SEC News Digest, February 12, 2012

	Home \| Previous Page

ENFORCEMENT PROCEEDINGS

Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Six Public Companies for Failure to Make Required Periodic Filings

On February 11, 2013, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of six companies for failure to make required periodic filings with the Commission:

Artfest International, Inc. (ARTS)
China Advanced Meditech, Inc.
Cynet, Inc.
Durham Marketing Corp.
Emissary Capital Group, Inc. (n/k/a Cavalier Holdings, Inc.)
ESP Enterprises, Inc. (n/k/a ESP Enterprises of LA, Inc.)

In this Order, the Division of Enforcement (Division) alleges that the six issuers are delinquent in their 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 Administrative Law Judge will hear evidence from the Division and the Respondents 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 Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents 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. 34-68902; File No. 3-15207)

Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Five Public Companies for Failure to Make Required Periodic Filings

On February 11, 2013, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of five companies for failure to make required periodic filings with the Commission:

HDL Capital Corp.
HMG Worldwide Corp.
Homegold Financial, Inc.
Hudson Hotels Corp. (HUDS)
Hurry, Inc.

In this Order, the Division of Enforcement (Division) alleges that the five issuers are delinquent in their required periodic filings with the Commission.

SELF-REGULATORY ORGANIZATIONS

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by EDGX Exchange, Inc., to amend EDGX Rule 11.14 to extend the operation of the single stock circuit breaker program (SR-EDGX-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. 34-68883)

A proposed rule change filed by the Chicago Stock Exchange, Inc. to alter the circumstances under which liquidity providing credits are paid to Institutional Brokers (SR-CHX-2013-06) 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. 34-68894)

A proposed rule change filed by BATS Y-Exchange, Inc. related to fees for use of BATS Y-Exchange, Inc. (SR-BYX-2013-004) 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. 34-68895)

A proposed rule change filed by C2 Options Exchange, Incorporated to amend the Fees Schedule (SR-C2-2013-007) 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. 34-68897)

A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the fees schedule (SR-CBOE-2013-018) 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. 34-68901)

Approval of Proposed Rule Changes

The Commission granted approval of a proposed rule change (SR-NYSEArca-2012-139) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade First Trust Preferred Securities and Income ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68870)

The Commission granted approval of a proposed rule change (SR-NYSEArca-2012-138) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade PIMCO Foreign Currency Strategy Exchange-Traded Fund pursuant to NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68871)

SECURITIES ACT REGISTRATIONS

The 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-3     DARA BioSciences, Inc., 8601 SIX FORKS ROAD SUITE 160, RALEIGH, NC, 
        27615, 919-861-0202 - 4,013,157 ($4,414,473.00) Equity, 
        (File 333-186557 - Feb. 11) (BR. 01B)

N-2     FW Advisory Research Quality Income Trust, 100 WALL STREET, 11TH FLOOR, 
        NEW YORK, NY, 10005, (202) 701-4500 - 40,000 ($1,000,000.00) Equity, 
        (File 333-186558 - Feb. 11) (BR. )

S-1     Strata Capital Corp, 888 BRICKELL KEY DR., UNIT 1102, MIAMI, FL, 33131, 
        3056000407 - 335,200,000 ($40,000.00) Equity, (File 333-186559 - 
        Feb. 11) (BR. 01)

S-1     SIONIX CORP, 914 WESTWOOD BLVD., BOX 801, LOS ANGELES, CA, 90024, 
        (847) 235-4566 - 99,352,206 ($3,545,959.00) Equity, (File 333-186560 - 
        Feb. 11) (BR. 06C)

S-3ASR  STARWOOD PROPERTY TRUST, INC., C/O STARWOOD CAPITAL GROUP, 
        591 WEST PUTNAM AVENUE, GREENWICH, CT, 06830, (203) 422-7700 - 
        0 ($0.00) Other, (File 333-186561 - Feb. 11) (BR. 08C)

S-4     Voltari Corp, 601 WEST 26TH STREET, SUITE 415, NEW YORK, NY, 10001, 
        212-792-9671 - 0 ($53,351,645.00) Other, (File 333-186564 - Feb. 11) 
        (BR. 11)

S-8     Alternative Fuels Americas, Inc., 2131 HOLLYWOOD BOULEVARD, SUITE 401, 
        HOLLYWOOD, FL, 33020, 954-367-7067 - 2,500,000 ($1,125,000.00) Equity, 
        (File 333-186566 - Feb. 11) (BR. 06B)

