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ENFORCEMENT PROCEEDINGSDelinquent Filers’ Stock Registrations RevokedThe registrations of the registered securities of IMP, Inc., Imperial Credit Industries, Inc., Inco Homes Corp., InfoCast Corp., Infospi.com, Inc. (n/k/a Infospi, Inc.), and Instaff International, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-68892; File No. 3-15174) In the Matter of China Voice Holding Corp.An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default as to China Voice Holding Corp. (China Voice), in China Voice Holding Corp., Admin. Proc. No. 3-15076. The Order Instituting Proceedings alleged that China Voice repeatedly failed to file timely periodic reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of its registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. This proceeding has ended as to all other Respondents. See China Voice Holding Corp., Exchange Act Release Nos. 68333 (Dec. 3, 2012), 68346 (Dec. 4, 2012), 68388 (Dec. 10, 2012), 68566 (Jan. 3, 2013). (Rel. 34-68893; File No. 3-15076) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by The NASDAQ Stock Market LLC to extend a pilot program related to Rule 11890, entitled “Clearly Erroneous Transactions” (SR-NASDAQ-2013-022) 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 February 11. (Rel. 34-68819) A proposed rule change filed by NASDAQ OMX PHLX LLC to extend a pilot program related to Rule 3312, entitled “Clearly Erroneous Transactions” (SR-PHLX-2013-12) 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 February 11. (Rel. 34-68820) A proposed rule change filed by BATS Exchange, Inc. to modify the short term option series program (SR-BATS-2013-006) 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 February 11. (Rel. 34-68865) A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2013-05) amending Exchange Rule 80C –Equities to establish rules to comply with the requirements of the Plan to Address Extraordinary Market Volatility submitted to the Commission pursuant to Rule 608 of Regulation NMS 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 February 11. (Rel. 34-68875) A proposed rule change filed by New York Stock Exchange LLC (SR-NYSE-2013-09) amending Exchange Rule 80C to establish rules to comply with the requirements of the Plan to Address Extraordinary Market Volatility submitted to the Commission pursuant to Rule 608 of Regulation NMS 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 February 11. (Rel. 34-68876) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2013-07) relating to amendments to the EDGA Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68877) A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-07) relating to amendments to the EDGX Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68878) A proposed