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Commission announcementsSEC Says Social Media OK for Company Announcements if Investors Are AlertedThe Securities and Exchange Commission today issued a report that makes clear that companies can use social media outlets like Facebook and Twitter to announce key information in compliance with Regulation Fair Disclosure (Regulation FD) so long as investors have been alerted about which social media will be used to disseminate such information. The SEC’s report of investigation confirms that Regulation FD applies to social media and other emerging means of communication used by public companies the same way it applies to company websites. The SEC issued guidance in 2008 clarifying that websites can serve as an effective means for disseminating information to investors if they’ve been made aware that’s where to look for it. Today’s report clarifies that company communications made through social media channels could constitute selective disclosures and, therefore, require careful Regulation FD analysis. “One set of shareholders should not be able to get a jump on other shareholders just because the company is selectively disclosing important information,” said George Canellos, Acting Director of the SEC’s Division of Enforcement. “Most social media are perfectly suitable methods for communicating with investors, but not if the access is restricted or if investors don’t know that’s where they need to turn to get the latest news.” Regulation FD requires companies to distribute material information in a manner reasonably designed to get that information out to the general public broadly and non-exclusively. It is intended to ensure that all investors have the ability to gain access to material information at the same time. Lona Nallengara, Acting Director of the SEC’s Division of Corporation Finance, added, “Companies should review the Commission’s existing guidance – it is flexible enough to address questions that arise for companies that choose to communicate through social media, and the guidance does so in a straightforward manner.” The SEC’s report of investigation stems from an inquiry the Division of Enforcement launched into a post by Netflix CEO Reed Hastings on his personal Facebook page stating that Netflix’s monthly online viewing had exceeded one billion hours for the first time. Netflix did not report this information to investors through a press release or Form 8-K filing, and a subsequent company press release later that day did not include this information. Neither Hastings nor Netflix had previously used his Facebook page to announce company metrics, and they had never before taken steps to alert investors that Hastings’ personal Facebook page might be used as a medium for communicating information about Netflix. Netflix’s stock price had begun rising before the