SEC News Digest, April 16, 2012

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enforcement proceedings

SEC Charges optionsXpress and Five Individuals Involved in Abusive Naked Short Selling Scheme

The Securities and Exchange Commission today charged an online brokerage and clearing agency specializing in options and futures as well as four officials at the firm and a customer involved in an abusive naked short selling scheme.

The SEC’s Division of Enforcement alleges that Chicago-based optionsXpress Inc. failed to satisfy its close-out obligations under Regulation SHO by repeatedly engaging in a series of sham “reset” transactions designed to give the illusion that the firm had purchased securities of like kind and quantity. The firm and customer Jonathan I. Feldman engaged in these sham reset transactions in a number of securities, resulting in continuous failures to deliver. Regulation SHO requires the delivery of equity securities to a registered clearing agency when delivery is due, generally three days after the trade date (T+3). If no delivery is made by that time, the firm must purchase or borrow the securities to close out the failure-to-deliver position by no later than the beginning of regular trading hours on the next day (T+4).

The former chief financial officer at optionsXpress, Thomas E. Stern of Chicago, was named in the SEC’s administrative proceeding along with optionsXpress and Feldman. Three other optionsXpress officials – head of trading and customer service Peter J. Bottini and compliance officers Phillip J. Hoeh and Kevin E. Strine – were named in a separate administrative proceeding and settled the charges against them for their roles in the scheme.

According to the SEC’s order, the misconduct occurred from at least October 2008 to March 2010. In September 2011, optionsXpress became a wholly-owned subsidiary of The Charles Schwab Corporation.

The SEC’s Enforcement Division alleges that the sham reset transactions impacted the market for the issuers. For example, from Jan. 1, 2010 to Jan. 31, 2010, optionsXpress customers including Feldman accounted for an average of 47.9 percent of the daily trading volume in one of the securities. In 2009 alone, the optionsXpress customer accounts engaging in the activity purchased approximately $5.7 billion worth of securities and sold short approximately $4 billion of options. In 2009, Feldman himself purchased at least $2.9 billion of securities and sold short at least $1.7 billion of options through his account at optionsXpress.

According to the SEC’s order, by engaging in the alleged misconduct, optionsXpress violated Rules 204 and 204T of Regulation SHO; Feldman willfully violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rules 10b-5 and 10b-21 thereunder; optionsXpress and Stern caused and willfully aided and abetted Feldman’s violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rules 10b-5 and 10b-21 thereunder; and Stern caused and willfully aided and abetted optionsXpress’ violations of Rules 204 and 204T.

In the separate settled administrative proceeding, Bottini, Hoeh, and Strine consented to a cease-and-desist order finding that they caused optionsXpress’ violations of Rules 204 and 204T of Regulation SHO and ordering them to cease-and-desist from committing or causing violations of Rules 204. They neither admitted nor denied the SEC’s findings. (Rel. 34-66814; File No. 3-14848 and 33-9313; File No. 3-14848)

SELF-REGULATORY ORGANIZATIONS

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-47) relating to Qualified Contingent Cross orders 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 April 16. (Rel. 34-66800)

A proposed rule change, (SR-Phlx-2012-46), filed by NASDAQ OMX PHLX LLC, relating to Equity Option Fees 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 April 16. (Rel. 34-66805)

A proposed rule change filed by NYSE Arca, Inc. amending NYSE Arca Equities Rule 7.31(h)(4) to make Passive Liquidity Orders in exchange-listed securities available to all users, regardless of whether a lead market maker is assigned to the security (SR-NYSEArca-2012-30) 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 April 16. (Rel. 34-66810)

A proposed rule change filed by NYSE Arca, Inc. amending NYSE Arca Equities Rule 7.31(t) to provide for Limit-on-Open Orders and Market-on-Open Orders (SR-NYSEArca-2012-29) 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 April 16. (Rel. 34-66811)

