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Enforcement proceedingsSEC Brings Fraud and Insider Trading Charges Against Three Former WellCare ExecutivesOn January 9, 2012, the Securities and Exchange Commission (Commission) filed a civil injunctive action against three former executives of WellCare Health Plans, Inc. (WellCare), a managed care services company that administers federal government-sponsored health care programs. According to the Commission’s complaint, from 2003 to 2007, Todd Farha, former Chief Executive Officer, Paul Behrens, former Chief Financial Officer, and Thaddeus Bereday, former General Counsel, (collectively, the Defendants), devised and carried out a fraudulent scheme that deceived the Florida Agency for Health Care Administration (AHCA) and the Florida Healthy Kids Corporation (Healthy Kids) by improperly retaining over $40 million in health care premiums the company was statutorily and contractually obligated to spend on certain health care services or reimburse to the state agencies. As a result of the scheme, WellCare recorded the retained amount as revenue, which materially inflated its net income and diluted earnings per share (EPS) in its public financial statements. As alleged in the complaint, WellCare received premiums from AHCA and Healthy Kids that WellCare was required, by contract and by statute, to spend on certain eligible health care services for low-income plan participants. If WellCare spent less than a certain percentage of the premiums on eligible health care services, it was required to refund some or all of the difference to the State of Florida. According to the complaint, the Defendants devised a scheme to evade the state’s regulatory framework and fraudulently retain the premiums by, among other methods, funneling the premiums through an internal subsidiary and by applying administrative and other non-allowable expenses in their calculation of money spent on health care services. In total, through their fraudulent conduct, the complaint alleges that WellCare reduced the refunds it paid to AHCA by approximately $35 million and to Healthy Kids by approximately $6 million. The excess premiums retained by the Defendants went straight to WellCare’s bottom line. WellCare materially misstated its net income and EPS in filings with the Commission and in quarterly and annual earnings releases from 2004-2006 and the first two quarters of 2007. On January 26, 2009, WellCare filed its Form 10-K for 2007 and restated its financial results for those time periods. The Restatement reduced WellCare’s reported net income and EPS by approximately 14% for fiscal year (FY) 2004, 9% for FY 2005, 13% for FY 2006, and 9% for the first quarter of FY 2007. The Commission’s complaint also alleges that, after setting their fraudulent scheme in motion, the Defendants sold approximately 1.6 million WellCare shares into the public market for gross proceeds of approximately $91 million. The Commission alleges that the Defendants sold these shares on the basis of the material, nonpublic information that they were conducting a fraudulent scheme that impacted WellCare’s financial results, caused false and misleading statements, and imperiled the Company’s business