SEC News Digest, August 24, 2012

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Commission Announcements

Commission Meetings

Following is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration.

Open meetings will be held in the Auditorium, Room L-002 at the Commission's headquarters building, 100 F Street, N.E., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting.

Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact SECInterpreter@SEC.gov at least three business days in advance. For any other reasonable accommodation related disability contact DisabilityProgramOfficer or call 202-551-4158.

Change In The Meeting: Deletion of an Item

The following item was not considered during the Commission’s Open Meeting on August 22, 2012 at 10:00 a.m.:

The Commission will consider rules to eliminate the prohibition against general solicitation and general advertising in securities offerings conducted pursuant to Rule 506 of Regulation D under the Securities Act and Rule 144A under the Securities Act, as mandated by Section 201(a) of the Jumpstart Our Business Startups Act.

Open Meeting on Wednesday, August 29, 2012 at 10:00 a.m.

The subject matter of the Open Meeting will be:

The Commission will consider whether to propose rules to eliminate the prohibition against general solicitation and general advertising in securities offerings conducted pursuant to Rule 506 of Regulation D under the Securities Act and Rule 144A under the Securities Act, as mandated by Section 201(a) of the Jumpstart Our Business Startups Act.

Closed Meeting on Thursday, August 30, 2012 at 2:00 p.m.

The subject matter of the Closed Meeting scheduled for Thursday, August 30, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; a litigation matter; and other matters relating to enforcement proceedings.

At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.

Enforcement Proceedings

In the Matter of Frances M. Guggino a/k/a Frances Favata

On August 23, 2012, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Frances M. Guggino a/k/a Frances Favata. The Order finds that Frances M. Guggino, the former CFO and Treasurer of the Fixed Income Funds advised by Legg Mason Partners Fund Advisor, LLC, altered books and records of one of the mutual funds – specifically, a trial balance and Board Meeting Minutes – in order to convince others at Legg Mason & Co. that the fund had received an advancement in connection with a Commission Fair Fund distribution, when the fund had not. Among the documents Ms. Guggino altered were documents required to be created and maintained pursuant to the Investment Company Act. Thus, her alteration of these documents constitutes a violation of Section 34(a) of the Investment Company Act.

Based on the above, Frances M. Guggino is ordered to cease and desist from committing or causing any violations and any future violations of Section 34(a) of the Investment Company Act, to pay a civil money penalty of $15,000 and is barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and is prohibited from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor or principal underwriter. Frances M. Guggino consented to the issuance of the Order without admitting or denying any of the findings. (Rels. IA- IA-3449; IC-30181; File No. 3-14995)

In the Matter of Spyglass Equity Systems, Inc.

On August 24, 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 Spyglass Equity Systems, Inc. (Spyglass).

The Order finds that on July 27, 2012, a final judgment was entered by consent against Spyglass, permanently enjoining it from future violations of Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder, and from aiding and abetting violations of Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder in the civil action entitled Securities and Exchange Commission v. Spyglass Equity Systems, Inc., Civil Action Number LACV11-02371 JAK, in the United States District Court for the Central District of California. The Commission’s complaint in that action alleged that between October 2007 and March 2009, Spyglass, a California corporation with its principal place of business in Los Angeles, California, operated as a telemarketing firm purportedly selling automated trading systems. Spyglass offered and sold to investors memberships in LLCs that would allow access to trading systems and engage in stock trading on behalf of the investors. Spyglass made baseless performance representations, false statements about the stature and integrity of the investment, misrepresentations about the “systems” supposedly used to trade stock on behalf of investors and misrepresentations about the fees to be charged investors. Investors lost over $3 million in the scheme.

Based on the above, Spyglass is 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. Spyglass consented to the issuance of the Order without admitting or denying the findings of the Order except that it admitted the entry of the injunction against it. (Rel. 34-67224; File No. 3-14996)

SEC Charges New York-Based Firm And Owner In Penny Stock Scheme

The Securities and Exchange Commission today charged a New York-based firm and its owner its owner with conducting a penny stock scheme in which they bought billions of stock shares from small companies and illegally resold those shares in the public market.

The SEC alleges that Edward Bronson and E-Lionheart Associates LLC reaped more than $10 million in unlawful profits from selling shares they bought at deep discounts from approximately 100 penny stock companies. On average, Bronson and E-Lionheart were able to generate sales proceeds that were approximately double the price at which they had acquired the shares. No registration statement was filed or in effect for any of the securities that Bronson and E-Lionheart resold to the investing public, and no valid exemption from the registration requirements of the federal securities laws was available.

