AMERIANA BANCORP IN 2.02,9.01 08/03/12 AMERICAN BIO MEDICA CORP NY 1.01,9.01 07/31/12 AMEND AMERICAN EAGLE GROUP INC DE 4.01,9.01 08/01/12 American Natural Energy Corp OK 3.02 08/06/12 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 2.02,9.01 08/06/12 AMERICAN STATES WATER CO CA 2.02,9.01 08/06/12 AMERIGON INC MI 2.02,9.01 08/02/12 Amtrust Financial Services, Inc. DE 2.02,9.01 08/06/12 Amtrust Financial Services, Inc. DE 8.01,9.01 08/06/12 ANALYSTS INTERNATIONAL CORP 7.01,9.01 08/03/12 ANAREN INC NY 2.02,9.01 08/06/12 Apartment Trust of America, Inc. 7.01,8.01,9.01 08/06/12 APD ANTIQUITIES, INC. NV 1.01,9.01 06/30/12 APPLETON PAPERS INC/WI 2.02,9.01 08/06/12 APPLIANCE RECYCLING CENTERS OF AMERIC MN 5.02 08/02/12 APPLIANCE RECYCLING CENTERS OF AMERIC MN 2.02,9.01 08/06/12 Approach Resources Inc DE 7.01,9.01 08/06/12 Argo Group International Holdings, Lt 2.02,9.01 08/06/12 ARIBA INC DE 8.01 07/26/12 AROTECH CORP DE 3.01 08/02/12 ARTS WAY MANUFACTURING CO INC DE 5.02 08/02/12 ARTVENTIVE MEDICAL GROUP, INC. NV 4.01,9.01 08/01/12 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 08/02/12 ASSISTED LIVING CONCEPTS INC NV 7.01 08/03/12 ASTORIA FINANCIAL CORP DE 8.01,9.01 08/01/12 Atlantic Coast Financial CORP MD 2.02,9.01 08/03/12 AV Homes, Inc. DE 2.02,9.01 08/06/12 Bancorp of New Jersey, Inc. NJ 2.02,9.01 08/06/12 Beacon Federal Bancorp, Inc. MD 5.02 08/02/12 BEST BUY CO INC MN 7.01,9.01 08/06/12 Bidz.com, Inc. CA 1.01 08/01/12 BIOMET INC IN 1.01,2.03,9.01 08/02/12 Biostar Pharmaceuticals, Inc. MD 2.02,8.01,9.01 08/03/12 Black Diamond, Inc. DE 2.02,9.01 08/06/12 BLUCORA, INC. DE 5.02,7.01,9.01 08/01/12 BODY CENTRAL CORP 2.02,9.01 08/02/12 Bonanza Creek Energy, Inc. DE 5.02 07/31/12 BOSTON PROPERTIES INC DE 2.02,9.01 08/06/12 BOSTON PROPERTIES LTD PARTNERSHIP DE 2.02,9.01 08/06/12 BRAINSTORM CELL THERAPEUTICS INC. DE 5.07 06/11/12 AMEND Bristow Group Inc DE 2.02,9.01 08/06/12 BROADSOFT, INC. DE 2.02 08/06/12 CAESARS ENTERTAINMENT Corp DE 2.02,9.01 08/06/12 CAMDEN PROPERTY TRUST TX 1.01,5.02,9.01 07/31/12 CAMPBELL SOUP CO NJ 2.01,9.01 08/06/12 CANNABIS SCIENCE, INC. NV 8.01,9.01 07/31/12 CardioNet, Inc. CA 1.01,3.02,7.01,9.01 08/05/12 Caribou Coffee Company, Inc. MN 2.02,9.01 08/06/12 CELADON GROUP INC DE 5.02 08/01/12 CELGENE CORP /DE/ DE 8.01,9.01 08/06/12 CF Industries