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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-118
June 19, 2012


Enforcement Proceedings

Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Five Public Companies For Failure to Make Required Periodic Filings

Today, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of five companies for failure to make required periodic filings with the Commission:

  • Fourthstage Technologies, Inc.
     
  • Freesoftwareclub.com
     
  • FTM Media, Inc.
     
  • Full Moon Universe, Inc.
     
  • Future Educational Systems, Inc.

In this Order, the Division of Enforcement (Division) alleges that the five issuers are delinquent in their required periodic filings with the Commission.

In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-67217; File No. 3-14920)

In the Matter of Laurence M. Brown, CPA

The United States Securities and Exchange Commission (Commission) announced the issuance of an Order of Suspension Pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice (Order) against Laurence M. Brown (Brown). The Order finds that, on January 25, 2012, a judgment of conviction was entered against Brown, a CPA, finding him guilty of one count of securities fraud in violation of 15 U.S.C. 78j(b), two counts of wire fraud in violation of 18 U.S.C. 1342, and one count of money laundering in violation of 18 U.S.C. 1957.

Based on the above, the Order forthwith suspends Brown from appearing or practicing before the Commission. (Rel. 34-67218; AAE Rel. 3389; File No. 3-14921)

In the Matter of Ronald J. Mangini, CPA

The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3) of the Commission’s Rules of Practice (Order) against Ronald J. Mangini (Mangini). The Order finds that, on March 21, 2012, Mangini, a CPA, was permanently enjoined from future violations of Section 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.

Based on the above, the Order temporarily suspends Mangini from appearing or practicing before the Commission. (Rel. 34-67219; AAE Rel. 3390; File No. 3-14922)

In the Matter of Advanced Growing Systems, Inc.

An Administrative Law Judge has issued an Initial Decision as to Amazon Biotech, Inc., and Andover Holdings, Inc. (n/k/a Andover Energy Holdings, Inc.), in Advanced Growing Systems, Inc., Admin. Proc. File No. 3-14794. The Order Instituting Proceedings alleged that Amazon Biotech, Inc., and Andover Holdings, Inc. (n/k/a Andover Energy Holdings, Inc.), repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission.

The Initial Decision finds the allegations to be true and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Initial Decision No. 461; File No. 3-14794)

In the Matter of Locust Offshore Management, LLC

An Administrative Law Judge has issued an Order Making Findings and Imposing Sanction by Default (Default Order) in Locust Offshore Management, LLC, Admin. Proc. File No. 3-14833. The Order Instituting Proceedings (OIP) alleged that Locust Offshore Management, LLC (Locust), violated the antifraud provisions of the federal securities laws by engaging in a scheme to defraud potential investors in a non-existent pooled investment fund through the use of numerous material misrepresentations. On March 20, 2012, the United States District Court for the District of Massachusetts entered a final judgment against Locust by default in SEC v. Hicks, No. 1:11-CV-11888-RGS, 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 Section 206(4) of the Investment Advisers Act of 1940 (Advisers Act) and Rule 206(4)-8 thereunder. The district court further ordered Locust to disgorge approximately $2.5 million in illegally-obtained profits and pay a civil penalty of more than $2.5 million.

The Default Order finds the allegations of the OIP to be true and concludes that, pursuant to Section 203(e) of the Advisers Act, it is in the public interest to bar Locust from acting as an investment adviser. (Rel. IA-3420; File No. 3-14833)

Investment Company Act Releases

Harris & Harris Group, Inc.

A certification has been issued pursuant to Section 851(e) of the Internal Revenue Code of 1986, as amended, that Harris & Harris Group, Inc. was, for the fiscal year ended December 31, 2011, principally engaged in the furnishing of capital to other corporations which are principally engaged in the development or exploitation of inventions, technological improvements, new processes or products not previously generally available. (Rel. IC-30104 - June 15)

Franklin Advisers, Inc. and Franklin Templeton International Trust

A notice has been issued giving interested persons until July 16, 2012 to request a hearing on an application filed by Franklin Advisers, Inc. and Franklin Templeton International Trust for an order exempting them from Section 15(a) of the Investment Company Act of 1940, as amended (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. (Rel. IC-30105 – June 18)

Self-regulatory organizations

Proposed Rule Change

Chicago Board Options Exchange, Incorporated filed a proposed rule change (SR-CBOE-2012-048), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, relating to distribution of auction messages. Publication is expected in the Federal Register during the week of June 18. (Rel. 34-67209)

