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SEC News Digest
Issue 2012-96
May 17, 2012
Commission Announcements
SEC Charges New Jersey Man in Real Estate Investment Scam
The Securities and Exchange Commission today charged a New Jersey man with operating a Ponzi-like scheme involving a series of investment vehicles formed for the purported purpose of purchasing and managing rental apartment buildings in New Jersey and Pennsylvania.
The SEC alleges that David M. Connolly induced investors to buy shares in real estate investment vehicles he created through his firm Connolly Properties Inc. He promised investors monthly dividends based on cash-flow profits from rental income at the apartment buildings as well as the growth of their principal from the appreciation of the property. However, the real estate investments did not produce the projected dividends, and Connolly instead made Ponzi-like dividend payments to earlier investors using money from new investors. Connolly, who lives in Watchung, N.J., also siphoned off at least $2 million in investor funds for his personal use.
“David Connolly presented himself to investors as a successful real estate investment manager with a track record of paying consistent, high returns,” said George S. Canellos, Director of the SEC’s New York Regional Office. “In truth, Connolly’s operation was essentially a shell game intended to raise additional funds from new or existing investors in order to perpetuate his fraudulent scheme.”
The U.S. Attorney’s Office for the District of New Jersey, which conducted a parallel investigation of the matter, today announced that Connolly was indicted on one count of securities fraud among other criminal charges.
According to the SEC’s complaint filed in federal court in New Jersey, none of Connolly’s securities offerings in the investment vehicles were registered with the SEC as required under the federal securities laws. Connolly began offering the investments in 1996 and ultimately raised in excess of $50 million from more than 200 investors in more than 25 investment vehicles. However, beginning in at least 2006, Connolly misrepresented to investors that their funds would be used exclusively for the property related to the particular vehicle in which they invested. Connolly instead commingled the funds in bank accounts that he alone controlled and used for a variety of purposes that weren’t disclosed to investors, including $2 million in payments he made to himself that vastly exceeded any dividends to which he would be entitled through his ownership stake. Between 2007 and 2010, Connolly also wrote checks to “cash” in excess of $2.5 million. Even after Connolly stopped making dividend payments to investors in April 2009, he still continued to pay himself dividends as well as a $250,000 “salary” out of investor funds.
The SEC alleges that Connolly lacked sufficient revenues from rental income at the apartment buildings, so he continued to raise millions of dollars for new investment vehicles. He used the funds to pay purported monthly cash-flow dividends in excess of 10 percent to investors in older investment vehicles. Connolly refinanced properties and improperly used the cash proceeds to continue the scheme, which ultimately collapsed in 2009 when new investor funds dried up and rental income was insufficient to support payments on the mortgages. The properties owned by the investment vehicles were forced into foreclosure, wiping out the equity of the investors.
The SEC’s complaint charges Connolly with violating Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The SEC’s complaint seeks permanent injunctive relief, disgorgement of ill-gotten gains with prejudgment interest, and financial penalties.
The SEC’s investigation was conducted by Justin Smith and William Edwards in the New York Regional Office. Jack Kaufman will lead the litigation.
The SEC thanks the U.S. Attorney’s Office for the District of New Jersey, the Federal Bureau of Investigation, and the Internal Revenue Service for their assistance in this matter.
(Press Rel. 2012-94)
SEC Charges Seattle-Based Fund Manager For Secretly Diverting Client Funds to His Own Start-Up Companies
Securities and Exchange Commission today charged a Seattle-based investment adviser and his firm with defrauding clients by secretly investing their money in two risky start-up companies he co-founded.
The SEC alleges that Mark Spangler, a former chairman of the National Association of Personal Financial Advisors, funneled approximately $47.7 million of client money into these private ventures despite representing that he would invest primarily in publicly-traded securities. Spangler served as chairman and CEO of one of the companies, which is now bankrupt. Such risky investments were inconsistent with the investment strategies that Spangler promised his clients and contrary to their investment objectives.
The U.S. Attorney’s Office for the Western District of Washington today announced parallel criminal charges against Spangler.
“Spangler assured his clients he was investing them in publicly-traded equities and bonds, not risky start-ups in which he had a personal interest,” said Marc Fagel, Director of the SEC’s San Francisco Regional Office. “For an investment adviser to put his self-interest above the best interests of his clients is a disturbing abuse of trust.”
According to the SEC’s complaint filed in federal court in Seattle, Spangler raised more than $56 million from his clients since 1998 for several private investment funds he managed. Beginning around 2003, without notifying investors in the funds, Spangler and his advisory firm The Spangler Group (TSG) began diverting the majority of client money into two private technology companies he created. One of the companies received nearly $42 million from the funds before shutting down operations. It had long been a cash-poor company with a history of net losses, generating less than $100,000 in revenue during its 11-year history. Yet Spangler continued to treat the funds as the company’s piggy bank.
The SEC alleges that Spangler also did not tell investors that TSG collected fees for “financial and operational support” from these companies, which were essentially paying these fees with the client money they had received from the funds. Therefore, Spangler and his firm secretly reaped $830,000 from the companies in addition to any management fees that TSG received from clients.
According to the SEC’s complaint, Spangler concealed his diversion of client funds for years. He disclosed it only after he placed TSG and the funds he managed into state court receivership in 2011.
The SEC’s complaint charges Spangler and TSG with violating, among other things, the antifraud provisions of the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940. The complaint seeks injunctive relief, disgorgement with prejudgment interest, and financial penalties.
The SEC’s investigation was conducted by Karen Kreuzkamp and Robert S. Leach of the San Francisco Regional Office with assistance from Michael Tomars, Peter Bloom, and Christine Pelham of the investment adviser/investment company examination program. Robert L. Tashjian will lead the SEC’s litigation.
The SEC thanks the U.S. Attorney’s Office for the Western District of Washington, Federal Bureau of Investigation, and Internal Revenue Service for their assistance in this matter. (Press Rel. 2012-95)
James Burns Named Deputy Director in SEC's Division of Trading and Markets
The Securities and Exchange Commission today announced that James R. Burns will become a Deputy Director in the Division of Trading and Markets.
