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Enforcement proceedingsSEC Charges Stock Promoter in Internet-Based Scalping SchemeThe Securities and Exchange Commission announced today that on July 20, 2012, it filed a civil fraud action against former Connecticut resident Jerry S. Williams, a stock promoter, and two companies that he controlled, Monk’s Den, LLC and First In Awareness, LLC. The Commission charged Williams with running a scalping scheme from which he made over $2.4 million. Scalping is a type of fraud in which the owner of shares of a security recommends that security for investment and then immediately sells it at a profit upon the rise in market price which follows the recommendation. The Commission’s Complaint alleges that from at least early 2009 through at least the end of 2010, Williams recommended two stocks, Cascadia Investments, Inc. and Green Oasis Environmental, Inc., to a large group of potential investors who followed his trading recommendations and strategies. According to the Complaint, Williams, who was known to his followers as “Monk,” used his internet-based message board (called “Monk’s Den”), in-person seminars (called “Monkinars”), and other means to encourage people to buy, hold, and accumulate Cascadia and Green Oasis stock. The Complaint alleges that in fact, unknown to potential investors, Williams had been hired by Cascadia and Green Oasis to promote their stock and had been compensated with millions of free and discounted shares of these stocks. According to the Complaint, Williams secretly sold millions of Cascadia and Green Oasis shares at the same time he was encouraging potential investors to buy, hold and accumulate these stocks. Through this scheme, the Complaint alleges, Williams made over $2.4 million. The Commission’s Complaint charged Williams, First In Awareness, LLC and Monk’s Den, LLC with violating Section 10(b) of the Securities Exchange Act of 1934 and Rules 10b-5(a), (b), and (c) thereunder. The Commission also charged Williams with violating Sections 17(a)(1), 17(a)(2), 17(a)(3) and 17(b) of the Securities Act of 1933 and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The Commission is seeking permanent injunctions, disgorgement, prejudgment interest, and civil penalties against each defendant and, as to Williams only, a penny stock bar. [SEC v. Jerry S. Williams, Monk’s Den, LLC, and First In Awareness, LLC, 3:12-cv-01068, District of Connecticut] (LR-22420) INVESTMENT COMPANY ACT RELEASESP.E. Partners III, LLC, et al.A notice has been issued giving interested persons until August 15, 2012 to request a hearing on an application filed by P.E. Partners III, LLC, et al. for an order to exempt certain limited liability companies formed for the benefit of eligible employees of Latham & Watkins LLP from certain provisions of the Investment Company Act of 1940 (Act). Each company will be an “employees’ securities company” within the meaning of Section 2(a)(13) of the Act. (Rel. IC-30143 – July 20) Credit Suisse Asset Management, LLC, et al.A notice has been issued giving interested persons until August 14, 2012, to request a hearing on an application filed by Credit Suisse Asset Management, LLC, et al. for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The order would (a) permit certain management investment companies registered under the Act to acquire shares of certain open-end management investment companies registered under the Act that are outside the same group of investment companies as the acquiring investment companies, and (b) permit funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30144 – July 20) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX PHLX LLC to establish Managed Data Solution for PHLX Top of Options (SR-Phlx-2012-93) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 23. (Rel. 34-67466) A proposed rule change filed by New York Stock Exchange LLC establishing a fee for television distribution of the NYSE Trades Data Product (SR-NYSE-2012-28) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 23. (Rel. 34-67467) A proposed rule change filed by NASDAQ OMX PHLX LLC to amend exchange rules 1014, 1051, and OFPA F-2 (SR-Phlx-2012-92) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 23. (Rel. 34-67469) A proposed rule change submitted by NASDAQ OMX BX, Inc. (SR-BX-2012-051) relating to routing fees has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 23. (Rel. 34-67474) A proposed rule change submitted by BATS Y-Exchange, Inc. relating to a new BYX rule regarding telemarketing (SR-BYX-2012-014) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 23. (Rel. 34-67476) A proposed rule change submitted by BATS Exchange, Inc. relating to a new BATS rule regarding telemarketing (SR-BATS-2012-028) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 23. (Rel. 34-67477) Proposed Rule ChangeThe Chicago Board Options Exchange, Incorporated filed with the Securities and Exchange Commission a proposed rule change (SR-CBOE-2012-066) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to increase position and exercise limits for EEM options. Publication in the Federal Register is expected during the week of July 23. (Rel. 34-67478) Approval of Proposed Rule ChangeThe Commission approved a proposed rule change submitted by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-042), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to list and trade CBOE S&P 500 AM/PM Basis Options. Publication in the Federal Register is expected during the week of July 23. (Rel. 34-67482) 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-1 Gankit Corp, 5201 MEMORIAL DRIVE, PENTHOUSE, HOUSTON, TX, 77008, 713-510-3559 - 10,000,000 ($100,000.00) Equity, (File 333-182761 - Jul. 20) (BR. 02) S-8 Palo Alto Networks Inc, 3300 OLCOTT STREET, SANTA CLARA, CA, 95054, 408-753-4000 - 25,860,091 ($614,203,122.00) Equity, (File 333-182762 - Jul. 20) (BR. 03A) S-3D INREIT Real Estate Investment Trust, 216 SOUTH BROADWAY, SUITE 202, MINOT, ND, 58701, 701-837-1031 - 2,000,000 ($28,000,000.00) Other, (File 333-182768 - Jul. 20) (BR. 08B) F-3ASR NATIONAL GRID PLC, 1-3 STRAND, LONDON, X0, WC2N 5EH, (44) 207 004 3220 - 0 ($0.00) Non-Convertible Debt, (File 333-182769 - Jul. 20) (BR. 02B) S-1 PLASTER CASTER INC., 1000 COUNTRY CLUB, ANN ARBOR, MI, 48103, 734-686-0137 - 178,000 ($26,700.00) Equity, (File 333-182770 - Jul. 20) (BR. 03B) S-1 Resonance Advisors LLC, 500 WEST 43RD ST, SUITE 37C, NEW YORK, NY, 10036, 646-504-3837 - 40,000 ($1,000,000.00) Equity, (File 333-182772 - Jul. 20) (BR. ) S-8 EnergySolutions, Inc., 423 WEST 300 SOUTH, SUITE 200, SALT LAKE CITY, UT, 84101, 801-649-2000 - 0 ($3,280,000.00) Equity, (File 333-182773 - Jul. 20) (BR. 06B) S-8 ONLINE RESOURCES CORP, 4795 MEADOW WOOD LANE, SUITE 300, CHANTILLY, VA, 20151, 7036533100 - 3,805,858 ($8,772,502.69) Equity, (File 333-182774 - Jul. 20) (BR. 03C) S-8 WIZZARD SOFTWARE CORP /CO, 5001 BAUM BOULEVARD, SUITE 770, PITTSBURGH, PA, 15213, 4126210902 - 3,000,000 ($7,020,000.00) Equity, (File 333-182775 - Jul. 20) (BR. 03B) S-3ASR FOREST OIL CORP, 707 SEVENTEENTH STREET, SUITE 3600, DENVER, CO, 80202, 3038121400 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-182776 - Jul. 20) (BR. 04B) S-8 STANLEY FURNITURE CO INC., 1641 FAIRYSTONE PK HWY, P. O. BOX 30, STANLEYTOWN, VA, 24168, 5406272000 - 1,600,000 ($6,544,000.00) Equity, (File 333-182777 - Jul. 20) (BR. 06B) S-8 ROPER INDUSTRIES INC, 6901 PROFESSIONAL PKWY EAST, SUITE 200, SARASOTA, FL, 34240, 9415562601 - 0 ($1,041,040,000.00) Equity, (File 333-182779 - Jul. 20) (BR. 10B) S-1 POSITIVEID Corp, 1690 SOUTH CONGRESS AVENUE, SUITE 200, DELRAY BEACH, FL, 33445, 561-805-8008 - 34,000,000 ($680,000.00) Equity, (File 333-182780 - Jul. 20) (BR. 11C) S-8 POSITIVEID Corp, 1690 SOUTH CONGRESS AVENUE, SUITE 200, DELRAY BEACH, FL, 33445, 561-805-8008 - 19,000,000 ($380,000.00) Equity, (File 333-182781 - Jul. 20) (BR. 11C) S-3 FREDERICK'S OF HOLLYWOOD GROUP INC /NY/, 6255 SUNSET BOULEVARD, HOLLYWOOD, CA, 90028, 323 466 5151 - 28,405,331 ($11,078,079.09) Debt Convertible into Equity, (File 333-182782 - Jul. 20) (BR. 09B) S-4 Kodiak Oil & Gas Corp, 1625 BROADWAY, SUITE 250, DENVER, CO, 80202, 303-592-8075 - 0 ($800,000,000.00) Debt, (File 333-182783 - Jul. 20) (BR. 04A) N-2 FIDUS INVESTMENT Corp, 1603 ORRINGTON AVENUE, SUITE 820, EVANSTON, IL, 60201, 847-859-3940 - 0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-182785 - Jul. 20) (BR. 22) S-4 Emdeon Inc., 3055 LEBANON PIKE, SUITE 1000, NASHVILLE, TN, 37214, 615-932-3000 - 0 ($750,000,000.00) Debt, (File 333-182786 - Jul. 20) (BR. 02A) S-8 PATRIOT