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SEC News Digest
Issue 2012-47
March 9, 2012
Commission announcements
Securities and Exchange Commission Suspends Trading in the Securities of Six 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 March 9, 2012, and terminating at 11:59 p.m. EDT on March 22, 2012.
- Advanced Growing Systems, Inc. (AGWS)
- Advantage Capital Development Corp. (AVCP)
- Amazon Biotech, Inc. (AMZO)
- Andover Holdings, Inc. a/k/a Andover Energy Holdings, Inc. (ADEH)
- Bravo! Brands, Inc. (BRVO)
- BSML, Inc. (BSMLQ)
The Commission temporarily suspended trading in the securities of these six 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. 34-66545)
Commission meetings
Closed Meeting on Thursday, March 15, 2012 at 9:30 a.m.
The subject matter of the Closed Meeting scheduled for Thursday, March 15, 2012, will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; a collection matter; 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.
Rules and related matters
Order Granting an Application of BF Enterprises, Inc. under Section 12(h) of the Securities Exchange Act of 1934
The Securities and Exchange Commission has issued an order granting the application of BF Enterprises, Inc., pursuant to Section 12(h) of the Securities Exchange Act of 1934, to exempt BF Enterprises from the requirement to register its common stock under Section 12(g) of the Exchange Act. (Rel. 34-66541; File No. 81-937)
Enforcement proceedings
In the Matter of Brian S. Cherry
On March 7, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) and Notice of Hearing (Order) against Brian S. Cherry (Cherry) based upon the entry on February 3, 2012 of a permanent injunction against Cherry in Securities and Exchange Commission v. Jerry L. Aubrey, et al. (Civil Action Number 8:11-cv-01564-JVS-RNB (C.D. Cal.)), permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder.
A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to provide Cherry an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest.
The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. 34-66531; File No. 3-14789)
In the Matter of Aaron M. Glasser
On March 7, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) and Notice of Hearing (Order) against Aaron M. Glasser (Glasser) based upon the entry on February 3, 2012 of a permanent injunction against Glasser in Securities and Exchange Commission v. Jerry L. Aubrey, et al. (Civil Action Number 8:11-cv-01564-JVS-RNB (C.D. Cal.)), permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder.
A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to provide Glasser an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest.
The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. 34-66532; File No. 3-14790)
Commission Orders Hearings on Registration Suspension or Revocation Against Six 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 six companies for failure to make required periodic filings with the Commission:
In the Matter of Advanced Growing Systems, Inc., et al., Administrative Proceeding File No. 3-14794
- Advanced Growing Systems, Inc. (AGWS)
- Advantage Capital Development Corp. (AVCP)
- Amazon Biotech, Inc. (AMZO)
- Andover Holdings, Inc. a/k/a Andover Energy Holdings, Inc. (ADEH)
- Bravo! Brands, Inc. (BRVO)
- BSML, Inc. (BSMLQ)
In this Order, the Division of Enforcement (Division) alleges that the six 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. 34-66546; File No. 3-14794)
Initial Decision as to Locke Capital Management, Inc., Declared Final
The Commission has declared final the initial decision of an administrative law judge barring Locke Capital Management, Inc. (Locke) from acting as an investment adviser. On June 30, 2011, the United States District Court for the District of Rhode Island entered a final judgment against Locke. The Final Judgment permanently enjoined Locke from violating Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and Sections 204, 204A, 206(1), 206(2), 206(4), and 207 of the Investment Advisers Act of 1940 (Advisers Act) and Rules 204-2(a)(6), 204-2(a)(8), 204-2(a)(10), 204-2(a)(15), 204-2(a)(16), 204A-1, and 206(4)-1(a)(5) thereunder. The Final Judgment also ordered Locke to pay, jointly and severally with Leila C. Jenkins (Jenkins), disgorgement in the amount of $1,892,476 and imposed a civil penalty in the amount of $1,781,520. SEC v. Locke Capital Management, Inc., Civil Action Number 1:09-cv-00100-S-DLM (Civil Case).
Locke was founded and solely owned by Leila C. Jenkins, who served as its president, chief executive officer, and chief investment officer. Locke was marketed as a global equity management boutique. In 1997, Locke was registered as an investment adviser with the Commission. It has since withdrawn its registration as an investment adviser. As of March 9, 2009, Locke has been incorporated in Rhode Island, with offices in Newport, Rhode Island as well as New York, New York.
The initial decision found that Locke's misconduct was egregious, recurrent, and involved a high degree of scienter. For several years, Locke lied to investors, fabricated a client base and falsified records and filings made with the Commission. In 2004 and 2005, for example, Jenkins represented to a client that Locke had $581 million in assets under management for three clients, including a supposed Swiss bank. But, in fact, there were no clients for those years. From 2005 to approximately 2008 Locke made misrepresentations to clients and potential clients about the investment returns on its various investment strategies by preparing and distributing to them certain marketing brochures that purported investment returns dating back to1990, Locke did not exist in 1990. Locke also misrepresented to clients and potential clients that it's investment performance figures complied with Global Investment Performance Standards, when in fact, they were not GIPS-compliant. These misrepresentations, together with the falsification of records and filings Locke made with the Commission, resulted in a fraud and generated approximately $1.78 million in fees.
The law judge further noted that there was a "reasonable likelihood Locke could attempt to evade securities laws and regulations in the future if it sought to continue doing business," thus warranting a permanent bar. (Rel. IA-3381; File No. 3-14457)
In the Matter of Richard Dalton
An Administrative Law Judge issued an Order Making Findings and Imposing Sanctions by Default (Default Order) in Richard Dalton, Admin. Proc. No. 3-14672. The Order Instituting Proceedings (OIP) alleged that Respondent Richard Dalton (Dalton) was permanently enjoined from violating the registration and antifraud provisions of the federal securities statutes in SEC v. Dalton, No. 1:10-cv-2794-REB-KLM, 2011 U.S. Dist. LEXIS 138350 (D. Colo. Dec. 1, 2011). The Default Order finds the allegations of the OIP to be true and that, in addition, the district court found Dalton jointly and severally liable with Universal Consulting Resources, LLC, a company he operated, for disgorgement of ill-gotten gains of $7,549,458, prejudgment interest of $744,032, and civil penalties of $7,549,458. Dalton was held in civil contempt and incarcerated for violating a Temporary Restraining Order, which required that he provide the court and the Securities and Exchange Commission with an accounting.
