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Enforcement ProceedingsSEC Suspends Attorney Bruce H. HaglundThe United States Securities and Exchange Commission announced that it has issued an Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3)(i) of the Commission’s Rules of Practice that suspends attorney Bruce H. Haglund from appearing or practicing before the Commission. The Commission’s Order was based on a final judgment against Haglund issued by the United States District Court for the Central District of California in SEC v. Francis E. Wilde, et al., Case No. SACV 11-0315-DOC (AJWx), which permanently enjoins him from future violations of federal securities laws. The injunction stemmed from Haglund’s role in aiding and abetting a fraudulent prime bank investment scheme, which resulted in a near total loss of investors’ money. Haglund has 30 days to petition the Commission to lift the temporary suspension. If he does not make a timely petition, the suspension will become permanent pursuant to Rule 102(e)(3)(ii). (Rel. 34-69165; File No. 3-15247) Revocation of Registration of Securities of Americas Energy Company-Aeco, Formerly Known as Trend Technology CorporationThe Securities and Exchange Commission announced the revocation of the registration of the securities of Americas Energy Company-AECo, formerly known as Trend Technology Corporation (Americas), of Knoxville, Tennessee and formerly of Vancouver, British Columbia, Canada, registered with the Commission pursuant to Section 12 of the Securities Exchange Act of 1934 (Exchange Act), on March 20, 2013 pursuant to Section 12(j) of the Exchange Act. In its Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order), revoking the registration of securities of Americas registered with the Commission pursuant to Section 12 of the Exchange Act, the Commission found, among other things, that Americas had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder, while its common stock was registered with the Commission, in that Americas had not filed an Annual Report on Form 10-K since July 18, 2011, or periodic or quarterly reports on Form 10-Q for any fiscal period subsequent to its fiscal quarter ended September 30, 2011. The Commission cautions broker dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company. Further, brokers and dealers should be alert to the fact that, 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 pursuant to the preceding sentence. Without admitting or denying the findings in the Order, Americas consented to the entry of an order finding that Americas had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder, while its common stock was registered with the Commission, and revoking the registration of each class of securities of Americas registered with the Commission pursuant to Section 12 of the Exchange Act. (Rel. 34-69185; File No. 3-15251) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Seven Public Companies for Failure to Make Required Periodic FilingsToday the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the seven issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-69189; File No. 3-15252) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Lunar Growth Corp. for Failure to Make Required Periodic FilingsToday the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of Lunar Growth Corp. (Lunar Growth) for failure to make required periodic filings with the Commission. In this Order, the Division of Enforcement (Division) alleges that Lunar Growth is delinquent in its required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondent to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of Lunar Growth should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-69191; File No. 3-15253) California Hedge Fund Manager Agrees to $1.8 Million Settlement in Galleon-Related Insider Trading CaseOn March 20, 2013, the Securities and Exchange Commission announced that the Honorable Jed S. Rakoff of the United States District Court for the Southern District of New York has entered a final judgment approving a $1.8 million settlement between the SEC and hedge