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Enforcement proceedingsIn the Matter of American Capital Partners Limited, Inc., et al.On November 8, 2011, an Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default as to Six Respondents (Default Order) in American Capital Partners Limited, Inc., Admin. Proc. 3-14534. The Default Order finds that American Capital Partners Limited, Inc., American Educators Financial Corp. (n/k/a Asia Ventures Corp.), Bidville, Inc. (n/k/a PrimEdge, Inc.), Black Rock Golf Corp. (a/k/a Aurus Corp.), Broadband Wireless International Corp., and Buffalo Gold Ltd. (collectively Respondents), issuers of securities registered pursuant to Section 12 of the Securities Exchange Act of 1934 (Exchange Act), have failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Securities and Exchange Commission (Commission). As a result, the Administrative Law Judge ordered that the registration of each class of registered securities of each named Respondent is revoked. On October 25, 2011, the Commission issued an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Austral Pacific Energy Ltd. See American Capital Partners Limited, Inc., Exchange Act Release No. 65616. The Administrative Law Judge ordered a prehearing conference on December 14, 2011, to determine whether Respondent Bio-Warm Corp. (n/k/a PHI Gold Corp.), the only remaining Respondent, has filed its past due periodic reports. (Rel. 34-65701; File No. 3-14534) Commission Declares Decision as to Silver Eagle Resources Ltd. (n/k/a Mercator Minerals Ltd.) FinalThe decision of an administrative law judge revoking the registration of each class of registered securities of Silver Eagle Resources Ltd. (n/k/a Mercator Minerals Ltd.), has become final. Silver Eagle filed a motion seeking entry of a final order and stating that it "irrevocably waives any right it may have to appeal the Initial Decision . . . ." The law judge found that Mercator violated 13(a) of the Securities Exchange Act of 1934 and Rules 13a-1 and 13a-13 by not filing any periodic reports for over thirteen years since it filed a Form 10-SB on January 16, 1998. The law judge also noted that revocation of the registration of Mercator’s registered securities will serve the public interest and the protection of investors pursuant to Section 12(j) of the Exchange Act. The law judge further noted that, once Mercator is able to comply with the registrations requirements, it will then be able to re-register its securities under the Exchange Act. (Rel. 34-65702; File No. 3-14423) In the Matter ACS Acquisition Corp.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Four Respondents (Default Order) in ACS Acquisition Corp., Admin. Proc. No. 3-14588. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of registered securities of ACS Acquisition Corp., American Resources & Development Co., Aviation General, Inc., and Brodie Exploration Corp., pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act). The proceeding has ended as to Respondent American Radio Empire, Inc. See ACS Acquisition Corp., Exchange Act Release No. 65651 (Oct. 28, 2011). The Bombay Company, Inc., is negotiating a settlement agreement with the Division of Enforcement. (Rel. 34-65703; File No. 3-14588) Communitronics of America, Inc. (n/k/a RPM