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Commission announcementsCommission Names Keith F. Higgins as Director of Division of Corporation FinanceThe Securities and Exchange Commission (Commission) today named Keith F. Higgins as the new director of the agency’s Division of Corporation Finance. Mr. Higgins comes to the SEC from the law firm of Ropes & Gray LLP where he is a partner in its Boston office with 30 years of experience advising public companies about securities offerings, mergers and acquisitions, compliance, and corporate governance. Mr. Higgins also has regularly advised underwriters in IPOs and other public equity offerings. He will begin his new position next month. “Keith is a widely-respected expert on the securities laws with a wealth of knowledge and experience in the many issues confronting the Division,” said Mary Jo White, Chair of the SEC. “He understands and appreciates the importance of our disclosure laws in helping to ensure that investors get the information they need to make informed investment decisions.” Mr. Higgins added, “During my 30 years of private practice, I have seen firsthand the talent and dedication of the staff of the SEC’s Division of Corporation Finance. It is an honor for me to have the opportunity to serve as its director. The Commission has an ambitious rulemaking agenda that will be my first priority, and I look forward to continuing to move that agenda forward.” The Division of Corporation Finance seeks to ensure that investors are provided with material information in order to make informed investment decisions, both when a company initially offers its securities to the public and on an ongoing basis. The Division also reviews filings and provides interpretive assistance help companies meet their disclosure obligations, and makes recommendations to the Commission about new rules or updates to current rules. Mr. Higgins, who began working at Ropes & Gray in 1983, has been a frequent writer and lecturer on securities law, executive compensation, and corporate governance. He is a past chair of the Federal Regulation of Securities Committee of the American Bar Association. Mr. Higgins, 61, earned his B.A. at Florida State University (Phi Beta Kappa) and his M.A. at the University of Virginia. He earned his law degree (summa cum laude) from Boston University School of Law, and he clerked for the Honorable Herbert P. Wilkins in the Supreme Judicial Court of Massachusetts. * * * Lona Nallengara, who was serving as acting director of the Division of Corporation Finance since December 2012, has been named the SEC’s chief of staff. (Press Rel. 2013-89) Commission Names Lona Nallengara as Chief Of StaffThe Commission today announced that Lona Nallengara has been named the agency’s chief of staff. Mr. Nallengara came to the SEC in March 2011 and served as deputy director for legal and regulatory policy in the Division of Corporation Finance until he was appointed in December 2012 as its acting director. Mr. Nallengara has led a series of complex rulemakings by the Division of Corporation Finance stemming from the Dodd-Frank Wall Street Reform and Consumer Protection Act and the Jumpstart Our Business Startups (JOBS) Act. “Lona has been superb in leading the Division and has demonstrated tremendous judgment, intelligence and knowledge,” said Mary Jo White, SEC Chair. “In my short time here, I have come to appreciate his broad grasp of the agency’s overall agenda and his understanding of the Commission and its mission.” Mr. Nallengara added, “My time in the Division of Corporation Finance has been incredibly rewarding. It has been an honor to work with the talented staff in the Division and across the agency on behalf of the nation’s investors, and I look forward to continuing to work with them in my new role.” As a deputy director, Mr. Nallengara was responsible for overseeing the Division of Corporation Finance’s offices of chief counsel, enforcement liaison, international corporate finance, mergers and acquisitions, and small business policy. Mr. Nallengara joined the SEC from Shearman & Sterling LLP in New York, where he was a partner in the Capital Markets practice group and advised public companies and financial institutions on a wide range of capital raising activities. Mr. Nallengara also served as the firm’s co-hiring partner, co-chair of its associate development committee and international associates and trainees committee, and as a member of the firm’s diversity committee. Prior to joining Shearman & Sterling LLP in 1998, Mr. Nallengara practiced in the corporate group at the law firm of Osler, Hoskin & Harcourt LLP in Toronto. Mr. Nallengara, 42, earned his law degree in 1996 from Osgoode Hall Law School in Toronto and his undergraduate degree in Political Science in 1993 from the University of Western Ontario in London, Canada. * * * The SEC also announced today that Keith Higgins has been named the new director of the SEC’s Division of Corporation Finance. (Press Rel. 2013-88) Commission Suspends Trading in Securities of Benda Pharmaceutical Inc. and China Shuangji Cement Ltd for Failure to Make Required Periodic FilingsThe Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on May 15, 2013 and terminating at 11:59 p.m. EDT on May 29, 2013:
The Commission temporarily suspended trading in the securities of the foregoing companies due to a lack of current and accurate information about the companies because they have not filed certain periodic reports with the Commission. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to trading suspensions until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-69579)
