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INVESTMENT COMPANY ORDERSFidelity Merrimack Street Trust, et al.An order has been issued on an application filed by Fidelity Merrimack Street Trust, et al. The order 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 from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; (e) certain registered management investment companies and unit investment trusts to acquire Shares; and (f) certain series to perform creations and redemptions of Shares in-kind in a master feeder structure. (Rel. IC-30513 - May 10, 2013) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2013-40) establishing Non-Display Usage Fees and amending the Professional End-User Fees for NYSE Amex Options market data 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 May 13th. (Rel. 34-69553) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2013-47) establishing Non-Display Usage Fees and amending the Professional End-User Fees for NYSE Arca Options market data 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 May 13th. (Rel. 34-69554) A proposed rule change filed by NASDAQ OMX PHLX relating to pricing for mini options (SR-Phlx-2013-45) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 13th. (Rel. 34-69555) A proposed rule change filed by the Chicago Stock Exchange, Inc. (SR-CHX-2013-09) to amend Chicago Stock Exchange, Inc. Article 6, Rule 12, Anti-Money Laundering Compliance Program, to revise and add provisions that are substantially similar to the rules of the NYSE Arca, Inc., the Chicago Board Options Exchange, Incorporated and the Financial Industry Regulatory Authority, Inc. that govern the frequency with which a Participant Firm must conduct independent testing of its Anti-Money Laundering Compliance Program has become immediately 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 May 13th. (Rel. 34-69552) A proposed rule change filed by The NASDAQ Stock Market LLC relating to penny pilot options and non-penny pilot options (SR-NASDAQ-2013-074) 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 May 13th. (Rel. 34-69559) A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to the Complex Order Router Subsidy Program (SR-CBOE-2013-050) 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 May 13th. (Rel. 34-69560) Notice of Proposed Rule ChangeChicago Board Options Exchange, Incorporated filed a proposed rule change (SR-CBOE-2013-045), as modified by Amendment Nos. 1 and 2, relating to Trading Permit Holder business continuity plans. Publication is expected in the Federal Register during the week of May 13th. (Rel. 34- 69537) Order Granting Approval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change (SR-CBOE-2013-035) submitted by Chicago Board Options Exchange, Incorporated pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to exchange trading days and hours of business and trading halts. Publication is expected in the Federal Register during the week of May 13th. (Rel. 34-69558) Notice of Filing of and No Objection to Advance NoticeNational Securities Clearing Corporation (NSCC) filed an advance notice (File No. SR-NSCC-2013-803) under Section 806(e)(1)(A) of the Payment, Clearing, and Settlement Supervision Act of 2010 (Clearing Supervision Act) to renew its existing Credit Facility. The Commission has issued a notice of no objection under Section 806(e)(1)(G) of the Clearing Supervision Act to that advance notice (File No. SR-NSCC-2013-803). Publication is expected in the Federal Register during the week of May 13th. (Rel. 34-69557) The Depository Trust Company (DTC) filed an advance notice (File No. SR-DTC-2013-802) under Section 806(e)(1)(A) of the Payment, Clearing, and Settlement Supervision Act of 2010 (Clearing Supervision Act) to renew its existing Credit Facility. The Commission has issued a notice of no objection under Section 806(e)(1)(G) of the Clearing Supervision Act to that advance notice (File No. SR-DTC-2013-802). Publication is expected in the Federal Register during the week of May 13th. (Rel. 34-69556) 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-8 DEVRY INC, 3005 HIGHLAND PARKWAY, DOWNERS GROVE, IL, 60515,
