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ENFORCEMENT PROCEEDINGSCommission Charges Two Executives in Ponzi Scheme at Dallas-Based Medical Insurance CompanyThe Securities and Exchange Commission (Commission) charged two executives at a Dallas-based medical insurance company with operating a $10 million Ponzi scheme that victimized at least 80 investors. The SEC alleges that Duncan MacDonald and Gloria Solomon solicited investments for Global Corporate Alliance (GCA) by promoting it as a proven business with a strong track record of generating revenue from the sale of limited-benefit medical insurance. In reality, GCA was merely a start-up company with no operating history and virtually no revenue. As they raised investor funds, MacDonald and Solomon used proceeds from new investors to pay returns to existing investors. Once they couldn’t find any new investors, MacDonald and Solomon used a stall campaign of purported excuses to delay making any further payments to investors. “MacDonald and Solomon raised millions of dollars by lying to investors about their company’s business and history and their planned use of investor funds,” said David Woodcock, Director of the SEC’s Fort Worth Regional Office. “When they could no longer fuel their Ponzi scheme with money from new victims, they told more lies in a failed effort to prevent their scheme from unraveling sooner.” David Peavler, Associate Director of the SEC’s Fort Worth Regional Office, added, “MacDonald and Solomon created fake monthly statements to falsely portray GCA as a thriving health insurance company successfully enrolling thousands of premium-paying policyholders each month. In reality, they never had more than 40 policyholders, and half of those were GCA’s own employees.” In a parallel action, the U.S. Attorney’s Office for the Northern District of Texas has filed criminal charges against MacDonald and Solomon. According to the SEC’s complaint filed in federal court in Dallas, MacDonald set out in 2008 to start an insurance company that would market medical insurance to large groups. He tried for months to find a single investor to fund the company’s initial capital needs, but was unsuccessful. Meanwhile, MacDonald and Solomon began spending money on the business before raising any capital. They hired employees, heavily marketed the program, and secured a sponsorship agreement with a large national membership group. MacDonald was GCA’s president and chairman, and Solomon was chief administrative officer. The SEC alleges that when unable to land a major investor, MacDonald fractionalized his efforts and sought individual investors who could contribute smaller amounts. When pitching GCA to investors as well as brokers assisting him in identifying investors, MacDonald significantly misrepresented the history and state of his business. Besides misleading investors to believe there were more than 100,000 premium-paying members, MacDonald misrepresented that GCA had previously sold a portion of its revenue stream from paying members to a Chinese hedge fund. GCA had no relationships with a Chinese hedge fund or any other institutional investors. According to the SEC’s complaint, MacDonald and Solomon began fabricating enrollment numbers to make it appear that GCA was enrolling new members each month. They created a so-called “Monthly Overage Disbursement Statement” that purported to show the