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SEC News Digest
Issue 2012-127
July 2, 2012
Commission Announcements
Commission Revokes Exchange Act Registration Of Calais Resources, Inc.
The Commission has revoked the registration of the securities of Calais Resources, Inc., a Canadian corporation located in Nederland, Colorado, pursuant to Section 12(j) of the Securities Exchange Act of 1934. The Commission found that the company violated Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 by failing to file annual and quarterly reports over a period exceeding six years, from 2004 to 2011. Among other things, the Commission observed that the company has shown a “troubling pattern” of complying with regulatory requirements “only when it has concluded that its continued failure to do so will result in significant adverse consequences.” The Commission concluded that revoking the registration of the company's registered securities was necessary or appropriate for the protection of investors. (Rel. 34-67312; File No. 3-14271)
Securities And Exchange Commission Suspends Trading In Apogee Technology, Inc. For Failure To Make Required Periodic Filings
The United States Securities and Exchange Commission (Commission) announced the temporary suspension of trading in the securities of Apogee Technology, Inc. (“Apogee”), commencing at 9:30 a.m. EDT on July 2, 2012 and terminating at 11:59 p.m. EDT on July 16, 2012. The Commission temporarily suspended trading in the securities of Apogee due to a lack of current and accurate information about the company because it failed to file certain periodic reports with the Commission. The 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 this company.
Brokers and dealers should be alerted to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspension, no quotation may be entered relating to the securities of Apogee unless and until the broker or dealer has strictly complied 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 Apogee 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) 551-5777. 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. (Rel. 34-67329)
Enforcement Proceedings
Commission Orders Hearing On Registration Suspension Or Revocation Against Apogee Technology, Inc. For Failure To Make Required Periodic Filings
In conjunction with this trading suspension, the Commission announced the issuance of an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Exchange Act (Order) against Apogee (Respondent). The Division of Enforcement alleges that the Respondent is delinquent in its periodic filings with the Commission by failing to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder, having not filed any periodic reports since it filed a Form 10-Q for the period ended June 30, 2011.
A hearing will be held by an Administrative Law Judge to determine whether the allegations contained in the Order are true, to afford the Respondent an opportunity to establish any defenses to such allegations, and to determine whether it is necessary or appropriate for the protection of investors to suspend for a period not exceeding twelve months, or revoke the registration of each class of securities of the Respondent registered pursuant to Section 12 of the Securities Exchange Act of 1934. The Order requires the Administrative Law Judge to issue an initial decision no later than 120 days from the date of service of this Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. 34-67330; File No. 3-14933)
