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Commission AnnouncementsLorraine Echavarria Named Associate Regional Director to Lead Enforcement Program in SEC’s Los Angeles OfficeOn November 20, 2012, the Securities and Exchange Commission announced that Lorraine B. Echavarria has been promoted to lead the Los Angeles Regional Office’s enforcement program as an Associate Regional Director. Ms. Echavarria, who joined the SEC staff in 2000, has served as an Assistant Regional Director for more than five years and has served in the Enforcement Division’s national Municipal Securities and Public Pension Specialized Unit for more than two years. Ms. Echavarria has worked on significant cases throughout her career at the SEC, including the SEC’s first-ever Sarbanes-Oxley Act “clawback” case against an individual required to return bonuses and stock profits while not personally charged for the company’s misconduct. “Lori has great enthusiasm and passion for the work of protecting investors and the financial markets, which has been instrumental in leading her teams to bring challenging cases,” said Michele Wein Layne, Director of the SEC’s Los Angeles Regional Office. “Her demonstrated securities experience combined with her strong leadership skills make her ideally suited to accomplish our shared goal of having a premier enforcement program in our region.” Ms. Echavarria said, “I am deeply honored by this appointment. For 12 years, I have had the privilege to work with the dedicated and talented Los Angeles staff, and I look forward to leading the enforcement program to continued success in protecting the investing public.” Ms. Echavarria fills the Associate Regional Director position vacated by Ms. Layne when she became the Director of the Los Angeles office. Prior to joining the SEC staff, Ms. Echavarria practiced at O’Melveny & Myers LLP in Los Angeles and Greenberg Glusker in Los Angeles. She earned her law degree cum laude from NYU Law School, and her undergraduate degree with highest honors from the University of California at Santa Barbara. (Press Rel. 2012-239) Commission MeetingsClosed Meeting on Thursday, November 29, 2012 at 2:00 p.m.The subject matter of the Closed Meeting will be: a litigation matter; institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. Enforcement ProceedingsCommission Revokes Registration of Securities of Familymeds Group, Inc. for Failure to Make Required Periodic FilingsOn November 21, 2012, the Commission revoked the registration of each class of registered securities of Familymeds Group, Inc. (FMRX) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, FMRX consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Familymeds Group, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of FMRX’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against FMRX in In the Matter of Diomed Holdings, Inc., et al., Administrative Proceeding File No. 3-15047. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Diomed Holdings, Inc., et al., Administrative Proceeding File No. 3-15047, Exchange Act Release No. 67932 (September 27, 2012). (Rel. 34-68278; File No. 3-15047) Weizhan Tang SanctionedWeizhan Tang (Tang) has been barred from association with any investment adviser. The sanction was ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against him. In October 2012, Tang was enjoined from violating the antifraud and registration provisions of the federal securities laws based on his involvement in a Ponzi scheme and other fraudulent schemes. At the time of his violations, Tang, of Toronto, Canada, owned a Texas-based investment adviser. (Rel. IA-3505; File No. 3-15060) District Court Dismisses Action Against Edward S. SteffelinThe