SEC News Digest

Enforcement proceedings

In the Matter of Robert Rossi

An Administrative Law Judge issued an Order Making Findings and Imposing Remedial Sanctions by Default (Default Order) in Robert Rossi, Admin. Proc. No. 3-14648. The Order Instituting Proceedings (OIP) alleged that Respondent Robert Rossi (Rossi) violated the antifraud provisions of the federal securities laws by engaging in a fraudulent scheme to misrepresent the use of offering proceeds to investors in limited liability company membership interests. On November 9, 2011, a default judgment was entered against Rossi in SEC v. Petroleum Unlimited, LLC, 9:11-cv-80038-KAM (S.D. Fla. Nov. 9, 2011), permanently enjoining him from violating Sections 17(a)(1), 17(a)(2), and 17(a)(3) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rule 10b-5. The district court further ordered Rossi to disgorge $36,400 in illegally obtained profits, plus prejudgment interest, and pay a civil money penalty in an amount to be determined.

The Default Order finds the allegations of the OIP to be true and concludes that, pursuant to Section 15(b) of the Exchange Act, it is in the public interest to bar Rossi from association with a broker, dealer, investment adviser, municipal securities dealer, transfer agent, and from participating in any offering of penny stock. (Rel. 34-66424; File No. 3-14648)

Self-Regulatory Organizations

Approval of Proposed Rule Changes

The Commission approved a proposed rule change (SR-CBOE-2011-126) filed by Chicago Board Options Exchange, Incorporated pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the CBOE Stock Exchange Request for Quote Rules Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66408)

The Commission approved a proposed rule change (SR-Phlx-2011-179), as modified by Amendment No. 1 thereto, submitted by NASDAQ OMX PHLX LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, relating to the listing and trading of MSCI EM Index options. Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66420)

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by New York Stock Exchange LLC (SR-NYSE-2012-04) to delete NYSE Rule 319 and its Interpretation, which address fidelity bond requirements, and adopt new rule text that is substantially similar to FINRA Rule 4360 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 27. (Rel. 34-66411)

A proposed rule change filed by The Depository Trust Company (DTC) to automate the “full call” notification process relating to money market instruments and reduce the time frame within which notices are required to be submitted (SR-DTC-2012-01) 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 27. (Rel. 34-66413)

A proposed rule change filed by NASDAQ OMX BX, Inc. amending BX Rule 7021 (SR-BX-2012-009) 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 27. (Rel. 34-66414)

A proposed rule change filed by the BATS Exchange, Inc. (SR-BATS-2012-010) 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 27. (Rel. 34-66422)

Proposed Rule Change

New York Stock Exchange LLC filed a proposed rule change (SR-NYSE-2012-05) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 amending NYSE Rule 476A to update its “List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A.” Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66421)

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-8     MASIMO CORP, 40 PARKER, IRVINE, CA, 92618, 949-297-7000 - 
        0 ($37,115,116.00) Equity, (File 333-179557 - Feb. 17) (BR. 10B)

S-1     E2open Inc, 4100 EAST THIRD AVENUE, SUITE 400, FOSTER CITY, CA, 94404, 
        650-645-6500 - 0 ($86,250,000.00) Equity, (File 333-179558 - Feb. 17) 
        (BR. 03A)

S-8     SPREADTRUM COMMUNICATIONS INC, 810 E ARQUES AVE, SUNNYVALE, CA, 94085, 
        4087358126 - 2,939,291 ($16,244,971.38) Equity, (File 333-179559 - 
        Feb. 17) (BR. 10C)

S-8     PILGRIMS PRIDE CORP, 1770 PROMONTORY CIRCLE, GREELEY, CO, 80634, 
        9705068000 - 2,000,000 ($9,000,000.00) Equity, (File 333-179563 - 
        Feb. 17) (BR. 05C)

S-8     TIMKEN CO, 1835 DUEBER AVE SW, CANTON, OH, 44706-2798, 3304713078 - 
        6,000,000 ($316,260,000.00) Equity, (File 333-179564 - Feb. 17) 
        (BR. 06A)

S-4     NORFOLK SOUTHERN CORP, THREE COMMERCIAL PL, NORFOLK, VA, 23510-2191, 
        7576292680 - 0 ($599,996,000.00) Debt, (File 333-179565 - Feb. 17) 
        (BR. 05B)