Self-Regulatory Organizations
Proposed Rule Changes
BATS Exchange, Inc. has filed a proposed rule change (SR-BATS-2012-023) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to amend BATS Rules 14.2 and 14.3 to adopt additional listing requirements for reverse merger companies and to align BATS Rules with the rules of other self-regulatory organizations. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67304)
NYSE MKT LLC, on behalf of NYSE Amex Options LLC, filed a proposed rule change (SR-NYSEMKT-2012-14) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder adopting rules governing the listing and trading of new products known as DIVS, OWLS, and RISKS. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67315)
New York Stock Exchange LLC filed a proposed rule change (SR-NYSE-2012-19) pursuant to Section 19(b)(1) of the Securities Exchange Act, as modified by Amendment No. 1 thereto, (1) amending Rule 13 to establish new order types, (2) amending Rule 115A to delete obsolete text and to clarify and update the description of the allocation of market and limit interest in opening and reopening transactions, (3) amending Rule 123C to include better-priced G orders in the allocation of orders in closing transactions, and (4) making other technical and conforming changes. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67317)
NYSE MKT LLC filed a proposed rule change (SR-NYSEMKT-2012-13) pursuant to Section 19(b)(1) of the Securities Exchange Act, as modified by Amendment No. 1 thereto, (1) amending Rule 13 - Equities to establish new order types, (2) amending Rule 115A - Equities to delete obsolete text and to clarify and update the description of the allocation of market and limit interest in opening and reopening transactions, (3) amending Rule 123C – Equities to include better-priced G orders in the allocation of orders in closing transactions, and (4) making other technical and conforming changes. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67318)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change (SR-NYSEMKT-2012-12) filed by NYSE MKT LLC amending Commentary .02 to Rule 960NY in order to extend the Penny Pilot in options classes in certain issues through December 31, 2012 has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67305)
A proposed rule change (SR-BATS-2012-25) filed by BATS Exchange, Inc. to extend the Penny Pilot Program has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67306)
A proposed rule change (SR-NYSEArca-2012-65) filed by NYSE Arca, Inc. amending Commentary .02 to NYSE Arca Options Rule 6.72 in order to extend the Penny Pilot in options classes in certain issues through December 31, 2012 has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67307)
A proposed rule change filed by BOX Options Exchange LLC (SR-BOX-2012-005) to amend the Fee Schedule for trading on BOX has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67308)
