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Commission AnnouncementsTemporary Suspension of Trading in the Securities of AlphaTrade.comThe Securities and Exchange Commission (Commission) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the "Exchange Act"), of trading in the securities of AlphaTrade.com of Las Vegas, Nevada at 9:30 a.m. EST on January 18, 2013, and terminating at 11:59 p.m. EST on February 1, 2013. The Commission temporarily suspended trading in the securities of AlphaTrade.com due to a lack of current and accurate information about the company because it has not filed any periodic reports since the period ended September 30, 2010. 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 the company. Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to AlphaTrade.com’s securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. 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 Scott W. Friestad, Associate Director of the Division of Enforcement, at (202) 551-4962. (Rel. 34-68687) Enforcement proceedingsIn the Matter of Linda Dianne AlexanderOn January 17, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) And Notice of Hearing (Order) against Linda Dianne Alexander (Alexander). In the Order the Division of Enforcement alleges that the Commission’s complaint, filed in the United States District Court for the Northern District of Georgia, alleges that, since at least 2004 Alexander had been conducting a Prime Bank-type investment fraud involving the offer and sale of over $15 million of securities in an unregistered offering to more than 220 investors and prospective investors in Georgia and at least 20 other states. Securities and Exchange Commission v. McClintock, et al., Civil Action Number 1:12-CV-4028-SCJ (N.D. Ga. Nov. 19, 2012). The securities were in the form of investments in a purportedly highly clandestine Trust based in Europe that purportedly had the power to create money through fractional banking and bank debentures. Investors allegedly loaned money to the Trust in exchange for 38% annual interest and were told they must follow the Trust’s strict rules of secrecy to participate in the investment. The complaint also alleges that Alexander knowingly or recklessly made material misrepresentations and omissions of fact to investors and prospective investors concerning, among other things, the expected returns, the use of investor funds, and investment risks, and engaged in conduct which operated as a fraud and deceit on investors. The Commission filed a civil injunctive action based on violations of the registration and anti-fraud provisions and, on December 6, 2012, an Order of Permanent Injunction was entered by consent against Alexander, permanently enjoining her from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Exchange Act and Rule 10b-5 thereunder and Section 15(a) of the Exchange Act. Based on the above, the Order states that a public hearing shall be convened to determine whether the Commission’s allegations are true and, if so, what, if any, remedial action is appropriate. (Rel. 34-68685; File No. 3-15179) In