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Enforcement proceedingsSEC Charges Philip A. Falcone and Harbinger Charged with Securities FraudThe Securities and Exchange Commission today filed fraud charges against New York-based hedge fund adviser Philip A. Falcone and his advisory firm, Harbinger Capital Partners LLC, for illicit conduct that included misappropriation of client assets, market manipulation, and betraying clients. The SEC also charged Peter A. Jenson, Harbinger’s former Chief Operating Officer, for aiding and abetting the misappropriation scheme. Additionally, the SEC reached a settlement with Harbinger for unlawful trading. In a separate settled action, the SEC charged Harbert Management Corporation, whose affiliates served as the managing members of two Harbinger-related entities, as a controlling person in the market manipulation. The SEC alleges that Falcone used fund assets to pay his taxes, conducted an illegal “short squeeze” to manipulate bond prices, secretly favored certain customers at the expense of others, and that Harbinger unlawfully bought equity securities in a public offering, after having sold short the same security during a restricted period. The SEC filed actions in U.S. District Court for the Southern District of New York against Falcone, Jenson, and Harbinger, and, in connection with the illegal trading scheme, separately instituted and settled administrative and cease-and-desist proceedings against Harbinger. In particular, the SEC alleges that: Falcone fraudulently obtained $113.2 million from a hedge fund that he advised and misappropriated the proceeds to pay his personal taxes; Falcone and two Harbinger investment managers through which Falcone operated manipulated the price and availability of a series of distressed high-yield bonds by engaging in an illegal “short squeeze;” Falcone and Harbinger secretly offered and granted favorable redemption and liquidity rights to certain strategically-important investors in exchange for those investors’ consent to restrict redemption rights of other fund investors, and concealed the arrangement from the fund’s directors and investors; and Harbinger engaged in illegal trades in connection with the purchase of common stock in three public offerings after having sold the same securities short during a restricted period. Misappropriation SchemeIn the misappropriation scheme, the SEC alleges that Falcone unlawfully used fund assets to pay his personal taxes. In 2009 Falcone owed federal and state authorities $113.2 million in taxes. Declining to pursue other financing options, such as pledging his personal assets as collateral for a bank loan, Falcone elected instead to take a $113.2 million loan from the Harbinger Capital Partners Special Situations Fund, L.P. – the same fund from which Harbinger had earlier suspended investors from redeeming. Falcone authorized the transfer of fund assets to himself in a transaction that Jenson helped structure. Falcone and Harbinger never sought or obtained the consent of its investors prior to using the fund's assets to benefit Falcone. As part of the misappropriation scheme, the SEC alleges that Falcone and Harbinger, aided by Jenson, made several material misrepresentations and omissions in seeking legal advice regarding the loan and in subsequent communications with investors, including, among other things:
The SEC also alleges that Falcone and Harbinger delayed disclosing the loan for approximately five months because of their concern that disclosure of Falcone’s financial condition might have a negative impact on investor withdrawals and on Falcone’s ability to attract more investments for other Harbinger funds. Falcone repaid the loan in 2011, after the Commission commenced its investigation. Market Manipulation / Illegal Short SqueezeIn a separate civil action, the SEC alleges that from 2006 through early 2008 Falcone and two Harbinger investment management entities manipulated the market in a series of distressed high-yield bonds issued by MAAX Holdings Inc. In this fraudulent scheme, Falcone and the Harbinger entities allegedly orchestrated an illegal “short squeeze” – a market manipulation scheme in which an investor constricts the supply of a security, through large purchases or other means, with the intent of forcing settlement from short sellers at arbitrary and inflated prices. The SEC’s complaint alleges that at Falcone’s direction, Harbinger purchased a large position in the MAAX bonds during April and June of 2006. After hearing rumors that a Wall Street financial services firm was shorting the MAAX bonds and also encouraging its customers to do the same, Falcone decided to seek revenge. In September 2006, Falcone directed the Harbinger-managed funds to buy every available bond in the market, often purchasing the bonds from short sellers. Ultimately, Falcone raised the funds’ stake to approximately 13 percent more than the available supply of the MAAX bonds. At one point, Harbinger had purchased 22 million more bonds than MAAX had ever issued. Contemporaneously with these purchases, Falcone locked up the MAAX bonds the Harbinger funds had purchased in a custodial account at a bank in Georgia to prevent his brokers from lending out the bonds to sellers seeking to deliver the bonds to purchasers after short sales. Having seized control of the supply of the MAAX bonds, Falcone