Proposed Rule Change

The Financial Industry Regulatory Authority, Inc. has filed a proposed rule change (SR-FINRA-2012-021) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to post-trade transparency for agency pass-through mortgage-backed securities traded in specified pool transactions and SBA-backed asset-backed securities transactions. Publication is expected in the Federal Register during the week of April 16. (Rel. 34-66804)

Approval of Proposed Rule Changes

The Commission granted approval of a proposed rule change (SR-BYX-2012-006) to make permanent the existing pilot program that permits BATS Y-Exchange, Inc. to receive inbound routes of equities orders through BATS Trading, Inc., BATS Y-Exchange’s routing broker-dealer, from BATS Exchange, Inc. Publication is expected in the Federal Register during the week of April 16. (Rel. 34-66807)

The Commission granted approval of proposed rule change (SR-BATS-2012-013) to make permanent the existing pilot program that permits BATS Exchange, Inc. to receive inbound routes of equities orders through BATS Trading, Inc., BATS Exchange’s routing broker-dealer, from BATS Y-Exchange, Inc. Publication is expected in the Federal Register during the week of April 16. (Rel. 34-66808)

The Commission granted approval of a proposed rule change (SR-NYSEAmex-2012-10) submitted by NYSE Amex LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 amending NYSE Amex Rule 476A to update its “List of Equities Rule Violations and Fines Applicable Thereto.” Publication is expected in the Federal Register during the week of April 16. (Rel. 34-66809)

SECURITIES ACT REGISTRATIONS

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

S-8     ARROWHEAD RESEARCH CORP, 201 SOUTH LAKE AVENUE, SUITE 703, PASADENA, 
        CA, 91101, 626-304-3400 - 0 ($8,472,305.00) Equity, (File 333-180692 - 
        Apr. 13) (BR. 01B)

S-3     Power REIT, 55 EDISON AVENUE, WEST BABYLON, NY, 11704, 212-750-0373 - 
        100,000,000 ($100,000,000.00) Equity, (File 333-180693 - Apr. 13) 
        (BR. 08C)

S-1     HYPERION THERAPEUTICS INC, 601 GATEWAY BLVD., SUITE 200, 
        SOUTH SAN FRANCISCO, CA, 94080, 650-745-7802 - 
        0 ($57,500,000.00) Equity, (File 333-180694 - Apr. 13) (BR. 01)

S-3     MAGNACHIP SEMICONDUCTOR Corp, C/O MAGNACHIP SEMICONDUCTOR S.A., 
        74, RUE DE MERL, LUXEMBOURG, N4, L-2146, (352) 45-62-62 - 
        20,789,539 ($241,158,652.40) Equity, (File 333-180695 - Apr. 13) 
        (BR. 10B)

S-8     MAGNACHIP SEMICONDUCTOR Corp, C/O MAGNACHIP SEMICONDUCTOR S.A., 
        74, RUE DE MERL, LUXEMBOURG, N4, L-2146, (352) 45-62-62 - 
        1,137,226 ($13,191,821.60) Equity, (File 333-180696 - Apr. 13) (BR. 10B)

S-4     RLJ ENTERTAINMENT, INC., 3 BETHESDA METRO CENTER, SUITE 1000, BETHESDA, 
        MD, 20814, 301-280-7703 - 0 ($467,531,169.87) Equity, 
        (File 333-180714 - Apr. 13) (BR. 05)

S-4     CDW Corp, 200 N MILWAUKEE AVE, VERNON HILLS, IL, 60061, 847-465-6000 - 
        0 ($130,000,000.00) Non-Convertible Debt, (File 333-180715 - Apr. 13) 
        (BR. 02B)

S-1     FUEL TECHNOLOGY PRODUCTS, INC., 3184D AIRPORT LOOP DRIVE, COSTA MESA, 
        CA, 92626, 775 886 0601 - 15,000,000 ($15,000,000.00) Equity, 
        (File 333-180718 - Apr. 13) (BR. 05)

S-1     CAMBRIDGE HEART INC, 100 AMES POND ROAD, TEWKSBURY, MA, 01876, 
        9786547600 - 56,176,362 ($4,494,108.00) Equity, (File 333-180719 - 
        Apr. 13) (BR. 10A)

