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ENFORCEMENT PROCEEDINGSIn the Matter of Gerald PateraOn February 6, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Gerald E. Patera, based on the entry of a permanent injunction against him in the civil action entitled Securities and Exchange Commission v. David Ronald Allen, et al., Civil Action No. 3:11-cv-882-O in the United States District Court for the Northern District of Texas. The Order finds that on September 23, 2011, the court entered an order permanently enjoining Patera from future violations of Section 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission’s complaint alleged that Mr. Patera acted as an unregistered broker by actively soliciting investors to transfer shares of China Voice Holding Corp. to his control and that he received transaction-based compensation for effecting the sales of investors’ shares of China Voice. Based on the above, the Order bars Gerald Patera from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Patera consented to the issuance of the Order without admitting or denying the findings in the Order, except he admitted to the entry of the injunction. (Rel. 34-66333; File No. 3- 14747) Commission Revokes Registrations of Securities of Crown Northcorp, Inc. For Failure to Make Required Periodic FilingsOn February 7, 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 Crown Northcorp, Inc. (Crown Northcorp) (stock symbol CWNH) 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, Crown Northcorp 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 Crown Northcorp’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. 34-66336; File No. 3-14748) Commission Revokes Registrations of Securities of Advanced Mineral Technologies, Inc. For Failure to Make Required Periodic FilingsOn February 7, 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 Advanced Mineral Technologies, Inc. (Advanced Mineral) 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, Advanced Mineral 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 Advanced Mineral’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. 34-66337; File No. 3-14749) Commission Revokes Registrations of Securities of Broadcaster, Inc. For Failure to Make Required Periodic FilingsOn February 7, 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 Broadcaster, Inc. (Broadcaster) (stock symbol BCAS) 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, Broadcaster 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 Broadcaster’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. 34-66338; File No. 3-14750) Commission Revokes Registrations of Securities of EvergreenBancorp, Inc. For Failure to Make Required Periodic FilingsOn February 7, 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 EvergreenBancorp, Inc. (EvergreenBancorp) (stock symbol EVGGQ) 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, EvergreenBancorp 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 EvergreenBancorp’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. 