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Commission AnnouncementsSEC Advisory Committee on Small and Emerging Companies Open Meeting on Wednesday, May 1, 2013The Securities and Exchange Commission’s (Commission) Advisory Committee on Small and Emerging Companies will hold a meeting on Wednesday, May 1. The meeting will begin at 9:30 a.m. in the multi-purpose room at the SEC’s Washington D.C. headquarters. The event also will be viewable by live webcast, and the webcast will be archived on the website for later viewing. (Rel. 33-9399; 34-69316, File No. 265-27) Commission MeetingsClosed Meeting on Thursday, April 11, 2013 at 2:00 p.m. The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGSCommission Revokes Registration of Securities of China North East Petroleum Holdings Limited for Failure to Make Required Periodic FilingsOn April 5, 2013, the Commission revoked the registration of each class of registered securities of China North East Petroleum Holdings Limited (CNEP) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, CNEP consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 finding that CNEP had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of CNEP’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against CNEP in In the Matter of China North East Petroleum Holdings Limited, Administrative Proceeding File No. 3-15167. Brokers and dealers should be alert to the fact that Exchange Act 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 . . . . For further information, see Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of China North East Petroleum Holdings Limited, Administrative Proceeding File No. 3-15167, Exchange Act Release No. 34-69314 (April 5, 2013); Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of China North East Petroleum Holdings Limited., Administrative Proceeding File No. 3-15167, Exchange Act Release No. 68601 (January 8, 2013). (Rel. 34-69314; File No. 3-15167) INVESTMENT COMPANY ACT RELEASESRoyce Focus Trust, Inc., et al.A notice has been issued giving interested persons until April 29, 2013, to request a hearing on an application filed by Royce Focus Trust, Inc., et al., under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Section 19(b) of the Act and Rule 19b-1 under the Act. The order would permit certain registered closed-end investment companies to make periodic distributions of long-term capital gains with respect to their outstanding common stock as frequently as monthly in any one taxable year, and as frequently as distributions are specified by or in accordance with the terms of any outstanding preferred stock that such investment companies may issue. The requested order would supersede a prior order. (Rel. IC-30447 - April 4, 2013) Royce Value Trust, Inc., et al.A notice has been issued giving interested persons until April 29, 2013, to request a hearing on an application filed by Royce Value Trust, Inc. (Value Trust), et al. for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) granting an exemption from Sections 12(d)(1)(A) and 12(d)(1)(C) of the Act, under Section 17(b) of the Act