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Commission announcementsIn the Matter of Star Entertainment Group, IncOn August 16, 2012, the Commission issued an Order of Suspension of Trading (Order) in the Matter of Star Entertainment Group, Inc. (Star Entertainment). The Order finds that there appears to be a lack of current and accurate information concerning the securities of Star Entertainment (ticker symbol SETY) because of questions regarding the accuracy of the company’s financial statements published with the OTC Markets Group Inc. Pursuant to Section 12(k) of the Securities Exchange Act, the Commission temporarily suspended trading in the securities of Star Entertainment for the period from 9:30 a.m. EDT, on August 16, 2012, through 11:59 p.m. EDT on August 29, 2012. (Rel. 34-67674 ) ENFORCEMENT PROCEEDINGSSEC Charges Oracle Corporation With FCPA Violations Related to Secret Side Funds in IndiaThe Securities and Exchange Commission today charged Oracle Corporation with violating the Foreign Corrupt Practices Act (FCPA) by failing to prevent a subsidiary from secretly setting aside money off the company’s books that was eventually used to make unauthorized payments to phony vendors in India. The SEC alleges that certain employees of the Indian subsidiary of the Redwood Shores, Calif.-based enterprise systems company structured transactions with India’s government on over a dozen occasions in a way that enabled Oracle India’s distributors to hold approximately $2.2 million of the proceeds in unauthorized side funds. Those Oracle India employees then directed the distributors to make payments out of these side funds to purported local vendors, several of which were merely storefronts that did not provide any services to Oracle. Oracle’s subsidiary documented certain payments with fake invoices. Oracle agreed to pay a $2 million penalty to settle the SEC’s charges. According to the SEC’s complaint filed in U.S. District Court for the Northern District of California, the misconduct at Oracle’s India subsidiary, Oracle India Private Limited, occurred from 2005 to 2007. Oracle India sold software licenses and services to India’s government through local distributors, and then had the distributors “park” excess funds from the sales outside Oracle India’s books and records. For example, according to the SEC’s complaint, Oracle India secured a $3.9 million deal with India’s Ministry of Information Technology and Communications in May 2006. As instructed by Oracle India’s then-sales director, only $2.1 million was sent to Oracle to record as revenue on the transaction, and the distributor kept $151,000 for services rendered. Certain other Oracle India employees further instructed the distributor to park the remaining $1.7 million for “marketing development purposes.” Two months later, one of those same Oracle India employees created and provided to the distributor eight invoices for payments to purported third-party vendors ranging from $110,000 to $396,000. In fact, none of these storefront-only third parties provided any services