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SEC News Digest
Issue 2012-74
April 17, 2012
Commission announcements
Commission Meetings
Following is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration.
Open meetings will be held in the Auditorium, Room L-002 at the Commission's headquarters building, 100 F Street, N.E., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting.
Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact SECInterpreter@SEC.gov at least three business days in advance. For any other reasonable accommodation related disability contact DisabilityProgramOfficer or call 202-551-4158.
Open Meeting on Wednesday, April 18, 2012 at 10:00 a.m.
The subject matter of the Open Meeting will be:
The Commission will consider whether to adopt joint rules with the Commodity Futures Trading Commission relating to the definitions of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant,” and “Eligible Contract Participant.”
At times, changes in Commission priorities require alterations in the scheduling of meeting items. Commissioner Walter, as duty officer, determined that no earlier notice thereof was possible. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.
Enforcement Proceedings
In the Matter of David E. Howard II
On April 17, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 (Advisers Act) and Notice of Hearing (Order) against David E. Howard II.
In the Order, the Commission's Division of Enforcement (Division) alleges that on April 6, 2012 a final judgment was entered against Howard, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, Rule 10b-5 thereunder, Sections 206(1), 206(2), and 206(4) of the Advisers Act, and Rule 206(4)-8 thereunder in the civil action entitled Securities and Exchange Commission v. Spyglass Equity Systems, Inc., Civil Action Number 2:11-cv-02371 JAK, in the United States District Court for the Central District of California. The Commission’s complaint in the civil action alleged, among other things, that, between December 2007 and January 2009, approximately 192 investors, located in at least 38 states, purchased LLC membership interests in companies controlled by Howard. Investors were persuaded through false and misleading statements made by Howard and others to invest approximately $2.15 million in those companies, and in addition, paid approximately $1.1 million in purported “license fees” for access to their trading systems. Thereafter, Howard misused and/or misappropriated almost $500,000 of the investor money and he and other principals lost the majority of the remaining funds through unsuccessful trading. Investors lost over $3 million in the scheme.
A hearing will be scheduled before an administrative law judge to determine whether the allegations in the Order are true, to provide Howard an opportunity to respond to these allegations, and to determine what, if any, remedial action is appropriate in the public interest. The Order directed the Administrative Law Judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. IA-3396; File No. 3-14849)
In the Matter of Timothy T. Page
On April 17, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Notice of Hearing (Order) against Timothy T. Page a citizen of Great Britain who resides in Malibu, California, and previously resided in Austin, Texas.
The proceedings are based on an April 10, 2012, amended judgment that enjoined Page from violating Sections 5(a) and 5(c) of the Securities Act of 1933, and Section 15(a)(1) of the Securities Exchange Act of 1934 in a civil action entitled Securities and Exchange Commission v. Phillip W. Offill, Jr., et al., Civil Action Number 07-cv-1643-D (N.D. Tex.). In the Order, the Division of Enforcement alleges that the complaint alleged that Page engaged in a scheme to evade the registration requirements of the federal securities laws by offering and selling the securities of two companies when no registration statements were filed or in effect for their sales transactions. The complaint also alleges that Page acted as an unregistered dealer by engaging in the business of underwriting public securities offerings and engaged in the regular business of effecting transactions in securities by buying and selling securities for his own accounts and for the accounts of Page Properties LP, a partnership in which he served as the general partner. The complaint further alleges Page was not registered or associated with a broker or dealer during the time when he offered and sold the securities at issue in the case.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide the Respondent with an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. The Order requires that the administrative law judge issue an initial decision no later than 210 days from the date of service of the Order. (Rel. 34-66822; File No. 3-14850)
SEC Charges Petr Murmylyuk with Fraudulent Brokerage Account Intrusion Scheme
The Securities and Exchange Commission announced that today it filed a civil action in the United States District Court for the District of New Jersey against Petr Murmylyuk (Murmylyuk), a Russian citizen residing in Brooklyn, New York. The Commission alleges that, on November 1, 2011, Murmylyuk engaged in an online account intrusion scheme in which he stole money from an unsuspecting victim by illegally intruding into the victim’s online brokerage account and fraudulently causing that account to engage in unauthorized options trading with another online brokerage account that Murmylyuk controlled, and which was opened under a fictitious name using a stolen social security number. Essentially, Murmylyuk entered matching orders in those accounts that caused the intruded victim account first to purchase thinly traded options from Murmylyuk’s stolen identity account at a high price, and then to immediately sell the same options back to the stolen identity account at a much lower price, resulting in a profit to Murmylyuk’s stolen identity account and a loss to the intruded victim account. In total, Murmylyuk’s fraudulent trading on November 1, 2011 generated illegal profits of more than $30,000 for his stolen identity account, and losses of more than $140,000 for the intruded victim account.
