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SEC News Digest
Issue 2012-33
February 17, 2012
Commission Announcements
Securities and Exchange Commission Suspends Trading in the Securities of Five Issuers For Failure to Make Required Periodic Filings
The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EST on February 17, 2012 and terminating at 11:59 p.m. EST on March 2, 2012:
- BIOTECH Holdings Ltd. (BIOHF)
- California Oil & Gas Corp. (COGC)
- Central Minera Corp. (CENMF)
- Chemokine Therapeutics Corp. (CHKT)
- Global Precision Medical Inc. (GBPM)
The Commission temporarily suspended trading in the securities of these five issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-66418)
Commission Announcements
Closed Meeting on Thursday, February 23, 2012 at 3:00 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, February 23, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; adjudicatory matters; and other matters relating to enforcement proceedings.
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.
Enforcement proceedings
In the Matter of Michelle W. Palm
On February 16, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Michelle W. Palm (Palm). The Order finds that according to allegations in the Commission’s related civil injunctive action, entitled Securities and Exchange Commission v. James N. Fry, Michelle W. Palm, and Arrowhead Capital Management LLC, No. 0:11-cv-03303-RHK-JJK (D. Minn.), between 1998 and 2008, Arrowhead Capital Management LLC (Arrowhead LLC) directed money into a Ponzi scheme operated by Thomas J. Petters (Petters) by selling interests in funds operated by Arrowhead LLC, including interests in Arrowhead Capital Partners II L.P. (Arrowhead Partners), to investors. Petters promised investors that their money would be used to finance the purchase of consumer electronics that would then be resold to “Big Box” retailers like Walmart and Costco. In reality, there were no such transactions and Petters’s business was nothing more than a Ponzi scheme. Palm allegedly knowingly and intentionally misrepresented (and aided and abetted Arrowhead Partners in misrepresenting) numerous material facts regarding the funds operated by Arrowhead LLC. Among other things, Palm (individually and through Arrowhead LLC) allegedly:
- Falsely assured investors that the “Big Box” retailers would send payments for their consumer electronics merchandise directly to the funds’ collateral accounts to pay off investment notes issued by a Petters-owned entity. In reality, money for the repayment of those notes always came directly from Petters and never came from any retailers.
- Failed to disclose to investors and potential investors that Petters was experiencing difficulties in making payments on certain of the investment notes held by the funds and that the funds, in turn, engaged in a series of note extensions with Petters to hide that fact.
- Distributed pitch books to investors and potential investors that falsely represented that independent accountants conducted quarterly examinations of the funds’ transaction procedures when no such examinations were ever conducted.
In the related civil action, a Judgment of Permanent Injunction and Other Relief was entered against Palm on November 17, 2011, permanently enjoining her from future violations of the anti-fraud provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Advisers Act of 1940.
Based on the above, the Order bars Palm from being associated with an investment adviser, broker, dealer, municipal securities dealer, or transfer agent. Palm consented to the issuance of the Order without admitting or denying the findings in the Order, except she admitted the entry of the injunction. (Rel. IA-3374; File No. 3-14760)
In the Matter of George David Gordon
On February 16, 2012, the Commission issued an Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3)(i) of the Commission’s Rules of Practice (Order) against George David Gordon, a disbarred attorney formerly admitted to the practice of law in the state of Oklahoma. The Order finds that a court of competent jurisdiction has found that Gordon violated registration and antifraud provisions of the federal securities laws, and has permanently enjoined him from further violations of those laws.
Based on those violations, the Order temporarily suspends Gordon from appearing or practicing before the Commission as an attorney. If Gordon does not petition to lift that suspension within thirty days after service of the Order, the suspension will become permanent pursuant to Rule 102(e)(3)(ii) of the Commission’s Rules of Practice. If Gordon does timely petition to lift the suspension, a hearing will be scheduled before an administrative law judge to give Gordon an opportunity to show cause why he should not be censured or temporarily or permanently disqualified from appearing and practicing before the Commission. (Rel. 34-66415; File No. 3-14761)
Suspension Pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice in the Matter of George David Gordon
On February 16, 2012, the Commission issued an Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice. The Order finds that George David Gordon, while an attorney, was convicted of felony securities law violations. As a result, Gordon was sentenced to federal incarceration, and disbarred from the practice of law by the State Bar of Oklahoma.
Based on the above, the Order suspends Gordon from appearing or practicing as an attorney before the Commission pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice. (Rel. 34-66416; File No. 3-14762)
Commission Revokes Registration of Securities of Universal Ice Blast, Inc. For Failure to Make Required Periodic Filings
On February 17, 2012, the Commission revoked the registration of each class of registered securities of Universal Ice Blast, Inc. (Universal Ice Blast) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Universal Ice Blast consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Universal Ice Blast, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Universal Ice Blast’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Universal Ice Blast in In the Matter of Tornado Gold International Corp., et al., Administrative Proceeding File No. 3-14712.
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 . . . .
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Tornado Gold International Corp., et al., Administrative Proceeding File No. 3-14712, Exchange Act Release No. 66233, January 25, 2012. (Rel. 34-66417; File No. 3-14712)
Commission Orders Hearings on Registration Suspension or Revocation Against Five Companies for Failure to Make Required Periodic Filings
In conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of five companies for failure to make required periodic filings with the Commission:
- BIOTECH Holdings Ltd. (BIOHF)
- California Oil & Gas Corp. (COGC)
- Central Minera Corp. (CENMF)
- Chemokine Therapeutics Corp. (CHKT)
- Global Precision Medical Inc. (GBPM)
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 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 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. 34-66419; File No. 3-14763)
In the Matter of Stephen E. Bowman
On February 17, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Stephen E. Bowman (Bowman). The proceedings are based on the entry of injunctions against Bowman in Securities and Exchange Commission v. Stephen E. Bowman, et al., Case Number 8:09-cv-1093, in the United States District Court for the Middle District of Florida, and Bowman’s conviction in United States v. Stephen E. Bowman, Case Number 8:09-cr-585, in the United States District Court for the Middle District of Florida.