According to the SEC’s complaint filed in U.S. District Court for the Southern District of New York, Bronson lives in Ossining, N.Y. E-Lionheart, which also does business under the name Fairhills Capital, is located in White Plains. Acting at Bronson’s direction, E-Lionheart personnel systematically “cold called” penny stock companies quoted on the OTC Link to ask if they were interested in obtaining capital. If the company was interested, E-Lionheart personnel would offer to buy stock in the company at a rate that was deeply discounted from the trading price of the company’s stock at that time. Typically, Bronson and E-Lionheart immediately began reselling the shares to the investing public through a broker within days of receiving the shares from the company.

Bronson and E-Lionheart purported to rely on an exemption from registration under Rule 504(b)(1)(iii) of Regulation D, which exempts transactions that are in compliance with certain types of state law exemptions. However, no such state law exemptions were applicable to these transactions. Bronson and E-Lionheart claimed to rely on a Delaware state law registration exemption, but the transactions in fact had little or no connection to the state of Delaware. The particular Delaware state law exemption claimed by Bronson and E-Lionheart is not an exemption that meets the specific requirements of Rule 504(b)(1)(iii). As a result, investors purchasing these shares did not have access to all of the information that a registration statement would have provided, including in many instances important information concerning the issuance of millions of new shares by the company to Bronson and E-Lionheart.

The SEC’s complaint charges E-Lionheart and Bronson with violations of the registration provisions of the federal securities laws, and seeks disgorgement of more than $10 million in ill-gotten gains, penalties. The SEC also seeks penny stock bars. The complaint also names another entity owned and controlled by Bronson – Fairhills Capital Inc. – as a relief defendant for the purpose of recovering the illegal proceeds it received. [SEC v. Edward Bronson, et al., Case No. 12-CV-6421 (S.D.N.Y.)] (LR-22457)

Investment company act releases

Orders of Deregistration Under the Investment Company Act Of 1940

Orders have been issued under Section 8(f) of the Investment Company Act of 1940 declaring that each of the following has ceased to be an investment company:

Industry Leaders Fund [File No. 811-9150]
(Order: Rel No. IC-30175)
Santa Barbara Group of Mutual Funds Inc. [File No. 811-7414]
(Order: Rel No. IC-30176)
Oppenheimer Principal Protected Trust III [File No. 811-21561]
(Order: Rel No. IC-30177)
Morgan Stanley Real Estate Fund [File No 811-9117]
(Order: Rel No. IC-30178)

Standard Insurance Company Separate Account C

An order has been issued under Section 8(f) of the Investment Company Act of 1940 declaring that Standard Insurance Company Separate Account C has ceased to be an investment company. (Rel. (IC-30180 - August 23)

Self-Regulatory Organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by The NASDAQ Stock Market LLC relating to membership in The NASDAQ Stock Market LLC (SR-NASDAQ-2012-097) 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 27. (Rel. 34-67721)

A proposed rule change filed by The NASDAQ Stock Market LLC to eliminate market maker pre-opening obligations on NOM (SR-NASDAQ-2012-095) 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 27. (Rel. 34-67722)

A proposed rule change (SR-C2-2012-029) filed by the C2 Options Exchange, Incorporated to amend the fees schedule 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 27. (Rel. 34-67723)

Securities Act Registrations

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

S-4     Infor (US), Inc., C/O INFOR (US), INC., 641 AVENUE OF THE AMERICAS, 
        NEW YORK, NY, 10011, (678) 319-8000 - 0 ($1,882,875,000.00) Debt, 
        (File 333-183494 - Aug. 23) (BR. 03)

N-2     Duff & Phelps Diversified Income Fund Inc., 200 SOUTH WACKER DRIVE, 
        SUITE 500, CHICAGO, IL, 60606, 312-917-6541 - 
        50,000 ($1,000,000.00) Equity, (File 333-183496 - Aug. 23) (BR. 17)

S-3D    MIDDLEFIELD BANC CORP, 15985 E HIGH ST, P O BOX 35, MIDDLEFILED, OH, 
        44062-9263, 4406321666 - 0 ($11,475,000.00) Equity, (File 333-183497 - 
        Aug. 23) (BR. 07C)

S-11    Renegade Ventures, Inc., 2620 REGATTA DRIVE STE 102, LAS VEGAS, NV, 
        89128, 7025772871 - 20,000,000 ($200,000.00) Equity, (File 333-183499 - 
        Aug. 23) (BR. 08)

