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 October 28, 2011
STOCK:
COBIZ FINANCIAL INC (COBZ)
File Number: 333-177216
Date of Original Registration: 10/7/11
Form Type: S-3
Securities Registered: 57,366 Senior Non-Cumulative Perpetual Preferred
Stock, Series C, $0.01 par value
Selling Holder: Yes
Clean Energy Fuels Corp. (CLNE)
File Number: 333-177043
Date of Original Registration: 9/28/11
Form Type: S-3
Securities Registered: 9,999,998 Shares of Common Stock
Selling Holder: Yes
ECOLAB INC (ECL)
File Number: 333-176601
Date of Original Registration: 8/31/11
Form Type: S-4
Securities Registered: 71,289,839 Common Stock, par value $1.00 per share
Selling Holder: No
GTX CORP (GTXO)
File Number: 333-177146
Date of Original Registration: 10/3/11
Form Type: S-1
Securities Registered: 11,670,000 SHARES OF COMMON STOCK
Selling Holder: Yes
HARBINGER GROUP INC. (HRG)
File Number: 333-176522
Date of Original Registration: 8/29/11
Form Type: S-3
Securities Registered: 60,449,536 Shares of Common Stock
Selling Holder: Yes
Lan Airlines SA
File Number: 333-177513
Date of Original Registration: 10/26/11
Form Type: F-6
Securities Registered: 200,000,000 American Depositary Shares
Selling Holder: No
Minerco Resources, Inc. (MINE)
File Number: 333-177321
Date of Original Registration: 10/14/11
Form Type: S-1
Securities Registered: 144,500,000 Shares of Common Stock
Selling Holder: Yes
NEXT FUEL, INC. (NXFI)
File Number: 333-175466
Date of Original Registration: 7/11/11
Form Type: S-1
Securities Registered: 1,400,000 shares of Common Stock
Selling Holder: Yes
Nova Lifestyle, Inc. (STVS)
File Number: 333-177353
Date of Original Registration: 10/17/11
Form Type: S-1
Securities Registered: 3,993,407 Shares of Common Stock
Selling Holder: Yes
Puissant Industries, Inc.
File Number: 333-174222
Date of Original Registration: 5/13/11
Form Type: S-1
Securities Registered: 107,000 SHARES OF COMMON STOCK
Selling Holder: Yes
RAIT Financial Trust (RAS)
File Number: 333-177324
Date of Original Registration: 10/14/11
Form Type: S-3
Securities Registered: 10,500,000 Common Shares of Beneficial Interest
Selling Holder: No
S-4s and F-4s:
ENDO PHARMACEUTICALS HOLDINGS INC (ENDP)
File Number: 333-177341
Date of Original Registration: 10/14/11
Form Type: S-4
Securities Registered: Offer to exchange $400 million aggregate principal
amount of 7.00% Senior Notes Due 2020; Offer to exchange $500 million
aggregate principal amount of 7% Senior Notes Due 2019; Offer to exchange
$400 million aggregate principal amount of 7 1/4% Senior Notes Due 2022
Selling Holder: No
MIXED SECURITIES:
Ampio Pharmaceuticals, Inc. (AMPE)
File Number: 333-177116
Date of Original Registration: 9/30/11
Form Type: S-3
Securities Registered: $80,000,000 Common Stock, Warrants, Units; 1,000,000
Shares of Common Stock
Selling Holder: Yes
Echo Therapeutics, Inc. (ECTE)
File Number: 333-175938
Date of Original Registration: 8/1/11
Form Type: S-3
Securities Registered: $75,000,000 Common Stock, Preferred Stock, Warrants,
Units
Selling Holder: No
Education Realty Trust, Inc. (EDR)
File Number: 333-177422
Date of Original Registration: 10/21/11
Form Type: S-3
Securities Registered: $500,000,000 Common Stock, Preferred Stock, Debt
Securities, Depositary Shares, Subscription Rights
Selling Holder: No
MISCELLANEOUS
ATEL 15, LLC
File Number: 333-174418
Date of Original Registration: 5/23/11
Form Type: S-1
Securities Registered: 15,000,000 Units of Limited Liability Company Interest
Selling Holder: No
SYNTHETIC FIXED INCOME SECURITIES INC
File Number: 333-175984
Date of Original Registration: 8/2/11
Form Type: S-3
Securities Registered: $1,000,000 Trust Certificates
Selling Holder: No