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Commission AnnouncementsSEC Issues Investor Bulletin to Help Investors Assess Municipal Bond Credit RiskThe Securities and Exchange Commission today issued an Investor Bulletin to help purchasers of municipal bonds better assess the bonds’ credit risks. The bulletin provides several factors for investors to consider including the type of the bond, the purpose and nature of the financing, the overall financial condition of the issuer, and the sources of funds to pay both principal and interest. The bulletin also urges investors to undertake their own independent review of municipal bonds’ credit risk and not rely solely on a credit rating or a short-hand label such as “general obligation” or “revenue” bond when deciding whether to purchase a municipal bond. “Investors should gather as much relevant information as they can before spending their hard-earned dollars on any investment,” said SEC Chairman Elisse Walter. “While I will continue to push for enhanced and more timely disclosure by those who issue municipal securities, investors should continue to learn all they can before purchasing them.” The bulletin also provides a list of additional resources where investors can find more information on municipal bonds. The bulletin was prepared by an intra-agency group including the Office of Investor Education and Advocacy, Division of Enforcement, Office of Credit Ratings, Office of Municipal Securities, Division of Trading and Markets, and the Division of Corporation Finance. The bulletin is the 23rd issued this year by the agency. They are available on www.investor.gov – an SEC website designed for individual investors. (Press Rel. 2012-279) Enforcement ProceedingsSEC Charges Research Analyst with Trading and Tipping Ahead of IBM-SPSS MergerThe Securities and Exchange Commission today announced additional charges in an insider trading case against two brokers who traded on nonpublic information ahead of IBM Corporation’s acquisition of SPSS Inc. In an amended complaint filed in federal court in Manhattan, the SEC is now charging research analyst Trent Martin, who was the brokers’ source of confidential information in an insider trading scheme that yielded more than $1 million in illicit profits. Martin worked at a brokerage firm in Connecticut and specialized in Australian equity investments, and he learned nonpublic information about the impending IBM-SPSS transaction from an attorney friend who was working on the deal. Rather than maintaining the confidence of the information, Martin used the information for his own benefit, purchasing SPSS securities and subsequently tipping his roommate Thomas C. Conradt, who traded and tipped his friend and fellow retail broker David J. Weishaus. Martin was specifically named as their source in instant messages between Conradt and Weishaus about their illegal trading. The SEC charged Conradt and Weishaus with insider trading on November 29. Martin, who fled the U.S. to Australia soon after learning about the SEC’s investigation, currently lives in Hong Kong. “Martin is a licensed professional who knowingly disregarded insider trading laws to enrich himself, and then fled the United States when he learned of our investigation,” said Daniel M. Hawke, Director of the SEC’s Philadelphia Regional Office. “Martin could run but he could not hide, as the long arm of the SEC will extend to those who flee the United States hoping to avoid the consequences of their unlawful conduct.” The SEC alleges that Martin’s attorney friend expected him to maintain information in confidence and refrain from illegal trading or disclosing it to others. The attorney sought moral support, reassurance, and advice when he privately told Martin about his new assignment working on the IBM-SPSS acquisition. The lawyer disclosed to Martin such details as the anticipated transaction price and the identities of the acquiring and target companies while he was describing the magnitude of the assignment. According to the SEC’s complaint, Martin attempted to purchase SPSS common stock on the very first business day after learning the nonpublic information from his friend. His first three orders were cancelled because he did not have sufficient funds in the account to make the purchases, but he later wired $50,000 from his checking account into his brokerage account to purchase SPSS shares. The SEC’s complaint alleges that Martin, Conradt and Weishaus violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The SEC is seeking disgorgement of ill-gotten gains with prejudgment interest and financial penalties, and a permanent injunction against the brokers. The SEC’s investigation, which is continuing, is being conducted by Mary P. Hansen, A. Kristina Littman, and John S. Rymas in the SEC’s Philadelphia Regional Office. G. Jeffrey Boujoukos and Catherine E. Pappas in the Philadelphia office are handling the litigation. The SEC acknowledges the assistance of the Options Regulatory Surveillance Authority (ORSA), the New Zealand Securities Commission, and the Australia Securities and Investments Commission. The SEC also acknowledges