S-8     LyondellBasell Industries N.V., 1221 MCKINNEY ST, SUITE 700, HOUSTON, 
        TX, 77010, 713-309-7200 - 10,314,563 ($510,467,722.87) Equity, 
        (File 333-183500 - Aug. 23) (BR. 06A)

S-8     LyondellBasell Industries N.V., 1221 MCKINNEY ST, SUITE 700, HOUSTON, 
        TX, 77010, 713-309-7200 - 1,500,000 ($74,235,000.00) Equity, 
        (File 333-183501 - Aug. 23) (BR. 06A)

S-1     Redfield Ventures, Inc, 244 FIFTH AVE SUITE 1563, NEW YORK, NY, 10001, 
        212-726-2184 - 9,500,000 ($95,000.00) Equity, (File 333-183502 - 
        Aug. 23) (BR. 11)

S-4     Armor Defense Systems Inc., 202 CHAMPIONS POINT WAY, CARY, NC, 27513, 
        919.389.8321 - 0 ($1,101,743.00) Equity, (File 333-183503 - Aug. 23) 
        (BR. 05)

S-3     AMERICAN EQUITY INVESTMENT LIFE HOLDING CO, 5000 WESTOWN PARKWAY, 
        SUITE 440, WEST DEMOINES, IA, 50266, 5152210002 - 
        3,000,000 ($34,875,000.00) Equity, (File 333-183504 - Aug. 23) (BR. 01A)

S-3     Western Gas Partners LP, 1201 LAKE ROBBINS DRIVE, THE WOODLANDS, TX, 
        77380, 832-636-1000 - 0 ($125,000,000.00) Equity, (File 333-183505 - 
        Aug. 23) (BR. 02C)

S-4     HOST HOTELS & RESORTS L.P., 6903 ROCKLEDGE DR, SUITE 1500, BETHESDA, 
        MD, 20817-1109, 240-744-1000 - 0 ($350,000,000.01) Equity, 
        (File 333-183506 - Aug. 23) (BR. 08B)

S-1     GRAYBAR ELECTRIC CO INC, 34 N MERAMEC AVE, ST LOUIS, MO, 63105, 
        3145129200 - 964,300 ($19,286,000.00) Equity, (File 333-183509 - 
        Aug. 23) (BR. 10A)

S-3     UDR, Inc., 1745 SHEA CENTER DRIVE, SUITE 200, HIGHLANDS RANCH, CO, 
        80129, 720-283-6120 - 0 ($44,929,818.00) Equity, (File 333-183510 - 
        Aug. 23) (BR. 08C)

S-8     PROGENICS PHARMACEUTICALS INC, 777 OLD SAW MILL RIVER ROAD, TARRYTOWN, 
        NY, 10591, 9147892800 - 1,000,000 ($4,170,000.00) Equity, 
        (File 333-183511 - Aug. 23) (BR. 01B)

S-8     CoroWare, Inc,, 1410 MARKET STREET, KIRKLAND, WA, 98033, 239-466-0488 - 
        0 ($200,000.00) Other, (File 333-183512 - Aug. 23) (BR. 03A)

S-8     IRIDEX CORP, 1212 TERRA BELLA AVE, MOUNTAIN VIEW, CA, 94043, 
        6509404700 - 400,000 ($1,268,000.00) Equity, (File 333-183513 - 
        Aug. 23) (BR. 10A)

S-3ASR  COINSTAR INC, 1800 114TH AVENUE S E, BELLEVUE, WA, 98004, 4259438000 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-183514 - Aug. 23) 
        (BR. 11A)

S-8     VAALCO ENERGY INC /DE/, 4600 POST OAK PL STE 309, HOUSTON, TX, 77027, 
        713-623-0801 - 0 ($23,055,000.00) Equity, (File 333-183515 - Aug. 23) 
        (BR. 04B)

S-3ASR  SUNTRUST BANKS INC, 303 PEACHTREE ST N E, ATLANTA, GA, 30308, 
        4045887711 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-183516 - Aug. 23) (BR. 12A)

S-8     QUINSTREET, INC, 950 TOWER LANE, 6TH FLOOR, FOSTER CITY, CA, 94404, 
        650-578-7700 - 2,511,101 ($21,017,915.37) Equity, (File 333-183517 - 
        Aug. 23) (BR. 03B)

