SEC News Digest, July 23, 2012

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Enforcement proceedings

SEC Charges Stock Promoter in Internet-Based Scalping Scheme

The Securities and Exchange Commission announced today that on July 20, 2012, it filed a civil fraud action against former Connecticut resident Jerry S. Williams, a stock promoter, and two companies that he controlled, Monk’s Den, LLC and First In Awareness, LLC. The Commission charged Williams with running a scalping scheme from which he made over $2.4 million. Scalping is a type of fraud in which the owner of shares of a security recommends that security for investment and then immediately sells it at a profit upon the rise in market price which follows the recommendation.

The Commission’s Complaint alleges that from at least early 2009 through at least the end of 2010, Williams recommended two stocks, Cascadia Investments, Inc. and Green Oasis Environmental, Inc., to a large group of potential investors who followed his trading recommendations and strategies. According to the Complaint, Williams, who was known to his followers as “Monk,” used his internet-based message board (called “Monk’s Den”), in-person seminars (called “Monkinars”), and other means to encourage people to buy, hold, and accumulate Cascadia and Green Oasis stock. The Complaint alleges that in fact, unknown to potential investors, Williams had been hired by Cascadia and Green Oasis to promote their stock and had been compensated with millions of free and discounted shares of these stocks. According to the Complaint, Williams secretly sold millions of Cascadia and Green Oasis shares at the same time he was encouraging potential investors to buy, hold and accumulate these stocks. Through this scheme, the Complaint alleges, Williams made over $2.4 million.

The Commission’s Complaint charged Williams, First In Awareness, LLC and Monk’s Den, LLC with violating Section 10(b) of the Securities Exchange Act of 1934 and Rules 10b-5(a), (b), and (c) thereunder. The Commission also charged Williams with violating Sections 17(a)(1), 17(a)(2), 17(a)(3) and 17(b) of the Securities Act of 1933 and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The Commission is seeking permanent injunctions, disgorgement, prejudgment interest, and civil penalties against each defendant and, as to Williams only, a penny stock bar. [SEC v. Jerry S. Williams, Monk’s Den, LLC, and First In Awareness, LLC, 3:12-cv-01068, District of Connecticut] (LR-22420)

INVESTMENT COMPANY ACT RELEASES

P.E. Partners III, LLC, et al.

A notice has been issued giving interested persons until August 15, 2012 to request a hearing on an application filed by P.E. Partners III, LLC, et al. for an order to exempt certain limited liability companies formed for the benefit of eligible employees of Latham & Watkins LLP from certain provisions of the Investment Company Act of 1940 (Act). Each company will be an “employees’ securities company” within the meaning of Section 2(a)(13) of the Act. (Rel. IC-30143 – July 20)

Credit Suisse Asset Management, LLC, et al.

A notice has been issued giving interested persons until August 14, 2012, to request a hearing on an application filed by Credit Suisse Asset Management, LLC, et al. for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The order would (a) permit certain management investment companies registered under the Act to acquire shares of certain open-end management investment companies registered under the Act that are outside the same group of investment companies as the acquiring investment companies, and (b) permit funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30144 – July 20)

SELF-REGULATORY ORGANIZATIONS

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by NASDAQ OMX PHLX LLC to establish Managed Data Solution for PHLX Top of Options (SR-Phlx-2012-93) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 23. (Rel. 34-67466)

A proposed rule change filed by New York Stock Exchange LLC establishing a fee for television distribution of the NYSE Trades Data Product (SR-NYSE-2012-28) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 23. (Rel. 34-67467)

A proposed rule change filed by NASDAQ OMX PHLX LLC to amend exchange rules 1014, 1051, and OFPA F-2 (SR-Phlx-2012-92) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 23. (Rel. 34-67469)

A proposed rule change submitted by NASDAQ OMX BX, Inc. (SR-BX-2012-051) relating to routing fees has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 23. (Rel. 34-67474)

