![]() |
![]() |
|||||||||||||||
![]() |
|
![]() |
![]() |
Enforcement proceedingsIn the Matter of Robert RossiAn Administrative Law Judge issued an Order Making Findings and Imposing Remedial Sanctions by Default (Default Order) in Robert Rossi, Admin. Proc. No. 3-14648. The Order Instituting Proceedings (OIP) alleged that Respondent Robert Rossi (Rossi) violated the antifraud provisions of the federal securities laws by engaging in a fraudulent scheme to misrepresent the use of offering proceeds to investors in limited liability company membership interests. On November 9, 2011, a default judgment was entered against Rossi in SEC v. Petroleum Unlimited, LLC, 9:11-cv-80038-KAM (S.D. Fla. Nov. 9, 2011), permanently enjoining him from violating Sections 17(a)(1), 17(a)(2), and 17(a)(3) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rule 10b-5. The district court further ordered Rossi to disgorge $36,400 in illegally obtained profits, plus prejudgment interest, and pay a civil money penalty in an amount to be determined. The Default Order finds the allegations of the OIP to be true and concludes that, pursuant to Section 15(b) of the Exchange Act, it is in the public interest to bar Rossi from association with a broker, dealer, investment adviser, municipal securities dealer, transfer agent, and from participating in any offering of penny stock. (Rel. 34-66424; File No. 3-14648) Self-Regulatory OrganizationsApproval of Proposed Rule ChangesThe Commission approved a proposed rule change (SR-CBOE-2011-126) filed by Chicago Board Options Exchange, Incorporated pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the CBOE Stock Exchange Request for Quote Rules Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66408) The Commission approved a proposed rule change (SR-Phlx-2011-179), as modified by Amendment No. 1 thereto, submitted by NASDAQ OMX PHLX LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, relating to the listing and trading of MSCI EM Index options. Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66420) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by New York Stock Exchange LLC (SR-NYSE-2012-04) to delete NYSE Rule 319 and its Interpretation, which address fidelity bond requirements, and adopt new rule text that is substantially similar to FINRA Rule 4360 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 February 27. (Rel. 34-66411) A proposed rule change filed by The Depository Trust Company (DTC) to automate the “full call” notification process relating to money market instruments and reduce the time