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Commission AnnouncementsSEC Staff to Hold Roundtable on “Measurement Uncertainty in Financial Reporting”The Securities and Exchange Commission today announced that the inaugural roundtable in the Financial Reporting Series will be held on November 8. The purpose of the Financial Reporting Series is to proactively help identify risks and potential improvements in the financial information provided to investors. The inaugural roundtable will examine the extent to which financial reporting should include measurement uncertainties, and the information investors find important to understanding and assessing those uncertainties. “We want to consider whether the right balance has been struck to provide investors with useful information,” said SEC Chief Accountant James Kroeker. “This roundtable discussion will provide us with an opportunity to hear directly from investors about the challenges in understanding the types of uncertainties included in financial reports.” The roundtable will feature three panels comprised of investors, financial statement preparers, and auditors. The chairs of the Financial Accounting Standards Board and the Public Company Accounting Oversight Board will attend as observers. A final agenda and list of participants will be published closer to the event date. The roundtable will begin at 10 a.m. in the multipurpose room at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C. It is open to the public with seating on a first-come, first-served basis, and also may be viewed via a live webcast on the SEC website. A briefing paper highlighting the issues to be considered at the roundtable is available at http://www.sec.gov/about/offices/oca/ocafrseries-briefing-measurement.htm. The SEC staff welcomes comment on the issues to be addressed and suggestions for potential participants at the roundtable, using the following methods: Electronic submissions: Use the SEC’s Internet comment form or send an e-mail to rule-comments@sec.gov. Include File Number 4-640 in the subject line. Paper submissions: Send in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street, N.E., Washington, D.C. 20549-1090. Cite File Number 4-640. All submissions received will be posted on the SEC’s website. The agency does not edit personal identifying information, so submit only information you wish to be made public. (Press Rel. 2011-215) SEC to Hold Annual Government-Business Forum on Small Business Capital FormationThe Securities and Exchange Commission today announced that it will hold its annual SEC Government-Business Forum on Small Business Capital Formation on November 17 at its Washington, D.C. headquarters. The Commission announced that this year’s forum will include two panel discussions, one on current capital formation issues for private companies and a second on initial public offerings and securities regulation involving smaller public companies. During the afternoon, participants will work in groups to formulate specific policy recommendations. The forum will begin at 9 a.m. ET with the panel discussions, which will be webcast on the SEC's website. The afternoon breakout group sessions will not be webcast but will be open to the public and accessible by teleconference. Anyone wishing to participate in a breakout group, either in person or by teleconference, must register online by November 14. The names of panel participants and the full agenda for the forum will be announced at a later date and posted on the SEC's website. Members of the public are invited to make suggestions about specific topics to be discussed at the forum. These suggestions, or any questions about the forum, may be e-mailed to the