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SEC News Digest
Issue 2012-56 March 22, 2012
Rules and related matters
Edward Jones & Co. LLP
An order has been issued on an application filed by Edward Jones & Co. LLP (Edward Jones) for an exemption under Section 36(a) of the Securities Exchange Act of 1934 (Exchange Act) from Section 11(d)(1) of the Exchange Act. Based on the representations and the facts presented in its letter and subject to the conditions contained in the order, the order exempts Edward Jones from the new issue lending restriction of Section 11(d)(1) of the Exchange Act to the extent that Edward Jones extends to a customer margin on newly-purchased shares of non-proprietary mutual funds in instances in which the customer makes a dollar-for-dollar substitution by selling an already-margined non-proprietary mutual fund and buying another non-proprietary mutual fund on margin without incurring any fees, commissions or other costs for the transactions, and without Edward Jones otherwise charging the respective customers any fees, commissions or other costs to effect the transactions. Publication is expected in the Federal Register during the week of March 26. (Rel. 34-66624)
Enforcement proceedings
In the Matter of Roger Greer
On March 22, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 17A of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Roger Greer (Greer). The Order finds that on January 31, 2012, Greer was permanently enjoined from violating Sections 17(a)(3) and 17A(d) of the Exchange Act and Rules 17Ad-2, 17f-1, 17f-2(a), 17Ac2-1(c), 17Ac-2-2, 17Ad-6, 17Ad-7, 17Ad-10, 17Ad-13, 17Ad-15(c), 17Ad-17 and 17Ad-19 thereunder, in Securities and Exchange Commission v. National Stock Transfer, et al., Civil No. 2:11-cv-798 (U.S.D.C. Utah).
Based on the above, the Order bars Greer from association with any broker, dealer, investment advisor, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The Order also bars Greer from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent, or other person who engages in activities with a broker, dealer, or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Greer consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted to the entry of the injunction against him. (Rel. 34-66647; File No. 3-14811)
Court Orders Purported Hedge Fund Manager and Principal to Pay Over $7.5 Million
The Securities and Exchange Commission announced today that, on March 20, 2012, Judge Richard Stearns of the U.S. District Court for the District of Massachusetts entered final judgments by default against Locust Offshore Management, LLC, and its CEO, Andrey C. Hicks, defendants in a civil injunctive action filed by the Commission in October 2011. The Commission’s Complaint charged that Hicks, 28, of Boston, Massachusetts, and Locust Offshore Management engaged in a scheme to mislead prospective investors about their supposed quantitative hedge fund and divert over $2.7 million of investor money to Hicks’ personal bank accounts. The Judgments jointly and severally order Hicks and Locust Offshore Management to pay disgorgement of $2,481,004 and prejudgment interest of $31,054.39. In addition, Hicks was ordered to pay a civil penalty in the amount of $2,512,058.39, and Locust Offshore Management was ordered to pay a civil penalty in the amount of $2,512,058.39.
On October 26, 2011, the SEC filed its Complaint and obtained an emergency asset freeze against the defendants. The Complaint alleged that Hicks and Locust Offshore Management made numerous misrepresentations when soliciting individuals to invest in a purported hedge fund Hicks controlled called Locust Offshore Fund, Ltd. According to the Complaint, Hicks and his advisory firm falsely represented to potential investors that:
- Hicks obtained undergraduate and graduate degrees from Harvard University;
- Hicks worked for Barclays Capital, where he “grew his book nearly two-fold and expanded his group’s assets under management to roughly $16 [billion]”;
- Ernst & Young served as the fund’s auditor;
- Credit Suisse served as the fund’s prime broker and custodian; and
- the fund was a business company incorporated under the laws of the British Virgin Islands.
By making these representations and creating other indicia of legitimacy, the SEC alleged that Hicks obtained at least $1.7 million from 10 investors and misappropriated at least a portion of these funds for personal expenses.
