 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
Enforcement proceedingsIn the Matter of Ross MandellAn Administrative Law Judge has issued an Initial Decision in Ross Mandell, Admin. Proc. File No. 3-14981. On July 26, 2011, Ross Mandell (Mandell) was found guilty of securities fraud in violation of 15 U.S.C. §§ 78j(b), 78ff, 17 C.F.R. § 240.10b-5, 18 U.S.C. § 2; mail fraud in violation of 18 U.S.C. §§ 2, 1341; wire fraud in violation of 18 U.S.C. §§ 2, 1343; and conspiracy to commit offenses against the United States, namely securities fraud, mail fraud, and wire fraud in violation of 18 U.S.C. § 371, before the United States District Court for the Southern District of New York in United States v. Mandell, No. 09-cr-662. On May 7, 2012, a final judgment was entered sentencing Mandell to a prison term of 144 months followed by three years of supervised release and ordering him to pay a $400 assessment, $10,000 fine, and $50 million in forfeiture. Mandell was also held jointly and severally liable for over $24 million in restitution. Based on the final judgment, the Initial Decision bars Mandell, pursuant to Section 15(b) of the Securities Exchange Act of 1934, from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. (Initial Decision No. 478; File No. 3-14981) In the Matter of HealthSport, Inc.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) in HealthSport, Inc., Administrative Proceeding File No. 3-15117. The Order Instituting Proceedings alleged that HealthSport, Inc., Home Director, Inc., Home Theater Products International, Inc., House of Taylor Jewelry, Inc. (n/k/a Global Jewelry Concepts, Inc.), and Huifeng Bio-Pharmaceutical Technology, Inc., (collectively, Respondents) repeatedly failed to timely file periodic reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of Respondents’ registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-68564; File No. 3-15117) Commission Revokes Registration of Securities of Ensurapet, Inc. for Failure to Make Required Periodic FilingsOn January 3, 2013, the Commission revoked the registration of each class of registered securities of Ensurapet, Inc. (EPTI) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, EPTI consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Ensurapet, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of EPTI’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against EPTI in In the Matter of DIAS Holding, Inc., et al., Administrative Proceeding File No. 3-15090. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of DIAS Holding, Inc., et al., Administrative Proceeding File No. 3-15090, Exchange Act Release No. 68221 (November 14, 2012). (Rel. 34-68565; File No. 3-15090) Commission Revokes Registration of Securities of Crestek, Inc. for Failure to Make Required Periodic FilingsOn January 3, 2013, the Commission revoked the registration of each class of registered securities of Crestek, Inc. (Crestek) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Crestek consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Crestek, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Crestek’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Crestek in In the Matter of China Voice Holding Corp., et al., Administrative Proceeding File No. 3-15076. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For more information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of China Voice Holding Corp., et al., Administrative Proceeding File No. 3-15076, Exchange Act Release No. 68091, October 24, 2012. (Rel. 34-68566; File No. 3-15076) Delinquent Filers’ Stock Registrations RevokedThe registrations of the registered securities of Encore Clean Energy, Inc., Energy & Engine Technology Corp., Equity Media Holdings Corporation, eTotalSource, Inc., Firepond, Inc., and GNC Energy Corporation have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-68567; File No. 3-15110) District Court Enters Final Judgment of Permanent Injunction and Orders a Civil Penalty Against Defendant Yan K. Skwara and Default Judgment Against Defendant US Farms, Inc.The Commission announced that on January 2, 2013, the United States District Court for the Southern District of Florida entered a Final Judgment of Permanent Injunction by consent, against Defendant Yan K. Skwara enjoining him from violations of Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934 (“Exchange Act”) and Section 17(a) of the Securities Act of 1933 (“Securities Act”). United States District Judge Robin S. Rosenbaum ordered Yan K. Skwara, CEO, President, CFO, and Chairman of US Farms, Inc., to pay Disgorgement, Prejudgment Interest and a Civil Penalty pursuant to Section 21(d)(3) of the Exchange Act and Section 20(d) of the Securities Act. The Final Judgment orders Defendant Skwara to pay disgorgement in the amount of $28,000, prejudgment interest of $3,372.57 and imposes a civil penalty of $28,000 for a total of $59,372.57. United States District Judge Robin S. Rosenbaum entered a permanent injunction by default against US Farms, Inc. enjoining them from violations of Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934 (“Exchange Act”) and Section 17(a) of the Securities Act of 1933 (“Securities Act”). Judge Rosenbaum ordered US Farms, Inc. to pay disgorgement in the amount of $28,000 and prejudgment interest of $3,372.57 for a total of $31,372.57. The Commission commenced this action by filing its Complaint on June 4, 2012, against Yan K. Skwara and US Farms, Inc. The Complaint alleges that Defendants Skwara and US Farms, Inc. engaged in a fraudulent scheme involving the company’s stock, illicit kickbacks, and phony agreements to mask those kickbacks. [SEC v. Yan K. Skwara et al.., Civil Action No. 12-61078-CIV- Rosenbaum/Seltzer, (S.D. Fla.)] (LR-22584) Commission Charges California Company and CEO with Defrauding Investors in Nevada Gold Mining VentureThe Securities and Exchange Commission today filed fraud charges against a California-based mining company and its CEO who induced hundreds of investors to pour $16 million into a fruitless gold mining venture. The SEC alleges that Nekekim Corporation and Kenneth Carlton defrauded investors with representations that a special “complex ore” found at Nekekim’s mine site in Nevada contained gold deposits worth at least $1.7 billion. Carlton highlighted test results produced by two small labs that used unconventional methods to test the ore for gold, but he withheld from investors other tests conducted by different firms that suggested the Nekekim mine site held little if any gold. The small labs’ reliability also had been called into doubt by geologists and a government study. Yet as Nekekim failed to produce any mining revenue, Carlton gave shareholders false hope that the company was close to perfecting the custom method it supposedly needed to extract gold from its special ore. Carlton agreed to settle the SEC’s charges. According to the SEC’s complaint filed in federal court in Fresno, Calif., Nekekim succeeded