Mr. Burns will oversee several of the Division’s core regulatory functions, including market oversight and operations, derivatives policy and trading practices, and chief counsel and enforcement liaison functions. He also will contribute to the Division’s ongoing implementation of key provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. In addition, Mr. Burns will assist with the overall management of the Division, working closely with the Division’s Director Robert Cook and other Deputy Director John Ramsay.
Mr. Burns has been a member of Chairman Mary Schapiro’s staff since March 2010, most recently serving as the agency’s Deputy Chief of Staff. Mr. Burns advised the Chairman on the development and execution of the agency’s rulemaking and policy agenda as well as other key agency initiatives. He also served as counsel to Chairman Schapiro on issues involving the Division of Trading and Markets, including the agency’s analysis and response to the Flash Crash on May 6, 2010, and numerous other market structure and Dodd-Frank related rulemakings, studies, and programs.
“Jim has played an instrumental role in the implementation of the financial reform legislation and navigating through complex market structure issues,” said Chairman Schapiro. “In his new position, he will continue to help put in place the new regulatory regime governing complex derivatives as well as critical market structure improvements.”
Mr. Cook said, “At a time when the Division is taking on unprecedented challenges and new responsibilities, I am delighted that we will have the benefit of Jim’s leadership, initiative, and experience. Investors will be well-served by Jim’s dedication to the Commission’s mission and his wide-ranging knowledge of the diverse markets and intermediaries we regulate.”
Mr. Burns said, “I am honored to take on this new role. I have deep respect for Robert and the Division’s staff, who are carrying out tremendous responsibilities on behalf of our markets and investors, and I look forward to working with them to help advance the agency’s mission.”
Mr. Burns is expected to begin his new role in the Division in late May. He fills the Deputy Director position that was vacated by James Brigagliano when he left the agency for the private sector.
Prior to joining the Chairman’s staff, Mr. Burns was a counsel to Commissioner Kathleen Casey, advising her chiefly on investment management and enforcement matters. Before joining the SEC in 2008, Mr. Burns was a securities lawyer in private practice who focused on investment management and broker-dealer regulatory and enforcement matters. He previously served as a law clerk to now-chief Judge William B. Traxler on the U.S. Court of Appeals for the Fourth Circuit. Mr. Burns also worked at the American Council on Education and at Oriel College, Oxford University.
Mr. Burns received his JD, cum laude, from Georgetown University Law Center. He holds masters and doctoral degrees from Oxford University, and graduated with an AB, magna cum laude, from Harvard College. (Press Rel. 2012-96)
Erica Williams Named SEC’s Deputy Chief of Staff
The Securities and Exchange Commission today announced that Erica Williams will become the agency’s Deputy Chief of Staff.
Ms. Williams has been a member of Chairman Schapiro’s staff since February 2011, primarily focusing on enforcement and regulatory issues. Prior to that, Ms. Williams served as assistant chief litigation counsel in the Enforcement Division’s trial unit for seven years, leading trial teams in a host of successful prosecutions.
“Erica is well-steeped in the securities laws and has a true grasp of the intricacies of the agency,” said Chairman Schapiro. “She also fully embraces the agency’s mission and I am thrilled that she is willing to take on this new responsibility.”
Ms. Williams said, “This is an incredible opportunity that allows me to continue protecting investors and ensuring our markets operate fairly and efficiently.”
Ms. Williams replaces James R. Burns, who will become the Deputy Director of the Division of Trading and Markets.
In 2009, Ms. Williams was selected by U.S. Senator Ted Kaufman as Federal Employee of the Week. Before coming to the SEC, Ms. Williams was a commercial litigator in private practice.
Ms. Williams received her law degree from the University of Virginia School of Law. She holds a bachelor’s degree from the University of Virginia. (Press Rel. 2012-97)
Commission Meetings
Closed Meetings on Wednesday, May 16, 2012 at 11:30 a.m., Thursday, May 17, 2012 at 10:00 a.m., and Friday, May 18, 2012 at 11:00 a.m.
The subject matter of the Closed Meetings on May 16 and 18 will be: an examination of a financial institution.
The subject matter of the Closed Meeting on May 17 will be: examination of financial institutions and a personnel matter.
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400.
Enforcement Proceedings
In the Matter of Belal K. Faruki
On May 17, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Belal K. Faruki (Faruki).
The Order finds that from at least January 2010 through August 2011, Faruki operated and was the majority owner of Neural Markets, LLC (Neural Markets), an investment adviser. Faruki and Neural Markets solicited prospective investors to purchase interests in the Evolution Quantitative 1X Fund (Fund), for which Neural Markets served as the manager. In or about September 2010, as a result of the misrepresentations and omissions of Faruki and Neural Markets, an individual wired $1 million into a bank account controlled by Neural Markets and Faruki to purchase interests in the Fund.
On April 11, 2012, a Judgment of Permanent Injunction and Other Relief, was entered against Faruki and Neural Markets, permanently enjoining them from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Section 206(4) of the Advisers Act and Rule 206-4(8) thereunder in the civil action entitled Securities and Exchange Commission v. Faruki, et al., No. 11 C 5406, in the United States District Court for the Northern District of Illinois (District Court Litigation).
The Commission’s complaint in the District Court Litigation alleges that beginning as early as January 2010 and continuing through at least the initiation of the District Court Litigation, Faruki and Neural Markets presented themselves as managers of a start-up quantitative hedge fund that began trading in 2009, that was managing millions of dollars on behalf of wealthy investors, and had a track record of sustained success. The complaint further alleges that, through their scheme, Faruki and Neural Markets defrauded at least one investor (Investor) out of a $1 million and solicited other investors as well. The complaint alleges, among other things, that Faruki and Neural Markets made numerous material misrepresentations and omissions to the Investor, including (but not limited to) the following: (a) that Faruki, through Neural Markets, created a quantitative hedge fund that was actively trading and had a successful track record of positive performance since at least December 2009; (b) that Faruki and Neural Markets traded securities for the Fund through prime brokers J.P. Morgan Securities, Inc. and Tradestation Securities, Inc. prior to September 2010; (c) that other wealthy individuals had invested approximately $5 million with Faruki and Neural Markets and those funds were being traded by them, but that they could not reveal the investors’ identities because of confidentiality restrictions; (d) that Faruki had invested his own money in the fund and his interests were aligned with the interests of the other supposed investors; (e) that Neural Markets and Faruki engaged RSM McGladrey, Inc. (McGladrey), to perform audit services for the Fund and that McGladrey would provide quarterly and annual audited financial statements; and (f) that, as of September 2010, Faruki had only been involved in five court or regulatory proceedings when, in fact, Faruki was a party to numerous additional lawsuits. The complaint alleges that many of the misrepresentations and omissions described above were made to the Investor by Faruki and Neural Markets in August and September 2010.
