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Commission AnnouncementsChange in the Meeting: Date and Time ChangeThe Open Meeting scheduled for Wednesday, March 6, 2013 at 10:00 a.m. has been changed to Thursday, March 7, 2013 at 1:00 p.m. 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 ProceedingsIn the Matter of Advanced ID Corp.An Administrative Law Judge issued an Order Making Findings and Revoking Registrations of Seven Respondents by Default in Advanced ID Corp., Admin. Proc. 3-15202. The Default Order finds that the defaulted Respondents had securities registered with the Securities and Exchange Commission (Commission) pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act), and that Respondents failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and/or 13a-13 by failing to file required periodic reports with the Commission. Based on these facts, the Administrative Law Judge found it necessary and appropriate for the protection of investors to revoke the registration of each class of registered securities of Advanced ID Corp., Beijing Century Health Medical, Inc., China Agricorp, Inc., Dragon International Group Corp., EnDevCo, Inc., Ensign Services, Inc., and eTelCharge.com, Inc. The Division of Enforcement was given leave to file a Motion for Summary Disposition as to Aeon Holdings, Inc. (n/k/a BCM Energy Partners, Inc.), and Electronic Kourseware International, Inc., has submitted a signed Offer of Settlement. (Rel. 34-69035; File No. 3-15202) In the Matter of Peak Wealth Opportunities, LLCAn Administrative Law Judge has issued an Order Making Findings and Imposing Sanctions by Default (Default Order) in Peak Wealth Opportunities, LLC, Admin. Proc. File No. 3-14979. The Administrative Law Judge previously found Respondents Peak Wealth Opportunities, LLC (Peak Wealth), and David W. Dube, CPA (Dube), (collectively, Respondents) in default in an Order issued on December 5, 2012. The Securities and Exchange Commission (Commission) issued its Order Instituting Proceedings on August 10, 2012, alleging that Respondents Peak Wealth and Dube violated Section 15(c) of the Investment Company Act of 1940 and Sections 204 and 203A of the Investment Advisers Act of 1940 (Advisers Act) and Rules 204-1(a)(1) and 204-2(a)(1), (2), (4), (5), and (6), and 203A-1(b)(2) thereunder. The Default Order finds that Respondents committed the alleged violations. To protect the public interest, it (1) orders Respondents to cease and desist from committing or causing any violations, or any future violations, of Sections 204 and 203A of the Investment Advisers Act and Rules 204-1(a)(1), 204-2(a)(1), (2), (4), (5), and (6), and 203A-1(b)(2) thereunder; (2) orders revocation of the investment adviser registration of Peak Wealth; (3) bars Dube from association with brokers, dealers, investment advisers, municipal securities dealers, transfer agents, municipal advisors, and nationally recognized statistical rating organizations; and (4) permanently denies Dube the privilege of appearing or practicing before the Commission. (Rel. 34-69036; IA-3562; IC-30414; AAE Rel. 3448; File No. 3-14979) SEC Charges Advisers to the RAHFCO Hedge Funds with FraudThe Securities and Exchange Commission (Commission) filed a civil injunctive action on Mar. 1, 2013, in the United States