6305157700 - 3,000,000 ($83,490,000.00) Equity, (File 333-188499 -
May. 10) (BR. 11C)
S-8 HANDENI GOLD INC., 228 REGENT ESTATE, DAR ES SALAAM, W0, -,
011-255-222-70-00-84 - 40,000,000 ($6,760,000.00) Equity,
(File 333-188500 - May. 10) (BR. 09B)
S-3ASR EPL OIL & GAS, INC., 201 ST CHARLES AVENUE, SUITE 3400, NEW ORLEANS,
LA, 70170, 5045691875 - 0 ($233,408,007.00) Equity, (File 333-188501 -
May. 10) (BR. 04A)
S-3ASR BURLINGTON NORTHERN SANTA FE, LLC, 2650 LOU MENK DR, FT WORTH, TX,
76131-2830, 8007952673 - 0 ($0.00) Debt, (File 333-188502 - May. 10)
(BR. 05A)
S-8 CASS INFORMATION SYSTEMS INC, 12444 POWERSCOURT DRIVE, ST. LOUIS, MO,
63131, 314-506-5500 - 435,000 ($17,978,550.00) Equity,
(File 333-188504 - May. 10) (BR. 02A)
S-8 BioDrain Medical, Inc., 2915 COMMERS DRIVE,, SUITE 900, EAGAN, MN,
55121, (612) 850-9460 - 30,000,000 ($5,100,000.00) Equity,
(File 333-188510 - May. 10) (BR. 10A)
S-8 C & F FINANCIAL CORP, EIGHTH & MAIN STREETS, P O BOX 391, WEST POINT,
VA, 23181, 8048432360 - 500,000 ($22,013,750.00) Equity,
(File 333-188512 - May. 10) (BR. 07B)
S-8 MOBILE MINI INC, 7420 SOUTH KYRENE ROAD, SUITE #101, TEMPE, AZ, 85283,
480-894-6311 - 0 ($62,900,000.00) Equity, (File 333-188513 - May. 10)
(BR. 06B)
S-8 American Residential Properties, Inc., 7047 EAST GREENWAY PARKWAY,
SUITE 350, SCOTTSDALE, AZ, 85254, (480) 474-4800 -
0 ($30,495,000.00) Equity, (File 333-188514 - May. 10) (BR. 08C)
S-8 Cooper-Standard Holdings Inc., 39550 ORCHARD HILL PLACE DRIVE, NOVI,
MI, 48375, 248-596-5900 - 0 ($139,095,445.00) Other, (File 333-188516 -
May. 10) (BR. 05A)
S-8 Anheuser-Busch InBev S.A., BROUWERIJPLEIN 1, 3000 LEUVEN, BELGIUM, C9,
00000, 0113216315769 - 0 ($575,340,000.00) Equity, (File 333-188517 -
May. 10) (BR. 09B)
S-3 Wesco Aircraft Holdings, Inc, 27727 AVENUE SCOTT, VALENCIA, CA, 91355,
661-775-7200 - 0 ($417,250,000.00) Equity, (File 333-188518 - May. 10)
(BR. 06A)
S-8 CROSS COUNTRY HEALTHCARE INC, 6551 PARK OF COMMERCE BLVD, SUITE 200,
BOCA RATON, FL, 33487, 8003472264 - 2,000,000 ($10,080,000.00) Equity,
(File 333-188519 - May. 10) (BR. 11A)
S-8 Oro East Mining, Inc., 1127 WEBSTER STREET, SUITE 28, OAKLAND, CA,
94607, (510) 544-1516 - 5,000,000 ($1.00) Equity, (File 333-188520 -
May. 10) (BR. 07C)
S-8 PostRock Energy Corp, 210 PARK AVENUE, SUITE 2750, OKLAHOMA CITY, OK,
73102, (405)600-7704 - 4,000,000 ($5,400,000.00) Equity,
(File 333-188522 - May. 10) (BR. 04B)
S-8 PostRock Energy Corp, 210 PARK AVENUE, SUITE 2750, OKLAHOMA CITY, OK,
73102, (405)600-7704 - 5,000,000 ($6,750,000.00) Equity,
(File 333-188523 - May. 10) (BR. 04B)
F-10 BELL CANADA, 1 CARREFOUR ALEXANDER-GRAHAM-BELL, VERDUN, A8, H3E 3B3,
514-786-3891 - 0 ($893,793,416.00) Debt, (File 333-188525 - May. 10)
(BR. 11C)
S-8 SEMPRA ENERGY, 101 ASH STREET, P O BOX 129400, SAN DIEGO, CA, 92101,
6196962000 - 10,900,000 ($907,970,000.00) Equity, (File 333-188526 -
May. 10) (BR. 02B)
S-8 SCIQUEST INC, 6501 WESTON PARKWAY, SUITE 200, CARY, NC, 27513,
9196592100 - 0 ($84,490,000.00) Equity, (File 333-188527 - May. 10)
(BR. 03A)
S-8 COLGATE PALMOLIVE CO, 300 PARK AVE, NEW YORK, NY, 10022, 2123102000 -
39,000,000 ($4,686,630,000.00) Equity, (File 333-188528 - May. 10)
(BR. 06C)
