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ENFORCEMENT PROCEEDINGSCommission Charges City of Victorville, Underwriter, and Others with Defrauding Municipal Bond InvestorsThe Securities and Exchange Commission (Commission) today charged that the City of Victorville, Calif., a city official, the Southern California Logistics Airport Authority, and Kinsell, Newcomb & De Dios (KND), the underwriter of the Airport Authority’s bonds, defrauded investors by inflating valuations of property securing an April 2008 municipal bond offering. Victorville Assistant City Manager and former Director of Economic Development Keith C. Metzler, KND owner J. Jeffrey Kinsell, and KND Vice President Janees L. Williams were responsible for false and misleading statements made in the Airport Authority’s 2008 bond offering, the SEC alleged. It also charged that KND, working through a related party, misused more than $2.7 million of bond proceeds to keep itself afloat. “Financing redevelopment projects by selling municipal bonds based on inflated valuations violates the public trust as well as the antifraud provisions of the federal securities laws,” said George S. Canellos, Co-Director of the SEC’s Division of Enforcement. “Public officials have the same obligation as corporate officials to tell the truth to their investors.” Elaine C. Greenberg, Chief of the SEC’s Municipal Securities and Public Pensions Unit, said, “Investors are entitled to full disclosure of material financial arrangements entered into by related parties. Underwriters who secretly line their own pockets by taking unauthorized fees will be held accountable.” The SEC alleges the Airport Authority, which is controlled by the City of Victorville, undertook a variety of redevelopment projects, including the construction of four airplane hangars on a former Air Force base. It financed the projects by issuing tax increment bonds, which are solely secured by and repaid from property-tax increases attributable to increases in the assessed value of property in the redevelopment project area. According to the SEC’s complaint filed in U.S. District Court for the Central District of California, by April 2008, the Airport Authority was forced to refinance part of the debt incurred to construct the hangars, and other projects, by issuing additional bonds. The principal amount of the new bond issue was partly based on Metzler, Williams, and Kinsell using a $65 million valuation for the airplane hangars even though they knew the county assessor valued the hangars at less than half that amount. The inflated figure allowed the Airport Authority to issue substantially more bonds and raise more money than it otherwise would have. It also meant that investors were given false information about the value of the security available to repay them. In addition, the SEC’s investigation found that Kinsell, KND, and another of his companies misappropriated more than $2.7 million in bond proceeds that were supposed to be used to build airplane hangars for the Airport Authority. According to the SEC’s complaint, the scheme began when Kinsell learned of allegations that the contractor building the hangars had likely diverted bond proceeds for his own personal use. When the contractor was removed, Kinsell stepped in to oversee the hangar project through another company he owned, KND Affiliates, LLC, even though Kinsell had no construction experience. The SEC alleges that the Airport Authority loaned KND Affiliates more than $60 million in bond proceeds for the hangar project and agreed that as compensation for the project, KND Affiliates would receive a construction management fee of two percent of the remaining cost of construction. However, Kinsell and KND Affiliates took an additional $450,000 in unauthorized fees to oversee the construction and took $2.3 million in fees that the Airport Authority was unaware