SEC Suspends Trading in the Securities of Spencer Pharmaceutical Inc.
The Securities and Exchange Commission (Commission) announced the temporary suspension of trading in the securities of Spencer Pharmaceutical Inc. (Spencer), commencing at 9:30 a.m. EST on Monday, December 17, 2012, through 11:59 p.m. EST on Monday, December 31, 2012. The Commission temporarily suspended trading in the securities of Spencer because of questions regarding the accuracy and adequacy of publicly disseminated information concerning, among other things, the company’s current financial condition and statements made by Spencer in press releases concerning, among other things, an unsolicited buyout offer of Spencer by a foreign company.
The order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the Exchange Act). The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company.
Brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to Spencer’s securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
The Commission acknowledges the assistance of the Quebec Authorité des Marchés Financiers in connection with this matter.
If any broker, dealer, or other person has any information which may relate to this matter, John T. Dugan of the Boston Regional Office of the Securities and Exchange Commission should be telephoned at (617) 573-8900. (Rel. 34-68447)
John Ramsay Named Acting Director of SEC’s Division of Trading and Markets
Securities and Exchange Commission Chairman Elisse B. Walter today named John Ramsay as Acting Director of the Division of Trading and Markets. He will replace Robert Cook, who announced that he plans to step down after a short transition period.
Since September 2010, Mr. Ramsay has served as a Deputy Director for the Division and is responsible for broker-dealer financial responsibility, risk oversight, and clearance and settlement functions. He has played a key role in the advancement of rules mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act.
“John has a wealth of experience to draw upon and a firm grasp of the intricacies of issues,” said Chairman Walter. “He is well-positioned to oversee the Division as we continue to further bolster the markets and ensure they operate fairly and efficiently.”
Mr. Ramsay said, “I’m pleased to have the chance in this role to support Chairman Walter and the other Commissioners and to carry forward the vital work of the Division that Robert and my colleagues here have done so much to advance. This is an extraordinary time for the Division and our markets, and I work with an extraordinary group of people.”
The Division of Trading and Markets establishes and maintains standards for fair, orderly, and efficient markets. The Division regulates the major securities market participants, including broker-dealers, transfer agents, and self-regulatory organizations such as securities exchanges, the Financial Industry Regulatory Authority, and clearing agencies. The Division also has responsibility for oversight of security-based swap markets and participants in such markets.
Mr. Ramsay previously worked at the SEC from 1989 to 1994 in various posts including as counsel to then-Commissioner Mary L. Schapiro. He also has held other key regulatory policy positions at the Commodity Futures Trading Commission and the National Association of Securities Dealers (now the Financial Industry Regulatory Authority). In the private sector, Mr. Ramsay worked as a partner at the law firm of Morgan Lewis and Bockius, senior vice president of the Bond Market Association (now the Securities Industry and Financial Markets Association), and managing director and deputy general counsel at Citigroup Global Markets.
Mr. Ramsay received his J.D. from the University of Michigan in 1984 and graduated summa cum laude from the University of Texas at Austin in 1981, where he was elected to Phi Beta Kappa. (Press Rel. 2012-268)
Lona Nallengara Named Acting Director of SEC’s Division of Corporation Finance
Securities and Exchange Commission Chairman Elisse B. Walter today named Lona Nallengara as Acting Director of the Division of Corporation Finance. He will replace Meredith B. Cross when she leaves the SEC to return to the private sector at the end of the year.
Mr. Nallengara has served as Deputy Director for Legal and Regulatory Policy of the Division since March 2011 and has been responsible for overseeing the Division’s offices of Chief Counsel, Enforcement Liaison, International Corporate Finance, Mergers and Acquisitions and Small Business Policy.
Mr. Nallengara has led a series of complex rulemakings required by the Dodd-Frank Wall Street Reform and Consumer Protection Act and the Division’s implementation of the Jumpstart Our Business Startups (JOBS) Act.
“Lona understands that our financial system is premised on investors getting the information they need to make smart decisions and on businesses having access to new capital,” said Chairman Walter. “Lona has extensive experience working within the agency and with companies seeking to raise capital. He appreciates the impact that our rules have not only on the lives of everyday investors, but also on the financial system as a whole.”
Mr. Nallengara said, “I am honored to have the opportunity to continue working with Chairman Walter and the other Commissioners as well as the exceptional staff of the Division of Corporation Finance to carry out the SEC’s important mission.”
The Division of Corporation Finance oversees the disclosures made to investors by more than 9,000 public issuers including registration statements for newly-offered securities, materials distributed in connection with business combination transactions, annual and quarterly filings and proxy materials sent to shareholders for annual meetings. The Division provides interpretive assistance to companies and investors with respect to their obligations under the federal securities laws and develops rulemaking recommendations for the Commission.
Mr. Nallengara joined the SEC from Shearman & Sterling LLP in New York, where he was a partner in the Capital Markets practice group and advised public companies and financial institutions in a wide range of capital raising activities and on corporate governance, public reporting and mergers and acquisitions matters. Mr. Nallengara earned his law degree from Osgoode Hall Law School in Toronto and his undergraduate degree in Political Science from the University of Western Ontario in London, Canada. (Press Rel. 2012-269)
SEC Charges Germany-Based Allianz SE with FCPA Violations
The Securities and Exchange Commission today charged Germany-based insurance and asset management company Allianz SE with violating the books and records and internal controls provisions of the Foreign Corrupt Practices Act (FCPA) for improper payments to government officials in Indonesia during a seven-year period.
The SEC’s investigation uncovered 295 insurance contracts on large government projects that were obtained or retained by improper payments of $650,626 by Allianz’s subsidiary in Indonesia to employees of state-owned entities. Allianz made more than $5.3 million in profits as a result of the improper payments.
Allianz, which is headquartered in Munich, agreed to pay more than $12.3 million to settle the SEC’s charges.
“Allianz’s subsidiary created an ‘off-the-books’ account that served as a slush fund for bribe payments to foreign officials to win insurance contracts worth several million dollars,” said Kara Brockmeyer, Chief of the SEC Enforcement Division’s FCPA Unit.