Commission Suspends Trading in Securities of Nine Companies for Failure to Make Required Periodic FilingsThe Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on May 15, 2013, and terminating at 11:59 p.m. EDT on May 29, 2013:
The Commission temporarily suspended trading in the securities of the foregoing companies due to a lack of current and accurate information about the companies because they have not filed certain periodic reports with the Commission. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to trading suspensions until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-69577) Commission Suspends Trading in Securities of Six Companies for Failure to Make Required Periodic FilingsThe Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on May 15, 2013 and terminating at 11:59 p.m. EDT on May 29, 2013:
The Commission temporarily suspended trading in the securities of the foregoing companies due to a lack of current and accurate information about the companies because they have not filed certain periodic reports with the Commission. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to trading suspensions until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34- 69581) Commission MeetingsClosed Meeting on Thursday, May 23, 2013 at 2:00 p.m. The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400. Enforcement proceedingsCommission Charges China-Based Executives in Scheme to Overstate Revenues and Divert Money for Personal UseThe Commission today charged husband-and-wife executives at a China-based company with engaging in a scheme to overstate the company’s revenues and divert proceeds from a securities offering for their personal use. The SEC alleges that RINO International Corporation’s chief executive officer Dejun “David” Zou and chairman of the board Jianping “Amy” Qiu diverted $3.5 million in company money to purchase a luxury home in Orange County, Calif., without disclosing it to investors. Conflicting information was provided to RINO’s outside auditor when questions were raised about the expenditure. Zou and Qiu also used offering proceeds to pay for automobiles as well as designer clothing and accessories without recording them as personal expenses or otherwise disclosing them in RINO’s public filings. The SEC issued a trading suspension in 2011 against RINO, which is a holding company for subsidiaries that manufacture, install, and service equipment for the Chinese steel industry. The company became a China-based U.S. issuer through a reverse merger in 2007. The trading suspension was based on questions raised about RINO’s public filings – signed and certified by Zou and Qiu – overstating company revenues by including false sales contracts. Zou and Qiu agreed to settle the SEC’s charges by paying penalties and consenting to decade-long bars from serving as officers or directors of any company publicly traded in the U.S. “Executives grossly abuse their positions of trust when they divert corporate funds for their personal spending,” said Antonia Chion, Associate Director of the SEC’s Division of Enforcement. “When making their investment decisions, RINO’s investors did not have the benefit of knowing that Zou and Qiu were diverting money and the company’s revenues were greatly exaggerated.” According to the SEC’s complaint filed in federal court in Washington D.C., RINO’s periodic filings contained false and misleading statements and omissions about the company’s revenue and operations from 2008 to 2010. RINO maintained two conflicting sets of financial records – one set of books for filings in China and another set of books for filings in the U.S. The Chinese books reflected sales of approximately $31 million from the first quarter of 2008 through the first three quarters of 2010. But the U.S. books that formed the basis for RINO’s SEC filings contained false contracts and portrayed sales revenues of approximately $491 million during that same time period – more than 15 times greater than the revenues recorded in the Chinese books. The SEC alleges that when RINO’s outside auditor discovered the $3.5 million diversion of money by Zou and Qiu, the auditor was first told that RINO intended to use the funds as a down payment for a joint venture opportunity in the U.S. When the auditor raised further questions, Zou claimed that he had authorized the use of the funds to purchase a property to serve as an office and temporary housing for RINO’s employees visiting the U.S. The auditor then went to RINO’s audit committee to raise concerns about the transaction because of the different explanations and the nature of the home. Zou and Qiu then agreed to reclassify the $3.5 million as a loan, and signed a promissory note bearing interest at current market rates. Zou and Qiu purportedly repaid the loan on May 10, 2010, using funds wired from a Chinese bank account to RINO’s U.S. bank account. That money was later wired back to an account in China. The SEC’s complaint charges RINO, Zou, and Qiu with violations of the anti-fraud, reporting, books and records, and internal control provisions of the federal securities laws. Without admitting or denying the allegations, RINO, Zou, and Qiu consented to the entry of a judgment permanently enjoining them from violations of the respective provisions of the securities laws. Zou and Qiu agreed to pay penalties of $150,000 and $100,000 respectively. They also