The final judgments imposed permanent injunctions prohibiting Hicks and Locust Offshore Management from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act and Rule 10b-5 thereunder, and Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. Hicks and Locust Offshore Management were also ordered jointly and severally to pay disgorgement of $2,481,004 and prejudgment interest of $31,054.39. In addition, Hicks was ordered to pay a civil penalty in the amount of $2,512,058.39, and Locust Offshore Management was ordered to pay a civil penalty in the amount of $2,512,058.39. The final judgments also continued for one year the asset freeze previously ordered as to the defendants’ assets held by financial institutions. On March 16, 2012, the Court granted the SEC’s motion to dismiss without prejudice Locust Offshore Fund, Ltd., as a relief defendant in the case. [SEC v. Andrey C. Hicks and Locust Offshore Management, LLC, as Defendants, and Locust Offshore Fund, Ltd., as Relief Defendant (United States District Court for the District of Massachusetts, Civil Action No. 1:11-cv-11888-RGS)] (LR-22302)
SEC v. Andrew Franz
The Securities and Exchange Commission today announced the filing of a complaint alleging fraud charges against Andrew Franz (Franz), a resident of Aurora, Ohio. According to the Complaint, Franz operated a fraudulent scheme in which, through forgery and other fraudulent means, he misappropriated approximately $865,969 from clients of Ruby Corporation (Ruby), a registered investment adviser with which he was associated, including $779,418 from family members and $86,551 from other clients. The Commission’s complaint also alleges that Franz misappropriated approximately $172,000 from Ruby itself by stealing legitimate client fees payable to Ruby. The complaint also alleges that during this same time period, Franz returned approximately $684,000 to Ruby disguised as client fees to conceal the firm’s dwindling client base and revenues. The complaint alleges that Franz thus kept a net of approximately $354,000 in funds stolen from these sources.
In addition, the complaint alleges that in November 2011, despite no longer having access to Ruby’s client files or systems, Franz was able to successfully obtain a fraudulent distribution from a Ruby client account. The complaint alleges that Franz obtained this distribution check through two phone conversations during which he falsely identified himself to be the broker of record and then the chairman of the client corporation. The complaint also alleges that when Franz attempted to deposit the fraudulently obtained check, Franz’s bank stopped the transaction.
At the SEC’s request for emergency relief, the Hon. Benita Y. Pearson, United States District Court, Northern District of Ohio, issued an emergency injunction against Franz, an order freezing all assets under Franz’s control, and other emergency relief.
The SEC’s investigation in this matter is continuing. [SEC v. Andrew Franz, Civil Action No. 5:12-cv-0064 (N.D. Ohio) (J. Pearson)] (LR-22303)
SEC Settles Litigation With Former Veritas Software Corporation Head of Sales
The U.S. Securities and Exchange Commission today announced that, on March 20, 2012, the U.S. District Court for the Northern District of California entered a settled final judgment against Paul A. Sallaberry, the former Executive Vice President of Worldwide Field Operations and head of sales of Veritas Software Corporation, in SEC v. Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton, Civil Action No. 07 CV 3444 (JF) (PSG) (N.D. Cal. filed July 2, 2007). The final judgment resolves the Commission’s case against Sallaberry. The Commission’s amended complaint alleges that certain former Veritas Software Corporation executives inflated Veritas’ reported revenues by approximately $20 million in connection with a software sale to America Online, Inc.
Without admitting or denying the allegations in the complaint, Sallaberry consented to entry of a final judgment permanently enjoining him from future violations of corporate books and records regulations promulgated under the Securities Exchange Act of 1934 and ordering him to pay disgorgement and prejudgment interest of $75,000 and a civil penalty of $25,000. [SEC v. Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton, Civil Action No. 07 CV 3444 (JF) (PSG) (N.D. Cal.] (LR-22304; AAE Rel. 3373)
Investment company act releases
Domini Social Investment Trust
Domini Social Investments LLC
A notice has been issued giving interested persons until April 16, 2012 to request a hearing on an application filed by Domini Social Investment Trust and Domini Social Investments LLC, for an order exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (Rel. IC-29984 – March 21)
Orders of Deregistration Under the Investment Company Act of 1940
Orders have been issued under Section 8(f) of the Investment Company Act of 1940 declaring that each of the following has ceased to be an investment company:
- DWS Technology Fund [File No. 811-547]
[Rel. No. IC-29985]
- DWS Mutual Funds, Inc. [File No. 811-5565]
[Rel. No. IC-29986]
- DWS Advisor Funds [File No. 811-4760]
