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Commission AnnouncementsCommission Announces 2013 Examination PrioritiesThe Commission published its examination priorities for 2013, which cover a wide range of issues at financial institutions, including broker-dealers, clearing agencies, exchanges and self-regulatory organizations, investment companies, hedge funds and private equity funds, and transfer agents. “We are publishing these priorities to promote compliance and communicate with investors and our registrants about areas that we perceive to have heightened risk,” said Carlo V. di Florio, Director of the SEC’s Office of Compliance Inspections and Examinations, which is responsible for the national examination program. “Our examination program constantly seeks new ways to share our perspectives on key risks and regulatory issues so that registrants’ senior management, compliance and risk managers, among others, can take effective action. This document, as well as our Risk Alerts and other public statements, are windows through which we can increase transparency, strengthen compliance, and inform the public and the financial services industry about key risks that we are monitoring and examining.” The examination priorities address issues that span the entire market as well as issues that relate specifically to particular business models and organizations. The market-wide priorities include fraud detection and prevention, corporate governance and enterprise risk management, conflicts of interest, and technology controls. Priorities in each program area include:
The priority list is not exhaustive and priorities may be adjusted throughout the year in light of ongoing risk assessment activities. Senior exam staff, management from the SEC’s 12 regional offices, and other SEC divisions and offices selected the examination priorities for 2013 in consultation with each of the Commissioners, based upon a variety of information and risk analytics, including:
Commission Suspends Trading in the Securities of Four Issuers for Failure to Make Required Periodic FilingsThe Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EST on February 22, 2013 and terminating at 11:59 p.m. EST on March 7, 2013.
The Commission temporarily suspended trading in the securities of these four issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). 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 these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov.(Rel. 34-68969) Closed Meeting on Friday, March 1, 2013 at 12:30 p.m.The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; other matters relating to enforcement proceedings; and an adjudicatory matter. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGSCommission Orders Hearings on Registration Suspension or Revocation against Five Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of five companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the five 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 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 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. 34-68970; File No. 3-15216) In The Matter of Sentinel Investment Management CorporationThe Commission announced the issuance of an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(e) of the Investment Advisers Act of 1940 against Sentinel Investment Management Corporation (Sentinel). The Order finds that Sentinel is a New York corporation formed in 1986 with its principal place of business in New York, New York. Sentinel is an investment adviser affiliated with, among other entities, West End Financial Advisors, LLC (West End) and has been registered with the Commission since 1986. During the relevant time period, William Landberg (Landberg) served as Sentinel’s president and chief compliance officer. Sentinel advised as many as 70 separately managed accounts at various times, some of which