SEC NEWS DIGEST

Commission Announcements

Commission Charges Former Rochdale Securities Broker for Rogue Trades That Brought Down Firm

The Securities and Exchange Commission (Commission) today charged a former employee at a Connecticut-based brokerage firm with scheming to personally profit from placing unauthorized orders to buy Apple stock.  When the scheme backfired, it ultimately caused the firm to cease operations.

David Miller, an institutional sales trader who lives in Rockville Centre, N.Y., has agreed to a partial settlement of the SEC’s charges.  He also pleaded guilty today in a parallel criminal case.

The SEC alleges that Miller misrepresented to Rochdale Securities LLC that a customer had authorized the Apple orders and assumed the risk of loss on any resulting trades.  The customer order was to purchase just 1,625 shares of Apple stock, but Miller instead entered a series of orders totaling 1.625 million shares at a cost of almost $1 billion.  Miller planned to share in the customer’s profit if Apple’s stock profited, and if the stock decreased he would claim that he erred on the size of the order.  The stock wound up decreasing after an earnings announcement later that day, and Rochdale was forced to cease operations in the wake of covering the losses suffered from the rogue trades.

“Miller’s scheme was deliberate, brazen, and ultimately ill-conceived,” said Daniel M. Hawke, Chief of the SEC Enforcement Division’s Market Abuse Unit.  “This is a wake-up call to the brokerage industry that the unchecked conduct of even a single individual in a position of trust can pose grave risks to a firm and potentially to the markets and investors.”

According to the SEC’s complaint filed in federal court in Connecticut, Miller entered purchase orders for 1.625 million shares of Apple stock on Oct. 25, 2012, with the company’s earnings announcement expected later that day.  His plan was to share in the customer’s profit from selling the shares if Apple’s stock price increased.  Alternatively, if Apple’s stock price decreased, Miller planned to claim that he inadvertently misinterpreted the size of the customer’s order, and Rochdale would then take responsibility for the unauthorized purchase and suffer the losses. 

According to the SEC’s complaint, Apple’s stock price decreased after Apple’s earnings release was issued on October 25.  The customer denied buying all but 1,625 Apple shares, and Rochdale was forced to take responsibility for the unauthorized purchase.  Rochdale then sold the Apple stock at an approximately $5.3 million loss, causing the value of the firm’s available liquid assets to fall below regulatory limits required of broker-dealers.  Rochdale had to cease operations shortly thereafter.

The SEC’s complaint charges Miller with violations of Section 17(a)(1) and (3) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5.  To settle the SEC’s charges, Miller will be barred in separate SEC administrative proceedings from working in the securities industry or participating in any offering of penny stock.  In the partial settlement in court, Miller agreed to be enjoined from future violations of the antifraud provisions of the federal securities laws.  A financial penalty will be determined at a later date by the court upon the SEC’s motion. 

In the criminal proceeding, Miller pleaded guilty to charges of wire fraud and conspiracy to commit securities and wire fraud.  He will be sentenced on July 8. (Press Rel. 2013- 60)

Commission Charges Denver-Based Businessman with Insider Trading

The Commission today charged a prominent Denver-based businessman with insider trading based on confidential information he obtained from the CEO of an oil and gas company that was about to secure a huge investment.

An investigation by the SEC’s Enforcement Division found that Scott Reiman obtained inside information about Delta Petroleum ahead of the company’s announcement that it had secured a $684 million investment from private investment firm Tracinda.  After the major investment was publicly announced, Delta Petroleum’s stock price jumped almost 20 percent and Reiman reaped substantial illicit profits.  The SEC previously charged Reiman’s source, then-CEO Roger Parker, as well as another trader, Michael Van Gilder, in this insider trading investigation.   

To settle the SEC’s charges, Reiman agreed to pay nearly $900,000 and be barred from the securities industry and from serving as an officer or director of a public company for at least five years.

 “Reiman took advantage of highly confidential information that he obtained through his friendship with Parker and traded on it for significant and entirely illegal profits,” said Daniel M. Hawke, Chief of the SEC Enforcement Division’s Market Abuse Unit.

Sanjay Wadhwa, Senior Associate Director of the SEC’s New York Regional Office, added, “These enforcement actions against Reiman, Parker, and Van Gilder show that the SEC will unravel the story behind suspicious trades and root out corporate insiders who give away confidential information as well as those who can’t resist the temptation to trade on it.”

According to the SEC’s order instituting proceedings, Reiman is the founder and president of the Denver-based investment firm Hexagon Inc.  He received repeated tips from Parker about Tracinda’s potential investment in Delta Petroleum.  On three occasions in late November and early December 2007, Reiman bought Delta Petroleum stock or highly speculative option contracts shortly after speaking to Parker, including once within minutes after getting off the phone with him.  When Delta publicly announced the Tracinda investment on Dec. 31, 2007, the value of Reiman’s fraudulently obtained Delta Petroleum securities soared nearly 20 percent. 

