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Rules and Related MattersSEC Issues Order Granting Registration of HR Ratings de México as an NRSROThe Commission issued an order granting the registration of HR Ratings de México as a Nationally Recognized Statistical Rating Organization under Section 15E of the Securities Exchange Act of 1934 (“Exchange Act”) for the class of credit ratings described in clause (v) of Section 3(a)(62)(B) of the Exchange Act. (Rel. 34-68160) Enforcement proceedingsIn the Matter of Quill Industries, Inc. (n/k/a Eagle Worldwide Inc.)An Administrative Law Judge has issued an Initial Decision as to Quill Industries, Inc. (n/k/a Eagle Worldwide Inc.) (Decision), in Quill Industries, Inc. (n/k/a Eagle Worldwide Inc.), Admin. Proc. File No. 3-14943. The Decision finds that Quill Industries, Inc. (n/k/a Eagle Worldwide Inc.), failed to file timely periodic reports while its securities were registered with the Securities and Exchange Commission and revokes the registration of each of its classes of registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act). Previously, a default order was entered against all other Respondents in the proceeding and their registered securities were revoked. See Quill Industries, Inc. (n/k/a Eagle Worldwide Inc.), Exchange Act Release No. 67697 (Aug. 21, 2012). (Initial Decision No. 471; File No. 3-14943) SELF-REGULATORY ORGANIZATIONSDesignation of Longer Period for Commission Action on a Proposed Rule ChangeThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-NYSEArca-2012-94) filed by NYSE Arca, Inc. to amend Commentary .06 to NYSE Arca Options Rule 6.4 to permit the Exchange to list additional strike prices until the close of trading on the second business day prior to monthly expiration in unusual market conditions. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68136) Approval of Proposed Rule ChangeThe Commission has approved a proposed rule change (SR-FINRA-2012-040 filed by the Financial Regulatory Authority, Inc. to amend the By-Laws of FINRA Dispute Resolution, Inc. to clarify that services provided by mediators, when acting in such capacity and not representing parties in mediation, should not cause the individuals to be classified as Industry Members under the By-Laws. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68142) Immediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-103) to CBSX Rule 53.24 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 November 5. (Rel. 34-68144) 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-3 NEXSTAR BROADCASTING GROUP INC, 5215 N. O'CONNOR BLVD., SUITE 1400, IRVING, TX, 75039, 972-373-8800 - 0 ($472,916,070.00) Unallocated (Universal) Shelf, (File 333-184743 - Nov. 5) (BR. 11A) S-3ASR Invesco Ltd., 1555 PEACHTREE STREET NE, SUITE 1800, ATLANTA, GA, 30309, 404-892-0896 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184744 - Nov. 5) (BR. 12B) S-1 STEVIA NUTRA CORP., 37 BANNISTERS ROAD, CORNER BROOK, A4, A2H 1M5, 709 660-3056 - 19,312,500 ($2,124,375.00) Equity, (File 333-184751 - Nov. 5) (BR. 05B) S-3 Kennedy-Wilson Holdings, Inc., 9701 WILSHIRE BLVD., SUITE 700, BEVERLY HILLS, CA, 