 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
Commission announcementsRevisions to the EDGAR Filer ManualThe Commission has approved the revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual to reflect updates to the EDGAR system. The EDGAR system was updated to Release 12.2 and, as such, the EDGAR Filer Manual has been updated to share the appropriate information with the filers. For EDGAR Release 12.2, the revisions are being made primarily to allow companies that have previously submitted draft registration statements on EDGAR, to select and publicly file them; support PDF as an official filing format for submission type 40-33 and 40-33/A; support changes in the beneficiary account and receiver American Bank Association number and name for fee payments made for filings; and allow a future period date up to the next business date for Form 8-K. (Rel. 33-9364) Commission MeetingsClosed Meeting on Thursday, October 11, 2012 at 2:00 p.m.The subject matter of the Closed Meeting scheduled for Thursday, October 11, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGSIn the Matter of in John S. Morgan, et al.An Administrative Law Judge has issued an Order Making Findings and Imposing Sanctions by Default as to Two Respondents (Default) in John S. Morgan, Admin. Proc. No. 3-14967. On April 2, 2010, a final judgment was entered by default against Thomas D. Woodcock, Jr. (Woodcock), and on July 5, 2012, a final judgment was entered by default against John S. Morgan (Morgan), permanently enjoining them from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act), and Rule 10b-5 thereunder in SEC v. Morgan, No. 8:09-cv-1093-RAL-EAJ (M.D. Fla.). Based on the final judgments entered against Woodcock and Morgan, the Default bars each from association with a broker, dealer, investment adviser, municipal securities dealer, nationally recognized statistical rating organization, and transfer agent, and from participating in a penny stock offering, pursuant to Section 15(b) of the Exchange Act. (Rel. 34-67974; File No. 3-14967) Default Order Delinquent Filer’s Stock Registration RevokedThe registration of the registered securities of China Mobile Media Technology, Inc., has been revoked. It had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, it violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-67975; File No. 3-15026) Default Order Gilbert Bergsman, CPA, Reinstated to Appear and Practice Before the Commission as an AccountantPursuant to Rule 102(e)(5)(i) of the Commission's Rules of Practice, Gilbert Bergsman, CPA, has applied for and been granted reinstatement of his privilege to appear and practice before the Commission as an accountant. Mr. Bergsman was denied the privilege of appearing or practicing before the Commission as an accountant on December 15, 2005. His reinstatement is effective immediately. (Rel. 34-67988; AAE Rel. 3412; File No. 3-12126) SEC Charges Unlicensed Financial Advisor James S. Quay for Defrauding Investors in Atlanta AreaThe Securities and Exchange Commission today charged an Atlanta-based unlicensed