Amanda E. Knorr Sanctioned
Amanda E. Knorr (Knorr) 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 court-ordered injunction against her. In March 2011, Knorr was enjoined from violating the registration and antifraud provisions of the federal securities laws based on her involvement in a fraudulent Ponzi scheme to sell the securities of Mantria Corporation (Mantria) and its affiliates.
With others, Knorr, Mantria’s president, vice-chairman of the board, and chief operating officer, sold its securities by making materially false representations to investors and omitting the material fact that the proceeds from the sales were used to pay off earlier investors. Knorr, who acted as an unregistered broker or dealer in the sales, actively solicited purchasers through seminars, webinars, telephone conference calls, and conversations with investors, as well as other means. (Rel. 34-64701; File No. 3-14344)
Troy B. Wragg Sanctioned
Troy B. Wragg (Wragg) 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 court-ordered injunction against him. In March 2011, Wragg was enjoined from violating the registration and antifraud provisions of the federal securities laws based on his involvement in a fraudulent Ponzi scheme to sell the securities of Mantria Corporation (Mantria) and its affiliates.
With others, Wragg, Mantria’s founder, chairman of the board, and chief executive officer, sold its securities by making materially false representations to investors and omitting the material fact that the proceeds from the sales were used to pay off earlier investors. Wragg, who acted as an unregistered broker or dealer in the sales, actively solicited purchasers through seminars, webinars, telephone conference calls, and conversations with investors, as well as other means. (Rel. 34-64702; File No. 3-14346)
In the Matter of James Patrick Reedy
On June 20, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against James Patrick Reedy.
The Order states that the Division of Enforcement alleges that for the period August 2003 through August 2005, Reedy was associated with an unregistered broker-dealer. On June 13, 2011, a final judgment by default was entered against Reedy, permanently enjoining him from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Hartmut Rose and James Patrick Reedy, Civil Action Number 3:09-CV-00857-G, in the United States District Court for the Northern District of Texas, Dallas Division. The final judgment also ordered him to pay disgorgement of $257,778.85, prejudgment interest of $112,781.91, and a civil money penalty of $257,778.75. The Commission’s complaint alleged that, in connection with the offer and sale securities, Reedy made misrepresentations and omitted to disclose material facts concerning unregistered interests in ten oil and gas joint ventures on behalf of Geo Companies of North America. The defendants in the civil enforcement action raised over $10 million from over 300 investors nationwide to fund the joint ventures.
A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to provide the Respondent an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest.
The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. (Rel. 34-64703; File No. 3-14429
In the Matter of Joseph Shereshevsky
On June 20, 2011, 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 against Joseph Shereshevsky (Shereshevsky). The proceedings are based on Shereshevsky’s guilty plea entered before the United States District Court for the Southern District of New York, in United States v. Steven Byers, et al., No. 08-cr-1092 (DC).
In the Order, the Commission finds that from in or about 2005 through in or about August 2008, Shereshevsky, age 54, was associated with Wextrust Securities, LLC, a broker-dealer formed in 2005 and registered with the Commission since March 2006. In a plea agreement dated Feb. 3, 2011, Shereshevsky admitted that from in or about 2005 through in or about August 2008 he was a person associated with a broker or dealer.
On Feb. 3, 2011, Shereshevsky pleaded guilty to one count of securities fraud in violation of Title 15, United States Code, Sections 78j(b) and 78ff; Title 17, Code of Federal Regulations, Section 240.10b-5; and Title 18, United States Code, Section 2, one count of conspiracy to commit securities fraud, mail fraud, and wire fraud in violation of Title 18, United States Code, Section 371, and one count of mail fraud in violation of Title 18, United States Code, Sections 1341 and 1342, before the United States District Court for the Southern District of New York, in United States v. Steven Byers et al., No. 08-cr-1092 (DC).
The counts in the superseding indictment to which Shereshevsky pleaded guilty allege, inter alia, that Shereshevsky raised money from investors pursuant to private placement offerings, that he diverted material portions of the investor funds raised to purposes other than those specified in the private placement memoranda pursuant to which the funds were raised and failed to disclose the diversion of funds to investors, that he created or caused to be created false and fraudulent documents that falsely reflected profits earned by the investors, that he made materially false, fraudulent and misleading statements in documents distributed to investors that misstated, among other things, expenditures and income related to the investments, and that he used facilities of interstate commerce to further the fraud.
Based on the above, the Order bars Shereshevsky from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. (Rel. 34-64704; File No. 3-14430)
Former Galleon Portfolio Manager Settles SEC Insider Trading Charges
The Securities and Exchange Commission announced today that, on May 31, 2011, The Honorable Jed S. Rakoff of the United States District Court for the Southern District of New York entered a judgment against Adam Smith in SEC v. Adam Smith, 11-CV-0535, an insider trading case the SEC filed on Jan. 26, 2011.
The Complaint alleged that Smith, a former portfolio manager at New York-based hedge fund investment adviser Galleon Management, LP, traded in the securities of ATI Technologies Inc., based on material nonpublic information concerning the acquisition of ATI by Advanced Micro Devices Inc. that was announced in July 2006. Prior to the announcement, Smith learned of the acquisition from an investment banker, who had received such information while serving as an employee of an investment bank that was advising one of the parties to the acquisition.