The SEC’s order charged Reiman with violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5.  Reiman neither admitted nor denied the charges.  Reiman agreed to pay disgorgement of $398,000 plus prejudgment interest of $93,567 and a penalty of $398,000.  The order bars Reiman from acting as an officer or director of any public company for a period of five years, bars him from the securities industry with the right to reapply for reentry after five years, and requires him to cease-and-desist from future violations.

The SEC’s investigation has been conducted by members of the Enforcement Division’s Market Abuse Unit – Michael Holland, Jeffrey Oraker, Joseph Sansone, and Jay Scoggins – with substantial assistance from Neil Hendelman in the New York Regional Office and Thomas Krysa in the Denver Regional Office.  The case has been supervised by Daniel M. Hawke and Sanjay Wadhwa.  (Press Rel. 2013-61)

ENFORCEMENT PROCEEDINGS

Commission Charges Former Rochdale Securities Broker for Rogue Trades

The Commission announced today that it filed a partially settled civil injunctive action in federal court in Connecticut against David Miller, a resident of Rockville Centre, New York, who formerly worked as an institutional sales trader at Rochdale Securities LLC, a Connecticut-based brokerage firm. The action alleges that Miller, alone or in concert with others, concocted a scheme to personally profit from placing a series of unauthorized orders to buy a total of more than 1.6 million shares of Apple, Inc. stock on October 25, 2012.

According to the Commission's complaint, after receiving a customer order to purchase 1,625 shares of Apple stock as part of the fraudulent scheme, Miller instead entered a series of orders to purchase a total of 1,625,000 shares of Apple (at a cost of almost $1 billion) on October 25, 2012. Miller planned to share in the customer's profit from selling the 1,625,000 shares if Apple's stock price increased following Apple's expected earnings announcement later that day. Alternatively, if Apple's stock price decreased, Miller planned to claim that he inadvertently misinterpreted the size of the customer's order, and planned for Rochdale to take responsibility for the unauthorized purchase and suffer the losses. Miller misrepresented to Rochdale and its principals and employees that one of Rochdale's customers had authorized the Apple orders and assumed the risk of loss on any resulting trades. Apple's stock price decreased after Apple's earnings release was issued on October 25, the customer denied buying all but 1,625 Apple shares, and, as Miller planned, Rochdale took responsibility for the unauthorized purchase. Rochdale then sold the Apple stock at an approximately $5.3 million loss, causing the value of Rochdale's available liquid assets to fall below limits required by SEC rules applicable to broker-dealers. Rochdale effectively ceased operations shortly thereafter.

The Commission's complaint charges Miller with violations of Section 17(a)(1) and (3) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 and seeks a permanent injunction and a civil monetary penalty.

The Commission's complaint charges Miller with violations of Section 17(a)(1) and (3) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 and seeks a permanent injunction and a civil monetary penalty.

To settle the Commission's charges in the injunctive action and related administrative proceedings that the Commission will separately institute, Miller has consented to be barred from any future association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and to be barred from participating in any offering of penny stock. Miller also has consented, subject to court approval, to be enjoined from future violations of the antifraud provisions of the federal securities laws. The amount of any civil monetary penalty will be determined at a later date by the court upon the SEC's motion.

In a parallel criminal proceeding, Miller pleaded guilty to one count of conspiracy to commit securities and wire fraud and one count of wire fraud. He will be sentenced at a later date.

The SEC's investigation, which is continuing, was conducted by Eric A. Forni, David H. London, and Michele T. Perillo of the SEC's Market Abuse Unit in the Boston Regional Office. The SEC acknowledges the assistance of the United States Attorney's Office for the District of Connecticut, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority.  [SEC v. David Miller, Civil Action No. 3:13-cv-00522] (LR-22671)

