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Commission announcementsSEC Approves 2013 PCAOB Budget and Accounting Support FeeThe Securities and Exchange Commission today unanimously approved the 2013 budget of the Public Company Accounting Oversight Board (PCAOB) and the related annual accounting support fee as required by the Sarbanes-Oxley Act of 2002. The PCAOB budget totals $245.6 million and will be funded primarily by the collection of an accounting support fee totaling $234 million. “It is critical that the PCAOB has the resources it needs to get the job done,” said SEC Chairman Elisse B. Walter. “This budget review and approval process allows the SEC to determine appropriate funding levels and ensure that funds collected from issuers and broker-dealers are used efficiently and effectively.” (Press Rel. 2013-21) ENFORCEMENT PROCEEDINGSIn the Matter of Execute Sports, Inc., FacePrint Global Solutions, Inc., FinancialContent, Inc., and Firstgold Corp.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Four Respondents (Default Order) in Eco Global Corp., Admin. Proc. No. 3-15176. The Order Instituting Proceedings alleged that Execute Sports, Inc., FacePrint Global Solutions, Inc., FinancialContent, Inc., and Firstgold Corp. (collectively, Respondents) repeatedly failed to file timely periodic reports while their 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 registered securities of Respondents, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-68914; File No. 3-15176) In the Matter of Stephen M. StraussOn February 13, 2013, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Order) against Stephen M. Strauss. The Order finds that Stephen M. Strauss participated in the offering of a penny stock, Chilmark Entertainment Group, Inc., of which he was CEO and chairman. Strauss was also a direct/indirect owner of Malory Investments, LLC, a broker-dealer. The Commission further found that Strauss was permanently enjoined from violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder by the United States District Court for the Northern District of Mississippi. Based on the above, the Order bars Stephen M. Strauss from associating with any broker, dealer, investment adviser, municipal securities dealer or transfer agent. The Order further bars Strauss from participating in the offering of a penny stock. Strauss consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted the entry of the injunction. (Rel. 34-68920; File No. 3-14980) Court Enters Final Judgments Against Former Wall Street Banker, Downstream Russian Trader and Trader’s Wife in Insider Trading SchemeThe Securities and Exchange Commission announced that on January 14, 2013, the Honorable Alvin K. Hellerstein of the United States District Court for the Southern District of New York entered a final judgment by default against defendant Alexander Vorobiev (Vorobiev) and his wife, relief defendant Tatiana Vorobieva (Vorobieva) (collectively, the Vorobievs), for their role in a serial scheme involving insider trading ahead of numerous health care-related acquisitions, tender offers, and other transactions. Also, the Commission announced that on October 3, 2012, Judge Hellerstein entered a final judgment against Igor Poteroba (Poteroba), formerly an investment banker with UBS Securities LLC (UBS), who also had been charged in this