Commission Revokes Registrations of Securities of PPOL, Inc. For Failure to Make Required Periodic Filings
On February 6, 2012, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the registration of each class of registered securities of PPOL, Inc. (PPLI) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, PPLI consented to the entry of an Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of PPLI’s securities pursuant to Section 12(j) of the Exchange Act.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
(Rel. 34-66323; File No. 3-14743)
In the Matter of Steven R. Long
In the Matter of Stanley M. Paulic
On February 6, 2012, the Securities and Exchange Commission (Commission) issued Orders Making Findings and Imposing Remedial Sanctions (Orders) against Steven R. Long and Stanley M. Paulic. The Orders are based on the entry of permanent injunctions against Long and Paulic, in United States Securities and Exchange Commission v. Integrity Financial AZ, LLC, et al., Civil Action No. 10-CV-782 (SO) (N.D. Ohio), enjoining each of them from violating the securities registration, anti-fraud, and broker registration provisions of the federal securities laws. The Commission’s complaint in that litigation alleged that Long and Paulic offered and sold unregistered securities in the form of promissory notes purportedly secured by real estate and that they made multiple fraudulent misrepresentations and omissions in connection with those offerings and sales. The complaint also alleged that Long and Paulic acted as unregistered brokers.
Long and Paulic consented to issuance of the Orders, without admitting or denying the Commission’s findings, except as to the entry of the final judgments, which they admitted. The Orders bar Long and Paulic from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and from participating in any offering of a penny stock. (Steven R. Long – 34-66330; File No. 3-14662 and Stanley M. Paulic – Rel. 34-66329; File No. 3-14663)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Nine Public Companies For Failure to Make Required Periodic Filings
Today the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of nine companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the nine 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 Administrative Law 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 Administrative Law 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. 34-66331; File No. 3-14744)
In the Matter of Arthur Lin
On February 6, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Arthur Lin (Lin).
The Order finds that on January 25, 2012, a final judgment was entered by consent against Lin, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Arthur Lin, et al., Civil Action Number 11-cv-08803, in the United States District Court for the Northern District of Illinois.
The Commission’s complaint alleges, among other things, that between September 2006 and December 2008, Lin, acting as an unregistered broker, sold at least $5,360,000 in unregistered promissory notes issued by Malarz Equity Investments, LLC to at least 20 investors, including 15 LPL Financial, LLC customers. The complaint further alleges that Lin knowingly or recklessly made material misrepresentations or omitted to state material facts to investors regarding the risks of the investments and the use of investor funds.
Based on the above, the Order bars Lin from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and from participating in any offering of a penny stock. Lin consented to the issuance of the Order without admitting or denying the findings in the Commission’s Order. (Rel. 34-66332; IA-3367; File No. 3-14745)
In the Matter of Christopher T. Vulliez
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Christopher T. Vulliez. The Order finds that Vulliez is the President and Managing Member and controlling person of Amphor Advisors, LLC (Amphor), an unregistered investment adviser located in New York, New York.
The Order further finds that, on December 7, 2011, Vulliez pled guilty to, inter alia, one count of Scheme to Defraud in the First Degree in violation of Penal Law §190.65(1)(b) and ten counts of Securities Fraud in violation of General Business Law § 352-C(6), before the Supreme Court of the State of New York for the County of New York in The People of the State of New York v. Christopher T. Vulliez, Superior Court Information No. 5556/2011, Docket No. 2011NY087021. The counts of the criminal information to which Vulliez pled guilty alleged, inter alia, that Vulliez intentionally engaged in fraud by means of materially false representations and statements with intent to deceive and defraud and thereby wrongfully obtained property from them.
The Order further finds that, on January 30, 2012, a final judgment was entered by consent against Christopher T. Vulliez, permanently enjoining him from future violations of 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2) and 206(4) of the Advisers Act and Rule 206(4)-8 thereunder, in the civil action entitled Securities and Exchange Commission v. Christopher T. Vulliez, et al., Civil Action Number 11-CV-3458, in the United States District Court for the Southern District of New York.
Based on the above, the Order bars Christopher T. Vulliez from association with an investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent or nationally recognized statistical rating organization. Christopher T. Vulliez consented to the issuance of the Order. (Rel. IA-3368; File No. 3-14746)
In the Matter of Locke Capital Management, Inc.
An Administrative Law Judge has issued an Initial Decision (Decision) in Locke Capital Management, Inc., Admin. Proc. No. 3-14457. On June 30, 2011, the U. S. District Court for the District of Rhode Island entered a final default judgment against Locke Capital Management, Inc. (Locke), permanently enjoining it from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 204, 204A, 206(1), 206(2), 206(4), and 207 of the Investment Advisers Act of 1940 (Advisers Act) and Rules 204-2(a)(6), 204-2(a)(8), 204-2(a)(10), 204-2(a)(15), 204-2(a)(16), 204A-1, and 206(4)-1(a)(5) thereunder, as a result of Locke’s fraudulent misrepresentations regarding the nature and amount of its assets under management.
Based on the final judgment entered against Locke, the Decision bars Locke from acting as an investment adviser, pursuant to Section 203(e) of the Advisers Act. (Initial Decision No. 450; File No. 3-14457)
SEC Charges Smith & Nephew plc With Foreign Bribery
The Securities and Exchange Commission today announced a settlement with Smith & Nephew plc to resolve SEC charges that the global medical device company violated the Foreign Corrupt Practices Act (FCPA) when its subsidiaries bribed public doctors in Greece for more than a decade. Smith & Nephew plc, headquartered in London, England, is a global medical device company with operations around the world.