In the Matter Of David Affeldt

The 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 David Affeldt.  The Order finds that on April 5, 2013, the United States District Court for the District of Massachusetts entered a final judgment by consent against Affeldt, permanently enjoining him from future violations of Sections 5(a) and 5(c) of the Securities Act of 1933 and Section 15(a) of the Securities Exchange Act of 1934 in the civil action entitled Securities and Exchange Commission v. Inofin. Inc., et al., Civil Action Number 11-CV-10633, in the United States District Court of Massachusetts.  The civil action was filed by the Commission on April 14, 2011.  The Commission’s complaint alleged that between its founding in 1994 and its involuntary bankruptcy in February 2011, Inofin, Inc. raised approximately $110 million from investors by selling securities to investors. Neither Inofin, nor its securities offerings were ever registered with the Commission. According to the Commission’s complaint, beginning in approximately 2003, Inofin's securities sales activities were supported by Affeldt. Originally an Inofin investor, in 2003 Affeldt became a commission-based sales agent for Inofin. Between 2003 and 2010, Affeldt had over one thousand clients for whom he provided tax advice, retirement planning, and tax preparation services. During his consultations with clients, Affeldt discussed the importance of setting aside money for retirement purposes. Clients would routinely ask Affeldt where they could put their money, and Affeldt would mention Inofin as an investment option for those who were looking for a fixed investment or set return. Affeldt told his clients that he was invested in Inofin and that he was receiving a 13% return and that they might receive as much as an 11% return. If his clients were interested, Affeldt provided them with the contact information for Inofin's President, Michael Cuomo, and suggested that they tell Cuomo that they were a client of Affeldt's when they called. Inofin then paid Affeldt a referral fee on each investor that originated from Affeldt. From 2003 through 2010, Inofin paid Affeldt over $130,000 in investor-based commissions.

Based on the above, the Order bars Affeldt from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and is barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and is barred from participating in any offering of a penny stock with the right to apply for reentry after 3 years.  Affeldt consented to the issuance of the Order without admitting or denying any of the allegations in the civil injunctive action.  (Rel. 34- 69377; File No. 3-15276)

INVESTMENT COMPANY ACT RELEASES

ING Life Insurance and Annuity Company, et al.

An order has been issued on an application filed by ING Life Insurance and Annuity Company, ING USA Annuity and Life Insurance Company, ReliaStar Life Insurance Company of New York, Security Life of Denver Insurance Company, Variable Annuity Account B of ING Life Insurance and Annuity Company, Variable Annuity Account I of ING Life Insurance and Annuity Company, Separate Account B of ING USA Annuity and Life Insurance Company, Separate Account EQ of ING USA Annuity and Life Insurance Company, ReliaStar Life Insurance Company of New York Separate Account NY-B, Security Life Separate Account S-A1, and ING Investors Trust for an order under Section 26(c) of the Investment Company Act of 1940.  The order approves the substitution of shares issued by a certain registered investment company for shares of a certain other registered investment company.   (Rel. IC-30461 - April 12, 2013)

Trust for Professional Managers
Aurora Investment Management L.L.C.

A notice has been issued giving interested persons until May 7, 2013 to request a hearing on an application filed by Trust for Professional Managers and Aurora Investment Management L.L.C. 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-30460 - April 12, 2013)

The Royal Bank of Scotland plc, et al.

The Commission has issued a temporary order to The Royal Bank of Scotland plc, et al. under Section 9(c) of the Investment Company Act of 1940 (Act) with respect to a guilty plea entered on April 12, 2013, by RBS Securities Japan Limited (Settling Firm) in the U.S. District Court for the District of Connecticut in connection with a plea agreement between the Settling Firm and the U.S. Department of Justice.  The temporary order exempts applicants and companies of which the Settling Firm is or becomes an affiliated person from the provisions of Section 9(a) of the Act, until the Commission takes final action on an application for a permanent order.  The Commission also has issued a notice giving interested persons until May 7, 2013, to request a hearing on the application filed by applicants for a permanent order under Section 9(c) of the Act.  (Rel. IC-30462 - April 12, 2013

SELF-REGULATORY ORGANIZATIONS

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by BOX Options Exchange LLC (SR-BOX-2013-20) to suspend certain provisions in Rule 7170 regarding obvious errors during limit up-limit down states in securities that underlie options traded on the Exchange on a pilot basis 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. 34-69368)

A proposed rule change filed by New York Stock Exchange LLC (SR-NYSE-2013-26) amending its Price List to provide relief for floor brokers from the annual telephone line charge for January, February and March 2013 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. 34-69372)

The Chicago Mercantile Exchange Inc. (CME) filed a proposed rule change that has become effective (File No. SR- CME-2013-05) under Section 19(b)(1) of the Securities Exchange Act of 1934 related to the acquisition of the Kansas City Board of Trade Clearing Corporation.  Publication is expected in the Federal Register during the week of April 15, 2013.  (Rel. 34-69374)

Approval of Proposed Rule Change

The Commission granted approval of a proposed rule change (SR-NYSEArca-2012-108), as modified by Amendment No. 1 thereto, submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of shares of the NYSE Arca U.S. Equity Synthetic Reverse Convertible Index Fund under NYSE Arca Equities Rule 5.2(j)(3).  Publication is expected in the Federal Register during the week of April 15th.  (Rel. 34-69373)

Designation of Longer Period for Commission Action on a Proposed Rule Change

The Commission has designated a longer period for Commission action, pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, on a proposed rule change (SR-BYX-2013-008) filed by BATS Y-Exchange, Inc. amending the attestation requirement of Rule 11.24 allowing a Retail Member Organization to attest that “substantially all” orders submitted to the Retail Price Improvement Program will qualify as “Retail Orders.” Publication is expected in the Federal Register during the week of April 15th.  (Rel. 34-69369)

