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Commission announcementsReport on Administrative ProceedingsThe Report on Administrative Proceedings for the Period October 1, 2012 through March 31, 2013 has been issued, giving summary statistical information on the Commission's administrative proceedings caseload. The report is published in the SEC Docket and appears on the Commission’s website. (Rel. 34-69479). ENFORCEMENT PROCEEDINGSDefendant in Commission Action Sentenced on Related Criminal Charges, Receives 17 Year SentenceThe Securities and Exchange Commission (Commission) announced that on April 26, 2013, Arnett L. Waters of Milton, Massachusetts, a principal of a broker-dealer and investment adviser who is a defendant in a securities fraud action filed by the Commission in May 2012, was sentenced to 17 years in federal prison in a separate criminal action for orchestrating a securities fraud and for defrauding rare coin investment customers. Waters was also sentenced to three years of supervised release and $9,025,691 in restitution and forfeiture. The criminal charges were brought by the U.S. Attorney for the District of Massachusetts. Waters' guilty plea to securities fraud and other charges occurred on November 29, 2012, and followed an earlier guilty plea by Waters in October 2012 to criminal contempt charges for violating a preliminary injunction order obtained by the Commission in its case. The Commission's Order barring Waters from the securities industry was issued on December 3, 2012. The Commission filed an emergency enforcement action against Waters on May 1, 2012, alleging that he and two companies under his control, broker-dealer A.L. Waters Capital, LLC and investment adviser Moneta Management, LLC, defrauded investors from at least 2009-2012 by, among other things, misappropriating investor funds and spending it on personal expenses. On May 3, 2012, the Court entered a preliminary injunction order that, among other things, froze Waters' assets and required him to provide an accounting of all his assets to the Commission. On August 7, 2012, the Commission filed a civil contempt motion against Waters, alleging that he had violated the court's preliminary injunction order by establishing an undisclosed bank account, transferring funds to that account, dissipating assets, and failing to disclose the bank account to the Commission, as required by the Court's order. On August 9, 2012, the U.S. Attorney for the District of Massachusetts filed a separate criminal contempt action against Waters based on the same allegations. On October 2, 2012, Waters pleaded guilty to the criminal contempt charges, and the Court ordered him detained pending sentencing. On December 3, 2012, the Commission barred Waters from the securities industry, based on his October 2, 2012 guilty plea to criminal contempt. The Order bars Waters from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. The U.S. Attorney for the District of Massachusetts charged Waters with an array of securities fraud and other violations on October 17, 2012. On November 29, 2012, Waters pleaded guilty to sixteen counts of securities fraud, mail fraud, money laundering, and obstruction of justice. The counts of the criminal information to which Waters pleaded guilty alleged that, from at least 2007 through 2012, he used fictitious investment-related partnerships to draw in investors, misappropriate their investment money, and spend the vast majority of it on personal and business expenses and debts. Waters raised at least $839,000 from at least thirteen investors, including $500,000 from his church in March 2012. Waters also pleaded guilty to engaging in a criminal scheme to defraud clients of his rare coin business. Under this scheme, Waters defrauded coin customers out of as much as $7.8 million by selling coins at prices inflated, on average, by 600% and by inducing coin purchasers to return coins to him, on the false representation that he would sell those coins on the customers’ behalf, when, in fact, he sold most or all of the coins and kept the proceeds for himself. The criminal information to which Waters pleaded guilty further alleged that he engaged in money laundering