A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-59) to amend fees for certain complex orders executed on the Exchange has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67316)
A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2012-16) amending the NYSE Amex Options Fee Schedule to increase the monthly fee per Amex Trading Permit for Order Flow Providers and Clearing Members and make a conforming change to the current text in the Fee Schedule has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67321)
A proposed rule change (SR-ISE-2012-57) filed by the International Securities Exchange, LLC to extend the Penny Pilot Program has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67323)
A proposed rule change (SR-BOX-2012-007) filed by BOX Options Exchange, LLC to extend the Penny Pilot Program has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67328)
Approval of Rule Changes
The Commission granted approval of a proposed rule change (SR-NYSEArca-2012-44) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to listing and trading of iShares Strategic Beta U.S. Large Cap Fund and iShares Strategic Beta U.S. Small Cap Fund under NYSE Arca Equities Rule 8.600. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67320)
Notice Of Filing Of Amendment No. 1 And Order Granting Accelerated Approval To A Proposed Rule Change
The Commission issued notice of filing of Amendment No. 1 and granted accelerated approval of a proposed rule change, as modified by Amendment No. 1, submitted by NYSE Amex LLC (SR-NYSEAmex-2012-23) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 amending NYSE Amex Options Rule 928NY specifying that the potential range for the settings applicable to the Market Maker Risk Limitation Mechanism will be between one and 100 executions per second, to eliminate the current reference to the default setting and, in the future, to specify the applicable minimum, maximum and default settings via Regulatory Bulletin. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67314)
Securities Act Registrations
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-3 CORNING NATURAL GAS CORP, 330 W WILLIAM ST, P O BOX 58, CORNING, NY,
14830, 6079363755 - 260,000 ($4,095,000.00) Equity, (File 333-182386 -
Jun. 28) (BR. 02A)
S-8 AMBICOM HOLDINGS, INC, 500 ALDER DRIVE, MILPITAS, CA, 95035,
408-321-0822 - 3,000,000 ($210,000.00) Equity, (File 333-182387 -
Jun. 28) (BR. 10A)
S-1 NMHG HOLDING CO, 5875 LANDERBROOK DRIVE, CLEVELAND, OH, 44124,
4404499600 - 0 ($1.00) Equity, (File 333-182388 - Jun. 28) (BR. 10B)
S-1 Personality Software Systems, Inc., 11730 W. SUNSET BLVD. NO. 119,
LOS ANGELES, CA, 90049, 714-274-9379 - 3,000,000 ($150,000.00) Equity,
(File 333-182393 - Jun. 28) (BR. )
F-3ASR AMERICA MOVIL SAB DE CV/, LAGO ZURICH 245, COLONIA GRANADA AMPLIACION,
MEXICO DF, O5, 11529, 5255-2581-4449 - 0 ($0.00) Non-Convertible Debt,
(File 333-182394 - Jun. 28) (BR. 11C)
S-8 NYXIO TECHNOLOGIES Corp, 2156 NE BROADWAY, PORTLAND,, OR, 97232,
855-436-6996 - 4,500,000 ($447,750.00) Equity, (File 333-182395 -
Jun. 28) (BR. 03B)
S-4 LAMAR MEDIA CORP/DE, 5551 CORPORATE BLVD, BATON ROUGE, LA, 70808,
5049261000 - 0 ($500,000,000.00) Non-Convertible Debt,