SECURITIES ACT REGISTRATIONS

The 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     HD Supply Holdings, Inc., 3100 CUMBERLAND BOULEVARD, SUITE 1480, 
        ATLANTA, GA, 30339, 770-852-9000 - 0 ($1,000,000,000.00) Equity, 
        (File 333-187872 - Apr. 12) (BR. 02)

S-8     Vanguard Energy Corp, 1330 POST OAK BLVD., SUITE 1600, HOUSTON, TX, 
        77056, 713-627-2500 - 1,500,000 ($900,000.00) Equity, 
        (File 333-187873 - Apr. 12) (BR. 04A)

S-1     LUCKYCOM INC, 4790 CAUGHLIN PKWY, STE 387, RENO, NV, 89519, 
        775-636-6988 - 400,000 ($44,000.00) Equity, (File 333-187874 - Apr. 12) 
        (BR. 09)

S-3     BGC Partners, Inc., 499 PARK AVENUE, NEW YORK, NY, 10022, 
        212-610-2200 - 0 ($15,792,200.00) Equity, (File 333-187875 - Apr. 12) 
        (BR. 08C)

S-1     PASSPORT POTASH INC, SUITE 608, 1199 WEST PENDER STREET, VANCOUVER, A1, 
        V6E 2R1, (604) 687-0300 - 74,374,931 ($55,618,735.51) Equity, 
        (File 333-187879 - Apr. 12) (BR. 09)

S-3ASR  FEDERAL REALTY INVESTMENT TRUST, 1626 EAST JEFFERSON STREET, ROCKVILLE, 
        MD, 20852-4041, 3019988100 - 0 ($0.00) Equity, (File 333-187882 - 
        Apr. 12) (BR. 08B)

S-3     NATURAL RESOURCE PARTNERS LP, 601 JEFFERSON STREET, SUITE 3600, 
        HOUSTON, TX, 77002, 713-751-7516 - 3,784,572 ($87,631,765.00) Equity, 
        (File 333-187883 - Apr. 12) (BR. 09A)

S-8     Taylor Morrison Home Corp, 4900 N. SCOTTSDALE ROAD, SUITE 2000, 
        SCOTTSDALE, AZ, 85251, 480-840-8100 - 0 ($188,579,834.00) Equity, 
        (File 333-187884 - Apr. 12) (BR. 06C)

S-3ASR  ASSOCIATED ESTATES REALTY CORP, 1 AEC PARKWAY, RICHMOND HEIGHTS, OH, 
        44143-1550, 2162615000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-187885 - Apr. 12) (BR. 08C)

S-4     ADT Corp, 1501 YAMATO ROAD, BOCA RATON, FL, 33431, 561-988-3600 - 
        0 ($700,000,000.00) Non-Convertible Debt, (File 333-187886 - Apr. 12) 
        (BR. 11A)

S-8     GREENBRIER COMPANIES INC, ONE CENTERPOINTE DR, STE 200, LAKE OSWEGO, 
        OR, 97035, 5036847000 - 0 ($32,235,000.00) Equity, (File 333-187887 - 
        Apr. 12) (BR. 05A)

S-3     OXYGEN BIOTHERAPEUTICS, INC., ONE COPLEY PARKWAY, SUITE 490, 
        MORRISVILLE, NC, 27560, 919-806-4414 - 0 ($5,347.50) Equity, 
        (File 333-187888 - Apr. 12) (BR. 01A)

S-8     Rally Software Development Corp, 3333 WALNUT STREET, BOULDER, CO, 
        80301, 303-565-2800 - 0 ($51,234,338.04) Other, (File 333-187889 - 
        Apr. 12) (BR. 03A)

S-3     HAMPTON ROADS BANKSHARES INC, 641 LYNNHAVEN PARKWAY, VIRGINIA BEACH, 
        VA, 23452, 757-217-1000 - 0 ($50,000,000.00) Other, (File 333-187890 - 
        Apr. 12) (BR. 07C)

S-8     TIBCO SOFTWARE INC, 3303 HILLVIEW AVENUE, PALO ALTO, CA, 94304, 
        6508461000 - 1,000,000 ($19,200,000.00) Equity, (File 333-187891 - 
        Apr. 12) (BR. 03B)

S-3ASR  Google Inc., 1600 AMPHITHEATRE PARKWAY, MOUNTAIN VIEW, CA, 94043, 
        650 623 4000 - 24,645,618 ($16,312,805,515.62) Equity, 
        (File 333-187892 - Apr. 12) (BR. 03A)

