U.S. Securities & Exchange Commission
SEC Seal
Home | Previous Page
U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-177
September 12, 2012

Commission Announcements

Andrew Bowden Named Deputy Director in the SEC’S Office of Compliance Inspections and Examinations

The Securities and Exchange Commission today announced that Andrew J. Bowden has been named Deputy Director of the agency’s Office of Compliance Inspections and Examinations (OCIE).  He succeeds Norm Champ who was named in July to head the SEC’s Division of Investment Management.

Mr. Bowden joined the SEC in November 2011 as the National Associate Director for OCIE’s Investment Adviser/Investment Company Examination Program. He will assume his new responsibilities immediately and continue in his former role until a successor is in place.

“Drew is an outstanding professional with a valuable combination of technical expertise, industry perspective, and leadership and management skills.  In his short time at the Commission, he has demonstrated excellent teamwork and collaboration across the SEC and with other regulators,” said OCIE Director Carlo di Florio.

OCIE conducts inspections and examinations of SEC-registered investment advisers, investment companies, broker-dealers, self-regulatory organizations, clearing agencies, and transfer agents.  In the past two years, OCIE has adopted a risk-focused examination program, hired industry experts, leveraged technology to increase efficiency, and launched a training program focused on quality and consistency.  These initiatives have resulted in an increase in the number and quality of examinations and strengthened OCIE’s ability to promote compliance with U.S. securities laws, prevent fraud, monitor risk, and inform SEC policy.

As Deputy Director, Mr. Bowden will work closely with Mr. di Florio on OCIE’s strategy, governance structure, risk-based exam process, training programs, and technology, and will continue to co-chair OCIE’s People Committee, which focuses on training, teamwork, and other initiatives to maintain a high-performance culture. 

“I am grateful for this opportunity to work more broadly with colleagues in OCIE and to continue the assessment and improvement initiatives instituted by Carlo and the OCIE National Leadership Team over the last two years,” said Mr. Bowden.

Before joining the SEC, Mr. Bowden worked in private law practice, chiefly on legal, regulatory, and compliance issues involving broker-dealer activities.  He spent 17 years at Legg Mason, Inc. in a variety of legal, compliance, and senior business roles related to Legg Mason’s broker-dealer and investment management businesses and served on the Board of Governors and Executive Committee of the Investment Advisers Association. 

Mr. Bowden received his law degree, cum laude, from the University of Pennsylvania Law School and his bachelor’s degree, summa cum laude, from Loyola University in Baltimore. (Press Rel. 2012-187)

Enforcement Proceedings

In the Matter of Robert Carlsson

On September 11, 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 former broker Robert Carlsson (Carlsson) based his guilty plea to one count of obstructing an official proceeding, specifically an examination by Commission staff. U.S. v. Hollnagel et al., 1:10-cr-00195 (N.D. Ill.).

Previously, the Commission filed an emergency action against BCI Aircraft Leasing, Inc. (BCI) and its CEO Brian Hollnagel (Hollnagel) in August 2007. SEC v. Hollnagel et al., Case No. 07-cv-4538 (N.D. Ill.). The Commission alleged that BCI and Hollnagel conducted a fraudulent scheme in which BCI raised $83 million from investors in connection with the offer and sale of membership interests in BCI entities which purportedly purchased ownership interests in commercial aircraft.

The Order finds that Carlsson was a licensed securities broker who raised money for BCI from outside investors. During at least 2006 and 2007, Carlsson was a principal of 21 Capital Group, Inc. (21 Capital), a securities broker-dealer registered with the Commission. The Order also finds that the grand jury alleged that in connection with 2006 and 2007 examinations by staff of the Commission’s Office of Compliance Inspections and Examinations (OCIE), Carlsson “corruptly obstructed, influenced and impeded and attempted to corruptly obstruct, influence and impede an official proceeding, namely a Commission examination of 21 Capital and [Carlsson].” Finally, the Order finds that on November 8, 2011, Carlsson entered a plea of guilty to one count of obstruction of an official proceeding, Title 18 U.S.C. 1512.

