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ENFORCEMENT PROCEEDINGSIn the Matter of David E. RuskjerAn Administrative Law Judge has issued an Initial Decision in David E. Ruskjer, Admin. Proc. File No. 3-15147. The Order Instituting Proceedings (OIP) alleged that on September 26, 2011, Ruskjer was found guilty in a jury trial of sixteen counts of mail fraud in violation of 18 U.S.C. §§ 1341, 1343, two counts of structuring financial transactions in violation of 31 U.S.C. § 5324(a)(3), (d)(2), and twenty-two counts of money laundering in violation of 18 U.S.C. § 1957 in U.S. v. Ruskjer, No. 1:09-CR-249-HG (D. Haw.). The OIP also alleges that on September 28, 2012, a final judgment was entered against Ruskjer permanently enjoining him from future violations of Sections 5 and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, in SEC v. Ruskjer, No. 1:09-CV-00237-HG (D. Haw.). The Initial Decision finds these allegations to be true and concludes that, pursuant to Section 15(b) of the Exchange Act, it is in the public interest to bar Ruskjer from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, or from participating in an offering of penny stock. (ID-489; File No. 3-15147) In the Matter of Biopharm Asia, Inc.An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default (Default Order) in Biopharm Asia, Inc., Admin. Proc. File No. 3-15287. The Order Instituting Proceedings alleged that Biopharm Asia, Inc. repeatedly failed to file timely periodic reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of its registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-69689; File No. 3-15287) INVESTMENT COMPANY ORDERSKP Funds, et al.A notice has been issued giving interested persons until June 28, 2013, to request a hearing on an application filed by KP Funds, et al., for an order under section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from sections 12(d)(1)(A) and (B) of the Act, under sections 6(c) and 17(b) of the Act for an exemption from sections 17(a)(1) and 17(a)(2) of the Act, and under section 6(c) of the Act for an exemption from rule 12d1-2(a) under the Act. The requested order would (a) permit certain registered open-end management investment companies that operate as “funds of funds” to acquire shares of other registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies, and (b) permit funds of funds relying on rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30545 - June 3, 2013) First Trust Exchange-Traded Fund, et al.A notice has been issued giving interested persons until June 28, 2013 to request a hearing on an application filed by First Trust Exchange-Traded Fund, 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. 