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SEC News Digest
Issue 2011-244
December 20, 2011
Commission announcements
SEC Charges California Company, CO-CEOs, and Attorney in Series of Fraudulent Schemes Pumping Company Stock
Securities and Exchange Commission today charged a purported heart monitoring device company and six individuals involved in a series of fraudulent schemes to artificially inflate the company’s stock. Among those charged are a former pro football player, a Hollywood talent agent, and an attorney who masterminded the schemes.
The SEC alleges that Heart Tronics installed former pro football player Willie Gault as a figurehead co-CEO along with former Hollywood executive J. Rowland Perkins in order to generate publicity for the company and foster investor confidence. Meanwhile behind the scenes, California-based attorney Mitchell J. Stein was controlling most of the company’s business activities, hiring promoters to tout Heart Tronics stock on the Internet, and reaping nearly $8 million from secret trades that he orchestrated unbeknownst to investors.
According to the SEC’s complaint filed in federal court in Los Angeles, Gault and Perkins rarely questioned Stein’s fraudulent agenda and abdicated their fiduciary responsibilities under the Sarbanes-Oxley Act. Stein and Gault together defrauded one investor into making a substantial investment in Heart Tronics based on false representations that his money would fund the company’s operations. Instead, Stein and Gault diverted the investor’s proceeds for personal use, including the purchase of Heart Tronics stock in Gault’s personal brokerage account “Catch 83” to create the false appearance of volume and investor demand for the stock.
“Stein took advantage of Gault’s celebrity to further prop up the image of Heart Tronics as a successful enterprise,” said Stephen L. Cohen, Associate Director in the SEC’s Division of Enforcement. “Stein secretly sold millions of dollars in stock while peddling false claims of Heart Tronics’s lucrative sales orders, and has been living the high life off his illicit proceeds with multiple homes, exotic cars, and private jets.”
In addition to Heart Tronics, Stein, Gault and Perkins, the SEC charged three other individuals involved in the scheme, including Stein’s chauffer and handyman Martin B. Carter of Boca Raton, Fla., who carried out the fraud with him. The SEC also charged stock promoter Ryan A. Rauch of San Clemente, Calif., as well as Mark C. Nevdahl of Spokane, Wash., who was the trustee and stockbroker for a number of nominee accounts that Stein used to unlawfully sell Heart Tronics stock.
In a parallel criminal investigation, the U.S. Department of Justice today announced the arrest of Stein.
According to the SEC’s complaint, Heart Tronics was known as “Signalife” during most of the scheme’s time period from December 2005 to December 2008. Heart Tronics common stock was formerly listed on the American Stock Exchange but is now quoted on the OTC Link under the symbol HRTT.PK.
The SEC alleges that Heart Tronics fraudulently and repeatedly announced millions of dollars in sales orders for its product between 2006 and 2008 when, in fact, the company never had viable sales orders from actual customers. Stein and Carter fabricated numerous documents to support the false disclosures to the public, going so far as to have Carter make a one-day round-trip to Japan at Stein’s direction to mail back a letter from a fictitious customer in order to deceive management, disclosure counsel, and auditors. They also arranged to ship products to one of Carter’s friends to create the illusion that the company was delivering a heart monitoring device to a bona fide customer. Stein also profited by causing Heart Tronics to unlawfully pay Carter approximately $2 million in cash and Heart Tronics stock in a sham consulting agreement, and Carter paid nearly all of the proceeds back to Stein in the form of a kickback.
The SEC alleges that Stein hired Rauch to solicit numerous investment advisers, retail and institutional brokers, and other investors to buy Heart Tronics stock. Rauch failed to disclose that he was being paid by Heart Tronics in exchange for promoting company stock to investors. While Stein was orchestrating his campaign of misinformation and other schemes designed to inflate Heart Tronics’ stock price, his wife as the company’s majority shareholder directed the sale of more than $5.8 million worth of Heart Tronics stock while failing to disclose the sales as required under federal securities laws.
According to the SEC’s complaint, Stein enlisted Nevdahl to act as trustee for a number of purportedly blind trusts to create the façade that the shares were under the control of an independent trustee. The trusts were blind in name only, and Nevdahl met Stein and his wife’s regular demands for cash by continually selling Heart Tronics stock though the trusts.
The SEC’s complaint charges the defendants with various violations of the federal securities laws and seeks disgorgement of ill-gotten gains with prejudgment interest financial penalties and permanent injunctive relief. The SEC seeks permanent officer-and-director bars and penny stock bars against Stein, Gault, and Perkins as well as a permanent penny stock bar against Carter and Rauch. The SEC’s complaint also seeks the return of ill-gotten gains from nine relief defendants including Stein’s wife Tracey Hampton-Stein and her company ARC Finance Group LLC, which is the majority shareholder of Heart Tronics.
The SEC’s investigation was conducted by Adam Eisner and Rachel Nonaka under the supervision of Charles Cain. The SEC’s litigation will be headed by Mark Lanpher. The SEC acknowledges the assistance of the U.S. Department of Justice’s Fraud Section and the U.S. Postal Inspection Service. (Press Rel. 2011-271)
Enforcement Proceedings
In the Matter of Peter Brooks
On December 20, 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 Peter Brooks, a resident of California, based on the entry of a permanent injunction against him in the civil action entitled Securities and Exchange Commission v. Delta Onshore Management, LLC, et al., Civil Action No. 08-1278 MLB in the United States District Court for the District of Kansas, Wichita Division.
In the Order, the Commission finds that, on December 6, 2011, an agreed permanent injunction was entered against Brooks, permanently enjoining him from future violations of Sections 5(a) and 5(c) of the Securities Act of 1933 and Section 15(a)(1) of the Securities Exchange Act of 1934. The Commission further finds in the Order that the Commission filed a Complaint against Brooks, alleging that from early February 2008 through approximately August 2008, he participated in an unregistered securities offering in which approximately $2.8 million was raised from investors from the sale of interests in a purported oil-and-gas equipment leasing joint venture. According to the Complaint, Brooks, along with two other defendants, supervised two sales offices which offered and sold interests in the venture on a commission basis.
