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ENFORCEMENT PROCEEDINGSIn the Matter of Peter SirisThe United States Securities and Exchange Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing against Peter Siris. In the Order, the Division of Enforcement (Division) alleges that on September 18, 2012, the District Court enjoined Siris by consent from future violations of Sections 5 and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, Rule 105 of Regulation M, and Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder, in the civil action entitled Securities and Exchange Commission v. Siris, et al., Civil Action Number 12-CV-5810 (S.D.N.Y.). Siris, 68, of New York, New York, is the managing director of Guerrilla Capital Management, LLC, an investment adviser to two funds that Siris manages, Guerrilla Partners, LP and Hua Mei 21st Century Partners, LP. The Division alleges that the Commission’s complaint before the District Court alleged the following: from at least 2007 until 2010, Siris violated numerous federal securities laws in connection with his dealings with Chinese reverse merger companies. It alleged that, relating to China Yingxia International, Inc., a company with which Siris maintained a consulting relationship, Siris engaged in illegal insider trading in its securities shortly before the company collapsed; acted as an unregistered securities broker by raising over $2 million for China Yingxia in exchange for transaction-based compensation; sold unregistered securities of China Yingxia that one of his firms received through an end-run around registration provisions of the federal securities laws; and made material misrepresentations and omissions to investors in his funds concerning his dealings with China Yingxia. The complaint further alleged that in advance of ten confidential securities offerings, after agreeing to go “over-the-wall,” Siris engaged in repeated insider trading in breach of his duty to keep certain information confidential and not trade on such information; committed fraud in a securities purchase agreement by falsely representing that his funds had not engaged in any trading after being contacted about a deal, when in fact his funds had effected short sales in that issuer’s securities; and violated short-selling restrictions of Rule 105 of Regulation M. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Siris an opportunity to dispute the allegations, and to determine what, if any, remedial action is appropriate and in the public interest. The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. For more information about this matter, please see Litigation Release No. 22430 / July 30, 2012. (Rel. 34-67949; IA-3481; File No. 3-15057) In the Matter of Stars To Go, Inc.An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default (Default Order) in Stars To Go, Inc., Administrative Proceeding File No. 3-15007. The Order Instituting Proceedings alleged that Stars To Go, Inc., repeatedly failed to file timely periodic reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of the company’s registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-67950; File No. 3-15007) SEC Charges Three for Their Roles in Manipulating the Market for Sunrise Solar Corporation StockOn September 28, 2012, the Securities and Exchange Commission charged Texas-based Sunrise Solar Corporation, its former CEO Eddie D. Austin, Jr. (Austin), and his wife Carolyn Austin for their involvement in a fraudulent market manipulation scheme. The SEC’s Complaint alleges that between July 25, 2008 and May 26, 2009, Austin drafted, reviewed, and approved numerous false and misleading