N-2 ABERDEEN ASIA-PACIFIC INCOME FUND INC, 1735 MARKET STREET, 32ND FLOOR,
PHILADELPHIA, PA, 19103, 215-405-5700 - 0 ($100,000,000.00) Equity,
(File 333-188529 - May. 10) (BR. 17)
S-8 CASTLE A M & CO, 1420 KENSINGTON ROAD, SUITE 220, OAK BROOK, IL, 60523,
8474557111 - 600,000 ($10,716,000.00) Equity, (File 333-188530 -
May. 10) (BR. 05C)
S-8 Uni-Pixel, 8708 TECHNOLOGY FOREST PLACE - SUITE 100, THE WOODLANDS, TX,
77381, 281-825-4500 - 800,000 ($28,504,000.00) Equity,
(File 333-188531 - May. 10) (BR. 10B)
S-8 SKULLCANDY, INC., 1441 West Ute Blvd, SUITE 250, park City, ut, 84098,
435-940-1545 - 0 ($2,378,906.70) Equity, (File 333-188532 - May. 10)
(BR. 11A)
S-8 Walker & Dunlop, Inc., 7501 WISCONSIN AVENUE, SUITE 1200E, BETHESDA,
MD, 20814, (301) 215-5500 - 0 ($9,439,300.00) Equity,
(File 333-188533 - May. 10) (BR. 07C)
S-3ASR GLIMCHER REALTY TRUST, 180 EAST BROAD STREET, COLUMBUS, OH, 43215,
6146219000 - 0 ($0.00) Debt, 0 ($0.00) Equity, (File 333-188534 -
May. 10) (BR. 08B)
S-3 META FINANCIAL GROUP INC, 5501 SOUTH BROADBAND LANE, P O BOX 1307,
SIOUX FALLS, SD, 57108, 6057821767 - 0 ($40,000,000.00) Equity,
(File 333-188535 - May. 10) (BR. 07C)
S-1 Frank's International N.V., PRINS BERNHARDPLEIN 200 1097 JB, AMSTERDAM,
P7, NO ZIP, (281) 966-7300 - 0 ($500,000,000.00) Equity,
(File 333-188536 - May. 10) (BR. )
S-3ASR MGIC INVESTMENT CORP, 250 EAST KILBOURN AVENUE, MILWAUKEE, WI, 53202,
4143476480 - 0 ($0.00) Debt, 0 ($0.00) Equity, 0 ($0.00) Other,
(File 333-188537 - May. 10) (BR. 01A)
S-8 Globalstar, Inc., 300 HOLIDAY SQUARE BLVD.,, COVINGTON,, LA, 70433,
408-933-4000 - 7,081,715 ($2,308,639.00) Equity, (File 333-188538 -
May. 10) (BR. 11C)
S-1 RXi Pharmaceuticals Corp, 1500 WEST PARK DRIVE, SUITE 210, WESTBOROUGH,
MA, 01581, (508) 767-3861 - 112,956,911 ($22,026,597.64) Equity,
(File 333-188539 - May. 10) (BR. 01B)
F-3 Velti plc, FIRST FLOOR, 28-32 PEMBROKE STREET UPPER, DUBLIN, L2, 2,
33 (0) 1234 2676 - 6,020,083 ($12,702,375.13) Equity,
(File 333-188540 - May. 10) (BR. 03B)
S-8 Coleman Cable, Inc., 1530 SHIELDS DRIVE, WAUKEGAN, IL, 60085,
(847) 672-2300 - 0 ($7,457,500.00) Equity, (File 333-188541 - May. 10)
(BR. 06A)
S-8 HAIN CELESTIAL GROUP INC, 1111 MARCUS AVENUE, LAKE SUCCESS, NY, 11042,
5165875000 - 1,250,000 ($79,050,000.00) Equity, (File 333-188542 -
May. 10) (BR. 04A)
F-3 Teekay Offshore Partners L.P., 4TH FLOOR, BELVEDERE BUILDING,
69 PITTS BAY ROAD, HAMILTON, D0, HM 08, (441) 298-2530 -
2,056,202 ($64,461,932.70) Equity, (File 333-188543 - May. 10) (BR. 05C)
S-3ASR ARCHER DANIELS MIDLAND CO, 4666 FARIES PKWY, DECATUR, IL, 62526,
2174244798 - 0 ($0.00) Other, (File 333-188544 - May. 10) (BR. 04A)
S-8 Armada Hoffler Properties, Inc., 222 CENTRAL PARK AVENUE, SUITE 2100,
VIRGINIA BEACH, VA, 23462, 757-366-4000 - 0 ($8,025,500.00) Equity,
(File 333-188545 - May. 10) (BR. 08B)
S-8 LIONBRIDGE TECHNOLOGIES INC /DE/, 1050 WINTER STREET, WALTHAM, MA,
02154, 7814346000 - 4,000,000 ($11,080,000.00) Equity,
(File 333-188546 - May. 10) (BR. 02A)
S-1 Tonix Pharmaceuticals Holding Corp., 509 MADISON AVE. - SUITE 306,
NEW YORK, NY, 10022, 1-800-849-7894 - 0 ($12,480,000.00) Equity,
(File 333-188547 - May. 10) (BR. 09A)
S-1 POSITIVEID Corp, 1690 SOUTH CONGRESS AVENUE, SUITE 200, DELRAY BEACH,
FL, 33445, 561-805-8008 - 4,500,000 ($1,755,000.00) Equity,
(File 333-188548 - May. 10) (BR. 11C)
S-1 CROSSROADS SYSTEMS INC, 11000 NORTH MOPAC EXPRESSWAY, AUSTIN, TX,
78759, 5123490300 - 15,874,512 ($15,016,739.90) Equity,
(File 333-188549 - May. 10) (BR. 03C)
N-2 CENTER COAST MLP & INFRASTRUCTURE FUND,
1100 LOUISIANA STREET, SUITE 5025, HOUSTON, TX, 77002, 713-759-1400 -
50,000 ($1,000,000.00) Equity, (File 333-188550 - May. 10) (BR. 22)
