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Enforcement ProceedingsIn the Matter of Jeffrey A. LiskovOn December 27, 2012, the Commission issued an Order Instituting Public Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 (Advisers Act) and Notice of Hearing (Order) against Respondent Jeffrey A. Liskov (Liskov). In the Order, the Division of Enforcement alleges that, on December 12, 2012, a final judgment was entered against Liskov in the civil action entitled Securities and Exchange Commission v. EagleEye Asset Management, LLC and Jeffrey A. Liskov, No. 11-CV-11576, in the United States District Court for the District of Massachusetts, permanently enjoining Liskov from future violations of Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, Sections 206(1) and 206(2) of the Advisers Act, and Section 204 of the Advisers Act and various provisions of Rule 204-2 thereunder. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, to afford the Respondent an opportunity to establish defenses to the allegations, and to determine whether remedial action is necessary and appropriate. The Administrative Law Judge is directed to issue a decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. IA-3527; File No. 3-15155) In the Matter of EagleEye Asset Management, LLCOn December 27, 2012, the Commission issued an Order Instituting Public Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940 (Advisers Act) And Notice of Hearing (Order) against EagleEye Asset Management, LLC (EagleEye). In the Order, the Division of Enforcement alleges that, on December 12, 2012, a final judgment was entered against EagleEye in the civil action entitled Securities and Exchange Commission v. EagleEye Asset Management, LLC and Jeffrey A. Liskov, No. 11-CV-11576, in the United States District Court for the District of Massachusetts, permanently enjoining EagleEye from future violations of Section 10(b) of the Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, Sections 206(1) and 206(2) of the Advisers Act, and Section 204 of the Advisers Act and various provisions of Rule 204-2 thereunder. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, to afford the Respondent an opportunity to establish defenses to the allegations, and to determine whether remedial action is necessary and appropriate. The Administrative Law Judge is directed to issue a decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. IA-3528; File No. 3-15156) In the Matter of 1st Financial Services, LLC and Jeffry C. Eisnaugle a/k/a Jeff ChapmanOn December 27, 2012, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940 (Advisers Act) and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) as to 1st Financial Services, LLC (1st Financial) and Jeffry C. Eisnaugle. The Order finds that 1st Financial and Eisnaugle failed to disclose 1st Financial’s precarious financial situation to its clients, that 1st Financial failed to file required periodic reports and that Eisnaugle caused and aided and abetted 1st Financial’s failure to file the required periodic reports. Based on the above, 1st Financial’s registration as an investment adviser was revoked; Eisnaugle was ordered to cease and desist from committing or causing any violations and any future violations of Sections 203A, 204, 206(1) and 206(2) of the Advisers Act and Rules 203A-1(b)(2) and 204-1(a)(1) promulgated thereunder; Eisnaugle was barred from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent and prohibited from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter, with the right to apply for reentry after three years; Eisnaugle was ordered to pay disgorgement of $588,000 and prejudgment interest of $48,867 but payment of such amount was waived based upon his sworn representations in his Statement of Financial Condition; and, based upon his sworn representations in his Statement of Financial Condition, the Commission did not impose a penalty against Eisnaugle. 