Based on the above, the Order bars Brooks from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent; the Order also bars Brooks from participating in any offering of a penny stock. In consenting to the entry of the Order, Brooks admitted the Order’s finding as to the entry of the injunction against him and its findings that the Commission has jurisdiction over him and over the matters set forth in the Order; Brooks did not, however, admit any of the other findings in the Order. (Rel. 34-66009; File No. 3-14673)
Commission Remands Kent M. Houston's Application For Review of FINRA Disciplinary Action
The Commission has remanded FINRA disciplinary action that was challenged in an application for review filed by Kent M. Houston, formerly a registered representative. FINRA found that Houston engaged in outside business activities without providing his member firm with written notice, and failed to appear for an on-the-record interview sought pursuant to Conduct Rule 8210. FINRA assessed but did not impose sanctions for Houston's failure to notify his firm of his outside business activities, in light of its decision to bar Houston from association with any member firm in any capacity for the failure to appear.
The Commission sustained FINRA's findings of violation, but remanded the matter to FINRA to redetermine the sanction imposed. The Commission found that FINRA's decision to bar Houston was based on a conclusion that Houston failed to respond in any manner to FINRA's Rule 8210 request. The Commission found that, because Houston had previously responded in part to written Rule 8210 requests, he had not failed to respond in any manner. (Rel. 34-66014; File No. 3 14175)
SEC Files Settled FCPA Charges Against AON Corporation
The Securities and Exchange Commission today filed a settled enforcement action in the U.S. District Court for the District of Columbia against Aon Corporation (Aon), an Illinois-based global provider of risk management services, insurance and reinsurance brokerage, alleging violations of the books and records and internal controls provisions of the Foreign Corrupt Practices Act (FCPA).
The Commission’s complaint alleges that Aon’s subsidiaries made over $3.6 million in improper payments to various parties between 1983 and 2007 as a means of obtaining or retaining insurance business in those countries. The complaint alleges that some of the improper payments were made directly or indirectly to foreign government officials who could award business directly to Aon subsidiaries, who were in position to influence others who could award business to Aon subsidiaries, or who could otherwise provide favorable business treatment for the company’s interests. The complaint alleges that these payments were not accurately reflected in Aon’s books and records, and that Aon failed to maintain an adequate internal control system reasonably designed to detect and prevent the improper payments.
Without admitting or denying the allegations in the Commission’s complaint, Aon consented to the entry of a final judgment permanently enjoining it from future violations of Sections 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and ordering the company to pay disgorgement of $11,416,814 in profits, together with prejudgment interest thereon of $3,128,206, for a total of $14,545,020. Aon’s proposed settlement offer has been submitted to the court for its consideration. In a related criminal proceeding, DOJ announced today that Aon has entered into a non-prosecution agreement under which the company will pay a $1.764 million criminal fine for the misconduct. Aon cooperated with the Commission’s and DOJ’s investigations and implemented remedial measures during the course of the investigations. [SEC v. Aon Corporation, Civil Action No. 1:11-cv-02256 (D.D.C.)] ( LR-22203; AAE Rel. 3348)
Investment advisers act releases
Cancellation of Investment Adviser Registration
A notice has been issued giving interested persons until January 13, 2012, to request a hearing on the cancellation of the investment adviser registration of Royal Oak Capital Management, LLC. The order would cancel the registration because Royal Oak Capital Management, LLC is prohibited from registering as an investment adviser under section 203A of the Investment Advisers Act of 1940.
For further information contact: Parisa Haghshenas, at 202-551-6787, Office of Investment Adviser Regulation. (Rel. IA-3340)
Self-Regulatory Organizations
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NYSE Amex LLC to adopt the text of Financial Industry Regulatory Authority Rule 5210, which prohibits the publication of manipulative or deceptive quotations or transactions, as NYSE Amex Equities Rule 5210 (SR-NYSEAMEX-2011-93) 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 December 19. (Rel. 34-65953)
A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-118) relating to the Penny 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 December 19. (Rel. 34-65967)
A proposed rule change filed by International Securities Exchange, LLC (SR-ISE-2011-83) to extend the Penny 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 December 19. (Rel. 34-65968)
A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2011-169) relating to extension of the Penny Pilot program and replacement of Penny Pilot issues that have been delisted 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 December 19. (Rel. 34-65969)
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2011-172) relating to extension of the Penny Pilot program and replacement of Penny Pilot issues that have been delisted 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 December 19. (Rel. 34-65976)
A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2011-93) amending Commentary .02 to NYSE Arca Options Rule 6.72 in order to extend the Penny Pilot in options classes in certain issues through June 30, 2012 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 December 19. (Rel. 34-65977)
A proposed rule change filed by NYSE Amex LLC (SR-NYSEAmex-2011-98) amending Commentary .02 to NYSE Amex Options Rule 960NY in order to extend the Penny Pilot in options classes in certain issues through June 30, 2012 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 December 19. (Rel. 34-65978)
A proposed rule change filed by NASDAQ OMX BX, Inc. to amend the BOX fee schedule with respect to the delisting of the Russell 2000 Index options (RUT) (SR-BX-2011-85) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of1934. Publication is expected in the Federal Register during the week of December 19. (Rel. 34-65989)
The Options Clearing Corporation (OCC) filed a proposed rule change (File No. SR-OCC-2011-17) under Section 19(b)(3)(A)(iii) of the Securities Exchange Act of 1934, which the proposed rule change became effective upon filing, that clarifies OCC’s By-Laws relating to the timing of OCC’s acceptance or “novation” of exchange transactions. Publication is expected in the Federal Register during the week of December 19. (Rel. 34-65990)
The Depository Trust Company filed a proposed rule change (SR-DTC-2011-11), which proposed rule change became effective upon filing with the Commission, pursuant to Section 19(b)(1) of the Securities Exchange Act and Rule 19b-4 thereunder to update DTC’s Custody Service Guide in order to streamline the document and to mitigate certain risks associated with custody processes. Publication is expected in the Federal Register during the week of December 19. (Rel. 34-65993)
The Depository Trust Company filed a proposed rule change (SR-DTC-2011-12), which became effective upon filing, pursuant to Section 19(b)(1) of the Securities Exchange Act and Rule 19b-4 thereunder to update DTC’s Deposits Service Guide in order to streamline the document and to mitigate certain risks associated with certain deposit processes. Publication is expected in the Federal Register during the week of December 19. (Rel. 34-65994)