of and never agreed to, purportedly as compensation to “manage” the hangars. The SEC alleges that Kinsell and KND Affiliates hid these fees from the Airport Authority representatives and from the auditors who reviewed KND Affiliates’ books and records. The SEC’s complaint alleges that the Airport Authority, Kinsell, KND, and KND Affiliates violated the antifraud provisions of U.S. securities laws and that KND violated 15B(c)(1) of the Exchange Act and Municipal Securities Rulemaking Board Rules G-17, G-27 and G-32(a)(iii)(A)(2). The complaint also alleges that Victorville, Metzler, KND, Kinsell, and Williams aided and abetted various violations. The SEC is seeking the return of ill-gotten gains with prejudgment interest, financial penalties, and permanent injunctions against all of the defendants, as well as the return of ill-gotten gains from relief defendant KND Holdings, the parent company of KND. (Press Rel. 2013-75) (LR- 22690) Level Global Agrees to Pay More Than $21.5 Million to Settle Commission Insider Trading ChargesThe Commission today announced that Greenwich, Conn.-based hedge fund advisory firm Level Global Investors LP has agreed to pay more than $21.5 million to settle charges that its co-founder, who also served as a portfolio manager, and its analyst engaged in repeated insider trading in the securities of Dell Inc. and Nvidia Corp. In January 2012, the SEC filed insider trading charges against Level Global, the firm’s co-founder Anthony Chiasson, a former analyst Spyridon “Sam” Adondakis, and six other defendants, including five investment professionals and the hedge fund advisory firm Diamondback Capital Management. The SEC’s complaint, filed in federal court in Manhattan, alleged that Adondakis was a member of a group of closely associated hedge fund analysts who illegally obtained highly sensitive information regarding the financial performance of Dell and Nvidia before this information was made public. The illegally obtained information involved Dell and Nvidia’s revenues and profit margins and sometimes indicated that the tech companies’ quarterly results would differ significantly from the consensus expectations of Wall Street analysts. According to the SEC, during 2008 and 2009, Adondakis passed the information on to Chiasson, who used it to execute trades on behalf of hedge funds managed by Level Global and reap millions of dollars in illegal profits. In 2011, following news reports of the government’s investigation, Level Global, which had once managed as much as $4 billion, announced that it would close its business and begin returning money to its investors. It is presently in the process of winding down its business. “The insider trading at Level Global was hardly an isolated event – it occurred repeatedly, and involved multiple companies and multiple quarterly announcements,” said Sanjay Wadhwa, Senior Associate Director of the SEC’s New York Regional Office. “This settlement serves as another reminder that the SEC will hold hedge fund managers accountable when their employees violate the securities laws.” The settlement with Level Global, which is subject to court approval, requires the firm to disgorge $10,082,725 in fees that it reaped from the alleged insider-trading scheme, to pay prejudgment interest of $1,348,824, and to pay a penalty of $10,082,725. Level Global has also agreed to the entry of an order permanently enjoining the firm from future violations of Section 10(b) of the Securities Exchange Act of 1934, Rule 10b-5, and Section 17(a) of the Securities Act of 1933. Level Global neither admits nor denies the SEC’s allegations. Adondakis previously pleaded guilty to parallel criminal charges and agreed to a settlement with the SEC in which he admitted liability for insider trading. The SEC is continuing to pursue its insider trading claims against the firm’s co-founder Chiasson, who