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Enforcement ProceedingsIn the Matter of Cache D. DeckerOn March 14, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Cache D. Decker (“Cache Decker”). The Order finds that the Complaint alleged that Wilcox made materially false and misleading statements to investors in connection with two distinct but related Ponzi schemes orchestrated by Anthony Zufelt (“Zufelt”). From approximately June 2005 through June 2006, Zufelt operated a Ponzi scheme through his company Zufelt, Inc. (“ZI”), and ran a second fraudulent scheme through Silver Leaf Investments, Inc. (“SLI”) between July 2006 and December 2006. The Order finds that the Complaint alleged that, in connection with these schemes, Cache Decker made materially false and misleading statements to investors about, among other things, the profitability of ZI and SLI, the ability of ZI and SLI to repay investors, the use of investor funds, and the security of the investments. The complaint also alleged that Cache Decker acted as an unregistered broker dealer and sold unregistered ZI and SLI securities. Based on the above, the Order bars Cache Decker from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent, and bars him from participating in any offering of a penny stock, including acting as a promoter, finder, consultant, agent or other person who engaged in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Cache Decker consented to the issuance of the Order without admitting or denying any of the findings except he admitted the entry of the final judgment. (Rel. 34-69137; File No. 3-15244) Court Orders Former Prudential Securities Broker to Pay Over $763,000 Related to Deceptive Mutual Fund Market Timing PracticesThe Securities and Exchange Commission announced today that on March 12, 2013, a federal court in New York entered final judgment against Frederick J. O’Meally, the sole remaining defendant in a fraud action filed by the Commission on August 28, 2006. The Commission alleged that he used deceptive practices to evade blocks by mutual fund companies on his market timing trading. In issuing the final judgment, the Honorable Laura Taylor Swain, United States District Court Judge for the Southern District of New York, ordered O’Meally to pay over $763,000 in disgorgement, prejudgment interest, and a civil penalty. On December 14, 2011, a federal jury returned a verdict in the Commission’s favor on securities fraud charges against O’Meally, a resident of Bay Shore, New York. O’Meally is a former registered representative of broker-dealer Prudential Securities Inc. The jury found O’Meally liable for violations of Sections 17(a)(2) and/or (3) of the Securities Act of 1933. The verdict against O’Meally followed a month-long trial in Manhattan before the Honorable Judge Swain. The Commission filed its Complaint on August 28, 2006 against four registered representatives formerly employed by Prudential Securities, Inc. The Complaint alleged that, between 2001 and 2003, certain mutual fund companies detected market timing activity by the defendants and attempted to block the defendants and their hedge fund customers from further trading in their funds. The