Based on the above, the Order bars Faruki from being associated with an investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Faruki consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. IA-3405; File No. 3-14884)
In the Matter of Copeland Wealth Management
On May 17, 2012, the Commission issued an Order Instituting Administrative Proceedings, Pursuant to Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions against Copeland Wealth Management (CWM). The Order finds that on October 19, 2011, a final judgment was entered by consent against CWM permanently enjoining it from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Advisers Act, in the civil action entitled Securities and Exchange Commission v. Charles P. Copeland, Copeland Wealth Management, A Financial Advisory Corporation, and Copeland Wealth Management, A Real Estate Corporation, Civil Action No. 11-08607, in the United States District Court for the Central District of California. The Commission alleged in its complaint that during 2008, in connection with the sale of limited partnership interests, CWM made material misrepresentations regarding the payment of guaranteed returns by the limited partnerships.
Based on the above, the Order revokes CWM’s registration with the Commission as an investment adviser. CWM consented to the issuance of the Order without admitting or denying the findings in the Order, except CWM admitted the entry of the injunction. (Rel. IA-3406; File No. 3-14885)
Investment company act releases
Beverly Hills Bancorp Inc.
An order has been issued on an application filed by Beverly Hills Bancorp Inc. (BHBC). The order under Sections 6(c) and 6(e) of the Investment Company Act of 1940 (Act) exempts BHBC from certain provisions of the Act and the rules thereunder until the earlier of one year from the date of the requested order or such time as BHBC would no longer be required to register as an investment company under the Act. (Rel. IC-30064 – May 15)
self-regulatory organizations
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend Rule 3.6A - Qualification and Registration of Trading Permit Holders and Associated Persons (SR-CBOE-2012-039) 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 May 14. (Rel. 34-67000)
Approval of Proposed Rule Change
The Commission granted approval of a proposed rule change (SR-NYSEArca-2012-21), as modified by Amendment No. 1 thereto, submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of the First Trust North American Infrastructure Fund under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of May 14. (Rel. 34-67001)
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 US-TQ BEVERAGE PRODUCTS INT'L, INC., 699 SERRAMONTE BLVD., STE 212,
DALY CITY, CA, 94015, 650-530-0699 - 19,500,000 ($390,000.00) Equity,
(File 333-181449 - May. 16) (BR. 06)
S-8 FORMFACTOR INC, 7005 SOUTHFRONT ROAD, LIVERMORE, CA, 94551,
9252433522 - 0 ($5,519,899.00) Equity, (File 333-181450 - May. 16)
(BR. 10A)
S-8 ADVANCED MICRO DEVICES INC, ONE AMD PL, MS 68, SUNNYVALE, CA,
94088-3453, 4087322400 - 23,000,000 ($153,295,000.00) Equity,
(File 333-181451 - May. 16) (BR. 10A)
S-3ASR ROWAN COMPANIES PLC, MITRE HOUSE 160, ALDERSGATE STREET, LONDON, X0,
EC1A 4DD, 7139607640 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-181455 - May. 16) (BR. 04B)
S-4 HORIZON BANCORP /IN/, 515 FRANKLIN SQUARE, MICHIGAN CITY, IN, 46360,
2198790211 - 779,073 ($18,834,801.00) Equity, (File 333-181457 -
May. 16) (BR. 07B)
F-3 KONGZHONG CORP, 35F, TENGDA TOWER,, NO. 168 XIWAI ST.,
HAIDIAN DISTRICT, BEIJING, F4, 100044, (8610) 8857-5892 -
80,000,000 ($11,820,000.00) Equity, (File 333-181459 - May. 16)
(BR. 11A)
S-8 CIBER INC, 6363 SOUTH FIDDLER'S GREEN CIRCLE, STE 1400,
GREENWOOD VILLAGE, CO, 80111, 3032200100 - 0 ($10,050,000.00) Equity,