then demanded that the Wall Street firm and its customers settle their outstanding MAAX short sales, not disclosing that it would be virtually impossible to find bonds available for delivery. The Wall Street firm bid daily for the bonds, which quickly doubled in price. Then, Falcone engaged in a series of transactions with certain short sellers at arbitrary, inflated prices, while at the same time valuing the funds’ holdings on his books at a small fraction of the prices he charged the covering short sellers. Preferential Redemption SchemeIn its action alleging misappropriation, the SEC also alleges that, in a further breach of Falcone and Harbinger’s fiduciary duties to their clients, Falcone and Harbinger engaged in unlawful preferential redemptions for the benefit of certain favored investors. In 2009, while soliciting required investor approval to restrict withdrawals from another Harbinger fund, Falcone and Harbinger secretly exempted certain large investors that Falcone deemed to be strategically important from soon-to-be imposed liquidity restrictions – provided those investors voted to approve restrictions that would temporarily stabilize the decline in Harbinger’s assets under management. Ultimately, pursuant to these ‘vote buying’ agreements, Falcone and Harbinger allegedly permitted these investors who were connected to certain favored institutional investors to withdraw a total of approximately $169 million. Harbinger concealed these quid pro quo arrangements from the independent directors and from fund investors. Other Illegal Trading by HarbingerIn a separate administrative and cease-and-desist proceeding, the SEC found that between April and June 2009, Harbinger violated Rule 105 of Regulation M of the Securities Exchange Act of 1934 (Exchange Act). Rule 105 is an anti-manipulation rule that prohibits short selling securities during a restricted period and then purchasing the same securities in a public offering. The Commission’s Order censures Harbinger and requires the firm to cease and desist from committing or causing any violations of Rule 105 now or in the future. Harbinger will pay disgorgement in the amount of $857,950, prejudgment interest in the amount of $91,838, and a civil monetary penalty in the amount of $428,975. Harbinger consented to the issuance of the Order without admitting or denying any of the Commission’s findings. Settlement with Harbert Management CompanyIn a separate complaint also filed in U.S. District Court for the Southern District of New York, the SEC filed a settled civil action against Harbert and two related investment entities – HMC-New York Inc. and HMC Investors, LLC – for their role in the illegal short squeeze described above. The SEC alleges in its complaint against Harbert that during the entire period of the short squeeze, Defendants Harbert, HMC-NY and HMC Investors, directly or indirectly, possessed the power to control Falcone and the investment managers through which he operated. Defendants HMC-NY and HMC Investors, two entities controlled by Harbert, served as the managing members of two limited liability companies that acted as the general partners of the funds advised by Falcone. Harbert and its affiliates also provided hedge fund administration, legal, compliance, risk assessment and other services to the funds. In these capacities, Harbert, HMC-NY and HMC Investors knew of Falcone’s trades in the MAAX bonds, but failed to take appropriate steps to address Falcone’s manipulative conduct. The SEC charged the Harbert defendants as controlling persons pursuant to Section 20(a) of the Exchange Act, alleging that they are jointly and severally liable for Falcone’s and the Harbinger investment managers’ violations of the antifraud provisions of the Exchange Act. Without admitting or denying the allegations of the complaint, Defendants Harbert, HMC-NY and HMC Investors have agreed to pay a civil penalty in the amount of $1 million. The Harbert defendants also have consented to the entry of a judgment enjoining them from violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The proposed settlement with Harbert is subject to approval by the court. The SEC’s complaint relating to the misappropriation and preferential redemption action, which was filed in the United States District Court for the Southern District of NY (USDC for the SDNY), charges Falcone and Harbinger with violations of Section 17(a)(1), 17(a)(2), and 17(a)(3) of the Securities Act of 1933 (Securities Act); Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5(a), 10b-5(b), and 10b-5(c) thereunder; and Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 (Advisers Act) and Rule 206(4)-8 thereunder. Falcone is further charged with a violation of Section 20(a) of the Exchange Act as a control person of Harbinger, and the complaint alleges he is therefore jointly and severally liable for Harbinger’s violations of Section 10(b) of the Exchange Act and Rules 10b-5(a), 10b-5(b), and 10b-5(c) thereunder. As to Jenson, the SEC’c complaint alleges that he aided and abetted Falcone’s and Harbinger’s violations of Section 10(b) of the Exchange Act and Rules 10b-5(a) and 10b-5(c) thereunder and Falcone’s and Harbinger’s violations of Sections 206(1), 206(2) and 206(4) of Advisers Act and Rule 206(4)-8 thereunder. In its complaint, the SEC seeks permanent injunctive relief against each defendant to