Based on the above, Respondent Robert Carlsson consented to an order barring him from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent; and 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. (Rel. 34-67823; File No. 3-15018)

Commission Orders Hearing on Registration Suspension or Revocation Against Jiangbo Pharmaceuticals, Inc. for Failure to Make Required Periodic Filings

On September 11, 2012, the Commission issued an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 against Jiangbo Pharmaceuticals, Inc. (Jiangbo). The Division of Enforcement alleges that Jiangbo is delinquent in its periodic filings with the Commission. Jiangbo has failed to file required annual and quarterly reports with the Commission since filing its quarterly report for the fiscal quarter ended March 31, 2011.

In this proceeding, a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondent 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 judge in the proceeding will then determine whether the registration pursuant to Exchange Act Section 12 of each class of the securities of the Respondent 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. 34-67833; File No. 3-15019)

Delinquent Filer’s Stock Registration Revoked

The registration of the registered securities of Shiming U.S., Inc., has been revoked. It had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, it violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-67834; File No. 3-14432)

Investment Company act releases

LoCorr Fund Management, LLC and LoCorr Investment Trust

An order has been issued on an application filed by LoCorr Fund Management, LLC and LoCorr Investment Trust for an exemption from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC-30199 - September 11)

Prudential Investment Portfolios 3, The Prudential Investment Portfolios, Inc. and Prudential Investments LLC

A notice has been issued giving interested persons until October 5, 2012, to request a hearing on an application filed by Prudential Investment Portfolios 3, The Prudential Investment Portfolios, Inc. and Prudential Investments LLC for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Sections 17(a)(1) and 17(a)(2) of the Act. The requested order would permit certain registered open-end management investment companies that operate as “funds of funds” to acquire shares of other registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies. (Rel. IC-30200 - September 11)

Self-Regulatory organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change (SR-NYSEArca-2012-085) filed by NYSE Arca, Inc. amending certain NYSE Arca equities rules to replace references to “NYSE Amex” with “NYSE MKT” reflecting the recent name change of NYSE Amex LLC to NYSE MKT LLC 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 September 10. (Rel. 34-67797)

The Options Clearing Corporation (“OCC”) filed a proposed rule change (SR-OCC-2012-13) under Section 19(b)(1) of the Securities Exchange Act of 1934 to correct an administrative oversight in rule filing SR-OCC-2012-10. The proposed rule change has become effective upon filing. Publication is expected in the Federal Register during the week of September 10. (Rel. 34-67826)

A proposed rule change (SR-Phlx-2012-112) relating to rebates and fees for adding and removing liquidity in Select Symbols 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 September 10. (Rel. 34-67830)

A proposed rule change (SR-Phlx-2012-111) relating to routing fees to NOM 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 September 10. (Rel. 34-67831)

A proposed rule change filed by C2 Options Exchange, Incorporated to make technical amendments to the rules (SR-C2-2012-031) 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 September 10. (Rel. 34-67832)

Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes

The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on proceedings to determine whether to approve or disapprove proposed rule changes (SR-Phlx-2012-27 and SR-Phlx-2012-54) filed by the NASDAQ OMX PHLX LLC relating to complex order fees and rebates for adding and removing liquidity in Select Symbols. Publication is expected in the Federal Register during the week of September 10. (Rel. 34-67825)

Proposed Rule Changes

Pursuant to Rule 19b-4 of the Securities Exchange Act of 1934, Chicago Board Options Exchange, Incorporated has filed with the Securities and Exchange Commission a proposed rule change (SR-CBOE-2012-085) to modify its complex order auction (“COA”) procedures to provide that a request for response (“RFR”) message will identify the side of the market of an order that is subject to COA and to clarify that RFR responses must be on the opposite side of the market from the COA order. Publication is expected in the Federal Register during the week of September 10. (Rel. 34-67827)

