SEC News Digest

Enforcement proceedings

In the Matter of Cory A. Martin

On January 13, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Cory A. Martin (Martin). The Order finds that Martin was Chief Investment Officer of Jadis Capital, Inc. (Jadis Capital), a New York corporation. The offering documents, drafted in part by Martin, claim that Martin was a controlling member of Jadis Investments, LLC (Jadis Investments), a Delaware limited liability company and Uniondale, Long Island-based investment adviser registered with the Commission. Jadis Capital was the sole owner of Jadis Investments.

The Order further finds that Martin pled guilty to conspiracy to commit securities fraud, in violation of Title 18 United States Code, Section 371 before the United States District Court for the Eastern District of New York. On September 24, 2010, a judgment was entered against Martin. He was sentenced to six months of home detention, five years probation, and 150 hours of community service and ordered to make restitution in the amount of $3,303,207.99.

Based on the above, the Order bars Martin from association with any investment adviser. Martin consented to the issuance of the Order without admitting or denying any of the findings in the Order, except for the Commission’s jurisdiction over him and the subject matter of the proceedings and his criminal conviction, which he admitted. (Rel. IA-3351; File No. 3-14691)

In the Matter of Clifton Oram, Don Winkler, and William Michael

On January 13, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions against Clifton Oram, a resident of Utah, and against Don Winkler, a resident of California (Oram and Winkler Orders), based on the entry of a permanent injunction against them in the civil action entitled Securities and Exchange Commission v. Clifton K. Oram, et al., Civil Action No. 2:10-01173-DB in the United States District Court for the District of Utah. The Commission also announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions against William Michael (Michael Order), a resident of California, based on the entry of a permanent injunction against him in the above-referenced civil action.

In the Oram and Winkler Orders, and in the Michael Order (collectively, Orders), the Commission finds that, on December 22, 2011, an agreed permanent injunction was entered against Oram, Winkler, and Michael, permanently enjoining them 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 Securities Exchange Act of 1934, and Rule 10b-5 thereunder. The Commission further finds in the Orders that the Commission filed a Complaint against Oram, Winkler, and Michael, alleging that, between 2006 and the end of 2008, Oram, Winkler, and Michael induced investors to invest in a fraudulent foreign currency trading offering conducted by MexGroup, a Mexican entity, and that MexGroup ultimately raised at least $50 million in the offering. According to the Complaint, Oram, Winkler, and Michael failed to conduct an adequate due diligence inquiry into MexGroup, its principals, and its purported investment.

Based on the above, the Orders bar Oram, Winkler, and Michael from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent or nationally recognized statistical rating organization; the Orders also bar Oram, Winkler, and Michael from participating in any offering of a penny stock. In consenting to the entry of the Orders, Oram, Winkler, and Michael each admitted his respective Order’s finding as to the entry of the injunction against him, and its findings that the Commission has jurisdiction over him and over the matters set forth in his respective Order; Oram, Winkler, and Michael did not, however, admit any of the other findings in their respective Orders. (Rel. 34-66150; File No. 3-14692; 34-66151; File No. 3-14693; 34-66152; IA-3352; File No. 3-14694)

In the Matter of Sarang Ahuja

On January 13, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Sarang Ahuja. The Order finds that Ahuja is a registered representative who was associated with broker-dealers registered with the Commission from 2002 until 2008.

On February 16, 2010, the Commission filed a complaint against Ahuja in SEC v. Steven Scoppetuolo, et al., (Civil Action No. 10-cv-20475). On December 2, 2011, the Court entered an order permanently enjoining Ahuja, by consent, from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Court also imposed a civil penalty and disgorgement to be determined based upon the Commission’s motion.

The Commission’s complaint alleged, among other things, that Ahuja engaged in illegal insider trading in the securities of World Fuel Services Corporation (World Fuel). Ahuja received a tip from his client, Robert Tocci, and/or World Fuel employee, Steven Scoppetuolo, about World Fuel’s worse-than-expected earnings in advance of World Fuel’s May and August 2007 earnings announcements. Before the announcements, Ahuja purchased put options for himself, his family members, and his clients. After the announcements, Ahuja sold the put options for profits.