[Rel. No. IC-29987]
- DWS RREEF World Real Estate Fund, Inc. [File No. 811-22046]
[Rel. No. IC-29988]
- Old RMR Real Estate Income Fund [File No. 811-22234]
[Rel. No. IC-29989]
- DWS Blue Chip Fund [File No. 811-5357]
[Rel. No. IC-29990]
- DWS Strategic Government Securities Fund [File No. 811-2719]
[Rel. No. IC-29991]
- DWS Strategic Income Fund [File No. 811-2743]
[Rel. No. IC-29992]
- DWS High Income Series [File No. 811-2786]
[Rel. No. IC-29993]
- DWS State Tax Free Trust [File No. 811-3749]
[Rel. No. IC-29994]
- AllianceBernstein Global Growth Fund, Inc. [File No. 811-21064]
[Rel. No. IC-29995]
- Coventry Funds Trust [File No. 811-8644]
[Rel. No. IC-29996]
- Oppenheimer Balanced Fund [File No. 811-3864]
[Rel. No. IC-29997]
- Oppenheimer Principal Protected Trust II [File No. 811-21414]
[Rel. No. IC-29998]
- TS&W/Claymore Tax-Advantaged Balanced Fund [File No. 811-21515]
[Rel. No. IC-29999]
- Ameritor Security Trust [File No. 811-18]
[Rel. No. IC-30000]
- DWS Communications Fund, Inc. [File No. 811-3883]
[Rel. No. IC-30001]
- York Enhanced Strategies Fund, LLC [File No. 811-21834]
[Rel. No. IC-30002]
- Our Street Funds, Inc. [File No. 811-22279]
[Rel. No. IC-30003]
- Kiewit Investment Fund LLLP [File No. 811-21632]
[Rel. No. IC-30004]
- Public Facility Loan Trust [File No. 811-5608]
[Rel. No. IC-30005]
self-regulatory organizations
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the International Securities Exchange, LLC regarding the Short Term Option Series Program (SR-ISE-2012-23) 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. 34-66623)
The National Securities Clearing Corporation (NSCC) filed a proposed rule change (SR-NSCC-2012-04) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend Rule 53 of its Rules and Procedures relating to the Alternative Investment Product Services to standardize and automate the method by which registered AIP Broker-Dealer members meet their good control location obligations for uncertificated securities. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-66635)
A proposed rule change filed by The NASDAQ Stock Market LLC to assess a fee for the QView Service (SR-NASDAQ-2012-035) 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. 34-66636)
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-028) to amend its Fees 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 March 19. (Rel. 34-66637)
A proposed rule change filed by the C2 Options Exchange, Incorporated (SR-C2-2012-009) to amend its Fees 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 March 19. (Rel. 34-66639)
Approval of Proposed Rule Change
The Commission has approved a proposed rule change (SR-ICEEU-2012-01) filed by ICE Clear Europe Limited under Section 19(b)(1) of the Securities Exchange Act of 1934 to revise rules and procedures related to certain technical and operational changes relating to credit default swap contracts. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-66628)
Proposed Rule Changes
ICE Clear Europe Limited (ICE Clear Europe) filed a proposed rule change (SR-ICEEU-2012-05) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend the ICE Clear Europe CDS Procedures, Finance Procedures, and Rules with respect to the calculation and payment of interest on mark-to-market margin on CDS transactions. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-66629)
The Depository Trust Company filed a proposed rule change (SR-DTC-2012-02) pursuant to Section 19(b)(1) of the Act that would amend DTC’s Settlement Service Guide as it relates to the processing of issuances and maturities in money market instruments. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-66630)
ICE Clear Credit LLC filed a proposed rule change (SR-ICC-2012-03) under Section 19(b)(1) of the Securities Exchange Act of 1934 to change its risk model to reduce the current level of risk mutualization among its clearing participants and to modify the initial margin risk model so that it is easier for market participants to measure their risk. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-66631)
Accelerated Approval of Proposed Rule Change
A proposed rule change filed by Chicago Mercantile Exchange Inc. (CME) to amend rules relating to Interest Rate Swaps clearing (SR-CME-2012-05) has been approved on an accelerated basis pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-66641)
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-1 TRANSGENOMIC INC, 12325 EMMET ST, OMAHA, NE, 68164, 4027385480 -
33,000,000 ($42,900,000.00) Equity, (File 333-180242 - Mar. 21)
(BR. 10C)
S-3 HALCON RESOURCES CORP, 1000 LOUISIANA STREET, SUITE 6700, HOUSTON, TX,
77002, 832-538-0300 - 44,444,511 ($445,334,000.22) Equity,
(File 333-180243 - Mar. 21) (BR. 04A)
S-8 CENTRAL SECURITIES CORP, 630 FIFTH AVENUE, SUITE 820, NEW YORK, NY,
10111, 212-698-2020 - 1,000,000 ($22,010,000.00) Equity,
(File 333-180248 - Mar. 21) (BR. 17)
S-8 Standard Financial Corp., 2640 MONROEVILLE BOULEVARD, MONROEVILLE, PA,
15146, 412-856-0363 - 486,943 ($4,114,668.00) Equity,
(File 333-180249 - Mar. 21) (BR. 07B)
S-1 E-WASTE CORP., 5209 STROKES RD. SUITE C1, MEDFORD, NJ, 08059,
