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Commission AnnouncementsSEC Suspends Trading in Securities of VitaminSpice Inc.The Securities and Exchange Commission (“Commission”) ordered the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the “Exchange Act”), of trading in the securities of VitaminSpice, Inc., (“VitaminSpice”), quoted on OTC Link, operated by OTC Markets Group, Inc., because of questions regarding the adequacy of current financial information available about VitaminSpice; and the accuracy of assertions by VitaminSpice, and by others, in press releases to investors, in periodic financial filings and in internet promotions concerning, among other things, the company’s revenues and operations. VitaminSpice’s ticker symbol is VTMS. The trading suspension will last for ten business days. The trading suspension commenced at 9:30 a.m. EST on February 19, 2013, and terminates at 11:59 p.m. EST on March 4, 2013. 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 VitaminSpice. 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 the above-named 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 contact the following individuals: Sanjay Wadhwa, (212) 336-0181, wadhwas@sec.gov, Associate Regional Director, New York Regional Office or Michael Paley, (212) 336-0145, paleym@sec.gov, Assistant Regional Director, New York Regional Office. (Rel. 34-68948) ENFORCEMENT PROCEEDINGSDelinquent Filer’s Stock Registration RevokedThe registration of the registered securities of AlphaTrade.com has been revoked. It had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, it 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 revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-68946; File No. 3-15180) Commission Revokes Registration of Securities of Eco Global Corporation for Failure to Make Required Periodic FilingsOn February 19, 2013, the Commission revoked the registration of each class of registered securities of Eco Global Corporation (ECOG) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, ECOG consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Eco Global Corporation finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of ECOG’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against ECOG in In the Matter of Eco Global Corporation, et al., Administrative Proceeding File No. 3-15176. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Eco Global Corporation, et al., Administrative Proceeding File No. 3-15176, Exchange Act Release No. 68664 (January 16, 2013). (Rel. 34-68947; File No. 3-15176) In the Matter of Oxford Investment Partners, LLC and Walter J. ClarkeOn Jan. 15, 2013, the Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940 as to of Oxford Investment Partners, LLC and an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 as to Walter J. Clarke (collectively, the Orders). The Orders find that Oxford and Clarke fraudulently inflated the price at which Clarke sold an interest in Oxford to an advisory client. The Order further finds that Oxford and Clarke recommended and placed several clients in investments in which Clarke and/or Oxford had personal and pecuniary interests without first disclosing those conflicts of interest. Based on the above, Oxford and Clarke were ordered to cease and desist from committing or causing any violations and any future violations of Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 promulgated thereunder; Oxford was censured; Clarke was barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and prohibited from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter, with the right to reapply after two years; and, Oxford and Clarke were ordered to pay $112,000 plus $22,295 in prejudgment interest thereon and a $140,000 penalty, jointly and severally. Oxford and Clarke consented to the issuance of their respective Order without admitting or denying any of the findings, except as to the Commission’s jurisdiction and the subject matter of the proceedings, which were admitted. (Rel. IA-3553; IA-3554; IC-30384; IC-30385; File No. 3-14899) INVESTMENT COMPANY ACT RELEASESUBS AG, et al.The Commission has issued a temporary order to UBS AG, et al. under Section 9(c) of the Investment Company Act of 1940 (Act) with respect to a guilty plea entered on December 19, 2012, by UBS Securities Japan Co., Ltd. (Settling Firm) in the U.S. District Court for the District of Connecticut in connection with a plea agreement between the Settling Firm and the U.S. Department of Justice. The temporary order exempts applicants and companies of which the Settling Firm is or becomes an affiliated person from the provisions of Section 9(a) of the Act, until the Commission takes final action on an application for a permanent order. The Commission also has issued a notice giving interested persons until March 12, 2013, to request a hearing on the application filed by applicants for a permanent order under Section 9(c) of the Act. (Rel. IC-30383 – February 15) SELF-REGULATORY ORGANIZATIONSDesignation 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-NASDAQ-2012-137), as modified by Amendment Nos. 1 and 3 thereto, filed by The NASDAQ Stock Market LLC to Establish the Market Quality Program. Publication is expected in the Federal Register during the week of February 18. (Rel. 34-68925) 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-CME-2012-34) filed by Chicago Mercantile Exchange Inc. related to the liquidity factor of CME’s CDS margin methodology. Publication is expected in the Federal Register during the week of February 18. (Rel. 34-68929) Proposed Rule ChangesNYSE MKT LLC filed a proposed rule change (SR-NYSEMKT-2013-12) pursuant to Section 19(b)(1) of the Securities Exchange Act, and Rule 19b-4 thereunder amending Rule 975NY in part and adding a new section to address errors that involve Complex Orders. Publication is expected in the Federal Register during the week of February 18. (Rel. 34-68926) NYSE ARCA INC. filed a proposed rule change (SR-NYSEARCA-2013-15) pursuant to Section 19(b)(1) of the Securities Exchange Act, and Rule 19b-4 thereunder amending Rule 6.87 in part and adding a new section to address errors that involve Complex Orders. Publication is expected in the Federal Register during the week of February 18. (Rel. 34-68927) ICE Clear Credit LLC (ICC) filed a proposed rule change (File No. SR-ICC-2013-01) under Section 19(b)(1) of the Securities Exchange Act of 1934 to update Chapter 26 and remove Schedule 502 of the ICE Clear Credit Rules. Publication is expected in the Federal Register during the week of February 18. (Rel. 34-68928) Pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, NYSE Arca, Inc. has filed a proposed rule change, as modified by Amendment No. 1 (SR-NYSEArca-2013-14), relating to the listing and trading of shares of the Cambria Shareholder Yield ETF pursuant to NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of February 18. (Rel. 34-68930) New York Stock Exchange