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Commission AnnouncementsCommission Extends Comment Period for Proposed Regulation Systems Compliance and IntegrityOn May 20, 2013, the Securities and Exchange Commission (Commission) extended for an additional 45 days the comment period for proposed Regulation Systems Compliance and Integrity under the Securities Exchange Act of 1934 (File No. S7-01-13). Without the 45-day extension, the original 60-day comment period was scheduled to close on May 24, 2013. The 45-day extension will allow for a total comment period of 105 days for the public to consider the matters addressed by proposed Regulation Systems Compliance and Integrity and to submit comments to the proposal which would benefit the Commission in its consideration of the final rules. Comments should be submitted on or before July 8, 2013. Publication of the extension is expected in the Federal Register during the week of May 20th. (Rel. 34-69606). FAIR FUNDS AND DISGORGEMENT PLANSNotice of Proposed Plan of Distribution In the Matter of Centaur Management Co. LLC and Opportunity for CommentOn May 17, 2013, the Commission gave notice, pursuant to Rule 1103 of the Rules on Fair Fund and Disgorgement Plans, 17 C.F.R. § 201.1103, that the Division of Enforcement has submitted to the Commission a proposed plan (the “Plan”) for the distribution of monies paid to the Commission in the above-captioned matter and was providing an opportunity for comment. (Rel. 34-69604; File No. 3-14950) SELF-REGULATORY ORGANIZATIONSApproval of Proposed Rule ChangeNYSE MKT LLC filed Amendment No. 1 to a proposed rule change (SR-NYSEMKT-2013-12) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder amending Rule 975NY in part and adding a new section to address errors that involve Complex Orders. The Commission granted accelerated approval of the proposed rule change. Publication is expected in the Federal Register during the week of May 20th. (Rel. 34-69608) The Commission granted approval of a proposed rule change (SR-NYSEArca-2013-15) submitted by NYSE Arca Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder amending Rule 6.87 in part and adding a new section to address errors that involve Complex Orders. Publication is expected in the Federal Register during the week of May 20th. (Rel. 34-69609) The Commission granted approval of a proposed rule change submitted by NASDAQ OMX BX, Inc. (SR-BX-2013-029) relating to Board of Director qualifications. Publication is expected in the Federal Register during the week of May 20th. (Rel. 34-69607) Notice of Extension of Review Period of an Advance NoticeThe Commission has extend the review period under Section 806(e)(1)(H) of the Payment, Clearing, and Settlement Supervision Act of 2010 for an advance notice, as modified by Amendment No. 1 (File No. SR-NSCC-2013-802), filed