GOLD CORP, 3651 LINDELL ROAD SUITE D, LAS VEGAS, NV, 89103, 702-456-9565 - 3,900,000 ($132,600.00) Equity, (File 333-182787 - Jul. 20) (BR. 09A) 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 11 GOOD ENERGY INC DE 5.02,8.01 07/16/12 ACADIA PHARMACEUTICALS INC DE 1.02 07/18/12 Accenture plc L2 5.02 07/19/12 ACCENTURE SCA 5.02 07/19/12 ACME UNITED CORP CT 2.02,9.01 07/20/12 ACTIVECARE, INC. DE 1.01,3.02,5.02,9.01 07/20/12 ALBANY INTERNATIONAL CORP /DE/ DE 2.02,9.01 07/19/12 ALBANY INTERNATIONAL CORP /DE/ DE 9.01 06/29/12 AMEND AlphaPoint Technology, Inc. DE 8.01 07/16/12 AMERICAN ELECTRIC POWER CO INC NY 2.02,9.01 07/20/12 AMERICAN EXPRESS CO NY 5.02,9.01 07/20/12 AMERICAN LEARNING Corp NY 3.01,9.01 07/19/12 AMERICAN NATIONAL BANKSHARES INC VA 2.02,9.01 07/20/12 AMERISTAR CASINOS INC NV 1.01,9.01 07/18/12 Amincor, Inc. NV 1.02 07/20/12 Anchor Bancorp WA 2.02,9.01 07/20/12 ANDAIN, INC. NV 1.01,3.02,9.01 07/20/12 AMEND Anthera Pharmaceuticals Inc DE 1.01,9.01 07/19/12 ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 07/20/12 Apollo Global Management LLC DE 5.02,8.01,9.01 07/19/12 ARKANOVA ENERGY CORP. NV 1.01,5.02,9.01 07/17/12 ARROW FINANCIAL CORP NY 2.02,9.01 07/20/12 AUBURN NATIONAL BANCORPORATION, INC DE 2.02,9.01 07/20/12 AUTOBYTEL INC DE 5.02 07/17/12 AUTOLIV INC DE 2.02,7.01,9.01 07/20/12 AUXILIUM PHARMACEUTICALS INC 1.01,2.03 07/16/12 AV Homes, Inc. DE 1.01,2.03,3.02,9.01 07/19/12 BAKER HUGHES INC DE 2.02,7.01,9.01 07/20/12 BANK MUTUAL CORP WI 2.02 07/19/12 Baron Energy Inc. NV 3.02,5.02 07/16/12 BB&T CORP NC 8.01 07/20/12 BillMyParents, Inc. CO 1.01,3.02,9.01 07/19/12 BIOCANCELL THERAPEUTICS INC. 5.07,8.01 07/16/12 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 8.01 07/20/12 BRAINSTORM CELL THERAPEUTICS INC 1.01,9.01 07/17/12 BROADVIEW NETWORKS HOLDINGS INC DE 1.01,9.01 07/18/12 Buckingham Exploration Inc. NV 3.02 07/20/12 CANO PETROLEUM, INC 7.01,9.01 07/20/12 CANO PETROLEUM, INC 1.03,3.03,5.02,9.01 07/16/12 Capitol Federal Financial Inc MD 7.01,9.01 07/20/12 CD INTERNATIONAL ENTERPRISES, INC. FL 8.01,9.01 07/18/12 CENTERLINE HOLDING CO DE 1.01 07/16/12 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 07/19/12 CHC Helicopter S.A. N4 5.02 07/16/12 CHENIERE ENERGY INC DE 1.01,7.01,9.01 07/20/12 Cheniere Energy Partners, L.P. DE 8.01,9.01 07/20/12 CHINA HGS REAL ESTATE INC. F4 8.01 07/20/12 CIT GROUP INC DE 8.01,9.01 07/20/12 CNB FINANCIAL CORP/PA PA 2.02,9.01 07/19/12 COLONY BANKCORP INC GA 2.02,9.01 07/20/12 COMMUNITY BANK SHARES OF INDIANA INC IN 2.02,5.03,9.01 07/17/12 Compressco Partners, L.P. DE 8.01,9.01 07/19/12 CONAGRA FOODS INC /DE/ DE 5.02 07/16/12 Converted Organics Inc. DE 3.02 07/19/12 CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 07/20/12 DEL TORO SILVER CORP. NV 1.01,3.02,9.01 07/16/12 DELTA PETROLEUM CORP/CO CO 1.01,5.02 07/13/12 DGSE COMPANIES INC NV 1.01,1.02,2.03,8.01, 