The Commission’s complaint charges Murmylyuk with violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and seeks a final judgment order permanently enjoining him from violating those provisions of the federal securities laws and ordering him to disgorge his ill-gotten gains plus prejudgment interest and pay a civil penalty. Criminal charges have also been filed against Murmylyuk in a parallel criminal case.
The Commission thanks the U.S. Attorney’s Office for the District of New Jersey and the Federal Bureau of Investigation for their assistance in this matter.
The Commission’s investigation is continuing. [SEC v. Petr Murmylyuk, Civil Action No. 2-cv-2272-CCC (D.N.J.)] (LR-22333)
Penny Stock Promoters Enjoined and Barred
The Securities and Exchange Commission announced that on April 10, 2012, the Honorable Sidney A. Fitzwater of the United States District Court for the Northern District of Texas enjoined Ryan M. Reynolds of Dallas, TX, Timothy T. Page of Malibu, CA, Steven Fischer of Bonita Springs, FL, Phillip W. Offill, Jr., a Dallas attorney, RSMR Capital Group Inc. (RSMR), Page Properties LP, and ATN Enterprises LLC from violating Section 5 of the Securities Act of 1933. The Commission’s complaint alleged that these individuals and entities violated the securities laws by acting as underwriters engaged in a scheme to evade the securities registration requirements by offering and selling the securities of one or more of six companies when no registration statements were filed or in effect to provide information to public investors. The six companies issued penny stocks, which are defined as equity securities trading at a price of less than five dollars per share, and the defendants initiated public trading in the over-the-counter market under the following trading symbols: American Television & Film Company (ATFT), Ecogate, Inc. (ECGT), Media International Concepts, Inc. (MEIC), Vanquish Productions, Inc. (VQPI), Auction Mills, Inc. (AUML), and Custom Designed Compressor Systems, Inc. (CUPY). The court also barred Reynolds, Page, Fischer, RSMR, Page, and Page Properties for seven years, and Offill permanently, from participating in the offer or sale of penny stocks. In addition, the court enjoined Reynolds, RSMR, Page, and Page Properties from violating Section 15(a) of the Securities Exchange Act of 1934 by engaging in the securities transaction without registering as brokers or dealers with the Commission. The court also ordered the defendants to pay disgorgement totaling $12,219,468 of profits from their unregistered securities sales plus prejudgment interest, and civil penalties of $120,000 each. In addition, the court ordered relief defendants Timothy Barham and his company Ballad Enterprises, Inc. of Henderson, Tennessee, and Bellatalia LP, a company owned by Reynolds, to disgorge funds they received from the defendants’ illegal stock sales. The Commission’s claims for remedies against Shane Mullholand and his company Dissemination Services LLC remain to be resolved. The court previously enjoined Arizona attorney, David Stocker and his company Curtis-Case Inc. for their violations of Section 5 of the Securities Act, and barred them from participating in penny stock sales. [SEC v. Phillip W. Offill, Jr., et al., Civil Action No. 07-CV-1643-D (N.D. Tex.)] (LR-22334)
Self-Regulatory Organizations
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-037) to amend the fees schedule has become effective under 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. 34-66812)
A proposed rule change submitted by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-050) relating to routing 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. 34-66817)
Accelerated Approval of Proposed Rule Changes
A proposed rule change filed by Chicago Mercantile Exchange Inc. (CME) to facilitate changing its methodology for calculation of the “cash mark-to-market” performance bonds for cleared OTC FX Swaps from SPAN® to HVaR (File No. SR-CME-2012-11) has been approved on an accelerated basis pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 16. (Rel. 34-66813)
Proposed Rule Change
NYSE Arca, Inc. filed a proposed rule change (SR-NYSEArca-2012-28), 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 JPM XF Physical Copper Trust pursuant to NYSE Arca Equities Rule 8.201. Publication is expected in the Federal Register during the week of April 16. (Rel. 34-66816)
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 Augme Technologies, Inc., 350 7TH. AVE., 2ND FLOOR, NEW YORK, NY,
10001, 800-825-8135 - 0 ($10,050,000.00) Debt, (File 333-180740 -
Apr. 16) (BR. 11C)
S-11 MVP Monthly Income Realty Trust, Inc., 8880 W. SUNSET, SUITE 220,
LAS VEGAS, NV, 89148, (702)227-0965 - 0 ($550,000,000.00) Equity,
(File 333-180741 - Apr. 16) (BR. 08)
S-1 BLACKSTRATUS, INC., 200 METROPLEX DRIVE, EDISON, NJ, 08817,
732-393-6000 - 0 ($20,000,000.00) Equity, (File 333-180742 - Apr. 16)
