SEC News Digest

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Commission announcements

Commission Meetings

Closed Meeting on Monday, December 3, 2012 at 2:00 p.m.

The subject matter of the Closed Meeting will be a personnel-related matter.

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.

RULES AND RELATED MATTERS

Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations from Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment

An order extending the temporary conditional exemption for Nationally Recognized Statistical Rating Organizations from the requirements of Rule 17g-5(a)(3) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 26. (Rel. 34-68286)

Enforcement Proceedings

In the Matter of Florin S. Ilovici

An Administrative Law Judge has issued an Order Making Findings and Imposing Sanctions by Default (Default Order) in Florin S. Ilovici, Admin. Proc. File No. 3-14948. The Order Instituting Proceedings (OIP) alleged that Florin S. Ilovici (Ilovici) violated the antifraud provisions of the federal securities laws by operating a scheme to misappropriate funds from elderly investors through the use of material misrepresentations. On July 5, 2012, the United States District Court for the District of Connecticut entered a final judgment against Ilovici by default in SEC v. Ilovici, No. 3:11-CV-00981-WWE, permanently enjoining him from violating Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The district court further ordered Ilovici to disgorge approximately $1.1 million in illegally-obtained profits and pay a $900,000 civil penalty.

The Default Order finds the allegations of the OIP to be true and concludes that, pursuant to Section 15(b) of the Exchange Act, it is in the public interest to bar Ilovici from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. (Rel. 34-68285; File No. 3-14948)

In the Matter of Fearless International, Inc.

An Administrative Law Judge (ALJ) issued an Order Making Findings and Revoking Registrations by Default in Fearless International, Inc., Admin. Proc. File No. 3-15073 (Default Order). The Default Order finds that Fearless International, Inc., Glassmaster Company, Global Entertainment Holdings/Equities, Inc., Global Realty Development Corp., Global Roaming Distribution, Inc., and Gottaplay Interactive, Inc., are issuers of securities registered pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act), and that they failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Securities and Exchange Commission. As a result, the ALJ ordered that the registration of each issuer’s registered securities is revoked. (Rel. 34-68291; File No. 3-15073)

In the Matter of Vision Twenty One, Inc.

An Administrative Law Judge (ALJ) issued an Order Making Findings and Revoking Registration by Default in Vision Twenty One, Inc., Admin. Proc. File No. 3-15008 (Default Order). The Default Order finds that Vision Twenty One, Inc. (Vision Twenty One), an issuer of securities registered pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act), failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Securities and Exchange Commission. As a result, the ALJ ordered that the registration of each class of Vision Twenty One’s registered securities is revoked. (Rel. 34-68292; File No. 3-15008)

In the Matter of Motilal Oswal Securities Limited
In the Matter of JM Financial Institutional Securities Private Limited
In the Matter of Edelweiss Financial Services Limited
In the Matter of Ambit Capital Pvt. Ltd.

On November 27, 2012, the Securities and Exchange Commission pursuant to Section 15(b) of the Securities Exchange Act of 1934 instituted settled administrative proceedings against Motilal Oswal Securities Limited (Motilal), JM Financial Institutional Securities Private Limited (JM Financial), Edelweiss Financial Services Limited (Edelweiss), and Ambit Capital Pvt. Ltd. (Ambit), India-based financial services firms, for soliciting and providing brokerage services to U.S. institutional investors without being registered with the Commission as broker-dealers.

The SEC’s order with respect to Motilal finds that Motilal:

Organized and sponsored an annual conference in the United States to which Motilal brought representatives of Indian issuers and invited U.S. investors.
Solicited U.S. investors by having its employees travel to the United States regularly to meet with U.S. investors for, among other purposes, presenting and discussing Motilal’s analysts’ research reports on Indian issuers and for attending corporate road shows with representatives of Indian issuers.
Bought and sold the securities of Indian issuers on Indian stock exchanges on behalf of U.S. investors in exchange for commissions and soft dollar payments.