granting an exemption from Section 17(a) of the Act, and under Section 17(d) of the Act and Rule 17d-1 thereunder permitting certain joint transactions. The order would permit Value Trust, a registered closed-end investment company, to transfer a segment of its assets to Royce Global Value Trust, Inc. (Global Trust), a wholly-owned subsidiary that is a registered closed-end investment company, and to distribute the shares of Global Trust common stock to Value Trust’s common stockholders. (Rel. IC-30448-April 4, 2013) TSC Distributors LLC and TSC UITSA notice has been issued giving interested persons until April 29, 2013, to request a hearing on an application filed by TSC Distributors LLC (TSC) and TSC UITS for an order: (a) under Section 6(c) of the Investment Company Act of 1940 (Act) for exemptions from Sections 2(a)(32), 2(a)(35), 22(d) and 26(a)(2)(C) of the Act and Rule 22c-1 thereunder to permit certain unit investment trusts to impose sales charges on a deferred basis and waive the deferred sales charge in certain cases; (b) under Sections 11(a) and 11(c) of the Act to approve certain exchange and rollover privileges; (c) under Section 6(c) of the Act for an exemption from Section 14(a) of the Act to permit the unit investment trust series to publicly offer their units without TSC having to take for its own account or place with others $100,000 worth of units; and (d) under Section 6(c) of the Act for an exemption from Section 19(b) of the Act and Rule 19b-1 thereunder to permit the series to distribute capital gains resulting from the sale of portfolio securities within a reasonable time after receipt. (Rel. IC-30449-April 4, 2013) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2013-33) amending NYSE MKT Rule 1000 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 8th. (Rel. 34-69294) A proposed rule change filed by New York Stock Exchange LLC (SR-NYSE-2013-27) amending NYSE Rule 1000 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 8th. (Rel. 34-69295) A proposed rule change filed by the National Stock Exchange, Inc. (SR-NSX-2013-12) to amend its Rule 11.24, Limit Up/Limit Down 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 8th. (Rel. 34-69296) A proposed rule changed filed by New York Stock Exchange LLC to establish certain fees for the NYSE Trades and NYSE Realtime Reference Prices market data products (SR-NYSE-2013-24) 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 8th. (Rel. 34-69298) A proposed rule changed filed by NYSE Arca, Inc. establishing certain fees for the NYSE Arca Trades and NYSE Arca Realtime Reference Prices market data products (SR-NYSEArca-2013-31) 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 8th. (Rel. 34-69299) A proposed rule changed filed by NYSE MKT LLC establishing certain fees for the NYSE MKT Trades and NYSE MKT Realtime Reference Prices market data products (SR-NYSEMKT-2013-31) 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 8th. (Rel. 34-69300) A proposed rule changed filed by NYSE Arca, Inc. amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services (SR-NYSEArca-2013-32) 