posting, and increased from $70.45 at the time of the Facebook post to $81.72 at the close of the following trading day. The SEC did not initiate an enforcement action or allege wrongdoing by Hastings or Netflix. Recognizing that there has been market uncertainty about the application of Regulation FD to social media, the SEC issued the report of investigation pursuant to Section 21(a) of the Securities Exchange Act of 1934. The report of investigation explains that although every case must be evaluated on its own facts, disclosure of material, nonpublic information on the personal social media site of an individual corporate officer – without advance notice to investors that the site may be used for this purpose – is unlikely to qualify as an acceptable method of disclosure under the securities laws. Personal social media sites of individuals employed by a public company would not ordinarily be assumed to be channels through which the company would disclose material corporate information. The SEC’s inquiry was conducted by Cameron P. Hoffman, Michael E. Liftik, and Assistant Regional Director Cary S. Robnett in the San Francisco Regional Office. (Press Rel. 2013-51; Rel. 34-69279) Enforcement proceedingsIn the Matter of Digital Video Systems, Inc.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Three Respondents (Default Order) in Digital Video Systems, Inc., Admin. Proc. File No. 3-15216. The Order Instituting Proceedings alleged that Respondents Digital Video Systems, Inc., Electroglas, Inc., and GoldMountain Exploration Corp. repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act). The proceeding has ended as to Respondents Real Data, Inc. (a/k/a Galtech Semiconductor Materials Corporation), and Geocom Resources, Inc. See Digital Video Systems, Inc., Exchange Act Release Nos. 69126, 69127 (Mar. 13, 2013). (Rel. 34-69264; File No. 3-15216) Eric J. Bur, CPA Reinstated to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed With the CommissionPursuant to Rule 102(e)(5)(i) of the Commission's Rules of Practice, Eric J. Bur, CPA has applied for and been granted reinstatement of his privilege to appear and practice before the Commission as an accountant responsible for the preparation or review of financial statements required to be filed with the Commission. Mr. Bur was suspended from appearing or practicing before the Commission as an accountant on January 20, 2011. His reinstatement is effective immediately. (Rel. 34-69277; AAE Rel. 3450; File No. 3-14201) Investment company act releasesStetson Capital Fund LP and Davis Polk & Wardwell LLPA notice has been issued giving interested persons until April 22, 2013, to request a hearing on an application filed by Stetson Capital Fund LP and Davis Polk & Wardwell LLP for an order to exempt certain limited partnerships formed for the benefit of eligible employees of Davis Polk & Wardwell LLP and its affiliates from certain provisions of the Investment Company Act of 1940 (Act). Each limited partnership will be an “employees’ securities company” within the meaning of Section 2(a)(13) of the Act. (Rel. IC-30438 – March 27) Notice of Applications for Deregistration under the Investment Company Act of 1940For the month of March 2013, a notice has been issued giving interested persons until April 23, 2013, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act of 1940 declaring that the applicant has ceased to be an investment company:
(Rel. IC-30440 – March 29) Munder Series Trust and Munder Capital ManagementA notice has been issued giving interested persons until April 23, 2013, to request a hearing on an application filed by Munder Series Trust (the “Trust”) and Munder Capital Management for an order exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (Rel. IC-3044 – March 29) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX PHLX LLC to amend routing fees and the Customer Rebate Program (SR-PHLX-2013-023) 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 April 1, 2013. (Rel. 34-69253) A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Fees Schedule (SR-CBOE-2013-038) 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 April 1, 2013. (Rel. 34-69258) A proposed rule change filed by BOX Options Exchange LLC to amend Rule 12140 (Imposition of Fines for Minor Rule Violations) (SR-BOX-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 April 1, 2013. (Rel. 34-69259) A proposal filed by the Financial Industry Regulatory Authority, Inc. (SR-FINRA-2013-019) to implement changes to extend the expiration date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) has become immediately 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 April 1, 2013. (Rel. 34-69262) 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-4 Nationstar Mortgage LLC, 350 HIGHLAND DRIVE, LEWISVILLE, TX, 75067,
(469) 549-2000 - 0 ($1,375,000,000.00) Non-Convertible Debt,
(File 333-187643 - Apr. 1) (BR. 07C)
S-3 ID SYSTEMS INC, 123 TICE BOULEVARD, WOODCLIFF LAKE, NJ, 07677,
2019969000 - 0 ($60,000,000.00) Equity, (File 333-187644 - Apr. 1)
(BR. 11C)
F-3 CaesarStone Sdot-Yam Ltd., Kibbutz Sdot Yam, MP Menashe, L3, 38805,
972 4 636 4555 - 0 ($260,986,100.00) Equity, (File 333-187645 - Apr. 1)
(BR. 06B)
S-3ASR Invesco Mortgage Capital Inc., TWO PEACHTREE POINTE,
1555 PEACHTREE STREET, NE, ATLANTA, GA, 30309, 404-892-0896 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-187646 - Apr. 1)
(BR. 08B)
S-3ASR Invesco Mortgage Capital Inc., TWO PEACHTREE POINTE,
1555 PEACHTREE STREET, NE, ATLANTA, GA, 30309, 404-892-0896 -
0 ($184,849,037.00) Equity, (File 333-187647 - Apr. 1) (BR. 08B)
S-1 Annona Energy Inc., 2316A WILLEMAR AVENUE, COURTENAY, A1, V9N 3M8,
250-898-8882 - 6,000,000 ($60,000.00) Equity, (File 333-187648 -