financial advisor with a history of steering retirees into fraudulent investment schemes with defrauding two elderly women he convinced to invest with him directly. The SEC alleges that James S. Quay (Quay) and his brother Jeffrey A. Quay facilitated a scheme in which the women invested $560,000 with the understanding that they were investing in a covered-call equities trading program. The Quays created a sham limited partnership called Trinity Charitable Solutions (TCS) to purportedly operate the program. However, TCS never became a legal entity, and instead the Quays merely deposited the investors’ money in a Scottrade account and personally misused at least $180,000 to afford mortgage payments, lavish restaurant meals, and membership at a massage spa. According to the SEC’s complaint filed in U.S. District Court for the Northern District of Georgia, Quay concealed from these two women and other investors that he is a convicted felon and disbarred attorney. Previously, Quay steered investors toward fraudulent investment opportunities from which he received $1.4 million in illicit sales commissions. For instance, Quay was an active sales agent and recruiter for a multi-million dollar Ponzi scheme conducted by a Georgia attorney and a scheme involving an unregistered covered-call equities trading program. He has used various aliases and fake names including Jim Quay, Stephen Quay, and Stephen Jameson. The SEC alleges that Quay would often host free dinner seminars that target retirees in order to gain their trust. Quay would then encourage the attendees to schedule private consultations with him to discuss their financial situation in greater detail. Attendees would receive a biography that detailed Quay’s educational background and professional designations. The follow-up consultations would often take place at Quay’s personal office, where his legal diplomas, bar certification, and other professional licenses and certifications were displayed on the wall. While he would regularly tout his academic background and legal expertise, he typically would not disclose to investors his criminal background, disbarment, and loss of professional designations and licenses. Quay agreed to settle the SEC’s charges by consenting to the entry of a final judgment by the court providing permanent injunctive relief under Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5. The proposed final judgment orders Quay to pay disgorgement of $1,403,638.62 plus prejudgment interest of $179,118.78 and a penalty of $450,000. Quay agreed to be permanently barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Quay also agreed to a penny stock bar and to be barred from appearing or practicing before the SEC as an attorney or an accountant. The settlement, in which Quay neither admits nor denies the allegations, is subject to court approval. The SEC’s litigation against Jeffrey Quay remains pending. [SEC v. James S. Quay and Jeffrey A. Quay, Case No. 1:12-cv-03429-RWS (N.D. Ga.)] (LR-22506) SELF-REGULATORY ORGANIZATIONSApproval of Proposed Rule ChangeThe Commission