Holdings, Inc. DE 1.01,8.01,9.01 08/02/12 CF Industries Holdings, Inc. DE 2.02,9.01 08/06/12 CHART INDUSTRIES INC DE 7.01,9.01 08/02/12 CHARTER FINANCIAL CORP/GA 2.02,9.01 07/31/12 CHENIERE ENERGY INC DE 1.01,2.03,8.01,9.01 07/31/12 Cheniere Energy Partners, L.P. DE 1.01,2.03,3.02,8.01, 07/31/12 9.01 CHURCHILL DOWNS INC KY 2.02,9.01 08/06/12 Cinemark Holdings, Inc. DE 2.02,7.01,9.01 08/06/12 CIT GROUP INC DE 8.01,9.01 08/03/12 Clean Energy Fuels Corp. DE 2.02,9.01 08/06/12 CLEARSIGN COMBUSTION CORP WA 7.01,9.01 08/06/12 CLEVELAND BIOLABS INC DE 2.02,9.01 08/06/12 COGNIZANT TECHNOLOGY SOLUTIONS CORP 2.02,9.01 08/06/12 COLE CORPORATE INCOME TRUST, INC. MD 1.01,2.01,9.01 07/31/12 Coleman Cable, Inc. DE 2.02,8.01,9.01 08/02/12 COLLECTIVE BRANDS, INC. DE 8.01 08/03/12 Colony Financial, Inc. MD 1.01 07/31/12 COMMUNITY FIRST INC TN 5.02 08/01/12 COMMUNITY HEALTH SYSTEMS INC DE 1.01,2.03,8.01,9.01 08/03/12 COMMUNITY HEALTH SYSTEMS INC DE 5.02 08/06/12 Compressco Partners, L.P. DE 2.02,9.01 08/06/12 Computer Software Innovations, Inc. DE 1.01,2.03,9.01 07/31/12 COMVERSE TECHNOLOGY INC/NY/ NY 5.01 08/05/12 Constellation Energy Partners LLC DE 5.02 07/31/12 Converted Organics Inc. DE 3.02 08/03/12 CORE LABORATORIES N V P7 5.07 05/21/12 AMEND Cornerstone Core Properties REIT, Inc MD 1.01,2.01,2.03,5.02, 07/31/12 9.01 CRACKER BARREL OLD COUNTRY STORE, INC 5.02,9.01 08/06/12 Crestwood Midstream Partners LP DE 2.02,9.01 08/06/12 CTC Media, Inc. 5.02 06/13/12 AMEND CUTERA INC DE 2.02,9.01 08/06/12 Dakota Gold Corp FL 5.02,9.01 08/01/12 DATA I/O CORP WA 2.02,9.01 06/30/12 DATARAM CORP NJ 3.02 08/06/12 DecisionPoint Systems, Inc. 1.01,2.01,3.02,9.01 07/31/12 DEPOMED INC CA 8.01 08/03/12 DEXCOM INC DE 2.02,5.02,9.01 08/06/12 Diamond Resorts Corp MD 9.01 08/06/12 Digital Development Group Corp NV 2.01,3.02,4.01,5.05, 07/31/12 5.06,9.01 DigitalTown, Inc. MN 5.02 08/01/12 DIONICS INC DE 4.01,9.01 08/01/12 AMEND Discover Card Execution Note Trust DE 1.01,8.01,9.01 08/06/12 DREW INDUSTRIES INC DE 7.01,9.01 08/02/12 DRIL-QUIP INC DE 2.02,9.01 08/06/12 DTS, INC. DE 2.02,9.01 06/30/12 DUCOMMUN INC /DE/ DE 2.02,9.01 08/06/12 DURECT CORP DE 8.01,9.01 08/06/12 DURECT CORP DE 2.02,9.01 08/06/12 DYNASIL CORP OF AMERICA NJ 1.02,2.03,9.01 07/31/12 ENCISION INC CO 5.02 07/31/12 ENERGY PARTNERS LTD DE 2.02,9.01 08/02/12 