frame within which notices are required to be submitted (SR-DTC-2012-01) 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 February 27. (Rel. 34-66413) A proposed rule change filed by NASDAQ OMX BX, Inc. amending BX Rule 7021 (SR-BX-2012-009) 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 February 27. (Rel. 34-66414) A proposed rule change filed by the BATS Exchange, Inc. (SR-BATS-2012-010) related to fees for use of BATS Exchange, Inc. 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 February 27. (Rel. 34-66422) Proposed Rule ChangeNew York Stock Exchange LLC filed a proposed rule change (SR-NYSE-2012-05) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 amending NYSE Rule 476A to update its “List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A.” Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66421) 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 MASIMO CORP, 40 PARKER, IRVINE, CA, 92618, 949-297-7000 - 0 ($37,115,116.00) Equity, (File 333-179557 - Feb. 17) (BR. 10B) S-1 E2open Inc, 4100 EAST THIRD AVENUE, SUITE 400, FOSTER CITY, CA, 94404, 650-645-6500 - 0 ($86,250,000.00) Equity, (File 333-179558 - Feb. 17) (BR. 03A) S-8 SPREADTRUM COMMUNICATIONS INC, 810 E ARQUES AVE, SUNNYVALE, CA, 94085, 4087358126 - 2,939,291 ($16,244,971.38) Equity, (File 333-179559 - Feb. 17) (BR. 10C) S-8 PILGRIMS PRIDE CORP, 1770 PROMONTORY CIRCLE, GREELEY, CO, 80634, 9705068000 - 2,000,000 ($9,000,000.00) Equity, (File 333-179563 - Feb. 17) (BR. 05C) S-8 TIMKEN CO, 1835 DUEBER AVE SW, CANTON, OH, 44706-2798, 3304713078 - 6,000,000 ($316,260,000.00) Equity, (File 333-179564 - Feb. 17) (BR. 06A) S-4 NORFOLK SOUTHERN CORP, THREE COMMERCIAL PL, NORFOLK, VA, 23510-2191, 7576292680 - 0 ($599,996,000.00) Debt, (File 333-179565 - Feb. 17) (BR. 05B) S-8 Neutral Tandem Inc, 550 WEST ADAMS ST, 9TH FLOOR, CHAICAGO, IL, 60661, 312-384-8040 - 0 ($7,448,199.63) Equity, (File 333-179566 - Feb. 17) (BR. 11C) S-3ASR NORTHWESTERN CORP, 3010 W 69TH STREET, SIOUX FALLS, SD, 57108, 6059782908 - 0 ($0.00) Equity, (File 333-179568 - Feb. 17) (BR. 02B) S-3ASR NORFOLK SOUTHERN CORP, THREE COMMERCIAL PL, NORFOLK, VA, 23510-2191, 7576292680 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179569 - Feb. 17) (BR. 05B) S-3 HEADWATERS INC, 10653 SOUTH RIVERFRONT PARKWAY, SUITE 300, SOUTH JORDAN, UT, 84095, 8019849400 - 0 ($1.00) Other, (File 333-179572 - Feb. 17) (BR. 06A) S-3ASR OMNICOM GROUP INC, 437 MADISON AVE, NEW YORK, NY, 10022, 2124153600 - 0 ($0.00) Debt, 0 ($0.00) Equity, (File 333-179573 - Feb. 17) (BR. 11A) S-3 LANTRONIX INC, 167 TECHNOLOGY