S-8     Neutral Tandem Inc, 550 WEST ADAMS ST, 9TH FLOOR, CHAICAGO, IL, 60661, 
        312-384-8040 - 0 ($7,448,199.63) Equity, (File 333-179566 - Feb. 17) 
        (BR. 11C)

S-3ASR  NORTHWESTERN CORP, 3010 W 69TH STREET, SIOUX FALLS, SD, 57108, 
        6059782908 - 0 ($0.00) Equity, (File 333-179568 - Feb. 17) (BR. 02B)

S-3ASR  NORFOLK SOUTHERN CORP, THREE COMMERCIAL PL, NORFOLK, VA, 23510-2191, 
        7576292680 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-179569 - Feb. 17) (BR. 05B)

S-3     HEADWATERS INC, 10653 SOUTH RIVERFRONT PARKWAY, SUITE 300, 
        SOUTH JORDAN, UT, 84095, 8019849400 - 0 ($1.00) Other, 
        (File 333-179572 - Feb. 17) (BR. 06A)

S-3ASR  OMNICOM GROUP INC, 437 MADISON AVE, NEW YORK, NY, 10022, 2124153600 - 
        0 ($0.00) Debt, 0 ($0.00) Equity, (File 333-179573 - Feb. 17) (BR. 11A)

S-3     LANTRONIX INC, 167 TECHNOLOGY DRIVE, IRVINE, CA, 92618, 9494533990 - 
        0 ($6,438,642.00) Equity, (File 333-179574 - Feb. 17) (BR. 03B)

S-3     PROVIDENT NEW YORK BANCORP, 400 RELLA BLVD, MONTEBELLO, NY, 10901, 
        8453698040 - 0 ($75,000,000.00) Other, (File 333-179575 - Feb. 17) 
        (BR. 07C)

S-3     AUTHENTIDATE HOLDING CORP, CONNELL CORPORATE CENTER, 
        300 CONNELL DRIVE, 5TH FLOOR, BERKELEY HEIGHTS, NJ, 07922, 9087871700 - 
        1,500,000 ($1,095,000.00) Equity, (File 333-179577 - Feb. 17) (BR. 03B)

S-3     Resource Capital Corp., 712 FIFTH AVENUE, 12TH FLOOR, NEW YORK, NY, 
        10019, 212-506-3870 - 0 ($84,525,000.00) Equity, (File 333-179578 - 
        Feb. 17) (BR. 08C)

F-1     AdChina Ltd., 211 SHI MEN YI ROAD, MEDIA ZONE JINGAN 20F, SHANGHAI, F4, 
        200041, 862162675588 - 0 ($100,000,000.00) ADRs/ADSs, 
        (File 333-179579 - Feb. 17) (BR. 03B)

S-4     SALLY HOLDINGS LLC, 3001 COLORADO BOULEVARD, DENTON, TX, 76210, 
        940-898-7500 - 0 ($750,000,000.00) Debt, (File 333-179580 - Feb. 17) 
        (BR. 02A)

F-1     Vipshop Holdings Ltd, No. 20 Huahai Street, Liwan district,, Guangzhou, 
        F4, 510370, +86 (20) 2233-0000 - 0 ($125,000,000.00) ADRs/ADSs, 
        (File 333-179581 - Feb. 17) (BR. )

S-3ASR  SYSCO CORP, 1390 ENCLAVE PKWY, HOUSTON, TX, 77077, 281-584-1390 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-179582 - Feb. 17) 
        (BR. 02C)

S-8     Ancestry.com Inc., 360 WEST 4800 NORTH, PROVO, UT, 84604, 
        801-705-7000 - 0 ($62,406,914.00) Equity, (File 333-179584 - Feb. 17) 
        (BR. 03A)

S-8     ORACLE CORP, 500 ORACLE PARKWAY, MAIL STOP 5 OP 7, REDWOOD CITY, CA, 
        94065, 6505067000 - 0 ($62,548,607.00) Equity, (File 333-179586 - 
        Feb. 17) (BR. 03B)

S-8     CEPHEID, 904 CARIBBEAN DRIVE, SUNNYVALE, CA, 94089, 4085414191 - 
        266,000 ($9,768,380.00) Equity, (File 333-179587 - Feb. 17) (BR. 10A)