(BR. 03)
S-8 NEUTRA CORP., 3572 SHADY BROOK LANE, SARASOTA, FL, 34243,
941-544-7035 - 8,000,000 ($2,400,000.00) Equity, (File 333-180749 -
Apr. 16) (BR. 01A)
S-1 Trance Global Entertainment Group Corp, KUSOCINSKIEGO 3, TORUN, R9,
87-100, 01148505259170 - 3,000,000 ($90,000.00) Equity,
(File 333-180750 - Apr. 16) (BR. )
S-8 HII Technologies, Inc., 1011 BEACH AIRPORT ROAD, CONROE, TX, 77301,
936.539.5770 - 10,000,000 ($400,000.00) Equity, (File 333-180751 -
Apr. 16) (BR. 06C)
S-3 UNITED COMMUNITY BANKS INC, P O BOX 398, 59 HIGHWAY 515, BLAIRSVILLE,
GA, 30512, 5818073041 - 0 ($300,000,000.00) Equity, (File 333-180752 -
Apr. 16) (BR. 07C)
S-3 UNITED COMMUNITY BANKS INC, P O BOX 398, 59 HIGHWAY 515, BLAIRSVILLE,
GA, 30512, 5818073041 - 0 ($193,500,213.51) Equity, (File 333-180753 -
Apr. 16) (BR. 07C)
S-4 Aviv Healthcare Properties L.P., 303 WEST MADISON STREET, SUITE 2400,
CHICAGO, IL, 60606, (312) 855-0930 - 0 ($100,000,000.00) Debt,
(File 333-180754 - Apr. 16) (BR. 08B)
S-3 ORBCOMM Inc., 2115 LINWOOD AVENUE, SUITE 100, FORT LEE, NJ, 07024,
201-363-4900 - 0 ($3,194,100.00) Equity,
0 ($40,000,000.00) Unallocated (Universal) Shelf, (File 333-180755 -
Apr. 16) (BR. 11A)
S-3 SOUTHWESTERN PUBLIC SERVICE CO, SPS TOWER, TYLER AT SIXTH ST, AMARILLO,
TX, 79101, 3035717511 - 150,000,000 ($150,000,000.00) Debt,
(File 333-180758 - Apr. 16) (BR. 02C)
S-1 CHESAPEAKE OILFIELD SERVICES INC, 6100 NORTH WESTERN AVENUE,
OKLAHOMA CITY, OK, 73118, 405-848-8000 - 0 ($862,500,000.00) Equity,
(File 333-180759 - Apr. 16) (BR. )
S-4 PROSPERITY BANCSHARES INC, 4295 SAN FELIPE, N/A, HOUSTON, TX, 77027,
7136939300 - 0 ($116,040,502.00) Equity, (File 333-180760 - Apr. 16)
(BR. 07B)
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
1.01
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Entry into a Material Definitive Agreement
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1.02
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Termination of a Material Definitive Agreement
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1.03
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Bankruptcy or Receivership
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2.01
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Completion of Acquisition or Disposition of Assets
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2.02
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Results of Operations and Financial Condition
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2.03
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Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
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2.04
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Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
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2.05
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Cost Associated with Exit or Disposal Activities
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2.06
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Material Impairments
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3.01
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Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
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3.02
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Unregistered Sales of Equity Securities
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3.03
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Material Modifications to Rights of Security Holders
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4.01
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Changes in Registrant's Certifying Accountant
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4.02
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Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
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5.01
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Changes in Control of Registrant
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5.02
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer
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5.03
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Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
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5.04
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Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
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5.05
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Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
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5.06
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Change in Shell Company Status
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6.01
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ABS Informational and Computational Material.