in attracting investors from 2001 to 2011 in such U.S. states as California, Florida, and New Jersey as well as foreign countries including Canada, Australia, and Singapore. Carlton falsely represented to investors that a “physicist” who in reality had no scientific training helped develop a confidential gold extraction technique licensed by Nekekim. Carlton also promoted a series of other supposedly promising extraction methods in frequent reports to shareholders. In one newsletter, he touted: “A NEW GOLD RECOVERY PROCESS IS SUCCESSFUL.” As each of these methods actually failed, Carlton’s reports grossly overstated Nekekim’s progress toward profitability while prompting shareholders to invest more money in the company. Carlton, who lives in Clovis, Calif., agreed to a judgment requiring him to pay a $50,000 penalty and prohibiting him from selling securities for Nekekim or managing the company. He also will be prohibited from further violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Nekekim, based in Madera, Calif., agreed to a judgment prohibiting the same violations and requiring disclosure of these sanctions in any offering of securities for the next three years. Carlton and Nekekim neither admitted nor denied the SEC’s allegations. This case was investigated by Thomas Eme and Tracy Davis of the SEC’s San Francisco office. [SEC v. Nekekim Corp. and Kenneth W. Carlton, Civil Case No. 1:13-cv-00010-AWI-SKO (E.D. Calif.)] (LR-22585) Investment company act releasesT. Rowe Price Associates, Inc., et al.An order has issued on an application filed by T. Rowe Price Associates, Inc., et al. The order permits: (a) actively managed series of certain 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; (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares; and (f) certain series to perform creations and redemptions of Shares in-kind in a master-feeder structure. (Rel. IC-30336 – January 2) ING Investments, LLC, et al.An order has been issued on an application filed by ING Investments, LLC, et al. for an order under Section 17(d) of the Investment Company Act of 1940 (Act) and Rule 17d-1 under the Act. The order permits certain registered open-end investment companies in the same group of investment companies to enter into a special servicing agreement. (Rel. IC-30337 – January 2) Hatteras Variable Trust, et al.An order has been issued on an application filed by Hatteras Variable Trust (“Trust”) and Hatteras Alternative Mutual Funds (collectively “Applicants”) pursuant to Section 6(c) of the Investment Company Act of 1940. The order exempts each life insurance company separate account supporting variable life insurance contracts (“VLI Account”) (and its insurance company depositor) that may invest in shares of an existing portfolio of the Trust (an “Existing Fund”) or a “Future Fund,” as defined below, from the provisions of Sections 9(a), 13(a), 15(a) and 15(b) of the Act and Rules 6e-2(b)(15) and 6e-3(T)(b)(15) thereunder, in situations where such VLI Accounts hold shares of any Existing Fund or Future Fund (each, a “Fund;” collectively, the “Funds”) when one or more of the following other types of investors also hold shares of the Funds: (i) any life insurance company separate account supporting variable annuity contracts; (ii) any VLI Account; (iii) trustees of qualified group pension or group retirement plans outside the separate account context; (iv) the investment adviser or any subadviser to a Fund or affiliated persons of the adviser or