(File 333-182396 - Jun. 28) (BR. 11C)
S-8 LOJACK CORP, 40 PEQUOT WAY, CANTON, MA, 02021, 781-302-4200 -
840,000 ($2,469,600.00) Equity, (File 333-182398 - Jun. 28) (BR. 11C)
S-3ASR JONES LANG LASALLE INC, 200 E RANDOLPH DR, CHICAGO, IL, 60601,
3127825800 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-182399 - Jun. 28) (BR. 08B)
S-4 Heckmann Corp, 300 CHERRINGTON PARKWAY, SUITE 200, CORAOPOLIS, PA,
15108, 412-329-7275 - 0 ($250,000,000.00) Debt, (File 333-182400 -
Jun. 28) (BR. 04B)
S-3D HINES REAL ESTATE INVESTMENT TRUST INC, 2800 POST OAK BLVD, SUITE 5000,
HOUSTON, TX, 77056-6118, 7136218000 -
38,560,411 ($300,000,000.00) Equity, (File 333-182401 - Jun. 28)
(BR. 08B)
S-8 ULURU INC., 4452 BELTWAY DRIVE, ADDISON, TX, 75001, 214-905-5145 -
400,000 ($100,000.00) Equity, (File 333-182402 - Jun. 28) (BR. 01B)
S-3ASR WEYERHAEUSER CO, 33663 WEYERHAEUSER WAY SOUTH, FEDERAL WAY, WA, 98003,
2539242345 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-182403 - Jun. 28) (BR. 08C)
S-3 NORTHERN STATES POWER CO /WI/, 1414 W HAMILTON AVE, EAU CLAIRE, WI,
54702, 7158392621 - 150,000,000 ($150,000,000.00) Debt,
(File 333-182404 - Jun. 28) (BR. 02C)
S-8 BRISTOL MYERS SQUIBB CO, 345 PARK AVE, NEW YORK, NY, 10154,
2125464000 - 0 ($2,979,277,076.50) Equity, (File 333-182405 - Jun. 28)
(BR. 01A)
S-3ASR TEAM HEALTH HOLDINGS INC., 265 BROOKVIEW CENTRE WAY, SUITE 400,
KNOXVILLE, TN, 37919, 865-693-1000 - 0 ($0.00) Equity,
(File 333-182406 - Jun. 28) (BR. 11C)
S-8 BLACKBAUD INC, 2000 DANIEL ISLAND DRIVE, CHARLESTON, SC, 24992-7541,
8432166200 - 7,000,000 ($177,100,000.00) Equity, (File 333-182407 -
Jun. 28) (BR. 03A)
S-8 TRANZYME INC, 5001 SOUTH MIAMI BOULEVARD, SUITE 300, DURHAM, NC, 27703,
919 474 0020 - 0 ($3,275,000.00) Equity, (File 333-182408 - Jun. 28)
(BR. 01B)
S-8 DYAX CORP, 55 NETWORK DRIVE, BURLINGTON, MA, 01803-2756, 617-250-5769 -
3,281,286 ($6,956,326.32) Equity, (File 333-182409 - Jun. 28) (BR. 01A)
S-8 Ascent Solar Technologies, Inc., 12300 GRANT STREET, THORNTON, CO,
80241, (720) 872-5000 - 1,000,000 ($790,000.00) Equity,
(File 333-182410 - Jun. 28) (BR. 10A)
S-4 CNH Capital LLC, 5729 WASHINGTON AVENUE, RACINE, WI, 53406,
262.636.6011 - 0 ($500,000,000.00) Debt, (File 333-182411 - Jun. 28)
(BR. )
S-8 ENB Financial Corp, 31 E MAIN STREET, PO BOX 457, EPHRATA, PA,
17522-0457, 717-733-4181 - 140,000 ($3,605,000.00) Other,
(File 333-182412 - Jun. 28) (BR. 07B)
S-3ASR BILL BARRETT CORP, 1099 18TH STREET, SUITE 2300, DENVER, CO, 80202,
303-293-9100 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-182413 - Jun. 28) (BR. 04A)
S-4 TGR Financial, Inc., 3560 KRAFT ROAD, NAPLES, FL, 34105, 239-348-8000 -
15,948,082 ($82,799,566.05) Equity, (File 333-182414 - Jun. 28) (BR. )
S-1 Lithium Exploration Group, Inc., 3200 N. HAYDEN ROAD, SUITE 235,
SCOTTSDALE, AZ, 85251, 480-641-4790 - 7,999,999 ($3,439,999.57) Equity,
(File 333-182415 - Jun. 28) (BR. 09A)
S-3 EDAC TECHNOLOGIES CORP, 1806 NEW BRITAIN AVE, FARMINGTON, CT, 06032,
8606772603 - 150,523 ($1,708,436.05) Equity, (File 333-182416 -
Jun. 28) (BR. 05B)
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
ABAKAN, INC NV 8.01,9.01 06/28/12
ADCARE HEALTH SYSTEMS INC OH 5.07 06/01/12 AMEND
ADOBE SYSTEMS INC DE 5.02 05/14/12 AMEND
