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Commission AnnouncementsSEC Issues Risk Alert and Investor Bulletin on Investment Adviser Custody RuleThe Securities and Exchange Commission today issued a Risk Alert on compliance with its custody rule for investment advisers and it also issued an Investor Bulletin about the rule, which is designed to protect advisory clients from theft or misuse of their funds and securities. The alert by the SEC’s Office of Compliance Inspections and Examinations (OCIE) comes after a review of recent examinations where significant deficiencies were identified showed custody-related issues in about one-third of the firms examined. The advisers’ deficiencies included:
In addition, for advisers to audited pooled investment vehicles, the examinations found some failed to meet requirements to engage an independent accountant and demonstrate that financial statements were distributed to all fund investors. “Because the safeguarding of assets is central to investor protection, it is critical that investment advisers follow our rules when they maintain custody of their clients’ funds,” said SEC Chairman Elisse B. Walter. “We take deficiencies in this area very seriously and want to put advisers on alert about the importance of complying with the custody rule,” said OCIE Director Carlo V. di Florio. “It is a key component of our investment adviser examination program.” The alert notes that the recent findings of custody deficiencies have resulted in a range of actions. These included remedial measures by advisers, such as drafting, amending or enhancing their written compliance procedures, policies or processes, changing their business practices, or devoting more resources or attention to custody issues. OCIE’s National Exam Program also has made referrals to the SEC’s Division of Enforcement where appropriate. The bulletin by the SEC’s Office of Investor Education and Advocacy (OIEA) describes the requirements of the custody rule, including the requirement for custodians to send account statements to investment advisory clients at least every quarter. The bulletin notes that even though the custody rule provides enhanced protections to investors, it is not a substitute for investors’ own oversight and monitoring of their investments. “Investors should always ask questions – including questions about the custody issues discussed in this Investor Bulletin – when considering an investment,” said OIEA Director Lori Schock. “Asking questions and monitoring investments are key ways to protect yourself from investment fraud.” (Press Rel. 2013-33) Enforcement ProceedingsCommission Revokes Registration of Securities of Clean Power Technologies, Inc. for Failure to Make Required Periodic FilingsOn March 4, 2013, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the registration of each class of registered securities of Clean Power Technologies, Inc. (CPWE) for failure to make required periodic filings with the Commission. Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, CPWE consented to the entry of an Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of CPWE’s securities pursuant to Section 12(j) of the Exchange Act. 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. 34-69021; File No. 3-15225) Commission Revokes Registration of Securities of Maverick Oil And Gas, Inc. for Failure to Make Required Periodic FilingsOn March 4, 2013, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the registration of each class of registered securities of Maverick Oil and Gas, Inc. (MAVO) for failure to make required periodic filings with the Commission. Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, MAVO consented to the entry of an Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of MAVO’s securities pursuant to Section 12(j) of the Exchange Act. 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. 