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Commission AnnouncementsCommission MeetingsClosed Meeting on Thursday, January 12, 2012 at 2:00 p.m.The subject matter of the Closed Meeting scheduled for Thursday, January 12, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; other matters relating to enforcement proceedings; and an adjudicatory matter. 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 Sustains FINRA's Findings of Violations and Sanctions Imposed Against Dante J. DiFrancescoThe Commission has sustained FINRA's findings that Dante J. DiFrancesco, a former registered representative with FINRA member firm Banc of America Investment Services, Inc., downloaded confidential nonpublic information concerning approximately 36,000 customers and transmitted that information to a competitor firm with whom he was to become associated. The Commission found that DiFrancesco's conduct was unethical and violated NASD Conduct Rule 2110. It further found that FINRA's sanctions of a $10,000 fine and ten-business-day suspension were not excessive or oppressive for his violations. (Rel. 34-66113; File No. 3-14195) Commission Sustains FINRA Disciplinary Action Against World Trade Financial Corp., Rodney Preston Michel, Jason Troy Adams, and Frank Edward BrickellThe Commission sustained FINRA disciplinary action against World Trade Financial Corp., a FINRA member firm, and three associated persons: Rodney Preston Michel, Jason Troy Adams, and Frank Edward Brickell. It also sustained FINRA's imposition of fines against the firm, Michel, Adams, and Brickell totalling $110,000 and suspensions against Michel, Adams, and Brickell for their misconduct. The Commission found that World Trade and Brickell violated Section 5 of the Securities Act of 1933 and NASD Rule 2110 by unlawfully selling securities for their customers without a registration statement in effect or an available exemption. The security involved was iStorage, Inc., a little-known, thinly traded penny stock, which in late 2004 and early 2005 was subject of a spam e-mail campaign touting the sale of the stock on the Pink Sheets. According to the Commission's decision, Brickell and World Trade conducted "no inquiry" into their customers' proposed iStorage sales, despite indications that the sales were part of an illegal distribution. The Commission also found that, in connection with these unlawful sales, World Trade, Michel, and Adams failed to reasonably supervise Brickell and that World Trade and Michel failed to maintain adequate supervisory procedures in violation of NASD Rules. In sustaining FINRA's sanctions, the Commission stated that Applicants' unregistered sales of securities and related supervisory failings "deprived investors of the protections afforded by the registration and disclosure requirements of the Securities Act." The Commission's Opinion stressed "that violations of the antifraud and other provisions of the securities laws frequently depend for their consummation . . . on the activities of broker-dealers who fail to make diligent inquiry to obtain sufficient information to justify their activity in the security." (Rel. 34-66114; File No. 3-14307) In the Matter of Michael R. PelosiAn