ADVANCED ENVIRONMENTAL RECYCLING TECH DE 5.07 06/27/12
AFLAC INC GA 1.01,2.03 06/28/12
AKORN INC LA 9.01 12/22/11 AMEND
Allegiant Travel CO NV 2.03 06/26/12
Alternative Fuels Americas, Inc. DE 5.02,8.01 06/28/12
AMAG PHARMACEUTICALS INC. DE 1.01,2.05,5.02,8.01, 06/25/12
9.01
AMERICAN APPAREL, INC DE 5.07 06/28/12
AMERICAN EAGLE OUTFITTERS INC DE 2.05,2.06 05/18/12 AMEND
AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 06/29/12
AMSURG CORP TN 1.01,2.03,9.01 06/29/12
Annec Green Refractories Corp DE 4.01,9.01 06/28/12
ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 06/29/12
AOL Inc. DE 5.02 06/29/12
AOXING PHARMACEUTICAL COMPANY, INC. FL 5.07 06/29/12
Apartment Trust of America, Inc. 5.07,9.01 06/26/12 AMEND
ARROW FINANCIAL CORP NY 5.02,9.01 06/25/12
ASSOCIATED BANC-CORP WI 5.02 06/27/12
ASSURANCE GROUP INC. FL 4.01,9.01 06/29/12
AT&T INC. DE 5.02 06/29/12
AVIAT NETWORKS, INC. DE 5.02 06/25/12
AZZ INC TX 2.02,8.01,9.01 06/28/12
Banks.com, Inc. FL 1.01,2.01,9.01 06/28/12
BAZI INTERNATIONAL, INC. NV 5.02 06/26/12
BCB BANCORP INC 9.01 06/28/12
BED BATH & BEYOND INC NY 8.01,9.01 06/29/12
BEHRINGER HARVARD MULTIFAMILY REIT I 8.01 06/28/12
BioDrain Medical, Inc. MN 5.02 06/25/12
BioNeutral Group, Inc NV 5.02 06/27/12
BIOTIME INC CA 5.07 06/26/12
BLUE WATER VENTURES INTERNATIONAL INC NV 4.01,9.01 06/28/12 AMEND
BreitBurn Energy Partners L.P. DE 1.01,7.01,8.01,9.01 06/28/12
BRITTON & KOONTZ CAPITAL CORP MS 3.01,9.01 06/29/12
BSQUARE CORP /WA WA 5.02 06/25/12
BSQUARE CORP /WA WA 1.01,9.01 06/27/12
CAMAC Energy Inc. DE 7.01,9.01 06/29/12
Cape Bancorp, Inc. MD 5.02,9.01 06/28/12
CAPITAL TRUST INC MD 5.02 06/27/12
CAPSTONE TURBINE Corp DE 4.01,9.01 06/25/12
CARDINAL BANKSHARES CORP VA 8.01,9.01 06/28/12
CARMAX INC VA 5.02,5.07,9.01 06/25/12
Carter Validus Mission Critical REIT, MD 7.01,9.01 06/29/12
Castle Brands Inc FL 2.02,9.01 06/29/12
CATALYST HEALTH SOLUTIONS, INC. DE 8.01,9.01 06/29/12
Cazador Acquisition Corp Ltd. E9 3.01 06/26/12
CEDAR FAIR L P DE 5.07 06/27/12
CELL THERAPEUTICS INC WA 2.02,3.01,7.01,9.01 06/29/12
Cellceutix CORP NV 3.02 06/29/12
China Industrial Steel Inc. MD 8.01,9.01 06/29/12
CHINA JO-JO DRUGSTORES, INC. 8.01,9.01 06/29/12
CITIGROUP INC DE 9.01 06/29/12
CITIZENS FINANCIAL SERVICES INC PA 8.01,9.01 06/29/12
CLARCOR INC. DE 5.05,9.01 06/25/12
CMG HOLDINGS GROUP, INC. NV 2.01 06/29/12
CNO Financial Group, Inc. DE 7.01,9.01 06/29/12
COLE CREDIT PROPERTY TRUST IV, INC. MD 1.01,2.01,2.03,9.01 06/27/12
COLE CREDIT PROPERTY TRUST IV, INC. MD 9.01 04/13/12 AMEND
CombiMatrix Corp DE 3.01,9.01 06/26/12
COMMERCIAL METALS CO DE 2.01,9.01 06/01/12 AMEND
COMVERSE TECHNOLOGY INC/NY/ NY 5.07 06/28/12
Con-way Inc. DE 5.02,9.01 06/26/12
Conquest Petroleum Inc TX 8.01,9.01 06/29/12
CONSTELLATION BRANDS, INC. DE 2.02,7.01,9.01 06/29/12
COPART INC CA 1.01 06/28/12
CORELOGIC, INC. DE 2.02 06/28/12
COST PLUS INC/CA/ CA 3.01,3.02,3.03,5.01, 06/28/12
5.02,5.03,9.01
CUMBERLAND PHARMACEUTICALS INC 8.01 06/25/12
CVR ENERGY INC DE 5.02 06/27/12
DCP Midstream Partners, LP DE 1.01,7.01,9.01 06/25/12
DEERE JOHN CAPITAL CORP DE 9.01 06/29/12
DERMA SCIENCES, INC. PA 9.01 04/16/12 AMEND
Discovery Energy Corp. NV 1.01,9.01 06/26/12
DISCOVERY LABORATORIES INC /DE/ DE 1.01 06/22/12 AMEND
