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Commission AnnouncementsSEC Suspends Trading in Securities of Onyx Service & Solutions, Inc.The Securities and Exchange Commission ordered the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act), of trading in the securities of Onyx Service & Solutions, Inc. because of questions regarding the accuracy and adequacy of publicly disseminated information concerning, among other things, the company’s business projects and prospects. The trading suspension will last for ten business days. The trading suspension commenced at 9:30 a.m. EDT on January 27, 2012, and will terminate at 11:59 pm EDT on February 9, 2012. The Commission cautions broker-dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the companies. Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or 7dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to the above-named securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately contact one of the following individuals: Andrew M. Calamari, (212) 336-0042 or calamaria@sec.gov Michael Paley, (212) 336-0145 or paleym@sec.gov (Rel. 34-66262) Securities and Exchange Commission Suspends Trading in the Securities of Three Issuers For Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EST on January 27, 2012 and terminating at 11:59 p.m. EST on February 9, 2012.
The Commission temporarily suspended trading in the securities of these three issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-66263) RULES AND RELATED MATTERSConditional Exemption Pursuant to Section 36 of the Exchange ActThe Commission granted an exemption, subject to certain conditions, to BOX Options Exchange LLC pursuant to Section 36(a) of the Securities Exchange Act of 1934 (Exchange Act) from certain requirements of Rules 6a-1 and 6a-2 under the Exchange Act. Publication is expected in the Federal Register during the week of January 30. (Rel. 34-66241) Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934The Commission has published for public comment BOX Options Exchange LLC’s application (File No. 10-206) for registration as a national securities exchange under Section 6 of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 30. (Rel. 34-66242) ENFORCEMENT PROCEEDINGSCommission Orders Hearings on Registration Suspension or Revocation Against Three Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of three companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the three issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-66264; File No. 3-14722) Court Orders Integrity Financial Promoter to Pay $179,000The U.S. Securities and Exchange Commission today announced that, on January 20, 2012, the U.S. District Court for the Northern District of Ohio entered a final judgment against Robert C. Koeller in a Commission injunctive action, United States Securities and Exchange Commission v. Integrity Financial AZ, LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller, Civil Action No. 10-CV-782 (SO) (N.D. Ohio filed Apr. 15, 2010). The Commission’s complaint alleged that Koeller promoted an unregistered offering of securities by Integrity Financial AZ, LLC in the form of promissory notes purportedly secured by real estate in Arizona. The complaint further alleged that Koeller made material verbal and written misrepresentations to investors and prospective investors in connection with the offering. Koeller previously consented to full injunctive relief and deferred to the court, upon motion of the Commission, the determination of financial remedies. The final judgment was entered after the district court granted the Commission’s motion for order granting financial remedies. The final judgment against Koeller