In the Order, the Commission found that on April 16, 2010, a final judgment was entered by consent against Bowman, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 (Securities Act), and Sections 10(b) and 15(b) of the Exchange Act and Rule 10b-5 thereunder. The Commission also found that on June 23, 2011, Bowman pled guilty to two counts of fraud in violation of Title 18 United States Code, Sections 371 and 2314 before the United States District Court for the Middle District of Florida, in United States v. Stephen E. Bowman, Case Number 8:09-cr-585. On November 28, 2011, a judgment in the criminal case was entered against Bowman. He was sentenced to a prison term of 51 months followed by three years of supervised release. In his guilty plea, Bowman admitted, among other things, that Bowman entered into a conspiracy and a scheme to defraud investors and obtained money and property in connection with prime bank instrument trading programs by means of false and fraudulent pretenses, representations and promises relating to material facts. The Commission’s civil action concerned the same operative facts. The Commission’s allegations, which Bowman neither admitted nor denied, were that Bowman solicited funds from investors by promising that the investor was “loaning” money “to participate in investment activity” for a limited period, with a projected “Return on Investment” of 14% to 70% per month. The “loans” also included a “guarantee of principal provided by the bank, fund manager or both.”
Based on the above, the Order bars Bowman from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and from participating in any offering of a penny stock. Bowman consented to the issuance of the Order without admitting or denying any of the findings, except that he admitted the entry of the injunctions against him and the criminal conviction. (Rel. 34-66423; File No. 3-14764)
Court Enters Default Judgment Against SEC Defendant Daniel J. Burns and Orders Him to Pay Over $1.1 Million
On January 31, 2012, an Illinois federal court entered a default judgment against Daniel J. Burns (Burns), a defendant in an action filed by the Commission in January 2011. The Commission alleged in its complaint that from 2003 to 2008, Burns, the former Chairman of the Board of Directors of CytoCore, Inc. (CytoCore), employed fraudulent schemes to profit from CytoCore stock transactions and received hundreds of thousands of dollars in improper compensation and benefits from CytoCore as an unregistered broker. According to the complaint, in February 2008, Burns caused CytoCore to issue a press release touting Burns’ investment in CytoCore stock, and then secretly sold shares immediately following the announcement. According to the complaint, Burns’ secret selling also constituted insider trading because Burns was in possession of material, nonpublic information about an ongoing CytoCore private stock offering.
The complaint further alleged that, from 2003 to 2008, Burns improperly received transaction-based compensation as an unregistered broker soliciting investors in CytoCore stock. The complaint also alleged that Burns submitted false claims for commissions purportedly earned by a friend for soliciting CytoCore investors, and his friend, in turn, remitted those commission payments to Burns. The Complaint also alleged that Burns submitted to CytoCore false claims for expense reimbursements relating to his investor solicitations. The complaint further alleged that Burns violated insider reporting requirements.
The Court’s final judgment enjoins Burns from future violations of Section 17(a) of the Securities Act of 1933, Sections 10(b), 14(a), 15(a), and 16(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 14a-9, and 16a-3 thereunder, orders him to pay disgorgement in the amount of $804,100.00, plus prejudgment interest of $324,325.00, for a total amount of $1,128,425.00, and permanently bars him from acting as an officer or director of a public company. [SEC v. CytoCore, Inc., et al., Case No. 1:11-cv-00246, USDC, N.D. Ill.] (LR-22260)
SEC Charges Oregon-Based Expert Consulting Firm and Owner with Insider Trading in Technology Sector
On February 17, 2012, the Securities and Exchange Commission filed a civil injunctive action in the United States District Court for the Southern District of New York charging John Kinnucan and his Portland, Oregon-based expert consulting firm Broadband Research Corporation with insider trading.
The charges stem from the SEC’s ongoing investigation of insider trading involving expert networks. In a parallel criminal case, Kinnucan has been arrested and charged with one count of securities fraud and one count of wire fraud.
The SEC has charged 22 defendants in enforcement actions arising out of its expert networks investigation, which has uncovered widespread insider trading at several hedge funds and other investment advisory firms. The insider trading has occurred in the securities of 12 technology companies – including Apple, Dell, Fairchild Semiconductor, Marvell Technology, and Western Digital – for illicit gains totaling nearly $110 million.
The SEC alleges that Kinnucan and Broadband claimed to be in the business of providing clients with legitimate research about publicly-traded technology companies, but instead typically tipped clients with material nonpublic information that Kinnucan obtained from prohibited sources inside the companies. Clients then traded on the inside information. Portfolio managers and analysts at prominent hedge funds and investment advisers paid Kinnucan and Broadband significant consulting fees for the information they provided. Kinnucan in turn compensated his sources with cash, meals, ski trips and other vacations, and even befriended some sources to gain access to confidential information.
According to the SEC’s complaint, Kinnucan’s misconduct occurred from at least 2009 to 2010, a period during which he generated hundreds of thousands of dollars in annual revenues for Broadband. Kinnucan obtained material nonpublic information from well-placed employees at a variety of publicly-traded technology companies.
The SEC’s complaint specifically alleges that in July 2010, Kinnucan obtained material nonpublic information from a source at F5 Networks Inc., a Seattle-based provider of networking technology. On the morning of July 2, Kinnucan learned that F5 had generated better-than-expected financial results for the third quarter of its 2010 fiscal year, with the public announcement scheduled for July 21. Within hours of learning the confidential details, Kinnucan had phone conversations or left messages with several clients to convey that F5’s revenues would exceed market expectations. At least three clients – an analyst and two portfolio managers – caused trades at their respective investment advisory firms on the basis of Kinnucan’s inside information. The insider trading resulted in profits or avoided losses of nearly $1.6 million.
The SEC’s complaint, which charges Kinnucan and Broadband with violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, seeks a final judgment ordering them to disgorge their ill-gotten gains plus prejudgment interest, requiring them to pay financial penalties, and permanently enjoining them from future violations. [SEC v. John Kinnucan and Broadband Research Corporation, Civil Action 12-CV-1230 (SDNY) (AJN) (AJP)] (LR-22261)
Court Finds Pentagon Capital Management PLC and Lewis Chester Liable For Securities Fraud
On Tuesday, February 14, 2012, United States District Judge Robert W. Sweet of the Southern District of New York issued an Opinion in favor of the U.S. Securities and Exchange Commission finding that United Kingdom-based hedge fund adviser Pentagon Capital Management PLC (PCM) and Lewis Chester, PCM’s Chief Executive Officer, engaged in securities fraud in violation of the Securities Act of 1933 and the Securities Exchange Act of 1934. Specifically, Judge Sweet found that Defendants PCM and Chester orchestrated a scheme to defraud mutual funds in the United States through late trading from February 2001 through September 2003. Late trading refers to the practice of placing orders to buy, redeem, or exchange U.S. mutual fund shares after the time as of which the funds calculate their net asset value (usually as of the close of trading at 4:00 p.m. ET), but receiving the price based on the net asset value already determined as of 4:00 p.m. ET. Judge Sweet found that the Defendants “intentionally, and egregiously violated the federal securities laws through a scheme of late trading” through broker-dealer Trautman Wasserman & Company, Inc. (TW&Co.), and found that the scheme was “broad ranging over the course of several years and in no sense isolated.”