relationship with the State of Florida. According to the complaint, the Defendants sold the shares pursuant to 10b5-1 trading plans that were created and amended in bad faith, and through three public stock offerings conducted while the scheme was ongoing. Based on the conduct alleged in the complaint, the Commission charges that each of the Defendants violated antifraud provisions Section 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act”) and Exchange Act Rule 10b-5, and also violated Exchange Act Section 13(b)(5) and Exchange Act Rule 13b2-1. All of the Defendants are also charged with aiding and abetting WellCare’s violations of reporting, books and records, and internal controls provisions, namely, Sections (13)(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Exchange Act Rules 12b-20, 13a-1, 13a-11 and 13a-13. Bereday is charged with aiding and abetting Farha’s and Behrens’ violations of antifraud provisions Section 10(b) and Rule 10b-5(b) of the Exchange Act. Finally, Farha and Behrens are charged with violating Exchange Act Rules 13b2-2 and 13a-14, and Section 304(a) of Sarbanes-Oxley, which requires that the CEO or CFO of a company that restates its financial results to reimburse the company any incentive-based or equity-based compensation received and any profits realized from the sale of the company’s stock during the 12-month period following initial issuance of the misleading financial statements. As to each Defendant, the Commission is seeking a judgment permanently enjoining them from violating the provisions of the securities laws specified above, civil penalties, disgorgement of ill-gotten gains with prejudgment interest, and officer and director bars. As to Farha and Behrens, the Commission seeks reimbursement of incentive-based and equity-based compensation pursuant to Section 304(a) of Sarbanes-Oxley. In conducting its investigation, the Commission acknowledges assistance from the U.S. Attorney’s Office for the Middle District of Florida, the Office of Inspector General for the Department of Health and Human Services and the Federal Bureau of Investigation. [SEC v. Todd Farha, et al., Civil Action No. 8:12-cv-00047-SDM-MAP (M.D. Fla.)] (LR-22221; AAE Rel. 3353) Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX BX, Inc. to remove references to the Russell® 2000 Index (RUT) (SR-BX-2012-001) 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 January 9. (Rel. 34-66116) A proposed rule change filed by the Chicago Stock Exchange, Inc. (SR-CHX-2011-33) to add a rule regarding the Brokerplex order entry, recordation, and management system 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 January 9. (Rel. 34-66118) A proposed rule change submitted by BATS Exchange, Inc. (SR-BATS-2011-053) related to fees for use of BATS Exchange, Inc. 