S-4     Aircastle LTD, C/O AIRCASTLE ADVISOR LLC, 
        300 FIRST STAMFORD PLACE, 5TH FLOOR, STAMFORD, CT, 06902, 
        (203) 504-1020 - 0 ($150,000,000.00) Debt, (File 333-179588 - Feb. 17) 
        (BR. 06C)

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

30DC, INC.                              MD       7.01,9.01            02/09/12

AARON'S INC                             GA       2.02,9.01            02/09/12

ACCESS PHARMACEUTICALS INC              DE       1.01,9.01            02/10/12

ACME PACKET INC                         DE       5.02,9.01            02/06/12

Addus HomeCare Corp                     DE       7.01                 02/07/12

AETRIUM INC                             MN       2.02,9.01            02/09/12

AFLAC INC                               GA       1.01,2.03,9.01       02/08/12

AgFeed Industries, Inc.                 NV       2.04                 02/06/12

ALLIANCE ONE INTERNATIONAL, INC.        VA       9.01                 12/31/11

ALLIANT ENERGY CORP                     WI       2.02,9.01            02/10/12

Alliqua, Inc.                           FL       8.01,9.01            02/07/12

AMAZON COM INC                          DE       5.02                 02/09/12

AMBAC FINANCIAL GROUP INC               DE       5.02                 02/06/12

AMERIANA BANCORP                        IN       2.02,9.01            02/10/12

AMERICAN LEARNING Corp                  NY       2.02,8.01,9.01       02/10/12

American Midstream Partners, LP         DE       9.01                 12/01/11    AMEND

American Railcar Industries, Inc.       ND       7.01,8.01,9.01       02/09/12

AMPAL-AMERICAN ISRAEL CORP              NY       3.01                 02/10/12

AmREIT Monthly Income & Growth Fund I            1.01,1.02,2.01,2.04, 02/06/12
                                                 9.01
          
AMYRIS, INC.                            DE       7.01,9.01            02/09/12

Apollo Global Management LLC            DE       2.02,9.01            02/10/12

APPLIED ENERGETICS, INC.                DE       8.01                 02/09/12

APTARGROUP INC                          DE       2.02,9.01            02/09/12

ARCH COAL INC                           DE       2.02,9.01            02/10/12

Artio Global Investors Inc.             DE       7.01,9.01            02/10/12

ASB Bancorp Inc                         NC       8.01,9.01            02/10/12

ATMOS ENERGY CORP                       TX       5.07                 02/08/12

ATWOOD OCEANICS INC                     TX       5.07                 02/10/12

AXA EQUITABLE LIFE INSURANCE CO         NY       5.02                 02/10/12

Bacterin International Holdings, Inc.   DE       7.01,9.01            02/10/12

Bancorp, Inc.                                    7.01,9.01            02/10/12

BANK OF AMERICA CORP /DE/               DE       8.01                 02/09/12

Bank of the Carolinas CORP              NC       2.02,9.01            02/10/12

BARD C R INC /NJ/                       NJ       8.01                 02/10/12

BARD C R INC /NJ/                       NJ       5.02                 02/08/12

BCSB Bancorp Inc.                                5.07                 02/08/12

BEACON ENTERPRISE SOLUTIONS GROUP INC   NV       7.01,9.01            02/10/12

BEACON ROOFING SUPPLY INC               DE       5.07                 02/08/12

Behringer Harvard Opportunity REIT I,   MD       5.02                 02/10/12

BERRY PLASTICS CORP                     DE       5.02                 02/10/12

BIGLARI HOLDINGS INC.                   IN       5.02                 02/08/12

BIMINI CAPITAL MANAGEMENT, INC.         MD       8.01,9.01            02/10/12

BIOANALYTICAL SYSTEMS INC               IN       2.02,9.01            02/10/12

BIOMIMETIC THERAPEUTICS, INC.           DE       8.01,9.01            02/06/12

Bitzio, Inc.                            NV       2.01,3.02,9.01       09/14/11    AMEND

BLUE NILE INC                           DE       5.02,9.01            02/06/12

Bravo Brio Restaurant Group, Inc.       OH       5.02                 02/09/12

BRINKER INTERNATIONAL INC               DE       7.01,9.01            02/09/12

BUCKEYE PARTNERS, L.P.                  DE       1.01,2.02,5.02,7.01, 02/08/12
                                                 8.01,9.01
     