was convicted in December 2012 of securities fraud in a parallel criminal proceeding. (Press Rel. 2013-76) SELF-REGULATORY ORGANIZATIONSApproval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change submitted by NASDAQ OMX PHLX LLC (SR-Phlx-2013-09) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to enhance the functionality offered on its Options Floor Broker Management System by, among other things, automating functions currently performed by Floor Brokers. Publication is expected in the Federal Register during the week of April 29th. (Rel. 34-69471) 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 Cleantech Solutions International, Inc.,,
NO. 9 YANYU MIDDLE ROAD QIANZHOU VILLAGE, HUISHAN DISTRICT, WUXI CITY,
JIANGSU PROVINCE,, F4, 00000, (86) 51083397559 -
0 ($5,000,000.00) Other, (File 333-188142 - Apr. 26) (BR. 10A)
S-3ASR Campus Crest Communities, Inc., 2100 REXFORD ROAD, SUITE 414,
CHARLOTTE, NC, 28211, 704-496-2500 - 0 ($0.00) Equity,
(File 333-188144 - Apr. 26) (BR. 08C)
N-2 Cohen & Steers Global Preferred & Income Fund, 280 PARK AVENUE,
10TH FLOOR, NEW YORK, NY, 10017, 212-832-3232 -
40,000 ($1,000,000.00) Equity, (File 333-188145 - Apr. 26) (BR. 22)
S-1 JACKSONVILLE BANCORP INC /FL/, 100 NORTH LAURA STREET, SUITE 1000,
JACKSONVILLE, FL, 32202, 9044213040 - 0 ($5,000,000.00) Equity,
(File 333-188146 - Apr. 26) (BR. 07B)
S-1 Enservco Corp, 501 SOUTH CHERRY STREET, SUITE 320, DENVER, CO, 80246,
303-333-3678 - 30,770,397 ($38,462,996.00) Equity, (File 333-188148 -
Apr. 26) (BR. 04B)
S-8 PEOPLES BANCORP INC, 138 PUTNAM ST, P O BOX 738, MARIETTA, OH,
45750-0738, 7403733155 - 581,260 ($11,956,518.20) Equity,
(File 333-188149 - Apr. 26) (BR. 07B)
S-8 HI TECH PHARMACAL CO INC, 369 BAYVIEW AVENUE, AMITYVILLE, NY, 11701,
5167898228 - 1,500,000 ($51,495,000.00) Equity, (File 333-188150 -
Apr. 26) (BR. 01A)
S-8 TENNANT CO, 701 N LILAC DR, PO BOX 1452, MINNEAPOLIS, MN, 55440,
6125401200 - 1,100,000 ($50,798,000.00) Equity, (File 333-188151 -
Apr. 26) (BR. 06A)
S-1 MJP INTERNATIONAL LTD., 2806, 505 - 6TH STREET SW, CALGARY, A0,
T2P 1X5, (403) 237-8330 - 4,108,500 ($205,425.00) Equity,
(File 333-188152 - Apr. 26) (BR. 11)
S-3ASR General Motors Co, 300 RENAISSANCE CENTER, DETROIT, MI, 48265-3000,
313.556.5000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-188153 - Apr. 26) (BR. 05A)
S-8 DMH INTERNATIONAL, INC., 111 RAMBLE LAME #105, AUSTIN, TX, 78745,
512-351-7834 - 25,000,000 ($250,000.00) Equity, (File 333-188155 -
Apr. 26) (BR. 09)
S-8 Enservco Corp, 501 SOUTH CHERRY STREET, SUITE 320, DENVER, CO, 80246,
303-333-3678 - 5,123,794 ($6,404,743.00) Equity, (File 333-188156 -
Apr. 26) (BR. 04B)
S-3ASR First American Financial Corp, 1 FIRST AMERICAN WAY, SANTA ANA, CA,
92707, 714-250-3000 - 0 ($1.00) Equity, (File 333-188162 - Apr. 26)
(BR. 01A)
S-8 Poage Bankshares, Inc., 1500 CARTER AVENUE, ASHLAND, KY, 41101,
606-324-7196 - 472,132 ($7,124,471.88) Equity, (File 333-188163 -
Apr. 26) (BR. 07B)
S-8 EVANS BANCORP INC, 14-16 NORTH MAIN STREET, ANGOLA, NY, 14006,
7169262032 - 100,000 ($1,779,000.00) Equity, (File 333-188164 -
Apr. 26) (BR. 07B)
S-8 NCR CORP, 3097 SATELLITE BLVD, DULUTH, 2Q, 30096, 9374455000 -
0 ($186,620,000.00) Equity, (File 333-188167 - Apr. 26) (BR. 03B)
S-8 Hanesbrands Inc., 1000 EAST HANES MILL ROAD, WINSTON-SALEM, NC, 27105,
(336) 519-4400 - 2,700,000 ($124,011,000.00) Equity, (File 333-188168 -
Apr. 26) (BR. 09B)
S-8 SAIA INC, 11465 JOHNS CREEK PARKWAY, STE 400, JOHNS CREEK, 2Q, 30097,
7702325067 - 0 ($27,022,500.00) Equity, (File 333-188169 - Apr. 26)
(BR. 05B)
S-3 POWERSECURE INTERNATIONAL, INC., 1609 HERITAGE COMMERCE COURT,
WAKE FOREST, NC, 27587, 919-556-3056 - 0 ($20,162,425.00) Equity,
(File 333-188170 - Apr. 26) (BR. 02C)
S-3 Transcept Pharmaceuticals Inc, 1003 W. CUTTING BLVD, SUITE 110,
POINT RICHMOND, CA, 94804, (510) 215-3500 - 0 ($75,000,000.00) Other,
(File 333-188171 - Apr. 26) (BR. 01B)