S-4     Verso Paper Holdings LLC, 6775 LENOX COURT PARK, BUILDING E, MEMPHIS, 
        TN, 38115, (901) 369-4100 - 0 ($72,882,000.00) Debt, (File 333-186569 - 
        Feb. 11) (BR. 04B)

S-8     Viggle Inc., 150 FIFTH AVENUE, SUITE 900, NEW YORK, NY, 10001, 
        212-231-0092 - 15,000,000 ($18,000,000.00) Equity, (File 333-186570 - 
        Feb. 11) (BR. 03C)

S-1     Blue Water Restaurant Group, Inc., 202 OSMANTHUS WAY, CANTON, GA, 
        30114, 949-264-1475 - 8,000,000 ($800,000.00) Equity, 
        (File 333-186571 - Feb. 11) (BR. 05C)

S-8     INSITE VISION INC, 965 ATLANTIC AVE, --, ALAMEDA, CA, 94501, 
        5108658800 - 2,639,020 ($870,876.60) Equity, (File 333-186572 - 
        Feb. 11) (BR. 01A)

S-1     MRI INTERVENTIONS, INC., ONE COMMERCE SQUARE, SUITE 2550, MEMPHIS, TN, 
        38103, 9015229300 - 13,502,526 ($21,469,016.34) Equity, 
        (File 333-186573 - Feb. 11) (BR. 10B)

S-1     TETRAPHASE PHARMACEUTICALS INC, 480 ARSENAL STREET, SUITE 110, 
        WATERTOWN, MA, 02472, 617.715.3600 - 0 ($86,250,000.00) Equity, 
        (File 333-186574 - Feb. 11) (BR. 01B)

S-8     GENERAL DYNAMICS CORP, 2941 FAIRVIEW PARK DRIVE, SUITE 100, 
        FALLS CHURCH, VA, 22042-4513, 7038763000 - 
        0 ($1,641,500,000.00) Equity, (File 333-186575 - Feb. 11) (BR. 05B)

S-1     ASPEN GROUP, INC., 720 SOUTH COLORADO BOULEVARD, SUITE 1150N, DENVER, 
        CO, 95765, 646-450-1843 - 3,064,289 ($1,378,930.05) Equity, 
        (File 333-186576 - Feb. 11) (BR. 11C)

S-1     Z TRIM HOLDINGS, INC, 1011 CAMPUS DRIVE, MUNDELEIN, IL, 60060, 
        847-549-6002 - 0 ($10,000,000.00) Equity, (File 333-186577 - Feb. 11) 
        (BR. 04B)

S-8     GENERAL DYNAMICS CORP, 2941 FAIRVIEW PARK DRIVE, SUITE 100, 
        FALLS CHURCH, VA, 22042-4513, 7038763000 - 0 ($328,300,000.00) Equity, 
        (File 333-186578 - Feb. 11) (BR. 05B)

S-1     ADMA BIOLOGICS, INC., 65 COMMERCE WAY, HACKENSACK, NJ, 07601, 
        (201) 478-5552 - 0 ($34,500,000.00) Equity, (File 333-186579 - Feb. 11) 
        (BR. 01A)

S-1     PETROSONIC ENERGY, INC., SUITE 204, 205 - 9TH STREET, SE, CALGARY, A0, 
        T2G 0R3, (403) 708-7869 - 12,210,000 ($7,448,100.00) Equity, 
        (File 333-186580 - Feb. 11) (BR. 09A)

S-3     ARCA biopharma, Inc., 8001 ARISTA PLACE, SUITE 200, BROOMFIELD, CO, 
        80021, 720-940-2200 - 5,984,610 ($3,530,919.90) Equity, 
        (File 333-186584 - Feb. 11) (BR. 01B)

RECENT 8K FILINGS

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

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

-----------------------------------------------------------------------------------------

