 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
Commission AnnouncementsSecurities and Exchange Commission Suspends Trading in the Securities of Three Issuers For Failure to Make Required Periodic FilingsThe 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. EDT on August 10, 2012 and terminating at 11:59 p.m. EDT on August 23, 2012.
The Commission temporarily suspended trading in the securities of these three 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. 34-67638) Enforcement ProceedingsCommission Declares Decision as to Amazon Biotech, Inc., FinalThe decision of an administrative law judge with respect to Amazon Biotech, Inc. (Amazon Biotech), has become final. The law judge found that Amazon Biotech violated Section 13(a) of the Securities Exchange Act of 1934 and Rules 13a-1 and 13a-13 by its failure to file any periodic reports in more than four years. The law judge found that Amazon Biotech’s violations are recurrent in that it has failed to file any periodic reports in more than four years, since filing its Form 10-QSB for the period ended October 31, 2007. The law judge also noted that while Amazon requested a ninety-day period to cure its delinquencies, it’s efforts to remedy past violations have been especially inadequate because it has not filed any of its delinquent reports. The law judge also found that revocation of the registration of Amazon’s registered securities would serve the public interest and the protection of investors, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-67636; File No. 3-14794) Commission Orders Hearings on Registration Suspension or Revocation Against Three Companies for Failure to Make Required Periodic FilingsIn 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 three companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the three 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. 34-67637; File No. 3-14978) SEC Charges Mutual Fund Adviser with Failing to Turn Over Records to SEC Examination StaffThe Securities and Exchange Commission today charged a Florida-based investment manager and his firm for failing to provide SEC examiners with records of a mutual fund advisory business that invested in NASCAR-related stocks. The SEC examiners sought records from David W. Dube and Peak Wealth Opportunities LLC while examining a mutual fund they advised called the Stock Car Stock Index Fund. Despite repeated requests, Dube and Peak Wealth failed to furnish certain records to the SEC. According to an SEC order initiating administrative proceedings, Peak Wealth was the adviser to the Stock Car Stock Index fund from 2008 to June 2010. SEC examination staff requested records from Peak Wealth and Dube in 2010 while examining Peak Wealth’s advisory business and the operations of the fund. The SEC further alleges that Dube and Peak Wealth:
Simultaneously with the SEC’s examination in 2010, the fund’s board requested information from Peak Wealth and Dube as part of the fund’s required annual evaluation of its advisory agreements. Section 15(c) of the Investment Company Act of 1940, which requires the annual evaluation, also requires advisers to provide their boards with information reasonably necessary to conduct those evaluations. Despite requesting additional time to respond to the board, Peak Wealth and Dube failed to provide any of the requested documents. The board subsequently terminated Peak Wealth’s advisory agreement and liquidated the fund by returning the money to investors. Under the relevant rules, the SEC could seek to permanently bar Dube from association with an SEC registered investment adviser or broker dealer. The SEC alleges that Peak Wealth willfully violated Sections 203A and 204 of the Advisers Act of 1940 and Rules 203A-1(b)(2), 204-1(a)(1), 204-2(a)(1), (2), (4), (5), and (6) thereunder, and Section 15(c) of the Investment Company Act of 1940. The SEC charged Dube with willfully aiding and abetting and causing Peak Wealth’s violations. The SEC’s investigation was handled by Chad Alan Earnst and Christine Lynch, members of the Asset Management Unit in the SEC’s Miami Regional Office. John Mattimore, Faye Chin, Roda Johnson, Luisa Lipins and Victor Pedroso of the SEC’s Miami Regional Office conducted the related examination. Robert Levenson is leading the SEC’s litigation efforts. (Rel. 34-67640; AAE Rel. 3400; File No. 3-14979) SEC Charges Former Public Company CEO with FraudOn August 9, the Securities and Exchange Commission filed a complaint in the United States District Court for the Northern District of Texas alleging that Ronald D. Brooks committed securities fraud while serving as CEO and chairman of Standard Oil Company USA, Inc., a purported energy company headquartered in Dallas, Texas. According to the SEC’s complaint, Brooks lied when he signed and certified Standard Oil’s initial disclosure statement attesting that he had no prior criminal convictions. In truth, Brooks has three prior felony convictions, mostly for securities violations. The complaint charges Brooks with violations of Section 10(b) of the Securities and Exchange Act of 1934 and Rule 10b-5 thereunder and seeks a permanent injunction, a civil monetary penalty, an officer-and-director bar, and a penny-stock bar. [SEC v. Ronald D. Brooks, Civil Action No. 3:12-cv-2716, USDC, NDTX] (LR-22442) Former Chief Financial Officer of Soyo Group Ordered to Pay $15,600,000 Penalty for Securities FraudThe Securities and Exchange Commission announced today that Nancy Shao Wen Chu, the former Chief Financial Officer for the now defunct Soyo Group, Inc., was ordered