Securities and Exchange Commission announced today that it entered into a stipulation to dismiss with prejudice charges against Edward S. Steffelin for his role in the Squared CDO 2007-1 transaction. According to the stipulation, which was approved by the District Court on November 16, 2012, each party shall bear its own costs and expenses, and Steffelin agreed to waive and release the Commission from all claims. The stipulation also expressly provided that it was not intended and shall not be deemed an admission by either party of the merit or lack of merit of the claims and/or defenses asserted by either party. For more information about this enforcement action, see LR-22008 (June 21, 2011). [SEC v. Edward S. Steffelin, 11-Civ.-4204 (Cedarbaum, J.) (S.D.N.Y.)] (LR-22540) Brian Stoker Found Not LiableThe Securities and Exchange Commission (SEC) announced that on July 31, 2012, following a two week trial in the United States District Court for the Southern District of New York, a jury found that former Citigroup Global Markets Inc. employee Brian H. Stoker was not liable for violations of the Federal securities laws related to the issuance of a $1 billion collateralized debt obligation (CDO) called Class V Funding III. The SEC has not appealed the jury’s verdict, and the time for appeal has expired. The SEC originally filed its suit against Stoker on October 19, 2011. The SEC alleged that Citigroup structured and marketed Class V III and exercised significant influence over the selection of $500 million of the assets included in the CDO. Citigroup then took a proprietary short position with respect to those $500 million of assets. The Commission complaint alleged that Citigroup did not disclose to investors the role that it played in the asset selection process or the short position that it took. The SEC further alleged that Stoker was the Citigroup employee primarily responsible for structuring the Class V III transaction. The SEC will continue to pursue its appeal of the District Court’s denial of the proposed settlement with Citigroup in the related matter of Securities and Exchange Commission v. Citigroup Global Markets Inc., 11-Civ.-7387 (Rakoff, J.) (S.D.N.Y. filed Oct. 19, 2011). For further information, please see Litigation Release Number 22134 (October 19, 2011). [SEC v. Brian H. Stoker, 11-Civ.-7388 (S.D.N.Y.)] (LR-22541) OTHER COMMISSION ORDERS, NOTICES, AND INFORMATIONOrder Approving Application for Relief From a Statutory DisqualificationOn November 19, 2012, the Securities Exchange Commission issued an Order, approving the application of the Financial Industry Regulatory Authority, Inc. (“FINRA”), for relief from a statutory disqualification, permitting Gregory L. Bowen to associate as a general securities representative with First Liberties Financial (“First Liberties”), a member of FINRA. The Order states that, based on the representations made by FINRA and First Liberties with respect to the supervision of Mr. Bowen and the conditions placed on his employment, the Commission will not institute proceedings pursuant to Sections 15(b) and 19(h) of the Securities Exchange Act of 1934 (“Exchange Act”), and will not direct FINRA to bar the proposed association, as provided in Section 15A(g)(2) of the Exchange Act. (Release. No. 34-68266) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangesC2 Options Exchange, Incorporated filed a proposed rule change under Rule 19b-4 (SR-C2-2012-038) to address authority to cancel orders when a technical or systems issue occurs and to describe the operation of routing service error accounts. Publication is expected in the Federal Register during the week of November 19. (Rel. 34-68260) Chicago Board Options