Based on the above, the Order bars Sarang Ahuja from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Ahuja consented to the issuance of the Order without admitting or denying any of the findings except he admitted the entry of the injunction. (Rel. 34-66154; File No. 3-14695)

Self-Regulatory Organizations

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by C2 Options Exchange, Incorporated (SR-C2-2012-002) to amend the Fees Schedule has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 16. (Rel. 34-66140)

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     EdgeWave, Inc., 15333 AVENUE OF SCIENCE, SAN DIEGO, CA, 92128, 
        858-676-2277 - 268,716 ($53,743.00) Equity, (File 333-178978 - Jan. 12) 
        (BR. 03C)

S-B     JAMAICA GOVERNMENT OF, 30 NATIONAL HEROES CIRCLE, KINGSTON 4, L8, 
        9999999999, 876-932-5400 - 0 ($1,000,000,000.00) Non-Convertible Debt, 
        (File 333-178979 - Jan. 12) (BR. DN)

S-1     MRC GLOBAL INC., 2 HOUSTON CENTER, 909 FANNIN, SUITE 3100, HOUSTON, TX, 
        77010, 877.294.7574 - 0 ($100,000,000.00) Equity, (File 333-178980 - 
        Jan. 12) (BR. 06C)

S-3     ARCA biopharma, Inc., 8001 ARISTA PLACE, SUITE 200, BROOMFIELD, CO, 
        80021, 720-940-2200 - 2,916,666 ($2,887,499.34) Equity, 
        (File 333-178984 - Jan. 12) (BR. 01B)

S-3     Marina Biotech, Inc., 3830 MONTE VILLA PARKWAY, BOTHELL, WA, 98021, 
        4259083600 - 0 ($5,100,000.00) Equity, (File 333-178985 - Jan. 12) 
        (BR. 01B)

S-8     SHUTTERFLY INC, 2800 BRIDGE PARKWAY, REDWOOD CITY, CA, 94065, 
        650-610-5200 - 1,149,683 ($27,764,844.00) Equity, (File 333-178986 - 
        Jan. 12) (BR. 11C)

S-1     SPLUNK INC, 250 BRANNAN STREET, SAN FRANCISCO, CA, 94107, 
        415-848-4800 - 0 ($125,000,000.00) Equity, (File 333-178988 - Jan. 12) 
        (BR. )

S-1     Cinco Resources, Inc., 2626 HOWELL STREET, SUITE 800, DALLAS, TX, 
        75204, 214-520-7727 - 0 ($172,500,000.00) Equity, (File 333-178990 - 
        Jan. 12) (BR. )

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:

1.01	Entry into a Material Definitive Agreement
1.02	Termination of a Material Definitive Agreement
1.03	Bankruptcy or Receivership
2.01	Completion of Acquisition or Disposition of Assets
2.02	Results of Operations and Financial Condition
2.03	Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
2.04	Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
2.05	Cost Associated with Exit or Disposal Activities
2.06	Material Impairments
3.01	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
3.02	Unregistered Sales of Equity Securities
3.03	Material Modifications to Rights of Security Holders
4.01	Changes in Registrant's Certifying Accountant
4.02	Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
5.01	Changes in Control of Registrant
5.02	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer
5.03	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04	Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05	Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
5.06	Change in Shell Company Status
6.01	ABS Informational and Computational Material.
6.02	Change of Servicer or Trustee.
6.03	Change in Credit Enhancement or Other External Support.
6.04	Failure to Make a Required Distribution.
6.05	Securities Act Updating Disclosure.
7.01	Regulation FD Disclosure
8.01	Other Events
9.01	Financial Statements and Exhibits