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 January 9. (Rel. 34-66120) A proposed rule change submitted by The Nasdaq Stock Market LLC (SR-NASDAQ-2012-001) relating to routing fees has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 9. (Rel. 34-66121) Proposed Rule ChangeChicago Board Options Exchange, Incorporated filed a proposed rule change (SR-CBOE-2011-126) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to the CBOE Stock Exchange Request for Quote rules. Publication is expected in the Federal Register during the week of January 9. (Rel. 34-66119) Notice of Designation of a Longer Period For Commission ActionThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on proposed rule change (SR-FICC-2008-01) filed by Fixed Income Clearing Corporation (FICC) Mortgage-Backed Securities Division (MBSD) to allow the MBSD to provide guaranteed settlement and central counterparty services. Publication is expected in the Federal Register during the week of January 9. (Rel. 34-66124) 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-3ASR ATWOOD OCEANICS INC, 15835 PARK TEN PL DR, SUITE 200, HOUSTON, TX, 77084, 2817497845 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-178937 - Jan. 9) (BR. 04A) N-2 SPECIAL OPPORTUNITIES FUND, INC., C/O US BANCORP FUND SERVICES, LLC, 615 EAST MICHIGAN AVENUE, MILWAUKEE, WI, 53202, 414-765-5088 - 0 ($1,000,000.00) Equity, (File 333-178943 - Jan. 9) (BR. 17) S-3ASR LINCOLN NATIONAL CORP, 150 N RADNOR CHESTER RD, RADNOR, PA, 19087, 4845831475 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-178946 - Jan. 9) (BR. 01A) S-8 XENOPORT INC, 3410 CENTRAL EXPRESSWAY, SANTA CLARA, CA, 95051, 4086167200 - 1,673,764 ($6,527,679.60) Equity, (File 333-178947 - Jan. 9) (BR. 01B) 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 ACACIA RESEARCH CORP DE 8.01 01/05/12 ACORDA THERAPEUTICS INC 2.02,8.01,9.01 01/09/12 ACUITY BRANDS INC DE 2.02 01/09/12 ADCARE HEALTH SYSTEMS INC OH 1.01,9.01 01/03/12 ADHEREX TECHNOLOGIES INC 8.01 01/09/12 AEHR TEST SYSTEMS CA 5.02,5.03 01/03/12 AETNA INC /PA/ PA 2.02,7.01 01/09/12 Allezoe Medical Holdings Inc DE 1.01,2.01,9.01 01/05/12 ALNYLAM PHARMACEUTICALS, INC. 2.02,9.01 01/08/12 AlphaPoint Technology, Inc. DE 5.02 01/03/12 AMAG PHARMACEUTICALS INC. DE 2.02,7.01,9.01 01/09/12 AMERICAN BILTRITE INC DE 3.01,9.01 01/05/11 American Realty Capital Daily Net Ass MD 2.01,8.01,9.01 01/05/12 AMERIGAS PARTNERS LP DE 8.01,9.01 01/05/12 AMICUS THERAPEUTICS INC DE 8.01,9.01 01/09/12 Ampio Pharmaceuticals, Inc. DE 7.01 01/09/12 APRICUS BIOSCIENCES, INC. NV 1.01,9.01 01/09/12 AQUENTIUM INC DE 4.01,9.01 12/14/11 AMEND Ardea Biosciences, Inc./DE DE 7.01,9.01 01/09/12 ARIBA INC DE 5.02,9.01 01/08/12 ARTS WAY MANUFACTURING CO INC DE 2.02,7.01,8.01,9.01 01/09/12 ARTS WAY MANUFACTURING CO INC DE 9.01 01/09/12 AMEND Augme Technologies, Inc. DE 2.02,7.01,9.01 01/09/12 AUTONATION, INC. DE 7.01,9.01 01/09/12 AUXILIUM PHARMACEUTICALS INC 2.02,7.01,9.01 01/09/12 AVEO PHARMACEUTICALS INC DE 2.02,7.01,9.01 01/09/12 AVI BIOPHARMA INC OR 7.01 01/09/12 AVIAT NETWORKS, INC. DE 2.02,9.01 01/09/12 AVISTA CORP WA 8.01 01/05/12 AZZ INC TX 2.02,8.01,9.01 01/09/12 BE AEROSPACE INC DE 1.01,8.01,9.01 01/09/12 BENCHMARK ELECTRONICS INC TX 2.02,9.01 01/09/12 BEST BUY CO INC MN 7.01 01/09/12 BIOMARIN PHARMACEUTICAL INC DE 1.01,2.03 01/06/12 BIOSPECIFICS TECHNOLOGIES CORP DE 7.01,9.01 01/09/11 BRINKS CO VA 1.01,2.03,7.01,9.01 01/06/12 BRISTOL MYERS SQUIBB CO DE 8.01,9.01 01/07/12 BRUKER CORP DE 2.02,7.01,9.01 01/09/12 BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 01/09/12 CADENCE PHARMACEUTICALS INC 7.01,9.01 01/09/12 CAESARS ENTERTAINMENT Corp DE 5.02,9.01 01/04/12 CAI International, Inc. 