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6.02
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Change of Servicer or Trustee.
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6.03
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Change in Credit Enhancement or Other External Support.
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6.04
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Failure to Make a Required Distribution.
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6.05
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Securities Act Updating Disclosure.
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7.01
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Regulation FD Disclosure
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8.01
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Other Events
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9.01
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Financial Statements and Exhibits
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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
ABRAXAS PETROLEUM CORP NV 7.01,9.01 04/16/12
ACCELERA INNOVATIONS, INC. DE 1.01,2.01,2.03,9.01 04/13/12
ACCELERA INNOVATIONS, INC. DE 1.01,2.01,2.03,9.01 04/13/12 AMEND
ACCO BRANDS CORP DE 8.01,9.01 04/16/12
Accredited Members Holding Corp CO 1.01,8.01,9.01 04/10/12
ACEM HOLDINGS, INC. NV 1.01,9.01 12/10/11 AMEND
ADVANCED CELL TECHNOLOGY, INC. DE 5.02 04/11/12
ADVANCED CELL TECHNOLOGY, INC. DE 3.02,8.01 04/10/12
ADVANCED MEDICAL ISOTOPE Corp DE 2.03,3.02 04/12/12
AeroGrow International, Inc. NV 3.02,5.03,9.01 04/11/12
AFS SenSub Corp. 8.01,9.01 04/12/12
AGY Holding Corp. DE 5.02 04/10/12
ALCOA INC PA 2.02,9.01 04/10/12
ALEXION PHARMACEUTICALS INC DE 2.01,9.01 04/16/12 AMEND
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 04/16/12
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 04/16/12
AMERICAN EXPRESS CO NY 7.01 04/16/12
American Midstream Partners, LP DE 5.02,7.01,9.01 04/12/12
AMICUS THERAPEUTICS INC DE 5.02,9.01 04/16/12
APPLIED MICRO CIRCUITS CORP DE 2.02,9.01 04/10/12
ARCA biopharma, Inc. DE 3.01 04/12/12
ARCHER DANIELS MIDLAND CO DE 5.02,9.01 04/13/12
ARGAN INC DE 2.02,9.01 04/12/12
Ascent Solar Technologies, Inc. DE 5.02,9.01 04/16/12
ASSOCIATED BANC-CORP WI 8.01,9.01 04/16/12
AUXILIUM PHARMACEUTICALS INC 7.01,8.01,9.01 04/16/12
AVNET INC NY 5.02,9.01 04/13/12
