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Enforcement proceedingsCommission Obtains Final Judgment against CFO of Chinese Reverse Merger CompanyThe Securities and Exchange Commission (Commission) announced that the Court in SEC v. Ren Hu, 12-CV-5811 (S.D.N.Y.) entered final judgment by consent against defendant Ren Hu, the former chief financial officer of China Yingxia International, Inc., a Chinese reverse merger company that failed in early 2009. The final judgment, entered on May 16, 2013, permanently enjoins Hu from violating Section 10(b) of the Securities Exchange Act of 1934, and Rules 10b-5, 13a-14, and 13b2-2 thereunder, and further from aiding and abetting violations of Section 13(b)(2)(B) of the Exchange Act. The final judgment also imposes a 3-year officer and director bar against Hu but does not include any civil monetary penalty based on Hu's financial condition. The SEC's Complaint, filed on July 30, 2012, charged Hu with fraudulent representations in SOX certifications. Among other things, the Complaint alleges that Hu made material misrepresentations in several SOX certifications. The SEC alleges that Hu misrepresented that he had designed or caused to be designed disclosure and internal controls, when he had not done so. The SEC also alleges that Hu knowingly failed to implement internal controls, aided and abetted China Yingxia's failure to do so, and made materially misleading statements to auditors concerning such controls and potential fraud by the CEO, who has reportedly been convicted by Chinese authorities for illegal fundraising activities, similar to a Ponzi scheme. (LR- 22704) INVESTMENT COMPANY ORDERSFrank Russell Company, et al.A notice has been issued giving interested persons until June 11, 2013, to request a hearing on an application filed by Frank Russell Company, et al., for an order exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (Rel. IC-30524 - May 17, 2013) LocalShares Investment Trust, et al.A notice has been issued giving interested persons until June 10, 2013, to request a hearing on an application filed by LocalShares Investment Trust, et al., for an order to permit: (a) certain open-end management investment companies or series thereof 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-30523 - May 15, 2013) Self-regulatory organizationsNotice of Filing of an Advance NoticeThe Options Clearing Corporation (OCC) filed an advanced notice (SR-OCC-2013-802) pursuant to Section 806(e)(1) of the Payment, Clearing, and Settlement Supervision Act of 2010 and Rule 19b-4(n)(1)(i) of the Securities Exchange Act of 1934 (Exchange Act) to change the expiration date for most option contracts to the third Friday of the expiration month instead of the Saturday following the third Friday. OCC also filed the proposal contained in this advance notice as a proposed rule change, under Section 19(b)(1) of the Exchange Act and Rule 19b-4 thereunder, seeking Commission approval to permit OCC to change its rules to reflect the proposed change in this