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

AAA Best Car Rental Inc                 NV       1.01,5.01,5.02,9.01  01/04/12

ACACIA RESEARCH CORP                    DE       5.02                 01/12/12

AEMETIS, INC                            NV       1.01,2.03,9.01       01/06/12

AGILYSYS INC                            OH       2.02,7.01,8.01,9.01  01/12/12

ALBANY INTERNATIONAL CORP /DE/          DE       2.01,8.01,9.01       01/12/12

ALCOA INC                               PA       2.02,9.01            01/09/12

ALLIANCEBERNSTEIN HOLDING L.P.          DE       7.01,9.01            01/11/12

ALLIANCEBERNSTEIN L.P.                  DE       7.01,9.01            01/11/12

AMEDISYS INC                            DE       7.01,9.01            01/12/12

American Realty Capital Properties, I   MD       2.01,2.03,8.01,9.01  01/10/12

AMERIGAS PARTNERS LP                    DE       8.01,9.01            01/12/12

AMERIGROUP CORP                                  8.01,9.01            01/12/12

APOLLO GROUP INC                        AZ       5.07                 01/09/12

APPLIED MICRO CIRCUITS CORP             DE       5.07                 08/16/11    AMEND

Approach Resources Inc                  DE       7.01,9.01            01/12/12

Artio Global Investors Inc.             DE       7.01,9.01            01/12/12

ASTORIA FINANCIAL CORP                  DE       8.01,9.01            01/12/12

BANK OF SOUTH CAROLINA CORP             SC       2.02,9.01            01/12/12

BANKATLANTIC BANCORP INC                FL       2.04,8.01            01/06/12

BIOVEST INTERNATIONAL INC               DE       7.01,9.01            01/12/12

Bitzio, Inc.                            NV       5.02                 01/12/12

Bitzio, Inc.                            NV       3.02,9.01            01/06/12

Bitzio, Inc.                            NV       1.01,2.01,3.02,9.01  01/06/12

BLUE SPHERE CORP.                       NV       5.02,9.01            01/09/12

BRAINY BRANDS COMPANY, INC.             DE       1.01,2.03,9.01       01/09/12

BRANDYWINE REALTY TRUST                 MD       7.01,8.01,9.01       12/20/11

BROWN & BROWN INC                       FL       1.01,1.02,2.01,2.03, 01/09/12
                                                 7.01,9.01
     
