|
SELF-REGULATORY ORGANIZATIONSApproval of Proposed Rule ChangeThe National Securities Clearing Corporation (“NSCC”) filed a proposed rule change (SR-NSCC-2012-06) under Section 19(b)(1) of the Securities Exchange Act of 1934 to enhance the default pricing methodology used by NSCC’s Automated Customer Account Transfer Service. The proposed rule change has been approved pursuant to Section 19(b)(2) of the Exchange Act. Publication is expected in the Federal Register during the week of October 1. (Rel. 34-67947) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX PHLX LLC to offer the QView Service (SR-Phlx-2012-114) 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 October 1. (Rel. 34-67951) A proposed rule change filed by NASDAQ OMX BX, Inc. to offer the QView Service (SR-BX-2012-061) 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 October 1. (Rel. 34-67952) A proposed rule change filed by International Securities Exchange, LLC to adopt reduced fees for historical ISE Open/Close Trade Profile Intraday market data offering (SR-ISE-2012-76) 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 October 1. (Rel. 34-67955) A proposed rule change filed by International Securities Exchange, LLC to amend the Exchange’s schedule of fees (SR-ISE-2012-78) 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 October 1. (Rel. 34-67956) A proposed rule change filed by International Securities Exchange, LLC to amend ISE Rule 711 to provide for the nullification of trades by mutual agreement of the parties thereto (SR-ISE-2012-74) 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 October 1. (Rel. 34-67957) Accelerated Approval of Proposed Rule ChangeThe Chicago Mercantile Exchange Inc. (“CME”) filed a proposed rule change (SR-CME-2012-38) under Section 19(b)(1) of the Securities Exchange Act of 1934 to comply with revisions to CFTC regulations governing derivatives clearing organizations. Publication is expected in the Federal Register during the week of October 1. (Rel. 34-67953) SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-1 CVR Refining, LP, 2277 PLAZA DRIVE, SUITE 500, SUGAR LAND, TX, 77479, (281) 207-3200 - 0 ($300,000,000.00) Limited Partnership Interests, (File 333-184200 - Oct. 1) (BR. 04) S-4 REALTY INCOME CORP, 600 LA TERRAZA BLVD, ESCONDIDO, CA, 92025, 7607412111 - 0 ($1,886,498,231.00) Equity, (File 333-184201 - Oct. 1) (BR. 08C) S-8 ALLIANT TECHSYSTEMS INC, 7480 FLYING CLOUD DRIVE, MINNEAPOLIS, MN, 55344-3720, 9523513000 - 0 ($48,381,230.00) Equity, (File 333-184202 - Oct. 1) (BR. 05A) F-3 Capital Product