 |
 |
SEC News Digest
Issue 2011-138
July 19, 2011
Rules and Related Matters
Technical Amendment to Commission Procedures for Filing Applications for Orders for Exemptive Relief under Section 36 of the Exchange Act
The Commission is making technical amendments to the rule by which applications for exemptive relief under section 36 of the Securities Exchange Act of 1934 may be submitted electronically. The amendments are intended only to clarify and update references to an SEC website address and to eliminate certain formatting requirements. Publication is expected in the Federal Register during the week of July 18. (Rel. 34-64913)
Enforcement Proceedings
Court Enters Order Against Former Prudential Registered Representatives in Connection With Deceptive Market Timing Practices
The Commission today announced that, on July 13, 2011, a Massachusetts federal court entered an order against Martin J. Druffner of Hopkinton, Massachusetts, and Skifter Ajro of Milford, Massachusetts, two defendants in a civil injunctive action filed by the Commission on November 4, 2003, requiring them to pay $1,131,157 and $124,427, respectively, in disgorgement and prejudgment interest. The court had previously entered judgments against Druffner and Ajro on October 10, 2006 enjoining them from future violations of the federal securities laws. The Commission alleged in its complaint that Druffner and Ajro, former registered representatives of broker-dealer Prudential Securities, Inc., committed fraud in connection with their deceptive market timing trades in dozens of mutual funds.
The Commission filed its complaint against Druffner and Ajro, three other former Prudential Securities registered representatives, and their former branch manager, on November 4, 2003, and amended its complaint on July 14, 2004. The amended complaint alleged that Druffner and Ajro were part of a group of registered representatives that defrauded mutual fund companies and the funds’ shareholders by placing thousands of market timing trades worth more than $1 billion for five hedge fund customers from at least January 2001 through September 2003. According to the amended complaint, Druffner and Ajro knew that the mutual fund companies monitored and attempted to restrict excessive trading in their mutual funds. The amended complaint alleged that, to evade those restrictions when placing market timing trades, members of the group disguised their own identities by establishing multiple broker identification numbers and disguised their customers’ identities by opening numerous customer accounts for what were, in reality, only a handful of customers.
The order was entered by the Honorable Nathaniel M. Gorton of the United States District Court for the District of Massachusetts.
In addition to the Commission’s civil injunctive action, Druffner pled guilty to four counts of securities fraud and four counts of wire fraud on September 15, 2006. He was sentenced to 6 months of home confinement, three years of probation, and a $4,000 fine. He was also barred from associating with any broker, dealer, or investment adviser on March 17, 2006. Similarly, Ajro pled guilty to four counts of securities fraud and four counts of wire fraud on August 9, 2006. He was sentenced to two years of probation and a $2,000 fine. He was also barred from associating with any broker, dealer, or investment adviser on February 2, 2006. [SEC v. Martin J. Druffner, et. al., United States District Court for the District of Massachusetts Civil Action No. 03-12154-NMG] (LR-22047)
SEC Charges Former Corporate Executive Howard B. Wildstein With Insider Trading
The Securities and Exchange Commission filed a civil injunctive action today in the United States District Court for the District of Columbia charging Howard B. Wildstein, a former Pitney Bowes, Inc. executive, with insider trading in the stock of MapInfo Corporation in advance of the March 15, 2007 public announcement that Pitney Bowes had entered into a definitive agreement to acquire MapInfo.
According to the SEC’s complaint, Wildstein acquired material nonpublic information concerning the acquisition through his employment at Pitney Bowes. In particular, as alleged in the complaint, in late February 2007, Wildstein learned that MapInfo was a potential target of Pitney Bowes and that executives of Pitney Bowes who were responsible for mergers and acquisitions had recently visited MapInfo. On March 1 and March 2, 2007, based on this material nonpublic information, Wildstein purchased 8,000 shares of MapInfo common stock. After the acquisition was publicly announced, Wildstein sold all 8,000 shares, realizing an unlawful profit of $51,177.
Without admitting or denying the allegations in the complaint, Wildstein has consented to the entry of a final judgment that permanently enjoins him from violating Sections 10(b) and 14(e) of the Securities and Exchange Act of 1934, and Rules 10b-5 and 14e-3 thereunder, and requires him to pay a total of $114,848 in disgorgement, prejudgment interest, and civil penalties. The settlement is subject to approval by the court. [SEC v. Howard B. Wildstein, United States District Court for the District of Columbia, Civil Action No. 11-01297 (JDB)] (LR-22048)
Investment Company Act Releases
BAC Home Loan Servicing, LP (HLS), et al.