07/19/12 9.01 Digital Development Group Corp NV 5.02,7.01,9.01 05/08/12 DIMECO INC PA 2.02,9.01 07/20/12 DISH Network CORP NV 8.01,9.01 07/19/12 DONEGAL GROUP INC DE 7.01,9.01 07/20/12 DURECT CORP DE 8.01 07/18/12 EASTERN VIRGINIA BANKSHARES INC VA 2.02,9.01 07/20/12 EBAY INC DE 7.01,9.01 07/19/12 EMCLAIRE FINANCIAL CORP PA 2.02,9.01 07/20/12 EMMIS COMMUNICATIONS CORP IN 1.01,9.01 07/20/12 EMPIRE ENERGY CORP UT 8.01,9.01 07/10/12 Enduro Royalty Trust DE 2.02,9.01 07/20/12 Engility Holdings, Inc. DE 1.01,2.03,5.01,5.02, 07/16/12 5.03,8.01,9.01 ENTERPRISE BANCORP INC /MA/ MA 2.02,9.01 07/19/12 ESTEE LAUDER COMPANIES INC DE 5.02,9.01 07/18/12 Ever-Glory International Group, Inc. FL 2.02,9.01 07/14/12 EVEREST RE GROUP LTD D0 5.02,9.01 07/12/12 Exelis Inc. IN 8.01,9.01 07/20/12 F&M BANK CORP VA 2.02,9.01 07/20/12 Federal Home Loan Bank of Pittsburgh PA 2.02,7.01 07/20/12 FIDELITY BANCORP INC PA 1.01,8.01,9.01 07/19/12 FIDELITY BANCORP INC PA 8.01,9.01 07/20/12 FIRST ACCEPTANCE CORP /DE/ DE 5.02 07/16/12 FIRST HORIZON NATIONAL CORP TN 2.02,9.01 07/20/12 FIRST HORIZON NATIONAL CORP TN 7.01,9.01 07/20/12 FIRST M&F CORP/MS MS 2.02,9.01 07/19/12 FIRSTFED FINANCIAL CORP DE 8.01,9.01 07/16/12 FIRSTMERIT CORP /OH/ OH 5.02 07/19/12 FS Energy & Power Fund DE 2.02,9.01 07/20/12 FS Investment CORP MD 2.02,9.01 07/20/12 FS Investment Corp II MD 2.02,9.01 07/20/12 GATX CORP NY 5.02 07/20/12 GENERAL CABLE CORP /DE/ DE 5.02,8.01,9.01 07/17/12 GENERAL ELECTRIC CAPITAL CORP CT 8.01,9.01 07/20/12 GENERAL ELECTRIC CO NY 2.02,9.01 07/20/12 GILEAD SCIENCES INC DE 1.01 07/18/12 GLIMCHER REALTY TRUST MD 2.02,9.01 07/19/12 Global Arena Holding, Inc. DE 1.01,3.02,9.01 07/13/12 GLOWPOINT, INC. DE 5.02 07/19/12 GOLDFIELD CORP DE 1.01,2.03,9.01 07/16/12 GOLDMAN SACHS GROUP INC DE 9.01 07/17/12 Green Ballast, Inc. DE 1.02,9.01 07/16/12 GREENE COUNTY BANCORP INC DE 8.01,9.01 07/18/12 GREENHILL & CO INC DE 2.02,9.01 07/18/12 HD SUPPLY, INC. DE 8.01,9.01 07/20/12 HEALTHCARE TRUST OF AMERICA, INC. MD 1.01,2.03,7.01,9.01 07/20/12 HEALTHSTREAM INC TN 1.01,2.03,9.01 07/19/12 HEARTLAND EXPRESS INC NV 2.02,9.01 07/19/12 Horsehead Holding Corp 1.01,7.01,9.01 07/19/12 HOSPITALITY PROPERTIES TRUST MD 1.01 07/16/12 HSBC USA INC /MD/ MD 9.01 07/20/12 HUB GROUP INC DE 2.02,9.01 06/30/12 HUGOTON ROYALTY TRUST TX 2.02,9.01 07/20/12 HYUNDAI ABS FUNDING CORP DE 1.01,9.01 07/19/12 IDEXX LABORATORIES INC /DE DE 2.02,9.01 07/20/12 IDT CORP DE 7.01,9.01 07/19/12 Imperial Holdings, Inc. 5.02,8.01 07/18/12 IMPERVA INC DE 5.02,9.01 07/19/12 INDEPENDENCE TAX CREDIT PLUS LP IV DE 4.01,9.01 07/16/12 INDEPENDENT BANK CORP MA 8.01,9.01 07/17/12 INFORMATICA CORP DE 5.02 07/19/12 Ingersoll-Rand plc L2 2.02,9.01 07/20/12 INTEGRATED DEVICE TECHNOLOGY INC DE 2.01,9.01 07/19/12 iSatori, Inc. DE 1.01,1.02,2.03,9.01 07/16/12 ISLE OF CAPRI CASINOS INC DE 5.02 07/19/12 J2 GLOBAL, INC. DE 8.01,9.01 