Apr. 1) (BR. 04)
S-8 NANOPHASE TECHNOLOGIES CORPORATION, 453 COMMERCE ST, BURR RIDGE, IL,
60521, 6303231200 - 0 ($1,380,000.00) Equity, (File 333-187649 -
Apr. 1) (BR. 06B)
S-8 Talon Therapeutics, Inc., 2207 BRIDGEPOINTE PARKWAY, SUITE 250,
SAN MATEO, CA, 94404, 650-588-6404 - 2,500,000 ($1,537,500.00) Equity,
(File 333-187650 - Apr. 1) (BR. 01A)
S-4 BOISE CASCADE Co, 1111 WEST JEFFERSON STREET, SUITE 300, P. O. BOX 50,
BOISE, ID, 83702, (208) 384-6161 - 0 ($250,000,000.00) Debt,
(File 333-187651 - Apr. 1) (BR. 06A)
S-3ASR CENTENE CORP, 7700 FORSYTH BLVD., ST LOUIS, MO, 63105, 3147254477 -
0 ($0.00) Equity, (File 333-187652 - Apr. 1) (BR. 01B)
S-3ASR Jefferies Group LLC, 520 MADISON AVENUE, 12TH FLOOR, NEW YORK, NY,
10022, 212-284-2550 - 0 ($0.00) Other, (File 333-187653 - Apr. 1)
(BR. 12A)
S-8 TENGION INC, 3929 WESTPOINT BLVD., SUITE G, WINSTON-SALEM, NC, 27103,
336-722-5855 - 98,676 ($66,112.92) Equity, (File 333-187654 - Apr. 1)
(BR. 01A)
S-8 GREENESTONE HEALTHCARE CORP, 5734 YONGE ST., SUITE 300, TORONTO, A6,
M2M 4E7, 416-222-5501 - 11,500,000 ($3,335,000.00) Equity,
(File 333-187655 - Apr. 1) (BR. 01A)
S-1 GENEREX BIOTECHNOLOGY CORP, 33 HARBOUR SQ, STE 202,
TORONTO ONTARIO CANADA, A1, M5J 2G2, 4163642551 -
211,402,518 ($6,595,759.00) Equity, (File 333-187656 - Apr. 1) (BR. 01A)
S-3 SOLTA MEDICAL INC, 25881 INDUSTRIAL BOULEVARD, HAYWARD, CA, 94545,
5107822286 - 13,300,152 ($29,260,334.40) Equity, (File 333-187657 -
Apr. 1) (BR. 10B)
S-8 SPLUNK INC, 250 BRANNAN STREET, SAN FRANCISCO, CA, 94107,
415-848-4800 - 0 ($264,724,150.51) Equity, (File 333-187658 - Apr. 1)
(BR. 03B)
S-3 LIGHTBRIDGE Corp, 1600 TYSONS BOULEVARD, SUITE 550, MCLEAN,, VA, 22102,
703.918.4904 - 0 ($50,000,000.00) Equity, (File 333-187659 - Apr. 1)
(BR. 08C)
S-8 ICAD INC, 98 SPIT BROOK ROAD, SUITE 100, NASHUA, NH, 03062,
603-882-5200 - 600,000 ($3,132,000.00) Equity, (File 333-187660 -
Apr. 1) (BR. 10A)
S-3 TransMontaigne Partners L.P., 1670 BROADWAY, SUITE 3100, DENVER, CO,
80202, 303-626-8200 - 0 ($1,000,000,000.00) Other, (File 333-187661 -
Apr. 1) (BR. 04A)
S-11 Ellington Residential Mortgage REIT, 53 FOREST AVENUE, OLD GREENWICH,
CT, 06870, (203) 698-1200 - 0 ($100,000,000.00) Equity,
(File 333-187662 - Apr. 1) (BR. 08C)
S-8 XEROX CORP, 45 GLOVER AVENUE, PO BOX 4505, NORWALK, CT, 06856,
2039683000 - 0 ($214,000,000.00) Equity, (File 333-187663 - Apr. 1)
(BR. 03A)
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
-----------------------------------------------------------------------------------------
ACACIA RESEARCH CORP DE 8.01 03/29/13
ADT Corp DE 7.01,9.01 04/01/13
Affinia Group Intermediate Holdings I DE 7.01,9.01 04/01/13
Affinity Gaming NV 2.02,9.01 04/01/13
AGY Holding Corp. DE 2.02,5.02,9.01 04/01/13
Aircastle LTD D0 7.01,9.01 04/01/13
ALERE INC. DE 5.02 03/27/13
Alkermes plc. 5.02,9.01 03/27/13
AMARANTUS BIOSCIENCE, INC. DE 1.01,5.03,9.01 03/22/13
