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Commission announcementsCommission Suspends Trading in Securities of Biopharm Asia, Inc., China Organic Agriculture, Inc. and Guilin Paper, Inc.The Securities and Exchange Commission (Commission) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the "Exchange Act"), of trading in the securities of Biopharm Asia, Inc.; China Organic Agriculture, Inc.; and Guilin Paper, Inc. at 9:30 a.m. EDT on April 19, 2013, and terminating at 11:59 p.m. EDT on May 2, 2013. The Commission temporarily suspended trading in the securities of Biopharm Asia, Inc., China Organic Agriculture, Inc. and Guilin Paper, Inc. due to a lack of current and accurate information about the companies because Biopharm Asia, Inc. and China Organic Agriculture, Inc. have not filed any periodic reports since the period ended September 30, 2010, and Guilin Paper, Inc. has not filed any periodic reports since the period ended September 30, 2007. The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company. Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to the securities of Biopharm Asia, Inc., China Organic Agriculture, Inc. and Guilin Paper, Inc. until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to Scott W. Friestad, Associate Director of the Division of Enforcement, at (202) 551-4962. (Rel. 34-69407) Commission Suspends Trading in Securities of Ewan 1, Inc. n/k/a AccessKey IP, Inc.The Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the Exchange Act), of trading in the securities of Ewan 1, Inc. n/k/a AccessKey IP, Inc. (AccessKey), of Santa Ana, CA at 9:30 a.m. EDT on April 19, 2013, and terminating at 11:59 p.m. EDT on May 2, 2013. The Commission temporarily suspended trading in the securities of AccessKey because of questions that have been raised about the accuracy and adequacy of publicly available information about AccessKey because it has not filed a periodic report since filing its Exchange Act registration statement on August 21, 2002. The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company. Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to AccessKey’s securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, please call Chedly C. Dumornay, Assistant Regional Director, Miami Regional Office, (305) 982-6377. (Rel. 34-69412) Commission Suspends Trading in Securities of UC Hub Group, Inc.The Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the Exchange Act), of trading in the securities of UC Hub Group, Inc. (UC Hub), of West Hollywood, CA at 9:30 a.m. EDT on April 19, 2013, and terminating at 11:59 p.m. EDT on May 2, 2013. The Commission temporarily suspended trading in the securities of UC Hub because of questions that have been raised about the accuracy and adequacy of publicly available information about UC Hub because it has not filed a periodic report since filing its Form 10-Q for the period ending April 30, 2010, filed on June 14, 2010. The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company. Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to UC Hub’s securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, please call Chedly C. Dumornay, Assistant Regional Director, Miami Regional Office, (305) 982-6377. (Rel. 34-69411) Commission Suspends Trading in Securities of The Estate Vault, Inc.The Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the “Exchange Act”), of trading in the securities of The Estate Vault, Inc. (“Estate Vault”), of Las Vegas, NV commencing at 9:30 a.m. EST on April 19, 2013, and terminating at 11:59 p.m. EDT on May 2, 2013. The Commission temporarily suspended trading in the securities of Estate Vault because of questions that have been raised about the accuracy and adequacy of publicly available information about Estate Vault because it has not filed a periodic report since its Form 10-Q for the period ending February 28, 2009, filed on December 24, 2009. The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company. Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to Estate Vault’s securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. Any broker, dealer or other person who has any information which may relate to this Matter should contact Chedly C. Dumornay, Assistant Regional Director, Miami Regional Office of the Securities and Exchange Commission at (305-982-6377). (Rel. 34-69413) Enforcement proceedingsIn the Matter Of Biopharm Asia, Inc.; In the Matter of China Organic Agriculture, Inc.; and In the Matter of Guilin Paper, Inc.The Commission announced the issuance of Orders Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of Biopharm Asia, Inc., China Organic Agriculture, Inc. and Guilin Paper, Inc. for failure to make required periodic filings with the Commission. In the respective