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|
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 AAA CAPITAL ENERGY FUND L.P. II NY 3.02 01/01/12 Abingdon Futures Fund LP NY 3.02 01/01/12 ACACIA RESEARCH CORP DE 8.01 12/29/11 ADA-ES INC CO 7.01,9.01 01/04/12 Aegion Corp DE 5.02,9.01 12/31/11 AEROFLEX HOLDING CORP. DE 2.02,9.01 01/03/12 ALEXION PHARMACEUTICALS INC DE 1.01,8.01,9.01 12/28/11 AMARIN CORP PLC\UK X0 8.01,9.01 01/03/12 AMERICAN EAGLE ENERGY Corp 5.02 01/01/12 AMERIGAS PARTNERS LP DE 8.01,9.01 12/29/11 AMERIGAS PARTNERS LP DE 8.01,9.01 01/04/12 AMERIGAS PARTNERS LP DE 7.01,9.01 01/04/12 AMP Holding Inc. NV 1.01,3.02,9.01 05/10/11 AMEND ante5, Inc. DE 7.01,9.01 01/04/12 Apple REIT Ten, Inc. VA 2.01 12/30/11 Aptalis Pharma Inc DE 1.01 12/28/11 ARMSTRONG WORLD INDUSTRIES INC PA 2.02,8.01,9.01 01/03/12 Ascend Acquisition Corp. DE 1.01,2.03,3.02,5.02, 12/30/11 5.03,7.01,9.01 ASTA FUNDING INC DE 1.01,8.01,9.01 12/28/11 ATHENA SILVER CORP CA 2.03,9.01 10/26/11 AtheroNova Inc. DE 5.02 01/03/12 AVATAR HOLDINGS INC DE 1.01,5.02 12/31/11 AVIS BUDGET GROUP, INC. DE 5.02 01/04/12 BALDWIN TECHNOLOGY CO INC DE 8.01 12/29/11 BALLANTYNE STRONG, INC. DE 2.05,9.01 12/28/11 Banks.com, Inc. FL 1.01,2.03,3.02,9.01 12/28/11 BB&T CORP NC 5.02 12/31/11 Behringer Harvard Opportunity REIT I, MD 7.01,9.01 01/04/12 BHM Discretionary Futures Fund L.P. DE 3.02 01/01/12 BILL BARRETT CORP 7.01,9.01 01/03/12 BIO-PATH HOLDINGS INC UT 8.01,9.01 01/04/12 BIOMIMETIC THERAPEUTICS, INC. DE 8.01,9.01 01/03/12 BIONOVO INC DE 1.01,3.02,3.03,5.02, 12/30/11 5.03,8.01,9.01 Bonds.com Group, Inc. DE 1.01,4.01,9.01 12/28/11 BRIDGE BANCORP INC NY 8.01,9.01 01/04/12 BUILD A BEAR WORKSHOP INC DE 1.01,8.01,9.01 12/30/11 CABOT OIL & GAS CORP DE 8.01 01/03/12 CALGON CARBON CORPORATION DE 5.02,9.01 12/29/11 CALLIDUS SOFTWARE INC DE 1.01,7.01,9.01 01/03/12 Camelot Entertainment Group, Inc. DE 3.02 12/30/11 CARDINAL BANKSHARES CORP VA 8.01,9.01 12/30/11 CCFNB BANCORP INC PA 5.02,9.01 01/03/12 CENTERPOINT ENERGY INC 3.03 12/31/11 CENTRAL VERMONT PUBLIC SERVICE CORP VT 8.01 12/28/11 CH2M HILL COMPANIES LTD DE 5.02 01/01/12 CHARTER COMMUNICATIONS, INC. /MO/ DE 8.01,9.01 12/29/11 CHESAPEAKE MIDSTREAM PARTNERS LP DE 1.01,2.01,3.02,9.01 12/28/11 China Nutrifruit Group LTD NV 5.02,9.01 01/04/12 CHINA SHEN ZHOU MINING & RESOURCES, I NV 5.02 12/31/11 ChinaNet Online Holdings, Inc. NV 