advance notice. Release No. 34-69480 (April 30, 2013), 78 FR 26413 (May 6, 2013) (SR-OCC-2013-04). The proposal shall not take effect until all regulatory actions required with respect to the proposal are completed. The Commission will consider all public comments received on this proposal regardless of whether the comments are submitted in response to the proposed rule change (SR-OCC-2013-04) or the advance notice (SR-OCC-2013-802). Publication is expected in the Federal Register during the week of May 20th. (Rel. 34-69603) The Fixed Income Clearing Corporation (FICC) filed an advance notice (File No. SR-FICC-2013-802) pursuant to Section 806(e)(1) of the Payment, Clearing, and Settlement Supervision Act of 2010 and Rule 19b-4(n)(1)(i) of the Securities Exchange Act of 1934 (Exchange Act) to include options on interest rate futures contracts with maturities not longer than two years in the one-pot cross-margining program between FICC's Government Securities Division and New York Portfolio Clearing, LLC. FICC also filed the proposal contained in the advance notice as a proposed rule change (File No. SR-FICC-2013-02) under Section 19(b)(1) of the Exchange Act and Rule 19b-4 thereunder. Release No. 34-69470 (Apr. 29, 2013), 78 FR 26093 (May 3, 2013). The proposal shall not take effect until all regulatory actions required with respect to the proposal are completed. The Commission will consider all public comments received on the proposal regardless of whether the comments are submitted in response to the proposed rule change (File No. SR-FICC-2013-02) or the advance notice (File No. SR-FICC-2013-802). Publication is expected in the Federal Register during the week of May 20th. (Rel. 34-69602) 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 MAGNEGAS CORP, 150 RAINVILLE ROAD, TARPON SPRINGS, FL, 34689,
(727) 932-9593 - 0 ($20,000,000.00) Other, (File 333-188661 - May. 17)
(BR. 10B)
S-8 Marketo, Inc., 901 MARINERS ISLAND BLVD., SUITE 200, SAN MATEO, CA,
94404, 650 376-2300 - 0 ($93,165,153.00) Equity, (File 333-188662 -
May. 17) (BR. 03A)
S-8 Westbury Bancorp, Inc., 200 SOUTH MAIN STREET, WEST BEND, WI, 53095,
(262) 334-5563 - 1 ($1.00) Equity, (File 333-188664 - May. 17) (BR. 07)
S-8 WATTS WATER TECHNOLOGIES INC, 815 CHESTNUT ST, NORTH ANDOVER, MA,
01845, 9786881811 - 0 ($71,205,000.00) Equity, (File 333-188669 -
May. 17) (BR. 06B)
S-8 UNION PACIFIC CORP, 1400 DOUGLAS STREET, STOP 0310, OMAHA, NE, 68179,
402 544 5214 - 0 ($3,155,000,000.00) Equity, (File 333-188671 -
May. 17) (BR. 05C)
S-3 TOYOTA MOTOR CREDIT CORP, 19001 S. WESTERN AVENUE, TORRANCE, CA, 90509,
(310) 468-1310 - 1,000,000 ($1,000,000.00) Asset-Backed Securities,
(File 333-188672 - May. 17) (BR. 07B)
S-8 HALLIBURTON CO, 3000 NORTH SAM HOUSTON PARKWAY EAST,
3000 NORTH SAM HOUSTON PARKWAY EAST, HOUSTON, TX, 77032, 2818712699 -
14,240,000 ($627,841,600.00) Equity, (File 333-188674 - May. 17)
(BR. 04B)
S-8 POTASH CORP OF SASKATCHEWAN INC, SUITE 500, 122 - 1ST AVENUE SOUTH,
SASKATOON, A9, S7K 7G3, 3069338500 -