The Commission has issued a temporary order to BAC Home Loan Servicing, LP (HLS), et al., under Section 9(c) of the Investment Company Act of 1940 (Act) with respect to an injunction entered by the U.S. District Court for the Central District of California on May 31, 2011. The temporary order exempts applicants and companies of which HLS is an affiliated person or may become an affiliated person in the future from the provisions of Section 9(a) of the Act, until the Commission takes final action on an application for a permanent order. The Commission also has issued a notice giving interested persons until August 12, 2011, to request a hearing on the application filed by applicants for a permanent order under Section 9(c) of the Act. (Rel. IC-29726 - July 18)
Self-Regulatory Organizations
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by The NASDAQ Stock Market (SR-NASDAQ-2011-097) to amend NASDAQ Stock Market equities trading Rules 4757 and 4758 and NASDAQ Options Market Rules Chapter VI 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 July 18. (Rel. 34-64899)
A proposed rule change filed by NASDAQ OMX PHLX (SR-Phlx-2011-99) to amend Phlx Options Rule 1080(m) 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 July 18. (Rel. 34-64900)
A proposed rule change filed by BATS Y-Exchange (SR-BYX-2011-015) to make certain changes consistent with the upcoming implementation of the Market Access Rule 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 July 18. (Rel. 34-64901)
A proposed rule change (SR-NYSEAmex-2011-49) filed by NYSE Amex implementing proposal to amend the fee schedule by adding definitions for the Strategy Executions that qualify for transaction fee caps 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 July 18. (Rel. 34-64902)
A proposed rule change filed by EDGA Exchange (SR-EDGA-2011-20) to amend EDGA Rule 11.9 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 July 18. (Rel. 34-64903)
A proposed rule change filed by New York Stock Exchange (SR-NYSE-2011-34) amending NYSE Rule 17 to make changes necessary to allow its Routing Broker to operate consistent with the requirements of Rule 15c3-5 under the Securities Exchange Act of 1934 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 July 18. (Rel. 34-64904)
A proposed rule change filed by NYSE Arca (SR-NYSEArca-2011-50) amending NYSE Arca Options Rule 6.96 to make changes necessary to allow its Routing Broker to operate consistent with the requirements of Rule 15c3-5 under the Securities Exchange Act of 1934 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 July 18. (Rel. 34-64905)
A proposed rule change filed by NYSE Arca (SR-NYSEAca-2011-49) amending NYSE Arca Equities Rule 7.45 to make changes necessary to allow its Routing Broker to operate consistent with the requirements of Rule 15c3-5 under the Securities Exchange Act of 1934 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 July 18. (Rel. 34-64906)
A proposed rule change filed by NYSE Amex (SR-NYSEAmex-2011-53) amending NYSE Amex Options Rule 993NY to make changes necessary to allow its Routing Broker to operate consistent with the requirements of Rule 15c3-5 under the Securities Exchange Act of 1934 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 July 18. (Rel. 34-64907)
A proposed rule change filed by NYSE Amex (SR-NYSEAmex-2011-52) amending Rule 17 – NYSE Amex Equities to make changes necessary to allow its Routing Broker to operate consistent with the requirements of Rule 15c3-5 under the Securities Exchange Act of 1934 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 July 18. (Rel. 34-64908)
A proposed rule change filed by National Stock Exchange (SR-NSX-2011-07) to amend NSX Rule 11.15 consistent with the implementation of the adoption of Rule 15c3-5 under the Act 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 July 18. (Rel. 34-64909)
A proposed rule change filed by BATS Exchange (SR-BATS-2011-021) to make certain changes consistent with the upcoming implementation of the Market Access Rule 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 July 18. (Rel. 34-64910)