press releases that portrayed Sunrise as a thriving business operating in the solar power industry. Among other things, these press releases represented that the company had received contracts and was in advanced negotiations to provide solar power to numerous international businesses that, if completed, would generate millions in revenue. The Complaint alleges that these representations were false. In addition, the Complaint alleges that Sunrise filed, and Austin certified, two annual reports that failed to disclose Austin’s recent bankruptcy filing. Finally, the Complaint alleges that Carolyn Austin received and sold 300,000 shares of Sunrise stock in transactions that should have been registered with the Commission, receiving $174,471 in improper proceeds. The SEC charges Sunrise with violating Sections 10(b) and 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5, 12b-20, 13a-1, and 13a-11 thereunder. It further alleges that Austin violated, or aided and abetted violations of, Sections 10(b), 13(a), and 16(a) of the Exchange Act and Rules 12b-20, 13a-1, 13a-11, 13a-14, 16a-2, and 16a-3 thereunder; and that Carolyn Austin violated Sections 5(a) and 5(c) of the Securities Act of 1933 (Securities Act). Without admitting or denying the SEC’s allegations, both Austins have consented to entry of final judgments permanently enjoining them from these violations. In addition, Austin is barred from acting as an officer or director of a public company and from participating in an offering of penny stock, and must pay a $40,000 civil penalty. Carolyn Austin must pay disgorgement of $174,471, plus prejudgment interest of $22,982. The settlements are subject to the Court’s approval. [SEC v. Sunrise Solar Corporation, Eddie D. Austin, Jr., and Carolyn Austin, Civil Action No. 5:12-cv-00918-OLG (W.D. Tx.)] (LR-22501) Former IndyMac CEO Agrees to Settle in SEC LitigationThe U.S. Securities and Exchange Commission today announced that on Sept. 28, 2012, the United States District Court for the Central District of California entered a settled final judgment as to Michael W. Perry, the former Chief Executive Officer and Chairman of the Board of IndyMac Bancorp, Inc. IndyMac, through its main subsidiary, IndyMac Bank, primarily made, purchased, and sold residential mortgage loans. In July 2008, IndyMac Bank was placed under Federal Deposit Insurance Corporation receivership and IndyMac filed for bankruptcy. The Commission’s complaint alleges that IndyMac and Perry, in connection with IndyMac’s first quarter 2008 Forms 10-Q and 8-K and related earnings call, all dated May 12, 2008, failed to disclose that IndyMac Bank had only been able to maintain its well-capitalized regulatory status by retroactively including in IndyMac’s first quarter capital balance an $18 million capital contribution from IndyMac to IndyMac Bank, even though it was made on May 9, 2008, over five weeks after the end of the first quarter. Without admitting or denying the allegations in the complaint, Perry consented to the entry of the Final Judgment permanently enjoining him from future violations of Section 17(a)(3) of the Securities Act of 1933, and ordering him to pay a civil penalty in the amount of $80,000. [SEC v. Michael W. Perry et al., Civil Action No. CV 11-1309 R (JCx) (C.D. Cal.)] (LR-22502) INVESTMENT COMPANY ACT RELEASESPACE Select Advisors TrustUBS Global Asset Management (Americas) Inc.A notice has been issued giving interested persons until October 22, 2012 to request a hearing on an application filed by PACE Select Advisors Trust and UBS Global Asset Management (Americas) Inc. 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. The requested order would supersede two prior orders. (Rel. IC-30224 - September 27) Notice of Applications for Deregistration under the Investment Company Act of 1940For the month of September 2012, a notice has been issued giving interested persons until October 23, 2012, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act of 1940 declaring that the applicant has ceased to be an investment company:
(Rel. IC-30225 - September 28) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the fees schedule (SR-CBOE-2012-080) 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 October 1. (Rel. 34-67946) Accelerated Approval of Proposed Rule ChangeThe Commission issued notice of filing of Amendments No. 1 and granted accelerated approval of proposed rule changes as modified by Amendments No. 1 (SR-NYSEArca-2012-64; SR-ISE-2012-58) submitted by NYSE Arca, Inc. and the International Securities Exchange, LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to list and trade option contracts overlying 10 shares of certain securities. Publication is expected in the Federal Register during the week of October 1. (Rel. 34-67948) 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 ISHARES DIVERSIFIED ALTERNATIVES TRUST, 400 HOWARD STREET, SAN FRANCISCO, CA, 94105, (415) 597-2000 - 0 ($1.00) Equity, (File 333-184143 - Sep. 28) (BR. 08B) S-8 ADT Corp, 1501 YAMATO ROAD, BOCA RATON, FL, 33431, 561-988-3600 - 0 ($711,800,000.00) Equity, (File 333-184144 - Sep. 28) (BR. 11A) S-3ASR NBCUniversal Media, LLC, 30 ROCKEFELLER PLAZA, NEW YORK, NY, 10112, 2126644444 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184145 - Sep. 28) (BR. 11C) F-3ASR ROYAL BANK OF SCOTLAND GROUP PLC, GOGARBURN, PO BOX 1000, EDINBURGH, SCOTLAND, X0, EH12 1HQ, 441315568555 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184147 - Sep. 28) (BR. 12A) S-3ASR PENTAIR INC, 5500 WAYZATA BLVD., SUITE 800, GOLDEN VALLEY, MN, 55416, 763-545-1730 - 0 ($109,675,000.00) Equity, (File 333-184149 - Sep. 28) (BR. 10B) S-8 PENTAIR INC, 5500 WAYZATA BLVD., SUITE 800, GOLDEN VALLEY, MN, 55416, 763-545-1730 - 0 ($242,041,177.00) Equity, (File 333-184150 - Sep. 28) (BR. 10B) S-8 PENTAIR INC, 5500 WAYZATA BLVD., SUITE 800, GOLDEN VALLEY, MN, 55416, 763-545-1730 - 0 ($460,635,000.00) Equity, (File 333-184151 - Sep. 28) (BR. 10B) S-8 PENTAIR INC, 5500 WAYZATA BLVD., SUITE 800, GOLDEN VALLEY, MN, 55416, 763-545-1730 - 0 ($147,851,454.00) Equity, (File 333-184152 - Sep. 28) (BR. 10B) S-4 BNC BANCORP, 1226 EASTCHESTER DRIVE, HIGH POINT, NC, 27265, 3364769200 - 3,276,266 ($20,536,364.00) Equity, (File 333-184154 - Sep. 28) (BR. 07C) S-8 MANTECH INTERNATIONAL CORP, 12015 LEE JACKSON MEMORIAL HIGHWAY, FAIRFAX, VA, 22033-3300, 703-218-6000 - 0 ($72,969,561.00) Equity, (File 333-184155 - Sep. 28) (BR. 08C) S-8 WASTE MANAGEMENT INC, 1001 FANNIN STREET, STE 4000, HOUSTON, TX, 77002, 7135126200 - 0 ($113,085,000.00) Equity, (File 333-184156 - Sep. 28) (BR. 06A) S-3ASR WASTE MANAGEMENT INC, 1001 FANNIN STREET, STE 4000, HOUSTON, TX, 77002, 7135126200 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184157 - Sep. 28) (BR. 06A) S-8 BOYD GAMING CORP, 3883 HOWARD HUGHES PARKWAY, NINTH FLOOR, LAS VEGAS, NV, 89169, 7027927200 - 4,000,000 ($27,080,000.00) Equity, (File 333-184158 - Sep. 28) (BR. 08B) S-3 REPROS THERAPEUTICS INC., 2408 TIMBERLOCH PL, SUITE B-7, WOODLANDS, TX, 77380, 2817193400 - 2,145,636 ($32,463,473.00) Equity, (File 333-184159 - Sep. 28) (BR. 01B) S-3ASR AMERICAN EQUITY INVESTMENT LIFE HOLDING CO, 5000 WESTOWN PARKWAY, SUITE 440, WEST DEMOINES, IA, 50266, 5152210002 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184162 - Sep. 28) (BR. 