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SEC News Digest
Issue 2012-58
March 26, 2012
Rules and related matters
Adoption of Updated EDGAR Filer Manual
The EDGAR system was updated to Release 12.0 on March 26, 2012 and, as such, the EDGAR Filer Manual has been updated to share the appropriate information with the filers. The revisions were being made primarily to support the upgrade to the 2012 US GAAP and 2012 Mutual Fund Risk/Return Summary Taxonomies; to support period field validation updates for Form N-PX; to remove the OMB expiration date from Form D, 3, 4, and 5; and to include additional filer support fax numbers on various EDGAR Filer Management Website screens. In addition, the File Manual was also revised to address changes related to the conversion of the DOS based Form N-SAR application to an online application in EDGAR Release 12.1.1 (July 09, 2012). (Rel. 33-9303)
enforcement proceedings
Commission Revokes Registration of Securities of Channell Commercial Corporation For Failure to Make Required Periodic Filings
On March 26, 2012, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the registration of each class of registered securities of Channell Commercial Corporation (CHNL) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, CHNL consented to the entry of an Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of CHNL’s securities pursuant to Section 12(j) of the Exchange Act.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .
(Rel. 34-66653; File No. 3-14812)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Five Public Companies For Failure to Make Required Periodic Filings
Today the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of five companies for failure to make required periodic filings with the Commission:
- Jove Corp. (JVCP)
- Keiretsu, Inc.
- Luminart, Inc.
- Macten, Inc.
- Netlake, Inc.
In this Order, the Division of Enforcement (Division) alleges that the five issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-66655; File No. 3-14813)
SEC Charges Medical Device Company Biomet With Foreign Bribery
The Securities and Exchange Commission today charged Warsaw, Ind.-based medical device company Biomet Inc. with violating the Foreign Corrupt Practices Act (FCPA) when its subsidiaries and agents bribed public doctors in Argentina, Brazil, and China for nearly a decade to win business.
Biomet, which primarily sells products used by orthopedic surgeons, agreed to pay more than $22 million to settle the SEC’s charges as well as parallel criminal charges announced by the U.S. Department of Justice today. The charges arise from the SEC and DOJ’s ongoing proactive global investigation into medical device companies bribing publicly-employed physicians.
The SEC alleges that Biomet and its four subsidiaries paid bribes from 2000 to August 2008, and employees and managers of all levels of the parent company and the subsidiaries were involved along with the distributors who sold Biomet’s products. Biomet’s compliance and internal audit functions failed to stop the payments to doctors even after learning about the illegal practices.
According to the SEC’s complaint filed in federal court in Washington D.C., employees of Biomet Argentina SA paid kickbacks as high as 15 to 20 percent of each sale to publicly-employed doctors in Argentina. Phony invoices were used to justify the payments, and the bribes were falsely recorded as “consulting fees” or “commissions” in Biomet’s books and records. Executives and internal auditors at Biomet’s Indiana headquarters were aware of the payments as early as 2000, but failed to stop it.
The SEC alleges that Biomet’s U.S. subsidiary Biomet International used a distributor to bribe publicly-employed doctors in Brazil by paying them as much as 10 to 20 percent of the value of their medical device purchases. Payments were openly discussed in communications between the distributor, Biomet International employees, and Biomet’s executives and internal auditors in the U.S. For example, a February 2002 internal Biomet memorandum about a limited audit of the distributor’s books stated:
“Brazilian Distributor makes payments to surgeons that may be considered as a kickback. These payments are made in cash that allows the surgeon to receive income tax free. …The accounting entry is to increase a prepaid expense account. In the consolidated financials sent to Biomet, these payments were reclassified to expense in the income statement.”
According to the SEC’s complaint, two additional subsidiaries – Biomet China and Scandimed AB – sold medical devices through a distributor in China who provided publicly-employed doctors with money and travel in exchange for their purchases of Biomet products. Beginning as early as 2001, the distributor exchanged e-mails with Biomet employees that explicitly described the bribes he was arranging on the company’s behalf. For example, one e-mail stated:
“[Doctor] is the department head of [public hospital]. [Doctor] uses about 10 hips and knees a month and it’s on an uptrend, as he told us over dinner a week ago. …Many key surgeons in Shanghai are buddies of his. A kind word on Biomet from him goes a long way for us. Dinner has been set for the evening of the 24th. It will be nice. But dinner aside, I’ve got to send him to Switzerland to visit his daughter.”
