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Enforcement proceedingsCommission Revokes Registration of Securities of OptiSystems Solutions, Ltd. for Failure to Make Required Periodic FilingsOn July 26, 2012, the Commission revoked the registration of each class of registered securities of OptiSystems Solutions, Ltd. for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, OptiSystems Solutions, Ltd. consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to OptiSystems Solutions, Ltd., finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of OptiSystems Solutions, Ltd.’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against OptiSystems Solutions, Ltd. in In the Matter of OptiSystems Solutions, Ltd., et al., Administrative Proceeding File No. 3-14940. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of OptiSystems Solutions, Ltd., et al., Administrative Proceeding File No. 3-14940, Exchange Act Release No. 67365, July 6, 2012. (Rel. 34-67504; File No. 3-14940) In the Matter of Wesley Capital Management, LLCOn July 26, 2012, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 21C of the of the Securities Exchange Act of 1934 and Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Wesley Capital Management, LLC (Wesley). The Order finds that on two occasions in April 2009, Wesley, a registered investment adviser, willfully violated Rule 105 of Regulation M under the Exchange Act. In each instance, the Order finds that Wesley purchased shares in a public offering after having sold short the same security during the five business days prior to the public offering. The Order further finds that these violations resulted in profits of $142,124. Based on the above, the Order censures Wesley, requires it to cease and desist from committing or causing any violations and any future violations of Rule 105 of Regulation M, and requires it to pay disgorgement of $142,124, prejudgment interest of $15,165, and a civil penalty of $75,000. Wesley consented to the issuance of the Order without admitting or denying any of the allegations in the civil injunctive action. (Rel. 34-67510; File No. 3-14962) In the Matter of Peter MadoffOn July 26, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act), and Section 203(f) of the Investment Advisers Act of 1940 (Advisers Act), Making Findings and Imposing Remedial Sanctions (Order) against Peter Madoff. The Order finds that Peter Madoff was a long-time employee and the chief compliance officer (CCO) of Bernard L. Madoff Investment Securities LLC (BMIS), a registered broker-dealer and investment advisor. The Order further finds that on June 29, 2009, Peter Madoff pleaded guilty to (1) conspiracy to (a) commit securities fraud; (b) falsify records of an investment adviser; (c) falsify records of a broker-dealer; (d) make false filings with the Commission; (e) commit mail fraud; (f) falsify statements in relation to documents required by ERISA; and (g) obstruct and impede the lawful governmental function of the IRS; and (2) falsifying records of an investment adviser, in United States v. Peter Madoff, 10 Cr. 228 (SDNY) (LTS). The Order further finds that the criminal information to which Peter Madoff pleaded guilty alleged, among other things, that: Bernard Madoff engaged in a long-standing Ponzi scheme through the investment advisory operations at BMIS; Peter Madoff created false and misleading entries in numerous documents at BMIS that were designed to make it appear that he performed various compliance reviews of