The SEC alleges that, from 1997 to June 2008, two of Smith & Nephew plc’s subsidiaries, including its U.S. subsidiary, Smith & Nephew Inc., used a distributor to create a slush fund to make illicit payments to public doctors employed by government hospitals or agencies in Greece. Smith & Nephew plc agreed to settle the SEC’s charges by paying more than $5.4 million in disgorgement and prejudgment interest. Smith & Nephew plc’s U.S. subsidiary, Smith & Nephew Inc., agreed to pay a $16.8 million fine to settle parallel criminal charges announced by the U.S. Department of Justice today.
The SEC’s complaint alleges that, starting in 1997, Smith & Nephew plc’s subsidiaries developed a scheme to create an offshore fund to pay Greek public doctors to purchase products from two Smith & Nephew plc subsidiaries, Smith & Nephew Inc. and Smith & Nephew GmbH. According to the complaint, Smith & Nephew plc’s subsidiaries made payments to a total of three shell entities in the United Kingdom controlled by the distributor that were used to pay bribes. The complaint alleges that on paper, it appeared as if Smith & Nephew plc’s subsidiaries were paying for marketing services, but no services were actually performed. The complaint also alleges that Smith & Nephew plc failed to act on numerous red flags of bribery and that employees at Smith & Nephew plc and its subsidiaries were aware of the payments.
Smith & Nephew plc has consented, without admitting or denying the SEC’s allegations, to the entry of a court order permanently enjoining it from future violations of Sections 30A, 13(b)(2)(A), and 13(b)(2)(B) of the Securities Exchange Act of 1934; ordering it to pay $4,028,000 in disgorgement and $1,398,799 in prejudgment interest; and ordering it to retain an independent compliance monitor for a period of eighteen months to review its FCPA compliance program.
The SEC acknowledges the assistance of the U.S. Department of Justice, Fraud Section and the Federal Bureau of Investigation. The SEC's investigation into the medical device industry is continuing. [SEC v. Smith & Nephew plc, Civil Action No. 1: 12-CV-00187 (D.D.C.)(GK)] (LR-22252; AAE Rel. 3363)
Eleventh Circuit Court of Appeals Affirms the Court’s Findings and Remedies Imposed Against W. Anthony Huff
The United States Court of Appeals for the Eleventh Circuit has affirmed a federal magistrate’s findings that W. Anthony Huff violated the antifraud provisions of the federal securities laws by carrying out a fraudulent scheme that allowed Huff to unlawfully receive millions of dollars from a Fort Lauderdale professional employment company. In addition, the Eleventh Circuit affirmed the remedies the magistrate imposed.
On September 20, 2010 and reaffirmed on December 17, 2010, the Honorable Robin S. Rosenbaum, United States Magistrate Judge for the Southern District of Florida, found Huff liable for violating Sections 10(b) and 20(a) and Rule 10b-5 of the Securities Exchange Act of 1934 and Section 17(a) of the Securities Act of 1933, and aiding and abetting other violations of the federal securities laws in connection with Huff’s involvement with Certified Services, Inc., formerly located in Fort Lauderdale. The magistrate ordered Huff to pay disgorgement of more than $10 million, representing illegally obtained monies, prejudgment interest of approximately $3 million, and a civil penalty of $600,000. The opinion followed a seven-day bench trial in February 2010.
The magistrate also enjoined Huff from further violating certain provisions of the federal securities laws and rules and barred him from serving as an officer or director of any publicly traded company. In addition to the disgorgement and penalty order against Huff, the Court ordered Relief Defendants Sheri Huff to disgorge $3.8 million and Midwest Merger Management, LLC to disgorge more than $10 million, representing illegally obtained monies, and held Huff jointly and severally liable with Sheri Huff and Midwest. [SEC, Appellee v. W. Anthony Huff, Defendant-Appellant, and Sheri Huff and Midwest Merger Management, LLC, Relief Defendants-Appellants, United States Court of Appeals for the Eleventh Circuit, Appeal No. 11-10758; SEC v. W. Anthony Huff, et al., 08-CV-60315-Rosenbaum (S.D. FL)] (LR-22253)
SEC Charges Kenneth. Dachman For Orchestrating a Misappropriation Scheme and Offering Fraud
On February 6, 2012, the Securities and Exchange Commission charged Glencoe, Illinois resident Kenneth A. Dachman with misappropriating over $1.8 million in investor funds and making false and misleading statements to investors in offerings for three companies for which he was the Chairman – Central Sleep Diagnostics, LLC (Central Sleep), Central Sleep Diagnostics of Florida, LLC (Central Sleep Florida), and Advanced Sleep Devices, LLC (Advanced Sleep). The SEC also charged Scott A. Wolf and his company, Stone Lion Management, Inc., the brokers for the three offerings, for their roles in selling unregistered securities to investors.
Filed in the U.S. District Court for the Northern District of Illinois, the SEC’s complaint alleges that between July 2008 and June 2010, Dachman raised at least $3,594,709 from investors located in 13 states and 12 foreign countries on behalf of Central Sleep, a purported provider of outpatient diagnostic sleep studies. Between December 2008 and April 2010, Dachman raised an additional $567,399 on behalf of Central Sleep Florida, a purported expansion of Central Sleep into Florida, and Advanced Sleep, a purported provider of medical devices. According to the complaint, Dachman made numerous misrepresentations to investors in each of the companies, including misrepresentations about how their funds would be used and his academic and business backgrounds. Dachman also failed to tell investors that he misappropriated at least $1,875,739 of their funds, over 45% of the total funds raised. According to the SEC’s complaint, among other things, Dachman used investor funds to rent-to-own a 10,000 square foot home, to pay for family vacations to Alaska, Europe and elsewhere, to purchase a new Range Rover, books, collectibles and antiques, and for personal expenses and credit card bills. Dachman also diverted investor funds to a tattoo parlor that he co-owned with his son-in-law.