enjoin them from future violations of the federal securities laws, disgorgement of ill-gotten gains, financial penalties and an order barring Falcone from serving as an officer or director of a public company. The SEC’s complaint relating to the short squeeze, also filed in the USDC for the SDNY, separately charges Falcone and the Harbinger entities with violations of Section 17(a)(1), 17(a)(2), and 17(a)(3) of the Securities Act and Section 10(b) of the Exchange Act and Rules 10b-5(a), 10b-5(b), and 10b-5(c) thereunder. In that action, the SEC also seeks permanent injunctive relief against each defendant to enjoin them from future violations of the federal securities laws, disgorgement of ill-gotten gains, and financial penalties. The SEC’s complaint against the Harbert defendants charges them with a violation of Section 20(a) of the Exchange Act as control persons of Falcone and the Harbinger entities, and the complaint alleges they are jointly and severally liable for Falcone’s and the Harbinger entities’ violations of Section 10(b) of the Exchange Act and Rules 10b-5(a), 10b-5(b), and 10b-5(c) thereunder. The Harbert defendants consented to the entry of a permanent injunction enjoining them from future violations of Section 10(b) of the Exchange Act and Rules 10b-5(a), 10b-5(b), and 10b-5(c) thereunder. They also agreed to pay a $1 million civil penalty. Finally, today the SEC issued an administrative order against Harbinger Capital Partners, finding that the firm willfully committed three violations of Rule 105 of Regulation M under the Exchange Act. The order censures Harbinger and requires the firm to cease and desist from committing or causing any violations and any future violations of Rule 105. Harbinger agreed to pay disgorgement in the amount of $857,950, prejudgment interest in the amount of $91,838, and a civil monetary penalty in the amount of $428,975. (Rel. 34-67279, File No. 3-14928); (LR-22403) In The Matter Of Drew K. BrownsteinThe United States Securities and Exchange Commission (Commission) announced the issuance of 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 Drew K. Brownstein. The Order finds that Brownstein, age 36, resides in Denver, Colorado. He founded Big 5 Asset Management, LLC (Big 5), a registered investment adviser and hedge fund management firm in October 2008 and was Big 5’s chief executive officer. On October 21, 2011, the Commission filed a civil action against Brownstein in SEC v. H. Clayton Peterson et al., Civil Action No. 11-CV-5448 (S.D.N.Y.). On June 1, 2012, the Court entered an order permanently enjoining Brownstein, by consent, from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission’s complaint alleged that in April 2010 Brownstein obtained material non-public information concerning Apache Corporation’s impending acquisition of Mariner Energy, Inc. (Mariner) from Drew Peterson, a personal friend. Brownstein used the material nonpublic information he received from Drew Peterson to trade Mariner securities for himself, his relatives, and for Big 5 hedge funds. On October 21, 2011, Brownstein pleaded guilty to one count of securities fraud in a parallel criminal proceeding before the United States District Court for the Southern District of New York, in United States v. Drew K. Brownstein (Criminal Information No. 1:11-CR-00904) (RPP). Based on the above, the Order bars Brownstein from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Brownstein consented to the Order. (Rel. IA-3425; File No. 3-14929) In The Matter Of H. Clayton PetersonThe 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 H. Clayton Peterson. The Order finds that Peterson, age 66, resides in Denver, Colorado, Phoenix, Arizona, and Cabo San Lucas, Mexico. Now retired, Peterson was a certified public accountant at Arthur Andersen for thirty years. He was licensed as a CPA by the State of Colorado until 2003. From 2006 through 2010, he was a member of the board of directors of Mariner Energy, Inc. (Mariner) and served as chairman of the board’s audit committee. On August 5, 2011, the Commission filed a civil action against Peterson in SEC v. H. Clayton Peterson et al., Civil Action No. 11-CV-5448 (S.D.N.Y.). On June 1, 2012, the Court entered an order permanently enjoining Peterson, by consent, from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission’s complaint alleged that in April 2010 Peterson engaged in insider trading by tipping his son, Drew Peterson, regarding the impending acquisition of Mariner by Apache Corporation and instructing his son to purchase Mariner Energy securities for Clayton Peterson’s daughter. On August 5, 2011, Clayton Peterson pleaded guilty to one count of securities fraud and one count of conspiracy to commit securities fraud in a parallel criminal proceeding before the United States District Court for the Southern District of New York, in United States v. H. Clayton Peterson (Criminal Information No. 1:11-CR-00665) (RPP). Based on the above, the Order suspends Clayton Peterson from appearing or practicing before the Commission pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice. (Rel. 34-67282; AAE Release 3391; File No. 3-14931) In The Matter Of Drew Clayton PetersonThe United States Securities and Exchange Commission (Commission) announced the issuance of 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 Drew Clayton Peterson. The Order