Commission Rewards Whistleblower with $150,000 Payout
The Securities and Exchange Commission (Commission) today announced an award of more than $150,000 to a whistleblower whose tips helped the agency stop a scheme that was defrauding investors.
The award recipient, who does not wish to be identified, provided significant information that allowed the SEC to quickly open an investigation and obtain emergency relief before additional investors were harmed. By law, the SEC must protect the confidentiality of whistleblowers and cannot disclose any information that might directly or indirectly reveal an identity.
The award amount represents 30 percent of the money collected by the SEC in the successful enforcement action, the maximum permitted under the law.
"This is continued momentum and success for the SEC's whistleblower program that is bringing our investigators valuable and timely information to stop ongoing frauds before additional investors can be harmed," said Sean McKessy, chief of the SEC's Office of the Whistleblower.
This is the sixth whistleblower to be awarded through the SEC's whistleblower program since it began two years ago. The largest award was announced earlier this month when a whistleblower was awarded more than $14 million.
Commission Suspends Trading in the Securities of Press Ventures, Inc.
The Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the "Exchange Act"), of trading in the securities of Press Ventures, Inc. ("PVEN"), of Warsaw, Poland, at 9:30 a.m. EDT on October 30, 2013 through 11:59 p.m. EST on November 12, 2013.
The Commission temporarily suspended trading in the securities of PVEN because of concerns regarding potentially manipulative transactions in PVEN's common stock. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions broker-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.
Further, 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 any 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 PVEN'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. (Rel. 34-70771)
In the Matter of Terry Paul Ogden
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions ("Order") against Terry Paul Ogden ("Ogden"). The Order finds that on May 17, 2013, Ogden pled guilty to misprision of a felony in the United States District Court for the District of Utah for his role in Paradigm Acceptance, LLC. The counts of the indictment to which Ogden pled guilty alleged, inter alia, that Ogden concealed, "through misrepresentations to investors," a scheme by Wayne Reed Ogden, his brother, "to defraud investors and to obtain money from investors under false and fraudulent pretenses for use in a sham mortgage rescue program, for which wire transmissions and securities were used."
The Order further finds that on September 16, 2013, Ogden's guilty plea was entered by the United States District Court for the District of Utah in U.S. v. Terry Paul Ogden, 2:11-cr-00543-002-TS and he was sentenced to a prison term of one year and one day followed by twelve months of supervised release and ordered to pay restitution in the amount of $1,345,745.59.
Based on the above, the Order bars Ogden from being associated with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and bars him from participating in any offering of a penny stock, including acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. (Rel. 34-70779)
In the Matter of Wayne Reed Ogden
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions ("Order") against Wayne Reed Ogden ("Ogden"). The Order finds that on April 12, 2013, Ogden pled guilty to one count of wire fraud and one count of securities fraud in the United States District Court for the District of Utah for his role in Paradigm Acceptance, LLC. The counts of the indictment to which Ogden pled guilty alleged, inter alia, that Ogden, in connection with the offer or sale of securities to investors, directly or indirectly, made untrue statements of material facts or omitted to state material facts necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading; or engaged in acts, practices, or course of business which operated or would operate as a fraud or deceit.
The Order further finds that On August 15, 2013, Ogden was convicted of one count of securities fraud in violation of 15 USC §78(j)(b) and one count of wire fraud in violation of 18 USC § 1843 before the United States District Court for the District of Utah in U.S. v. Wayne Reed Ogden, 2:11-cr-00543-001-TS. He was sentenced to a prison term of 120 months followed by 36 months of supervised release and ordered to pay restitution in the amount of $5,454,323.04.
Based on the above, the Order bars Ogden from being associated with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and bars him from participating in any offering of a penny stock, including acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. (Rel. 34-70778)
In the Matter of Fry Hensley and Company and Nicholas L. Fry, II
The Commission announced today that Cincinnati-based Fry Hensley and Company (FHC) and its owner Nicholas L. Fry, II (Fry) have agreed to settle proceedings previously instituted against them. On March 8, 2013, the Commission instituted public administrative and cease-and-desist proceedings against FHC and Fry for violations of Sections 206(1), 206(2), 206(4) and 207 of the Investment Advisers Act of 1940 (Advisers Act) and Rule 206(4)-4 thereunder.