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-30546 - June 3, 2013) Notice of Applications for Deregistration under the Investment Company Act of 1940For the month of May, a notice has been issued giving interested persons until June 25, 2013, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act of 1940 declaring that the applicant has ceased to be an investment company: Oppenheimer Champion Income Fund [File No. 811-5281] (Rel. IC-30544 - May 31, 2013) Self-regulatory organizationsImmediate Effectiveness of a Proposed Rule ChangeA proposed rule change filed by Miami International Securities Exchange LLC to amend Rule 520 to clarify the description of the operation of the Exchange’s route timer (SR-MIAX-2013-25) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of June 3rd. (Rel. 34-69685)A proposed rule change filed by Miami International Securities Exchange LLC to amend Rule 605 regarding orders in a Market Maker’s appointed classes (SR-MIAX-2013-24) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of June 3rd. (Rel. 34-69686) A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2013-57) relating to the correction of typographical errors in respect of the Treasury Securities options 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 June 3rd. (Rel. 34-69683) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2013-55) amending the NYSE Arca Options Fee Schedule to change the monthly fees for Option Trading Permits and raise the Fee Cap that applies to certain firm and broker dealer Open Outcry Executions 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 June 3rd. (Rel. 34-69690) A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2013-46) to amend Rule 1000 - Equities to revise the manner by which the Exchange will phase out the functionality associated with Liquidity Replenishment Points in connection with the implementation of the Limit Up – Limit Down Plan 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 June 3rd. (Rel. 34-69696) A proposed rule change filed by New York Stock Exchange LLC (SR-NYSE-2013-36) to amend Rule 1000 to revise the manner by which the Exchange will phase out the functionality associated with Liquidity Replenishment Points in connection with the implementation of the Limit Up – Limit Down Plan 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 June 3rd. (Rel. 34-69695) Proposed Rule ChangeMiami International Securities Exchange LLC filed a proposed rule change (SR-MIAX-2013-21) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, to modify the allocation of Directed Orders in specific limited situations. Publication is expected in the Federal Register during the week of June 3rd. (Rel. 34-69682) Proceedings to Determine Whether to Approve or Disapprove Proposed Rule ChangeThe Commission instituted proceedings to determine whether to approve or disapprove the proposed rule change submitted by NASDAQ OMX BX, Inc. (SR-BX-2013-016) to adopt a directed order process. Publication is expected in the Federal Register during the week of June 3rd. (Rel. 34-69684) 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-1 BUSINESS SECURITY CONSULTANTS, INC., 4309 ROBINS RIDGE DRIVE,
LAS VEGAS, NV, 89129, 928-202-8459 - 5,500,000 ($55,000.00) Equity,
(File 333-189022 - Jun. 3) (BR. 08)
S-3ASR EPR PROPERTIES, 909 WALNUT STREET, SUITE 200, KANSAS CITY, MO, 64106,
8164721700 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-189023 - Jun. 3) (BR. 08C)