S-3ASR  COMPUTER SCIENCES CORP, 3170 FAIRVIEW PARK DRIVE, FALLS CHURCH, VA, 
        22042, 7038761000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-183518 - Aug. 23) (BR. 03B)

S-3ASR  RLJ Lodging Trust, 3 BETHESDA METRO CENTER, SUITE 1000, BETHESDA, MD, 
        20814, 301-280-7777 - 0 ($54,261,045.00) Equity, (File 333-183519 - 
        Aug. 23) (BR. 08C)

S-1     Discount Coupons Corp, 475 BLUFF VIEW DRIVE, BELLEAIRE BLUFFS, FL, 
        33770, 919-610-4400 - 10,994,823 ($2,748,705.70) Equity, 
        (File 333-183521 - Aug. 23) (BR. )

Recent 8K Filings

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

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

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

2.04

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

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

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

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

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

5.01

Changes in Control of Registrant

5.02

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

5.03

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

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

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

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.


                                        STATE
NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

-----------------------------------------------------------------------------------------

1 800 FLOWERS COM INC                   DE       2.02,9.01            08/23/12

ADCARE HEALTH SYSTEMS INC               OH       1.01,2.01,2.03,3.02  08/17/12

AECOM TECHNOLOGY CORP                   DE       8.01,9.01            08/23/12

Alexza Pharmaceuticals Inc.             DE       8.01,9.01            08/23/12

Allison Transmission Holdings Inc       DE       1.01,9.01            08/23/12

ALLSCRIPTS HEALTHCARE SOLUTIONS, INC.   DE       5.02                 08/21/12

AMERICAN EAGLE OUTFITTERS INC           DE       2.02,9.01            08/22/12

AMERICAN FINANCIAL GROUP INC            OH       1.01,9.01            08/21/12

AMERICAN INTERNATIONAL GROUP INC        DE       8.01,9.01            08/23/12

AMERICAN REALTY CAPITAL NEW YORK RECO   MD       1.01                 08/17/12

AMERICAN SOFTWARE INC                   GA       5.07                 08/20/12

American Strategic Minerals Corp        NV       4.02                 08/20/12

AMERIGROUP CORP                                  8.01                 08/22/12

APOLLO SOLAR ENERGY, INC.               NV       5.02                 08/20/12

Apple REIT Eight, Inc.                  VA       2.02,9.01            08/22/12

Apple REIT Nine, Inc.                   VA       2.02,9.01            08/22/12

Apple REIT Seven, Inc.                  VA       2.02,9.01            08/22/12

APPLE REIT SIX INC                               2.02,9.01            08/22/12

Apple REIT Ten, Inc.                    VA       2.02,9.01            08/22/12

ARI NETWORK SERVICES INC /WI            WI       1.01,2.01,3.02,8.01, 08/17/12
                                                 9.01
          
ARUBA NETWORKS, INC.                    DE       2.02,9.01            08/23/12

ASSURED GUARANTY LTD                    D0       7.01                 08/23/12

ATP OIL & GAS CORP                      TX       3.01                 08/20/12

AUTODESK INC                            DE       2.02,2.05,9.01       08/22/12

BANCFIRST CORP /OK/                     OK       7.01                 08/23/12

BANK OF AMERICA CORP /DE/               DE       5.02,9.01            08/23/12

BANK OF THE OZARKS INC                  AR       5.02,9.01            08/21/12

BANNER CORP                             WA       8.01,9.01            08/23/12

BAR HARBOR BANKSHARES                   ME       8.01                 08/21/12

Beacon Federal Bancorp, Inc.            MD       8.01,9.01            08/23/12

Beacon Federal Bancorp, Inc.            MD       5.07                 05/17/12    AMEND

bebe stores, inc.                       CA       2.02,9.01            08/23/12

BLACKBOX SEMICONDUCTOR, INC.            NV       1.01,5.02            06/14/12

BLUE SPHERE CORP.                       NV       1.01                 07/18/11

BOLDFACE GROUP, INC.                    NV       5.02                 08/22/12

BOLT TECHNOLOGY CORP                    CT       2.02,5.02,8.01,9.01  08/21/12

BRINKER INTERNATIONAL INC               DE       7.01,8.01,9.01       08/23/12

BROADVIEW NETWORKS HOLDINGS INC         DE       1.03,2.04,9.01       08/22/12

BROADWIND ENERGY, INC.                  DE       5.03,8.01,9.01       08/22/12

BROADWIND ENERGY, INC.                  DE       1.01,2.03,9.01       08/23/12

BURLINGTON NORTHERN SANTA FE, LLC                1.01,2.03,9.01       08/23/12

BUTLER NATIONAL CORP                    DE       8.01,9.01            08/23/12

C & F FINANCIAL CORP                    VA       8.01,9.01            08/23/12

CADENCE PHARMACEUTICALS INC                      8.01                 08/22/12

Carey Watermark Investors Inc                    9.01                 06/08/12    AMEND