As a result of Defendants’ conduct, the Court found that PCM and Chester violated Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act, and Rule 10b-5 thereunder, and granted the Commission’s request to enjoin PCM and Chester from future violations of those provisions. Judge Sweet further found PCM and Chester, together with Relief Defendant Pentagon Special Purpose Fund, Ltd., PCM’s advisory client, jointly and severally liable for disgorgement of $38,416,500 of profits from the U.S. mutual fund trades executed through TW&Co. plus prejudgment interest. Finally, Judge Sweet imposed civil penalties against Defendants in the amount of $38,416,500, equal to Defendants’ pecuniary gain for late trades through TW&Co.
The Court found in Defendants’ favor regarding charges of deceptive market timing of U.S. mutual funds.
Chester, age 43, is a resident of London, England. PCM is an investment adviser and investment manager based in London, England, and it is registered with the United Kingdom Financial Services Authority. Pentagon Special Purpose Fund, Ltd. is an international business company incorporated in the British Virgin Islands. [SEC v. Pentagon Capital Management PLC et al., 08 Civ. 3324 (RWS) (S.D.N.Y.)] (LR-22262)
Self-Regulatory Organizations
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-21) to correct Rule 705 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 20. (Rel. 34-66407)
A proposed rule change submitted by The Nasdaq Stock Market LLC (SR-NASDAQ-2012-027) 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 February 20. (Rel. 34-66409)
A proposed rule change filed by the Chicago Stock Exchange, Inc. (SR-CHX-2012-06) to amend its Fee Schedule to provide for a new cross connection charge and waive monthly fees at its new facility until April 1, 2012 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 20. (Rel. 34-66410)
A proposed rule change filed by NYSE Amex LLC (SR-NYSEAMEX-2012-08) to delete NYSE Amex Equities Rule 319, which addresses 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 20. (Rel. 34-66412)
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-8 NATURALLY ADVANCED TECHNOLOGIES INC, SUITE 305-4420 CHATTERTON WAY,
VICTORIA, A1, V8X 5J2, 604-683-8582 -
8,124,240 ($13,323,754.00) Equity, (File 333-179539 - Feb. 16) (BR. 09A)
S-8 Dejour Energy Inc., 598-999 CANADA PLACE, VANCOUVER, A1, V6C 3E1,
604-638-5050 - 15,000,000 ($6,679,500.00) Equity, (File 333-179540 -
Feb. 16) (BR. 04B)
S-1 ZBB ENERGY CORP, N93 W14475 WHITTAKER WAY, MENOMONEE FALLS, X1, 53051,
262-253-9800 - 0 ($11,500,000.00) Equity, (File 333-179541 - Feb. 16)
(BR. 02A)
S-3ASR Owens Corning, ONE OWENS CORNING PARKWAY, TOLEDO, OH, 43659,
419-248-8000 - 0 ($0.00) Debt, (File 333-179542 - Feb. 16) (BR. 06C)
S-8 NANOSPHERE INC, 4088 COMMERCIAL AVE, NORTHBROOK, IL, 60062,
847-400-9000 - 2,700,000 ($4,806,000.00) Equity, (File 333-179543 -
Feb. 16) (BR. 10B)
S-8 SYNCHRONOSS TECHNOLOGIES INC, 750 ROUTE 202 SOUTH, SUITE 600,
BRIDGEWATER, NJ, 08807, 866-620-3940 - 0 ($17,087,500.00) Equity,
(File 333-179544 - Feb. 16) (BR. 03B)
S-8 Alkermes plc., TREASURY BUILDING, LOWER GRAND CANAL STREET, DUBLIN 2,
L2, 00000, 00-353-1-649-2000 - 28,912,912 ($449,480,092.81) Equity,
(File 333-179545 - Feb. 16) (BR. 01A)
S-8 ZIPCAR INC, 25 FIRST STREET, 4TH FLOOR, CAMBRIDGE, MA, 02141,
617-995-4231 - 1,189,675 ($16,607,863.00) Equity, (File 333-179546 -
Feb. 16) (BR. 05B)
S-1 Alkermes plc., TREASURY BUILDING, LOWER GRAND CANAL STREET, DUBLIN 2,
L2, 00000, 00-353-1-649-2000 - 0 ($578,028,000.00) Equity,
(File 333-179550 - Feb. 16) (BR. 01A)
S-1 iMetrik M2M Solutions Inc., 740 NOTRE-DAME STREET W, SUITE 1555,
MONTREAL, A8, H3C 3X6, 514-295-9943 -
22,917,477 ($2,291,748.00) Equity, (File 333-179551 - Feb. 16) (BR. 08C)
S-8 IMPERVA INC, 3400 BRIDGE PARKWAY, SUITE 200, REDWOOD SHORES, CA, 94065,
650-345-9000 - 1,154,529 ($36,928,435.00) Equity, (File 333-179552 -