BMIS’s IA operations and that BMIS maintained an effective compliance program when these appearances were, in fact, false; from in or about 2006 through 2008, Peter Madoff represented to BMIS’s investment advisory clients that he was the CCO for the IA operations when he did not perform any substantive compliance functions; from August 2006 through 2008, Respondent created and caused to be filed with the Commission false and misleading Forms ADV; and in or about December 2008, after Respondent learned that BMIS could not meet redemption requests, and shortly before BMIS collapsed, Respondent reviewed lists reflecting preferred employees, family members, and certain other advisory clients and, with Bernard L. Madoff, decided who should receive BMIS’s remaining funds and caused checks to be prepared for these selected clients. Based on the above, the Order bars Peter Madoff from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and from participating in any offering of a penny stock. Peter Madoff consented to the issuance of the Order. (Rel. 34-67512; File No. 3-14963) INVESTMENT COMPANY ACT RELEASESOrders of Deregistration Under the Investment Company Act of 1940Orders have been issued under Section 8(f) of the Investment Company Act of 1940 declaring that each of the following has ceased to be an investment company:
Capital Research and Management Company, et al.A notice has been issued giving interested persons until August 17, 2012 to request a hearing on an application filed by Capital Research and Management Company, et al., for an order exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (Rel. IC-30150 – July 25) Cash Account Trust, et al.A notice has been issued giving interested persons until August 17, 2012 to request a hearing on an application filed by Cash Account Trust, et al., for an order exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order would supersede a prior order and would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (Rel. IC-30151 – July 25) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the New York Stock Exchange LLC extending the operation of its Supplemental Liquidity Providers pilot until the earlier of Securities and Exchange Commission Approval to make such Pilot permanent or January 31, 2013 (SR-NYSE-2012-27) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67493) A proposed rule change filed by the New York Stock Exchange LLC extending the operation of its New Market Model pilot, until the earlier of Securities and Exchange Commission approval to make such pilot permanent or January 31, 2013 (SR-NYSE-2012-26) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67494) A proposed rule change filed by NYSE MKT LLC extending the operation of its New Market Model pilot, until the earlier of Securities and Exchange Commission approval to make such pilot permanent or January 31, 2013 (SR-NYSEMKT-2012-21) has become effective under Section 19(b)(3)(A) of the Exchange. Publication in the Federal Register is expected during the week of July 30. (Rel. (Rel. 34-67495) A proposed rule change filed by NYSE MKT LLC extending the operation of its Supplemental Liquidity Providers pilot, until the earlier of Securities and Exchange Commission approval to make such pilot permanent or January 31, 2013 (SR-NYSEMKT-2012-22) has become effective under Section 19(b)(3)(A) of the Exchange. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67496) A proposed rule change filed by NYSE MKT amending NYSE MKT Rule 500 - Equities to extend the operation of the pilot program that allows NASDAQ Stock Market securities to be traded on the Exchange pursuant to a grant of Unlisted Trading Privileges until the earlier of Securities and Exchange Commission approval to make such pilot permanent or January 31, 2013 (SR-NYSEMKT-2012-25) has become effective under Section 19(b)(3)(A) of the Exchange. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67497) A proposed rule change filed by NYSE Arca, Inc. amending NYSE Arca Options Rule 6.40 to specify that the potential range for the settings applicable to the Market Maker Risk Limitation Mechanism will be between one and 100 executions per second, to eliminate the current reference to the default setting and, in the future, to specify the applicable minimum, maximum and default settings via Regulatory Bulletin (SR-NYSEArca-2012-76) 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 30. (Rel. 34-67498) A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2012-27) to amend EDGX Rule 11.13 to extend the operation of a pilot program pursuant to the Rule until February 4, 2013 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 30. (Rel. 34-67499) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2012-30) to amend EDGA Rule 11.13 to extend the operation of a pilot program pursuant to the Rule until February 4, 2013 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 30. (Rel. 34-67500) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2012-31) to amend EDGA Rule 11.14 to extend the operation of the single stock circuit breaker pilot program until February 4, 2013 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 30. (Rel. 34-67501) A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2012-28) to amend EDGX Rule 11.14 to extend the operation of the single stock circuit breaker pilot program until February 4, 2013 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 30. (Rel. 34-67502) 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-1 NEW AMERICA ENERGY CORP., 5614C BURBANK ROAD SE, CALGARY, A0, T2H 1Z4, 1-800-508-6149 - 9,500,000 ($475,000.00) Equity, (File 333-182827 - Jul. 25) (BR. 06C) S-3 ASURE SOFTWARE INC, 110 WILD BASIN ROAD, SUITE 100, AUSTIN, TX, 78746, 5124372700 - 525,000 ($3,501,750.00) Equity, (File 333-182828 - Jul. 25) (BR. 03B) S-3 TrueBlue, Inc., 253-383-9101 - 0 ($100,000,000.00) Equity, (File 333-182832 - Jul. 25) (BR. 11A) S-8 SNYDER'S-LANCE, INC., 13024 BALLANTYNE CORPORATE PL, SUITE 900, CHARLOTTE, NC, 28277, 7045541421 - 0 ($69,810,000.00) Equity, (File 333-182833 - Jul. 25) (BR. 04A) S-8 SNYDER'S-LANCE, INC., 13024 BALLANTYNE CORPORATE PL, SUITE 900, CHARLOTTE, NC, 28277, 7045541421 - 0 ($11,635,000.00) Equity, (File 333-182834 - Jul. 25) (BR. 04A) S-8 CIRCLE STAR ENERGY CORP., 7065 CONFEDERATE PARK ROAD, SUITE 102, FORT WORTH, TX, 76108, (713) 651-0060 - 5,214,500 ($3,128,700.00) Equity, (File 333-182835 - Jul. 25) (BR. 04A) S-8 Investview, Inc., 12244 SOUTH BUSINESS PARK DRIVE,, SUITE 240, DRAPER, UT, 84020, 8014979075 - 250,000 ($1,125,000.00) Equity, (File 333-182836 - Jul. 25) (BR. 02C) S-3 NORTHWESTERN CORP, 3010 W 69TH STREET, SIOUX FALLS, SD, 57108, 6059782908 - 500,000 ($18,550,000.00) Equity, (File 333-182837 - Jul. 25) (BR. 02B) S-8 Comstock Holding Companies, Inc., 1886 METRO CENTER DRIVE, SUITE 410, RESTON, VA, 20190, 703-883-1700 - 0 ($3,366,807.00) Equity, (File 333-182838 - Jul. 25) (BR. 06B) S-8 THORATEC CORP, 6035 STONERIDGE DR, PLEASANTON, CA, 94588, 9258478600 - 0 ($134,920,000.00) Equity, (File 