The Default Order bars Dalton, pursuant to Section 15(b) of the Securities Exchange Act of 1934, from association with a broker, dealer, investment adviser, municipal securities dealer, transfer agent, and from participating in an offering of penny stock. (Rel. 34-66547; File No. 3-14672)
Commission Declares Initial Decision Final as to Leila C. Jenkins
The Commission has declared final the initial decision of an administrative law judge barring Leila C. Jenkins (Jenkins) from associating with a broker, dealer, or investment adviser. The initial decision found that on June 30, 2011, the United States District Court for the District of Rhode Island entered a Final Judgment against Jenkins. The Final Judgment permanently enjoined Jenkins from violating Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and Sections 206(1), 206(2), and 207 of the Investment Advisers Act of 1940 (Advisers Act), and from aiding and abetting violations of Sections 204 and 206(4) of the Advisers Act and Rules 204-2(a)(6), 204-2(a)(8), 204-2(a)(10), 204-2(a)(15), 204-2(a)(16), and 206(4)-1(a)(5) thereunder. SEC v. Locke Capital Management, Inc., Civil Action number 1:09-cv-00100-S-DLM (Civil Case). Jenkins was also ordered by the Final Judgment to pay disgorgement, jointly and severally with her firm, in the amount of $1,892,476 and, a civil penalty in the amount of $1,781,520, was also imposed.
Leila C. Jenkins was the founder and sole owner of an investment advisory firm, Locke Capital Management, Inc. (Locke), operating out of Newport, Rhode Island. Jenkins, in an effort to attract potential investors, devised a scheme involving fraudulent activity that spanned several years. Jenkins misrepresented Locke's apparent assets under management through the use of false advertisements. She distributed brochures representing that Locke was managing more than $1 billion in assets, knowing that investors rely on assets under management in deciding whether to entrust their funds to a particular investment adviser, and investors will sometimes only patronize firms that meet a minimum threshold. She fabricated a client, a "Swiss Private Bank," whose assets purportedly were a major portion of Locke's assets under management. She also included these inflated assets in the records and Forms ADV that were submitted to the Commission.
The initial decision noted that the District Court found that Jenkins' conduct was egregious and recurrent because it "spanned a number of years and reflect[ed] a great effort to piece together a fraudulent scheme, cover it up, and then continue to lie about it throughout [the] litigation." The Court further found that Jenkins had a "conscious intent to defraud" and that she acted with scienter because she "must have known that her representations were false." (Rel. 34-66548; File No. 3-14458)
Commission Dismisses Review Proceeding Sought by James Lee Goldberg of FINRA Denial of Waiver of Examination Requirements
The Commission dismissed a review proceeding in which James Lee Goldberg, a registered general securities representative with Katalyst Securities, LLC, a FINRA member firm, challenged FINRA's denial of a waiver of the qualification examination required by Membership and Registration Rules 1031(c) and 1032(I) for a Series 79 (investment banking representative securities license. Mr. Goldberg sought the waiver based a claim of an alleged filing error caused by the failure of Westor Capital Group, Inc., a former FINRA member firm with which Goldberg had been associated, to "opt" him into the Series 79 category during the 2009 opt-in period, and on Goldberg's experience in the securities industry.
The Commission found that the record did not support a finding that any filing error occurred. Specifically, the Commission found that Goldberg could not establish that he had a good faith belief that he was properly registered as a Series 79 licensee during the opt-in period, as required by FINRA's Waiver Guidelines, or even that he had a good faith belief that he was properly registered as a Series 7 licensee, a prerequisite for qualifying for opting into the Series 79 registration, during the opt-in period. The Commission also agreed with FINRA that Goldberg had not shown that his experience presented an exceptional case, because Goldberg's description of his investment banking experience was only in general terms and the record showed that Goldberg had no direct experience in investment banking as a registered representative. (Rel. 34-66549; File No. 3-14544)
District Judge Approves SEC Settlement With Koss Corporation and Michael J. Koss, Its CEO and Former CFO
On February 22, 2012, the Honorable Rudolph T. Randa, U.S. District Judge for the Eastern District of Wisconsin, approved the settlement of the Securities and Exchange Commission’s Complaint against Koss Corporation (“Koss”), located in Milwaukee, Wisconsin, and Michael J. Koss, its CEO and former CFO. The case is based on Koss Corporation’s preparation of materially inaccurate financial statements, book and records, and lack of adequate internal controls from fiscal years 2005 through 2009. The S.E.C. responded to a letter dated December 20, 2011, in which the District Judge Randa requested that the S.E.C. address concerns about the proposed settlement. Based on the S.E.C.’s response, District Judge Randa stated the Court was “satisfied that the injunctions are sufficiently specific… [and] that the proposed final judgments are fair, reasonable, adequate, and in the public interest.” The Injunctive Orders:
1. Enjoin Koss from violating and Michael J. Koss from aiding and abetting violations of the reporting, books and records and internal controls provisions (Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Securities Exchange Act of 1934 and Rules 12b-20, 13a-1, 13a-11 and 13a-13) of the federal securities laws and Michael J. Koss from violating the certification provision (Section 13a-14 of the Exchange Act) and
2. Order Michael J. Koss to reimburse Koss $242,419 in cash and 160,000 of options pursuant to Section 304 of the Sarbanes-Oxley Act. This bonus reimbursement, together with his previous voluntary reimbursement of $208,895 in bonuses to Koss Corporation represents his entire fiscal year 2008, 2009 and 2010 incentive bonuses.