or were included on Oracle’s approved vendor list. The third-party payments created the risk that the funds could be used for illicit purposes such as bribery or embezzlement. The Commission’s complaint, filed in the federal district court for the Northern District of California, charges Oracle with violations of the FCPA’s books and records provisions and internal controls provisions. Oracle has consented to the entry of a final judgment permanently enjoining it from violating the FCPA’s books and records and internal controls provisions, and requiring it to pay a civil penalty. The settlement takes into account Oracle’s voluntary disclosure of the conduct in India and its cooperation with the SEC’s investigation, as well as remedial measures taken by the company, including firing the employees involved in the misconduct and making significant enhancements to its FCPA compliance program. [SEC v. Oracle Corp., Civil Action No. CV-12-4310 CRB (N.D.Cal.] (LR-22450) SEC Charges College Football Hall of Fame Coach in $80 Million Ponzi SchemeThe Securities and Exchange Commission today announced fraud charges against a former college football coach who teamed with an Ohio man to conduct an $80 million Ponzi scheme that included other college coaches and former players among its victims. The SEC alleges that Jim Donnan, a College Football Hall of Fame inductee who guided teams at Marshall University and the University of Georgia and later became a television commentator, conducted the fraud with his business partner Gregory Crabtree through a West Virginia-based company called GLC Limited. Donnan and Crabtree told investors that GLC was in the wholesale liquidation business and earning substantial profits by buying leftover merchandise from major retailers and reselling those discontinued, damaged, or returned products to discount retailers. They promised investors exorbitant rates of return ranging from 50 to 380 percent. However, only about $12 million of the $80 million raised from nearly 100 investors was actually used to purchase leftover merchandise, and the remaining funds were used to pay fake returns to earlier investors or stolen for other uses by Donnan and Crabtree. “Donnan and Crabtree convinced investors to pour millions of dollars into a purportedly unique and profitable business with huge potential and little risk,” said William P. Hicks, Associate Director of the SEC’s Atlanta Regional Office. “But they were merely pulling an old page out of the Ponzi scheme playbook, and the clock eventually ran out.” According to the SEC’s complaint filed in federal court in Atlanta, the scheme began in August 2007 and collapsed in October 2010. Donnan recruited the majority of investors by approaching contacts he made as a sports commentator and as a coach. For instance, he capitalized on his influence over one former player by telling him, “Your Daddy is going to take care of you” … “if you weren’t my son, I wouldn’t be doing this for you.” The player later invested $800,000. The SEC’s complaint alleges that Donnan touted GLC’s success and