A proposed rule change submitted by BATS Y-Exchange, Inc. relating to a new BYX rule regarding telemarketing (SR-BYX-2012-014) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 23. (Rel. 34-67476)

A proposed rule change submitted by BATS Exchange, Inc. relating to a new BATS rule regarding telemarketing (SR-BATS-2012-028) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 23. (Rel. 34-67477)

Proposed Rule Change

The Chicago Board Options Exchange, Incorporated filed with the Securities and Exchange Commission a proposed rule change (SR-CBOE-2012-066) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to increase position and exercise limits for EEM options. Publication in the Federal Register is expected during the week of July 23. (Rel. 34-67478)

Approval of Proposed Rule Change

The Commission approved a proposed rule change submitted by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-042), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to list and trade CBOE S&P 500 AM/PM Basis Options. Publication in the Federal Register is expected during the week of July 23. (Rel. 34-67482)

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     Gankit Corp, 5201 MEMORIAL DRIVE, PENTHOUSE, HOUSTON, TX, 77008, 
        713-510-3559 - 10,000,000 ($100,000.00) Equity, (File 333-182761 - 
        Jul. 20) (BR. 02)

S-8     Palo Alto Networks Inc, 3300 OLCOTT STREET, SANTA CLARA, CA, 95054, 
        408-753-4000 - 25,860,091 ($614,203,122.00) Equity, (File 333-182762 - 
        Jul. 20) (BR. 03A)

S-3D    INREIT Real Estate Investment Trust, 216 SOUTH BROADWAY, SUITE 202, 
        MINOT, ND, 58701, 701-837-1031 - 2,000,000 ($28,000,000.00) Other, 
        (File 333-182768 - Jul. 20) (BR. 08B)

F-3ASR  NATIONAL GRID PLC, 1-3 STRAND, LONDON, X0, WC2N 5EH, 
        (44) 207 004 3220 - 0 ($0.00) Non-Convertible Debt, (File 333-182769 - 
        Jul. 20) (BR. 02B)

S-1     PLASTER CASTER INC., 1000 COUNTRY CLUB, ANN ARBOR, MI, 48103, 
        734-686-0137 - 178,000 ($26,700.00) Equity, (File 333-182770 - Jul. 20) 
        (BR. 03B)

S-1     Resonance Advisors LLC, 500 WEST 43RD ST, SUITE 37C, NEW YORK, NY, 
        10036, 646-504-3837 - 40,000 ($1,000,000.00) Equity, (File 333-182772 - 
        Jul. 20) (BR. )

S-8     EnergySolutions, Inc., 423 WEST 300 SOUTH, SUITE 200, SALT LAKE CITY, 
        UT, 84101, 801-649-2000 - 0 ($3,280,000.00) Equity, (File 333-182773 - 
        Jul. 20) (BR. 06B)

S-8     ONLINE RESOURCES CORP, 4795 MEADOW WOOD LANE, SUITE 300, CHANTILLY, VA, 
        20151, 7036533100 - 3,805,858 ($8,772,502.69) Equity, 
        (File 333-182774 - Jul. 20) (BR. 03C)

S-8     WIZZARD SOFTWARE CORP /CO, 5001 BAUM BOULEVARD, SUITE 770, PITTSBURGH, 
        PA, 15213, 4126210902 - 3,000,000 ($7,020,000.00) Equity, 
        (File 333-182775 - Jul. 20) (BR. 03B)

S-3ASR  FOREST OIL CORP, 707 SEVENTEENTH STREET, SUITE 3600, DENVER, CO, 80202, 
        3038121400 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-182776 - Jul. 20) (BR. 04B)

S-8     STANLEY FURNITURE CO INC., 1641 FAIRYSTONE PK HWY, P. O. BOX 30, 
        STANLEYTOWN, VA, 24168, 5406272000 - 1,600,000 ($6,544,000.00) Equity, 
        (File 333-182777 - Jul. 20) (BR. 06B)