90210, 310-887-6400 - 0 ($350,000,000.00) Other, (File 333-184752 - Nov. 5) (BR. 08B) S-3ASR People's United Financial, Inc., C/O PEOPLE'S BANK, 850 MAIN STREET, BRIDGEPORT, CT, 06604, 203-338-4114 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184753 - Nov. 5) (BR. 12A) S-8 KOSS CORP, 4129 N PORT WASHINGTON AVE, MILWAUKEE, WI, 53212, 4149645000 - 3,514,308 ($17,606,683.08) Equity, (File 333-184754 - Nov. 5) (BR. 11A) S-8 NATIONAL FINANCIAL PARTNERS CORP, 340 MADISON AVENUE, 20TH FLOOR, NEW YORK, NY, 10173, 212-301-4000 - 0 ($219,968.08) Equity, (File 333-184755 - Nov. 5) (BR. 01B) S-8 MERCURY COMPUTER SYSTEMS INC, 201 RIVERNECK ROAD, CHELMSFORD, MA, 01824, 9782561300 - 1,671,811 ($14,110,084.84) Equity, (File 333-184756 - Nov. 5) (BR. 10B) F-3ASR Baidu, Inc., BAIDU CAMPUS, NO. 10 SHANGDI 10TH STREET, HAIDIAN DISTRICT, BEIJING, F4, 100085, (86-10) 5992 8888 - 0 ($0.00) Debt, (File 333-184757 - Nov. 5) (BR. 03C) S-8 PALL CORP, 25 HARBOR PARK DRIVE, PORT WASHINGTON, NY, 11050, 5164845400 - 1,300,000 ($82,056,000.00) Equity, (File 333-184758 - Nov. 5) (BR. 06B) S-8 PALL CORP, 25 HARBOR PARK DRIVE, PORT WASHINGTON, NY, 11050, 5164845400 - 1,300,000 ($41,028,000.00) Equity, (File 333-184759 - Nov. 5) (BR. 06B) S-8 Southcross Energy Partners, L.P., 1700 PACIFIC AVENUE, SUITE 2900, DALLAS, TX, 75201, 214-979-3700 - 0 ($39,550,000.00) Equity, (File 333-184760 - Nov. 5) (BR. 02) S-1 TENGION INC, 3929 WESTPOINT BLVD., SUITE G, WINSTON-SALEM, NC, 27103, 336-722-5855 - 109,275,508 ($109,275,508.00) Equity, (File 333-184761 - Nov. 5) (BR. 01A) S-1 SOLIGENIX, INC., 29 EMMONS DRIVE, SUITE C-10, PRINCETON, NJ, 08540, 609-538-8200 - 7,000,000 ($955.00) Other, (File 333-184762 - Nov. 5) (BR. 01A) S-1 Western Gas Equity Partners, LP, 1201 LAKE ROBBINS DRIVE, THE WOODLANDS, TX, 77380-7046, 832-636-1000 - 0 ($362,250,000.00) Limited Partnership Interests, (File 333-184763 - Nov. 5) (BR. 02) S-3 FIRST BANCORP /PR/, 1519 PONCE DE LEON AVE, SANTURCE, SAN JUAN, PR, 00908-0146, 7877298200 - 280,787 ($1,162,458.18) Equity, (File 333-184764 - Nov. 5) (BR. 07B) S-3ASR Phillips 66, 3010 BRIARPARK DRIVE, HOUSTON, TX, 77042, 281-293-6600 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184765 - Nov. 5) (BR. 04A) F-3 GENETIC TECHNOLOGIES LTD, 60-66 HANOVER STREET, FITZROY, VICTORIA, C3, 3065, 011613-9415-1135 - 0 ($25,000,000.00) Debt, (File 333-184766 - Nov. 5) (BR. 01A) S-4 Phillips 66, 3010 BRIARPARK DRIVE, HOUSTON, TX, 77042, 281-293-6600 - 0 ($5,800,000,000.00) Non-Convertible Debt, (File 333-184767 - Nov. 5) (BR. 04A) F-1 Babylon Ltd, 10 Hataasiya Street, Or Yehuda, L3, 60212, 972-3-538-2111 - 0 ($115,000,000.00) Equity, (File 333-184768 - Nov. 5) (BR. 03B) S-1 NEOGENOMICS INC, 1726 MEDICAL BOULEVARD, SUITE 201, SUITE 201, NAPLES, FL, 34108, 9419231949 - 3,000,000 ($8,490,000.00) Equity, (File 333-184769 - Nov. 5) (BR. 09A) S-3ASR Viacom Inc., 1515 BROADWAY, NEW YORK, NY, 10036, (212) 258-6000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184770 - Nov. 5) (BR. 11A) S-8 ADA-ES INC, 9135 S. RIDGELINE BLVD., SUITE 200, HIGHLANDS RANCH, CO, 80129, 303-734-1727 - 0 ($10,370,878.00) Equity, (File 333-184772 - Nov. 5) (BR. 06B) 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.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-----------------------------------------------------------------------------------------