finds that Peterson, age 35, resides in Denver, Colorado. He previously worked as a financial adviser at Private Capital Management, Inc., a registered investment adviser based in Denver, Colorado. While working at Private Capital Management, Peterson held a Series 65 license. On August 5, 2011, the Commission filed a civil action against Peterson in SEC v. H. Clayton Peterson et al., Civil Action No. 11-CV-5448 (S.D.N.Y.). On June 1, 2012, the Court entered an order permanently enjoining Peterson, by consent, from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission’s complaint alleged that in April 2010 Peterson obtained material non-public information concerning Apache Corporation’s impending acquisition of Mariner Energy, Inc. (Mariner) from his father, H. Clayton Peterson, a Mariner board member. Drew Peterson used the material nonpublic information he received from his father to trade Mariner shares for his own accounts, for his family members, his investment club and investment clients, and to tip certain friends. On August 5, 2011, Drew Peterson pleaded guilty to one count of securities fraud and one count of conspiracy to commit securities fraud in a parallel criminal proceeding before the United States District Court for the Southern District of New York, in United States v. Drew Clayton Peterson (Criminal Information No. 1:11-CR-00664) (RPP). Based on the above, the Order bars Drew Peterson from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Peterson consented to the Order. (IA-3426; File No. 3-14930) In The Manner of Alderox, Inc.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Four Respondents (Default Order) in Alderox, Inc., Admin. Proc. No. 3-14886. The Order Instituting Proceedings alleged that Alderox, Inc., Applied Solar, Inc., AskMeNow, Inc., and Blink Logic Inc. (collectively, Respondents) repeatedly failed to file timely periodic reports with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of registered securities of Respondents, pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act). The proceeding has ended as to Convergence Ethanol, Inc. See Alderox, Inc., Exchange Act Release No. 67117 (June 5, 2012). This proceeding is still ongoing as to Artes Medical, Inc. (Rel. 34-67287; File No. 3-14886) In The Manner of One Voice TechnologiesAn Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Six Respondents (Default Order) in One Voice Technologies, Inc., Admin. Proc. File No. 3-14871. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission (Commission). The Default Order finds these allegations to be true as to Respondents One Voice Technologies, Inc., Orchestra Therapeutics, Inc., Path 1 Network Technologies, Inc., Platina Energy Group, Inc., Pop N Go, Inc., and Powercold Corp. and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act). The Commission has accepted the Offer of Settlement submitted by Respondent Pavilion Energy Resources, Inc. (f/k/a Global Business Services, Inc.). One Voice Techs., Inc., Exchange Act Release No. 67174 (June 11, 2012). Respondent Pine Valley Mining Corp. has filed a Form 15 with the Commission and remains in the proceeding. (Rel. 34-67288; File No. 3-14871) SEC Obtains Final Judgments On Consent Against All Defendants in the Mariner Energy Insider Trading CaseThe SEC announced that on June 1, 2012, the Honorable Robert P. Patterson, United States District Judge, United States District Court for the Southern District of New York, entered Final Judgments on Consent as to former Mariner Energy, Inc. (“Mariner”) Director, H. Clayton Peterson (“Clayton Peterson”) and his direct and indirect tippees, Drew Clayton Peterson (“Drew Peterson”), Drew K. Brownstein (“Brownstein”) and Big 5 Asset Management, LLC (“Big 5”) in the SEC’s insider trading case, SEC v. H. Clayton Peterson et al., 11 Civ. 5448 (SDNY) (RPP). In addition, on June 27, 2012, the SEC issued orders on consent in related administrative proceedings that suspend Clayton Peterson from appearing or practicing before the SEC as an accountant, and bar Drew Peterson and Brownstein from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The entry of these Final Judgments and the issuance of the administrative orders resolve all claims asserted by the SEC in this insider trading case. In this enforcement action, the SEC alleged that in April 2010, Clayton Peterson, having learned through confidential board meetings that Mariner was about to be acquired by Apache Corporation, tipped his son, Drew Peterson about the acquisition and instructed him to purchase Mariner securities for Clayton Peterson’s daughter. Drew Peterson used the material nonpublic information he received from his father to trade Mariner securities for his own accounts, for his family members, his investment club and investment clients, and to tip certain friends, including Brownstein. Drew Peterson’s trading and the trading of his tippees, excluding Brownstein, resulted in profits of $205,416. Brownstein used the material nonpublic information he received from Drew Peterson to trade shares for his own account, for his family members and for hedge funds managed by Big 5, Brownstein’s registered investment advisory firm. Brownstein reaped approximately $4.6 million for Big 5 hedge funds, $305,050 for his family members and $130,671 for himself. The Final Judgments entered against Clayton Peterson and Drew Peterson: (1) permanently enjoin them from violations of Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Exchange Act Rule 10b-5; and (2) order them to pay, on a joint and several basis with each other, disgorgement of $205,416 plus prejudgment interest of $13,603, for a total of $219,019. The Final Judgment against Clayton Peterson also bars him from serving as an officer or director of a public company. In addition, on June 27, 2012, the SEC issued an order in a related administrative proceeding pursuant to Rule 102(e)(2) of the SEC’s Rules of Practice suspending Clayton Peterson from appearing or practicing before the SEC as an accountant. Also on June 27, 2012, the SEC issued an order on consent in a related administrative proceeding pursuant to Section 203(f) of the Investment Advisers Act of 1940 (“Advisers Act”) barring Drew Peterson from association with any investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The Final Judgment entered against Brownstein: (1) permanently enjoins him from violations of Section 10(b) of the Exchange Act, and Rule 10b-5 thereunder; (2) orders him to pay disgorgement of $435,722, representing illicit profits that he gained in his personal accounts and his relatives’ accounts, plus prejudgment interest in the amount of $23,427, for a total of $459,150; and (3) orders him to pay, on a joint and several basis with Big 5, disgorgement of $4,148,262, representing illicit profits gained by Big 5 hedge funds, plus prejudgment interest in the amount of $274,709, for a total of $4,422,971. In addition, on June 27, 2012, the SEC issued an order on consent in a related administrative proceeding pursuant to Section 203(f) the Advisers Act barring Brownstein from association with any investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The Final Judgment entered against Big 5: (1) permanently enjoins it from violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder; and (2) orders it to pay, on a joint and several basis with Brownstein, disgorgement of $4,148,262, representing illicit profits gained by Big 5 hedge funds, plus prejudgment interest in the amount of $274,709, for a total of $4,422,971. (LR-22404) INVESTMENT COMPANY ACT RELEASESHennion & Walsh, Inc. And Smart TrustAn order has been issued on an application filed by Hennion & Walsh, Inc. and Smart Trust for an exemption under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) from Sections 12(d)(1)(A), (B) and (C) of the Act, and under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act. The order permits certain series of a unit investment trust registered under the Act to acquire shares of registered management investment companies and unit investment trusts or series thereof both within and outside the same group of investment companies. (IC-30122 – June 26) Federated Investment Management Company And Federated ETF TrustAn order has been issued on an application filed by Federated Investment Management Company and Federated ETF Trust. The order permits: (a) series of certain actively managed open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (IC-30123 – June 26) SELF-REGULATORY ORGANIZATIONSDesignation of Longer Period for Commission Action on Proposed Rule ChangeThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-NYSEAmex-2012-29) filed by NYSE Amex LLC amending commentary .07 to NYSE Amex Options Rule 904 to eliminate position limits for options on the SPDR® S&P 500® exchange-traded fund which list and trade under the symbol SPY. Publication is expected in the Federal Register during the week of July 2. (Rel. 34-67278) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by EDGA Exchange, Inc. relating to new market access risk management service, EdgeRisk ControlsSM (SR-EDGA-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 July 2. (Rel. 34-67265) A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-85) to modify its Excess Order Fee has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 2. (Rel. 34-67271) A proposed rule change filed by NASDAQ OMX BX, Inc. to modify its Excess Order Fee (SR-BX-2012-042) 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 July 2. (Rel. 34-67272) A proposed rule change filed by BATS Y-Exchange, Inc. to modify exchange Rule 11.13, entitled “Order Execution” (SR-BYX-2012-011) 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 July 2. (Rel. 34-67274) A proposed rule change filed by BATS Exchange, Inc. to modify Rule 11.13 entitled “Order Execution,” Rule 21.9 entitled “Order Routing” and Rule 27.2 entitled “Order Protection” (SR-BATS-2012-024) 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 July 2. (Rel. 34-67275) ICE Clear Credit LLC filed a proposed rule change (File No. SR-ICC-2012-11) under Section 19(b)(1) of the Securities Exchange Act of 1934, which became effective upon filing, to update the contract reference obligation ISIN associated with one single name contract. Publication is expected in the Federal Register during the week of July 2. (Rel. 34-67276) A proposed rule change filed by The NASDAQ Stock Market LLC to terminate revenue sharing agreement and delete associated fee schedule (SR-NASDAQ-2012-074) 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 July 2. (Rel. 34-67285) Proposed Rule ChangesNYSE MKT LLC has filed a proposed rule change (SR-NYSEMKT-2012-11) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 amending the NYSE Amex