BUCKEYE TECHNOLOGIES INC                DE       2.05,2.06,7.01,9.01  01/12/12

CARDICA INC                             DE       2.02,8.01            01/12/12

CARPENTER TECHNOLOGY CORP               DE       8.01,9.01            01/12/12

CELL THERAPEUTICS INC                   WA       5.02                 01/07/12

CHARMING SHOPPES INC                    PA       7.01,9.01            01/12/12

CHUGACH ELECTRIC ASSOCIATION INC        AK       2.03                 01/11/12

COLONY RESORTS LVH ACQUISITIONS LLC     NV       1.03,6.05            01/12/12

Columbia Seligman Premium Technology    MD       7.01                 01/11/12

Computer Software Innovations, Inc.     DE       1.01                 01/06/12

CONAGRA FOODS INC /DE/                  DE       2.03                 01/10/12

CONCHO RESOURCES INC                    DE       5.02,9.01            01/10/12

Conmed Healthcare Management, Inc.      DE       8.01,9.01            01/11/12

CORNERSTONE THERAPEUTICS INC            DE       5.02                 12/01/11    AMEND

CORPORATE OFFICE PROPERTIES TRUST       MD       7.01,9.01            01/12/12

CROWN CASTLE INTERNATIONAL CORP         DE       8.01,9.01            01/12/12

CUBIST PHARMACEUTICALS INC              DE       2.02,9.01            01/09/12

CUI Global, Inc.                        CO       1.01                 01/09/12

Cytosorbents Corp                                7.01,9.01            01/11/12

DATARAM CORP                            NJ       5.02                 01/09/12

DENBURY RESOURCES INC                   DE       5.02,9.01            01/06/12

DENMARK BANCSHARES INC                  WI       5.02                 01/10/12

DICKS SPORTING GOODS INC                DE       7.01,8.01,9.01       01/12/12

DORCHESTER MINERALS, L.P.               DE       2.02,7.01,9.01       01/12/12

EATON VANCE CORP                        MD       5.07                 01/11/12

ecoTECH Energy Group Inc.               NV       5.02                 12/16/11

ELECTRONIC ARTS INC.                    DE       8.01,9.01            01/12/12

Entergy Louisiana, LLC                  TX       8.01,9.01            01/12/12

ERHC Energy Inc                         CO       8.01,9.01            01/11/12

Federal Home Loan Bank of Atlanta       X1       2.03                 01/12/12

Federal Home Loan Bank of Boston        X1       2.03                 01/10/12

Federal Home Loan Bank of Chicago       X1       2.03                 01/09/12

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            01/09/12

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            01/10/12

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            01/12/12

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            01/09/12

Federal Home Loan Bank of San Francis   X1       2.03                 01/09/12

Federal Home Loan Bank of Topeka                 2.03,9.01            01/09/12

FIELDPOINT PETROLEUM CORP               CO       7.01,9.01            01/12/12

First Connecticut Bancorp, Inc.         MD       8.01,9.01            01/12/12

First Financial Northwest, Inc.         WA       1.01,5.02,5.03,9.01  01/11/12

First Trinity Financial CORP                     8.01,9.01            01/11/12

FNBH BANCORP INC                        MI       4.02                 01/06/12

FOUR RIVERS BIOENERGY INC.              NV       1.01                 05/24/11    AMEND

FOX PETROLEUM INC.                      NV       2.01                 01/11/12

FriendFinder Networks Inc.              NV       3.01                 01/06/12

FSP PHOENIX TOWER CORP                           1.01,9.01            01/12/12

General Maritime Corp / MI                       1.01                 01/07/12

General Motors Co                                8.01                 01/04/12

General Motors Financial Company, Inc   TX       1.01,9.01            01/11/12

GenOn Energy, Inc.                      DE       5.02                 01/10/12

GEORESOURCES INC                        CO       2.02,5.02,9.01       01/06/12

GLOBALSCAPE INC                         DE       7.01                 01/12/12

Google Inc.                             DE       5.02,9.01            01/11/12

Granite Falls Energy, LLC               MN       7.01,9.01            01/11/12

Griffin-American Healthcare REIT II,    MD       8.01                 01/11/12

GYRODYNE CO OF AMERICA INC              NY       8.01,9.01            01/11/12

HAMPTON ROADS BANKSHARES INC            VA       7.01,9.01            01/12/12

HARBINGER GROUP INC.                    DE       5.02,8.01            01/09/12

HEALTH DISCOVERY CORP                   2Q       1.01,9.01            01/06/12

HEALTH ENHANCEMENT PRODUCTS INC                  8.01                 01/12/12

HEALTH MANAGEMENT ASSOCIATES INC        DE       9.01                 11/18/11    AMEND

HealthSpring, Inc.                      DE       5.07,8.01,9.01       01/12/12