S-1     Abtech Holdings, Inc., 1223 BURROWHILL LANE, MISSISSAUGA, A6, L5H 4M7, 
        905-274-5231 - 14,582,862 ($10,937,146.00) Equity, (File 333-180721 - 
        Apr. 13) (BR. 06B)

S-8     SOFTECH INC, 59 LOWES WAY, SUITE 401, LOWELL, MA, 01851, 978-513-2700 - 
        150,000 ($241,000.00) Equity, (File 333-180723 - Apr. 13) (BR. 03C)

S-8     FIRST INDUSTRIAL REALTY TRUST INC, 311 S WACKER DRIVE, SUITE 3900, 
        CHICAGO, IL, 60606, 3123444300 - 0 ($12,776,500.00) Equity, 
        (File 333-180724 - Apr. 13) (BR. 08B)

S-8     LOGITECH INTERNATIONAL SA, 6505 KAISER DR, C/O LOGITECH INC, FREMONT, 
        CA, 94555, 5107958500 - 0 ($32,257,500.00) Equity, (File 333-180725 - 
        Apr. 13) (BR. 03B)

S-8     LOGITECH INTERNATIONAL SA, 6505 KAISER DR, C/O LOGITECH INC, FREMONT, 
        CA, 94555, 5107958500 - 0 ($13,662,000.00) Equity, (File 333-180726 - 
        Apr. 13) (BR. 03B)

S-1     Shepherd's Finance, LLC, 3508 WASHINGTON ROAD, MCMURRAY, PA, 15317, 
        4129138719 - 0 ($700,000,000.00) Other, (File 333-180727 - Apr. 13) 
        (BR. )

S-3ASR  WELLS FARGO & COMPANY/MN, 420 MONTGOMERY STREET, SAN FRANCISCO, CA, 
        94163, 6126671234 - 0 ($0.00) Non-Convertible Debt, (File 333-180728 - 
        Apr. 13) (BR. 12A)

S-8     ADOBE SYSTEMS INC, 345 PARK AVE, SAN JOSE, CA, 95110-2704, 4085366000 - 
        0 ($418,169,921.82) Equity, (File 333-180730 - Apr. 13) (BR. 03C)

S-3     Pacific Ethanol, Inc., 400 CAPITOL MALL, SUITE 2060, SACRAMENTO, CA, 
        95814, 916-403-2123 - 0 ($100,000,000.00) Equity, (File 333-180731 - 
        Apr. 13) (BR. 06A)

S-1     Artisanal Brands, Inc., 67 WALL STREET, SUITE 2001, NEW YORK, NY, 
        10005, 2128251400 - 0 ($8,000,000.00) Equity, (File 333-180732 - 
        Apr. 13) (BR. 04A)

S-1     AMERICAN SUPERCONDUCTOR CORP /DE/, SIXTY FOUR JACKSON ROAD, DEVENS, MA, 
        01434, 9788423000 - 0 ($37,765,304.00) Equity, (File 333-180733 - 
        Apr. 13) (BR. 10A)

S-1     Kat Gold Holdings Corp., 1149 TOPSAIL RD., MOUNT PEARL, A4, A1N 5G2, 
        (709) 368-9223 - 261,474,694 ($28,762,216.34) Equity, 
        (File 333-180734 - Apr. 13) (BR. 11A)

S-8     US ENERGY CORP, 877 NORTH 8TH WEST, GLEN L LARSEN BLDG, RIVERTON, WY, 
        82501, 3078569271 - 1,088,319 ($3.18) Equity, (File 333-180735 - 
        Apr. 13) (BR. 04A)

S-4     Armored AutoGroup Inc., 39 OLD RIDGEBURY ROAD, DANBURY, CT, 06810, 
        203-205-2900 - 0 ($275,000,000.00) Debt, (File 333-180736 - Apr. 13) 
        (BR. )

S-3     HUDSON VALLEY HOLDING CORP, 21 SCARSDALE ROAD, YONKERS, NY, 10707, 
        9149616100 - 0 ($100,000,000.00) Equity, (File 333-180737 - Apr. 13) 
        (BR. 07B)