fund manager Douglas F. Whitman and his firm Whitman Capital in a case that arose from the SEC’s investigation of widespread insider trading perpetrated by Raj Rajaratnam of Gallon Management and other hedge fund managers. In its February 2012 action, SEC v. Douglas F. Whitman et al., 12-CV-1055 (SDNY) (JSR), the SEC alleged that Whitman and Whitman Capital illegally traded based on material nonpublic information obtained from Rajaratnam associate Roomy Khan, who was Whitman’s friend and neighbor. Khan tipped Whitman with confidential details about Polycom Inc.’s fourth quarter 2005 earnings and Google Inc.’s second quarter 2007 earnings prior to the public announcements of those financial results by the companies. Khan had received the material non-public information that she conveyed to Whitman from a high-ranking executive at Polycom and from an employee of an investor relations firm retained by Google. According to the SEC complaint, hedge funds managed by Whitman Capital reaped over $900,000 in ill-gotten gains by trading on Khan’s illegal tips. On August 21, 2012, in the parallel criminal case arising out of the same facts, Whitman was convicted of two counts of conspiracy to commit securities fraud and two counts of securities fraud. On January 29, 2012, Whitman was sentenced to two years in prison, followed by one year of supervised release, and ordered to pay forfeiture of $935,306, and a $250,000 criminal fine. The final judgment in the SEC action permanently enjoins Whitman and Whitman Capital from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Exchange Act Rule 10b-5. It also requires Whitman and Whitman Capital to jointly and severally disgorge $935,306, and orders Whitman to pay a civil penalty in the amount of $935,306. Pursuant to the final judgment, Whitman’s civil disgorgement liability will be offset by his obligation to make criminal forfeiture of the same amount. The imposition of the civil penalty is in addition to the criminal fine that has been assessed. Separately, Whitman has also agreed to be barred from the securities industry. [SEC v. Douglas F. Whitman and Whitman Capital, LLC, Civil Action No. 12-CV-1055 (SDNY) (JSR)] (LR-22653) SEC Settles With Matthew Proudfoot And Laurie Vrvilo In Gold Mining Offering Fraud CaseThe Securities and Exchange Commission today announced that it has obtained Final Judgments against defendants Matthew Dale Proudfoot (Matthew) and Laurie Anne Vrvilo (Laurie) in district court litigation in which the SEC alleged they participated in a gold mine investment scheme. According to the SEC’s Complaint, Matthew and Laurie falsely promised investors whopping returns from a gold mining operation while investors’ money was actually spent on family cars, jewelry, vacations, and vitamin supplements. On July 17, 2012, the SEC filed a Complaint alleging that Harry Dean Proudfoot III of Mt. Vernon, Ohio, and his children Matthew of Colbert, Wash., and Laurie of Tigard, Ore., raised $2.7 million from approximately 140 investors in 23 states through their Portland, Oregon-based company 3 Eagles Research & Development LLC (3 Eagles). The SEC’s complaint charged 3 Eagles, Harry Proudfoot, Matthew Proudfoot and Laurie Vrvilo with 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 (Exchange Act) and Rule 10b-5(a), (b) or (c) thereunder. The complaint also charges Bukantis with violating Section 15(a)(1) of the Exchange Act by selling securities as a unregistered broker. The complaint seeks permanent injunctions, disgorgement with prejudgment interest and civil monetary penalties. In their Consents to the Final Judgments, Matthew and Laurie agreed, without admitting or denying the Complaint’s allegations to the entry of permanent injunctions prohibiting their future violations of Sections 5(a), 5(c) and 17 (a) of the Securities Act and of Section 10(b) of the Exchange Act and Rule 10b-5(a), (b) or (c) thereunder. Matthew and Laurie also agreed to be jointly and severally liable for the disgorgement of the approximately $2.72 million raised from 3 Eagles investors between September 2009 and October 2011, plus prejudgment