rule change filed by NASDAQ OMX PHLX to amend certain fees in Section II of the pricing schedule (SR-Phlx-2013-10) 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 February 11. (Rel. 34-68880) A proposed rule change filed by EDGA Exchange, Inc., to amend EDGA Rule 11.14 to extend the operation of the single stock circuit breaker program (SR-EDGA-2013-04) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68884) A proposed rule change filed by BATS Y-Exchange, Inc., to extend the pilot program related to trading pauses due to extraordinary market volatility (SR-BYX-2013-006) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68885) A proposed rule change filed by the International Securities Exchange, LLC, to amend ISE Rule 2102 to extend the pilot program (SR-ISE-2013-10) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68886) A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Fees Schedule (SR-CBOE-2013-017) 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 February 11. (Rel. 34-68887) Proposed Rule ChangesMunicipal Securities Rulemaking Board filed a proposed rule change relating to amendments to MSRB Rules G-37 and G-8 and Form G-37 (SR-MSRB-2013-01). Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68872) Chicago Board Options Exchange, Incorporated filed with the Securities and Exchange Commission a proposed rule change (SR-CBOE-2013-016) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to permit the minimum price variation for mini-options to be the same as permitted for standard options on the same security. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68873) NASDAQ OMX PHLX LLC filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-Phlx-2013-15) for the permanent approval of a pilot program to permit PSX to accept inbound orders routed by Nasdaq Execution Services LLC from the BX Equities Market. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68889) NASDAQ OMX BX, Inc. filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-BX-2013-013) requesting permanent approval of a pilot program to receive inbound equities orders from PSX through NES. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68890) The NASDAQ Stock Market LLC filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-NASDAQ-2013-028) for the permanent approval of a pilot program to permit inbound orders routed by Nasdaq Execution Services LLC from the NASDAQ OMX BX Equities Market and NASDAQ OMX PSX. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68891) Approval of Proposed Rule ChangesThe Commission approved a proposed rule change (SR-FINRA-2012-010) filed by Financial Industry Regulatory Authority, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to amend FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities). Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68874) The Commission approved a proposed rule change (SR-CBOE-2012-124) submitted by the Chicago Board Options Exchange, Incorporated pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to amend various CBOE rules governing letters of guarantee and authorization. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68879) The Commission approved a proposed rule change (SR-CBOE-2012-120) submitted by Chicago Board Options Exchange, Incorporated, as modified by Amendment Nos. 2, 3, and 4, to allow the listing and trading of a P.M.-Settled S&P 500 index option product. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68888) Designation of Longer Period for Commission Action on Proposed Rule ChangesThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-ICC-2012-24) filed by ICE Clear Credit LLC to add rules related to the clearing of European corporate single-name credit default swaps. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68881) The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-ICC-2012-23) filed by ICE Clear Credit LLC to add rules related to the clearing of iTraxx Europe index credit default swaps. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68882) 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 Vanda Pharmaceuticals Inc., 2200 PENNSYLVANIA AVE NW, SUITE 300E, WASHINGTON, DC, 20037, 202-734-3400 - 0 ($4,439,603.10) Equity, (File 333-186509 - Feb. 8) (BR. 01B) S-1 DRIMEX INC., 311 S DIVISION STREET, CARSON CITY, NV, 89703, 702-425-5072 - 5,000,000 ($100,000.00) Equity, (File 333-186510 - Feb. 8) (BR. 05) S-1 BRAINSTORM CELL THERAPEUTICS INC., 605 THIRD AVENUE, 34TH FLOOR, NEW YORK, NY, 10158, 646-666-3188 - 0 ($15,000,000.00) Equity, (File 333-186516 - Feb. 8) (BR. 01B) S-8 ROCKWELL COLLINS INC, 400 COLLINS ROAD NE, CEDAR RAPIDS, IA, 52498, 3192951000 - 3,000,000 ($175,680,000.00) Equity, (File 333-186532 - Feb. 8) (BR. 05C) S-8 MEDALLION FINANCIAL CORP, 437 MADISON AVE 38 TH FLOOR, NEW YORK, NY, 10022, 2123282153 - 0 ($1,292,000.00) Equity, (File 333-186533 - Feb. 8) (BR. 18) S-4 ESSEX PROPERTY TRUST INC, 925 EAST MEADOW DR, PALO ALTO, CA, 94303, 6504943700 - 0 ($300,000,000.00) Equity, (File 333-186536 - Feb. 8) (BR. 08B) S-8 ESCO TECHNOLOGIES INC, 9900 A CLAYTON RD, ST LOUIS, MO, 63124, 3142137200 - 1,449,107 ($59,398,895.93) Other, (File 333-186537 - Feb. 8) (BR. 11A) S-8 BODY CENTRAL CORP, 6225 POWERS AVENUE, JACKSONVILLE, FL, 32217, 904-737-0811 - 0 ($3,573,000.00) Equity, (File 333-186544 - Feb. 8) (BR. 09) S-8 LIPOSCIENCE INC, 2500 SUMNER BOULEVARD, RALEIGH, NC, 27616, 9192121999 - 0 ($24,360,582.32) Other, (File 333-186545 - Feb. 8) (BR. 09B) S-3 Ameris Bancorp, 24 2/ND/ AVENUE, MOULTRIE, GA, 31768, 9128901111 - 0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-186546 - Feb. 8) (BR. 07B) S-8 ShoreTel Inc, 960 