34-66339; File No. 3-14751) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangeThe Commission issued notice of a proposed rule change submitted by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-013) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to the adoption of listing standards for certain securities. Publication is expected in the Federal Register during the week of February 6. (Rel. 34-66320) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the NASDAQ Stock Market LLC (SR-NASDAQ-2012-020) to modify NASDAQ’s Transaction Execution Fee and Credit Schedule in Rules 7014 and 7018 has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 6. (Rel. 34-66322) A proposed rule change filed by the BATS Y-Exchange, Inc. (SR-BYX-2012-005) related to fees for use of BATS Y-Exchange, Inc. has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 6. (Rel. 34-66326) A proposed rule change filed by the BATS Exchange, Inc. (SR-BATS-2012-008) related to fees for use of BATS Exchange, Inc. has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 6. (Rel. 34-66327) A proposed rule change filed by Financial Industry Regulatory Authority, Inc. to update rule cross-references within certain FINRA rules (SR-FINRA-2012-007) 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. 34-66328) A proposed rule change filed by EDGA Exchange, Inc. (SR-EDGA-2012-03) relating to amendments to the EDGA Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 6. (Rel. 34-66335) SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-1 Xgains4keeps Inc, 96 KNAPMILL ROAD, BELLINGHAM, LONDON, X0, SE6 3TE, 447888023784 - 60,000 ($600,000.00) Equity, (File 333-179382 - Feb. 6) (BR. ) F-9 BANK OF NOVA SCOTIA /, 44 KING STREET WEST, SCOTIA PLAZA 8TH FL., TORONTO, A6, M5H 1H1, (416)866-7555 - 16,000,000,000 ($16,000,000,000.00) Non-Convertible Debt, (File 333-179383 - Feb. 6) (BR. 12A) S-1 HUTCHINSON TECHNOLOGY INC, 40 W HIGHLAND PARK, HUTCHINSON, MN, 55350, 3205873797 - 0 ($39,400,000.00) Debt Convertible into Equity, 0 ($38,690.00) Equity, 0 ($72,412,901.00) Other, (File 333-179384 - Feb. 6) (BR. 10B) S-8 ALLDIGITAL HOLDINGS, INC., 2821 MCGAW, IRVINE, CA, 92614, 949-250-7340 - 8,500,000 ($255,000.00) Equity, (File 333-179385 - Feb. 6) (BR. 02B) S-8 WORLD ACCEPTANCE CORP, 108 FREDRICK STREET, GREENVILLE, SC, 29607, 8642989800 - 1,500,000 ($95,250,000.00) Equity, (File 333-179389 - Feb. 6) (BR. 07B) S-1 Lingas Resources, Inc., 469 PUJOLS AVENUE, FORT BENAFACIO, MANILA, R6, 0949237, 632-211-6739 - 25,000,000 ($50,000.00) Equity, (File 333-179390 - Feb. 6) (BR. ) S-8 CACI INTERNATIONAL INC /DE/, 1100 N GLEBE ST, ARLINGTON, VA, 22201, 7038417800 - 1,500,000 ($88,365,000.00) Equity, (File 333-179392 - Feb. 6) (BR. 03A) S-11 American Realty Funds Corp, 216 CENTERVIEW DR. SUITE 317, BRENTWOOD, TN, 37027, 9896719690 - 2,500,000 ($25,000,000.00) Equity, (File 