 |
 |
SEC News Digest
Issue 2011-172
September 6, 2011
ENFORCEMENT proceedings
In the Matter of Gregory P. Loles
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Gregory P. Loles (Loles). The Order finds that Loles was the owner and operator of Apeiron Capital Management, Inc. (Apeiron), an unregistered investment adviser in Westport, Connecticut. On July 26, 2011, Loles pleaded guilty to one count of mail fraud in violation of Title 18 of the United States Code, Section 1341, one count of wire fraud in violation of Title 18 of the United States Code, Section 1343, one count of securities fraud in violation of Title 15 of the United States Code, Sections 77q(a) and 77x, and one count of money laundering in violation of Title 18 of the United States Code, Section 1956 before the United States District Court for the District of Connecticut, in United States v. Gregory P. Loles Crim. Action No. 3:10CR247 (MRK). The four counts of the indictment to which Loles pleaded guilty alleged, among other things, that Loles defrauded investors and obtained money by means of materially false and misleading statements while operating Apeiron as an unregistered investment adviser, that he caused investors to wire transfer funds to Apeiron’s account for investment purposes, which he then diverted for his own personal use and benefit, and that he used the United States mails and private commercial interstate carriers to deliver checks to investors as purported interest from investments in order to perpetuate his fraud.
Based on the above, the Order bars Loles from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Loles consented to the issuance of the Order without admitting or denying any of the findings, except as to the Commission’s jurisdiction over him and the subject matter of the proceedings, and the finding regarding his guilty plea, which are admitted. (Rel. No. IA-3272; File No. 3-14529).
In the Matter of Richard A. Geiger
On September 6, 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 (Order) against Richard A. Geiger, based upon the entry of a permanent injunction against him in SEC v. Sierra Brokerage Services, Inc., et al., Civil Action No. C2-03-cv-326 (S.D. Ohio).
The Commission’s complaint alleged that Geiger participated with others in a scheme to manipulate the price of BluePoint Linux Software Corporation (“BluePoint”) shares. Geiger worked in concert with Sierra Brokerage Services, Inc. (“Sierra”) and others to create artificial trading activity and to manipulate the share price of BluePoint from $6 to a high price of $21 on the first day that BluePoint shares were traded. Geiger aided and abetted Sierra’s price leadership and domination of other market makers by leading the bid and raising the bid throughout the first day of trading even though it had no legitimate reason to do so.
Based on the above, the Order bars Geiger from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The Order also bars Geiger from participating in any offering of a penny stock. Geiger consented to the issuance of the Order without admitting or denying any of the findings in the Order except for the entry of the permanent injunction against him, which he admitted. (Rel. No. 34-65265; File No. 3-14530).
In The Matter Of Rick Lawton
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act), Making Findings and Imposing Remedial Sanctions (Order) against Rick Lawton. The Order finds that on March 16, 2011, a judgment was entered against Lawton in Securities and Exchange Commission v. Earthly Mineral Solutions, Inc., et al. (Civil Action Number 2:07-CV-01057-JCM-(LRL)) (D. Nev.), permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder.
Based on the above, the Order bars Lawton 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. Lawton consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted the entry of the injunction. (Rel. No. 34-65270; File No. 3-14531).
In the Matter of Ran H. Furman
The Commission announced the issuance of an Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3) of the Commission’s Rules of Practice against Ran H. Furman (Furman). The Commission found that Furman, a CPA, was permanently enjoined from violating the federal securities laws on July 8, 2011, by a court of competent jurisdiction. Based on the above, The Commission deemed it appropriate and in the public interest that Furman be temporarily suspended from appearing or practicing before the Commission. Furman may within thirty days of service of the Order file a petition with the Commission to lift the temporary suspension, and the Commission shall then have thirty days to lift the temporary suspension or set the matter for hearing, or both. If no petition is received, the suspension becomes permanent.