through two transactions totaling $77,000. Finally, Waters pleaded guilty to allegations that he made multiple misrepresentations to Commission staff, including that there were no investors in his investment-related partnerships, in order to conceal the fact that investor money was misappropriated in a fraudulent scheme. Waters was charged with obstruction of justice related to this conduct. The Commission acknowledges the assistance of the United States Attorney’s Office for the District of Massachusetts, the Federal Bureau of Investigation and FINRA in this matter. [SEC v. A.L. Waters Capital, LLC, et al., Civil Action No. 12-cv-10783-DJC (District of Massachusetts)] (LR- 22692) [United States of America v. Arnett L. Waters, Criminal No. 12-cr-10336-DJC (District of Massachusetts)] In the Matter of Joseph ContorinisThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing (Order) against Joseph Contorinis. The Order alleges that, from February 2004 through February 2008, Contorinis was a Managing Director and registered representative of Jefferies & Company, a broker-dealer registered with the Commission. On February 5, 2009, the Commission filed insider trading charges against Contorinis in an action titled Securities and Exchange Commission v. Joseph Contorinis, et al., Civil Action Number 09 CV 1043 (S.D.N.Y.). See SEC Release No. 20884 (Feb. 5, 2009). The Order also alleges that, on February 29, 2012, a final judgment was entered against Contorinis in that civil action permanently enjoining him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission’s complaint alleged that Contorinis was a portfolio manager for the Jefferies Paragon Fund, a Jefferies Group, Inc. hedge fund. The complaint further alleged that, during January 2006, Contorinis engaged in insider trading in the securities of Albertsons, Inc. (ABS), which generated profits of approximately $7.2 million for the Paragon Fund. Contorinis did so while in possession of material nonpublic information concerning the impending acquisition of ABS by a consortium of investors, which was publicly announced on January 23, 2006. The Order further alleges that, on October 6, 2010, Contorinis was convicted of one count of conspiracy to commit securities fraud and seven counts of securities fraud in a related criminal case. See United States v. Joseph Contorinis, 09 CR 1083 (RJS). The Order alleges that Contorinis was sentenced to six years imprisonment, among other things, based on his criminal conviction. Contorinis currently is serving that sentence at the Federal Correctional Institution in Schuylkill, Pennsylvania. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations in the Order are true, and to provide Contorinis an opportunity to dispute the allegations, and to determine what, if any, remedial action is appropriate in the public interest against Contorinis. The Order directs the Administrative Law Judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. 34-69472; Rel. IA-3596; File No. 3-15308) In the Matter of Artfest International, Inc.An Administrative Law Judge issued an Initial Decision as to Artfest International, Inc. (Artfest), in Artfest International, Inc., Admin. Proc. File No. 3-15207. The Initial Decision finds that Artfest had securities registered with the Securities and Exchange Commission pursuant to Section 12(g) of the Securities Exchange Act of 1934, that it failed to file required period reports since it last filed a Form 10-K/A on October 20, 2011, that its representation that it had retained an auditor to file the missing reports was false because it had not paid a required $2,000 retainer, and that the evidence supported revocation of its registered securities as necessary or appropriate for the protection of investors. The allegations in the Order Instituting Proceedings have been resolved as to all other Respondents in Artfest International, Inc., in Exchange Act Release Nos. 69049 (March 6, 2013), 69292 (April 4, 2012). (ID-485; File No. 3-15207) Default Entered as to e-SIM, Ltd.An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default as to e-SIM, Ltd. (Default Order), in Advance Nanotech, Inc., Admin. Proc. File No. 3-15201. The Order Instituting