The SEC’s order with respect to JM Financial finds that JM Financial:

Bought and sold securities of Indian issuers on Indian stock exchanges on behalf of U.S. investors.
Provided brokerage services to U.S. investors through certain commission sharing agreements with U.S. registered broker-dealers. Pursuant to these agreements, JM Financial provided research to U.S. investors with the express understanding that the investors would pay for the research by directing commission income to JM Financial.
Organized and sponsored a conference in New York to which JM Financial brought representatives of Indian issuers and invited U.S. investors.
Participated as one of several broker-dealers in initial public offerings, further public offerings, or private resales of securities of Indian issuers, predominantly in India, but for which some shares were marketed and/or sold to U.S. institutional investors. As part of its efforts to solicit U.S. investors for these offerings, JM Financial employees traveled with and brought to the United States representatives of these Indian issuers to meet with U.S. investors and potential investors.

With respect to Edelweiss, the SEC’s order finds that Edelweiss’ activities involved:

Buying and selling securities of Indian issuers on Indian stock exchanges on behalf of U.S. investors.
Participating as a lead or co-lead manager in the initial public offering or further public offering of Indian issuers in which shares were sold and/or marketed to U.S. investors. As part of its efforts to solicit U.S. investors for these offerings, Edelweiss employees contacted U.S. investors and potential investors via electronic mail and telephone calls and traveled with and brought to the United States representatives of these Indian issuers to meet with U.S. investors and potential investors.
Participating in private placements of securities structured as “Qualified Institutional Placements” under Indian law that were marketed to U.S. investors and in which certain U.S. investors invested.
Marketing to and soliciting U.S. investors for alternative asset funds.

With respect to Ambit, the SEC’s order finds that Ambit’s conduct involved:

Ambit employees traveling on multiple occasions to the United States to meet with U.S. investors.
Sending hundreds of research reports to U.S. investors and following up on these reports.
Soliciting at least one U.S. investor through repeated telephone calls.

The Orders censure the firms and order them to pay disgorgement and prejudgment interest in the following amounts: (1) Motilal - $780,000 in disgorgement and prejudgment interest of $41,594; (2) JM Financial - $425,000 in disgorgement and prejudgment interest of $18,545; (3) Edelweiss - $540,000 in disgorgement and prejudgment interest of $28,347; and (4) Ambit - $30,000 in disgorgement and $910 in prejudgment interest. (Ambit - Rel. 34-68295, File No. 3-15105; Motilal – Rel. 34-68296, File No. 3-15106; JM Financial - 34-68297, File No. 3-15107; EdelWeiss – Rel. 34-68298, File No. 3-15108)

Jury Returns Verdict of Liability Against Massachusetts Investment Adviser and His Advisory Firm

The Securities and Exchange Commission announced that, on November 26, 2012, a federal court jury in Boston, Massachusetts returned a verdict of securities fraud liability against registered investment adviser EagleEye Asset Management, LLC, and its sole principal, Jeffrey A. Liskov, both of Plymouth, MA, in connection their fraudulent conduct toward advisory clients. The trial was presided over by U.S. District Court Judge William G. Young.

In its complaint, the Commission alleged that, between at least November 2008 and August 2010, Liskov made material misrepresentations to at least six advisory clients to induce them to liquidate investments in securities and instead invest the proceeds in foreign currency exchange (“forex”) trading. The forex investments, which were not suitable for older clients with conservative investment goals, resulted in steep losses for clients, totaling nearly $4 million, but EagleEye and Liskov came away with over $300,000 in performance fees, in addition to other management fees they collected from clients. Liskov’s strategy was to generate temporary profits on client forex investments to enable him to collect performance fees, after which client investments invariably would sharply decline in value. According to the Commission’s complaint, Liskov made material misrepresentations or failed to disclose material information to clients concerning the nature of forex investments, the risks involved, and his poor track record in forex trading for himself and other clients. The Commission’s complaint further alleged that, in the case of two clients, without their knowledge or consent, Liskov liquidated securities in their brokerage accounts and transferred the proceeds to their forex trading accounts where he lost nearly all client funds, but not before first collecting performance fees for EagleEye (and ultimately himself) on short-lived profits in the clients’ forex accounts. The complaint alleged that Liskov accomplished the unauthorized transfers by doctoring asset transfer forms. On several occasions, Liskov took old forms signed by the clients and used “white out” correction fluid to change dates, asset transfer amounts, and other data. Liskov also used similar tactics to open multiple forex trading accounts in the name of one client, thereby maximizing his ability to earn performance fees for EagleEye (and ultimately himself) on the client’s investments, all without disclosing this to the client or obtaining the client’s consent. The Commission alleged that, as a result of this conduct, EagleEye and Liskov violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The Commission also alleged that EagleEye failed to maintain certain books and records required of investment advisers in violation of Section 204 of the Advisers Act and Rule 204-2(a) thereunder, and that Liskov aided and abetted EagleEye’s violations of these provisions.