A proposed rule change filed by the New York Stock Exchange LLC extending the bond trading license and the Bond Liquidity Provider Pilot Program until the earlier of the approval of the Securities and Exchange Commission to make such Pilot permanent or January 19, 2013 (SR-NYSE-2011-63) 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 December 19. (Rel. 34-65995)
A proposed rule change filed by the NASDAQ OMX PHLX LLC (SR-Phlx-2011-155) relating to fees for Certain Stock Execution Clerks and the Trading Floor Personnel Registration Fee 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 December 19. (Rel. 34-66004)
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2011-174) relating to strategy executions and the monthly cap 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 December 19. (Rel. 34-66005)
Approval of Proposed Rule Changes
The Commission approved a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2011-74), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to include any market participant that requests to receive co-location services directly from the Exchange, and to amend its Fee Schedule to establish a fee for Users that host their customers at the Exchange’s data center. Publication is expected in the Federal Register during the week of December 19. (Rel. 34-65970)
The Commission approved a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2011-75), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to include any market participant that requests to receive co-location services directly from the Exchange, and to amend its Fee Schedule to establish a fee for Users that host their customers at the Exchange’s data center. Publication is expected in the Federal Register during the week of December 19. (Rel. 34-65971)
The Commission approved a proposed rule change submitted by New York Stock Exchange LLC (SR-NYSE-2011-53), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to include any market participant that requests to receive co-location services directly from the Exchange, and to amend its Price List to establish a fee for Users that host their customers at the Exchange’s data center. Publication is expected in the Federal Register during the week of December 19. (Rel. 34-65973)
The Commission approved a proposed rule change submitted by NYSE Amex LLC (SR-NYSEAmex-2011-81), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to include any market participant that requests to receive co-location services directly from the Exchange, and to amend its Price List to establish a fee for Users that host their customers at the Exchange’s data center. Publication is expected in the Federal Register during the week of December 19. (Rel. 34-65974)
The Commission approved a proposed rule change submitted by NYSE Amex LLC (SR-NYSEAmex-2011-82), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to include any market participant that requests to receive co-location services directly from the Exchange, and to amend its Fee Schedule to establish a fee for Users that host their customers at the Exchange’s data center. Publication is expected in the Federal Register during the week of December 19. (Rel. 34-65975)
The Commission approved a proposed rule change filed by C2 Options Exchange, Incorporated (SR-C2-2011-031), under Section 19(b)(2) of the Securities Exchange Act of 1934, concerning industry directors and the nomination of representative directors. Publication is expected in the Federal Register during the week of December 19. (Rel. 34-65979)
The Commission approved a proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-099), under Section 19(b)(2) of the Securities Exchange Act of 1934, concerning industry directors and the nomination of representative directors. Publication is expected in the Federal Register during the week of December 19. (Rel. 34-65980)
The Commission has approved a proposed rule change (SR-ICC-2011-03) filed by ICE Clear Credit LLC (ICC) 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 December 19. (Rel. 34-66001)
Proposed Rule Changes
NASDAQ OMX PHLX LLC filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 of the Securities Exchange Act of 1934 (SR-Phlx-2011-175) regarding strike price intervals for SLV and USO Options. Publication is expected in the Federal Register during the week of December 19. (Rel. 34-65986)
NASDAQ OMX BX, Inc. filed a proposed rule change (SR-BX-2011-084) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend the BOX Trading Rules to reduce the PIP from one second to 100 milliseconds. Publication is expected in the Federal Register during the week of December 19. (Rel. 34-65987)
NYSE Arca, Inc. filed a proposed rule change (SR-NYSEArca-2011-95) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade shares of the PIMCO Total Return Exchange Traded Fund under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of December 19. (Rel. 34-65988)
NYSE Arca, Inc. filed a proposed rule change (SR-NYSEArca-2011-94) under Section 19(b)(1) of the Securities Exchange Act of 1934 to list and trade shares of the ProShares Managed Futures Strategy Fund, ProShares Commodity Managed Futures Strategy Fund, and ProShares Financial Managed Futures Strategy Fund pursuant to NYSE Arca Equities Rule 8.200. Publication is expected in the Federal Register during the week of December 19. (Rel. 34-66002)
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan For the Allocation of Regulatory Responsibilities Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules
The Commission noticed, approved, and declared effective a proposed plan for the allocation of regulatory responsibilities relating to the surveillance, investigation, and enforcement of insider trading rules pursuant to Rule 17d-2 under the Securities Exchange Act of 1934 (File No. 4-566). Publication is expected in the Federal Register during the week of December 19. (Rel. 34-65991)
Accelerated Approval of Proposed Rule Change
The Commission granted accelerated approval to a proposed rule change, as modified by Amendment No. 1 thereto, by the Municipal Securities Rulemaking Board (MSRB) pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, consisting of amendments to Rule G-16, on periodic compliance examination, and Rule G-9, on preservation of records (SR-MSRB-2011-19). Publication is expected in the Federal Register during the week of December 19. (Rel. 34-65992)
Designation of Longer Period For Commission Action on Proposed Rule Changes
The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on proposed rule changes (SR-NYSE-2011-55; SR-NYSEAmex-2011-84) filed by the New York Stock Exchange LLC and NYSE Amex LLC adopting new NYSE Rule 107C to establish a Retail Liquidity Program on a pilot basis to attract additional retail order flow to the Exchange for NYSE-listed Securities and new NYSE Amex Equities Rule 107C to establish a Retail Liquidity Program on a pilot basis to attract additional retail order flow to the Exchange for NYSE Amex Equities traded securities, respectively. Publication is expected in the Federal Register during the week of December 19. (Rel. 34-66003)
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-3 ARROWHEAD RESEARCH CORP, 201 SOUTH LAKE AVENUE, SUITE 703, PASADENA,
CA, 91101, 626-304-3400 - 0 ($14,340,000.00) Equity, (File 333-178532 -
Dec. 16) (BR. 01B)
S-8 China Digital TV Holding Co., Ltd.,
JINGMENG HIGH-TECH BUILDING B, 4TH FLOOR, NO.5 SHANGDI EAST ROAD,
BEIJING, F4, 100085, (86) 10-6297-1199 -
3,600,000 ($24,840,000.00) Equity, (File 333-178533 - Dec. 16) (BR. 03A)
S-8 ShangPharma Corp, NO. 5 BUILDING, 998 HALEI ROAD,
ZHANGJIANG HI-TECH PARK PUDONG NEW AREA, SHANGHAI, F4, 201203,
(86-21) 5132-0088 - 0 ($3,483,466.82) ADRs/ADSs, (File 333-178534 -