matter with insider trading for misappropriating highly confidential inside information from UBS about those health care transactions and tipping that information to his friend, Aleksey Koval (Koval), also a financial professional, who, in turn, tipped Vorobiev. The Commission's complaint, filed on March 24, 2010, alleges that, from at least July 2005 through February 2009, Poteroba, Koval, and Vorobiev participated in an insider trading ring that netted over $1 million in illicit profits. According to the complaint, Poteroba was the source of material, nonpublic information about eleven impending corporate transactions, which he obtained through his work as an investment banker in UBS's Global Healthcare Group. The Commission alleged that Poteroba tipped defendant Koval with the material, nonpublic information and Koval, in turn, tipped his friend Vorobiev and placed trades through an account maintained by Vorobiev. Vorobiev also traded in his and his wife’s accounts. Accordingly, Vorobieva was named as a relief defendant. The final judgment in the civil action against Poteroba found him liable for disgorgement of his tippees’ trading profits in the amount of $416,336, together with prejudgment interest in the amount of $49,071. The final judgment deemed these amounts satisfied by Poteroba’s payment of forfeiture of $465,095 in a parallel criminal proceeding. No civil penalty was imposed on Poteroba in the final judgment. The Vorobievs failed to respond to the complaint and the Commission moved for entry of judgment by default. The final judgment in the civil action against Vorobiev: (1) permanently enjoined him from violating Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder; (2) found him liable for disgorgement in the amount of $146,541.20, together with prejudgment interest in the amount of $21,389.80; and (3) imposed a civil penalty of $1,885,382. The final judgment against Vorobieva found her liable for disgorgement in the amount of $481,919.71, together with prejudgment interest in the amount of $70,343.12. In partial satisfaction of the judgments, the Court ordered that nearly $345,000 in funds held in brokerage accounts in the Vorobievs’ names, frozen by court order in the SEC’s action, be remitted to the SEC for transfer to the U.S. Treasury. For additional information, see Litigation Releases Nos. 21460 (March 25, 2010) and 21681 (Oct. 4, 2010). [SEC v. Igor Poteroba, Aleksey Koval, Alexander Vorobiev, and Relief Defendants Tatiana Vorobieva and Anjali Walter, Civil Action No. 1:10-CV-2667 (AKH) (S.D.N.Y.)] (LR-22617) INVESTMENT COMPANY ACT RELEASESAdvisorShares Investments, LLCAdvisorShares TrustA notice has been issued giving interested persons until March 8, 2013, to request a hearing on an application filed by AdvisorShares Investments, LLC and AdvisorShares Trust for an order exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (Rel. IC-30381 - February 12) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NYSE Arca, Inc. to amend the NYSE Arca Options Fee Schedule to introduce a new electronic customer rate for certain executions that take liquidity (SR-NYSEArca-2013-11) 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. 34-68898) A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend its Fee Schedule (SR-CBOE-2013-014) 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. 