Advantage, Inc.) Drops Its Appeal of Initial Decision Revoking Registration of Its Securities For Failure to Make Required Periodic FilingsOn November 8, 2011, the Commission revoked the registration of each class of registered securities of Communitronics of America, Inc. (RPM Advantage, Inc.) (RPM Advantage) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, RPM Advantage consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Communitronics of America, Inc. (RPM Advantage, Inc.) finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of RPM Advantage’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against RPM Advantage in In the Matter of Circadian, Inc., et al., Administrative Proceeding File No. 3-14301, which was on appeal to the Commission following a July 18, 2011 Initial Decision revoking RPM Advantage’s securities registeration. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Circadian, Inc., et al., Administrative Proceeding File No. 3-14301, Exchange Act Release No. 64104, March 22, 2011. (Rel. 34-65704; File No. 3-14301) Self-regulatory organizationsProposed Rule ChangesICE Clear Credit LLC (ICC) filed a proposed rule change (SR-ICC-2011-03) under Section 19(b)(2) of the Securities Exchange Act of 1934 to adopt ICC’s enhanced margin methodology. Publication is expected in the Federal Register during the week of November 7. (Rel. 34-65699) The Financial Industry Regulatory Authority, Inc. has filed a proposed rule change (SR-FINRA-2011-064) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to adopt FINRA Rule 4524 (Supplemental FOCUS Information) and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Reports. Publication is expected in the Federal Register during the week of November 7. (Rel. 34-65700) 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-3 Alon USA Energy, Inc., 7616 LBJ FREEWAY, SUITE 300, DALLAS, TX, 75251, 972 367 3600 - 3,092,783 ($23,752,573.44) Equity, (File 333-177772 - Nov. 7) (BR. 04B) S-8 APPLIED MICRO CIRCUITS CORP, 215 MOFFETT PARK DRIVE, SUNNYVALE, CA, 94089, 4085428694 - 4,200,000 ($26,334,000.00) Equity, (File 333-177773 - Nov. 7) (BR. 10A) F-1 PACIFIC DRILLING S.A., 16 AVENUE PASTEUR, L-2310, NONE, N4, NONE, NONE - 0 ($69,000,000.00) Equity, (File 333-177774 - Nov. 7) (BR. 04C) S-1 Pacira Pharmaceuticals, Inc., 5 SYLVAN WAY, SUITE 125, PARSIPPANY, NJ, 07054, 973-254-3560 - 0 ($53,199,000.00) Equity, (File 333-177776 - Nov. 7) (BR. 01A) S-3ASR ASSURANT INC, 0 ($0.00) Unallocated (Universal) Shelf, (File 333-177777 - Nov. 7) (BR. 01A) S-1 TVAX Biomedical, Inc., 8006 REEDER STREET, LENEXA, KS, 66214, 913-492-2221 - 0 ($40,000,000.00) Equity, (File 333-177783 - Nov. 7) (BR. 01) S-8 IXYS CORP /DE/, 1590 BUCKEYE DRIVE, MILPITAS, CA, 95035, 4084579000 - 600,000 ($7,824,000.00) Equity, (File 333-177784 - Nov. 7) (BR. 10B) S-1 FIRST SOCIAL NETWORX CORP., 4625 LEGACY COURT, SARASOTA, FL, 34241-7147, 941-266-4865 - 3,000,000 ($45,000.00) Equity, (File 333-177786 - Nov. 7) (BR. 03) S-8 AVNET INC, 2211 SOUTH 47TH STREET, PHOENIX, AZ, 85034, 4806432000 - 0 ($14,987,500.00) Equity, (File 333-177787 - Nov. 7) (BR. 10A) F-10 TRANSCANADA CORP, 450 - 1ST STREET S.W., CALGARY ALBERTA, A0, T2P 5H1, 4039202000 - 0 ($1.00) Other, (File 333-177788 - Nov. 7) (BR. 02A) F-9 TRANSCANADA PIPELINES LTD, 450 -1ST STREET