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Commission AnnouncementsCommission MeetingsClosed Meeting on Tuesday, November 29, 2011, at 5:00 p.m.The subject matter of the Closed Meeting to be held on Tuesday, November 29, 2011, will be: matter relating to enforcement proceedings. Closed Meeting on Thursday, December 1, 2011, at 2:00 p.m.The subject matter of the Closed Meeting to be held on Thursday, December 1, 2011, will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; adjudicatory matters; and other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. Enforcement ProceedingsCommission Charges Myron Weiner with Unregistered Sales of Spongetech Delivery Systems, Inc. StockThe Commission filed a civil injunctive action against Myron Weiner, relating to his unregistered sale of shares of Spongetech Delivery Systems, Inc. (“Spongetech”) in 2009. In its complaint, the Commission alleges that Weiner purchased the shares from a Spongetech affiliate at a discounted price of 5 cents, and then sold the shares into the public market less than three months later for 20 cents, for a profit of $1,215,057. The Commission’s complaint alleges that Weiner’s sales were not registered with the Commission, and no exemption from the registration requirements of the federal securities laws applied. The Commission’s complaint seeks a final judgment: (1) enjoining Weiner from violating Section 5 of the Securities Act of 1933 (registration provisions); (2) requiring the payment of disgorgement of $1,215,057, plus prejudgment interest of $80,135; (3) requiring payment of a civil penalty of $50,000; and (5) barring Weiner for one year from participating in the offering of any penny stock. The U.S. Attorney’s Office for the Eastern District of New York filed a related forfeiture action. The Commission wishes to thank the U.S. Attorney’s Office, the Federal Bureau of Investigation and the Internal Revenue Service for their assistance in connection with this matter. [SEC v. Weiner, Civil Action No. 1:11-CV-5731, EDNY filed Nov. 22, 2011] (LR-22168) Commission Settles Insider Trading Case Involving the Securities of Genesis Energy, LPOn November 23, 2011, the Securities and Exchange Commission charged former professional baseball player Jeffrey S. Richardson with insider trading in securities of Genesis Energy, LP ahead of an April 26, 2007 announcement that Genesis would acquire several energy related businesses owned by the Davison family of Ruston, Louisiana. The Commission also alleges that Richardson tipped two family members and one friend who traded in Genesis Energy securities. Richardson has agreed to settle the matter. According to the Commission’s complaint filed in U.S. District Court for the Southern District of New York, Richardson, who lives in Grand Island, Nebraska, received confidential information about the acquisition from a person knowledgeable about the negotiations between Genesis and the Davison family. In breach of a duty of trust and confidence he owed the source of the information, Richardson purchased units of Genesis on six separate dates between February 26 and April 25, 2007 based on the information he received regarding the acquisition. During this time, Richardson also illegally