were invested in unregistered, private limited partnerships offered by West End. According to the Order, on November 28, 2011, a final judgment was entered by consent against Sentinel, permanently enjoining Sentinel from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940, in the civil action entitled Securities and Exchange Commission v. William Landberg, et al., Civil Action Number 11-CV-0404 (PKC), in the United States District Court for the Southern District of New York. The Commission’s amended complaint alleged that Sentinel made material misrepresentations to investors and engaged in a scheme to misappropriate investor assets. Sentinel, through Landberg and others at West End, misrepresented to investors that their money was invested in safe, stable investments and that the investments were growing and performing well. However, West End and Sentinel knew, or should have known, that West End was not achieving the positive returns represented to investors. Sentinel, through Landberg and others at West End, also failed to disclose, among other things, that Landberg and West End: (i) commingled investor assets among various investment funds advised by West End; (ii) looted funds from a reserve account that West End was required to maintain for the benefit of a bank that provided loans to a West End fund and used the proceeds for improper purposes; and (iii) misappropriated investor funds. Based on the above, the Order revokes Sentinel’s investment adviser registration. Sentinel consented to the issuance of the Order without admitting or denying any of the findings in the Order, except it admitted the entry of the injunction. (Rel. IA-3556; File No. 3-15159) Commission Revokes Registration of Securities of Ants Software, Inc. for Failure to Make Required Periodic FilingsOn February 22, 2013, the Commission revoked the registration of each class of registered securities of ANTS Software, Inc. (ANTS Software) 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, ANTS Software 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 ANTS Software, Inc. 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 ANTS Software’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against ANTS Software in In the Matter of Advance Nanotech, Inc., et al., Administrative Proceeding File No. 3-15201. 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 . . . . (Rel. 34- 68968; File No. 3-15201) Revocation of Registrations by Default as to Largo Vista Group, Ltd., and Snowdon Resources Corp. in Largo Vista Group, Ltd.An Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default as to Largo Vista Group, Ltd., and Snowdon Resources Corp. in Largo Vista Group, Ltd., Admin. Proc. File No. 3-15187 (Default Order). The Default Order found that the two Respondents are issuers of securities registered pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act), and that they failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Securities and Exchange Commission. As a result, the ALJ found it was necessary and appropriate for the protection of investors to revoke the registration of each class of each issuer’s registered securities. The Division of Enforcement (Division) was granted leave to file a motion for summary disposition as to Montavo, Inc., OBN Holdings, Inc., and Ready Welder Corp. The Division agreed to wait until the Form 15 filing of PrepaYd, Inc., becomes effective before moving to have it dismissed from the proceeding. (Rel. 34-68967; File No. 3-15187) Commission Summarily Affirms Initial Decision of Administrative Law Judge Revoking The Registration of Andover Holdings, Inc.The Commission has summarily affirmed an administrative law judge's initial decision revoking the registration of Andover Holdings, Inc. The law judge found that Andover Holdings had violated Exchange Act periodic reporting requirements, as charged in the Order Instituting