Exchange, Incorporated filed a proposed rule change under Rule 19b-4 (SR-CBOE-2012-108) to address authority to cancel orders when a technical or systems issue occurs and to describe the operation of routing service error accounts. Publication is expected in the Federal Register during the week of November 19. (Rel. 34-68262) Chicago Board Options Exchange, Incorporated filed a proposed rule change under Rule 19b-4 (SR-CBOE-2012-109) related to CBSX to address authority to cancel orders when a technical or systems issue occurs and to describe the operation of routing service error accounts. Publication is expected in the Federal Register during the week of November 19. (Rel. 34-68265) The Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a proposed rule change (SR-FINRA-2012-050) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to adopt a supplementary schedule for derivatives and other off-balance sheet items pursuant to FINRA Rule 4524 (Supplemental FOCUS Information). Publication is expected in the Federal Register during the week of November 19. (Rel. 34-68270) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NYSE MKT LLC to change the monthly fees for the use of ports (SR-NYSEMKT-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 19. (Rel. 34-68261) NASDAQ OMX PHLX LLC (PHLX) filed a proposed rule change (File No. SR-Phlx-2012-133), under Section 19(b)(1) of the Securities Exchange Act of 1934, which became effective upon filing, as Modified by Amendment No. 1, to amend Rule 3218. Publication is expected in the Federal Register during the week of November 19. (Rel. 34-68267) NASDAQ OMX BX, Inc. (BX) filed a proposed rule change (File No. SR-BX-2012-072), under Section 19(b)(1) of the Securities Exchange Act of 1934, which became effective upon filing, as Modified by Amendment No. 1, to amend Rule 4618. Publication is expected in the Federal Register during the week of November 19. (Rel. 34-68268) National Securities Clearing Corporation filed a proposed rule change (File No. SR-NSCC-2012-09) under Section 19(b)(1) of the Securities Exchange Act of 1934, which became effective upon filing, to modify Addendum A (Fee Structure) of its rules and procedures relating to Fund/SERV® fees. Publication is expected in the Federal Register during the week of November 19. (Rel. 34-68269) 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, December 14, 2012 (SR-NYSE-2012-67) 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 19. (Rel. 34-68271) 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, December 14, 2012 (SR-NYSEMKT-2012-69) 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 19. (Rel. 34-68272) 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-4 First Community Financial Partners, Inc., 2801 BLACK ROAD, JOLIET, IL, 60435, 815-725-0123 - 327,225 ($2,813,762.00) Equity, (File 333-185044 - Nov. 20) (BR. 07) S-1 ONLINE YEARBOOK, 701 N. GREEN VALLEY PKWY #200, HENDERSON, NV, 89074, 702-382-1714 - 2,500,000 ($50,000.00) Equity, (File 333-185046 - Nov. 20) (BR. 11) S-4 PDC ENERGY, INC., 1775 SHERMAN STREET, SUITE 3000, DENVER, CO, 80203, 303-860-5800 - 0 ($500,000,000.00) Debt, (File 333-185047 - Nov. 20) (BR. 04B) S-4 EAGLE ROCK ENERGY PARTNERS L P, THE WEDGE TOWER, 1415 LOUISIANA STREET, SUITE 2700, HOUSTON, TX, 77002, 281-408-1200 - 0 ($250,000,000.00) Debt, (File 333-185048 - Nov. 20) (BR. 04B) F-3 BANK OF NOVA SCOTIA /, 44 KING STREET WEST, SCOTIA PLAZA 8TH FL., TORONTO, A6, M5H 1H1, (416)866-7555 - 0 ($16,000,000,000.00) Unallocated (Universal) Shelf, (File 333-185049 - Nov. 20) (BR. 12A) S-1 EASTGATE ACQUISITIONS CORP, 2681 EAST PARLEYS WAY - SUITE 204, SALT LAKE CITY, UT, 84109, 8013223401 - 472,450 ($47,245.00) Equity, (File 333-185050 - Nov. 20) (BR. 