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 Century Bancshares, Inc. DE 5.02,5.07,9.01 05/08/13
AbbVie Inc. DE 5.02,5.07 05/06/13
ABRAXAS PETROLEUM CORP NV 2.02,9.01 05/09/13
ACCO BRANDS Corp DE 5.07 05/07/13
ACELRX PHARMACEUTICALS INC DE 5.02,9.01 05/07/13
ACETO CORP NY 2.02,9.01 05/09/13
ADCARE HEALTH SYSTEMS INC OH 1.01,2.01,3.02 03/04/13
ADEPT TECHNOLOGY INC DE 2.02,9.01 05/10/13
ADTRAN INC DE 5.07 05/08/13
ADVANCED ENERGY INDUSTRIES INC DE 5.02 05/08/13
Aegion Corp DE 1.01,9.01 05/06/13
AEOLUS PHARMACEUTICALS, INC. DE 5.02 05/08/13
AETRIUM INC MN 2.02,9.01 05/10/13
Affinion Group Holdings, Inc. DE 5.02 05/07/13
Affinity Gaming NV 2.02,9.01 05/10/13
Affinity Gaming NV 8.01,9.01 05/10/13
AFFYMETRIX INC DE 5.07,8.01 05/07/13
ALEXION PHARMACEUTICALS INC DE 5.07 05/06/13
Alliance Holdings GP, L.P. DE 7.01,9.01 05/10/13
ALLIANCE RESOURCE PARTNERS LP DE 7.01,9.01 05/10/13
ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 05/09/13
ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 05/09/13
ALLIED MOTION TECHNOLOGIES INC CO 2.02,9.01 05/10/13
Alon USA Energy, Inc. DE 5.02,5.05,5.07 05/07/13
Amarantus Bioscience Holdings, Inc. NV 8.01 05/10/13
AMBASE CORP DE 5.02 05/10/13
American Caresource Holdings, Inc. DE 2.02,9.01 05/09/13
AMERICAN REALTY CAPITAL - RETAIL CENT MD 8.01,9.01 05/09/13
American Realty Capital Daily Net Ass MD 8.01,9.01 05/09/13
AMERICAN REALTY CAPITAL NEW YORK RECO MD 8.01,9.01 05/09/13
AMERICAN REALTY CAPITAL NEW YORK RECO MD 2.02,9.01 05/10/13
American Realty Capital Trust IV, Inc MD 8.01,9.01 05/09/13
AMERICAN STATES WATER CO CA 2.02,9.01 05/09/13
AMKOR TECHNOLOGY INC DE 5.02,5.07,9.01 05/08/13
Amtrust Financial Services, Inc. DE 8.01 05/10/13
AMYRIS, INC. DE 5.07 05/09/13
ANIXTER INTERNATIONAL INC DE 5.07 05/09/13
AP PHARMA INC /DE/ DE 2.02,9.01 05/10/13
APCO OIL & GAS INTERNATIONAL INC 5.07 05/07/13
Apollo Medical Holdings, Inc. DE 2.02,9.01 05/10/13
Applied Nanotech Holdings, Inc TX 5.02,9.01 05/10/13
ARTESIAN RESOURCES CORP DE 5.07 05/08/13
Artio Global Investors Inc. DE 7.01,9.01 05/10/13
ASSURED GUARANTY LTD D0 2.02,9.01 05/09/13
ASSURED GUARANTY LTD D0 5.02,5.07 05/09/13
ASTEA INTERNATIONAL INC DE 2.02,9.01 05/10/13
ASTORIA FINANCIAL CORP DE 8.01 05/10/13
Atkore International Holdings Inc. DE 2.02 05/10/13
ATLANTIC CITY ELECTRIC CO NJ 1.01,2.03,9.01 05/10/13
Atlas Resource Partners, L.P. DE 1.01,9.01 05/09/13
Augme Technologies, Inc. DE 5.02,9.01 05/10/13
AUTONATION, INC. DE 5.07 05/08/13
BALL CORP IN 1.01,9.01 05/09/13
BALLANTYNE STRONG, INC. DE 2.02,5.07,9.01 05/09/13
BARD C R INC /NJ/ NJ 8.01 05/02/13
BARNWELL INDUSTRIES INC DE 2.02,9.01 05/10/13
BAXTER INTERNATIONAL INC DE 3.03,5.02,5.03, 05/10/13
5.07,9.01
Behringer Harvard Opportunity REIT I, MD 1.01,5.08 05/06/13
BENCHMARK ELECTRONICS INC TX 5.07 05/08/13
BG Medicine, Inc. DE 5.02,9.01 05/08/13
BIOSANTE PHARMACEUTICALS INC DE 2.02,9.01 05/10/13
BIOSPECIFICS TECHNOLOGIES CORP DE 2.02,9.01 05/10/13
Biota Pharmaceuticals, Inc. DE 2.02,9.01 05/10/13
BIOTIME INC CA 2.02,9.01 05/10/13
BlackRock Kelso Capital CORP DE 5.07 05/09/13
BLYTH INC DE 1.01,7.01,9.01 05/08/13
BMC SOFTWARE INC DE 1.01,3.03,9.01 05/10/13
BofI Holding, Inc. DE 7.01,9.01 05/09/13
BOLDFACE GROUP, INC. NV 7.01 05/09/13
BPZ RESOURCES, INC. TX 1.01,2.02,2.03,9.01 05/08/13
Bridgepoint Education Inc DE 8.01 05/06/13
BRIGHTCOVE INC DE 5.07 05/10/13
BRISTOL MYERS SQUIBB CO DE 5.02,5.07 05/07/13
BUILD A BEAR WORKSHOP INC DE 5.07 05/09/13
CalAmp Corp. DE 9.01 03/01/13 AMEND
CALLON PETROLEUM CO DE 2.02,7.01,9.01 05/09/13
CALPINE CORP DE 5.02,5.07,9.01 05/10/13
CAMDEN PROPERTY TRUST TX 5.02,7.01,9.01 05/09/13
CAMDEN PROPERTY TRUST TX 5.07 05/10/13
CANADIAN DERIVATIVES CLEARING CORP A6 9.01 04/30/13