333-182843 - Jul. 25) (BR. 10B) S-3ASR Apollo Global Management LLC, 9 West 57th Str, new York, ny, 10019, 212-515-3200 - 0 ($412,372,531.00) Equity, (File 333-182844 - Jul. 25) (BR. 06C) S-8 Ruths Hospitality Group, Inc., 500 INTERNATIONAL PARKWAY, SUITE 100, HEATHROW, FL, 32746, (407) 333-7440 - 0 ($8,932,500.00) Equity, (File 333-182845 - Jul. 25) (BR. 05B) S-1 Imprimis Pharmaceuticals, Inc., 437 S. HWY 101, STE 209, SOLANA BEACH, CA, 92075, 858-433-2800 - 0 ($15,000,000.00) Equity, (File 333-182846 - Jul. 25) (BR. 01B) 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 5.07 07/24/12 ACADIA REALTY TRUST MD 8.01 07/24/12 ACORN ENERGY, INC. DE 1.01,5.02 07/24/12 ADCARE HEALTH SYSTEMS INC OH 1.01 07/19/12 Advaxis, Inc. DE 1.01,3.02,9.01 07/24/12 ADVOCAT INC DE 5.02,9.01 07/25/12 AGY Holding Corp. DE 7.01,9.01 07/25/12 AIRGAS INC DE 2.02,9.01 07/25/12 AKAMAI TECHNOLOGIES INC DE 2.02,9.01 07/25/12 ALEXION PHARMACEUTICALS INC DE 2.02,9.01 07/25/12 ALLEGHENY TECHNOLOGIES INC DE 2.02,9.01 07/25/12 Alliance Bancorp, Inc. of Pennsylvani PA 2.02,9.01 07/24/12 AMBASE CORP DE 8.01 07/24/12 AMBASSADORS GROUP INC DE 2.02,9.01 06/30/12 AMERICAN CAMPUS COMMUNITIES INC MD 2.02,7.01,9.01 07/24/12 AMERICAN ELECTRIC POWER CO INC NY 5.02 07/24/12 AMERIPRISE FINANCIAL INC DE 2.02,9.01 07/25/12 AMETEK INC/ DE 2.02,9.01 07/24/12 Ancestry.com Inc. DE 2.02,9.01 07/25/12 Angie's List, Inc. DE 2.02,9.01 07/25/12 ANV SECURITY GROUP INC. NV 1.01,2.01,5.02,9.01 05/31/12 AOL Inc. DE 2.02,9.01 07/25/12 AP PHARMA INC /DE/ DE 1.01,3.02,8.01,9.01 07/25/12 APPLIED INDUSTRIAL TECHNOLOGIES INC OH 5.02,9.01 07/23/12 ARRIS GROUP INC DE 2.02,9.01 07/25/12 Aspect Software Group Holdings Ltd. DE 5.02 07/19/12 ASPEN INSURANCE HOLDINGS LTD D0 2.02,7.01,9.01 07/25/12 ASSOCIATED ESTATES REALTY CORP OH 2.02,9.01 07/23/12 ASSURANT INC 2.02,9.01 07/25/12 ATMI INC DE 2.02,9.01 06/30/12 AXIM INTERNATIONAL INC. NV 1.01 07/20/12 BankUnited, Inc. DE 2.02,9.01 07/25/12 BARD C R INC /NJ/ NJ 2.02,9.01 07/25/12 BARRETT BUSINESS SERVICES INC MD 2.02,9.01 07/24/12 BERKSHIRE HILLS BANCORP INC 2.02,8.01,9.01 07/24/12 BOEING CAPITAL CORP DE 2.02,9.01 07/25/12 BOEING CO DE 2.02,9.01 07/25/12 Bonanza Goldfield Corp. NV 5.02,9.01 07/20/12 BPZ RESOURCES, INC. TX 7.01,9.01 07/25/12 BRISTOL MYERS SQUIBB CO DE 2.02,9.01 07/25/12 BROADVISION INC DE 2.02,9.01 07/25/12 BROOKLINE BANCORP INC DE 2.02,9.01 07/25/12 CABOT OIL & GAS CORP DE 2.02,9.01 07/24/12 CADENCE DESIGN SYSTEMS INC DE 2.02,9.01 07/25/12 CAESARS ENTERTAINMENT Corp DE 5.02,5.07,9.01 07/23/12 CALIFORNIA WATER SERVICE GROUP DE 8.01,9.01 07/25/12 CALIFORNIA WATER SERVICE GROUP DE 2.02,9.01 07/25/12 Cardiovascular Systems Inc DE 1.01,5.02 07/02/12 CARTERS INC DE 2.02,9.01 07/24/12 CATERPILLAR FINANCIAL SERVICES CORP DE 2.02,9.01 07/25/12 CATERPILLAR INC DE 2.02,9.01 07/25/12 CenterState Banks, Inc. FL 2.02,9.01 07/25/12 CHEESECAKE FACTORY INC DE 2.02,7.01,9.01 07/23/12 CHEMED CORP DE 2.02,9.01 07/25/12 CIGMA METALS CORP FL 5.02,7.01,9.01 07/25/12 Circle Entertainment, Inc. DE 1.01,2.03,9.01 07/25/12 CITIZENS FINANCIAL SERVICES INC PA 2.02,9.01 07/25/12 CITRIX SYSTEMS INC DE 2.02,9.01 07/25/12 Clearwater Paper Corp DE 2.02,9.01 07/25/12 CNO Financial Group, Inc. DE 2.02,9.01 07/25/12 CODORUS VALLEY BANCORP INC PA 5.02 07/25/12 CommonWealth REIT MD 8.01,9.01 07/25/12 COMMUNITY HEALTH SYSTEMS INC DE 2.02,7.01,9.01 07/25/12 CONAGRA FOODS INC /DE/ DE 7.01 07/25/12 CONOCOPHILLIPS DE 2.02,9.01 07/25/12 Cooper Industries plc 2.02,9.01 07/25/12 CORNING INC /NY NY 