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Enforcement ProceedingsIn the Matter of Ward K. CapstickOn November 21, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act), Making Findings and Imposing Remedial Sanctions (Order) against Ward K. Capstick. The Order finds that Capstick, a resident of Snohomish, Washington, offered and sold the securities of various companies. On October 30, 2012, a judgment was entered by consent against Capstick, permanently enjoining him from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder in the civil action entitled Securities and Exchange Commission v. Merendon Mining (Nevada) Inc., et al., Civil Action Number 2:10-cv-00955-RAJ, in the United States District Court for the Western District of Washington. The Commission’s complaint alleged that, Capstick offered and sold the securities of the companies used to perpetrate a fraudulent scheme and directed others to do so, as well. Capstick was also an officer and director of Merendon Mining (Nevada) Inc., one of the companies used to perpetrate the scheme. Based on the above, the Order bars Capstick from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent; and from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Capstick consented to the issuance of the Order without admitting or denying any of the findings except that he admitted the entry of the injunction against him. (Rel. 34-68284; File No. 3-15104) INVESTMENT COMPANY ACT RELEASESPNC Capital Advisors, LLC, et al.An order has been issued on an application filed by PNC Capital Advisors, LLC, PNC Funds, and PNC Advantage Funds under Section 12(d)(1)(J) of the Investment Company Act (Act) for an exemption from Sections 12(d)(1)(A) and (B) of the Act, and under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act. The order permits certain registered open-end management investment companies that operate as “funds of funds” to acquire shares of certain registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies. (Rel. IC-30271 – November 20) Orders of Deregistration Under the Investment Company Act of 1940Orders have been issued under Section 8(f) of the Investment Company Act of 1940 declaring that each of the following has ceased to be an investment company:
SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the Municipal Securities Rulemaking Board consisting of revisions to the study outline for the Municipal Securities Principal Qualification Examination (Series 53) (SR-MSRB-2012-09) 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 November 26. (Rel. 34-68274) A proposed rule change (SR-NYSEArca-2012-127) filed by NYSE Arca, Inc. amending its Schedule of Fees and Charges for Exchange Services to revise certain aspects of the Listing Fees applicable to Structured Products 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 November 26. (Rel. 34-68280) A