Previously, on July 8, 2011, following a February 25, 2011 jury verdict in favor of the Commission and partial summary judgment granted in the Commission’s favor on November 18, 2009, the U.S. District Court for the Southern District of California entered a final judgment against Furman, permanently enjoining him from future violations of Sections 10(b) and 13(b)(5) of the Exchange Act, 15 U.S.C. §§ 78j(b) and 78m(b)(5), and Rules 10b-5, 13a-14, 13b2-1, and 13b2-2 thereunder, 17 C.F.R. §§ 240.10b-5, 240.13a-14, 240.13b2-1, and 240.13b2-2, and from aiding and abetting violations of Section 13(a) of the Exchange Act, 15 U.S.C. § 78m(a), and Rules 12b-20, 13a-1, and 13a-13 thereunder, 17 C.F.R. §§ 240.12b-20, 240-13a-1, and 240.13a-13. [SEC v. Retail Pro, Inc. (fka Island Pacific, Inc.), et al., Civil Action Number 08 CV 1620 WQH (RBB) (S.D. Cal.)] (LR No. 22035). (Rel. No. 34-65271; File No. 3-14532; AAER Rel. No. 3318 Sept. 6, 2011).
Commission Obtains Restraining Order Against National Stock Transfer, Inc., Kay Berenson-Galster And Roger Greer
On September 2, 2011, the Honorable Bruce Jenkins, United States District Judge, entered a temporary restraining order against National Stock Transfer, Inc. (National), National’s president Kay Berenson-Galster (Galster) and National’s owner, Roger Greer (Greer) from future violations of the federal securities laws relating to transfer agents.
The Commission’s complaint, which was filed on September 1, 2011, in the United States District Court for the District of Utah, alleges that, for at least five years, National Stock Transfer, Inc. has been violating many of the transfer agent provisions of the federal securities laws. The Complaint alleges, among other things, that National has failed to report lost or stolen securities in a timely manner, failed to maintain certain records, failed to maintain control books for all of its issuers and failed to file its annual report with the Securities and Exchange Commission. During the time period covered by the complaint, National acted as the transfer agent for 58 issues of common and preferred stock.
National has recently been physically locked out of its office by its creditor, Woodward Capital Partners, LLC, as part of a private state court case. As part of the relief obtained in the Commission’s action, the District Court ordered a partial stay of a judgment obtained by Woodward against National and Galster in the state court action.
National was restrained from violations of Sections 17(a)(3) and 17A(d) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rules 17Ad-2, 17f-1, 17f-2(a), 17Ac2-1(c), 17Ac-2-2, 17Ad-6, 17Ad-7, 17Ad-10, 17Ad-13, 17Ad-15(c), 17Ad-17 and 17Ad-19 thereunder, and Galster and Greer with aiding and abetting violations of Sections 17(a)(3) and 17A(d) of the Exchange Act and Rules 17Ad-2, 17f-1, 17f-2(a), 17Ac2-1(c), 17Ac-2-2, 17Ad-6, 17Ad-7, 17Ad-10, 17Ad-13, 17Ad-15(c), 17Ad-17 and 17Ad-19 thereunder. The complaint also seeks civil penalties against National, Galster and Greer. [Securities and Exchange Commission v. National Stock Transfer, Inc., Kay Berenson-Galster and Roger Greer, Case No. 2:11-CV-00798 (USDC Utah). (LR- 22083).
Self-regulatory organizations
Approval of Proposed Rule Changes
The Commission has approved a proposed rule change (SR-C2-2011-008) filed by the C2 Options Exchange, Inc. under Rule 19b-4 of the Exchange Act to establish a pilot program to list and trade a p.m.-settled cash-settled S&P 500 index option product. Publication is expected in the Federal Register during the week of September 6th. (Rel. No. 34-65256).
The Commission has approved a proposed rule change (SR-BATS-2011-018) filed by the BATS Exchange, Inc. under Rule 19b-4 of the Exchange Act to adopt rules for the qualification, listing and delisting of companies on the exchange. Publication is expected in the Federal Register during the week of August 30th. (Rel. No. 34-65225).
Proposed Rule Change
The Commission issued a notice of filing of a proposed rule change by the Municipal Securities Rulemaking Board (MSRB) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, consisting of proposed new Rule G-42, on political contributions and prohibitions on municipal advisory activities; proposed amendments to Rules G-8, on books and records, G-9, on preservation of records, and G-37, on political contributions and prohibitions on municipal securities business; proposed Form G-37/G-42 and Form G-37x/G-42x; and a proposed restatement of a Rule G-37 interpretive notice (SR-MSRB-2011-12). Publication is expected in the Federal Register during the week of September 6th. (Rel. No. 34-65255).
ICE Clear Credit LLC (ICC) filed a proposed rule change (File No. SR-ICC-2011-01) under Section 19(b)(2) of the Securities Exchange Act of 1934 to add rules related to the clearing of emerging markets sovereigns. Publication of the proposal is expected to be made in the Federal Register during the week of September 6th. (Rel. No. 34-65259).