ENTERTAINMENT PROPERTIES TRUST MD 1.01,9.01 08/01/12 ERIE INDEMNITY CO PA 8.01 08/01/12 ESTERLINE TECHNOLOGIES CORP DE 2.02,9.01 08/06/12 EVERFLOW EASTERN PARTNERS LP DE 1.01,9.01 07/31/12 EXELIXIS INC DE 1.01,9.01 08/06/12 FAIRPOINT COMMUNICATIONS INC DE 7.01,9.01 08/06/12 Federal Home Loan Bank of Dallas 2.03,9.01 07/31/12 FedFirst Financial Corp 2.02,9.01 07/31/12 FERRELLGAS PARTNERS L P DE 5.02 08/01/12 FIRST M&F CORP/MS MS 7.01,9.01 08/01/12 FIRST MIDWEST BANCORP INC DE 8.01 08/03/12 FIRST PACTRUST BANCORP INC MD 2.02,7.01,9.01 08/06/12 FLUOR CORP DE 5.02,8.01,9.01 08/02/12 Flux Power Holdings, Inc. NV 1.01,2.01,4.01,5.01, 06/14/12 AMEND 5.02,5.03,5.06,8.01, 9.01 Fortress Investment Group LLC DE 7.01 08/06/12 Fraternity Community Bancorp Inc 2.02,9.01 08/02/12 FreightCar America, Inc. DE 2.02,9.01 08/06/12 FTI CONSULTING INC MD 2.02,7.01,9.01 08/01/12 FTI CONSULTING INC MD 7.01,9.01 08/02/12 FUEL TECH, INC. DE 2.02,9.01 08/06/12 Fuse Science, Inc. NV 8.01,9.01 08/06/12 FUTURES PORTFOLIO FUND L.P. MD 3.02 08/01/12 FX ENERGY INC NV 8.01,9.01 08/06/12 GAIAM, INC CO 1.02,2.03 07/31/12 GALLAGHER ARTHUR J & CO DE 8.01,9.01 08/06/12 GASTAR EXPLORATION LTD 7.01 08/06/12 GE Dealer Floorplan Master Note Trust DE 1.01,9.01 07/31/12 General Motors Co 8.01 08/01/12 GENESIS GROUP HOLDINGS INC 1.01 08/02/12 GeoEye, Inc. DE 2.02,9.01 08/06/12 GlyEco, Inc. NV 8.01 07/31/12 AMEND GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 08/06/12 Golub Capital BDC, Inc. DE 2.02,9.01 08/06/12 Golub Capital BDC, Inc. DE 2.02,9.01 08/06/12 Grand Canyon Education, Inc. DE 2.02,9.01 08/06/12 GreenChoice International, Inc. NV 4.01,9.01 08/01/12 Grizzly Gold Corp. FL 5.02,9.01 08/06/12 GSE Holding, Inc. DE 5.02,9.01 08/03/12 Gulf & Orient Steamship Company, Ltd. CO 4.01,9.01 08/01/12 H&E Equipment Services, Inc. DE 8.01,9.01 08/06/12 H&E Equipment Services, Inc. DE 7.01,9.01 08/06/12 HALOZYME THERAPEUTICS INC DE 2.02,9.01 08/06/12 HANGER, INC. DE 7.01,9.01 08/06/12 HAWKINS INC MN 1.02,5.07 08/02/12 HCA Holdings, Inc. 2.02,7.01,9.01 08/06/12 HEALTH CARE REIT INC /DE/ DE 2.02,9.01 08/06/12 HEALTH CARE REIT INC /DE/ DE 8.01,9.01 08/06/12 HEALTHCARE TRUST OF AMERICA, INC. MD 8.01,9.01 08/06/12 Heckmann Corp DE 2.02,8.01,9.01 08/06/12 HELICOS BIOSCIENCES CORP DE 1.01,8.01,9.01 07/30/12 HERCULES OFFSHORE, INC. DE 