After an eight day trial, the jury deliberated for approximately four hours before rendering its verdict of liability against Liskov and EagleEye under Section 10(b) of the Exchange Act and Rule 10b-5 thereunder as to four clients and under Section 206(1) of the Advisers Act as to five clients. The Court will decide the Commission’s claims under Section 204 of the Advisers Act and Rule 204-2 thereunder and will hold a hearing on the Commission’s request for injunctive relief, disgorgement of ill-gotten gains plus prejudgment interest thereon, and the imposition of a monetary penalty against both EagleEye and Liskov, based on the jury’s verdict. The case was tried by Deena Bernstein and Naomi Sevilla of the Commission’s Boston Regional Office.

For further information see Litigation Release No. 22086 (September 8, 2011). [SEC v. EagleEye Asset Management, LLC and Jeffrey A. Liskov (United States District Court for the District of Massachusetts, Civil Action No. 11-CV-11576)] (LR-22546)

INVESTMENT COMPANY ACT RELEASES

Blackstone Alternative Alpha Fund, et al.

A notice has been issued giving interested persons until December 24, 2012, to request a hearing on an application filed by Blackstone Alternative Alpha Fund, et al. for an order under section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from sections 18(c) and 18(i), and an order pursuant to section 17(d) of the Act and rule 17d-1 under the Act. The order would permit registered closed-end management investment companies to issue multiple classes of shares and to impose asset-based service and/or distribution fees and contingent deferred sales loads. (Rel. IC-30280 – November 26)

SELF-REGULATORY ORGANIZATIONS

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by The NASDAQ Stock Market LLC to modify the listing requirements for Other Securities listed under Rule 5730 (SR-NASDAQ-2012-131) 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. 34-68287)

Proposed Rule Change

The Options Clearing Corporation (OCC) filed a proposed rule change (SR-OCC-2012-22) under Section 19(b)(1) of the Securities Exchange Act of 1934 to Clarify the Use of Certain Amounts Credited to the Liquidating Settlement Account to Settle Mark-to-Market Payments Arising from Stock Loan and Borrow Positions Carried in the Customers’ Account. Publication is expected in the Federal Register during the week of November 26. (Rel. 34-68288)

SECURITIES ACT REGISTRATIONS

The 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-4     DOCUMENT SECURITY SYSTEMS INC, 36 WEST MAIN ST, SUITE 710, ROCHESTER, 
        NY, 14614, 585 232 1500 - 43,627,277 ($26,679,000.36) Equity, 
        (File 333-185134 - Nov. 26) (BR. 03C)

S-3     FIVE STAR QUALITY CARE INC, 617 796 8387 - 
        0 ($1.00) Unallocated (Universal) Shelf, (File 333-185135 - Nov. 26) 
        (BR. 11C)

S-3ASR  GENERAC HOLDINGS INC., S45 W29290 HIGHWAY 59, WAUKESHA, WI, 53187, 
        888 436-3722 - 0 ($0.00) Equity, (File 333-185136 - Nov. 26) (BR. 10A)

S-3ASR  AMAZON COM INC, 410 TERRY AVENUE NORTH, SEATTLE, WA, 98109, 
        2062661000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-185137 - Nov. 26) (BR. 02B)

S-1     Idaho North Resources Corp., 2555 WEST PALAIS DRIVE, COEUR D'ALENE, ID, 
        83815, 509-928-7604 - 6,388,700 ($98.35) Equity, (File 333-185140 - 
        Nov. 26) (BR. )

S-3ASR  CLEAN HARBORS INC, 42 LONGWATER DRIVE, P.O. BOX 9149, NORWELL, MA, 
        02061-9149, 781-792-5000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-185141 - Nov. 26) (BR. 06C)