District Court for the Southern District of New York relating to the fraudulent offer and sale of limited partnership interests in two hedge funds -- RAHFCO Funds LP and RAHFCO Growth Fund LP (collectively RAHFCO Hedge Funds). The Commission charged RAHFCO Management Group, LLC (RAHFCO Management), a Delaware corporation and general partner of RAHFCO Hedge Funds; its principal, Randal Kent Hansen of Sioux Falls, South Dakota; Hudson Capital Partners Corporation (HCP), a New York corporation, the sub-adviser/portfolio manager of RAHFCO Hedge Funds; and Vincent Puma of Morganville, New Jersey, the principal of HCP, with securities fraud, among other violations of the securities laws, for engaging in a fraudulent scheme that defrauded investors out of more than $10 million. The Commission’s complaint alleges that the RAHFCO Hedge Funds raised approximately $23.5 million from over 100 investors nationwide between 2007 and the funds’ collapse in about May 2011. Additionally, the complaint alleges that the primary function of the Defendants’ scheme was to convince investors to invest in fraudulent pooled investments that purportedly traded in options and futures on the S&P 500 Index and in equities, then the Defendants siphoned off the invested funds for the Defendants’ own purposes. The complaint also alleges that, in furtherance of their fraud, Defendants engaged in schemes to defraud investors and made material misrepresentations to investors and others. The Commission’s complaint alleges that all of the defendants violated the antifraud provisions of the securities laws in Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and Section 17(a) of the Securities Act of 1933. The complaint also alleges that Hansen and RAHFCO Management violated Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 and that Puma and HCP aided and abetted these violations. Finally, the complaint alleges that Hansen and RAHFCO Management violated Section 15(a) of the Exchange Act by acting as unregistered broker-dealers. The Commission’s complaint seeks permanent injunctions, third-tier civil penalties, disgorgement plus prejudgment interest, and other relief against all of the defendants. [SEC v. Randal Kent Hansen et al, Civil Action No. 13-cv-01403, (S.D.N.Y.)] (LR-22631) SEC v. Colin McCabe (D/B/A Elite Stock Report, The Stock Profiteer, and Resource Stock Advisor)On March 4, 2013, the Securities and Exchange Commission filed a civil action in the United States District Court for the District of Utah charging Canadian stock promoter Colin McCabe with disseminating false and misleading information to investors when recommending penny stocks to them. In its complaint, the Commission alleges that, from at least early 2008 through 2011, McCabe, among other things: made false and misleading claims about how he selected recommended stocks; failed to disclose to his newsletter subscribers that he was being paid substantial sums to recommend some of the same stocks in his other publications; and made false and misleading statements about the assets of one of the issuers he recommended. According to the complaint, McCabe falsely claimed that his publications were the result of extensive research conducted by researchers with relevant expertise and contacts, when, in fact, McCabe’s research