Dec. 16) (BR. 01B)
S-8 BIOSTEM U.S. CORP, 1266 TURNER STREET, CLEARWATER, FL, 33756,
267- 295-7814 - 1,250,000 ($100,000.00) Equity, (File 333-178535 -
Dec. 16) (BR. 11A)
S-3ASR ENBRIDGE ENERGY PARTNERS LP, 21 W SUPERIOR ST STE 400,
LAKE SUPERIOR PLACE, DULUTH, MN, 55802-2067, 2187250100 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-178536 - Dec. 16)
(BR. 04B)
S-8 UBS AG, BAHNHOFSTRASSE 45, P O BOX CH 8001, ZURICH, V8, CH 8001,
203-719-5241 - 0 ($245,900,000.00) Equity, (File 333-178539 - Dec. 16)
(BR. 12A)
S-8 UBS AG, BAHNHOFSTRASSE 45, P O BOX CH 8001, ZURICH, V8, CH 8001,
203-719-5241 - 5,000,000 ($61,475,000.00) Equity, (File 333-178540 -
Dec. 16) (BR. 12A)
S-8 UBS AG, BAHNHOFSTRASSE 45, P O BOX CH 8001, ZURICH, V8, CH 8001,
203-719-5241 - 54,000,000 ($663,930,000.00) Equity, (File 333-178541 -
Dec. 16) (BR. 12A)
S-8 PULSE ELECTRONICS CORP, 1210 NORTHBROOK DR, SUITE 470, TREVOSE, PA,
19053, 2153552900 - 120,438 ($337,226.40) Equity, (File 333-178542 -
Dec. 16) (BR. 10C)
S-8 UBS AG, BAHNHOFSTRASSE 45, P O BOX CH 8001, ZURICH, V8, CH 8001,
203-719-5241 - 146,000,000 ($1,795,070,000.00) Equity,
(File 333-178543 - Dec. 16) (BR. 12A)
S-8 SIEMENS AKTIENGESELLSCHAFT, WITTELSBACHERPLATZ 2 D-80333 MUNICH,
FEDERAL REPUBLIC OF GERMANY, GERMANY, 2M, 00000, 4908963634840 -
0 ($2,216,726,200.00) Equity, (File 333-178544 - Dec. 16) (BR. 10C)
S-B REPUBLIC OF COLOMBIA, 10 EAST 46TH ST, C/O CONSUL REBUBLIC OF COLOMBIA,
NEW YORK, NY, 10017, 0 ($5,658,813,263.00) Non-Convertible Debt,
(File 333-178546 - Dec. 16) (BR. DN)
S-1 COSKATA, INC., 4575 WEAVER PARKWAY, SUITE 100, WARRENVILLE, IL, 60555,
630-657-5800 - 0 ($100,000,000.00) Equity, (File 333-178547 - Dec. 16)
(BR. )
N-2 HMS INCOME FUND, INC., 2800 POST OAK BOULEVARD, SUITE 5000, HOUSTON,
TX, 77056-6118, 8882206121 - 0 ($1,500,000,000.00) Equity,
(File 333-178548 - Dec. 16) (BR. 17)
S-8 KROGER CO, 1014 VINE ST, CINCINNATI, OH, 45201, 5137624000 -
0 ($475,000,000.00) Equity, (File 333-178549 - Dec. 16) (BR. 02B)
S-3ASR MARKEL CORP, 4521 HIGHWOODS PARKWAY, GLEN ALLEN, VA, 23060-3382,
8047470136 - 0 ($0.00) Other, (File 333-178556 - Dec. 16) (BR. 01B)
S-3ASR TYCO INTERNATIONAL LTD, FREIER PLATZ 10, SCHAFFHAUSEN, V8, CH-8200,
609-720-4200 - 0 ($0.00) Other, (File 333-178557 - Dec. 16) (BR. 11A)
S-3 ALLSTATE LIFE INSURANCE CO, 3100 SANDERS ROAD, NORTHBROOK, IL, 60062,
8474025000 - 0 ($1.00) Other, (File 333-178570 - Dec. 16) (BR. 01A)
S-8 Congaree Bancshares Inc, 1201 KNOX ABBOTT DRIVE, CAYCE, SC, 29033,
803-794-2265 - 0 ($396,999.00) Equity, (File 333-178571 - Dec. 16)
(BR. 07C)
S-8 ADVANCE AUTO PARTS INC, 5673 AIRPORT RD, ROANOKE, VA, 24012,
5405613225 - 5,000,000 ($336,450,000.00) Equity, (File 333-178572 -
Dec. 16) (BR. 02A)
S-8 Regency Energy Partners LP, 2001 BRYAN STREET, SUITE 3700, DALLAS, TX,
75201, 214-750-1771 - 0 ($69,660,000.00) Limited Partnership Interests,
(File 333-178573 - Dec. 16) (BR. 04B)
S-4 Calumet Specialty Products Partners, L.P., 2780 WATERFRONT,
PARKWAY E. DRIVE, SUITE 200, INDIANAPOLIS, IN, 46214, 317-328-5660 -
0 ($400,000,000.00) Non-Convertible Debt, (File 333-178574 - Dec. 16)
(BR. 04B)
S-3 OHIO VALLEY BANC CORP, 420 THIRD AVE, GALLIPOLIS, OH, 45631,
7404462631 - 1,000,000 ($18,510,000.00) Equity, (File 333-178575 -
Dec. 16) (BR. 07A)
S-3ASR ALLIANT ENERGY CORP, 4902 NORTH BILTMORE LANE, SUITE 1000, MADISON, WI,
53718-2148, 608-458-3311 - 0 ($700,000,000.00) Other,
(File 333-178577 - Dec. 16) (BR. 02B)
S-1 INVIVO THERAPEUTICS HOLDINGS CORP., ONE BROADWAY, 14TH FLOOR,
CAMBRIDGE, MA, 02142, (617) 475-1520 - 0 ($10,000,000.00) Equity,
(File 333-178584 - Dec. 16) (BR. 10B)
S-8 Home Federal Bancorp, Inc., 500 12TH AVENUE SOUTH, NAMPA, ID, 83653,
(208) 466-4634 - 781,841 ($7,834,046.82) Equity, (File 333-178585 -
Dec. 16) (BR. 07A)
S-1 Whiting USA Trust II, 919 CONGRESS AVENUE, SUITE 500, AUSTIN, TX,
78701, 512-236-6599 - 0 ($385,000,000.00) Other, (File 333-178586 -
Dec. 16) (BR. )
S-8 HARBINGER GROUP INC., 450 PARK AVENUE, 27TH FLOOR, NEW YORK, NY, 10022,
347 840 8677 - 17,000,000 ($74,205,000.00) Equity, (File 333-178587 -
Dec. 16) (BR. 10B)
F-10 NOVAGOLD RESOURCES INC, SUITE 2300, 200 GRANVILLE STREET, VANCOUVER,
A1, V6C 1S4, 604-669-6227 -
0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-178588 -
Dec. 16) (BR. 09A)
S-4 Calumet Specialty Products Partners, L.P., 2780 WATERFRONT,
PARKWAY E. DRIVE, SUITE 200, INDIANAPOLIS, IN, 46214, 317-328-5660 -
0 ($200,000,000.00) Non-Convertible Debt, (File 333-178589 - Dec. 16)
(BR. 04B)
S-8 PATHFINDER BANCORP INC, 214 W FIRST ST, OSWEGO, DE, 13126, 3153430057 -
150,000 ($1,375,000.00) Equity, (File 333-178590 - Dec. 16) (BR. 07A)
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
1.01
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Entry into a Material Definitive Agreement
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1.02
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Termination of a Material Definitive Agreement
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1.03
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Bankruptcy or Receivership
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2.01
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Completion of Acquisition or Disposition of Assets
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2.02
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Results of Operations and Financial Condition
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2.03
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Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
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2.04
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Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
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2.05
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Cost Associated with Exit or Disposal Activities
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2.06
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Material Impairments
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3.01
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Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
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3.02
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Unregistered Sales of Equity Securities
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3.03
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Material Modifications to Rights of Security Holders
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4.01
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Changes in Registrant's Certifying Accountant
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4.02
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Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
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5.01
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Changes in Control of Registrant
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5.02
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer
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5.03
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Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
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5.04
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Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
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5.05
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Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
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5.06
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Change in Shell Company Status
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6.01
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ABS Informational and Computational Material.
