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Commission announcementsAmelia Cottrell Named Associate Regional Director for Enforcement in New York OfficeThe Securities and Exchange Commission (Commission) today announced the promotion of Amelia A. Cottrell to Associate Regional Director for Enforcement in the agency’s New York Regional Office. Ms. Cottrell, who came to the SEC in 2005, has been serving as an Assistant Regional Director in the New York office and as a member of the Enforcement Division’s nationwide Market Abuse Unit. In her new position, she will help supervise a staff of approximately 180 attorneys, investigators, accountants, and paralegals in the New York office’s enforcement program. “Amelia has been an extraordinary leader in this office and is widely respected both within and outside of the SEC,” said Andrew M. Calamari, Director of the SEC’s New York Regional Office. “I am thrilled that she will be joining the senior ranks of the New York office.” Ms. Cottrell said “I am honored by this appointment and excited to continue working with my friends and colleagues in the SEC’s New York Regional Office to fulfill the agency’s mission to protect investors.” Ms. Cottrell fills the Associate Regional Director slot that was previously held by Sanjay Wadhwa, who was recently promoted to Senior Associate Regional Director for Enforcement in the New York office. Ms. Cottrell, 39, assumed a managerial role in the New York office in 2008 and was promoted to Assistant Regional Director in 2010. She has been a key contributor to many significant SEC enforcement actions, including a major insider trading case against hedge fund firm CR Intrinsic and an insider trading case against Tiger Asia Management that resulted in a $44 million settlement. Other cases include a $25 million settlement with the world’s largest inter-dealer broker for displaying fake trades and misleading customers, insider trading charges against a former global consulting firm executive and his friend who once worked on Wall Street, and an enforcement action against a complex market manipulation scheme in biopharmaceutical stocks. Before joining the SEC staff, Ms. Cottrell worked as a litigation associate for five years at the New York law firm Paul, Weiss, Rifkind, Wharton & Garrison, and for two years in the Chicago office of Jones Day. Ms. Cottrell earned a J.D. with honors from the University of Chicago Law School in 1998, and a B.A. magna cum laude from Williams College in 1995. (Press Rel. 2013-112) ENFORCEMENT PROCEEDINGSIn the Matter of Rosenberg Rich Baker Berman & Company and Brian Zucker, CPAOn June 14, 2013, the Commission issued an Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Rosenberg Rich Baker Berman & Company (RRBB) and Brian Zucker. The Commission finds that, in violation of auditor independence rules, RRBB partner Zucker performed Financial and Operations Principal (FINOP) services for a broker-dealer client while RRBB was serving as the broker-dealer’s auditor. Zucker also arranged for RRBB to pay a contractor who was serving as the broker-dealer’s designated FINOP and directed an RRBB staff accountant to provide FINOP