was limited to reviewing issuers’ filings with the Commission, press releases, and issuer websites, and he did not have any assistance in researching stocks or writing his publications. The complaint alleges that while touting the quality of his stock picking research, McCabe failed to disclose to his newsletter subscribers that he was being paid substantial sums, a total of more than $16 million between early 2008 and 2011, to promote some of the same stocks he recommended to them in his other publications. The complaint further alleges that McCabe falsely represented that Guinness Exploration Inc. (“Guinness”) had acquired a mining property well before discoveries in May 2009 turned the region into “a red-hot area play,” when, in fact, the property was not acquired until months later in November 2009. According to the complaint, McCabe’s claims that Guinness’ property held “an estimated recoverable resource in excess of 1 million ounces of gold” were also false and misleading. The complaint alleges that McCabe, doing business as Elite Stock Report, The Stock Profiteer and Resource Stock Advisor, violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission seeks a final judgment permanently enjoining McCabe from future violations of the federal securities laws and ordering him to pay civil penalties and disgorgement of ill-gotten gains plus prejudgment interest. [SEC v. Colin McCabe (D/B/A Elite Stock Report, The Stock Profiteer, and Resource Stock Advisor), Civil Action No. 2:13-cv-00161] (LR-22632) INVESTMENT COMPANY ACT RELEASESThe Advisors’ Inner Circle Fund, et al.A notice has been issued giving interested persons until March 29, 2013 to request a hearing on an application filed by The Advisors’ Inner Circle Fund, 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 would permit (a) certain series of registered open-end management investment companies to acquire shares of other registered open-end management investment companies or unit investment trusts that are within or outside the same group of investment companies as the acquiring companies and (b) certain series of registered open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30412 – March 4) Cohen & Steers Real Assets Fund, Inc., et al.A notice has been issued giving interested persons until March 28, 2013 to request a hearing on an application filed by Cohen & Steers Real Assets Fund, Inc., et al. for an order exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (Rel. IC-30413 – March 4) 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 INTERMOLECULAR INC, 3011 NORTH FIRST STREET, SAN JOSE, CA, 95134, (408) 582-5700 - 1,982,113 ($18,968,821.00) Equity, (File 333-187017 - Mar. 4) (BR. 10A) S-8 CHESAPEAKE ENERGY CORP, 6100 N WESTERN AVE, OKLAHOMA CITY, OK, 73118, 4058488000 - 6,500,000 ($126,295,000.00) Equity, (File 333-187018 - Mar. 4) (BR. 04B) S-8 GasLog Ltd., Gildo Pastor Center, 7 Rue Du Gabian, MC, O9, 98000, 377 97 97 51 15 - 3,143,158 ($40,986,780.32) Equity, (File 333-187020 - Mar. 4) (BR. 05B) S-8 GILAT SATELLITE NETWORKS LTD, 7037349401 - 1,000,000 ($4,005,778.20) Equity, (File 333-187021 - Mar. 4) (BR. 11A) N-2 Nuveen Floating Rate Income Opportunity Fund, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 312-917-8146 - 8,500,000 ($113,985,000.00) Equity, (File 