N-2     ClearBridge Energy MLP Total Return Fund Inc., 620 EIGHTH AVENUE, 
        NEW YORK, NY, 10018, 800-805-6035 - 0 ($1,000,000.00) Equity, 
        (File 333-180738 - Apr. 13) (BR. )

S-4     CU Bancorp, 15821 VENTURA BOULEVARD, SUITE 100, ENCINO, CA, 91436, 
        (818) 257-7779 - 0 ($113,665,225.25) Equity, (File 333-180739 - 
        Apr. 13) (BR. )

RECENT 8K FILINGS

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

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

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

2.04

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

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

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

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

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

5.01

Changes in Control of Registrant

5.02

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

5.03

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

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

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

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

                                        STATE
NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

-----------------------------------------------------------------------------------------
3DICON CORP                                      8.01,9.01            04/10/12

ACADIA REALTY TRUST                     MD       8.01,9.01            04/06/12

ACCELERA INNOVATIONS, INC.              DE       1.01,2.01,5.06,9.01  08/22/11    AMEND

ACCENTIA BIOPHARMACEUTICALS INC         FL       5.02                 02/29/12    AMEND

Accenture plc                           L2       8.01,9.01            04/13/12

ACCENTURE SCA                                    8.01,9.01            04/13/12

ACCO BRANDS CORP                        DE       8.01,9.01            04/13/12

ADOBE SYSTEMS INC                       DE       5.02,5.07,8.01,9.01  04/12/12

Advance America, Cash Advance Centers   DE       8.01                 04/13/12

AFS SenSub Corp.                                 1.01,8.01,9.01       04/11/12

Alamo Energy Corp.                      NV       5.02,8.01            04/12/12

Ally Financial Inc.                     DE       8.01                 04/13/12

ALTERRA CAPITAL HOLDINGS Ltd                     5.02,9.01            04/13/12

AMAZON COM INC                          DE       7.01,9.01            04/13/12

AMERICAN CHURCH MORTGAGE CO             MN       7.01                 04/13/12

AMERICAN RIVER BANKSHARES               CA       7.01,9.01            04/13/12

AMERICAN SUPERCONDUCTOR CORP /DE/       DE       2.02,8.01,9.01       04/13/12

AMERICAN WAGERING INC                   NV       1.01                 04/13/12

AMES NATIONAL CORP                      IA       2.02,7.01,9.01       04/13/12

API Technologies Corp.                  DE       5.07                 04/11/12

ARUBA NETWORKS, INC.                    DE       5.02,9.01            04/11/12

Ascent Solar Technologies, Inc.         DE       3.01                 04/13/12

ASSURED GUARANTY LTD                    D0       7.01                 04/13/12

AURORA GOLD CORP                        DE       1.01,7.01,9.01       04/10/12

BADGER METER INC                        WI       9.01                 01/31/12    AMEND

Bama Biotech, Inc.                      NV       5.03,9.01            04/10/12

Bank of America Auto Receivables Secu   DE       1.01,8.01,9.01       04/13/12

Bank of America Auto Receivables Secu   DE       8.01,9.01            04/13/12

BANK OF THE OZARKS INC                  AR       2.02,7.01,9.01       04/12/12

BANNER CORP                             WA       8.01,9.01            04/13/12

BIOCUREX INC                            A1       9.01                 04/12/12

BIOMIMETIC THERAPEUTICS, INC.           DE       5.02                 04/09/12

BIOVEST INTERNATIONAL INC               DE       5.02                 03/30/12    AMEND

BLACKBAUD INC                                    8.01,9.01            04/13/12

BLUEFLY INC                             DE       5.02                 04/12/12

Booz Allen Hamilton Holding Corp        DE       1.01,9.01            04/13/12

CAESARS ENTERTAINMENT Corp              DE       1.01,9.01            04/12/12

CAGLES INC                              GA       7.01,9.01            03/31/12

CALLAWAY GOLF CO                        DE       8.01,9.01            04/13/12

CAMCO FINANCIAL CORP                    DE       5.02                 04/09/12

CarePayment Technologies, Inc.          OR       1.01,3.02,9.01       04/12/12

Carroll Bancorp, Inc.                   MD       2.02,9.01            04/12/12

CATASYS, INC.                           DE       1.01,2.01,2.03,3.02, 04/06/12
                                                 9.01
          