34-69022; File No. 3-15226) Commission Revokes Registration of Securities of Ati Liquidating, Inc. (n/k/a Aviza Technology, Inc.) for Failure to Make Required Periodic FilingsOn March 4, 2013, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the registration of each class of registered securities of ATI Liquidating, Inc. (n/k/a Aviza Technology, Inc.) (AVZAQ) for failure to make required periodic filings with the Commission. Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, AVZAQ consented to the entry of an Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of AVZAQ’s securities pursuant to Section 12(j) of the Exchange Act. 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. 34-69023; File No. 3-15227) Commission Revokes Registration of Securities of Atlantic Southern Financial Group, Inc. for Failure to Make Required Periodic FilingsOn March 4, 2013, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the registration of each class of registered securities of Atlantic Southern Financial Group, Inc. (ASFN) for failure to make required periodic filings with the Commission. Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, ASFN consented to the entry of an Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of ASFN’s securities pursuant to Section 12(j) of the Exchange Act. 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. 34-69024; File No. 3-15228) Other Commission Orders, Notices, and InformationConditional Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934The Commission granted an exemption, subject to certain conditions, to Topaz Exchange, LLC pursuant to Section 36(a) of the Securities Exchange Act of 1934 (Exchange Act) from certain requirements of Rules 6a-1 and 6a-2 under the Exchange Act. Publication is expected in the Federal Register during the week of March 4. (Rel. 34-69011) Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934The Commission has published for public comment Topaz Exchange, LLC’s application (File No. 10-209) for registration as a national securities exchange under Section 6 of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 4. (Rel. 34-69012) Request for Data and Other InformationThe Securities and Exchange Commission is requesting data and other information, in particular quantitative data and economic analysis, relating to the benefits and costs that could result from various alternative approaches regarding the standards of conduct and other obligations of broker-dealers and investment advisers. We intend to use the comments and data we receive to inform our consideration of alternative standards of conduct for broker-dealers and investment advisers when providing personalized investment advice about securities to retail customers. We also will use this information to inform our consideration of potential harmonization of certain other aspects of the regulation of broker-dealers and investment advisers. Publication is expected in the Federal Register during the week of March 4. (Rel. 34-69013; IA-3558) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by The NASDAQ Stock Market LLC relating to Relating to Pricing Clarification (SR-NASDAQ-2013-034) 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 March 4. (Rel. 34-69006) A proposed rule change filed by the Miami International Securities Exchange LLC to establish the MIAX Top of Market (“ToM”) data product (SR-MIAX-2013-05) 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 March 4. (Rel. 34-69007) Proposed Rule ChangesNYSE Arca, Inc. has filed a proposed rule change (SR-NYSEArca-2013-18) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade fourteen series of the iShares Trust under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of March 4. (Rel. 34-69008) A proposed rule change filed by National Stock Exchange, Inc. to adopt a new order type called the Midpoint-Seeker Order and amend Rule 11.3(c) regarding rounding of sub-penny midpoint executions (SR-NSX-2013-07) 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 March 4. (Rel. 34-69009) Accelerated Approval of Proposed