BARRETT BUSINESS SERVICES INC MD 1.01,9.01 04/10/12
BEHRINGER HARVARD REIT I INC MD 8.01 04/13/12
BERKELEY COFFEE & TEA, INC. NV 5.02 04/13/12
BIDGIVE INTERNATIONAL INC DE 5.01,5.02,5.07 04/10/12
Bill The Butcher, Inc. NV 2.04,9.01 02/15/12 AMEND
BIO KEY INTERNATIONAL INC DE 2.02,9.01 04/16/12
BIOLASE TECHNOLOGY INC DE 2.02,7.01,9.01 04/16/12
BIOTIME INC CA 7.01,9.01 04/16/12
BLUE RIDGE REAL ESTATE CO PA 5.07 04/10/12
Bridgeline Digital, Inc. DE 5.02,5.07,9.01 04/12/12
BROWN & BROWN INC FL 2.02 04/16/12
Buildablock Corp. FL 2.01,3.02,5.01,5.02 03/07/12
BUTLER NATIONAL CORP DE 2.02,9.01 04/16/12
CABELAS INC DE 7.01,9.01 04/16/12
CAI International, Inc. 1.01,2.03,9.01 04/10/12
CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 04/13/12
CASEYS GENERAL STORES INC IA 7.01,8.01 04/16/12
CASS INFORMATION SYSTEMS INC MO 2.02,9.01 04/16/12
CENTRAL VERMONT PUBLIC SERVICE CORP VT 8.01 04/14/12
Cereplast Inc NV 2.02,9.01 04/16/12
CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 04/16/12
CHEMICAL FINANCIAL CORP MI 2.02,9.01 04/16/12
CHINA GENGSHENG MINERALS, INC. NV 2.02,7.01,9.01 04/16/12
China Green Agriculture, Inc. NV 7.01,9.01 04/16/12
CHINA RECYCLING ENERGY CORP 7.01,9.01 04/16/12
CHINACAST EDUCATION CORP DE 1.01,2.03,9.01 04/10/12
ChinaNet Online Holdings, Inc. NV 2.02,8.01,9.01 04/16/12
CIGNA CORP DE 9.01 01/31/12 AMEND
Ciralight Global, Inc. NV 5.02 04/09/12
Circle Entertainment, Inc. DE 1.01,2.03,9.01 04/10/12
CITIBANK OMNI-S MASTER TRUST 8.01 04/16/12
CITIGROUP INC DE 2.02,9.01 04/16/12
CITIZENS INC CO 8.01,9.01 04/13/12
CODORUS VALLEY BANCORP INC PA 2.02,9.01 04/16/12
COLE CREDIT PROPERTY TRUST IV, INC. MD 1.01,2.01,2.03,8.01, 04/13/12
9.01
COMMERCIAL BANCSHARES INC \OH\ OH 5.02,8.01 04/12/12
CONCHO RESOURCES INC DE 1.01,2.03,9.01 04/12/12
CONSTELLATION BRANDS, INC. DE 1.01,9.01 04/10/12
CORE LABORATORIES N V P7 7.01,9.01 04/16/12
CREDEX CORP FL 4.01,5.02,8.01 01/05/12
DAVE & BUSTERS INC MO 2.02,9.01 04/12/12
DAVITA INC DE 5.02,9.01 04/12/12
Delek US Holdings, Inc. 7.01,9.01 04/16/12
DENBURY RESOURCES INC DE 2.02,9.01 04/16/12
DFC GLOBAL CORP. DE 1.01,2.03,3.02,8.01, 04/10/12
9.01
DGSE COMPANIES INC NV 4.02,7.01,9.01 04/13/12
DIGITAL ANGEL CORP DE 1.02 04/10/12
Discover Card Execution Note Trust DE 8.01 04/16/12
DOUBLE EAGLE PETROLEUM CO MD 7.01,8.01,9.01 04/16/12
DREAMS INC UT 1.01,7.01,9.01 04/13/12
DUOYUAN PRINTING, INC. WY 8.01 04/13/12
DYNASIL CORP OF AMERICA NJ 2.03,9.01 04/12/12