Joint Industry Plan releases

Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan to Revise the Definition of the Term “Nonprofessional”

The Options Price Reporting Authority filed with the Securities and Exchange Commission a notice of filing and immediate effectiveness of a proposed amendment pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608 thereunder (SR-OPRA-2012-03) to revise the definition of the term “Nonprofessional.” Publication is expected in the Federal Register during the week of June 18. (Rel. 34-67210)

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-4     PSS WORLD MEDICAL INC, 4345 SOUTHPOINT BLVD, STE 250, JACKSONVILLE, FL, 
        32216, 9043323000 - 0 ($250,000,000.00) Equity, (File 333-182178 - 
        Jun. 18) (BR. 09B)

S-1     Luxeyard, Inc., 4063 GLENCOE AVE., SUITE A, MARINA DEL REY,, CA, 90292, 
        (323)-488-3574 - 39,144,590 ($21,586,096.00) Equity, (File 333-182180 - 
        Jun. 18) (BR. 02)

S-1     Natural Grocers by Vitamin Cottage, Inc., 12612 W. ALAMEDA PARKWAY, 
        LAKEWOOD, CO, 80228, 800-817-9415 - 0 ($115,000,000.00) Equity, 
        (File 333-182186 - Jun. 18) (BR. 02)

S-3D    Embassy Bancorp, Inc., 100 GATEWAY DRIVE, SUITE 100, BETHLEHEM, PA, 
        18017, 610-882-8800 - 1,000,000 ($4,950,000.00) Equity, 
        (File 333-182189 - Jun. 18) (BR. 07B)

S-1     WESTERN CAPITAL RESOURCES, INC., 2201 WEST BROADWAY, COUNCIL BLUFFS, 
        IA, 51501, 712-322-4020 - 0 ($4,500,000.00) Equity, (File 333-182190 - 
        Jun. 18) (BR. 07C)

S-3     McEwen Mining Inc., SUITE 4750, BROOKFIELD PLACE, 
        181 BAY ST., P.O. BOX 792, TORONTO, A6, M5J 2T3, 647-258-0395 - 
        0 ($200,000,000.00) Other, (File 333-182192 - Jun. 18) (BR. 09B)

S-3ASR  IHS Inc., 15 INVERNESS WAY EAST, ENGLEWOOD, CO, 80112, 303-790-0600 - 
        0 ($0.00) Other, (File 333-182193 - Jun. 18) (BR. 03B)

S-3ASR  Discovery Communications, Inc., 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 
        80112, (720) 875-4000 - 0 ($0.00) Other, (File 333-182194 - Jun. 18) 
        (BR. 11C)

S-8     MeetMe, Inc., 312 CLEMATIS STREET, SUITE 407, WEST PALM BEACH, FL, 
        33401, 561-491-4181 - 5,700,000 ($13,452,000.00) Equity, 
        (File 333-182195 - Jun. 18) (BR. 11A)

S-8     RESPONSYS INC, 900 CHERRY AVENUE, 5TH FLOOR, SAN BRUNO, CA, 94066, 
        650-745-1700 - 1,500,000 ($14,400,000.00) Equity, (File 333-182196 - 
        Jun. 18) (BR. 03C)

S-3ASR  AMERICAN EXPRESS CREDIT CORP, ONE CHRISTINA CENTRE 301 N WALNUT STREET, 
        SUITE 1002, WILMINGTON, DE, 19801-2919, 3025943350 - 0 ($0.00) Debt, 
        (File 333-182197 - Jun. 18) (BR. 12A)

S-8     DEVON ENERGY CORP/DE, 333 N. SHERIDAN AVENUE, OKLAHOMA CITY, OK, 
        73102-8260, 4052288324 - 25,500,000 ($1,443,555,000.00) Equity, 
        (File 333-182198 - Jun. 18) (BR. 04B)

S-1     Energizer Tennis Inc., SUITE 3, 219 BOW  ROAD, DOCKLANDS, LONDON, X0, 
        E3 2SJ, 0203 086 8131 - 5,000,000 ($200,000.00) Equity, 
        (File 333-182199 - Jun. 18) (BR. )