(File 333-181460 - May. 16) (BR. 03A)
S-8 NISOURCE INC/DE, 801 EAST 86TH AVE, MERRILLVILLE, IN, 46410-6272,
2196475200 - 0 ($10,060,000.00) Equity, (File 333-181461 - May. 16)
(BR. 02A)
S-8 TELUS CORP, 3777 KINGSWAY, BURNABY, D1, 00000, 0 ($4,000,000.00) Other,
(File 333-181463 - May. 16) (BR. 11C)
S-3 GE Capital Credit Card Master Note Trust,
777 LONG RIDGE RD,BUILDING B, 3RD FLOOR, STAMFORD, CT, 06902,
2035852351 - 1,000,000 ($1,000,000.00) Asset-Backed Securities,
(File 333-181466 - May. 16) (BR. OSF)
F-1 FREESEAS INC., 10 ELEFTHERIOU VENIZELOU STREET, (PANEPISTIMIOU AVENUE),
ATHENS, J3, 10671, 011-30-210-452-8770 -
4,442,848 ($3,292,595.00) Equity, (File 333-181467 - May. 16) (BR. 05B)
S-8 DENNYS CORP, 203 E MAIN ST, SPARTANBURG, SC, 29319, 8645978000 -
4,500,000 ($17,775,000.00) Equity, (File 333-181468 - May. 16) (BR. 05B)
S-1 Omnitek Engineering Corp, 1945 S. Rancho Santa Fe Road, San Marcos, CA,
92078, (760-591-0888 - 5,282,559 ($2,116.27) Equity, (File 333-181469 -
May. 16) (BR. 05C)
S-3 ISTAR FINANCIAL INC, 1114 AVENUE OF THE AMERICAS 27TH FLOOR, NEW YORK,
NY, 10036, 2129309494 - 0 ($3,500,000,000.00) Equity,
(File 333-181470 - May. 16) (BR. 08B)
S-3 TEXAS CAPITAL BANCSHARES INC/TX, 2000 MCKINNEY AVE, SUITE 700, DALLAS,
TX, 75201, 2149326600 -
0 ($250,000,000.00) Unallocated (Universal) Shelf, (File 333-181471 -
May. 16) (BR. 07C)
S-8 EXPEDITORS INTERNATIONAL OF WASHINGTON INC,
1015 THIRD AVENUE 12TH FLOOR, SEATTLE, WA, 98104, 2066743400 -
3,000,000 ($115,500,000.00) Equity, (File 333-181472 - May. 16)
(BR. 05B)
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
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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
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3D SYSTEMS CORP DE 5.07 05/15/12
8X8 INC /DE/ DE 2.02,9.01 05/16/12
ABIOMED INC DE 2.02,9.01 05/16/12
ADAMS RESOURCES & ENERGY, INC. DE 5.07 05/16/12
AFC ENTERPRISES INC MN 5.07 05/15/12
AIR LEASE CORP DE 5.07 05/10/12
ALLBRITTON COMMUNICATIONS CO DE 5.02 05/11/12
ALLIANCE FINANCIAL CORP /NY/ NY 5.07,7.01,9.01 05/15/12
Allied Nevada Gold Corp. DE 1.01,7.01,8.01,9.01 05/11/12
Allied World Assurance Co Holdings, A 7.01,9.01 05/16/12 AMEND
Ally Financial Inc. DE 2.01,9.01 05/14/12
ALMOST FAMILY INC DE 7.01,9.01 05/16/12
ALTRIA GROUP, INC. VA 7.01,8.01,9.01 05/16/12
AMERICAN INTERNATIONAL GROUP INC DE 5.07 05/16/12
AMERICAN NATIONAL BANKSHARES INC VA 8.01,9.01 05/16/12
AMERICAN NATIONAL BANKSHARES INC VA 5.07 05/16/12
AMERICAN REALTY INVESTORS INC NV 2.02,9.01 05/15/12
AMERISOURCEBERGEN CORP DE 5.02,8.01,9.01 05/10/12
AMPAL-AMERICAN ISRAEL CORP NY 2.02,7.01,9.01 05/16/12
AMYLIN PHARMACEUTICALS INC DE 5.02,5.07,9.01 05/15/12
ANGIODYNAMICS INC DE 5.07,8.01,9.01 05/15/12
ANNALY CAPITAL MANAGEMENT INC MD 3.03,5.03,9.01 05/16/12
APARTMENT INVESTMENT & MANAGEMENT CO MD 1.01,9.01 05/10/12
APARTMENT INVESTMENT & MANAGEMENT CO MD 8.01,9.01 05/16/12
APPLETON PAPERS INC/WI 7.01,8.01,9.01 05/16/12
Archipelago Learning, Inc. DE 5.07,9.01 05/16/12
ARK RESTAURANTS CORP NY 5.07,9.01 05/14/12 AMEND
Ascend Acquisition Corp. DE 4.01,9.01 05/14/12
AspenBio Pharma, Inc. CO 3.01,9.01 05/11/12
ASTORIA FINANCIAL CORP DE 8.01,9.01 05/16/12
ATHENA SILVER CORP DE 3.02,9.01 05/10/12
Athens Bancshares Corp 5.07 05/16/12
AVIV REIT, INC. MD 2.02,9.01 05/16/12
AXA EQUITABLE LIFE INSURANCE CO NY 5.02 05/15/12
B&G Foods, Inc. DE 5.02,5.07 05/15/12
Bancorp, Inc. 7.01,9.01 05/16/12
Bank of Commerce Holdings CA 5.02,5.07,8.01 05/15/12
Bank of New York Mellon CORP DE 8.01,9.01 05/10/12
BEAM INC DE 1.01,2.03,9.01 05/10/12
BERKSHIRE BANCORP INC /DE/ DE 5.07 05/15/12
BERKSHIRE HATHAWAY INC DE 8.01,9.01 05/15/12
BERKSHIRE HILLS BANCORP INC 5.02,5.03,9.01 05/10/12
BIOLASE TECHNOLOGY INC DE 5.03,5.07,7.01,9.01 05/10/12