subadviser (representing seed money investments in the Fund); and (v) any general account of an insurance company depositor of VA Accounts and/or VLI Accounts and affiliated persons of such insurance company. As used in the application, a Future Fund is any investment company (or investment portfolio or series thereof), other than an Existing Fund, designed to be sold to VA Accounts and/or VLI Accounts and to which Applicants or their affiliates may in the future serve as investment advisers, investment subadvisers, investment managers, administrators, principal underwriters or sponsors. (Rel. IC-30338 – January 2) Genworth Variable Insurance TrustAn order has been issued under Section 8(f) of the Investment Company Act of 1940 declaring that Genworth Variable Insurance Trust has ceased to be an investment company. (Rel. IC-30339 – January 2) Self-Regulatory OrganizationsApproval of Proposed Rule ChangeThe Commission has approved a proposed rule change (SR-FICC-2012-07) filed by the Fixed Income Clearing Corporation, under Section 19(b)(2) of the Securities Exchange Act of 1934, relating to enhancements that the Mortgage-Backed Securities Division intends to implement to its services and certain other clarifications and corrections to its rules. Publication is expected in the Federal Register during the week of January 7. (Rel. 34-68555) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX BX, Inc. relating to Non-Penny Pilot Option fees (SR-BX-2012-074) 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 January 7. (Rel. 34-68556) A proposed rule change filed by NYSE MKT LLC extending the operation of its supplemental liquidity providers pilot (Rule 107B - Equities) until the earlier of the Securities and Exchange Commission’s approval to make such pilot permanent or July 31, 2013 (SR-NYSEMKT-2012-85) 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 January 7. (Rel. 34-68557) A proposed rule change filed by NYSE MKT LLC extending the operation of its new market model pilot until the earlier of Securities and Exchange Commission approval to make such pilot permanent or July 31, 2013 (SR-NYSEMKT-2012-84) 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 January 7. (Rel. 34-68559) A proposed rule change filed by NYSE MKT LLC amending NYSE MKT Rule 500 - Equities to extend the operation of the pilot program that allows Nasdaq Stock Market (“Nasdaq”) securities to be traded on the Exchange pursuant to a grant of unlisted trading privileges (SR-NYSEMKT-2012-86) 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 January 7. (Rel. 34-68561) National Securities Clearing Corporation (NSCC) filed a proposed rule change (SR-NSCC-2012-11) under Section 19(b)(1) of the Securities Exchange Act of 1934, which proposed rule change became effective upon filing, to revise NSCC’s fee structure as it relates to certain insurance and retirement processing services and to remove reference to and the fees related to FundSPEED, a discontinued service. Publication is expected in the Federal Register during the week of January 7. (Rel. 34-68562) Proposed Rule ChangeICE Clear Europe Limited filed a proposed rule change (SR-ICEEU-2012-11) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to enhanced margin methodology. Publication is expected in the Federal Register during the week of January 7. (Rel. 34-68563) 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 EQT Corp, 625 LIBERTY AVENUE, SUITE 1700, PITTSBURGH, PA, 15222, 4125535700 - 0 ($29,550,000.00) Equity, (File 