by National Securities Clearing Corporation (NSCC) to institute supplemental liquidity deposits to its Clearing Fund designed to increase liquidity resources to meet its liquidity needs. NSCC also filed the proposal contained in the advance notice as a proposed rule change (File No. SR-NSCC-2013-02) under Section 19(b)(1) of the Securities and Exchange Act of 1934 and Rule 19b-4 thereunder. Release No. 34-69313 (Apr. 4, 2013), 78 FR 21487 (Apr. 10, 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-NSCC-2013-02) or the advance notice, as modified by Amendment No. 1 (File No. SR-NSCC-2013-802). Publication is expected in the Federal Register during the week of May 20th. (Rel. 34-69605) 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-1 Gulfstream Capital Corp, WILDUNGER STRASSE 18, SUITE 61, FRANKFURT, 2M,
60487, 496957801945 - 1,000,000 ($40,000.00) Asset-Backed Securities,
(File 333-188694 - May. 20) (BR. 09)
S-3ASR B&G Foods, Inc., FOUR GATEHALL DRIVE, SUITE 110, PARSIPPANY, NJ, 07054,
9734016500 - 0 ($0.00) Other, (File 333-188695 - May. 20) (BR. 04A)
S-3ASR Sabra Health Care REIT, Inc., 18500 VON KARMAN, SUITE 550, IRVINE, CA,
92612, 888-393-8248 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-188696 - May. 20) (BR. 08C)
S-8 KEYCORP /NEW/, 127 PUBLIC SQ, CLEVELAND, OH, 44114-1306, 2166896300 -
0 ($899,745,000.00) Equity, (File 333-188703 - May. 20) (BR. 07C)
S-1 NanoString Technologies Inc, 530 FAIRVIEW AVENUE NORTH, SUITE 200,
SEATTLE, WA, 98109, 206-378-6266 - 0 ($86,250,000.00) Equity,
(File 333-188704 - May. 20) (BR. 01A)
S-3 EVOLUTION PETROLEUM CORP, 2500 CITYWEST BLVD, SUITE 1300, HOUSTON, TX,
77042, 713-935-0122 -
0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-188705 -
May. 20) (BR. 04A)
S-1 MedWorth Acquisition Corp., 999 BRICKELL AVENUE, SUITE 800, MIAMI, FL,
33131, 786-220-1120, X702 - 0 ($55,200,000.00) Equity,
(File 333-188706 - May. 20) (BR. 05)
S-8 SVB FINANCIAL GROUP, 3003 TASMAN DR, SANTA CLARA, CA, 95054,
4086547400 - 1,000,000 ($74,380,000.00) Equity, (File 333-188707 -
May. 20) (BR. 07C)
S-8 Susser Holdings CORP, 4525 AYERS STREET, CORPUS CHRISTI, TX, 78415,
361-884-2463 - 1,750,000 ($89,127,500.00) Equity, (File 333-188708 -
May. 20) (BR. 02A)
S-8 MEDGENICS, INC., TERADION BUSINESS PK., P.O. BOX 14, MISGAV, L3, 20179,
1-646-239-1690 - 1,700,000 ($6,757,500.00) Equity, (File 333-188709 -
May. 20) (BR. 01B)
S-8 BG Medicine, Inc., 610N LINCOLN STREET, WALTHAM, MA, 02451,
781-890-1199 - 460,480 ($769,001.60) Equity, (File 333-188710 -
May. 20) (BR. 01B)
S-8 AMYRIS, INC., 5885 HOLLIS ST SUITE 100, EMERYVILLE, CA, 94608,
510-450-0761 - 3,001,079 ($9,003,237.00) Equity, (File 333-188711 -
May. 20) (BR. 06B)
S-4 GENESIS ENERGY LP, 919 MILAM, SUITE 2100, HOUSTON, TX, 77002,
7138602500 - 0 ($350,000,000.00) Non-Convertible Debt,
(File 333-188712 - May. 20) (BR. 04B)