DRIVE, IRVINE, CA, 92618, 9494533990 - 0 ($6,438,642.00) Equity, (File 333-179574 - Feb. 17) (BR. 03B) S-3 PROVIDENT NEW YORK BANCORP, 400 RELLA BLVD, MONTEBELLO, NY, 10901, 8453698040 - 0 ($75,000,000.00) Other, (File 333-179575 - Feb. 17) (BR. 07C) S-3 AUTHENTIDATE HOLDING CORP, CONNELL CORPORATE CENTER, 300 CONNELL DRIVE, 5TH FLOOR, BERKELEY HEIGHTS, NJ, 07922, 9087871700 - 1,500,000 ($1,095,000.00) Equity, (File 333-179577 - Feb. 17) (BR. 03B) S-3 Resource Capital Corp., 712 FIFTH AVENUE, 12TH FLOOR, NEW YORK, NY, 10019, 212-506-3870 - 0 ($84,525,000.00) Equity, (File 333-179578 - Feb. 17) (BR. 08C) F-1 AdChina Ltd., 211 SHI MEN YI ROAD, MEDIA ZONE JINGAN 20F, SHANGHAI, F4, 200041, 862162675588 - 0 ($100,000,000.00) ADRs/ADSs, (File 333-179579 - Feb. 17) (BR. 03B) S-4 SALLY HOLDINGS LLC, 3001 COLORADO BOULEVARD, DENTON, TX, 76210, 940-898-7500 - 0 ($750,000,000.00) Debt, (File 333-179580 - Feb. 17) (BR. 02A) F-1 Vipshop Holdings Ltd, No. 20 Huahai Street, Liwan district,, Guangzhou, F4, 510370, +86 (20) 2233-0000 - 0 ($125,000,000.00) ADRs/ADSs, (File 333-179581 - Feb. 17) (BR. ) S-3ASR SYSCO CORP, 1390 ENCLAVE PKWY, HOUSTON, TX, 77077, 281-584-1390 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179582 - Feb. 17) (BR. 02C) S-8 Ancestry.com Inc., 360 WEST 4800 NORTH, PROVO, UT, 84604, 801-705-7000 - 0 ($62,406,914.00) Equity, (File 333-179584 - Feb. 17) (BR. 03A) S-8 ORACLE CORP, 500 ORACLE PARKWAY, MAIL STOP 5 OP 7, REDWOOD CITY, CA, 94065, 6505067000 - 0 ($62,548,607.00) Equity, (File 333-179586 - Feb. 17) (BR. 03B) S-8 CEPHEID, 904 CARIBBEAN DRIVE, SUNNYVALE, CA, 94089, 4085414191 - 266,000 ($9,768,380.00) Equity, (File 333-179587 - Feb. 17) (BR. 10A) S-4 Aircastle LTD, C/O AIRCASTLE ADVISOR LLC, 300 FIRST STAMFORD PLACE, 5TH FLOOR, STAMFORD, CT, 06902, (203) 504-1020 - 0 ($150,000,000.00) Debt, (File 333-179588 - Feb. 17) (BR. 06C) 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 30DC, INC. MD 7.01,9.01 02/09/12 AARON'S INC GA 2.02,9.01 02/09/12 ACCESS PHARMACEUTICALS INC DE 1.01,9.01 02/10/12 ACME PACKET INC DE 5.02,9.01 02/06/12 Addus HomeCare Corp DE 7.01 02/07/12 AETRIUM INC MN 2.02,9.01 02/09/12 AFLAC INC GA 1.01,2.03,9.01 02/08/12 AgFeed Industries, Inc. NV 2.04 02/06/12 ALLIANCE ONE INTERNATIONAL, INC. VA 9.01 12/31/11 ALLIANT ENERGY CORP WI 2.02,9.01 02/10/12 Alliqua, Inc. FL 8.01,9.01 02/07/12 AMAZON COM INC DE 5.02 02/09/12 AMBAC FINANCIAL GROUP INC DE 5.02 02/06/12 AMERIANA BANCORP IN 2.02,9.01 02/10/12 AMERICAN LEARNING Corp NY 2.02,8.01,9.01 02/10/12 American Midstream Partners, LP DE 9.01 12/01/11 AMEND