For purposes of the Form S-8 eligibility requirements and the current public information eligibility requirements of Rule 144(c), a company relying on the exemptive order will be considered:
- Current in its Exchange Act reports prior to Nov. 21, 2012 if it was current in its Exchange Act reports as of Oct. 28, 2012
- Current in its Exchange Act reports as of Nov. 21, 2012 if it was current in its Exchange Act reports as of Oct. 28, 2012 and it has made any filings required during the period from Oct. 29, 2012 to Nov. 20, 2012
- Companies that receive an extension on filing Exchange Act annual reports or quarterly reports pursuant to the order will be considered to have a due date of Nov. 21, 2012 for those reports for purposes of Exchange Act Rule 12b-25. As such, those companies will be permitted to rely on Rule 12b-25 where they are unable to file the required reports on or before Nov. 21, 2012.
- For the period from Oct. 29, 2012 to Nov. 20, 2012, a registered open-end investment company and a registered unit investment trust will be considered to have satisfied the requirements of Section 5(b)(2) of the Securities Act to deliver a summary or a statutory prospectus, as applicable, to an investor, provided that: (1) the sale of shares to the investor was not an initial purchase by the investor of shares of the company or unit investment trust; (2) the investor’s mailing address for delivery, as listed in the records of the company or unit investment trust, has a ZIP code for which the U.S. Postal Service has suspended mail service, as a result of Hurricane Sandy, of the type or class customarily used by the company or unit investment trust, to deliver summary or statutory prospectuses; and (3) the company, or unit investment trust, or other person promptly delivers the summary or statutory prospectus, as applicable (a) if requested by the investor, or (b) by the earlier of Nov. 21, 2012 or the resumption of the applicable mail service.
- A registered investment adviser will be considered to have satisfied Form ADV filing requirements under Section 204(a) of the Advisers Act and Rule 204-1 thereunder, if: (1) the registrant’s Form ADV filing deadline falls within the period from Oct. 29, 2012 to Nov. 20, 2012; (2) the registrant was or is not able to meet its filing deadline due to Hurricane Sandy and its aftermath; and (3) the registrant makes the required Form ADV filing by Nov. 21, 2012.
- For the period from Oct. 29, 2012 to Nov. 20, 2012, a registered investment adviser will be considered to have satisfied the requirements of Section 204 of the Advisers Act and Rule 204-3(b) thereunder to deliver the written disclosure statements required thereunder to its advisory client, provided that: (1) the client’s mailing address for delivery, as listed in the records of the investment adviser, has a ZIP code for which the U.S. Postal Service has suspended mail service, as a result of Hurricane Sandy, of the type or class customarily used by the adviser to deliver written disclosure statements; and (2) the investment adviser or other person promptly delivers the written disclosure statement (a) if requested by the client, or (b) at the earlier of Nov. 21, 2012 or the resumption of the applicable mail service.
The relief is structured for a broad class of companies and others affected by Hurricane Sandy. Some companies and other affected persons may require additional or different assistance in their efforts to comply with the requirements of the federal securities laws. The Commission staff will address these and any disclosure-related issues on a case-by-case basis in light of their fact-specific nature.
Any companies, transfer agents, brokerage firms, investment companies, investment advisers, security holders or other persons requiring additional assistance are encouraged to contact Commission staff for individual relief or interpretive guidance. (Press Rel. 2012-226)
SEC Enforcement Division Continues to Show Results in Safeguarding Investors and Markets
Last Two Years Reflect Two Highest Numbers of Total Actions Brought by SEC
Building on last year’s record results, the Securities and Exchange Commission today announced that it filed 734 enforcement actions in the fiscal year that ended Sept. 30, 2012, one shy of last year’s record of 735. Most significantly, that number included an increasing number of cases involving highly complex products, transactions, and practices, including those related to the financial crisis, trading platforms and market structure, and insider trading by market professionals. Twenty percent of the actions were filed in investigations designated as National Priority Cases, representing the Division’s most important and complex matters.
The SEC also announced that it obtained orders in fiscal year 2012 requiring the payment of more than $3 billion in penalties and disgorgement for the benefit of harmed investors. It represents an 11 percent increase over the amount ordered last year. In the past two years, the SEC has obtained orders for $5.9 billion in penalties and disgorgement.
“The record of performance is a testament to the professionalism and perseverance of the staff and the innovative reforms put in place over the past few years,” said SEC Chairman Mary L. Schapiro. “We’ve now brought more enforcement actions in each of the last two years than ever before including some of the most complex cases we’ve ever seen.”
Robert Khuzami, Director of the SEC’s Division of Enforcement, added, “It’s not simply numbers, but the increasing complexity and diversity of the cases we file that shows how successful we’ve been. The intelligence, dedication, and deep experience of our enforcement staff are, more than any other factors, responsible for the Division’s success.”
The sustained high-level performance comes two years after the Division underwent its most significant reorganization since it was established in the early 1970s. The results in 2012 were aided by many of the reforms and innovations put in place in the past two years, such as increased expertise in complex and emerging financial markets, products, and transactions, including through enhanced training, the hiring of industry experts, and the creation of specialized enforcement units focused on high-priority misconduct; a flatter management structure; streamlined and centralized processes and the improved utilization of information technology; and a vastly enhanced ability to collect, process, and analyze tips and complaints.
Financial Crisis-Related Cases
Among the cases filed by the SEC in FY 2012 were 29 separate actions naming 38 individuals, including 24 CEOs, CFOs and other senior corporate officers, regarding wrongdoing related to the financial crisis.
These cases included enforcement actions involving:
During the last 2½ years, the agency has filed actions related to the financial crisis against 117 defendants — nearly half of whom were CEOs, CFOs and other senior corporate executives, resulting in approximately $ 2.2 billion in disgorgement, penalties, and other monetary relief obtained or agreed to. The SEC brought enforcement actions against Goldman Sachs, J.P Morgan Securities, and Morgan Keegan as well as senior executives from Countrywide, New Century, and American Home Mortgage.
Insider Trading Cases
Insider trading cases also are on the upswing with 58 actions filed in FY 2012 by the SEC, an increase over last year’s total of 57 actions. The 168 total insider trading actions filed since October 2009 have been the most in SEC history for any three-year period.
In these actions, the SEC has charged approximately 400 individuals and entities for illegal trading totaling approximately $600 million in illicit profits. Among those charged in SEC insider trading cases in 2012 were:
Other Enforcement Matters
In order to ensure fair trading and equal access to information in the securities markets, the SEC brought several actions involving compliance failures and rules violations relating to stock exchanges, alternative trading platforms, and other market structure participants.
These cases included:
- First-of-its-kind charges against the New York Stock Exchange for compliance failures that gave certain customers an improper head start on trading information.
- The first-ever action against a “dark pool” trading platform (Pipeline Trading Systems) for failing to disclose to its customers that the vast amount of orders were filled by an affiliated trading operation.
- An action against Direct Edge Holdings LLC for violations at two of its electronic stock exchanges and a broker-dealer arising out of weak controls that resulted in millions of dollars in trading losses and a systems outage.
In the NYSE matter, the exchange and its parent company NYSE Euronext agreed to pay a $5 million penalty, marking the first-ever SEC financial penalty against an exchange.
Investment Advisers: The SEC filed numerous actions resulting from several risk-based, proactive measures that identify threats at an early stage so that early action to halt the misconduct can be initiated and investor harm minimized. In 2012, several actions resulted from the Division’s investment adviser compliance initiative, which looks for registered investment advisers who lack effective compliance programs designed to prevent securities laws violations.
The SEC also filed actions charging three advisory firms and six individuals as part of the Aberrational Performance Inquiry into abnormal performance returns by hedge funds. Other actions against investment advisers included cases against UBS Financial Services of Puerto Rico and two executives for misleading disclosures relating to certain proprietary closed-end mutual funds, Morgan Stanley Investment Management for an improper fee arrangement, and OppenheimerFunds for misleading investors in two funds suffering significant losses during the financial crisis. UBS paid more than $26 million to settle the SEC’s charges while OppenheimerFunds paid more than $35 million for its violations.
The SEC filed 147 enforcement actions in 2012 against investment advisers and investment companies, one more than the previous year’s record number.
Issuer Disclosures: The SEC brought 79 actions in FY 2012 for financial fraud and issuer disclosure violations. Those cases included actions against Life Partners Holdings and senior executives for fraudulent disclosures related to life settlements; two executives at China-based Puda Coal for defrauding investors about the nature of the company’s assets; and an enforcement action against Shanghai-based Deloitte Touche Tohmatsu for its refusal to provide the SEC with audit work papers related to a China-based company under investigation for potential accounting fraud against U.S. investors.
Broker-Dealers: The agency filed 134 enforcement actions related to broker-dealers, a 19 percent increase over the previous year. Broker-dealer actions included charges against a Latvian trader and electronic trading firms for their roles in an online account intrusion scheme that manipulated the prices of more than 100 NYSE and Nasdaq securities as well as charges against New York-based brokerage firm Hold Brothers On-Line Investment Services and three of its executives for their roles in allowing overseas traders to access the markets and conduct manipulative trading through accounts the firm controlled. The defendants in the Hold Brothers action paid a total of $4 million to settle the SEC’s charges.