monthly member enrollments and cancellations. The statements were meant to look as if they were generated from a database, but they were actually made in Excel and populated by Solomon. These monthly statements were provided to the brokers by MacDonald and Solomon so they could be used to induce investments from potential investors and serve as the basis for payments to existing investors. At MacDonald’s direction, Solomon was primarily responsible for making the monthly payments to investors based on the false enrollment numbers. In reality, these were Ponzi payments rather than revenues from policyholders. The SEC alleges that by the time the scheme collapsed, GCA had raised nearly $10 million from investors and returned about $2 million to investors in the form of Ponzi payments. MacDonald and Solomon each took around $1 million of investor funds, and spent the remaining investor funds on various business-related expenses until GCA’s accounts were left with a negative balance. After investor money was gone and GCA could no longer make monthly payments to investors, MacDonald and Solomon spent the next year concocting various reasons to investors about why they could not make payments. Meanwhile, MacDonald was pursuing alternative means of financing the company and redeeming the investors, but no more money ever came. The SEC’s complaint charges MacDonald and Solomon with securities fraud and conducting an unregistered securities offering while acting as unregistered broker-dealers. The SEC seeks various reliefs for investors including disgorgement of ill-gotten gains with prejudgment interest, financial penalties, and permanent injunctions. The SEC’s investigation was conducted by Timothy Evans, Ty Martinez, and Jonathan Scott of the Fort Worth Regional Office. The litigation will be led by Jessica Magee and Mr. Evans. The SEC appreciates the assistance of the U.S. Attorney’s Office for the Northern District of Texas, the FBI, the State of Wisconsin’s Division of Securities, the State of Arizona Corporate Commission’s Division of Securities, and the Texas State Securities Board. (Press Rel. 2013-113)(LR-22728A) Hedge Fund Manager James Fry, Previously Sued by the SEC for Fraud, Found Guilty of Securities Fraud, Wire Fraud, and Making False Statements to the SECThe Commission announced that on June 12, 2013 a jury found Minneapolis-area hedge fund manager James Fry guilty of five counts of securities fraud, four counts of wire fraud, and three counts of making false statements to the SEC during investigative testimony. Sentencing on these charges will be held on a later date. The U.S. Attorney’s Office for the District of Minnesota had filed criminal charges against Fry on July 19, 2011. Fry is a defendant in a pending civil injunctive action filed by the SEC on November 9, 2011 in the United States District Court for the District of Minnesota. The charges leveled by the SEC stem from the same set of facts alleged by the U.S. Attorney’s Office. The SEC’s complaint alleged that Fry fraudulently funneled more than $600 million of investor money into a Ponzi scheme operated by Minnesota businessman Thomas Petters. During the period in which he invested with Petters, Fry and his hedge fund management company collected more than $42 million in fees. The SEC’s complaint further alleged that Fry falsely assured investors and potential investors that the flow