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Commission announcementsAvailability of Staff Analysis of Market Data Related to Credit Default Swap TransactionsOn March 15, 2012, the staff of the Securities and Exchange Commission made available publicly an analysis of market data related to credit default swap transactions. The analysis, which was conducted by the staff of the SEC’s Division of Risk, Strategy, and Financial Innovation, is available for review and comment as part of the comment file for rules the SEC proposed, jointly with the Commodity Futures Trading Commission, to further define the terms “swap dealer," "security-based swap dealer," "major swap participant," "major security-based swap participant," and "eligible contract participant." The SEC and CFTC jointly proposed those rules in December 2010 as one part of the implementation of Title VII of the Dodd-Frank Act. The SEC staff believes that the analysis of market data has the potential to be informative for evaluating certain final rules under Title VII, including rules that further define “major security-based swap participant” and “security-based swap dealer,” and rules implementing the statutory de minimis exception to the latter definition. Analyses of this type particularly may supplement other information considered in connection with those final rules, and the SEC staff is making this analysis available to allow the public to consider this supplemental information. The SEC staff expects that the Commission will consider the adoption of rules defining these terms in the next several weeks. (Press Rel. 2012-47) RULES AND RELATED MATTERSSEC Amends Practice Rules to Allow for Electronic Filing of 8b LettersThe Securities and Exchange Commission announced it is making technical amendments to the rule under which former members and employees of the Commission are required to file with the Commission a statement concerning their practice outside the Government. The amendments change the office responsible for processing these statements and provide a means of filing a statement electronically. In order to increase efficiency, SEC conduct Rule 8(b) submissions are to be sent to the Office of the Ethics Counsel rather than the Secretary of the Commission and may be filed electronically. (Rel. 34-66502) Notice to Revise Two Existing Systems of RecordsThe Commission issued a notice requesting comments on the proposed revision of two existing Privacy Act systems of records: “Administrative Audit System (SEC-14) and Fitness Center Membership, Payment, and Fitness Records (SEC-48).” The revisions reflect changes that have occurred since the notices were last published and will update the systems names, system locations, categories of individuals covered by the systems, categories of records in the systems, routine uses of records maintained in the systems, retrievability of records, records' safeguards, retention and disposition of records, system managers and addresses, notification procedures, record access procedures, contesting records procedures, and record source categories. Publication of this notice is expected in the Federal Register during the week of March 18. (Rel. PA-48; File No. S7-03-12) ENFORCEMENT PROCEEDINGSDelinquent Filers’ Stock Registrations RevokedThe registrations of the registered securities of JMAR Technologies, Inc., Lifestream Technologies, Inc., and Luna Technologies International, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-66612; File No. 3-14768) Delinquent Filers’ Stock Registrations