interest on that amount. Based upon the financial information submitted by Matthew and Laurie to the Commission, the Final Judgment does not impose any civil monetary penalties against them. The SEC’s case is still pending against 3 Eagles, which has defaulted in the litigation, and against Harry Proudfoot and Dennis Bukantis, who have filed answers in the litigation. [SEC v. 3 Eagles Research & Development LLC, Harry Dean Proudfoot III, Matthew Dale Proudfoot, Laurie Anne Vrvilo and Dennis Ashley Bukantis, Civil Case No. 3:12-cv-01289-ST (D. Oregon)] (LR-22654) Investment Company Act ReleasesIvy Funds Variable Insurance Portfolios, et al.A notice has been issued giving interested persons until April 9, 2013 to request a hearing on an application filed by Ivy Funds Variable Insurance Portfolios, et al., for an order under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Rule 12d1-2(a) under the Act. The order would permit funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30427 – March 15) JOINT INDUSTRY PLAN releasesNotice of Filing and Immediate Effectiveness of the Sixteenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan and Eighth Charges Amendment to the Restated Consolidated Quotation PlanPursuant to Rule 608 under the Securities Exchange Act of 1934, the Participants of the Consolidated Tape Association Plan and Consolidated Quotation Plan filed a proposal to amend the Second Restatement of the CTA Plan and Restated CQ Plan (SR-CTA/CQ-2013-01) to simplify the Plans’ existing market data fee schedules by compressing the current 14-tier Network A device rate schedule into just 4 tiers, by consolidating the Plans’ eight fee schedules into one, and by realigning the Plans’ charges more closely with the services the Plans provide, without materially changing the revenues the current fee schedules generate. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69157) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesThe Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-NASDAQ-2013-047) filed by The NASDAQ Stock Market LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to permit the minimum price variation for Mini Options to be the same as permitted for standard options on the same underlying security. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69152) The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-C2-2013-014) filed by the C2 Options Exchange, Incorporated pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to amend C2 Rule 6.3 for Mini-Options launch. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69156) A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2013-034) relating to Market-Maker continuous quoting obligations has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69158) The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-Phlx-2013-30) filed by NASDAQ OMX PHLX LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to permit the minimum price variation for Mini Options to be the same as permitted for standard options on the same security. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69159) The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-BATS-2013-019) filed by BATS Exchange, Inc. pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to amend the minimum trading increments for Mini Options. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69160) The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-NYSEArca-2013-26) filed by NYSE Arca, Inc. pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 amending certain rules to accommodate the trading of option contracts overlying 10 shares of certain securities. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69161) A proposed rule change filed by International Securities Exchange, LLC relating to complex orders and Mini Options, (SR-ISE-2013-27), 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 25, 2013. (Rel. 34-69163) The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-MIAX-2013-10) filed by the Miami International Securities Exchange LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to permit the minimum price variation for Mini Options to be the same as permitted for standard options on the same underlying security. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69166) The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-NYSEMKT-2013-26) filed by NYSE MKT LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 amending certain rules to accommodate the trading of option contracts overlying 10 shares of certain securities. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69174) A proposed rule change filed by International Securities Exchange, LLC regarding market maker quoting requirements (SR-ISE-2013-17) 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 25, 2013. (Rel. 34-69175) A proposed rule change filed by Miami International Securities Exchange LLC to revise and clarify Market Maker continuous quoting obligations (SR-MIAX-2013-08) 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 25, 2013. (Rel. 34-69176) A proposed rule change filed by Financial Industry Regulatory Authority, Inc. relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information) (SR-FINRA-2013-018) 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 25, 2013. (Rel. 34-69178) A proposed rule change filed by NASDAQ OMX BX, Inc. relating to the elimination of SPY position limits (SR-BX-2013-024) 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 25, 2013. (Rel. 34-69179) A proposed rule change filed by The NASDAQ Stock Market LLC relating to the elimination of SPY position limits (SR-NASDAQ-2013-046) 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 25, 2013. (Rel. 34-69180) Proposed Rule ChangeChicago Mercantile Exchange, Inc. (CME) filed a proposed rule change (SR-CME-2013-02) under Section 19(b)(3)(A) and Rule 19b-4 of the Securities Exchange Act of 1934 to add additional series of credit default index swaps available for clearing. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69172) Notice of Designation of Longer Period for Commission ActionThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-FINRA-2013-013) filed by the Financial Industry Regulatory Authority, Inc. to require members to report OTC Equity transactions as soon as practicable, but no later than 10 seconds, following execution. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69173) 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-3 LADENBURG THALMANN FINANCIAL SERVICES INC, 4400 BISCAYNE BLVD., 12TH FLOOR, MIAMI, FL, 33137, 212-409-2000 - 0 ($250,000,000.00) Equity, (File 333-187322 - Mar. 18) (BR. 08B) S-4 LIN TELEVISION CORP, ONE WEST EXCHANGE STREET, SUITE 5A, PROVIDENCE, RI, 02903, 4014542880 - 0 ($290,000,000.00) Debt, (File 333-187323 - Mar. 18) (BR. 11A) N-2 Medley Capital Corp, 375 PARK AVENUE, SUITE 3304, NEW YORK, NY, 10152, 212-759-0777 - 0 ($750,000,000.00) Equity, (File 333-187324 - Mar. 18) (BR. 22) S-1 BLACKHAWK NETWORK HOLDINGS, INC, 5918 STONERIDGE MALL ROAD, PLEASANTON, CA, 94588, 925-226-9990 - 0 ($200,000,000.00) Equity, (File 333-187325 - Mar. 18) (BR. 07) S-8 HORIZON PHARMA, INC., 520 LAKE COOK ROAD, SUITE 520, DEERFIELD, IL, 60062, 224-383-3000 - 0 ($3,733,698.00) Equity, (File 333-187326 - Mar. 18) (BR. 01B) S-8 Graystone Co, 2620 REGATTA DRIVE, STE 102, LAS VEGAS, NV, 89128, 7025825535 - 20,000,000 ($58,000.00) Equity, (File 333-187333 - Mar. 18) (BR. 03B) S-3 ENDOCYTE INC, 3000 KENT AVE STE A1-100, WEST LAFAYETTE, IN, 47906, 7654637175 - 0 ($125,000,000.00) Other, (File 333-187334 - Mar. 18) (BR. 01A) S-3 BioScrip, Inc., 100 CLEARBROOK ROAD, ELMSFORD, NY, 10523, 914 460 1600 - 0 ($395,257,042.00) Equity, (File 333-187336 - Mar. 18) (BR. 01B) S-3ASR HOLLY ENERGY PARTNERS LP, 2828 N. HARWOOD, SUITE 1300, DALLAS, TX, 75201, 214-871-3555 - 0 ($0.00) Limited Partnership Interests, (File 333-187337 - Mar. 18) (BR. 04B) S-8 AUTODESK INC, 111 MCINNIS PKWY, SAN RAFAEL, CA, 94903, 4155075000 - 4,727,109 ($161,052,603.63) Equity, (File 333-187338 - Mar. 18) (BR. 03B) S-3 Universal Business Payment Solutions Acquisition Corp, 150 NORTH RADNOR-CHESTER ROAD, SUITE F-200, RADNOR, PA, 19087, 6109772482 - 13,145,774 ($41,935,019.06) Equity, (File 333-187339 - Mar. 