NASDAQ OMX PHLX LLC filed a proposed rule change (SR-Phlx-2011-123) relating to the quarterly trading requirements applicable to Registered Options Traders. Publication of the proposal is expected to be made in the Federal Register during the week of September 6th. (Rel. No. 34-65257).
The Commission issued a notice of filing of a proposed rule change by the Municipal Securities Rulemaking Board (MSRB) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, consisting of proposed interpretive notice concerning the application of MSRB Rule G-17, on conduct of municipal securities and municipal advisory activities, to underwriters of municipal securities (SR-MSRB-2011-09). Publication is expected in the Federal Register during the week of September 6th. (Rel. No. 34-65263).
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NASDAQ OMX BX, Inc. regarding a clarifying amendment to direct connectivity services (SR-BX-2011-060) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of September 6th. (Rel. No. 34-65251).
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2011-121) regarding clarifying amendments to direct connectivity services 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 September 6th. (Rel. No. 34-65253 )
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 Fibrocell Science, Inc., 405 EAGLEVIEW BOULEVARD, EXTON, PA, 19341,
484-713-6000 - 0 ($37,454,856.00) Equity, (File 333-176642 - Sep. 2)
(BR. 01C)
S-1 Amerilithium Corp., 297 KINGSBURY GRADE, LAKE TAHOE, NV, 89449-4470,
(775) 996-2210 - 15,000,000 ($2,700,000.00) Equity, (File 333-176643 -
Sep. 2) (BR. 04A)
S-1 ILFC Holdings, Inc., 10250 CONSTELLATION BOULEVARD, SUITE 3400,
LOS ANGELES, CA, 90067, (310) 557-4853 - 0 ($100,000,000.00) Equity,
(File 333-176644 - Sep. 2) (BR. )
F-3 D. MEDICAL INDUSTRIES LTD., 3 HASADNA ST., TIRAT CARMEL, L3, 39026,
972-73-250-7100 - 0 ($25,000,000.00) Unallocated (Universal) Shelf,
(File 333-176645 - Sep. 2) (BR. 10A)
S-4 BOYD GAMING CORP, 3883 HOWARD HUGHES PARKWAY, NINTH FLOOR, LAS VEGAS,
NV, 89169, 7027927200 - 0 ($500,000,000.00) Non-Convertible Debt,
(File 333-176650 - Sep. 2) (BR. 08B)
S-1 chatAND Inc, 321 W 44M STREET, #808, NEW YORK, NY, 10036,
516 241 3288 - 42,750,000 ($14,487,500.00) Equity, (File 333-176651 -
Sep. 2) (BR. )
S-8 WisdomTree Investments, Inc., 380 MADISON AVENUE, 21ST FLOOR, NEW YORK,
NY, 10017, 212-801-2080 - 0 ($62,532,099.65) Equity, (File 333-176652 -
Sep. 2) (BR. 08B)
S-1 POWER SOLUTIONS INTERNATIONAL, INC., 655 WHEAT LANE, WOOD DALE, IL,
60191, 630.350.9400 - 0 ($150,801,416.00) Equity, (File 333-176653 -
Sep. 2) (BR. 10C)
S-1 JTH Holding, Inc., 1716 CORPORATE LANDING PARKWAY, VIRGINIA BEACH, VA,