SW, P O BOX 1000 STATION M, CALGARY ALBERTA, A0, T2P 5H1, 4039206411 - 0 ($2,250,000,000.00) Debt, (File 333-177789 - Nov. 7) (BR. 02A) S-8 FAIRCHILD SEMICONDUCTOR INTERNATIONAL INC, 3030 ORCHARD PARKWAY, SAN JOSE, CA, 95134, 4088222000 - 0 ($64,341,200.00) Equity, (File 333-177790 - Nov. 7) (BR. 10A) S-1 SSTL, Inc., 128 COMMERCIAL DRIVE, MOORESVILLE, NC, 28115, 804-306-8217 - 1,337,500 ($26,750.00) Equity, (File 333-177792 - Nov. 7) (BR. ) S-3 ZIOPHARM ONCOLOGY INC, 1180 AVENUE OF THE AMERICA, 19TH FLOOR, NEW YORK, NY, 10036, 646-214-0700 - 0 ($150,000,000.00) Equity, (File 333-177793 - Nov. 7) (BR. 01B) S-8 SNAP-ON Inc, 2801 80TH STREET, KENOSHA, WI, 53143, 4146565200 - 0 ($258,550,000.00) Equity, (File 333-177794 - Nov. 7) (BR. 06B) S-8 SNAP-ON Inc, 2801 80TH STREET, KENOSHA, WI, 53143, 4146565200 - 0 ($51,710,000.00) Equity, (File 333-177795 - Nov. 7) (BR. 06B) S-3ASR HORNBECK OFFSHORE SERVICES INC /LA, 103 NORTHPARK BOULEVARD, SUITE 300, COVINGTON, LA, 70433, 9857272000 - 0 ($0.00) Equity, (File 333-177796 - Nov. 7) (BR. 05A) S-1 Carbon Sciences, Inc., 5511C EKWILL STREET, SANTA BARBARA, CA, 93111, (805) 456 7000 - 0 ($25,000,000.00) Equity, (File 333-177797 - Nov. 7) (BR. 06B) S-8 Marriott Vacations Worldwide Corp, 6649 WESTWOOD BLVD., ORLANDO, FL, 32821, 407-206-6000 - 0 ($290,040,000.00) Equity, (File 333-177798 - Nov. 7) (BR. 08B) S-8 Groupon, Inc., 600 WEST CHICAGO AVENUE, SUITE 830, CHICAGO, IL, 60610, (312) 604-5515 - 0 ($1,285,140,994.64) Equity, (File 333-177799 - Nov. 7) (BR. 11A) S-8 Radius Health, Inc., ATTN: CHIEF FINANCIAL OFFICER, 201 BROADWAY, 6TH FLOOR, CAMBRIDGE, MA, 02139, 617 425 9225 - 0 ($29,294,013.00) Equity, (File 333-177800 - Nov. 7) (BR. 09B) S-3ASR GLIMCHER REALTY TRUST, 180 EAST BROAD STREET, COLUMBUS, OH, 43215, 6146219000 - 0 ($1.00) Equity, (File 333-177801 - Nov. 7) (BR. 08B) 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 A.C. Moore Arts & Crafts, Inc. PA 7.01,9.01 11/07/11 AAR CORP DE 8.01,9.01 11/04/11 ACCENTIA BIOPHARMACEUTICALS INC 7.01,9.01 11/07/11 ACCESS PHARMACEUTICALS INC DE 1.01 11/01/11 ADVENTRX PHARMACEUTICALS INC DE 2.02,9.01 11/07/11 ADVOCAT INC DE 2.02,5.02,9.01 11/04/11 AEHR TEST SYSTEMS CA 3.01 11/02/11 AIR METHODS CORP DE 5.02 11/01/11 AISystems, Inc. 4.01,9.01 10/25/11 ALBEMARLE CORP VA 5.02,5.03,9.01 11/02/11 Alexza Pharmaceuticals Inc. DE 2.02,9.01 11/07/11 ALLEGHANY CORP /DE DE 2.02,9.01 11/07/11 Allied Nevada Gold Corp. DE 2.02,9.01 11/07/11 Allied Nevada Gold Corp. DE 2.02,9.01 11/07/11 AMEND Altegris QIM Futures Fund, L.P. DE 3.02 11/01/11 Altegris Winton Futures Fund, L.P. CO 3.02 11/01/11 AMBICOM HOLDINGS, INC NV 9.01 11/01/11 AMERICAN BAR ASSOCIATION MEMBERS / NO IL 1.01,9.01 11/01/11 AMERICAN DENTAL PARTNERS INC DE 1.01,2.02,8.01,9.01 11/04/11 American Exploration Corp NV 1.01,9.01 10/31/11 AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 11/07/11 American Mining Corp NV 1.02,5.02 11/02/11 AMERICAN PUBLIC EDUCATION INC DE 2.02,9.01 11/07/11 American Realty Capital Properties, I MD 8.01 11/07/11 American Realty Capital Trust III, In MD 2.01,9.01 10/31/11 AMERICAN SCIENCE & ENGINEERING, INC. MA 2.02,9.01 11/07/11 AMERICAN STATES WATER CO CA 2.02,9.01 11/07/11 AMICO GAMES CORP. NV 5.02 10/27/11 Amwest Imaging Inc NV 8.01 11/07/11 ANADYS PHARMACEUTICALS INC 2.02,9.01 11/07/11 