18) (BR. 03B) S-8 Pandora Media, Inc., 2101 WEBSTER STREET, SUITE 1650, OAKLAND, CA, 94612, (510) 451-4100 - 5,175,182 ($70,434,227.02) Equity, (File 333-187340 - Mar. 18) (BR. 11A) N-2 NUVEEN CALIFORNIA PERFORMANCE PLUS MUNICIPAL FUND INC, 333 WEST WACKER DR, CHICAGO, IL, 60606, 3129178200 - 1,000 ($15,990.00) Equity, (File 333-187341 - Mar. 18) (BR. 18) S-8 HANSEN MEDICAL INC, 800 EAST MIDDLEFIELD ROAD, MOUNTAIN VIEW, CA, 94043, 650 404 5800 - 3,433,124 ($7,346,885.36) Equity, (File 333-187342 - Mar. 18) (BR. 10A) S-3 ORAMED PHARMACEUTICALS INC., 2 ELZA STREET, JERUSALEM, L3, 93706, 011 972-54-7909058 - 0 ($25,000,000.00) Equity, (File 333-187343 - Mar. 18) (BR. 01B) S-8 OMEROS CORP, 1420 5TH AVE, SUITE 2600, SEATTLE, WA, 98101, 206-676-5000 - 0 ($7,290,141.00) Equity, (File 333-187344 - Mar. 18) (BR. 01A) S-3 SMITH & WESSON HOLDING CORP, 2100 ROOSEVELT AVENUE, SPRINGFIELD, MA, 01104, 4137473573 - 0 ($250,000,000.00) Unallocated (Universal) Shelf, (File 333-187345 - Mar. 18) (BR. 06C) S-8 AASTROM BIOSCIENCES INC, 24 FRANKL LLOYD WRIGHT DR, PO BOX 376, ANN ARBOR, MI, 48106, 7349305555 - 0 ($6,500,000.00) Equity, (File 333-187346 - Mar. 18) (BR. 01A) S-8 Anacor Pharmaceuticals Inc, 1020 E. MEADOW CIRCLE, PALO ALTO, CA, 94303, 650-543-7500 - 0 ($5,382,977.50) Equity, (File 333-187347 - Mar. 18) (BR. 01A) S-3 Chefs' Warehouse, Inc., 100 EAST RIDGE ROAD, RIDGEFIELD, CT, 06877, (203) 894-1345 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-187348 - Mar. 18) (BR. 02A) S-4 Chefs' Warehouse, Inc., 100 EAST RIDGE ROAD, RIDGEFIELD, CT, 06877, (203) 894-1345 - 0 ($75,360,000.00) Equity, (File 333-187349 - Mar. 18) (BR. 02A) S-3ASR AT&T INC., 208 S. AKARD ST, ATTN : JAMES LACY, DALLAS, TX, 75202, 2108214105 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187350 - Mar. 18) (BR. 11A) S-3D SOVRAN SELF STORAGE INC, 6467 MAIN ST, WILLIAMSVILLE, NY, 14221, 7166331850 - 0 ($184,230,000.00) Equity, (File 333-187351 - Mar. 18) (BR. 08C) S-1 AMERICAN BAR ASSOCIATION MEMBERS / NORTHERN TRUST COLLECTIVE TR, C/O NORTHERN TRUST INVESTMENTS, N.A., 50 SOUTH LASALLE STREET, CHICAGO, IL, 60603, 312-630-6000 - 0 ($46,000,000.00) Other, (File 333-187352 - Mar. 18) (BR. 08C) S-8 ACETO CORP, 4 TRI HARBOR COURT, PORT WASHINGTON, NY, 11050, 5166276000 - 0 ($34,498,750.00) Equity, (File 333-187353 - Mar. 18) (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
-----------------------------------------------------------------------------------------
99 CENTS ONLY STORES CA 5.02 03/18/13
AAR CORP DE 2.02,9.01 03/19/13
AbbVie Inc. DE 4.01,9.01 12/14/12 AMEND
Adamis Pharmaceuticals Corp DE 1.01,9.01 03/18/13
ADOBE SYSTEMS INC DE 2.02,5.02,9.01 03/19/13
ADT Corp DE 5.07 03/14/13
ADVENTO, INC. NV 1.01,5.01,5.02,9.01 03/12/13
AI DOCUMENT SERVICES, INC. DE 4.01,9.01 03/15/13
Alta Mesa Holdings, LP TX 8.01,9.01 03/19/13
AMEREN CORP MO 1.01,2.05,2.06,5.02, 03/13/13
9.01
AMERICAN ELECTRIC POWER CO INC NY 7.01 03/19/13
AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 03/19/13
AMERICAN WOODMARK CORP VA 1.01,9.01 03/18/13
AMP Holding Inc. NV 8.01,9.01 03/19/13
ANGIOTECH PHARMACEUTICALS INC 2.04,8.01,9.01 03/18/13
Aon plc X0 5.02 03/14/13
Apple REIT Ten, Inc. VA 1.02,2.01,9.01 03/14/13
AQUALIV TECHNOLOGIES, INC. NV 9.01 12/31/12 AMEND
ARCH COAL INC DE 7.01,9.01 03/19/13
As Seen On TV, Inc. FL 1.01,1.02,5.02,9.01 03/13/13
ASTEC INDUSTRIES INC TN 7.01,9.01 03/19/13
ASTORIA FINANCIAL CORP DE 3.03,5.03,8.01,9.01 03/12/13
ATWOOD OCEANICS INC TX 5.02,9.01 03/19/13
Augme Technologies, Inc. DE 2.02,9.01 03/13/13
AXIALL CORP/DE/ DE 1.01,7.01,8.01,9.01 03/15/13
Azteca Acquisition Corp D8 8.01,9.01 03/18/13
BAKER HUGHES INC DE 7.01,9.01 03/19/13
BAKER HUGHES INC DE 7.01,9.01 03/19/13 AMEND
BELDEN INC. DE 1.01,8.01,9.01 03/14/13
BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 03/19/13
Biopower Operations Corp NV 4.02,9.01 03/18/13
BOULDER BRANDS, INC. DE 1.01,9.01 03/15/13
BOWL AMERICA INC MD 8.01 03/19/13
Bristow Group Inc DE 7.01,9.01 03/19/13
BROADWIND ENERGY, INC. DE 7.01,9.01 03/19/13
BUFFALO WILD WINGS INC MN 8.01 03/19/13
BullsNBears.com, Inc. DE 4.01 03/15/13
CALLON PETROLEUM CO DE 5.02,7.01,9.01 03/13/13