Proceedings alleged that e-SIM, Ltd. (e-SIM), repeatedly failed to file timely periodic reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of e-SIM’s registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act). Only Respondents Crystallex International Corp. (Crystallex) and EcoReady Corp. (EcoReady) remain in the proceeding. See Advance Nanotech, Inc., Exchange Act Release Nos. 68968, 69097, 69207 (Feb. 22, Mar. 11 & 22, 2013). The proceeding has been stayed as to Crystallex and EcoReady. See Advance Nanotech, Inc., Admin. Proc. File No. 3-15201 (A.L.J. Apr. 5, 2013). (Rel. 34- 69476; File No. 3-15201) Default Entered in Indigo Aviation AB ProceedingAn Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) in Indigo Aviation AB, Admin. Proc. File No. 3-15243. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true as to Indigo Aviation AB, Industra Service Corp. (a/k/a American Eco Corp.), Infinity Products, Inc., and Insight Medical Group, Inc. (n/k/a Telycom Technologies, Inc.), and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34- 69475; File No. 3-15243) Default Entered in Allonline.com, Inc.,An Administrative Law Judge (ALJ) issued an Order on Motion, Making Findings, and Revoking Registrations by Default in Allonline.com, Inc., Admin. Proc. File No. 3-15252 (Default Order). The Default Order does two things. First, it amends the Order Instituting Proceedings to clarify that the named Respondent is M. L. Cass Petroleum Corp. Second, it finds that Allonline.com, Inc., Bonded Motors, Inc., M. L. Cass Petroleum Corp., Cyber Grind, Inc., Cygni Investments, Inc., Czech Connection, Inc., and Dynatec International, Inc., are issuers of securities registered pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act), and that they have not complied with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Securities and Exchange Commission. As a result, the ALJ found it necessary and appropriate for the protection of investors to revoke the registration of each class of each issuer’s registered securities. (Rel. 34-69474; File No. 3-15252) Commission Revokes Registration of Securities of Crystallex International Corp. for Failure to Make Required Periodic FilingsOn April 30, 2013, the Commission revoked the registration of each class of registered securities of Crystallex International Corp. (Crystallex International) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Crystallex International consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Crystallex International Corp. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Crystallex International’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Crystallex International in In the Matter of Advance Nanotech, Inc., et al., Administrative Proceeding File No. 3-15201. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked. (Rel. 34-69473; File No. 3-15201) RULES AND RELATED MATTERSW2007 Grace Acquisition I, Inc.The Commission has issued a notice giving interested persons an opportunity to request a hearing on an application by W2007 Grace Acquisition I, Inc. under Section 12(h) of the Securities Exchange Act of 1934. The application, File Number 81-939, requests that the Commission issue an order conditionally exempting W2007 Grace Acquisition I from the requirement to file reports under Section 15(d) of the Exchange Act. Publication is expected in the Federal Register during the week of April 29th. (Rel. 34-69477) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangeThe Fixed Income Clearing Corporation (“FICC”) filed a proposed rule change (File No. SR-FICC-2013-02) under Section19(b)(1) of the Securities Exchange Act of 1934 to include options on interest rate futures contracts with maturities not longer than two years in the one-pot cross-margining arrangement between FICC’s Government Securities Division and New York Portfolio Clearing, LLC. Publication is expected in the Federal Register during the week of April 29th. (Rel. 34-69470) 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. F-3D Just Energy Group Inc., 6345 DIXIE ROAD, SUITE 200, MISSISSAUGA, A6,
L5T 2E6, 905-795-4206 - 0 ($49,120,000.00) Equity, (File 333-188184 -
Apr. 29) (BR. 02C)