S-8     ROPER INDUSTRIES INC, 6901 PROFESSIONAL PKWY EAST, SUITE 200, SARASOTA, 
        FL, 34240, 9415562601 - 0 ($1,041,040,000.00) Equity, 
        (File 333-182779 - Jul. 20) (BR. 10B)

S-1     POSITIVEID Corp, 1690 SOUTH CONGRESS AVENUE, SUITE 200, DELRAY BEACH, 
        FL, 33445, 561-805-8008 - 34,000,000 ($680,000.00) Equity, 
        (File 333-182780 - Jul. 20) (BR. 11C)

S-8     POSITIVEID Corp, 1690 SOUTH CONGRESS AVENUE, SUITE 200, DELRAY BEACH, 
        FL, 33445, 561-805-8008 - 19,000,000 ($380,000.00) Equity, 
        (File 333-182781 - Jul. 20) (BR. 11C)

S-3     FREDERICK'S OF HOLLYWOOD GROUP INC /NY/, 6255 SUNSET BOULEVARD, 
        HOLLYWOOD, CA, 90028, 323 466 5151 - 
        28,405,331 ($11,078,079.09) Debt Convertible into Equity, 
        (File 333-182782 - Jul. 20) (BR. 09B)

S-4     Kodiak Oil & Gas Corp, 1625 BROADWAY, SUITE 250, DENVER, CO, 80202, 
        303-592-8075 - 0 ($800,000,000.00) Debt, (File 333-182783 - Jul. 20) 
        (BR. 04A)

N-2     FIDUS INVESTMENT Corp, 1603 ORRINGTON AVENUE, SUITE 820, EVANSTON, IL, 
        60201, 847-859-3940 - 
        0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-182785 - 
        Jul. 20) (BR. 22)

S-4     Emdeon Inc., 3055 LEBANON PIKE, SUITE 1000, NASHVILLE, TN, 37214, 
        615-932-3000 - 0 ($750,000,000.00) Debt, (File 333-182786 - Jul. 20) 
        (BR. 02A)

S-8     PATRIOT GOLD CORP, 3651 LINDELL ROAD SUITE D, LAS VEGAS, NV, 89103, 
        702-456-9565 - 3,900,000 ($132,600.00) Equity, (File 333-182787 - 
        Jul. 20) (BR. 09A)

