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Commission announcementsSecurities and Exchange Commission Suspends Trading in the Securities of Four Issuers for Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on June 14, 2011 and terminating at 11:59 p.m. EDT on June 27, 2011.
The Commission temporarily suspended trading in the securities of these four issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-64660) Securities and Exchange Commission Suspends Trading in the Securities of Eight Issuers for Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on June 14, 2011 and terminating at 11:59 p.m. EDT on June 27, 2011.
The Commission temporarily suspended trading in the securities of these eight issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-64663) Rules and related mattersDelegation of Authority to the Director of the Division of EnforcementThe United States Securities and Exchange Commission announced the issuance of a Final Rule to delegate authority to the Director of the Division of Enforcement to issue witness immunity orders to compel individuals to give testimony or provide other information. The final rule is effective upon publication in the Federal Register for a period of 18 months, at the end of which the Commission will evaluate whether to extend the delegation. (Rel. 34-64649) Enforcement proceedingsIn the Matter of Diversified Investors Corp.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Four Respondents (Default Order) in Diversified Investors Corp., Admin. Proc. No. 3-14376. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registrations of each class of registered securities of Drew Resources, Inc. (n/k/a Galloway Energy, Inc.), DTI Medical Corp., DTLL, Inc. (n/k/a Solstice Resorts, Inc.), and Dunn’s Supply Store, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934. The proceeding has ended as to Respondent Diversified Investors Corp. (n/k/a Diverse Holdings Corp.). See Diversified Investors Corp., Exchange Act Release No. 64641 (June 10, 2011). (Rel. 34-64658; File No. 3-14376) In the Matter of Davin Computer Corp.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) as to Seven Respondents, in Davin Computer Corp., Admin. Proc. No. 3-14375. The Order Instituting Proceedings alleged that eight Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registrations of each class of registered securities of Davin Computer Corp., Debbie Reynolds Hotel & Casino, Inc., Dentlcare Management, Inc., Desert West Marketing, Inc., Designer & Decorator House, Inc. (n/k/a Designer & Decorator House, LLC), Digital Music Creations, Inc., and DotCom Visions, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934. The proceeding has ended as to Respondent Diamond Hitts Production, Inc. See Davin Computer Corp., Exchange Act Release No. 64443 (May 9, 2011). (Rel. 34-64659; File No. 3-14375) Commission Orders Hearings on Registration Suspension or Revocation Against Four Companies for Failure to Make Required Periodic FilingsIn conjunction with today’s trading suspension, the Commission 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 four companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the four 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. 34-64661; File No. 3-14422) Commission Revokes Registration of Securities of Ness Energy International, Inc. for Failure to Make Required Periodic FilingsOn June 14, 2011, the Commission revoked the registration of each class of registered securities of Ness Energy International, Inc. (NESS) 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, NESS 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 Ness Energy International, 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 NESS’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against NESS in In the Matter of American Resource Technologies, Inc., et al., Administrative Proceeding File No. 3-14378. 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 American Resource Technologies, Inc., et al., Administrative Proceeding File No. 3-14378, Exchange Act Release No. 64460 (May 11, 2011). (Rel. 34-64662; File No. 3-14378) Commission Orders Hearings on Registration Suspension or Revocation Against Eight Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted separate 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 eight companies for failure to make required periodic filings with the Commission:
In the Order, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission. In these proceedings, 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 or 13a-16 thereunder, are true. The judge in the proceedings 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 the proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64664; File No. 3-14423) SEC Settles Fraud Charges Against Former Chairman and CEO of U.S. Technologies, Inc.On June 13, 2011, the U.S. District Court for the District of Columbia entered a final judgment against C. Gregory Earls, the former chairman and CEO of U.S. Technologies, Inc., in SEC v. U.S. Technologies, Inc. and C. Gregory Earls, C.A. No. 02-2495 (JR) (D.D.C.). Without admitting or denying the allegations in the Commission’s complaint, Earls consented to the entry of a final judgment which imposes injunctive relief and prohibits him from serving as an officer or director of a public company for a period of 20 years. The Commission agreed to forego its claims for disgorgement and civil penalties in light of the judgment against Earls in a parallel criminal case in which he was sentenced to over 10 years in prison and ordered to pay nearly $22 million in restitution. The Commission’s complaint alleged that from June 1998 through August 2002, Earls misappropriated approximately $13.8 million from investors who believed they were giving Earls money to purchase preferred stock and warrants from U.S. Technologies, Inc. (“UST”). According to the complaint, Earls carried out this scheme through a limited liability company he created called USV Partners LLC. The complaint alleged that Earls falsely told investors in USV Partners that the entity was created solely to purchase and hold UST stock and warrants, and that he would not take any management fees. According to the complaint, Earls lured more than one hundred investors into giving him more than $20 million to purchase UST stock and warrants through USV Partners. As alleged in the complaint, although UST badly needed the capital infusion, only a portion of the $20 million received from USV Partners investors was used to purchase UST stock and warrants. The complaint alleged that Earls misappropriated $13.8 million of investors’ money by paying himself $4.7 million in management fees and $9.1 million that he falsely classified as “Legal and Accounting” expenses. The final judgment against Earls: (i) permanently enjoins him from violating Section 17(a) of the Securities Act of 1933; Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 and Rules 10b-5 and 13b2-1 thereunder; and from aiding and abetting violations of Exchange Act Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) and Rules 12b-20, 13a-1, 13a-11, and 13a-13 thereunder; and (ii) bars him from serving as an officer or director of a public company for a period of 20 years. In a parallel criminal action, U.S. v. Earls, 1:03-CR-00364 (NRB) (S.D.N.Y.), Earls was previously convicted of 22 counts of criminal securities fraud, mail fraud and wire fraud, and was ordered to pay restitution of $21,971,628 and to serve a prison term of 125 months, followed by 3 years of supervised release. This final judgment against Earls concludes the case. The other defendant, U.S. Technologies, Inc., previously consented to a final judgment ordering injunctive relief and, in a related administrative proceeding, a Commission order deregistering the company’s stock. For further information regarding this case, see Litigation Release No. 17904 (Dec. 19, 2002); Litigation Release No. 18031 (March 12, 2003); and Litigation Release No. 18857 (Aug. 26, 2004). [SEC v U.S. Technologies, Inc. and