Proceedings, by failing to file its required annual and quarterly reports over a four-year period, and that the periodic reports it filed after the date of the OIP contained material deficiencies. The Commission determined that the factual and legal findings of the law judge were correct. Accordingly, on its own initiative, the Commission determined that it was appropriate to summarily affirm the initial decision. (Rel. 34-68966) INVESTMENT COMPANY ACT RELEASESSymetra Life Insurance Company, et al.An order has been issued on an application filed by Symetra Life Insurance Company, et al. for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The order (a) permits certain series of registered open-end management investment companies to acquire shares of other registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies, and (b) permits funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments.Rel. IC-30386 - February 19, 2013. Securian Funds Trust, et al.An order has been issued on an application filed by Securian Funds Trust, et al., under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Rule 12d1-2(a) under the Act. The order permits funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. Rel. IC-30387 - February 19, 2013. SELF-REGULATORY ORGANIZATIONSApproval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change (SR-NASDAQ-2012-147), as modified by Amendment No. 1 thereto, submitted by The NASDAQ Stock Market LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of the shares of the First Trust High Yield Long/Short ETF of First Trust Exchange-Traded Fund IV. Publication is expected in the Federal Register during the week of February 25, 2013. (Rel. 34-68972 ) 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 Treaty Energy Corp, 201 ST. CHARLES AVE., SUITE 2558, NEW ORLEANS, LA, 70170, 9053323110 - 30,000,000 ($420,000.00) Equity, (File 333-186771 - Feb. 21) (BR. 04B) S-1 BioNeutral Group, Inc, 211 WARREN STREET, NEWARK, NJ, 07103, (973) 286-2899 - 46,162,280 ($2,769,736.80) Equity, (File 333-186772 - Feb. 21) (BR. 02A) S-8 IMPERVA INC, 3400 BRIDGE PARKWAY, SUITE 200, REDWOOD SHORES, CA, 94065, 650-345-9000 - 1,214,804 ($42,102,675.96) Equity, (File 333-186779 - Feb. 21) (BR. 03B) S-8 WINDSTREAM CORP, 4001 RODNEY PARHAM RD., LITTLE ROCK, AR, 72212, 5017487000 - 6,000,000 ($53,400,000.00) Equity, (File 333-186780 - Feb. 21) (BR. 11A) F-1 Vipshop Holdings Ltd, No. 20 Huahai Street, Liwan district,, Guangzhou, F4, 510370, 86 (20) 2233-0000 - 0 ($120,000,000.00) ADRs/ADSs, (File 333-186781 - Feb. 21) (BR. 02) S-8 ALLEGHANY CORP /DE, 7 TIMES SQUARE TOWER, 17TH FLOOR, NEW YORK, NY, 10036, 212-752-1356 - 600,000 ($227,718,000.00) Equity, (File 333-186782 - Feb. 21) (BR. 01A) S-8 Silicon Graphics International Corp, 46600 LANDING PARKWAY, FREMONT, CA, 94538, 510-933-8300 - 937,728 ($14,225,333.76) Equity, (File 333-186783 - Feb. 21) (BR. 03B) S-8 CITRIX SYSTEMS INC, 851 WEST CYPRESS CREEK ROAD, FORT LAUDERDALE, FL, 33309, 954-267-3000 - 285,817 ($3,386,932.00) Equity, (File 333-186784 - Feb. 21) (BR. 03A) S-3 ADVANCED CELL TECHNOLOGY, INC., 33 LOCKE DRIVE, MARLBOROUGH, MA, 01752, 508-756-1212 - 96,401,028 ($7,413,239.06) Equity, (File 333-186785 - Feb. 21) (BR. 01B) S-1 INTEGRATED ELECTRICAL SERVICES INC, 5433 WESTHEIMER, SUITE 500, HOUSTON, TX, 77056, 7138601500 - 8,562,409 ($42,640,796.82) Equity, (File 333-186786 - Feb. 21) (BR. 06A) 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
-----------------------------------------------------------------------------------------
3DICON CORP OK 8.01,9.01 02/20/13
ABRAXAS PETROLEUM CORP NV 7.01,9.01 02/20/13
ACACIA RESEARCH CORP DE 2.02,9.01 02/21/13
Advanced Cellular, Inc. NV 8.01 02/20/13
Aegerion Pharmaceuticals, Inc. DE 1.01,1.02,9.01 02/15/13
Aircastle LTD D0 2.02,5.02,9.01 02/21/13
ALASKA AIR GROUP, INC. DE 7.01,9.01 02/20/13
Alexza Pharmaceuticals Inc. DE 8.01,9.01 02/21/13