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


11 GOOD ENERGY INC                      DE       5.02,8.01            07/16/12

ACADIA PHARMACEUTICALS INC              DE       1.02                 07/18/12

Accenture plc                           L2       5.02                 07/19/12

ACCENTURE SCA                                    5.02                 07/19/12

ACME UNITED CORP                        CT       2.02,9.01            07/20/12

ACTIVECARE, INC.                        DE       1.01,3.02,5.02,9.01  07/20/12

ALBANY INTERNATIONAL CORP /DE/          DE       2.02,9.01            07/19/12

ALBANY INTERNATIONAL CORP /DE/          DE       9.01                 06/29/12    AMEND

AlphaPoint Technology, Inc.             DE       8.01                 07/16/12

AMERICAN ELECTRIC POWER CO INC          NY       2.02,9.01            07/20/12

AMERICAN EXPRESS CO                     NY       5.02,9.01            07/20/12

AMERICAN LEARNING Corp                  NY       3.01,9.01            07/19/12

AMERICAN NATIONAL BANKSHARES INC        VA       2.02,9.01            07/20/12

AMERISTAR CASINOS INC                   NV       1.01,9.01            07/18/12

Amincor, Inc.                           NV       1.02                 07/20/12

Anchor Bancorp                          WA       2.02,9.01            07/20/12

ANDAIN, INC.                            NV       1.01,3.02,9.01       07/20/12    AMEND

Anthera Pharmaceuticals Inc             DE       1.01,9.01            07/19/12

ANWORTH MORTGAGE ASSET CORP             MD       8.01,9.01            07/20/12

Apollo Global Management LLC            DE       5.02,8.01,9.01       07/19/12

ARKANOVA ENERGY CORP.                   NV       1.01,5.02,9.01       07/17/12

ARROW FINANCIAL CORP                    NY       2.02,9.01            07/20/12

AUBURN NATIONAL BANCORPORATION, INC     DE       2.02,9.01            07/20/12

AUTOBYTEL INC                           DE       5.02                 07/17/12

AUTOLIV INC                             DE       2.02,7.01,9.01       07/20/12

AUXILIUM PHARMACEUTICALS INC                     1.01,2.03            07/16/12

AV Homes, Inc.                          DE       1.01,2.03,3.02,9.01  07/19/12

BAKER HUGHES INC                        DE       2.02,7.01,9.01       07/20/12

BANK MUTUAL CORP                        WI       2.02                 07/19/12

Baron Energy Inc.                       NV       3.02,5.02            07/16/12

BB&T CORP                               NC       8.01                 07/20/12

BillMyParents, Inc.                     CO       1.01,3.02,9.01       07/19/12

BIOCANCELL THERAPEUTICS INC.                     5.07,8.01            07/16/12

BOSTON PRIVATE FINANCIAL HOLDINGS INC   MA       8.01                 07/20/12

BRAINSTORM CELL THERAPEUTICS INC                 1.01,9.01            07/17/12

BROADVIEW NETWORKS HOLDINGS INC         DE       1.01,9.01            07/18/12

Buckingham Exploration Inc.             NV       3.02                 07/20/12

CANO PETROLEUM, INC                              7.01,9.01            07/20/12

CANO PETROLEUM, INC                              1.03,3.03,5.02,9.01  07/16/12

Capitol Federal Financial Inc           MD       7.01,9.01            07/20/12

CD INTERNATIONAL ENTERPRISES, INC.      FL       8.01,9.01            07/18/12

CENTERLINE HOLDING CO                   DE       1.01                 07/16/12

CHASE BANK USA, NATIONAL ASSOCIATION    DE       8.01,9.01            07/19/12

CHC Helicopter S.A.                     N4       5.02                 07/16/12

CHENIERE ENERGY INC                     DE       1.01,7.01,9.01       07/20/12

Cheniere Energy Partners, L.P.          DE       8.01,9.01            07/20/12

CHINA HGS REAL ESTATE INC.              F4       8.01                 07/20/12

CIT GROUP INC                           DE       8.01,9.01            07/20/12

CNB FINANCIAL CORP/PA                   PA       2.02,9.01            07/19/12

COLONY BANKCORP INC                     GA       2.02,9.01            07/20/12

COMMUNITY BANK SHARES OF INDIANA INC    IN       2.02,5.03,9.01       07/17/12

Compressco Partners, L.P.               DE       8.01,9.01            07/19/12

CONAGRA FOODS INC /DE/                  DE       5.02                 07/16/12

Converted Organics Inc.                 DE       3.02                 07/19/12

CROSS TIMBERS ROYALTY TRUST             TX       2.02,9.01            07/20/12

DEL TORO SILVER CORP.                   NV       1.01,3.02,9.01       07/16/12

DELTA PETROLEUM CORP/CO                 CO       1.01,5.02            07/13/12

DGSE COMPANIES INC                      NV       1.01,1.02,2.03,8.01, 07/19/12
                                                 9.01
          