The SEC’s complaint further alleges that Wolf and Stone Lion acted as unregistered brokers in selling unregistered securities to investors without qualifying for an exemption from the SEC’s registration provisions. The SEC alleges that Dachman violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and that Wolf and Stone Lion violated Sections 5(a) and 5(c) of the Securities Act and Section 15(a)(1) of the Exchange Act. The complaint seeks permanent injunctions, disgorgement of ill-gotten gains with prejudgment interest, civil penalties, and penny stock bars.
Wolf and Stone Lion each have agreed to settle the SEC’s charges without admitting or denying the allegations against them. Wolf and Stone Lion have consented to the entry of final judgments permanently enjoining them from violating Sections 5(a) and 5(c) of the Securities Act and Section 15(a)(1) of the Exchange Act. Wolf also has agreed to pay disgorgement of $335,216, prejudgment interest of $16,268, and a penalty of $20,000, and to be barred from participating in an offering of penny stock for one year. The proposed settlements are subject to the approval of the District Court.
The SEC thanks the U.S. Attorney’s Office for the Northern District of Illinois and the Federal Bureau of Investigation for their assistance in this matter. [SEC v. Kenneth A. Dachman, Scott A. Wolf and Stone Lion Management, Inc., 1:12-cv-00821 (N.D. Illinois)] (LR-22254)
DoubleLine Capital LP and DoubleLine Funds Trust
A notice has been issued giving interested persons until February 27, 2012, to request a hearing on an application filed by DoubleLine Capital LP and DoubleLine Funds Trust for an order under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Rule 12d1-2(a) under the Act. The order would permit open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29943 - February 2)
Proposed Rule Change
The Commission issued a notice of filing of a proposed rule change by the Municipal Securities Rulemaking Board (MSRB) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, consisting of amendments to Rule G-14, on Reports of Sales or Purchases, including the Rule G-14 RTRS Procedures, and amendments to the Real-Time Transaction Reporting System (SR-MSRB-2012-01). Publication is expected in the Federal Register during the week of February 6. (Rel. 34-66309)
Immediate Effectiveness of Proposed Rule Changes
The NASDAQ Stock Market LLC filed a proposed rule change (File No. SR-NASDAQ-2012-015) under Section 19(b)(1) of the Securities Exchange Act of 1934 to Amend Rule 4618. The rule change became effective upon filing. Publication is expected in the Federal Register during the week of February 6. (Rel. 34-66310)
A proposed rule change by the NYSE Arca, Inc. (“NYSE Arca”) (SR-NYSEArca-2012-07) deleting the Text of NYSE Arca Equities Rule 5.2(b)(1) and adopting new NYSE Arca Equities Rule 5190 that is substantially the same as Financial Industry Regulatory Authority Rule 5190 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 February 6. (Rel. 34-66311)
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-12) relating to exchange disseminated quotations 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 February 6. (Rel. 34-66315)
Approval of Proposed Rule Change
The Commission granted approval of a proposed rule change (SR-NYSEArca-2011-95) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to listing and trading 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 February 6. (Rel. 34-66321)
