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Enforcement ProceedingsIn the Matter of Tilden Loucks & Woodnorth, LLC, Lasalle St. Securities, LLC, and Ralph B. LoucksOn October 29, 2012, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (the Order) against Tilden Loucks & Woodnorth, LLC (Tilden), an investment adviser registered with the Commission, LaSalle St. Securities, LLC (LaSalle), a broker-dealer registered with the Commission, and Ralph B. Loucks (Loucks), a former senior vice president of Tilden who is a registered representative of LaSalle. The Order finds that, from October 1, 2007 through March 22, 2012, Tilden obtained undisclosed compensation by charging increased commissions on trades for its clients through its affiliated broker-dealer, LaSalle. The Order also finds that Tilden failed to seek best execution for its clients’ securities transactions and made misleading statements in its Forms ADV concerning the steps it would take to evaluate execution of client trades and ensure that commission rates were reasonable. Specifically, the Order finds that most trades for Tilden’s clients are executed by LaSalle. From October 1, 2007 through March 22, 2012, Tilden’s clients paid commissions at LaSalle that averaged more than $143 per trade, even though the majority of trades consisted of buys and sells of large cap equities. Tilden did not tell its clients the true nature of the commissions it charged by stating in its Forms ADV that clients obtained a significant “discount” to LaSalle’s scheduled retail brokerage charges. However, LaSalle had no scheduled retail brokerage charges or commission schedules. Instead, unbeknownst to Tilden’s clients, Tilden set LaSalle’s commission charges at rates exceeding LaSalle’s charge to Tilden to execute a trade and the “discount” was in reality only a price lower than those reflected on a commission schedule supplied by Tilden that dated to at least 1988. Tilden’s undisclosed compensation practices netted it more than $186,000 in higher commissions paid by advisory clients. Ralph B. Loucks (“Loucks”), Tilden’s former senior vice-president, who also served as a registered representative of LaSalle, shared in these commissions. The Order finds that Tilden willfully violated Sections 206(2) and 207 of the Investment Advisers Act of 1940 (Advisers Act); Loucks caused Tilden’s violations of Section 206(2) of the Advisers Act and willfully caused Tilden’s violations of Section 207 of the Advisers Act; and LaSalle, through Loucks, caused Tilden’s violations of Section 206(2) of the Advisers Act. Without admitting or denying the Commission’s findings, Tilden, Loucks and LaSalle agree to cease and desist from committing or causing any violations and any future violations of these provisions. Further, Tilden and LaSalle agree to jointly and severally disgorge $170,319.94 in ill-gotten gains and to pay prejudgment interest of $16,531.06, and Tilden, LaSalle and Loucks agree to jointly and severally disgorge $16,288.18 in ill-gotten gains and to pay prejudgment interest of $1,579.43. Additionally, Tilden agrees to be censured, pay $100,000 in penalties, and undertake within thirty days to: (1) revise its Form ADV to disclose its compensation structure, how commissions charged to its clients by LaSalle are determined and the amounts LaSalle charges Tilden to execute trades; (2) provide the revised Form ADV to its clients; and (3) provide a copy of the Order to its clients. Further, LaSalle agrees to pay $100,000 in penalties and Loucks agrees to be censured and pay $25,000 in penalties. (Rel. 34-68118; IA-3494; File No. 3-15081) Delinquent Filers’ Stock Registrations RevokedThe registrations of the registered securities of Diomed Holdings, Inc., EnerLume Energy Management Corp., GlycoGenesys, Inc., and Greater Atlantic Financial Corp. have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each 