11 GOOD ENERGY INC                      DE       5.02                 02/11/13

30DC, INC.                              MD       7.01,9.01            02/08/13

ACELRX PHARMACEUTICALS INC              DE       5.02                 02/05/13

ADA-ES INC                              CO       5.02,9.01            02/05/13

ADVANCED PHOTONIX INC                   DE       2.02,7.01,9.01       02/11/13

AeroGrow International, Inc.            NV       2.02,7.01,9.01       02/11/13

AIR INDUSTRIES GROUP, INC.              DE       7.01,9.01            02/11/13

ALLSTATE LIFE INSURANCE CO                       2.02                 02/11/13

ALTERRA CAPITAL HOLDINGS Ltd                     1.01,8.01,9.01       02/07/13

AMARANTUS BIOSCIENCE, INC.              DE       8.01,9.01            02/08/13

AMERICAN APPAREL, INC                   DE       1.01,2.03,9.01       02/06/13

AMERICAN CAPITAL, LTD                            2.02,9.01            02/11/13

AMERICAN CORDILLERA MINING Corp         NV       1.01,7.01,9.01       02/05/13

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 DEFENSE SYSTEMS INC            DE       4.01,9.01            02/05/13

AMERICAN SCIENCE & ENGINEERING, INC.    MA       2.02,9.01            02/11/13

AMERICAN SUPERCONDUCTOR CORP /DE/       DE       2.02,9.01            02/11/13

Annie's, Inc.                           DE       2.02,9.01            02/11/13

AOL Inc.                                DE       7.01                 02/08/13

ARCHER DANIELS MIDLAND CO               DE       5.03,8.01,9.01       02/07/13

ARI NETWORK SERVICES INC /WI            WI       2.01,9.01            02/11/13    AMEND

ASB Bancorp Inc                                  8.01,9.01            02/11/13

ASI ENTERTAINMENT INC                   DE       1.01                 02/11/13

ASSURED PHARMACY, INC.                  NV       4.01,9.01            02/11/13

ASTA FUNDING INC                        DE       2.02,9.01            02/11/13

ASTORIA FINANCIAL CORP                  DE       2.02,9.01            02/11/13

Augme Technologies, Inc.                DE       8.01                 02/05/13

AVID TECHNOLOGY, INC.                   DE       5.02,9.01            02/06/13

AVISTA CORP                             WA       8.01                 02/06/13

AXIS CAPITAL HOLDINGS LTD                        8.01,9.01            02/11/13

Behringer Harvard Opportunity REIT I,   MD       7.01,9.01            02/11/13

Behringer Harvard Opportunity REIT II   MD       7.01,9.01            02/11/13

BEHRINGER HARVARD SHORT TERM OPPORTUN   TX       1.01,2.01,8.01,9.01  02/11/13

BERKSHIRE HATHAWAY INC                  DE       8.01,9.01            02/11/13

BERRY PLASTICS GROUP INC                DE       1.01,2.03            02/08/13

BILL BARRETT CORP                       DE       2.01,7.01,9.01       12/31/12    AMEND

BIOHEART, INC.                          FL       5.03,9.01            02/11/13

BioPharma Manufacturing Solutions Inc   DE       1.01,2.01,3.02,5.06, 10/11/12    AMEND
                                                 9.01
          