Options Fee Schedule to provide for additional co-location services and establish related fees. Publication is expected in the Federal Register during the week of July 2. (Rel. 34-67260) New York Stock Exchange LLC, filed a proposed rule change (SR-NYSE-2012-18) under Section 19(b)(1) of the Securities Exchange Act of 1934 amending the New York Stock Exchange Price List to provide for additional co-location services and establish related fees. Publication is expected in the Federal Register during the week of July 2. (Rel. 34-67262) NYSE Arca, Inc., filed a proposed rule change (SR-NYSEArca-2012-62) under Section 19(b)(1) of the Securities Exchange Act of 1934 amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to provide for additional co-location services and establish related fees. Publication is expected in the Federal Register during the week of July 2. (Rel. 34-67263) NYSE Arca, Inc., filed a proposed rule change (SR-NYSEArca-2012-63) under Section 19(b)(1) of the Securities Exchange Act of 1934 amending the NYSE Arca Options Fee Schedule to provide for additional co-location services and establish related fees. Publication is expected in the Federal Register during the week of July 2. (Rel. 34-67264) NYSE Arca, Inc. filed with the Securities and Exchange Commission a proposed rule change (SR-NYSEArca-2012-64) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to list and trade option contracts overlying 10 shares of a security (mini-options contracts). Publication is expected in the Federal Register during the week of July 2. (Rel. 34-67283) Approval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change (SR-NYSEArca-2012-39) 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 listing and trading the Global Alpha & Beta ETF pursuant to NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of July 2. (Rel. 34-67277) The Commission approved a proposed rule change (SR-BX-2012-034) filed by NASDAQ OMX BX, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder with respect to the authority of the Exchange or NASDAQ Execution Services to cancel orders when a technical or systems issue occurs and to describe the operation of an error account. (Rel. 34-67280) The Commission approved a proposed rule change (SR-NASDAQ-2012-057) filed by The NASDAQ Stock Market LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder with respect to the authority of NASDAQ or NASDAQ Execution Services to cancel orders when a technical or systems issue occurs and to describe the operation of an error account. Publication is expected in the Federal Register during the week of July 2. (Rel. 34-67281) SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-4 Granite Hotel Properties, Inc., ONE GAYLORD DRIVE, NASHVILLE, TN, 37214, 615-316-6000 - 0 ($1,911,587,022.52) Equity, (File 333-182352 - Jun. 27) (BR. ) S-8 Eagle Bancorp Montana, Inc., 1400 PROSPECT AVE., HELENA, MT, 59601, 406-442-3080 - 344,998 ($3,453,430.00) Equity, (File 333-182360 - Jun. 27) (BR. 07B) S-8 Bazaarvoice Inc, 3900 N. CAPITAL OF TEXAS HIGHWAY, SUITE 300, AUSTIN, TX, 78746, 512-551-6000 - 0 ($4,493,108.71) Equity, (File 333-182362 - Jun. 27) (BR. 03) S-8 LAMAR ADVERTISING CO/NEW, C/O LAMAR ADVERTISING COMPANY, 5321 CORPORATE BOULEVARD, BATON ROUGE, LA, 70808, 2259261000 - 327,928 ($9,172,146.16) Equity, (File 333-182365 - Jun. 27) (BR. 11C) S-8 STATE INVESTORS BANCORP, INC., 1041 VETERANS BOULEVARD, METAIRIE, LA, 70005, (504) 832-9400 - 290,950 ($3,489,481.60) Equity, (File 333-182367 - Jun. 27) (BR. 07C) S-3 BMW FS SECURITIES LLC, 300 CHESTNUT RIDGE RD, WOODCLIFF LAKE, NJ, 07677, 2013074000 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-182371 - Jun. 27) (BR. OSF) S-8 Oneida Financial Corp., 182 MAIN STREET, ONEIDA, NY, 13421, (315) 363-2000 - 1,102,500 ($5,518,013.01) Other, (File 333-182372 - Jun. 27) (BR. 07B) S-3D BRIDGE BANCORP INC, 2200 MONTAUK HGWAY, BRIDGEHAMPTON, NY, 11932, 6315371000 - 0 ($17,400,000.00) Equity, (File 333-182373 - Jun. 27) (BR. 07B) S-8 HOME DEPOT INC, 2455 PACES FERRY ROAD, ATLANTA, GA, 30339-4024, 770-433-8211 - 0 ($1,165,943,322.00) Equity, (File 333-182374 - Jun. 27) (BR. 06C) S-1 ACCENTIA BIOPHARMACEUTICALS INC, 324 SOUTH HYDE PARK AVE, SUITE 350, TAMPA, FL, 33606, 813.864.2554 - 1,607,148 ($369,645.00) Equity, (File 333-182376 - Jun. 27) (BR. 01B) S-8 COSTAR GROUP INC, 1331 L STREET NW, WASHINGTON, DC, 20005, 2023466500 - 1,476,000 ($113,297,760.00) Equity, (File 333-182377 - Jun. 27) (BR. 03C) S-8 NRG ENERGY, INC., 211 CARNEGIE CENTER, -, PRINCETON, NJ, 08540, 609-524-4500 - 0 ($15,460,000.00) Equity, (File 333-182379 - Jun. 27) (BR. 02A) S-3ASR General Growth Properties, Inc., 110 N. WACKER DRIVE, CHICAGO, IL, 60606, 312-960-5000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-182380 - Jun. 27) (BR. 08B) S-3ASR Koppers Holdings Inc., 436 SEVENTH AVENUE, PITTSBURGH, PA, 15219, 412-227-2001 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-182381 - Jun. 27) (BR. 06B) S-1 Bazaarvoice Inc, 3900 N. CAPITAL OF TEXAS HIGHWAY, SUITE 300, AUSTIN, TX, 78746, 512-551-6000 - 0 ($193,642,750.00) Equity, (File 333-182382 - Jun. 27) (BR. 03) S-3ASR REGAL ENTERTAINMENT GROUP, 7132 REGAL LANE, KNOXVILLE, TN, 37918, 865-922-1123 - 0 ($0.00) Other, (File 333-182383 - Jun. 27) (BR. 05C) S-1 SPLUNK INC, 250 BRANNAN STREET, SAN FRANCISCO, CA, 94107, 415-848-4800 - 0 ($300,000,000.00) Equity, (File 333-182384 - Jun. 27) (BR. 