01A) S-3 BSD MEDICAL CORP, 2188 W 2200 SOUTH, SALT LAKE CITY, UT, 84119, 8019725555 - 0 ($31,664,908.00) Debt, (File 333-184164 - Sep. 28) (BR. 10A) S-8 NABORS INDUSTRIES LTD, MINTFLOWER PLACE, 8 PAR-LA-VILLE ROAD, HAMILTON, HM08, D0, 0000, 2464219471 - 1,556,000 ($24,211,360.00) Equity, (File 333-184165 - Sep. 28) (BR. 04B) S-3 ORRSTOWN FINANCIAL SERVICES INC, 77 E KING STREET, P O BOX 250, SHIPPENSBURG, PA, 17257, 7175326114 - 80,000,000 ($80,000,000.00) Unallocated (Universal) Shelf, (File 333-184166 - Sep. 28) (BR. 07C) S-8 SPHERIX INC, 6430 ROCKLEDGE DRIVE, #503, BETHESDA, MD, 20817, 301-897-2540 - 0 ($222,000.00) Equity, (File 333-184170 - Sep. 28) (BR. 09B) S-4 SANDRIDGE ENERGY INC, 123 ROBERT S. KERR AVENUE, OKLAHOMA CITY, OK, 73102-6406, 405-429-5500 - 0 ($750,000,000.00) Debt, (File 333-184171 - Sep. 28) (BR. 04A) S-4 SANDRIDGE ENERGY INC, 123 ROBERT S. KERR AVENUE, OKLAHOMA CITY, OK, 73102-6406, 405-429-5500 - 0 ($1,100,000,000.00) Debt, (File 333-184172 - Sep. 28) (BR. 04A) S-3 NAVIDEA BIOPHARMACEUTICALS, INC., 425 METRO PLACE NORTH, SUITE 300, DUBLIN, OH, 43017, 6147937500 - 300,000 ($915,000.00) Equity, (File 333-184173 - Sep. 28) (BR. 01B) S-3 FIRST FEDERAL BANCSHARES OF ARKANSAS INC, 1401 HWY 62-65 NORTH, PO BOX 550, HARRISON, AR, 72602, 8707417641 - 500,000 ($4,935,000.00) Equity, (File 333-184174 - Sep. 28) (BR. 07C) S-3 URANIUM RESOURCES INC /DE/, 405 STATE HIGHWAY BYPASS 121, BUILDING A, SUITE 110, LEWISVILLE, TX, 75067, 9722193330 - 0 ($27,088,297.00) Equity, (File 333-184175 - Sep. 28) (BR. 09A) S-8 NEOGEN CORP, 620 LESHER PLACE, LANSING, MI, 48912, 5173729200 - 0 ($75,258,750.00) Equity, (File 333-184176 - Sep. 28) (BR. 01B) S-4 BON TON STORES INC, 2801 E MARKET ST, YORK, PA, 17402-2406, 7177577660 - 0 ($329,998,000.00) Debt, (File 333-184177 - Sep. 28) (BR. 02A) S-8 KRAFT FOODS INC, THREE LAKES DRIVE, NORTHFIELD, IL, 60093, 8476462000 - 0 ($6,912,214,400.00) Equity, (File 333-184178 - Sep. 28) (BR. 04A) S-8 OMNICOMM SYSTEMS INC, 2555 DAVIE ROAD, SUITE 110-B, FORT LAUDERDALE, FL, 33317, 954-473-1254 - 7,500,000 ($1,254,825.00) Equity, (File 333-184179 - Sep. 28) (BR. 02A) S-8 Kraft Foods Group, Inc., THREE LAKES DRIVE, NORTHFIELD, IL, 60093, 847-646-2000 - 0 ($1,337,375,040.00) Equity, (File 333-184180 - Sep. 28) (BR. 04A) S-8 EnteroMedics Inc, 2800 Patton Rd, St Paul, MN, 55113, 0 ($31,440,000.00) Equity, (File 333-184181 - Sep. 28) (BR. 10A) N-2 FIRST TRUST SENIOR FLOATING RATE INCOME FUND II, 120 EAST LIBERTY DRIVE, SUITE 400, WHEATON, IL, 60187, 630-765-8000 - 1,000 ($15,600.00) Equity, (File 333-184182 - Sep. 28) (BR. 18) F-10 Sprott Physical Gold Trust, STE. 2700, SOUTH TOWER, ROYAL BANK PLAZA, 200 BAY STREET, TORONTO, A6, M5J 2J1, 416-362-7172 - 0 ($3,000,000,000.00) Equity, (File 333-184183 - Sep. 28) (BR. 08) S-3 INFINITY PHARMACEUTICALS, INC., 780 MEMORIAL DRIVE, CAMBRIDGE, MA, 02139, 6174531000 - 0 ($268,745,941.00) Equity, (File 333-184184 - Sep. 28) (BR. 01A) S-8 USA TECHNOLOGIES INC, 100 DEERFIELD LANE, SUITE 140, MALVERN, PA, 19355, 6109890340 - 0 ($645,000.00) Equity, (File 333-184185 - Sep. 28) (BR. 03B) S-8 LIONS GATE ENTERTAINMENT CORP /CN/, 2700 COLORADO AVENUE, SUITE 200, SANTA MONICA, CA, 90404, 877-848-3866 - 0 ($270,618,903.00) Equity, (File 333-184186 - Sep. 28) (BR. 05B) S-1 PUMA BIOTECHNOLOGY, INC., 10880 WILSHIRE BLVD., SUITE 2150, LOS ANGELES, CA, 90024, (424) 248-6500 - 0 ($86,250,000.00) Equity, (File 333-184187 - Sep. 28) (BR. 01A) S-8 SOUTHERN MISSOURI BANCORP INC, 531 VINE ST, POPLAR BLUFF, MO, 63901, 5737851421 - 66,000 ($1,568,325.00) Equity, (File 333-184188 - Sep. 28) (BR. 07B) S-8 PLANAR SYSTEMS INC, 1195 NW COMPTON DRIVE, BEAVERTON, OR, 