BIOTIME INC                             CA       7.01,9.01            02/11/13

Bizzingo, Inc.                          NV       5.02,9.01            01/25/13

BNC BANCORP                             NC       3.03,5.03,9.01       02/07/13

Boardwalk Pipeline Partners, LP         DE       2.02,9.01            02/11/13

BOSTON BEER CO INC                      MA       5.02                 02/06/13

BRIGHT MOUNTAIN HOLDINGS, INC.          NV       1.01,1.02,9.01       02/06/13

BUCKEYE PARTNERS, L.P.                  DE       2.02,9.01            02/08/13

BWAY INTERMEDIATE COMPANY, INC.         DE       5.03                 02/08/13

CABLEVISION SYSTEMS CORP /NY            DE       1.01                 02/07/13

CalAmp Corp.                            DE       8.01,9.01            02/11/13

CAMDEN NATIONAL CORP                    ME       7.01,9.01            02/11/13

CAPITAL ONE FINANCIAL CORP              DE       7.01                 02/11/13

CAPITOL BANCORP LTD                     MI       5.02                 02/11/13

CAPSTONE TURBINE Corp                   DE       2.02,9.01            02/11/13

CEDAR REALTY TRUST, INC.                MD       5.03,8.01,9.01       02/07/13

CFS BANCORP INC                         IN       7.01,9.01            02/11/13

CHASE CORP                              MA       5.07                 02/05/13

Citizens Community Bancorp Inc.         MD       7.01,9.01            02/11/13

CNA FINANCIAL CORP                      DE       9.01                 02/11/13

CNO Financial Group, Inc.               DE       8.01,9.01            02/11/13

CNO Financial Group, Inc.               DE       2.02,9.01            02/11/13

COGNEX CORP                             MA       2.02,9.01            02/11/13

COLGATE PALMOLIVE CO                    DE       7.01,9.01            02/11/13

COMSTOCK RESOURCES INC                  NV       2.02,4.02,7.01,9.01  12/31/12

Core-Mark Holding Company, Inc.         DE       5.02,9.01            02/05/13

COVENTRY HEALTH CARE INC                DE       8.01                 02/07/13

CROSS BORDER RESOURCES, INC.            NV       1.01,2.03,9.01       02/05/13

CUBIC CORP /DE/                         DE       2.02,9.01            02/11/13

CUTERA INC                              DE       2.02,9.01            02/11/13

Cytosorbents Corp                                5.02,8.01,9.01       02/08/13

DANAHER CORP /DE/                       DE       5.02                 02/08/13

DAWSON GEOPHYSICAL CO                   TX       7.01,9.01            02/08/13

Dealertrack Technologies, Inc           DE       7.01,9.01            02/08/13

DecisionPoint Systems, Inc.             DE       5.02                 02/08/13

DEPOMED INC                             CA       5.02                 02/06/13

DEXCOM INC                              DE       5.02                 02/06/13

Dialogic Inc.                           DE       5.02,8.01,9.01       02/07/13

Dialogic Inc.                           DE       1.01,2.03,3.02,9.01  02/07/13

DIGIRAD CORP                            DE       5.08,8.01            02/11/13

Digital Cinema Destinations Corp.       DE       5.02,7.01,9.01       02/11/13

Discover Financial Services             DE       7.01                 02/11/13

Dolby Laboratories, Inc.                DE       5.02,5.07,9.01       02/05/13