RevokedThe registrations of the registered securities of American Unity Investments, Inc., China Display Technologies, Inc., China Wind Energy, Inc., Environment Ecology Holding Company of China, First Capital China Corporation, Fuda Faucet Works, Inc., Greater China Media & Entertainment Corp., Xechem International, Inc., and Yi Xin International Copper, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-66613; File No. 3-14732) SEC Charges Former Executive at CKE Restaurants with Insider TradingOn March 15, 2012, the Securities and Exchange Commission charged a former executive at the parent company of Carl’s Jr. and Hardee’s fast food restaurants with insider trading in the company’s securities based on confidential information he learned on the job. The SEC alleges that Noah J. Griggs, Jr., who was executive vice president of training and leadership development at CKE Restaurants Inc., made two purchases totaling 50,000 shares of CKE stock after attending an executive meeting during which he learned that the company was in discussions with private equity investors about a possible acquisition. Griggs made a potential profit of $145,430 after the stock price soared when the merger was announced publicly. Griggs has agreed to pay $268,000 to settle the SEC’s charges without admitting or denying the allegations. CKE Restaurants, Inc. is based in Carpinteria, California. Its common stock was listed on the NYSE under the ticker symbol CKR until July 13, 2010, when the NYSE suspended trading of the stock following the company’s acquisition by Columbia Lake Acquisition Holdings, Inc. The SEC’s complaint charges Griggs with violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5(a) and (c) thereunder. Griggs agreed to settle the case, without admitting or denying the allegations, by disgorging his illicit gains of $145,430, paying prejudgment interest of $11,035.74, and paying a civil penalty totaling $111,730, as well as by agreeing to the entry of a final judgment permanently enjoining him from violating Section 10(b) of the Exchange Act and Rule 10b-5 and barring him from serving as an officer or director of a public company for ten years. The settlement is subject to court approval. The SEC acknowledges the assistance of NYSE Regulation, Inc. in this matter. [SEC v. Griggs, United States District Court, Central District of California, Civil Action No. CV 12-2203 GAF (FMOx)] (LR-22295) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-26) relating to equity options fees 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 March 19. (Rel. 34-66584) A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-13) to adopt a route-out fee for Priority Customer orders 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 March 19. (Rel. 34-66589) A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-12) relating to API fees 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 March 19. (Rel. 34-66590) A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-036) to eliminate the 100MB connectivity option and fee 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 March 19. (Rel. 34-66591) A proposed rule change filed by NASDAQ OMX BX, Inc. to eliminate the 100MB connectivity option and fee (SR-BX-2012-018) 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 March 19. (Rel. 34-66592) A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-30) to eliminate the 100MB connectivity option and fee 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 March 19. (Rel. 