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-3ASR MEDICAL PROPERTIES TRUST INC, 1000 UBRAN CENTER DRIVE, SUITE 501, BIRMINGHAM, AL, 35242, 205-969-3755 - 0 ($0.00) Non-Convertible Debt, (File 333-179320 - Feb. 3) (BR. 08B) S-1 EPSILON CORP, 7590 NW 53RD WEST, SUITE 337, MIAMI, FL, 33166, 786-228-5772 - 1,000,000 ($120,000.00) Equity, (File 333-179321 - Feb. 3) (BR. 03) S-8 BOTTOMLINE TECHNOLOGIES INC /DE/, 325 CORPORATE DRIVE, PORTSMOUTH, NH, 03801, 6034360700 - 2,800,000 ($75,684,000.00) Equity, (File 333-179325 - Feb. 3) (BR. 03A) S-8 Noble Corp / Switzerland, DORFSTRASSE 19A, BAAR, V8, 6340, 41 0 41 761 6555 - 3,700,000 ($127,539,000.00) Equity, (File 333-179329 - Feb. 3) (BR. 04A) S-8 VIRTUSA CORP, 2000 WEST PARK DRIVE, WESTBOROUGH, MA, 01581, 508-389-7202 - 0 ($11,199,712.99) Equity, (File 333-179330 - Feb. 3) (BR. 03A) S-1 BRAINSTORM CELL THERAPEUTICS INC, 110 EAST 59TH STREET, NEW YORK, NY, 10019, 250-519-0553 - 0 ($10,000,000.00) Equity, (File 333-179331 - Feb. 3) (BR. 01B) F-1 Enerkem Inc., 1010 Sherbrooke Street West, Suite 1610, Montreal, A8, H3A 2R7, (514) 875-0284 - 0 ($125,000,000.00) Equity, (File 333-179332 - Feb. 3) (BR. 06B) S-8 MICROS SYSTEMS INC, 7031 COLUMBIA GATEWAY DRIVE, COLUMBIA, MD, 21046-2289, 4432856000 - 1,200,000 ($60,084,000.00) Equity, (File 333-179333 - Feb. 3) (BR. 03B) S-3 CAPSTONE TURBINE Corp, 21211 NORDHOFF STREET, CHATSWORTH, CA, 91311, 818-734-5300 - 0 ($31,559,972.19) Other, (File 333-179334 - Feb. 3) (BR. 10A) S-1 Great American Food Chain, Inc., 2808 COLE AVE., DALLAS, TX, 75204, 214-880-0446 - 1,378,846 ($75,837.00) Equity, (File 333-179336 - Feb. 3) (BR. ) S-3 ZOGENIX, INC., 12671 HIGH BLUFF DRIVE, SUITE 200, SAN DIEGO, CA, 92130, (858) 259-1165 - 0 ($75,000,000.00) Unallocated (Universal) Shelf, (File 333-179337 - Feb. 3) (BR. 01B) S-8 Wellesley Bancorp, Inc., 40 CENTRAL STREET, WELLESLEY, MA, 02482, 781-235-2550 - 91,481 ($1,103,260.00) Equity, (File 333-179338 - Feb. 3) (BR. 07) S-8 ENTROPIC COMMUNICATIONS INC, 6290 SEQUENCE DRIVE, SAN DIEGO, CA, 92121, 858-768-3600 - 0 ($34,260,121.00) Equity, (File 333-179340 - Feb. 3) (BR. 10A) S-8 INTERNATIONAL RECTIFIER CORP /DE/, 233 KANSAS ST, EL SEGUNDO, CA, 90245, 3107268000 - 0 ($235,706,131.00) Equity, (File 333-179345 - Feb. 3) (BR. 10B) S-8 DICE HOLDINGS, INC., 3 PARK AVENUE, NEW YORK, NY, 10016, 212-725-6550 - 0 ($13,360,469.04) Equity, (File 333-179348 - Feb. 3) (BR. 03A) S-8 APPLIED INDUSTRIAL TECHNOLOGIES INC, ONE APPLIED PLAZA, CLEVELAND, OH, 44115-5056, 216-426-4753 - 2,000,000 ($76,100,000.00) Equity, (File 333-179354 - Feb. 3) (BR. 06A) S-3D CB RICHARD ELLIS REALTY TRUST, 515 SOUTH FLOWER STREET, SUITE 3100, LOS ANGELES, CA, 90071, 213-683-4222 - 0 ($237,500,000.00) Equity, (File 333-179366 - Feb. 3) (BR. 08B) S-4 TRANSCONTINENTAL GAS PIPE LINE COMPANY, LLC, 2800 POST OAK BLVD, PO BOX 1396, HOUSTON, TX, 77251, 7132152000 - 0 ($375,000,000.00) Non-Convertible Debt, (File 333-179372 - Feb. 3) (BR. 02C) S-8 ECO Building Products, Inc., 909 WEST VISTA WAY, VISTA, CA, 92083, (909) 519-5470 - 10,000,000 ($900,000.00) Equity, (File 333-179375 - Feb. 3) (BR. 02A) S-3 KINDER MORGAN ENERGY PARTNERS L P, 500 DALLAS, SUITE 1000, HOUSTON, TX, 77002, 713-369-9000 - 0 ($600,000,000.00) Equity, (File 333-179377 - Feb. 3) (BR. 02C) S-8 AFFYMAX INC, 4001 MIRANDA AVE, PALO ALTO, CA, 94304, 650-812-8700 - 0 ($11,442,218.00) Equity, (File 333-179378 - Feb. 3) (BR. 01A) S-3ASR EZCORP INC, 1901 CAPITAL PKWY, AUSTIN, TX, 78746, 5123143400 - 0 ($0.00) Other, (File 333-179379 - Feb. 3) (BR. 02C) S-4 TOLL BROTHERS INC, 250 GIBRALTAR ROAD, HORSHAM, PA, 19044, 2159388000 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-179380 - Feb. 3) (BR. 06A)