Orders, the Division of Enforcement (Division) alleges that Biopharm Asia, Inc., China Organic Agriculture, Inc. and Guilin Paper, Inc. are delinquent in their required periodic filings with the Commission. In these proceedings, instituted pursuant to Exchange Act Section 12(j), hearings will be scheduled before an Administrative Law Judge. At the hearings, the judge will hear evidence from the Division and Biopharm Asia, Inc., China Organic Agriculture, Inc. and Guilin Paper, Inc., respectively, to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceedings will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of Biopharm Asia, Inc., China Organic Agriculture, Inc. and Guilin Paper, Inc. should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in these proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-69408; File No. 3-15287; Rel. 34-69409; File No. 3-15288; Rel. 34-69410; File No. 3-15289) Commission Institutes Administrative Proceedings against Ewan 1, Inc. n/k/a Accesskey IP, Inc. for Failure to Make Required Periodic FilingsThe Commission issued an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (the Order) against Ewan 1, Inc. n/k/a AccessKey IP, Inc. (AccessKey). AccessKey is a Nevada corporation headquartered in Santa Ana, California. The purpose of the proceeding is to determine whether the registration of AccessKey’s securities should be suspended or revoked. In the Order, the Division of Enforcement (Division) alleges that AccessKey failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder by failing to file periodic reports required by these provisions. A hearing will be scheduled before an Administrative Law Judge to provide AccessKey an opportunity to respond to the allegations of the Division contained in the Order, to determine whether these allegations are true, and to determine whether it is necessary and appropriate for the protection of investors to suspend for a period not exceeding twelve months or revoke the registration of AccessKey’s securities. (Rel. 34-69415; File No. 3-15291) Commission Institutes Administrative Proceedings against the Estate Vault, Inc. for Failure to Make Required Periodic FilingsThe Commission issued an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (the Order) against The Estate Vault, Inc. (Estate Vault). Estate Vault is a Nevada corporation headquartered in Las Vegas, Nevada. The purpose of the proceedings is to determine whether the registration of Estate Vault’s securities should be suspended or revoked. In the Order, the Division of Enforcement (Division) alleges that Estate Vault failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder by failing to file periodic reports required by these provisions. A hearing will be scheduled before an Administrative Law Judge to provide Estate Vault an opportunity to respond to the allegations of the Division contained in the Order, to determine whether these allegations are true, and to determine whether it is necessary and appropriate for the protection of investors to suspend for a period not exceeding twelve months or revoke the registration of Estate Vault’s securities. (Rel. 34-69416; File No. 3-15292) Commission Institutes Administrative Proceedings against UC Hub Group, Inc. for Failure to Make Required Periodic FilingsThe Commission issued an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (the Order) against UC Hub Group, Inc. (UC Hub). UC Hub is a Nevada corporation headquartered in West Hollywood, California. The purpose of this proceeding is to determine whether the registration of UC Hub’s securities should be suspended or revoked. In the Order, the Division of Enforcement (Division) alleges that UC Hub failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder by failing to file periodic reports required by these provisions. A hearing will be scheduled before an Administrative Law Judge to provide UC Hub an opportunity to respond to the allegations of the Division contained in the Order, to determine whether these allegations are true, and to determine whether it is necessary and appropriate for the protection of investors to suspend for a period not exceeding twelve months or revoke the registration of UC Hub’s securities. (Rel. 34-69414; File No. 3-15290) In The Matter of Foxhall Capital Management, Inc.The Commission announced today that it instituted settled proceedings finding that Virginia-based Foxhall Capital Management, Inc. (Foxhall) willfully violated, and its Chief Executive Officer (CEO), Co-Chief Investment Officer (Co-CIO) and Chief Compliance Officer (CCO), Paul G. Dietrich (Dietrich), willfully aided and abetted and caused Foxhall to violate, Section 206(4) of the Investment Advisers Act of 1940 (the Advisers Act) and Rule 206(4)-7 thereunder by failing to