BIOSHAFT WATER TECHNOLOGY, INC. NV 4.02 10/31/11
BLONDER TONGUE LABORATORIES INC DE 2.02,9.01 05/16/12
BLUE NILE INC DE 5.02 05/15/12
Bonds.com Group, Inc. DE 1.01,3.02,5.02,9.01 05/10/12
BOSTON PROPERTIES INC DE 5.02,5.07,9.01 05/15/12
BOSTON PROPERTIES LTD PARTNERSHIP DE 5.02,5.07,9.01 05/15/12
BRADY CORP WI 2.02,7.01,9.01 05/16/12
BSD MEDICAL CORP DE 7.01,9.01 05/16/12
CAMAC Energy Inc. DE 1.01 05/10/12
CAMCO FINANCIAL CORP DE 5.02,9.01 09/01/10
CATALYST PHARMACEUTICAL PARTNERS, INC DE 8.01,9.01 05/16/12
CBIZ, Inc. DE 5.07 05/10/12
CCFNB BANCORP INC PA 5.07 05/15/12
CEDAR REALTY TRUST, INC. MD 5.03,8.01,9.01 05/15/12
CERADYNE INC DE 7.01,9.01 05/15/12
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 05/15/12
CHASE CORP MA 5.07 02/06/12 AMEND
CHICOS FAS INC FL 2.02,9.01 05/16/12
China Bull Management Inc NV 8.01 03/31/12
CHINA EDUCATION ALLIANCE INC. NC 2.02,9.01 05/15/12
CHIQUITA BRANDS INTERNATIONAL INC NJ 5.02 05/14/12
CIRCLE STAR ENERGY CORP. NV 3.02,7.01,9.01 05/15/12
Citi Trends Inc 2.02,9.01 05/16/12
CLAIRES STORES INC DE 2.02,9.01 05/16/12
CLOUD PEAK ENERGY INC. DE 7.01,9.01 05/15/12
CNL LIFESTYLE PROPERTIES INC MD 2.02,9.01 05/16/12
COAST DISTRIBUTION SYSTEM INC DE 2.02,9.01 05/15/12
CODORUS VALLEY BANCORP INC PA 5.02 05/16/12
COLGATE PALMOLIVE CO DE 5.07 05/11/12
COLLECTIVE BRANDS, INC. DE 8.01 05/16/12
Colonial Financial Services, Inc. MD 8.01,9.01 05/15/12
COLONIAL PROPERTIES TRUST AL 1.01,2.03,9.01 05/11/12
COLUMBIA BANKING SYSTEM INC WA 5.02 05/10/12
COMMERCIAL NATIONAL FINANCIAL CORP /P PA 5.02 05/15/12
COMMUNITY BANCORP /VT VT 5.07 05/15/12
COMSTOCK RESOURCES INC NV 9.01 05/16/12 AMEND
Conquest Petroleum Inc TX 8.01,9.01 05/16/12
CONTINENTAL MATERIALS CORP DE 2.02,9.01 05/15/12
Corporate Resource Services, Inc. DE 2.02,9.01 05/16/12
Corridor Ventures I Acquisition Corp. NV 1.01,3.02,5.01,5.02, 05/02/12
9.01
COST PLUS INC/CA/ CA 2.02,9.01 05/16/12
COSTCO WHOLESALE CORP /NEW WA 8.01,9.01 05/09/12 AMEND
COVENANT TRANSPORTATION GROUP INC NV 5.07 05/15/12
CPS TECHNOLOGIES CORP/DE/ DE 2.02,9.01 03/31/12
CRC Health CORP DE 2.02,9.01 05/16/12
Crexendo, Inc. DE 5.02,9.01 05/16/12
CROSS BORDER RESOURCES, INC. NV 1.01 05/14/12
CRYOLIFE INC FL 8.01 05/16/12
CTD HOLDINGS INC FL 2.02,9.01 05/11/12
Cullman Bancorp, Inc. X1 5.07,8.01 05/15/12
CVR PARTNERS, LP DE 5.02 05/10/12
DARLING INTERNATIONAL INC DE 7.01,9.01 05/15/12
DDI CORP CA 8.01 05/15/12
DecisionPoint Systems, Inc. 2.02,9.01 05/15/12
Deep Down, Inc. NV 2.02,9.01 05/15/12
DEERE & CO DE 2.02,7.01,8.01,9.01 05/16/12
DEERE JOHN CAPITAL CORP DE 2.02,7.01,8.01,9.01 05/16/12
Delek US Holdings, Inc. 7.01,8.01,9.01 05/15/12
dELiAs, Inc. DE 5.02 05/10/12
DELPHI FINANCIAL GROUP INC/DE DE 2.01,3.01,3.03,5.01, 05/16/12
5.02,5.03,8.01,9.01
Digital Domain Media Group, Inc. FL 2.02,9.01 05/16/12
DISH Network CORP NV 1.01,2.03,9.01 05/16/12
DORAL FINANCIAL CORP PR 2.02,7.01,9.01 05/15/12
DORCHESTER MINERALS, L.P. DE 5.07 05/16/12
Dorman Products, Inc. PA 5.07,7.01,9.01 05/15/12
Dr Pepper Snapple Group, Inc. DE 7.01,9.01 05/16/12
Dr Pepper Snapple Group, Inc. DE 8.01,9.01 05/16/12
DRIL-QUIP INC DE 5.02,5.07 05/10/12
DUKE REALTY CORP IN 7.01,9.01 05/16/12
DUKE REALTY LIMITED PARTNERSHIP/ IN 7.01,9.01 05/16/12
DUNKIN' BRANDS GROUP, INC. DE 5.02,5.07,9.01 05/15/12
DYNATRONICS CORP UT 2.02,9.01 05/15/12
DynaVox Inc. 2.02,9.01 05/14/12
EAGLE MATERIALS INC DE 2.02,9.01 05/16/12
Eastern Resources, Inc. DE 9.01 04/06/12 AMEND
EASTGROUP PROPERTIES INC MD 1.01,9.01 05/11/12
EASTMAN CHEMICAL CO DE 8.01,9.01 05/16/12
Education Realty Trust, Inc. MD 5.07 05/16/12
ELECTRONICS FOR IMAGING INC DE 5.02,5.07 05/11/12
Ellington Financial LLC DE 5.07 05/15/12
EMMIS COMMUNICATIONS CORP IN 7.01 05/15/12
ENCISION INC CO 2.02,9.01 05/14/12
ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 05/16/12