C. Gregory Earls, C.A. No. 02-2495 (JR) (D.D.C.)] (LR-21998) Former Lanexa Management Managing Director Thomas C. Hardin Settles SEC Insider Trading ChargesThe Securities and Exchange Commission announced today that on April 25, 2011, The Honorable Richard J. Sullivan of the United States District Court for the Southern District of New York, entered a judgment against Thomas C. Hardin in SEC v. Lanexa Management LLC and Thomas C. Hardin, 10-CV-8599, an insider trading case the SEC filed on Nov. 12, 2010. The SEC charged Hardin, who was a managing director at the New York-based hedge fund investment advisor Lanexa Management LLC during the relevant time period, with using inside information to trade ahead of the Sept. 28, 2007 announced acquisition of 3Com Corp. In its complaint, the SEC alleged that Arthur Cutillo and Brien Santarlas, two former attorneys with the international law firm of Ropes & Gray LLP, misappropriated from their law firm material, nonpublic information concerning the acquisition of 3Com, and tipped the inside information, through another attorney, to Zvi Goffer, a former proprietary trader at Schottenfeld Group LLC, in exchange for kickbacks. The SEC further alleged that Goffer tipped the inside information to Gautham Shankar, a fellow proprietary trader at Schottenfeld, who then tipped Hardin. As alleged in the complaint, Hardin then traded in the securities of 3Com on behalf of a Lanexa Management hedge fund. To settle the SEC’s charges, Hardin consented to the entry of a judgment that: (i) permanently enjoins him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; and (ii) orders him to pay disgorgement of $19,310 plus $2,426 in prejudgment interest. The judgment further provides that upon motion by the SEC, the Court later will determine issues relating to a civil penalty. In a related SEC administrative proceeding, Hardin consented to the entry of an SEC order barring him from association with any investment adviser, broker, dealer, municipal securities dealer, or transfer agent. Hardin previously pled guilty to charges of securities fraud and conspiracy to commit securities fraud in a related criminal case, United States v. Thomas Hardin, 10-CR-399 (S.D.N.Y.), and is awaiting sentencing. The SEC also announced today the entry of a judgment against Hardin in a separate case alleging insider trading in other securities. See SEC v. Thomas C. Hardin, No. 10-CIV-8600 (S.D.N.Y.) (JSR). [SEC v. Lanexa Management LLC and Thomas C. Hardin, Civil Action No. 10-CV-8599 (S.D.N.Y.) (RJS)] (LR-21999) In the Matter of Thomas C. HardinThe Securities and Exchange Commission announced today that, on June 6, 2011, The Honorable Jed S. Rakoff of the United States District Court for the Southern District of New York entered a judgment against Thomas C. Hardin in SEC v. Thomas C. Hardin, 10-CV-8600, an insider trading case the SEC filed on Nov. 12, 2010. The SEC charged Hardin, who was a managing director at the New York-based hedge fund investment advisor Lanexa Management LLC during the relevant time period, with insider trading in the securities of Hilton Hotels Corp., Google, Inc., and Kronos Inc. Hardin traded based on material nonpublic information concerning takeovers of Hilton and Kronos and a Google quarterly earnings announcement that Hardin received from Roomy Khan, an individual investor who had, herself, received such information from various inside sources. The Complaint alleged that Khan tipped Hardin to material nonpublic information she received from Deep Shah, a Moody’s rating agency analyst, about an impending takeover of Hilton by The Blackstone Group. Hardin traded on the information on behalf of Lanexa and also passed the information to others. In addition, Khan tipped Hardin to material nonpublic information about Google’s Q2 2007 earnings that she received from Shammara Hussain, an employee at Market Street Partners, an investor relations consulting firm that did work for Google. Hardin traded on the information on behalf of