23454, 757-493-8855 - 0 ($90,000,000.00) Equity, (File 333-176655 -
Sep. 2) (BR. )
S-3 LIONS GATE ENTERTAINMENT CORP /CN/, 2700 COLORADO AVENUE, SUITE 200,
SANTA MONICA, CA, 90404, 877-848-3866 - 0 ($158,983,092.00) Equity,
(File 333-176656 - Sep. 2) (BR. 05B)
S-8 UNITED BANKSHARES INC/WV, 300 UNITED CTR, 500 VIRGINIA ST E,
CHARLESTON, WV, 25301, 3044248800 - 1,500,000 ($33,765,000.00) Equity,
(File 333-176658 - Sep. 2) (BR. 07A)
S-4 RADIATION THERAPY SERVICES, INC., 2270 COLONIAL BOULEVARD, FT. MYERS,
FL, 33907, 239-931-7275 - 0 ($16,250,000.00) Debt, (File 333-176659 -
Sep. 2) (BR. 01A)
S-1 VERTICAL HEALTH SOLUTIONS INC, 7760 FRANCE AVE SOUTH, 11TH FLOOR,
MINNEAPOLIS, MN, 55435, 612-568-4210 - 0 ($23,436,000.00) Equity,
(File 333-176660 - Sep. 2) (BR. 09A)
N-2 BlackRock Utility & Infrastructure Trust, 55 EAST 52ND STREET,
NEW YORK, NY, 10055, (800) 882-0052 - 0 ($1,000,000.00) Equity,
(File 333-176661 - Sep. 2) (BR. )
S-3 GEOKINETICS INC, 1500 CITYWEST BLVD., SUITE 800, HOUSTON, TX, 77042,
(713) 850-7600 - 0 ($4,520,839.00) Equity, (File 333-176662 - Sep. 2)
(BR. 04C)
S-8 EBAY INC, 2145 HAMILTON AVENUE, SAN JOSE, CA, 95125, 408-376-7400 -
75,725 ($484,640.00) Equity, (File 333-176663 - Sep. 2) (BR. 02A)
S-8 Arno Therapeutics, Inc, 4 CAMPUS DRIVE, SECOND FLOOR, PARSIPPANY, NJ,
07054, (862) 703-7175 - 7,000,000 ($7,000,000.00) Equity,
(File 333-176664 - Sep. 2) (BR. 01A)
S-3ASR TECH DATA CORP, 5350 TECH DATA DR, CLEARWATER, FL, 33760, 7275397429 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-176665 - Sep. 2)
(BR. 03C)
S-1 Guidewire Software, Inc., 2211 BRIDGEPOINTE PARKWAY, SAN MATEO, CA,
94404, 650-352-9100 - 0 ($100,000,000.00) Equity, (File 333-176667 -
Sep. 2) (BR. )
F-3 DHT Holdings, Inc., 26 NEW STREET, ST. HELIER, JERSEY, CHANNEL IS, X0,
JE23RA, 00 44 1534 639759 -
0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-176669 -
Sep. 2) (BR. 05A)
S-3 INOVIO PHARMACEUTICALS, INC., 11494 SORRENTO VALLEY ROAD, SAN DIEGO,
CA, 92121-1318, 858 597-6006 -
0 ($75,000,000.00) Unallocated (Universal) Shelf, (File 333-176670 -
Sep. 2) (BR. 10B)
S-8 Golden Minerals Co, 350 INDIANA STREET, SUITE 800, GOLDEN, CO, 80401,
3038395060 - 0 ($26,451,000.00) Equity, (File 333-176671 - Sep. 2)
(BR. 04C)
S-8 ALLIANCE FIBER OPTIC PRODUCTS INC, 275 GIBRALTAR DRIVE, SUNNYVALE, CA,
94089, 4087366900 - 312,046 ($2,337,225.00) Equity, (File 333-176672 -
Sep. 2) (BR. 10A)
S-4 NeoStem, Inc., 420 LEXINGTON AVENUE, SUITE 450, NEW YORK, NY, 10170,
212-584-4171 - 14,676,067 ($22.25) Equity, (File 333-176673 - Sep. 2)
(BR. 09B)
S-8 EXELIXIS INC, 6508252200 - 0 ($75,522,814.56) Equity,
(File 333-176674 - Sep. 2) (BR. 01C)
S-8 SunOpta Inc., 2838 BOVAIRD DRIVE WEST, BRAMPTON, A6, L7A 0H2,