According to the SEC’s order instituting settled administrative proceedings against Allianz, the misconduct occurred from 2001 to 2008 while the company’s shares and bonds were registered with the SEC and traded on the New York Stock Exchange. Two complaints brought the misconduct to Allianz’s attention. The first complaint submitted in 2005 reported unsupported payments to agents, and a subsequent audit of accounting records at Allianz’s subsidiary in Indonesia uncovered that managers were using “special purpose accounts” to make illegal payments to government officials in order to secure business in Indonesia. The misconduct continued in spite of that audit.
According to the SEC’s order, the second complaint was made to Allianz’s external auditor in 2009. Allianz failed to properly account for certain payments in their books and records. The improper payments were disguised in invoices as an “overriding commission” for an agent that was not associated with the government insurance contract. In other instances, the improper payments were structured as an overpayment by the government insurance contract holder, who was later “reimbursed” for the overpayment. Excess funds were then paid to foreign officials who were responsible for procuring the government insurance contracts. Allianz lacked sufficient internal controls to detect and prevent the wrongful payments and improper accounting.
The SEC’s order found that Allianz violated the books and records and internal controls provisions of the FCPA, specifically Sections 13(b)(2)(A) and 13(b)(2)(B) of the Securities Exchange Act of 1934. Without admitting or denying the findings, Allianz agreed to cease and desist from further violations and pay disgorgement of $5,315,649, prejudgment interest of $1,765,125, and a penalty of $5,315,649 for a total of $12,396,423.
The SEC’s investigation was conducted by Irene Gutierrez, Jennifer Baskin and Tracy L. Price of the FCPA Unit. (Press Rel. 2012-266)
SEC Charges Connecticut-Based Adviser for "Skin in the Game" Misstatements About CDOs
The Securities and Exchange Commission today charged a Connecticut-based investment adviser with falsely stating to clients that it was co-investing alongside them in two collateralized debt obligations (CDO).
The SEC’s investigation found that Aladdin Capital Management’s co-investment representation was a key feature and selling point for its Multiple Asset Securitized Tranche (MAST) advisory program involving CDOs and collateralized loan obligations (CLOs). For example, Aladdin Capital Management asked in one marketing piece, “Why is an investor better off just investing in Aladdin sponsored CLOs and CDOs?” It then emphasized that the “most powerful response I can give to your question is that Aladdin co-invests alongside MAST investors in every program. Putting meaningful ‘skin in the game’ as we do means our financial interests are aligned with those of our MAST investors.” Aladdin Capital Management in fact made no such investments in either CDO, and its affiliated broker-dealer Aladdin Capital collected placement fees from the CDO underwriters.
Aladdin Capital Management and Aladdin Capital agreed to pay more than $1.6 million combined to settle the SEC’s charges. One of the firms’ former executives Joseph Schlim agreed to pay a $50,000 penalty to settle charges against him for his role in the misrepresentations.
“If you sell an investment with the pitch that you are co-investing and have ‘skin in the game,’ then you better actually have ‘skin in the game,’” said Robert Khuzami, Director of the SEC’s Enforcement Division. “Such a representation by an investment adviser or broker-dealer is an important consideration to investors in complex products.”
Kenneth Lench, Chief of the SEC Enforcement Division’s Structured and New Products Unit, added, “Aladdin marketed these CDOs via the co-investment representation, but then did not take steps to ensure that the representation was accurate. This action demonstrates our continuing commitment to holding market participants, including individuals, responsible for their misconduct leading up to the financial crisis.”
According to the SEC’s orders instituting settled administrative proceedings, Aladdin Capital Management’s clients committed to investing in upcoming CDO deals that would be managed by the firm. Aladdin Capital Management inaccurately informed a municipal retirement plan, a pension plan, and an individual entrepreneur that it would co-invest alongside them. After those three clients invested in the two CDOs, Aladdin Management erroneously continued to inform clients from 2007 to 2010 that the firm had skin in the game.
According to the SEC’s order against Schlim, he was significantly involved in the MAST program on a day-to-day basis. He made sales calls to potential clients and negotiated with CDO and CLO underwriters about the amount of equity in those securities that Aladdin Capital could place with customers or purchase for itself. Schlim also negotiated the placement fees to be received by Aladdin Capital for securing MAST investments in equity tranches of each CDO or CLO.
The SEC found that Schlim knew that Aladdin used the co-investment representation as a significant marketing feature in its pitches to clients, but he failed to take any action to ensure that such representations were accurate when they were made. As the CFO of Aladdin, Schlim was responsible for reserving funds for Aladdin to co-invest alongside its MAST clients, yet he failed to ensure that funds were reserved or allocated for any co-investments alongside clients in either CDO.
Aladdin Capital Management and Schlim agreed to cease-and-desist orders without admitting or denying the SEC’s allegations. The Aladdin entities agreed to jointly pay $900,000 in disgorgement, $268,831 in prejudgment interest, and a $450,000 penalty. Schlim agreed to pay a $50,000 penalty.
The SEC’s investigation was conducted by James Goldman, Neil Smith, Kathleen Shields, and Kenneth Leung in the SEC’s Boston Regional Office. Mr. Goldman is a member of the Structured and New Products Unit. Mr. Leung participated in a related SEC examination of Aladdin Capital Management. (Press Rel. 2012-267)
In the Matter of James Warren Margulies
On December 14, 2012, the Commission issued an Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice (Order) against James Warren Margulies. The Order finds that Margulies was convicted on July 19, 2011 in the Supreme Court of New York of various counts of business fraud, conspiracy and related criminal law counts in connection with his participation in a securities fraud involving the stock of Industrial Enterprises of America, Inc. The Order also finds that on February 21, 2012, the Supreme Court of New York, Appellate Division, First Judicial Department, disbarred Margulies, effective July 19, 2011, based on his felony convictions in New York, and that on November 1, 2011, the Supreme Court of Ohio suspended Margulies’s license based upon his felony convictions in New York.
Based on the above, the Order forthwith suspended James Warren Margulies from appearing or practicing before the Commission pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice. Rel. 34-68446; File No. 3-15131)
In the Matter of J. Brian Laib, CPA
On December 17, 2012, the Commission issued an Order Instituting Public Administrative Proceedings Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission’s Rules of Practice, Making Findings and Imposing Remedial Sanctions (Order) against J. Brian Laib, CPA. The Order finds that J. Brian Laib engaged in improper professional conduct through repeated instances of unreasonable conduct.