CELGENE CORP /DE/                       DE       5.02                 08/21/12

CENTURY PROPERTIES FUND XIX             CA       1.01,9.01            08/21/12

Chanticleer Holdings, Inc.              DE       7.01,9.01            08/23/12

CHEMBIO DIAGNOSTICS, INC.               NV       7.01,9.01            08/23/12

CHICOS FAS INC                          FL       2.02,9.01            08/22/12

CHINA EDUCATION INTERNATIONAL, INC.     NV       1.01,2.01,3.02,7.01, 08/22/12
                                                 9.01
          
CHINA EDUCATION TECHNOLOGY, INC.        NV       4.01                 07/16/12

China Liaoning Dingxu Ecological Agri   NV       4.01,9.01            08/22/12

CIG WIRELESS CORP.                      NV       5.03,9.01            08/14/12

Circle Entertainment, Inc.              DE       1.01,2.03,5.02,9.01  08/17/12

City Media, Inc.                        UT       8.01                 08/23/12

COCA COLA CO                            DE       7.01,9.01            08/23/12

CombiMatrix Corp                        DE       7.01,8.01,9.01       08/23/12

Constant Contact, Inc.                  DE       9.01                 06/12/12    AMEND

ContinuityX Solutions, Inc.             DE       1.01,5.02,9.01       08/17/12

CROSSTEX ENERGY INC                     DE       7.01                 08/23/12

CROSSTEX ENERGY LP                      DE       7.01                 08/23/12

CRYOLIFE INC                            FL       1.01,3.03,8.01,9.01  08/20/12

DELTA PETROLEUM CORP/CO                 CO       1.01                 08/15/12

DEX ONE Corp                            DE       1.01,9.01            08/20/12    AMEND

Discovery Communications, Inc.          DE       5.02                 08/17/12

Discovery Gold Corp                     NV       5.02,8.01,9.01       08/17/12

DNB FINANCIAL CORP /PA/                 PA       8.01,9.01            08/22/12

Domtar CORP                             DE       2.03,8.01,9.01       08/23/12

DreamWorks Animation SKG, Inc.                   1.01,8.01,9.01       08/18/12

DRIL-QUIP INC                           DE       1.01,9.01            08/20/12

DYNAVAX TECHNOLOGIES CORP               DE       8.01,9.01            08/22/12

ECOLOGY COATINGS, INC.                  NV       5.02                 08/23/12

EMMIS COMMUNICATIONS CORP               IN       1.01,2.01            08/20/12

EMPIRE RESORTS INC                      DE       1.01,9.01            08/17/12

ENVIRONMENTAL TECTONICS CORP            PA       2.02,9.01            08/22/12

EPAM Systems, Inc.                      DE       5.02                 08/23/12

EPICEPT CORP                                     1.02,5.02            08/17/12

EV Energy Partners, LP                  DE       7.01,9.01            08/20/12

Exterra Energy Inc.                     NV       7.01,9.01            08/20/12

FAIRCHILD SEMICONDUCTOR INTERNATIONAL   DE       5.02                 08/23/12

FBL FINANCIAL GROUP INC                 IA       5.02,7.01            08/23/12

Federal Home Loan Bank of Atlanta       X1       2.03                 08/23/12

Federal Home Loan Bank of Boston        X1       2.03                 08/21/12

Federal Home Loan Bank of Chicago       X1       2.03                 08/20/12

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            08/20/12

Federal Home Loan Bank of Dallas                 2.03,9.01            08/17/12

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            08/21/12

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            08/23/12

Federal Home Loan Bank of New York      X1       2.03,9.01            08/21/12

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            08/20/12

Federal Home Loan Bank of San Francis   X1       2.03                 08/20/12

Federal Home Loan Bank of Topeka                 2.03,9.01            08/20/12

FIFTH THIRD BANCORP                     OH       1.01,2.03            08/23/12