American Railcar Industries, Inc. ND 7.01,8.01,9.01 02/09/12 AMPAL-AMERICAN ISRAEL CORP NY 3.01 02/10/12 AmREIT Monthly Income & Growth Fund I 1.01,1.02,2.01,2.04, 02/06/12 9.01 AMYRIS, INC. DE 7.01,9.01 02/09/12 Apollo Global Management LLC DE 2.02,9.01 02/10/12 APPLIED ENERGETICS, INC. DE 8.01 02/09/12 APTARGROUP INC DE 2.02,9.01 02/09/12 ARCH COAL INC DE 2.02,9.01 02/10/12 Artio Global Investors Inc. DE 7.01,9.01 02/10/12 ASB Bancorp Inc NC 8.01,9.01 02/10/12 ATMOS ENERGY CORP TX 5.07 02/08/12 ATWOOD OCEANICS INC TX 5.07 02/10/12 AXA EQUITABLE LIFE INSURANCE CO NY 5.02 02/10/12 Bacterin International Holdings, Inc. DE 7.01,9.01 02/10/12 Bancorp, Inc. 7.01,9.01 02/10/12 BANK OF AMERICA CORP /DE/ DE 8.01 02/09/12 Bank of the Carolinas CORP NC 2.02,9.01 02/10/12 BARD C R INC /NJ/ NJ 8.01 02/10/12 BARD C R INC /NJ/ NJ 5.02 02/08/12 BCSB Bancorp Inc. 5.07 02/08/12 BEACON ENTERPRISE SOLUTIONS GROUP INC NV 7.01,9.01 02/10/12 BEACON ROOFING SUPPLY INC DE 5.07 02/08/12 Behringer Harvard Opportunity REIT I, MD 5.02 02/10/12 BERRY PLASTICS CORP DE 5.02 02/10/12 BIGLARI HOLDINGS INC. IN 5.02 02/08/12 BIMINI CAPITAL MANAGEMENT, INC. MD 8.01,9.01 02/10/12 BIOANALYTICAL SYSTEMS INC IN 2.02,9.01 02/10/12 BIOMIMETIC THERAPEUTICS, INC. DE 8.01,9.01 02/06/12 Bitzio, Inc. NV 2.01,3.02,9.01 09/14/11 AMEND BLUE NILE INC DE 5.02,9.01 02/06/12 Bravo Brio Restaurant Group, Inc. OH 5.02 02/09/12 BRINKER INTERNATIONAL INC DE 7.01,9.01 02/09/12 BUCKEYE PARTNERS, L.P. DE 1.01,2.02,5.02,7.01, 02/08/12 8.01,9.01 Cadista Holdings Inc. DE 1.01,5.02 02/06/12 CAESARS ENTERTAINMENT Corp DE 7.01,9.01 02/09/12 CALPINE CORP DE 2.02,9.01 02/10/12 CAPITAL TRUST INC MD 5.05,8.01,9.01 02/07/12 CAPSTEAD MORTGAGE CORP MD 7.01,9.01 02/10/12 CardioNet, Inc. CA 1.01,7.01,9.01 02/10/12 CAREFUSION Corp 8.01,9.01 02/10/12 Catalent Pharma Solutions, Inc. DE 2.02,9.01 02/10/12 CBL & ASSOCIATES PROPERTIES INC DE 2.02,9.01 02/08/12 CDEX INC NV 1.03,2.04 02/10/12 CENTERLINE HOLDING CO DE 8.01,9.01 02/06/12 CH ENERGY GROUP INC NY 5.02,9.01 02/06/12 CH2M HILL COMPANIES LTD DE 8.01 02/10/12 CHASE CORP MA 5.07 02/06/12 CHEMUNG FINANCIAL CORP NY 2.02,9.01 12/31/11 China Armco Metals, Inc. NV 5.02,9.01 02/08/12 CHINA EDUCATION TECHNOLOGY, INC. NV 2.04,5.01,5.02,5.07, 02/10/12 9.01 CHINA SHEN ZHOU MINING & RESOURCES, I NV 1.01,2.01,3.02,8.01, 01/16/12 AMEND 9.01 Chineseinvestors.com, Inc. IN 3.02 02/06/12 CHOICE BANCORP, INC. WI 2.02,9.01 02/10/12 CIRCLE STAR ENERGY CORP. NV 1.02,8.01 02/06/12 CIRCLE STAR ENERGY CORP. NV 1.01,2.03,3.02,8.01 02/08/12 Citi Trends Inc 5.02,9.01 02/07/12 CITIGROUP