STEWART DRIVE, SUNNYVALE, CA, 94085, 408 331 3300 - 3,523,127 ($13,980,648.62) Equity, (File 333-186547 - Feb. 8) (BR. 11A) S-3ASR UNION PACIFIC CORP, 1400 DOUGLAS STREET, STOP 0310, OMAHA, NE, 68179, 402 544 5214 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186548 - Feb. 8) (BR. 05C) S-8 INFINERA CORP, 140 CASPIAN COURT, SUNNYVALE, CA, 94089, 408-572-5200 - 6,747,684 ($48,752,016.90) Equity, (File 333-186549 - Feb. 8) (BR. 11A) S-11 CERBERUS MORTGAGE CAPITAL, INC., 875 THIRD AVENUE, 11TH FLOOR, NEW YORK, NY, 10022, (212) 891-2100 - 0 ($150,000,000.00) Equity, (File 333-186550 - Feb. 8) (BR. 08) S-1 Pacific Ethanol, Inc., 400 CAPITOL MALL, SUITE 2060, SACRAMENTO, CA, 95814, 916-403-2123 - 33,000,000 ($12,540,000.00) Equity, (File 333-186551 - Feb. 8) (BR. 06A) S-4 Rock-Tenn CO, 504 THRASHER STREET, NORCROSS, GA, 30071, (770) 448-2193 - 0 ($1,450,000,000.00) Debt, (File 333-186552 - Feb. 8) (BR. 04A) N-2 TORTOISE ENERGY CAPITAL CORP, 11550 ASH STREET, SUITE 300, LEAWOOD, KS, 66211, 913-981-1020 - 0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-186553 - Feb. 8) (BR. 16) S-8 Customers Bancorp, Inc., 1015 PENN AVENUE, SUITE 103, WYOMISSING, PA, 19610, 484-359-7113 - 6,333,000 ($94,868,340.00) Equity, (File 333-186554 - Feb. 8) (BR. 07B) S-4 TF FINANCIAL CORP, 3 PENNS TRAIL, NEWTOWN, PA, 18940, 2155794000 - 323,882 ($15,108,541.00) Equity, (File 333-186555 - Feb. 8) (BR. 07C) S-3 JACKSONVILLE BANCORP INC /FL/, 100 NORTH LAURA STREET, SUITE 1000, JACKSONVILLE, FL, 32202, 9044213040 - 0 ($195,000,000.00) Other, (File 333-186556 - Feb. 8) (BR. 07B) 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
-----------------------------------------------------------------------------------------
A123 SYSTEMS, INC. DE 5.02,7.01,9.01 02/04/13
ACADIA REALTY TRUST MD 2.02,9.01 02/05/13
ACCURAY INC DE 2.03,3.02,7.01,8.01, 02/07/13
9.01
ACETO CORP NY 2.02,9.01 02/07/13
ADEPT TECHNOLOGY INC DE 7.01,9.01 02/06/13
ADVANCE AUTO PARTS INC DE 5.02 02/07/13
ADVENTRX PHARMACEUTICALS INC DE 5.02,9.01 02/07/13
Aircastle LTD D0 7.01,9.01 02/07/13
Alexza Pharmaceuticals Inc. DE 5.02 02/07/13
Amarok Resources, Inc. NV 5.02 02/08/13 AMEND
AMERICAN AIRLINES INC DE 8.01,9.01 02/08/13
AMERICAN AXLE & MANUFACTURING HOLDING DE 2.02,7.01,9.01 02/08/13
AMERICAN BIO MEDICA CORP NY 1.01,9.01 02/04/13
American Capital Agency Corp 5.02 02/07/13
American Capital Mortgage Investment MD 2.02,9.01 02/08/13
American Capital Mortgage Investment MD 5.02 02/07/13
AMERICAN CORDILLERA MINING Corp NV 1.01,2.01,3.02,5.01, 12/28/12 AMEND
5.02,5.03,5.06,5.07,
9.01
AMERICAN EAGLE OUTFITTERS INC DE 8.01,9.01 02/04/13
AMERICAN INTERNATIONAL VENTURES INC / DE 1.01,9.01 01/23/13
AMERICAN LEARNING Corp NY 2.02,9.01 02/08/13
AMERICAN REALTY CAPITAL NEW YORK RECO MD 2.01,9.01 09/30/12 AMEND
AMR CORP DE 8.01,9.01 02/08/13