The SEC alleges that some e-mails described the way that vendors would deliver cash to surgeons upon completion of surgery, and others discussed the amount of payments. The distributor explained in one e-mail that 25 percent in cash would be delivered to a surgeon upon completion of surgery. Biomet sponsored travel for 20 Chinese surgeons in 2007 to Spain, where a substantial part of the trip was devoted to sightseeing and other entertainment.
Biomet consented to the entry of a court order requiring payment of $4,432,998 in disgorgement and $1,142,733 in prejudgment interest. Biomet also is ordered to retain an independent compliance consultant for 18 months to review its FCPA compliance program, and is permanently enjoined from future violations of Sections 30A, 13(b)(2)(A), and 13(b)(2)(B) of the Securities Exchange Act of 1934. Biomet agreed to pay a $17.28 million fine to settle the criminal charges.
The SEC’s investigation was conducted by Brent S. Mitchell with Tracy L. Price of the Enforcement Division’s FCPA Unit and Reid A. Muoio. The SEC acknowledges the assistance of the U.S. Department of Justice’s Fraud Section and the Federal Bureau of Investigation. The investigation into bribery in the medical device industry is continuing. [SEC v. Biomet, Inc., Civil Action No. 1: 12-CV-00454 (D.D.C.)(RMC)] (LR-22306; AAE Rel. 3374)
Investment company act releases
Jefferies Employees Special Opportunities Partners, LLC, et al.
A notice has been issued giving interested persons until April 17, 2012 to request a hearing on an application filed by Jefferies Employees Special Opportunities Partners, LLC (JESOP), et al. for an order to exempt JESOP from certain provisions of the Investment Company Act of 1940 (Act). JESOP is an “employees’ securities company” within the meaning of Section 2(a)(13) of the Act. (Rel. IC-30007 – March 23)
Self-regulatory organizations
Proposed Rule Change
A proposed rule change filed by Chicago Mercantile Exchange Inc. (CME) to amend certain Credit Default Swap clearing rules regarding guaranty fund allocations, amendments to daily submission deadline, holiday accrual processing and PAI payment timeline (SR-CME-2012-06) pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 26. (Rel. 34-66646)
Approval of Proposed Rule Change
The Commission granted approval of a proposed rule change (SR-NASDAQ-2012-013), as modified by Amendment No. 1 thereto, submitted by The NASDAQ Stock Market LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the adoption of listing standards for certain securities. Publication is expected in the Federal Register during the week of March 26. (Rel. 34-66648)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NYSE Amex LLC to amend its option trading rules to extend the operation of its pilot program regarding minimum value sizes for flexible exchange options until March 29, 2013 (SR-NYSEAMEX-2012-18) 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 March 26. (Rel. 34-66649)