LLC has filed a proposed rule change (SR-NYSE-2013-07) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder amending NYSE Rules 451 and 465, and the related provisions of Section 402.10 of the NYSE Listed Company Manual, which provide a schedule for the reimbursement of expenses by issuers to NYSE member organizations for the processing of proxy materials and other issuer communications provided to investors holding securities in street name, and to establish a five-year fee for the development of enhanced brokers internet platforms. Publication is expected in the Federal Register during the week of February 18. (Rel. 34-68936) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the text in the Exchange Fees Schedule (SR-CBOE-2013-021) 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 18. (Rel. 34-68932) A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2013-020) to renew an existing pilot program for an additional fourteen months 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 18. (Rel. 34-68933) A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the CBOE Stock Exchange Fees Schedule (SR-CBOE-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 18. (Rel. 34-68941) A proposed rule change filed by Financial Industry Regulatory Authority, Inc. to amend section 4 of schedule a to the FINRA by-laws to adopt a waiver process for the continuing membership application fee and amend NASD rules 1013 and 1017 to provide for a refund of the application fee for the withdrawal of a new member or continuing membership application (SR-FINRA-2013-015) 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 18. (Rel. 34-68942) Notice of No Objection to Advance NoticeThe Commission has issued a notice of no objection to an advance notice (SR-OCC-2012-801), as modified by Amendment No. 1 thereto, filed by The Options Clearing Corporation (OCC) under Section 806(e)(1)(I) of the Payment, Clearing, and Settlement Supervision Act of 2010 to enter into an unsecured, committed credit agreement. Publication is expected in the Federal Register during the week of February 18. (Rel. 34-68935) Approval of Proposed Rule ChangesThe Commission granted approval of a proposed rule change submitted by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-129) to establish the Retail Price Improvement Program on a pilot basis until 12 months from the date of implementation. Publication is expected in the Federal Register during the week of February 18. (Rel. 34-68937) The Commission approved a proposed rule change (SR-ICC-2012-23) filed by ICE Clear Credit LLC (ICC) under Section 19(b)(1) of the Securities Exchange Act of 1934 to add rules related to the clearing of iTraxx Europe index CDS. Publication is expected in the Federal Register during the week of February 18. (Rel. 34-68938) 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 MASIMO CORP, 40 PARKER, IRVINE, CA, 92618, 949-297-7000 - 0 ($34,659,717.00) Equity, (File 333-186692 - Feb. 15) (BR. 10B) S-3ASR MASIMO CORP, 40 PARKER, IRVINE, CA, 92618, 949-297-7000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186693 - Feb. 15) (BR. 10B) S-3ASR HONEYWELL INTERNATIONAL INC, 101 COLUMBIA RD, PO BOX 4000, MORRISTOWN, NJ, 07962, 9734552000 - 0 ($0.00) Other, (File 333-186695 - Feb. 15) (BR. 05C) S-8 MBT FINANCIAL CORP, 102 EAST FRONT STREET, MONROE, MI, 48161, 7342422893 - 500,000 ($1,762,500.00) Equity, (File 333-186696 - Feb. 15) (BR. 07C) S-8 IROBOT CORP, 8 CROSBY DRIVE, BEDFORD, MA, 01730, 