914-420-2894 - 3,000,000 ($36,000.00) Equity, (File 333-180251 -
Mar. 21) (BR. 06)
S-8 NEWPORT CORP, 1791 DEERE AVE, IRVINE, CA, 92714, 7148633144 -
0 ($56,874,648.00) Equity, (File 333-180254 - Mar. 21) (BR. 10B)
S-3 Heelys, Inc., 3200 BELMEADE, CARROLLTON, TX, 75006, 214-390-1831 -
9,317,310 ($22,827,410.00) Equity, (File 333-180255 - Mar. 21) (BR. 09A)
S-3 NORTHSTAR REALTY FINANCE CORP., 399 PARK AVENUE,, 18TH FLOOR, NEW YORK,
NY, 10022, 212-547-2640 - 0 ($1.00) Equity, (File 333-180256 - Mar. 21)
(BR. 08B)
S-3ASR MID AMERICA APARTMENT COMMUNITIES INC, 6584 POPLAR AVE, STE 340,
MEMPHIS, TN, 38138, 9016826600 - 0 ($131,000,000.00) Equity,
(File 333-180257 - Mar. 21) (BR. 08B)
S-3 AVI BIOPHARMA INC, 3450 MONTE VILLA PARKWAY, SUITE 101, BOTHELL, WA,
98021, 425-354-5038 -
0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-180258 -
Mar. 21) (BR. 01B)
S-8 Spy Inc., 2070 LAS PALMAS DRIVE, CARLSBAD, CA, 92009, (760) 804-8420 -
0 ($1,155,000.00) Equity, (File 333-180261 - Mar. 21) (BR. 10B)
F-1 Edwards Group Ltd, MANOR ROYAL, CRAWLEY, WEST SUSSEX, X0, RH10 9LW,
44(0) 1293 528844 - 0 ($150,000,000.00) Other, (File 333-180262 -
Mar. 21) (BR. )
S-3 METROPOLITAN HEALTH NETWORKS INC, 777 YAMATO ROAD, SUITE 510,
BOCA RATON, FL, 33431, 5618058500 -
0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-180264 -
Mar. 21) (BR. 01B)
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
1.01
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Entry into a Material Definitive Agreement
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1.02
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Termination of a Material Definitive Agreement
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1.03
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Bankruptcy or Receivership
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2.01
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Completion of Acquisition or Disposition of Assets
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2.02
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Results of Operations and Financial Condition
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2.03
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Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
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2.04
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Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
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2.05
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Cost Associated with Exit or Disposal Activities
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2.06
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Material Impairments
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3.01
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Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
|
3.02
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Unregistered Sales of Equity Securities
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3.03
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Material Modifications to Rights of Security Holders
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4.01
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Changes in Registrant's Certifying Accountant
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4.02
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Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
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5.01
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Changes in Control of Registrant
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5.02
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer
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5.03
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Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
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5.04
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Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
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5.05
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Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
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5.06
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Change in Shell Company Status
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6.01
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ABS Informational and Computational Material.
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6.02
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Change of Servicer or Trustee.
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6.03
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Change in Credit Enhancement or Other External Support.
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6.04
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Failure to Make a Required Distribution.
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6.05
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Securities Act Updating Disclosure.