proposed rule changed filed by National Stock Exchange, Inc. to clarify the operation of the Exchange’s Depth-of-Book Feed (SR-NSX-2012-23) 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 November 26. (Rel. 34-68281) A proposed rule change filed by the New York Stock Exchange LLC amending NYSE rule 123C(9)(a)(1)(ii) to delete the requirement that the order acceptance cut-off time cannot be past 4:30 p.m. (SR-NYSE-2012-63) 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 November 26. (Rel. 34-68282) A proposed rule change filed by New York Stock Exchange LLC amending its price list to specify pricing that is currently applicable to certain executions on the Exchange, but that is not currently included in the price list (SR-NYSE-2012-45) 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 November 26. (Rel. 34-68283) Proposed Rule ChangeNew York Stock Exchange LLC filed a proposed rule change (SR-NYSE-2012-54) pursuant to Section 19(b)(1) of the Securities Exchange Act amending the Listed Company Manual Section 204.00 to create a uniform method for a company to provide notice to the Exchange when required pursuant to Sections 204.06, 204.12, 204.17, 204.21, 204.22, 311.01, 401.02, and 601.00 of the Listed Company Manual, and to make conforming changes. Publication is expected in the Federal Register during the week of November 26. (Rel. 34-68276) Designation of Longer Period for Commission Action on Proposed Rule ChangeThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-NASDAQ-2012-117) filed by The NASDAQ Stock Market LLC with respect to INAV Pegged Orders for ETFs. Publication is expected in the Federal Register during the week of November 26. (Rel. 34-68279) 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 LaSalle Hotel Properties, 3 BETHESDA METRO CENTER, SUITE 1200, BETHESDA, MD, 20814, 301 941 1500 - 0 ($0.00) Other, (File 333-185081 - Nov. 21) (BR. 08B) S-8 ENERGIZER HOLDINGS INC, 533 MARYVILLE UNIVERSITY DRIVE, ST LOUIS, MO, 63141, 3149852161 - 0 ($345,900,000.00) Equity, (File 333-185082 - Nov. 21) (BR. 10A) S-1 AVIANA, CORP., 19 BRONIEWSKIEGO STREET, WLODAWA, R9, 22200, 48918813933 - 1,510,000 ($75,500.00) Equity, (File 333-185083 - Nov. 21) (BR. 11) S-8 ID SYSTEMS INC, 123 TICE BOULEVARD, WOODCLIFF LAKE, NJ, 07677, 2019969000 - 200,000 ($1,098,000.00) Equity, (File 333-185084 - Nov. 21) (BR. 11C) S-8 ID SYSTEMS INC, 123 TICE BOULEVARD, WOODCLIFF LAKE, NJ, 07677, 2019969000 - 800,000 ($4,392,000.00) Equity, (File 333-185085 - Nov. 21) (BR. 11C) S-8 IMMUNOGEN INC, 830 WINTER ST, WALTHAM, MA, 02451, (781)895-0600 - 0 ($43,130,141.50) Equity, (File 333-185086 - Nov. 21) (BR. 01A) S-3 INDIANA MICHIGAN POWER CO, 1 RIVERSIDE PLAZA, COLUMBUS, OH, 43215, 614-716-1000 - 625,000,000 ($625,000,000.00) Debt, (File 333-185087 - Nov. 21) (BR. 02B) S-8 SWS GROUP INC, SUITE 3500, 1201 ELM STREET, DALLAS, TX, 75270, 2146511800 - 2,630,000 ($10,888,200.00) Equity, (File 333-185088 - Nov. 21) (BR. 12A) S-3 UNIVERSAL HEALTH REALTY INCOME TRUST, UNIVERSAL CORPORATE CTR, 367 S GULPH RD, KING OF PRUSSIA, PA, 19406, 610-265-0688 - 0 ($50,000,000.00) Unallocated (Universal) Shelf, (File 333-185092 - Nov. 21) (BR. 08C) S-3ASR TARGET CORP, 1000 NICOLLET MALL, MINNEAPOLIS, MN, 55403, 6123046073 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-185093 - Nov. 21) (BR. 02B) S-3ASR PRECISION CASTPARTS CORP, 4650 SW MACADAM AVE, STE 440, PORTLAND, OR, 97239, 503.417.4800 - 0 ($0.00) Debt, (File 333-185095 - Nov. 21) (BR. 06B) S-8 POWER SOLUTIONS INTERNATIONAL, INC., 201 MITTEL DRIVE, WOOD DALE, IL, 60191, 630.350.9400 - 0 ($13,087,068.75) Equity, (File 333-185096 - Nov. 21) (BR. 10B) S-3 POWERWAVE TECHNOLOGIES INC, 1801 E. ST. ANDREW PLACE, SANTA ANA, CA, 92705, 7144661000 - 3,750,000 ($1,200,000.00) Equity, (File 333-185097 - Nov. 21) (BR. 11A) S-1 Sasani Films Corp, 153 W. 27TH STEET, SUITE 507, NEW YORK CITY, NY, 10001, 917-628-4828 - 0 ($50,000.00) Equity, (File 333-185098 - Nov. 21) (BR. 05) S-1 Titan Iron Ore Corp., 3040 N. CAMPBELL AVE., SUITE 110, TUCSON, AZ, 85719, (520) 989-0020 - 12,906,300 ($3,742,827.00) Other, (File 333-185099 - Nov. 21) (BR. 03A) S-1 First Northwest Bancorp, 105 WEST 8TH STREET, PORT ANGELES, WA, 98362, (360) 457-0461 - 0 ($99,581,000.00) Equity, (File 333-185101 - Nov. 21) (BR. ) S-1 TAP RESOURCES, INC., 112 NORTH CURRY STREET, CARSON CITY, NV, 89703, (775) 321-8267 - 40,000,000 ($2,000,000.00) Equity, (File 333-185102 - Nov. 21) (BR. 09B) S-1 Oro Capital Corporation, Inc., 23 DASSAN ISLAND DRIVE, PLETTENBERG BAY, T3, 6600, 27764965865 - 1,000,000 ($40,000.00) Equity, (File 333-185103 - Nov. 21) (BR. ) S-4 CARROLS RESTAURANT GROUP, INC., 968 JAMES STREET, SYRACUSE, NY, 13203, 315-424-0513 - 0 ($150,000,000.00) Debt, (File 333-185104 - Nov. 21) (BR. 05A) S-3ASR LINCOLN NATIONAL CORP, 150 N RADNOR CHESTER RD, RADNOR, PA, 19087, 4845831475 - 3,555,664 ($82,171,396.00) Equity, (File 333-185105 - Nov. 21) (BR. 01A) S-4 INTERMEDIA OUTDOOR HOLDINGS, INC., C/O INTERMEDIA PARTNERS, L.P., 405 LEXINGTON AVENUE, 48TH FLOOR, NEW YORK, NY, 10174, 212-503-2862 - 0 ($168,870,506.00) Equity, (File 333-185106 - Nov. 21) (BR. ) S-3 BERKSHIRE HILLS BANCORP INC, 24 NORTH ST., PITTSFIELD, MA, 01201, 4134435601 - 0 ($1.00) Other, (File 333-185107 - Nov. 21) (BR. 07B) S-8 Graystone Co, 2620 REGATTA DRIVE, STE 102, LAS VEGAS, NV, 89128, 7025825535 - 40,000,000 ($240,000.00) Equity, (File 333-185109 - Nov. 21) (BR. 03B) S-3 BGC Partners, Inc., 499 PARK AVENUE, NEW YORK, NY, 10022, 212-610-2200 - 0 ($64,800,000.00) Equity, (File 333-185110 - Nov. 21) (BR. 08C) S-11 CORPORATE PROPERTY ASSOCIATES 18 GLOBAL INC, 50 Rockefeller Plaza, New York, NY, 10020, 212-492-1100 - 0 ($1,400,000,000.00) Equity, (File 333-185111 - Nov. 21) (BR. 08) S-8 MINERALRITE Corp, 7044 