Pursuant to Rule 19b-4 of the Securities Exchange Act of 1934, C2 Options Exchange, Incorporated has filed with the Securities and Exchange Commission a proposed rule change (SR-C2-2012-030) to modify its complex order auction (“COA”) procedures to provide that a request for response (“RFR”) message will identify the side of the market of an order that is subject to COA and to clarify that RFR responses must be on the opposite side of the market from the COA order. Publication is expected in the Federal Register during the week of September 10. (Rel. 34-67828)

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-1     MIAMI DAYS CORP., 1504 BAY ROAD, UNIT 924, MIAMI BEACH, FL, 33139, 
        17862227673 - 10,000,000 ($100,000.00) Equity, (File 333-183814 - 
        Sep. 11) (BR. 05)

S-4     EP Energy LLC, 1001 LOUISIANA STREET, HOUSTON, TX, 77002, 
        713.997.1000 - 0 ($3,100,000,000.00) Debt, (File 333-183815 - Sep. 11) 
        (BR. 04)

S-3ASR  Bristow Group Inc, 2103 CITY WEST BLVD., 4TH FLOOR, HOUSTON, TX, 77042, 
        7132677600 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-183816 - Sep. 11) (BR. 05B)

S-3     American Midstream Partners, LP, 1614 15TH STREET SUITE 300, DENVER, 
        CO, 80202, (720) 457-6060 - 0 ($13,784,531.20) Equity, 
        0 ($400,000,000.00) Other, (File 333-183818 - Sep. 11) (BR. 02)

F-10    IMRIS Inc., 100-1370 SONY PLACE, WINNIPEG, A2, R3T 1N5, 
        (204) 480-7090 - 75,000,000 ($75,000,000.00) Equity, (File 333-183820 - 
        Sep. 11) (BR. 10A)

S-8     SCHOOL SPECIALTY INC, W6316 DESIGN DRIVE, GREENVILLE, WI, 54942, 
        (920) 734-5712 - 180,000 ($498,600.00) Equity, (File 333-183821 - 
        Sep. 11) (BR. 02A)

S-3     PALATIN TECHNOLOGIES INC, 4B CEDAR BROOK DRIVE, CRANBURY, NJ, 08512, 
        609-495-2200 - 35,861,151 ($20,799,467.58) Equity, (File 333-183837 - 
        Sep. 11) (BR. 01B)

S-11    Silver Bay Realty Trust Corp., 601 CARLSON PARKWAY, SUITE 250, 
        MINNETONKA, MN, 55305, 612-238-3300 - 0 ($287,500,000.00) Equity, 
        (File 333-183838 - Sep. 11) (BR. )

S-1     Wishbone Pet Products Inc., 38TH STREET, NEW SEHAILE, BEIRUT, M8, 
        00000, 011-3-861-590 - 1,500,000 ($15,000.00) Equity, 
        (File 333-183839 - Sep. 11) (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

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

AccelPath, Inc.                         DE       1.01,3.02,5.03       09/07/12

ACCESS POWER INC                        FL       5.03,8.01            09/11/12

ACTUANT CORP                            WI       8.01,9.01            09/10/12

ADMA BIOLOGICS, INC.                    DE       7.01,9.01            09/11/12

AEROSONIC CORP /DE/                     DE       2.02,9.01            09/10/12

AETNA INC /PA/                          PA       7.01                 09/11/12

AMEREN CORP                             MO       8.01,9.01            09/11/12

AMERICAN AIRLINES INC                   DE       8.01                 09/11/12

AMERICAN APPAREL, INC                   DE       1.01,9.01            08/30/12

AMERICAN GRAPHITE TECHNOLOGIES INC.     NV       1.01,9.01            08/29/12

American Midstream Partners, LP         DE       9.01                 07/02/12    AMEND