Complaint further alleged that the defendants used fraudulent and deceptive trading practices to conceal their and their customers’ identities to evade these blocks. Cases against the three other defendants had been resolved previously by settlement. In its final judgment against O’Meally, the court ordered him to pay $444,836 in disgorgement of his profits from illegal market timing transactions plus $258,401.55 in prejudgment interest and a civil penalty of $60,000, for a total of $763,237.55. The Commission also brought related enforcement actions against several other parties associated with Prudential Securities concerning deceptive market timing activities, as well as a settled enforcement action against Prudential Securities itself on August 28, 2006, in which Prudential agreed to pay $270 million that was later distributed to harmed investors. [SEC v. Frederick J. O’Meally et al., Civil Action No. 06-CV-6483-LTS (S.D.N.Y.)] (LR-22643) CORRECTIONA summary, which appeared in Issue 2013-45 of the Digest on March 8, 2013, entitled In the Matter of JC Reed Advisory, should have appeared as follows: In the Matter of JC Reed AdvisoryThe Securities and Exchange Commission (Commission) announced today that the Honorable William J. Haynes, Jr., United States District Judge for the Middle District of Tennessee, entered final judgments on Feb. 27, 2013 against J.C. Reed & Company (JC Parent) and Barron A. Mathis (Mathis). The final judgment against JC Parent, to which JC Parent consented, held JC Parent liable for disgorgement of $11,000,000 and prejudgment interest of $3,910,003.07, for a total of $14,910,003.07. The final judgment against Mathis, to which he consented, restrained and enjoined him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and 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. Mathis also was held liable for disgorgement of $11,000,000 and prejudgment interest of $4,944,175.39, for a total of $15,944,175.39. The Commission’s Complaint, filed on November 18, 2008, alleged that, at various times from no later than 2005 through at least September 2008, JC Parent, J.C. Reed Advisory Group (JC Advisory), John C. Reed (Reed), the founder of JC Parent and JC Advisory, and Mathis facilitated the offer and sale of more than $11 million of JC Parent stock in unregistered transactions to over 100 investors in several states. According to the Complaint, JC Parent, JC Advisory, and Reed misrepresented and omitted material facts to investors relating to the value of the investors’ stock, JC Parent’s revenues and profitability, the use of key man life insurance proceeds for redemptions of Reed’s JC Parent stock, and undisclosed sales commissions. The Complaint also alleges that Mathis promoted JC Parent stock to advisory clients and misrepresented material facts to investors about undisclosed sales commissions. In addition, the Complaint alleges that JC Advisory used JC Parent’s inflated stock values to falsely report assets under management as JC Advisory’s basis for registration with the Commission and on reports filed with the Commission. [SEC v. J.C. Reed & Company, Inc., J.C. Reed Advisory Group, LLC, Barron A. Mathis, and Estate of John