Form 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 ----------------------------------------------------------------------------------------- Abingdon Futures Fund LP NY 3.02 02/01/12 ABIOMED INC DE 2.02,9.01 02/03/12 ACI WORLDWIDE, INC. DE 8.01,9.01 02/03/12 ACME PACKET INC DE 5.02 01/31/12 ACORDA THERAPEUTICS INC 8.01,9.01 02/03/12 ACUITY BRANDS INC DE 1.01,1.02,2.03 01/31/12 ACXIOM CORP DE 5.02 01/30/12 ADCARE HEALTH SYSTEMS INC OH 8.01 01/31/12 ADEONA PHARMACEUTICALS, INC. DE 9.01 11/18/11 AMEND ADVANCED PHOTONIX INC DE 1.01,1.02,2.03,8.01, 01/31/12 9.01 AEROPOSTALE INC 5.02,9.01 02/01/12 AFFYMETRIX INC DE 8.01 02/03/12 AK STEEL HOLDING CORP DE 7.01,9.01 02/03/12 ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 5.02 01/30/12 Alpha Natural Resources, Inc. DE 8.01,9.01 02/03/12 AlphaMetrix Managed Futures III LLC DE 3.02 02/01/12 AlphaMetrix Managed Futures LLC DE 3.02 02/01/12 AMEREN CORP MO 8.01 02/03/12 AMERICAN AXLE & MANUFACTURING HOLDING DE 2.02,7.01,9.01 02/03/12 American Sands Energy Corp. DE 1.01,2.03,3.02,9.01 01/31/12 American Strategic Minerals Corp NV 1.01,9.01 01/30/12 Amerilithium Corp. NV 1.01,2.03,3.02 01/30/12 Amerilithium Corp. NV 1.01,3.02 01/30/12 ANGIODYNAMICS INC DE 1.01,3.02,3.03,9.01 01/30/12 AON CORP DE 2.02,9.01 02/03/12 Apple REIT Ten, Inc. VA 2.01 01/31/12 APTARGROUP INC DE 1.01,1.02,2.03,9.01 01/31/12 ARCADIA RESOURCES, INC NV 5.02 01/30/12 Ascent Solar Technologies, Inc. DE 5.02,9.01 02/03/12 ASPEN INSURANCE HOLDINGS LTD D0 2.02,7.01 02/02/12 ASTRO MED INC /NEW/ RI 5.02 01/30/12 ASTROTECH Corp \WA\ WA 2.02,9.01 02/03/12 Atkore International Holdings Inc. DE 2.02 01/31/12 ATLANTIC POWER CORP A1 1.01 01/31/12 ATLAS AIR WORLDWIDE HOLDINGS INC DE 1.01,2.03 01/30/12 ATMEL CORP DE 2.02,9.01 02/02/12 Avantair, Inc DE 5.02 02/02/12 AVIV REIT, INC. MD 2.03,9.01 01/31/12 AVT, Inc. NV 5.02 01/31/12 BBCN BANCORP INC DE 2.02,9.01 01/31/12 BBCN BANCORP INC DE 9.01 11/30/11 AMEND BEAM INC DE 2.02,7.01,9.01 02/03/12 BEASLEY BROADCAST GROUP INC DE 2.02,9.01 02/03/12 BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 02/03/12 Behringer Harvard Opportunity REIT II MD 5.02 01/30/12 BENCHMARK ELECTRONICS INC TX 2.02,9.01 02/02/12 BHM Discretionary Futures Fund L.P. DE 3.02 02/01/12 BIOSANTE PHARMACEUTICALS INC DE 3.01 01/31/12 BioScrip, Inc. DE 1.01,9.01 02/01/12 BIOZONE PHARMACEUTICALS, INC. NV 5.02 01/30/12 BLACK HILLS CORP /SD/ SD 1.01,1.02,2.03,9.01 02/01/12 BLACK HILLS CORP /SD/ SD 2.02,9.01 02/02/12 BLUEFLY INC DE 5.02,9.01 02/02/12 Booz Allen Hamilton Holding Corp DE 2.02,9.01 02/03/12 Bristow Group Inc DE 7.01,9.01 02/03/12 BROADCOM CORP CA 5.02 02/01/12 Bullfrog Gold Corp. DE 8.01,9.01 11/02/11 Bullfrog Gold Corp. DE 8.01,9.01 11/08/11 Bullfrog Gold Corp. DE 8.01,9.01 11/14/11 Bullfrog Gold Corp. DE 8.01,9.01 01/10/12 CADENCE DESIGN SYSTEMS INC DE 5.02 02/01/12 CAMAC Energy Inc. DE 1.02 01/30/12 CAMDEN NATIONAL CORP ME 5.03 01/31/12 CAMDEN PROPERTY TRUST TX 2.02,9.01 02/02/12 CARDINAL HEALTH INC OH 7.01,9.01 02/03/12 CB RICHARD ELLIS REALTY TRUST MD 8.01,9.01 01/30/12 CDW Corp DE 1.01,8.01,9.01 02/02/12 CenterPoint Energy Transition Bond CO DE 8.01,9.01 02/01/12 CENVEO, INC CO 1.01,8.01,9.01 01/30/12 CEVA INC DE 5.02,9.01 01/31/12 CHARTER COMMUNICATIONS, INC. /MO/ DE 8.01,9.01 02/01/12 CHARTER FINANCIAL CORP/GA 2.02,9.01 02/01/12 China Modern Agricultural Information NV 9.01 11/23/11 CHINACAST EDUCATION CORP DE 1.01,1.02,3.03,9.01 02/03/12 CIG WIRELESS CORP. NV 1.01,5.02 01/27/12 CITIGROUP INC DE 8.01 02/03/12 Citizens Community Bancorp Inc. MD 5.02 02/03/12 CLEAR SYSTEM RECYCLING, INC. NV 5.03 01/30/12 CLECO CORP LA 8.01 01/31/12 CLOROX CO /DE/ DE 2.02,7.01,9.01 02/03/12 CLX MEDICAL, INC. CO 1.01,5.02 02/03/12 CMS ENERGY CORP MI 3.02 01/30/12 CNB