Rule ChangesThe Commission granted accelerated approval of a proposed rule change (SR-CME-2013-14) filed by Chicago Mercantile Exchange Inc. (CME) under Section 19(b)(1) of the Securities Exchange Act of 1934 related to the acceptance of additional interest rate swaps for clearing. Publication is expected in the Federal Register during the week of March 4. (Rel. 34-69016) The Commission granted accelerated approval of a proposed rule change (SR-CME-2013-01) filed by Chicago Mercantile Exchange Inc. (CME) under Section 19(b)(1) of the Securities Exchange Act of 1934 related to an increase in CME’s corporate contribution to its interest rate swaps financial safeguards package. Publication is expected in the Federal Register during the week of March 4. (Rel. 34-69017) 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-3D COLUMBIA PROPERTY TRUST, INC., ONE GLENLAKE PARKWAY, SUITE 1200, ATLANTA, GA, 30328, 4044652200 - 50,000,000 ($350,000,000.00) Equity, (File 333-186975 - Mar. 1) (BR. 08C) S-8 YAHOO INC, 4083493300 - 350,598 ($7,390,605.84) Equity, (File 333-186976 - Mar. 1) (BR. 03B) F-3 SAFE BULKERS, INC., 32 AVENUE KARAMANLI, P.O. BOX 70837, 16605 VOULA, ATHENS, J3, 16605, 011-30-210-895-7070 - 0 ($300,000,000.00) Other, (File 333-186977 - Mar. 1) (BR. 05B) S-8 iSoftStone Holdings Ltd, International Software Plaza Bldg 9, Zhongguancun Software Park No. 8 West Do, Beijing, F4, 100193, (86-10) 5874-9000 - 0 ($7,445,917.93) ADRs/ADSs, (File 333-186978 - Mar. 1) (BR. 03C) S-3ASR LILLY ELI & CO, LILLY CORPORATE CTR, DROP CODE 1112, INDIANAPOLIS, IN, 46285, 3172762000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186979 - Mar. 1) (BR. 01B) S-1 WAGEWORKS, INC., 1100 PARK PLACE, 4TH FLOOR, SAN MATEO, CA, 94403, 650-557-5200 - 5,575,782 ($129,525,415.86) Equity, (File 333-186980 - Mar. 1) (BR. 02) F-10 INTEROIL CORP, 25025 I-45 NORTH, SUITE 420, WOODLANDS, TX, 77380, 2812921800 - 0 ($1,000,000,000.00) Equity, (File 333-186982 - Mar. 1) (BR. 04A) S-3 WISCONSIN PUBLIC SERVICE CORP, 700 NORTH ADAMS STREET, PO BOX 19001, GREEN BAY, WI, 54307-9001, 9204331459 - 500,000,000 ($500,000,000.00) Non-Convertible Debt, (File 333-186984 - Mar. 1) (BR. 02B) N-2 PREDEX Fund, 17605 WRIGHT STREET, SUITE 2, OMAHA, NE, 68430, 402-493-4603 - 10,000,000 ($100,000,000.00) Equity, (File 333-186987 - Mar. 1) (BR. 18) S-3ASR INTEGRYS ENERGY GROUP, INC., 130 EAST RANDOLPH DRIVE, CHICAGO, IL, 60601, 800-699-1269 - 0 ($0.00) Equity, (File 333-186988 - Mar. 1) (BR. 02B) S-8 ACME PACKET INC, 100 CROSBY DRIVE, BEDFORD, MA, 01730, 781-328-4400 - 0 ($89,759,250.00) Equity, (File 333-186989 - Mar. 1) (BR. 03A) S-3ASR Alpha Natural Resources, Inc., ONE ALPHA PLACE, P.O. BOX 16429, BRISTOL, VA, 24209, 276-619-4410 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186990 - Mar. 1) (BR. 09B) S-3ASR Duke Energy CORP, 550 SOUTH TRYON STREET, DEC45, CHARLOTTE, NC, 28202, 704-382-3853 - 0 ($500,000,000.00) Debt, (File 333-186991 - Mar. 1) (BR. 02A) S-8 GOLDFIELDS INTERNATIONAL INC, 3077 E. WARM SPRINGS ROAD, SUITE 300, LAS VEGAS, NV, 89120, 800-315-6551 - 8,900,000 ($2,225,000.00) Equity, (File 333-186992 - Mar. 1) (BR. 09A) S-3ASR VERTEX PHARMACEUTICALS INC / MA, 130 WAVERLY STREET, CAMBRIDGE, MA, 02139-4242, 6173416100 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186993 - Mar. 1) (BR. 01B) S-1 Annie's, Inc., 1610 FIFTH STREET, BERKELEY, CA, 94710, 800-288-1089 - 0 ($163,837,625.00) Equity, (File 333-186994 - Mar. 1) (BR. 04B) S-8 AMARANTUS BIOSCIENCE, INC., 675 ALMANOR AVE., SUNNYVALE, CA, 94085, (408) 737-2734 - 10,000,000 ($640,000.00) Equity, (File 333-186995 - Mar. 1) (BR. 01A) S-8 CHICAGO BRIDGE & IRON CO N V, OOSTDUINLAAN 75, THE HAGUE, P7, 2596 JJ, 31-70-3732010 - 1,259,024 ($66,514,237.92) Equity, (File 333-186996 - Mar. 1) (BR. 06A) S-8 IKANOS COMMUNICATIONS, 47669 FREMONT BLVD., FREMONT, CA, 94538, (510) 979-0400 - 4,500,000 ($7,875,000.00) Equity, (File 333-186997 - Mar. 1) (BR. 11C) F-10 GOLDCORP INC, SUITE 3400, 666 BURRARD