Lanexa and also tipped others. Further, Khan also tipped Hardin to material nonpublic information about the impending acquisition of Kronos Inc. by Hellman & Friedman that she received from Shah, who had first received the information from Shah’s friend. Hardin traded on the information on behalf of Lanexa and also tipped others. To settle the SEC’s charges, Hardin consented to the entry of a judgment that: (i) permanently enjoins him from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; and (ii) orders him to pay disgorgement of $33,321.95 plus $6,749.09 in prejudgment interest. The judgment further provides that the Court later will determine issues relating to a civil penalty. In a related SEC administrative proceeding, Hardin consented to the entry of an SEC order barring him from association with any investment adviser, broker, dealer, municipal securities dealer, or transfer agent. Hardin previously pled guilty to charges of securities fraud and conspiracy to commit securities fraud in a related criminal case, United States v. Thomas Hardin, 10-CR-399 (S.D.N.Y.), and is awaiting sentencing. The SEC also announced today the entry of a judgment against Hardin in a separate case alleging insider trading in other securities. See SEC v. Lanexa Management LLC and Thomas C. Hardin, Civil Action No. 10-CV-8599 (S.D.N.Y.) (RJS). [SEC v. Thomas C. Hardin, Civil Action No. 10-CV-8600 (S.D.N.Y.) (JSR)] (LR-22000); Administrative Proceeding – Rel. IA-3214; File No. 3-14424) Investment company act releasesCOUNTRY Investors Life Assurance Company, et al.A notice has been issued giving interested persons until July 5, 2011 to request a hearing on an application filed by COUNTRY Investors Life Assurance Company, et al. requesting an order pursuant to Section 26(c) of the Investment Company Act to permit the substitution of shares of certain registered management investment companies with shares of certain other registered management investment companies. (Rel. IC-29691 – June 9) Precidian ETFs Trust, et al.A notice has been issued giving interested persons until June 30, 2011, to request a hearing on an application filed by Precidian ETFs Trust (fka NEXT ETFs Trust), et al., for an order to permit: (a) series of certain open-end management investment companies or series thereof to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-29692 – June 9) Allianz Life Insurance Company of North America, et al.A notice has been issued giving interested persons until July 5, 2011, to request a hearing on an application filed by Allianz Life Insurance Company of North America (Allianz Life) and Allianz Life Insurance Company of New York (Allianz NY) (together, the “Insurance Company Applicants”), their respective separate accounts Allianz Life Variable Account A (Allianz Account A), Allianz Life Variable Account B (Allianz Account B), and Allianz Life of NY Variable Account C (Allianz Account C) (collectively with the Insurance Company Applicants, the “Applicants”), and PIMCO Equity Series VIT (collectively with the Applicants, the “Section 17 Applicants”). The Applicants seek an order pursuant to Section 26(c) of the Act, approving the substitution of the securities of the PIMCO EqS Pathfinder Portfolio for the securities of the Mutual Global Discovery Securities Fund (Substitution) held by Allianz Account A, Allianz Account B, or Allianz Account C to support certain individual variable annuity contracts and variable life insurance contracts issued by Allianz Life and Allianz NY. The Section 17 Applicants seek an order pursuant to Section 17(b) of the Act exempting them from Section 17(a) of the Act to the extent necessary to permit them to engage in certain in-kind transactions in connection with the Substitution. (Rel. IC-29693 – June 10) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX PHLX to amend its fee schedule regarding fees assessed for the installation of certain co-location services (SR-Phlx-2011-77) 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 June 13. (Rel. 