EDELMAN FINANCIAL GROUP INC. TX 1.01,8.01,9.01 04/16/12
Edgen Murray II, L.P. DE 2.03,9.01 04/10/12
EL PASO CORP/DE DE 8.01,9.01 04/16/12
eLayaway, Inc. DE 9.01 02/13/12 AMEND
EMMIS COMMUNICATIONS CORP IN 1.01,9.01 04/13/12
ENCORE CAPITAL GROUP INC DE 1.01,2.03,5.02,9.01 04/10/12
Enertopia Corp. NV 3.02,7.01,9.01 04/16/12
Enertopia Corp. NV 5.07,7.01,9.01 04/16/12
Envision Solar International, Inc. NV 3.02 04/11/12
Euramerica Holdings Corp. DE 1.01,5.02,9.01 03/21/12
Extra Space Storage Inc. MD 1.01,9.01 04/13/12
FAIRPOINT COMMUNICATIONS INC DE 5.02 04/13/12
FIRST CHINA PHARMACEUTICAL GROUP, INC NV 2.02,9.01 04/16/12
FIVE STAR QUALITY CARE INC 1.01,1.02,2.03,9.01 04/13/12
FLOTEK INDUSTRIES INC/CN/ DE 2.02,7.01,9.01 04/16/12
FLUOROPHARMA MEDICAL, INC. NV 7.01,9.01 04/16/12
FOOTSTAR INC DE 7.01,9.01 04/16/12
FX ENERGY INC NV 8.01,9.01 04/16/12
FXCM Inc. 7.01,9.01 04/16/12
Galena Biopharma, Inc. 1.01,8.01,9.01 04/11/12
GANNETT CO INC /DE/ DE 2.02,9.01 04/16/12
GASCO ENERGY INC NV 7.01,9.01 04/16/12
GBS Enterprises Inc NV 3.02,9.01 04/16/12
GC China Turbine Corp. NV 4.02,7.01,9.01 03/23/12
GC China Turbine Corp. NV 7.01,9.01 04/16/12
GETTY REALTY CORP /MD/ MD 5.02 04/10/12
GlyEco, Inc. NV 8.01 04/11/12
GMX RESOURCES INC OK 2.02,8.01,9.01 04/16/12
Golub Capital BDC, Inc. DE 2.02,9.01 04/16/12
Great Wolf Resorts, Inc. DE 8.01,9.01 04/15/12
Hallwood Group Inc DE 7.01 04/13/12
HARVARD BIOSCIENCE INC DE 7.01,9.01 04/13/12
HARVEST NATURAL RESOURCES, INC. DE 8.01,9.01 04/16/12
HILLS BANCORPORATION IA 2.02,7.01,9.01 03/31/12
HOLLYWOOD MEDIA CORP FL 2.02,9.01 04/16/12
Horizon Technology Finance Corp DE 5.02 04/13/12
HUNT J B TRANSPORT SERVICES INC AR 5.02 04/16/12
ICU MEDICAL INC/DE DE 2.02,9.01 04/16/12
INDEPENDENT BANK CORP MA 8.01,9.01 04/13/12
INLAND REAL ESTATE CORP MD 8.01,9.01 04/16/12
INTEGRATED DEVICE TECHNOLOGY INC DE 5.02 04/16/12
INTERVEST BANCSHARES CORP DE 2.02,9.01 04/16/12
INTREorg SYSTEMS INC. TX 5.02 04/12/12
KAISER ALUMINUM CORP DE 8.01,9.01 04/16/12
KEYCORP /NEW/ OH 8.01 04/16/12
KINDER MORGAN, INC. DE 8.01,9.01 04/16/12
KINGSTONE COMPANIES, INC. DE 5.02,9.01 04/16/12
KROGER CO OH 8.01,9.01 04/16/12
Laredo Petroleum Holdings, Inc. DE 7.01,8.01,9.01 04/16/12
Laredo Petroleum, Inc. DE 7.01,8.01,9.01 04/16/12
LAZARE KAPLAN INTERNATIONAL INC DE 2.02,8.01 04/16/12
LIFETIME BRANDS, INC DE 5.02,9.01 04/12/12
LOCAL.COM DE 1.01,9.01 04/11/12
LUCAS ENERGY, INC. NV 1.01,9.01 04/16/12
M&T BANK CORP NY 2.02,9.01 04/16/12