(905) 455-1990 - 2,500,000 ($12,675,000.00) Equity, (File 333-176675 -
Sep. 2) (BR. 05C)
S-8 FUSION-IO, INC., 6350 SOUTH 3000 EAST, 6TH FLOOR, SALT LAKE CITY, UT,
84121, 801-424-5500 - 264,792 ($328,342.08) Equity, (File 333-176677 -
Sep. 2) (BR. 03A)
S-1 RPX Corp, ONE MARKET PLAZA, STEUART TOWER, SUITE 700, SAN FRANCISCO,
CA, 94105, 866-779-7641 - 0 ($169,878,000.00) Equity,
(File 333-176678 - Sep. 2) (BR. 03A)
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
AbitibiBowater Inc. DE 7.01 09/02/11
ACORN ENERGY, INC. DE 8.01,9.01 08/31/09
ADEPT TECHNOLOGY INC DE 5.02 08/29/11
AIMCO PROPERTIES LP DE 8.01,9.01 09/02/11
AIR T INC DE 5.07 09/01/11
Aircastle LTD D0 7.01,9.01 09/01/11
ALLIED HEALTHCARE PRODUCTS INC DE 2.02,9.01 09/02/11
ALLSTATE CORP DE 5.02,9.01 09/02/11
Alpha Natural Resources, Inc. DE 8.01 09/02/11
Alto Group Holdings Inc. NV 1.01,3.02 08/29/11
AMERICAN AIRLINES INC DE 1.01,2.03 09/02/11
AMR CORP DE 8.01 09/02/11
AMSURG CORP TN 1.01,2.01,2.03,9.01 08/30/11
APARTMENT INVESTMENT & MANAGEMENT CO MD 8.01,9.01 09/02/11
APRICUS BIOSCIENCES, INC. NV 8.01,9.01 09/02/11
ARCADIA RESOURCES, INC NV 3.01,9.01 09/02/11
ASTROTECH Corp \WA\ WA 3.01 08/30/11
ATLANTIC TELE NETWORK INC /DE DE 5.02 09/01/11
Atlas Capital Holdings, Inc. NV 5.02 08/29/11
AVIAT NETWORKS, INC. DE 8.01 09/02/11
Bank of New York Mellon CORP DE 5.02,9.01 08/31/11
Behringer Harvard Opportunity REIT II MD 7.01,9.01 09/02/11
BERRY PLASTICS CORP DE 2.01,9.01 08/31/11
BIGLARI HOLDINGS INC. IN 5.07,8.01 04/07/11 AMEND
BioMed Realty Trust Inc MD 8.01 09/02/11
BION ENVIRONMENTAL TECHNOLOGIES INC CO 5.02,9.01 08/31/11
Bitzio, Inc. NV 1.01 09/01/11
Black Diamond, Inc. DE 8.01,9.01 08/28/11
BLOCKBUSTER INC DE 7.01,9.01 09/01/11
BLUE BRIDGE CAPITAL, INC. DE 5.07 08/18/11
BLUE COAT SYSTEMS INC DE 5.02 09/01/11
BofI Holding, Inc. DE 1.01,3.03,5.03,
8.01,9.01 08/31/11
Bonanza Goldfield Corp. NV 8.01,9.01 08/25/11
BOYD GAMING CORP NV 8.01,9.01 09/02/11
BRADY CORP WI 5.02,5.07,9.01 09/01/11
CALLAWAY GOLF CO DE 5.02,9.01 06/29/11 AMEND
Calpian, Inc. TX 2.03 08/26/11
CAMPBELL SOUP CO NJ 2.02,9.01 09/02/11
CANO PETROLEUM, INC 8.01 08/31/11
CARDICA INC DE 5.02,8.01 08/31/11
CASCADE BANCORP OR 5.07 04/25/11 AMEND
CASCADE CORP OR 1.01,9.01 08/29/11
Cavitation Technologies, Inc. NV 1.01 06/01/11
CECO ENVIRONMENTAL CORP DE 5.02 08/29/11
CHARTER COMMUNICATIONS, INC. /MO/ DE 5.02,9.01 09/01/11
China Advanced Construction Materials DE 5.02 08/29/11
Clark Holdings Inc. DE 1.01,8.01,9.01 09/01/11
CNB CORP /SC/ SC 2.02,9.01 09/01/11
COCA COLA BOTTLING CO CONSOLIDATED /D DE 1.01 08/29/11
COMVERGE, INC. DE 5.02 08/29/11
CONSUMER PORTFOLIO SERVICES INC CA 3.01 09/02/11
Cooper Industries plc 1.01,9.01 09/02/11