2.02,9.01 06/30/12 CORNING INC /NY NY 2.02,7.01,9.01 06/30/12 AMEND CORPORATE PROPERTY ASSOCIATES 15 INC MD 8.01 07/23/12 COVANCE INC DE 2.02,9.01 07/25/12 CPM Holdings, Inc. 7.01 07/25/12 Crestwood Midstream Partners LP DE 1.01,7.01,9.01 07/25/12 Crocs, Inc. 2.02,9.01 07/25/12 CROSS A T CO RI 2.02 07/25/12 CULLEN/FROST BANKERS, INC. TX 2.02,9.01 07/25/12 Cyalume Technologies Holdings, Inc. DE 5.02,9.01 07/19/12 CYTEC INDUSTRIES INC/DE/ DE 2.01,9.01 07/20/12 CYTODYN INC CO 5.02,9.01 07/25/12 DELTA AIR LINES INC /DE/ DE 2.02,9.01 07/25/12 DELTIC TIMBER CORP DE 2.02,9.01 07/25/12 Demandware Inc DE 7.01 07/24/12 Destination Maternity Corp DE 8.01,9.01 07/19/12 DEX ONE Corp DE 2.02,7.01,9.01 07/25/12 DiamondRock Hospitality Co 2.02,9.01 07/25/12 DICE HOLDINGS, INC. DE 2.02,9.01 07/25/12 Digital Realty Trust, Inc. 2.02,7.01,9.01 07/25/12 DineEquity, Inc DE 1.01 07/25/12 Discover Card Execution Note Trust DE 8.01 07/25/12 DISCOVER CARD MASTER TRUST I DE 8.01 07/25/12 DOMINOS PIZZA INC 7.01,9.01 07/25/12 DOVER DOWNS GAMING & ENTERTAINMENT IN DE 7.01,9.01 07/25/12 DUPONT FABROS TECHNOLOGY, INC. MD 2.02,7.01,9.01 07/25/12 DYNEX CAPITAL INC VA 2.02,7.01 07/25/12 EAGLE ROCK ENERGY PARTNERS L P DE 7.01,8.01,9.01 07/24/12 EASTERN CO CT 2.02,7.01,9.01 07/25/12 ELECTRO SCIENTIFIC INDUSTRIES INC OR 2.02,9.01 07/25/12 Emergent BioSolutions Inc. DE 1.01 07/18/12 EMERSON ELECTRIC CO MO 7.01 07/25/12 ENCISION INC CO 2.02,9.01 07/25/12 EQUIFAX INC GA 2.02,9.01 07/25/12 EQUINIX INC DE 2.02,9.01 07/25/12 ETHAN ALLEN INTERIORS INC DE 2.02,9.01 07/25/12 Eureka Financial Corp. 2.02,9.01 07/24/12 EURONET WORLDWIDE INC DE 2.02,9.01 07/24/12 EVEREST RE GROUP LTD D0 2.02,9.01 07/25/12 EXACT SCIENCES CORP DE 2.02,9.01 07/25/12 EXAR CORP DE 2.02,9.01 07/25/12 Excel Trust, Inc. MD 1.01,2.03,9.01 07/20/12 EXTREME NETWORKS INC DE 8.01 07/23/12 FAIR ISAAC CORP DE 2.02,9.01 07/25/12 FAMOUS DAVES OF AMERICA INC MN 2.02,9.01 07/25/12 FAR EAST ENERGY CORP NV 2.03 07/19/12 FARMER BROTHERS CO CA 5.02 07/20/12 FARMER BROTHERS CO CA 5.02,9.01 06/15/12 AMEND FARMERS NATIONAL BANC CORP /OH/ OH 2.02,9.01 07/25/12 Federal Home Loan Bank of Dallas 2.03,9.01 07/19/12 FelCor Lodging Trust Inc MD 2.02,9.01 07/25/12 FERRO CORP OH 2.02,9.01 07/25/12 FINANCIAL INSTITUTIONS INC NY 2.02,9.01 07/25/12 FIRST BANCORP /NC/ NC 2.02,9.01 07/25/12 First Clover Leaf Financial Corp. MD 8.01,9.01 07/25/12 FIRST COMMONWEALTH FINANCIAL CORP /PA PA 2.02,7.01,9.01 07/24/12 First Connecticut Bancorp, Inc. MD 5.07 07/25/12 AMEND FIRST MIDWEST BANCORP INC DE 2.02,7.01,9.01 07/25/12 FIRSTBANK CORP MI 8.01,9.01 07/25/12 FIRSTBANK CORP MI 2.02,9.01 07/25/12 FLEXTRONICS INTERNATIONAL LTD. U0 2.02,9.01 07/25/12 FLUSHING FINANCIAL CORP DE 2.02,9.01 07/24/12 FMC TECHNOLOGIES INC DE 2.02,9.01 07/24/12 Ford Credit Auto Owner Trust 2012-C DE 8.01,9.01 07/25/12 FORD MOTOR CO DE 2.02,9.01 07/25/12 FORD MOTOR CREDIT CO LLC DE 2.02,9.01 07/25/12 FORRESTER RESEARCH INC DE 2.02,5.02,8.01,9.01 07/25/12 FORTINET INC 2.02,9.01 07/25/12 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 07/25/12 FX ENERGY INC NV 8.01,9.01 07/24/12 GALECTIN THERAPEUTICS INC NV 5.02,9.01 07/19/12 GENERAL DYNAMICS CORP DE 2.02,9.01 07/25/12 GENESCO INC TN 1.01,9.01 07/23/12 Georgia-Carolina Bancshares, Inc GA 2.02,9.01 07/25/12 Gevo, Inc. DE 2.03,8.01 07/24/12 GOLDMAN SACHS GROUP INC DE 9.01 07/25/12 GRACO INC MN 2.02,9.01 07/25/12 GREAT SOUTHERN BANCORP INC MD 2.02,9.01 07/24/12 GREATBATCH, INC. DE 2.02,9.01 07/25/12 GREATBATCH, INC. DE 2.05 07/20/12 AMEND Green Plains