11 GOOD ENERGY INC DE 4.01,9.01 11/05/12
ACADIA PHARMACEUTICALS INC DE 2.02,9.01 11/05/12
ADA-ES INC CO 7.01,9.01 11/05/12
ADINO ENERGY CORP MT 1.01,2.01,5.02,9.01 10/31/12
ADVANT E CORP DE 5.03,8.01,9.01 11/05/12
ADVENTRX PHARMACEUTICALS INC DE 2.02,9.01 11/05/12
Aegion Corp DE 1.01,2.02,9.01 10/31/12
AFFYMETRIX INC DE 2.02 09/30/12
Allied Nevada Gold Corp. DE 2.02,9.01 11/05/12
ALNYLAM PHARMACEUTICALS, INC. 2.02,9.01 11/05/12
Alphatec Holdings, Inc. DE 2.02,9.01 11/05/12
AMERICAN APPAREL, INC DE 7.01,9.01 11/05/12
AMERICAN EXPRESS CREDIT ACCOUNT MASTE DE 8.01,9.01 11/01/12
AMERICAN NATIONAL BANKSHARES INC VA 7.01,9.01 11/05/12
American Reprographics CO DE 2.02,9.01 11/05/12
AMERICAN SCIENCE & ENGINEERING, INC. MA 2.02,9.01 11/05/12
AMERICAN STATES WATER CO CA 2.02,9.01 11/05/12
AMICUS THERAPEUTICS INC DE 2.02,9.01 11/05/12
AmREIT, Inc. MD 2.02,9.01 11/05/12
ANALYSTS INTERNATIONAL CORP 7.01,9.01 11/02/12
ANNALY CAPITAL MANAGEMENT INC MD 2.02,9.01 11/05/12
ANNALY CAPITAL MANAGEMENT INC MD 5.02,8.01,9.01 11/05/12
AP PHARMA INC /DE/ DE 2.02,9.01 11/05/12
APD ANTIQUITIES, INC. NV 1.01,3.02,9.01 10/26/12
APPLIANCE RECYCLING CENTERS OF AMERIC MN 2.02,9.01 11/05/12
ARES CAPITAL CORP MD 2.02,7.01,9.01 11/05/12
Argo Group International Holdings, Lt 2.02,9.01 11/05/12
ARRAY BIOPHARMA INC DE 8.01,9.01 11/05/12
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 11/05/12
ASTROTECH Corp \WA\ WA 5.05,8.01 11/01/12
ATLANTIC POWER CORP A1 2.02,9.01 11/05/12
ATP OIL & GAS CORP TX 7.01,9.01 10/22/12
AUTONATION, INC. DE 5.02 10/31/12
AVID TECHNOLOGY, INC. DE 5.02 11/02/12
AVNET INC NY 5.02,5.07,9.01 11/02/12
BANK OF AMERICA CORP /DE/ DE 8.01,9.01 11/05/12
Bazaarvoice Inc DE 5.02,7.01,9.01 11/05/12
Behringer Harvard Opportunity REIT II MD 7.01,9.01 11/05/12
BEMIS CO INC MO 5.02 11/01/12
BILL BARRETT CORP DE 1.01,7.01,9.01 10/31/12
BioDrain Medical, Inc. MN 8.01 11/05/12
BIOLASE, INC DE 2.02,9.01 11/05/12
Black Diamond, Inc. DE 2.02,9.01 11/05/12
Bluforest Inc. NV 5.02 11/01/12
Bridgepoint Education Inc DE 2.02,9.01 11/05/12
BRINKS CO VA 8.01 11/05/12
BROADSOFT, INC. DE 2.02,9.01 11/05/12
BRUKER CORP DE 2.02,9.01 11/05/12
Bulova Technologies Group, Inc. FL 5.02 11/02/12
BWAY PARENT COMPANY, INC. DE 1.01,8.01,9.01 11/02/12
CADENCE PHARMACEUTICALS INC 2.02,9.01 11/05/12
CAGLES INC GA 8.01,9.01 11/05/12
CALGON CARBON CORPORATION DE 7.01,9.01 11/05/12
CAMBREX CORP DE 2.02,9.01 11/05/12
CAMPBELL FUND TRUST DE 5.02 11/05/12
Campbell Global Trend Fund, L.P. DE 5.02 11/05/12
CAMPBELL STRATEGIC ALLOCATION FUND LP DE 5.02 11/05/12
CARDICA INC DE 2.02,9.01 11/05/12
CARDINAL HEALTH INC OH 5.07 11/02/12
CardioNet, Inc. CA 2.02,9.01 11/05/12
CARROLLTON BANCORP MD 2.02,8.01,9.01 11/05/12
CBEYOND, INC. 2.02,9.01 11/05/12
CBL & ASSOCIATES PROPERTIES INC DE 8.01,9.01 11/05/12
Cereplast Inc NV 8.01 10/31/12
CF Industries Holdings, Inc. DE 2.02,9.01 11/05/12
Chanticleer Holdings, Inc. DE 4.01,9.01 10/18/12 AMEND
CHART INDUSTRIES INC DE 7.01,9.01 11/01/12
Chemtura CORP DE 2.02,9.01 11/05/12