has approved a proposed rule change (SR-ICC-2012-12) filed by ICE Clear Credit LLC under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend Schedule 502 of the ICE Clear Credit rules to provide for clearing of additional single name Investment Grade CDS contracts. Publication is expected in the Federal Register during the week of October 8. (Rel. 34-67970) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the Financial Industry Regulatory Authority, Inc. relating to the Trading Activity Fee rate for transactions in security futures (SR-FINRA-2012-044) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. Publication is expected in the Federal Register during the week of October 8. (Rel. 34-67971) A proposed rule change filed by International Securities Exchange, LLC to make non-substantive clarifications to the exchange’s schedule of fees (SR-ISE-2012-73) 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 8. (Rel. 34-67973) 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-11 JAVELIN MORTGAGE INVESTMENT CORP., 3001 OCEAN DRIVE, SUITE 201, VERO BEACH, FL, 32963, 772-617-4340 - 1,150,000 ($23,000,000.00) Equity, (File 333-184243 - Oct. 3) (BR. 08C) S-8 Edwards Group Ltd, MANOR ROYAL, CRAWLEY, WEST SUSSEX, X0, RH10 9LW, 44(0) 1293 528844 - 0 ($14,522,035.00) Other, (File 333-184256 - Oct. 3) (BR. 10A) S-8 NetApp, Inc., 495 EAST JAVA DR, SUNNYVALE, CA, 94089, 4088226000 - 12,350,000 ($385,317,000.00) Equity, (File 333-184259 - Oct. 3) (BR. 03A) S-8 DISCOVERY LABORATORIES INC /DE/, 2600 KELLY ROAD, SUITE 100, WARRINGTON, PA, 18976, 2154889300 - 2,500,000 ($7,750,000.00) Equity, (File 333-184277 - Oct. 3) (BR. 01A) 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 ----------------------------------------------------------------------------------------- 3M CO DE 1.01,9.01 09/28/12
4 KIDS ENTERTAINMENT INC NY 5.02 09/30/12
ACACIA RESEARCH CORP DE 8.01 09/28/12
ACURA PHARMACEUTICALS, INC NY 1.01,5.01,9.01 10/01/12
ADTRAN INC DE 7.01 10/03/12
AEROFLEX HOLDING CORP. DE 5.02,9.01 09/28/12
AFFYMAX INC DE 5.02,9.01 10/01/12
AGENT155 MEDIA CORP. NV 1.01,3.02 09/06/12
AGENT155 MEDIA CORP. NV 3.02 05/15/12
AIR LEASE CORP DE 1.01,2.03,8.01,9.01 10/03/12
AIS FUTURES FUND IV LP DE 3.02 09/30/12
ALCOA INC PA 5.03,8.01,9.01 09/27/12
ALERE INC. DE 2.02,8.01 09/28/12
Alliance Holdings GP, L.P. DE 7.01,9.01 10/02/12
ALLIANCE RESOURCE PARTNERS LP DE 7.01,9.01 10/02/12
Allied World Assurance Co Holdings, A 7.01,9.01 10/03/12
Alliqua, Inc. FL 5.02 09/27/12
ALLSTATE LIFE INSURANCE CO 1.01,9.01 09/30/12
Alta Mesa Holdings, LP TX 7.01,9.01 10/02/12
AMERICAN TOWER CORP /MA/ DE 7.01,9.01 10/03/12
Antaga International Corp NV 5.03,8.01,9.01 09/13/12
ANTS SOFTWARE INC DE 5.02 09/25/12
APPLIED MATERIALS INC /DE DC 2.05,7.01,9.01 10/03/12
ARES CAPITAL CORP MD 5.02 10/02/12
ARES CAPITAL CORP MD 7.01,8.01,9.01 10/03/12
ARISTOCRAT GROUP CORP. FL 8.01 10/01/12
Armada Oil, Inc. NV 7.01,9.01 10/03/12
ATWOOD OCEANICS INC TX 7.01,9.01 10/02/12
Augme Technologies, Inc. DE 8.01,9.01 10/03/12
AUTONATION, INC. DE 7.01,9.01 10/03/12
Avalon Oil & Gas, Inc. CO 5.07 09/28/12