To settle the SEC’s charges, Smith 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 and prejudgment interest, for a total of $149,706.25. The judgment further provides that, based on his agreement to cooperate with the Commission, the Court is not ordering Smith to pay a civil penalty. In a related SEC administrative proceeding, Smith consented to the entry of an SEC order barring him from association with any investment adviser, broker, dealer, municipal securities dealer, or transfer agent. Smith previously pleaded guilty to charges of securities fraud and conspiracy to commit securities fraud in a related criminal case, United States v. Adam Smith, 1:11-cr-00079 (S.D.N.Y.), and is awaiting sentencing. [SEC v. Adam Smith, Civil Action No. 1:11-cv-0535 (S.D.N.Y.) (JSR)] (LR-22004)
Former Investor Relations Consulting Firm Employee and Hedge Fund Settle Insider Trading Charges
The Securities and Exchange Commission announced today that, on June 8, 2011, the Honorable Jed S. Rakoff of the United States District Court for the Southern District of New York entered a judgment against Defendant Shammara Hussain in SEC v. Feinblatt, 11-CV-0170, an insider trading case the SEC filed on Jan. 10, 2011. The Judge also entered a stipulation and order of dismissal as to Defendant Trivium Capital Management LLC, a New York-based hedge fund investment adviser which has wound down its investment management business, in exchange for its agreement to cooperate and cease doing business.
The Complaint alleged that Robert Feinblatt, a co-founder and principal of Trivium, and Jeffrey Yokuty, a Trivium analyst, engaged in insider trading in the securities of Polycom, Hilton, Google and Kronos. The complaint further alleged that Polycom senior executive Sunil Bhalla and Hussain, an employee at investor relations consulting firm Market Street Partners that did work for Google, tipped the inside information that enabled the insider trading by Feinblatt and Yokuty on behalf of Trivium’s hedge funds for illicit profits of more than $15 million.
To settle the SEC’s charges, Hussain consented to the entry of a judgment that: (i) permanently enjoins her 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 her to pay disgorgement of $21,619.80, plus $4,795.47 in prejudgment interest, plus a civil penalty of $21,619.80. Based on Hussain’s financial condition, the Court did not order a higher penalty. Trivium has agreed to cooperate and to not in the future engage in investment management or other operations. [SEC v. Feinblatt, et al., Civil Action No. 11-CV-0170 (SDNY) (JSR)] (LR-22005)
SEC Charges Additional Fraud in Case Involving Ponzi Scheme By Co-Founder of China Voice Holding Corp.
On June 20, 2011, the Commission filed an amended complaint in its action involving the co-founder of China Voice Holding Corp. (China Voice), David Ronald Allen, and multiple other defendants. The amended complaint, filed in the U.S. District Court for the Northern District of Texas (Dallas Division), charges China Voice, Allen, and William F. Burbank IV (China Voice’s former chairman and CEO) with reconstituting former subsidiaries of China Voice at Voice One Corp. without informing China Voice investors.
On April 28, 2011, the SEC filed a complaint in federal court in Texas, alleging that Allen, Burbank, and China Voice engaged in a series of false and misleading statements and material omissions to investors about China Voice’s financial condition. Today’s complaint alleges that this fraudulent behavior extended to renaming two China Voice subsidiaries and reconstituting them at Voice One and that Allen and Burbank are now involved in running Voice One.