STREET, VANCOUVER, A1, V6C 2X8, 604-696-3000 - 1,500,000,000 ($1,500,000,000.00) Debt, (File 333-186998 - Mar. 1) (BR. 09B) S-8 Blackstone Group L.P., 345 PARK AVENUE, NEW YORK, NY, 10154, (212) 583-5000 - 0 ($382,657,963.00) Equity, (File 333-186999 - Mar. 1) (BR. 12B) S-3 EXACT SCIENCES CORP, 441 CHARMANY DRIVE, MADISON, WI, 53719, 608-284-5700 - 0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-187000 - Mar. 1) (BR. 01A) S-3 US ECOLOGY, INC., 300 E. MALLARD, STE 300, BOISE, ID, 83706, 2083318400 - 500,000,000 ($500,000,000.00) Equity, (File 333-187001 - Mar. 1) (BR. 06A) S-8 ENTROPIC COMMUNICATIONS INC, 6290 SEQUENCE DRIVE, SAN DIEGO, CA, 92121, 858-768-3600 - 0 ($25,685,296.00) Equity, (File 333-187002 - Mar. 1) (BR. 10A) S-4 US ECOLOGY, INC., 300 E. MALLARD, STE 300, BOISE, ID, 83706, 2083318400 - 0 ($100,000,000.00) Equity, (File 333-187003 - Mar. 1) (BR. 06A) S-8 Guidewire Software, Inc., 1001 E. HILLSDALE BOULEVARD, FOSTER CITY, CA, 94404, 650-357-9100 - 2,804,448 ($86,797,665.60) Equity, (File 333-187004 - Mar. 1) (BR. 03B) S-8 NORTHWEST NATURAL GAS CO, ONE PACIFIC SQUARE, 220 NW SECOND AVE, PORTLAND, OR, 97209, 5032264211 - 0 ($31,944,470.00) Equity, (File 333-187005 - Mar. 1) (BR. 02B) S-3 NEWBRIDGE BANCORP, P O BOX 867, ONE LSB PLZ, LEXINGTON, NC, 27293-0867, 3362486500 - 12,788,010 ($72,763,777.00) Equity, (File 333-187006 - Mar. 1) (BR. 07B) S-1 PACK FUERTE, INC., 2360 CORPORATE CIRCLE, SUITE 400, HENDERSON, NV, 89074, (702)331-8633 - 6,800,000 ($136,000.00) Equity, (File 333-187007 - Mar. 1) (BR. ) N-2 NUVEEN CALIFORNIA MUNICIPAL VALUE FUND INC, 333 W WACKER DR, CHICAGO, IL, 60606, 3129178200 - 1,000 ($10,400.00) Equity, (File 333-187008 - Mar. 1) (BR. 18) N-2 NUVEEN NEW JERSEY PREMIUM INCOME MUNICIPAL FUND INC, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 3129178200 - 1,000 ($16,140.00) Equity, (File 333-187009 - Mar. 1) (BR. 18) N-2 NUVEEN CALIFORNIA INVESTMENT QUALITY MUNICIPAL FUND INC, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 3129178200 - 1,000 ($16,130.00) Equity, (File 333-187010 - Mar. 1) (BR. 18) S-3ASR Catamaran Corp, 2441 WARRENVILLE ROAD, SUITE 610, LISLE, IL, 60532, 630-577-3100 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187011 - Mar. 1) (BR. 01A) S-3 Mid-Con Energy Partners, LP, 2431 E. 61ST STREET, SUITE 850, TULSA, OK, 74136, 918-743-7575 - 0 ($411,706,808.00) Unallocated (Universal) Shelf, (File 333-187012 - Mar. 1) (BR. 04A) S-11 Silver Bay Realty Trust Corp., 601 CARLSON PARKWAY, SUITE 250, MINNETONKA, MN, 55305, 952-358-4400 - 0 ($367,722,467.61) Equity, (File 333-187014 - Mar. 1) (BR. 08B) S-11 Silver Bay Realty Trust Corp., 601 CARLSON PARKWAY, SUITE 250, MINNETONKA, MN, 55305, 952-358-4400 - 0 ($126,264,966.02) Equity, (File 333-187015 - Mar. 1) (BR. 08B) S-3ASR TUPPERWARE BRANDS CORP, 14901 S ORANGE BLOSSOM TRAIL, ORLANDO, FL, 32837-6600, (407) 826-5050 - 0 ($0.00) Other, (File 333-187016 - Mar. 1) (BR. 06C) 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 ----------------------------------------------------------------------------------------- 3M CO DE 2.02,9.01 03/01/13 Adamis Pharmaceuticals Corp DE 8.01 10/25/12 Adamis Pharmaceuticals Corp DE 8.01,9.01 02/28/13 ADVENTRX PHARMACEUTICALS INC DE 5.03,8.01,9.01 02/28/13 Aegion Corp DE 7.01,9.01 02/28/13 Aegion Corp DE 2.02,9.01 02/25/13 AETRIUM INC MN 2.02,8.01,9.01 02/27/13 AFFYMAX INC DE 8.01 02/27/13 AGL RESOURCES INC GA 1.01,2.03,9.01 02/26/13 ALL AMERICAN PET COMPANY, INC. NV 1.01 02/25/13 Allegiant Travel CO NV 1.01 02/26/13 ALLERGAN INC DE 2.01,9.01 03/01/13 ALLETE INC MN 8.01 03/01/13 Allied World Assurance Co Holdings, A 5.02 02/25/13 ALLSTATE CORP DE 8.01 02/28/13 AMAG PHARMACEUTICALS INC. DE 2.02,9.01 03/01/13 AMERICAN AXLE & MANUFACTURING HOLDING DE 1.01,9.01 02/28/13 AMERICAN ELECTRIC POWER CO INC NY 7.01 03/01/13 AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 03/01/13 American Realty Capital Properties, I MD 8.01 02/28/13 American Realty Capital Properties, I MD 5.07,8.01 