S-1 Restoration Hardware Holdings Inc, 15 KOCH ROAD, SUITE J, CORTE MADERA,
CA, 94925, 415-924-1005 - 0 ($200,000,000.00) Equity,
(File 333-188185 - Apr. 29) (BR. 02)
S-1 AASTROM BIOSCIENCES INC, 24 FRANKL LLOYD WRIGHT DR, PO BOX 376,
ANN ARBOR, MI, 48106, 7349305555 - 0 ($25,000,000.00) Equity,
(File 333-188186 - Apr. 29) (BR. 01A)
N-2 KAYNE ANDERSON MIDSTREAM/ENERGY FUND, INC., 717 TEXAS AVENUE,
SUITE 3100, HOUSTON, TX, 77002, 310-284-6438 -
0 ($300,000,000.00) Equity, (File 333-188190 - Apr. 29) (BR. 17)
S-3ASR APPLE INC, ONE INFINITE LOOP, CUPERTINO, CA, 95014, (408) 996-1010 -
0 ($0.00) Debt, (File 333-188191 - Apr. 29) (BR. 03C)
S-3ASR TJX COMPANIES INC /DE/, 770 COCHITUATE RD, FRAMINGHAM, MA, 01701,
508-390-2662 - 0 ($0.00) Debt, (File 333-188192 - Apr. 29) (BR. 09B)
S-4 Riverview Financial Corp, THIRD AND MARKET STS, PO BOX A, HALIFAX, PA,
17032, 717-896-3433 - 0 ($47,052,750.00) Equity, (File 333-188193 -
Apr. 29) (BR. 07C)
S-8 LaPorte Bancorp, Inc., 710 INDIANA AVENUE, LAPORTE, IN, 46350,
(219) 362-7511 - 412,155 ($2,967,381.08) Equity, (File 333-188208 -
Apr. 29) (BR. 07)
S-1 Regado Biosciences Inc, 120 MOUNTAIN VIEW BOULEVARD, BASKING RIDGE, NJ,
00000, 908.580.2111 - 0 ($75,000,000.00) Equity, (File 333-188209 -
Apr. 29) (BR. 01B)
S-1 Integrity Applications, Inc., 102 HA'AVODA STREET, P.O.BOX 432,
ASHKELON, L3, 78100, 972 (8) 675-7878 -
2,389,590 ($19,714,117.50) Equity, (File 333-188210 - Apr. 29) (BR. 10A)
S-1 BG Medicine, Inc., 610N LINCOLN STREET, WALTHAM, MA, 02451,
781-890-1199 - 4,106,071 ($7,062,442.12) Equity, (File 333-188211 -
Apr. 29) (BR. 01B)
S-3 DATALINK CORP, 8170 UPLAND CIRCLE, CHANHASSEN, MN, 55317,
(952) 944-3462 - 0 ($79,012,375.00) Other, (File 333-188212 - Apr. 29)
(BR. 03A)
S-8 BG Medicine, Inc., 610N LINCOLN STREET, WALTHAM, MA, 02451,
781-890-1199 - 494,990 ($851,382.80) Equity, (File 333-188213 -
Apr. 29) (BR. 01B)
S-11 Cherry Hill Mortgage Investment Corp, 301 HARPER DRIVE, SUITE 110,
MOORESTOWN, NJ, 08057, (856) 626-2663 - 0 ($149,500,000.00) Equity,
(File 333-188214 - Apr. 29) (BR. 08B)
S-1 ProShares Trust II, 7501 WISCONSIN AVE, SUITE 1000, BETHESDA, MD,
20814, 240-497-6400 - 0 ($2,650,000,000.00) Other, (File 333-188215 -
Apr. 29) (BR. 08B)
S-3ASR YUM BRANDS INC, 1441 GARDINER LANE, LOUISVILLE, KY, 40213, 5028748300 -
0 ($0.00) Debt, (File 333-188216 - Apr. 29) (BR. 05C)
S-8 FEDERATED NATIONAL HOLDING CO, 14050 NW 14 STREET, SUITE 180, SUNRISE,
FL, 33323, 9545819993 - 0 ($9,219,148.72) Equity, (File 333-188217 -
Apr. 29) (BR. 01A)
S-3ASR XEROX CORP, 45 GLOVER AVENUE, PO BOX 4505, NORWALK, CT, 06856,
2039683000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-188218 - Apr. 29) (BR. 03A)
S-3 Synthetic Biologics, Inc., 155 GIBBS STREET, SUITE 412, ROCKVILLE, MD,
20850, (734) 332-7800 - 10,788,065 ($16,505,739.00) Equity,
(File 333-188219 - Apr. 29) (BR. 01A)
S-8 CONCUR TECHNOLOGIES INC, 18400 NE UNION HILL ROAD, REDMOND, WA, 98052,
4257028808 - 0 ($828,727,958.70) Equity, (File 333-188221 - Apr. 29)
(BR. 03C)
S-8 KELLOGG CO, ONE KELLOGG SQ, P O BOX 3599, BATTLE CREEK, MI, 49016-3599,
2699612000 - 25,900,000 ($1,701,630,000.00) Equity, (File 333-188222 -
Apr. 29) (BR. 04B)
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
1ST SOURCE CORP IN 5.07 04/25/13
ABBOTT LABORATORIES IL 5.07 04/26/13
ABERCROMBIE & FITCH CO /DE/ DE 8.01,9.01 03/26/13
ACADIA REALTY TRUST MD 2.02,9.01 04/23/13
ACTUATE CORP DE 2.02,9.01 04/29/13
ADCARE HEALTH SYSTEMS INC OH 8.01 04/29/13
ADVENT SOFTWARE INC /DE/ DE 2.02,9.01 04/29/13
AGREE REALTY CORP DE 2.02,9.01 04/29/13
ALIMERA SCIENCES INC DE 8.01 04/29/13
ALLEGHANY CORP /DE DE 5.07 04/26/13
Allison Transmission Holdings Inc DE 2.02,9.01 04/29/13
ALMAH,INC NV 5.03,9.01 04/23/13
ALPHA & OMEGA SEMICONDUCTOR Ltd 2.02,2.06,9.01 04/26/13
Altisource Portfolio Solutions S.A. N4 1.01,2.01,9.01 04/12/13 AMEND
AMERICAN CAPITAL, LTD 5.07 04/26/13
AMERICAN LEARNING Corp NY 8.01,9.01 04/29/13
ANADIGICS INC DE 2.02,9.01 04/29/13
Anchor Bancorp WA 2.02,9.01 04/26/13
ANWORTH MORTGAGE ASSET CORP MD 2.02,9.01 04/29/13
APOLLO INVESTMENT CORP MD 8.01,9.01 04/29/13
ARC Group Worldwide, Inc. UT 5.02,8.01,9.01 04/29/13
ARCH CAPITAL GROUP LTD. 2.02 04/29/13
ARI NETWORK SERVICES INC /WI WI 1.01,1.02,2.03, 04/25/13
3.03,8.01,9.01
