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ENFORCEMENT PROCEEDINGSSEC Charges Sigma Capital Portfolio Manager With Insider TradingThe Securities and Exchange Commission today charged Michael Steinberg, a portfolio manager at New York-based hedge fund advisory firm Sigma Capital Management, with trading on inside information ahead of quarterly earnings announcements by Dell and Nvidia Corporation. The SEC alleges that Steinberg’s illegal conduct enabled hedge funds managed by Sigma Capital and its affiliate S.A.C. Capital Advisors to generate more than $6 million in profits and avoided losses. Steinberg received illegal tips from Jon Horvath, an analyst who reported to him at Sigma Capital. Horvath was charged last year among several hedge fund managers and analysts as part of the SEC’s broader investigation into expert networks and the trading activities of hedge funds. Earlier this month, Sigma Capital and two affiliated hedge funds agreed to a $14 million settlement with the SEC for insider trading charges. “Steinberg essentially got an advance copy of Dell and Nvidia’s quarterly earnings announcements, allowing him to trade on tomorrow’s news today,” said George S. Canellos, Acting Director of the SEC’s Division of Enforcement. Sanjay Wadhwa, Senior Associate Director of the SEC’s New York Regional Office, added, “The SEC’s aggressive pursuit of hedge fund insider trading, including this enforcement action against Steinberg, underscores its steadfast commitment to leveling the playing field for all investors by rooting out illicit conduct by well-capitalized traders.” In a separate action, the U.S. Attorney’s Office for the Southern District of New York today announced criminal charges against Steinberg. According to the SEC’s complaint filed in federal court in Manhattan, Steinberg traded Dell and Nvidia securities based on nonpublic information in advance of at least four quarterly earnings announcements in 2008 and 2009. Horvath provided Steinberg with nonpublic details that he had obtained through a group of hedge fund analysts with whom he regularly communicated. Steinberg used the inside information to obtain more than $3 million in profits and losses avoided for a Sigma Capital hedge fund. The SEC’s complaint further alleges that Steinberg also illegally tipped inside information about Dell’s quarterly earnings to another portfolio manager at Sigma Capital. Horvath sent an e-mail to the other portfolio manager and copied Steinberg on the message. The e-mail stated: “I have a 2nd hand read from someone at the company – this is 3rd quarter I have gotten this read from them and it has been very good in the last quarters. They are seeing GMs miss by 50-80 [basis points] due to poor mix, [operating expenses] in-line and a little revenue upside netting out to an [earnings per share] miss. . . . Please keep to yourself as obviously not well known.” The SEC alleges that two minutes later, Steinberg chimed in, “Yes, normally we would never divulge data like this, so please be discreet.” Only 24 minutes after Horvath’s e-mail, the other portfolio manager began to sell shares of Dell stock on behalf of the Sigma Capital hedge fund and reduced the hedge fund’s Dell holdings by 600,000 shares ahead of Dell’s quarterly earnings announcement. In the days following the negative announcement, Steinberg closed out a short position in Dell stock and multiple options positions for a $1 million illicit profit to the Sigma Capital hedge fund. The other portfolio manager’s sales of Dell stock enabled the Sigma Capital hedge fund and a hedge fund managed by