Administrative Law Judge has issued an Initial Decision in Michael R. Pelosi, Admin. Proc. No. 3-14194. The Initial Decision finds that Michael R. Pelosi (Pelosi) knowingly or recklessly misreported account performance returns to his investment-advisory clients. As a result, Pelosi violated Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 (Advisers Act). The Initial Decision orders Pelosi to cease and desist from committing or causing any violations or future violations of Sections 206(1) and 206(2) of the Advisers Act, bars him from association with an investment adviser or investment company, and orders Pelosi to pay a civil penalty in the amount of $60,000. (Initial Decision No. 448; File No. 3-14194) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangesThe Commission issued notice of a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2011-97) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to listing and trading of shares of the Teucrium Agriculture Fund under NYSE Arca Equities Rule 8.200. Publication is expected in the Federal Register during the week of January 9. (Rel. 34-66098) The Financial Industry Regulatory Authority, Inc. has filed a proposed rule change (SR-FINRA-2011-075) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to amend the Code of Arbitration Procedure for Industry Disputes to preclude collective action claims from being arbitrated. Publication is expected in the Federal Register during the week of January 9. (Rel. 34-66109) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by Chicago Mercantile Exchange, Inc. (CME) to establish certain fee programs in connection with its OTC Interest Rate Swap Clearing Offering (SR-CME-2011-22) 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 January 9. (Rel. 34-66102) A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2011-85) relating to a market maker incentive plan for foreign currency options 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 January 9. (Rel. 34-66103) A proposed rule change filed by NYSE Amex LLC amending its Price List to change the monthly fees for the use of ports that provide connectivity to its equity trading systems (SR-NYSEAmex-2011-107) 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 January 9. (Rel. 34-66104) A proposed rule change filed by NYSE Amex LLC amending its Price List to eliminate the Clerk Badge Fee and the e-Broker Hand Held Device Fee (SR-NYSEAmex-2011-108) 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 January 9. (Rel. 34-66105) A proposed rule change filed by New York Stock Exchange LLC to amend the Schedule of Rebates paid to Supplemental Liquidity Providers for providing liquidity (SR-NYSE-2011-73) 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 January 9. (Rel. 34-66106) A proposed rule change filed by New York Stock Exchange LLC amending its Price List to change the monthly fees for the use of ports that provide connectivity to its equity trading systems (SR-NYSE-2011-72) 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 January 9. (Rel. 34-66107) A proposed rule change filed by New York Stock Exchange LLC amending its Price List to (1) adopting a Trading License Fee for calendar year 2012 and (2) eliminating