the Matter of The Hartcourt Companies, Inc.An Administrative Law Judge issued an Order Making Findings and Revoking Registrations of Respondents Except for Hellenic Solutions Corp. (Hellenic Solutions) and HIV-VAC, Inc. (n/k/a Grupo International, Inc.) (HIV-VAC), by Default (Default Order) in The Hartcourt Companies, Inc., Admin. Proc. File No. 3-15128. The Default Order found that defaulted Respondents - The Hartcourt Companies, Inc., Hawksdale Financial Visions, Inc. (n/k/a Advanced Medical Institute, Inc.), Healthcare Providers Direct, Inc., and Heartland Oil and Gas Corp., - were issuers of securities registered pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act), that failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Securities and Exchange Commission. Based on these factual findings, the Default Order found that revocation of the registration of each class of each defaulted Respondent’s registered securities was both necessary and appropriate for the protection of investors. The Default Order requires the Division of Enforcement (Division) to inform the Administrative Law Judge if it is able to show that Hellenic Solutions has been served with the OIP or, alternatively, how it intends to proceed; and that HIV-VAC and the Division inform the Administrative Law Judge whether or not they agree that HIV-VAC’s Form 15 should be allowed to take effect. (Rel. 34-68686; File No. 3-15128) Default Order In the Matter of AlphaTrade.comOn January 18, 2013, the Commission issued an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of AlphaTrade.com for failure to make required periodic filings with the Commission. In this Order, the Division of Enforcement (Division) alleges that AlphaTrade.com is delinquent in its 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 AlphaTrade.com 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 AlphaTrade.com 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. 34-68688; File No. 3-15180) INVESTMENT COMPANY ACT RELEASESNexbank Securities, Inc., Pyxis Capital, L.P. and Pyxis Funds IIAn order has been issued on an application filed by Nexbank Securities, Inc., Pyxis Capital, L.P. and Pyxis Funds II. The order permits: (a) series of certain actively managed 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 after 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-30352 - January 16) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by National Stock Exchange, Inc. to provide for the payment of exchange fees through an integrated billing process (SR-NSX-2013-01) 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 21. (Rel. 34-68684) Proposed Rule ChangeNew York Stock Exchange LLC has filed a proposed rule change (SR-NYSE-2013-02) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to adopting investigation, disciplinary, sanction, and other procedural rules that are modeled on the rules of the Financial Industry Regulatory Authority and to make certain conforming and technical changes. Publication is expected in the Federal Register during the week of January 21. (Rel. 