CannaVEST Corp. TX 5.02 03/14/13
Capella Healthcare, Inc. DE 2.02,9.01 03/19/13
CARDINAL HEALTH INC OH 7.01,9.01 03/19/13
CAREER EDUCATION CORP DE 5.02,9.01 03/19/13
CARRIAGE SERVICES INC DE 7.01,9.01 03/19/13
Carter Validus Mission Critical REIT, MD 1.01,2.03,9.01 03/15/13
CelLynx Group, Inc. NV 4.01,5.02,9.01 03/06/12
CENTRAL EUROPEAN DISTRIBUTION CORP DE 7.01,9.01 03/18/13
CENTRAL EUROPEAN DISTRIBUTION CORP DE 2.04,8.01 03/15/13
CENTURYLINK, INC LA 8.01,9.01 03/18/13
CHARTER COMMUNICATIONS, INC. /MO/ DE 1.01,9.01 03/19/13
China Polypeptide Group, Inc. DE 5.02 03/15/13
CINTAS CORP WA 2.02,9.01 03/19/13
CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01 03/16/13
CLAIRES STORES INC DE 1.01,2.03,8.01,9.01 03/15/13
CODORUS VALLEY BANCORP INC PA 9.01 03/19/13 AMEND
COLE CORPORATE INCOME TRUST, INC. MD 1.01,2.03,8.01 03/13/13
COLUMBIA BANKING SYSTEM INC WA 5.07,8.01,9.01 03/18/13
COMCAST CORP PA 2.01,2.03 03/19/13
COMMERCIAL METALS CO DE 5.02 03/13/13
CommonWealth REIT MD 8.01,9.01 03/18/13
COMMUNITY FINANCIAL SHARES INC DE 8.01,9.01 03/18/13
COMPLETE GENOMICS INC DE 2.01,3.01,3.02,3.03, 03/14/13
5.01,5.02,5.03,9.01
CONSOLIDATED TOMOKA LAND CO FL 7.01,9.01 03/19/13
CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 5.02 03/13/13
Corporate Property Associates 17 - Gl MD 5.02 03/13/13
Corporate Resource Services, Inc. DE 8.01,9.01 03/19/13
CPI AEROSTRUCTURES INC NY 7.01,9.01 03/19/13
CRA INTERNATIONAL, INC. MA 5.02 03/15/13
Crestwood Midstream Partners LP DE 1.01,7.01,9.01 03/18/13
CTC Media, Inc. 1.01 03/14/13
CUBIC CORP /DE/ DE 8.01,9.01 03/19/13
DELCATH SYSTEMS INC DE 7.01,9.01 03/13/13
DICKS SPORTING GOODS INC DE 5.02 03/13/13
Digital Development Group Corp NV 1.01,3.02,8.01 03/13/13
Discovery Communications, Inc. DE 1.01,2.03,9.01 03/19/13
DNA PRECIOUS METALS INC. NV 1.01,5.02 09/15/12
DRIVETIME AUTOMOTIVE GROUP INC DE 1.01 03/13/13
DSW Inc. OH 2.02,9.01 03/19/13
DSW Inc. OH 2.02 03/19/13
DTE ENERGY CO MI 2.02,9.01 03/19/13
DYNEGY INC. DE 8.01,9.01 03/15/13
E TRADE FINANCIAL Corp DE 8.01,9.01 03/13/13
EHOUSEGLOBAL, INC. NV 4.01,9.01 03/06/13
EMC METALS CORP. A1 3.02 03/14/13
ENBRIDGE ENERGY MANAGEMENT L L C DE 5.02 03/15/13
ENBRIDGE ENERGY PARTNERS LP DE 5.02 03/15/13
ENERGY XXI (BERMUDA) LTD D0 2.02,9.01 03/19/13
EnergySolutions, Inc. DE 2.02,9.01 03/18/13
Entia Biosciences, Inc. NV 5.02,9.01 03/12/13
EPICEPT CORP 1.01,8.01,9.01 03/14/13
EQUITY ONE, INC. 2.02,7.01 03/19/13
Erickson Air-Crane Inc DE 7.01,9.01 03/19/13
ESB FINANCIAL CORP PA 8.01,9.01 03/19/13
EVERTEC Group, LLC PR 7.01 03/19/13
F5 NETWORKS INC WA 5.03,5.07,9.01 03/13/13
FACTSET RESEARCH SYSTEMS INC DE 2.02,9.01 03/19/13
FEDERAL AGRICULTURAL MORTGAGE CORP 2.02,9.01 03/18/13
Federal Home Loan Bank of Atlanta X1 2.03 03/13/13
Federal Home Loan Bank of Boston X1 2.03 03/13/13
Federal Home Loan Bank of Chicago X1 2.03 03/13/13
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 03/15/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 03/19/13
Federal Home Loan Bank of New York X1 2.03,9.01 03/13/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 03/13/13
Federal Home Loan Bank of San Francis X1 2.03 03/13/13
Federal Home Loan Bank of Seattle 2.03 03/13/13
Federal Home Loan Bank of Topeka 2.03,9.01 03/13/13
Fidelity National Information Service 8.01 03/18/13
Fifth Street Finance Corp DE 8.01,9.01 03/19/13
FIFTH THIRD BANCORP OH 7.01,8.01,9.01 03/19/13
FIRST NATIONAL CORP /VA/ VA 5.02,9.01 03/13/13
FIRST PRIORITY FINANCIAL CORP. PA 2.01,9.01 02/28/13 AMEND
FIRST TRUST ENERGY INCOME & GROWTH FU 7.01,9.01 03/19/13
Firsthand Technology Value Fund, Inc. 8.01,9.01 03/19/13
FONU2 Inc. NV 1.01,2.03,9.01 03/11/13
FORD MOTOR CO DE 2.05,9.01 03/15/13 AMEND
Fortress International Group, Inc. DE 1.01,5.02,9.01 03/14/13
Francesca's Holdings CORP 2.02,9.01 03/19/13
FRANKLIN ELECTRIC CO INC IN 7.01,9.01 03/19/13
FROZEN FOOD EXPRESS INDUSTRIES INC TX 2.02,9.01 03/19/13
FS Investment CORP MD 2.02 03/15/13
FUEL DOCTOR HOLDINGS, INC. DE 1.01,5.02,8.01 03/18/13
FUEL TECH, INC. DE 2.02,9.01 03/19/13
GENERAL ELECTRIC CO NY 2.01 03/19/13
GEOKINETICS INC DE 1.01,2.03 03/13/13