Anoteros, Inc. NV 5.02 02/07/13
AntriaBio, Inc. NV 7.01,9.01 02/08/13
AOL Inc. DE 2.02,9.01 02/08/13
APARTMENT INVESTMENT & MANAGEMENT CO MD 2.02,9.01 02/07/13 AMEND
API Technologies Corp. DE 1.01,1.02,2.03,8.01, 02/06/13
9.01
Apollo Global Management LLC DE 2.02,9.01 02/08/13
ARCH CAPITAL GROUP LTD. 1.01,7.01,9.01 02/07/13
Arista Power, Inc. NY 1.01,3.02 02/04/13
ARK RESTAURANTS CORP NY 8.01,9.01 02/08/13
Atkore International Holdings Inc. DE 2.02,9.01 02/08/13
Avantair, Inc DE 1.01,3.02,9.01 02/06/13
AWG International Water Corp NV 3.02,5.02,9.01 02/06/13
AXIS CAPITAL HOLDINGS LTD 8.01 02/06/13
BakerCorp International, Inc. DE 1.01,2.03,9.01 02/07/13
BARNWELL INDUSTRIES INC DE 2.02,9.01 02/08/13
BEAUTY BRANDS GROUP, INC. FL 5.02,9.01 02/05/13
BELO CORP DE 2.02,9.01 02/08/13
BERKSHIRE HILLS BANCORP INC DE 8.01,9.01 02/07/13
BIOHEART, INC. FL 5.02 02/06/13
BLUCORA, INC. DE 5.02 02/06/13
BLUE DOLPHIN ENERGY CO DE 3.01,8.01,9.01 02/08/13
BLUE NILE INC DE 5.02 02/04/13
BODY CENTRAL CORP 5.02,9.01 02/05/13
BOLD ENERGY INC. NV 8.01 02/08/13
BONANZA GOLD CORP. 3.02,9.01 12/03/12
Borneo Resource Investments Ltd. NV 1.01,7.01,9.01 02/05/13
BRAINSTORM CELL THERAPEUTICS INC. DE 3.02 02/07/13
BRINKER INTERNATIONAL INC DE 5.02,7.01,9.01 02/07/13
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 7.01,9.01 02/07/13
BSD MEDICAL CORP DE 5.07 02/06/13
CACHE INC FL 1.01,3.02,5.02,5.03, 02/04/13
9.01
CALIX, INC 5.02 02/06/13
CARLISLE COMPANIES INC DE 2.02,9.01 02/08/13
CARMAX AUTO FUNDING LLC DE 1.01,8.01,9.01 02/06/13
Catalent Pharma Solutions, Inc. DE 2.02,9.01 02/08/13
CBIZ, Inc. DE 8.01 02/06/13
CBOE Holdings, Inc. DE 2.02,9.01 02/08/13
Cereplast Inc NV 5.02 02/05/13
CHECKPOINT SYSTEMS INC PA 1.01,8.01,9.01 02/04/13
CHESAPEAKE GRANITE WASH TRUST DE 2.02,9.01 02/08/13
CHINA BAK BATTERY INC NV 5.02 02/08/13
China Green Agriculture, Inc. NV 2.02,9.01 02/08/13
CHIQUITA BRANDS INTERNATIONAL INC NJ 1.01,1.02,2.03,9.01 02/05/13
Citadel Exploration, Inc. NV 3.02,9.01 02/08/13
CITIGROUP INC DE 9.01 02/04/13
CITIGROUP INC DE 9.01 02/08/13
CLECO CORP LA 8.01 02/06/13
COLONY BANKCORP INC GA 2.02,9.01 02/08/13
COMERICA INC /NEW/ DE 7.01,9.01 02/08/13
CONCHO RESOURCES INC DE 2.02,9.01 02/07/13
Consorteum Holdings, Inc. NV 1.01 02/06/13
Converted Organics Inc. DE 1.01,2.03,3.02,9.01 02/05/13
CORPORATE OFFICE PROPERTIES TRUST MD 2.02,9.01 02/08/13
CORRECTIONS CORP OF AMERICA MD 2.02,9.01 02/07/13
COUSINS PROPERTIES INC GA 2.01,7.01,9.01 02/07/13
CPI CORP DE 1.01,2.04,9.01 02/05/13
Crestwood Midstream Partners LP DE 5.02,9.01 02/05/13
CYTOKINETICS INC 5.02 02/08/13
DAWSON GEOPHYSICAL CO TX 2.02,9.01 02/08/13
DLH Holdings Corp. NJ 8.01 02/06/13
DubLi, Inc. NV 4.02 12/12/12 AMEND
EASTMAN KODAK CO NJ 7.01 02/08/13
Ellington Financial LLC DE 7.01,9.01 02/07/13
Eloqua, Inc. 2.01,3.01,3.03,5.01, 02/08/13