PORTAL WAY, UNIT K-110, FERNDALE, WA, 98248, (403) 288-4321 - 5,000,000 ($25,000.00) Equity, (File 333-185112 - Nov. 21) (BR. 04B) S-3 PALATIN TECHNOLOGIES INC, 4B CEDAR BROOK DRIVE, CRANBURY, NJ, 08512, 609-495-2200 - 35,488,380 ($23,777,214.60) Equity, (File 333-185113 - Nov. 21) (BR. 01B) S-3D CORTLAND BANCORP INC, 194 W MAIN ST, CORTLAND, OH, 44410, 2166378040 - 0 ($19,850,000.00) Equity, (File 333-185114 - Nov. 21) (BR. 07B) S-3 SPECTRUM PHARMACEUTICALS INC, 11500 S. EASTERN AVE., SUITE 240, HENDERSON, NV, 89052, 702-835-6300 - 0 ($1.00) Unallocated (Universal) Shelf, (File 333-185115 - Nov. 21) (BR. 01A) S-4 OFFSHORE GROUP INVESTMENT Ltd, P.O. BOX 309, UGLAND HOUSE, GRAND CAYMAN, E9, KY1-1104, (281) 404-4700 - 0 ($1,150,000,000.00) Non-Convertible Debt, (File 333-185117 - Nov. 21) (BR. 04A) S-4 Crescent Financial Bancshares, Inc., 3600 GLENWOOD AVENUE, SUITE 300, RALEIGH, NC, 27612-4937, (919) 659-9000 - 12,016,484 ($48,269,031.00) Equity, (File 333-185118 - Nov. 21) (BR. 07B) S-8 IN Media Corp, 4920 EL CAMINO REAL, SUITE 100, LOS ALTOS, CA, 94022, 408-849-9499 - 2,500,000 ($612,500.00) Equity, (File 333-185119 - Nov. 21) (BR. 06B) 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
-----------------------------------------------------------------------------------------
ACCESS NATIONAL CORP VA 7.01,9.01 11/20/12
ACL SEMICONDUCTORS INC 5.07 11/16/12
ADCARE HEALTH SYSTEMS INC OH 4.01,9.01 11/16/12
ADVOCAT INC DE 8.01 11/21/12
AIR T INC DE 5.03 11/20/12
Ally Financial Inc. DE 8.01,9.01 11/21/12
ALTAIR NANOTECHNOLOGIES INC Z4 1.01,2.03,9.01 11/16/12
AMAG PHARMACEUTICALS INC. DE 8.01 11/21/12
AMERICAN NATIONAL BANKSHARES INC VA 8.01,9.01 11/21/12
American Realty Capital Trust III, In MD 1.01,2.01 11/16/12
American Realty Capital Trust IV, Inc MD 1.01,2.01,9.01 11/16/12
AMERIGAS PARTNERS LP DE 5.02 11/15/12
AMERISOURCEBERGEN CORP DE 1.01,9.01 11/16/12
AMREP CORP. OK 1.01,2.03,9.01 11/19/12
ANGIODYNAMICS INC DE 5.02,9.01 11/19/12
Approach Resources Inc DE 1.01,2.03,9.01 11/16/12
ARCH COAL INC DE 7.01,9.01 11/21/12
ASTORIA FINANCIAL CORP DE 8.01,9.01 11/21/12
Atkore International Holdings Inc. DE 2.02 11/16/12
ATLANTIC POWER CORP A1 1.01,2.03,9.01 11/02/12 AMEND
ATMEL CORP DE 5.02,9.01 11/19/12
AVANIR PHARMACEUTICALS, INC. DE 5.02,8.01 11/15/12
AVNET INC NY 8.01,9.01 11/20/12
BAKERS FOOTWEAR GROUP INC MO 1.01,1.02,2.03 11/15/12
Bank of Commerce Holdings CA 5.02,9.01 11/21/12
BAYOU CITY EXPLORATION, INC. 5.02 11/20/12
BB&T CORP NC 8.01,9.01 11/21/12
BELK INC 2.01,9.01 11/20/12
BENCHMARK ELECTRONICS INC TX 5.02,9.01 11/21/12
Big Three Restaurants, Inc. FL 1.02,2.01,2.05,5.06 11/15/12 AMEND
BLUEFLY INC DE 2.02,9.01 11/21/12
BMC SOFTWARE INC DE 1.01,2.03,9.01 11/21/12
BOLD ENERGY INC. NV 5.02 09/21/12
BON TON STORES INC PA 5.04,9.01 11/21/12
Bonanza Creek Energy, Inc. DE 8.01 11/15/12
BRT REALTY TRUST MA 1.01,2.01,2.03,9.01 11/15/12