Digital Development Group Corp          NV       5.02,7.01,9.01       05/08/12

DIMECO INC                              PA       2.02,9.01            07/20/12

DISH Network CORP                       NV       8.01,9.01            07/19/12

DONEGAL GROUP INC                       DE       7.01,9.01            07/20/12

DURECT CORP                             DE       8.01                 07/18/12

EASTERN VIRGINIA BANKSHARES INC         VA       2.02,9.01            07/20/12

EBAY INC                                DE       7.01,9.01            07/19/12

EMCLAIRE FINANCIAL CORP                 PA       2.02,9.01            07/20/12

EMMIS COMMUNICATIONS CORP               IN       1.01,9.01            07/20/12

EMPIRE ENERGY CORP                      UT       8.01,9.01            07/10/12

Enduro Royalty Trust                    DE       2.02,9.01            07/20/12

Engility Holdings, Inc.                 DE       1.01,2.03,5.01,5.02, 07/16/12
                                                 5.03,8.01,9.01

ENTERPRISE BANCORP INC /MA/             MA       2.02,9.01            07/19/12

ESTEE LAUDER COMPANIES INC              DE       5.02,9.01            07/18/12

Ever-Glory International Group, Inc.    FL       2.02,9.01            07/14/12

EVEREST RE GROUP LTD                    D0       5.02,9.01            07/12/12

Exelis Inc.                             IN       8.01,9.01            07/20/12

F&M BANK CORP                           VA       2.02,9.01            07/20/12

Federal Home Loan Bank of Pittsburgh    PA       2.02,7.01            07/20/12

FIDELITY BANCORP INC                    PA       1.01,8.01,9.01       07/19/12

FIDELITY BANCORP INC                    PA       8.01,9.01            07/20/12

FIRST ACCEPTANCE CORP /DE/              DE       5.02                 07/16/12

FIRST HORIZON NATIONAL CORP             TN       2.02,9.01            07/20/12

FIRST HORIZON NATIONAL CORP             TN       7.01,9.01            07/20/12

FIRST M&F CORP/MS                       MS       2.02,9.01            07/19/12

FIRSTFED FINANCIAL CORP                 DE       8.01,9.01            07/16/12

FIRSTMERIT CORP /OH/                    OH       5.02                 07/19/12

FS Energy & Power Fund                  DE       2.02,9.01            07/20/12

FS Investment CORP                      MD       2.02,9.01            07/20/12

FS Investment Corp II                   MD       2.02,9.01            07/20/12

GATX CORP                               NY       5.02                 07/20/12

GENERAL CABLE CORP /DE/                 DE       5.02,8.01,9.01       07/17/12

GENERAL ELECTRIC CAPITAL CORP           CT       8.01,9.01            07/20/12

GENERAL ELECTRIC CO                     NY       2.02,9.01            07/20/12

GILEAD SCIENCES INC                     DE       1.01                 07/18/12

GLIMCHER REALTY TRUST                   MD       2.02,9.01            07/19/12

Global Arena Holding, Inc.              DE       1.01,3.02,9.01       07/13/12

GLOWPOINT, INC.                         DE       5.02                 07/19/12

GOLDFIELD CORP                          DE       1.01,2.03,9.01       07/16/12

GOLDMAN SACHS GROUP INC                 DE       9.01                 07/17/12

Green Ballast, Inc.                     DE       1.02,9.01            07/16/12

GREENE COUNTY BANCORP INC               DE       8.01,9.01            07/18/12

GREENHILL & CO INC                      DE       2.02,9.01            07/18/12

HD SUPPLY, INC.                         DE       8.01,9.01            07/20/12

HEALTHCARE TRUST OF AMERICA, INC.       MD       1.01,2.03,7.01,9.01  07/20/12

HEALTHSTREAM INC                        TN       1.01,2.03,9.01       07/19/12

HEARTLAND EXPRESS INC                   NV       2.02,9.01            07/19/12

Horsehead Holding Corp                           1.01,7.01,9.01       07/19/12

HOSPITALITY PROPERTIES TRUST            MD       1.01                 07/16/12

HSBC USA INC /MD/                       MD       9.01                 07/20/12

HUB GROUP INC                           DE       2.02,9.01            06/30/12

HUGOTON ROYALTY TRUST                   TX       2.02,9.01            07/20/12

HYUNDAI ABS FUNDING CORP                DE       1.01,9.01            07/19/12

IDEXX LABORATORIES INC /DE              DE       2.02,9.01            07/20/12

IDT CORP                                DE       7.01,9.01            07/19/12

Imperial Holdings, Inc.                          5.02,8.01            07/18/12

IMPERVA INC                             DE       5.02,9.01            07/19/12

INDEPENDENCE TAX CREDIT PLUS LP IV      DE       4.01,9.01            07/16/12

INDEPENDENT BANK CORP                   MA       8.01,9.01            07/17/12

INFORMATICA CORP                        DE       5.02                 07/19/12

Ingersoll-Rand plc                      L2       2.02,9.01            07/20/12

INTEGRATED DEVICE TECHNOLOGY INC        DE       2.01,9.01            07/19/12

iSatori, Inc.                           DE       1.01,1.02,2.03,9.01  07/16/12

ISLE OF CAPRI CASINOS INC               DE       5.02                 07/19/12

J2 GLOBAL, INC.                         DE       8.01,9.01            07/19/12

JA Energy                               NV       3.02                 07/17/12

JOHNSON & JOHNSON                       NJ       8.01,9.01            07/16/12

KB HOME                                 DE       5.02                 07/18/12

KEY ENERGY SERVICES INC                 MD       5.03,8.01,9.01       07/19/12

Kiwibox.Com, Inc.                       DE       7.01,9.01            07/20/12

Kodiak Oil & Gas Corp                   B0       9.01                 01/10/12    AMEND