AMERICAN GREETINGS CORP OH 1.01,5.03,8.01,9.01 03/28/13
American Midstream Partners, LP DE 1.01,2.03 03/29/13
AMERICAN SHARED HOSPITAL SERVICES CA 2.02,9.01 04/01/13
AMERICAN SPECTRUM REALTY INC MD 2.02,9.01 04/01/13
AMERICAN SUPERCONDUCTOR CORP /DE/ DE 2.02,8.01,9.01 04/01/13
AMERISAFE INC TX 1.01,5.02 04/01/13
AMERISOURCEBERGEN CORP DE 7.01,8.01,9.01 03/28/13
AmREIT, Inc. MD 8.01,9.01 03/26/13
AMYRIS, INC. DE 5.02 03/26/13
APRICUS BIOSCIENCES, INC. NV 1.01,2.01,9.01 03/26/13
ARENA PHARMACEUTICALS INC DE 8.01 04/01/13
Ares Commercial Real Estate Corp MD 2.02,9.01 04/01/13
ARGAN INC DE 8.01,9.01 04/01/13
Armored AutoGroup Inc. DE 2.02,9.01 04/01/13
Armored AutoGroup Inc. DE 7.01,9.01 04/01/13
ARQULE INC DE 1.02,9.01 03/26/13
ATWOOD OCEANICS INC TX 7.01,9.01 04/01/13
AUXILIUM PHARMACEUTICALS INC DE 8.01 03/27/13
Avago Technologies LTD U0 5.02,9.01 04/01/13
Bacterin International Holdings, Inc. DE 5.02,7.01,9.01 04/01/13
BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 04/01/13
BANK OF AMERICA CORP /DE/ DE 8.01,9.01 04/01/13
BARD C R INC /NJ/ NJ 2.06 03/27/13
BARD C R INC /NJ/ NJ 8.01 04/01/13
Big Three Restaurants, Inc. FL 3.02 04/01/13
BIO KEY INTERNATIONAL INC DE 2.02,9.01 04/01/13
BIOCRYST PHARMACEUTICALS INC DE 1.01,8.01,9.01 03/26/13
BIODELIVERY SCIENCES INTERNATIONAL IN DE 1.01,3.02,7.01,9.01 03/26/13
BIOMET INC IN 8.01 03/27/13
Bonanza Creek Energy, Inc. DE 8.01,9.01 04/01/13
BRYN MAWR BANK CORP PA 8.01,9.01 04/01/13
CAL MAINE FOODS INC DE 2.02,9.01 04/01/13
CAMBRIDGE HEART INC DE 7.01 04/01/13
CECIL BANCORP INC MD 1.01,9.01 03/28/13
CenterState Banks, Inc. FL 7.01,9.01 04/01/13
CENTRAL FEDERAL CORP DE 5.02,9.01 04/01/13
CHINA EDUCATION ALLIANCE INC. NC 1.02 03/29/13
CHINA JO-JO DRUGSTORES, INC. 5.07 03/29/13
CITIZENS BANCSHARES CORP /GA/ GA 2.02,9.01 04/01/13
Clearwire Corp /DE DE 2.03,8.01 04/01/13
CNS RESPONSE, INC. DE 5.02,8.01 03/26/13
COAST DISTRIBUTION SYSTEM INC DE 2.02,9.01 03/28/13
COHU INC DE 1.01,9.01 03/26/13
Coleman Cable, Inc. DE 5.02 03/29/13
Cooper-Standard Holdings Inc. DE 5.03,9.01 03/27/13
CORNERSTONE BANCSHARES INC TN 1.01,1.02,2.03 03/26/13
COTTON BAY HOLDINGS, INC. 4.01,9.01 03/28/13 AMEND
CRAY INC WA 5.02 03/26/13
CRC Health CORP DE 2.02,9.01 04/01/13
CROWN MEDIA HOLDINGS INC DE 1.01,2.03,9.01 03/29/13
Cryoport, Inc. NV 5.02,9.01 03/28/13
CVR ENERGY INC DE 8.01 03/28/13
Cyalume Technologies Holdings, Inc. DE 2.02,7.01,9.01 03/26/13
CYS Investments, Inc. MD 5.02,9.01 03/26/13
CYTOKINETICS INC 8.01 04/01/13
DARA BioSciences, Inc. DE 2.02,9.01 04/01/13
DEERE & CO DE 7.01 04/01/13
DERMA SCIENCES, INC. PA 5.02 03/29/13
DFC GLOBAL CORP. DE 2.02,9.01 04/01/13
DIAGNOSTIC IMAGING INTERNATIONAL CORP NV 1.01,3.02,9.01 03/27/13
DiamondRock Hospitality Co 7.01,8.01,9.01 04/01/13
Digital Development Group Corp NV 1.01,3.02 03/26/13
Dividend Capital Diversified Property MD 8.01 03/01/13
Dolby Laboratories, Inc. DE 5.02 03/27/13