SEC's Office of Small Business Policy at SmallBusiness@sec.gov. For more information, call (202) 551-3460. (Press Rel. 2011-216) Andrew J. Bowden Named Head of SEC’s National Investment Adviser/Investment Company Examination ProgramThe Securities and Exchange Commission today announced that Andrew J. Bowden has been appointed an Associate Director to lead the National Investment Adviser/Investment Company Examination Program in the SEC’s Office of Compliance Inspections and Examinations (OCIE). He starts on November 1. Mr. Bowden comes to the SEC from Legg Mason, where he held senior executive positions in its legal/compliance and business units. Mr. Bowden will oversee a staff of approximately 450 lawyers, accountants, and examiners responsible for the inspections of U.S.-registered investment advisers and investment companies. “Drew brings extensive experience in the operation and oversight of investment advisers and investment companies and will help us implement our risk-based approach to examination of investment advisers and companies,” said OCIE Director Carlo di Florio. “Drew also has expertise in leading corporate governance initiatives, which will serve us well as we continue our dialogue with senior management and boards on critical business, risk, and regulatory matters.” Mr. Bowden said, “I am grateful for the opportunity to join the investment adviser/investment company professionals at OCIE. Collectively, they have thousands of years of examination experience, which they use to promote compliance and to ensure that investors are treated fairly. I look forward to supporting them in this mission.” Mr. Bowden succeeds Gene Gohlke, who retired from the agency earlier this year after 35 years of public service. Since Mr. Gohlke’s retirement, OCIE Deputy Director Norm Champ has served as the Acting Associate Director of the National Investment Adviser/Investment Company Examination Program. Early in his career, Mr. Bowden worked at Legg Mason, Inc., and later for Legg Mason Capital Management in various roles, including General Counsel, Chief Operating Officer and ultimately Executive Director for Sales, Client Service and Marketing. He also has served on the Board of Governors and Executive Committee of the Investment Advisers Association. He holds a Bachelor of Arts degree in the Honors English Program at Loyola University in Baltimore and a law degree from The University of Pennsylvania. OCIE conducts the SEC’s national examination program for investment advisers and investment companies, broker-dealers, self regulatory organizations, clearing agencies, transfer agents, and credit rating agencies to fulfill its mission of promoting compliance, preventing fraud, monitoring risk and informing SEC policy. (Press Rel. 2011-217) SEC Charges Denver-Area Hedge Fund Manager in Expansion of Mariner Energy Insider Trading CaseThe Securities and Exchange Commission today announced additional charges in its insider trading case against Denver-based traders who traded on confidential information in the securities of Mariner Energy Inc. ahead of the oil and gas company’s $3.9 billion takeover by Apache Corporation in April 2010. In its initial complaint filed on Aug. 5, 2011, the SEC alleged that Mariner Energy board member H. Clayton Peterson tipped his son with confidential details about Mariner Energy’s upcoming acquisition. Drew Clayton Peterson, who was a managing director at a Denver-based investment adviser, then used the inside information to purchase Mariner Energy stock for himself and others. An amended complaint filed today adds two more defendants to the case – money manager Drew K. Brownstein who is a longtime friend of Drew Peterson, and the hedge fund