7.01,9.01 12/30/11 Chrysler Group LLC DE 8.01,9.01 01/04/12 CHURCH & DWIGHT CO INC /DE/ DE 8.01 12/01/11 CHYRON CORP NY 1.01,2.03 12/28/11 Citadel EFT, Inc. NV 5.03 01/04/12 CLAIBORNE LIZ INC DE 8.01,9.01 01/04/12 Command Center, Inc. WA 5.02 01/04/12 COMMUNITY FIRST INC TN 7.01,8.01,9.01 12/28/11 Compressco Partners, L.P. DE 7.01,9.01 01/04/12 COMPUTER TASK GROUP INC NY 7.01,9.01 01/04/12 Core-Mark Holding Company, Inc. DE 5.07 05/24/11 AMEND CorMedix Inc. DE 8.01,9.01 12/30/11 CORNERSTONE THERAPEUTICS INC DE 1.01,2.01,9.01 12/28/11 COSTAR GROUP INC DE 8.01 01/03/12 Crexendo, Inc. DE 5.02,9.01 01/04/12 Customers Bancorp, Inc. PA 1.01,1.02,9.01 12/28/11 DDI CORP CA 1.01 12/30/11 DIAMOND HILL INVESTMENT GROUP INC OH 8.01 01/04/12 DJSP Enterprises, Inc. D8 1.01,7.01,9.01 12/29/11 DOCUMENT SECURITY SYSTEMS INC NY 1.01,1.02,2.03,9.01 12/30/11 DOVER MOTORSPORTS INC DE 1.01,9.01 12/28/11 Duff & Phelps Corp DE 3.02,9.01 01/04/12 DYAX CORP DE 1.01,2.03 12/29/11 Echo Therapeutics, Inc. DE 1.01,5.02,9.01 12/28/11 EMERGING CTA PORTFOLIO LP NY 3.02 01/01/12 Energy Transfer Partners, L.P. DE 8.01,9.01 12/29/11 ENTECH SOLAR, INC. DE 2.03,3.02,9.01 01/03/12 ENTROPIC COMMUNICATIONS INC DE 2.02 01/04/12 EPOCH HOLDING CORP DE 8.01,9.01 01/04/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 12/28/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 12/30/11 FINISH LINE INC /IN/ IN 5.02,9.01 01/04/12 FIRST CENTURY BANKSHARES INC WV 8.01 01/03/12 FNB CORP/FL/ FL 8.01,9.01 01/01/12 FNB CORP/FL/ FL 3.02,3.03,5.02,5.03, 12/28/11 9.01 FORD MOTOR CO DE 8.01,9.01 01/04/12 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 01/04/12 Fortress Investment Group LLC DE 7.01 01/04/12 FORWARD AIR CORP TN 8.01 01/04/12 FUNCTION (X) INC. DE 1.01,2.01,9.01 12/31/11 FUTURES PORTFOLIO FUND L.P. MD 3.02 01/01/12 GARDNER DENVER INC DE 7.01,9.01 12/29/11 GENERAL EMPLOYMENT ENTERPRISES INC IL 5.02 12/30/11 GENERAL METALS CORP DE 4.01,9.01 12/16/11 AMEND General Moly, Inc DE 5.02,9.01 01/04/12 GeoVax Labs, Inc. DE 8.01,9.01 01/04/12 GLACIER BANCORP INC DE 5.02,9.01 12/28/11 GLIMCHER REALTY TRUST MD 8.01 01/01/12 GOLDEN PHOENIX MINERALS INC NV 7.01,9.01 01/03/12 GRANITE CITY FOOD & BREWERY LTD MN 1.01,2.01,2.03,9.01 12/30/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 12/30/11 GREENE COUNTY BANCORP INC DE 8.01,9.01 01/04/12 Griffin-American Healthcare REIT II, MD 