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6.02
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Change of Servicer or Trustee.
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6.03
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Change in Credit Enhancement or Other External Support.
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6.04
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Failure to Make a Required Distribution.
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6.05
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Securities Act Updating Disclosure.
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7.01
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Regulation FD Disclosure
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8.01
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Other Events
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9.01
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Financial Statements and Exhibits
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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 United Bancorp, Inc. FL 2.01,9.01 10/21/11 AMEND
22nd Century Group, Inc. NV 1.01,2.03,3.02,9.01 12/14/11
AAR CORP DE 2.02,9.01 12/15/11
ACHILLION PHARMACEUTICALS INC DE 5.02 12/12/11
ACURA PHARMACEUTICALS, INC NY 5.02 12/15/11
Advaxis, Inc. DE 8.01,9.01 12/16/11
AETRIUM INC MN 3.01 12/15/11
AFH ACQUISITION V, INC. DE 3.02,5.02,8.01 12/14/11
ALL GRADE MINING, INC. CO 1.01 12/16/11
ALTERRA CAPITAL HOLDINGS Ltd 1.01,1.02,9.01 12/12/11
American Capital Agency Corp 5.03,8.01,9.01 12/15/11
American Eagle Energy Inc. NV 1.01,9.01 12/14/11
AMERICAN SCIENTIFIC RESOURCES INC NV 5.02,9.01 12/15/11
AMERIGAS PARTNERS LP DE 8.01,9.01 12/15/11
AMGEN INC DE 5.02,9.01 12/15/11
Amincor, Inc. NV 5.02 12/16/11
Anacor Pharmaceuticals Inc DE 8.01,9.01 12/12/11
Anchor Bancorp WA 5.02,5.03,9.01 12/13/11
ANGEION CORP/MN MN 2.02,9.01 12/16/11
Apollo Global Management LLC DE 7.01,9.01 12/16/11
APRICUS BIOSCIENCES, INC. NV 2.01,9.01 12/15/11
AQUENTIUM INC DE 1.01,2.01 12/14/11
Armour Residential REIT, Inc. MD 8.01,9.01 12/16/11
ARUBA NETWORKS, INC. DE 5.02,5.07,9.01 12/15/11
Ascena Retail Group, Inc. DE 8.01,9.01 12/16/11
ASURE SOFTWARE INC DE 9.01 10/01/11 AMEND
AT&T INC. DE 5.02,9.01 12/15/11
Atkore International Holdings Inc. DE 2.02,9.01 12/16/11
AtriCure, Inc. DE 8.01,9.01 12/16/11
AVID TECHNOLOGY, INC. DE 8.01 12/12/11
AVISTA CORP WA 1.01,2.03,9.01 12/14/11
AVON PRODUCTS INC NY 5.02 12/16/11
B2B INTERNET HOLDRSSM TRUST NY 8.01,9.01 12/16/11
BALDWIN TECHNOLOGY CO INC DE 5.02,9.01 12/12/11
BANK OF AMERICA CORP /DE/ DE 3.02 12/15/11
BAY BANKS OF VIRGINIA INC VA 5.02 12/14/11
BEAM INC DE 1.01,1.02,2.03,9.01 12/14/11
BeesFree, Inc. NV 2.01,3.02,5.01,5.02, 12/16/11
5.06,9.01
Behringer Harvard Opportunity REIT II MD 1.01,8.01 12/12/11
BG Medicine, Inc. DE 5.02 12/16/11
BIOTECH HOLDRS TRUST DE 8.01,9.01 12/16/11
BIOTIME INC CA 8.01,9.01 12/16/11
Bitzio, Inc. NV 3.02,9.01 12/14/11
BLACKBAUD INC 5.02,9.01 12/13/11
BLUEGREEN CORP MA 8.01,9.01 12/16/11
BOSTON BEER CO INC MA 5.02,7.01 12/12/11
BOSTON SCIENTIFIC CORP DE 5.02,9.01 12/12/11
BRANDYWINE REALTY TRUST MD 1.01,2.03,8.01,9.01 12/15/11
BROADBAND HOLDRS TRUST 8.01,9.01 12/16/11
BROWN & BROWN INC FL 1.01,7.01 12/15/11
Cal Dive International, Inc. DE 5.02 12/16/11
CARROLS RESTAURANT GROUP, INC. 1.01,2.03,9.01 12/14/11
CASTLE A M & CO MD 7.01,9.01 12/16/11
Catalent Pharma Solutions, Inc. DE 5.02 12/12/11
CATERPILLAR INC DE 8.01 12/16/11
CEC ENTERTAINMENT INC KS 1.01,9.01 12/13/11
CENTENE CORP 7.01,9.01 12/16/11
CENTRAL BANCORP INC /MA/ MA 4.01,9.01 12/15/11
CHANCELLOR GROUP INC. NV 2.01,9.01 12/13/11
CHINA EDUCATION INTERNATIONAL, INC. 7.01,9.01 12/16/11
CHINA GLOBAL MEDIA INC NV 1.01,3.02,5.02,9.01 12/12/11