34-64629) A proposed rule change filed by The NASDAQ Stock Market (SR-NASDAQ-2011-075) regarding BONOSM and ITTO market data 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 June 13. (Rel. 34-64652) A proposed rule change filed by NYSE Amex (SR-NYSEAmex-2011-37) amending the NYSE Amex Options Fee Schedule to establish a new fee designed to encourage efficient use of bandwidth by ATP Firms and to rename a related existing fee 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 June 13. (Rel. 34-64655) A proposed rule change filed by NYSE Amex (SR-NYSEAmex-2011-36) amending the NYSE Amex Options Fee Schedule to adopt a monthly fee cap and related service fee for all Member firm proprietary transactions executed in open outcry and to increase both the existing monthly fee cap and a related trading volume threshold applicable to market makers 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 June 13. (Rel. 34-64656) Proposed Rule ChangeThe Chicago Board Options Exchange filed a proposed rule change (SR-CBOE-2011-039), pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, to trade single stock dividend options. Publication is expected in the Federal Register during the week of June 13. (Rel. 34-64654) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-1 T3 Motion, Inc., 2990 AIRWAY AVENUE, SUITE A, COSTA MESA, CA, 92626,
714-619-3600 - 0 ($37,898,836.00) Equity, (File 333-174857 - Jun. 13)
(BR. 05B)
S-8 WIRELESS RONIN TECHNOLOGIES INC, BAKER TECHNOLOGY PLAZA,
5929 BAKER ROAD, SUITE 475, MINNETONKA, MN, 55345, 952-564-3500 -
1,400,000 ($1,680,000.00) Equity, (File 333-174861 - Jun. 13) (BR. 03C)
S-1 KOKO LTD., 12901 SOUTH BUTTERCUP LANE, SPOKANE, WA, 99224,
509-448-7362 - 3,167,500 ($633,500.00) Equity, (File 333-174862 -
Jun. 13) (BR. 11C)
S-8 REGENERON PHARMACEUTICALS INC, 777 OLD SAW MILL RIVER RD, TARRYTOWN,
NY, 10591-6707, 9143477000 - 12,032,525 ($659,382,370.00) Equity,
(File 333-174863 - Jun. 13) (BR. 01B)
S-1 ELECTRONIC CONTROL SECURITY INC, 790 BLOOMFIELD AVENUE,
BLDG C1 - STE 1, CLIFTON, NJ, 07012, 9735478555 -
4,536,863 ($998,109.86) Equity, (File 333-174864 - Jun. 13) (BR. 11C)
S-3ASR KEYCORP /NEW/, 127 PUBLIC SQ, CLEVELAND, OH, 44114-1306, 2166896300 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-174865 - Jun. 13)
(BR. 07C)
S-3ASR Evercore Partners Inc., 55 EAST 52ND STREET, 38TH FLOOR, NEW YORK, NY,
10055, 212-857-3100 - 0 ($0.00) Equity, (File 333-174866 - Jun. 13)
(BR. 06B)
S-3 OneBeacon Insurance Group, Ltd., 1 BEACON LANE, CANTON, MA, 02021,
7813327000 - 0 ($1.00) Unallocated (Universal) Shelf,
(File 333-174867 - Jun. 13) (BR. 01C)
S-4 Ally Financial Inc., MAIL CODE: 482-B08-D76, 200 RENAISSANCE CENTER,
DETROIT, MI, 48265, 866-710-4623 -
0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-174868 - Jun. 13)
(BR. 07C)
S-3 CYTOKINETICS INC, 280 EAST GRAND AVENUE, ., SOUTH SAN FRANCISCO, CA,
94080, (650) 624-3000 - 0 ($20,000,000.00) Equity, (File 333-174869 -
Jun. 13) (BR. 01B)
S-8 PATHEON INC, C/O PATHEON PHARMACEUTICALS SERVICES INC,
4721 EMPEROR BOULEVARD, SUITE 200, DURHAM, NC, 27703, 905-821-4001 -
15,500,151 ($44,325,220.00) Equity, (File 333-174871 - Jun. 13)
(BR. 01B)
S-1 Cascade Springs Ltd., 1155 E. TWAIN AVENUE, SUITE 108, LAS VEGAS, NV,
89169, (702) 988-4233 - 26,250,000 ($1,312,500.00) Equity,
(File 333-174872 - Jun. 13) (BR. )
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
ACACIA RESEARCH CORP DE 8.01 06/10/11
ACCURAY INC DE 2.01,8.01,9.01 06/10/11
AGREE REALTY CORP DE 8.01 06/07/11
ALASKA AIR GROUP INC DE 7.01,8.01,9.01 06/10/11
ALICO INC FL 5.02,9.01 06/13/11
Allied World Assurance Co Holdings, A 8.01,9.01 06/12/11
ALNYLAM PHARMACEUTICALS, INC. 5.02 06/09/11
ALTAIR NANOTECHNOLOGIES INC 1.01,7.01,9.01 06/07/11
AMBAC FINANCIAL GROUP INC DE 7.01,9.01 06/10/11
American Capital Agency Corp 5.07 06/10/11
AMERICAN INTERNATIONAL INDUSTRIES INC NV 5.07 06/13/11
American Railcar Industries, Inc. ND 5.02 06/10/11
AMERICAN REALTY CAPITAL - RETAIL CENT MD 8.01 06/07/11
AMERICAN REALTY CAPITAL HEALTHCARE TR MD 8.01 06/07/11