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7.01
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Regulation FD Disclosure
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8.01
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Other Events
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9.01
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Financial Statements and Exhibits
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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 2.02,9.01 03/20/12
AbitibiBowater Inc. DE 8.01,9.01 03/20/12
ACACIA RESEARCH CORP DE 2.01,9.01 01/12/12 AMEND
ACTUANT CORP WI 2.02,9.01 03/21/12
ALASKA PACIFIC BANCSHARES INC AK 2.02,9.01 03/21/12
ALBANY MOLECULAR RESEARCH INC DE 2.05 03/19/12
ALLEGHENY TECHNOLOGIES INC DE 7.01,9.01 03/20/12
Alliance Holdings GP, L.P. DE 1.01 03/16/12
ALLIANCE RESOURCE PARTNERS LP DE 1.01 03/16/12
Alto Group Holdings Inc. NV 5.02,5.07 03/20/12
AMERICAN AIRLINES INC DE 7.01 03/21/12
AMERICAN CAMPUS COMMUNITIES INC MD 5.02,7.01,9.01 03/20/12
AMERIGAS PARTNERS LP DE 8.01,9.01 03/15/12
AMERIGAS PARTNERS LP DE 9.01 03/21/12
AMR CORP DE 7.01 03/21/12
AMYRIS, INC. DE 5.02 03/15/12
Andatee China Marine Fuel Services Co DE 8.01,9.01 03/21/12
Antero Resources LLC DE 2.02,9.01 03/21/12
AON CORP DE 1.01,1.02,2.03,5.02, 03/15/12
9.01
ASIAINFO-LINKAGE, INC DE 5.02 03/20/12
ASSISTED LIVING CONCEPTS INC NV 5.02,9.01 03/15/12
ASTORIA FINANCIAL CORP DE 5.02 03/15/12
Atlas Resource Partners, L.P. 1.01,3.02,7.01,9.01 03/15/12
ATMEL CORP DE 4.01,9.01 03/16/12
BAKER HUGHES INC DE 7.01,9.01 03/21/12
Bank of Commerce Holdings CA 8.01,9.01 03/21/12
BARRY R G CORP /OH/ OH 5.02 03/15/12
BELDEN INC. DE 5.02 03/21/12
BIOMODA INC/NM 5.02 03/21/12
BIOTIME INC CA 7.01,9.01 03/21/12
BLACKBAUD INC 8.01,9.01 03/21/12
Bluerock Enhanced Multifamily Trust, MD 8.01 03/07/12
BofI Holding, Inc. DE 5.02,5.05 03/15/12
BRIDGFORD FOODS CORP CA 5.07 03/21/12
BROADCOM CORP CA 8.01,9.01 03/21/12
BRT REALTY TRUST MA 5.02,5.07 03/20/12
Business Development Corp of America MD 2.02,9.01 03/20/12
CABCO SERIES 2004-102 TRUST (SBC COMM 8.01,9.01 03/15/12
CAMAC Energy Inc. DE 2.02,9.01 03/15/12
Cardiovascular Systems Inc DE 3.01 03/15/12
CARRIZO OIL & GAS INC TX 7.01,8.01,9.01 03/15/12
CASTLE A M & CO MD 7.01,9.01 03/21/12
CEF EQUIPMENT HOLDING LLC DE 1.01,9.01 03/21/12
CENTER BANCORP INC NJ 7.01,9.01 03/21/12
CENTRAL FEDERAL CORP DE 8.01,9.01 03/21/12
CENTURY ALUMINUM CO DE 5.02,9.01 03/16/12
CENTURYLINK, INC LA 8.01,9.01 03/21/12
China Biologic Products, Inc. 8.01 03/21/12
CHINA SHEN ZHOU MINING & RESOURCES, I NV 1.01,8.01,9.01 03/21/12
CIBER INC DE 5.02,9.01 03/15/12
CITIZENS FINANCIAL SERVICES INC PA 7.01,9.01 03/21/12