KV PHARMACEUTICAL CO /DE/               DE       3.01,9.01            07/16/12

L 3 COMMUNICATIONS HOLDINGS INC         DE       1.01,2.01,9.01       07/16/12

LANDEC CORP \CA\                        CA       5.02                 07/19/12

LEHMAN ABS CORP HSBC DEBENTURE BACKED   DE       8.01,9.01            07/16/12

LEHMAN ABS CORP PRUDENTIAL FINANCIAL    DE       8.01,9.01            07/16/12

LENNAR CORP /NEW/                       DE       8.01,9.01            07/17/12

LEVIATHAN MINERALS GROUP INC.           DE       5.02                 06/15/12

LIBERTY STAR URANIUM & METALS CORP.     NV       8.01,9.01            07/05/12

LIBERTY STAR URANIUM & METALS CORP.     NV       1.01,3.02,9.01       07/13/12

LIMITED BRANDS INC                      DE       5.03,9.01            07/19/12

LODGENET INTERACTIVE CORP               DE       2.02,9.01            07/19/12

MAGELLAN PETROLEUM CORP /DE/            DE       5.02                 07/20/12

MANPOWER INC /WI/                       WI       2.02,9.01            07/20/12

MASSEY EXPLORATION CORP.                NV       5.02                 07/20/12

MATERIAL SCIENCES CORP                  DE       4.01,9.01            07/20/12

MATTHEWS INTERNATIONAL CORP             PA       2.02,9.01            07/19/12

MCDONALDS CORP                          DE       5.03,7.01,9.01       07/19/12

McEwen Mining Inc.                      CO       7.01,9.01            07/19/12

MEDISAFE 1 TECHNOLOGIES CORP            DE       3.02,5.03            07/10/12

MEDTOX SCIENTIFIC INC                   DE       8.01,9.01            07/20/12

MetroCorp Bancshares, Inc.              TX       2.02,9.01            07/20/12

Mobile Integrated Systems, Inc.         NV       5.02                 07/03/12

MODINE MANUFACTURING CO                 WI       5.07                 07/19/12

MOLEX INC                               DE       8.01,9.01            07/20/12

MONEYGRAM INTERNATIONAL INC                      8.01                 07/19/12

MoSys, Inc.                             DE       2.02,9.01            07/20/12

MS STRUCTURED TILES SERIES 2005-1       DE       8.01,9.01            07/18/12

MusclePharm Corp                        NV       1.01,3.02,9.01       07/13/12

MusclePharm Corp                        NV       1.01,2.03,9.01       07/13/12

NABI BIOPHARMACEUTICALS                 DE       8.01                 07/20/12

NEUTRA CORP.                            FL       5.02                 06/20/12

Newport Bancorp Inc                              2.02,9.01            07/20/12

NEWS CORP                                        8.01,9.01            07/20/12

NORTHWEST BIOTHERAPEUTICS INC           DE       1.01,2.03,3.02       07/16/12

Novus Robotics Inc.                     NV       5.03,9.01            07/18/12

OCCIDENTAL PETROLEUM CORP /DE/          DE       5.02,9.01            07/20/12

OCEANFIRST FINANCIAL CORP               DE       2.02,8.01            07/20/12

OLD NATIONAL BANCORP /IN/               IN       8.01                 07/20/12

OMNICOM GROUP INC                       NY       1.01,9.01            07/20/12

ONYX PHARMACEUTICALS INC                DE       8.01,9.01            07/20/12

ONYX PHARMACEUTICALS INC                DE       8.01,9.01            07/20/12    AMEND

Orbitz Worldwide, Inc.                  DE       9.01                 06/12/12    AMEND