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 revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-68126; File No. 3-15047) Court Schedules Hearing on Commission’s Application for Order to Enforce Subpoena Directed to Adam BielskiThe Securities and Exchange Commission announced today that it filed an application on October 24, 2012 in the United States District Court for the District of Massachusetts for an order to enforce an investigative subpoena served on Adam Bielski (Bielski) of Uxbridge, Massachusetts. On October 30, 2012, the District Court ordered Bielski to show cause why he should not comply with the Commission’s subpoena and scheduled a hearing on the Commission’s application for November 9, 2012. The Commission's application and supporting papers allege that, on August 2, 2012, the Commission issued a formal order of private investigation authorizing its staff to investigate, among other things, potential compliance and security deficiencies at a Massachusetts-based investment adviser (IA) registered with the Commission. In particular, the staff is investigating whether the IA’s compliance and security policies and procedures were reasonably designed to protect against recent instances of attempted and actual theft of client assets managed by the IA. One such incident involved an attempt by an apparent hacker to cause the IA to wire client funds to Bielski’s bank account with Savers Bank in Uxbridge. On August 31, 2012, the Commission issued an investigative subpoena to Bielski. The subpoena required Bielski to produce documents relevant to the investigation and to appear before the Commission staff for testimony. The Commission alleges that, despite extending the subpoena’s return date to accommodate Bielski and assurances by Bielski that he would comply with the subpoena, Bielski has failed to produce many of the responsive documents in his possession as of the date of the Commission’s application. According to the Commission's application, Bielski does not have a credible justification for his failure to comply with the subpoena, and a court order is necessary to compel him to produce the subpoenaed documents and to appear for testimony. The Commission alleges that, in voluntary interviews with Commission staff, Bielski described having a six-year long association with a woman, Faith Collins (Collins), whom Bielski communicates with exclusively through the internet and has never met in person. According to the Commission’s application and supporting papers, Bielski admitted to the staff that on at least one occasion, in or around June 2012, Collins caused funds to be wired into his Uxbridge bank account, although he denies having any involvement in obtaining the money or knowledge about its origin. Bielski reported that Collins at another point attempted to wire more funds into his bank account, but was thwarted when the broker-dealer custodian of the assets contacted him to alert him that someone (whom Bielski understood to be Collins) was attempting to wire stolen money to him. Bielski has not yet explained why Collins was attempting to wire money to him, other than to say that she needed the money for business reasons. Bielski also informed the staff that Collins resides in Nigeria and that he (and other individuals in the U.S.) provide financial assistance to her. A hearing on the Commission's application has been scheduled for Nov. 9, 2012. [SEC v. Adam Bielski, (United States District Court for the District of Massachusetts, 12-MBD-91330-NMG-LTS)] (LR-22525) INVESTMENT COMPANY ACT RELEASESVan Eck Funds, et al.A notice has been issued giving interested persons until November 21, 2012, to request a hearing on an application filed by Van Eck Funds, et al., for an order to permit certain registered open-end management investment companies to co-invest in covered private placements with each other and/or with one or more affiliated private