FCPA: The SEC filed 15 actions in FY 2012 for violations of the Foreign Corrupt Practices Act. FCPA actions were filed against former Siemens executives, Magyar Telekom, Biomet, Smith & Nephew, Pfizer, Tyco International, and a former executive at Morgan Stanley’s real estate investment and fund advisory business.
Municipal Securities: The SEC filed 17 enforcement actions related to municipal securities, more than double the number filed in 2011. Among those charged in SEC municipal securities actions were the former mayor and city treasurer of Detroit in a pay-to-play scheme involving investments of the city’s pension funds, and Goldman Sachs for violations of various municipal securities rules resulting from undisclosed “in-kind” non-cash contributions that one of its investment bankers made to a Massachusetts gubernatorial candidate. (Press Rel. 2012-227)
Commission Meetings
Closed Meeting on Wednesday, November 14, 2012 at 9:30 a.m.
The subject matter of the Closed Meeting was an examination of a financial institution.
At times, changes in Commission priorities require alterations in the scheduling of meeting item. 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
Commission Orders Hearings on Registration Suspension or Revocation Against Seven Companies for Failure to Make Required Periodic Filings
In conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
- DIAS Holding, Inc. (DSHL)
- EarthBlock Technologies, Inc. (EBLC)
- Ensurapet, Inc. (EPTI)
- FIIC Holdings, Inc. (FIIH)
- GeM Solutions, Inc. (GMSL)
- Gold Star Tutoring Services, Inc. (GSTZ)
- GPS Industries, Inc. (GPSNQ)
In this Order, the Division of Enforcement (Division) alleges that the seven issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-68221; File No. 3-15090)
Bradford Keith Dent Sanctioned
Bradford Keith Dent (Dent) has been barred from association with any broker or dealer. The sanction was ordered in an administrative proceeding before an administrative law judge, following a May 2012 conviction for securities fraud. The wrongdoing underlying Dent’s conviction took place during his October 1997 to June 2008 association with a Commission-registered broker-dealer and involved creating losing trades in a customer account to mask losses that resulted from Dent’s unauthorized day trading. (Rel. 34-68223; File No. 3-15039)
In the Matter of James S. Quay
On November 14, 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 and an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions against James S. Quay (Quay) based on the entry of a permanent injunction against him. The Orders, which were entered upon Quay’s consent, impose certain associational bars, including bars from association with any broker, dealer, or investment adviser, and suspend him from appearing or practicing before the Commission as an accountant or an attorney. (Rel. 34-68234; AAE Rel. 3424; File No. 3-15091; Rel.. 34-68235; File No. 3-15092)
In the Matter of Garth Peterson
On November 14, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions against Garth Peterson, a former executive at Morgan Stanley, barring him from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent. The Order finds that on May 3, 2012, a final judgment was entered by consent against Peterson in the civil action entitled, SEC v. Garth Ronald Peterson, Case No. CV 12-2033 (E.D.N.Y.) (JBW) (filed April 25, 2012) (Litigation Release No. 22346) (http://www.sec.gov/litigation/litreleases/2012/lr22346.htm), permanently enjoining him from future violations of the anti-fraud provisions of the Investment Advisers Act of 1940 (Advisers Act) and the anti-bribery and internal controls provisions of the Foreign Corrupt Practices Act. The Order also finds that on August 28, 2012, Peterson was convicted and sentenced to nine months in prison for conspiring to circumvent Morgan Stanley’s internal controls. See United States v. Garth Peterson, Crim. Information No. CR12-224 (E.D.N.Y.) (JBW) (filed April 25, 2012).
The Commission’s complaint in its civil action against Peterson alleged, among other things, that between approximately 2004 and 2007 as an executive of Morgan Stanley’s Chinese real estate investing and advisory business, Peterson secretly arranged to have at least $1.8 million paid to himself and a Chinese official, which he disguised as finder’s fees owed to third parties. On more than one occasion, Peterson also secretly arranged for himself, the Chinese official and a Canadian lawyer working with them to acquire a valuable Shanghai real estate interest from a Morgan Stanley fund. The Chinese official was the former Chairman of Yongye Enterprise (Group) Co.—a Chinese state-owned entity with influence over the success of Morgan Stanley’s real estate business in Shanghai—with whom Peterson had a personal friendship and secret business relationship. In exchange for offers and payments from Peterson, the Chinese official helped Peterson and Morgan Stanley obtain business while personally benefitting from some of these same investments. Peterson’s deception, self-dealing, and misappropriation breached the fiduciary duties he owed to Morgan Stanley’s funds as their representative.
The May 3, 2012 final judgment against Peterson in the Commission’s civil action permanently enjoined him from future violations of Sections 206(1) and 206(2) of the Advisers Act and Sections 13(b)(5) and 30A of the Securities Exchange Act of 1934 (Exchange Act) and ordered him to pay nearly $250,000 in disgorgement. This judgment also ordered Peterson to relinquish his interest in valuable Shanghai real estate (currently valued at approximately $3.4 million) that he secretly acquired at a discount through his misconduct by relinquishing the asset to Marion Hecht ((571) 227-9613), the Receiver appointed by the Court over the asset. (Rel. IA-3501; File No. 3-15093)
In the Matter of Michael J. Southworth
The United States Securities and Exchange Commission announced the issuance of 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 Michael J. Southworth (Southworth). The Order finds that Southworth does not hold any securities licenses, and that on November 7, 2012, a judgment was entered by consent against Southworth, permanently enjoining him from future violations of Section 17(b) of the Securities Act of 1933 and Section 15(a) of the Exchange Act, in the civil action entitled Securities and Exchange Commission v. Michael J. Southworth and The Investors Registry, LLC, Civil Action Number 2:12-cv-02214-MEA (filed October 16, 2012), in the United States District Court for the District of Arizona. The Order further finds that the Commission’s complaint in the civil action alleged that, from at least December 2007 to approximately March 2011, in violation of Section 17(b) of the Securities Act, in exchange for cash and/or securities that he received from five issuers, Southworth published, gave publicity to, or circulated communications which, though not purporting to offer securities for sale, described securities, without fully disclosing the receipt of the consideration paid, including the amount thereof. The complaint also alleged that Southworth acted as an unregistered broker.
Based on the above, the Order bars Southworth from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization with the right to apply for reentry after three (3) years to the appropriate self-regulatory organization, or if there is none, to the Commission. Southworth consented to the issuance of the Order without admitting or denying the findings in the Order, except he admitted to the entry of the injunction. (Rel. 34-68236; File No. 3-15094)
INVESTMENT COMPANY ACT RELEASES
Columbia ETF Trust, et al.
A notice has been issued giving interested persons until December 10, 2012 to request a hearing on an application filed by Columbia ETF Trust, et al., for an order pursuant to Sections 6(c) and 17(b) of the Investment Company Act of 1940 (Act) for an exemption from Section 17(a) of the Act. The order would permit registered investment companies for which certain direct or indirect wholly owned subsidiaries of Ameriprise Financial, Inc. act as an investment adviser to engage in certain primary and secondary market principal transactions in fixed income instruments with Merrill Lynch, Pierce, Fenner and Smith Incorporated (MLPF&S) and Bank of America, N.A. (BANA), including an internal division of BANA as well as affiliates of MLPF&S and BANA. (Rel. IC-30260 – November 13)
SELF-REGULATORY ORGANIZATIONS
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by The NASDAQ Stock Market LLC relating to routing fees (SR-NASDAQ-2012-125) 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 November 12. (Rel. 34-68187)
A proposed rule change filed by NASDAQ OMX BX, Inc. relating to routing fees
(SR-BX-2012-071) 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 November 12. (Rel. 34-68188)
A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-126) to modify NASDAQ’S rebates for order execution and its fees for order entry ports through the introduction of new market quality incentive programs on a pilot basis 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 12. (Rel. 34-68209)
A proposed rule change filed by New York Stock Exchange LLC extending the temporary suspension of those aspects of Rules 36.20 and 36.21 that would not permit Floor Brokers to use personal portable phone devices on the Trading Floor following the aftermath of Hurricane Sandy until the earlier of when phone service is fully restored or Friday, November 16, 2012 (SR-NYSE-2012-64) 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 November 12. (Rel. 34-68211)
A proposed rule change filed by NYSE MKT LLC extending the temporary suspension of those aspects of Rules 36.20 - Equities and 36.21 - Equities that would not permit Floor Brokers to use personal portable phone devices on the Trading Floor following the aftermath of Hurricane Sandy until the earlier of when phone service is fully restored or Friday, November 16, 2012 (SR-NYSEMKT-2012-66) 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 November 12. (Rel. 34-68212)
A proposed rule change filed by NASDAQ OMX PHLX LLC relating to routing fees (SR-Phlx-2012-129) 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 12. (Rel. 34-68213)