09) S-1 Memorial Production Partners LP, 1301 MCKINNEY, SUITE 2100, HOUSTON, TX, 77010, 713-588-8300 - 0 ($205,000,000.00) Limited Partnership Interests, (File 333-185051 - Nov. 20) (BR. 04A) S-1 NOVELOS THERAPEUTICS, INC., ONE GATEWAY CENTER, SUITE 504, NEWTON, MA, 02458, 617-244-1616 - 0 ($25,000,000.00) Equity, (File 333-185053 - Nov. 20) (BR. 01A) S-3ASR OSHKOSH CORP, 2307 OREGON ST, P O BOX 2566, OSHKOSH, WI, 54903, 920 235 9151 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-185054 - Nov. 20) (BR. 05C) S-3 YADKIN VALLEY FINANCIAL CORP, 209 NORTH BRIDGE STREET, P. O. BOX 888, ELKIN, NC, 28621, (336) 526-6300 - 7,138,389 ($74,358,678.69) Equity, (File 333-185058 - Nov. 20) (BR. 07B) S-8 Derycz Scientific Inc, 1524 CLOVERFIELD BLVD.,, SUITE E, SANTA MONICA,, CA, 90404, 310 477 0354 - 1,500,000 ($1,312,500.00) Equity, (File 333-185059 - Nov. 20) (BR. 02A) S-8 ZBB ENERGY CORP, N93 W14475 WHITTAKER WAY, MENOMONEE FALLS, WI, 53051, 262-253-9800 - 0 ($855,000.00) Equity, (File 333-185063 - Nov. 20) (BR. 02A) S-3 SYNALLOY CORP, 775 SPARTAN BLVD., STE 102, P O BOX 5627, SPARTANBURG, SC, 29304, 864-585-3605 - 0 ($50,000,000.00) Other, (File 333-185064 - Nov. 20) (BR. 06B) S-8 ZBB ENERGY CORP, N93 W14475 WHITTAKER WAY, MENOMONEE FALLS, WI, 53051, 262-253-9800 - 0 ($2,270,000.00) Equity, (File 333-185065 - Nov. 20) (BR. 02A) S-3ASR DCT Industrial Trust Inc., 518 SEVENTEENTH STREET, SUITE 800, ATTENTION: TRACY HOFMEISTER, DENVER, CO, 80202, 3035972400 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-185066 - Nov. 20) (BR. 08C) S-1 ACELRX PHARMACEUTICALS INC, 351 GALVESTON DRIVE, REDWOOD CITY, CA, 94063, 650-216-3500 - 0 ($25,000,000.00) Equity, (File 333-185067 - Nov. 20) (BR. 01B) S-8 NGL Energy Partners LP, 6120 S. YALE, SUITE 805, TULSA, OK, 74136, 918.481.1119 - 0 ($128,310,910.00) Equity, (File 333-185068 - Nov. 20) (BR. 02) S-3 NGL Energy Partners LP, 6120 S. YALE, SUITE 805, TULSA, OK, 74136, 918.481.1119 - 0 ($1,000,000,000.00) Limited Partnership Interests, (File 333-185069 - Nov. 20) (BR. 02) S-3 NEUROCRINE BIOSCIENCES INC, 12780 EL CAMINO REAL, SAN DIEGO, CA, 92130, (858) 617-7600 - 0 ($150,000,000.00) Equity, (File 333-185070 - Nov. 20) (BR. 01B) F-3 POLYMET MINING CORP, 390 - 3600 LYSANDER LANE, RICHMOND, A1, V7B 1C3, 604-248-0939 - 500,000,000 ($500,000,000.00) Equity, (File 333-185071 - Nov. 20) (BR. 09A) S-1 Bonanza Goldfield Corp., 736 E. BRAEBURN DR., PHOENIX, AZ, 85022, 602-488-4958 - 100,000,000 ($3,320,000.00) Equity, (File 333-185072 - Nov. 20) (BR. 09A) S-8 BSB Bancorp, Inc., 2 LEONARD STREET, BELMONT, MA, 02478, (617) 484-6700 - 1,284,200 ($14,716,932.00) Equity, (File 333-185073 - Nov. 20) (BR. 07C) S-4 NBT BANCORP INC, 52 S BROAD ST, NORWICH, NY, 13815, 6073372265 - 10,328,673 ($193,446,248.68) Equity, (File 333-185074 - Nov. 20) (BR. 07B) S-8 IF Bancorp, Inc., 201 E. CHERRY ST, WATSEKA, IL, 60970, (815) 432-2476 - 673,575 ($9,241,449.00) Equity, (File 333-185075 - Nov. 20) (BR. 07C) S-8 RUCKUS WIRELESS INC, 350 WEST JAVA DRIVE, SUNNYVALE, CA, 94089, 650-265-4200 - 32,870,943 ($183,660,176.25) Equity, (File 333-185077 - Nov. 20) (BR. 11C) S-3ASR DCT Industrial Trust Inc., 518 SEVENTEENTH STREET, SUITE 800, ATTENTION: TRACY HOFMEISTER, DENVER, CO, 80202, 3035972400 - 0 ($1.00) Equity, (File 333-185078 - Nov. 20) (BR. 08C) S-3ASR DCT Industrial Trust Inc., 518 SEVENTEENTH STREET, SUITE 800, ATTENTION: TRACY HOFMEISTER, DENVER, CO, 80202, 3035972400 - 0 ($1.00) Equity, (File 333-185079 - Nov. 20) (BR. 08C) S-4 BEAZER HOMES USA INC, 1000 ABERNATHY ROAD, STE 260, ATLANTA, GA, 30328, 7708293700 - 300,000,000 ($300,000,000.00) Debt, (File 333-185080 - Nov. 20) (BR. 06C) 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