Today, the Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Sections 203(e) 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company of 1940 (Order). In the Order, the Commission found that from at least January 1, 2007 to October 2011, FHC and Fry obtained undisclosed compensation in the form of payments from inflated commissions, markups and markdowns (transaction charges) charged to their clients by the broker-dealer that FHC and Fry recommended that their clients use. FHC's agreement with clients provided that they gave Fry discretionary authority to trade in their accounts. Fry typically conducted his equity trading for clients through one of the broker-dealer's principal trading accounts, first instructing the broker-dealer to buy or sell securities with the market and then instructing it how to allocate the trades to his clients. For equity securities, Fry set the amount of the transaction charges clients paid for these trades, and he typically set them much higher than he could have. Fry's wife, who was a registered representative at the broker-dealer, received credit for 50% of the transaction charges paid by FHC's advisory clients, and between January 1, 2007 and October 2011, the broker-dealer credited Fry's wife with more than $775,669.09 from inflated transaction charges. During this time, FHC was otherwise insolvent, and Fry used hundreds of thousands of dollars from the above inflated transaction charges to support FHC, which would have otherwise gone out of business. In addition, FHC received undisclosed services from the broker-dealer partly in exchange for the inflated transaction charges. Also during this time, FHC and Fry failed to tell their clients the essential facts about the arrangement described above, and made false and misleading disclosures in documents given to clients and filed with the Commission.
Without admitting or denying the Commission's findings, FHC and Fry agreed to the entry of an Order: (1) finding that FHC willfully violated Sections 206(1), 206(2), 206(4), Rule 206(4)-4 thereunder and Section 207 of the Advisers Act; (2) finding that Fry willfully violated Sections 206(1), 206(2) and Section 207 of the Advisers Act, and also willfully aided and abetted and caused FHC's violations; (3) requiring FHC and Fry to cease and desist from committing or causing any violations and any future violations of Sections 206(1), 206(2) and Section 207 of the Advisers Act; (4) censuring FHC; (5) with the exception of a 30 day period for winding down FHC, barring Fry from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and prohibiting him 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; and (6) ordering Fry and FHC to pay, on a joint and several basis, disgorgement of $775,669.09 and prejudgment interest of $118,988.33, but waiving payment of that amount, and not imposing a civil penalty, based upon FHC and Fry's sworn financial statements and other evidence submitted to the Commission. (Rel. 34-70777)
Commission Obtains Summary Judgment against Defendants Charged With Defrauding Investors in Fictitious Offering
The Commission announced that the United States District Court for the District of Columbia granted the SEC's motion for summary judgment against all primary defendants and certain relief defendants in a civil action arising from a prime bank investment scheme that defrauded at least 13 investors out of more than $2 million from August 2010 to November 2011. Pursuant to the court's ruling and judgment issued on August 26, 2013, the court permanently enjoined Washington D.C. attorney Brynee K. Baylor, her law firm Baylor & Jackson, P.L.L.C., and their former "client" The Milan Group, Inc. from violations of the antifraud and other securities law provisions, and from engaging in similar investment schemes. The court also required these defendants to pay disgorgement and penalties, required the Estate of Frank L. Pavlico to pay disgorgement, and barred Baylor from acting as an officer or director of any public company. The court required relief defendants Patrick T. Lewis and The Julian Estate to disgorge illegally obtained investor funds. The court granted in part or denied summary judgment against two other relief defendants, but declined in September 2013 to reconsider that ruling.
The SEC's complaint, filed on November 30, 2011, alleged that Pavlico and Baylor operated a prime bank scheme, offering investors risk-free returns of up to 20 times the original investment within as few as 45 days through the purported "lease" and "trading" of foreign bank instruments, including "standby letters of credit" and "bank guarantees," in highly complex transactions with unidentified parties and secretive international "trading platforms." However, the bank instruments and trading programs were entirely fictitious. As the complaint alleged, Pavlico and Baylor provided investors with phony contracts and legal documents, digitally-created computer screen shots, and copies of fictitious foreign bank instruments as purported proof of the ongoing success of the transactions. Baylor and her law firm acted as "counsel" for Pavlico's company Milan, vouching for Pavlico and acting as an escrow agent that in reality was merely receiving and diverting the majority of investor funds.