The Commission acknowledges the assistance of the U.S. Attorney’s Office for the Eastern District of Wisconsin, the Federal Bureau of Investigation and the Public Company Accounting Oversight Board. The Commission considered the cooperation of Koss Corporation and Michael J. Koss in determining to accept their settlement.
For further information see LR 22279 / AAER 3368; and LR 22138 / AAER 3330 (October 24, 2011. [SEC v. Koss Corporation and Michael J. Koss., Civil Case No. 2:11-cv-00991, USDC, E.D., Wisc.] (LR-22279; AAE Rel. 3368)
Commission Charges Two Operators of Home Maintenance Company with Conducting Fraudulent Securities Offering
The Commission announced that, on March 7, 2012, it filed a civil action in the United States District Court for the Eastern District of Pennsylvania against Edward V. Ellis, Sr. and Jennifer L. Seidel of Pottstown, Pennsylvania. The Commission’s complaint alleges that Ellis and Seidel orchestrated a fraudulent, unregistered offering of Sederon, Inc. (Sederon) stock. Sederon was a Collegeville, Pennsylvania, based company that provided home maintenance services to residential home owners. Ellis and Seidel have agreed to settle the matter. The settlements are pending final approval by the court.
The Commission’s complaint alleges that from at least August 2007 through October 2008, Ellis and Seidel raised approximately $519,500 from more than 50 investors by offering and selling Sederon stock through material misrepresentations and omissions. According to the complaint, Ellis and Seidel made numerous misrepresentations to investors, including that Sederon was a highly profitable and rapidly expanding home maintenance company, and that Sederon would soon be launching an initial public offering (IPO) that would allow investors to be able to sell their shares in the open market at a profit of 900 to 1,300 percent. In reality, Sederon never pursued an IPO, was never profitable, and often failed to generate enough revenue to meet payroll and other expenses. The defendants also misled investors about the use of investor proceeds, and failed to disclose the fact that Ellis is a convicted felon and securities fraud recidivist.
Ellis and Seidel have each consented to the entry of an order permanently enjoining them from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The order will bar Ellis and Seidel from serving as an officer or director of a public reporting company. Ellis and Seidel will also be ordered, jointly and severally, to pay disgorgement and prejudgment interest of $569,575.
The defendants each pled guilty to criminal charges of mail fraud and wire fraud in connection with the same conduct alleged in the Commission’s complaint. The Commission acknowledges the assistance and cooperation of the U.S. Attorney’s Office for the Eastern District of Pennsylvania and the United States Postal Inspection Service. [SEC v. Edward V. Ellis, Sr. and Jennifer L. Seidel, Civil Action No.12-cv-1203 (CDJ) E.D.Pa.] (LR-22281)
Self-Regulatory Organizations
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NASDAQ OMX BX to identify the proprietary data feed of BOX market information that BOX makes available to its options participants at no charge (SR-BX-2012-017) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-66526)
A proposed rule change (SR-BX-2012-016) filed by The NASDAQ OMX BX, Inc. to modify pricing for BX members using the NASDAQ OMX BX equities systems has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-66537)
The National Securities Clearing Corporation filed a proposed rule change (SR-NSCC-2012-03) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to messaging and settlement enhancements to the In Force Transactions product service of NSCC’s Insurance and Retirement Services and the establishment of fees applicable thereto. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-66539)