AMERICAN SUPERCONDUCTOR CORP /DE/ DE 1.01,9.01 06/07/11
AMERICANWEST BANCORPORATION WA 7.01,9.01 06/10/11
AMERICAS ENERGY Co - AECO NV 1.01,2.03,3.02,8.01, 04/27/11 AMEND
9.01
AMERIPRISE FINANCIAL INC DE 5.02 06/07/11
ANGELES PARTNERS XII CA 1.01,3.03,5.03,9.01 06/13/11
Apple REIT Ten, Inc. VA 2.01,9.01 06/08/11
Archipelago Learning, Inc. DE 5.02,8.01,9.01 06/08/11
ARDEN GROUP INC DE 5.07 06/08/11
Armour Residential REIT, Inc. MD 7.01,9.01 06/13/11
ARMSTRONG WORLD INDUSTRIES INC PA 8.01,9.01 06/13/11
ATMOS ENERGY CORP TX 1.01,9.01 06/10/11
ATWOOD OCEANICS INC TX 7.01 06/13/11
AXION INTERNATIONAL HOLDINGS, INC. CO 1.01,5.02,9.01 06/08/11
BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 06/13/11
BANK OF AMERICA CORP /DE/ DE 9.01 06/13/11
BARRY R G CORP /OH/ OH 9.01 03/31/11 AMEND
BASIC ENERGY SERVICES INC 1.01,2.03,8.01,9.01 06/08/11
BAZI INTERNATIONAL, INC. NV 1.01,3.02 06/10/11
BEAR STEARNS DEPOSITOR INC TRUST CERT 8.01,9.01 06/01/11
Black Diamond, Inc. DE 5.07 06/09/11
Black Tusk Minerals Inc. NV 3.02,5.03,5.07,9.01 06/09/11
BLUE BRIDGE CAPITAL, INC. DE 8.01,9.01 06/07/11
BLUE DOLPHIN ENERGY CO DE 3.01,9.01 06/13/11
Blue Earth, Inc. NV 1.01,2.01,5.02,5.07, 08/27/10 AMEND
7.01,8.01,9.01
Blueknight Energy Partners, L.P. DE 8.01,9.01 06/13/11
Boardwalk Pipeline Partners, LP DE 1.01,2.03,9.01 06/07/11
BROADSOFT INC DE 8.01,9.01 06/13/11
Brooklyn Federal Bancorp, Inc. X1 4.02 06/08/11
BUCKEYE PARTNERS, L.P. DE 5.07 06/07/11
CAESARS ENTERTAINMENT Corp DE 5.02 06/07/11
Calpian, Inc. TX 5.07 06/07/11
CAMELOT CORP CO 1.01,5.07,9.01 04/28/11
CARDINAL BANKSHARES CORP VA 8.01,9.01 06/08/11
Cardinal Ethanol LLC IN 7.01,9.01 06/13/11
CAREER EDUCATION CORP DE 8.01 06/10/11
CareView Communications Inc NV 5.02 06/07/11
CARROLS RESTAURANT GROUP, INC. 5.07 06/09/11
CAS MEDICAL SYSTEMS INC DE 1.01,3.02,5.02,5.03, 06/08/11
9.01
CASEYS GENERAL STORES INC IA 2.02,5.02,7.01,9.01 06/10/11
CASH AMERICA INTERNATIONAL INC TX 8.01 06/09/11
CATERPILLAR FINANCIAL SERVICES CORP DE 8.01,9.01 06/09/11
CERADYNE INC DE 5.07 06/07/11
CHAMPION INDUSTRIES INC WV 2.02,9.01 06/13/11
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 06/10/11
Chelsea Therapeutics International, L DE 8.01,9.01 06/09/11
China Direct Industries, Inc. FL 7.01,9.01 06/13/11
China Power Technology, Inc. NV 5.02 06/13/11
CHS INC MN 1.01,2.03,9.01 06/09/11
CIGNA CORP DE 7.01 06/13/11
CINCINNATI FINANCIAL CORP OH 7.01,9.01 06/13/11
CLEAN DIESEL TECHNOLOGIES INC DE 5.02,5.07,9.01 06/08/11
CLEARONE COMMUNICATIONS INC UT 5.07 06/08/11
CLECO CORP LA 5.02,5.03,9.01 06/09/11
CLEVELAND BIOLABS INC DE 5.02,5.07,9.01 06/07/11
CME GROUP INC. DE 5.07 06/08/11
Cogito Media Group Inc. CO 1.01,3.02,9.01 06/07/11
COLE KENNETH PRODUCTIONS INC NY 5.02,9.01 06/13/11
COPART INC CA 1.01 06/09/11
CROWN CRAFTS INC DE 2.02,9.01 06/13/11
CTM MEDIA HOLDINGS, INC. DE 8.01 06/13/11
CURIS INC DE 1.01,9.01 06/13/11
CYTOKINETICS INC 1.01,9.01 06/10/11
Daedalus Ventures, Inc. DE 1.01,5.01 06/01/11
DELTATHREE INC DE 2.03 06/09/11
DEXCOM INC 1.01 06/07/11
DGT Holdings Corp. NY 2.02,9.01 06/13/11
Digital Realty Trust, Inc. 7.01,9.01 06/13/11
Discovery Communications, Inc. DE 8.01 06/13/11
Domark International Inc. NV 2.03 06/09/11
Domark International Inc. NV 1.01,9.01 06/10/11
Dorman Products, Inc. PA 8.01 06/10/11
DRINKS AMERICAS HOLDINGS, LTD DE 3.02,8.01 05/03/11
E-Debit Global Corp. CO 8.01 06/13/11
EBAY INC DE 8.01,9.01 06/10/11
EBIX INC DE 8.01,9.01 06/08/11
EMPIRE GLOBAL CORP. DE 8.01 06/06/11
EMPIRE GLOBAL CORP. DE 5.02 06/10/11
EMS TECHNOLOGIES INC GA 8.01,9.01 06/13/11
EMS TECHNOLOGIES INC GA 1.01,3.03,9.01 06/12/11
EON COMMUNICATIONS CORP DE 2.02,9.01 06/13/11
Ethos Environmental, Inc. NV 9.01 06/10/11
EVERGREEN SOLAR INC DE 1.01,9.01 06/09/11
Excel Trust, Inc. MD 9.01 04/05/10 AMEND
Excel Trust, Inc. MD 9.01 03/21/11 AMEND
EXPRESS-1 EXPEDITED SOLUTIONS INC DE 5.07 06/09/11
EXTERRAN HOLDINGS INC. DE 1.01,7.01,9.01 06/10/11
EXTERRAN PARTNERS, L.P. DE 1.01,2.01,2.03,7.01, 06/10/11
9.01
EZENIA INC DE 5.02 06/08/11
Federal Home Loan Bank of Dallas 2.03,9.01 06/07/11