S.A.C. Capital Advisors to avoid more than $3 million in losses. The SEC’s complaint charges Steinberg with violating Section 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The complaint seeks a final judgment ordering Steinberg to pay disgorgement of his ill-gotten gains plus prejudgment interest and financial penalties, and permanently enjoining him from future violations of these provisions of the federal securities laws. The SEC’s investigation, which is continuing, has been conducted by Joseph Sansone, Daniel Marcus, and Stephen Larson of the Market Abuse Unit in New York as well as Matthew Watkins, Justin Smith, Neil Hendelman, Diego Brucculeri, and James D’Avino of the New York Regional Office. The case has been supervised by Sanjay Wadhwa. The SEC appreciates the assistance of the U.S. Attorney’s Office for the Southern District of New York and the Federal Bureau of Investigation. (Press Rel. 2013-49) Foreign Traders Agree to Pay $3.3 Million to Settle Charges in Nexen Insider Trading CaseThe Securities and Exchange Commission today announced that a Chinese businessman and his wife whose trading accounts were frozen last year as part of a major insider trading case have agreed to settle charges that they loaded up on the securities of Nexen Inc. while in possession of nonpublic information about an impending announcement that the company was being acquired by China-based CNOOC Ltd. The SEC obtained an emergency court order in July 2012 to freeze multiple Hong Kong and Singapore-based trading accounts just days after the Nexen acquisition was announced and suspicious trading in Nexen stock was detected. The SEC’s complaint alleged that in the days leading up to the announcement, Hong Kong-based firm Well Advantage Limited and other unknown traders purchased Nexen stock based on confidential details about the acquisition. The SEC’s investigation has identified Ren Feng and his wife Zeng Huiyu as previously unknown traders charged in the complaint as well as Ren’s private investment company CT Prime Assets Limited and four of Zeng’s brokerage customers on whose behalf she traded. They made a combined $2.3 million in illegal profits from Nexen stock trades made by Ren and Zeng. The settlement, which is subject to court approval, requires the traders to pay more than $3.3 million combined. “This settlement requires full disgorgement of the insider trading profits of this group of foreign traders, and Ren and Zeng must additionally pay sizeable penalties,” said Sanjay Wadhwa, Senior Associate Director of the SEC’s New York Regional Office. “This should send a stern warning to anyone contemplating insider trading in U.S. markets from abroad that the SEC uncovers such misconduct and the end result is a severe financial setback rather than a windfall.” In October 2012, the SEC announced a settlement with Well Advantage, which agreed to pay more than $14.2 million to settle the insider trading charges. U.S. District Court Judge Richard J. Sullivan of the Southern District of New York approved that settlement. This proposed settlement with Ren, Zeng, and the others also must be approved by Judge Sullivan. Ren and CT Prime agreed to the entry of a final judgment requiring them to jointly pay disgorgement of their ill-gotten gains of $839,714.57 plus a penalty of $839,714.57, and permanently enjoining them from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. Zeng agreed to the entry of a final judgment requiring her to pay disgorgement of her ill-gotten gains of $202,030.22 plus a penalty of $202,030.22, and permanently enjoining her from future violations