CPI AEROSTRUCTURES INC NY 1.01 09/01/11
CRYO CELL INTERNATIONAL INC DE 5.02,8.01,9.01 08/31/11
CUMULUS MEDIA INC DE 8.01,9.01 09/02/11
CYANOTECH CORP NV 5.05,5.07,9.01 08/29/11
DATAMILL MEDIA CORP. 1.01,9.01 09/02/11
Delek US Holdings, Inc. 7.01,9.01 09/02/11
DG FastChannel, Inc DE 1.01,9.01 08/30/11
DIAMOND HILL INVESTMENT GROUP INC OH 8.01 09/02/11
DOCUMENT SECURITY SYSTEMS INC NY 1.01,2.03,9.01 08/30/11
Douglas Emmett Inc MD 5.02 09/01/11
Douglas Emmett Inc MD 5.07 09/01/11 AMEND
Dr Pepper Snapple Group, Inc. DE 8.01 09/01/11
DTE ENERGY CO MI 7.01,9.01 09/02/11
DUCOMMUN INC /DE/ DE 9.01 06/28/11 AMEND
Duke Energy CORP DE 8.01,9.01 09/02/11
DYNAMIC VENTURES CORP. 1.01,2.03,5.02 09/02/11
E DIGITAL CORP DE 5.07 09/01/11
ECOTALITY, INC. NV 5.03,9.01 08/30/11
Education Realty Trust, Inc. MD 5.02 08/31/11
ELEPHANT TALK COMMUNICATIONS INC CA 3.02 08/29/11
EMC INSURANCE GROUP INC IA 7.01,9.01 09/01/11
EMMIS COMMUNICATIONS CORP IN 1.01,2.01,2.05,
3.01,9.01 09/01/11
EnteroMedics Inc 7.01,9.01 09/02/11
ENTRAVISION COMMUNICATIONS CORP DE 1.01,5.02 09/01/11
EQUITY LIFESTYLE PROPERTIES INC MD 2.01,3.02,8.01,9.01 09/01/11
Expedia, Inc. 1.01,2.03,9.01 08/31/11
EXPRESS SCRIPTS INC DE 8.01,9.01 09/02/11
EXPRESS SCRIPTS INC DE 8.01 09/02/11
FARMER BROTHERS CO CA 5.02,8.01,9.01 08/29/11
FAUQUIER BANKSHARES, INC. VA 7.01,9.01 09/02/11
Fifth Season International, Inc. DE 2.01,3.02,5.01,5.02,
5.03,5.06,9.01 09/02/11 AMEND
First American Financial Corp DE 5.02 08/30/11
FIRST PACTRUST BANCORP INC MD 1.01,9.01 08/30/11
FIRST POTOMAC REALTY TRUST MD 1.01,9.01 09/02/11
FIRST REAL ESTATE INVESTMENT TRUST OF NJ 2.02,9.01 09/02/11
FLOW INTERNATIONAL CORP WA 2.02,9.01 09/01/11
Fortune Brands Home & Security, Inc. DE 5.04,9.01 09/02/11
FORTUNE BRANDS INC DE 5.04,9.01 09/02/11
FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.03,9.01 09/02/11
Game Trading Technologies, Inc. DE 5.02,9.01 08/29/11
GameStop Corp. DE 8.01 09/02/11
GASCO ENERGY INC NV 7.01,9.01 09/01/11
GASTAR EXPLORATION LTD 7.01,9.01 09/02/11
Genpact LTD D0 1.01,9.01 08/30/11
GIGA TRONICS INC CA 5.02 09/02/11
Global Indemnity plc L2 5.02 08/30/11
GREAT LAKES AVIATION LTD IA 1.01,9.01 08/31/11
GREIF INC DE 2.02,7.01,9.01 09/02/11
GREYSTONE LOGISTICS, INC. 1.01,2.03,5.05,9.01 03/28/11 AMEND
GRIFFIN LAND & NURSERIES INC DE 8.01,9.01 09/02/11
Grubb & Ellis Healthcare REIT II, Inc MD 9.01 08/19/11 AMEND
GUESS INC DE 5.02 09/01/11
GUIDED THERAPEUTICS INC DE 1.01,1.02,3.02,9.01 09/02/11
HCC INSURANCE HOLDINGS INC/DE/ DE 7.01,9.01 09/02/11
HDS INTERNATIONAL CORP. NV 7.01,9.01 08/26/11
HEALTHCARE REALTY TRUST INC MD 8.01 09/02/11
HEARTLAND EXPRESS INC NV 5.02,9.01 09/02/11
HEINZ H J CO PA 5.07 08/30/11