A proposed rule change filed by NYSE Arca, Inc. to amend its option trading rules to extend the operation of its pilot program regarding minimum value sizes for flexible exchange options until March 29, 2013 (SR-NYSEARCA-2012-20) 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 March 26. (Rel. 34-66650)
A proposed rule change filed by the C2 Options Exchange, Incorporated (SR-C2-2012-010) to amend its 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 March 26. (Rel. 34-66651)
A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-038) to amend Rule 4120 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 March 26. (Rel. 34-66652)
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-3 Remark Media, Inc., SIX CONCOURSE PARKWAY, SUITE 1500, ATLANTA, GA,
30328, (404) 926-0660 - 1,176,721 ($6,754,378.54) Equity,
(File 333-180290 - Mar. 23) (BR. 11A)
S-1 AMERICAN BAR ASSOCIATION MEMBERS / NORTHERN TRUST COLLECTIVE TR,
C/O NORTHERN TRUST INVESTMENTS, N.A., 50 SOUTH LASALLE STREET, CHICAGO,
IL, 60603, 312-630-6000 - 0 ($220,000,000.00) Equity,
(File 333-180291 - Mar. 23) (BR. 08C)
S-3ASR NETFLIX INC, 100 WINCHESTER CIRCLE, ., LOS GATOS, CA, 95032,
408-540-3700 - 2,331,060 ($255,577,418.40) Equity, (File 333-180292 -
Mar. 23) (BR. 05C)
S-1 Clovis Oncology, Inc., 2525 28TH STREET, SUITE 100, BOULDER, CO, 80301,
(303) 625-5000 - 0 ($86,250,000.00) Equity, (File 333-180293 - Mar. 23)
(BR. 01B)
S-1 BERRY PLASTICS GROUP INC, 101 OAKLEY STREET, PO BOX 959, EVANSVILLE,
IN, 47710, 8124242904 - 500,000,000 ($500,000,000.00) Equity,
(File 333-180294 - Mar. 23) (BR. 06)
F-3ASR CREDIT SUISSE GROUP AG, PARADEPLATZ 8, 8001 ZURICH, V8, 00000,
0114772721616 - 0 ($0.00) Other, (File 333-180300 - Mar. 23) (BR. 12A)
F-10 PAN AMERICAN SILVER CORP, 0 ($273,445,450.40) Equity,
(File 333-180304 - Mar. 23) (BR. 09A)
S-1 Tesaro, Inc., 51 FOLLEN ROAD, LEXINGTON, MA, 02421, 952-212-4713 -
0 ($86,250,000.00) Equity, (File 333-180309 - Mar. 23) (BR. 01)
S-4 ILLINOIS TOOL WORKS INC, 3600 WEST LAKE AVE, GLENVIEW, IL, 60026-1215,
8476574106 - 0 ($1,000,000,000.00) Debt, (File 333-180310 - Mar. 23)
(BR. 10B)
S-8 Cornerstone OnDemand Inc, 1601 CLOVERFIELD BLVD, SUITE 620,
SANTA MONICA, CA, 90404, 310-752-0200 -
2,710,071 ($53,196,230.58) Equity, (File 333-180311 - Mar. 23) (BR. 03A)
S-8 CaesarStone Sdot-Yam Ltd., Kibbutz Sdot Yam, MP Menashe, L3, 38805,
972 4 636 4555 - 0 ($26,225,491.00) Equity, (File 333-180313 - Mar. 23)
(BR. 06B)
F-10 AGRIUM INC, 13131 LAKE FRASER DRIVE S.E., CALGARY, A0, T2J7E8,
403 225-7000 - 0 ($2,500,000,000.00) Unallocated (Universal) Shelf,
(File 333-180315 - Mar. 23) (BR. 05A)
S-3 UNITIL CORP, 6 LIBERTY LANE WEST, HAMPTON, NH, 03842, 6037736504 -
0 ($100,000,000.00) Equity, (File 333-180316 - Mar. 23) (BR. 02A)
S-3D MVB FINANCIAL CORP, 301 VIRGINIA AVENUE, FAIRMONT, WV, 26554-2777,