03B) S-8 CAESARS ENTERTAINMENT Corp, ONE CAESARS PALACE DRIVE, LAS VEGAS, NV, 89109, 7024076000 - 0 ($350,245,763.00) Equity, (File 333-182385 - Jun. 27) (BR. 08C) RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- 8X8 INC /DE/ DE 8.01,9.01 06/22/12 AASTROM BIOSCIENCES INC MI 1.01,3.02,3.03,9.01 06/27/12 AASTROM BIOSCIENCES INC MI 3.02,3.03,8.01,9.01 06/27/12 ACACIA RESEARCH CORP DE 8.01 06/22/12 ACCELR8 TECHNOLOGY CORP CO 1.01,3.02,5.01,5.02, 06/26/12 5.03,5.07 AES CORP DE 8.01,9.01 06/26/12 AETHLON MEDICAL INC NV 1.01,3.02,9.01 06/19/12 ALASKA GOLD CORP. NV 5.03,8.01,9.01 06/27/12 ALLOS THERAPEUTICS INC DE 8.01 06/21/12 ALNYLAM PHARMACEUTICALS, INC. 5.02,5.07 06/21/12 Alpha Natural Resources, Inc. DE 8.01 06/26/12 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 5.02,9.01 06/27/12 American Realty Capital Properties, I MD 7.01,9.01 06/27/12 American Realty Capital Trust, Inc. DE 7.01,9.01 06/27/12 AMERICAN RIVER BANKSHARES CA 1.01,9.01 06/25/12 American Strategic Minerals Corp NV 5.02 06/26/12 AmeriCredit Automobile Receivables Tr 8.01,9.01 06/27/12 AMERIGROUP CORP 7.01 06/27/12 AMSURG CORP TN 7.01,9.01 06/27/12 AMYRIS, INC. DE 1.01,2.03 06/22/12 APD ANTIQUITIES, INC. NV 1.01,9.01 06/15/12 APOGEE ENTERPRISES, INC. MN 5.02,5.07,9.01 06/21/12 APOLLO GROUP INC AZ 8.01 06/26/12 APPLETON PAPERS INC/WI 8.01,9.01 06/27/12 Aquasil International Inc. NV 5.03,8.01,9.01 06/11/12 ARCADIA RESOURCES, INC NV 5.02 06/27/12 ARGAN INC DE 5.07 06/26/12 AUTHENTIDATE HOLDING CORP DE 1.01,5.02,5.07,9.01 06/21/12 Axion Power International, Inc. DE 5.07 06/21/12 BankFinancial CORP 5.07,9.01 06/26/12 BBCN BANCORP INC DE 8.01,9.01 06/27/12 BEACON ROOFING SUPPLY INC DE 5.02,9.01 06/27/12 BGC Partners, Inc. DE 1.01,9.01 06/21/12 BillMyParents, Inc. CO 1.01,3.02,9.01 06/20/12 Biodel Inc DE 8.01,9.01 06/26/12 Biodel Inc DE 3.02,5.03,9.01 06/26/12 BIOLARGO, INC. DE 5.07 06/25/12 BioMed Realty Trust Inc MD 8.01,9.01 06/21/12 BIOSPECIFICS TECHNOLOGIES CORP DE 8.01,9.01 06/27/12 BRIDGE BANCORP INC NY 5.02,7.01,9.01 06/26/12 BROWN SHOE CO INC NY 7.01,9.01 06/27/12 BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 06/25/12 CACI INTERNATIONAL INC /DE/ DE 5.02 06/21/12 CALGON CARBON CORPORATION DE 5.02,9.01 06/21/12 CALIFORNIA WATER SERVICE GROUP DE 7.01,9.01 06/26/12 CAMBRIDGE HEART INC DE 5.03,5.07,8.01,9.01 06/25/12 CASELLA WASTE SYSTEMS INC DE 5.02 06/27/12 CASELLA WASTE SYSTEMS INC DE 2.02,9.01 06/27/12 CENTRAL VERMONT PUBLIC SERVICE CORP VT 3.01,3.03,5.01,5.02, 06/27/12 5.03,9.01 CFCRE Commercial Mortgage Trust 2011- DE 8.01 06/27/12 Chanticleer Holdings, Inc. DE 1.01,9.01 06/21/12 ChemoCentryx, Inc. DE 5.07 06/22/12 CHESAPEAKE ENERGY CORP OK 5.02,7.01,9.01 06/21/12 CHESAPEAKE UTILITIES CORP DE 1.01,2.03 06/22/12 CHINA AGRITECH INC DE 5.07 06/25/12 CHINA JO-JO DRUGSTORES, INC. 8.01,9.01 06/27/12 ChinaNet Online Holdings, Inc. NV 8.01,9.01 06/21/12 CHOICE HOTELS INTERNATIONAL INC /DE DE 1.01,8.01,9.01 06/22/12 CISCO SYSTEMS, INC. CA 8.01 06/21/12 CKE RESTAURANTS INC DE 2.02,9.01 06/26/12 COCA-COLA ENTERPRISES, INC. DE 8.01 06/27/12 Cole Credit Property Trust III, Inc. MD 5.07 06/26/12 COLE CREDIT PROPERTY TRUST IV, INC. MD 5.03,9.01 06/25/12 COMCAST CORP PA 8.01,9.01 06/26/12 COMMERCIAL METALS CO DE 2.02,5.02,9.01 06/27/12 CORINTHIAN COLLEGES INC 7.01 06/27/12 CORNERSTONE BANCSHARES INC TN 5.02,9.01 06/27/12 Cornerstone Core Properties REIT, Inc MD 5.07 06/21/12 CORNERSTONE THERAPEUTICS INC DE 2.01,2.03,3.02,3.03, 06/21/12 9.01 CORPORATE OFFICE PROPERTIES TRUST MD 1.01,3.03,5.03,9.01 06/25/12 CORTEX PHARMACEUTICALS INC/DE/ DE 1.01,3.02,9.01 06/25/12 CPI AEROSTRUCTURES INC NY 5.07 06/26/12 CRAY INC WA 8.01 06/27/12 Customers Bancorp, Inc. PA 8.01,9.01 06/27/12 DEX ONE Corp DE 5.02,9.01 06/22/12 DGSE COMPANIES INC NV 1.01,9.01 06/21/12 DIXIE GROUP INC TN 2.03,9.01 06/26/12 DOT HILL SYSTEMS CORP DE 1.01,9.01 06/22/12 DOW CHEMICAL CO /DE/ DE 9.01 02/14/12 AMEND DUNKIN' BRANDS GROUP, INC. DE 5.02 06/22/12 DYAX CORP DE 8.01 06/21/12 EAGLE BANCORP INC MD 5.03,9.01 06/27/12 EDUCATIONAL DEVELOPMENT CORP DE 3.01 05/21/12 ELEPHANT TALK COMMUNICATIONS CORP DE 7.01,9.01 06/27/12 Emrise CORP DE 7.01,9.01 06/26/12 ENTROPIC COMMUNICATIONS INC DE 8.01,9.01 06/27/12 EXELON CORP PA 8.01,9.01 06/26/12 Face Up Entertainment Group, Inc. FL 1.01,2.03,3.02,9.01 05/29/12 FALCONSTOR SOFTWARE INC DE 1.01,8.01,9.01 06/27/12 FERRO CORP OH 1.01,9.01 06/25/12 FIRST NIAGARA FINANCIAL GROUP INC DE 7.01,9.01 06/27/12 FIRST TRUST MORTGAGE INCOME FUND 7.01,9.01 06/27/12 FIRST TRUST STRATEGIC HIGH INCOME FUN MA 7.01,9.01 06/27/12 FLOW INTERNATIONAL CORP WA 2.02,9.01 06/27/12 FONAR CORP DE 5.07 06/30/11 FOREST CITY ENTERPRISES INC OH 7.01,8.01,9.01 06/27/12 FORWARD INDUSTRIES INC NY 1.01,1.02,8.01,9.01 06/21/12 Freedom Environmental Services, Inc. DE 5.02 06/15/12 Fresh Traffic Group Inc. NV 1.01,9.01 06/19/12 Gas Natural Inc. OH 1.01,9.01 06/27/12 GAYLORD ENTERTAINMENT CO /DE DE 8.01 06/27/12 General Growth Properties, Inc. DE 8.01,9.01 06/27/12 GENERAL MILLS INC DE 2.02,9.01 06/27/12 GIBRALTAR INDUSTRIES, INC. DE 5.02,9.01 06/27/12 GILMAN CIOCIA, INC. DE 9.01 06/27/12 GLIMCHER REALTY TRUST MD 7.01,8.01,9.01 06/26/12 GOLD STANDARD MINING CORP. NV 5.01 06/23/12 Greenfield Farms Food, Inc. NV 1.01,3.02,5.01,5.02, 06/22/12 9.01 GRYPHON GOLD CORP NV 7.01,9.01 06/27/12 Gulf United Energy, Inc. NV 8.01 06/20/12 HAMPTON ROADS BANKSHARES INC VA 1.02,3.02,7.01,9.01 06/27/12 HARMAN