5.02,5.03,5.07,9.01
EMERSON ELECTRIC CO MO 5.02,5.07,9.01 02/05/13
ENTERCOM COMMUNICATIONS CORP PA 2.02,9.01 02/08/13
ENTERGY CORP /DE/ DE 2.02,7.01,9.01 02/08/13
EnteroMedics Inc 8.01,9.01 02/07/13
ENTERPRISE PRODUCTS PARTNERS L P DE 7.01,8.01,9.01 02/05/13
ERIE INDEMNITY CO PA 8.01 02/06/13
EWaste Systems, Inc. NV 1.01,9.01 02/06/13
EXELIXIS, INC. DE 5.02,9.01 02/05/13
Fabrinet E9 1.01,9.01 02/06/13
FARMER BROTHERS CO CA 2.02,9.01 02/06/13
FEDERATED NATIONAL HOLDING CO FL 1.01,8.01,9.01 02/08/13
FIRST COLOMBIA GOLD CORP. NV 3.02,5.01 02/01/13
FIRST FINANCIAL CORP /IN/ IN 2.02,9.01 02/08/13
FIRST FINANCIAL CORP /IN/ IN 5.02 02/05/13
FIRST INDEPENDENCE CORP. FL 5.02 02/06/13
FIRST NORTHERN COMMUNITY BANCORP CA 8.01,9.01 02/08/13
FIRST TRUST HIGH INCOME LONG/SHORT FU MA 7.01,9.01 02/08/13
Firsthand Technology Value Fund, Inc. 8.01,9.01 01/08/13
FLUOR CORP DE 8.01 02/06/13
FOSTER L B CO PA 2.02,9.01 02/08/13
Freescale Semiconductor, Ltd. D0 8.01 02/04/13
FriendFinder Networks Inc. NV 1.01,3.01,8.01 02/04/13
FURNITURE BRANDS INTERNATIONAL INC DE 1.02,5.02,5.03,9.01 02/06/13
Gas Natural Inc. OH 8.01 01/30/13
Geeknet, Inc DE 5.02,9.01 02/07/13 AMEND
GENERAL CABLE CORP /DE/ DE 2.02,9.01 02/07/13
GENVEC INC DE 2.02,8.01 02/07/13
GEOSPACE TECHNOLOGIES CORP DE 2.02,9.01 02/06/13
GLATFELTER P H CO PA 2.02,9.01 02/07/13
GLOBE SPECIALTY METALS INC 2.02,7.01,9.01 12/31/12
GOLDEN OASIS NEW ENERGY GROUP, INC. NV 5.01,5.02,9.01 02/06/13
Google Inc. DE 8.01 02/08/13
GORMAN RUPP CO OH 2.02,9.01 02/08/13
GREEN DRAGON WOOD PRODUCTS, INC. FL 1.01,3.02,5.02,5.03 01/30/13
GREEN EARTH TECHNOLOGIES, INC DE 5.02,8.01,9.01 02/06/13
Green Innovations Ltd. 1.01,9.01 02/07/13
GUARANTY FEDERAL BANCSHARES INC DE 5.02,9.01 02/07/13
GUIDED THERAPEUTICS INC DE 1.01,1.02,9.01 02/08/13
H&R BLOCK INC MO 8.01 02/07/13
HARBINGER GROUP INC. DE 2.02,9.01 02/08/13
HARRIS CORP /DE/ DE 2.01,9.01 02/04/13
HOME PROPERTIES INC MD 2.02,9.01 02/07/13
HORTON D R INC /DE/ DE 1.01,8.01,9.01 02/05/13
ICONIX BRAND GROUP, INC. DE 8.01 02/01/13
Imprimis Pharmaceuticals, Inc. DE 1.01,3.02,5.03,8.01, 02/07/13
9.01
Ingersoll-Rand plc L2 5.02 02/05/13
INSPERITY, INC. DE 2.02,9.01 02/08/13
INSULET CORP DE 4.02 02/05/13
INTERNATIONAL SHIPHOLDING CORP DE 9.01 02/07/13 AMEND
INVACARE CORP OH 2.02,9.01 02/08/13
INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 02/08/13
INVESTORS CAPITAL HOLDINGS LTD MA 2.02,7.01,9.01 02/08/13
Ironwood Gold Corp. 1.01,3.02,7.01,9.01 02/01/13 AMEND
ISC8 INC. /DE DE 8.01,9.01 10/12/12 AMEND
Kips Bay Medical, Inc. DE 3.01 02/06/13
KIRKLAND'S, INC 2.02,9.01 02/07/13
LABORATORY CORP OF AMERICA HOLDINGS DE 2.02 02/08/13
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 02/08/13
LANNETT CO INC DE 2.02,9.01 02/07/13
LaPorte Bancorp, Inc. MD 2.02,9.01 02/08/13
Liberator, Inc. FL 1.01,7.01,9.01 02/07/13