investment companies. (Rel. IC-30252 - October 25) Salient Advisors, L.P. and MarketShares ETF TrustA notice has been issued giving interested persons until November 26, 2012, to request a hearing on an application filed by Salient Advisors, L.P. and MarketShares ETF Trust, for an order to permit: (a) series of certain actively managed open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30254 - October 31) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangeThe Chicago Mercantile Exchange Inc. (“CME”) filed a proposed rule change (File No. SR-CME-2012-26) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend its rules in connection with its status as a “Deemed Registered” Clearing Agency. Publication is expected in the Federal Register during the week of October 29. (Rel. 34-68121) Immediate Effectiveness of Proposed Rule ChangesThe Depository Trust Clearing (DTC) filed a proposed rule change (File No. SR-DTC-2012-08) under Section 19(b)(1) of the Securities Exchange Act of 1934, which proposed rule change became effective upon filing, to update its corporate actions service in order to introduce a new standard to communicate certain corporate actions information to participants. Publication is expected in the Federal Register during the week of October 29. (Rel. 34-68114) A proposed rule change filed by the NASDAQ Stock Market LLC (SR-NASDAQ-2012-123) to amend and adopt several NASDAQ rules to reflect changes to rules of the Financial Industry Regulatory Authority (“FINRA”) has become effective pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 29. (Rel. 34-68123) A proposed rule change filed by The NASDAQ Stock Market LLC to apply the position limit exemption rules of NASDAQ OMX PHLX LLC for certain index options (SR-NASDAQ-2012-121) 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 29. (Rel. 34-68124) 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-3ASR TENNANT CO, 701 N LILAC DR, PO BOX 1452, MINNEAPOLIS, MN, 55440, 6125401200 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184655 - Oct. 31) (BR. 06A) S-4 CHC Helicopter S.A., 13-15 AVENUE DE LA LIBERTE, LUXEMBOURG, N4, L-1931, 352-2689-01 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-184656 - Oct. 31) (BR. 05C) S-8 Performant Financial Corp, 333 North Cayons Parkway, Livermore, CA, 94551, 925-960-4800 - 0 ($49,840,153.64) Equity, (File 333-184657 - Oct. 31) (BR. 11A) F-1 FAC PROPERTYS LLC, 1329 NEEDHAM AVENUE, BRONX, NY, 10469, 347-843-8040 - 810,000,000 ($1.45) Asset-Backed Securities, (File 333-184658 - Oct. 31) (BR. DN) S-4 AMERICAN SIERRA GOLD CORP., 1420 5TH AVE STE 2200, SEATTLE, WA, 98101, 206-274-5165 - 64,061,040 ($10,249,766.40) Equity, (File 333-184668 - Oct. 31) (BR. 02A) S-1 Corruven, Inc., 506 284 3100 - 6,696,223 ($4,352,544.95) Equity, (File 333-184669 - Oct. 31) (BR. 06) S-8 OPEN TEXT CORP, 275 FRANK TOMPA DRIVE, WATERLOO, ONTARIO CANADA, A6, N2L 0A1, 519-888-7111 - 3,500,000 ($180,740,000.00) Equity, (File 333-184670 - Oct. 31) (BR. 03C) S-8 ARROW ELECTRONICS INC, 25 HUB DR, MELVILLE, NY, 11747, 5163911300 - 0 ($293,675,000.00) Equity, (File 333-184671 - Oct. 31) (BR. 10A) S-3 NATURAL GAS SERVICES GROUP INC, 508 WEST WALL STREET, SUITE 550, MIDLAND, TX, 79701, 432-262-2700 - 0 ($150,000,000.00) Other, (File 333-184672 - Oct. 31) (BR. 04B) S-1 Proto Labs Inc, 5540 Pioneer Creek, Maple Plain, MN, 55359, 763-479-7474 - 0 ($100,000,000.01) Equity, (File 333-184673 - Oct. 31) (BR. 06A) S-1 ServiceNow, Inc., 12225 EL CAMINO REAL, SUITE 100, SAN DIEGO, CA, 92130, 858-720-0477 - 0 ($300,000,000.00) Equity, (File 333-184674 - Oct. 31) (BR. 03) S-8 TCF FINANCIAL CORP, 200 LAKE STREET EAST, MAIL CODE EX-03-A, WAYZATA, MN, 55391-1693, 952-745-2760 - 0 ($22,050,000.00) Equity, (File 333-184675 - Oct. 31) (BR. 07C) S-8 TCF FINANCIAL CORP, 200 LAKE STREET EAST, MAIL CODE EX-03-A, WAYZATA, MN, 55391-1693, 952-745-2760 - 0 ($44,100,000.00) Equity, (File 333-184676 - Oct. 31) (BR. 07C) S-11 American Realty Capital Healthcare Trust II, Inc., 405 PARK AVENUE, NEW YORK, NY, 10022, 212-415-6500 - 82,736,842 ($2,049,999,997.50) Equity, (File 333-184677 - Oct. 31) (BR. ) 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