FIRST CAPITAL BANCORP, INC.             VA       5.07                 08/22/12

FIRST CHINA PHARMACEUTICAL GROUP, INC   NV       2.02,9.01            08/21/12

FIRST DEFIANCE FINANCIAL CORP           OH       7.01,9.01            08/23/12

FORWARD INDUSTRIES INC                  NY       2.02,9.01            08/20/12

FREDS INC                               TN       2.02,9.01            08/23/12

FRISCHS RESTAURANTS INC                 OH       8.01                 08/22/12

FUSION TELECOMMUNICATIONS INTERNATION   DE       2.01,7.01,9.01       08/23/11

GAMETECH INTERNATIONAL INC              DE       5.02                 08/17/12

GAYLORD ENTERTAINMENT CO /DE            DE       8.01                 08/22/12

GBS Enterprises Inc                     NV       4.02                 08/17/12

GENESIS GROUP HOLDINGS INC                       2.01                 08/23/12

GIGA TRONICS INC                        CA       5.07                 08/22/12

GLACIER BANCORP INC                     DE       2.02,9.01            07/26/12

GLEACHER & COMPANY, INC.                DE       5.02,9.01            08/17/12

GLIMCHER REALTY TRUST                   MD       1.01,2.03,9.01       08/22/12

GLOBAL AXCESS CORP                      NV       2.02,5.02,7.01,9.01  08/20/12

Global Ecology Corp                     NV       8.01,9.01            07/09/12

GRAMERCY CAPITAL CORP                   MD       1.01,3.02,7.01,9.01  08/17/12

Great American Group, Inc.              DE       5.07                 08/21/12

Griffin Capital Net Lease REIT, Inc.             7.01,9.01            08/23/12

GYRODYNE CO OF AMERICA INC              NY       1.01,5.02,8.01,9.01  08/17/12

HARRIS CORP /DE/                        DE       5.02                 08/21/12

HARTFORD FINANCIAL SERVICES GROUP INC   DE       5.02                 08/20/12

HEALTH CARE REIT INC /DE/               DE       7.01,8.01,9.01       08/22/12

HEALTH NET INC                          DE       7.01                 08/22/12

HELIX ENERGY SOLUTIONS GROUP INC        MN       5.02,7.01,9.01       08/23/12

HEMISPHERX BIOPHARMA INC                DE       5.03,8.01,9.01       08/23/12

Higher One Holdings, Inc.               DE       8.01                 08/17/12

Horizon Technology Finance Corp         DE       1.01,2.03,9.01       08/23/12

HORMEL FOODS CORP /DE/                  DE       2.02,9.01            08/23/12

ICAHN ENTERPRISES HOLDINGS L.P.         DE       4.01,9.01            08/09/12

ICAHN ENTERPRISES L.P.                  DE       4.01,9.01            08/09/12

ILLINOIS TOOL WORKS INC                 DE       8.01                 08/23/12

IMMUNOMEDICS INC                        DE       2.02,9.01            08/23/12

Inland American Real Estate Trust, In   MD       7.01,9.01            08/23/12

INTEGRATED ENVIRONMENTAL TECHNOLOGIES   NV       3.02,9.01            08/17/12

INTERFACE INC                           GA       2.01,7.01,9.01       08/22/12

INVESTORS CAPITAL HOLDINGS LTD          MA       5.07                 08/22/12

JAKKS PACIFIC INC                       DE       8.01                 08/13/12

John Bean Technologies CORP             DE       7.01,9.01            08/22/12

KAVILCO INC/WA/                         AK       4.01                 06/30/12

KEWAUNEE SCIENTIFIC CORP /DE/           DE       2.02,9.01            08/21/12

KINDER MORGAN ENERGY PARTNERS L P       DE       1.01,7.01,9.01       08/17/12

KIRKLAND'S, INC                                  2.02,9.01            08/17/12

LABORATORY CORP OF AMERICA HOLDINGS     DE       1.01,8.01,9.01       08/20/12

LANCASTER COLONY CORP                   OH       2.02,9.01            08/23/12

LEHMAN ABS CORP BOEING NOTE BACKED SE   DE       8.01,9.01            08/15/12

LEHMAN ABS CORP BOEING SECURITIES BAC   DE       8.01,9.01            08/15/12

LEHMAN ABS CORP DUKE CAPITAL NOTE BAC   DE       8.01,9.01            08/15/12

LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S   DE       8.01,9.01            08/15/12