profitability and told investors that the company could enter into even more merchandise deals with more capital. Donnan and Crabtree offered and sold investments that were short-term (2 to 12 months) and purportedly high-yield, with returns paid to investors in monthly or quarterly installments or in a one-time payment. Donnan told investors their money was being used to purchase specific items of merchandise that was often presold, so there was little to no risk to investing in any deal. However, much of the merchandise that GLC actually purchased was merely left unsold and abandoned in warehouses in West Virginia and Ohio. The SEC alleges that Donnan typically assured investors that he was investing along with them in any merchandise deal that he offered. He touted that he and other prominent college football coaches had successfully and profitably invested in GLC. But by the time the scheme collapsed, Donnan had actually siphoned more than $7 million away from GLC, and Crabtree misappropriated approximately $1.08 million in investor funds. The SEC’s complaint charges Donnan, who lives in Athens, Ga., and Crabtree, who resides in Proctorville, Ohio, with violations of the antifraud and registration provisions of the federal securities laws. The complaint also names two of Donnan’s children and his son-in-law as relief defendants for the purpose of recovering illicit funds that Donnan steered to them. The SEC’s investigation was conducted in the Atlanta Regional Office by staff attorney Micheal D. Watson and Assistant Regional Director Stephen E. Donahue. The SEC’s litigation will be led by W. Shawn Murnahan. (Press Rel. 2012-157) ORDERS, NOTICES, AND INFORMATIONApplication for Registration as a National Securities ExchangeThe Commission has published for public comment Miami International Securities Exchange, LLC’s application (File No. 10-207) for registration as a national securities exchange under Section 6 of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of August 13. (Rel. 34-67660) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangeThe Fixed Income Clearing Corporation filed a proposed rule change (SR-FICC-2012-06) under Section 19(b)(1) of the Securities Exchange Act of 1934 to move the time at which the Mortgage-Backed Securities Division runs its daily morning pass. Publication in the Federal Register is expected during the week of August 13. (Rel. 34-67653) 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-3 GreenHunter Energy, Inc., 1048 TEXAN TRAIL, GRAPEVINE, TX, 76051, 972-410-1044 - 18,922,709 ($38,413,099.27) Other, 0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-183292 - Aug. 14) (BR. 06B) S-8 ANDAIN, INC., 350 S. CENTER STREET, SUITE 500, RENO, NV, 89501, 775-333-5997 - 5,730 ($500,000.00) Equity, (File 333-183293 - Aug. 14) (BR. 01B) S-8 VimpelCom Ltd., SOM 2 BLD., FLOOR 2, CLAUDE DEBUSSYLAAN 15, AMSTERDAM, P7, 1082 MC, 31 20 79 77 200 - 1,000,000 ($9,010,000.00) Other, (File 333-183294 - Aug. 14) (BR. 11C) S-1 SAFETY-KLEEN, INC, 5360 LEGACY DRIVE, BUILDING 2, SUITE 100, PLANO, TX, 75024, 972-265-2000 - 0 ($400,000,000.00) Equity, (File 333-183295 - Aug. 14) (BR. 06B) S-8 CYBEROPTICS CORP, 5900 GOLDEN HILLS DR, MINNEAPOLIS, MN, 55416, 6125425000 - 350,000 ($2,164,768.00) Equity, (File 333-183296 - Aug. 14) (BR. 10A) S-8 Start Scientific, Inc., 11650 SOUTH STATE STREET, SUITE 240, DRAPER, UT, 84020, 801-816-2560 - 20,000,000 ($8,000,000.00) Equity, (File 333-183297 - Aug. 14) (BR. 03A) S-8 CROWN CRAFTS INC, 916 SOUTH BURNSIDE AVENUE, GONZALES, LA, 70737, 225-647-9100 - 1,175,000 ($6,491,875.00) Equity, (File 333-183298 - Aug. 14) (BR. 02B) S-8 Galena Biopharma, Inc., 310 N. STATE STREET, SUITE 208, LAKE OSWEGO, OR, 97034, 855 855 GALE - 0 ($9,164,871.58) Equity, (File 333-183300 - Aug. 14) (BR. 01B) S-3 BIOMIMETIC THERAPEUTICS, INC., 389-A NICHOL MILL LANE, FRANKLIN, TN, 37067, 615 844 1280 - 0 ($150,000,000.00) Equity, (File 333-183308 - Aug. 14) (BR. 10A) S-1 Homie Recipes, Inc., 112 NORTH CURRY STREET, CARSON CITY, NV, 89703, 775-321-8225 - 4,000,000 ($100,000.00) Equity, (File 333-183310 - Aug. 14) (BR. ) S-8 INNERWORKINGS INC, 600 WEST CHICAGO, SUITE 750, CHICAGO, IL, 60610, 312-642-3700 - 900,000 ($10,858,500.00) Equity, (File 333-183311 - Aug. 14) (BR. 05B) S-8 GUIDED THERAPEUTICS INC, 4955 AVALON RIDGE PKWY, SUITE 300, NORCROSS, GA, 30071, 7702428723 - 5,000,000 ($4,225,000.00) Other, (File 333-183312 - Aug. 14) (BR. 10A) S-3 EnteroMedics Inc, 2800 Patton Rd, St Paul, MN, 55113, 0 ($75,000,000.00) Unallocated (Universal) Shelf, (File 333-183313 - Aug. 14) (BR. 10A) 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
ACACIA RESEARCH CORP DE 8.01 08/13/12
ACCELR8 TECHNOLOGY CORP CO 5.02,9.01 08/15/12
ACE Ltd V8 5.03,9.01 08/09/12
ADCARE HEALTH SYSTEMS INC OH 1.01,9.01 08/09/12
ADMA BIOLOGICS, INC. DE 2.02,9.01 08/14/12
ADVANCED MICRO DEVICES INC DE 1.01,2.03,8.01,9.01 08/15/12
AFC ENTERPRISES INC MN 2.02,9.01 08/15/12
AG Mortgage Investment Trust, Inc. MD 8.01,9.01 08/10/12
AGILENT TECHNOLOGIES INC DE 2.02,9.01 08/15/12
AIRGAS INC DE 5.02,5.07,9.01 08/14/12
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 08/15/12
Allied World Assurance Co Holdings, A 7.01,9.01 08/15/12
Ally Financial Inc. DE 5.07,9.01 08/15/12
ALPHA & OMEGA SEMICONDUCTOR Ltd 5.02 08/09/12
AMBIENT CORP /NY DE 2.02,4.02,9.01 08/14/12
AMBIENT CORP /NY DE 3.01,9.01 08/15/12
AMERICAN EXPRESS CO NY 7.01 08/15/12
AMERICAN EXPRESS CREDIT ACCOUNT MASTE DE 8.01,9.01 08/14/12
AMERICAN LITHIUM MINERALS, INC. 5.02 08/13/12
AMERICAN POWER GROUP Corp DE 2.02,9.01 08/15/12
AMERICAN REALTY INVESTORS INC NV 2.02,9.01 08/14/12
AMERICAN SPECTRUM REALTY INC MD 2.02,9.01 08/14/12
AMREP CORP. OK 1.01,2.03 08/13/12
APPLIED MATERIALS INC /DE DC 2.02,9.01 08/15/12
ARBITRON INC DE 7.01,9.01 08/15/12
ASSOCIATED MATERIALS, LLC DE 8.01 08/15/12
AUBURN NATIONAL BANCORPORATION, INC DE 8.01,9.01 08/14/12
AUTOBYTEL INC DE 1.01 08/09/12
Avantair, Inc DE 5.02,9.01 08/13/12
AVAYA INC DE 5.02,9.01 08/15/12
AVIAT NETWORKS, INC. DE 2.02,7.01,9.01 08/15/12
AXION INTERNATIONAL HOLDINGS, INC. CO 4.02,7.01,9.01 08/13/12
AZZ INC TX 5.02 08/10/12
BALL CORP IN 2.05,9.01 08/15/12
Biopower Operations Corp NV 5.02 08/15/12