S-3     Gevo, Inc., 345 INVERNESS DRIVE SOUTH, BUILDING C, Suite 310, 
        ENGLEWOOD, CO, 80112, 303-858-8358 - 
        0 ($206,875,000.00) Unallocated (Universal) Shelf, (File 333-187893 - 
        Apr. 12) (BR. 06A)

S-3     KKR & Co. L.P., 9 WEST 57TH STREET, SUITE 4200, NEW YORK, NY, 10019, 
        212-750-8300 - 0 ($47,075,000.00) Equity, (File 333-187894 - Apr. 12) 
        (BR. 12B)

S-4     CYNOSURE INC, 5 CARLISLE ROAD, WESTFORD, MA, 01886, (978) 256-4200 - 
        0 ($142,549,346.00) Equity, (File 333-187895 - Apr. 12) (BR. 10A)

S-1     OvaScience, Inc., 215 FIRST STREET, SUITE 240, CAMBRIDGE, MA, 02142, 
        617-500-2802 - 0 ($35,194,364.00) Equity, (File 333-187896 - Apr. 12) 
        (BR. 01A)

S-8     OvaScience, Inc., 215 FIRST STREET, SUITE 240, CAMBRIDGE, MA, 02142, 
        617-500-2802 - 0 ($5,165,044.00) Equity, (File 333-187897 - Apr. 12) 
        (BR. 01A)

S-8     Edgen Group Inc., 18444 HIGHLAND ROAD, BATON ROUGE, X1, 70809, 
        2257569868 - 909,803 ($6,350,425.00) Equity, (File 333-187899 - 
        Apr. 12) (BR. 05B)

S-3D    AMERICAN REALTY CAPITAL HEALTHCARE TRUST INC, 405 PARK AVENUE, 
        15TH FLOOR, NEW YORK, NY, 10022, 212 415 6500 - 
        0 ($238,750,000.00) Equity, (File 333-187900 - Apr. 12) (BR. 08B)

S-1     PORTOLA PHARMACEUTICALS INC, 270 EAST GRAND AVENUE, SUITE 22, 
        SOUTH SAN FRANCISCO, CA, 94080, 650-244-6864 - 
        0 ($115,000,000.00) Equity, (File 333-187901 - Apr. 12) (BR. 01A)

RECENT 8K FILINGS

Form 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


Abtech Holdings, Inc.                   NV       8.01                 04/11/13

ADOBE SYSTEMS INC                       DE       5.02,5.07,9.01       04/12/13

ADT Corp                                DE       8.01,9.01            04/12/13

ALCO STORES INC                         KS       7.01,8.01,9.01       04/10/13

ALPHA & OMEGA SEMICONDUCTOR Ltd                  5.02,9.01            04/08/13

Alpha Natural Resources, Inc.           DE       1.04                 04/08/13

Amarantus Bioscience Holdings, Inc.     NV       8.01                 04/12/13

AMAZON COM INC                          DE       7.01,9.01            04/12/13

AMERICAN AIRLINES INC                   DE       8.01,9.01            04/12/13

AMERICAN HONDA RECEIVABLES LLC          DE       6.01,9.01            04/12/13

American Realty Capital Healthcare Tr   MD       1.01,8.01,9.01       04/09/13

AMERICAN RESTAURANT CONCEPTS INC                 1.01,1.02,9.01       04/08/13

AMES NATIONAL CORP                      IA       2.02,7.01,9.01       04/12/13

Amincor, Inc.                           NV       1.01                 04/12/13

AMPAL-AMERICAN ISRAEL CORP              NY       1.03                 04/12/13

AMR CORP                                DE       8.01,9.01            04/12/13

Applied Nanotech Holdings, Inc          TX       5.02                 04/10/13

ASSET ACCEPTANCE CAPITAL CORP                    8.01,9.01            04/10/13

ASSOCIATED ESTATES REALTY CORP          OH       1.01,9.01            04/12/13

AVAYA INC                               DE       5.02                 04/09/13

AXIALL CORP/DE/                         DE       2.01,9.01            01/28/13    AMEND

BANK OF THE OZARKS INC                  AR       2.02,8.01,9.01       04/11/13

BIOSANTE PHARMACEUTICALS INC            DE       1.01,1.02,           04/12/13
						5.06,7.01,9.01          

Bitzio, Inc.                            NV       5.02,9.01            04/12/13

BLUCORA, INC.                           DE       5.02                 04/11/13

BOLDFACE GROUP, INC.                    NV       1.01,2.03,           04/08/13
						3.02,5.02,8.01,9.01     

Braeden Valley Mines Inc.               NV       4.01,9.01            03/18/13

BROCADE COMMUNICATIONS SYSTEMS INC      DE       1.01,5.07            04/11/13

BSD MEDICAL CORP                        DE       9.01                 04/09/13    AMEND

CALAVO GROWERS INC                      CA       8.01                 04/10/13

Canwealth Minerals Corp                 DE       4.01,9.01            04/11/13

Centaur Guernsey L.P. Inc.                       5.02,9.01            04/12/13

CHICOS FAS INC                          FL       8.01,9.01            04/12/13

China Carbon Graphite Group, Inc.       NV       4.01,9.01            03/31/13    AMEND