Renewable Energy, Inc. IA 2.02,9.01 07/25/12 GUIDED THERAPEUTICS INC DE 7.01,9.01 07/25/12 GULFMARK OFFSHORE INC DE 7.01,9.01 07/24/12 HANSEN MEDICAL INC DE 5.02,8.01 07/25/12 HARRIS CORP /DE/ DE 5.02,9.01 07/23/12 Health in Harmony, Inc. 5.01,5.02,8.01 06/28/12 HEALTHCARE TRUST OF AMERICA, INC. MD 8.01,9.01 07/25/12 HESS CORP DE 2.02,7.01,9.01 07/25/12 HOMEAWAY INC DE 2.02,9.01 07/25/12 Honda Auto Receivables 2012-3 Owner T DE 8.01,9.01 07/25/12 Honda Auto Receivables 2012-3 Owner T DE 1.01,9.01 07/25/12 HORACE MANN EDUCATORS CORP /DE/ DE 2.02,9.01 07/25/12 HOST HOTELS & RESORTS, INC. MD 1.01,2.03,9.01 07/25/12 HUDSON CITY BANCORP INC DE 5.02,9.01 07/24/12 HUDSON CITY BANCORP INC DE 2.02,9.01 07/25/12 Huron Consulting Group Inc. DE 2.02,9.01 07/25/12 IAC/INTERACTIVECORP DE 2.02,7.01 07/25/12 INFINITY PHARMACEUTICALS, INC. DE 5.02,9.01 07/23/12 INPHI Corp DE 2.02,9.01 07/25/12 InterDigital, Inc. PA 2.02,9.01 07/25/12 INTERMOUNTAIN COMMUNITY BANCORP ID 2.02,9.01 07/25/12 INTERSIL CORP/DE DE 2.02,7.01,9.01 07/25/12 IntraLinks Holdings, Inc. DE 5.02,5.07,9.01 07/19/12 Invesco Mortgage Capital Inc. MD 1.01,3.03,5.03,9.01 07/19/12 IPARTY CORP DE 2.02,9.01 07/25/12 ISLE OF CAPRI CASINOS INC DE 8.01,9.01 07/24/12 JETBLUE AIRWAYS CORP DE 2.02 07/24/12 JETBLUE AIRWAYS CORP DE 7.01,9.01 07/25/12 JMP Group Inc. DE 2.02,9.01 07/25/12 JONES GROUP INC PA 2.02,7.01,9.01 07/25/12 JWC Acquisition Corp. DE 8.01,9.01 07/25/12 KAISER ALUMINUM CORP DE 2.02,9.01 07/25/12 KB HOME DE 8.01,9.01 07/23/12 KBR, INC. DE 2.02,9.01 07/25/12 KBS Strategic Opportunity REIT, Inc. MD 1.01 07/25/12 KELLY SERVICES INC DE 8.01,9.01 07/24/12 KIT digital, Inc. DE 8.01,9.01 07/25/12 KNIGHT TRANSPORTATION INC AZ 2.02,9.01 07/25/12 LAKELAND FINANCIAL CORP IN 2.02,9.01 07/25/12 LAM RESEARCH CORP DE 2.02,9.01 07/25/12 LAS VEGAS SANDS CORP NV 2.02,9.01 07/25/12 LENNAR CORP /NEW/ DE 8.01 07/20/12 LEVEL 3 COMMUNICATIONS INC DE 2.02,9.01 07/25/12 LIBERTY STAR URANIUM & METALS CORP. NV 8.01,9.01 07/24/12 LIFEPOINT HOSPITALS, INC. 1.01,1.02,2.03,9.01 07/24/12 LILLY ELI & CO IN 2.02,9.01 07/25/12 Limoneira CO DE 8.01,9.01 07/25/12 LINEAR TECHNOLOGY CORP /CA/ DE 2.02,9.01 07/24/12 LITHIA MOTORS INC OR 2.02,7.01,8.01,9.01 07/25/12 LL&E ROYALTY TRUST TX 4.01,7.01,9.01 07/25/12 LogMeIn, Inc. DE 2.02,9.01 07/25/12 LORILLARD, INC. DE 2.02,9.01 07/25/12 LSI CORP DE 2.02,9.01 07/25/12 Lumber Liquidators Holdings, Inc. 2.02,9.01 07/25/12 MAINSOURCE FINANCIAL GROUP IN 2.02,8.01,9.01 07/25/12 MARINE PRODUCTS CORP DE 8.01,9.01 07/25/12 MARINE PRODUCTS CORP DE 2.02,9.01 07/25/12 MARKETAXESS HOLDINGS INC 2.02,8.01,9.01 07/25/12 Mastech Holdings, Inc. PA 2.02,9.01 07/25/12 MEADOWBROOK INSURANCE GROUP INC MI 7.01,8.01,9.01 07/19/12 MEADWESTVACO Corp DE 2.02,9.01 07/25/12 MEDICINES CO /DE DE 2.02,9.01 07/25/12 MERCHANTS BANCSHARES INC DE 2.02,9.01 07/23/12 Meritage Homes CORP MD 1.01,2.03,9.01 07/24/12 MID PENN BANCORP INC PA 2.02,8.01,9.01 07/25/12 MIDDLESEX WATER CO NJ 8.01,9.01 07/25/12 MINE SAFETY APPLIANCES CO PA 2.02,9.01 07/25/12 MISSION BROADCASTING INC DE 1.01,9.01 07/18/12 MKS INSTRUMENTS INC MA 2.02,9.01 07/25/12 MODINE MANUFACTURING CO WI 5.03,9.01 07/19/12 MOSAIC CO 5.03,9.01 07/19/12 Motorola Solutions, Inc. DE 2.02,8.01,9.01 07/25/12 MPG Office Trust, Inc. MD 2.02,7.01,9.01 07/23/12 AMEND MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 07/25/12 MULTIBAND CORP MN 8.01 07/25/12 AMEND MusclePharm Corp NV 3.01,5.02,8.01,9.01 07/19/12 MUTUALFIRST FINANCIAL INC MD 7.01,9.01 07/25/12 NABORS INDUSTRIES LTD D0 