CCA INDUSTRIES INC                      DE       8.01,9.01            04/12/12

CHESAPEAKE ENERGY CORP                  OK       7.01,9.01            04/09/12

CHICOS FAS INC                          FL       8.01,9.01            04/12/12

CINCINNATI FINANCIAL CORP               OH       2.02,9.01            04/13/12

Clean Slate, Inc.                       DE       5.02                 04/11/12

Clearwater Paper Corp                   DE       5.02                 04/13/12

COFFEE HOLDING CO INC                   NV       5.07                 04/12/12

Columbia Seligman Premium Technology    MD       7.01                 04/12/12

Coronus Solar Inc.                      A1       1.01,1.02,2.01,7.01, 04/13/12
                                                 9.01
          
COSI INC                                DE       1.01,3.03,8.01,9.01  04/12/12

DAKOTA PLAINS HOLDINGS, INC.            NV       5.02,9.01            04/09/12

DCP Midstream Partners, LP              DE       5.02,9.01            04/09/12

DELPHI FINANCIAL GROUP INC/DE           DE       1.01,9.01            04/12/12

Dialogic Inc.                           DE       1.01,2.03,3.02,3.03, 04/11/12
                                                 5.01,5.02,5.03,9.01
        
Dialogic Inc.                           DE       2.02,9.01            03/23/12    AMEND

DILLARDS INC                            DE       1.01,9.01            04/12/12

Discover Card Execution Note Trust      DE       1.01,8.01,9.01       04/13/12

DOUBLE CROWN RESOURCES INC.             NV       3.02,5.02,9.01       04/05/12

Duke Energy CORP                        DE       8.01                 04/13/12

DYNACQ HEALTHCARE INC                   NV       3.01                 04/12/12

ECOLAB INC                              DE       1.01                 04/10/12

EGPI FIRECREEK, INC.                    NV       5.02,9.01            03/28/12

ENB Financial Corp                      PA       2.02,9.01            04/12/12

ENDEAVOUR INTERNATIONAL CORP            NV       4.01,9.01            04/09/12

Enduro Royalty Trust                    DE       7.01,9.01            04/13/12

EOG RESOURCES INC                       DE       7.01                 04/13/12

Express Scripts Holding Co.             DE       9.01                 04/02/12    AMEND

FactorShares 2X: Gold Bull/S&P500 Bea            8.01,9.01            04/13/12

FactorShares 2X: Oil Bull/S&P500 Bear            8.01,9.01            04/13/12

FactorShares 2X: S&P500 Bull/TBond Be            8.01,9.01            04/13/12

FactorShares 2X: S&P500 Bull/USD Bear            8.01,9.01            04/13/12

FactorShares 2X: TBond Bull/S&P500 Be            8.01,9.01            04/13/12

Federal Home Loan Bank of Dallas                 2.03,9.01            04/09/12

FINDEX COM INC                          NV       2.01                 04/13/12

FIRST COMMUNITY BANCSHARES INC /NV/     NV       1.01,2.03            04/10/12

FIRST COMMUNITY FINANCIAL CORP          PA       5.07                 04/10/12

FIRST CORP /CN/                         CO       1.01,8.01,9.01       04/12/12

FIRST NATIONAL CORP /VA/                         5.03,9.01            04/11/12

FIRST REPUBLIC PREFERRED CAPITAL CORP            5.03,9.01            04/13/12

Firsthand Technology Value Fund, Inc.            8.01,9.01            04/13/12

FLUOROPHARMA MEDICAL, INC.              NV       5.02                 04/09/12

FOREST OIL CORP                         NY       1.01,9.01            04/11/12

GLOBAL GOLD CORP                        DE       1.01,4.02,9.01       04/09/12

Golub Capital BDC, Inc.                 DE       1.02,2.02,9.01       04/11/12

Google Inc.                             DE       8.01,9.01            04/12/12    AMEND