8.01 07/31/12 Horsehead Holding Corp 2.02,9.01 08/06/12 Hudson Pacific Properties, Inc. MD 2.02,7.01,9.01 08/06/12 HUTCHINSON TECHNOLOGY INC MN 5.02,9.01 08/01/12 Imperial Holdings, Inc. 5.02,7.01,8.01,9.01 08/02/12 India Globalization Capital, Inc. MD 5.03,9.01 08/01/12 INERGY L P DE 5.02 08/02/12 INSMED INC VA 5.02,9.01 08/02/12 Integrated Healthcare Holdings Inc 1.01,2.03,9.01 08/01/12 INTERNATIONAL BANCSHARES CORP TX 2.02,9.01 08/06/12 INTERSIL CORP/DE DE 8.01,9.01 08/06/12 IRONCLAD PERFORMANCE WEAR CORP 2.02,7.01,9.01 08/06/12 ISIS PHARMACEUTICALS INC DE 2.02,9.01 08/06/12 ISSUER DIRECT CORP 2.02,9.01 08/06/12 IZEA, Inc. NV 3.02 08/06/12 J C PENNEY CO INC DE 5.02 07/31/12 JABIL CIRCUIT INC DE 1.01,2.03,8.01,9.01 08/03/12 JDA SOFTWARE GROUP INC DE 2.02,8.01,9.01 08/06/12 JINZANGHUANG TIBET PHARMACEUTICALS, I DE 3.02 07/31/12 JOHNSON & JOHNSON NJ 8.01,9.01 08/06/12 KAPSTONE PAPER & PACKAGING CORP DE 7.01,9.01 08/06/12 KAR Auction Services, Inc. DE 2.02,9.01 08/06/12 KEMPER Corp DE 2.02,9.01 08/06/12 Kennedy-Wilson Holdings, Inc. DE 2.02 08/06/12 KILROY REALTY CORP MD 8.01,9.01 08/06/12 KINDER MORGAN ENERGY PARTNERS L P DE 1.01,7.01,9.01 08/06/12 KINDER MORGAN MANAGEMENT LLC DE 7.01 08/06/12 KNIGHT CAPITAL GROUP, INC. DE 8.01,9.01 08/06/12 KNIGHT CAPITAL GROUP, INC. DE 1.01,3.02,3.03,5.03, 08/06/12 9.01 Kosmos Energy Ltd. D0 2.02,7.01,9.01 08/06/12 LACLEDE GROUP INC MO 1.01,2.03 08/03/12 LEAGUE NOW HOLDINGS CORP FL 5.02 08/03/12 LEAP WIRELESS INTERNATIONAL INC DE 2.02,9.01 08/06/12 LEVEL 3 COMMUNICATIONS INC DE 1.01,2.03,8.01,9.01 08/01/12 LHC Group, Inc 2.02,9.01 08/06/12 Lifevantage Corp CO 5.02,9.01 08/01/12 LIQUIDITY SERVICES INC DE 8.01 08/06/12 LOJACK CORP MA 2.02,9.01 08/06/12 MACQUARIE/FIRST TRUST GLOBAL INFRASTR 7.01,9.01 08/06/12 MACROSOLVE INC OK 1.01,2.01,5.02,7.01, 07/31/12 9.01 MAGICJACK VOCALTEC LTD L3 9.01 08/06/12 MAGNUM HUNTER RESOURCES CORP DE 2.02,7.01,9.01 07/31/12 MAGNUM HUNTER RESOURCES CORP DE 8.01,9.01 05/23/12 AMEND MANITOWOC CO INC WI 2.02,9.01 08/06/12 MATERION Corp 7.01,9.01 08/06/12 MCDERMOTT INTERNATIONAL INC R1 2.02,9.01 08/06/12 MEDIACOM BROADBAND LLC DE 2.02,9.01 08/06/12 MEDIACOM LLC NY 2.02,9.01 08/06/12 MEDICAL CONNECTIONS HOLDINGS, INC. FL 1.01,2.01,5.02,9.01 07/31/12 MEDIWARE INFORMATION SYSTEMS INC NY 7.01,9.01 08/06/12 MERCER INTERNATIONAL