333-187029 - Mar. 4) (BR. 18) N-2 NUVEEN SENIOR INCOME FUND, JOHN NUVEEN & CO INC, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 8,800,000 ($70,840,000.00) Equity, (File 333-187030 - Mar. 4) (BR. 18) N-2 NUVEEN FLOATING RATE INCOME FUND, 12,900,000 ($170,796,000.00) Equity, (File 333-187031 - Mar. 4) (BR. 18) N-2 NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND, 7,700,000 ($108,031,000.00) Equity, (File 333-187032 - Mar. 4) (BR. 18) S-1 TRULIA, INC., 116 NEW MONTGOMERY STREET, SUITE 300, SAN FRANCISCO, CA, 94105, (415) 648-4358 - 0 ($100,000,000.00) Equity, (File 333-187033 - Mar. 4) (BR. 03A) S-3ASR MRC GLOBAL INC., 2 HOUSTON CENTER, 909 FANNIN, SUITE 3100, HOUSTON, TX, 77010, 877.294.7574 - 0 ($0.00) Equity, (File 333-187034 - Mar. 4) (BR. 06C) S-8 Bloomin' Brands, Inc., 2202 NORTH WEST SHORE BOULEVARD, SUITE 500, TAMPA, FL, 33607, 813-282-1225 - 0 ($42,183,891.00) Equity, (File 333-187035 - Mar. 4) (BR. 05C) S-1 NEPHROS INC, 41 GRAND AVENUE, RIVER EDGE,, NJ, 07661, 201.343.5202 - 0 ($3,000,000.00) Equity, (File 333-187036 - Mar. 4) (BR. 10B) S-3ASR OMEGA HEALTHCARE INVESTORS INC, 200 INTERNATIONAL CIRCLE, SUITE 3500, HUNT VALLEY, MD, 21030, 410-427-1700 - 15,000,000 ($417,450,000.00) Equity, (File 333-187037 - Mar. 4) (BR. 08C) S-8 Bio-Solutions Corp., 14517, JOSEPH MARC VERMETTE, MIRABEL, A8, J7J 1X2, 888-686-2611 - 30,000,000 ($510,000.00) Equity, (File 333-187038 - Mar. 4) (BR. 02B) S-1 Market Vectors Redeemable Silver Trust, 335 MADISON AVENUE, NEW YORK, NY, 10017, (212) 293-2000 - 0 ($1,000,000.00) Equity, (File 333-187039 - Mar. 4) (BR. ) S-1 Market Vectors Redeemable Gold Trust, 335 MADISON AVENUE, NEW YORK, NY, 10017, (212) 293-2000 - 0 ($1,000,000.00) Equity, (File 333-187040 - Mar. 4) (BR. ) 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
-----------------------------------------------------------------------------------------
4Licensing Corp NY 8.01,9.01 02/26/13
ABBY INC. 1.02,5.02,9.01 01/28/13 AMEND
ABSOLUTE LIFE SOLUTIONS, INC. NV 1.01 03/04/13
Acadia Healthcare Company, Inc. DE 8.01,9.01 03/04/13
ACURA PHARMACEUTICALS, INC NY 2.02,9.01 03/04/13
ACURA PHARMACEUTICALS, INC NY 7.01,9.01 03/04/13
Affinity Gaming NV 7.01,9.01 03/04/13
AMARANTUS BIOSCIENCE, INC. DE 8.01 03/04/13
AMERICAN APPAREL, INC DE 2.02,9.01 03/04/13
American Caresource Holdings, Inc. DE 2.02,9.01 02/28/13
AMERICAN FINANCIAL GROUP INC OH 5.02 03/01/13
AMERICAN REALTY CAPITAL - RETAIL CENT MD 2.01,9.01 09/30/12 AMEND
AMERICAN TOWER CORP /MA/ DE 7.01,9.01 03/04/13
AMN HEALTHCARE SERVICES INC DE 1.01 02/28/13
ANALOGIC CORP MA 2.01,8.01,9.01 03/01/13
AOL Inc. DE 5.02 02/26/13
Apple REIT Eight, Inc. VA 8.01 03/04/13
Apple REIT Seven, Inc. VA 8.01 03/04/13
APPLIED DNA SCIENCES INC DE 5.07 03/01/13
ARBITRON INC DE 5.02 02/26/13
ARBOR REALTY TRUST INC MD 5.02,9.01 02/28/13
ARCH CAPITAL GROUP LTD. 8.01 02/28/13
ARENA PHARMACEUTICALS INC DE 2.02,9.01 03/04/13
ARKANSAS BEST CORP /DE/ DE 7.01,9.01 03/04/13
Ascena Retail Group, Inc. DE 2.02,9.01 03/04/13
Ascent Capital Group, Inc. DE 2.02,9.01 02/26/13
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 02/28/13
ASHFORD HOSPITALITY TRUST INC MD 5.02 02/26/13
ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 03/04/13
ASSET ACCEPTANCE CAPITAL CORP 5.02 02/26/13
Atlas Energy, L.P. DE 1.01,2.03,9.01 03/01/13