C. Reed, Lana L. Reed, Executor, Case No. 3:08-CV-1112 (M.D. Tn.)] (LR-22633A) INVESTMENT COMPANY ACT RELEASESUBS AG, et al.The Commission has issued a permanent order to UBS AG, et al. under Section 9(c) of the Investment Company Act of 1940 (Act) with respect to a guilty plea entered on December 19, 2012, by UBS Securities Japan Co., Ltd. (Settling Firm) in the U.S. District Court for the District of Connecticut in connection with a plea agreement between the Settling Firm and the U.S. Department of Justice. The permanent order exempts applicants and companies of which the Settling Firm is or becomes an affiliated person from the provisions of Section 9(a) of the Act. (Rel. IC-30424 - March 13) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangeInternational Securities Exchange, LLC filed a proposed rule change under Rule 19b-4 (SR-ISE-2013-18) to address order handling under the options order protection and locked/crossed market plan, the authority of the Exchange to cancel orders when a technical or systems issue occurs, and to describe the operation of linkage handler error accounts. Publication is expected in the Federal Register during the week of March 18, 2013. (Rel. 34-69114) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2013-20) to adopt new Exchange Rule 1047(f) and (g) for Limit Up/Limit Down situations 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 18, 2013. (Rel. 34-69118) A proposed rule change filed by NASDAQ OMX BX, Inc. (SR-BX-2013-021) to adopt Chapter V, Section 3(d) and (e) 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 18, 2013. (Rel. 34-69119) A proposed rule change filed by the NASDAQ Stock Market LLC (SR-NASDAQ-2013-040) to adopt Chapter V, Section 3(d) and (e) 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 18, 2013. (Rel. 34-69120) A proposed rule change filed by BATS Exchange, Inc. (SR-BATS-2013-014) to Modify the Operation of Market Orders for BATS Options has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 18, 2013. (Rel. 34-69121) A proposed rule change filed by CBOE Futures Exchange, LLC regarding reportable position reporting of security futures by non-trading privilege holders (SR-CFE-2013-003) has become effective pursuant to Section 19(b)(7) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 18, 2013. (Rel. 34-69122) A proposed rule change filed by International Securities Exchange, LLC to amend the schedule of fees to reflect regulatory fees related to the Central Registration Depository (SR-ISE-2013-21) 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 18, 2013. (Rel. 34-69123) A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to complex orders and mini-options (SR-CBOE-2013-033) 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 18, 2013. (Rel. 34-69129) A proposed rule change (SR-C2-2013-012) filed by C2 Options Exchange, Incorporated, to amend the Fees Schedule 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 18, 2013. (Rel. 34-69130) The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-NYSEMKT-2013-23) filed by NYSE MKT LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to list and trade option contracts overlying 10 shares of certain securities. Publication