34-66593) A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-11) to amend Rule 626, Telephone Solicitation, to revise and add provisions that are substantially similar to Federal Trade Commission rules that prohibit deceptive and other abusive telemarketing acts or practices has become immediately effective pursuant to Section 19(b)(3) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-66595) A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-18) to increase certain rebates for certain complex orders 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 March 19. (Rel. 34-66596) A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-17) to amend certain transaction fees 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 March 19. (Rel. 34-66597) A proposed rule change filed by Chicago Mercantile Exchange Inc. (CME) adding additional series of Credit Default Index swaps available for clearing (SR-CME-2012-07) 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 March 19. (Rel. 34-66601) A proposed rule change filed by NASDAQ OMX PHLX LLC relating to the Acceptable Complex Execution (ACE) Parameter order protection feature (SR-Phlx-2012-31) 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 March 19. (Rel. 34-66602) A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-024) to amend Rule 9.24, Telephone Solicitation, to revise and add provisions that are substantially similar to Federal Trade Commission rules that prohibit deceptive and other abusive telemarketing acts or practices has become immediately effective pursuant to Section 19(b)(3) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-66609) 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-3ASR MGM Resorts International, 3600 LAS VEGAS BLVD S, LAS VEGAS, NV, 89109, 702-693-7120 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-180112 - Mar. 15) (BR. 08C) S-3ASR Kraton Performance Polymers, Inc., 15710 JOHN F. KENNEDY BLVD., SUITE 300, HOUSTON, TX, 77032, 800 457-2866 - 0 ($0.00) Non-Convertible Debt, (File 333-180113 - Mar. 15) (BR. 06B) S-3 CAESARS ENTERTAINMENT Corp, ONE CAESARS PALACE DRIVE, LAS VEGAS, NV, 89109, 7024076000 - 0 ($500,000,000.00) Equity, (File 333-180115 - Mar. 15) (BR. 08C) S-3 CAESARS ENTERTAINMENT Corp, ONE CAESARS PALACE DRIVE, LAS VEGAS, NV, 89109, 7024076000 - 0 ($266,729,367.00) Equity, (File 333-180116 - Mar. 15) (BR. 08C) S-8 Voice Assist, Inc., 2 SOUTH POINTE DR., SUITE 100, LAKE FOREST, CA, 92630, (949) 655-1677 - 3,000,000 ($450,000.00) Equity, (File 333-180117 - Mar. 15) (BR. 02B) S-8 FOSTER L B CO, 415 HOLIDAY DR, PITTSBURGH, PA, 15220, 4129283431 - 400,000 ($11,296,000.00) Equity, (File 333-180118 - Mar. 15) (BR. 05A) S-8 MoSys, Inc., 3301 OLCOTT STREET, SANTA CLARA, CA, 95054, 408 418 7500 - 0 ($4,490,000.00) Equity, (File 333-180119 - Mar. 15) (BR. 10B) S-4 CITY HOLDING CO, 25 GATEWATER ROAD, P O BOX 7520, CHARLESTON, WV, 25313, 3047691100 - 240,000 ($1,473,600.00) Equity, (File 333-180120 - Mar. 15) (BR. 07B) S-3 PARK NATIONAL CORP /OH/, 50 NORTH THIRD ST, NEWARK, OH, 43055, 6143498451 - 327,376 ($114,999,995.00) Equity, (File 333-180121 - Mar. 15) (BR. 07B) S-8 AIR PRODUCTS & CHEMICALS INC /DE/, 7201 HAMILTON BLVD, ALLENTOWN, PA, 18195-1501, 6104814911 - 0 ($36,000,000.00) Equity, (File 333-180122 - Mar. 15) (BR. 06C) S-8 AIR PRODUCTS & CHEMICALS INC /DE/, 7201 HAMILTON BLVD, ALLENTOWN, PA, 18195-1501, 6104814911 - 0 ($121,452,049.00) Equity, (File 333-180123 - Mar. 15) (BR. 06C) S-8 ENERNOC INC, 101 FEDERAL STREET, 11TH FLOOR, BOSTON, MA, 02110, (617) 224-9900 - 520,000 ($3,775,200.00) Equity, (File 333-180124 - Mar. 15) (BR. 03A) S-1 LEXARIA CORP., 604-602-1675 - 22,594,893 ($5,638,774.32) Equity, (File 333-180125 - Mar. 15) (BR. 04B) S-8 ALPHA & OMEGA SEMICONDUCTOR Ltd, 475 OAKMEAD PARKWAY, SUNNYVALE, CA, 94085, 408-830-9742 - 922,011 ($8,657,683.29) Equity, (File 333-180126 - Mar. 15) (BR. 10A) S-3 SCICLONE PHARMACEUTICALS INC, 950 TOWER LANE, SUITE 900, FOSTER CITY, CA, 94404-2125, 650-358-3456 - 0 ($5,290,000.00) Equity, 0 ($100,000,000.00) Other, (File 333-180131 - Mar. 15) (BR. 01B) S-8 ReachLocal Inc, 21700 OXNARD STREET, SUITE 1600, WOODLAND HILLS, CA, 91367, 8189369906 - 1,484,837 ($11,284,761.00) Equity, (File 333-180135 - Mar. 15) (BR. 11C) S-1 Ecolivegreen Corp, 7076 SPYGLASS AVENUE, PARKLAND, FL, 33076, 954-599-3672 - 4,000,000 ($500,000.00) Equity, (File 333-180136 - Mar. 15) (BR. 11A) S-8 Angie's List, Inc., 1030 EAST WASHINGTON STREET, SUITE 100, INDIANAPOLIS, IN, 46202, 317-803-3973 - 0 ($44,436,346.99) Equity, (File 333-180137 - Mar. 15) (BR. 11C) S-8 Mass Hysteria Entertainment Company, Inc., 8899 BEVERLY BLVD., SUITE 710, LOS ANGELES, CA, 90048, 310-285-7800 - 56,000,000 ($151,200.00) Equity, (File 333-180138 - Mar. 15) (BR. 05B) S-8 GREENWAY MEDICAL TECHNOLOGIES INC, 1340 NORTH PARK STREET, CARROLLTON, GA, 30117, 0 ($61,966,902.80) Equity, (File 333-180139 - Mar. 15) (BR. 03C) S-8 SOLAZYME INC, 225 GATEWAY BLVD., S. SAN FRANCISCO, CA, 94080, 650-780-4777 - 3,600,434 ($42,479,121.08) Equity, (File 333-180140 - Mar. 15) (BR. 06A) S-3 PROCERA NETWORKS INC, 4121 CLIPPER COURT, FREMONT, CA, 94538, 510-230-2777 - 0 ($100,000,000.00) Equity, (File 333-180141 - Mar. 15) (BR. 03C) S-8 SILVER BULL RESOURCES, INC., 885 WEST GEORGIA STREET, SUITE 2200, VANCOUVER, A1, V6C 3E8, 604-887-5800 - 3,316,015 ($1,890,128.55) Equity, (File 333-180142 - Mar. 15) (BR. 09B) S-3 SILVER BULL RESOURCES, INC., 885 WEST GEORGIA STREET, SUITE 2200, VANCOUVER, A1, V6C 3E8, 604-887-5800 - 0 ($125,000,000.00) Equity, (File 333-180143 - Mar. 15) (BR. 09B) S-8 Anthera Pharmaceuticals Inc, 25801 INDUSTRIAL BOULEVARD, SUITE B, HAYWARD, CA, 94545, (510) 856-5600 - 0 ($6,304,320.14) Equity, (File 333-180144 - Mar. 15) (BR. 01B) S-1 ACCENTIA BIOPHARMACEUTICALS INC, 324 SOUTH HYDE PARK AVE, SUITE 350, TAMPA, FL, 33606, 8138642562 - 1,759,532 ($686,217.48) Equity, (File 333-180145 - Mar. 15) (BR. 01B) S-8 Anacor Pharmaceuticals Inc, 1020 E. MEADOW CIRCLE, PALO ALTO, CA, 94303, 650-543-7500 - 0 ($6,606,474.55) Equity, (File 333-180146 - Mar. 15) (BR. 01A) S-3 SANTANDER DRIVE AUTO RECEIVABLES LLC, 8585 NORTH STEMMONS FREEWAY, SUITE 1100-N, DALLAS, TX, 75247, 214-237-3530 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-180147 - Mar. 15) (BR. OSF) S-8 ZHONE TECHNOLOGIES INC, 7195 OAKPORT STREET, OAKLAND, CA, 94621, 5107777000 - 627,340 ($715,168.00) Equity, (File 333-180148 - Mar. 15) (BR. 11C) S-8 THRESHOLD PHARMACEUTICALS INC, 170 HARBOR WAY, SUITE 300, SOUTH SAN FRANCISCO, CA, 94080, 650 474 8200 - 1,350,000 ($8,277,000.00) Equity, (File 333-180149 - Mar. 15) (BR. 01A) N-2 KEATING CAPITAL INC, 5251 DTC PARKWAY, SUITE 1100, Greenwood Village, CO, 80111, 720-889-0139 - 4,025,000 ($34,615,000.00) Equity, (File 333-180150 - Mar. 15) (BR. 18) S-8 Convio, Inc., 11501 DOMAIN DRIVE, SUITE 200, AUSTIN, TX, 78758, 512-652-2600 - 743,652 ($11,682,772.92) Equity, (File 333-180151 - Mar. 15) (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 ----------------------------------------------------------------------------------------- AAR CORP DE 1.01,2.03,9.01 03/09/12 ABRAXAS PETROLEUM CORP NV 2.02,9.01 03/15/12 ADCARE HEALTH