AZZ INC TX 1.01,9.01 10/03/12
B&G Foods, Inc. DE 1.01,8.01,9.01 10/02/12
BAKERS FOOTWEAR GROUP INC MO 1.02,1.03,2.04,9.01 10/02/12
BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 10/03/12
Bio-Matrix Scientific Group, Inc. DE 4.01,9.01 09/27/12
BIO-PATH HOLDINGS INC UT 8.01,9.01 10/03/12
BIO-PATH HOLDINGS INC UT 5.02 10/01/12
BioFuel Energy Corp. 2.04,9.01 09/28/12
BioNeutral Group, Inc NV 8.01,9.01 10/02/12
BJs RESTAURANTS INC CA 8.01,9.01 10/02/12
Black Elk Energy Offshore Operations, TX 5.02,9.01 09/27/12
BLACK HILLS CORP /SD/ SD 2.01,9.01 09/27/12
BnetEFactor, Inc. NV 5.03,9.01 09/27/12
BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 5.02 10/03/12
BRIDGE BANCORP INC NY 8.01,9.01 10/03/12
BRISTOL MYERS SQUIBB CO DE 1.01,9.01 09/27/12
Bristow Group Inc DE 7.01,9.01 10/03/12
BROADWAY FINANCIAL CORP \DE\ DE 8.01,9.01 10/03/12
Burger King Worldwide, Inc. DE 1.01,1.02,2.03 09/28/12
CANADIAN DERIVATIVES CLEARING CORP A6 9.01 09/30/12
CAPITAL TRUST INC MD 1.01,3.02,3.03,5.03, 09/27/12
9.01
Carlyle Group L.P. DE 8.01,9.01 10/02/12
CASELLA WASTE SYSTEMS INC DE 8.01 10/03/12
CenterState Banks, Inc. FL 7.01,9.01 10/03/12
CENTURY PROPERTIES FUND XIX CA 2.01,9.01 09/28/12
CERADYNE INC DE 5.02,9.01 09/28/12
CHESAPEAKE ENERGY CORP OK 5.02,7.01,9.01 09/28/12
CHEVRON CORP DE 5.02,9.01 10/03/12
CHINA FUND INC MD 7.01,9.01 08/31/12
China Green Agriculture, Inc. NV 5.02 09/28/12
China Power Equipment, Inc. MD 5.02 09/25/12 AMEND
Chineseinvestors.com, Inc. IN 1.01,8.01,9.01 10/03/12
Circle Entertainment, Inc. DE 1.01,2.03,9.01 10/01/12
Citizens Community Bancorp Inc. MD 1.01,9.01 09/30/12
CLEAR SYSTEM RECYCLING, INC. NV 7.01,9.01 09/20/12
CLEAR SYSTEM RECYCLING, INC. NV 1.02,7.01,9.01 09/28/12
Clearwire Corp /DE DE 8.01 09/27/12
CMS ENERGY CORP MI 7.01,9.01 10/03/12
COLE CORPORATE INCOME TRUST, INC. MD 1.01 09/27/12
COMPASS MINERALS INTERNATIONAL INC DE 5.02,9.01 10/01/12
Comstock Holding Companies, Inc. DE 2.03 09/27/12
CONTINENTAL AIRLINES INC /DE/ DE 8.01,9.01 10/03/12
Cooper-Standard Holdings Inc. DE 5.02,9.01 10/01/12
Coronus Solar Inc. A1 7.01,8.01,9.01 10/03/12
CoroWare, Inc, DE 3.02,5.03,8.01,9.01 10/01/12
CORTLAND BANCORP INC OH 5.02,9.01 09/28/12
CRACKER BARREL OLD COUNTRY STORE, INC 5.02,9.01 09/27/12
CRIMSON EXPLORATION INC. 7.01 10/03/12
CROSS COUNTRY HEALTHCARE INC DE 1.01,2.03,8.01,9.01 09/28/12
CROWN CASTLE INTERNATIONAL CORP DE 7.01,8.01,9.01 10/03/12
CROWN CASTLE INTERNATIONAL CORP DE 7.01,8.01,9.01 10/03/12
CROWN MARKETING WY 1.01,2.01,3.02,5.01, 09/27/12 AMEND
5.02,8.01
CYTOMEDIX INC DE 5.07 09/28/12
CYTORI THERAPEUTICS, INC. DE 1.01,9.01 09/27/12
DAKOTA TERRITORY RESOURCE CORP NV 2.01,5.01,9.01 09/27/12
DDR CORP OH 8.01,9.01 10/02/12
Dialogic Inc. DE 8.01 10/02/12
Digital Cinema Destinations Corp. DE 2.01,2.03,9.01 10/03/12
DILMAX CORP. NV 5.01,5.02 10/01/12
DOLLAR GENERAL CORP TN 1.01,8.01,9.01 09/27/12
DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 1.01 10/02/12
DREW INDUSTRIES INC DE 8.01,9.01 10/01/12
DynaVox Inc. 3.01,9.01 10/02/12
DynaVox Inc. 5.02 10/01/12
EAGLE ROCK ENERGY PARTNERS L P DE 1.01,7.01,9.01 10/03/12