DUN & BRADSTREET CORP/NW                DE       2.02,7.01,9.01       02/11/13

DynaVox Inc.                                     2.02,9.01            02/11/13

EAGLE MATERIALS INC                     DE       7.01,9.01            02/11/13

EAGLE ROCK ENERGY PARTNERS L P          DE       5.02,9.01            02/05/13

EASTMAN KODAK CO                        NJ       1.01                 02/11/13

EDIETS COM INC                          DE       5.02                 02/05/13

EnergySolutions, Inc.                   DE       7.01,8.01,9.01       02/11/13

EnergySolutions, Inc.                   DE       7.01,8.01            02/11/13

EnviroStar, Inc.                        DE       2.02,9.01            02/08/13

EPLUS INC                               DE       2.02,9.01            02/06/13

EVANS BANCORP INC                       NY       2.02,9.01            02/07/13

FAIRPOINT COMMUNICATIONS INC            DE       8.01,9.01            02/11/13

FARMERS NATIONAL BANC CORP /OH/         OH       7.01,9.01            02/11/13

FEDERAL AGRICULTURAL MORTGAGE CORP               5.02,9.01            02/05/13

Federal Home Loan Bank of Dallas                 2.03,9.01            02/05/13

Federal Home Loan Bank of Pittsburgh    PA       2.02,7.01            02/11/13

FEDERAL HOME LOAN MORTGAGE CORP                  5.02,9.01            02/11/13

FIFTH THIRD BANCORP                     OH       1.01,2.03            02/07/13

First Connecticut Bancorp, Inc.         MD       7.01,9.01            02/11/13

FIRST FINANCIAL BANCORP /OH/            OH       7.01,9.01            02/11/13

FIRST M&F CORP/MS                       MS       1.01,9.01            02/06/13

FMC TECHNOLOGIES INC                    DE       5.02                 02/08/13

FORWARD AIR CORP                        TN       2.02,8.01,9.01       02/11/13

Freescale Semiconductor, Ltd.           D0       5.02                 02/07/13

Full Circle Capital Corp                MD       2.02,9.01            02/11/13

FULTON FINANCIAL CORP                   PA       7.01,9.01            02/11/13

FXCM Inc.                                        7.01,9.01            02/11/13

GateHouse Media, Inc.                   DE       2.02,9.01            02/11/13

GENCOR INDUSTRIES INC                   DE       2.02,9.01            02/11/13

GENCORP INC                             OH       2.02,7.01,9.01       02/11/13

General Cleaning & Maintenance          NV       5.01,5.02,8.01,9.01  02/11/13

GENESIS ENERGY LP                       DE       1.01,2.03,8.01,9.01  02/11/13

GIGA TRONICS INC                        CA       2.02,9.01            02/08/13

GLOBAL CASINOS INC                      UT       4.02                 02/05/13

GLOBAL GOLD CORP                        DE       4.01,9.01            02/07/13

Guaranty Bancorp                        DE       7.01,9.01            02/11/13

GULFPORT ENERGY CORP                    DE       7.01,9.01            02/11/13

HCA Holdings, Inc.                               8.01,9.01            02/11/13

Heckmann Corp                           DE       8.01,9.01            11/30/12    AMEND

Heritage-Crystal Clean, Inc.            DE       1.01,2.03,9.01       02/05/13

Heron Lake BioEnergy, LLC               MN       4.02                 02/08/13

Hillenbrand, Inc.                       IN       9.01                 02/11/13    AMEND