DLH Holdings Corp. NJ 1.01,1.02,3.02,5.02, 06/25/12
8.01,9.01
DUCKWALL ALCO STORES INC KS 5.03,5.07,7.01,9.01 06/27/12
Duke Energy CORP DE 8.01,9.01 06/29/12
EASTMAN KODAK CO NJ 7.01,9.01 06/29/12
EFL OVERSEAS, INC. NV 3.02 06/26/12
EMC METALS CORP. A1 8.01 06/25/12
ENNIS, INC. TX 5.07 06/28/12
ENZO BIOCHEM INC NY 9.01 06/29/12
ESCALON MEDICAL CORP PA 3.01,5.07 06/29/12
FEDERAL EXPRESS CORP DE 1.01 06/29/12
Federal Home Loan Bank of Dallas 2.03,9.01 06/19/12
FEDERAL MOGUL CORP DE 2.05 06/25/12
FINISAR CORP DE 2.02 06/29/12
FINISH LINE INC /IN/ IN 2.02,9.01 06/29/12
FIRST FINANCIAL BANKSHARES INC TX 5.02,9.01 06/29/12
FIRST MID ILLINOIS BANCSHARES INC DE 1.01,3.02,3.03 06/28/12
FIRST SOLAR, INC. DE 5.02,9.01 06/29/12
FIRSTBANK CORP MI 7.01 06/27/12
FIRSTBANK CORP MI 1.01,9.01 06/27/12
Forestar Group Inc. DE 1.01,2.03,9.01 06/28/12
Fushi Copperweld, Inc. NV 1.01,8.01,9.01 06/28/12
G REIT Liquidating Trust 1.01,2.01,9.01 05/01/12
GAMETECH INTERNATIONAL INC DE 2.04,8.01 06/27/12
GENSPERA INC DE 8.01,9.01 06/28/12
GENUINE PARTS CO GA 7.01,9.01 06/29/12
GERMAN AMERICAN BANCORP, INC. IN 5.02 06/25/12
Global Stevia Corp. NV 1.01,9.01 06/26/12
Global Telecom & Technology, Inc. DE 5.02,9.01 06/27/12
Golden Star Resource Corp. NV 2.01 06/29/12
GRAN TIERRA ENERGY, INC. NV 5.02,5.07 06/27/12
GRAND RIVER COMMERCE INC MI 8.01,9.01 06/25/12
GRANITE CITY FOOD & BREWERY LTD. MN 8.01,9.01 06/29/12
GREENTECH MINING INTERNATIONAL, INC. DE 1.01,5.01,5.02,9.01 06/28/12
GREENTECH MINING INTERNATIONAL, INC. DE 1.01,5.01,5.02,9.01 06/28/12
GRYPHON GOLD CORP NV 2.02,7.01,9.01 06/28/12
GRYPHON GOLD CORP NV 1.01,2.03,3.02,9.01 03/20/12 AMEND
GRYPHON GOLD CORP NV 1.01,3.02,9.01 04/18/12 AMEND
GT Advanced Technologies Inc. DE 1.01,2.03,9.01 06/25/12
GULF POWER CO FL 5.07 06/26/12
HALCON RESOURCES CORP DE 8.01,9.01 06/29/12
HEALTHCARE REALTY TRUST INC MD 8.01 06/29/12
HealthMarkets, Inc. DE 1.01,9.01 06/26/12
HERITAGE OAKS BANCORP CA 5.07 06/29/12
HICKORY TECH CORP MN 4.01 06/28/12
HMS INCOME FUND, INC. MD 8.01 06/29/12
Hoku Corp DE 2.02,2.04,8.01 06/25/12
HOLLY ENERGY PARTNERS LP DE 7.01,9.01 06/28/12
HollyFrontier Corp DE 7.01,9.01 06/28/12
HollyFrontier Corp DE 7.01,9.01 06/28/12
HOLOGIC INC DE 7.01,9.01 06/29/12
HORIZON BANCORP /IN/ IN 8.01,9.01 06/27/12
HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 1.01,9.01 06/28/12
HUGHES Telematics, Inc. DE 8.01 06/29/12
HYDROMER INC NJ 8.01 06/29/12
HYPERDYNAMICS CORP DE 5.02,8.01,9.01 06/29/12
IDACORP INC ID 8.01 06/29/12
IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 5.02,9.01 06/26/12
IMPAX LABORATORIES INC DE 5.02 06/29/12
Industrial Income Trust Inc. MD 5.07 06/26/12
INNOVUS PHARMACEUTICALS, INC. NV 3.02,7.01 02/01/12
INTEGRATED BIOPHARMA INC 1.01,1.02,2.03,9.01 06/27/12
INTERLINE BRANDS, INC./DE DE 8.01,9.01 06/29/12
INTERLINE BRANDS, INC./DE DE 1.01,3.03,8.01,9.01 06/27/12
INVESTORS REAL ESTATE TRUST ND 4.01,9.01 06/29/12
INVESTORS REAL ESTATE TRUST ND 2.02,7.01,9.01 06/29/12
IPG PHOTONICS CORP DE 1.01,8.01,9.01 06/14/12
ISIS PHARMACEUTICALS INC DE 1.01,9.01 06/29/12
Island Radio, Inc. NV 1.01,3.02,5.01,5.02 06/27/12
J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 06/29/12
Kallo Inc. NV 7.01,9.01 06/28/12
KB HOME DE 2.02,9.01 06/29/12