CLECO CORP LA 8.01,9.01 03/21/12
CMS ENERGY CORP MI 5.02 03/16/12
CNA FINANCIAL CORP DE 8.01,9.01 03/21/12
CNB FINANCIAL CORP/PA PA 5.02,9.01 03/13/12
CNH CAPITAL RECEIVABLES LLC DE 1.01,9.01 03/21/12
CONSOL Energy Inc DE 5.02,7.01,9.01 03/19/12
CORRECTIONS CORP OF AMERICA MD 1.01,5.02,9.01 03/16/12
CTS CORP IN 7.01,9.01 03/21/12
DEARBORN BANCORP INC /MI/ MI 8.01 03/21/12
Delta Tucker Holdings, Inc. DE 2.02,9.01 03/21/12
DEX ONE Corp DE 8.01,9.01 03/20/12
Diamond Foods Inc DE 1.01,7.01,9.01 03/21/12
Discover Financial Services DE 2.02,9.01 03/21/12
DOLLAR TREE INC VA 5.02,9.01 03/14/12
DRI CORP NC 1.01,2.03,9.01 03/13/12
DRIVETIME AUTOMOTIVE GROUP INC DE 1.01,9.01 03/15/12
EASTERN VIRGINIA BANKSHARES INC VA 5.02 03/15/12
ELECTRONICS FOR IMAGING INC DE 5.05,9.01 03/19/12
ELSINORE SERVICES INC DE 4.01,9.01 03/16/12 AMEND
EMERSON ELECTRIC CO MO 7.01 03/21/12
EMISPHERE TECHNOLOGIES INC DE 2.02,9.01 03/21/12
EMPIRE RESORTS INC DE 4.01,9.01 03/20/12
Energy Services of America CORP DE 5.02 03/14/12
ENGLOBAL CORP NV 8.01,9.01 03/21/12
ENXNET INC OK 7.01,9.01 03/20/12
ESTEE LAUDER COMPANIES INC DE 2.05 02/05/09 AMEND
FiberTower CORP DE 5.02 03/15/12
FIDELITY D & D BANCORP INC PA 5.02,9.01 03/20/12
FIRSTFED FINANCIAL CORP DE 8.01,9.01 03/15/12
FREDS INC TN 2.02,9.01 03/21/12
Fresh Market, Inc. DE 5.02,9.01 03/20/12
FUELCELL ENERGY INC DE 5.02,8.01,9.01 03/21/12
FULTON FINANCIAL CORP PA 5.02,9.01 03/20/12
GATX CORP NY 7.01,9.01 03/20/12
GE Capital Credit Card Master Note Tr DE 1.01,9.01 03/19/12
GENERAL MILLS INC DE 2.02,9.01 03/21/12
GEOKINETICS INC DE 1.01,3.02,8.01 03/15/12
GLIMCHER REALTY TRUST MD 1.01,8.01 03/21/12
GLOBAL GREEN INC. FL 8.01 03/21/12
GOLDFIELD CORP DE 5.02,9.01 03/15/12
GOLDMAN SACHS GROUP INC DE 9.01 03/21/12
GRAND RIVER COMMERCE INC MI 5.02,9.01 02/01/12
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 02/29/12
GRAPHON CORP/DE DE 2.02,9.01 03/15/12
GREEN EQUITY HOLDINGS, INC. NV 1.02 03/20/12
Green Global Investments, Inc. FL 1.01,9.01 03/05/12 AMEND
GRYPHON GOLD CORP NV 7.01,8.01,9.01 03/20/12
GSI GROUP INC A3 8.01 03/21/12
HANDENI GOLD INC. NV 8.01,9.01 03/19/12
Hanover Portfolio Acquisitions, Inc. DE 1.01,3.02,5.01,5.02, 03/19/12
9.01
HARLAND CLARKE HOLDINGS CORP DE 2.02,9.01 03/21/12
HARLAND CLARKE HOLDINGS CORP DE 1.01 03/21/12
HARTFORD FINANCIAL SERVICES GROUP INC DE 2.05,7.01,8.01,9.01 03/21/12
HEALTH CARE REIT INC /DE/ DE 8.01 03/15/12
HENRY SCHEIN INC DE 8.01,9.01 03/21/12
Hines Global REIT, Inc. MD 1.01,2.03,9.01 03/15/12
HORNBECK OFFSHORE SERVICES INC /LA DE 1.01,2.03,8.01,9.01 03/15/12
HORNE INTERNATIONAL, INC. DE 5.02 03/21/12
HOUSTON AMERICAN ENERGY CORP DE 7.01,9.01 03/21/12