AMERICAN REALTY CAPITAL NEW YORK RECO   MD       2.01,2.03,9.01       09/07/12

American Realty Capital Properties, I   MD       8.01,9.01            09/10/12

American Realty Capital Trust III, In   MD       8.01,9.01            09/10/12

American Realty Capital Trust IV, Inc   MD       8.01                 09/10/12

American Realty Capital Trust IV, Inc   MD       8.01,9.01            09/11/12

AMR CORP                                DE       8.01                 09/11/12

Annie's, Inc.                           DE       5.07                 09/10/12

ANTS SOFTWARE INC                       DE       5.02                 09/11/12

AOL Inc.                                DE       5.02                 09/07/12

ARES CAPITAL CORP                       MD       5.02                 09/07/12

ASHLAND INC.                            KY       7.01,9.01            09/11/12

ASPEN INSURANCE HOLDINGS LTD            D0       5.02,9.01            09/06/12

ASTORIA FINANCIAL CORP                  DE       8.01,9.01            09/10/12

AtheroNova Inc.                         DE       7.01,9.01            09/11/12

AVENTINE RENEWABLE ENERGY HOLDINGS IN   DE       1.01,2.03            09/05/12

Bacterin International Holdings, Inc.   DE       7.01,9.01            09/11/12

BARRY R G CORP /OH/                     OH       2.02,9.01            09/11/12

BB&T CORP                               NC       7.01,9.01            09/11/12

BEACON ENTERPRISE SOLUTIONS GROUP INC   NV       1.01,5.02            09/10/12

BIMINI CAPITAL MANAGEMENT, INC.         MD       1.02,7.01,9.01       09/11/12

BKF CAPITAL GROUP INC                   DE       5.02                 09/05/12

BOSTON PROPERTIES INC                   DE       5.02                 09/11/12

BOSTON PROPERTIES LTD PARTNERSHIP       DE       5.02                 09/11/12

BreitBurn Energy Partners L.P.          DE       1.01,7.01,9.01       09/05/12

Bullfrog Gold Corp.                     DE       2.03,3.02,9.01       09/05/12

Burlington Coat Factory Investments H            7.01,9.01            09/11/12

BURLINGTON COAT FACTORY WAREHOUSE COR   DE       7.01,9.01            09/11/12

CAPITAL ONE FINANCIAL CORP              DE       7.01                 09/11/12

CASEYS GENERAL STORES INC               IA       2.02,9.01            09/11/12

CENTRAL BANCORP INC /MA/                MA       5.07,8.01,9.01       09/11/12

Chefs' Warehouse, Inc.                  DE       5.02                 09/07/12

CHENIERE ENERGY INC                     DE       7.01,9.01            09/11/12

Cheniere Energy Partners, L.P.          DE       7.01,9.01            09/11/12

Cheniere Energy Partners, L.P.          DE       3.02,5.02            09/05/12

Chesapeake Lodging Trust                MD       8.01                 09/10/12

Chesapeake Lodging Trust                MD       9.01                 08/21/12    AMEND

China Natural Gas, Inc.                 DE       2.04,9.01            09/05/12

CHINA VALVES TECHNOLOGY, INC            NV       3.01                 09/11/12

ChinaNet Online Holdings, Inc.          NV       1.01,9.01            09/10/12

CITIGROUP INC                           DE       2.06,8.01            09/11/12

Clearwater Paper Corp                   DE       7.01,9.01            09/11/12

CLICKER INC.                            NV       5.02,9.01            09/06/12

CLOROX CO /DE/                          DE       8.01,9.01            09/10/12

CNO Financial Group, Inc.               DE       8.01                 09/04/12    AMEND

Colony Financial, Inc.                  MD       1.01,9.01            09/06/12

COMPUTER SCIENCES CORP                  NV       8.01                 09/06/12

CONAGRA FOODS INC /DE/                  DE       8.01                 09/10/12

CONSOL Energy Inc                       DE       1.04                 09/05/12

Consolidated Communications Holdings,   DE       9.01                 06/29/12    AMEND