781-430-3000 - 1,250,175 ($25,766,106.75) Equity, (File 333-186700 - Feb. 15) (BR. 11A) S-3ASR UNITED STATES STEEL CORP, 600 GRANT ST, ROOM 1500, PITTSBURGH, PA, 15219-2800, 415 433 2967 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186702 - Feb. 15) (BR. 06A) S-3 MidWestOne Financial Group, Inc., 102 SOUTH CLINTON ST., IOWA CITY, IA, 52240, 319-356-5800 - 0 ($1.00) Unallocated (Universal) Shelf, (File 333-186703 - Feb. 15) (BR. 07C) S-3 INTL FCSTONE INC., 708 THIRD AVENUE, SUITE 1500, NEW YORK, NY, 10017, 212-485-3500 - 0 ($250,000,000.00) Unallocated (Universal) Shelf, (File 333-186704 - Feb. 15) (BR. 12A) S-8 Clean Energy Fuels Corp., 3020 OLD RANCH PARKWAY, SUITE 400, SEAL BEACH, CA, 90740, (562) 493-2804 - 0 ($12,975,000.00) Equity, (File 333-186705 - Feb. 15) (BR. 02C) S-1 BIGFOOT PROJECT INVESTMENTS INC, 570 EL CAMINO REAL NR-150, REDWOOD CITY, CA, 94063, 858-216-6554 - 237,490,000 ($23,749,000.00) Equity, (File 333-186706 - Feb. 15) (BR. 05) S-8 PVH CORP. /DE/, 200 MADISON AVENUE, NEW YORK, NY, 10016, 2123813500 - 1,442,940 ($171,192,990.00) Equity, (File 333-186707 - Feb. 15) (BR. 09B) S-1 Quintiles Transnational Holdings Inc., 4820 EMPEROR BLVD., DURHAM, NC, 27703, 919-998-2000 - 0 ($600,000,000.00) Equity, (File 333-186708 - Feb. 15) (BR. 01) S-4 NORFOLK SOUTHERN CORP, THREE COMMERCIAL PL, NORFOLK, VA, 23510-2191, 7576292680 - 0 ($600,000,000.00) Debt, (File 333-186709 - Feb. 15) (BR. 05B) S-11 Hannon Armstrong Sustainable Infrastructure Capital, Inc., 1906 TOWNE CENTRE BLVD, SUITE 370, ANNAPOLIS, MD, 21401, (410) 571-9860 - 0 ($100,000,000.00) Equity, (File 333-186711 - Feb. 15) (BR. 08B) S-3ASR Aegerion Pharmaceuticals, Inc., 101 MAIN STREET, SUITE 1850, CAMBRIDGE, MA, 02142, (617) 500-7867 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186714 - Feb. 15) (BR. 01A) S-3ASR CSX CORP, 500 WATER STREET, 15TH FLOOR, JACKSONVILLE, FL, 32202, 9043593200 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186715 - Feb. 15) (BR. 05B) S-8 Real Goods Solar, Inc., 833 WEST SOUTH BOULDER ROAD, LOUISVILLE, CO, 80027, 303-222-3600 - 1,700,000 ($1,913,000.00) Equity, (File 333-186722 - Feb. 15) (BR. 06B) S-1 SOPHIRIS BIO INC., 1258 PROSPECT STREET, LA JOLLA, CA, 92037, 858-777-1760 - 0 ($74,750,000.00) Equity, (File 333-186724 - Feb. 15) (BR. 01B) S-8 INNOVUS PHARMACEUTICALS, INC., 80 WEST SIERRA MADRE BLVD., #392, SIERRA MADRE, CA, 91024, 626-227-1630 - 10,000,000 ($3,500,000.00) Equity, (File 333-186725 - Feb. 15) (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
-----------------------------------------------------------------------------------------
Actavis, Inc. NV 2.05 01/03/13 AMEND
ALERE INC. DE 2.02,9.01 02/15/13
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 02/15/13
Ally Master Owner Trust 1.01,8.01,9.01 02/12/13
Altra Holdings, Inc. DE 5.02 02/11/13
AMARANTUS BIOSCIENCE, INC. DE 8.01,9.01 02/15/13
Ameresco, Inc. DE 2.02,9.01 02/14/13
AMERICAN AXLE & MANUFACTURING HOLDING DE 8.01,9.01 02/14/13
American Capital Mortgage Investment MD 1.01,9.01 02/12/13
AMERICAN ELECTRIC POWER CO INC NY 2.02,7.01,9.01 02/15/13
American Exploration Corp NV 1.01,9.01 02/12/13
AMERICAN EXPRESS CO NY 7.01 02/15/13
American Realty Capital Properties, I MD 8.01,9.01 02/15/13
American Realty Capital Properties, I MD 8.01,9.01 02/15/13
American Realty Capital Trust III, In MD 8.01,9.01 02/15/13
American Realty Capital Trust III, In MD 8.01,9.01 02/15/13
Ampio Pharmaceuticals, Inc. DE 8.01,9.01 02/11/13
ANCHOR BANCORP WISCONSIN INC WI 2.02,9.01 02/07/13