333-185845 - Jan. 2) (BR. 02C) S-1 Tuba City Gold Corp., 250 KING STREET WEST, DUNDAS, A6, L9H 1V9, 604-331-4422 - 6,000,000 ($12,000.00) Equity, (File 333-185848 - Jan. 2) (BR. 09) S-1 Clearpoint Resources Inc., 7558 W. THUNDERBIRD ROAD., #1-486, PEORIA, AZ, 85381, 604-331-4422 - 8,000,000 ($16,000.00) Equity, (File 333-185849 - Jan. 2) (BR. 09) S-1 BRAXTON RESOURCES INC., 7558 W. THUNDERBIRD ROAD., #1-486, PEORIA, AZ, 85381, 604-331-4422 - 12,000,000 ($24,000.00) Equity, (File 333-185850 - Jan. 2) (BR. 09) S-1 Gold Camp Explorations Inc., 64 GAINSBOROUGH AVENUE, ST. ALBERT, A0, T8N 0W5, 604-331-4422 - 5,000,000 ($10,000.00) Equity, (File 333-185851 - Jan. 2) (BR. 09) S-3 Sanchez Energy Corp, 1111 BAGBY STREET, SUITE 1800, HOUSTON, TX, 77002, 713-783-8000 - 0 ($500,000,000.00) Other, (File 333-185853 - Jan. 2) (BR. 04A) S-8 SPINDLE, INC., 6821 E. THOMAS ROAD, SCOTTSDALE, AZ, 85251, (480) 335-7351 - 3,076,378 ($4,614,567.00) Equity, (File 333-185854 - Jan. 2) (BR. 02A) S-8 Riverbed Technology, Inc., 199 FREMONT STREET, SAN FRANCISCO, CA, 94105, (415) 247-8800 - 0 ($129,847,523.15) Equity, (File 333-185855 - Jan. 2) (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 1st Financial Services CORP NC 5.02 01/02/13 22nd Century Group, Inc. NV 1.01,9.01 12/14/12 ABBOTT LABORATORIES IL 2.01,5.02,9.01 12/31/12 AbbVie Inc. DE 1.01,5.02,5.03,5.05, 12/31/12 8.01,9.01 ACACIA RESEARCH CORP DE 8.01 12/31/12 Acadia Healthcare Company, Inc. DE 1.01,2.01,2.03,9.01 12/31/12 ADVANCED MICRO DEVICES INC DE 5.02,9.01 01/02/13 ADVOCAT INC DE 5.02 01/02/13 Amarantus BioSciences, Inc. DE 8.01,9.01 01/02/13 American Midstream Partners, LP DE 1.01,2.03 12/26/12 American Realty Capital Daily Net Ass MD 8.01,9.01 01/02/13 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 8.01,9.01 01/02/13 AMERICAN REALTY CAPITAL NEW YORK RECO MD 2.01,2.03,9.01 12/26/12 American Realty Capital Trust IV, Inc MD 8.01,9.01 01/02/13 American Realty Capital Trust, Inc. DE 8.01,9.01 01/02/13 American Realty Capital Trust, Inc. DE 8.01,9.01 01/02/13 American Renal Associates Holdings, I DE 3.02 12/31/12 AMERICAN RIVER BANKSHARES CA 5.02,9.01 12/31/12 ANCHOR BANCORP WISCONSIN INC WI 2.02,9.01 12/26/12 ASSOCIATED ESTATES REALTY CORP OH 5.02,9.01 12/31/12 ATLANTIC POWER CORP A1 1.02,8.01,9.01 12/28/12 ATWOOD OCEANICS INC TX 7.01,9.01 01/02/13 AVIS BUDGET GROUP, INC. DE 1.01,7.01,9.01 12/31/12 AXA EQUITABLE LIFE INSURANCE CO NY 5.02 01/01/13 Bank of Commerce Holdings CA 5.02,9.01 12/31/12 BB&T CORP NC 5.02 01/02/13 BEACON ROOFING SUPPLY INC DE 5.02,9.01 01/01/13 BELDEN INC. DE 1.01,9.01 12/31/12 BG Medicine, Inc. DE 8.01 12/27/12 Bioflamex Corp NV 4.01 10/16/12 Bioflamex Corp NV 5.03 12/28/12 BIOMET INC IN 1.01,2.03,9.01 12/27/12 Bluerock Enhanced Multifamily Trust, MD 7.01,8.01,9.01 12/17/12 BOB EVANS FARMS INC DE 1.02,8.01,9.01 12/28/12 BOISE CASCADE HOLDINGS, L.L.C. DE 8.01 01/02/13 BPZ RESOURCES, INC. TX 2.01,2.03,7.01,9.01 12/26/12 Cactus Ventures, Inc. NV 1.01,2.01,3.02,4.01, 12/28/12 5.01,5.02,5.05,5.06, 9.01 Carbonite Inc DE 5.02,7.01,9.01 01/02/13 Chefs' Warehouse, Inc. DE 1.01,2.01,7.01,9.01 12/31/12 CIT GROUP INC DE 8.01,9.01 12/31/12 CITIGROUP INC DE 9.01 01/02/13 CITY HOLDING CO WV 7.01 01/02/13 CleanTech Biofuels, Inc. 5.02,5.07 12/27/12 CNO Financial Group, Inc. DE 5.02,9.01 12/31/12 CNS RESPONSE, INC. DE 5.02 12/26/12 CORE LABORATORIES N V P7 5.02 12/31/12 CPI CORP DE 2.02,9.01 12/31/12 CSG SYSTEMS INTERNATIONAL INC DE 1.01,7.01,9.01 12/28/12 Cyalume Technologies