is expected in the Federal Register during the week of March 18, 2013. (Rel. 34-69131) SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-1 Diversified Restaurant Holdings, Inc., 27680 FRANKLIN ROAD, SOUTHFIELD, MI, 48034, (248) 223-9160 - 0 ($25,000,000.00) Equity, (File 333-187208 - Mar. 13) (BR. 08B) S-8 ATMEL CORP, 1600 TECHNOLOGY DRIVE, SAN JOSE, CA, 95110, 4084410311 - 444,599 ($2,073,650.55) Equity, (File 333-187209 - Mar. 13) (BR. 10A) S-8 Vishay Precision Group, Inc., 3 GREAT VALLEY PARKWAY, SUITE 150, MALVERN, PA, 19355, 484-321-5300 - 2,500,000 ($2,500,000.00) Equity, (File 333-187211 - Mar. 13) (BR. 10B) S-8 SILVER SPRING NETWORKS INC, 555 BROADWAY ST., REDWOOD CITY, CA, 94063, 650-298-4200 - 11,642,918 ($218,779,380.25) Equity, (File 333-187220 - Mar. 13) (BR. 03A) F-3ASR AerCap Holdings N.V., STATIONSPLEIN 965, SCHIPHOL AIRPORT, P7, 1117 CE, 31 20 655 9655 - 0 ($132,071,712.80) Other, (File 333-187222 - Mar. 13) (BR. 06C) S-8 VOIS Inc., 3525 DEL MAR HEIGHTS ROAD, SUITE 802, SAN DIEGO, X1, 92130, 858-461-0423 - 50,000,000 ($225,000.00) Equity, (File 333-187223 - Mar. 13) (BR. 03A) S-8 ATHENAHEALTH INC, 311 ARSENAL STREET, WATERTOWN, MA, 02472, 617-402-1000 - 0 ($59,372,309.12) Equity, (File 333-187224 - Mar. 13) (BR. 02A) S-8 SOLAZYME INC, 225 GATEWAY BLVD., S. SAN FRANCISCO, CA, 94080, 650-780-4777 - 3,662,132 ($30,938,913.00) Equity, (File 333-187225 - Mar. 13) (BR. 06A) S-8 Zeltiq Aesthetics Inc, 4698 Willow Road, Suite 100, Pleasanton, CA, 94588-2710, (925) 474-2500 - 1,350,000 ($5,535,000.00) Equity, (File 333-187226 - Mar. 13) (BR. 10B) S-3ASR CARDTRONICS INC, 3250 BRIARPARK DRIVE, SUITE 400, HOUSTON, TX, 77042, 832-308-4000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187229 - Mar. 13) (BR. 03A) S-3 DELCATH SYSTEMS INC, 810 SEVENTH AVENUE, FL 35, NEW YORK, NY, 10019, 212-489-2100 - 0 ($50,000,000.00) Equity, (File 333-187230 - Mar. 13) (BR. 10A) S-3ASR DiamondRock Hospitality Co, 6903 ROCKLEDGE DRIVE, SUITE 800, BETHESDA, MD, 20817, 240-744-1150 - 0 ($66,201,919.00) Equity, (File 333-187231 - Mar. 13) (BR. 08B) S-3ASR SS&C Technologies Holdings Inc, 80 LAMBERTON RD, WINDSOR, CT, 06095, 860-298-4500 - 0 ($210,257,500.00) Equity, (File 333-187232 - Mar. 13) (BR. 03C) S-8 Trius Therapeutics Inc, 6310 NANCY RIDGE DR SUITE 105, SAN DIEGO, CA, 92121, 858-452-0370 - 0 ($7,251,840.00) Equity, (File 333-187233 - Mar. 13) (BR. 01B) S-8 SUNESIS PHARMACEUTICALS INC, 395 OYSTER POINT BOULEVARD, SUITE 400, SOUTH SAN FRANCISCO, CA, 94080, 650-266-3500 - 2,062,609 ($11,138,088.60) Equity, (File 333-187234 - Mar. 13) (BR. 01B) S-1 GREAT CHINA MANIA HOLDINGS, INC., 203 HANKOW CENTER, 5-15 HANKOW ROAD, TSIMSHATSUI, KOWLOON, K3, 00000, 852-2192-4808 - 10,600,000 ($344,500.00) Equity, (File 333-187235 - Mar. 13) (BR. 05B) S-8 Boomerang Systems, Inc., 30 B VREELAND ROAD, FLORHAM PARK, NJ, 07932, 973-538-1194 - 2,000,000 ($4,800,000.00) Equity, (File 333-187237 - Mar. 13) (BR. 10A) S-3ASR BANCORPSOUTH INC, ONE MISSISSIPPI PL, TUPELO, MS, 38804, 6626802000 - 0 ($500,000,000.01) Unallocated (Universal) Shelf, (File 333-187238 - Mar. 13) (BR. 07B) S-3ASR HERSHA HOSPITALITY TRUST, 44 HERSHA DRIVE, HARRISBURG, PA, 17102, 7172364400 - 0 ($17,243,330.00) Equity, (File 333-187239 - Mar. 13) (BR. 08B) 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