to pay a $15,600,000 penalty for committing securities fraud. Another defendant, Eric Jon Strasser, was ordered to pay a penalty of $260,000. The SEC alleged that between January 2007 and November 2008, Soyo, through the actions of Chu and another defendant, booked over $47 million in fraudulent sales revenues arising from at least 120 fictitious transactions. The scheme had the effect of nearly doubling Soyo’s net revenues for 2007 over the previous year. Soyo’s share price thus increased from a low of $.28/share in the first quarter of 2007, to a high of $1.80/share in the fourth quarter of 2007. The SEC alleged that Chu actively participated in the fraudulent sales transactions and took deliberate steps to hide the scheme from Soyo’s auditor. Further, the SEC alleged that in order to obtain additional bank financing for Soyo and keep its existing line of credit from defaulting, Chu also misled Soyo’s investors, its primary lending bank, and its auditor regarding a six million dollar debt-for-equity transaction Soyo was negotiating with a vendor. Despite that fact that discussions with the vendor were not finalized and subject to cancelation, Chu signed and caused to be filed a Soyo Form 10-Q for the quarter ended June 30, 2008, reporting that the transaction was complete, eliminating an outstanding accounts payable of slightly over $6 million, and thereby reducing Soyo’s current liabilities by 14% and its accounts payable by 42%. Strasser, a consultant who prepared Soyo’s SEC filings, was alleged to have been well aware that Soyo’s second quarter Form 10-Q falsely reported the debt-for-equity transaction as complete and to have withheld this information from Soyo’s auditor. In addition, Strasser prepared Soyo’s Form-10-Q for the next quarter, making the same false disclosures and omitting the same liabilities relating to the debt-for-equity transaction. Neither Chu nor Strasser answered the Commission’s complaint and both were found to be in default. The Court ordered the maximum third-tier penalty of $130,000 against Chu for each of the 120 fictitious transactions she concocted and against Strasser for each of the two fraudulent SEC filings. [SEC v. Nancy Shao Wen Chu, et al., CV 11-09859 (C.D. Cal.)] (LR-22443) SEC Charges Participants in $5 Million Boiler Room SchemeThe Securities and Exchange Commission announced today that it has charged Edward M. Laborio and others for their roles in a boiler room scheme that used high-pressure sales tactics to raise up to $5.7 million from approximately 150 investors through the fraudulent sale of five unregistered securities offerings involving a group of related entities. The scheme ran from approximately December 2006 to August 2009. Laborio, formerly of Boston, Massachusetts, is now a resident of Boca Raton, Florida. The SEC also charged Jonathan Fraiman of Lantana, Florida; Matthew K. Lazar of Westerville, Ohio; and seven entities controlled by Laborio: Envit Capital Group, Inc. (Envit Group); Envit Capital, LLC (Envit LLC); Envit Capital Holdings, Inc. (Envit Holdings); Envit Capital Private Wealth Management, LLC (Envit Wealth); Envit Capital Multi Strategy Mixed Investment Fund I LP (Envit Fund); Aetius Group PLC (Aetius PLC); and Aetius Group LLC (Aetius LLC) (collectively, the Envit Companies). According to the Commission’s complaint, filed in the United States District Court for the District of Massachusetts, Laborio and Fraiman made multiple misrepresentations and misleading statements to investors about the Envit Companies’ businesses, revenues, financial projections, uses of investor funds, and historical returns generated by Envit Fund, a purported hedge fund that in reality never conducted any operations. According to the complaint, Laborio also created scripts with sales pitches containing fabricated information. For example, one of Laborio’s scripts allegedly included unfounded claims that investors would receive quarterly dividends and “2-3x return on money.” Laborio also allegedly used investor proceeds to cover gambling losses, to make direct payments to himself, and to cover personal expenses. Fraiman allegedly represented to an investor that Envit Fund, the purported hedge fund, returned 42.9% in 2006 and 43.7% in 2007, even though the hedge fund was not launched until mid-2007 and never conducted any operations. The complaint further alleges that Lazar raised $585,000 from approximately 10 investors through the sale of a PIPE (private investment in public equity) in Envit Group (one of the five unregistered securities offerings) by misrepresenting that the PIPE guaranteed an annual 8.5% dividend, and that it was safe, like a fixed annuity or a CD. As a result of the conduct described in the complaint, the Commission alleges that all defendants violated Section 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder; that Laborio, Fraiman, Lazar and Envit Wealth violated Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 (Advisers Act); that Laborio, Fraiman, and Envit Wealth violated Advisers Act Section 206(4) and Rule 206(4)-8 thereunder; that Laborio, Fraiman, and Lazar violated Exchange Act Section 15(a)(1); that Laborio, Envit LLC, Envit Group, Envit Holdings, and Aetius PLC violated Securities Act Sections 5(a) and 5(c); that Laborio violated Exchange Act Section 16(a) and Rule 16a-3 thereunder; and that Envit Fund and Aetius LLC violated Section 7(a) of the Investment Company Act of 1940. The SEC seeks in its action permanent injunctions, disgorgement plus prejudgment interest, civil penalties, penny stock bars against