SYSTEMS INC OH 1.01,1.02,2.03,9.01 03/09/12 ADTRAN INC DE 2.02,9.01 03/15/12 ADVANCED ENVIRONMENTAL RECYCLING TECH DE 5.02,9.01 03/15/12 ADVANCED MEDICAL ISOTOPE Corp DE 3.02,5.02,9.01 03/09/12 ADVOCAT INC DE 1.01,5.02 03/09/12 AK STEEL HOLDING CORP DE 7.01,9.01 03/15/12 Allezoe Medical Holdings Inc DE 5.02 03/15/12 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 03/15/12 Alliance Holdings GP, L.P. DE 7.01,9.01 03/15/12 ALLIANCE RESOURCE PARTNERS LP DE 7.01,9.01 03/15/12 AMC Networks Inc. DE 2.02,9.01 03/15/12 AMERICA FIRST TAX EXEMPT INVESTORS LP DE 8.01 03/15/12 AMERICAN EXPRESS CO NY 7.01 03/15/12 AMERICAN SHARED HOSPITAL SERVICES CA 2.02,9.01 03/15/12 AMERICAN SHARED HOSPITAL SERVICES CA 2.02,9.01 03/15/12 AMEND American Strategic Minerals Corp NV 1.01,9.01 03/09/12 AMERIGAS PARTNERS LP DE 8.01,9.01 03/14/12 ANALOG DEVICES INC MA 3.01,5.07,9.01 03/13/12 ARDEN GROUP INC DE 2.02,9.01 03/15/12 ARI NETWORK SERVICES INC /WI WI 2.02,9.01 03/15/12 ATHERSYS, INC / NEW DE 1.01,3.02,9.01 03/09/12 Atlantic Green Power Holding Co DE 1.01 02/27/12 AMEND ATP OIL & GAS CORP TX 1.01,2.03,3.03,8.01, 03/09/12 9.01 AUTOLIV INC DE 8.01,9.01 03/15/12 Avatar Ventures Corp. NV 5.02,9.01 03/05/12 AVAYA INC DE 1.01,8.01,9.01 03/14/12 BALDWIN TECHNOLOGY CO INC DE 5.07,8.01 03/15/12 BankFinancial CORP 8.01,9.01 03/14/12 AMEND BARRETT BUSINESS SERVICES INC MD 3.02 03/09/12 Bella Petrellas Holdings, Inc. FL 5.02,9.01 03/08/12 BIOCANCELL THERAPEUTICS INC. 8.01 03/13/12 BioScrip, Inc. DE 2.02,9.01 03/15/12 BOOKS A MILLION INC DE 5.02,8.01,9.01 03/13/12 Brownie's Marine Group, Inc NV 3.02,5.02 03/13/12 Brownie's Marine Group, Inc NV 8.01,9.01 02/03/12 BUTLER NATIONAL CORP DE 2.02,9.01 03/14/12 CABELAS INC DE 7.01,9.01 03/15/12 CALLON PETROLEUM CO DE 4.02 03/14/12 CAPELLA EDUCATION CO 8.01 03/15/12 CAPITAL ONE FINANCIAL CORP DE 9.01 03/14/12 AMEND CARDINAL FINANCIAL CORP VA 5.02,9.01 03/13/12 Carter Validus Mission Critical REIT, MD 7.01,9.01 03/15/12 Carter Validus Mission Critical REIT, MD 2.01,9.01 01/03/12 AMEND CASEYS GENERAL STORES INC IA 7.01 03/15/12 CASUAL MALE RETAIL GROUP INC DE 2.02,2.05,9.01 03/15/12 CEF EQUIPMENT HOLDING LLC DE 9.01 03/14/12 Celsion CORP DE 2.02,9.01 03/15/12 CENTRUE FINANCIAL CORP DE 2.02,9.01 03/15/12 Ceres Ventures, Inc. NV 9.01 12/29/11 AMEND CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 03/15/12 CHDT CORP FL 7.01,9.01 03/13/12 CHDT CORP FL 7.01,9.01 03/13/12 CHIMERA INVESTMENT CORP DE 4.01,8.01,9.01 03/11/12 CHINA AUTOMOTIVE SYSTEMS INC DE 2.02,9.01 03/09/12 China Energy CORP 2.02,9.01 03/14/12 China Media Group CORP TX 5.02 03/15/12 CISCO SYSTEMS, INC. CA 8.01,9.01 03/15/12 CITIBANK OMNI-S MASTER TRUST 8.01 03/15/12 Clearwire Corp /DE DE 8.01,9.01 03/14/12 CME GROUP INC. DE 5.02 03/12/12 COMVERGE, INC. DE 2.02,9.01 03/15/12 CONSOLIDATED TOMOKA LAND CO FL 4.01,9.01 03/15/12 AMEND CORE MOLDING TECHNOLOGIES INC DE 2.02,9.01 03/14/12 CREDO PETROLEUM CORP DE 2.02,9.01 03/13/12 CYPRESS SEMICONDUCTOR CORP /DE/ DE 5.02 03/09/12 dELiAs, Inc. DE 2.02,9.01 03/15/12 DELTEK, INC DE 5.07 05/26/11 AMEND diaDexus, Inc. DE 2.02,9.01 03/15/12 DIAL GLOBAL, INC. /DE/ DE 1.01,1.02,5.02,9.01 03/09/12 DIGITALGLOBE INC 5.02 03/12/12 DOLE FOOD CO INC DE 2.02,7.01,8.01,9.01 03/15/12 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 1.01,2.03,9.01 03/09/12 Dorman Products, Inc. PA 8.01 03/15/12 DOT HILL SYSTEMS CORP DE 5.02 03/09/12 DSW Inc. OH 3.02 03/15/12 Duke Energy Indiana, Inc. IN 8.01,9.01 03/12/12 DUPONT E I DE NEMOURS & CO DE 5.02 03/09/12 DYNAMIC VENTURES CORP. 5.03,9.01 03/12/12 EAGLE