COPYTELE INC                            DE       5.02,9.01            09/05/12

Coronus Solar Inc.                      A1       1.01,1.02,7.01,8.01, 09/11/12
                                                 9.01
          
Customers Bancorp, Inc.                 PA       8.01                 09/11/12

CYBERONICS INC                          DE       1.01,8.01,9.01       09/11/12

CYS Investments, Inc.                   MD       7.01,9.01            09/11/12

DIGITAL ALLY INC                                 3.01                 09/10/12

DJO Finance LLC                         DE       7.01,9.01            09/11/12

DJO Finance LLC                         DE       8.01,9.01            09/11/12

DYCOM INDUSTRIES INC                    FL       7.01,9.01            09/11/12

E TRADE FINANCIAL Corp                  DE       7.01,9.01            09/11/12

EARTH DRAGON RESOURCES INC.                      2.04,3.02,9.01       09/06/12

EBIX INC                                DE       8.01                 09/11/12

EDIETS COM INC                          DE       1.01,9.01            09/06/12

Education Realty Trust, Inc.            MD       7.01,9.01            09/11/12

El Paso Pipeline Partners, L.P.         DE       7.01,8.01,9.01       09/11/12

Ellington Financial LLC                 DE       7.01,9.01            09/10/12

ENVIRONMENTAL CONTROL CORP.                      1.01,5.02,9.01       09/04/12

EOG RESOURCES INC                       DE       1.01,9.01            09/10/12

EXAR CORP                               DE       5.07                 09/06/12

FARMER BROTHERS CO                      CA       2.02,9.01            09/10/12

Federal Home Loan Bank of Atlanta       X1       2.02                 09/11/12

Federal Home Loan Bank of Boston        X1       2.03                 09/05/12

Federal Home Loan Bank of Chicago       X1       2.03                 09/05/12

Federal Home Loan Bank of Cincinnati    X1       5.02                 09/10/12

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            09/05/12

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            09/07/12

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            09/11/12

Federal Home Loan Bank of New York      X1       2.03,9.01            09/05/12

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            09/05/12

Federal Home Loan Bank of San Francis   X1       2.03                 09/06/12

Federal Home Loan Bank of Seattle                2.03                 09/07/12

Federal Home Loan Bank of Topeka                 2.03,9.01            09/05/12

FIFTH THIRD BANCORP                     OH       7.01,9.01            09/11/12

FIRST FINANCIAL BANCORP /OH/            OH       7.01,9.01            09/11/12

FIRST FINANCIAL BANKSHARES INC          TX       8.01,9.01            09/07/12

FIRST NIAGARA FINANCIAL GROUP INC       DE       7.01,9.01            09/11/12

FIRST REAL ESTATE INVESTMENT TRUST OF   NJ       2.02,9.01            09/11/12

FLORIDA GAMING CORP                     DE       8.01                 09/05/12

FLOWSERVE CORP                          NY       1.01,1.02,2.03,7.01, 09/06/12
                                                 9.01
          