S-4 REVLON CONSUMER PRODUCTS CORP, 237 PARK AVENUE, NEW YORK, NY, 10017,
2125274000 - 0 ($500,000,000.00) Non-Convertible Debt,
(File 333-188713 - May. 20) (BR. 06B)
S-8 Perion Network Ltd., ORR TOWERS, 4 HANCHOSHET ST., TEL AVIV, L3, 69710,
972-3-769-6100 - 1,000,000 ($14,005,000.00) Equity, (File 333-188714 -
May. 20) (BR. 03B)
S-4 AIR LEASE CORP, 2000 AVENUE OF THE STARS, SUITE 1000-N, LOS ANGELES,
CA, 90067, (310) 553-0555 - 0 ($153,785,000.00) Debt,
(File 333-188716 - May. 20) (BR. 06B)
S-8 Tableau Software Inc, 837 N 34TH ST, SUITE 400, SEATTLE, WA, 98103,
206-633-3400 - 0 ($475,040,764.32) Equity, (File 333-188717 - May. 20)
(BR. 03B)
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
ABIOMED INC DE 5.02 05/14/13
ACE Ltd V8 5.02,5.03,5.07,9.01 05/16/13
ACM Corp NV 5.02,5.03,9.01 04/08/13
ACORDA THERAPEUTICS INC 8.01,9.01 05/20/13
ACTIVECARE, INC. DE 3.03,5.03,9.01 05/16/13
ADCARE HEALTH SYSTEMS INC OH 2.02,7.01,9.01 05/17/13
Affinity Gaming NV 5.07,9.01 05/14/13
AFFYMETRIX INC DE 5.02 05/20/13
AIR PRODUCTS & CHEMICALS INC /DE/ DE 8.01 05/16/13
AK STEEL HOLDING CORP DE 7.01,8.01,9.01 05/20/13
AKAMAI TECHNOLOGIES INC DE 5.02,5.07 05/15/13
ALCOA INC PA 2.05,5.02,9.01 05/14/13
ALLIANCE FIBER OPTIC PRODUCTS INC CA 5.07 05/17/13
Ally Financial Inc. DE 1.01 05/14/13
American Fiber Green Products, Inc. NV 4.01,9.01 05/20/13
American Realty Capital Global Trust, 8.01,9.01 05/20/13
AMERICAN REALTY CAPITAL HEALTHCARE TR MD 8.01,9.01 05/20/13
American Realty Capital Properties, I MD 7.01,9.01 05/20/13
AMERICAN RIVER BANKSHARES CA 5.07,9.01 05/20/13
AMKOR TECHNOLOGY INC DE 2.03,8.01,9.01 05/20/13
ANADARKO PETROLEUM CORP DE 5.07 05/14/13
Aon plc X0 5.07 05/17/13
APEX 6 INC. DE 5.01,5.02 05/13/13
Apple REIT Eight, Inc. VA 5.07,8.01 05/16/13
Apple REIT Nine, Inc. VA 5.07 05/16/13
Apple REIT Seven, Inc. VA 5.07,8.01 05/16/13
Apple REIT Ten, Inc. VA 5.07 05/16/13
AROTECH CORP DE 7.01,9.01 05/20/13
ARROW RESOURCES DEVELOPMENT INC DE 4.02 05/20/13
Asian Trends Media Holdings, Inc NV 5.02 03/31/13
ASPEN GROUP, INC. DE 5.02 05/14/13
ATHENAHEALTH INC DE 9.01 03/12/13 AMEND
Athens Bancshares Corp 5.07 05/15/13
Atlas Financial Holdings, Inc. E9 7.01,9.01 05/17/13
AXIS CAPITAL HOLDINGS LTD 7.01,9.01 05/20/13
AXIS CAPITAL HOLDINGS LTD 3.03,5.03,8.01,9.01 05/20/13
B&G Foods, Inc. DE 7.01,9.01 05/20/13
BankFinancial CORP 5.02,9.01 05/14/13
BGC Partners, Inc. DE 8.01,9.01 05/20/13
BIOSPECIFICS TECHNOLOGIES CORP DE 7.01,9.01 05/20/13
BIOTIME INC CA 7.01,9.01 05/20/13
BLACK BOX CORP DE 5.02,8.01 05/14/13
BofI Holding, Inc. DE 5.02 05/17/13
BOSTON BEER CO INC MA 8.01 05/14/13
BRADY CORP WI 5.02 05/19/13
BRE Select Hotels Corp DE 2.01,2.03,3.03, 05/14/13
4.01,5.02,5.03,
5.06,8.01,9.01
BROWN SHOE CO INC NY 1.01,2.01,2.02, 05/20/13
2.06,9.01
Burger King Worldwide, Inc. DE 5.07 05/15/13
CalAmp Corp. DE 8.01 05/15/13