8.01 01/09/12 CAREFUSION Corp 2.02,7.01,9.01 01/09/12 CELGENE CORP /DE/ DE 2.02,9.01 01/09/12 CHAMPION INDUSTRIES INC WV 3.01 01/09/12 CHEESECAKE FACTORY INC DE 5.02 01/05/12 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 01/09/12 CHESAPEAKE ENERGY CORP OK 2.02,7.01,8.01,9.01 01/03/12 CHINA YIDA HOLDING, CO. 5.02 01/06/12 CHRISTOPHER & BANKS CORP DE 5.03,8.01,9.01 01/06/12 CIG WIRELESS CORP. NV 1.01 12/29/11 CIRRUS LOGIC INC DE 2.02,9.01 01/09/12 ClubCorp Club Operations, Inc. DE 1.01,2.03,9.01 01/05/12 Cogdell Spencer Inc. MD 5.02 01/05/12 COLORADO GOLDFIELDS INC. NV 5.03 01/09/12 Command Center, Inc. WA 1.01,2.01,2.03,3.02, 01/04/12 8.01,9.01 CONNECTICUT LIGHT & POWER CO CT 5.03,9.01 01/03/12 Converted Organics Inc. DE 3.02 01/03/12 CORNERSTONE REALTY FUND LLC CA 5.02 01/03/12 CRAY INC WA 2.02,9.01 01/05/12 CROSS A T CO RI 2.02 01/09/12 CYTOMEDIX INC DE 7.01,9.01 01/09/12 DCP Midstream Partners, LP DE 1.01,2.01,2.03,3.02, 01/03/12 7.01,9.01 DEBT RESOLVE INC DE 4.01,9.01 01/05/12 AMEND DENNYS CORP DE 2.02,9.01 01/09/12 DEPOMED INC CA 7.01,9.01 01/09/12 diaDexus, Inc. DE 2.02,8.01,9.01 01/09/12 DIAMOND OFFSHORE DRILLING INC DE 8.01,9.01 01/09/12 Diamond Ranch Foods, Ltd., NEW NV 5.03,8.01 01/05/12 Discovery Communications, Inc. DE 5.02 01/09/12 DIXIE GROUP INC TN 7.01,9.01 01/09/12 DOUBLE CROWN RESOURCES INC. NV 3.02,5.02,9.01 01/09/12 Double Eagle Holdings, Ltd. NV 3.02 01/09/12 Duke Energy CORP DE 8.01 01/08/12 DYNEGY INC. DE 5.02,9.01 01/05/12 ecoTECH Energy Group Inc. NV 1.01,7.01 12/23/11 AMEND ELITE PHARMACEUTICALS INC /DE/ DE 3.03,9.01 01/05/12 EMC INSURANCE GROUP INC IA 1.01,9.01 01/03/12 EMULEX CORP /DE/ DE 2.02,9.01 01/09/12 ENCISION INC CO 5.02 01/04/12 ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 01/09/12 Energy Transfer Partners, L.P. DE 8.01,9.01 11/07/11 AMEND Enertopia Corp. NV 1.01,9.01 01/09/11 EPICEPT CORP 3.03,9.01 01/09/12 EQUITY RESIDENTIAL MD 1.01,2.03,9.01 01/06/12 FIRST BUSEY CORP /NV/ NV 8.01 01/09/12 FIRST CITIZENS BANC CORP /OH OH 8.01 01/06/12 FIRST FINANCIAL BANKSHARES INC TX 5.07 04/26/11 AMEND FLOTEK INDUSTRIES INC/CN/ DE 7.01,9.01 01/06/12 FOOTSTAR INC DE 5.02 01/05/12 FORCE FUELS INC. 5.02 01/03/12 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 01/09/12 FORMCAP CORP. NV 5.02 01/09/12 GALECTIN THERAPEUTICS INC NV 7.01,9.01 01/09/12 Genesis Biopharma, Inc NV 5.02,9.01 01/09/12 GENESIS ENERGY LP DE 2.01,7.01,9.01 01/03/12 GENUINE PARTS CO GA 5.02,9.01 01/09/12 Giggles N' Hugs, Inc. NV 2.01,3.02,5.01,5.02, 12/30/11 AMEND 5.06,9.01 Global Pharm Holdings Group, Inc. DE 1.01,5.02,9.01 01/09/12 GOLDFIELD CORP DE 1.01,2.03,5.02,9.01 01/03/12 GOLDMAN SACHS GROUP INC DE 8.01 01/09/12 Griffin-American Healthcare REIT II, MD 7.01,8.01,9.01 01/09/12 HALOZYME THERAPEUTICS INC DE 7.01,9.01 01/09/12 HARDINGE INC NY 7.01,9.01 01/09/12 HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 01/09/12 HEALTH NET INC DE 1.01 01/09/12 HEALTH NET INC DE 7.01,9.01 01/09/12 HeartWare International, Inc. DE 2.02,7.01,9.01 01/09/12 Helios & Matheson Information Technol DE 8.01 01/03/12 HELMERICH & PAYNE INC DE 7.01,9.01 01/09/12 HENRY JACK & ASSOCIATES INC DE 5.02,9.01 01/05/12 HENRY JACK & ASSOCIATES INC DE 5.02,9.01 01/05/12 AMEND HICKOK INC OH 1.01,2.03,5.02,9.01 