BRYN MAWR BANK CORP PA 1.01,1.02,3.03,8.01, 11/16/12
9.01
BUKA VENTURES INC. NV 4.01 11/20/12
C&J Energy Services, Inc. DE 8.01,9.01 11/19/12
CABCO SERIES 2004-101 TRUST (GOLDMAN 8.01,9.01 11/15/12
CALGON CARBON CORPORATION DE 1.01,8.01,9.01 11/19/12
CAPSTONE COMPANIES, INC. FL 7.01,9.01 11/15/12 AMEND
CARBONICS CAPITAL CORP DE 1.01,9.01 11/21/12
Cardinal Ethanol LLC IN 1.01 11/20/12
Cardium Therapeutics, Inc. DE 8.01,9.01 11/19/12
CDW Corp DE 2.04,9.01 11/21/12
CEDAR REALTY TRUST, INC. MD 5.03,9.01 11/19/12
CENTRAL EUROPEAN DISTRIBUTION CORP DE 8.01,9.01 11/21/12
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 11/21/12
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 11/21/12
CHEMUNG FINANCIAL CORP NY 8.01,9.01 11/21/12
CHICOS FAS INC FL 2.02,9.01 11/20/12
China Auto Logistics Inc NV 5.07 11/19/12
CHINA BAK BATTERY INC NV 5.02,9.01 11/21/12
China Biologic Products, Inc. 1.01,3.03,5.03,8.01, 11/21/12
9.01
ChinaNet Online Holdings, Inc. NV 8.01,9.01 11/21/12
CINCINNATI BELL INC OH 1.01,1.02,2.03,8.01, 11/20/12
9.01
Circle Entertainment, Inc. DE 1.01,1.02,9.01 11/16/12
CIT GROUP INC DE 8.01 11/20/12
Clean Coal Technologies Inc. NV 8.01,9.01 11/21/12
Clearfield, Inc. MN 5.02 11/21/12
CLEARONE COMMUNICATIONS INC UT 2.02,9.01 11/15/12
CNH CAPITAL RECEIVABLES LLC DE 1.01,9.01 11/21/12
Colonial Financial Services, Inc. MD 8.01,9.01 11/20/12
COLUMBIA BANKING SYSTEM INC WA 5.02 11/20/12
COMM 2012-CCRE3 Mortgage Trust DE 9.01 10/12/12 AMEND
Community Choice Financial Inc. 2.02,9.01 11/21/12
Corporate Capital Trust, Inc. MD 1.01,2.03,9.01 11/15/12
CORTLAND BANCORP INC OH 8.01 11/20/12
COVENTRY HEALTH CARE INC DE 5.07,8.01,9.01 11/21/12
CPI CORP DE 1.01,2.03,9.01 11/20/12
CRAY INC WA 2.01,8.01,9.01 11/21/12
CYNOSURE INC 5.01,5.02,8.01,9.01 11/21/12
Cytosorbents Corp 2.02,9.01 11/21/12
DEAN FOODS CO DE 5.02 11/15/12
DecisionPoint Systems, Inc. 1.01,3.02,5.03,9.01 11/15/12
DEERE & CO DE 2.02,7.01,8.01,9.01 11/21/12
DEERE JOHN CAPITAL CORP DE 2.02,7.01,8.01,9.01 11/21/12
Diamond Foods Inc DE 5.02,9.01 11/16/12
Diamond Foods Inc DE 5.02,8.01,9.01 11/19/12
DIGI INTERNATIONAL INC DE 3.02 10/31/12
Discover Financial Services DE 1.01,2.03,8.01,9.01 11/19/12
DONALDSON CO INC DE 5.07 11/16/12
DONALDSON CO INC DE 2.02,9.01 11/21/12
DYCOM INDUSTRIES INC FL 1.01,9.01 11/19/12
DYCOM INDUSTRIES INC FL 5.07 11/20/12
DYCOM INDUSTRIES INC FL 2.02,7.01 11/20/12
E-Debit Global Corp. CO 8.01,9.01 11/21/12
Eco-Tek Group, Inc. NV 5.03,9.01 11/16/12
EDIETS COM INC DE 1.01,9.01 11/16/12
EDISON MISSION ENERGY DE 1.01,9.01 11/15/12
Elevate, Inc. NV 1.01,9.01 11/16/12
Emerald Oil, Inc. MT 1.01,1.02,2.03,5.02, 11/15/12
7.01,9.01
Empeiria Acquisition Corp DE 7.01,9.01 11/21/12
ENCORE CAPITAL GROUP INC DE 8.01,9.01 11/20/12
Energizer Resources, Inc. MN 9.01 11/21/12
ESB FINANCIAL CORP PA 5.02,9.01 11/20/12
EVCARCO, INC. NV 8.01,9.01 11/19/12
EXA CORP MA 5.02,9.01 11/20/12