Cadista Holdings Inc.                   DE       1.01,5.02            02/06/12

CAESARS ENTERTAINMENT Corp              DE       7.01,9.01            02/09/12

CALPINE CORP                            DE       2.02,9.01            02/10/12

CAPITAL TRUST INC                       MD       5.05,8.01,9.01       02/07/12

CAPSTEAD MORTGAGE CORP                  MD       7.01,9.01            02/10/12

CardioNet, Inc.                         CA       1.01,7.01,9.01       02/10/12

CAREFUSION Corp                                  8.01,9.01            02/10/12

Catalent Pharma Solutions, Inc.         DE       2.02,9.01            02/10/12

CBL & ASSOCIATES PROPERTIES INC         DE       2.02,9.01            02/08/12

CDEX INC                                NV       1.03,2.04            02/10/12

CENTERLINE HOLDING CO                   DE       8.01,9.01            02/06/12

CH ENERGY GROUP INC                     NY       5.02,9.01            02/06/12

CH2M HILL COMPANIES LTD                 DE       8.01                 02/10/12

CHASE CORP                              MA       5.07                 02/06/12

CHEMUNG FINANCIAL CORP                  NY       2.02,9.01            12/31/11

China Armco Metals, Inc.                NV       5.02,9.01            02/08/12

CHINA EDUCATION TECHNOLOGY, INC.        NV       2.04,5.01,5.02,5.07, 02/10/12
                                                 9.01
          
CHINA SHEN ZHOU MINING & RESOURCES, I   NV       1.01,2.01,3.02,8.01, 01/16/12    AMEND
                                                 9.01
          
Chineseinvestors.com, Inc.              IN       3.02                 02/06/12

CHOICE BANCORP, INC.                    WI       2.02,9.01            02/10/12

CIRCLE STAR ENERGY CORP.                NV       1.02,8.01            02/06/12

CIRCLE STAR ENERGY CORP.                NV       1.01,2.03,3.02,8.01  02/08/12

Citi Trends Inc                                  5.02,9.01            02/07/12

CITIGROUP INC                           DE       2.02,8.01,9.01       02/09/12

CLAIRES STORES INC                      DE       2.02,9.01            02/10/12

CLEAN WIND ENERGY TOWER, INC.           NV       8.01,9.01            02/10/12

Cogdell Spencer Inc.                    MD       8.01                 02/10/12

COGNIZANT TECHNOLOGY SOLUTIONS CORP              5.02                 02/09/12

COLLECTORS UNIVERSE INC                 DE       2.02,9.01            02/09/11

COLOMBIA ENERGY RESOURCES, INC.         DE       1.01,2.01,2.03,9.01  10/07/11

COMSTOCK FUNDS INC                      MD       1.01,9.01            02/08/12

Comstock Mining Inc.                    NV       1.01,9.01            02/08/12

Converted Organics Inc.                 DE       3.02                 02/07/12

CORNING NATURAL GAS CORP                NY       1.01,8.01,9.01       02/06/12

CRAWFORD & CO                           GA       5.05,9.01            02/07/12

CRIMSON EXPLORATION INC.                         8.01,9.01            02/08/12

CSX CORP                                VA       5.02,9.01            02/10/12    AMEND

CUBIST PHARMACEUTICALS INC              DE       8.01,9.01            02/09/12

DIEBOLD INC                             OH       8.01                 02/10/12

DISCOUNT DENTAL MATERIALS, INC.                  1.01,2.01,2.03,3.02, 02/09/12
                                                 4.01,5.01,5.02,5.03,
                                                 9.01
  