S-8     PACIFIC PREMIER BANCORP INC, 1600 SUNFLOWER AVE 2ND FLOOR, COSTA MESA, 
        CA, 92626, 714-431-4000 - 620,000 ($6,373,600.00) Equity, 
        (File 333-185142 - Nov. 26) (BR. 07C)

S-8     TELEPHONE & DATA SYSTEMS INC /DE/, 30 NORTH LASALLE STREET, STE 4000, 
        CHICAGO, IL, 60602, 3126301900 - 0 ($1,019,700.00) Equity, 
        (File 333-185143 - Nov. 26) (BR. 11A)

S-1     ICON ECI Fund Sixteen, 3 PARK AVE - 36TH FLOOR, NEW YORK, NY, 10016, 
        2124184700 - 0 ($250,000,000.00) Equity, (File 333-185144 - Nov. 26) 
        (BR. )

S-4     STIFEL FINANCIAL CORP, ATTN: JAMES G. LASCHOBER, 501 N. BROADWAY, 
        ST. LOUIS, MO, 63102-2102, 314-342-2000 - 0 ($326,003,109.00) Equity, 
        (File 333-185145 - Nov. 26) (BR. 12A)

RECENT 8K FILINGS

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

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

-----------------------------------------------------------------------------------------

ABBY INC.                               CO       5.02,9.01            11/15/12

ACTIVE NETWORK INC                      DE       5.02,9.01            11/19/12

ACTIVECARE, INC.                        DE       9.01                 07/12/12    AMEND

ADMA BIOLOGICS, INC.                    DE       5.07                 11/19/12

Advanced Voice Recognition Systems, I   NV       1.01,3.02,9.01       11/21/12

ADVOCAT INC                             DE       8.01                 11/26/12

AETRIUM INC                             MN       5.03                 11/20/12

AFC ENTERPRISES INC                     MN       8.01,9.01            11/26/12

Affinion Group Holdings, Inc.           DE       1.01,9.01            11/20/12

AFS SenSub Corp.                                 1.01,9.01            11/20/12

AIRGAS INC                              DE       1.01,2.03,8.01,9.01  11/19/12

ALBANY INTERNATIONAL CORP /DE/          DE       2.05,9.01            11/21/12

Ally Financial Inc.                     DE       1.01                 11/21/12

Alon USA Energy, Inc.                   DE       1.01,2.01,9.01       11/26/12

Alon USA Partners, LP                   DE       1.01,2.01,3.02,5.02, 11/19/12
                                                 5.03,9.01
     
Alphatec Holdings, Inc.                 DE       5.02                 11/19/12

American Midstream Partners, LP         DE       8.01                 11/26/12

AMERIGROUP CORP                                  8.01,9.01            11/26/12

AMERITRANS CAPITAL CORP                 DE       8.01,9.01            11/20/12

Applied Minerals, Inc.                  DE       5.02,5.03,5.07,9.01  11/20/12

ARCH COAL INC                           DE       1.01,2.03,9.01       11/21/12

Argo Group International Holdings, Lt            8.01                 11/23/12

ASHLAND INC.                            KY       7.01,9.01            11/26/12

AVALONBAY COMMUNITIES INC               MD       1.01,2.02,2.03,3.02, 11/26/12
                                                 7.01,8.01,9.01

AWARE INC /MA/                          MA       8.01,9.01            11/26/12

Bancorp, Inc.                                    5.02                 11/23/12

BANCORPSOUTH INC                        MS       5.02,9.01            11/26/12

BANK JOS A CLOTHIERS INC /DE/           DE       8.01,9.01            11/26/12

BANNER CORP                             WA       8.01,9.01            11/21/12

BAR HARBOR BANKSHARES                   ME       5.02                 11/20/12

Bazaarvoice Inc                         DE       2.02,9.01            11/26/12

BCM Energy Partners Inc.                DE       4.01,9.01            10/23/12

Bidz.com, Inc.                          CA       2.01,3.03,5.01,5.02, 11/26/12
                                                 8.01,9.01
     