Arlington Asset Investment Corp. VA 1.01,9.01 04/23/13
ARMSTRONG WORLD INDUSTRIES INC PA 2.02,7.01,9.01 04/29/13
ARTS WAY MANUFACTURING CO INC DE 5.07 04/25/13
Asia Carbon Industries, Inc. MD 5.02,9.01 04/16/13
ASIAINFO-LINKAGE, INC DE 2.02,5.07,9.01 04/25/13
ASPEN INSURANCE HOLDINGS LTD D0 8.01,9.01 04/25/13
ASSET ACCEPTANCE CAPITAL CORP 2.02,9.01 04/29/13
ASTEC INDUSTRIES INC TN 5.07 04/25/13
Astex Pharmaceuticals, Inc DE 2.02,9.01 04/29/13
AT&T INC. DE 5.07 04/26/13
Atlas Energy, L.P. DE 5.02 04/25/13
AUTOZONE INC NV 2.03,9.01 04/29/13
AUXILIUM PHARMACEUTICALS INC DE 1.01,2.01,2.02, 04/26/13
3.02,7.01,8.01,9.01
AVEO PHARMACEUTICALS INC DE 2.02,9.01 04/29/13
AZZ INC TX 5.03,9.01 04/29/13
BALLY TECHNOLOGIES, INC. NV 2.02,9.01 04/24/13
BANK OF HAWAII CORP DE 5.07 04/26/13
BANK OF HAWAII CORP DE 8.01 04/24/13
BAR HARBOR BANKSHARES ME 2.02 04/29/13
BARRETT BUSINESS SERVICES INC MD 7.01 04/29/13
BEAM INC DE 5.07 04/23/13
Behringer Harvard Opportunity REIT II MD 7.01,9.01 04/29/13
BIO RAD LABORATORIES INC DE 5.07 04/23/13
Bio-Carbon Solutions International In NV 1.01,2.01,9.01 04/26/13
BIODELIVERY SCIENCES INTERNATIONAL IN DE 5.02,9.01 04/23/13
BLACK HAWK EXPLORATION 5.02 04/23/13
Bloomin' Brands, Inc. DE 5.07 04/24/13
BLUE CALYPSO, INC. DE 8.01,9.01 04/29/13
Blugrass Energy, Inc. NV 5.02 04/11/13
Boardwalk Pipeline Partners, LP DE 2.02,9.01 04/29/13
BOB EVANS FARMS INC DE 2.03 04/26/13
Bravo Brio Restaurant Group, Inc. OH 2.02,9.01 04/29/13
BRE PROPERTIES INC /MD/ MD 5.07 04/24/13
BRIDGETECH HOLDINGS INTERNATIONAL INC DE 3.01 04/22/13
BRYN MAWR BANK CORP PA 2.02,8.01,9.01 04/25/13 AMEND
BUFFALO WILD WINGS INC MN 2.02,9.01 04/29/13
CACHE INC FL 5.02 04/23/13
CAESARS ENTERTAINMENT Corp DE 5.02,5.07 04/29/13
CALAVO GROWERS INC CA 5.07 04/24/13
Caldera Pharmaceuticals Inc DE 1.01,3.02, 04/23/13
5.02,5.03,9.01
CAMCO FINANCIAL CORP DE 2.02,9.01 04/29/13
CANANDAIGUA NATIONAL CORP NY 5.02 04/24/13
CANANDAIGUA NATIONAL CORP NY 5.02 04/24/13 AMEND
CAPITAL CITY BANK GROUP INC FL 5.07 04/23/13
CAPITAL SOUTHWEST CORP TX 2.02,9.01 04/29/13
CAPITALSOURCE INC DE 2.02,5.07,7.01,9.01 04/25/13
Capitol Federal Financial Inc MD 2.02,9.01 04/29/13
CAPSTEAD MORTGAGE CORP MD 7.01,9.01 04/26/13
CAROLINA BANK HOLDINGS INC NC 2.02,9.01 04/29/13
CECIL BANCORP INC MD 5.02,9.01 04/24/13
Celanese Corp DE 5.07,7.01,9.01 04/25/13
CENTERLINE HOLDING CO DE 1.01,3.03,5.03, 04/28/13
7.01,9.01
CENTRAL EUROPEAN MEDIA ENTERPRISES LT 1.01,3.02,7.01,9.01 04/29/13
CENTRAL EUROPEAN MEDIA ENTERPRISES LT 2.02,9.01 04/29/13
CENTRAL EUROPEAN MEDIA ENTERPRISES LT 8.01,9.01 04/29/13
CHAMBERS STREET PROPERTIES MD 8.01,9.01 04/26/13
CHART INDUSTRIES INC DE 7.01,9.01 04/25/13
Chatham Lodging Trust MD 2.03,9.01 04/25/13
CHOICE HOTELS INTERNATIONAL INC /DE DE 2.02,9.01 04/29/13
CHROMCRAFT REVINGTON INC DE 3.01,8.01,9.01 04/29/13
Chrysler Group LLC DE 2.02,9.01 04/29/13
CHURCHILL DOWNS INC KY 5.07 04/29/13
CHUY'S HOLDINGS, INC. DE 5.02,9.01 04/25/13
CITIZENS HOLDING CO /MS/ MS 2.02,7.01,9.01 04/26/13
CITY HOLDING CO WV 2.02,9.01 04/23/13
CKX LANDS, INC. LA 5.02 04/25/13
CLECO CORP LA 2.02,9.01 04/29/13
CMS ENERGY CORP MI 7.01,9.01 04/29/13
CNA FINANCIAL CORP DE 2.02,9.01 04/29/13
CNL Healthcare Properties, Inc. MD 1.01,9.01 04/23/13
COGNEX CORP MA 2.02,9.01 04/29/13
COLE CORPORATE INCOME TRUST, INC. MD 7.01,8.01,9.01 04/23/13
COLLECTORS UNIVERSE INC DE 7.01,9.01 04/29/13
COLONIAL PROPERTIES TRUST AL 5.02,5.07 04/23/13
COMERICA INC /NEW/ DE 5.02,5.07,9.01 04/23/13
COMMUNITY HEALTH SYSTEMS INC DE 2.02,7.01,9.01 04/29/13
COMPASS MINERALS INTERNATIONAL INC DE 2.02,9.01 04/29/13
COMSTOCK RESOURCES INC NV 2.02,9.01 03/31/13
CONCEPTUS INC DE 1.01,2.02,9.01 04/28/13
CONCEPTUS INC DE 8.01,9.01 04/29/13
ConnectOne Bancorp, Inc. NJ 2.02,9.01 04/26/13
CORONADO BIOSCIENCES INC DE 1.01,9.01 04/29/13
CREDIT ACCEPTANCE CORP MI 1.01,2.03,9.01 04/25/13
CU Bancorp CA 2.02,9.01 04/25/13
CYS Investments, Inc. MD 3.03,5.03,8.01,9.01 04/23/13
CYTEC INDUSTRIES INC/DE/ DE 8.01,9.01 04/26/13
DATALINK CORP MN 2.02,9.01 04/29/13
DCP Holding CO OH 5.02,5.07 04/24/13
Dealertrack Technologies, Inc DE 5.02,7.01,9.01 04/25/13
DELL INC DE 5.02,9.01 04/26/13
DELTA OIL & GAS INC 5.02 04/25/13
diaDexus, Inc. DE 5.07 04/25/13
Diamond Foods Inc DE 7.01,9.01 04/29/13