LEHMAN ABS CORP GOLDMAN SACHS NOTE-BK   DE       8.01,9.01            08/15/12

Lincolnway Energy, LLC                  IA       1.01                 08/20/12

LOCAL.COM                               DE       1.01,2.03,9.01       08/17/12

Location Based Technologies, Inc.       NV       8.01,9.01            08/20/12

LOOKSMART LTD                           DE       1.01,3.03,9.01       08/23/12

Lustros Inc.                            UT       5.02,8.01            06/30/12

Mastech Holdings, Inc.                  PA       5.02                 08/20/12

Meetinghouse Bancorp, Inc.              MD       1.01,9.01            08/17/12

MEI Pharma, Inc.                        DE       2.01,3.02            08/22/12

MENTOR GRAPHICS CORP                    OR       2.02                 08/23/12

MICHAELS STORES INC                     DE       2.02,9.01            08/23/12

MICROCHIP TECHNOLOGY INC                DE       5.02,5.07,9.01       08/23/12

MICROS SYSTEMS INC                      MD       2.02,9.01            08/23/12

Motors Liquidation Co                   DE       8.01,9.01            08/23/12

National CineMedia, Inc.                DE       8.01,9.01            08/23/12

NAVISTAR INTERNATIONAL CORP             DE       1.01,2.03,9.01       08/17/12

NB&T FINANCIAL GROUP INC                OH       5.02                 08/23/12

NET 1 UEPS TECHNOLOGIES INC                      2.02,5.02,7.01,9.01  08/22/12

Net Element, Inc.                       DE       1.01,2.03,9.01       08/17/12

NEW FRONTIER MEDIA INC                  CO       3.01,9.01            08/17/12

New Leaf Brands, Inc.                   NV       5.02,9.01            08/23/11

NEWS CORP                                        8.01,9.01            08/23/12

NEXSTAR BROADCASTING GROUP INC          DE       7.01                 08/23/12

NextWave Wireless Inc.                  DE       1.01,2.03,9.01       08/16/12

Nexxus Lighting, Inc.                   DE       2.02,2.06,9.01       06/28/12

NORDSTROM INC                           WA       8.01,9.01            08/23/12

NORTHWEST BIOTHERAPEUTICS INC           DE       1.01,2.03,3.02       08/17/12

NUVASIVE INC                            DE       8.01                 08/17/12

NYSE Euronext                           DE       5.03,9.01            08/23/12

O REILLY AUTOMOTIVE INC                          8.01                 08/17/12

OCWEN FINANCIAL CORP                    FL       8.01                 08/23/12

OIL STATES INTERNATIONAL, INC           DE       8.01,9.01            08/23/12

OLD LINE BANCSHARES INC                 MD       7.01                 08/23/12

ON SEMICONDUCTOR CORP                   DE       2.03,3.02            08/22/12

PACIFIC FINANCIAL CORP                  WA       5.02                 08/22/12

PANERA BREAD CO                         DE       5.02,8.01,9.01       08/23/12

PATTERSON COMPANIES, INC.               MN       2.02,9.01            08/23/12

PHH CORP                                MD       1.01,2.03,8.01,9.01  08/23/12

PHOTOMEDEX INC                          DE       7.01,8.01,9.01       08/23/12

Piedmont Office Realty Trust, Inc.      MD       1.01,2.03,9.01       08/21/12

PIER 1 IMPORTS INC/DE                   DE       8.01,9.01            08/23/12

Plymouth Opportunity REIT Inc.          MD       7.01                 08/20/12

Porter Bancorp, Inc.                    KY       5.02                 08/22/12

POZEN INC /NC                                    8.01,9.01            08/21/12

Punchline Entertainment, Inc.           NV       8.01                 08/22/12

PURADYN FILTER TECHNOLOGIES INC         DE       2.02,7.01,9.01       08/14/12

QAD INC                                 DE       2.02,9.01            08/23/12

QUALITY SYSTEMS, INC                    CA       5.02                 08/17/12

RADIANT LOGISTICS, INC                  DE       1.01,9.01            08/21/12

RADISYS CORP                            OR       7.01                 08/23/12

RBC LIFE SCIENCES, INC.                 DE       5.02                 08/20/12

RDA Holding Co.                                  8.01,9.01            08/23/12

REGIS CORP                              MN       2.02,9.01            08/23/12

RESOURCES CONNECTION INC                DE       4.01,9.01            08/21/12

RFS HOLDING LLC                                  1.01,8.01,9.01       08/22/12