the assistance of the U.S. Attorney’s Office for the Southern District of New York and the Federal Bureau of Investigation. (Press Rel. 2012-280) In the Matter of Lisa B. Premo An Administrative Law Judge issued an Initial Decision in Lisa B. Premo, Admin. Proc. No. 3-14697, Initial Decision Release No. 476. The Initial Decision finds Lisa B. Premo (Premo) willfully aided and abetted and caused Evergreen Investment Management Company, LLC’s (Evergreen) violations of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 (Advisers Act), and Evergreen’s Ultra Short Opportunities Fund’s (Ultra Short Fund) violation of the Investment Company Act of 1940 (Investment Company Act) Rule 22c-1(a). The Initial Decision finds that Premo’s failure to disclose to Evergreen’s Valuation Committee that a bond in the Ultra Short Fund’s portfolio was subject to: (1) a notice of potential default, (2) an acceleration or alteration in cash flows, and (3) a missed interest payment caused the investment adviser to breach its fiduciary duty to its client. In addition, the failure to disclose this material information inflated the net asset value (NAV) of the Ultra Short Fund portfolio, so that Premo willfully aided and abetted and caused the Ultra Short Fund to engage in sales, redemptions, and purchases of shares that did not reflect the fund’s true NAV. Based on these findings of fact and legal conclusions, the Initial Decision orders Premo: (1) to cease and desist from aiding and abetting and causing future violations of Sections 206(1) and (2) of the Advisers Act and Investment Company Act Rule 22c-1(a); and (2) barred for five years from association with an investment adviser and from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter. (Initial Decision No. 476; File No. 3-14697) INVESTMENT COMPANY ACT RELEASESWilliam Blair & Company, L.L.C. and William Blair FundsThe Commission has issued an order on application filed by William Blair & Company, L.L.C. (William Blair) and William Blair Funds to permit certain registered open-end management investment companies or series thereof that are advised by William Blair to invest in a private investment vehicle established by William Blair to invest in China A Shares. (Rel. IC-30314 — December 21) Pyxis Capital, L.P., et al.A notice has been issued giving interested persons until January 15, 2013, to request a hearing on an application filed by Pyxis Capital, L.P., 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-30316 - December 21) SELF-REGULATORY ORGANIZATIONSDesignation of Longer Period for Commission Action on Proposed Rule ChangesThe Commission designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 in a proceeding to determine whether to approve or disapprove a proposed rule change (SR-NYSEArca-2012-66) filed by NYSE Arca, Inc. to list and trade shares of the iShares Copper Trust pursuant to NYSE Arca Equities Rule 8.201. Publication is expected in the Federal Register during the week of December 24. (Rel. 34-68511) The 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-NYSEMKT-2012-58) filed by NYSE MKT LLC Deleting NYSE MKT Rules 95(c) and (d) – Equities and related Supplementary Material. Publication is expected in the Federal Register during the week of December 24. (Rel. 34-68521) The 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-NYSE-2012-57) filed by New York Stock Exchange LLC deleting NYSE Rules 95(c) and (d) and related Supplementary Material. Publication is expected in the Federal Register during the week of December 24. (Rel. 34-68522) Proposed Rule ChangesThe NASDAQ Stock Market LLC filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-NASDAQ-2012-142) with respect to the amendment of the by-laws of its parent corporation, The NASDAQ OMX Group, Inc. Publication is expected in the Federal Register during the week of December 24. (Rel. 34-68512) NASDAQ OMX PHLX LLC filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-Phlx-2012-142) with respect to the amendment of the by-laws of its parent corporation, The NASDAQ OMX Group, Inc. Publication is expected in the Federal Register during the week of December 24. (Rel. 34-68513) NASDAQ OMX BX, Inc. filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-BX-2012-075) with respect to the amendment of the by-laws of its parent corporation, The NASDAQ OMX Group, Inc. Publication is expected in the Federal Register during the week of December 24. (Rel. 34-68514) The Commission issued notice of a proposed rule change and Amendment No. 1 thereto submitted by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-137) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to establish the Market Quality Program. Publication is expected in the Federal Register during the week of December 24. (Rel. 34-68515) Financial Industry Regulatory Authority, Inc. filed a proposed rule change (SR-FINRA-2012-010), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to amend FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities). Publication is expected in the Federal Register during the week of December 24. (Rel. 34-68526) The Chicago Mercantile Exchange Inc. (CME) filed a proposed