permanently enjoins him from further violations of the securities registration, broker registration, and antifraud provisions of the federal securities laws and finds him liable for disgorgement in the amount of $87,379, prejudgment interest thereon in the amount of $4,454.72, and a civil penalty in the amount of $87,379. The final judgment against Koeller concludes the Commission’s litigation. [SEC v. Integrity Financial AZ, LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller, Civil Action No. 10-CV-782 (SO) (N.D. Ohio)] (LR-22239) INVESTMENT COMPANY ACT RELEASESOrders of Deregistration Under the Investment Company Act of 1940Orders have been issued under Section 8(f) of the Investment Company Act of 1940 declaring that each of the following has ceased to be an investment company:
Preservation Trust Advisors, LLC and Northern Lights Fund TrustA notice has been issued giving interested persons until February 21, 2012 to request a hearing on an application filed by Preservation Trust Advisors, LLC and Northern Lights Fund Trust for an order exempting them from Section 15(a) of the Investment Company Act of 1940, as amended (the “Act”), and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC-29937 - January 26) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangesThe New York Stock Exchange LLC filed a proposed rule change (SR-NYSE-2012-01) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to establish an NYBX immediate-or-cancel order. Publication is expected in the Federal Register during the week of January 30. (Rel. 34-66218) A proposed rule change filed by Chicago Mercantile Exchange, Inc. (CME) to amend rules relating to its credit default swap guaranty fund (SR-CME-2012-01) was filed pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 30. (Rel. 34-66250) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by EDGA Exchange, Inc. (SR-EDGA-2012-01) to amend EDGA Rule 11.14 to extend the operation of the single stock circuit breaker pilot program until July 31, 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 January 30. (Rel. 34-66227) A proposed rule change filed by EDGX Exchange, Inc. (SR-EDGX-2012-01) to amend EDGX Rule 11.14 to extend the operation of the single stock circuit breaker pilot program until July 31, 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 January 30. (Rel. 34-66228) A proposed rule change filed by National Stock Exchange, Inc. (SR-NSX-2012-01) to amend its rules to extend pilot program regarding trading pauses in individual securities 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 January 30. (Rel. 34-66229) A proposed rule change filed by NYSE Amex LLC (SR-NYSEAmex-2012-02) amending NYSE Amex Options Rule 902NY to create a Reserve Floor Market Maker Amex Trading Permit 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 30. (Rel. 34-66308) A proposed rule change filed by NASDAQ OMX BX, Inc. to expand the Short Term Option Series Program (SR-BX-2012-005) 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 30. (Rel. 34-66238) A proposed rule change filed by the National Stock Exchange, Inc. (SR-NSX-2012-03) to effectuate an amendment to its Amended and Restated Certificate of Incorporation to include a reference to Section 242 of the General Corporation Law of the State of Delaware 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 30. (Rel. 34-66243) A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. (SR-FINRA-2012-003) to delay the implementation date of SR-FINRA-2011-019 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 30. (Rel. 34-66244) A proposed rule change filed by Financial Industry Regulatory Authority, Inc. (SR-FINRA-2012-005) to extend the pilot period of amendments