N-2     Stone Harbor Emerging Markets Total Income Fund, 
        C/O STONE HARBOR INVESTMENT PARTNERS LP, 
        31 WEST 52ND STREET, 16TH FLOOR, NEW YORK, NY, 10019, 212-548-1200 - 
        0 ($1,000,000.00) Other, (File 333-182200 - Jun. 18) (BR. )

S-1     ROOMLINX INC, 2150 W. 6TH AVE, UNIT N, BROOMFIELD, CO, 80020, 
        (303)544-1111 - 0 ($5,220,000.00) Equity, (File 333-182201 - Jun. 18) 
        (BR. 11A)

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

                                        STATE
NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

-----------------------------------------------------------------------------------------
30DC, INC.                              MD       7.01,9.01            06/18/12

A & B II, Inc.                          HI       5.03,7.01,9.01       06/14/12

AAA CAPITAL ENERGY FUND L.P.                     5.02                 06/13/12

AAA CAPITAL ENERGY FUND L.P. II         NY       5.02                 06/13/12

ABERCROMBIE & FITCH CO /DE/             DE       5.02,5.07,8.01,9.01  06/14/12

Abingdon Futures Fund LP                NY       5.02                 06/13/12

ADVISORY BOARD CO                       DE       8.01                 06/18/12

AGILYSYS INC                            OH       5.02,9.01            06/12/12

Air Transport Services Group, Inc.      DE       1.01,3.03            06/14/12

AK STEEL HOLDING CORP                   DE       7.01,9.01            06/18/12

ALEXANDER & BALDWIN INC                 HI       7.01,9.01            06/15/12

ALEXANDER & BALDWIN INC                 HI       7.01,9.01            06/18/12

ALLSCRIPTS HEALTHCARE SOLUTIONS, INC.   DE       5.07                 06/15/12

AMERICAN BIO MEDICA CORP                NY       5.07                 06/13/12

AMERICAN INDEPENDENCE CORP              DE       5.07                 06/18/12

AMERICAN LEARNING Corp                  NY       2.02,4.02,9.01       06/15/12

American Realty Capital Properties, I   MD       8.01,9.01            06/18/12

American Realty Capital Trust, Inc.     DE       8.01,9.01            06/18/12

AMERICAN RIVER BANKSHARES               CA       8.01,9.01            06/15/12

AMYLIN PHARMACEUTICALS INC              DE       8.01                 06/18/12

Apollo Global Management LLC            DE       9.01                 04/02/12    AMEND

ARCH COAL INC                           DE       5.02,7.01,9.01       06/12/12

BB&T CORP                               NC       8.01,9.01            06/18/12

BHM Discretionary Futures Fund L.P.     DE       5.02                 06/13/12

BINGO.COM LTD.                          Y6       1.01,9.01            03/19/10    AMEND

BIOLIFE SOLUTIONS INC                   DE       1.01                 06/15/12

Bizzingo, Inc.                          NV       5.03,9.01            09/08/11    AMEND

BKF CAPITAL GROUP INC                   DE       8.01,9.01            06/15/12

BLUEGREEN CORP                          MA       8.01,9.01            06/18/12

Bonanza Creek Energy, Inc.              DE       5.07                 06/12/12

BREF HR, LLC                            DE       4.02                 06/13/12

BRINKS CO                               VA       5.02,9.01            06/15/12

BRISTOL ENERGY FUND LP                  NY       5.02                 06/13/12

BUCKEYE TECHNOLOGIES INC                DE       7.01,9.01            06/18/12

BUCKEYE TECHNOLOGIES INC                DE       7.01,9.01            06/18/12

CANTEL MEDICAL CORP                     DE       7.01,9.01            06/18/12

Capstone Therapeutics Corp.             DE       5.07                 06/15/12

CardioNet, Inc.                         CA       8.01                 06/12/12

Castmor Resources Ltd                   NV       1.01,2.01,2.02,3.02, 06/11/12
                                                 5.01,5.06,9.01