CARLISLE COMPANIES INC DE 5.07 05/08/13
CarMax Auto Owner Trust 2013-2 DE 1.01,8.01,9.01 05/08/13
CARTERS INC DE 5.07,7.01,9.01 05/09/13
Catalent Pharma Solutions, Inc. DE 2.02 05/10/13
CATERPILLAR FINANCIAL SERVICES CORP DE 8.01,9.01 05/10/13
Centaur Guernsey L.P. Inc. 8.01,9.01 05/10/13
CHARLES RIVER LABORATORIES INTERNATIO 5.07 05/07/13
CHARTER COMMUNICATIONS, INC. /MO/ DE 8.01,9.01 05/08/13
Charter Financial Corp MD 7.01,9.01 05/10/13
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01 05/10/13
CHECKPOINT SYSTEMS INC PA 5.02,9.01 05/10/13
CHEMUNG FINANCIAL CORP NY 5.07 05/09/13
CHICAGO BRIDGE & IRON CO N V P7 5.07 05/08/13
CHINDEX INTERNATIONAL INC DE 2.02,7.01,9.01 05/10/13
CIBER INC DE 5.07 05/08/13
CIFC Corp. DE 7.01,9.01 05/10/13
CION Investment Corp MD 5.07 05/09/13
CITRIX SYSTEMS INC DE 5.02,9.01 05/07/13
CLAIRES STORES INC DE 8.01,9.01 05/09/13
Claridge Ventures, Inc. NV 1.02,5.02 04/13/13
Clearwire Corp /DE DE 8.01,9.01 05/10/13
CLOUD PEAK ENERGY INC. DE 7.01,9.01 05/10/13
Cobalt International Energy, Inc. 1.01,9.01 05/07/13
Cole Credit Property Trust III, Inc. MD 9.01 04/05/13 AMEND
Columbia Seligman Premium Technology MD 7.01,9.01 05/10/13
COMMUNITY BANK SYSTEM INC DE 5.07,8.01,9.01 05/08/13
Community Choice Financial Inc. 7.01,9.01 05/10/13
COMPASS MINERALS INTERNATIONAL INC DE 5.07 05/08/13
COMPUTER TASK GROUP INC NY 5.07 05/08/13
CONNECTICUT WATER SERVICE INC / CT CT 5.07,8.01,9.01 05/10/13
Cooper-Standard Holdings Inc. DE 7.01,9.01 05/10/13
Cooper-Standard Holdings Inc. DE 5.02,5.07,9.01 05/10/13
Cooper-Standard Holdings Inc. DE 7.01,9.01 05/10/13 AMEND
COPYTELE INC DE 4.01,9.01 05/06/13
CorEnergy Infrastructure Trust, Inc. 2.02,9.01 05/10/13
Corporate Property Associates 17 - Gl MD 8.01,9.01 05/10/13
Corporate Resource Services, Inc. DE 1.01,2.01,3.02,8.01 05/10/13
Covidien plc 5.02 05/06/13
CPS TECHNOLOGIES CORP/DE/ DE 2.02 03/30/13
CPS TECHNOLOGIES CORP/DE/ DE 2.02 03/30/13
Crestwood Midstream Partners LP DE 8.01,9.01 05/10/13
CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 05/07/13
CROSSTEX ENERGY INC DE 1.01,9.01 05/10/13
CROSSTEX ENERGY LP DE 1.01,8.01,9.01 05/10/13
CURTISS WRIGHT CORP DE 5.02,9.01 05/10/13
DAWSON GEOPHYSICAL CO TX 5.02 05/09/13
DEAN FOODS CO DE 8.01 05/09/13
DEL TORO SILVER CORP. NV 1.01,3.02,9.01 05/06/13
DiamondRock Hospitality Co 2.02,9.01 05/10/13
DIGIRAD CORP DE 5.07,9.01 05/03/13
Discover Card Execution Note Trust DE 8.01 05/10/13
DISCOVERY LABORATORIES INC /DE/ DE 1.01,8.01,9.01 05/10/13
DREW INDUSTRIES INC DE 8.01,9.01 05/09/13
DREW INDUSTRIES INC DE 5.02,9.01 05/10/13
DUN & BRADSTREET CORP/NW DE 5.03,5.07,9.01 05/08/13
DUNKIN' BRANDS GROUP, INC. DE 5.02,9.01 05/10/13
DURECT CORP DE 8.01,9.01 05/10/13
EASTON-BELL SPORTS, INC. DE 2.02,9.01 05/09/13
ECHELON CORP DE 8.01 05/09/13
Echo Therapeutics, Inc. DE 2.02,9.01 05/10/13
El Paso Pipeline Partners, L.P. DE 7.01 05/10/13
EMAGIN CORP DE 2.02,9.01 05/09/13
EMERSON RADIO CORP DE 8.01 04/10/13
Employers Holdings, Inc. NV 3.01 05/06/13
ENCORE CAPITAL GROUP INC DE 8.01,9.01 05/09/13
ENTERPRISE BANCORP INC /MA/ MA 5.07 05/07/13
Entertainment Gaming Asia Inc. NV 2.02,9.01 05/10/13
EQUITY ONE, INC. 5.07 05/09/13
Euramax Holdings, Inc. DE 2.02 05/10/13
EVANS BANCORP INC NY 5.02 05/06/13
FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 5.02,5.07,9.01 05/08/13
FEDERAL AGRICULTURAL MORTGAGE CORP 2.02,9.01 05/09/13
Federal Home Loan Bank of Des Moines X1 7.01,9.01 05/10/13
Fidelity National Information Service 5.02 05/08/13
FIRST INDUSTRIAL REALTY TRUST INC MD 5.02,5.03,5.07,9.01 05/09/13
FIRST UNITED CORP/MD/ MD 5.07 05/09/13
FIRST WEST VIRGINIA BANCORP INC WV 2.02,9.01 05/09/13
FIRST WEST VIRGINIA BANCORP INC WV 4.01 05/09/13