1st Financial and Eisnaugle consented to the issuance of the Order without admitting or denying any of the findings, except as to the Commission’s jurisdiction and the subject matter of the proceedings, which were admitted. (Rel. IA-3529; IC-30331; File No. 3-15157) SEC Suspends Attorney Stewart A. MerkinThe United States Securities and Exchange Commission announced today that it has issued an Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3)(i)(B) of the Commission’s Rules of Practice that suspends Stewart A. Merkin from appearing or practicing before the Commission. The Commission’s Order was based on findings by the United States District Court for the Southern District of Florida in SEC v. Stewart A. Merkin, Case No. 1:11-cv-23585, that Merkin violated the federal securities laws by making false public statements in connection with the purchase and sale of the stock of StratoComm Corporation and that he acted with scienter in doing so. Merkin has 30 days to petition the Commission to lift the temporary suspension. If he does not make a timely petition, the suspension will become permanent pursuant to Rule 102(e)(3)(ii). (Rel. 34-68543; File No. 3-15158) In the Matter of Sentinel Investment Management CorporationOn December 27, 2012, the Commission issued an Order Instituting Public Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940 against Sentinel Investment Management Corporation (Sentinel). According to the Order, the Division of Enforcement, following an investigation, alleges that Sentinel is a New York corporation formed in 1986 with its principal place of business in New York, New York. Sentinel is an investment adviser affiliated with West End Financial Advisors (West End) and has been registered with the Commission since 1986. West End is a New York-based, unregistered investment adviser to a collection of hedge funds (West End funds). During the relevant time period, William Landberg (Landberg) served as Sentinel’s president and chief compliance officer. Sentinel advised as many as 70 separately managed accounts at various times, some of which were invested in unregistered, private limited partnerships offered by West End. According to the Order, the Division alleges that on November 28, 2011, a final judgment was entered by consent against Sentinel, permanently enjoining Sentinel from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder, in the civil action entitled Securities and Exchange Commission v. William Landberg, et al., Civil Action Number 11-CV-0404 (PKC), in the United States District Court for the Southern District of New York. The Commission’s amended complaint alleged that Sentinel made material misrepresentations to investors and engaged in a scheme to misappropriate investor assets. Sentinel, through Landberg and others at West End, misrepresented to investors that their money was invested in safe, stable investments and that the investments were growing and performing well. However, West End and Sentinel knew, or were reckless in not knowing, that West End was not achieving the positive returns represented to investors. Sentinel, through Landberg and others at West End, also failed to disclose, among other things, that Landberg and West End: (i) commingled investor assets among various investment funds advised by West End; (ii) looted funds from a reserve account that West End was required to maintain for the benefit of a bank that provided loans to a West End fund and used the proceeds for improper purposes; and (iii) misappropriated investor funds. Based on the above, the Commission deems it necessary and appropriate in the public interest that public administrative proceedings be instituted to determine whether the Division’s allegations are true and, if so, what remedial action is appropriate. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 210 days from the date of service of the order instituting proceedings. (IA-3530; File No. 3-15159) SEC Obtains Final Judgment on Consent as to Raj RajaratnamThe Securities and Exchange Commission announced today that on December 26, 2012, the Honorable Jed S. Rakoff of the United States District Court for the Southern District of New York entered a consent judgment against former hedge fund manager Raj Rajaratnam in the SEC’s insider trading case, SEC v. Rajat K. Gupta and Raj Rajaratnam, Civil Action No. 11-CV-7566 (SDNY) (JSR). The final judgment orders Rajaratnam to pay $1,299,120 in disgorgement and $147,738, in prejudgment interest, for a total of $1,446,858. The SEC’s complaint, filed October 26, 2011, alleges that, among other things, Rajat K. Gupta tipped his business associate Raj Rajaratnam, Galleon Management’s founder and managing general partner, to confidential information Gupta learned in the course of his duties as a member of the Board of Directors of The Goldman Sachs Group, Inc. The complaint alleges that Gupta disclosed material nonpublic information concerning Berkshire Hathaway Inc.’s $5 billion investment in Goldman Sachs in September 2008, and concerning Goldman Sachs’s financial results for both the second and the fourth quarter of 2008. Rajaratnam used the information he learned from Gupta to trade profitably in certain Galleon hedge funds. By engaging in this conduct, Gupta and Rajaratnam violated Section 10(b) of the Securities Exchange Act of 1934, Exchange Act Rule 10b-5, and Section 17(a) of the Securities Act of 1933. The Final Judgment in the SEC’s case orders Rajaratnam to disgorge his share of the profits gained and losses avoided as a result of the insider trading plus prejudgment interest on that amount. [SEC v. Rajat K. Gupta and Raj Rajaratnam, Civil Action No. 11-CV-7566 (SDNY) (JSR)] (LR-22582) INVESTMENT COMPANY ACT RELEASESFranklin Advisers, Inc., et al.A notice has been issued giving interested persons until January 14, 2013, to request a hearing on an application filed by Franklin Advisers, Inc., et al., for an order to permit: (a) actively-managed series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30312 – December 19) Blackstone Alternative Alpha Fund, et al.An order has been issued on an application filed by Blackstone Alternative Alpha Fund, et al. under section 6(c) of the Investment Company Act of 1940 (Act) granting an exemption from sections 18(c) and 18(i), and section 17(d) of the Act and rule 17d-1 under the Act. The order permits registered closed-end management investment companies to issue multiple classes of shares and to impose asset-based service and/or distribution fees and contingent deferred sales loads. (Rel. IC-30317 – December 26) OTHER COMMISSION ORDERS, NOTICES, AND INFORMATIONApproval of Minor Rule Violation PlanPursuant to Section 19(d)(1) of the Securities Exchange Act of 1934 and Rule 19d-1(c)(2) thereunder, the Commission has approved the Minor Rule Violation Plan filed by BOX Options Exchange LLC (File No. 4-655). Publication is expected in the Federal Register during the week of December 31. (Rel. 34-68489) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangesChicago Board Options Exchange, Incorporated filed a proposed rule change (SR-CBOE-2012-124) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend various CBOE Rules governing letters of guarantee and authorization. Publication is expected in the Federal Register during the week of December 31. (Rel. 34-68487) NYSE Arca, Inc. filed with the Securities and Exchange Commission a proposed rule change (SR-NYSEArca-2012-142) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to list and trade the Guggenheim Enhanced Total Return ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of December 31. (Rel. 34-68488) International Securities Exchange, LLC filed a proposed rule change (SR-ISE-2012-100) to reduce the response times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism and Price Improvement Mechanism. Publication is expected in the Federal Register during the week of December 31. (Rel. 34-68492) The Stock Clearing Corporation of Philadelphia (SCCP) filed a proposed rule change (SR-SCCP-2012-02) under Section 19(b)(1) of the Securities Exchange Act of 1934 with respect to the amendment of the by-laws of its parent corporation, The NASDAQ OMX Group, Inc. Publication is expected in the Federal Register during the week of December 31. (Rel. 34-68536) The Boston Stock Exchange Clearing Corporation (BSECC) filed a proposed rule change (File No. SR-BSECC-2012-002) under Section 19(b)(1) of the Securities Exchange Act of 1934 with respect to the amendment of the by-laws of its parent corporation, The NASDAQ OMX Group, Inc. Publication is expected in the Federal Register during the week of December 31. (Rel. 34-68537) Immediate Effectiveness of Proposed Rule ChangesChicago Mercantile Exchange Inc. filed a proposed rule change (SR-CME-2012-46) under Section 19(b)(1) of the Securities Exchange Act of 1934, which became effective upon filing, to amend the fee schedule applicable to its OTC Credit Default Swap clearing offering. Publication is expected in the Federal Register during the week of December 31. (Rel. 34-68490) A proposed rule change filed by the International Securities Exchange, LLC to list additional strike prices until the close of trading on the second business day prior to monthly expiration in unusual market conditions (SR-ISE-2012-101) 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 December 31. (Rel. 34-68491) ICE Clear Europe Limited filed a proposed rule change (SR-ICEEU-2012-17) under Section 19(b)(1) of the Securities Exchange Act of 1934, which became effective upon filing, to extend the Position Allocation Methodology to margin calculations for two additional OTC spread swap futures contracts. Publication is expected in the Federal Register during the week of December 31. (Rel. 34-68494) ICE Clear Europe Limited filed a proposed rule change (SR-ICEEU-2012-16) under Section 19(b)(1) of the Securities Exchange Act of 1934, which became effective upon filing, to change to Position Allocation Methodology for SPAN margin calculation extended to three additional calendar spread options. Publication is expected in the Federal Register during the week of December 31. (Rel. 34-68495) ICE Clear Europe Limited (“ICE Clear Europe”) filed a proposed rule change (SR-ICEEU-2012-14) under Section 19(b)(1) of the Securities Exchange Act of 1934 to subject energy clearing members to an intra-day margin calling policy. Publication is expected in the Federal Register during the week of December 31. (Rel. 34-68496) ICE Clear Europe Limited (“ICE Clear Europe”) filed a proposed rule change (SR-ICEEU-2012-12) under Section 19(b)(1) of the Securities Exchange Act of 1934 to accept letters