34-68678) Approval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change, as modified by Amendment No. 1, (SR-NSX-2012-15), submitted by National Stock Exchange, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, to amend the listing rules for compensation committees to comply with Securities Exchange Act Rule 10C-1. Publication is expected in the Federal Register during the week of January 21. (Rel. 34-68662) 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-8 PACIFIC BIOSCIENCES OF CALIFORNIA INC, 1380 WILLOW ROAD, MENLO PARK, CA, 94025, 650-521-8000 - 4,493,571 ($11,076,652.42) Equity, (File 333-186065 - Jan. 17) (BR. 10B) S-3 NEOGENOMICS INC, 1726 MEDICAL BOULEVARD, SUITE 201, SUITE 201, NAPLES, FL, 34108, 9419231949 - 300,000 ($25,804,000.00) Unallocated (Universal) Shelf, (File 333-186067 - Jan. 17) (BR. 09A) S-1 Twentyfour/seven Ventures, Inc., 132 W. 11TH AVENUE, DENVER, CO, 80204, 720-266-6996 - 1,900,000 ($28,500.00) Equity, (File 333-186068 - Jan. 17) (BR. 03) S-1 Lollipop Corp, 15500 SW JAY STREET, #81704, BEAVERTON, OR, 97006-6018, 855-222-1114 - 400,000 ($100,000.00) Equity, (File 333-186069 - Jan. 17) (BR. 02) S-3 MEI Pharma, Inc., 11975 EL CAMINO REAL, SUITE 101, SAN DIEGO, CA, 92130, 858-792-6300 - 0 ($108,098,055.00) Equity, (File 333-186070 - Jan. 17) (BR. 01B) S-8 LTX-CREDENCE CORP, 825 UNIVERSITY AVENUE, NORWOOD, MA, 02062, 7814611000 - 0 ($5,072,000.00) Equity, (File 333-186072 - Jan. 17) (BR. 10B) S-11 Griffin-American Healthcare REIT III, Inc., 4000 MACARTHUR BOULEVARD, WEST TOWER, SUITE 200, NEWPORT BEACH, CA, 92660, 949-270-9200 - 120,000,000 ($1,300,000,000.00) Equity, (File 333-186073 - Jan. 17) (BR. ) S-8 United Community Bancorp, 92 WALNUT STREET, LAWRENCEBURG, IN, 47025, 812-537-4822 - 0 ($4,941,489.00) Equity, (File 333-186074 - Jan. 17) (BR. 07) S-8 United Community Bancorp, 92 WALNUT STREET, LAWRENCEBURG, IN, 47025, 812-537-4822 - 0 ($3,586,790.00) Equity, (File 333-186075 - Jan. 17) (BR. 07) S-3 RED MOUNTAIN RESOURCES, INC., 2515 MCKINNEY AVENUE, SUITE 900, DALLAS, TX, 75201, 214-871-0400 - 0 ($150,000,000.00) Equity, (File 333-186076 - Jan. 17) (BR. 04B) S-8 Ampio Pharmaceuticals, Inc., 5445 DTC PARKWAY, SUITE 925, GREENWOOD VILLAGE, CO, 80111, 720-437-6500 - 0 ($10,800,000.00) Equity, (File 333-186077 - Jan. 17) (BR. 01B) S-1 AXIOM CORP., PO BOX 49000-00100, NAIROBI, M3, 0000000000, 254-736-521-567 - 26,433,333 ($39,650.00) Equity, (File 333-186078 - Jan. 17) (BR. ) S-1 GELIA GROUP, CORP., 2360 CORPORATE CIRCLE STE 400, HENDERSON, NV, 89074-7722, 7026054165 - 4,000,000 ($80,000.00) Equity, (File 333-186079 - Jan. 17) (BR. ) 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
-----------------------------------------------------------------------------------------
22nd Century Group, Inc. NV 1.01,3.02,3.03,5.03, 01/11/13
9.01
3D SYSTEMS CORP DE 7.01,9.01 01/17/13
ACTUANT CORP WI 5.02,5.07,9.01 01/15/13
ADVANCED CELL TECHNOLOGY, INC. DE 1.01,2.03,3.02,8.01, 01/11/13
9.01
AEMETIS, INC NV 8.01 01/17/13
AFS SenSub Corp. 1.01,8.01,9.01 01/15/13
AGILYSYS INC OH 2.02,7.01,8.01,9.01 01/17/13
AGL RESOURCES INC GA 2.02,9.01 01/17/13 AMEND