tipped two family members and one friend, who traded on the confidential information. Together, Richardson, his family members and the friend made profits of $88,026 from their illegal trading. Without admitting or denying the complaint’s allegations, Richardson has agreed to settle the Commission’s charges by consenting to entry of a final judgment permanently enjoining him from violating Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 10b-5 thereunder, and ordering him to pay $88,026 in disgorgement with $21,534 in prejudgment interest, and a civil penalty of $88,026. The settlements are subject to final approval by the court. [SEC v. Jeffrey S. Richardson, Civil Action No. 11-CIV-8556(SAS), United States District Court for the Southern District of New York] (LR-22169) SELF-REGULATORY ORGANIZATIONSProposed Rule Change The Options Clearing Corporation (OCC) filed amendments to proposed rule change (File No. SR-OCC-2011-13) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to relative performance indexes. Publication is expected in the Federal Register during the week of November 27th. (Rel. 34-65807) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the New York Stock Exchange LLC (SR-NYSE-2011-57) to amend NYSE Rule 80C to exclude all rights and warrants from the single stock circuit breaker under the Rule 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 November 27th. (Rel. 34-65810) A proposed rule change filed by NYSE Amex LLC (SR-NYSEAmex-2011-88) to amend NYSE Amex Equities Rule 80C to exclude all rights and warrants from the single stock circuit breaker under the Rule 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 November 27th. (Rel. 34-65811) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2011-87) to amend NYSE Arca Equities Rule 7.11 to exclude all rights and warrants from the single stock circuit breaker under the Rule 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 November 27th. (Rel. 34-65812). A proposed rule change filed by the NASDAQ OMX PHLX LLC (SR-Phlx-2011-158) to exclude all rights and warrants from the pilot rule for trading pauses due to extraordinary market volatility 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 November 27th. (Rel. 34-65813) A proposed rule change filed by the NASDAQ Stock Market LLC (SR-NASDAQ-2011-154) to exclude all rights and warrants from the pilot rule for trading pauses due to extraordinary market volatility 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 November 27th. (Rel. 34-65814) A proposed rule change filed by the NASDAQ OMX BX, Inc. (SR-BX-2011-079) to exclude all rights and warrants from the pilot rule for trading pauses due to extraordinary market volatility 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 November 27th. (Rel. 34-65815) A proposed rule change filed by BATS Exchange, Inc. (SR-BATS-2011-048) to modify Exchange Rule 11.18 relating to trading pauses due to extraordinary market volatility 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 November 27th. (Rel. 34-65816) A proposed rule change filed by BATS Y-Exchange, Inc. (SR-BYX-2011-029) to modify Exchange Rule 11.18 relating to trading pauses due to extraordinary market volatility 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 