of their money would be safeguarded by collateral accounts and described a phony process for protecting their assets. When Petters was unable to make payments on investments held by the funds he managed, Fry concealed it from investors by secretly executing note extensions with Petters. On February 14, 2012, the Hon. Richard H. Kyle, U.S. District Judge for the District of Minnesota, stayed the SEC’s action against Fry pending the resolution of his criminal case. (LR- 22727) Delinquent Filers’ Stock Registrations RevokedThe registrations of the registered securities of Avani International Group, Inc., Birch Mountain Resources Ltd., Capital Reserve Canada Ltd., Dynasty Gaming, Inc. (n/k/a Blue Zen Memorial Parks, Inc.), IXI Mobile, Inc., Millennium Energy Corp., Shannon International, Inc., and Welwind Energy International Corporation have been revoked. Each had repeatedly failed to file required periodic reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-69770; File No. 3-15324) In the Matter of Ward OnsaAn Administrative Law Judge issued an Initial Decision in Ward Onsa, Admin. Proc. File No. 3-15221. The Initial Decision follows Ward Onsa’s (Onsa) guilty plea on December 15, 2011, for one count of securities fraud in United States v. Onsa, Case No. 10-cr-730 (E.D.N.Y.), for which he was ordered to serve a prison term of seventy-eight months and to pay $3.1 million in restitution on July 26, 2012. The Initial Decision finds that it is in the public interest to bar Onsa from being associated with an investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. (ID-492; File No. 3-15221) In the Matter of Lunar Growth Corp.An Administrative Law Judge issued an Order Making Findings and Revoking Registration by Default (Default Order) in Lunar Growth Corp., Admin. Proc. File No. 3-15253. The Default Order finds that Respondent has securities registered with the Securities and Exchange Commission (Commission) pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act), and that Respondent failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Commission. Based on these facts, the Administrative Law Judge found it necessary and appropriate for the protection of investors to revoke the registration of each class of registered securities of Lunar Growth Corp. (Rel. 34-69769; File No. 3-15253) INVESTMENT COMPANY ORDERSTransparent Value Trust, et al.A notice has been issued giving interested persons until July 9, 2013, to request a hearing on an application filed by Transparent Value 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-30558 - June 14, 2013) Sigma Investment Advisors, LLC, et al.A notice has been issued giving interested persons until July 9, 2013, to request a hearing on an application filed by Sigma Investment Advisors, LLC, 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-30559 - June 14, 2013) Guggenheim Funds Investment Advisors, LLC, et al.A notice has been issued giving interested persons until July 9, 2013, to request a hearing on an application filed by Guggenheim Funds Investment Advisors, LLC, 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. The order would supersede prior orders. (Rel. IC-30560 - June 14, 2013) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by BATS Y-Exchange, Inc. related to fees for use of BATS Y-Exchange, Inc. (SR-BYX-2013-020) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of June 17th. (Rel. 34-69773) A proposed rule change filed by BATS Exchange, Inc. related to fees for use of BATS Y-Exchange, Inc. (SR-BYX-2013-019) 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. 