CATERPILLAR INC                         DE       5.03,5.07,9.01       06/18/12

CENTRAL EUROPEAN MEDIA ENTERPRISES LT            3.02                 06/15/12

CENTRAL VERMONT PUBLIC SERVICE CORP     VT       3.01,8.01,9.01       06/15/12

CHASE BANK USA, NATIONAL ASSOCIATION    DE       8.01,9.01            06/18/12

CHC Helicopter S.A.                     N4       1.01                 06/12/12

China Green Agriculture, Inc.           NV       5.02                 06/14/12

CHURCH & DWIGHT CO INC /DE/             DE       5.02                 05/03/12    AMEND

Clovis Oncology, Inc.                   DE       5.07                 06/14/12

COCA-COLA ENTERPRISES, INC.             DE       8.01                 06/18/12

COLOMBIA ENERGY RESOURCES, INC.         DE       5.02                 06/12/12

CONCHO RESOURCES INC                    DE       5.02                 06/15/12

Copano Energy, L.L.C.                            7.01,9.01            06/18/12

CORCEPT THERAPEUTICS INC                DE       5.02,5.03,5.07,9.01  06/13/12

COSTCO WHOLESALE CORP /NEW              WA       1.01,1.02,7.01,9.01  06/14/12

CROGHAN BANCSHARES INC                  OH       8.01                 06/12/12

CVB FINANCIAL CORP                      CA       8.01                 06/17/12

Delphi Automotive PLC                   Y9       5.07                 06/14/12

DICE HOLDINGS, INC.                     DE       1.01,1.02,2.03       06/14/12

Digerati Technologies, Inc.             NV       2.02,9.01            06/15/12

DIVERSIFIED 2000 FUTURES FUND L.P.               5.02                 06/13/12

DIVERSIFIED MULTI-ADVISOR FUTURES FUN   NY       5.02                 06/13/12

DIVERSIFIED MULTI-ADVISOR FUTURES FUN   NY       5.02                 06/13/12

Domtar CORP                             DE       1.01,2.03            06/15/12

DSW Inc.                                OH       7.01                 06/18/12

DynaVox Inc.                                     5.02,9.01            06/11/12    AMEND

ECOLOGY COATINGS, INC.                  NV       1.01                 06/18/12

Edgen Group Inc.                        DE       7.01,9.01            06/18/12

EMERGING CTA PORTFOLIO LP               NY       5.02                 06/13/12

Encompass Energy Services, Inc.         DE       5.07                 06/14/12

ENDEAVOUR INTERNATIONAL CORP            NV       1.01,9.01            06/13/12

Energy Transfer Equity, L.P.            DE       7.01,8.01,9.01       06/18/12

Energy Transfer Partners, L.P.          DE       7.01,8.01,9.01       06/18/12

ENTERGY CORP /DE/                       DE       7.01,9.01            06/18/12

EPLUS INC                               DE       2.02,9.01            06/13/12

EXAR CORP                               DE       5.02                 06/12/12

EXELON CORP                             PA       1.01,2.03,9.01       06/18/12

Express Scripts Holding Co.             DE       5.02                 06/13/12

FAIRFIELD FUTURES FUND LP II            NY       5.02                 06/13/12

FENTURA FINANCIAL INC                   MI       5.02                 06/12/12

Fifth Street Finance Corp               DE       8.01,9.01            06/18/12

FIRST BANCORP /NC/                      NC       8.01,9.01            06/18/12

Fixed Income Client Solutions LLC                8.01,9.01            06/18/12

FLOTEK INDUSTRIES INC/CN/               DE       1.01,7.01,9.01       06/14/12

FLOWSERVE CORP                          NY       1.01,2.03,9.01       06/14/12

FLUOROPHARMA MEDICAL, INC.              NV       7.01,8.01,9.01       06/18/12

Flux Power Holdings, Inc.               NV       1.01,2.01,4.01,5.01, 06/14/12
                                                 5.02,5.03,5.06,8.01,
                                                 9.01
   
Fresh Market, Inc.                      DE       8.01,9.01            06/18/12

FRONTIER COMMUNICATIONS CORP            DE       8.01,9.01            06/18/12

FS Investment Corp II                   MD       8.01,9.01            06/18/12

FX ENERGY INC                           NV       5.07                 06/14/12

FXCM Inc.                                        5.07                 06/13/12

Galena Biopharma, Inc.                           5.07                 06/15/12

GASTAR EXPLORATION LTD                           5.02,9.01            06/07/12

GE Capital Credit Card Master Note Tr   DE       1.01,8.01,9.01       06/14/12

GENESCO INC                             TN       7.01                 06/18/12

GENTA INC DE/                           DE       8.01,9.01            06/18/12

Gevo, Inc.                              DE       8.01                 06/12/12

GLOBAL DIVERSIFIED FUTURES FUND L.P.             5.02                 06/13/12

Global Stevia Corp.                     NV       5.03,7.01,9.01       06/14/12

GLOBALSCAPE INC                         DE       7.01                 06/18/12

GOLDEN OASIS NEW ENERGY GROUP, INC.     NV       3.02                 06/15/12

GRACO INC                               MN       9.01                 04/02/12    AMEND

GRANDPARENTS.COM, INC.                  DE       1.01,2.01,2.03,3.03, 02/22/12    AMEND
                                                 4.01,5.02,5.03,5.06,
                                                 9.01
   