INC. WA 7.01,9.01 08/06/12 MERISEL INC /DE/ DE 2.02,9.01 08/06/12 MFA FINANCIAL, INC. MD 2.02,7.01 08/06/12 MONARCH CASINO & RESORT INC NV 8.01,9.01 08/06/12 Monarch Financial Holdings, Inc. VA 8.01,9.01 08/06/12 NATIONAL HEALTH INVESTORS INC MD 7.01,9.01 08/03/12 NATIONAL HEALTH INVESTORS INC MD 2.02,9.01 08/03/12 NATIONAL HEALTH INVESTORS INC MD 8.01,9.01 08/06/12 NATIONAL HEALTHCARE CORP DE 8.01,9.01 08/01/12 National Interstate CORP OH 2.02,8.01,9.01 07/31/12 NAUTILUS, INC. WA 2.02,9.01 08/06/12 NAVIDEA BIOPHARMACEUTICALS, INC. DE 1.01,8.01,9.01 07/31/12 Net Savings Link, Inc. NV 5.03,5.07,8.01,9.01 08/06/12 NEWS CORP 8.01,9.01 08/06/12 NextWave Wireless Inc. DE 1.01,8.01,9.01 08/01/12 Nissan Auto Receivables 2012-B Owner DE 1.01,8.01,9.01 07/31/12 NISSAN AUTO RECEIVABLES CORP II DE 8.01,9.01 07/31/12 NISSAN AUTO RECEIVABLES CORP II DE 8.01,9.01 07/31/12 NORTHWEST PIPE CO OR 2.02,9.01 08/06/12 NTS, INC. NV 8.01,9.01 08/06/12 Nuance Communications, Inc. DE 8.01,9.01 08/06/12 NUTRACEA CA 1.01,2.03,3.02,9.01 07/31/12 NYSE Euronext DE 5.02 07/31/12 Oasis Petroleum Inc. DE 2.02,9.01 08/06/12 OMNICELL, Inc CA 8.01 08/01/12 ONEOK INC /NEW/ OK 7.01,9.01 08/06/12 ONEOK Partners LP DE 7.01,9.01 08/06/12 OPENTABLE INC DE 7.01,9.01 08/06/12 ORIENT EXPRESS HOTELS LTD D0 1.01,9.01 08/01/12 OXIGENE INC DE 8.01,9.01 08/06/12 PAA NATURAL GAS STORAGE LP DE 2.02,7.01,9.01 08/06/12 PAID INC DE 5.02,9.01 07/31/12 Pana-Minerales S.A. NV 5.02 08/03/12 PARK CITY GROUP INC 5.02,9.01 08/02/12 Patriot Coal CORP DE 7.01,9.01 08/06/12 PC CONNECTION INC DE 2.02,9.01 08/02/12 Pebblebrook Hotel Trust MD 2.02,9.01 08/02/12 PEP BOYS MANNY MOE & JACK PA 5.02,9.01 08/02/12 PLAINS ALL AMERICAN PIPELINE LP DE 2.02,7.01,9.01 08/06/12 PLANTRONICS INC /CA/ DE 1.01,2.02,7.01,9.01 08/06/12 PLURISTEM THERAPEUTICS INC NV 8.01 08/06/12 Porter Bancorp, Inc. KY 1.01,9.01 08/02/12 POWER INTEGRATIONS INC CA 2.02,9.01 08/06/12 POWERSECURE INTERNATIONAL, INC. DE 2.02,9.01 08/06/12 PREFERRED APARTMENT COMMUNITIES INC MD 2.02,9.01 08/06/12 PRIME GLOBAL CAPITAL GROUP Inc NV 1.01,3.02,9.01 08/02/12 PRO DEX INC CO 2.02,9.01 08/06/12 PROASSURANCE CORP DE 2.02,7.01,9.01 08/06/12 PROSPECT GLOBAL RESOURCES INC. NV 1.02,2.03,3.02,8.01, 08/01/12 9.01 PyroTec, Inc. DE 1.01,2.01,5.03,5.06, 08/06/12 AMEND 8.01,9.01 Rand Logistics, Inc. DE 