Partners L.P., 3 IASSONOS STREET, PIRAEUS, J3, 18537, 0030 210 458 4950 - 12,122,221 ($99,402,212.20) Equity, (File 333-184209 - Oct. 1) (BR. 05A) S-8 FOREST OIL CORP, 707 SEVENTEENTH STREET, SUITE 3600, DENVER, CO, 80202, 3038121400 - 0 ($3,819,000.00) Equity, (File 333-184213 - Oct. 1) (BR. 04B) S-8 Summit Midstream Partners, LP, 2100 McKinney Avenue, Suite 1250, DALLAS, TX, 75201, 214-242-1955 - 0 ($105,150,000.00) Equity, (File 333-184214 - Oct. 1) (BR. 02) S-4 LIBBEY GLASS INC., 300 MADISON AVENUE, TOLEDO, OH, 43604, 419-325-2100 - 0 ($450,000,000.00) Non-Convertible Debt, (File 333-184215 - Oct. 1) (BR. 06A) S-3 CYNOSURE INC, 5 CARLISLE ROAD, WESTFORD, MA, 01886, (978) 256-4200 - 0 ($176,903,895.00) Equity, (File 333-184216 - Oct. 1) (BR. 10A) S-1 SimplePons, Inc., 220 CONGRESS PARK DRIVE, SUITE 304, DELRAY BEACH, FL, 33445, 561-330-3500 - 52,110,498 ($34,029,324.00) Equity, (File 333-184217 - Oct. 1) (BR. 05B) S-3 AMERICAN SUPERCONDUCTOR CORP /DE/, SIXTY FOUR JACKSON ROAD, DEVENS, MA, 01434, 9788423000 - 10,262,311 ($40,125,636.01) Equity, (File 333-184218 - Oct. 1) (BR. 10A) S-8 Wellesley Bancorp, Inc., 40 CENTRAL STREET, WELLESLEY, MA, 02482, 781-235-2550 - 337,001 ($5,172,966.00) Equity, (File 333-184219 - Oct. 1) (BR. 07) S-3ASR REALTY INCOME CORP, 600 LA TERRAZA BLVD, ESCONDIDO, CA, 92025, 7607412111 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184220 - Oct. 1) (BR. 08C) S-3ASR DDR CORP, 3300 ENTERPRISE PARKWAY, BEACHWOOD, OH, 44122, 2167555500 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184221 - Oct. 1) (BR. 08B) S-8 Sound Financial Bancorp, Inc., 2005 FIFTH AVENUE, 2ND FLOOR, SEATTLE, WA, 98121, 206-448-0884 - 151,033 ($1,381,414.00) Equity, (File 333-184223 - Oct. 1) (BR. 07) S-3ASR DDR CORP, 3300 ENTERPRISE PARKWAY, BEACHWOOD, OH, 44122, 2167555500 - 0 ($1.00) Equity, (File 333-184224 - Oct. 1) (BR. 08B) S-3ASR ARROW ELECTRONICS INC, 25 HUB DR, MELVILLE, NY, 11747, 5163911300 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184225 - Oct. 1) (BR. 10A) S-1 ASPEN GROUP, INC., 720 SOUTH COLORADO BOULEVARD, SUITE 1150N, DENVER, CO, 95765, 646-450-1843 - 20,229,183 ($52,595,876.00) Equity, (File 333-184226 - Oct. 1) (BR. 11C) S-8 Homeowners Choice, Inc., 5300 WEST CYPRESS STREET, TAMPA, FL, 33607, 813 405 3600 - 5,000,000 ($112,400,000.00) Equity, (File 333-184227 - Oct. 1) (BR. 01A) RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- 3D SYSTEMS CORP DE 8.01,9.01 10/01/12 3M CO DE 8.01,9.01 10/01/12 ACACIA RESEARCH CORP DE 8.01 09/28/12 ACL SEMICONDUCTORS INC 9.01 10/01/12 AMEND ADCARE HEALTH SYSTEMS INC