advisory firm he controls, Big 5 Asset Management LLC. The SEC alleges that Brownstein traded Mariner Energy securities on the basis of inside information he received from Drew Peterson and reaped illicit profits of more than $5 million combined in his own account, the accounts of his relatives, and the accounts of two hedge funds managed by Big 5. “This case is further evidence of the pervasive nature of insider trading by hedge funds, and a sobering reminder that such conduct is not limited to the immediate vicinity of Wall Street but is taking place in cities around the country,” said Sanjay Wadhwa, Deputy Chief of the SEC Enforcement Division’s Market Abuse Unit and Associate Director of the New York Regional Office. “The SEC is firmly committed to rooting out this illegal activity wherever it occurs, and those who engage in this conduct should consider the severe consequences they will face when caught.” According to the SEC’s amended complaint, Drew Peterson repeatedly tipped Brownstein about the impending acquisition of Mariner Energy as he learned the information from his father. Brownstein caused two Big 5 hedge funds – the Lion Global Fund LLLP and the Lion Global Master Fund Ltd. – to purchase large quantities of Mariner Energy stock and call option contracts on the basis of the inside information. This was the first time that the Big 5 hedge funds had ever traded Mariner Energy stock or options. Brownstein also purchased thousands of shares of Mariner Energy stock and call option contracts for the accounts of his relatives and for his personal brokerage account. In the days following the announcement of the deal, Brownstein liquidated the positions he had accumulated in Mariner Energy securities. The SEC’s amended complaint charges each of the defendants with violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The complaint seeks a final judgment permanently enjoining them from future violations of the above provisions of the federal securities laws, ordering them to disgorge their ill-gotten gains plus prejudgment interest, and ordering them to pay financial penalties. The SEC also seeks to permanently prohibit Clayton Peterson from acting as an officer or director of any publicly registered company. The SEC’s investigation was conducted by Joseph Sansone, a member of the SEC’s Market Abuse Unit in New York, with assistance from Neil Hendelman of the New York Regional Office and Jay Scoggins, Jeffrey Oraker, Bruce Ketter and Craig Ellis of the Denver Regional Office. The SEC acknowledges the ongoing assistance and cooperation of the U.S. Attorney’s Office for the Southern District of New York and the Federal Bureau of Investigation. The SEC’s investigation is continuing. (Press Rel. 2011-218) Commission MeetingsOpen Meeting – Monday, October 31, 2011 – 9:00 a.m.The Securities and Exchange Commission Advisory Committee on Small and Emerging Companies will hold an Open Meeting on Monday, October 31, 2011, in the Multipurpose Room, L-006. The meeting will begin at 9:00 a.m. and will be open to the public. Seating will be on a first-come, first-served basis. Doors will open at 8:30 a.m. Visitors will be subject to security checks. The agenda for the meeting includes opening remarks, introduction of Committee members, discussion of the Committee’s agenda and organization, and discussion of capital formation issues relevant to small and emerging companies. For further information, please contact the Office of the Secretary at (202) 551-5400. SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-1 Chimera Energy Corp, 2800 POST OAK BLVD., HOUSTON, TX, 77056, 832-390-2334 - 5,000,000 ($75,000.00) Equity, (File 333-177406 - Oct. 20) (BR. ) S-8 Alliance