A proposed rule change submitted by National Stock Exchange, Inc. (SR-NSX-2012-20) to amend its fee and rebate schedule 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 November 12. (Rel. 34-68215)
A proposed rule change filed by NASDAQ OMX PHLX LLC relating to references in the Exchange’s pricing schedule with respect to non-electronic transactions (SR-Phlx-2012-125) 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 November 12. (Rel. 34-68216)
New York Stock Exchange LLC has filed with the Securities and Exchange Commission a proposed interim rule change (SR-NYSE-2012-66) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to Rule 440B(b). Publication is expected in the Federal Register during the week of November 12. (Rel. 34-68220)
Proposed Rule Change
NASADAQ OMX PHLX LLC filed a proposed rule change (SR-Phlx-2012-130) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 relating to SQT and RSQT evaluations. Publication is expected in the Federal Register during the week of November 12. (Rel. 34-68217)
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-8 NEWLINK GENETICS CORP, 2503 SOUTH LOOP DRIVE, SUITE 5100, AMES, IA,
50010, 515-296-5555 - 823,649 ($10,616,835.61) Equity,
(File 333-184880 - Nov. 13) (BR. 01B)
S-1 CAMP NINE, INC., 1065 KAWAIAHAO ST, STE 2207, HONOLULU, HI, 96814,
808-221-4661 - 5,000,000 ($20,000.00) Equity, (File 333-184881 -
Nov. 13) (BR. )
S-3ASR SOUTHWESTERN ENERGY CO, 2350 N. SAM HOUSTON PARKWAY EAST, SUITE 125,
HOUSTON, TX, 77032, 2816184700 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-184882 - Nov. 13)
(BR. 04A)
S-4 SOUTHWESTERN ENERGY CO, 2350 N. SAM HOUSTON PARKWAY EAST, SUITE 125,
HOUSTON, TX, 77032, 2816184700 -
0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-184883 - Nov. 13)
(BR. 04A)
S-8 CLEARSIGN COMBUSTION CORP, 12870 INTERURBAN AVENUE SOUTH, SEATTLE, WA,
98168, (206) 673-4848 - 0 ($7,310.00) Debt, (File 333-184884 - Nov. 13)
(BR. 10A)
S-8 SOUTHWESTERN ENERGY CO, 2350 N. SAM HOUSTON PARKWAY EAST, SUITE 125,
HOUSTON, TX, 77032, 2816184700 - 0 ($17,450,000.00) Equity,
(File 333-184885 - Nov. 13) (BR. 04A)
S-8 JAMMIN JAVA CORP., 8200 WILSHIRE BLVD., SUITE 200, BEVERLY HILLS, CA,
90211, 323-556-0746 - 12,000,000 ($1,740,000.00) Equity,
(File 333-184886 - Nov. 13) (BR. 09A)
S-3ASR PIEDMONT NATURAL GAS CO INC, 4720 PIEDMONT ROW DR, CHARLOTTE, NC,
28210, 7043643120 - 0 ($68,625,000.00) Unallocated (Universal) Shelf,
(File 333-184895 - Nov. 13) (BR. 02A)
S-8 Pactera Technology International Ltd., 3/F, BUILDING 8,,
ZHONGGUANCUN SOFTWARE PARK, HAIDIAN DISTRICT, BEIJING, F4, 100193,
86 (10) 8282-5266 - 0 ($71,422,858.41) ADRs/ADSs, (File 333-184896 -
Nov. 13) (BR. 03C)
S-1 Priced In Corp., 6110 COXSWAIN CRESCENT TORONTO, ONTARIO, A6, L5V-2Z8,
418-263-8112 - 20,000,000 ($200,000.00) Equity, (File 333-184897 -
Nov. 13) (BR. )
S-3 ENCISION INC, 4828 STERLING DR, BOULDER, CO, 80302, 3034442600 -
0 ($1,449,250.00) Equity, (File 333-184898 - Nov. 13) (BR. 10A)
S-1 Arrayit Diagnostics, Inc., 1950 CINNAMON TEAL DR., REDMOND, OR, 97756,
916-599-3138 - 30,141,400 ($30,141,400.00) Equity, (File 333-184899 -
Nov. 13) (BR. )
S-8 Liberty Media Corp, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 80112,
(720) 875-5400 - 0 ($654,120,000.00) Equity, (File 333-184900 -
Nov. 13) (BR. 11C)
S-8 Liberty Interactive Corp, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO,
80112, 7208755400 - 0 ($100,950,000.00) Equity, (File 333-184901 -
Nov. 13) (BR. 11C)
S-8 Liberty Interactive Corp, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO,
80112, 7208755400 - 0 ($403,800,000.00) Equity, (File 333-184902 -
Nov. 13) (BR. 11C)
S-8 Liberty Interactive Corp, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO,
80112, 7208755400 - 0 ($113,860,000.00) Equity, (File 333-184903 -
Nov. 13) (BR. 11C)
S-8 Liberty Interactive Corp, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO,
80112, 7208755400 - 0 ($1,211,400.00) Equity, (File 333-184904 -
Nov. 13) (BR. 11C)
S-8 Liberty Interactive Corp, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO,
80112, 7208755400 - 0 ($2,277,200.00) Equity, (File 333-184905 -
Nov. 13) (BR. 11C)
S-8 LA JOLLA PHARMACEUTICAL CO, 4370 LA JOLLA VILLAGE DR., SUITE 400,
SAN DIEGO, CA, 92122, 858-452-6600 - 0 ($36,179,621.00) Equity,
(File 333-184909 - Nov. 13) (BR. 01B)
S-1 FIRST RATE STAFFING Corp, 2775 WEST THOMAS ROAD, SUITE 107, PHOENIX,
AZ, 85018, 602-442-5277 - 1,600,000 ($3,200,000.00) Equity,
(File 333-184910 - Nov. 13) (BR. 01B)
S-1 American Retail Alliance Corp., 2979 WEST BAY DRIVE, SUITE 2,
BELLEAIR BLUFFS, FL, 33770, 727-581-1500 -
2,000,000 ($3,000,000.00) Equity, (File 333-184911 - Nov. 13) (BR. )
S-3 DLH Holdings Corp., 1776 PEACHTREE STREET, N.W., ATLANTA, GA, 30309,
8669521647 - 0 ($4,792,887.00) Equity, (File 333-184912 - Nov. 13)
(BR. 11C)
S-8 AMERICAN FINANCIAL GROUP INC, GREAT AMERICAN INSURANCE GROUP TOWER,
301 E. 4TH STREET, CINCINNATI, OH, 45202, 5135792121 -
100,000 ($3,824,500.00) Equity, (File 333-184913 - Nov. 13) (BR. 01B)
S-8 AMERICAN FINANCIAL GROUP INC, GREAT AMERICAN INSURANCE GROUP TOWER,
301 E. 4TH STREET, CINCINNATI, OH, 45202, 5135792121 -
2,500,000 ($95,612,500.00) Equity, (File 333-184914 - Nov. 13) (BR. 01B)
S-8 AMERICAN FINANCIAL GROUP INC, GREAT AMERICAN INSURANCE GROUP TOWER,
301 E. 4TH STREET, CINCINNATI, OH, 45202, 5135792121 -
500,000 ($19,122,500.00) Equity, (File 333-184915 - Nov. 13) (BR. 01B)
S-8 CRA INTERNATIONAL, INC., 200 CLARENDON STREET, T-33, BOSTON, MA, 02116,
6174253000 - 0 ($28,118,000.00) Equity, (File 333-184916 - Nov. 13)
(BR. 11A)
S-4 UNIT CORP, 1000 KENSINGTON TOWER, 7130 SO LEWIS STE 1000, TULSA, OK,
74136, 9184937700 - 0 ($400,000,000.00) Non-Convertible Debt,
(File 333-184917 - Nov. 13) (BR. 04A)
S-3 CARROLS RESTAURANT GROUP, INC., 968 JAMES STREET, SYRACUSE, NY, 13203,
315-424-0513 - 4,085,109 ($26,798,315.04) Equity, (File 333-184919 -
Nov. 13) (BR. 05A)
S-8 MERRILL LYNCH & CO., INC., 4 WORLD FINANCIAL CTR, NEW YORK, NY, 10080,
2124491000 - 0 ($200,000,000.00) Non-Convertible Debt,
(File 333-184920 - Nov. 13) (BR. 12A)
S-3 Apollo Residential Mortgage, Inc., C/O APOLLO GLOBAL MANAGEMENT, LLC,
9 WEST 57TH STREET, 43RD FLOOR, NEW YORK, NY, 10019, 2125153200 -
0 ($43,000,000.00) Equity, (File 333-184921 - Nov. 13) (BR. 08B)
S-1 XTREME HEALTHCARE Corp, 4438 VANDEVER AVENUE, SAN DIEGO, CA, 92120,
619-822-2674 - 3,000,000 ($15,000,000.00) Equity, (File 333-184922 -
Nov. 13) (BR. 09)
S-8 INTERMUNE INC, 3280 BAYSHORE, BLVD, BRISBANE, CA, 94005, 415 466 2200 -
2,670,094 ($25,632,902.40) Equity, (File 333-184923 - Nov. 13) (BR. 01A)
S-4 OLD LINE BANCSHARES INC, 1525 POINTER RIDGE PLACE, BOWIE, MD, 20716,
3014302544 - 2,963,653 ($28,881,149.00) Equity, (File 333-184924 -
Nov. 13) (BR. 07B)
S-8 OPTIMER PHARMACEUTICALS INC, 101 HUDSON STREET, SUITE 3501,
JERSEY CITY, NJ, 07302, (201) 333-8819 - 0 ($2,736,000.00) Equity,
(File 333-184925 - Nov. 13) (BR. 01B)
S-8 PETROQUEST ENERGY INC, 400 E KALISTE SALOOM RD SUITE 6000, LAFAYETTE,
LA, 70508, 3372327028 - 6,000,000 ($32,100,000.00) Equity,
(File 333-184926 - Nov. 13) (BR. 04A)
S-8 NeoStem, Inc., 420 LEXINGTON AVENUE, SUITE 450, NEW YORK, NY, 10170,
212-584-4171 - 15,200,000 ($5,937,500.00) Equity, (File 333-184927 -
Nov. 13) (BR. 09B)
RECENT 8K FILINGS
Form 8-K is used by companies to file current reports on the following events:
1.01
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Entry into a Material Definitive Agreement
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1.02
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Termination of a Material Definitive Agreement
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1.03
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Bankruptcy or Receivership
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2.01
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Completion of Acquisition or Disposition of Assets
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2.02
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Results of Operations and Financial Condition
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2.03
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Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
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2.04
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Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
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2.05
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Cost Associated with Exit or Disposal Activities
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2.06
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Material Impairments
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3.01
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Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
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3.02
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Unregistered Sales of Equity Securities
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3.03
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Material Modifications to Rights of Security Holders
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4.01
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Changes in Registrant's Certifying Accountant
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4.02
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Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
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5.01
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Changes in Control of Registrant
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5.02
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer
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5.03
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Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
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5.04
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Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
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5.05
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Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
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5.06
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Change in Shell Company Status
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6.01
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ABS Informational and Computational Material.