DIEBOLD INC OH 5.07 04/25/13
DIGI INTERNATIONAL INC DE 5.02 04/24/13
DSP GROUP INC /DE/ DE 2.02,9.01 04/29/13
DUKE REALTY CORP IN 2.02,5.07,9.01 04/24/13
DUNE ENERGY INC DE 1.01,7.01,8.01,9.01 04/24/13
DUPONT E I DE NEMOURS & CO DE 5.07 04/24/13
EASTMAN KODAK CO NJ 7.01,9.01 03/31/13
EASTMAN KODAK CO NJ 2.02,8.01 04/29/13
Eaton Corp plc 2.02,9.01 04/29/13
EDISON INTERNATIONAL CA 5.07 04/25/13
Education Realty Trust, Inc. MD 2.02,7.01,9.01 04/29/13
ELECTRO SENSORS INC MN 5.02,5.07,9.01 04/24/13
EMPIRE DISTRICT ELECTRIC CO KS 5.07 04/25/13
ENERGEN CORP AL 2.02,7.01,9.01 04/26/13
ENERGIZER HOLDINGS INC MO 7.01,9.01 04/29/13
EnergySolutions, Inc. DE 5.07,8.01,9.01 04/26/13
ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 1.01,2.03,3.02,9.01 04/29/13
ERIE INDEMNITY CO PA 2.02,9.01 04/29/13
ESCALADE INC IN 8.01,9.01 04/26/13
ESCALADE INC IN 5.07 04/26/13
Express Scripts Holding Co. DE 2.02,9.01 04/29/13
Extra Space Storage Inc. MD 2.02,9.01 04/29/13
EZJR, Inc. NV 4.02,9.01 04/16/13 AMEND
Fabrinet E9 2.02,9.01 04/29/13
FAMILY DOLLAR STORES INC DE 5.02,9.01 04/29/13
Federal Home Loan Bank of Atlanta X1 2.02,9.01 04/29/13
Federal Home Loan Bank of Cincinnati X1 2.02,9.01 04/29/13
Federal Home Loan Bank of Dallas 2.02,9.01 04/29/13
Federal Home Loan Bank of Des Moines X1 2.02,7.01,9.01 04/29/13
Federal Home Loan Bank of Indianapoli X1 2.02,9.01 04/29/13
Federal Home Loan Bank of New York X1 2.02,8.01,9.01 04/29/13
Federal Home Loan Bank of Pittsburgh PA 2.02,7.01 04/29/13
Federal Home Loan Bank of Seattle 2.02,4.02 04/25/13
Federal Home Loan Bank of Seattle 2.02,9.01 04/29/13
Federal Home Loan Bank of Topeka 2.02,7.01,9.01 04/29/13
Fibrocell Science, Inc. DE 5.03,9.01 04/26/13
FIRST BANCSHARES INC /MS/ MS 2.02,7.01,9.01 04/25/13
FIRST CAPITAL INC IN 2.02,9.01 04/29/13
FIRST CITIZENS BANCSHARES INC /DE/ DE 5.07 04/23/13
FIRST FINANCIAL CORP /IN/ IN 2.02,9.01 04/29/13
First Financial Northwest, Inc. WA 8.01,9.01 04/25/13
FIRST MARBLEHEAD CORP 2.02,9.01 04/29/13
First Savings Financial Group Inc 2.02,9.01 04/23/13
FIVE STAR QUALITY CARE INC 2.02,9.01 04/29/13
FROZEN FOOD EXPRESS INDUSTRIES INC TX 2.02,9.01 04/29/13
FULTON FINANCIAL CORP PA 7.01,9.01 04/29/13
FX ENERGY INC NV 8.01,9.01 04/29/13
GALECTIN THERAPEUTICS INC NV 7.01,9.01 04/29/13
GARDNER DENVER INC DE 8.01,9.01 04/29/13
General Growth Properties, Inc. DE 2.02,7.01,9.01 04/29/13
Georgetown Bancorp, Inc. MD 2.02,8.01,9.01 04/26/13
GLACIER BANCORP INC DE 5.07 04/24/13
GLADSTONE COMMERCIAL CORP MD 2.02,9.01 04/29/13
Global Cash Access Holdings, Inc. DE 5.07 04/25/13
GLOBAL EQUITY INTERNATIONAL INC NV 1.02 04/26/13
Globalstar, Inc. DE 1.01,7.01,9.01 04/29/13
GORMAN RUPP CO OH 2.02,5.07,9.01 04/25/13
GREENWAY MEDICAL TECHNOLOGIES INC 2.02,7.01,9.01 04/29/13
Grilled Cheese Truck, Inc. NV 4.01,5.03,9.01 03/01/13
GULF ISLAND FABRICATION INC LA 5.07 04/25/13
HANDY & HARMAN LTD. DE 1.01,2.03,7.01,9.01 04/26/13
HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,9.01 04/29/13
HCP, INC. MD 5.07 04/25/13
HEALTH NET INC DE 2.02,9.01 04/29/13
HEARTLAND FINANCIAL USA INC DE 2.02,9.01 04/29/13
HeartWare International, Inc. DE 2.02,9.01 04/29/13
HELIX ENERGY SOLUTIONS GROUP INC MN 7.01,9.01 04/29/13
HERBALIFE LTD. E9 5.07 04/25/13
HERBALIFE LTD. E9 2.02,8.01,9.01 04/29/13
HERITAGE COMMERCE CORP CA 2.02,8.01,9.01 03/31/13
HERTZ CORP DE 2.02,7.01,9.01 04/29/13
HERTZ GLOBAL HOLDINGS INC 2.02,7.01,9.01 04/29/13
HF FINANCIAL CORP DE 2.02,8.01,9.01 04/29/13
Home Federal Bancorp, Inc. of Louisia LA 2.02,9.01 04/29/13
HomeStreet, Inc. WA 2.02,9.01 04/29/13
HomeTrust Bancshares, Inc. MD 2.02,9.01 04/29/13
HOPFED BANCORP INC DE 5.02,9.01 04/25/13
HORIZON BANCORP /IN/ IN 8.01 04/29/13
HSBC Finance Corp 5.03,9.01 04/24/13
HSBC USA INC /MD/ MD 5.03,9.01 04/24/13
Huixin Waste Water Solutions, Inc. E9 8.01 04/24/13
IMPAX LABORATORIES INC DE 1.02,9.01 04/29/13
IMPERIAL OIL LTD 8.01,9.01 04/27/13
Independence Bancshares, Inc. SC 5.02 04/23/13
INDEPENDENT BANK CORP MA 8.01,9.01 04/26/13
INFINITY ENERGY RESOURCES, INC DE 4.01,9.01 04/26/13
Information Services Group Inc. DE 5.07 04/26/13
INNOCAP INC 4.01 04/11/13 AMEND
INNOVATIVE SOLUTIONS & SUPPORT INC PA 7.01,9.01 04/29/13
INSPERITY, INC. DE 2.02,9.01 04/29/13