-----------------------------------------------------------------------------------------
A123 SYSTEMS, INC. DE 7.01,9.01 03/07/13
ACE Ltd V8 8.01,9.01 03/13/13
ACE MARKETING & PROMOTIONS INC NY 7.01,8.01,9.01 03/07/13
ACELRX PHARMACEUTICALS INC DE 2.02,9.01 03/12/13
ACORDA THERAPEUTICS INC 8.01,9.01 03/13/13
ADA-ES INC CO 1.01,7.01,8.01,9.01 02/28/13
ADCARE HEALTH SYSTEMS INC OH 4.02 03/08/13
Addus HomeCare Corp DE 2.02,5.02,9.01 03/11/13
AECOM TECHNOLOGY CORP DE 5.07 03/07/13
AIR INDUSTRIES GROUP, INC. DE 7.01,9.01 03/12/13
ALASKA AIR GROUP, INC. DE 7.01,9.01 03/12/13
Alexza Pharmaceuticals Inc. DE 5.02,9.01 03/12/13
ALICO INC FL 8.01,9.01 03/13/13
ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 03/12/13
ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 03/12/13
ALST Casino Holdco, LLC DE 5.02,9.01 03/07/13
Altisource Portfolio Solutions S.A. N4 7.01,9.01 03/13/13
ALTRIA GROUP, INC. VA 8.01,9.01 03/12/13
AMC ENTERTAINMENT INC DE 2.02,7.01,9.01 03/13/13
AMERICA FIRST TAX EXEMPT INVESTORS LP DE 8.01 03/13/13
AMERICAN APPAREL, INC DE 7.01,9.01 03/07/13
AMERICAN INTERNATIONAL GROUP INC DE 5.02,9.01 03/13/13
AMERICAN PACIFIC CORP DE 5.07,7.01,8.01,9.01 03/12/13
AMERICAN REALTY CAPITAL HEALTHCARE TR MD 2.02,9.01 03/13/13
AMERICAN REALTY CAPITAL NEW YORK RECO MD 2.01,9.01 12/31/12 AMEND
AMERICAN SAFETY INSURANCE HOLDINGS LT 8.01,9.01 03/13/13
Annie's, Inc. DE 8.01,9.01 03/13/13
Apple REIT Eight, Inc. VA 2.02,9.01 03/12/13
Apple REIT Seven, Inc. VA 2.02,9.01 03/12/13
Arlington Asset Investment Corp. VA 1.01,9.01 03/08/13
Armour Residential REIT, Inc. MD 8.01,9.01 03/13/13
ASSOCIATED ESTATES REALTY CORP OH 2.01,9.01 03/13/13
ASTORIA FINANCIAL CORP DE 8.01,9.01 03/12/13
AT&T INC. DE 8.01,9.01 03/13/13
ATOSSA GENETICS INC DE 8.01,9.01 03/13/13
Augme Technologies, Inc. DE 8.01 03/11/13
AVON PRODUCTS INC NY 1.01,1.02,2.03,9.01 03/07/13
Bacterin International Holdings, Inc. DE 7.01,9.01 03/13/13
BankUnited, Inc. DE 1.01,9.01 03/07/13
BANNER CORP WA 7.01,9.01 03/13/13
BARRETT BUSINESS SERVICES INC MD 5.03,9.01 03/11/13
BBCN BANCORP INC DE 5.02,5.03,9.01 03/06/13
BG Medicine, Inc. DE 2.02,8.01,9.01 03/13/13
BILL BARRETT CORP DE 7.01,9.01 03/11/13
BioSolar Inc NV 8.01,9.01 03/13/13
BIOSPECIFICS TECHNOLOGIES CORP DE 7.01,9.01 03/13/13
BIOTIME INC CA 7.01,9.01 03/13/13
BnetEFactor, Inc. NV 4.01,9.01 03/13/13
BOSTON BEER CO INC MA 8.01 03/06/13
BOSTON PROPERTIES INC DE 8.01 03/11/13
BOSTON PROPERTIES LTD PARTNERSHIP DE 8.01 03/11/13
BRIGHT HORIZONS FAMILY SOLUTIONS INC. DE 2.02,9.01 03/13/13
BRIGHTCOVE INC DE 5.02 03/07/13
CBOE Holdings, Inc. DE 1.01 03/09/13
CENTRAL EUROPEAN DISTRIBUTION CORP DE 7.01 03/13/13
CHAMBERS STREET PROPERTIES MD 1.01,2.03,8.01,9.01 03/06/13
CHC Helicopter S.A. N4 2.02,9.01 03/13/13
CHIMERA INVESTMENT CORP DE 4.01,9.01 03/11/12 AMEND
China Biologic Products, Inc. 2.02,7.01,9.01 03/13/13
CHRISTOPHER & BANKS CORP DE 2.02,9.01 03/13/13
CN Resources Inc. NV 1.01 03/13/13
CNL Healthcare Properties, Inc. MD 9.01 12/21/12 AMEND
COEUR D ALENE MINES CORP ID 1.01,3.02,9.01 03/12/13
COLDWATER CREEK INC DE 2.02,9.01 03/13/13