-----------------------------------------------------------------------------------------
ACCELRYS, INC. DE 2.02,9.01 10/31/12
ACCO BRANDS CORP DE 2.02,9.01 10/31/12
ACORDA THERAPEUTICS INC 2.02,9.01 10/31/12
ADCARE HEALTH SYSTEMS INC OH 1.01 10/26/12
Advaxis, Inc. DE 1.01,3.02,8.01,9.01 08/02/12
AEMETIS, INC NV 9.01 07/06/12 AMEND
AFFILIATED MANAGERS GROUP INC DE 2.02,8.01,9.01 10/31/12
Affinion Group Holdings, Inc. DE 7.01 10/31/12
AGCO CORP /DE DE 2.02,9.01 10/31/12
ALLIED MOTION TECHNOLOGIES INC CO 2.02,9.01 10/31/12
Allied World Assurance Co Holdings, A 2.02,9.01 10/31/12
ALLSTATE CORP DE 2.02,9.01 10/31/12
Amarantus BioSciences, Inc. DE 8.01 10/26/12
AMERICAN AIRLINES INC DE 8.01,9.01 10/31/12
American Capital Mortgage Investment MD 9.01 10/30/12
AMERICAN PACIFIC CORP DE 1.01,1.02,2.03,8.01, 10/26/12
9.01
American Realty Capital Properties, I MD 8.01,9.01 10/29/12
American Realty Capital Properties, I MD 8.01,9.01 10/31/12
American Realty Capital Trust, Inc. DE 8.01,9.01 10/30/12
AMERICAN SAFETY INSURANCE HOLDINGS LT 2.02,9.01 10/31/12
AMERICAN TOWER CORP /MA/ DE 2.02,9.01 10/31/12
American Water Works Company, Inc. DE 1.01,1.02,2.03,9.01 10/29/12
Americas Diamond Corp. NV 8.01 10/15/12
AMERISTAR CASINOS INC NV 2.02,9.01 10/31/12
AMR CORP DE 8.01,9.01 10/31/12
ANALOG DEVICES INC MA 5.02,9.01 10/25/12
Ancestry.com Inc. DE 9.01 08/17/12 AMEND
APPLIED MICRO CIRCUITS CORP DE 2.02,9.01 10/25/12
ARROW ELECTRONICS INC NY 2.02,9.01 10/31/12
ARTHROCARE CORP DE 2.02,9.01 10/31/12
ASHFORD HOSPITALITY TRUST INC MD 2.02,9.01 10/31/12
ASIAINFO-LINKAGE, INC DE 2.02,9.01 10/31/12
ATC Ventures Group, Inc. NV 1.01 10/30/12
Atlas Financial Holdings, Inc. E9 1.01,9.01 10/31/12
ATLAS PIPELINE PARTNERS LP DE 2.02,9.01 10/30/12
Auto Home Lock, Inc. NV 5.02 10/30/12
AVIV REIT, INC. MD 8.01,9.01 10/31/12
AXIS CAPITAL HOLDINGS LTD 2.02,9.01 10/31/12
B&G Foods, Inc. DE 8.01,9.01 10/31/12
BAKKEN RESOURCES INC NV 5.07 10/25/12
Baltic Trading Ltd 1T 2.02,9.01 10/31/12
BANCORPSOUTH INC MS 8.01,9.01 10/29/12
Bank of Commerce Holdings CA 2.02,9.01 10/31/12
Barossa Coffee Company, Inc. NV 4.01,9.01 10/31/12
BB&T CORP NC 5.03,8.01,9.01 10/31/12
BCSB Bancorp Inc. 2.02,9.01 10/26/12
BCTC IV ASSIGNOR CORP DE 4.01 10/29/12
BCTC V ASSIGNOR CORP 4.01 10/29/12
BIOCRYST PHARMACEUTICALS INC DE 8.01,9.01 10/30/12
Black Sea Metals Inc. NV 5.02 10/31/12
Bloomin' Brands, Inc. DE 1.01,1.02,2.03,7.01, 10/26/12
9.01
BMC SOFTWARE INC DE 2.02,9.01 10/31/12
BOK FINANCIAL CORP ET AL OK 2.02,9.01 10/31/12
BON TON STORES INC PA 1.01,9.01 10/25/12
Booz Allen Hamilton Holding Corp DE 2.02,9.01 10/31/12
BORGWARNER INC DE 2.02,9.01 10/31/12
BOSTON CAPITAL TAX CREDIT FUND II LTD DE 4.01 10/29/12
BOSTON CAPITAL TAX CREDIT FUND III L DE 4.01 10/29/12
BOSTON CAPITAL TAX CREDIT FUND IV LP DE 4.01 10/29/12
BOSTON CAPITAL TAX CREDIT FUND LTD PA DE 4.01 10/29/12
BOSTON CAPITAL TAX CREDIT FUND V LP 4.01 10/29/12
BRE PROPERTIES INC /MD/ MD 2.02,8.01,9.01 10/30/12
Bristow Group Inc DE 8.01,9.01 10/26/12
BROOKS AUTOMATION INC DE 2.01,8.01,9.01 10/28/12
BRYN MAWR BANK CORP PA 5.02 10/25/12
BRYN MAWR BANK CORP PA 7.01,9.01 10/31/12
C&J Energy Services, Inc. DE 1.02,2.02,5.02,7.01, 10/31/12
9.01
CABOT CORP DE 2.02,9.01 10/30/12
CACI INTERNATIONAL INC /DE/ DE 1.01,9.01 10/26/12
CACI INTERNATIONAL INC /DE/ DE 2.02,7.01,9.01 10/31/12
CAESARS ENTERTAINMENT Corp DE 2.02,9.01 10/31/12
CAFEPRESS INC. DE 2.01,8.01,9.01 10/25/12
CAL MAINE FOODS INC DE 7.01,9.01 10/30/12
CALIFORNIA WATER SERVICE GROUP DE 8.01,9.01 10/31/12
Calumet Specialty Products Partners, DE 2.02,9.01 10/31/12
CAMCO FINANCIAL CORP DE 8.01,9.01 10/31/12
CAMDEN NATIONAL CORP ME 8.01,9.01 10/26/12