BANCORP INC MD 5.02,9.01 08/25/11 EATON VANCE CORP MD 3.02,5.02 03/13/12 EDGEWATER TECHNOLOGY INC/DE/ DE 8.01,9.01 03/15/12 Ensco plc 7.01,9.01 03/15/12 EOS Preferred Corp MA 3.01 03/14/12 EVERGREEN SOLAR INC DE 1.01,9.01 03/09/12 FEDERAL AGRICULTURAL MORTGAGE CORP 2.02,9.01 03/15/12 Federal Home Loan Bank of Atlanta X1 2.03 03/15/12 Federal Home Loan Bank of Boston X1 2.03 03/12/12 Federal Home Loan Bank of Chicago X1 2.03 03/12/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 03/12/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 03/13/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 03/15/12 Federal Home Loan Bank of New York X1 2.03,9.01 03/12/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 03/12/12 Federal Home Loan Bank of San Francis X1 2.03 03/12/12 Federal Home Loan Bank of Seattle 2.03 03/13/12 Federal Home Loan Bank of Topeka 2.03,9.01 03/12/12 First Bancorp, Inc /ME/ ME 8.01 03/15/12 FIRST DEFIANCE FINANCIAL CORP OH 5.02,9.01 03/09/12 FIRST PACTRUST BANCORP INC MD 2.02,7.01,9.01 03/15/12 FIRST PACTRUST BANCORP INC MD 2.02,7.01,9.01 03/15/12 AMEND FLATBUSH FEDERAL BANCORP INC 1.01,7.01,9.01 03/13/12 FLEETCOR TECHNOLOGIES INC DE 8.01,9.01 03/13/12 FORD MOTOR CO DE 1.01,2.03,9.01 03/15/12 FOUR RIVERS BIOENERGY INC. NV 8.01 02/14/12 AMEND FRANKLIN COVEY CO UT 1.01,2.03,9.01 03/13/12 FUEL TECH, INC. DE 5.02 03/09/12 FUEL TECH, INC. DE 5.07 08/04/11 AMEND FULLCIRCLE REGISTRY INC NV 8.01,9.01 03/15/12 FutureFuel Corp. DE 2.02,9.01 03/15/12 FX Alliance Inc. 5.02,9.01 03/13/12 GAIAM, INC CO 1.01,2.02,9.01 03/06/12 GALLAGHER ARTHUR J & CO DE 8.01,9.01 03/15/12 GARB OIL & POWER CORP UT 5.02 03/14/12 GE Equipment Transportation LLC, Seri DE 1.01,9.01 03/14/12 GenMark Diagnostics, Inc. DE 2.02,9.01 03/15/12 GENVEC INC DE 2.02,9.01 03/15/12 Gevo, Inc. DE 8.01 03/12/12 GLOBAL PARTNERS LP 1.01,9.01 03/09/12 GLOWPOINT, INC. DE 5.02,9.01 03/12/12 GOLDMAN SACHS GROUP INC DE 9.01 03/15/12 GRAMERCY CAPITAL CORP MD 2.02,4.02,5.02,7.01, 03/11/12 9.01 Griffin-American Healthcare REIT II, MD 8.01 03/15/12 HALLMARK FINANCIAL SERVICES INC NV 2.02,9.01 03/14/12 HANDY & HARMAN LTD. DE 2.02,8.01,9.01 03/15/12 HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 03/15/12 HARSCO CORP DE 5.02 03/09/12 HCC INSURANCE HOLDINGS INC/DE/ DE 7.01,9.01 03/15/12 HEALTHCARE TRUST OF AMERICA, INC. MD 8.01 03/13/12 HERCULES OFFSHORE, INC. DE 7.01,9.01 03/15/12 HIGHLANDS BANKSHARES INC /WV/ WV 5.02 03/13/12 Horsehead Holding Corp 7.01,9.01 03/15/12 HPC POS SYSTEM, CORP. NV 8.01,9.01 03/13/12 HPC POS SYSTEM, CORP. NV 8.01,9.01 03/14/12 HUNTINGTON BANCSHARES INC/MD MD 8.01 03/14/12 I-LEVEL MEDIA GROUP INC NV 5.03,9.01 03/13/12 IAC/INTERACTIVECORP DE 5.02 03/09/12 ICAD INC DE 5.02 03/14/12 INDEPENDENT BANK CORP MA 8.01 03/15/12 InfuSystem Holdings, Inc DE 2.02,9.01 03/15/12 INLAND REAL ESTATE CORP MD 8.01,9.01 03/15/12 INSMED INC VA 7.01,9.01 03/15/12 INTERMUNE INC DE 8.01 03/15/12 INTERNATIONAL LEASE FINANCE CORP CA 7.01,9.01 03/14/12 International Stem Cell CORP 1.01,3.02,5.02,5.03, 03/09/12 9.01 INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01 03/14/12 INTEVAC INC CA 5.03,9.01 03/09/12 INTL FCSTONE INC. DE 7.01 03/14/12 INVIVO THERAPEUTICS HOLDINGS CORP. NV 2.02,9.01 03/15/12 IRONCLAD PERFORMANCE WEAR CORP 5.03,9.01 03/09/12 IVANHOE ENERGY INC 7.01,9.01 03/15/12 JDA SOFTWARE GROUP INC DE 8.01,9.01 03/15/12 K12 INC DE 7.01 03/15/12 KBS Strategic Opportunity REIT, Inc. MD 1.01,2.01 03/12/12 KEATING CAPITAL INC 7.01,9.01 03/14/12 KEMET CORP DE 1.01,9.01 03/12/12 KEYSTONE CONSOLIDATED INDUSTRIES INC DE 