S-3ASR EPR PROPERTIES, 909 WALNUT STREET, SUITE 200, KANSAS CITY, MO, 64106,
8164721700 - 0 ($1,057,400,000.00) Equity, (File 333-189024 - Jun. 3)
(BR. 08C)
S-8 EPR PROPERTIES, 909 WALNUT STREET, SUITE 200, KANSAS CITY, MO, 64106,
8164721700 - 0 ($89,879,000.00) Equity, (File 333-189028 - Jun. 3)
(BR. 08C)
S-1 Language Arts Corp., 1000 N. GREEN VALLEY PKWY., SUITE 440-484,
HENDERSON, NV, 89074, 702-580-8565 - 5,000,000 ($50,000.00) Equity,
(File 333-189030 - Jun. 3) (BR. )
S-4 CORRECTIONS CORP OF AMERICA, 10 BURTON HILLS BLVD, N/A, NASHVILLE, TN,
37215, 6152633000 - 0 ($325,000,000.00) Non-Convertible Debt,
(File 333-189038 - Jun. 3) (BR. 06A)
S-4 Stream Global Services, Inc., 20 WILLIAMS STREET, SUITE 310, WELLESLEY,
MA, 02481, 781-304-1800 - 0 ($30,000,000.00) Debt, (File 333-189039 -
Jun. 3) (BR. 11C)
S-4 CORRECTIONS CORP OF AMERICA, 10 BURTON HILLS BLVD, N/A, NASHVILLE, TN,
37215, 6152633000 - 0 ($350,000,000.00) Non-Convertible Debt,
(File 333-189040 - Jun. 3) (BR. 06A)
S-3 CDF Funding, Inc., 5595 TRILLIUM BOULEVARD, HOFFMAN ESTATES, IL, 60192,
847-747-6800 - 0 ($1.00) Asset-Backed Securities, (File 333-189041 -
Jun. 3) (BR. OSF)
S-1 TECOGEN INC., 45 FIRST AVENUE, WALTHAM, MA, 02451, 781-466-6400 -
0 ($25,000,000.00) Equity, (File 333-189042 - Jun. 3) (BR. 06B)
S-1 Gulf Coast Ultra Deep Royalty Trust, 333 N. CENTRAL AVENUE, PHOENIX,
AZ, 85004, 504.582.8326 - 0 ($63,438,866.00) Other, (File 333-189043 -
Jun. 3) (BR. 04A)
S-3ASR Carlyle Group L.P., C/O THE CARLYLE GROUP,
1001 PENNSYLVANIA AVENUE, N.W., WASHINGTON, DC, 20004, 202 729 5626 -
12,721,452 ($376,682,193.72) Limited Partnership Interests,
(File 333-189044 - Jun. 3) (BR. 12B)
S-8 PRECISION DRILLING Corp, 150 - 6TH AVENUE S.W., SUITE 4200, CALGARY,
A0, T2P 3Y7, 403-716-4500 - 6,265,881 ($52,006,812.30) Equity,
(File 333-189045 - Jun. 3) (BR. 04A)
S-8 PRECISION DRILLING Corp, 150 - 6TH AVENUE S.W., SUITE 4200, CALGARY,
A0, T2P 3Y7, 403-716-4500 - 1,000,000 ($8,300,000.00) Equity,
(File 333-189046 - Jun. 3) (BR. 04A)
S-8 FREEPORT MCMORAN COPPER & GOLD INC, 333 NORTH CENTRAL AVENUE, PHOENIX,
AZ, 85004, 6023668100 - 0 ($237,650,694.17) Equity, (File 333-189047 -
Jun. 3) (BR. 09B)
S-3ASR ARRAY BIOPHARMA INC, 3200 WALNUT STREET, BOULDER, CO, 80301,
3033816600 - 0 ($0.00) Other, (File 333-189048 - Jun. 3) (BR. 01A)
S-1 CELLULAR DYNAMICS INTERNATIONAL, INC., 525 SCIENCE DRIVE, MADISON, WI,
53711, (608) 310-5100 - 0 ($57,250,000.00) Equity, (File 333-189049 -
Jun. 3) (BR. 01B)
S-3ASR ENTERPRISE PRODUCTS PARTNERS L P, 1100 LOUISIANA 10TH FLOOR, HOUSTON,
TX, 77002, 7133816500 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-189050 - Jun. 3) (BR. 02C)
S-8 AGILENT TECHNOLOGIES INC, 5301 STEVENS CREEK BLVD, SANTA CLARA, CA,
95051, 408-345-8296 - 10,000,000 ($395,377,500.00) Equity,
(File 333-189051 - Jun. 3) (BR. 10A)
F-3 Himax Technologies, Inc., NO. 26, ZIH LIAN ROAD,
SINSHIH DISTRICT, TAINAN CITY 74148, TAIWAN, F5, -, 866 (6) 505-0880 -
0 ($356,488,525.20) ADRs/ADSs, (File 333-189052 - Jun. 3) (BR. 10A)
S-8 CIBER INC, 6363 SOUTH FIDDLER'S GREEN CIRCLE, STE 1400,