China Infrastructure Investment CORP NV 5.02 09/21/11
China Rongxin Chemical Holding Group, NV 5.03,5.07,9.01 11/30/11
CHINA SKY ONE MEDICAL, INC. NV 1.01,2.03,9.01 12/13/11
China TransInfo Technology Corp. NV 5.02,5.07,9.01 12/16/11
ChinaNet Online Holdings, Inc. NV 1.01,9.01 12/15/11
CINCINNATI BELL INC OH 5.02 12/16/11
CISCO SYSTEMS, INC. CA 8.01 12/13/11
CLAIBORNE LIZ INC DE 3.02 12/15/11
Clearwire Corp /DE DE 1.01,5.07,8.01,9.01 12/07/11 AMEND
CNB CORP /SC/ SC 8.01,9.01 12/15/11
COMFORT SYSTEMS USA INC 5.02 12/15/11
COMMUNITY BANCORP /VT VT 8.01,9.01 12/13/11
CORE HEALTH CARE NETWORK, INC. 4.01 08/25/11
CoreSite Realty Corp MD 1.01,9.01 12/15/11
CORONADO BIOSCIENCES INC DE 8.01,9.01 12/15/11
Coronus Solar Inc. A1 1.01,7.01,9.01 12/16/11
COVER ALL TECHNOLOGIES INC DE 8.01,9.01 12/16/11
CROGHAN BANCSHARES INC OH 8.01 12/13/11
CUMMINS INC IN 5.02 12/16/11
DARDEN RESTAURANTS INC FL 2.02,9.01 12/16/11
DATALINK CORP MN 9.01 10/03/11 AMEND
Deer Consumer Products, Inc. NV 8.01,9.01 12/16/11
DEFENSE INDUSTRIES INTERNATIONAL INC 5.02 12/12/11
DELTA PETROLEUM CORP/CO CO 1.01,8.01,9.01 12/12/11
DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 12/15/11
Discover Card Execution Note Trust DE 8.01 12/16/11
Discover Financial Services DE 1.02 12/16/11
DNB FINANCIAL CORP /PA/ PA 1.01,5.02,9.01 12/12/11
DOLE FOOD CO INC DE 9.01 10/11/11 AMEND
DONEGAL GROUP INC DE 7.01,9.01 12/16/11
DORAL FINANCIAL CORP PR 3.01,9.01 12/14/11
Double Eagle Holdings, Ltd. NV 5.02,9.01 11/28/11 AMEND
Double Eagle Holdings, Ltd. NV 5.02,9.01 11/28/11 AMEND
DRI CORP NC 3.01,9.01 12/14/11
Duke Energy CORP DE 5.04,8.01,9.01 12/14/11
E-Debit Global Corp. CO 8.01 12/16/11
ECOLOGY COATINGS, INC. NV 3.02 12/15/11
ECOSPHERE TECHNOLOGIES INC DE 7.01,9.01 12/15/11
ECOSPHERE TECHNOLOGIES INC DE 5.02,5.07 12/14/11
EL PASO ELECTRIC CO /TX/ TX 8.01 12/15/11
Ellington Financial LLC DE 5.02,9.01 12/12/11
ENPRO INDUSTRIES, INC NC 5.02 12/16/11
Ensco plc 7.01,9.01 12/15/11
EQUITY RESIDENTIAL MD 8.01 12/14/11
Eternal Energy Corp. 1.01,9.01 12/14/11
Europa Acquisition VII, Inc. NV 5.02 12/13/11
Europa Acquisition VIII, Inc. NV 5.02 12/13/11
EUROPE 2001 HOLDRS TRUST NY 8.01,9.01 12/16/11
Ever-Glory International Group, Inc. FL 5.07 12/15/11
EVERGREEN ENERGY INC DE 7.01,9.01 12/16/11
EXAR CORP DE 5.02 12/13/11
Expedia, Inc. 5.04,9.01 12/15/11
FACTSET RESEARCH SYSTEMS INC DE 5.03,5.07,9.01 12/13/11
Federal Home Loan Bank of Cincinnati X1 5.02 12/16/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 12/16/11
FEDERAL HOME LOAN MORTGAGE CORP 8.01 12/15/11
FEDERAL NATIONAL MORTGAGE ASSOCIATION 8.01 12/16/11
FiberTower CORP DE 3.01,7.01,9.01 12/12/11
FIDELIS ENERGY INC NV 8.01 12/15/11 AMEND
Fifth Season International, Inc. DE 2.01,3.02,5.01,5.02, 12/16/11 AMEND
5.03,5.06,9.01
FIRST COMMUNITY FINANCIAL CORP PA 5.02,9.01 12/13/11
FIRST REAL ESTATE INVESTMENT TRUST OF NJ 2.02,9.01 12/16/11
FLOTEK INDUSTRIES INC/CN/ DE 7.01,9.01 12/15/11
FORCE PROTECTION INC NV 1.01,8.01,9.01 12/12/11
Forex International Trading Corp. NV 1.01,9.01 12/13/11
Fortress Investment Group LLC DE 8.01 12/16/11
FUEL DOCTOR HOLDINGS, INC. DE 5.02 12/08/11
FUEL TECH, INC. DE 5.02 12/14/11
Fuelstream INC DE 1.01,3.02,5.01,5.02 12/14/11
GALLAGHER ARTHUR J & CO DE 8.01,9.01 12/16/11
GARTNER INC DE 5.02 12/15/11
GENCOR INDUSTRIES INC DE 2.02,9.01 12/16/11
GENTA INC DE/ DE 8.01 12/16/11
GETTY REALTY CORP /MD/ MD 1.02 12/12/11
GLOBAL SMART ENERGY, INC. DE 5.02 10/21/11
GOLDMAN SACHS GROUP INC DE 8.01,9.01 12/15/11
GOLDMAN SACHS GROUP INC DE 9.01 12/16/11
Graystone Co DE 1.01,2.03,3.02,4.01, 12/08/11
9.01
GTX INC /DE/ DE 5.02 12/14/11
HCSB FINANCIAL CORP SC 5.02 12/14/11
HEALTHWAYS, INC DE 5.02 12/15/11
HEARTLAND EXPRESS INC NV 5.02 12/14/11
HEICO CORP FL 1.01,2.03,9.01 12/14/11
HELIX BIOMEDIX INC DE 1.01 12/14/11
