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enforcement proceedingsSEC Charges optionsXpress and Five Individuals Involved in Abusive Naked Short Selling SchemeThe 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 ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA 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 ChangeThe 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 ChangesThe 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 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 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 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 ----------------------------------------------------------------------------------------- 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
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