INC DE 2.02,8.01,9.01 02/09/12 CLAIRES STORES INC DE 2.02,9.01 02/10/12 CLEAN WIND ENERGY TOWER, INC. NV 8.01,9.01 02/10/12 Cogdell Spencer Inc. MD 8.01 02/10/12 COGNIZANT TECHNOLOGY SOLUTIONS CORP 5.02 02/09/12 COLLECTORS UNIVERSE INC DE 2.02,9.01 02/09/11 COLOMBIA ENERGY RESOURCES, INC. DE 1.01,2.01,2.03,9.01 10/07/11 COMSTOCK FUNDS INC MD 1.01,9.01 02/08/12 Comstock Mining Inc. NV 1.01,9.01 02/08/12 Converted Organics Inc. DE 3.02 02/07/12 CORNING NATURAL GAS CORP NY 1.01,8.01,9.01 02/06/12 CRAWFORD & CO GA 5.05,9.01 02/07/12 CRIMSON EXPLORATION INC. 8.01,9.01 02/08/12 CSX CORP VA 5.02,9.01 02/10/12 AMEND CUBIST PHARMACEUTICALS INC DE 8.01,9.01 02/09/12 DIEBOLD INC OH 8.01 02/10/12 DISCOUNT DENTAL MATERIALS, INC. 1.01,2.01,2.03,3.02, 02/09/12 4.01,5.01,5.02,5.03, 9.01 Dresser-Rand Group Inc. DE 5.02,5.03,9.01 02/08/12 DYNEX CAPITAL INC VA 7.01,9.01 02/10/12 E TRADE FINANCIAL Corp DE 5.02 02/10/12 EAGLE BANCORP INC MD 8.01,9.01 02/10/12 EAGLE BANCORP INC MD 5.02 02/07/12 EAGLE ROCK ENERGY PARTNERS L P DE 5.02,5.05,9.01 02/06/12 ECA Marcellus Trust I DE 2.02,9.01 02/09/12 EDIETS COM INC DE 5.02,9.01 02/06/12 ELECTRONICS FOR IMAGING INC DE 5.02,9.01 02/08/12 Ellington Financial LLC DE 8.01,9.01 02/09/12 EMPIRE ENERGY CORP UT 8.01 02/09/12 Emrise CORP DE 1.01,2.03,8.01,9.01 02/07/12 EMTEC INC/NJ UT 5.07 02/07/12 ENVESTNET, INC. DE 1.01,7.01,9.01 02/10/12 EVANS BANCORP INC NY 2.02,9.01 02/09/12 EXELIXIS INC DE 8.01,9.01 02/09/12 EXIDE TECHNOLOGIES DE 7.01 02/10/12 EXPRESS SCRIPTS INC DE 1.01,2.03,7.01,9.01 02/06/12 FAIR ISAAC CORP DE 5.02,5.07,9.01 02/06/12 FARMER BROTHERS CO CA 2.02,9.01 02/08/12 FBL FINANCIAL GROUP INC IA 7.01 02/10/12 FBR & Co. VA 8.01 02/08/12 Federal Home Loan Bank of Dallas 2.03,9.01 02/06/12 FIRST FINANCIAL BANCORP /OH/ OH 7.01,9.01 02/10/12 FIRST REAL ESTATE INVESTMENT TRUST OF NJ 8.01 02/03/12 AMEND First Savings Financial Group Inc 1.01,8.01,9.01 02/08/12 FLIR SYSTEMS INC OR 2.02,9.01 02/10/12 FLOW INTERNATIONAL CORP WA 1.01,9.01 02/06/12 FLOWERS FOODS INC GA 2.02,9.01 02/09/12 FLUSHING FINANCIAL CORP DE 7.01,9.01 02/10/12 FMC TECHNOLOGIES INC DE 8.01,9.01 02/09/12 FORD MOTOR CO DE 5.02,9.01 02/09/12 FORD MOTOR CO DE 5.02,9.01 02/09/12 FOUR RIVERS BIOENERGY INC. NV 1.01,9.01 02/09/12 FRANKLIN CREDIT HOLDING CORP/DE/ DE 1.01,9.01 02/08/12 FUNCTION (X) INC. DE 8.01,9.01 02/10/12 GameStop Corp. DE 5.02 02/09/12 Geeknet, Inc DE 5.02,9.01 02/09/12 GEN PROBE INC DE 5.02,9.01 02/08/12 GENERAC HOLDINGS INC. DE 1.01,1.02,2.03,9.01 02/09/12 General Finance CORP DE 8.01,9.01 02/10/12 General Finance CORP DE 8.01,9.01 02/10/12 