CAMDEN NATIONAL CORP ME 2.02,9.01 09/30/12
CAMERON INTERNATIONAL CORP DE 2.02,9.01 09/30/12
Campus Crest Communities, Inc. MD 2.02,9.01 10/30/12
Capitol Federal Financial Inc MD 2.02,7.01,9.01 10/31/12
CAROLINA BANK HOLDINGS INC NC 2.02,9.01 10/31/12
CATALYST PHARMACEUTICAL PARTNERS, INC DE 1.01,3.02,8.01,9.01 10/26/12
Ceelox Inc. 1.01,9.01 10/25/12
CELL THERAPEUTICS INC WA 2.02,7.01,9.01 10/31/12
CELL THERAPEUTICS INC WA 1.01,5.02,9.01 10/25/12
CENTRAL EUROPEAN MEDIA ENTERPRISES LT 2.02,9.01 10/31/12
Cheviot Financial Corp. MD 2.02,9.01 10/31/12
China Housing & Land Development, Inc NV 5.02,5.07,8.01 10/26/12
China Information Technology, Inc. 5.07,8.01,9.01 10/31/12
CIRRUS LOGIC INC DE 2.02,7.01,9.01 10/31/12
Citadel EFT, Inc. NV 1.01,3.02,9.01 10/31/12
CLEAN HARBORS INC MA 1.01,9.01 10/26/12
CLOROX CO /DE/ DE 2.02,7.01,9.01 10/31/12
CMS ENERGY CORP MI 7.01,9.01 10/31/12
COHERENT INC DE 2.02,9.01 10/31/12
Commercial Vehicle Group, Inc. DE 2.02,7.01,9.01 10/31/12
COMPETITIVE TECHNOLOGIES INC DE 5.02,9.01 10/31/12
COMPX INTERNATIONAL INC DE 7.01,9.01 10/30/12
Con-way Inc. DE 2.02,9.01 10/31/12
Consumer Capital Group, Inc. 8.01 10/31/12
CORCEPT THERAPEUTICS INC DE 2.02,7.01,9.01 10/31/12
CORINTHIAN COLLEGES INC 2.02,9.01 10/31/12
CORNING INC /NY NY 7.01,8.01,9.01 10/26/12
CORTLAND BANCORP INC OH 2.02,9.01 10/31/12
COVENANT TRANSPORTATION GROUP INC NV 2.02,9.01 10/30/12
CRIMSON EXPLORATION INC. 2.02,9.01 10/31/12
CUMMINS INC IN 2.02,9.01 10/31/12
DAYSTAR TECHNOLOGIES INC DE 5.02 10/31/12
DEAN FOODS CO DE 1.01,2.01,2.03,5.02, 10/25/12
8.01
DiamondRock Hospitality Co 7.01,8.01,9.01 10/29/12
Diversified Restaurant Holdings, Inc. NV 5.03,9.01 10/25/12
Domtar CORP DE 5.02 10/31/12
DREW INDUSTRIES INC DE 8.01,9.01 10/30/12
DST SYSTEMS INC DE 2.02,9.01 10/31/12
Duke Energy CORP DE 2.06 10/31/12
Duke Energy CORP DE 7.01 10/31/12
EAGLE BANCORP INC MD 8.01,9.01 10/31/12
EAGLE ROCK ENERGY PARTNERS L P DE 2.02,7.01,9.01 10/31/12
EATON CORP OH 2.02,9.01 10/31/12
EDGEWATER TECHNOLOGY INC/DE/ DE 2.02,9.01 10/31/12
EDIETS COM INC DE 1.01,3.02 10/31/12
EDUCATION MANAGEMENT CORPORATION 2.02 10/31/12
ELLIE MAE INC DE 2.02,9.01 10/30/12
ENDURANCE SPECIALTY HOLDINGS LTD 2.02,7.01,9.01 10/31/12
ENERGEN CORP AL 1.01,1.02,2.03,9.01 10/30/12
ENGLOBAL CORP NV 8.01,9.01 10/31/12
ENOVA SYSTEMS INC CA 3.01 10/31/12
ENZON PHARMACEUTICALS INC DE 2.02,9.01 10/31/12
EP Energy LLC DE 7.01 10/31/12
EVOLUTION PETROLEUM CORP NV 8.01,9.01 04/02/12
EXACTECH INC FL 2.02,7.01,9.01 10/30/12
EXTREME NETWORKS INC DE 2.02,9.01 10/31/12
FARMERS NATIONAL BANC CORP /OH/ OH 7.01,9.01 10/31/12
FedFirst Financial Corp 2.02,9.01 10/31/12
FelCor Lodging Trust Inc MD 5.02,5.03,9.01 10/30/12
Fifth & Pacific Companies, Inc. DE 8.01,9.01 10/31/12
First Bancorp, Inc /ME/ ME 5.03 10/18/12
FIRST CITIZENS BANC CORP /OH OH 2.02,9.01 10/31/12
FIRST COMMUNITY BANCSHARES INC /NV/ NV 8.01 10/31/12
First Connecticut Bancorp, Inc. MD 2.02,9.01 10/31/12
FIRST MIDWEST BANCORP INC DE 2.02,7.01,9.01 10/30/12
FIRST NATIONAL CORP /VA/ VA 2.02,9.01 10/29/12
FIRST NORTHERN COMMUNITY BANCORP CA 2.02,7.01,9.01 09/30/12
FIRST SOUTH BANCORP INC /VA/ VA 1.01,5.02,9.01 10/27/12
FLORIDIAN FINANCIAL GROUP INC 5.04,9.01 10/30/12
FX ENERGY INC NV 8.01,9.01 10/30/12
GARB OIL & POWER CORP UT 1.01,3.02 09/03/12
GARDNER DENVER INC DE 2.02,9.01 10/29/12
GARMIN LTD V8 2.02,9.01 10/31/12
GENCO SHIPPING & TRADING LTD 2.02,9.01 10/31/12
GENERAC HOLDINGS INC. DE 2.02,9.01 10/31/12
General Growth Properties, Inc. DE 2.02,7.01,9.01 10/31/12
General Moly, Inc DE 1.01,2.03,3.02,9.01 10/26/12
General Motors Co 2.02,9.01 10/31/12
General Motors Financial Company, Inc TX 2.02,9.01 10/31/12
Genpact LTD D0 2.02,9.01 10/31/12
GeoEye, Inc. DE 8.01,9.01 10/31/12
Georgetown Bancorp, Inc. MD 2.02,9.01 10/26/12
GLACIER BANCORP INC DE 8.01,9.01 10/31/12
GLOBAL CASINOS INC UT 3.02 10/30/12
Gold Dynamics Corp. NV 1.02 10/31/12
GOLDEN QUEEN MINING CO LTD A1 7.01,9.01 10/17/12