In furtherance of the scheme, the complaint alleged that Baylor provided investors with "attorney attestation" letters that assured them the investments were legitimate, and investor contracts that promised investment profits would be shared among investors, Milan, and Baylor & Jackson. Meanwhile, Pavlico was using a fake name of "Frank Lorenzo" to conceal his 2008 money laundering conviction from investors. The complaint also alleged that Pavlico and Baylor used investor funds to pay Baylor & Jackson business expenses as well as personal expenditures.
The court held in its summary judgment ruling that Baylor, an experienced lawyer, "acted with extreme recklessness" in the scheme, carrying out Pavlico's bidding while failing to exercise even a "modicum of lawyerly interest in the legal implications of" Pavlico's and Milan's activities. The court found that Baylor "encouraged others to invest in unregistered securities, aided and abetted Milan's fraud, and knowingly allowed investors' monies—placed for safekeeping in her firm's IOLTA account—to be dispersed to Milan and then back to her", with 71% of investor funds paid out to Baylor and Pavlico and no funds being used in any investment. Finding the record clear despite Baylor's claimed ignorance of the fraud, the court ruled that she made "extensive material misrepresentations and omissions.... Ms. Baylor knew that she omitted telling investors about the disbursements from her IOLTA account without any investment; she knew that she told investors that Milan was just closing a deal and/or that all would be well with multiple investments when, in fact, no profits were ever returned to an investor; she knew that she told investors that investments through Milan were outside federal oversight when, at best, she had not researched the question; and she knew that she was assuring investors that she had ‘validated' aspects of the transactions, as an attorney, when, in fact, she had not." The court found that "Baylor's attempt to use her role as an attorney as a shield is particularly pernicious because, as an attorney, she was in the position to lead investors to believe that their money was safe."
The court granted the SEC's motion for summary judgment against all of the principal defendants—Baylor, Baylor & Jackson, The Milan Group, and Frank Pavlico, as substituted by his Estate following his death in December 2012 during the litigation—that they violated Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and that Pavlico, Baylor, and Baylor & Jackson aided and abetted violations of these provisions; that they violated Sections 5(a) and 5(c) of the Securities Act and that Baylor and Baylor & Jackson aided and abetted such violations; and that Baylor and Pavlico violated Section 15(a) of the Exchange Act.
The judgment permanently enjoins Baylor, Baylor & Jackson, and Milan from violating and aiding and abetting violations of Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5, and from violating Section 5 of the Securities Act and Section 15(a) of the Exchange Act. The judgment also prohibits Baylor, Baylor & Jackson, and Milan from soliciting or accepting funds from investors in investment programs relating to bank instruments or bank instrument trading programs, or in any other investment program. The judgment holds the Estate of Frank Pavlico, Milan, Baylor & Jackson, and Baylor jointly and severally liable for disgorgement of their ill-gotten gains of $2,665,000, together with prejudgment interest thereon of $157,414, for a total of $2,822,414. The judgment orders Baylor to pay the remaining obligation of $2,752,758 and directed the Estate of Pavlico to make payments as directed in the future by the court as the Estate collects estate assets and pays estate costs. The judgment also orders Milan to pay a civil penalty of $1,318,734 and orders Baylor and Baylor & Jackson to pay, jointly and severally, a civil penalty of $746,266. The judgment permanently bars Baylor from acting as an officer or director of any public company.
The court also granted summary judgment against two relief defendants, Patrick Lewis and The Julian Estate, an entity Pavlico formed to purchase a residence using investor funds. The judgment orders Lewis to pay $375,000 and orders The Julian Estate to pay $437,250, with the amount to be satisfied by the sale of the property it purchased with investor funds.
The court also granted in part the SEC's motion for summary judgment against relief defendant Mia Baldassari with respect to $13,156 she received from Milan, but denied further relief against her. The court also denied summary judgment against relief defendant Brett Cooper, whom the SEC alleged received investor funds from Milan through his company Global Funding Systems, LLC. In September 2013, the court denied the SEC's request to reconsider its summary judgment rulings as to Cooper and Mia Baldassari and, therefore, the litigation as to them is pending.