34-69776) A proposed rule change (SR-CBOE-2013-061), filed by Chicago Board Options Exchange, Incorporated, to extend the Penny Pilot Program 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. 34-69775) A proposed rule change filed by BATS Exchange, Inc. related to fees for use of BATS Exchange, Inc. (SR-BATS-2013-033) 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. 34-69777) Notice of Proposed Rule ChangeThe Financial Industry Regulatory Authority, Inc. has filed a proposed rule change (SR-FINRA-2013-024) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to amend its Discovery Guide used in customer arbitration proceedings to provide general guidance on electronic discovery issues and product cases and to clarify the existing provision relating to affirmations made when a party does not produce documents specified in the Discovery Guide. Publication is expected in the Federal Register during the week of June 17th. (Rel. No. 34-69761) The Options Clearing Corporation (OCC) filed a proposed rule change (File No. SR-OCC-2013-09), as modified by Amendment No. 1, under Section 19(b)(1) of the Securities Exchange Act of 1934 to separate the powers and duties currently combined in the office of OCC’s Chairman into two offices, Executive Chairman and President, and create an additional directorship to be occupied By the President. Publication is expected in the Federal Register during the week of June 17th. (Rel. 34-69771) The Fixed Income Clearing Corporation filed a proposed rule change (File No. SR-FICC-2013-06) under Section 19(b)(1) of the Securities Exchange Act of 1934 to extend the effectiveness of rule changes that were previously made to the Government Service Division’s GCF Repo Service in order to incorporate recommendations made by the Tri-Party Repo Infrastructure Reform Task Force. Publication is expected in the Federal Register during the week of June 17th. (Rel. 34-69774) Approval of a Proposed Rule ChangeThe Commission has approved a proposed rule change (SR-OCC-2013-04) filed by The Options Clearing Corporation (OCC) under Section 19(b)(2) of the Securities Exchange Act of 1934 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. Publication is expected in the Federal Register during the week of June 17th. (Rel. 34-69772) Notice of No Objection to Advanced NoticeThe Commission has issued a notice of no objection to an advance notice (SR-OCC-2013-802) filed by The Options Clearing Corporation (OCC) under Section 806(e)(1)(I) of the Payment, Clearing, and Settlement Supervision Act of 2010 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. The proposal contained in this advance notice shall not take effect until all regulatory action required with respect to the proposal under Section 19(b)(1) of the Exchange Act is completed. Publication is expected in the Federal Register during the week of June 17, 2013. (Rel. No. 34-69767) 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-8 EMAGIN CORP, 3006 NORTHUP WAY, SUITE 103, BELLEVUE, WA, 98004,
(425)-284-5200 - 1,500,000 ($5,737,500.00) Equity, (File 333-189300 -
Jun. 14) (BR. 10A)
S-8 NORDSTROM INC, 1617 SIXTH AVENUE, SEATTLE, WA, 98101-4407, 2066282111 -
0 ($940,000,000.00) Equity, (File 333-189301 - Jun. 14) (BR. 09B)