to FINRA Rule 11892 governing Clearly Erroneous transactions 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 30. (Rel. 34-66254) A proposed rule change (SR-NASDAQ-2012-012) filed by The NASDAQ Stock Market LLC to modify the fee for a written interpretation of the Nasdaq listing rules 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 30. (Rel. 34-66256) Approval of Proposed Rule ChangesThe Commission granted approval of a proposed rule change (SR-EDGA-2011-40) submitted by EDGA Exchange, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to amend EDGA Rule 11.9. Publication is expected in the Federal Register during the week of January 30. (Rel. 34-66231) The Commission approved a proposed rule change (SR-ISE-2011-82) filed by the International Securities Exchange, LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to complex orders. Publication is expected in the Federal Register during the week of January 30. (Rel. 34-66234) 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 PSM HOLDINGS INC, 1112 NORTH MAIN, ROSWELL, NM, 88201, 575-622-5113 - 6,000,000 ($4,440,000.00) Equity, (File 333-179171 - Jan. 26) (BR. 07A) S-4 TRUSTMARK CORP, 248 E CAPITOL ST, P O BOX 291, JACKSON, MS, 39201, 6013545111 - 0 ($12,000,000.00) Equity, (File 333-179178 - Jan. 26) (BR. 07C) S-3D CODORUS VALLEY BANCORP INC, CODORUS VALLEY CORPORATE CENTER, 105 LEADER HEIGHTS ROAD, YORK, PA, 17403, 717-846-1970 - 150,000 ($1,456,500.00) Equity, (File 333-179179 - Jan. 26) (BR. 07B) N-2 Nuveen Real Asset Income & Growth Fund, 333 W. WACKER DR., CHICAGO, IL, 60606, 312-917-8146 - 1,000 ($20,000.00) Equity, (File 333-179180 - Jan. 26) (BR. 18) S-8 DEVON ENERGY CORP/DE, 20 N BROADWAY, STE 1500, OKLAHOMA CITY, OK, 73102, 4052353611 - 0 ($194,520,000.00) Equity, (File 333-179181 - Jan. 26) (BR. 04B) S-8 GERDAU S.A., AVENIDA FARRAPOS, 1811, PORTO ALEGRE, RIO GRANDE DO SU, D5, 90220-005, 011-55-51-3323-2703 - 0 ($15,440,000.00) Other, (File 333-179182 - Jan. 26) (BR. 06C) S-3 Chelsea Therapeutics International, Ltd., 3530 TORINGDON WAY, SUITE 200, CHARLOTTE, NC, 28277, 704-341-1516 - 0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-179183 - Jan. 26) (BR. 01A) S-8 Carbon Natural Gas Co, 1700 BROADWAY, SUITE 1170, DENVER, CO, 80290, 720-407-7043 - 0 ($8,820,000.00) Equity, (File 333-179184 - Jan. 26) (BR. 04B) N-2 PHL Variable Accumulation Account III, PHOENIX, ONE AMERICAN ROW, HARTFORD, CT, 06102-5056, 860-403-5000 - 0 ($1,000,000.00) Other, (File 333-179185 - Jan. 26) (BR. 29) S-B UNITED MEXICAN STATES, 0 ($5,000,000,000.00) Non-Convertible Debt, (File 333-179186 - Jan. 26) (BR. DN) S-8 ANALOGIC CORP, 8 CENTENNIAL DRIVE, PEABODY, MA, 01960, 9789773000 - 0 ($34,422,000.00) Equity, (File 333-179187 - Jan. 26) (BR. 10A) S-1 Ultimate Rack, Inc., 331 VALLEY MALL PKWY, #215, EAST WENATCHEE, WA, 98802, 509-393-3526 - 4,350,000 ($43,500.00) Equity, (File 333-179188 - Jan. 26) (BR. ) S-8 APPLE INC, ONE INFINITE LOOP, CUPERTINO, CA, 95014, (408) 996-1010 - 0 ($1,163,794.00) Equity, (File 333-179189 - Jan. 26) (BR. 03C) 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 ----------------------------------------------------------------------------------------- 1 800 FLOWERS COM INC DE 2.02,9.01 01/26/12 3M CO DE 2.02,9.01 01/26/12 AAA Best Car Rental Inc NV 1.01,9.01 01/23/12 AAR CORP DE 1.01,2.03,8.01,9.01 01/23/12 ABAXIS INC CA 2.02,9.01 01/26/12 ADOBE SYSTEMS INC DE 5.02,9.01 01/24/12 AFC ENTERPRISES INC MN 2.02,9.01 01/25/12 AIRGAS INC DE 2.02,9.01 01/26/12 ALASKA AIR GROUP INC DE 2.02,7.01,9.01 01/25/12 ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 5.02,9.01 01/23/12 ALCOA INC PA 5.03,9.01 01/20/12 ALL Fuels & Energy Co DE 5.03,9.01 01/17/12 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 