Based on the above, the Order denies J. Brian Laib the privilege of appearing or practicing before the Commission as an accountant, with the right to request reinstatement after three years. J. Brian Laib consented to the issuance of the Order without admitting or denying the findings in the Order. (Rel. 34-68449; AAE Rel. 3431; File No. 3-15133)
SEC Charges Santa Monica-Based Hedge Fund Manager in Cherry-Picking Scheme
On December 14, 2012, the Securities and Exchange Commission charged a Santa Monica-based hedge fund manager and his investment advisory firm with conducting a “cherry-picking” scheme by steering winning trades to their own trading accounts and favored clients to the detriment of certain hedge fund investors. They are also charged with failing to disclose the firm’s precarious financial condition to clients in a timely manner.
The Commission alleges that Peter J. Eichler, Jr., and his firm Aletheia Research and Management, Inc., disproportionately allocated losing trades to the accounts of two hedge funds managed by the firm, resulting in monetary losses for those funds’ investors. Meanwhile, they allocated winning trades to accounts owned by Eichler and Aletheia employees as well as accounts belonging to select clients.
According to the Commission’s complaint filed in federal court in Los Angeles, Aletheia had more than $1.4 billion in assets under management and managed two hedge funds. By engaging in a cherry-picking scheme, Aletheia and Eichler violated the fiduciary duties they owed to their advisory clients. Aletheia failed to implement policies, procedures, or a code of ethics that could have prevented a cherry-picking scheme from occurring.
The Commission further alleges that Aletheia also breached its fiduciary duties and federal law when it did not disclose its financial troubles to clients until immediately before a bankruptcy filing. The federal securities laws require an investment adviser to fully and promptly disclose any financial condition that is reasonably likely to impair the investment adviser’s ability to meet contractual commitments to its advisory clients. Aletheia was in a precarious financial condition in July 2012 after the state of California had filed a tax lien for more than $2 million against the firm for unpaid taxes and penalties. On Oct. 1, 2012, California suspended Aletheia’s corporate status for non-payment. Once suspended, Aletheia had no right to lawfully engage in any business, nor could it legally exercise any of its corporate powers, rights, and privileges. But Aletheia failed to disclose its precarious financial condition to clients until November 9. The firm filed for Chapter 11 bankruptcy on November 11.
The Commission’s complaint charges Aletheia with violations of Section 10(b) of the Securities Exchange Act of 1934 and Rules 10b-5(a) and (c) thereunder and Sections 204, 204A, 206(1), 206(2), 206(4), and 207 of the Investment Advisers Act of 1940 and Rules 204-1(a)(2), 204A-1(a), 206(4)-7(a), and 206(4)-8(a) thereunder. Eichler is charged with violations of Section 10(b) of the Exchange Act and Rules 10b-5(a) and (c) thereunder and Sections 206(1), 206(2), and 206(4) of the Advisers Act and Rule 206(4)-8(a) thereunder. The Commission’s complaint seeks permanent injunctions, disgorgement of the defendants’ ill-gotten gains plus pre-judgment interest, and penalties. [SEC v. Aletheia Research and Management, Inc. and Peter J. Eichler, Jr., United States District Court for the Central District of California, Case No. 12-cv-10692-JFW-(RZx)] (LR-22573)
SEC Charges Company based in Massachusetts and Canada and Other Parties in Stock Pump-and-Dump Scheme Involving Fictitious Buyout Offer
The Securities and Exchange Commission filed an enforcement action on December 17, 2012, in federal court in Boston charging Spencer Pharmaceutical Inc., its officers, and several other parties for their roles in a “pump-and-dump” scheme involving Spencer’s stock. The Commission’s complaint alleges that Jean-François Amyot, a Canadian resident who controlled Spencer, orchestrated the scheme and worked with Maximilien Arella and Ian Morrice, Spencer’s officers and directors, as well as IAB Media Inc. and Hilbroy Advisory Inc., two other companies controlled by Amyot, to create and disseminate false press releases, including press releases about a fictitious buyout offer for Spencer, and to otherwise promote Spencer’s stock. The Commission alleges that the promotional campaign pumped up the price of Spencer’s stock, and Amyot benefited by dumping his own Spencer stock at artificially inflated prices.
The Commission’s complaint, filed in the U.S. District Court for the District of Massachusetts, alleges that beginning in November 2010, Spencer, a purported pharmaceutical company with addresses in Boston, Massachusetts, and Canada, disseminated false and misleading press releases claiming that it had received an unsolicited buyout offer from a Mideast company for $245 million when, in fact, the purported buyout offer was not real. The complaint further alleges that Arella and Morrice worked with Amyot to create and disseminate the fraudulent press releases. According to the complaint, while Spencer was issuing the press releases, the defendants were conducting a promotional campaign using Internet websites and newsletters to tout Spencer’s stock and the bogus buyout offer, and the false press releases and promotional campaign were successful in pumping up the price of Spencer’s stock. For example, after Spencer publically announced that the Mideast company proposed to pay $245 million for Spencer, the price of Spencer stock more than doubled in two days – opening at $0.25 per share on November 10, 2010 and closing at $0.60 per share on November 12 – and the daily trading volume for Spencer’s stock reached almost six million shares on November 11, compared to a daily average trading volume of less than 50,000 shares during the previous three months. During the time the buyout offer was being promoted, Amyot sold approximately 36 million Spencer shares for gross proceeds of approximately $5.8 million. Each of the defendants are charged by the Commission with violating various antifraud provisions of the federal securities laws. The complaint further charges Spencer, Amyot, and Arella with violating securities registration provisions of the securities laws. According to the complaint, Amyot and Arella were involved in a series of transfers involving 12 million Spencer shares that were done to evade the securities registration requirements and move the shares into an account controlled by Amyot.
The Commission also suspended trading in Spencer securities on December 17, 2012, 34-68447. Securities of Spencer were quoted on OTC Link operated by OTC Markets Group Inc.
The Commission alleges that Spencer, Amyot, Arella, and Morrice violated Section 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder; that IAB Media and Hilbroy violated Sections 17(a)(1) and (3) of the Securities Act and Section 10(b) of the Exchange Act and Rules 10b-5(a) and (c); and that Arella, Morrice, IAB Media, and Hilbroy aided and abetted the violations by Spencer of Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5. The Commission also alleges that Amyot is liable for Spencer’s violations of Section 10(b) and Rule 10b-5 as the company’s control person and that Spencer, Amyot, and Arella violated Sections 5(a) and 5(c) of the Securities Act. The Commission is seeking permanent injunctions, disgorgement plus prejudgment interest, and civil penalties against Spencer, Amyot, Arella, Morrice, IAB Media, and Hilbroy. It also seeks an order prohibiting Amyot, Arella, and Morrice from serving as an officer or director of a public company and from participating in the offering of a penny stock.