KBS Real Estate Investment Trust II, MD 8.01,9.01 06/27/12
Kennedy-Wilson Holdings, Inc. DE 1.01 06/29/12
KEWAUNEE SCIENTIFIC CORP /DE/ DE 5.02,9.01 06/27/12
KFORCE INC FL 8.01 06/29/12
KINGOLD JEWELRY, INC. DE 8.01 06/28/12
KIT digital, Inc. DE 5.02,8.01,9.01 06/28/12
KIT digital, Inc. DE 1.01,5.03,9.01 06/25/12
KYTO BIOPHARMA INC FL 2.01,9.01 06/29/12
Lake Shore Bancorp, Inc. X1 5.02 06/29/12
LAKELAND INDUSTRIES INC DE 1.01,9.01 06/25/12
Lantheus Medical Imaging, Inc. DE 8.01 06/29/12
LEAPFROG ENTERPRISES INC 5.02,8.01,9.01 06/28/12
LEE ENTERPRISES, INC DE 8.01,9.01 06/28/12
LIBBEY INC DE 1.02 06/29/12
Lifevantage Corp CO 5.02 06/22/12
LYDALL INC /DE/ DE 5.02 06/27/12
LYRIS, INC. 5.07 06/29/12
MAGELLAN GOLD Corp NV 3.02 06/28/12
MAGICJACK VOCALTEC LTD L3 8.01 06/29/12
MAGNUM HUNTER RESOURCES CORP DE 8.01 06/26/12
MARKEL CORP VA 8.01,9.01 06/27/12
MARKWEST ENERGY PARTNERS L P 1.01,2.03,7.01,9.01 06/29/12
MASS Petroleum Inc. 1.01,9.01 06/27/12
MATERIAL SCIENCES CORP DE 5.02,5.07,9.01 06/28/12
MATTRESS FIRM HOLDING CORP. DE 9.01 05/02/12 AMEND
MEDIA GENERAL INC VA 2.01,9.01 06/25/12
MeetMe, Inc. DE 2.05,2.06 06/27/12
MERCANTILE BANK CORP MI 1.01,1.02 06/27/12
MERRILL LYNCH DEPOSITOR INC INDEXPLUS DE 8.01,9.01 06/20/12
METALICO INC 5.02 06/29/12
MFRI INC DE 5.07 06/28/12
MILLER ENERGY RESOURCES, INC. TN 7.01,9.01 06/29/12
MISSION COMMUNITY BANCORP CA 5.02 06/26/12
MOBILE MINI INC DE 5.07 06/26/12
MONSANTO CO /NEW/ DE 5.04,9.01 06/29/12
MUSTANG GEOTHERMAL CORP 8.01 06/29/12
NANOVIRICIDES, INC. NV 1.01,9.01 06/26/12
Naugatuck Valley Financial Corp 5.07 06/29/12
NEOPHOTONICS CORP DE 5.02 06/26/12
NeurogesX Inc CA 3.01,8.01,9.01 06/27/12
NEW PEOPLES BANKSHARES INC VA 2.03,9.01 06/27/12
NEW YORK COMMUNITY BANCORP INC DE 7.01,9.01 06/29/12
NEWS CORP 8.01,9.01 06/29/12
NOVATEL WIRELESS INC DE 5.07 06/28/12
Novus Robotics Inc. NV 1.01,2.01,3.02,5.01, 02/01/12 AMEND
5.02,9.01
NV ENERGY, INC. NV 8.01 06/29/12
NYTEX Energy Holdings, Inc. DE 8.01 06/29/12
Oilsands Quest Inc 5.02,8.01,9.01 06/26/12
OLD LINE BANCSHARES INC MD 5.03,5.07,9.01 06/28/12
ONCURE HOLDINGS INC 1.02,5.02 06/25/12
PC MALL INC DE 5.02,5.07,9.01 06/25/12
PEOPLES BANCORP OF NORTH CAROLINA INC NC 1.01,8.01,9.01 06/27/12
Peoples Federal Bancshares, Inc. 8.01,9.01 06/28/12
PINNACLE AIRLINES CORP DE 1.01,5.02,9.01 06/25/12
POSITIVEID Corp DE 7.01 06/25/12
PREMIER FINANCIAL BANCORP INC KY 2.03,9.01 06/29/12
PROGRESS ENERGY INC NC 8.01,9.01 06/29/12
PROSPECT GLOBAL RESOURCES INC. NV 1.01,3.01,8.01,9.01 06/28/12
PURE BIOSCIENCE, INC. DE 1.01,2.03,3.02,9.01 06/26/12
QCR HOLDINGS INC DE 8.01,9.01 06/29/12
QR Energy, LP DE 9.01 04/20/12 AMEND
RADIAN GROUP INC DE 7.01 06/29/12
RECOVERY ENERGY, INC. NV 5.02,9.01 06/27/12
REGIS CORP MN 5.02 06/29/12
Remark Media, Inc. DE 5.07 06/28/12
Remark Media, Inc. DE 1.01,2.01,9.01 06/28/12
Resource Capital Corp. MD 1.01,5.03,9.01 06/27/12
RESPONSE BIOMEDICAL CORP A1 8.01,9.01 06/27/12
RF MONOLITHICS INC /DE/ DE 5.07,8.01,9.01 06/29/12
RIVER VALLEY BANCORP IN 1.01,9.01 06/29/12
ROBERTS REALTY INVESTORS INC GA 1.01,9.01 06/25/12
ROSETTA STONE INC 5.02 06/28/12
SABA SOFTWARE INC DE 1.01,3.01,4.02,7.01, 06/28/12
9.01
SALISBURY BANCORP INC CT 5.02,8.01,9.01 06/29/12