FINANCIAL CORP/PA PA 2.02,9.01 02/02/12 COEUR D ALENE MINES CORP ID 5.05,9.01 01/31/12 COLOMBIA ENERGY RESOURCES, INC. DE 1.01,5.02,9.01 01/31/12 Converted Organics Inc. DE 1.02 01/31/12 Corporate Resource Services, Inc. DE 2.01,9.01 11/21/11 AMEND COUSINS PROPERTIES INC GA 5.02,9.01 01/31/12 CROWN CASTLE INTERNATIONAL CORP DE 1.01,1.02,2.03,8.01, 01/31/12 9.01 CTPARTNERS EXECUTIVE SEARCH INC. DE 2.01,8.01,9.01 02/02/12 CUBIC CORP /DE/ DE 5.02 01/31/12 CUTERA INC DE 8.01,9.01 02/02/12 CYBERDEFENDER CORP CA 1.01,9.01 01/30/12 DAILY JOURNAL CORP SC 5.07 02/01/12 DANA HOLDING CORP DE 5.02 02/03/12 DATARAM CORP NJ 3.01 01/31/12 DENDREON CORP DE 5.02,9.01 01/31/12 DIONICS INC DE 1.01,9.01 01/30/12 Domtar CORP DE 2.02,9.01 02/03/12 Dresser-Rand Group Inc. DE 2.02,9.01 02/03/12 DSP GROUP INC /DE/ DE 5.02 02/01/12 DYNEGY INC. DE 2.01,9.01 01/30/12 EAGLE MATERIALS INC DE 5.03,9.01 01/30/12 Ecoland International NV 1.01,1.02,3.02,5.01, 02/03/12 5.02,9.01 EMERGING CTA PORTFOLIO LP NY 3.02 02/01/12 EMPIRE DISTRICT ELECTRIC CO KS 2.02,9.01 02/02/12 ePunk, Inc. NV 5.02 01/30/12 ESTEE LAUDER COMPANIES INC DE 2.02,9.01 02/03/12 EXCO RESOURCES INC TX 8.01 02/03/12 EZCORP INC DE 8.01,9.01 02/03/12 FEDERAL AGRICULTURAL MORTGAGE CORP 5.02,8.01,9.01 02/02/12 Federal Home Loan Bank of New York X1 8.01,9.01 02/02/12 Federal Home Loan Bank of Seattle 5.02,9.01 12/15/11 AMEND FLEXSTEEL INDUSTRIES INC MN 2.02,9.01 02/02/12 Flyingeagle PU Technical Corp OK 8.01,9.01 01/30/12 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 02/03/12 Fox Chase Bancorp Inc 2.02,9.01 02/01/12 Franklin Financial Corp VA 2.02,9.01 02/02/12 FSB Community Bankshares Inc X1 2.02,9.01 02/02/12 FULTON FINANCIAL CORP PA 7.01,9.01 02/02/12 FUTURES PORTFOLIO FUND L.P. MD 3.02 02/01/12 GALLAGHER ARTHUR J & CO DE 8.01,9.01 02/03/12 GASTAR EXPLORATION LTD 7.01,9.01 02/03/12 GENESEE & WYOMING INC DE 5.02,9.01 02/02/12 Genpact LTD D0 5.02 02/03/12 GENTOR RESOURCES, INC. FL 7.01,9.01 01/31/12 GIGA TRONICS INC CA 2.02,9.01 02/02/12 GLADSTONE COMMERCIAL CORP MD 1.01,9.01 02/01/12 GLOBALSCAPE INC DE 5.02 01/30/12 GLOBALSCAPE INC DE 2.02,7.01,9.01 02/03/12 GLOBALWISE INVESTMENTS INC NV 8.01 02/03/12 GLOWPOINT, INC. DE 2.02,9.01 02/02/12 GOLDMAN SACHS GROUP INC DE 9.01 02/03/12 Green Ballast, Inc. DE 1.01,9.01 01/31/12 Griffin-American Healthcare REIT II, MD 7.01,8.01,9.01 02/02/12 GRYPHON GOLD CORP NV 5.02,7.01,9.01 02/03/12 GT Advanced Technologies Inc. DE 1.01,2.03,9.01 01/31/12 HANSEN MEDICAL INC DE 8.01,9.01 01/27/12 HARLEYSVILLE SAVINGS FINANCIAL CORP 8.01,9.01 02/02/12 HASCO Medical, Inc. FL 5.02 02/01/12 HEALTH NET INC DE 2.02,9.01 02/03/12 HEARTLAND FINANCIAL USA INC DE 5.02,9.01 02/03/12 HOUSING PROGRAMS LTD CA 2.01,9.01 01/31/12 HSBC USA INC /MD/ MD 8.01 02/03/12 IDENIX PHARMACEUTICALS INC DE 8.01,9.01 02/03/12 IDENTIVE GROUP, INC. DE 1.01,3.02,8.01,9.01 01/30/12 IEC ELECTRONICS CORP DE 5.07 02/01/12 IMATION CORP DE 2.02,9.01 02/03/12 IMPERIAL OIL LTD 8.01,9.01 02/03/12 inContact, Inc. DE 5.02 01/31/12 INNOVATIVE SOLUTIONS & SUPPORT INC PA 7.01,9.01 02/03/12 INPHI Corp DE 5.02,9.01 01/31/12 INTEGRATED BIOPHARMA INC 1.01,9.01 02/03/12 Intellicell Biosciences, Inc. NV 1.01,3.02,8.01,9.01 12/15/11 INTERNATIONAL BUSINESS MACHINES CORP NY 5.02 01/31/12 INTERNATIONAL BUSINESS MACHINES CORP NY 9.01 02/01/12 INTERNATIONAL FLAVORS & FRAGRANCES IN NY 5.02 01/30/12 INTERSECTIONS INC DE 5.02 02/01/12 KEMET CORP DE 2.02,7.01,9.01 02/02/12 KEMET CORP DE 1.01,2.01,9.01 02/02/12 KIMBALL INTERNATIONAL INC IN 2.02,9.01 02/03/12 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 02/03/12 KINDER MORGAN MANAGEMENT LLC DE 7.01 02/03/12 KINDER MORGAN, INC. DE 