97006-1992, 5036901100 - 0 ($2,261,000.00) Equity, (File 333-184189 - Sep. 28) (BR. 10B) S-3 ORASURE TECHNOLOGIES INC, 150 WEBSTER ST, BETHLEHEM, PA, 18015, 5036416115 - 0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-184190 - Sep. 28) (BR. 10B) S-3 VISTA GOLD CORP, 7961 SHAFFER PKWY, LITTLETON, CO, 80127, 720-981-1185 - 8,297,101 ($29,975,258.10) Equity, (File 333-184191 - Sep. 28) (BR. 09A) S-3 YOU ON DEMAND HOLDINGS, INC., 27 UNION SQUARE, WEST, SUITE 502, NEW YORK, NY, 10003, 212-206-1216 - 0 ($7,210,725.00) Equity, (File 333-184192 - Sep. 28) (BR. 11A) F-3ASR DEUTSCHE BANK AKTIENGESELLSCHAFT, TAUNUSANLAGE 12 60325, FRANKFURT AM MAIN GERMANY, I8, 00000, 011496991000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184193 - Sep. 28) (BR. 12A) N-2 Stellus Capital Investment Corp, 10000 MEMORIAL DRIVE, SUITE 500, HOUSTON, TX, 77024, (713) 292-5400 - 0 ($138,000,000.00) Equity, (File 333-184195 - Sep. 28) (BR. 16) S-8 GLOBUS MEDICAL INC, 2560 GENERAL ARMISTEAD AVENUE, AUDUBON, PA, 19403, 610-930-1800 - 10,476,029 ($86,694,461.84) Equity, (File 333-184196 - Sep. 28) (BR. 10A) S-4 SCBT FINANCIAL CORP, 520 GERVAIS STREET, COLUMBIA, SC, 29201, 803-231-3581 - 0 ($71,632,408.00) Equity, (File 333-184197 - Sep. 28) (BR. 07B) S-3ASR MCDONALDS CORP, ONE MCDONALD'S PLAZA, OAK BROOK, IL, 60523, 630 623 3000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184198 - Sep. 28) (BR. 05B) S-1 Singulex Inc, 1650 HARBOR BAY PARKWAY, SUITE 200, ALAMEDA, CA, 94502, 510-995-9000 - 0 ($86,250,000.00) Equity, (File 333-184199 - Sep. 28) (BR. 09) 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. NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- ACACIA RESEARCH CORP DE 8.01 09/27/12
ACCELERATED ACQUISITIONS XX DE 1.01,5.01,5.02,9.01 09/28/12 AMEND
ACE Ltd V8 5.03,9.01 09/28/12
ACL SEMICONDUCTORS INC 1.01,2.01,8.01,9.01 09/28/12
ADTRAN INC DE 2.02,9.01 09/27/12
AIR LEASE CORP DE 8.01,9.01 09/28/12
AIR METHODS CORP DE 5.02,7.01,9.01 09/24/12
AMERICAN GREETINGS CORP OH 2.02,9.01 09/28/12
American Realty Capital Trust III, In MD 8.01,9.01 09/28/12
AMERICAN REALTY INVESTORS INC NV 8.01 11/14/11
AMERIGAS PARTNERS LP DE 5.02 09/24/12
AMERIGROUP CORP 8.01 09/28/12
Anacor Pharmaceuticals Inc DE 2.03,3.02 09/26/12
ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 09/28/12
ARC Group Worldwide, Inc. UT 2.01,9.01 08/08/12 AMEND
ARCHER DANIELS MIDLAND CO DE 8.01,9.01 09/27/12
ARIBA INC DE 8.01,9.01 09/27/12
Astex Pharmaceuticals, Inc DE 8.01,9.01 09/28/12
ASTROTECH Corp \WA\ WA 2.02,9.01 09/28/12
ATLAS PIPELINE PARTNERS LP DE 1.01,2.03,9.01 09/25/12
AtriCure, Inc. DE 1.01,2.03,9.01 09/26/12
ATWOOD OCEANICS INC TX 5.02,7.01,9.01 09/28/12
Augme Technologies, Inc. DE 1.01,8.01,9.01 09/28/12
Augme Technologies, Inc. DE 1.01,2.02,2.03,3.02, 09/25/12 AMEND
5.02,8.01,9.01
AUTHENTIDATE HOLDING CORP DE 1.01,2.03,3.02,9.01 09/24/12
AUTHENTIDATE HOLDING CORP DE 2.02,9.01 09/28/12
AUTOZONE INC NV 8.01,9.01 09/28/12
Avantair, Inc DE 2.02,9.01 09/28/12
AZZ INC TX 2.02,8.01,9.01 09/28/12
BANK OF AMERICA CORP /DE/ DE 8.01,9.01 09/28/12
BAZI INTERNATIONAL, INC. NV 8.01,9.01 09/27/12
BFC FINANCIAL CORP FL 8.01 09/27/12 AMEND
BGC Partners, Inc. DE 7.01,9.01 09/27/12
BIGLARI HOLDINGS INC. IN 1.01,1.02,2.03,9.01 09/25/12
BIOTIME INC CA 7.01,9.01 09/28/12
BIOZONE PHARMACEUTICALS, INC. NV 2.02,4.02 09/26/12
Black Diamond, Inc. DE 1.01,9.01 09/24/12
BLACK HILLS CORP /SD/ SD 2.01,8.01 09/28/12
BLUE RIDGE REAL ESTATE CO PA 4.02 09/24/12
BOK FINANCIAL CORP ET AL OK 5.02 09/28/12
BreitBurn Energy Partners L.P. DE 1.01,2.03,7.01,9.01 09/24/12
Bridgepoint Education Inc DE 8.01,9.01 09/28/12
Calpian, Inc. TX 2.01,9.01 09/24/12