3043634800 - 500,000 ($11,000,000.00) Other, (File 333-180317 -
Mar. 23) (BR. 07C)
S-3ASR HCC INSURANCE HOLDINGS INC/DE/, 13403 NORTHWEST FRWY, HOUSTON, TX,
77040-6094, 7136907300 - 0 ($0.00) Other, (File 333-180318 - Mar. 23)
(BR. 01A)
S-3ASR VALLEY NATIONAL BANCORP, 1455 VALLEY RD, WAYNE, NJ, 07470, 9733053380 -
0 ($0.00) Equity, (File 333-180319 - Mar. 23) (BR. 07C)
S-8 ADVANCED MICRO DEVICES INC, ONE AMD PL, MS 68, SUNNYVALE, CA,
94088-3453, 4087322400 - 6,796,958 ($54,171,755.26) Equity,
(File 333-180320 - Mar. 23) (BR. 10A)
N-2 Full Circle Capital Corp, 800 WESTCHESTER AVE., SUITE S-620, RYE BROOK,
NY, 10573, 914-220-6300 - 0 ($30,000,000.00) Equity, (File 333-180321 -
Mar. 23) (BR. 16)
S-3 Homeowners Choice, Inc., 5300 WEST CYPRESS STREET, TAMPA, FL, 33607,
813 405 3600 - 5,000,000 ($62,600,000.00) Equity, (File 333-180322 -
Mar. 23) (BR. 01A)
S-8 AerCap Holdings N.V., STATIONSPLEIN 965, SCHIPHOL AIRPORT, P7, 1117 CE,
31 20 655 9655 - 0 ($23,660,000.00) Other, (File 333-180323 - Mar. 23)
(BR. 06C)
S-8 PDF SOLUTIONS INC, 333 WEST SAN CARLOS STREET, SUITE 700, SAN JOSE, CA,
95110, 4082807900 - 3,766,078 ($29,596,577.00) Equity,
(File 333-180324 - Mar. 23) (BR. 03A)
S-3 SCBT FINANCIAL CORP, 520 GERVAIS STREET, COLUMBIA, SC, 29201,
803-231-3581 - 0 ($131,199,500.00) Other, (File 333-180325 - Mar. 23)
(BR. 07B)
S-1 Cryoport, Inc., 225 BROADWAY, SUITE 430, SAN DIEGO, CA, 92101,
(619) 481-6800 - 0 ($13,695,021.00) Equity, (File 333-180326 - Mar. 23)
(BR. 06C)
S-8 GREAT PLAINS ENERGY INC, 1200 MAIN ST., KANSAS CITY, MO, 64106,
8165562200 - 2,000,000 ($40,100,000.00) Equity, (File 333-180327 -
Mar. 23) (BR. 02B)
S-4 W. P. Carey Inc., 50 ROCKEFELLER PLAZA, NEW YORK, NY, 10020,
212-492-1100 - 0 ($2,512,335,179.00) Equity, (File 333-180328 -
Mar. 23) (BR. )
S-3ASR ARCH CAPITAL GROUP LTD., WESSEX HOUSE, 45 REID STREET, HAMILTON, D0,
HM 12, 441-278-9250 - 0 ($0.00) Other, (File 333-180329 - Mar. 23)
(BR. 01B)
S-3ASR NORTHEAST UTILITIES, ONE FEDERAL STREET, BUILDING 111-4, SPRINGFIELD,
MA, 01105, 8606655000 - 0 ($72,540,000.00) Equity, (File 333-180330 -
Mar. 23) (BR. 02A)
S-3 BGC Partners, Inc., 499 PARK AVENUE, NEW YORK, NY, 10022,
212-610-2200 - 0 ($300,000,000.00) Debt, (File 333-180331 - Mar. 23)
(BR. 08C)
S-8 CIENA CORP, 1201 WINTERSON ROAD, LINTHICUM, MD, 21090, 4108658500 -
5,500,000 ($86,735,000.00) Equity, (File 333-180332 - Mar. 23) (BR. 11A)
S-8 CIENA CORP, 1201 WINTERSON ROAD, LINTHICUM, MD, 21090, 4108658500 -
10,714,280 ($168,964,195.60) Equity, (File 333-180333 - Mar. 23)
(BR. 11A)
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
|
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
ACACIA RESEARCH CORP DE 8.01 03/20/12
Acadia Healthcare Company, Inc. DE 5.02,9.01 03/19/12
ADVANCED ENERGY INDUSTRIES INC DE 7.01 03/23/12
AISystems, Inc. 5.02 03/23/12
ALLIANCE DATA SYSTEMS CORP DE 7.01 03/22/12
American Electric Technologies Inc FL 2.02,9.01 03/21/12