ENERGY FOCUS, INC/DE DE 2.02,9.01 05/15/12
ENTERPRISE FINANCIAL SERVICES CORP DE 7.01,9.01 05/16/12
EPOCRATES INC DE 5.02 05/14/12
ESP Resources, Inc. NV 1.01,8.01,9.01 05/11/12
FBL FINANCIAL GROUP INC IA 5.07 05/16/12
Federal Home Loan Bank of Seattle 7.01 05/15/12
FEI CO OR 5.02 05/14/12
FIFTH THIRD BANCORP OH 5.02 05/10/12
First American Financial Corp DE 5.07 05/15/12
FIRST CAPITAL BANCORP, INC. VA 8.01,9.01 05/14/12
FIRST CAPITAL BANCORP, INC. VA 1.01,9.01 05/11/12
First Federal of Northern Michigan Ba 5.07,9.01 05/16/12
FIRST FINANCIAL CORP /IN/ IN 8.01,9.01 05/16/12
FIRST FINANCIAL SERVICE CORP KY 5.02,9.01 05/16/12
FIRST FINANCIAL SERVICE CORP KY 7.01,9.01 05/16/12
FIRST FINANCIAL SERVICE CORP KY 7.01,9.01 05/16/12
FIRST MIDWEST BANCORP INC DE 7.01,9.01 05/16/12
FIRST POTOMAC REALTY TRUST MD 2.02,7.01,9.01 05/15/12
FIRST POTOMAC REALTY TRUST MD 1.01,8.01,9.01 05/10/12
FIRSTENERGY CORP OH 5.07 05/15/12
Firsthand Technology Value Fund, Inc. 8.01,9.01 05/15/12
FLUSHING FINANCIAL CORP DE 8.01,9.01 05/15/12
FLUSHING FINANCIAL CORP DE 5.07 05/15/12
Fortune Brands Home & Security, Inc. DE 7.01,9.01 05/16/12
FRONTIER COMMUNICATIONS CORP DE 7.01 05/16/12
FS Investment CORP MD 2.02,8.01,9.01 05/15/12
FSP 303 East Wacker Drive Corp. 7.01,9.01 05/16/12
FSP 50 South Tenth Street Corp 7.01,9.01 05/16/12
FSP GALLERIA NORTH CORP 7.01,9.01 05/16/12
FSP PHOENIX TOWER CORP 7.01,9.01 05/16/12
FURMANITE CORP DE 5.07 05/15/12
FUSION TELECOMMUNICATIONS INTERNATION DE 2.02,7.01,9.01 05/16/12
GAP INC DE 5.07 05/15/12
Geeknet, Inc DE 5.02,5.07,9.01 05/10/12
GENERAL ELECTRIC CAPITAL CORP CT 8.01 05/16/12
GENERAL ELECTRIC CO NY 8.01 05/16/12
GENERAL EMPLOYMENT ENTERPRISES INC IL 2.02,9.01 05/15/12
GEOGLOBAL RESOURCES INC. DE 2.02 05/16/12
GeoMet, Inc. DE 2.02,9.01 05/16/12
GeoVax Labs, Inc. DE 2.02,9.01 05/15/12
GLIMCHER REALTY TRUST MD 5.02,5.07,9.01 05/16/12
GLOBAL MOBILETECH, INC. NV 2.02,9.01 05/16/12
Globalstar, Inc. DE 1.01,8.01,9.01 05/10/12
GLOBALWISE INVESTMENTS INC NV 2.02,9.01 05/16/12
GOLD HORSE INTERNATIONAL, INC. FL 2.02,7.01,9.01 05/15/12
GOLDEN STAR RESOURCES LTD 5.07 05/10/12
GRANITE CITY FOOD & BREWERY LTD. MN 8.01,9.01 05/16/12
GREAT WALL BUILDERS LTD. TX 8.01 05/14/12
GREENMAN TECHNOLOGIES INC DE 2.02,9.01 05/15/12
Griffin-American Healthcare REIT II, MD 1.01,9.01 05/14/12
GSV Capital Corp. MD 8.01,9.01 05/16/12
GT Advanced Technologies Inc. DE 2.02,7.01,9.01 05/16/12
Hallwood Group Inc DE 2.02,9.01 05/15/12
HAMPSHIRE GROUP LTD DE 2.02,9.01 05/15/12
HANDENI GOLD INC. NV 5.02,8.01,9.01 05/15/12
HAWTHORN BANCSHARES, INC. MO 2.02,9.01 05/15/12
HEALTHCARE TRUST OF AMERICA, INC. MD 2.02,9.01 05/15/12
Heartland Bridge Capital, Inc. DE 5.03,9.01 05/16/12
HENRY SCHEIN INC DE 5.03,5.07,9.01 05/15/12
Hicks Acquisition CO II, Inc. 7.01,8.01,9.01 05/16/12
HollyFrontier Corp DE 7.01,9.01 05/16/12
HollyFrontier Corp DE 5.07 05/16/12
HOST HOTELS & RESORTS, INC. MD 5.07 05/10/12
HOT TOPIC INC /CA/ CA 2.02,9.01 05/16/12
HUMAN GENOME SCIENCES INC DE 5.07 05/16/12
IBERIABANK CORP LA 7.01,9.01 05/16/12
INCOME OPPORTUNITY REALTY INVESTORS I NV 9.01 05/15/12
INDEPENDENT BANK CORP MA 1.01 05/11/12
Industrial Income Trust Inc. MD 2.01,9.01 05/10/12
InfuSystem Holdings, Inc DE 2.02,9.01 05/15/12
INTEGRYS ENERGY GROUP, INC. WI 5.02,5.03,5.07,9.01 05/10/12
Intermec, Inc. DE 2.02,2.06,7.01,9.01 05/16/12
IXIA CA 5.02,5.07,9.01 05/10/12
JACK IN THE BOX INC /NEW/ DE 7.01,9.01 05/16/12
JACK IN THE BOX INC /NEW/ DE 7.01,9.01 05/16/12
KAPSTONE PAPER & PACKAGING CORP DE 1.01,9.01 05/10/12
KILLBUCK BANCSHARES INC OH 5.07 05/14/12
KIT digital, Inc. DE 1.01,2.02,3.02,9.01 05/15/12
Kraton Performance Polymers, Inc. DE 7.01,9.01 05/16/12
LAKES ENTERTAINMENT INC MN 1.01,9.01 05/10/12
LANDSTAR SYSTEM INC DE 5.02 05/16/12
Lantheus Medical Imaging, Inc. DE 2.02 05/15/12