GENTA INC DE/ DE 8.01 02/10/12 GIBRALTAR INDUSTRIES, INC. DE 5.02 02/06/12 GLOBAL NUTECH, INC. NV 5.02 02/03/12 GLU MOBILE INC DE 8.01 02/10/12 GOLDEN RIVER RESOURCES CORP. DE 1.01,2.01,9.01 02/06/12 GREAT PLAINS ENERGY INC MO 5.02 02/07/12 GUARANTY FEDERAL BANCSHARES INC DE 5.02 02/07/12 HALOZYME THERAPEUTICS INC DE 1.01,8.01,9.01 02/10/12 HARBINGER GROUP INC. DE 2.02,9.01 02/09/12 HARMONY METALS, INC. FL 5.03 12/30/11 AMEND HAWKER BEECHCRAFT ACQUISITION CO LLC DE 5.02,9.01 02/06/12 HINTO ENERGY, INC WY 7.01,9.01 02/09/12 HOME PROPERTIES INC MD 2.02,9.01 02/09/12 HomeTown Bankshares Corp 2.02,9.01 02/06/12 HORIZON BANCORP /IN/ IN 1.01,7.01,9.01 02/09/12 HUDSON CITY BANCORP INC DE 5.02,9.01 02/09/12 HUNT GLOBAL RESOURCES, INC. CO 2.03,3.02,5.02,7.01, 02/07/12 9.01 HUTCHINSON TECHNOLOGY INC MN 1.01 02/06/12 INFOSPACE INC DE 5.02,9.01 02/08/12 INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 3.02 02/06/12 INTERNATIONAL CARD ESTABLISHMENT INC DE 4.01,9.01 02/07/12 INTERPHASE CORP TX 2.02,9.01 02/09/12 Invesco Ltd. D0 7.01,9.01 02/09/12 INVIVO THERAPEUTICS HOLDINGS CORP. NV 2.02 02/06/12 IPG PHOTONICS CORP DE 2.02,9.01 02/10/12 ISECURETRAC CORP DE 5.02 02/03/12 ISLE OF CAPRI CASINOS INC DE 2.01,2.06,9.01 02/07/12 JETBLUE AIRWAYS CORP DE 7.01,8.01,9.01 02/10/12 Kallo Inc. NV 4.01 02/06/12 Kodiak Oil & Gas Corp B0 2.02,9.01 02/08/12 KRONOS WORLDWIDE INC 7.01,9.01 02/09/12 LABORATORY CORP OF AMERICA HOLDINGS DE 2.02 02/10/12 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 02/10/12 LADENBURG THALMANN FINANCIAL SERVICES FL 1.01,5.02,9.01 02/08/12 LANDAUER INC DE 5.07 02/09/12 LIBERATOR MEDICAL HOLDINGS, INC. NV 1.01,9.01 02/08/12 Liberator, Inc. FL 7.01,9.01 02/07/12 Lifeloc Technologies Inc CO 2.02,9.01 02/04/12 LML PAYMENT SYSTEMS INC A1 2.02,7.01,9.01 02/10/12 LNB BANCORP INC OH 7.01,9.01 02/10/12 LTS Nutraceuticals, Inc. NV 2.01,9.01 12/14/11 AMEND LyondellBasell Industries N.V. P7 2.02,7.01,9.01 02/10/12 MAGMA DESIGN AUTOMATION INC DE 8.01 02/08/12 Mass Hysteria Entertainment Company, NV 5.02 02/08/12 MASTERCARD INC DE 5.02 02/06/12 Mattersight Corp DE 5.02 02/06/12 MCDONALDS CORP DE 5.02 02/08/12 MEDIA GENERAL INC VA 1.01,9.01 02/08/12 Medley Capital Corp DE 1.01,9.01 02/10/12 METABOLIX, INC. 1.01,3.03,9.01 02/06/12 Mindesta Inc. DE 8.01,9.01 02/10/12 Momentive Performance Materials Inc. DE 2.02,9.01 02/10/12 MOMENTIVE SPECIALTY CHEMICALS INC. NJ 2.02,9.01 02/10/12 MONY LIFE INSURANCE CO OF AMERICA AZ 5.02 02/10/12 MUSTANG ALLIANCES, INC. 1.01,3.02,5.02,9.01 02/01/12 Myrexis, Inc. DE 2.02,9.01 02/09/12 NACCO INDUSTRIES INC