GIGA TRONICS INC CA 8.01,9.01 03/18/13
Global Arena Holding, Inc. DE 8.01,9.01 03/07/13
Global Eagle Entertainment Inc. DE 4.01,9.01 03/12/13 AMEND
Global Telecom & Technology, Inc. DE 2.02,9.01 03/19/13
Global Telecom & Technology, Inc. DE 7.01 03/19/13
GOFF, CORP NV 3.03,5.02,5.03,9.01 03/11/13
GOLD RESOURCE CORP CO 4.01,9.01 03/18/13
GRAFTECH INTERNATIONAL LTD DE 8.01 03/15/13
GRAMERCY CAPITAL CORP MD 2.01,2.02,7.01,9.01 03/15/13
GRANITE CITY FOOD & BREWERY LTD. MN 2.02,9.01 03/18/13
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 03/15/13
Great Lakes Dredge & Dock CORP DE 1.01,9.01 03/15/13
GREAT PLAINS ENERGY INC MO 7.01,9.01 03/19/13
GREATBATCH, INC. DE 7.01,9.01 03/18/13
Green Automotive Co 1.01,9.01 03/18/13
GREENE COUNTY BANCORP INC DE 8.01 03/18/13
Groupon, Inc. DE 5.02 03/14/13
Guardian 8 Holdings NV 1.01,2.03,3.02,5.02, 08/15/12
8.01,9.01
Guitammer Co NV 3.02 03/15/13
GUWENHUA INTERNATIONAL Co NV 5.03 12/03/12
GXS Worldwide, Inc. DE 2.02,9.01 03/19/13
Hanesbrands Inc. MD 1.01,9.01 03/15/13
HARRIS PREFERRED CAPITAL CORP MD 8.01 03/19/13
HAVAYA CORP DE 5.02 03/19/13
HealthWarehouse.com, Inc. DE 7.01,9.01 03/19/13
HECLA MINING CO/DE/ DE 8.01,9.01 03/19/13
HITTITE MICROWAVE CORP 5.02 03/13/13
HOSPITALITY PROPERTIES TRUST MD 8.01,9.01 03/19/13
IGEN NETWORKS CORP NV 3.02 03/18/13
Ignite Restaurant Group, Inc. 5.02 03/14/13
INDEPENDENCE HOLDING CO DE 5.02 03/19/13
INDIANA MICHIGAN POWER CO IN 8.01,9.01 03/18/13
INFRAX SYSTEMS, INC. FL 8.01 03/19/13
InfuSystem Holdings, Inc DE 5.02,8.01,9.01 03/14/13
Ingersoll-Rand plc L2 3.02 03/14/13
INLAND REAL ESTATE CORP MD 8.01,9.01 03/18/13
INNOTRAC CORP GA 5.02,7.01,9.01 03/18/13
INTELSAT S.A. N4 8.01,9.01 03/19/13
INTERCONTINENTALEXCHANGE INC DE 1.01,9.01 03/19/13
InterDigital, Inc. PA 5.02,9.01 03/14/13
Intermec, Inc. DE 5.07,8.01,9.01 03/19/13
INTERNET MEDIA SERVICES, INC. DE 1.01,2.01,9.01 03/13/13
Iridium Communications Inc. DE 5.02,9.01 03/13/13
IXIA CA 7.01 03/19/13
JAVELIN MORTGAGE INVESTMENT CORP. MD 8.01,9.01 03/19/13
KEMPER Corp DE 7.01 03/18/13
KIRKLAND'S, INC 2.02,9.01 03/14/13
KNIGHT CAPITAL GROUP, INC. DE 2.05,5.02,7.01 03/14/13
Landmark Apartment Trust of America, 1.01,2.03,3.02,5.02, 03/13/13
7.01,9.01
Lantheus Medical Imaging, Inc. DE 1.01,9.01 03/15/13
LAS VEGAS RAILWAY EXPRESS, INC. DE 1.01,2.03,3.02,9.01 02/08/13
LATTICE SEMICONDUCTOR CORP DE 7.01,9.01 03/19/13
LEVEL 3 COMMUNICATIONS INC DE 5.02,9.01 03/13/13
Liberty Global, Inc. DE 7.01 03/19/13
Lightstone Value Plus Real Estate Inv MD 8.01,9.01 03/19/13
LOCKHEED MARTIN CORP MD 8.01,9.01 03/18/13
lululemon athletica inc. DE 5.02,9.01 03/13/13
MACERICH CO MD 5.02 03/15/13
Mantra Venture Group Ltd. 1.01,3.02,9.01 12/11/12
Mast Therapeutics, Inc. DE 2.02,9.01 03/19/13
MAXWELL TECHNOLOGIES INC DE 4.01,9.01 03/18/13
MCG CAPITAL CORP DE 5.02,9.01 03/19/13
MDC HOLDINGS INC DE 5.07,9.01 03/18/13
Mead Johnson Nutrition Co DE 7.01,9.01 03/19/13
Medifirst Solutions, Inc. NV 1.01,8.01,9.01 03/19/13
MEDISWIPE INC. DE 5.02,9.01 03/08/13
Memorial Production Partners LP DE 1.01,7.01,8.01,9.01 03/18/13
METALS USA HOLDINGS CORP. DE 3.01 03/18/13
MISSION BROADCASTING INC DE 2.01,9.01 01/03/13
ML BlueTrend FuturesAccess LLC DE 3.02 03/14/13
Motors Liquidation Co DE 8.01,9.01 03/18/13
MYERS INDUSTRIES INC OH 7.01,9.01 03/19/13
NB&T FINANCIAL GROUP INC OH 8.01 03/19/13
NBCUniversal Media, LLC DE 1.02,2.01,2.03,8.01 03/19/13
New Mountain Finance Corp DE 2.02 03/19/13
NEW YORK MORTGAGE TRUST INC MD 8.01,9.01 03/18/13
NEWS CORP 8.01,9.01 03/19/13
NPS PHARMACEUTICALS INC DE 1.01,1.02,2.01,3.02, 03/18/13
8.01,9.01
NYSE Euronext DE 1.01,9.01 03/19/13
Och-Ziff Capital Management Group LLC DE 5.02 03/18/13
OLD STONE CORP RI 1.03 03/12/13
OMEGA HEALTHCARE INVESTORS INC MD 1.01,1.02,9.01 03/18/13
OPTICAL CABLE CORP VA 2.02,9.01 03/15/13
ORGANOVO HOLDINGS, INC. DE 8.01,9.01 03/19/13
ORIGINOIL INC NV 1.01,2.03,3.02,7.01, 03/18/13
9.01
OWENS-ILLINOIS GROUP INC DE 7.01,9.01 03/19/13
OXYGEN BIOTHERAPEUTICS, INC. DE 2.02,9.01 03/18/13
PAA NATURAL GAS STORAGE LP DE 1.01,9.01 03/18/13
Parametric Sound Corp NV 7.01,9.01 03/19/13
PAREXEL INTERNATIONAL CORP MA 1.01,9.01 03/14/13