Hipso Multimedia, Inc. FL 8.01,9.01 12/16/11
Hoku Corp DE 5.02,7.01,9.01 12/12/11
HUDSON CITY BANCORP INC DE 2.01,9.01 12/16/11
ICF International, Inc. DE 1.01,8.01,9.01 12/12/11
IDACORP INC ID 8.01,9.01 12/16/11
INLAND WESTERN RETAIL REAL ESTATE TRU MD 5.02 12/13/11
INSITE VISION INC DE 5.03,9.01 12/14/11
InsPro Technologies Corp DE 5.02,9.01 12/13/11
INTELSAT S.A. N4 8.01,9.01 12/16/11
INTERMUNE INC DE 7.01,9.01 12/15/11
INTERNET ARCHITECTURE HOLDRSSM TRUST NY 8.01,9.01 12/16/11
INTERNET HOLDRS TRUST NY 8.01,9.01 12/16/11
INTERNET INFRASTRUCTURE HOLDRSSM TRUS NY 8.01,9.01 12/16/11
INTERNET MEDIA SERVICES, INC. DE 1.01,2.03,3.02,9.01 12/12/11
IntraLinks Holdings, Inc. DE 5.02,9.01 12/15/11
IPG PHOTONICS CORP DE 8.01 12/16/11
IVANHOE ENERGY INC 5.02,9.01 12/12/11
JAKKS PACIFIC INC DE 8.01,9.01 12/16/11
Kansas City Southern de Mexico, S.A. 1.01,2.03,9.01 12/13/11
KENSEY NASH CORP DE 7.01,9.01 12/16/11
Kraton Performance Polymers, Inc. DE 1.01,5.02,9.01 12/13/11
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 12/16/11
Laredo Petroleum Holdings, Inc. DE 1.01,7.01,9.01 12/14/11
LaSalle Hotel Properties MD 1.01,2.03,7.01,9.01 12/14/11
Latteno Food Corp DE 5.02,9.01 12/12/11
LEE ENTERPRISES, INC DE 1.01,8.01,9.01 12/13/11
LIBERTY SILVER CORP NV 5.03,9.01 12/14/11
LIBERTY STAR URANIUM & METALS CORP. NV 8.01,9.01 12/13/11
LOCAL.COM DE 1.01,9.01 12/12/11
MANNATECH INC TX 5.02,9.01 12/13/11
Marine Drive Mobile Corp. NV 9.01 10/03/11 AMEND
MARKET 2000 PLUS HOLDRS SM TRUST NY 8.01,9.01 12/16/11
MELA SCIENCES, INC. /NY 1.01,8.01,9.01 12/15/11
MICHAEL BAKER CORP PA 9.01 10/03/11 AMEND
MICHAELS STORES INC DE 1.01,9.01 12/15/11
Money Tree, Inc. GA 1.01,9.01 12/14/11
MOTRICITY INC DE 5.07 12/13/11
MPG Office Trust, Inc. MD 1.01,5.02,9.01 12/15/11
N-VIRO INTERNATIONAL CORP DE 1.01,9.01 12/12/11
NACCO INDUSTRIES INC DE 1.01,9.01 12/13/11
NanoTech Entertainment, Inc. NV 4.01,9.01 05/06/11 AMEND
NATIONAL BANCSHARES CORP /OH/ OH 2.02 12/15/11
NATURAL RESOURCE PARTNERS LP DE 5.03,9.01 12/16/11
NAVIGATORS GROUP INC DE 5.02,9.01 12/12/11
NCO Group, Inc. DE 5.02 11/28/11
NEOPHOTONICS CORP DE 9.01 10/12/11 AMEND
NEW YORK MORTGAGE TRUST INC MD 8.01,9.01 12/15/11
NEW YORK MORTGAGE TRUST INC MD 5.02,8.01 12/14/11
NGL Energy Partners LP DE 1.01,7.01,9.01 12/12/11
NGP Capital Resources Co MD 7.01,9.01 12/15/11
NICOR INC IL 2.01,3.01,3.03,4.01, 12/09/11
5.01,5.02,5.03,8.01,
9.01
NICOR INC IL 4.01,9.01 12/09/11 AMEND
Noble Corp / Switzerland V8 5.02,7.01,9.01 12/16/11
NORFOLK SOUTHERN CORP VA 1.01,1.02,2.03,9.01 12/14/11
NORTHERN ILLINOIS GAS CO /IL/ /NEW/ IL 4.01,9.01 12/09/11 AMEND
NORWOOD FINANCIAL CORP PA 8.01,9.01 12/16/11
Nuance Communications, Inc. DE 2.01,9.01 10/06/11 AMEND
Nuance Communications, Inc. DE 2.01,9.01 09/30/11 AMEND
OHIO VALLEY BANC CORP OH 8.01 12/16/11
OIL SERVICE HOLDRS TRUST NY 8.01,9.01 12/16/11
OMEGA PROTEIN CORP NV 5.02,9.01 12/12/11
OMNI VENTURES INC KS 4.01 12/14/11
OMNI VENTURES INC KS 4.01 12/14/11 AMEND
OMNOVA SOLUTIONS INC OH 2.01,9.01 12/12/11
OPEN TEXT CORP A6 5.02,9.01 12/15/11
OPEN TEXT CORP A6 5.07 12/15/11
OPLINK COMMUNICATIONS INC DE 8.01 12/15/11
OPTICAL CABLE CORP VA 8.01,9.01 10/14/11
Pacific Bepure Industry Inc DE 5.02 12/16/11
PARKVALE FINANCIAL CORP PA 5.07,8.01,9.01 12/15/11
PATRIOT NATIONAL BANCORP INC CT 5.07 09/16/11
PCS EDVENTURES COM INC ID 2.03 03/31/11 AMEND
PDL BIOPHARMA, INC. DE 5.02 12/16/11
PENSON WORLDWIDE INC DE 7.01,9.01 12/16/11
PHARMACEUTICAL HOLDRS TRUST 8.01,9.01 12/16/11
Pharmasset Inc 8.01,9.01 12/16/11
PHOTOMEDEX INC DE 1.01,1.02,2.01,3.03, 12/12/11
5.01,5.02,5.07,8.01,
9.01
PMC SIERRA INC DE 5.02,9.01 12/15/11
PPL Corp 8.01,9.01 12/15/11
PPL Corp 8.01,9.01 12/13/11
Princeton Security Technologies, Inc. NJ 8.01,9.01 12/14/11
PROGRESS ENERGY INC NC 5.04,8.01,9.01 12/16/11
PRUDENTIAL FINANCIAL INC NJ 2.03 12/16/11