34-68900) A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2013-023) to amend Rules 7014 and 7018 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. 34-68905) A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2013-13) to amend the Schedule of Fees 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. 34-68906) A proposal filed by the Chicago Stock Exchange, Inc. to amend Article 8, Rule 13 of its Rules (SR-CHX-2013-05) has become immediately effective pursuant to Section 19(b)(3) of the Securities Exchange Act of 1934. The filing corrects a citation error. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68908) A proposed rule change filed by NASDAQ OMX BX, Inc. to modify BX’s Fee Schedule governing order execution (SR-BX-2013-011) 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. 34-68909) A proposed rule change filed by NYSE Arca, Inc. relating to the WisdomTree Euro Debt Fund (SR-NYSEArca-2013-16) 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. 34-68910) A proposed rule change, (SR-NASDAQ-2013-025), filed by The NASDAQ Stock Market LLC, relating to rebates to add liquidity in Penny Pilot options 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. 34-68911) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2013-13) amending Exchange Rule 7.11 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. 34-68912) A proposed rule change filed by the NASDAQ Stock Market LLC (SR-NASDAQ-2013-024) to clarify the measure used to determine whether the price of a stock is equal to or greater than one dollar under Rule 4120(a)(11) 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. 34-68913) Proposed Rule ChangeNASDAQ OMX PHLX LLC filed a proposed rule change (SR-PHLX-2013-05) pursuant to Section 19(b)(1) of the Securities Exchange Act, and Rule 19b-4 thereunder regarding catastrophic errors. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68907) 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-1 Portus Holdings Inc., 110 EAST BROWARD BLVD, SUITE 1700, FORT LAUDERDALE, FL, 33301, 954-778-8211 - 4,000,000 ($12,000,000.00) Equity, (File 333-186588 - Feb. 12) (BR. 08C) S-1 AVRA Surgical Robotics, Inc., C/O STAMELL & SCHAGER, LLP, ONE LIBERTY PLAZA, 35TH FLOOR, NEW YORK, NY, 10006, 212-566-4047 - 0 ($15,000,000.00) Equity, (File 333-186609 - Feb. 12) (BR. 07C) S-8 NETWORK 1 SECURITY SOLUTIONS INC, 445 PARK AVENUE, SUITE 1018, NEW YORK, NY, 10022, 2128295770 - 1,655,000 ($2,132,550.00) Equity, (File 333-186612 - Feb. 12) (BR. 03C) S-8 ABIOMED INC, 22 CHERRY HILL DR, DANVERS, MA, 01923, 9787775410 - 1,350,000 ($18,063,000.00) Equity, (File 333-186613 - Feb. 12) (BR. 10A) S-3ASR Sensata Technologies Holding N.V., KOLTHOFSINGEL 8, ALMEMO, P7, 7602 EM, 31-546-979-450 - 0 ($0.00) Equity, (File 333-186615 - Feb. 12) (BR. 10B) S-8 FleetMatics Group plc, 70 WALNUT STREET, SUITE 200, WELLESLEY, MA, 02481, 1-866-844-2235 - 4,973,075 ($64,010,679.00) Equity, (File 333-186616 - Feb. 12) (BR. 03A) S-3ASR CLIFFS NATURAL RESOURCES INC., 200 PUBLIC SQUARE, STE. 3300, CLEVELAND, OH, 44114-2315, 216-694-5700 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186617 - Feb. 12) (BR. 09B) S-8 REYNOLDS AMERICAN INC, 401 NORTH MAIN ST, WINSTON SALEM, NC, 27102, 3367412000 - 0 ($524,040,000.00) Equity, (File 333-186618 - Feb. 12) (BR. 05A) S-1 DecisionPoint Systems, Inc., 8697 RESEARCH DRIVE, IRVINE, CA, 92618, (949) 465-0065 - 12,797,304 ($12,178,963.00) Equity, (File 333-186619 - Feb. 12) (BR. 03B) S-3 Net Element International, Inc., 1450 S. MIAMI AVENUE, MIAMI, FL, 33130, 787-993-9650 - 4,340,000 ($32,550,000.00) Equity, (File 333-186621 - Feb. 12) (BR. 03C) 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