3,000,000 ($131,340,000.00) Equity, (File 333-188675 - May. 17)
(BR. 05A)
S-8 REX ENERGY CORP, 366 WALKER DRIVE, STATE COLLEGE, PA, 16801,
814-278-7267 - 2,900,000 ($48,198,000.00) Equity, (File 333-188676 -
May. 17) (BR. 04A)
S-3 PREFERRED APARTMENT COMMUNITIES INC, 3625 CUMBERLAND BOULEVARD,
SUITE 400, ATLANTA, GA, 30339, 770 818 4100 -
0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-188677 -
May. 17) (BR. 08C)
S-8 CROSSTEX ENERGY LP, 0 ($70,059,300.00) Limited Partnership Interests,
(File 333-188678 - May. 17) (BR. 04B)
S-8 Anthera Pharmaceuticals Inc, 25801 INDUSTRIAL BOULEVARD, SUITE B,
HAYWARD, CA, 94545, (510) 856-5600 - 0 ($10,102,187.34) Equity,
(File 333-188679 - May. 17) (BR. 01B)
S-8 CROSSTEX ENERGY INC, C/O CROSSTEX ENERGY, INC.,
2501 CEDAR SPRINGS STE 600, DALLAS, TX, 75201, 2149539500 -
0 ($35,325,150.00) Equity, (File 333-188680 - May. 17) (BR. 04B)
S-3ASR American Capital Agency Corp, 2 BETHESDA METRO CENTER 14TH FLOOR,
BETHESDA, MD, 20814, 3019516122 - 21,740,000 ($623,720,600.00) Equity,
(File 333-188681 - May. 17) (BR. 08C)
S-3 CombiMatrix Corp, 310 GODDARD, SUITE 150, IRVINE, CA, 92618,
949-753-0624 - 0 ($3,434,190.50) Equity, (File 333-188682 - May. 17)
(BR. 10A)
S-8 Texas Roadhouse, Inc., 6040 DUTCHMANS LANE, LOUISVILLE, KY, 40205,
5024269984 - 0 ($168,070,000.00) Equity, (File 333-188683 - May. 17)
(BR. 05C)
S-3 SAUL CENTERS INC, 7501 WISCONSIN AVENUE, SUITE 1500, BETHESDA, MD,
20814, 3019866207 - 0 ($222,367,355.00) Equity, (File 333-188686 -
May. 17) (BR. 08C)
N-2 FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND, 2455 CORPORATE WEST DRIVE,
LISLE, IL, 60532, 630-505-3700 - 0 ($150,000,000.00) Equity,
(File 333-188687 - May. 17) (BR. 16)
S-4 GLACIER BANCORP INC, 49 COMMONS LOOP, ., KALISPELL, MT, 59901,
4067564200 - 0 ($14,990,314.00) Equity, (File 333-188688 - May. 17)
(BR. 07B)
S-8 IXIA, 26601 W AGOURA RD, CALABASAS, CA, 91302, 8188711800 -
0 ($6,350,000.00) Equity, (File 333-188689 - May. 17) (BR. 10A)
S-3 PLX TECHNOLOGY INC, 870 MAUDE AVENUE, SUNNYVALE, CA, 94085,
4087749060 - 30,000,000 ($30,000,000.00) Equity, (File 333-188690 -
May. 17) (BR. 10B)
S-8 Synacor, Inc., 40 LARIVIERE DRIVE, SUITE 300, BUFFALO, NY, 14202,
716-853-1362 - 2,104,427 ($7,218,693.15) Equity, (File 333-188691 -
May. 17) (BR. 03A)
S-1 Ubiquiti Networks, Inc., 2580 ORCHARD PARKWAY, SAN JOSE, CA, 95131,
408-942-3085 - 8,855,000 ($178,428,250.00) Equity, (File 333-188692 -
May. 17) (BR. 11C)
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
A. H. Belo Corp DE 5.07,8.01,9.01 05/16/13
ACCO BRANDS Corp DE 8.01,9.01 05/17/13
ACI WORLDWIDE, INC. DE 2.01,9.01 03/07/13 AMEND
ADT Corp DE 7.01,9.01 05/17/13
AES CORP DE 2.03,9.01 05/14/13
ALEXANDRIA REAL ESTATE EQUITIES INC MD 8.01,9.01 05/13/13
Allied Nevada Gold Corp. DE 8.01,9.01 05/17/13
Altisource Portfolio Solutions S.A. N4 5.07 05/15/13
AMBAC FINANCIAL GROUP INC DE 7.01 05/15/13
American Electric Technologies Inc FL 5.07 05/13/13
AMERICAN EXPRESS CO NY 8.01,9.01 05/15/13
AMERICAN POWER GROUP Corp DE 2.02,9.01 05/14/13
American Standard Energy Corp. DE 1.01 05/16/13