DOMINION RESOURCES INC /VA/ VA 8.01,9.01 04/01/13
DYNEGY INC. DE 7.01,9.01 04/01/13
Echo Global Logistics, Inc. DE 5.02 03/26/13
EMULEX CORP /DE/ DE 2.01,8.01,9.01 03/28/13
EMULEX CORP /DE/ DE 1.01,5.02,5.03,9.01 03/27/13
EnergySolutions, Inc. DE 7.01,9.01 04/01/13
Enstar Group LTD D0 2.01,8.01,9.01 03/31/13
EQUINIX INC DE 5.02,8.01,9.01 04/01/13
EQUUS TOTAL RETURN, INC. DE 8.01,9.01 03/27/13
EverBank Financial Corp DE 8.01 03/28/13
EWaste Systems, Inc. NV 8.01,9.01 03/28/13
EXIDE TECHNOLOGIES DE 5.02 03/26/13
Federal Home Loan Bank of Dallas 2.03,9.01 03/26/13
Federal Home Loan Bank of New York X1 8.01,9.01 04/01/13
FEMALE HEALTH CO WI 5.07 03/26/13
FIRST BANCORP /PR/ PR 8.01,9.01 03/26/13
FIRST CITIZENS BANCSHARES INC /DE/ DE 5.02 03/27/13
FIRST M&F CORP/MS MS 7.01,9.01 04/01/13
FIRST PACTRUST BANCORP INC MD 7.01,9.01 03/31/13
FOOT LOCKER INC NY 5.02,9.01 03/28/13
Forbes Energy Services Ltd. D0 2.02,9.01 04/01/13
FORRESTER RESEARCH, INC. DE 8.01,9.01 04/01/13
Fresh Market, Inc. DE 5.02,9.01 03/08/13 AMEND
FS Investment CORP MD 8.01 04/01/13
FUELCELL ENERGY INC DE 5.07 03/28/13
Full Circle Capital Corp MD 8.01,9.01 04/01/13
GALECTIN THERAPEUTICS INC NV 2.02,9.01 03/29/13
GASTAR EXPLORATION LTD 7.01,9.01 04/01/13
GENEREX BIOTECHNOLOGY CORP DE 5.02,9.01 04/01/13
GENEREX BIOTECHNOLOGY CORP DE 5.07 03/28/13
GENWORTH FINANCIAL INC 1.01,2.03,3.03,5.02, 04/01/13
5.03,8.01,9.01
GILLA INC. NV 1.02,8.01,9.01 03/28/13
Globalstar, Inc. DE 1.01,2.04,7.01,9.01 04/01/13
GMS Capital Corp. FL 7.01 03/28/13
GMX RESOURCES INC OK 1.03,2.04,8.01,9.01 04/01/13
Graystone Co DE 3.02 04/01/13
GRIFFON CORP DE 1.01,9.01 03/28/13
GULF ISLAND FABRICATION INC LA 5.02 03/26/13
Heckmann Corp DE 3.02,7.01,9.01 04/01/13
HOLLYWOOD MEDIA CORP FL 2.02,9.01 04/01/13
Homeowners Choice, Inc. FL 4.01,9.01 03/20/13 AMEND
HORIZON MINERALS CORP. 5.03 03/25/13
Howard Bancorp Inc MD 1.01,9.01 03/28/13
HSBC Finance Corp 8.01 03/29/13
Ignite Restaurant Group, Inc. 5.01 04/01/13
IKANOS COMMUNICATIONS CA 5.02 03/28/13
IMMUNOMEDICS INC DE 8.01,9.01 03/27/13
Independence Bancshares, Inc. SC 5.02,9.01 03/27/13
INDUSTRIAL SERVICES OF AMERICA INC /F FL 2.02,9.01 04/01/13
Inland American Real Estate Trust, In MD 7.01,9.01 04/01/13
Inland Diversified Real Estate Trust, MD 7.01,9.01 04/01/13
INREIT Real Estate Investment Trust ND 4.01,9.01 04/01/13
INSMED INC VA 7.01,9.01 04/01/13
INTERGROUP CORP DE 8.01 03/29/13
INTERMOLECULAR INC DE 1.01 03/27/13
INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01,9.01 04/01/13
INVESTORS REAL ESTATE TRUST ND 8.01 04/01/13
IPARTY CORP DE 8.01,9.01 04/01/13
iPayment, Inc. DE 2.02,9.01 04/01/13
JACOBS ENGINEERING GROUP INC /DE/ DE 5.02,5.03 03/28/13
KATY INDUSTRIES INC DE 2.02,9.01 04/01/13
KBS Real Estate Investment Trust II, MD 8.01 03/28/13
KBS Strategic Opportunity REIT, Inc. MD 2.01,9.01 03/28/13
KFORCE INC FL 8.01 03/28/13