adopt and implement written compliance policies and procedures reasonably designed to prevent violations of the Advisers Act. Foxhall also failed to keep complete and accurate records as required by Section 204 of the Advisers Act and Rule 204-2(a)(3) thereunder, and Dietrich aided and abetted and caused Foxhall’s violations of these provisions. Foxhall, without admitting or denying the findings, agreed to be censured, to cease and desist from committing or causing any violations and any future violations of the above-referenced provisions and to pay disgorgement of $20,183, plus prejudgment of $2,247.87, and a $100,000 penalty to settle the Commission’s administrative proceeding. Dietrich, without admitting or denying the findings, agreed to be censured, to cease and desist from committing or causing any violations and any future violations of the above-referenced provisions and to pay a penalty of $25,000 to settle the matter. According to the Commission’s order instituting proceedings, from at least January 2007 through September 2009, Foxhall, with Dietrich as its CEO, Co-CIO and CCO, failed to follow its stated policies and procedures in its compliance manual; failed to maintain adequate records of its trading; and failed to timely conduct the required 2007 annual compliance review. The Commission’s order also found that Foxhall’s trading management system did not interface properly with its primary broker-dealer and custodian’s trading platform which caused Foxhall to not always have the most up-to-date information about its client account balances. As a result, when trades were placed, certain clients did not have sufficient funds in their accounts to purchase their allocated shares within the larger block trade. When those client accounts could not purchase their shares due to insufficient funds, Foxhall’s practice was to reallocate these shares to other clients who were within the same investment model portfolio. However, it did so without regard as to whether the share price increased or decreased from the date of the original trade. Foxhall also did not maintain complete and accurate records concerning the process it followed when clients had insufficient funds to receive the allocated shares and its decision to reallocate shares to other clients. (Rel. IA- 3590; File No. 3-15293) In the Matter of Jennifer E. ThoennesThe 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 Jennifer E. Thoennes (“Thoennes”). The Division of Enforcement alleges in the Order that, from at least August 2009 through January 2010, Thoennes made materially false and misleading statements to investors in connection with a Ponzi scheme orchestrated by Joseph Nelson (“Nelson”). The Order alleges Nelson and his associates, including Thoennes, solicited at least $16 million from more than 100 persons to invest in unregistered securities in the form of promissory notes offered by the Nelson Companies. The Order also alleges that Thoennes acted as an unregistered broker. The Order further alleges that on December 20, 2012, a final judgment by default was entered against Thoennes, permanently enjoining her from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Exchange Act Sections 10(b) and 15(a) and Exchange Act Rule 10b-5, and aiding and abetting violations of Exchange Act Sections 10(b) and 15(a) and Exchange Act Rule 10b-5, in the civil action entitled SEC v. Wilcox et al., Civil Action No. 2:11-cv-01219-DN, in the United States District Court for the District of Utah. Thoennes was ordered to pay disgorgement of $45,000 plus prejudgment interest of $4,791, for a total of $49,791, together with a $45,000 civil penalty. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Thoennes an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate. The Order directs the administrative law judge to issue an initial decision within 210 days after service of the Order. (Rel. 34-69421; File No. 3- 15294) In the Matter of Vector Wealth Management, LLCThe Commission announced the issuance of an Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) as to Vector Wealth Management, LLC (Vector). The Order finds that from October 2008 to May 2011, an administrative and clerical employee of Vector forged checks to misappropriate $33,147 of dividends owed to four advisory clients participating in two pooled investment vehicles (the Pooled Vehicles) that were managed by Vector. Although Vector had custody of the Pooled Vehicles’ assets, Vector did not arrange to have the quarterly account statements or audited annual financial statements for the Pooled Vehicles distributed to the clients who invested in them, and Vector was not subject to an annual surprise examination. Vector’s policies and procedures also were not reasonably designed to prevent