HOME LOAN SERVICING SOLUTIONS, LTD.     E9       7.01,9.01            02/11/13

HORIZON PHARMA, INC.                    DE       2.02,9.01            02/11/13

Huixin Waste Water Solutions, Inc.      E9       1.01,9.01            02/06/12

ICAHN ENTERPRISES L.P.                  DE       8.01,9.01            02/11/13

IDERA PHARMACEUTICALS, INC.             DE       8.01                 02/05/13

Ingredion Inc                           DE       5.02,9.01            02/05/13

INTERMOLECULAR INC                      DE       1.01                 02/06/13

INTERNATIONAL SHIPHOLDING CORP          DE       8.01,9.01            02/11/13

INTRUSION INC                           DE       2.02,9.01            02/11/13

IVANHOE ENERGY INC                               7.01,9.01            02/08/13

JBI, INC.                               NV       8.01,9.01            02/11/13

KADANT INC                              DE       5.02                 02/06/13

Kosmos Energy Ltd.                      D0       2.02,7.01,8.01,9.01  02/11/13

KROGER CO                               OH       8.01,9.01            01/18/13

KV PHARMACEUTICAL CO /DE/               DE       7.01,9.01            02/05/13

LaPorte Bancorp, Inc.                   MD       7.01,9.01            02/11/13

Legal Life Plans, Inc.                  DE       8.01,9.01            02/05/13

Liberty Global, Inc.                    DE       7.01                 02/11/13

Liberty Global, Inc.                    DE       2.02,7.01            02/11/13

Lincolnway Energy, LLC                  IA       7.01,9.01            02/11/13

LIONS GATE ENTERTAINMENT CORP /CN/      A1       2.02,9.01            02/11/13

LOCAL Corp                              DE       1.01,5.02,9.01       02/07/13

Location Based Technologies, Inc.       NV       5.02                 02/07/13

LOEWS CORP                              DE       2.02,9.01            02/11/13

LYDALL INC /DE/                         DE       2.02,2.06            02/07/13

MANNKIND CORP                           DE       2.02,9.01            02/11/13

MASCO CORP /DE/                         DE       2.02,9.01            02/11/13

MB FINANCIAL INC /MD                             7.01                 02/11/13

MDU RESOURCES GROUP INC                 DE       5.02                 02/06/13

MEDICAL ACTION INDUSTRIES INC           DE       2.02,9.01            02/11/13

MEI Pharma, Inc.                        DE       5.02,9.01            02/07/13

METRO BANCORP, INC.                              7.01,8.01,9.01       02/11/13

MILLER ENERGY RESOURCES, INC.           TN       7.01,9.01            02/11/13

MITEL NETWORKS CORP                              5.02,7.01,9.01       02/11/13

MOLINA HEALTHCARE INC                   DE       8.01,9.01            02/11/13

MOLINA HEALTHCARE INC                   DE       7.01,9.01            02/11/13

MYOS Corp                               NV       5.02,9.01            02/06/13

NAPCO SECURITY TECHNOLOGIES, INC        DE       5.02,9.01            11/29/11

National Bank Holdings Corp             DE       7.01,9.01            02/08/13

NATIONAL FINANCIAL PARTNERS CORP                 1.01,1.02,2.03,9.01  02/08/13

NATIONAL FUEL GAS CO                    NJ       7.01,9.01            02/11/12

National Interstate CORP                OH       2.02,9.01            02/07/13

Neiman Marcus, Inc.                     DE       1.01,2.03            02/08/13

NeoStem, Inc.                           DE       5.02,7.01,9.01       02/11/13

NEWBRIDGE BANCORP                       NC       1.01,5.02,9.01       02/08/13

NEWCASTLE INVESTMENT CORP               MD       2.02,8.01,9.01       02/11/13

NEWS CORP                                        8.01,9.01            02/11/13

Nielsen Holdings N.V.                   P7       1.01                 02/07/13

Nielsen Holdings N.V.                   P7       2.02,8.01,9.01       02/11/13

NII HOLDINGS INC                        DE       8.01,9.01            02/11/13

NORTH BAY RESOURCES INC                 DE       3.02,9.01            02/04/13

NORTH BAY RESOURCES INC                 DE       4.02                 02/06/13

Northern Tier Energy LP                 DE       7.01,9.01            02/11/13

Northfield Bancorp, Inc.                DE       7.01,9.01            02/11/13

NorthStar Healthcare Income, Inc.       MD       7.01                 02/11/13

Norwegian Cruise Line Holdings Ltd.              2.02,9.01            02/11/13

NU SKIN ENTERPRISES INC                 DE       1.01,2.03            02/11/13

Oak Ridge Financial Services, Inc.      NC       8.01                 02/06/13

OCEANFIRST FINANCIAL CORP               DE       7.01,9.01            02/11/13

OMEGA COMMERCIAL FINANCE CORP           WY       1.01,7.01,9.01       02/08/13

ONYX PHARMACEUTICALS INC                DE       5.02,9.01            02/04/13

Opexa Therapeutics, Inc.                TX       7.01,9.01            02/11/13

Opexa Therapeutics, Inc.                TX       8.01,9.01            02/11/13

OXYGEN BIOTHERAPEUTICS, INC.            DE       1.01,8.01,9.01       02/05/13

PARKER DRILLING CO /DE/                 DE       5.02,9.01            02/08/13

PARKWAY PROPERTIES INC                  MD       2.02,7.01,9.01       02/11/13

PARTNERRE LTD                                    8.01                 02/06/13

PEOPLES BANCORP INC                     OH       7.01,9.01            02/11/13

PEPSICO INC                             NC       5.02,9.01            02/07/13

Phillips 66                             DE       8.01                 02/11/13

PopBig, Inc.                            DE       4.01,9.01            01/31/13    AMEND