BMC SOFTWARE INC                        DE       1.01,2.03            11/23/12

Carter Validus Mission Critical REIT,   MD       1.01,2.03,9.01       11/19/12

Chelsea Therapeutics International, L   DE       1.01,9.01            11/26/12

CHILDRENS PLACE RETAIL STORES INC                8.01,9.01            11/26/12

CHILDRENS PLACE RETAIL STORES INC                5.02,9.01            11/26/12

CHINA HGS REAL ESTATE INC.              F4       8.01,9.01            11/20/12

ChinaNet Online Holdings, Inc.          NV       9.01                 09/10/12    AMEND

CIGNA CORP                              DE       7.01                 11/26/12

CITIGROUP INC                           DE       9.01                 11/26/12

CombiMatrix Corp                        DE       5.02,9.01            11/20/12

COMMUNICATIONS SYSTEMS INC              MN       5.02,5.07            05/22/12    AMEND

Computer Vision Systems Laboratories    FL       1.01,2.01,3.02,5.01, 11/26/12    AMEND
                                                 5.02,5.03,9.01

Covidien plc                                     2.02,9.01            11/26/12

CVS CAREMARK CORP                       DE       8.01,9.01            11/26/12

CYTOKINETICS INC                                 8.01                 11/26/12

DiamondRock Hospitality Co                       1.01,2.03,7.01,9.01  11/20/12

Divine Skin Inc.                        FL       5.02,9.01            11/21/12

DOCUMENT SECURITY SYSTEMS INC           NY       1.01,5.02,9.01       11/19/12

DREW INDUSTRIES INC                     DE       8.01,9.01            11/26/12

E-Debit Global Corp.                    CO       8.01,9.01            11/26/12

EAGLE ROCK ENERGY PARTNERS L P          DE       7.01,9.01            11/26/12

Eaton Corp plc                                   1.01,2.03,9.01       11/20/12

ENTERGY CORP /DE/                       DE       8.01                 11/14/12

EQUITY RESIDENTIAL                      MD       1.01,7.01,9.01       11/26/12

EQUITY RESIDENTIAL                      MD       9.01                 11/26/12

Erickson Air-Crane Inc                  DE       7.01,9.01            11/26/12

ETHAN ALLEN INTERIORS INC               DE       8.01,9.01            11/26/12

ETHAN ALLEN INTERIORS INC               DE       8.01,9.01            11/26/12    AMEND

EUROSITE POWER INC                               1.01,3.02,7.01,9.01  11/21/12

FARMER BROTHERS CO                      CA       1.01,2.03,9.01       11/19/12

Federal Home Loan Bank of Boston        X1       2.03                 11/19/12

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            11/26/12

FiberTower CORP                         DE       5.02                 11/19/12

First Choice Healthcare Solutions, In   DE       5.02,8.01,9.01       11/20/12

FISHER COMMUNICATIONS INC               WA       8.01                 11/19/12

FISHER COMMUNICATIONS INC               WA       1.01,2.03,9.01       11/19/12

FIVE STAR QUALITY CARE INC                       1.01,8.01,9.01       11/23/12

FLORIDA GAMING CORP                     DE       8.01,9.01            11/25/12

FLUSHING FINANCIAL CORP                 DE       8.01,9.01            11/26/12

Forestar Group Inc.                     DE       5.03,9.01            11/26/12

FULTON FINANCIAL CORP                   PA       7.01,9.01            11/26/12

G&K SERVICES INC                        MN       8.01,9.01            11/26/12

GENERAC HOLDINGS INC.                   DE       8.01                 11/26/12

GENESEE & WYOMING INC                   DE       8.01                 11/21/12

GENESEE & WYOMING INC                   DE       8.01                 11/21/12    AMEND

GEORGETOWN CORP                         NV       5.02,5.03,9.01       11/16/12

GERMAN AMERICAN BANCORP, INC.           IN       5.02,9.01            11/26/12

Global Geophysical Services Inc         DE       8.01,9.01            11/26/12

GLOBALSCAPE INC                         DE       5.02                 11/19/12

Green Global Investments, Inc.          FL       9.01                 11/26/12    AMEND