A proposed rule change filed by NASDAQ OMX BX, Inc. to modify connectivity options and fees (SR-BX-2012-012) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-66542)
Accelerated Approval of Proposed Rule Change
ICE Clear Europe Limited filed a proposed rule change (SR-ICEEU-2012-03) under Section 19(b)(1) of the Securities Exchange Act of 1934 to revise rules related to certain operational changes relating to timing, effectiveness, and operation of Transfer Orders for purposes of compliance with non-U.S. legislation. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-66538)
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 KRATOS DEFENSE & SECURITY SOLUTIONS, INC., 4820 EASTGATE MALL, .,
SAN DIEGO, CA, 92121, 858-812-7300 - 0 ($9,364,976.20) Equity,
(File 333-179977 - Mar. 8) (BR. 11A)
S-1 FENDER MUSICAL INSTRUMENTS CORP, 0 ($200,000,000.00) Equity,
(File 333-179978 - Mar. 8) (BR. 05)
S-3 RIGEL PHARMACEUTICALS INC, 1180 VETERANS BOULEVARD,
SOUTH SAN FRANCISCO, CA, 94080, 0 ($200,000,000.00) Equity,
(File 333-179979 - Mar. 8) (BR. 01B)
S-3ASR EV Energy Partners, LP, 1001 FANNIN, SUITE 800, HOUSTON, TX, 77002,
713-659-3500 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-179981 - Mar. 8) (BR. 04A)
S-8 NOKIA CORP, KEILALAHDENTIE 4, P O BOX 226, ESPOO FINLAND, H9, 00000,
0358018071 - 11,800,000 ($58,823,000.00) ADRs/ADSs, (File 333-179982 -
Mar. 8) (BR. 11A)
F-1 Acquity Group Ltd, 6TH FLOOR, ALEXANDRA HOUSE, 18 Chater Road,
Hong Kong, K3, 00000, (852) 3106-4999 - 0 ($55,000,000.00) ADRs/ADSs,
(File 333-179983 - Mar. 8) (BR. 03C)
S-8 BROADVISION INC, 1600 SEAPORT BLVD.,, SUITE 550, NORTH BLDG.,
REDWOOD CITY, CA, 94063, 6503311000 - 180,713 ($7,360,424.00) Equity,
(File 333-179987 - Mar. 8) (BR. 03C)
S-8 Carbonite Inc, 177 HUNTINGTON AVENUE, BOSTON, MA, 02115, 6175871140 -
1,005,493 ($8,707,569.38) Equity, (File 333-179988 - Mar. 8) (BR. 03C)
S-3 ADVENTRX PHARMACEUTICALS INC, 12390 EL CAMINO REAL, SUITE 150,
SAN DIEGO, CA, 92130, 8585520866 -
0 ($150,000,000.01) Unallocated (Universal) Shelf, (File 333-179989 -
Mar. 8) (BR. 01A)
S-8 Marlborough Software Development Holdings Inc., 500 NICKERSON ROAD,
MARLBOROUGH, MA, 01752, 617-497-6222 -
1,724,167 ($1,688,993.94) Equity, (File 333-179990 - Mar. 8) (BR. 03B)
S-8 ABM INDUSTRIES INC /DE/, 551 FIFTH AVENUE, SUITE 300, NEW YORK, NY,
10176, 212 297-0200 - 2,400,000 ($53,976,000.00) Equity,
(File 333-179991 - Mar. 8) (BR. 08C)
S-8 MAKO Surgical Corp., 2555 DAVIE ROAD, FT. LAUDERDALE, FL, 33317,
954-927-2044 - 1,676,312 ($65,711,430.40) Equity, (File 333-179992 -
Mar. 8) (BR. 10B)
S-3 Golden Minerals Co, 350 INDIANA STREET, SUITE 800, GOLDEN, CO, 80401,
3038395060 - 0 ($28,621,142.50) Equity, (File 333-179993 - Mar. 8)
(BR. 09B)
S-3 BENIHANA INC, 8685 NW 53RD TERRACE, MIAMI, FL, 33166, 3055930770 -
1,582,577 ($16,585,407.00) Equity, (File 333-179994 - Mar. 8) (BR. 05A)
S-8 UIL HOLDINGS CORP, 157 CHURCH ST, NEW HAVEN, CT, 06510, 2034992000 -
0 ($12,141,500.00) Equity, (File 333-179995 - Mar. 8) (BR. 02A)
S-8 UIL HOLDINGS CORP, 157 CHURCH ST, NEW HAVEN, CT, 06510, 2034992000 -
0 ($8,672,500.00) Equity, (File 333-179996 - Mar. 8) (BR. 02A)
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
A123 SYSTEMS, INC. DE 1.01 03/06/12
ACCENTIA BIOPHARMACEUTICALS INC FL 5.07 03/07/12
ACHILLION PHARMACEUTICALS INC DE 2.02,9.01 03/08/12
ACNB CORP PA 2.02,9.01 03/08/12
ACTIVE POWER INC DE 1.01,9.01 03/07/12
ADVANCED CELL TECHNOLOGY, INC. DE 3.02,8.01,9.01 03/08/12
ADVENTRX PHARMACEUTICALS INC DE 9.01 04/08/11 AMEND
AEROPOSTALE INC 2.02,9.01 03/08/12
AFC ENTERPRISES INC MN 2.02,9.01 03/07/12
AgFeed Industries, Inc. NV 1.01,9.01 03/02/12
Aircastle LTD D0 8.01,9.01 03/06/12
AKORN INC LA 5.02,9.01 03/02/12
ALEXANDRIA REAL ESTATE EQUITIES INC MD 8.01,9.01 03/08/12
ALIMERA SCIENCES INC DE 2.02,9.01 03/08/12
Alkermes plc. 1.01,7.01,9.01 03/08/12
ALLEGHENY TECHNOLOGIES INC DE 5.02,9.01 03/07/12