November 27th. (Rel. 34-65817) A proposed rule change filed by the Chicago Stock Exchange, Incorporated (SR-CHX-2011-32) to exclude rights and warrants from the individual securities circuit breaker rule 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 November 27th. (Rel. 34-65818) A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. (SR-FINRA-2011-068) to amend FINRA Rule 6121.01 (Trading Pauses) to exclude rights and warrants from the trading pause pilot 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 November 27th. (Rel. 34-65819) A proposed rule change filed by International Securities Exchange, LLC (SR-ISE-2011-79) to amend ISE Rule 2102(f) to exclude from the pilot rule all rights and warrants 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 November 27th. (Rel. 34-65820) A proposed rule change filed by National Stock Exchange, Inc (SR-NSX-2011-13) to exclude all rights and warrants from the definition of “Circuit Breaker Securities” and providing the appropriate provisions for an early scheduled close 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 November 27th. (Rel. 34-65821) A proposed rule change filed by EDGA Exchange, Inc. (SR-EDGA-2011-38) to amend EDGA Rule 11.14 to exclude from the pilot rule all rights and warrants 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 November 27th. (Rel. 34-65822) A proposed rule change filed by EDGX Exchange, Inc. (SR-EDGX-2011-36) to amend EDGX Rule 11.14 to exclude from the pilot rule all rights and warrants 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 November 27th. (Rel. 34-65823) A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-111) related to the individual stock trading pause pilot program 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 November 27th. (Rel. 34-65824) A proposed rule change filed by the C2 Options Exchange, Incorporated (SR-C2-2011-036) related to the individual stock trading pause pilot program 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 November 27th. (Rel. 34-65825) A proposed rule change filed by EDGA Exchange, Inc., to amend EDGA Rule 11.9 (SR-EDGA-2011-37) 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 November 27th. (Rel. 34-65826) A proposed rule change filed by EDGX Exchange, Inc, to amend EDGX Rule 11.9 (SR-EDGX-2011-35) 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 November 27th. (Rel. 34-65827) 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-3ASR TOLL BROTHERS INC, 250 GIBRALTAR ROAD, HORSHAM, PA, 19044, 2159388000 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-178130 - Nov. 23)
(BR. 06A)
S-8 Angie's List, Inc., 1030 EAST WASHINGTON STREET, SUITE 100,
INDIANAPOLIS, IN, 46202, 317-803-3973 - 0 ($42,124,352.80) Equity,
(File 333-178131 - Nov. 23) (BR. 11C)
S-1 Bankrate, Inc., 11760 U.S. HIGHWAY ONE, SUITE 200, NORTH PALM BEACH,
FL, 33408, (561) 630-2400 - 0 ($232,443,750.00) Equity,
(File 333-178132 - Nov. 23) (BR. 02)
S-3ASR PUBLIC SERVICE ELECTRIC & GAS CO, CORPORATE ACCOUNTING SERVICES,
80 PARK PLAZA, 9TH FLOOR, NEWARK, NJ, 07102-4194, 973-430-7000 -
0 ($0.00) Debt, 0 ($0.00) Equity, (File 333-178133 - Nov. 23) (BR. 02B)
S-3 SEQUENOM INC, 3595 JOHN HOPKINS CT, SAN DIEGO, CA, 92121, 8582029000 -