S-4 POWERSECURE INTERNATIONAL, INC., 1609 HERITAGE COMMERCE COURT,
WAKE FOREST, NC, 27587, 919-556-3056 - 0 ($30,300,000.00) Equity,
(File 333-188172 - Apr. 26) (BR. 02C)
S-4 RANGE RESOURCES CORP, 100 THROCKMORTON STE. 1200, FT WORTH, TX, 76102,
817-870-2601 - 0 ($750,000,000.00) Debt, (File 333-188173 - Apr. 26)
(BR. 04A)
S-4 BIOSANTE PHARMACEUTICALS INC, 111 BARCLAY BLVD, LINCOLNSHIRE, IL,
60069, 8474780500 - 0 ($97,574.00) Equity, (File 333-188174 - Apr. 26)
(BR. 01B)
N-2 ARES CAPITAL CORP, 245 PARK AVENUE, 44TH FLOOR, NEW YORK, NY, 10167,
2127507300 - 0 ($3,000,000,000.00) Other, (File 333-188175 - Apr. 26)
(BR. 17)
F-3ASR GRUPO TELEVISA, S.A.B., AV VASCO DE QUIROGA 2000, COLONIA SANTA FE,
MEXICO, D.F., O5, 01210, (5255) 52612000 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-188176 - Apr. 26)
(BR. 11A)
S-4 TRAC Intermodal LLC, 211 COLLEGE ROAD EAST, PRINCETON, NJ, 08540,
(609) 452-8900 - 0 ($300,000,000.00) Debt, (File 333-188177 - Apr. 26)
(BR. 05C)
S-3D NEW YORK COMMUNITY BANCORP INC, 615 MERRICK AVE, WESTBURY, NY, 11590,
7183596400 - 25,000,000 ($338,000,000.00) Equity, (File 333-188178 -
Apr. 26) (BR. 12A)
S-3 SOUTHWESTERN PUBLIC SERVICE CO, SPS TOWER, TYLER AT SIXTH ST, AMARILLO,
TX, 79101, 3035717511 - 400,000,000 ($400,000,000.00) Debt,
(File 333-188179 - Apr. 26) (BR. 02C)
S-1 Carlyle Group L.P., C/O THE CARLYLE GROUP,
1001 PENNSYLVANIA AVENUE, N.W., WASHINGTON, DC, 20004, 202 729 5626 -
263,946,146 ($8,243,038,139.58) Unallocated (Universal) Shelf,
(File 333-188180 - Apr. 26) (BR. 12B)
S-3ASR NEW YORK COMMUNITY BANCORP INC, 615 MERRICK AVE, WESTBURY, NY, 11590,
7183596400 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-188181 - Apr. 26) (BR. 12A)
S-4 INTEGRATED ELECTRICAL SERVICES INC, 5433 WESTHEIMER, SUITE 500,
HOUSTON, TX, 77056, 7138601500 - 0 ($12,308,594.00) Equity,
(File 333-188182 - Apr. 26) (BR. 06A)
S-1 GOOD TIMES RESTAURANTS INC, 601 CORPORATE CIRCLE, GOLDEN, CO, 80401,
3033841400 - 6,000,000 ($6,000,000.00) Equity, (File 333-188183 -
Apr. 26) (BR. 05B)
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
AAR CORP DE 1.01,2.03,9.01 04/24/13
AARON'S INC GA 2.02,9.01 04/25/13
AbbVie Inc. DE 2.02,9.01 04/26/13
ACCO BRANDS Corp DE 2.02,2.05,9.01 04/24/13
ACME UNITED CORP CT 1.01,9.01 04/26/13
ACNB CORP PA 2.02,9.01 04/26/13
AeroVironment Inc DE 5.02,9.01 04/24/13
Aircastle LTD D0 7.01,9.01 04/25/13
Alliance Holdings GP, L.P. DE 2.02,9.01 04/26/13
ALLIANCE RESOURCE PARTNERS LP DE 2.02,9.01 04/26/13
Alliqua, Inc. FL 3.02,9.01 04/22/13
Altra Holdings, Inc. DE 2.02,9.01 04/26/13
AMCOL INTERNATIONAL CORP DE 2.02,9.01 04/26/13
AMERIANA BANCORP IN 2.02,9.01 04/25/13
AMERICAN ELECTRIC POWER CO INC NY 2.02,9.01 04/26/13
AMERICAN LASER HEALTHCARE Corp DE 5.01 04/26/13
AMERICAN LEARNING Corp NY 1.01,9.01 04/24/13
American Realty Capital Properties, I MD 7.01,9.01 04/26/13
AMERISTAR CASINOS INC NV 5.07,7.01,9.01 04/25/13
AMES NATIONAL CORP IA 5.07 04/24/13
AMETEK INC/ DE 2.02,9.01 04/25/13
AMN HEALTHCARE SERVICES INC DE 5.07 04/24/13
AmREIT, Inc. MD 5.03,9.01 04/25/13
Anacor Pharmaceuticals, Inc. DE 8.01,9.01 04/25/13
Annie's, Inc. DE 7.01,9.01 04/26/13
Anoteros, Inc. NV 5.02 04/25/13
Aon plc X0 2.02,9.01 04/26/13
APEX 7, Inc. DE 5.01,5.02 04/25/13
APPLIED MICRO CIRCUITS CORP DE 2.01,9.01 04/22/13
ARCHER DANIELS MIDLAND CO DE 1.01,8.01,9.01 04/25/13
Ares Commercial Real Estate Corp MD 5.02,7.01,9.01 04/25/13
ARGAN INC DE 8.01,9.01 04/26/13
Aspect Software Group Holdings Ltd. DE 5.02 04/25/13
ASTEC INDUSTRIES INC TN 8.01,9.01 04/25/13
Atlas Energy, L.P. DE 5.07 04/25/13
ATP OIL & GAS CORP TX 8.01,9.01 04/23/13
AUTOLIV INC DE 2.02,7.01,9.01 04/26/13
Avery Dennison Corp DE 5.02,5.07 04/25/13
AVON PRODUCTS INC NY 5.02 04/25/13
Bacterin International Holdings, Inc. DE 7.01,9.01 04/26/13
BANK OF THE JAMES FINANCIAL GROUP INC VA 2.02,9.01 04/26/12
BAR HARBOR BANKSHARES ME 5.02 04/23/13
BAR HARBOR BANKSHARES ME 5.02 04/23/13 AMEND