1.01,5.03,7.01,8.01, 12/30/11 9.01 GRUBB & ELLIS CO DE 3.01,9.01 01/03/12 HARRIS CORP /DE/ DE 5.02 12/31/11 HEADWATERS INC DE 8.01,9.01 01/01/12 Hines Global REIT, Inc. MD 7.01,8.01,9.01 01/04/12 HollyFrontier Corp DE 7.01,9.01 01/04/12 Homeland Security Capital CORP DE 1.01,5.02 12/29/11 HOT TOPIC INC /CA/ CA 8.01,9.01 01/04/12 HUNTINGTON BANCSHARES INC/MD MD 3.03,5.03,8.01,9.01 12/28/11 Hydrodynex, Inc. NV 5.07 12/29/11 ILLUMINA INC DE 5.02 01/04/12 INFORMATION ARCHITECTS CORP NC 2.01,9.01 01/04/12 INFORMATION SYSTEMS ASSOCIATES, INC. FL 5.02 12/13/11 Infrared Systems International NV 9.01 04/21/10 AMEND INFRAX SYSTEMS, INC. NV 1.01,9.01 01/04/12 InterDigital, Inc. PA 5.02 12/30/11 IRIDEX CORP DE 1.01,9.01 12/30/11 IRONWOOD PHARMACEUTICALS INC 8.01 12/29/11 ISIS PHARMACEUTICALS INC DE 1.01,9.01 01/04/12 ISTA PHARMACEUTICALS INC DE 2.02,7.01,9.01 01/04/12 Juhl Wind, Inc 1.01,9.01 11/29/11 KBS Legacy Partners Apartment REIT, I MD 1.01 12/28/11 La Cortez Energy, Inc. NV 1.01,9.01 12/28/11 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 01/04/12 Lantheus Medical Imaging, Inc. DE 5.02,9.01 01/03/12 LaSalle Hotel Properties MD 7.01,8.01,9.01 12/29/11 LAWSON PRODUCTS INC/NEW/DE/ DE 1.01,2.03,9.01 12/29/11 Liberator, Inc. FL 5.06,7.01,9.01 01/04/12 Liberty Global, Inc. DE 5.02 12/30/11 Liberty Global, Inc. DE 7.01 01/03/12 Liberty Gold Corp. DE 1.01,2.01,9.01 12/23/11 LIGHTING SCIENCE GROUP CORP DE 1.01 12/28/11 Lightyear Network Solutions, Inc. NV 5.02,8.01,9.01 12/28/11 LOGITECH INTERNATIONAL SA 1.01,2.03,9.01 12/29/11 Longhai Steel Inc. NV 5.02 01/04/12 LoopNet, Inc. DE 8.01 01/03/12 LUCAS ENERGY, INC. NV 2.01,3.02,5.03,9.01 12/29/11 LUCID INC NY 1.01,7.01,9.01 12/28/11 McCormick & Schmicks Seafood Restaura 1.01,1.02,3.01,3.02, 01/04/12 3.03,5.01,5.02,5.03, 9.01 MICROWAVE FILTER CO INC /NY/ NY 5.02 12/30/11 MISSION COMMUNITY BANCORP CA 1.01,9.01 12/28/11 MobileBits Holdings Corp NV 5.02,9.01 12/28/11 MOCON INC MN 5.02 12/28/11 Mojo Ventures, Inc. DE 5.03,5.07,7.01,9.01 12/28/11 Monza Ventures Inc. NV 5.02 12/22/11 Mount Knowledge Holdings, Inc. NV 1.01,3.02,5.02 09/30/11 MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 12/25/11 MULTIBAND CORP MN 7.01 01/03/12 NetApp, Inc. CA 5.02 12/31/11 NeuMedia, Inc. DE 1.01,2.01,3.02,5.02, 12/28/11 9.01 NEUSTAR INC 5.02 01/03/12 NEWMONT MINING CORP /DE/ DE 5.02 01/01/12 NGP Capital Resources