Heron Lake BioEnergy, LLC MN 1.02 08/29/11
Heron Lake BioEnergy, LLC MN 5.02,5.07,8.01,9.01 08/30/11
Hillenbrand, Inc. IN 5.02 08/16/11 AMEND
Hoku Corp DE 1.01,2.03,9.01 09/01/11
HOLLYWOOD MEDIA CORP FL 1.01,3.03,9.01 09/02/11
HXT HOLDINGS, INC. DE 1.01,2.01,3.02,5.01,
5.02,9.01 09/02/11
Industrial Income Trust Inc. MD 9.01 06/17/11 AMEND
Intellicell Biosciences, Inc. NV 1.01,9.01 08/29/11
INTERNATIONAL LEASE FINANCE CORP CA 8.01,9.01 09/01/11
INTUIT INC DE 8.01 09/02/11
ION GEOPHYSICAL CORP DE 5.02,7.01,9.01 08/30/11
IPAYMENT INC DE 5.02 09/02/11
Iridium Communications Inc. DE 5.02 08/29/11
ITC Holdings Corp. MI 8.01 09/01/11
JENNIFER CONVERTIBLES INC DE 1.02 08/26/11
JOY GLOBAL INC DE 2.01,9.01 06/22/11 AMEND
KINDRED HEALTHCARE, INC DE 8.01,9.01 09/01/11
Laredo Oil, Inc. DE 4.02 08/29/11
LEHMAN BROTHERS HOLDINGS INC DE 7.01,9.01 09/01/11
LENCO MOBILE INC. DE 7.01 09/02/11
LENCO MOBILE INC. DE 5.07 09/02/11
LEVI STRAUSS & CO DE 5.02,9.01 09/01/11
LIQUIDITY SERVICES INC 7.01,9.01 09/01/11
LIVEDEAL INC NV 8.01,9.01 08/31/11
LNB BANCORP INC OH 8.01 09/02/11
LYRIS, INC. 5.02 09/02/11
Macquarie Equipment Leasing Fund, LLC DE 8.01,9.01 09/02/11
MAGELLAN HEALTH SERVICES INC DE 8.01,9.01 09/01/11
MARTIN MARIETTA MATERIALS INC NC 5.02 08/30/11
Mastech Holdings, Inc. PA 1.01,2.03,9.01 08/31/11
MEDCATH CORP DE 8.01 09/02/11
MEDCO HEALTH SOLUTIONS INC DE 8.01,9.01 09/02/11
MGP INGREDIENTS INC KS 2.02,7.01,9.01 09/02/11
Millburn Multi-Markets Fund L.P. DE 3.02 09/01/11
Minerco Resources, Inc. NV 1.01,3.02,9.01 09/02/11
Morningstar, Inc. IL 7.01 09/02/11
MRV COMMUNICATIONS INC DE 8.01 09/02/11
MUELLER INDUSTRIES INC DE 1.01,5.02,9.01 09/02/11
MULTIMEDIA GAMES HOLDING COMPANY, INC TX 5.02 08/29/11
MultiPlayer Online Dragon, Inc. NV 5.02,7.01,9.01 08/08/11 AMEND
MURPHY OIL CORP /DE DE 1.01,9.01 09/01/11
MVB FINANCIAL CORP WV 5.07 09/01/11
NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 1.01,2.01,9.01 09/01/11
NBC ACQUISITION CORP DE 7.01,9.01 08/30/11
NEAH POWER SYSTEMS, INC. NV 5.02,9.01 09/02/11
NESTOR PARTNERS NJ 3.02 09/02/11
NEWS CORP 8.01,9.01 09/02/11
NN INC DE 5.02,9.01 09/01/11
NORTHEAST BANCORP /ME/ ME 2.01,7.01 08/31/11
NORTHWEST BIOTHERAPEUTICS INC DE 7.01 08/30/11
O REILLY AUTOMOTIVE INC 8.01 08/31/11
Oasis Petroleum Inc. DE 8.01 09/01/11
OCEANEERING INTERNATIONAL INC DE 7.01 09/02/11
Och-Ziff Capital Management Group LLC DE 7.01 09/02/11
OCWEN FINANCIAL CORP FL 2.01,9.01 09/01/11
OmniAmerican Bancorp, Inc. MD 8.01,9.01 09/02/11
ONCURE HOLDINGS INC 1.01,5.02,9.01 08/29/11
Oraco Resources, Inc. NV 8.01 08/25/11
Orgenesis Inc. NV 5.03,7.01,9.01 08/31/11
ORIENTAL FINANCIAL GROUP INC PR 5.07 04/27/11 AMEND
ORIGINOIL INC NV 8.01,9.01 09/01/11