ANAREN INC NY 5.07 11/02/11 ANNALY CAPITAL MANAGEMENT INC MD 7.01,9.01 11/07/11 AP PHARMA INC /DE/ DE 2.02,9.01 11/07/11 Apple REIT Ten, Inc. VA 2.01,9.01 11/01/11 APPLIED DNA SCIENCES INC DE 1.01,9.01 11/01/11 APPLIED MATERIALS INC /DE DC 8.01,9.01 11/07/11 APPLIED MICRO CIRCUITS CORP DE 2.02,9.01 11/01/11 Applied Nanotech Holdings, Inc TX 8.01 11/04/11 ARCH CAPITAL GROUP LTD. 8.01 10/31/11 ARCHER DANIELS MIDLAND CO DE 5.02,5.07,9.01 11/02/11 Ardea Biosciences, Inc./DE DE 7.01,9.01 11/07/11 ASSURANCEAMERICA CORP NV 8.01 11/04/11 ASTORIA FINANCIAL CORP DE 2.02,9.01 11/07/11 ATLANTIC POWER CORP A1 1.01,2.01,2.03,3.02, 11/01/11 5.07,9.01 Babcock & Wilcox Co DE 2.02,9.01 11/07/11 BAETA CORP NJ 1.01,7.01,9.01 11/03/11 BALLANTYNE STRONG, INC. DE 2.02,9.01 11/03/11 BANK OF THE JAMES FINANCIAL GROUP INC VA 2.02,9.01 11/04/11 BANKATLANTIC BANCORP INC FL 2.02,9.01 11/02/11 BANKATLANTIC BANCORP INC FL 1.01,7.01,9.01 11/01/11 BEACON POWER CORP DE 3.01,3.03,5.02,7.01, 11/01/11 9.01 BEMIS CO INC MO 5.02,5.03,9.01 11/01/11 BENIHANA INC DE 8.01,9.01 11/07/11 BEST BUY CO INC MN 1.01,2.05,2.06,5.03, 11/02/11 7.01,8.01 Bidfish.com, Inc. NV 1.01,5.01,5.02,5.03, 11/07/11 9.01 Bidz.com, Inc. CA 2.02,9.01 11/07/11 BIOCANCELL THERAPEUTICS INC. 8.01 11/03/11 BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 11/07/11 BIOLASE TECHNOLOGY INC DE 2.02,9.01 11/07/11 BIOPACK ENVIRONMENTAL SOLUTIONS INC. NV 8.01 11/03/11 Bizzingo, Inc. NV 1.01,5.02,9.01 11/02/11 Black Sea Metals, Inc. NV 5.03,7.01,8.01,9.01 11/07/11 Blackwater Midstream Corp. 1.01,2.03,8.01,9.01 11/01/11 BLOUNT INTERNATIONAL INC DE 9.01 09/07/11 AMEND BLUE CALYPSO, INC. NV 1.02,9.01 11/04/11 Boomerang Systems, Inc. DE 1.01,2.03,3.02 11/01/11 BPZ RESOURCES, INC. TX 2.02,7.01,9.01 11/03/11 Bravo Brio Restaurant Group, Inc. OH 8.01,9.01 11/01/11 BRIGGS & STRATTON CORP WI 8.01,9.01 11/02/11 Bristow Group Inc DE 2.02,9.01 11/07/11 BROADSOFT, INC. DE 2.02,9.01 11/07/11 BUCKEYE PARTNERS, L.P. DE 2.02,9.01 11/04/11 BUCKEYE TECHNOLOGIES INC DE 5.07 11/03/11 CABELAS INC DE 5.02 11/04/11 CALIBRUS, INC. NV 3.02,8.01 11/07/11 CALIPER LIFE SCIENCES INC DE 2.01,3.01,3.03,5.01, 11/07/11 5.02,5.03,5.07,8.01, 9.01 CAMAC Energy Inc. DE 7.01,9.01 11/07/11 CAMPBELL FUND TRUST DE 3.02 11/07/11 CAPITAL TRUST INC MD 2.02,9.01 11/02/11 CARDTRONICS INC DE 2.02,9.01 11/07/11 Care Investment Trust Inc. MD 5.07 11/03/11 CAREFUSION Corp 2.02,7.01,9.01 11/07/11 CARMIKE CINEMAS INC DE 2.02,9.01 11/07/11 CARPENTER TECHNOLOGY CORP DE 2.02,9.01 10/25/11 CARRIAGE SERVICES INC DE 5.02,9.01 11/03/11 CARROLS RESTAURANT GROUP, INC. 2.02,9.01 11/07/11 Castmor Resources Ltd NV 4.01 11/02/11 Celanese CORP DE 5.02,9.01 11/04/11 CELL THERAPEUTICS INC WA 7.01,9.01 11/07/11 CELLCYTE GENETICS CORP NV 4.01 11/01/11 CENTRAL VERMONT PUBLIC SERVICE CORP VT 7.01 11/07/11 CENTURY PROPERTIES FUND XVI CA 1.01,9.01 11/01/11 Cereplast Inc NV 2.02,9.01 11/07/11 CHEMED CORP DE 8.01,9.01 11/04/11 CHENIERE ENERGY INC DE 2.02,9.01 11/07/11 Cheniere Energy Partners, L.P. DE 2.02,9.01 11/07/11 China Biologic Products, Inc. 2.02,7.01,9.01 11/07/11 CHINA EDUCATION ALLIANCE INC. NC 8.01 11/02/11 CHINA YIDA HOLDING, CO. 5.02,9.01 11/05/11 CHS INC MN 5.05 11/02/11 CHURCH & DWIGHT CO INC /DE/ DE 5.02 11/01/11 CIRCLE STAR ENERGY CORP. NV 7.01,9.01 11/04/11 Cleantech Solutions