BARNES & NOBLE INC DE 1.01,9.01 04/26/13
BARNES GROUP INC DE 2.02,9.01 04/26/13
BB&T CORP NC 5.03,5.07,9.01 04/26/13
BCB BANCORP INC DC 5.07 04/25/13
BCSB Bancorp Inc. 2.02,9.01 04/25/13
BE AEROSPACE INC DE 8.01,9.01 04/26/13
BEASLEY BROADCAST GROUP INC DE 2.02,9.01 04/26/13
BERKLEY W R CORP DE 2.04,9.01 04/26/13
BILL BARRETT CORP DE 7.01,9.01 04/25/13
BLACK HILLS CORP /SD/ SD 5.07 04/23/13
BLASTGARD INTERNATIONAL INC CO 3.02,7.01,9.01 04/26/13
BORGWARNER INC DE 5.07 04/24/13
Brazil Minerals, Inc. NV 5.02 04/26/13
BRYN MAWR BANK CORP PA 7.01,8.01,9.01 04/26/13
BRYN MAWR BANK CORP PA 8.01,9.01 04/25/13
BRYN MAWR BANK CORP PA 5.07 04/25/13
BSB Bancorp, Inc. MD 2.02,9.01 04/25/13
BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 03/31/13
Burger King Worldwide, Inc. DE 2.02,9.01 04/26/13
C & F FINANCIAL CORP VA 2.02,9.01 04/25/13
CABOT CORP DE 8.01 04/26/13
CACHE INC FL 8.01,9.01 04/26/13
CALIBRUS, INC. NV 5.02 04/22/13
Campus Crest Communities, Inc. MD 5.03,5.07,9.01 04/22/13
CAPITAL TRUST INC MD 8.01,9.01 04/26/13
CAPSTEAD MORTGAGE CORP MD 2.02,5.07,9.01 04/24/13
Car Charging Group, Inc. NV 1.01,2.01,3.02, 04/03/13
5.02,8.01,9.01
CARPENTER TECHNOLOGY CORP DE 2.02,9.01 04/25/13
CELADON GROUP INC DE 2.02,8.01,9.01 04/25/13
Celanese Corp DE 8.01,9.01 04/26/13
CenterState Banks, Inc. FL 5.07,8.01 04/25/13
CENTRAL PACIFIC FINANCIAL CORP HI 2.02,9.01 03/31/13
CFS BANCORP INC IN 5.02,9.01 04/24/13
CHEVRON CORP DE 2.02 04/26/13
CHINA GENGSHENG MINERALS, INC. NV 5.02 04/26/13
CIRCLE STAR ENERGY CORP. NV 5.02 04/23/13
CITIGROUP INC DE 5.02,5.07,9.01 04/24/13
Citizens Community Bancorp Inc. MD 2.02,9.01 04/26/13
CITY HOLDING CO WV 5.07 04/24/13
CKX LANDS, INC. LA 5.07 04/25/13
Clean Energy Fuels Corp. DE 1.01,2.03,8.01,9.01 04/25/13
Clearwire Corp /DE DE 8.01,9.01 04/26/13
CLIFFS NATURAL RESOURCES INC. OH 1.04 04/22/13
CLOUD PEAK ENERGY INC. DE 5.02 04/26/13
Cobalt International Energy, Inc. 5.07 04/25/13
COBRA ELECTRONICS CORP DE 2.02,9.01 04/26/13
COCA COLA CO DE 5.03,5.07,9.01 04/24/13
COLORADO GOLDFIELDS INC. NV 5.03,9.01 04/26/13
COLUMBIA BANKING SYSTEM INC WA 5.02,5.07 04/23/13
Community Bankers Trust Corp DE 2.02,9.01 04/26/13
Community Choice Financial Inc. 5.02 04/26/13
COMPREHENSIVE CARE CORP DE 5.02 04/22/13
Comstock Mining Inc. NV 5.02 04/26/13
Confederate Motors, Inc. DE 8.01 04/04/13
CONMED CORP NY 2.02,9.01 04/25/13
CONVERGYS CORP OH 5.02,5.07,9.01 04/26/13
Cooper-Standard Holdings Inc. DE 2.02,9.01 04/26/13
CORNERSTONE BANCSHARES INC TN 2.02,9.01 04/26/13
CORNING INC /NY NY 5.02,5.07 04/25/13
CORPORATE OFFICE PROPERTIES TRUST MD 2.02,9.01 04/26/13
Covidien plc 2.02,9.01 04/26/13
COWEN GROUP, INC. DE 7.01 04/26/13
CROSS A T CO RI 2.02,5.07 04/25/13
CVR PARTNERS, LP DE 7.01,9.01 04/26/13
CYTTA CORP. NV 3.03,5.03 04/25/13
Dehaier Medical Systems Ltd 8.01 04/23/13
DEL TORO SILVER CORP. NV 3.02 04/25/13
Delek Logistics Partners, LP DE 7.01,9.01 04/25/13
DENDREON CORP DE 5.07 04/22/13
DENNYS CORP DE 2.02,7.01 04/26/13
DIAMOND HILL INVESTMENT GROUP INC OH 2.02,9.01 04/26/13
Digital Realty Trust, Inc. 2.02,7.01,9.01 04/26/13
DJO Finance LLC DE 2.02,9.01 04/26/13
DOMINOS PIZZA INC 5.07 04/23/13
DTE ENERGY CO MI 2.02,7.01,9.01 04/26/13
EAGLE MATERIALS INC DE 9.01 11/30/12 AMEND
Eaton Corp plc 5.07 04/24/13
ECOLAB INC DE 7.01,9.01 04/26/13
ENDOCYTE INC DE 7.01,9.01 04/25/13
ENERGEN CORP AL 5.07 04/24/13
ENERGY TODAY, INC. TX 3.01,5.03,9.01 04/02/13
ENTEGRIS INC DE 5.02,9.01 04/26/13
ENTERPRISE FINANCIAL SERVICES CORP DE 2.02,7.01,9.01 04/25/13
EVANS BANCORP INC NY 2.02,5.07,7.01,9.01 04/24/13
Evolucia Inc. NV 1.01,2.03,3.02,9.01 04/22/13
EXELON CORP PA 5.07 04/23/13
Facebook Inc 5.02 04/23/13
FARMERS & MERCHANTS BANCORP DE 8.01,9.01 04/25/13
FEDERAL MOGUL CORP DE 8.01,9.01 04/26/13
FEDERAL REALTY INVESTMENT TRUST MD 1.01,9.01 04/26/13
FEDERATED INVESTORS INC /PA/ PA 2.02,9.01 04/25/13
FEDEX CORP DE 1.01 04/23/13