CAM Group, Inc. NV 5.02,9.01 09/28/12
CAPITOL CITY BANCSHARES INC GA 4.02,9.01 08/10/12
CARRIAGE SERVICES INC DE 5.02 09/26/12
CARVER BANCORP INC DE 5.07,8.01,9.01 09/27/12
CASELLA WASTE SYSTEMS INC DE 1.01,8.01,9.01 09/28/12
CASH AMERICA INTERNATIONAL INC TX 2.05,9.01 09/24/12
CATERPILLAR INC DE 8.01 09/28/12
CBL & ASSOCIATES PROPERTIES INC DE 1.01,9.01 09/28/12
CELL THERAPEUTICS INC WA 2.02,7.01,9.01 09/28/12
CENTERLINE HOLDING CO DE 1.01,9.01 09/25/12
CENTURY PROPERTIES FUND XIX CA 1.01,9.01 09/25/12
CHIPOTLE MEXICAN GRILL INC 5.02 09/25/12
CHUBB CORP NJ 1.01,1.02,2.03 09/24/12
CINCINNATI FINANCIAL CORP OH 5.02,7.01,9.01 09/24/12
CMG HOLDINGS GROUP, INC. NV 5.02,9.01 09/27/12
COMMUNITY BANCORP /VT VT 8.01,9.01 09/25/12
CORINTHIAN COLLEGES INC 5.02,9.01 09/24/12
CORNERSTONE BANCSHARES INC TN 1.02 08/17/12 AMEND
CORNERSTONE THERAPEUTICS INC DE 5.02 09/24/12
CORPORATE OFFICE PROPERTIES TRUST MD 2.05,2.06,7.01 09/24/12
CORTS TRUST FOR WEYERHAEUSER DEBENTUR DE 8.01 09/24/12
Coyote Resources, Inc. NV 1.01,2.03,9.01 09/26/12
CRANE CO /DE/ DE 5.02 09/24/12
CROWN CASTLE INTERNATIONAL CORP DE 7.01,9.01 09/28/12
CSS INDUSTRIES INC DE 5.02,5.03,9.01 09/25/12
DAEGIS INC. DE 5.07 09/28/12
DATARAM CORP NJ 5.07 09/27/12
DELTA AIR LINES INC /DE/ DE 7.01 09/28/12
Digital Domain Media Group, Inc. FL 1.01,1.03,2.01,9.01 09/23/12
DISCOUNT DENTAL MATERIALS, INC. NV 1.01,3.02,9.01 09/27/12
Discover Card Execution Note Trust DE 8.01 09/27/12
Diversified Restaurant Holdings, Inc. NV 1.01,2.01,9.01 09/25/12
DOLLAR TREE INC VA 7.01 09/28/12
DOUBLE EAGLE PETROLEUM CO MD 5.03,9.01 09/24/12
DTS, INC. DE 2.01,9.01 07/18/12 AMEND
DYNACQ HEALTHCARE INC NV 3.01 09/25/12
EASTMAN KODAK CO NJ 2.05 09/28/12
EASTMAN KODAK CO NJ 7.01,9.01 09/27/12
ECOLOCAP SOLUTIONS INC. NV 5.02 09/10/12
ECOLOGY COATINGS, INC. NV 8.01 09/28/12
EDGEWATER TECHNOLOGY INC/DE/ DE 5.02,8.01,9.01 09/26/12
EMMAUS LIFE SCIENCES, INC. DE 5.02,5.07,9.01 09/24/12
EMPIRE DISTRICT ELECTRIC CO KS 8.01 09/28/12
ENDO HEALTH SOLUTIONS INC. DE 5.02,9.01 09/27/12
Enertopia Corp. NV 1.01,3.02,7.01,9.01 09/28/12
EnteroMedics Inc 5.02,5.07,9.01 09/27/12
ENTERPRISE PRODUCTS PARTNERS L P DE 7.01,8.01,9.01 09/25/12
ENTRAVISION COMMUNICATIONS CORP DE 5.02,9.01 09/28/12
ePunk, Inc. NV 1.01,2.03,9.01 09/25/12
ESSA Bancorp, Inc. PA 7.01,9.01 09/26/12
FARMER BROTHERS CO CA 5.02,9.01 09/24/12
FARMERS NATIONAL BANC CORP /OH/ OH 8.01,9.01 09/28/12
Federal Home Loan Bank of Topeka 5.03,9.01 09/28/12
Feihe International Inc UT 5.02,9.01 09/27/12
FINISH LINE INC /IN/ IN 2.02,8.01,9.01 09/28/12
FIRST CAPITAL INC IN 8.01,9.01 09/25/12
First Clover Leaf Financial Corp. MD 8.01,9.01 09/25/12
FIRST COMMUNITY FINANCIAL CORP PA 8.01,9.01 09/28/12
FIRST INTERSTATE BANCSYSTEM INC MT 8.01,9.01 09/28/12
FIRST SECURITY GROUP INC/TN TN 3.01 09/25/12
Ford Credit Auto Lease Trust 2012-B DE 1.01,8.01,9.01 09/26/12
Forestar Group Inc. DE 2.01,2.03,8.01,9.01 09/26/12
Forestar Petroleum Corp DE 1.02,2.01,3.01,3.03, 09/25/12
5.01,5.02,5.03,5.07,
9.01
Fortress International Group, Inc. DE 5.02,9.01 09/26/12
Freedom Environmental Services, Inc. DE 1.03,4.01 09/27/12
Gas Natural Inc. OH 8.01,9.01 09/27/12
GAYLORD ENTERTAINMENT CO /DE DE 5.02,5.07,8.01,9.01 09/25/12
GELTOLOGY INC DE 5.03 09/28/12
GENERAL EMPLOYMENT ENTERPRISES INC IL 2.04,5.01 08/28/12 AMEND
GENETHERA INC FL 8.01 09/28/12
Genie Energy Ltd. DE 7.01,9.01 09/28/12
GENUINE PARTS CO GA 7.01,9.01 09/28/12
GERON CORP DE 5.02 09/26/12
GMS Capital Corp. FL 5.01 09/28/12
GRAMERCY CAPITAL CORP MD 2.02,7.01,9.01 09/27/12
GRAPHITE CORP NV 5.02,7.01,9.01 09/21/12
GREENWAY MEDICAL TECHNOLOGIES INC 5.02,9.01 09/24/12
GT Advanced Technologies Inc. DE 1.01,2.03,3.02,9.01 09/24/12