7.01 02/03/12 KINGSWAY FINANCIAL SERVICES INC A6 8.01 02/02/12 KIRBY CORP NV 2.02,9.01 02/02/12 KODIAK ENERGY, INC. DE 8.01 02/03/12 L & L ENERGY, INC. NV 1.01,8.01,9.01 02/02/12 LEE ENTERPRISES, INC DE 1.01,1.02,2.03,3.02, 01/30/12 3.03,5.03,9.01 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 08/25/11 LEXMARK INTERNATIONAL INC /KY/ DE 1.01,9.01 01/31/12 Liberator, Inc. FL 7.01,9.01 02/03/12 LORAL SPACE & COMMUNICATIONS INC. DE 8.01 02/01/12 LUCAS ENERGY, INC. NV 2.01,9.01 11/18/11 AMEND LUCID INC NY 5.02,9.01 01/30/12 LUMINEX CORP DE 8.01 02/03/12 MACERICH CO MD 2.02,7.01,9.01 02/03/12 MANHATTAN PHARMACEUTICALS INC DE 1.01,8.01 01/30/12 MANHATTAN PHARMACEUTICALS INC DE 5.02 12/29/11 AMEND MANNKIND CORP DE 7.01 02/03/12 Marathon Petroleum Corp DE 7.01 02/03/12 McEwen Mining Inc. CO 7.01,9.01 02/03/12 MEDCO HEALTH SOLUTIONS INC DE 5.02 01/31/12 MEDIVATION, INC. DE 8.01 02/02/12 Medley Capital Corp DE 1.01,9.01 01/31/12 META FINANCIAL GROUP INC DE 5.07 01/30/12 MGIC INVESTMENT CORP WI 5.02,5.03 01/30/12 MGP INGREDIENTS INC KS 1.01 01/30/12 MODINE MANUFACTURING CO WI 2.02,9.01 02/03/12 MONEYGRAM INTERNATIONAL INC 2.02,9.01 02/03/12 MONEYGRAM INTERNATIONAL INC 8.01 02/03/12 Morningstar, Inc. IL 7.01 02/03/12 MORTONS RESTAURANT GROUP INC DE 1.01,1.02,3.01,3.03, 02/01/12 5.01,5.02,5.03,8.01, 9.01 MOTRICITY INC DE 9.01 04/14/11 AMEND MS STRUCTURED TILES SERIES 2005-1 DE 8.01,9.01 02/01/12 MULTIBAND CORP MN 7.01,9.01 01/31/12 MURPHY OIL CORP /DE DE 5.03,9.01 02/02/12 MYMETICS CORP DE 5.02 01/30/12 NATIONAL FUEL GAS CO NJ 2.02,9.01 02/02/12 NAVARRE CORP /MN/ MN 1.01,9.01 02/03/12 NAVARRE CORP /MN/ MN 2.05 10/26/11 AMEND NETWORK 1 SECURITY SOLUTIONS INC DE 8.01,9.01 01/31/12 NeuMedia, Inc. DE 5.02 01/31/12 NeurogesX Inc CA 8.01,9.01 01/30/12 NEW CENTURY BANCORP INC NC 5.02 01/31/12 NEW YORK TIMES CO NY 8.01 02/03/12 NEWS CORP 8.01,9.01 02/03/12 Next 1 Interactive, Inc. NV 1.01,9.01 01/30/12 NORTH VALLEY BANCORP CA 2.02,9.01 02/02/12 NORTHERN CALIFORNIA BANCORP INC CA 5.02 02/01/12 NORTHERN TECHNOLOGIES INTERNATIONAL C DE 5.07 02/02/12 NV ENERGY, INC. NV 7.01 02/03/12 ODYSSEY PICTURES CORP NV 5.02 02/03/12 Oilsands Quest Inc 8.01,9.01 02/03/12 OMNICARE INC DE 5.02 02/03/12 Oncothyreon Inc. DE 1.01,1.02,9.01 02/03/12 OneBeacon Insurance Group, Ltd. D0 2.02,9.01 02/03/12 OneBeacon Insurance Group, Ltd. D0 2.02,9.01 02/03/12 ORGANA GARDENS INTERNATIONAL 5.02 02/01/12 ORGANOVO HOLDINGS, INC. NV 8.01 01/31/12 ORGANOVO HOLDINGS, INC. NV 3.02,3.03,5.03,5.07, 01/30/12 8.01,9.01 ORIGINOIL INC NV 8.01,9.01 02/03/12 ORION FUTURES FUND LP NY 3.02 02/01/12 OSHKOSH CORP WI 5.02,5.07 01/27/12 AMEND PC CONNECTION INC DE 5.02,9.01 01/31/12 PENNANTPARK INVESTMENT CORP 7.01,9.01 02/03/12 PENSON WORLDWIDE INC DE 1.01,5.02,9.01 01/31/12 PEOPLES BANCORP INC OH 2.02,9.01 02/03/12 PEOPLES BANCORP INC OH 5.02,9.01 02/03/12 PEPSICO INC NC 5.02,8.01,9.01 02/02/12 PINNACLE WEST CAPITAL CORP AZ 5.02 02/03/12 Poage Bankshares, Inc. MD 5.03,9.01 02/01/12 Polypore International, Inc. 7.01,9.01 02/03/12 PRINCIPAL FINANCIAL GROUP INC DE 2.02,9.01 02/02/12 PROTEONOMIX, INC. DE 8.01 02/03/12 PULASKI FINANCIAL CORP MO 5.07 02/01/12 PVH CORP. /DE/ DE 5.03,9.01 02/02/12 QUESTCOR PHARMACEUTICALS INC CA 2.02,9.01 02/03/12 RAILAMERICA INC /DE DE 8.01 02/01/12 REALNETWORKS INC WA 5.07 11/16/11 AMEND REALTY INCOME CORP MD 8.01,9.01 01/31/12 Recon Technology, Ltd E9 3.01,8.01 01/30/12 RENTECH INC /CO/ CO 5.03,9.01 02/01/12 Rentech Nitrogen Partners, L.P. DE 5.02,5.03,9.01 02/01/12 RESOURCE AMERICA, INC. DE 2.02,9.01 02/02/12 Revett Minerals Inc. A6 1.04 02/03/12 REYNOLDS AMERICAN INC 5.02 02/01/12 ROWAN COMPANIES INC DE 5.02 