GREENWOOD VILLAGE, CO, 80111, 3032200100 - 0 ($23,464,000.00) Equity,
(File 333-189053 - Jun. 3) (BR. 03A)
N-2 SKYBRIDGE MULTI-ADVISER HEDGE FUND PORTFOLIOS LLC, SKYBRIDGE CAPITAL,
527 MADISON AVENUE, 16TH FLOOR, NEW YORK, NY, 10022, 212-485-3116 -
0 ($3,000,000,000.00) Equity, (File 333-189054 - Jun. 3) (BR. 16)
S-8 CITY HOLDING CO, 25 GATEWATER ROAD, P O BOX 7520, CHARLESTON, WV,
25313, 3047691100 - 0 ($29,820,000.00) Equity, (File 333-189055 -
Jun. 3) (BR. 07B)
S-3 PLUG POWER INC, 968 ALBANY-SHAKER ROAD, LATHAM, NY, 12110, 5187827700 -
12,184,216 ($3,840,464.88) Equity, (File 333-189056 - Jun. 3) (BR. 10B)
S-3ASR RETAIL OPPORTUNITY INVESTMENTS CORP,
8905 TOWNE CENTRE DRIVE, SUITE 108, SAN DIEGO, CA, 92122,
(858) 677-0900 - 0 ($0.00) Debt, 0 ($0.00) Equity, (File 333-189057 -
Jun. 3) (BR. 08C)
S-4 Viacom Inc., 1515 BROADWAY, NEW YORK, NY, 10036, (212) 258-6000 -
0 ($1,446,365,000.00) Other, (File 333-189058 - Jun. 3) (BR. 11A)
S-8 LAKELAND BANCORP INC, 250 OAK RIDGE RD, OAK RIDGE, NJ, 07438,
9736972000 - 0 ($3,803,239.06) Equity, (File 333-189059 - Jun. 3)
(BR. 07B)
S-8 COVENANT TRANSPORTATION GROUP INC, 400 BIRMINGHAM HIGHWAY, CHATTANOOGA,
TN, 37419, 4238211212 - 750,000 ($4,050,000.00) Equity,
(File 333-189060 - Jun. 3) (BR. 05A)
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
ACTUANT CORP WI 2.02,2.05,2.06,9.01 05/30/13
ALLEGHENY TECHNOLOGIES INC DE 1.01,2.03 05/31/13
Ally Financial Inc. DE 2.01,9.01 06/03/13
ALTERA CORP DE 8.01,9.01 05/30/13
AMERICAN AIRLINES INC DE 8.01 06/03/13
AMERICAN INTERNATIONAL VENTURES INC / DE 1.01,2.01, 03/23/12 AMEND
3.02,5.01,5.06,9.01
American Midstream Partners, LP DE 5.02 05/28/13
American Realty Capital Trust IV, Inc MD 1.01,8.01,9.01 06/02/13
AMERICAN SAFETY INSURANCE HOLDINGS LT 8.01,9.01 06/03/13
AMR CORP DE 8.01 06/03/13
ANALOG DEVICES INC MA 1.01,2.03,9.01 06/03/13
APPLETON PAPERS INC/WI 8.01,9.01 05/31/13
Armored AutoGroup Inc. DE 5.02 05/30/13
ARQULE INC DE 7.01,9.01 06/01/13
ARRAY BIOPHARMA INC DE 8.01,9.01 06/03/13
ASHLAND INC. KY 8.01,9.01 06/03/13
ASSET ACCEPTANCE CAPITAL CORP 8.01,9.01 06/03/13
ASSURED GUARANTY LTD D0 1.01,2.03,9.01 05/31/13
Atlas Financial Holdings, Inc. E9 5.02,5.07 05/30/13
AUDIENCE INC 8.01,9.01 05/30/13
BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 06/03/13
BAXANO SURGICAL, INC. 2.01,2.03,3.02, 05/30/13
3.03,5.02,5.03,7.01,9.01
BAXANO SURGICAL, INC. 5.07,5.08,8.01 05/31/13
BAXTER INTERNATIONAL INC DE 1.01,2.03,9.01 05/29/13
BAY BANKS OF VIRGINIA INC VA 8.01,9.01 06/03/13
BBCN BANCORP INC DE 5.07 05/30/13
BioAmber Inc. DE 8.01,9.01 06/03/13
BIOLOGIX HAIR INC. NV 1.01,3.02,9.01 05/17/13 AMEND
BioMed Realty Trust Inc MD 2.01,7.01,9.01 05/31/13
BioMed Realty Trust Inc MD 5.02,5.07,9.01 05/29/13
BioScrip, Inc. DE 8.01,9.01 06/03/13
BIOTIME INC CA 1.01,9.01 06/03/13
BlackRock Inc. DE 5.07 05/30/13
BON TON STORES INC PA 1.01,2.03,9.01 05/28/13
BOSTON PROPERTIES INC DE 2.01,8.01,9.01 05/30/13
BOSTON PROPERTIES LTD PARTNERSHIP DE 2.01,8.01,9.01 05/30/13
BOWL AMERICA INC MD 2.01,7.01,9.01 05/31/13