Bancorp, Inc. of Pennsylvania, 541 LAWRENCE ROAD, BROOMALL, PA, 19008, (610) 353-2900 - 325,842 ($3,556,310.00) Equity, (File 333-177407 - Oct. 20) (BR. 07) S-1 BOTETOURT BANKSHARES INC, P.O. BOX 339, BUCHANAN, VA, 24066, 0 ($5,326,279.00) Equity, (File 333-177408 - Oct. 20) (BR. 07B) S-1 DAS GLOBAL CAPITAL CORP, 1785 EAST SAHARA AVENUE, SUITE 490-876, LAS VRGAS, NV, 89104, 281-914-8636 - 2,000,000 ($60,000.00) Equity, (File 333-177409 - Oct. 20) (BR. 10A) S-8 High Plains Gas, Inc., 3100 SOUTHERN DRIVE, GILLETTE, WY, 82718, 307-686-5030 - 18,000,000 ($1,260,000.00) Equity, (File 333-177416 - Oct. 20) (BR. 09B) S-8 EL CAPITAN PRECIOUS METALS INC, 15225 N. 49TH STREET, SCOTTSDALE, AZ, 85254, 602-595-4997 - 14,000,000 ($7,630,000.00) Equity, (File 333-177417 - Oct. 20) (BR. 09A) S-8 ALGONQUIN POWER & UTILITIES CORP., 2845 BRISTOL CIRCLE, OAKVILLE, A6, 00000, 0000000000 - 0 ($11,080,000.00) Equity, (File 333-177418 - Oct. 20) (BR. 02C) S-3 MONY LIFE INSURANCE CO OF AMERICA, 1290 AVENUE OF THE AMERICAS, MAIL STOP 11-18, NEW YORK, NY, 10104, 2125541234 - 52,000,000 ($52,000,000.00) Equity, (File 333-177419 - Oct. 20) (BR. 01A) S-3 AXA EQUITABLE LIFE INSURANCE CO, 1290 AVENUE OF THE AMERICAS, NEW YORK, NY, 10104, 2125541234 - 0 ($1.00) Equity, (File 333-177420 - Oct. 20) (BR. 01A) RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 1ST SOURCE CORP IN 2.02,9.01 10/20/11 3DICON CORP 5.07 10/15/11 AB&T Financial CORP NC 2.02 10/19/11 ABBOTT LABORATORIES IL 5.03,9.01 10/14/11 ACACIA RESEARCH CORP DE 2.02,9.01 10/20/11 ACME PACKET INC DE 2.02,9.01 10/20/11 ADCARE HEALTH SYSTEMS INC OH 1.01,2.03,9.01 10/14/11 ADINO ENERGY CORP MT 2.03 10/14/11 AGENT155 MEDIA CORP. NV 3.02 10/14/11 AgFeed Industries, Inc. NV 3.01 10/14/11 ALAMO GROUP INC DE 2.01 10/18/11 ALASKA AIR GROUP INC DE 2.02,7.01,9.01 10/19/11 Aleris International, Inc. DE 8.01,9.01 10/20/11 ALEXION PHARMACEUTICALS INC DE 2.02,9.01 10/20/11 ALEXION PHARMACEUTICALS INC DE 8.01 10/19/11 ALLDIGITAL HOLDINGS, INC. NV 4.01,5.02,9.01 10/12/11 ALLIANCE DATA SYSTEMS CORP DE 2.02,7.01,9.01 10/20/11 ALLIANCE RESOURCE PARTNERS LP DE 8.01 10/13/11 ALLIED HEALTHCARE INTERNATIONAL INC NY 2.01,3.01,3.03,5.01, 10/20/11 5.02,5.03,8.01,9.01 Allied Nevada Gold Corp. DE 7.01,9.01 10/18/11 ALLSTATE CORP DE 7.01,9.01 10/20/11 ALTAIR NANOTECHNOLOGIES INC Z4 5.02 10/15/11 ALTERA CORP DE 2.02,9.01 10/20/11 AMACORE GROUP, INC. DE 1.01,8.01,9.01 10/14/11 Amarantus BioSciences, Inc. DE 8.01,9.01 09/29/11 AMARIN CORP PLC\UK X0 5.02,8.01,9.01 10/20/11 AMERICAN RIVER BANKSHARES CA 2.02,9.01 10/20/11 AMYLIN PHARMACEUTICALS INC DE 8.01,9.01 10/19/11 ANGIODYNAMICS INC DE 5.02,5.07,9.01 10/17/11 APOLLO GROUP INC AZ 5.02 10/18/11 ARCH CHEMICALS INC VA 1.02,2.01,2.04,3.01, 10/17/11 3.03,5.01,5.02,5.03, 9.01 Arista Power, Inc. NY 8.01,9.01 10/20/11 ASHFORD HOSPITALITY TRUST INC MD 8.01,9.01 10/20/11 AspenBio Pharma, Inc. CO 5.02,8.01,9.01 10/15/11 ASSOCIATED BANC-CORP WI 2.02,9.01 10/20/11 ASTORIA FINANCIAL CORP DE 2.02,9.01 10/19/11 AT&T INC. DE 2.02,9.01 10/20/11 AT&T INC. DE 8.01,9.01 10/20/11 ATHENAHEALTH INC DE 1.01,2.02,2.03,9.01 10/20/11 ATWOOD OCEANICS INC TX 5.02,9.01 10/17/11 AUTONATION, INC. DE 2.02,9.01 10/20/11 AVIS BUDGET GROUP, INC. DE 1.01,1.02,2.03,7.01, 10/14/11 9.01 AVISTAR COMMUNICATIONS CORP DE 2.02,9.01 10/20/11 Bancorp, Inc. 2.02,9.01 10/20/11 BANK OF KENTUCKY FINANCIAL CORP KY 2.02,9.01 10/20/11 Bank of New York Mellon CORP DE 2.02,9.01 10/19/11 BANNER CORP WA 2.02,9.01 10/19/11 BAXTER INTERNATIONAL INC DE 2.02,9.01 10/20/11 BAYLAKE CORP WI 2.02,9.01 10/19/11 BB&T CORP NC 2.02,9.01 09/30/11 BEACON ENTERPRISE SOLUTIONS GROUP INC NV 1.01,3.02,5.02,7.01, 10/14/11 9.01 Behringer Harvard Opportunity REIT I, MD 5.07 10/17/11 BERRY