Greektown Superholdings, Inc.           DE       8.01                 06/18/12

GROUP 1 AUTOMOTIVE INC                  DE       7.01,9.01            06/15/12

GRYPHON GOLD CORP                       NV       7.01,9.01            06/18/12

GUIDED THERAPEUTICS INC                 DE       5.07                 06/18/12

H&R BLOCK INC                           MO       5.02,9.01            06/12/12

HASCO Medical, Inc.                     FL       5.02                 06/12/12

HEARTLAND PAYMENT SYSTEMS INC           DE       5.02,9.01            06/18/12

Heavy Earth Resources, Inc.             FL       1.01,3.02,9.01       06/12/12

HOSPITALITY PROPERTIES TRUST            MD       1.01,9.01            06/12/12

HUMANA INC                              DE       7.01                 06/18/12

Hyatt Hotels Corp                       DE       5.02,5.07            06/13/12

ICF International, Inc.                 DE       7.01,9.01            06/18/12

IDENTIVE GROUP, INC.                    DE       4.01                 06/15/12

IDENTIVE GROUP, INC.                    DE       5.02                 06/15/12    AMEND

IHS Inc.                                DE       2.02,9.01            06/18/12

IMMUCELL CORP /DE/                      DE       5.07                 06/14/12

inContact, Inc.                         DE       5.07                 06/14/12

INDEPENDENCE HOLDING CO                 DE       5.07                 06/18/12

INFINITY PHARMACEUTICALS, INC.          DE       8.01,9.01            06/18/12

INFORMATION ANALYSIS INC                VA       5.07                 06/12/12

INLAND REAL ESTATE CORP                 MD       8.01,9.01            06/18/12

INOVIO PHARMACEUTICALS, INC.                     5.02                 06/15/12

Inrad Optics, Inc.                      NJ       5.07                 06/13/12

iPayment Holdings, Inc                  DE       1.01,9.01            06/15/12

J C PENNEY CO INC                       DE       5.02,9.01            06/16/12

JAKKS PACIFIC INC                       DE       8.01,9.01            06/15/12

KKR & Co. L.P.                          DE       7.01,9.01            06/18/12

Kodiak Oil & Gas Corp                   B0       5.07                 06/13/12

Kohlberg Capital CORP                   DE       8.01,9.01            06/18/12

Kohlberg Capital CORP                   DE       5.07                 06/15/12

KRAFT FOODS INC                         VA       7.01,9.01            06/18/12

KRONOS WORLDWIDE INC                             1.01,1.02,2.03,2.04, 06/13/12
                                                 7.01,9.01
     