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 8th. (Rel. 34-69305) A proposed rule change filed by BATS-Y Exchange, Inc. (SR-BYX-2013-011) to modify market maker peg order functionality 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 April 8th. (Rel. 34-69309) A proposed rule change filed by BATS Exchange, Inc. (SR-BATS-2013-022) to modify market maker peg order functionality 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 April 8th. (Rel. 34-69310) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2013-36) amending Standard Options Transaction Fees 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 8th. (Rel. 34-69311) Notice of No Objection to Advance NoticeThe Commission has issued a notice of no objection to an advance notice (File No. SR-NSCC-2012-810) filed by the National Securities Clearing Corporation (NSCC) under Section 806(e)(1)(I) of the Payment, Clearing, and Settlement Supervision Act of 2010 to eliminate the offset of its obligations with institutional delivery transactions that settle at The Depository Trust Company for the purpose of calculating NSCC’s Clearing Fund under Procedure XV of its Rules & Procedures. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69301) Proposed Rule ChangePursuant to Rule 19b-4 under the Securities Exchange Act of 1934, NYSE Arca, Inc. has filed a proposed rule change, as modified by Amendment No. 1 (SR-NYSEArca-2013-33), to list and trade the International Bear ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69303). The National Securities Clearing Corporation (NSCC) filed a proposed rule change (File No. SR-NSCC-2013-02) under Section 19(b)(1) of the Securities Exchange Act of 1934 to institute supplemental liquidity deposits to its Clearing Fund designed to increase liquidity resources to meet its liquidity needs. Publication is expected in the Federal Register during the week of April 8th. (Release No. 34-69313) Order Approving Proposed Rule ChangeThe Commission has approved a proposed rule change (SR-FINRA-2013-003), filed by the Financial Industry Regulatory Authority, Inc., to amend the Customer and Industry Codes of Arbitration Procedure to (a) exclude persons associated with a mutual fund or hedge fund from serving as public arbitrators and (b) require individuals to wait for two years after ending certain affiliations before they may be permitted to serve as public arbitrators. Publication is expected in the Federal Register during the week of April 8th. (Rel. No. 34-69297) The Commission has approved a proposed rule change (File No. SR-NSCC-2012-10) filed by the National Securities Clearing Corporation (NSCC) under Section 19(b)(1) of the Securities Exchange Act of 1934 to eliminate the offset of its obligations with institutional delivery transactions that settle at The Depository Trust Company for the purpose of calculating NSCC’s Clearing Fund under Procedure XV of its Rules & Procedures. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69302) The Commission granted approval of a proposed rule change (SR-PHLX-2013-005) submitted by NASDAQ OMX PHLX LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder regarding catastrophic errors. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69304) Designation of Longer Period for Commission Action on Proposed Rule ChangeThe 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-NYSE-2013-07) filed by New York Stock Exchange LLC amending NYSE Rules 451 and 465, and the related provisions of Section 402.10 of the NYSE Listed Company Manual, which provide a schedule for the reimbursement of expenses by issuers to NYSE member organizations for the processing of proxy materials and other issuer communications provided to investors holding securities in street name, and to establish a five-year fee for the development of enhanced brokers internet platforms. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69286) 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. N-2 Nuveen Flexible Investment Income Fund, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 312-917-8146 - 1,000 ($20,000.00) Equity, (File 333-187712 - Apr. 4) (BR. 18) S-8 EAGLE BANCORP INC, 7815 WOODMONT AVENUE, BETHESDA, MD, 20814, 3019861800 - 0 ($12,945,000.00) Equity, (File 333-187713 - Apr. 4) (BR. 07C) S-8 Howard Bancorp Inc, 6011 University Boulevard, Suite 370, Ellicott City, MD, 21043, 410-750-0020 - 631,770 ($5,057,362.78) Equity, (File 333-187714 - Apr. 4) (BR. 07) S-3 CEF EQUIPMENT HOLDING LLC, 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-187718 - Apr. 4) (BR. OSF) S-3 WINNEBAGO INDUSTRIES INC, P O BOX 152, FOREST CITY, IA, 50436, 5155826808 - 0 ($35,000,001.00) Equity, (File 333-187720 - Apr. 4) (BR. 05C) S-3ASR NATIONAL RURAL UTILITIES COOPERATIVE FINANCE CORP /DC/, 20701 COOPERATIVE WAY, DULLES, VA, 20166-6691, 7034671800 - 3,000,000,000 ($3,000,000,000.00) Debt, (File 333-187721 - Apr. 4) (BR. 07C) S-8 PRICESMART INC, 9740 SCRANTON ROAD, SAN DIEGO, CA, 92121, 8584048800 - 0 ($112,096,137.00) Equity, (File 333-187722 - Apr. 4) (BR. 02B) S-4 SINCLAIR BROADCAST GROUP INC, 10706 BEAVER DAM ROAD, HUNT VALLEY, MD, 21030, 4105681500 - 0 ($500,000,000.00) Debt, (File 333-187723 - Apr. 4) (BR. 11C) S-4 SINCLAIR BROADCAST GROUP INC, 10706 BEAVER DAM ROAD, HUNT VALLEY, MD, 21030, 4105681500 - 0 ($600,000,000.00) Debt, (File 333-187724 - Apr. 4) (BR. 11C) S-8 HUNTINGTON BANCSHARES INC/MD, HUNTINGTON CTR, 41 S HIGH ST HC0632, COLUMBUS, OH, 43287, 6144808300 - 25,000,000 ($182,750,000.00) Equity, (File 333-187725 - Apr. 4) (BR. 12A) S-8 Prothena Corp plc, 25-28 NORTH WALL QUAY, DUBLIN, L2, DUBLIN 1, 353 1 709 4700 - 0 ($17,080,610.00) Equity, (File 333-187726 - Apr. 4) (BR. 01B) S-3ASR Rentech Nitrogen Partners, L.P., 10877 WILSHIRE BOULEVARD, SUITE 600, LOS ANGELES, CA, 90024, 310-571-9800 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-187727 - Apr. 4) (BR. 05C) S-8 W. P. Carey Inc., 50 ROCKEFELLER PLAZA, NEW YORK, NY, 10020, 2124921100 - 0 ($27,427,387.00) Equity, (File 333-187729 - Apr. 4) (BR. 08B) S-8 AMBARELLA INC, 2975 SAN YSIDRO WAY, SANTA CLARA, CA, 95054, 408-734-8888 - 1,558,336 ($21,290,655.14) Equity, (File 333-187730 - Apr. 4) (BR. 10A) S-4 VWR Funding, Inc., 100 MATSONFORD ROAD, P.O. BOX 