ECOLOGY COATINGS, INC. NV 8.01 10/03/12
ECOLOGY COATINGS, INC. NV 5.02 10/03/12
EME HOMER CITY GENERATION LP PA 1.01,7.01,9.01 10/03/12
ENCORE WIRE CORP DE 1.01,2.03 09/27/12
ENDEAVOUR INTERNATIONAL CORP NV 1.01,2.03 09/27/12
ENDOLOGIX INC /DE/ DE 5.02 09/27/12
ENTEST BIOMEDICAL, INC. NV 4.01,9.01 09/27/12
EPOCH HOLDING CORP DE 8.01,9.01 10/03/12
EQM Technologies & Energy, Inc. DE 1.01,2.03,7.01,9.01 09/28/12
ESP Resources, Inc. NV 5.07 09/28/12
EV Energy Partners, LP DE 1.01,9.01 09/27/12
ExactTarget, Inc. DE 5.02,5.03,9.01 10/03/12
FAMILY DOLLAR STORES INC DE 2.02,7.01,9.01 10/03/12
FARMERS NATIONAL BANC CORP /OH/ OH 7.01,9.01 10/03/12
FEDERAL AGRICULTURAL MORTGAGE CORP 7.01,9.01 10/03/12
Feihe International Inc UT 8.01,9.01 10/03/12
FelCor Lodging Trust Inc MD 1.02,8.01,9.01 09/28/12
FIRST MARBLEHEAD CORP 8.01,9.01 10/03/12
FLAGSTAR BANCORP INC MI 5.02,7.01,9.01 10/01/12
Flagstone Reinsurance Holdings, S.A. N4 8.01,9.01 10/03/12
FLUSHING FINANCIAL CORP DE 7.01,9.01 10/03/12
Ford Credit Auto Lease Trust 2012-B DE 8.01,9.01 10/03/12
FORWARD INDUSTRIES INC NY 5.07 09/27/12
GAMETECH INTERNATIONAL INC DE 1.03,2.01,9.01 09/27/12
GENESEE & WYOMING INC DE 1.01,1.02,2.01,2.03, 09/28/12
3.02,3.03,5.02,5.03,
8.01
GEORGETOWN CORP NV 1.01,5.02,9.01 09/30/12
GLADSTONE COMMERCIAL CORP MD 1.01,2.03,9.01 10/01/12
GLATFELTER P H CO PA 1.01,2.03,3.03,8.01, 10/03/12
9.01
Global Income Trust, Inc. MD 1.01,2.01,2.03,8.01, 09/27/12
9.01
GLOBALSCAPE INC DE 7.01,9.01 10/03/12
GNC HOLDINGS, INC. DE 1.01,8.01,9.01 10/02/12
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 09/28/12
GTX INC /DE/ DE 1.01,1.02,2.01,2.02, 09/28/12
2.05,9.01
Hanesbrands Inc. MD 7.01,9.01 10/03/12
Hauge Technology, Inc. DE 3.02,5.01,5.02 10/02/12
HCC INSURANCE HOLDINGS INC/DE/ DE 5.02,9.01 10/02/12
HEWLETT PACKARD CO DE 7.01 10/03/12
HMS HOLDINGS CORP 7.01,8.01 09/27/12
HOT TOPIC INC /CA/ CA 8.01,9.01 10/02/12
HOUSTON AMERICAN ENERGY CORP DE 1.01,7.01,9.01 10/01/12
ImmunoCellular Therapeutics, Ltd. DE 5.07 08/24/12
Independence Resources PLC X0 8.01 09/19/12
Innovaro, Inc. 1.01,9.01 09/27/12
InspireMD, Inc. DE 8.01,9.01 09/27/12
INTEGRATED DEVICE TECHNOLOGY INC DE 8.01,9.01 10/03/12
INTEGRATED DEVICE TECHNOLOGY INC DE 2.01,9.01 07/19/12 AMEND
INTELSAT S.A. N4 1.01,2.03,3.03,8.01, 10/03/12
9.01
INTERNET AMERICA INC TX 5.02 10/02/12
INTEVAC INC CA 2.06 09/28/12
INTL FCSTONE INC. DE 5.02 10/01/12
INVENTURE FOODS, INC. DE 8.01,9.01 10/03/12
Investors Bancorp Inc DE 8.01,9.01 10/03/12
Iridium Communications Inc. DE 3.02,3.03,5.03,9.01 10/03/12
ISECURETRAC CORP DE 1.01,1.02,2.03,3.02, 09/28/12
5.02,9.01
ITERIS, INC. DE 1.01,2.03,9.01 09/28/12
JAKKS PACIFIC INC DE 1.01,2.03,9.01 09/27/12
KEYW HOLDING CORP MD 1.01,1.02,2.01,2.03, 09/28/12
3.02,9.01
Kraton Performance Polymers, Inc. DE 2.06,8.01,9.01 10/02/12
KRONOS WORLDWIDE INC 1.01,2.03,9.01 09/27/12
KULICKE & SOFFA INDUSTRIES INC PA 5.02,9.01 10/01/12
LEARNING TREE INTERNATIONAL INC DE 7.01,9.01 10/03/12
LEE ENTERPRISES, INC DE 5.02 09/28/12
LEVEL 3 COMMUNICATIONS INC DE 5.02 10/01/12
LEXINGTON REALTY TRUST MD 1.01,9.01 09/28/12
