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Commission announcementsCommission MeetingsClosed Meeting on Thursday, April 18, 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; adjudicatory matters; and 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 proceedingsIn the Matter of Robert MouallemThe Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Robert Mouallem, and simultaneously accepted Mouallem’s Offer of Settlement. The Order finds that on Aug. 20, 2012, Mouallem, a registered representative associated with Garden State Securities, Inc., was found guilty of conspiracy to commit securities fraud and attempted securities fraud before the United States District Court for the Eastern District of New York. Mouallem was sentenced to one year and one day in prison and ordered to pay forfeiture of $26,610. The criminal indictment alleged that Mouallem, while aware of a kickback agreement arranged by his co-defendants and John Doe (Doe), an undercover FBI agent, agreed to assist in selling his co-defendants’ shares of stock in Dolphin Digital Media, Inc. (Dolphin) by matching their sales of Dolphin stock with corresponding purchases of Dolphin stock from discretionary accounts that Mouallem believed were controlled by stock brokers working for Doe. Mouallem and his co-defendants, together with Doe, orchestrated five “test transactions” that were to be a prelude to larger future transactions in which Mouallem would assist in liquidating his co-defendants’ entire Dolphin holdings at inflated prices. Based on the above, the Order permanently bars Mouallem from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent, and prohibits him from participating in any offering of a penny stock. (Rel. 34-69371; File No. 15275). In the Matter of New Horizon Publishing Inc.The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing against New Horizon Publishing Inc. (the Order). In the Order, the Division of Enforcement alleges that in September 2012, the Commission filed a civil injunctive action against New Horizon and others in Securities and Exchange Commission v. Joseph Hilton, et al., Civil Action Number 12-CV-81033, in the United States District Court for the Southern District of Florida. According to the Order, from no later than March 2011 until January 2012, New Horizon paid sales agents’ commissions in exchange for finding investors and selling securities in the form of limited partnership units in at least three oil drilling projects in Tennessee sponsored by United States Energy Corporation (“U.S. Energy”). According to the Order, the Commission’s complaint alleges that U.S. Energy paid New Horizon for raising investor funds directly and through a boiler room where sales agents solicited investors. New Horizon also paid sales agents commissions in exchange for finding investors and selling U.S. Energy securities. The Commission also alleges that on March 21, 2013, the Court entered a judgment, to which New Horizon consented, permanently enjoining New Horizon from violating Section 15(a)(1) of the Securities Exchange Act of 1934. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations in the Order are true, and to provide the Respondent an opportunity to dispute the allegations, and to determine what, if any, remedial action is appropriate in the public interest against New Horizon. The Order directs the Administrative Law Judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. 34- 69370; File No. 3-15274) Investment company act releasesMillington Securities, Inc. Millington Exchange Traded Mavins Fund, LLCA notice has been issued giving interested persons until May 3, 2013, to request a hearing on an application filed by Millington Securities, Inc. and Millington Exchange Traded MAVINS Fund, LLC for an order to permit: (a) series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30459 - April 10, 2013) Immediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2013-29) to amend the Schedule of 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. 34-69337) A proposed rule change filed by the Chicago Stock Exchange, Inc., to adopt and amend exchange rules in connection with Limit Up-Limit Down Plan (SR-CHX-2013-08) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69319) A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2013-35) relating to pricing for Mini Options 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 15th. (Rel. 34-69351) Proposed Rule ChangeChicago Board Options Exchange, Incorporated has filed a proposed rule change, as modified by Amendment No. 1, (SR-CBOE-2013-026) under Rule 19b-4 of the Securities Exchange Act of 1934 relating to complex orders. Publication is expected in the Federal Register during the week of April 15th. (Rel. 34-69364) Approval of Proposed Rule ChangeThe Commission approved a proposed rule change (SR-ISE-2012-14) submitted by the International Securities Exchange, LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list options on the Dow Jones FXCM Dollar Index. Publication is expected in the Federal Register during the week of April 15th. (Rel. 34-69365) Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove 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 proceedings to determine whether to approve or disapprove a proposed rule change (SR-NASDAQ-2012-117) filed by The NASDAQ Stock Market LLC with respect to INAV Pegged Orders for ETFs. Publication is expected in the Federal Register during the week of April 15th. (Rel. 34-69363) Notice of Filing of Amended Application for Registration as a Clearing AgencyThe Fixed Income Clearing Corporation filed an amended Form CA-1 (File No. 600-23) seeking permanent registration as a clearing agency under Section 17A of the Securities Exchange Act of 1934 and Rule 17Ab2-1 thereunder. Publication is expected in the Federal Register during the week of April 15th. (Release No. 34-69362) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-1 CME Realty Inc., 10300 W. CHARLESTON BLVD, #213, LAS VEGAS, NV, 89135,
