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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-24
February 6, 2012

Enforcement proceedings

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:

No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .

(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:

  • Telos, Inc.
     
  • Tianrong Internet Products and Services, Inc. (f/k/a MAS Acquisition XVII Corp.) (TIPS)
     
  • Tianrong Building Material Holdings, Ltd. (f/k/a MAS Acquisition XVIII Corp.) (TNRG)
     
  • TSS Ltd.
     
  • Tuff Coat Manufacturing, Inc. (f/k/a Osage Acquisition Corp.)
     
  • Tultex Corp.
     
  • TVA, Inc.
     
  • Tyger Holding, Inc.
     
  • U.S. Energy Systems, Inc.

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)

Investment company act releases

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)

Self-Regulatory Organizations

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)

Securities Act Registrations

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

S-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)

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

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

 

http://www.sec.gov/news/digest/2012/dig020612.htm


Modified: 02/06/2012