Feb. 16) (BR. 03B)
S-3 WEB.COM GROUP, INC., 12808 GRAN BAY PARKWAY WEST, JACKSONVILLE, FL,
32258, 9046806600 - 0 ($305,119,689.84) Equity, (File 333-179553 -
Feb. 16) (BR. 03B)
S-3ASR MARRIOTT INTERNATIONAL INC /MD/, 10400 FERNWOOD ROAD, BETHESDA, MD,
20817, 3013803000 - 0 ($1.00) Equity, (File 333-179554 - Feb. 16)
(BR. 08C)
S-8 BGC Partners, Inc., 499 PARK AVENUE, NEW YORK, NY, 10022,
212-610-2200 - 0 ($331,500,000.00) Equity, (File 333-179555 - Feb. 16)
(BR. 08C)
F-1 CaesarStone Sdot-Yam Ltd., Kibbutz Sdot Yam, MP Menashe, L3, 38805,
972 4 636 4555 - 0 ($115,000,000.00) Equity, (File 333-179556 -
Feb. 16) (BR. 06B)
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
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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
-----------------------------------------------------------------------------------------
3M CO DE 8.01 02/16/12
3M CO DE 8.01 02/16/12
ABRAXAS PETROLEUM CORP NV 1.01,2.03,9.01 02/14/12
ACACIA RESEARCH CORP DE 1.01,2.02,3.02,7.01, 02/15/12
9.01
ACCURIDE CORP DE 1.01,2.03,9.01 02/16/12
ACI WORLDWIDE, INC. DE 8.01,9.01 02/16/12
ACORDA THERAPEUTICS INC 1.01,2.02,9.01 02/15/12
ADEONA PHARMACEUTICALS, INC. DE 5.03,5.07,9.01 02/15/12
Advance America, Cash Advance Centers DE 1.01,5.02,8.01,9.01 02/15/12
ADVANCE AUTO PARTS INC DE 2.02,9.01 02/16/12
ADVANCED MICRO DEVICES INC DE 5.02 02/10/12
AETHLON MEDICAL INC NV 8.01 02/15/12
Aircastle LTD D0 7.01,9.01 02/15/12
ALASKA AIR GROUP INC DE 5.02 02/15/12
ALASKA AIR GROUP INC DE 7.01,8.01,9.01 02/16/12
ALLEGHANY CORP /DE DE 4.01,9.01 02/13/12
ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 2.02,7.01,9.01 02/16/12
Ally Master Owner Trust 1.01,8.01,9.01 02/15/12
ALNYLAM PHARMACEUTICALS, INC. 8.01,9.01 02/15/12
ALPHA & OMEGA SEMICONDUCTOR Ltd 5.02,9.01 02/15/12
Altisource Portfolio Solutions S.A. N4 2.02,9.01 02/16/12
Alto Group Holdings Inc. NV 5.02,8.01 02/16/12
Altra Holdings, Inc. DE 2.02,9.01 02/16/12
AMARIN CORP PLC\UK X0 5.02,8.01,9.01 02/16/12
AMBASSADORS GROUP INC DE 5.02,9.01 02/16/12
AMBER RESOURCES CO OF COLORADO DE 8.01,9.01 01/11/12
AMBIENT CORP /NY DE 2.02,9.01 02/16/12
American Express Issuance Trust DE 8.01 02/16/12
AMERICAN INTERNATIONAL VENTURES INC / DE 5.02 02/16/12
American Realty Capital Trust, Inc. DE 2.02,9.01 02/15/12
AMERICAS CARMART INC TX 2.02,9.01 02/15/12
Americredit Automobile Receivables Tr 1.01,9.01 02/08/12
Angie's List, Inc. DE 5.02 02/14/12
Anpulo Food, Inc. NV 5.03,9.01 02/09/12
APACHE CORP DE 2.02,9.01 02/16/12
APPLIED MATERIALS INC /DE DC 2.02,9.01 02/16/12
Apps Genius Corp NV 1.01,9.01 02/09/12
APRICUS BIOSCIENCES, INC. NV 1.01 02/15/12
ARTHROCARE CORP DE 2.02,9.01 02/16/12
ARUBA NETWORKS, INC. DE 2.02,9.01 02/16/12
ASTORIA FINANCIAL CORP DE 8.01,9.01 02/15/12
Atlas Energy, L.P. DE 8.01,9.01 02/14/12
Atlas Resource Partners, L.P. 8.01,9.01 02/14/12
Atlas Therapeutics Corp NV 1.01,3.02,5.02 02/10/12
AVIS BUDGET GROUP, INC. DE 2.02,7.01,9.01 02/15/12
AVIS BUDGET GROUP, INC. DE 7.01 02/16/12
AVIV REIT, INC. MD 5.02 02/10/12
AXESSTEL INC NV 2.02,9.01 02/16/12
B&G Foods, Inc. DE 2.02,7.01,8.01,9.01 02/15/12
B&G Foods, Inc. DE 9.01 11/30/11 AMEND
BAKKEN RESOURCES INC NV 5.02 02/10/12
Bancorp, Inc. 5.02 02/16/12
Baron Energy Inc. NV 9.01 02/22/10 AMEND
BG Medicine, Inc. DE 1.01,2.02,2.03,3.02, 02/10/12
5.02,8.01,9.01
BIGGEST LITTLE INVESTMENTS LP DE 8.01 02/09/12
BillMyParents, Inc. CO 5.03,9.01 02/14/12
BIOCRYST PHARMACEUTICALS INC DE 2.02,7.01,9.01 02/16/12
BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 02/16/12
BIOMARIN PHARMACEUTICAL INC DE 2.02,9.01 02/16/12
Biopower Operations Corp NV 8.01,9.01 02/15/12
BioRestorative Therapies, Inc. NV 5.02,5.07 02/10/12
BIOSANTE PHARMACEUTICALS INC DE 3.02 02/15/12
BJs RESTAURANTS INC CA 2.02,9.01 02/16/12
BLUE COAT SYSTEMS INC DE 2.01,3.01,3.03,5.01, 02/13/12
5.02,5.03,5.07,9.01