Aircastle LTD D0 8.01 01/17/13
AIRWARE LABS CORP. DE 5.02 01/17/13
AKORN INC LA 2.02,7.01,9.01 01/17/13
ALL AMERICAN PET COMPANY, INC. NV 8.01,9.01 01/11/13
ALLERGAN INC DE 5.02 01/16/13
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 01/17/13
Allied Nevada Gold Corp. DE 7.01,9.01 01/16/13
ALTERNET SYSTEMS INC NV 1.01 01/17/13
ALTERNET SYSTEMS INC NV 1.01 01/17/13
AMERICAN EXPRESS CO NY 2.02,7.01 01/17/13
American Railcar Industries, Inc. ND 1.01 01/11/13
AMERICANWEST BANCORPORATION WA 7.01,9.01 01/15/13
Amerilithium Corp. 4.01,9.01 01/07/13
AMERISOURCEBERGEN CORP DE 1.01,9.01 01/16/13
Amincor, Inc. NV 8.01,9.01 01/17/13
AMPHENOL CORP /DE/ DE 2.02,8.01,9.01 01/17/13
AmpliTech Group, Inc. NV 1.01,2.01,3.02,5.01, 08/13/12
5.02,5.06,9.01
Angie's List, Inc. DE 5.02,9.01 01/17/13
APOLLO GROUP INC AZ 5.02 01/17/13
AQUALIV TECHNOLOGIES, INC. NV 1.02,9.01 01/11/13
ARBOR REALTY TRUST INC MD 8.01 01/16/13
ARRIS GROUP INC DE 3.02,9.01 01/11/13
ASSOCIATED BANC-CORP WI 2.02,9.01 01/17/13
AT&T INC. DE 8.01 01/17/13
Atlas Resource Partners, L.P. DE 1.01,9.01 01/16/13
AUTHENTIDATE HOLDING CORP DE 1.01,5.02,9.01 01/15/13
Auto Home Lock, Inc. NV 8.01 01/17/13
AVEO PHARMACEUTICALS INC DE 1.01,8.01,9.01 01/17/13
BANK OF AMERICA CORP /DE/ DE 2.02,7.01,9.01 01/17/13
BANK OF KENTUCKY FINANCIAL CORP KY 2.02,9.01 01/17/13
BANK OF THE OZARKS INC AR 2.02,7.01,9.01 01/16/13
BB&T CORP NC 2.02,9.01 01/17/13
BBCN BANCORP INC DE 1.01,5.02,9.01 01/14/13
Berkshire Homes, Inc. NV 5.03,5.07,9.01 01/11/13
BION ENVIRONMENTAL TECHNOLOGIES INC CO 7.01,9.01 01/16/13
BlackRock Inc. DE 2.02,9.01 01/17/13
BODY CENTRAL CORP 2.02,9.01 01/15/13
BOEING CO DE 8.01,9.01 01/16/13
BPZ RESOURCES, INC. TX 1.01,2.03,7.01 01/14/13
BRUNSWICK CORP DE 7.01 01/17/13
Calpian, Inc. TX 7.01,9.01 01/17/13
Capital Auto Receivables Asset Trust 1.01,8.01,9.01 01/15/13
CAPITAL ONE FINANCIAL CORP DE 2.02,7.01,8.01,9.01 01/17/13
CARDINAL FINANCIAL CORP VA 2.02,8.01,9.01 01/16/13
Cardium Therapeutics, Inc. DE 8.01,9.01 01/16/13
Care Investment Trust Inc. MD 5.02,9.01 01/16/13
CASTLE A M & CO MD 7.01,9.01 01/16/13
Cellteck Inc. NV 1.01,2.03,3.02,5.03, 11/21/12
9.01
Cellteck Inc. NV 1.01,9.01 10/12/12 AMEND
CENTERLINE HOLDING CO DE 1.01,9.01 01/11/13
CENTRAL FEDERAL CORP DE 8.01,9.01 01/17/13
CERUS CORP DE 5.02,9.01 01/15/13
China Armco Metals, Inc. NV 1.01,9.01 01/11/13
CHINA EDUCATION ALLIANCE INC. NC 5.05,8.01,9.01 01/13/13
CHINA SHEN ZHOU MINING & RESOURCES, I NV 8.01,9.01 01/11/13
CION Investment Corp MD 8.01,9.01 01/16/13
CITIGROUP INC DE 2.02,9.01 01/17/13
CITIGROUP INC DE 9.01 01/17/13
CITIZENS FIRST CORP KY 2.02,7.01,9.01 01/17/13
CLARCOR INC. DE 2.02,9.01 01/16/13
CLAYTON WILLIAMS ENERGY INC /DE DE 7.01,9.01 01/17/13
Cleantech Solutions International, In DE 7.01,9.01 01/07/13
COBIZ FINANCIAL INC CO 8.01 01/17/13
COMMAND SECURITY CORP NY 5.02,9.01 01/11/13
COMMUNITY FIRST INC TN 5.02 01/15/13
Corporate Resource Services, Inc. DE 2.02,9.01 01/17/13
CROWN HOLDINGS INC PA 1.01,2.03,9.01 01/15/13
CVB FINANCIAL CORP CA 2.02,9.01 01/16/13
Cyclacel Pharmaceuticals, Inc. DE 8.01 01/11/13
Digital Cinema Destinations Corp. DE 7.01,9.01 01/17/13