SENIOR HOUSING PROPERTIES TRUST MD 8.01,9.01 06/29/12
Sequoia Mortgage Trust 2012-3 8.01,9.01 06/01/12
SIGNET JEWELERS LTD 8.01 06/29/12
SKY PETROLEUM, INC. NV 3.03 06/25/12
SMF ENERGY CORP DE 7.01,9.01 06/20/12
SMITH & WESSON HOLDING CORP NV 2.02,7.01,9.01 06/28/12
Solar Power, Inc. CA 5.07 06/27/12
Solar Power, Inc. CA 1.01,2.01,3.02,9.01 06/27/12
SOLUTIA INC DE 5.07,8.01,9.01 06/29/12
SONIC AUTOMOTIVE INC DE 1.01 06/25/12
SONIC AUTOMOTIVE INC DE 1.01,9.01 06/25/12
SOUTH JERSEY INDUSTRIES INC NJ 1.01,2.03,9.01 06/28/12
SPIRE Corp MA 3.01 06/26/12
Stereotaxis, Inc. DE 3.01 06/25/12
Stratus Media Group, Inc 1.01,5.02,9.01 06/28/12
Sucampo Pharmaceuticals, Inc. 5.02 06/25/12
SUPERMEDIA INC. DE 5.02,9.01 06/25/12
SUPERNUS PHARMACEUTICALS INC DE 5.02 06/25/12
Swisher Hygiene Inc. DE 1.01,9.01 06/28/12
SWK Holdings Corp DE 5.07 06/28/12
SXC Health Solutions Corp. A6 8.01,9.01 06/29/12
SYNAPTICS INC DE 1.01 06/25/12
SYNTROLEUM CORP DE 5.07 06/28/12
T Bancshares, Inc. 5.07 06/27/12
TABLE TRAC INC NV 5.07 06/21/12
TagLikeMe Corp. NV 2.01,3.02,8.01,9.01 06/28/12
TALBOTS INC DE 5.02,9.01 06/29/12
Targeted Medical Pharma, Inc. 1.01,2.01,3.02,5.01, 06/29/12 AMEND
5.02,5.03,5.06,9.01
TECHPRECISION CORP 8.01,9.01 06/29/12
TENGASCO INC TN 8.01 06/25/12
Terreno Realty Corp MD 2.03 06/26/12
Thompson Creek Metals CO Inc. A6 7.01,9.01 06/28/12
TORCHMARK CORP DE 8.01,9.01 06/29/12
TORCHMARK CORP DE 8.01,9.01 06/29/12
Tornier N.V. P7 5.02,5.07,9.01 06/27/12
TRANSATLANTIC PETROLEUM LTD. D0 7.01,9.01 06/28/12
UNI CORE HOLDINGS CORP UT 4.01 06/28/12
Unilife Corp DE 1.01,9.01 06/28/12
United Development Funding IV MD 5.07 06/27/12
UNITED MORTGAGE TRUST MD 5.07 06/27/12
United States 12 Month Natural Gas Fu 7.01,9.01 06/29/12
United States 12 Month Oil Fund, LP 7.01,9.01 06/29/12
United States Brent Oil Fund, LP DE 7.01,9.01 06/29/12
United States Commodity Index Funds T DE 7.01,9.01 06/29/12
United States Gasoline Fund, LP DE 7.01,9.01 06/29/12
United States Natural Gas Fund, LP 7.01,9.01 06/29/12
United States Oil Fund, LP DE 7.01,9.01 06/29/12
United States Short Oil Fund, LP DE 7.01,9.01 06/29/12
UNIVERSAL HOSPITAL SERVICES INC MN 5.02 06/25/12
US CONCRETE INC DE 5.02,9.01 06/25/12
US CONCRETE INC DE 5.02 06/08/12
US ENERGY CORP WY 5.07 06/29/12
VERIFY SMART CORP. NV 1.01,4.02,9.01 06/22/12
Viggle Inc. DE 8.01 06/27/12
Vitacost.com, Inc. DE 8.01,9.01 06/25/12
Vocus, Inc. DE 1.01 06/27/12
Walter Energy, Inc. DE 7.01,9.01 06/28/12
WASHINGTON FEDERAL INC WA 8.01 06/25/12
WEBTRADEX INTERNATIONAL CORP NV 5.02 06/29/12
WELLS FARGO & COMPANY/MN DE 9.01 06/29/12
WESTLAKE CHEMICAL CORP 2.04,9.01 06/29/12
WHITE MOUNTAIN TITANIUM CORP NV 1.01,9.01 06/28/12
Willbros Group, Inc.\NEW\ 8.01,9.01 06/29/12
WILLIAM LYON HOMES DE 3.02,8.01 06/28/12
Wizard World, Inc. DE 1.01,2.01,3.02,5.01, 12/07/10 AMEND
5.02,5.03,5.06,9.01
WMI HOLDINGS CORP. WA 5.02,9.01 06/25/12
WPCS INTERNATIONAL INC DE 3.01 06/25/12
XCEL ENERGY INC MN 8.01 06/29/12
YAHOO INC DE 5.02,9.01 06/28/12
ZBB ENERGY CORP WI 8.01 06/29/12
ZILLOW INC WA 1.01,9.01 06/27/12
ZION OIL & GAS INC DE 5.02,9.01 06/25/12
ZIONS BANCORPORATION /UT/ UT 9.01 06/29/12
http://www.sec.gov/news/digest/2012/dig070212.htm
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