01/26/12 ALLIANCE FINANCIAL CORP /NY/ NY 2.02,9.01 01/26/12 ALTERNATE ENERGY HOLDINGS, INC. NV 8.01 01/24/12 ALTERRA CAPITAL HOLDINGS Ltd 2.02,9.01 01/26/12 AMERICAN CRYSTAL SUGAR CO /MN/ MN 7.01 01/26/12 AMERICAN RIVER BANKSHARES CA 2.02,9.01 01/26/12 AMERICAN RIVER BANKSHARES CA 8.01,9.01 01/26/12 Ameris Bancorp GA 2.02,9.01 01/26/12 AMERISOURCEBERGEN CORP DE 2.02,7.01,9.01 01/26/12 AMETEK INC/ DE 2.02,9.01 01/26/12 AMETEK INC/ DE 8.01 01/26/12 AMGEN INC DE 1.01,8.01,9.01 01/25/12 AMGEN INC DE 2.02,9.01 01/26/12 AMPAL-AMERICAN ISRAEL CORP NY 8.01,9.01 01/26/12 AMPHENOL CORP /DE/ DE 2.02,9.01 01/26/12 AMPHENOL CORP /DE/ DE 1.01,2.03,9.01 01/26/12 ANNALY CAPITAL MANAGEMENT INC MD 7.01,9.01 01/26/12 AON CORP DE 8.01 01/25/12 APOLLO GROUP INC AZ 8.01 01/26/12 ARCTIC CAT INC MN 2.02,9.01 01/26/12 ARENA PHARMACEUTICALS INC DE 5.02,9.01 01/23/12 ARGAN INC DE 5.02 01/23/12 ARIBA INC DE 2.02,9.01 01/26/12 Artio Global Investors Inc. DE 7.01,9.01 01/26/12 ASSOCIATED BANC-CORP WI 8.01,9.01 01/26/12 ASTORIA FINANCIAL CORP DE 2.02,8.01,9.01 01/25/12 AT&T INC. DE 2.02,9.01 01/26/12 AT&T INC. DE 8.01,9.01 01/25/12 Atrinsic, Inc. DE 2.01 01/23/12 AUSTRALIAN CANADIAN OIL ROYALTIES LTD A1 8.01,9.01 01/20/12 AUTONATION, INC. DE 2.02,9.01 01/26/12 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 01/26/12 AVNET INC NY 2.02,9.01 01/26/12 BALL CORP IN 2.02,5.03,8.01,9.01 01/25/12 BANNER CORP WA 2.02,9.01 01/25/12 BAXTER INTERNATIONAL INC DE 2.02,9.01 01/26/12 Bella Petrellas Holdings, Inc. FL 5.02 01/23/12 Beneficial Mutual Bancorp Inc X1 2.02,9.01 01/26/12 BERKSHIRE INCOME REALTY, INC. 5.02 01/26/12 BillMyParents, Inc. CO 5.02 01/25/12 BIMINI CAPITAL MANAGEMENT, INC. MD 1.01 01/26/12 BioScrip, Inc. DE 1.01,9.01 01/24/12 BIOSPECIFICS TECHNOLOGIES CORP DE 7.01,9.01 01/25/12 BJs RESTAURANTS INC CA 8.01,9.01 01/26/12 BLUE NILE INC DE 5.02 01/20/12 Bonds.com Group, Inc. DE 4.01 01/20/12 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 2.02,8.01,9.01 01/26/12 BOTETOURT BANKSHARES INC VA 8.01 01/26/12 BRIGGS & STRATTON CORP WI 2.02,2.05,2.06,9.01 01/25/12 BRINKS CO VA 2.02,9.01 01/26/12 BRINKS CO VA 1.01,2.03,9.01 01/24/12 BRISTOL MYERS SQUIBB CO DE 2.02,9.01 01/26/12 BROADVISION INC DE 2.02,9.01 01/26/12 BRUNSWICK CORP DE 2.02,9.01 01/26/12 CA, INC. DE 1.01,7.01,9.01 01/26/12 CABOT MICROELECTRONICS CORP DE 2.02,9.01 01/26/12 CAMAC Energy Inc. DE 7.01,9.01 01/23/12 Capitol Federal Financial Inc MD 5.02,5.07,7.01,8.01, 01/23/12 9.01 CARBO CERAMICS INC DE 2.02,9.01 01/26/12 CASH AMERICA INTERNATIONAL INC TX 2.02,7.01,9.01 01/26/12 CASS INFORMATION SYSTEMS INC MO 2.02,8.01,9.01 01/26/12 CATERPILLAR FINANCIAL SERVICES CORP DE 2.02,9.01 01/26/12 CATERPILLAR INC DE 2.02,9.01 01/26/12 CATERPILLAR INC DE 7.01 01/26/12 CELADON GROUP INC DE 2.02,8.01,9.01 01/25/12 CELADON GROUP INC DE 5.02 01/24/12 CELGENE CORP /DE/ DE 2.02,8.01,9.01 01/26/12 Cellceutix CORP NV 3.02,8.01 01/03/12 CEPHEID CA 2.02,9.01 01/26/12 CHEMICAL FINANCIAL CORP MI 2.02,9.01 01/26/12 CHENIERE ENERGY INC DE 1.01,8.01,9.01 01/25/12 Cheniere Energy Partners, L.P. DE 1.01,8.01,9.01 01/25/12 CHINA FUND INC MD 7.01,9.01 12/31/11 CHUBB CORP NJ 2.02,9.01 01/26/12 CIRRUS LOGIC INC DE 2.02,7.01,9.01 01/26/12 CITIGROUP INC DE 9.01 01/26/12 CITIZENS FIRST CORP KY 2.02,7.01,9.01 01/26/12 CITIZENS REPUBLIC BANCORP, INC. MI 2.02,9.01 01/26/12 CITIZENS SOUTH BANKING CORP DE 5.02,9.01 01/23/12 Clearfield, Inc. MN 2.02,9.01 01/26/12 CLEVELAND BIOLABS INC DE 5.02,7.01,9.01 01/23/12 CLOUD PEAK ENERGY INC. DE 7.01,8.01,9.01 01/26/12 COBIZ FINANCIAL INC CO 2.02,9.01 01/26/12 COFFEE HOLDING CO INC NV 2.02,9.01 01/26/12 COLGATE PALMOLIVE CO DE 2.02,5.02,9.01 01/26/12 COLONIAL PROPERTIES TRUST AL 2.02,7.01,9.01 