01/31/12 RUDDICK CORP NC 2.02,9.01 02/02/12 RURBAN FINANCIAL CORP OH 2.02,9.01 02/02/12 SAGE FUND LP MD 3.02 02/01/12 Sagebrush Gold Ltd. NV 3.02,9.01 01/27/12 Samson Oil & Gas LTD C3 2.02,9.01 01/31/12 SANDRIDGE ENERGY INC DE 1.01,8.01,9.01 02/01/12 SAPIENT CORP DE 5.02,9.01 02/01/12 SAVIENT PHARMACEUTICALS INC DE 2.02,5.02,9.01 02/01/12 SCHULMAN A INC DE 1.01,9.01 01/30/12 SEACHANGE INTERNATIONAL INC DE 5.02,7.01,9.01 01/31/12 SEI INVESTMENTS CO PA 1.01,2.03,9.01 02/02/12 Select Notes Trust LT 2004-1 DE 8.01,9.01 02/01/12 SELECTICA INC DE 2.02,9.01 02/02/12 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 1.01,9.01 01/31/12 SIGA TECHNOLOGIES INC DE 1.01,8.01,9.01 02/02/12 SILGAN HOLDINGS INC DE 2.02,9.01 01/31/12 SIMON PROPERTY GROUP INC /DE/ DE 2.02,7.01,9.01 02/03/12 SIMPSON MANUFACTURING CO INC /CA/ DE 2.02,9.01 02/02/12 SIRONA DENTAL SYSTEMS, INC. DE 2.02,9.01 02/03/12 SM Energy Co DE 7.01,9.01 01/31/12 SOFTECH INC MA 1.01,3.03,9.01 02/03/12 Solar Senior Capital Ltd. MD 7.01,9.01 02/03/12 Sound Financial, Inc. 2.02,9.01 02/02/12 SOUTHWESTERN ELECTRIC POWER CO DE 8.01,9.01 02/03/12 Spectra Energy Partners, LP DE 2.02,9.01 02/03/12 Spectrum Brands Holdings, Inc. DE 2.02,9.01 02/03/12 SPHERIX INC DE 1.01,9.01 02/02/12 STAGE STORES INC NV 5.02,8.01,9.01 01/30/12 STERLING FINANCIAL CORP /WA/ WA 8.01 01/30/12 STW RESOURCES HOLDING CORP. NV 4.01,9.01 01/25/12 SUNESIS PHARMACEUTICALS INC DE 1.01,5.02,8.01,9.01 01/31/12 Sunshine Biopharma, Inc CO 4.01,9.01 01/30/12 SUPERTEL HOSPITALITY INC VA 1.01,3.02,5.02,5.03, 01/30/12 5.07,9.01 Swank, Inc. DE 1.01,3.03,5.02,7.01, 02/03/12 8.01,9.01 SYNALLOY CORP DE 2.02,9.01 02/03/12 TE Connectivity Ltd. V8 1.01,1.02,8.01,9.01 01/31/12 TELECOMMUNICATION SYSTEMS INC /FA/ MD 2.02,9.01 02/02/12 TELULAR CORP DE 2.01,9.01 02/01/12 TERRALENE FUELS Corp DE 5.02 02/01/12 Territorial Bancorp Inc. MD 8.01,9.01 02/02/12 Territorial Bancorp Inc. MD 8.01,9.01 02/02/12 TherapeuticsMD, Inc. UT 4.01,9.01 12/14/11 AMEND THOR INDUSTRIES INC DE 2.02,9.01 02/02/12 THRESHOLD PHARMACEUTICALS INC DE 1.01,9.01 02/02/12 TITAN INTERNATIONAL INC IL 4.01,9.01 01/30/12 TNP Strategic Retail Trust, Inc. MD 5.02 01/30/12 Tonix Pharmaceuticals Holding Corp. NV 9.01 10/07/11 AMEND TOR MINERALS INTERNATIONAL INC DE 8.01 01/31/12 TRANSGENOMIC INC DE 7.01,9.01 02/02/12 TRANSWITCH CORP /DE DE 2.02,9.01 02/03/12 Tree.com, Inc. DE 1.01 01/31/12 Triangle Petroleum Corp NV 7.01,9.01 02/02/12 TrovaGene Inc. DE 2.01,3.02,9.01 02/01/12 TYSON FOODS INC DE 2.02,9.01 02/03/12 UNITED BANCSHARES INC/OH OH 2.02,7.01,9.01 02/03/12 United Continental Holdings, Inc. DE 5.02 11/28/11 AMEND UNWALL INTERNATIONAL INC NV 8.01 10/07/11 US AIRWAYS GROUP INC DE 2.02,9.01 02/03/12 USG CORP DE 1.01,2.03,9.01 02/01/12 Varca Ventures, Inc. NV 1.01 01/28/12 AMEND VASOMEDICAL INC DE 5.02,8.01,9.01 01/24/12 AMEND VEECO INSTRUMENTS INC DE 5.02 01/30/12 VIAD CORP DE 2.02,9.01 02/03/12 W R GRACE & CO DE 8.01,9.01 01/31/12 WALTER INVESTMENT MANAGEMENT CORP MD 5.05,8.01,9.01 02/03/12 WARRINGTON FUND LP NY 3.02 02/01/12 WAUSAU PAPER CORP. WI 1.01,9.01 01/31/12 Wayside Technology Group, Inc. DE 2.02,9.01 02/02/12 WEST BANCORPORATION INC IA 2.02 02/02/12 WESTWOOD HOLDINGS GROUP INC DE 2.02,7.01,9.01 02/02/12 WEYERHAEUSER CO WA 2.02,9.01 02/02/12 WGL HOLDINGS INC VA 2.02,9.01 02/03/12 WHITE MOUNTAINS INSURANCE GROUP LTD D0 2.02,9.01 02/03/12 Wikifamilies, Inc. NV 5.02,9.01 02/02/12 WINN DIXIE STORES INC FL 8.01,9.01 02/03/12 WIRED ASSOCIATES SOLUTIONS INC NV 1.01,2.03,3.02 01/23/12 ZBB ENERGY CORP WI 9.01 02/02/11 AMEND ZILLOW INC WA 7.01 02/03/12 Zoo Entertainment, Inc DE 1.01,2.03 01/30/12 ZYGO CORP DE 2.02,9.01 02/02/12