LIBERATOR MEDICAL HOLDINGS, INC. NV 5.07,8.01,9.01 09/28/12
Lifevantage Corp CO 5.02,9.01 10/02/12
LUCAS ENERGY, INC. NV 3.03,5.03,9.01 10/01/12
Madison County Financial, Inc. MD 8.01,9.01 10/03/12
MAKO Surgical Corp. DE 5.02,9.01 10/01/12
MALVERN FEDERAL BANCORP INC X1 5.07,8.01 10/02/12
MARRIOTT INTERNATIONAL INC /MD/ DE 2.02,9.01 10/03/12
MEDICAL ALARM CONCEPTS HOLDINGS INC NV 7.01 10/03/12
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 10/01/12
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 10/01/12
Merriman Holdings, Inc DE 2.03,3.02 09/27/12
Mesa Energy Holdings, Inc. DE 7.01,9.01 10/03/12
METROPCS COMMUNICATIONS INC DE 1.01,2.03,3.02,3.03, 10/02/12
5.02,8.01,9.01
MICROVISION INC DE 4.01,9.01 09/27/12
MISSION BROADCASTING INC DE 1.01,9.01 09/27/12
MISSION COMMUNITY BANCORP CA 1.01,3.02,9.01 09/27/12
Momentive Performance Materials Inc. DE 1.01,9.01 10/02/12
MONSANTO CO /NEW/ DE 2.02,9.01 10/03/12
MONTPELIER RE HOLDINGS LTD 1.01,8.01,9.01 10/02/12
MVP REIT, Inc. MD 8.01 10/02/12
NATIONAL HEALTH INVESTORS INC MD 2.01,9.01 09/28/12
NBCUniversal Media, LLC DE 8.01,9.01 10/03/12
NELNET STUDENT LOAN FUNDING LLC 8.01 10/02/12
NEOGEN CORP MI 2.02,9.01 10/02/12
Net Element International, Inc. E9 5.07 09/28/12
Net Element, Inc. DE 1.02,2.01,3.03,5.02, 09/28/12
5.07,9.01
NEWLINK GENETICS CORP 8.01,9.01 10/03/12
NEWS CORP 8.01,9.01 10/03/12
NEXSTAR BROADCASTING GROUP INC DE 1.01,9.01 09/27/12
NextWave Wireless Inc. DE 5.07,8.01,9.01 10/02/12
NGL Energy Partners LP DE 3.02,9.01 10/01/12
NGP Capital Resources Co MD 3.01 10/02/12
NL INDUSTRIES INC NJ 1.01,2.03,9.01 09/27/12
NORTEL NETWORKS CORP 5.02,9.01 10/03/12
NORTH BAY RESOURCES INC DE 1.01,2.03,3.02,9.01 10/02/12
NORTHEAST BANCORP /ME/ ME 4.01,9.01 09/30/12
NORTHWEST BIOTHERAPEUTICS INC DE 1.01,2.03,3.02 09/27/12
NT MINING Corp 4.02 09/30/12 AMEND
NUVASIVE INC DE 2.02,9.01 10/03/12
OMNOVA SOLUTIONS INC OH 7.01,9.01 10/03/12
ONLINE DISRUPTIVE TECHNOLOGIES, INC. NV 5.02 10/02/12
OPTI INC CA 5.03 10/02/12
OVERSEAS SHIPHOLDING GROUP INC DE 5.02,9.01 09/27/12
PDC ENERGY, INC. NV 7.01,9.01 10/03/12
PDC ENERGY, INC. NV 1.01,1.02,2.03,9.01 09/28/12
PennantPark Floating Rate Capital Ltd 7.01,9.01 10/03/12
PENNANTPARK INVESTMENT CORP 7.01,9.01 10/03/12
PennyMac Mortgage Investment Trust MD 1.01,2.03,9.01 09/28/12
PHAZAR CORP DE 5.02,9.01 10/01/12
PHH CORP MD 1.01,5.02,5.03,9.01 09/27/12
PIEDMONT NATURAL GAS CO INC NC 1.01,2.03 10/01/12
Polonia Bancorp 8.01,9.01 10/03/12
Polonia Bancorp Inc MD 8.01,9.01 10/03/12
PostRock Energy Corp DE 1.01,2.01,9.01 09/28/12
PULSE ELECTRONICS CORP PA 3.01,9.01 09/27/12
QUALCOMM INC/DE DE 5.02 09/30/12
RALCORP HOLDINGS INC /MO MO 1.01,1.02,5.02,7.01, 10/03/12
9.01
REAL ESTATE ASSOCIATES LTD VI CA 8.01 09/28/12
REGIS CORP MN 2.01,9.01 09/27/12
Resource Capital Corp. MD 8.01,9.01 10/02/12
RIGEL PHARMACEUTICALS INC DE 8.01,9.01 10/03/12
RITE AID CORP DE 1.01 10/01/12
Royal Energy Resources, Inc. DE 7.01,9.01 10/01/12
RPM INTERNATIONAL INC/DE/ DE 2.02,9.01 10/03/12
SABINE ROYALTY TRUST TX 2.02,9.01 10/02/12
Sanchez Energy Corp DE 5.02,9.01 10/01/12