0 ($150,000,001.00) Unallocated (Universal) Shelf, (File 333-178134 -
Nov. 23) (BR. 10C)
S-3ASR WELLS FARGO & CO/MN, 420 MONTGOMERY STREET, SAN FRANCISCO, CA, 94163,
6126671234 - 0 ($1.00) Other, (File 333-178135 - Nov. 23) (BR. 12A)
S-8 RGC RESOURCES INC, 519 KIMBALLAVENUE N.E., ROANOKE, VA, 24016,
5407774427 - 100,000 ($1,819,000.00) Equity, (File 333-178136 -
Nov. 23) (BR. 02B)
S-3ASR PUBLIC SERVICE ENTERPRISE GROUP INC, CORPORATE ACCOUNTING SERVICES,
80 PARK PLAZA, 9TH FLOOR, NEWARK, NJ, 07102-4194, 973-430-7000 -
0 ($0.00) Debt, 2,513,578 ($82,118,593.00) Equity, (File 333-178143 -
Nov. 23) (BR. 02B)
N-2 Blackstone Alternative Alpha Fund, 345 PARK AVENUE, 16TH FLOOR,
NEW YORK, NY, 10154, 212-583-5000 - 0 ($500,000,000.00) Equity,
(File 333-178146 - Nov. 23) (BR. )
S-1 ExactTarget, Inc., 20 NORTH MERIDIAN STREET, INDIANAPOLIS, IN, 46204,
317-423-3928 - 0 ($100,000,000.00) Equity, (File 333-178147 - Nov. 23)
(BR. 03B)
S-3ASR JOHNSON CONTROLS INC, 5757 N GREEN BAY AVENUE, P O BOX 591, MILWAUKEE,
WI, 53201, 4145241200 - 2,713,224 ($80,799,810.72) Equity,
(File 333-178148 - Nov. 23) (BR. 06A)
S-3ASR LOWES COMPANIES INC, 1000 LOWE'S BLVD., MOORESVILLE, NC, 28117,
7047581000 - 0 ($1.00) Equity, (File 333-178150 - Nov. 23) (BR. 06B)
S-1 GOLDRICH MINING CO, 2607 SOUTHEAST BLVD, SUITE B211, SPOKANE, WA,
99223, 509-535-7367 - 5,000,000 ($5,000,000.00) Equity,
(File 333-178151 - Nov. 23) (BR. 09A)
S-3ASR MCCORMICK & CO INC, 18 LOVETON CIRCLE, P O BOX 6000, SPARKS, MD, 21152,
4107717301 - 0 ($23,830,000.00) Equity, (File 333-178152 - Nov. 23)
(BR. 04B)
S-8 Thwapr, Inc., 220 12TH AVENUE, 3RD FLOOR, NEW YORK, NY, 10001,
212-268-0220 - 35,930,656 ($4,670,985.00) Equity, (File 333-178153 -
Nov. 23) (BR. 02B)
S-8 INTERMOLECULAR INC, 3011 NORTH FIRST STREET, SAN JOSE, CA, 95134,
(408) 582-5700 - 0 ($61,749,608.00) Equity, (File 333-178154 - Nov. 23)
(BR. 10B)
S-8 MOLEX INC, 2222 WELLINGTON CT, LISLE, IL, 60532, 6309694550 -
0 ($176,085,000.00) Equity, (File 333-178155 - Nov. 23) (BR. 10B)
S-1 XR Energy Inc., 373 SMITHTOWN BYPASS, SUITE 198, HAUPPAUGE, NY, 11764,
631-913-1973 - 2,818,800 ($704,700.00) Equity, (File 333-178156 -
Nov. 23) (BR. )
S-8 CELL THERAPEUTICS INC, 501 ELLIOTT AVE W, STE 400, SEATTLE, WA, 98119,
2062827100 - 0 ($15,260,000.00) Equity, (File 333-178158 - Nov. 23)
(BR. 01A)
S-8 SCHULMAN A INC, 3550 W MARKET ST, AKRON, OH, 44333, 3306663751 -
500,000 ($10,030,000.00) Equity, (File 333-178159 - Nov. 23) (BR. 06B)
S-3 BUCKEYE PARTNERS, L.P., ONE GREENWAY PLAZA, SUITE 600, HOUSTON, TX,
77046, 8326158600 - 0 ($1,000,000,000.00) Equity, (File 333-178160 -
Nov. 23) (BR. 04B)
F-3ASR CELESTICA INC, 844 DON MILLS ROAD, TORONTO, A6, MC3 1V7, 416-448-5800 -
0 ($1.00) Other, (File 333-178161 - Nov. 23) (BR. 03A)
S-3 ARRAY BIOPHARMA INC, 3200 WALNUT STREET, BOULDER, CO, 80301,
3033816600 - 0 ($150,000,000.00) Other, (File 333-178162 - Nov. 23)
(BR. 01A)
S-1 NeuroMetrix, Inc., 62 FOURTH AVENUE, WALTHAM, MA, 02451,
(781) 890-9989 - 0 ($15,750,000.00) Equity, (File 333-178165 - Nov. 23)
(BR. 10B)
F-3 TOWER SEMICONDUCTOR LTD, RAMAT GAVRIEL INDUSTRIAL PARK, PO BOX 619,
MIGDAL HAEMEK, L3, 23105, 97246506611 -
19,678,322 ($13,282,867.00) Equity, (File 333-178166 - Nov. 23)
(BR. 10C)
S-8 TOWER SEMICONDUCTOR LTD, RAMAT GAVRIEL INDUSTRIAL PARK, PO BOX 619,