07/19/12 JA Energy NV 3.02 07/17/12 JOHNSON & JOHNSON NJ 8.01,9.01 07/16/12 KB HOME DE 5.02 07/18/12 KEY ENERGY SERVICES INC MD 5.03,8.01,9.01 07/19/12 Kiwibox.Com, Inc. DE 7.01,9.01 07/20/12 Kodiak Oil & Gas Corp B0 9.01 01/10/12 AMEND KV PHARMACEUTICAL CO /DE/ DE 3.01,9.01 07/16/12 L 3 COMMUNICATIONS HOLDINGS INC DE 1.01,2.01,9.01 07/16/12 LANDEC CORP \CA\ CA 5.02 07/19/12 LEHMAN ABS CORP HSBC DEBENTURE BACKED DE 8.01,9.01 07/16/12 LEHMAN ABS CORP PRUDENTIAL FINANCIAL DE 8.01,9.01 07/16/12 LENNAR CORP /NEW/ DE 8.01,9.01 07/17/12 LEVIATHAN MINERALS GROUP INC. DE 5.02 06/15/12 LIBERTY STAR URANIUM & METALS CORP. NV 8.01,9.01 07/05/12 LIBERTY STAR URANIUM & METALS CORP. NV 1.01,3.02,9.01 07/13/12 LIMITED BRANDS INC DE 5.03,9.01 07/19/12 LODGENET INTERACTIVE CORP DE 2.02,9.01 07/19/12 MAGELLAN PETROLEUM CORP /DE/ DE 5.02 07/20/12 MANPOWER INC /WI/ WI 2.02,9.01 07/20/12 MASSEY EXPLORATION CORP. NV 5.02 07/20/12 MATERIAL SCIENCES CORP DE 4.01,9.01 07/20/12 MATTHEWS INTERNATIONAL CORP PA 2.02,9.01 07/19/12 MCDONALDS CORP DE 5.03,7.01,9.01 07/19/12 McEwen Mining Inc. CO 7.01,9.01 07/19/12 MEDISAFE 1 TECHNOLOGIES CORP DE 3.02,5.03 07/10/12 MEDTOX SCIENTIFIC INC DE 8.01,9.01 07/20/12 MetroCorp Bancshares, Inc. TX 2.02,9.01 07/20/12 Mobile Integrated Systems, Inc. NV 5.02 07/03/12 MODINE MANUFACTURING CO WI 5.07 07/19/12 MOLEX INC DE 8.01,9.01 07/20/12 MONEYGRAM INTERNATIONAL INC 8.01 07/19/12 MoSys, Inc. DE 2.02,9.01 07/20/12 MS STRUCTURED TILES SERIES 2005-1 DE 8.01,9.01 07/18/12 MusclePharm Corp NV 1.01,3.02,9.01 07/13/12 MusclePharm Corp NV 1.01,2.03,9.01 07/13/12 NABI BIOPHARMACEUTICALS DE 8.01 07/20/12 NEUTRA CORP. FL 5.02 06/20/12 Newport Bancorp Inc 2.02,9.01 07/20/12 NEWS CORP 8.01,9.01 07/20/12 NORTHWEST BIOTHERAPEUTICS INC DE 1.01,2.03,3.02 07/16/12 Novus Robotics Inc. NV 5.03,9.01 07/18/12 OCCIDENTAL PETROLEUM CORP /DE/ DE 5.02,9.01 07/20/12 OCEANFIRST FINANCIAL CORP DE 2.02,8.01 07/20/12 OLD NATIONAL BANCORP /IN/ IN 8.01 07/20/12 OMNICOM GROUP INC NY 1.01,9.01 07/20/12 ONYX PHARMACEUTICALS INC DE 8.01,9.01 07/20/12 ONYX PHARMACEUTICALS INC DE 8.01,9.01 07/20/12 AMEND Orbitz Worldwide, Inc. DE 9.01 06/12/12 AMEND OSHKOSH CORP WI 5.03,9.01 07/16/12 OSHKOSH CORP WI 5.02 06/06/12 AMEND Pacific Coast Oil Trust DE 2.02,9.01 07/20/12 PANTRY INC DE 8.01,9.01 07/20/12 PAREXEL INTERNATIONAL CORP MA 5.02 07/18/12 PATRIOT GOLD CORP NV 1.01,5.02,9.01 07/09/12 PAWS Pet Company, Inc. IL 5.03,9.01 07/20/12 PCS EDVENTURES COM INC ID 2.03,9.01 07/16/12 PEERLESS SYSTEMS CORP DE 5.02 07/17/12 PENSON WORLDWIDE INC DE 5.02 07/16/12 People's United Financial, Inc. DE 2.02,8.01,9.01 07/19/12 PEPSICO INC NC 5.02,8.01 07/19/12 PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 07/20/12 PHAZAR CORP DE 5.02,9.01 07/19/12 Poage Bankshares, Inc. MD 8.01,9.01 07/18/12 Premier Brands, Inc. WY 5.02 07/16/12 PROGRESS SOFTWARE CORP /MA MA 5.02,9.01 