Great Lakes Dredge & Dock CORP          DE       5.02,9.01            04/09/12

Heckmann Corp                           DE       1.01,1.02,2.01,2.03, 04/10/12
                                                 3.02,7.01,8.01,9.01
        
HKN, Inc.                               DE       5.02                 04/11/12

Horizon Lines, Inc.                              1.01,2.03,3.02,3.03, 04/09/12
                                                 5.02,9.01
     
HOSPIRA INC                             DE       5.02,9.01            04/09/12

HUNT J B TRANSPORT SERVICES INC         AR       2.02,9.01            04/12/12

Hyatt Hotels Corp                       DE       5.02,9.01            03/16/12    AMEND

ICG GROUP, INC.                         DE       5.02,5.03,9.01       04/13/12

IDERA PHARMACEUTICALS, INC.             DE       1.01,9.01            04/12/12

IDEX CORP /DE/                          DE       5.07,7.01,9.01       04/10/12

IGATE CORP                              PA       2.02,9.01            04/13/12

iGo, Inc.                               DE       5.02,9.01            04/10/12

IMAGE ENTERTAINMENT INC                 DE       1.01,8.01,9.01       04/10/12

IMAGE SENSING SYSTEMS INC               MN       5.02                 04/10/12

INFERX CORP                             DE       2.04,5.02            04/06/12

INREIT Real Estate Investment Trust     ND       5.02                 04/12/12

INTEGRA LIFESCIENCES HOLDINGS CORP      DE       1.01,5.03,8.01,9.01  04/09/12

INTELSAT S.A.                           N4       8.01,9.01            04/12/12

INTL FCSTONE INC.                       DE       1.01,2.03,9.01       04/12/12

Invesco Ltd.                            D0       7.01,9.01            04/11/12

JPMORGAN CHASE & CO                     DE       2.02,9.01            04/13/12

JPMORGAN CHASE & CO                     DE       7.01,9.01            04/13/12

KB HOME                                 DE       5.07                 04/12/12

KBS Legacy Partners Apartment REIT, I   MD       1.01                 04/11/12

KBS Legacy Partners Apartment REIT, I   MD       1.01                 04/11/12

KBS Real Estate Investment Trust III,   MD       1.01                 04/09/12

L & L ENERGY, INC.                      NV       5.02,8.01,9.01       04/12/12    AMEND

LAKELAND INDUSTRIES INC                 DE       1.01,2.02,9.01       04/12/12

LendingClub Corp                        DE       5.02,7.01,9.01       04/11/12

LEUCADIA NATIONAL CORP                  NY       8.01                 04/13/12

LITHIA MOTORS INC                       OR       8.01                 04/12/12

LogMeIn, Inc.                           DE       1.01,2.03            04/11/12

MAGELLAN GOLD Corp                      NV       3.02                 04/10/12

MARKETING WORLDWIDE CORP                DE       3.02,3.03,9.01       04/11/12

MEDINA INTERNATIONAL HOLDINGS, INC.     CO       3.03,5.03,9.01       04/11/12

MICRON TECHNOLOGY INC                   DE       8.01,9.01            04/11/12

MICROSTRATEGY INC                       DE       5.02                 04/09/12

Mine Clearing Corp.                     NV       5.02                 04/11/12

MITEK SYSTEMS INC                       DE       8.01,9.01            04/12/12

Moody National REIT I, Inc.             MD       9.01                 04/12/12

MRC GLOBAL INC.                         DE       5.02                 04/09/12

Nationstar Mortgage LLC                 DE       8.01,9.01            04/13/12

NATURAL HEALTH TRENDS CORP              DE       2.02,9.01            04/13/12

NAVARRE CORP /MN/                       MN       5.02                 04/10/12

NAVIDEA BIOPHARMACEUTICALS, INC.        DE       5.02                 04/10/12