International, In DE 3.01,7.01 11/03/11 CME GROUP INC. DE 8.01,9.01 11/04/11 CMS ENERGY CORP MI 7.01,9.01 11/07/11 COEUR D ALENE MINES CORP ID 2.02,9.01 11/07/11 COMCAST CORP PA 5.02,9.01 11/03/11 COMMERCIAL BARGE LINE CO DE 5.02 11/07/11 CompuCredit Holdings Corp GA 1.01,2.03 11/02/11 CORCEPT THERAPEUTICS INC DE 2.02,7.01,9.01 11/07/11 Cornerstone OnDemand Inc DE 2.02,9.01 11/07/11 CPI AEROSTRUCTURES INC NY 5.02 11/04/11 CRACKER BARREL OLD COUNTRY STORE, INC TN 2.02,7.01,9.01 11/07/11 CRACKER BARREL OLD COUNTRY STORE, INC TN 2.02,7.01,9.01 11/07/11 AMEND CRESCENT FINANCIAL CORP NC 1.01,5.02,8.01,9.01 11/02/11 Crexendo, Inc. DE 2.02,9.01 11/07/11 CreXus Investment Corp. MD 2.02,9.01 11/07/11 CUTERA INC DE 2.02,9.01 11/07/11 DealerTrack Holdings, Inc. DE 2.02,9.01 11/07/11 DECOR PRODUCTS INTERNATIONAL, INC. FL 5.02 11/01/11 Delek US Holdings, Inc. 5.02 11/01/11 DEMAND MEDIA INC. DE 2.02,9.01 11/07/11 DEVRY INC DE 5.07 11/03/11 DEWEY ELECTRONICS CORP NY 1.01,2.03 11/07/11 Digimarc CORP OR 5.02,9.01 11/01/11 DIGITAL POWER CORP CA 2.02,9.01 11/03/11 DOUGLAS DYNAMICS, INC DE 2.02,9.01 11/07/11 DTE ENERGY CO MI 7.01,9.01 11/07/11 DTS, INC. DE 2.02,9.01 11/07/11 DUCOMMUN INC /DE/ DE 2.02,5.03,9.01 11/03/11 Ecologic Transportation, Inc. 5.02 11/01/11 ECOTALITY, INC. NV 1.01,5.02,8.01,9.01 11/01/11 EDUtoons, Inc. DE 2.01,5.01,5.02,9.01 11/01/11 EINSTEIN NOAH RESTAURANT GROUP INC DE 5.03,9.01 11/02/11 EMMAUS LIFE SCIENCES, INC. DE 4.02,9.01 11/02/11 Employers Holdings, Inc. NV 7.01 11/07/11 ENER1 INC FL 5.02,9.01 11/01/01 Energy Future Holdings Corp /TX/ TX 7.01,9.01 11/07/11 Energy Transfer Partners, L.P. DE 8.01,9.01 11/07/11 ENERNOC INC DE 2.02,9.01 11/07/11 EnerSys DE 5.07 08/04/11 AMEND EQT Corp PA 1.01,2.03,9.01 11/02/11 EXPRESS, INC. 3.01,5.02 11/01/11 Fabrinet E9 2.02,8.01,9.01 11/01/11 Federal Home Loan Bank of Dallas 2.03,9.01 11/01/11 Financial Engines, Inc. DE 2.02,9.01 11/07/11 FIRST ACCEPTANCE CORP /DE/ DE 2.02,7.01,9.01 11/07/11 FIRST BANCSHARES INC /MS/ MS 2.02,7.01,9.01 11/07/11 First Sentry Bancshares, Inc. WV 2.02,9.01 11/01/11 FISHER COMMUNICATIONS INC WA 2.02,9.01 11/07/11 FLUOROPHARMA MEDICAL, INC. NV 4.01 11/01/11 FLUSHING FINANCIAL CORP DE 7.01,9.01 11/07/11 FORCE PROTECTION INC NV 2.02,9.01 11/07/11 FORCE PROTECTION INC NV 1.01,5.02,5.03,8.01, 11/06/11 9.01 FORWARD INDUSTRIES INC NY 1.01,9.01 11/01/11 FOSTER WHEELER AG V8 5.02 11/01/11 Fraternity Community Bancorp Inc MD 2.02,9.01 11/04/11 FRONTIER FUND DE 5.02 11/01/11 FSP 303 East Wacker Drive Corp. 7.01,9.01 11/07/11 FSP 50 South Tenth Street Corp 7.01,9.01 11/07/11 FSP GALLERIA NORTH CORP 7.01,9.01 11/07/11 FSP PHOENIX TOWER CORP 7.01,9.01 11/07/11 FUEL TECH, INC. DE 2.02,9.01 11/07/11 FUTURES PORTFOLIO FUND L.P. MD 3.02 11/01/11 GARDNER DENVER INC DE 7.01,9.01 11/03/11 GEN PROBE INC DE 8.01 11/04/11 GENTIVA HEALTH SERVICES INC DE 5.03,9.01 11/02/11 GeoMet, Inc. DE 7.01,9.01 11/02/11 Global Indemnity plc L2 2.02,9.01 11/07/11 Grand Canyon Education, Inc. DE 2.02,4.02,9.01 11/07/11 GREAT ATLANTIC & PACIFIC TEA CO INC MD 7.01,9.01 11/07/11 GREENBRIER COMPANIES INC OR 5.02 11/01/11 GT Advanced Technologies Inc. DE 2.02,7.01,9.01 11/07/11 GYMBOREE CORP DE 7.01 11/04/11 H&R BLOCK INC MO 1.01,9.01 11/03/11 HALOZYME THERAPEUTICS INC DE 2.02,9.01 11/07/11 HANSEN MEDICAL INC 1.01,3.02,9.01 11/07/11 