PLASTICS CORP DE 2.02,9.01 10/20/11 BIOTIME INC CA 8.01 10/20/11 BJs RESTAURANTS INC CA 2.02,9.01 10/20/11 Blackstone Group L.P. DE 2.02,9.01 10/20/11 BLUE CALYPSO, INC. NV 3.02,3.03,5.02,5.03, 10/13/11 AMEND 9.01 BOSTON SCIENTIFIC CORP DE 2.02,9.01 10/20/11 BPZ RESOURCES, INC. TX 7.01 10/18/11 BRIDGE BANCORP INC NY 2.02,9.01 10/20/11 BRIGGS & STRATTON CORP WI 2.02,9.01 10/20/11 Builders FirstSource, Inc. DE 2.02,9.01 10/20/11 Bullion Monarch Mining, Inc. (NEW) UT 5.07 10/17/11 BUTLER NATIONAL CORP DE 8.01,9.01 10/20/11 CAGLES INC GA 1.03,9.01 10/19/11 CALGON CARBON CORPORATION DE 5.02,9.01 10/14/11 CALIX, INC 2.02,9.01 10/20/11 CAMBRIDGE HOLDINGS LTD CO 4.01,9.01 08/04/11 AMEND CANO PETROLEUM, INC 3.01 10/14/11 CANO PETROLEUM, INC 2.02,2.06,7.01,9.01 10/13/11 AMEND CAPITAL ONE FINANCIAL CORP DE 2.02,7.01,8.01,9.01 10/20/11 CAPITAL SENIOR LIVING CORP DE 7.01,9.01 10/20/11 Capitol Federal Financial Inc MD 7.01,9.01 10/20/11 CARDINAL FINANCIAL CORP VA 2.02,8.01,9.01 10/19/11 Caribou Coffee Company, Inc. MN 1.01,8.01,9.01 10/14/11 CARMAX INC VA 5.03,9.01 10/17/11 Casablanca Mining Ltd. NV 1.01,3.02,5.02,9.01 10/14/11 CASH AMERICA INTERNATIONAL INC TX 2.02,7.01,9.01 10/20/11 CASS INFORMATION SYSTEMS INC MO 2.02,8.01,9.01 10/20/11 CEPHEID CA 1.02,2.02,9.01 10/20/11 CHANCELLOR GROUP INC. NV 1.01,9.01 10/18/11 CHECKPOINT SYSTEMS INC PA 7.01,9.01 10/18/11 CHECKPOINT SYSTEMS INC PA 5.07 10/20/11 AMEND CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 10/20/11 CHINA EDUCATION INTERNATIONAL, INC. 1.01,3.02 10/14/11 CHINA SHEN ZHOU MINING & RESOURCES, I NV 5.02 10/20/11 China Shengda Packaging Group Inc. NV 8.01 10/20/11 AMEND CHIPOTLE MEXICAN GRILL INC 2.02,9.01 10/20/11 ChromaDex Corp. 5.02 10/14/11 CHUBB CORP NJ 2.02,9.01 10/20/11 CINTAS CORP WA 5.07,8.01 10/18/11 CITIZENS & NORTHERN CORP PA 8.01,9.01 10/20/11 CITY NATIONAL CORP DE 2.02,9.01 10/20/11 COBIZ FINANCIAL INC CO 2.02,8.01,9.01 10/20/11 COHU INC DE 2.02,9.01 10/19/11 COLONIAL COMMERCIAL CORP NY 1.01,1.02,2.03,7.01, 10/14/11 9.01 COMMAND SECURITY CORP NY 1.01,9.01 10/18/11 CommonWealth REIT MD 1.01,2.03,9.01 10/18/11 COMMUNITY BANK SHARES OF INDIANA INC IN 1.01,2.02,9.01 10/18/11 COMMUNITY BANK SHARES OF INDIANA INC IN 2.02,9.01 10/20/11 AMEND Computer Graphics International Inc. NV 1.01,9.01 09/26/11 CONCEPTUS INC DE 8.01,9.01 10/17/11 Converted Organics Inc. DE 1.01,2.03,9.01 10/19/11 Cooper Industries plc 2.02,9.01 10/20/11 CORE LABORATORIES N V P7 2.02 10/19/11 COURIER Corp MA 5.02 10/17/11 CPI CORP DE 3.01,9.01 10/12/11 AMEND CSB BANCORP INC /OH OH 2.01,9.01 10/14/11 CVB FINANCIAL CORP CA 2.02,7.01,8.01,9.01 10/19/11 CYMER INC NV 2.02,9.01 10/20/11 CYPRESS SEMICONDUCTOR CORP /DE/ DE 2.02,9.01 10/20/11 CYTEC INDUSTRIES INC/DE/ DE 2.02,9.01 10/20/11 DANAHER CORP /DE/ DE 2.02,9.01 10/19/11 DAVE & BUSTERS INC MO 5.02,9.01 10/19/11 Deca Investments, Inc. NV 5.02 10/20/11 DG FastChannel, Inc DE 5.02 10/19/11 DIAMOND OFFSHORE DRILLING INC DE 2.02,9.01 10/20/11 Diamond Resorts Corp MD 1.01,2.03,9.01 10/14/11 DIMECO INC PA 2.02,9.01 10/20/11 DNB FINANCIAL CORP /PA/ PA 2.02,9.01 10/20/11 DONEGAL GROUP INC DE 7.01,9.01 10/20/11 Duke Energy CORP DE 8.01 10/19/11 DUSA PHARMACEUTICALS INC NJ 5.07 06/08/11 AMEND Dynastar Holdings, Inc. NV 1.01,3.03,5.03,9.01 10/14/11 EAGLE FINANCIAL SERVICES INC VA 8.01,9.01 10/20/11 EASTGROUP PROPERTIES INC MD 2.02,9.01 10/20/11 ELECTRONICS FOR IMAGING INC DE 2.02,9.01 10/20/11 EMERGING MEDIA HOLDINGS INC NV 5.02,5.03,9.01 09/12/11 Ensco plc 7.01,9.01 10/20/11 EnteroMedics Inc 2.02,9.01 10/20/11 ENXNET INC OK 7.01,9.01 10/20/11 ESTERLINE TECHNOLOGIES CORP DE 5.02 10/14/11 Evercore Partners Inc. DE 5.07 06/07/11 AMEND EVERGREEN ENERGY INC DE 8.01 10/20/11 EWaste Systems, Inc. NV 