Santa Fe Petroleum, Inc. DE 7.01 10/03/12
SARATOGA INVESTMENT CORP. MD 5.07 09/28/12
Sarepta Therapeutics, Inc. OR 7.01,9.01 10/02/12
SCIQUEST INC DE 2.01 10/01/12
SECURE NetCheckIn Inc NV 4.01 10/02/12
SELECT COMFORT CORP MN 7.01,9.01 10/03/12
SELECTICA INC DE 8.01 10/02/12
Sensata Technologies Holding N.V. P7 8.01,9.01 09/30/12
SINGLE TOUCH SYSTEMS INC DE 1.01,2.03,3.02 09/27/12
SMITH & WESSON HOLDING CORP NV 5.07 10/01/12
SOUTHERN FIRST BANCSHARES INC SC 9.01 10/02/12
STR HOLDINGS, INC. DE 1.01,2.03,5.02,9.01 09/28/12
Strategic Storage Trust, Inc. MD 1.01,7.01,8.01,9.01 09/27/12
StrikeForce Technologies Inc. WY 1.02 10/03/12
STRYKER CORP MI 5.02,9.01 09/28/12
STUDIO II BRANDS INC FL 5.02 09/21/12
Summit Hotel Properties, Inc. MD 8.01,9.01 09/27/12
SUNRISE SENIOR LIVING INC DE 1.01,2.01,2.03,9.01 10/01/12
SUNTRUST BANKS INC GA 9.01 10/03/12
SUPERIOR ENERGY SERVICES INC DE 7.01,9.01 10/02/12
SWIFT ENERGY CO 1.01,2.03,8.01,9.01 10/02/12
SWIFT ENERGY CO 8.01,9.01 10/03/12
TAMPA ELECTRIC CO FL 1.01,2.03,8.01,9.01 09/28/12
TEL OFFSHORE TRUST TX 2.02,9.01 10/03/12
TESORO LOGISTICS LP DE 1.01,7.01,9.01 10/02/12
Texas Rare Earth Resources Corp. DE 1.01,5.02,8.01 09/28/12
Texas Rare Earth Resources Corp. DE 7.01,9.01 10/03/12
TGR Financial, Inc. FL 2.01,9.01 07/20/12
TIANYIN PHARMACEUTICAL CO., INC. DE 7.01,9.01 09/28/12
TILE SHOP HOLDINGS, INC. DE 1.01,9.01 10/03/12
TransDigm Group INC DE 7.01,9.01 10/03/12
TREDEGAR CORP VA 1.01,2.03,8.01,9.01 10/01/12
Tronox Ltd C3 1.01,5.02 09/30/12
U S PRECIOUS METALS INC DE 1.01,8.01 10/01/12 AMEND
ULTRALIFE CORP DE 1.01 09/28/12
UNIGENE LABORATORIES INC DE 5.02,9.01 09/27/12
UNION BANKSHARES INC VT 8.01,9.01 10/01/12
UNIVERSAL TECHNICAL INSTITUTE INC DE 5.02,9.01 10/03/12
URANIUM ENERGY CORP NV 7.01,9.01 10/03/12
URANIUM RESOURCES INC /DE/ DE 3.01 09/28/12
US AIRWAYS GROUP INC DE 2.02,9.01 10/03/12
US AIRWAYS GROUP INC DE 2.02,9.01 10/03/12
USA Synthetic Fuel Corp DE 1.01,2.01,2.03,3.02, 09/24/12 AMEND
5.02,9.01
VALSPAR CORP DE 5.02,7.01,9.01 10/03/12
VIROPHARMA INC DE 1.01 10/01/12
VIRTUSA CORP 1.01,9.01 09/29/12
VISTA GOLD CORP B0 7.01,9.01 10/02/12
VUMEE INC. NV 9.01 05/17/12 AMEND
WELLPOINT, INC IN 7.01,9.01 10/02/12
WELLS FARGO & COMPANY/MN DE 9.01 10/03/12
WELLS MID-HORIZON VALUE-ADDED FUND I 8.01 09/26/12
WELLS REAL ESTATE FUND IX LP GA 8.01 09/26/12
WELLS REAL ESTATE FUND VIII LP GA 8.01 09/26/12
WELLS REAL ESTATE FUND XI L P GA 8.01 09/26/12
WELLS REAL ESTATE FUND XII LP GA 8.01 09/26/12
WELLS REAL ESTATE FUND XIII L P 8.01 09/26/12
WELLS REAL ESTATE FUND XIV LP GA 8.01 09/26/12
WHITE MOUNTAIN TITANIUM CORP NV 5.02,9.01 09/28/12
Wilhelmina International, Inc. DE 4.01,9.01 09/27/12
WILLIS LEASE FINANCE CORP DE 7.01,9.01 10/03/12
Winthrop Realty Trust OH 8.01,9.01 10/02/12
WISCONSIN ENERGY CORP WI 7.01,9.01 10/03/12
WISCONSIN PUBLIC SERVICE CORP WI 1.01,9.01 09/28/12
WMI HOLDINGS CORP. WA 7.01,9.01 10/02/12
XOMA Corp DE 8.01,9.01 09/27/12
XOMA Corp DE 1.01,2.03,3.02,9.01 09/27/12
Yellowwood Acquisition Corp DE 4.01 06/14/12 AMEND
Zep Inc. DE 8.01 10/03/12
http://www.sec.gov/news/digest/2012/dig100412.htm
|