paid the disgorgement amount of $3.5 million into a related class action settlement. Zou and Qiu consented to entry of an order prohibiting them from serving as officers and directors of a public company for 10 years. The settlement is subject to court approval. The SEC’s investigation was conducted by Tom Swiers, Sarah Nilson, Kam Lee, and Melissa Hodgman of the SEC’s Cross Border Working Group, which focuses on U.S. companies with substantial foreign operations. Through the work of the Cross Border Working Group, the SEC has filed fraud cases involving more than 65 foreign issuers and executives, and deregistered the securities of more than 50 companies. (Press Rel. 2013-87; LR-22699) Final Settlements Reached In Golden Goose Insider Trading CaseThe Commission today announced that on May 14, 2013, the Honorable Lorna G. Schofield, United States District Judge for the Southern District of New York, entered final judgments against defendants Jamil Bouchareb, Daniel Corbin and Corbin’s companies, Corbin Investment Holdings, LLC and Augustus Management LLC. These are the last remaining defendants in a Commission case alleging widespread insider trading. The Commission’s case alleged the defendants traded in 11 to 12 corporate transactions based on inside information obtained from Matthew Devlin, a former Lehman Brothers, Inc. representative, who had misappropriated the confidential information from his wife, a partner in a public relations firm working on the deals. Because the inside information was valuable, Bouchareb and Corbin referred to Devlin’s wife as the “golden goose.” A judgment against defendant Matthew Devlin was previously entered by the Court. Bouchareb and Corbin agreed to pay a total of over $1.2 million in disgorgement and prejudgment interest to settle the Commission’s charges. The final judgments against Bouchareb, Corbin and Corbin’s companies permanently enjoin them from violating antifraud provisions Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 10b-5 and 14e-3. Bouchareb was ordered to pay disgorgement of $921,082 and prejudgment interest of $127,216. Corbin was ordered to pay disgorgement of $164,515.50 and prejudgment interest of $26,164.83. Bouchareb’s and Corbin’s disgorgement includes the entities’ trading profits. Bouchareb’s disgorgement also includes profits generated by his parents’ trading and trading profits generated by his girlfriend, relief defendant Maria Checa and her entity, relief defendant Checa International, Inc. Corbin’s disgorgement includes trading profits generated by his father, relief defendant Lee Corbin. Devlin was permanently enjoined from violating Sections 10(b) and 14(e) of the Exchange Act and Exchange Act Rules 10b-5 and 14e-3 in a judgment entered on October 19, 2012. In a related administrative proceeding on May 6, 2013, the Commission barred Devlin from associating with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent, and barred Devlin from participating in any offering of a penny stock. Bouchareb, Corbin and Devlin also pleaded guilty in parallel criminal cases brought by the U.S. Attorney’s Office for the Southern District of New York. Bouchareb was sentenced to 30 months’ imprisonment followed by two years of supervised release and ordered to pay a $20,000 fine and forfeit $1,582,125. Corbin was sentenced to serve six months in prison followed by two years of supervised release and ordered to forfeit $1 million. Based on Devlin’s cooperation with the criminal authorities, the court sentenced Devlin to three years’ probation and ordered him to pay a $10,000 fine and forfeit his gains of $23,000. In prior settlements, the four other defendants in the case agreed to be enjoined from violating the antifraud provisions and pay over $1.3 million in disgorgement, prejudgment interest and civil penalties. The Commission’s relief included permanent industry bars and a forthwith suspension from appearing or practicing before the Commission pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice. Two of these defendants also had pleaded guilty in parallel criminal cases. The Commission acknowledges the assistance and cooperation of the United States Attorney’s Office for the Southern District of New York and the Federal Bureau of Investigation. The Commission also thanks the Financial Industry Regulatory Authority and the Options Regulatory Surveillance Authority. [SEC v. Matthew C. Devlin, et al., Civil Action No. 08-CV-11001 (SDNY) (LGS)] (LR-22700). In the Matter of Wesley W. WangOn May 15, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Wesley W. Wang (Wang). The Order finds that on July 13, 2012, Wang, a former consultant to Trellus Management Company, LLC, a New York-based hedge fund investment adviser, pled guilty to two counts of conspiracy to commit securities fraud in violation of 18 U.S.C. § 371. United States v. Wesley Wang, 12 CR 541 (S.D.N.Y.). The criminal information in that case alleged, inter alia, that Wang, and others, participated in a scheme to defraud by sharing material, nonpublic information regarding certain public companies’ quarterly earnings and other material financial and business information for the purpose of executing securities trades based in whole or in part on such information. The information alleged that Wang obtained material nonpublic information regarding, inter alia, Cisco Systems, Inc., that had been disclosed in violation of duties of trust and confidence, and provided that information to other individuals at the hedge fund adviser