Firsthand Technology Value Fund, Inc. 8.01,9.01 05/10/13
FLOTEK INDUSTRIES INC/CN/ DE 2.02,9.01 05/09/13
FLOWSERVE CORP NY 8.01,9.01 05/10/13
FRANKLIN STREET PROPERTIES CORP /MA/ 1.01,8.01,9.01 05/09/13
FREEPORT MCMORAN COPPER & GOLD INC DE 8.01,9.01 05/09/13
FTI CONSULTING INC MD 2.02,7.01,9.01 05/09/13
FULTON FINANCIAL CORP PA 5.02,9.01 05/10/13
FURMANITE CORP DE 5.07 05/09/13
GALECTIN THERAPEUTICS INC NV 2.02,9.01 05/10/13
GANNETT CO INC /DE/ DE 5.07 05/07/13
GASTAR EXPLORATION LTD 8.01,9.01 05/10/13
Genie Energy Ltd. DE 5.07 05/07/13
Genpact LTD D0 5.07 05/08/13
GENWORTH FINANCIAL INC 2.02,9.01 05/10/13
GLEN BURNIE BANCORP MD 5.07 05/09/13
GLIMCHER REALTY TRUST MD 1.01,8.01,9.01 05/10/13
Global Arena Holding, Inc. DE 8.01,9.01 04/30/13
GLOBAL PAYMENTS INC GA 5.08 05/10/13
Globalstar, Inc. DE 2.02,9.01 05/09/13
GOLDEN STAR RESOURCES LTD 5.07,9.01 05/09/13
Green Plains Renewable Energy, Inc. IA 5.07 05/08/13
Griffin Capital Essential Asset REIT, 7.01,8.01,9.01 05/03/13
Guar Global Ltd. NV 5.02,9.01 05/07/13
HARDINGE INC NY 5.07 05/07/13
HAWTHORN BANCSHARES, INC. MO 8.01,9.01 05/09/13
HealthWarehouse.com, Inc. DE 8.01,9.01 05/10/13
HEARTLAND EXPRESS INC NV 5.07 05/09/13
HECLA MINING CO/DE/ DE 2.02,8.01,9.01 05/09/13
HEIDRICK & STRUGGLES INTERNATIONAL IN DE 5.02,9.01 05/08/13
HERTZ GLOBAL HOLDINGS INC 1.01,1.02,9.01 05/06/13
HORIZON PHARMA, INC. DE 2.02,9.01 05/10/13
Horsehead Holding Corp 5.07 05/09/13
HOSPIRA INC DE 5.07 05/08/13
HOUSTON AMERICAN ENERGY CORP DE 8.01,9.01 05/10/13
HSN, Inc. DE 5.07 05/08/13
HUB GROUP INC DE 5.07 05/09/13
HUBBELL INC CT 5.02,5.03,5.07 05/07/13
Hyatt Hotels Corp DE 1.01,7.01,8.01,9.01 05/07/13
Hyatt Hotels Corp DE 5.03,8.01,9.01 05/10/13
HYSTER-YALE MATERIALS HANDLING, INC. DE 5.02,5.07,9.01 05/08/13
INFINERA CORP DE 5.02,8.01 05/10/13
INNOSPEC INC. DE 5.07 05/08/13
INSTITUTIONAL FINANCIAL MARKETS, INC. MD 2.02,9.01 05/10/13
INSTITUTIONAL FINANCIAL MARKETS, INC. MD 7.01,9.01 05/10/13
Intellect Neurosciences, Inc. DE 5.02,9.01 05/03/13
INTERNATIONAL FUEL TECHNOLOGY INC NV 4.01 05/02/13 AMEND
INTERSIL CORP/DE DE 5.07 05/10/13
Inventtech Inc. NV 8.01,9.01 05/10/13
Investors Heritage Capital Corp KY 5.02,5.03,5.07,9.01 05/09/13
ISABELLA BANK CORP MI 5.07 05/07/13
iTalk Inc. NV 8.01,9.01 05/10/13
ITT Corp IN 5.07 05/07/13
JAGGED PEAK, INC. NV 2.02,9.01 05/10/13
Jayhawk Energy, Inc. CO 8.01 05/03/13
KAYDON CORP DE 5.02 05/09/13
KBS Strategic Opportunity REIT, Inc. MD 2.01,9.01 03/28/13 AMEND
Kentucky First Federal Bancorp 2.02,9.01 05/09/13
KEYCORP /NEW/ OH 5.02,9.01 05/09/13
KEYSTONE CONSOLIDATED INDUSTRIES INC DE 7.01,9.01 05/10/13
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 05/10/13
KINDER MORGAN MANAGEMENT LLC DE 7.01 05/10/13
KINDER MORGAN, INC. DE 7.01 05/10/13
KNOLL INC DE 5.07 05/07/13
L Brands, Inc. DE 2.02,7.01,9.01 05/09/13
LABORATORY CORP OF AMERICA HOLDINGS DE 5.07 05/08/13
Lantheus Medical Imaging, Inc. DE 2.02 05/10/13
Laredo Petroleum Holdings, Inc. DE 7.01,9.01 05/10/13
LASERLOCK TECHNOLOGIES INC NV 5.02 05/04/13
LEARNING TREE INTERNATIONAL INC DE 2.02,7.01,9.01 05/09/13
LEUCADIA NATIONAL CORP NY 9.01 02/26/13 AMEND
LEXICON PHARMACEUTICALS, INC./DE DE 2.02,9.01 05/08/13
Liberty Interactive Corp 2.02,9.01 05/08/13
Liberty Media Corp DE 2.02,9.01 05/08/13
LIBERTY PROPERTY TRUST MD 5.07 05/09/13
LIHUA INTERNATIONAL INC. DE 2.02,9.01 05/10/13
LIVEPERSON INC DE 2.02,9.01 05/08/13 AMEND
LKQ CORP DE 1.01,2.03,5.07,9.01 05/06/13
LMI AEROSPACE INC MO 2.02,9.01 05/10/13
LSB FINANCIAL CORP IN 2.02,9.01 05/09/13
Magyar Bancorp, Inc. DE 2.02,9.01 05/10/13
Maiden Holdings, Ltd. D0 7.01,9.01 05/10/13
MAINSTREET BANKSHARES INC VA 8.01 05/09/13
MANNATECH INC TX 2.02,9.01 05/09/13 AMEND