Holdings, Inc. DE 1.01,3.02,5.02,9.01 12/27/12 CYPRESS SEMICONDUCTOR CORP /DE/ DE 5.02 12/31/12 DDR CORP OH 5.02,9.01 12/31/12 DEERE & CO DE 7.01 01/02/13 DEFENSE INDUSTRIES INTERNATIONAL INC 5.02 12/31/12 DOLLAR TREE INC VA 7.01,9.01 01/02/13 DTE ENERGY CO MI 8.01,9.01 01/02/13 E2open Inc DE 2.02,9.01 01/02/13 EATON VANCE CORP MD 8.01,9.01 12/31/12 ECOLAB INC DE 5.03,9.01 01/02/13 Education Realty Trust, Inc. MD 5.02 01/01/13 Embassy Bancorp, Inc. PA 5.02,9.01 01/01/13 EQM Technologies & Energy, Inc. DE 1.01,8.01,9.01 12/31/12 Exelis Inc. IN 5.02 01/02/13 Federal Home Loan Bank of Boston X1 2.03 12/26/12 Federal Home Loan Bank of Chicago X1 2.03 12/26/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 12/27/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 01/02/13 Federal Home Loan Bank of New York X1 8.01 01/02/13 Federal Home Loan Bank of New York X1 2.03,9.01 12/27/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/26/12 Federal Home Loan Bank of San Francis X1 2.03 12/27/12 FIRST BUSEY CORP /NV/ NV 5.02 01/02/13 FIRST BUSINESS FINANCIAL SERVICES, IN WI 7.01,9.01 01/02/13 FIRST COMMUNITY BANCSHARES INC /NV/ NV 5.02 12/27/12 FIRST M&F CORP/MS MS 7.01,9.01 01/02/13 FLAGSTAR BANCORP INC MI 1.01,7.01,9.01 12/31/12 FLUOROPHARMA MEDICAL, INC. NV 7.01,9.01 01/02/13 Francesca's Holdings CORP 5.02,9.01 12/28/12 FRANKLIN ELECTRIC CO INC IN 1.01,2.03,9.01 12/31/12 FS Energy & Power Fund DE 2.02 12/31/12 FS Investment CORP MD 8.01 01/02/13 FS Investment Corp II MD 2.02 12/31/12 FULTON FINANCIAL CORP PA 7.01 01/02/13 GENERAL EMPLOYMENT ENTERPRISES INC IL 5.02 12/26/12 GENTHERM Inc MI 5.03,9.01 01/01/13 Gevo, Inc. DE 8.01,9.01 01/02/13 Globalstar, Inc. DE 1.01,3.02,7.01,9.01 12/28/12 GOLDEN RIVER RESOURCES CORP. DE 1.01,2.01,9.01 10/02/12 GOLDEN RIVER RESOURCES CORP. DE 1.01,2.01,9.01 12/07/12 Green Ballast, Inc. DE 1.01,2.03 12/20/12 Green Oasis Environmental, Inc. FL 8.01 12/29/12 GULF ISLAND FABRICATION INC LA 5.02,9.01 12/28/12 HALLIBURTON CO DE 5.03,9.01 01/01/13 HAMPTON ROADS BANKSHARES INC VA 5.02,5.07,9.01 12/26/12 HARTFORD FINANCIAL SERVICES GROUP INC DE 2.01,7.01,9.01 01/02/13 HOT TOPIC INC /CA/ CA 2.02,9.01 01/02/13 Hydrodynex, Inc. NV 5.03,5.07 12/21/12 IMATION CORP DE 1.01,2.01,3.02,9.01 12/31/12 ImmunoCellular Therapeutics, Ltd. DE 5.02,9.01 12/28/12 Infinity Resources Holdings Corp. NV 5.02 12/26/12 Inland Diversified Real Estate Trust, MD 7.01,9.01 01/02/13 INNODATA INC DE 1.01,3.03,8.01,9.01 12/27/12 InterDigital, Inc. PA 8.01,9.01 01/02/13 INTERMOLECULAR INC DE 1.01 12/29/12 ISIS PHARMACEUTICALS INC DE 5.02 01/01/13 IZEA, Inc. NV 5.02,9.01 12/27/12 John Bean Technologies CORP DE 5.02,9.01 12/27/12 Juhl Wind, Inc DE 5.03,9.01 01/02/13 KEMET CORP DE 8.01,9.01 12/27/12 KIT digital, Inc. DE 5.02 12/28/12 KOPIN CORP DE 8.01,9.01 01/02/13 KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 12/27/12 LAKES ENTERTAINMENT INC MN 7.01,9.01 12/27/12 LANDEC CORP \CA\ CA 2.02,4.02,9.01 12/27/12 Lantheus Medical Imaging, Inc. DE 1.01 12/27/12 LEXMARK INTERNATIONAL INC /KY/ DE 8.01,9.01 01/02/13 LOGITECH INTERNATIONAL SA 5.02 12/27/12 Mandalay Digital Group, Inc. DE 5.02 12/26/12 MET PRO CORP PA 5.02 12/31/12 MIDDLEBY CORP DE 7.01,9.01 12/31/12 ModusLink Global Solutions Inc DE 7.01,9.01 12/31/12 Monster Offers NV 3.02,9.01 12/27/12 MOOG INC NY 8.01,9.01 12/31/12 MULTIMEDIA GAMES HOLDING COMPANY, INC TX 7.01,8.01,9.01 01/02/13 NANOSPHERE INC DE 5.02,9.01 12/31/12 NATIONAL HEALTHCARE CORP DE 1.01,9.01 12/26/12 NATIONAL HOLDINGS CORP DE 2.02,9.01 12/31/12 