S-4 CONTANGO OIL & GAS CO, 3700 BUFFALO SPEEDWAY SUITE 960, HOUSTON, TX,
77098, 7139601901 - 0 ($137,722,109.00) Equity, (File 333-189302 -
Jun. 14) (BR. 04A)
S-3ASR RENAISSANCERE HOLDINGS LTD, RENAISSANCE HOUSE, 12 CROW LANE, PEMBROKE,
D0, HM19, 4412954513 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-189303 - Jun. 14) (BR. 01B)
S-8 CRAY INC, 901 FIFTH AVENUE, SUITE 1000, SEATTLE, WA, 98164,
2067012000 - 0 ($85,081,809.00) Equity, (File 333-189304 - Jun. 14)
(BR. 03C)
S-1 Conatus Pharmaceuticals Inc, 4365 EXECUTIVE DRIVE, Suite 200,
San Diego, CA, 92121, (858) 558-8130 - 0 ($69,000,000.00) Equity,
(File 333-189305 - Jun. 14) (BR. 01B)
S-1 Diamond Resorts International, Inc., 10600 WEST CHARLESTON BOULEVARD,
LAS VEGAS, NV, 89135, (702) 798-8840 - 0 ($200,000,000.00) Equity,
(File 333-189306 - Jun. 14) (BR. 08B)
N-2 StoneCastle Financial Corp., 212-354-6500 - 0 ($150,000,000.00) Equity,
(File 333-189307 - Jun. 14) (BR. )
S-4 Tronox Ltd, 1 BRODIE HALL DRIVE, TECHNOLOGY PARK, BENTLEY, C3, 6102,
(405) 775-5000 - 0 ($900,000,000.00) Non-Convertible Debt,
(File 333-189308 - Jun. 14) (BR. 06A)
S-3ASR EATON VANCE CORP, TWO INTERNATIONAL PLACE, BOSTON, MA, 02110,
6174828260 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-189309 - Jun. 14) (BR. 12A)
S-8 SYNERGETICS USA INC, 3845 CORPORATE CENTRE DRIVE, O'FALLON, MO, 63368,
636-939-5100 - 300,000 ($999,000.00) Equity, (File 333-189310 -
Jun. 14) (BR. 10B)
S-1 PUB CRAWL HOLDINGS, INC., 801 WEST BAY DRIVE, SUITE 470, LARGO, FL,
33770, 727-330-2731 - 40,000,000 ($540,000.00) Equity,
(File 333-189311 - Jun. 14) (BR. 03A)
F-3 MakeMyTrip Ltd, TRIPPER VILLA, TOWER A, SP INFOCITY,
243, PHASE 1, UDYOG VIHAR, GURGAON, K7, 122016, 91 124 439 5000 -
0 ($154,585,604.20) Other, (File 333-189315 - Jun. 14) (BR. 05C)
S-8 WIRELESS RONIN TECHNOLOGIES INC, BAKER TECHNOLOGY PLAZA,
5929 BAKER ROAD, SUITE 475, MINNETONKA, MN, 55345, 952-564-3500 -
0 ($1,395,000.00) Equity, (File 333-189318 - Jun. 14) (BR. 03C)
S-1 PRUDENTIAL BANCORP, INC., 1834 W. OREGON AVENUE, PHILADELPHIA, PA,
19145, 215-755-1500 - 0 ($90,275,000.00) Equity, (File 333-189321 -
Jun. 14) (BR. 07)
S-8 URSTADT BIDDLE PROPERTIES INC, C/O URSTADT BIDDLE PROPERTIES INC.,
321 RAILROAD AVENUE, GREENWICH, CT, 06830, 2038638200 -
1,200,000 ($23,862,000.00) Equity, (File 333-189326 - Jun. 14) (BR. 08C)
S-8 Celldex Therapeutics, Inc., 119 FOURTH AVE, NEEDHAM, MA, 02494,
7814330771 - 0 ($2,131,250.00) Equity, (File 333-189336 - Jun. 14)
(BR. 01A)
S-1 DelMar Pharmaceuticals, Inc., SUITE 720-999 WEST BROADWAY, VANCOUVER,
A1, V5Z 1K5, (604) 629-5989 - 33,920,011 ($67,840,022.00) Equity,
(File 333-189337 - Jun. 14) (BR. 01B)
S-1 WHITEWAVE FOODS Co, 12002 AIRPORT WAY, BROOMFIELD, CO, 80021,
303-635-4000 - 34,400,000 ($578,264,000.00) Equity, (File 333-189338 -
Jun. 14) (BR. 04A)
S-8 IRONWOOD PHARMACEUTICALS INC, 301 BINNEY STREET, CAMBRIDGE, MA, 02142,
617-621-7722 - 0 ($52,158,417.30) Equity, (File 333-189339 - Jun. 14)
(BR. 01B)
S-8 IRONWOOD PHARMACEUTICALS INC, 301 BINNEY STREET, CAMBRIDGE, MA, 02142,
617-621-7722 - 0 ($9,468,613.00) Equity, (File 333-189340 - Jun. 14)
(BR. 01B)
S-1 Midcoast Energy Partners, L.P., 1100 LOUISIANA STREET, SUITE 3300,
HOUSTON, TX, 77002, 713-353-5653 -
0 ($575,000,000.00) Limited Partnership Interests, (File 333-189341 -
Jun. 14) (BR. )
S-8 INFINITY PHARMACEUTICALS, INC., 780 MEMORIAL DRIVE, CAMBRIDGE, MA,