Digital Development Partners, Inc. NV 4.01 01/11/13
Digital Generation, Inc. DE 1.01,9.01 01/16/13
DYNEGY INC. DE 7.01,9.01 01/17/13
E TRADE FINANCIAL Corp DE 5.02 01/17/13
ECOLOGY & ENVIRONMENT INC NY 5.07 01/17/13
ECOTALITY, INC. NV 5.02 01/11/13
eLayaway, Inc. DE 4.01,9.01 01/16/13
ELEPHANT TALK COMMUNICATIONS CORP DE 2.02,7.01,9.01 01/17/13
EMISPHERE TECHNOLOGIES INC DE 1.01,5.02,9.01 01/14/13
ENCISION INC CO 5.02 01/16/13
EOG RESOURCES INC DE 7.01 01/17/13
Express Scripts Holding Co. DE 7.01,9.01 01/17/13
FASTENAL CO MN 2.02,9.01 01/17/13
Federal Home Loan Bank of Atlanta X1 2.03 01/14/13
Federal Home Loan Bank of Boston X1 2.03 01/14/13
Federal Home Loan Bank of Chicago X1 2.03 01/14/13
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 01/14/13
Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/15/13
Federal Home Loan Bank of New York X1 2.03,9.01 01/14/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 01/14/13
Federal Home Loan Bank of San Francis X1 2.03 01/14/13
Federal Home Loan Bank of Topeka 2.03,9.01 01/14/13
Fifth Street Finance Corp DE 8.01,9.01 01/17/13
Fifth Street Finance Corp DE 5.02 01/14/13
FIFTH THIRD BANCORP OH 2.02,7.01,9.01 01/17/13
FINISH LINE INC /IN/ IN 8.01,9.01 01/16/13
FIRST COMMUNITY CORP /SC/ SC 2.02,8.01,9.01 01/16/13
First Financial Northwest, Inc. WA 1.01,9.01 01/16/13
First Guaranty Bancshares, Inc. LA 5.02 01/17/13
FLEXIBLE SOLUTIONS INTERNATIONAL INC NV 2.02 01/15/13
FORD CREDIT FLOORPLAN MASTER OWNER TR DE 1.01,8.01,9.01 01/15/13
FORUM ENERGY TECHNOLOGIES, INC. DE 2.02,9.01 01/16/13
FREEPORT MCMORAN COPPER & GOLD INC DE 5.03,9.01 01/10/13
FULLER H B CO MN 2.02,9.01 01/16/13
FULTON FINANCIAL CORP PA 5.02 01/17/13
GASCO ENERGY INC NV 7.01,9.01 01/16/13
GASCO ENERGY INC NV 3.01,7.01,9.01 01/11/13
GENERAL EMPLOYMENT ENTERPRISES INC IL 1.01,2.02,9.01 01/14/13
GENERAL STEEL HOLDINGS INC NV 4.01 12/19/12 AMEND
Genesis Biopharma, Inc NV 5.02 01/14/13
GEOKINETICS INC DE 1.01,9.01 01/15/13
GEORGIA GULF CORP /DE/ DE 8.01,9.01 01/17/13
GEORGIA GULF CORP /DE/ DE 8.01,9.01 01/17/13
GeoVax Labs, Inc. DE 1.01,3.03,9.01 01/17/13
Global Eagle Acquisition Corp. DE 8.01,9.01 01/17/13
GLOBAL PAYMENTS INC GA 8.01 01/17/13
Global Vision Holdings, Inc. NV 5.03,9.01 01/08/13
GLOWPOINT, INC. DE 5.02,9.01 01/13/13
Greektown Superholdings, Inc. DE 8.01,9.01 01/16/13
Griffin Capital Net Lease REIT, Inc. 7.01,9.01 01/17/13
HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 01/17/13
HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 01/17/13
HENNESSY ADVISORS INC 2.02,7.01,9.01 01/17/13
HERTZ CORP DE 8.01,9.01 01/17/13
HERTZ GLOBAL HOLDINGS INC 8.01,9.01 01/17/13
Hi-Crush Partners LP de 7.01,9.01 01/17/13
HOME BANCSHARES INC 2.02,7.01,9.01 01/17/13
Homeowners Choice, Inc. FL 1.01,2.03,8.01,9.01 01/17/13
Homeowners Choice, Inc. FL 1.01,9.01 01/10/13 AMEND
HomeTrust Bancshares, Inc. MD 7.01,9.01 01/17/13
HOOKER FURNITURE CORP VA 5.02,9.01 01/15/13
HOPFED BANCORP INC DE 5.02,8.01,9.01 01/16/13
Hudson Pacific Properties, Inc. MD 9.01 01/17/13
HUNTINGTON BANCSHARES INC/MD MD 2.02,9.01 01/17/13
IGATE CORP PA 2.02,9.01 01/17/13