CHENIERE ENERGY INC DE 2.02,9.01 11/02/12
Cheniere Energy Partners, L.P. DE 2.02,9.01 11/02/12
CHURCH & DWIGHT CO INC /DE/ DE 2.02,9.01 11/05/12
CHURCHILL DOWNS INC KY 2.02,9.01 11/05/12
CINCINNATI FINANCIAL CORP OH 7.01,9.01 11/05/12
Citizens Community Bancorp Inc. MD 1.01 10/31/12
Clean Energy Fuels Corp. DE 2.02,9.01 11/05/12
CLEAN HARBORS INC MA 7.01,9.01 10/26/12 AMEND
Clovis Oncology, Inc. DE 2.02,9.01 11/05/12
CNL Healthcare Trust, Inc. MD 1.01,9.01 10/30/12
CNL LIFESTYLE PROPERTIES INC MD 8.01,9.01 11/05/12
COGNEX CORP MA 2.02,9.01 11/01/12
Cole Credit Property Trust III, Inc. MD 7.01,8.01,9.01 11/02/12
Coleman Cable, Inc. DE 2.02,5.02,8.01,9.01 11/05/12
COLLECTORS UNIVERSE INC DE 7.01,9.01 10/31/12
Compressco Partners, L.P. DE 2.02,9.01 11/05/12
Comstock Mining Inc. NV 5.02 11/02/12
Congaree Bancshares Inc SC 8.01 10/31/12
CORINTHIAN COLLEGES INC 8.01 11/01/12
Cornerworld Corp NV 1.01,9.01 10/31/12
COVANCE INC DE 2.02,9.01 11/05/12
Crexendo, Inc. DE 2.02,9.01 11/05/12
CreXus Investment Corp. MD 2.02,9.01 11/05/12
CUMULUS MEDIA INC DE 2.02,9.01 11/05/12
CUTERA INC DE 2.02,9.01 11/05/12
CVR ENERGY INC DE 2.02,9.01 11/05/12
CVR PARTNERS, LP DE 2.02,9.01 11/05/12
DAIS ANALYTIC CORP 1.01,1.02,9.01 10/30/12
Daybreak Oil & Gas, Inc. WA 1.01,2.03,9.01 11/05/12
DCT Industrial Trust Inc. MD 5.03,9.01 10/31/12
DEMAND MEDIA INC. DE 9.01 11/05/12
DEPOMED INC CA 2.02,8.01,9.01 11/05/12
Digital Realty Trust, Inc. 5.05 10/30/12
Dignyte, Inc. NV 4.01 11/01/12
Discover Financial Services DE 8.01,9.01 11/05/12
DIXIE GROUP INC TN 1.01,8.01,9.01 11/02/12
DOUGLAS DYNAMICS, INC DE 2.02,9.01 11/05/12
DOVER Corp DE 8.01,9.01 11/05/12
DREW INDUSTRIES INC DE 7.01,9.01 11/01/12
DSP GROUP INC /DE/ DE 2.02,9.01 11/05/12
DURECT CORP DE 2.02,9.01 11/05/12
EDUCATION MANAGEMENT CORPORATION 5.07 11/02/12
ELECTRONICS FOR IMAGING INC DE 1.01,1.02,2.01 11/01/12
ELIZABETH ARDEN INC FL 2.02,9.01 11/05/12
Ellington Financial LLC DE 8.01,9.01 11/02/12
EMERITUS CORP\WA\ WA 2.02,9.01 11/05/12
ENCORE CAPITAL GROUP INC DE 8.01,9.01 11/01/12
ENDO HEALTH SOLUTIONS INC. DE 2.02,9.01 11/05/12
ENERGIZER HOLDINGS INC MO 7.01,9.01 11/05/12
Energy Services of America CORP DE 3.01 11/01/12
ENERNOC INC DE 2.02,9.01 11/05/12
EnerSys DE 2.02,5.03,9.01 11/01/12
ENGLOBAL CORP NV 2.01,9.01 11/05/12
ENSIGN GROUP, INC 5.02 11/05/12
ENTERGY CORP /DE/ DE 2.02,7.01,9.01 11/05/12
ENTERTAINMENT PROPERTIES TRUST MD 8.01,9.01 11/05/12
EOG RESOURCES INC DE 2.02,7.01,9.01 11/01/12
EP Energy LLC DE 1.01,2.03,9.01 10/31/12
ExamWorks Group, Inc. DE 2.02,9.01 11/05/12
EXCO RESOURCES INC TX 1.01,9.01 10/30/12
Express Scripts Holding Co. DE 2.02,9.01 11/05/12
Extra Space Storage Inc. MD 7.01,8.01,9.01 11/05/12
F5 NETWORKS INC WA 5.02 10/31/12
Fabrinet E9 2.02,5.02,9.01 11/02/12
FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 5.02 11/02/12
FAIRPOINT COMMUNICATIONS INC DE 8.01 11/05/12
Fidelity National Financial, Inc. 2.02,9.01 11/05/12
Fidelity National Information Service 2.02,9.01 11/05/12
FIRST COMMUNITY CORP /SC/ SC 8.01 11/01/12
FIRST KEYSTONE CORP PA 2.02,9.01 11/05/12
FLATBUSH FEDERAL BANCORP INC 2.01,3.01,3.03,5.01 11/02/12
FLEXTRONICS INTERNATIONAL LTD. U0 5.02,9.01 11/05/12