-----------------------------------------------------------------------------------------
A. H. Belo Corp DE 2.02,9.01 02/12/13
ABRAXAS PETROLEUM CORP NV 7.01,9.01 02/12/13
ACCURIDE CORP DE 2.02,7.01,9.01 02/12/13
ACELRX PHARMACEUTICALS INC DE 5.02,9.01 02/11/13
ACQUIRED SALES CORP NV 1.01,2.01,9.01 01/12/13 AMEND
ADDVANTAGE TECHNOLOGIES GROUP INC OK 2.02,7.01,9.01 02/12/13
ADVANCED MICRO DEVICES INC DE 5.02 02/06/13
ALBANY MOLECULAR RESEARCH INC DE 2.02,9.01 02/12/13
ALBEMARLE CORP VA 8.01,9.01 02/12/13
ALCO STORES INC KS 1.01,2.03,7.01,9.01 02/06/13
ALLDIGITAL HOLDINGS, INC. NV 8.01 02/06/13
Allegiant Travel CO NV 7.01,9.01 02/12/13
Alliqua, Inc. FL 7.01,9.01 02/12/13
ALTERNET SYSTEMS INC NV 1.01 02/12/13
AMERICAN FINANCIAL GROUP INC OH 2.02,9.01 02/11/13
American Realty Capital Properties, I MD 8.01,9.01 02/12/13
AMERICAN SCIENCE & ENGINEERING, INC. MA 5.02 02/06/13
Ameris Bancorp GA 7.01,9.01 02/12/13
AMERISTAR CASINOS INC NV 8.01,9.01 02/11/13
APOGEE ENTERPRISES, INC. MN 7.01,9.01 02/11/13
APRICUS BIOSCIENCES, INC. NV 8.01,9.01 02/12/13
ARCH CAPITAL GROUP LTD. 2.02,9.01 02/11/13
Armour Residential REIT, Inc. MD 1.01,5.03,9.01 02/07/13
Artio Global Investors Inc. DE 7.01,9.01 02/12/13
ASSOCIATED BANC-CORP WI 7.01,9.01 02/12/13
AT&T INC. DE 8.01,9.01 02/12/13
Atlas Financial Holdings, Inc. E9 8.01,9.01 02/12/13
ATLAS PIPELINE PARTNERS LP DE 1.01,2.03,3.03,9.01 02/11/13
ATMI INC DE 5.02,9.01 02/11/13
Avantair, Inc DE 2.02,9.01 02/12/13
AVID TECHNOLOGY, INC. DE 5.02,9.01 02/06/13 AMEND
AVIS BUDGET GROUP, INC. DE 7.01,9.01 02/12/13
AVON PRODUCTS INC NY 2.02,9.01 02/12/13
AWARE INC /MA/ MA 2.02,9.01 02/12/13
BALLROOM DANCE FITNESS, INC. FL 4.01 01/30/13
BANCORPSOUTH INC MS 5.02,9.01 02/12/13
Bank of New York Mellon CORP DE 8.01,9.01 02/11/13
Bankrate, Inc. DE 2.02,5.02,7.01,9.01 02/10/13
Banyan Rail Services Inc. DE 1.03,2.04 02/05/13
BERKSHIRE HILLS BANCORP INC DE 7.01,9.01 02/12/13
BIOANALYTICAL SYSTEMS INC IN 4.01,5.02,9.01 02/06/13
Biodel Inc DE 2.02,9.01 02/12/13
BIOGEN IDEC INC. DE 9.01 02/05/13 AMEND
BIOJECT MEDICAL TECHNOLOGIES INC OR 2.02,9.01 02/11/13
BioMed Realty Trust Inc MD 5.03,8.01,9.01 02/12/13
BIOMIMETIC THERAPEUTICS, INC. DE 8.01 02/12/13
Biota Pharmaceuticals, Inc. DE 2.02,9.01 02/12/13
BlackRock Kelso Capital CORP DE 8.01 02/12/13
BLUE NILE INC DE 2.02,9.01 02/12/13
BLUE NILE INC DE 1.01,2.03,9.01 02/11/13
BreitBurn Energy Partners L.P. DE 1.01,7.01,9.01 02/07/13
BRISTOL MYERS SQUIBB DEBENTURE BACKED DE 8.01,9.01 02/01/13
BROADCAST INTERNATIONAL INC UT 8.01 02/06/13
Brookdale Senior Living Inc. DE 2.02,7.01,9.01 02/11/13
Brookdale Senior Living Inc. DE 5.02,9.01 02/11/13
BUFFALO WILD WINGS INC MN 1.01,2.02,2.03,9.01 02/07/13
C H ROBINSON WORLDWIDE INC DE 5.02,9.01 02/07/13
CADENCE DESIGN SYSTEMS INC DE 5.02,9.01 02/12/13
CannaVEST Corp. TX 1.01,2.03,3.02,5.01, 11/16/12
5.02,5.03,5.05,9.01
CAPELLA EDUCATION CO 2.02,9.01 02/12/13
CARVER BANCORP INC DE 9.01 02/08/13
CASEYS GENERAL STORES INC IA 1.01,2.03,9.01 02/08/13
Celanese Corp DE 5.02,9.01 02/06/13
Celator Pharmaceuticals Inc DE 8.01 02/12/13