The Commission acknowledges the assistance of the Quebec Autorité des Marchés Financiers in this matter. [SEC v. Spencer Pharmaceutical Inc., Jean-François Amyot, Maximilien Arella, Ian Morrice, IAB Media Inc., and Hilbroy Advisory Inc., Civil Action No. 1:12-cv-12334 (D. Mass.)] (LR-22574)
The Adams Express Company and Petroleum & Resources Corporation
A notice has been issued giving interested persons until January 7, 2013, to request a hearing on an application filed by The Adams Express Company and Petroleum & Resources Corporation, under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Section 19(b) of the Act and Rule 19b-1 under the Act. The order would permit certain registered closed-end management investment companies to make periodic distributions of long-term capital gains with respect to their outstanding common shares as frequently as monthly in any one taxable year, and as frequently as distributions are specified by or in accordance with the terms of any outstanding preferred shares that such investment companies may issue. (Rel. IC-30304 - December 13)
AllianceBernstein Active ETFs, Inc., et al.
A notice has been issued giving interested persons until January 7, 2013, to request a hearing on an application filed by AllianceBernstein Active ETFs, Inc., et al., 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-30305 – December 13)
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 Alta Mesa Holdings, LP, 15021 KATY FREEWAY, SUITE 400, HOUSTON, TX, 77094, 281-530-0991 - 0 ($148,500,000.00) Non-Convertible Debt, (File 333-185468 - Dec. 14) (BR. 04A) S-1 LAPIS TECHNOLOGIES INC, 70 KINDERKAMACK RD, EMERSON,, NJ, 07630, 201-225-0190 - 0 ($10,625,000.00) Equity, (File 333-185470 - Dec. 14) (BR. 10B) N-2 Nuveen Intermediate Duration Quality Municipal Term Fund, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 312-917-8146 - 1,000 ($15,000.00) Equity, (File 333-185471 - Dec. 14) (BR. 18) S-8 Melco Crown Entertainment LTD, 36TH FLOOR, THE CENTRIUM., 60 WYNDHAM STREET, CENTRAL, HONG KONG., K3, 00000, (852) 2598 3600 - 0 ($505,000,000.00) ADRs/ADSs, (File 333-185477 - Dec. 14) (BR. 08C) F-3ASR WESTPAC BANKING CORP, 575 FIFTH AVENUE, 39TH FLOOR, NEW YORK, NY, 10017-2422, 2125511800 - 0 ($0.00) Debt, (File 333-185478 - Dec. 14) (BR. 12A) S-8 UROLOGIX INC, 14405 21ST AVE N, MINNEAPOLIS, MN, 55447, 6124751400 - 1,600,000 ($1,120,000.00) Equity, (File 333-185479 - Dec. 14) (BR. 10B) S-3ASR SNAP-ON Inc, 2801 80TH STREET, KENOSHA, WI, 53143, 4146565200 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-185480 - Dec. 14) (BR. 06B) S-8 WMS INDUSTRIES INC /DE/, 800 S. NORTHPOINT BLVD., WAUKEGAN, IL, 60085, 847-785-3000 - 0 ($89,661,000.00) Equity, (File 333-185481 - Dec. 14) (BR. 06C) S-1 Charter Financial Corp, 1233 O.G. SKINNER DRIVE, WEST POINT, GA, 31833, (706) 645-1391 - 0 ($247,005,500.00) Equity, (File 333-185482 - Dec. 14) (BR. 07) N-2 Cohen & Steers MLP & Energy Income Fund, 280 PARK AVENUE, FLOOR 10, NEW YORK, NY, 10017, (212) 832-3232 - 50,000 ($1,000,000.00) Equity, (File 333-185483 - Dec. 14) (BR. ) S-3 UNIVERSAL INSURANCE HOLDINGS, INC., 1110 W. COMMERCIAL BLVD., SUITE 100, FORT LAUDERDALE, FL, 33309, 9549581200 - 0 ($30,940,000.00) Equity, 0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-185484 - Dec. 14) (BR. 01A) S-8 SANTARUS INC, 3721 VALLEY CENTRE DRIVE, STE 400, SAN DIEGO, CA, 92130, 8583145700 - 0 ($29,700,000.00) Equity, (File 333-185485 - Dec. 14) (BR. 01A) S-3 Anacor Pharmaceuticals Inc, 1020 E. MEADOW CIRCLE, PALO ALTO, CA, 94303, 650-543-7500 - 0 ($75,000,000.00) Unallocated (Universal) Shelf, (File 333-185486 - Dec. 14) (BR. 01A) S-1 THERMOENERGY CORP, 10 NEW BOND STREET, WORCHESTER, MA, 01606, (508) 854-1628 - 63,856,250 ($5,108,500.00) Equity, (File 333-185487 - Dec. 14) (BR. 06C) S-8 INTEGRATED SILICON SOLUTION INC, 2231 LAWSON LANE, SANTA CLARA, CA, 95054-3311, 4085880800 - 439,500 ($3,955,500.00) Equity, (File 333-185488 - Dec. 14) (BR. 