Co MD 8.01,9.01 01/04/12 NIGHTINGALE INC UT 3.03 12/30/11 NTS MORTGAGE INCOME FUND DE 1.01,9.01 12/30/11 NUCOR CORP DE 5.02 12/30/11 Oak Valley Bancorp CA 5.02,7.01,8.01 01/04/12 Och-Ziff Capital Management Group LLC DE 7.01 01/04/12 Oiltanking Partners, L.P. DE 1.01 01/04/12 OLD LINE BANCSHARES INC MD 1.01,9.01 12/29/11 OMEGA PROTEIN CORP NV 5.02,7.01,9.01 01/01/12 OnTarget360 Group, Inc. DE 5.01,5.02,9.01 12/29/11 ORGANOVO HOLDINGS, INC. NV 1.01,5.03,8.01,9.01 12/28/11 ORION FUTURES FUND LP NY 3.02 01/01/12 Oxford Resource Partners LP DE 1.01,2.03 12/28/11 P&F INDUSTRIES INC DE 5.02,9.01 12/29/11 PACIFIC CAPITAL BANCORP /CA/ DE 1.02 12/30/11 PACWEST BANCORP DE 8.01,9.01 01/03/12 PALOMAR MEDICAL TECHNOLOGIES INC DE 1.01,9.01 01/04/12 AMEND PCS EDVENTURES COM INC ID 8.01,9.01 01/03/12 PDL BIOPHARMA, INC. DE 8.01,9.01 01/03/12 Pebblebrook Hotel Trust MD 7.01 01/03/12 PEETS COFFEE & TEA INC WA 5.02 12/27/11 Pendrell Corp DE 9.01 10/31/11 AMEND PennantPark Floating Rate Capital Ltd 7.01 01/03/12 PEOPLES FINANCIAL SERVICES CORP. PA 9.01 12/31/11 AMEND PHOENIX MEDICAL SOFTWARE, INC. NV 2.01 01/03/12 AMEND PIONEER DRILLING CO TX 7.01,9.01 01/04/12 PIZZA INN HOLDINGS, INC /MO/ 5.02,8.01,9.01 01/03/12 Polaris Futures Fund L.P. DE 3.02 01/01/12 POWERWAVE TECHNOLOGIES INC DE 1.01 12/29/11 PRESSURE BIOSCIENCES INC MA 5.07 12/29/11 PRIVATE MEDIA GROUP INC NV 3.01 01/03/12 PROGRESS SOFTWARE CORP /MA MA 5.02,7.01,9.01 01/04/12 PROGRESSIVE CORP/OH/ OH 1.01,9.01 12/31/11 ProPhase Labs, Inc. NV 7.01,9.01 01/02/12 PSB HOLDINGS INC /WI/ WI 5.02 01/03/12 PSM HOLDINGS INC NV 5.02,5.03,9.01 12/29/11 QUANTUM SOLAR POWER CORP. 1.02 12/30/11 RAYONIER INC NC 5.02,9.01 01/03/12 READING INTERNATIONAL INC NV 5.02,8.01 01/03/12 REALPAGE INC DE 7.01,9.01 01/04/12 REDDY ICE HOLDINGS INC DE 8.01,9.01 12/28/11 RENTECH INC /CO/ CO 1.01,2.03,9.01 12/28/11 Rentech Nitrogen Partners, L.P. DE 1.01,2.03,9.01 12/28/11 REPROS THERAPEUTICS INC. DE 1.01,5.02,9.01 12/30/11 REPROS THERAPEUTICS INC. DE 8.01,9.01 01/04/12 RESOURCES CONNECTION INC DE 2.02,9.01 01/04/12 ROLLINS INC DE 8.01,9.01 01/03/12 RVUE HOLDINGS, INC. NV 2.03 12/29/11 SAGE FUND LP MD 3.02 01/01/12 SATCON TECHNOLOGY CORP DE 2.02,2.05,2.06,9.01 12/29/11 SAVE THE WORLD AIR INC NV 5.02,9.01 12/31/11 Seagate Technology plc L2 2.02,9.01 01/04/12 SENIOR HOUSING PROPERTIES TRUST MD 8.01,9.01 12/30/11 SENTRY PETROLEUM LTD. 