-----------------------------------------------------------------------------------------
30DC, INC. MD 7.01,9.01 11/15/12
ABSOLUTE LIFE SOLUTIONS, INC. NV 1.01,8.01,9.01 11/15/12
ACCELERATED ACQUISITIONS XII DE 1.01,5.01,5.02,9.01 07/16/11
ACCELERATED ACQUISITIONS XXI DE 1.01,5.01,5.02,9.01 07/16/11
Adama Technologies Corp DE 5.02,9.01 11/20/12
AFS SenSub Corp. 8.01,9.01 11/20/12
AGILENT TECHNOLOGIES INC DE 5.02,5.03,9.01 11/14/12
AK STEEL HOLDING CORP DE 1.01,2.03,7.01,8.01, 11/14/12
9.01
ALLIANCE DATA SYSTEMS CORP DE 1.01,9.01 11/20/12
Alliance Holdings GP, L.P. DE 7.01,9.01 11/20/12
ALLIANCE RESOURCE PARTNERS LP DE 7.01,9.01 11/20/12
Alpha Natural Resources, Inc. DE 1.01,2.03,9.01 11/14/12
Altra Holdings, Inc. DE 1.01,1.02,2.03,8.01, 11/20/12
9.01
AMBIENT CORP /NY DE 5.02 11/14/12
AMERICAN ELECTRIC POWER CO INC NY 2.06 11/20/12
American Strategic Minerals Corp NV 2.01,3.02,5.02,9.01 11/14/12
American Tire Distributors Holdings, 1.01,2.03,9.01 11/16/12
AMERICAN WOODMARK CORP VA 2.02,9.01 11/20/12
AMERICAS CARMART INC TX 2.02,9.01 11/19/12
Ampio Pharmaceuticals, Inc. DE 7.01,9.01 11/14/12
AMSURG CORP TN 1.01,2.03,9.01 11/20/12
Antero Resources LLC DE 1.01,2.03,9.01 11/14/12
Applied Minerals, Inc. DE 7.01,9.01 11/19/12
Applied Minerals, Inc. DE 5.02,5.03,5.07,7.01, 11/20/12
9.01
ARDEN GROUP INC DE 8.01,9.01 11/20/12
Arlington Asset Investment Corp. VA 8.01 11/20/12
Armada Oil, Inc. NV 1.01,9.01 11/14/12
AROTECH CORP DE 3.01,9.01 11/19/12
ASIA PROPERTIES INC NV 4.01,9.01 05/25/12 AMEND
AspenBio Pharma, Inc. CO 8.01,9.01 11/20/12
ASTRO MED INC /NEW/ RI 2.02,9.01 11/20/12
Atlas Resource Partners, L.P. DE 1.01,7.01,9.01 11/19/12
AV Homes, Inc. DE 1.01,1.02,5.02,9.01 11/19/12
AWG International Water Corp NV 1.01,2.01,3.02,5.01, 07/10/12 AMEND
5.02,5.06,8.01,9.01
BALLY TECHNOLOGIES, INC. NV 5.02,9.01 11/14/12
BEST BUY CO INC MN 2.02,9.01 11/20/12
BIOTIME INC CA 7.01,9.01 11/20/12
BLYTH INC DE 5.02 11/15/12
BOOKS A MILLION INC DE 2.02,9.01 11/19/12
BOYD GAMING CORP NV 1.01,1.02,2.01,2.03, 11/16/12
7.01,9.01
BROWN SHOE CO INC NY 2.02,9.01 11/20/12
Bullfrog Gold Corp. DE 3.02,5.03,9.01 11/19/12
C2C CrowdFunding, Inc. DE 5.02 11/19/12
CABOT MICROELECTRONICS CORP DE 5.02 11/20/12
CACI INTERNATIONAL INC /DE/ DE 5.02,5.07 11/15/12
CAESARS ENTERTAINMENT Corp DE 5.02 11/20/12
CAMERON INTERNATIONAL CORP DE 1.01,9.01 11/14/12
CAMPBELL SOUP CO NJ 2.02,9.01 11/20/12
CANTEL MEDICAL CORP DE 5.02,9.01 11/20/12
Cape Bancorp, Inc. MD 5.02,9.01 11/19/12
CAPITAL CITY BANK GROUP INC FL 5.04,9.01 11/20/12
CAPITOL BANCORP LTD MI 5.02 11/20/12
CARLISLE COMPANIES INC DE 8.01,9.01 11/15/12
CATERPILLAR INC DE 7.01 11/20/12
CC Media Holdings Inc 5.02 11/19/12
Celanese Corp DE 5.02 11/19/12
CENTRAL HUDSON GAS & ELECTRIC CORP NY 8.01,9.01 11/20/12
Ceres, Inc. DE 2.02,9.01 11/20/12
CH ENERGY GROUP INC NY 5.02,5.08,9.01 11/16/12
CHICOS FAS INC FL 2.02,8.01,9.01 11/20/12
China Green Agriculture, Inc. NV 2.02,9.01 11/20/12
CHINA SHEN ZHOU MINING & RESOURCES, I NV 2.02,7.01,9.01 11/14/12
CHINA YIDA HOLDING, CO. 1.01,3.03,5.03,9.01 11/16/12
ChinaNet Online Holdings, Inc. NV 2.02,9.01 11/20/12
CHURCHILL DOWNS INC KY 7.01,9.01 11/20/12
CHYRON CORP NY 5.02,9.01 11/19/12
CIRCLE STAR ENERGY CORP. NV 7.01,9.01 11/20/12
CIRRUS LOGIC INC DE 8.01,9.01 11/20/12
Citi Trends Inc 2.02,9.01 11/20/12
CLEAR CHANNEL COMMUNICATIONS INC TX 5.02 11/19/12
COLLECTORS UNIVERSE INC DE 5.07 11/19/12
Community Bankers Trust Corp DE 8.01,9.01 11/15/12
Computer Vision Systems Laboratories FL 5.02,9.01 11/15/12
Copano Energy, L.L.C. 5.02,9.01 11/14/12
CORINTHIAN COLLEGES INC 5.07 11/14/12
COURIER Corp MA 2.02,5.03,8.01,9.01 11/15/12
COVENANT TRANSPORTATION GROUP INC NV 5.02 11/15/12
COVENTRY HEALTH CARE INC DE 5.02,9.01 11/14/12
CRACKER BARREL OLD COUNTRY STORE, INC 5.07 11/15/12