HICKORY TECH CORP                       MN       7.01,9.01            01/12/12

Higher One Holdings, Inc.               DE       1.01,5.02,7.01,9.01  01/09/12

HIGHWOODS PROPERTIES INC                MD       2.03,9.01            01/11/12

Home Federal Bancorp, Inc. of Louisia   LA       5.02,7.01,9.01       01/11/12

HOOKER FURNITURE CORP                   VA       5.02                 01/11/12

Horizon Lines, Inc.                              8.01,9.01            01/11/12

HUGHES Telematics, Inc.                 DE       8.01                 01/12/12

ICAHN ENTERPRISES L.P.                  DE       7.01                 01/10/12

Inland American Real Estate Trust, In   MD       7.01,9.01            01/12/12

INNOVATIVE SOFTWARE TECHNOLOGIES INC    CA       1.01,9.01            01/10/12

INTEGRATED BIOPHARMA INC                         1.01,9.01            01/09/12

INTEGRATED SECURITY SYSTEMS INC         DE       2.01                 01/06/12

INTEGRATED SURGICAL SYSTEMS INC         DE       4.01,9.01            01/12/12

INTERSECTIONS INC                       DE       2.02,8.01,9.01       11/09/11

Invesco Ltd.                            D0       7.01,9.01            01/11/12

Investors Bancorp Inc                   DE       2.01,9.01            01/06/12

JDA SOFTWARE GROUP INC                  DE       2.02,9.01            01/12/12

JEFFERSON BANCSHARES INC                TN       8.01                 01/11/12

JONES SODA CO                           WA       2.02,7.01,9.01       01/12/12

KAPSTONE PAPER & PACKAGING CORP         DE       9.01                 10/31/11    AMEND

KEATING CAPITAL INC                              7.01,9.01            01/11/12

KEYCORP /NEW/                           OH       8.01,9.01            01/12/12

KRANEM CORP                             CO       1.01,2.01,3.02,4.01, 01/12/12    AMEND
                                                 5.01,5.02,5.06,9.01
       
LEGGETT & PLATT INC                     MO       2.03,7.01,9.01       01/10/12

Liberator, Inc.                         FL       7.01,9.01            01/11/12

Longhai Steel Inc.                      NV       5.02,8.01,9.01       01/12/12

Magnolia Solar Corp                     NV       7.01,9.01            01/12/12

MATERIAL SCIENCES CORP                  DE       2.02,9.01            01/12/12

Medical Billing Assistance, Inc.        CO       5.02                 01/06/12

MERIDIAN BIOSCIENCE INC                 OH       8.01                 01/11/12

METABOLIX, INC.                                  1.02,2.05,7.01,9.01  01/09/12

MGT CAPITAL INVESTMENTS INC             DE       8.01,9.01            01/09/12

MRV COMMUNICATIONS INC                  DE       5.02,5.07            01/06/12

Neogenix Oncology Inc                   MD       8.01,9.01            01/12/12

Neogenix Oncology Inc                   MD       5.02                 01/12/12    AMEND

NeoStem, Inc.                           DE       8.01,9.01            01/12/12

Neuralstem, Inc.                        DE       7.01,9.01            01/10/12

Nevada Property 1 LLC                   DE       5.02                 01/12/12

New York & Company, Inc.                         7.01,9.01            01/12/12

NovaBay Pharmaceuticals, Inc.           CA       1.01                 01/09/12

Onstream Media CORP                     FL       7.01,8.01,9.01       01/12/12

OPTIMER PHARMACEUTICALS INC                      5.02                 01/10/12

OYO GEOSPACE CORP                       DE       8.01,9.01            01/12/12

PALL CORP                               NY       5.02                 01/10/12

PENFORD CORP                            WA       1.01,9.01            11/08/11    AMEND

PEOPLES EDUCATIONAL HOLDINGS            MN       2.02,9.01            01/12/12

PERCEPTRON INC/MI                       MI       1.01,9.01            01/06/12

Pharmasset Inc                                   5.01,5.02            01/12/12

PINNACLE WEST CAPITAL CORP              AZ       9.01                 01/10/12

PREMIER EXHIBITIONS, INC.               FL       2.02,9.01            01/11/12    AMEND

PROVIDENT FINANCIAL HOLDINGS INC        DE       1.01,9.01            01/12/12

PS BUSINESS PARKS INC/CA                CA       1.01,3.03,5.03,9.01  01/10/12

PS BUSINESS PARKS INC/CA                CA       8.01,9.01            01/12/12

QUAINT OAK BANCORP INC                           7.01,9.01            01/11/12

Rackwise, Inc.                          NV       5.02                 01/06/12

RAYMOND JAMES FINANCIAL INC             FL       7.01,9.01            01/11/12

RAYMOND JAMES FINANCIAL INC             FL       1.01,9.01            01/11/12

RDA Holding Co.                                  5.02                 01/09/12

RED MOUNTAIN RESOURCES, INC.            FL       1.01,2.01,2.03,3.02, 05/26/11    AMEND
                                                 5.01,5.02,5.03,5.06,
                                                 9.01
  