Mantra Venture Group Ltd. 1.01,3.02,5.02,9.01 05/07/13
MARSH & MCLENNAN COMPANIES, INC. DE 8.01,9.01 05/10/13
MATERIAL SCIENCES CORP DE 5.02,9.01 05/10/13
MAXIMUS INC VA 2.02,9.01 05/09/13
McEwen Mining Inc. CO 7.01,9.01 05/10/13
MEDICINOVA INC DE 1.01,3.02,9.01 05/09/13
MEDNAX, INC. FL 5.07 05/09/13
MEMC ELECTRONIC MATERIALS INC DE 9.01 05/09/13 AMEND
MERCHANTS BANCSHARES INC DE 5.07 05/07/13
MERCURY GENERAL CORP CA 1.01,5.07,9.01 05/08/13
MERITOR INC IN 5.02 05/06/13
MISONIX INC NY 1.01,2.02,5.02,9.01 05/07/13
MOBIVITY HOLDINGS CORP. NV 1.01,2.03,9.01 05/03/13
MOHAWK INDUSTRIES INC DE 5.07 05/08/13
Monarch Financial Holdings, Inc. VA 8.01,9.01 05/10/13
Monarch Financial Holdings, Inc. VA 5.07 05/10/13
MRC GLOBAL INC. DE 5.07,8.01 05/08/13
MRV COMMUNICATIONS INC DE 2.02,9.01 05/10/13
MUTUALFIRST FINANCIAL INC MD 5.07,7.01,8.01,9.01 05/08/13
MUTUALFIRST FINANCIAL INC MD 8.01,9.01 05/10/13
MVB FINANCIAL CORP WV 9.01 05/10/13 AMEND
National American University Holdings DE 5.02,8.01,9.01 05/10/13
Naugatuck Valley Financial Corp 5.02,8.01,9.01 05/06/13
NAUTILUS, INC. WA 1.01,1.02 05/07/13
Neuralstem, Inc. DE 2.02,9.01 05/10/13
NEW YORK MORTGAGE TRUST INC MD 5.07,7.01 05/09/13
NEWS CORP 8.01,9.01 05/06/13
NEWS CORP 8.01,9.01 05/10/13
NEWTOWN LANE MARKETING INC 5.01 05/06/13
NN INC DE 1.01,5.02,9.01 05/08/13
NORFOLK SOUTHERN CORP VA 5.02,9.01 05/10/13
NORTECH SYSTEMS INC MN 5.07,9.01 05/08/13
NovaBay Pharmaceuticals, Inc. CA 3.02 05/09/13
OCWEN FINANCIAL CORP FL 5.03,5.07,9.01 05/08/13
OHIO VALLEY BANC CORP OH 5.07 05/10/13
OLD NATIONAL BANCORP /IN/ IN 5.07 05/09/13
Omega Flex, Inc. PA 8.01,9.01 05/09/13
OMEROS CORP WA 2.02,9.01 05/10/13
OMEROS CORP WA 1.01,8.01,9.01 05/09/13
ONE WORLD HOLDINGS, INC. NV 4.01,9.01 05/06/13
OphthaliX, Inc. DE 3.02,5.02,5.03, 05/06/13
5.07,8.01,9.01
Opko Health, Inc. DE 2.02,9.01 05/09/13
ORBIT INTERNATIONAL CORP DE 2.02,9.01 05/09/13
Orchid Island Capital, Inc. MD 8.01,9.01 05/09/13
OUTDOOR CHANNEL HOLDINGS INC 2.02,9.01 05/10/13
Pacific Ethanol, Inc. DE 5.07 05/10/13
PACIFIC SOFTWARE, INC. NV 1.01,9.01 05/09/13
PAIN THERAPEUTICS INC DE 7.01,9.01 05/09/13
Park Place Energy Corp. NV 5.02 05/06/13
Pendrell Corp DE 8.01 05/08/13
PENN VIRGINIA CORP VA 7.01,9.01 05/10/13
PENSECO FINANCIAL SERVICES CORP PA 5.07 05/07/13
Perfumania Holdings, Inc. FL 2.02,9.01 05/09/13
PERKINELMER INC MA 5.02 05/07/13
PERMA FIX ENVIRONMENTAL SERVICES INC DE 2.02,9.01 05/10/13
PERRIGO CO MI 1.01,9.01 05/09/13
PERRY ELLIS INTERNATIONAL INC FL 1.01,9.01 05/07/13
Petro River Oil Corp. DE 3.02 05/07/13
PICO HOLDINGS INC /NEW CA 2.02,9.01 05/09/13
PMC COMMERCIAL TRUST /TX TX 2.02,9.01 05/09/13
POSITIVEID Corp DE 1.01,3.02,9.01 05/10/13
PREFORMED LINE PRODUCTS CO OH 1.01,9.01 05/09/13
PRIMUS TELECOMMUNICATIONS GROUP INC DE 1.01,7.01,9.01 05/10/13
PROGENICS PHARMACEUTICALS INC DE 2.02,9.01 05/10/13
PUBLIC SERVICE ELECTRIC & GAS CO NJ 8.01,9.01 05/10/13
Public Storage MD 2.02,5.07,9.01 05/09/13
PVR PARTNERS, L. P. DE 1.01,2.03,9.01 05/09/13
QUAKER CHEMICAL CORP PA 5.07 05/08/13
REALOGY HOLDINGS CORP. DE 5.07 05/10/13
Red Giant Entertainment, Inc. NV 4.01,9.01 05/10/13
REDWOOD TRUST INC MD 5.02 05/07/13
RENT A CENTER INC DE 5.02,8.01,9.01 05/09/13
REPLIGEN CORP DE 5.07 05/09/13
REPROS THERAPEUTICS INC. DE 2.02,9.01 05/10/13
REPUBLIC SERVICES, INC. DE 5.07 05/09/13
Restoration Hardware Holdings Inc DE 2.02,9.01 05/10/13
Retrophin, Inc. OK 5.02,8.01,9.01 05/07/13
RGC RESOURCES INC VA 2.02,9.01 05/09/13
Ryman Hospitality Properties, Inc. DE 5.07 05/09/13
San Lotus Holding Inc NV 5.02,5.07 05/05/13
Santander Drive Auto Receivables Trus DE 1.01,8.01,9.01 05/08/13
Santander Drive Auto Receivables Trus DE 8.01,9.01 05/08/13