Koppers Holdings Inc. PA 1.01,1.02,2.03,9.01 03/27/13
Kraton Performance Polymers, Inc. DE 1.01,1.02,2.03,9.01 03/27/13
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 04/01/13
LEAR CORP DE 1.01,9.01 04/01/13
LEGGETT & PLATT INC MO 5.02,9.01 03/27/13
LEHMAN ABS CORP CORP BACK TR AIG DEBE DE 8.01,9.01 03/19/13
LIFEWAY FOODS INC IL 4.02 03/29/13
Location Based Technologies, Inc. NV 2.03,9.01 03/26/13
LOJACK CORP MA 1.01,2.03,9.01 04/01/13
LOOKSMART LTD DE 2.02,9.01 04/01/13
MAGICJACK VOCALTEC LTD L3 5.02 04/01/13
Manning & Napier, Inc. 1.01,8.01,9.01 03/29/13
MARKEL CORP VA 8.01 03/27/13
Marlborough Software Development Hold DE 2.02,9.01 04/01/13
MEDCAREERS GROUP, Inc. NV 4.01,5.02,7.01,9.01 08/15/11
MEDIVATION, INC. DE 8.01,9.01 04/01/13
MENS WEARHOUSE INC TX 5.02,9.01 04/01/13
MICRON TECHNOLOGY INC DE 1.01,1.02 03/26/13
MIKROS SYSTEMS CORP DE 2.02,9.01 04/01/13
MINES MANAGEMENT INC ID 5.02 03/26/13
Momentive Performance Materials Inc. DE 2.02,9.01 04/01/13
Momentive Performance Materials Inc. DE 4.02 04/01/13
MOMENTIVE SPECIALTY CHEMICALS INC. NJ 2.02,9.01 04/01/13
MOOG INC NY 1.01,2.03,9.01 03/28/13
Morgans Hotel Group Co. DE 1.01,3.02,7.01,8.01, 03/30/13
9.01
MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 03/25/13
MUELLER INDUSTRIES INC DE 7.01,9.01 04/01/13
MULTIBAND CORP MN 2.02,7.01,9.01 04/01/13
MUNICIPAL MORTGAGE & EQUITY LLC DE 1.01,5.02,8.01,9.01 03/27/13
MYOS Corp NV 2.02,9.01 04/01/13
NeurogesX Inc CA 1.01,1.02,3.02,3.03 03/29/13
New Mountain Finance Holdings, L.L.C. DE 1.01,2.03,9.01 03/28/13
NORDSTROM INC WA 5.02 03/28/13
NORTEK INC DE 2.01,9.01 04/01/13
NORTH BAY RESOURCES INC DE 8.01,9.01 03/29/13
NV5 Holdings, Inc. DE 1.01,2.02,9.01 03/26/13
O REILLY AUTOMOTIVE INC 7.01,9.01 04/01/13
Opexa Therapeutics, Inc. TX 5.02,8.01,9.01 03/29/13
OTELCO INC. DE 3.01 03/26/13
OXFORD INDUSTRIES INC GA 5.03,9.01 04/01/13
Oxford Resource Partners LP 2.02,9.01 04/01/13
PACIFIC GOLD CORP NV 1.01,3.02,9.01 03/19/13
PALL CORP NY 5.02,9.01 03/27/13
PARK CITY GROUP INC NV 5.07 03/29/13
PennantPark Floating Rate Capital Ltd 7.01,9.01 04/01/13
PEPCO HOLDINGS INC DE 7.01,9.01 04/01/13
Pernix Group, Inc. 2.02,7.01,9.01 04/01/13
PETROSONIC ENERGY, INC. NV 5.02,5.03,8.01,9.01 03/27/13
PFSWEB INC DE 2.02 03/27/13
PFSWEB INC DE 8.01 03/27/13
Pingtan Marine Enterprise Ltd. E9 2.01,3.01,5.01,5.02, 02/25/13 AMEND
5.03,5.06,5.07,9.01
PIPER JAFFRAY COMPANIES DE 2.03,9.01 04/01/13
PLUG POWER INC DE 1.01,9.01 01/24/13
PLX TECHNOLOGY INC DE 5.03,9.01 04/01/13
PMI GROUP INC DE 7.01 03/31/13
POLYMEDIX, INC DE 1.03,2.04,5.02 04/01/13
PORTSMOUTH SQUARE INC CA 8.01 03/29/13
PRIME GLOBAL CAPITAL GROUP Inc NV 1.01,9.01 03/29/13
Primoris Services Corp DE 1.01,9.01 03/14/13
PRIVATEBANCORP, INC DE 5.02 03/26/13
PROSPECT GLOBAL RESOURCES INC. NV 8.01 03/30/13
QUESTAR CORP UT 7.01 03/29/13
RAINMAKER SYSTEMS INC DE 1.01,8.01,9.01 03/28/13