AMERICANWEST BANCORPORATION WA 7.01,9.01 05/15/13
AMERISOURCEBERGEN CORP DE 8.01,9.01 05/17/13
Anthera Pharmaceuticals Inc DE 2.02,5.02,5.07,9.01 05/13/13
APACHE CORP DE 5.02,5.03, 05/16/13
5.07,8.01,9.01
Apple REIT Ten, Inc. VA 1.01 05/15/13
ARC Realty Finance Trust, Inc. MD 1.01,2.03,8.01,9.01 05/13/13
ARKANSAS BEST CORP /DE/ DE 7.01,9.01 05/17/13
Armada Hoffler Properties, Inc. MD 1.01,2.03,9.01 05/17/13
ASHFORD HOSPITALITY TRUST INC MD 5.07 05/14/13
ASSURED GUARANTY LTD D0 2.02,9.01 05/17/13
ASTEA INTERNATIONAL INC DE 8.01 05/17/13
AUXILIO INC NV 5.07 05/16/13
B-MAVEN, INC. NV 5.02,9.01 05/14/13
BALL CORP IN 1.01,2.03,9.01 05/16/13
Baltic Trading Ltd 1T 5.07 05/16/13
Bank of Marin Bancorp CA 5.07 05/17/13
BAR HARBOR BANKSHARES ME 5.02 05/15/13
Be Active Holdings, Inc. DE 4.01,9.01 05/08/13 AMEND
BEAM INC DE 8.01,9.01 05/17/13
BeesFree, Inc. NV 5.02,9.01 05/13/13
Behringer Harvard Opportunity REIT II MD 7.01,9.01 05/17/13
BG Medicine, Inc. DE 3.01 05/14/13
BIGLARI HOLDINGS INC. IN 2.02,9.01 05/17/13
BLACKSTONE MORTGAGE TRUST, INC. MD 1.01,9.01 05/13/13
BlueLinx Holdings Inc. DE 5.02,5.07,9.01 05/17/13
BODY CENTRAL CORP 5.02,5.07,9.01 05/14/13
BON TON STORES INC PA 8.01,9.01 05/16/13
BON TON STORES INC PA 5.02 05/13/13
Bridge Capital Holdings CA 5.07 05/16/13
Brownie's Marine Group, Inc NV 3.02,9.01 05/13/13
Builders FirstSource, Inc. DE 8.01,9.01 05/16/13
CALGON CARBON CORPORATION DE 1.01,2.03,9.01 05/10/13
CALLAWAY GOLF CO DE 5.02,5.07,9.01 05/14/13
CAPITAL ONE FINANCIAL CORP DE 8.01,9.01 05/17/13
CAPITAL SOUTHWEST CORP TX 5.02,9.01 05/13/13
CarMax Auto Owner Trust 2013-2 DE 1.01,8.01,9.01 05/16/13
Catamaran Corp B0 5.07 05/14/13
CATERPILLAR INC DE 8.01,9.01 05/17/13
CBL & ASSOCIATES PROPERTIES INC DE 5.02,5.07,9.01 05/13/13
CBRE GROUP, INC. DE 1.02 05/15/13
CDEX INC NV 5.02,9.01 05/13/13
CECO ENVIRONMENTAL CORP DE 5.02,5.07 05/15/13
CELADON GROUP INC DE 1.01,2.03,9.01 05/13/13
CENTRAL VALLEY COMMUNITY BANCORP CA 5.07 05/15/13
Cereplast Inc NV 8.01,9.01 05/08/13
CH2M HILL COMPANIES LTD DE 3.03,5.03,9.01 05/17/13
CH2M HILL COMPANIES LTD DE 8.01 05/17/13
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 05/16/13
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 05/16/13
Chatham Lodging Trust MD 5.07 05/17/13
CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 05/17/13
CHICAGO RIVET & MACHINE CO IL 5.07 05/14/13
China Biologic Products, Inc. 1.01,9.01 05/14/13
CHINA FUND INC MD 7.01,9.01 04/30/13
China Housing & Land Development, Inc NV 2.02,7.01,9.01 05/15/13
CHINA SHEN ZHOU MINING & RESOURCES, I NV 2.02,7.01,9.01 05/17/13
CIMAREX ENERGY CO DE 5.07 05/15/13
CINCINNATI FINANCIAL CORP OH 7.01,9.01 05/17/13
CITIGROUP INC DE 8.01,9.01 05/17/13
CITIZENS FIRST CORP KY 5.07 05/15/13
Cleantech Solutions International, In DE 2.02,7.01,9.01 05/16/13
CLOROX CO /DE/ DE 8.01 05/13/13
CMS ENERGY CORP MI 7.01,8.01,9.01 05/15/13
CNB FINANCIAL CORP/PA PA 5.02,9.01 05/17/13
CNB FINANCIAL CORP/PA PA 5.02,9.01 05/14/13 AMEND
COATES INTERNATIONAL LTD \DE\ DE 8.01,9.01 05/17/13