APPLIANCE RECYCLING CENTERS OF AMERIC MN 2.02 02/15/13
ARBOR REALTY TRUST INC MD 2.02,9.01 02/15/13
Artio Global Investors Inc. DE 1.01,8.01,9.01 02/13/13
Atlas Financial Holdings, Inc. E9 1.01,8.01,9.01 02/15/13
ATMOS ENERGY CORP TX 5.07,8.01 02/13/13
Avantair, Inc DE 8.01 02/14/13
AVIS BUDGET GROUP, INC. DE 1.01,2.03,9.01 02/13/13
Bacterin International Holdings, Inc. DE 8.01 02/11/13
Bancorp of New Jersey, Inc. NJ 2.02,9.01 02/15/13
BANK MUTUAL CORP WI 8.01 02/13/13
BARD C R INC /NJ/ NJ 5.02 02/13/13
BCSB Bancorp Inc. 5.07 02/13/13
BLUCORA, INC. DE 5.02,9.01 02/14/13
BODY CENTRAL CORP 5.02,5.03,9.01 02/12/13
BROADCAST INTERNATIONAL INC UT 5.02 02/12/13
BSB Bancorp, Inc. MD 2.02,9.01 02/14/13
Burger King Worldwide, Inc. DE 2.02,9.01 02/15/13
CABELAS INC DE 7.01,9.01 02/15/13
CAESARS ENTERTAINMENT Corp DE 1.01,2.03,9.01 02/15/13
Camelot Entertainment Group, Inc. DE 3.02 02/15/13
CAMPBELL SOUP CO NJ 2.02,9.01 02/15/13
CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 02/15/13
CapLease, Inc. 2.02,9.01 02/15/13
Cardiovascular Systems Inc DE 3.02,8.01 02/11/13
Cardium Therapeutics, Inc. DE 8.01,9.01 02/12/13
CC Media Holdings Inc 5.02,9.01 02/13/13
CCOM Group, Inc. NY 1.01,5.02,9.01 02/14/13
CENTENE CORP 1.01,2.03,9.01 02/12/13
CH ENERGY GROUP INC NY 2.03 02/15/13
CH2M HILL COMPANIES LTD DE 8.01 02/15/13
Charter Financial Corp MD 1.01,8.01,9.01 02/11/13
CHARTER FINANCIAL CORP/GA 1.01,8.01,9.01 02/11/13
China Advanced Construction Materials DE 2.02,7.01,9.01 02/15/13
CHINA JO-JO DRUGSTORES, INC. 2.02,9.01 02/14/13
CHINA SHOUGUAN MINING Corp NV 1.01,9.01 02/08/13
Cinedigm Digital Cinema Corp. DE 2.02,9.01 02/13/13 AMEND
CLEAR CHANNEL COMMUNICATIONS INC TX 5.02,9.01 02/13/13
COACH INC MD 5.02,9.01 02/13/13
COEUR D ALENE MINES CORP ID 7.01,9.01 02/15/13
ConnectOne Bancorp, Inc. NJ 8.01,9.01 02/15/13
CONSTELLATION BRANDS, INC. DE 1.01,1.02,2.03,7.01, 02/13/13
8.01,9.01
Copano Energy, L.L.C. 5.02,9.01 02/11/13
Corporate Resource Services, Inc. DE 8.01,9.01 02/15/13
COTT CORP /CN/ 2.02,8.01,9.01 02/15/13
CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 02/15/13
CSP INC /MA/ MA 5.07 02/12/13
CUI Global, Inc. CO 1.01 04/03/12
CULLEN/FROST BANKERS, INC. TX 3.03,5.03,8.01,9.01 02/12/13
DCP Holding CO OH 8.01 02/13/13
DELL INC DE 1.01,9.01 02/05/13 AMEND
Demandware Inc DE 5.02 02/15/13
Dewmar International BMC, Inc. NV 1.01,9.01 11/27/12
Digital Realty Trust, Inc. 2.02,7.01,9.01 02/15/13
DIRECTV DE 5.02,9.01 02/11/13
DISH Network CORP NV 2.06 02/12/13
DIVALL INSURED INCOME PROPERTIES 2 LI WI 2.02,7.01,9.01 02/15/13
DIXIE GROUP INC TN 5.02,9.01 02/14/13
DREWRYS BREWING CO NV 4.01,9.01 02/15/13
DS HEALTHCARE GROUP, INC. FL 9.01 11/01/12 AMEND
EAGLE BANCORP INC MD 5.02,9.01 02/11/13
EDUCATION MANAGEMENT CORPORATION 8.01,9.01 02/15/13
EMPIRE DISTRICT ELECTRIC CO KS 2.02,9.01 02/14/13
ENDEAVOUR INTERNATIONAL CORP NV 5.02 02/14/13
Enduro Royalty Trust DE 2.02,9.01 02/15/13
Enduro Royalty Trust DE 7.01,9.01 02/15/13
Energizer Tennis Inc. NV 4.01,9.01 01/10/13
ENVIRONMENTAL TECTONICS CORP PA 8.01,9.01 02/15/13
FBL FINANCIAL GROUP INC IA 5.03,8.01 02/14/13
FIRST DEFIANCE FINANCIAL CORP OH 7.01,9.01 02/15/13
First Savings Financial Group Inc 5.07 02/13/13
FIRST TRUST SPECIALTY FINANCE & FINAN 7.01,9.01 02/15/13
FIVE STAR QUALITY CARE INC 2.02,9.01 02/15/13
Flux Power Holdings, Inc. NV 7.01,9.01 02/15/13
FONAR CORP DE 2.02 12/31/12
FOREST OIL CORP NY 7.01,9.01 02/15/13
Forestar Group Inc. DE 8.01,9.01 02/14/13