ROCKY MOUNTAIN CHOCOLATE FACTORY INC    CO       7.01,9.01            08/23/12

ROYAL BANCSHARES OF PENNSYLVANIA INC    PA       5.02                 08/17/12

ROYAL QUANTUM GROUP INC                 NV       5.02                 08/17/12

rue21, inc.                             DE       2.02,9.01            08/23/12

SALESFORCE COM INC                      DE       2.02,9.01            08/23/12

SCHOOL SPECIALTY INC                    WI       1.01,2.02,5.07       08/21/12

SERVICEMASTER CO                        DE       1.01                 08/17/12

SHILOH INDUSTRIES INC                   DE       2.02,9.01            08/23/12

SHOE CARNIVAL INC                       IN       2.02,9.01            08/23/12

Sibling Entertainment Group Holdings,   TX       5.03,5.07,9.01       08/23/12

SIGNET JEWELERS LTD                              2.02                 08/23/12

SL GREEN REALTY CORP                    MD       8.01,9.01            08/23/12

SOLERA HOLDINGS, INC                    DE       2.02,7.01,9.01       08/23/12

Sound Financial Bancorp, Inc.           MD       8.01,9.01            08/22/12

SOUTHWEST BANCORP INC                   OK       5.02,7.01            08/23/12

SOUTHWEST GEORGIA FINANCIAL CORP        GA       8.01,9.01            08/23/12

ST JUDE MEDICAL INC                     MN       3.01                 08/19/12

STAAR SURGICAL CO                       DE       1.01,7.01,9.01       08/17/12

Station Casinos LLC                     NV       1.01,9.01            08/20/12

STRATEGIC INTERNET INVESTMENTS INC      DE       1.01,3.02,5.02,5.03  08/22/12

SUNERGY INC                             NV       5.02                 08/17/12

SUNRISE SENIOR LIVING INC               DE       8.01,9.01            08/22/12

SUPERMEDIA INC.                         DE       1.01,9.01            08/20/12    AMEND

SUPERTEX INC                            CA       5.07                 08/22/12

SYMANTEC CORP                           DE       5.02,9.01            08/19/12

SYNERGY PHARMACEUTICALS, INC.           DE       1.01,2.01,7.01,9.01  08/17/12

TICC Capital Corp.                      MD       1.01,2.03,9.01       08/23/12

TIMBERLAND BANCORP INC                  WA       2.02,9.01            08/22/12

TORO CO                                 DE       2.02,9.01            08/23/12

Treaty Energy Corp                      NV       5.03,9.01            07/23/12

TRIG ACQUISITION 1, INC                 NV       1.01                 08/15/12

Twin Cities Power Holdings, LLC         MN       2.02,9.01            08/23/12    AMEND

UNIT CORP                               DE       8.01,9.01            08/23/12

UNITED AMERICAN HEALTHCARE CORP         MI       1.01,9.01            08/14/12

UNIVERSITY GENERAL HEALTH SYSTEM, INC   NV       9.01                 08/23/12

Unum Group                              DE       8.01,9.01            08/23/12

US FUEL CORP                            NV       1.01,8.01            08/23/12

Valley Commerce Bancorp                 CA       8.01                 08/22/12

VALLEY FINANCIAL CORP /VA/              VA       1.02,8.01,9.01       08/20/12

VANGUARD HEALTH SYSTEMS INC             DE       2.02,7.01,9.01       08/22/12

VANGUARD HEALTH SYSTEMS INC             DE       5.02                 08/17/12

Vantage Drilling CO                     E9       1.01,2.03,9.01       08/21/12

VERSANT CORP                            CA       2.02,9.01            08/23/12

VIASAT INC                              DE       5.02,7.01,9.01       08/17/12

Victor Technologies Group, Inc.         DE       1.01,5.02,9.01       08/17/12

WebMD Health Corp.                      DE       5.02,7.01,9.01       08/22/12

WERNER ENTERPRISES INC                  NE       7.01,9.01            08/23/12

WESBANCO INC                            WV       8.01,9.01            08/23/12

Westinghouse Solar, Inc.                DE       3.01                 08/17/12

Whitestone REIT                         TX       1.01,7.01,9.01       08/23/12

Wolverine Bancorp, Inc.                 MD       5.02,9.01            08/21/12

XCEL ENERGY INC                         MN       7.01                 08/23/12

Zumiez Inc                              WA       5.02                 08/20/12

http://www.sec.gov/news/digest/2012/dig082412.htm

SEC News Digest