Crestwood Midstream Partners LP DE 1.01,2.03,9.01 11/16/12
CROSSTEX ENERGY INC DE 7.01,9.01 11/20/12
CROSSTEX ENERGY INC DE 7.01,9.01 11/20/12
CROSSTEX ENERGY LP DE 7.01,9.01 11/20/12
CROSSTEX ENERGY LP DE 7.01,9.01 11/20/12
CTS CORP IN 5.02,9.01 11/20/12
Cyalume Technologies Holdings, Inc. DE 2.02,9.01 11/14/12
CYTODYN INC CO 5.02 11/19/12
DAKTRONICS INC /SD/ SD 2.02,9.01 11/20/12
DC BRANDS INTERNATIONAL INC CO 5.02 11/19/12
DCP Midstream Partners, LP DE 1.01,7.01,9.01 11/19/12
DCT Industrial Trust Inc. MD 8.01,9.01 11/20/12
DCT Industrial Trust Inc. MD 8.01,9.01 11/20/12
dELiAs, Inc. DE 2.02,9.01 11/20/12
Digital Development Partners, Inc. NV 4.01,9.01 11/14/12
DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 1.02,2.01,3.01,3.02, 11/19/12
3.03,5.01,5.02,5.03,
9.01
DORAL FINANCIAL CORP PR 5.05 11/15/12
Dr Pepper Snapple Group, Inc. DE 1.01,2.03,9.01 11/20/12
DSW Inc. OH 2.02,9.01 11/20/12
DUNE ENERGY INC DE 5.02,9.01 11/14/12
DYCOM INDUSTRIES INC FL 8.01,9.01 11/19/12
DYCOM INDUSTRIES INC FL 2.02,7.01,9.01 11/19/12
DYNAMIC MATERIALS CORP DE 5.02 11/15/12
E-Debit Global Corp. CO 8.01,9.01 11/20/12
EastBridge Investment Group Corp AZ 1.01,8.01,9.01 11/13/12
EATON VANCE CORP MD 2.02,9.01 10/31/12
EL CAPITAN PRECIOUS METALS INC NV 2.02,8.01,9.01 11/20/12
ELECTRONIC SYSTEMS TECHNOLOGY INC WA 2.02,5.02,9.01 11/13/12
EMERSON ELECTRIC CO MO 7.01 11/20/12
EMULEX CORP /DE/ DE 5.02,5.07,9.01 11/20/12
Energy Recovery, Inc. DE 8.01,9.01 11/20/12
ESP Resources, Inc. NV 2.03 11/14/12
EUROSITE POWER INC 5.02 11/20/12
FASTENAL CO MN 7.01,9.01 11/20/12
FAUQUIER BANKSHARES, INC. VA 8.01,9.01 11/16/12
FBL FINANCIAL GROUP INC IA 5.02 11/15/12
Federal Home Loan Bank of Atlanta X1 2.03 11/14/12
Federal Home Loan Bank of Boston X1 2.03 11/14/12
Federal Home Loan Bank of Chicago X1 2.03 11/14/12
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 11/14/12
Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/16/12
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/20/12
Federal Home Loan Bank of New York X1 2.03,9.01 11/16/12
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/14/12
Federal Home Loan Bank of San Francis X1 2.03 11/15/12
Federal Home Loan Bank of Topeka 2.03,9.01 11/14/12
FERRELLGAS PARTNERS L P DE 7.01 11/20/12
FIRST FEDERAL BANCSHARES OF ARKANSAS AR 5.02 11/16/12
FIRST INDUSTRIAL REALTY TRUST INC MD 8.01,9.01 11/20/12
First Savings Financial Group Inc 2.02,8.01,9.01 11/16/12
FLEXIBLE SOLUTIONS INTERNATIONAL INC NV 2.02,7.01,9.01 11/14/12
FLORIDA POWER CORP FL 8.01,9.01 11/20/12
FOSTER L B CO PA 3.03,9.01 11/20/12
FREDS INC TN 2.02,9.01 11/20/12
GBS Enterprises Inc NV 1.01,8.01,9.01 11/14/12
GelTech Solutions, Inc. DE 5.02 11/14/12
General Moly, Inc DE 8.01,9.01 11/19/12
GENUINE PARTS CO GA 8.01,9.01 11/20/12
GLOBAL PARTNERS LP 1.01,2.03,9.01 11/14/12
GOLDEN QUEEN MINING CO LTD A1 3.02 11/16/12
GRAFTECH INTERNATIONAL LTD DE 1.01,2.03,8.01,9.01 11/20/12
GRAPHIC PACKAGING HOLDING CO DE 8.01,9.01 11/16/12
Graystone Co DE 3.02 11/20/12
GREAT WALL BUILDERS LTD. TX 5.02 11/06/12
GREEN MOUNTAIN COFFEE ROASTERS INC DE 5.02,9.01 11/16/12
GreenHunter Energy, Inc. DE 2.02,7.01,9.01 11/19/12
GYRODYNE CO OF AMERICA INC NY 7.01,9.01 11/19/12
GYSAN HOLDINGS, INC. NV 1.01,9.01 11/20/12 AMEND
HALLADOR ENERGY CO CO 8.01 11/19/12
HASTINGS ENTERTAINMENT INC TX 2.02,9.01 11/19/12
HeartWare International, Inc. DE 8.01,9.01 11/20/12
HEINZ H J CO PA 2.02,9.01 11/20/12
HERTZ GLOBAL HOLDINGS INC 2.01,7.01,8.01,9.01 11/19/12
HEWLETT PACKARD CO DE 2.02,8.01,9.01 11/20/12
HIBBETT SPORTS INC 8.01 11/20/12
HomeStreet, Inc. WA 7.01,9.01 11/20/12
HOOPER HOLMES INC NY 2.02,9.01 11/16/12
HORMEL FOODS CORP /DE/ DE 2.02,9.01 11/20/12
HUTTIG BUILDING PRODUCTS INC DE 8.01,9.01 11/20/12