01/26/12 COMMERCE BANCSHARES INC /MO/ MO 5.02 01/24/12 COMMUNITY TRUST BANCORP INC /KY/ KY 1.01,5.02,8.01,9.01 01/24/12 COMPUTER PROGRAMS & SYSTEMS INC DE 2.02,9.01 01/26/12 CONSOL Energy Inc DE 2.02,7.01,9.01 01/26/12 CONSOLIDATED TOMOKA LAND CO FL 5.02,5.05,9.01 01/25/12 CONSUMERS BANCORP INC /OH/ OH 2.02,9.01 01/26/12 Converted Organics Inc. DE 4.01 01/25/12 COPsync, Inc. DE 4.01,9.01 01/20/12 Covidien plc 2.02,9.01 01/26/12 CROSSROADS SYSTEMS INC DE 1.01,2.03,9.01 11/09/11 CTS CORP IN 2.02,9.01 01/25/12 CVR PARTNERS, LP DE 7.01,9.01 01/26/12 CYPRESS SEMICONDUCTOR CORP /DE/ DE 2.02,9.01 01/26/12 CYS Investments, Inc. MD 8.01 01/26/12 DATAWATCH CORP DE 2.02,5.02,9.01 01/24/12 DAWSON GEOPHYSICAL CO TX 7.01,9.01 01/26/12 DEL MONTE CORP 5.02 01/20/12 Delek US Holdings, Inc. 2.02,9.01 01/26/12 Delphi Automotive PLC Y9 2.02,9.01 01/26/12 DELUXE CORP MN 2.02,9.01 01/26/12 Destination Maternity Corp DE 2.02,5.07,8.01,9.01 01/20/12 DEVRY INC DE 2.02,9.01 01/26/12 DFC GLOBAL CORP. DE 2.02,9.01 01/26/12 DIME COMMUNITY BANCSHARES INC DE 2.02,9.01 01/26/12 Domtar CORP DE 8.01,9.01 01/26/12 Douglas Lake Minerals Inc. NV 7.01,9.01 01/26/12 DOVER DOWNS GAMING & ENTERTAINMENT IN DE 2.02,7.01,9.01 01/26/12 DOVER MOTORSPORTS INC DE 2.02,7.01,9.01 01/26/12 DRINKS AMERICAS HOLDINGS, LTD DE 3.02 01/19/12 AMEND DYNEX CAPITAL INC VA 2.02 01/26/12 EASTMAN CHEMICAL CO DE 2.02,9.01 12/31/11 EATON CORP OH 2.02,9.01 01/26/12 ELECTRO SCIENTIFIC INDUSTRIES INC OR 2.02,9.01 01/26/12 EMERITUS CORP\WA\ WA 5.02,9.01 01/24/12 EMULEX CORP /DE/ DE 2.02,9.01 01/26/12 ENB Financial Corp PA 8.01,9.01 01/25/12 ENER1 INC FL 1.01,1.03,2.04,5.02, 01/25/12 7.01,9.01 ENERGEN CORP AL 2.02,7.01,9.01 01/25/12 ENOVA SYSTEMS INC CA 5.02 01/20/12 EnteroMedics Inc 2.02,8.01,9.01 01/26/12 ENTREMED INC DE 1.01,2.03,3.02,5.02, 01/20/12 8.01,9.01 EPICEPT CORP 7.01,8.01,9.01 01/23/12 EQT Corp PA 2.02,9.01 01/26/12 EVANS BANCORP INC NY 5.02 01/24/12 Excel Trust, Inc. MD 8.01,9.01 01/20/12 Excel Trust, Inc. MD 1.01,3.02 01/23/12 Expedia, Inc. 2.02,9.01 01/26/12 FAIR ISAAC CORP DE 2.02,9.01 01/26/12 FAIR ISAAC CORP DE 5.02,9.01 01/24/12 FAR EAST ENERGY CORP NV 5.02 01/26/12 Federal Home Loan Bank of Atlanta X1 2.03 01/26/12 Federal Home Loan Bank of Boston X1 2.03 01/23/12 Federal Home Loan Bank of Chicago X1 2.03 01/23/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 01/24/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/24/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 01/26/12 Federal Home Loan Bank of New York X1 2.03,9.01 01/23/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 01/23/12 Federal Home Loan Bank of San Francis X1 2.03 01/24/12 Federal Home Loan Bank of Seattle 2.03 01/23/12 FIRST BUSEY CORP /NV/ NV 2.02,9.01 01/26/12 AMEND First California Financial Group, Inc DE 9.01 01/26/12 FIRST CHINA PHARMACEUTICAL GROUP, INC NV 2.02,9.01 01/26/12 FIRST MERCHANTS CORP IN 9.01 01/26/12 FIRST MERCHANTS CORP IN 2.02,9.01 01/26/12 FIRST NIAGARA FINANCIAL GROUP INC DE 2.02,9.01 01/26/12 FIRST NIAGARA FINANCIAL GROUP INC DE 7.01,9.01 01/26/12 FIRST RESOURCES CORP NV 8.01 11/01/11 First Savings Financial Group Inc IN 2.02,9.01 01/25/12 First Titan Corp. FL 2.01 01/03/12 FIRSTENERGY CORP OH 2.05,2.06,9.01 01/24/12 FIRSTENERGY CORP OH 2.02,9.01 01/26/12 FLAGSTAR BANCORP INC MI 2.02,5.02,7.01,8.01, 01/24/12 9.01 Ford Credit Auto Owner Trust 2012-A DE 1.01,9.01 01/25/12 Fortress International Group, Inc. DE 5.02,9.01 01/20/12 FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 2.02,5.05,9.01 01/25/12 Freescale Semiconductor Holdings I, L D0 2.02,9.01 01/26/12 GDT TEK, Inc. 5.02,8.01 01/06/12 GENETHERA INC FL 5.02 01/25/12 GeoMet, Inc. DE 2.06,9.01 11/18/11 AMEND GLADSTONE COMMERCIAL CORP MD 