LIMITED BRANDS INC DE 2.02,7.01,9.01 02/07/13
LinnCo, LLC DE 5.02 02/04/13
LIONBRIDGE TECHNOLOGIES INC /DE/ DE 5.02 02/04/13
LivingVentures, Inc. FL 5.03,9.01 02/06/13
LOUISIANA-PACIFIC CORP DE 2.02 02/08/13
LYRIS, INC. 5.07 02/08/13
MACERICH CO MD 9.01 11/28/12 AMEND
MAINLAND RESOURCES INC. 5.02,9.01 01/29/13
Mainstream Entertainment, Inc. FL 1.01,3.02,5.01,5.02, 01/25/13
9.01
MALVERN BANCORP, INC. PA 5.07 02/07/13
Mandalay Digital Group, Inc. DE 3.02 02/04/13
MAXIMUS INC VA 2.02,9.01 02/07/13
MCDONALDS CORP DE 7.01,9.01 02/08/13
MEDGENICS, INC. DE 1.01,9.01 02/08/13
MEDICINES CO /DE DE 2.01,8.01,9.01 02/08/13
MERISEL INC /DE/ DE 1.01,2.03,3.02,9.01 02/04/13
MILLER ENERGY RESOURCES, INC. TN 2.03 02/07/13
MILLER ENERGY RESOURCES, INC. TN 7.01,8.01,9.01 01/31/13
MILLER ENERGY RESOURCES, INC. TN 8.01 01/31/13 AMEND
MIMVI, INC. NV 9.01 01/07/13 AMEND
MISONIX INC NY 2.02,9.01 02/07/13
MOLINA HEALTHCARE INC DE 2.02,9.01 02/07/13 AMEND
MOODYS CORP /DE/ DE 2.02,7.01,9.01 02/08/13
MULTIMEDIA GAMES HOLDING COMPANY, INC TX 8.01 02/05/13
MUTUALFIRST FINANCIAL INC MD 2.02,9.01 02/08/13
Myrexis, Inc. DE 4.01,9.01 02/04/13
NASB FINANCIAL INC MO 2.02,9.01 02/08/13
NATIONAL FUEL GAS CO NJ 2.02,9.01 02/07/13
NATIONAL PENN BANCSHARES INC PA 5.02,8.01,9.01 02/08/13
NEOMEDIA TECHNOLOGIES INC DE 1.01,7.01,9.01 02/08/13
NEUROCRINE BIOSCIENCES INC CA 2.02,9.01 02/08/13
NEWS CORP 8.01,9.01 02/08/13
NIC INC CO 5.02 02/05/13
Norwegian Cruise Line Holdings Ltd. 1.01,1.02,2.03,8.01, 02/06/13
9.01
NovaCopper Inc. A1 7.01,9.01 02/08/13
Novus Robotics Inc. NV 1.01,2.01,3.02,5.01, 02/01/12 AMEND
5.02,9.01
Oconee Federal Financial Corp. 2.02,9.01 01/31/13 AMEND
OM GROUP INC DE 5.02 02/07/13
OMEGA COMMERCIAL FINANCE CORP WY 1.01,2.01,7.01,9.01 01/23/13
ORBIT INTERNATIONAL CORP DE 5.02,9.01 02/05/13
Oriental Dragon Corp E9 4.01,9.01 12/21/12
ORIGINOIL INC NV 1.01,2.03,3.02,9.01 02/04/13
PALOMAR MEDICAL TECHNOLOGIES INC DE 5.02 02/05/13
Park Sterling Corp NC 2.02,7.01,9.01 02/08/13
PATRIOT TRANSPORTATION HOLDING INC FL 5.07 02/08/13
PATTERSON COMPANIES, INC. MN 5.02,9.01 02/05/13
PDC 2002 B LTD PARTNERSHIP 1.01 02/04/13
PDC 2002 C LTD PARTNERSHIP 1.01 02/04/13
PEER REVIEW MEDIATION & ARBITRATION I FL 2.01 11/29/12
PennantPark Floating Rate Capital Ltd 5.07 02/05/13
PENNANTPARK INVESTMENT CORP 5.07 02/05/13
PEPSICO INC NC 8.01,9.01 02/07/13
Perfumania Holdings, Inc. FL 2.02,9.01 02/07/13
PIPER JAFFRAY COMPANIES DE 5.02,9.01 02/05/13
Polar Petroleum Corp. 1.01,2.03,3.02,9.01 02/04/13
Poly Shield Technologies Inc. DE 5.02,9.01 02/06/13
Progressive Care Inc. DE 5.02,9.01 02/05/13
PROLOR Biotech, Inc. NV 5.02 02/04/13
QUICKSILVER RESOURCES INC DE 1.01,9.01 09/21/12 AMEND
RADIOSHACK CORP DE 5.02,9.01 02/07/13
REAL DATA INC UT 5.02 02/08/13
REAL DATA INC UT 8.01 02/08/13
REPUBLIC AIRWAYS HOLDINGS INC DE 8.01 01/23/13