OH 1.01,9.01 09/25/12 ADT Corp DE 1.01,5.01,5.02,5.03, 09/25/12 8.01,9.01 AFLAC INC GA 1.01,2.03,9.01 09/26/12 AI DOCUMENT SERVICES, INC. DE 4.01,9.01 09/17/12 ALASKA GOLD CORP. NV 4.01,9.01 09/28/12 ALEXION PHARMACEUTICALS INC DE 8.01 09/28/12 ALICO INC FL 8.01,9.01 09/27/12 ALLIANT TECHSYSTEMS INC DE 8.01,9.01 09/28/12 AMERICAN CAMPUS COMMUNITIES INC MD 7.01,9.01 09/30/12 AMERICAN EXPRESS CO NY 7.01 10/01/12 AMERICAN REALTY CAPITAL NEW YORK RECO MD 8.01,9.01 09/28/12 American Realty Capital Properties, I MD 2.03,8.01,9.01 09/28/12 American Realty Capital Properties, I MD 8.01,9.01 09/30/12 Annie's, Inc. DE 1.01,9.01 09/21/12 AP PHARMA INC /DE/ DE 8.01,9.01 09/28/12 APPLIANCE RECYCLING CENTERS OF AMERIC MN 5.02 10/01/12 Applied Minerals, Inc. DE 1.01,5.08,9.01 10/01/12 Approach Resources Inc DE 7.01,9.01 10/01/12 ARIAD PHARMACEUTICALS INC DE 8.01,9.01 09/29/12 ARIBA INC DE 8.01,9.01 09/28/12 ARIBA INC DE 2.01,3.01,3.03,5.01, 10/01/12 5.02,5.03,8.01,9.01 Armored AutoGroup Inc. DE 1.01,2.03,9.01 09/28/12 ASPEN GROUP, INC. DE 3.02 09/28/12 ASSET ACCEPTANCE CAPITAL CORP 5.02 09/28/12 ATWOOD OCEANICS INC TX 7.01,9.01 09/28/12 AXESSTEL INC NV 1.01,2.03,9.01 09/25/12 Axius Inc. NV 5.01,8.01 10/01/12 B&G Foods, Inc. DE 7.01,9.01 10/01/12 BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 10/01/12 Beneficial Mutual Bancorp Inc X1 7.01,9.01 10/01/12 BOTTOMLINE TECHNOLOGIES INC /DE/ DE 9.01 09/11/12 AMEND CAL MAINE FOODS INC DE 2.02,9.01 10/01/12 CALIX, INC 5.02,9.01 09/27/12 CANNABIS SCIENCE, INC. NV 1.01 09/10/12 CARMIKE CINEMAS INC DE 1.01,7.01,9.01 09/28/12 CATERPILLAR FINANCIAL SERVICES CORP DE 8.01,9.01 10/01/12 CENTRAL FEDERAL CORP DE 1.01,1.02,9.01 09/26/12 CENTURYLINK, INC LA 8.01,9.01 10/01/12 CERADYNE INC DE 7.01,9.01 09/26/12 CFS BANCORP INC IN 7.01,9.01 10/01/12 CHAMBERS STREET PROPERTIES MD 5.02,8.01,9.01 09/25/12 CHARTER FINANCIAL CORP/GA 5.02,9.01 09/25/12 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 09/28/12 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 09/28/12 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 09/28/12 Chefs' Warehouse, Inc. DE 2.03 09/28/12 Cheniere Energy Partners, L.P. DE 7.01,9.01 10/01/12 Cheniere Energy Partners, L.P. DE 7.01,9.01 10/01/12 CHESAPEAKE ENERGY CORP OK 1.01,9.01 09/25/12 China Biologic Products, Inc. 5.02 10/01/12 China Energy Recovery, Inc. DE 1.01 09/29/12 China Grand Resorts, Inc. NV 4.01,9.01 09/25/12 China Power Equipment, Inc. MD 5.02 09/25/12 CHURCH & DWIGHT CO INC /DE/ DE 2.01,8.01,9.01 10/01/12 CHURCHILL DOWNS INC KY 9.01 10/01/12 Citadel EFT, Inc. NV 