ALLEGHANY CORP /DE DE 2.02,9.01 02/21/13
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 02/21/13
Ally Master Owner Trust 1.01,8.01,9.01 02/21/13
ALSERES PHARMACEUTICALS INC /DE DE 1.01 02/15/13
Altisource Residential Corp 1.01,2.01,9.01 02/14/13
AMERICAN INTERNATIONAL GROUP INC DE 2.02,9.01 02/21/13
American Railcar Industries, Inc. ND 2.02,9.01 02/20/13
American Realty Capital Properties, I MD 8.01 02/20/13
American Realty Capital Trust III, In MD 8.01 02/20/13
American Realty Capital Trust III, In MD 2.03,9.01 02/14/13
AMKOR TECHNOLOGY INC DE 8.01,9.01 02/20/13
AMN HEALTHCARE SERVICES INC DE 2.02,9.01 02/21/13
ANALYSTS INTERNATIONAL CORP 2.02,9.01 02/21/13
APARTMENT INVESTMENT & MANAGEMENT CO MD 7.01,9.01 02/21/13
ARAMARK CORP DE 8.01 02/21/13
ARAMARK CORP DE 7.01,8.01 02/21/13
ARUBA NETWORKS, INC. DE 2.02,9.01 02/21/13
AUDIENCE INC 5.02 02/14/13
AUTHENTIDATE HOLDING CORP DE 5.02 12/18/12 AMEND
BALCHEM CORP MD 2.02,9.01 02/21/13
Bank of Commerce Holdings CA 8.01,9.01 02/19/13
Bazaarvoice Inc DE 2.02,9.01 02/21/13
BERRY PETROLEUM CO DE 1.01,7.01,9.01 02/20/13
BGC Partners, Inc. DE 7.01 02/21/13
BillMyParents, Inc. CO 5.03,5.07,9.01 02/15/13
BIMINI CAPITAL MANAGEMENT, INC. MD 1.01,9.01 02/20/13
BIOANALYTICAL SYSTEMS INC IN 4.01,9.01 02/06/13 AMEND
BIOMARIN PHARMACEUTICAL INC DE 2.02,9.01 02/21/13
BJs RESTAURANTS INC CA 8.01,9.01 02/21/13
Bloomin' Brands, Inc. DE 2.02,9.01 02/21/13
BLUE WATER VENTURES INTERNATIONAL INC NV 8.01 02/19/13 AMEND
BOINGO WIRELESS INC DE 2.02,9.01 02/21/13
BRADY CORP WI 2.02,2.05,5.02,9.01 02/20/13
BROADWAY FINANCIAL CORP \DE\ DE 8.01,9.01 02/20/13
BROCADE COMMUNICATIONS SYSTEMS INC DE 5.02,9.01 02/21/13
BSQUARE CORP /WA WA 2.02,9.01 02/21/13
Builders FirstSource, Inc. DE 2.02,9.01 02/21/13
Burlington Coat Factory Investments H 1.01,2.03,8.01,9.01 02/14/13
C & F FINANCIAL CORP VA 8.01,9.01 02/20/13
CACI INTERNATIONAL INC /DE/ DE 5.02,9.01 02/20/13
CAESARS ENTERTAINMENT Corp DE 1.01,2.03,9.01 02/20/13
CALGON CARBON CORPORATION DE 2.02,9.01 02/21/13
Car Charging Group, Inc. NV 8.01,9.01 01/11/13
Cardinal Ethanol LLC IN 5.07 02/19/13
Carey Watermark Investors Inc 1.01,2.01,9.01 02/14/13
Carlyle Group L.P. DE 2.02,9.01 02/21/13
CARPENTER TECHNOLOGY CORP DE 8.01,9.01 02/21/13
Carroll Bancorp, Inc. MD 8.01 02/20/13
CASH AMERICA INTERNATIONAL INC TX 2.05,2.06 09/24/12 AMEND
CBRE GROUP, INC. DE 5.02 02/14/13
CC Media Holdings Inc 8.01,9.01 02/21/13
CEC ENTERTAINMENT INC KS 2.02,8.01,9.01 02/21/13
CENTURY ALUMINUM CO DE 2.02,9.01 02/21/13
CENTURY NEXT FINANCIAL Corp LA 2.02,9.01 02/21/13
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 02/21/13
Chefs' Warehouse, Inc. DE 2.02,9.01 02/21/13
CHEMUNG FINANCIAL CORP NY 8.01,9.01 02/21/13
CHESAPEAKE ENERGY CORP OK 2.02,9.01 02/21/13
Chesapeake Lodging Trust MD 2.02,9.01 02/21/13
China Energy CORP 8.01 02/20/13
CIBER INC DE 2.02,9.01 02/21/13
CINCINNATI FINANCIAL CORP OH 5.02,7.01,9.01 02/15/13
CITIGROUP INC DE 5.02 02/19/13
Citizens Community Bancorp Inc. MD 7.01,9.01 02/21/13
CLAYTON WILLIAMS ENERGY INC /DE DE 2.02,7.01,9.01 02/21/13
CLEAR CHANNEL COMMUNICATIONS INC TX 8.01,9.01 02/21/13
CLEARONE INC UT 8.01 02/20/13
CLECO CORP LA 4.01,9.01 02/19/13 AMEND
CLIFFS NATURAL RESOURCES INC. OH 3.03,5.03,8.01,9.01 02/14/13
CMS ENERGY CORP MI 2.02,9.01 02/21/13
CMS ENERGY CORP MI 7.01,9.01 02/21/13
CNH CAPITAL RECEIVABLES LLC DE 1.01,9.01 02/21/13
COCA COLA CO DE 5.02,9.01 02/20/13
COEUR D ALENE MINES CORP ID 2.02,9.01 02/21/13
COGENT COMMUNICATIONS GROUP INC 2.02,8.01,9.01 02/21/13
Community Bankers Trust Corp DE 8.01,9.01 02/14/13
COMMUNITY HEALTH SYSTEMS INC DE 2.02,7.01,9.01 02/21/13
CONCHO RESOURCES INC DE 2.02,9.01 02/20/13
Consolidated Communications Holdings, DE 5.02,7.01,9.01 02/21/13
CORELOGIC, INC. DE 2.02,9.01 02/21/13
COVENANT BANCSHARES, INC. IL 1.03 02/15/13
CROSS COUNTRY HEALTHCARE INC DE 2.01,7.01,9.01 02/15/13
CUMBERLAND PHARMACEUTICALS INC 8.01 02/21/13
CURTISS WRIGHT CORP DE 2.02,9.01 02/20/13