1.01,2.01,3.03,5.03, 10/14/11 5.06,7.01,9.01 Exelis Inc. IN 5.02,9.01 10/14/11 FARMERS CAPITAL BANK CORP KY 2.02,9.01 10/19/11 Federal Home Loan Bank of Atlanta X1 2.03 10/20/11 Federal Home Loan Bank of Boston X1 2.03 10/18/11 Federal Home Loan Bank of Chicago X1 2.03 10/17/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/18/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/18/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/20/11 Federal Home Loan Bank of New York X1 2.03,9.01 10/18/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/17/11 Federal Home Loan Bank of San Francis X1 2.03 10/18/11 Federal Home Loan Bank of Seattle 2.03 10/17/11 Federal Home Loan Bank of Topeka 2.03,9.01 10/17/11 FIFTH THIRD BANCORP OH 2.02,7.01,9.01 10/20/11 FIRST FINANCIAL BANKSHARES INC TX 2.02,9.01 10/20/11 FIRST HORIZON NATIONAL CORP TN 5.02,5.03,8.01,9.01 10/17/11 FIRST M&F CORP/MS MS 2.02,7.01,9.01 10/20/11 FIRST NIAGARA FINANCIAL GROUP INC DE 2.02,9.01 10/20/11 FIRST NIAGARA FINANCIAL GROUP INC DE 7.01,9.01 10/20/11 FIRST SOUTH BANCORP INC /VA/ VA 2.02,9.01 10/20/11 FIRST TRUST SENIOR FLOATING RATE INCO 7.01,9.01 10/20/11 FLEXTRONICS INTERNATIONAL LTD. U0 2.02,9.01 10/20/11 FLIR SYSTEMS INC OR 2.02,9.01 10/20/11 FNB BANCORP/CA/ 8.01,9.01 09/30/11 AMEND FORD MOTOR CO DE 8.01,9.01 10/19/11 FOUR RIVERS BIOENERGY INC. NV 8.01 10/19/11 Freescale Semiconductor Holdings I, L D0 2.02,9.01 10/20/11 Gambit Energy, Inc. NV 5.02,5.03,8.01,9.01 10/20/11 GATX CORP NY 2.02,7.01,9.01 10/20/11 Genesis Biopharma, Inc NV 5.02,9.01 10/03/11 GENTEX CORP MI 2.02,9.01 10/20/11 GeoMet, Inc. DE 1.01,7.01,9.01 10/14/11 GEOPETRO RESOURCES CO CA 5.02 10/14/11 Global Growth Trust, Inc. MD 7.01,9.01 10/20/11 Global Growth Trust, Inc. MD 2.01,2.03,9.01 10/17/11 GOLD HORSE INTERNATIONAL, INC. FL 2.02,7.01,9.01 10/18/11 Golub Capital BDC, Inc. DE 2.02,9.01 10/20/11 Government Properties Income Trust MD 1.01,2.03,9.01 10/18/11 GP STRATEGIES CORP DE 5.03,9.01 10/14/11 GRANITE CITY FOOD & BREWERY LTD MN 5.02,5.07,9.01 10/18/11 GULF RESOURCES, INC. DE 8.01,9.01 10/19/11 GULFMARK OFFSHORE INC DE 2.02,9.01 10/19/11 HANCOCK FABRICS INC DE 5.02,9.01 10/17/11 HANMI FINANCIAL CORP DE 5.02,9.01 10/19/11 HANMI FINANCIAL CORP DE 2.02,9.01 10/20/11 HARBINGER GROUP INC. DE 7.01,9.01 10/20/11 HARLEYSVILLE SAVINGS FINANCIAL CORP 2.02,9.01 10/19/11 HealthWarehouse.com, Inc. DE 1.01,3.02,5.03,5.07, 10/17/11 9.01 HEARTLAND EXPRESS INC NV 5.02,9.01 10/15/11 HEARTLAND FINANCIAL USA INC DE 7.01,9.01 10/20/11 HENRY SCHEIN INC DE 1.01,8.01,9.01 10/14/11 Heritage-Crystal Clean, Inc. DE 2.02,9.01 10/19/11 HERSHEY CO DE 1.01,1.02,2.03,9.01 10/14/11 HITTITE MICROWAVE CORP 2.02,9.01 10/20/11 HNI CORP IA 2.02,9.01 10/19/11 HOME BANCSHARES INC 2.02,7.01,9.01 10/20/11 Homeland Security Capital CORP DE 5.02 10/14/11 Horizon Lines, Inc. 3.01,9.01 10/14/11 HUBBELL INC CT 1.01,1.02,2.03,9.01 10/20/11 HUBBELL INC CT 2.02,9.01 10/20/11 HUDSON HIGHLAND GROUP INC DE 1.02,2.04 09/05/11 HUMANA INC DE 8.01,9.01 10/20/11 HUNTINGTON BANCSHARES INC/MD MD 2.02,9.01 10/20/11 IDEX CORP /DE/ DE 2.02,9.01 10/19/11 IFLI Acquisition Corp. DE 1.01,9.01 10/20/11 IMPAX LABORATORIES INC DE 7.01 10/19/11 INDEPENDENT BANK CORP MA 2.02,7.01,9.01 10/20/11 INFORMATICA CORP DE 2.02,9.01 10/20/11 Ingersoll-Rand plc L2 2.02,9.01 10/20/11 Ingersoll-Rand plc L2 2.06 09/30/11 AMEND Inspired Builders, Inc. NV 1.01 10/13/11 INSTEEL INDUSTRIES INC NC 2.02,9.01 10/20/11 Interactive Brokers Group, Inc. DE 2.02 10/20/11 Internal Fixation Systems, Inc. FL 5.02,9.01 10/14/11 INTERNATIONAL BARRIER TECHNOLOGY INC A1 7.01,9.01 10/14/11 INTUIT INC DE 5.02 10/18/11 IPC The Hospitalist Company, Inc. DE 5.02,9.01 10/19/11 IRONWOOD PHARMACEUTICALS INC 1.01 10/18/11 ITT Corp IN 5.02,9.01 