Dresser-Rand Group Inc.                 DE       5.02,5.03,9.01       02/08/12

DYNEX CAPITAL INC                       VA       7.01,9.01            02/10/12

E TRADE FINANCIAL Corp                  DE       5.02                 02/10/12

EAGLE BANCORP INC                       MD       8.01,9.01            02/10/12

EAGLE BANCORP INC                       MD       5.02                 02/07/12

EAGLE ROCK ENERGY PARTNERS L P          DE       5.02,5.05,9.01       02/06/12

ECA Marcellus Trust I                   DE       2.02,9.01            02/09/12

EDIETS COM INC                          DE       5.02,9.01            02/06/12

ELECTRONICS FOR IMAGING INC             DE       5.02,9.01            02/08/12

Ellington Financial LLC                 DE       8.01,9.01            02/09/12

EMPIRE ENERGY CORP                      UT       8.01                 02/09/12

Emrise CORP                             DE       1.01,2.03,8.01,9.01  02/07/12

EMTEC INC/NJ                            UT       5.07                 02/07/12

ENVESTNET, INC.                         DE       1.01,7.01,9.01       02/10/12

EVANS BANCORP INC                       NY       2.02,9.01            02/09/12

EXELIXIS INC                            DE       8.01,9.01            02/09/12

EXIDE TECHNOLOGIES                      DE       7.01                 02/10/12

EXPRESS SCRIPTS INC                     DE       1.01,2.03,7.01,9.01  02/06/12

FAIR ISAAC CORP                         DE       5.02,5.07,9.01       02/06/12

FARMER BROTHERS CO                      CA       2.02,9.01            02/08/12

FBL FINANCIAL GROUP INC                 IA       7.01                 02/10/12

FBR & Co.                               VA       8.01                 02/08/12

Federal Home Loan Bank of Dallas                 2.03,9.01            02/06/12

FIRST FINANCIAL BANCORP /OH/            OH       7.01,9.01            02/10/12

FIRST REAL ESTATE INVESTMENT TRUST OF   NJ       8.01                 02/03/12    AMEND

First Savings Financial Group Inc                1.01,8.01,9.01       02/08/12

FLIR SYSTEMS INC                        OR       2.02,9.01            02/10/12

FLOW INTERNATIONAL CORP                 WA       1.01,9.01            02/06/12

FLOWERS FOODS INC                       GA       2.02,9.01            02/09/12

FLUSHING FINANCIAL CORP                 DE       7.01,9.01            02/10/12

FMC TECHNOLOGIES INC                    DE       8.01,9.01            02/09/12

FORD MOTOR CO                           DE       5.02,9.01            02/09/12

FORD MOTOR CO                           DE       5.02,9.01            02/09/12

FOUR RIVERS BIOENERGY INC.              NV       1.01,9.01            02/09/12

FRANKLIN CREDIT HOLDING CORP/DE/        DE       1.01,9.01            02/08/12

FUNCTION (X) INC.                       DE       8.01,9.01            02/10/12

GameStop Corp.                          DE       5.02                 02/09/12

Geeknet, Inc                            DE       5.02,9.01            02/09/12

GEN PROBE INC                           DE       5.02,9.01            02/08/12

GENERAC HOLDINGS INC.                   DE       1.01,1.02,2.03,9.01  02/09/12

General Finance CORP                    DE       8.01,9.01            02/10/12

General Finance CORP                    DE       8.01,9.01            02/10/12

GENTA INC DE/                           DE       8.01                 02/10/12

GIBRALTAR INDUSTRIES, INC.              DE       5.02                 02/06/12

GLOBAL NUTECH, INC.                     NV       5.02                 02/03/12

GLU MOBILE INC                          DE       8.01                 02/10/12

GOLDEN RIVER RESOURCES CORP.            DE       1.01,2.01,9.01       02/06/12

GREAT PLAINS ENERGY INC                 MO       5.02                 02/07/12

GUARANTY FEDERAL BANCSHARES INC         DE       5.02                 02/07/12

HALOZYME THERAPEUTICS INC               DE       1.01,8.01,9.01       02/10/12

HARBINGER GROUP INC.                    DE       2.02,9.01            02/09/12

HARMONY METALS, INC.                    FL       5.03                 12/30/11    AMEND

HAWKER BEECHCRAFT ACQUISITION CO LLC    DE       5.02,9.01            02/06/12

HINTO ENERGY, INC                       WY       7.01,9.01            02/09/12

HOME PROPERTIES INC                     MD       2.02,9.01            02/09/12

HomeTown Bankshares Corp                         2.02,9.01            02/06/12

HORIZON BANCORP /IN/                    IN       1.01,7.01,9.01       02/09/12

HUDSON CITY BANCORP INC                 DE       5.02,9.01            02/09/12

HUNT GLOBAL RESOURCES, INC.             CO       2.03,3.02,5.02,7.01, 02/07/12
                                                 9.01
          