services to the broker-dealer. As a consequence of this conduct, the Commission finds that Zucker and RRBB engaged in improper professional conduct, violated the auditor independence rules, and caused the broker-dealer’s failure to file an annual report for fiscal year 2011 audited by an independent accountant. Based on the above, the Order (1) requires RRBB and Zucker to cease-and-desist from committing or causing any violations or future violations of Section 17(a) of the Securities Exchange Act of 1934 and Rule 17a-5 thereunder; (2) imposes a censure against RRBB; (3) requires RRBB to pay disgorgement of $12,000 and a civil monetary penalty in the amount of $25,000; and (4) denies Zucker the privilege of appearing or practicing before the Commission as an accountant with the right to apply for reinstatement after one-year. (Rel. 34-69765; AAER-3464; File No. 3-15358) In the Matter of David MuraAn Administrative Law Judge has issued an Initial Decision in David Mura, Admin. Proc. File No. 3-15045. The Administrative Law Judge previously found Respondent David Mura (Mura) in default in an Order issued on February 11, 2013. The Commission issued its Order Instituting Proceedings on September 24, 2012, alleging that Mura violated Section 15(a) of the Securities Exchange Act of 1934 (Exchange Act) and aided and abetted the same. The Initial Decision finds that Mura committed the alleged violations. To protect the public interest, it (1) orders Mura to cease and desist from committing, aiding and abetting, or causing any violations, or any future violations, of Section 15(a) of the Exchange Act; (2) bars Mura from association with brokers, dealers, investment advisers, municipal securities dealers, transfer agents, municipal advisors, and nationally recognized statistical rating organizations; (3) censures Mura; and (4) imposes a civil penalty of $840,000 against Mura. (ID-491; File No. 3-15045) Commission Sustains in Part and Remands in Part FINRA Disciplinary Action Taken against John Joseph PlunkettThe Commission has sustained in part and remanded in part FINRA disciplinary action taken against John Joseph Plunkett. FINRA found that Plunkett violated NASD Rule 2110 by directing the removal of his former employer firm's books and records and FINRA Rules 8210 and 2010 by failing to respond to FINRA requests for information. FINRA imposed a bar on Plunkett for each cause of action. The Commission sustained the findings of violations and the bar for the first cause of action. The Commission set aside the bar for the second cause of action and remanded to FINRA. (Rel. 34-69766; File No. 3-14810) Commission Announces Whistleblower ActionThe Commission issued an order on June 12, 2013 awarding three whistleblowers a total of 15 percent of the money that the SEC ultimately collects from its enforcement action against sham hedge fund Locust Offshore Management LLC and its CEO Andrey C. Hicks, who defrauded investors of $2.7 million. To date, the SEC has not collected any amounts on these judgments, so no immediate payments will be made to the whistleblowers. (Rel. 34-69749; No. 2013-1) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by