FLUOROPHARMA MEDICAL, INC.              NV       7.01,9.01            09/11/12

Forbes Energy Services Ltd.             D0       5.02                 09/05/12

FREQUENCY ELECTRONICS INC               DE       2.02,9.01            09/11/12

FRESH MEDICAL LABORATORIES, INC.                 5.02,8.01,9.01       09/10/12

FRONTIER OILFIELD SERVICES INC          TX       3.02,9.01            06/04/12    AMEND

General Finance CORP                    DE       8.01,9.01            09/11/12

GEORGIA GULF CORP /DE/                  DE       1.01,5.02,9.01       09/11/12

GEORGIA GULF CORP /DE/                  DE       8.01,9.01            09/11/12

GLOBAL GOLD CORP                        DE       8.01,9.01            09/06/12

GLOBECOMM SYSTEMS INC                            2.02,9.01            09/11/12

Granite Falls Energy, LLC               MN       1.01,2.03            09/05/12

Great Lakes Dredge & Dock CORP          DE       7.01,9.01            09/11/12

GREAT WALL BUILDERS LTD.                TX       5.02                 09/06/12

Green Endeavors, Inc.                   UT       1.01,8.01,9.01       08/17/12

GSI TECHNOLOGY INC                               1.01,9.01            08/09/12

HALCON RESOURCES CORP                   DE       9.01                 08/01/12    AMEND

HEALTHSOUTH CORP                        DE       1.01,8.01,9.01       09/11/12

HELIX BIOMEDIX INC                      DE       8.01,9.01            09/11/12

HELMERICH & PAYNE INC                   DE       5.02,9.01            09/05/12

HERITAGE COMMERCE CORP                  CA       8.01                 09/05/12

HOUSTON AMERICAN ENERGY CORP            DE       7.01,9.01            09/11/12

IMPLANT SCIENCES CORP                   MA       1.01,2.03,3.02,5.03, 09/11/12
                                                 7.01,9.01
     
INDIANA COMMUNITY BANCORP               IN       8.01                 09/07/12

INSMED INC                              VA       5.02,9.01            09/10/12

InterDigital, Inc.                      PA       8.01                 09/10/12

INTERMUNE INC                           DE       8.01                 09/11/12

INVESTMENT TECHNOLOGY GROUP INC         DE       8.01,9.01            09/11/12

ION GEOPHYSICAL CORP                    DE       7.01                 09/11/12

JAMBA, INC.                             DE       5.02,9.01            09/10/12

JARDEN CORP                             DE       7.01,9.01            09/11/12

KRISPY KREME DOUGHNUTS INC              NC       8.01,9.01            09/11/12

LAYNE CHRISTENSEN CO                    DE       7.01,9.01            09/11/12

LEGACY RESERVES LP                      DE       5.02,8.01            09/05/12

Liberty Interactive Corp                         8.01,9.01            09/07/12

Limelight Networks, Inc.                DE       5.02                 09/05/12

Linkwell CORP                           FL       9.01                 05/11/12    AMEND