HAMPTON ROADS BANKSHARES INC            VA       7.01,9.01            11/26/12

Hillenbrand, Inc.                       IN       2.02,9.01            11/26/12

HORNE INTERNATIONAL, INC.               DE       5.02                 11/26/12

INERGY MIDSTREAM, L.P.                           8.01,9.01            11/26/12

INFRAX SYSTEMS, INC.                    FL       8.01                 11/26/12

INGRAM MICRO INC                        DE       1.01,2.03,9.01       11/26/12

InsPro Technologies Corp                DE       1.01,3.02,9.01       11/20/12

Intellicheck Mobilisa, Inc.             DE       5.02,9.01            11/13/12    AMEND

INTREorg SYSTEMS INC.                   TX       1.01,2.03,3.02,9.01  09/14/12

INUVO, INC.                             NV       7.01,9.01            11/26/12

IVANHOE ENERGY INC                               1.01,9.01            11/21/12

IVANHOE ENERGY INC                               7.01,9.01            11/21/12

JABIL CIRCUIT INC                       DE       5.02                 10/16/12    AMEND

KIRKLAND'S, INC                                  2.02,9.01            11/20/12

KIRKLAND'S, INC                                  5.02                 11/20/12

LAS VEGAS SANDS CORP                    NV       7.01,9.01            11/26/12

LBI MEDIA HOLDINGS INC                           1.01,9.01            11/19/12

LIME ENERGY CO.                         DE       3.01,9.01            11/19/12

Limelight Networks, Inc.                DE       5.02,9.01            11/26/12

Maiden Holdings, Ltd.                   D0       7.01,9.01            11/26/12

MARTIN MIDSTREAM PARTNERS LP            DE       1.01,5.01,8.01,9.01  11/20/12

MBIA INC                                CT       1.01,8.01,9.01       11/21/12

McEwen Mining Inc.                      CO       7.01,9.01            11/21/12

MCG CAPITAL CORP                        DE       1.01,2.03,9.01       11/21/12

MCGRAW-HILL COMPANIES INC               NY       1.01,8.01,9.01       11/26/12

MEDNAX, INC.                            FL       1.01,2.03,7.01,9.01  11/19/12

MERIT MEDICAL SYSTEMS INC               UT       1.01,7.01,9.01       11/26/12

MFA FINANCIAL, INC.                     MD       7.01                 11/26/12

Midway Gold Corp                        A1       1.01,3.02,9.01       11/21/12

MS STRUCTURED ASSET CORP CBT SERIES 2   DE       8.01,9.01            11/26/12

MYMETICS CORP                           DE       5.02                 11/19/12

NBTY INC                                DE       1.01,7.01,9.01       11/26/12

Net Element International, Inc.         E9       4.01,9.01            11/13/12    AMEND

Nuveen Diversified Commodity Fund       DE       8.01,9.01            11/19/12

Nuveen Long/Short Commodity Total Ret   DE       8.01,9.01            11/19/12

OAK RIDGE MICRO-ENERGY INC              CO       1.01,2.01,3.02,5.01, 10/02/12    AMEND
                                                 5.02,9.01
     
OCLARO, INC.                            DE       1.01,8.01,9.01       11/19/12

OFS Capital Corp                        DE       7.01,9.01            11/26/12

OGLETHORPE POWER CORP                   GA       7.01,9.01            11/26/12

ORBCOMM Inc.                            DE       5.02                 11/19/12

PACWEST BANCORP                         DE       7.01,9.01            11/26/12

Pana-Minerales S.A.                              5.03,9.01            11/23/12

PARKWAY PROPERTIES INC                  MD       9.01                 11/26/12    AMEND

Pathfinder Cell Therapy, Inc.           DE       2.03,3.02            11/20/12

PennyMac Mortgage Investment Trust      MD       1.01,2.03,9.01       11/20/12

People's United Financial, Inc.         DE       8.01                 11/21/12

Pershing Gold Corp.                     NV       5.02,9.01            11/19/12

PINNACLE AIRLINES CORP                  DE       7.01,9.01            11/21/12

PITNEY BOWES INC /DE/                   DE       8.01,9.01            11/20/12

PLUM CREEK TIMBER CO INC                DE       2.03,9.01            11/26/12

Plymouth Opportunity REIT Inc.          MD       2.01,9.01            11/26/12    AMEND