COBIZ FINANCIAL INC CO 5.07 05/17/13
COCA COLA BOTTLING CO CONSOLIDATED /D DE 5.07 05/14/13
Colonial Financial Services, Inc. 5.07 05/16/13
COMFORT SYSTEMS USA INC 5.07 05/16/13
Commercial Vehicle Group, Inc. DE 5.07 05/16/13
CommonWealth REIT MD 5.02,5.07,8.01,9.01 05/14/13
COMMUNITY SHORES BANK CORP MI 5.07 05/16/13
CONSUMERS ENERGY CO MI 8.01,9.01 05/17/13
CORE MOLDING TECHNOLOGIES INC DE 5.07 05/15/13
CORNING INC /NY NY 8.01 05/16/13
CORVEL CORP DE 7.01,9.01 05/17/13
COSI INC DE 2.02,7.01,9.01 05/16/13
COVANTA HOLDING CORP DE 5.07 05/16/13
Covidien plc 2.02,9.01 05/17/13
CROSSTEX ENERGY INC DE 8.01,9.01 05/17/13
CYPRESS SEMICONDUCTOR CORP /DE/ DE 5.02 05/15/13
CYTODYN INC CO 5.02 05/13/13
DDR CORP OH 1.01 05/15/13
DEEP WELL OIL & GAS INC NV 5.03,5.07,9.01 05/15/13
DEL MONTE CORP 5.02 05/15/13
DELCATH SYSTEMS, INC. DE 7.01,9.01 05/16/13
DIAMOND OFFSHORE DRILLING INC DE 5.07 05/15/13
Dolan Co. DE 5.07 05/14/13
DOLLAR TREE INC VA 7.01,9.01 05/16/13
DONALDSON CO INC DE 2.02,9.01 05/17/13
DST SYSTEMS INC DE 1.01,9.01 05/16/13
Durata Therapeutics, Inc. DE 5.07 05/16/13
DynaVox Inc. 2.02,9.01 05/17/13
EAGLE BANCORP INC MD 8.01,9.01 05/16/13
EAGLE BANCORP INC MD 5.07 05/16/13
EAGLE FINANCIAL SERVICES INC VA 5.07 05/15/13
EDUCATION MANAGEMENT CORPORATION 8.01 05/13/13
Edwards Lifesciences Corp DE 1.01,9.01 05/13/13
Edwards Lifesciences Corp DE 5.02,5.03,5.07,9.01 05/14/13
Emerald Oil, Inc. MT 1.01,7.01,9.01 05/16/13
EMMAUS LIFE SCIENCES, INC. DE 8.01,9.01 05/16/13
ENCISION INC CO 2.02,9.01 05/14/13
Ensco plc 7.01,9.01 05/17/13
ENSURGE INC NV 8.01,9.01 05/13/13
EnteroMedics Inc 3.01,8.01,9.01 05/14/13
EQUITY ONE, INC. 2.02,7.01 05/17/13
EQUUS TOTAL RETURN, INC. DE 8.01,9.01 05/16/13
ESSEX PROPERTY TRUST INC MD 5.02,5.03,5.07,9.01 05/14/13
EVEREST RE GROUP LTD D0 5.07 05/15/13
EXELON CORP PA 8.01,9.01 05/17/13
ExOne Co DE 2.02,9.01 05/14/13
Fifth & Pacific Companies, Inc. DE 3.03,5.02, 05/13/13
5.03,5.07,9.01
Finishing Touches Home Goods Inc. 2.01,2.03,3.02, 05/13/13
4.01,5.03,5.07,8.01,9.01
FIRST ACCEPTANCE CORP /DE/ DE 5.07 05/14/13
FIRST CAPITAL BANCORP, INC. VA 5.07 05/15/13
First Financial Northwest, Inc. WA 1.01,9.01 05/15/13
First Guaranty Bancshares, Inc. LA 5.07 05/17/13
FIRST MIDWEST BANCORP INC DE 5.07 05/14/13
First Savings Financial Group Inc 8.01,9.01 05/16/13
FIRST SECURITY GROUP INC/TN TN 5.02,9.01 05/13/13
First Trinity Financial CORP OK 5.07 05/15/13
FIRST WEST VIRGINIA BANCORP INC WV 5.07 05/14/13
FLEXIBLE SOLUTIONS INTERNATIONAL INC NV 2.02,9.01 05/15/13
FNB United Corp. NC 8.01,9.01 05/17/13
FOREST OIL CORP NY 1.01,5.02,9.01 05/13/13
FORRESTER RESEARCH, INC. DE 5.02,5.07 05/14/13
FOUR OAKS FINCORP INC NC 2.02,9.01 05/17/13
FRANKLIN STREET PROPERTIES CORP /MA/ 5.07 05/16/13
Freescale Semiconductor, Ltd. D0 8.01 05/16/13
FS Energy & Power Fund DE 8.01,9.01 05/16/13
FS Investment CORP MD 8.01,9.01 05/16/13
FS Investment Corp II MD 8.01,9.01 05/16/13
FULTON FINANCIAL CORP PA 5.02 05/17/13
GAIN Capital Holdings, Inc. DE 2.02,9.01 05/16/13
GAIN Capital Holdings, Inc. DE 2.02,9.01 05/16/13 AMEND