6660, RADNOR, PA, 19087, 610-386-1700 - 0 ($750,000,000.00) Debt, (File 333-187731 - Apr. 4) (BR. 09B) S-1 CYAN INC, 1383 N MCDOWELL BLVD SUITE 300, PETALUMA, CA, 94954, 707-735-2300 - 0 ($75,000,000.00) Equity, (File 333-187732 - Apr. 4) (BR. 03C) S-1 PRECISION OPTICS Corp INC, 22 EAST BROADWAY, GARDNER, MA, 01440, 978-630-1800 - 700,000 ($385,000.00) Equity, (File 333-187734 - Apr. 4) (BR. 10B) S-1 UCP, LLC, 6489 CAMDEN AVENUE, SUITE 204, SAN JOSE, CA, 95120, 408-323-1113 - 0 ($125,000,000.00) Equity, (File 333-187735 - Apr. 4) (BR. ) S-1 Receptos, Inc., 10835 ROAD TO THE CURE, SUITE 205, SAN DIEGO, CA, 92121, (858) 652-5712 - 0 ($86,300,000.00) Equity, (File 333-187737 - Apr. 4) (BR. 01B) S-8 SOUNDBITE COMMUNICATIONS INC, 22 CROSBY DRIVE, BEDFORD, MA, 01730, 781-897-2500 - 824,918 ($2,491,252.36) Equity, (File 333-187738 - Apr. 4) (BR. 08C) S-8 As Seen On TV, Inc., 14044 ICOT BLVD., CLEARWATER, FL, 33760, 727-288-2738 - 5,123,763 ($8,667,142.52) Equity, (File 333-187739 - Apr. 4) (BR. 02) 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
3PEA INTERNATIONAL, INC. NV 2.02,9.01 04/02/13
ABRAXAS PETROLEUM CORP NV 1.01,5.02,9.01 04/03/13
Acadia Healthcare Company, Inc. DE 1.01,9.01 03/29/13
AccelPath, Inc. DE 1.01,2.03, 04/01/13
3.02,5.03,9.01
ACURA PHARMACEUTICALS, INC NY 8.01,9.01 04/04/13
ADVANCE AUTO PARTS INC DE 5.02,7.01,9.01 04/04/13
AFFIRMATIVE INSURANCE HOLDINGS INC DE 1.01,9.01 03/29/13
AFFYMAX INC DE 1.02 04/03/13
AFH ACQUISITION VII, INC. DE 3.02 04/04/13
AIS FUTURES FUND IV LP DE 3.02 03/31/13
ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 5.02,9.01 03/29/13
ALTERNATE ENERGY HOLDINGS, INC. NV 5.02 03/30/13
Altisource Portfolio Solutions S.A. N4 1.01,2.01,9.01 03/29/13
AMAG PHARMACEUTICALS INC. DE 5.02 04/01/13
AMARANTUS BIOSCIENCE, INC. DE 5.03,8.01,9.01 04/01/13
AMERICAN INTERNATIONAL GROUP INC DE 5.02 04/01/13
AMERICAN REALTY CAPITAL HEALTHCARE TR MD 8.01 04/03/13
AMERICAN SCIENCE & ENGINEERING, INC. MA 5.02,9.01 03/29/13
AMERICAN SCIENCE & ENGINEERING, INC. MA 5.02,9.01 04/01/13
AMERISOURCEBERGEN CORP DE 8.01,9.01 04/02/13
Ampio Pharmaceuticals, Inc. DE 1.01,7.01,9.01 03/29/13
ANNALY CAPITAL MANAGEMENT INC MD 5.02 03/17/13 AMEND
ANNAPOLIS BANCORP INC MD 8.01 04/04/13
Approach Resources Inc DE 7.01,9.01 04/04/13
ARRAY BIOPHARMA INC DE 8.01,9.01 04/04/13
ASPEN INSURANCE HOLDINGS LTD D0 7.01,8.01,9.01 04/04/13
ATHENAHEALTH INC DE 5.02,9.01 03/29/13
ATMI INC DE 5.03,9.01 04/03/13
AUTOINFO, INC DE 8.01 04/03/13
AWARE INC /MA/ MA 1.01,5.02,9.01 04/02/13
AXION INTERNATIONAL HOLDINGS, INC. CO 2.02,9.01 04/01/13
AXION INTERNATIONAL HOLDINGS, INC. CO 2.02,7.01,9.01 04/01/13 AMEND
BASSETT FURNITURE INDUSTRIES INC VA 2.02,9.01 04/04/13
BEASLEY BROADCAST GROUP INC DE 1.01,9.01 04/03/13
Behringer Harvard Opportunity REIT I, MD 7.01,9.01 04/04/13
BEL FUSE INC /NJ NJ 2.01,8.01,9.01 03/29/13
BELK INC 2.02,8.01,9.01 04/04/13
BIO-PATH HOLDINGS INC UT 2.02,9.01 04/02/13
BIOMET INC IN 5.02 04/02/13
Bitzio, Inc. NV 7.01 04/04/13
BofI Holding, Inc. DE 4.01,9.01 03/29/13
BOK FINANCIAL CORP ET AL OK 5.02 03/31/13
BOSTON FINANCIAL TAX CREDIT FUND PLUS MA 8.01 04/04/13