CITIZENS & NORTHERN CORP                PA       2.02,9.01            04/12/13

CITIZENS REPUBLIC BANCORP, INC.         MI       2.01,3.01,           04/12/13
						3.03,5.01,9.01          

Cleantech Solutions International, In   DE       2.02,7.01,9.01       04/11/13

Cole Credit Property Trust III, Inc.    MD       7.01,8.01,9.01       04/12/13

Computer Vision Systems Laboratories    FL       1.01,9.01            04/10/13

Computer Vision Systems Laboratories    FL       8.01,9.01            04/12/13

CONSOL Energy Inc                       DE       2.02,7.01,9.01       04/12/13

CONSUMER PORTFOLIO SERVICES INC         CA       1.01,2.03,9.01       04/11/13

CORE MOLDING TECHNOLOGIES INC           DE       8.01,9.01            04/11/13

COUSINS PROPERTIES INC                  GA       1.01,7.01,9.01       04/09/13

Covidien plc                                     2.03,8.01,9.01       04/08/13

CREDIT ACCEPTANCE CORP                  MI       1.01,9.01            04/11/13

CROSS BORDER RESOURCES, INC.            NV       7.01,9.01            04/12/13

Crumbs Bake Shop, Inc.                  DE       1.01,2.02,9.01       04/11/13

Digital Realty Trust, Inc.                       1.01,3.02,           04/08/13
						3.03,5.03,9.01          