Also as alleged in the SEC’s original complaint, Allen, with the assistance of two associates and numerous related entities, launched what became an ongoing fraud that sought to raise at least $8.6 million from investors, telling them that their funds would be used to make loans to profitable businesses with demonstrated track records. The Commission alleged that contrary to what investors were told, proceeds were used to pay back earlier investors; to make payments to Allen and his associates; and to make payments to Allen-affiliated businesses, including China Voice. Today’s amended complaint alleges that Allen also used investor funds to make payments to Voice One, contradicting the disclosures made to investors. The amended complaint also names as a defendant yet another company used by Allen to help carry out the fraud on investors.
The SEC’s amended complaint charges Allen, Alex Dowlatshahi, Christopher Mills, and various related companies with violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The SEC’s amended complaint also charges China Voice, Burbank, Gerald Patera, Ilya Drapkin, and Robert Wilson with violations of, among other things, Section 10(b) of the Securities Exchange Act and Rule 10b-5 thereunder.
The SEC’s investigation is ongoing. [SEC v. David Ronald Allen, et al., Civil Action No. 3:11-CV-882-O (N.D. Tex.)] (LR-22006)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by The NASDAQ Stock Market (SR-NASDAQ-2011-079) to extend the implementation date for several rules in connection with trading system enhancements 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 20. (Rel. 34-64691)
A proposed rule change filed by NYSE Arca (SR-NYSEArca-2011-37) amending Rules 5.30 and 5.32 to permit the Exchange to list Flexible Exchange Options on index and equity securities that are eligible for non-FLEX Options trading, and that have non-FLEX Options on such index and equity securities listed and traded on at least one national securities exchange, even if the Exchange does not list such non-FLEX Options 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 20. (Rel. 34-64692)
A proposed rule change filed by NYSE Amex (SR-NYSEAmex-2011-38) amending Rule 903G to permit the Exchange to list Flexible Exchange Options on index and equity securities that are eligible for non-FLEX Options trading, and that have non-FLEX Options on such index and equity securities listed and traded on at least one national securities exchange, even if the exchange does not list such non-FLEX Options 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 20. (Rel. 34-64693)
A proposed rule change filed by The NASDAQ Stock Market (SR-NASDAQ-2011-083) to adopt anti-internalization functionality for registered market makers on the NASDAQ Options Market 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 20. (Rel. 34-64696)
The Options Clearing Corporation filed a proposed rule change (SR-OCC-2011-07) under Section 19(b)(1) of the Securities Exchange Act of 1934 to provide an interpretation to Rule 401 to allow clearing members to use OCC systems to update certain non-critical trade data with respect to exchange transactions involving securities options provided such updates do not contravene any rule of the exchange on which such transaction was effected. The rule change became effective upon filing. Publication is expected in the Federal Register during the week of June 20. (Rel. 34-64697)
A proposed rule change filed by Chicago Board Options Exchange (SR-CBOE-2011-056) to adopt the selection specifications and content outline for the Proprietary Traders Examination Program (Series 56) 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 20. (Rel. 34-64699)
Order Disapproving Proposed Rule Changes
The Commission has issued an order disapproving a proposed rule change (SR-NASDAQ-2010-134) filed by The Nasdaq Stock Market to adopt additional criteria for listing companies that have indicated that their business plan is to buy and hold commodities. Publication is expected in the Federal Register during the week of June 20. (Rel. 34-64700)