H&R BLOCK INC MO 8.01 09/28/12
HAMPSHIRE GROUP LTD DE 7.01,9.01 09/28/12
HICKORY TECH CORP MN 5.02 09/28/12
HMS INCOME FUND, INC. MD 8.01,9.01 09/28/12
HOME LOAN SERVICING SOLUTIONS, LTD. E9 2.01,9.01 09/28/12
Hyatt Hotels Corp DE 5.03,9.01 09/27/12
HYPERION THERAPEUTICS INC DE 2.03,9.01 09/26/12
IAC/INTERACTIVECORP DE 2.01,9.01 09/24/12
IDENIX PHARMACEUTICALS INC DE 1.01,1.02,9.01 09/25/12
IMAGING3 INC CA 8.01 05/14/12
IMMERSION CORP DE 5.02 09/24/12
INSMED INC VA 1.01,8.01,9.01 09/28/12
INTEST CORP DE 3.01 09/27/12
Investors Bancorp Inc DE 8.01,9.01 09/25/12
Iridium Communications Inc. DE 1.01,3.02,8.01,9.01 09/24/12
ISHARES DIVERSIFIED ALTERNATIVES TRUS DE 8.01 09/28/12
IsoRay, Inc. MN 2.02,9.01 09/28/12
JA Energy NV 5.02 09/24/12
JACKSONVILLE BANCORP INC /FL/ FL 1.01,3.02,5.03,9.01 09/27/12
JEWETT CAMERON TRADING CO LTD OR 8.01,9.01 09/28/12
Jones Lang LaSalle Income Property Tr MD 1.01,5.02,5.03,8.01, 09/27/12
9.01
KEYW HOLDING CORP MD 1.01,7.01,9.01 09/24/12
KIT digital, Inc. DE 5.02 09/24/12
LEARNING TREE INTERNATIONAL INC DE 5.02,7.01,9.01 09/24/12
Lender Processing Services, Inc. DE 8.01,9.01 09/27/12
Li3 Energy, Inc. NV 8.01 09/24/12
Lux Digital Pictures, Inc. 5.03,9.01 09/28/12
Luxeyard, Inc. DE 8.01 09/24/12
Macquarie Leasing Pty Ltd C3 8.01,9.01 09/28/12
Maidenform Brands, Inc. DE 5.02 09/28/12
MAM SOFTWARE GROUP, INC. DE 8.01,9.01 09/25/12
MANITOWOC CO INC WI 1.01,9.01 09/26/12
MATERIAL SCIENCES CORP DE 8.01,9.01 09/28/12
MCDONALDS CORP DE 8.01 09/28/12
McEwen Mining Inc. CO 7.01,9.01 09/27/12
Medley Capital Corp DE 1.01,9.01 09/25/12
MEI Pharma, Inc. DE 3.01,5.03,5.07 09/25/12
MID PENN BANCORP INC PA 3.02,3.03,5.03,9.01 09/26/12
MILLER ENERGY RESOURCES, INC. TN 1.01,3.03,5.03,8.01, 09/28/12
9.01
Morris Business Development Co CA 1.01 09/27/12
MOTORCAR PARTS AMERICA INC NY 2.02,9.01 09/28/12
Movie Trailer Galaxy, Inc. NV 1.01,5.01,5.02,9.01 09/27/12
MVC CAPITAL, INC. DE 5.02,9.01 09/27/12
NAKED BRAND GROUP INC. NV 3.02 09/24/12
National American University Holdings DE 8.01 09/27/12
NATIONAL MENTOR HOLDINGS, INC. DE 7.01 09/28/12
Nationstar Mortgage Holdings Inc. DE 1.01,2.03,9.01 09/25/12
Naugatuck Valley Financial Corp 5.02 09/24/12
NAVARRE CORP /MN/ MN 1.01,3.02,8.01,9.01 09/27/12
NB Manufacturing, Inc. NV 1.01,3.02,8.01,9.01 09/28/12
Neogenix Oncology Inc MD 1.01,2.01,9.01 09/20/12
NEULION, INC. 1.01,3.02,9.01 09/25/12
New Enterprise Stone & Lime Co., Inc. DE 2.02,7.01,9.01 09/28/12
NEWS CORP 8.01,9.01 09/28/12
NEWS CORP 3.03,9.01 09/28/12
NEXTERA ENERGY INC FL 2.03 09/27/12
NGP Capital Resources Co MD 1.01,2.03,3.01,5.02, 09/25/12
9.01
NVR INC VA 5.02 09/25/12
OHIO LEGACY CORP OH 3.01,8.01,9.01 09/28/12
OLD LINE BANCSHARES INC MD 5.02,9.01 09/26/12
OMEROS CORP WA 5.02,9.01 09/26/12
OMEROS CORP WA 1.01,1.02,9.01 09/27/12
Onstream Media CORP FL 5.07 09/28/12
OPEN TEXT CORP A6 5.02,5.07,9.01 09/27/12 AMEND
ORION ENERGY SYSTEMS, INC. WI 5.02,7.01,9.01 09/27/12
OSIRIS THERAPEUTICS, INC. DE 1.02 09/27/12
OYO GEOSPACE CORP DE 8.01 09/28/12
PACIFIC FINANCIAL CORP WA 7.01 09/25/12
PACIFIC MERCANTILE BANCORP CA 5.02,7.01,9.01 09/24/12
Panacea Global, Inc. NV 7.01,9.01 09/26/12
PATTERSON UTI ENERGY INC DE 1.01,1.02,2.03,9.01 09/27/12
Pazoo, Inc. 3.02,7.01,9.01 09/28/12
PDC ENERGY, INC. NV 7.01,9.01 09/28/12
PERCEPTRON INC/MI MI 8.01,9.01 09/27/12
PG&E Corp CA 8.01 09/26/12
Pharma-Bio Serv, Inc. 5.02 09/25/12
PINNACLE WEST CAPITAL CORP AZ 7.01,9.01 09/28/12
Polonia Bancorp 8.01,9.01 09/28/12
Polonia Bancorp Inc MD 8.01,9.01 09/28/12
POSITIVEID Corp DE 5.02 09/28/12
POW! ENTERTAINMENT, INC. DE 7.01,9.01 09/28/12
Precision Aerospace Components, Inc. 8.01 09/28/12