CENTERLINE HOLDING CO DE 1.01,9.01 02/06/13
Chaparral Energy, Inc. DE 5.02 02/06/13
CHARTER COMMUNICATIONS, INC. /MO/ DE 1.01,8.01,9.01 02/07/13
China Logistics Group Inc FL 4.01,9.01 02/12/13
CHOICE HOTELS INTERNATIONAL INC /DE DE 2.02,9.01 02/11/13
Cindisue Mining Corp DE 8.01,9.01 02/12/13
Clearwire Corp /DE DE 2.02,9.01 02/12/13
CLIFFS NATURAL RESOURCES INC. OH 2.02,9.01 02/12/13
CNB FINANCIAL CORP/PA PA 8.01,9.01 02/12/13
CNO Financial Group, Inc. DE 2.02,9.01 02/12/13
CNO Financial Group, Inc. DE 7.01,9.01 02/12/13
COCA COLA CO DE 2.02,9.01 02/12/13
COMARCO INC CA 1.01,2.03,3.02,5.01, 02/11/13
7.01,9.01
COMCAST CORP PA 1.01,7.01,9.01 02/12/13
Computer Vision Systems Laboratories FL 5.02,9.01 02/08/13
Constellation Energy Partners LLC DE 1.01,2.03,8.01,9.01 02/08/13
ContinuityX Solutions, Inc. DE 5.02,8.01 02/06/13
CORCEPT THERAPEUTICS INC DE 2.02,7.01,9.01 02/12/13
Cornerstone OnDemand Inc DE 2.02,9.01 02/12/13
Corporate Resource Services, Inc. DE 5.03,8.01,9.01 02/12/13
CRAILAR TECHNOLOGIES INC A1 7.01,9.01 02/12/13
CSP INC /MA/ MA 2.02,9.01 02/11/13
CTS CORP IN 5.02 02/08/13
CTS CORP IN 5.02 02/11/13
CU Bancorp CA 7.01,9.01 02/11/13
CULLEN/FROST BANKERS, INC. TX 8.01,9.01 02/12/13
CYNOSURE INC 2.02,9.01 02/12/13
CYTOKINETICS INC 8.01,9.01 02/12/13
DAKOTA PLAINS HOLDINGS, INC. NV 5.02,7.01,9.01 02/08/13
DAWSON GEOPHYSICAL CO TX 7.01,9.01 02/12/13
DEL TORO SILVER CORP. NV 1.01,9.01 02/08/13
DELCATH SYSTEMS INC DE 7.01,9.01 02/12/13
DIEBOLD INC OH 2.02,9.01 02/12/13
Discover Card Execution Note Trust DE 1.01,8.01,9.01 02/12/13
Diversified Restaurant Holdings, Inc. NV 2.02,9.01 02/12/13
Douglas Emmett Inc MD 2.02,9.01 02/12/13
DUCOMMUN INC /DE/ DE 5.02,9.01 02/06/13
Duff & Phelps Corp DE 8.01,9.01 02/12/13
DYNEGY INC. DE 5.02,7.01,9.01 02/12/13
EAGLE BANCORP INC MD 8.01,9.01 02/12/13
EastBridge Investment Group Corp AZ 1.01,2.01,3.02,5.01, 02/06/13
5.02,9.01
EASTGROUP PROPERTIES INC MD 2.02,7.01,9.01 02/12/13
EC Development, Inc. DE 1.01 01/31/13
ECHELON CORP DE 2.02,2.05,9.01 02/12/13
Emo Capital Corp. NV 8.01 02/11/13
EMTEC INC/NJ UT 5.07 02/08/13
ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 02/12/13
ENERGIZER HOLDINGS INC MO 8.01 02/08/13
ENERGY XXI (BERMUDA) LTD D0 8.01,9.01 12/31/12
EnteroMedics Inc 8.01,9.01 02/07/13
ENZON PHARMACEUTICALS INC DE 5.02,5.03,9.01 02/06/13
EPICEPT CORP 1.01,8.01,9.01 02/11/13
EVANS BANCORP INC NY 7.01,9.01 02/12/13
EverBank Financial Corp DE 7.01,9.01 02/12/13
Evolucia Inc. NV 8.01,9.01 02/12/13
ExOne Co DE 8.01,9.01 02/07/13
FARO TECHNOLOGIES INC FL 5.02,9.01 01/04/13 AMEND
Federal Home Loan Bank of Atlanta X1 2.03 02/07/13
Federal Home Loan Bank of Boston X1 2.03 02/06/13
Federal Home Loan Bank of Chicago X1 2.03 02/06/13
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 02/07/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/12/13
Federal Home Loan Bank of New York X1 2.03,9.01 02/07/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/06/13
Federal Home Loan Bank of San Francis X1 2.03 02/06/13
Federal Home Loan Bank of Seattle 2.03 02/07/13
Federal Home Loan Bank of Topeka 2.03,9.01 02/08/13
FEDERAL REALTY INVESTMENT TRUST MD 5.02 02/07/13
FEDERAL REALTY INVESTMENT TRUST MD 2.02,9.01 02/12/13
FERRO CORP OH 2.02,2.05,7.01,8.01, 02/06/13
9.01
Fidelity National Information Service 2.02,8.01,9.01 02/12/13
FIRST CAPITAL INC IN 8.01,9.01 02/11/13