CAMPBELL SOUP CO NJ 2.02,9.01 05/20/13
Capitol Acquisition Corp. II DE 8.01,9.01 05/15/13
Carbon Natural Gas Co DE 1.01,5.02,9.01 05/14/13
CARDTRONICS INC DE 5.07 05/20/13
CATERPILLAR INC DE 7.01 05/20/13
Celldex Therapeutics, Inc. DE 1.02 05/17/13
CENTRAL VALLEY COMMUNITY BANCORP CA 8.01,9.01 05/20/13
CENTURY ALUMINUM CO DE 2.02,7.01,9.01 05/20/13
CH ENERGY GROUP INC NY 8.01,9.01 05/20/13
Chatham Lodging Trust MD 5.07 05/17/13 AMEND
CHECKPOINT SYSTEMS INC PA 8.01,9.01 05/20/13
CHESAPEAKE ENERGY CORP OK 8.01,9.01 05/20/13
CHINA MARINE FOOD GROUP LTD NV 2.02,9.01 05/14/13
CHURCHILL DOWNS INC KY 7.01,9.01 05/20/13
CNL LIFESTYLE PROPERTIES INC MD 2.02,9.01 05/20/13
Colfax CORP DE 5.07 05/16/13
COMMERCIAL METALS CO DE 1.01,2.03, 05/20/13
2.04,8.01,9.01
Community Choice Financial Inc. 5.02 05/20/13
Compressco Partners, L.P. DE 7.01,9.01 05/20/13
COMSTOCK RESOURCES INC NV 9.01 05/17/13 AMEND
Cord Blood America, Inc. FL 8.01,9.01 05/20/13
Coronus Solar Inc. A1 1.01,1.02, 05/20/13
2.03,7.01,9.01
Corporate Capital Trust, Inc. MD 2.02,9.01 05/20/13
CORRECTIONS CORP OF AMERICA MD 3.03,5.02, 05/15/13
5.03,5.07,7.01,
8.01,9.01
COUPON EXPRESS, INC. NV 1.01,1.02,2.03, 05/14/13
5.02,5.03,8.01,9.01
CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 05/20/13
CVR ENERGY INC DE 1.01,9.01 05/14/13
CVR Refining, LP DE 1.01,9.01 05/14/13
DALE JARRETT RACING ADVENTURE INC FL 3.02 05/14/13
DEAN FOODS CO DE 5.02,5.03, 05/15/13
5.07,8.01,9.01
DEPOMED INC CA 5.07 05/15/13
DEVRY INC DE 5.02,8.01,9.01 05/20/13
DEX MEDIA, INC. DE 7.01,9.01 05/20/13
Diamondback Energy, Inc. DE 1.01,7.01,9.01 05/15/13
DIGIRAD CORP DE 8.01,9.01 05/20/13
DILLARDS INC DE 7.01,9.01 05/18/13
DIRECT INSITE CORP DE 7.01,9.01 05/20/13
DIRECTV DE 1.01,2.03,9.01 05/20/13
DOT HILL SYSTEMS CORP DE 8.01,9.01 05/20/13
DRIL-QUIP INC DE 5.07 05/16/13
DSP GROUP INC /DE/ DE 8.01,9.01 05/17/13
Duke Energy CORP DE 8.01,9.01 05/20/13
Eagle Bulk Shipping Inc. 2.02,8.01,9.01 05/20/13
EARTHLINK INC DE 7.01,9.01 05/20/13
El Paso Pipeline Partners, L.P. DE 7.01 05/20/13
EMAGIN CORP DE 5.07 05/17/13
Emerge Energy Services LP DE 1.01,2.01, 05/14/13
3.02,5.02,5.03,9.01
EMERSON ELECTRIC CO MO 7.01 05/20/13
ENCORE CAPITAL GROUP INC DE 1.01,2.03,9.01 05/15/13
Enduro Royalty Trust DE 2.02,9.01 05/20/13
Energy Services of America CORP DE 2.01 05/20/13
ENTERGY CORP /DE/ DE 8.01 05/20/13
ENTROPIC COMMUNICATIONS INC DE 5.07 05/14/13
EPICEPT CORP 2.02,9.01 05/20/13
ESB FINANCIAL CORP PA 8.01 05/20/13
FAIRPOINT COMMUNICATIONS INC DE 7.01,9.01 05/20/13
FBC Holding, Inc. 5.02,9.01 05/10/13
FEDERAL HOME LOAN MORTGAGE CORP 5.02,9.01 05/20/13
Feihe International Inc UT 8.01,9.01 05/20/13
FIFTH THIRD BANCORP OH 7.01,9.01 05/20/13
First Financial Northwest, Inc. WA 5.07,7.01,9.01 05/15/13
First Financial Northwest, Inc. WA 8.01,9.01 05/15/13
First Internet Bancorp IN 7.01,9.01 05/20/13