where he worked with the expectation that it would be used to execute securities transactions. Based on the above, the Order barred Wang from associating with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Wang consented to the issuance of the Order. (Rel. IA-3608; File No. 3-15327). Commission Orders Hearings on Registration Suspension or Revocation against Nine Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of nine companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the nine issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-69578; File No. 3-15324) Commission Orders Hearings on Registration Suspension or Revocation against Two Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of two companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the two issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-69580; File No. 3-15325) Commission Orders Hearings on Registration Suspension or Revocation against Six Companies for Failure to Make Required Periodic FilingsIn conjunction with these trading suspensions, the Commission today also instituted a public administrative proceeding to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of six companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and/or 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in the proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-69582; File No. 3-15326) INVESTMENT COMPANY ORDERSERNY Financial ETF Trust and ERNY Financial Advisors, LLCA notice has been issued giving interested persons until June 7, 2013, to request a hearing on an application filed by ERNY Financial ETF Trust and ERNY Financial Advisors, LLC for an order to permit: (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; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30514 - May 13, 2013) Lincoln National Life Insurance Company, et al.An order has been issued on an application filed by Lincoln National Life Insurance Company, Lincoln National Variable Annuity Account C, Lincoln National Variable Annuity Account L, Lincoln Life Variable Annuity Account N, Lincoln Life Variable Annuity Account Q, Lincoln Life & Annuity Company of New York, Lincoln Life & Annuity Variable Annuity Account L, and Lincoln New York Account N for Variable Annuities (collectively, the Section 26 Applicants) and Lincoln Variable Insurance Products Trust (Trust) (together with the Section 26 Applicants, the Section 17 Applicants). The order permits the substitution of certain shares of the Trust for shares of other registered investment companies unaffiliated with the Section 26 Applicants. Further, the order grants an exemption from Section 17(a) of the 1940 Act to the extent necessary to permit the Section 17 Applicants to engage in certain in-kind transactions in connection with the substitutions. (Rel. IC-30517 - May 14, 2013) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Fees Schedule (SR-CBOE-2013-049) 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. 34-69569) A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend its Fee Schedule (SR-CBOE-2013-047) 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. 34-69574) A proposed rule change filed by C2 Options Exchange, Incorporated to amend the Fees Schedule (SR-C2-2013-020) 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. 34-69570) Notice of Proposed Rule ChangeThe National Securities Clearing Corporation (NSCC) filed a proposed rule change (File No. SR-NSCC-2013-05), as modified by Amendment No. 1, under Section 19(b)(1) of the Securities Exchange Act of 1934 to require that all locked-in trade data submitted to NSCC for trade recording be submitted in real-time. Publication is expected in the Federal Register during the week of May 13th. (Rel. 34-69571) NYSE Arca, Inc. has filed a proposed rule change (SR-NYSEArca-2013-48), as modified by Amendment No. 1 thereto, pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade shares of iShares Dow Jones-UBS Roll Select Commodity Index Trust pursuant to NYSE Arca Equities Rule 8.200. Publication is expected in the Federal Register during the week of May 13th. (Rel. 34-69573) Designation of Longer Period for Commission Action on Proposed RulesThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on proceedings whether to disapprove proposed rule changes (SR-NYSE-2012-57; SR-NYSEMKT-2012-58) filed by New York Stock Exchange LLC and NYSE MKT LLC deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d) – Equities and Related Supplementary Material. Publication is expected in the Federal Register during the week of May 13th. (Rel. 34-69575) The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-3 Biodel Inc, 100 SAW MILL ROAD, DANBURY, CT, 06810, 203-796-5000 -
0 ($75,000,000.00) Equity, (File 333-188576 - May. 14) (BR. 01A)
S-11 INDEPENDENCE REALTY TRUST, INC, CIRA CENTRE, 2929 ARCH ST. 17TH FLOOR,
PHILADELPHIA, PA, 19104, 2152439000 - 0 ($50,000,000.00) Equity,
(File 333-188577 - May. 14) (BR. 08B)
S-1 FIVE BELOW, INC, 1818 MARKET STREET, SUITE 1900, PHILADELPHIA, PA,
19103, 215 546 7909 - 0 ($360,719,310.00) Equity, (File 333-188578 -
May. 14) (BR. 02A)
S-1 POWER SOLUTIONS INTERNATIONAL, INC., 201 MITTEL DRIVE, WOOD DALE, IL,
60191, 630.350.9400 - 0 ($60,272,650.00) Equity, (File 333-188580 -
May. 14) (BR. 10B)
S-1 MyCause Beverages, Inc., 39445 FLORAL LANE, MECHANICSVILLE, MD, 20659,
301-472-4873 - 0 ($1,000,000.00) Equity, (File 333-188581 - May. 14)
(BR. 09)
S-1 HOTEL OUTSOURCE MANAGEMENT INTERNATIONAL INC, 80 WALL ST, STE 815,
NEW YORK, NY, 10005, 2123441600 - 0 ($1,100,000.00) Equity,