A proposed rule change filed by EDGX Exchange (SR-EDGX-2011-20) to amend EDGX Rule 11.9 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 July 18. (Rel. 34-64911)
Securities Act Registrations
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-1 FLINT TELECOM GROUP INC., 7500 COLLEGE BLVD, SUITE 500, OVERLAND PARK,
KS, 66210, 5619620230 - 60,000,000 ($240,000.00) Equity,
(File 333-175476 - Jul. 12) (BR. 11C)
S-4 CUMULUS MEDIA INC, 3280 PEACHTREE ROAD N.W., SUITE 2300, ATLANTA, GA,
30305, 4049490700 - 0 ($431,124,121.00) Equity, (File 333-175477 -
Jul. 12) (BR. 11C)
S-3 QUANTUM FUEL SYSTEMS TECHNOLOGIES WORLDWIDE, INC.,
17872 CARTWRIGHT ROAD, IRVINE, CA, 92614, 949-399-4500 -
4,810,681 ($20,018,764.00) Equity, (File 333-175478 - Jul. 12) (BR. 05B)
S-8 ReneSola Ltd, NO. 8 BAOQUN ROAD, YAOZHUANG, JIASHAN, F4, 314117,
(86-573) 8477 3058 - 5,000,000 ($23,850,000.00) Equity,
(File 333-175479 - Jul. 12) (BR. 10C)
S-1 GOLDEN OASIS NEW ENERGY GROUP, INC., 2112A STONINGTON AVENUE,
HOFFMAN ESTATES, IL, 60169, 630 254 8655 - 611,500 ($61,150.00) Equity,
(File 333-175482 - Jul. 12) (BR. 10B)
S-1 NYC MODA INC, 547 N YALE AVE, VILLA PARK, IL, 60181, 331-262-0006 -
4,000,000 ($80,000.00) Equity, (File 333-175483 - Jul. 12) (BR. 09)
S-1 IMAGING DIAGNOSTIC SYSTEMS INC /FL/, 5307 NW 35TH TERRACE,
FORT LAUDERDALE, FL, 33309, 954 581-9800 -
200,000,000 ($3,100,000.00) Equity, (File 333-175492 - Jul. 12)
(BR. 10B)
S-8 Naugatuck Valley Financial Corp, 333 CHURCH STREET, NAUGATUCK, CT,
06770, 203 720 50000 - 0 ($4,018,685.00) Equity, (File 333-175493 -
Jul. 12) (BR. 07)
S-8 Naugatuck Valley Financial Corp, 333 CHURCH STREET, NAUGATUCK, CT,
06770, 203 720 50000 - 0 ($3,880,003.00) Equity, (File 333-175496 -
Jul. 12) (BR. 07)
S-3 CURRENCYSHARES EURO TRUST, C/O RYDEX INVESTMENTS,
9601 BLACKWELL ROAD, SUITE 500, ROCKVILLE, MD, 20009, 301-296-5100 -
0 ($1,422,100,000.00) Other, (File 333-175502 - Jul. 12) (BR. 08B)
S-3ASR CURRENCYSHARES CANADIAN DOLLAR TRUST,
C/O RYDEX INVESTMENTS, ATTN: TIM MEYER, 9601 BLACKWELL ROAD, SUITE 500,
ROCKVILLE, MD, 20850, 301-296-5129 - 0 ($514,100,000.00) Other,
(File 333-175503 - Jul. 12) (BR. 08B)
S-3ASR CURRENCYSHARES SWISS FRANC TRUST,
C/O RYDEX INVESTMENTS, ATTN: TIM MEYER, 9601 BLACKWELL ROAD, SUITE 500,
ROCKVILLE, MD, 20850, 301-296-5129 - 0 ($586,150,000.00) Other,
(File 333-175504 - Jul. 12) (BR. 08B)
S-8 POLYCOM INC, 4750 WILLOW ROAD, PLEASANTON, CA, 94588-2708, 9259246000 -
26,800,000 ($817,848,000.00) Equity, (File 333-175506 - Jul. 12)
(BR. 11C)
S-1 WaferGen Bio-systems, Inc., 7400 PASEO PADRE PARKWAY, FREMONT, CA,
94555, (510) 651-4450 - 112,346,479 ($66,284,423.00) Equity,
(File 333-175507 - Jul. 12) (BR. 10C)
S-3ASR AMERICAN AXLE & MANUFACTURING HOLDINGS INC, ONE DAUCH DRIVE, DETROIT,
MI, 48211-1198, 3137583600 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-175508 - Jul. 12) (BR. 05A)
S-1 West End Indiana Bancshares, Inc., 34 SOUTH 7TH STREET, RICHMOND, IN,
47374, (765) 962-9587 - 0 ($18,895,000.00) Equity, (File 333-175509 -
Jul. 12) (BR. )
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
1.01
|
Entry into a Material Definitive Agreement
|
1.02
|
Termination of a Material Definitive Agreement
|
1.03
|
Bankruptcy or Receivership
|
2.01
|
Completion of Acquisition or Disposition of Assets
|
2.02
|
Results of Operations and Financial Condition
|
2.03
|
Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
|
2.04
|
Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
|
2.05
|
Cost Associated with Exit or Disposal Activities
|
2.06
|
Material Impairments
|
3.01
|
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
|
3.02
|
Unregistered Sales of Equity Securities
|
3.03
|
Material Modifications to Rights of Security Holders
|
4.01
|
Changes in Registrant's Certifying Accountant
|
4.02
|
Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
|
5.01
|
Changes in Control of Registrant
|
5.02
|
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer
|
5.03
|
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
|
5.04
|
Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
|
5.05
|
Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
|
5.06
|
Change in Shell Company Status
|
6.01
|
ABS Informational and Computational Material.