333-179393 - Feb. 6) (BR. 08C) S-1 Data Storage Corp, 875 MERRICK AVENUE, WESTBURY, NY, 11590, 212-564-4922 - 1,763,317 ($987,457.52) Equity, (File 333-179396 - Feb. 6) (BR. 03C) S-1 Radius Health, Inc., ATTN: CHIEF FINANCIAL OFFICER, 201 BROADWAY, 6TH FLOOR, CAMBRIDGE, MA, 02139, 617 425 9225 - 0 ($86,250,000.00) Equity, (File 333-179397 - Feb. 6) (BR. 09B) S-8 Nuance Communications, Inc., 1 WAYSIDE ROAD, BURLINGTON, MA, 01803, 781-565-5000 - 10,000,000 ($278,200,000.00) Equity, (File 333-179399 - Feb. 6) (BR. 03C) RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- ABERCROMBIE & FITCH CO /DE/ DE 2.02,7.01,9.01 02/02/12 ACE MARKETING & PROMOTIONS INC NY 3.02 01/30/12 ACORDA THERAPEUTICS INC 8.01,9.01 02/06/12 Adamis Pharmaceuticals Corp DE 1.01,3.02,9.01 01/31/12 ADEONA PHARMACEUTICALS, INC. DE 1.01,5.02,8.01,9.01 02/03/12 ADVANCED BATTERY TECHNOLOGIES, INC. DE 5.02 02/01/12 ADVANT E CORP DE 1.01,9.01 02/03/12 ADVENT SOFTWARE INC /DE/ DE 2.02,9.01 02/06/12 AEHR TEST SYSTEMS CA 5.02 01/31/12 AEI Income & Growth Fund 26 LLC DE 2.01,9.01 01/31/12 AEMETIS, INC NV 1.01,9.01 01/27/12 AFS SenSub Corp. 8.01,9.01 02/02/12 Aleris International, Inc. DE 5.02 01/31/12 ALIGN TECHNOLOGY INC DE 5.02 01/31/12 ALLEGHANY CORP /DE DE 5.07,8.01,9.01 02/06/12 ALLERGAN INC DE 5.02 01/31/12 ALLETE INC MN 1.01,2.03 02/06/12 Allied Nevada Gold Corp. DE 5.08,7.01,8.01,9.01 02/06/12 ALLSTATE LIFE INSURANCE CO 2.02 02/06/12 ALPHA & OMEGA SEMICONDUCTOR Ltd 8.01 01/31/12 Altegris QIM Futures Fund, L.P. DE 3.02 02/01/12 Altegris Winton Futures Fund, L.P. CO 3.02 02/01/12 AMERICAN AIRLINES INC DE 8.01 02/06/12 AMERICAN APPAREL, INC DE 7.01,9.01 02/06/12 American Capital Agency Corp 2.02,9.01 02/06/12 American Realty Capital Trust III, In MD 5.02 02/06/12 American Standard Energy Corp. DE 5.02 02/02/12 AMERICAN SUPERCONDUCTOR CORP /DE/ DE 5.07 12/08/11 AMEND AMPCO PITTSBURGH CORP PA 2.02,9.01 02/03/12 AMR CORP DE 8.01 02/06/12 AMYLIN PHARMACEUTICALS INC DE 2.02,9.01 02/06/12 ANADARKO PETROLEUM CORP DE 2.02,9.01 02/06/12 ANDAIN, INC. NV 1.01,3.02,9.01 02/06/12 APPLIED MICRO CIRCUITS CORP DE 2.02,9.01 01/31/12 ARCHER DANIELS MIDLAND CO DE 5.02,9.01 02/02/12 Ardea Biosciences, Inc./DE DE 8.01,9.01 02/01/12 ARETE INDUSTRIES INC CO 7.01,8.01,9.01 02/06/12 AROTECH CORP DE 1.01,5.02,7.01,9.01 02/02/12 ARRIS GROUP INC DE 9.01 11/21/11 AMEND Ascent Capital Group, Inc. DE 2.02,7.01,9.01 02/06/12 ASPEN INSURANCE HOLDINGS LTD D0 2.02,7.01,9.01 02/06/12 ASTORIA FINANCIAL CORP DE 8.01,9.01 02/06/12 AUXILIUM PHARMACEUTICALS INC 5.02,7.01,9.01 02/03/12 AVEO PHARMACEUTICALS INC DE 5.02,8.01 01/31/12 BADGER METER INC WI 2.02,9.01 02/06/12 BADGER METER INC WI 2.01,9.01 01/31/12 BALLY TECHNOLOGIES, INC. NV 2.02,9.01 02/01/12 BANK OF THE JAMES FINANCIAL GROUP INC VA 2.02,9.01 02/03/12 BAZI INTERNATIONAL, INC. NV 2.03,3.02,9.01 02/01/12 BB&T CORP NC 8.01,9.01 02/03/12 BEACON ENTERPRISE SOLUTIONS GROUP INC NV 5.07 02/03/12 Bidz.com, Inc. CA 8.01 02/03/12 Bitzio, Inc. NV 