DANA HOLDING CORP DE 2.02,7.01,9.01 02/21/13
DC BRANDS INTERNATIONAL INC CO 5.02 01/10/13 AMEND
DCP Midstream Partners, LP DE 1.01,1.02,5.02,9.01 02/14/13
DEAN FOODS CO DE 5.02,9.01 02/14/13
Del Frisco's Restaurant Group, Inc. DE 2.02,9.01 02/21/13
DELTA MUTUAL INC DE 4.01,9.01 02/20/13
DENBURY RESOURCES INC DE 2.02,9.01 02/21/13
DEXCOM INC DE 1.02,2.02,9.01 02/21/13
Digimarc CORP OR 2.02,7.01,9.01 02/21/13
Diligent Board Member Services, Inc. DE 2.02,9.01 01/14/13
Diligent Board Member Services, Inc. DE 8.01,9.01 02/18/13
Diligent Board Member Services, Inc. DE 8.01,9.01 02/21/13
Discover Financial Services DE 2.03,9.01 02/21/13
DOLLAR TREE INC VA 7.01,9.01 02/20/13
DORCHESTER MINERALS, L.P. DE 2.02,7.01,9.01 02/21/13
Dorman Products, Inc. PA 2.02,9.01 02/21/13
DOVER Corp DE 5.02 02/14/13
DREW INDUSTRIES INC DE 7.01,9.01 02/20/13
DRIVETIME AUTOMOTIVE GROUP INC DE 1.01 02/14/13
DYNAMICS RESEARCH CORP MA 2.02,9.01 12/31/12
EASTMAN KODAK CO NJ 8.01 02/21/13
ECOSPHERE TECHNOLOGIES INC DE 5.02 02/15/13
Edgen Group Inc. DE 8.01,9.01 02/21/13
EMERSON ELECTRIC CO MO 7.01 02/21/13
Energizer Resources, Inc. MN 5.02,5.03,5.07,9.01 02/19/13
Ensco plc 2.02,9.01 02/20/13
ENTERPRISE PRODUCTS PARTNERS L P DE 5.02,8.01,9.01 02/19/13
ENZON PHARMACEUTICALS INC DE 8.01 02/21/13
EPICEPT CORP 8.01,9.01 02/21/13
EQUINIX INC DE 5.02 02/14/13
ESP Resources, Inc. NV 1.01,9.01 02/21/13
ExactTarget, Inc. DE 2.02,9.01 02/21/13
EXCO RESOURCES INC TX 2.02,9.01 02/20/13
EXCO RESOURCES INC TX 1.01,2.01,7.01,9.01 02/14/13
EXELIXIS, INC. DE 2.02,9.01 02/21/13
Extra Space Storage Inc. MD 2.02,9.01 02/21/13
Federal Home Loan Bank of Atlanta X1 2.02 02/21/13
Federal Home Loan Bank of Atlanta X1 2.03 02/21/13
Federal Home Loan Bank of Boston X1 2.02,9.01 02/21/13
Federal Home Loan Bank of Boston X1 2.03 02/15/13
Federal Home Loan Bank of Chicago X1 2.03 02/19/13
Federal Home Loan Bank of Cincinnati X1 2.02,9.01 02/21/13
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 02/14/13
Federal Home Loan Bank of Dallas 2.02,9.01 02/21/13
Federal Home Loan Bank of Des Moines X1 2.02,7.01,9.01 02/20/13
Federal Home Loan Bank of Des Moines X1 2.03,9.01 02/19/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/21/13
Federal Home Loan Bank of Indianapoli X1 2.02,9.01 02/21/13
Federal Home Loan Bank of New York X1 8.01,9.01 02/21/13
Federal Home Loan Bank of New York X1 2.03,9.01 02/15/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/15/13
Federal Home Loan Bank of Pittsburgh PA 2.02,7.01,9.01 02/21/13
Federal Home Loan Bank of Seattle 2.02,9.01 02/21/13
Federal Home Loan Bank of Topeka 2.02,7.01,9.01 02/21/13
Federal Home Loan Bank of Topeka 2.03,9.01 02/19/13
FEDERATED NATIONAL HOLDING CO FL 1.01,9.01 02/15/13
Fibrocell Science, Inc. DE 5.02 02/21/13
Fifth & Pacific Companies, Inc. DE 2.02,9.01 02/21/13
First American Financial Corp DE 2.02,9.01 02/21/13
FIRST INDUSTRIAL REALTY TRUST INC MD 2.02,8.01,9.01 02/20/13
FOREST OIL CORP NY 2.02,7.01,9.01 02/20/13
FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 02/21/13
FRONTIER COMMUNICATIONS CORP DE 2.02,7.01,9.01 02/21/13
FUSION TELECOMMUNICATIONS INTERNATION DE 5.07 02/15/13
GAIN Capital Holdings, Inc. DE 7.01,9.01 02/21/13
GASTAR EXPLORATION LTD 5.02,9.01 02/21/13
GASTAR EXPLORATION LTD 2.02,7.01,8.01,9.01 02/21/13
GENSPERA INC DE 8.01 02/21/13
GENTHERM Inc MI 1.01,9.01 02/15/13
GEO GROUP INC FL 5.03,9.01 02/14/13
GEOGLOBAL RESOURCES INC. DE 8.01,9.01 02/21/13
GEOSPACE TECHNOLOGIES CORP DE 7.01,9.01 02/21/13
Global Eagle Entertainment Inc. DE 1.01 02/19/13
GLOBAL PARTNERS LP 1.01,2.03,9.01 02/14/13
GLOBALWISE INVESTMENTS INC NV 1.01,2.03,3.02,9.01 02/15/13
GOODRICH PETROLEUM CORP DE 2.02,9.01 02/20/13
GRAINGER W W INC IL 8.01,9.01 02/20/13
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 02/15/13
GRAPHON CORP/DE DE 7.01,9.01 02/19/13
GREATBATCH, INC. DE 2.03,8.01 02/20/13
GREEN HYGIENICS HOLDINGS INC. NV 5.03,5.07,9.01 02/21/13