ATWOOD OCEANICS INC TX 7.01,9.01 03/04/13
ATWOOD OCEANICS INC TX 7.01,9.01 03/04/13 AMEND
AUDIENCE INC 2.02 01/31/13 AMEND
AUTONATION, INC. DE 7.01,9.01 03/04/13
AVISTA CORP WA 7.01 03/04/13
B&G Foods, Inc. DE 5.03,9.01 02/27/13
BAKER HUGHES INC DE 5.02,7.01,9.01 02/27/13
BANCFIRST CORP /OK/ OK 7.01 03/04/13
Baoshinn Corp NV 2.01,9.01 03/04/13
BARNWELL INDUSTRIES INC DE 5.07 03/04/13
Bazaarvoice Inc DE 5.02 02/27/13
BB&T CORP NC 5.02 02/26/13
BCSB Bancorp Inc. 5.07 02/13/13 AMEND
BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 03/04/13
BELO CORP DE 5.02 02/28/13
Big Three Restaurants, Inc. FL 1.01,9.01 03/01/13
BIO KEY INTERNATIONAL INC DE 1.01,3.02,9.01 02/26/13
BIOTIME INC CA 7.01,9.01 03/04/13
BJs RESTAURANTS INC CA 8.01,9.01 03/04/13
Bluefire Renewables, Inc. NV 8.01 02/26/13
Bluerock Enhanced Multifamily Trust, MD 1.01,5.02,8.01,9.01 02/22/13
Bluerock Enhanced Multifamily Trust, MD 2.01,7.01,9.01 12/17/12 AMEND
BOISE CASCADE Co DE 1.01,5.02,9.01 02/26/13
BONANZA GOLD CORP. 1.02,9.01 02/21/13
Boomerang Systems, Inc. DE 5.03,9.01 03/01/13
BOYD GAMING CORP NV 2.02,9.01 03/04/13
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 5.02,9.01 03/01/13
CALPINE CORP DE 5.02,9.01 02/28/13
CAPITAL TRUST INC MD 5.02 02/26/13
CardioGenics Holdings Inc. NV 3.02,9.01 02/27/13
CARROLLTON BANCORP MD 1.01,5.02,7.01,9.01 12/20/12
CASELLA WASTE SYSTEMS INC DE 2.02,9.01 03/04/13
CBRE GROUP, INC. DE 8.01,9.01 03/04/13
CECO ENVIRONMENTAL CORP DE 1.01,2.01,3.02,9.01 02/28/13
Cellceutix CORP NV 7.01,9.01 03/01/13
CENTRAL EUROPEAN DISTRIBUTION CORP DE 7.01,9.01 03/04/13
CENTRAL PACIFIC FINANCIAL CORP HI 7.01,9.01 03/04/13
CHART INDUSTRIES INC DE 7.01,9.01 02/28/13
CHASE CORP MA 7.01 02/26/13
CHECKPOINT SYSTEMS INC PA 5.02,8.01,9.01 02/27/13
CHECKPOINT SYSTEMS INC PA 5.02,8.01,9.01 02/27/13
Cinedigm Digital Cinema Corp. DE 1.01,2.03,5.02,8.01, 02/28/13
9.01
Citadel EFT, Inc. NV 5.02 03/04/13
CITY HOLDING CO WV 5.02 02/27/13
CITY HOLDING CO WV 6.02 02/27/13
CNL Healthcare Properties, Inc. MD 9.01 12/19/12 AMEND
COATES INTERNATIONAL LTD \DE\ DE 4.01,9.01 03/04/13
COBIZ FINANCIAL INC CO 7.01 03/04/13
COINSTAR INC DE 7.01,8.01,9.01 03/04/13
CombiMatrix Corp DE 3.02,5.02 02/26/13
CommonWealth REIT MD 8.01,9.01 03/01/13
CONSOLIDATED WATER CO LTD E6 1.01,9.01 02/15/13
Consorteum Holdings, Inc. NV 4.01,9.01 02/21/13 AMEND
CRAFT BREW ALLIANCE, INC. WA 2.02,9.01 03/04/13
CRAILAR TECHNOLOGIES INC A1 5.02 03/01/13
CRAWFORD & CO GA 7.01,9.01 03/04/13
CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 02/28/13
CROWN HOLDINGS INC PA 5.02 03/04/13
CRYO CELL INTERNATIONAL INC DE 2.02,9.01 03/04/13
CubeSmart MD 2.02,7.01,9.01 03/04/13
CUBIST PHARMACEUTICALS INC DE 5.02,9.01 02/28/13
CUMBERLAND PHARMACEUTICALS INC 2.02 03/01/13
Customers Bancorp, Inc. PA 1.01,9.01 02/28/13
DATA I/O CORP WA 2.02,9.01 02/28/13
DDR CORP OH 5.02,9.01 03/04/13
DEERE & CO DE 7.01 03/04/13
DEERE & CO DE 5.07 02/27/13
DELCATH SYSTEMS INC DE 7.01,9.01 03/04/13
DELTA AIR LINES INC /DE/ DE 7.01,9.01 03/04/13
Delta Entertainment Group, Inc. FL 5.02,9.01 02/27/13
DENDREON CORP DE 8.01 03/04/13
DGT Holdings Corp. NY 3.03,5.07,8.01,9.01 02/27/13
DIAMOND HILL INVESTMENT GROUP INC OH 8.01 03/04/13
DiamondRock Hospitality Co 5.02 03/01/13
Digital Cinema Destinations Corp. DE 3.02,9.01 12/17/12 AMEND
DineEquity, Inc DE 7.01,9.01 03/04/13