Ingersoll-Rand plc L2 1.01,1.02,2.03,9.01 03/15/12
IntelGenx Technologies Corp. DE 5.03 03/21/12
INTERMOUNTAIN COMMUNITY BANCORP ID 8.01,9.01 03/20/12
INVENTURE FOODS, INC. DE 5.02,9.01 03/16/12
Islet Sciences, Inc NV 1.01,3.02,9.01 03/20/12
KELLOGG CO DE 1.01,2.03,9.01 03/16/12
KIMBERLY CLARK CORP DE 5.02,9.01 03/21/12
Kraton Performance Polymers, Inc. DE 1.01,2.03,9.01 03/15/12
Laredo Petroleum Holdings, Inc. DE 2.02,7.01,9.01 03/20/12
Lifeloc Technologies Inc CO 2.02,9.01 03/20/12
Lightwave Logic, Inc. NV 5.02,9.01 03/20/11
LIMITED BRANDS INC DE 5.07 03/21/12 AMEND
LIVEWIRE ERGOGENICS INC. 3.02,8.01 03/19/12
Location Based Technologies, Inc. NV 1.01,3.02 03/16/12
Location Based Technologies, Inc. NV 8.01,9.01 03/19/12
LOOKSMART LTD DE 2.02,9.01 03/20/12
LTV CORP DE 8.01,9.01 03/20/12
LUBYS INC DE 2.02,9.01 03/21/12
MAMMATECH CORP FL 1.01 03/20/12
Manning & Napier, Inc. 5.02,8.01,9.01 03/20/12
MATERION Corp 7.01,9.01 03/21/12
Medley Capital Corp DE 1.01,2.03,9.01 03/21/12
Memorial Production Partners LP DE 2.02,7.01,9.01 03/21/12
MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 03/15/12
METROPOLITAN HEALTH NETWORKS INC FL 9.01 10/04/11 AMEND
MILLER ENERGY RESOURCES, INC. 2.02,7.01,9.01 03/21/12
MILLER HERMAN INC MI 2.02,9.01 03/21/12
MONEYGRAM INTERNATIONAL INC 5.02,7.01,9.01 03/21/12
NATIONAL RURAL UTILITIES COOPERATIVE DC 2.06 03/20/12
NETSOL TECHNOLOGIES INC NV 7.01 03/20/12
NETSUITE INC DE 5.02,9.01 03/20/12
NETWORK ENGINES INC DE 5.02,5.07 03/15/12
NEUROLOGIX INC/DE DE 1.03 03/16/12
New Enterprise Stone & Lime Co., Inc. DE 1.01,2.03,9.01 03/15/12
NEWS CORP 8.01,9.01 03/21/12
NEXT FUEL, INC. NV 8.01,9.01 03/20/12
NGP Capital Resources Co MD 7.01,9.01 03/21/12
Nissan Auto Lease Trust 2012-A DE 1.01,9.01 03/21/12
NORTH BAY RESOURCES INC DE 1.01,2.03,3.02,9.01 03/15/12
NOVADEL PHARMA INC DE 2.02,9.01 03/20/12
OBA Financial Services, Inc. MD 8.01,9.01 03/16/12
Ocean Shore Holding Co. 8.01,9.01 03/20/12
OCLARO, INC. DE 1.01,2.01,9.01 03/19/12
Oilsands Quest Inc 1.01,8.01,9.01 03/15/12
OLYMPIC STEEL INC OH 1.01,2.03,9.01 03/16/12
OM GROUP INC DE 5.02,9.01 03/15/12
Oryon Holdings, Inc. NV 5.03,5.07 03/19/12
OVERSTOCK.COM, INC DE 5.02,9.01 03/19/12
Oxford Resource Partners LP DE 1.01,2.05,7.01,9.01 03/15/12
PAM TRANSPORTATION SERVICES INC DE 7.01,9.01 03/20/12
PARK OHIO HOLDINGS CORP OH 5.02 03/21/12
PAULSON CAPITAL CORP OR 3.01,9.01 03/21/12
PDI INC 5.02 03/20/12
PENSON WORLDWIDE INC DE 1.01,2.02,5.02,9.01 03/12/12 AMEND
PENSON WORLDWIDE INC DE 8.01,9.01 03/13/12 AMEND
Photovoltaic Solar Cells, Inc. NV 1.01,2.01,3.02,5.01, 02/27/12
5.02,5.03,5.06,8.01,
9.01
PLAINSCAPITAL CORP TX 7.01,9.01 03/21/12
PLATINUM ENERGY SOLUTIONS, INC. NV 8.01,9.01 03/15/12