Allezoe Medical Holdings Inc DE 8.01 03/07/12
AMBASE CORP DE 8.01 03/08/12
AMERICAN DG ENERGY INC DE 2.02,9.01 03/08/12 AMEND
AMERICAN EAGLE OUTFITTERS INC DE 2.03,9.01 03/02/12
AMERICAN EAGLE OUTFITTERS INC DE 2.02,9.01 03/07/12
AMERICAN INTERNATIONAL GROUP INC DE 1.01 03/07/12
American Railcar Industries, Inc. ND 7.01,9.01 03/08/12
AMERICAN REALTY CAPITAL HEALTHCARE TR MD 2.01,2.03,5.02,9.01 03/08/12
AMERICAN TOWER CORP /MA/ DE 8.01,9.01 03/07/12
AMERITYRE CORP NV 5.02 03/02/12
AMN HEALTHCARE SERVICES INC DE 2.02,9.01 03/08/12
APPLETON PAPERS INC/WI 7.01 03/08/12
Approach Resources Inc DE 2.02,7.01,9.01 03/08/12
APRICUS BIOSCIENCES, INC. NV 5.02 03/05/12
ARENA PHARMACEUTICALS INC DE 8.01,9.01 03/08/12
ARES CAPITAL CORP MD 8.01,9.01 03/08/12
AROTECH CORP DE 8.01 03/07/12
ASBURY AUTOMOTIVE GROUP INC DE 5.02 03/07/12
Ascena Retail Group, Inc. DE 8.01,9.01 03/08/12
ASSISTED LIVING CONCEPTS INC NV 2.02,9.01 03/08/12
ASSISTED LIVING CONCEPTS INC NV 8.01 03/08/12
ASSURANCEAMERICA CORP NV 1.01,9.01 03/07/12
ASTORIA FINANCIAL CORP DE 8.01 03/06/12
AVENTINE RENEWABLE ENERGY HOLDINGS IN DE 2.02 03/07/12
AXIS CAPITAL HOLDINGS LTD 7.01,9.01 03/08/12
BALLANTYNE STRONG, INC. DE 5.02 03/02/12
Banyan Rail Services Inc. DE 3.02 03/01/12
BASSETT FURNITURE INDUSTRIES INC VA 8.01 03/07/12
BCM Energy Partners Inc. DE 5.02 03/07/12
BEACON ENTERPRISE SOLUTIONS GROUP INC NV 5.02,7.01,9.01 03/08/12
BG Medicine, Inc. DE 2.02,8.01,9.01 03/08/12
BILL BARRETT CORP DE 1.01,2.03,7.01,9.01 03/05/12
BioNeutral Group, Inc NV 5.02 03/08/12
BIOVEST INTERNATIONAL INC DE 3.03,5.03,5.07,9.01 03/07/12
BOSTON SCIENTIFIC CORP DE 8.01,9.01 03/08/12
BRISTOL MYERS SQUIBB CO DE 8.01 03/06/12
BRUKER CORP DE 5.02 03/02/12
BUCKLE INC NE 2.02,9.01 03/08/12
CALAVO GROWERS INC CA 2.02,9.01 03/05/12
CAMPBELL FUND TRUST DE 3.02 03/01/12
CANTEL MEDICAL CORP DE 2.02,5.02,9.01 03/06/12
CAPITAL SENIOR LIVING CORP DE 2.02,7.01,9.01 03/07/12
CECO ENVIRONMENTAL CORP DE 2.02,9.01 03/08/12
CELADON GROUP INC DE 3.01 03/02/12
Changda International Holdings, Inc. NV 5.02 03/01/12
CHART INDUSTRIES INC DE 7.01,9.01 03/08/12
CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 03/08/12
China Green Agriculture, Inc. NV 1.01,3.02,8.01,9.01 03/08/12
China Natural Gas, Inc. DE 3.01 03/06/12
CHYRON CORP NY 2.02,9.01 03/08/12
CIRCLE STAR ENERGY CORP. NV 7.01,9.01 03/08/12
Clearwater Paper Corp DE 7.01,9.01 03/07/12
CMS ENERGY CORP MI 7.01,9.01 03/08/12
CNL Healthcare Trust, Inc. MD 5.03,9.01 03/08/12 AMEND
COLE CORPORATE INCOME TRUST, INC. MD 5.02,8.01 03/07/12
Cole Credit Property Trust II Inc MD 5.02,8.01 03/06/12
Cole Credit Property Trust III, Inc. MD 8.01 03/07/12
COLE REAL ESTATE INCOME STRATEGY (DAI MD 8.01 03/06/12
COLUMBIA LABORATORIES INC DE 2.02,9.01 03/08/12
COMFORT SYSTEMS USA INC 7.01,9.01 03/08/12
COMMUNITY HEALTH SYSTEMS INC DE 7.01,8.01,9.01 03/07/12
COMPLETE GENOMICS INC DE 2.02,9.01 03/08/12
COMPREHENSIVE CARE CORP DE 1.01,8.01,9.01 03/05/12
Computer Vision Systems Laboratories DE 3.02,5.02,9.01 03/07/12
COMTECH TELECOMMUNICATIONS CORP /DE/ DE 2.02,7.01,9.01 01/31/12
CONSOL Energy Inc DE 8.01,9.01 03/06/12
CONTINENTAL AIRLINES INC /DE/ DE 8.01,9.01 03/08/12
CONTINENTAL RESOURCES INC OK 1.01,2.03,9.01 03/08/12
COOPER COMPANIES INC DE 2.02,9.01 03/08/12
Core-Mark Holding Company, Inc. DE 2.02,9.01 03/08/12
Cornerstone OnDemand Inc DE 1.01,8.01,9.01 03/08/12
CORNERSTONE THERAPEUTICS INC DE 2.02,9.01 03/08/12
COVANTA HOLDING CORP DE 8.01,9.01 03/08/12
COVANTA HOLDING CORP DE 8.01,9.01 03/08/12
COVANTA HOLDING CORP DE 8.01,9.01 03/08/12
Crestwood Midstream Partners LP DE 7.01,9.01 03/08/12
CROSSTEX ENERGY INC DE 7.01 03/08/12
CROSSTEX ENERGY LP DE 7.01 03/08/12
CTPARTNERS EXECUTIVE SEARCH INC. DE 2.02,9.01 03/07/12
CYTORI THERAPEUTICS, INC. DE 2.02,9.01 03/08/12
Deep Down, Inc. NV 8.01 03/02/12
Delek US Holdings, Inc. 2.02,9.01 03/07/12
DELL INC DE 7.01 03/05/12