DE 5.02 12/15/11 AMEND NEOMEDIA TECHNOLOGIES INC DE 1.01,3.02,9.01 02/06/12 NEPHROS INC DE 8.01,9.01 02/10/12 NETFLIX INC DE 8.01 02/10/12 NETREIT, INC. MD 8.01,9.01 12/28/11 AMEND NEWS CORP 8.01,9.01 02/10/12 NGL Energy Partners LP DE 2.01,8.01,9.01 02/06/12 Northfield Bancorp, Inc. X1 7.01,9.01 02/10/12 Northfield Bancorp, Inc. X1 2.02,9.01 02/08/12 NV ENERGY, INC. NV 5.02 02/10/12 NYSE Euronext DE 2.02,9.01 02/10/12 Oculus Innovative Sciences, Inc. CA 3.01 02/07/12 OCWEN FINANCIAL CORP FL 8.01 02/10/12 Omnitek Engineering Corp CA 1.01,9.01 02/01/12 Orange 21 Inc. DE 5.03,8.01,9.01 02/06/12 OSIRIS THERAPEUTICS, INC. DE 1.02,9.01 02/08/12 OVERLAND STORAGE INC CA 2.02,9.01 02/10/12 OVERSEAS SHIPHOLDING GROUP INC DE 8.01,9.01 02/09/12 PALOMAR MEDICAL TECHNOLOGIES INC DE 5.02,9.01 02/10/12 Park Sterling Corp NC 7.01,9.01 02/10/12 PennantPark Floating Rate Capital Ltd 5.07 02/07/12 PENNANTPARK INVESTMENT CORP 5.07 02/07/12 PENSON WORLDWIDE INC DE 5.02,9.01 02/09/12 PEOPLES BANCORP INC OH 7.01,8.01,9.01 02/10/12 PERFICIENT INC DE 7.01,9.01 02/09/12 PERNIX THERAPEUTICS HOLDINGS, INC. MD 1.01,8.01,9.01 02/10/12 PetroAlgae Inc. DE 5.02,5.03,7.01,9.01 02/10/12 Piedmont Office Realty Trust, Inc. MD 2.02,9.01 02/09/12 PIXELWORKS, INC OR 1.01,5.02,9.01 02/08/12 POWERSECURE INTERNATIONAL, INC. DE 1.01,2.03,9.01 02/07/12 PPL Corp 2.02,7.01,9.01 02/10/12 PRESSTEK INC /DE/ DE 1.01,5.02,9.01 02/10/12 Prestige Brands Holdings, Inc. 2.02,7.01,9.01 02/10/12 AMEND PROCTER & GAMBLE Co OH 8.01 02/10/12 PROTECTIVE LIFE CORP DE 2.02,9.01 02/09/12 PROTEONOMIX, INC. DE 5.02 02/10/12 PSS WORLD MEDICAL INC FL 8.01,9.01 02/10/12 Pzena Investment Management, Inc. DE 2.02,9.01 12/31/11 Pzena Investment Management, Inc. DE 8.01,9.01 01/31/12 QUALITY DISTRIBUTION INC FL 2.02,9.01 02/09/12 QUICKSILVER RESOURCES INC DE 7.01,9.01 02/10/12 QUICKSILVER RESOURCES INC DE 8.01 02/10/12 RADIANT LOGISTICS, INC DE 9.01 12/01/11 AMEND RADIENT PHARMACEUTICALS Corp DE 5.03,8.01 01/03/12 AMEND Rand Logistics, Inc. DE 7.01,9.01 02/10/12 RAPTOR NETWORKS TECHNOLOGY INC 1.01,3.02,5.01,5.02, 12/05/11 AMEND 9.01 Rentech Nitrogen Partners, L.P. DE 5.03,9.01 02/09/12 Riverview Financial Corp PA 2.02,8.01 02/09/12 ROCKWELL AUTOMATION INC DE 5.07 02/07/12 ROCKWELL MEDICAL TECHNOLOGIES INC MI 1.01,9.01 02/09/12 Ruths Hospitality Group, Inc. DE 2.02,9.01 02/10/12 SALIX PHARMACEUTICALS LTD 8.01,9.01 02/07/12 Sally Beauty Holdings, Inc. 1.01,8.01,9.01 02/06/12 SANMINA-SCI CORP DE 8.01,9.01 02/10/12 SECURITY NATIONAL FINANCIAL CORP UT 8.01 12/21/11 SERACARE LIFE SCIENCES INC 2.02,9.01 02/10/12 