02139, 6174531000 - 0 ($30,319,125.00) Equity, (File 333-189342 -
Jun. 14) (BR. 01A)
S-1 Kraig Biocraft Laboratories, Inc, 120 N. WASHINGTON SQUARE, SUITE 805,
LANSING, MI, 48933, (517) 336-0807 - 73,853,414 ($5,908,273.12) Equity,
(File 333-189343 - Jun. 14) (BR. 06B)
S-3 PVR PARTNERS, L. P., THREE RADNOR CORPORATE CENTER,
100 MATSONFORD ROAD, SUITE 301, RADNOR, PA, 19087, 610 975 8200 -
0 ($150,000,000.00) Equity, (File 333-189344 - Jun. 14) (BR. 02C)
S-8 MBT FINANCIAL CORP, 102 EAST FRONT STREET, MONROE, MI, 48161,
7342422893 - 1,417,000 ($5,427,110.00) Equity, (File 333-189345 -
Jun. 14) (BR. 07C)
S-3 DCP Midstream Partners, LP, 370 17TH STREET, SUITE 2500, DENVER, CO,
80202, 303-633-2900 - 0 ($300,000,000.00) Equity, (File 333-189346 -
Jun. 14) (BR. 02C)
S-8 POLYCOM INC, 6001 AMERICA CENTER DR., SAN JOSE, CA, 95002,
408-586-6000 - 10,500,000 ($116,760,000.00) Equity, (File 333-189347 -
Jun. 14) (BR. 11C)
S-8 GenMark Diagnostics, Inc., 5964 LA PLACE COURT, CARLSBAD, CA, 92008,
(760) 448-4300 - 650,000 ($6,864,000.00) Equity, (File 333-189348 -
Jun. 14) (BR. 10A)
S-8 STAAR SURGICAL CO, 1911 WALKER AVE, MONROVIA, CA, 91016, 6263037902 -
1,250,000 ($11,237,500.00) Equity, (File 333-189349 - Jun. 14) (BR. 10B)
S-1 OCI Partners LP, P. O. BOX 1647, NEDERLAND, TX, 77627, 409-723-1900 -
0 ($480,000,000.00) Limited Partnership Interests, (File 333-189350 -
Jun. 14) (BR. )
S-8 ADA-ES INC, 9135 S. RIDGELINE BLVD., SUITE 200, HIGHLANDS RANCH, CO,
80129, 303-734-1727 - 3,212 ($123,148.08) Equity, (File 333-189351 -
Jun. 14) (BR. 06B)
S-4 Western Refining, Inc., 6500 TROWBRIDGE DRIVE, EL PASO, TX, 79905,
(915) 775-3488 - 0 ($350,000,000.00) Debt, (File 333-189352 - Jun. 14)
(BR. 04A)
N-2 Van Eck Emerging Markets Multi-Asset Income Fund, 335 MADISON AVENUE,
NEW YORK, NY, 10017, 212-293-2000 - 40,000 ($1,000,000.00) Equity,
(File 333-189353 - Jun. 14) (BR. )
S-8 CISCO SYSTEMS, INC., 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706,
4085264000 - 456,831 ($11,183,222.88) Equity, (File 333-189354 -
Jun. 14) (BR. 03C)
S-3ASR SL GREEN REALTY CORP, 420 LEXINGTON AVENUE, ATTN: STEVEN KAHN,
NEW YORK, NY, 10170, 2125942700 - 0 ($1.00) Equity, (File 333-189355 -
Jun. 14) (BR. 08C)
S-8 ICEWEB INC, 22900 SHAW ROAD, SUITE 111, STERLING, VA, 20166,
571-287-2400 - 25,000,000 ($610,000.00) Equity, (File 333-189356 -
Jun. 14) (BR. 03B)
S-1 International Automotive Components Group, S.A.,
73, Cote D'Eich, L-1450, RCSL No. B 113.661, Luxembourg, N4, 00000,
+352-270-48119 - 0 ($115,000,000.00) Equity, (File 333-189357 -
Jun. 14) (BR. 05)
S-1 Onconova Therapeutics, Inc., 375 PHEASANT RUN, NEWTOWN, PA, 18940,
267-759-3681 - 0 ($75,000,000.00) Equity, (File 333-189358 - Jun. 14)
(BR. 01)
S-1 Owlhead Minerals Corp., 250 H STREET #123, BLAINE, NY, 98230,
518-638-8192 - 6,475,000 ($647,500.00) Equity, (File 333-189359 -
Jun. 14) (BR. )
S-8 IMPAX LABORATORIES INC, 30831 HUNTWOOD AVENUE, HAYWARD, CA, 94544,
510-240-6000 - 3,150,000 ($58,810,500.00) Equity, (File 333-189360 -
Jun. 14) (BR. 01A)
S-8 TETRAPHASE PHARMACEUTICALS INC, 480 ARSENAL STREET, SUITE 110,
WATERTOWN, MA, 02472, 617.715.3600 - 0 ($17,613,068.91) Equity,
(File 333-189361 - Jun. 14) (BR. 01B)
S-8 SL GREEN REALTY CORP, 420 LEXINGTON AVENUE, ATTN: STEVEN KAHN,
NEW YORK, NY, 10170, 2125942700 - 0 ($260,137,500.00) Equity,
(File 333-189362 - Jun. 14) (BR. 08C)
S-11 Wheeler Real Estate Investment Trust, Inc., RIVERSEDGE NORTH,