Federal Home Loan Bank of Dallas 2.03,9.01 11/15/12
Federal Home Loan Bank of Indianapoli X1 5.02,9.01 11/21/12
FIRST MERCHANTS CORP IN 8.01,9.01 11/21/12
FIRST REGIONAL BANCORP CA 8.01,9.01 11/15/12
Flagstone Reinsurance Holdings, S.A. N4 8.01,9.01 11/21/12
FLOWERS FOODS INC GA 1.01,2.03,9.01 11/16/12
FLUOROPHARMA MEDICAL, INC. NV 1.01,3.02,8.01,9.01 09/30/12
FLUSHING FINANCIAL CORP DE 8.01,9.01 11/20/12
Ford Credit Auto Owner Trust 2012-D 8.01,9.01 11/21/12
Ford Credit Auto Owner Trust 2012-D 1.01,9.01 11/21/12
FOREST OIL CORP NY 2.01,2.02,7.01,8.01, 11/16/12
9.01
FORUM ENERGY TECHNOLOGIES, INC. DE 1.01,2.03,9.01 11/20/12
General Finance CORP DE 8.01 11/20/12
GEOKINETICS INC DE 7.01 11/21/12
Global Eagle Acquisition Corp. DE 2.03 11/21/12
GRAFTECH INTERNATIONAL LTD DE 8.01 11/16/12
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 11/16/12
Green Innovations Ltd. 1.01,2.01,8.01,9.01 11/19/12
GRYPHON GOLD CORP NV 5.02 11/21/12
HAIN CELESTIAL GROUP INC DE 5.07 11/15/12 AMEND
Hampden Bancorp, Inc. DE 5.02,9.01 11/18/12
HANCOCK FABRICS INC DE 1.01,2.03,3.02,9.01 11/15/12
HARBINGER GROUP INC. DE 8.01 11/16/12
HAWAIIAN HOLDINGS INC DE 5.02,9.01 11/15/12
HCC INSURANCE HOLDINGS INC/DE/ DE 7.01,9.01 11/21/12
HEALTH CARE REIT INC /DE/ DE 8.01 11/19/12
HEALTH DISCOVERY CORP 2Q 5.02,9.01 11/15/12
Heckmann Corp DE 7.01,9.01 11/21/12
Highpower International, Inc. DE 5.07 11/18/12
Hillenbrand, Inc. IN 1.01,9.01 11/19/12
HMG COURTLAND PROPERTIES INC DE 7.01,8.01,9.01 11/21/12
Homeowners Choice, Inc. FL 1.01,2.03,9.01 11/19/12
HYPERDYNAMICS CORP DE 1.01,9.01 11/20/12
IF Bancorp, Inc. MD 5.02,5.07 11/20/12
II-VI INC PA 1.01,1.02,2.03,9.01 11/16/12
ILLUMINA INC DE 8.01,9.01 11/20/12
inContact, Inc. DE 5.02 11/16/12
Indigo International, Corp. NV 5.02 11/16/12
Intellicell Biosciences, Inc. NV 1.01,3.02,5.02,8.01, 11/13/12
9.01
INTERSECTIONS INC DE 1.01,2.03,9.01 11/16/12
INTL FCSTONE INC. DE 5.02 11/15/12
iPayment Holdings, Inc DE 5.02,9.01 08/27/12
IRON MOUNTAIN INC DE 8.01 11/21/12
ISA INTERNATIONALE INC DE 4.01,9.01 09/30/12
JDA SOFTWARE GROUP INC DE 8.01,9.01 11/21/12
JPMORGAN CHASE & CO DE 5.02,9.01 11/21/12
KAMAN CORP CT 1.01,1.02,2.03,8.01, 11/20/12
9.01
KANSAS CITY SOUTHERN DE 1.01,2.03,7.01,9.01 11/21/12
Kennedy-Wilson Holdings, Inc. DE 8.01 11/20/12
KID BRANDS, INC NJ 2.02,9.01 11/21/12
KIT digital, Inc. DE 4.02,8.01 11/15/12
Kraft Foods Group, Inc. 5.02,8.01 11/16/12
LAKES ENTERTAINMENT INC MN 7.01,9.01 11/20/12
Liberty Global, Inc. DE 2.03 11/21/12
Liberty Interactive Corp 5.02,9.01 11/20/12
Liberty Media Corp DE 5.02,9.01 11/20/12
Lone Star Gold, Inc. NV 1.01,9.01 11/20/12
LORAL SPACE & COMMUNICATIONS INC. DE 2.01,9.01 11/02/12 AMEND
MAGELLAN MIDSTREAM PARTNERS LP DE 8.01,9.01 11/16/12
MALVERN BANCORP, INC. PA 2.02,9.01 11/21/12
MAP Pharmaceuticals, Inc. DE 8.01,9.01 11/21/12
MASTERCARD INC DE 1.01,9.01 11/16/12
MAYS J W INC NY 5.07 11/20/12