FORUM ENERGY TECHNOLOGIES, INC. DE 2.02,9.01 02/14/13
FORWARD INDUSTRIES INC NY 2.02,9.01 02/14/13
Franklin Financial Corp VA 5.07 02/12/13
FRANKLIN STREET PROPERTIES CORP /MA/ 5.03,9.01 02/08/13
FSP 303 East Wacker Drive Corp. 7.01,9.01 02/15/13
FSP 50 South Tenth Street Corp 7.01,9.01 02/15/13
FSP GALLERIA NORTH CORP 7.01,9.01 02/15/13
GARTNER INC DE 5.02,9.01 02/12/13
GENCO SHIPPING & TRADING LTD 5.02 02/12/13
GENERAL COMMUNICATION INC AK 5.02 02/12/13
GENERAL DYNAMICS CORP DE 5.02,9.01 02/12/13
GENERAL ELECTRIC CO NY 5.02,5.03,9.01 02/15/13
GENERAL EMPLOYMENT ENTERPRISES INC IL 5.02 02/11/13
General Finance CORP DE 7.01,9.01 02/14/13 AMEND
General Motors Co 8.01 02/15/13
General Motors Co 9.01 02/15/13 AMEND
GLEACHER & COMPANY, INC. DE 1.01,2.02,5.02,7.01, 02/13/13
9.01
GLEN BURNIE BANCORP MD 2.02,9.01 02/15/13
GLIMCHER REALTY TRUST MD 1.01,2.03 02/15/13
GLIMCHER REALTY TRUST MD 2.02,9.01 02/14/13
GLOBAL EQUITY INTERNATIONAL INC NV 1.01,3.02,9.01 02/15/13
Global Geophysical Services Inc DE 8.01,9.01 02/15/13
GOLDRICH MINING CO AK 5.02 02/12/13
GRACO INC MN 1.02,3.03,5.03,9.01 02/15/13
Graystone Co DE 4.01 02/15/13
Griffin Capital Net Lease REIT, Inc. 1.01,7.01,8.01,9.01 02/15/13
GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 02/14/13
GroveWare Technologies Ltd. NV 1.01,5.02,9.01 01/22/13 AMEND
GTX INC /DE/ DE 5.02 02/11/13
GULFMARK OFFSHORE INC DE 5.02,9.01 02/14/13
GULFPORT ENERGY CORP DE 1.01,2.01,7.01,8.01, 02/11/13
9.01
HAWAIIAN ELECTRIC INDUSTRIES INC HI 2.02,9.01 02/15/13
HAWTHORN BANCSHARES, INC. MO 8.01 02/15/13
HCA Holdings, Inc. 1.01,9.01 02/11/13
HEALTH MANAGEMENT ASSOCIATES, INC DE 2.02,9.01 02/14/13
Heavy Earth Resources, Inc. FL 1.01,2.03,3.02,7.01, 02/13/13
9.01
Heckmann Corp DE 8.01 02/12/13
HEINZ H J CO PA 1.01,9.01 02/13/13
HOLOGIC INC DE 1.01,2.03,3.02,9.01 02/14/13
HUGOTON ROYALTY TRUST TX 2.02,9.01 02/15/13
ICONIX BRAND GROUP, INC. DE 5.02,9.01 02/15/13
INTERPHASE CORP TX 2.02,8.01,9.01 02/14/13
INTERVEST BANCSHARES CORP DE 7.01,9.01 02/15/13
IPG PHOTONICS CORP DE 2.02,9.01 02/15/13
ISTAR FINANCIAL INC MD 1.01,9.01 02/11/13
ITC Holdings Corp. MI 5.02,8.01 02/12/13
IZEA, Inc. NV 5.02,5.03,8.01,9.01 02/11/13
JEFFERIES GROUP INC /DE/ DE 1.01,9.01 02/15/13
JOSHUA GOLD RESOURCES INC NV 1.01,2.01,3.02,9.01 02/13/13
JPMorgan Chase Bank, National Associa X1 8.01,9.01 02/15/13
KEATING CAPITAL INC 7.01,9.01 02/15/13
KEY ENERGY SERVICES INC MD 2.02,9.01 02/14/13
Kosmos Energy Ltd. D0 1.01,7.01,9.01 02/08/13
Kraft Foods Group, Inc. 2.02,9.01 02/15/13
KRONOS WORLDWIDE INC 2.02,9.01 02/14/13
LADENBURG THALMANN FINANCIAL SERVICES FL 5.08,8.01 02/15/13
LEUCADIA NATIONAL CORP NY 1.01,9.01 02/15/13
LIBERTY SILVER CORP NV 4.02,9.01 02/13/13
LIFEPOINT HOSPITALS, INC. 2.02,9.01 02/15/13
LIN TV CORP. DE 1.01,1.02,2.01,2.03, 02/12/13
7.01,9.01
LINCOLN ELECTRIC HOLDINGS INC OH 2.02,9.01 02/15/13
LINN ENERGY, LLC DE 7.01,9.01 02/15/13
Lithium Exploration Group, Inc. NV 1.01,9.01 02/13/13
Loreto Resources Corp. NV 5.02 02/11/13
MANHATTAN BRIDGE CAPITAL, INC NY 8.01,9.01 02/15/13
MANHATTAN BRIDGE CAPITAL, INC NY 8.01,9.01 02/15/13
MANNATECH INC TX 5.02 02/14/13
MB FINANCIAL INC /MD 8.01,9.01 02/15/13
Medley Capital Corp DE 5.07,9.01 02/12/13
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 02/12/13
Mesa Energy Holdings, Inc. DE 8.01,9.01 08/08/12
MESA ROYALTY TRUST/TX TX 2.02,9.01 02/15/13
METLIFE INC DE 5.02,8.01,9.01 02/11/13
MIDDLEBURG FINANCIAL CORP VA 5.02 02/14/13
MINDEN BANCORP, INC. LA 2.02,9.01 02/15/13
MINE SAFETY APPLIANCES CO PA 2.02,9.01 02/13/13