SANTARUS INC DE 8.01,9.01 05/10/13
SCG Financial Acquisition Corp. DE 4.01,9.01 04/25/13 AMEND
Selway Capital Acquisition Corp. DE 5.02,9.01 05/09/13
SEMPRA ENERGY CA 8.01 05/09/13
Sensata Technologies Holding N.V. P7 8.01,9.01 05/10/13
Shire plc 8.01,9.01 05/09/13
ShoreTel Inc CA 5.02 05/06/13
SIFCO INDUSTRIES INC OH 2.02,9.01 05/10/13
SIGA TECHNOLOGIES INC DE 4.02,9.01 05/08/13
SIGMA ALDRICH CORP DE 5.07 05/07/13
SIGNATURE GROUP HOLDINGS, INC. NV 1.01,2.01,8.01,9.01 05/09/13
SIRONA DENTAL SYSTEMS, INC. DE 2.02,9.01 05/10/13
Six Flags Entertainment Corp 5.07 05/08/13
SKULLCANDY, INC. 5.02,9.01 05/08/13
SKYWEST INC UT 5.07 05/07/13
SL GREEN REALTY CORP MD 8.01 05/09/13
SLAVIA, CORP. NV 4.01,9.01 04/18/13
SOHU COM INC DE 5.02 05/08/13
Spy Inc. DE 1.01,9.01 05/08/13
Standard Drilling, Inc. 1.01,9.01 05/10/13
STEEL PARTNERS HOLDINGS L.P. DE 2.02,9.01 05/10/13
STERLING FINANCIAL CORP /WA/ WA 5.02 05/09/13
STEWARDSHIP FINANCIAL CORP NJ 2.02,9.01 05/09/13
Surge Global Energy, Inc. DE 5.02 05/10/13
Swingplane Ventures, Inc. NV 3.02,3.03,5.01, 02/15/13 AMEND
5.02,5.06,9.01
SYNERGY PHARMACEUTICALS, INC. DE 2.02,9.01 05/09/13
SYNTROLEUM CORP DE 8.01,9.01 05/08/13
SYPRIS SOLUTIONS INC DE 5.07 05/07/13
TAYLOR CALVIN B BANKSHARES INC MD 5.02,5.07 05/08/13
TECTON CORP 5.01,8.01,9.01 05/10/13
TEJON RANCH CO DE 5.07 05/07/13
TEJON RANCH CO DE 7.01,9.01 05/10/13
TELIK INC DE 2.02,9.01 05/10/13
TEMPUR PEDIC INTERNATIONAL INC DE 7.01 05/10/13
TESARO, Inc. DE 5.07 05/09/13
THERAVANCE INC DE 7.01,9.01 05/09/13
THERAVANCE INC DE 8.01,9.01 05/10/13
Tim Hortons Inc. A6 5.07 05/09/13
Timberline Resources Corp DE 2.02,7.01,9.01 05/07/13
Tornier N.V. P7 1.01,8.01,9.01 05/09/13
TRANS1 INC 2.02,9.01 05/09/13
Tronox Ltd C3 2.02,9.01 05/10/13
TRUE RELIGION APPAREL INC DE 2.02,9.01 05/10/13
TRUE RELIGION APPAREL INC DE 8.01,9.01 05/10/13
Two Harbors Investment Corp. 7.01,9.01 05/09/13
U.S. Well Services, LLC DE 2.02,9.01 05/10/13
Unilife Corp DE 2.02,7.01,9.01 05/09/13
UNITED COMMUNITY FINANCIAL CORP OH 2.02,9.01 05/10/13
United Continental Holdings, Inc. DE 1.01,2.03,9.01 05/07/13
URANIUM RESOURCES INC /DE/ DE 2.02,9.01 05/10/13
US ENERGY CORP WY 2.02,9.01 05/10/13
USG CORP DE 3.03,5.03,5.07,9.01 05/08/13
VALHI INC /DE/ DE 2.02,7.01,9.01 05/10/13
VALIDUS HOLDINGS LTD 7.01,9.01 05/10/13
VAPOR CORP. NV 3.03,5.02,5.03,9.01 05/09/13
VEECO INSTRUMENTS INC DE 7.01 05/10/13
VERMILLION, INC. DE 1.01,3.02,9.01 05/08/13
VIEWCAST COM INC DE 1.01,2.03,3.03,9.01 05/06/13
ViewPoint Financial Group Inc. 5.02,9.01 02/28/13 AMEND
Viggle Inc. DE 5.02,8.01,9.01 05/06/13
Vitacost.com, Inc. DE 5.07 05/09/13
VONAGE HOLDINGS CORP DE 8.01 05/09/13
WACHOVIA PREFERRED FUNDING CORP DE 5.07 05/07/13
Warner Chilcott plc 2.02,9.01 05/10/13
WARWICK VALLEY TELEPHONE CO NY 4.02 05/10/13
WATERS CORP /DE/ DE 5.07 05/09/13
WATTS WATER TECHNOLOGIES INC DE 8.01 05/10/13
WAVE SYSTEMS CORP DE 2.02,9.01 05/09/13
WebMD Health Corp. DE 5.02 05/06/13
WEIGHT WATCHERS INTERNATIONAL INC VA 5.07 05/07/13
Wendy's Co DE 5.02 05/10/13
WERNER ENTERPRISES INC NE 7.01,9.01 05/10/13
WET SEAL INC DE 1.01,2.02,9.01 05/09/13
WEYERHAEUSER CO WA 7.01 05/10/13
WILLIAM LYON HOMES DE 5.03,9.01 05/06/13
WILLIS GROUP HOLDINGS PLC L2 7.01,9.01 05/10/13
WINLAND ELECTRONICS INC MN 5.02 05/07/13
WINLAND ELECTRONICS INC MN 5.07 05/07/13
WSI INDUSTRIES, INC. MN 1.01,2.03,9.01 05/08/13
XCEL ENERGY INC MN 7.01 05/10/13
Xylem Inc. IN 5.02,5.03,5.07,9.01 05/07/13
Yongye International, Inc. NV 2.02,9.01 05/10/13
YUM BRANDS INC NC 7.01 05/10/13
Zalicus Inc. DE 8.01,9.01 05/10/13
ZHONGPIN INC. DE 2.02,9.01 05/09/13
ZYGO CORP DE 2.02,9.01 05/09/13
http://www.sec.gov/news/digest/2013/dig051313.htm
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