of credit or pass-through letters of credit deposits from non-financial institution energy clearing members. Publication is expected in the Federal Register during the week of Dece mber 31. (Rel. 34-68497) ICE Clear Europe Limited filed a proposed rule change (SR-ICEEU-2012-15) under Section 19(b)(1) of the Securities Exchange Act of 1934, which became effective upon filing, to change delivery procedures to reflect the clearing relationship for ICE Futures U.S. Inc. Publication is expected in the Federal Register during the week of December 31. (Rel. 34-68503) A proposed rule change, (SR-NASDAQ-2012-143), filed by The NASDAQ Stock Market LLC, relating to extension of the Exchange’s Penny Pilot Program and replacement of Penny Pilot issues that have been delisted 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 December 31. (Rel. 34-68519) ICE Clear Europe Limited filed a proposed rule change (SR-ICEEU-2012-21) under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 to implement the requirements of Commodity Futures Trading Commission Rule 39.13(g)(8)(ii). Publication is expected in the Federal Register during the week of December 31. (Rel. 34-68523) A proposed rule change filed by NYSE MKT LLC amending the NYSE MKT LLC price list to specify pricing that is currently applicable to certain executions on the Exchange but that is not currently included in the price list (SR-NYSEMKT-2012-83) 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 December 31. (Rel. 34-68527) A proposed rule change filed by New York Stock Exchange LLC extending the bond trading license and the bond liquidity provider pilot program (SR-NYSE-2012-74) 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 December 31. (Rel. 34-68533) The Options Clearing Corporation (“OCC”) filed a proposed rule change (SR-OCC-2012-24) under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 to make its By-Laws and Rules consistent with recent system changes to the Stock Loan/Hedge Program and Market Loan Program and delete certain terms and provisions that are no longer applicable. Publication is expected in the Federal Register during the week of December 31. (Rel. 34-68535) Advance Notice and Notice of No ObjectionThe Fixed Income Clearing Corporation (FICC) filed an advance notice (AN-FICC-2012-09) under Section 806(e)(1)(I) of the Payment, Clearing, and Settlement Supervision Act of 2010 and the Commission issued a notice of no objection regarding the replacement of the prepayment component of the value-at-risk-charge. Publication is expected in the Federal Register during the week of December 31. (Rel. 34-68498) 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. N-2 Harvest Capital Credit Corp, 450 Park Avenue, Suite 500, New York, NY, 10022, 212-906-3500 - 0 ($57,500,000.00) Equity, (File 333-185672 - Dec. 26) (BR. 22) S-1 Cyclacel Pharmaceuticals, Inc., 200 CONNELL DRIVE, SUITE 1500, BERKELEY HEIGHTS, NJ, 07922, 908-517-7330 - 0 ($10,456,872.23) Equity, (File 333-185674 - Dec. 26) (BR. 01A) S-8 WELLPOINT, INC, 120 MONUMENT CIRCLE, INDIANAPOLIS, IN, 46204, 3174886000 - 0 ($53,365,583.00) Equity, (File 333-185675 - Dec. 26) (BR. 01A) S-1 TriLinc Global Impact Fund LLC, 1230 Rosecrans Ave, Suite 605, Manhattan Beach, CA, 90266, 310-997-0580 - 0 ($1,500,000,000.00) Other, (File 333-185676 - Dec. 26) (BR. 07) F-3 BLUEPHOENIX SOLUTIONS LTD, 8 MASKIT STREET, HERZLIA, L3, 46120, 972-9-952-6110 - 4,036,369 ($16,952,750.00) Equity, (File 333-185681 - Dec. 26) (BR. 03C) S-4 As Seen On TV, Inc., 14044 ICOT BLVD., CLEARWATER, FL, 33760, 727-288-2738 - 19,077,252 ($13,163,304.00) Equity, (File 333-185688 - Dec. 26) (BR. 05B) S-1 Arno