10A) S-3 SONIC FOUNDRY INC, 222 W. WASHINGTON AVENUE, SUITE 775, MADISON, WI, 53703, 6084431600 - 0 ($6,462,000.00) Equity, (File 333-185489 - Dec. 14) (BR. 11C) S-3 HUDSON TECHNOLOGIES INC /NY, PO BOX 1541, ONE BLUE HILL PLAZA, 14TH FLOOR, PEARL RIVER, NY, 10965, 8457356000 - 0 ($51,920,000.00) Equity, (File 333-185490 - Dec. 14) (BR. 06C) S-3 JDS UNIPHASE CORP /CA/, 430 NORTH MCCARTHY BOULEVARD, MILPITAS, CA, 95035, 4085465000 - 0 ($9,572,068.08) Equity, (File 333-185491 - Dec. 14) (BR. 10A) S-8 JDS UNIPHASE CORP /CA/, 430 NORTH MCCARTHY BOULEVARD, MILPITAS, CA, 95035, 4085465000 - 0 ($508,685,003.00) Equity, (File 333-185492 - Dec. 14) (BR. 10A) S-3ASR SCOTTS MIRACLE-GRO CO, 14111 SCOTTSLAWN ROAD, MARYSVILLE, OH, 43041, 9376440011 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-185493 - Dec. 14) (BR. 05C) N-2 NUVEEN SELECT TAX FREE INCOME PORTFOLIO, 333 W WACKER DR, CHICAGO, IL, 60606, 3129178200 - 1,000 ($15,800.00) Equity, (File 333-185494 - Dec. 14) (BR. 18) N-2 NUVEEN SELECT TAX FREE INCOME PORTFOLIO 2, 333 W WACKER DR, CHICAGO, IL, 60606, 3129178200 - 1,000 ($14,670.00) Equity, (File 333-185495 - Dec. 14) (BR. 18) N-2 NUVEEN SELECT TAX FREE INCOME PORTFOLIO 3, 333 W WACKER DR, CHICAGO, IL, 60606, 3129178200 - 1,000 ($15,310.00) Equity, (File 333-185496 - Dec. 14) (BR. 18) S-8 Hudson Pacific Properties, Inc., 11601 WILSHIRE BLVD., SUITE 1600, LOS ANGELES, CA, 90025, (310) 445-5700 - 0 ($440,834,373.00) Equity, (File 333-185497 - Dec. 14) (BR. 08B) S-8 SILVER STANDARD RESOURCES INC, 999 W HASTINGS ST, SUITE 1400, VANCOUVER BC CANADA, A1, V6C 2W2, 604-689-3846 - 7,000,000 ($99,190,000.00) Equity, (File 333-185498 - Dec. 14) (BR. 09A) S-8 ZALE CORP, 901 W WALNUT HILL LN, MS 6B-3, IRVING, TX, 75038, 9725804000 - 0 ($4,613,545.00) Equity, (File 333-185499 - Dec. 14) (BR. 02B) S-8 CYBERONICS INC, 100 CYBERONICS BLVD, HOUSTON, TX, 77058, (281) 228-7200 - 2,200,000 ($113,652,000.00) Equity, (File 333-185500 - Dec. 14) (BR. 10A) S-8 NRG ENERGY, INC., 211 CARNEGIE CENTER, -, PRINCETON, NJ, 08540, 609-524-4500 - 0 ($125,786,365.70) Equity, (File 333-185501 - Dec. 14) (BR. 02A) S-3 India Globalization Capital, Inc., 4336 MONTGOMERY AVENUE, BETHESDA, MD, 20814, 301-983-0998 - 0 ($6,000,000.00) Equity, (File 333-185502 - Dec. 14) (BR. 06C) S-3 American Express Receivables Financing Corp VIII LLC, 3 WORLD FINANCIAL CENTER, 200 VESEY STREET, NEW YORK, NY, 10285, 212-640-0100 - 0 ($1,000,000.00) Debt, (File 333-185503 - Dec. 14) (BR. ) S-8 Silver Bay Realty Trust Corp., 601 CARLSON PARKWAY, SUITE 250, MINNETONKA, MN, 55305, 612-238-3300 - 0 ($17,039,481.00) Equity, (File 333-185504 - Dec. 14) (BR. 08B)
Form 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 ----------------------------------------------------------------------------------------- 'mktg, inc.' DE 1.01,9.01 12/11/12 AIR METHODS CORP DE 8.01 12/12/12 ALASKA AIR GROUP, INC. DE 7.01,9.01 12/13/12 ALBANY MOLECULAR RESEARCH INC DE 7.01 12/14/12 ALERE INC. DE 1.01,2.03,3.03,8.01, 12/11/12 9.01 Alexza Pharmaceuticals Inc. DE 8.01,9.01 12/14/12 All Energy Corp DE 8.01 12/14/12 Allegiant Travel CO NV 8.01,9.01 12/14/12 ALTERRA CAPITAL HOLDINGS Ltd 1.01,9.01 12/14/12 AMC Networks Inc. DE 8.01,9.01 12/10/12 AMERICAN AIRLINES INC DE 8.01,9.01 12/13/12 AMEND AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 5.02,9.01 12/13/12 AMERICAN FINANCIAL GROUP INC OH 8.01,9.01 12/13/12 AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 12/14/12 AMGEN INC DE 5.02,9.01 12/13/12 AMR CORP DE 8.01,9.01 12/13/12 AMEND AMTECH SYSTEMS INC AZ 5.02 12/11/12 ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 12/14/12 AOL Inc. DE 5.02 10/24/12 AMEND AP PHARMA INC /DE/ DE 8.01,9.01 12/13/12 Ares Commercial Real Estate Corp MD 3.02,8.01,9.01 12/14/12 ARGAN INC DE 2.02,9.01 12/13/12 ARKANOVA ENERGY CORP. NV 1.01,3.02,9.01 12/14/12 Artio Global Investors Inc. DE 5.02,9.01 12/14/12 Ascent Solar Technologies, Inc. DE 1.01 12/14/12 Asia Green Agriculture