of Section 10(b) of the Exchange Act and Rule 10b-5. Zeng also traded on behalf of four of her brokerage customers, who have agreed to disgorgement of the ill-gotten gains. Wong Chi Yu and her company Giant East Investments Limited agreed to jointly pay disgorgement of $641,057.94. Wang Wei agreed to pay disgorgement of $137,369.56. Wang Zhi Hua agreed to pay disgorgement of $466,169.15. The defendants neither admit nor deny the SEC’s allegations. The SEC’s investigation, which is continuing, has been conducted by Simona Suh, Charles D. Riely, Michael P. Holland, and Joseph G. Sansone of the Market Abuse Unit as well as Elzbieta Wraga and Aaron Arnzen of the New York Regional Office. The case has been supervised by Daniel M. Hawke and Sanjay Wadhwa. The SEC appreciates the assistance of the Hong Kong Securities and Futures Commission and the Financial Industry Regulatory Authority (FINRA). (Press Rel. 2013-50) “Bob” Hancher Sentenced to Over 8 Years in Prison and Ordered to Pay Restitution of Over $ 3.1 MillionThe Securities and Exchange Commission (SEC) announced that on March 27, 2013, in a criminal action brought by the U.S. Attorney’s Office for the Northern District of Iowa, the Honorable Mark W. Bennett sentenced Lowell Gene “Bob” Hancher to 97 months in prison on one count of wire fraud and one count of securities and commodities fraud and ordered Hancher to pay $3,139,232 in restitution to his victims. Judge Bennett also ordered Hancher to be placed on five years of supervised released following the completion of his prison sentence. [USA v. Lowell Gene Hancher (a/k/a “Bob” Hancher), Case No. 12-CR-4090, USDC, N.D. Iowa]. The $3.1 million restitution amount includes funds that Hancher stole from investors in a fraudulent stock offering he led on behalf of Scott Contracting, Inc., a Colorado construction company, and funds that Hancher misappropriated from Cycle Country Accessories Corporation, an Iowa manufacturer of accessories for all-terrain vehicles and golf carts, while serving as a member of Cycle Country’s board of directors and audit committee. In January 2011, the SEC filed a civil injunctive action against Hancher for defrauding the Scott Contracting investors, misappropriating funds from Cycle Country and engaging in a manipulative stock trading scheme involving shares of a third company. On January 19, 2011, Judge Bennett in the Northern District of Iowa entered an order permanently enjoining Hancher from violating or aiding and abetting violations of the antifraud provisions of the Securities Act of 1933 and the antifraud and books and records provisions of the Securities Exchange Act of 1934 and ordering him to pay disgorgement plus prejudgment interest of $2,988,405 and a civil penalty of $130,000. Hancher consented to the entry of the order which also barred him from serving as an officer or director of a public company or participating in a penny stock offering. On May 18, 2011, the SEC also barred Hancher from associating with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent or nationally recognized statistical rating organization. [SEC v. Lowell Gene “Bob” Hancher, et al., Case No. 11-CV-04005, USDC, N.D. Iowa] (LR-22661) 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 ZIPREALTY INC, 2000 POWELL STREET, SUITE 300, EMERYVILLE, CA, 94608,
510-735-2600 - 827,702 ($2,723,139.58) Equity, (File 333-187584 -
Mar. 28) (BR. 08B)
S-8 NOMURA HOLDINGS INC, 9-1 NIHONBASHI 1-CHOME, CHUO-KU, TOKYO, M0,
103-8645, 81 3-5255-1000 - 0 ($9,805,218.00) Equity, (File 333-187585 -
Mar. 28) (BR. 12A)
S-1 Kore Resources Inc., 176-22 SAGUN-DONG, SEONGDONG-GU, SEOUL, M5,