(File 333-188582 - May. 14) (BR. 02C)
S-8 W&T OFFSHORE INC, 4,000,000 ($50,000,000.00) Equity, (File 333-188584 -
May. 14) (BR. 04A)
S-8 PENN VIRGINIA CORP, 100 MATSONFORD ROAD SUITE 200,
FOUR RADNOR CORPORATE CENTER, RADNOR, PA, 19087, 6106878900 -
0 ($11,241,033.00) Equity, (File 333-188587 - May. 14) (BR. 04A)
S-8 SCHLUMBERGER LTD /NV/, 5599 SAN FELIPE, 17TH FLOOR, HOUSTON, TX, 77056,
7135132000 - 22,000,000 ($1,681,570,000.00) Equity, (File 333-188589 -
May. 14) (BR. 04A)
S-8 SCHLUMBERGER LTD /NV/, 5599 SAN FELIPE, 17TH FLOOR, HOUSTON, TX, 77056,
7135132000 - 35,000,000 ($2,675,225,000.00) Equity, (File 333-188590 -
May. 14) (BR. 04A)
S-8 HOME BANCSHARES INC, 719 HARKRIDER, CONWAY, AR, 72032, 501-328-4657 -
0 ($21,945,600.00) Equity, (File 333-188591 - May. 14) (BR. 07B)
S-8 NEPHROS INC, 41 GRAND AVENUE, RIVER EDGE,, NJ, 07661, 201.343.5202 -
2,509,283 ($1,731,405.27) Equity, (File 333-188592 - May. 14) (BR. 10B)
S-8 FIRST FINANCIAL BANCORP /OH/, 255 EAST FIFTH STREET, SUITE 700,
CINCINNATI, OH, 45202, 8773229530 - 1,750,000 ($26,818,750.00) Equity,
(File 333-188593 - May. 14) (BR. 07C)
S-8 QUAKER CHEMICAL CORP, ONE QUAKER PARK, 901 HECTOR STREET, CONSHOHOCKEN,
PA, 19428, 6108324000 - 0 ($4,751,250.00) Equity, (File 333-188594 -
May. 14) (BR. 06B)
S-1 Esperion Therapeutics, Inc., 46701 COMMERCE CENTER DRIVE, PLYMOUTH, MI,
48170, 734-862-4840 - 0 ($70,000,000.00) Equity, (File 333-188595 -
May. 14) (BR. 01A)
S-3ASR Oaktree Capital Group, LLC, 333 SOUTH GRAND AVENUE, 28TH FLOOR,
LOS ANGELES, CA, 90071, (213) 830-6300 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-188596 - May. 14)
(BR. 12B)
S-1 AxoGen, Inc., 13859 PROGRESS BLVD., SUITE 100, ALACHUA, FL, 32615,
(386) 462-6817 - 0 ($15,000,000.00) Equity, (File 333-188597 - May. 14)
(BR. 10A)
S-8 Fortune Brands Home & Security, Inc., 520 LAKE COOK ROAD, DEERFIELD,
IL, 60015, 847-484-4400 - 0 ($186,932,500.00) Equity,
(File 333-188598 - May. 14) (BR. 06C)
S-8 ALBEMARLE CORP, 451 FLORIDA STREET, BATON ROUGE, LA, 70801,
2253888011 - 500,000 ($30,975,000.00) Equity, (File 333-188599 -
May. 14) (BR. 06C)
S-8 Nielsen Holdings N.V., 770 BROADWAY, NEW YORK, NY, 10003,
(646) 654-5000 - 0 ($336,567,000.00) Equity, (File 333-188601 -
May. 14) (BR. 03A)
S-8 Dolby Laboratories, Inc., 100 POTRERO AVENUE, SAN FRANCISCO, CA, 94103,
415 558 0200 - 0 ($347,630,000.00) Equity, (File 333-188602 - May. 14)
(BR. 11A)
S-1 Covisint Corp, ONE CAMPUS MARTIUS, DETROIT, MI, 48226-5099,
3132277300 - 0 ($100,000,000.00) Equity, (File 333-188603 - May. 14)
(BR. 03B)
S-8 Emerge Energy Services LP, 1400 CIVIC PLACE, SUITE 250, SOUTHLAKE, TX,
76092, 817-488-7775 - 0 ($38,939,403.00) Equity, (File 333-188604 -
May. 14) (BR. 04B)
S-1 bluebird bio, Inc., 840 MEMORIAL DR 3RD FL, CAMBRIDGE, MA, 02139,
617-491-5601 - 0 ($86,250,000.00) Equity, (File 333-188605 - May. 14)
(BR. 01A)
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
ACCELLENT INC 2.02,9.01 05/14/13
ACCESS MIDSTREAM PARTNERS LP DE 1.01,2.03,9.01 05/13/13
ACCO BRANDS Corp DE 7.01 05/13/13 AMEND
Addus HomeCare Corp DE 7.01,9.01 05/14/13
ADDVANTAGE TECHNOLOGIES GROUP INC OK 2.02,7.01,9.01 05/14/13
ADMA BIOLOGICS, INC. DE 2.02,9.01 05/14/13
AEMETIS, INC NV 1.01,3.02,9.01 04/15/13 AMEND
AEROCENTURY CORP DE 2.02 05/14/13
AFFYMAX INC DE 1.01,5.02 05/14/13
AGILENT TECHNOLOGIES INC DE 2.02 05/14/13
Air Transport Services Group, Inc. DE 2.02,9.01 05/14/13
AKORN INC LA 4.01,9.01 03/22/13 AMEND
ALASKA PACIFIC BANCSHARES INC AK 2.02,9.01 05/14/13
Alexza Pharmaceuticals Inc. DE 2.02,9.01 05/14/13
ALION SCIENCE & TECHNOLOGY CORP DE 2.02,7.01,8.01 05/14/13
ALLERAYDE SAB, INC. FL 4.01,9.01 05/09/13
Allison Transmission Holdings Inc DE 5.07 05/08/13
AMERELITE SOLUTIONS, INC. NV 1.01,5.01, 05/13/13
5.02,8.01,9.01
American Boarding Co DE 4.01,9.01 05/14/13
American Casino & Entertainment Prope DE 2.02,9.01 05/14/13
AMERICAN CRYSTAL SUGAR CO /MN/ MN 7.01 05/13/13
AMERICAN LOCKER GROUP INC DE 5.07 05/08/13
American Midstream Partners, LP DE 2.02,9.01 05/13/13
American Midstream Partners, LP DE 5.02 05/08/13
AMERICAN SHARED HOSPITAL SERVICES CA 2.02,9.01 05/14/13
AMERISOURCEBERGEN CORP DE 8.01,9.01 05/13/13
Amtrust Financial Services, Inc. DE 8.01 05/14/13
Apollo Global Management LLC DE 1.01,8.01,9.01 05/09/13
APOLLO INVESTMENT CORP MD 7.01 05/14/13
APPLE REIT SIX INC 8.01,9.01 05/14/13
APPLIANCE RECYCLING CENTERS OF AMERIC MN 5.07 05/14/13
ARC Group Worldwide, Inc. UT 2.02,9.01 05/14/13
ARI NETWORK SERVICES INC /WI WI 7.01,9.01 05/13/13
ARK RESTAURANTS CORP NY 2.02,9.01 05/13/13
ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 7.01,9.01 05/10/13
Ascent Capital Group, Inc. DE 2.02,9.01 05/09/13
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 05/09/13
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 05/14/13
ASSURANT INC 5.07 05/09/13
ASTORIA FINANCIAL CORP DE 2.02,9.01 05/14/13
ATHERSYS, INC / NEW DE 2.02,9.01 05/14/13
ATWOOD OCEANICS INC TX 7.01,9.01 05/14/13
AURA SYSTEMS INC DE 1.01 05/14/13
AUTOLIV INC DE 7.01,8.01,9.01 05/14/13
AVISTA CORP WA 8.01 05/09/13
AVISTA CORP WA 5.02,5.07 05/09/13
AXESSTEL INC NV 2.02,9.01 05/14/13
AXIS CAPITAL HOLDINGS LTD 8.01,9.01 05/13/13
Bank of New York Mellon CORP DE 8.01,9.01 05/14/13
Bassline Productions, Inc NV 3.02,9.01 05/10/13
BEACON ENTERPRISE SOLUTIONS GROUP INC NV 1.01,9.01 05/10/13
BIMINI CAPITAL MANAGEMENT, INC. MD 2.02,9.01 05/13/13
BIO REFERENCE LABORATORIES INC NJ 7.01 05/14/13
BIOANALYTICAL SYSTEMS INC IN 5.07 03/14/13 AMEND
BIOLIFE SOLUTIONS INC DE 2.01,9.01 05/14/13