The NASDAQ Stock Market LLC to make changes to NASDAQ’s pricing incentive programs and schedule of fees and credits (SR-NASDAQ-2013-081) 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 17th. (Rel. 34-69758) A proposed rule change filed by the International Securities Exchange, LLC to amend the schedule of fees (SR-ISE-2013-36) 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 17th. (Rel. 34-69757) A proposed rule change filed by NASDAQ OMX BX, Inc. to its schedule of fees and rebates for execution of orders for securities priced at $1 or more under Rule 7018 (SR-BX-2013-038) 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 17th. (Rel. 34-69753) A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2013-058) to amend the Fees Schedule 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 17th. (Rel. 34-69760) Notice of Proposed Rule ChangeFinancial Industry Regulatory Authority, Inc. has filed a proposed rule change (SR-FINRA-2013-023) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 relating to amendments to rules governing panel selection in the Code of Arbitration Procedure for Customer Disputes. Publication is expected in the Federal Register during the week of June 17th. (Rel. 34-69762) Approval of a Proposed Rule ChangeThe Commission approved a proposed rule change submitted by The NASDAQ Stock Market LLC (“NASDAQ”) (SR-NASDAQ-2013-070) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 for the permanent approval of a pilot program to permit The NASDAQ Options Market (“NOM”) to accept inbound options orders from NASDAQ OMX BX, Inc. Publication is expected in the Federal Register during the week of June 17th. (Rel. 34-69755) The Commission approved a proposed rule change submitted by The NASDAQ OMX PHLX LLC (SR-Phlx-2013-42) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 for the permanent approval of a pilot program to permit the Exchange to accept inbound options orders routed by Nasdaq Options Services LLC from NASDAQ OMX BX, Inc. Publication is expected in the Federal Register during the week of June 17th. (Rel. 34-67956) Designation of Longer Period for Commission Action on a Proposed Rule ChangeThe Fixed Income Clearing Corporation (“FICC”) filed a proposed rule change (File No. SR-FICC-2013-02) under Section19(b)(1) of the Securities Exchange Act of 1934 to include options on interest rate futures contracts with maturities not longer than two years in the one-pot cross-margining arrangement between FICC’s Government Securities Division and New York Portfolio Clearing, LLC. The Commission has designated a longer period within which to take action on the proposed rule change. Publication is expected in the Federal Register during the week of June 17th. (Rel. 34-69754) 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 SAUER ENERGY, INC., 2326 TELLER ROAD, NEWBURY PARK, CA, 91320,
888 829 8748 - 11,000,000 ($3,300,000.00) Equity, (File 333-189275 -
Jun. 13) (BR. 04A)
S-8 COTY INC /, 2 PARK AVENUE, NEW YORK, NY, 10016, 212-479-4300 -
0 ($671,559,433.21) Equity, (File 333-189276 - Jun. 13) (BR. 06B)
S-8 OPTICAL CABLE CORP, 5290 CONCOURSE DR, ROANOKE, VA, 24019, 5402650690 -