10/14/11 ITT Corp IN 5.02,9.01 10/05/11 AMEND ITT EDUCATIONAL SERVICES INC DE 2.02,9.01 10/20/11 IXIA CA 2.02,9.01 10/20/11 JANUS CAPITAL GROUP INC DE 2.02,9.01 10/20/11 Kennedy-Wilson Holdings, Inc. DE 8.01 10/20/11 KENSEY NASH CORP DE 2.02,9.01 10/20/11 KEY TECHNOLOGY INC OR 5.02 10/18/11 KEYCORP /NEW/ OH 2.02,7.01,9.01 10/20/11 Keyuan Petrochemicals, Inc. NV 4.02 10/19/11 LABORATORY CORP OF AMERICA HOLDINGS DE 2.02 10/20/11 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 10/20/11 LACROSSE FOOTWEAR INC WI 2.02,9.01 10/20/11 LAS VEGAS RAILWAY EXPRESS, INC. DE 5.02 10/19/11 LATTICE SEMICONDUCTOR CORP DE 2.02,9.01 10/20/11 LAW ENFORCEMENT ASSOCIATES CORP NV 9.01 09/30/11 AMEND LEAF Equipment Finance Fund 4, L.P. DE 5.03,9.01 10/17/11 LEAF Equipment Leasing Income Fund II DE 5.03,9.01 10/17/11 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 10/17/11 LEVEL 3 COMMUNICATIONS INC DE 3.03,5.03,8.01,9.01 10/19/11 Li3 Energy, Inc. NV 5.02 10/14/11 Liberty Gold Corp. DE 3.02,8.01,9.01 10/10/11 AMEND LIFE PARTNERS HOLDINGS INC TX 8.01,9.01 10/19/11 LIFE TIME FITNESS, INC. MN 2.02,9.01 10/20/11 LILLY ELI & CO IN 2.02,9.01 10/20/11 LIVEDEAL INC NV 8.01,9.01 10/19/11 MARKWEST ENERGY PARTNERS L P 7.01,9.01 10/20/11 MARTEN TRANSPORT LTD DE 2.02,9.01 10/18/11 MATERION Corp 8.01 10/19/11 MAXIM INTEGRATED PRODUCTS INC DE 2.02,9.01 10/20/11 MCGRAW-HILL COMPANIES INC NY 2.02,7.01,9.01 10/20/11 Mercantile Bancorp, Inc. DE 1.01,9.01 10/19/11 Mericol, Inc. NV 4.01,9.01 10/19/11 Merilus, Inc. NV 4.01,9.01 10/04/11 AMEND MESA ROYALTY TRUST/TX TX 2.02,9.01 10/20/11 MGP INGREDIENTS INC KS 7.01,9.01 10/20/11 MICROFINANCIAL INC MA 2.02,9.01 10/19/11 MICROSOFT CORP WA 2.02,9.01 10/20/11 MINDEN BANCORP, INC. LA 7.01,9.01 10/20/11 MODINE MANUFACTURING CO WI 5.02,9.01 10/17/11 Monarch Financial Holdings, Inc. VA 2.02,9.01 10/20/11 NB&T FINANCIAL GROUP INC OH 2.02,7.01,9.01 10/20/11 NEOPROBE CORP DE 8.01,9.01 10/19/11 Net Savings Link, Inc. NV 1.01,9.01 10/18/11 NETSCOUT SYSTEMS INC DE 2.02,9.01 10/20/11 NEW YORK TIMES CO NY 2.02,9.01 10/20/11 NEWBRIDGE BANCORP NC 2.02,9.01 10/20/11 NEWFIELD EXPLORATION CO /DE/ DE 2.02,7.01,9.01 10/19/11 NEWS CORP 8.01,9.01 10/20/11 NOBLE ENERGY INC DE 2.02,9.01 10/20/11 NORFOLK SOUTHERN CORP VA 1.01 10/20/11 Northfield Bancorp, Inc. X1 1.01,2.01,7.01,9.01 10/14/11 NORWOOD FINANCIAL CORP PA 2.02,9.01 10/20/11 NUCOR CORP DE 2.02,9.01 10/20/11 NUTRITION 21 INC NY 7.01,9.01 10/20/11 NVR INC VA 2.02,9.01 10/20/11 ORBITAL SCIENCES CORP /DE/ DE 2.02,9.01 10/19/11 OSL HOLDINGS INC. 1.01,2.01,3.02,5.01, 10/10/11 5.02,8.01,9.01 PACIFIC PREMIER BANCORP INC DE 2.02,9.01 09/30/11 PACWEST BANCORP DE 2.02,9.01 10/20/11 Patriot Coal CORP DE 2.02,9.01 10/20/11 PediatRx Inc. NV 2.02,9.01 10/20/11 PEREGRINE PHARMACEUTICALS INC DE 5.02,5.07 10/20/11 PERKINELMER INC MA 8.01,9.01 10/20/11 PETROQUEST ENERGY INC DE 7.01,9.01 10/20/11 Philip Morris International Inc. VA 2.02,9.01 10/20/11 PICO HOLDINGS INC /NEW CA 5.02 10/19/11 PIXELWORKS, INC OR 2.02,9.01 10/20/11 PLUG POWER INC DE 5.02,9.01 10/19/11 POOL CORP DE 1.01,1.02,2.02,2.03, 10/20/11 7.01,9.01 POPULAR INC 2.02,9.01 10/19/11 PPG INDUSTRIES INC PA 2.02,9.01 10/20/11 PREMIER EXHIBITIONS, INC. FL 1.01,8.01,9.01 10/17/11 PREMIERE GLOBAL SERVICES, INC. GA 2.02,9.01 10/20/11 PSM HOLDINGS INC NV 9.01 08/08/11 AMEND PULASKI FINANCIAL CORP MO 2.02,9.01 10/18/11 PULSE ELECTRONICS CORP PA 5.02 10/17/11 QUICKSILVER RESOURCES INC DE 8.01,9.01 10/19/11 RAMBUS INC DE 2.02,9.01 10/20/11 RAMCO GERSHENSON PROPERTIES TRUST MD 5.07 10/19/11 RAMTRON INTERNATIONAL CORP DE 8.01,9.01 10/19/11 RAMTRON INTERNATIONAL CORP DE 2.02,9.01 10/20/11 Rand Logistics, Inc. DE 2.01,8.01,9.01 10/14/11 Recon Technology, Ltd E9 3.01,9.01 10/17/11 