Therapeutics, Inc, 200 ROUTE 31 NORTH, SUITE 104, FLEMINGTON, NJ, 08822, (862) 703-7175 - 208,815,953 ($104,407,976.50) Equity, (File 333-185690 - Dec. 26) (BR. 01A) S-8 MOTORCAR PARTS AMERICA INC, 2929 CALIFORNIA STREET, TORRANCE, CA, 90503, 3109724015 - 0 ($4,867,500.00) Equity, (File 333-185691 - Dec. 26) (BR. 10B) S-8 DNA BRANDS INC, 506 NW 77TH STREET, BOCA RATON, FL, 33487, 954-978-8401 - 3,000,000 ($270,000.00) Equity, (File 333-185692 - Dec. 26) (BR. 11A) S-8 LEAP WIRELESS INTERNATIONAL INC, 5887 COPLEY DRIVE, SAN DIEGO, CA, 92111, 8588826000 - 0 ($2,568,000.00) Equity, (File 333-185693 - Dec. 26) (BR. 11C) S-1 Wally World Media, Inc, 157 BROAD STREET, SUITE 109D, RED BANK, NJ, 07701, 732-741-2840 - 0 ($548,000.00) Equity, (File 333-185694 - Dec. 26) (BR. ) S-1 FRONTIER FUND, 1775 SHERMAN STREET, SUITE 2500, DENVER, CO, 80203, 303-837-0600 - 0 ($1.00) Debt, (File 333-185695 - Dec. 26) (BR. 08B) 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
-----------------------------------------------------------------------------------------
1ST CONSTITUTION BANCORP NJ 8.01,9.01 12/24/12
AARON'S INC GA 1.01,2.03,9.01 12/19/12
Acadia Healthcare Company, Inc. DE 8.01,9.01 12/24/12
ACCESS MIDSTREAM PARTNERS LP DE 1.01,2.01,3.02,5.03, 12/19/12
9.01
Affinity Gaming NV 5.02 12/20/12
Altisource Portfolio Solutions S.A. N4 8.01,9.01 12/24/12
Amarantus BioSciences, Inc. DE 1.01,9.01 12/19/12
American Strategic Minerals Corp NV 2.01,3.02,5.02,9.01 11/14/12 AMEND
AMERIGROUP CORP 2.01,3.01,3.03,5.01, 12/24/12
5.02,5.03,9.01
AMPAL-AMERICAN ISRAEL CORP NY 7.01,9.01 12/26/12
Arista Power, Inc. NY 1.01,2.03,3.02 12/21/12
ARKANSAS BEST CORP /DE/ DE 7.01,9.01 12/21/12
ARROW FINANCIAL CORP NY 5.02 12/19/12
ASHFORD HOSPITALITY TRUST INC MD 5.02,7.01,9.01 12/21/12
ASPEN GROUP, INC. DE 1.01,3.02,5.02,9.01 12/17/12
Atlas Energy, L.P. DE 2.01,9.01 12/20/12
ATLAS PIPELINE PARTNERS LP DE 1.01,2.01,2.03,9.01 12/20/12
Atlas Resource Partners, L.P. DE 1.01,2.01,2.03,9.01 12/20/12
ATP OIL & GAS CORP TX 7.01,9.01 12/20/12
Avantair, Inc DE 8.01 12/26/12
BANK OF KENTUCKY FINANCIAL CORP KY 8.01,9.01 12/24/12
BEHRINGER HARVARD SHORT TERM OPPORTUN TX 1.01,2.03 12/20/12
Bullfrog Gold Corp. DE 5.02 12/21/12
CalAmp Corp. DE 1.01,9.01 12/20/12
CALPINE CORP DE 5.01,9.01 12/26/12
CAPSTONE TURBINE Corp DE 3.01 12/21/12
CardioGenics Holdings Inc. NV 4.01,9.01 12/18/12
CATHAY GENERAL BANCORP DE 5.02,9.01 12/20/12
CBRE GROUP, INC. DE 1.01,5.02,9.01 12/21/12
CEL SCI CORP CO 5.02 12/18/12
Cellceutix CORP NV 3.02,9.01 12/19/12
Chart Acquisition Corp. DE 8.01 12/19/12
CHEROKEE INC DE 4.01,9.01 12/19/12
CHINA PHARMA HOLDINGS, INC. DE 5.07 12/21/12
CHINDEX INTERNATIONAL INC DE 5.03,9.01 12/19/12
Clean Coal Technologies Inc. NV 1.02 12/18/12
COMMUNITY FINANCIAL SHARES INC DE 3.02,5.03,9.01 12/21/12
CorEnergy Infrastructure Trust, Inc. 7.01,9.01 12/24/12
CorMedix Inc. DE 5.02,9.01 12/18/12
CPI CORP DE 1.01,9.01 12/26/12
CROWN DYNAMICS CORP DE 5.02 12/26/12
CTS CORP IN 1.01,2.01,8.01,9.01 12/21/12
CVS CAREMARK CORP DE 8.01,9.01 12/24/12
DCP Holding CO OH 1.01,1.02 12/21/12
DecisionPoint Systems, Inc. DE 1.01,3.02,3.03,5.03, 12/20/12
9.01
DENBURY RESOURCES INC DE 1.01,2.01,9.01 11/30/12 AMEND
DIAMOND HILL INVESTMENT GROUP INC OH 8.01,9.01 12/21/12
Diligent Board Member Services, Inc. DE 7.01,8.01,9.01 12/24/12
DIODES INC /DEL/ DE 1.01,7.01,9.01 12/26/12
Diversified Resources Inc. 4.01,8.01,9.01 12/13/12 AMEND
Duke Energy CORP DE 7.01 12/26/12
EMERSON RADIO CORP DE 8.01,9.01 12/26/12
ENVIRONMENTAL TECTONICS CORP PA 1.01,2.03,9.01 12/19/12
EVERFLOW EASTERN PARTNERS LP DE 1.01,2.01,9.01 12/18/12
EVERTEC Group, LLC PR 5.02,8.01 12/18/12
EWaste Systems, Inc. NV 5.02,9.01 12/21/12