2.02,8.01,9.01 07/24/12 NASDAQ OMX GROUP, INC. DE 2.02,7.01,8.01,9.01 07/25/12 NATIONAL HOLDINGS CORP DE 1.01,5.02,9.01 07/25/12 NEOGEN CORP MI 2.02,9.01 07/24/12 NET TALK.COM, INC. FL 1.01,5.03,9.01 07/19/12 NEW YORK COMMUNITY BANCORP INC DE 2.02,7.01,9.01 07/25/12 NEWCASTLE INVESTMENT CORP MD 7.01,8.01,9.01 07/25/12 NEWMONT MINING CORP /DE/ DE 5.02,9.01 07/24/12 NEWS CORP 8.01,9.01 07/25/12 Nexeo Solutions Holdings, LLC DE 5.02 07/25/12 Nielsen Holdings N.V. P7 2.02,9.01 07/25/12 Noranda Aluminum Holding CORP DE 2.02,8.01,9.01 07/25/12 NORTHRIM BANCORP INC AK 2.02,9.01 07/24/12 NORTHROP GRUMMAN CORP /DE/ 2.02,9.01 07/24/12 NORTHWEST BIOTHERAPEUTICS INC DE 7.01,9.01 07/25/12 NORWOOD FINANCIAL CORP PA 2.02,9.01 07/25/12 NUPATHE INC. DE 5.02,7.01,9.01 07/25/12 NUVASIVE INC DE 2.02,9.01 07/25/12 Oaktree Capital Group, LLC DE 7.01 07/25/12 OCEANEERING INTERNATIONAL INC DE 2.02,8.01,9.01 07/25/12 OLD SECOND BANCORP INC DE 2.02,9.01 07/25/12 OMNICARE INC DE 2.02,9.01 07/25/12 ORIGINOIL INC NV 8.01,9.01 07/25/12 OSI RESTAURANT PARTNERS, LLC DE 7.01 07/25/12 OSI RESTAURANT PARTNERS, LLC DE 7.01,9.01 07/25/12 OWENS & MINOR INC/VA/ VA 7.01,9.01 07/24/12 OWENS ILLINOIS INC /DE/ DE 2.02,9.01 07/25/12 OXYGEN BIOTHERAPEUTICS, INC. DE 2.02,9.01 07/24/12 PACIFIC CAPITAL BANCORP /CA/ DE 2.02,9.01 07/25/12 PALOMAR MEDICAL TECHNOLOGIES INC DE 5.03,8.01,9.01 07/24/12 PARAMETRIC TECHNOLOGY CORP MA 2.02,9.01 07/25/12 PENN TREATY AMERICAN CORP PA 1.01,5.02 07/18/12 PENN VIRGINIA RESOURCE PARTNERS L P DE 2.02,7.01,9.01 07/25/12 PEOPLES FINANCIAL CORP /MS/ MS 2.02,9.01 07/25/12 PEPSICO INC NC 2.02,9.01 07/25/12 PETMED EXPRESS INC FL 8.01,9.01 07/23/12 PINNACLE AIRLINES CORP DE 7.01,9.01 07/24/12 PINNACLE ENTERTAINMENT INC. DE 2.02,9.01 07/25/12 PIPER JAFFRAY COMPANIES DE 2.02,2.05,7.01,9.01 07/25/12 Porter Bancorp, Inc. KY 5.02,9.01 07/19/12 POWER ONE INC DE 5.02,9.01 07/23/12 PRAXAIR INC DE 2.02,9.01 07/25/12 Premier Power Renewable Energy, Inc. DE 5.01 07/11/12 PREMIERWEST BANCORP OR 2.02,9.01 07/24/12 PRIVILEGED WORLD TRAVEL CLUB, INC. DE 5.03 07/19/12 PROVIDENT FINANCIAL HOLDINGS INC DE 8.01,9.01 07/24/12 QUESTAR CORP UT 2.02,9.01 07/25/12 QUIDEL CORP /DE/ DE 2.02,9.01 07/25/12 RADIOSHACK CORP DE 2.02,9.01 07/19/12 RAILAMERICA INC /DE DE 2.02,9.01 07/25/12 RAMCO GERSHENSON PROPERTIES TRUST MD 1.01,2.03,9.01 07/19/12 RAMCO GERSHENSON PROPERTIES TRUST MD 2.02,7.01,9.01 07/24/12 RANGE RESOURCES CORP DE 2.02,9.01 07/24/12 RED MOUNTAIN RESOURCES, INC. FL 1.01,9.01 07/19/12 REGENERON PHARMACEUTICALS INC NY 2.02,9.01 07/25/12 RELIV INTERNATIONAL INC DE 5.02 07/24/12 ROBERTS REALTY INVESTORS INC GA 1.01 07/23/12 Rock-Tenn CO GA 2.02,9.01 07/24/12 Rock-Tenn CO GA 8.01,9.01 07/24/12 Rockville Financial, Inc. /CT/ CT 2.02,9.01 07/25/12 ROCKWELL AUTOMATION INC DE 2.02,9.01 07/25/12 ROLLINS INC DE 8.01,9.01 07/24/12 ROLLINS INC DE 8.01,9.01 07/24/12 ROLLINS INC DE 2.02,9.01 07/25/12 RPC INC DE 8.01,9.01 07/25/12 RPC INC DE 2.02,9.01 07/25/12 RR Donnelley & Sons Co DE 7.01 07/25/12 RUBY TUESDAY INC GA 2.02,9.01 06/05/12 RURBAN FINANCIAL CORP OH 2.02,9.01 07/24/12 RYLAND GROUP INC MD 2.02,9.01 07/25/12 SANGAMO BIOSCIENCES INC DE 2.02,9.01 07/25/12 SAVIENT PHARMACEUTICALS INC DE 5.02 05/29/12 SEITEL INC DE 5.02,9.01 07/24/12 SELECTIVE INSURANCE GROUP INC NJ 2.02,7.01,9.01 07/25/12 Sensata Technologies Holding N.V. P7 2.02,9.01 07/25/12 SERVICE CORPORATION INTERNATIONAL TX 2.02,9.01 07/25/12 SHUTTERFLY INC DE 2.02,9.01 07/25/12 SI Financial Group, Inc. 2.02,9.01 07/25/12 SIGNATURE GROUP HOLDINGS, INC. NV 