Blugrass Energy, Inc. NV 5.03,9.01 02/10/12
BOINGO WIRELESS INC DE 2.02,9.01 02/16/12
BOTTOMLINE TECHNOLOGIES INC /DE/ DE 5.02 02/10/12
BRADY CORP WI 2.02,2.06,5.03,7.01, 02/14/12
9.01
BRIGHTPOINT INC IN 5.02 02/10/12
BSB Bancorp, Inc. MD 2.02,9.01 02/10/12
Buckeye Oil & Gas, Inc. FL 8.01,9.01 02/15/12
BUILD A BEAR WORKSHOP INC DE 2.02,9.01 02/16/12
Builders FirstSource, Inc. DE 2.02,9.01 02/16/12
CABELAS INC DE 2.02,7.01,8.01,9.01 02/16/12
CACI INTERNATIONAL INC /DE/ DE 5.02,9.01 02/14/12
CADIZ INC DE 5.02,8.01,9.01 02/14/12
CALLON PETROLEUM CO DE 7.01,9.01 02/15/12
CALYPSO WIRELESS INC DE 8.01 02/16/12
CAPITAL ONE FINANCIAL CORP DE 7.01 02/16/12
CAPITALSOURCE INC DE 2.02,5.02,7.01,8.01 12/31/11
Car Charging Group, Inc. NV 1.01,3.02,9.01 01/31/12
Casablanca Mining Ltd. NV 5.02 11/17/11 AMEND
Castle Brands Inc FL 2.02,9.01 02/14/12
CBEYOND, INC. 2.02,9.01 02/16/12
CDW Corp DE 2.02,9.01 02/16/12
CERADYNE INC DE 2.02,7.01,9.01 02/16/12
CF Industries Holdings, Inc. DE 2.02,9.01 02/16/12
CH ENERGY GROUP INC NY 2.02,9.01 02/16/12
Chrysler Group LLC DE 8.01 02/16/12
Cinedigm Digital Cinema Corp. DE 5.02 02/10/12
Cinemark Holdings, Inc. DE 1.01,1.02,5.02,9.01 02/15/12
CLIFFS NATURAL RESOURCES INC. OH 2.02,9.01 02/15/12
CLOUD PEAK ENERGY INC. DE 2.02,9.01 02/16/12
CLX MEDICAL, INC. CO 1.01,1.02,5.01,9.01 02/16/12
CNB BANCORP INC/VA VA 8.01 02/16/12
COCONNECT INC NV 4.01,9.01 12/19/11 AMEND
COFFEE HOLDING CO INC NV 1.01,9.01 02/13/12
Colorado Ceramic Tile, Inc. CO 5.03 02/14/12
COMMERCE BANCSHARES INC /MO/ MO 5.02,5.03,8.01,9.01 02/10/12
Commercial Vehicle Group, Inc. DE 2.02,7.01,9.01 02/15/12
CONOCOPHILLIPS DE 5.03,9.01 02/10/12
CORPORATE OFFICE PROPERTIES TRUST MD 1.01,2.03 02/14/12
CRA INTERNATIONAL, INC. MA 2.02,9.01 02/16/12
CRYOLIFE INC FL 2.02,9.01 02/16/12
CUBIST PHARMACEUTICALS INC DE 5.02 02/14/12
CVD EQUIPMENT CORP NY 8.01 02/10/12
DATALINK CORP MN 2.02,9.01 02/16/12
DATALINK CORP MN 2.02,7.01,9.01 02/16/12 AMEND
DAVITA INC DE 2.02,9.01 02/16/12
DAVITA INC DE 5.02,9.01 02/12/12
DELPHI FINANCIAL GROUP INC/DE DE 2.02,9.01 02/15/12
DEMAND MEDIA INC. DE 2.02,7.01,9.01 02/16/12
DENTSPLY INTERNATIONAL INC /DE/ DE 2.02,9.01 02/16/12
Desert Hawk Gold Corp. NV 8.01 01/31/12
DigiPath,Inc. NV 1.01,5.02 02/15/12
DIRECTV DE 2.02 02/16/12
DIRECTV HOLDINGS LLC DE 2.02 02/15/12
Discovery Communications, Inc. DE 2.02,9.01 02/16/12
DJO Finance LLC DE 2.02,9.01 02/16/12
Dorman Products, Inc. PA 2.05,7.01 02/16/12
DTE ENERGY CO MI 2.02,7.01,9.01 02/16/12
Duke Energy CORP DE 2.02,9.01 02/16/12
EARTHLINK INC DE 2.02,7.01,9.01 02/16/12
EFT Holdings, Inc. NV 4.02 02/12/12
eHealth, Inc. DE 2.02,9.01 02/16/12
EL CAPITAN PRECIOUS METALS INC NV 5.02 02/10/12
EL PASO CORP/DE DE 8.01 02/10/12
EMCORE CORP NJ 5.03,8.01,9.01 02/15/12
ENCORIUM GROUP INC NV 1.01,7.01,9.01 02/10/12
ENERGIZER HOLDINGS INC MO 7.01,9.01 02/16/12
ENERGY CONVERSION DEVICES INC DE 3.01 02/15/12
Energy Services of America CORP DE 5.02,9.01 02/14/12
Ensco plc 7.01,9.01 02/16/12
Entia Biosciences, Inc. NV 8.01,9.01 02/15/12
ENVESTNET, INC. DE 1.01,7.01,9.01 02/16/12
EOG RESOURCES INC DE 2.02,7.01,9.01 02/16/12
ESSEX PROPERTY TRUST INC MD 5.03,9.01 02/15/12
EXELON CORP PA 8.01,9.01 02/16/12
Fabrinet E9 5.02 02/14/12
FARMERS & MERCHANTS BANCORP DE 2.02,9.01 02/15/12
Federal Home Loan Bank of Atlanta X1 2.03 02/16/12
Federal Home Loan Bank of Boston X1 2.03 02/13/12
Federal Home Loan Bank of Chicago X1 2.03 02/13/12
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 02/13/12
Federal Home Loan Bank of Des Moines X1 2.03,9.01 02/14/12
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/16/12
Federal Home Loan Bank of New York X1 2.03,9.01 02/13/12
Federal Home Loan Bank of New York X1 8.01,9.01 02/16/12
Federal Home Loan Bank of San Francis X1 2.03 02/13/12
Federal Home Loan Bank of Seattle 2.03 02/13/12
Federal Home Loan Bank of Topeka 2.03,9.01 02/13/12
FERRO CORP OH 7.01,9.01 02/16/12