MITEL NETWORKS CORP 7.01,9.01 02/15/13
MMAX MEDIA, INC. NV 1.01,9.01 02/12/13
MOLEX INC DE 8.01,9.01 02/15/13
MOLINA HEALTHCARE INC DE 1.01,1.02,2.03,3.02, 02/11/13
9.01
MOMENTA PHARMACEUTICALS INC DE 2.02,9.01 02/15/13
MOMENTIVE SPECIALTY CHEMICALS INC. NJ 1.02,8.01 02/14/13
Moody National REIT I, Inc. MD 1.01,9.01 02/14/13
Morningstar, Inc. IL 8.01,9.01 02/15/13
MOTORCAR PARTS AMERICA INC NY 2.02,9.01 02/15/13
MRI INTERVENTIONS, INC. DE 7.01,9.01 02/15/13
MSB FINANCIAL CORP. X1 2.02,9.01 02/15/13
MUELLER INDUSTRIES INC DE 8.01,9.01 02/15/13
MVB FINANCIAL CORP WV 9.01 02/15/13
NATHANS FAMOUS INC DE 1.01,5.02,9.01 02/14/13
NATIONAL FINANCIAL PARTNERS CORP 7.01,9.01 02/15/13
NATIONAL FUEL GAS CO NJ 8.01,9.01 02/12/13
NATIONAL HEALTH INVESTORS INC MD 2.02,9.01 02/14/13
NATIONAL HEALTH INVESTORS INC MD 7.01,9.01 02/14/13
NATIONAL HEALTH INVESTORS INC MD 8.01,9.01 02/14/13
National Health Partners Inc 5.03,5.07,9.01 02/15/13
NATIONAL HEALTHCARE CORP DE 2.02,8.01,9.01 02/15/13
National Interstate CORP OH 8.01,9.01 02/12/13
NATIONAL PENN BANCSHARES INC PA 7.01,9.01 02/15/13
NAVISTAR INTERNATIONAL CORP DE 1.01,9.01 02/13/13
NETWORK 1 SECURITY SOLUTIONS INC DE 8.01,9.01 02/14/13
Neuralstem, Inc. DE 7.01,9.01 02/12/13
NeuroMetrix, Inc. DE 8.01,9.01 02/15/13
New Enterprise Stone & Lime Co., Inc. DE 7.01 02/14/13
New Source Energy Partners L.P. DE 1.01,2.01,2.03,3.02, 02/13/13
5.03,9.01
NEWCASTLE INVESTMENT CORP MD 1.01,9.01 02/11/13
NEWLINK GENETICS CORP 5.08 02/15/13
NEWPARK RESOURCES INC DE 2.02,9.01 02/14/13
NEWPARK RESOURCES INC DE 7.01,9.01 02/15/13
NEWS CORP 8.01,9.01 02/15/13
NEXSTAR BROADCASTING GROUP INC DE 8.01,9.01 02/15/13
NORTHSTAR REALTY FINANCE CORP. MD 7.01,8.01,9.01 02/15/13
NovaBay Pharmaceuticals, Inc. CA 5.02 02/13/13
NTS REALTY HOLDINGS LP DE 8.01,9.01 02/15/13
NUVILEX, INC. NV 2.01 02/15/13
Oaktree Capital Group, LLC DE 2.02 02/14/13 AMEND
OCCIDENTAL PETROLEUM CORP /DE/ DE 8.01,9.01 02/14/13
Onstream Media CORP FL 8.01,9.01 02/15/13
ORAGENICS INC FL 5.02,5.08,8.01,9.01 02/11/13
ORCHARD SUPPLY HARDWARE STORES CORP DE 1.01,2.02,2.03,9.01 02/11/13
Orchids Paper Products CO /DE DE 5.02 02/12/13
OVERSEAS SHIPHOLDING GROUP INC DE 7.01,9.01 02/15/13
Panache Beverage, Inc. 1.01,2.03,3.02 02/14/13
PAR PETROLEUM CORP/CO DE 9.01 12/27/12 AMEND
PARK CITY GROUP INC 2.02,7.01,9.01 02/14/13
PARKER DRILLING CO /DE/ DE 2.02,7.01,9.01 02/14/13
PARKER HANNIFIN CORP OH 8.01,9.01 02/15/13
PDL BIOPHARMA, INC. DE 5.02 02/15/13
PediatRx Inc. NV 5.02 02/15/13
PENSECO FINANCIAL SERVICES CORP PA 2.02,9.01 02/15/13
PERMA FIX ENVIRONMENTAL SERVICES INC DE 1.01,2.03,5.02,9.01 02/12/13
Pershing Gold Corp. NV 1.01,9.01 02/08/13
Philip Morris International Inc. VA 1.01,2.03,9.01 02/15/13
PILGRIMS PRIDE CORP DE 2.02,9.01 02/14/13
PILGRIMS PRIDE CORP DE 7.01 02/14/13
PLANAR SYSTEMS INC OR 8.01 02/14/13
POLYONE CORP 8.01,9.01 02/13/13
PREMIERWEST BANCORP OR 8.01,9.01 02/15/13
Primerica, Inc. DE 1.01,9.01 02/11/13
Prologis, Inc. MD 8.01,9.01 02/14/13
PUB CRAWL HOLDINGS, INC. NV 5.03 02/15/13
PUGET TECHNOLOGIES, INC. NV 4.01,9.01 01/31/13 AMEND
QEP RESOURCES, INC. DE 1.01,5.03 02/13/13
RAINMAKER SYSTEMS INC DE 3.01 02/14/13
ReachLocal Inc 5.02,9.01 02/11/13
RIMROCK GOLD CORP. NV 1.01,2.01,3.02,5.01, 02/11/13
5.02,9.01
Rockwood Holdings, Inc. DE 1.02,8.01,9.01 02/14/13
Ruths Hospitality Group, Inc. DE 2.02,9.01 02/15/13
Ryman Hospitality Properties, Inc. DE 7.01,9.01 02/15/13
SALISBURY BANCORP INC CT 9.01 02/11/13
SALISBURY BANCORP INC CT 5.02 02/15/13