REYNOLDS AMERICAN INC 5.02 02/06/13
RITE AID CORP DE 8.01,9.01 02/07/13
Rock-Tenn CO GA 8.01,9.01 02/08/13
Rockies Region 2006 Limited Partnersh WV 1.01 02/04/13
ROCKIES REGION 2007 LP WV 1.01 02/04/13
ROCKWELL AUTOMATION INC DE 5.07 02/05/13
San Lotus Holding Inc NV 1.01,9.01 02/04/13
SANDRIDGE ENERGY INC DE 8.01 02/06/13
SEARS HOLDINGS CORP DE 5.02 02/04/13
SED INTERNATIONAL HOLDINGS INC 2Q 8.01,9.01 02/07/13
SEEN ON SCREEN TV INC. NV 4.01,9.01 02/06/13
SELECTIVE INSURANCE GROUP INC NJ 1.01,2.03,9.01 02/08/13
SEMTECH CORP DE 2.01,9.01 03/20/12 AMEND
SILGAN HOLDINGS INC DE 8.01,9.01 02/08/13
SIRONA DENTAL SYSTEMS, INC. DE 2.02,9.01 02/08/13
SKULLCANDY, INC. 2.02,5.02,9.01 02/07/13
SOLTA MEDICAL INC DE 5.02 02/04/13
SRA INTERNATIONAL, INC. VA 5.02,9.01 02/08/13
STAGE STORES INC NV 8.01,9.01 02/07/13
STARBUCKS CORP WA 1.01,1.02,2.03,9.01 02/05/13
StemGen, Inc. DE 5.03,9.01 02/05/13
STERLING GROUP VENTURES INC NV 8.01 02/06/13
SUPREME INDUSTRIES INC DE 2.02,9.01 02/07/13
SYCAMORE NETWORKS INC DE 8.01,9.01 02/07/13
Synutra International, Inc. DE 2.02,9.01 02/08/13
TARA GOLD RESOURCES CORP. NV 4.01,9.01 02/01/13
Tara Minerals Corp. NV 4.01,9.01 02/01/13
Targa Resources Partners LP DE 5.02 02/06/13
TC PIPELINES LP DE 2.02,7.01,9.01 02/08/13
TECHNICAL COMMUNICATIONS CORP MA 2.02,9.01 02/08/13
TELULAR CORP DE 5.02,5.07,9.01 02/05/13
TESORO CORP /NEW/ DE 5.02,9.01 02/04/13
TIDEWATER INC DE 7.01,9.01 02/01/13
TIDEWATER INC DE 8.01,9.01 02/05/13
TIDEWATER INC DE 8.01,9.01 02/07/13
Tower Group, Inc. DE 7.01,9.01 01/10/13
Tower International, Inc. DE 7.01,9.01 02/08/13
TransDigm Group INC DE 7.01,9.01 02/07/13
TRANSGENOMIC INC DE 1.01,9.01 02/07/13
United Continental Holdings, Inc. DE 8.01,9.01 02/07/13
UNITED SECURITY BANCSHARES CA 2.02,9.01 02/07/13
UNIVERSAL INSURANCE HOLDINGS, INC. DE 8.01,9.01 02/08/13
VEECO INSTRUMENTS INC DE 2.02,8.01,9.01 02/08/13
VERIFY SMART CORP. NV 4.01,9.01 12/21/12 AMEND
ViewPoint Financial Group Inc. 7.01,9.01 02/08/13
VIRTUSA CORP 2.03 02/06/13
VOLTERRA SEMICONDUCTOR CORP 5.02 02/04/13
WABCO Holdings Inc. DE 5.02 02/04/13
WALGREEN CO IL 5.02 02/07/13
Westpoint Energy, Inc. NV 8.01,9.01 02/01/13
WFRBS Commercial Mortgage Trust 2013- 9.01 02/08/13
White River Capital Inc IN 8.01 02/07/13
Whitestone REIT TX 1.01,2.03,9.01 02/08/13
Whitestone REIT Operating Partnership DE 1.01,2.03,9.01 02/08/13
Wright Investors Service Holdings, In DE 5.03,9.01 02/04/13
XUNNA INFORMATION TECHNOLOGY INC. NV 1.01,2.01,3.02,5.01, 02/04/13
5.03,5.06,9.01
YELP INC DE 5.02,5.05 02/04/13
YRC Worldwide Inc. DE 2.02,9.01 02/08/13
Zayo Group LLC DE 2.02,7.01,9.01 02/08/13
Zep Inc. DE 9.01 12/01/12 AMEND
ZHONGPIN INC. DE 1.01,8.01,9.01 02/08/13
ZYGO CORP DE 1.01,5.02,8.01,9.01 02/04/13
http://www.sec.gov/news/digest/2013/dig021113.htm
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