1,200,000 ($5,136,000.00) Equity, (File 333-189277 - Jun. 13) (BR. 06A)
F-3 ALVARION LTD, 21A HABAMEL ST, TEL AVIV ISRAEL, L3, 69710,
01197236454803 - 658,987 ($1,541,199.46) Equity, (File 333-189278 -
Jun. 13) (BR. 11A)
S-8 NYXIO TECHNOLOGIES Corp, 2156 NE BROADWAY, PORTLAND,, OR, 97232,
855-436-6996 - 12,461,803 ($498,472.12) Equity, (File 333-189281 -
Jun. 13) (BR. 03B)
S-4 New Enterprise Stone & Lime Co., Inc., 3912 BRUMBAUGH ROAD,
P.O. BOX 77, NEW ENTERPRISE, PA, 16664, 814-766-2211 -
0 ($377,376,000.00) Debt Convertible into Equity, (File 333-189282 -
Jun. 13) (BR. 09A)
S-1 GAMING ENTERTAINMENT INTERNATIONAL, INC.,
11700 WEST CHARLESTON AVENUE #170, LAS VEGAS, NV, 89135, 702-755-3745 -
5,000,000 ($15,000,000.00) Equity, (File 333-189283 - Jun. 13) (BR. )
S-1 ANTERO RESOURCES Corp, 1625 17TH STREET, SUITE 300, DENVER, CO, 80202,
303-357-7325 - 0 ($1,000,000,000.00) Equity, (File 333-189284 -
Jun. 13) (BR. )
S-8 KIRKLAND'S, INC, 2501 MCGAVOCK PIKE, SUITE 1000, NASHVILLE, TN, 37214,
615-872-4800 - 0 ($15,480,000.00) Equity, (File 333-189285 - Jun. 13)
(BR. 02C)
S-1 Ameri Metro, Inc. (formerly Yellowwood), 3030 EAST MARKET STREET,
SECOND FLOOR, YORK, PA, 17402, 717-701-7726 -
1,605,196 ($32,103.93) Equity, (File 333-189286 - Jun. 13) (BR. 06B)
S-8 ON ASSIGNMENT INC, 26745 MALIBU HILLS ROAD, CALABASAS, CA, 91301,
8188787900 - 4,000,000 ($104,040,000.00) Equity, (File 333-189287 -
Jun. 13) (BR. 11A)
S-8 DUN & BRADSTREET CORP/NW, 103 JFK PARKWAY, 103 JFK PARKWAY,
SHORT HILLS, NJ, 07078, 9739215500 - 0 ($30,000,000.00) Other,
(File 333-189289 - Jun. 13) (BR. 11C)
S-8 XEROX CORP, 45 GLOVER AVENUE, PO BOX 4505, NORWALK, CT, 06856,
2039683000 - 0 ($18,270,000.00) Equity, (File 333-189290 - Jun. 13)
(BR. 03A)
S-8 PEPCO HOLDINGS INC, SUITE 1300, 701 NINTH STREET, NW, WASHINGTON, DC,
20068, 202-872-2000 - 5,000,000 ($102,650,000.00) Equity,
(File 333-189291 - Jun. 13) (BR. 02A)
S-1 Envision Healthcare Holdings, Inc., 6200 S. SYRACUSE WAY, SUITE 200,
GREENWOOD VILLAGE, CO, 80111, (303) 495-1200 -
0 ($100,000,000.00) Equity, (File 333-189292 - Jun. 13) (BR. )
S-3 CAPITAL ONE MULTI ASSET EXECUTION TRUST, BANKERS TRUST DELAWARE,
E A DELLE DONNE CORP CTR 1011 CENTRE RD, WILMINGTON, DE, 19805-1266,
3026363382 - 0 ($1.00) Other, (File 333-189293 - Jun. 13) (BR. OSF)
F-10 BROOKFIELD ASSET MANAGEMENT INC.,
BROOKFIELD PLACE, 181 BAY ST, STE 300, PO BOX 762, TORONTO, A6,
A6 M5J2T3, 416-363-9491 - 0 ($1,000,000,000.00) Other,
(File 333-189296 - Jun. 13) (BR. 08B)
S-3ASR MYLAN INC., 1500 CORPORATE DRIVE, CANONSBURG, PA, 15317, 724-514-1800 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-189297 - Jun. 13)
(BR. 01B)
S-8 DIODES INC /DEL/, 4949 HEDGCOXE ROAD, SUITE 200, PLANO, TX, 75024,
972-987-3900 - 0 ($140,640,000.00) Equity, (File 333-189298 - Jun. 13)
(BR. 10A)
S-8 DIODES INC /DEL/, 4949 HEDGCOXE ROAD, SUITE 200, PLANO, TX, 75024,
972-987-3900 - 0 ($117,200,000.00) Equity, (File 333-189299 - Jun. 13)
(BR. 10A)
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
30DC, INC. MD 4.01,9.01 06/06/13
ACI WORLDWIDE, INC. DE 5.02,5.03, 06/11/13
5.07,8.01,9.01
ADA-ES INC CO 7.01,9.01 06/13/13
ADVANCE AUTO PARTS INC DE 5.03,9.01 06/07/13
ADVENT SOFTWARE INC /DE/ DE 1.01,2.03,8.01,9.01 06/12/13