Blackstone Group L.P. DE 8.01 08/14/12
BOLDFACE GROUP, INC. NV 5.03 08/14/12
Bridgepoint Education Inc DE 8.01 08/14/12
BROADCAST INTERNATIONAL INC UT 1.01,2.03,3.02 08/15/12
CABELAS INC DE 7.01,9.01 08/15/12
CACI INTERNATIONAL INC /DE/ DE 2.02,7.01,9.01 08/15/12
CAESARS ENTERTAINMENT Corp DE 7.01,9.01 08/15/12
CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 08/14/12
CARROLS RESTAURANT GROUP, INC. 9.01 05/29/12 AMEND
CASEYS GENERAL STORES INC IA 7.01 08/15/12
CATALYST PHARMACEUTICAL PARTNERS, INC DE 8.01,9.01 08/15/12
CENTRAL FEDERAL CORP DE 2.02,9.01 08/15/12
CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 08/15/12
CHICAGO RIVET & MACHINE CO IL 2.02,9.01 08/10/12
China Green Agriculture, Inc. NV 5.02,9.01 08/09/12
CHINA SHEN ZHOU MINING & RESOURCES, I NV 5.03,5.07,9.01 08/09/12
CIENA CORP DE 1.01,2.03 08/13/12
CIMAREX ENERGY CO DE 7.01,9.01 08/14/12
CISCO SYSTEMS, INC. CA 2.02 08/15/12
Citi Trends Inc 2.02,9.01 08/15/12
Cleantech Solutions International, In DE 2.02,7.01,9.01 08/14/12
CLIFTON SAVINGS BANCORP INC 5.07,8.01,9.01 08/09/12
CNB FINANCIAL CORP/PA PA 8.01 08/14/12
CNL LIFESTYLE PROPERTIES INC MD 2.02,9.01 08/15/12
COINSTAR INC DE 8.01,9.01 08/06/12
Coleman Cable, Inc. DE 1.01,9.01 08/13/12
COLUMBIA SPORTSWEAR CO OR 5.02 08/15/12
COMFORT SYSTEMS USA INC 7.01,9.01 08/15/12
CONTINENTAL MATERIALS CORP DE 2.02,9.01 08/15/12
CORE MEDICAL GROUP, INC. FL 4.01 08/15/12
CORNING NATURAL GAS CORP NY 1.01,9.01 08/15/12
CORNING NATURAL GAS CORP NY 7.01 08/15/12
CORTEX PHARMACEUTICALS INC/DE/ DE 2.02,9.01 08/15/12
CPS TECHNOLOGIES CORP/DE/ DE 2.02 06/30/12
CRC Health CORP DE 2.02,9.01 08/15/12
Cyalume Technologies Holdings, Inc. DE 2.02,9.01 08/09/12
CYCLONE POWER TECHNOLOGIES INC FL 2.02,9.01 08/15/12
DAYSTAR TECHNOLOGIES INC DE 5.02,9.01 08/14/12
DAYSTAR TECHNOLOGIES INC DE 8.01,9.01 08/14/12
DEERE & CO DE 2.02,7.01,8.01,9.01 08/15/12
DEERE JOHN CAPITAL CORP DE 2.02,7.01,8.01,9.01 08/15/12
DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 08/15/12
Digital Domain Media Group, Inc. FL 1.01,9.01 08/14/12
Digital Domain Media Group, Inc. FL 1.01,9.01 08/14/12
Digital Domain Media Group, Inc. FL 2.02,9.01 08/14/12
DLH Holdings Corp. NJ 2.02,9.01 08/15/12
DYNAVAX TECHNOLOGIES CORP DE 1.01,5.02 08/13/12
DYNEGY INC. DE 8.01,9.01 08/14/12
Ecologic Transportation, Inc. 1.01,2.01,3.01,5.01, 03/15/12 AMEND
5.02,9.01
EDGAR ONLINE INC DE 1.02,2.01,3.01,3.03, 08/14/12
5.01,5.02,5.03,5.07,
9.01
Electromed, Inc. 5.03,9.01 08/10/12
ELECTRONIC SYSTEMS TECHNOLOGY INC WA 8.01,9.01 08/15/12
ELLIE MAE INC DE 5.02 08/09/12
EMPIRE RESOURCES INC /NEW/ DE 2.02,9.01 08/14/12
EMTEC INC/NJ UT 5.02,9.01 08/10/12
ENDOLOGIX INC /DE/ DE 4.01 08/09/12
Enservco Corp DE 2.02,9.01 08/13/12
EPOLIN INC /NJ/ NJ 3.03,5.01,5.02,5.03, 08/13/12
9.01
ESSEX PROPERTY TRUST INC MD 1.01,2.03,9.01 08/15/12
EXOPACK HOLDING CORP 5.02 08/14/12
FEDERAL MOGUL CORP DE 4.01,9.01 08/09/12
First Connecticut Bancorp, Inc. MD 5.07 08/15/12
FIRST NATIONAL CORP /VA/ VA 8.01 08/15/12
FLEXSTEEL INDUSTRIES INC MN 2.02,9.01 08/14/12
FLUIDIGM CORP DE 8.01,9.01 08/15/12