PUMA BIOTECHNOLOGY, INC. DE 1.01,2.01,3.02,4.01, 10/04/11 AMEND
5.01,5.02,5.03,5.06,
9.01
QCR HOLDINGS INC DE 8.01,9.01 12/16/11
QLIK TECHNOLOGIES INC DE 5.02 12/16/11
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,9.01 12/15/11
RACKSPACE HOSTING, INC. 8.01 12/16/11
RAIT Financial Trust MD 5.02,9.01 12/15/11
RAYTHEON CO/ DE 1.01,1.02,9.01 12/13/11
REALOGY CORP DE 1.01,1.02,2.03 12/16/11
Regency Energy Partners LP DE 1.01,2.03,5.02,5.07, 12/16/11
7.01,9.01
REGIONAL BANK HOLDERS SM TRUST NY 8.01,9.01 12/16/11
RENT A CENTER INC DE 8.01,9.01 12/15/11
RETAIL HOLDRS TRUST NY 8.01,9.01 12/16/11
RoomStore, Inc. VA 1.03,2.03 12/12/11
Rovi Corp DE 1.01,5.02,9.01 12/14/11
RSC Holdings Inc. DE 8.01,9.01 12/16/11
RVUE HOLDINGS, INC. NV 2.03 12/12/11
SELECT MEDICAL HOLDINGS CORP 5.02 12/15/11
SEMICONDUCTOR HOLDRS TRUST NY 8.01,9.01 12/16/11
SGS International, Inc. DE 5.02 12/13/11
SHILOH INDUSTRIES INC DE 5.02 12/15/11
Shire plc 5.02,9.01 12/16/11
SHOE CARNIVAL INC IN 2.02,9.01 12/16/11
Silicon Graphics International Corp DE 8.01 12/16/11
SimplePons, Inc. DE 8.01 12/16/11
Sino American Oil Co NV 9.01 12/15/11
SM Energy Co DE 7.01,9.01 12/16/11
Snap Interactive, Inc DE 3.02,5.02 12/14/11
SOEFL INC. NV 1.01,3.03,5.03,9.01 12/15/11
SOFTWARE HOLDRS TRUST NY 8.01,9.01 12/16/11
SOLERA HOLDINGS, INC DE 8.01 12/14/11
SONOSITE INC 1.01,9.01 12/16/11
SOUTHERN STATES SIGN Co NV 5.02,8.01 12/14/11
SOUTHWEST GAS CORP CA 8.01 12/15/11
SPARTAN MOTORS INC MI 1.01,2.03 12/16/11
STEMCELLS INC DE 8.01,9.01 12/16/11
STEWART ENTERPRISES INC LA 2.02,8.01,9.01 12/14/11
SUNOVIA ENERGY TECHNOLOGIES INC NV 3.02,8.01,9.01 12/06/11
SUNRISE SENIOR LIVING INC DE 1.01,3.03,8.01,9.01 12/16/11
SURREY BANCORP NC 8.01,9.01 12/16/11
Symetra Financial CORP DE 1.01,1.02,2.03,9.01 12/14/11
SYMS CORP NJ 2.01,9.01 06/18/09 AMEND
SYNERGY PHARMACEUTICALS, INC. FL 1.01,9.01 12/15/11
SYNERGY RESOURCES CORP CO 1.01,8.01,9.01 12/16/11
SYNTROLEUM CORP DE 8.01 12/15/11
SYNTROLEUM CORP DE 8.01 12/16/11
TELECOM HOLDRS TRUST NY 8.01,9.01 12/16/11
TELEFLEX INC DE 5.02,9.01 12/15/11
TENET HEALTHCARE CORP NV 5.02,9.01 12/16/11
THORATEC CORP CA 5.02,9.01 12/13/11
TICC Capital Corp. MD 8.01,9.01 12/16/11
Timberline Resources Corp DE 2.02,7.01,9.01 12/16/11
TIMKEN CO OH 8.01,9.01 12/15/11
TN-K ENERGY GROUP INC. DE 7.01,9.01 12/16/11
Transcept Pharmaceuticals Inc DE 5.02 12/13/11
TRI VALLEY CORP 8.01 11/29/11
TRIMBLE NAVIGATION LTD /CA/ CA 5.07 05/06/11 AMEND
TRW AUTOMOTIVE HOLDINGS CORP DE 8.01 12/14/11
TSIC, Inc. DE 7.01,9.01 12/14/11
U S GOLD CORP CO 7.01,9.01 12/16/11
UGI CORP /PA/ PA 8.01,9.01 12/15/11
Ulta Salon, Cosmetics & Fragrance, In DE 5.02,9.01 12/14/11
UNITED RENTALS INC /DE DE 8.01,9.01 12/15/11
United States Commodity Index Funds T DE 8.01 12/16/11
Unum Group DE 5.02,9.01 12/14/11
UTILITIES HOLDERS SM TRUST NY 8.01,9.01 12/16/11
VALENCE TECHNOLOGY INC DE 3.01 12/13/11
VALLEY NATIONAL BANCORP NJ 7.01,9.01 12/16/11
VERTEX PHARMACEUTICALS INC / MA MA 5.02 12/14/11
VICTORIA INTERNET SERVICES INC NV 1.01,2.01,9.01 12/07/11
VISA INC. DE 8.01 12/16/11
Vocus, Inc. DE 5.07 06/16/11 AMEND
WALTER INVESTMENT MANAGEMENT CORP MD 8.01 12/16/11
WARREN RESOURCES INC MD 1.01,7.01,9.01 12/15/11
WASHINGTON MUTUAL, INC WA 7.01,9.01 12/12/11
WASTE CONNECTIONS, INC. DE 2.05,9.01 12/12/11
WAUSAU PAPER CORP. WI 1.01,9.01 12/13/11
WD 40 CO DE 5.07 12/13/11
WELLS FARGO & CO/MN DE 9.01 12/16/11
WEST COAST BANCORP /NEW/OR/ OR 5.02 12/13/11
WINNEBAGO INDUSTRIES INC IA 5.02,5.07 12/13/11
WIRELESS HOLDRS TRUST NY 8.01,9.01 12/16/11
WIRELESS RONIN TECHNOLOGIES INC MN 5.02,9.01 12/12/11
XCEL ENERGY INC MN 8.01 12/08/11
XERIUM TECHNOLOGIES INC DE 5.02 12/16/11
Zagg INC NV 5.02,9.01 12/12/11
http://www.sec.gov/news/digest/2011/dig122011.htm
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