Rand Logistics, Inc. DE 1.01,9.01 03/29/13
RANGE RESOURCES CORP DE 5.02,9.01 04/01/13
RAYONIER INC NC 5.02 04/01/13
Real Goods Solar, Inc. CO 2.02,9.01 04/01/13
REGAL ENTERTAINMENT GROUP DE 8.01,9.01 04/01/13
REPROS THERAPEUTICS INC. DE 5.02,9.01 03/26/13
Revel AC, Inc. DE 1.01,2.03,9.01 03/27/13
Sanchez Energy Corp DE 3.03,5.03,9.01 03/26/13
SANTA FE FINANCIAL CORP NV 8.01 03/29/13
SCIVANTA MEDICAL CORP DE 3.02 03/22/13
SCOTTS MIRACLE-GRO CO OH 5.02,9.01 04/01/13
SEALY CORP DE 8.01,9.01 04/01/13
SENESCO TECHNOLOGIES INC DE 5.07,8.01,9.01 03/28/13
SEQUENTIAL BRANDS GROUP, INC. DE 2.02,9.01 03/29/13
SHOE CARNIVAL INC IN 2.02,9.01 04/01/13
SHUTTERFLY INC DE 5.02 03/26/13
SILICON IMAGE INC DE 5.02 04/01/13
SITESTAR CORP NV 4.02 04/01/13
SL INDUSTRIES INC NJ 2.02,9.01 03/28/13
SMITHFIELD FOODS INC VA 2.02,9.01 04/01/13
SOLAZYME INC DE 1.01,1.02,2.03 03/26/13
SONUS NETWORKS INC DE 5.02,9.01 03/28/13
SPANISH BROADCASTING SYSTEM INC DE 2.02,9.01 04/01/13
SPAR GROUP INC DE 8.01,9.01 04/01/13
SquareTwo Financial Corp DE 5.02,9.01 04/01/13
Stereotaxis, Inc. DE 1.01,2.03,3.02,9.01 03/29/13
SUMMIT FINANCIAL SERVICES GROUP INC FL 2.02,9.01 04/01/13
SurePure, Inc. NV 5.02 04/01/13
SYCAMORE NETWORKS INC DE 2.05,5.02,9.01 03/27/13
SYNTA PHARMACEUTICALS CORP 1.01,2.03,9.01 03/28/13
Talon Therapeutics, Inc. DE 2.02,9.01 04/01/13
TECH DATA CORP FL 3.01,7.01,9.01 04/01/13
TELKONET INC UT 2.02,9.01 04/01/13
TEMPUR PEDIC INTERNATIONAL INC DE 8.01,9.01 04/01/13
TENGION INC DE 1.01,9.01 03/26/13
TESLA MOTORS INC DE 2.02,7.01,9.01 03/31/13
TESORO LOGISTICS LP DE 1.01,9.01 03/26/13
THT Heat Transfer Technology, Inc. NV 2.02,7.01,9.01 04/01/13
TIBCO SOFTWARE INC DE 5.02,9.01 03/28/13
TRAVELCENTERS OF AMERICA LLC 3.01,8.01,9.01 04/01/13
Twin Cities Power Holdings, LLC MN 2.02,9.01 03/29/13
Twin Cities Power Holdings, LLC MN 8.01,9.01 03/29/13
U S PHYSICAL THERAPY INC /NV NV 5.02,9.01 03/27/13
U.S. SILICA HOLDINGS, INC. DE 5.02 03/26/13
ULURU INC. NV 2.02,9.01 04/01/13
UNIVERSAL HEALTH SERVICES INC DE 5.02,9.01 04/01/13
UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 04/01/13
US CONCRETE INC DE 1.01,2.03,7.01 03/28/13
US NUCLEAR CORP. DE 5.02 03/31/13
VAPOR CORP. NV 2.02,9.01 04/01/13
VIASPACE Inc. 1.01,3.02,9.01 03/28/13
VIEWCAST COM INC DE 2.02,9.01 04/01/13
VISA INC. DE 5.02,9.01 03/29/13
VISUALANT INC NV 8.01,9.01 03/29/13
VOXX International Corp DE 5.02 03/26/13
WELLCARE HEALTH PLANS, INC. DE 8.01 04/01/13
WELLS MID-HORIZON VALUE-ADDED FUND I 7.01,9.01 04/01/13
WESTELL TECHNOLOGIES INC DE 2.01,9.01 04/01/13
WIRELESS TELECOM GROUP INC NJ 2.02,7.01,9.01 04/01/13
World Surveillance Group Inc. DE 1.01,2.01,3.02,5.02, 03/28/13
9.01
WORLD WRESTLING ENTERTAINMENTINC DE 8.01 03/28/13
XCEL ENERGY INC MN 7.01 04/01/13
XFormity Technologies, Inc. TX 1.02,9.01 03/29/13
http://www.sec.gov/news/digest/2013/dig040213.htm
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