RECOVERY ENERGY, INC. NV 5.03,8.01,9.01 10/17/11 RENTECH INC /CO/ CO 2.02,2.06 10/19/11 REPUBLIC FIRST BANCORP INC PA 2.02,9.01 10/19/11 REX AMERICAN RESOURCES Corp DE 8.01,9.01 10/20/11 River Rock Entertainment Authority XX 2.02,7.01,8.01,9.01 10/19/11 RIVER VALLEY BANCORP IN 2.02,9.01 10/18/11 RJO GLOBAL TRUST 5.02 10/14/11 Roadrunner Transportation Systems, In DE 5.02,9.01 10/14/11 ROLLINS INC DE 8.01,9.01 10/18/11 RSC Holdings Inc. DE 2.02,9.01 10/20/11 SANDISK CORP DE 2.02,9.01 10/20/11 SANDY SPRING BANCORP INC MD 2.02,9.01 10/20/11 SAVANNAH BANCORP INC GA 5.07 04/21/11 AMEND SCHAWK INC 2.03,8.01,9.01 10/19/11 SCHNITZER STEEL INDUSTRIES INC OR 2.02,9.01 10/20/11 SCICLONE PHARMACEUTICALS INC DE 8.01,9.01 10/20/11 SCIENTIFIC GAMES CORP DE 8.01,9.01 10/19/11 SENSIENT TECHNOLOGIES CORP WI 2.01,8.01,9.01 10/19/11 SHARPROCK RESOURCES INC. NV 5.02 10/14/11 SIMMONS FIRST NATIONAL CORP AR 2.02,9.01 10/20/11 SLM Student Loan Trust 2005-5 8.01 10/20/11 SLM Student Loan Trust 2005-8 8.01 10/20/11 SMITH MICRO SOFTWARE INC DE 2.05 10/18/11 SNAP-ON Inc DE 2.02,9.01 10/20/11 Solar Energy Initiatives, Inc. DE 1.01,2.03,3.02,9.01 10/17/11 SONIC CORP DE 2.02,9.01 10/18/11 SONO TEK CORP NY 7.01,9.01 10/18/11 SOUTHERN COMMUNITY FINANCIAL CORP 2.02,9.01 10/20/11 SOUTHWEST AIRLINES CO TX 2.02,9.01 09/30/11 SOUTHWEST BANCORP INC OK 2.02,7.01,9.01 10/20/11 SOUTHWEST GEORGIA FINANCIAL CORP GA 2.02,9.01 09/30/11 Spansion Inc. DE 5.07 05/31/11 AMEND Spectra Energy Corp. DE 1.01,1.02,2.03,9.01 10/18/11 Spectra Energy Partners, LP DE 1.01,1.02,2.03,9.01 10/18/11 State Auto Financial CORP OH 8.01,9.01 10/17/11 STEEL DYNAMICS INC IN 2.02,9.01 10/17/11 STEEL DYNAMICS INC IN 5.02,8.01,9.01 10/14/11 STEPAN CO DE 2.02,9.01 10/19/11 STR HOLDINGS, INC. DE 2.02,9.01 10/17/11 SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 10/20/11 SUPERMEDIA INC. DE 7.01,9.01 10/20/11 SUSQUEHANNA BANCSHARES INC PA 5.02 10/17/11 Susser Holdings CORP DE 2.02,9.01 10/18/11 SVB FINANCIAL GROUP 7.01 10/20/11 SVB FINANCIAL GROUP 2.02,9.01 10/20/11 SYNAPTICS INC DE 2.02,9.01 10/20/11 SYNOPSYS INC DE 1.01 10/15/11 SYNTEL INC MI 2.02,9.01 10/20/11 TAUBMAN CENTERS INC MI 2.02,9.01 10/20/11 TAYLOR CAPITAL GROUP INC DE 7.01,9.01 10/20/11 TAYLOR CAPITAL GROUP INC DE 2.02,9.01 10/20/11 TCF FINANCIAL CORP DE 2.02,9.01 10/20/11 TE Connectivity Ltd. V8 5.02 10/14/11 TELIK INC DE 8.01 10/20/11 TEMPUR PEDIC INTERNATIONAL INC DE 2.02,7.01,9.01 10/20/11 TEXAS CAPITAL BANCSHARES INC/TX 2.02,9.01 10/19/11 THEGLOBE COM INC DE 8.01 10/14/11 THOMAS & BETTS CORP TN 2.02,9.01 10/20/11 Tonix Pharmaceuticals Holding Corp. NV 8.01,9.01 10/20/11 TRIDENT ACQUISITIONS, INC. NV 5.02 10/20/11 ULTRATECH INC DE 2.02,9.01 10/20/11 UMPQUA HOLDINGS CORP OR 2.02,9.01 10/19/11 UNIGENE LABORATORIES INC DE 8.01,9.01 10/20/11 UNION BANKSHARES INC VT 2.02,8.01,9.01 10/19/11 UNION PACIFIC CORP UT 2.02,9.01 10/20/11 URS CORP /NEW/ DE 1.01,1.02,2.03,7.01, 10/19/11 9.01 USG CORP DE 2.02,9.01 10/20/11 UTAH MEDICAL PRODUCTS INC UT 2.02 10/20/11 VERENIUM CORP DE 1.01,2.03 10/19/11 Voice Assist, Inc. NV 5.02,9.01 10/14/11 VSE CORP DE 5.02 10/12/11 WATSCO INC FL 2.02,7.01,9.01 10/20/11 WEB.COM GROUP, INC. DE 5.02 07/01/11 WEB.COM GROUP, INC. DE 8.01,9.01 10/17/11 WebXU, Inc. DE 5.03,8.01,9.01 10/14/11 WESCO INTERNATIONAL INC 2.02,7.01,9.01 10/20/11 WESTERN DIGITAL CORP DE 7.01,9.01 10/19/11 WESTWOOD HOLDINGS GROUP INC DE 2.02,7.01,9.01 10/19/11 WNC HOUSING TAX CREDIT FUND III L P CA 2.02,9.01 10/19/11 WSFS FINANCIAL CORP DE 8.01,9.01 10/20/11 Xylem Inc. IN 5.02,9.01 10/14/11 YOUNG INNOVATIONS INC MO 2.02,8.01,9.01 10/19/11 ZION OIL & GAS INC DE 4.01,9.01 10/17/11
http://www.sec.gov/news/digest/2011/dig102111.htm
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