|
6.02
|
Change of Servicer or Trustee.
|
6.03
|
Change in Credit Enhancement or Other External Support.
|
6.04
|
Failure to Make a Required Distribution.
|
6.05
|
Securities Act Updating Disclosure.
|
7.01
|
Regulation FD Disclosure
|
8.01
|
Other Events
|
9.01
|
Financial Statements and Exhibits
|
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
99 CENTS ONLY STORES CA 2.02,9.01 07/14/11
ABRAXAS PETROLEUM CORP NV 7.01,9.01 07/18/11
ACCREDITED BUSINESS CONSOLIDATORS COR PA 8.01 07/27/10
ACCREDITED BUSINESS CONSOLIDATORS COR PA 8.01 07/18/11 AMEND
AgFeed Industries, Inc. NV 7.01,9.01 07/18/11
ALBEMARLE CORP VA 5.02,9.01 07/13/11
ALKERMES INC PA 2.02,8.01,9.01 07/18/11
Allied World Assurance Co Holdings, A 8.01,9.01 07/18/11
ALLSTATE CORP DE 5.02,9.01 07/17/11
ALSERES PHARMACEUTICALS INC /DE DE 1.01 07/11/11
ALTAIR NANOTECHNOLOGIES INC 8.01,9.01 07/17/11
American Realty Capital Trust, Inc. DE 8.01,9.01 07/18/11
American Reprographics CO DE 5.02,9.01 07/18/11
American Water Works Company, Inc. DE 7.01,9.01 07/18/11
Amerilithium Corp. NV 1.01,9.01 06/29/11 AMEND
Apple REIT Ten, Inc. VA 1.01 07/13/11
Armour Residential REIT, Inc. MD 5.07 07/18/11
ASSOCIATED BANC-CORP WI 5.02,9.01 07/18/11
AXA FINANCIAL INC DE 1.01,2.03 07/13/11
Axiologix Education Corp NV 1.02 07/15/11
Bacterin International Holdings, Inc. DE 7.01,9.01 07/18/11
BANK OF HAWAII CORP DE 8.01 07/15/11
Bank of Marin Bancorp CA 7.01,9.01 07/18/11
BGC Partners, Inc. DE 8.01 07/18/11
Bio-Carbon Systems International Inc. NV 1.01,2.01,3.02,9.01 06/25/11
Biostar Pharmaceuticals, Inc. MD 7.01,9.01 07/18/11
BLYTH INC DE 5.02 07/18/11
BOTETOURT BANKSHARES INC VA 8.01 07/18/11
Brenham Oil & Gas Corp. NV 5.02 06/10/11
BROWN & BROWN INC FL 2.02 06/30/11
Bulova Technologies Group, Inc. FL 5.02 07/12/11
CANYON COPPER CORP. 3.02,7.01,9.01 07/13/11
CCA INDUSTRIES INC DE 8.01,9.01 07/18/11
CECIL BANCORP INC MD 5.02 07/12/11
CenterState Banks, Inc. FL 7.01,9.01 07/18/11
CHAMPION INDUSTRIES INC WV 2.02,9.01 07/18/11
CHAMPIONS ONCOLOGY, INC. DE 8.01,9.01 07/18/11
Chatham Lodging Trust MD 2.01,2.03,9.01 07/14/11
CHINA GENGSHENG MINERALS, INC. NV 7.01,8.01,9.01 07/18/11
CHINA GREEN MATERIAL TECHNOLOGIES, IN NV 5.02,9.01 07/12/11
China TransInfo Technology Corp. NV 8.01,9.01 07/18/11
CIMAREX ENERGY CO DE 1.01,2.03,9.01 07/15/11
CISCO SYSTEMS INC CA 2.05 07/18/11
CLOROX CO /DE/ DE 8.01,9.01 07/15/11
COMMONWEALTH BANKSHARES INC VA 8.01,9.01 07/18/11
COMVERGE, INC. DE 5.02 07/13/11