DOMINOS PIZZA INC 7.01,9.01 03/04/13
DONEGAL GROUP INC DE 7.01,9.01 03/04/13
DTE ENERGY CO MI 7.01,9.01 03/04/13
DUCOMMUN INC /DE/ DE 2.02,9.01 03/04/13
DUKE REALTY CORP IN 7.01,9.01 03/04/13
EARTHLINK INC DE 8.01,9.01 03/01/13
EDIETS COM INC DE 1.01,5.02,9.01 02/26/13
EDUCATION MANAGEMENT CORPORATION 8.01,9.01 03/04/13
EFL OVERSEAS, INC. NV 5.07 03/01/13
ENDURANCE SPECIALTY HOLDINGS LTD 5.02 03/04/13
Epazz Inc IL 8.01 03/04/13
EPIQ SYSTEMS INC MO 2.02,9.01 03/04/13
EQUITY LIFESTYLE PROPERTIES INC MD 2.02,7.01,9.01 03/01/13
EQUITY ONE, INC. 7.01,9.01 03/04/13
ESCALADE INC IN 8.01,9.01 02/28/13
EWaste Systems, Inc. NV 8.01,9.01 02/26/13
EXPEDITORS INTERNATIONAL OF WASHINGTO WA 7.01 03/01/13
FAMOUS DAVES OF AMERICA INC MN 1.01,9.01 03/01/13
Federal Home Loan Bank of New York X1 8.01 03/04/13
Feihe International Inc UT 1.01,8.01,9.01 03/03/13
FIRST CITIZENS BANCSHARES INC /DE/ DE 5.02 03/04/13
FIRST MARINER BANCORP MD 8.01,9.01 03/01/13
FIRST MERCHANTS CORP IN 8.01,9.01 03/04/13
FIRST PACTRUST BANCORP INC MD 8.01,9.01 03/04/13
FIRST PRIORITY FINANCIAL CORP. PA 2.01,3.02,5.02,5.07, 02/26/13
9.01
Fortress Investment Group LLC DE 2.02,9.01 02/27/13
FORWARD AIR CORP TN 2.01,9.01 03/04/13
Freescale Semiconductor, Ltd. D0 1.01,2.03,9.01 03/01/13
FTI CONSULTING INC MD 7.01,9.01 02/28/13
GABRIEL TECHNOLOGIES CORP DE 1.03,5.02 02/14/13
General Motors Co 8.01 03/01/13
GEOPETRO RESOURCES CO CA 1.01,8.01,9.01 02/28/13
GIA INVESTMENTS CORP. NV 1.01,9.01 02/26/13
Global Resource Energy Inc. NV 5.02 03/01/13
GMX RESOURCES INC OK 2.04,3.01,9.01 02/26/13
GNC HOLDINGS, INC. DE 5.02,8.01,9.01 02/27/13
GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 03/04/13
GTJ REIT, Inc. MD 5.02 02/26/13
Guaranty Bancorp DE 7.01,9.01 03/04/13
HALCON RESOURCES CORP DE 5.02,8.01,9.01 02/26/13
HANDENI GOLD INC. NV 8.01,9.01 03/01/13
HARBINGER GROUP INC. DE 9.01 12/21/12 AMEND
HARVARD BIOSCIENCE INC DE 2.02,9.01 02/28/13
HAWAIIAN ELECTRIC INDUSTRIES INC HI 7.01,9.01 03/04/13
HCC INSURANCE HOLDINGS INC/DE/ DE 7.01,9.01 03/04/13
HEALTH NET INC DE 7.01 03/04/13
HECLA MINING CO/DE/ DE 1.01,2.03,3.02,8.01, 03/04/13
9.01
HESS CORP DE 5.02 03/01/13
HIGHWATER ETHANOL LLC 5.07 03/01/13
HORTON D R INC /DE/ DE 1.01,2.03,9.01 03/01/13
Huntsman CORP DE 1.01,2.03,9.01 03/04/13
iBio, Inc. DE 3.01,8.01,9.01 02/26/13
IKANOS COMMUNICATIONS CA 5.02 02/28/13
ImmunoCellular Therapeutics, Ltd. DE 8.01,9.01 03/04/13
IMPAX LABORATORIES INC DE 7.01,9.01 03/04/13
Imperial Holdings, Inc. 1.01,7.01,9.01 03/01/13
INTERMUNE INC DE 8.01 03/01/13
INTERNATIONAL BANCSHARES CORP TX 8.01,9.01 02/28/13
INTERNATIONAL COMMERCIAL TELEVISION I NV 7.01 03/04/13
INTERNATIONAL GAME TECHNOLOGY NV 7.01,9.01 03/04/13
Internet Patents Corp 2.02,9.01 03/04/13
Interval Leisure Group, Inc. DE 5.02 02/26/13
IPARTY CORP DE 8.01,9.01 03/04/13
Ironwood Gold Corp. 5.02 03/01/13
ISABELLA BANK CORP MI 8.01,9.01 03/01/13
iShares S&P GSCI Commodity-Indexed Tr DE 1.01,8.01,9.01 03/01/13
Jazz Pharmaceuticals plc L2 8.01,9.01 03/04/13
John Bean Technologies CORP DE 5.02 02/26/13
JOHNSON OUTDOORS INC WI 5.07,7.01,9.01 02/28/13
Kandi Technologies Group, Inc. DE 1.01,9.01 03/04/13
KAYAK Software Corp DE 5.07,8.01,9.01 03/04/13
KBS Legacy Partners Apartment REIT, I MD 8.01 03/04/13
KILROY REALTY CORP MD 5.02,7.01,9.01 02/28/13
Kips Bay Medical, Inc. DE 1.01 02/26/13