Net Medical Xpress Solutions, Inc. NV 5.03 01/01/13 Newport Gold, Inc. NV 1.01,3.02,5.02,9.01 12/28/12 NEWS CORP 8.01,9.01 01/02/13 Northumberland Resources, Inc. NV 5.02 01/01/13 NORWOOD FINANCIAL CORP PA 5.02 12/31/12 OMEROS CORP WA 1.01,2.03,9.01 12/28/12 OneBeacon Insurance Group, Ltd. 5.02 12/31/12 ORAMED PHARMACEUTICALS INC. DE 7.01,8.01,9.01 01/02/13 ORMAT TECHNOLOGIES, INC. DE 5.03,9.01 01/02/13 OvaScience, Inc. DE 5.02,9.01 12/28/12 OVERSTOCK.COM, INC DE 5.02,9.01 12/31/12 PANHANDLE OIL & GAS INC OK 5.02,7.01,9.01 12/28/12 PBF Energy Inc. DE 1.01,1.02,2.03,7.01, 12/27/12 9.01 PCM, INC. DE 5.03,8.01,9.01 12/31/12 PHARMOS CORP NV 4.01,5.02,8.01,9.01 01/02/13 PPL Corp 8.01,9.01 12/28/12 PREMIER ALLIANCE GROUP, INC. NV 1.01,3.02,9.01 12/26/12 PREMIERWEST BANCORP OR 7.01 01/02/13 PROASSURANCE CORP DE 2.01,7.01,9.01 01/01/13 PROGAMING PLATFORMS CORP DE 5.02,9.01 12/31/12 ProPhase Labs, Inc. NV 3.02 12/31/12 PRUCO LIFE INSURANCE CO AZ 8.01 01/02/13 PRUDENTIAL FINANCIAL INC NJ 8.01,9.01 01/02/13 Quadrant 4 Systems Corp FL 1.01,8.01,9.01 12/21/12 Quality WallBeds, Inc. FL 5.01,5.03,9.01 12/15/12 AMEND RADIAN GROUP INC DE 8.01,9.01 01/02/13 RADIANT LOGISTICS, INC DE 8.01,9.01 12/28/12 RadNet, Inc. DE 2.01,8.01,9.01 12/31/12 RANGE RESOURCES CORP DE 8.01 12/28/12 RAYMOND JAMES FINANCIAL INC FL 7.01 12/31/12 Regency Energy Partners LP DE 7.01,9.01 01/02/13 RETAIL OPPORTUNITY INVESTMENTS CORP DE 2.01,8.01,9.01 12/27/12 Rockdale Resources Corp CO 5.02 12/31/12 Rockville Financial, Inc. /CT/ CT 5.02,9.01 01/02/13 SafeStitch Medical, Inc. DE 1.01,2.03,9.01 12/26/12 Sanchez Energy Corp DE 8.01,9.01 01/02/13 SCANSOURCE INC SC 7.01,9.01 01/02/13 Shire plc 8.01,9.01 01/02/13 SHOE CARNIVAL INC IN 8.01,9.01 01/02/13 Skilled Healthcare Group, Inc. DE 8.01 12/21/12 SOUTHERN STATES SIGN Co NV 5.02 12/26/12 STAAR SURGICAL CO DE 1.01 12/28/12 Stalar 2, Inc. DE 1.01,9.01 12/31/12 STARWOOD HOTEL & RESORTS WORLDWIDE, I MD 5.02,9.01 01/02/13 STRATTEC SECURITY CORP WI 8.01,9.01 01/01/13 Stream Global Services, Inc. DE 1.01,2.03,9.01 12/27/12 SUMMIT FINANCIAL SERVICES GROUP INC FL 1.01,9.01 01/02/13 SUNPOWER CORP DE 1.01 12/28/12 SYNERGY PHARMACEUTICALS, INC. DE 8.01,9.01 01/02/13 TESSERA TECHNOLOGIES INC DE 7.01,9.01 12/26/12 TIFFANY & CO DE 1.01,9.01 01/02/13 TILE SHOP HOLDINGS, INC. DE 7.01,9.01 01/02/13 TITAN PHARMACEUTICALS INC DE 1.01,5.02,9.01 12/31/12 Tonix Pharmaceuticals Holding Corp. NV 7.01,9.01 01/02/13 TORCHLIGHT ENERGY RESOURCES INC NV 3.02 12/18/12 Tower International, Inc. DE 1.01,2.01,9.01 12/28/12 TPG Specialty Lending, Inc. DE 1.01,9.01 12/28/12 Tribute Pharmaceuticals Canada Inc. 5.03,7.01,9.01 12/26/12 TRIG ACQUISITION 1, INC NV 1.01,2.01,9.01 10/18/12 AMEND TURBINE TRUCK ENGINES INC NV 1.02,9.01 12/31/12 Two Harbors Investment Corp. 5.02 01/01/13 TWO RIVERS WATER Co CO 7.01 01/02/13 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 01/02/13 VERAMARK TECHNOLOGIES INC DE 5.02 12/26/12 VIASYSTEMS GROUP INC DE 1.01,9.01 12/28/12 Vitamin Shoppe, Inc. DE 1.01,9.01 12/30/12 Vitamin Shoppe, Inc. DE 8.01,9.01 12/31/12 VITRAN CORP INC A6 1.01,7.01,9.01 12/28/12 Vringo Inc DE 5.02,9.01 12/31/12 VWR Funding, Inc. DE 5.02,9.01 12/31/12 WELLS FARGO & COMPANY/MN DE 8.01 01/02/13 WEST MARINE INC DE 5.02,9.01 01/02/13 WISCONSIN ENERGY CORP WI 5.02 12/27/12 WORLD FUEL SERVICES CORP FL 7.01,9.01 01/02/13 ZAP CA 8.01 01/02/13 ZAP CA 8.01 01/02/13 AMEND ZIPCAR INC 1.01,8.01,9.01 12/31/12 ZIPCAR INC 8.01,9.01 01/02/13
http://www.sec.gov/news/digest/2012/dig010313.htm
|