2.02,7.01,9.01 03/15/12 KILROY REALTY CORP MD 7.01,8.01,9.01 03/15/12 KINDER MORGAN, INC. DE 8.01,9.01 03/15/12 Kior Inc DE 5.02,9.01 03/09/12 Kips Bay Medical, Inc. DE 2.02,9.01 03/15/12 KIT digital, Inc. DE 2.02,9.01 03/15/12 Kohlberg Capital CORP DE 2.02,9.01 03/15/12 KRAFT FOODS INC VA 5.02,9.01 03/15/12 LADENBURG THALMANN FINANCIAL SERVICES FL 2.02,9.01 03/15/12 LEARNING TREE INTERNATIONAL INC DE 5.02 03/13/12 LEVEL 3 COMMUNICATIONS INC DE 1.01,3.02,8.01,9.01 03/13/12 LGL GROUP INC DE 8.01,9.01 03/15/12 LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 03/15/12 LIHUA INTERNATIONAL INC. DE 2.02,9.01 03/15/12 LOCAL.COM DE 7.01,9.01 03/15/12 LOGITECH INTERNATIONAL SA 5.02,9.01 03/13/12 Lotus Pharmaceuticals, Inc. NV 1.01,2.01,9.01 12/31/11 AMEND LOUISIANA-PACIFIC CORP DE 5.02 03/14/12 LUFKIN INDUSTRIES INC TX 5.02,9.01 09/19/11 AMEND LYDALL INC /DE/ DE 5.02,9.01 03/11/12 MAINSOURCE FINANCIAL GROUP IN 7.01,9.01 03/14/12 MAKEMUSIC, INC. MN 9.01 12/30/11 AMEND Marriott Vacations Worldwide Corp DE 2.02,9.01 03/15/12 MASS MEGAWATTS WIND POWER INC MA 2.02,9.01 03/15/12 MATTSON TECHNOLOGY INC DE 5.02 03/12/12 MAXLINEAR INC 5.02,9.01 03/09/12 McEwen Mining Inc. CO 7.01,9.01 03/15/12 MCG CAPITAL CORP DE 5.02,5.05,9.01 03/15/12 MCG CAPITAL CORP DE 5.02 03/15/12 AMEND MEDICAL PROPERTIES TRUST INC 1.01,2.03,9.01 03/09/12 MEDIWARE INFORMATION SYSTEMS INC NY 7.01,9.01 03/15/12 MEDNAX, INC. FL 5.02 03/09/12 MERITOR INC IN 1.01,2.03 03/15/12 MetroCorp Bancshares, Inc. TX 2.02,9.01 01/20/12 AMEND MICHAELS STORES INC DE 2.02,9.01 03/15/12 MIDAS INC DE 1.01,3.03,5.02,8.01, 03/12/12 9.01 MILLER ENERGY RESOURCES, INC. 1.01,9.01 03/09/12 MIMVI, INC. NV 1.01,3.02,5.02,9.01 03/14/12 MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 03/15/12 MORRIS PUBLISHING GROUP LLC GA 8.01 03/13/12 MOVADO GROUP INC NY 1.01,9.01 03/12/12 MS STRUCTURED SATURNS SERIES 2003-7 DE 8.01 03/15/12 NACCO INDUSTRIES INC DE 5.02,9.01 03/13/12 NEOPHOTONICS CORP DE 5.02 03/13/12 New York & Company, Inc. 2.02,9.01 03/15/12 NEWFIELD EXPLORATION CO /DE/ DE 7.01 03/14/12 NEWS CORP 8.01,9.01 03/15/12 NEWS CORP 8.01,9.01 03/15/12 NiMin Energy Corp. A0 2.02,9.01 03/15/12 NORFOLK SOUTHERN CORP VA 1.01,2.03,9.01 03/12/12 Northfield Bancorp, Inc. X1 5.02,9.01 03/15/12 NORTHWEST PIPE CO OR 2.02,4.02 03/11/12 NTS MORTGAGE INCOME FUND DE 8.01,9.01 03/12/12 OFFICE DEPOT INC DE 5.02 03/14/12 OFFICE DEPOT INC DE 1.01,2.03,3.03,8.01, 03/14/12 9.01 Ohr Pharmaceutical Inc 5.02,9.01 03/09/12 OIL DRI CORP OF AMERICA DE 8.01,9.01 03/15/12 Omega Flex, Inc. PA 8.01,9.01 03/15/12 AMEND OMEROS CORP WA 8.01 03/13/12 ONCOGENEX PHARMACEUTICALS, INC. DE 7.01,9.01 03/15/12 ORB Automotive E9 4.01,9.01 03/09/12 ORBCOMM Inc. DE 2.02,9.01 03/15/12 Orgenesis Inc. NV 1.01,5.02,9.01 03/02/12 Orient Paper Inc. NV 2.02,9.01 03/15/12 OSL HOLDINGS INC. 1.01,9.01 03/05/12 OxySure Systems Inc 1.01,9.01 03/15/12 PACIFIC CONTINENTAL CORP OR 8.01 03/15/12 PALADIN REALTY INCOME PROPERTIES INC MD 8.01,9.01 03/15/12 PANERA BREAD CO DE 5.02,5.03,9.01 03/09/12 PC TEL INC DE 5.07 06/08/11 AMEND PEOPLES FINANCIAL CORP /MS/ MS 2.02,9.01 03/15/12 Phillips Edison - ARC Shopping Center MD 9.01 12/29/11 AMEND PLATINUM ENERGY SOLUTIONS, INC. NV 5.02 03/10/12 PMC COMMERCIAL TRUST /TX TX 2.02,9.01 03/14/12 POLARIS INDUSTRIES INC/MN MN 7.01,9.01 03/15/12 Polypore International, Inc. 5.02 03/14/12 POWIN CORP 5.02 03/12/12 PREMIERWEST BANCORP OR 5.02,5.07,9.01 03/15/12 PREMIERWEST BANCORP OR 5.02 03/15/12 AMEND PRESSTEK INC /DE/ DE 2.02,9.01 03/15/12 Primo Water Corp DE 2.02,9.01 03/15/12 PROGENICS