FERRO CORP OH 5.02,7.01,9.01 04/22/13
First Bancorp, Inc /ME/ ME 5.07 04/24/13
FIRST BANKS, INC MO 2.02,5.07,9.01 04/26/13
FIRST DEFIANCE FINANCIAL CORP OH 5.07 04/23/13
FIRST INDUSTRIAL REALTY TRUST INC MD 2.02,9.01 04/25/13
FIRST MID ILLINOIS BANCSHARES INC DE 5.07 04/24/13
FIRST POTOMAC REALTY TRUST MD 2.02,7.01,9.01 04/25/13
FIVE BELOW, INC PA 8.01 04/26/13
FLIR SYSTEMS INC OR 2.02,9.01 04/26/13
FLORIDA GAMING CORP DE 1.01 04/22/13
Forex International Trading Corp. NV 4.01,9.01 04/25/13
FORUM ENERGY TECHNOLOGIES, INC. DE 2.02,9.01 04/25/13
FORWARD INDUSTRIES INC NY 1.01,3.03,5.03,8.01,9.01 04/26/13
FREDERICK COUNTY BANCORP INC MD 8.01,9.01 04/23/13
FS Investment CORP MD 1.01,2.03,9.01 04/23/13
FS Investment Corp II MD 1.01,2.03,9.01 04/23/13
FXCM Inc. 7.01,9.01 04/25/13
GARDNER DENVER INC DE 2.02,7.01,9.01 04/26/13
GE Dealer Floorplan Master Note Trust DE 1.01,9.01 04/24/13
GE Dealer Floorplan Master Note Trust DE 8.01,9.01 04/24/13
GENERAL ELECTRIC CO NY 5.07 04/24/13
GENVEC INC DE 8.01 04/25/13
Georgetown Bancorp, Inc. MD 5.07,9.01 04/23/13
GERON CORP DE 2.02,2.05,5.02,9.01 04/25/13
Giggles N' Hugs, Inc. NV 4.02 04/26/13 AMEND
GLADSTONE COMMERCIAL CORP MD 8.01,9.01 04/24/13
GLOBAL AXCESS CORP NV 1.01,2.03,5.02,9.01 04/23/13
GLOBAL EARTH ENERGY, INC. NV 1.01,5.02,9.01 04/26/13
GLOBAL PARTNERS LP 5.02,7.01,9.01 04/23/13
GNC HOLDINGS, INC. DE 2.02,8.01,9.01 04/26/13
GOODYEAR TIRE & RUBBER CO /OH/ OH 2.02,9.01 04/26/13
GULF ISLAND FABRICATION INC LA 2.02,9.01 04/25/13
GULF ISLAND FABRICATION INC LA 8.01,9.01 04/25/13
HANCOCK FABRICS INC DE 2.02,9.01 04/26/13
HARRIS CORP /DE/ DE 8.01,9.01 04/26/13
HARSCO CORP DE 5.02,5.07,9.01 04/22/13
HELMERICH & PAYNE INC DE 1.01,9.01 04/24/13
HERSHEY CO DE 5.02 04/26/13
HIGHWATER ETHANOL LLC 4.01,9.01 04/24/13
HMS HOLDINGS CORP 2.02,9.01 04/26/13
HOLLY ENERGY PARTNERS LP 7.01,9.01 04/26/13
Home Federal Bancorp, Inc. MD 2.02,9.01 04/26/13
HOMEAWAY INC DE 5.02 04/25/13
HORACE MANN EDUCATORS CORP /DE/ DE 5.02,9.01 04/24/13
HORTON D R INC /DE/ DE 2.02,9.01 04/26/13
HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 1.01,9.01 04/24/13
HOUSTON AMERICAN ENERGY CORP DE 7.01,9.01 04/26/13
HPEV, INC. NV 4.02 04/24/13
HUNT J B TRANSPORT SERVICES INC AR 5.07 04/25/13
IBERIABANK CORP LA 2.02,7.01,9.01 04/25/13
IBERIABANK CORP LA 7.01 04/26/13
iGambit, Inc. DE 5.02,9.01 04/22/13
IMMEDIATEK INC NV 1.01 04/22/13
IMMUNOGEN INC MA 2.02,9.01 04/26/13
INNOSPEC INC. DE 8.01 04/26/13
INSIGHT ENTERPRISES INC DE 5.02,9.01 04/24/13
InspireMD, Inc. DE 5.02,9.01 04/22/13
INTERACTIVE DATA CORP/MA/ DE 2.02,9.01 04/25/13
INTERNATIONAL SHIPHOLDING CORP DE 2.02,5.07,9.01 04/24/13
INTERPHASE CORP TX 2.02,9.01 04/25/13
ISHARES DIVERSIFIED ALTERNATIVES TRUS DE 5.03,8.01,9.01 04/25/13
iTalk Inc. NV 8.01,9.01 04/26/13
ITRON INC /WA/ WA 2.02,9.01 04/26/13
JACKSONVILLE BANCORP INC /FL/ FL 8.01,9.01 04/26/13
JANEL WORLD TRADE LTD NV 5.02 04/25/13
Jefferies Group LLC DE 4.01,9.01 04/25/13
John Deere Owner Trust 2013 DE 8.01,9.01 04/10/13 AMEND
JOHNSON & JOHNSON NJ 5.07,8.01,9.01 04/25/13
KEY ENERGY SERVICES INC MD 2.02,9.01 04/25/13
KIT digital, Inc. DE 1.03,2.04,7.01,9.01 04/25/13
KNOLL INC DE 8.01,9.01 04/25/13
LaPorte Bancorp, Inc. MD 2.02,8.01,9.01 04/23/13
LAS VEGAS SANDS CORP NV 4.01,9.01 04/23/13
Lazard Ltd D0 2.02,5.07,9.01 04/23/13
LEXMARK INTERNATIONAL INC /KY/ DE 5.02,5.03,5.07,8.01,9.01 04/25/13
LIFEPOINT HOSPITALS, INC. 2.02,9.01 04/26/13
LyondellBasell Industries N.V. P7 2.02,7.01,9.01 04/26/13
MACERICH CO MD 5.02 01/03/13 AMEND
MAGNUM HUNTER RESOURCES CORP DE 1.01,2.03,9.01 04/23/13
MANITOWOC CO INC WI 5.02,9.01 04/23/13
MARATHON OIL CORP DE 5.07 04/24/13
Marathon Patent Group, Inc. NV 2.01,3.02,9.01 04/22/13
MARINE PRODUCTS CORP DE 5.02,5.07,9.01 04/23/13
MARKWEST ENERGY PARTNERS L P 8.01,9.01 04/25/13
MB FINANCIAL INC /MD 5.02 04/22/13
MCGRATH RENTCORP CA 5.02 04/22/13
MDC PARTNERS INC A6 2.02,7.01,9.01 04/25/13