1.01,3.02,5.03,9.01 10/01/12 Citigroup Commercial Mortgage Trust 2 DE 9.01 09/24/12 AMEND CNO Financial Group, Inc. DE 1.01,1.02,2.03,2.04, 09/28/12 7.01,8.01,9.01 CODEXIS INC 1.01,2.03 09/27/12 COLUMBIA BANKING SYSTEM INC WA 1.01,9.01 09/25/12 CombiMatrix Corp DE 1.01,3.02,3.03,5.03, 09/28/12 7.01,8.01,9.01 COMMONWEALTH EDISON CO IL 1.01,2.03,9.01 10/01/12 Computer Vision Systems Laboratories DE 1.01,2.01,3.02,5.01, 09/25/12 5.02,5.03,9.01 CONNECTICUT WATER SERVICE INC / CT CT 5.02 10/01/12 Converted Organics Inc. DE 1.01,2.03,9.01 09/27/12 CORE LABORATORIES N V P7 2.02,9.01 10/01/12 CoreSite Realty Corp MD 5.02 09/28/12 CORNING NATURAL GAS CORP NY 8.01 09/28/12 CORTEX PHARMACEUTICALS INC/DE/ DE 5.02 09/25/12 CVR ENERGY INC DE 7.01,9.01 10/01/12 CYNOSURE INC 8.01 10/01/12 DDR CORP OH 8.01,9.01 10/01/12 DELTA AIR LINES INC /DE/ DE 5.02,9.01 09/27/12 DETHRONE ROYALTY HOLDINGS, INC. NV 8.01,9.01 10/01/12 DIAMOND OFFSHORE DRILLING INC DE 1.01,2.03,9.01 09/28/12 DIODES INC /DEL/ DE 7.01,9.01 09/28/12 Dividend Capital Diversified Property MD 3.02,8.01 09/01/12 DTE ENERGY CO MI 8.01,9.01 10/01/12 Duke Energy CORP DE 7.01 10/01/12 Eagle Ford Oil & Gas Corp NV 8.01,9.01 10/01/12 Easy Organic Cookery, Inc. 5.01,5.02,9.01 09/21/12 Edgen Group Inc. DE 8.01,9.01 10/01/12 Edgen Group Inc. DE 7.01,9.01 10/01/12 Education Realty Trust, Inc. MD 7.01,8.01,9.01 10/01/12 ENGLOBAL CORP NV 1.01,7.01,9.01 09/27/12 ENTROPIC COMMUNICATIONS INC DE 5.02,9.01 09/27/12 EOG RESOURCES INC DE 5.02,7.01,9.01 09/28/12 EPOCH HOLDING CORP DE 8.01,9.01 10/01/12 EQUIFAX INC GA 8.01 10/01/12 EverBank Financial Corp DE 1.01,2.01,8.01,9.01 10/01/12 EXTREME NETWORKS INC DE 5.02,8.01,9.01 09/28/12 Federal Home Loan Bank of Dallas 2.03,9.01 09/25/12 FERRELLGAS PARTNERS L P DE 2.02,7.01,9.01 10/01/12 Fifth & Pacific Companies, Inc. DE 2.02,9.01 10/01/12 FIRST COMMUNITY CORP /SC/ SC 8.01 10/01/12 FIRST M&F CORP/MS MS 7.01,9.01 09/28/12 FIRST NATIONAL COMMUNITY BANCORP INC PA 5.02 09/25/12 FLORIDA GAMING CORP DE 5.02 09/25/12 FMC TECHNOLOGIES INC DE 7.01,9.01 10/01/12 FNB BANCORP/CA/ 8.01,9.01 09/28/12 FNB BANCORP/CA/ 8.01,9.01 09/28/12 FOOD TECHNOLOGY SERVICE INC FL 5.03,8.01 09/27/12 FOREST OIL CORP NY 5.02,7.01,9.01 09/28/12 FORTINET INC 5.02 09/25/12 FORUM ENERGY TECHNOLOGIES, INC. DE 7.01,9.01 10/01/12 FRONTIER COMMUNICATIONS CORP DE 1.01,2.03,9.01 10/01/12 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 10/01/12 FS Energy & Power Fund DE 2.02,9.01 09/28/12 FS Investment CORP MD 1.01,2.03,8.01,9.01 09/26/12 FS Investment Corp II MD 1.01,2.02,9.01 09/27/12 FULL HOUSE RESORTS