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6.02
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Change of Servicer or Trustee.
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6.03
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Change in Credit Enhancement or Other External Support.
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6.04
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Failure to Make a Required Distribution.
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6.05
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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
-----------------------------------------------------------------------------------------
22nd Century Group, Inc. NV 1.01,3.02,9.01 11/09/12
30DC, INC. MD 7.01,9.01 11/07/12
30DC, INC. MD 3.02,5.02,8.01,9.01 10/11/12
ABAXIS INC CA 5.07,8.01 11/08/12
ABIOMED INC DE 8.01,9.01 11/13/12
ABRAXAS PETROLEUM CORP NV 7.01,9.01 11/09/12
ABRAXAS PETROLEUM CORP NV 7.01,9.01 11/13/12
ACACIA RESEARCH CORP DE 8.01 11/07/12
AccelPath, Inc. DE 9.01 09/18/12 AMEND
ACE Ltd V8 1.01,1.02,2.03 11/06/12
ADCARE HEALTH SYSTEMS INC OH 2.02,9.01 11/13/12
ADMA BIOLOGICS, INC. DE 2.02,9.01 11/13/12
ADVANCED PHOTONIX INC DE 2.02,7.01,9.01 11/13/12
AECOM TECHNOLOGY CORP DE 2.02,9.01 11/13/12
AEROCENTURY CORP DE 2.02 11/12/12
AeroGrow International, Inc. NV 2.02,7.01,9.01 11/12/12
AETNA INC /PA/ PA 1.01,8.01,9.01 11/12/12
AETNA INC /PA/ PA 7.01 11/13/12
Affinity Gaming, LLC NV 2.02,9.01 11/13/12
AG Mortgage Investment Trust, Inc. MD 5.05,9.01 11/09/12
AGY Holding Corp. DE 2.02,9.01 11/13/12
Air Transport Services Group, Inc. DE 2.02,9.01 11/13/12
AK STEEL HOLDING CORP DE 2.02,7.01,8.01,9.01 11/13/12
AK STEEL HOLDING CORP DE 1.01,8.01,9.01 11/12/12
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 11/13/12
ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 11/12/12
ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 11/12/12
Allied World Assurance Co Holdings, A 7.01,9.01 11/13/12
ALNYLAM PHARMACEUTICALS, INC. 1.01,1.02,7.01,9.01 11/12/12
Alpha Natural Resources, Inc. DE 7.01,9.01 11/13/12
Alta Mesa Holdings, LP TX 2.02,9.01 11/13/12
ALTRIA GROUP, INC. VA 7.01,9.01 11/13/12
AMERICAN APPAREL, INC DE 2.02,9.01 11/13/12
American Casino & Entertainment Prope DE 2.02,9.01 11/13/12
AMERICAN ELECTRIC POWER CO INC NY 7.01,9.01 11/12/12
American Electric Technologies Inc FL 5.02,9.01 11/06/12
AMERICAN EXPRESS CO NY 8.01,9.01 11/13/12
AMERICAN LEARNING Corp NY 2.02,9.01 11/12/12
AMERICAN MEDIA INC DE 2.02,9.01 11/13/12
AMERICAN SPECTRUM REALTY INC MD 5.07 11/08/12
AmREIT, Inc. MD 1.01 11/08/12
AmREIT, Inc. MD 7.01,9.01 11/13/12
ANCHOR BANCORP WISCONSIN INC WI 2.02,9.01 11/08/12
ANNALY CAPITAL MANAGEMENT INC MD 8.01,9.01 11/12/12
Antero Resources LLC DE 7.01 11/08/12
Anthera Pharmaceuticals Inc DE 8.01,9.01 11/13/12
ANTS SOFTWARE INC DE 5.02 11/12/12
ANTS SOFTWARE INC DE 5.02 11/13/12
Aon plc X0 8.01,9.01 11/13/12
Apollo Global Management LLC DE 7.01,9.01 11/13/12
Apollo Global Management LLC DE 7.01,9.01 11/13/12
APRICUS BIOSCIENCES, INC. NV 5.02 11/06/12
APRICUS BIOSCIENCES, INC. NV 1.01 11/07/12
ARCH CAPITAL GROUP LTD. 5.02,8.01 11/07/12
ARCH COAL INC DE 7.01,9.01 11/13/12
ARES CAPITAL CORP MD 2.03,3.02 11/13/12
ARI NETWORK SERVICES INC /WI WI 1.01,8.01,9.01 11/07/12
AROTECH CORP DE 2.02,9.01 11/07/12
ARTHROCARE CORP DE 7.01 11/08/12
Artio Global Investors Inc. DE 7.01,9.01 11/13/12
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 11/13/12
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 11/13/12
AspenBio Pharma, Inc. CO 8.01,9.01 11/13/12
ASSOCIATED BANC-CORP WI 7.01,8.01,9.01 11/13/12
ASTORIA FINANCIAL CORP DE 8.01,9.01 11/13/12
Atlas Financial Holdings, Inc. E9 2.02,9.01 11/12/12
ATRION CORP DE 8.01,9.01 11/13/12
AUTOBYTEL INC DE 2.02,9.01 11/08/12
AUTOINFO INC DE 5.07 11/09/12
AUTOMATIC DATA PROCESSING INC DE 5.02,9.01 11/12/12
AUTOZONE INC NV 2.03,9.01 11/13/12
Avantair, Inc DE 2.02,9.01 11/13/12
AVIS BUDGET GROUP, INC. DE 1.01,2.03,8.01,9.01 11/09/12
AVIV REIT, INC. MD 2.02,9.01 11/13/12
BankUnited, Inc. DE 7.01,9.01 11/13/12
BEAZER HOMES USA INC DE 2.02,5.02,7.01,8.01, 11/12/12
9.01
BENACO, INC. NV 1.01,2.01,3.02,4.01, 11/12/12
5.01,5.02,9.01
BERKELEY COFFEE & TEA, INC. NV 8.01 11/08/12
BEST BUY CO INC MN 7.01,9.01 11/13/12
BG Medicine, Inc. DE 2.02,2.05,8.01,9.01 11/08/12
Bidz.com, Inc. CA 8.01,9.01 11/12/12
Bio-Matrix Scientific Group, Inc. DE 8.01 11/12/12
BioDrain Medical, Inc. MN 1.01,2.03,3.02,9.01 11/06/12
BIOSPECIFICS TECHNOLOGIES CORP DE 7.01,9.01 11/12/12
BIRNER DENTAL MANAGEMENT SERVICES INC CO 2.02,9.01 11/13/12
Black Elk Energy Offshore Operations, TX 5.02 11/07/12
BLUE DOLPHIN ENERGY CO DE 1.01,9.01 11/12/12
BLUE DOLPHIN ENERGY CO DE 5.02,9.01 11/13/12
BMC SOFTWARE INC DE 5.02 11/09/12
Boston Therapeutics, Inc. DE 5.02,9.01 11/08/12
Brekford Corp. DE 2.02,9.01 11/09/12
BRINKS CO VA 7.01,9.01 11/12/12
Brownie's Marine Group, Inc NV 3.02,5.02 11/02/12
Burlington Coat Factory Investments H 5.02 11/06/12
CAMAC Energy Inc. DE 2.02,9.01 11/09/12
CANTEL MEDICAL CORP DE 7.01,9.01 11/13/12
CANTERBURY PARK HOLDING CORP MN 2.02,9.01 11/12/12
CAPITAL ONE FINANCIAL CORP DE 7.01 11/13/12
CARDTRONICS INC DE 5.02 11/13/12
CAREER EDUCATION CORP DE 5.02,9.01 11/13/12
Cavitation Technologies, Inc. 5.02 11/12/12
CBRE GROUP, INC. DE 5.02 11/08/12
CDI CORP PA 7.01 11/13/12
Celanese Corp DE 1.01,7.01,8.01,9.01 11/07/12
Celsion CORP DE 2.02,9.01 11/12/12
CENTRAL EUROPEAN DISTRIBUTION CORP DE 4.02,9.01 11/10/12
CENTRUE FINANCIAL CORP DE 2.02,9.01 11/13/12
CHEESECAKE FACTORY INC DE 5.02 11/12/12
CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 09/30/12
Chemtura CORP DE 1.01,9.01 11/09/12
CHESAPEAKE ENERGY CORP OK 2.03,7.01,9.01 11/07/12
CHINA FUND INC MD 7.01,9.01 09/30/12
CHYRON CORP NY 3.01 11/07/12
CINCINNATI BELL INC OH 8.01,9.01 11/13/12
Cinedigm Digital Cinema Corp. DE 2.02,9.01 11/13/12
CISCO SYSTEMS, INC. CA 2.02 11/13/12
Citadel EFT, Inc. NV 5.03,9.01 11/13/12
CITY NATIONAL CORP DE 3.03,5.03,8.01,9.01 11/13/12
CLAIRES STORES INC DE 2.02,9.01 11/12/12
Clean Energy Fuels Corp. DE 1.01,2.03,3.02,9.01 11/07/12
Clovis Oncology, Inc. DE 7.01,9.01 11/12/12
CNS RESPONSE, INC. DE 9.01 11/05/12 AMEND
COACH INC MD 5.07 11/07/12
COLE CORPORATE INCOME TRUST, INC. MD 1.01,2.01,8.01,9.01 11/08/12
Cole Credit Property Trust III, Inc. MD 5.03,8.01,9.01 07/25/12
Cole Credit Property Trust Inc MD 5.03,9.01 11/09/12
COLE CREDIT PROPERTY TRUST IV, INC. MD 8.01 11/09/12
COLE REAL ESTATE INCOME STRATEGY (DAI MD 8.01 11/07/12
COMERICA INC /NEW/ DE 7.01,9.01 11/13/12
COMFORT SYSTEMS USA INC 7.01,9.01 11/13/12
COMM 2012-CCRE4 Mortgage Trust DE 8.01,9.01 11/13/12
Community Choice Financial Inc. 2.02,9.01 11/13/12
COMMUNITY FINANCIAL CORP /VA/ VA 2.02,9.01 11/13/12
CONOLOG CORP DE 8.01 11/13/12
CONSOLIDATED WATER CO LTD E6 2.02,9.01 11/09/12
CORNERSTONE THERAPEUTICS INC DE 1.01,9.01 11/06/12
COVENTRY HEALTH CARE INC DE 1.01,8.01,9.01 11/12/12
CPS TECHNOLOGIES CORP/DE/ DE 2.02 09/29/12
CreXus Investment Corp. MD 8.01,9.01 11/09/12
CROWN CRAFTS INC DE 2.02,9.01 11/13/12
CROWN DYNAMICS CORP DE 4.01,5.03,8.01,9.01 11/13/12
CTI INDUSTRIES CORP DE 2.02,9.01 11/12/12
CTPARTNERS EXECUTIVE SEARCH INC. DE 2.02,9.01 11/12/12
CUMBERLAND PHARMACEUTICALS INC 8.01 11/12/12
CVB FINANCIAL CORP CA 5.02,9.01 11/08/12
CVR PARTNERS, LP DE 7.01,9.01 11/13/12
Cyclacel Pharmaceuticals, Inc. DE 2.02,9.01 11/12/12
Deep Down, Inc. NV 2.02,9.01 11/13/12
DELCATH SYSTEMS INC DE 7.01,9.01 11/07/12
Delek US Holdings, Inc. 7.01,9.01 11/13/12
Delta Tucker Holdings, Inc. DE 2.02,9.01 11/13/12
DELUXE CORP MN 1.01,8.01,9.01 11/09/12
DENBURY RESOURCES INC DE 7.01 11/09/12
Dialogic Inc. DE 1.01,9.01 11/06/12
Dialogic Inc. DE 2.02,9.01 11/13/12
DiamondRock Hospitality Co 7.01,8.01,9.01 11/13/12
DICKS SPORTING GOODS INC DE 2.02,8.01,9.01 11/07/12
Digital Development Group Corp NV 1.01,9.01 11/06/12
DIODES INC /DEL/ DE 2.02,7.01,9.01 11/08/12
Discover Card Execution Note Trust DE 1.01,9.01 11/09/12
Discover Financial Services DE 7.01,9.01 11/13/12
Discovery Communications, Inc. DE 5.02 11/13/12
Discovery Communications, Inc. DE 8.01,9.01 11/13/12
DOVER SADDLERY INC 2.02,9.01 11/13/12
DREW INDUSTRIES INC DE 2.02,7.01,9.01 11/01/12
DREW INDUSTRIES INC DE 8.01,9.01 11/09/12
Duke Energy CORP DE 9.01 11/13/12
DUKE REALTY CORP IN 7.01,9.01 11/13/12
DUNKIN' BRANDS GROUP, INC. DE 5.02 11/13/12
DynaVox Inc. 2.02,9.01 11/13/12
E-Debit Global Corp. CO 8.01,9.01 11/13/12
Eagle Bulk Shipping Inc. 2.02,8.01,9.01 11/08/12
EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 11/13/12
EASTMAN KODAK CO NJ 7.01,8.01,9.01 11/12/12
EASTON-BELL SPORTS, INC. DE 2.02,9.01 11/13/12
ECOLAB INC DE 8.01 11/09/12
Edgen Group Inc. DE 7.01,9.01 11/13/12
EINSTEIN NOAH RESTAURANT GROUP INC DE 2.02,8.01,9.01 11/12/12
Electromed, Inc. 2.02,9.01 11/13/12
EMERSON RADIO CORP DE 5.07 11/07/12
EMISPHERE TECHNOLOGIES INC DE 2.02,9.01 11/13/12
Empeiria Acquisition Corp DE 7.01,9.01 11/13/12
Emrise CORP DE 1.01,2.03,9.01 11/06/12
ENERGIZER HOLDINGS INC MO 7.01,9.01 11/13/12
Energy Transfer Equity, L.P. DE 7.01 11/13/12
Energy Transfer Partners, L.P. DE 7.01 11/13/12
Engility Holdings, Inc. DE 2.02,9.01 11/13/12
Enphase Energy, Inc. DE 1.01,1.02,2.03,9.01 11/07/12
EnteroMedics Inc 7.01,9.01 11/07/12
Entertainment Gaming Asia Inc. NV 2.02,9.01 11/13/12
EnviroStar, Inc. DE 1.01,2.02,5.07,8.01, 11/09/12
9.01
EPICEPT CORP 1.01,3.02,9.01 11/07/12
EPOCH HOLDING CORP DE 8.01,9.01 11/12/12
EPR PROPERTIES MD 5.03,7.01 11/12/12
EQUIFAX INC GA 5.03,9.01 11/08/12
EQUITY LIFESTYLE PROPERTIES INC MD 2.02,7.01,9.01 11/13/12
EQUITY ONE, INC. 7.01,9.01 11/13/12
ESCO TECHNOLOGIES INC MO 2.02,5.02,9.01 11/08/12
ESTEE LAUDER COMPANIES INC DE 5.03,5.07,9.01 11/09/12
EV Energy Partners, LP DE 7.01,9.01 11/08/12
EverBank Financial Corp DE 8.01,9.01 11/12/12
EverBank Financial Corp DE 7.01,9.01 11/13/12
EVERTEC Group, LLC PR 2.02,9.01 11/13/12
EVOLVING SYSTEMS INC DE 2.02 11/13/12
FactorShares 2X: Gold Bull/S&P500 Bea 4.01,9.01 11/07/12
FactorShares 2X: Oil Bull/S&P500 Bear 4.01,9.01 11/07/12
FactorShares 2X: S&P500 Bull/TBond Be 4.01,9.01 11/07/12
FactorShares 2X: S&P500 Bull/USD Bear 3.01 10/25/12
FactorShares 2X: S&P500 Bull/USD Bear 4.01,9.01 11/07/12
FactorShares 2X: TBond Bull/S&P500 Be 3.01 10/25/12
FactorShares 2X: TBond Bull/S&P500 Be 4.01,9.01 11/07/12
FAIRPOINT COMMUNICATIONS INC DE 1.01,9.01 11/13/12
Federal Home Loan Bank of Atlanta X1 2.03 11/07/12
Federal Home Loan Bank of Boston X1 2.03 11/07/12
Federal Home Loan Bank of Chicago X1 2.03 11/08/12
Federal Home Loan Bank of New York X1 2.03,9.01 11/07/12
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/07/12
Federal Home Loan Bank of San Francis X1 2.03 11/07/12
FERRO CORP OH 5.02,9.01 11/12/12
Fiesta Restaurant Group, Inc. DE 2.02,9.01 11/13/12
First Advantage Bancorp 2.02,9.01 11/09/12
First American Financial Corp DE 5.02,9.01 11/06/12
FIRST MARINER BANCORP MD 1.02,8.01,9.01 11/08/12
FIRST NIAGARA FINANCIAL GROUP INC DE 7.01,9.01 11/13/12
FIRST POTOMAC REALTY TRUST MD 7.01 11/13/12
FIRST RATE STAFFING Corp 2.01,3.02,5.06,9.01 11/09/12
FIRST UNITED CORP/MD/ MD 2.02,9.01 11/09/12
FNBH BANCORP INC MI 1.01,2.03,3.02 11/06/12