02/26/13 American Realty Capital Trust III, In MD 5.07 02/26/13 AMERICAN VANGUARD CORP DE 2.02,9.01 02/28/13 Americas Diamond Corp. NV 1.01,9.01 02/25/13 AMES NATIONAL CORP IA 8.01,9.01 02/27/13 Ampio Pharmaceuticals, Inc. DE 8.01,9.01 02/25/13 Anacor Pharmaceuticals Inc DE 8.01,9.01 02/28/13 Annie's, Inc. DE 1.01,5.02,8.01,9.01 02/28/13 APPLE INC CA 5.07 02/27/13 AQUA AMERICA INC PA 5.02 02/27/13 ARK RESTAURANTS CORP NY 1.01,2.03,9.01 02/25/13 Artemis Acquisition Corp. DE 1.01,4.01,5.02,9.01 02/20/13 Artemis Acquisition Corp. DE 1.01,4.01,5.02,9.01 02/20/13 AMEND ARTHROCARE CORP DE 7.01 02/26/13 Ascena Retail Group, Inc. DE 7.01,9.01 02/28/13 ATLANTIC POWER CORP A1 2.02,9.01 02/28/13 ATLANTIC POWER CORP A1 1.01,3.03,8.01,9.01 02/28/13 AUTHENTIDATE HOLDING CORP DE 8.01,9.01 02/27/13 AVIS BUDGET GROUP, INC. DE 5.02 03/01/13 Azteca Acquisition Corp D8 8.01,9.01 02/28/13 B-Scada, Inc. DE 4.01,9.01 02/28/13 BEST BUY CO INC MN 2.02,7.01,9.01 03/01/13 BIOSANTE PHARMACEUTICALS INC DE 2.02,8.01,9.01 03/01/13 BIOSPECIFICS TECHNOLOGIES CORP DE 8.01 02/28/13 Bitzio, Inc. NV 1.01,1.02,2.01,3.02, 02/28/13 9.01 BOSTON BEER CO INC MA 8.01 02/27/13 BPZ RESOURCES, INC. TX 7.01,9.01 02/28/13 BRANDYWINE REALTY TRUST MD 2.01,9.01 02/25/13 BRANDYWINE REALTY TRUST MD 5.02,9.01 02/25/13 BRUKER CORP DE 5.02 02/25/13 Bulova Technologies Group, Inc. FL 3.02,9.01 02/25/13 Cactus Ventures, Inc. NV 5.02 03/01/13 CapLease, Inc. 1.01,5.03,9.01 02/26/13 Carter Validus Mission Critical REIT, MD 8.01 02/28/13 Catamaran Corp B0 8.01,9.01 03/01/13 CBL & ASSOCIATES PROPERTIES INC DE 1.01,9.01 03/01/13 CC Media Holdings Inc 1.01,2.03,8.01,9.01 02/28/13 CELL THERAPEUTICS INC WA 2.02,7.01,9.01 02/28/13 CHARTER COMMUNICATIONS, INC. /MO/ DE 8.01,9.01 02/28/13 Cheniere Energy Partners, L.P. DE 7.01,9.01 03/01/13 CHEROKEE INC DE 5.02,9.01 02/25/13 CHEVRON CORP DE 5.02 02/26/13 CHICOPEE BANCORP, INC. 5.02,9.01 02/28/13 CHICOS FAS INC FL 2.02,9.01 02/28/13 China VantagePoint Acquisition Co 3.03,5.01,5.07,8.01, 02/25/13 9.01 Chrysler Group LLC DE 8.01,9.01 03/01/13 CHUBB CORP NJ 5.02,9.01 02/27/13 CINCINNATI FINANCIAL CORP OH 7.01,9.01 03/01/13 Circle Entertainment, Inc. DE 5.02 03/01/13 CITIZENS REPUBLIC BANCORP, INC. MI 8.01,9.01 02/26/13 CLEAR CHANNEL COMMUNICATIONS INC TX 1.01,2.03,8.01,9.01 02/28/13 Clearwire Corp /DE DE 1.01,2.03,9.01 03/01/13 CNS RESPONSE, INC. DE 5.02 02/25/13 CNS RESPONSE, INC. DE 1.01,3.02 02/25/13 COHERENT INC DE 5.07 02/27/13 COLUMBIA PROPERTY TRUST, INC. MD 7.01,9.01 03/01/13 Commercial Vehicle Group, Inc. DE 5.02,8.01,9.01 03/01/13 CommonWealth REIT MD 8.01,9.01 02/27/13 CommonWealth REIT MD 5.03,8.01,9.01 02/28/13 COMMUNITY HEALTH SYSTEMS INC DE 5.02 02/27/13 COMPUWARE CORP MI 2.05 02/25/13 CONSTELLATION BRANDS, INC. DE 5.02,7.01,9.01 02/27/13 Constellation Energy Partners LLC DE 2.01,8.01,9.01 02/28/13 CROSSTEX ENERGY INC DE 2.02,9.01 02/28/13 CROSSTEX ENERGY INC DE 1.01,9.01 03/01/13 CROSSTEX ENERGY LP DE 2.02,9.01 02/28/13 CROSSTEX ENERGY LP DE 8.01,9.01 03/01/13 CROSSTEX ENERGY LP DE 1.01,8.01,9.01 03/01/13 CUBIC CORP /DE/ DE 5.08 03/01/13 CVR ENERGY INC DE 2.02,7.01,9.01 02/28/13 CVR Refining, LP DE 2.02,7.01,9.01 02/28/13 DC BRANDS INTERNATIONAL INC CO 8.01 02/28/13 DCB FINANCIAL CORP OH 5.02 03/01/13 DCP Midstream Partners, LP DE 1.01,7.01,9.01 02/28/13 DEL TORO SILVER CORP. NV 1.01,3.02,9.01 02/12/13 Delphi Automotive PLC Y9 1.01,2.03,9.01 03/01/13 DEPOMED INC CA 8.01 02/28/13 DIAMOND HILL INVESTMENT GROUP INC OH 2.02,9.01 03/01/13 DiamondRock Hospitality Co 2.02,5.02,9.01 02/28/13 DiamondRock Hospitality Co 7.01,8.01,9.01 02/28/13 Diligent Board Member Services, Inc. DE 2.02,7.01,9.01 02/28/13 DineEquity, Inc DE 5.02,9.01 02/26/13 Dividend Capital Diversified Property MD 8.01 02/01/13 Dorman Products, Inc. PA 5.02,9.01 03/01/13 Dorman Products, Inc. PA 8.01 03/01/13 DYNAMICS RESEARCH CORP MA 8.01 02/27/13 DYNAVAX TECHNOLOGIES CORP DE 5.02 02/25/13 DYNAVAX TECHNOLOGIES CORP DE 2.02,9.01 03/01/13 Eastern Insurance Holdings, Inc. PA 