1.01,3.03,5.03,7.01, 01/25/12 9.01 Global Ecology Corp NV 8.01 01/26/12 GLOBAL PAYMENTS INC GA 5.03 01/26/12 GRANITE CITY FOOD & BREWERY LTD MN 3.01,9.01 01/23/12 GREEN DOT CORP DE 2.02,9.01 01/26/12 GSI TECHNOLOGY INC 2.02,9.01 01/26/12 GSI TECHNOLOGY INC 8.01,9.01 01/26/12 GUARANTY FEDERAL BANCSHARES INC DE 2.02,9.01 01/25/12 HALF ROBERT INTERNATIONAL INC /DE/ DE 2.02,9.01 01/26/12 HALLADOR ENERGY CO CO 7.01 01/25/12 HANOVER INSURANCE GROUP, INC. DE 5.02 01/20/12 HARSCO CORP DE 2.02,9.01 01/26/12 Heritage Financial Group Inc MD 2.02,9.01 01/26/12 HEXCEL CORP /DE/ DE 5.02,9.01 12/05/11 Hill-Rom Holdings, Inc. IN 2.02,9.01 01/26/12 HOLLY ENERGY PARTNERS LP DE 7.01,9.01 01/25/12 HOME BANCORP, INC. LA 2.02,9.01 01/26/12 HOST HOTELS & RESORTS, INC. MD 1.01,5.02,9.01 01/20/12 HUBBELL INC CT 2.02,9.01 01/26/12 HUTCHINSON TECHNOLOGY INC MN 5.02,5.07 01/25/12 IBERIABANK CORP LA 5.03,9.01 01/23/12 iBio, Inc. DE 3.01 01/25/12 IGATE CORP PA 8.01,9.01 01/25/12 ILLUMINA INC DE 1.01,3.03,5.03,8.01, 01/26/12 9.01 IMH Financial Corp DE 2.02,7.01,9.01 01/25/12 Indigo International, Corp. NV 1.01,2.03,9.01 01/20/12 INFORMATICA CORP DE 2.02,8.01,9.01 01/26/12 INNOVATIVE SOLUTIONS & SUPPORT INC PA 2.02,9.01 01/25/12 INSIGHT ENTERPRISES INC DE 5.02,9.01 01/19/12 INTEGRATED BIOPHARMA INC 1.01,9.01 01/20/12 INTERMOUNTAIN COMMUNITY BANCORP ID 3.02,3.03,5.02,5.03, 01/20/12 7.01,9.01 INTERNATIONAL SPEEDWAY CORP FL 2.02,7.01,8.01,9.01 01/26/12 InvenSense Inc DE 2.02,9.01 01/26/12 Invesco Ltd. D0 2.02,9.01 01/26/12 ITT EDUCATIONAL SERVICES INC DE 2.02,9.01 01/26/12 JACOBS ENGINEERING GROUP INC /DE/ DE 2.02 01/25/12 JANUS CAPITAL GROUP INC DE 2.02,5.02,8.01,9.01 01/23/12 JDS UNIPHASE CORP /CA/ DE 1.01,2.03,9.01 01/20/12 JETBLUE AIRWAYS CORP DE 2.02,9.01 01/26/12 JETBLUE AIRWAYS CORP DE 7.01,9.01 01/26/12 JONES GROUP INC PA 5.02 01/23/12 JUNIPER NETWORKS INC DE 2.02,9.01 01/26/12 Kallo Inc. NV 1.01,9.01 01/26/12 KBS Strategic Opportunity REIT, Inc. MD 2.01,9.01 11/22/11 AMEND KENNAMETAL INC PA 2.02,5.03,9.01 01/24/12 KEY TECHNOLOGY INC OR 2.02,9.01 01/26/12 KID BRANDS, INC NJ 1.01,2.04 01/20/12 KLA TENCOR CORP DE 2.02,9.01 01/26/12 KOSS CORP DE 2.02,9.01 01/26/12 KROGER CO OH 1.01,9.01 01/25/12 LACLEDE GROUP INC MO 2.02,7.01,9.01 01/26/12 LACLEDE GROUP INC MO 7.01,9.01 01/26/12 LACLEDE GROUP INC MO 5.02,5.07,7.01,8.01, 01/26/12 9.01 Lake Shore Bancorp, Inc. X1 8.01 01/25/12 LAMAR ADVERTISING CO/NEW DE 7.01,8.01,9.01 01/26/12 LANCASTER COLONY CORP OH 2.02,9.01 01/26/12 LATTICE SEMICONDUCTOR CORP DE 2.02,9.01 01/26/12 LBI MEDIA HOLDINGS INC 5.02,7.01,9.01 01/20/12 LCNB CORP OH 2.02,8.01,9.01 12/31/11 LEAP WIRELESS INTERNATIONAL INC DE 5.02 01/20/12 LEE ENTERPRISES, INC DE 1.03,7.01,8.01,9.01 01/20/12 LIFE PARTNERS HOLDINGS INC TX 5.07,8.01,9.01 01/24/12 LIGAND PHARMACEUTICALS INC DE 1.01,2.03,8.01,9.01 01/23/12 Lightwave Logic, Inc. NV 7.01 01/26/12 LNB BANCORP INC OH 2.02,9.01 01/26/12 LOCKHEED MARTIN CORP MD 2.02,9.01 01/26/12 LOGITECH INTERNATIONAL SA 2.02,9.01 01/25/12 LSI INDUSTRIES INC OH 2.02,9.01 01/26/12 Magyar Bancorp, Inc. DE 2.02,9.01 01/26/12 MAINSOURCE FINANCIAL GROUP IN 2.02,9.01 01/26/12 MANAGEMENT NETWORK GROUP INC 1.01,3.03,5.02,5.03, 01/25/12 7.01,9.01 Max Sound Corp DE 1.01,3.02,7.01,9.01 01/26/12 MAXIM INTEGRATED PRODUCTS INC DE 2.02,9.01 01/26/12 MAXYGEN INC DE 8.01 01/26/12 MBT FINANCIAL CORP MI 2.02,9.01 01/26/12 MCCORMICK & CO INC MD 2.02,9.01 01/26/12 MCDERMOTT INTERNATIONAL INC R1 5.02 01/26/12 Mead Johnson Nutrition Co DE 2.02,9.01 01/26/12 MEADOWBROOK INSURANCE GROUP INC MI 7.01,8.01,9.01 01/25/12 MEDIA GENERAL INC VA 2.02,9.01 01/26/12 MERCER INTERNATIONAL INC. WA 1.01,9.01 01/20/12 MERCHANTS BANCSHARES INC DE 2.02,9.01 01/25/12 MICREL INC CA 2.02,9.01 01/26/12 