HUTCHINSON TECHNOLOGY INC               MN       1.01                 02/06/12

INFOSPACE INC                           DE       5.02,9.01            02/08/12

INTEGRATED ENVIRONMENTAL TECHNOLOGIES   NV       3.02                 02/06/12

INTERNATIONAL CARD ESTABLISHMENT INC    DE       4.01,9.01            02/07/12

INTERPHASE CORP                         TX       2.02,9.01            02/09/12

Invesco Ltd.                            D0       7.01,9.01            02/09/12

INVIVO THERAPEUTICS HOLDINGS CORP.      NV       2.02                 02/06/12

IPG PHOTONICS CORP                      DE       2.02,9.01            02/10/12

ISECURETRAC CORP                        DE       5.02                 02/03/12

ISLE OF CAPRI CASINOS INC               DE       2.01,2.06,9.01       02/07/12

JETBLUE AIRWAYS CORP                    DE       7.01,8.01,9.01       02/10/12

Kallo Inc.                              NV       4.01                 02/06/12

Kodiak Oil & Gas Corp                   B0       2.02,9.01            02/08/12

KRONOS WORLDWIDE INC                             7.01,9.01            02/09/12

LABORATORY CORP OF AMERICA HOLDINGS     DE       2.02                 02/10/12

LABORATORY CORP OF AMERICA HOLDINGS     DE       7.01                 02/10/12

LADENBURG THALMANN FINANCIAL SERVICES   FL       1.01,5.02,9.01       02/08/12

LANDAUER INC                            DE       5.07                 02/09/12

LIBERATOR MEDICAL HOLDINGS, INC.        NV       1.01,9.01            02/08/12

Liberator, Inc.                         FL       7.01,9.01            02/07/12

Lifeloc Technologies Inc                CO       2.02,9.01            02/04/12

LML PAYMENT SYSTEMS INC                 A1       2.02,7.01,9.01       02/10/12

LNB BANCORP INC                         OH       7.01,9.01            02/10/12

LTS Nutraceuticals, Inc.                NV       2.01,9.01            12/14/11    AMEND