Forbes Energy Services Ltd. D0 2.02,8.01,9.01 11/12/12
FOREST CITY ENTERPRISES INC OH 7.01,9.01 11/13/12
Fortegra Financial Corp DE 2.02 11/12/12
Fortress International Group, Inc. DE 2.02,9.01 11/13/12
FOSSIL INC DE 5.02,9.01 11/08/12
FOSTER WHEELER AG V8 5.02,9.01 11/08/12
Fraternity Community Bancorp Inc 2.02,9.01 11/09/12
FTI CONSULTING INC MD 7.01,9.01 11/08/12
FTI CONSULTING INC MD 8.01,9.01 11/09/12
GALECTIN THERAPEUTICS INC NV 7.01,9.01 11/12/12
Galena Biopharma, Inc. 2.02,9.01 11/13/12
GAMCO INVESTORS, INC. ET AL NY 8.01 11/13/12
General Finance CORP DE 8.01,9.01 11/12/12
General Finance CORP DE 8.01,9.01 11/12/12
General Growth Properties, Inc. DE 7.01,9.01 11/13/12
Genie Energy Ltd. DE 2.02,9.01 11/13/12
GENSPERA INC DE 8.01 11/09/12
GENTHERM Inc MI 1.01,9.01 11/09/12
GEOKINETICS INC DE 5.02,7.01,9.01 11/06/12
GeoMet, Inc. DE 2.02,9.01 11/13/12
GILEAD SCIENCES INC DE 7.01 11/12/12
GLADSTONE CAPITAL CORP MD 2.02,9.01 11/12/12
GLOBAL CASINOS INC UT 2.03,9.01 11/09/12
GLOBAL PARTNERS LP 8.01,9.01 11/13/12
GLOBALSCAPE INC DE 2.02,9.01 11/13/12
Globalstar, Inc. DE 7.01,9.01 11/13/12
GOLD RESOURCE CORP CO 1.01,5.02,7.01,9.01 11/02/12
GOLDFIELD CORP DE 2.02,9.01 11/13/12
GRAFTECH INTERNATIONAL LTD DE 8.01,9.01 11/13/12
GRAMERCY CAPITAL CORP MD 2.02,7.01,9.01 11/13/12
GRAPHON CORP/DE DE 5.07 11/09/12
Great Lakes Dredge & Dock CORP DE 7.01,9.01 11/13/12
Greektown Superholdings, Inc. DE 2.02,9.01 11/13/12
GREENBRIER COMPANIES INC OR 8.01,9.01 11/13/12
GreenHunter Energy, Inc. DE 3.02 11/12/12
GRIFFON CORP DE 2.02,9.01 11/13/12
GUITAR CENTER HOLDINGS, INC. DE 5.02 11/07/12
GXS Worldwide, Inc. DE 2.02,9.01 11/13/12
HEALTH NET INC DE 7.01 11/13/12
HEALTHSOUTH CORP DE 7.01,9.01 11/13/12
Heelys, Inc. DE 2.02,9.01 11/13/12
HELIX ENERGY SOLUTIONS GROUP INC MN 7.01,9.01 11/12/12
HESKA CORP DE 2.02,9.01 09/30/12
Hi-Crush Partners LP de 1.02 11/13/12
Hi-Crush Partners LP de 2.02,9.01 11/13/12
Highpower International, Inc. DE 2.02,7.01,9.01 11/13/12
Hilltop Holdings Inc. MD 8.01,9.01 11/13/12
HOLOGIC INC DE 2.02,5.02,9.01 11/06/12
HOME DEPOT INC DE 2.02,9.01 11/13/12
HOME PROPERTIES INC MD 5.02 11/08/12
HORIZON PHARMA, INC. DE 2.02,9.01 11/13/12
HORTON D R INC /DE/ DE 2.02,9.01 11/12/12
HOSPIRA INC DE 8.01 11/08/12
HOST HOTELS & RESORTS, INC. MD 7.01,9.01 11/12/12
ICAHN ENTERPRISES HOLDINGS L.P. DE 1.01,2.01,2.03,5.02, 03/16/12
9.01
ICEWEB INC DE 1.01,7.01,9.01 11/09/12
Iconic Brands, Inc. NV 4.01,9.01 11/07/12 AMEND
IGI LABORATORIES, INC DE 2.02,9.01 11/13/12
IMATION CORP DE 5.02,9.01 11/06/12
INDEPENDENT BANK CORP MA 2.01,2.03,5.02,9.01 11/13/12
Inland American Real Estate Trust, In MD 7.01,9.01 11/13/12
INLAND REAL ESTATE CORP MD 7.01,9.01 11/13/12
Inland Real Estate Income Trust, Inc. MD 1.01,2.01,2.03,9.01 11/06/12
INNODATA INC DE 5.02,9.01 11/08/12
INNOTRAC CORP GA 2.02,9.01 11/13/12
INSMED INC VA 8.01,9.01 11/13/12
INSTEEL INDUSTRIES INC NC 8.01,9.01 11/13/12
INTEGRA LIFESCIENCES HOLDINGS CORP DE 7.01,9.01 11/13/12
Intellicheck Mobilisa, Inc. DE 5.02,9.01 11/13/12
INTERLINE BRANDS, INC./DE DE 2.02,9.01 11/13/12
Intermec, Inc. DE 5.03,9.01 11/12/12
INTERNATIONAL PAPER CO /NEW/ NY 5.02 11/09/12
INTERNATIONAL SHIPHOLDING CORP DE 8.01,9.01 11/13/12
INTERSECTIONS INC DE 2.02,7.01,9.01 11/08/12
INTRUSION INC DE 2.02,9.01 11/12/12
Invesco Ltd. D0 7.01,9.01 11/12/12
IRIDEX CORP DE 5.02 11/06/12
iSatori, Inc. DE 2.02,9.01 11/09/12
ISTAR FINANCIAL INC MD 1.01,9.01 11/07/12
ITC Holdings Corp. MI 7.01,9.01 11/13/12
J2 GLOBAL, INC. DE 1.01,2.01,3.02,7.01, 11/09/12
9.01
JACOBS ENGINEERING GROUP INC /DE/ DE 2.02,9.01 11/12/12
Jazz Pharmaceuticals plc L2 8.01 11/13/12
JEFFERIES GROUP INC /DE/ DE 1.01,3.03,5.01,5.02, 11/11/12
8.01,9.01
KATY INDUSTRIES INC DE 2.02,9.01 11/12/12
KINGSTONE COMPANIES, INC. DE 2.02,9.01 11/07/12
Kips Bay Medical, Inc. DE 2.02,9.01 11/13/12
KITE REALTY GROUP TRUST MD 5.02,9.01 11/07/12
KITE REALTY GROUP TRUST MD 7.01,9.01 11/13/12
KLA TENCOR CORP DE 5.03,5.07,8.01,9.01 11/07/12
KYTHERA BIOPHARMACEUTICALS INC DE 2.02,9.01 11/13/12
Landmark Apartment Trust of America, 9.01 08/28/12 AMEND
Latitude Solutions, Inc. NV 1.03,5.02 11/09/12
LEE ENTERPRISES, INC DE 2.02,9.01 11/12/12
LEUCADIA NATIONAL CORP NY 1.01,5.02,7.01,9.01 11/11/12
LGL GROUP INC DE 2.02,7.01,9.01 11/12/12
LGL GROUP INC DE 7.01,9.01 11/13/12
Liberty Global, Inc. DE 7.01 11/12/12
Lincolnway Energy, LLC IA 5.02 11/09/12
LML PAYMENT SYSTEMS INC A1 2.02,7.01,9.01 11/09/12
LOCAL Corp DE 7.01,9.01 11/09/12
LOJACK CORP MA 7.01,9.01 11/13/12
Lone Pine Resources Inc. DE 1.01,2.02,7.01,9.01 11/13/12
LOOKSMART LTD DE 2.02,9.01 11/13/12
LORILLARD, INC. DE 7.01,9.01 11/13/12
LPL Financial Holdings Inc. DE 8.01 11/13/12
Lumos Networks Corp. VA 5.02 11/13/12
M&F BANCORP INC /NC/ NC 2.02,9.01 11/13/12
M/A-COM Technology Solutions Holdings DE 2.02,9.01 11/13/12
MACK CALI REALTY CORP MD 7.01,9.01 11/13/12
MACROSOLVE INC OK 2.02,9.01 11/13/12
Madison Bancorp Inc MD 2.02,9.01 11/08/12
MAGNUM HUNTER RESOURCES CORP DE 2.02,7.01,9.01 11/13/12
Manhattan Bancorp CA 1.01,9.01 11/09/12
Manhattan Bancorp CA 9.01 11/09/12 AMEND
MARKWEST ENERGY PARTNERS L P 7.01,9.01 11/12/12
MARTIN MIDSTREAM PARTNERS LP DE 5.02 11/13/12
MARTIN MIDSTREAM PARTNERS LP DE 8.01,9.01 11/13/12 AMEND
Matador Resources Co TX 2.02,7.01,9.01 11/12/12
MATERION Corp 7.01,9.01 11/13/12
McEwen Mining Inc. CO 1.01 11/12/12
McEwen Mining Inc. CO 7.01,9.01 11/12/12
Mead Johnson Nutrition Co DE 7.01,9.01 11/13/12
MERCADOLIBRE INC 8.01 11/13/12
MERCURY COMPUTER SYSTEMS INC MA 5.03,7.01,9.01 11/12/12
MEREDITH CORP IA 5.02,5.07,7.01,8.01, 11/07/12
9.01