Converted Organics Inc. DE 5.02,8.01,9.01 07/14/11
CORNING INC /NY NY 8.01 07/18/11
CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 9.01 05/02/11 AMEND
CYTODYN INC CO 5.02,9.01 07/14/11
DCB FINANCIAL CORP OH 8.01,9.01 07/18/11
DemandTec, Inc. DE 8.01 07/14/11
DENBURY RESOURCES INC DE 5.02,9.01 07/11/11
Deyu Agriculture Corp. NV 1.01,9.01 06/16/11 AMEND
diaDexus, Inc. DE 5.02,5.07,9.01 07/12/11
DIAMONDHEAD CASINO CORP DE 5.02 07/13/11
DIGUANG INTERNATIONAL DEVELOPMENT CO. NV 5.02 07/14/11
DISCOVERY LABORATORIES INC /DE/ DE 5.02,9.01 07/12/11
DOLLAR GENERAL CORP TN 2.03,8.01 07/15/11
Domark International Inc. NV 5.02,9.01 07/15/11
DOW CHEMICAL CO /DE/ DE 5.07 05/12/11 AMEND
DREW INDUSTRIES INC DE 8.01,9.01 07/18/11
Duke Energy CORP DE 8.01 07/11/11
Echo Therapeutics, Inc. DE 5.07 07/13/11
EcoReady Corp FL 1.01,2.03,9.01 07/15/11
EGAIN COMMUNICATIONS CORP DE 2.02,9.01 07/18/11
EMMIS COMMUNICATIONS CORP IN 5.07 07/13/11
ENDEAVOUR INTERNATIONAL CORP NV 1.01,2.03,7.01,8.01, 07/15/11
9.01
ENER1 INC FL 7.01,9.01 07/18/11
Energy Recovery, Inc. DE 2.05,2.06,9.01 07/12/11
ENTERGY CORP /DE/ DE 2.02,9.01 07/18/11
EOS Preferred Corp MA 7.01 07/13/11
EQUITY RESIDENTIAL MD 7.01,8.01,9.01 07/18/11
EZCORP INC DE 5.02,9.01 07/18/11
Federal Home Loan Bank of Pittsburgh PA 2.02,7.01 07/18/11
FERRO CORP OH 7.01,9.01 07/18/11
FIRST FINANCIAL HOLDINGS INC /DE/ DE 2.06,9.01 07/18/11
FIRST SOUTH BANCORP INC /VA/ VA 2.02,9.01 07/18/11
FPB BANCORP INC FL 1.03 07/18/11
FS Energy & Power Fund DE 8.01,9.01 07/18/11
FS Investment CORP MD 2.02,9.01 05/31/11
GANNETT CO INC /DE/ DE 2.02,8.01,9.01 07/18/11
General Moly, Inc DE 8.01,9.01 07/15/11
Genpact LTD D0 9.01 05/03/11 AMEND
Golden Elephant Glass Technology, Inc NV 5.02 07/18/11
GOLDMAN SACHS GROUP INC DE 9.01 07/18/11
Golub Capital BDC, Inc. DE 2.02,9.01 07/18/11
Greektown Superholdings, Inc. DE 8.01,9.01 07/14/11
Greenfield Farms Food, Inc. NV 7.01,9.01 07/18/11
GREENHILL & CO INC DE 2.02,9.01 07/17/11
GREENHILL & CO INC DE 5.07 07/16/11 AMEND
GRYPHON GOLD CORP NV 7.01,9.01 07/18/11
GSI GROUP INC A3 8.01 07/18/11
HARVEST NATURAL RESOURCES, INC. DE 8.01,9.01 07/18/11
HASBRO INC RI 2.02,9.01 07/18/11
Helios & Matheson Information Technol DE 3.01 06/27/11 AMEND
HERTZ CORP DE 1.01,9.01 07/12/11
HERTZ GLOBAL HOLDINGS INC 1.01,9.01 07/12/11
HOME BANCORP, INC. LA 2.01,8.01,9.01 07/15/11
Horizon Technology Finance Corp DE 1.01,2.03,9.01 07/14/11
HUTCHINSON TECHNOLOGY INC MN 8.01,9.01 07/18/11