133-817, 821040427863 - 5,000,000 ($100,000.00) Equity,
(File 333-187586 - Mar. 28) (BR. 09)
S-3 Universal Truckload Services, Inc., 12755 EAST NINE MILE ROAD, WARREN,
MI, 48089, (586) 920-0100 -
0 ($497,034,462.00) Unallocated (Universal) Shelf, (File 333-187587 -
Mar. 28) (BR. 05A)
S-1 BAY BRIDGE FOOD & PRODUCE CO, 3550 S HARLAN ST, STE 284, DENVER, CO,
80235, 720-385-8381 - 500,000 ($50,000.00) Equity, (File 333-187588 -
Mar. 28) (BR. 02)
S-8 METABOLIX, INC., 21 ERIE ST., CAMBRIDGE, MA, 02139, 617-583-1700 -
0 ($805,920.96) Equity, (File 333-187589 - Mar. 28) (BR. 06C)
S-1 Tallgrass Energy Partners, LP, 6640 W. 143RD STREET, SUITE 200,
OVERLAND PARK, KS, 66223, 303-763-2950 -
0 ($315,157,500.00) Limited Partnership Interests, (File 333-187595 -
Mar. 28) (BR. 02)
S-4 BEAZER HOMES USA INC, 1000 ABERNATHY ROAD, STE 260, ATLANTA, GA, 30328,
7708293700 - 0 ($200,000,000.00) Debt, (File 333-187596 - Mar. 28)
(BR. 06C)
S-3 NATIONAL RESEARCH CORP, 1245 Q STREET, LINCOLN, NE, 68508, 4024752525 -
6,600,000 ($384,351,000.00) Equity, (File 333-187597 - Mar. 28)
(BR. 01B)
S-8 AMYRIS, INC., 5885 HOLLIS ST SUITE 100, EMERYVILLE, CA, 94608,
510-450-0761 - 1,121,500 ($2,779,985.64) Equity, (File 333-187598 -
Mar. 28) (BR. 06B)
S-8 SS&C Technologies Holdings Inc, 80 LAMBERTON RD, WINDSOR, CT, 06095,
860-298-4500 - 4,249,990 ($123,419,710.00) Equity, (File 333-187599 -
Mar. 28) (BR. 03C)
S-8 ALIMERA SCIENCES INC, 6120 WINDWARD PARKWAY, STE 290, ALPHARETTA, GA,
30005, 6789905740 - 1,277,635 ($3,820,128.65) Equity,
(File 333-187600 - Mar. 28) (BR. 01B)
S-8 FOUR OAKS FINCORP INC, 6144 US 301 SOUTH, P O BOX 309, FOUR OAKS, NC,
27524, 9199632177 - 150,000 ($201,000.00) Equity, (File 333-187601 -
Mar. 28) (BR. 07B)
S-8 DARA BioSciences, Inc., 8601 SIX FORKS ROAD SUITE 160, RALEIGH, NC,
27615, 919-861-0202 - 5,969,115 ($6,118,343.00) Equity,
(File 333-187602 - Mar. 28) (BR. 01B)
S-11 Seer Mortgage Capital, Inc., 212-850-9000 - 0 ($100,000,000.00) Equity,
(File 333-187603 - Mar. 28) (BR. 08B)
S-1 Sino Agro Food, Inc., UNIT 11, 37/F CHINA SHINE PLAZA,,
NO. 9 LIN HE XI ROAD TIANHE DISTRICT, GUANGZHOU, F4, 510610,
011 86 6012 2004963 - 0 ($26,250,000.00) Equity, (File 333-187604 -
Mar. 28) (BR. 05A)
S-3ASR Tower Group International, Ltd., CROWN HOUSE, 4 PAR-LA-VILLE ROAD,
HAMILTON, D0, HM 08, 441-279-6611 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-187605 - Mar. 28)
(BR. 01B)
S-3ASR ATMOS ENERGY CORP, 1800 THREE LINCOLN CTR, 5430 LBJ FREEWAY, DALLAS,
TX, 75240, 9729349227 - 0 ($0.00) Other, (File 333-187606 - Mar. 28)
(BR. 02B)
S-1 Northern Tier Energy LP, 38C GROVE STREET, SUITE 100, RIDGEFIELD, CT,
06877, (203) 244-6550 -
0 ($385,000,000.00) Limited Partnership Interests, (File 333-187607 -
Mar. 28) (BR. 04B)
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 5.02,9.01 03/21/13
A123 SYSTEMS, INC. DE 5.03,9.01 03/22/13
Accenture plc L2 2.02,9.01 03/28/13
Accenture plc L2 5.02,9.01 03/22/13
ACCENTURE SCA 2.02,9.01 03/28/13
ACCENTURE SCA 5.02,9.01 03/22/13
ACE Ltd V8 5.03,9.01 03/28/13
ACME PACKET INC DE 2.01,3.01,3.03,5.01, 03/28/13
5.02,5.03,5.07,9.01
ADT Corp DE 5.02 03/26/13
AEHR TEST SYSTEMS CA 2.02,9.01 02/28/13
Aircastle LTD D0 7.01,9.01 03/27/13
AKORN INC LA 4.01,9.01 03/22/13
ALBANY INTERNATIONAL CORP /DE/ DE 1.01,1.02,2.03,9.01 03/26/13
ALBANY INTERNATIONAL CORP /DE/ DE 1.01,2.03,9.01 03/26/13
ALEXION PHARMACEUTICALS INC DE 8.01 03/27/13
ALICO INC FL 5.02,8.01 03/22/13
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 03/28/13
Allied Nevada Gold Corp. DE 5.02,9.01 03/27/13
ALTAIR NANOTECHNOLOGIES INC Z4 2.02,9.01 03/28/13