the NYSE e-Broker® Hand Held Device Fee and the NYSE e-Broker® Hand Held Device – Opening and Closing Order Imbalances Only (Together the “Hand Held Device fees”), the Fee for Approval of a Pre-Qualified Substitute, and the Badge Maintenance (SR-NYSE-2011-71) 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 January 9. (Rel. 34-66108) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2012-01) amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services changing the monthly fees for the use of ports that provide connectivity to its equity trading systems 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 January 9. (Rel. 34-66110) A proposed rule change filed by the NASDAQ OMX PHLX LLC (SR-Phlx-2011-187) to waive PSX Port Pair fees for certain newly-added routable port pairs 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 January 9. (Rel. 34-66111) Approval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change (SR-NYSEArca-2011-80) submitted by NYSE Arca, Inc. 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 Rockledge SectorSAM ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of January 9. (Rel. 34-66112) 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-8 Unilife Corp, 250 CROSS FARM LANE, YORK, PA, 17406, (717) 384-3400 - 0 ($16,095,705.00) Equity, (File 333-178882 - Jan. 5) (BR. 10) S-1 ALMAH,INC, PEMBROKE HOUSE, 28-32 PEMBROKE ST UPPER, DUBLIN, L2, 0000, 353971536401 - 4,000,000 ($40,000.00) Equity, (File 333-178883 - Jan. 5) (BR. ) S-3 MetLife Insurance CO of Connecticut, 1300 HALL BOULEVARD, BLOOMFIELD, CT, 06002, 860-277-0111 - 0 ($10,000,000.00) Unallocated (Universal) Shelf, (File 333-178884 - Jan. 5) (BR. 01B) S-3 MetLife Insurance CO of Connecticut, 1300 HALL BOULEVARD, BLOOMFIELD, CT, 06002, 860-277-0111 - 0 ($400,000,000.00) Unallocated (Universal) Shelf, (File 333-178885 - Jan. 5) (BR. 01B) S-3 MetLife Insurance CO of Connecticut, 1300 HALL BOULEVARD, BLOOMFIELD, CT, 06002, 860-277-0111 - 0 ($850,000,000.00) Unallocated (Universal) Shelf, (File 333-178886 - Jan. 5) (BR. 01B) S-3 MetLife Insurance CO of Connecticut, 1300 HALL BOULEVARD, BLOOMFIELD, CT, 06002, 860-277-0111 - 0 ($10,000,000.00) Unallocated (Universal) Shelf, (File 333-178888 - Jan. 5) (BR. 01B) S-3 MetLife Insurance CO of Connecticut, 1300 HALL BOULEVARD, BLOOMFIELD, CT, 06002, 860-277-0111 - 0 ($350,000,000.00) Unallocated (Universal) Shelf, (File 333-178889 - Jan. 5) (BR. 01B) N-2 Putnam Mortgage Recovery Fund, ONE POST OFFICE SQUARE, BOSTON, MA, 02109, 18002251581 - 0 ($300,000,000.00) Equity, (File 333-178890 - Jan. 5) (BR. 22) S-8 GP STRATEGIES CORP, 6095 MARSHALEE DRIVE, SUITE 300, ELKRIDGE, MD, 21075, 410-370-3600 - 0 ($21,982,230.00) Equity, (File 333-178892 - Jan. 5) (BR. 11C) S-1 SandRidge Mississippian Trust II, 919 CONGRESS AVENUE, SUITE 500, THE BANK OF NEW YORK MELLON TRUST CO. NA, AUSTIN, TX, 78701, 5122366599 - 0 ($603,750,000.00) Equity, (File 333-178894 - Jan. 5) (BR. ) S-8 VISHAY INTERTECHNOLOGY INC, 63 LANCASTER AVENUE, MALVERN, PA, 19355, 6106441300 - 50,000,000 ($50,000,000.00) Debt, (File 333-178895 - Jan. 5) (BR. 10C) S-8 Mindray Medical International LTD, MINDRAY BUILDING, KEJI 12TH ROAD SOUTH, HI-TECH INDUSTRIAL