FERRO CORP OH 7.01,9.01 02/16/12
FIDELITY BANCORP INC PA 5.07 02/14/12
First Advantage Bancorp 8.01,9.01 02/16/12
FIRST MARBLEHEAD CORP 5.02 02/10/12
FIRST WEST VIRGINIA BANCORP INC WV 5.03,9.01 02/14/12
FIVE STAR QUALITY CARE INC 2.02,9.01 02/16/12
FOREST OIL CORP NY 7.01,9.01 02/16/12
FREDS INC TN 8.01,9.01 02/16/12
Freescale Semiconductor Holdings I, L D0 8.01,9.01 02/16/12
FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 02/16/12
FRONTIER COMMUNICATIONS CORP DE 2.02,8.01,9.01 12/31/11
FUNCTION (X) INC. DE 8.01,9.01 02/16/12
GALLAGHER ARTHUR J & CO DE 8.01,9.01 02/16/12
GALLAGHER ARTHUR J & CO DE 7.01,9.01 02/16/12
GARTNER INC DE 7.01,9.01 02/16/12
GE Dealer Floorplan Master Note Trust DE 1.01,9.01 02/14/12
GE Dealer Floorplan Master Note Trust DE 8.01,9.01 02/14/12
GENELINK INC PA 2.01,9.01 02/10/12
General Moly, Inc DE 7.01,9.01 02/16/12
General Motors Co 2.02,9.01 02/16/12
General Motors Financial Company, Inc TX 2.02,9.01 02/16/12
GENESIS ENERGY LP DE 2.02,9.01 02/16/12
GENTOR RESOURCES, INC. FL 7.01,9.01 02/15/12
GEORGIA GULF CORP /DE/ DE 2.02,7.01,9.01 02/15/12
GEOVIC MINING CORP. DE 7.01,9.01 02/14/12
GFI Group Inc. DE 2.02,9.01 02/16/12
GILMAN CIOCIA, INC. DE 5.02 02/14/12
GLIMCHER REALTY TRUST MD 2.02,9.01 02/15/12
GLOBETRAC INC DE 4.01,9.01 02/08/12
GNC HOLDINGS, INC. DE 2.02,8.01,9.01 02/16/12
GOLDEN STAR RESOURCES LTD 5.02,9.01 02/13/12
GOLDMAN SACHS GROUP INC DE 9.01 02/16/12
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 02/15/12
GREEN ENVIROTECH HOLDINGS CORP. DE 8.01,9.01 02/16/12
GRIFFIN LAND & NURSERIES INC DE 2.02,9.01 02/16/12
GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 02/16/12
HAWTHORN BANCSHARES, INC. MO 8.01 02/15/12
HCA Holdings, Inc. 1.01,2.03,9.01 02/16/12
HEALTH CARE REIT INC /DE/ DE 2.02,9.01 02/16/12
HEALTH NET INC DE 7.01,9.01 02/16/12
HeartWare International, Inc. DE 2.02,9.01 02/16/12
HERCULES OFFSHORE, INC. DE 1.01,3.03,5.03,8.01, 02/13/12
9.01
HERSHA HOSPITALITY TRUST MD 3.02 02/13/12
HOLLY ENERGY PARTNERS LP DE 2.02,9.01 02/16/12
HOME BANCSHARES INC 2.01,9.01 02/16/12
Honda Auto Receivables 2012-1 Owner T DE 1.01,9.01 02/14/12
HORNBECK OFFSHORE SERVICES INC /LA DE 2.02,9.01 02/16/12
HSBC USA INC /MD/ MD 9.01 02/16/12
Huntsman CORP DE 2.02,9.01 02/16/12
Hyatt Hotels Corp DE 2.02,9.01 02/16/12
IDEX CORP /DE/ DE 5.02,9.01 02/14/12
iGlue, Inc. NV 1.01,3.02,5.02,5.03 02/10/12
IMAGEWARE SYSTEMS INC DE 5.02,9.01 02/14/12
IMPERIAL PETROLEUM INC NV 2.01,9.01 02/14/12
INFRAX SYSTEMS, INC. NV 8.01,9.01 02/16/12
INHIBITEX, INC. DE 2.01,3.01,3.03,5.01, 02/13/12
5.02,5.03,9.01
Inrad Optics, Inc. NJ 5.03,9.01 02/14/12
INTEGRAMED AMERICA INC DE 2.02,9.01 02/16/12
Intelimax Media Inc. 1.01,3.02 02/15/12
INTERNATIONAL PAPER CO /NEW/ NY 2.01,2.03,7.01,9.01 02/13/12
INTERNATIONAL TEXTILE GROUP INC DE 5.02 02/16/12
ION GEOPHYSICAL CORP DE 2.02,7.01,9.01 02/15/12
IPASS INC DE 2.02,9.01 02/16/12
IRELAND INC. NV 7.01,9.01 02/16/12
ITC Holdings Corp. MI 5.02,8.01 02/13/12
J C PENNEY CO INC DE 1.01,2.03,9.01 02/10/12
JBI, INC. NV 1.01,2.01,9.01 02/10/12
KAISER ALUMINUM CORP DE 2.02,9.01 02/15/12
KINDER MORGAN, INC. DE 1.01,2.03 02/10/12
KMG CHEMICALS INC TX 1.01,9.01 02/13/12
KNOLOGY INC DE 2.02,9.01 02/16/12
Koppers Holdings Inc. PA 2.02,9.01 02/16/12
LANDEC CORP \CA\ CA 5.02,9.01 02/15/12
Lantheus Medical Imaging, Inc. DE 1.01 02/13/12
Latitude Solutions, Inc. NV 1.01,7.01,8.01,9.01 02/03/12
LEAP WIRELESS INTERNATIONAL INC DE 2.02,9.01 02/16/12
LEGEND INTERNATIONAL HOLDINGS INC DE 1.01,2.03,9.01 02/07/12
LIBBEY INC DE 2.02,9.01 02/16/12
Liberty Global, Inc. DE 2.02,7.01 02/16/12
LIFE TIME FITNESS, INC. MN 2.02,9.01 02/16/12
LKQ CORP DE 7.01,9.01 02/15/12
LOCAL.COM DE 2.02,9.01 02/16/12
Lone Star Gold, Inc. NV 3.02 02/13/12
LSB INDUSTRIES INC DE 8.01,9.01 02/14/12
MAGICJACK VOCALTEC LTD L3 2.02 02/16/12
MAGMA DESIGN AUTOMATION INC DE 5.07 02/16/12
MARCHEX INC DE 2.02,9.01 02/16/12