American Strategic Minerals Corp NV 1.01,9.01 03/19/12
AMERICAN VANGUARD CORP DE 5.02 03/22/12
AMERIGON INC MI 8.01,9.01 03/23/12
AMKOR TECHNOLOGY INC DE 1.01,2.03,5.02,9.01 03/20/12
ARMSTRONG WORLD INDUSTRIES INC PA 1.01,2.03,7.01,8.01, 03/22/12
9.01
ASHLAND INC. KY 7.01,9.01 03/23/12
ASPEN GROUP, INC. FL 5.02,5.03 03/22/12
ASTORIA FINANCIAL CORP DE 5.02 03/23/12
ATHENA SILVER CORP DE 2.03,9.01 03/18/12
ATHENA SILVER CORP DE 2.03,9.01 03/18/12 AMEND
AURORA DIAGNOSTICS HOLDINGS LLC 2.02,9.01 03/23/12
AUTONATION, INC. DE 5.03,8.01,9.01 03/23/12
AXCESS INTERNATIONAL INC/TX DE 1.01,8.01 02/29/12
Baby Fox International, Inc. NV 1.01,5.01,5.02,9.01 03/23/12
BALL CORP IN 8.01 03/23/12
BERKSHIRE HATHAWAY INC DE 1.04 03/20/12
BERRY PLASTICS CORP DE 9.01 03/23/12 AMEND
BIOHEART, INC. FL 5.02 03/20/12
BioLaser Technology Inc. DE 5.03 03/16/12
BLUE VALLEY BAN CORP KS 2.02,7.01,9.01 03/23/12
BOTETOURT BANKSHARES INC VA 2.02,9.01 03/23/12
BRANDYWINE REALTY TRUST MD 2.01,9.01 03/22/12
BROOKLINE BANCORP INC DE 9.01 01/01/12 AMEND
BRUKER CORP DE 8.01 03/23/12
CALIFORNIA GOLD CORP. NH 1.01,3.02 03/19/12
CAPITAL ONE FINANCIAL CORP DE 8.01,9.01 03/23/12
CARBO CERAMICS INC DE 5.02 03/20/12
CARBON 612 Corp DE 5.02 03/22/12
Cardium Therapeutics, Inc. DE 8.01,9.01 03/20/12
CAROLINA BANK HOLDINGS INC NC 4.01,9.01 03/20/12
CH ENERGY GROUP INC NY 1.01,9.01 03/23/12
CHEESECAKE FACTORY INC DE 8.01,9.01 03/23/12
China Biologic Products, Inc. 5.02,9.01 03/23/12
China Energy Recovery, Inc. DE 1.01 03/20/12
CHINACAST EDUCATION CORP DE 5.02,7.01,9.01 03/19/12
CIB MARINE BANCSHARES INC WI 2.02,9.01 03/23/12
CIENA CORP DE 5.02,5.07,9.01 03/21/12
CITIGROUP INC DE 2.06 03/19/12
Clean Coal Technologies Inc. NV 7.01 03/21/12
Clear Skies Solar, Inc DE 5.02 03/22/12
COMMUNITY HEALTH SYSTEMS INC DE 1.01,2.03,9.01 03/21/12
COMMUNITY WEST BANCSHARES / CA 5.02 03/22/12
COMPLETE GENOMICS INC DE 5.02 03/19/12
CONTINENTAL RESOURCES INC OK 5.02 03/19/12
Converted Organics Inc. DE 1.01,2.03,9.01 03/22/12
Converted Organics Inc. DE 3.02 03/20/12
COOPER COMPANIES INC DE 5.07,9.01 03/20/12
CorMedix Inc. DE 5.02 03/20/12
CORONADO BIOSCIENCES INC DE 1.01,9.01 03/20/12
CREDO PETROLEUM CORP DE 4.02 03/19/12
CURTISS WRIGHT CORP DE 5.02,5.03,8.01,9.01 03/20/12
DARDEN RESTAURANTS INC FL 2.02,9.01 03/23/12
Dialogic Inc. DE 2.02,9.01 03/23/12
Digital Systems, Inc. CO 7.01,9.01 03/20/12
Discover Card Execution Note Trust DE 1.01,8.01,9.01 03/20/12
Dividend Capital Total Realty Trust I 8.01 03/23/12
DJO Finance LLC DE 1.01,2.03,9.01 03/20/12
ECOLOCAP SOLUTIONS INC. NV 7.01,9.01 03/23/12
ECOLOCAP SOLUTIONS INC. NV 1.01,1.02,7.01,9.01 03/23/12
ECOLOCAP SOLUTIONS INC. NV 7.01,9.01 03/23/12 AMEND
ELECTRONIC SYSTEMS TECHNOLOGY INC WA 8.01,9.01 03/23/12
Enterologics, Inc. NV 4.01,9.01 03/19/12 AMEND
Envision Solar International, Inc. NV 1.01,9.01 03/22/12
ES Bancshares, Inc. MD 5.02,9.01 03/20/12
Euramax Holdings, Inc. DE 2.02 03/23/12