BUCKLE INC NE 5.07,8.01,9.01 05/31/13
BUILD A BEAR WORKSHOP INC DE 5.02,9.01 06/03/13
Builders FirstSource, Inc. DE 1.01,2.03,8.01,9.01 05/29/13
Bunge LTD 1.01,2.03,9.01 05/30/13
CAMCO FINANCIAL CORP DE 5.02,9.01 05/28/13
CardioGenics Holdings Inc. NV 3.02,9.01 05/31/13
Carlyle Group L.P. DE 3.02,7.01 06/03/13
CATALYST PHARMACEUTICAL PARTNERS, INC DE 5.07 05/30/13
CAVIUM, INC. DE 5.07 05/30/13
Celsion CORP DE 1.01,9.01 05/30/13
CHEESECAKE FACTORY INC DE 5.07,8.01 05/29/13
CHILDRENS PLACE RETAIL STORES INC 5.07 05/30/13
CHINA VALVES TECHNOLOGY, INC NV 4.01 06/03/13
Chrysler Group LLC DE 8.01,9.01 06/03/13
CHS INC MN 8.01 06/03/13
Cinemark Holdings, Inc. DE 8.01,9.01 05/29/13
CINEMARK USA INC /TX TX 8.01,9.01 05/29/13
Clearwire Corp /DE DE 8.01,9.01 06/03/13
CLIFFS NATURAL RESOURCES INC. OH 1.04 05/29/13
Clovis Oncology, Inc. DE 8.01,9.01 06/03/13
Clovis Oncology, Inc. DE 8.01,9.01 06/03/13
COLONIAL PROPERTIES TRUST AL 8.01,9.01 06/03/13
COLONIAL PROPERTIES TRUST AL 1.01,9.01 06/03/13
Colony Financial, Inc. MD 2.01,9.01 05/31/13
COMPASS MINERALS INTERNATIONAL INC DE 5.02 05/28/13
COMSCORE, INC. DE 7.01,8.01,9.01 06/03/13
Converted Organics Inc. DE 1.01,1.02,2.01, 06/03/13
3.02,4.01,5.01,5.02,5.03,9.01
Corporate Resource Services, Inc. DE 8.01,9.01 06/03/13
CRACKER BARREL OLD COUNTRY STORE, INC 2.02,9.01 06/03/13
CUMBERLAND PHARMACEUTICALS INC 1.01,9.01 06/03/13
CURIS INC DE 1.01,3.03, 05/30/13
5.03,5.07,9.01
DEERE & CO DE 7.01 06/03/13
Delek US Holdings, Inc. 7.01,9.01 06/03/13
DESTINATION XL GROUP, INC. DE 5.02,9.01 05/28/13
DIAGNOSTIC IMAGING INTERNATIONAL CORP NV 5.07 05/29/13
Dialogic Inc. DE 5.07 05/29/13
DIODES INC /DEL/ DE 5.07,7.01,9.01 05/29/13
DOVER Corp DE 7.01,9.01 06/03/13
DSP GROUP INC /DE/ DE 8.01,9.01 06/03/13
DST SYSTEMS INC DE 5.02,9.01 05/31/13
Dussault Apparel Inc. 1.01,9.01 05/31/13
EAGLE MATERIALS INC DE 5.02,7.01,9.01 05/31/13
EAST WEST BANCORP INC 5.07 05/30/13
EDUCATIONAL DEVELOPMENT CORP DE 2.02,8.01,9.01 05/31/13
El Paso Pipeline Partners, L.P. DE 7.01 06/03/13
ELEPHANT TALK COMMUNICATIONS CORP DE 1.01,9.01 05/31/13
ELEPHANT TALK COMMUNICATIONS CORP DE 9.01 05/31/13 AMEND
ELLIE MAE INC DE 5.07 05/29/13
EMC INSURANCE GROUP INC IA 5.02 02/15/13
EMERITUS CORP\WA\ WA 5.02 05/29/13
ENCORE CAPITAL GROUP INC DE 8.01,9.01 06/03/13
ENDOLOGIX INC /DE/ DE 8.01 05/31/13
ENERGEN CORP AL 5.02 05/30/13
Energizer Resources, Inc. MN 4.01 06/01/13
ENERNOC INC DE 5.02,5.07,9.01 05/28/13
ENTERPRISE PRODUCTS PARTNERS L P DE 8.01 06/03/13
ENTREMED INC DE 5.02,5.07,8.01,9.01 05/30/13
EQUAL ENERGY LTD. A0 7.01,9.01 06/03/13
EQUITY LIFESTYLE PROPERTIES INC MD 2.02,7.01,8.01,9.01 06/03/13
ESPEY MFG & ELECTRONICS CORP NY 8.01,9.01 06/03/13
Essex Rental Corp. IL 5.02,8.01,9.01 05/31/13
EVANS & SUTHERLAND COMPUTER CORP UT 5.07 06/03/13
EXPONENT INC DE 5.07 05/30/13
EXXON MOBIL CORP NJ 5.07 05/29/13
FARMERS NATIONAL BANC CORP /OH/ OH 7.01,9.01 06/03/13
FEDERAL AGRICULTURAL MORTGAGE CORP 5.02 05/28/13
FEDEX CORP DE 2.02,2.05,2.06,9.01 05/31/13
FINANCIAL INSTITUTIONS INC NY 7.01,9.01 06/03/13
FIRST BANCORP /PR/ PR 2.02,7.01,9.01 06/03/13