Corp NV 5.01 12/14/12 ASSOCIATED BANC-CORP WI 5.02 12/11/12 Atkore International Holdings Inc. DE 2.02,9.01 12/14/12 ATP OIL & GAS CORP TX 7.01,9.01 12/14/12 AUTONATION, INC. DE 1.01,9.01 12/12/12 AVALONBAY COMMUNITIES INC MD 8.01,9.01 12/05/12 B&G Foods, Inc. DE 1.01,2.03,9.01 12/12/12 Bank of New York Mellon CORP DE 5.02,9.01 12/11/12 BARNES GROUP INC DE 5.02,7.01,9.01 12/14/12 Behringer Harvard Opportunity REIT I, MD 7.01,9.01 12/14/12 BEHRINGER HARVARD REIT I INC MD 7.01,9.01 12/14/12 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 2.02,7.01,9.01 12/14/12 BERKLEY W R CORP DE 8.01,9.01 12/14/12 BERKSHIRE HATHAWAY INC DE 8.01,9.01 12/12/12 BEST BUY CO INC MN 5.03,7.01,8.01,9.01 12/14/12 BG Medicine, Inc. DE 3.01,8.01,9.01 12/10/12 BillMyParents, Inc. CO 1.01,3.02,9.01 12/13/12 BillMyParents, Inc. CO 1.01,3.02,9.01 12/13/12 Bio-Matrix Scientific Group, Inc. DE 4.01,9.01 12/04/12 AMEND BioNeutral Group, Inc NV 1.01,2.03,3.02,5.02, 12/07/12 9.01 BIOTIME INC CA 5.02 12/10/12 Black Diamond, Inc. DE 9.01 09/28/12 AMEND BLUE CALYPSO, INC. DE 1.01,3.02,9.01 12/12/12 BOSTON BEER CO INC MA 5.02 12/11/12 BreitBurn Energy Partners L.P. DE 5.02,9.01 12/11/12 BUTLER NATIONAL CORP DE 2.02,9.01 12/13/12 Cal Dive International, Inc. DE 5.02 12/14/12 CAMBIUM LEARNING GROUP, INC. 1.01 12/11/12 CAMELOT CORP NV 5.01,5.02,9.01 12/12/12 CAMPBELL FUND TRUST DE 3.02 12/14/12 CANTEL MEDICAL CORP DE 7.01,9.01 12/14/12 CARTERS INC DE 1.01,1.02,2.03,9.01 12/14/12 Catamaran Corp B0 5.02 12/10/12 CAVIUM, INC. DE 5.02 12/13/12 CBL & ASSOCIATES PROPERTIES INC DE 9.01 12/14/12 CEMPRA, INC. DE 8.01,9.01 12/14/12 CENTENE CORP 7.01,9.01 12/14/12 CHARTER FINANCIAL CORP/GA 8.01,9.01 12/11/12 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 12/13/12 CHENIERE ENERGY INC DE 1.01,3.03,9.01 12/10/12 CHINA JO-JO DRUGSTORES, INC. 8.01,9.01 12/14/12 CIFC Corp. DE 5.02 12/12/12 CMS ENERGY CORP MI 7.01,9.01 12/14/12 CNS RESPONSE, INC. DE 5.02 12/10/12 COFFEE HOLDING CO INC NV 8.01 12/14/12 COMMERCE GROUP CORP /WI/ 8.01 12/11/12 Comstock Mining Inc. NV 8.01 12/13/12 COMVERSE TECHNOLOGY INC/NY/ NY 8.01 12/13/12 Comverse, Inc. DE 2.02,9.01 12/14/12 CONAGRA FOODS INC /DE/ DE 5.02 12/10/12 Constellation Energy Partners LLC DE 5.07,7.01,9.01 12/14/12 CorEnergy Infrastructure Trust, Inc. 1.01,9.01 12/13/12 CROWN HOLDINGS INC PA 1.01,2.05,3.03,7.01, 12/13/12 9.01 CYMER INC NV 8.01,9.01 12/10/12 CYTORI THERAPEUTICS, INC. DE 1.01,8.01,9.01 12/13/12 DCP Holding CO OH 1.01 12/12/12 DELCATH SYSTEMS INC DE 7.01,9.01 12/14/12 Demandware Inc DE 7.01 12/14/12 Destination Maternity Corp DE 5.02 12/10/12 Digital Cinema Destinations Corp. DE 9.01 09/29/12 AMEND Discovery Communications, Inc. DE 1.01,8.01,9.01 12/14/12 Discovery Communications, Inc. DE 8.01 12/11/12 DLH Holdings Corp. NJ 2.02,9.01 12/14/12 DMH INTERNATIONAL, INC. NV 3.02,5.01,5.02 12/10/12 DMH INTERNATIONAL, INC. NV 1.01,2.01,3.02,9.01 12/11/12 DUSA PHARMACEUTICALS INC NJ 8.01 12/14/12 DYNASIL CORP OF AMERICA NJ 1.01 12/06/12 AMEND Earn-A-Car Inc. NV 1.01,2.01,5.01,5.02, 12/07/11 AMEND 5.06,9.01 EARTH DRAGON RESOURCES INC. 8.01 12/10/12 EMAGIN CORP DE 5.02 12/11/12 EMCORE CORP NJ 1.01,9.01 12/11/12 EMMIS COMMUNICATIONS CORP IN 5.03,9.01 12/13/12 ENDO HEALTH SOLUTIONS INC. DE 5.02,8.01,9.01 12/12/12 ENERGIZER HOLDINGS INC MO 5.02,9.01 12/10/12 Energy Recovery, Inc. DE 7.01,9.01 12/11/12 AMEND ERF Wireless, Inc. NV 8.01,9.01 12/14/12 EV Energy Partners, LP DE 8.01,9.01 12/12/12 EXELIXIS, INC. DE 5.04,9.01 12/14/12 EZJR, Inc. NV 4.01 12/04/12 Federal Home Loan Bank of Atlanta X1 5.02 12/13/12 Federal Home Loan Bank of Topeka 7.01,9.01 12/14/12 FEI CO OR 5.02 12/14/12 FINISH LINE INC /IN/ IN 8.01 12/14/12 FIRST BANCORP /NC/ NC 8.01,9.01 12/14/12 FIRST BUSEY CORP /NV/ NV 8.01 12/14/12 FIRST PACTRUST BANCORP INC MD 4.01,9.01 12/10/12 AMEND FOREST CITY ENTERPRISES INC OH 1.01,3.02,9.01 12/13/12 FOREST CITY ENTERPRISES INC OH 7.01,9.01 12/14/12 FORWARD AIR CORP TN 5.02,8.01,9.01 