MEDALLION FINANCIAL CORP DE 8.01,9.01 04/25/13
MEDICAL PROPERTIES TRUST INC 2.02,9.01 04/26/13
MEDIVATION, INC. DE 8.01,9.01 04/26/13
MEDIVATION, INC. DE 5.02,9.01 04/22/13 AMEND
Medytox Solutions, Inc. NV 5.02 04/19/13
MERCANTILE BANK CORP MI 5.07 04/25/13
MERIDIAN BIOSCIENCE INC OH 2.02,9.01 04/25/13
METLIFE INC DE 5.07 04/23/13
MGIC INVESTMENT CORP WI 5.07 04/25/13
MGT CAPITAL INVESTMENTS INC DE 7.01,9.01 04/26/13
MILLER ENERGY RESOURCES, INC. TN 2.03 04/25/13
Mistras Group, Inc. DE 5.02 04/23/13
MMRGlobal, Inc. DE 8.01 04/26/13
MOOG INC NY 2.02,9.01 04/26/13
MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 04/25/13
MULTI FINELINE ELECTRONIX INC 2.02,9.01 04/25/13
NATIONAL HEALTH INVESTORS INC MD 8.01,9.01 04/26/13
NATIONAL HEALTH INVESTORS INC MD 8.01,9.01 04/26/13
NATIONAL OILWELL VARCO INC DE 2.02,9.01 04/26/13
NB&T FINANCIAL GROUP INC OH 5.07 04/26/13
Neuralstem, Inc. DE 8.01,9.01 04/24/13
NEWCASTLE INVESTMENT CORP MD 1.01,8.01,9.01 04/25/13
NEWPARK RESOURCES INC DE 2.02,9.01 04/25/13
NEWS CORP 8.01 04/25/13
NEWS CORP 8.01,9.01 04/26/13
NEXSTAR BROADCASTING GROUP INC DE 5.02,5.07,8.01,9.01 04/22/13
NIKE INC OR 8.01,9.01 04/23/13
NOBLE ENERGY INC DE 5.02 04/23/13
NOBLE ENERGY INC DE 5.02 03/14/13 AMEND
Northern Tier Energy LP DE 2.02,7.01 04/26/13
Northfield Bancorp, Inc. DE 2.02,9.01 04/26/13
NORTHWEST BANCORPORATION INC WA 2.02,8.01,9.01 04/26/13
NYSE Euronext DE 5.07,9.01 04/25/13
Obagi Medical Products, Inc. DE 2.01,3.01,3.02,3.03,5.01,5.02,5.03,9.01 04/25/13
Oconee Federal Financial Corp. 5.03,8.01,9.01 04/25/13
OLD REPUBLIC INTERNATIONAL CORP DE 2.02,9.01 04/25/13
OLIN CORP VA 2.02,7.01,9.01 04/25/13
Omthera Pharmaceuticals, Inc. DE 5.02 04/24/13
Oneida Financial Corp. MD 2.02,9.01 04/24/13
OphthaliX, Inc. DE 5.02,9.01 04/22/13
ORACLE CORP 1.01,2.03,9.01 04/22/13
ORCHARD SUPPLY HARDWARE STORES CORP DE 1.01 04/26/13
ORIENTAL FINANCIAL GROUP INC PR 2.02,9.01 04/25/13
ORIENTAL FINANCIAL GROUP INC PR 1.02 04/22/13
PACIFIC PREMIER BANCORP INC DE 7.01,9.01 04/24/13
PASSPORT POTASH INC A1 8.01,9.01 04/25/13
PC TEL INC DE 8.01,9.01 04/25/13
PEAPACK GLADSTONE FINANCIAL CORP NJ 5.02,5.07,7.01,9.01 04/23/13
Pebblebrook Hotel Trust MD 2.02,9.01 04/25/13
PENSECO FINANCIAL SERVICES CORP PA 2.02,9.01 04/26/13
PENTAIR LTD V8 7.01 04/26/13
PEOPLES BANCORP INC OH 2.02,5.02,5.07,8.01,9.01 04/23/13
PIER 1 IMPORTS INC/DE DE 7.01,9.01 04/26/13
POLYMER GROUP INC DE 2.02,9.01 03/28/13
POSITIVEID Corp DE 9.01 04/18/13 AMEND
POWER INTEGRATIONS INC CA 5.03,9.01 04/23/13
POWERSECURE INTERNATIONAL, INC. DE 2.01,9.01 04/12/13 AMEND
PRIMUS TELECOMMUNICATIONS GROUP INC DE 5.02,8.01,9.01 04/26/13
PRINCIPAL FINANCIAL GROUP INC DE 2.02,9.01 04/25/13
PRO DEX INC CO 1.01,9.01 04/22/13
PROSPECT GLOBAL RESOURCES INC. NV 3.01 04/23/13
PROVIDENCE & WORCESTER RAILROAD CO/RI RI 5.02 04/26/13
PROVIDENT FINANCIAL SERVICES INC DE 2.02,5.07,9.01 04/25/13
PSB HOLDINGS INC /WI/ WI 2.02,9.01 04/26/13
PVR PARTNERS, L. P. DE 5.02,9.01 04/23/13
QAD INC DE 8.01,9.01 04/24/13
QUIKSILVER INC DE 5.02 04/23/13
RAINMAKER SYSTEMS INC DE 7.01,9.01 04/26/13
RANCHER ENERGY CORP. NV 7.01,9.01 04/22/13
RANGE RESOURCES CORP DE 2.02,9.01 04/25/13
RARE ELEMENT RESOURCES LTD A1 5.02,9.01 04/23/12
Realogy Holdings Corp. DE 1.01,2.03,8.01 04/26/13
REGIONS FINANCIAL CORP DE 8.01,9.01 04/25/13
RENASANT CORP MS 5.07 04/23/13
REPUBLIC BANCORP INC /KY/ KY 5.07 04/25/13
Retrophin, Inc. OK 5.02,8.01,9.01 04/24/13
REX ENERGY CORP DE 1.01,2.03,8.01,9.01 04/22/13
Rexnord Corp DE 1.01,2.03,9.01 04/24/13
RJD Green, Inc. NV 8.01 04/24/13
ROLLINS INC DE 5.07 04/23/13
RPC INC DE 5.07 04/23/13
S Y BANCORP INC KY 5.02,5.07,9.01 04/24/13
SAIA INC DE 2.02,9.01 04/26/13
SANDRIDGE ENERGY INC DE 5.02,9.01 04/26/13
Saveene Group, Inc. 1.01,2.01,9.01 04/19/13
SB FINANCIAL GROUP, INC. OH 5.07,7.01,9.01 04/24/13
SCANA CORP SC 5.02,5.07 04/25/13
SCBT FINANCIAL CORP SC 2.02,9.01 04/26/13
SCHWEITZER MAUDUIT INTERNATIONAL INC DE 5.07 04/25/13