rule change (SR-CME-2012-34) under Section 19(b)(1) of the Securities Exchange Act of 1934 related to the Liquidity Factor of its CDS margin methodology. Publication is expected in the Federal Register during the week of December 24. (Rel. 34-68493) ICE Clear Credit LLC (“ICC”) filed a proposed rule change (File No. SR-ICC-2012-25) under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 to update Schedule 502 of the ICC Rules in order to be consistent with the index maturities, which occurred on December 20, 2012. Publication is expected in the Federal Register during the week of December 24. (Rel. 34-68530) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX PHLX LLC relating to the distribution of auction messages (SR-Phlx-2012-136) 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 December 24. (Rel. 34-68517) A proposed rule change filed by NYSE MKT LLC amending Exchange Rule 953NY - trading halts and suspensions (SR-NYSEMKT-2012-80) 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 December 24. (Rel. 34-68520) The Options Clearing Corporation (“OCC”) filed a proposed rule change (SR-OCC-2012-26) under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 to amend interpretative guidance relating to the adjustment of stock options and single stock futures for cash dividends and distributions on underlying securities. Publication is expected in the Federal Register during the week of December 24. (Rel. 34-68531) The Options Clearing Corporation (“OCC”) filed a proposed rule change (SR-OCC-2012-25) under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 to amend schedule of fees, effective January 2, 2013, to charge non-clearing member subscribers of certain non-proprietary data an additional monthly fee to accommodate request for such data on a real-time basis. Publication is expected in the Federal Register during the week of December 24. (Rel. 34-68532) 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-8 Alon USA Partners, LP, 7616 LBJ FREEWAY, SUITE 300, DALLAS, TX, 75251, (972)367-3600 - 3,125,000 ($67,687,500.00) Limited Partnership Interests, (File 333-185598 - Dec. 21) (BR. 04B) S-3 ARRAY BIOPHARMA INC, 3200 WALNUT STREET, BOULDER, CO, 80301, 3033816600 - 0 ($200,000,000.00) Other, (File 333-185599 - Dec. 21) (BR. 01A) S-8 SYNOPSYS INC, 700 E MIDDLEFIELD RD, MOUNTAIN VIEW, CA, 94043-4033, 6509625000 - 158,335 ($3,736,540.82) Equity, (File 333-185600 - Dec. 21) (BR. 03A) S-4 WRIGHT MEDICAL GROUP INC, 5677 AIRLINE ROAD, ARLINGTON, TN, 38002, 9018679971 - 0 ($176,976,621.77) Equity, (File 333-185601 - Dec. 21) (BR. 10B) S-8 AOL Inc., 770 BROADWAY, 4TH FLOOR, NEW YORK, NY, 10003, 703-265-1000 - 2,829,500 ($87,601,320.00) Equity, (File 333-185602 - Dec. 21) (BR. 03A) S-1 MISCOR GROUP, LTD., 800 NAVE ROAD, S.E., MASSILLON, OH, 44646, 3308303500 - 0 ($3,833,331.80) Equity, (File 333-185603 - Dec. 21) (BR. 11C) S-4 GULFMARK OFFSHORE INC, 10111 RICHMOND AVE, STE 340, HOUSTON, TX, 77042, 7139639522 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-185604 - Dec. 21) (BR. 04B) S-8 XCEL ENERGY INC, 800 NICOLLET MALL, MINNEAPOLIS, MN, 55402, 6123305500 - 0 ($6,762,500.00) Equity, (File 333-185610 - Dec. 21) (BR. 02C) S-3 Guaranty Bancorp, 1331 SEVENTEENTH STREET, SUITE 345, DENVER, CO, 80202, 303-296-9600 - 0 ($1.00) Other, (File 333-185611 - Dec. 21) (BR. 07C) S-8 PAR PETROLEUM CORP/CO, 1301 MCKINNEY, SUITE 2025, HOUSTON, TX, 77010, 7139693293 - 0 ($19,200,000.00) Equity, (File 333-185612 - Dec. 21) (BR. 04A) S-8 SYNTHESIS ENERGY SYSTEMS INC, THREE RIVERWAY, SUITE 300, HOUSTON, TX, 77056, 713-579-0600 - 0 ($1,872,000.00) Equity, (File 333-185617 - Dec. 21) (BR. 06B) S-3 CITIZENS INC, 400 EAST ANDERSON LANE, AUSTIN, TX, 78752, 5128377100 - 0 ($310,500,000.00) Equity, (File 333-185618 - Dec. 21) (BR. 01A) F-3ASR Anheuser-Busch InBev S.A., BROUWERIJPLEIN 1, 3000 LEUVEN, BELGIUM, C9, 00000, 0113216315769 - 0 ($0.00) Non-Convertible Debt, (File 333-185619 - Dec. 21) (BR. 09B) S-8 Polonia Bancorp Inc, 3993 HUNTINGDON PIKE 3RD FLOOR, HUNTINGDON VALLEY, PA, 19006, 215 938 8800 - 171,386 ($1,446,498.00) Equity, (File 333-185620 - Dec. 21) (BR. 07) S-8 Polonia Bancorp Inc, 3993 HUNTINGDON PIKE 3RD FLOOR, HUNTINGDON VALLEY, PA, 19006, 215 938 8800 - 400,197 ($3,241,600.00) Equity, (File 333-185621 - Dec. 21) (BR. 07) S-3D HUDSON VALLEY HOLDING CORP, 21 SCARSDALE ROAD, YONKERS, NY, 10707, 9149616100 - 1,000,000 ($15,370,000.00) Equity, (File 333-185622 - Dec. 21) (BR. 07B) S-8 FIRST FINANCIAL CORP /IN/, ONE FIRST FINANCIAL PLAZA, TERRE HAUTE, IN, 47807, (812) 238-6000 - 700,000 ($21,640,500.00) Equity, (File 333-185623 - Dec. 21) (BR. 07C) S-8 Lake Shore Bancorp, Inc., 125 EAST FOURTH STREET, DUNKIRK, NY, 14048, 716-366-4070 - 200,000 ($2,090,000.00) Equity, (File 333-185624 - Dec. 21) (BR. 07C) S-8 ATOSSA GENETICS INC, 4105 E MADISON STREET, SUITE 320, SEATTLE, WA, 98112, 206 325 6086 - 1,450,274 ($6,028,003.05) Equity, (File 333-185625 - Dec. 21) (BR. 10A) S-3ASR SL GREEN REALTY CORP, 420 LEXINGTON AVENUE, ATTN: STEVEN KAHN, NEW YORK, NY, 10170, 2125942700 - 0 ($0.00) Other, (File 333-185626 - Dec. 21) (BR. 08C) S-8 COMMAND SECURITY CORP, ROUTE 55 LEXINGTON PARK, P O