LOGITECH INTERNATIONAL SA                        5.02,5.07,8.01,9.01  09/05/12

LUCAS ENERGY, INC.                      NV       1.01,9.01            09/10/12

M I HOMES INC                           OH       1.01,2.03,8.01,9.01  09/05/12

MAGNUM HUNTER RESOURCES CORP            DE       1.01,9.01            09/07/12

MARTIN MARIETTA MATERIALS INC           NC       8.01                 09/05/12

MEDIWARE INFORMATION SYSTEMS INC        NY       2.02,9.01            09/11/12

METLIFE INC                             DE       2.02,7.01,9.01       09/11/12

MFA FINANCIAL, INC.                     MD       7.01                 09/11/12

MGIC INVESTMENT CORP                    WI       8.01,9.01            09/11/12

MORGAN STANLEY                          DE       8.01                 09/11/12

MPG Office Trust, Inc.                  MD       1.01,5.02,7.01,9.01  09/11/12

Mueller Water Products, Inc.            DE       7.01,9.01            09/11/12

NATIONAL HOLDINGS CORP                  DE       1.01                 09/05/12

NAVISTAR INTERNATIONAL CORP             DE       5.02                 09/05/12

Neenah Paper Inc                        DE       5.02                 09/05/12

NEW JERSEY RESOURCES CORP               NJ       8.01,9.01            09/11/12

NEWS CORP                                        8.01,9.01            09/11/12

NEWS CORP                                        8.01,9.01            09/11/12

NEXTERA ENERGY INC                      FL       8.01,9.01            09/11/12

NRG ENERGY, INC.                        DE       5.02                 09/07/12

NUVASIVE INC                            DE       8.01                 09/10/12

O'Donnell Strategic Industrial REIT,             1.01                 09/10/12

OLD LINE BANCSHARES INC                 MD       1.01,9.01            09/10/12

OLD NATIONAL BANCORP /IN/               IN       7.01                 09/07/12

ONLINE DISRUPTIVE TECHNOLOGIES, INC.    NV       3.02,9.01            09/11/12

PALATIN TECHNOLOGIES INC                DE       2.02,9.01            09/11/12

PAR PHARMACEUTICAL COMPANIES, INC.      DE       7.01,9.01            09/11/12

PDL BIOPHARMA, INC.                     DE       7.01,9.01            09/11/12

People's United Financial, Inc.         DE       7.01,9.01            09/11/12

PEPSICO INC                             NC       5.02,7.01            09/06/12

PetroHunter Energy Corp                 MD       8.01                 08/28/12

PMFG, Inc.                              DE       1.01,1.02,2.03,9.01  09/07/12

Polypore International, Inc.                     8.01,9.01            09/11/12

POSITIVEID Corp                         DE       1.01,2.03            09/07/12

PREFERRED APARTMENT COMMUNITIES INC     MD       1.01,9.01            09/06/12

PRUDENTIAL FINANCIAL INC                NJ       2.02,7.01,9.01       09/11/12

PUBLIC SERVICE CO OF COLORADO           CO       8.01,9.01            09/11/12

Public Storage                          MD       8.01,9.01            09/11/12

Punchline Resources Ltd.                NV       1.01,2.01,5.01,5.06, 09/07/12
                                                 9.01
          
QUESTAR GAS CO                          UT       8.01                 09/10/12

RARE ELEMENT RESOURCES LTD              A1       5.03                 09/07/12

Red Lion Hotels CORP                    WA       5.02,8.01,9.01       09/05/12

RED TRAIL ENERGY, LLC                            4.01,9.01            08/27/12    AMEND

REGIONS FINANCIAL CORP                  DE       7.01,9.01            09/11/12

RETAIL PROPERTIES OF AMERICA, INC.      MD       7.01,9.01            09/11/12

RETAIL PROPERTIES OF AMERICA, INC.      MD       7.01,9.01            09/10/12

RETRACTABLE TECHNOLOGIES INC            TX       5.07                 09/07/12

Rock Energy Resources, Inc.             DE       1.01,2.03,7.01       08/28/12    AMEND