FNB CORP/FL/ FL 7.01,8.01,9.01 11/05/12
Fortress Investment Group LLC DE 2.02,9.01 11/02/12
FRANKLIN ELECTRIC CO INC IN 2.02,9.01 11/05/12
FS Energy & Power Fund DE 2.02 11/01/12
GAIAM, INC CO 2.02,9.01 11/05/12
GASTAR EXPLORATION LTD 7.01,9.01 11/05/12
GE Dealer Floorplan Master Note Trust DE 1.01,9.01 11/01/12
GE Dealer Floorplan Master Note Trust DE 8.01,9.01 11/01/12
General Motors Co 1.01,2.03,9.01 11/05/12
General Motors Financial Company, Inc TX 1.01,2.03 11/05/12
GENESEE & WYOMING INC DE 2.02,7.01,9.01 11/05/12
GEOSPACE TECHNOLOGIES CORP DE 8.01,9.01 11/05/12
GLOBALSCAPE INC DE 7.01,9.01 11/05/12
Graymark Healthcare, Inc. OK 5.07 11/05/12
Graystone Co DE 3.02,8.01 11/05/12
Green Endeavors, Inc. UT 4.02,9.01 11/02/12
GREENBRIER COMPANIES INC OR 5.02,5.03,9.01 10/30/12
GREENE COUNTY BANCORP INC DE 7.01,9.01 11/03/12
Guardian 8 Holdings NV 7.01,9.01 11/01/12
HACKETT GROUP, INC. FL 2.02,9.01 11/05/12
HALLADOR ENERGY CO CO 5.02 10/31/12
HARBINGER GROUP INC. DE 7.01,9.01 11/05/12
HARBINGER GROUP INC. DE 5.02,9.01 11/01/12
HARRIS INTERACTIVE INC DE 5.07 10/31/12
HEALTH NET INC DE 2.02,8.01,9.01 11/05/12
HOME BANCSHARES INC 7.01,9.01 11/02/12
HOOKER FURNITURE CORP VA 5.02,9.01 11/01/12
Horsehead Holding Corp 2.02,9.01 11/05/12
HORTON D R INC /DE/ DE 1.01,2.03,9.01 11/01/12
Hudson Pacific Properties, Inc. MD 2.02,7.01,9.01 11/05/12
Huixin Waste Water Solutions, Inc. E9 1.01,3.03 10/30/12
HUMANA INC DE 2.02,5.02,7.01,9.01 10/31/12
HUMANA INC DE 7.01 11/05/12 AMEND
Huntsman CORP DE 8.01,9.01 11/02/12
Hyatt Hotels Corp DE 7.01 11/05/12
ICG GROUP, INC. DE 2.02,9.01 11/05/12
II-VI INC PA 5.02,5.07,9.01 11/02/12
INERGY L P DE 1.01,3.02,9.01 11/03/12
INERGY MIDSTREAM, L.P. 1.01,3.02,9.01 11/03/12
INFORMATION ANALYSIS INC VA 4.01,9.01 10/31/12
Innophos Holdings, Inc. 8.01,9.01 10/31/12
InspireMD, Inc. DE 2.02,9.01 11/02/12
InspireMD, Inc. DE 7.01,9.01 11/05/12
INTEGRYS ENERGY GROUP, INC. WI 2.02,9.01 11/05/12
Intellicheck Mobilisa, Inc. DE 5.07 11/01/12
INTELSAT S.A. N4 2.02,9.01 11/05/12
INTERCONTINENTALEXCHANGE INC DE 2.02,9.01 11/05/12
INTERNATIONAL BANCSHARES CORP TX 2.02,9.01 11/05/12
INTERNATIONAL BUSINESS MACHINES CORP NY 5.02 10/30/12
INTERNATIONAL FUEL TECHNOLOGY INC NV 8.01 11/01/12
INTERNATIONAL RECTIFIER CORP /DE/ DE 7.01 11/05/12
Internet Patents Corp 2.02,9.01 11/05/12
INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01,9.01 11/05/12
IP TECHNOLOGY SERVICES, INC. DE 5.03,9.01 10/26/12
iPayment Holdings, Inc DE 4.02 11/01/12
IRIS INTERNATIONAL INC DE 1.02,2.01,3.01,3.03, 10/31/12
5.01,5.02,5.03,9.01
ISIS PHARMACEUTICALS INC DE 1.01,9.01 10/30/12
JDA SOFTWARE GROUP INC DE 8.01,9.01 11/05/12
Jive Software, Inc. DE 2.02,9.01 11/05/12
KBW, INC. 8.01,9.01 11/05/12
KBW, INC. 2.02,2.05,5.02,7.01, 11/04/12
9.01
KENTUCKY BANCSHARES INC /KY/ KY 2.02,9.01 11/05/12
KONA GRILL INC DE 2.02,9.01 11/05/12
Kosmos Energy Ltd. D0 2.02,7.01,9.01 11/05/12
KRONOS WORLDWIDE INC 2.02,7.01,9.01 11/05/12
Lantheus Medical Imaging, Inc. DE 5.07 10/31/12
Laredo Resources Corp. NV 8.01,9.01 11/02/12
LEAPFROG ENTERPRISES INC 2.02,9.01 11/05/12
LEHMAN ABS CORP KRAFT FOODS NOTE BACK DE 8.01,9.01 11/01/12
Liberty Global, Inc. DE 2.02,7.01 11/04/12