First Clover Leaf Financial Corp. MD 5.07,9.01 05/30/13
FIRST PACTRUST BANCORP INC MD 1.01,7.01,8.01,9.01 05/31/13
FORD MOTOR CO DE 8.01,9.01 06/03/13
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 06/03/13
FREEPORT MCMORAN COPPER & GOLD INC DE 1.01,1.02,2.01, 05/31/13
2.03,3.03,5.02,8.01,9.01
FRESH START PRIVATE MANAGEMENT, INC. NV 5.02,9.01 06/03/13
Frozen Food Gift Group, Inc DE 1.01 06/01/13
FS Bancorp, Inc. 7.01,9.01 06/03/13
FXCM Inc. 1.01,2.03, 05/28/13
3.02,8.01,9.01
G III APPAREL GROUP LTD /DE/ DE 2.02,9.01 06/03/13
GENERAL ELECTRIC CAPITAL CORP CT 3.03,8.01,9.01 05/30/13
GLACIER BANCORP INC DE 8.01,9.01 05/31/13
Global Vision Holdings, Inc. NV 1.01,2.03,3.02,9.01 05/28/13
GMX RESOURCES INC OK 5.02,7.01,9.01 05/28/13
GOLDEN QUEEN MINING CO LTD A1 5.07 05/30/13
GOLDFIELD CORP DE 5.07 05/30/13
GORMAN RUPP CO OH 5.04,9.01 05/24/13
GREENBRIER COMPANIES INC OR 5.02,9.01 05/28/13
GSI TECHNOLOGY INC 5.02,9.01 05/30/13
HALLMARK FINANCIAL SERVICES INC NV 1.01,9.01 05/30/13
Hampden Bancorp, Inc. DE 8.01,9.01 05/28/13
Havana Furnishings Inc. NV 3.02,4.01,9.01 05/28/13
HCI Group, Inc. FL 5.02 05/29/13
HEALTHSTREAM INC TN 5.07 05/30/13
HECLA MINING CO/DE/ DE 2.01,3.02,8.01,9.01 06/01/13
HEINZ H J CO PA 7.01,9.01 06/03/13
HESS CORP DE 5.07 06/03/13 AMEND
HINES REAL ESTATE INVESTMENT TRUST IN 8.01 06/03/13
HMS HOLDINGS CORP 7.01 05/31/13
HOME LOAN SERVICING SOLUTIONS, LTD. E9 7.01,9.01 06/03/13
HOMELAND ENERGY SOLUTIONS LLC 8.01,9.01 05/31/13
HORIZON PHARMA, INC. DE 5.07 05/31/13
Horizon Technology Finance Corp DE 1.01,2.03,9.01 06/03/13
HOSPITALITY PROPERTIES TRUST MD 8.01,9.01 05/30/13
HUMANA INC DE 7.01 06/03/13
HYPERION THERAPEUTICS INC DE 2.01,5.07,9.01 05/29/13
IHS Inc. DE 5.02,9.01 05/28/13
Inland Diversified Real Estate Trust, MD 7.01,9.01 06/03/13
INLAND REAL ESTATE CORP MD 1.01,8.01,9.01 05/29/13
Innovaro, Inc. 1.01,2.01,9.01 05/29/13
INNOVUS PHARMACEUTICALS, INC. NV 5.02,7.01,9.01 05/28/13
Insys Therapeutics, Inc. DE 2.02,9.01 06/03/13
INTERCONTINENTALEXCHANGE INC DE 5.07 06/03/13
INTERMOLECULAR INC DE 1.01,1.02,2.03,9.01 05/31/13
INTERNET INFINITY, INC. DE 5.02 06/03/13
INVENTURE FOODS, INC. DE 1.01,2.01,8.01,9.01 05/28/13
ITC Holdings Corp. MI 1.01,2.03,9.01 05/30/13
ITEX CORP NV 8.01 05/31/13
IXIA CA 4.01 05/30/13
IXYS CORP /DE/ DE 1.01 05/24/13
IZEA, Inc. NV 1.01,2.03,3.02,9.01 05/31/13
JBI, INC. NV 4.01,9.01 06/01/13
Jive Software, Inc. DE 5.02 05/31/13
JONES LANG LASALLE INC MD 5.07 05/30/13
KID BRANDS, INC NJ 5.02,8.01,9.01 05/29/13
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 06/03/13
KINDER MORGAN ENERGY PARTNERS L P DE 1.01,9.01 06/03/13
KINDER MORGAN MANAGEMENT LLC DE 7.01 06/03/13
KINDER MORGAN, INC. DE 7.01 06/03/13
KINDRED HEALTHCARE, INC DE 1.01,2.03,7.01,9.01 05/30/13
Kior Inc DE 5.07 05/30/13
KMG CHEMICALS INC TX 2.01,2.03,9.01 05/31/13
KVH INDUSTRIES INC \DE\ DE 5.07 05/29/13
Liberty Interactive Corp 7.01,9.01 05/30/13
LIFE PARTNERS HOLDINGS INC TX 8.01,9.01 05/30/13
LIONS GATE ENTERTAINMENT CORP /CN/ A1 5.02,7.01,9.01 05/30/13
LUFKIN INDUSTRIES INC TX 8.01 05/30/13
MACERICH CO MD 5.07 05/30/13