INTERNATIONAL INDUSTRIES INC / DE 5.02,9.01 06/25/12 HAWAIIAN HOLDINGS INC DE 7.01,9.01 06/27/12 Hicks Acquisition CO II, Inc. 8.01,9.01 06/27/12 HORNBECK OFFSHORE SERVICES INC /LA DE 5.03,5.07,9.01 06/21/12 HUTCHINSON TECHNOLOGY INC MN 8.01,9.01 06/27/12 India Globalization Capital, Inc. MD 2.01,9.01 06/21/12 INLAND REAL ESTATE CORP MD 1.01 06/27/12 INNERWORKINGS INC 5.02,5.07 06/21/12 INSMED INC VA 8.01,9.01 06/27/12 INTERNATIONAL RECTIFIER CORP /DE/ DE 5.02,9.01 06/21/12 Islet Sciences, Inc NV 5.02 06/21/12 J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 06/26/12 JBI, INC. NV 5.02,9.01 06/25/12 JONES SODA CO WA 5.02,8.01,9.01 06/27/12 JWC Acquisition Corp. DE 7.01,8.01,9.01 06/27/12 JWC Acquisition Corp. DE 1.01,9.01 06/27/12 KBS Legacy Partners Apartment REIT, I MD 2.01,9.01 05/31/12 AMEND KBS Real Estate Investment Trust III, MD 2.01,9.01 05/09/12 AMEND KEWAUNEE SCIENTIFIC CORP /DE/ DE 2.02,9.01 06/26/12 Koppers Holdings Inc. PA 8.01,9.01 06/27/12 LANDEC CORP \CA\ CA 8.01,9.01 06/24/12 LENNAR CORP /NEW/ DE 2.02 06/27/12 LINDSAY CORP DE 2.02,9.01 06/27/12 LINN ENERGY, LLC DE 1.01 06/27/12 LODGENET INTERACTIVE CORP DE 5.02,9.01 06/22/12 Lone Star Gold, Inc. NV 1.01,2.03 06/25/12 MACE SECURITY INTERNATIONAL INC DE 5.07,8.01,9.01 06/21/12 MAKEMUSIC, INC. MN 5.02,9.01 06/22/12 MCCORMICK & CO INC MD 2.02,9.01 06/27/12 MEDIVATION, INC. DE 8.01,9.01 06/26/12 MERU NETWORKS INC DE 5.02,9.01 06/22/12 MGT CAPITAL INVESTMENTS INC DE 8.01,9.01 06/26/12 MGT CAPITAL INVESTMENTS INC DE 5.02 06/25/12 Midway Gold Corp A1 1.01,7.01,9.01 06/26/12 MILLER HERMAN INC MI 2.02,9.01 06/27/12 MONSANTO CO /NEW/ DE 2.02,9.01 06/27/12 MORGANS FOODS INC OH 5.07 06/22/12 Motors Liquidation Co DE 8.01 06/27/12 MOTRICITY INC DE 1.01,1.02,9.01 06/14/12 NEWLINK GENETICS CORP 5.02 06/27/12 NEWS CORP 8.01,9.01 06/27/12 O REILLY AUTOMOTIVE INC 7.01,9.01 06/26/12 Och-Ziff Capital Management Group LLC DE 1.02 06/27/12 Oculus Innovative Sciences, Inc. CA 1.01 06/21/12 OMNI BIO PHARMACEUTICAL, INC. CO 1.01,2.03,3.02 06/26/12 Oneida Financial Corp. MD 8.01,9.01 06/27/12 ORBIT INTERNATIONAL CORP DE 5.07 06/22/12 OXIGENE INC DE 3.01,9.01 06/25/12 Pacific Ethanol, Inc. DE 1.01,8.01,9.01 06/27/12 PAR TECHNOLOGY CORP DE 4.01,9.01 06/21/12 Parabel Inc. DE 1.01,2.03,9.01 06/25/12 PAYCHEX INC DE 2.02,9.01 06/27/12 PEABODY ENERGY CORP DE 7.01,9.01 06/27/12 PEABODY ENERGY CORP DE 8.01,9.01 06/27/12 PENNS WOODS BANCORP INC PA 5.02 06/26/12 Pike Electric CORP 1.01,2.03,7.01,9.01 06/22/12 PINNACLE AIRLINES CORP DE 7.01,9.01 06/26/12 PINNACLE ENTERTAINMENT INC. DE 8.01,9.01 06/26/12 Poage Bankshares, Inc. MD 5.02,9.01 06/25/12 POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 06/27/12 POWIN CORP 8.01,9.01 06/19/12 PROGRESS SOFTWARE CORP /MA MA 2.02,9.01 06/27/12 Propanc Health Group Corp DE 8.01,9.01 06/27/12 PULSE ELECTRONICS CORP PA 7.01,8.01,9.01 06/27/12 QKL Stores Inc. DE 8.01,9.01 06/26/12 QUAKER CHEMICAL CORP PA 5.02,9.01 06/27/12 QUALSTAR CORP CA 5.07 06/20/12 AMEND QUINSTREET, INC DE 1.01,9.01 06/26/12 RADIOSHACK CORP DE 5.02 06/26/12 REALPAGE INC DE 5.02,9.01 06/27/12 REGAL ENTERTAINMENT GROUP DE 8.01 06/27/12 REPUBLIC AIRWAYS HOLDINGS INC DE 1.01 06/27/12 ROTECH HEALTHCARE INC DE 5.07 06/24/12 ROYAL GOLD INC DE 1.02 06/22/12 Sabra Health Care REIT, Inc. MD 7.01,9.01 06/27/12 SANGAMO BIOSCIENCES INC DE 5.02,5.07,9.01 06/21/12 SEMPRA ENERGY CA 5.02 06/25/12 SEQUENOM INC DE 5.02 06/26/12 SHUFFLE MASTER INC MN 1.01,9.01 06/25/12 Silver Falcon Mining, Inc. DE 8.01 06/27/12 Silver Falcon Mining, Inc. DE 8.01 06/27/12 AMEND SKINVISIBLE INC NV 1.01,2.03,3.02,9.01 06/12/12 SkyPeople Fruit Juice, Inc FL 8.01,9.01 06/27/12 SOLIGENIX, INC. DE 7.01,9.01 06/27/12 SOUPMAN, INC. DE 8.01 06/26/12 SOUTHERN CALIFORNIA GAS CO CA 5.02 06/22/12 Southern Products, Inc. NV 8.01,9.01 06/21/12 Soy Energy, LLC IA 2.04 06/21/12 SS&C Technologies Holdings Inc DE 7.01,8.01,9.01 06/27/12 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 06/25/12 SUN RIVER ENERGY, INC CO 1.02,5.02 06/22/12 SUPERNUS PHARMACEUTICALS INC DE 8.01,9.01 06/26/12 SWS GROUP INC DE 5.02 06/27/12 Symetra Financial CORP DE 5.02 06/27/12 SYNERGETICS USA INC 8.01,9.01 06/27/12 T Bancshares, Inc. 7.01,9.01 06/27/12 TELECOMMUNICATION SYSTEMS INC /FA/ MD 1.01,2.03 06/25/12 TICC Capital Corp. MD 5.07,9.01 06/27/12 TIME WARNER CABLE INC. DE 1.01,2.03,9.01 06/27/12 TRANSAKT LTD. A0 5.03,5.07,9.01 06/26/12 TRUSTMARK CORP MS 8.01,9.01 06/27/12 Two Harbors Investment Corp. 1.01,2.03,9.01 06/22/12 TYCO INTERNATIONAL LTD V8 1.01,1.02,9.01 06/27/12 TYCO INTERNATIONAL LTD V8 7.01,8.01,9.01 06/27/12 Under Armour, Inc. MD 5.02,9.01 06/27/12 UNIFIRST CORP MA 2.02,9.01 05/26/12 United Development Funding III, LP DE 1.01,2.03 06/21/12 UNITED MINES INC AZ 5.02 06/12/12 UNITED STATES CELLULAR CORP DE 5.02,9.01 06/21/12 UNITED THERAPEUTICS Corp DE 5.07,7.01,9.01 06/26/12 Urban Barns Foods Inc. 1.01,5.02,9.01 06/27/12 USEC INC DE 7.01,9.01 06/27/12 VERIFONE SYSTEMS, INC. DE 5.07 06/27/12 VISUALANT INC NV 6.02,9.01 06/26/12 W P CAREY & CO LLC DE 5.07 06/21/12 Warner Music Group Corp. DE 1.02 06/22/12 WASHINGTON REAL ESTATE INVESTMENT TRU MD 1.01,2.03,9.01 06/25/12 WELLS FARGO & COMPANY/MN DE 9.01 06/27/12 WELLS FARGO & COMPANY/MN DE 8.01,9.01 06/27/12 Whitestone REIT TX 5.03,9.01 06/27/12 ZHONGPIN INC. DE 5.07 06/27/12
http://www.sec.gov/news/digest/2012/dig062812.htm
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