Patient Safety Technologies, Inc DE 7.01,9.01 03/19/13
Patriot Coal CORP DE 7.01,9.01 03/14/13
PATTERSON COMPANIES, INC. MN 8.01,9.01 03/15/13
PC TEL INC DE 8.01,9.01 03/18/13
PERNIX THERAPEUTICS HOLDINGS, INC. MD 2.02,9.01 03/18/13
PETROQUEST ENERGY INC DE 7.01,9.01 03/19/13
PHAZAR CORP DE 1.01,9.01 03/13/13
Philip Morris International Inc. VA 8.01,9.01 03/14/13
PINNACLE WEST CAPITAL CORP AZ 7.01,9.01 03/19/13
PIONEER ENERGY SERVICES CORP TX 7.01,9.01 03/19/13
PLURISTEM THERAPEUTICS INC NV 8.01 03/19/13
PNC FINANCIAL SERVICES GROUP, INC. PA 8.01,9.01 03/19/13
POWERSECURE INTERNATIONAL, INC. DE 2.02,7.01,9.01 03/18/13
PPLUS Trust Series EQ-1 DE 8.01 03/19/13
PPLUS Trust Series LMG-3 8.01 03/19/13
PPlus Trust Series LMG-4 DE 8.01 03/19/13
PREMIERWEST BANCORP OR 5.07 03/18/13
Primo Water Corp DE 2.02,9.01 03/19/13
Prologis, Inc. MD 8.01,9.01 03/19/13
QCR HOLDINGS INC DE 8.01,9.01 03/19/13
RANGE RESOURCES CORP DE 1.01,2.03,9.01 03/18/13
RARE ELEMENT RESOURCES LTD A1 2.02,9.01 03/18/12
READING INTERNATIONAL INC NV 2.02 03/19/13
REGIONS FINANCIAL CORP DE 8.01,9.01 03/19/13
RENTECH INC /CO/ CO 2.02,9.01 03/19/13
Rentech Nitrogen Partners, L.P. DE 2.02,9.01 03/19/13
Resource Capital Corp. MD 1.01,1.02,9.01 03/18/13
Revel AC, Inc. DE 5.02,9.01 03/13/13
Rosetta Resources Inc. DE 7.01,9.01 03/19/13
RUSH ENTERPRISES INC \TX\ TX 5.02 03/15/13
SAFEWAY INC DE 5.02,9.01 03/15/13
Santander Holdings USA, Inc. VA 5.02 03/18/13
SELECT COMFORT CORP MN 7.01 03/15/13
Sequoia Mortgage Trust 2013-4 8.01,9.01 03/19/13
Shire plc 8.01,9.01 03/19/13
Smartag International, Inc. NV 5.02 03/18/13
SONOCO PRODUCTS CO SC 5.02 03/14/13
SOUTHWEST GAS CORP CA 7.01 03/14/13
SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 1.01,5.07,9.01 03/19/13
SP Bancorp, Inc. MD 4.01,9.01 03/19/13
SPINDLE, INC. NV 2.01,9.01 12/31/12 AMEND
SS&C Technologies Holdings Inc DE 1.01,8.01,9.01 03/13/13
Station Casinos LLC NV 2.02,9.01 03/19/13
STERLING BANCORP NY 5.02,5.03,9.01 03/13/13
STERLING CONSTRUCTION CO INC DE 2.02,9.01 03/18/13
Summer Infant, Inc. DE 7.01,9.01 03/19/13
Summit Hotel Properties, Inc. MD 3.03,5.03,8.01,9.01 03/13/13
SUPERIOR ENERGY SERVICES INC DE 5.02,7.01 03/13/13
SYNERGY PHARMACEUTICALS, INC. DE 2.02,9.01 03/18/13
SYNERGY RESOURCES CORP CO 2.01,3.02 03/13/13
SYNERGY RESOURCES CORP CO 2.01,3.02 03/13/13
Tara Minerals Corp. NV 1.01,9.01 03/15/13
TELEPHONE & DATA SYSTEMS INC /DE/ DE 5.02 03/15/13
TESSCO TECHNOLOGIES INC DE 7.01,9.01 03/19/13
THERMOENERGY CORP DE 2.02,9.01 03/19/13
TILLY'S, INC. DE 5.02 03/14/13
TJX COMPANIES INC /DE/ DE 8.01 03/12/13
TNP Strategic Retail Trust, Inc. MD 8.01 03/19/13
TRAILBLAZER RESOURCES INC. NV 8.01 03/18/13
TRANSATLANTIC PETROLEUM LTD. 2.02,7.01,9.01 03/18/13
U.S. SILICA HOLDINGS, INC. DE 1.01,9.01 03/13/13
UNIFI INC NY 7.01,9.01 03/19/13
UNITED STATES ANTIMONY CORP MT 9.01 03/18/13
UNITED STATES CELLULAR CORP DE 5.02 03/15/13
US ECOLOGY, INC. DE 7.01,9.01 03/19/13
VADDA ENERGY CORP FL 5.02 03/12/13
VANGUARD HEALTH SYSTEMS INC DE 1.01,2.03 03/19/13
Vantage Drilling CO E9 8.01,9.01 03/18/13
VENTAS INC DE 8.01,9.01 03/19/13
VERIFONE SYSTEMS, INC. DE 5.02,9.01 03/18/13
Viggle Inc. DE 1.01,9.01 03/11/13 AMEND
VIROPHARMA INC DE 1.01 03/13/13
VSE CORP DE 8.01 03/06/13
Vulcan Materials CO NJ 5.03,9.01 03/19/13
WALGREEN CO IL 2.02,7.01,8.01,9.01 03/19/13
WALTER INVESTMENT MANAGEMENT CORP MD 2.02,7.01,9.01 03/18/13
WARWICK VALLEY TELEPHONE CO NY 1.01 03/13/13
WARWICK VALLEY TELEPHONE CO NY 4.01,9.01 01/31/13 AMEND
WAVE SYSTEMS CORP DE 2.02,9.01 03/18/13
WEST COAST BANCORP /NEW/OR/ OR 5.07,8.01,9.01 03/18/13
West End Indiana Bancshares, Inc. MD 5.02,8.01,9.01 03/19/13
WESTFIELD FINANCIAL INC MA 7.01,9.01 03/18/13
WILLIAMS SONOMA INC CA 2.02,5.02,8.01,9.01 03/19/13
WORTHINGTON ENERGY, INC. NV 1.01,2.03,3.02,9.01 02/20/13
WSI INDUSTRIES, INC. MN 2.02,8.01,9.01 03/18/13
WYNDHAM WORLDWIDE CORP DE 5.02 03/15/13
XCEL ENERGY INC MN 8.01 03/15/13
Xun Energy, Inc. NV 1.01,9.01 03/19/13 AMEND
YRC Worldwide Inc. DE 8.01 03/19/13
Zalicus Inc. DE 8.01,9.01 03/19/13
ZBB ENERGY CORP WI 8.01 03/19/13
http://www.sec.gov/news/digest/2013/dig032013.htm
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