COLE CORPORATE INCOME TRUST, INC. MD 8.01 03/05/13
Cole Credit Property Trust II Inc MD 8.01 03/05/13
Cole Credit Property Trust Inc MD 8.01 03/05/13
COLE CREDIT PROPERTY TRUST IV, INC. MD 8.01 03/05/13
COLE REAL ESTATE INCOME STRATEGY (DAI MD 8.01 03/05/13
CORNING INC /NY NY 1.01,1.02,2.03,9.01 03/13/13
CORPORATE OFFICE PROPERTIES TRUST MD 5.02,9.01 03/08/13
CPI CORP DE 5.02 03/08/13
CREDIT ACCEPTANCE CORP MI 8.01 03/07/13
Crexendo, Inc. DE 2.02,9.01 03/13/13
CVR ENERGY INC DE 2.02,7.01,9.01 03/12/13
CVR Refining, LP DE 2.02,7.01,9.01 03/12/13
Cyclacel Pharmaceuticals, Inc. DE 8.01 03/06/13
CYTEC INDUSTRIES INC/DE/ DE 8.01,9.01 03/12/13
DAVEY TREE EXPERT CO OH 5.02 03/08/13
DELCATH SYSTEMS INC DE 1.01,9.01 03/13/13
Diamond Foods Inc DE 5.07 01/14/13 AMEND
DIGIRAD CORP DE 8.01,9.01 03/13/13
DIGIRAD CORP DE 2.05,2.06,5.02,9.01 03/08/13 AMEND
Digital Realty Trust, Inc. 7.01 03/13/13
Discovery Communications, Inc. DE 8.01,9.01 03/12/13
Discovery Energy Corp. NY 1.01,2.03,9.01 03/07/13
DISCOVERY LABORATORIES INC /DE/ DE 2.02,8.01,9.01 03/13/13
DOLE FOOD CO INC DE 7.01,9.01 03/12/13
DORAL FINANCIAL CORP PR 2.02,5.02,7.01,9.01 03/13/13
DYNACQ HEALTHCARE INC NV 1.01 03/07/13
EASTON-BELL SPORTS, INC. DE 5.02 03/07/13
ELECTRO SCIENTIFIC INDUSTRIES INC OR 2.05,2.06 03/11/13
EMAGIN CORP DE 2.02,9.01 03/11/13
Emergent BioSolutions Inc. DE 5.02 03/13/13
EMERITUS CORP\WA\ WA 8.01,9.01 03/12/13
EMPIRE ENERGY CORP UT 8.01 03/12/13
EMULEX CORP /DE/ DE 8.01 03/11/13
ENTERPRISE PRODUCTS PARTNERS L P DE 8.01,9.01 03/11/13
ENZO BIOCHEM INC NY 2.02,7.01,9.01 03/12/13
Epicor Software Corp 1.01 03/07/13
ESSA Bancorp, Inc. PA 5.07 03/08/13
EWaste Systems, Inc. NV 8.01,9.01 03/10/13
EXPRESS, INC. 2.02,8.01,9.01 03/13/13
FEDERATED NATIONAL HOLDING CO FL 2.02,9.01 03/13/13
FIRST BANCORP /NC/ NC 8.01,9.01 03/13/13
First Community Financial Partners, I IL 1.01,2.01,3.02,5.02, 03/12/13
8.01,9.01
FIRST FINANCIAL CORP /IN/ IN 5.02 02/15/13
Franchise Holdings International, Inc NV 4.01,9.01 03/05/13 AMEND
FRANKLIN STREET PROPERTIES CORP /MA/ 1.01,9.01 03/08/13
FREQUENCY ELECTRONICS INC DE 2.02,9.01 03/13/13
FRONTIER COMMUNICATIONS CORP DE 5.02,9.01 03/13/13
FUELCELL ENERGY INC DE 2.02,9.01 03/11/13
GARTNER INC DE 1.01,1.02,2.03 03/07/13
GATEWAY ENERGY CORP/NE DE 4.02 03/05/13
GENESEE & WYOMING INC DE 8.01,9.01 03/13/13
Genie Energy Ltd. DE 2.02,8.01,9.01 03/13/13
GERON CORP DE 2.02,9.01 03/12/13
GLATFELTER P H CO PA 1.01,7.01,9.01 03/13/13
Global Eagle Entertainment Inc. DE 2.02,9.01 03/08/13
Global Eagle Entertainment Inc. DE 2.02,7.01,9.01 03/13/13
GLOBAL GROUP ENTERPRISES CORP. FL 5.01,5.02 02/27/13
GOLDEN QUEEN MINING CO LTD A1 3.02 03/07/13
GREEN ENVIROTECH HOLDINGS CORP. DE 4.01,5.02,9.01 03/13/13
Hallwood Group Inc DE 1.01,9.01 03/11/13
HAMPSHIRE GROUP LTD DE 1.01,5.02,9.01 03/07/13
HEALTHCARE TRUST OF AMERICA, INC. MD 1.01,2.03,7.01,9.01 03/07/13
HEINZ H J CO PA 7.01,8.01,9.01 03/13/13
HI TECH PHARMACAL CO INC NY 1.01,5.02,9.01 03/11/13
HITTITE MICROWAVE CORP 5.02,9.01 03/13/13
HOT TOPIC INC /CA/ CA 2.02,9.01 03/13/13
ICONIX BRAND GROUP, INC. DE 8.01,9.01 03/12/13
Ideal Financial Solutions Inc 8.01 03/13/13
IKONICS CORP 1.01,9.01 03/11/13
Ilustrato Pictures International Inc. NV 3.03,5.03,9.01 03/11/13