BIOLOGIX HAIR INC. NV 1.01,3.02,9.01 01/28/13
Black Ridge Oil & Gas, Inc. DE 2.02,9.01 05/14/13
BLYTH INC DE 7.01,9.01 05/14/13
BLYTH INC DE 5.02,5.07,9.01 05/14/13
BON TON STORES INC PA 2.02,9.01 05/13/13 AMEND
Brazil Minerals, Inc. NV 9.01 05/14/13 AMEND
BULK STORAGE SOFTWARE, INC. CO 4.01 05/13/13
C H ROBINSON WORLDWIDE INC DE 5.02,5.07,9.01 05/09/13
CACHE INC FL 2.02,9.01 05/14/13
CAMAC Energy Inc. DE 5.07 05/13/13
CannaVEST Corp. TX 4.01,9.01 05/08/13
CANTERBURY PARK HOLDING CORP MN 2.02,9.01 05/14/13
Capall Stables, Inc. DE 3.03,5.03 05/14/13
Capital Bank Financial Corp. DE 7.01,9.01 05/14/13
CAPITAL ONE FINANCIAL CORP DE 8.01 05/14/13
CAPITAL ONE FUNDING, LLC 8.01,9.01 05/14/13
CAPSTEAD MORTGAGE CORP MD 3.03,5.03,8.01,9.01 05/08/13
CARRIZO OIL & GAS INC TX 7.01 05/14/13
CASCADE BANCORP OR 8.01,9.01 05/13/13
CATHAY GENERAL BANCORP DE 5.07 05/13/13
CBRE GROUP, INC. DE 7.01,9.01 05/14/13
CEMPRA, INC. DE 1.01,9.01 05/08/13
Centaur Guernsey L.P. Inc. 2.02,9.01 05/14/13
Centor Inc. NV 1.01,7.01,9.01 05/14/13
CENTRAL EUROPEAN DISTRIBUTION CORP DE 8.01,9.01 05/13/13
CFS BANCORP INC IN 5.07 05/14/13
Chanticleer Holdings, Inc. DE 2.02,9.01 05/14/13
CHC Helicopter S.A. N4 1.01,2.03,8.01,9.01 05/08/13
ChemoCentryx, Inc. DE 2.02,9.01 05/13/13
CHICAGO BRIDGE & IRON CO N V P7 5.02 05/08/13
China Liaoning Dingxu Ecological Agri NV 4.02 05/13/13
CIFC Corp. DE 2.02,9.01 05/13/13
CIT GROUP INC DE 5.07 05/14/13
Clearwire Corp /DE DE 8.01,9.01 05/14/13
CLOUD PEAK ENERGY INC. DE 7.01,9.01 05/14/13
CNL Healthcare Properties, Inc. MD 1.01,2.03,9.01 05/08/13
COGENT COMMUNICATIONS GROUP INC 5.02 05/14/13
Comstock Holding Companies, Inc. DE 2.02,9.01 05/14/13
CONSOL Energy Inc DE 5.02,5.07 05/08/13
CONSOL Energy Inc DE 1.01 05/08/13
CONSTELLATION BRANDS, INC. DE 8.01,9.01 05/13/13
Corporate Capital Trust, Inc. MD 5.07 05/09/13
Corporate Resource Services, Inc. DE 8.01,9.01 05/14/13
COVER ALL TECHNOLOGIES INC DE 2.02,9.01 05/14/13
Covidien plc 7.01,9.01 05/13/13
CRC Health CORP DE 2.02,9.01 05/14/13
CROSSROADS SYSTEMS INC DE 5.02,9.01 05/08/13
CULP INC NC 8.01 05/08/13
CVS CAREMARK CORP DE 5.07 05/14/13 AMEND
CYS Investments, Inc. MD 5.07 05/10/13
Cytosorbents Corp 8.01,9.01 05/07/13
DARA BioSciences, Inc. DE 5.07 05/10/13
DARA BioSciences, Inc. DE 3.01 05/13/13
DARLING INTERNATIONAL INC DE 7.01,9.01 05/14/13
DECKERS OUTDOOR CORP DE 5.07 05/08/13
DEL TORO SILVER CORP. NV 3.02 05/10/13
Delek US Holdings, Inc. 7.01,9.01 05/13/13
DELTA MUTUAL INC DE 5.02,9.01 05/10/13
Diamondback Energy, Inc. DE 7.01,9.01 05/14/13
Digital Cinema Destinations Corp. DE 2.02,9.01 05/14/13
DIODES INC /DEL/ DE 2.02,7.01,9.01 05/09/13
DISH Network CORP NV 7.01,9.01 05/14/13
DOW CHEMICAL CO /DE/ DE 5.07 05/09/13
DOW CHEMICAL CO /DE/ DE 5.02 02/13/13 AMEND
Duke Energy CORP DE 8.01 05/13/13
DUKE REALTY CORP IN 8.01,9.01 05/14/13
DYNEX CAPITAL INC VA 7.01,9.01 05/14/13
EAGLE MATERIALS INC DE 2.02,9.01 05/14/13
EARTHLINK INC DE 8.01,9.01 05/14/13
EASTERN AMERICAN NATURAL GAS TRUST DE 3.01,9.01 05/14/13
Emerge Energy Services LP DE 1.01,9.01 05/08/13
ENCORE CAPITAL GROUP INC DE 7.01,9.01 05/13/13
ENGLOBAL CORP NV 2.02,9.01 05/14/13
EnteroMedics Inc 1.01,5.07 05/08/13
EP Energy LLC DE 7.01,9.01 05/14/13
ERBA Diagnostics, Inc. DE 5.02 05/08/13
Essex Rental Corp. IL 7.01,9.01 05/14/13
Express Scripts Holding Co. DE 5.07 05/09/13
Federal Home Loan Bank of Atlanta X1 2.03 05/08/13
Federal Home Loan Bank of Boston X1 2.03 05/08/13
Federal Home Loan Bank of Chicago X1 2.03 05/08/13
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 05/08/13
Federal Home Loan Bank of Des Moines X1 2.03,9.01 05/08/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 05/14/13
Federal Home Loan Bank of New York X1 2.03,9.01 05/08/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 05/08/13
Federal Home Loan Bank of San Francis X1 2.03 05/08/13
Federal Home Loan Bank of Seattle 2.03 05/08/13
Federal Home Loan Bank of Topeka 2.03,9.01 05/09/13
FEEL GOLF CO INC CA 2.01 05/14/13
FEMALE HEALTH CO WI 5.02,5.03,9.01 05/13/13
FIELDPOINT PETROLEUM CORP CO 7.01,9.01 05/13/13
FINANCIAL INSTITUTIONS INC NY 5.02,5.07 05/08/13
FIRST BANKS, INC MO 1.01,9.01 05/14/13
FIRST COLOMBIA GOLD CORP. NV 1.01,3.02,9.01 05/09/13
FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,8.01,9.01 05/14/13
First Internet Bancorp IN 5.02 05/13/13
FIRST MERCHANTS CORP IN 5.07 05/09/13
FIRST MIDWEST BANCORP INC DE 7.01,9.01 05/14/13
FIRST MIDWEST BANCORP INC DE 7.01,9.01 05/14/13
FIRST PRIORITY FINANCIAL CORP. PA 7.01,9.01 05/14/13
FIVE BELOW, INC PA 2.02,8.01,9.01 05/14/13
FLORIDA GAMING CORP DE 1.01,9.01 05/08/13
Flux Power Holdings, Inc. NV 8.01,9.01 05/14/13
FORD MOTOR CO DE 5.07 05/09/13
Fortegra Financial Corp DE 2.02 05/13/13
Fortress International Group, Inc. DE 8.01,9.01 05/14/13
FTI CONSULTING INC MD 7.01,9.01 05/09/13
GENCOR INDUSTRIES INC DE 2.02,9.01 05/14/13
General Growth Properties, Inc. DE 5.07 05/10/13
General Motors Financial Company, Inc TX 1.01,2.03,8.01,9.01 05/14/13
GENTIVA HEALTH SERVICES INC DE 5.02,5.07,9.01 05/09/13
GEO POINT TECHNOLOGIES INC UT 1.01,2.01,3.02, 05/08/13
5.01,5.02,8.01,9.01
GeoMet, Inc. DE 5.07 05/14/13
GLADSTONE INVESTMENT CORPORATION\DE DE 2.02,9.01 05/14/13
GLIMCHER REALTY TRUST MD 5.07 05/09/13
GLOBAL AXCESS CORP NV 1.01,2.03,5.02,9.01 05/09/13
Global Eagle Entertainment Inc. DE 1.01 05/08/13
GLOBAL POWER EQUIPMENT GROUP INC. DE 5.07 05/08/12
GLOBALSCAPE INC DE 2.02,9.01 05/14/13
Globalstar, Inc. DE 1.01,7.01,9.01 05/13/13
GOLDRICH MINING CO AK 7.01,9.01 05/09/13
Gordmans Stores, Inc. DE 8.01,9.01 05/13/13