7026833334 - 4,000,000 ($40,000.00) Equity, (File 333-187855 - Apr. 11)
(BR. 08)
S-1 Diamondback Energy, Inc., 500 WEST TEXAS, SUITE 1210, MIDLAND, TX,
79701, 405-463-6900 - 0 ($115,000,000.00) Equity, (File 333-187857 -
Apr. 11) (BR. 04A)
F-3 TOWER SEMICONDUCTOR LTD, RAMAT GAVRIEL INDUSTRIAL PARK, PO BOX 619,
MIGDAL HAEMEK, L3, 23105, 97246506611 - 0 ($23,337,500.00) Equity,
(File 333-187858 - Apr. 11) (BR. 10B)
S-1 Liquid Holdings Group LLC, 800 THIRD AVENUE 39TH FLOOR, NEW YORK, NY,
10022, 212-376-7800 - 0 ($49,162,500.00) Equity, (File 333-187859 -
Apr. 11) (BR. 03A)
S-8 CHIMERIX INC, 2505 MERIDIAN PARKWAY, SUITE 340, DURHAM, NC, 27713,
919.806.1074 - 7,948,707 ($79,963,840.00) Equity, (File 333-187860 -
Apr. 11) (BR. 01B)
S-8 WORDLOGIC CORP, 650 WEST GEORGIA STREET, SUITE 2400, VANCOUVER, A1,
V6B 4N7, 604-257-3600 - 25,000,000 ($2,500,000.00) Equity,
(File 333-187861 - Apr. 11) (BR. 03C)
S-8 Brazil Minerals, Inc., 324 SOUTH BEVERLY DRIVE, SUITE 118,
BEVERLY HILLS, CA, 90212, 213-321-6065 - 0 ($9,000,000.00) Equity,
(File 333-187864 - Apr. 11) (BR. 03C)
S-1 CHANNELADVISOR CORP, 5001 HOSPITALITY COURT, SUITE 100, MORRISVILLE,
NC, 27560, 919-465-5680 - 0 ($86,250,000.00) Equity, (File 333-187865 -
Apr. 11) (BR. 03A)
S-3 AMREP CORP., 300 ALEXANDER PARK, SUITE 204, PRINCETON, NJ, 08540,
(609) 716-8200 - 1,199,242 ($13,563,428.00) Equity, (File 333-187866 -
Apr. 11) (BR. 08B)
S-4 WILLIAM LYON HOMES, 4490 VON KARMAN AVENUE, NEWPORT BEACH, CA, 92660,
9498333600 - 0 ($325,000,000.00) Debt, (File 333-187867 - Apr. 11)
(BR. 06C)
S-4 Chaparral Energy, Inc., 701 CEDAR LAKE BOULEVARD, OKLAHOMA CITY, OK,
73114, (405) 478-8770 - 0 ($150,000,000.00) Debt, (File 333-187868 -
Apr. 11) (BR. 04A)
N-2 MEXICO FUND INC, 1900 K STREET NW, WASHINGTON, DC, 20006, 2026263300 -
0 ($1,000,000.00) Equity, (File 333-187869 - Apr. 11) (BR. 22)
F-1 KAMADA LTD, 7 SAPIR ST. WEIZMANN SCIENCE PARK, NESS ZIONA, L3, 74140,
97289406472 - 0 ($69,000,000.00) Equity, (File 333-187870 - Apr. 11)
(BR. 01A)
S-3 Excel Trust, Inc., 17140 BERNARDO CENTER DRIVE, SUITE 300, SAN DIEGO,
CA, 92128, (858) 613-1800 -
0 ($700,000,000.00) Unallocated (Universal) Shelf, (File 333-187871 -
Apr. 11) (BR. 08C)
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
1 800 FLOWERS COM INC DE 8.01,9.01 04/11/13
AAR CORP DE 1.01,8.01,9.01 04/10/13
ACADIA PHARMACEUTICALS INC DE 8.01 04/11/13
ACCREDITED BUSINESS CONSOLIDATORS COR PA 2.01 04/01/13
ADVANCED ENERGY INDUSTRIES INC DE 1.01,2.01,8.01,9.01 04/08/13
AEP INDUSTRIES INC DE 5.02,5.07,9.01 04/09/13
