The following table includes registration statements and
post-effective amendments that were declared effective by the
Securities and Exchange Commission on the most recently completed
business day.
The Securities Act of 1933 requires companies offering
securities to file a registration statement with the SEC that
discloses material facts for investors. The SEC staff reviews
registration statements and declares them "effective" if companies
satisfy the disclosure rules.
REGISTRATIONS EFFECTIVE AS OF September 13, 2011
STOCK:
Northstar Realty Finance Corp. (NRF)
File Number: 333-175259
Date of Original Registration: 6/30/11
Form Type: S-3
Securities Registered: 26,774,070 Shares of Common Stock
Selling Holder: Yes.
Power Solutions International Inc. (PSIX)
File Number: 333-176653
Date of Original Registration: 9/2/11
Form Type: S-1
Securities Registered: 2,355,011 Shares of Common Stock
Selling Holder: Yes.
S-4 s and F-4 s:
LyondellBasel Industries N.V. (LYB)
File Number: 333-175077
Date of Original Registration: 6/22/11
Form Type: S-4
Securities Registered: $1,822,500,000 8% Senior Secured Notes
Due 2017 303,750,000 8% Senior Secured Notes Due 2017
Selling Holder: No
New Enterprise Stone & Lime Co. Inc.
File Number: 333-176538
Date of Original Registration: 8/29/11
Form Type: S-4
Securities Registered: Offer to Exchange
$250,000,000 in aggregate principal amount of
11% Senior Notes due 2018 which have been registered
under the Securities Act of 1933 for $250,000,000 in aggregate
principal amount of outstanding 11% Senior Notes due 2018.
Selling Holder: No.
MIXED SECURITIES:
AXT Inc. (AXTI)
File Number: 333-175820
Date of Original Registration: 7/27/11
Form Type: S-3
Securities Registered: $60,000,000 Common Stock, Preferred
Stock, Depositary Shares, Warrants, Debt Securities and Units
Selling Holder: No.