GRANITE CITY FOOD & BREWERY LTD. MN 2.02,9.01 05/13/13
GREAT PLAINS ENERGY INC MO 7.01,9.01 05/14/13
Greektown Superholdings, Inc. DE 5.02 05/09/13
GRIFFIN LAND & NURSERIES INC DE 7.01,9.01 05/14/13
Griffin-American Healthcare REIT II, MD 7.01,9.01 05/14/13
Grizzly Gold Corp. FL 1.01 05/10/13
GRYPHON GOLD CORP NV 5.02,7.01,9.01 05/10/13
GSE SYSTEMS INC DE 2.02 03/31/13
GULF ISLAND FABRICATION INC LA 5.02,9.01 05/14/13
GULFMARK OFFSHORE INC DE 7.01,9.01 05/14/13
GXS Worldwide, Inc. DE 2.02,9.01 05/14/13
HALCON RESOURCES CORP DE 1.01,9.01 05/08/13
HANOVER INSURANCE GROUP, INC. DE 5.07 05/14/13
HAVERTY FURNITURE COMPANIES INC MD 5.07 05/14/13
HAWAIIAN ELECTRIC INDUSTRIES INC HI 5.07 05/08/13
HEARTLAND PAYMENT SYSTEMS INC DE 8.01 05/08/13
HESKA CORP DE 2.02,9.01 03/31/13
Hi-Crush Partners LP de 2.02,9.01 05/14/13
Hi-Crush Partners LP de 7.01,9.01 05/14/13
HICKOK INC OH 2.02,9.01 03/31/13
HIGHLANDS BANKSHARES INC /VA/ VA 5.07 05/08/13
Hillshire Brands Co MD 7.01,9.01 05/14/13
HOLLYWOOD MEDIA CORP FL 2.02,9.01 05/14/13
Hondo Minerals Corp 7.01,9.01 05/14/13
HOOPER HOLMES INC NY 2.02,9.01 05/10/13
HOSPIRA INC DE 8.01,9.01 05/10/13
HUDSON VALLEY HOLDING CORP NY 5.07 05/09/13
IMH Financial Corp DE 2.01,9.01 05/14/13
IMMUCELL CORP /DE/ DE 2.02,9.01 05/14/13
Imperial Holdings, Inc. 2.02,9.01 05/14/13
IMPLANT SCIENCES CORP MA 2.02,7.01,8.01,9.01 05/14/13
INDEPENDENT BANK CORP MA 8.01,9.01 05/14/13
INFOSONICS Corp 2.02,9.01 05/14/13
INTERFACE INC GA 5.07 05/14/13
International Stem Cell CORP DE 2.02,9.01 05/14/13
INTERSECTIONS INC DE 2.02,7.01,9.01 05/09/13
Intrepid Potash, Inc. DE 7.01,9.01 05/14/13
INTRUSION INC DE 2.02,9.01 05/13/13
INVACARE CORP OH 8.01,9.01 05/13/13
iPayment Holdings, Inc DE 2.02,9.01 05/14/13
J C PENNEY CO INC DE 7.01,9.01 05/14/13
J C PENNEY CO INC DE 8.01,9.01 05/14/13
J&J SNACK FOODS CORP NJ 8.01,9.01 05/14/13
J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 05/14/13
JETBLUE AIRWAYS CORP DE 5.07,7.01,9.01 05/09/13
KALOBIOS PHARMACEUTICALS INC DE 2.02,9.01 05/14/13
KBS Legacy Partners Apartment REIT, I MD 1.01 05/10/13
KEYSTONE CONSOLIDATED INDUSTRIES INC DE 2.02,7.01,9.01 05/14/13
KINDER MORGAN ENERGY PARTNERS L P DE 7.01,9.01 05/13/13
KINDER MORGAN MANAGEMENT LLC DE 7.01,9.01 05/13/13
KINDER MORGAN, INC. DE 7.01,9.01 05/13/13
KITE REALTY GROUP TRUST MD 5.02,5.07,9.01 05/08/13
KOPIN CORP DE 5.07 05/09/13
KOPIN CORP DE 5.02,9.01 05/09/13
KVH INDUSTRIES INC \DE\ DE 1.01,2.01,2.03,9.01 05/09/13
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 05/14/13
LAKELAND BANCORP INC NJ 3.03,5.03,9.01 05/10/13
LANCASTER COLONY CORP OH 8.01 05/10/13
LaPorte Bancorp, Inc. MD 7.01,9.01 05/14/13
Leatt Corp NV 2.02,9.01 05/14/13
LGL GROUP INC DE 7.01,9.01 05/14/13
LGL GROUP INC DE 2.02,7.01,9.01 05/13/13 AMEND
LIFEWAY FOODS INC IL 8.01 05/14/13
Lightyear Network Solutions, Inc. NV 1.01,5.02,8.01,9.01 05/09/13
LORILLARD, INC. DE 5.03,5.07,9.01 05/14/13
LSI CORP DE 5.02,5.07,9.01 05/09/13
Macy's, Inc. DE 1.01,9.01 05/14/13
MAGELLAN HEALTH SERVICES INC DE 5.02,9.01 05/14/13
MAGNETEK, INC. DE 5.03,9.01 05/14/13
MARRIOTT INTERNATIONAL INC /MD/ DE 5.02,5.07,8.01,9.01 05/10/13
MATTEL INC /DE/ DE 5.07 05/10/13
Mayflower Bancorp Inc MA 8.01,9.01 05/14/13
MBIA INC CT 7.01 05/14/13
McEwen Mining Inc. CO 7.01,9.01 05/14/13
MediaShift, Inc. NV 5.02,7.01,9.01 05/14/13
MetroCorp Bancshares, Inc. TX 5.07 05/10/13 AMEND
MIDSOUTH BANCORP INC LA 8.01,9.01 05/13/13
MILLER HERMAN INC MI 5.02 05/09/13
MOLSON COORS BREWING CO DE 5.02 05/14/13
Momentive Performance Materials Inc. DE 2.02,9.01 05/14/13
MOMENTIVE SPECIALTY CHEMICALS INC. NJ 2.02,9.01 05/14/13
MONARCH CASINO & RESORT INC NV 5.07 05/10/13
MONARCH CASINO & RESORT INC NV 3.01 05/13/13
MONEYGRAM INTERNATIONAL INC 5.02,5.07,9.01 05/08/13
MONITRONICS INTERNATIONAL INC TX 2.02,9.01 05/09/13
MONROE CAPITAL Corp MD 2.02,9.01 05/14/13
MORGAN STANLEY DE 5.02,5.07,9.01 05/14/13
Morningstar, Inc. IL 7.01,9.01 05/14/13
MYOS Corp NV 2.02,9.01 05/14/13
NAPCO SECURITY TECHNOLOGIES, INC DE 2.02,9.01 05/13/13
National American University Holdings DE 7.01 05/10/13
NATIONAL BANKSHARES INC VA 8.01,9.01 05/14/13
NATURAL GAS SERVICES GROUP INC 2.02,9.01 05/09/13
NATURES SUNSHINE PRODUCTS INC UT 2.02,5.02,5.03, 05/08/13
5.07,8.01,9.01
NCI BUILDING SYSTEMS INC DE 2.02,3.02,8.01,9.01 05/14/13
NEPHROS INC DE 5.07 05/13/13
NEW HAMPSHIRE THRIFT BANCSHARES INC DE 5.07 05/09/13
NEWELL RUBBERMAID INC DE 5.02,9.01 05/07/13
NEWLINK GENETICS CORP 5.02,5.03,5.07,9.01 05/14/13
NORFOLK SOUTHERN CORP VA 5.03,5.07,9.01 05/14/13
Northern Tier Energy LP DE 2.02,7.01,9.01 05/13/13
Novelis Inc. A6 2.02,9.01 05/14/13
NTELOS HOLDINGS CORP 7.01,9.01 05/14/13
NTS, INC. NV 2.02,7.01,9.01 05/14/13
NUCOR CORP DE 5.07 05/09/13
NUPATHE INC. DE 2.02,9.01 05/14/13
Nutrastar International Inc. NV 2.02,9.01 05/14/13
NV5 Holdings, Inc. DE 2.02,9.01 05/14/13
NVIDIA CORP DE 1.01 05/14/13
OCEANFIRST FINANCIAL CORP DE 5.02,5.07,9.01 05/08/13
Odenza Corp. 4.01,9.01 04/12/13 AMEND
Opexa Therapeutics, Inc. TX 2.02,7.01,9.01 05/14/13
OPPENHEIMER HOLDINGS INC DE 5.07 05/13/13
ORTHOFIX INTERNATIONAL N V 5.02,9.01 05/09/13
PALATIN TECHNOLOGIES INC DE 2.02,9.01 05/14/13
PARKER DRILLING CO /DE/ DE 5.02,8.01,9.01 05/08/13
PEABODY ENERGY CORP DE 7.01,9.01 05/14/13
PENNYMAC FINANCIAL SERVICES, INC. DE 1.01,5.03,8.01,9.01 05/08/13
Philip Morris International Inc. VA 8.01,9.01 05/14/13
PLUG POWER INC DE 2.02,9.01 05/14/13
Plures Technologies, Inc./DE DE 1.01,2.03,3.02,9.01 05/08/13
Plymouth Opportunity REIT Inc. MD 7.01 05/09/13
Primo Water Corp DE 2.02,9.01 05/14/13
PROASSURANCE CORP DE 5.02,9.01 05/14/13