8.01 07/25/12 SILICON LABORATORIES INC DE 2.02,9.01 07/25/12 SKECHERS USA INC DE 2.02,9.01 07/25/12 SLM FUNDING LLC DE 9.01 07/25/12 SLM FUNDING LLC DE 1.01,9.01 07/24/12 SolarWinds, Inc. DE 2.02,9.01 07/25/12 SOLERA HOLDINGS, INC DE 1.01,9.01 07/19/12 SOUTHERN CO DE 2.02 07/25/12 SPARTON CORP OH 1.01,2.03,9.01 07/20/12 STANLEY BLACK & DECKER, INC. CT 8.01,9.01 07/23/12 STANLEY BLACK & DECKER, INC. CT 1.01,2.03,9.01 07/25/12 Station Casinos LLC NV 5.02 07/23/12 STEINER LEISURE Ltd C5 2.02,9.01 06/30/12 StellarOne CORP VA 8.01,9.01 07/25/12 Stereotaxis, Inc. DE 3.01 07/20/12 STERICYCLE INC DE 2.02,9.01 07/25/12 STILLWATER MINING CO /DE/ DE 7.01,9.01 07/25/12 SUN COMMUNITIES INC MD 9.01 07/19/12 SUSQUEHANNA BANCSHARES INC PA 2.02,9.01 07/25/12 SYMANTEC CORP DE 2.02,9.01 07/25/12 Symetra Financial CORP DE 2.02,9.01 07/25/12 Synacor, Inc. DE 2.02,9.01 07/25/12 SYNTHESIS ENERGY SYSTEMS INC DE 7.01,9.01 07/24/12 TAIWAN FUND INC DE 7.01,9.01 06/30/12 TAL International Group, Inc. DE 2.02,9.01 07/25/12 TC PIPELINES LP DE 2.02,9.01 07/25/12 TCF FINANCIAL CORP DE 2.02,7.01,9.01 07/25/12 TE Connectivity Ltd. V8 2.02,7.01,9.01 07/25/12 TE Connectivity Ltd. V8 5.07 07/25/12 TEREX CORP DE 2.02,7.01,9.01 07/25/12 TESLA MOTORS INC DE 2.02,9.01 07/25/12 TESSCO TECHNOLOGIES INC DE 2.02,7.01 07/24/12 TEXAS CAPITAL BANCSHARES INC/TX 2.02,9.01 07/25/12 TEXAS CAPITAL BANCSHARES INC/TX 8.01,9.01 07/25/12 Texas Gulf Energy Inc NV 1.01,2.01,3.02,7.01, 02/03/12 AMEND 9.01 THERMO FISHER SCIENTIFIC INC. DE 2.02,9.01 07/25/12 TIDELANDS BANCSHARES INC 5.02 07/23/12 TIDEWATER INC DE 7.01,9.01 07/19/12 TIDEWATER INC DE 5.07 07/19/12 TIMBERLAND BANCORP INC WA 2.02,9.01 07/24/12 TORCHMARK CORP DE 2.02,9.01 07/25/12 TRACTOR SUPPLY CO /DE/ DE 2.02,9.01 07/25/12 TRIG ACQUISITION 1, INC NV 1.01,3.02,5.02,9.01 04/03/12 TRIQUINT SEMICONDUCTOR INC DE 2.02,9.01 07/25/12 TrueBlue, Inc. WA 2.02,9.01 07/25/12 TUPPERWARE BRANDS CORP DE 2.02,9.01 07/25/12 TWO RIVERS WATER Co CO 4.02 07/24/12 UMB FINANCIAL CORP MO 2.02,8.01,9.01 07/24/12 UMPQUA HOLDINGS CORP OR 5.02,9.01 07/25/12 UNIT CORP DE 1.01,2.03,9.01 07/24/12 UNITED BANCSHARES INC/OH OH 2.02,7.01,9.01 07/25/12 UNITED STATES CELLULAR CORP DE 5.02,9.01 06/21/12 AMEND UNITY BANCORP INC /NJ/ NJ 2.02,9.01 07/24/12 UNIVEST CORP OF PENNSYLVANIA PA 2.02,9.01 07/25/12 URANIUM ENERGY CORP NV 7.01,9.01 07/25/12 US AIRWAYS GROUP INC DE 2.02,9.01 07/25/12 US AIRWAYS GROUP INC DE 7.01,9.01 07/25/12 USG CORP DE 2.02,9.01 07/25/12 VALMONT INDUSTRIES INC DE 2.02,9.01 07/24/11 VARIAN MEDICAL SYSTEMS INC DE 2.02,9.01 07/25/12 VISA INC. DE 2.02,9.01 07/25/12 W R GRACE & CO DE 2.02,9.01 07/25/12 WATSCO INC FL 2.02,7.01,9.01 07/25/12 WebMD Health Corp. DE 5.02 07/24/12 WebMD Health Corp. DE 5.02,5.07 07/24/12 WEBMEDIABRANDS INC. DE 2.02,9.01 07/25/12 WELLPOINT, INC IN 2.02,9.01 07/25/12 Wesco Aircraft Holdings, Inc 5.02,9.01 07/25/12 WEST BANCORPORATION INC IA 5.02,9.01 07/23/12 WESTERN DIGITAL CORP DE 5.02,7.01,9.01 07/25/12 WESTERN DIGITAL CORP DE 2.02,9.01 07/25/12 WESTFIELD FINANCIAL INC MA 2.02,9.01 07/25/12 WHITING PETROLEUM CORP DE 2.02,9.01 07/25/12 WHOLE FOODS MARKET INC TX 2.02,9.01 07/25/12 WINNER MEDICAL GROUP INC NV 1.01,8.01,9.01 07/24/12 World Surveillance Group Inc. DE 5.07 07/24/12 WYNDHAM WORLDWIDE CORP DE 2.02,9.01 07/25/12 ZALE CORP DE 7.01,9.01 07/24/12 ZOGENIX, INC. DE 9.01 07/24/12 AMEND ZYNGA INC DE 2.02,9.01 07/25/12 ZYNGA INC DE 5.01 07/25/12
http://www.sec.gov/news/digest/2012/dig072612.htm
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