DUPONT FABROS TECHNOLOGY, INC.          MD       1.01,9.01            04/09/13

Dynacast International Inc.             DE       5.07,9.01            04/11/13

Empire Global Gaming, Inc.              NV       1.01,9.01            04/08/13

EMPIRE RESORTS INC                      DE       1.01,9.01            04/12/13

ENVESTNET, INC.                         DE       1.01,7.01,9.01       04/11/13

ENVIRONMENTAL SOLUTIONS WORLDWIDE INC   FL       1.01                 04/12/13

ENVIVIO INC                             DE       8.01                 04/12/13

EVCARCO, INC.                           NV       5.02,9.01            04/09/13

EXAR CORP                               DE       8.01,9.01            04/12/13

FAIRPOINT COMMUNICATIONS INC            DE       5.02                 04/09/13

FARMERS & MERCHANTS BANCORP             DE       8.01,9.01            04/12/13

FEDERAL SIGNAL CORP /DE/                DE       5.02,9.01            04/10/13

FERRO CORP                              OH       2.02,7.01,9.01       04/08/13

FIRST SECURITY GROUP INC/TN             TN       3.02,5.02,7.01,9.01  04/12/13

FIRSTIN WIRELESS TECHNOLOGY, INC.       NV       1.01,9.01            04/01/13

FIRSTMERIT CORP /OH/                    OH       2.01,3.02,9.01       04/12/13

FISHER COMMUNICATIONS INC               WA       1.01,9.01            04/11/13

Five Oaks Investment Corp.              MD       7.01,9.01            04/12/13

FLUSHING FINANCIAL CORP                 DE       8.01,9.01            04/12/13

FOREST OIL CORP                         NY       7.01,9.01            04/12/13

FREDERICK COUNTY BANCORP INC            MD       5.02                 04/11/13

FROZEN FOOD EXPRESS INDUSTRIES INC      TX       1.01                 04/11/13

FUELCELL ENERGY INC                     DE       1.01,8.01,9.01       04/12/13

FXCM Inc.                                        5.02                 04/11/13

General Finance CORP                    DE       5.03,9.01            04/11/13

GENSPERA INC                            DE       7.01,9.01            04/10/13

GLOBAL AXCESS CORP                      NV       5.02                 04/11/13

GLOBAL CASINOS INC                      UT       1.01,1.02,8.01,9.01  04/08/13

Granite Falls Energy, LLC               MN       5.02                 04/08/13

Greektown Superholdings, Inc.           DE       2.02,9.01            04/12/13

GREENSHIFT CORP                         DE       4.02                 03/29/13    AMEND

HARBINGER GROUP INC.                    DE       7.01                 04/12/13

HERBALIFE LTD.                          E9       4.01,4.02,8.01,9.01  04/08/13    AMEND

HMS INCOME FUND, INC.                   MD       8.01,9.01            04/12/13

HOLLY ENERGY PARTNERS LP                         7.01,9.01            04/11/13

HollyFrontier Corp                      DE       7.01,9.01            04/11/13

HUDSON CITY BANCORP INC                 DE       8.01,9.01            04/12/13

HUDSON CITY BANCORP INC                 DE       8.01,9.01            04/12/13

HUNT J B TRANSPORT SERVICES INC         AR       2.02,9.01            04/11/13

ICEWEB INC                              DE       1.01,3.03,9.01       04/10/13

iGambit, Inc.                           DE       1.01,1.02,9.01       04/08/13

IHS Inc.                                DE       5.02                 04/09/13

IMPLANT SCIENCES CORP                   MA       7.01,9.01            04/12/13

Imprimis Pharmaceuticals, Inc.          DE       9.01                 04/12/13

INFINITY PHARMACEUTICALS, INC.          DE       1.01,1.02,8.01,9.01  04/10/13

INFRAX SYSTEMS, INC.                    FL       8.01                 04/12/13

Inland American Real Estate Trust, In   MD       7.01,9.01            04/12/13

INLAND REAL ESTATE CORP                 MD       8.01,9.01            04/09/13

INTERNATIONAL TOWER HILL MINES LTD      A1       7.01,9.01            04/12/13

INTERPHASE CORP                         TX       3.01                 04/11/13

Invesco Ltd.                            D0       8.01                 04/11/13

ITC Holdings Corp.                      MI       1.01,9.01            04/09/13

ITRONICS INC                            TX       8.01                 04/11/13

IXIA                                    CA       2.02,9.01            04/11/13

JETBLUE AIRWAYS CORP                    DE       5.02,9.01            04/12/13

JOE'S JEANS INC.                        DE       5.02,5.07            04/08/13

JPMORGAN CHASE & CO                     DE       2.02,9.01            04/12/13

JPMORGAN CHASE & CO                     DE       7.01,9.01            04/12/13

LabStyle Innovations Corp.              DE       7.01,9.01            04/12/13

LAS VEGAS RAILWAY EXPRESS, INC.         DE       1.01,2.03,3.02,9.01  03/16/13

Legend Oil & Gas, Ltd.                  CO       5.02                 04/11/13

Life Nutrition Products, Inc            DC       1.01,2.01,3.02,       04/11/13
						5.01,5.02,5.03,5.06,9.01        

LIGAND PHARMACEUTICALS INC              DE       5.03,9.01            04/12/13

Limelight Networks, Inc.                DE       5.02                 04/09/13

Limoneira CO                            DE       1.01,2.06,9.01       04/08/13

LINKEDIN CORP                           DE       3.02,7.01,9.01       04/11/13

LUFKIN INDUSTRIES INC                   TX       7.01                 04/12/13

M&T BANK CORP                           NY       8.01,9.01            03/06/13

Mandalay Digital Group, Inc.            DE       1.01,2.01,3.02,9.01  04/12/13

Mascot Ventures, Inc.                   NV       5.02                 04/09/13

McEwen Mining Inc.                      CO       7.01,9.01            04/11/13

MESABI TRUST                            NY       2.02,9.01            04/12/13

MFA FINANCIAL, INC.                     MD       1.01,9.01            04/08/13

Mid-Con Energy Partners, LP             DE       7.01,9.01            04/12/13

MONARCH CEMENT CO                       KS       5.03,5.07,9.01       04/10/13

Monster Offers                          NV       1.01,3.02            04/02/13

MULTIMEDIA GAMES HOLDING COMPANY, INC   TX       5.02                 04/08/13

MYERS INDUSTRIES INC                    OH       1.01,5.03,9.01       04/11/13

Naugatuck Valley Financial Corp                  4.01,9.01            04/08/13

NEW ENERGY SYSTEMS GROUP                NV       8.01,9.01            04/12/13

NEW MEDIA INSIGHT GROUP, INC.           NV       8.01                 04/12/13

NEWMONT MINING CORP /DE/                DE       5.02                 04/12/13

NEWS CORP                                        8.01,9.01            04/12/13

NISOURCE INC/DE                         DE       1.01,2.03,9.01       04/09/13

NT MINING Corp                                   4.01                 04/12/13

NUCOR CORP                              DE       5.02,9.01            04/12/13

OCZ TECHNOLOGY GROUP INC                DE       3.01,9.01            04/11/13

OLIN CORP                               VA       7.01,9.01            04/12/13

Orchid Island Capital, Inc.             MD       6.04,8.01            04/11/13

PC TEL INC                              DE       5.02                 04/09/13

PENN VIRGINIA CORP                      VA       7.01,9.01            04/12/13

Performant Financial Corp               DE       5.02                 04/09/13

Perfumania Holdings, Inc.               FL       7.01,9.01            04/10/13

PG&E Corp                               CA       8.01                 04/11/13

Pharma-Bio Serv, Inc.                            5.03,5.07,9.01       04/09/13

Pharmagen, Inc.                         NV       1.01,3.02,9.01       03/29/13

Pharmagen, Inc.                         NV       1.01,3.02,9.01       03/29/13    AMEND