violation of the custody rule, and Vector failed to conduct an annual review of the adequacy and effectiveness of its compliance policies and procedures. Finally, throughout the relevant period, Vector failed reasonably to supervise Employee with a view to preventing and detecting Employee’s violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder. Based on the above, the Order (1) censures Vector; (2) requires Vector to cease and desist from committing or causing violations or future violations of Section 206(4) of the Investment Advisers Act of 1940 and Rules 206(4)-2 and 206(4)-7 promulgated thereunder; and (3) requires Vector to comply with certain undertakings, including retaining an independent compliance consultant to conduct annual reviews of its internal controls, policies, and procedures for a period of two years. Vector consented to the issuance of the Order without admitting or denying any of the findings in the Order. In determining to accept the Offer, the Commission considered remedial acts promptly undertaken by Respondent and cooperation afforded the Commission staff. (Rel. IA-3587; File No. 3-15283) Investment company act releasesJP Morgan Chase & Co., et al.A notice has been issued giving interested persons until May 13, 2013, to request a hearing on an application filed by JPMorgan Chase & Co., et al. for an order to amend prior orders exempting certain limited partnerships and other entities formed for the benefit of eligible employees of JPMorgan Chase & Co. and its affiliates from certain provisions of the Investment Company Act of 1940 (Act). Each partnership will be an “employees’ securities company” within the meaning of Section 2(a)(13) of the Act. (Rel. IC-30465 - April 16, 2013) Lincoln National Life Insurance Company, et al.A notice has been issued giving interested persons until May 13, 2013, to request a hearing on an application filed by Lincoln National Life Insurance Company, Lincoln National Variable Annuity Account C, Lincoln National Variable Annuity Account L, Lincoln Life Variable Annuity Account N, and Lincoln Life Variable Annuity Account Q, Lincoln Life & Annuity Company of New York, Lincoln Life & Annuity Variable Annuity Account L, Lincoln New York Account N for Variable Annuities, and Lincoln Variable Insurance Products Trust (Applicants). Certain Applicants request an order under Section 26(c) of the Investment Company Act of 1940 (Act) to permit substitution of shares of certain registered management investment companies with shares of certain other registered management investment companies. The Applicants also seek an order of exemption pursuant to Section 17(b) of the Act from Section 17(a) of the Act to the extent necessary to permit certain in-kind transactions in connection with the substitutions. (Rel. IC-30468 - April 18, 2013) John Hancock Exchange-Traded Fund Trust, et al.A notice has been issued giving interested persons until May 13, 2013 to request a hearing on an application filed by John Hancock Exchange-Traded Fund Trust, et al., for an order that permits: (a) actively managed 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 Creation Units for redemption; (d) certain affiliated persons of the series to buy securities from, and sell securities to, the series in connection with the purchase and redemption of Creation Units; (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares; and (f) certain series to perform creations and redemptions of Creation Units in-kind in a master-feeder structure. (Rel. IC-30469 - April 18, 2013) Immediate Effectiveness of Proposed Rule ChangeA proposed rule change (SR-FINRA-2013-020) filed by Financial Industry Regulatory Authority, Inc. relating to FINRA Rule 5250 (Payments for Market Making) 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 22nd. (Rel. 34-69398) A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2013-039) relating to fees for the BBO Data Feed for securities traded on the CBOE Stock Exchange 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 22nd. (Rel. 34-69399) A proposed rule change filed by C2 Options Exchange, Incorporated (SR-C2-2013-016) relating to fees for the BBO Data Feed for C2 Listed Options 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 22nd. (Rel. 34-69400) A proposed rule change filed by NASDAQ OMX PHLX to amend to routing fees (SR-Phlx-2013-38) 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 22nd. (Rel. 34-69401) A proposed rule change filed by International Securities Exchange, LLC to amend the schedule of fees to increase certain complex order rebates (SR-ISE-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 22nd. (Rel. 34-69395) A proposed rule change filed by International Securities Exchange, LLC to amend the market maker plus rebate program (SR-ISE-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 22nd. (Rel. 34-69393) A proposed rule change filed by International Securities Exchange, LLC to amend the schedule of fees (SR-ISE-2013-33) 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 22nd. (Rel. 34-69394) A proposed rule change filed by NASDAQ OMX BX, Inc. relating to routing fees (SR-BX-2013-030) 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 22nd. (Rel. 34-69392) A proposed rule change filed by The NASDAQ Stock Market LLC relating to routing fees (SR-NASDAQ-2013-064) 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 22nd. (Rel. 34-69391) Approval of Proposed Rule ChangeThe Commission approved a proposed rule change submitted by International Securities Exchange, LLC (SR-ISE-2013-18) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to address order handling under the options order protection and locked/crossed market plan, the authority of the Exchange to cancel orders when a technical or systems issue occurs, and to describe the operation of linkage handler error accounts. Publication is expected in the Federal Register during the week of April 22nd. (Rel. 34-69396) The Commission granted approval of a proposed rule change (SR-NYSEArca-2013-18), 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 to list and trade fourteen series of the iShares Trust under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of April 22nd. (Rel. 34-69397) The Commission has approved a proposed rule change (SR-OCC-2013-02) filed by The Options Clearing Corporation (OCC) under Section 19(b)(2) of the Securities Exchange Act of 1934 to implement a revised method of calculating Clearing Members’ respective contributions to OCC’s Clearing Fund. Publication is expected in the Federal Register during the week of April 22nd. (Rel. 34-69403) 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-NASDAQ-2013-032) filed by The NASDAQ Stock Market LLC that would require listed companies to have an internal audit function. Publication is expected in the Federal Register during the week of April 22nd. (Rel. 34-69402) 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-3 Apollo Commercial Real Estate Finance, Inc.,
C/O APOLLO GLOBAL MANAGEMENT, LLC, 9 WEST 57TH STREET, 43RD FLOOR,
NEW YORK, NY, 10019, (212) 515-3200 - 0 ($609,526,499.00) Equity,
(File 333-187973 - Apr. 18) (BR. 08C)
S-8 MEDIFAST INC, 11445 CRONHILL DRIVE, OWINGS MILLS, MD, 21117,
7327640619 - 1,000,000 ($22,960,000.00) Equity, (File 333-187974 -
Apr. 18) (BR. 04B)
S-8 Intelsat S.A., 4, rue Albert Borschette, Luxembourg, N4, L-1246,
352 27-84-1600 - 0 ($1.00) Equity, (File 333-187976 - Apr. 18) (BR. 11A)
S-8 COLORADO GOLDFIELDS INC., 10920 W. ALAMEDA AVENUE, SUITE 207, LAKEWOOD,
CO, 80226, 303-984-5324 - 50,000,000 ($70,000.00) Equity,
(File 333-187979 - Apr. 18) (BR. 09A)
S-8 COLORADO GOLDFIELDS INC., 10920 W. ALAMEDA AVENUE, SUITE 207, LAKEWOOD,
CO, 80226, 303-984-5324 - 50,000,000 ($70,000.00) Equity,
(File 333-187980 - Apr. 18) (BR. 09A)
S-1 Epizyme, Inc., 400 TECHNOLOGY SQUARE, 4TH FLOOR, CAMBRIDGE, MA, 02139,
617-229-5872 - 0 ($69,000,000.00) Equity, (File 333-187982 - Apr. 18)
(BR. 01B)
S-8 UNIVEST CORP OF PENNSYLVANIA, 14 NORTH MAIN STREET, P. O. BOX 64197,
SOUDERTON, PA, 18964, 2157212400 - 0 ($32,690,000.00) Equity,
(File 333-187987 - Apr. 18) (BR. 07B)
S-8 US CONCRETE INC, 331 N. MAIN STREET, EULESS, TX, 76039, 817-835-4116 -
0 ($20,000,000.00) Other, (File 333-187989 - Apr. 18) (BR. 06A)
S-8 U.S. RARE EARTH MINERALS, INC, 6460 MEDICAL CENTER ST., SUITE 230,
LAS VEGAS,, NV, 89148, 702-433-7075 - 30,000,000 ($900,000.00) Equity,
(File 333-187991 - Apr. 18) (BR. 05A)
S-3ASR ITC Holdings Corp., 27175 ENERGY WAY, NOVI, MI, 48377, 248-946-3000 -
0 ($0.00) Other, (File 333-187994 - Apr. 18) (BR. 02B)
F-1 Paragon Shipping Inc., 15 KARAMANLI AVE, GR 166 73, VOULA, J3, 00000,
011-30-210-891-4600 - 0 ($7,440,000.00) Equity, (File 333-187996 -
Apr. 18) (BR. 05C)
S-8 WESTWOOD HOLDINGS GROUP INC, 200 CRESCENT COURT, SUITE 1200, DALLAS,
TX, 75201, 2147566900 - 0 ($10,262,000.00) Equity, (File 333-187998 -
Apr. 18) (BR. 12B)
S-8 WESTWOOD HOLDINGS GROUP INC, 200 CRESCENT COURT, SUITE 1200, DALLAS,
TX, 75201, 2147566900 - 0 ($21,235,000.00) Equity, (File 333-188002 -
Apr. 18) (BR. 12B)
Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
ACACIA RESEARCH CORP DE 2.02,9.01 04/17/13
ACURA PHARMACEUTICALS, INC NY 1.01,9.01 04/18/13
ADT Corp DE 7.01,9.01 04/18/13
ADVANCED MICRO DEVICES INC DE 2.02,7.01,9.01 04/18/13
AIR METHODS CORP DE 2.02,9.01 04/18/13
Aircastle LTD D0 7.01,9.01 04/18/13
ALIGN TECHNOLOGY INC DE 2.02,9.01 04/18/13
ALL AMERICAN SPORTPARK INC NV 5.02 04/12/13
ALLIANCE DATA SYSTEMS CORP DE 2.02,7.01,9.01 04/18/13
ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 04/18/13
ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 04/18/13
ALLSTATE CORP DE 7.01,9.01 04/18/13
Ally Financial Inc. DE 8.01,9.01 04/18/13
ALMOST FAMILY INC DE 5.02 04/18/13
ALR TECHNOLOGIES INC. NV 4.01 04/17/13
Altisource Portfolio Solutions S.A. N4 1.01,9.01 04/12/13
AMARIN CORP PLC\UK X0 8.01 04/18/13
AMBAC FINANCIAL GROUP INC DE 8.01,9.01 04/17/13
AMCON DISTRIBUTING CO DE 2.02,9.01 04/18/13
AMERICAN AIRLINES INC DE 2.02,9.01 04/18/13
AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 5.02,9.01 04/15/13
American Realty Capital Healthcare Tr MD 1.01 04/09/13
AMERICAN REALTY CAPITAL HEALTHCARE TR MD 1.01 04/09/13
AMERICAN RIVER BANKSHARES CA 2.02,9.01 04/18/13
AMERICANWEST BANCORPORATION WA 7.01,9.01 04/15/13
AMPHENOL CORP /DE/ DE 2.02,9.01 04/18/13
AMR CORP DE 2.02,9.01 04/18/13
ANAREN INC NY 8.01,9.01 04/18/13
ANDAIN, INC. NV 4.01 01/28/13 AMEND
APRICUS BIOSCIENCES, INC. NV 8.01,9.01 04/18/13
Armour Residential REIT, Inc. MD 7.01,9.01 04/17/13
ARRIS GROUP INC DE 1.01,2.01, 04/17/13
2.03,3.02,9.01
ASAP Expo, Inc. NV 4.01 04/02/13
ASSOCIATED BANC-CORP WI 2.02,9.01 04/18/13
ATLANTIC POWER CORP A1 5.02 04/11/13
Atlas Energy, L.P. DE 7.01 04/17/13
AUTODESK INC DE 5.02 04/14/13
AUTONATION, INC. DE 2.02,8.01,9.01 04/18/13
AUTONATION, INC. DE 2.02,8.01,9.01 04/18/13 AMEND
B&G Foods, Inc. DE 2.02,7.01,9.01 04/18/13
BANK MUTUAL CORP WI 2.02 04/17/13
BAXTER INTERNATIONAL INC DE 2.02,9.01 04/18/13
BAYLAKE CORP WI 2.02,9.01 04/18/13
BB&T CORP NC 2.02,9.01 04/18/13
Behringer Harvard Opportunity REIT II MD 2.01,9.01 04/12/13
BEST BUY CO INC MN 5.02,9.01 04/17/13
Big Clix, Corp. FL 8.01,9.01 04/18/13
BioNeutral Group, Inc NV 1.01,1.02,9.01 04/12/13
BIOZONE PHARMACEUTICALS, INC. NV 3.02,9.01 04/12/13
Blackstone Group L.P. DE 2.02,9.01 04/18/13
C & F FINANCIAL CORP VA 5.02,5.07 04/16/13
C H ROBINSON WORLDWIDE INC DE 9.01 10/16/12 AMEND
CADIZ INC DE 5.02,8.01,9.01 04/15/13
Cape Bancorp, Inc. MD 8.01,9.01 04/18/13
Capital Group Holdings, Inc. MN 5.02 04/16/13
CAPITAL ONE FINANCIAL CORP DE 2.02,9.01 04/18/13
Carroll Bancorp, Inc. MD 2.02,9.01 04/15/13
CCA INDUSTRIES INC DE 9.01 04/17/13
Celanese Corp DE 2.02,7.01,9.01 04/18/13
Celator Pharmaceuticals Inc DE 5.03,5.05,9.01 04/12/13
CENTRAL VALLEY COMMUNITY BANCORP CA 8.01,9.01 04/17/13
CEPHEID CA 2.02,9.01 04/18/13
Chefs' Warehouse, Inc. DE 1.01,2.03 04/17/13
CHEMED CORP DE 2.02,9.01 04/18/13
CHINA BAK BATTERY INC NV 5.02 04/18/13
China Liaoning Dingxu Ecological Agri NV 1.01 11/05/12 AMEND
CHROMCRAFT REVINGTON INC DE 3.01,8.01,9.01 04/17/13
CITY NATIONAL CORP DE 2.02,9.01 04/18/13
COBIZ FINANCIAL INC CO 2.02,8.01,9.01 04/18/13
COFFEE HOLDING CO INC NV 4.01,8.01,9.01 04/12/13
COGENT COMMUNICATIONS GROUP INC 5.07 04/18/13
Columbia Seligman Premium Technology MD 7.01 04/17/13
COMMONWEALTH BIOTECHNOLOGIES INC VA 1.03,9.01 04/18/13
CommonWealth REIT MD 8.01,9.01 04/18/13
COMMUNITY BANK SHARES OF INDIANA INC IN 2.02,9.01 04/16/13
CORNING NATURAL GAS CORP NY 5.07 04/16/13
COVER ALL TECHNOLOGIES INC DE 1.01,9.01 04/10/13
CRAILAR TECHNOLOGIES INC A1 7.01,9.01 04/18/13
CROSSTEX ENERGY INC DE 7.01,9.01 04/17/13
CROSSTEX ENERGY LP DE 7.01,9.01 04/17/13
CUBIST PHARMACEUTICALS INC DE 2.02,9.01 04/18/13
CVB FINANCIAL CORP CA 2.02,9.01 04/17/13
CYPRESS SEMICONDUCTOR CORP /DE/ DE 2.02,9.01 04/18/13
CYTEC INDUSTRIES INC/DE/ DE 8.01,9.01 04/18/13
CYTEC INDUSTRIES INC/DE/ DE 2.02,9.01 04/18/13
DANAHER CORP /DE/ DE 2.02,9.01 04/18/13
Dephasium Corp. NV 1.01,3.02, 04/18/13
5.01,5.02,8.01
Deyu Agriculture Corp. NV 5.02 04/15/13
Digital Brand Media & Marketing Group FL 4.01 04/17/13
Diligent Board Member Services, Inc. DE 5.08,9.01 04/16/13
Diversified Restaurant Holdings, Inc. NV 1.01,9.01 04/18/13
DNA BRANDS INC CO 3.02 12/16/12
DONEGAL GROUP INC DE 7.01,9.01 04/18/13
E TRADE FINANCIAL Corp DE 2.02,9.01 04/18/13
EASTGROUP PROPERTIES INC MD 2.02,7.01,9.01 04/18/13
Edgen Group Inc. DE 5.02,8.01,9.01 04/18/13
ELECTRONICS FOR IMAGING INC DE 2.02,9.01 04/18/13
ENERGY EDGE TECHNOLOGIES CORP. NJ 1.01,2.01,9.01 03/31/13
Energy Transfer Partners, L.P. DE 5.03,9.01 04/17/13 AMEND
ENERNOC INC DE 1.01,1.02,2.03 04/12/13
ENTERGY CORP /DE/ DE 2.02,9.01 04/18/13
ENTERPRISE BANCORP INC /MA/ MA 2.02,9.01 04/18/13
EQT Corp PA 5.03,5.07,9.01 04/17/13
ERIE INDEMNITY CO PA 5.07,8.01 04/17/13
ESB FINANCIAL CORP PA 5.07 04/17/13
Ever-Glory International Group, Inc. FL 4.02 04/13/13
EXACT SCIENCES CORP DE 7.01,9.01 04/18/13
FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 2.02 04/18/13
FARMERS CAPITAL BANK CORP KY 2.02,9.01 04/17/13
Federal Home Loan Bank of Atlanta X1 2.03 04/15/13
Federal Home Loan Bank of Boston X1 2.03 04/16/13
Federal Home Loan Bank of Chicago X1 2.03 04/15/13
Federal Home Loan Bank of Des Moines X1 2.03,9.01 04/16/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 04/18/13