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV 1.01,8.01,9.01 11/02/11 HARRIS INTERACTIVE INC DE 5.07,8.01 11/01/11 HERTZ CORP DE 2.02,9.01 11/02/11 HERTZ GLOBAL HOLDINGS INC 2.02,9.01 11/02/11 Hill International, Inc. DE 2.02,9.01 11/03/11 HILLMAN COMPANIES INC DE 1.01,2.02,2.03,9.01 11/04/11 Hines Global REIT, Inc. MD 7.01,8.01,9.01 11/07/11 HOLOGIC INC DE 2.02,5.02,9.01 11/01/11 HORNBECK OFFSHORE SERVICES INC /LA DE 8.01,9.01 11/07/11 HOSPITALITY PROPERTIES TRUST MD 2.02,9.01 11/07/11 HOT TOPIC INC /CA/ CA 5.02 11/03/11 HOVNANIAN ENTERPRISES INC DE 1.01,2.03,3.03,8.01, 11/01/11 9.01 Hudson Pacific Properties, Inc. MD 2.02,7.01,9.01 11/07/11 HUDSON VALLEY HOLDING CORP NY 7.01,9.01 11/07/11 HUMAN GENOME SCIENCES INC DE 1.01,2.03,8.01,9.01 11/02/11 HUNTINGTON BANCSHARES INC/MD MD 7.01,9.01 11/07/11 IFLI Acquisition Corp. DE 2.01,3.02,5.01,5.02, 11/01/11 5.03,5.05,5.06,8.01, 9.01 IFLI Acquisition Corp. DE 4.01,9.01 11/01/11 INFINITE GROUP INC DE 1.01,9.01 11/01/11 INTEGRA LIFESCIENCES HOLDINGS CORP DE 1.01,9.01 11/02/11 INTERNATIONAL BANCSHARES CORP TX 2.02,9.01 11/07/11 IPASS INC DE 2.02,9.01 11/07/11 IRONWOOD PHARMACEUTICALS INC 2.02,9.01 11/07/11 ISIS PHARMACEUTICALS INC DE 2.02,9.01 11/07/11 JANEL WORLD TRADE LTD NV 1.01,2.03,9.01 11/02/11 Jinmimi Network Inc NV 5.01,5.02 11/03/11 JOY GLOBAL INC DE 3.01,8.01,9.01 11/03/11 Kallo Inc. NV 7.01,9.01 11/07/11 Kennedy-Wilson Holdings, Inc. DE 2.02,9.01 11/07/11 Kiwibox.Com, Inc. DE 7.01,9.01 11/07/11 LAWSON PRODUCTS INC/NEW/DE/ DE 2.02,9.01 11/07/11 LENCO MOBILE INC. DE 1.01,3.02,9.01 11/06/11 LGL GROUP INC DE 8.01,9.01 11/03/11 LIBERTY STAR URANIUM & METALS CORP. NV 1.02 10/07/11 Lightlake Therapeutics Inc. NV 4.01,9.01 08/29/11 AMEND LIGHTSTONE VALUE PLUS REAL ESTATE INV MD 8.01,9.01 11/04/11 Lightwave Logic, Inc. NV 5.01,7.01,9.01 11/07/11 Lightyear Network Solutions, Inc. NV 1.01,1.02,2.01,2.03, 11/04/11 3.03,8.01,9.01 LIME ENERGY CO. DE 1.01,2.03,9.01 11/03/11 Limelight Networks, Inc. DE 2.02,9.01 11/07/11 LIN TV CORP. DE 7.01,9.01 11/07/11 LOJACK CORP MA 2.02,9.01 11/07/11 LOUISIANA-PACIFIC CORP DE 2.02,5.02 11/04/11 LSB INDUSTRIES INC DE 2.02,9.01 09/12/11 Lumos Networks Corp. VA 2.02,9.01 11/07/11 Madison Bancorp Inc MD 2.02,9.01 11/04/11 MARKWEST ENERGY PARTNERS L P 1.01,7.01,9.01 11/03/11 MAXYGEN INC DE 2.02,9.01 11/07/11 McCormick & Schmicks Seafood Restaura 2.02,9.01 11/07/11 McCormick & Schmicks Seafood Restaura 1.01 11/01/11 Measurement Specialties Inc NJ 2.02,9.01 11/02/11 MEDCO HEALTH SOLUTIONS INC DE 8.01,9.01 11/07/11 MEDICAL ACTION INDUSTRIES INC DE 5.03,5.05,9.01 11/01/11 MEDICIS PHARMACEUTICAL CORP DE 2.01,9.01 11/01/11 Medytox Solutions, Inc. NV 4.01 11/07/11 MEXICO FUND INC MD 7.01,9.01 10/31/11 MFA FINANCIAL, INC. MD 2.02,7.01 11/07/11 MICROS SYSTEMS INC MD 8.01,9.01 11/07/11 Midwest Energy Emissions Corp. DE 5.02,9.01 11/01/11 MidWestOne Financial Group, Inc. IA 7.01,9.01 11/03/11 AMEND MOMENTA PHARMACEUTICALS INC DE 2.02,9.01 11/07/11 Morgans Hotel Group Co. DE 2.02,9.01 11/07/11 MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 10/25/11 NATIONAL FUEL GAS CO NJ 7.01,9.01 11/07/11 NATIONAL HEALTH INVESTORS INC MD 7.01,9.01 09/30/11 NATIONAL HEALTH INVESTORS INC MD 2.02,9.01 09/30/11 NATIONAL RETAIL PROPERTIES, INC. MD 2.02,9.01 11/07/11 NAUTILUS, INC. WA 2.02,9.01 