OSHKOSH CORP                            WI       5.03,9.01            07/16/12

OSHKOSH CORP                            WI       5.02                 06/06/12    AMEND

Pacific Coast Oil Trust                 DE       2.02,9.01            07/20/12

PANTRY INC                              DE       8.01,9.01            07/20/12

PAREXEL INTERNATIONAL CORP              MA       5.02                 07/18/12

PATRIOT GOLD CORP                       NV       1.01,5.02,9.01       07/09/12

PAWS Pet Company, Inc.                  IL       5.03,9.01            07/20/12

PCS EDVENTURES COM INC                  ID       2.03,9.01            07/16/12

PEERLESS SYSTEMS CORP                   DE       5.02                 07/17/12

PENSON WORLDWIDE INC                    DE       5.02                 07/16/12

People's United Financial, Inc.         DE       2.02,8.01,9.01       07/19/12

PEPSICO INC                             NC       5.02,8.01            07/19/12

PERMIAN BASIN ROYALTY TRUST             TX       2.02,9.01            07/20/12

PHAZAR CORP                             DE       5.02,9.01            07/19/12

Poage Bankshares, Inc.                  MD       8.01,9.01            07/18/12

Premier Brands, Inc.                    WY       5.02                 07/16/12

PROGRESS SOFTWARE CORP /MA              MA       5.02,9.01            07/16/12

Q LOTUS HOLDINGS INC                    NV       1.01,2.03,9.01       07/10/12

RESPONSE GENETICS INC                            3.01                 07/20/12

RETAIL PROPERTIES OF AMERICA, INC.      MD       5.03,9.01            07/20/12

RIVER VALLEY BANCORP                    IN       2.02,9.01            07/17/12

RLI CORP                                IL       7.01,9.01            07/19/12

SAN JUAN BASIN ROYALTY TRUST            TX       2.02,9.01            07/20/12

SCHLUMBERGER LTD /NV/                   P8       5.03,9.01            07/19/12

SCHLUMBERGER LTD /NV/                   P8       2.02,7.01,9.01       07/20/12

SEARS HOLDINGS CORP                     DE       5.02                 07/19/12

SECURITY FEDERAL CORP                   SC       5.07                 07/19/12

Sensata Technologies Holding N.V.       P7       5.02,9.01            07/20/12

SENSIENT TECHNOLOGIES CORP              WI       2.02,9.01            07/20/12

Sierra Income Corp                      MD       8.01,9.01            06/29/12

SIMMONS FIRST NATIONAL CORP             AR       8.01,9.01            07/20/12

SINCLAIR BROADCAST GROUP INC            MD       1.01,7.01,8.01,9.01  07/17/12

SLM Student Loan Trust 2005-5                    8.01                 07/20/12

SLM Student Loan Trust 2005-8                    8.01                 07/20/12

Solera National Bancorp, Inc.           DE       5.07                 07/19/12

Somaxon Pharmaceuticals, Inc.           DE       1.01,9.01            07/19/12

STAAR SURGICAL CO                       DE       2.02,9.01            07/19/12

Standard Financial Corp.                MD       2.02,8.01,9.01       07/19/12

STAR GAS PARTNERS LP                    DE       1.01,5.02,9.01       07/19/12

STEC, INC.                              CA       8.01,9.01            07/19/12