SCIQUEST INC DE 1.01,5.07,9.01 04/24/13
Selway Capital Acquisition Corp. DE 5.02,5.03 04/22/13
SENSIENT TECHNOLOGIES CORP WI 5.02,5.07,9.01 04/25/13
Shire plc 8.01,9.01 04/26/13
SILGAN HOLDINGS INC DE 2.02,9.01 04/23/13
SIMON PROPERTY GROUP INC /DE/ DE 2.02,7.01,9.01 04/26/13
Simplicity Bancorp, Inc. 8.01,9.01 04/24/13
SJW CORP CA 8.01,9.01 04/25/13
Snap Interactive, Inc DE 7.01,9.01 04/26/13
SNAP-ON Inc DE 5.03,5.07,9.01 04/25/13
Sorrento Therapeutics, Inc. DE 3.03,5.02,5.03,5.07,9.01 04/26/13
SOUPMAN, INC. DE 5.02,9.01 04/22/13
Southeastern Bank Financial CORP GA 5.07 04/24/13
Southern National Bancorp of Virginia VA 2.02,8.01,9.01 04/25/13
SOUTHWEST BANCORP INC OK 5.07 04/26/13
SP Bancorp, Inc. MD 8.01 04/26/13
SPECTRANETICS CORP DE 1.01,8.01,9.01 04/25/13
Standard Gold Holdings, Inc. CO 4.01,9.01 04/16/13 AMEND
STANDARD PARKING CORP DE 8.01 04/25/13
Stereotaxis, Inc. DE 5.02,9.01 04/23/13
STERICYCLE INC DE 2.02,9.01 04/26/13 AMEND
STREAMLINE HEALTH SOLUTIONS INC. DE 4.01,5.02,9.01 04/22/13
SUMMIT FINANCIAL GROUP INC WV 2.02,9.01 04/25/13
SUNTRUST BANKS INC GA 8.01,9.01 04/26/13
SUPERIOR ENERGY SERVICES INC DE 2.02,9.01 04/25/13
SUPERNUS PHARMACEUTICALS INC DE 5.07,8.01,9.01 04/24/13
SUPERNUS PHARMACEUTICALS INC DE 7.01,8.01,9.01 04/26/13
SUPREME INDUSTRIES INC DE 2.02,9.01 04/25/13
SYCAMORE NETWORKS INC DE 8.01 04/22/13
SYNALLOY CORP DE 5.07 04/25/13
SYNTROLEUM CORP DE 8.01 04/26/13
TAL International Group, Inc. DE 5.07 04/23/13
TECHE HOLDING CO LA 7.01,9.01 04/25/13
TECHE HOLDING CO LA 2.02,9.01 04/24/13
Telenav, Inc. DE 2.02,9.01 04/26/13
TELLABS INC DE 2.02,9.01 04/25/13
TENNANT CO MN 1.01,5.02,5.07 04/26/13 AMEND
TEREX CORP DE 2.02,9.01 04/25/13
THOMAS PROPERTIES GROUP INC DE 3.01,9.01 04/26/13
THQ INC DE 8.01,9.01 03/15/13
TIBCO SOFTWARE INC DE 5.02,5.07,8.01,9.01 04/24/13
TOMPKINS FINANCIAL CORP NY 2.02,8.01,9.01 04/26/13
Transocean Ltd. V8 5.02 04/26/13
TreeHouse Foods, Inc. DE 5.07 04/25/13
TRI COUNTY FINANCIAL CORP /MD/ MD 5.02 04/23/13
TRINITY CAPITAL CORP NM 4.02,7.01,9.01 04/23/13
Trinity Place Holdings Inc. DE 5.02,8.01 04/22/13
TripAdvisor, Inc. DE 5.02 04/23/13
Trovagene, Inc. DE 1.01 04/25/13
TYCO INTERNATIONAL LTD V8 2.02,9.01 04/26/13
U.S. Auto Parts Network, Inc. DE 5.08 04/23/13
UBS-Barclays Commercial Mortgage Trus 8.01,9.01 04/26/13
UMB FINANCIAL CORP MO 5.07 04/26/13
UMH PROPERTIES, INC. MD 9.01 04/26/13
UMH PROPERTIES, INC. MD 9.01 04/26/13 AMEND
Uni-Pixel DE 5.07 04/26/13
UNITED BANCORP INC /MI/ MI 2.02,7.01,9.01 04/26/13
UNITED PARCEL SERVICE INC DE 2.02,9.01 04/25/13
UNITY BANCORP INC /NJ/ NJ 5.07 04/26/13
UNIVERSAL HEALTH SERVICES INC DE 2.02,9.01 04/25/13
Universal Truckload Services, Inc. MI 1.01,4.01,5.02,9.01 04/24/13
V F CORP PA 2.02,7.01,9.01 04/26/13
VASOMEDICAL, INC DE 5.02 04/17/13
VENTAS INC DE 2.02,9.01 04/26/13
VHGI HOLDINGS, INC. DE 1.01,2.03,9.01 04/22/13
VIAD CORP DE 2.02,9.01 04/26/13
VISTAPRINT N.V. P7 2.02,9.01 04/25/13 AMEND
VIVUS INC CA 8.01,9.01 04/26/13
VONAGE HOLDINGS CORP DE 5.02,9.01 04/25/13
VSB BANCORP INC NY 5.07 04/23/13
W. S. Industries, Inc. NV 1.01 04/22/13
WASHINGTON TRUST BANCORP INC RI 5.07 04/23/13
WEBSTER FINANCIAL CORP DE 5.07 04/25/13
WELLS FARGO & COMPANY/MN DE 5.02,5.07,9.01 04/23/13
WEST CORP DE 2.02,9.01 04/25/13
WEYERHAEUSER CO WA 2.02,9.01 04/26/13
Wilhelmina International, Inc. DE 1.01,3.03,9.01 04/24/13
WILLIS GROUP HOLDINGS PLC L2 1.01,5.02,9.01 04/23/13
WISCONSIN ELECTRIC POWER CO WI 5.07 04/25/13
WisdomTree Investments, Inc. DE 2.02,9.01 04/26/13
WMX Group Holdings, Inc. FL 5.02 04/24/13
WORLD WRESTLING ENTERTAINMENTINC DE 5.07 04/26/13
WSFS FINANCIAL CORP DE 2.02,9.01 04/25/13
X-CHANGE CORP NV 4.01,9.01 04/25/13
YAHOO INC DE 5.02,8.01,9.01 04/22/13
Yasheng Group CA 5.02 04/23/13
Zeltiq Aesthetics Inc DE 2.02,9.01 04/25/13
http://www.sec.gov/news/digest/2013/dig042913.htm
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