BPZ RESOURCES, INC. TX 7.01,9.01 04/02/13
BRIDGE BANCORP INC NY 8.01,9.01 04/04/13
BROADVIEW INSTITUTE INC MN 1.01,2.03,3.02,9.01 03/29/13
BRYN MAWR BANK CORP PA 5.02,9.01 03/29/13
CANADIAN DERIVATIVES CLEARING CORP A6 9.01 03/31/13
CAPSTONE COMPANIES, INC. FL 8.01,9.01 04/03/13
CARDTRONICS INC DE 5.02,9.01 04/04/13
Charter Financial Corp MD 8.01,9.01 04/02/13
CHARTER FINANCIAL CORP/GA 5.07,8.01,9.01 04/02/13
CHESAPEAKE ENERGY CORP OK 5.02,7.01,8.01,9.01 03/29/13
China Carbon Graphite Group, Inc. NV 4.01,9.01 03/31/13
China Carbon Graphite Group, Inc. NV 4.01,9.01 03/31/13
Chrysler Group LLC DE 8.01,9.01 04/02/13
CHS INC MN 5.02 04/03/13
CNL Healthcare Properties, Inc. MD 1.01 04/03/13
COMPUWARE CORP MI 2.02,9.01 04/03/13
COMPUWARE CORP MI 5.02 03/31/13
Cooper-Standard Holdings Inc. DE 1.01,2.03,9.01 04/03/13
COPYTELE INC DE 8.01,9.01 04/03/13
Corporate Resource Services, Inc. DE 5.02,5.03 04/04/13
Corporate Resource Services, Inc. DE 8.01,9.01 04/04/13 AMEND
COUSINS PROPERTIES INC GA 5.02 04/03/13
CSP INC /MA/ MA 5.02 04/03/13
Cyclacel Pharmaceuticals, Inc. DE 8.01,9.01 04/04/13
DecisionPoint Systems, Inc. DE 2.02,9.01 04/02/13
Dehaier Medical Systems Ltd 5.02 03/30/13
Diamond Resorts Corp MD 2.02,9.01 04/02/13
Digital Generation, Inc. DE 5.02 03/29/13
Diligent Board Member Services, Inc. DE 4.01,5.02,9.01 04/03/13
DILLARDS INC DE 8.01,9.01 04/03/13
DYNAVAX TECHNOLOGIES CORP DE 5.02,9.01 03/29/13 AMEND
EL CAPITAN PRECIOUS METALS INC NV 1.01,9.01 04/03/13
Energy Transfer Equity, L.P. DE 4.01,9.01 04/04/13
Energy Transfer Partners, L.P. DE 8.01,9.01 04/04/13
Energy Transfer Partners, L.P. DE 4.01,9.01 04/04/13
EnergySolutions, Inc. DE 7.01,9.01 04/04/13 AMEND
F5 NETWORKS INC WA 2.02,9.01 04/04/13
FARMER BROTHERS CO CA 1.01,5.02,9.01 04/01/13
Federal Home Loan Bank of Atlanta X1 2.03 04/01/13
Federal Home Loan Bank of Boston X1 2.03 04/01/13
Federal Home Loan Bank of Chicago X1 2.03 04/01/13
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 04/01/13
Federal Home Loan Bank of Des Moines X1 2.03,9.01 04/02/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 04/04/13
Federal Home Loan Bank of New York X1 2.03,9.01 04/01/13
Federal Home Loan Bank of Pittsburgh PA 5.02 03/29/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 04/01/13
Federal Home Loan Bank of San Francis X1 2.03 04/01/13
Federal Home Loan Bank of Seattle 2.03 04/02/13
Federal Home Loan Bank of Topeka 2.03,9.01 04/01/13
Fifth Street Finance Corp DE 8.01,9.01 04/04/13
FIRST DEFIANCE FINANCIAL CORP OH 7.01 04/04/13
FOREVER VALUABLE COLLECTIBLES, INC. CO 1.01,5.02,9.01 03/30/13
Fortegra Financial Corp DE 4.01 04/03/13
Fortress Investment Group LLC DE 7.01 04/04/13
FRANKLIN COVEY CO UT 2.02,8.01,9.01 04/04/13
FRANKLIN STREET PROPERTIES CORP /MA/ 1.01,9.01 04/03/13
General Moly, Inc DE 1.01,2.03,8.01,9.01 04/03/13
GLIMCHER REALTY TRUST MD 8.01,9.01 04/04/13
GOLDEN ENTERPRISES INC DE 8.01,9.01 04/04/13
GOLDMAN SACHS GROUP INC DE 5.02,8.01 04/02/13
GRANDPARENTS.COM, INC. DE 1.01,8.01,9.01 03/29/13
GREAT PLAINS ENERGY INC MO 8.01 04/01/13
GREENBRIER COMPANIES INC OR 2.02,9.01 04/04/13