BOX 340, LAGRANGEVILLE, NY, 12540, 9144543703 - 2,250,000 ($3,735,000.00) Equity, (File 333-185631 - Dec. 21) (BR. 11A) S-8 NEXSTAR BROADCASTING GROUP INC, 5215 N. O'CONNOR BLVD., SUITE 1400, IRVING, TX, 75039, 972-373-8800 - 1,500,000 ($15,588,000.00) Equity, (File 333-185632 - Dec. 21) (BR. 11A) S-8 ONEOK INC /NEW/, 100 WEST 5TH ST, TULSA, OK, 74103, 9185887000 - 1,500,000 ($65,850,000.00) Equity, (File 333-185633 - Dec. 21) (BR. 02C) S-3 Gas Natural Inc., 1 FIRST AVE SOUTH, PO BOX 2229, GREAT FALLS, MT, 59401, 4067917500 - 0 ($50,000,000.00) Equity, (File 333-185634 - Dec. 21) (BR. 02B) S-3 Sucampo Pharmaceuticals, Inc., 4520 EAST-WEST HIGHWAY, 3RD FLOOR, BETHESDA, MD, 20814, 3019613400 - 0 ($150,000,000.00) Other, (File 333-185635 - Dec. 21) (BR. 01B) S-3 TAYLOR CAPITAL GROUP INC, 350 EAST DUNDEE ROAD, WHEELING, IL, 60090, 8478086369 - 0 ($185,000,000.00) Unallocated (Universal) Shelf, (File 333-185636 - Dec. 21) (BR. 07B) S-8 UNITED NATURAL FOODS INC, PO BOX 999, 260 LAKE RD, DAYVILLE, CT, 06241, 8607792800 - 0 ($66,537,500.00) Equity, (File 333-185637 - Dec. 21) (BR. 02B) S-8 DENDREON CORP, 1301 2ND AVE., SUITE 3200, SEATTLE, WA, 98101, 206-219-7815 - 0 ($50,200,000.00) Equity, (File 333-185638 - Dec. 21) (BR. 01A) S-3 ACADIA PHARMACEUTICALS INC, 3911 SORRENTO VALLEY BLVD, SAN DIEGO, CA, 92121, 858-558-2871 - 19,500,000 ($91,845,000.00) Equity, (File 333-185639 - Dec. 21) (BR. 01B) S-11 NorthStar Real Estate Income II, Inc., 399 PARK AVENUE, 18TH FLOOR, NEW YORK, NY, 10022, 2125472600 - 0 ($1,100,000,000.00) Other, (File 333-185640 - Dec. 21) (BR. ) S-8 LAM RESEARCH CORP, 4650 CUSHING BLVD, FREMONT, CA, 94538, 5106590200 - 3,000,000 ($109,305,000.00) Equity, (File 333-185641 - Dec. 21) (BR. 10B) S-1 TRI Pointe Homes, LLC, 19520 JAMBOREE ROAD, SUITE 200, IRVINE, CA, 92612, (949) 478-8600 - 0 ($172,500,000.00) Equity, (File 333-185642 - Dec. 21) (BR. 06A) S-1 FLUOROPHARMA MEDICAL, INC., 8 HILLSIDE AVENUE, SUITE 207, MONTCLAIR, NJ, 07042, 973-744-1565 - 0 ($3,017,919.00) Equity, (File 333-185643 - Dec. 21) (BR. 01B) S-3 Sagent Pharmaceuticals, Inc., 1901 NORTH ROSELLE ROAD, SUITE 700, SCHAUMBURG, IL, 60195, 847-908-1604 - 0 ($388,082,619.00) Equity, (File 333-185645 - Dec. 21) (BR. 01B) S-3 BRIDGE BANCORP INC, 2200 MONTAUK HGWAY, BRIDGEHAMPTON, NY, 11932, 6315371000 - 0 ($75,000,000.00) Other, (File 333-185646 - Dec. 21) (BR. 07B) S-3 Celldex Therapeutics, Inc., 119 FOURTH AVE, NEEDHAM, MA, 02494, 7814330771 - 0 ($173,400,000.00) Equity, (File 333-185647 - Dec. 21) (BR. 01A) S-8 FLUOROPHARMA MEDICAL, INC., 8 HILLSIDE AVENUE, SUITE 207, MONTCLAIR, NJ, 07042, 973-744-1565 - 0 ($5,115,843.00) Equity, (File 333-185648 - Dec. 21) (BR. 01B) S-3ASR SemGroup Corp, TWO WARREN PLACE, 6120 SOUTH YALE AVENUE, SUITE 700, TULSA, OK, 74136-4216, 918-524-8100 - 0 ($0.00) Other, (File 333-185649 - Dec. 21) (BR. 04B) S-3 CNB FINANCIAL CORP/PA, 1 SOUTH SECOND STREET, P.O. BOX 42, CLEARFIELD, PA, 16830, 8147659621 - 0 ($75,000,000.00) Equity, (File 333-185650 - Dec. 21) (BR. 07B) S-3 NUPATHE INC., 227 WASHINGTON STREET, SUITE 200, CONSHOHOCKEN, PA, 19428, 484-567-0130 - 0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-185651 - Dec. 21) (BR. 01A) S-1 CLEAN WIND ENERGY TOWER, INC., 1997 ANNAPOLIS EXCHANGE BLVD., SUITE 300, ANNAPOLIS, MD, 21401, 410-972-4713 - 37,000,000 ($462,500.00) Equity, (File 333-185652 - Dec. 21) (BR. 09A) S-3 FARO TECHNOLOGIES INC, 125 TECHNOLOGY PARK, LAKE MARY, FL, 32746-6204, 4073339911 - 0 ($250,000,000.00) Equity, (File 333-185654 - Dec. 21) (BR. 10A) S-3ASR EOG RESOURCES INC, 1111 BAGBY, SKY LOBBY 2, HOUSTON, TX, 77002, 7136517000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-185655 - Dec. 21) (BR. 04B) F-10 NORTH AMERICAN PALLADIUM LTD, 200 BAY STREET, ROYAL BANK PLAZA, SOUTH TOWER, SUITE 2350, TORONTO ONTARIO, A6, M5J 2J2, 416-360-7590 - 0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-185656 - Dec. 21) (BR. 09B) S-3 AGENUS INC, 162 FIFTH AVENUE SUITE 900, NEW YORK, NY, 10010, 212-994-8200 - 0 ($164,308,854.30) Unallocated (Universal) Shelf, (File 333-185657 - Dec. 21) (BR. 01B) S-3ASR ALNYLAM PHARMACEUTICALS, INC., 300 THIRD STREET, CAMBRIDGE, MA, 02142, (617) 551-8200 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-185658 - Dec. 21) (BR. 01B) S-3 SEACOAST BANKING CORP OF FLORIDA, 815 COLORADO AVE, P O BOX 9012, STUART, FL, 34994, 7722886085 - 0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-185660 - Dec. 21) (BR. 07C) S-1 Vuzix Corp, 75 TOWN CENTRE DRIVE, ROCHESTER, NY, 14623, 585-359-5900 - 0 ($18,187,500.00) Equity, (File 333-185661 - Dec. 21) (BR. 03A) 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
-----------------------------------------------------------------------------------------
ACCURIDE CORP DE 1.02,9.01 12/20/12
ACHILLION PHARMACEUTICALS INC DE 5.02 12/18/12
ACORDA THERAPEUTICS INC 8.01,9.01 12/20/12
ADVANCE AUTO PARTS INC DE 8.01 12/21/12
ADVANCE AUTO PARTS INC DE 1.01,9.01 12/21/12
Advaxis, Inc. DE 4.01,9.01 12/14/12
AECOM TECHNOLOGY CORP DE 5.02,9.01 12/17/12
Affinion Group Holdings, Inc. DE 1.01,9.01 12/21/12
Affinity Gaming NV 1.01,3.03,5.03,8.01, 12/20/12
9.01
AG Mortgage Investment Trust, Inc. MD 8.01,9.01 12/20/12