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 10/26/12
GRAY TELEVISION INC GA 2.02,9.01 10/31/12
GREENLIGHT CAPITAL RE, LTD. 2.02,9.01 10/31/12
GT Advanced Technologies Inc. DE 2.02,2.05,5.02,7.01, 10/30/12
9.01
HANGER, INC. DE 2.02,9.01 10/31/12
HANSEN MEDICAL INC DE 1.01,3.02,9.01 10/26/12
HARRIS CORP /DE/ DE 5.02,5.03,5.07,8.01, 10/26/12
9.01
HEIDRICK & STRUGGLES INTERNATIONAL IN DE 2.02,9.01 10/31/12
HENRY JACK & ASSOCIATES INC DE 2.02,9.01 10/31/12
HERITAGE FINANCIAL CORP /WA/ WA 2.02,8.01,9.01 10/30/12
HERTZ CORP DE 2.02,7.01,9.01 10/31/12
HERTZ GLOBAL HOLDINGS INC 2.02,7.01,9.01 10/31/12
HKN, Inc. DE 5.03,5.07,9.01 10/29/12
HomeTrust Bancshares, Inc. MD 2.02,9.01 10/31/12
HOT TOPIC INC /CA/ CA 2.02,9.01 10/31/12
HOUSTON AMERICAN ENERGY CORP DE 8.01,9.01 10/31/12
Howard Bancorp Inc MD 2.02,9.01 10/30/12
HSN, Inc. DE 2.02,7.01,9.01 10/31/12
HUDSON TECHNOLOGIES INC /NY NY 2.02,9.01 10/31/12
Hyatt Hotels Corp DE 2.01,9.01 10/31/12
ICAD INC DE 2.02,9.01 10/30/12
Ignite Restaurant Group, Inc. 1.01,1.02,2.03 10/29/12
ILLINOIS TOOL WORKS INC DE 5.03,9.01 10/31/12
IMAGE SENSING SYSTEMS INC MN 5.02,9.01 10/30/12
IMAGE SENSING SYSTEMS INC MN 2.02,9.01 10/31/12
INDEPENDENT BANK CORP MA 8.01,9.01 10/31/12
INSIGHT ENTERPRISES INC DE 2.02,9.01 10/31/12
INSIGNIA SYSTEMS INC/MN MN 2.02,9.01 10/31/12
INSPERITY, INC. DE 1.01,9.01 10/30/12
InsPro Technologies Corp DE 4.01,9.01 10/26/12
INTERNATIONAL RECTIFIER CORP /DE/ DE 1.01,2.03,7.01,9.01 10/25/12
INTERPUBLIC GROUP OF COMPANIES, INC. DE 2.02,9.01 10/26/12
INTEVAC INC CA 2.02,9.01 10/31/12
Intrepid Potash, Inc. DE 2.02,9.01 10/31/12
INVENT Ventures, Inc. NV 3.02 10/25/12
Invesco Mortgage Capital Inc. MD 2.02,9.01 10/30/12
IPG PHOTONICS CORP DE 2.02,9.01 10/31/12
IRON MOUNTAIN INC DE 2.02,9.01 10/31/12
IRONWOOD PHARMACEUTICALS INC 1.01,2.03 10/30/12
ISABELLA BANK CORP MI 2.02,9.01 10/25/12
KAMAN CORP CT 2.02,9.01 10/31/12
Kearny Financial Corp. X1 8.01,9.01 10/31/12
KELLOGG CO DE 5.02 10/26/12
KEYW HOLDING CORP MD 2.02,5.02,9.01 10/25/12
KIMCO REALTY CORP MD 2.02 10/30/12
Kingly Chateau Corp 3.02,5.01,5.02,8.01 10/31/12
Kraton Performance Polymers, Inc. DE 2.02,9.01 10/31/12
KULICKE & SOFFA INDUSTRIES INC PA 5.02 10/30/12
KVH INDUSTRIES INC \DE\ DE 2.02,9.01 10/31/12
LAMAR ADVERTISING CO/NEW DE 1.01,2.03,8.01,9.01 10/30/12
LANDMARK BANCORP INC DE 2.02,8.01,9.01 10/31/12
Lantheus Medical Imaging, Inc. DE 1.01,9.01 10/30/12
Laredo Resources Corp. NV 8.01,9.01 10/30/12
LEGACY RESERVES LP DE 2.02,9.01 10/30/12
LGL GROUP INC DE 8.01,9.01 10/31/12
Lightwave Logic, Inc. NV 7.01,9.01 10/31/12
Limelight Networks, Inc. DE 5.02,9.01 10/29/12
LINCOLN ELECTRIC HOLDINGS INC OH 2.02,9.01 10/31/12
Location Based Technologies, Inc. NV 8.01,9.01 10/25/12
LPL Financial Holdings Inc. DE 2.02,9.01 10/31/12
LRI HOLDINGS, INC. 2.02 10/30/12
MACERICH CO MD 2.02,7.01,9.01 10/31/12
MAGELLAN MIDSTREAM PARTNERS LP DE 2.02,9.01 10/31/12
MARKWEST ENERGY PARTNERS L P 5.05,8.01,9.01 10/25/12
MASTERCARD INC DE 2.02,7.01,9.01 10/31/12
MAXLINEAR INC 1.01,9.01 10/31/12
McEwen Mining Inc. CO 1.01,8.01 10/31/12
McEwen Mining Inc. CO 8.01 10/31/12
MEDALLION FINANCIAL CORP DE 8.01,9.01 10/26/12
Medidata Solutions, Inc. DE 2.02,9.01 10/31/12
METLIFE INC DE 2.02,9.01 10/31/12
MFRI INC DE 5.02 10/25/12
MGM Resorts International DE 2.02,9.01 10/31/12
MICRON TECHNOLOGY INC DE 1.01,8.01,9.01 10/29/12
MICRON TECHNOLOGY INC DE 1.01,9.01 07/02/12 AMEND
MIDDLEBURG FINANCIAL CORP VA 2.02,8.01,9.01 10/31/12
MOD PAC CORP NY 2.02,9.01 10/31/12
MOLEX INC DE 5.07 10/26/12
MONTPELIER RE HOLDINGS LTD 2.02,9.01 10/31/12
MOVADO GROUP INC NY 1.01 10/25/12
MPLX LP DE 1.01,9.01 10/25/12
MSC INDUSTRIAL DIRECT CO INC NY 2.02,9.01 10/31/12
Mueller Water Products, Inc. DE 2.02,9.01 10/30/12
Mueller Water Products, Inc. DE 7.01,9.01 10/31/12
MURPHY OIL CORP /DE DE 2.02,9.01 10/31/12
NANOPHASE TECHNOLOGIES CORPORATION IL 2.02,9.01 10/31/12
NATIONAL FINANCIAL PARTNERS CORP 7.01,9.01 10/31/12