INC DE 1.01,2.01,2.03,9.01 10/01/12 GE Equipment Midticket LLC, Series 20 DE 1.01,9.01 09/26/12 GENERAC HOLDINGS INC. DE 2.02,9.01 10/01/12 Gevo, Inc. DE 5.02 09/28/12 Global Cash Access Holdings, Inc. DE 5.02 10/01/12 GLOBAL MOBILETECH, INC. NV 5.02 09/26/12 Globalstar, Inc. DE 5.02 09/25/12 GLOBUS MEDICAL INC DE 8.01,9.01 09/28/12 GOLDEN GRAIN ENERGY IA 8.01,9.01 10/01/12 GOOD TIMES RESTAURANTS INC NV 1.01,3.02,9.01 09/28/12 Gordmans Stores, Inc. DE 2.02,9.01 10/01/12 Graystone Co DE 8.01 09/18/12 Green Innovations Ltd. 5.03,9.01 09/24/12 GSE Holding, Inc. DE 1.01,5.02,9.01 09/27/12 GULF ISLAND FABRICATION INC LA 8.01,9.01 10/01/12 GULF RESOURCES, INC. DE 1.01,9.01 09/25/12 GYMBOREE CORP DE 7.01 10/01/12 HALLMARK FINANCIAL SERVICES INC NV 1.01,9.01 09/30/12 HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 10/01/12 HELIX ENERGY SOLUTIONS GROUP INC MN 1.01,2.03,9.01 10/01/12 HELMERICH & PAYNE INC DE 7.01,9.01 10/01/12 HERCULES OFFSHORE, INC. DE 8.01 09/28/12 HERITAGE OAKS BANCORP CA 8.01,9.01 09/27/12 HERTZ CORP DE 8.01,9.01 10/01/12 HERTZ GLOBAL HOLDINGS INC 8.01,9.01 10/01/12 HOME LOAN SERVICING SOLUTIONS, LTD. E9 8.01 10/01/12 ICAHN ENTERPRISES L.P. DE 5.02,9.01 09/28/12 IMPLANT SCIENCES CORP MA 2.02,7.01,9.01 10/01/12 Infor, Inc. 1.01,2.03,9.01 10/01/12 Inland Diversified Real Estate Trust, MD 7.01,9.01 10/01/12 INSIGHT ENTERPRISES INC DE 5.02,9.01 10/01/12 Internet Patents Corp 8.01 09/27/12 IROBOT CORP DE 2.01,9.01 10/01/12 Kandi Technologies Corp DE 1.01,9.01 10/01/12 Kentucky First Federal Bancorp 8.01,9.01 09/27/12 Kentucky First Federal Bancorp 1.01,9.01 09/28/12 KKR & Co. L.P. DE 7.01 10/01/12 LADENBURG THALMANN FINANCIAL SERVICES FL 5.07 09/28/12 Laredo Oil, Inc. DE 7.01,9.01 10/01/12 LEAP WIRELESS INTERNATIONAL INC DE 1.02,8.01 10/01/12 Lender Processing Services, Inc. DE 8.01,9.01 09/28/12 LENNOX INTERNATIONAL INC DE 5.02,9.01 10/01/12 LEXARIA CORP. NV 1.01,7.01,9.01 09/28/12 LEXINGTON REALTY TRUST MD 7.01 09/29/12 Limoneira CO DE 5.02,5.03,9.01 10/01/12 LOCAL Corp DE 1.01,9.01 09/29/12 Location Based Technologies, Inc. NV 7.01 09/28/12 LVB Acquisition, Inc. 5.02 10/01/12 Manitex International, Inc. MI 1.01,2.03,9.01 09/27/12 MATTRESS FIRM HOLDING CORP. DE 7.01,9.01 10/01/12 Measurement Specialties Inc NJ 1.01,2.01,9.01 10/01/12 Memorial Production Partners LP DE 2.01,9.01 09/28/12 Meritage Homes CORP MD 1.01,9.01 09/27/12 META FINANCIAL GROUP INC DE 1.01,3.02,5.03,5.07, 09/27/12 9.01 METLIFE INC DE 8.01,9.01 09/27/12 METLIFE INC DE 8.01 10/01/12 MOLSON COORS BREWING CO DE 5.02,9.01 09/27/12 Mondelez