AGENUS INC DE 8.01,9.01 12/21/12
Air Transport Services Group, Inc. DE 1.01 12/21/12
Aircastle LTD D0 7.01,9.01 12/19/12
Aleris Corp DE 8.01,9.01 12/21/12
Alexza Pharmaceuticals Inc. DE 8.01,9.01 12/21/12
ALION SCIENCE & TECHNOLOGY CORP DE 5.07,9.01 12/20/12
ALLIANCE FINANCIAL CORP /NY/ NY 5.02,9.01 12/18/12
Allied World Assurance Co Holdings, A 5.03,9.01 12/18/12
Amarantus BioSciences, Inc. DE 1.01,9.01 12/14/12 AMEND
AMEDISYS INC DE 5.02 12/19/12
AMERICAN AIRLINES INC DE 7.01,8.01,9.01 12/21/12
American Realty Capital Trust, Inc. DE 8.01,9.01 12/21/12
AMERICAN SUPERCONDUCTOR CORP /DE/ DE 1.01,2.03,3.02,9.01 12/20/12
AMERISTAR CASINOS INC NV 1.01,7.01,9.01 12/20/12
AMR CORP DE 7.01,8.01,9.01 12/21/12
Andatee China Marine Fuel Services Co DE 5.02,9.01 12/17/12
Anthera Pharmaceuticals Inc DE 3.01 12/20/12
APACHE CORP DE 5.02 12/17/12
APPLIED MICRO CIRCUITS CORP DE 1.01,9.01 12/20/12
APRICUS BIOSCIENCES, INC. NV 5.02,5.03 12/18/12
ARAMARK CORP DE 8.01,9.01 12/21/12
ARDENT MINES LTD 1.01,1.02,3.02 12/21/12
ASB Bancorp Inc 5.02,9.01 12/18/12
ASPEN INSURANCE HOLDINGS LTD D0 7.01,8.01,9.01 12/20/12
AUDIENCE INC 5.07,9.01 12/20/12
AVALONBAY COMMUNITIES INC MD 1.01,2.03,9.01 12/20/12
AVAYA INC DE 2.03,9.01 12/18/12
Bancorp, Inc. 1.01,7.01,9.01 12/21/12
Bank of Commerce Holdings CA 2.02,9.01 12/21/12
BAYLAKE CORP WI 8.01,9.01 12/21/12
BCB BANCORP INC 5.03,9.01 12/21/12
BELDEN INC. DE 2.01,7.01,9.01 12/17/12
BGC Partners, Inc. DE 1.01,5.07,8.01,9.01 12/17/12
BIOTIME INC CA 8.01 12/20/12
BLUCORA, INC. DE 7.01 12/21/12
Bluerock Enhanced Multifamily Trust, MD 1.01,2.01,2.03,9.01 12/17/12
BOISE CASCADE HOLDINGS, L.L.C. DE 1.01,2.03,9.01 12/20/12
BRIGGS & STRATTON CORP WI 4.01,9.01 12/19/12
BROADWIND ENERGY, INC. DE 5.02,9.01 12/17/12
BROWN SHOE CO INC NY 5.02,9.01 12/21/12
BSB Bancorp, Inc. MD 8.01,9.01 12/21/12
BUILD A BEAR WORKSHOP INC DE 1.01,9.01 12/21/12
Builders FirstSource, Inc. DE 1.01,2.03,9.01 12/17/12
CALGON CARBON CORPORATION DE 1.01,9.01 12/18/12
CAPITAL SENIOR LIVING CORP DE 7.01,9.01 12/21/12
CAPITAL TRUST INC MD 1.01,2.01,3.03,5.02, 12/17/12
5.03,5.05,5.07,8.01,
9.01
Cardinal Energy Group, Inc. NV 5.02,8.01 12/21/12
CARROLLTON BANCORP MD 1.01,5.02,9.01 12/21/12
CATHAY GENERAL BANCORP DE 5.02,9.01 12/20/12
Celldex Therapeutics, Inc. DE 5.02,9.01 12/18/12
Cellteck Inc. NV 5.02,8.01 12/17/12
CENTRAL FEDERAL CORP DE 5.02,9.01 12/19/12
CENTRAL VALLEY COMMUNITY BANCORP CA 1.01,8.01,9.01 12/19/12
CFS BANCORP INC IN 8.01,9.01 12/21/12
Chanticleer Holdings, Inc. DE 2.02,9.01 12/21/12
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 12/21/12
CHINA FUND INC MD 7.01,9.01 11/30/12
CHINACAST EDUCATION CORP DE 4.02 12/19/12
Chisen Electric Corp NV 1.01,9.01 12/17/12 AMEND
CHURCHILL DOWNS INC KY 8.01,9.01 12/21/12
CISCO SYSTEMS, INC. CA 8.01 12/20/12
CITIGROUP INC DE 9.01 12/20/12
CITIZENS INC CO 8.01 12/19/12
Clearwater Paper Corp DE 5.02,8.01,9.01 12/18/12
CNA FINANCIAL CORP DE 5.02,9.01 12/21/12
CNL Healthcare Trust, Inc. MD 1.01,2.01,2.03 10/31/12
CNL LIFESTYLE PROPERTIES INC MD 1.01 12/18/12
CODEXIS INC 1.02 12/18/12
COLE REAL ESTATE INCOME STRATEGY (DAI MD 8.01 12/19/12
Contango ORE, Inc. DE 1.01,3.03,5.03,8.01, 12/19/12
9.01
ContinuityX Solutions, Inc. DE 7.01,9.01 12/11/12
COOPER COMPANIES INC DE 1.01,8.01,9.01 12/21/12
Core-Mark Holding Company, Inc. DE 8.01,9.01 12/17/12
CorEnergy Infrastructure Trust, Inc. 1.01,2.01,2.03,8.01, 12/21/12
9.01
Cornerstone Core Properties REIT, Inc MD 1.01,9.01 12/17/12
CORTLAND BANCORP INC OH 5.02,9.01 12/18/12
CROWN CASTLE INTERNATIONAL CORP DE 2.01,9.01 11/30/12 AMEND
Crumbs Bake Shop, Inc. DE 5.02 12/18/12
DATALINK CORP MN 5.02 12/04/12
DATARAM CORP NJ 2.02,9.01 12/21/12
Delanco Bancorp, Inc 1.01,1.02,9.01 12/17/12
DERMA SCIENCES, INC. PA 5.02,9.01 12/20/12
DEX ONE Corp DE 8.01 12/20/12
DiamondRock Hospitality Co 7.01,8.01,9.01 12/20/12
Digital Cinema Destinations Corp. DE 2.01,3.02,9.01 12/17/12
Digital Cinema Destinations Corp. DE 7.01,9.01 12/21/12
Digital Development Group Corp NV 1.02 12/19/12
DineEquity, Inc DE 7.01,9.01 12/20/12
Discovery Communications, Inc. DE 8.01,9.01 12/21/12
Dividend Capital Diversified Property MD 5.02 12/19/12
Dividend Capital Diversified Property MD 1.01,1.02,2.03,8.01, 12/16/12
9.01
DNA BRANDS INC CO 3.02 01/01/12
DNB FINANCIAL CORP /PA/ PA 1.01,5.02,9.01 12/19/12
DOMINION RESOURCES INC /VA/ VA 5.02,9.01 12/17/12
DONEGAL GROUP INC DE 7.01,9.01 12/21/12
Dorman Products, Inc. PA 1.01,2.03,9.01 12/20/12
DUSA PHARMACEUTICALS INC NJ 2.01,3.01,3.02,3.03, 12/20/12
5.01,5.02,5.03,8.01,
9.01
EAGLE FINANCIAL SERVICES INC VA 5.02,9.01 12/21/12
EASTERN VIRGINIA BANKSHARES INC VA 5.03,9.01 12/20/12
EASTMAN KODAK CO NJ 1.01,8.01 12/18/12
Echo Therapeutics, Inc. DE 8.01,9.01 12/20/12
ECOLAB INC DE 8.01,9.01 12/21/12
ECOLAB INC DE 5.02,9.01 12/20/12
ECOTALITY, INC. NV 1.01,9.01 12/20/12
EMC INSURANCE GROUP INC IA 7.01 12/18/12
EMULEX CORP /DE/ DE 1.01,8.01,9.01 12/20/12
ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 12/21/12
Energy Future Holdings Corp /TX/ TX 1.01,2.03,8.01,9.01 12/19/12
ENNIS, INC. TX 2.02,9.01 12/21/12
Entertainment Gaming Asia Inc. NV 3.01,9.01 12/20/12
ENTRAVISION COMMUNICATIONS CORP DE 1.01,2.03,8.01,9.01 12/20/12