KITE REALTY GROUP TRUST MD 1.01,9.01 02/26/13
Landmark Apartment Trust of America, 3.02,3.03,5.03,9.01 02/25/13
LaSalle Hotel Properties MD 1.01,3.03,5.03,8.01, 02/27/13
9.01
LEXMARK INTERNATIONAL INC /KY/ DE 1.01,2.03,9.01 02/27/13
Liberty Interactive Corp 2.02,7.01,9.01 02/26/13
Liberty Media Corp DE 2.02,7.01,9.01 02/26/13
LIFEPOINT HOSPITALS, INC. 8.01,9.01 03/04/13
LUNA INNOVATIONS INC DE 1.01,2.01,5.02,7.01, 03/01/13
9.01
Luxeyard, Inc. DE 8.01 12/27/12
MEADOWBROOK INSURANCE GROUP INC MI 7.01,9.01 03/04/13
MEMC ELECTRONIC MATERIALS INC DE 5.02,9.01 02/28/13
MEREDITH CORP IA 7.01,9.01 03/04/13
MERITOR INC IN 5.02 02/28/13
METLIFE INC DE 5.03,9.01 02/26/13
MetroCorp Bancshares, Inc. TX 7.01,9.01 03/04/13
MFA FINANCIAL, INC. MD 2.02,7.01 03/04/13
MICHAELS STORES INC DE 5.02 02/26/13
MITEL NETWORKS CORP 1.01,1.02,2.02,2.03, 02/26/13
9.01
MMRGlobal, Inc. DE 1.01 02/26/13
MONEYGRAM INTERNATIONAL INC 5.02 02/26/13
MONITRONICS INTERNATIONAL INC TX 2.02,9.01 02/26/13
Morgans Hotel Group Co. DE 5.02,9.01 02/28/13
MPG Office Trust, Inc. MD 2.02,7.01,9.01 03/04/13
MS STRUCTURED SATURNS SERIES 2002-11 DE 8.01,9.01 03/01/13
MULTI-CORP INTERNATIONAL INC. NV 5.02 03/01/13
NACCO INDUSTRIES INC DE 1.01 02/28/13
National CineMedia, Inc. DE 5.02 02/28/13
NAUTILUS, INC. WA 2.02,9.01 03/04/13
Nevada Gold Holdings, Inc. DE 1.02 02/15/13
New Enterprise Stone & Lime Co., Inc. DE 8.01 03/04/13
NEW YORK COMMUNITY BANCORP INC DE 5.02,9.01 02/26/13
Nielsen Holdings N.V. P7 1.01,2.03,9.01 02/28/13
NORDSON CORP OH 5.02,5.07,9.01 02/26/13
NORTHWESTERN CORP DE 7.01,9.01 03/04/13
NUTRI SYSTEM INC /DE/ DE 5.02,9.01 03/03/13
Och-Ziff Capital Management Group LLC DE 7.01 03/04/13
OFFICEMAX INC DE 1.01,9.01 02/26/13
ONCOR ELECTRIC DELIVERY TRANSITION BO 8.01 02/26/13
OneBeacon Insurance Group, Ltd. 5.02,9.01 02/26/13
OUTDOOR CHANNEL HOLDINGS INC 8.01,9.01 03/04/13
PACIFIC PREMIER BANCORP INC DE 5.02,8.01 03/04/13
PACIFIC PREMIER BANCORP INC DE 5.02,8.01 03/04/13 AMEND
PALL CORP NY 2.02,9.01 02/27/13 AMEND
PDL BIOPHARMA, INC. DE 8.01,9.01 03/04/13
PEPCO HOLDINGS INC DE 8.01 02/27/13
PG&E Corp CA 3.02,8.01,9.01 03/04/13
Philip Morris International Inc. VA 8.01,9.01 02/26/13
PLAINS ALL AMERICAN PIPELINE LP DE 7.01 03/04/13
Poage Bankshares, Inc. MD 5.07 02/19/13
POOL CORP DE 7.01,9.01 03/01/13
POTLATCH CORP DE 7.01,9.01 03/04/13
POZEN INC /NC 1.02 02/27/13
PRAXAIR INC DE 1.01,9.01 03/04/13
PRICELINE COM INC DE 1.01,5.02,9.01 02/26/13
PROASSURANCE CORP DE 7.01,9.01 03/04/13
QUESTCOR PHARMACEUTICALS INC CA 2.02,9.01 02/26/13
RADIAN GROUP INC DE 1.01,2.03,8.01,9.01 02/27/13
RANCHER ENERGY CORP. NV 4.01,9.01 02/27/13
RANGE RESOURCES CORP DE 7.01,9.01 03/04/13
RANGE RESOURCES CORP DE 7.01,9.01 03/04/13
RBC Bearings INC 8.01,9.01 03/01/13
ReachLocal Inc 8.01,9.01 03/04/13
REAL DATA INC UT 8.01 03/04/13
Red Lion Hotels CORP WA 5.02,9.01 02/26/13
Regency Energy Partners LP DE 7.01,9.01 03/04/13
Renewable Energy Group, Inc. DE 2.02,9.01 03/04/13
RESMED INC DE 5.02 02/20/13 AMEND
Resolute Energy Corp DE 8.01 03/01/13
RigNet, Inc. DE 7.01,9.01 03/04/13
ROSETTA STONE INC 2.02,7.01,9.01 02/28/13
Rovi Corp DE 7.01 03/04/13
RURBAN FINANCIAL CORP OH 7.01,9.01 03/04/13
RVPlus Inc. DE 4.01 03/01/13
RYDER SYSTEM INC FL 7.01,9.01 03/04/13
RYLAND GROUP INC MD 5.02,9.01 02/26/13