AirTouch Communications, Inc. DE 5.02 03/20/13
ALCOA INC PA 2.02,9.01 04/08/13
ALLDIGITAL HOLDINGS, INC. NV 1.01 04/09/13
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 04/11/13
AMARANTUS BIOSCIENCE, INC. DE 5.03,9.01 04/05/13
AMC ENTERTAINMENT INC DE 7.01 04/11/13
AMERICAN APPAREL, INC DE 2.02,9.01 04/11/13
AMERICAN CAMPUS COMMUNITIES INC MD 7.01,9.01 04/10/13
AMERICAN CORDILLERA MINING Corp NV 1.01,9.01 04/05/13
AMERICAN INTERNATIONAL VENTURES INC / DE 1.01,9.01 03/07/13
American Realty Capital Daily Net Ass MD 5.02 04/05/13
AMERICAN REALTY CAPITAL NEW YORK RECO MD 2.01,9.01 12/31/12 AMEND
American Realty Capital Properties, I MD 8.01,9.01 04/11/13
American Realty Capital Trust V, Inc. MD 1.01,8.01,9.01 04/05/13
AMERICAN RIVER BANKSHARES CA 7.01,9.01 04/10/13
AmeriCredit Automobile Receivables Tr 8.01,9.01 04/11/13
Amincor, Inc. NV 8.01,9.01 04/11/13
APOGEE ENTERPRISES, INC. MN 2.02,9.01 04/11/13
ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 5.02,9.01 04/11/13
Ascena Retail Group, Inc. DE 7.01,9.01 04/10/13
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 04/10/13
AT&T INC. DE 8.01 04/11/13
ATHENA SILVER CORP DE 3.02 04/08/13
Augme Technologies, Inc. DE 8.01 04/10/13
Avago Technologies LTD U0 1.01,5.07,7.01,8.01,9.01 04/10/13
BankFinancial CORP 8.01,9.01 04/11/13
Bonanza Creek Energy, Inc. DE 1.01,2.03,3.03,8.01,9.01 04/09/13
BOSTON PROPERTIES INC DE 8.01,9.01 04/11/13
BOSTON PROPERTIES LTD PARTNERSHIP DE 8.01,9.01 04/11/13
BRIGHT HORIZONS FAMILY SOLUTIONS INC. DE 1.01,2.01,7.01,9.01 04/10/13
Buckingham Exploration Inc. NV 5.02,5.03,9.01 04/10/13
Builders FirstSource, Inc. DE 5.02,8.01 04/06/13
Burger King Worldwide, Inc. DE 5.02,7.01,8.01,9.01 04/08/13
CABLEVISION SYSTEMS CORP /NY DE 1.01,8.01 04/08/13
CARBO CERAMICS INC DE 5.02,7.01 04/05/13
Carbonite Inc DE 8.01,9.01 04/11/13
Cardium Therapeutics, Inc. DE 8.01,9.01 04/05/13
Centaur Guernsey L.P. Inc. 1.01,5.02,9.01 04/10/13
CENTRAL EUROPEAN DISTRIBUTION CORP DE 3.01 04/10/13
CENTRAL EUROPEAN DISTRIBUTION CORP DE 5.02 04/06/13
CENTURY BANCORP INC MA 5.02 04/11/13
Ceres, Inc. DE 2.02,9.01 04/11/13
CHASE CORP MA 2.02,9.01 04/08/13
Cheniere Energy Partners, L.P. DE 7.01,9.01 04/10/13
CMS ENERGY CORP MI 8.01,9.01 04/11/13
CODORUS VALLEY BANCORP INC PA 8.01,9.01 04/09/13
Cole Credit Property Trust III, Inc. MD 1.01,2.01,3.02, 04/05/13
5.02,7.01,8.01,9.01
COMMERCE BANCSHARES INC /MO/ MO 2.02,9.01 04/11/13
COMMUNITY BANCORP /VT VT 2.02,9.01 04/10/13
COMPUWARE CORP MI 5.02,9.01 04/05/13
CONTINENTAL RESOURCES, INC OK 1.01,2.03,9.01 04/05/13
Copano Energy, L.L.C. 8.01,9.01 04/11/13
CorMedix Inc. DE 3.02,9.01 04/05/13
CORONADO BIOSCIENCES INC DE 8.01,9.01 04/11/13
COUSINS PROPERTIES INC GA 8.01,9.01 04/11/13
CST Brands, Inc. DE 7.01,9.01 04/11/13
DELCATH SYSTEMS INC DE 5.02,9.01 04/08/13
Desert Canadians Ltd. 7.01,9.01 04/08/13