FLAGSTAR BANCORP INC MI 2.02,7.01,9.01 02/08/13
FLUIDIGM CORP DE 2.02,9.01 02/12/13
FMC TECHNOLOGIES INC DE 2.02,9.01 02/12/13
Fortegra Financial Corp DE 5.02 02/06/13
Fortress Investment Group LLC DE 7.01,9.01 02/12/13
FOSSIL INC DE 2.02,9.01 02/12/13
Francesca's Holdings CORP 1.01,5.02,7.01,9.01 02/07/13
FULTON FINANCIAL CORP PA 7.01,9.01 02/12/13 AMEND
FURMANITE CORP DE 8.01,9.01 02/11/13
GENCORP INC OH 5.02 02/06/13
GENELINK INC PA 5.02 02/08/13
GENERAL AIRCRAFT INC. NV 2.05,5.02,5.03 02/11/13
GENERAL ELECTRIC CO NY 1.01 02/12/13
General Finance CORP DE 8.01,9.01 02/12/13
GENESEE & WYOMING INC DE 2.02,8.01,9.01 02/12/13
GENVEC INC DE 1.01 02/12/13
GMS Capital Corp. FL 1.02,5.02 01/16/13
Gold & Gemstone Mining Inc. NV 1.01,9.01 02/08/13
GOLDEN HARVEST Corp 4.01 01/24/13
Golub Capital BDC, Inc. DE 5.07 02/05/13
GOODYEAR TIRE & RUBBER CO /OH/ OH 2.02,9.01 02/12/13
GRAN TIERRA ENERGY INC. NV 1.01 02/07/13
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 02/08/13
GREENWAY MEDICAL TECHNOLOGIES INC 2.02,9.01 02/12/13
HAUPPAUGE DIGITAL INC DE 3.01 02/06/13
HCC INSURANCE HOLDINGS INC/DE/ DE 2.02,9.01 02/12/13
HCP, INC. MD 2.02,9.01 02/12/13
HeartWare International, Inc. DE 5.02 02/07/13
HELIX ENERGY SOLUTIONS GROUP INC MN 1.01,9.01 02/12/13
HELIX ENERGY SOLUTIONS GROUP INC MN 9.01 02/12/13 AMEND
HERCULES OFFSHORE, INC. DE 2.02,9.01 02/12/13
Higher One Holdings, Inc. DE 2.02,7.01,9.01 02/12/13
Higher One Holdings, Inc. DE 1.02 02/08/13
HOPFED BANCORP INC DE 8.01,9.01 02/11/13
Hudson Pacific Properties, Inc. MD 1.01,9.01 02/07/13
HUNTINGTON BANCSHARES INC/MD MD 7.01,9.01 02/12/13
Huntsman CORP DE 2.02,9.01 02/12/13
IHS Inc. DE 7.01,9.01 02/12/13
IMAX CORP A6 1.01,2.03,9.01 02/07/13
INFINITY PHARMACEUTICALS, INC. DE 5.02,9.01 02/06/13
InfuSystem Holdings, Inc DE 1.01,5.02,9.01 02/07/13
Inland American Real Estate Trust, In MD 7.01,9.01 02/12/13
INNOVUS PHARMACEUTICALS, INC. NV 8.01,9.01 02/08/13
INNSUITES HOSPITALITY TRUST OH 4.01,9.01 02/06/13
InspireMD, Inc. DE 5.02,8.01,9.01 02/07/13
INSTEEL INDUSTRIES INC NC 8.01,9.01 02/12/13
Integrated Healthcare Holdings Inc 1.01,3.02,9.01 02/07/13
Invesco Ltd. D0 7.01,9.01 02/11/13
ISABELLA BANK CORP MI 2.02,9.01 02/08/13
J C PENNEY CO INC DE 1.01,2.03,9.01 02/08/13
J&J SNACK FOODS CORP NJ 8.01,9.01 02/12/13
JAVELIN MORTGAGE INVESTMENT CORP. MD 7.01,9.01 02/11/13
JMG Exploration, Inc. NV 1.01,2.01,2.03,3.02, 02/06/13
7.01,9.01
KBW, INC. 5.07,9.01 02/12/13
KNOLL INC DE 5.02 02/06/13
KVH INDUSTRIES INC \DE\ DE 2.02,9.01 02/12/13
LACLEDE GROUP INC MO 7.01,9.01 02/12/13
LACLEDE GROUP INC MO 1.01,7.01,9.01 02/11/13
Lake Shore Bancorp, Inc. X1 7.01,9.01 02/12/13
LANDAUER INC DE 2.02,7.01,9.01 02/11/13
LEARNING TREE INTERNATIONAL INC DE 8.01,9.01 02/12/13
LEHMAN ABS CORP CORP BACK TR AIG DEBE DE 8.01,9.01 01/31/13
LEVEL 3 COMMUNICATIONS INC DE 2.02,9.01 02/12/13
LEVI STRAUSS & CO DE 5.02,9.01 02/06/13
Liberty Global, Inc. DE 2.03 02/07/13
Limelight Networks, Inc. DE 8.01,9.01 02/12/13
LIONS GATE ENTERTAINMENT CORP /CN/ A1 5.02,9.01 02/07/13
LIVEPERSON INC DE 2.02,9.01 02/12/13
LNB BANCORP INC OH 7.01,9.01 02/12/13
LOCKHEED MARTIN CORP MD 5.02,8.01,9.01 02/08/13
LONGWEI PETROLEUM INVESTMENT HOLDING CO 3.01,9.01 02/06/13
Madison Bancorp Inc MD 2.02,9.01 02/11/13
Marina Biotech, Inc. DE 1.01,3.02,9.01 02/07/13
MARSH & MCLENNAN COMPANIES, INC. DE 2.02,9.01 02/12/13