AMARIN CORP PLC\UK X0 5.02 03/25/13
AMERICAN AIRLINES INC DE 7.01,9.01 03/28/13
AMERICAN CAMPUS COMMUNITIES INC MD 1.01,9.01 03/25/13
American Copper Corp. NV 1.01,2.01,3.02,9.01 03/25/13
AMERICAN CRYSTAL SUGAR CO /MN/ MN 7.01 03/28/13
AMERICAN REALTY CAPITAL NEW YORK RECO MD 2.01,2.03,9.01 03/27/13
AMERICAN STATES WATER CO CA 5.02,9.01 03/26/13
American Tire Distributors Holdings, 1.01,2.03,9.01 03/21/13
AMPAL-AMERICAN ISRAEL CORP NY 8.01 03/27/13
AMR CORP DE 7.01,9.01 03/28/13
AMYRIS, INC. DE 1.01,3.02 03/27/13
Anacor Pharmaceuticals Inc DE 7.01,8.01,9.01 03/21/13 AMEND
ANGIOTECH PHARMACEUTICALS INC 2.02,9.01 03/28/13
Anoteros, Inc. NV 1.01 12/31/12
Anthera Pharmaceuticals Inc DE 8.01,9.01 03/27/13
ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 03/28/13
AP PHARMA INC /DE/ DE 8.01,9.01 03/28/13
ARADIGM CORP CA 5.02 03/22/13
ARAMARK CORP DE 1.01,9.01 03/22/13
ARKANSAS BEST CORP /DE/ DE 7.01,9.01 03/28/13
Armada Oil, Inc. NV 1.01,5.02,9.01 03/20/13
ASIAINFO-LINKAGE, INC DE 5.02 03/25/13
ASSURANT INC 8.01,9.01 03/25/13
AUXILIO INC NV 2.02,9.01 03/28/13
BANK OF SOUTH CAROLINA CORP SC 8.01,9.01 03/28/13
BASIC ENERGY SERVICES INC 5.02,9.01 03/25/13
Be Active Holdings, Inc. DE 5.02,9.01 03/22/13
BEAZER HOMES USA INC DE 8.01,9.01 03/27/13
BILL BARRETT CORP DE 7.01,9.01 03/28/13
BIOZONE PHARMACEUTICALS, INC. NV 1.01,2.03 03/22/13
Black Ridge Oil & Gas, Inc. DE 2.02,9.01 03/28/13
BLACKBAUD INC 1.01,9.01 03/22/13
Borneo Resource Investments Ltd. NV 1.01,7.01,9.01 03/22/13
Brazil Minerals, Inc. NV 1.01,9.01 03/28/13
BRYN MAWR BANK CORP PA 8.01,9.01 03/28/13
CAESARS ENTERTAINMENT Corp DE 1.01,2.03,9.01 03/27/13
Calumet Specialty Products Partners, DE 1.01,7.01,9.01 03/26/13
CAPITOL BANCORP LTD MI 2.02,9.01 03/28/13
Carbonite Inc DE 5.02 03/25/13
CareView Communications Inc NV 1.01,3.02,9.01 03/27/13
Carlyle Group L.P. DE 1.01,2.03,9.01 03/28/13
CELL THERAPEUTICS INC WA 1.01,2.03,3.02,7.01, 03/26/13
9.01
CENTURY CASINOS INC /CO/ DE 2.02 12/31/12
CHEMBIO DIAGNOSTICS, INC. NV 1.01,8.01,9.01 03/28/13
CHICAGO BRIDGE & IRON CO N V P7 7.01,9.01 03/28/13
CHINA AUTOMOTIVE SYSTEMS INC DE 2.02,9.01 03/27/13
CHINA EDUCATION INTERNATIONAL, INC. NV 7.01,9.01 03/27/13
CLEAN DIESEL TECHNOLOGIES INC DE 1.01,9.01 03/28/13 AMEND
Clearwire Corp /DE DE 8.01,9.01 03/28/13
Clearwire Corp /DE DE 8.01,9.01 03/28/13
CNO Financial Group, Inc. DE 8.01,9.01 03/28/13
CNO Financial Group, Inc. DE 7.01,9.01 03/28/13
CNO Financial Group, Inc. DE 7.01,9.01 03/28/13
COACH INC MD 1.01,2.03 03/26/13
COCA-COLA ENTERPRISES, INC. DE 8.01 03/28/13
COIL TUBING TECHNOLOGY, INC. FL 2.01,7.01,9.01 03/27/13
COINSTAR INC DE 8.01 03/25/13
Cole Credit Property Trust III, Inc. MD 7.01,8.01,9.01 03/28/13
COLE REAL ESTATE INCOME STRATEGY (DAI MD 8.01 03/25/13
COLUMBUS MCKINNON CORP NY 5.03,9.01 03/25/13
COMMERCIAL METALS CO DE 2.02,9.01 03/28/13
COMMONWEALTH BIOTECHNOLOGIES INC VA 4.01 03/27/13
COMMUNITY FINANCIAL SHARES INC DE 5.02,8.01,9.01 03/25/13
Compressco Partners, L.P. DE 2.03 03/25/13
CORINTHIAN COLLEGES INC 7.01 03/25/13
CORTEX PHARMACEUTICALS INC/DE/ DE 5.01,5.02,5.03,9.01 03/22/13
Cyclacel Pharmaceuticals, Inc. DE 1.01 03/27/13
DEEP WELL OIL & GAS INC NV 5.02,5.03,5.07,9.01 03/27/13
dELiAs, Inc. DE 2.02,5.02,8.01,9.01 03/22/13
DelMar Pharmaceuticals, Inc. NV 2.01,9.01 01/25/13 AMEND
DENBURY RESOURCES INC DE 7.01,9.01 03/28/13
DEXCOM INC DE 1.01,5.02,8.01 03/22/13
DGSE COMPANIES INC NV 2.02,7.01,9.01 03/28/13
Diamond Foods Inc DE 4.01,9.01 03/24/13
Discover Card Execution Note Trust DE 8.01 03/28/13
DOLE FOOD CO INC DE 5.02,9.01 03/22/13
DubLi, Inc. NV 5.02 03/24/13
DUCOMMUN INC /DE/ DE 1.01,9.01 03/28/13