01/09/12 HUMAN GENOME SCIENCES INC DE 2.02,7.01,9.01 01/09/12 IDENIX PHARMACEUTICALS INC DE 8.01,9.01 01/09/12 IMPAX LABORATORIES INC DE 7.01,9.01 01/09/12 Imperial Holdings, Inc. 8.01 01/03/12 INFINITY PHARMACEUTICALS, INC. DE 7.01,8.01,9.01 01/04/12 INFOSPACE INC DE 1.01,7.01,9.01 01/07/12 INNERWORKINGS INC 9.01 10/24/11 AMEND JOSHUA GOLD RESOURCES INC NV 5.02 11/14/11 JUNIPER NETWORKS INC DE 2.02 01/09/12 KRAFT FOODS INC VA 5.02,8.01 01/09/12 LECROY CORP DE 2.02,8.01,9.01 01/09/12 LEHMAN ABS CORP BACKED TR CERT FED EX DE 8.01,9.01 01/03/12 LEUCADIA NATIONAL CORP NY 5.02,9.01 01/09/12 LKQ CORP DE 7.01 01/09/12 LogMeIn, Inc. DE 7.01,9.01 01/06/12 Lone Pine Resources Inc. DE 2.02,7.01,9.01 01/09/12 LORILLARD, INC. DE 5.02 01/04/12 Lotus Pharmaceuticals, Inc. NV 1.01,2.01,9.01 12/31/11 LTS Nutraceuticals, Inc. NV 1.01,3.02,8.01 01/03/12 MAKO Surgical Corp. DE 2.02,9.01 01/09/12 Measurement Specialties Inc NJ 2.02,9.01 01/09/12 MEDIVATION, INC. DE 8.01,9.01 01/09/12 MGT CAPITAL INVESTMENTS INC DE 3.01,9.01 01/06/12 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 01/09/12 Mister Goody, Inc. FL 5.02 01/04/12 Mistras Group, Inc. DE 2.02,9.01 01/09/12 MMAX MEDIA, INC. NV 1.01,3.02,9.01 01/03/12 MMAX MEDIA, INC. NV 4.02 01/06/12 MONMOUTH REAL ESTATE INVESTMENT CORP MD 1.01,9.01 01/09/12 MOTRICITY INC DE 1.02 12/31/11 AMEND MS STRUCTURED SATURNS SERIES 2001-6 DE 8.01,9.01 01/03/12 NATIONAL FUEL GAS CO NJ 7.01,9.01 01/09/12 NATIONAL FUEL GAS CO NJ 1.01,2.03 01/06/12 NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 7.01,9.01 01/09/12 NATURAL GAS SERVICES GROUP INC 2.03,9.01 01/03/12 NEOMEDIA TECHNOLOGIES INC DE 5.02,9.01 01/03/12 NETWORK EQUIPMENT TECHNOLOGIES INC DE 2.05 01/05/12 NEW HAMPSHIRE THRIFT BANCSHARES INC DE 5.02,9.01 01/04/12 NEWS CORP 8.01,9.01 01/09/12 NEWS CORP 8.01,9.01 01/09/12 NGL Energy Partners LP DE 1.01,2.01,3.02,3.03, 01/03/12 5.03,8.01,9.01 NorthStar Real Estate Income Trust, I MD 7.01 12/29/11 NOVAGEN SOLAR INC. NV 5.06 01/03/11 OCZ TECHNOLOGY GROUP INC DE 2.02,9.01 01/09/12 Ohr Pharmaceutical Inc 7.01 01/09/12 ON-AIR IMPACT, INC. NV 4.01 01/03/12 ON4 COMMUNICATIONS INC. DE 8.01,9.01 01/06/12 OPENTABLE INC DE 5.02,9.01 01/03/12 OPTIMER PHARMACEUTICALS INC 2.02,9.01 01/09/12 OSHKOSH CORP WI 2.02 01/09/12 Otter Tail Corp MN 1.02,9.01 01/06/12 Pacira Pharmaceuticals, Inc. DE 8.01,9.01 01/09/12 Patriot Coal CORP DE 5.02,9.01 01/03/12 PDL BIOPHARMA, INC. DE 7.01,9.01 01/09/12 PENFORD CORP WA 2.02,9.01 01/09/12 Perfumania Holdings, Inc. FL 7.01,9.01 01/05/12 PHH CORP MD 5.02 01/03/12 PHOTRONICS INC CT 5.02,9.01 01/03/12 PIEDMONT NATURAL GAS CO INC NC 8.01 01/05/12 PINNACLE WEST CAPITAL CORP AZ 1.01 01/06/12 PIONEER NATURAL RESOURCES CO DE 2.02,7.01,9.01 01/09/12 Pioneer Southwest Energy Partners L.P DE 7.01 01/09/12 Pixtel Group Ltd. DE 5.03 01/09/12 PNM RESOURCES INC NM 8.01 01/06/12 PREMIERWEST BANCORP OR 3.01 01/09/12 PROGRESS ENERGY INC NC 8.01 01/08/12 PS BUSINESS PARKS INC/CA CA 9.01 12/20/11 AMEND Public Storage MD 1.01,3.03,5.03,9.01 01/05/12 Pzena Investment Management, Inc. DE 8.01,9.01 12/31/11 Q Holdings, Inc. DE 7.01,9.01 01/09/12 QUESTCOR PHARMACEUTICALS INC CA 2.02,7.01,9.01 01/06/12 QUICKLOGIC CORPORATION CA 2.02,9.01 01/09/12 R F INDUSTRIES LTD NV 