MIGDAL HAEMEK, L3, 23105, 97246506611 - 800,000 ($577,275.00) Equity,
(File 333-178167 - Nov. 23) (BR. 10C)
S-8 ARRAY BIOPHARMA INC, 3200 WALNUT STREET, BOULDER, CO, 80301,
3033816600 - 0 ($13,655,926.00) Equity, (File 333-178168 - Nov. 23)
(BR. 01A)
S-3ASR QUALITY SYSTEMS, INC, 18111 VON KARMAN AVENUE, SUITE 700, IRVINE, CA,
92612, 949-255-2600 - 0 ($0.00) Other, (File 333-178169 - Nov. 23)
(BR. 03B)
S-3ASR UNIVERSAL CORP /VA/, 9201 FOREST HILL AVENUE, STONY POINT II BUILDING,
RICHMOND, VA, 23235, 8043599311 - 0 ($0.00) Equity, (File 333-178170 -
Nov. 23) (BR. 05A)
S-3 Golden State Water CO, 630 E FOOTHILL BLVD, SAN DIMAS, CA, 91773-9016,
9093943600 - 0 ($100,000,000.00) Debt, (File 333-178171 - Nov. 23)
(BR. 02A)
S-1 Advaxis, Inc., TECHNOLOGY CENTRE OF NEW JERSEY, 675 ROUTE 1,
NORTH BRUNSWICK, NJ, 08902, 732 545 1590 -
24,130,782 ($3,498,963.40) Equity, (File 333-178172 - Nov. 23) (BR. 01A)
S-3ASR LOCKHEED MARTIN CORP, 6801 ROCKLEDGE DR, BETHESDA, MD, 20817,
3018976000 - 0 ($1.00) Equity, (File 333-178173 - Nov. 23) (BR. 05C)
S-3ASR NATIONAL FUEL GAS CO, 6363 MAIN STREET, WILLIAMSVILLE, NY, 14221-5887,
716-857-7000 - 0 ($1.00) Equity, (File 333-178174 - Nov. 23) (BR. 02B)
S-3ASR WALT DISNEY CO/, 500 SOUTH BUENA VISTA ST, BURBANK, CA, 91521,
8185601000 - 0 ($300,644,118.00) Equity, (File 333-178175 - Nov. 23)
(BR. 05C)
S-3 Legend Oil & Gas, Ltd., 1420 5TH AVE STE 2200, SEATTLE, WA, 98101,
206-274-5165 - 0 ($9,810,783.00) Equity, (File 333-178176 - Nov. 23)
(BR. 04A)
S-1 Acadia Healthcare Company, Inc., 725 COOL SPRINGS BOULEVARD, SUITE 600,
FRANKLIN, TN, 37067, 615-732-6259 - 0 ($87,831,247.00) Equity,
(File 333-178179 - Nov. 23) (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 22nd Century Group, Inc. NV 1.01,9.01 11/22/11 A.C. Moore Arts & Crafts, Inc. PA 1.01,2.03,3.01,3.03, 11/18/11 5.01,5.02,5.03,9.01 ACCURAY INC DE 5.02,5.07,9.01 11/17/11 AcuNetx, Inc. NV 5.02 11/17/11 ADA-ES INC CO 7.01,8.01,9.01 11/23/11 ADARNA ENERGY Corp 8.01 11/23/11 Addus HomeCare Corp DE 1.01,5.02,7.01,9.01 11/17/11 AeroGrow International, Inc. NV 4.01,9.01 11/17/11 AEROPOSTALE INC 5.02,9.01 11/21/11 AgFeed Industries, Inc. NV 3.01,9.01 11/17/11 Aircastle LTD D0 7.01,9.01 11/23/11 AMERICAN REALTY CAPITAL NEW YORK RECO MD 2.01,2.03,8.01,9.01 11/15/11 American Realty Capital Properties, I MD 2.01,9.01 11/23/11 American Realty Capital Trust III, In MD 1.01,2.01,9.01 11/18/11 American Renal Associates Holdings, I DE 3.02 11/23/11 American Standard Energy Corp. DE 8.01,9.01 11/22/11 AMERIPRISE FINANCIAL INC DE 1.01,1.02,2.03,9.01 11/22/11 AMP Holding Inc. NV 1.01,3.02,9.01 05/10/11 AMEND AmREIT Monthly Income & Growth Fund I 1.01,2.03,9.01 11/18/11 Apple REIT Nine, Inc. VA 8.01 11/16/11 ARCADIA RESOURCES, INC NV 1.01,2.04 11/18/11 ATWOOD OCEANICS INC TX 1.01 11/23/11 AUSTRALIAN CANADIAN OIL ROYALTIES LTD A1 1.01,9.01 11/17/11 AVENTINE RENEWABLE ENERGY HOLDINGS IN DE 5.02,9.01 11/18/11 AVISTA CORP WA 8.01 11/21/11 AXIS CAPITAL HOLDINGS LTD 1.01,9.01 11/21/11 BANK OF KENTUCKY FINANCIAL CORP KY 8.01,9.01 11/23/11 Bank of New York Mellon CORP DE 8.01,9.01 11/23/11 BENIHANA INC DE 5.07 11/23/11 BOB EVANS FARMS INC DE 5.03,9.01 11/18/11 BOK FINANCIAL CORP ET AL OK 8.01 11/23/11 BOLT TECHNOLOGY CORP