5.02 02/02/12 Black Diamond, Inc. DE 2.02,9.01 02/06/12 Boardwalk Pipeline Partners, LP DE 2.02,9.01 02/06/12 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 8.01 02/03/12 BROWN & BROWN INC FL 2.02 02/03/12 CADENCE PHARMACEUTICALS INC 7.01,8.01,9.01 02/06/12 Calamos Asset Management, Inc. /DE/ 5.02 01/31/12 CAMAC Energy Inc. DE 8.01 02/03/12 CAMBREX CORP DE 2.02,9.01 02/06/12 CAMPBELL FUND TRUST DE 3.02 02/01/12 Cape Bancorp, Inc. MD 2.02,9.01 02/03/12 CARDICA INC DE 2.02,2.03,9.01 12/27/11 CARROLLTON BANCORP MD 2.02,9.01 02/06/12 CEL SCI CORP CO 8.01 02/03/12 Ceres Ventures, Inc. NV 5.02,7.01,9.01 02/01/12 CF Industries Holdings, Inc. DE 5.02 02/03/12 CFS BANCORP INC IN 2.02,9.01 02/06/12 Chineseinvestors.com, Inc. IN 8.01 02/06/12 CHIQUITA BRANDS INTERNATIONAL INC NJ 5.02 02/06/12 CINCINNATI FINANCIAL CORP OH 7.01,9.01 02/03/12 Circle Entertainment, Inc. DE 1.01,9.01 01/30/12 CIRCUS & ELDORADO JOINT VENTURE 7.01,8.01,9.01 02/06/12 CleanTech Innovations, Inc. NV 8.01,9.01 01/31/12 CNA FINANCIAL CORP DE 2.02,9.01 02/06/12 COINSTAR INC DE 1.01,7.01,9.01 02/03/12 COINSTAR INC DE 2.02,7.01,9.01 02/06/12 COINSTAR INC DE 1.01,7.01,9.01 02/03/12 COLUMBIA BANKING SYSTEM INC WA 5.02,7.01,9.01 02/01/12 COMMUNITY HEALTH SYSTEMS INC DE 1.01,2.03,9.01 02/02/12 COMSTOCK RESOURCES INC NV 2.02,9.01 02/02/12 COMVERSE TECHNOLOGY INC/NY/ NY 8.01 02/06/12 CONCHO RESOURCES INC DE 2.02,9.01 02/06/12 Consolidated Communications Holdings, DE 1.01,7.01,9.01 02/05/12 CONSOLIDATED TOMOKA LAND CO FL 4.01,9.01 02/01/12 Converted Organics Inc. DE 3.02 02/01/12 COVENTRY HEALTH CARE INC DE 5.02,9.01 01/31/12 CYBEX INTERNATIONAL INC NY 8.01,9.01 02/06/12 DARA BioSciences, Inc. DE 5.02 02/02/12 Delek US Holdings, Inc. 1.02,9.01 01/31/12 DELTA AIR LINES INC /DE/ DE 8.01,9.01 02/06/12 DENALI CONCRETE MANAGEMENT INC NV 5.02,9.01 02/02/12 DENBURY RESOURCES INC DE 2.02,9.01 02/06/12 DENMARK BANCSHARES INC WI 2.02,9.01 02/06/12 Dialogic Inc. DE 1.01,9.01 02/02/12 DIGITAL ANGEL CORP DE 5.02,9.01 01/31/12 DineEquity, Inc DE 5.02,9.01 02/02/12 DORAL FINANCIAL CORP PR 3.01,8.01,9.01 02/02/12 DOT HILL SYSTEMS CORP DE 2.02,8.01,9.01 02/06/12 Douglas Lake Minerals Inc. NV 7.01,9.01 02/06/12 DTE ENERGY CO MI 7.01,9.01 02/06/12 DUN & BRADSTREET CORP/NW DE 2.02,7.01,8.01,9.01 02/01/12 Dynastar Holdings, Inc. NV 5.02 01/31/12 DYNAVAX TECHNOLOGIES CORP DE 5.02 01/31/12 ECOLOGY COATINGS, INC. NV 4.01 02/06/12 EMPIRE DISTRICT ELECTRIC CO KS 5.02 02/01/12 ENERGY PARTNERS LTD DE 5.02 01/30/12 Enertopia Corp. NV 7.01,9.01 02/06/12 Enertopia Corp. NV 7.01,9.01 02/06/12 ENTREMED INC DE 1.01,1.02,3.01,5.02, 01/31/12 8.01,9.01 ERESEARCHTECHNOLOGY INC /DE/ DE 1.01,2.03,5.02 01/31/12 EXOPACK HOLDING CORP 5.02 02/06/12 EXPRESS SCRIPTS INC DE 7.01,9.01 02/06/12 Fabrinet E9 2.02,5.02,9.01 02/03/12 Feihe International Inc UT 5.02,7.01,9.01 01/31/12 Finishing Touches Home Goods Inc. NV 5.01,5.02,9.01 01/27/12 FIRST ACCEPTANCE CORP /DE/ DE 5.02 01/31/12 FIRST BANCORP /PR/ PR 2.02,9.01 02/01/12 FIRST MARBLEHEAD CORP 5.07 11/12/11 AMEND FIRSTCITY FINANCIAL CORP DE 1.01,2.03,9.01 01/31/12 FNB CORP/FL/ FL 5.02,9.01 01/31/12 Fortress Investment Group LLC DE 7.01 02/06/12 FUNCTION (X) INC. DE 8.01,9.01 02/06/12 FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,3.02 01/30/12 AMEND GENCORP INC OH 2.02,7.01,9.01 02/06/12 Genesis Biopharma, Inc NV 1.01,9.01 01/31/12 AMEND GENOMIC HEALTH INC 2.02,8.01,9.01 02/06/12 GENOMIC HEALTH INC 5.02 02/05/12 Genpact LTD D0 2.02,9.01 02/06/12 GeoVax Labs, Inc. DE 3.02,9.01 01/31/12 GERMAN AMERICAN BANCORP, INC. IN 2.02,8.01,9.01 01/31/12 Global Aviation Holdings Inc. DE 1.03,2.04,5.02,9.01 02/06/12 GLOBAL PARTNERS LP 1.01,2.03,9.01 01/31/12 GLOBE SPECIALTY METALS INC 2.02,7.01,9.01 12/31/11 GOLDEN STAR RESOURCES LTD 5.02,9.01 01/31/12 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 3.02 02/06/12 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 02/06/12 Golub Capital BDC, Inc. DE 2.02,9.01 02/06/12 Golub Capital BDC, Inc. DE 2.02,9.01 02/06/12 GRIFFIN LAND & NURSERIES INC DE 2.01,9.01 01/31/12 GRYPHON GOLD CORP NV 7.01,9.01 02/06/12 GRYPHON GOLD CORP NV 5.02,7.01,9.01 02/03/12 AMEND GS Mortgage Securities Trust 2012-GC6 DE 9.01 02/06/12 Guitammer Co NV 3.02,9.01 02/03/12 HANGER ORTHOPEDIC GROUP INC DE 5.03,9.01 02/02/12 HARVEST NATURAL RESOURCES, INC. DE 8.01,9.01 02/03/12 HASBRO INC RI 2.02,8.01,9.01 02/06/12 HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 02/03/12 HCA Holdings, Inc. 2.02,7.01,8.01,9.01 02/03/12 Hoku Corp DE 1.01,2.03 02/02/12 HPT SN HOLDING, INC. NY 2.01,3.01,3.03,5.01, 01/31/12 5.02,5.03,8.01,9.01 HSBC USA INC /MD/ MD 9.01 02/06/12 HUMANA INC DE 2.02,7.01,9.01 02/06/12 Huntsman CORP DE 5.02,7.01,9.01 02/01/12 HUTCHINSON TECHNOLOGY INC MN 8.01,9.01 02/06/12 ICAHN ENTERPRISES L.P. DE 1.01,2.03,8.01,9.01 02/06/12 IDENIX PHARMACEUTICALS INC DE 5.02 02/03/12 IDENTIVE GROUP, INC. DE 1.01,3.02,8.01,9.01 01/30/12 AMEND IMH Financial Corp DE 8.01,9.01 01/31/12 IMPAX LABORATORIES INC DE 1.01,9.01 02/06/12 Independent Film Development CORP NV 5.02 01/27/12 India Globalization Capital, Inc. MD 8.01,9.01 02/02/12 INFOSPACE INC DE 1.01,2.03 01/31/12 InfuSystem Holdings, Inc DE 2.02,9.01 02/06/12 INSTEEL INDUSTRIES INC NC 2.03,9.01 02/06/12 INTEGRATED DEVICE TECHNOLOGY INC DE 8.01,9.01 01/31/12 Intelimax Media Inc. 7.01,9.01 11/28/11 INTELLIGENT COMMUNICATION ENTERPRISE PA 5.02 01/20/12 INTERMOLECULAR INC DE 1.01 01/31/12 INTERNATIONAL SHIPHOLDING CORP DE 2.02,5.02,9.01 02/01/12 IRIDEX CORP DE 2.01,9.01 02/02/12 ISC8 INC. /DE DE 2.01,9.01 01/31/12 IVANHOE ENERGY INC 7.01,9.01 02/06/12 JOY GLOBAL INC DE 7.01,9.01 02/03/12 Kaiser Federal Financial Group, Inc. MD 5.07 12/22/11 AMEND KEMPER Corp DE 7.01,9.01 02/06/12 KEMPER Corp DE 5.02,9.01 01/31/12 KENEXA CORP 7.01,9.01 02/06/12 KENEXA CORP 1.01,2.01,2.02,9.01 01/31/12 KEY TRONIC CORP WA 7.01,9.01 02/06/12 KIRKLAND'S, INC 2.02 02/02/12 KIWA BIO-TECH PRODUCTS GROUP CORP DE 5.02,9.01 