NATIONAL HEALTHCARE CORP DE 2.02,8.01,9.01 10/31/12
NATIONAL SECURITY GROUP INC DE 8.01,9.01 10/26/12
NAVISTAR INTERNATIONAL CORP DE 2.05,7.01,9.01 10/30/12
NB Manufacturing, Inc. NV 1.01,9.01 10/31/12
NET 1 UEPS TECHNOLOGIES INC 5.07 10/31/12
NETSOL TECHNOLOGIES INC NV 2.02 10/31/12
NETSOL TECHNOLOGIES INC NV 2.02,9.01 10/31/12
NEUROCRINE BIOSCIENCES INC CA 2.02,9.01 10/31/12
NEWLINK GENETICS CORP 2.02,9.01 10/31/12
NEWPORT CORP NV 2.02,9.01 10/31/12
NEWTEK BUSINESS SERVICES, INC. NY 2.02,9.01 10/31/12
NICHOLAS FINANCIAL INC FL 2.02,9.01 10/31/12
NII HOLDINGS INC DE 4.02 10/29/12
Niska Gas Storage Partners LLC DE 2.02,9.01 10/31/12
NORTHWEST NATURAL GAS CO OR 2.02,2.03,8.01,9.01 10/26/12
NU SKIN ENTERPRISES INC DE 2.02,9.01 09/30/12
NUTRI SYSTEM INC /DE/ DE 5.02 06/06/12 AMEND
OCWEN FINANCIAL CORP FL 8.01 10/31/12
OCZ TECHNOLOGY GROUP INC DE 2.05,9.01 10/25/12
OIL STATES INTERNATIONAL, INC DE 2.02,9.01 10/31/12
OMNICARE INC DE 2.02,9.01 10/31/12
ON SEMICONDUCTOR CORP DE 5.02,9.01 10/26/12
ONEOK INC /NEW/ OK 2.02,7.01,9.01 10/30/12
ONEOK Partners LP DE 2.02,7.01,9.01 10/30/12
OPEN TEXT CORP A6 2.02,9.01 10/31/12
ORCHARD SUPPLY HARDWARE STORES CORP DE 1.01,2.03,9.01 10/26/12
ORRSTOWN FINANCIAL SERVICES INC PA 2.02,9.01 10/29/12
OVERSTOCK.COM, INC DE 2.02,9.01 10/29/12
Panama Dreaming Inc. NV 8.01 10/10/12
PAPA JOHNS INTERNATIONAL INC DE 2.02,9.01 10/31/12
PARAMETRIC TECHNOLOGY CORP MA 2.02,9.01 10/31/12
PAREXEL INTERNATIONAL CORP MA 2.02,9.01 10/30/12
PARK OHIO HOLDINGS CORP OH 2.02,9.01 10/31/12
PATAPSCO BANCORP INC MD 1.01,2.02,9.01 10/24/12
PC TEL INC DE 8.01,9.01 10/25/12
Pebblebrook Hotel Trust MD 2.02,9.01 10/25/12
PennyMac Mortgage Investment Trust MD 1.01,2.03,9.01 10/29/12
PENSECO FINANCIAL SERVICES CORP PA 2.02,9.01 10/31/12
Peoples Federal Bancshares, Inc. 2.02,9.01 10/31/12
PERCEPTRON INC/MI MI 1.01,9.01 09/28/12
PEREGRINE SEMICONDUCTOR CORP DE 2.02,9.01 10/31/12
PERFORMANCE TECHNOLOGIES INC \DE\ DE 2.05,2.06 09/30/12
PETMED EXPRESS INC FL 8.01,9.01 10/29/12
PGT, Inc. DE 9.01 10/31/12
PHH CORP MD 2.03 10/25/12
Phillips 66 DE 2.02,9.01 10/30/12
PIEDMONT NATURAL GAS CO INC NC 8.01 01/31/12
Piedmont Office Realty Trust, Inc. MD 2.02,9.01 10/31/12
PIONEER NATURAL RESOURCES CO DE 2.02,9.01 10/31/12
Pioneer Southwest Energy Partners L.P DE 2.02,9.01 10/31/12
POWERWAVE TECHNOLOGIES INC DE 5.02,5.03,9.01 10/29/12
PRIMUS TELECOMMUNICATIONS GROUP INC DE 5.02 10/31/12
PROVIDENT FINANCIAL HOLDINGS INC DE 8.01,9.01 10/30/12
PROVIDENT NEW YORK BANCORP DE 2.02,9.01 10/29/12
PROVIDENT NEW YORK BANCORP DE 5.02,5.03,9.01 10/25/12
PULASKI FINANCIAL CORP MO 2.02,9.01 10/30/12
Puramed Bioscience Inc. MN 1.01,3.02,9.01 10/29/12
PVH CORP. /DE/ DE 2.02,7.01,9.01 10/29/12
QEP RESOURCES, INC. DE 2.02,9.01 10/30/12
QUANTA SERVICES INC DE 2.02,9.01 10/31/12
QUANTUM CORP /DE/ DE 1.01,2.03,3.02,8.01, 10/26/12
9.01
Rand Logistics, Inc. DE 8.01,9.01 10/31/12
REGAL BELOIT CORP WI 2.02,9.01 07/31/12 AMEND
REGAL BELOIT CORP WI 2.02,9.01 10/29/12 AMEND
Regional Management Corp. DE 2.02,9.01 10/31/12
REPUBLIC AIRWAYS HOLDINGS INC DE 8.01,9.01 10/31/12
RESOURCE AMERICA, INC. DE 1.01,9.01 10/26/12
Resource Capital Corp. MD 2.02,9.01 10/30/12
REVA Medical, Inc. DE 2.02,9.01 10/31/12
Reven Housing REIT, Inc. CO 1.01,9.01 10/25/12
REYNOLDS AMERICAN INC 1.01,2.03,9.01 10/31/12
Roadrunner Transportation Systems, In DE 2.02,9.01 10/31/12
ROPER INDUSTRIES INC DE 2.01,9.01 10/24/12 AMEND
ROWAN COMPANIES PLC X0 2.02,7.01,9.01 10/31/12
RTI INTERNATIONAL METALS INC OH 2.02,9.01 10/31/12
SAUER DANFOSS INC DE 1.01 10/31/12
SCBT FINANCIAL CORP SC 5.02,9.01 10/25/12
SCHAWK INC 2.02,9.01 10/31/12
SCHWEITZER MAUDUIT INTERNATIONAL INC DE 2.02,9.01 10/31/12
SEACOAST BANKING CORP OF FLORIDA FL 2.02,7.01,9.01 10/25/12
SEACOR HOLDINGS INC /NEW/ DE 9.01 10/30/12
SEACOR HOLDINGS INC /NEW/ DE 2.02,9.01 10/30/12 AMEND
Seagate Technology plc L2 2.02,9.01 10/31/12
SECURITY FEDERAL CORP SC 2.02,9.01 10/29/12