LyondellBasell Industries N.V.          P7       2.02,7.01,9.01       02/10/12

MAGMA DESIGN AUTOMATION INC             DE       8.01                 02/08/12

Mass Hysteria Entertainment Company,    NV       5.02                 02/08/12

MASTERCARD INC                          DE       5.02                 02/06/12

Mattersight Corp                        DE       5.02                 02/06/12

MCDONALDS CORP                          DE       5.02                 02/08/12

MEDIA GENERAL INC                       VA       1.01,9.01            02/08/12

Medley Capital Corp                     DE       1.01,9.01            02/10/12

METABOLIX, INC.                                  1.01,3.03,9.01       02/06/12

Mindesta Inc.                           DE       8.01,9.01            02/10/12

Momentive Performance Materials Inc.    DE       2.02,9.01            02/10/12

MOMENTIVE SPECIALTY CHEMICALS INC.      NJ       2.02,9.01            02/10/12

MONY LIFE INSURANCE CO OF AMERICA       AZ       5.02                 02/10/12

MUSTANG ALLIANCES, INC.                          1.01,3.02,5.02,9.01  02/01/12

Myrexis, Inc.                           DE       2.02,9.01            02/09/12

NACCO INDUSTRIES INC                    DE       5.02                 12/15/11    AMEND

NEOMEDIA TECHNOLOGIES INC               DE       1.01,3.02,9.01       02/06/12

NEPHROS INC                             DE       8.01,9.01            02/10/12

NETFLIX INC                             DE       8.01                 02/10/12

NETREIT, INC.                           MD       8.01,9.01            12/28/11    AMEND

NEWS CORP                                        8.01,9.01            02/10/12

NGL Energy Partners LP                  DE       2.01,8.01,9.01       02/06/12

Northfield Bancorp, Inc.                X1       7.01,9.01            02/10/12

Northfield Bancorp, Inc.                X1       2.02,9.01            02/08/12

NV ENERGY, INC.                         NV       5.02                 02/10/12

NYSE Euronext                           DE       2.02,9.01            02/10/12

Oculus Innovative Sciences, Inc.        CA       3.01                 02/07/12

OCWEN FINANCIAL CORP                    FL       8.01                 02/10/12

Omnitek Engineering Corp                CA       1.01,9.01            02/01/12

Orange 21 Inc.                          DE       5.03,8.01,9.01       02/06/12

OSIRIS THERAPEUTICS, INC.               DE       1.02,9.01            02/08/12

OVERLAND STORAGE INC                    CA       2.02,9.01            02/10/12

OVERSEAS SHIPHOLDING GROUP INC          DE       8.01,9.01            02/09/12

PALOMAR MEDICAL TECHNOLOGIES INC        DE       5.02,9.01            02/10/12

Park Sterling Corp                      NC       7.01,9.01            02/10/12

PennantPark Floating Rate Capital Ltd            5.07                 02/07/12

PENNANTPARK INVESTMENT CORP                      5.07                 02/07/12

PENSON WORLDWIDE INC                    DE       5.02,9.01            02/09/12

PEOPLES BANCORP INC                     OH       7.01,8.01,9.01       02/10/12

PERFICIENT INC                          DE       7.01,9.01            02/09/12

PERNIX THERAPEUTICS HOLDINGS, INC.      MD       1.01,8.01,9.01       02/10/12

PetroAlgae Inc.                         DE       5.02,5.03,7.01,9.01  02/10/12

Piedmont Office Realty Trust, Inc.      MD       2.02,9.01            02/09/12

PIXELWORKS, INC                         OR       1.01,5.02,9.01       02/08/12

POWERSECURE INTERNATIONAL, INC.         DE       1.01,2.03,9.01       02/07/12

PPL Corp                                         2.02,7.01,9.01       02/10/12

PRESSTEK INC /DE/                       DE       1.01,5.02,9.01       02/10/12

Prestige Brands Holdings, Inc.                   2.02,7.01,9.01       02/10/12    AMEND

PROCTER & GAMBLE Co                     OH       8.01                 02/10/12

PROTECTIVE LIFE CORP                    DE       2.02,9.01            02/09/12

PROTEONOMIX, INC.                       DE       5.02                 02/10/12

PSS WORLD MEDICAL INC                   FL       8.01,9.01            02/10/12

Pzena Investment Management, Inc.       DE       2.02,9.01            12/31/11

Pzena Investment Management, Inc.       DE       8.01,9.01            01/31/12

QUALITY DISTRIBUTION INC                FL       2.02,9.01            02/09/12

QUICKSILVER RESOURCES INC               DE       7.01,9.01            02/10/12

QUICKSILVER RESOURCES INC               DE       8.01                 02/10/12

RADIANT LOGISTICS, INC                  DE       9.01                 12/01/11    AMEND

RADIENT PHARMACEUTICALS Corp            DE       5.03,8.01            01/03/12    AMEND

Rand Logistics, Inc.                    DE       7.01,9.01            02/10/12

RAPTOR NETWORKS TECHNOLOGY INC                   1.01,3.02,5.01,5.02, 12/05/11    AMEND
                                                 9.01
          