FIRST MARINER BANCORP MD 2.02,5.07,9.01 05/14/13
FIRST MIDWEST BANCORP INC DE 5.02 05/14/13
FIRST NORTHERN COMMUNITY BANCORP CA 5.07 05/14/13
FIRST POTOMAC REALTY TRUST MD 1.01,7.01,8.01,9.01 05/17/13
FIRST PRIORITY FINANCIAL CORP. PA 5.07 05/14/13
FIRST REGIONAL BANCORP CA 8.01,9.01 05/14/13
FIVE STAR QUALITY CARE INC 5.07,8.01,9.01 05/16/13
Flux Power Holdings, Inc. NV 1.02,5.02,9.01 05/14/13
FONAR CORP DE 9.01 03/05/13 AMEND
FOREVERGREEN WORLDWIDE CORP NV 4.02,9.01 05/15/13
FOSSIL INC DE 1.01,1.02,2.03,9.01 05/17/13
Fresh Market, Inc. DE 5.02,9.01 05/20/13
FROZEN FOOD EXPRESS INDUSTRIES INC TX 5.02 05/17/13
FULTON FINANCIAL CORP PA 7.01 05/20/13
GDT TEK, Inc. 1.01,9.01 05/15/13
GENERAL ELECTRIC CAPITAL CORP CT 8.01 05/20/13
General Finance CORP DE 7.01,9.01 05/17/13
Generation Zero Group, Inc. 3.02,5.01,5.02,9.01 05/13/13
GENTEX CORP MI 5.07 05/16/13
GENTHERM Inc MI 5.02,5.07,9.01 05/16/13
GENWORTH FINANCIAL INC 5.07 05/15/13
Geo Point Resources, Inc. NV 8.01,9.01 05/20/13
GETTY REALTY CORP /MD/ MD 5.02,5.07 05/14/13
Global Geophysical Services Inc DE 8.01,9.01 05/16/13
Globalstar, Inc. DE 1.01,2.03, 05/20/13
3.02,7.01,9.01
Grand Canyon Education, Inc. DE 5.07 05/16/13
GRIFFIN LAND & NURSERIES INC DE 7.01,9.01 05/20/13
GSI GROUP INC A3 5.07 05/15/13
GT Advanced Technologies Inc. DE 3.02,8.01,9.01 05/16/13
Guaranty Bancorp DE 7.01,9.01 05/20/13
GUIDED THERAPEUTICS INC DE 5.02 05/20/13
HAPYKIDZ.COM NV 5.02 05/14/13
HARLAND CLARKE HOLDINGS CORP DE 1.01,2.03,8.01,9.01 05/15/13
hhgregg, Inc. DE 2.02,9.01 05/20/13
HomeTown Bankshares Corp 5.07 05/14/13
Hudson Pacific Properties, Inc. MD 1.01,5.07,9.01 05/20/13
HUGOTON ROYALTY TRUST TX 2.02,9.01 05/20/13
ICAD INC DE 5.07 05/20/13
ICAHN ENTERPRISES L.P. DE 8.01,9.01 05/14/13
IEC ELECTRONICS CORP DE 1.01,2.02,3.01, 05/15/13
7.01,8.01,9.01
IMAGENETIX INC /NV/ NV 8.01,9.01 05/20/13
Imperial Resources, Inc. 5.02 05/15/13
INCEPTION MINING INC. NV 5.03,9.01 05/17/13
INDEPENDENT BANK CORP MA 1.01,5.07,9.01 05/14/13
INLAND REAL ESTATE CORP MD 7.01,9.01 05/20/13
InspireMD, Inc. DE 8.01,9.01 05/16/13
INSULET CORP DE 3.02 05/15/13
INTEGRYS ENERGY GROUP, INC. WI 5.03,5.07,9.01 05/16/13
INTELSAT INVESTMENTS S.A. N4 8.01,9.01 05/20/13
INTERCONTINENTALEXCHANGE INC DE 5.07 05/17/13
INTERLEUKIN GENETICS INC DE 1.01,3.02, 05/17/13
5.02,8.01,9.01
INTERNAP NETWORK SERVICES CORP DE 5.07 05/16/13
INTERSECTIONS INC DE 5.07 05/15/13
INTRUSION INC DE 5.07 05/16/13
INTUIT INC DE 5.02,9.01 05/20/13
Invesco Ltd. D0 5.02,9.01 05/16/13
IRONWOOD PHARMACEUTICALS INC DE 8.01,9.01 05/20/13
ITC Holdings Corp. MI 5.02,5.07,8.01 05/14/13
J C PENNEY CO INC DE 5.07 05/17/13
JA Energy NV 8.01 05/17/13
JDS UNIPHASE CORP /CA/ DE 9.01 03/07/13 AMEND
John Bean Technologies CORP DE 5.07 05/16/13
JUNIATA VALLEY FINANCIAL CORP PA 7.01,9.01 05/20/13
KBR, INC. DE 5.07 05/20/13
KEATING CAPITAL INC 5.07,8.01,9.01 05/17/13