Flux Power Holdings, Inc. NV 4.01,9.01 08/09/12
FNB CORP/FL/ FL 8.01 08/15/12
FOCUS GOLD Corp 5.02 08/09/12
FOREST OIL CORP NY 7.01,9.01 08/15/12
Forestar Group Inc. DE 5.02 08/13/12
FRONTIER COMMUNICATIONS CORP DE 1.01,2.03,9.01 08/15/12
FSP 303 East Wacker Drive Corp. 7.01,9.01 08/15/12
FSP 50 South Tenth Street Corp 7.01,9.01 08/15/12
FSP GALLERIA NORTH CORP 7.01,9.01 08/15/12
FSP PHOENIX TOWER CORP 7.01,9.01 08/15/12
GALLAGHER ARTHUR J & CO DE 8.01,9.01 08/15/12
GENERAL EMPLOYMENT ENTERPRISES INC IL 2.02,9.01 08/14/12
General Finance CORP DE 8.01,9.01 08/14/12
General Growth Properties, Inc. DE 8.01,9.01 08/15/12
GeoMet, Inc. DE 8.01,9.01 08/13/12
GeoMet, Inc. DE 2.02,9.01 08/15/12
GigOptix, Inc. DE 5.02,9.01 08/10/12
GLOBAL CASINOS INC UT 3.02 07/25/12 AMEND
GLOBAL GREEN INC. FL 7.01,8.01,9.01 08/15/12
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 08/10/12
Graystone Co DE 8.01 08/14/12
Green Plains Renewable Energy, Inc. IA 5.03,5.05,9.01 08/14/12
GREIF INC DE 8.01,9.01 08/15/12
Griffin Capital Net Lease REIT, Inc. 7.01,9.01 08/15/12
GRYPHON GOLD CORP NV 7.01,9.01 08/15/12
GUIDED THERAPEUTICS INC DE 2.02,7.01,9.01 08/15/12
Hallwood Group Inc DE 2.02,9.01 08/14/12
HAMPSHIRE GROUP LTD DE 2.02,5.02,9.01 08/10/12
HAWTHORN BANCSHARES, INC. MO 2.02,9.01 08/14/12
HEMISPHERX BIOPHARMA INC DE 1.01,9.01 08/14/12
HILLS BANCORPORATION IA 4.01,9.01 08/15/12
HOME BANCSHARES INC 1.01,7.01,9.01 08/14/12
HOT TOPIC INC /CA/ CA 2.02,9.01 08/15/12
ICAD INC DE 5.03,9.01 08/15/12
IF Bancorp, Inc. MD 8.01 08/15/12
IGI LABORATORIES, INC DE 5.02,9.01 08/14/12
INCOME OPPORTUNITY REALTY INVESTORS I NV 2.02,9.01 08/14/12
INDEPENDENCE TAX CREDIT PLUS LP IV DE 8.01,9.01 08/15/12
INDEPENDENT BANK CORP MA 8.01,9.01 08/14/12
INDEPENDENT BANK CORP /MI/ MI 2.05 08/15/12
INFORMATION ARCHITECTS CORP NC 2.01,9.01 08/14/12
INFORMATION ARCHITECTS CORP NC 5.02 08/14/12
Infusion Brands International, Inc. NV 1.01,9.01 08/10/12
INSIGNIA SYSTEMS INC/MN MN 5.02,9.01 08/14/12
INTEGRAL VISION INC MI 8.01 08/15/12
INTEGRATED ELECTRICAL SERVICES INC DE 2.02,5.02,9.01 08/14/12
Intellicell Biosciences, Inc. NV 7.01,9.01 08/14/12
Interactive Brokers Group, Inc. DE 4.02 08/14/12
INTL FCSTONE INC. DE 1.01,9.01 08/10/12
Intrepid Potash, Inc. DE 7.01,9.01 08/15/12
ITERIS, INC. DE 8.01 08/09/12
KEYW HOLDING CORP MD 5.07 08/15/12
KID BRANDS, INC NJ 1.01,1.02,2.03,9.01 08/13/12
KIMCO REALTY CORP MD 8.01,9.01 08/15/12
KINDER MORGAN ENERGY PARTNERS L P DE 2.01,7.01,9.01 08/13/12
KINDER MORGAN, INC. DE 1.01,2.01,5.02,9.01 08/09/12
KINGSTONE COMPANIES, INC. DE 2.02,5.07,9.01 08/09/12
KRONOS WORLDWIDE INC 7.01,9.01 08/14/12
LAKELAND FINANCIAL CORP IN 5.02 08/14/12
Landmark Apartment Trust of America, 5.05,9.01 08/09/12
Landmark Apartment Trust of America, 5.07 06/26/12 AMEND
LEAR CORP DE 8.01,9.01 08/15/12
Leatt Corp NV 1.01,2.02,7.01,9.01 08/15/12
LEGGETT & PLATT INC MO 1.01,2.03,9.01 08/15/12
LEHMAN ABS CORP GOLDMAN SACHS NOTE-BK DE 8.01,9.01 08/01/12
Leo Motors, Inc. 4.01 08/14/12
LIBERATOR MEDICAL HOLDINGS, INC. NV 2.02,7.01,9.01 08/14/12
LifeCare Holdings, Inc. DE 2.02,7.01,9.01 08/14/12
LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 08/15/12
LITHIUM TECHNOLOGY CORP DE 1.01,9.01 08/13/12 AMEND
Live Nation Entertainment, Inc. DE 8.01 08/14/12
LKA INTERNATIONAL INC /DE/ DE 1.01,9.01 08/14/12
LOCAL.COM DE 7.01,9.01 08/15/12
MACKINAC FINANCIAL CORP /MI/ MI 1.01,5.02,8.01,9.01 08/10/12
MAINSTREET BANKSHARES INC VA 5.02 08/15/12
MASTERCARD INC DE 8.01 08/09/12
Matador Resources Co TX 2.02,7.01,9.01 08/14/12
Maxray Optical Technology Co. Ltd. DE 5.02 07/31/12
MEDIACOM BROADBAND LLC DE 8.01,9.01 08/14/12
MEDIACOM BROADBAND LLC DE 8.01,9.01 08/15/12
MEDICIS PHARMACEUTICAL CORP DE 8.01 08/08/12
Medytox Solutions, Inc. NV 1.01,2.03,5.03 07/06/12
METLIFE INC DE 8.01,9.01 08/15/12
MF Global Holdings Ltd. DE 7.01,9.01 08/14/12
MIPS TECHNOLOGIES INC DE 2.02,9.01 08/15/12
MMRGlobal, Inc. DE 2.02,9.01 08/14/12
MOSAIC CO 5.02 08/13/12
MOTRICITY INC DE 8.01,9.01 08/15/12
MSB FINANCIAL CORP. X1 2.02,9.01 08/15/12
N-VIRO INTERNATIONAL CORP DE 1.01,9.01 08/15/12
NATIONAL PENN BANCSHARES INC PA 7.01,9.01 08/15/12
NATURALLY ADVANCED TECHNOLOGIES INC A1 8.01,9.01 08/13/12
NELNET INC NE 8.01 08/15/12
NeoStem, Inc. DE 2.02,8.01,9.01 08/14/12
NetApp, Inc. CA 2.02,9.01 08/15/12
New Concept Energy, Inc. NV 2.02,9.01 08/14/12
NEW PEOPLES BANKSHARES INC VA 8.01,9.01 08/14/12
NEWS CORP 8.01,9.01 08/15/12
NEXTERA ENERGY INC FL 8.01,9.01 08/15/12
NGP Capital Resources Co MD 7.01,9.01 08/15/12
Niska Gas Storage Partners LLC DE 7.01,9.01 08/15/12
NOBLE ENERGY INC DE 2.01,9.01 08/13/12
NORD RESOURCES CORP DE 8.01,9.01 08/14/12
NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 07/31/12
NorthStar Real Estate Income Trust, I MD 8.01 08/10/12
OAK RIDGE MICRO-ENERGY INC CO 8.01 08/15/12
Oculus Innovative Sciences, Inc. CA 1.01,9.01 08/09/12
OLD POINT FINANCIAL CORP VA 7.01,9.01 08/15/12
OLIN CORP VA 7.01,9.01 08/15/12
OMEGA HEALTHCARE INVESTORS INC MD 7.01,9.01 08/15/12
ONCOR ELECTRIC DELIVERY TRANSITION BO 8.01 08/09/12
OxySure Systems Inc 2.02,9.01 08/14/12
Patriot Minefinders Inc. NV 7.01,9.01 08/14/12
PC MALL INC DE 1.02 08/15/12
PCS EDVENTURES COM INC ID 5.02 08/03/12
PENSKE AUTOMOTIVE GROUP, INC. DE 8.01,9.01 08/14/12
PETSMART INC DE 2.02,9.01 08/15/12
PFSWEB INC DE 8.01 08/09/12
PHARMACYCLICS INC DE 5.02,9.01 08/09/12
PHOTRONICS INC CT 2.02,9.01 08/14/12
PHYSICIANS FORMULA HOLDINGS, INC. DE 1.01,8.01,9.01 08/14/12
PILGRIMS PRIDE CORP DE 7.01 08/14/12
Pinnacle Foods Finance LLC DE 7.01 08/15/12
Polonia Bancorp 1.01,9.01 08/10/12
Polonia Bancorp Inc MD 1.01,9.01 08/10/12
POLYMER GROUP INC DE 2.02,9.01 08/13/12
PREFERRED APARTMENT COMMUNITIES INC MD 5.02 08/14/12
PREFORMED LINE PRODUCTS CO OH 1.01,9.01 08/14/12
PREMIER FINANCIAL BANCORP INC KY 2.02,9.01 08/13/12
Premier Power Renewable Energy, Inc. DE 5.02 08/13/12
PROGRESS ENERGY INC NC 7.01,9.01 06/30/12
PROGRESSIVE CORP/OH/ OH 7.01,9.01 08/15/12
PROGUARD ACQUISITION CORP FL 2.02,7.01,9.01 08/14/12
PROTECTIVE LIFE CORP DE 7.01,9.01 08/15/12
PYRAMID OIL CO CA 2.02,9.01 08/14/12
QUANTUM CORP /DE/ DE 5.07 08/15/12
QUIDEL CORP /DE/ DE 1.01,2.03,9.01 08/10/12
RAYMOND JAMES FINANCIAL INC FL 9.01 04/02/12 AMEND