PACCAR INC DE 8.01,9.01 08/31/11
PARKWAY PROPERTIES INC MD 5.02 09/02/11
PEABODY ENERGY CORP DE 2.02,9.01 09/01/11
PEABODY ENERGY CORP DE 1.01,8.01,9.01 08/29/11
PECO ENERGY CO PA 1.01,2.03,9.01 09/02/11
PEREGRINE PHARMACEUTICALS INC DE 1.01,9.01 09/02/11
PFF BANCORP INC DE 8.01,9.01 08/23/11
POSITIVEID Corp DE 3.01 08/31/11
PRECISION OPTICS CORPORATION INC MA 1.01,9.01 08/31/11
PROGRESS ENERGY INC NC 8.01,9.01 09/02/11
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 8.01 09/02/11
RED ROBIN GOURMET BURGERS INC DE 5.02 08/29/11
ROWAN COMPANIES INC DE 2.01,9.01 09/01/11
SANDY SPRING BANCORP INC MD 5.02,9.01 08/31/11
Santa Fe Gold CORP DE 1.02,9.01 08/31/11
Santander Holdings USA, Inc. PA 7.01,9.01 09/02/11
Scio Diamond Technology Corp NV 1.01 08/31/11
SCRIPPS E W CO /DE OH 5.02,9.01 08/31/11
SENETEK PLC /ENG/ X0 1.02,9.01 09/01/11
SEQUENOM INC DE 8.01 09/01/11
SF Blu Vu, Inc. 1.01,2.02,3.02,5.01,
5.06,9.01 08/31/11
SHUFFLE MASTER INC MN 2.02,9.01 08/31/11
SINGLE TOUCH SYSTEMS INC DE 8.01,9.01 08/31/11
SinoCubate, Inc NV 1.01,2.01,5.02,9.01 08/26/11
SLM Student Loan Trust 2003-1 DE 8.01,9.01 09/02/11
SLM Student Loan Trust 2003-4 DE 8.01,9.01 09/02/11
SLM Student Loan Trust 2003-7 DE 8.01,9.01 09/02/11
SOUNDBITE COMMUNICATIONS INC 8.01 08/31/11
STAGE STORES INC NV 8.01,9.01 09/01/11
STANLEY BLACK & DECKER, INC. CT 7.01,9.01 09/02/11
STEINWAY MUSICAL INSTRUMENTS INC DE 1.01 08/31/11
STONE ENERGY CORP DE 7.01,9.01 09/01/11
SunOpta Inc. 8.01 09/02/11
TANGOE INC 3.02 08/30/11
Teavana Holdings Inc 2.02,7.01,9.01 09/02/11
TechTarget Inc 1.01,9.01 09/02/11
TIDEWATER INC DE 8.01,9.01 09/01/11
TigerLogic CORP DE 5.02 08/31/11
Titan Iron Ore Corp. NV 7.01,9.01 09/01/11
TMX Finance LLC DE 5.02,9.01 09/02/11
TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 09/02/11
TREDEGAR CORP VA 1.01,3.03,9.01 09/02/11
TRI COUNTY FINANCIAL CORP /MD/ MD 8.01,9.01 08/31/11
TRI-CONTINENTAL CORP MD 7.01,9.01 09/02/11
True North Finance Corp DE 8.01,9.01 08/31/11
Two Harbors Investment Corp. 7.01,9.01 09/02/11
U S GOLD CORP CO 1.01,8.01,9.01 09/02/11
UNITED COMMUNITY BANKS INC GA 5.02,9.01 08/29/11
USANA HEALTH SCIENCES INC UT 8.01,9.01 09/02/11
VIRCO MFG CORPORATION DE 5.02,8.01,9.01 09/02/11
VISTA GOLD CORP B0 7.01 09/01/11
VYCOR MEDICAL INC DE 4.02,8.01 09/02/11
Vyteris, Inc. NV 1.01,5.02,8.01 07/19/11
WELLPOINT, INC IN 5.02 08/30/11
Wendy's Co DE 5.02,9.01 09/02/11
WESTERN ALLIANCE BANCORPORATION NV 5.02 09/01/11
Western Asset Mortgage Defined Opport MD 2.02,9.01 09/01/11
WISCONSIN ENERGY CORP WI 7.01,9.01 09/02/11
XCEL ENERGY INC MN 7.01 09/02/11
YATERRA VENTURES CORP. 5.02 08/29/11
ZILLOW INC WA 7.01 09/02/11
http://www.sec.gov/news/digest/2011/dig090611.htm
|