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-4 EARTHLINK INC, 1375 PEACHTREE STREET, SUITE 400, ATLANTA, GA, 30309, 4048150770 - 0 ($300,000,000.00) Debt, (File 333-174950 - Jun. 17) (BR. 03A) S-8 Spirit AeroSystems Holdings, Inc., 3801 SOUTH OLIVER, WICHITA, KS, 67210, 316.526.9000 - 0 ($64,920,000.00) Equity, (File 333-174951 - Jun. 17) (BR. 05C) S-8 ACCURAY INC, 1310 CHESAPEAKE TERRACE, SUNNYVALE, CA, 94089, 4087164600 - 0 ($16,023,644.55) Equity, (File 333-174952 - Jun. 17) (BR. 10A) S-4 SKYWORKS SOLUTIONS INC, 20 SYLVAN ROAD, WOBURN, MA, 01801, 6179355150 - 0 ($160,292,346.94) Equity, (File 333-174953 - Jun. 17) (BR. 10C) S-8 NOAH EDUCATION HOLDINGS LTD., 10TH FLOOR B BUILDING, FUTIAN TIAN'AN HI-TECH VENTURE PARK, FUTIAN DISTRICT, SHENZHEN, F4, 518048, (86-755) 8343-2800 - 1,876,861 ($3,978,945.32) Equity, (File 333-174954 - Jun. 17) (BR. 03A) S-8 SOHU COM INC, LEVEL 12, SOHU.COM INTERNET PLAZA, NO. 1 UNIT ZHONGGUANCUN EAST ROAD, BEIJING, F4, 100084, 011861062726666 - 0 ($102,382,500.00) ADRs/ADSs, (File 333-174955 - Jun. 17) (BR. 03A) S-8 FIDELITY SOUTHERN CORP, 3490 PIEDMONT RD, STE 1550, ATLANTA, GA, 30305, 4043715500 - 0 ($9,975,000.00) Equity, (File 333-174956 - Jun. 17) (BR. 07C) S-8 FIDELITY SOUTHERN CORP, 3490 PIEDMONT RD, STE 1550, ATLANTA, GA, 30305, 4043715500 - 0 ($6,650,000.00) Equity, (File 333-174957 - Jun. 17) (BR. 07C) S-3 Celsion CORP, 10220 OLD COLUMBIA ROAD, SUITE L, COLUMBIA, MD, 21046-1705, 4102905390 - 6,465,608 ($19,229,365.00) Equity, (File 333-174960 - Jun. 17) (BR. 01A) S-4 PLY GEM INDUSTRIES INC, 5020 WESTON PARKWAY, SUITE 400, CARY, NC, 27513, 919-677-3900 - 0 ($800,000,000.00) Debt, (File 333-174962 - Jun. 17) (BR. 06B) S-3 CARMAX AUTO FUNDING LLC, 4900 COX RD., RICHMOND, VA, 23060, 650,000,000 ($650,000,000.00) Other, (File 333-174968 - Jun. 17) (BR. 05) S-8 PostRock Energy Corp, 210 PARK AVENUE, SUITE 2750, OKLAHOMA CITY, OK, 73102, (405)600-7704 - 0 ($12,140,000.00) Equity, (File 333-174969 - Jun. 17) (BR. 04B) S-8 CHARLES RIVER LABORATORIES INTERNATIONAL INC, 261 BALLARDVALE STREET, WILMINGTON, MA, 01867, 9786586000 - 0 ($130,893,240.00) Equity, (File 333-174971 - Jun. 17) (BR. 01A) S-8 SUPERIOR ENERGY SERVICES INC, 1105 PETERS ROAD, HARVEY, LA, 70058, 5043624321 - 0 ($101,123,000.00) Equity, (File 333-174972 - Jun. 17) (BR. 04C) S-8 ALBANY MOLECULAR RESEARCH INC, 21 CORPORATE CIRCLE, P O BOX 15098, ALBANY, NY, 12203-5154, 5184640279 - 2,900,000 ($14,703,000.00) Equity, (File 333-174973 - Jun. 17) (BR. 01A) S-1 Ubiquiti Networks, Inc., 91 E. TASMAN DRIVE, SAN JOSE, CA, 95134, 408-942-3085 - 0 ($200,000,000.00) Equity, (File 333-174974 - Jun. 17) (BR. 11) S-3 CARMAX AUTO FUNDING LLC, 4900 COX RD., RICHMOND, VA, 23060, 0 ($1,000,000.00) Asset-Backed Securities, (File 333-174975 - Jun. 17) (BR. 05) S-8 CIBER INC, 6363 SOUTH FIDDLER'S GREEN CIRCLE, STE 1400, GREENWOOD VILLAGE, CO, 80111, 3032200100 - 0 ($24,343,750.00) Equity, (File 333-174981 - Jun. 17) (BR. 03A) S-1 OPU, INC., 1533 JAMESTOWN DRIVE, MURRAY, UT, 84121, (801) 554-2633 - 4,316,000 ($4,316,000.00) Equity, (File 333-174982 - Jun. 17) (BR. ) S-8 FLOTEK INDUSTRIES INC/CN/, 2930 W. SAM HOUSTON PARKWAY N, SUITE 300, HOUSTON, TX, 77043, 7138499911 - 0 ($16,000,000.00) Equity, (File 333-174983 - Jun. 17) (BR. 06A) S-3 Niska Gas Storage Partners LLC, 1001 FANNIN STREET, SUITE 2500, HOUSTON, TX, 77002, (281) 404-1890 - 0 ($1,542,751,697.00) Other, (File 333-174988 - Jun. 17) (BR. 02A) S-8 Clean Energy Fuels Corp., 3020 OLD RANCH PARKWAY, SUITE 400, SEAL BEACH, CA, 90740, (562) 493-2804 - 0 ($38,160,000.00) Equity, (File 333-174989 - Jun. 17) (BR. 02C) S-8 INDEPENDENT BANK CORP, 288 UNION STREET, ROCKLAND, MA, 02370, 7818786100 - 850,000 ($22,933,000.00) Equity, (File 333-174991 - Jun. 17) (BR. 07C) S-8 STONE ENERGY CORP, 625 E KALISTE SALOOM RD, LAFAYETTE, LA, 70508, 3182370410 - 0 ($80,640,000.00) Equity, (File 333-174992 - Jun. 17) (BR. 04C) S-1 Oaktree Capital