INTEGRA LIFESCIENCES HOLDINGS CORP DE 5.02 03/07/13
INTEGRATED ELECTRICAL SERVICES INC DE 1.01,8.01,9.01 03/13/13
INUVO, INC. NV 2.02,7.01,9.01 03/13/13
JDS UNIPHASE CORP /CA/ DE 2.01,9.01 03/07/13
KAR Auction Services, Inc. DE 1.01,9.01 03/12/13
KAYAK Software Corp DE 8.01,9.01 03/13/13
KCAP Financial, Inc. DE 8.01,9.01 03/12/13
KOPIN CORP DE 2.02,9.01 03/13/13
KRONOS WORLDWIDE INC 2.02,7.01,9.01 03/12/13
Landmark Apartment Trust of America, 1.01,2.03,9.01 03/07/13
LEGACY RESERVES LP DE 5.02 03/07/13
LIBERTY STAR URANIUM & METALS CORP. NV 4.01,9.01 01/28/13
MACROSOLVE INC OK 8.01,9.01 03/12/13
MAGNETEK, INC. DE 2.02 03/13/13
MAGNUM HUNTER RESOURCES CORP DE 1.01,3.02,5.02,9.01 03/07/13
MAKEMUSIC, INC. MN 1.01,3.03,8.01,9.01 03/12/13
MAKEMUSIC, INC. MN 2.02,9.01 03/13/13
MANHATTAN ASSOCIATES INC GA 5.02 03/08/13
MCDONALDS CORP DE 7.01,9.01 03/08/13
McEwen Mining Inc. CO 7.01,9.01 03/13/13
MEMC ELECTRONIC MATERIALS INC DE 8.01,9.01 03/13/13
Meritage Homes CORP MD 1.01,2.03,8.01,9.01 03/13/13
METLIFE INC DE 5.02,9.01 03/08/13
MGP INGREDIENTS INC KS 2.02,7.01,9.01 12/31/12
MICHAELS STORES INC DE 2.02,9.01 03/13/13
MINDSPEED TECHNOLOGIES, INC DE 1.01 03/08/13
MISCOR GROUP, LTD. IN 1.01,8.01,9.01 03/13/13
ModusLink Global Solutions Inc DE 5.07,8.01,9.01 03/12/13
NATIONAL FUEL GAS CO NJ 5.02,5.07,7.01,9.01 03/07/13
NATUS MEDICAL INC DE 5.02,9.01 03/10/13
NAVIDEA BIOPHARMACEUTICALS, INC. DE 8.01,9.01 03/13/13
NBTY INC DE 7.01 03/13/13
Neohydro Technologies Corp. NV 5.02 03/08/13
Nevada Gold Corp. DE 1.01,9.01 03/06/13
New Mountain Finance Holdings, L.L.C. DE 1.01,2.03,9.01 03/11/13
NEWS CORP 8.01,9.01 03/13/13
NGL Energy Partners LP DE 9.01 12/31/12 AMEND
NL INDUSTRIES INC NJ 2.02,7.01,9.01 03/12/13
NORDSTROM INC WA 8.01 03/13/13
NRG ENERGY, INC. DE 1.01,9.01 03/13/13
NTS REALTY HOLDINGS LP DE 8.01,9.01 03/12/13
OCWEN FINANCIAL CORP FL 7.01,9.01 03/13/13
OMEGA COMMERCIAL FINANCE CORP WY 1.01,8.01,9.01 03/08/13
ONLINE RESOURCES CORP DE 2.01,3.01,3.02,3.03, 03/11/13
5.01,5.02,5.03,9.01
OptimumBank Holdings, Inc. FL 5.02 03/11/13 AMEND
Orchid Island Capital, Inc. MD 8.01,9.01 03/08/13
Orexigen Therapeutics, Inc. DE 2.02,9.01 03/13/13
ORMAT TECHNOLOGIES, INC. DE 7.01,9.01 03/13/13
ORTHOFIX INTERNATIONAL N V 5.02,7.01,9.01 03/12/13
OUTDOOR CHANNEL HOLDINGS INC 1.01,1.02,8.01,9.01 03/13/13
Pacific Green Technologies Inc. DE 1.01,9.01 03/05/13
PAN AMERICAN GOLDFIELDS LTD DE 4.01,9.01 03/13/13
PANERA BREAD CO DE 5.02 03/13/13
PARKWAY PROPERTIES INC MD 2.03 03/13/13
PAYMENT DATA SYSTEMS INC NV 5.02 03/08/13
PC TEL INC DE 8.01 07/09/12 AMEND
PennyMac Mortgage Investment Trust MD 1.01,2.03,9.01 03/12/13
PEPCO HOLDINGS INC DE 7.01,9.01 03/13/13
PETROSONIC ENERGY, INC. NV 1.01,9.01 03/11/13
PHARMATHENE, INC DE 2.02,9.01 03/13/13
Philip Morris International Inc. VA 5.02,5.03,9.01 03/13/13
PHOTOMEDEX INC 2.02,9.01 03/13/13
PITNEY BOWES INC /DE/ DE 8.01,9.01 03/11/13
POLYONE CORP 2.01,9.01 03/13/13
Polypore International, Inc. 7.01,9.01 03/13/13
PRIMUS TELECOMMUNICATIONS GROUP INC DE 2.02,9.01 03/13/13
PROASSURANCE CORP DE 7.01,8.01,9.01 03/13/13
PROGRESSIVE CORP/OH/ OH 7.01,9.01 03/13/13
PROSPECT GLOBAL RESOURCES INC. NV 5.02,7.01,9.01 03/07/13
PROVIDENCE SERVICE CORP DE 2.02,9.01 03/13/13