PRIVATEBANCORP, INC DE 7.01,9.01 09/28/12
PROGENICS PHARMACEUTICALS INC DE 8.01,9.01 09/28/12
ProIndia International, Inc. DE 5.03,9.01 09/24/12
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 09/28/12
Puramed Bioscience Inc. MN 2.06,4.02 09/24/12
QUEST SOFTWARE INC CA 2.01,3.01,3.03,5.01, 09/27/12
5.02,5.03,9.01
QUESTCOR PHARMACEUTICALS INC CA 7.01,9.01 09/28/12
RAYMOND JAMES FINANCIAL INC FL 7.01 09/28/12
Real Goods Solar, Inc. CO 3.01 09/26/12
Realogy Holdings Corp. DE 8.01,9.01 09/27/12
RETRACTABLE TECHNOLOGIES INC TX 8.01,9.01 09/28/12
RICHFIELD OIL & GAS Co NV 3.02 09/21/12
Rouse Properties, Inc. DE 5.02,9.01 09/25/12
ROYAL BANCSHARES OF PENNSYLVANIA INC PA 5.02 09/24/12
SAVE THE WORLD AIR INC NV 5.07,8.01 09/21/12
SBA COMMUNICATIONS CORP FL 1.01,2.03,9.01 09/28/12
Seagate Technology plc L2 7.01 09/28/12
SEARS HOLDINGS CORP DE 8.01,9.01 09/27/12
SEARS HOLDINGS CORP DE 5.02,9.01 09/26/12
Seven Arts Entertainment Inc. NV 5.02,9.01 09/17/12
SGS International, Inc. DE 8.01,9.01 09/28/12
Shire plc 8.01,9.01 09/28/12
SINCLAIR BROADCAST GROUP INC MD 8.01,9.01 09/27/12
Sino Clean Energy Inc NV 3.01,4.02,9.01 09/21/12
SM Energy Co DE 7.01,9.01 09/28/12
SMTC CORP DE 8.01,9.01 09/28/12
SPHERIX INC DE 3.01 09/28/12
SPHERIX INC DE 9.01 09/21/12 AMEND
SPIRIT REALTY CAPITAL, INC. MD 1.01,5.03,8.01,9.01 09/24/12
SSI Investments II Ltd L2 1.01,2.03 09/28/12
STEEL DYNAMICS INC IN 1.02 09/28/12
STEMCELLS INC DE 8.01,9.01 09/27/12
STRATEGIC HOTELS & RESORTS, INC 5.02,9.01 09/27/12
Sucampo Pharmaceuticals, Inc. 7.01,9.01 09/28/12
SUNOCO INC PA 8.01 09/28/12
Susser Holdings CORP DE 1.01,2.01,2.03,9.01 09/25/12
TagLikeMe Corp. NV 5.02,9.01 09/26/12
TECO ENERGY INC FL 1.01,8.01,9.01 09/27/12
THOR INDUSTRIES INC DE 2.02,9.01 09/26/12
Transocean Ltd. V8 5.02,9.01 09/27/12
TRICO BANCSHARES / CA 8.01,9.01 09/26/12
Trio Merger Corp. DE 2.03,3.02 09/26/12
TurkPower Corp DE 3.02,5.02 09/24/12
UNILENS VISION INC 8.01,9.01 09/28/12
UNION DRILLING INC DE 1.01,9.01 09/24/12
UNIT CORP DE 8.01,9.01 09/28/12
United Community Bancorp X1 8.01,9.01 09/27/12
United States 12 Month Natural Gas Fu 7.01,9.01 09/28/12
United States 12 Month Oil Fund, LP 7.01,9.01 09/28/12
UNITED STATES ANTIMONY CORP MT 8.01 09/28/12
United States Brent Oil Fund, LP DE 7.01,9.01 09/28/12
United States Commodity Index Funds T DE 7.01,9.01 09/28/12
United States Diesel-Heating Oil Fund DE 7.01,9.01 09/28/12
United States Gasoline Fund, LP DE 7.01,9.01 09/28/12
United States Natural Gas Fund, LP 7.01,9.01 09/28/12
United States Oil Fund, LP DE 7.01,9.01 09/28/12
United States Short Oil Fund, LP DE 7.01,9.01 09/28/12
UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 09/28/12
USA Synthetic Fuel Corp DE 1.01,2.01,3.02,5.02, 09/24/12
8.01,9.01
USG CORP DE 5.02 09/27/12
VAIL RESORTS INC DE 8.01 09/27/12
Verisk Analytics, Inc. DE 1.01,9.01 09/28/12
VIASAT INC DE 8.01,9.01 09/27/12
VISTA GOLD CORP B0 8.01,9.01 09/28/12
Voyager Oil & Gas, Inc. MT 8.01,9.01 09/27/12
WALGREEN CO IL 2.02,7.01,9.01 09/28/12
Warner Music Group Corp. DE 5.02,9.01 09/24/12
WASHINGTON FEDERAL INC WA 5.02,9.01 09/28/12
WASHINGTON POST CO DE 8.01 09/27/12
WELLS FARGO & COMPANY/MN DE 9.01 09/28/12
Wells Fargo Commercial Mortgage Trust 8.01,9.01 09/28/12
Wesco Aircraft Holdings, Inc 7.01,9.01 09/28/12
WEST COAST BANCORP /NEW/OR/ OR 8.01 09/25/12
Wilhelmina International, Inc. DE 5.02,9.01 09/25/12
WIZZARD SOFTWARE CORP /CO CO 1.01,2.01,3.02,4.01, 09/26/12
5.02,5.03,7.01,8.01,
9.01
WSFS FINANCIAL CORP DE 8.01 09/28/12
Xtreme Oil & Gas, Inc. NV 8.01 09/26/12
YouChange Holdings Corp NV 1.01,9.01 07/19/10
http://www.sec.gov/news/digest/2012/dig100112.htm
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