Shire plc 8.01,9.01 10/30/12
SIGNET JEWELERS LTD 8.01 10/31/12
Silver Falcon Mining, Inc. DE 8.01 10/31/12
SOLITRON DEVICES INC DE 1.01,9.01 10/29/12
Somaxon Pharmaceuticals, Inc. DE 2.02,9.01 10/31/12
SOUTH AMERICAN GOLD CORP. NV 1.01,3.02,9.01 10/24/12
SOVRAN SELF STORAGE INC MD 2.02,9.01 10/31/12
Spectrum Brands Holdings, Inc. DE 8.01,9.01 10/31/12
Spectrum Brands, Inc. DE 8.01,9.01 10/31/12
SPEEDWAY MOTORSPORTS INC DE 2.02,9.01 10/31/12
Spirit Airlines, Inc. DE 2.02,9.01 10/31/12
Spirit Airlines, Inc. DE 7.01,9.01 10/31/12
SPORT CHALET INC DE 2.02,9.01 10/31/12
SPX CORP DE 2.02,9.01 10/31/12
STANDARD PARKING CORP DE 1.01 10/25/12
STATE INVESTORS BANCORP, INC. 2.02,9.01 10/29/12
STERIS CORP OH 2.02,9.01 10/31/12
Stevia First Corp. 1.01,9.01 10/29/12
STRATS SM TRUST FOR Goldman Sachs Cap 8.01 10/25/12
STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01 10/25/12
STRATS SM TRUST FOR IBM CORP SEC SERI 8.01 10/25/12
STRATS SM TRUST FOR JPMORGAN CHASE & 8.01 10/25/12
STRATS SM TRUST FOR WAL-MART STORES, 8.01 10/25/12
STRATS(SM) Trust for Allstate Corp Se 8.01 10/25/12
STRATS(SM) TRUST FOR DOMINION RESOURC 8.01 10/25/12
STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01 10/25/12
STRATS(SM) Trust For Goldman Sachs Ca 8.01 10/25/12
STRATS(SM) Trust for Goldman Sachs Gr 8.01 10/25/12
STRATS(SM) Trust For Morgan Stanley S 8.01 10/25/12
STRATS(SM) Trust for Procter & Gamble 8.01 10/25/12
STREAMLINE HEALTH SOLUTIONS INC. DE 9.01 08/16/12 AMEND
STURM RUGER & CO INC DE 2.02,9.01 10/31/12
SUFFOLK BANCORP NY 2.02,9.01 10/31/12
SUMMIT FINANCIAL GROUP INC WV 2.02,9.01 10/31/12
SUNGARD CAPITAL CORP DE 2.02,9.01 10/31/12
SUPERNUS PHARMACEUTICALS INC DE 5.02,9.01 10/26/12
Synthetic Biologics, Inc. NV 1.01,3.02,9.01 10/25/12
TAKE TWO INTERACTIVE SOFTWARE INC DE 2.02,9.01 10/31/12
TEAM HEALTH HOLDINGS INC. DE 2.02,9.01 10/31/12
TELEFLEX INC DE 2.02,9.01 10/31/12
TELEFLEX INC DE 7.01,9.01 10/31/12
TESORO CORP /NEW/ DE 2.02,9.01 10/31/12
TITAN PHARMACEUTICALS INC DE 8.01,9.01 10/29/12
TOMI Environmental Solutions, Inc. FL 8.01,9.01 10/31/12
Transocean Ltd. V8 1.01,2.03,9.01 10/25/12
TRIUMPH GROUP INC DE 2.02 10/30/12
ULTIMATE SOFTWARE GROUP INC DE 2.02,9.01 10/30/12
UMH PROPERTIES, INC. MD 1.01,3.03,5.03,7.01, 10/25/12
9.01
Unilife Corp DE 2.02,7.01,9.01 10/31/12
UNIVERSAL HEALTH SERVICES INC DE 2.02,9.01 10/30/12
Unum Group DE 2.02,9.01 10/31/12
US CONCRETE INC DE 2.01,7.01,9.01 10/30/12
US GEOTHERMAL INC DE 8.01 10/31/12
USEC INC DE 2.02,9.01 10/31/12
VANGUARD HEALTH SYSTEMS INC DE 2.02,9.01 10/30/12
Vantiv, Inc. 1.01,7.01,9.01 10/26/12
VECTOR GROUP LTD DE 2.02,9.01 10/31/12
VERIFONE SYSTEMS, INC. DE 7.01 10/31/12
VIRTUS INVESTMENT PARTNERS, INC. DE 2.02,9.01 10/31/12
VISA INC. DE 2.02,9.01 10/31/12
VISTEON CORP DE 5.02,9.01 10/29/12
Vocus, Inc. DE 1.02,5.02 10/31/12
VONAGE HOLDINGS CORP DE 2.02,9.01 10/31/12
VSE CORP DE 2.02,9.01 09/30/12
W R GRACE & CO DE 7.01 10/25/12
W&T OFFSHORE INC TX 2.02,9.01 10/30/12
WADDELL & REED FINANCIAL INC DE 2.02,9.01 10/31/12
WARNACO GROUP INC /DE/ DE 2.02,8.01,9.01 10/29/12
WASTE CONNECTIONS, INC. DE 2.01,2.03,5.02,9.01 10/25/12
WASTE MANAGEMENT INC DE 2.02,9.01 10/31/12
WATERSTONE FINANCIAL INC WI 2.02 09/30/12
WD 40 CO DE 5.02,9.01 10/25/12
WELLCARE HEALTH PLANS, INC. DE 8.01,9.01 10/31/12
WELLCARE HEALTH PLANS, INC. DE 2.02,9.01 10/31/12
Wellesley Bancorp, Inc. 2.02,9.01 10/31/12
Western Gas Partners LP DE 2.02,9.01 10/31/12
WESTERN RESERVE BANCORP INC 5.07 10/25/12
WESTMORELAND COAL Co DE 2.02,9.01 10/26/12
WEX Inc. 2.02,9.01 10/31/12
WHITEWAVE FOODS Co DE 1.01,2.03 10/25/12
WILLIAMS COMPANIES INC DE 2.02,9.01 10/31/12
Williams Partners L.P. 2.02,9.01 10/31/12
WISCONSIN ENERGY CORP WI 2.02 10/31/12
WORTHINGTON INDUSTRIES INC OH 8.01,9.01 10/31/12
Zeltiq Aesthetics Inc DE 5.02 10/30/12
Zumiez Inc WA 7.01,9.01 10/31/12
http://www.sec.gov/news/digest/2012/dig110112.htm
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