MAGICJACK VOCALTEC LTD L3 2.02 04/16/12
Main Street Capital CORP MD 8.01,9.01 04/10/12
Mandalay Digital Group, Inc. DE 5.02 04/12/12
Manitex International, Inc. MI 7.01,9.01 04/16/12
Matador Resources Co TX 2.02,7.01,9.01 04/16/12
MATTEL INC /DE/ DE 2.02,8.01,9.01 04/16/12
MCDONALDS CORP DE 5.02,9.01 04/16/12
McEwen Mining Inc. CO 7.01,9.01 04/13/12
Medefile International, Inc. NV 1.01,3.02,3.03,5.03, 04/10/12
5.07,9.01
MEDIANET GROUP TECHNOLOGIES INC NV 7.01,9.01 04/14/12
MERCER INTERNATIONAL INC. WA 8.01,9.01 04/11/12
MESABI TRUST NY 2.02,9.01 04/13/12
MICHAEL BAKER CORP PA 5.02,9.01 04/13/12
Mid-Con Energy Partners, LP DE 7.01,9.01 04/13/12
MINDSPEED TECHNOLOGIES, INC DE 1.01 04/10/12
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 04/16/12
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 04/16/12
MOLINA HEALTHCARE INC DE 7.01,9.01 04/16/12
MUSTANG GEOTHERMAL CORP 8.01,9.01 04/16/12
Nationstar Mortgage Holdings Inc. DE 7.01,8.01,9.01 04/16/12
NCR CORP MD 2.02,9.01 04/16/12
Neptunus Ventures, Inc. DE 1.01,5.01,5.02,9.01 04/16/12
NEWS CORP 8.01,9.01 04/16/12
NEXSTAR BROADCASTING GROUP INC DE 7.01,9.01 04/12/12
NextWave Wireless Inc. DE 1.01,9.01 04/16/12
NORTHERN OIL & GAS, INC. 2.02,9.01 04/16/12
NUCOR CORP DE 5.03,9.01 04/10/12
Oasis Petroleum Inc. DE 7.01,9.01 04/16/12
OFFICIAL PAYMENTS HOLDINGS, INC. DE 4.01,9.01 04/11/12
OMEGA PROTEIN CORP NV 5.02 04/13/12
OPENWAVE SYSTEMS INC DE 1.01,9.01 04/15/12
OptimumBank Holdings, Inc. FL 5.02 04/13/12
ORIENT EXPRESS HOTELS LTD D0 2.02,9.01 04/16/12
PACIFIC GAS & ELECTRIC Co CA 8.01,9.01 04/16/12
PASSUR Aerospace, Inc. NY 5.07 04/10/12
Pendrell Corp DE 8.01,9.01 04/13/12
PPL Corp 2.01,9.01 02/23/12
Prestige Brands Holdings, Inc. 9.01 01/31/12 AMEND
Prestige Brands Holdings, Inc. 9.01 03/30/12 AMEND
PRINCIPAL FINANCIAL GROUP INC DE 7.01 04/16/12
PROFIRE ENERGY INC UT 7.01,9.01 04/16/12
PROSPECT CAPITAL CORP MD 1.01,2.03,3.02,8.01, 04/11/12
9.01
QLT INC/BC A1 5.02,8.01,9.01 04/16/12
QR Energy, LP DE 1.01,7.01,9.01 04/11/12
QUICKSILVER RESOURCES INC DE 2.02,9.01 04/16/12
Raptor Pharmaceutical Corp DE 8.01,9.01 04/12/12
RARE ELEMENT RESOURCES LTD A1 7.01,9.01 04/12/12
Resolute Energy Corp DE 1.01,9.01 04/13/12
RF MONOLITHICS INC /DE/ DE 2.02,9.01 04/16/12
RING ENERGY, INC. NV 1.01,8.01 04/10/12
Rock-Tenn CO GA 8.01 04/09/12
ROLLINS INC DE 7.01,9.01 04/13/12
ROWAN COMPANIES INC DE 5.02,5.07,8.01,9.01 04/16/12
ROYAL BANCSHARES OF PENNSYLVANIA INC PA 2.02,8.01,9.01 03/29/12