Gaming Partners International CORP NV 3.01,5.07,8.01,9.01 05/15/13
GENCO SHIPPING & TRADING LTD 5.07 05/16/13
General Finance CORP DE 8.01,9.01 05/17/13
GEORGIA POWER CO GA 5.07 05/15/13
GLOBAL CONDIMENTS, INC. 4.01,9.01 05/17/13
GLU MOBILE INC DE 1.01,5.02,9.01 05/13/13
GOVERNMENT TRUST 1 D IL 8.01,9.01 05/15/13
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 04/30/13
GREAT SOUTHERN BANCORP INC MD 5.07 05/15/13
GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 05/16/13
Guidance Software, Inc. DE 5.07 05/16/13
HALOZYME THERAPEUTICS INC DE 5.02,5.03,5.07,9.01 05/16/13
HARTE HANKS INC DE 5.02 05/14/13
HEALTH DISCOVERY CORP 2Q 8.01,9.01 05/17/13
Health Insurance Innovations, Inc. DE 2.02,9.01 05/13/12
HEALTHSOUTH CORP DE 7.01,9.01 05/17/13
HECLA MINING CO/DE/ DE 5.07 05/15/13
Helmer Directional Drilling Corp. NV 5.02 05/14/13
HERSHEY CO DE 1.01,2.03,9.01 05/17/13
HERTZ CORP DE 5.02,5.03,9.01 05/15/13
HERTZ GLOBAL HOLDINGS INC 5.02,5.03,5.07,9.01 05/15/13
HOMELAND ENERGY SOLUTIONS LLC 5.02 05/15/13
Howard Hughes Corp DE 5.07 05/14/13
HPEV, INC. NV 9.01 04/24/13 AMEND
Hudson Global, Inc. DE 5.02 05/14/13
HYPERION THERAPEUTICS INC DE 8.01 05/17/13
INFINERA CORP DE 5.07 05/15/13
INLAND REAL ESTATE CORP MD 8.01,9.01 05/17/13
INSIGHT ENTERPRISES INC DE 5.07 05/15/13
INSULET CORP DE 5.07 05/15/13
INTERCEPT PHARMACEUTICALS INC DE 8.01 05/16/13
INTERNATIONAL PAPER CO /NEW/ NY 5.03,5.07,9.01 05/13/13
Invesco Ltd. D0 5.07 05/17/13
INVESTORS TITLE CO NC 5.07 05/15/13
James River Coal CO VA 1.01,3.02,8.01,9.01 05/17/13
JBI, INC. NV 5.02,9.01 05/16/13
JOYMAIN INTERNATIONAL DEVELOPMENT GRO NV 4.01,9.01 05/15/13
KAPSTONE PAPER & PACKAGING CORP DE 5.02,5.07,9.01 05/16/13
KEATING CAPITAL INC 7.01,9.01 05/17/13
KENILWORTH SYSTEMS CORP NY 2.02 05/17/13
KEYCORP /NEW/ OH 5.07 05/16/13
KOHLS Corp WI 5.07,8.01,9.01 05/16/13
LaPorte Bancorp, Inc. MD 5.07 05/14/13
Laredo Petroleum Holdings, Inc. DE 5.07 05/17/13
LEAR CORP DE 5.07,8.01,9.01 05/16/13
LEGACY RESERVES LP DE 1.01 05/15/13
LIBBEY INC DE 5.07 05/14/13
Liberty Global, Inc. DE 7.01 05/17/13
Liberty Interactive Corp 7.01,9.01 05/15/13 AMEND
Liberty Media Corp DE 7.01,9.01 05/15/13 AMEND
LIBERTY SILVER CORP NV 5.02,8.01,9.01 05/15/13
LIFELOCK, INC. DE 5.07 05/13/13
Lightwave Logic, Inc. NV 5.02,9.01 05/15/13
MACK CALI REALTY CORP MD 5.07 05/15/13
MAGNUM HUNTER RESOURCES CORP DE 3.01,8.01,9.01 03/20/13
Maidenform Brands, Inc. DE 5.07 05/16/13
MAM SOFTWARE GROUP, INC. DE 7.01,8.01,9.01 05/16/13
MARKEL CORP VA 5.02,5.07,9.01 05/13/13
MARSH & MCLENNAN COMPANIES, INC. DE 5.07 05/16/13
MAXWELL TECHNOLOGIES INC DE 3.01,9.01 05/14/13
McEwen Mining Inc. CO 7.01,9.01 05/16/13
MEADE INSTRUMENTS CORP DE 1.01,8.01,9.01 05/17/13
MeeMee Media Inc. NV 5.03,8.01,9.01 05/17/13
METRO BANCORP, INC. 5.07,7.01,8.01,9.01 05/16/13
MGT CAPITAL INVESTMENTS INC DE 4.02 05/15/13
MICRON TECHNOLOGY INC DE 8.01 05/13/13
MICROVISION INC DE 1.01,9.01 05/17/13
MIDDLEBY CORP DE 5.03,5.07,8.01,9.01 05/14/13
MIDDLEFIELD BANC CORP OH 5.07 05/15/13
MINDSPEED TECHNOLOGIES, INC DE 5.03,9.01 05/14/13