Laborio, Fraiman, and Lazar, and an officer and director bar against Laborio. The Commission previously suspended trading in the securities of Envit Group in May 2009 and subsequently revoked the registration of the securities of Envit Group in September 2009. In conducting its investigation, the Commission acknowledges assistance from the U.S. Attorney’s Office for the District of Massachusetts, the Federal Bureau of Investigation, and the State of Florida Office of Financial Regulation, and the Financial Industry Regulatory Authority (FINRA). [SEC v. Edward M. Laborio, Jonathan Fraiman, Matthew K. Lazar, Envit Capital, LLC, Envit Capital Group, Inc., Envit Capital Holdings, Inc., Envit Capital Private Wealth Management, LLC, Envit Capital Multi Strategy Mixed Investment Fund I LP, Aetius Group PLC, and Aetius Group LLC, 1:12-cv-11489-MBB (District of Massachusetts)] (LR-22444) Investment Company Act ReleasesThe Hartford Mutual Funds, Inc., et al.A notice has been issued giving interested persons until September 4, 2012, to request a hearing on an application filed by The Hartford Mutual Funds, Inc., et al. for an order under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Rule 12d1-2(a) under the Act. The order would permit open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30164 - August 8) Exemptive ordersOrder Granting ExemptionAn order was issued granting an application of Business Development Corporation of America an exemption from Rule 102(a) pursuant to Exchange Act Rule 102(e). Publication of the proposal is expected in the Federal Register during the week of August 13. (Rel. 34-67620) Self-Regulatory OrganizationsApproval of Proposed Rule ChangesThe Commission approved a proposed rule change (SR-NASDAQ-2012-058) submitted by The NASDAQ Stock Market LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to the listing and trading of Alpha Index-Linked Securities. Publication in the Federal Register is expected during the week of August 13. (Rel. 34-67617) The Commission approved a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2012-67) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 amending NYSE Arca, Inc. Rule 3.2 and NYSE Arca Equities, Inc. Rule 3.2, which concern the nomination and election of fair representation directors. Publication in the Federal Register is expected during the week of August 13. (Rel. 34-67619) The Commission has approved a proposed rule change (SR-FICC-2012-05) filed by the Fixed Income Clearing Corporation under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend the rules regarding the GCF Repo Service to adopt changes recommended by the Tri-Party Repo Infrastructure Reform Task Force. Publication in the Federal Register is expected during the week of August 13. (Rel. 34-67621) The Commission approved a proposed rule change submitted by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-040), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, related to permanent approval of its pilot on FLEX minimum value sizes. Publication in the Federal Register is expected during the week of August 13. (Rel. 34-67624) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NYSE Arca, Inc. to amend the NYSE Arca Options Fee schedule to add an additional tier to the Lead Market Maker rights fee and an alternative qualification basis for Market Makers that post liquidity in Penny Pilot issues and options on the SPDR S&P 500 ETF (SR-NYSEArca-2012-81) 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 August 13. (Rel. 34-67618) A proposed rule change submitted by BATS Y-Exchange, Inc. (SR-BYX-2012-017) related to fees for use of BATS Y-Exchange, Inc. 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 August 13. (Rel. 34-67622) A proposed rule change submitted by BATS Exchange, Inc. (SR-BATS-2012-034) related to fees for use of BATS Exchange, Inc. has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of August 13. (Rel. 34-67623) A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-70) to amend the schedule of fees 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 August 13. (Rel. 34-67627) A proposed rule change filed by International Securities Exchange, LLC to amend fees for certain regular and complex orders executed on the exchange (SR-ISE-2012-71) 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 August 13. (Rel. 34-67628) The Depository Trust Company (DTC) filed a proposed rule change (SR-DTC-2012-05) under Section 19(b)(1) of the Securities Exchange Act of 1934, which became effective upon filing, to enable DTC to collect and pass through certain fees owed by participants to transfer agents in connection with the Deposit and Withdrawal at Custodian system. Publication in the Federal Register is expected during the week of August 13. (Rel. 34-67629) A proposed rule change filed by the NASDAQ OMX PHLX LLC (SR-Phlx-2012-101) relating to Clearing Arrangements 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 August 13. (Rel. 34-67630) A proposed rule change (SR-Phlx-2012-104) relating to pricing in Select Symbols and multiply-listed options 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 August 13. (Rel. 34-67633) A proposed rule change filed by NYSE MKT LLC implementing changes to the NYSE Amex Options Fee Schedule relating to the monthly cost for an Amex Trading Permit and monthly fees relating to trading in Premium Products (SR-NYSEMKT-2012-33) 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 August 13. (Rel. 34-67634) A proposed rule change filed by NYSE MKT relating to amendments to the NYSE Amex Options Fee Schedule regarding a