Destination Maternity Corp DE 2.02,9.01 04/11/13
Diamondback Energy, Inc. DE 8.01 04/10/13
DOLLAR GENERAL CORP TN 1.01,1.02,2.03,8.01,9.01 04/08/13
DORCHESTER MINERALS, L.P. DE 2.02,7.01,9.01 04/11/13
DREW INDUSTRIES INC DE 5.02,9.01 04/10/13
DYNEGY INC. DE 7.01,9.01 04/11/13
Echo Automotive, Inc. NV 1.01,2.01,3.02,9.01 04/05/13
ECOLAB INC DE 1.01,2.01,3.02,9.01 04/10/13
EFLO ENERGY, INC. NV 8.01,9.01 04/11/13
EHOUSEGLOBAL, INC. NV 4.01,9.01 03/06/13 AMEND
ELITE PHARMACEUTICALS INC /NV/ NV 8.01,9.01 04/10/12
EnerJex Resources, Inc. NV 8.01,9.01 04/11/13
EQUAL ENERGY LTD. A0 4.01 04/10/13
ESSEX PROPERTY TRUST INC MD 8.01,9.01 04/08/13
Federal Home Loan Bank of Atlanta X1 2.03 04/08/13
Federal Home Loan Bank of Boston X1 2.03 04/09/13
Federal Home Loan Bank of Chicago X1 2.03 04/08/13
Federal Home Loan Bank of Dallas 2.03,9.01 04/08/13
Federal Home Loan Bank of Des Moines X1 2.03,9.01 04/09/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 04/11/13
Federal Home Loan Bank of New York X1 2.03,9.01 04/08/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 04/08/13
Federal Home Loan Bank of San Francis X1 2.03 04/08/13
Federal Home Loan Bank of Seattle 2.03 04/09/13
Federal Home Loan Bank of Topeka 2.03,9.01 04/08/13
FEDEX CORP DE 8.01,9.01 04/11/13
FIRST M&F CORP/MS MS 5.07 04/10/13
FIRST PACTRUST BANCORP INC MD 8.01,9.01 04/10/13
FIRST RATE STAFFING Corp DE 2.01,3.02, 11/09/12 AMEND
5.06,9.01
First Trinity Financial CORP OK 1.01,5.02,9.01 04/09/13
Firsthand Technology Value Fund, Inc. 8.01,9.01 04/11/13
FISHER COMMUNICATIONS INC WA 8.01,9.01 04/11/13
FLIR SYSTEMS INC OR 1.01 04/05/13
FREESTONE RESOURCES, INC. NV 3.02 04/11/13
FTI CONSULTING INC MD 5.02,8.01,9.01 04/07/13
FULL HOUSE RESORTS INC DE 1.01,9.01 04/08/13
GAP INC DE 7.01 04/11/13
GARB CORP UT 1.01,9.01 04/10/13
GLEACHER & COMPANY, INC. DE 2.05,7.01,8.01,9.01 04/05/13
GLIMCHER REALTY TRUST MD 1.01,2.03,9.01 04/08/13
Global Income Trust, Inc. MD 8.01,9.01 04/10/13
GLU MOBILE INC DE 5.02,9.01 04/05/13
GOOD SAM ENTERPRISES, LLC DE 8.01,9.01 04/10/13
GRAHAM ALTERNATIVE INVESTMENT FUND I DE 5.02,5.03,9.01 03/28/13
GRAHAM ALTERNATIVE INVESTMENT FUND II DE 5.02,5.03,9.01 03/28/13
Greektown Superholdings, Inc. DE 1.01,3.03,5.03,9.01 04/08/13
GREENHILL & CO INC DE 5.07 04/11/13
GRIFFIN LAND & NURSERIES INC DE 2.02,9.01 04/11/13
HANMI FINANCIAL CORP DE 5.02,9.01 04/11/13
HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 04/11/13
HARRIS CORP /DE/ DE 2.02,2.05,7.01,9.01 04/11/13
HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,8.01,9.01 04/11/13
HEINZ H J CO PA 8.01,9.01 04/11/13
HEMISPHERE MEDIA GROUP, INC. DE 1.01,2.01,3.02, 04/04/13
5.02,5.03,9.01
Homie Recipes, Inc. NV 5.02 04/08/13
HOOKER FURNITURE CORP VA 2.02,9.01 04/11/13
HOOPER HOLMES INC NY 5.02,7.01,9.01 04/08/13
HORNBECK OFFSHORE SERVICES INC /LA DE 2.04,8.01,9.01 04/11/13