Griffin Capital Net Lease REIT, Inc. 7.01,8.01,9.01 02/15/13
GRYPHON GOLD CORP NV 5.02 02/21/13
GTX INC /DE/ DE 2.02,9.01 02/21/13
GYSAN HOLDINGS, INC. NV 2.01,3.01,9.01 01/23/13 AMEND
HANCOCK FABRICS INC DE 5.02 02/14/13
HARBINGER GROUP INC. DE 1.01,2.01,7.01,9.01 02/14/13
HASTINGS ENTERTAINMENT INC TX 5.02,9.01 02/15/13
HAUPPAUGE DIGITAL INC DE 3.01,8.01 02/19/13
HEALTHCARE TRUST OF AMERICA, INC. MD 2.02,9.01 02/20/13
HEINZ H J CO PA 2.02 02/21/13
HELIX ENERGY SOLUTIONS GROUP INC MN 2.02,7.01,9.01 02/20/13
HERCULES OFFSHORE, INC. DE 7.01,8.01,9.01 02/21/13
Heritage-Crystal Clean, Inc. DE 2.02,9.01 02/20/13
HERSHA HOSPITALITY TRUST MD 2.02,9.01 02/20/13
HEWLETT PACKARD CO DE 2.02,9.01 02/21/13
HEWLETT PACKARD CO DE 2.02,9.01 02/21/13
HILLMAN COMPANIES INC DE 1.01,2.03,9.01 02/14/13
HITTITE MICROWAVE CORP 2.02,9.01 02/21/13
HOLLY ENERGY PARTNERS LP 2.02,9.01 02/21/13
HOLOGIC INC DE 1.01,2.03,3.02,9.01 02/21/13
Horiyoshi Worldwide Inc. NV 5.02 02/21/13
HORMEL FOODS CORP /DE/ DE 2.02,9.01 02/21/13
HOST HOTELS & RESORTS, INC. MD 2.02,9.01 02/21/13
HSN, Inc. DE 2.02,7.01,9.01 02/21/13
Hudson Global, Inc. DE 2.02,9.01 02/21/13
Huron Consulting Group Inc. DE 2.02,7.01,9.01 02/21/13
ICAHN ENTERPRISES L.P. DE 8.01,9.01 02/20/13
ICG GROUP, INC. DE 2.02,9.01 02/21/13
ICG GROUP, INC. DE 2.02,9.01 02/21/13 AMEND
IDACORP INC ID 2.02,7.01,9.01 02/21/13
Idle Media, Inc. NV 4.02 01/03/13 AMEND
Ignite Restaurant Group, Inc. 5.02,8.01,9.01 02/19/13
IHS Inc. DE 5.02 02/19/13
IMAX CORP A6 2.02,9.01 02/21/13
IMPERIAL OIL LTD 5.02,9.01 02/21/13
Imprimis Pharmaceuticals, Inc. DE 1.01,9.01 02/18/13
INDEPENDENT BANK CORP MA 5.02 02/14/13
INFOBLOX INC 2.02,9.01 02/21/13
INGLES MARKETS INC NC 5.07 02/21/13
INLAND REAL ESTATE CORP MD 2.02,7.01,9.01 02/21/13
INTEGRA LIFESCIENCES HOLDINGS CORP DE 2.02,7.01,9.01 02/21/13
INTERMUNE INC DE 2.02,9.01 02/21/13
INTERNAP NETWORK SERVICES CORP DE 2.02,9.01 02/21/13
INTERNATIONAL SHIPHOLDING CORP DE 8.01,9.01 02/21/13
IntraLinks Holdings, Inc. DE 2.02,9.01 02/21/13
INTUIT INC DE 2.02,8.01,9.01 02/21/13
INUVO, INC. NV 3.01,7.01,9.01 02/15/13
INVENTURE FOODS, INC. DE 8.01,9.01 02/21/13
INVESTORS CAPITAL HOLDINGS LTD MA 5.02 02/15/13
IPC The Hospitalist Company, Inc. DE 2.02,9.01 02/21/13
ISTAR FINANCIAL INC MD 5.02 02/21/13
ITT Corp IN 5.02,9.01 02/20/13
JAKKS PACIFIC INC DE 8.01,9.01 02/21/13
JOE'S JEANS INC. DE 2.02,9.01 02/21/13
JONES GROUP INC PA 5.02,9.01 02/21/13
KAYDON CORP DE 2.02,9.01 02/21/13
KENTUCKY BANCSHARES INC /KY/ KY 8.01,9.01 02/21/13
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 02/21/13
Kosmos Energy Ltd. D0 1.01,8.01,9.01 02/14/13
LAWSON PRODUCTS INC/NEW/DE/ DE 2.02,9.01 02/21/13
LEGEND INTERNATIONAL HOLDINGS INC DE 1.01,3.02,9.01 02/18/13
LEXICON PHARMACEUTICALS, INC./DE DE 2.02,9.01 02/21/13
LIBBEY INC DE 2.02,7.01,9.01 02/21/13
LIFE TIME FITNESS, INC. MN 2.02,9.01 02/21/13
Lingas Resources, Inc. R6 4.01 02/21/13
LINN ENERGY, LLC DE 2.02,9.01 02/21/13
LINN ENERGY, LLC DE 9.01 02/21/13
LinnCo, LLC DE 1.01,5.02,7.01,9.01 02/19/13
LRI HOLDINGS, INC. 5.02,9.01 02/20/13
LTC PROPERTIES INC MD 2.02,9.01 02/21/13
Maiden Holdings, Ltd. D0 2.02,8.01,9.01 02/19/13
MAJESCO ENTERTAINMENT CO DE 1.01,9.01 02/15/13
Marriott Vacations Worldwide Corp DE 2.02,9.01 02/21/13
MARVELL TECHNOLOGY GROUP LTD D0 2.02,8.01,9.01 02/21/13
MCGRATH RENTCORP CA 2.02,9.01 02/21/13
MDC PARTNERS INC A6 2.02,9.01 02/21/13
Medidata Solutions, Inc. DE 2.02,9.01 02/21/13
Medidata Solutions, Inc. DE 5.02 02/14/13
MERGE HEALTHCARE INC DE 2.02,9.01 02/19/13
MERIT MEDICAL SYSTEMS INC UT 2.02,9.01 02/21/13
MICHAELS STORES INC DE 5.02,9.01 02/14/13
MINERALS TECHNOLOGIES INC DE 5.02,9.01 02/21/13
MOHAWK INDUSTRIES INC DE 2.02,5.02,9.01 02/21/13
MOLINA HEALTHCARE INC DE 7.01,9.01 02/20/13
Monarch Financial Holdings, Inc. VA 8.01,9.01 02/21/13
MORGAN STANLEY BANK OF AMERICA MERRIL DE 8.01,9.01 02/21/13
MRC GLOBAL INC. DE 2.02,9.01 02/21/13