MICRON TECHNOLOGY INC DE 5.02,5.03,5.07,9.01 01/20/12 MICROS SYSTEMS INC MD 2.02,5.02,9.01 11/18/11 MICROSEMI CORP DE 2.02,9.01 01/26/12 MICROVISION INC DE 5.02 01/23/12 MID PENN BANCORP INC PA 2.02,8.01,9.01 01/25/12 MidWestOne Financial Group, Inc. IA 2.02,9.01 01/26/12 Milwaukee Iron Arena Football, Inc 4.01,9.01 01/25/12 AMEND ModusLink Global Solutions Inc DE 5.07 01/20/12 MOLINA HEALTHCARE INC DE 7.01,9.01 01/26/12 MONRO MUFFLER BRAKE INC NY 2.02,9.01 01/24/12 MONSTER WORLDWIDE, INC. DE 2.02,2.05,9.01 01/24/12 Monza Ventures Inc. NV 5.02 01/09/12 Motorola Mobility Holdings, Inc 2.02,9.01 01/26/12 MURPHY OIL CORP /DE DE 2.02,9.01 01/25/12 Narnia Corp. NV 8.01 01/25/12 NATIONAL PENN BANCSHARES INC PA 2.02,7.01,9.01 01/26/12 NATIONAL PENN BANCSHARES INC PA 2.02,7.01,9.01 01/26/12 NAUTILUS, INC. WA 5.02 01/20/12 NeoStem, Inc. DE 7.01,8.01,9.01 01/25/12 NET 1 UEPS TECHNOLOGIES INC 1.01,3.02,5.02,9.01 01/26/12 New Enterprise Stone & Lime Co., Inc. DE 1.01,2.03,9.01 01/24/12 NEW JERSEY RESOURCES CORP NJ 5.07 01/25/12 NEWBRIDGE BANCORP NC 2.02,9.01 01/26/12 NGL Energy Partners LP DE 3.03,5.03,9.01 01/20/12 NORTHWEST INDIANA BANCORP IN 2.02,9.01 01/26/12 NSTAR/MA 2.02,9.01 01/26/12 NUCOR CORP DE 2.02,9.01 01/26/12 NUTRACEUTICAL INTERNATIONAL CORP DE 2.02,5.07,9.01 01/23/12 Nuveen Diversified Commodity Fund DE 7.01,9.01 01/26/12 NVR INC VA 2.02,9.01 01/26/12 Oak Valley Bancorp CA 2.02,7.01,9.01 01/23/12 OCLARO, INC. DE 2.02,9.01 01/26/12 OLD NATIONAL BANCORP /IN/ IN 8.01,9.01 01/26/12 OMNICELL, Inc CA 2.02,9.01 01/26/12 ON SEMICONDUCTOR CORP DE 5.05,9.01 01/25/12 ONEOK INC /NEW/ OK 1.01,2.03,7.01,9.01 01/23/12 Orexigen Therapeutics, Inc. DE 5.02 01/20/12 ORRSTOWN FINANCIAL SERVICES INC PA 2.02,9.01 01/25/12 OUTDOOR CHANNEL HOLDINGS INC 1.01,5.02 01/25/12 OUTDOOR CHANNEL HOLDINGS INC 5.02 01/25/12 AMEND OVERSTOCK.COM, INC DE 5.02,8.01 01/24/12 OWENS ILLINOIS INC /DE/ DE 5.02,9.01 01/25/12 PALADIN REALTY INCOME PROPERTIES INC MD 5.02 01/22/12 PC TEL INC DE 8.01,9.01 01/25/12 PENNS WOODS BANCORP INC PA 2.02,9.01 01/23/12 PEOPLES BANCORP INC OH 8.01 01/26/12 PETROLEUM DEVELOPMENT CORP NV 2.02,7.01,9.01 01/26/12 PINNACLE AIRLINES CORP DE 1.01,9.01 01/20/12 POPULAR INC 2.02,9.01 01/25/12 POSITIVEID Corp DE 8.01,9.01 01/24/12 POTASH CORP OF SASKATCHEWAN INC Z4 2.02,9.01 01/26/12 PRECISION CASTPARTS CORP OR 2.02,9.01 01/26/12 PRESSTEK INC /DE/ DE 5.02 01/26/12 PRICESMART INC DE 8.01,9.01 01/26/12 Protalix BioTherapeutics, Inc. FL 7.01,9.01 01/26/12 PSB HOLDINGS INC /WI/ WI 2.02,9.01 01/26/12 PSS WORLD MEDICAL INC FL 2.02,7.01,9.01 01/26/12 PVF CAPITAL CORP OH 2.02,9.01 01/26/12 Q LOTUS HOLDINGS INC NV 1.01,2.03,9.01 01/05/12 QLOGIC CORP DE 2.02,9.01 01/26/12 QNB CORP PA 2.02,9.01 01/26/12 QUALITY SYSTEMS, INC CA 2.02,8.01,9.01 01/25/12 RAIT Financial Trust MD 5.02,8.01,9.01 01/24/12 RAMBUS INC DE 2.02,9.01 01/26/12 RAYTHEON CO/ DE 2.02,9.01 01/26/12 REALOGY CORP DE 1.01,8.01,9.01 01/25/12 Redpoint Bio CORP 5.02,9.01 01/20/12 Regency Energy Partners LP DE 7.01,8.01 01/26/12 REGIS CORP MN 2.02,9.01 01/26/12 REPUBLIC AIRWAYS HOLDINGS INC DE 2.06 01/25/12 RESMED INC DE 1.01,9.01 01/25/12 RESMED INC DE 2.02,9.01 01/26/12 RFS HOLDING LLC 1.01,9.01 01/25/12 RIGHTNOW TECHNOLOGIES INC MT 2.01,3.01,3.03,5.01, 01/25/12 5.02,5.03,9.01 RIGHTNOW TECHNOLOGIES INC MT 1.01,2.04,8.01,9.01 01/25/12 RIMAGE CORP MN 2.02,9.01 01/23/12 Riverbed Technology, Inc. DE 2.02,9.01 01/26/12 Riverview Financial Corp PA 5.02,8.01,9.01 01/18/12 RSC Holdings Inc. DE 2.02,9.01 01/26/12 RYLAND GROUP INC MD 2.02,9.01 01/26/12 Sandalwood Ventures NV 5.03,9.01 01/23/12 SANDERSON FARMS INC MS 5.02,9.01 01/24/12 SANDY SPRING BANCORP INC MD 2.02,9.01 01/26/12 SCANSOURCE INC SC 2.02,9.01 01/26/12 SCHNITZER