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 05/20/13
KINDER MORGAN MANAGEMENT LLC DE 7.01 05/20/13
KINDER MORGAN, INC. DE 7.01 05/20/13
KITE REALTY GROUP TRUST MD 7.01,9.01 05/20/13
KNIGHT TRANSPORTATION INC AZ 5.07,8.01,9.01 05/16/13
KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 05/15/13
LACLEDE GAS CO MO 7.01 05/20/13
LACLEDE GROUP INC MO 7.01,8.01,9.01 05/20/13
LAKELAND BANCORP INC NJ 8.01,9.01 05/20/13
LANDAUER INC DE 8.01,9.01 05/16/13
LIFEWAY FOODS INC IL 1.01,9.01 05/14/13
LIGAND PHARMACEUTICALS INC DE 1.02 05/17/13
LORILLARD, INC. DE 1.01,2.03,9.01 05/15/13
LOT78, INC. NV 5.03 05/20/13
LUMINEX CORP DE 5.07 05/20/13
MAC-GRAY CORP DE 1.01,8.01,9.01 05/17/13
MAGELLAN PETROLEUM CORP /DE/ DE 1.01,3.02,3.03, 05/20/13
5.02,5.03,7.01,9.01
MALVERN BANCORP, INC. PA 2.02,9.01 05/20/13
MANHATTAN ASSOCIATES INC GA 5.07 05/16/13
Mastech Holdings, Inc. PA 5.07 05/15/13
Mattersight Corp DE 5.07 05/16/13
MAXLINEAR INC 5.02,5.07,9.01 05/14/13
Mayflower Bancorp Inc MA 1.01,5.02,9.01 05/14/13
MB FINANCIAL INC /MD 7.01 05/20/13
MDU RESOURCES GROUP INC DE 8.01,9.01 05/20/13
MEADOWBROOK INSURANCE GROUP INC MI 5.07 05/17/13
MEDICINES CO /DE DE 8.01 05/20/13
MERCADOLIBRE INC 1.01 05/16/13
Merck & Co. Inc. NJ 8.01,9.01 05/20/13
MERGE HEALTHCARE INC DE 5.02,9.01 05/14/13
MESA ROYALTY TRUST/TX TX 2.02,9.01 05/20/13
MICROSOFT CORP WA 5.02 05/14/13 AMEND
MICROSTRATEGY INC DE 5.07 05/15/13
Midstates Petroleum Company, Inc. DE 5.07,7.01,8.01,9.01 05/16/13
MILAGRO OIL & GAS, INC. DE 7.01,8.01,9.01 05/17/13
Momentive Performance Materials Inc. DE 1.01,5.02,8.01 05/16/13
MONAR INTERNATIONAL INC. NV 5.02 05/20/13
MONTPELIER RE HOLDINGS LTD 5.02,5.07,9.01 05/17/13
MPG Office Trust, Inc. 1.01,9.01 05/19/13
Mueller Water Products, Inc. DE 7.01,9.01 05/20/13
NATIONAL FINANCIAL PARTNERS CORP 5.02 05/17/13
NATUS MEDICAL INC DE 2.02,9.01 05/20/13
NetSpend Holdings, Inc. DE 8.01 05/17/13
Neutral Tandem Inc 1.01,9.01 05/17/13
Nexeo Solutions Holdings, LLC DE 7.01,9.01 05/20/13
NN INC DE 5.07 05/16/13
NORTHERN STATES POWER CO MN 8.01,9.01 05/20/13
Nuverra Environmental Solutions, Inc. DE 5.07 05/16/13
ONEOK INC /NEW/ OK 7.01,9.01 05/20/13
ONEOK Partners LP DE 7.01,9.01 05/20/13
OSI SYSTEMS INC DE 8.01,9.01 05/17/13
Otter Tail Corp MN 5.02,9.01 05/14/13
OVERHILL FARMS INC NV 5.08,8.01 05/15/13
PAIN THERAPEUTICS INC DE 5.07 05/16/13
Paradigm Resource Management Corp NV 4.01,9.01 03/21/13
PARTNERRE LTD 5.02,5.07 05/17/13
PennyMac Mortgage Investment Trust MD 5.07 05/15/13
PEREGRINE PHARMACEUTICALS INC DE 8.01,9.01 05/20/13
PFSWEB INC DE 8.01 05/15/13
PFSWEB INC DE 1.01,5.02,8.01,9.01 05/15/13
PICO HOLDINGS INC /NEW CA 5.07 05/15/13
PIZZA INN HOLDINGS, INC /MO/ 1.01,9.01 05/20/13
PLC SYSTEMS INC B0 2.02,9.01 05/20/13
PLUG POWER INC DE 1.01,5.03,7.01,9.01 05/16/13
PPL Corp 5.07,9.01 05/15/13
PROGRESSIVE CORP/OH/ OH 5.07 05/16/13