LCA VISION INC DE 5.07,7.01,9.01 05/15/12
Leaplab Corp 5.02 05/11/12
LEAR CORP DE 5.07,8.01,9.01 05/16/12
LEUCADIA NATIONAL CORP NY 5.02,5.07 05/15/12
LIBERATOR MEDICAL HOLDINGS, INC. NV 2.02,9.01 05/16/12
LIONS GATE ENTERTAINMENT CORP /CN/ A1 1.01 05/11/12
LOCAL.COM DE 1.01,9.01 05/14/12
LSB INDUSTRIES INC DE 7.01,8.01,9.01 05/15/12
LUFKIN INDUSTRIES INC TX 8.01,9.01 05/14/12
MAGELLAN HEALTH SERVICES INC DE 8.01 05/14/12
MAGELLAN HEALTH SERVICES INC DE 5.07 05/16/12
MAGNUM HUNTER RESOURCES CORP DE 1.01,2.03,7.01,9.01 05/16/12
MANTECH INTERNATIONAL CORP DE 5.07 05/10/12
MARCHEX INC DE 7.01 03/16/12
Marlborough Software Development Hold DE 2.02,9.01 05/15/12
MCG CAPITAL CORP DE 1.02 05/15/12
Medefile International, Inc. NV 1.01,3.02,9.01 04/27/12
MEDICIS PHARMACEUTICAL CORP DE 1.01,2.03,3.02,5.07, 05/10/12
9.01
MEDL Mobile Holdings, Inc. NV 2.02,9.01 05/15/12
MEDTRONIC INC MN 8.01,9.01 05/16/12
METLIFE INC DE 5.02,9.01 05/11/12
MGT CAPITAL INVESTMENTS INC DE 1.01,9.01 05/11/12
MIDDLEBY CORP DE 4.01,9.01 05/10/12
MILAGRO OIL & GAS, INC. DE 2.02,9.01 05/15/12
Momentive Performance Materials Inc. DE 7.01,9.01 05/16/12
MOMENTUM BIOFUELS, INC. CO 1.02,3.02,4.01,5.01, 05/01/12
5.02,9.01
MORGAN STANLEY DE 5.02,5.07,9.01 05/15/12
Morningstar, Inc. IL 5.07,8.01,9.01 05/15/12
Motors Liquidation Co DE 8.01,9.01 05/15/12
MusclePharm Corp NV 4.02 05/14/12
MVB FINANCIAL CORP WV 5.07 05/15/12
Narnia Corp. NV 1.01,5.03,7.01,9.01 05/07/12
NATIONAL OILWELL VARCO INC DE 5.07 05/16/12
NATIONAL RESEARCH CORP WI 5.07 05/11/12
Nationstar Mortgage Holdings Inc. DE 1.01,8.01,9.01 05/13/12
Naugatuck Valley Financial Corp 2.02,9.01 05/15/12
NB&T FINANCIAL GROUP INC OH 8.01 05/16/12
NCR CORP MD 7.01,9.01 05/16/12
NDB Energy, Inc. NV 5.02,7.01,9.01 05/10/12
New Concept Energy, Inc. NV 2.02,9.01 05/15/12
NEWS CORP 8.01,9.01 05/16/12
NISOURCE INC/DE DE 5.02,5.07 05/15/12
NORFOLK SOUTHERN CORP VA 8.01,9.01 05/16/12
NORTHEAST BANCORP /ME/ ME 1.01,8.01,9.01 05/15/12
NORTHEAST COMMUNITY BANCORP INC X1 5.02 05/14/12
OHIO LEGACY CORP OH 5.07 05/15/12
OIL STATES INTERNATIONAL, INC DE 5.07 05/15/12
OLD SECOND BANCORP INC DE 5.07 05/15/12
OMNICARE INC DE 7.01,9.01 05/16/12
OphthaliX, Inc. NV 2.02,9.01 05/15/12
OptimumBank Holdings, Inc. FL 5.07 04/24/12
ORASURE TECHNOLOGIES INC DE 5.07,7.01,9.01 05/15/12
ORIENT EXPRESS HOTELS LTD D0 5.02,9.01 05/15/12
PARAMOUNT GOLD & SILVER CORP. DE 5.07 12/02/11 AMEND
PEETS COFFEE & TEA INC WA 5.03,5.07,9.01 05/11/12
PENN VIRGINIA RESOURCE PARTNERS L P DE 1.01,9.01 05/11/12
PENSON WORLDWIDE INC DE 2.02,9.01 05/15/12
PETROLEUM DEVELOPMENT CORP NV 1.01,9.01 05/15/12
PINNACLE WEST CAPITAL CORP AZ 8.01 05/15/12
PIXELWORKS, INC OR 5.07 05/15/12
PLEXUS CORP WI 1.01,1.02,2.03,9.01 05/15/12
POLYMER GROUP INC DE 2.02,9.01 05/15/12
Power REIT MD 9.01 05/15/12
PRAXAIR INC DE 8.01,9.01 05/16/12
PREMIER FINANCIAL BANCORP INC KY 7.01,9.01 05/15/12
PROGRESS ENERGY INC NC 7.01,9.01 03/31/12
PROGRESSIVE CORP/OH/ OH 7.01,9.01 05/16/12
PURADYN FILTER TECHNOLOGIES INC DE 2.02,7.01,9.01 05/16/12
PYRAMID OIL CO CA 2.02,9.01 05/15/12
QEP RESOURCES, INC. DE 5.02,5.03,5.07,7.01, 05/14/12
9.01
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 5.02,7.01,8.01,9.01 05/10/12
QUEST DIAGNOSTICS INC DE 5.07 05/11/12
QUEST DIAGNOSTICS INC DE 5.02,9.01 05/10/12
QUESTCOR PHARMACEUTICALS INC CA 7.01,9.01 05/16/12
QUESTCOR PHARMACEUTICALS INC CA 5.07 05/10/12
RADIANT LOGISTICS, INC DE 2.02,9.01 05/15/12
RALCORP HOLDINGS INC /MO MO 2.02,9.01 05/15/12
RARE ELEMENT RESOURCES LTD A1 2.02,7.01,9.01 05/10/12
RED ROBIN GOURMET BURGERS INC DE 2.02,9.01 05/16/12
REPROS THERAPEUTICS INC. DE 8.01,9.01 05/16/12
REPUBLIC BANCORP INC /KY/ KY 7.01,9.01 05/16/12
RETRACTABLE TECHNOLOGIES INC TX 8.01,9.01 05/16/12
Rock Energy Resources, Inc. DE 7.01,9.01 05/16/12