PPL Corp                                         8.01,9.01            02/11/13

PUGET SOUND ENERGY INC                  WA       1.01,1.02,2.03,9.01  02/04/13

QUALYS, INC.                            DE       2.02,9.01            02/11/13

QUIKSILVER INC                          DE       3.01,5.02            02/05/13

RADIAN GROUP INC                        DE       2.02,9.01            02/11/13

RealD Inc.                              DE       5.02,9.01            02/11/13

RealD Inc.                              DE       5.02,9.01            02/11/13

REALTY INCOME CORP                      MD       9.01                 02/11/13

RED MOUNTAIN RESOURCES, INC.            FL       1.01,2.03,3.02,9.01  02/05/13

REEDS INC                               DE       7.01,9.01            02/08/13

RENASANT CORP                           MS       1.01,9.01            02/06/13

REO PLUS, INC.                          TX       1.01,2.03,9.01       02/11/13

REPROS THERAPEUTICS INC.                DE       5.02,9.01            02/05/13

REPROS THERAPEUTICS INC.                DE       8.01,9.01            02/11/13

REPROS THERAPEUTICS INC.                DE       7.01,9.01            02/11/13

Revel AC, Inc.                          DE       1.01,9.01            02/05/13

REVLON CONSUMER PRODUCTS CORP           DE       8.01,9.01            02/08/13

REVLON CONSUMER PRODUCTS CORP           DE       8.01                 02/11/13

REVLON INC /DE/                         DE       8.01,9.01            02/11/13

REVLON INC /DE/                         DE       8.01                 02/11/13

Rexnord Corp                            DE       7.01,9.01            02/11/13

Rexnord Corp                            DE       2.02,9.01            02/11/13

REYNOLDS AMERICAN INC                            9.01                 02/11/13

ROBERTS REALTY INVESTORS INC            GA       1.02,2.01,2.04       02/07/13

ROYAL HAWAIIAN ORCHARDS, L.P.           DE       5.02,9.01            02/11/13

S&T BANCORP INC                         PA       7.01,9.01            02/11/13

SAKS INC                                TN       5.02                 02/05/13

SCG Financial Acquisition Corp.         DE       7.01,9.01            02/11/13

SCHLUMBERGER LTD /NV/                   P8       5.02                 02/06/13

SELECTIVE INSURANCE GROUP INC           NJ       7.01,9.01            02/11/13

SELECTIVE INSURANCE GROUP INC           NJ       8.01,9.01            02/11/13

Sentio Healthcare Properties Inc        MD       8.01,9.01            02/10/13

Sequoia Mortgage Trust 2012-6                    8.01,9.01            02/11/13

SERVOTRONICS INC /DE/                   DE       5.02                 02/07/13

Shire plc                                        8.01,9.01            02/11/13

SIFCO INDUSTRIES INC                    OH       2.02,9.01            02/11/13

SILVER BULL RESOURCES, INC.             NV       1.01,8.01,9.01       02/06/13

Skilled Healthcare Group, Inc.          DE       2.02,9.01            02/11/13

SOUTH DAKOTA SOYBEAN PROCESSORS LLC              8.01                 02/07/13

SPAR GROUP INC                          DE       2.02,9.01            02/07/13

SPINDLE, INC.                           NV       4.02                 02/06/13

SPINDLE, INC.                           NV       5.02                 02/06/13

STARWOOD PROPERTY TRUST, INC.                    8.01,9.01            02/11/13

Starz                                   DE       7.01,9.01            02/11/13

Starz                                   DE       2.03,7.01,9.01       02/05/13

Starz, LLC                              DE       7.01,9.01            02/11/13

Starz, LLC                              DE       2.03,7.01,9.01       02/05/13

Station Casinos LLC                     NV       8.01                 02/05/13

STONERIDGE INC                          OH       2.02,9.01            02/07/13

Synthetic Biologics, Inc.               NV       7.01,9.01            02/11/13

TCF FINANCIAL CORP                      DE       7.01,9.01            02/11/13

TECUMSEH PRODUCTS CO                    MI       5.02,7.01,9.01       02/08/13

TESORO LOGISTICS LP                     DE       2.02,9.01            02/11/13

Tribute Pharmaceuticals Canada Inc.              1.01,2.01,2.03,3.02, 12/01/11    AMEND
                                                 5.02,8.01,9.01

tw telecom inc.                         DE       2.02,9.01            02/11/13

Two Harbors Investment Corp.                     7.01,9.01            02/11/13

TWO RIVERS WATER Co                     CO       7.01                 02/11/13

U.S. RARE EARTH MINERALS, INC           NV       5.02                 02/11/13

U.S. SILICA HOLDINGS, INC.              DE       8.01                 02/08/13

Unilife Corp                            DE       1.01,9.01            02/11/13

United Financial Bancorp, Inc.                   7.01,9.01            02/11/13

Utilicraft Aerospace Industries, Inc.   NV       5.02,9.01            02/11/13

VALIDUS HOLDINGS LTD                             7.01,9.01            02/11/13

VALLEY NATIONAL BANCORP                 NJ       7.01,9.01            02/11/13

VERTEX PHARMACEUTICALS INC / MA         MA       5.03,9.01            02/05/13

VMWARE, INC.                            DE       5.07                 02/06/13

VONAGE HOLDINGS CORP                    DE       5.02                 02/06/13

WAUSAU PAPER CORP.                      WI       2.02,9.01            02/11/13

WELLS FARGO & COMPANY/MN                DE       9.01                 02/11/13

WEYERHAEUSER CO                         WA       1.01                 12/12/12

Wheeler Real Estate Investment Trust,   MD       1.01,9.01            02/05/13

WINMARK CORP                            MN       7.01,8.01,9.01       02/08/13

XPLORE TECHNOLOGIES CORP                DE       2.02,9.01            02/11/13

YADKIN VALLEY FINANCIAL CORP            NC       8.01,9.01            02/11/13

http://www.sec.gov/news/digest/2013/dig021213.htm

SEC News Digest