ROYAL BANCSHARES OF PENNSYLVANIA INC PA 5.02,9.01 04/11/12
RXi Pharmaceuticals Corp DE 1.01 04/11/12
Sagent Pharmaceuticals, Inc. DE 5.02 04/12/12
SaveDaily Inc NV 1.01,3.02,9.01 03/28/12
SCHNITZER STEEL INDUSTRIES INC OR 1.01,9.01 04/11/12
SCHWAB CHARLES CORP DE 2.02,9.01 04/16/12
SEQUENOM INC DE 2.02 04/16/12
ServisFirst Bancshares, Inc. DE 2.02,9.01 04/16/12
SEVERN BANCORP INC MD 2.02,9.01 04/16/12
SHARPROCK RESOURCES INC. NV 5.02 04/12/12
SIFCO INDUSTRIES INC OH 5.02 04/09/12 AMEND
SIGMA LABS, INC. NV 9.01 12/31/11 AMEND
SLM Student Loan Trust 2006-7 DE 8.01,9.01 04/16/12
SMF ENERGY CORP DE 1.03,2.04,4.02,8.01, 04/13/12
9.01
SOLERA HOLDINGS, INC DE 1.01,2.03,9.01 04/10/12
Southern National Bancorp of Virginia VA 5.02 04/12/12
SP Bancorp, Inc. MD 5.02,9.01 04/16/12
Spirit Airlines, Inc. DE 2.02,7.01,9.01 04/16/12
STARWOOD HOTEL & RESORTS WORLDWIDE, I MD 5.02,9.01 04/12/12
State Auto Financial CORP OH 8.01,9.01 04/13/12
Steadfast Income REIT, Inc. MD 1.01,2.03,9.01 04/10/12
STONE ENERGY CORP DE 7.01,9.01 04/16/12
Summit Hotel Properties, Inc. MD 1.01,5.03,9.01 04/11/12
SUNPOWER CORP DE 2.05,2.06 04/13/12
SUNRIDGE INTERNATIONAL, INC. 1.01,4.01,5.02,9.01 03/19/12
Teavana Holdings Inc 1.01,2.03,7.01,9.01 04/15/12
TEC Technology, Inc. DE 5.02 04/16/12
Teucrium Commodity Trust 8.01,9.01 04/16/12
Toyota Auto Receivables 2012-A Owner DE 1.01,9.01 04/11/12
TransMontaigne Partners L.P. DE 8.01,9.01 04/16/12
Tree.com, Inc. DE 4.02 04/12/12
Triangle Petroleum Corp NV 1.01,2.03,9.01 04/12/12
TrovaGene Inc. DE 3.02,9.01 04/13/12
UNITED COMMUNITY BANKS INC GA 8.01,9.01 04/16/12
UNIVERSAL TRAVEL GROUP NV 3.01,8.01,9.01 04/16/12
US Highland, Inc. OK 8.01 04/13/12
USA TECHNOLOGIES INC PA 2.02,9.01 04/16/12
VADDA ENERGY CORP FL 1.01 04/11/12
Vanda Pharmaceuticals Inc. DE 1.01,8.01,9.01 04/12/12
VENTAS INC DE 9.01 04/12/12
Vitacost.com, Inc. DE 8.01,9.01 04/16/12
Voyager Oil & Gas, Inc. DE 2.02,9.01 04/16/12
Vulcan Materials CO NJ 8.01 04/16/12
WABASH NATIONAL CORP /DE DE 2.02 04/16/12
WaferGen Bio-systems, Inc. NV 7.01,9.01 04/16/12
WMI HOLDINGS CORP. WA 4.01,8.01,9.01 04/10/12
WORLD FINANCIAL NETWORK CREDIT CARD M DE 1.01,8.01,9.01 04/12/12
Yayi International Inc DE 5.02 04/16/12
YTB International, Inc. DE 8.01 04/16/12
Z TRIM HOLDINGS, INC IL 2.02,9.01 04/16/12
ZaZa Energy Corp DE 1.01 04/10/12
http://www.sec.gov/news/digest/2012/dig041712.htm
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