PARK, NANSHAN, SHENZHEN, F4, 518057, (86)-755-2658-2888 - 0 ($154,320,000.00) ADRs/ADSs, (File 333-178896 - Jan. 5) (BR. 10B) S-3 BANK OF KENTUCKY FINANCIAL CORP, 111 LOOKOUT FARM DRIVE, CRESTVIEW HILLS, KY, 41017, 8593725169 - 274,784 ($5,099,991.04) Equity, (File 333-178897 - Jan. 5) (BR. 07C) S-3 HORACE MANN EDUCATORS CORP /DE/, 1 HORACE MANN PLZ, SPRINGFIELD, IL, 62715-0001, 2177892500 - 0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-178898 - Jan. 5) (BR. 01B) S-8 AON CORP, 200 EAST RANDOLPH STREET, CHICAGO, IL, 60601, 3123811000 - 0 ($198,772,500.00) Equity, (File 333-178906 - Jan. 5) (BR. 01A) S-1 Ute Energy Upstream Holdings LLC, 1875 LAWRENCE STREET, SUITE 200, DENVER, CO, 80202, 720-420-3200 - 0 ($250,000,000.00) Equity, (File 333-178907 - Jan. 5) (BR. ) S-8 BOND LABORATORIES, INC., 11011 Q STREET BUILDING A, SUITE 106, OMAHA, NE, 68137, 402-884-1894 - 0 ($1,200,000.00) Equity, (File 333-178908 - Jan. 5) (BR. 01B) S-1 Millennial Media Inc., 2400 BOSTON STREET, SUITE 301, Baltimore, MD, 21224, (410) 552-8705 - 0 ($75,000,000.00) Equity, (File 333-178909 - Jan. 5) (BR. ) 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 -------------------------------------------------------------------------------------------- 4 KIDS ENTERTAINMENT INC NY 8.01,9.01 01/05/12 Acadia Healthcare Company, Inc. DE 1.01,8.01,9.01 12/30/11 ACTIVE NETWORK INC DE 1.01,3.02,8.01,9.01 12/30/11 ADCARE HEALTH SYSTEMS INC OH 1.01,9.01 12/29/11 Advaxis, Inc. DE 1.01,2.03,3.02,8.01, 12/29/11 9.01 ADVENT SOFTWARE INC /DE/ DE 5.02,9.01 01/03/12 AEHR TEST SYSTEMS CA 2.02,9.01 11/30/11 AEROPOSTALE INC 9.01 01/05/12 AIS FUTURES FUND IV LP DE 3.02 12/31/11 ALASKA AIR GROUP INC DE 7.01,8.01,9.01 01/04/12 AlphaMetrix Managed Futures III LLC DE 3.02 01/03/12 AlphaMetrix Managed Futures LLC DE 3.02 01/03/12 Altegris QIM Futures Fund, L.P. DE 3.02 01/01/12 Altegris Winton Futures Fund, L.P. CO 3.02 01/01/12 AMERICAN AIRLINES INC DE 8.01 01/05/12 AMERICAN APPAREL, INC DE 2.02 01/05/12 AMERICAN EAGLE OUTFITTERS INC DE 2.01,9.01 01/05/12 American Realty Capital Properties, I MD 1.01,2.01,2.03,9.01 01/05/12 American Realty Capital Trust III, In MD 1.01,2.01,9.01 01/05/12 American Strategic Minerals Corp NV 5.02,9.01 12/29/11 AMERIGROUP CORP 1.01 12/29/11 AMR CORP DE 3.01,8.01,9.01 01/05/12 AMR CORP DE 8.01 01/05/12 Ancestry.com Inc. DE 2.02,9.01 01/05/12 ANNAPOLIS BANCORP INC MD 8.01,9.01 01/05/12 APOLLO GROUP INC AZ 2.02,5.02,7.01,9.01 01/05/12 Ascent Solar Technologies, Inc. DE 1.01,1.02,8.01 01/05/12 ATHENA SILVER CORP CA 3.02,9.01 12/15/11 ATHENA SILVER CORP CA 7.01,9.01 01/05/12 aVINCI MEDIA CORP DE 2.01,5.02 12/28/11 BARNES & NOBLE INC DE 2.02,9.01 01/05/12 BELDEN INC. DE 1.01,5.02,9.01 01/01/12 BELDEN INC. DE 7.01,9.01 01/05/12 BERRY PETROLEUM CO DE 8.01 01/03/12 Black Sea Metals, Inc. NV 1.01,2.01,9.01 12/31/11 Bohai Pharmaceuticals Group, Inc. NV 1.01,5.02,8.01,9.01 12/31/11 BON TON STORES INC PA 2.02,9.01 01/05/12 BOSTON BEER CO INC MA 2.01 01/04/12 BPZ RESOURCES, INC. TX 7.01,9.01 01/04/12 BRE PROPERTIES INC /MD/ MD 1.01,1.02,2.03,9.01 01/05/12 CAGLES INC GA 7.01,9.01 12/30/11 CAMBRIDGE HEART INC DE 2.02,9.01 01/05/12 Camelot Entertainment Group, Inc. DE 8.01,9.01 01/04/12 Campus Crest