PROSPER MARKETPLACE INC DE 5.02 05/14/13
PULSE ELECTRONICS CORP PA 5.03,5.07,8.01,9.01 05/17/13
QLOGIC CORP DE 5.02,9.01 05/17/13
QUAKER CHEMICAL CORP PA 5.02 05/16/13
RAAM Global Energy Co DE 4.02 05/15/13
RADIAN GROUP INC DE 5.02,5.07,9.01 05/14/13
RAMCO GERSHENSON PROPERTIES TRUST MD 7.01,9.01 05/20/13
RAVEN INDUSTRIES INC SD 2.02,9.01 05/20/13
REGENERON PHARMACEUTICALS INC NY 1.01 05/17/13
REGIONS FINANCIAL CORP DE 7.01,9.01 05/20/13
REINSURANCE GROUP OF AMERICA INC MO 7.01,9.01 05/20/13
Remark Media, Inc. DE 5.02 05/14/13
RETRACTABLE TECHNOLOGIES INC TX 8.01,9.01 05/17/13
Rockville Financial, Inc. /CT/ CT 8.01,9.01 05/20/13
Rockville Financial, Inc. /CT/ CT 5.07 05/16/13
ROCKWELL MEDICAL, INC. MI 8.01,9.01 05/20/13
ROI Acquisition Corp. DE 7.01,8.01,9.01 05/20/13
RYLAND GROUP INC MD 1.01,2.03,9.01 05/14/13
S&T BANCORP INC PA 7.01,9.01 05/20/13
Samson Oil & Gas LTD C3 8.01,9.01 05/17/13
SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 05/20/13
SCHAWK INC 5.07 05/15/13
SCIENTIFIC INDUSTRIES INC DE 1.01 05/20/13
Scio Diamond Technology Corp NV 5.02,9.01 05/20/13
SHUTTERFLY INC DE 1.01,2.03,3.02,9.01 05/14/13
SIRIUS XM RADIO INC. DE 1.01,2.03,9.01 05/16/13
SM Energy Co DE 1.01,2.03,9.01 05/20/13
SMG Indium Resources Ltd. DE 3.01,8.01,9.01 05/20/13
Solar Power, Inc. CA 2.02,9.01 05/20/13
SOLARFLEX CORP DE 1.01,9.01 03/31/13
SOUTH AMERICAN GOLD CORP. NV 1.01,3.02,9.01 05/13/13
SPRINGLEAF FINANCE CORP IN 2.02,7.01 05/17/13
SPRINGLEAF FINANCE CORP IN 8.01,9.01 05/16/13
Spy Inc. DE 5.02 05/17/13
STANDARD MOTOR PRODUCTS INC NY 1.01,5.07,9.01 05/16/13
STANDARD PACIFIC CORP /DE/ DE 1.01,9.01 05/15/13
STATE STREET CORP MA 5.07 05/15/13
STATE STREET CORP MA 7.01,9.01 05/20/13
STRATEGIC HOTELS & RESORTS, INC 7.01,9.01 05/20/13
STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 05/15/13
STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 05/15/13
STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 05/15/13
STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 05/15/13
STRATS TRUST FOR SPRINT CAP CORP SEC DE 8.01,9.01 05/15/13
STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 05/15/13
STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 05/15/13
STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 05/15/13
STREAMLINE HEALTH SOLUTIONS INC. DE 5.02,9.01 05/14/13
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 05/15/13
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 05/15/13
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 05/15/13
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 05/15/13
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 05/15/13
SUBURBAN PROPANE PARTNERS LP DE 8.01,9.01 05/17/13
Sucampo Pharmaceuticals, Inc. 7.01,9.01 05/20/13
SunCoke Energy Partners, L.P. DE 7.01,9.01 05/20/13
SunCoke Energy, Inc. 7.01,9.01 05/20/13