AECOM TECHNOLOGY CORP DE 1.01,2.03,9.01 06/07/13
AIR T INC DE 1.01 06/12/13
AIR T INC DE 1.01 06/13/13
ALLIANCE ONE INTERNATIONAL, INC. VA 5.02,5.03,9.01 06/13/13
ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 8.01,9.01 06/13/13
ALPHA & OMEGA SEMICONDUCTOR Ltd 5.02 06/10/13
ALTAIR NANOTECHNOLOGIES INC Z4 1.01,9.01 06/07/13
AMAG PHARMACEUTICALS INC. DE 1.01,2.03,9.01 06/10/13
Amarantus Bioscience Holdings, Inc. NV 1.01,2.03,8.01 05/28/13
American Assets Trust, Inc. MD 5.07 06/13/13
AMERICAN CAPITAL, LTD 5.02 06/13/13
AMERICAN NATIONAL BANKSHARES INC VA 5.02 06/12/13
AMERICAN STATES WATER CO CA 8.01 06/12/13
AMERICAN TOWER CORP /MA/ DE 8.01,9.01 06/13/13
Antero Resources LLC DE 7.01,9.01 06/13/13
Anthera Pharmaceuticals Inc DE 5.02,8.01,9.01 06/12/13
AnythingIT, Inc. DE 3.02,5.02,9.01 06/12/13
AOXING PHARMACEUTICAL COMPANY, INC. FL 5.07 06/13/13
AP PHARMA INC /DE/ DE 5.07 06/12/13
Armour Residential REIT, Inc. MD 8.01,9.01 06/13/13
ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 5.02 06/07/13
Ascena Retail Group, Inc. DE 7.01,9.01 06/12/13
ASPEN INSURANCE HOLDINGS LTD D0 1.01,2.03,9.01 06/12/13
ASSET ACCEPTANCE CAPITAL CORP 5.07 06/13/13
ASSET ACCEPTANCE CAPITAL CORP 2.01,2.03,3.01, 06/13/13
3.03,5.01,5.02,5.03,
8.01,9.01
ASSISTED LIVING CONCEPTS INC NV 1.01,2.03,9.01 06/12/13
ASTEA INTERNATIONAL INC DE 5.07 06/13/13
Atlas Energy, L.P. DE 1.01,7.01,9.01 06/09/13
AUTONATION, INC. DE 1.02,9.01 06/10/13
AUXILIUM PHARMACEUTICALS INC DE 1.01,9.01 06/07/13
AXESSTEL INC NV 5.02,8.01,9.01 06/07/13
Bassline Productions, Inc NV 1.01,9.01 02/07/13
BBX CAPITAL CORP FL 8.01,9.01 06/07/13
BELO CORP DE 8.01,9.01 06/12/13
BLACKSTONE MORTGAGE TRUST, INC. MD 1.01 06/07/13
CAI International, Inc. 5.07 06/07/13
CAPSTONE TURBINE Corp DE 2.02,9.01 06/13/13
Cardinal Ethanol LLC IN 1.01 06/10/13
CardioNet, Inc. CA 7.01,9.01 06/10/13
Care Investment Trust Inc. MD 5.07 06/12/13
CASEYS GENERAL STORES INC IA 2.02,5.02,7.01,9.01 06/13/13
CATASYS, INC. DE 7.01,9.01 06/13/13
CBS CORP DE 5.02 06/07/13
CELGENE CORP /DE/ DE 5.02,5.07,7.01,9.01 06/12/13
Celldex Therapeutics, Inc. DE 5.02,5.07,9.01 06/12/13
CEMPRA, INC. DE 8.01,9.01 06/13/13
CENTRAL EUROPEAN MEDIA ENTERPRISES LT 5.07 06/12/13
CH ENERGY GROUP INC NY 8.01,9.01 06/13/13
CHEROKEE INC DE 2.02,9.01 06/13/13
ChyronHego Corp NY 5.02 06/07/13
Clearwire Corp /DE DE 8.01,9.01 06/12/13
Clearwire Corp /DE DE 8.01,9.01 06/13/13
CLIFFS NATURAL RESOURCES INC. OH 1.01 06/07/13
CMS ENERGY CORP MI 7.01,9.01 06/13/13
COFFEE HOLDING CO INC NV 2.02,8.01,9.01 06/13/13
Cole Credit Property Trust II Inc MD 5.07,7.01,9.01 06/12/13
COMM 2013-CCRE8 Mortgage Trust DE 8.01,9.01 06/13/13
COMMUNITY FINANCIAL SHARES INC DE 7.01,9.01 06/13/13
Comverse, Inc. DE 2.02,9.01 06/13/13
CORRECTIONS CORP OF AMERICA MD 8.01 06/12/13
Counsel RB Capital Inc. FL 8.01,9.01 06/12/13
CUBIST PHARMACEUTICALS INC DE 5.07 06/12/13
DELTA AIR LINES INC /DE/ DE 7.01,9.01 06/13/13
Duke Energy CORP DE 8.01,9.01 06/10/13
DUPONT FABROS TECHNOLOGY, INC. MD 1.01,2.03,9.01 06/11/13
DYNASIL CORP OF AMERICA NJ 5.02 06/10/13
EASTERN VIRGINIA BANKSHARES INC VA 3.02,8.01,9.01 06/12/13
ECOTALITY, INC. NV 1.01,3.02,9.01 06/12/13