Liberty Global, Inc. DE 2.02,7.01 11/05/12
Liberty Global, Inc. DE 2.02,7.01 11/05/12
LIGAND PHARMACEUTICALS INC DE 4.02,9.01 11/02/12
LIGAND PHARMACEUTICALS INC DE 2.02,9.01 11/05/12
LIGAND PHARMACEUTICALS INC DE 1.01,1.02 10/31/12
Limelight Networks, Inc. DE 4.02 11/02/12
LINCOLN EDUCATIONAL SERVICES CORP NJ 2.02,9.01 11/05/12
LIONS GATE ENTERTAINMENT CORP /CN/ A1 5.02,9.01 10/30/12
Live Nation Entertainment, Inc. DE 2.02,9.01 11/05/12
LORAL SPACE & COMMUNICATIONS INC. DE 1.01,1.02,8.01,9.01 10/30/12
LRR Energy, L.P. DE 2.02,9.01 11/05/12
MABWE MINERALS INC. WY 2.01,3.02,9.01 10/29/12
MAGELLAN HEALTH SERVICES INC DE 8.01,9.01 11/05/12
MAGELLAN MIDSTREAM PARTNERS LP DE 1.01,9.01 11/02/12
MANITOWOC CO INC WI 2.02,9.01 11/05/12
MANPOWER INC /WI/ WI 8.01,9.01 11/05/12
MARATHON OIL CORP DE 5.03,9.01 10/31/12
MARTIN MIDSTREAM PARTNERS LP DE 2.02,9.01 11/05/12
MDC PARTNERS INC A6 2.02,9.01 11/05/12
MDU COMMUNICATIONS INTERNATIONAL INC DE 5.02,8.01 11/01/12
MEDICIS PHARMACEUTICAL CORP DE 8.01 10/29/12
MEI Pharma, Inc. DE 1.01,3.02,5.07,9.01 11/04/12
MEMSIC Inc 2.02,9.01 11/05/12
METHA ENERGY SOLUTIONS INC. DE 1.01,2.01,3.02,4.01, 10/29/12
5.01,5.02,5.06,9.01
METHODE ELECTRONICS INC DE 8.01,9.01 11/05/12
METLIFE INC DE 7.01,9.01 11/02/12
MICROVISION INC DE 2.02,9.01 11/05/12
Millennial Media Inc. DE 2.02,9.01 11/05/12
MIMEDX GROUP, INC. FL 5.03,5.07,9.01 12/14/11
MINDSPEED TECHNOLOGIES, INC DE 2.02,9.01 11/05/12
MISSION WEST PROPERTIES INC CA 1.01,9.01 11/02/12
MOVE INC DE 2.02,9.01 11/05/12
MPG Office Trust, Inc. MD 2.02,7.01,9.01 11/05/12
MRC GLOBAL INC. DE 7.01,9.01 11/05/12
MRC GLOBAL INC. DE 8.01,9.01 11/05/12
MUELLER INDUSTRIES INC DE 8.01,9.01 11/05/12
MULTI COLOR Corp OH 2.02,9.01 11/05/12
MYR GROUP INC. DE 5.02 11/01/12
MYRIAD GENETICS INC DE 2.02,9.01 11/05/12
NABI BIOPHARMACEUTICALS DE 8.01,9.01 11/05/12
NAKED BRAND GROUP INC. NV 2.01,3.02,4.01,5.01, 07/30/12 AMEND
5.02,5.03,5.06,9.01
NATIONAL HEALTH INVESTORS INC MD 7.01,9.01 11/02/12
NATIONAL HEALTH INVESTORS INC MD 5.03,7.01,9.01 11/02/12
NATIONAL HEALTH INVESTORS INC MD 2.02,9.01 11/02/12
NATIONAL RETAIL PROPERTIES, INC. MD 2.02,9.01 11/05/12
Natural Grocers by Vitamin Cottage, I DE 1.01,2.03,9.01 10/31/12
NAUTILUS, INC. WA 2.02 11/05/12
NAVARRE CORP /MN/ MN 7.01 10/29/12 AMEND
NETFLIX INC DE 1.01,3.03,5.03,8.01, 11/02/12
9.01
NEUSTAR INC 2.02,7.01,9.01 11/02/12
New England Bancshares, Inc. 5.07 11/02/12
NEW JERSEY RESOURCES CORP NJ 8.01 11/05/12
NEW ULM TELECOM INC MN 8.01 11/05/12
NEW YORK COMMUNITY BANCORP INC DE 7.01,9.01 11/05/12
NEWS CORP 8.01,9.01 11/02/12
NEWS CORP 8.01,9.01 11/05/12
Nile Therapeutics, Inc. DE 5.02,8.01,9.01 10/28/12
Niska Gas Storage Partners LLC DE 5.02 11/01/12
Northfield Bancorp, Inc. X1 8.01,9.01 11/02/12
NovaBay Pharmaceuticals, Inc. CA 3.02 10/31/12
NPC Restaurant Holdings, LLC DE 2.02,9.01 11/05/12
NTS, INC. NV 1.01,5.03,9.01 11/05/12
NYXIO TECHNOLOGIES Corp NV 3.02,5.03,9.01 10/31/12
OCLARO, INC. DE 1.01,2.02,2.03,5.07, 11/05/12
9.01
Oculus Innovative Sciences, Inc. CA 8.01,9.01 11/05/12
OLD DOMINION FREIGHT LINE INC/VA VA 5.02,9.01 10/30/12
ONLINE DISRUPTIVE TECHNOLOGIES, INC. NV 1.01,3.02,5.02,9.01 10/30/12