Post Holdings, Inc.                     MO       5.02,9.01            11/19/12

PRIME ESTATES & DEVELOPMENTS INC        NV       1.01,9.01            11/26/12

Primerica, Inc.                         DE       1.01,9.01            11/19/12

PROSPERITY BANCSHARES INC               TX       5.02,9.01            11/19/12

PUBLIC SERVICE ENTERPRISE GROUP INC     NJ       5.02,9.01            11/20/12

RADIANT LOGISTICS, INC                  DE       7.01,8.01,9.01       11/21/12

REDWOOD TRUST INC                       MD       7.01,9.01            11/26/12

RING ENERGY, INC.                       NV       2.01,3.02,9.01       11/19/12

ROBERTSON GLOBAL HEALTH SOLUTIONS COR   NV       1.01,2.03,9.01       11/26/12

Santander Holdings USA, Inc.            VA       1.01,8.01,9.01       11/23/12

SAVANNAH BANCORP INC                    GA       8.01                 11/23/12

SEACOR HOLDINGS INC /NEW/               DE       8.01,9.01            11/26/12

SemiLEDs Corp                                    2.06                 11/19/12

SENESCO TECHNOLOGIES INC                DE       8.01,9.01            11/26/12

Seven Arts Entertainment Inc.           NV       5.02,9.01            11/19/12

SHERWIN WILLIAMS CO                     OH       1.01,2.03,9.01       11/26/12

Silver Dragon Resources Inc.            DE       1.01                 11/26/12

SLM Student Loan Trust 2006-7           DE       8.01,9.01            11/26/12

SOHU COM INC                            DE       5.02                 11/21/12

Spansion Inc.                           DE       1.01                 11/20/12

SPLUNK INC                              DE       1.01,2.03,9.01       11/20/12

STAGE STORES INC                        NV       8.01,9.01            11/21/12

STARWOOD HOTEL & RESORTS WORLDWIDE, I   MD       2.02,8.01,9.01       11/26/12

STARWOOD HOTEL & RESORTS WORLDWIDE, I   MD       2.02,8.01,9.01       11/26/12

STARWOOD HOTEL & RESORTS WORLDWIDE, I   MD       2.02,8.01,9.01       11/26/12

STEELCASE INC                           MI       2.02,9.01            11/23/12

STEWART INFORMATION SERVICES CORP       DE       7.01,9.01            11/26/12

TELEPHONE & DATA SYSTEMS INC /DE/       DE       8.01,9.01            11/26/12

TERADYNE, INC                           MA       5.02                 11/26/12

TIME WARNER INC.                        DE       5.02                 11/26/12

TransDigm Group INC                     DE       5.02,9.01            11/19/12

TRIMAS CORP                             DE       2.05,9.01            11/21/12

Trio Merger Corp.                       DE       2.03,3.02            11/21/12

Tropicana Las Vegas Hotel & Casino, I   DE       3.02                 11/21/12

Truli Media Group, Inc.                          5.02                 11/26/12

TRUMP ENTERTAINMENT RESORTS, INC.       DE       5.07                 11/19/12

TWIN DISC INC                           WI       1.01,2.03,9.01       11/26/12

UNITED RENTALS INC /DE                  DE       5.08,8.01            11/26/12

UNITEDHEALTH GROUP INC                  MN       7.01,9.01            11/26/12

US AIRWAYS GROUP INC                    DE       7.01                 11/26/12

USCORP                                  NV       4.01,9.01            10/03/12

VALASSIS COMMUNICATIONS INC             DE       5.02,9.01            11/26/12

VelaTel Global Communications, Inc.     NV       3.02                 11/21/12

Verastem, Inc.                          DE       5.02                 11/21/12

VICOR CORP                              DE       7.01,9.01            11/26/12

VIVUS INC                               CA       8.01                 11/19/12

WashingtonFirst Bankshares, Inc.        VA       5.02,9.01            11/19/12

WELLS CORE OFFICE INCOME REIT INC                8.01                 11/26/12

WESBANCO INC                            WV       7.01,9.01            11/26/12

ZHONGPIN INC.                           DE       1.01,8.01,9.01       11/26/12

ZIONS BANCORPORATION /UT/               UT       7.01,9.01            11/26/12

ZOGENIX, INC.                           DE       5.02                 11/26/12

http://www.sec.gov/news/digest/2012/dig112712.htm