MAGELLAN PETROLEUM CORP /DE/ DE 8.01 06/03/13
MAGNACHIP SEMICONDUCTOR Corp DE 5.07 05/29/13
Marathon Patent Group, Inc. NV 1.01,3.02, 05/31/13
5.07,8.01,9.01
MARCHEX INC DE 5.02 06/03/13
Marine Drive Mobile Corp. NV 1.01,3.02,4.01,9.01 05/24/13
MAXYGEN INC DE 5.02,8.01,9.01 05/30/13
MEDICINES CO /DE DE 5.07 05/30/13
Mellanox Technologies, Ltd. L3 5.02,5.07 06/03/13
Memorial Production Partners LP DE 5.02,9.01 05/31/13
MERCER INTERNATIONAL INC. WA 5.07 05/31/13
MID AMERICA APARTMENT COMMUNITIES INC TN 8.01,9.01 06/03/13
MID AMERICA APARTMENT COMMUNITIES INC TN 1.01,9.01 06/03/13
Midstates Petroleum Company, Inc. DE 1.01,2.01, 05/31/13
2.03,7.01,9.01
Monster Beverage Corp DE 8.01,9.01 06/03/13
MULTIBAND CORP MN 7.01 06/03/13
NASDAQ OMX GROUP, INC. DE 2.03,8.01,9.01 05/30/13
Nationstar Mortgage Holdings Inc. DE 2.01,8.01,9.01 05/31/13
New Western Energy Corp NV 7.01,9.01 05/29/13
NEWCASTLE INVESTMENT CORP MD 5.02 05/29/13
NEWLINK GENETICS CORP 8.01,9.01 06/03/13
NORSTRA ENERGY INC NV 7.01,9.01 05/31/13
NORSTRA ENERGY INC NV 7.01,9.01 05/31/13
Nova Lifestyle, Inc. NV 5.02,9.01 05/28/13
OCEANEERING INTERNATIONAL INC DE 7.01 06/03/13
Ohr Pharmaceutical Inc 5.03,8.01,9.01 05/29/13
OICCO ACQUISITION I, INC. DE 4.01,9.01 05/17/13 AMEND
OptimumBank Holdings, Inc. FL 8.01,9.01 05/31/13
ORMAT TECHNOLOGIES, INC. DE 8.01,9.01 06/03/13
OSIRIS THERAPEUTICS, INC. DE 5.07 05/30/13
OURPETS CO CO 5.02,9.01 05/31/13
Pacific Green Technologies Inc. DE 1.01,2.01,9.01 05/15/13 AMEND
PASSPORT POTASH INC A1 1.01,7.01,9.01 06/03/13
PATHEON INC 2.02,7.01,9.01 06/03/13
PDC ENERGY, INC. NV 1.01,9.01 05/30/13
PDL BIOPHARMA, INC. DE 8.01,9.01 06/03/13
PENN VIRGINIA CORP VA 1.01,2.03,9.01 05/30/13
PennantPark Floating Rate Capital Ltd 7.01,9.01 06/03/13
PENNANTPARK INVESTMENT CORP 7.01,9.01 06/03/13
PEREGRINE PHARMACEUTICALS INC DE 8.01,9.01 06/03/13
PERFICIENT INC DE 5.07 05/29/13
Performant Financial Corp DE 5.07 05/30/13
PetroLogistics LP DE 8.01 06/03/13
PFIZER INC DE 8.01,9.01 05/28/13
PGT, Inc. DE 1.01,1.02,2.03,9.01 06/03/13
PHARMACYCLICS INC DE 7.01,9.01 06/02/13
Philip Morris International Inc. VA 8.01,9.01 05/29/13
Phillips Edison - ARC Shopping Center MD 5.02,8.01,9.01 05/31/13
PLAINS EXPLORATION & PRODUCTION CO DE 1.01,1.02,2.01, 05/31/13
3.01,3.03,5.01,5.02,9.01
Plantation Lifecare Developers, Inc DE 4.01 05/31/13
PORTFOLIO RECOVERY ASSOCIATES INC DE 5.07 05/30/13
PORTLAND GENERAL ELECTRIC CO /OR/ OR 2.06,7.01,8.01 05/30/13
PROCERA NETWORKS INC NV 5.02,5.07,9.01 05/30/13
PROGENICS PHARMACEUTICALS INC DE 8.01,9.01 06/03/13
PSYCHEMEDICS CORP DE 5.07 05/23/13
QLIK TECHNOLOGIES INC DE 5.02,8.01,9.01 06/03/13
RADIO ONE, INC. DE 5.03,8.01,9.01 05/29/13
Rango Energy, Inc. NV 1.01,9.01 05/27/13
RAYMOND JAMES FINANCIAL INC FL 7.01 05/31/13
Real Goods Solar, Inc. CO 1.01,3.02,9.01 06/03/13
REALPAGE INC DE 5.02,7.01 05/31/13
REALTY INCOME CORP MD 1.01,2.03,9.01 05/31/13
REPROS THERAPEUTICS INC. DE 7.01,9.01 06/03/13
REPROS THERAPEUTICS INC. DE 8.01,9.01 06/03/13
RESERVE PETROLEUM CO DE 5.07,8.01 05/30/13
RICKS CABARET INTERNATIONAL INC TX 3.02 05/29/13