Federal Home Loan Bank of New York X1 2.03,9.01 04/15/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 04/15/13
Federal Home Loan Bank of San Francis X1 2.03 04/15/13
Federal Home Loan Bank of Seattle 2.03 04/16/13
FIFTH THIRD BANCORP OH 2.02,7.01,9.01 04/18/13
FIRST CITIZENS BANC CORP /OH OH 5.07 04/18/13
FIRST CITIZENS BANC CORP /OH OH 7.01,9.01 04/18/13
FIRST COMMUNITY CORP /SC/ SC 2.02,8.01,9.01 04/17/13
First Internet Bancorp IN 2.02,9.01 04/18/13
FIRST M&F CORP/MS MS 2.02,7.01,9.01 04/18/13
FIRST SOUTH BANCORP INC /VA/ VA 2.02,9.01 04/18/13
Flux Power Holdings, Inc. NV 8.01,9.01 04/17/13
FORWARD AIR CORP TN 2.02,9.01 04/18/13
FREEPORT MCMORAN COPPER & GOLD INC DE 2.02,9.01 04/18/13
FUELCELL ENERGY INC DE 8.01,9.01 04/18/13
GLACIER BANCORP INC DE 2.02,9.01 04/18/13
Gold Hill Resources, Inc. NV 1.01 04/15/13
Google Inc. DE 2.02,8.01,9.01 04/18/13
Gramercy Property Trust Inc. MD 3.03,8.01,9.01 04/12/13
GRANDPARENTS.COM, INC. DE 1.01,9.01 04/11/13
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 03/31/13
Great American Group, Inc. DE 5.02 04/12/13
GREAT CHINA MANIA HOLDINGS, INC. FL 1.01,9.01 04/18/13
GreenChoice International, Inc. NV 1.01,3.02,9.01 04/17/13
GSI GROUP INC A3 4.01,9.01 04/12/13
GUARANTY FEDERAL BANCSHARES INC DE 2.02,9.01 04/18/13
HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 04/18/13
HANDY & HARMAN LTD. DE 1.01,9.01 04/16/13
HARTFORD FINANCIAL SERVICES GROUP INC DE 1.01,2.03,8.01,9.01 04/15/13
HEALTHWAYS, INC DE 2.02,9.01 04/18/13
HILLS BANCORPORATION IA 5.07 04/15/13
Hines Global REIT, Inc. MD 8.01,9.01 04/18/13
HNI CORP IA 2.02,9.01 04/17/13
HOME BANCSHARES INC 2.02,7.01,9.01 04/18/13
HOME LOAN SERVICING SOLUTIONS, LTD. E9 2.02,9.01 04/18/13
Homie Recipes, Inc. NV 1.01,9.01 04/11/13
HORIZON BANCORP /IN/ IN 5.02,9.01 04/16/13
HORIZON BANCORP /IN/ IN 5.03,8.01,9.01 04/16/13
HUBBELL INC CT 2.02,9.01 04/18/13
HUDSON CITY BANCORP INC DE 5.07 04/18/13
Immudyne, Inc. DE 7.01,9.01 04/18/13
ImmunoCellular Therapeutics, Ltd. DE 1.01,9.01 04/18/13
INCYTE CORP DE 5.02,5.03,9.01 04/15/13
INSIGHT ENTERPRISES INC DE 2.02,9.01 04/18/13
InspireMD, Inc. DE 3.02,8.01,9.01 04/16/13
INSTEEL INDUSTRIES INC NC 2.02,9.01 04/18/13
INTEGRYS ENERGY GROUP, INC. WI 5.02,9.01 04/17/13
INTERCLOUD SYSTEMS, INC. 2.01,9.01 09/17/12
INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 04/18/13
INTUITIVE SURGICAL INC DE 2.02,9.01 04/18/13
ITC Holdings Corp. MI 9.01 04/18/13
J C PENNEY CO INC DE 5.02 04/12/13
J C PENNEY CO INC DE 5.02 04/17/13
KADANT INC DE 2.01,7.01,9.01 04/12/13
KAMAN CORP CT 5.02,9.01 04/18/13
KEYCORP /NEW/ OH 2.02,9.01 04/18/13
KEYCORP /NEW/ OH 8.01,9.01 04/18/13
KNOLL INC DE 2.02,9.01 04/18/13
KNOLL INC DE 5.02 04/18/13
Kodiak Oil & Gas Corp B0 2.02,8.01,9.01 04/15/13
LAKELAND BANCORP INC NJ 2.02,8.01,9.01 04/16/13
Landmark Apartment Trust of America, 1.01 04/12/13
LANDMARK BANCORP INC DE 7.01,9.01 04/18/13
LATTICE SEMICONDUCTOR CORP DE 2.02,9.01 04/18/13
LIGHTBRIDGE Corp NV 7.01,9.01 04/18/13
Lightstone Value Plus Real Estate Inv MD 8.01,9.01 04/18/13
Lincolnway Energy, LLC IA 1.01 04/17/13
Living Breath Project, Inc. NV 4.01 04/12/13
LKA GOLD Inc /DE/ DE 5.02 04/15/13
LOCAL Corp DE 1.01,9.01 04/13/13
LSB FINANCIAL CORP IN 5.07 04/17/13
MACATAWA BANK CORP MI 8.01 04/12/13
MAGELLAN HEALTH SERVICES INC DE 8.01 04/17/13
Mandalay Digital Group, Inc. DE 1.01,3.02, 04/12/13
5.02,5.03,8.01,9.01
MARTEN TRANSPORT LTD DE 2.02,9.01 04/16/13
MARTHA STEWART LIVING OMNIMEDIA INC DE 5.02 04/15/13
Medefile International, Inc. NV 1.01,3.02,9.01 04/14/13
MEDICINOVA INC DE 1.01,9.01 04/17/13
MESA ROYALTY TRUST/TX TX 2.02,9.01 04/18/13
MICROFINANCIAL INC MA 2.02,9.01 04/17/13
MICROSOFT CORP WA 2.02,9.01 04/18/13
MICROSOFT CORP WA 5.02,9.01 04/12/13
Monarch Financial Holdings, Inc. VA 2.02,9.01 04/18/13
MORGAN STANLEY DE 2.02,9.01 04/18/13
Moxian Group Holdings, Inc. FL 3.03,5.03,9.01 04/16/13
MULTI COLOR Corp OH 4.01,9.01 04/12/13
MULTI-CORP INTERNATIONAL INC. NV 4.01 04/16/13
Myrexis, Inc. DE 5.02,8.01 04/18/13
NATIONAL BANKSHARES INC VA 2.02,9.01 04/18/13
NATIONAL HEALTH INVESTORS INC MD 8.01,9.01 04/18/13
NCI, Inc. DE 4.01,9.01 04/17/13
Net Element International, Inc. E9 8.01,9.01 04/18/13
NEUSTAR INC 8.01,9.01 04/18/13
NEWMONT MINING CORP /DE/ DE 2.02,9.01 04/17/13
NEWS CORP 8.01,9.01 04/18/13
Northwest Bancshares, Inc. MD 5.07,8.01,9.01 04/17/13
NORTHWEST INDIANA BANCORP IN 2.02,9.01 04/18/13
NORWOOD FINANCIAL CORP PA 8.01,9.01 04/18/13
NUCOR CORP DE 2.02,9.01 04/18/13
OAK RIDGE MICRO-ENERGY INC CO 1.01,2.01, 10/02/12 AMEND
3.02,5.01,5.02,9.01
OCWEN FINANCIAL CORP FL 1.01,9.01 04/12/13
OLD DOMINION ELECTRIC COOPERATIVE VA 5.02 04/15/13
OMNICOM GROUP INC. NY 2.02,9.01 04/18/13
ONCOSEC MEDICAL Inc NV 5.07 04/15/13
Orbitz Worldwide, Inc. DE 5.01,5.02 04/12/13
OVERSEAS SHIPHOLDING GROUP INC DE 8.01 04/18/13