2.02,9.01 08/06/12 Rango Energy, Inc. NV 3.02,5.02 08/03/12 Regenicin, Inc. NV 8.01 07/26/12 RES CARE INC /KY/ KY 2.02,9.01 08/06/12 Resolute Energy Corp DE 2.02,5.02,8.01,9.01 07/31/12 RESOURCE HOLDINGS, INC. NV 4.01,9.01 08/01/12 RESPONSYS INC CA 2.02,9.01 08/06/12 RETAIL PROPERTIES OF AMERICA, INC. MD 2.02,9.01 08/06/12 RGC RESOURCES INC VA 2.02,9.01 08/02/12 RigNet, Inc. DE 2.02,9.01 08/06/12 RIVER VALLEY BANCORP IN 1.01,9.01 07/31/12 RLJ Lodging Trust MD 9.01 06/11/12 AMEND ROMA FINANCIAL CORP X1 2.02,9.01 08/06/12 ROYAL QUANTUM GROUP INC NV 5.02,8.01 08/06/12 SABA SOFTWARE INC DE 1.01,4.02,9.01 07/31/12 Sabine Pass LNG, L.P. DE 1.01,9.01 07/31/12 SABINE ROYALTY TRUST TX 2.02,9.01 08/03/12 SAGE FUND LP MD 3.02 08/01/12 SALEM COMMUNICATIONS CORP /DE/ DE 2.02,7.01,9.01 06/30/12 SANDRIDGE ENERGY INC DE 8.01,9.01 08/06/12 SANTARUS INC DE 8.01 08/03/12 SCIENTIFIC GAMES CORP DE 2.02,9.01 08/06/12 Scripps Networks Interactive, Inc. OH 5.02 07/31/12 SeaCube Container Leasing Ltd. D0 2.02,9.01 08/06/12 SEFE, INC. NV 2.03,3.02,9.01 08/01/12 SEITEL INC DE 9.01 08/06/12 AMEND Select Income REIT MD 2.02,9.01 08/06/12 Seven Arts Entertainment Inc. NV 3.01,9.01 07/30/12 SHAW GROUP INC LA 8.01,9.01 08/06/12 SLM CORP DE 8.01,9.01 08/06/12 SLM Student Loan Trust 2006-7 DE 8.01,9.01 08/06/12 Smart Ventures Inc. 8.01,9.01 08/02/12 SMSA Humble Acquisition Corp NV 1.01,2.01,5.01,5.02, 08/06/12 9.01 Snap Interactive, Inc DE 7.01,9.01 08/06/12 Sound Financial Bancorp, Inc. MD 1.01,8.01,9.01 08/06/12 Sound Financial, Inc. 2.02,9.01 08/02/12 SOUPMAN, INC. DE 1.01,3.02,9.01 08/01/12 SOUTHERN STATES SIGN Co NV 5.02,9.01 08/02/12 SOUTHWESTERN ENERGY CO DE 5.02,9.01 07/31/12 Spirit Airlines, Inc. DE 1.01,8.01,9.01 07/31/12 STAAR SURGICAL CO DE 7.01,9.01 08/06/12 STAG Industrial, Inc. 2.02,9.01 08/06/12 STANDARD MOTOR PRODUCTS INC NY 2.02,9.01 08/06/12 STANDARD PACIFIC CORP /DE/ DE 1.01,2.03,8.01,9.01 08/06/12 STAR GAS PARTNERS LP DE 2.02,7.01,9.01 08/06/12 Stereotaxis, Inc. DE 2.02,9.01 08/06/12 STERLING BANCORP NY 5.02,9.01 08/03/12 STRATEGIC HOTELS & RESORTS, INC 2.02,9.01 08/06/12 SUBURBAN PROPANE PARTNERS LP DE 8.01,9.01 08/06/12 SUN HYDRAULICS CORP FL 2.02,9.01 08/06/12 SunSi Energies Inc. NV 4.01,9.01 08/01/12 SURMODICS INC MN 8.01,9.01 08/03/12 SYKES ENTERPRISES INC FL 2.02,9.01 08/06/12 T3 