Opexa Therapeutics, Inc. TX 1.01,3.02,8.01,9.01 11/02/12
ORAMED PHARMACEUTICALS INC. DE 1.01,5.02 11/05/12
OSAGE EXPLORATION & DEVELOPMENT INC DE 4.01,9.01 10/10/12 AMEND
OSIRIS THERAPEUTICS, INC. DE 2.02,9.01 11/05/12
OSL HOLDINGS INC. 3.02 10/17/12
PAA NATURAL GAS STORAGE LP DE 2.02,7.01,9.01 11/05/12
PALL CORP NY 7.01,9.01 11/05/12
PALMETTO BANCSHARES INC SC 2.02,9.01 11/05/12
PAR TECHNOLOGY CORP DE 2.02 11/05/12
PC TEL INC DE 2.02,9.01 11/05/12
PDI INC 2.02,9.01 11/05/12
PDL BIOPHARMA, INC. DE 1.01,2.03,5.02,8.01, 11/01/12
9.01
PDL BIOPHARMA, INC. DE 2.02,7.01,9.01 11/05/12
PEAPACK GLADSTONE FINANCIAL CORP NJ 2.02,9.01 11/01/12
PEOPLES BANCORP INC OH 7.01,9.01 11/05/12
Performant Financial Corp DE 2.02,9.01 11/05/12
Perfumania Holdings, Inc. FL 2.02,9.01 11/01/12
Pike Electric CORP 2.02,9.01 11/05/12
PLAINS ALL AMERICAN PIPELINE LP DE 2.02,7.01,9.01 11/05/12
Polonia Bancorp 8.01,9.01 10/31/12
Polonia Bancorp Inc MD 8.01,9.01 10/31/12
POOL CORP DE 7.01,9.01 11/05/12
PREFERRED APARTMENT COMMUNITIES INC MD 2.02 11/02/12
PRINCETON NATIONAL BANCORP INC DE 1.03 11/02/12
ProUroCare Medical Inc. NV 5.02,9.01 10/30/12
PULTEGROUP INC/MI/ MI 8.01 11/02/12
Q LOTUS HOLDINGS INC NV 1.01,9.01 10/15/12
QUALYS, INC. DE 2.02,9.01 11/05/12
QUEST DIAGNOSTICS INC DE 5.02,9.01 10/31/12
RADIO ONE, INC. DE 2.02,9.01 11/01/12
Real Goods Solar, Inc. CO 2.02,9.01 11/05/12
RED TRAIL ENERGY, LLC ND 1.01 11/05/12
Reis, Inc. MD 2.02,9.01 11/05/12
RENTECH INC /CO/ CO 1.01,2.01,2.03,9.01 10/31/12
Rentech Nitrogen Partners, L.P. DE 1.01,2.01,2.03,3.02, 10/31/12
3.03,5.03,7.01,9.01
REPROS THERAPEUTICS INC. DE 8.01,9.01 11/05/12
Resolute Energy Corp DE 2.02,9.01 11/05/12
RESPONSYS INC CA 2.02,9.01 11/05/12
RETAIL PROPERTIES OF AMERICA, INC. MD 2.02,9.01 11/05/12
RF MICRO DEVICES INC NC 8.01,9.01 11/05/12
RIVERVIEW BANCORP INC WA 2.02,9.01 10/31/12
Roadrunner Transportation Systems, In DE 8.01,9.01 11/05/12
ROCKWELL AUTOMATION INC DE 2.02,9.01 11/05/12
ROGERS CORP MA 2.02,7.01,9.01 11/05/12
ROMA FINANCIAL CORP X1 2.02,9.01 11/05/12
ROTECH HEALTHCARE INC DE 1.01,9.01 11/01/12
Rouse Properties, Inc. DE 2.02,7.01,9.01 11/05/12
RUDOLPH TECHNOLOGIES INC DE 2.02,9.01 11/05/12
SaasMAX, Inc. NV 4.01 11/02/12
SABA SOFTWARE INC DE 1.01,2.02,3.01,4.02, 10/30/12
5.02,7.01,9.01
Sally Beauty Holdings, Inc. 5.02,9.01 10/30/12
SeaBright Holdings, Inc. DE 8.01 11/05/12
SeaCube Container Leasing Ltd. D0 2.02,9.01 11/05/12
SEALED AIR CORP/DE DE 7.01,9.01 11/05/12
Select Notes Trust LT 2004-1 DE 8.01,9.01 11/01/12
SERVICE CORPORATION INTERNATIONAL TX 7.01,9.01 11/05/12
SERVICE CORPORATION INTERNATIONAL TX 7.01,9.01 11/05/12
SERVICESOURCE INTERNATIONAL, INC. 2.02,9.01 11/05/12
SHARPS COMPLIANCE CORP DE 2.02,9.01 11/05/12
SHFL entertainment Inc. MN 5.02,9.01 10/31/12
SITEL Worldwide Corp DE 8.01,9.01 11/05/12
Skilled Healthcare Group, Inc. DE 2.02,9.01 11/05/12
SLM CORP DE 8.01,9.01 11/05/12
SMART ONLINE INC DE 2.03,3.02 10/31/12
SOLERA HOLDINGS, INC DE 2.02,7.01,9.01 11/05/12
SOUTHERN CO DE 2.02 11/05/12
SPAR GROUP INC DE 8.01,9.01 10/29/12
SS&C Technologies Holdings Inc DE 2.02,9.01 11/05/12
STAGE STORES INC NV 8.01,9.01 11/01/12
STANDARD PARKING CORP DE 2.02,7.01 11/05/12