EXA CORP MA 7.01 12/25/12
FARMERS CAPITAL BANK CORP KY 5.02,9.01 12/10/12 AMEND
Federal Home Loan Bank of Chicago X1 2.03 12/19/12
Federal Home Loan Bank of Dallas 5.02 12/20/12 AMEND
Federal Home Loan Bank of New York X1 2.03,9.01 12/19/12
Federal Home Loan Bank of New York X1 5.02 12/10/12 AMEND
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/19/12
Federal Home Loan Bank of San Francis X1 2.03 12/19/12
Federal Home Loan Bank of Seattle 2.03 12/21/12
Federal Home Loan Bank of Topeka 2.03,9.01 12/19/12
FIRST BANCORP /NC/ NC 1.01,3.02,3.03,5.03, 12/21/12
7.01,9.01
FIRSTCITY FINANCIAL CORP DE 1.01,5.02,9.01 12/20/12
FLAGSTAR BANCORP INC MI 5.02,7.01,9.01 12/18/12
Flux Technologies, Corp. NV 1.01,2.01,3.02,5.01, 12/18/12
5.02,5.03,9.01
FNB CORP/FL/ FL 5.02,9.01 12/19/12
Fortress Investment Group LLC DE 1.01,5.02,9.01 12/21/12
FRANKLIN WIRELESS CORP NV 4.01,9.01 12/18/12
FREDERICK'S OF HOLLYWOOD GROUP INC /N NY 1.01,5.02,9.01 12/21/12
FUELCELL ENERGY INC DE 1.01,2.01,2.02,9.01 12/20/12
GDT TEK, Inc. 8.01 12/17/12
GEOGLOBAL RESOURCES INC. DE 5.02,5.07 12/19/12
Global Ecology Corp NV 8.01 12/22/12
GRAFTECH INTERNATIONAL LTD DE 8.01 11/27/12
Grand Canyon Education, Inc. DE 1.01,2.03 12/21/12
GREATBATCH, INC. DE 2.04,9.01 12/24/12
GreenHaven Continuous Commodity Index DE 8.01 12/26/12
GTJ REIT, Inc. MD 1.01,9.01 12/26/12
Guanwei Recycling Corp. NV 3.01 12/19/12
GULFPORT ENERGY CORP DE 1.01,2.03,3.03,7.01, 12/18/12
8.01,9.01
HARBINGER GROUP INC. DE 1.01,2.03,8.01,9.01 12/24/12
HEADWATERS INC DE 8.01,9.01 12/18/12
HEALTHCARE TRUST OF AMERICA, INC. MD 5.02 12/24/12
HOME LOAN SERVICING SOLUTIONS, LTD. E9 8.01,9.01 12/24/12
HOPFED BANCORP INC DE 5.02 12/21/12
Horsehead Holding Corp 7.01,9.01 12/26/12
Horsehead Holding Corp 1.01,2.03,9.01 12/21/12
IDENIX PHARMACEUTICALS INC DE 5.02 12/19/12
INFINITY PHARMACEUTICALS, INC. DE 1.01,8.01,9.01 12/24/12
InfuSystem Holdings, Inc DE 5.02 12/19/12
InspireMD, Inc. DE 3.03,9.01 12/21/12
INTER PARFUMS INC DE 8.01 12/26/12
INTERLEUKIN GENETICS INC DE 5.02 12/21/12
INTEVAC INC CA 5.02,9.01 12/19/12
ITC Holdings Corp. MI 5.02,9.01 12/19/12
Jive Software, Inc. DE 5.02 12/19/12
JTH Holding, Inc. DE 1.01,9.01 12/19/12
KBS Real Estate Investment Trust III, MD 2.01,9.01 12/21/12
Kips Bay Medical, Inc. DE 8.01,9.01 12/21/12
Lehigh Gas Partners LP DE 1.01,2.01,2.03,7.01, 12/21/12
9.01
LEXINGTON REALTY TRUST MD 5.02,9.01 12/21/12
LIBERATOR MEDICAL HOLDINGS, INC. NV 2.02,9.01 12/24/12
Lightyear Network Solutions, Inc. NV 1.01,2.03,9.01 12/19/12
LNB BANCORP INC OH 8.01,9.01 12/24/12
LOJACK CORP MA 1.01 12/26/12
LPL Financial Holdings Inc. DE 5.02,9.01 12/20/12
MAGICJACK VOCALTEC LTD L3 8.01 12/26/12
Maiden Holdings, Ltd. D0 8.01 12/24/12
MARKWEST ENERGY PARTNERS L P 1.01,2.03,9.01 12/20/12
MBIA INC CT 5.02 12/21/12
MCKESSON CORP DE 1.01,2.03,7.01,9.01 12/26/12
MEDALLION FINANCIAL CORP DE 5.02 12/18/12
MEDIFAST INC DE 5.02 12/19/12
MET PRO CORP PA 8.01 12/20/12
MetaStat, Inc. NV 5.02 12/21/12
METROPOLITAN HEALTH NETWORKS INC FL 1.02,2.01,3.01,3.03, 12/21/12
5.01,5.03,9.01
MISSION WEST PROPERTIES INC CA 1.01,5.02,8.01 12/18/12
MOBILE MINI INC DE 5.02 12/26/12
Mondelez International, Inc. VA 5.02,9.01 12/19/12
MOOG INC NY 8.01 12/26/12
MULTIBAND CORP MN 1.01,9.01 12/18/12
MURPHY OIL CORP /DE DE 8.01,9.01 12/26/12
MVB FINANCIAL CORP WV 2.01,3.02,5.02,8.01, 12/26/12
9.01
NATIONAL FUEL GAS CO NJ 5.02 12/19/12
NATIONAL HEALTH INVESTORS INC MD 2.01,9.01 12/24/12
NATIONAL HEALTH INVESTORS INC MD 2.01,9.01 12/26/12
NATIONAL TAX CREDIT INVESTORS II CA 5.02,7.01 12/19/12
NATIONAL TAX CREDIT PARTNERS L P CA 5.02,7.01 12/19/12
NEW ENERGY TECHNOLOGIES, INC. 7.01,9.01 12/21/12