RED MOUNTAIN RESOURCES, INC.            FL       3.02,9.01            11/04/11    AMEND

REGIONS FINANCIAL CORP                  DE       1.01,9.01            01/11/12

RESOURCE AMERICA, INC.                  DE       1.01,5.02,9.01       01/09/12

RoomStore, Inc.                         VA       5.02                 01/09/12

Rovi Corp                               DE       2.02                 01/12/12

ROYAL GOLD INC                          DE       1.01,9.01            01/10/12

Ruths Hospitality Group, Inc.           DE       7.01,9.01            01/12/12

SCANSOURCE INC                          SC       5.02,9.01            01/12/12

SCHOOL SPECIALTY INC                    WI       5.02,7.01,9.01       01/12/12

SERVICEMASTER CO                        DE       7.01                 01/12/12

SEYCHELLE ENVIRONMENTAL TECHNOLOGIES    NV       8.01,9.01            01/12/12    AMEND

SHUTTERFLY INC                          DE       5.02,9.01            01/06/12

SOFTECH INC                             MA       2.02,9.01            01/11/12

Solo International, Inc                 NV       1.01,2.03,3.02,9.01  01/10/12

Soton Holdings Group, Inc.              NV       4.01,9.01            12/15/11    AMEND

Spirit Airlines, Inc.                   DE       2.02,7.01,9.01       01/12/12

STARBUCKS CORP                          WA       7.01,9.01            01/12/12

StellarOne CORP                         VA       9.01                 01/12/12

STRATS (SM) TRUST FOR JPMORGAN CHASE             8.01,9.01            01/03/12

STRATS SM TRUST FOR IBM CORP SEC SERI            8.01,9.01            12/29/11

STURM RUGER & CO INC                    DE       8.01,9.01            01/12/12

SUN RIVER ENERGY, INC                   CO       4.01                 01/12/12    AMEND

TARGET CORP                             MN       9.01                 01/12/12

TARGET CORP                             MN       8.01,9.01            01/12/12

THORATEC CORP                           CA       8.01                 01/04/12

Thrive World Wide Inc.                  NV       4.01,9.01            01/12/12

Timberline Resources Corp               DE       7.01,9.01            01/12/12

Titan Iron Ore Corp.                    NV       1.01,3.02,9.01       01/11/12

Titan Iron Ore Corp.                    NV       1.01,3.02,5.02,9.01  11/22/11

TMX Finance LLC                         DE       5.02                 07/08/11

TNP Strategic Retail Trust, Inc.        MD       1.01,2.01,2.03,7.01, 01/06/12
                                                 9.01
          
TNP Strategic Retail Trust, Inc.        MD       9.01                 10/11/11    AMEND

Tree.com, Inc.                          DE       1.01,2.03            01/09/12

TREX CO INC                             DE       1.01,1.02,9.01       01/06/12

TRI-CONTINENTAL CORP                    MD       7.01                 01/11/12

Triangle Petroleum Corp                 NV       4.01,9.01            01/10/12

TRUSTCO BANK CORP N Y                   NY       8.01,9.01            01/12/12

UDR, Inc.                               MD       7.01,9.01            01/12/12

UMH PROPERTIES, INC.                    MD       7.01,9.01            01/12/12

UNIFIRST CORP                           MA       5.07                 01/10/12

VIRGINIA ELECTRIC & POWER CO            VA       8.01,9.01            01/09/12

VSB BANCORP INC                         NY       2.02,9.01            01/11/12

WILLIAMS SONOMA INC                     CA       7.01,8.01,9.01       01/12/12

WINNEBAGO INDUSTRIES INC                IA       5.02                 01/11/12

Winthrop Realty Trust                   OH       2.03,8.01,9.01       01/06/12

WOLVERINE WORLD WIDE INC /DE/           MI       2.02,7.01            01/12/12

XCel Brands, Inc.                       DE       1.01,2.01,3.02,4.01, 09/29/11    AMEND
                                                 5.02,5.03,5.05,5.06,
                                                 9.01
  
XCEL ENERGY INC                         MN       8.01                 01/11/12

XL GROUP PLC                            L2       8.01,9.01            01/11/12

Yanglin Soybean, Inc.                   NV       5.02,9.01            12/26/11    AMEND

http://www.sec.gov/news/digest/2012/dig011312.htm