INFINERA CORP DE 2.02,5.02,9.01 01/14/13
INLAND REAL ESTATE CORP MD 2.04 01/11/13
INSTEEL INDUSTRIES INC NC 2.02,9.01 01/17/13
INTEL CORP DE 2.02 01/17/13
Internet Patents Corp 8.01 01/15/13
Intrepid Potash, Inc. DE 2.02,7.01,9.01 01/17/13
JBI, INC. NV 1.01,3.02,5.03,9.01 01/11/13
K SWISS INC DE 1.01,5.02,7.01,8.01, 01/16/13
9.01
KBS Strategic Opportunity REIT, Inc. MD 2.01,9.01 01/04/13 AMEND
KINGOLD JEWELRY, INC. DE 1.01,2.03,8.01,9.01 11/28/12
KKR Financial Holdings LLC DE 3.03,5.03,9.01 01/17/13
KOPIN CORP DE 7.01,9.01 01/15/13
LA JOLLA PHARMACEUTICAL CO CA 8.01,9.01 01/17/13
LAS VEGAS RAILWAY EXPRESS, INC. DE 5.02 01/11/13
Liberty Media Corp DE 1.01,3.03,5.02,5.03, 01/11/13
8.01,9.01
LIGHTSTONE VALUE PLUS REAL ESTATE INV MD 8.01,9.01 01/16/13
LIQUIDITY SERVICES INC DE 2.02,7.01,9.01 01/16/13
Live Nation Entertainment, Inc. DE 1.01,9.01 01/11/13
LKQ CORP DE 5.02 01/13/13
LODGENET INTERACTIVE CORP DE 5.02,9.01 01/16/13
M&F BANCORP INC /NC/ NC 5.02 01/11/13
MAGELLAN PETROLEUM CORP /DE/ DE 1.01,5.02,5.07,8.01, 01/17/13
9.01
MAJESCO ENTERTAINMENT CO DE 5.02 01/11/13
MARKETAXESS HOLDINGS INC 1.01,2.03,9.01 01/14/13
McEwen Mining Inc. CO 7.01,9.01 01/17/13
MEDGENICS, INC. DE 8.01,9.01 01/17/13
MEDIFAST INC DE 7.01,9.01 01/16/13
MELA SCIENCES, INC. /NY 7.01,9.01 01/16/13
MENS WEARHOUSE INC TX 8.01,9.01 01/17/13
MERCHANTS BANCSHARES INC DE 8.01,9.01 01/17/13
MFRI INC DE 5.02 01/12/13
MICHAELS STORES INC DE 7.01,9.01 01/17/13
MICRON TECHNOLOGY INC DE 1.01,1.02,9.01 01/17/13
MMRGlobal, Inc. DE 7.01,9.01 01/14/13
ModusLink Global Solutions Inc DE 2.01,5.02,9.01 01/11/13
MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 01/17/13
MOSAIC CO 7.01,9.01 01/17/13
MOTORCAR PARTS AMERICA INC NY 1.01,2.03,9.01 01/16/13
Motorola Solutions, Inc. DE 5.02,5.03,9.01 01/17/13
MRV COMMUNICATIONS INC DE 1.01,9.01 01/16/13
MULTIBAND CORP MN 7.01 01/15/13
MusclePharm Corp NV 5.03,9.01 01/11/13
NASDAQ OMX GROUP, INC. DE 8.01,9.01 01/17/13
NAUTILUS, INC. WA 2.02,7.01,9.01 01/17/13
Net Element International, Inc. E9 1.01,2.03,8.01,9.01 01/14/13
NETSCOUT SYSTEMS INC DE 2.02,9.01 01/17/13
NEW DAY FINANCIAL MANAGEMENT, INC. NV 5.02 01/13/13
NEWS CORP 8.01,9.01 01/17/13
NOHO, Inc. WY 1.01,5.03,8.01,9.01 01/04/13
NU SKIN ENTERPRISES INC DE 2.02 01/16/13
NuStar Energy L.P. DE 1.01,9.01 01/14/13
OCWEN FINANCIAL CORP FL 7.01,9.01 01/17/13
ONYX PHARMACEUTICALS INC DE 8.01,9.01 01/15/13
PACIFIC FINANCIAL CORP WA 5.02,9.01 01/11/13
Pacira Pharmaceuticals, Inc. DE 8.01,9.01 01/17/13
PERNIX THERAPEUTICS HOLDINGS, INC. MD 3.01,8.01 01/16/13
PINNACLE FINANCIAL PARTNERS INC TN 5.02,9.01 01/11/13
PLC SYSTEMS INC B0 1.01,2.03,3.02,9.01 01/16/13
PNC FINANCIAL SERVICES GROUP, INC. PA 2.02,9.01 01/17/13
PNC FINANCIAL SERVICES GROUP, INC. PA 2.02,9.01 01/17/13
Poage Bankshares, Inc. MD 8.01,9.01 01/15/13
Poly Shield Technologies Inc. DE 1.01,2.01,9.01 01/12/13
Post Holdings, Inc. MO 1.01,1.02,3.03,9.01 01/16/13
RACKSPACE HOSTING, INC. 1.01,8.01 01/11/13
RAINMAKER SYSTEMS INC DE 5.02 01/17/13
RAYMOND JAMES FINANCIAL INC FL 8.01,9.01 01/17/13
REALTY INCOME CORP MD 5.07,8.01,9.01 01/16/13
REGAL ENTERTAINMENT GROUP DE 1.01,2.03,8.01,9.01 01/14/13