CT 5.02,5.07,8.01,9.01 11/22/11 BOSTON SCIENTIFIC CORP DE 8.01,9.01 11/22/11 BRADY CORP WI 2.02,5.07,8.01,9.01 11/17/11 BROADVIEW NETWORKS HOLDINGS INC DE 8.01,9.01 11/23/11 Bunge LTD 1.01,1.02,2.03,9.01 11/17/11 Cardinal Ethanol LLC IN 1.01 11/22/11 CENTRAL VIRGINIA BANKSHARES INC VA 3.01 11/22/11 CF Industries Holdings, Inc. DE 8.01 11/22/11 CHARTER FINANCIAL CORP/GA 2.01,9.01 09/09/11 AMEND CHICOS FAS INC FL 2.02,9.01 11/22/11 China Forest Energy Corp. NV 1.02,5.07 11/18/11 CHINA VALVES TECHNOLOGY, INC NV 4.01,9.01 11/23/11 AMEND CHS INC MN 1.01,8.01,9.01 11/23/11 COLLECTIVE BRANDS, INC. DE 5.02,9.01 11/22/11 COMCAST CORP PA 5.02,5.03,9.01 11/20/11 COMMERCIAL METALS CO DE 5.02 11/18/11 Crescent Financial Bancshares, Inc. 1.01,3.02,5.01,5.02, 11/18/11 8.01,9.01 CROSS BORDER RESOURCES, INC. NV 1.01,9.01 11/22/11 DARA BioSciences, Inc. DE 3.01 11/17/11 DEERE & CO DE 2.02,7.01,8.01,9.01 11/23/11 DEERE JOHN CAPITAL CORP DE 2.02,7.01,8.01,9.01 11/23/11 DELTATHREE INC DE 5.02 11/14/11 DENALI CONCRETE MANAGEMENT INC NV 1.01,2.01,3.02,5.01, 11/21/11 5.02,5.06,9.01 Destination Maternity Corp DE 2.02,5.02,9.01 11/17/11 DEXCOM INC 7.01 11/21/11 Dialogic Inc. DE 5.02,9.01 11/21/11 Diamond Ranch Foods, Ltd., NEW NV 2.01,3.02,5.01,5.02, 11/23/11 5.03,9.01 Diversified Restaurant Holdings, Inc. NV 1.01,9.01 11/17/11 DONALDSON CO INC DE 5.02,7.01,9.01 11/22/11 Duke Energy CORP DE 8.01,9.01 11/22/11 DYCOM INDUSTRIES INC FL 2.02,7.01,9.01 11/22/11 DYCOM INDUSTRIES INC FL 5.07 11/22/11 EARTHSTONE ENERGY INC DE 5.03,9.01 11/22/11 EDUtoons, Inc. DE 2.01,3.02,5.01,5.02, 11/08/11 AMEND 9.01 Embassy Bancorp, Inc. PA 5.02,9.01 11/21/11 EMERSON ELECTRIC CO MO 7.01 11/23/11 EMTEC INC/NJ UT 5.02 11/22/11 ENERGY FOCUS, INC/DE DE 3.01 11/17/11 ENVIRO VORAXIAL TECHNOLOGY INC ID 3.02,5.02,9.01 11/22/11 ENZON PHARMACEUTICALS INC DE 5.02,9.01 10/13/11 AMEND EQUITY ONE, INC. 2.02,7.01,9.01 11/23/11 Eternal Image Inc 1.01,9.01 11/18/11 EVERGREEN ENERGY INC DE 8.01,9.01 11/22/11 EXCO RESOURCES INC TX 5.02 11/17/11 Federal Home Loan Bank of Pittsburgh PA 5.02,5.07,7.01,9.01 11/18/11 Federal Home Loan Bank of Seattle 5.02,9.01 11/17/11 FEDERAL HOME LOAN MORTGAGE CORP 7.01,9.01 11/23/11 FedFirst Financial Corp 8.01,9.01 11/23/11 FERRELLGAS PARTNERS L P DE 7.01 11/23/11 FIFTH THIRD BANCORP OH 8.01,9.01 11/22/11 FINDEX COM INC NV 3.02 11/17/11 FIRST COMMUNITY BANCSHARES INC /NV/ NV 8.01 11/23/11 FIRST MERCHANTS CORP IN 8.01 11/23/11 FLUSHING FINANCIAL CORP DE 8.01,9.01 11/23/11 FLUSHING FINANCIAL CORP DE 7.01,9.01 11/23/11 FMC TECHNOLOGIES INC DE 5.07 05/06/11 AMEND FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 11/22/11 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 11/23/11 Game Trading Technologies, Inc. DE 8.01 11/22/11 Game Trading Technologies, Inc. DE 5.02,9.01 11/21/11 GAMETECH INTERNATIONAL INC DE 8.01 11/18/11 GENCORP INC OH 8.01 11/21/11 GENERAL AUTOMOTIVE CO 1.01,2.01,9.01 10/01/11 GeNOsys, Inc. UT 5.02 11/02/11 GEOGLOBAL RESOURCES INC. DE 1.01,5.03,8.01,9.01 11/19/11 GEOPETRO RESOURCES CO CA 5.02,8.01 11/21/11 GERON CORP DE 8.01 11/23/11 GLATFELTER P H CO PA 1.01,2.03,2.04,8.01, 11/21/11 9.01 GLEACHER & COMPANY, INC. DE 7.01,9.01 11/22/11 GLOBAL NUTECH, INC. 5.02 11/18/11 GLOBAL PARTNERS LP 1.01,3.02,9.01 