Ryman Hospitality Properties, Inc. DE 5.02 03/02/13
Sabra Health Care REIT, Inc. MD 7.01,9.01 03/04/13
SANTARUS INC DE 2.02,9.01 03/04/13
SCG Financial Acquisition Corp. DE 4.02 03/01/13
SCHULMAN A INC DE 7.01,9.01 03/04/13
SCOLR Pharma, Inc. DE 2.04,5.02 03/01/13
SELECT COMFORT CORP MN 7.01,9.01 03/04/13
SHFL entertainment Inc. MN 2.02,9.01 03/04/13
Shire plc 8.01,9.01 03/04/13
SILGAN HOLDINGS INC DE 8.01,9.01 03/04/13
Skkynet Cloud Systems, Inc. NV 4.01,9.01 03/01/13
SMART ONLINE INC DE 2.03,3.02 02/27/13
SOCKET MOBILE, INC. DE 4.01,9.01 02/26/13
SONIC AUTOMOTIVE INC DE 5.02 03/01/13
SOTHEBYS DE 2.02,9.01 03/04/13
Spectrum Brands Holdings, Inc. DE 9.01 12/21/12 AMEND
Spectrum Brands, Inc. DE 9.01 12/21/12 AMEND
SPHERIX INC DE 5.02,7.01,9.01 02/27/13
SPHERIX INC DE 4.02 02/27/13 AMEND
STANDARD MOTOR PRODUCTS INC NY 2.02,9.01 03/04/13
Steadfast Income REIT, Inc. MD 7.01,9.01 02/27/13
STERLING FINANCIAL CORP /WA/ WA 5.02 02/26/13
STIFEL FINANCIAL CORP DE 8.01,9.01 03/01/13
STONERIDGE INC OH 2.02,7.01,9.01 03/01/13
STRATEGIC HOTELS & RESORTS, INC 7.01,9.01 03/04/13
Summer Infant, Inc. DE 1.01,2.03,9.01 02/28/13
SUPERVALU INC DE 8.01,9.01 03/04/13
SYCAMORE NETWORKS INC DE 3.01,3.03,9.01 03/04/13
SYNTHESIS ENERGY SYSTEMS INC DE 1.01,5.02,9.01 02/27/13
TC PIPELINES LP DE 7.01 03/04/13
TECH DATA CORP FL 2.02,9.01 03/04/13
TELEDYNE TECHNOLOGIES INC DE 1.01,2.03,9.01 03/01/13
TEMPUR PEDIC INTERNATIONAL INC DE 7.01,9.01 03/04/13
TESCO CORP 2.02,9.01 02/28/13
TESSERA TECHNOLOGIES INC DE 8.01,9.01 03/04/13
TESSERA TECHNOLOGIES INC DE 5.03,9.01 02/27/13
THL Credit, Inc. DE 2.02,9.01 03/04/13
Tianli Agritech, Inc. D8 8.01 11/05/12
TIMKEN CO OH 7.01,9.01 03/04/13
TOR MINERALS INTERNATIONAL INC DE 5.02 03/01/13
TRANSACT TECHNOLOGIES INC DE 5.02 03/04/13
Transcept Pharmaceuticals Inc DE 7.01,9.01 03/04/13
Transocean Ltd. V8 7.01,9.01 03/01/13
Triangle Petroleum Corp DE 1.01,3.02,7.01,9.01 03/02/13
TrovaGene Inc. DE 5.02,9.01 03/04/13
U.S. Well Services, LLC DE 2.02,9.01 03/01/13
UMH PROPERTIES, INC. MD 2.01,7.01,9.01 03/04/13
Uni-Pixel DE 8.01,9.01 03/04/13
UNION FIRST MARKET BANKSHARES CORP VA 8.01,9.01 03/01/13
United Continental Holdings, Inc. DE 7.01,9.01 03/04/13
UNITED SECURITY BANCSHARES INC DE 1.01,5.02,8.01,9.01 02/28/13
URANIUM RESOURCES INC /DE/ DE 8.01,9.01 03/01/13
US AIRWAYS GROUP INC DE 2.02,9.01 03/04/13
VALSPAR CORP DE 5.02,7.01,9.01 03/04/13
Vanguard Natural Resources, LLC DE 1.01,7.01,9.01 03/04/13
VICOR CORP DE 8.01,9.01 03/04/13
VIRCO MFG CORPORATION DE 1.01,9.01 03/01/13
VITRAN CORP INC A6 1.01,2.01,9.01 03/04/13
Vocus, Inc. DE 1.01,2.03,9.01 02/28/13
VOLT INFORMATION SCIENCES, INC. NY 1.01,7.01,9.01 02/27/13
W R GRACE & CO DE 5.02 02/26/13
Walker & Dunlop, Inc. MD 5.02,9.01 03/03/13
WAUSAU PAPER CORP. WI 2.02,9.01 03/04/13 AMEND
Weatherford International Ltd./Switze V8 7.01 03/04/13
Weatherford International Ltd./Switze V8 7.01,9.01 12/31/12
Westinghouse Solar, Inc. DE 7.01,8.01,9.01 03/01/13
WFRBS Commercial Mortgage Trust 2012- 9.01 06/28/12
WFRBS Commercial Mortgage Trust 2012- 9.01 10/30/12
Wild Craze, Inc. NV 1.01,2.01,3.02,9.01 02/25/13
WISCONSIN ENERGY CORP WI 7.01,9.01 03/04/13
WPCS INTERNATIONAL INC DE 5.07,8.01,9.01 02/28/13
WSFS FINANCIAL CORP DE 5.02 02/28/13
http://www.sec.gov/news/digest/2013/dig030513.htm
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