Liberto, Inc.                           NV       5.02                 06/15/12

Liberty Global, Inc.                    DE       7.01                 06/15/12

LIQUIDMETAL TECHNOLOGIES INC            DE       1.01                 06/15/12

LML PAYMENT SYSTEMS INC                 A1       2.02,7.01,9.01       06/18/12

LOCAL.COM                               DE       8.01                 06/18/12

LV Futures Fund L.P.                    DE       5.02                 06/13/12

MANAGED FUTURES CHARTER GRAHAM L.P.     DE       5.02                 06/13/12

MARRIOTT INTERNATIONAL INC /MD/         DE       2.02,7.01,9.01       06/18/12

MASTEC INC                              FL       2.01,9.01            06/15/12

MCDONALDS CORP                          DE       5.02                 06/14/12

MCGRATH RENTCORP                        CA       1.01,2.03,9.01       06/15/12

MEDIA SCIENCES INTERNATIONAL INC                 5.02,5.03,5.07,9.01  06/14/12

MEDICINOVA INC                          DE       5.07                 06/14/12

MEMC ELECTRONIC MATERIALS INC           DE       5.02                 05/15/12    AMEND

Meritage Futures Fund L.P.              DE       5.02                 06/13/12

MERRIMACK PHARMACEUTICALS INC           DE       1.01,5.02            06/12/12

MICROSOFT CORP                          WA       5.03,9.01            06/14/12

MICROVISION INC                         DE       1.01,7.01,9.01       06/15/12

MOLSON COORS BREWING CO                 DE       1.01,2.01,2.03,9.01  06/15/12

MONOLITHIC POWER SYSTEMS INC            CA       5.07,8.01,9.01       06/13/12

MORGAN STANLEY SMITH BARNEY CHARTER A   DE       5.02                 06/13/12

MORGAN STANLEY SMITH BARNEY CHARTER C   DE       5.02                 06/13/12

MORGAN STANLEY SMITH BARNEY CHARTER W   DE       5.02                 06/13/12

MORGAN STANLEY SMITH BARNEY SPECTRUM    DE       5.02                 06/13/12

MORGAN STANLEY SMITH BARNEY SPECTRUM    DE       5.02                 06/13/12

MORGAN STANLEY SMITH BARNEY SPECTRUM    DE       5.02                 06/13/12

MORGAN STANLEY SMITH BARNEY SPECTRUM    NY       5.02                 06/13/12

MORGAN STANLEY SMITH BARNEY SPECTRUM    DE       5.02                 06/13/12

MORRIS PUBLISHING GROUP LLC             GA       2.01                 06/15/12

MOVADO GROUP INC                        NY       5.07                 06/15/12

MRC GLOBAL INC.                         DE       7.01                 06/18/12

MYOS Corp                               NV       5.02                 06/14/12

NeoStem, Inc.                           DE       1.01,2.05,2.06,5.02, 06/18/12
                                                 8.01,9.01
     
NEWS CORP                                        8.01,9.01            06/18/12

NEXTERA ENERGY INC                      FL       7.01                 06/18/12

NOBLE ROMANS INC                        IN       5.02                 06/15/12

NovaBay Pharmaceuticals, Inc.           CA       5.02,5.07            06/12/12

OMEROS CORP                             WA       5.02                 06/14/12

ONLINE RESOURCES CORP                   DE       5.07                 06/13/12

ORACLE CORP                                      2.02,8.01,9.01       06/18/12

ORION FUTURES FUND LP                   NY       5.02                 06/13/12

OVERSEAS SHIPHOLDING GROUP INC          DE       5.07                 06/14/12

Owens Corning                           DE       5.02                 06/14/12

P F CHANGS CHINA BISTRO INC                      8.01,9.01            06/18/12

P F CHANGS CHINA BISTRO INC                      8.01                 06/18/12

PATTERSON UTI ENERGY INC                DE       1.01,2.03,9.01       06/14/12

PHARMACYCLICS INC                       DE       8.01,9.01            06/16/12

Pioneer Exploration Inc.                NV       1.01,2.01,4.01,4.02, 06/15/12    AMEND
                                                 5.01,5.06,7.01,9.01
        