Dynacast International Inc. DE 2.02,9.01 03/28/13
DYNASIL CORP OF AMERICA NJ 3.01 03/26/13
DynaVox Inc. 5.02 03/22/13
DYNEGY INC. DE 7.01,9.01 03/28/13
EAGLE ROCK ENERGY PARTNERS L P DE 7.01 03/28/13
EASTERN VIRGINIA BANKSHARES INC VA 1.01,3.02,9.01 03/26/13
EASTMAN KODAK CO NJ 7.01,9.01 03/28/13
EASTON-BELL SPORTS, INC. DE 2.02,9.01 03/26/13
EGPI FIRECREEK, INC. NV 5.02,9.01 03/28/13
ELECTRONIC ARTS INC. DE 5.02 03/27/13
EMISPHERE TECHNOLOGIES INC DE 2.02,9.01 03/28/13
Empeiria Acquisition Corp DE 1.01 03/22/13
ENANTA PHARMACEUTICALS INC DE 5.03,9.01 03/25/13
ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 1.01,2.03,3.02 03/28/13
ENZO BIOCHEM INC NY 1.01,8.01,9.01 03/28/13
EQUINIX INC DE 1.01,2.03 03/27/13
Essential Telecommunications, Inc. DE 3.02,5.01,5.02 03/25/13
Excel Corp DE 9.01 01/14/13 AMEND
ExOne Co DE 2.02,9.01 03/27/13
EXTERRAN PARTNERS, L.P. DE 1.01,2.03,8.01,9.01 03/22/13
Federal Home Loan Bank of Atlanta X1 2.03 03/25/13
Federal Home Loan Bank of Boston X1 2.03 03/26/13
Federal Home Loan Bank of Chicago X1 2.03 03/25/13
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 03/26/13
Federal Home Loan Bank of Des Moines X1 2.03,9.01 03/26/13
Federal Home Loan Bank of New York X1 2.03,9.01 03/25/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 03/25/13
Federal Home Loan Bank of San Francis X1 2.03 03/25/13
Federal Home Loan Bank of Seattle 2.03 03/26/13
Federal Home Loan Bank of Topeka 2.03,9.01 03/26/13
Federal Home Loan Bank of Topeka 7.01,9.01 03/28/13
FERRO CORP OH 1.01,5.02,7.01,9.01 03/22/13
FIDELITY SOUTHERN CORP GA 8.01,9.01 03/28/13
FINISH LINE INC /IN/ IN 2.02,8.01,9.01 03/28/13
First Bancorp, Inc /ME/ ME 8.01 03/28/13
First Bancorp, Inc /ME/ ME 1.01 03/27/13
FIRST FEDERAL BANCSHARES OF ARKANSAS AR 5.02 03/28/13
FlatWorld Acquisition Corp. D8 4.01 03/18/13
Fortegra Financial Corp DE 2.02,4.02 03/27/13
FOUR OAKS FINCORP INC NC 5.02,9.01 03/25/13
FREDS INC TN 2.02,9.01 03/28/13
FRONTIER COMMUNICATIONS CORP DE 1.01,8.01,9.01 03/28/13
FS Energy & Power Fund DE 2.02,9.01 03/28/13
FS Investment Corp II MD 2.02,9.01 03/28/13
FS Investment Corp II MD 1.01,2.03,9.01 03/27/13
Fuelstream INC DE 4.01,9.01 03/27/13
FULLER H B CO MN 2.02,9.01 03/27/13
FURNITURE BRANDS INTERNATIONAL INC DE 5.02,9.01 03/26/13
GameStop Corp. DE 2.02,9.01 03/28/13
GelTech Solutions, Inc. DE 5.02 03/25/13
GENERAL EMPLOYMENT ENTERPRISES INC IL 5.02,9.01 03/28/13
GENSPERA INC DE 1.01,3.02,9.01 03/22/13
GENTHERM Inc MI 8.01 03/25/13
GENWORTH FINANCIAL INC DE 1.01,9.01 03/27/13
GENWORTH FINANCIAL INC DE 2.02,9.01 03/28/13
GEO POINT TECHNOLOGIES INC UT 4.01,9.01 03/22/13
GLACIER BANCORP INC DE 8.01,9.01 03/27/13
GLOBAL PARTNERS LP 1.01,2.03,9.01 03/22/13
GLOWPOINT, INC. DE 5.02,9.01 03/22/13
Grand Canyon Education, Inc. DE 5.02 03/25/13
GUIDED THERAPEUTICS INC DE 2.02,7.01 03/28/13
GULFSLOPE ENERGY, INC. DE 8.01,9.01 03/22/13
HALOZYME THERAPEUTICS INC DE 5.02 03/27/13
HAMPTON ROADS BANKSHARES INC VA 5.02,7.01,9.01 03/27/13
HARRIS PREFERRED CAPITAL CORP MD 8.01,9.01 03/28/13
HEALTHCARE TRUST OF AMERICA, INC. MD 1.01,1.02,2.03,9.01 03/28/13
HeartWare International, Inc. DE 8.01,9.01 03/28/13
Highpower International, Inc. DE 3.01 03/27/13
Hines Global REIT, Inc. MD 7.01,8.01,9.01 03/28/13
HINES REAL ESTATE INVESTMENT TRUST IN 7.01,8.01,9.01 03/25/13
HMS INCOME FUND, INC. MD 8.01,9.01 03/25/13
HomeStreet, Inc. WA 8.01,9.01 03/28/13
HORIZON BANCORP /IN/ IN 7.01,9.01 03/27/13
HORNBECK OFFSHORE SERVICES INC /LA DE 1.01,2.03,8.01,9.01 03/27/13
HOST HOTELS & RESORTS, INC. MD 1.01,2.03,9.01 03/28/13
HOUSTON AMERICAN ENERGY CORP DE 8.01,9.01 03/28/13
Ignite Restaurant Group, Inc. 5.02 03/24/13