MUTUALFIRST FINANCIAL INC MD 8.01,9.01 02/21/13
MVB FINANCIAL CORP WV 5.02 02/21/13
MVB FINANCIAL CORP WV 5.02 02/21/13
MVB FINANCIAL CORP WV 5.02 02/21/13
National CineMedia, Inc. DE 2.02,9.01 02/21/13
NATIONAL RURAL UTILITIES COOPERATIVE DC 5.02 02/18/13
Nationstar Mortgage Holdings Inc. DE 5.02,9.01 02/14/13
Neenah Paper Inc DE 2.02,9.01 02/20/13
Neohydro Technologies Corp. NV 5.02,9.01 01/14/13
Neohydro Technologies Corp. NV 5.02,9.01 02/13/13 AMEND
NEOPHOTONICS CORP DE 2.02,9.01 02/21/13
NETSOL TECHNOLOGIES INC NV 5.02 02/21/13
NEWBRIDGE BANCORP NC 3.03,5.03,5.07,9.01 02/20/13
NEWFIELD EXPLORATION CO /DE/ DE 2.02,7.01,9.01 02/19/13
Nielsen Holdings N.V. P7 1.01,8.01,9.01 02/15/13
NORDSON CORP OH 2.02,9.01 02/21/13
NORDSTROM INC WA 2.02,7.01,9.01 02/21/13
NORTHERN TRUST CORP DE 5.02 02/21/13
NORTHROP GRUMMAN CORP /DE/ 5.02,9.01 02/19/13
NOVATEL WIRELESS INC DE 2.02,9.01 02/21/13
NOVELOS THERAPEUTICS, INC. DE 7.01,9.01 02/21/13
NPS PHARMACEUTICALS INC DE 2.02,9.01 02/21/13
OLYMPIC STEEL INC OH 2.02,9.01 02/21/13
Omega Flex, Inc. PA 2.02,7.01,9.01 02/21/13
ONCOR ELECTRIC DELIVERY TRANSITION BO 8.01 02/14/13
ONYX PHARMACEUTICALS INC DE 2.02,9.01 02/21/13
ORIENT EXPRESS HOTELS LTD D0 2.02,9.01 02/20/13
ORTHOFIX INTERNATIONAL N V 2.02,9.01 02/21/13
PAA NATURAL GAS STORAGE LP DE 5.02 02/14/13
Panacea Global, Inc. NV 1.01,9.01 01/18/13
PANHANDLE EASTERN PIPE LINE CO LP DE 7.01,9.01 02/20/13
PARKER DRILLING CO /DE/ DE 2.02,9.01 02/21/13
PATTERSON COMPANIES, INC. MN 2.02,9.01 02/21/13
PATTERSON COMPANIES, INC. MN 2.02,9.01 02/21/13 AMEND
PBF Energy Inc. DE 2.02,9.01 02/21/13
PEABODY ENERGY CORP DE 7.01,9.01 02/21/13
PEGASYSTEMS INC MA 5.02,9.01 02/14/13
PENN VIRGINIA CORP VA 2.02,7.01,9.01 02/20/13
PEPCO HOLDINGS INC DE 8.01 02/20/13
PG&E Corp CA 2.02,7.01,9.01 02/20/13
PILGRIMS PRIDE CORP DE 5.02 02/14/13
PIONEER NATURAL RESOURCES CO DE 1.01,9.01 02/14/13
PITOOEY!, INC. NV 7.01,9.01 02/21/13
PLAINS EXPLORATION & PRODUCTION CO DE 2.02,9.01 02/21/13
PLATINUM ENERGY SOLUTIONS, INC. NV 5.02 02/21/13
PLURISTEM THERAPEUTICS INC NV 8.01 02/21/13
PNC FINANCIAL SERVICES GROUP, INC. PA 5.02 02/14/13
POSITIVEID Corp DE 1.01,7.01,9.01 02/15/13
Post Holdings, Inc. MO 8.01,9.01 02/21/13
POTLATCH CORP DE 5.02 02/15/13
PPG INDUSTRIES INC PA 5.02,9.01 02/18/13
PRAXAIR INC DE 8.01,9.01 02/21/13
PROCTER & GAMBLE Co OH 7.01 02/21/13
Prosper Funding LLC DE 5.02 02/20/13 AMEND
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 2.02,7.01,9.01 02/21/13
PUMA BIOTECHNOLOGY, INC. DE 8.01,9.01 02/20/13
QLT INC/BC A1 2.02,9.01 02/21/13
QUANTA SERVICES INC DE 2.02,9.01 02/21/13
QUANTA SERVICES INC DE 2.02,9.01 02/21/13
RADIO ONE, INC. DE 2.01,2.02,8.01,9.01 02/20/13
ReachLocal Inc 7.01 02/21/13
REALPAGE INC DE 5.02,8.01,9.01 02/19/13
RED MOUNTAIN RESOURCES, INC. FL 7.01,9.01 02/21/13
REDWOOD TRUST INC MD 2.02,7.01,9.01 02/21/13
Regency Energy Partners LP DE 2.02,7.01,9.01 02/21/13
Regenicin, Inc. NV 8.01 11/19/12
REGIONS FINANCIAL CORP DE 5.02,8.01,9.01 02/21/13
RELIANCE STEEL & ALUMINUM CO CA 2.02,9.01 02/21/13
REPROS THERAPEUTICS INC. DE 8.01,9.01 02/21/13
RESEARCH FRONTIERS INC DE 5.02 02/19/13
RETAIL OPPORTUNITY INVESTMENTS CORP DE 2.02,9.01 02/21/13
REVLON CONSUMER PRODUCTS CORP DE 1.01,9.01 02/21/13
REVLON INC /DE/ DE 1.01,9.01 02/21/13
RITE AID CORP DE 1.01,2.03,8.01,9.01 02/21/13
Riverbed Technology, Inc. DE 5.02 02/20/13
Rock-Tenn CO GA 7.01,9.01 02/21/13
ROCKY BRANDS, INC. OH 2.02,9.01 02/21/13
ROYAL CARIBBEAN CRUISES LTD 5.02 02/18/13
RUBY TUESDAY INC GA 5.02 02/14/13
SAFEWAY INC DE 2.02,9.01 02/21/13
Samson Oil & Gas LTD C3 2.02,9.01 02/20/13
SANDISK CORP DE 5.02 02/15/13
SBT Bancorp, Inc. CT 8.01,9.01 02/20/13
SCANA CORP SC 2.02,9.01 02/21/13
SCHOOL SPECIALTY INC WI 1.01 02/14/13
SELECT MEDICAL HOLDINGS CORP 2.02,9.01 02/21/13
SHERWIN WILLIAMS CO OH 2.02,9.01 02/20/13
Shutterstock, Inc. 2.02,9.01 02/21/13
SI Financial Group, Inc. 2.02,9.01 02/21/13
SIGMA LABS, INC. NV 1.01 02/14/13