11/21/11 GOLDEN GRAIN ENERGY IA 2.02,8.01,9.01 11/23/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 11/18/11 GreenHunter Energy, Inc. DE 3.01,9.01 11/18/11 Grid Petroleum Corp. NV 1.01,9.01 11/21/11 GRYPHON GOLD CORP NV 7.01,9.01 11/22/11 Guaranty Bancorp DE 5.02,9.01 11/18/11 HEALTHSTREAM INC TN 8.01,9.01 11/23/11 Hines Global REIT, Inc. MD 1.01 11/17/11 ICEWEB INC DE 1.01,2.03,3.02,7.01, 11/23/11 8.01,9.01 IDACORP INC ID 8.01 11/23/11 INFORMATICA CORP DE 1.01 11/17/11 ISECURETRAC CORP DE 1.01,2.03,5.03 11/17/11 IZEA Holdings, Inc. NV 5.03,5.07,8.01,9.01 11/17/11 JINHAO MOTOR Co NV 4.01 11/23/11 KIRKLAND'S, INC 2.02,9.01 11/18/11 KITE REALTY GROUP TRUST MD 2.03 11/18/11 KMG CHEMICALS INC TX 2.03,9.01 11/23/11 Kodiak Oil & Gas Corp B0 1.01,2.03,8.01,9.01 11/18/11 KONA GRILL INC DE 5.02,8.01 11/17/11 LAKES ENTERTAINMENT INC MN 2.04 11/17/11 LBI MEDIA HOLDINGS INC 2.02,9.01 11/18/11 Legend Oil & Gas, Ltd. CO 2.01,3.02,5.02,8.01, 10/20/11 AMEND 9.01 LIBERTY STAR URANIUM & METALS CORP. NV 5.02,7.01,9.01 11/17/11 LIFE PARTNERS HOLDINGS INC TX 8.01,9.01 11/23/11 LINKEDIN CORP DE 7.01 11/23/11 LOWES COMPANIES INC NC 9.01 11/16/11 LUCAS ENERGY, INC. NV 1.01,9.01 11/18/11 Manhattan Bancorp CA 1.01,8.01,9.01 11/21/11 MARKETING WORLDWIDE CORP DE 5.02 11/14/11 MAYS J W INC NY 5.07 11/23/11 MEDICIS PHARMACEUTICAL CORP DE 1.01,7.01,9.01 11/18/11 Medley Capital Corp DE 5.02,9.01 11/21/11 METLIFE INC DE 5.02,7.01,9.01 11/17/11 Midas Medici Group Holdings, Inc. 4.02 11/18/11 MILAGRO OIL & GAS, INC. DE 2.01,9.01 11/23/11 MISSION COMMUNITY BANCORP CA 5.02 11/17/11 MONEYGRAM INTERNATIONAL INC 5.02,9.01 11/17/11 MONEYGRAM INTERNATIONAL INC 2.03,8.01,9.01 11/23/11 MusclePharm Corp NV 5.03,9.01 11/17/11 MY Group, Inc. NV 4.01,9.01 11/22/11 NANOMETRICS INC DE 1.01,2.01,9.01 11/21/11 NEW JERSEY RESOURCES CORP NJ 2.02,9.01 11/23/11 NEW YORK MORTGAGE TRUST INC MD 5.02,9.01 11/22/11 NEWS CORP 8.01,9.01 11/23/11 NORTH SPRINGS RESOURCES CORP. NV 1.01,2.03,3.02,9.01 11/22/11 NORTHEAST BANCORP /ME/ ME 5.07 11/18/11 Novelis Inc. A6 8.01,9.01 11/17/11 NUTRITION 21 INC NY 1.03,2.01,5.03,7.01, 11/18/11 9.01 OCEANEERING INTERNATIONAL INC DE 7.01 11/23/11 Och-Ziff Capital Management Group LLC DE 9.01 11/23/11 OLD DOMINION ELECTRIC COOPERATIVE VA 1.01,2.03 11/21/11 OLYMPIC STEEL INC OH 1.01,9.01 11/23/11 OMNI VENTURES INC KS 5.02 11/23/11 ONCOR ELECTRIC DELIVERY CO LLC DE 2.03,9.01 11/23/11 ONEOK INC /NEW/ OK 7.01,9.01 11/23/11 ONEOK Partners LP DE 7.01,9.01 11/23/11 ORASURE TECHNOLOGIES INC DE 1.01,9.01 11/18/11 PALADIN REALTY INCOME PROPERTIES INC MD 8.01 11/22/11 PARKVALE FINANCIAL CORP PA 3.01,9.01 11/22/11 PATTERSON COMPANIES, INC. MN 2.02,9.01 11/22/11 PLANAR SYSTEMS INC OR 1.01,9.01 11/17/11 PMI GROUP INC DE 1.03,2.04,8.01,9.01 11/23/11 POWER SOLUTIONS INTERNATIONAL, INC. DE 5.02 11/21/11 POZEN INC /NC 1.01 11/23/11 PRIVATEBANCORP, INC DE 7.01,9.01 11/23/11 PROTECTIVE LIFE CORP DE 1.01,2.03 11/21/11 PROTECTIVE LIFE INSURANCE CO TN 1.01,2.03 11/21/11 PROVIDENT NEW YORK BANCORP DE 5.02 11/22/11 PRUDENTIAL BANCORP INC OF PENNSYLVANI 2.02,9.01 11/23/11 PUMA BIOTECHNOLOGY, INC. DE 1.01,3.02,9.01 11/18/11 QR Energy, LP DE 9.01 10/03/11 AMEND QUALITY SYSTEMS, INC CA 8.01,9.01 11/23/11 QUICK-MED TECHNOLOGIES INC 1.01 11/21/11 Radius