MARTIN MARIETTA MATERIALS INC NC 2.02,7.01,9.01 02/12/13
MARTIN MIDSTREAM PARTNERS LP DE 1.01,2.03,8.01,9.01 02/11/13
Matson, Inc. HI 7.01,9.01 02/12/13
McEwen Mining Inc. CO 7.01,9.01 02/11/13
MCGRAW-HILL COMPANIES INC NY 2.02,7.01,9.01 02/12/13
MEDICAL ALARM CONCEPTS HOLDINGS INC NV 7.01,9.01 02/08/13
MEDL Mobile Holdings, Inc. NV 7.01 12/05/12 AMEND
MELA SCIENCES, INC. /NY 1.01,1.02,8.01,9.01 02/12/13
MGM Resorts International DE 5.02,5.03,9.01 02/08/13
MICRON TECHNOLOGY INC DE 1.01,2.03,3.02,9.01 02/06/13
MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 02/12/13
MINDSPEED TECHNOLOGIES, INC DE 5.02,9.01 02/12/13
MOLINA HEALTHCARE INC DE 8.01,9.01 02/12/13
MONARCH COMMUNITY BANCORP INC MD 2.02,9.01 02/06/13
MOVE INC DE 2.02,9.01 02/12/13
MYLAN INC. PA 5.02,9.01 02/06/13
Nationstar Mortgage Holdings Inc. DE 7.01,9.01 02/12/13
NBCUniversal Media, LLC DE 1.01,7.01,9.01 02/12/13
NEKTAR THERAPEUTICS DE 5.02,7.01 02/06/13
NETGEAR, INC DE 2.02,9.01 02/12/13
NETSOL TECHNOLOGIES INC NV 2.02,9.01 02/12/13
NEW ENERGY TECHNOLOGIES, INC. 8.01 02/11/13
NEW HAMPSHIRE THRIFT BANCSHARES INC DE 2.02 02/01/13
NEW JERSEY RESOURCES CORP NJ 1.01,2.03,9.01 02/08/13
New Source Energy Partners L.P. DE 1.01,7.01,9.01 02/07/13
New Source Energy Partners L.P. DE 5.02,9.01 02/12/13
New York & Company, Inc. 7.01,9.01 02/12/13
NEWFIELD EXPLORATION CO /DE/ DE 5.02,7.01 02/12/13
NEXSTAR BROADCASTING GROUP INC DE 1.01,8.01,9.01 02/12/13
NORTHERN OIL & GAS, INC. 2.02,9.01 02/11/13
NORTHERN TRUST CORP DE 7.01,9.01 02/12/13
NovaCopper Inc. A1 2.01,9.01 02/12/13
Novelis Inc. A6 2.02,9.01 02/12/13
NTS, INC. NV 1.01,2.03,9.01 02/12/13
NUTRI SYSTEM INC /DE/ DE 2.02,5.02,9.01 02/06/13
Omagine, Inc. DE 4.02 11/15/12
OMEGA HEALTHCARE INVESTORS INC MD 2.02,9.01 02/12/13
OMNI BIO PHARMACEUTICAL, INC. CO 7.01,9.01 02/12/13
OMNICOM GROUP INC NY 2.02,9.01 02/12/13
ON SEMICONDUCTOR CORP DE 5.02 02/06/13
ON-AIR IMPACT, INC. NV 1.01,2.03,9.01 02/12/13
Otter Tail Corp MN 2.02,9.01 02/11/13
OWENS & MINOR INC/VA/ VA 2.02,8.01,9.01 02/11/13
PAIN THERAPEUTICS INC DE 5.02,5.03 02/11/13
PATHFINDER BANCORP INC DE 7.01,9.01 02/12/13
Patient Safety Technologies, Inc DE 1.01 01/31/13
PEDEVCO CORP TX 1.02,8.01,9.01 02/12/13
PHH CORP MD 7.01,9.01 02/12/13
Philip Morris International Inc. VA 5.02,9.01 02/07/13
PINNACLE ENTERTAINMENT INC. DE 8.01,9.01 02/12/13
PNC FINANCIAL SERVICES GROUP, INC. PA 2.02,9.01 02/12/13
POZEN INC /NC 7.01,9.01 02/12/13
PROS Holdings, Inc. DE 2.02,9.01 02/12/13
PRUDENTIAL BANCORP INC OF PENNSYLVANI 5.07 02/11/13
PRUDENTIAL FINANCIAL INC NJ 5.03,9.01 02/12/13
PULTEGROUP INC/MI/ MI 5.02,9.01 02/06/13
Pzena Investment Management, Inc. DE 2.02,9.01 12/31/12
Quadrant 4 Systems Corp FL 8.01 02/06/13
QUALITY DISTRIBUTION INC FL 2.02,9.01 02/12/13
QUIDEL CORP /DE/ DE 2.02,9.01 02/12/13
RACKSPACE HOSTING, INC. 2.02,9.01 02/12/13
RADIANT LOGISTICS, INC DE 2.02,9.01 02/11/13
RAMCO GERSHENSON PROPERTIES TRUST MD 2.02,7.01,9.01 02/12/13
ReachLocal Inc 2.02,9.01 02/12/13
RELIV INTERNATIONAL INC DE 3.01 02/08/13
RENASANT CORP MS 8.01,9.01 02/11/13
Resolute Forest Products Inc. DE 2.02,9.01 02/12/13
REYNOLDS AMERICAN INC 2.02,9.01 02/12/13
ROCKWELL COLLINS INC DE 5.07 02/12/13
RPX Corp DE 2.02,5.02,9.01 02/07/13
RUCKUS WIRELESS INC DE 2.02,9.01 02/12/13
Ryman Hospitality Properties, Inc. DE 2.02,9.01 02/12/13
SaasMAX, Inc. NV 4.01 02/11/13 AMEND
SALIX PHARMACEUTICALS LTD 8.01 02/12/13