rebate for Order Flow Providers, an increase in the service fee applicable to Market Makers, and a fee for Market Maker executions of SPY options (SR-NYSEMKT-2012-34) 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 August 13. (Rel. 34-67635) Designation of Longer Period For Commission Action on Proposed Rule ChangesThe Commission has designated a longer period for Commission action, pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, on a proposed rule change (SR-ISE-2012-58) filed by the International Securities Exchange, LLC to list and trade option contracts overlying 10 shares of a security. Publication in the Federal Register is expected during the week of August 13. (Rel. 34-67631) The Commission has designated a longer period for Commission action, pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, on a proposed rule change (SR-NYSEArca-2012-64) filed by NYSE Arca, Inc. to list and trade option contracts overlying 10 shares of a security. Publication in the Federal Register is expected during the week of August 13. (Rel. 34-67632) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-3ASR C&J Energy Services, Inc., 10375 RICHMOND AVENUE, SUITE 2000, HOUSTON, TX, 77042, 713-260-9900 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183170 - Aug. 9) (BR. 04A) S-8 SCICLONE PHARMACEUTICALS INC, 950 TOWER LANE, SUITE 900, FOSTER CITY, CA, 94404-2125, 650-358-3456 - 3,000,000 ($16,305,000.00) Equity, (File 333-183171 - Aug. 9) (BR. 01B) S-3ASR INTEGRYS ENERGY GROUP, INC., 130 EAST RANDOLPH DRIVE, CHICAGO, IL, 60601, 800-699-1269 - 0 ($0.00) Debt, 0 ($0.00) Equity, 0 ($0.00) Other, (File 333-183172 - Aug. 9) (BR. 02B) S-8 SALIX PHARMACEUTICALS LTD, 8510 COLONNADE CENTER DRIVE, RALEIGH, NC, 27615, (919) 862-1000 - 0 ($132,840,000.00) Equity, (File 333-183174 - Aug. 9) (BR. 01B) S-8 AEGON NV, AEGONPLEIN 50, PO BOX 85, THE HAGUE, P7, 2501 CB, 011-31-70-344-7308 - 0 ($34,061,209.76) Equity, (File 333-183176 - Aug. 9) (BR. 01A) S-8 ENTERPRISE FINANCIAL SERVICES CORP, 150 NORTH MERAMEC, 150 NORTH MERAMEC, CLAYTON, MO, 63105, 3147255500 - 100,000 ($1,220,500.00) Equity, (File 333-183177 - Aug. 9) (BR. 07C) S-8 GENVEC INC, 65 W WATKINS MILL RD, GAITHERSBURG, MD, 20878, 2406320740 - 640,000 ($1,331,200.00) Equity, (File 333-183179 - Aug. 9) (BR. 01A) S-3ASR PNM RESOURCES INC, ALVARADO SQUARE, NEW MEXICO, ALBUQUERQUE, NM, 87158, 5052412700 - 0 ($0.00) Equity, (File 333-183180 - Aug. 9) (BR. 02A) S-8 MULTI COLOR Corp, 4053 CLOUGH WOODS DRIVE, BATAVIA, OH, 45103, 513-381-1480 - 1,250,000 ($25,525,000.00) Equity, (File 333-183181 - Aug. 9) (BR. 05B) S-8 GENVEC INC, 65 W WATKINS MILL RD, GAITHERSBURG, MD, 20878, 2406320740 - 250,000 ($635,000.00) Equity, (File 333-183182 - Aug. 9) (BR. 01A) S-8 HANDY & HARMAN LTD., 1133 WESTCHESTER AVENUE, WHITE PLAINS, NY, 10604, 914 461-1300 - 450,000 ($5,638,500.00) Equity, (File 333-183186 - Aug. 9) (BR. 06A) S-8 WebMD Health Corp., 111 EIGHTH AVE., NEW YORK, NY, 10011, 212-624-3700 - 0 ($28,481,250.00) Equity, (File 333-183187 - Aug. 9) (BR. 03A) S-3ASR GNC HOLDINGS, INC., 300 SIXTH AVENUE, PITTSBURGH, PA, 15222, (412) 288-4600 - 0 ($0.00) Equity, (File 333-183188 - Aug. 9) (BR. 02B) S-3 BTU INTERNATIONAL INC, 23 ESQUIRE ROAD, NORTH BILLERICA, MA, 01862, 5086674111 - 0 ($21,750,000.00) Unallocated (Universal) Shelf, (File 333-183189 - Aug. 9) (BR. 10A) S-3ASR DUNKIN' BRANDS GROUP, INC., 130 ROYALL STREET, CANTON, MA, 02021, 7817374516 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183190 - Aug. 9) (BR. 05A) S-8 BERKLEY W R CORP, 475 STEAMBOAT ROAD, ., GREENWICH, CT, 06830, 2036293000 - 12,000,000 ($443,760,000.00) Equity, (File 333-183191 - Aug. 9) (BR. 01A) S-8 INFORMATICA CORP, 100 CARDINAL WAY, REDWOOD CITY, CA, 94063, 6503855000 - 5,000,000 ($153,650,000.00) Equity, (File 333-183192 - Aug. 9) (BR. 03C) S-8 NEKTAR THERAPEUTICS, 455 MISSION BAY BOULEVARD SOUTH, SAN FRANCISCO, CA, 94158, 4154825300 - 0 ($82,673,649.00) Equity, (File 333-183193 - Aug. 9) (BR. 01B) S-8 MEADE INSTRUMENTS CORP, 27 HUBBLE, IRVINE, CA, 92618, 949 451 1450 - 0 ($959,640.00) Equity, (File 333-183194 - Aug. 9) (BR. 10B) S-3 COHEN & STEERS INC, 280 PARK AVENUE 10TH FLOOR, NEW YORK, NY, 10017, 212 832 3232 - 0 ($1.00) Equity, (File 333-183195 - Aug. 9) (BR. 06B) S-3 RADIAN GROUP INC, 1601 MARKET STREET, 12TH FLOOR, PHILADELPHIA, PA, 19103, 2155646600 - 0 ($1,000,000,000.00) Unallocated (Universal) Shelf, (File 333-183196 - Aug. 9) (BR. 01B) S-1 GLOBAL MACRO TRUST, C/O MILLBURN CORP, 411 WEST PUTNAM AVENUE, GREENWICH, CT, 06830, 2036257554 - 0 ($1.00) Equity, (File 333-183197 - Aug. 9) (BR. 08B) S-3 ATLAS PIPELINE PARTNERS LP, 110 W. 7TH, SUITE 2300, TULSA, OK, 74119, 918-574-3549 - 0 ($150,000,000.00) Limited Partnership Interests, (File 333-183198 - Aug. 9) (BR. 02A) S-8 MACKINAC FINANCIAL CORP /MI/, 3530 NORTH COUNTRY DR, PO BOX 369, TRAVERSE CITY, MI, 49684, 9063418401 - 0 ($4,774,442.40) Equity, (File 333-183199 - Aug. 9) (BR. 07C) S-3 WSFS FINANCIAL CORP, 500 DELAWARE AVENUE, WILMINGTON, DE, 19801, 3027926000 - 150,000,000 ($150,000,000.00) Unallocated (Universal) Shelf, (File 333-183200 - Aug. 9) (BR. 07B) Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
21ST CENTURY HOLDING CO FL 2.02,9.01 08/09/12
AARON'S INC GA 5.02,7.01,9.01 08/07/12
ABRAXAS PETROLEUM CORP NV 2.02,9.01 08/08/12
ACCELLENT INC 2.02,9.01 08/09/12
ACCO BRANDS CORP DE 2.02,9.01 08/09/12
ACCO BRANDS CORP DE 7.01,9.01 08/09/12
ACL I Corp DE 2.02,9.01 08/07/12
ACORN ENERGY, INC. DE 2.02,9.01 08/09/12
ADVANCE AUTO PARTS INC DE 2.02,9.01 08/09/12
Advanced Cloud Storage, Inc. NV 4.01,9.01 08/09/12
ADVANT E CORP DE 2.02,9.01 08/09/12