PLUG POWER INC DE 1.01,9.01 03/21/12
PPLUS Trust Series JPM-1 DE 8.01,9.01 03/15/12
PROSPECT CAPITAL CORP MD 1.01,9.01 03/19/12
PROSPECT GLOBAL RESOURCES INC. NV 5.02,5.03 03/16/12
RACKSPACE HOSTING, INC. 5.03,8.01,9.01 03/15/12
RADIO ONE, INC. DE 2.02,5.02,9.01 03/15/12
RARE ELEMENT RESOURCES LTD A1 7.01,9.01 03/15/12
ROOMLINX INC NV 5.02 03/14/12
SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 03/20/12
SANDY SPRING BANCORP INC MD 8.01,9.01 03/21/12
SAVANNAH BANCORP INC GA 5.02 03/18/12
SCHOLASTIC CORP DE 2.02,9.01 03/21/12
SEACHANGE INTERNATIONAL INC DE 7.01,9.01 03/21/12
SEATTLE GENETICS INC /WA DE 5.02 03/19/12
SHOE CARNIVAL INC IN 2.02,9.01 03/21/12
Silicon Graphics International Corp DE 2.05 03/16/12
SL GREEN REALTY CORP MD 8.01,9.01 03/21/12
SONIC CORP DE 2.02,9.01 03/21/12
SOUTH JERSEY INDUSTRIES INC NJ 1.01,2.03,9.01 03/15/12
SPAR GROUP INC DE 2.02,8.01,9.01 03/19/12
Spectrum Brands Holdings, Inc. DE 8.01 03/20/12
Spectrum Brands Holdings, Inc. DE 8.01 03/20/12 AMEND
Spectrum Brands, Inc. DE 1.01,2.03,7.01,9.01 03/20/12
STURM RUGER & CO INC DE 8.01,9.01 03/21/12
SUNPOWER CORP DE 5.02 03/21/12
SUNRISE SENIOR LIVING INC DE 2.03 03/20/12
SUPERMEDIA INC. DE 5.02 03/15/12
SWS GROUP INC DE 8.01 03/16/12
SYNERGETICS USA INC 7.01,9.01 03/21/12
TIDEWATER INC DE 8.01,9.01 03/20/12
TMST, Inc. MD 7.01,9.01 03/20/12
TNP Strategic Retail Trust, Inc. MD 7.01,8.01,9.01 03/21/12
TNP Strategic Retail Trust, Inc. MD 7.01,8.01,9.01 03/21/12
TORO CO DE 5.07 03/20/12
TOYS R US INC DE 2.02,9.01 03/21/12
TRAILER BRIDGE INC 1.03,9.01 03/16/12
TRIDENT MICROSYSTEMS INC DE 1.01 03/16/12
Trunkbow International Holdings Ltd NV 4.02,9.01 03/16/12
UMH PROPERTIES, INC. MD 7.01,9.01 03/21/12
UNISOURCE ENERGY CORP AZ 7.01,9.01 03/21/12
UNISOURCE ENERGY CORP AZ 2.03,9.01 03/20/12
UNITED COMMUNITY BANKS INC GA 5.02,9.01 03/20/12
UNITED SURGICAL PARTNERS INTERNATIONA DE 7.01,9.01 03/21/12
URANIUM ENERGY CORP NV 7.01,9.01 03/21/12
URBAN OUTFITTERS INC PA 5.02,9.01 03/19/12
US CONCRETE INC DE 4.01,9.01 03/19/12
Vantage Drilling CO E9 1.01,9.01 03/20/12
VISTA GOLD CORP B0 7.01,9.01 03/16/12
Vista International Technologies Inc DE 4.01,9.01 03/16/12
Voyager Oil & Gas, Inc. DE 5.02,9.01 03/15/12
VSUS TECHNOLOGIES INC DE 4.01,9.01 02/15/12 AMEND
VYCOR MEDICAL INC DE 1.01,1.02,9.01 01/04/12 AMEND
WEBMEDIABRANDS INC. DE 3.01 03/16/12
WELLS FARGO & CO/MN DE 9.01 03/21/12
WIRED ASSOCIATES SOLUTIONS INC NV 5.06,9.01 02/17/12 AMEND
Wonder Auto Technology, Inc NV 5.02 03/19/12 AMEND
YADKIN VALLEY FINANCIAL CORP NC 5.02 03/15/12
Zayo Group LLC DE 7.01,9.01 03/16/12
http://www.sec.gov/news/digest/2012/dig032212.htm
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