SAPIENT CORP DE 2.02,9.01 02/12/13
SAUL CENTERS INC MD 1.01,3.03,5.03,9.01 02/06/13
SEATTLE GENETICS INC /WA DE 2.02,9.01 02/12/13
Sentio Healthcare Properties Inc MD 1.01,3.02,3.03,5.02, 02/10/13
8.01,9.01
SERVICE CORPORATION INTERNATIONAL TX 2.02,9.01 02/12/13
SMARTDATA CORP NV 5.03,9.01 02/05/13
SNYDER'S-LANCE, INC. NC 2.02,9.01 02/12/13
SOCKET MOBILE, INC. DE 2.02,9.01 12/31/12
SOUTHERN CO DE 5.03,9.01 02/11/13
SOUTHWEST GAS CORP CA 8.01 02/08/13
SPARTAN MOTORS INC MI 2.02,9.01 02/12/13
SPECTRASCIENCE INC MN 1.01,2.03,3.02,7.01 02/06/13
Spirit AeroSystems Holdings, Inc. DE 2.02,9.01 02/12/13
Spirit Airlines, Inc. DE 7.01,9.01 02/11/13
STERLING FINANCIAL CORP /WA/ WA 8.01 02/11/13
Sucampo Pharmaceuticals, Inc. 7.01,9.01 02/12/13
Summer Infant, Inc. DE 7.01 02/12/13
SUN COMMUNITIES INC MD 1.01,2.01,2.03,3.02, 02/06/13
9.01
Synutra International, Inc. DE 5.02 02/12/13
TANGER FACTORY OUTLET CENTERS INC NC 2.02,7.01,9.01 02/12/13
TANGER FACTORY OUTLET CENTERS INC NC 5.02 02/11/13
TARA GOLD RESOURCES CORP. NV 5.02 02/08/13
Tara Minerals Corp. NV 5.02 02/08/13
TELETOUCH COMMUNICATIONS INC DE 1.01,2.03,3.02,8.01, 02/08/13
9.01
TEREX CORP DE 8.01,9.01 02/11/13
THERAVANCE INC DE 2.02,9.01 02/12/13
THERMOGENESIS CORP DE 1.01,9.01 02/06/13
THERMOGENESIS CORP DE 2.02,9.01 02/12/13
Tianli Agritech, Inc. D8 3.01,9.01 02/06/13
TOR MINERALS INTERNATIONAL INC DE 8.01,9.01 02/12/13
Transcept Pharmaceuticals Inc DE 7.01,9.01 02/12/13
TRANSWITCH CORP /DE DE 2.02,9.01 02/12/13
TRANZYME INC DE 5.02,9.01 02/08/13
TRICO BANCSHARES / CA 5.02 02/06/13
TRIMBLE NAVIGATION LTD /CA/ CA 8.01,9.01 02/11/13
TripAdvisor, Inc. DE 5.02,5.03,9.01 02/06/13
TrovaGene Inc. DE 8.01,9.01 02/12/13
TRULIA, INC. DE 2.02,9.01 02/12/13
TRUSTMARK CORP MS 7.01,9.01 02/12/13
TUESDAY MORNING CORP/DE DE 5.03,9.01 02/06/13
Unilife Corp DE 2.02,7.01,9.01 02/11/13
UNION FIRST MARKET BANKSHARES CORP VA 7.01,9.01 02/12/13
Universal Business Payment Solutions DE 5.03,9.01 02/07/13
UNIVERSAL HOSPITAL SERVICES INC MN 1.01,2.03,9.01 02/12/13
USA Compression Partners, LP 5.02 02/12/13
USChina Taiwan Inc NV 5.02 12/31/12
VALSPAR CORP DE 2.02,9.01 02/12/13
VALUE LINE INC NY 1.01,8.01,9.01 02/07/13
Vanda Pharmaceuticals Inc. DE 2.02,9.01 02/12/13
VECTOR GROUP LTD DE 1.01,2.03,8.01,9.01 02/12/13
Vishay Precision Group, Inc. DE 2.02,9.01 02/12/13
VISION INDUSTRIES CORP FL 2.03,9.01 02/04/13
Vulcan Materials CO NJ 5.02 02/07/13
W R GRACE & CO DE 7.01,9.01 02/12/13
WABASH NATIONAL CORP /DE DE 7.01,9.01 02/12/13
Warner Music Group Corp. DE 1.01,7.01,9.01 02/06/13
WARP 9, INC. NV 5.02 02/11/13
WEB.COM GROUP, INC. DE 7.01,9.01 02/12/13
WEBSTER FINANCIAL CORP DE 7.01 02/12/13
WELLPOINT, INC IN 5.02,7.01,9.01 02/12/13
Western Union CO DE 2.02,7.01,9.01 02/12/13
WET SEAL INC DE 2.02,9.01 02/11/13
WEYERHAEUSER CO WA 5.02 12/12/12
WFRBS Commercial Mortgage Trust 2013- 8.01,9.01 02/12/13
WMI HOLDINGS CORP. WA 7.01,9.01 02/12/13
WOLVERINE WORLD WIDE INC /DE/ MI 5.02 02/06/13
Xenith Bankshares, Inc. VA 5.02 12/19/12
XTREME HEALTHCARE Corp 2.01,3.02,5.06,9.01 11/12/12 AMEND
Zalicus Inc. DE 2.02,7.01 02/12/13
ZEBRA TECHNOLOGIES CORP 2.02,9.01 02/12/13
ZIONS BANCORPORATION /UT/ UT 7.01,9.01 02/12/13
ZIOPHARM ONCOLOGY INC DE 8.01,9.01 02/12/13
ZIPCAR INC 8.01,9.01 02/12/13
http://www.sec.gov/news/digest/2013/dig021313.htm
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