EXELON GENERATION CO LLC 5.02 12/21/12
Expedia, Inc. DE 1.01,7.01,9.01 12/21/12
Expedia, Inc. DE 5.02 12/18/12
Fabrinet E9 5.02,5.07 12/20/12
Farm Lands of Africa, Inc. NV 5.02 11/26/12
FARO TECHNOLOGIES INC FL 7.01,9.01 12/21/12
Federal Home Loan Bank of Boston X1 2.03 12/17/12
Federal Home Loan Bank of Boston X1 5.02,9.01 12/21/12 AMEND
Federal Home Loan Bank of Boston X1 9.01 12/21/12 AMEND
Federal Home Loan Bank of Dallas 2.03,9.01 12/18/12
FEDERAL HOME LOAN MORTGAGE CORP 7.01,9.01 12/21/12
Fifth & Pacific Companies, Inc. DE 3.02 12/18/12
FIRST BUSINESS FINANCIAL SERVICES, IN WI 7.01,9.01 12/21/12
FIRST BUSINESS FINANCIAL SERVICES, IN WI 7.01,9.01 12/21/12
FIRST DEFIANCE FINANCIAL CORP OH 5.02 12/17/12
FIRST NORTHERN COMMUNITY BANCORP CA 8.01,9.01 12/20/12
FIRSTCITY FINANCIAL CORP DE 8.01,9.01 12/21/12
FIRSTENERGY CORP OH 5.02,8.01 12/18/12
FIRSTFED FINANCIAL CORP DE 8.01,9.01 12/17/12
FOREST OIL CORP NY 5.02,9.01 12/18/12
FORMFACTOR INC DE 2.01,9.01 10/16/12 AMEND
FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 12/21/12
FSP PHOENIX TOWER CORP 2.01,7.01,8.01,9.01 12/20/12
Full Circle Capital Corp MD 5.07,9.01 12/20/12
FUQI INTERNATIONAL, INC. DE 8.01 12/13/12
FURNITURE BRANDS INTERNATIONAL INC DE 3.01,9.01 12/18/12
GENTEX CORP MI 5.02 12/20/12
GENTEX CORP MI 5.02 12/19/12 AMEND
GENTHERM Inc MI 1.01,9.01 12/17/12
GENTHERM Inc MI 5.02,9.01 12/19/12
GEOGLOBAL RESOURCES INC. DE 1.01,8.01,9.01 12/20/12
GEOKINETICS INC DE 3.01,9.01 12/18/12
GEORGIA GULF CORP /DE/ DE 8.01,9.01 12/21/12
GERMAN AMERICAN BANCORP, INC. IN 5.02 12/17/12
GLEACHER & COMPANY, INC. DE 3.01,8.01 12/18/12
GLOBALWISE INVESTMENTS INC NV 1.01,2.03,9.01 12/16/12
GOLDEN GRAIN ENERGY IA 8.01,9.01 12/21/12
Google Inc. DE 8.01 12/20/12
GORMAN RUPP CO OH 2.03,9.01 12/17/12
GREENBRIER COMPANIES INC OR 8.01,9.01 12/20/12
Griffin-American Healthcare REIT II, MD 8.01 12/17/12
GULF RESOURCES, INC. DE 3.02 12/18/12
HAIN CELESTIAL GROUP INC DE 8.01,9.01 12/21/12
HANSEN MEDICAL INC DE 5.02 12/11/12
HARBINGER GROUP INC. DE 2.01,2.03,8.01 12/17/12
HASCO Medical, Inc. FL 4.01,9.01 12/17/12
HAWAIIAN ELECTRIC INDUSTRIES INC HI 3.02 12/20/12
HCC INSURANCE HOLDINGS INC/DE/ DE 5.02 12/19/12
HEALTHCARE TRUST OF AMERICA, INC. MD 8.01,9.01 12/20/12
HEALTHCARE TRUST OF AMERICA, INC. MD 8.01,9.01 01/13/12
HEIDRICK & STRUGGLES INTERNATIONAL IN DE 5.02 12/18/12
HEMISPHERX BIOPHARMA INC DE 8.01,9.01 12/20/12
HF FINANCIAL CORP DE 5.07 12/19/12
Hines Global REIT, Inc. MD 8.01 12/21/12
Hines Global REIT, Inc. MD 8.01 12/21/12 AMEND
HPEV, INC. NV 1.01 12/20/12
HPIL HOLDING NV 8.01 12/21/12
HSBC USA INC /MD/ MD 9.01 12/20/12
HUMANA INC DE 7.01,9.01 12/21/12
HUTTIG BUILDING PRODUCTS INC DE 1.01,2.03,9.01 12/21/12
HYDROMER INC NJ 5.01,9.01 12/20/12
IAC/INTERACTIVECORP DE 1.01,2.03 12/21/12
iBio, Inc. DE 5.02,5.07,9.01 12/18/12
IDACORP INC ID 8.01 12/21/12
IDT CORP DE 5.07 12/17/12
IEC ELECTRONICS CORP DE 7.01,9.01 12/21/12
INKSURE TECHNOLOGIES INC. DE 5.07 12/21/12
Inland American Real Estate Trust, In MD 7.01,8.01,9.01 12/19/12 AMEND
InspireMD, Inc. DE 3.03,5.03,8.01,9.01 12/19/12
INSULET CORP DE 1.01 12/18/12
INTERCONTINENTALEXCHANGE INC DE 1.01,9.01 12/20/12
INTEVAC INC CA 2.06 12/19/12
INTRICON CORP PA 1.01,9.01 12/21/12
INVACARE CORP OH 1.01,2.05,8.01,9.01 12/21/12
Investors Bancorp Inc DE 1.01,9.01 12/19/12
Iridium Communications Inc. DE 2.03 12/20/12
IRONCLAD PERFORMANCE WEAR CORP 1.01,9.01 12/17/12
ISABELLA BANK CORP MI 5.02 12/19/12
iTALK Inc. NV 8.01,9.01 12/21/12
ITT EDUCATIONAL SERVICES INC DE 5.02 12/18/12
J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 12/21/12
JAMBA, INC. DE 1.01 12/16/12
JDA SOFTWARE GROUP INC DE 1.02,3.01,3.02,3.03, 12/21/12
5.01,5.02,5.03,9.01
JOE'S JEANS INC. DE 5.02,9.01 12/17/12
JOHNSON CONTROLS INC WI 2.02,7.01,9.01 12/19/12
JOY GLOBAL INC DE 5.02 12/18/12 AMEND
Kandi Technologies Corp DE 5.03,5.07,9.01 12/21/12
KBS Real Estate Investment Trust II, MD 7.01,9.01 12/21/12
KBS Real Estate Investment Trust III, MD 1.01 12/18/12
KBS Real Estate Investment Trust, Inc MD 7.01,9.01 12/21/12
KBW, INC. 5.02 12/17/12
KIRBY CORP NV 5.02 12/18/12
LAKES ENTERTAINMENT INC MN 1.01,2.03,9.01 12/17/12
LAKES ENTERTAINMENT INC MN 5.05,9.01 12/20/12
LANDAUER INC DE 5.02,9.01 12/18/12
LAPIS TECHNOLOGIES INC DE 1.01,2.03 12/21/12
LEUCADIA NATIONAL CORP NY 5.02,9.01 12/18/12
Li3 Energy, Inc. NV 5.02 12/05/12
LIBERTY SILVER CORP NV 8.01,9.01 12/21/12
LIFETIME BRANDS, INC DE 5.02,9.01 12/20/12
LIFETIME BRANDS, INC DE 3.02,8.01,9.01 12/20/12
Lone Pine Resources Inc. DE 5.02 12/20/12
LONGWEI PETROLEUM INVESTMENT HOLDING CO 5.07 12/20/12
LTC PROPERTIES INC MD 2.01,9.01 12/20/12
LUCAS ENERGY, INC. NV 2.01,5.02,5.03,8.01, 12/20/12
9.01
Lux Digital Pictures, Inc. 1.01,2.01,3.02,5.01, 08/31/12 AMEND
5.02,5.03,9.01
MAGNUM HUNTER RESOURCES CORP DE 1.01,2.03,8.01,9.01 12/18/12
MAM SOFTWARE GROUP, INC. DE 5.07 12/19/12
Marathon Petroleum Corp DE 1.01,2.03,9.01 12/20/12
MARCHEX INC DE 1.01,5.02 12/20/12
Market Leader, Inc. WA 5.02 12/17/12
MATERION Corp 5.02 12/17/12
META FINANCIAL GROUP INC DE 2.02,9.01 12/21/12
METRO BANCORP, INC. 5.02,9.01 12/21/12
Midway Gold Corp A1 7.01,9.01 12/21/12