RDA Holding Co. 7.01 08/15/12
REINSURANCE GROUP OF AMERICA INC MO 1.01,8.01,9.01 08/14/12
REMEC LIQUIDATING TRUST CA 8.01 08/09/12
ROCKWELL MEDICAL, INC. MI 1.01,9.01 08/14/12
Rosetta Resources Inc. DE 7.01,9.01 08/14/12
RXi Pharmaceuticals Corp DE 2.01,9.01 08/15/12
S&T BANCORP INC PA 2.01 08/13/12
Santa Fe Gold CORP DE 8.01,9.01 08/15/12
Santander Drive Auto Receivables Trus DE 1.01,9.01 08/15/12
SANTARUS INC DE 8.01 08/15/12
SCIENTIFIC GAMES CORP DE 8.01,9.01 08/15/12
SCIENTIFIC LEARNING CORP DE 5.02,9.01 08/09/12
SENESCO TECHNOLOGIES INC DE 8.01,9.01 08/13/12
SHADES HOLDINGS, INC. FL 8.01 08/14/12
SHARPS COMPLIANCE CORP DE 2.02,9.01 08/15/12
SHELRON GROUP INC DE 1.01,9.01 08/09/12
Shoshone Silver/Gold Mining Co ID 7.01,9.01 08/15/12
SIGNATURE GROUP HOLDINGS, INC. NV 5.02 08/08/12
SignPath Pharma, Inc. DE 9.01 08/14/12
Silver Dragon Resources Inc. DE 7.01,9.01 08/15/12
SINGLE TOUCH SYSTEMS INC DE 5.07 08/09/12
SL INDUSTRIES INC NJ 2.02,9.01 08/14/12
SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 8.01,9.01 08/14/12
SPARTAN STORES INC MI 5.07,7.01,9.01 08/15/12
STAG Industrial, Inc. 1.01,9.01 08/10/12
STAPLES INC DE 2.02,9.01 08/15/12
Station Casinos LLC NV 2.02,9.01 08/15/12
Steel Excel Inc. DE 2.01,9.01 05/31/12 AMEND
STEEL PARTNERS HOLDINGS L.P. DE 9.01 05/31/12 AMEND
STERIS CORP OH 2.01,9.01 08/15/12
STERLING FINANCIAL CORP /WA/ WA 1.01,9.01 08/14/12
Susser Holdings CORP DE 5.02 08/13/12
SVB FINANCIAL GROUP 7.01,9.01 08/15/12
TARGET CORP MN 2.02,9.01 08/15/12
TESSERA TECHNOLOGIES INC DE 5.02,7.01,9.01 08/14/12
THERMOENERGY CORP DE 1.01,3.02,9.01 08/09/12
THERMOENERGY CORP DE 1.01,3.02,9.01 07/11/12 AMEND
THT Heat Transfer Technology, Inc. NV 2.02,7.01,9.01 08/14/12
TIAA REAL ESTATE ACCOUNT NY 2.02,7.01,9.01 08/15/12
TNP Strategic Retail Trust, Inc. MD 7.01,9.01 08/15/12
TOFUTTI BRANDS INC DE 2.02,9.01 08/14/12
TRANS1 INC 2.02,9.01 08/09/12
TRANSCONTINENTAL REALTY INVESTORS INC NV 2.02,9.01 08/14/12
Transocean Ltd. V8 7.01,9.01 08/15/12
TrovaGene Inc. DE 2.02,9.01 08/15/12
Trunkbow International Holdings Ltd NV 2.02,9.01 08/14/12
ULURU INC. NV 2.02,9.01 08/15/12
Uni-Pixel DE 5.07 08/15/12
UNIGENE LABORATORIES INC DE 1.01,7.01,9.01 08/15/12
United Development Funding IV MD 8.01 08/15/12
UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 08/13/12
UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 08/15/12
UNWIRED PLANET, INC. DE 2.02,9.01 08/15/12
UQM TECHNOLOGIES INC CO 1.02 08/14/12
USA TRUCK INC DE 8.01 08/06/12
VALUEVISION MEDIA INC MN 2.02,9.01 08/15/12
VANGUARD ENERGY GROUP, INC. FL 4.01,9.01 08/15/12
Verastem, Inc. DE 2.02,9.01 08/13/12
Vertex Energy Inc. 9.01 08/14/12
VIASPACE Inc. 2.02,9.01 08/15/12
VIROPRO INC NV 1.02,5.02,9.01 08/15/12
Walter Energy, Inc. DE 1.04 08/13/12
WINECOM INC. 5.02 08/15/12 AMEND
Winthrop Realty Trust OH 1.01,8.01,9.01 08/15/12
WORTHINGTON ENERGY, INC. NV 5.02,9.01 08/13/12
WORTHINGTON INDUSTRIES INC OH 1.01,2.03,8.01,9.01 08/10/12
ZaZa Energy Corp DE 5.02,8.01,9.01 08/13/12
http://www.sec.gov/news/digest/2012/dig081612.htm
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