2.02,9.01 01/09/12 Rackwise, Inc. NV 1.01,2.01,3.02,5.01, 09/21/11 AMEND 5.02,5.03,5.06,9.01 RARUS MINERALS INC NV 8.01 01/04/12 RealD Inc. DE 8.01,9.01 01/09/12 REFLECT SCIENTIFIC INC UT 8.01 12/22/11 REGIS CORP MN 2.02,9.01 01/09/12 Riverview Financial Corp PA 5.02,9.01 01/04/12 Rock Energy Resources, Inc. DE 7.01,8.01,9.01 01/09/12 Santa Fe Gold CORP DE 1.01,9.01 12/15/11 SCANSOURCE INC SC 2.02,9.01 01/09/12 SCICLONE PHARMACEUTICALS INC DE 2.02,9.01 01/09/12 SELECT MEDICAL HOLDINGS CORP 7.01,9.01 01/09/12 SELECT MEDICAL HOLDINGS CORP 7.01,9.01 01/09/12 AMEND Select Notes Trust LT 2004-1 DE 8.01,9.01 01/03/12 SENESCO TECHNOLOGIES INC DE 1.01,9.01 01/06/12 SEQUENOM INC DE 2.02,9.01 01/08/12 SIGMA ALDRICH CORP DE 1.01,8.01,9.01 01/08/12 Silverton Adventures, Inc. NV 8.01 01/06/12 SINO ASSURANCE INC. DE 5.03,9.01 01/06/12 SL GREEN REALTY CORP MD 8.01,9.01 01/09/12 SMART ONLINE INC DE 2.03,3.02 01/05/12 Solar Senior Capital Ltd. MD 7.01,9.01 01/09/12 SOUNDBITE COMMUNICATIONS INC 1.01,9.01 01/06/12 SOUTH JERSEY GAS Co NJ 1.01,9.01 01/06/12 SOUTHWEST AIRLINES CO TX 2.02,9.01 12/31/11 SP Bancorp, Inc. MD 5.02 01/06/12 SPARTAN STORES INC MI 1.02,7.01,9.01 01/09/12 SpeedSport Branding, inc. NV 8.01 12/22/11 STAGE STORES INC NV 8.01,9.01 01/05/12 STANDARD MICROSYSTEMS CORP DE 2.02,9.01 01/09/12 STEVEN MADDEN, LTD. DE 1.01 01/03/12 Strategic Storage Trust, Inc. MD 8.01 01/09/12 Sucampo Pharmaceuticals, Inc. 7.01,9.01 01/09/12 SunCoke Energy, Inc. 5.02,9.01 01/06/12 SunOpta Inc. 8.01,9.01 01/09/12 Surge Global Energy, Inc. DE 8.01 01/09/12 SYNERGETICS USA INC 7.01,9.01 01/09/12 TEL INSTRUMENT ELECTRONICS CORP NJ 8.01 01/09/12 TENET HEALTHCARE CORP NV 2.02,7.01,9.01 01/09/12 TENGION INC DE 7.01,9.01 01/09/12 TESSCO TECHNOLOGIES INC DE 2.02,8.01,9.01 01/09/12 TESSERA TECHNOLOGIES INC DE 8.01,9.01 01/09/12 Texas Roadhouse, Inc. DE 5.02,8.01 01/06/12 THERAVANCE INC DE 8.01,9.01 01/09/12 Tornier N.V. P7 2.02,7.01,9.01 01/09/12 TRANS WORLD ENTERTAINMENT CORP NY 2.02,9.01 01/05/12 TRANSATLANTIC PETROLEUM LTD. D0 5.02,9.01 01/05/12 Transcept Pharmaceuticals Inc DE 7.01 01/06/12 TRC COMPANIES INC /DE/ DE 7.01,9.01 01/09/12 TRIDENT MICROSYSTEMS INC DE 3.01 01/09/12 UNIGENE LABORATORIES INC DE 7.01,9.01 01/09/12 UNIGENE LABORATORIES INC DE 7.01,9.01 01/09/12 URANIUM RESOURCES INC /DE/ DE 5.02,9.01 01/04/12 UROLOGIX INC MN 3.01,8.01,9.01 01/06/12 Vanguard Natural Resources, LLC DE 9.01 01/09/12 AMEND VENTRUS BIOSCIENCES INC DE 8.01,9.01 01/09/12 VICAL INC DE 1.01,9.01 01/06/12 VIVUS INC CA 7.01,9.01 01/09/12 VLOV INC. NV 8.01,9.01 01/09/12 Volcano Corp DE 2.02,9.01 01/09/12 W P CAREY & CO LLC DE 2.01,9.01 05/02/11 AMEND WAUSAU PAPER CORP. WI 5.02,8.01,9.01 12/15/11 WCA WASTE CORP DE 3.01 01/03/12 WD 40 CO DE 2.02,9.01 01/09/12 WELLCARE HEALTH PLANS, INC. DE 7.01,9.01 01/09/12 Wonder Auto Technology, Inc NV 1.01 01/09/12 WSI INDUSTRIES, INC. MN 2.02,5.02,5.07,8.01, 01/04/12 9.01 YADKIN VALLEY FINANCIAL CORP NC 5.02 01/04/12 Your Event, Inc. NV 5.02,8.01 01/05/12 Your Event, Inc. NV 4.01,9.01 01/06/12 Zeltiq Aesthetics Inc DE 5.02,9.01 01/05/12 Zep Inc. DE 2.02,7.01,9.01 01/09/12 ZOGENIX, INC. DE 2.02,7.01,9.01 01/09/12
http://www.sec.gov/news/digest/2012/dig011012.htm
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