IBERIABANK CORP LA 5.07 05/06/11 AMEND
ICU MEDICAL INC/DE DE 2.02,9.01 07/18/11
INDEPENDENT BANK CORP MA 8.01,9.01 07/15/11
INDUSTRIAL MINERALS INC DE 5.03,9.01 07/14/11
INFORMATION ARCHITECTS CORP NC 5.02,9.01 07/18/11
INLAND REAL ESTATE CORP MD 8.01,9.01 07/18/11
INSITE VISION INC DE 1.01,3.02,9.01 07/12/11
INSMED INC VA 5.02,9.01 07/18/11
INTEGRAL SYSTEMS INC /MD/ MD 5.07 02/16/11 AMEND
INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 07/18/11
J C PENNEY CO INC DE 5.03,9.01 07/15/11
KINETIC CONCEPTS INC TX 8.01,9.01 07/14/11
Kodiak Oil & Gas Corp B0 1.01,2.03,8.01,9.01 07/15/11
Kodiak Oil & Gas Corp B0 7.01,9.01 07/18/11
KRATOS DEFENSE & SECURITY SOLUTIONS, DE 1.01,8.01,9.01 07/18/11
LAKELAND INDUSTRIES INC DE 1.02,9.01 07/15/11
LAPIS TECHNOLOGIES INC DE 1.01,2.03,3.02,9.01 07/12/11
LCNB CORP OH 2.02,8.01,9.01 07/18/11
LEMAITRE VASCULAR INC 7.01,9.01 07/18/11
MACE SECURITY INTERNATIONAL INC DE 5.07,8.01,9.01 07/14/11
MANAGEMENT NETWORK GROUP INC 7.01 07/18/11
Marina Biotech, Inc. DE 5.02,5.03,5.07,8.01, 07/14/11
9.01
MATERION Corp 2.03,9.01 07/13/11
Max Sound Corp 1.01,3.02,7.01,8.01, 06/10/11
9.01
McCormick & Schmicks Seafood Restaura 8.01,9.01 07/15/11
MDU COMMUNICATIONS INTERNATIONAL INC DE 5.02,5.07 07/14/11
MEDIA SCIENCES INTERNATIONAL INC 1.02,9.01 07/18/11
META FINANCIAL GROUP INC DE 1.01,2.02,9.01 07/15/11
METROPOLITAN HEALTH NETWORKS INC FL 8.01,9.01 07/12/11
MGIC INVESTMENT CORP WI 2.02,9.01 07/18/11
MILLER INDUSTRIES INC /TN/ TN 8.01,9.01 07/18/11
MONEYGRAM INTERNATIONAL INC 5.07 05/11/11 AMEND
NATIONAL INTELLIGENCE ASSOCIATION INC NV 1.01,2.03,3.02,9.01 07/07/11
NATIONAL INTELLIGENCE ASSOCIATION INC NV 1.01,2.03,9.01 07/07/11
NEW HAMPSHIRE THRIFT BANCSHARES INC DE 2.02,9.01 07/15/11
NEWMARKET CORP VA 8.01,9.01 07/18/11
NewStar Financial, Inc. 7.01 07/15/11
NextWave Wireless Inc. DE 1.01,8.01,9.01 07/17/11
OCCIDENTAL PETROLEUM CORP /DE/ DE 5.02,9.01 07/13/11
Ohr Pharmaceutical Inc 8.01 07/13/11
OMEGA PROTEIN CORP NV 7.01,9.01 07/18/11
ORB Automotive E9 5.02,9.01 07/15/11
PACWEST BANCORP DE 2.02,9.01 07/18/11
Pebblebrook Hotel Trust MD 7.01 07/18/11
PETROLEUM DEVELOPMENT CORP NV 5.02,9.01 07/12/11
PHAR MOR INC PA 7.01 07/18/11
PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC 7.01,9.01 07/18/11
Phillips Edison - ARC Shopping Center MD 5.07,7.01 07/13/11
PHYTOMEDICAL TECHNOLOGIES INC NV 1.01,7.01,9.01 07/14/11
PIONEER DRILLING CO TX 7.01,8.01,9.01 07/15/11