SALIX PHARMACEUTICALS LTD 8.01,9.01 02/14/13
SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 02/15/13
Santa Fe Petroleum, Inc. DE 1.01,2.01,3.02,5.01, 02/14/13 AMEND
5.02,5.06
SEALED AIR CORP/DE DE 5.02 02/14/13
SENESCO TECHNOLOGIES INC DE 2.02,9.01 02/15/13
SENIOR HOUSING PROPERTIES TRUST MD 2.02,9.01 02/15/13
Shea Homes Limited Partnership CA 2.02,9.01 02/15/13
Shire plc 8.01,9.01 02/15/13
SIGMA ALDRICH CORP DE 5.02 02/11/13
SINCLAIR BROADCAST GROUP INC MD 9.01 12/01/12 AMEND
SLM Student Loan Trust 2006-7 DE 8.01,9.01 02/15/13
SMUCKER J M CO OH 2.02,9.01 02/15/13
SOLERA HOLDINGS, INC DE 5.02 02/15/13
SOUTHERN UNION CO DE 1.01,9.01 02/11/13
SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 8.01,9.01 02/15/13
Sputnik Enterprises, Inc NV 1.01,9.01 02/14/13
STAMPS.COM INC DE 2.02,9.01 02/13/13
STANDARD PARKING CORP DE 8.01,9.01 02/15/13
STARWOOD PROPERTY TRUST, INC. 2.03,8.01,9.01 02/15/13
Station Casinos LLC NV 8.01,9.01 02/14/13
STERLING BANCORP NY 8.01 02/14/13
SUPERIOR UNIFORM GROUP INC FL 5.02 02/13/13
Surge Global Energy, Inc. DE 5.03,9.01 02/15/13
SURMODICS INC MN 5.07 02/11/13
Tamir Biotechnology, Inc. DE 5.02,5.07,8.01 02/05/13
TEAM HEALTH HOLDINGS INC. DE 8.01,9.01 02/12/13
TF FINANCIAL CORP DE 8.01,9.01 02/15/13
TMS International Corp. DE 7.01 02/15/13
TNS INC 1.02,2.01,3.01,3.03, 02/15/13
5.01,5.02,5.07,8.01,
9.01
Tower International, Inc. DE 2.02,7.01,9.01 02/15/13
TRANS WORLD ENTERTAINMENT CORP NY 5.02 02/12/13
TREDEGAR CORP VA 2.02,9.01 02/14/13
Tree.com, Inc. DE 5.02 02/12/13
TRIO TECH INTERNATIONAL CA 2.02,9.01 02/14/13
TRUMP ENTERTAINMENT RESORTS, INC. DE 1.01,9.01 02/14/13
TRW AUTOMOTIVE HOLDINGS CORP DE 2.02,9.01 02/15/13
TUFCO TECHNOLOGIES INC DE 2.02,9.01 02/13/13
Tumi Holdings, Inc. DE 5.02 02/15/13 AMEND
U. S. Premium Beef, LLC 7.01,9.01 02/15/13
UIL HOLDINGS CORP CT 8.01 02/15/13
ULTRA PETROLEUM CORP 2.02,7.01,9.01 02/15/13
UMB FINANCIAL CORP MO 5.02,9.01 02/12/13
UNION PACIFIC CORP UT 7.01 02/15/13
UNITED FIRE GROUP INC 5.02,8.01,9.01 02/15/13
URANERZ ENERGY CORP. NV 9.01 02/11/13
USG1, Inc. DE 1.01,2.01,3.02,5.01, 02/11/13
5.02,5.03,9.01
V F CORP PA 2.02,7.01,9.01 02/15/13
VALIDUS HOLDINGS LTD 9.01 02/15/13 AMEND
Vantiv, Inc. 5.02 02/11/13
VARIAN MEDICAL SYSTEMS INC DE 5.07 02/14/13
VECTREN CORP IN 2.02 02/14/13
VECTREN UTILITY HOLDINGS INC IN 8.01 02/15/13
Venoco, Inc. DE 8.01,9.01 02/13/13
VENTAS INC DE 2.02,8.01,9.01 02/15/13
VENZA GOLD CORP. A1 5.02 02/15/13
VIASYSTEMS GROUP INC DE 2.02,9.01 02/15/13
VIPER POWERSPORTS INC NV 2.02,2.04,2.06 02/13/13
VIRGIN MEDIA INC. DE 1.01,8.01,9.01 02/13/13
Vitamin Shoppe, Inc. DE 8.01,9.01 02/14/13
WABCO Holdings Inc. DE 2.02,7.01,9.01 02/15/13
WELLCARE HEALTH PLANS, INC. DE 5.02 02/11/13
WESTAR ENERGY INC /KS KS 1.01,2.03,9.01 02/15/13
WESTERN ASSET HIGH INCOME FUND INC. MD 8.01,9.01 02/15/13
WESTERN ASSET HIGH INCOME OPPORTUNITY MD 8.01,9.01 02/15/13
Westinghouse Solar, Inc. DE 5.02 02/13/13
Westinghouse Solar, Inc. DE 1.01,3.02,3.03,9.01 02/15/13
WESTMORELAND COAL Co DE 5.02 02/12/13
WET SEAL INC DE 8.01,9.01 02/15/13
WFRBS Commercial Mortgage Trust 2013- 8.01,9.01 02/15/13
WILLIS GROUP HOLDINGS PLC L2 5.02,9.01 02/14/13
WMS INDUSTRIES INC /DE/ DE 8.01,9.01 02/15/13
WORDLOGIC CORP NV 5.02 02/14/13
Yankee Holding Corp. DE 7.01,9.01 02/15/13
YCC Holdings LLC DE 7.01,9.01 02/15/13
YTB International, Inc. DE 5.02 01/15/13
ZIPCAR INC 2.02,9.01 02/15/13
http://www.sec.gov/news/digest/2013/dig021913.htm
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