Hanesbrands Inc. MD 2.02,5.02, 04/03/13
5.07,7.01,9.01
HARVEST NATURAL RESOURCES, INC. DE 2.06,8.01,9.01 04/04/13
HEALTHCARE SERVICES GROUP INC PA 2.02,5.02,9.01 04/03/13
Heron Lake BioEnergy, LLC MN 1.01,1.02,9.01 03/29/13
HEWLETT PACKARD CO DE 5.02,7.01,8.01,9.01 04/04/13
Horizon Technology Finance Corp DE 2.02,9.01 04/03/13
HUDSON VALLEY HOLDING CORP NY 5.02,9.01 04/04/13
IMH Financial Corp DE 8.01,9.01 03/29/13
IMMUNOGEN INC MA 1.01 03/29/13
INCOME OPPORTUNITY REALTY INVESTORS I NV 2.02,9.01 04/03/13
India Globalization Capital, Inc. MD 2.01,9.01 03/31/13
Infinity Resources Holdings Corp. NV 1.01,2.03,3.02,9.01 03/29/13
Innophos Holdings, Inc. 5.02 03/29/13
INNOVATIVE DESIGNS INC DE 8.01,9.01 04/04/13
INTERNATIONAL FLAVORS & FRAGRANCES IN NY 1.01,9.01 04/01/13
INTERNATIONAL SPEEDWAY CORP FL 2.02,7.01,8.01,9.01 04/04/13
INTERNET INFINITY, INC. DE 5.02 04/01/13
J C PENNEY CO INC DE 5.02,9.01 03/29/13
LA JOLLA PHARMACEUTICAL CO CA 2.02,9.01 04/04/13
Landmark Apartment Trust of America, 2.01,2.03 08/28/12 AMEND
LAYNE CHRISTENSEN CO DE 5.02 03/29/13
Liberty Global, Inc. DE 5.02 03/29/13
Liberty Media Corp DE 2.01,8.01 01/18/13 AMEND
Life Nutrition Products, Inc DC 1.01,9.01 03/28/13
LIFEAPPS DIGITAL MEDIA INC. DE 1.01,2.01,7.01,9.01 03/29/13
LIGHTING SCIENCE GROUP CORP DE 1.01,2.03,9.01 04/01/13
Lightlake Therapeutics Inc. NV 7.01,9.01 04/04/13
Lightwave Logic, Inc. NV 7.01 04/04/13
LINN ENERGY, LLC DE 1.01 04/03/13
lululemon athletica inc. DE 8.01,9.01 04/03/13
MAGELLAN HEALTH SERVICES INC DE 8.01,9.01 04/03/13
MAGNETEK, INC. DE 8.01,9.01 04/04/13
MANHATTAN ASSOCIATES INC GA 5.02,9.01 03/29/13
MANITOWOC CO INC WI 5.02 04/03/13
MEI Pharma, Inc. DE 5.02 03/29/13
Merriman Holdings, Inc DE 1.01,3.02,3.03, 03/28/13
5.03,5.07,9.01
MEXICO FUND INC MD 7.01,9.01 03/31/13
MFA FINANCIAL, INC. MD 5.02,9.01 04/04/13
MICROSTRATEGY INC DE 5.02,9.01 03/30/13
Midstates Petroleum Company, Inc. DE 1.01,7.01,9.01 04/03/13
MOHEGAN TRIBAL GAMING AUTHORITY 1.01,9.01 03/29/13
Morris Business Development Co CA 5.02 04/01/13
NABORS INDUSTRIES LTD D0 1.01,5.02,9.01 04/04/13
NAVIDEA BIOPHARMACEUTICALS, INC. DE 8.01,9.01 04/04/13
NEOPHOTONICS CORP DE 2.01,9.01 03/29/13
NETLIST INC DE 5.02 04/01/13
New Source Energy Partners L.P. DE 1.01,2.01, 03/29/13
3.02,7.01,9.01
NEWFIELD EXPLORATION CO /DE/ DE 7.01,9.01 04/04/13
NEWLINK GENETICS CORP 8.01,9.01 04/04/13
NEWPORT CORP NV 5.02 04/01/13
NEWS CORP 8.01,9.01 04/04/13
NORFOLK SOUTHERN CORP VA 8.01 04/04/13
NOVATION COMPANIES, INC. MD 8.01,9.01 04/03/13 AMEND
NuStar Energy L.P. DE 7.01,9.01 04/04/13
NuStar GP Holdings, LLC DE 7.01,9.01 04/04/13
OCWEN FINANCIAL CORP FL 1.01,9.01 03/29/13
OM GROUP INC DE 2.01,9.01 03/29/13
OMEGA HEALTHCARE INVESTORS INC MD 5.02 04/04/13
ORGANOVO HOLDINGS, INC. DE 7.01,9.01 04/04/13
Pathfinder Cell Therapy, Inc. DE 2.03,3.02 04/02/13
PERVASIVE SOFTWARE INC DE 8.01 04/03/13
PG&E Corp CA 1.01,2.03 04/01/13
Post Holdings, Inc. MO 2.05,9.01 04/03/13
PREFERRED APARTMENT COMMUNITIES INC MD 2.01 04/04/13 AMEND
PREMIER FINANCIAL BANCORP INC KY 7.01,9.01 04/04/13
PROGENICS PHARMACEUTICALS INC DE 2.01,9.01 04/04/13 AMEND
PROSPECT GLOBAL RESOURCES INC. NV 5.02 03/29/13