International, Inc. VA 1.01,2.01,5.02,5.03, 09/27/12 8.01,9.01 MONEYGRAM INTERNATIONAL INC 1.01,1.02,9.01 09/30/12 MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 10/01/12 Morningstar, Inc. IL 8.01,9.01 09/27/12 Movie Trailer Galaxy, Inc. NV 1.01,5.01,5.02,8.01, 10/01/12 9.01 MPG Office Trust, Inc. MD 7.01,8.01,9.01 10/01/12 MRV COMMUNICATIONS INC DE 8.01,9.01 10/01/12 MULTIBAND CORP MN 5.07 09/27/12 MULTIMEDIA GAMES HOLDING COMPANY, INC TX 7.01,9.01 10/01/12 MWI Veterinary Supply, Inc. DE 1.01 09/28/12 MWI Veterinary Supply, Inc. DE 1.01 09/28/12 NATIONAL HEALTH INVESTORS INC MD 8.01,9.01 10/01/12 NATIONAL OILWELL VARCO INC DE 1.01,1.02,9.01 09/28/12 NAUTILUS, INC. WA 7.01,9.01 10/01/12 NEKTAR THERAPEUTICS DE 8.01 09/28/12 NETWORK 1 SECURITY SOLUTIONS INC DE 8.01,9.01 09/28/12 NEWELL RUBBERMAID INC DE 5.02 09/28/12 NewStar Financial, Inc. 5.02 09/25/12 NiMin Energy Corp. A0 8.01,9.01 09/28/12 NORTHERN OIL & GAS, INC. 5.02,7.01,9.01 10/01/12 NOVAGEN SOLAR INC. NV 2.01,9.01 09/27/12 Oak Valley Bancorp CA 5.07,7.01,9.01 06/05/12 AMEND OCWEN FINANCIAL CORP FL 8.01 10/01/12 OYO GEOSPACE CORP DE 5.03,7.01 09/27/12 PARKWAY PROPERTIES INC MD 1.01,2.03,9.01 09/27/12 PATHFINDER BANCORP INC DE 8.01,9.01 09/28/12 Pebblebrook Hotel Trust MD 8.01,9.01 09/28/12 PEDEVCO CORP TX 1.01,9.01 09/26/12 PennantPark Floating Rate Capital Ltd 7.01,9.01 10/01/12 PennyMac Mortgage Investment Trust MD 1.01,2.03,9.01 09/26/12 PENTAIR INC MN 1.01,5.02,5.05,8.01, 09/28/12 9.01 PETROSONIC ENERGY, INC. 7.01,9.01 09/27/12 PHH CORP MD 1.01,2.03,9.01 09/25/12 PIONEER ENERGY SERVICES CORP TX 2.02,7.01,9.01 10/01/12 PIONEER NATURAL RESOURCES CO DE 7.01 10/01/12 Pioneer Southwest Energy Partners L.P DE 7.01 10/01/12 Post Holdings, Inc. MO 1.01 09/26/12 Post Holdings, Inc. MO 1.01,8.01 09/27/12 Punchline Resources Ltd. NV 7.01,9.01 09/24/12 QEP RESOURCES, INC. DE 2.01 09/27/12 QUALITY DISTRIBUTION INC FL 1.01,2.03,9.01 09/27/12 Rangeford Resources, Inc. NV 5.02 09/27/12 Raptor Pharmaceutical Corp DE 1.01 09/28/12 REALTY INCOME CORP MD 8.01,9.01 10/01/12 REALTY INCOME CORP MD 7.01 10/01/12 REALTY INCOME CORP MD 8.01,9.01 10/01/12 Recon Technology, Ltd E9 7.01,9.01 10/01/12 Resource Capital Corp. MD 1.01,5.03,9.01 09/25/12 RLJ Acquisition, Inc. NV 8.01,9.01 10/01/12 Rock Energy Resources, Inc. DE 7.01,9.01 10/01/12 SBA COMMUNICATIONS CORP FL 2.01,9.01 10/01/12 SCIQUEST INC DE 1.01,3.02,9.01 09/27/12 SEACOR HOLDINGS INC /NEW/ DE 8.01 10/01/12 Shire plc 8.01,9.01 10/01/12 SIGNET JEWELERS LTD 7.01 10/01/12 Sino-Global Shipping America, Ltd. VA 7.01,9.01 09/29/12 SLM Student Loan