MEDICIS PHARMACEUTICAL CORP DE 8.01 11/20/12
MEI Pharma, Inc. DE 3.02,5.03,5.07 11/19/12
Midway Gold Corp A1 7.01,9.01 11/21/12
MINERALRITE Corp NV 1.01,3.02 11/21/12
MISCOR GROUP, LTD. IN 8.01,9.01 11/21/12
MOHAWK INDUSTRIES INC DE 1.01,9.01 11/16/12
Monarchy Resources, Inc. NV 4.01 11/20/12
Morgans Hotel Group Co. DE 5.02 11/20/12
MOTORCAR PARTS AMERICA INC NY 3.01,9.01 11/20/12
Motors Liquidation Co DE 8.01,9.01 11/21/12
MOTRICITY INC DE 1.01,5.02,8.01,9.01 11/15/12
MSB FINANCIAL CORP. X1 5.07 11/19/12
MULTIBAND CORP MN 1.01,9.01 11/20/12
MusclePharm Corp NV 5.02,9.01 11/16/12
MYLAN INC. PA 8.01,9.01 11/20/12
NASH FINCH CO DE 5.02 11/18/12
NAVARRE CORP /MN/ MN 2.01,2.03,3.02,5.02,5.07,7.01,9.0111/20/12
New Western Energy Corp NV 7.01,9.01 11/21/12
NewStar Financial, Inc. 8.01 11/19/12
NEXCORE HEALTHCARE CAPITAL CORP DE 1.01 11/15/12
Northfield Bancorp, Inc. X1 8.01,9.01 11/19/12
NorthStar Real Estate Income Trust, I MD 8.01 11/20/12
NORTHSTAR REALTY FINANCE CORP. MD 8.01 11/20/12
Northwest Bancshares, Inc. MD 8.01,9.01 11/21/12
NovaBay Pharmaceuticals, Inc. CA 5.02 11/16/12
NPC Restaurant Holdings, LLC DE 1.01,2.03,3.03,7.01, 11/21/12
9.01
NUTRACEUTICAL INTERNATIONAL CORP DE 2.02,9.01 11/20/12
OAK RIDGE MICRO-ENERGY INC CO 1.01,9.01 11/18/12
OBA Financial Services, Inc. MD 5.07,9.01 11/15/12
OCZ TECHNOLOGY GROUP INC DE 8.01,9.01 11/21/12
OLD SECOND BANCORP INC DE 5.02 11/20/12
OLYMPIC STEEL INC OH 5.02,9.01 11/21/12
ONCOR ELECTRIC DELIVERY CO LLC DE 5.02,8.01 11/19/12
Oraco Resources, Inc. NV 1.01,9.01 11/19/12
ORRSTOWN FINANCIAL SERVICES INC PA 5.03,7.01,9.01 11/19/12
OSIRIS THERAPEUTICS, INC. DE 5.02,9.01 11/16/12
OXIGENE INC DE 8.01,9.01 11/21/12
PERRIGO CO MI 1.01,2.03,9.01 11/20/12
PICO HOLDINGS INC /NEW CA 2.01,9.01 11/21/12
PRICELINE COM INC DE 8.01 11/21/12
PULASKI FINANCIAL CORP MO 8.01,9.01 11/21/12
PURADYN FILTER TECHNOLOGIES INC DE 2.02,7.01,9.01 11/20/12
QUANTA SERVICES INC DE 1.01,5.02,7.01,9.01 11/16/12
QUEST DIAGNOSTICS INC DE 7.01 11/21/12
RAIT Financial Trust MD 1.01,3.02,9.01 11/15/12
RAMTRON INTERNATIONAL CORP DE 1.01,5.02,9.01 11/16/12
RAMTRON INTERNATIONAL CORP DE 2.01,3.01,3.03,5.02, 11/20/12
5.03,5.07,9.01
Rangeford Resources, Inc. NV 1.01,3.02,9.01 11/15/12
RAVEN INDUSTRIES INC SD 2.02 11/20/12
Recursos Montana S.A. NV 4.01 11/20/12
RESMED INC DE 5.02,5.07,9.01 11/15/12
Revel AC, Inc. DE 2.02,7.01,9.01 11/21/12
Rockville Financial, Inc. /CT/ CT 8.01,9.01 11/21/12
ROPER INDUSTRIES INC DE 8.01,9.01 11/21/12
SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 11/21/12
SCG Financial Acquisition Corp. DE 8.01,9.01 11/21/12
SCHIFF NUTRITION INTERNATIONAL, INC. DE 1.01,1.02,9.01 11/21/12
SCHOLASTIC CORP DE 8.01,9.01 11/20/12
SCHWAB CHARLES CORP DE 8.01,9.01 11/21/12
SCOTTS LIQUID GOLD INC CO 1.01 11/21/12
SEALED AIR CORP/DE DE 5.02 11/20/12
SENESCO TECHNOLOGIES INC DE 3.01,8.01,9.01 11/21/12