PPL Corp 2.03,8.01,9.01 07/12/11
PRIMEDIA INC DE 1.01,1.02,2.03,3.01, 07/13/11
3.03,5.01,5.02,5.03,
9.01
PROFIRE ENERGY INC 4.01,9.01 07/14/11
PROGRESS ENERGY INC NC 5.02,9.01 07/12/11
Puda Coal, Inc. 4.02,9.01 07/14/11 AMEND
REYNOLDS AMERICAN INC 5.02,9.01 07/14/11
Rosetta Resources Inc. DE 7.01,9.01 07/18/11
SABA SOFTWARE INC DE 5.02,5.03,7.01,9.01 07/13/11
SANFILIPPO JOHN B & SON INC DE 1.01,2.03,9.01 07/15/11
SCHWAB CHARLES CORP DE 2.02,9.01 07/18/11
SEALED AIR CORP/DE DE 5.07 07/14/11 AMEND
ServisFirst Bancshares, Inc. DE 2.02,9.01 07/18/11
SEYCHELLE ENVIRONMENTAL TECHNOLOGIES NV 7.01,9.01 07/18/11
Shawcore Development Corp NV 3.02,5.01 07/06/11
SINOHUB, INC. DE 5.07 07/12/11
SPECTRASCIENCE INC MN 5.07,7.01,9.01 07/15/11
STANLEY BLACK & DECKER, INC. CT 7.01,9.01 07/18/11
STANLEY BLACK & DECKER, INC. CT 2.02,9.01 07/18/11
STEMCELLS INC DE 8.01,9.01 07/18/11
SUNPOWER CORP DE 1.01,2.03 07/18/11
Surna Inc. NV 5.06,9.01 07/14/11
SYNTROLEUM CORP DE 8.01 07/18/11
TARGET CORP MN 9.01 07/18/11
Teleconnect Inc. OK 3.02,8.01,9.01 07/18/11
TEMPLE INLAND INC DE 8.01,9.01 07/18/11
TEMPLE INLAND INC DE 8.01,9.01 07/18/11
TIDEWATER INC DE 8.01,9.01 07/13/11
TORTOISE CAPITAL RESOURCES CORP 2.02,9.01 07/13/11
TRAILER BRIDGE INC 1.01,9.01 07/14/11
TRANS WORLD ENTERTAINMENT CORP NY 5.07 07/14/11
Transcept Pharmaceuticals Inc DE 2.05,5.02,7.01,9.01 07/12/11
TRANSGLOBAL ASSETS, INC. NV 1.02,9.01 07/15/11
TransMontaigne Partners L.P. DE 8.01,9.01 07/18/11
TRI VALLEY CORP DE 7.01,9.01 07/18/11
TRIDENT MICROSYSTEMS INC DE 3.01 07/18/11
UDR, Inc. MD 8.01,9.01 07/18/11
Unilife Corp DE 5.02 07/18/11
UNITED STATIONERS INC DE 5.02,8.01,9.01 07/14/11
Vanity Events Holding, Inc. DE 4.01,9.01 07/14/11
VERISIGN INC/CA DE 5.02 07/13/11
Verisk Analytics, Inc. DE 8.01 07/18/11
WEIS MARKETS INC PA 9.01 07/18/11
WNC CALIFORNIA HOUSING TAX CREDITS II CA 2.02,9.01 07/18/11
WNC CALIFORNIA HOUSING TAX CREDITS II CA 2.02,9.01 07/18/11
WNC CALIFORNIA HOUSING TAX CREDITS LP CA 2.02,9.01 07/18/11
WNC HOUSING TAX CREDIT FUND IV L P SE CA 2.02,9.01 07/18/11
WYNDHAM WORLDWIDE CORP DE 1.01,2.03 07/15/11
WYNN RESORTS LTD 2.02,7.01,8.01,9.01 07/14/11
XL GROUP PLC L2 8.01,9.01 06/28/11
XL GROUP PLC L2 8.01,9.01 07/18/11
XTREME GREEN PRODUCTS INC. NV 5.02 07/12/11
ZIONS BANCORPORATION /UT/ UT 2.02,8.01,9.01 07/18/11
ZIONS BANCORPORATION /UT/ UT 2.02,8.01,9.01 07/18/11
ZOGENIX, INC. DE 3.02,8.01,9.01 07/18/11
http://www.sec.gov/news/digest/2011/dig071911.htm
|