ROCKWELL MEDICAL TECHNOLOGIES INC MI 5.02,9.01 05/14/12
Rouse Properties, Inc. DE 2.02,7.01,9.01 05/15/12
ROWAN COMPANIES PLC X0 8.01,9.01 05/16/12
ROWAN COMPANIES PLC X0 8.01,9.01 05/16/12
RUSH ENTERPRISES INC \TX\ TX 5.07 05/15/12
RYLAND GROUP INC MD 1.01,2.03,9.01 05/10/12
SALISBURY BANCORP INC CT 7.01 05/16/12
SALIX PHARMACEUTICALS LTD 5.02,9.01 05/14/12
SANUWAVE Health, Inc. NV 2.02,9.01 05/14/12
SARATOGA RESOURCES INC /TX TX 1.01,7.01,9.01 05/14/12
SERVICEMASTER CO DE 1.01,9.01 05/11/12
SIGMA ALDRICH CORP DE 1.01,1.02,2.03 05/10/12
Silver Dragon Resources Inc. DE 7.01,9.01 05/16/12
SINCLAIR BROADCAST GROUP INC MD 1.01,7.01,8.01,9.01 05/14/12
SKY PETROLEUM, INC. NV 1.01,3.02,7.01,9.01 05/14/12
SKYWORKS SOLUTIONS, INC. DE 5.07 05/10/12
SMARTPAY EXPRESS, INC. NV 1.01,5.01,9.01 05/10/12
SMITH MIDLAND CORP DE 1.01,2.03,9.01 05/10/12
SMITHFIELD FOODS INC VA 2.02,9.01 05/16/12
Snap Interactive, Inc DE 7.01 05/16/12
SOUTHERN FIRST BANCSHARES INC SC 5.07,7.01,9.01 05/15/12
SPANISH BROADCASTING SYSTEM INC DE 5.02,9.01 05/10/12
SPARTAN STORES INC MI 2.02,8.01,9.01 05/16/12
SPOT MOBILE INTERNATIONAL LTD. DE 2.01,5.02 05/10/12
STAAR SURGICAL CO DE 5.07,8.01 05/14/12
STANDARD PARKING CORP DE 8.01,9.01 05/16/12
STAPLES INC DE 2.02,9.01 05/16/12
STATE BANK FINANCIAL CORP GA 7.01,9.01 05/16/12
STATE BANK FINANCIAL CORP GA 7.01,9.01 05/16/12 AMEND
STATE STREET CORP MA 7.01,9.01 05/16/12
STEEL PARTNERS HOLDINGS L.P. DE 2.02,9.01 05/15/12
StellarOne CORP VA 5.02,5.07,9.01 05/16/11
Summit Hotel Properties, Inc. MD 2.02,9.01 05/15/12
SUNPEAKS VENTURES, INC. 1.01,3.02,9.01 05/10/12
SUPERTEL HOSPITALITY INC VA 2.02,9.01 05/15/12
TARGET CORP MN 2.02,9.01 05/16/12
TC PIPELINES LP DE 7.01,9.01 05/16/12
TEAMSTAFF INC NJ 2.02,9.01 05/16/12
TELETECH HOLDINGS INC DE 8.01 05/10/12
TEXAS CAPITAL BANCSHARES INC/TX 5.07 05/16/12
THERAVANCE INC DE 8.01 05/15/12
THOMAS & BETTS CORP TN 1.02,2.01,3.01,3.03, 05/16/12
5.01,5.02,5.03,8.01,
9.01
Tianli Agritech, Inc. D8 7.01,9.01 05/14/12
TIDEWATER INC DE 8.01,9.01 05/14/12
Timberline Resources Corp DE 7.01,8.01,9.01 05/16/12
TOR MINERALS INTERNATIONAL INC DE 8.01,9.01 05/16/12
TRANSCONTINENTAL REALTY INVESTORS INC NV 2.02,9.01 05/15/12
TRIMAS CORP DE 8.01,9.01 05/11/12
TRIMAS CORP DE 7.01,9.01 05/16/12
TRIO TECH INTERNATIONAL CA 2.02,9.01 05/14/12
Tropicana Las Vegas Hotel & Casino, I DE 5.07 05/15/12
Twin Cities Power Holdings, LLC MN 2.02,9.01 05/15/12
U.S. Auto Parts Network, Inc. DE 5.07 05/15/12
U.S. SILICA HOLDINGS, INC. DE 7.01,9.01 05/16/12
UDR, Inc. MD 5.07 05/16/12
UIL HOLDINGS CORP CT 5.07,8.01,9.01 05/15/12
ULURU INC. NV 2.02,9.01 05/16/12
UNITED COMMUNITY BANKS INC GA 8.01 05/14/12
UNITED STATES ANTIMONY CORP MT 5.02 05/15/12
US AIRWAYS GROUP INC DE 1.01,2.03,9.01 05/14/12
USA Mobility, Inc DE 5.07,7.01,9.01 05/16/12
VALUEVISION MEDIA INC MN 2.02,9.01 05/16/12
Vanguard Energy Corp CO 8.01,9.01 05/14/12
Vantiv, Inc. 5.02 05/10/12
VENTRUS BIOSCIENCES INC DE 8.01,9.01 05/16/12
Verisk Analytics, Inc. DE 5.07 05/16/12
VERMILLION, INC. DE 2.02,7.01,9.01 05/15/12
VERMILLION, INC. DE 5.02,9.01 05/15/12
VERMILLION, INC. DE 5.03,9.01 05/15/12
VISTA GOLD CORP B0 7.01,9.01 05/16/12
VistaGen Therapeutics, Inc. NV 7.01,8.01,9.01 05/14/12
VOLT INFORMATION SCIENCES, INC. NY 5.02,9.01 05/09/12
VOXX International Corp DE 2.02,8.01,9.01 05/14/12
WebMD Health Corp. DE 5.02 05/16/12
WebXU, Inc. DE 1.01,7.01,9.01 05/16/12
WELLPOINT, INC IN 5.07 05/16/12
WESTAR ENERGY INC /KS KS 8.01,9.01 05/14/12
WESTELL TECHNOLOGIES INC DE 2.02,8.01,9.01 05/16/12
Western Refining, Inc. DE 7.01,9.01 05/15/12
WEYERHAEUSER CO WA 7.01,9.01 05/10/12
Zevotek, Inc DE 5.02 05/07/12
Ziyang Ceramics Corp FL 2.02,7.01,9.01 05/16/12
http://www.sec.gov/news/digest/2012/dig05172012.htm
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