Rentech Nitrogen Partners, L.P.         DE       5.03,9.01            02/09/12

Riverview Financial Corp                PA       2.02,8.01            02/09/12

ROCKWELL AUTOMATION INC                 DE       5.07                 02/07/12

ROCKWELL MEDICAL TECHNOLOGIES INC       MI       1.01,9.01            02/09/12

Ruths Hospitality Group, Inc.           DE       2.02,9.01            02/10/12

SALIX PHARMACEUTICALS LTD                        8.01,9.01            02/07/12

Sally Beauty Holdings, Inc.                      1.01,8.01,9.01       02/06/12

SANMINA-SCI CORP                        DE       8.01,9.01            02/10/12

SECURITY NATIONAL FINANCIAL CORP        UT       8.01                 12/21/11

SERACARE LIFE SCIENCES INC                       2.02,9.01            02/10/12

SERVICESOURCE INTERNATIONAL, INC.                5.02,9.01            02/06/12

SINOCOKING COAL & COKE CHEMICAL INDUS   FL       8.01,9.01            02/10/12

SNYDER'S-LANCE, INC.                    NC       2.02,9.01            02/10/12

SOUND KITCHEN ENTERTAINMENT GROUP, IN   FL       5.02,5.03,9.01       02/09/12

SOUPMAN, INC.                           DE       7.01,9.01            02/10/12

SOUTHERN CO                             DE       8.01                 02/09/12

SPANISH BROADCASTING SYSTEM INC         DE       3.01                 02/06/12

SPRINT NEXTEL CORP                      KS       7.01,9.01            02/09/12

STAMPS.COM INC                          DE       2.02,9.01            02/09/12

STATE INVESTORS BANCORP, INC.                    2.02,9.01            02/09/12

SUPERVALU INC                           DE       5.02                 02/07/12

SUREWEST COMMUNICATIONS                 CA       8.01,9.01            02/10/12

SURMODICS INC                           MN       5.02,5.07,9.01       02/06/12

SYNTHESIS ENERGY SYSTEMS INC            DE       2.02,7.01,9.01       02/09/12

TANDY BRANDS ACCESSORIES INC            DE       2.02,9.01            02/10/12

TBS International plc                   L2       3.01                 02/07/12

TECHPRECISION CORP                               5.02,9.01            02/08/12

Tennessee Valley Authority                       8.01                 02/09/12

Terra Tech Corp.                        NV       1.01,2.01,3.02,3.03, 02/09/12
                                                 5.01,5.03,5.06,8.01,
                                                 9.01
  
TIDEWATER INC                           DE       8.01,9.01            02/07/12

TIMKEN CO                               OH       8.01                 02/10/12

TITAN PHARMACEUTICALS INC               DE       8.01,9.01            02/09/12

Tootie Pie Company, Inc.                TX       5.02,9.01            02/06/12

TORTOISE CAPITAL RESOURCES CORP                  7.01,8.01,9.01       02/06/12

TOWER BANCORP INC                       PA       5.02                 02/09/12

TPG Specialty Lending, Inc.             DE       3.02                 02/08/12

TrackSoft Systems, Inc.                 WY       1.01,2.01,3.02,4.01, 02/06/12
                                                 5.01,5.02,5.06,9.01
       
TRANSWITCH CORP /DE                     DE       1.01,7.01,9.01       02/10/12

TreeHouse Foods, Inc.                   DE       2.02,7.01,9.01       02/10/12

Tropicana Entertainment Inc.            DE       7.01,9.01            02/10/12

Two Harbors Investment Corp.                     7.01,9.01            02/10/12

U-SWIRL, INC.                           NV       8.01                 02/08/12

U. S. Premium Beef, LLC                          7.01,9.01            02/10/12

Unilife Corp                            DE       2.02,7.01,9.01       02/09/12

United Financial Bancorp, Inc.                   7.01,9.01            02/10/12

UNITED STATES ANTIMONY CORP             MT       5.02                 02/09/12

UNIVERSAL HOSPITAL SERVICES INC         MN       5.02                 02/08/12

USA TRUCK INC                           DE       2.02,5.02,9.01       02/06/12

VAIL RESORTS INC                        DE       5.02                 02/06/12

VALUEVISION MEDIA INC                   MN       1.01,1.02,2.02,2.03, 02/09/12
                                                 8.01,9.01
     
Vanity Events Holding, Inc.             DE       8.01                 02/09/12

VAULT AMERICA, INC.                     A0       2.01,5.01,9.01       02/02/12

VERDE RESOURCES, INC.                   NV       1.01,9.01            02/08/12

ViewPoint Financial Group Inc.                   7.01,8.01,9.01       02/10/12

VirtualScopics, Inc.                    DE       8.01,9.01            02/09/12

Web Wizard, Inc.                        NV       8.01                 02/07/12

WEIKANG BIO-TECHNOLOGY GROUP CO., INC   NV       8.01                 02/06/12

WELLS FARGO & CO/MN                     DE       8.01,9.01            02/09/12

WESBANCO INC                            WV       7.01,9.01            02/10/12

WESTWOOD HOLDINGS GROUP INC             DE       5.02,7.01,9.01       02/07/12

WINN DIXIE STORES INC                   FL       8.01,9.01            02/10/12

WINNER MEDICAL GROUP INC                NV       2.02,9.01            02/09/12

XENOPORT INC                            DE       5.02,9.01            02/09/12

XTRA-GOLD RESOURCES CORP                         7.01,9.01            02/10/12

ZOLL MEDICAL CORP                       MA       5.07                 02/09/12

Zumiez Inc                              WA       2.05                 02/06/12

http://www.sec.gov/news/digest/2012/dig022112.htm