Sunshine Financial Inc MD 1.01,9.01 05/15/13
SUPERNUS PHARMACEUTICALS INC DE 8.01,9.01 05/20/13
Swisher Hygiene Inc. DE 3.01,9.01 05/14/13
Synthetic Biologics, Inc. NV 7.01,9.01 05/20/13
SYSCO CORP DE 5.02 05/16/13
TAL International Group, Inc. DE 1.02 05/20/13
Targeted Medical Pharma, Inc. 5.02 05/08/13
TEAM INC TX 7.01,9.01 05/20/13
TECOGEN INC. 3.03,5.03,5.07,9.01 05/17/13
TELIK INC DE 5.02,5.07 05/14/13
TESLA MOTORS INC DE 1.01,3.02,3.03,9.01 05/14/13
TESORO LOGISTICS LP DE 1.01,7.01,9.01 05/17/13
TESSCO TECHNOLOGIES INC DE 5.02 05/15/13
Texas Gulf Energy Inc NV 4.02 05/18/13
THERAVANCE INC DE 8.01,9.01 05/19/13
THERAVANCE INC DE 8.01,9.01 05/20/13
THRESHOLD PHARMACEUTICALS INC DE 5.07 05/17/13
Tianli Agritech, Inc. D8 2.02,9.01 05/13/13 AMEND
TIANYIN PHARMACEUTICAL CO., INC. DE 7.01,9.01 05/15/13
TITAN INTERNATIONAL INC IL 5.07 05/16/13
TIVO INC DE 2.02,9.01 05/20/13
TRANSATLANTIC PETROLEUM LTD. 2.02,9.01 05/16/13
TransMontaigne Partners L.P. DE 7.01,9.01 05/20/13
Transocean Ltd. V8 5.02,5.07,8.01,9.01 05/20/13
Triton Pacific Investment Corporation 5.07 05/15/13
TUPPERWARE BRANDS CORP DE 5.02 05/20/13
U S PRECIOUS METALS INC DE 1.01,7.01,9.01 05/15/13
U.S. Auto Parts Network, Inc. DE 7.01,9.01 05/17/13
UMPQUA HOLDINGS CORP OR 8.01,9.01 05/20/13
Uni-Pixel DE 8.01,9.01 05/20/13
UNIGENE LABORATORIES INC DE 1.01,2.03,3.02,9.01 05/14/13
UNITED SECURITY BANCSHARES INC DE 5.07,8.01,9.01 05/16/13
UNITED STATIONERS INC DE 5.07 05/15/13
UNIVERSAL BIOSENSORS INC DE 5.07 05/16/13
UNS Energy Corp AZ 8.01 05/17/13
US CONCRETE INC DE 7.01 05/20/13
US FOODS, INC. DE 7.01,9.01 05/20/13
USA TECHNOLOGIES INC PA 8.01,9.01 05/20/13
USA TRUCK INC DE 5.02,9.01 05/14/13
UWHARRIE CAPITAL CORP NC 5.07 05/14/13
Vantage Drilling CO E9 2.02,9.01 05/10/13
Vantiv, Inc. 1.01,2.03, 05/15/13
3.02,8.01,9.01
VB CLOTHING, INC. NV 9.01 02/13/13 AMEND
VENTAS INC DE 5.07,8.01,9.01 05/16/13
VICTORY ENERGY CORP NV 8.01 05/20/13
ViewPoint Financial Group Inc. 5.07 05/16/13
VISANT CORP 5.02 05/17/13
VISCOUNT SYSTEMS INC NV 3.02 05/15/13
VOLITIONRX LTD DE 5.02 05/20/13
Warner Chilcott plc 1.01,7.01,9.01 05/20/13
WARP 9, INC. NV 8.01,9.01 05/16/13
WASHINGTON REAL ESTATE INVESTMENT TRU MD 5.07 05/16/13
WAUSAU PAPER CORP. WI 1.01,2.05,2.06,9.01 05/18/13
WEBSENSE INC DE 8.01,9.01 05/19/13
WELLPOINT, INC IN 5.02,9.01 05/20/13
Wesco Aircraft Holdings, Inc 7.01,9.01 05/20/13
West End Indiana Bancshares, Inc. MD 5.07,9.01 05/14/13
WEST MARINE INC DE 5.07,8.01 05/20/13
Where Food Comes From, Inc. 5.02 05/16/13
WYNDHAM WORLDWIDE CORP DE 5.02,5.07 05/14/13
Xumanii, Inc. NV 1.01,2.03,9.01 05/02/13
Xumanii, Inc. NV 1.01,2.03,9.01 05/02/13 AMEND
YAHOO INC DE 7.01,9.01 05/20/13
Yongye International, Inc. NV 8.01,9.01 05/17/13
Zoom Telephonics, Inc. DE 2.02,9.01 05/06/13
http://www.sec.gov/news/digest/2013/dig052113.htm
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