SEQUENTIAL BRANDS GROUP, INC. DE 5.02,7.01,9.01 11/15/12
Siberian Energy Group Inc. NV 5.02 11/12/12
Sibling Group Holdings, Inc. TX 5.02,7.01,8.01 11/03/12
SKECHERS USA INC DE 1.01,2.03 11/16/12
SL GREEN REALTY CORP MD 1.01,2.03,8.01,9.01 11/16/12
SOUTH JERSEY GAS Co NJ 5.02 11/15/12
SOUTHERN MICHIGAN BANCORP INC MI 5.02 11/19/12
SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 5.02 11/21/12
Spectrum Brands Holdings, Inc. DE 1.01,2.03,9.01 11/16/12
Spectrum Brands, Inc. DE 1.01,2.03,9.01 11/16/12
STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 11/15/12
STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 11/15/12
STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 11/15/12
STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 11/15/12
STRATS TRUST FOR SPRINT CAP CORP SEC DE 8.01,9.01 11/15/12
STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 11/15/12
STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 11/15/12
STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 11/15/12
SUNPEAKS VENTURES, INC. NV 1.01,9.01 03/30/12 AMEND
SUNPEAKS VENTURES, INC. NV 1.01,3.02,9.01 10/11/12 AMEND
SUNPEAKS VENTURES, INC. NV 8.01,9.01 03/08/12 AMEND
SUNPEAKS VENTURES, INC. NV 2.03,3.02,5.01,5.02, 02/13/12 AMEND
5.03,5.06,8.01,9.01
SUPERNUS PHARMACEUTICALS INC DE 8.01,9.01 11/19/12
SURREY BANCORP NC 5.02 11/21/12
SYNAPTICS INC DE 5.02 11/15/12
T & G APOTHECARY INC NV 5.07 11/16/12
Targa Resources Partners LP DE 1.01,7.01,8.01,9.01 11/15/12
TEL INSTRUMENT ELECTRONICS CORP NJ 1.01,3.02,9.01 11/08/12
TELESTONE TECHNOLOGIES CORP CO 2.02,7.01,9.01 09/30/12
THERMOGENESIS CORP DE 3.01 11/21/12
Titan Iron Ore Corp. NV 3.02 10/25/12
TOFUTTI BRANDS INC DE 2.02,9.01 11/21/12
TOYOTA MOTOR CREDIT CORP CA 7.01,9.01 11/21/12
TPC Group Inc. DE 8.01 11/21/12
TRANSATLANTIC PETROLEUM LTD. D0 3.01,9.01 11/16/12
TREDEGAR CORP VA 8.01,9.01 11/21/12
TRIMBLE NAVIGATION LTD /CA/ CA 1.01,2.03,9.01 11/21/12
TRW AUTOMOTIVE HOLDINGS CORP DE 8.01 11/19/12
TUCOWS INC /PA/ PA 1.01,2.03,9.01 11/19/12
TYCO INTERNATIONAL LTD V8 5.02 11/21/12
U.S. RARE EARTH MINERALS, INC NV 4.02 11/20/12
UGI CORP /PA/ PA 5.02 11/16/12
UNIGENE LABORATORIES INC DE 8.01,9.01 11/20/12
UNITED RENTALS INC /DE DE 5.04,9.01 11/19/12
Unseen Solar Inc DE 5.03,5.07,9.01 11/21/12
Valley Commerce Bancorp CA 8.01,9.01 11/20/12
Valley Commerce Bancorp CA 8.01 11/21/12
Vantage Drilling CO E9 8.01,9.01 11/20/12
Versailles Financial Corp MD 5.07,9.01 11/20/12
VERSANT CORP CA 1.01,1.02,5.02 11/17/12
Walter Energy, Inc. DE 1.01,2.03,8.01,9.01 11/21/12
WAYNE SAVINGS BANCSHARES INC /DE/ DE 5.02,8.01,9.01 11/21/12
Wesco Aircraft Holdings, Inc 5.02 11/21/12
WESTMOUNTAIN INDEX ADVISOR INC CO 5.02 10/24/12
XOMA Corp DE 8.01,9.01 11/20/12
XZERES Corp. NV 5.02 11/20/12
Znomics, Inc. NV 1.01,1.02,9.01 11/19/12
http://www.sec.gov/news/digest/2012/dig112312.htm
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