Motion, Inc. DE 1.01,9.01 07/31/12 Targa Resources Corp. DE 2.02,9.01 08/06/12 Targa Resources Partners LP DE 2.02,9.01 08/06/12 TAUBMAN CENTERS INC MI 1.01,8.01,9.01 08/01/12 TEGAL CORP /DE/ DE 1.01,5.02 08/01/12 Teledyne LeCroy, Inc. DE 1.02,2.01,3.01,3.03, 08/03/12 5.01,5.02,5.03,8.01, 9.01 TERRA NITROGEN CO L P /DE DE 2.02,9.01 08/06/12 TESCO CORP 2.02,9.01 08/06/12 TEXAS INSTRUMENTS INC DE 8.01,9.01 07/30/12 Thermon Group Holdings, Inc. DE 5.02,5.07,9.01 08/02/12 THOMAS PROPERTIES GROUP INC DE 5.02,9.01 08/02/12 THOR INDUSTRIES INC DE 2.02,9.01 08/02/12 THQ INC DE 2.02,9.01 08/06/12 Titanium Asset Management Corp DE 2.02,9.01 08/06/12 Todays Alternative Energy Corp NY 5.02,9.01 07/18/12 TORCHMARK CORP DE 5.02,9.01 08/01/12 Tower Group, Inc. DE 2.02,9.01 08/06/12 TransMontaigne Partners L.P. DE 5.02,9.01 08/02/12 TREDEGAR CORP VA 5.02,8.01,9.01 08/02/12 Trius Therapeutics Inc DE 2.02,9.01 08/06/12 Tronox Ltd C3 2.02,5.02,9.01 08/01/12 Tumi Holdings, Inc. DE 2.02,9.01 08/06/12 TUTOR PERINI Corp MA 2.02,9.01 08/06/12 TYSON FOODS INC DE 2.02,9.01 08/06/12 UMH PROPERTIES, INC. MD 2.01,9.01 08/01/12 UNITED FIRE GROUP INC 2.02,9.01 08/06/12 Vanguard Energy Corp CO 3.02,9.01 07/31/12 Vanguard Natural Resources, LLC DE 5.02,9.01 08/06/12 VERENIUM CORP DE 2.02,7.01,9.01 08/06/12 VIASYSTEMS GROUP INC DE 2.01,9.01 05/31/12 AMEND VIROPHARMA INC DE 8.01,9.01 08/06/12 VIRTUAL MEDICAL INTERNATIONAL, INC. NV 8.01 08/03/12 VISTA GOLD CORP B0 5.02,9.01 08/01/12 Vitacost.com, Inc. DE 5.02,9.01 08/03/12 Voyager Oil & Gas, Inc. DE 2.02,9.01 08/06/12 VSE CORP DE 2.02,9.01 06/30/12 VSE CORP DE 8.01 08/01/12 W P CAREY & CO LLC DE 8.01,9.01 08/03/12 WALGREEN CO IL 1.01,2.01,2.03,3.02, 08/02/12 5.02,5.03,8.01,9.01 WARNACO GROUP INC /DE/ DE 2.02,9.01 08/06/12 Weatherford International Ltd./Switze V8 1.01,7.01,9.01 08/06/12 WESTELL TECHNOLOGIES INC DE 2.02,9.01 08/06/12 Whitestone REIT TX 2.02,9.01 08/06/12 Whitestone REIT Operating Partnership DE 2.02,9.01 08/06/12 Wilhelmina International, Inc. DE 2.02,8.01,9.01 07/31/12 WORLD FUEL SERVICES CORP FL 7.01,9.01 08/06/12 XCEL ENERGY INC MN 7.01 08/06/12 XERIUM TECHNOLOGIES INC DE 2.02,9.01 08/06/12 XFormity Technologies, Inc. CO 2.04,9.01 08/01/12 XPO Logistics, Inc. 2.02,9.01 08/06/12 YATERRA VENTURES CORP. 4.01 07/31/12 ZEBRA TECHNOLOGIES CORP 5.03,9.01 08/01/12