8.01,9.01 03/01/13 EASTMAN KODAK CO NJ 7.01,8.01,9.01 03/01/13 Eaton Corp plc 5.02 02/26/13 EDISON MISSION ENERGY DE 7.01,9.01 03/01/13 EDUCATIONAL DEVELOPMENT CORP DE 8.01,9.01 02/28/13 Edwards Lifesciences Corp DE 8.01 02/27/13 El Paso Pipeline Partners, L.P. DE 7.01 02/28/13 Emergency Medical Services CORP DE 1.01,2.03,9.01 02/27/13 EMMIS COMMUNICATIONS CORP IN 5.08 02/27/13 Enertopia Corp. NV 1.01,3.02,7.01,9.01 03/01/13 ENVESTNET, INC. DE 4.02 02/27/13 ENVESTNET, INC. DE 4.01,9.01 02/13/13 AMEND ERHC Energy Inc CO 8.01,9.01 02/28/13 EVCARCO, INC. NV 2.01,3.02,9.01 02/26/13 Excel Trust, Inc. MD 8.01 03/01/13 Exelis Inc. IN 2.02,7.01,9.01 03/01/13 ExlService Holdings, Inc. DE 2.02,9.01 03/01/13 EXTREME NETWORKS INC DE 8.01 03/01/13 Federal Home Loan Bank of Seattle 2.03 02/25/13 FIRST CITIZENS BANCSHARES INC /DE/ DE 2.02,7.01,9.01 03/01/13 First Connecticut Bancorp, Inc. MD 2.02,9.01 03/01/13 FIRST PACTRUST BANCORP INC MD 2.02,9.01 03/01/13 FLORIDA GAMING CORP DE 5.07,8.01 02/25/13 FLOWERS FOODS INC GA 8.01,9.01 02/28/13 FNB United Corp. NC 1.02,9.01 02/27/13 FORD MOTOR CO DE 8.01,9.01 03/01/13 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 03/01/13 FOREST OIL CORP NY 5.02 02/26/13 FOSTER WHEELER AG V8 2.02,9.01 03/01/13 FOSTER WHEELER AG V8 9.01 03/01/13 AMEND Francesca's Holdings CORP 5.02,7.01,9.01 02/25/13 FREEPORT MCMORAN COPPER & GOLD INC DE 8.01,9.01 03/01/13 FREEPORT MCMORAN COPPER & GOLD INC DE 8.01,9.01 03/01/13 FreightCar America, Inc. DE 5.02,9.01 02/25/13 FTI CONSULTING INC MD 2.02,7.01,9.01 02/28/13 Geo Point Resources, Inc. NV 4.01,9.01 02/28/13 Georgetown Bancorp, Inc. MD 5.02,9.01 02/25/13 GOLD AMERICAN MINING CORP. NV 1.01,2.01,3.02,3.03, 02/25/13 5.01,5.02,5.06,9.01 Goliath Film & Media Holdings 5.03,9.01 02/28/13 Graystone Co DE 3.02 03/01/13 Graystone Co DE 4.01,9.01 02/15/13 AMEND GREAT PLAINS ENERGY INC MO 7.01,9.01 03/01/13 GREIF INC DE 2.02,5.07,7.01,8.01, 02/25/13 9.01 Groupon, Inc. DE 5.02,9.01 02/28/13 GUITAR CENTER HOLDINGS, INC. DE 5.02 03/01/13 HALLADOR ENERGY CO CO 2.02 03/01/13 HANDY & HARMAN LTD. DE 2.02,9.01 02/28/13 HANOVER INSURANCE GROUP, INC. DE 5.02 02/26/13 HARLAND CLARKE HOLDINGS CORP DE 5.02,9.01 03/01/13 HARLAND CLARKE HOLDINGS CORP DE 7.01,9.01 02/26/13 AMEND HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,2.06,4.02,9.01 02/26/13 HAYNES INTERNATIONAL INC DE 5.07 02/25/13 HEALTH DISCOVERY CORP 2Q 5.02,8.01 02/25/13 HeartWare International, Inc. DE 5.02 02/26/13 HELIX ENERGY SOLUTIONS GROUP INC MN 5.02,7.01,9.01 02/28/13 HERBALIFE LTD. E9 1.01,9.01 02/28/13 HERSHA HOSPITALITY TRUST MD 1.01,2.03,3.03,5.03, 02/25/13 8.01,9.01 Hillenbrand, Inc. IN 5.02,9.01 02/27/13 HITOR GROUP, INC. NV 4.02 11/19/12 HITTITE MICROWAVE CORP 5.02 02/26/13 HMG COURTLAND PROPERTIES INC DE 2.01,9.01 02/25/13 HMS INCOME FUND, INC. MD 5.02 02/25/13 HOME PROPERTIES INC MD 8.01,9.01 03/01/13 HONEYWELL INTERNATIONAL INC DE 8.01,9.01 03/01/13 HOSPIRA INC DE 5.02 02/25/13 HOSPITALITY PROPERTIES TRUST MD 2.02,9.01 03/01/13 Huntsman CORP DE 8.01,9.01 02/28/13 IBERIABANK CORP LA 4.02 02/27/13 ICAHN ENTERPRISES L.P. DE 1.01,7.01,9.01 02/28/13 Imperial Resources, Inc. 4.01 02/27/13 IMPLANT SCIENCES CORP MA 1.01,2.03,3.02,5.03, 03/01/13 7.01,9.01 INFINITY ENERGY RESOURCES, INC DE 2.03,9.01 02/26/13 Inland Diversified Real Estate Trust, MD 7.01,9.01 03/01/13 INTERLEUKIN GENETICS INC DE 1.01 02/25/13 INTERLINE BRANDS, INC./DE DE 5.02,9.01 03/01/13 INTERMUNE INC DE 4.02 02/25/13 Invesco Ltd. D0 4.01,9.01 02/25/13 IPARTY CORP DE 1.01,2.03,3.01,8.01, 02/28/13 9.01 JEFFERIES GROUP INC /DE/ DE 8.01,9.01 03/01/13 Jefferies Group LLC DE 5.02,9.01 02/28/13 Jefferies Group LLC DE 1.01,2.01,3.01,3.02, 02/26/13 3.03,5.01,5.02,5.03, 5.07 KAMAN CORP CT 4.01,9.01 02/28/13 AMEND KEMPER Corp DE 5.02,8.01,9.01 02/25/13 Keyuan Petrochemicals, Inc. NV 8.01,9.01 02/28/13 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 02/28/13 KINDER MORGAN MANAGEMENT LLC DE 7.01 02/28/13 KINDER MORGAN, INC. DE 7.01 02/28/13 