Federal Home Loan Bank of Atlanta X1 7.01,8.01,9.01 03/22/12
FIRST COMMUNITY FINANCIAL CORP PA 5.02,9.01 03/22/12
FIRST FINANCIAL HOLDINGS INC /DE/ DE 5.03,9.01 03/22/12
FIRST INTERSTATE BANCSYSTEM INC MT 8.01,9.01 03/23/12
FIRST INTERSTATE BANCSYSTEM INC MT 8.01,9.01 03/23/12
Firsthand Technology Value Fund, Inc. 8.01,9.01 03/23/12
FORWARD AIR CORP TN 5.02 03/23/12
FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 5.05,9.01 03/22/12
Freedom Environmental Services, Inc. DE 4.01 03/21/12
FRISCHS RESTAURANTS INC OH 8.01,9.01 03/22/12
FULTON FINANCIAL CORP PA 5.02,7.01,8.01,9.01 03/23/12
GALECTIN THERAPEUTICS INC NV 1.01,3.01,5.03,8.01, 03/22/12
9.01
GENTA INC DE/ DE 5.02 03/23/12
GEO GROUP INC FL 5.03,9.01 03/21/12
GLEN BURNIE BANCORP MD 5.02 03/19/12
Global Geophysical Services Inc DE 8.01,9.01 03/20/12
Global Geophysical Services Inc DE 7.01,9.01 03/23/12
GOLDEN GLOBAL CORP. NV 1.01,3.02,9.01 03/14/12
Granite Falls Energy, LLC MN 5.07 03/22/12
GRAYSON BANKSHARES INC VA 2.02,9.01 03/19/12
Graystone Co DE 1.01,2.03,3.02,8.01 03/07/12
GREAT PLAINS ENERGY INC MO 8.01,9.01 03/19/12
GREEN MOUNTAIN COFFEE ROASTERS INC DE 5.07 03/22/12
Green Planet Bio Engineering Co. Ltd. 5.01,5.02 03/02/12
GT Advanced Technologies Inc. DE 5.02,9.01 03/19/12
GUIDED THERAPEUTICS INC DE 5.03,9.01 12/31/11
GULFMARK OFFSHORE INC DE 5.02 03/19/12
H&Q HEALTHCARE INVESTORS MA 8.01,9.01 03/23/12
H&Q LIFE SCIENCES INVESTORS MA 8.01,9.01 03/23/12
HAMPSHIRE GROUP LTD DE 2.02,9.01 03/19/12
HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,7.01,9.01 03/23/12
HARTFORD FINANCIAL SERVICES GROUP INC DE 5.02 03/21/12
HARTFORD LIFE INSURANCE CO CT 2.05,8.01 03/21/12
HELMERICH & PAYNE INC DE 7.01,9.01 03/23/12
HEWLETT PACKARD CO DE 5.02,5.03,5.07,7.01, 03/19/12
8.01,9.01
HORIZON BANCORP /IN/ IN 8.01,9.01 03/20/12
HORIZON BANCORP /IN/ IN 5.03,9.01 03/20/12
HORIZON PHARMA, INC. DE 2.02,9.01 03/23/12
Horizon Technology Finance Corp DE 1.01,2.03,9.01 03/23/12
HOST HOTELS & RESORTS, INC. MD 1.01,2.03,9.01 03/22/12
IMAGENETIX INC /NV/ NV 5.02 03/22/12
IMAGING3 INC CA 3.02,5.03,8.01,9.01 03/20/12
IMPERIAL SUGAR CO /NEW/ TX 5.07 03/22/12
IMPLANT SCIENCES CORP MA 5.02,7.01,9.01 03/23/12
INFRASTRUCTURE MATERIALS CORP. DE 1.02,9.01 03/23/12
InfuSystem Holdings, Inc DE 5.02,9.01 03/16/12
INNOCAP INC NV 8.01,9.01 03/22/12
INOVIO PHARMACEUTICALS, INC. 5.02 03/19/12
INTEST CORP DE 8.01 03/21/12
INVIVO THERAPEUTICS HOLDINGS CORP. NV 8.01 03/23/12
iPayment Holdings, Inc DE 2.02,9.01 03/22/12
ISTAR FINANCIAL INC MD 1.01,9.01 03/23/12
JACOBS ENGINEERING GROUP INC /DE/ DE 5.03 03/22/12
JBI, INC. NV 8.01 03/19/12
JOE'S JEANS INC. DE 5.02,9.01 03/19/12
JONES FINANCIAL COMPANIES LLLP MO 3.02 01/01/11
JONES GROUP INC PA 5.03,9.01 03/23/12
KB HOME DE 2.02,9.01 03/23/12
Kearny Financial Corp. X1 8.01,9.01 03/23/12
KEMET CORP DE 8.01,9.01 03/22/12
KIT digital, Inc. DE 5.02 03/18/12
Lantheus Medical Imaging, Inc. DE 1.01,1.02 03/19/12