NEWS CORP 8.01,9.01 12/24/12
NF Energy Saving Corp DE 5.07 12/20/12 AMEND
NICHOLAS FINANCIAL INC FL 8.01,9.01 12/21/12
NII HOLDINGS INC DE 5.02,9.01 12/21/12
OCTAGON 88 RESOURCES, INC. NV 2.01,3.02,5.01 10/15/12
Omni Ventures, Inc. 1.01,5.01,5.02,9.01 12/13/12
Onteco Corp NV 5.02,9.01 12/18/12
PACKAGING CORP OF AMERICA 5.07 05/10/11 AMEND
PARKWAY PROPERTIES INC MD 5.02 12/19/12
PATHFINDER BANCORP INC DE 8.01 12/26/12
PEABODY ENERGY CORP DE 5.02,9.01 10/23/12 AMEND
Phillips Edison - ARC Shopping Center MD 2.03,9.01 12/26/12
PINNACLE WEST CAPITAL CORP AZ 5.02 12/18/12
PLURISTEM THERAPEUTICS INC NV 1.01,9.01 12/26/12
PROSPECT GLOBAL RESOURCES INC. NV 1.01,9.01 12/21/12
PSS WORLD MEDICAL INC FL 8.01,9.01 12/26/12
PURE BIOSCIENCE, INC. DE 3.01 12/20/12
QLT INC/BC A1 8.01,9.01 12/24/12
RADIO ONE, INC. DE 5.02 12/19/12
Raptor Pharmaceutical Corp DE 1.01,2.03,8.01,9.01 12/26/12
REAL ESTATE ASSOCIATES LTD II CA 5.02,7.01 12/19/12
REAL ESTATE ASSOCIATES LTD III CA 5.02,7.01 12/19/12
REAL ESTATE ASSOCIATES LTD IV CA 5.02,7.01 12/19/12
REAL ESTATE ASSOCIATES LTD VI CA 5.02,7.01 12/19/12
REAL ESTATE ASSOCIATES LTD VII CA 5.02,7.01 12/19/12
REAL ESTATE ASSOCIATES LTD/CA CA 5.02,7.01 12/19/12
RENASANT CORP MS 5.02,5.03,9.01 12/18/12
Resolute Energy Corp DE 1.01,2.01,9.01 12/21/12
RICHFIELD OIL & GAS Co NV 1.01,3.02,9.01 12/19/12
ROBBINS & MYERS, INC. OH 2.02,8.01,9.01 12/22/12
SABA SOFTWARE INC DE 1.01,3.01,7.01,9.01 12/21/12
SBA COMMUNICATIONS CORP FL 7.01,8.01,9.01 12/26/12
SCIENTIFIC GAMES CORP DE 5.02,9.01 12/20/12
SEQUENTIAL BRANDS GROUP, INC. DE 1.01,3.02,7.01,8.01, 12/20/12
9.01
SHAW GROUP INC LA 5.07 12/21/12
SPECTRUM PHARMACEUTICALS INC DE 5.02 12/19/12
Sputnik Enterprises, Inc NV 1.01,9.01 12/24/12
STATER BROS HOLDINGS INC DE 2.02,9.01 12/18/12
STEINWAY MUSICAL INSTRUMENTS INC DE 5.02,8.01,9.01 12/20/12
STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 12/20/12
SUFFOLK BANCORP NY 5.02 12/19/12
SUPREME INDUSTRIES INC DE 1.01,1.02,2.03 12/19/12
SWK Holdings Corp DE 1.01 12/24/12
SWORDFISH FINANCIAL, INC. MN 5.02,9.01 12/21/12
TagLikeMe Corp. NV 5.03,9.01 12/20/12
Tanke Biosciences Corp NV 4.01,9.01 12/20/12
TELVUE CORP DE 8.01,9.01 12/21/12
TEREX CORP DE 1.02,9.01 12/26/12
TESSCO TECHNOLOGIES INC DE 1.01,9.01 12/21/12
TESSERA TECHNOLOGIES INC DE 8.01,9.01 12/21/12
TITANIUM METALS CORP DE 2.01,5.01,5.02 12/20/12
TOTAL SYSTEM SERVICES INC GA 8.01,9.01 12/26/12
TPC Group Inc. DE 1.01,1.02,2.01,2.03, 12/20/12
3.01,3.03,5.01,5.02,
9.01
TPC Group Inc. DE 5.03,9.01 12/20/12
Transcept Pharmaceuticals Inc DE 8.01 12/20/12
Tropicana Las Vegas Hotel & Casino, I DE 2.03,3.02,9.01 12/21/12
TRUMP ENTERTAINMENT RESORTS, INC. DE 8.01 12/20/12
TSIC, Inc. DE 7.01,9.01 12/20/12
United American Petroleum Corp. NV 3.02,3.03,5.01,9.01 12/26/12
Universal Business Payment Solutions DE 1.01,3.01,8.01,9.01 12/20/12
Universal Business Payment Solutions DE 8.01 12/26/12
Universal Truckload Services, Inc. MI 5.02,5.03,9.01 12/20/12
US GEOTHERMAL INC DE 8.01,9.01 12/26/12
USANA HEALTH SCIENCES INC UT 5.02,9.01 12/26/12
Valley High Mining CO NV 5.06 12/24/12
Vanda Pharmaceuticals Inc. DE 5.02 12/19/12
Vanguard Natural Resources, LLC DE 1.02,7.01,9.01 12/26/12
Viggle Inc. DE 5.02 12/21/12
Volcano Corp DE 1.01 12/19/12
VRDT Corp DE 1.01,2.01,3.02,5.06, 08/31/12 AMEND
7.01,9.01
VRDT Corp DE 1.01,2.01,3.02,5.06, 08/31/12 AMEND
7.01,9.01
WARREN RESOURCES INC MD 5.02,9.01 12/19/12
WELLPOINT, INC IN 8.01,9.01 12/24/12
WELLS FARGO & COMPANY/MN DE 9.01 12/26/12
WELLS FARGO & COMPANY/MN DE 9.01 12/26/12
World Moto, Inc. NV 1.01,3.02,5.02,7.01, 12/26/12
9.01
http://www.sec.gov/news/digest/2012/dig122712.htm
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