07/16/12 Q LOTUS HOLDINGS INC NV 1.01,2.03,9.01 07/10/12 RESPONSE GENETICS INC 3.01 07/20/12 RETAIL PROPERTIES OF AMERICA, INC. MD 5.03,9.01 07/20/12 RIVER VALLEY BANCORP IN 2.02,9.01 07/17/12 RLI CORP IL 7.01,9.01 07/19/12 SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 07/20/12 SCHLUMBERGER LTD /NV/ P8 5.03,9.01 07/19/12 SCHLUMBERGER LTD /NV/ P8 2.02,7.01,9.01 07/20/12 SEARS HOLDINGS CORP DE 5.02 07/19/12 SECURITY FEDERAL CORP SC 5.07 07/19/12 Sensata Technologies Holding N.V. P7 5.02,9.01 07/20/12 SENSIENT TECHNOLOGIES CORP WI 2.02,9.01 07/20/12 Sierra Income Corp MD 8.01,9.01 06/29/12 SIMMONS FIRST NATIONAL CORP AR 8.01,9.01 07/20/12 SINCLAIR BROADCAST GROUP INC MD 1.01,7.01,8.01,9.01 07/17/12 SLM Student Loan Trust 2005-5 8.01 07/20/12 SLM Student Loan Trust 2005-8 8.01 07/20/12 Solera National Bancorp, Inc. DE 5.07 07/19/12 Somaxon Pharmaceuticals, Inc. DE 1.01,9.01 07/19/12 STAAR SURGICAL CO DE 2.02,9.01 07/19/12 Standard Financial Corp. MD 2.02,8.01,9.01 07/19/12 STAR GAS PARTNERS LP DE 1.01,5.02,9.01 07/19/12 STEC, INC. CA 8.01,9.01 07/19/12 STEWARDSHIP FINANCIAL CORP NJ 8.01,9.01 07/19/12 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01 07/19/12 STRUCTURED PRODUCTS CORP TIERS PRI PR DE 8.01,9.01 07/16/12 SunCoke Energy, Inc. 5.07 05/10/12 AMEND SUNTRUST BANKS INC GA 2.02,7.01,9.01 07/20/12 SYNALLOY CORP DE 2.02,9.01 07/20/12 T3 Motion, Inc. DE 5.02,9.01 07/17/12 TACTICAL AIR DEFENSE SERVICES, INC. 1.01,7.01,9.01 07/03/12 TACTICAL AIR DEFENSE SERVICES, INC. 1.01,7.01,9.01 07/12/12 TALBOTS INC DE 1.01,9.01 07/20/12 TESORO LOGISTICS LP DE 7.01,9.01 07/20/12 TETRA TECHNOLOGIES INC DE 1.01,9.01 07/18/12 THOR INDUSTRIES INC DE 5.02,9.01 07/18/12 TRANZYME INC DE 1.02 07/19/12 TRIUMPH GROUP INC DE 5.02,5.03,5.07,9.01 07/19/12 TRX INC/GA GA 1.01 07/19/12 Uni-Pixel DE 8.01 07/20/12 UNION BANKSHARES INC VT 2.02,8.01,9.01 07/18/12 UNION FIRST MARKET BANKSHARES CORP VA 5.02,9.01 07/17/12 United Financial Bancorp, Inc. 2.02,9.01 07/20/12 UNIVERSAL SECURITY INSTRUMENTS INC MD 1.01,9.01 07/19/12 UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 2.02,9.01 07/19/12 Upstream Worldwide, Inc. DE 5.02 07/18/12 USA TRUCK INC DE 2.02,9.01 07/19/12 Venoco, Inc. DE 1.01,9.01 07/19/12 ViewPoint Financial Group Inc. 8.01,9.01 07/20/12 Vringo Inc DE 1.01,1.02,2.01,2.03, 07/19/12 3.03,5.01,5.07,8.01, 9.01 Vringo Inc DE 5.02,7.01,9.01 07/19/12 WALTER INVESTMENT MANAGEMENT CORP MD 1.01 07/20/12 WARWICK VALLEY TELEPHONE CO NY 5.02,9.01 07/17/12 WELLS REAL ESTATE INVESTMENT TRUST II MD 5.07 07/18/12 WESBANCO INC WV 1.01,7.01,8.01,9.01 07/19/12 Western Union CO DE 5.02,9.01 07/20/12 Westpoint Energy, Inc. NV 8.01,9.01 07/13/12 WORTHINGTON ENERGY, INC. NV 8.01,9.01 07/20/12 XEROX CORP NY 2.02,9.01 07/20/12 XILINX INC DE 5.02 07/16/12
http://www.sec.gov/news/digest/2012/dig072312.htm
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