MISSISSIPPI POWER CO MS 5.07 05/15/13
ML BlueTrend FuturesAccess LLC DE 3.02 05/14/13
MOBILE MINI INC DE 4.01,9.01 05/15/13
MobileBits Holdings Corp NV 5.02 05/15/13
MODINE MANUFACTURING CO WI 8.01,9.01 05/15/13
MONARCH CEMENT CO KS 8.01 05/15/13
MRC GLOBAL INC. DE 5.02,9.01 05/14/13
NATIONAL INSTRUMENTS CORP /DE/ DE 5.03,5.07,9.01 05/14/13
Net Element International, Inc. E9 2.02,9.01 05/17/13
NEW MEDIA INSIGHT GROUP, INC. NV 1.01,3.02,9.01 05/16/13
New Residential Investment Corp. 1.01,3.02, 05/15/13
5.02,8.01,9.01
NEWCASTLE INVESTMENT CORP MD 2.01,5.02,9.01 05/15/13
Nielsen Holdings N.V. P7 1.01,8.01,9.01 05/13/13
NII HOLDINGS INC DE 8.01,9.01 05/16/13
NORTHROP GRUMMAN CORP /DE/ 5.07 05/15/13
OCCIDENTAL PETROLEUM CORP /DE/ DE 5.02 05/15/13
OGLETHORPE POWER CORP GA 7.01,9.01 05/17/13
OLD LINE BANCSHARES INC MD 8.01 05/13/13
ON SEMICONDUCTOR CORP DE 5.07 05/15/13
OptimizeRx Corp NV 2.02,9.01 05/16/13
OptimumBank Holdings, Inc. FL 5.07,8.01,9.01 05/17/13
ORASURE TECHNOLOGIES INC DE 5.07 05/14/13
Orchids Paper Products CO /DE DE 5.02,5.03, 05/16/13
5.07,8.01,9.01
Oro East Mining, Inc. DE 1.01,9.01 05/13/13
Ortus Currency FuturesAccess LLC DE 3.02 05/14/13
Ottawa Savings Bancorp, Inc. X1 5.07 05/15/13
OUTDOOR CHANNEL HOLDINGS INC 2.01,3.01,3.03, 05/16/13
5.01,5.02,5.03,5.07,7.01,9.01
OVERSTOCK.COM, INC DE 1.01,9.01 05/13/13
OWENS ILLINOIS INC /DE/ DE 5.07 05/17/13
PACIFIC MERCANTILE BANCORP CA 5.02,8.01,9.01 05/16/13
PACIFIC MERCANTILE BANCORP CA 2.02,9.01 05/14/13
PALMETTO BANCSHARES INC SC 5.07,7.01,9.01 05/16/13
Patriot Coal CORP DE 7.01,9.01 05/17/13
Pegasi Energy Resources Corporation. NV 7.01,9.01 05/16/13
PEPCO HOLDINGS INC DE 5.07 05/17/13
PERMA FIX ENVIRONMENTAL SERVICES INC DE 5.02,9.01 05/14/13
PGT, Inc. DE 1.01,8.01,9.01 05/16/13
Pike Electric CORP 1.01,9.01 05/13/13
PLUMAS BANCORP CA 5.07 05/15/13
POLYCOM INC DE 5.02,5.03,8.01,9.01 05/14/13
Polypore International, Inc. 5.07 05/15/13
POTASH CORP OF SASKATCHEWAN INC Z4 5.02,5.07,9.01 05/17/13
Powder River Coal Corp. FL 1.01,3.02,9.01 05/16/13
PPG INDUSTRIES INC PA 8.01,9.01 05/17/13
PRICESMART INC DE 8.01,9.01 05/17/13
Primo Water Corp DE 5.07 05/16/13
PROGENICS PHARMACEUTICALS INC DE 8.01,9.01 05/17/13
Prologis, Inc. MD 5.02,9.01 05/15/13
Prologis, Inc. MD 8.01,9.01 05/15/13
PROVIDENT COMMUNITY BANCSHARES, INC. 2.02,5.07,9.01 05/15/13
PURE BIOSCIENCE, INC. DE 3.01,5.02,7.01,9.01 05/13/13
Pzena Investment Management, Inc. DE 5.07 05/16/13
QCR HOLDINGS INC DE 8.01,9.01 05/16/13
QUALITY SYSTEMS, INC CA 5.02,9.01 05/14/13
QUICK-MED TECHNOLOGIES INC 1.01,9.01 05/09/13
QUIDEL CORP /DE/ DE 5.07 05/14/13
QUIKSILVER INC DE 8.01,9.01 05/16/13
RAIT Financial Trust MD 5.07 05/14/13
READING INTERNATIONAL INC NV 5.07,8.01,9.01 05/17/13
REDWOOD TRUST INC MD 8.01,9.01 05/17/13
RELIANCE STEEL & ALUMINUM CO CA 5.02,5.07,9.01 05/15/13
Revolution Lighting Technologies, Inc DE 5.03,5.07,9.01 05/15/13
RIGEL PHARMACEUTICALS INC DE 5.07 05/14/13
SAFEWAY INC DE 5.07 05/14/13
SALISBURY BANCORP INC CT 5.07 05/17/13
SANUWAVE Health, Inc. NV 2.02,7.01,9.01 05/14/13