DEPOMED INC CA 2.02,8.01,9.01 03/08/12
Destination Maternity Corp DE 5.02,9.01 03/06/12
Diamond Foods Inc DE 5.02,7.01,9.01 03/07/12
Digital Realty Trust, Inc. 5.02 03/05/12
DISCOUNT DENTAL MATERIALS, INC. NV 4.01,9.01 03/06/12 AMEND
DIXIE GROUP INC TN 2.02,9.01 03/08/12
DIXIE GROUP INC TN 7.01,9.01 03/08/12
DOMINOS PIZZA INC 8.01,9.01 02/28/12 AMEND
DOUBLE EAGLE PETROLEUM CO MD 2.02,7.01,9.01 03/07/12
DTE ENERGY CO MI 7.01,9.01 03/08/12
DUKE REALTY CORP IN 7.01,9.01 03/08/12
DUKE REALTY LIMITED PARTNERSHIP/ IN 7.01,9.01 03/08/12
DUSA PHARMACEUTICALS INC NJ 5.03,9.01 03/05/12
DYNEGY INC. DE 2.02,5.02,7.01,9.01 03/08/12
ECOSPHERE TECHNOLOGIES INC DE 2.02,7.01,9.01 03/08/12
Ellington Financial LLC DE 7.01,9.01 03/07/12
Emergent BioSolutions Inc. DE 2.02,9.01 03/08/12
Emergent BioSolutions Inc. DE 1.01 03/08/12
EMMIS COMMUNICATIONS CORP IN 5.03,8.01,9.01 03/08/12
Energy Recovery, Inc. DE 2.02,9.01 03/08/12
Entertainment Gaming Asia Inc. NV 2.02,9.01 03/08/12
ENVIRO VORAXIAL TECHNOLOGY INC ID 4.01,9.01 02/15/12 AMEND
Federal Home Loan Bank of Atlanta X1 2.03 03/08/12
Federal Home Loan Bank of Boston X1 2.03 03/05/12
Federal Home Loan Bank of Chicago X1 2.03 03/06/12
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 03/05/12
Federal Home Loan Bank of Des Moines X1 2.03,9.01 03/06/12
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 03/08/12
Federal Home Loan Bank of New York X1 2.03,9.01 03/05/12
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 03/05/12
Federal Home Loan Bank of San Francis X1 2.03 03/05/12
Federal Home Loan Bank of Seattle 2.03 03/06/12
Federal Home Loan Bank of Topeka 2.03,9.01 03/05/12
FIDUS INVESTMENT Corp MD 2.02,9.01 03/08/12
FIRST PACTRUST BANCORP INC MD 8.01 03/07/12
FIRSTCITY FINANCIAL CORP DE 5.02 03/02/12
Freeze Tag, Inc. DE 3.02,9.01 02/02/12
Fuel Systems Solutions, Inc. 2.02,9.01 03/08/12
FULLER H B CO MN 1.01,2.01,2.03,7.01, 03/05/12
9.01
FX Alliance Inc. 2.02,7.01,9.01 03/08/12
GALLAGHER ARTHUR J & CO DE 8.01,9.01 03/08/12
GCI INC AK 2.02,9.01 03/07/12
GENCOR INDUSTRIES INC DE 5.07 03/08/12
GENERAL COMMUNICATION INC AK 2.02,9.01 03/07/12
GENERAL DYNAMICS CORP DE 5.02,9.01 03/07/12
GenMark Diagnostics, Inc. DE 2.02,9.01 03/08/12
GLOBAL NUTECH, INC. NV 1.01,2.01,2.03,3.02, 12/30/11 AMEND
5.01,5.02,9.01
GLOBAL PARTNERS LP 2.02,7.01,9.01 03/08/12
GLOBALSCAPE INC DE 7.01 03/08/12
GMX RESOURCES INC OK 3.02 03/07/12
GOLDMAN SACHS GROUP INC DE 9.01 03/08/12
GRANDPARENTS.COM, INC. DE 8.01,9.01 03/08/12
GREATBATCH, INC. DE 5.02,8.01,9.01 03/02/12
GSE SYSTEMS INC DE 2.02 03/08/12
HALCON RESOURCES CORP DE 5.02,8.01,9.01 03/02/12
HARVEST NATURAL RESOURCES, INC. DE 8.01,9.01 03/06/12
HAWAIIAN HOLDINGS INC DE 5.02 03/02/12
HEALTH CARE REIT INC /DE/ DE 3.03,5.03,9.01 03/06/12
Heckmann Corp DE 2.02,7.01,9.01 03/08/12
HELMERICH & PAYNE INC DE 5.07 03/07/12
HI TECH PHARMACAL CO INC NY 2.02,9.01 03/08/12
Hill International, Inc. DE 2.02,9.01 03/06/12
Hill-Rom Holdings, Inc. IN 5.07 03/06/12
HOLOGIC INC DE 1.01,2.03,3.02,5.03, 03/05/12
5.07,9.01
HOME LOAN SERVICING SOLUTIONS, LTD. E9 2.03,9.01 03/05/12
Homeowners Choice, Inc. FL 2.02,9.01 03/08/12
HORIZON PHARMA, INC. DE 1.01,9.01 03/05/12
HORIZON PHARMA, INC. DE 5.02 03/05/12
HORTON D R INC /DE/ DE 1.01,2.03,9.01 03/02/12
Hubei Minkang Pharmaceutical Ltd. NV 8.01,9.01 02/29/12
Hudson Pacific Properties, Inc. MD 2.02,7.01,9.01 03/08/12
Huntington Auto Trust 2012-1 DE 1.01,8.01,9.01 03/08/12
HUNTINGTON BANCSHARES INC/MD MD 7.01 03/05/12
HUNTINGTON BANCSHARES INC/MD MD 8.01 03/08/12
Idle Media, Inc. NV 8.01 03/07/12
IGATE CORP PA 5.02 03/06/12
IMPLANT SCIENCES CORP MA 5.02,7.01,9.01 03/08/12
INDUSTRIAL SERVICES OF AMERICA INC /F FL 2.02,9.01 03/07/12
Information Services Group Inc. DE 2.02,9.01 03/07/12
INGRAM MICRO INC DE 5.02,5.03,5.05,9.01 03/06/12
INLAND REAL ESTATE CORP MD 8.01,9.01 03/06/12
Intellicheck Mobilisa, Inc. DE 2.02,9.01 03/08/12