Trust 2006-7 DE 8.01,9.01 10/01/12 SNAP-ON Inc DE 1.01,2.03,9.01 09/28/12 SOLLENSYS CORP. NV 4.01,9.01 09/17/12 AMEND SOMERSET HILLS BANCORP NJ 5.02,8.01,9.01 10/01/12 SPARTON CORP OH 5.02 09/07/12 STRATASYS INC DE 1.01,8.01,9.01 09/30/12 STRATEGIC DIAGNOSTICS INC/DE/ DE 1.01,5.02,7.01,9.01 09/25/12 SUN RIVER ENERGY, INC CO 8.01,9.01 10/01/12 SunOpta Inc. 1.01,2.03,9.01 10/01/12 SYNERGETICS USA INC 2.02,9.01 10/01/12 SYNTA PHARMACEUTICALS CORP 8.01,9.01 09/29/12 TANDY LEATHER FACTORY INC DE 1.01,9.01 09/24/12 TEAM INC TX 2.02,8.01,9.01 10/01/12 TENET HEALTHCARE CORP NV 8.01,9.01 10/01/12 TENET HEALTHCARE CORP NV 8.01,9.01 10/01/12 TENNANT CO MN 5.02,9.01 10/01/12 TGR Financial, Inc. FL 8.01,9.01 09/13/12 TIME WARNER CABLE INC. DE 8.01,9.01 09/30/12 TORCHMARK CORP DE 1.01,9.01 09/27/12 TRANS ENERGY INC NV 7.01,9.01 09/25/12 Transocean Ltd. V8 8.01 09/28/12 Tri-Tech Holding, Inc. E9 1.01,2.03,9.01 09/26/12 Triangle Petroleum Corp NV 1.01,7.01,9.01 10/01/12 Tropicana Las Vegas Hotel & Casino, I DE 8.01 09/28/12 TRW AUTOMOTIVE HOLDINGS CORP DE 1.01,2.03,3.03,8.01, 09/28/12 9.01 tw telecom inc. DE 8.01,9.01 09/27/12 TYCO INTERNATIONAL LTD V8 1.01,2.01,5.02,8.01, 09/25/12 9.01 U.S. SILICA HOLDINGS, INC. DE 5.02,9.01 10/01/12 UGI CORP /PA/ PA 5.02 09/25/12 UMH PROPERTIES, INC. MD 7.01,9.01 10/01/12 UMPQUA HOLDINGS CORP OR 5.02,9.01 10/01/12 UNIVERSAL TECHNICAL INSTITUTE INC DE 8.01,9.01 09/27/12 Universal Truckload Services, Inc. MI 1.02,2.01,3.02,7.01, 10/01/12 9.01 UPSTREAM BIOSCIENCES INC. NV 3.02,5.01,8.01 08/16/12 Urban Barns Foods Inc. 1.01,3.02,9.01 10/01/12 US HOME SYSTEMS INC DE 8.01,9.01 10/01/12 USCORP NV 1.01,2.01,4.01,9.01 09/10/12 VALLEY FINANCIAL CORP /VA/ VA 8.01,9.01 09/28/12 Vampt America, Inc. NV 9.01 05/07/12 AMEND Vampt America, Inc. NV 9.01 07/11/12 AMEND VAPOR CORP. NV 1.01,2.03,3.02,9.01 09/28/12 VECTREN CORP IN 5.03 09/05/12 AMEND VERSANT CORP CA 1.01,9.01 09/28/12 VERSAR INC DE 8.01 09/29/12 WASHINGTON POST CO DE 8.01,9.01 10/01/12 WATSCO INC FL 7.01,9.01 10/01/12 WAUSAU PAPER CORP. WI 7.01,9.01 10/01/12 WAYNE SAVINGS BANCSHARES INC /DE/ DE 7.01,9.01 10/01/12 WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 09/25/12 WELLPOINT, INC IN 7.01,9.01 10/01/12 WEST COAST BANCORP /NEW/OR/ OR 1.01,3.03,5.03,9.01 09/25/12 Woodward, Inc. DE 5.02,8.01 09/25/12 WORTHINGTON INDUSTRIES INC OH 2.02,5.07,9.01 09/27/12 XODTEC LED, INC. NV 1.01,3.02,5.03,9.01 09/14/12 Z TRIM HOLDINGS, INC IL 2.02,9.01 10/01/12 ZIMMER HOLDINGS INC DE 8.01 09/25/12 ZIPREALTY INC 1.01,9.01 09/28/12
http://www.sec.gov/news/digest/2012/dig100212.htm
|