Communities, Inc. MD 1.01,2.01,9.01 12/29/11 CAPITALSOURCE INC DE 1.01,5.02,9.01 01/04/12 CarePayment Technologies, Inc. OR 1.01,2.03,9.01 12/29/11 Carter Validus Mission Critical REIT, MD 7.01,9.01 01/05/12 CASCADE BANCORP OR 5.02 01/03/12 CenterState Banks, Inc. FL 7.01,9.01 01/05/12 CENVEO, INC CO 1.01,5.02 12/30/11 Ceres Ventures, Inc. NV 1.01,2.01,3.02,5.01, 12/29/11 5.02,5.06,7.01,9.01 CFS BANCORP INC IN 5.02 12/16/11 AMEND CHART INDUSTRIES INC DE 5.02,9.01 01/01/12 Chelsea Therapeutics International, L DE 8.01,9.01 01/05/12 CHILDRENS PLACE RETAIL STORES INC 8.01,9.01 01/05/12 CHINACAST EDUCATION CORP DE 4.02,9.01 01/04/12 Chrysler Group LLC DE 3.02,7.01,9.01 01/04/12 CIRCLE STAR ENERGY CORP. NV 1.01,4.01,9.01 10/17/11 CITIZENS BANCSHARES CORP /GA/ GA 5.02 01/05/12 CO & PA 1999D Limited Partnership WV 5.03,9.01 12/29/11 COLE KENNETH PRODUCTIONS INC NY 5.02 12/31/11 Colfax CORP DE 5.07 01/05/12 COLOMBIA ENERGY RESOURCES, INC. DE 5.02,8.01 12/28/11 Colorado 2000B Limited Partnership WV 5.03,9.01 12/29/11 Colorado 2000C Limited Partnership WV 5.03,9.01 12/29/11 Colorado 2000D Limited Partnership WV 5.03,9.01 12/29/11 Colorado 2001A Limited Partnership WV 5.03,9.01 12/29/11 Colorado 2001B Limited Partnership WV 5.03,9.01 12/29/11 Colorado 2001C Limited Partnership WV 5.03,9.01 12/29/11 Colorado 2001D Limited Partnership WV 5.03,9.01 12/29/11 Colorado 2002A Limited Partnership WV 5.03,9.01 12/29/11 COMMONWEALTH BIOTECHNOLOGIES INC VA 2.01,9.01 12/30/11 Compass Diversified Holdings DE 8.01,9.01 01/05/12 CONSTELLATION BRANDS, INC. DE 2.02,7.01,9.01 01/05/12 Cornerstone Core Properties REIT, Inc MD 1.01,5.02 12/29/11 CORNING NATURAL GAS CORP NY 1.01,2.03 12/30/11 CREDO PETROLEUM CORP DE 8.01,9.01 01/04/12 CUI Global, Inc. CO 7.01 01/05/12 CVR ENERGY INC DE 7.01,9.01 01/05/12 CVR PARTNERS, LP DE 7.01,9.01 01/05/12 DEERE & CO DE 7.01 01/05/12 DELPHI FINANCIAL GROUP INC/DE DE 5.02,9.01 12/30/11 Destination Maternity Corp DE 2.02,5.02,9.01 12/29/11 DIAL GLOBAL, INC. /DE/ DE 9.01 10/21/11 DIVERSIFIED GLOBAL HOLDINGS GROUP INC FL 2.01,9.01 12/31/11 DURECT CORP DE 8.01,9.01 01/05/12 DXP ENTERPRISES INC TX 8.01,9.01 01/05/12 Eastern 1996D Limited Partnership WV 5.03,9.01 12/29/11 Eastern 1997D Limited Partnership WV 5.03,9.01 12/29/11 Eastern 1998D Limited Partnership WV 5.03,9.01 12/29/11 ecoTECH Energy Group Inc. NV 1.01,7.01,9.01 12/23/11 ELITE PHARMACEUTICALS INC /DE/ DE 1.01,3.02,5.03,8.01, 12/30/11 9.01 Emo Capital Corp. NV 5.02 12/21/11 ENGLOBAL CORP NV 7.01,9.01 01/05/12 AMEND Entertainment Gaming Asia Inc. NV 1.01,5.02,9.01 12/31/11 ENTRAVISION COMMUNICATIONS CORP DE 1.01,9.01 12/29/11 ENTROPIC COMMUNICATIONS INC DE 5.02,8.01,9.01 01/03/12 EPICEPT CORP 5.02,9.01 01/02/12 Exelis Inc. IN 7.01,9.01 01/05/12 EXPRESS, INC. 5.02,8.01,9.01 01/03/12 FAMILY DOLLAR STORES INC DE 2.02,7.01,9.01 01/05/12 FARMERS NATIONAL BANC CORP /OH/ OH 5.02,9.01 12/30/11 Federal Home Loan Bank of Boston X1 2.03 12/30/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 01/03/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/03/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 01/05/12 Federal Home Loan Bank of New York X1 5.02 01/05/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/30/11 