11/07/11 NAVISTAR INTERNATIONAL CORP DE 1.01,9.01 11/02/11 NCI BUILDING SYSTEMS INC DE 7.01,9.01 11/07/11 NCI BUILDING SYSTEMS INC DE 7.01,9.01 11/07/11 AMEND NCR CORP MD 9.01 08/22/11 AMEND NEWPARK RESOURCES INC DE 7.01,9.01 11/07/11 Nine Mile Software, Inc. NV 2.02,9.01 08/22/11 NISSAN AUTO RECEIVABLES CORP II DE 8.01,9.01 11/04/11 NORTHEAST UTILITIES MA 2.02,7.01,9.01 11/04/11 NORTHWESTERN CORP DE 7.01,9.01 11/07/11 NPC INTERNATIONAL INC KS 5.01,7.01,9.01 11/07/11 NPC INTERNATIONAL INC KS 2.02,9.01 11/07/11 NPS PHARMACEUTICALS INC DE 8.01,9.01 11/07/11 NTELOS HOLDINGS CORP 2.02,9.01 11/07/11 Nuance Communications, Inc. DE 1.01,5.02 11/01/11 NUTRITION 21 INC NY 1.01,1.03,8.01,9.01 11/01/11 Oasis Petroleum Inc. DE 2.02,9.01 11/07/11 OCTAGON 88 RESOURCES, INC. NV 4.01,9.01 08/19/11 OFFICEMAX INC DE 5.02 11/04/11 ONE LIBERTY PROPERTIES INC MD 2.02,7.01,9.01 11/07/11 P&F INDUSTRIES INC DE 1.01,1.02 11/01/11 Patient Safety Technologies, Inc DE 1.01,9.01 10/14/11 PDF SOLUTIONS INC DE 5.02 11/02/11 PEABODY ENERGY CORP DE 7.01,8.01,9.01 11/07/11 Peoples Federal Bancshares, Inc. MD 2.02,9.01 11/07/11 PERKINELMER INC MA 2.01,8.01,9.01 11/07/11 PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC 7.01,9.01 11/07/11 PHARMACYCLICS INC DE 7.01,9.01 11/07/11 PHARMACYCLICS INC DE 2.02,9.01 11/07/11 PIONEER NATURAL RESOURCES CO DE 7.01 11/07/11 Platinum Studios, Inc. CA 5.03 10/24/11 Portage Resources Inc. NV 8.01 11/04/11 POWERVERDE, INC. NV 1.01,5.02,9.01 11/01/11 POWRTEC CORP DE 1.02 11/02/11 PPL Corp 7.01,9.01 11/02/11 PREFERRED APARTMENT COMMUNITIES INC MD 5.02 11/01/11 PREFERRED APARTMENT COMMUNITIES INC MD 2.02,9.01 11/07/11 PREFORMED LINE PRODUCTS CO OH 2.02,9.01 11/07/11 PRESIDENTIAL LIFE CORP DE 2.02 09/30/11 PROCERA NETWORKS INC NV 2.02,9.01 11/07/11 pSivida Corp. DE 2.02,9.01 11/07/11 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 11/04/11 Pzena Investment Management, Inc. DE 8.01,9.01 10/31/11 QSGI INC. DE 8.01 11/04/11 QUANTRX BIOMEDICAL CORP NV 4.01 11/01/11 QUESTCOR PHARMACEUTICALS INC CA 7.01,9.01 11/07/11 QUICKSILVER RESOURCES INC DE 2.02,9.01 11/07/11 QUINSTREET, INC DE 2.02,9.01 11/07/11 RACKSPACE HOSTING, INC. 2.02,9.01 11/07/11 RADIENT PHARMACEUTICALS Corp DE 5.07,7.01,9.01 11/07/11 Radius Health, Inc. DE 1.01,2.01,3.02,4.01, 05/17/11 AMEND 5.01,5.02,5.06,9.01 RCM TECHNOLOGIES INC NV 2.02,9.01 11/07/11 REGENCY CENTERS CORP FL 2.02,9.01 11/04/11 AMEND REPROS THERAPEUTICS INC. DE 8.01,9.01 11/07/11 Resolute Energy Corp DE 2.02,9.01 11/07/11 Resource Real Estate Opportunity REIT MD 7.01 11/01/11 REVA Medical, Inc. DE 7.01,9.01 11/07/11 REXNORD LLC DE 5.02,9.01 11/07/11 Rosetta Resources Inc. DE 2.02,9.01 11/07/11 RUDDICK CORP NC 2.02,9.01 11/03/11 S1 CORP /DE/ DE 7.01,9.01 11/07/11 S1 CORP /DE/ DE 2.02,9.01 11/07/11 SAGE FUND LP MD 3.02 11/01/11 Sagent Pharmaceuticals, Inc. DE 2.02,9.01 11/07/11 SANDRIDGE ENERGY INC DE 8.01,9.01 11/07/11 SANTARUS INC DE 2.02,9.01 11/07/11 Searchlight Minerals Corp. NV 8.01 11/04/11 SemGroup Corp DE 5.02 11/04/11 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 2.02,9.01 11/07/11 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 7.01,9.01 11/07/11 Shire plc 8.01,9.01 11/07/11 SILGAN HOLDINGS INC DE 8.01,9.01 11/07/11 SLM CORP DE 8.01,9.01 11/07/11 Smart Kids Group Inc. FL 1.01,9.01 11/04/11 