MIDWEST GENERATION LLC DE 1.01,1.03,9.01 12/17/12
MISSION COMMUNITY BANCORP CA 5.02,9.01 12/18/12
MMAX MEDIA, INC. NV 3.02,9.01 12/20/12
ModusLink Global Solutions Inc DE 3.01,9.01 12/18/12
MOHAWK INDUSTRIES INC DE 1.01,2.03,8.01,9.01 12/19/12
Mondelez International, Inc. VA 5.02 12/19/12
Montavo, Inc. DE 1.01,8.01 11/12/12
MOSAIC CO 8.01,9.01 12/21/12
MOTRICITY INC DE 1.02 12/17/12
MPG Office Trust, Inc. MD 1.01,7.01,9.01 12/21/12
MS STRUCTURED SATURNS SERIES 2004-2 DE 8.01,9.01 08/17/12
MS STRUCTURED SATURNS SERIES 2005-2 DE 8.01,9.01 11/30/12
MVB FINANCIAL CORP WV 3.02 12/21/12
Myrexis, Inc. DE 1.01,5.02 12/21/12
NATIONAL BEVERAGE CORP DE 8.01,9.01 12/20/12
NATIONAL MENTOR HOLDINGS, INC. DE 2.02,9.01 12/21/12
NATIONAL PATENT DEVELOPMENT CORP DE 2.01,5.02,5.06,8.01, 12/19/12
9.01
NAVIGATORS GROUP INC DE 7.01,9.01 12/21/12
New Mountain Finance Holdings, L.L.C. DE 1.01,2.03,9.01 12/18/12
NEW PEOPLES BANKSHARES INC VA 8.01,9.01 12/21/12
NEWBRIDGE BANCORP NC 5.02,9.01 12/19/12
NEWLINK GENETICS CORP 5.02,9.01 12/21/12
NEWMARKET CORP VA 1.01,2.03,9.01 12/20/12
NEWS CORP 8.01,9.01 12/21/12
Nexeo Solutions Holdings, LLC DE 7.01,9.01 12/21/12
NEXSTAR BROADCASTING GROUP INC DE 8.01,9.01 12/21/12
NEXTERA ENERGY INC FL 2.03 12/20/12
NF Energy Saving Corp DE 5.07 12/20/12
NORFOLK SOUTHERN CORP VA 5.03,9.01 12/21/12
NORTHERN STATES FINANCIAL CORP /DE/ DE 5.02,9.01 12/18/12
Northern Tier Energy LP DE 5.02,7.01,8.01,9.01 12/20/12
Northfield Bancorp, Inc. X1 8.01,9.01 12/20/12
Northfield Bancorp, Inc. DE 8.01,9.01 12/20/12
Northfield Bancorp, Inc. X1 5.02,9.01 12/19/12
NorthStar Real Estate Income Trust, I MD 8.01 12/18/12
NORTHWEST NATURAL GAS CO OR 2.03,9.01 12/20/12
NYSE Euronext DE 1.01,9.01 12/20/12
OCEANFIRST FINANCIAL CORP DE 7.01 12/21/12
Oculus Innovative Sciences, Inc. CA 3.01 12/18/12
OIL STATES INTERNATIONAL, INC DE 1.01,2.03,8.01,9.01 12/18/12
ON-AIR IMPACT, INC. NV 3.02,9.01 12/18/12
Oneida Financial Corp. MD 8.01,9.01 12/20/12
ONEOK INC /NEW/ OK 5.02,7.01 12/21/12
ONEOK Partners LP DE 5.02,7.01 12/21/12
OPTICAL CABLE CORP VA 2.02,9.01 12/20/12
ORCHARD SUPPLY HARDWARE STORES CORP DE 1.02,5.02,9.01 12/18/12
ORRSTOWN FINANCIAL SERVICES INC PA 7.01,9.01 12/21/12
Pacific Coast Oil Trust DE 2.02,9.01 12/21/12
PACIFIC GOLD CORP NV 5.03,9.01 12/21/12
Pandora Media, Inc. DE 5.02 12/21/12
PARTNERRE LTD 8.01,9.01 12/19/12
Patriot Coal CORP DE 7.01,9.01 12/21/12
PATTERSON COMPANIES, INC. MN 8.01 12/21/12
PENN VIRGINIA CORP VA 5.02,9.01 12/20/12
People's United Financial, Inc. DE 5.03,9.01 12/20/12
PEOPLES BANCORP INC OH 1.01,1.02,2.03,9.01 12/18/12
PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 12/20/12
PERNIX THERAPEUTICS HOLDINGS, INC. MD 8.01 12/17/12
PG&E Corp CA 5.02,8.01 12/19/12
PGT, Inc. DE 1.01 12/21/12
PINNACLE AIRLINES CORP DE 7.01,9.01 12/21/12
PINNACLE ENTERTAINMENT INC. DE 1.01,2.03,8.01,9.01 12/20/12
PIXELWORKS, INC OR 1.01,2.03 12/14/12
PLANAR SYSTEMS INC OR 5.02 12/17/12
PLATINUM ENERGY SOLUTIONS, INC. NV 1.01,2.03 12/17/12
PORTFOLIO RECOVERY ASSOCIATES INC DE 8.01,9.01 12/21/12
PostRock Energy Corp DE 1.01,2.03,3.02,5.03, 12/17/12
5.07,7.01,9.01
PPG INDUSTRIES INC PA 8.01,9.01 12/21/12
PPL Corp 8.01,9.01 12/20/12
PRECISION CASTPARTS CORP OR 2.01,9.01 12/20/12
PRIMUS TELECOMMUNICATIONS GROUP INC DE 1.01,2.03,5.02,9.01 12/19/12
PROSPECT CAPITAL CORP MD 1.01,2.03,3.02,8.01, 12/18/12
9.01
Prothena Corp plc L2 1.01,2.01,3.02,4.01, 12/20/12
5.01,5.02,5.05,5.07,
8.01
PROVIDENT FINANCIAL SERVICES INC DE 7.01,9.01 12/21/12
Q LOTUS HOLDINGS INC NV 5.02,9.01 12/17/12
Q Therapeutics, Inc. DE 8.01,9.01 12/20/12
QUALITY DISTRIBUTION INC FL 5.02,5.03,7.01,9.01 12/19/12
Quality WallBeds, Inc. FL 5.02,5.03 12/15/12
Quanex Building Products CORP DE 2.02,9.01 12/21/12
QUANTA SERVICES INC DE 5.02,7.01,9.01 12/20/12
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 5.02 12/17/12
RADIAN GROUP INC DE 1.01,9.01 12/20/12
RAINMAKER SYSTEMS INC DE 1.01,2.01,9.01 12/17/12
RAIT Financial Trust MD 1.01,9.01 12/18/12
RED HAT INC DE 1.01 12/19/12
Reliance Bancshares, Inc. MO 5.07 12/18/12
Renewable Energy Group, Inc. DE 1.02 12/20/12
Resource Real Estate Investors 7, L.P DE 2.01,9.01 03/07/12
RETRACTABLE TECHNOLOGIES INC TX 8.01,9.01 12/21/12
Roadrunner Transportation Systems, In DE 8.01,9.01 12/21/12
ROGERS CORP MA 2.05 07/17/12 AMEND
ROTECH HEALTHCARE INC DE 1.01,1.02,9.01 12/21/12
ROYAL HAWAIIAN ORCHARDS, L.P. DE 5.02 12/14/12
SAFETY INSURANCE GROUP INC DE 5.02,9.01 12/17/12
SANDRIDGE ENERGY INC DE 8.01 12/19/12
SANDY SPRING BANCORP INC MD 4.01 12/21/12
Santo Mining Corp. NV 5.02 12/14/12
SCICLONE PHARMACEUTICALS INC DE 5.02,9.01 12/14/12
SHAW GROUP INC LA 7.01,9.01 12/21/12
SHAW GROUP INC LA 2.02,7.01 12/21/12
Shire plc 8.01,9.01 12/21/12
Silver Dragon Resources Inc. DE 1.01 12/21/12
Sitoa Global Inc. DE 5.02,9.01 12/20/12
Six Flags Entertainment Corp 1.01,2.03,9.01 12/21/12
Skinny Nutritional Corp. NV 1.01,5.02,9.01 12/17/12
SL GREEN REALTY CORP MD 8.01,9.01 12/21/12
SLM Student Loan Trust 2006-7 DE 8.01,9.01 12/21/12
SM Energy Co DE 7.01,9.01 12/19/12
SMITH MIDLAND CORP DE 8.01,9.01 12/17/12
SNYDER'S-LANCE, INC. NC 9.01 10/11/12 AMEND
Somaxon Pharmaceuticals, Inc. DE 8.01 12/17/12
SOTHEBYS DE 5.02,9.01 12/18/12