Education Realty Trust, Inc. MD 4.02 06/13/13
EINSTEIN NOAH RESTAURANT GROUP INC DE 7.01 06/13/13
Energy Services of America CORP DE 5.07 06/12/13
EnergySolutions, Inc. DE 5.02,5.07 06/07/13
EP Energy LLC DE 1.01,9.01 06/09/13
EPIQ SYSTEMS INC MO 7.01,9.01 06/13/13
EPR PROPERTIES MD 7.01 06/13/13
EPR PROPERTIES MD 8.01,9.01 06/13/13
EQUITY RESIDENTIAL MD 5.07 06/13/13
EWaste Systems, Inc. NV 5.02 06/07/13
EXA CORP MA 5.07 06/11/13
Excel Corp DE 1.01,9.01 06/07/13
Facebook Inc 5.07 06/11/13
Fansport, Inc. FL 5.02 06/07/13
Federal Home Loan Bank of Atlanta X1 2.03 06/10/13
Federal Home Loan Bank of Boston X1 2.03 06/10/13
Federal Home Loan Bank of Chicago X1 2.03 06/10/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 06/13/13
Federal Home Loan Bank of New York X1 2.03,9.01 06/10/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 06/10/13
Federal Home Loan Bank of San Francis X1 2.03 06/10/13
Federal Home Loan Bank of Seattle 2.03 06/11/13
Federal Home Loan Bank of Topeka 2.03,9.01 06/10/13
FEDERAL SIGNAL CORP /DE/ DE 4.01,9.01 06/13/13
Fifth Street Finance Corp DE 8.01,9.01 06/13/13
FIRST BANCORP /NC/ NC 5.02,9.01 06/13/13
FIRST CASH FINANCIAL SERVICES INC DE 5.07 06/12/13
FIRST SOLAR, INC. DE 8.01,9.01 06/11/13
FLORIDA GAMING CORP DE 1.01 06/07/13
FNB BANCORP/CA/ 5.07,9.01 06/11/13
FORCE ENERGY CORP. NV 5.03 06/12/13
FORD CREDIT FLOORPLAN MASTER OWNER TR DE 1.01,8.01,9.01 06/11/13
FORD CREDIT FLOORPLAN MASTER OWNER TR DE 1.01,8.01,9.01 06/11/13
FRANKLIN RESOURCES INC DE 8.01,9.01 06/13/13
FRANKLIN RESOURCES INC DE 5.02,9.01 06/13/13
FROZEN FOOD EXPRESS INDUSTRIES INC TX 1.01,3.03,5.02,9.01 06/13/13
FUSION-IO, INC. DE 5.02,8.01 06/12/13
GANNETT CO INC /DE/ DE 7.01,9.01 06/13/13
GENERAC HOLDINGS INC. DE 5.07 06/13/13
Global Indemnity plc L2 5.07 06/12/13
GLOBALSCAPE INC DE 5.02,9.01 06/12/13
Gold Hill Resources, Inc. NV 2.01,5.01, 06/13/13
5.02,5.06,9.01
Gold Hill Resources, Inc. NV 5.06 06/12/13 AMEND
GRANDPARENTS.COM, INC. DE 3.02,5.02,9.01 06/07/13
GSE SYSTEMS INC DE 5.07 06/12/13
HAMPSHIRE GROUP LTD DE 1.01,5.02,9.01 06/07/13
HARMAN INTERNATIONAL INDUSTRIES INC / DE 5.02 06/13/13
HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 06/13/13
HEINZ H J CO PA 1.01,1.02,2.03, 06/07/13
3.01,3.03,5.01,
5.02,5.03,9.01
HELMERICH & PAYNE INC DE 1.01,9.01 06/13/13
Hi-Crush Partners LP de 2.01,2.03,3.02,9.01 06/10/13
HOUSTON AMERICAN ENERGY CORP DE 5.07,9.01 06/11/13
Huayue Electronics, Inc. DE 5.02 06/01/13
Hyatt Hotels Corp DE 5.03,5.07,8.01,9.01 06/10/13
ICEWEB INC DE 1.01 06/13/13
IMMUCELL CORP /DE/ DE 5.07 06/12/13
INFINITY PHARMACEUTICALS, INC. DE 5.02,5.07,8.01,9.01 06/11/13
INFOSONICS Corp 2.05,3.01,5.07 06/09/13
Inland Diversified Real Estate Trust, MD 5.07 06/13/13
Inland Real Estate Income Trust, Inc. MD 5.07 06/11/13
INNOTRAC CORP GA 1.01,1.02,2.03,9.01 06/13/13
International Stem Cell CORP DE 5.07 06/10/13
INTRICON CORP PA 7.01,9.01 06/13/13
INVIVO THERAPEUTICS HOLDINGS CORP. NV 8.01 06/11/13
iSatori, Inc. DE 4.01,9.01 05/29/13 AMEND
JAVELIN MORTGAGE INVESTMENT CORP. MD 8.01,9.01 06/13/13
Jazz Pharmaceuticals plc L2 2.03,9.01 06/13/13
Jones Lang LaSalle Income Property Tr MD 8.01,9.01 06/13/13
KAR Auction Services, Inc. DE 5.07 06/12/13