The court previously entered default judgments against two other relief defendants: on November 14, 2012 the court ordered Patrick Lewis' company GPH Holdings, LLC to pay a total of $399,743, consisting of $375,000 it received in investor funds plus $24,743 in prejudgment interest; and on January 23, 2013, the court ordered Brett Cooper's company Global Funding Systems, LLC to pay a total of $238,253, consisting of $225,000 it received in investor funds plus $13,253 in prejudgment interest.
In addition, the SEC previously settled with relief defendant Dawn Jackson, Baylor's law partner, and the court entered a final judgment against her on March 21, 2013. Without admitting or denying the allegations in the SEC's complaint, Jackson agreed to the final judgment that held her liable for disgorgement of $153,000 and $9,410 in prejudgment interest, for a total of $162,410, the payment of which is to be made from the sale, if any, of a Bahamian property but is otherwise waived based on Jackson's sworn statement of financial condition.
The SEC previously dismissed its case against three other relief defendants, Susan C. Kevra-Shiner, the Law Office of Susan Kevra, and Elmo Baldassari, upon satisfaction that they no longer held any improperly gained investor funds. [SEC v. The Milan Group, Inc., a/k/a The Milan Trading Group, Inc., et al., Case No. 11-cv-02132 (RMC) (D.D.C. Nov. 30, 2011)] (LR-22861)
Commission Announces Sentencing of SEC Defendant Andrew J. Franz in Related Criminal Action
The Commission announced that on October 23, 2013, the Honorable Christopher A. Boyko sentenced Andrew J. Franz ("Franz") to 57 months imprisonment, to be followed by three years of supervised release, as well as $357,068.77 in criminal restitution. U.S. v. Andrew J. Franz, Criminal Action No. 1:13-cr-00331 (N.D. Ohio). On July 23, 2013, Franz pled guilty to ten counts, including counts of mail fraud, securities fraud, investment adviser fraud, and income tax evasion. The criminal information in this action alleged, among other things, that Franz stole hundreds of thousands of dollars from advisory clients at Ruby Corporation, a registered investment adviser with which he was associated.
Previously, in March 2012, the SEC filed an action against Franz in the U.S. District Court for the Northern District of Ohio. SEC v. Andrew J. Franz, Civil Action No. 5:12-cv-00642 (N.D. Ohio). The SEC's complaint alleged that Franz operated a fraudulent scheme in which, through forgery and other fraudulent means, he misappropriated approximately $865,969 from clients of Ruby Corporation. The complaint alleged that Franz kept approximately $354,000 of the stolen funds. According to the SEC complaint, Franz violated Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and aided and abetted violations of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 (Advisers Act).
At the SEC's request, on March 15, 2012, the Honorable Benita Y. Pearson, United States District Court, Northern District of Ohio, entered an order of permanent injunction against further violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder and Sections 206(1) and (2) of the Advisers Act, as well as an order freezing all assets under Franz's control and other emergency relief. Finally, on March 15, 2013, Franz was permanently barred from the securities industry. [SEC v. Andrew J. Franz, Civil Action No. 5:12-cv-00642 (N.D. Ohio) (Pearson, J.)] (LR-22860)
Commission Announces Sentencing of SEC Defendant Steven W. Salutric in Related Criminal Action
The Commission announced that on October 9, 2013, the Honorable John W. Darrah sentenced Steven W. Salutric to 96 months imprisonment, to be followed by three years of supervised release, as well as $3.89 million in criminal restitution. U.S. v. Steven Salutric, Criminal Action No. 1:11-cr-00916 (N.D. Ill.). On August 16, 2012, Salutric pled guilty to one count of wire fraud (18 USC §1343).