ICON LEASING FUND TWELVE, LLC DE 7.01,9.01 11/20/12
Iconic Brands, Inc. NV 4.01,9.01 11/07/12 AMEND
IEC ELECTRONICS CORP DE 2.02,9.01 11/20/12
INDUSTRIAL SERVICES OF AMERICA INC /F FL 1.01,2.03,9.01 11/14/12
INERGY L P DE 2.02,7.01,9.01 11/20/12
INERGY MIDSTREAM, L.P. 1.01,2.02,2.03,7.01, 11/16/12
9.01
Inland American Real Estate Trust, In MD 7.01,9.01 11/20/12
Innovaro, Inc. 1.01,2.01,9.01 09/12/12 AMEND
INTEGRATED DEVICE TECHNOLOGY INC DE 8.01 11/16/12
INTER PARFUMS INC DE 2.02 11/20/12
INTERNATIONAL GAME TECHNOLOGY NV 8.01,9.01 11/20/12
INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01,9.01 11/20/12
INTEVAC INC CA 5.02,9.01 11/16/12
INTL FCSTONE INC. DE 7.01 11/15/12
JDS UNIPHASE CORP /CA/ DE 5.07,7.01 11/14/12
JOE'S JEANS INC. DE 5.02,5.07 11/14/12
JTH Holding, Inc. DE 5.07 11/16/12
KEMPER Corp DE 8.01,9.01 11/20/12
KRANEM CORP CO 4.01,9.01 11/20/12 AMEND
L 3 COMMUNICATIONS HOLDINGS INC DE 8.01,9.01 11/20/12
LANCASTER COLONY CORP OH 5.07 11/19/12
LAS VEGAS RAILWAY EXPRESS, INC. DE 1.01 11/15/12
LEAPFROG ENTERPRISES INC 5.03,9.01 11/14/12
LEAR CORP DE 5.02,5.05,8.01,9.01 11/14/12
LEGACY RESERVES LP DE 1.01,2.03,8.01,9.01 11/19/12
LENCO MOBILE INC. DE 2.02,9.01 11/16/12
LENNOX INTERNATIONAL INC DE 1.01,2.03,9.01 11/16/12
LIBERTY SILVER CORP NV 8.01,9.01 11/20/12
Live Event Media, Inc. NV 5.03,5.07,9.01 11/19/12
MACK CALI REALTY CORP MD 1.01,9.01 11/20/12
Macy's, Inc. DE 2.03,9.01 11/14/12
MANPOWER INC /WI/ WI 5.02,5.03,9.01 11/15/12
MATRIX SERVICE CO DE 5.02,5.07,9.01 11/15/12
MATTEL INC /DE/ DE 8.01 11/19/12
Max Sound Corp DE 1.01,9.01 11/15/12
MBIA INC CT 8.01 11/19/12
MBIA INC CT 8.01,9.01 11/20/12
MDU RESOURCES GROUP INC DE 5.02,9.01 11/14/12
MDU RESOURCES GROUP INC DE 5.02 08/16/12 AMEND
MEDIA GENERAL INC VA 5.03 11/19/12
Medical Care Technologies Inc. NV 7.01,9.01 11/20/12
MEDISAFE 1 TECHNOLOGIES CORP DE 1.01,9.01 11/15/12
MEDTRONIC INC MN 2.02,9.01 11/20/12
Meetinghouse Bancorp, Inc. MD 5.02,8.01,9.01 11/19/12
Memorial Production Partners LP DE 1.01,7.01,9.01 11/19/12
Memorial Production Partners LP DE 8.01,9.01 11/19/12
MEMSIC Inc 7.01,9.01 11/20/12
MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 11/15/12
Mesa Energy Holdings, Inc. DE 1.01,9.01 11/14/12
MESABI TRUST NY 8.01 11/19/12
MIDSOUTH BANCORP INC LA 7.01,9.01 11/20/12
MIPS TECHNOLOGIES INC DE 8.01,9.01 11/19/12
Momentive Performance Materials Inc. DE 1.01,1.02,2.03,9.01 11/16/12
MULTIMEDIA GAMES HOLDING COMPANY, INC TX 8.01 11/20/12
National American University Holdings DE 7.01,9.01 11/19/12
NATIONAL BANCSHARES CORP /OH/ OH 2.02,9.01 11/20/12
NATIONAL FINANCIAL PARTNERS CORP 5.02 11/16/12
National Interstate CORP OH 1.01,1.02,2.03,9.01 11/19/12
NATIONAL OILWELL VARCO INC DE 1.01,9.01 11/15/12
NEW JERSEY RESOURCES CORP NJ 7.01 11/19/12
NGL Energy Partners LP DE 8.01,9.01 11/20/12
NORTHERN TECHNOLOGIES INTERNATIONAL C DE 2.02,9.01 11/20/12
NORTHROP GRUMMAN CORP /DE/ 5.02,9.01 11/16/12
NTS REALTY HOLDINGS LP DE 8.01,9.01 11/20/12
Opexa Therapeutics, Inc. TX 5.07 11/15/12
OptimizeRx Corp NV 2.02,9.01 11/16/12
Orchids Paper Products CO /DE DE 8.01,9.01 11/14/12
Oritani Financial Corp DE 7.01,9.01 11/20/12
Oritani Financial Corp DE 8.01,9.01 11/20/12
Oritani Financial Corp DE 5.07,9.01 11/20/12
Pacific Coast Oil Trust DE 2.02,9.01 11/20/12
Patriot Coal CORP DE 1.01,9.01 11/15/12
PATTERSON COMPANIES, INC. MN 2.02,9.01 11/20/12
PENN TREATY AMERICAN CORP PA 8.01,9.01 10/26/12
PENTAIR LTD V8 8.01,9.01 11/19/12
Pernix Group, Inc. 5.02 11/15/12
PERVASIP CORP NY 1.01,3.02,9.01 11/08/12
PG&E Corp CA 8.01 11/19/12
PHOENIX COMPANIES INC/DE DE 2.02,9.01 11/20/12
PLANAR SYSTEMS INC OR 1.01,2.02,9.01 11/16/12
PMC SIERRA INC DE 5.02,9.01 11/16/12
PPLUS Trust Series GSC-2 DE 8.01,9.01 11/15/12