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 03/13/13
QMIS Finance Securities Corp DE 8.01 03/01/13
Radiation Therapy Services Holdings, DE 2.02,9.01 03/13/13
RadNet, Inc. DE 2.02,9.01 03/12/13
RAMCO GERSHENSON PROPERTIES TRUST MD 8.01,9.01 03/12/13
REPUBLIC AIRWAYS HOLDINGS INC DE 7.01,8.01,9.01 03/12/13
Resolute Energy Corp DE 8.01,9.01 03/13/13
RESPONSE BIOMEDICAL CORP A1 2.02,9.01 03/11/13
RPX Corp DE 5.02,9.01 03/07/13
SALESFORCE COM INC DE 8.01,9.01 03/11/13
SANDRIDGE ENERGY INC DE 1.01,5.02,5.07,7.01, 03/13/13
9.01
SeaCube Container Leasing Ltd. D0 1.01,2.03,9.01 03/13/13
SEFE, INC. NV 5.02 03/13/13
SHILOH INDUSTRIES INC DE 9.01 12/28/12
Shire plc 8.01,9.01 03/13/13
SIGA TECHNOLOGIES INC DE 8.01,9.01 03/12/13
SIGMA DESIGNS INC CA 2.02,9.01 03/13/13
SIGMATRON INTERNATIONAL INC DE 2.02,9.01 03/13/13
SIGNATURE GROUP HOLDINGS, INC. NV 2.02,7.01,9.01 03/13/13
Sorrento Therapeutics, Inc. DE 1.01 03/07/13
SOTHEBYS DE 5.02 03/13/13
SPARTECH CORP DE 1.02 03/13/13
SPARTECH CORP DE 2.01,3.01,3.03,5.01, 03/13/13
5.02,5.03,5.07,8.01,
9.01
Spirit Airlines, Inc. DE 7.01,9.01 03/12/13
SS&C Technologies Holdings Inc DE 2.01,9.01 05/31/12 AMEND
Standard Gold Holdings, Inc. CO 5.03,8.01,9.01 12/10/12
STATE BANK FINANCIAL CORP GA 2.02,9.01 03/13/13 AMEND
STEEL DYNAMICS INC IN 8.01,9.01 03/12/13
STERLING FINANCIAL CORP /WA/ WA 8.01 03/11/13
Stream Global Services, Inc. DE 1.01,9.01 03/13/13
SUMMER ENERGY HOLDINGS INC NV 5.02 03/13/13
Summit Hotel Properties, Inc. MD 2.01,9.01 03/11/13
SUNESIS PHARMACEUTICALS INC DE 2.02,9.01 03/13/13
Sunshine Heart, Inc. DE 5.02,8.01,9.01 03/13/13
SYNTA PHARMACEUTICALS CORP 8.01,9.01 03/13/13
TARGET CORP MN 1.01,1.02,2.01,9.01 03/13/13
TARGET CORP MN 8.01,9.01 03/13/13
TARGET CORP MN 5.02,9.01 03/13/13
TECUMSEH PRODUCTS CO MI 5.02 03/07/13
Telenav, Inc. DE 1.01,9.01 03/13/13
TETRA TECHNOLOGIES INC DE 1.01,1.02,3.03,5.03, 03/13/13
8.01,9.01
TFS Financial CORP DE 8.01 03/13/13
TITAN INTERNATIONAL INC IL 1.01,2.03,9.01 03/11/13
TOLL BROTHERS INC DE 5.07 03/13/13
TORO CO DE 5.07,8.01,9.01 03/12/13
Tower Group, Inc. DE 1.01,2.01,3.03,5.02, 03/13/13
8.01,9.01
TRANSGENOMIC INC DE 1.01,2.03,8.01,9.01 03/13/13
TRANSGENOMIC INC DE 2.02,9.01 03/13/13
TRANZYME INC DE 5.02 03/12/13
Tree.com, Inc. DE 2.02,9.01 03/13/13
Triangle Petroleum Corp DE 1.01,3.02,7.01,9.01 03/08/13
Trius Therapeutics Inc DE 5.02 03/07/13
TrueBlue, Inc. WA 5.02 03/12/13
Ulta Salon, Cosmetics & Fragrance, In DE 5.02,9.01 03/12/13
UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 4.01,9.01 06/15/11
VelaTel Global Communications, Inc. NV 3.02 03/08/13
Vera Bradley, Inc. 2.02,9.01 03/13/13
VERMILLION, INC. DE 5.02,9.01 03/13/13
VISA INC. DE 7.01 03/13/13
VISION SCIENCES INC /DE/ DE 5.02,9.01 03/12/13
VistaGen Therapeutics, Inc. NV 2.03,3.02,7.01,9.01 03/11/13
WASTE MANAGEMENT INC DE 5.02,9.01 03/07/13
WEIS MARKETS INC PA 5.02,9.01 03/08/13
WGL HOLDINGS INC VA 5.02,5.03,5.07,8.01, 03/07/13
9.01
WILLIAM LYON HOMES DE 2.02,9.01 03/11/13
WMS INDUSTRIES INC /DE/ DE 1.01,9.01 03/13/13
XCEL ENERGY INC MN 7.01 03/13/12
ZIOPHARM ONCOLOGY INC DE 8.01,9.01 03/13/13
http://www.sec.gov/news/digest/2013/dig031413.htm
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