Previously, in January 2010 the SEC filed an action against Salutric in the U.S. District Court for the Northern District of Illinois. SEC v. Steven W. Salutric, Civil Action No. 1:10-cv-00115 (N.D. Ill). The SEC's complaint alleged that Salutric misappropriated over $2 million from at least 17 clients to support businesses and entities linked to him and to make Ponzi-like payments to other clients. In a particularly egregious example, the SEC complaint alleged that Salutric misappropriated over $400,000 from a 96-year-old client who resided in a nursing home and suffered from dementia. According to the SEC complaint, Salutric violated Section 10(b) of the Securities Exchange Act ("Exchange Act") of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 ("Advisers Act").
Pursuant to the SEC's request for emergency relief, the emergency judge, the Honorable William J. Hibbler issued a temporary restraining order against Salutric freezing all assets under his control in addition to other emergency relief. Pursuant to the SEC's request, on February 8, 2010, a receiver was appointed to marshal all existing assets of Salutric. On July 14, 2010, pursuant to Salutric's consent, the Honorable Robert M. Dow, Jr. entered an order of permanent injunction against further violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder and Sections 206(1) and (2) of the Advisers Act. Finally, on September 10, 2010, Salutric was barred from association with any investment adviser. [SEC v. Steven W. Salutric, Civil Action No. 1:10-cv-00115) (N.D. Ill) (Dow, J.)] (LR-22859)
Investment company orders
OFS Capital Corporation, et al.
A notice has been issued giving interested persons until November 25, 2013 to request a hearing on an application filed by OFS Capital Corporation (Company), et al. for an order under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Sections 18(a) and 61(a) of the Act. The order would permit the Company to adhere to a modified asset coverage requirement. (IC-30771)
Notice of Proposed Rule Change
NYSE Arca, Inc. has filed a proposed rule change (SR-NYSEArca-2013-106), as modified by Amendment No. 1 thereto, pursuant to Section 19(b) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of shares of PIMCO Diversified Income Exchange-Traded Fund, PIMCO Low Duration Exchange-Traded Fund and PIMCO Real Return Exchange-Traded Fund under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of November 4th. (Rel. 34-70774)
Approval of a Proposed Rule Change
The Commission granted approval of a proposed rule change, as modified by Amendment No. 1 thereto, (SR-NYSEArca-2013-86) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade shares of the Franklin Short Duration U.S. Government ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of November 4th. (Rel. 34-70773)
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change
The Commission is instituting proceedings pursuant to Section 19(b)(2)(B) of the Securities Exchange Act of 1934 to determine whether to approve or disapprove a proposed rule change filed by the Financial Industry Regulatory Authority, Inc. (SR-FINRA-2013-031) relating to participation on the Alternative Display Facility. Publication is expected in the Federal Register during the week of November 4th. (Rel. 34-70776)