HUNTINGTON PREFERRED CAPITAL INC OH 5.02 04/08/13
HYPERION THERAPEUTICS INC DE 5.02 04/08/13
IDEX CORP /DE/ DE 5.07,7.01,9.01 04/09/13
IGATE CORP PA 2.02,9.01 04/11/13
Ignite Restaurant Group, Inc. 1.01,1.02,2.01, 04/08/13
2.03,8.01,9.01
IHS Inc. DE 5.07 04/10/13
INFINERA CORP DE 1.01,5.02,9.01 04/08/13
InspireMD, Inc. DE 8.01,9.01 04/10/13
INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 8.01,9.01 04/11/13
INTERNATIONAL SPEEDWAY CORP FL 5.02,7.01,8.01,9.01 04/11/13
ITERIS, INC. DE 5.02 04/07/13
Jayhawk Energy, Inc. CO 5.02 04/09/13
JOYMAIN INTERNATIONAL DEVELOPMENT GRO NV 5.03,8.01,9.01 03/28/13
KENNAMETAL INC PA 1.01,9.01 04/05/13
KITE REALTY GROUP TRUST MD 1.01,9.01 04/09/13
LAKES ENTERTAINMENT INC MN 7.01,9.01 04/08/13
Landmark Apartment Trust of America, 1.01,5.02,9.01 04/05/13
LENNAR CORP /NEW/ DE 5.07 04/10/13
LEVEL 3 COMMUNICATIONS INC DE 5.02,9.01 04/11/13
LEVI STRAUSS & CO DE 5.07 04/10/13
LITHIA MOTORS INC OR 7.01,9.01 04/11/13
LOCAL Corp DE 1.01,3.02,8.01,9.01 04/10/13
MERIT MEDICAL SYSTEMS INC UT 5.02 04/11/13
MF Global Holdings Ltd. DE 1.03,3.03,5.02,9.01 04/05/13
MGP INGREDIENTS INC KS 8.01,9.01 04/11/13
MINT LEASING INC NV 2.04 04/08/13
MONARCH CASINO & RESORT INC NV 8.01 04/10/13
MRV COMMUNICATIONS INC DE 8.01,9.01 04/08/13
MVP REIT, Inc. MD 4.01,9.01 04/08/13
National Bank Holdings Corp DE 8.01 04/11/13
NATIONAL BANKSHARES INC VA 5.07 04/11/13
NEWS CORP 8.01,9.01 04/11/13
North American Oil & Gas Corp. NV 1.01,5.02,9.01 04/05/13
NORTH BAY RESOURCES INC DE 3.02,9.01 04/05/13
NORTHERN TECHNOLOGIES INTERNATIONAL C DE 2.02,9.01 04/11/13
OFFICE DEPOT INC DE 5.02,8.01,9.01 04/05/13
OLD SECOND BANCORP INC DE 8.01 04/11/13
OMNOVA SOLUTIONS INC OH 1.01 04/05/13
ORAMED PHARMACEUTICALS INC. DE 8.01 04/11/13
OXFORD INDUSTRIES INC GA 5.02,9.01 04/05/13
OXIGENE INC DE 1.01,3.02,3.03,5.03,9.01 04/10/13
PCM, INC. DE 4.01,9.01 04/07/13
PENN VIRGINIA CORP VA 1.01,7.01,9.01 04/08/13
PENN VIRGINIA CORP VA 7.01,9.01 04/11/13
PENN VIRGINIA CORP VA 1.01,9.01 04/10/13
Performant Financial Corp DE 2.02,8.01,9.01 04/09/13
PERVASIVE SOFTWARE INC DE 2.01,3.01,3.03, 04/11/13
5.01,5.02,5.03,5.07,7.01,9.01
PHARMACYCLICS INC DE 8.01,9.01 04/11/13
PIER 1 IMPORTS INC/DE DE 2.02,9.01 04/11/13
PostRock Energy Corp DE 2.02,9.01 04/08/13
PRONTO CORP. NV 4.01,9.01 04/02/13
PROTECTIVE LIFE CORP DE 1.01,8.01,9.01 04/10/13
PROTECTIVE LIFE INSURANCE CO TN 1.01,8.01,9.01 04/10/13
QUAINT OAK BANCORP INC 7.01,9.01 04/10/13
RAAM Global Energy Co DE 1.01,2.03,9.01 04/05/13
Radiation Therapy Services Holdings, DE 5.02,8.01,9.01 04/09/13
RENAISSANCERE HOLDINGS LTD D0 5.02,9.01 04/05/13
RITE AID CORP DE 2.02,9.01 04/11/13
RLJ ENTERTAINMENT, INC. NV 2.02,9.01 04/10/13
ROLLINS INC DE 8.01,9.01 04/10/13
ROTECH HEALTHCARE INC DE 1.01,9.01 04/09/13
Rovi Corp DE 1.01,2.03,9.01 04/11/13
RTG VENTURES INC FL 5.03,8.01 04/10/13