KKR Financial Holdings LLC DE 8.01,9.01 03/01/13 KNOLL INC DE 7.01 02/28/13 LEHMAN ABS CORP BOEING NOTE BACKED SE DE 8.01,9.01 02/15/13 LEHMAN ABS CORP BOEING SECURITIES BAC DE 8.01,9.01 02/15/13 LEHMAN ABS CORP DUKE CAPITAL NOTE BAC DE 8.01,9.01 02/15/13 LEHMAN ABS CORP GOLD SACHS CAP I SEC DE 8.01,9.01 02/15/13 LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S DE 8.01,9.01 02/15/13 LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S DE 8.01,9.01 02/15/13 LEUCADIA NATIONAL CORP NY 1.01,2.01,2.03,3.02, 02/26/13 5.02,5.03,5.07,8.01, 9.01 LHC Group, Inc 8.01,9.01 02/28/13 LIME ENERGY CO. DE 1.01,2.01,7.01,9.01 02/28/13 LIMITED BRANDS INC DE 2.02,7.01 02/28/13 LIQUIDITY SERVICES INC DE 5.07 02/28/13 LNB BANCORP INC OH 5.02,9.01 02/26/13 LOCAL Corp DE 1.01,3.02,9.01 02/28/13 Location Based Technologies, Inc. NV 7.01,9.01 02/27/13 LOGITECH INTERNATIONAL SA 2.05 02/27/13 LPL Financial Holdings Inc. DE 5.02,7.01,9.01 03/01/13 MACKINAC FINANCIAL CORP /MI/ MI 8.01,9.01 03/01/13 MAGNUM HUNTER RESOURCES CORP DE 1.01,2.03,9.01 02/25/13 Maiden Holdings, Ltd. D0 7.01,9.01 03/01/13 Maiden Holdings, Ltd. D0 7.01,9.01 03/01/13 MAP Pharmaceuticals, Inc. DE 2.01,3.01,3.02,3.03, 03/01/13 5.01,5.02,5.03,9.01 MARKETAXESS HOLDINGS INC 5.02 02/27/13 MASTEC INC FL 2.02,7.01,9.01 02/28/13 MATTEL INC /DE/ DE 8.01 02/25/13 MAUI LAND & PINEAPPLE CO INC HI 2.02,9.01 02/27/13 MBT FINANCIAL CORP MI 8.01 03/01/13 MEDICINOVA INC DE 1.01,9.01 02/27/13 Meetinghouse Bancorp, Inc. MD 8.01,9.01 03/01/13 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01 02/28/13 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01 02/28/13 MetaStat, Inc. NV 1.01,2.03,3.02,9.01 02/28/13 MICROSTRATEGY INC DE 1.01,9.01 02/25/13 MICROVISION INC DE 3.01,9.01 02/26/13 Millennial Media Inc. DE 5.02 02/26/13 ML Winton FuturesAccess LLC DE 5.03,9.01 11/30/12 AMEND MMRGlobal, Inc. DE 3.02 02/25/13 MONEYGRAM INTERNATIONAL INC 5.02 02/26/13 MOOG INC NY 5.02 02/26/13 Morgans Hotel Group Co. DE 2.02,9.01 02/28/13 Morningstar, Inc. IL 7.01 03/01/13 MULTIBAND CORP MN 1.01 02/28/13 NAVISTAR INTERNATIONAL CORP DE 7.01 02/28/13 NEVADA GOLD & CASINOS INC NV 5.02,9.01 02/28/13 NISSAN WHOLESALE RECEIVABLES CORP II DE 1.01,8.01,9.01 02/28/13 Noranda Aluminum Holding CORP DE 8.01,9.01 03/01/13 NORTHERN OIL & GAS, INC. 2.02,9.01 02/28/13 NORTHWEST BANCORPORATION INC WA 2.02,9.01 03/01/13 NORTHWEST NATURAL GAS CO OR 2.02,5.02,7.01,9.01 03/01/13 NRG ENERGY, INC. DE 9.01 12/14/12 AMEND NuStar Energy L.P. DE 7.01,9.01 03/01/13 NuStar GP Holdings, LLC DE 7.01,9.01 03/01/13 Oasis Petroleum Inc. DE 4.02 03/01/13 OMEGA PROTEIN CORP NV 5.02 02/28/13 OphthaliX, Inc. DE 1.01,5.02,9.01 02/25/13 Orchid Island Capital, Inc. MD 8.01,9.01 02/28/13 Orient Paper Inc. NV 7.01,9.01 03/01/13 ORRSTOWN FINANCIAL SERVICES INC PA 5.03,9.01 02/28/13 Ottawa Savings Bancorp, Inc. X1 8.01 03/01/13 OURPETS CO CO 2.02,9.01 02/28/13 PALATIN TECHNOLOGIES INC DE 7.01,9.01 03/01/13 PALL CORP NY 2.01,9.01 02/27/13 Parametric Sound Corp NV 5.07 03/01/13 AMEND PASSPORT POTASH INC A8 8.01,9.01 02/26/13 PATHEON INC 9.01 12/14/12 AMEND PDL BIOPHARMA, INC. DE 2.02,7.01,9.01 03/01/13 PEABODY ENERGY CORP DE 1.04 02/26/13 Pendrell Corp DE 5.02,9.01 02/25/13 PennantPark Floating Rate Capital Ltd 5.07 02/26/13 PENNANTPARK INVESTMENT CORP 7.01,9.01 03/01/13 PENNANTPARK INVESTMENT CORP 5.07 02/26/13 PEPCO HOLDINGS INC DE 2.02,7.01,9.01 03/01/13 Pingtan Marine Enterprise Ltd. E9 2.01,3.01,5.01,5.02, 02/25/13 5.03,5.06,5.07,9.01 PNC FINANCIAL SERVICES GROUP, INC. PA 2.02,5.02,9.01 02/25/13 PNM RESOURCES INC NM 2.02,9.01 03/01/13 POPULAR INC 8.01,9.01 03/01/13 POPULAR INC 7.01,9.01 03/01/13 POWERSECURE INTERNATIONAL, INC. DE 1.01,2.01,7.01,9.01 02/28/13 PPLUS Trust Series EQ-1 DE 8.01 02/28/13 PPLUS Trust Series LMG-3 8.01 02/28/13 PPlus Trust Series LMG-4 DE 8.01 02/28/13 PRAXAIR INC DE 8.01,9.01 03/01/13 PRAXAIR INC DE 8.01,9.01 03/01/13 PREMIER ALLIANCE GROUP, INC. NV 1.01,3.02,9.01 12/26/12 AMEND PREMIER FINANCIAL BANCORP INC KY 