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-1 RADIANT LOGISTICS, INC, 405 114TH AVENUE, SE, THIRD FLOOR, BELLEVUE, WA, 98004, 425-943-4599 - 0 ($28,750,000.00) Equity, (File 333-191974 - Oct. 30) (BR. 05B) S-8 DOW CHEMICAL CO /DE/, 2030 DOW CENTER, MIDLAND, MI, 48674-2030, 989-636-1000 - 10,000,000 ($398,800,000.00) Equity, (File 333-191979 - Oct. 30) (BR. 06B) S-4 SPRINGLEAF FINANCE CORP, 601 NW SECOND ST, EVANSVILLE, IN, 47708, 8124248031 - 0 ($1,250,000,000.00) Debt, (File 333-191980 - Oct. 30) (BR. 07B) S-3ASR CITY NATIONAL CORP, 400 N ROXBURY DR, BEVERLY HILLS, CA, 90210, 3108886000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-191981 - Oct. 30) (BR. 07B) S-8 Green Automotive Co, 23 CORPORATE PLACE, SUITE 150, NEWPORT BEACH, CA, 92660, 877-449-8842 - 2,500,000 ($2,500.00) Equity, (File 333-191982 - Oct. 30) (BR. 05A) S-3ASR NISOURCE INC/DE, 801 EAST 86TH AVE, MERRILLVILLE, IN, 46410-6272, 2196475200 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-191983 - Oct. 30) (BR. 02B) S-4 Vican Resources, Inc., 6600 DECARIE BLVD., SUITE 220, MONTREAL, A8, H3X2K4, 5147377277 - 1,938,631 ($2.64) Equity, (File 333-191984 - Oct. 30) (BR. 08B) S-8 EATON VANCE CORP, TWO INTERNATIONAL PLACE, BOSTON, MA, 02110, 6174828260 - 13,265,000 ($553,283,150.00) Equity, (File 333-191985 - Oct. 30) (BR. 12A) S-3 TTM TECHNOLOGIES INC, 2630 S. HARBOR BLVD., SANTA ANA, CA, 92704, 7142410303 - 0 ($250,000,000.00) Unallocated (Universal) Shelf, (File 333-191986 - Oct. 30) (BR. 03B) S-3ASR WESTERN DIGITAL CORP, 3355 MICHELSON DRIVE, SUITE 100, IRVINE, CA, 92612, 9499325000 - 12,500,000 ($903,875,000.00) Equity, (File 333-191987 - Oct. 30) (BR. 03B) S-8 ONE WORLD HOLDINGS, INC., 418 BRIDGE CREST BLVD, HOUSTON, TX, 77082, 8664401470 - 0 ($75,000.00) Equity, (File 333-191988 - Oct. 30) (BR. 06A) S-3 M I HOMES INC, 3 EASTON OVAL STE 500, COLUMBUS, OH, 43219, 6144188000 - 0 ($400,000,000.00) Unallocated (Universal) Shelf, (File 333-191989 - Oct. 30) (BR. 06B) S-3 1st United Bancorp, Inc., ONE NORTH FEDERAL HIGHWAY, BOCA RATON, FL, 33432, (561) 362-3400 - 0 ($87,375,000.00) Equity, (File 333-191990 - Oct. 30) (BR. 07B) S-3ASR Avago Technologies LTD, 1 YISHUN AVENUE 7, SINGAPORE, U0, 768923, (65) 6755-7888 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-191991 - Oct. 30) (BR. 10A) S-8 VERACYTE, INC., 7000 SHORELINE COURT, SUITE 250, SOUTH SAN FRANCISCO, CA, 94080, (650) 243-6300 - 0 ($30,491,139.00) Equity, (File 333-191992 - Oct. 30) (BR. 09) S-8 TAKE TWO INTERACTIVE SOFTWARE INC, 622 BROADWAY, NEW YORK, NY, 10012, 646 536 2842 - 0 ($137,655,000.00) Equity, (File 333-191993 - Oct. 30) (BR. 03B) S-8 B/E AEROSPACE INC, 1400 CORPORATE CENTER WAY, 1400 CORPORATE CENTER WAY, WELLINGTON, FL, 33414, 5617915000 - 0 ($39,107,500.00) Equity, (File 333-191994 - Oct. 30) (BR. 06B) S-8 B/E AEROSPACE INC, 1400 CORPORATE CENTER WAY, 1400 CORPORATE CENTER WAY, WELLINGTON, FL, 33414, 5617915000 - 0 ($20,000,000.00) Other, (File 333-191995 - Oct. 30) (BR. 06B) S-8 CELGENE CORP /DE/, 86 MORRIS AVENUE, SUMMIT, NJ, 07901, (908)673-9000 - 0 ($1,382,895,000.00) Equity, (File 333-191996 - Oct. 30) (BR. 01A) S-3ASR CELGENE CORP /DE/, 86 MORRIS AVENUE, SUMMIT, NJ, 07901, (908)673-9000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-191998 - Oct. 30) (BR. 01A) S-8 Sensata Technologies Holding N.V., KOLTHOFSINGEL 8, ALMEMO, P7, 7602 EM, 31-546-979-450 - 5,000,000 ($200,175,000.00) Equity, (File 333-191999 - Oct. 30) (BR. 10B) S-8 MONTAGE TECHNOLOGY GROUP LTD, 101 METRO DRIVE, SUITE 500, SAN JOSE, CA, 95110, (408) 982-2788 - 7,771,093 ($106,463,974.10) Equity, (File 333-192000 - Oct. 30) (BR. 10B)
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
In most cases, recent 8-K reports may be viewed by using the search function on the Commission's Web site located at http://www.sec.gov/edgar/searchedgar/currentevents.htm.