PRECISION CASTPARTS CORP OR 8.01,9.01 11/20/12
PREMIER ALLIANCE GROUP, INC. NV 3.02 11/16/12
Primoris Services Corp DE 1.01,2.01,9.01 11/19/12
PROSPECT GLOBAL RESOURCES INC. NV 1.01,9.01 11/18/12
PUBLIX SUPER MARKETS INC FL 5.02,5.03,9.01 11/14/12
QAD INC DE 2.02,9.01 11/20/12
QUALITY DISTRIBUTION INC FL 7.01,8.01,9.01 11/20/12
RAINMAKER SYSTEMS INC DE 5.02,9.01 11/17/12
RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 11/20/12
RCM TECHNOLOGIES INC NV 5.02,9.01 11/16/12
Resource Capital Corp. MD 1.01,1.02,5.03,9.01 11/16/12
RIMAGE CORP MN 5.02,8.01,9.01 11/19/12
ROYAL GOLD INC DE 5.07 11/14/12
RUCKUS WIRELESS INC DE 5.03,9.01 11/20/12
RURBAN FINANCIAL CORP OH 8.01 11/15/12
SAFECODE DRUG TECHNOLOGIES CORP. DE 1.01,9.01 11/19/12
SAFEGUARD SCIENTIFICS INC PA 1.01,2.03,3.02,8.01, 11/14/12
9.01
SALESFORCE COM INC DE 2.02,9.01 11/20/12
SANDRIDGE ENERGY INC DE 1.01,3.03,5.03,7.01, 11/19/12
9.01
SCHIFF NUTRITION INTERNATIONAL, INC. DE 8.01,9.01 11/19/12
SCHOOL SPECIALTY INC WI 2.02,9.01 11/20/12
Scripps Networks Interactive, Inc. OH 5.02,9.01 11/14/12
Scripps Networks Interactive, Inc. OH 5.02,9.01 11/14/12
SERVICEMASTER CO DE 5.02 11/18/12
SERVOTRONICS INC /DE/ DE 7.01,9.01 11/19/12
Shire plc 8.01,9.01 11/16/12
Shire plc 8.01,9.01 11/20/12
SIGNET JEWELERS LTD 2.02,9.01 11/20/12
SIMULATIONS PLUS INC 8.01,9.01 11/19/12
SKYWORKS SOLUTIONS, INC. DE 5.02,7.01,9.01 11/20/12
SPECTRUM PHARMACEUTICALS INC DE 9.01 09/04/12 AMEND
SPRINT NEXTEL CORP KS 5.02,8.01,9.01 11/16/12
Sputnik Enterprises, Inc NV 1.01,9.01 11/19/12
STATE STREET CORP MA 5.02 11/20/12
STRATEGIC HOTELS & RESORTS, INC 5.02,9.01 11/02/12 AMEND
SUN RIVER ENERGY, INC CO 3.03,5.03,9.01 11/16/12
SunCoke Energy, Inc. 8.01,9.01 11/20/12
SUTRON CORP VA 2.02,9.01 11/14/12
TAIWAN FUND INC DE 7.01,9.01 10/31/12
TAYLOR CAPITAL GROUP INC DE 1.01,3.03,5.03,8.01, 11/15/12
9.01
TD AMERITRADE HOLDING CORP DE 5.02,9.01 11/15/12
TECH DATA CORP FL 2.02,9.01 11/20/12
TEL OFFSHORE TRUST TX 8.01,9.01 11/20/12
TELKONET INC UT 5.07 11/19/12
TELLABS INC DE 8.01,9.01 11/19/12
Texas Gulf Energy Inc NV 8.01 11/19/12
TEXTRON INC DE 8.01 11/16/12
Thompson Creek Metals CO Inc. A6 1.01,9.01 11/16/12
THQ INC DE 1.01,2.03,5.02,8.01, 11/19/12
9.01
TIDEWATER INC DE 8.01,9.01 11/16/12
TILLY'S, INC. DE 2.02,9.01 11/20/12
TITANIUM METALS CORP DE 7.01,9.01 11/20/12
Towers Watson & Co. DE 5.07 11/16/12
TRIO TECH INTERNATIONAL CA 2.02,9.01 11/19/12
TRUSTCO BANK CORP N Y NY 8.01,9.01 11/20/12
TRX INC/GA GA 5.02 11/15/12
UNION PACIFIC CORP UT 7.01 11/16/12
UNITED REFINING CO PA 8.01,9.01 11/19/12
UniTek Global Services, Inc. DE 7.01,9.01 11/20/12
UNITY BANCORP INC /NJ/ NJ 8.01 11/20/12
Universal Business Payment Solutions DE 1.01,8.01,9.01 11/19/12
UNIVERSAL TECH CORP DE 5.02,9.01 11/16/12
URBAN OUTFITTERS INC PA 2.02,9.01 11/19/12
US GEOTHERMAL INC DE 8.01,9.01 11/20/12
USA Graphite Inc. NV 1.01,2.03,3.02,9.01 11/19/12
VALSPAR CORP DE 2.02,9.01 11/20/12
VANGUARD HEALTH SYSTEMS INC DE 5.07 11/20/12
VECTOR GROUP LTD DE 1.01,7.01,9.01 11/20/12
VistaGen Therapeutics, Inc. NV 1.01,1.02,3.02,9.01 11/14/12
Vuzix Corp DE 5.02,9.01 11/16/12
WELLCARE HEALTH PLANS, INC. DE 5.02 11/15/12
WELLS FARGO & COMPANY/MN DE 5.03,9.01 11/19/12
Western Asset Mortgage Capital Corp DE 8.01,9.01 11/19/12
WESTERN CAPITAL RESOURCES, INC. MN 1.01 11/14/12
White River Capital Inc IN 5.02,9.01 11/15/12
WHOLE FOODS MARKET INC TX 8.01,9.01 11/15/12
WIDEPOINT CORP DE 2.02,9.01 11/14/12
WORLD ACCEPTANCE CORP SC 1.01,2.03,8.01,9.01 11/19/12
WORLD FUEL SERVICES CORP FL 7.01,9.01 11/20/12
YORK WATER CO PA 8.01 11/20/12
ZALE CORP DE 2.02,9.01 11/20/12
ZIONS BANCORPORATION /UT/ UT 9.01 11/20/12
http://www.sec.gov/news/digest/2012/dig112112.htm
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