INTEGRATED DEVICE TECHNOLOGY INC DE 2.02,9.01 04/29/13
INTERNATIONAL RECTIFIER CORP /DE/ DE 2.02,9.01 04/29/13
INTERNATIONAL TOWER HILL MINES LTD A1 5.02 04/24/13
INTEVAC INC CA 2.02,9.01 04/29/13
Introbuzz NV 5.02 03/08/13
Introbuzz NV 4.01,9.01 04/29/13
iTalk Inc. NV 8.01,9.01 04/29/13
J C PENNEY CO INC DE 1.01,7.01,8.01,9.01 04/28/13
J&J SNACK FOODS CORP NJ 2.02,9.01 04/29/13
JEFFERSON BANCSHARES INC TN 2.02,9.01 04/25/13
JPMORGAN CHASE & CO DE 5.02 04/29/13
KAMAN CORP CT 2.02,9.01 04/29/13
KANSAS CITY SOUTHERN DE 1.01,2.03,8.01,9.01 04/24/13
Kansas City Southern de Mexico, S.A. 1.01,8.01,9.01 04/24/13
KAYDON CORP DE 5.02,9.01 04/29/13
KEATING CAPITAL INC 7.01,9.01 04/29/13
KFORCE INC FL 5.03,9.01 04/26/13
KMG CHEMICALS INC TX 1.01,2.03,9.01 04/29/13
KONA GRILL INC DE 2.02,9.01 04/29/13
LA JOLLA PHARMACEUTICAL CO CA 8.01 04/26/13
Labor Smart, Inc. NV 1.02,8.01,9.01 04/26/13
LAKELAND BANCORP INC NJ 8.01,9.01 04/26/13
LAS VEGAS SANDS CORP NV 7.01,9.01 04/29/13
LCNB CORP OH 5.07 04/29/13
LEAR CORP DE 1.01,9.01 04/25/13
LEUCADIA NATIONAL CORP NY 5.02,8.01,9.01 04/25/13
Liberto, Inc NV 8.01 04/25/13
Life Nutrition Products, Inc DC 4.01,9.01 04/29/13
LIFE PARTNERS HOLDINGS INC TX 4.02 11/21/11
LIFE TIME FITNESS, INC. MN 5.02,5.07,9.01 04/25/13
Lightstone Value Plus Real Estate Inv MD 8.01,9.01 04/29/13
LINCOLN ELECTRIC HOLDINGS INC OH 5.07 04/25/13
LKQ CORP DE 8.01,9.01 04/29/13
LKQ CORP DE 8.01,9.01 04/29/13
LOCKHEED MARTIN CORP MD 5.07 04/25/13
LOEWS CORP DE 2.02,9.01 04/29/13
LSI INDUSTRIES INC OH 2.02,9.01 04/29/13
LUMINEX CORP DE 2.02,9.01 04/29/13
LyondellBasell Industries N.V. P7 1.01,9.01 04/23/13
MACK CALI REALTY CORP MD 7.01,8.01,9.01 04/29/13
Macquarie Infrastructure CO LLC DE 8.01 04/29/13
Macquarie Infrastructure CO LLC DE 2.02,9.01 04/29/13
MAGELLAN MIDSTREAM PARTNERS LP DE 5.07 04/25/13
MARCHEX INC DE 7.01,9.01 04/29/13
MASCO CORP /DE/ DE 2.02,9.01 04/29/13
Matson, Inc. HI 5.07 04/25/13
MDC PARTNERS INC A6 5.02,9.01 04/25/13
MEDIA GENERAL INC VA 5.02,5.07 04/25/13
Medidata Solutions, Inc. DE 2.02,9.01 04/29/13
MEDIVATION, INC. DE 5.02,9.01 04/26/13
MELA SCIENCES, INC. /NY 5.07 04/25/13
MERCURY GENERAL CORP CA 2.02,9.01 04/29/13
MERGE HEALTHCARE INC DE 1.01,1.02,2.03,9.01 04/23/13
MGT CAPITAL INVESTMENTS INC DE 1.01,9.01 04/26/13
MICRONET ENERTEC TECHNOLOGIES, INC. DE 8.01,9.01 04/23/13
MID PENN BANCORP INC PA 2.02,8.01,9.01 04/29/13
MINDEN BANCORP, INC. LA 2.02,9.01 04/29/13
MONOLITHIC POWER SYSTEMS INC CA 2.02,9.01 04/29/13
MONROE CAPITAL Corp MD 5.02,8.01,9.01 04/29/13
Moody National REIT I, Inc. MD 1.01 04/23/13
Morgans Hotel Group Co. DE 2.02,9.01 04/29/13
Myrexis, Inc. DE 3.03,5.03,5.07,9.01 04/26/13
National Bank Holdings Corp DE 2.02,7.01,9.01 04/29/13
NATIONAL OILWELL VARCO INC DE 5.02,9.01 04/29/13
NATIONAL PENN BANCSHARES INC PA 5.07,9.01 04/23/13
NATIONAL PRESTO INDUSTRIES INC WI 2.05,9.01 04/26/13
NATUREWELL INC CA 4.02 04/25/13
NeoStem, Inc. DE 2.02,8.01,9.01 04/29/13
NEW YORK MORTGAGE TRUST INC MD 2.02,7.01,8.01,9.01 04/29/13
NEWMONT MINING CORP /DE/ DE 5.02,5.07,9.01 04/24/13
NEWMONT MINING CORP /DE/ DE 2.02,9.01 04/29/13
Nexeo Solutions Holdings, LLC DE 5.02 04/25/13
NICOLET BANKSHARES INC WI 1.01,2.01,2.03, 04/26/13
3.02,5.02,5.07
NORTHWEST INDIANA BANCORP IN 5.07 04/26/13
NORWOOD FINANCIAL CORP PA 5.07 04/23/13
NOVAVAX INC DE 5.02 04/25/13
NRG ENERGY, INC. DE 5.07 04/25/13
NTS REALTY HOLDINGS LP DE 8.01,9.01 04/29/13
Nuveen Mortgage Opportunity Term Fund MA 2.02,9.01 04/22/13
Nuveen Mortgage Opportunity Term Fund MA 2.02,9.01 04/22/13
OBA Financial Services, Inc. MD 2.02,9.01 04/25/13
OCCIDENTAL PETROLEUM CORP /DE/ DE 5.02,7.01,8.01,9.01 04/29/13
OCCIDENTAL PETROLEUM CORP /DE/ DE 5.02,8.01,9.01 04/29/13
OLD LINE BANCSHARES INC MD 4.01,9.01 04/23/13
OLD NATIONAL BANCORP /IN/ IN 2.02,9.01 04/29/13
OneBeacon Insurance Group, Ltd. 2.02,9.01 04/29/13
OneBeacon Insurance Group, Ltd. 2.02,9.01 04/29/13
ORBCOMM Inc. DE 5.07 04/25/13
ORBITAL SCIENCES CORP /DE/ DE 5.07 04/25/13
OURPETS CO CO 2.02,9.01 04/25/13
PAM TRANSPORTATION SERVICES INC DE 5.02 04/24/13
PEERLESS SYSTEMS CORP DE 2.02,9.01 04/29/13
PENN VIRGINIA CORP VA 1.01,2.01,2.03, 04/24/13
3.02,3.03,9.01
PENSKE AUTOMOTIVE GROUP, INC. DE 2.02,7.01,8.01,9.01 04/29/13
PENTAIR LTD V8 5.07 04/29/13