REPUBLIC BANCORP INC /KY/ KY 2.02,9.01 01/17/13
REPUBLIC BANCORP INC /KY/ KY 7.01,9.01 01/17/13
Rockwood Holdings, Inc. DE 7.01,9.01 01/17/13
ROOMLINX INC NV 5.02,8.01,9.01 01/11/13
Rosetta Resources Inc. DE 5.02 01/17/13
San Lotus Holding Inc NV 5.03,9.01 01/17/13
SCG Financial Acquisition Corp. DE 1.01,8.01,9.01 01/11/13
Scio Diamond Technology Corp NV 2.02,7.01,9.01 01/16/13
Select Income REIT MD 1.01,2.01,9.01 01/14/13
SEQUENOM INC DE 1.01 01/11/13
Shire plc 8.01,9.01 01/17/13
SM Energy Co DE 7.01,9.01 01/16/13
SOLAZYME INC DE 7.01,8.01,9.01 01/17/13
SONIC CORP DE 5.02,8.01,9.01 01/17/13
SONO TEK CORP NY 7.01,9.01 01/15/03
SONO TEK CORP NY 7.01,9.01 01/16/13
SOUTH DAKOTA SOYBEAN PROCESSORS LLC 5.03 01/15/13
SPEEDWAY MOTORSPORTS INC DE 1.01,2.03,9.01 01/11/13
Spirit Airlines, Inc. DE 7.01 01/17/13
STAGE STORES INC NV 8.01,9.01 01/16/13
STAR GAS PARTNERS LP DE 2.02,7.01,9.01 01/17/13
Starz DE 1.01,2.02,5.02,5.03, 01/11/13
8.01,9.01
Starz, LLC DE 1.01,8.01,9.01 01/11/13
STEWARDSHIP FINANCIAL CORP NJ 8.01,9.01 01/16/13
STRUCTURED PRODUCTS CORP TIERS PRI PR DE 8.01,9.01 01/15/13
STRYKER CORP MI 8.01,9.01 01/17/13
SUFFOLK BANCORP NY 5.02,9.01 01/17/13
SUPERNUS PHARMACEUTICALS INC DE 5.02,8.01,9.01 01/14/13
SYNERGY PHARMACEUTICALS, INC. DE 2.01,5.03,7.01,9.01 01/15/13
TILE SHOP HOLDINGS, INC. DE 7.01,9.01 01/17/13
TRANS1 INC 2.02,9.01 01/14/13
Transocean Ltd. V8 7.01,9.01 01/17/13
TRILLIANT EXPLORATION CORP NV 1.01,3.02,9.01 01/16/13
Trio Merger Corp. DE 7.01,9.01 01/17/13
Tropicana Entertainment Inc. DE 7.01 01/14/13
TTM TECHNOLOGIES INC WA 7.01,9.01 01/17/13
TURBINE TRUCK ENGINES INC NV 4.01 01/11/13
TURBINE TRUCK ENGINES INC NV 4.01,9.01 01/11/13 AMEND
United Continental Holdings, Inc. DE 2.02,9.01 01/17/13
United States 12 Month Natural Gas Fu 8.01 01/17/13
United States Short Oil Fund, LP DE 8.01 01/17/13
UNITEDHEALTH GROUP INC MN 2.02,9.01 01/17/13
UNIVERSAL HOSPITAL SERVICES INC MN 8.01,9.01 01/17/13
URANIUM RESOURCES INC /DE/ DE 5.02,8.01,9.01 01/16/13
VALERO ENERGY CORP/TX DE 7.01,9.01 01/17/13
VESTIN FUND III LLC 5.02 01/17/13
Vestin Realty Mortgage I, Inc. 5.02 01/17/13
Vestin Realty Mortgage II, Inc MD 5.02 01/17/13
VIRGINIA COMMERCE BANCORP INC 2.02,7.01,9.01 01/17/13
VISTEON CORP DE 1.01,8.01,9.01 01/11/13
VOC Energy Trust 2.02,9.01 01/17/13
VYCOR MEDICAL INC DE 5.03,8.01,9.01 01/15/13
WALTER INVESTMENT MANAGEMENT CORP MD 9.01 11/01/12 AMEND
WASHINGTON FEDERAL INC WA 2.02,7.01,9.01 01/17/13
WELLS REAL ESTATE FUND VIII LP GA 1.01 01/14/13
WELLS REAL ESTATE FUND XI L P GA 1.01 01/14/13
WELLS REAL ESTATE FUND XII LP GA 1.01 01/14/13
WESTAMERICA BANCORPORATION CA 2.02,9.01 01/17/13
Wheeler Real Estate Investment Trust, MD 5.02,8.01,9.01 01/16/13
WOUND MANAGEMENT TECHNOLOGIES, INC. TX 8.01 01/15/13
WPX ENERGY, INC. DE 5.02,9.01 01/16/13
WSFS FINANCIAL CORP DE 8.01 12/13/12
Xhibit Corp. NV 1.01,9.01 01/11/13
XILINX INC DE 2.02,9.01 01/17/13
XRS Corp MN 5.02 01/12/13
YELLOW7, Inc TX 5.01,5.02 01/10/13
ZAGG Inc NV 5.02,9.01 01/15/13
http://www.sec.gov/news/digest/2013/dig011813.htm
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