Federal Home Loan Bank of San Francis X1 2.03 01/03/12 Federal Home Loan Bank of Topeka 2.03,9.01 01/03/12 FEMALE HEALTH CO WI 7.01,9.01 01/05/12 FERRELLGAS PARTNERS L P DE 8.01,9.01 01/05/12 FIELDPOINT PETROLEUM CORP CO 7.01,9.01 01/05/12 FIFTH THIRD BANCORP OH 8.01 01/05/12 FIRST COMMONWEALTH FINANCIAL CORP /PA PA 5.02,9.01 12/30/11 FIRST FINANCIAL BANCORP /OH/ OH 5.02,9.01 12/30/11 FLUOROPHARMA MEDICAL, INC. NV 5.02 12/29/11 FRANKLIN COVEY CO UT 2.02,8.01,9.01 01/05/12 Fresh Harvest Products, Inc. NJ 4.01,9.01 12/28/11 FUEL DOCTOR HOLDINGS, INC. DE 1.01,9.01 01/01/12 GAP INC DE 7.01,9.01 01/05/12 GENERAL EMPLOYMENT ENTERPRISES INC IL 3.01,5.01 01/03/12 GENUINE PARTS CO GA 8.01,9.01 01/05/12 GeoVax Labs, Inc. DE 3.02,9.01 12/30/11 GERON CORP DE 5.02 12/29/11 GERON CORP DE 5.02,7.01,9.01 01/05/12 GLOBAL AXCESS CORP NV 1.01,2.03,9.01 12/29/11 Global Geophysical Services Inc DE 8.01,9.01 01/05/12 GLOBAL PAYMENTS INC GA 2.02,9.01 01/05/12 GLOBALSCAPE INC DE 7.01 01/05/12 GOLD RESOURCE CORP CO 5.05,9.01 12/31/11 GOLDEN ENTERPRISES INC DE 8.01,9.01 01/05/12 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 01/05/12 GOOD SAM ENTERPRISES, LLC DE 1.01,9.01 12/29/11 HANDY & HARMAN LTD. DE 1.01,5.02,8.01 01/01/12 HARBINGER GROUP INC. DE 5.02,9.01 01/04/12 HEADWATERS INC DE 5.02,9.01 01/01/12 HEIDRICK & STRUGGLES INTERNATIONAL IN DE 5.02,9.01 12/29/11 HENRY SCHEIN INC DE 8.01,9.01 01/05/12 HICKOK INC OH 1.01,2.03,3.02,5.02, 12/30/11 9.01 HITTITE MICROWAVE CORP 5.02 01/01/12 HOLLY ENERGY PARTNERS LP DE 5.02 01/03/12 HollyFrontier Corp DE 7.01,9.01 01/05/12 ICG GROUP, INC. DE 8.01,9.01 12/30/11 INDEPENDENCE REALTY TRUST, INC MD 1.01,3.02,3.03,8.01, 01/03/12 9.01 Inland American Real Estate Trust, In MD 7.01,8.01,9.01 01/05/12 INTEGRA LIFESCIENCES HOLDINGS CORP DE 2.02,7.01,9.01 01/05/12 INTEGRA LIFESCIENCES HOLDINGS CORP DE 7.01,9.01 01/05/12 INTEGRATED BIOPHARMA INC 1.01,9.01 12/29/11 INTERMUNE INC DE 2.02,9.01 01/05/12 INTERNATIONAL PAPER CO /NEW/ NY 5.02 12/31/11 ISECURETRAC CORP DE 1.01,1.02,2.03,9.01 12/29/11 ITRONICS INC TX 8.01 01/05/12 JAZZ PHARMACEUTICALS INC DE 2.02,9.01 01/05/12 Juhl Wind, Inc 8.01,9.01 01/05/12 Kiwibox.Com, Inc. DE 7.01,9.01 01/05/12 KOHLS Corp WI 2.02,9.01 01/05/12 L & L ENERGY, INC. NV 5.02,8.01,9.01 01/05/12 LEAP WIRELESS INTERNATIONAL INC DE 2.02,9.01 01/04/12 LIBERATOR MEDICAL HOLDINGS, INC. NV 2.02,9.01 01/05/12 LIGAND PHARMACEUTICALS INC DE 8.01 12/31/11 LILLY ELI & CO IN 2.02,9.01 01/05/12 LILLY ELI & CO IN 2.02,9.01 01/05/12 AMEND LITHIUM TECHNOLOGY CORP DE 1.01,9.01 12/30/11 LSI CORP DE 2.01 01/03/12 Magnolia Solar Corp NV 1.01,2.03,3.02 12/29/11 Magyar Bancorp, Inc. DE 8.01,9.01 01/05/12 MAKEMUSIC, INC. MN 2.01,9.01 12/30/11 MANHATTAN PHARMACEUTICALS INC DE 1.01,2.01,5.02,5.03, 12/29/11 8.01,9.01 Market Leader, Inc. WA 1.02 12/30/11 MCMORAN EXPLORATION CO /DE/ DE 8.01,9.01 01/05/12 MERGE HEALTHCARE INC DE 1.01 12/30/11 Meritage Homes CORP MD 5.02 12/28/11 Merriman Holdings, Inc DE 3.02,3.03,5.03,5.07, 12/29/11 9.01 METROPCS COMMUNICATIONS INC DE 8.01,9.01 01/05/12 MGP INGREDIENTS INC KS 1.01,3.01,5.02,5.03, 01/03/12 8.01,9.01 MGP INGREDIENTS INC KS 7.01,9.01 01/05/12 Millburn Multi-Markets Fund L.P. DE 3.02 01/03/12 MINDSPEED TECHNOLOGIES, INC