MASCO CORP /DE/ DE 1.01 02/13/12
MAXWELL TECHNOLOGIES INC DE 2.02,9.01 02/16/12
MAXWELL TECHNOLOGIES INC DE 1.01,9.01 02/16/12
MEDICIS PHARMACEUTICAL CORP DE 2.01,9.01 12/02/11 AMEND
MERGE HEALTHCARE INC DE 2.02,9.01 02/15/12
MESA ROYALTY TRUST/TX TX 2.02,9.01 02/16/12
MFA FINANCIAL, INC. MD 2.02,7.01 02/16/12
MICHAEL BAKER CORP PA 5.02,9.01 02/13/12
MID WISCONSIN FINANCIAL SERVICES INC WI 2.02,9.01 02/16/12
MIDDLEFIELD BANC CORP OH 5.02 01/31/12
MIT Holding, Inc. DE 2.01,9.01 02/14/12
MOHEGAN TRIBAL GAMING AUTHORITY 8.01,9.01 02/16/12
MOKITA, INC. NV 5.02 02/14/12
MOLSON COORS BREWING CO DE 2.02,9.01 02/16/12
Monotype Imaging Holdings Inc. DE 2.02,9.01 02/16/12
Morningstar, Inc. IL 2.02,9.01 02/15/12
MUTUALFIRST FINANCIAL INC MD 8.01,9.01 02/16/12
Myrexis, Inc. DE 2.05,8.01,9.01 02/12/12
NANOSPHERE INC DE 2.02,9.01 02/16/12
NAVIDEA BIOPHARMACEUTICALS, INC. DE 5.02 02/10/12
NCI, Inc. DE 2.02,7.01,9.01 02/15/12
NetSpend Holdings, Inc. DE 2.02,9.01 02/16/12
Neutral Tandem Inc 5.02 02/15/12
NEW HAMPSHIRE THRIFT BANCSHARES INC DE 8.01,9.01 02/16/12
NEW YORK TIMES CO NY 5.02,9.01 02/16/12
NEWS CORP 8.01,9.01 02/16/12
NEXT FUEL, INC. NV 3.02,5.02,5.07,8.01, 12/12/11
9.01
NIC INC CO 7.01,9.01 02/16/12
NL INDUSTRIES INC NJ 7.01,9.01 02/15/12
NORDSTROM INC WA 2.02,7.01,9.01 02/16/12
NORTHWESTERN CORP DE 2.02,9.01 02/16/12
NUVASIVE INC DE 5.02 02/13/12
OGE ENERGY CORP. OK 2.02,9.01 02/16/12
OIL STATES INTERNATIONAL, INC DE 2.02,9.01 02/16/12
OKLAHOMA GAS & ELECTRIC CO OK 2.02,9.01 02/16/12
OLD POINT FINANCIAL CORP VA 7.01,9.01 02/16/12
ONYX PHARMACEUTICALS INC DE 5.02 02/14/12
Opexa Therapeutics, Inc. TX 3.01 02/10/12
ORAGENICS INC FL 5.02 02/10/12
Orbitz Worldwide, Inc. DE 2.02,9.01 02/16/12
Organic Spice Imports, Inc. DE 1.01,5.01,5.02,9.01 02/10/12
ORIGINOIL INC NV 8.01,9.01 02/15/12
OYO GEOSPACE CORP DE 1.01,8.01,9.01 02/15/12
PANTRY INC DE 5.02,9.01 02/14/12
PAR TECHNOLOGY CORP DE 2.02 02/16/12
PARK NATIONAL CORP /OH/ OH 2.02,8.01,9.01 02/16/12
PC MALL INC DE 1.01,9.01 02/10/12
PDF SOLUTIONS INC DE 2.02,9.01 02/16/12
Pebblebrook Hotel Trust MD 2.03,7.01,9.01 02/15/12
PEOPLES BANCORP INC OH 1.01,9.01 02/16/12
PG&E CORP CA 2.02,7.01,9.01 02/16/12
PHOENIX COMPANIES INC/DE DE 2.02,9.01 02/16/12
PHOTRONICS INC CT 2.02,9.01 02/15/12
PLEXUS CORP WI 5.07 02/15/12
PLUMAS BANCORP CA 1.02,8.01 02/15/12
PLUMAS BANCORP CA 2.02,9.01 02/16/12
POOL CORP DE 2.02,7.01,9.01 02/16/12
POPULAR INC 5.02,9.01 02/15/12
PORTFOLIO RECOVERY ASSOCIATES INC DE 2.02,8.01,9.01 02/16/12
Power REIT MD 8.01 02/16/12
POWERWAVE TECHNOLOGIES INC DE 2.02,9.01 02/14/12
Premier Beverage Group Corp NV 2.01,3.02,4.01,5.01, 10/19/11 AMEND
5.02,5.03,9.01
PREMIER FINANCIAL BANCORP INC KY 7.01,9.01 02/16/12
PREMIERE GLOBAL SERVICES, INC. GA 2.02,9.01 02/16/12
PREMIERWEST BANCORP OR 8.01 02/15/12
PRIME GLOBAL CAPITAL GROUP Inc NV 1.01,3.02,9.01 02/16/12
PROGRESS ENERGY INC NC 2.02,9.01 02/16/12
Protalix BioTherapeutics, Inc. FL 1.01,8.01,9.01 02/16/12
PSS WORLD MEDICAL INC FL 8.01,9.01 02/16/12
PUGET ENERGY INC /WA WA 1.01,1.02,2.03,9.01 02/10/12
QEP RESOURCES, INC. DE 5.02,9.01 02/14/12
QLIK TECHNOLOGIES INC DE 4.02 02/14/12
QLIK TECHNOLOGIES INC DE 2.02,9.01 02/16/12
QUESTCOR PHARMACEUTICALS INC CA 7.01,9.01 02/16/12
RAILAMERICA INC /DE DE 8.01 02/14/12
RAMTRON INTERNATIONAL CORP DE 2.02,9.01 02/16/12
RBC LIFE SCIENCES, INC. DE 5.02 02/13/12
REAL ESTATE ASSOCIATES LTD/CA CA 5.02,7.01 02/06/12
REALPAGE INC DE 2.02,9.01 02/16/12
RED ROBIN GOURMET BURGERS INC DE 2.02,9.01 02/16/12
REGENCY CENTERS CORP FL 3.03,5.03,9.01 02/14/12
Regency Energy Partners LP DE 2.02,7.01,9.01 02/16/12
Regency Energy Partners LP DE 7.01,9.01 02/16/12
RELIANCE STEEL & ALUMINUM CO CA 2.02,9.01 02/16/12
REVLON INC /DE/ DE 2.02,9.01 02/16/12
RF MICRO DEVICES INC NC 5.02,9.01 02/14/12
RING ENERGY, INC. NV 8.01 02/13/12
Rockville Financial, Inc. /CT/ CT 8.01,9.01 02/16/12
ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 7.01,9.01 02/16/12
ROGERS CORP MA 2.02,5.02,7.01,9.01 02/13/12
RoomStore, Inc. VA 2.03,7.01,9.01 02/08/12
Rovi Corp DE 2.02,9.01 02/16/12
RPM Dental, Inc. DE 1.01,3.02,9.01 02/10/12
RYDER SYSTEM INC FL 5.02 02/10/12
Sagent Pharmaceuticals, Inc. DE 1.01,1.02,2.03,9.01 02/13/12
Sagent Pharmaceuticals, Inc. DE 2.02,9.01 02/16/12
SCIENTIFIC LEARNING CORP DE 2.02 02/16/12
SCIENTIFIC LEARNING CORP DE 1.01,9.01 02/10/12
Scio Diamond Technology Corp NV 7.01,9.01 02/16/12
SCIQUEST INC DE 2.02,9.01 02/16/12
SENIOR HOUSING PROPERTIES TRUST MD 2.02,9.01 02/16/12
SERVICEMASTER CO DE 1.01,2.03,9.01 02/16/12
SHERWIN WILLIAMS CO OH 5.02,9.01 02/14/12
SIGNET JEWELERS LTD 5.02 02/13/12
SKYWEST INC UT 2.02,9.01 02/16/12
SMF ENERGY CORP DE 2.02,9.01 02/14/12
SMUCKER J M CO OH 2.02,9.01 02/16/12
SOUTH JERSEY INDUSTRIES INC NJ 7.01,9.01 02/15/12
SPECTRANETICS CORP DE 2.02,9.01 02/16/12
SPHERIX INC DE 7.01,9.01 02/16/12
Spirit Airlines, Inc. DE 2.02,7.01,9.01 02/16/12
SPX CORP DE 2.02,9.01 02/16/12
Standard Gold CO 1.01,5.02,9.01 02/10/12
Steel Excel Inc. DE 8.01,9.01 02/09/12
STEP OUT INC. NV 8.01 02/15/12
STEPAN CO DE 2.02,5.02,9.01 02/14/12
STERICYCLE INC DE 5.03,9.01 02/16/12
STEWART INFORMATION SERVICES CORP DE 2.02,9.01 02/16/12
STRAYER EDUCATION INC MD 2.02,5.02,9.01 02/14/12
Summit Hotel Properties, Inc. MD 1.01,2.03,9.01 02/13/12
SUNPOWER CORP DE 2.02,9.01 02/16/12
Sunshine Heart, Inc. DE 7.01,9.01 02/14/12
SUPERTEL HOSPITALITY INC VA 1.01,3.01,3.02,5.02, 02/15/12
9.01
SURREY BANCORP NC 7.01,9.01 02/15/12
SYCAMORE NETWORKS INC DE 2.02,9.01 02/16/12
SYNTEL INC MI 2.02,9.01 02/16/12
TANDY LEATHER FACTORY INC DE 8.01,9.01 02/16/12
TC PIPELINES LP DE 2.02,9.01 02/16/12
TEMPLE INLAND INC DE 2.01,3.01,3.03,5.01, 02/13/12
5.02,5.03
TETRIDYN SOLUTIONS INC NV 1.01,2.03,9.01 02/10/12
THERAVANCE INC DE 7.01,9.01 02/16/12
TORTOISE CAPITAL RESOURCES CORP 2.02,9.01 02/13/12
Tower Group, Inc. DE 1.01,2.03,9.01 02/15/12
Tower International, Inc. DE 2.02,7.01,9.01 02/16/12
TRINITY INDUSTRIES INC DE 2.02,7.01,9.01 02/15/12
TRW AUTOMOTIVE HOLDINGS CORP DE 2.02,9.01 02/16/12
TUFCO TECHNOLOGIES INC DE 2.02,9.01 02/14/12
UIL HOLDINGS CORP CT 5.02,8.01,9.01 02/14/12
ULTRA PETROLEUM CORP 2.02,9.01 12/31/11
ULTRA PETROLEUM CORP 8.01,9.01 12/31/11
ULTRALIFE CORP DE 2.02,2.05,9.01 02/15/12
Umami Sustainable Seafood Inc. NV 5.02 01/01/12
UNIVERSAL AMERICAN CORP. DE 2.02,9.01 02/15/12
UROLOGIX INC MN 5.02 02/10/12
URSTADT BIDDLE PROPERTIES INC MD 8.01,9.01 02/15/12
US ECOLOGY, INC. DE 2.02 02/16/12
USEC INC DE 5.02 02/16/12
UWHARRIE CAPITAL CORP NC 2.02,9.01 02/16/12
V F CORP PA 2.02,7.01,9.01 02/16/12
VALASSIS COMMUNICATIONS INC DE 2.02,9.01 02/16/12
VCA ANTECH INC DE 2.02,9.01 02/16/12
VECTREN CORP IN 2.02 02/16/12
Venoco, Inc. DE 2.02,9.01 02/16/12
VistaGen Therapeutics, Inc. NV 8.01,9.01 02/14/12
VITESSE SEMICONDUCTOR CORP DE 5.02,9.01 02/12/12
VIVUS INC CA 1.01,9.01 02/14/12
Vulcan Materials CO NJ 2.02,9.01 02/16/12
WADDELL & REED FINANCIAL INC DE 5.02,9.01 02/15/12
WASTE CONNECTIONS, INC. DE 5.02 02/13/12
WASTE MANAGEMENT INC DE 2.02,9.01 02/16/12
WCA WASTE CORP DE 1.01,8.01,9.01 02/16/12
WEB.COM GROUP, INC. DE 2.02,9.01 02/16/12
WEIGHT WATCHERS INTERNATIONAL INC VA 1.01,8.01,9.01 02/14/12
Wellesley Bancorp, Inc. 2.02,9.01 02/02/12
WEST PHARMACEUTICAL SERVICES INC PA 2.02,7.01,9.01 02/16/12
Westinghouse Solar, Inc. DE 2.02,9.01 02/16/12
Westinghouse Solar, Inc. DE 9.01 02/16/12
WILLIS GROUP HOLDINGS PLC L2 7.01,9.01 02/16/12
WORLD HEART CORP DE 3.01 02/14/12
XO GROUP INC. DE 2.02,9.01 02/16/12
XPLORE TECHNOLOGIES CORP DE 7.01,9.01 02/16/12
Yayi International Inc DE 5.02,9.01 02/10/12
YTB International, Inc. DE 1.01 02/10/12
ZIONS BANCORPORATION /UT/ UT 8.01 02/15/12
Zoo Entertainment, Inc DE 1.01,2.03,5.02 02/14/12
http://www.sec.gov/news/digest/2012/dig021712.htm
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