Health, Inc. DE 2.03,3.02,9.01 11/18/11 Ranger Gold Corp. 8.01,9.01 11/18/11 Recon Technology, Ltd E9 3.01,9.01 11/17/11 Redpoint Bio CORP 5.02 11/18/11 RESPONSYS INC CA 1.01 11/18/11 REVA Medical, Inc. DE 1.01,5.02,9.01 11/21/11 ROBERTSON GLOBAL HEALTH SOLUTIONS COR NV 1.01,2.03,9.01 11/17/11 ROTATE BLACK INC NV 8.01 11/23/11 Rotoblock CORP NV 1.01,2.01,5.01,8.01, 05/10/11 AMEND 9.01 Secure Netwerks, Inc. UT 5.03,9.01 11/17/11 SemGroup Corp DE 5.02,9.01 11/18/11 SGB International Holdings Inc. A1 2.01,3.02,5.01,5.02, 05/11/11 AMEND 5.03,5.06,9.01 Shire plc 8.01,9.01 11/21/11 Sino-Global Shipping America, Ltd. VA 8.01,9.01 11/22/11 Skinny Nutritional Corp. NV 2.02,9.01 11/23/11 SM Energy Co DE 7.01,9.01 11/22/11 SMALL BUSINESS CO DE 8.01 09/30/11 Solo Cup CO DE 5.02,5.07 11/22/11 Solo International, Inc NV 1.01,2.03,3.02,9.01 11/22/11 SOUTHERN MISSOURI BANCORP INC MO 8.01,9.01 11/22/11 STAGE STORES INC NV 8.01,9.01 11/23/11 STARRETT L S CO MA 2.01,9.01 11/23/11 STARTEK INC DE 5.02 11/17/11 Stevia First Corp. 7.01 11/23/11 STW RESOURCES HOLDING CORP. NV 1.01,3.02,9.01 11/21/11 SunCoke Energy, Inc. 8.01 11/18/11 SYMS CORP NJ 8.01,9.01 11/22/11 TAPIMMUNE INC NV 1.01,3.02,9.01 11/23/11 TAYLOR CAPITAL GROUP INC DE 8.01,9.01 11/23/11 TD AMERITRADE HOLDING CORP DE 5.02 11/18/11 TEAMSTAFF INC NJ 8.01,9.01 11/23/11 TEMPLE INLAND INC DE 8.01 11/18/11 TENGION INC DE 5.02,9.01 11/14/11 Tennessee Commerce Bancorp, Inc. TN 1.01,9.01 11/16/11 TESSERA TECHNOLOGIES INC DE 8.01,9.01 11/23/11 Texas Rare Earth Resources Corp. NV 2.02,7.01,9.01 11/17/11 TherapeuticsMD, Inc. UT 1.01,3.02,9.01 11/18/11 TIANYIN PHARMACEUTICAL CO., INC. DE 8.01 11/22/11 TIDEWATER INC DE 8.01,9.01 11/22/11 TK Star Design, Inc. NV 8.01 11/15/11 TRANSACT TECHNOLOGIES INC DE 1.01 11/22/11 TRANSATLANTIC HOLDINGS INC DE 5.02,9.01 11/20/11 Transocean Ltd. V8 5.02,9.01 11/23/11 TRC COMPANIES INC /DE/ DE 5.02,5.07 11/17/11 TRI VALLEY CORP 1.01,2.02,5.02,9.01 11/18/11 TUESDAY MORNING CORP/DE DE 1.01,2.03,9.01 11/17/11 UNION PACIFIC CORP UT 7.01 11/23/11 United Community Bancorp X1 5.07 11/22/11 UNITED RENTALS INC /DE DE 7.01,9.01 11/23/11 UNITED SECURITY BANCSHARES CA 4.02 11/22/11 AMEND UNITED STATES STEEL CORP DE 8.01,9.01 11/23/11 UNIVEST CORP OF PENNSYLVANIA PA 8.01,9.01 11/23/11 V F CORP PA 9.01 09/13/11 AMEND VALIDUS HOLDINGS LTD 1.01,2.03,9.01 11/18/11 VERISIGN INC/CA DE 8.01 11/22/11 VIAD CORP DE 8.01,9.01 11/22/11 Volkswagen Auto Lease Trust 2011-A DE 8.01,9.01 11/22/11 VR Holdings, Inc. DE 1.01,9.01 11/23/11 WASHINGTON REAL ESTATE INVESTMENT TRU MD 2.01,9.01 09/13/11 AMEND WELLS CORE OFFICE INCOME REIT INC 8.01 11/21/11 Wells Timberland REIT, Inc. MD 8.01 11/21/11 WESTERGAARD COM INC DE 1.01,3.02,9.01 10/24/11 WESTERN ALLIANCE BANCORPORATION NV 8.01 11/23/11 WESTFIELD FINANCIAL INC MA 8.01 11/22/11 Willbros Group, Inc.\NEW\ 5.02,9.01 11/17/11 Willdan Group, Inc. DE 8.01 11/22/11 WILLIAMS CONTROLS INC DE 3.01,9.01 11/23/11 WILLIS GROUP HOLDINGS PLC L2 7.01,9.01 11/23/11 Winthrop Realty Trust OH 1.01,8.01,9.01 11/18/11 Wolverine Exploration Inc. NV 3.02,9.01 01/04/11 WORLDWIDE STRATEGIES INC NV 5.02 11/21/11 YUM BRANDS INC NC 5.02 11/18/11
http://www.sec.gov/news/digest/2011/dig112511.htm
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