PROCERA NETWORKS INC                    NV       5.02                 04/11/13

QKL Stores Inc.                         DE       4.02                 04/10/13

QUALSTAR CORP                           CA       5.02,9.01            04/08/13

Rainbow Coral Corp.                     FL       5.01                 04/12/13

RAND WORLDWIDE INC                      DE       1.01,9.01            04/12/13

Red Giant Entertainment, Inc.           NV       1.01,2.01,2.02,      06/06/12    AMEND
						3.02,4.01,5.01,5.02,5.06,9.01   

RED METAL RESOURCES, LTD.               NV       1.01,9.01            04/09/13

RED MOUNTAIN RESOURCES, INC.            FL       5.02,7.01,9.01       04/11/13

RED MOUNTAIN RESOURCES, INC.            FL       9.01                 12/31/12    AMEND

Regency Energy Partners LP              DE       8.01,9.01            04/12/13

RELIANCE STEEL & ALUMINUM CO            CA       8.01,9.01            04/12/13

REYNOLDS AMERICAN INC                            2.03                 04/10/13

RiceBran Technologies                   CA       5.02                 04/08/13

RJD Green, Inc.                         NV       5.01,5.02            03/18/13

ROI Acquisition Corp.                   DE       7.01,8.01,9.01       04/12/13

ROYAL GOLD INC                          DE       8.01,9.01            04/10/13

SCG Financial Acquisition Corp.         DE       1.01,2.01,3.02,      04/08/13
						3.03,5.01,5.02,5.06,8.01,9.01   

SeaCube Container Leasing Ltd.          D0       8.01                 04/11/13

Sector 5, Inc.                          NV       4.01,9.01            04/12/13

SERVICEMASTER CO                        DE       5.02,9.01            04/09/13

Shire plc                                        8.01,9.01            04/12/13

SINCLAIR BROADCAST GROUP INC            MD       7.01,8.01,9.01       04/11/13

SINCLAIR BROADCAST GROUP INC            MD       1.01,2.03,9.01       04/09/13

SINOCOKING COAL & COKE CHEMICAL INDUS   FL       8.01,9.01            04/12/13

SIONIX CORP                             NV       5.02,8.01,9.01       04/08/13

SKYLINE CORP                            IN       3.01,8.01,9.01       04/12/13

SM Energy Co                            DE       7.01,9.01            04/11/13

Snap Interactive, Inc                   DE       5.02,9.01            04/09/13

Spectrum Brands Holdings, Inc.          DE       8.01,9.01            04/08/13

Spectrum Brands, Inc.                   DE       8.01,9.01            04/08/13

SpendSmart Payments Co                  CO       5.03,9.01            04/12/13

STARWOOD PROPERTY TRUST, INC.                    8.01,9.01            04/09/13

STEC, INC.                              CA       8.01                 04/11/13

TELETOUCH COMMUNICATIONS INC            DE       5.02,5.03,9.01       04/08/13

Tennessee Valley Authority                       8.01                 04/10/13

TEXAS INSTRUMENTS INC                   DE       7.01                 04/11/13

THERMOGENESIS CORP                      DE       8.01                 04/11/13

THOMAS PROPERTIES GROUP INC             DE       1.01                 04/10/13

TREE TOP INDUSTRIES, INC.               NV       5.03,8.01,9.01       11/15/12

Tribute Pharmaceuticals Canada Inc.     A6       1.01,2.01,           12/01/11    AMEND
						2.03,3.02,5.02,8.01,9.01             

TRUSTCO BANK CORP N Y                   NY       8.01,9.01            04/12/13

TRUSTMARK CORP                          MS       5.02                 04/12/13

UNIGENE LABORATORIES INC                DE       1.01,2.03,           04/08/13
						3.02,5.01,8.01,9.01     

UniTek Global Services, Inc.            DE       2.02,4.02,5.02,9.01  04/10/13

US AIRWAYS GROUP INC                    DE       8.01,9.01            04/10/13

USChina Taiwan Inc                      NV       5.03                 12/31/12

VALIDUS HOLDINGS LTD                             7.01,9.01            04/12/13

VICTORY ENERGY CORP                     NV       8.01                 04/12/13

VONAGE HOLDINGS CORP                    DE       5.02                 04/09/13

VORNADO REALTY TRUST                    MD       7.01,9.01            04/12/13

Walter Energy, Inc.                     DE       2.02,9.01            04/11/13

WATTS WATER TECHNOLOGIES INC            DE       5.02,9.01            04/09/13

WELLS FARGO & COMPANY/MN                DE       2.02,9.01            04/12/13

WMS INDUSTRIES INC /DE/                 DE       8.01,9.01            04/12/13

http://www.sec.gov/news/digest/2013/dig041513.htm