LAYNE CHRISTENSEN CO DE 2.02,9.01 03/22/12
LEFT BEHIND GAMES INC. WA 7.01,9.01 03/23/12
LEVEL 3 COMMUNICATIONS INC DE 5.02,9.01 03/19/12
LINKEDIN CORP DE 5.02 03/20/12
LIONS GATE ENTERTAINMENT CORP /CN/ A1 8.01 03/22/12
LKQ CORP DE 5.02,9.01 03/21/12
LNB BANCORP INC OH 7.01,9.01 03/23/12
Lone Pine Resources Inc. DE 2.02,7.01,8.01,9.01 03/22/12
LRAD Corp DE 5.07 03/21/12
LRI HOLDINGS, INC. 5.02 03/23/12
MAINLAND RESOURCES INC. 5.03,8.01,9.01 03/23/12
Mandalay Digital Group, Inc. DE 8.01 02/22/12
Market Leader, Inc. WA 8.01 03/22/12
Matador Resources Co TX 2.02,7.01,9.01 03/23/12
MCT HOLDING CORP NV 1.01,2.01,3.02,5.01, 03/22/12
5.02,5.03,9.01
MEADWESTVACO Corp DE 1.01,9.01 03/19/12
MEDCO HEALTH SOLUTIONS INC DE 8.01,9.01 03/22/12
METLIFE INC DE 7.01,9.01 03/23/12
MICHAEL FOODS GROUP, INC. DE 2.02,9.01 03/23/12
MID AMERICA APARTMENT COMMUNITIES INC TN 5.02,9.01 03/20/12
MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA 1.04 03/23/12
MINE SAFETY APPLIANCES CO PA 8.01,9.01 03/23/12
MMRGlobal, Inc. DE 8.01 03/22/12
MOKITA, INC. NV 1.01,9.01 03/15/12
MoSys, Inc. CA 8.01 03/23/12
MYERS INDUSTRIES INC OH 8.01,9.01 03/21/12
MYMETICS CORP DE 5.02 03/22/12
NAVIGATORS GROUP INC DE 5.02,9.01 03/19/12
NETFLIX INC DE 4.01,9.01 03/21/12
NEUROLOGIX INC/DE DE 4.01,9.01 03/02/12
NeuroMetrix, Inc. DE 3.01 03/22/12
NEWS CORP 8.01,9.01 03/23/12
NORTHERN EMPIRE ENERGY CORP. NV 1.01,5.01,5.02,9.01 03/21/12
OCEANEERING INTERNATIONAL INC DE 7.01 03/23/12
OCWEN FINANCIAL CORP FL 7.01,9.01 03/23/12
Omagine, Inc. DE 8.01,9.01 03/23/12
ONCOGENEX PHARMACEUTICALS, INC. DE 7.01,9.01 03/23/12
OPT SCIENCES CORP NJ 5.07 10/28/11
ORIGINOIL INC NV 8.01,9.01 03/23/12
ORION ENERGY SYSTEMS, INC. WI 5.02 03/21/12
ORRSTOWN FINANCIAL SERVICES INC PA 1.01,9.01 03/22/12
OSL HOLDINGS INC. 4.01,9.01 03/02/12 AMEND
OVERLAND STORAGE INC CA 1.01,9.01 03/23/12
OXFORD INDUSTRIES INC GA 5.02,9.01 03/19/12
PACIFICORP /OR/ OR 1.04 03/23/12
Pacira Pharmaceuticals, Inc. DE 5.02,9.01 03/21/12
PEABODY ENERGY CORP DE 7.01 03/23/12
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 5.02 03/21/12
PEOPLES FINANCIAL SERVICES CORP. PA 9.01 03/23/12
Phillips Edison - ARC Shopping Center MD 2.02,9.01 03/23/12
PHOENIX COMPANIES INC/DE DE 5.02 03/20/12
Plandai Biotechnology, Inc. NV 8.01 03/23/12
PLUG POWER INC DE 3.03 03/23/12
PLUG POWER INC DE 1.01,9.01 03/22/12
PNM RESOURCES INC NM 5.02 03/19/12
POWER SOLUTIONS INTERNATIONAL, INC. DE 1.01,2.03,9.01 03/20/12
PREMIER ALLIANCE GROUP, INC. NV 5.02 03/23/12
PROVIDENT FINANCIAL HOLDINGS INC DE 5.07 03/22/12 AMEND
QUEST SOFTWARE INC CA 5.02,8.01 03/20/12
RBS GLOBAL INC DE 5.02 03/19/12
RED MOUNTAIN RESOURCES, INC. FL 7.01,9.01 03/23/12
Regency Energy Partners LP DE 7.01,9.01 03/23/12
Regency Energy Partners LP DE 1.01,7.01,9.01 03/20/12
Resource Real Estate Opportunity REIT MD 1.01,2.01 03/19/12
RIVERVIEW BANCORP INC WA 5.07 03/23/12 AMEND