Fifth Street Finance Corp DE 8.01,9.01 06/13/11
FIRST INTERSTATE BANCSYSTEM INC MT 8.01,9.01 06/13/11
FIRST MIDWEST BANCORP INC DE 5.02,9.01 06/08/11
FIRST POTOMAC REALTY TRUST MD 8.01,9.01 06/13/11
FLUSHING FINANCIAL CORP DE 7.01,9.01 06/13/11
Forbes Energy Services Ltd. D0 1.01,2.03,8.01,9.01 06/07/11
FOREST OIL CORP NY 5.02,9.01 06/10/11
Fortegra Financial Corp DE 5.07 06/07/11
FS Investment CORP MD 1.01,2.02,9.01 06/09/11
General Motors Co 5.07 06/07/11
GEOKINETICS INC DE 5.07 06/08/11
GEORESOURCES INC CO 5.02,5.07 06/07/11
GERBER SCIENTIFIC INC CT 1.01,9.01 06/13/11
Global Gate Property Corp. NV 8.01,9.01 06/08/11
GOLDMAN SACHS GROUP INC DE 9.01 06/13/11
Google Inc. DE 5.07 06/02/11 AMEND
Graham Packaging Co Inc. DE 8.01,9.01 06/13/11
GRAYBAR ELECTRIC CO INC NY 5.03,5.07,9.01 06/09/11
GREAT PLAINS ENERGY INC MO 7.01,9.01 06/13/11
GREIF INC DE 2.02,7.01,9.01 06/13/11
Grid Petroleum Corp. NV 1.01,2.03,3.02,5.02, 05/20/11
9.01
Grubb & Ellis Healthcare REIT II, Inc MD 1.01,9.01 06/07/11
GSI COMMERCE INC DE 8.01 06/10/11
GULF RESOURCES, INC. DE 1.02,8.01,9.01 06/07/11
GYMBOREE CORP DE 2.02,9.01 06/13/11
HALLADOR ENERGY CO CO 7.01,8.01,9.01 06/09/11
HASTINGS ENTERTAINMENT INC TX 5.02,5.07 06/08/11
HEARTLAND EXPRESS INC NV 8.01,9.01 06/13/11
HEARTLAND, INC. KY 5.02 06/09/11
Heritage-Crystal Clean, Inc. DE 7.01 05/31/11
HERTZ CORP DE 8.01,9.01 06/10/11
HERTZ GLOBAL HOLDINGS INC 8.01,9.01 06/10/11
HONEYWELL INTERNATIONAL INC DE 8.01,9.01 06/13/11
IDT CORP DE 2.02,9.01 06/13/11
IMH Financial Corp DE 1.01,2.03,5.01,5.02, 06/07/11
5.03,9.01
IMMUCOR INC GA 5.02,9.01 06/10/11
Independence Bancshares, Inc. SC 1.02,5.02,5.07 06/09/11
INDEPENDENCE REALTY TRUST, INC MD 7.01,9.01 06/13/11
INFOSPACE INC DE 7.01 06/10/11
Inland Diversified Real Estate Trust, MD 5.07 06/13/11
INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 06/13/11
INSMED INC VA 8.01,9.01 06/10/11
INTERLINE BRANDS, INC./DE DE 5.02,9.01 06/13/11
INTERNATIONAL ENERGY, INC. NV 5.07,7.01,9.01 06/12/11
INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01 06/10/11
IPASS INC DE 5.02,5.07 06/07/11
IRONWOOD PHARMACEUTICALS INC 5.07 06/09/11
JBI, INC. NV 1.01,9.01 06/10/11
Joway Health Industries Group Inc NV 1.01,2.01,3.02,4.01, 06/10/11 AMEND
5.06,9.01
KAMAN CORP CT 1.01,2.03,8.01,9.01 06/13/11
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 06/13/11
Kohlberg Capital CORP DE 8.01,9.01 06/13/11
Kraton Performance Polymers, Inc. DE 8.01,9.01 06/13/11
KVH INDUSTRIES INC \DE\ DE 5.07 06/08/11
LEVEL 3 COMMUNICATIONS INC DE 8.01,9.01 06/09/11
LHC Group, Inc 5.07 06/09/11
Lifevantage Corp CO 7.01,9.01 06/13/11
LORAL SPACE & COMMUNICATIONS INC. DE 1.01,9.01 06/08/11
LUBRIZOL Corp OH 1.01,9.01 06/09/11
M LINE HOLDINGS INC NV 5.02 06/10/11
M&F BANCORP INC /NC/ NC 5.07 06/07/11
MAGELLAN HEALTH SERVICES INC DE 8.01,9.01 06/10/11
MAJESCO ENTERTAINMENT CO DE 2.02,9.01 06/13/11
MANHATTAN BRIDGE CAPITAL, INC NY 8.01 06/09/11
MARTIN MARIETTA MATERIALS INC NC 8.01 06/07/11
MEDICIS PHARMACEUTICAL CORP DE 8.01 06/06/11
MEDLINK INTERNATIONAL, INC. DE 4.01,9.01 06/10/11
MEDLINK INTERNATIONAL, INC. DE 4.01,9.01 06/13/11 AMEND
MILLER ENERGY RESOURCES, INC. 7.01,9.01 06/13/11
Modern Mobility Aids, Inc. NV 5.02 06/13/11
Momentive Performance Materials Inc. DE 8.01,9.01 06/13/11
NATIONAL FINANCIAL PARTNERS CORP 5.07 06/08/11
NATIONAL TAX CREDIT INVESTORS II CA 1.01,2.01,9.01 06/07/11
NATIONAL TAX CREDIT PARTNERS L P CA 1.01,2.01,9.01 06/07/11
NeoStem, Inc. DE 7.01,9.01 06/13/11
NEW JERSEY RESOURCES CORP NJ 7.01,9.01 06/13/11
NORTHERN TRUST CORP DE 7.01,9.01 06/13/11
NovaBay Pharmaceuticals, Inc. CA 5.07 06/09/11
NYTEX Energy Holdings, Inc. DE 8.01,9.01 06/10/11
Oak Valley Bancorp CA 7.01,9.01 06/10/11
ODYSSEY MARINE EXPLORATION INC NV 8.01 06/08/10
OMNI BIO PHARMACEUTICAL, INC. CO 1.01,1.02,3.02 06/08/11
Oncothyreon Inc. DE 5.07 06/09/11
Pacific Ethanol, Inc. DE 1.01,9.01 06/10/11
PACIFIC GAS & ELECTRIC Co CA 8.01 06/09/11
Patriot Coal CORP DE 8.01 06/08/11
PC TEL INC DE 5.07 06/08/11
PEERLESS SYSTEMS CORP DE 2.02,9.01 06/13/11