KBS Strategic Opportunity REIT, Inc. MD 1.01,2.01,9.01 06/07/13
KERYX BIOPHARMACEUTICALS INC DE 5.02,9.01 06/10/13
LAKELAND INDUSTRIES INC DE 2.02,9.01 06/13/13
LANDEC CORP \CA\ CA 5.02 06/07/13
LEHMAN ABS CORP CORP BACKED TRUST CER DE 8.01,9.01 06/03/13
LEXINGTON REALTY TRUST MD 1.01,2.03,9.01 06/10/13
LIGHTPATH TECHNOLOGIES INC DE 8.01,9.01 06/13/13
LMI AEROSPACE INC MO 7.01,9.01 06/13/13
LUBYS INC DE 2.02,9.01 06/12/13
MAGNEGAS CORP DE 5.02,8.01,9.01 06/10/13
MARRIOTT VACATIONS WORLDWIDE Corp DE 1.01,5.02,5.07,9.01 06/07/13
MECHANICAL TECHNOLOGY INC NY 5.07 06/12/13
Meetinghouse Bancorp, Inc. MD 5.07 06/12/13
MENS WEARHOUSE INC TX 2.02,9.01 06/12/13
MERRIMACK PHARMACEUTICALS INC DE 5.07 06/11/13
MetroCorp Bancshares, Inc. TX 8.01,9.01 06/12/13
MGT CAPITAL INVESTMENTS INC DE 1.01,7.01,9.01 06/06/13
MICROCHIP TECHNOLOGY INC DE 5.03,9.01 06/13/13
Millennial Media Inc. DE 5.07 06/11/13
Mobile Integrated Systems, Inc. NV 5.02,8.01,9.01 05/17/13
MOMENTA PHARMACEUTICALS INC DE 5.07,9.01 06/11/13
MRV COMMUNICATIONS INC DE 8.01 06/06/13
MTR GAMING GROUP INC DE 5.07 06/11/13
NATIONAL FUEL GAS CO NJ 5.03,9.01 06/13/13
NATIONAL TAX CREDIT INVESTORS II CA 4.01,9.01 06/07/13
NATIONAL TAX CREDIT PARTNERS L P CA 4.01,9.01 06/07/13
NEOGEN CORP MI 8.01,9.01 06/10/13
Neptune Acquisition Corp. DE 1.01,5.01,5.02,9.01 06/11/13 AMEND
NEUROMAMA, LTD. NV 5.02 06/12/13
NEWBRIDGE BANCORP NC 8.01,9.01 06/13/13
NEWS CORP 5.02,9.01 06/13/13
NEXSTAR BROADCASTING GROUP INC DE 5.07 06/11/13
NPC Restaurant Holdings, LLC DE 7.01,9.01 06/13/13
NTN BUZZTIME INC DE 5.07 06/07/13 AMEND
Oculus Innovative Sciences, Inc. CA 2.02,9.01 06/13/13
OCWEN FINANCIAL CORP FL 1.01,9.01 06/13/13
Omthera Pharmaceuticals, Inc. DE 8.01,9.01 06/13/13
ON ASSIGNMENT INC DE 5.07,8.01,9.01 06/13/13
ON THE MOVE SYSTEMS CORP. FL 4.01,9.01 06/07/13
ONE LIBERTY PROPERTIES INC MD 5.02,5.07 06/13/13
ONEOK INC /NEW/ OK 7.01,9.01 06/12/13
ONEOK Partners LP DE 7.01,9.01 06/12/13
OPENTABLE INC DE 7.01,9.01 06/13/13
OPTICAL CABLE CORP VA 2.02,9.01 06/12/13
ORTHOFIX INTERNATIONAL N V 5.02 06/12/13
OvaScience, Inc. DE 5.02,5.07,9.01 06/07/13
OVERSTOCK.COM, INC DE 7.01,9.01 06/10/13
PACIFIC SUNWEAR OF CALIFORNIA INC CA 5.03,5.07,9.01 06/07/13
PAID INC DE 4.01,5.02, 06/10/13
7.01,8.01,9.01
PAN AMERICAN GOLDFIELDS LTD DE 8.01,9.01 06/12/13
Patriot Coal CORP DE 8.01,9.01 06/12/13
PC TEL INC DE 5.02,5.07 06/12/13
PEERLESS SYSTEMS CORP DE 2.02,9.01 06/13/13
People's United Financial, Inc. DE 7.01,9.01 06/13/13
Philip Morris International Inc. VA 5.02,9.01 05/08/13 AMEND
Poage Bankshares, Inc. MD 8.01,9.01 06/11/13
POWERSECURE INTERNATIONAL, INC. DE 5.07 06/11/13
PREMIERE GLOBAL SERVICES, INC. GA 5.07 06/12/13
PRESSURE BIOSCIENCES INC MA 1.01,2.03,3.02,9.01 06/07/13
PROGENICS PHARMACEUTICALS INC DE 5.02,5.03,5.07,9.01 06/13/13
PROOFPOINT INC DE 5.07 06/10/13
PROSPECT GLOBAL RESOURCES INC. NV 8.01,9.01 06/13/13
QUALSTAR CORP CA 8.01,9.01 06/13/13
R F INDUSTRIES LTD NV 5.02,5.03,9.01 06/07/13
Rackwise, Inc. NV 1.01,2.03,3.02 06/11/13
REAL ESTATE ASSOCIATES LTD II CA 4.01,9.01 06/07/13
REAL ESTATE ASSOCIATES LTD III CA 4.01,9.01 06/07/13
REAL ESTATE ASSOCIATES LTD IV CA 4.01,9.01 06/07/13