SAN DIEGO GAS & ELECTRIC CO CA 8.01,9.01 03/19/12
Santander Drive Auto Receivables Trus DE 1.01,9.01 03/21/12
SARATOGA RESOURCES INC /TX TX 5.02,9.01 03/19/12
SCBT FINANCIAL CORP SC 5.02 03/21/12
SCIENTIFIC LEARNING CORP DE 1.01,3.02,9.01 03/22/12
Scio Diamond Technology Corp NV 4.01 03/19/12
SEABOARD CORP /DE/ DE 1.01,5.02 03/22/12
SEALY CORP DE 8.01,9.01 03/23/12
SEMPRA ENERGY CA 8.01,9.01 03/20/12
SEMTECH CORP DE 1.01,2.01,2.03,7.01, 03/20/12
9.01
SHOE CARNIVAL INC IN 5.02,9.01 03/19/12
SHOE CARNIVAL INC IN 8.01,9.01 03/23/12
SIERRA BANCORP CA 5.07 05/25/11 AMEND
SIGNET JEWELERS LTD 5.02,9.01 03/19/12
SKY DIGITAL STORES CORP. NV 1.01,9.01 10/17/11
Smart Kids Group Inc. FL 1.01,8.01,9.01 03/12/12
SMARTPAY EXPRESS, INC. NV 4.01,5.02,9.01 01/10/12 AMEND
Solo Cup CO DE 2.02,9.01 03/23/12
Somaxon Pharmaceuticals, Inc. DE 5.02 03/20/12
Southern National Bancorp of Virginia VA 3.01,9.01 03/20/12
SOUTHWEST GAS CORP CA 1.01,2.03,9.01 03/20/12
SPEEDEMISSIONS INC FL 5.02 03/19/12
SPHERIX INC DE 1.01,9.01 03/05/12
Stevia First Corp. 5.02,9.01 03/19/12
STONE ENERGY CORP DE 7.01,9.01 03/23/12
Stream Global Services, Inc. DE 5.02 03/21/12
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 03/15/12
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 03/15/12
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 03/15/12
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 03/15/12
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 03/15/12
SUNRISE SENIOR LIVING INC DE 2.01,9.01 03/20/12
SYNNEX CORP DE 5.02,5.07 03/19/12
TearLab Corp DE 2.02,9.01 03/22/12
TEREX CORP DE 8.01,9.01 03/22/12
THERAVANCE INC DE 8.01,9.01 03/23/12
Thwapr, Inc. NV 1.01,9.01 03/20/12
Tim Hortons Inc. A6 5.02,7.01,9.01 03/23/12
TOYS R US INC DE 2.02 03/23/12
TREDEGAR CORP VA 5.02 03/19/12
TREE TOP INDUSTRIES, INC. NV 1.02,9.01 03/23/12
TRIDENT MICROSYSTEMS INC DE 8.01,9.01 03/22/12
Trio Merger Corp. DE 8.01,9.01 03/23/12
UNICO AMERICAN CORP NV 2.02,8.01 12/31/11
UNITED PARCEL SERVICE INC DE 1.01,7.01,9.01 03/19/12
UNITED STATES ANTIMONY CORP MT 8.01 03/23/12
UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 1.01,2.03,9.01 03/19/12
VALERO ENERGY CORP/TX DE 7.01,9.01 03/23/12
Valley Commerce Bancorp CA 1.02,3.03,8.01 03/21/12
VERIFONE SYSTEMS, INC. DE 7.01 03/22/12
VERINT SYSTEMS INC DE 7.01,8.01,9.01 03/23/12
Verisk Analytics, Inc. DE 1.01,8.01,9.01 03/23/12
Vican Resources, Inc. NV 1.01,2.01,5.02,5.03, 03/14/12
5.07,9.01
VISTEON CORP DE 8.01,9.01 03/16/12
WABCO Holdings Inc. DE 5.02 03/19/12
WCA WASTE CORP DE 1.01,1.02,2.01,3.01, 03/23/12
3.03,5.01,5.02,8.01,
9.01
Weatherford International Ltd./Switze V8 5.02 03/21/12
WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 03/23/12
Wendy's Co DE 5.02 03/23/12
Winthrop Realty Trust OH 1.01,5.03,8.01,9.01 03/20/12
XENONICS HOLDINGS, INC. NV 1.01,2.03 03/20/12
http://www.sec.gov/news/digest/2012/dig032612.htm
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