RTI INTERNATIONAL METALS INC OH 2.02,9.01 04/11/13
rue21, inc. DE 1.01,2.03,9.01 04/05/13
S&W Seed Co NV 8.01,9.01 04/11/13
SANDRIDGE ENERGY INC DE 5.02 04/06/13
SANTARUS INC DE 7.01,9.01 04/11/13
Sarepta Therapeutics, Inc. OR 1.01,9.01 04/10/13
SAVIENT PHARMACEUTICALS INC DE 3.01 04/08/13
SCHLUMBERGER LTD /NV/ P8 5.02,5.07,9.01 04/10/13
SCHMITT INDUSTRIES INC OR 5.02,9.01 04/05/13
SCIENTIFIC LEARNING CORP DE 1.01,2.03,3.02,9.01 04/05/13
SEACOR HOLDINGS INC /NEW/ DE 2.02,5.02,9.01 04/11/13
Selway Capital Acquisition Corp. DE 8.01,9.01 04/10/13
SemiLEDs Corp 2.02,9.01 04/11/13
SENOMYX INC DE 1.01,9.01 04/09/13
Sensata Technologies Holding N.V. P7 1.01,8.01 04/10/13
Shire plc 8.01,9.01 04/10/13
Shire plc 8.01,9.01 04/11/13
SIMULATIONS PLUS INC 8.01,9.01 04/10/13
Skkynet Cloud Systems, Inc. NV 7.01,9.01 04/10/13
SLM FUNDING LLC DE 9.01 04/08/13
SLM FUNDING LLC DE 1.01,2.01 04/08/13
SONIC CORP DE 5.02 04/10/13
SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 1.01 04/11/13
SPANISH BROADCASTING SYSTEM INC DE 3.01,8.01,9.01 04/10/13
SPINDLE, INC. NV 4.01,9.01 04/04/13
Spirit Airlines, Inc. DE 2.02,7.01,9.01 04/11/13
STEEL DYNAMICS INC IN 1.02,8.01,9.01 04/09/13
STEMCELLS INC DE 1.01,2.03,8.01 04/08/13
StemGen, Inc. DE 1.01 04/08/13
STRYKER CORP MI 5.02,9.01 04/11/13
Sunshine Heart, Inc. DE 1.01,8.01,9.01 04/11/13
Susser Holdings CORP DE 1.01,2.03,8.01,9.01 04/08/13
SYNERGY PHARMACEUTICALS, INC. DE 1.01,9.01 04/10/13
SYNTHESIS ENERGY SYSTEMS INC DE 7.01,9.01 04/11/13
TARGET CORP MN 8.01,9.01 04/11/13
TAURIGA SCIENCES, INC. FL 5.03,9.01 04/09/13
TOTAL SYSTEM SERVICES INC GA 1.01,2.03,9.01 04/08/13
Toyota Auto Receivables 2013-A Owner DE 1.01,9.01 04/09/13
Trans-Pacific Aerospace Company, Inc. NV 1.01,3.02,9.01 04/05/13
Transcept Pharmaceuticals Inc DE 5.02,9.01 04/10/13
TUTOR PERINI Corp MA 5.02 04/05/13
U.S. Well Services, LLC DE 7.01,9.01 04/11/13
UMPQUA HOLDINGS CORP OR 5.02 04/11/13
UNILENS VISION INC 8.01,9.01 04/11/13
UPSTREAM BIOSCIENCES INC. NV 1.01,3.02,9.01 03/28/13
Vanguard Natural Resources, LLC DE 3.01,9.01 04/11/13
VERISIGN INC/CA DE 8.01,9.01 04/11/13
VESTIN FUND III LLC 4.01,9.01 04/08/13
Vestin Realty Mortgage I, Inc. 4.01 04/08/13
Vestin Realty Mortgage II, Inc MD 4.01,9.01 04/08/13
VIASPACE Green Energy Inc. D8 1.01,9.01 04/05/13
ViewPoint Financial Group Inc. 8.01,9.01 04/11/13
VISANT CORP 8.01 04/11/13
VSB BANCORP INC NY 2.02,9.01 04/10/13
WET SEAL INC DE 1.01,1.02,5.02,9.01 04/11/13
WILSON BANK HOLDING CO TN 5.07 04/09/13
WireCo WorldGroup Inc. 5.02,9.01 04/09/13
WIRELESS RONIN TECHNOLOGIES INC MN 1.01,9.01 04/11/13
WORLDWIDE STRATEGIES INC NV 8.01 04/06/13
XFormity Technologies, Inc. TX 5.02,9.01 03/15/13
Zalicus Inc. DE 5.02 04/08/13
ZION OIL & GAS INC DE 7.01,9.01 04/11/13 AMEND
http://www.sec.gov/news/digest/2013/dig041213.htm
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