PROASSURANCE CORP DE 7.01,9.01 05/14/13
PROCTER & GAMBLE Co OH 7.01 05/14/13
Propell Technologies Group, Inc. DE 7.01,9.01 05/14/13
PROTALEX INC DE 1.01,2.03,9.01 05/13/13
Prothena Corp plc L2 2.02,9.01 05/14/13
PROVIDENT NEW YORK BANCORP DE 5.02,9.01 05/13/13
QCR HOLDINGS INC DE 8.01,9.01 05/14/13
QKL Stores Inc. DE 2.02,9.01 05/14/13
QUALSTAR CORP CA 2.02,9.01 05/14/13
QUANTUM CORP /DE/ DE 1.01,5.02,8.01,9.01 05/13/13
QUANTUM MATERIALS CORP. NV 4.01,9.01 05/06/13
QUESTAR CORP UT 1.01,5.02,5.07 05/10/13
QUESTCOR PHARMACEUTICALS INC CA 7.01,9.01 05/14/13
QVC INC DE 2.02,9.01 05/08/13
RADIANT LOGISTICS, INC DE 2.02,9.01 05/14/13
RADIO ONE, INC. DE 2.02,8.01,9.01 05/09/13
REGAL ENTERTAINMENT GROUP DE 5.07 05/08/13
REGENCY CENTERS CORP FL 5.02,9.01 05/13/13
Regional Management Corp. DE 2.03,9.01 05/13/13
Regulus Therapeutics Inc. DE 2.02,9.01 05/14/13
RESPONSE BIOMEDICAL CORP A1 2.02,9.01 05/13/13
RESPONSE GENETICS INC 2.02,9.01 05/14/13
ROCKFORD OIL CORP NV 5.02 05/02/13
ROCKWELL MEDICAL, INC. MI 7.01,9.01 05/14/13
ROCKY BRANDS, INC. OH 1.01,2.03,5.07 05/08/13
ROGERS CORP MA 7.01,9.01 05/14/13
Rosetta Resources Inc. DE 2.01,7.01,9.01 05/14/13
ROYAL HAWAIIAN ORCHARDS, L.P. DE 2.02,9.01 05/14/13
RYLAND GROUP INC MD 7.01,9.01 05/14/13
S&T BANCORP INC PA 7.01,9.01 05/14/13
SAGA COMMUNICATIONS INC DE 5.07 05/13/13
SAJAN INC DE 2.02,9.01 05/14/13
SAUL CENTERS INC MD 1.01,5.02,5.03, 05/10/13
5.07,8.01,9.01
SBA COMMUNICATIONS CORP FL 5.07 05/09/13
SCBT FINANCIAL CORP SC 7.01,8.01,9.01 05/14/13
SCHLUMBERGER LTD /NV/ P8 5.02 05/08/13
SCIENTIFIC GAMES CORP DE 7.01,9.01 05/14/13
Sears Hometown & Outlet Stores, Inc. DE 7.01,9.01 05/14/13
SeaWorld Entertainment, Inc. DE 1.01,2.03 05/14/13
SED INTERNATIONAL HOLDINGS INC 2Q 2.02,9.01 05/14/13
SELECT MEDICAL HOLDINGS CORP 1.01,8.01,9.01 05/13/13
SEMPRA ENERGY CA 5.07 05/09/13
SERVICEMASTER CO DE 2.02,7.01,9.01 05/14/13
Sierra Income Corp MD 5.07 05/08/13
Silver Bay Realty Trust Corp. MD 2.02,9.01 05/13/13
SILVER BULL RESOURCES, INC. NV 7.01,8.01,9.01 04/30/13
SIMON PROPERTY GROUP INC /DE/ DE 5.07 05/14/13
SINOCOKING COAL & COKE CHEMICAL INDUS FL 2.02,9.01 05/14/13
SMITHFIELD FOODS INC VA 2.02,9.01 05/14/13
Snap Interactive, Inc DE 5.07 05/13/13
SOLITRON DEVICES INC DE 5.02 05/13/13
Sorrento Therapeutics, Inc. DE 1.01 05/10/13
SOUTHWEST GAS CORP CA 5.07 05/09/13
Spansion Inc. DE 5.02 05/13/13
SPAR GROUP INC DE 2.02,8.01,9.01 05/14/13
Spy Inc. DE 2.02,8.01,9.01 05/14/13
SS&C Technologies Holdings Inc DE 1.01,8.01,9.01 05/08/13
STATE STREET CORP MA 8.01,9.01 05/08/13
Station Casinos LLC NV 2.02,9.01 05/14/13
STERLING CONSTRUCTION CO INC DE 2.02,5.02,5.07,9.01 05/09/13
STRATEGIC HOTELS & RESORTS, INC 7.01,9.01 05/14/13
StrikeForce Technologies Inc. WY 5.03 05/14/13
SUBURBAN PROPANE PARTNERS LP DE 1.01,8.01,9.01 05/13/13
SUPERTEX INC CA 7.01,9.01 05/13/13
SUSQUEHANNA BANCSHARES INC PA 5.02,9.01 05/13/13
SYNERGY PHARMACEUTICALS, INC. DE 8.01,9.01 05/14/13
SYNOVUS FINANCIAL CORP GA 8.01,9.01 05/10/13
Synthetic Biologics, Inc. NV 7.01,9.01 05/14/13
SYPRIS SOLUTIONS INC DE 2.02,7.01,9.01 05/14/13
SYPRIS SOLUTIONS INC DE 2.02,7.01,9.01 05/14/13 AMEND
TALON INTERNATIONAL, INC. DE 2.02,9.01 05/14/13
TAMINCO Corp DE 2.02,9.01 05/14/13
TANDY BRANDS ACCESSORIES INC DE 2.02,9.01 05/14/13
TARA GOLD RESOURCES CORP. NV 1.02 05/07/13
Tara Minerals Corp. NV 1.02 05/07/13
Targa Resources Partners LP DE 1.01,2.03,8.01,9.01 05/09/13
Taylor Morrison Home Corp DE 2.02,9.01 05/14/13
TECHE HOLDING CO LA 7.01,9.01 05/13/13 AMEND
TEREX CORP DE 5.02,5.07,9.01 05/09/13
TEXAS CAPITAL BANCSHARES INC/TX 5.07 05/14/13
TG THERAPEUTICS, INC. DE 2.02,9.01 05/13/13
THERMOGENESIS CORP DE 2.02,9.01 05/14/13
THESTREET, INC. DE 4.01,9.01 04/24/13 AMEND
THT Heat Transfer Technology, Inc. NV 2.02,7.01,9.01 05/14/13
Tianli Agritech, Inc. D8 2.02,9.01 05/13/13
Tim Hortons Inc. A6 5.02,9.01 05/08/13
TOFUTTI BRANDS INC DE 2.02,9.01 05/14/13
TRANSATLANTIC PETROLEUM LTD. 1.01,9.01 05/08/13
TRANSWITCH CORP /DE DE 2.02,9.01 05/14/13
Tree.com, Inc. DE 2.02,9.01 05/14/13
TRI Pointe Homes, Inc. 2.02,9.01 05/14/13
Tribute Pharmaceuticals Canada Inc. A6 9.01 05/14/13
TRICO BANCSHARES / CA 5.02,5.07 05/09/13
TRIMAS CORP DE 5.07 05/09/13
TRIMBLE NAVIGATION LTD /CA/ CA 5.02,9.01 05/13/13
TriState Capital Holdings, Inc. PA 8.01,9.01 05/14/13
TRUSTMARK CORP MS 7.01,9.01 05/14/13
Tungsten Corp. NV 1.01,5.02,9.01 05/13/13
UMB FINANCIAL CORP MO 5.02,5.07,9.01 05/14/13 AMEND
UNICO AMERICAN CORP NV 2.02 03/31/13
UNIFIED GROCERS, INC. CA 5.02,9.01 05/08/13
UNIGENE LABORATORIES INC DE 8.01,9.01 05/14/13
Unilife Corp DE 5.02 05/08/13
Valeant Pharmaceuticals International A6 5.02,9.01 05/08/13
VALSPAR CORP DE 2.02,9.01 05/14/13
Vantage Drilling CO E9 7.01,9.01 05/14/13
Vantage Health NV 5.02 05/14/13
Venoco, Inc. DE 2.02,9.01 05/14/13
VENTAS INC DE 8.01 05/13/13
Verastem, Inc. DE 5.02,5.07,9.01 05/09/13
VERMILLION, INC. DE 1.01,5.03,9.01 05/13/13
VII Peaks-KBR Co-Optivist Income BDC MD 2.02,5.07,8.01,9.01 05/09/13
VWR Funding, Inc. DE 7.01,9.01 05/14/13
Warner Music Group Corp. DE 2.02,9.01 05/14/13
WASTE MANAGEMENT INC DE 5.07 05/14/13
WELLS FARGO & COMPANY/MN DE 9.01 05/14/13
Western Refining, Inc. DE 7.01 05/13/13
WhiteHorse Finance, Inc. DE 2.02,9.01 05/14/13
Willbros Group, Inc.\NEW\ 2.02,9.01 05/08/13
Williams Partners L.P. 8.01,9.01 05/13/13
Williams Partners L.P. 1.01,9.01 05/14/13
ZAIS Financial Corp. MD 2.02,9.01 05/14/13
ZOLTEK COMPANIES INC DE 2.02,9.01 05/10/13
http://www.sec.gov/news/digest/2013/dig051513.htm
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