DE 2.02,9.01 01/05/12 MISSION COMMUNITY BANCORP CA 9.01 10/21/11 AMEND MONARCH CEMENT CO KS 1.01,2.03,9.01 12/31/11 MONSANTO CO /NEW/ DE 2.02,9.01 01/05/12 MOSAIC CO 2.02,9.01 01/04/12 MoSys, Inc. CA 8.01,9.01 12/29/11 MOTRICITY INC DE 1.02 12/31/11 MSC INDUSTRIAL DIRECT CO INC NY 2.02,9.01 01/05/12 MUNICIPAL MORTGAGE & EQUITY LLC DE 1.01 12/30/11 MUTUALFIRST FINANCIAL INC MD 8.01,9.01 01/01/12 National American University Holdings DE 2.02,9.01 01/04/12 NATIONAL HEALTHCARE CORP DE 1.01 01/05/12 NATIONAL TAX CREDIT INVESTORS II CA 2.01,9.01 12/30/11 NAVARRE CORP /MN/ MN 1.01,2.03,9.01 12/29/11 NAVIDEA BIOPHARMACEUTICALS, INC. DE 1.01,2.03,3.02,8.01, 12/29/11 9.01 NEW YORK MORTGAGE TRUST INC MD 3.01 01/03/12 NEWFIELD EXPLORATION CO /DE/ DE 7.01,9.01 01/04/12 NEWS CORP 8.01,9.01 01/05/12 NEWTEK BUSINESS SERVICES, INC. NY 1.01,9.01 12/29/11 NF Energy Saving Corp DE 5.02 07/30/11 nFinanSe Inc. 1.01,3.02,9.01 12/30/11 NORDSTROM INC WA 7.01,9.01 01/05/12 NORTH BAY RESOURCES INC DE 1.01,2.03,3.02,9.01 12/29/11 NORTHEAST UTILITIES MA 8.01 01/04/12 NORTHRIM BANCORP INC AK 5.02,9.01 01/01/12 NorWesTech, Inc. DE 1.01,7.01,9.01 12/30/11 NSTAR/MA 8.01 01/04/12 OCLARO, INC. DE 2.02,9.01 01/04/12 Oncothyreon Inc. DE 5.02,8.01,9.01 01/04/12 ORCHARD SUPPLY HARDWARE STORES CORP DE 1.01,3.02,3.03,5.02, 12/30/11 5.03,5.07,7.01,9.01 OSI RESTAURANT PARTNERS, LLC DE 7.01 01/04/12 OURPETS CO CO 1.01,9.01 12/30/11 PACCAR INC DE 5.02,9.01 01/03/12 Pacific Ethanol, Inc. DE 5.02,9.01 12/30/11 PACIFIC SUNWEAR OF CALIFORNIA INC CA 7.01,9.01 01/05/12 Pacira Pharmaceuticals, Inc. DE 5.02 01/03/12 PARKWAY PROPERTIES INC MD 1.01,2.06,8.01,9.01 12/29/11 PARKWAY PROPERTIES INC MD 1.01,9.01 12/30/11 PEABODY ENERGY CORP DE 2.01,9.01 10/23/11 AMEND Pernix Group, Inc. 5.02,8.01,9.01 12/30/11 PETROLEUM DEVELOPMENT CORP NV 7.01 01/05/12 Phillips Edison - ARC Shopping Center MD 1.01,2.01,2.03,8.01, 12/29/11 9.01 PIER 1 IMPORTS INC/DE DE 7.01,9.01 01/05/12 PMX Communities, Inc. NV 5.02 12/29/11 PONIARD PHARMACEUTICALS, INC. WA 3.01,5.02,9.01 12/30/11 POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 01/05/12 PREMIER EXHIBITIONS, INC. FL 8.01,9.01 01/05/12 PROTEONOMIX, INC. DE 8.01 01/04/12 Public Storage MD 8.01,9.01 01/04/12 RACKSPACE HOSTING, INC. 1.01,2.03 12/29/11 RAM ENERGY RESOURCES INC DE 1.01,5.03,8.01,9.01 01/04/12 REALNETWORKS INC WA 5.02 01/05/12 RECOVERY ENERGY, INC. NV 1.01 12/30/11 RED TRAIL ENERGY, LLC 2.02,9.01 01/04/12 REGAL BELOIT CORP WI 8.01,9.01 01/03/12 Remark Media, Inc. DE 5.02,5.07,8.01,9.01 12/30/11 REPROS THERAPEUTICS INC. DE 8.01,9.01 01/05/12 RESOURCE AMERICA, INC. DE 1.01 12/29/11 RF MICRO DEVICES INC NC 2.02,9.01 01/05/12 RIDER EXPLORATION INC NV 5.02 12/31/11 ROGERS CORP MA 2.02,9.01 01/05/12 Rouse Properties, Inc. DE 5.02 01/02/12 RPM INTERNATIONAL INC/DE/ DE 2.02,9.01 01/05/12 RUBY TUESDAY INC GA 2.02,9.01 01/05/12 RUBY TUESDAY INC GA 5.07 01/03/12 AMEND SABA SOFTWARE INC DE 2.02,5.02,7.01,9.01 01/05/12 SABINE ROYALTY TRUST TX 2.02,9.01 01/05/12 SAKS INC TN 7.01,9.01 01/05/12 SALIX PHARMACEUTICALS LTD 8.01,9.01 01/04/12 Sanchez Energy Corp DE 5.02 12/30/11 SECURITY FEDERAL CORP SC 5.02,9.01 01/01/12 SENESCO TECHNOLOGIES INC DE 1.01 12/30/11 SHOE CARNIVAL INC IN 