02/06/12 KKR Financial Holdings LLC DE 2.02,8.01,9.01 02/06/12 KONA GRILL INC DE 3.01 01/31/12 Lazard Ltd D0 2.02,9.01 02/06/12 LEFT BEHIND GAMES INC. WA 7.01,9.01 02/06/12 LEGGETT & PLATT INC MO 2.02,7.01,9.01 02/06/12 LIMITED BRANDS INC DE 2.02,7.01,9.01 02/02/12 LIMITED BRANDS INC DE 8.01,9.01 02/02/12 LOEWS CORP DE 2.02,9.01 02/06/12 Lone Pine Resources Inc. DE 1.01,2.02,2.03,7.01, 02/05/12 8.01,9.01 LPL Investment Holdings Inc. DE 5.02 02/02/12 LUMINEX CORP DE 2.02,9.01 02/06/12 MABCURE INC. NV 5.02 02/06/12 MANNKIND CORP DE 1.01,3.02,8.01,9.01 02/02/12 MARKWEST ENERGY PARTNERS L P 7.01,8.01,9.01 01/31/12 MAXIMUS INC VA 2.02,9.01 02/02/12 McEwen Mining Inc. CO 7.01,9.01 02/06/12 Medley Capital Corp DE 2.02,7.01,9.01 02/06/12 MERCURY GENERAL CORP CA 2.02,9.01 02/06/12 MERIT MEDICAL SYSTEMS INC UT 5.03,7.01,9.01 01/31/12 MICROSEMI CORP DE 5.02,5.07,9.01 01/31/12 Millburn Multi-Markets Fund L.P. DE 3.02 02/01/12 MINDSPEED TECHNOLOGIES, INC DE 5.02,5.07,9.01 01/31/12 MSCI Inc. DE 5.02 02/06/12 MUTUALFIRST FINANCIAL INC MD 2.02,9.01 02/06/12 NABORS INDUSTRIES LTD D0 1.01,1.02,5.02,9.01 02/02/12 NATIONAL RETAIL PROPERTIES, INC. MD 2.02,9.01 02/06/12 NATURAL RESOURCE PARTNERS LP DE 2.01,9.01 02/02/12 NCR CORP MD 2.02,7.01,9.01 02/06/12 NCR CORP MD 1.01,9.01 02/03/12 Neogenix Oncology Inc MD 5.02,8.01,9.01 02/01/12 NET 1 UEPS TECHNOLOGIES INC 1.01,9.01 02/03/12 Net Element, Inc. DE 1.01,9.01 02/02/12 NeurogesX Inc CA 1.01,3.02,9.01 01/31/12 NEWFIELD EXPLORATION CO /DE/ DE 7.01,9.01 02/06/12 NEWS CORP 8.01,9.01 02/06/12 Nielsen Holdings N.V. P7 2.02,9.01 02/06/12 Nielsen Holdings N.V. P7 1.01,2.03,9.01 02/02/12 NORTHWEST BIOTHERAPEUTICS INC DE 1.01,3.02 02/06/12 O CHARLEYS INC TN 1.01,3.02,7.01,9.01 02/05/12 O CHARLEYS INC TN 2.02,7.01,9.01 02/06/12 OCEANEERING INTERNATIONAL INC DE 7.01 02/06/12 OLD DOMINION FREIGHT LINE INC/VA VA 5.02,9.01 01/31/12 ONEOK INC /NEW/ OK 7.01,9.01 02/06/12 ONEOK Partners LP DE 7.01,9.01 02/06/12 ORBIT INTERNATIONAL CORP DE 5.02,9.01 01/31/12 Orexigen Therapeutics, Inc. DE 8.01 02/06/12 ORTHOFIX INTERNATIONAL N V 7.01,9.01 02/06/12 OWENS & MINOR INC/VA/ VA 2.02,5.02,7.01,9.01 02/02/12 OWENS ILLINOIS INC /DE/ DE 5.02,9.01 01/31/12 OxySure Systems Inc 5.02 02/06/12 PACIFIC FINANCIAL CORP WA 7.01 02/06/12 PACIFIC SUNWEAR OF CALIFORNIA INC CA 5.02 02/03/12 PACWEST BANCORP DE 7.01,9.01 02/06/12 PATRIOT TRANSPORTATION HOLDING INC FL 5.07 02/03/12 PENN NATIONAL GAMING INC PA 2.02,9.01 02/02/12 Perfumania Holdings, Inc. FL 2.02,9.01 02/02/12 PERICOM SEMICONDUCTOR CORP CA 2.02,9.01 01/31/12 AMEND PLATINUM ENERGY SOLUTIONS, INC. 