Peoples Federal Bancshares, Inc. 2.02,9.01 04/29/13
PEREGRINE SEMICONDUCTOR CORP DE 2.02,9.01 04/29/13
Petro River Oil Corp. DE 1.01,2.01,3.02, 04/23/13
5.01,5.02,8.01,9.01
PFIZER INC DE 5.07 04/25/13
PLUM CREEK TIMBER CO INC DE 2.02,9.01 04/29/13
PNC FINANCIAL SERVICES GROUP, INC. PA 1.01,5.02,5.07 04/23/13
POLARIS INDUSTRIES INC/MN MN 5.07 04/25/13
POPE RESOURCES LTD PARTNERSHIP DE 2.02,9.01 04/29/13
Professional Diversity Network, Inc. IL 8.01,9.01 04/29/13
PROLOR Biotech, Inc. NV 1.01,9.01 04/23/13
Protalix BioTherapeutics, Inc. FL 8.01,9.01 04/29/13
PTS INC/NV/ NV 5.02 04/26/13
PURE BIOSCIENCE, INC. DE 1.01,3.02,9.01 04/24/13
QUAKER CHEMICAL CORP PA 2.02,9.01 04/29/13
Regional Management Corp. DE 5.07 04/24/13
RENT A CENTER INC DE 7.01,9.01 04/26/13
RENT A CENTER INC DE 8.01,9.01 04/29/13
REPROS THERAPEUTICS INC. DE 8.01,9.01 04/29/13
REPROS THERAPEUTICS INC. DE 8.01,9.01 04/29/13
REPUBLIC SERVICES, INC. DE 5.02 04/29/13
RF MICRO DEVICES INC NC 2.05 03/19/13 AMEND
Riverbed Technology, Inc. DE 2.02,9.01 04/29/13
RLJ ENTERTAINMENT, INC. NV 5.02 04/23/13
ROI Acquisition Corp. DE 8.01,9.01 04/29/13
ROPER INDUSTRIES INC DE 2.02,9.01 04/28/13
Roundy's, Inc. DE 5.02,9.01 04/23/13
RUDOLPH TECHNOLOGIES INC DE 8.01,9.01 04/26/13
RYLAND GROUP INC MD 5.07 04/24/13
SALISBURY BANCORP INC CT 2.02,8.01,9.01 04/26/13
Sebring Software, Inc. NV 5.02 04/29/13
SENIOR HOUSING PROPERTIES TRUST MD 2.02,9.01 04/29/13
Sequoia Mortgage Trust 2013-6 8.01,9.01 04/29/13
Sequoia Mortgage Trust 2013-6 8.01,9.01 04/01/13
SEVERN BANCORP INC MD 1.01,1.02,5.07,8.01 04/23/13
SIMULATIONS PLUS INC 7.01,9.01 04/26/13
SINCLAIR BROADCAST GROUP INC MD 2.02,9.01 04/29/13
Sino Agro Food, Inc. NV 4.02,9.01 04/29/13
SIONIX CORP NV 1.01,2.03,3.02 01/25/13
SITEL Worldwide Corp DE 5.07 04/26/13
SMTC CORP DE 5.02,9.01 04/26/13
Solera National Bancorp, Inc. DE 2.02,9.01 04/29/13
SOUTHERN COPPER CORP/ DE 2.02,9.01 04/26/13
Southern National Bancorp of Virginia VA 5.07 04/25/13
Southern Products, Inc. NV 1.01,9.01 04/15/13
SPEEDEMISSIONS INC FL 5.02 04/22/13
Spirit Airlines, Inc. DE 5.02 04/26/13
SPORT CHALET INC DE 3.01 04/23/13
STANDARD PARKING CORP DE 5.07 04/24/13
STANDARD REGISTER CO OH 2.02,9.01 04/25/13
STURM RUGER & CO INC DE 2.02,8.01,9.01 04/29/13
Sunstone Hotel Investors, Inc. MD 8.01,9.01 04/29/13
SUNTRUST BANKS INC GA 5.02,5.07,8.01 04/23/13
Symmetry Medical Inc. DE 5.07 04/26/13
TagLikeMe Corp. NV 4.01,9.01 11/05/12 AMEND
TARA GOLD RESOURCES CORP. NV 1.01,9.01 04/22/13
TAURIGA SCIENCES, INC. FL 5.02,9.01 04/26/13
TE Connectivity Ltd. V8 2.02,2.05 04/24/13 AMEND
TELULAR CORP DE 8.01,9.01 04/29/13
TENNECO INC DE 2.02,9.01 04/29/13
Texas Roadhouse, Inc. DE 2.02,9.01 04/29/13
TGC INDUSTRIES INC TX 2.02,9.01 04/29/13
THERAVANCE INC DE 5.07 04/24/13
THESTREET, INC. DE 4.01,9.01 04/24/13
TRANSGENOMIC INC DE 5.02 04/26/13
TRANZYME INC DE 1.01,3.02, 04/23/13
5.01,5.02,9.01
TTM TECHNOLOGIES INC WA 5.02,5.07,9.01 04/23/13
U.S. RARE EARTHS, INC NV 8.01,9.01 04/25/13
Uni-Pixel DE 8.01,9.01 04/29/13
UNION FIRST MARKET BANKSHARES CORP VA 2.02,5.02,5.03, 04/23/13
5.07,8.01,9.01
UNITED BANCORP INC /OH/ OH 2.02,9.01 04/25/13
UNITED BANCSHARES INC/OH OH 5.07 04/24/13
UNITED ONLINE INC DE 8.01 04/29/13
UNS Energy Corp AZ 2.02,9.01 04/26/13
USANA HEALTH SCIENCES INC UT 5.07 04/24/13
VALENCE TECHNOLOGY INC DE 7.01,9.01 04/22/13
Vanda Pharmaceuticals Inc. DE 1.01,9.01 04/25/13
VIRGINIA COMMERCE BANCORP INC 5.07 04/24/13
Vulcan Materials CO NJ 5.02,9.01 04/29/13
WABASH NATIONAL CORP /DE DE 1.01,2.03,9.01 04/25/13
WAUSAU PAPER CORP. WI 2.02,9.01 04/29/13
WELLS FARGO & COMPANY/MN DE 9.01 04/29/13
Wells Timberland REIT, Inc. MD 7.01,9.01 04/29/13
Wesco Aircraft Holdings, Inc 2.02,9.01 04/29/13
WESCORP ENERGY INC DE 5.02,8.01 04/26/13
WHITE MOUNTAINS INSURANCE GROUP LTD D0 2.02,9.01 04/29/13
WILLIAM LYON HOMES DE 5.02,5.07 04/23/13
WMS INDUSTRIES INC /DE/ DE 8.01 04/29/13
WSFS FINANCIAL CORP DE 5.07 04/25/13
XcelMobility Inc. NV 1.01,9.01 04/29/13
XL GROUP PLC L2 5.02,5.07,9.01 04/26/13
ZAGG Inc NV 5.02 04/27/13
ZHONG SEN INTERNATIONAL TEA CO FL 4.01,9.01 04/17/13 AMEND
ZIONS BANCORPORATION /UT/ UT 7.01,9.01 04/29/13
http://www.sec.gov/news/digest/2013/dig043013.htm
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