SMITHFIELD FOODS INC VA 2.02,9.01 11/07/11 SNYDER'S-LANCE, INC. NC 2.02,9.01 11/03/11 SOLAZYME INC DE 2.02,9.01 11/07/11 Solo International, Inc NV 5.03,8.01,9.01 10/13/11 SONOCO PRODUCTS CO SC 2.03 11/07/11 SOUTHERN MISSOURI BANCORP INC MO 8.01,9.01 11/07/11 SOUTHWEST AIRLINES CO TX 7.01,9.01 10/31/11 SOUTHWEST GAS CORP CA 2.02 11/07/11 SP Bancorp, Inc. MD 2.02,9.01 11/07/11 SPAR GROUP INC DE 2.02,8.01,9.01 11/02/11 SPRINT NEXTEL CORP KS 8.01 11/04/11 SRI SURGICAL EXPRESS INC FL 2.02,9.01 11/07/11 SS&C Technologies Holdings Inc DE 2.02,9.01 11/07/11 SS&C TECHNOLOGIES INC DE 2.02,9.01 11/07/11 STAGE STORES INC NV 8.01,9.01 11/03/11 STATE INVESTORS BANCORP, INC. 2.02,9.01 11/04/11 STEINER LEISURE Ltd C5 2.01,2.03,9.01 11/01/11 Stereotaxis, Inc. DE 2.02,9.01 11/07/11 STERLING FINANCIAL CORP /WA/ WA 8.01,9.01 11/06/11 SUN HYDRAULICS CORP FL 2.02,9.01 11/07/11 SUNPOWER CORP DE 2.02,9.01 11/03/11 SUNRISE SENIOR LIVING INC DE 2.02,9.01 11/07/11 Sunstone Hotel Investors, Inc. MD 1.02,5.02,9.01 11/04/11 Sunstone Hotel Investors, Inc. MD 2.02,9.01 11/07/11 SURMODICS INC MN 1.01,7.01,9.01 11/01/11 SYKES ENTERPRISES INC FL 2.02,9.01 11/07/11 SYNTHESIS ENERGY SYSTEMS INC DE 8.01 11/07/11 SYSCO CORP DE 2.02,9.01 11/07/11 SYSCO CORP DE 7.01,9.01 11/07/11 Targa Resources Corp. DE 2.02,9.01 11/07/11 Targa Resources Partners LP DE 2.02,9.01 11/07/11 TEJON RANCH CO DE 2.02,9.01 11/07/11 TEKELEC CA 2.02,9.01 11/07/11 TEKELEC CA 1.01,8.01,9.01 11/07/11 TELKONET INC UT 9.01 11/07/11 TENET HEALTHCARE CORP NV 8.01,9.01 11/04/11 TESORO LOGISTICS LP DE 2.02,9.01 11/07/11 TF FINANCIAL CORP DE 1.01,9.01 11/04/11 TIBCO SOFTWARE INC DE 5.02 11/04/11 TIDEWATER INC DE 7.01,9.01 11/02/11 TODA INTERNATIONAL HOLDINGS INC. E9 1.01,2.01,3.02,4.01, 03/15/11 AMEND 5.01,5.02,5.06,9.01 TOMI Environmental Solutions, Inc. FL 5.03,9.01 10/24/11 Tower Group, Inc. DE 2.02,9.01 11/07/11 Towers Watson & Co. DE 2.02,9.01 11/07/11 TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 11/06/11 TRANSCEND SERVICES INC DE 2.02,9.01 11/07/11 TRANSUNION CORP. 2.02,9.01 11/07/11 TRAVELCENTERS OF AMERICA LLC 2.02,9.01 11/07/11 Tree.com, Inc. DE 1.01,2.03 11/01/11 TRX INC/GA GA 1.01,2.01,9.01 11/03/11 tw telecom inc. DE 2.02,9.01 11/07/11 tw telecom inc. DE 4.02 11/05/11 U S GLOBAL INVESTORS INC TX 2.02,9.01 11/03/11 UNICO AMERICAN CORP NV 2.02 09/30/11 US ENERGY CORP WY 2.02,9.01 11/07/11 VALIDIAN CORP NV 8.01,9.01 11/04/11 VARIAN SEMICONDUCTOR EQUIPMENT ASSOCI DE 8.01 11/07/11 Verso Paper Corp. DE 2.02,9.01 11/07/11 VIASAT INC DE 2.02,9.01 11/07/11 VIDEO DISPLAY CORP GA 7.01,9.01 11/07/11 VIROPHARMA INC DE 8.01 11/07/11 VISION SCIENCES INC /DE/ DE 2.02,9.01 11/07/11 VIVUS INC CA 2.02,9.01 11/07/11 VWR Funding, Inc. DE 1.01,2.03,7.01,9.01 11/04/11 Walter Energy, Inc. DE 5.05,9.01 11/07/11 WASHINGTON REAL ESTATE INVESTMENT TRU MD 2.01,9.01 09/02/11 AMEND WebMD Health Corp. DE 5.03,9.01 11/02/11 AMEND Whitestone REIT TX 2.02,7.01,9.01 11/07/11 Whitestone REIT Operating Partnership DE 2.02,7.01,9.01 11/07/11 WINDSTREAM CORP DE 8.01,9.01 11/07/11 Woodward, Inc. DE 2.02,8.01,9.01 11/07/11 XPO Logistics, Inc. DE 2.02,5.02,9.01 10/13/11 YORK WATER CO PA 2.02,9.01 11/07/11 ZIONS BANCORPORATION /UT/ UT 9.01 11/07/11
http://www.sec.gov/news/digest/2011/dig110811.htm
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