STEWARDSHIP FINANCIAL CORP              NJ       8.01,9.01            07/19/12

STRUCTURED PRODUCTS CORP CORTS TR FOR   DE       8.01                 07/19/12

STRUCTURED PRODUCTS CORP TIERS PRI PR   DE       8.01,9.01            07/16/12

SunCoke Energy, Inc.                             5.07                 05/10/12    AMEND

SUNTRUST BANKS INC                      GA       2.02,7.01,9.01       07/20/12

SYNALLOY CORP                           DE       2.02,9.01            07/20/12

T3 Motion, Inc.                         DE       5.02,9.01            07/17/12

TACTICAL AIR DEFENSE SERVICES, INC.              1.01,7.01,9.01       07/03/12

TACTICAL AIR DEFENSE SERVICES, INC.              1.01,7.01,9.01       07/12/12

TALBOTS INC                             DE       1.01,9.01            07/20/12

TESORO LOGISTICS LP                     DE       7.01,9.01            07/20/12

TETRA TECHNOLOGIES INC                  DE       1.01,9.01            07/18/12

THOR INDUSTRIES INC                     DE       5.02,9.01            07/18/12

TRANZYME INC                            DE       1.02                 07/19/12

TRIUMPH GROUP INC                       DE       5.02,5.03,5.07,9.01  07/19/12

TRX INC/GA                              GA       1.01                 07/19/12

Uni-Pixel                               DE       8.01                 07/20/12

UNION BANKSHARES INC                    VT       2.02,8.01,9.01       07/18/12

UNION FIRST MARKET BANKSHARES CORP      VA       5.02,9.01            07/17/12

United Financial Bancorp, Inc.                   2.02,9.01            07/20/12

UNIVERSAL SECURITY INSTRUMENTS INC      MD       1.01,9.01            07/19/12

UNIVERSAL STAINLESS & ALLOY PRODUCTS    DE       2.02,9.01            07/19/12

Upstream Worldwide, Inc.                DE       5.02                 07/18/12

USA TRUCK INC                           DE       2.02,9.01            07/19/12

Venoco, Inc.                            DE       1.01,9.01            07/19/12

ViewPoint Financial Group Inc.                   8.01,9.01            07/20/12

Vringo Inc                              DE       1.01,1.02,2.01,2.03, 07/19/12
                                                 3.03,5.01,5.07,8.01,
                                                 9.01
   
Vringo Inc                              DE       5.02,7.01,9.01       07/19/12

WALTER INVESTMENT MANAGEMENT CORP       MD       1.01                 07/20/12

WARWICK VALLEY TELEPHONE CO             NY       5.02,9.01            07/17/12

WELLS REAL ESTATE INVESTMENT TRUST II   MD       5.07                 07/18/12

WESBANCO INC                            WV       1.01,7.01,8.01,9.01  07/19/12

Western Union CO                        DE       5.02,9.01            07/20/12

Westpoint Energy, Inc.                  NV       8.01,9.01            07/13/12

WORTHINGTON ENERGY, INC.                NV       8.01,9.01            07/20/12

XEROX CORP                              NY       2.02,9.01            07/20/12

XILINX INC                              DE       5.02                 07/16/12

http://www.sec.gov/news/digest/2012/dig072312.htm

SEC News Digest