Group, LLC, 333 SOUTH GRAND AVENUE, 28TH FLOOR, LOS ANGELES, CA, 90071, (213) 830-6300 - 0 ($100,000,000.00) Equity, (File 333-174993 - Jun. 17) (BR. ) S-4 PARK OHIO INDUSTRIES INC/OH, 6065 PARKLAND BLVD., CLEVELAND, OH, 44124, 4409472211 - 0 ($250,000,000.00) Non-Convertible Debt, (File 333-174994 - Jun. 17) (BR. 06B) S-8 STARBUCKS CORP, P O BOX 34067, SEATTLE, WA, 98124-1067, 2064471575 - 15,069,770 ($528,044,741.00) Equity, (File 333-174995 - Jun. 17) (BR. 05C) S-1 TELETOUCH COMMUNICATIONS INC, 1913 DEERBROOK, TYLER, TX, 75703, 9035958800 - 20,499,001 ($10,249,500.50) Equity, (File 333-174996 - Jun. 17) (BR. 11A) S-8 CONNS INC, 3295 COLLEGE STREEET, BEAUMONT, TX, 77701, 4098321696 - 0 ($6,936,000.00) Equity, (File 333-174997 - Jun. 17) (BR. 02B) S-8 CONNS INC, 3295 COLLEGE STREEET, BEAUMONT, TX, 77701, 4098321696 - 0 ($1,734,000.00) Equity, (File 333-174998 - Jun. 17) (BR. 02B) S-3ASR KBW, INC., 787 SEVENTH AVENUE, NEW YORK, NY, 10019, 212887-7777 - 0 ($0.00) Other, (File 333-174999 - Jun. 17) (BR. 08C) S-8 Bankrate, Inc., 11760 U.S. HIGHWAY ONE, SUITE 200, NORTH PALM BEACH, FL, 33408, (561) 630-2400 - 0 ($181,800,000.00) Equity, (File 333-175000 - Jun. 17) (BR. 02) S-8 UNISOURCE ENERGY CORP, ONE SOUTH CHURCH AVENUE, SUITE 100, TUCSON, AZ, 85701, 520-571-4000 - 1,340,000 ($48,588,400.00) Equity, (File 333-175001 - Jun. 17) (BR. 02B) S-3 Kennedy-Wilson Holdings, Inc., 9701 WILSHIRE BLVD., SUITE 700, BEVERLY HILLS, CA, 90210, 310-887-6400 - 0 ($132,550,000.00) Equity, (File 333-175002 - Jun. 17) (BR. 08B) S-1 AUTHENTIC TEAS INC., SUITE 1801 - 1 YONGE STREET, TORONTO, A6, M5E 2A3, 416-306-2493 - 1,011,600 ($303,480.00) Equity, (File 333-175003 - Jun. 17) (BR. ) S-8 MOCON INC, 7500 MENDELSSOHN AVE N, MINNEAPOLIS, MN, 55428, 6124936370 - 0 ($7,515,000.00) Equity, (File 333-175004 - Jun. 17) (BR. 10B) S-8 COUGAR OIL & GAS CANADA INC., 833 4TH AVENUE S.W., SUITE 1120, CALGARY, A0, T2P 3T5, (403) 262-8044 - 6,650,000 ($9,975,000.00) Equity, (File 333-175005 - Jun. 17) (BR. 04C) S-3 Comstock Mining Inc., 1200 AMERICAN FLAT ROAD, GOLD HILL,, NV, 89440, 480-505-4040 - 0 ($44,851,495.00) Equity, (File 333-175006 - Jun. 17) (BR. 04A) S-8 Compressco Partners, L.P., 101 PARK AVENUE, SUITE 1200, OKLAHOMA CITY, OK, 73102, 405-677-0221 - 1,537,122 ($29,159,205.00) Limited Partnership Interests, (File 333-175007 - Jun. 17) (BR. 04B) S-1 IMPERVA INC, 950 TOWER LANE SUITE 1710, FOSTER CITY, CA, 94404, 650-345-9000 - 0 ($75,000,000.00) Equity, (File 333-175008 - Jun. 17) (BR. )
Form 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 ABERCROMBIE & FITCH CO /DE/ DE 5.02,5.03,5.07,9.01 06/17/11 ACCELERATED ACQUISITIONS IV INC DE 1.01,5.01,5.02,9.01 06/13/11 ACI WORLDWIDE, INC. DE 5.07 06/15/11 ADAMS GOLF INC DE 8.01 06/13/11 ADVANCED ANALOGIC TECHNOLOGIES INC DE 5.02,9.01 03/31/11 AMEND AEROPOSTALE INC 5.07 06/17/11 AETHLON MEDICAL INC NV 7.01,9.01 06/16/11 AGENUS INC DE 5.02,5.07 06/15/11 AIR METHODS CORP DE 5.07 06/14/11 Air Transport Services Group, Inc. DE 5.02 06/13/11 Alamo Energy Corp. NV 1.01,2.01,2.03,3.02, 04/12/11 AMEND 7.01,9.01 ALLIANT TECHSYSTEMS INC DE 8.01 06/17/11 ALLIED AMERICAN STEEL CORP. NV 8.01 06/17/11 Alpha Natural Resources, Inc. DE 5.02 06/17/11 ALTERNATE ENERGY HOLDINGS, INC. NV 1.02,9.01 06/13/11 AMC ENTERTAINMENT INC DE 5.02,5.07 06/14/11 AMERICA FIRST TAX EXEMPT INVESTORS LP DE 8.01 06/17/11 AMERICAN ENERGY GROUP LTD NV 5.02,8.01 06/10/11 AMERICAN INTERNATIONAL INDUSTRIES INC NV 1.01,3.02,5.03 06/09/11 AMERICAN LOCKER GROUP INC DE 5.02,5.07 06/17/11 American Patriot Financial Group, Inc TN 5.02 06/13/11 AMERICAS CARMART INC TX 5.02 06/15/11 AMERIPRISE FINANCIAL INC DE 5.02 06/14/11 AMERITRANS CAPITAL CORP DE 1.01,9.01 06/17/11 Apartment Trust of America, Inc. 4.01,9.01 06/15/11 ARCH COAL INC DE 1.01,2.01,2.03,9.01 06/14/11 ATMEL CORP DE 5.02 06/16/11 AVATAR HOLDINGS INC DE 1.01,1.02,5.02,9.01 06/15/11 AVIS BUDGET GROUP, INC. DE 