PHARMACEUTICALS INC DE 2.02,9.01 03/15/12 PROGENICS PHARMACEUTICALS INC DE 5.02,9.01 03/15/12 PROSPECT GLOBAL RESOURCES INC. NV 5.02 03/09/12 PROSPER MARKETPLACE INC DE 5.02 03/15/12 QR Energy, LP DE 2.02,9.01 03/15/12 QUICKSILVER RESOURCES INC DE 2.02,5.02,5.04,9.01 03/15/12 REAL ESTATE ASSOCIATES LTD VII CA 8.01 03/09/12 Real Goods Solar, Inc. CO 2.02,9.01 03/15/12 ROSS STORES INC DE 2.02,9.01 03/15/12 ROWAN COMPANIES INC DE 5.02,9.01 03/07/12 rue21, inc. DE 5.02,9.01 03/09/12 SAIC, Inc. 1.01 03/11/12 SANMINA-SCI CORP DE 5.02,5.07 03/12/12 Sara Lee Corp MD 7.01,8.01,9.01 03/14/12 SCHOLASTIC CORP DE 2.02,9.01 03/15/12 SecureLogic Corp NV 1.01 02/13/12 Shire plc 1.01,8.01,9.01 03/14/12 Shire plc 8.01,9.01 03/14/12 ShoreTel Inc CA 5.07 11/15/11 AMEND SILGAN HOLDINGS INC DE 1.01,2.04,7.01,9.01 03/09/12 SLM Student Loan Trust 2012-2 DE 9.01 03/14/12 SLM Student Loan Trust 2012-2 DE 1.01,2.01,9.01 03/14/12 Spectrum Brands Holdings, Inc. DE 7.01,8.01,9.01 03/14/12 Spectrum Brands, Inc. DE 7.01,8.01,9.01 03/14/12 SPHERIX INC DE 7.01,9.01 03/15/12 SRKP 16 INC DE 1.01,2.01,2.02,3.02, 01/11/12 AMEND 5.01,5.02,5.03,5.06, 9.01 Steadfast Income REIT, Inc. MD 1.01,2.01,2.03,7.01, 03/09/12 9.01 STEINWAY MUSICAL INSTRUMENTS INC DE 8.01 01/20/12 AMEND Stereotaxis, Inc. DE 5.02 03/09/12 AMEND STONEMOR PARTNERS LP DE 2.02,9.01 03/15/12 STONERIDGE INC OH 2.01,9.01 12/29/11 AMEND STURM RUGER & CO INC DE 8.01,9.01 03/15/12 Sunshine Heart, Inc. DE 7.01,9.01 03/14/12 Surna Inc. NV 5.02 03/15/12 SVB FINANCIAL GROUP 5.02,9.01 03/14/12 SYNAGEVA BIOPHARMA CORP DE 2.02,9.01 03/15/12 T3 Motion, Inc. DE 7.01,9.01 03/15/12 Tanke Biosciences Corp NV 4.01,9.01 01/20/12 AMEND TEJON RANCH CO DE 5.02 03/13/12 Telanetix,Inc DE 2.02,9.01 03/15/12 THT Heat Transfer Technology, Inc. NV 5.02,9.01 03/15/12 TRACTOR SUPPLY CO /DE/ DE 5.02,8.01,9.01 03/15/12 TRANSCEND SERVICES INC DE 1.02 03/12/12 Transocean Ltd. V8 7.01,9.01 03/15/12 TRAVELCENTERS OF AMERICA LLC 2.02,9.01 03/15/12 TripAdvisor, Inc. DE 1.01,1.02,2.01,2.03, 12/20/11 AMEND 5.01,5.02,5.03,9.01 TUTOR PERINI Corp MA 5.02 03/14/12 TUTOR PERINI Corp MA 5.02 03/14/12 AMEND U S PHYSICAL THERAPY INC /NV NV 7.01,9.01 03/15/12 UFood Restaurant Group, Inc. NV 4.02 03/12/12 UMB FINANCIAL CORP MO 8.01,9.01 03/15/12 UMH PROPERTIES, INC. MD 2.02,7.01,9.01 03/15/12 UMPQUA HOLDINGS CORP OR 8.01 03/15/12 UNITED STATES STEEL CORP DE 8.01,9.01 03/15/12 UNITED TECHNOLOGIES CORP /DE/ DE 2.06,9.01 03/14/12 UNITED THERAPEUTICS Corp DE 8.01,9.01 03/15/12 US ENERGY CORP WY 2.02,9.01 03/14/12 VALUEVISION MEDIA INC MN 2.02,9.01 03/13/12 Vantage Drilling CO E9 2.02,9.01 03/15/12 VIASYSTEMS GROUP INC DE 5.02 03/12/12 VIASYSTEMS GROUP INC DE 5.07 05/03/11 AMEND VISTEON CORP DE 1.01,8.01,9.01 03/09/12 Vitacost.com, Inc. DE 2.02,7.01,9.01 03/15/12 VRDT Corp DE 7.01,9.01 03/13/12 Vulcan Materials CO NJ 5.02 03/12/12 WAVE SYSTEMS CORP DE 4.02,8.01,9.01 03/14/12 WEIGHT WATCHERS INTERNATIONAL INC VA 1.01 03/15/12 WGL HOLDINGS INC VA 8.01 03/09/12 WINNEBAGO INDUSTRIES INC IA 2.02,9.01 03/15/12 WYNDHAM WORLDWIDE CORP DE 1.01,2.03,8.01,9.01 03/12/12 X RITE INC MI 2.02,7.01,9.01 03/13/12 Xenith Bankshares, Inc. VA 2.02,9.01 03/14/12 XEROX CORP NY 1.01,3.02,8.01,9.01 03/14/12 XEROX CORP NY 8.01,9.01 03/15/12 YAHOO INC DE 8.01 03/14/12 YOUNG INNOVATIONS INC MO 8.01 03/15/12 ZIPCAR INC 5.02,8.01,9.01 03/12/12 Zoo Entertainment, Inc DE 1.01,2.03,3.02 03/09/12 ZYNEX INC NV 2.02,9.01 03/15/12 ZYNGA INC DE 5.02 03/09/12
http://www.sec.gov/news/digest/2012/dig031612.htm
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