OVERSTOCK.COM, INC DE 2.02,9.01 04/18/13
Owens Corning DE 5.02,5.07,9.01 04/18/13
OWENS MORTGAGE INVESTMENT FUND A CALI CA 7.01 04/18/13
OWENS MORTGAGE INVESTMENT FUND A CALI CA 7.01 04/18/13 AMEND
PEABODY ENERGY CORP DE 2.02,9.01 04/18/13
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.03 04/17/13
People's United Financial, Inc. DE 2.02,7.01,9.01 04/18/13
PEOPLES FINANCIAL CORP /MS/ MS 5.07 04/18/13
PEPSICO INC NC 2.02,9.01 04/18/13
PETROSONIC ENERGY, INC. NV 5.02 04/14/13
PharMerica CORP DE 1.01,5.02,9.01 04/12/13
Philip Morris International Inc. VA 2.02,9.01 04/17/13
PIER 1 IMPORTS INC/DE DE 5.02,9.01 04/12/13
PINNACLE FINANCIAL PARTNERS INC TN 5.07 04/16/13
PLAINS EXPLORATION & PRODUCTION CO DE 5.04,8.01,9.01 04/18/13
PLEXUS CORP WI 2.02 04/17/13
POOL CORP DE 2.02,7.01,9.01 04/18/13
POPULAR INC 2.02,9.01 04/18/13
POPULAR INC 7.01,9.01 04/18/13
PPG INDUSTRIES INC PA 2.02,9.01 04/18/13
PREMIERE GLOBAL SERVICES, INC. GA 2.02,9.01 04/18/13
PRIVATEBANCORP, INC DE 2.02,9.01 04/18/13
PROSPERITY BANCSHARES INC TX 5.07 04/16/13
PROVECTUS PHARMACEUTICALS INC NV 3.02 04/12/13
PSB HOLDINGS INC /WI/ WI 5.07 04/16/13
PUBLIX SUPER MARKETS INC FL 1.01,5.07 04/16/13
RADIANT LOGISTICS, INC DE 5.02 04/12/13
RAMBUS INC DE 2.02,9.01 04/18/13
RECOVERY ENERGY, INC. NV 7.01,9.01 04/17/13
REPUBLIC BANCORP INC /KY/ KY 2.02,9.01 04/18/13
Restoration Hardware Holdings Inc DE 2.02,9.01 04/18/13
Revett Minerals Inc. A6 5.05 04/15/13
RITE AID CORP DE 5.02 04/17/13
RIVER VALLEY BANCORP IN 2.02,5.07,9.01 04/16/13
ROGERS CORP MA 2.02,9.01 04/18/13
ROPER INDUSTRIES INC DE 1.01,8.01,9.01 04/17/13
RURBAN FINANCIAL CORP OH 5.03,9.01 04/12/13
SANDY SPRING BANCORP INC MD 2.02,9.01 04/18/13
SCHOOL SPECIALTY INC WI 1.01 04/12/13
Sensata Technologies Holding N.V. P7 1.01,2.03,9.01 04/17/13
SENSIENT TECHNOLOGIES CORP WI 2.02,9.01 04/18/13
Seven Arts Entertainment Inc. NV 5.02,9.01 03/20/13
SHERWIN WILLIAMS CO OH 2.02,9.01 04/18/13
Shire plc 8.01,9.01 04/18/13
Shire plc 8.01,9.01 04/18/13
SHORE BANCSHARES INC MD 5.02,9.01 04/18/13
Silver Dragon Resources Inc. DE 1.01 04/18/13
Silverton Adventures, Inc. NV 3.02,5.02,5.03,9.01 04/18/13
SIMMONS FIRST NATIONAL CORP AR 2.02,9.01 03/31/13
Sino Agro Food, Inc. NV 2.02,7.01,9.01 04/18/13
SM Energy Co DE 7.01,9.01 04/16/13
SNAP-ON Inc DE 2.02,9.01 04/18/13
SOMERSET HILLS BANCORP NJ 2.02,9.01 04/18/13
SONOCO PRODUCTS CO SC 2.02,9.01 04/18/13
Sotherly Hotels Inc. MD 5.02,5.07,7.01,9.01 04/16/13
STANLEY FURNITURE CO INC. DE 5.07 04/16/13
STATER BROS HOLDINGS INC DE 5.02 04/12/13
STEEL DYNAMICS INC IN 2.02,9.01 04/17/13
SUPERIOR UNIFORM GROUP INC FL 2.02,9.01 04/18/13
SurePure, Inc. NV 1.01 04/12/13
SYNTEL INC MI 2.02,9.01 04/18/13
TEAM HEALTH HOLDINGS INC. DE 5.02,5.03,9.01 04/18/13
Technologies Scan Corp A8 1.01,5.02,9.01 04/12/13
TESORO LOGISTICS LP DE 7.01,9.01 04/18/13
Timberline Resources Corp DE 7.01,9.01 04/16/13
TNP Strategic Retail Trust, Inc. MD 4.01,9.01 04/15/13
TOR MINERALS INTERNATIONAL INC DE 8.01,9.01 04/17/13
TOR MINERALS INTERNATIONAL INC DE 1.01 04/17/13
Transocean Ltd. V8 7.01 04/18/13
TREX CO INC DE 1.01,9.01 02/26/13 AMEND
TRI-CONTINENTAL CORP MD 7.01 04/17/13
Triangle Petroleum Corp DE 4.02 04/17/13
tw telecom inc. DE 1.01,2.03,8.01,9.01 04/17/13
ULTRATECH INC DE 2.02,9.01 04/18/13
ULTRATECH INC DE 5.02 04/16/13
UMPQUA HOLDINGS CORP OR 2.02,9.01 04/17/13
Uni-Pixel DE 1.01,8.01,9.01 04/18/13
UNION PACIFIC CORP UT 2.02,9.01 04/18/13
UNITED SECURITY BANCSHARES CA 2.02,9.01 04/17/13
UNITEDHEALTH GROUP INC MN 2.02,9.01 04/18/13
UNITIL CORP NH 7.01,9.01 04/18/13
UNIVERSAL FOREST PRODUCTS INC MI 5.07 04/17/13
UNIVERSAL INSURANCE HOLDINGS, INC. DE 8.01,9.01 04/18/13
UNIVEST CORP OF PENNSYLVANIA PA 5.07 04/16/13
UROLOGIX INC MN 8.01,9.01 04/16/13
US BANCORP \DE\ DE 5.07 04/16/13
VALASSIS COMMUNICATIONS INC DE 3.01,5.02,9.01 04/12/13
Venaxis, Inc. CO 5.02,9.01 04/18/13
VERIZON COMMUNICATIONS INC DE 2.02,9.01 04/18/13
VICAL INC DE 5.02 04/12/13
VIRGINIA COMMERCE BANCORP INC 2.02,7.01,9.01 04/18/13
Vista International Technologies Inc DE 8.01,9.01 04/18/13
VITRAN CORP INC A6 8.01,9.01 04/18/13
VOC Energy Trust 2.02,9.01 04/18/13
W. S. Industries, Inc. NV 5.01,5.02 04/16/13
WADDELL & REED FINANCIAL INC DE 5.07 04/17/13
WASHINGTON FEDERAL INC WA 2.02,7.01,9.01 04/18/13
WATSCO INC FL 2.02,7.01,9.01 04/18/13
Weatherford International Ltd./Switze V8 8.01 04/18/13
WESCO INTERNATIONAL INC 2.02,7.01,9.01 04/18/13
WESTWOOD HOLDINGS GROUP INC DE 2.02,7.01,9.01 04/18/13
Wheeler Real Estate Investment Trust, MD 8.01,9.01 04/16/13
WHIRLPOOL CORP /DE/ DE 5.02,5.07,8.01,9.01 04/16/13
Willbros Group, Inc.\NEW\ 5.02,9.01 04/16/13
WINTRUST FINANCIAL CORP IL 2.02,9.01 04/18/13
ZION OIL & GAS INC DE 7.01,9.01 04/18/13
http://www.sec.gov/news/digest/2013/dig041913.htm
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