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NV 1.01,1.02,2.03 01/30/12 SAVE THE WORLD AIR INC NV 5.02 02/01/12 SCHWEITZER MAUDUIT INTERNATIONAL INC DE 8.01,9.01 02/06/12 SERVICEMASTER CO DE 7.01 02/06/12 SERVICESOURCE INTERNATIONAL, INC. 2.02,9.01 02/06/12 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 7.01,9.01 02/06/12 SHERWIN WILLIAMS CO OH 1.01,2.03,9.01 02/06/12 SHORE BANCSHARES INC MD 8.01 02/02/12 Silver Falcon Mining, Inc. DE 8.01 02/06/12 Spirit Airlines, Inc. DE 1.01 01/31/12 STANDARD PACIFIC CORP /DE/ DE 2.02,9.01 02/06/12 STATE BANK FINANCIAL CORP GA 2.02,9.01 02/06/12 Station Casinos LLC NV 7.01 02/06/12 STERLING FINANCIAL CORP /WA/ WA 7.01,9.01 02/06/12 STRATS (SM) TRUST FOR JPMORGAN CHASE 8.01,9.01 02/01/12 STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 01/30/12 Strats(SM) Trust for JPMorgan Chase C 8.01,9.01 02/01/12 STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 02/01/12 SunCoke Energy, Inc. 7.01,9.01 02/06/12 SUREWEST COMMUNICATIONS CA 1.01,8.01,9.01 02/05/12 SUREWEST COMMUNICATIONS CA 8.01,9.01 02/06/12 SURMODICS INC MN 2.02,4.02,9.01 02/02/12 SYSCO CORP DE 2.02,9.01 02/06/12 SYSCO CORP DE 7.01,9.01 02/06/12 Tao Minerals Ltd. NV 5.02,5.07,9.01 01/30/12 TCF FINANCIAL CORP DE 2.02,7.01,9.01 02/06/12 TD AMERITRADE HOLDING CORP DE 5.02,9.01 01/31/12 TECHNICAL COMMUNICATIONS CORP MA 2.02,9.01 02/06/12 TELULAR CORP DE 2.01,2.03,3.02,9.01 02/01/12 AMEND TENNECO INC DE 5.02 02/02/12 TESORO LOGISTICS LP DE 2.02,9.01 02/06/12 Texas Rare Earth Resources Corp. NV 1.01,9.01 02/03/12 TF FINANCIAL CORP DE 7.01,9.01 02/06/12 TIVO INC DE 7.01 02/04/12 TNS INC 1.01,2.03,8.01,9.01 02/03/12 TOLL BROTHERS INC DE 1.01,2.03,9.01 01/31/12 TORCHMARK CORP DE 2.02,9.01 02/06/12 TORON INC. NV 1.01,9.01 02/06/12 Towers Watson & Co. DE 2.02,9.01 02/06/12 TRANSATLANTIC HOLDINGS INC DE 5.07,8.01,9.01 02/06/12 TRANSATLANTIC PETROLEUM LTD. D0 5.02,9.01 02/01/12 U.S. RARE EARTHS, INC NV 9.01 02/03/12 U.S. SILICA HOLDINGS, INC. DE 1.01,5.03,9.01 01/31/12 UDR, Inc. MD 2.02,9.01 02/06/12 UMH PROPERTIES, INC. MD 7.01,9.01 02/03/12 UNION FIRST MARKET BANKSHARES CORP VA 1.01,9.01 02/02/12 UNITED AMERICAN HEALTHCARE CORP MI 5.02 02/06/12 United American Petroleum Corp. NV 7.01,9.01 02/06/12 UNITED BANCSHARES INC /PA PA 1.01,9.01 01/31/12 UNITED NATURAL FOODS INC DE 5.02 02/02/12 UNITED STATES STEEL CORP DE 2.01,9.01 01/31/12 UNITED THERAPEUTICS Corp DE 5.02,8.01,9.01 02/01/12 UNIVERSAL HEALTH REALTY INCOME TRUST MD 8.01 10/07/11 Unum Group DE 2.02,2.06,9.01 02/03/12 USG CORP DE 2.02,9.01 02/06/12 Valley Commerce Bancorp CA 2.02,9.01 02/03/12 VEECO INSTRUMENTS INC DE 2.02,9.01 02/06/12 VelaTel Global Communications, Inc. NV 1.01,9.01 02/01/12 VENTAS INC DE 9.01 02/01/12 VERIFONE SYSTEMS, INC. DE 7.01 02/06/12 VIASAT INC DE 2.02,9.01 02/06/12 W&T OFFSHORE INC TX 2.02,9.01 01/31/12 WABASH NATIONAL CORP /DE DE 2.02,9.01 02/06/12 WAUSAU PAPER CORP. WI 2.02,9.01 02/06/12 WELLS REAL ESTATE INVESTMENT TRUST II MD 1.01,2.03 02/03/12 WERNER ENTERPRISES INC NE 7.01,9.01 02/06/12 WESBANCO INC WV 5.02,9.01 02/01/12 WESCO INTERNATIONAL INC 5.02,9.01 02/03/12 Win Global Markets, Inc. NV 3.02 02/06/12 Xenith Bankshares, Inc. VA 5.02,9.01 02/02/12 ZHONE TECHNOLOGIES INC DE 8.01 02/06/12
http://www.sec.gov/news/digest/2012/dig020712.htm
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