Scripps Networks Interactive, Inc. OH 5.02,5.07,9.01 05/14/13
Sears Hometown & Outlet Stores, Inc. DE 5.02,9.01 05/14/13
SEQUENTIAL BRANDS GROUP, INC. DE 1.01,8.01,9.01 05/14/13
Seven Arts Entertainment Inc. NV 8.01,9.01 05/02/13
SIGA TECHNOLOGIES INC DE 5.07 05/15/13
SILVERSTAR MINING CORP. NV 1.01,9.01 05/14/13
SMITH MIDLAND CORP DE 2.02,9.01 05/16/13
Smokin Concepts Development Corp CO 5.02 05/17/13
Spansion Inc. DE 3.01 05/15/13
SPECIALTY CONTRACTORS, INC. NV 4.01,9.01 05/17/13
STAGE STORES INC NV 2.02,9.01 05/17/13
Steadfast Income REIT, Inc. MD 1.01,9.01 05/14/13
StellarOne CORP VA 5.07 05/17/13
STONEMOR PARTNERS LP DE 1.01,8.01,9.01 05/16/13
SUMMIT FINANCIAL GROUP INC WV 5.07,8.01,9.01 05/16/13
SUN COMMUNITIES INC MD 1.01,2.03,8.01,9.01 05/15/13
SUPERIOR UNIFORM GROUP INC FL 5.07 05/02/13 AMEND
SUPERTEL HOSPITALITY INC VA 1.01,9.01 05/15/13
Synacor, Inc. 5.07 05/16/13
TAIWAN FUND INC DE 7.01,9.01 04/30/13
Tallgrass Energy Partners, LP DE 1.01,2.01,2.03, 05/13/13
3.02,5.02,5.03,7.01,9.01
TANGER FACTORY OUTLET CENTERS INC NC 5.07,7.01,9.01 05/17/13
TC PIPELINES LP DE 1.01,7.01,9.01 05/17/13
TC PIPELINES LP DE 7.01,9.01 05/17/13
TCP Capital Corp. DE 1.01,2.03,9.01 05/15/13
TECKMINE INDUSTRIES INC. 1.01,9.01 05/14/13
TEMPUR PEDIC INTERNATIONAL INC DE 1.01,2.03,7.01,9.01 05/16/13
TESORO CORP /NEW/ DE 1.01,7.01,9.01 05/17/13
TESORO LOGISTICS LP DE 1.01,7.01,9.01 05/17/13
TETRAPHASE PHARMACEUTICALS INC DE 5.02 05/15/13
Texas Roadhouse, Inc. DE 5.07,8.01,9.01 05/16/13
TIAA REAL ESTATE ACCOUNT NY 7.01,9.01 05/17/13
TIDEWATER INC DE 8.01,9.01 05/14/13
TRANS ENERGY INC NV 7.01,9.01 05/14/13
TRANSACT ENERGY CORP NV 2.01,3.02 05/17/13
Tree.com, Inc. DE 5.02,8.01 05/14/13
TRW AUTOMOTIVE HOLDINGS CORP DE 5.07 05/14/13
TWO RIVERS WATER & FARMING Co CO 7.01 05/16/13
TYCO INTERNATIONAL LTD V8 8.01,9.01 05/16/13
U S PRECIOUS METALS INC DE 1.01,8.01,9.01 05/11/13
UNIGENE LABORATORIES INC DE 2.02,9.01 05/14/13 AMEND
UNION PACIFIC CORP UT 5.07 05/16/13
United Continental Holdings, Inc. DE 3.02 05/14/13
UNITED STATES CELLULAR CORP DE 5.02,5.07,9.01 05/14/13
UNITED STATIONERS INC DE 8.01,9.01 05/15/13
UNIVERSAL HEALTH SERVICES INC DE 1.01,5.07,9.01 05/15/13
UNR HOLDINGS INC FL 1.01,8.01,9.01 05/09/13 AMEND
VEECO INSTRUMENTS INC DE 3.01,9.01 05/13/13
VERTEX PHARMACEUTICALS INC / MA MA 2.04,3.02,8.01 05/17/13
VIASAT INC DE 7.01,8.01,9.01 05/15/13
VIASAT INC DE 1.01,9.01 05/15/13
VITRAN CORP INC A6 5.07,8.01,9.01 05/15/13
Volcano Corp DE 5.02,5.07,9.01 05/15/13
WABASH NATIONAL CORP /DE DE 5.07 05/16/13
WELLS FARGO & COMPANY/MN DE 9.01 05/17/13
WESTAR ENERGY INC /KS KS 5.07 05/17/13
Western Asset Mortgage Capital Corp DE 2.02,3.01,7.01,9.01 05/15/13
WESTFIELD FINANCIAL INC MA 5.07 05/16/13
WFN CREDIT CO LLC 1.01,8.01,9.01 05/14/13
WRIGHT MEDICAL GROUP INC DE 5.02,5.03,5.07,9.01 05/14/13
WRIGHT MEDICAL GROUP INC DE 2.01,9.01 03/01/13 AMEND
XSUNX INC CO 8.01,9.01 05/15/13
YUM BRANDS INC NC 5.07 05/15/13
http://www.sec.gov/news/digest/2013/dig052013.htm
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