MERIDIAN BIOSCIENCE INC OH 2.02,5.03,9.01 11/08/12
MERRILL LYNCH DEPOSITOR INC PREFERRED NY 8.01,9.01 11/01/12
MET PRO CORP PA 8.01,9.01 11/13/12
MetaStat, Inc. NV 8.01,9.01 11/13/12
MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 11/13/12
Mid-Con Energy Partners, LP DE 7.01,9.01 11/09/12
MIDDLEBY CORP DE 5.02 11/12/12
Midway Gold Corp A1 2.02,5.02,7.01,9.01 11/09/12
MidWestOne Financial Group, Inc. IA 7.01,9.01 11/12/12
Millennium India Acquisition CO Inc. DE 2.02,8.01,9.01 11/12/12
MISCOR GROUP, LTD. IN 2.02,9.01 11/13/12
MISSION COMMUNITY BANCORP CA 2.02,9.01 11/13/12
MITCHAM INDUSTRIES INC TX 1.01 11/06/12
MODINE MANUFACTURING CO WI 7.01,9.01 11/06/12
Momentive Performance Materials Inc. DE 2.02,9.01 11/13/12
MOMENTIVE SPECIALTY CHEMICALS INC. NJ 2.02,9.01 11/13/12
Monarch Investment Properties, Inc. NV 4.01,9.01 11/13/12
MONROE CAPITAL Corp MD 2.03,7.01,9.01 11/12/12
Monster Beverage Corp DE 8.01,9.01 11/13/12
Monster Offers NV 1.01,2.01,3.02,5.01, 11/09/12
5.03,9.01
MRC GLOBAL INC. DE 8.01,9.01 11/12/12
NAKED BRAND GROUP INC. NV 7.01,9.01 11/12/12
NAPCO SECURITY TECHNOLOGIES, INC DE 2.02,9.01 11/12/12
National Interstate CORP OH 8.01,9.01 11/09/12
NATURAL HEALTH TRENDS CORP DE 2.02,9.01 11/13/12
Naugatuck Valley Financial Corp 2.02,4.02 11/06/12
NAVIDEA BIOPHARMACEUTICALS, INC. DE 2.02,9.01 11/13/12
NEKTAR THERAPEUTICS DE 8.01 11/12/12
NETLIST INC DE 2.02,9.01 11/13/12
NEVADA GOLD & CASINOS INC NV 5.02,9.01 11/12/12
NEWPARK RESOURCES INC DE 7.01,9.01 11/13/12
NEWS CORP 8.01,9.01 11/12/12
Northern Tier Energy LP DE 1.01,2.03,8.01,9.01 11/08/12
Northern Tier Energy LP DE 2.02,9.01 11/12/12
Northern Tier Energy LP DE 7.01,9.01 11/13/12
NTELOS HOLDINGS CORP 1.01,2.03,9.01 11/09/12
NUMEREX CORP /PA/ PA 1.01,2.03 11/05/12
NUPATHE INC. DE 7.01,9.01 11/13/12
Nutrastar International Inc. NV 2.02,9.01 11/13/12
Nuveen Global Value Opportunities Fun MA 8.01,9.01 11/13/12
O REILLY AUTOMOTIVE INC 8.01,9.01 11/06/12
Oconee Federal Financial Corp. 5.07,9.01 11/08/12
OFFICE DEPOT INC DE 7.01 11/12/12
OFFICEMAX INC DE 5.02 11/12/12
Oiltanking Partners, L.P. DE 5.02,7.01,9.01 11/06/12
OLD LINE BANCSHARES INC MD 7.01 11/13/12
ONEOK Partners LP DE 1.01,7.01,9.01 11/13/12
ONLINE RESOURCES CORP DE 8.01 11/09/12
ORBIT INTERNATIONAL CORP DE 1.01,1.02,2.03,9.01 11/08/12
Orbitz Worldwide, Inc. DE 5.02 11/07/12
ORIENT EXPRESS HOTELS LTD D0 5.02,8.01,9.01 11/08/12
ORMAT TECHNOLOGIES, INC. DE 7.01,9.01 11/13/12
ORMAT TECHNOLOGIES, INC. DE 1.01,2.03,9.01 11/09/12
ORTHOFIX INTERNATIONAL N V 5.02 11/07/12
OUTDOOR CHANNEL HOLDINGS INC 1.01,5.02 11/07/12
OvaScience, Inc. DE 2.02,9.01 11/13/12
P&F INDUSTRIES INC DE 2.02,9.01 11/13/12
Pacific Ethanol, Inc. DE 2.02,9.01 11/12/12
PACIFIC WEBWORKS INC NV 8.01,9.01 11/13/12
PATHEON INC 2.02,7.01,9.01 11/13/12
PC CONNECTION INC DE 8.01,9.01 11/13/12
PDL BIOPHARMA, INC. DE 7.01,9.01 11/13/12
PEERLESS SYSTEMS CORP DE 5.02 11/07/12
PennyMac Mortgage Investment Trust MD 2.02,5.02,9.01 11/07/12
PFSWEB INC DE 2.02 11/08/12
PFSWEB INC DE 8.01 11/08/12
PG&E Corp CA 7.01,9.01 11/09/12
PHAZAR CORP DE 2.02,9.01 11/09/12
Philip Morris International Inc. VA 8.01,9.01 11/13/12
PICO HOLDINGS INC /NEW CA 2.02 11/09/12
PICO HOLDINGS INC /NEW CA 2.02,9.01 11/13/12 AMEND
PINNACLE AIRLINES CORP DE 1.01 11/12/12
PIONEER ENERGY SERVICES CORP TX 7.01,9.01 11/13/12
PLAINS ALL AMERICAN PIPELINE LP DE 7.01 11/13/12
PLAINSCAPITAL CORP TX 8.01,9.01 11/13/12
PLUG POWER INC DE 2.02,9.01 11/13/12
Polar Petroleum Corp. 1.01,2.01,2.03,3.02, 11/05/12
5.06,8.01,9.01
POLYCOM INC DE 5.03,9.01 11/08/12
POLYMER GROUP INC DE 2.02 11/09/12
POWERSECURE INTERNATIONAL, INC. DE 7.01,9.01 11/09/12
PPL Corp 7.01,9.01 11/07/12
PREMIER BIOMEDICAL INC NV 5.02 11/09/12
Primoris Services Corp DE 2.02,8.01,9.01 11/06/12
PRINCIPAL FINANCIAL GROUP INC DE 1.01,8.01,9.01 11/13/12
PRISTINE SOLUTIONS INC. NV 1.01,2.01,2.02,5.01, 08/23/12
5.02,8.01
PRIVATEBANCORP, INC DE 7.01,9.01 11/13/12
PROTALEX INC DE 8.01,9.01 11/11/12
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 11/11/12
PVH CORP. /DE/ DE 1.01,9.01 11/08/12
PVR PARTNERS, L P DE 1.01,9.01 11/09/12
QKL Stores Inc. DE 2.02,9.01 11/13/12
QUICK-MED TECHNOLOGIES INC 5.02 11/13/12
QUIKSILVER INC DE 8.01,9.01 11/13/12
Rackwise, Inc. NV 8.01 11/09/12
RADIANT LOGISTICS, INC DE 2.02,9.01 11/12/12
Radiation Therapy Services Holdings, DE 2.02,9.01 11/12/12
RadNet, Inc. DE 2.02,9.01 11/09/12
Raider Ventures Inc. NV 5.02 10/30/12
RED MOUNTAIN RESOURCES, INC. FL 3.02 11/06/12
REDWOOD TRUST INC MD 7.01,9.01 11/13/12
REPROS THERAPEUTICS INC. DE 2.02,9.01 11/13/12
REPROS THERAPEUTICS INC. DE 8.01,9.01 11/13/12
REPROS THERAPEUTICS INC. DE 7.01,9.01 11/13/12
RESEARCH FRONTIERS INC DE 7.01,9.01 11/13/12
Resource Capital Corp. MD 7.01,9.01 11/13/12
RESPONSE GENETICS INC 2.02,9.01 11/13/12
RETAIL PROPERTIES OF AMERICA, INC. MD 7.01,9.01 11/13/12
Reven Housing REIT, Inc. CO 2.01,9.01 11/07/12
REX ENERGY CORP DE 1.01,7.01,8.01,9.01 11/12/12
RiceBran Technologies CA 5.02 11/07/12
RICI Linked - PAM Advisors Fund, LLC DE 5.02 10/01/12
RING ENERGY, INC. NV 1.01 11/07/12
RIVER VALLEY BANCORP IN 2.01,9.01 11/09/12
Roadrunner Transportation Systems, In DE 8.01,9.01 11/12/12
ROCHESTER MEDICAL CORPORATION MN 2.02,9.01 11/13/12
ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 7.01,9.01 11/13/12
ROWAN COMPANIES PLC X0 7.01,9.01 11/13/12
S&W Seed Co NV 2.02,9.01 11/13/12
Sabra Health Care REIT, Inc. MD 7.01,9.01 11/13/12
SAFEGUARD SCIENTIFICS INC PA 5.02,9.01 11/12/12
SAJAN INC DE 2.02,9.01 11/12/12
SAKS INC TN 2.02,9.01 11/13/12
SANUWAVE Health, Inc. NV 1.01,1.02,5.02,9.01 11/06/12