Affinia Group Intermediate Holdings I DE 2.02,9.01 08/09/12
AIR LEASE CORP DE 2.02,9.01 08/09/12
Aircastle LTD D0 8.01,9.01 08/07/12
ALICO INC FL 2.02,9.01 08/09/12
ALIMERA SCIENCES INC DE 2.02,9.01 08/09/12
ALL GRADE MINING, INC. CO 5.02 08/02/12
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 08/09/12
ALLIANT TECHSYSTEMS INC DE 2.02,8.01,9.01 08/08/12
Allison Transmission Holdings Inc DE 7.01 08/09/12
Ally Auto Assets LLC DE 1.01,8.01,9.01 08/07/12
Alon Refining Krotz Springs, Inc. DE 2.02,9.01 08/08/12
Alon USA Energy, Inc. DE 2.02,9.01 08/08/12
ALTAIR NANOTECHNOLOGIES INC Z4 2.02,9.01 08/09/12
ALTRIA GROUP, INC. VA 8.01,9.01 08/06/12
AMC Networks Inc. DE 2.02,9.01 08/09/12
American Casino & Entertainment Prope DE 2.02,9.01 08/09/12
American Casino & Entertainment Prope DE 2.02,9.01 08/09/12
AMERICAN EAGLE OUTFITTERS INC DE 8.01 08/03/12
AMERICAN INDEPENDENCE CORP DE 2.02,9.01 06/30/12
AMERICAN PACIFIC CORP DE 2.02,9.01 08/09/12
American Realty Capital Daily Net Ass MD 2.02,9.01 08/09/12
AMERICAN SHARED HOSPITAL SERVICES CA 2.02,9.01 08/09/12
AMES NATIONAL CORP IA 8.01,9.01 08/08/12
AmREIT, Inc. MD 2.02,9.01 08/08/12
Anacor Pharmaceuticals Inc DE 2.02,9.01 08/09/12
APARTMENT INVESTMENT & MANAGEMENT CO MD 2.02,9.01 08/08/12
APOLLO INVESTMENT CORP MD 8.01,9.01 08/08/12
APOLLO INVESTMENT CORP MD 5.07 08/07/12
APPLIED INDUSTRIAL TECHNOLOGIES INC OH 2.02,9.01 08/09/12
ARENA PHARMACEUTICALS INC DE 2.02,9.01 08/09/12
Argo Group International Holdings, Lt 7.01,9.01 08/09/12
ASTORIA FINANCIAL CORP DE 2.02,9.01 08/09/12
ASTROTECH Corp \WA\ WA 5.02,8.01,9.01 08/03/12
ATLANTIC AMERICAN CORP GA 2.02,9.01 06/30/12
AVISTA CORP WA 8.01,9.01 08/09/12
Bacterin International Holdings, Inc. DE 2.02,9.01 08/09/12
BARNWELL INDUSTRIES INC DE 2.02,9.01 08/08/12
BBX CAPITAL CORP FL 5.02 08/07/12
BEACON ENTERPRISE SOLUTIONS GROUP INC NV 7.01,9.01 08/08/12
BEAZER HOMES USA INC DE 1.01,9.01 08/06/12
BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 08/09/12
BEHRINGER HARVARD REIT I INC MD 7.01,9.01 08/09/12
BELDEN INC. DE 2.02,9.01 08/09/12
BG Medicine, Inc. DE 2.02,8.01,9.01 08/09/12
BIOCANCELL THERAPEUTICS INC. 8.01 08/09/12
BION ENVIRONMENTAL TECHNOLOGIES INC CO 7.01,8.01,9.01 08/06/12
BIOSPECIFICS TECHNOLOGIES CORP DE 2.02,9.01 08/09/12
BIOTIME INC CA 2.02,9.01 08/09/12
BLUE SKY PETROLEUM INC. 5.03,7.01,9.01 07/31/12
BofI Holding, Inc. DE 2.02,9.01 08/09/12
BOTTOMLINE TECHNOLOGIES INC /DE/ DE 2.02,9.01 08/09/12
BPZ RESOURCES, INC. TX 2.02,9.01 08/08/12
BREEZE-EASTERN CORP DE 2.02,9.01 08/09/12
BRIGGS & STRATTON CORP WI 2.02,9.01 08/09/12
BRINKER INTERNATIONAL INC DE 2.02,9.01 08/09/12
BRISTOL MYERS SQUIBB DEBENTURE BACKED DE 8.01,9.01 08/01/12
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 2.02,8.01,9.01 08/09/12
Brookdale Senior Living Inc. DE 5.02,9.01 08/09/12
BROOKS AUTOMATION INC DE 2.02,9.01 08/09/12
BRT REALTY TRUST MA 2.02,9.01 08/09/12
BSQUARE CORP /WA WA 2.02,9.01 08/09/12
C&J Energy Services, Inc. DE 2.02,7.01,9.01 08/08/12
CADENCE PHARMACEUTICALS INC 5.02 08/06/12
CALLON PETROLEUM CO DE 2.02,7.01,9.01 08/08/12
CAMAC Energy Inc. DE 2.01,2.02,9.01 08/06/12
CAPITAL BANK CORP NC 2.02,9.01 08/08/12
CAPITOL BANCORP LTD MI 1.03,2.02,2.04,9.01 08/09/12
CAPSTONE TURBINE Corp DE 2.02,9.01 08/09/12
CARDIFF INTERNATIONAL INC CO 4.01,5.03,9.01 07/24/12 AMEND
CAREFUSION Corp 2.02,7.01,9.01 08/09/12
CD INTERNATIONAL ENTERPRISES, INC. FL 5.02,5.03,5.07 08/03/12
CECO ENVIRONMENTAL CORP DE 2.02,9.01 08/09/12
CEDAR FAIR L P DE 2.02,9.01 08/09/12
CEDAR REALTY TRUST, INC. MD 2.02,7.01,9.01 08/09/12
CELGENE CORP /DE/ DE 1.01,2.03,9.01 08/09/12
CENTERPOINT ENERGY HOUSTON ELECTRIC L TX 1.01,9.01 08/07/12
CENTRAL BANCORP INC /MA/ MA 2.02,9.01 08/07/12
Cereplast Inc NV 1.01,9.01 08/08/12
Chang-On International, Inc. UT 1.01,3.02,5.01,9.01 08/06/12
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 08/09/12
CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 08/09/12
CHENIERE ENERGY INC DE 1.01,5.02,8.01,9.01 08/09/12
Cheniere Energy Partners, L.P. DE 1.01,3.02,3.03,5.02, 08/09/12
5.03,8.01,9.01
Chesapeake Lodging Trust MD 1.01 08/05/12
China Biologic Products, Inc. 5.02 08/09/12
China Biologic Products, Inc. 2.02,7.01,9.01 08/09/12
China Liaoning Dingxu Ecological Agri NV 1.01,9.01 07/23/12
CHINA SHOUGUAN MINING Corp NV 5.02 06/20/12
CHINA SHOUGUAN MINING Corp NV 1.01,9.01 08/03/12
China Solar & Clean Energy Solutions, NV 5.02 08/06/12
CHYRON CORP NY 2.02,9.01 08/09/12
Cleantech Solutions International, In DE 5.03,7.01,9.01 08/07/12
COCA COLA BOTTLING CO CONSOLIDATED /D DE 2.02,9.01 08/07/12
CODEXIS INC 2.02,9.01 08/09/12
COGENT COMMUNICATIONS GROUP INC 2.02,9.01 08/09/12
CombiMatrix Corp DE 2.02,9.01 08/09/12
COMMERCIAL BARGE LINE CO DE 2.02,9.01 08/07/12
COMPLETE GENOMICS INC DE 2.02,9.01 08/08/12
COMPUTER SCIENCES CORP NV 7.01,9.01 08/08/12
COMPX INTERNATIONAL INC DE 2.02,7.01,9.01 08/08/12
Consolidated Communications Holdings, DE 8.01,9.01 08/03/12
Constellation Energy Partners LLC DE 2.02,9.01 08/09/12
CONTINENTAL RESOURCES INC OK 2.02,7.01,9.01 08/08/12
COOPER TIRE & RUBBER CO DE 2.02,9.01 08/09/12
Cooper-Standard Holdings Inc. DE 2.02,9.01 08/09/12
Copano Energy, L.L.C. 2.02,9.01 08/08/12
CORE MOLDING TECHNOLOGIES INC DE 2.02,9.01 08/09/12
Cornerstone OnDemand Inc DE 2.02,9.01 08/09/12
CORNERSTONE THERAPEUTICS INC DE 2.02,9.01 08/09/12
CORRECTIONS CORP OF AMERICA MD 2.02,9.01 08/08/12
CORTEX PHARMACEUTICALS INC/DE/ DE 5.02 08/03/12
CORVEL CORP DE 5.07 08/02/12
CRIMSON EXPLORATION INC. 2.02,9.01 08/09/12 AMEND
CSP INC /MA/ MA 2.02 08/07/12
CTS CORP IN 8.01,9.01 08/09/12
CUMULUS MEDIA INC DE 2.02,9.01 08/09/12