ILLUMINA INC DE 1.01,1.02,3.03,5.03, 03/27/13
9.01
InfuSystem Holdings, Inc DE 2.02,9.01 03/28/13
INNOTRAC CORP GA 2.02,9.01 03/28/13
INTEGRATED FREIGHT Corp FL 8.01 03/28/13
INTERLEUKIN GENETICS INC DE 5.02 03/27/13
INVENTURE FOODS, INC. DE 1.01,2.03,8.01,9.01 03/22/13
ISC8 INC. /DE DE 5.02,9.01 03/22/13
JARDEN CORP DE 1.01,2.03,9.01 03/22/13
KALOBIOS PHARMACEUTICALS INC DE 2.02,9.01 03/27/13
KEY ENERGY SERVICES INC MD 5.02,9.01 03/25/13
KINDRED HEALTHCARE, INC DE 5.02 03/27/13
KINGOLD JEWELRY, INC. DE 2.02,7.01,9.01 03/27/13
Kips Bay Medical, Inc. DE 2.02,9.01 03/28/13
KKR Financial Holdings LLC DE 8.01 03/26/13
LAKE SHORE BANCORP, INC. 8.01 03/25/13
Leatt Corp NV 2.02,9.01 03/28/13
LEHMAN BROTHERS HOLDINGS INC. PLAN TR 7.01,9.01 03/28/13
LEXINGTON REALTY TRUST MD 3.02 03/27/13
LGL GROUP INC DE 2.02,7.01,9.01 03/27/13
LianDi Clean Technology Inc. NV 5.02,9.01 03/22/13
Liberty Global, Inc. DE 7.01 03/28/13
Liberty Global, Inc. DE 2.03,9.01 03/26/13
MACERICH CO MD 9.01 01/24/13 AMEND
Magyar Bancorp, Inc. DE 5.07,9.01 02/14/13 AMEND
MCDERMOTT INTERNATIONAL INC R1 1.01,2.03,9.01 03/25/13
McEwen Mining Inc. CO 7.01,9.01 03/28/13
MEDICINOVA INC DE 2.02,9.01 03/28/13
MEDINA INTERNATIONAL HOLDINGS, INC. CO 5.02 03/26/13
Memorial Production Partners LP DE 2.01,9.01 03/28/13
MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01 03/27/13
MHI Hospitality CORP MD 1.01,2.03,7.01,9.01 03/28/13
MONDIAL VENTURES, INC. NV 5.02,9.01 03/24/13
MONEYGRAM INTERNATIONAL INC 5.02,9.01 03/27/13
MONEYGRAM INTERNATIONAL INC 1.01,1.02,2.03,9.01 03/27/13
MOSAIC CO 2.02,9.01 03/28/13
MusclePharm Corp NV 3.02,9.01 03/26/13
MusclePharm Corp NV 3.02,9.01 03/27/13 AMEND
NATIONAL FUEL GAS CO NJ 5.02 03/26/13
NATIONAL RETAIL PROPERTIES, INC. MD 8.01,9.01 03/28/13
Nationstar Mortgage Holdings Inc. DE 7.01,9.01 03/28/13
NATUREWELL INC CA 1.01,1.04,3.02,9.01 03/28/13
NEW ENERGY SYSTEMS GROUP NV 8.01,9.01 03/26/13
NEWS CORP 8.01,9.01 03/28/13
NOHO, Inc. WY 1.01,5.03,9.01 03/27/13
NORTH BAY RESOURCES INC DE 1.01,9.01 03/28/13
NORTH BAY RESOURCES INC DE 1.01,9.01 03/28/13
NORTHERN STATES FINANCIAL CORP /DE/ DE 8.01,9.01 03/28/13
NORTHWEST BANCORPORATION INC WA 9.01 12/28/12 AMEND
NTN BUZZTIME INC DE 2.02,9.01 03/28/13
NTS, INC. NV 1.01,2.03,9.01 03/28/13
OGLETHORPE POWER CORP GA 7.01,9.01 03/28/13
Ohr Pharmaceutical Inc 3.02 03/18/13
OLIE INC DE 8.01 03/28/13
OMEGA COMMERCIAL FINANCE CORP WY 1.01,3.03,9.01 03/26/13
Oneida Financial Corp. MD 8.01,9.01 03/27/13
ONEOK INC /NEW/ OK 7.01,9.01 03/28/13
ONEOK Partners LP DE 7.01,9.01 03/28/13
OPPENHEIMER HOLDINGS INC DE 5.02 03/28/13
OPT SCIENCES CORP NJ 5.07 03/27/13
OptimumBank Holdings, Inc. FL 1.01,9.01 03/22/13
Pacific Ethanol, Inc. DE 2.02,9.01 03/27/13
Pacific Ethanol, Inc. DE 1.01,2.03,7.01,9.01 03/28/13
Pacific Ethanol, Inc. DE 1.01,8.01,9.01 03/27/13
PALADIN REALTY INCOME PROPERTIES INC MD 8.01 03/26/13
PAREXEL INTERNATIONAL CORP MA 1.01,2.03,9.01 03/22/13
PC TEL INC DE 2.02,9.01 03/28/13
PEPCO HOLDINGS INC DE 1.01,2.03,9.01 03/28/13
PetroLogistics LP DE 1.01,2.03,7.01,9.01 03/28/13
PICO HOLDINGS INC /NEW CA 5.02 03/27/13
PLUG POWER INC DE 2.02,9.01 03/28/13
Power REIT MD 8.01 03/28/13
POWIN CORP 3.03,9.01 03/27/13
PPG INDUSTRIES INC PA 5.02,9.01 03/25/13
PREMIERWEST BANCORP OR 5.07 03/28/13
Prothena Corp plc L2 2.02,5.02,9.01 03/25/13
ProUroCare Medical Inc. NV 1.01,2.03,5.02,9.01 03/22/13
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 03/28/13
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 2.02,9.01 03/28/13
QUICKSILVER RESOURCES INC DE 5.02 03/27/13
RAVEN INDUSTRIES INC SD 5.02,9.01 03/23/13
RBC LIFE SCIENCES, INC. DE 2.02 03/27/13