7.01,9.01 01/05/12 SIGNATURE GROUP HOLDINGS, INC. NV 8.01 01/03/12 SILVERGRAPH INTERNATIONAL INC NV 5.01,5.02 12/30/11 Sino Green Land Corp NV 1.01,2.01,7.01,9.01 12/20/11 AMEND SL INDUSTRIES INC NJ 2.02,8.01,9.01 01/05/12 Smart Kids Group Inc. FL 1.02 01/04/01 Solar Power, Inc. CA 1.01,2.03,9.01 12/30/11 Sorrento Therapeutics, Inc. DE 1.01,3.02,9.01 12/29/11 Sound Financial, Inc. 5.02 01/04/12 SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 1.01,5.02,7.01,8.01, 01/05/12 9.01 SPINDLETOP OIL & GAS CO TX 5.02 01/02/12 Spirit Airlines, Inc. DE 1.01,9.01 12/29/11 Steadfast Income REIT, Inc. MD 1.01,2.01,2.03,7.01, 12/30/11 9.01 StellarOne CORP VA 1.02,5.02,9.01 01/03/12 Stereotaxis, Inc. DE 7.01 01/03/12 STONERIDGE INC OH 2.01,3.02,9.01 12/29/11 STUDIO ONE MEDIA, INC. DE 2.03 12/30/11 SUN HEALTHCARE GROUP INC DE 2.02,9.01 01/04/12 SUPREME INDUSTRIES INC DE 5.02,9.01 12/29/11 Swank, Inc. DE 5.02,9.01 01/04/12 SXC Health Solutions Corp. A6 2.01,2.03,9.01 01/01/12 Symmetry Medical Inc. DE 1.01,2.01,2.03,5.02, 12/29/11 8.01,9.01 SYNAGEVA BIOPHARMA CORP DE 8.01,9.01 01/05/12 SYNERGY PHARMACEUTICALS, INC. FL 8.01,9.01 12/29/11 SYSCO CORP DE 1.01,1.02,2.03,9.01 12/29/11 TARGET CORP MN 8.01,9.01 01/05/12 TAUBMAN CENTERS INC MI 8.01,9.01 01/05/12 Terreno Realty Corp MD 1.01,2.03,9.01 12/29/11 TESORO CORP /NEW/ DE 2.02,7.01,9.01 01/05/12 TESSCO TECHNOLOGIES INC DE 1.01,9.01 01/05/12 TEXAS INDUSTRIES INC DE 2.02,9.01 01/04/12 TJX COMPANIES INC /DE/ DE 8.01 01/05/12 TMX Finance LLC DE 5.07 12/31/11 TNP Strategic Retail Trust, Inc. MD 7.01,9.01 01/05/12 TOPSPIN MEDICAL INC DE 1.01,2.01,5.01,5.06, 01/05/12 9.01 TOYS R US INC DE 7.01,9.01 01/05/12 TRAILER BRIDGE INC 7.01 12/30/11 TransMontaigne Partners L.P. DE 4.01,8.01,9.01 01/04/12 TRC COMPANIES INC /DE/ DE 8.01 01/03/12 U S PRECIOUS METALS INC DE 5.02,7.01,9.01 12/29/11 Ulta Salon, Cosmetics & Fragrance, In DE 7.01,9.01 01/05/12 UMH PROPERTIES, INC. MD 1.01,9.01 01/01/12 UNIFI INC NY 5.02,9.01 01/03/12 UNITED COMMUNICATIONS PARTNERS INC NV 1.01,9.01 12/31/11 United Development Funding III, LP DE 7.01,9.01 01/05/12 United Development Funding IV MD 7.01,9.01 01/05/12 US AIRWAYS GROUP INC DE 2.02,9.01 01/05/12 US AIRWAYS GROUP INC DE 2.02,9.01 01/05/12 Valeant Pharmaceuticals International A6 5.03,9.01 01/01/12 Valley Commerce Bancorp CA 5.02,9.01 01/01/12 VECTREN CORP IN 5.02 12/31/11 VERIFONE SYSTEMS, INC. DE 1.01,1.02,2.01,2.03, 12/28/11 AMEND 7.01,9.01 VERMILLION, INC. DE 5.02,5.03,7.01,8.01, 01/03/12 9.01 VERSANT CORP CA 5.02,9.01 01/02/12 VICAL INC DE 2.02,8.01,9.01 01/05/12 VIEWCAST COM INC DE 1.01,2.03,9.01 12/30/11 VIROPHARMA INC DE 7.01,9.01 01/05/12 VISTA GOLD CORP B0 5.02,7.01,9.01 01/03/12 VLOV INC. NV 8.01,9.01 01/05/12 WaferGen Bio-systems, Inc. NV 5.02,5.07,9.01 12/30/11 WASHINGTON BANKING CO WA 5.02,9.01 01/04/12 WAUSAU PAPER CORP. WI 5.02,9.01 01/05/12 WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 12/29/11 WIDEPOINT CORP DE 1.01,2.01,2.03,5.02, 12/30/11 8.01,9.01 WORTHINGTON INDUSTRIES INC OH 2.02,7.01,9.01 01/05/12 Yayi International Inc DE 1.01,9.01 12/31/11 ZAP COM CORP NV 5.02 01/04/12 ZILLOW INC WA 7.01 01/05/12 ZIPCAR INC 1.01,2.03,9.01 12/29/11
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