REAL ESTATE ASSOCIATES LTD VI CA 4.01,9.01 06/07/13
REAL ESTATE ASSOCIATES LTD VII CA 4.01,9.01 06/07/13
REAL ESTATE ASSOCIATES LTD/CA CA 4.01,9.01 06/07/13
Real Goods Solar, Inc. CO 5.02,9.01 06/11/13
REGAL ENTERTAINMENT GROUP DE 1.01,2.03,8.01,9.01 06/13/13
REMY INTERNATIONAL, INC. DE 5.07 06/12/13
RENTRAK CORP OR 2.02,9.01 06/13/13
Restoration Hardware Holdings Inc DE 2.02,9.01 06/13/13
Rock-Tenn CO GA 1.01,9.01 06/07/13
ROSETTA STONE INC 2.01,9.01 04/01/13 AMEND
RPX Corp DE 5.02,5.07 06/11/13
RTI Biologics, Inc. DE 1.01,3.02,9.01 06/11/13
RXi Pharmaceuticals Corp DE 5.02,5.07 06/07/13
S&W Seed Co NV 9.01 04/01/13 AMEND
SAFEWAY INC DE 1.01,9.01 06/12/13
SALIX PHARMACEUTICALS LTD 8.01,9.01 06/11/13
SAN DIEGO GAS & ELECTRIC CO CA 5.07 06/12/13
Santander Holdings USA, Inc. VA 7.01,9.01 06/13/13
SANTARUS INC DE 5.02,5.07,9.01 06/11/13
SAVIENT PHARMACEUTICALS INC DE 7.01 06/13/13
SEQUENOM INC DE 5.02,5.07 06/11/13
SERVICE CORPORATION INTERNATIONAL TX 1.01,7.01,9.01 06/10/13
SHILOH INDUSTRIES INC DE 1.01 06/11/13
SMITH & WESSON HOLDING CORP NV 2.02,9.01 06/13/13
SMITH & WESSON HOLDING CORP NV 1.01,7.01,9.01 06/11/13
SMTC CORP DE 7.01 06/12/13
SOLARCITY CORP DE 1.01 06/07/13
SONUS NETWORKS INC DE 5.07 06/12/13
SPANISH BROADCASTING SYSTEM INC DE 5.07 06/07/13
Spirit Airlines, Inc. DE 5.02,5.07 06/10/13
STAMPS.COM INC DE 5.07 06/12/13
Starburst II, Inc. DE 5.02 06/07/13
STEWART ENTERPRISES INC LA 1.01,3.03,8.01,9.01 06/12/13
Summer Infant, Inc. DE 5.07 06/12/13
Synutra International, Inc. DE 2.02,9.01 06/13/13
TAKE TWO INTERACTIVE SOFTWARE INC DE 1.01,8.01,9.01 06/12/13
TAYLOR CAPITAL GROUP INC DE 8.01 06/13/13
TECKMINE INDUSTRIES INC. 1.01,9.01 05/30/13
Teliphone Corp NV 2.01,8.01,9.01 06/05/13
Textura Corp DE 5.03,9.01 06/10/13
THERAGENICS CORP DE 8.01,9.01 06/12/13
TILLY'S, INC. DE 5.07 06/12/13
TransDigm Group INC DE 8.01,9.01 06/13/13
Transocean Ltd. V8 7.01,9.01 06/13/13
TRAVELZOO INC DE 8.01 06/11/13
Tree.com, Inc. DE 5.07 06/12/13
UFP TECHNOLOGIES INC DE 5.07 06/12/13
UTi WORLDWIDE INC D8 5.07 06/10/13
Venaxis, Inc. CO 5.02,5.03,5.07,9.01 06/11/13
VIASPACE Green Energy Inc. D8 4.01,9.01 06/12/13
VIEWCAST COM INC DE 5.02 05/10/13
Village Bank & Trust Financial Corp. 5.07 06/11/13
VIRGIN MEDIA INC. DE 5.02 06/07/13
VITRO DIAGNOSTICS INC NV 3.02 05/28/13
VSB BANCORP INC NY 8.01 06/13/13
Warner Chilcott plc 8.01 06/12/13
WASHINGTON TRUST BANCORP INC RI 5.02,9.01 06/12/13
WET SEAL INC DE 5.02,9.01 06/12/13
WEX Inc. 1.01,8.01,9.01 06/07/13
WFRBS Commercial Mortgage Trust 2011- NC 6.02 06/13/13
Wheeler Real Estate Investment Trust, MD 1.01,3.02,5.03,9.01 06/10/13
Wheeler Real Estate Investment Trust, MD 1.01,9.01 04/25/13 AMEND
Wheeler Real Estate Investment Trust, MD 1.01,9.01 05/21/13 AMEND
WILSHIRE BANCORP INC 1.01,8.01,9.01 06/08/13
WINNEBAGO INDUSTRIES INC IA 7.01,9.01 06/13/13
WISCONSIN ELECTRIC POWER CO WI 8.01,9.01 06/10/13
Wolverine Exploration Inc. NV 1.01,2.01,3.02,9.01 06/11/13
Yankee Holding Corp. DE 8.01,9.01 06/13/13
YCC Holdings LLC DE 8.01,9.01 06/13/13
ZIONS BANCORPORATION /UT/ UT 8.01,9.01 06/10/13
ZIX CORP TX 5.07 06/12/13
http://www.sec.gov/news/digest/2013/dig061413.htm
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