SOUTHERN MICHIGAN BANCORP INC MI 7.01,9.01 12/21/12
Spectrum Brands Holdings, Inc. DE 2.01,2.03,8.01,9.01 12/17/12
Spectrum Brands, Inc. DE 1.01,2.01,2.03,8.01, 12/17/12
9.01
SPHERIX INC DE 8.01,9.01 12/20/12
STANLEY FURNITURE CO INC. DE 5.02 12/19/12
Stevia Agritech Corp. 4.01,9.01 11/29/12 AMEND
STIFEL FINANCIAL CORP DE 1.01,2.03,8.01,9.01 12/18/12
SUPERIOR UNIFORM GROUP INC FL 1.01 12/17/12
SUPERMEDIA INC. DE 8.01 12/20/12
SurePure, Inc. NV 4.01,9.01 12/12/12 AMEND
SURMODICS INC MN 5.02,9.01 12/17/12
SYNIVERSE HOLDINGS INC DE 8.01 12/20/12
Synthetic Biologics, Inc. NV 1.01,9.01 12/19/12
TEL OFFSHORE TRUST TX 2.02,9.01 12/21/12
TENGION INC DE 5.02 12/19/12
Tennessee Valley Authority 2.03 12/18/12
TFS Financial CORP DE 8.01 12/21/12
Timberline Resources Corp DE 1.01,7.01,9.01 12/20/12
TITAN INTERNATIONAL INC IL 1.01,9.01 12/21/12
Titanium Asset Management Corp DE 5.02 12/19/12
Transcept Pharmaceuticals Inc DE 8.01,9.01 12/21/12
TransMontaigne Partners L.P. DE 1.01,9.01 12/20/12 AMEND
TrovaGene Inc. DE 8.01,9.01 12/20/12
U.S. RARE EARTH MINERALS, INC NV 4.02 12/20/12 AMEND
UGI CORP /PA/ PA 1.01,2.03,9.01 12/18/12
UNI CORE HOLDINGS CORP WY 2.06 12/19/12
UNIGENE LABORATORIES INC DE 8.01 12/21/12
UNIGENE LABORATORIES INC DE 1.01,2.03 12/21/12
UNION FIRST MARKET BANKSHARES CORP VA 1.01,9.01 12/20/12
United Community Bancorp X1 5.07,8.01,9.01 12/21/12
UNITED FIRE GROUP INC 1.01,2.03,9.01 12/21/12
UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 12/21/12
US GEOTHERMAL INC DE 1.01,9.01 12/21/12
UTi WORLDWIDE INC D8 8.01 12/20/12
VALIDUS HOLDINGS LTD 7.01,9.01 12/21/12
VECTREN CORP IN 1.01 12/20/12
Venaxis, Inc. CO 8.01,9.01 12/21/12
Venoco, Inc. DE 1.01 12/21/12
VERIFY SMART CORP. NV 4.01 12/21/12
VERSANT CORP CA 2.01,3.01,3.03,5.01, 12/20/12
5.02,5.03,5.07,7.01,
9.01
Viacom Inc. DE 8.01,9.01 12/04/12
VirnetX Holding Corp DE 5.02 12/17/12
VISTA GOLD CORP B0 1.01,7.01,9.01 12/21/12
VITESSE SEMICONDUCTOR CORP DE 8.01 12/21/12
VSE CORP DE 2.05,9.01 12/07/12
VYCOR MEDICAL INC DE 5.02,9.01 12/17/12
WALGREEN CO IL 2.02,7.01,9.01 12/21/12
Walker & Dunlop, Inc. MD 5.02,9.01 12/17/12
WashingtonFirst Bankshares, Inc. VA 2.01,2.03,3.02,5.02, 12/17/12
5.03,5.07,9.01
WAYNE SAVINGS BANCSHARES INC /DE/ DE 7.01,9.01 12/21/12
WEBSENSE INC DE 8.01 12/20/12
Wellness Center USA, Inc. NV 1.01,2.01,3.02,5.01, 08/02/12 AMEND
5.06,9.01
WELLS FARGO & COMPANY/MN DE 8.01,9.01 12/17/12
Wells Timberland REIT, Inc. MD 7.01,9.01 12/20/12
Wheeler Real Estate Investment Trust, MD 1.01,2.01,9.01 12/18/12
WIDEPOINT CORP DE 5.07 12/19/12
WISCONSIN ENERGY CORP WI 8.01 12/20/12
XENOPORT INC DE 5.02 12/20/12
Xun Energy, Inc. NV 7.01,9.01 12/20/12
YADKIN VALLEY FINANCIAL CORP NC 5.03,5.07,8.01,9.01 12/20/12
YELP INC DE 2.01,9.01 11/23/12 AMEND
YUM BRANDS INC NC 7.01 12/21/12
ZaZa Energy Corp DE 1.01,9.01 12/21/12
Zentric, Inc. NV 1.01,9.01 12/21/12
Zoom Telephonics, Inc. DE 1.01,1.02,2.03,9.01 12/18/12
ACACIA RESEARCH CORP DE 8.01 12/20/12
ACCELERA INNOVATIONS, INC. DE 4.01,9.01 12/18/12
Accelerated Acquisition XVI, Inc. DE 4.01,9.01 12/18/12
Accelerated Acquisition XVII, Inc. DE 4.01,9.01 12/18/12
ACCELERATED ACQUISITIONS XII DE 4.01,9.01 12/18/12
ACCELERATED ACQUISITIONS XIX DE 4.01,9.01 12/18/12
ACCELERATED ACQUISITIONS XXI DE 4.01,9.01 12/18/12
ACCELERATED ACQUISITIONS XXII DE 4.01,9.01 12/18/12
ACTIVE NETWORK INC DE 5.02,9.01 12/20/12
Advanced Cloud Storage, Inc. NV 1.01,2.01,2.02,3.02, 12/21/12
5.01,5.02,5.06,9.01
American Railcar Industries, Inc. ND 1.01,2.03,7.01,9.01 12/20/12
BIOMIMETIC THERAPEUTICS, INC. DE 5.02,8.01,9.01 12/19/12
CHC Helicopter S.A. N4 8.01 12/20/12
CRANE CO /DE/ DE 1.01,7.01,9.01 12/21/12
DESTINY MEDIA TECHNOLOGIES INC CO 8.01 12/21/12
DGSE COMPANIES INC NV 5.07,9.01 12/21/12
Douglas Emmett Inc MD 8.01 12/18/12
DUNE ENERGY INC DE 1.01,3.02,9.01 12/20/12
GLACIER BANCORP INC DE 5.02,9.01 12/20/12
GREENTECH MINING INTERNATIONAL, INC. DE 4.01,9.01 12/18/12
HILLMAN COMPANIES INC DE 1.01,2.03,9.01 12/18/12
KEY ENERGY SERVICES INC MD 8.01 12/21/12
KNIGHT CAPITAL GROUP, INC. DE 1.01,5.02,9.01 12/19/12
LBI MEDIA HOLDINGS INC 1.01,9.01 12/21/12
LEGACY RESERVES LP DE 1.01,2.01,2.03,9.01 12/20/12
LIBERTY STAR URANIUM & METALS CORP. NV 8.01 12/17/12
LITHIA MOTORS INC OR 1.01,2.03,9.01 12/21/12
LITHIUM TECHNOLOGY CORP DE 5.02 12/05/12
MANNKIND CORP DE 5.07,8.01,9.01 12/20/12
MERIT MEDICAL SYSTEMS INC UT 1.01,2.01,8.01,9.01 12/19/12
MGC DIAGNOSTICS Corp MN 5.02 12/18/12
MVP REIT, Inc. MD 8.01,9.01 12/21/12
MYLAN INC. PA 1.01,2.03,9.01 12/21/12
Porter Bancorp, Inc. KY 3.01,8.01 12/17/12
PRAXAIR INC DE 8.01,9.01 12/21/12
RealEstate Pathways, Inc. WY 5.02 12/17/12
Renewable Energy Group, Inc. DE 1.02 12/20/12
ROOMLINX INC NV 5.02,5.07 12/18/12
SPARK NETWORKS INC DE 5.02,9.01 12/17/12
SPRINGLEAF FINANCE CORP IN 5.02 12/21/12
Spy Inc. DE 2.03,9.01 12/19/12
US CONCRETE INC DE 1.01,9.01 12/20/12
US GEOTHERMAL INC DE 1.01,7.01,9.01 12/21/12
VERIFONE SYSTEMS, INC. DE 8.01 12/21/12
Virolab, Inc. DE 4.01,9.01 12/18/12
Westway Group, Inc. DE 1.01,8.01,9.01 12/20/12
Xstelos Holdings, Inc. DE 5.02 12/18/12
http://www.sec.gov/news/digest/2012/dig122612.htm
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