12/14/12 GENCOR INDUSTRIES INC DE 2.02,9.01 12/14/12 GENEREX BIOTECHNOLOGY CORP DE 5.02 12/14/12 GENON AMERICAS GENERATION LLC 5.01 12/14/12 GenOn Energy, Inc. DE 1.02,2.01,2.03,3.01, 12/14/12 3.03,5.01,5.02,5.03, 9.01 GENON MID-ATLANTIC, LLC DE 5.01 12/14/12 GEO GROUP INC FL 8.01,9.01 12/14/12 Global Growth Trust, Inc. MD 5.02 12/10/12 Global Income Trust, Inc. MD 5.02 12/11/12 GLU MOBILE INC DE 5.02,9.01 12/13/12 GOLD RESOURCE CORP CO 4.02 11/02/12 AMEND GRAPHITE CORP NV 1.01,3.02,9.01 12/10/12 Great Lakes Dredge & Dock CORP DE 1.01,8.01,9.01 12/11/12 GREAT PLAINS ENERGY INC MO 8.01 12/13/12 GREIF INC DE 2.02,7.01,8.01,9.01 12/11/12 GROEN BROTHERS AVIATION INC /UT/ UT 1.01,3.03,9.01 12/13/12 GULF ISLAND FABRICATION INC LA 5.02,8.01,9.01 12/11/12 GYRODYNE CO OF AMERICA INC NY 7.01,9.01 12/14/12 HANCOCK FABRICS INC DE 5.02,7.01,9.01 12/13/12 HANDY & HARMAN LTD. DE 5.02,9.01 12/14/12 HANGER, INC. DE 5.02 12/11/12 HARBINGER GROUP INC. DE 8.01,9.01 12/13/12 HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 12/14/12 HCA Holdings, Inc. 1.01,9.01 12/10/12 HEALTH MANAGEMENT ASSOCIATES, INC DE 5.02,8.01 12/11/12 HEICO CORP FL 1.01,9.01 12/11/12 Heritage-Crystal Clean, Inc. DE 1.01,2.03,9.01 12/10/12 HERTZ GLOBAL HOLDINGS INC 1.01,9.01 12/10/12 Hines Global REIT, Inc. MD 8.01,9.01 12/14/12 HINES REAL ESTATE INVESTMENT TRUST IN 8.01,9.01 12/13/12 HONEYWELL INTERNATIONAL INC DE 5.02,5.03,9.01 12/14/12 Hyatt Hotels Corp DE 5.02,9.01 12/12/12 ILLUMINA INC DE 5.02 12/14/12 IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 5.03,8.01,9.01 12/10/12 Independence Bancshares, Inc. SC 5.02 12/12/12 India Globalization Capital, Inc. MD 3.01,7.01,9.01 12/14/12 INLAND REAL ESTATE CORP MD 8.01,9.01 12/10/12 INLAND REAL ESTATE CORP MD 8.01,9.01 12/14/12 INSULET CORP DE 8.01,9.01 12/14/12 INTEGRA LIFESCIENCES HOLDINGS CORP DE 1.01,9.01 12/13/12 INTEL CORP DE 8.01,9.01 12/11/12 INTERACTIVE DATA CORP/MA/ DE 8.01,9.01 12/13/12 IRONSTONE GROUP INC DE 4.01,9.01 12/14/12 AMEND ISIS PHARMACEUTICALS INC DE 8.01,9.01 12/14/12 JDS UNIPHASE CORP /CA/ DE 8.01,9.01 12/14/12 Jiu Feng Investment Hong Kong Ltd NV 8.01,9.01 12/13/12 JOSHUA GOLD RESOURCES INC NV 5.07 12/11/12 JOY GLOBAL INC DE 5.02 12/10/12 AMEND KAPSTONE PAPER & PACKAGING CORP DE 5.05,9.01 12/13/12 KBS Real Estate Investment Trust, Inc MD 8.01 12/12/12 KBW, INC. 8.01,9.01 12/14/12 KEMET CORP DE 1.01,9.01 12/12/12 Kennedy-Wilson Holdings, Inc. DE 2.03,9.01 12/14/12 Kraft Foods Group, Inc. 5.03,9.01 12/10/12 KYTHERA BIOPHARMACEUTICALS INC DE 5.02 12/11/12 LADENBURG THALMANN FINANCIAL SERVICES FL 8.01,9.01 12/14/12 LEE ENTERPRISES, INC DE 2.02 12/14/12 AMEND Lifevantage Corp CO 8.01,9.01 12/14/12 LIGAND PHARMACEUTICALS INC DE 8.01,9.01 12/14/12 LIVEWIRE ERGOGENICS INC. 3.03,9.01 12/13/12 Location Based Technologies, Inc. NV 1.01,9.01 12/10/12 LPATH, INC NV 1.01,8.01,9.01 12/14/12 LUCAS ENERGY, INC. NV 5.02,5.07,9.01 12/12/12 MANPOWER INC /WI/ WI 8.01,9.01 12/12/12 MARSH & MCLENNAN COMPANIES, INC. DE 5.02,9.01 09/20/12 AMEND MDC HOLDINGS INC DE 8.01,9.01 12/13/12 METLIFE INC DE 5.02,9.01 12/11/12 MID PENN BANCORP INC PA 7.01,9.01 12/13/12 MINE SAFETY APPLIANCES CO PA 5.02,9.01 12/11/12 Molycorp, Inc. DE 5.02 12/10/12 Motors Liquidation Co DE 8.01,9.01 12/11/12 MPG Office Trust, Inc. MD 7.01,8.01,9.01 12/14/12 MS Structured Step Up Callable Trust 8.01 12/14/12 MSCI Inc. DE 1.01,2.03,9.01 12/13/12 NATIONAL WESTERN LIFE INSURANCE CO CO 5.02 12/13/12 NEW ENERGY TECHNOLOGIES, INC. 5.02,7.01,9.01 12/10/12 NEW YORK MORTGAGE TRUST INC MD 8.01,9.01 12/14/12 NEWMARKET CORP VA 7.01,9.01 12/13/12 NEXTERA ENERGY INC FL 8.01 12/13/12 NGP Capital Resources Co MD 5.02,7.01,9.01 12/11/12 NII HOLDINGS INC DE 5.02 12/10/12 NORTHEAST COMMUNITY BANCORP INC X1 8.01,9.01 12/14/12 NRG ENERGY, INC. DE 2.01,5.02,5.03,8.01, 12/14/12 9.01 NUPATHE INC. DE 8.01 12/14/12 NUTRA PHARMA CORP CA 4.01,9.01 12/12/12 NYTEX Energy Holdings, Inc. DE 7.01,9.01 12/14/12 Ocean Power Technologies, Inc. NJ 