NCI, Inc.                               DE       5.02                 04/11/12

NETWORK 1 SECURITY SOLUTIONS INC        DE       5.02,9.01            04/11/12

NETWORK ENGINES INC                     DE       2.02,8.01,9.01       04/12/12

NEW HAMPSHIRE THRIFT BANCSHARES INC     DE       2.02,9.01            04/13/12

NEWS CORP                                        8.01,9.01            04/13/12

NGP Capital Resources Co                MD       4.01,9.01            04/12/12

NORTH CENTRAL BANCSHARES INC            IA       8.01                 04/13/12

NorthStar Real Estate Income Trust, I   MD       1.01,8.01            04/10/12

NORTHWEST PIPE CO                       OR       8.01                 04/13/12

NOVELOS THERAPEUTICS, INC.              DE       1.01                 04/09/12

NTS MORTGAGE INCOME FUND                DE       7.01,9.01            04/13/12

Orgenesis Inc.                          NV       1.01,9.01            03/22/12

Oz Saferooms Technologies, Inc.         DE       4.01                 04/11/12

PARKER DRILLING CO /DE/                 DE       1.01,8.01,9.01       04/11/12

PARKERVISION INC                        FL       1.01,8.01,9.01       04/12/12

Pharma-Bio Serv, Inc.                            5.07                 04/11/12

Power REIT                              MD       8.01,9.01            04/13/12

POWER SOLUTIONS INTERNATIONAL, INC.     DE       5.02,9.01            04/09/12

POWERWAVE TECHNOLOGIES INC              DE       2.02,9.01            04/12/12

PPL Corp                                         1.01,9.01            04/09/12

PRIME GLOBAL CAPITAL GROUP Inc          NV       5.07,8.01,9.01       04/12/12

PROCTER & GAMBLE Co                     OH       7.01                 04/13/12

PROGRESS ENERGY INC                     NC       7.01,9.01            12/31/11

PROGRESS ENERGY INC                     NC       8.01                 04/13/12

Q LOTUS HOLDINGS INC                    NV       1.01,2.03,9.01       04/11/12

Q LOTUS HOLDINGS INC                    NV       1.01,2.03,9.01       04/10/12

RADISYS CORP                            OR       5.02                 04/11/12

RAVEN INDUSTRIES INC                    SD       5.02                 04/12/12

REALTY INCOME CORP                      MD       7.01                 04/12/12

REGAL BELOIT CORP                       WI       5.02,9.01            04/10/12

REGIS CORP                              MN       1.01,2.06,9.01       04/09/12

Reshoot Production CO                   NV       5.03,9.01            04/13/12

RESPONSE BIOMEDICAL CORP                A1       5.02,9.01            04/10/12

RF MONOLITHICS INC /DE/                 DE       1.01,3.03,8.01,9.01  04/12/12

RF MONOLITHICS INC /DE/                 DE       8.01,9.01            04/13/12

RLJ Acquisition, Inc.                   NV       1.01,8.01,9.01       04/10/12

ROGERS CORP                             MA       5.02,9.01            04/09/12

RPX Corp                                DE       5.08                 04/13/12

SABA SOFTWARE INC                       DE       1.01,3.01,9.01       04/11/12

SandRidge Permian Trust                          1.01,2.03,9.01       04/12/12

SANGUI BIOTECH INTERNATIONAL INC        CO       8.01,9.01            04/11/12

Security Devices International Inc.     DE       1.01,9.01            04/13/12

Shengkai Innovations, Inc.              FL       8.01,9.01            04/13/12

Shire plc                                        8.01,9.01            04/12/12

SIERRA MONITOR CORP /CA/                CA       5.02,9.01            04/02/12

SILLENGER EXPLORATION CORP.             NV       1.01,3.02,5.02,8.01, 03/23/12    AMEND
                                                 9.01
          