1.01,2.03,9.01 06/17/11 Axius Inc. NV 3.02,9.01 06/16/11 BAKERS FOOTWEAR GROUP INC MO 2.02,5.07,7.01,9.01 06/14/11 BALL CORP IN 8.01 06/17/11 BANCFIRST CORP /OK/ OK 7.01 06/17/11 BANK OF GRANITE CORP DE 1.01,9.01 06/16/11 BARNES GROUP INC DE 5.02,9.01 06/15/11 BECKMAN COULTER INC DE 5.02 06/13/11 BEST BUY CO INC MN 8.01,9.01 06/17/11 BGC Partners, Inc. DE 8.01 06/17/11 BINGO.COM LTD. Y6 5.07 06/16/11 BIO-PATH HOLDINGS INC UT 7.01,9.01 06/17/11 BLUE RIDGE REAL ESTATE CO PA 5.07 06/15/11 AMEND BROADVIEW INSTITUTE INC MN 1.01,5.02,9.01 06/15/11 Brookdale Senior Living Inc. DE 5.07,8.01,9.01 06/14/11 Brooklyn Federal Bancorp, Inc. X1 2.02,8.01,9.01 06/15/11 CADENCE PHARMACEUTICALS INC 5.07 06/15/11 CAMERON INTERNATIONAL CORP DE 8.01 06/17/11 CANTERBURY PARK HOLDING CORP MN 8.01,9.01 06/17/11 Capstone Therapeutics Corp. DE 8.01 06/16/11 Cardium Therapeutics, Inc. DE 8.01,9.01 06/15/11 CARMAX INC VA 8.01 06/17/11 CATALYST HEALTH SOLUTIONS, INC. DE 2.01,9.01 06/13/11 CATALYST PHARMACEUTICAL PARTNERS, INC DE 8.01,9.01 06/16/11 CELL THERAPEUTICS INC WA 5.03,5.07,7.01,9.01 06/17/11 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 06/17/11 CHECKPOINT SYSTEMS INC PA 7.01 06/17/11 China Agri-Business, Inc. MD 1.01,9.01 06/01/11 China Century Dragon Media, Inc. DE 3.01,7.01,9.01 06/14/11 China Wind Systems, Inc DE 5.03,5.07,8.01,9.01 06/13/11 CHURCHILL DOWNS INC KY 3.02 06/17/11 CIBER INC DE 5.02,9.01 05/18/11 CIBER INC DE 1.01,5.02,9.01 06/16/11 CIGNA CORP DE 2.03,9.01 06/15/11 CINCINNATI FINANCIAL CORP OH 5.04,9.01 06/17/11 CLAIBORNE LIZ INC DE 5.02,9.01 06/13/11 Clearwire Corp /DE DE 5.02,5.07 06/15/11 COLORADO GOLDFIELDS INC. NV 1.01,5.02,9.01 06/13/11 Comamtech Inc. A6 8.01,9.01 06/16/11 COMMUNITY BANCORP /VT VT 8.01,9.01 06/14/11 CONSPIRACY ENTERTAINMENT HOLDINGS INC UT 5.02 06/15/11 COPART INC CA 1.01 06/15/11 CorMedix Inc. DE 8.01,9.01 06/14/11 Corporate Capital Trust, Inc. MD 8.01,9.01 06/16/11 CPM Holdings, Inc. 8.01 06/17/11 DANAHER CORP /DE/ DE 1.01,9.01 06/17/11 DCP Midstream Partners, LP DE 8.01,9.01 06/17/11 DCP Midstream Partners, LP DE 8.01,9.01 06/17/11 DEL MONTE CORP 2.02,7.01,9.01 06/17/11 Delek US Holdings, Inc. 8.01,9.01 06/17/11 DICKS SPORTING GOODS INC DE 5.02 06/14/11 DIGITAL YEARBOOK, INC. NV 5.03,7.01,9.01 06/15/11 DISCOVERY LABORATORIES INC /DE/ DE 5.02 06/14/11 Diversified Opportunities, Inc. DE 5.02 06/14/11 DOVER DOWNS GAMING & ENTERTAINMENT IN DE 1.01,7.01,9.01 06/15/11 DOVER MOTORSPORTS INC DE 1.01,7.01,9.01 06/15/11 DUOYUAN PRINTING, INC. WY 5.02,9.01 06/17/11 eHealth, Inc. DE 5.07 06/14/11 Embassy Bancorp, Inc. PA 5.07 06/16/11 EMISPHERE TECHNOLOGIES INC DE 8.01,9.01 06/17/11 ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 1.01,2.03 06/14/11 Essex Rental Corp. DE 5.07 06/16/11 EXCELSIOR LASALLE PROPERTY FUND INC 5.07 06/10/11 FARO TECHNOLOGIES INC FL 8.01 06/13/11 Fibrocell Science, Inc. DE 3.02,5.07,8.01 06/15/11 Fifth Season International, Inc. DE 2.01,3.02,5.01,5.02, 06/17/11 AMEND 5.03,5.06,9.01 FINISAR CORP DE 5.02 06/13/11 First Advantage Bancorp 5.02 06/17/11 First Business Financial Services, In 7.01,9.01 06/17/11 FIRST PACTRUST BANCORP INC MD 5.02 06/14/11 FIRSTFED FINANCIAL CORP DE 8.01,9.01 06/15/11 FIVE STAR QUALITY CARE INC 8.01,9.01 06/15/11 Forbes Energy Services Ltd. D0 8.01 06/09/11 FREEPORT MCMORAN COPPER & GOLD INC DE 5.07 06/15/11 Fuelstream INC DE 5.03,9.01 06/14/11 Fuelstream INC DE 5.03,5.07,9.01 06/16/11 GAMETECH INTERNATIONAL INC DE 2.02,2.03,8.01,9.01 06/16/11 Gas Natural Inc. OH 5.07 06/15/11 General Moly, Inc DE 5.07,9.01 06/16/11 Genpact LTD D0 5.02,9.01 06/15/11 GENVEC INC DE 5.02,5.07,7.01,9.01 06/15/11 Global Cash Access Holdings, Inc. DE 5.02 06/16/11 GLOBECOMM SYSTEMS INC 8.01,9.01 06/17/11 GOLDMAN SACHS GROUP INC DE 5.02,9.01 06/16/11 GOLDMAN SACHS GROUP INC DE 9.01 06/17/11 Graham Packaging Co Inc. DE 8.01,9.01 06/17/11 GSI COMMERCE INC DE 1.01,1.02,2.01,3.03, 06/16/11 