8.01 01/03/12 SGB International Holdings Inc. A1 4.01,9.01 12/29/11 SIERRA RESOURCE GROUP INC NV 5.03,9.01 12/20/11 SimplePons, Inc. DE 7.01,9.01 01/04/12 SIRIUS XM RADIO INC. DE 2.02,7.01,9.01 01/04/12 SONESTA INTERNATIONAL HOTELS CORP NY 5.07,8.01,9.01 12/28/11 SONIC CORP DE 2.02,9.01 01/04/12 SWIFT TRANSPORTATION Co 8.01 01/03/12 SYNAGEVA BIOPHARMA CORP DE 8.01,9.01 01/04/12 SYSTEMAX INC DE 5.01 01/03/12 TACTICAL DIVERSIFIED FUTURES FUND L.P NY 3.02 01/01/12 TANDY BRANDS ACCESSORIES INC DE 5.02,9.01 12/31/11 TEAM INC TX 8.01 01/04/12 Tennessee Valley Authority 5.02 01/03/12 TESSERA TECHNOLOGIES INC DE 8.01,9.01 01/03/12 TETRA TECHNOLOGIES INC DE 7.01,9.01 01/04/12 THERMOENERGY CORP DE 1.01,3.02,9.01 12/30/11 TIDEWATER INC DE 8.01,9.01 12/30/11 TITAN PHARMACEUTICALS INC DE 1.01,5.02,9.01 12/30/11 TJX COMPANIES INC /DE/ DE 5.02 12/30/11 TrackSoft Systems, Inc. WY 5.02 12/28/11 TRIDENT MICROSYSTEMS INC DE 1.01,1.03,9.01 01/04/12 TRX INC/GA GA 1.01 12/29/11 U S GOLD CORP CO 7.01,9.01 01/04/12 U.S. Auto Parts Network, Inc. DE 5.02,9.01 01/03/12 UNIFIRST CORP MA 2.02,9.01 01/04/12 URANIUM ENERGY CORP NV 7.01,9.01 01/04/12 US ENERGY CORP WY 7.01,9.01 01/04/12 US GEOTHERMAL INC DE 8.01,9.01 01/04/12 VALERO ENERGY CORP/TX DE 7.01,9.01 01/04/12 VALPEY FISHER CORP MD 8.01 12/26/11 VERIFONE SYSTEMS, INC. DE 1.01,1.02,2.01,7.01, 12/28/11 9.01 ViewPoint Financial Group Inc. MD 5.02 12/28/11 VIROPHARMA INC DE 5.02,8.01,9.01 01/03/12 VistaGen Therapeutics, Inc. NV 1.01,3.02,8.01,9.01 12/29/11 W P CAREY & CO LLC DE 8.01,9.01 01/02/12 W P CAREY & CO LLC DE 1.01,1.02,2.03,9.01 12/28/11 WARRINGTON FUND LP NY 3.02 01/01/12 WELLS FARGO & CO/MN DE 9.01 01/04/12 WELLS REAL ESTATE INVESTMENT TRUST II MD 8.01 12/29/11 Western Refining, Inc. DE 5.02,7.01,8.01,9.01 01/03/12 Westinghouse Solar, Inc. DE 1.01,3.02,3.03,9.01 12/30/11 WESTPORT JWH FUTURES FUND LP NY 3.02 01/01/12 WEYERHAEUSER CO WA 1.01,9.01 12/07/11 WEYERHAEUSER CO WA 5.02,9.01 12/08/11 WHITE SMILE GLOBAL, INC. NV 1.01 12/27/11 WINNER MEDICAL GROUP INC NV 5.02,9.01 12/28/11 World Monitor Trust III - Series J DE 8.01,9.01 12/19/11 WORTHINGTON INDUSTRIES INC OH 1.01,2.01,9.01 12/29/11 Z TRIM HOLDINGS, INC IL 1.01,9.01 10/17/11 AMEND Zayo Group LLC DE 7.01,9.01 12/30/11 Zumiez Inc WA 7.01,9.01 01/04/12
http://www.sec.gov/news/digest/2012/dig010512.htm
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