Plures Technologies, Inc./DE            DE       3.02,9.01            06/13/12

Polaris Futures Fund L.P.               DE       5.02                 06/13/12

POTOMAC FUTURES FUND LP                 NY       5.02                 06/13/12

POWER SOLUTIONS INTERNATIONAL, INC.     DE       4.01,9.01            06/12/12

PPL Corp                                         7.01                 06/18/12

PRESSTEK INC /DE/                       DE       5.07                 06/12/12

ProGreen Properties, Inc.               DE       7.01,9.01            06/18/12

PROSPECT GLOBAL RESOURCES INC.          NV       3.02,5.02,9.01       06/13/12

Protalix BioTherapeutics, Inc.          FL       5.07                 06/17/12

PROTEONOMIX, INC.                       DE       4.01,9.01            06/18/12    AMEND

PUGET ENERGY INC /WA                    WA       1.01,2.03,8.01,9.01  06/12/12

PUMA BIOTECHNOLOGY, INC.                DE       5.07                 06/13/12

Quadrant 4 Systems Corp                 FL       4.01,9.01            06/15/12

RALCORP HOLDINGS INC /MO                MO       8.01,9.01            06/18/12

RAMTRON INTERNATIONAL CORP              DE       5.03,8.01,9.01       06/16/12

RDA Holding Co.                                  7.01                 06/14/12

Recon Technology, Ltd                   E9       5.07,9.01            06/15/12

RED MOUNTAIN RESOURCES, INC.            FL       3.02                 06/13/12

Redpoint Bio CORP                                1.01,5.02,9.01       06/12/12

REEVES TELECOM LTD PARTNERSHIP          SC       5.02,9.01            06/14/12

REPROS THERAPEUTICS INC.                DE       8.01,9.01            06/18/12

RESEARCH FRONTIERS INC                  DE       5.07                 06/14/12

SA Recovery Corp.                                4.01,9.01            06/18/12

Sara Lee Corp                           MD       1.01,9.01            06/15/12

SCHWAB CHARLES CORP                     DE       8.01,9.01            06/18/12

SCIENTIFIC LEARNING CORP                DE       1.01,9.01            06/12/12

SEQUENTIAL BRANDS GROUP, INC.           DE       5.07                 06/12/12

SKY POWER SOLUTIONS CORP.               NV       3.02                 06/06/12

SLM CORP                                DE       8.01,9.01            06/18/12

SMART BALANCE, INC.                     DE       7.01,9.01            06/18/12

SmartPros Ltd.                          DE       5.07                 06/14/12

SMITHFIELD FOODS INC                    VA       5.02,9.01            06/12/12

SMTP, Inc.                              DE       5.02,9.01            06/13/12

Solido Ventures Inc.                             5.03,9.01            06/14/12

SOUTHWEST BANCORP INC                   OK       5.02,9.01            06/18/12

SPARK NETWORKS INC                      DE       5.07                 06/15/12

SPHERIX INC                             DE       7.01,9.01            06/18/12

STEVIA NUTRA CORP.                      NV       5.02                 06/18/12

Summer Infant, Inc.                     DE       5.02,5.07,9.01       06/13/12

SunCoke Energy, Inc.                             7.01,9.01            06/18/12

SWISS HELVETIA FUND, INC.                        7.01,9.01            06/15/12

Synthetic Biologics, Inc.               NV       8.01                 06/12/12

TACTICAL DIVERSIFIED FUTURES FUND L.P   NY       5.02                 06/13/12

TagLikeMe Corp.                         NV       3.02,8.01,9.01       06/15/12

TANDY LEATHER FACTORY INC               DE       5.02,9.01            06/15/12

TCF FINANCIAL CORP                      DE       8.01,9.01            06/18/12

TCF FINANCIAL CORP                      DE       8.01,9.01            06/18/12

TIDEWATER FUTURES FUND LP               NY       5.02                 06/13/12

Tiger Oil & Energy, Inc.                         5.02                 06/06/12

UNITED TECHNOLOGIES CORP /DE/           DE       8.01,9.01            06/18/12

URANERZ ENERGY CORP.                    NV       5.07                 06/13/12

VALUEVISION MEDIA INC                   MN       5.07                 06/13/12

Vanda Pharmaceuticals Inc.              DE       5.02,5.07,9.01       06/14/12

VILLAGE SUPER MARKET INC                NJ       9.01                 06/18/12

VIRGIN MEDIA INC.                       DE       5.02,5.07            06/12/12

VirtualScopics, Inc.                    DE       3.03,5.03,5.07,9.01  06/12/12

VISTEON CORP                            DE       5.07                 06/14/12

VIVUS INC                               CA       5.07                 06/15/12

WARRINGTON FUND LP                      NY       5.02                 06/13/12

WEBSTER FINANCIAL CORP                  DE       8.01,9.01            06/18/12

Wellesley Bancorp, Inc.                          8.01,9.01            06/18/12

WESCO INTERNATIONAL INC                          7.01,8.01,9.01       06/18/12

Westinghouse Solar, Inc.                DE       7.01,9.01            06/15/12

WESTMORELAND COAL Co                    DE       1.04                 06/12/12

WESTPORT JWH FUTURES FUND LP            NY       5.02                 06/13/12

Williams Partners L.P.                           3.02                 06/14/12

X-CHANGE CORP                           NV       1.01,9.01            06/18/12    AMEND

XENOPORT INC                            DE       5.02,9.01            06/15/12

ZION OIL & GAS INC                      DE       5.07                 06/12/12

 

http://www.sec.gov/news/digest/2012/dig061912.htm


Modified: 06/19/2012