Interval Leisure Group, Inc. DE 2.02,8.01,9.01 03/08/12
INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 03/08/12
INVIVO THERAPEUTICS HOLDINGS CORP. NV 5.02,9.01 03/04/12
ISLE OF CAPRI CASINOS INC DE 1.01,2.06,7.01,9.01 03/04/12
ITT Corp IN 2.02,7.01,9.01 02/29/12
JEWETT CAMERON TRADING CO LTD OR 8.01 03/07/12
JONES SODA CO WA 2.02,9.01 03/08/12
KBS Legacy Partners Apartment REIT, I MD 7.01,9.01 03/08/12
KBS Legacy Partners Apartment REIT, I MD 1.01,2.03 03/07/12
KEATING CAPITAL INC 7.01,9.01 03/07/12
KEYCORP /NEW/ OH 5.02,8.01,9.01 03/08/12
LA-Z-BOY INC MI 8.01,9.01 03/05/12
LEUCADIA NATIONAL CORP NY 5.02,5.03,9.01 03/05/12
LIBERTY STAR URANIUM & METALS CORP. NV 3.02 02/12/12
LIFETIME BRANDS, INC DE 2.02,9.01 03/08/12
LIME ENERGY CO. DE 2.02,9.01 03/08/12
LIQTECH INTERNATIONAL INC NV 8.01,9.01 03/02/12
LITTLEFIELD CORP DE 2.02 03/07/12
LUNA INNOVATIONS INC DE 2.02,9.01 03/08/12
M&T BANK CORP NY 7.01,9.01 03/08/12
MAC-GRAY CORP DE 2.02,9.01 03/08/12
MACK CALI REALTY CORP MD 5.02,8.01 03/06/12
Main Street Capital CORP MD 2.02,9.01 03/08/12
Matador Resources Co TX 2.02,7.01,9.01 03/07/12
MAXIMUS INC VA 5.07 03/07/12
MAXYGEN INC DE 2.02,5.02,9.01 03/02/12
MAYS J W INC NY 2.02 03/08/12
MCDONALDS CORP DE 7.01,9.01 03/08/12
MEDALLION FINANCIAL CORP DE 2.02,9.01 03/07/12
METROPOLITAN HEALTH NETWORKS INC FL 2.02,5.02,9.01 03/04/12
MIDDLESEX WATER CO NJ 2.02,9.01 03/07/12
MITEL NETWORKS CORP 7.01,9.01 03/08/12
MMEX Mining Corp 3.02,5.01,5.02 03/07/12
MModal Inc. DE 2.02,9.01 03/07/12
MOTORCAR PARTS AMERICA INC NY 2.02,9.01 03/07/12
MTR GAMING GROUP INC DE 2.02,9.01 03/08/12
Mueller Water Products, Inc. DE 1.01,7.01,9.01 03/07/12
MusclePharm Corp NV 1.01,2.03,3.02,9.01 03/02/12
MWI Veterinary Supply, Inc. DE 1.01 03/02/12
N-VIRO INTERNATIONAL CORP DE 8.01,9.01 03/08/12
NATIONAL BEVERAGE CORP DE 2.02,9.01 03/08/12
NATIONAL MENTOR HOLDINGS, INC. DE 5.05,9.01 03/08/12
NATURAL GAS SERVICES GROUP INC 2.02 03/08/12
NATURALLY ADVANCED TECHNOLOGIES INC A1 8.01,9.01 03/07/12
NAVISTAR INTERNATIONAL CORP DE 2.02,7.01,9.01 03/08/12
NETREIT, INC. MD 8.01 03/05/12
NeurogesX Inc CA 2.02,2.05,8.01,9.01 03/05/12
NEWS CORP 8.01,9.01 03/08/12
NEXSTAR BROADCASTING GROUP INC DE 2.02,9.01 03/08/12
NGP Capital Resources Co MD 2.02,9.01 03/08/12
Noranda Aluminum Holding CORP DE 8.01,9.01 03/08/12
Obagi Medical Products, Inc. DE 2.02,9.01 03/08/12
Omega Flex, Inc. PA 1.01 12/31/11
OMEGA PROTEIN CORP NV 2.02,9.01 03/08/12
ONCOGENEX PHARMACEUTICALS, INC. DE 2.02,7.01,9.01 03/08/12
Orexigen Therapeutics, Inc. DE 1.01,1.02,2.02,9.01 03/02/12
ORIGINOIL INC NV 8.01,9.01 03/08/12
OVERSEAS SHIPHOLDING GROUP INC DE 8.01,9.01 03/08/12
PALMETTO BANCSHARES INC SC 2.02,9.01 03/08/12
Pay Mobile, Inc NV 3.02 03/08/12
PDL BIOPHARMA, INC. DE 7.01,9.01 03/08/12
PEPCO HOLDINGS INC DE 1.01,9.01 03/05/12
PERICOM SEMICONDUCTOR CORP CA 1.01,3.03,5.03,9.01 03/06/12
PHARMATHENE, INC DE 2.02,9.01 03/08/12
PLAINS ALL AMERICAN PIPELINE LP DE 1.01,7.01,9.01 03/06/12
PLANTRONICS INC /CA/ DE 8.01,9.01 03/08/12
PLUG POWER INC DE 2.02,9.01 03/08/12
PNC FINANCIAL SERVICES GROUP, INC. PA 2.02,9.01 03/08/12
PNC FINANCIAL SERVICES GROUP, INC. PA 8.01,9.01 03/08/12
Post Holdings, Inc. MO 2.02,9.01 03/08/12
PostRock Energy Corp DE 2.02,9.01 03/07/12
POWERSECURE INTERNATIONAL, INC. DE 2.02,9.01 03/08/12
PREMIER ALLIANCE GROUP, INC. NV 2.01 03/05/12
PREMIER FINANCIAL BANCORP INC KY 2.02,9.01 03/06/12
PRESSURE BIOSCIENCES INC MA 8.01,9.01 03/08/12
PRICELINE COM INC DE 5.02,9.01 03/04/12
PROGRESS ENERGY INC NC 8.01,9.01 03/05/12
QAD INC DE 2.02,9.01 03/08/12
QUALITY DISTRIBUTION INC FL 1.01,8.01,9.01 03/07/12
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 2.02,9.01 03/08/12
QUIKSILVER INC DE 2.02,9.01 03/08/12
Radiation Therapy Services Holdings, DE 2.02,9.01 03/07/12
REAL ESTATE ASSOCIATES LTD II CA 8.01 02/14/12
REAL ESTATE ASSOCIATES LTD VI CA 8.01 12/06/11
REAL ESTATE ASSOCIATES LTD VI CA 8.01 03/02/12