STEEL INDUSTRIES INC OR 5.07 01/25/12 SCHWAB CHARLES CORP DE 3.03,5.03,8.01,9.01 01/24/12 SEARS HOLDINGS CORP DE 5.02 01/25/12 SEMTECH CORP DE 9.01 01/23/12 AMEND Seneca Foods Corp NY 2.02,9.01 01/26/12 SEQUENOM INC DE 8.01 01/24/12 Sequoia Mortgage Trust 2012-1 8.01,9.01 01/25/12 Sequoia Mortgage Trust 2012-1 8.01,9.01 01/01/12 SHAW GROUP INC LA 5.02,9.01 01/23/12 SHERWIN WILLIAMS CO OH 2.02,8.01,9.01 01/26/12 SHORE BANCSHARES INC MD 2.02,9.01 01/25/12 SimplePons, Inc. DE 3.02,5.02,9.01 01/20/12 SLM CORP DE 8.01,9.01 01/26/12 SOMERSET HILLS BANCORP NJ 2.02,9.01 01/26/12 SONIC FOUNDRY INC MD 2.02,9.01 01/26/12 Sowa Jisho International Inc. DE 5.03,9.01 01/19/12 AMEND Spansion Inc. DE 2.02,9.01 01/26/12 SPECTRUM PHARMACEUTICALS INC DE 7.01 01/26/12 STANLEY BLACK & DECKER, INC. CT 2.02,9.01 01/25/12 STARBUCKS CORP WA 2.02,9.01 01/26/12 STELLAR PHARMACEUTICALS INC 7.01,9.01 01/26/12 STERLING GROUP VENTURES INC NV 8.01 01/26/12 STEVEN MADDEN, LTD. DE 1.01,9.01 01/20/12 STRATTEC SECURITY CORP WI 2.02,9.01 01/26/12 STREAMLINE HEALTH SOLUTIONS INC. DE 8.01 01/24/12 Summer Infant, Inc. DE 5.02,7.01,9.01 01/23/12 SUN RIVER ENERGY, INC CO 1.01,9.01 01/20/12 SUNGARD CAPITAL CORP DE 2.01,9.01 01/20/12 SUNOCO LOGISTICS PARTNERS L.P. DE 2.02,7.01,9.01 01/26/12 SUREWEST COMMUNICATIONS CA 8.01,9.01 01/26/12 SVB FINANCIAL GROUP 2.02,9.01 01/26/12 SYMANTEC CORP DE 5.02,9.01 01/23/12 SYNAPTICS INC DE 2.02,9.01 01/26/12 SYNTA PHARMACEUTICALS CORP 1.01 01/23/12 Tanke Biosciences Corp NV 4.01,8.01,9.01 01/20/12 Targa Resources Partners LP DE 8.01,9.01 01/26/12 TARGET CORP MN 1.02 01/26/12 TECHE HOLDING CO LA 5.07 01/25/12 TELEDYNE TECHNOLOGIES INC DE 2.02,5.02,9.01 01/24/12 TeleNav, Inc. DE 2.02,9.01 01/26/12 TELEPHONE & DATA SYSTEMS INC /DE/ DE 3.01,3.02,3.03,5.02, 01/24/12 5.03,8.01,9.01 TERADYNE, INC MA 2.02,9.01 01/25/12 TESSERA TECHNOLOGIES INC DE 2.02,8.01,9.01 01/26/12 TEXTRON INC DE 5.02 01/20/12 TF FINANCIAL CORP DE 2.02,9.01 01/26/12 TIMBERLAND BANCORP INC WA 5.07 01/24/12 TIME WARNER CABLE INC. DE 2.02,9.01 01/26/12 TIMKEN CO OH 2.02 01/26/12 TOMPKINS FINANCIAL CORP NY 1.01,2.02,5.02,8.01, 01/24/12 9.01 TORON INC. NV 1.01,9.01 01/25/12 TOWER FINANCIAL CORP IN 2.02,9.01 01/26/12 TRANSCAT INC OH 2.02,9.01 01/23/12 Transcept Pharmaceuticals Inc DE 5.02 01/24/12 Trius Therapeutics Inc DE 1.01,9.01 01/26/12 UAN Power Corp DE 4.01,5.02,9.01 01/12/12 AMEND ULTRATECH INC DE 2.02,9.01 01/26/12 Under Armour, Inc. MD 2.02,9.01 01/26/12 UNITED BANKSHARES INC/WV WV 2.02,9.01 01/26/12 UNITED COMMUNITY BANKS INC GA 2.02,5.02,9.01 01/19/12 United Continental Holdings, Inc. DE 2.02,7.01,9.01 01/26/12 UNITED STATIONERS INC DE 1.01,9.01 01/20/12 URANIUM ENERGY CORP NV 1.01,9.01 01/20/12 US ENERGY CORP WY 2.01,2.06,9.01 01/20/12 US Highland, Inc. OK 1.01,3.02,9.01 09/20/11 VALLEY NATIONAL BANCORP NJ 2.02,9.01 01/26/12 Vanda Pharmaceuticals Inc. DE 7.01,9.01 01/26/12 VERISIGN INC/CA DE 2.02,9.01 01/26/12 VirtualScopics, Inc. DE 1.01,9.01 01/24/12 VISTAPRINT N.V. P7 2.02,9.01 01/26/12 WARREN RESOURCES INC MD 7.01,9.01 01/26/12 WATSON PHARMACEUTICALS INC NV 1.01,2.01,9.01 01/23/12 WELLS REAL ESTATE FUND XIII L P 1.01 01/24/12 Wesco Aircraft Holdings, Inc 2.02,9.01 01/26/12 WESCO INTERNATIONAL INC 2.02 01/26/12 WESTAMERICA BANCORPORATION CA 8.01,9.01 01/26/12 WESTFIELD FINANCIAL INC MA 2.02,9.01 01/25/12 AMEND Woodward, Inc. DE 8.01 01/25/12 Woodward, Inc. DE 5.07 01/25/12 World Surveillance Group Inc. DE 3.02,8.01 01/26/12 WSFS FINANCIAL CORP DE 2.02,9.01 01/26/12 YADKIN VALLEY FINANCIAL CORP NC 2.02,9.01 01/26/12 YORK WATER CO PA 5.03,9.01 01/23/12 ZIMMER HOLDINGS INC DE 2.02,9.01 01/26/12
http://www.sec.gov/news/digest/2012/dig012712.htm
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