SKY DIGITAL STORES CORP.                NV       5.02                 04/09/12

SLM Student Loan Trust 2003-14                   8.01,9.01            04/13/12

SLM Student Loan Trust 2004-1                    8.01,9.01            04/13/12

SLM Student Loan Trust 2004-10          DE       8.01,9.01            04/13/12

SLM Student Loan Trust 2004-5                    8.01,9.01            04/13/12

SLM Student Loan Trust 2004-8           DE       8.01,9.01            04/13/12

SM Energy Co                            DE       8.01                 04/13/12

Smack Sportswear                        NV       5.01,5.02,8.01,9.01  09/27/11    AMEND

STANDARD MICROSYSTEMS CORP              DE       5.07                 07/28/11    AMEND

STEELCASE INC                           MI       5.02,9.01            04/13/12

Sucampo Pharmaceuticals, Inc.                    7.01,9.01            04/13/12    AMEND

SYNERGY RESOURCES CORP                  CO       8.01,9.01            04/13/12

T Bancshares, Inc.                               4.01,9.01            04/13/12    AMEND

TAL International Group, Inc.           DE       1.01,2.03            04/13/12

TALBOTS INC                             DE       2.02,9.01            04/12/12

TBS International plc                   L2       7.01                 04/12/12

TELETECH HOLDINGS INC                   DE       5.02,7.01,9.01       04/09/12

TELKONET INC                            UT       2.06                 04/09/12

TETRA TECH INC                          DE       5.07                 03/01/11    AMEND

THERMO FISHER SCIENTIFIC INC.           DE       1.01,2.03,9.01       04/11/12

THERMOENERGY CORP                       DE       4.02                 04/12/12

TIANYIN PHARMACEUTICAL CO., INC.        DE       5.07                 04/11/12

Timberline Resources Corp               DE       7.01,8.01,9.01       04/10/12

Tornier N.V.                            P7       2.05,9.01            04/11/12

TORTOISE CAPITAL RESOURCES CORP                  2.02,9.01            04/09/12

TRI-CONTINENTAL CORP                    MD       7.01                 04/12/12

TRIDENT MICROSYSTEMS INC                DE       2.01                 04/12/12

TRUE RELIGION APPAREL INC               DE       7.01,9.01            04/13/12

TSR INC                                 DE       1.01,5.02            04/12/12

TWO RIVERS WATER Co                     CO       7.01                 04/12/12

UNITED PARCEL SERVICE INC               DE       1.01,1.02,2.03       04/12/12

UNITED TECHNOLOGIES CORP /DE/           DE       5.02,5.07            04/11/12

UNIVERSAL HEALTH SERVICES INC           DE       2.02,7.01,9.01       04/12/12

VALCOM, INC                             DE       7.01,9.01            04/12/12

ViewPoint Financial Group Inc.                   8.01,9.01            04/13/12

VIROPHARMA INC                          DE       1.01                 04/10/12

VLOV INC.                               NV       2.02,9.01            04/13/12

VORNADO REALTY LP                       DE       7.01,9.01            04/13/12

VORNADO REALTY TRUST                    MD       7.01,9.01            04/13/12

VSB BANCORP INC                         NY       2.02,9.01            04/12/12

WABASH NATIONAL CORP /DE                DE       2.02,8.01,9.01       04/13/12

WALGREEN CO                             IL       5.02,9.01            04/09/12

WELLS FARGO & COMPANY/MN                DE       2.02,9.01            04/13/12

WELLS FARGO & COMPANY/MN                DE       9.01                 04/13/12

WILSON BANK HOLDING CO                  TN       5.07                 04/10/12

WORLD FUEL SERVICES CORP                FL       5.02,9.01            04/09/12

WORLDS INC                              NJ       8.01                 04/12/12

WORLDWIDE ENERGY & MANUFACTURING USA    CO       8.01,9.01            04/13/12

XCEL ENERGY INC                         MN       8.01                 04/11/12

ZHONGPIN INC.                           DE       8.01,9.01            04/13/12

Zoom Telephonics, Inc.                  DE       1.01,2.03,8.01,9.01  04/10/12

http://www.sec.gov/news/digest/2012/dig041612.htm

SEC News Digest