PROVIDENT NEW YORK BANCORP DE 8.01,9.01 04/03/13
QLT INC/BC A1 8.01,9.01 04/04/13
RadNet, Inc. DE 1.01,2.03,8.01,9.01 04/03/13
RECEIVABLE ACQUISITION & MANAGEMENT C DE 1.01,9.01 03/29/13
Regional Management Corp. DE 2.03,9.01 03/29/13
Remark Media, Inc. DE 1.01,2.01,2.03,9.01 03/29/13
RES CARE INC /KY/ KY 5.02,9.01 04/03/13
Research Solutions, Inc. NV 1.01 03/29/13
ROCKWELL AUTOMATION INC DE 5.02 04/03/13
ROSETTA STONE INC 8.01,9.01 04/03/13
RPM INTERNATIONAL INC/DE/ DE 2.02,2.04,9.01 03/29/13
SABA SOFTWARE INC DE 1.01,2.02, 03/29/13
3.01,8.01,9.01
SABINE ROYALTY TRUST TX 2.02,9.01 04/03/13
Samson Oil & Gas LTD C3 1.01,9.01 04/03/13
Samson Oil & Gas LTD C3 8.01,9.01 04/03/13
SCHULMAN A INC DE 5.02,9.01 04/04/13
SEALED AIR CORP/DE DE 8.01,9.01 04/04/13
SEITEL INC DE 1.01,5.02,9.01 04/01/13
SELECT COMFORT CORP MN 7.01 04/04/13
SIMON PROPERTY GROUP INC /DE/ DE 5.02,9.01 03/29/13
SINCLAIR BROADCAST GROUP INC MD 1.01,2.03,9.01 04/02/13
SMARTDATA CORP NV 8.01,9.01 02/26/13 AMEND
SMITH MIDLAND CORP DE 2.02,9.01 04/01/13
SMTC CORP DE 5.02,9.01 04/02/13
SMTP, Inc. DE 5.02,9.01 04/01/13
Solar Power, Inc. CA 2.02,9.01 04/03/13
Southcross Energy Partners, L.P. DE 7.01,9.01 04/04/13
SOUTHWEST AIRLINES CO TX 1.01,1.02,2.03,9.01 04/02/13
SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 1.01,2.03,9.01 04/04/13
SPAR GROUP INC DE 2.02,9.01 04/02/13
SPHERIX INC DE 1.01,8.01,9.01 04/02/13
STERLING BANCORP NY 8.01,9.01 04/03/13
STEWART INFORMATION SERVICES CORP DE 7.01,9.01 04/04/13
STRUCTURED PROD CORP TIERS CORP BND-B DE 8.01,9.01 04/01/13
STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 04/01/13
Sucampo Pharmaceuticals, Inc. 7.01,9.01 04/04/13
SUNOCO LOGISTICS PARTNERS L.P. DE 4.01,9.01 04/01/13
SUPERMEDIA INC. DE 5.02,9.01 04/01/13
SUPREME INDUSTRIES INC DE 1.01,9.01 03/29/13
SYNERGY PHARMACEUTICALS, INC. DE 7.01,9.01 04/03/13
TENGION INC DE 3.02 04/02/13
TILLY'S, INC. DE 8.01 04/04/13
Trio Merger Corp. DE 7.01,8.01,9.01 04/04/13
Tronox Ltd C3 8.01 04/04/13
Two Harbors Investment Corp. 8.01,9.01 04/02/13
United Realty Trust Inc MD 2.01,2.03,3.02,9.01 03/29/13
United Realty Trust Inc MD 2.01 03/29/13
UNITED SURGICAL PARTNERS INTERNATIONA DE 8.01 04/04/13
UNITIL CORP NH 7.01,9.01 04/01/13
UNIVERSAL INSURANCE HOLDINGS, INC. DE 1.01,2.03,9.01 03/29/13
UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 1.01,9.01 03/29/13
VERINT SYSTEMS INC DE 7.01,9.01 04/04/13
VISUALANT INC NV 1.01,9.01 03/29/13
Volcano Corp DE 5.02 03/27/13 AMEND
VOLT INFORMATION SCIENCES, INC. NY 1.01,9.01 03/29/13
VWR Funding, Inc. DE 5.02,5.07,9.01 03/29/13
Vystar Corp GA 5.02,9.01 04/01/13
WD 40 CO DE 2.02,9.01 04/04/13
WEIGHT WATCHERS INTERNATIONAL INC VA 5.02 04/03/13
WGL HOLDINGS INC VA 5.02 04/01/13
WHITE MOUNTAINS INSURANCE GROUP LTD D0 7.01,9.01 04/03/13
WIRELESS RONIN TECHNOLOGIES INC MN 5.02,8.01 03/29/13
WIRELESS TELECOM GROUP INC NJ 7.01,9.01 04/04/13
WMI HOLDINGS CORP. WA 5.03,9.01 04/01/13
WYNDHAM WORLDWIDE CORP DE 3.01 04/04/13
ZYNGA INC DE 5.02,9.01 03/29/13
http://www.sec.gov/news/digest/2013/dig040513.htm
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