DARLING INTERNATIONAL INC DE 2.02,9.01 08/09/12
Deer Consumer Products, Inc. NV 2.02,9.01 08/09/12
DEVRY INC DE 2.02,9.01 08/09/12
Digital Generation, Inc. DE 2.02,9.01 08/09/12
DILLARDS INC DE 2.02,9.01 08/08/12
DOLLAR TREE INC VA 7.01,9.01 08/09/12
DORAL FINANCIAL CORP PR 2.02,7.01,8.01,9.01 08/08/12
DOUBLE EAGLE PETROLEUM CO MD 2.02,7.01,9.01 08/08/12
DOW CHEMICAL CO /DE/ DE 8.01,9.01 08/09/12
Dr Pepper Snapple Group, Inc. DE 8.01,9.01 08/09/12
Duff & Phelps Corp DE 1.01,9.01 08/09/12
Duke Energy CORP DE 9.01 08/09/12
DUNE ENERGY INC DE 7.01,9.01 08/08/12
DUNKIN' BRANDS GROUP, INC. DE 1.01,2.03,7.01,9.01 08/08/12
DYNACQ HEALTHCARE INC NV 5.02,8.01 08/08/12
E TRADE FINANCIAL Corp DE 5.02 08/08/12
EAGLE MATERIALS INC DE 5.07 08/07/12
EASTON-BELL SPORTS, INC. DE 2.02,9.01 08/09/12
EATON VANCE CORP MD 2.01,9.01 08/06/12
ECOLAB INC DE 1.01,2.03,8.01,9.01 08/09/12
EDIETS COM INC DE 1.01,2.01,9.01 08/06/12
ELIZABETH ARDEN INC FL 2.02,9.01 08/09/12
EMAGIN CORP DE 2.02,9.01 08/09/12
EMCORE CORP NJ 1.01,5.02,5.03,7.01, 08/05/12
9.01
EMERSON ELECTRIC CO MO 5.02,9.01 08/07/12
EMMIS COMMUNICATIONS CORP IN 7.01 08/08/12
EMULEX CORP /DE/ DE 2.02,9.01 08/09/12
ENCISION INC CO 5.07 08/08/12
ENERGY EDGE TECHNOLOGIES CORP. NJ 1.01,9.01 06/30/12
Energy Future Holdings Corp /TX/ TX 8.01,9.01 08/09/12
ENERGY XXI (BERMUDA) LTD D0 2.02,9.01 08/08/12
Enertopia Corp. NV 7.01,9.01 08/09/12
EPLUS INC DE 2.02,9.01 08/06/12
ERIE INDEMNITY CO PA 8.01 08/06/12
ESCO TECHNOLOGIES INC MO 2.02,7.01,9.01 08/09/12
ESSEX PROPERTY TRUST INC MD 8.01,9.01 08/08/12
EVCARCO, INC. NV 5.01,5.02,9.01 08/07/12
ExactTarget, Inc. DE 9.01 08/09/12
EXELIXIS INC DE 8.01 08/08/12
FEDERAL AGRICULTURAL MORTGAGE CORP 5.03,5.05,9.01 08/03/12
Federal Home Loan Bank of Atlanta X1 2.03 08/09/12
Federal Home Loan Bank of Boston X1 2.03 08/07/12
Federal Home Loan Bank of Chicago X1 2.03 08/06/12
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 08/07/12
Federal Home Loan Bank of Des Moines X1 2.03,9.01 08/07/12
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/09/12
Federal Home Loan Bank of New York X1 2.03,9.01 08/07/12
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/06/12
Federal Home Loan Bank of San Francis X1 2.03 08/06/12
Federal Home Loan Bank of Seattle 2.03 08/07/12
Federal Home Loan Bank of Topeka 2.03,9.01 08/06/12
FEI CO OR 5.02,9.01 08/06/12
Feihe International Inc UT 2.02,9.01 08/09/12
FENTURA FINANCIAL INC MI 8.01,9.01 08/01/12
Fibrocell Science, Inc. DE 7.01,9.01 08/09/12
FIRSTCITY FINANCIAL CORP DE 2.02,7.01,9.01 08/09/12
Firsthand Technology Value Fund, Inc. 8.01,9.01 08/09/12
FISERV INC WI 5.02 07/09/12 AMEND
FLOTEK INDUSTRIES INC/CN/ DE 2.02,9.01 08/08/12
Fresh Traffic Group Inc. NV 4.01,9.01 08/01/12
FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 08/09/12
FRONTIER COMMUNICATIONS CORP DE 1.01,9.01 08/09/12
FS Energy & Power Fund DE 2.02,9.01 08/06/12
FS Investment CORP MD 2.02,9.01 08/08/12
FS Investment Corp II MD 2.02,9.01 08/07/12
FuLuCai Productions Ltd. NV 4.01,9.01 08/01/12
FUSION-IO, INC. DE 2.02,9.01 08/09/12
FutureFuel Corp. DE 2.02,9.01 08/09/12
FX ENERGY INC NV 7.01,9.01 08/09/12
FX ENERGY INC NV 8.01,9.01 08/09/12
FX ENERGY INC NV 8.01,9.01 08/09/12
FXCM Inc. 2.02,7.01,9.01 08/09/12
GAIAM, INC CO 2.02,9.01 08/09/12
GALLAGHER ARTHUR J & CO DE 8.01,9.01 08/09/12
Gaming Partners International CORP NV 2.02,9.01 08/09/12
Genie Energy Ltd. DE 2.02,5.03,8.01,9.01 08/07/12
GenOn Energy, Inc. DE 2.02,9.01 08/09/12
GENVEC INC DE 2.02,9.01 08/09/12
Global Growth Trust, Inc. MD 5.02 08/06/12
Global Income Trust, Inc. MD 5.02 08/06/12
GLOBAL POWER EQUIPMENT GROUP INC. DE 2.02,9.01 08/09/12
GLOBALSCAPE INC DE 2.02,9.01 08/09/12
Globalstar, Inc. DE 2.02,7.01,9.01 08/09/12
GMX RESOURCES INC OK 2.02,9.01 08/08/12
GMX RESOURCES INC OK 8.01,9.01 08/09/12
Golden Minerals Co 2.02,9.01 08/08/12
GOLDEN PHOENIX MINERALS INC NV 1.01,7.01,9.01 08/08/12
GOLDEN STAR RESOURCES LTD 2.02,9.01 08/08/12
GRAMERCY CAPITAL CORP MD 2.02,7.01,9.01 08/09/12
GRAN TIERRA ENERGY, INC. NV 1.01 08/06/12
GREEN BANKSHARES, INC. TN 2.02,9.01 08/08/12
GreenChoice International, Inc. NV 5.02,8.01 03/08/12
GSV Capital Corp. MD 2.02,9.01 08/08/12
Guaranty Bancorp DE 5.02 08/07/12
Guaranty Bancorp DE 5.02 08/07/12 AMEND
Gulf & Orient Steamship Company, Ltd. CO 4.01,9.01 08/01/12 AMEND
HANDY & HARMAN LTD. DE 2.02,9.01 08/07/12
HARBINGER GROUP INC. DE 7.01 08/09/12
HARDINGE INC NY 2.02,9.01 08/09/12
HARLAND CLARKE HOLDINGS CORP DE 2.02,9.01 08/09/12
HAWTHORN BANCSHARES, INC. MO 8.01,9.01 08/09/12
HEALTH CARE REIT INC /DE/ DE 8.01,9.01 08/07/12
HERITAGE FINANCIAL CORP /WA/ WA 8.01,9.01 08/09/12
Hillshire Brands Co MD 2.02,9.01 08/09/12
Hillshire Brands Co MD 2.02,9.01 08/09/12
HOLOGIC INC DE 5.02 08/06/12
HORNBECK OFFSHORE SERVICES INC /LA DE 8.01,9.01 08/06/12
HOSPITALITY PROPERTIES TRUST MD 8.01,9.01 08/09/12
HOST HOTELS & RESORTS, INC. MD 1.01,2.03,8.01,9.01 08/06/12
Houston Wire & Cable CO 9.01 08/09/12
Houston Wire & Cable CO 2.02,9.01 08/09/12 AMEND
HPIL HOLDING NV 3.02 08/09/12
IEC ELECTRONICS CORP DE 5.02,7.01,9.01 08/07/12
IMPERVA INC DE 2.02,9.01 08/09/12
inContact, Inc. DE 2.02,9.01 08/09/12
INDEPENDENCE HOLDING CO DE 2.02,9.01 08/09/12
Information Services Group Inc. DE 2.02,9.01 08/09/12
INNERWORKINGS INC 2.02,9.01 08/08/12
INNOSPEC INC. DE 2.02,9.01 08/08/12
INTEGRATED DEVICE TECHNOLOGY INC DE 8.01,9.01 08/09/12
INTEGRATED DEVICE TECHNOLOGY INC DE 2.01,9.01 07/19/12 AMEND
INTERLEUKIN GENETICS INC DE 5.02,5.03,5.07,8.01, 08/06/12
9.01
INTERMOLECULAR INC DE 5.07 05/30/12 AMEND
International Stem Cell CORP DE 2.02,9.01 08/09/12