STANDEX INTERNATIONAL CORP/DE/ DE 5.07 10/31/12
STEEL PARTNERS HOLDINGS L.P. DE 5.07 10/30/12
Stereotaxis, Inc. DE 2.02,9.01 11/05/12
STERLING BANCORP NY 2.02,7.01,9.01 11/02/12
STEVEN MADDEN, LTD. DE 2.02,9.01 11/01/12
STIFEL FINANCIAL CORP DE 2.02,9.01 11/05/12
STIFEL FINANCIAL CORP DE 8.01,9.01 11/05/12
STRATEGIC HOTELS & RESORTS, INC 5.02,7.01,9.01 11/02/12
Stream Global Services, Inc. DE 5.02 10/30/12
STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 10/31/12
STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 11/01/12
SUN HYDRAULICS CORP FL 2.02,9.01 11/05/12
SunCoke Energy, Inc. 7.01,9.01 11/05/12
Superior Venture Corp NV 5.01,5.02 11/01/12
SWIFT ENERGY CO 1.01,2.03,9.01 10/31/12
SYKES ENTERPRISES INC FL 2.02,9.01 11/05/12
SYMANTEC CORP DE 5.02 10/30/12
SYNALLOY CORP DE 9.01 08/21/12 AMEND
SYNCHRONOSS TECHNOLOGIES INC 2.02,9.01 11/05/12
SYSCO CORP DE 2.02,9.01 11/05/12
TCF FINANCIAL CORP DE 7.01,9.01 11/05/12
TE Connectivity Ltd. V8 2.02,2.05,7.01,9.01 11/05/12
TEAM HEALTH HOLDINGS INC. DE 2.03,9.01 11/05/12
TECH DATA CORP FL 2.01,9.01 11/01/12
TECHNE CORP /MN/ MN 5.02,8.01,9.01 10/31/12
TERRA NITROGEN CO L P /DE DE 2.02,9.01 11/05/12
TESCO CORP 2.02,9.01 11/05/12
TESLA MOTORS INC DE 2.02,9.01 11/05/12
TESORO LOGISTICS LP DE 2.02,9.01 11/05/12
TheraBiogen, Inc. NV 1.02,2.04,5.02,8.01 11/05/12
THQ INC DE 2.02,9.01 11/05/12
TIME WARNER CABLE INC. DE 2.02,9.01 11/05/12
Tonix Pharmaceuticals Holding Corp. NV 7.01,9.01 11/05/12
Tornier N.V. P7 2.02,5.02,9.01 11/02/12
TRAILBLAZER RESOURCES INC. NV 8.01 10/27/12
TRANSACT TECHNOLOGIES INC DE 2.02,9.01 11/05/12
Transocean Ltd. V8 2.02,9.01 11/04/12
TRC COMPANIES INC /DE/ DE 2.02,9.01 11/05/12
Tree.com, Inc. DE 2.02,9.01 11/05/12
TRIPLE-S MANAGEMENT CORP 2.02,9.01 10/31/12
TRIPLE-S MANAGEMENT CORP 5.02,9.01 11/05/12
Trius Therapeutics Inc DE 2.02,9.01 11/05/12
TRUE RELIGION APPAREL INC DE 2.02,9.01 11/05/12
UIL HOLDINGS CORP CT 2.02,7.01,9.01 11/05/12
United Financial Bancorp, Inc. 5.07,8.01,9.01 11/01/12
UNITED FIRE GROUP INC 2.02,9.01 11/05/12
UNITED FIRE GROUP INC 2.02,9.01 11/05/12 AMEND
UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 2.02,9.01 11/05/12
UNWALL INTERNATIONAL INC NV 5.06 10/30/12
URANIUM RESOURCES INC /DE/ DE 8.01,9.01 10/31/12
US AIRWAYS GROUP INC DE 2.02,9.01 11/05/12
Vanguard Natural Resources, LLC DE 1.01,7.01,9.01 11/05/12
VENTRUS BIOSCIENCES INC DE 8.01,9.01 11/05/12
Viggle Inc. DE 1.01,2.03,5.02,9.01 10/31/12
VISION SCIENCES INC /DE/ DE 2.02,9.01 11/05/12
VOCERA COMMUNICATIONS, INC. 2.02,9.01 11/05/12
WARNACO GROUP INC /DE/ DE 2.02,9.01 11/05/12
WATSON PHARMACEUTICALS INC NV 9.01 10/31/12 AMEND
WATTS WATER TECHNOLOGIES INC DE 8.01 11/02/12
WEIGHT WATCHERS INTERNATIONAL INC VA 2.02,9.01 11/05/12
WESTELL TECHNOLOGIES INC DE 2.02,9.01 11/05/12
WINLAND ELECTRONICS INC MN 1.01,5.02,9.01 11/01/12
WINNEBAGO INDUSTRIES INC IA 1.01,2.03,9.01 10/31/12
WORLD FUEL SERVICES CORP FL 7.01,9.01 11/05/12
WRIGHT MEDICAL GROUP INC DE 2.02,9.01 11/02/12
XL GROUP PLC L2 2.02,5.02,9.01 11/02/12
ZILLOW INC WA 2.02,9.01 11/05/12
ZIONS BANCORPORATION /UT/ UT 9.01 11/05/12
http://www.sec.gov/news/digest/2012/dig110612.htm
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