SERVICESOURCE INTERNATIONAL, INC. 5.02,9.01 02/06/12 SINOCOKING COAL & COKE CHEMICAL INDUS FL 8.01,9.01 02/10/12 SNYDER'S-LANCE, INC. NC 2.02,9.01 02/10/12 SOUND KITCHEN ENTERTAINMENT GROUP, IN FL 5.02,5.03,9.01 02/09/12 SOUPMAN, INC. DE 7.01,9.01 02/10/12 SOUTHERN CO DE 8.01 02/09/12 SPANISH BROADCASTING SYSTEM INC DE 3.01 02/06/12 SPRINT NEXTEL CORP KS 7.01,9.01 02/09/12 STAMPS.COM INC DE 2.02,9.01 02/09/12 STATE INVESTORS BANCORP, INC. 2.02,9.01 02/09/12 SUPERVALU INC DE 5.02 02/07/12 SUREWEST COMMUNICATIONS CA 8.01,9.01 02/10/12 SURMODICS INC MN 5.02,5.07,9.01 02/06/12 SYNTHESIS ENERGY SYSTEMS INC DE 2.02,7.01,9.01 02/09/12 TANDY BRANDS ACCESSORIES INC DE 2.02,9.01 02/10/12 TBS International plc L2 3.01 02/07/12 TECHPRECISION CORP 5.02,9.01 02/08/12 Tennessee Valley Authority 8.01 02/09/12 Terra Tech Corp. NV 1.01,2.01,3.02,3.03, 02/09/12 5.01,5.03,5.06,8.01, 9.01 TIDEWATER INC DE 8.01,9.01 02/07/12 TIMKEN CO OH 8.01 02/10/12 TITAN PHARMACEUTICALS INC DE 8.01,9.01 02/09/12 Tootie Pie Company, Inc. TX 5.02,9.01 02/06/12 TORTOISE CAPITAL RESOURCES CORP 7.01,8.01,9.01 02/06/12 TOWER BANCORP INC PA 5.02 02/09/12 TPG Specialty Lending, Inc. DE 3.02 02/08/12 TrackSoft Systems, Inc. WY 1.01,2.01,3.02,4.01, 02/06/12 5.01,5.02,5.06,9.01 TRANSWITCH CORP /DE DE 1.01,7.01,9.01 02/10/12 TreeHouse Foods, Inc. DE 2.02,7.01,9.01 02/10/12 Tropicana Entertainment Inc. DE 7.01,9.01 02/10/12 Two Harbors Investment Corp. 7.01,9.01 02/10/12 U-SWIRL, INC. NV 8.01 02/08/12 U. S. Premium Beef, LLC 7.01,9.01 02/10/12 Unilife Corp DE 2.02,7.01,9.01 02/09/12 United Financial Bancorp, Inc. 7.01,9.01 02/10/12 UNITED STATES ANTIMONY CORP MT 5.02 02/09/12 UNIVERSAL HOSPITAL SERVICES INC MN 5.02 02/08/12 USA TRUCK INC DE 2.02,5.02,9.01 02/06/12 VAIL RESORTS INC DE 5.02 02/06/12 VALUEVISION MEDIA INC MN 1.01,1.02,2.02,2.03, 02/09/12 8.01,9.01 Vanity Events Holding, Inc. DE 8.01 02/09/12 VAULT AMERICA, INC. A0 2.01,5.01,9.01 02/02/12 VERDE RESOURCES, INC. NV 1.01,9.01 02/08/12 ViewPoint Financial Group Inc. 7.01,8.01,9.01 02/10/12 VirtualScopics, Inc. DE 8.01,9.01 02/09/12 Web Wizard, Inc. NV 8.01 02/07/12 WEIKANG BIO-TECHNOLOGY GROUP CO., INC NV 8.01 02/06/12 WELLS FARGO & CO/MN DE 8.01,9.01 02/09/12 WESBANCO INC WV 7.01,9.01 02/10/12 WESTWOOD HOLDINGS GROUP INC DE 5.02,7.01,9.01 02/07/12 WINN DIXIE STORES INC FL 8.01,9.01 02/10/12 WINNER MEDICAL GROUP INC NV 2.02,9.01 02/09/12 XENOPORT INC DE 5.02,9.01 02/09/12 XTRA-GOLD RESOURCES CORP 7.01,9.01 02/10/12 ZOLL MEDICAL CORP MA 5.07 02/09/12 Zumiez Inc WA 2.05 02/06/12
http://www.sec.gov/news/digest/2012/dig022112.htm
|