ROWAN COMPANIES PLC X0 5.02,9.01 05/31/13
Ruths Hospitality Group, Inc. DE 5.02,5.07,9.01 05/30/13
SAIC, Inc. 2.02,9.01 06/03/13
Sanchez Energy Corp DE 1.01,2.01, 05/31/13
2.03,7.01,8.01,9.01
SCOTTS MIRACLE-GRO CO OH 5.02,9.01 05/28/13
SELECT MEDICAL HOLDINGS CORP 5.02 06/03/13
SELECTICA INC DE 1.01,3.02, 05/31/13
3.03,5.03,7.01,9.01
SemGroup Corp DE 8.01,9.01 06/03/13
SERENA SOFTWARE INC DE 5.02,5.07,9.01 05/29/13
Shire plc 8.01,9.01 06/03/13
SIGMA ALDRICH CORP DE 7.01,9.01 06/03/13
Silver Bay Realty Trust Corp. MD 7.01,9.01 06/03/13
Silver Falcon Mining, Inc. DE 1.02 05/30/13
SmartPros Ltd. DE 4.01 06/01/13
SONIC FOUNDRY INC MD 2.03,8.01,9.01 05/31/13
Sound Financial Bancorp, Inc. MD 5.07 05/28/13
SOUTHERN CO DE 8.01 05/28/13
SPECTRANETICS CORP DE 5.07 05/29/13
SPECTRUM PHARMACEUTICALS INC DE 1.01 05/29/13
STRATEGIC HOTELS & RESORTS, INC 7.01,9.01 06/03/13
Stream Global Services, Inc. DE 8.01,9.01 06/03/13
SUFFOLK BANCORP NY 8.01,9.01 05/29/13
SUPERVALU INC DE 8.01,9.01 05/31/13
SYMANTEC CORP DE 5.02 05/30/13
Symmetry Medical Inc. DE 5.02,9.01 05/31/13
SYNTA PHARMACEUTICALS CORP 8.01,9.01 06/03/13
TEMPUR PEDIC INTERNATIONAL INC DE 8.01,9.01 03/18/13 AMEND
TESORO CORP /NEW/ DE 1.01,2.01,7.01,9.01 06/01/13
TESORO LOGISTICS LP DE 1.01,2.01, 06/01/13
3.02,5.03,7.01,9.01
Texas Rare Earth Resources Corp. DE 5.02,9.01 05/29/13 AMEND
TG THERAPEUTICS, INC. DE 8.01,9.01 06/03/13
THERAVANCE INC DE 7.01,9.01 06/03/13
THRESHOLD PHARMACEUTICALS INC DE 8.01,9.01 06/02/13
THUNDER MOUNTAIN GOLD INC NV 5.07 04/30/13
TIDEWATER INC DE 5.05,9.01 05/31/13
TIFFANY & CO DE 5.02 06/03/13
TigerLogic CORP DE 5.02,8.01 06/03/13
TNI BIOTECH, INC. FL 5.02 06/03/13
Tower Group International, Ltd. D0 1.01,9.01 06/02/13
Trio Merger Corp. DE 8.01,9.01 05/31/13
TRUE RELIGION APPAREL INC DE 8.01 05/10/13 AMEND
TRUE RELIGION APPAREL INC DE 1.01 05/10/13 AMEND
TRUE RELIGION APPAREL INC DE 2.02 05/10/13 AMEND
TUTOR PERINI Corp MA 5.02,5.07 05/29/13
Two Harbors Investment Corp. 5.02,9.01 05/29/13
U.S. SILICA HOLDINGS, INC. DE 7.01,9.01 06/03/13
UNIPROP MANUFACTURED HOUSING COMMUNIT MI 8.01 06/03/13
United Continental Holdings, Inc. DE 3.02 05/29/13
UNIVERSAL HOSPITAL SERVICES INC MN 4.01,9.01 05/28/13
UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 5.02,9.01 05/31/13
US ECOLOGY, INC. DE 5.07 05/30/13
VAIL RESORTS INC DE 5.02,9.01 06/03/13
Vera Bradley, Inc. 5.07 05/30/13
VERINT SYSTEMS INC DE 2.02,7.01,9.01 06/03/13
VIRGINIA COMMERCE BANCORP INC 5.07 06/03/13 AMEND
VistaGen Therapeutics, Inc. NV 1.01,8.01,9.01 05/28/13
WESCO INTERNATIONAL INC 5.07 05/30/13
Western Standard Energy Corp. NV 1.01,9.01 05/22/13
Western Union CO DE 5.03,5.07,9.01 06/03/13
Westinghouse Solar, Inc. DE 8.01 05/30/13
WGL HOLDINGS INC VA 8.01,9.01 05/30/13
Willdan Group, Inc. DE 5.07 05/31/13
WILLIS LEASE FINANCE CORP DE 5.02,5.07,7.01,9.01 06/03/13
WILSHIRE BANCORP INC 5.02,5.07,9.01 05/29/13
XCEL ENERGY INC MN 7.01 06/03/13
YAPPN CORP. DE 3.02,9.01 05/31/13
http://www.sec.gov/news/digest/2013/dig060413.htm
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