2.02,9.01 12/14/12 OCLARO, INC. DE 1.01,3.02,8.01,9.01 12/10/12 OMEROS CORP WA 1.01,9.01 12/14/12 ONLINE RESOURCES CORP DE 8.01 12/13/12 Opexa Therapeutics, Inc. TX 3.03,5.03,8.01,9.01 12/14/12 ORIENT EXPRESS HOTELS LTD D0 8.01,9.01 12/14/12 PACIFIC BIOSCIENCES OF CALIFORNIA INC 5.02,9.01 12/14/12 Palo Alto Networks Inc DE 5.07 12/12/12 Park Sterling Corp NC 2.01,9.01 10/01/12 AMEND PASSPORT POTASH INC A8 7.01,9.01 12/14/12 PEABODY ENERGY CORP DE 8.01,9.01 12/14/12 Pebblebrook Hotel Trust MD 7.01,8.01,9.01 12/14/12 PEERLESS SYSTEMS CORP DE 2.02,9.01 12/14/12 PERRY ELLIS INTERNATIONAL INC FL 5.07 06/12/12 PLUG POWER INC DE 2.05 12/11/12 PPG INDUSTRIES INC PA 7.01,8.01,9.01 12/13/12 PRAXAIR INC DE 5.02,8.01,9.01 12/11/12 PRAXAIR INC DE 8.01,9.01 12/14/12 PULASKI FINANCIAL CORP MO 8.01,9.01 12/12/12 REAL ESTATE ASSOCIATES LTD/CA CA 1.01,9.01 12/10/12 RED MOUNTAIN RESOURCES, INC. FL 1.01,2.03,3.02 12/10/12 REON Holdings, Inc. NV 4.01,9.01 12/12/12 Resolute Forest Products Inc. DE 1.01,9.01 12/10/12 RETAIL OPPORTUNITY INVESTMENTS CORP DE 3.03,9.01 12/11/12 Rockwood Holdings, Inc. DE 1.01,1.02,9.01 12/12/12 RUBICON FINANCIAL INC NV 1.01,2.03,9.01 11/30/12 SALISBURY BANCORP INC CT 3.01,9.01 12/14/12 SANMINA CORP DE 5.02 12/10/12 SAVE THE WORLD AIR INC NV 5.02 12/10/12 SBA COMMUNICATIONS CORP FL 2.01,9.01 10/01/12 AMEND SCBT FINANCIAL CORP SC 2.01,5.02,9.01 12/13/12 SCG Financial Acquisition Corp. DE 8.01,9.01 12/14/12 SCHLUMBERGER LTD /NV/ P8 7.01,9.01 12/14/12 SCHULMAN A INC DE 5.07 12/13/12 SEACOR HOLDINGS INC /NEW/ DE 8.01,9.01 12/14/12 SEQUENTIAL BRANDS GROUP, INC. DE 4.01,9.01 12/10/12 Shire plc 8.01,9.01 12/14/12 Silver Dragon Resources Inc. DE 1.01 12/14/12 SIMON PROPERTY GROUP L P /DE/ DE 1.01,7.01,9.01 12/10/12 SIMON PROPERTY GROUP L P /DE/ DE 1.01,7.01,9.01 12/10/12 SINGLE TOUCH SYSTEMS INC DE 5.02 12/01/12 SINGLE TOUCH SYSTEMS INC DE 5.02 12/10/12 SMARTHEAT INC. NV 5.07,9.01 12/11/12 SPARTECH CORP DE 2.02,9.01 12/13/12 Sputnik Enterprises, Inc NV 1.02,8.01 12/13/12 SRA INTERNATIONAL, INC. VA 8.01 12/13/12 STARWOOD HOTEL & RESORTS WORLDWIDE, I MD 8.01,9.01 12/14/12 Steadfast Income REIT, Inc. MD 9.01 09/28/12 AMEND STREAMLINE HEALTH SOLUTIONS INC. DE 2.02,9.01 12/13/12 SUNPOWER CORP DE 8.01 12/14/12 SYNERGETICS USA INC 7.01,9.01 12/13/12 SYNOVUS FINANCIAL CORP GA 5.02,8.01,9.01 12/10/12 SYNTHESIS ENERGY SYSTEMS INC DE 5.07 12/12/12 Teavana Holdings Inc 8.01 12/14/12 Teleconnect Inc. OK 5.02 12/14/12 TESORO LOGISTICS LP DE 8.01,9.01 12/14/12 TESORO LOGISTICS LP DE 8.01,9.01 12/14/12 TESSERA TECHNOLOGIES INC DE 5.02 12/11/12 THERAVANCE INC DE 8.01 12/14/12 THOR INDUSTRIES INC DE 1.01,5.07,8.01,9.01 12/11/12 Timberline Resources Corp DE 2.02,7.01,9.01 12/10/12 Tree.com, Inc. DE 5.02 12/12/12 TRINITY INDUSTRIES INC DE 1.01 12/12/12 U.S. RARE EARTHS, INC NV 5.02,9.01 12/10/12 UNIGENE LABORATORIES INC DE 5.02 12/12/12 United Continental Holdings, Inc. DE 5.02,5.03,8.01,9.01 12/12/12 UNIVERSAL INSURANCE HOLDINGS, INC. DE 8.01,9.01 12/14/12 UPSTREAM BIOSCIENCES INC. NV 5.03,9.01 12/04/12 USANA HEALTH SCIENCES INC UT 5.02,9.01 12/14/12 VALASSIS COMMUNICATIONS INC DE 7.01,9.01 12/14/12 Valeant Pharmaceuticals International A6 2.01,9.01 12/11/12 Vanda Pharmaceuticals Inc. DE 8.01,9.01 12/13/12 VECTOR GROUP LTD DE 8.01,9.01 12/11/12 VIAD CORP DE 5.02,9.01 12/11/12 VIAD CORP DE 1.01,8.01,9.01 12/12/12 VISTA GOLD CORP B0 1.01,7.01,9.01 12/13/12 VRDT Corp DE 1.01,7.01,9.01 12/14/12 Vystar Corp GA 2.01,9.01 09/13/12 AMEND WELLS FARGO & COMPANY/MN DE 9.01 12/14/12 Wells Timberland REIT, Inc. MD 7.01,8.01,9.01 12/14/12 WESCO INTERNATIONAL INC 8.01,9.01 12/14/12 WEX Inc. 1.01,8.01,9.01 12/10/12 WFRBS Commercial Mortgage Trust 2012- NC 8.01,9.01 12/14/12 WIKI GROUP, INC. 5.03,8.01,9.01 12/12/12 WYNN RESORTS LTD 5.03,9.01 11/02/12 Xylem Inc. IN 5.02,9.01 12/12/12 YA ZHU SILK, INC. NV 4.01,9.01 11/05/12 YOU ON DEMAND HOLDINGS, INC. NV 1.01,8.01,9.01 12/14/12 ZILLOW INC WA 2.01,7.01,9.01 12/14/12