SCIENTIFIC LEARNING CORP DE 2.02,5.02,9.01 11/06/12
SCOTTS MIRACLE-GRO CO OH 5.02 11/13/12
SEALED AIR CORP/DE DE 8.01,9.01 11/13/12
SELECT MEDICAL HOLDINGS CORP 1.01 11/06/12
SELECTICA INC DE 5.07 11/07/12
Sentio Healthcare Properties Inc MD 2.01,9.01 08/31/12 AMEND
SERVOTRONICS INC /DE/ DE 2.02,9.01 11/13/12
SEYCHELLE ENVIRONMENTAL TECHNOLOGIES NV 7.01,9.01 11/13/12
SHERWIN WILLIAMS CO OH 1.01,8.01,9.01 11/09/12
Shire plc 8.01,9.01 11/12/12
Shire plc 8.01,9.01 11/13/12
SILICON IMAGE INC DE 1.01 11/09/12
SILVER HILL MINES INC NV 4.01,9.01 11/09/12
SimplePons, Inc. DE 1.01,3.02,5.02 10/22/12
Simplicity Bancorp, Inc. 5.03,9.01 11/13/12
SM Energy Co DE 7.01,9.01 11/09/12
SMTC CORP DE 2.02,9.01 11/08/12
SOAPSTONE NETWORKS INC. DE 8.01 11/13/12
SOTHEBYS DE 2.02,9.01 11/13/12
Southcross Energy Partners, L.P. DE 1.01,2.01,3.02,5.02, 11/07/12
5.03,9.01
SOUTHWEST GAS CORP CA 7.01 11/08/12
SP Bancorp, Inc. MD 2.02,9.01 11/13/12
SPANISH BROADCASTING SYSTEM INC DE 2.02,9.01 11/13/12
SPARK NETWORKS INC DE 2.02,9.01 11/13/12
SPARTAN MOTORS INC MI 8.01,9.01 11/12/12
SPARTON CORP OH 5.02,9.01 11/08/12
SPECTRASCIENCE INC MN 1.01,2.03,3.02,7.01 11/09/12
Spectrum Brands Holdings, Inc. DE 7.01,9.01 11/12/12
SPHERIX INC DE 5.02 11/13/12
SquareTwo Financial Corp DE 2.02,9.01 11/13/12
STAG Industrial, Inc. 1.01,2.03,9.01 11/08/12
State Auto Financial CORP OH 2.02,7.01,9.01 11/06/12
STATE STREET CORP MA 7.01,9.01 11/13/12
Station Casinos LLC NV 2.02,9.01 11/13/12
STELLAR PHARMACEUTICALS INC 7.01,9.01 11/13/12
STERLING CONSTRUCTION CO INC DE 2.02,9.01 11/08/12
STIFEL FINANCIAL CORP DE 7.01,9.01 11/13/12
STONEMOR PARTNERS LP DE 5.02,9.01 11/07/12
STRATEGIC DIAGNOSTICS INC/DE/ DE 2.02,9.01 11/12/12
STRATEGIC HOTELS & RESORTS, INC 1.01,3.03,5.03,8.01, 11/12/12
9.01
Strategic Storage Trust, Inc. MD 4.01,9.01 11/09/12
Summer Infant, Inc. DE 2.02,9.01 11/13/12
Summer Infant, Inc. DE 1.01,2.03,5.02,9.01 11/07/12
Summit Midstream Partners, LP DE 2.02,9.01 11/12/12
SunCoke Energy, Inc. 7.01,9.01 11/13/12
SUNGARD CAPITAL CORP DE 3.03,5.03,8.01,9.01 11/07/12
Sunshine Heart, Inc. DE 2.02,9.01 11/08/12
Sunshine Heart, Inc. DE 5.02,9.01 11/12/12
SUPERCONDUCTOR TECHNOLOGIES INC DE 2.02,9.01 11/13/12
Sutor Technology Group LTD 8.01,9.01 11/09/12
SYNNEX CORP DE 5.02,9.01 11/08/12
Synthetic Biologics, Inc. NV 1.01,9.01 11/08/12
SYNTROLEUM CORP DE 8.01,9.01 11/12/12
TagLikeMe Corp. NV 4.01,9.01 11/05/12
TearLab Corp DE 2.02,9.01 11/13/12
TELULAR CORP DE 2.02,8.01,9.01 11/06/12
TEREX CORP DE 1.01,5.02,8.01,9.01 11/07/12
TG THERAPEUTICS, INC. DE 1.01,3.02,5.02,9.01 11/09/12
THERMOGENESIS CORP DE 2.02,9.01 11/13/12
Thompson Creek Metals CO Inc. A6 7.01,9.01 11/13/12
TIDEWATER INC DE 7.01,9.01 11/06/12
Timberline Resources Corp DE 7.01,9.01 11/12/12
TJX COMPANIES INC /DE/ DE 2.02,9.01 11/13/12
TNP Strategic Retail Trust, Inc. MD 7.01,8.01,9.01 11/09/12
Tonix Pharmaceuticals Holding Corp. NV 8.01,9.01 11/13/12
Tornier N.V. P7 5.02,7.01,9.01 11/12/12
TORTOISE CAPITAL RESOURCES CORP 8.01,9.01 11/12/12
Tower Group, Inc. DE 1.01,9.01 11/08/12
TRANS WORLD CORP NV 8.01 11/12/12
TRANS1 INC 2.02,9.01 11/08/12
Transcept Pharmaceuticals Inc DE 2.02,9.01 11/12/12
Transcept Pharmaceuticals Inc DE 2.02,9.01 11/12/12
TRINITY CAPITAL CORP NM 4.02 11/13/12
TRIUMPH GROUP INC DE 5.02 11/07/12 AMEND
Tronox Ltd C3 2.02,5.02,9.01 11/12/12
TUESDAY MORNING CORP/DE DE 5.02 11/13/12
U S PHYSICAL THERAPY INC /NV NV 7.01,9.01 11/13/12
Ubiquiti Networks, Inc. DE 5.02 11/06/12
UDR, Inc. MD 2.02,9.01 11/13/12
Umami Sustainable Seafood Inc. NV 9.01 07/20/10 AMEND
UMH PROPERTIES, INC. MD 2.02,7.01,9.01 11/13/12
Under Armour, Inc. MD 8.01 11/12/12
UNICO AMERICAN CORP NV 2.02 09/30/12
UNIFI INC NY 7.01,9.01 11/13/12
United Community Bancorp X1 8.01,9.01 11/09/12
UNITED COMMUNITY FINANCIAL CORP OH 2.02,9.01 11/13/12
UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 8.01,9.01 11/12/12
UQM TECHNOLOGIES INC CO 5.02 11/07/12 AMEND
USA Graphite Inc. NV 5.02,8.01 11/08/12
usell.com, Inc. DE 4.02 11/06/12
VALIDUS HOLDINGS LTD 7.01,9.01 11/09/12
Vanity Events Holding, Inc. DE 1.01,5.02,9.01 10/26/12
VENTRUS BIOSCIENCES INC DE 8.01,9.01 11/13/12
VERIZON COMMUNICATIONS INC DE 7.01 11/12/12
VERMILLION, INC. DE 2.02,7.01,9.01 11/12/12
VICON INDUSTRIES INC /NY/ NY 5.02 11/13/12
VISTAPRINT N.V. P7 5.07 11/08/12
VLOV INC. NV 7.01,9.01 11/13/12
Vulcan Materials CO NJ 1.04 11/08/12
VWR Funding, Inc. DE 2.02,7.01 11/13/12
W R GRACE & CO DE 5.02,9.01 11/07/12
W&E Source Corp. DE 4.01,9.01 10/16/12
Walter Energy, Inc. DE 8.01,9.01 11/13/12
Walter Energy, Inc. DE 7.01,8.01,9.01 11/13/12
WARWICK VALLEY TELEPHONE CO NY 2.02,9.01 11/09/12
WAVE SYSTEMS CORP DE 2.02,9.01 11/09/12
Weatherford International Ltd./Switze V8 2.02,2.06,7.01,9.01 11/13/12
WEBSTER FINANCIAL CORP DE 7.01 11/13/12
WEIGHT WATCHERS INTERNATIONAL INC VA 5.02,9.01 11/12/12
WELLCARE HEALTH PLANS, INC. DE 7.01,8.01,9.01 11/12/12
WESBANCO INC WV 7.01,9.01 11/13/12
Wesco Aircraft Holdings, Inc 2.02,9.01 11/13/12
WEST PHARMACEUTICAL SERVICES INC PA 7.01,9.01 11/13/12
WESTERN DIGITAL CORP DE 5.02,5.07,9.01 11/08/12
Western Refining, Inc. DE 7.01,9.01 11/12/12
WNC Housing Tax Credit Fund VI, L.P., CA 2.02,9.01 11/13/12
Woodward, Inc. DE 2.02,9.01 11/13/12
WORTHINGTON ENERGY, INC. NV 4.02 11/12/12
WYNN RESORTS LTD 8.01 11/09/12
Xenith Bankshares, Inc. VA 7.01,9.01 11/13/12
XENOPORT INC DE 1.01,1.02,3.02 11/08/12
XEROX CORP NY 7.01,8.01,9.01 11/13/12
XTREME HEALTHCARE Corp 2.01,3.02,5.06,9.01 11/12/12
Yinfu Gold Corp. WY 1.01,9.01 11/09/12
ZYNGA INC DE 5.02 11/06/12
http://www.sec.gov/news/digest/2012/dig111412.htm