RED ROBIN GOURMET BURGERS INC DE 5.02 03/26/13
REPROS THERAPEUTICS INC. DE 8.01,9.01 03/27/13
REX AMERICAN RESOURCES Corp DE 2.02,9.01 03/28/13
RFS HOLDING LLC 1.01,9.01 03/26/13
ROI Acquisition Corp. DE 8.01,9.01 03/28/13
Ryman Hospitality Properties, Inc. DE 8.01,9.01 03/27/13
S&W Seed Co NV 5.02,9.01 03/25/13
Samson Oil & Gas LTD C3 8.01,9.01 03/28/13
SANUWAVE Health, Inc. NV 2.02,7.01,9.01 03/26/13
Saveene Group, Inc. 5.01,8.01,9.01 03/28/13
Shire plc 8.01,9.01 03/28/13
SIGNET JEWELERS LTD 2.02 03/28/13
SJW CORP CA 1.01,9.01 03/28/13
SOLITRON DEVICES INC DE 8.01 03/21/13
Southcross Energy Partners, L.P. DE 1.01,2.02,2.03,9.01 03/27/13
SPARTAN MOTORS INC MI 7.01 03/27/13
Steadfast Income REIT, Inc. MD 7.01,9.01 03/28/13
STEEL DYNAMICS INC IN 8.01,9.01 03/26/13
STEEL DYNAMICS INC IN 1.01,2.03,8.01,9.01 03/26/13
SUFFOLK BANCORP NY 5.02,9.01 03/27/13
SUN COMMUNITIES INC MD 7.01,9.01 03/28/13
SUPERTEL HOSPITALITY INC VA 1.01,9.01 03/26/13
SYNERGETICS USA INC 7.01,9.01 03/28/13
T3 Motion, Inc. DE 1.01,2.03,3.01,5.02, 03/21/13
Tamir Biotechnology, Inc. DE 4.01,9.01 03/25/13
9.01
TARGET CORP MN 8.01,9.01 03/27/13
TAYLOR CAPITAL GROUP INC DE 5.03,9.01 03/28/13
TELETOUCH COMMUNICATIONS INC DE 5.02,5.03,9.01 03/22/13
TETRAPHASE PHARMACEUTICALS INC DE 5.03,9.01 03/25/13
TEXAS CAPITAL BANCSHARES INC/TX 3.03,5.03,8.01,9.01 03/28/13
TEXAS INDUSTRIES INC DE 2.02,9.01 03/27/13
THERMOGENESIS CORP DE 5.02,9.01 03/26/13
TIAA REAL ESTATE ACCOUNT NY 2.02,7.01,9.01 03/28/13
Tower Group International, Ltd. D0 8.01,9.01 03/28/13
TRANSWITCH CORP /DE DE 1.01,1.02,8.01,9.01 03/27/13
TRANZYME INC DE 2.02,9.01 03/28/13
Travelport LTD D0 8.01 03/25/13
TRI Pointe Homes, Inc. 2.02,9.01 03/28/13
TRIMAS CORP DE 4.01 03/27/13
U.S. Auto Parts Network, Inc. DE 1.01,9.01 03/27/13
UNICO AMERICAN CORP NV 2.02 12/31/12
UNITED COMMUNITY FINANCIAL CORP OH 3.02,5.02,7.01,9.01 03/22/13
United Continental Holdings, Inc. DE 7.01,9.01 03/28/13
United Continental Holdings, Inc. DE 1.01,1.02,2.03,9.01 03/27/13
United States 12 Month Natural Gas Fu 7.01,9.01 03/28/13
United States 12 Month Oil Fund, LP 7.01,9.01 03/28/13
United States Brent Oil Fund, LP DE 7.01,9.01 03/28/13
United States Commodity Index Funds T DE 7.01,9.01 03/28/13
United States Diesel-Heating Oil Fund DE 7.01,9.01 03/28/13
United States Gasoline Fund, LP DE 7.01,9.01 03/28/13
United States Natural Gas Fund, LP 7.01,9.01 03/28/13
United States Oil Fund, LP DE 7.01,9.01 03/28/13
United States Short Oil Fund, LP DE 7.01,9.01 03/28/13
Universal Truckload Services, Inc. MI 8.01,9.01 03/28/13
USA Mobility, Inc DE 2.02,4.02,8.01,9.01 03/28/13
UTi WORLDWIDE INC D8 2.02,9.01 03/28/13
VECTREN CORP IN 8.01,9.01 03/28/13
VERINT SYSTEMS INC DE 2.02,7.01,9.01 03/27/13 AMEND
VERISIGN INC/CA DE 8.01,9.01 03/28/13
VISTAPRINT N.V. P7 5.07 03/25/13
VITRAN CORP INC A6 5.02,9.01 03/26/13
VITRAN CORP INC A6 5.02,8.01,9.01 03/27/13
W&T OFFSHORE INC TX 7.01 03/28/13
WALTER INVESTMENT MANAGEMENT CORP MD 1.01,2.03,9.01 03/28/13
WAYNE SAVINGS BANCSHARES INC /DE/ DE 7.01,9.01 03/28/13
WELLS FARGO & COMPANY/MN DE 9.01 03/28/13
WILSHIRE BANCORP INC 8.01,9.01 03/28/13
WINNEBAGO INDUSTRIES INC IA 2.02,9.01 03/28/13
WYNN RESORTS LTD 5.02 03/27/13
XEROX CORP NY 5.02,9.01 03/26/13
ZAIS Financial Corp. MD 2.02,9.01 03/28/13
ZaZa Energy Corp DE 7.01,9.01 03/28/13
ZHONGPIN INC. DE 2.03 03/26/13
ZION OIL & GAS INC DE 8.01,9.01 03/28/13
ZION OIL & GAS INC DE 7.01,9.01 03/28/13
ZIONS BANCORPORATION /UT/ UT 8.01,9.01 03/28/13
Znomics, Inc. NV 8.01 03/28/13
http://www.sec.gov/news/digest/2013/dig032913.htm
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