7.01,9.01 03/01/13 PRIME GLOBAL CAPITAL GROUP Inc NV 4.01,9.01 03/01/13 Proto Labs Inc 5.02,9.01 02/27/13 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 03/01/13 PUBLIX SUPER MARKETS INC FL 2.02,9.01 03/01/13 Quadrant 4 Systems Corp FL 1.01,3.02,9.01 02/26/13 Quanex Building Products CORP DE 5.07,8.01,9.01 02/28/13 QUIDEL CORP /DE/ DE 5.02,9.01 02/25/13 RAND CAPITAL CORP NY 9.01 03/01/13 REALTY INCOME CORP MD 5.07,7.01,9.01 01/16/13 AMEND RESPONSE BIOMEDICAL CORP A1 8.01,9.01 02/26/13 RITE AID CORP DE 8.01 02/28/13 S&W Seed Co NV 5.02,9.01 02/26/13 SABA SOFTWARE INC DE 1.01,4.01,5.02,9.01 02/25/13 SANDRIDGE ENERGY INC DE 2.01,9.01 02/26/13 SANTARUS INC DE 8.01 02/28/13 SCG Financial Acquisition Corp. DE 1.01,7.01,8.01,9.01 03/01/13 SEALY CORP DE 8.01,9.01 03/01/13 SecureAlert, Inc. UT 3.02 02/28/13 SecureAlert, Inc. UT 5.02,5.07,9.01 02/25/13 SERVICEMASTER CO DE 5.02 02/25/13 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 7.01,9.01 03/01/13 SHILOH INDUSTRIES INC DE 2.02 03/01/13 Shire plc 8.01,9.01 03/01/13 Shire plc 8.01,9.01 03/01/13 SILVER BULL RESOURCES, INC. NV 5.02,9.01 02/26/13 SILVERSTAR MINING CORP. NV 5.02,9.01 03/01/13 SINCLAIR BROADCAST GROUP INC MD 7.01,8.01,9.01 02/25/13 SJW CORP CA 5.02 02/28/13 SquareTwo Financial Corp DE 2.02,9.01 03/01/13 ST JOSEPH INC CO 4.01,9.01 02/25/13 STAAR SURGICAL CO DE 7.01,9.01 02/27/13 STAG Industrial, Inc. 5.02 03/01/13 STARWOOD PROPERTY TRUST, INC. 8.01 02/27/13 Station Casinos LLC NV 1.01,2.03,8.01,9.01 03/01/13 STEINER LEISURE Ltd C5 5.02 02/27/13 STERLING FINANCIAL CORP /WA/ WA 8.01 02/28/13 STONEMOR PARTNERS LP DE 5.02,9.01 02/28/13 STRYKER CORP MI 8.01 03/01/13 STURM RUGER & CO INC DE 7.01,9.01 02/28/13 Sucampo Pharmaceuticals, Inc. 5.02,9.01 02/25/13 SUPERIOR INDUSTRIES INTERNATIONAL INC CA 2.02 02/28/13 SWIFT ENERGY CO 7.01,9.01 03/01/13 SWIFT TRANSPORTATION Co 8.01 02/28/13 Swisher Hygiene Inc. DE 3.01,8.01,9.01 02/27/13 Targa Resources Corp. DE 5.02,9.01 02/26/13 TAUBMAN CENTERS INC MI 1.01,2.03,9.01 02/28/13 TE Connectivity Ltd. V8 5.03,9.01 03/01/13 Telanetix,Inc DE 5.02 02/26/13 TigerLogic CORP DE 5.07 02/28/13 Timberline Resources Corp DE 7.01,9.01 02/28/13 TITAN INTERNATIONAL INC IL 7.01,9.01 03/01/13 TOYOTA MOTOR CREDIT CORP CA 7.01,9.01 03/01/13 Transocean Ltd. V8 7.01,9.01 03/01/13 Transocean Ltd. V8 2.02,9.01 03/01/13 TRANSWITCH CORP /DE DE 3.01 02/26/13 Triangle Petroleum Corp DE 1.01,2.03,9.01 02/25/13 TRIUMPH GROUP INC DE 1.01,2.03,9.01 02/28/13 TRUE RELIGION APPAREL INC DE 8.01 02/26/13 TTM TECHNOLOGIES INC WA 2.02 02/05/13 AMEND TUCOWS INC /PA/ PA 8.01,9.01 03/01/13 Two Harbors Investment Corp. 5.02 03/01/13 UFP TECHNOLOGIES INC DE 2.02,9.01 02/28/13 UNITED BANCORP INC /MI/ MI 5.02,9.01 03/01/13 UNITED COMMUNITY BANKS INC GA 4.01,9.01 03/01/13 AMEND UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 12/14/12 AMEND usell.com, Inc. DE 3.02,5.02,5.03,9.01 02/25/13 UV FLU TECHNOLOGIES INC NV 5.02 02/27/13 Vanguard Natural Resources, LLC DE 2.02,7.01,9.01 03/01/13 VEECO INSTRUMENTS INC DE 7.01 03/01/13 Viggle Inc. DE 8.01 03/01/13 VII Peaks-KBR Co-Optivist Income BDC MD 2.02,8.01,9.01 02/27/13 VITRAN CORP INC A6 1.01 02/26/13 VIVUS INC CA 2.02,9.01 02/25/13 WAGEWORKS, INC. DE 5.02 02/26/13 WATERSTONE FINANCIAL INC WI 2.02 12/31/12 WAYNE SAVINGS BANCSHARES INC /DE/ DE 2.02,9.01 02/28/13 WELLS FARGO & COMPANY/MN DE 9.01 03/01/13 WESBANCO INC WV 8.01,9.01 03/01/13 WESTAR ENERGY INC /KS KS 7.01,9.01 03/01/13 Western Refining, Inc. DE 7.01,9.01 03/01/13 Westport Energy Holdings Inc. DE 1.01,9.01 03/01/13 WHITE MOUNTAINS INSURANCE GROUP LTD D0 5.02 02/27/13 WRIGHT MEDICAL GROUP INC DE 1.01,2.01,2.03,8.01, 03/01/13 9.01 XCEL ENERGY INC MN 8.01 02/28/13 XFormity Technologies, Inc. TX 5.02 02/25/13 YUM BRANDS INC NC 8.01 03/01/13 ZIPCAR INC 1.01,9.01 02/27/13 ZOGENIX, INC. DE 1.01 02/28/13 Zoom Telephonics, Inc. DE 2.02,9.01 02/25/13 02/22/13
http://www.sec.gov/news/digest/2013/dig030413.htm
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