INUVO, INC. NV 2.02,7.01,9.01 08/09/12
INVESTMENT TECHNOLOGY GROUP INC DE 2.02,9.01 08/09/12
INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 08/09/12
ISLE OF CAPRI CASINOS INC DE 1.01,2.03,8.01,9.01 08/07/12
J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 08/09/12
James River Coal CO VA 2.02,7.01,9.01 08/09/12
Jones Lang LaSalle Income Property Tr MD 3.02,9.01 08/08/12
JONES SODA CO WA 2.02,9.01 08/09/12
KCAP Financial, Inc. DE 2.02,9.01 08/08/12
KCAP Financial, Inc. DE 2.02,9.01 06/30/12 AMEND
KINDER MORGAN, INC. DE 7.01 08/09/12
Kips Bay Medical, Inc. DE 2.02,9.01 08/09/12
KIT digital, Inc. DE 5.03,9.01 08/07/12
KOHLS Corp WI 2.02,7.01,8.01,9.01 08/09/12
Koppers Holdings Inc. PA 2.02,9.01 08/09/12
KRONOS WORLDWIDE INC 7.01,9.01 08/08/12
KRONOS WORLDWIDE INC 2.02,7.01,9.01 08/09/12
LADENBURG THALMANN FINANCIAL SERVICES FL 2.02,9.01 08/09/12
LAKES ENTERTAINMENT INC MN 1.01,2.01,9.01 08/03/12
Laredo Oil, Inc. DE 5.02,8.01,9.01 08/03/12
Laredo Petroleum Holdings, Inc. DE 2.02,7.01,9.01 08/09/12
LAWSON PRODUCTS INC/NEW/DE/ DE 2.02,9.01 08/09/12
Legend Oil & Gas, Ltd. CO 1.01,2.01,9.01 08/07/12
LEHMAN ABS CORP CORP BACK TR AIG DEBE DE 8.01,9.01 07/31/12
LEHMAN ABS CORP PRUDENTIAL FINANCIAL DE 8.01,9.01 07/27/12
LEVEL 3 COMMUNICATIONS INC DE 1.01,2.03,9.01 08/06/12
LEXARIA CORP. NV 7.01,9.01 08/09/12
LGL GROUP INC DE 7.01,9.01 08/09/12
LIBERTY SILVER CORP NV 8.01,9.01 08/09/12
LIHUA INTERNATIONAL INC. DE 2.02,9.01 08/09/12
LILLY ELI & CO IN 2.02,9.01 08/09/12
LIONBRIDGE TECHNOLOGIES INC /DE/ DE 2.01,9.01 06/01/12 AMEND
LIONS GATE ENTERTAINMENT CORP /CN/ A1 2.02,9.01 08/09/12
LITHIA MOTORS INC OR 7.01,9.01 08/09/12
LNB BANCORP INC OH 7.01,9.01 08/09/12
LOCAL.COM DE 2.02,8.01,9.01 08/08/12
LSB FINANCIAL CORP IN 2.02,9.01 08/08/12
LUNA INNOVATIONS INC DE 2.02,9.01 08/09/12
MAC-GRAY CORP DE 2.02,9.01 08/09/12
MAGNUM HUNTER RESOURCES CORP DE 2.02,7.01,9.01 08/09/12
MANAGEMENT NETWORK GROUP INC 2.02,9.01 08/09/12
MANNATECH INC TX 2.02,9.01 08/08/12
MAVERICK MINERALS CORP NV 1.01,3.02,9.01 08/07/12
MAXIMUS INC VA 2.02,9.01 08/07/12
MCDONALDS CORP DE 7.01,9.01 08/08/12
McEwen Mining Inc. CO 7.01,9.01 08/08/12
McEwen Mining Inc. CO 2.02,8.01,9.01 08/08/12
McEwen Mining Inc. CO 7.01,9.01 08/09/12
MEDICAL ACTION INDUSTRIES INC DE 3.01,5.07 08/03/12
MEDICAL PROPERTIES TRUST INC 2.02,9.01 08/09/12
MEDISWIPE INC. DE 4.01 08/09/12 AMEND
MEDIVATION, INC. DE 2.02,9.01 08/09/12
Memorial Production Partners LP DE 2.02,5.02,7.01,9.01 08/03/12
METALICO INC 8.01,9.01 08/09/12
METLIFE INC DE 8.01,9.01 08/08/12
MGP INGREDIENTS INC KS 2.02,7.01,9.01 08/09/12
MICHAEL BAKER CORP PA 2.02,9.01 08/09/12
MICROSEMI CORP DE 5.02,7.01,9.01 08/07/12
MIDDLEBY CORP DE 1.01,1.02,2.03,9.01 08/07/12
MIDDLEBY CORP DE 2.02,9.01 08/08/12
MINDSPEED TECHNOLOGIES, INC DE 1.01,3.03,9.01 08/09/12
MIPS TECHNOLOGIES INC DE 8.01,9.01 08/06/12
MITEL NETWORKS CORP 5.07 07/26/12
ML MACADAMIA ORCHARDS L P DE 2.02,9.01 08/09/12
MModal Inc. DE 1.01,8.01,9.01 08/08/12
MOBILE MINI INC DE 2.02,9.01 08/09/12
MOCON INC MN 2.02,9.01 08/08/12
MONDIAL VENTURES INC 1.01,2.03,3.02,5.01, 07/31/12
5.02,9.01
MONMOUTH REAL ESTATE INVESTMENT CORP MD 2.02,7.01,9.01 08/09/12
MONRO MUFFLER BRAKE INC NY 1.01,5.07,8.01 08/07/12
MTR GAMING GROUP INC DE 2.02,9.01 08/09/12
MWI Veterinary Supply, Inc. DE 7.01,9.01 08/09/12
MYERS INDUSTRIES INC OH 8.01 08/08/12
NABI BIOPHARMACEUTICALS DE 2.02,9.01 08/09/12
Nationstar Mortgage Holdings Inc. DE 1.01,2.03,9.01 08/09/12
NEKTAR THERAPEUTICS DE 2.02,9.01 08/09/12
NELNET INC NE 2.02,9.01 08/08/12
NEW JERSEY RESOURCES CORP NJ 2.02,9.01 08/09/12
New Mountain Finance Corp DE 2.02,9.01 08/08/12
NEWCASTLE INVESTMENT CORP MD 2.02,9.01 08/09/12
NEWELL RUBBERMAID INC DE 5.02 08/07/12
NEWS CORP 8.01,9.01 08/09/12
NICHOLAS FINANCIAL INC FL 8.01,9.01 08/07/12
NISSAN AUTO RECEIVABLES CORP II DE 1.01,9.01 08/08/12
NL INDUSTRIES INC NJ 7.01,9.01 08/08/12
NL INDUSTRIES INC NJ 2.02,7.01,9.01 08/09/12
NORDSTROM INC WA 2.02,7.01,9.01 08/09/12
NORTEK INC DE 2.02,9.01 08/09/12
NORTHERN OIL & GAS, INC. 2.02,9.01 08/09/12
Northern Tier Energy LP DE 2.02,9.01 08/09/12
NVIDIA CORP DE 2.02,9.01 08/09/12
OCZ TECHNOLOGY GROUP INC DE 5.02,9.01 08/07/12
OLIN CORP VA 1.01,9.01 08/09/12
OLIN CORP VA 7.01,9.01 08/09/12
OLIN CORP VA 7.01,9.01 08/09/12
OLYMPIC STEEL INC OH 2.02,9.01 08/09/12
OM GROUP INC DE 2.02,9.01 08/09/12
OMNICOM GROUP INC NY 1.01,2.03,9.01 08/09/12
Oncothyreon Inc. DE 4.02 08/06/12
Oncothyreon Inc. DE 2.02,9.01 08/09/12
ONE LIBERTY PROPERTIES INC MD 1.01,9.01 08/09/12
ONVIA INC DE 2.02,9.01 08/09/12
OPEN TEXT CORP A6 2.02 08/09/12
ORBCOMM Inc. DE 2.02,9.01 08/09/12
ORGANOVO HOLDINGS, INC. DE 5.02,9.01 08/06/12
OSI SYSTEMS INC DE 2.02,9.01 08/09/12
PACIFIC SUNWEAR OF CALIFORNIA INC CA 5.02,7.01,9.01 08/09/12
Pacira Pharmaceuticals, Inc. DE 2.02,9.01 08/09/12
PAREXEL INTERNATIONAL CORP MA 2.02,8.01,9.01 08/08/12
PEGASYSTEMS INC MA 2.02,9.01 08/09/12
PennantPark Floating Rate Capital Ltd 2.02,9.01 08/09/12
PG&E Corp CA 8.01 08/07/12
PHH CORP MD 8.01,9.01 08/09/12
PICO HOLDINGS INC /NEW CA 2.02,9.01 08/09/12
Pinnacle Foods Finance LLC DE 2.02,9.01 08/09/12
PIXELWORKS, INC OR 1.01 08/08/12
PMC COMMERCIAL TRUST /TX TX 2.02,9.01 08/08/12
PNM RESOURCES INC NM 8.01 08/09/12
POLYMEDIX, INC DE 2.02,9.01 08/09/12
Post Holdings, Inc. MO 5.02,9.01 08/07/12
Post Holdings, Inc. MO 2.02,9.01 08/09/12
POWELL INDUSTRIES INC NV 5.02,8.01,9.01 08/03/12
Primoris Services Corp DE 2.02,8.01,9.01 08/08/12
PROGENICS PHARMACEUTICALS INC DE 2.02,9.01 06/30/12
PROSPECT CAPITAL CORP MD 8.01,9.01 08/08/12
Protalix BioTherapeutics, Inc. FL 7.01,9.01 08/09/12
PROTEONOMIX, INC. DE 5.02,9.01 08/02/12