ROCKWELL AUTOMATION INC                 DE       5.03,9.01            09/05/12

RVPlus Inc.                             DE       1.01,3.02,9.01       09/07/12

Sanchez Energy Corp                     DE       7.01,8.01,9.01       09/11/12

SCICLONE PHARMACEUTICALS INC            DE       5.02,9.01            09/10/12

SecureAlert, Inc.                       UT       1.01,9.01            09/05/12

Sentio Healthcare Properties Inc        MD       4.01,9.01            09/06/12

Shengkai Innovations, Inc.              FL       5.02                 09/07/12

SIGMATRON INTERNATIONAL INC             DE       2.02,9.01            09/11/12

Solar Senior Capital Ltd.               MD       7.01,9.01            09/11/12

SOLITRON DEVICES INC                    DE       4.01,9.01            09/01/12    AMEND

SONIC AUTOMOTIVE INC                    DE       5.02,7.01,9.01       09/10/12

SONOCO PRODUCTS CO                      SC       7.01,9.01            09/10/12

SPECTRUM PHARMACEUTICALS INC            DE       5.02,9.01            09/07/12

SPECTRUM PHARMACEUTICALS INC            DE       1.01,9.01            09/05/12

SPS COMMERCE INC                        DE       8.01                 09/11/12

STANDARD PARKING CORP                   DE       5.07,9.01            09/11/12

STATE STREET CORP                       MA       7.01,9.01            09/11/12

STEC, INC.                              CA       4.01,9.01            09/05/12

STRATEGIC HOTELS & RESORTS, INC                  1.01,7.01,9.01       09/07/12

SunCoke Energy, Inc.                             7.01,9.01            09/11/12

SUNESIS PHARMACEUTICALS INC             DE       8.01,9.01            09/11/12

SUNTRUST BANKS INC                      GA       7.01,9.01            09/11/12

SUPERVALU INC                           DE       2.05                 09/05/12

Technologies Scan Corp                  A8       1.01,9.01            09/05/12

TENET HEALTHCARE CORP                   NV       5.02,9.01            09/06/12

TENGION INC                             DE       1.01,2.03,3.02,8.01, 09/07/12
                                                 9.01
          
TEXAS INDUSTRIES INC                    DE       7.01,9.01            09/11/12

TEXAS INSTRUMENTS INC                   DE       7.01,9.01            09/11/12

TIBCO SOFTWARE INC                      DE       8.01                 09/11/12

Todays Alternative Energy Corp          NY       4.01,9.01            09/10/12

TOTAL SYSTEM SERVICES INC               GA       1.01,1.02,2.03,9.01  09/10/12

TOYS R US INC                           DE       7.01,9.01            09/11/12

TRANSACT TECHNOLOGIES INC               DE       1.01,8.01            09/11/12

TransBiotec, Inc.                       DE       1.01,9.01            08/15/12

Transcept Pharmaceuticals Inc           DE       8.01                 09/10/12

TRIDENT MICROSYSTEMS INC                DE       8.01,9.01            09/10/12

TTM TECHNOLOGIES INC                    WA       7.01,9.01            09/11/12

Two Harbors Investment Corp.                     7.01,9.01            09/11/12

UMAX GROUP CORP                         NV       8.01                 08/29/12

UNIT CORP                               DE       1.01,9.01            09/05/12

United Continental Holdings, Inc.       DE       8.01,9.01            09/10/12

UNITED NATURAL FOODS INC                DE       2.02,9.01            09/11/12

UNITED RENTALS INC /DE                  DE       7.01,9.01            09/10/12

UNITED STATIONERS INC                   DE       5.02,9.01            09/05/12

URSTADT BIDDLE PROPERTIES INC           MD       2.02,9.01            09/06/12



US BANCORP \DE\                         DE       7.01,9.01            09/11/12

USA TECHNOLOGIES INC                    PA       5.02                 09/05/12

VERTICAL HEALTH SOLUTIONS INC           FL       2.03,3.02,9.01       09/07/12

VIRTUS INVESTMENT PARTNERS, INC.        DE       1.01                 09/05/12

VISA INC.                               DE       7.01                 09/11/12

VISUALANT INC                           NV       5.02,9.01            09/06/12

VLOV INC.                               NV       8.01,9.01            09/11/12

WALTER INVESTMENT MANAGEMENT CORP       MD       7.01,9.01            09/11/12

WALTER INVESTMENT MANAGEMENT CORP       MD       5.02,8.01,9.01       09/10/12

Warner Chilcott plc                              8.01,9.01            09/11/12

WASTE MANAGEMENT INC                    DE       1.01,8.01,9.01       09/05/12

WEBSTER FINANCIAL CORP                  DE       7.01                 09/11/12

WELLCARE HEALTH PLANS, INC.             DE       7.01,8.01,9.01       09/11/12

WHITE MOUNTAIN TITANIUM CORP            NV       3.02                 09/07/12

WILLIS LEASE FINANCE CORP               DE       1.01,2.03,7.01,9.01  09/07/12

WSB Holdings Inc                        DE       1.01,9.01            09/10/12

XCel Brands, Inc.                       DE       4.01,9.01            09/06/12

ZIONS BANCORPORATION /UT/               UT       7.01,9.01            09/10/12

ZIONS BANCORPORATION /UT/               UT       9.01                 09/11/12

 

http://www.sec.gov/news/digest/2012/dig091212.htm


Modified: 09/12/2012