RealD Inc. DE 8.01,9.01 03/08/12
REALMARK PROPERTY INVESTORS LIMITED P DE 4.01,9.01 03/08/12
REALMARK PROPERTY INVESTORS LTD PARTN DE 4.01,9.01 03/08/12
REALMARK PROPERTY INVESTORS LTD PARTN DE 4.01,9.01 03/08/12
Remark Media, Inc. DE 8.01,9.01 03/08/12
RES CARE INC /KY/ KY 1.02,5.02 03/05/12
Resource Capital Corp. MD 2.02,9.01 03/07/12
REVA Medical, Inc. DE 7.01,9.01 03/08/12
RigNet, Inc. DE 2.02,9.01 03/07/12
RigNet, Inc. DE 5.02,8.01,9.01 03/07/12
RING ENERGY, INC. NV 1.01 03/01/12
Riverview Financial Corp PA 7.01,8.01,9.01 03/07/12
RLJ Lodging Trust MD 2.02,9.01 03/07/12
Rock-Tenn CO GA 8.01 03/08/12
RPM Dental, Inc. DE 5.03,8.01,9.01 03/07/12
SAFETY INSURANCE GROUP INC DE 2.02,9.01 03/08/12
SALEM COMMUNICATIONS CORP /DE/ DE 8.01,9.01 03/08/12
SALEM COMMUNICATIONS CORP /DE/ DE 2.02,7.01,9.01 12/31/11
SANTARUS INC DE 8.01 03/08/12
Santo Pita Corp NV 1.01,3.02,9.01 03/02/12
SAUL CENTERS INC MD 2.02,5.02,9.01 03/05/12
SCIENTIFIC GAMES CORP DE 5.02 03/05/12
SILICON LABORATORIES INC DE 5.02,9.01 03/08/12
SKULLCANDY, INC. 1.01,2.03,9.01 03/06/12
SM Energy Co DE 7.01,9.01 03/07/12
SmartPros Ltd. DE 2.02,5.02,8.01,9.01 03/08/12
SMITH & WESSON HOLDING CORP NV 2.02,9.01 03/08/12
SMITHFIELD FOODS INC VA 2.02,9.01 03/08/12
SMITHFIELD FOODS INC VA 2.02,9.01 11/07/11 AMEND
SMTC CORP DE 2.02,9.01 03/07/12
SOCKET MOBILE, INC. DE 1.01,9.01 03/08/12
SOHU COM INC DE 5.02 03/07/12
Solar Energy Initiatives, Inc. DE 5.03,9.01 03/07/12
SOLUTIA INC DE 8.01,9.01 03/08/12
Somaxon Pharmaceuticals, Inc. DE 2.02,9.01 03/08/12
SONIC FOUNDRY INC MD 5.07 03/07/12
STAMPS.COM INC DE 1.01 03/06/12
STAR SCIENTIFIC INC DE 7.01 03/07/12
STEWART ENTERPRISES INC LA 2.02,9.01 03/07/12
STRATEGIC AMERICAN OIL CORP NV 7.01,9.01 03/08/12
Summer Infant, Inc. DE 5.02,9.01 03/06/12
SWIFT TRANSPORTATION Co 1.01,9.01 03/06/12
TECUMSEH PRODUCTS CO MI 5.02,9.01 03/02/12
TEJON RANCH CO DE 2.02,9.01 03/07/12
TENNECO INC DE 8.01,9.01 03/08/12
Texas Gulf Energy Inc NV 5.03,8.01,9.01 02/25/12
TEXAS INSTRUMENTS INC DE 7.01,9.01 03/08/12
THERMOENERGY CORP DE 1.02,9.01 03/02/12
THL Credit, Inc. DE 2.02,9.01 03/08/12
THRESHOLD PHARMACEUTICALS INC DE 2.02,9.01 03/08/12
TICC Capital Corp. MD 2.02,9.01 03/08/12
TMX Finance LLC DE 8.01,9.01 03/08/12
TNP Strategic Retail Trust, Inc. MD 9.01 12/21/11 AMEND
TRANSACT TECHNOLOGIES INC DE 2.02,5.02 03/05/12
Treaty Energy Corp NV 1.01,9.01 03/06/12
TRI-CONTINENTAL CORP MD 7.01,9.01 03/08/12
TRIDENT MICROSYSTEMS INC DE 2.02,8.01,9.01 03/08/12
U S PHYSICAL THERAPY INC /NV NV 2.02,7.01,8.01,9.01 03/08/12
Ulta Salon, Cosmetics & Fragrance, In DE 2.02,5.02,8.01,9.01 03/08/12
Uni-Pixel DE 8.01,9.01 03/08/12
UNIGENE LABORATORIES INC DE 2.02,9.01 03/08/12
UNIGENE LABORATORIES INC DE 7.01,9.01 03/08/12
United Continental Holdings, Inc. DE 8.01,9.01 03/07/12
UNITED RENTALS INC /DE DE 1.01,2.03,9.01 03/05/12
UNITEDHEALTH GROUP INC MN 8.01,9.01 03/05/12
UNIVERSAL AMERICAN CORP. DE 1.01,2.01,2.03,3.02, 03/02/12
5.02,9.01
UNIVERSAL DISPLAY CORP \PA\ PA 1.01 03/08/12
US BANCORP \DE\ DE 7.01,9.01 03/08/12
VALIDUS HOLDINGS LTD 5.02 03/07/12
VECTREN CORP IN 5.03 03/08/12
VERISIGN INC/CA DE 2.02,9.01 03/08/12
Verso Paper Corp. DE 7.01 03/08/12
VIAD CORP DE 8.01,9.01 03/08/12
VIEWCAST COM INC DE 1.01,5.02,9.01 03/05/12
VISANT CORP 2.02,9.01 03/08/12
Walker & Dunlop, Inc. MD 2.02,9.01 03/08/12
WCA WASTE CORP DE 5.07,7.01,9.01 03/08/12
WELLS FARGO & CO/MN DE 9.01 03/08/12
WELLS FARGO & CO/MN DE 9.01 03/08/12
WIKILOAN INC. 5.02,8.01,9.01 03/01/12
WILEY JOHN & SONS, INC. NY 8.01 03/08/12
WILEY JOHN & SONS, INC. NY 7.01 01/31/12
WILLIAMS SONOMA INC CA 2.02,5.02,9.01 03/08/12
WINNEBAGO INDUSTRIES INC IA 7.01,9.01 03/08/12
WIRELESS RONIN TECHNOLOGIES INC MN 2.02,9.01 03/08/12
ZOGENIX, INC. DE 2.02,9.01 03/08/12
Zumiez Inc WA 2.02,9.01 03/08/12
http://www.sec.gov/news/digest/2012/dig030912.htm
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