5.01,5.02,5.03,9.01 GSI COMMERCE INC DE 3.01,5.07,8.01 06/17/11 GUIDED THERAPEUTICS INC DE 7.01 06/17/11 GulfStar Energy Corp CO 1.01,5.01,9.01 06/15/11 H & H Imports, Inc. FL 1.01,3.02,9.01 06/15/11 HAMPSHIRE GROUP LTD DE 1.01,3.02,3.03,8.01, 06/13/11 9.01 HANOVER INSURANCE GROUP, INC. DE 1.01,2.03,7.01,9.01 06/14/11 HARBINGER GROUP INC. DE 9.01 04/06/11 AMEND HOLLYWOOD MEDIA CORP FL 5.02 06/15/11 Homeland Security Capital CORP DE 5.02,9.01 06/15/11 HORNE INTERNATIONAL, INC. DE 5.02 06/17/11 HOUSTON AMERICAN ENERGY CORP DE 8.01,9.01 06/16/11 HUTCHINSON TECHNOLOGY INC MN 5.07,8.01,9.01 06/17/11 HYPERDYNAMICS CORP DE 4.01,9.01 06/15/11 IDERA PHARMACEUTICALS, INC. DE 5.02,5.07,9.01 06/14/11 IGATE CORP PA 5.02 06/15/11 II-VI INC PA 1.01,1.02,2.03,9.01 06/15/11 inContact, Inc. DE 5.07 06/15/11 INDEPENDENT BANK CORP MA 5.07 05/25/11 AMEND INFORMATION ARCHITECTS CORP NC 8.01 06/17/11 INFRASTRUCTURE MATERIALS CORP. DE 8.01,9.01 06/08/11 INLAND REAL ESTATE CORP MD 8.01,9.01 06/10/11 INNOSPEC INC. DE 4.01,9.01 06/13/11 INSIGNIA SYSTEMS INC/MN MN 8.01 05/27/11 INTEGRATED DEVICE TECHNOLOGY INC DE 1.01,2.03,9.01 06/13/11 INTERLEUKIN GENETICS INC DE 5.07 06/16/11 International Coal Group, Inc. DE 1.01,1.02,2.04,3.01, 06/14/11 3.02,3.03,5.01,5.02, 5.03 INTERNATIONAL LEASE FINANCE CORP CA 7.01,8.01,9.01 06/17/11 INVESTMENT TECHNOLOGY GROUP INC DE 5.07 06/17/11 IPC The Hospitalist Company, Inc. DE 5.02,9.01 06/15/11 IRVINE SENSORS CORP/DE/ DE 5.02 06/14/11 ISIS PHARMACEUTICALS INC DE 5.02,5.07 06/16/11 JARDEN CORP DE 5.02,5.03,5.07,9.01 06/13/11 JONES SODA CO WA 1.01 06/13/11 KIMCO REALTY CORP MD 8.01,9.01 06/17/11 KNOT INC DE 5.07,8.01,9.01 06/15/11 KV PHARMACEUTICAL CO /DE/ DE 1.01,7.01,9.01 06/17/11 LAKELAND INDUSTRIES INC DE 5.07,9.01 06/15/11 Lender Processing Services, Inc. DE 7.01,9.01 06/16/11 Li3 Energy, Inc. NV 7.01,9.01 06/17/11 Liberty Global, Inc. 7.01 06/17/11 LIFE PARTNERS HOLDINGS INC TX 4.02,9.01 06/14/11 LIFEPOINT HOSPITALS, INC. 8.01,9.01 06/15/11 LITTELFUSE INC /DE DE 1.01,1.02,2.03,9.01 06/13/11 LOCATEPLUS HOLDINGS CORP 2.04,5.02 06/17/11 Main Street Capital CORP MD 5.07 06/15/11 Man AHL FuturesAccess LLC DE 3.02 06/14/11 MARKWEST ENERGY PARTNERS L P 1.01,2.03,9.01 06/15/11 MASTERCARD INC DE 8.01 06/15/11 MCMORAN EXPLORATION CO /DE/ DE 5.03,5.07,9.01 06/15/11 Media Exchange Group, Inc. NV 7.01,9.01 06/16/11 Media Exchange Group, Inc. NV 1.01,2.01,3.02,5.01, 06/03/11 AMEND 5.02,5.03,9.01 MEDICINOVA INC DE 5.07 06/14/11 MENS WEARHOUSE INC TX 5.02,5.07,8.01,9.01 06/15/11 METABOLIX, INC. 3.01 06/13/11 METRO BANCORP, INC. 5.02 06/13/11 MF Global Holdings Ltd. DE 5.02,9.01 06/15/11 MFRI INC DE 5.07 06/15/11 MGM Resorts International DE 5.07 06/14/11 Midway Gold Corp A1 7.01,9.01 06/13/11 MILLER ENERGY RESOURCES, INC. 1.01,2.03,9.01 06/13/11 MINERALS TECHNOLOGIES INC DE 5.02,9.01 06/14/11 ML Aspect FuturesAccess LLC DE 3.02 06/14/11 ML Systematic Momentum FuturesAccess DE 3.02 06/14/11 ML Transtrend DTP Enhanced FuturesAcc DE 3.02 06/14/11 ML Winton FuturesAccess LLC DE 3.02 06/14/11 MONOLITHIC POWER SYSTEMS INC CA 5.07 06/16/11 MPG Office Trust, Inc. MD 5.07 06/16/11 MTR GAMING GROUP INC DE 5.07 06/15/11 NCI, Inc. DE 2.01,9.01 04/01/11 AMEND NEKTAR THERAPEUTICS DE 5.07 06/14/11 NEWCASTLE INVESTMENT CORP MD 8.01,9.01 06/16/11 NORTHROP GRUMMAN CORP /DE/ DE 8.01,9.01 06/17/11 NORTHWEST PIPE CO OR 5.07 06/14/11 NovaBay Pharmaceuticals, Inc. CA 1.02,8.01 06/16/11 Nuance Communications, Inc. DE 2.01,9.01 06/15/11 Nuance Communications, Inc. DE 2.01,9.01 06/16/11 NYSE Euronext DE 1.01,9.01 06/14/11 OMEGA PROTEIN CORP NV 5.02,5.07,8.01,9.01 06/15/11 ONE LIBERTY PROPERTIES INC MD 7.01,9.01 06/17/11 PACIFIC ENTERPRISES INC CA 5.07 06/15/11 PALMETTO BANCSHARES INC SC 5.07 05/19/11 AMEND PENSKE AUTOMOTIVE GROUP, INC. DE 1.01 06/16/11 PERMA FIX ENVIRONMENTAL SERVICES INC DE 1.01 06/13/11 PETSMART INC DE 5.02,5.07,9.01 06/15/11 PHARMACYCLICS INC DE 