Pegasus Tel, Inc DE 1.01,9.01 06/10/11
PETROLEUM DEVELOPMENT CORP NV 7.01,8.01,9.01 06/11/11
PG&E CORP CA 8.01 06/09/11
PHH CORP MD 5.07 06/08/11
Phillips Edison - ARC Shopping Center MD 1.01,2.01,2.03,8.01, 06/10/11
9.01
Polypore International, Inc. 7.01,9.01 06/13/11
POPULAR INC 8.01,9.01 06/10/11
PROGENICS PHARMACEUTICALS INC DE 5.02,5.07 06/08/11
Pzena Investment Management, Inc. DE 8.01,9.01 05/31/11
Quanex Building Products CORP DE 2.02,9.01 06/13/11
Rainbow Coral Corp. FL 1.01,2.01,5.03,5.06, 06/13/11
9.01
RAMBUS INC DE 5.02,9.01 06/10/11
RBC LIFE SCIENCES, INC. DE 5.07 06/08/11
RDA Holding Co. 5.02 06/09/11
Renewable Energy Group, Inc. DE 3.02 06/08/11
RFS HOLDING LLC 1.01,8.01,9.01 06/09/11
RIVAL TECHNOLOGIES INC NV 4.01,9.01 03/15/11 AMEND
RYDER SYSTEM INC FL 1.01,1.02,2.03,9.01 06/08/11
Sanomedics International Holdings, In DE 5.02,9.01 06/13/11
Sanomedics International Holdings, In DE 5.02,9.01 06/13/11 AMEND
Sanomedics International Holdings, In DE 5.02,9.01 06/13/11 AMEND
SCHULMAN A INC DE 5.02,9.01 06/10/11
SCI Engineered Materials, Inc. OH 5.07 06/10/11
SELECTIVE INSURANCE GROUP INC NJ 1.01,1.02,2.03 06/13/11
SILGAN HOLDINGS INC DE 8.01,9.01 06/13/11
SILVERADO GOLD MINES LTD A1 8.01,9.01 06/13/11
Soleil Capital L.P. 5.06 06/13/11
SOLUTIA INC DE 8.01,9.01 06/13/11
Somaxon Pharmaceuticals, Inc. DE 1.01,3.02,7.01,8.01, 06/07/11
9.01
SONUS NETWORKS INC DE 1.01,3.03,9.01 06/10/11
SOONER HOLDINGS INC /OK/ OK 1.01,2.01,3.02,5.01, 02/14/11 AMEND
5.02,5.03,5.06,9.01
SPECTRUM PHARMACEUTICALS INC DE 7.01 06/13/11
STANDARD PARKING CORP DE 5.02,9.01 06/10/11
STRATS (SM) TRUST FOR JPMORGAN CHASE 8.01,9.01 06/01/11
STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 05/31/11
Strats(SM) Trust for JPMorgan Chase C 8.01,9.01 06/01/11
STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 05/02/11
SUBAYE, INC. 3.01 06/13/11
SUPERCLICK INC WA 7.01,9.01 06/13/11
SupportSave Solutions Inc 1.01,5.02,9.01 06/09/11
SUPREME INDUSTRIES INC DE 1.01 06/07/11
SYNERGY RESOURCES CORP CO 1.01 06/08/11
TC PIPELINES LP DE 9.01 06/13/11 AMEND
TELECOMMUNICATION SYSTEMS INC /FA/ MD 5.07 06/09/11
TELEFLEX INC DE 1.01,2.03,9.01 06/08/11
TESCO CORP 1.01,3.03,9.01 06/06/11
TEXAS VANGUARD OIL CO TX 5.07 06/13/11
THOR INDUSTRIES INC DE 5.02 12/07/10 AMEND
Tianli Agritech, Inc. D8 2.03,7.01,9.01 06/08/11
TIER TECHNOLOGIES INC DE 5.02,9.01 05/31/11
TIMBERLAND CO DE 1.01,8.01,9.01 06/12/11
TomoTherapy Inc WI 1.01,2.01,3.01,3.03, 06/10/11
5.01,5.02,5.03,9.01
TPC Group Inc. DE 5.07 06/08/11
TRADESTATION GROUP INC FL 2.01,3.01,3.02,3.03, 06/08/11
5.01,5.02,9.01
TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 06/12/11
TRANSATLANTIC HOLDINGS INC DE 1.01,5.02,8.01,9.01 06/12/11
Tremont Fair, Inc. NV 1.01,2.01,3.02,5.01, 06/13/11 AMEND
5.02,5.03,8.01,9.01
TRIMERIS INC DE 8.01,9.01 06/13/11
TRIMERIS INC DE 1.01,9.01 06/13/11
U. S. Premium Beef, LLC 7.01,9.01 06/13/11
UMH PROPERTIES, INC. MD 5.07 06/10/11
UNIGENE LABORATORIES INC DE 1.01,1.02,9.01 06/07/11
Universal Bioenergy, Inc. 8.01,9.01 06/13/11
UNIVERSAL TECHNICAL INSTITUTE INC DE 5.02,9.01 06/07/11
Universal Truckload Services, Inc. MI 5.07 06/10/11
US DATAWORKS INC NV 1.01,9.01 06/07/11
USA TECHNOLOGIES INC PA 7.01,9.01 06/13/11
V F CORP PA 1.01,8.01,9.01 06/13/11
Vanguard Minerals CORP 1.01,3.02,5.01,5.02, 06/07/11
8.01
VARIAN SEMICONDUCTOR EQUIPMENT ASSOCI DE 8.01 06/13/11
Verigy Ltd. U0 8.01,9.01 06/09/11
VERTICAL HEALTH SOLUTIONS INC FL 1.01,3.02,9.01 06/07/11
Vertro, Inc. DE 5.07 06/08/11
VIRCO MFG CORPORATION DE 2.02,9.01 06/09/11
VISTEON CORP DE 5.07 06/09/11
WASHINGTON FEDERAL INC WA 8.01 06/08/11
WEBSENSE INC DE 5.07 06/07/11
WELLS FARGO & CO/MN DE 9.01 06/13/11
WENDY'S/ARBY'S GROUP, INC. DE 1.01,5.02,7.01,9.01 06/13/11
Wendy's/Arby's Restaurants, LLC DE 1.01,7.01,9.01 06/13/11
WET SEAL INC DE 8.01 06/10/11
WIRELESS RONIN TECHNOLOGIES INC MN 5.07 06/09/11
Woodward, Inc. DE 5.07 01/26/11 AMEND
Zoo Entertainment, Inc DE 5.07 06/08/11
http://www.sec.gov/news/digest/2011/dig061411.htm
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