PRUDENTIAL FINANCIAL INC NJ 8.01,9.01 08/09/12
Q LOTUS HOLDINGS INC NV 1.01,2.03,9.01 07/01/12
QAD INC DE 2.02,9.01 08/09/12
QR Energy, LP DE 2.02,9.01 08/09/12
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 2.02,9.01 08/09/12
QUEST DIAGNOSTICS INC DE 5.03,8.01,9.01 08/09/12
QUEST SOFTWARE INC CA 2.02,8.01,9.01 08/09/12
QUESTCOR PHARMACEUTICALS INC CA 7.01 08/09/12
RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 08/09/12
RBC LIFE SCIENCES, INC. DE 2.02 08/09/12
RED ROBIN GOURMET BURGERS INC DE 2.02,9.01 08/09/12
RELM WIRELESS CORP NV 2.02,9.01 08/08/12
RENTRAK CORP OR 2.02,9.01 08/09/12
RICKS CABARET INTERNATIONAL INC TX 1.01,9.01 08/03/12
RLJ Lodging Trust MD 9.01 05/30/12 AMEND
ROBBINS & MYERS, INC. OH 1.01,8.01,9.01 08/08/12
ROLLINS INC DE 8.01,9.01 08/06/12
Rosetta Resources Inc. DE 7.01,9.01 08/08/12
ROSETTA STONE INC 2.02,7.01,9.01 08/08/12 AMEND
ROTECH HEALTHCARE INC DE 5.02,9.01 08/06/12
Roundy's, Inc. DE 2.02,9.01 08/09/12
ROYAL GOLD INC DE 2.02,9.01 08/09/12
ROYAL GOLD INC DE 1.01,8.01,9.01 08/08/12
Sagent Pharmaceuticals, Inc. DE 2.02,9.01 08/09/12
SAJAN INC DE 2.02,9.01 08/09/12
Sanchez Energy Corp DE 2.02,7.01,9.01 08/08/12
Santander Drive Auto Receivables Trus DE 1.01,8.01,9.01 08/07/12
Santander Drive Auto Receivables Trus DE 8.01,9.01 08/07/12
SANTARUS INC DE 8.01 08/09/12
SCOTTS MIRACLE-GRO CO OH 2.02,9.01 08/09/12
SELECT MEDICAL CORP DE 2.02,9.01 08/07/12
SERVICEMASTER CO DE 7.01 08/08/12
SERVICEMASTER CO DE 7.01 08/09/12
Seven Seas Cruises S. DE R.L. R1 2.02,9.01 08/09/12
SIGNATURE GROUP HOLDINGS, INC. NV 2.02,7.01,9.01 08/09/12
Silicon Graphics International Corp DE 5.02 08/09/12
Skinny Nutritional Corp. NV 3.03,5.03,9.01 08/03/12
SM Energy Co DE 7.01,9.01 08/08/12
SMF ENERGY CORP DE 7.01,9.01 07/20/12
SMSA KERRVILLE ACQUISITION CORP. 5.02 08/09/12
SMSA KERRVILLE ACQUISITION CORP. 5.02,9.01 08/09/12 AMEND
Solar Capital Ltd. MD 2.03,9.01 08/09/12
SOTHEBYS DE 2.02,9.01 08/09/12
SOUTH AMERICAN GOLD CORP. NV 1.01,9.01 08/06/12
SOUTHERN MICHIGAN BANCORP INC MI 7.01,9.01 08/09/12
SquareTwo Financial Corp DE 2.02,9.01 08/09/12
SS&C Technologies Holdings Inc DE 2.02,9.01 08/09/12
STAG Industrial, Inc. 1.01,7.01 08/09/12
Steadfast Income REIT, Inc. MD 2.02,9.01 08/09/12
Steadfast Income REIT, Inc. MD 9.01 05/24/12 AMEND
STERLING CONSTRUCTION CO INC DE 2.02,9.01 08/08/12
STONERIDGE INC OH 2.02,7.01,9.01 08/09/12
SUBURBAN PROPANE PARTNERS LP DE 1.01,8.01,9.01 08/07/12
Summit Hotel Properties, Inc. MD 2.02,9.01 08/09/12
SUN HEALTHCARE GROUP INC DE 8.01,9.01 08/08/12
SUNESIS PHARMACEUTICALS INC DE 2.02,9.01 08/09/12
SunOpta Inc. 2.02,9.01 08/09/12
Sunshine Heart, Inc. DE 5.02,5.07,9.01 08/09/12
Sunstone Hotel Investors, Inc. MD 2.02,9.01 08/03/12
SUPERCONDUCTOR TECHNOLOGIES INC DE 2.02,9.01 08/09/12
SYNOPSYS INC DE 8.01,9.01 08/03/12
Synthetic Biologics, Inc. NV 1.01,3.02,9.01 08/06/12
Synutra International, Inc. DE 2.02,9.01 08/09/12
TACTICAL AIR DEFENSE SERVICES, INC. 1.01,7.01,9.01 08/08/12
TANDY LEATHER FACTORY INC DE 2.02,9.01 08/09/12
TCP Capital Corp. DE 2.02,7.01,9.01 08/09/12
Telanetix,Inc DE 2.02,9.01 08/08/12
Teleconnect Inc. OK 5.02,9.01 08/09/12
Tennessee Valley Authority 2.03 08/06/12
TFS Financial CORP DE 5.02,9.01 08/06/12
THERAGENICS CORP DE 2.02 08/09/12
Thompson Creek Metals CO Inc. A6 2.02,9.01 08/09/12
TIB FINANCIAL CORP. FL 2.02,9.01 08/08/12
TIDEWATER INC DE 2.02,9.01 08/08/12
Tim Hortons Inc. A6 2.02,5.02,8.01,9.01 08/09/12
TMX Finance LLC DE 8.01,9.01 08/09/12
TOMPKINS FINANCIAL CORP NY 2.01,9.01 08/01/12 AMEND
TOWERSTREAM CORP DE 2.02,7.01,8.01,9.01 08/09/12
TRANZYME INC DE 2.02,9.01 08/09/12
TRI VALLEY CORP DE 1.01,1.03,2.03,2.04, 08/09/12
9.01
U S PHYSICAL THERAPY INC /NV NV 2.02,7.01,8.01,9.01 08/09/12
Ubiquiti Networks, Inc. DE 2.02,9.01 08/09/12
Ubiquiti Networks, Inc. DE 1.01,9.01 08/09/12
Uni-Pixel DE 1.01,8.01,9.01 08/08/12
UNICO AMERICAN CORP NV 2.02 06/30/12
UNIGENE LABORATORIES INC DE 2.02,9.01 08/09/12
UNITED GUARDIAN INC DE 2.02,9.01 08/09/12
UNIVERSAL DISPLAY CORP \PA\ PA 2.02,9.01 08/08/12
URANIUM RESOURCES INC /DE/ DE 8.01,9.01 08/09/12
UROLOGIX INC MN 8.01,9.01 08/07/12
US AIRWAYS GROUP INC DE 8.01,9.01 08/08/12
US CONCRETE INC DE 2.02,5.02,9.01 08/07/12
US HOME SYSTEMS INC DE 2.02,9.01 08/08/12
US TUNGSTEN CORP. 5.03,9.01 07/23/12
VALHI INC /DE/ DE 2.02,8.01,9.01 08/09/12
Verso Paper Corp. DE 2.02,9.01 08/09/12
Vestin Realty Mortgage I, Inc. 8.01 08/09/12
Vestin Realty Mortgage II, Inc MD 8.01 08/09/12
VIROPHARMA INC DE 2.02,9.01 08/09/12
VISTAPRINT N.V. P7 5.02 08/08/12
Vitacost.com, Inc. DE 7.01,9.01 08/09/12
Vringo Inc DE 1.01,7.01,8.01,9.01 08/09/12
WAGEWORKS, INC. DE 2.02,9.01 08/09/12
WALTER INVESTMENT MANAGEMENT CORP MD 2.02,9.01 08/09/12
Warner Music Group Corp. DE 2.02,9.01 08/09/12
WEINGARTEN REALTY INVESTORS /TX/ TX 2.02,9.01 08/07/12
WELLS CORE OFFICE INCOME REIT INC 9.01 07/02/12 AMEND
Wendy's Co DE 7.01,9.01 08/09/12
Wendy's Co DE 2.02,9.01 08/09/12
WHITING USA TRUST I DE 2.02,9.01 08/08/12 AMEND
Whiting USA Trust II DE 2.02,9.01 08/08/12
Willdan Group, Inc. DE 2.02,9.01 08/09/12
WINDSTREAM CORP DE 2.02,9.01 08/09/12
Winthrop Realty Trust OH 1.01,8.01,9.01 08/06/12
WIRELESS RONIN TECHNOLOGIES INC MN 2.02,9.01 08/09/12
WMS INDUSTRIES INC /DE/ DE 2.02,9.01 08/06/12
XPLORE TECHNOLOGIES CORP DE 8.01,9.01 08/08/12
XPO Logistics, Inc. 2.01 08/03/12
XZERES Corp. NV 1.01,3.02,9.01 08/09/12
YAHOO INC DE 7.01 08/09/12
Yankee Holding Corp. DE 2.02,9.01 08/09/12
YCC Holdings LLC DE 2.02,9.01 08/09/12
Yongye International, Inc. NV 2.02,9.01 08/09/12
ZHONGPIN INC. DE 2.02,9.01 08/08/12
http://www.sec.gov/news/digest/2012/dig081012.htm
|