SIMMONS FIRST NATIONAL CORP AR 8.01,9.01 02/21/13
SIRONA DENTAL SYSTEMS, INC. DE 5.02,9.01 02/20/13
SM Energy Co DE 2.02,9.01 02/20/13
SOUNDBITE COMMUNICATIONS INC 2.02,9.01 02/21/13
SOURCEFIRE INC DE 2.02,9.01 02/21/13
Southcross Energy Partners, L.P. DE 7.01,9.01 02/20/13
SOUTHERN STATES SIGN Co NV 1.01,2.01,3.02, 11/01/12 AMEND
5.01,5.02,5.03,5.06,9.01
SOUTHERN UNION CO DE 7.01,9.01 02/20/13
SOUTHWESTERN ENERGY CO DE 2.02,9.01 02/20/13
SOUTHWESTERN ENERGY CO DE 7.01 02/21/13
Spansion Inc. DE 5.03,9.01 02/15/13
SPECTRANETICS CORP DE 2.02,9.01 02/21/13
SPECTRUM PHARMACEUTICALS INC DE 2.02,9.01 02/21/13
STEPAN CO DE 8.01,9.01 02/19/13
Stream Global Services, Inc. DE 2.02,9.01 02/21/13
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 02/15/13
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 02/15/13
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 02/15/13
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 02/15/13
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 02/15/13
STRUCTURED PROD TIERS CORP BOND-BCKD DE 8.01,9.01 02/15/13
STRUCTURED PRODUCTS CORP COR TRUST FO DE 8.01,9.01 02/15/13
STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 02/15/13
STURM RUGER & CO INC DE 1.01,9.01 02/14/13
Sucampo Pharmaceuticals, Inc. 7.01,9.01 02/21/13
SUMMIT FINANCIAL GROUP INC WV 5.02,9.01 02/14/13
SUN COMMUNITIES INC MD 2.02,9.01 02/21/13
SUNOCO LOGISTICS PARTNERS L.P. DE 2.02,9.01 02/20/13
SUNRISE REAL ESTATE GROUP INC TX 4.01,9.01 02/18/13
SWIFT ENERGY CO 2.02,9.01 02/21/13
Symmetry Medical Inc. DE 8.01,9.01 02/21/13
TASER INTERNATIONAL INC 2.02,9.01 02/21/13
TEL INSTRUMENT ELECTRONICS CORP NJ 5.07 01/23/13
TELEFLEX INC DE 2.02,9.01 02/21/13
TELEFLEX INC DE 7.01,9.01 02/21/13
TEREX CORP DE 2.02,9.01 02/20/13
Terreno Realty Corp MD 8.01,9.01 02/19/13
TESSERA TECHNOLOGIES INC DE 7.01,9.01 02/20/13
TF FINANCIAL CORP DE 5.02,9.01 01/17/13 AMEND
THESTREET, INC. DE 2.02,9.01 02/21/13
Tim Hortons Inc. A6 2.02,8.01,9.01 02/21/13
Timberline Resources Corp DE 7.01,9.01 02/20/13
Titan Iron Ore Corp. NV 1.01,3.02,9.01 01/09/13
Tongxin International, Ltd. D8 2.02,9.01 02/21/13
TOOTSIE ROLL INDUSTRIES INC VA 7.01,9.01 02/20/13
Tornier N.V. P7 2.02,5.02,9.01 02/21/13
TORO CO DE 2.02,9.01 02/21/13
Travelport LTD D0 5.02 02/14/13
TreeHouse Foods, Inc. DE 2.02,7.01,9.01 02/21/13
TRINITY INDUSTRIES INC DE 2.02,7.01,9.01 02/20/13
TUTOR PERINI Corp MA 2.02,9.01 02/21/13
UIL HOLDINGS CORP CT 2.02,7.01,9.01 02/21/13
Under Armour, Inc. MD 5.03,9.01 02/14/13
UNITED BANCSHARES INC/OH OH 7.01,8.01,9.01 02/21/13
UNITED SECURITY BANCSHARES INC DE 2.02,9.01 02/21/13
UNIVERSAL ELECTRONICS INC DE 2.02,9.01 02/21/13
UNIVERSAL TECHNICAL INSTITUTE INC DE 8.01,9.01 02/20/13
UNIVERSAL TECHNICAL INSTITUTE INC DE 5.07 02/20/13
VALASSIS COMMUNICATIONS INC DE 2.02,9.01 02/21/13
VALLEY FINANCIAL CORP /VA/ VA 8.01,9.01 02/21/13
VICOR CORP DE 2.02,9.01 02/20/13
Vitacost.com, Inc. DE 5.02,9.01 02/18/13 AMEND
VIVUS INC CA 8.01,9.01 02/21/13
VMWARE, INC. DE 5.02 02/15/13
Volcano Corp DE 2.02,9.01 02/21/13
VONAGE HOLDINGS CORP DE 5.02 02/19/13
WAL MART STORES INC DE 2.02,9.01 02/21/13
Walter Energy, Inc. DE 2.02,9.01 02/20/13
WASTE CONNECTIONS, INC. DE 7.01 02/21/13
WAUSAU PAPER CORP. WI 2.05,9.01 02/21/13
WebMD Health Corp. DE 2.02,9.01 02/21/13
WELLS FARGO & COMPANY/MN DE 9.01 02/21/13
WEST CORP DE 1.01,2.03,9.01 02/18/13
WEST MARINE INC DE 2.02,9.01 02/21/13
WEST PHARMACEUTICAL SERVICES INC PA 2.02,7.01,9.01 02/21/13
WESTFIELD FINANCIAL INC MA 7.01,9.01 02/21/13
WGL HOLDINGS INC VA 8.01,9.01 02/20/13
Wheeler Real Estate Investment Trust, MD 8.01,9.01 02/19/13
WORLD FUEL SERVICES CORP FL 2.02,7.01,9.01 02/21/13
WRIGHT MEDICAL GROUP INC DE 2.02,9.01 02/21/13
X-CHANGE CORP NV 1.01,4.01,9.01 02/21/13
XCEL ENERGY INC MN 7.01 02/21/13
ZALE CORP DE 2.02,9.01 02/21/13
http://www.sec.gov/news/digest/2013/dig022213.htm
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