1.01,8.01,9.01 06/17/11 PHYSICIANS FORMULA HOLDINGS, INC. DE 5.02 06/13/11 Porter Bancorp, Inc. KY 8.01,9.01 06/17/11 POTASH AMERICA, INC. NV 1.01,2.01 06/06/11 PPG INDUSTRIES INC PA 8.01,9.01 06/17/11 PREMIERE GLOBAL SERVICES, INC. GA 5.07 06/15/11 PRIVATE MEDIA GROUP INC NV 3.01 06/13/11 PROCERA NETWORKS INC NV 5.02,5.07,9.01 06/13/11 PROGRESSIVE CORP/OH/ OH 5.02 06/16/11 PROTEONOMIX, INC. DE 8.01 06/17/11 PSS WORLD MEDICAL INC FL 8.01,9.01 06/17/11 RADIANT LOGISTICS, INC DE 9.01 04/06/11 AMEND RADISYS CORP OR 5.07 06/15/11 RAE SYSTEMS INC DE 3.01,3.03,5.01,5.02, 06/16/11 5.03,8.01,9.01 REALTY INCOME CORP MD 8.01,9.01 06/14/11 REVLON CONSUMER PRODUCTS CORP DE 1.01,9.01 06/16/11 REVLON INC /DE/ DE 1.01,9.01 06/16/11 ROLLINS INC DE 8.01,9.01 06/15/11 ROMA FINANCIAL CORP X1 8.01,9.01 06/17/11 RURAL/METRO CORP /DE/ DE 8.01,9.01 06/16/11 Sabra Health Care REIT, Inc. MD 5.07 06/16/11 SALIX PHARMACEUTICALS LTD 5.07 06/16/11 Santander Holdings USA, Inc. PA 7.01,9.01 06/17/11 SANTARUS INC DE 5.07 06/15/11 SCRIPPS E W CO /DE OH 8.01 06/16/11 Scripps Networks Interactive, Inc. OH 8.01 06/16/11 SEATTLE GENETICS INC /WA DE 5.02 06/17/11 Shire plc 8.01,9.01 06/17/11 SHOE CARNIVAL INC IN 5.02,5.07,9.01 06/16/11 SIGNET JEWELERS LTD 5.03,5.07,9.01 06/16/11 SILGAN HOLDINGS INC DE 1.02 06/17/11 Silicon Graphics International Corp DE 5.02 06/13/11 Sino Clean Energy Inc NV 7.01 06/14/11 SKYWORKS SOLUTIONS INC DE 8.01 06/16/11 SMART ONLINE INC DE 5.07 06/15/11 Solera National Bancorp, Inc. DE 7.01,9.01 06/16/11 Sonora Resources Corp. NV 1.01,5.02,7.01,9.01 06/15/11 SOUTH HERTFORDSHIRE UNITED KINGDOM FU CO 8.01,9.01 06/17/11 SOUTHERN CONNECTICUT BANCORP INC CT 5.02,5.07 06/14/11 SOUTHERN UNION CO DE 1.01,9.01 06/15/11 SPECTRUM GROUP INTERNATIONAL, INC. NY 8.01 06/13/01 SPECTRUM PHARMACEUTICALS INC DE 1.01 06/13/11 STATE STREET Corp MA 5.07 05/18/11 AMEND Steadfast Income REIT, Inc. MD 1.01,9.01 06/13/11 STEEL DYNAMICS INC IN 8.01,9.01 06/16/11 Stream Global Services, Inc. DE 5.02 06/14/11 SUFFOLK BANCORP NY 5.02 06/13/11 Sunshine Biopharma, Inc CO 1.01,7.01,9.01 06/14/11 SUPERGEN INC DE 5.07,8.01,9.01 06/16/11 SYMS CORP NJ 1.01,9.01 06/17/11 TABLE TRAC INC NV 1.01,5.07,7.01,9.01 06/15/11 TAUBMAN CENTERS INC MI 1.01,8.01,9.01 06/14/11 TC PIPELINES LP DE 1.01,8.01,9.01 06/14/11 TC PIPELINES LP DE 5.02,7.01,9.01 06/16/11 TELETOUCH COMMUNICATIONS INC DE 1.01,2.03,3.03,9.01 06/13/11 TESLA MOTORS INC DE 1.01 06/13/11 TESSERA TECHNOLOGIES INC DE 3.01 06/14/11 Transocean Ltd. V8 8.01 06/17/11 Transocean Ltd. V8 7.01,9.01 06/16/11 AMEND TRIDENT MICROSYSTEMS INC DE 5.07,9.01 06/16/11 U S GOLD CORP CO 5.07 06/14/11 UNISYS CORP DE 5.02,9.01 06/15/11 UNITED SECURITY BANCSHARES INC DE 7.01,9.01 06/17/11 UNIVERSAL ELECTRONICS INC DE 5.07 06/09/11 UNIVERSAL HOSPITAL SERVICES INC MN 1.01,2.03,9.01 06/17/11 VALMONT INDUSTRIES INC DE 1.02,2.03 06/13/11 VALSPAR CORP DE 5.07 02/17/11 AMEND VALUEVISION MEDIA INC MN 5.02,5.07 06/15/11 Vanda Pharmaceuticals Inc. DE 5.07,8.01 06/16/11 Vanity Events Holding, Inc. DE 1.01,2.03,3.02,9.01 06/13/11 VARIAN SEMICONDUCTOR EQUIPMENT ASSOCI DE 8.01,9.01 06/17/11 Verigy Ltd. U0 5.07 06/17/11 Vertex Energy Inc. 3.02 06/15/11 VERTEX PHARMACEUTICALS INC / MA MA 1.01 06/13/11 VISCOUNT SYSTEMS INC NV 5.07 06/15/11 VIVUS INC CA 7.01,9.01 06/17/11 Walter Energy, Inc. DE 9.01 04/01/11 AMEND WALTER INVESTMENT MANAGEMENT CORP MD 8.01,9.01 06/17/11 WAVE SYSTEMS CORP DE 5.07 06/14/11 WD 40 CO DE 1.01,1.02,2.03,9.01 06/17/11 WESTMORELAND COAL Co DE 5.02,9.01 06/17/11 Whitestone REIT TX 1.01,2.03,9.01 06/13/11 Whitestone REIT Operating Partnership DE 1.01,2.03,9.01 06/13/11 WINSONIC DIGITAL MEDIA GROUP, LTD. NV 2.02,2.06,7.01 06/17/11 WIZZARD SOFTWARE CORP /CO CO 5.03,5.07,9.01 06/14/11 Woodward, Inc. DE 5.02,7.01 06/17/11 World Surveillance Group Inc. DE 1.01,5.02,9.01 06/13/11 X-CHANGE CORP NV 5.02,7.01,9.01 03/10/11 ZION OIL & GAS INC DE 8.01,9.01 06/17/11