2529 VIRGINIA BEACH BLVD., SUITE 200, VIRGINIA BEACH, VA, 23452,
757-627-9088 - 11,500,000 ($69,345,000.00) Equity, (File 333-189363 -
Jun. 14) (BR. 08C)
S-8 CD INTERNATIONAL ENTERPRISES, INC., 431 FAIRWAY DRIVE, SUITE 200,
DEERFIELD BEACH, FL, 33441, (954) 363-7333 -
5,000,000 ($300,000.00) Equity, (File 333-189365 - Jun. 14) (BR. 09B)
S-1 New Home Co LLC, 95 ENTERPRISE STE 325, ALISO VIEJO, CA, 92656,
9493827800 - 0 ($172,500,000.00) Equity, (File 333-189366 - Jun. 14)
(BR. 06A)
S-8 INTERMUNE INC, 3280 BAYSHORE, BLVD, BRISBANE, CA, 94005, 415 466 2200 -
6,000,000 ($59,520,000.00) Equity, (File 333-189367 - Jun. 14) (BR. 01A)
S-1 STOCK BUILDING SUPPLY HOLDINGS, INC.,
8020 ARCO CORPORATE DRIVE, SUITE 400, RALEIGH, NC, 27617,
919-431-1000 - 0 ($175,000,000.00) Equity, (File 333-189368 - Jun. 14)
(BR. 06B)
S-3ASR Opko Health, Inc., 4400 BISCAYNE BLVD., SUITE 900, MIAMI, FL, 33137,
305-575-6015 - 0 ($175,000,000.00) Debt, (File 333-189369 - Jun. 14)
(BR. 01A)
RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
ADA-ES INC CO 5.07,9.01 06/13/13
ADVANCED MICRO DEVICES INC DE 5.07 06/14/13 AMEND
Advaxis, Inc. DE 3.02 04/22/13
ADVENT SOFTWARE INC /DE/ DE 8.01,9.01 06/14/13
AETNA INC /PA/ PA 5.02,7.01 06/14/13
AFFILIATED MANAGERS GROUP INC DE 5.07 06/11/13
ALIMERA SCIENCES INC DE 8.01,9.01 06/14/13
ALKALINE WATER Co INC NV 1.01,2.01,3.02, 05/30/13 AMEND
4.01,5.01,5.02,5.03,5.06,9.01
ALLIANCE RESOURCE PARTNERS LP DE 1.04 06/11/13
AMBASE CORP DE 8.01 06/14/13
AMERICAN INDEPENDENCE CORP DE 5.07 06/13/13
AMERICAN NATIONAL BANKSHARES INC VA 5.02 06/12/13
American Realty Capital Properties, I MD 7.01,9.01 06/14/13
American Realty Capital Properties, I MD 7.01,8.01,9.01 06/13/13
American Realty Capital Properties, I MD 9.01 05/28/13 AMEND
AMERICAN SUPERCONDUCTOR CORP /DE/ DE 2.02,9.01 06/14/13
AMYRIS, INC. DE 5.02 06/11/13
APRICUS BIOSCIENCES, INC. NV 5.02 06/14/13
ARENA PHARMACEUTICALS INC DE 5.02,5.07,9.01 06/10/13
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 06/14/13
Astex Pharmaceuticals, Inc DE 5.07 06/13/13
Atlas Resource Partners, L.P. DE 1.01,8.01,9.01 06/10/13
AUTODESK INC DE 5.02,5.03,5.07,9.01 06/13/13
AUTONATION, INC. DE 7.01 06/14/13
BALL CORP IN 1.01,9.01 06/13/13
BankGuam Holding Co 8.01,9.01 05/28/13
BAR HARBOR BANKSHARES ME 7.01 06/14/13
BCSB Bancorp Inc. 8.01,9.01 06/14/13
BERKSHIRE BANCORP INC /DE/ DE 5.07 06/10/13
Berkshire Homes, Inc. NV 2.03,9.01 06/13/13
BG Medicine, Inc. DE 1.01,5.07 06/10/13
BILL BARRETT CORP DE 7.01 06/14/13
BIOGEN IDEC INC. DE 5.07 06/12/13
Bnet Media Group, Inc. NV 1.01,3.02,9.01 06/13/13
Borneo Resource Investments Ltd. NV 1.01,1.02, 06/10/13
2.01,2.03,5.02,9.01
BROADVIEW INSTITUTE INC MN 1.01,9.01 06/13/13
Brookdale Senior Living Inc. DE 5.02,5.07 06/13/13
BRT REALTY TRUST MA 8.01 06/12/13
BRYN MAWR BANK CORP PA 5.02,9.01 06/10/13
C & F FINANCIAL CORP VA 1.01,8.01,9.01 06/10/13
CADENCE PHARMACEUTICALS INC 5.07 06/12/13
CalAmp Corp. DE 5.02,9.01 06/12/13
CANADIAN DERIVATIVES CLEARING CORP A6 9.01 05/31/13
Canadian Tactical Training Academy In NV 7.01,9.01 06/14/13
CapLease, Inc. 5.07 06/12/13
CARDINAL FINANCIAL CORP VA 5.02 06/11/13
CARPENTER TECHNOLOGY CORP DE 5.02 06/13/13
CARROLS RESTAURANT GROUP, INC. 5.07 06/11/13
CASEYS GENERAL STORES INC IA 2.02,9.01 06/14/13
CAVCO INDUSTRIES INC DE 1.01,3.02,9.01 06/14/13
CC Media Holdings Inc 5.02 06/12/13
CD INTERNATIONAL ENTERPRISES, INC. FL 8.01,9.01 06/11/13
CEMPRA, INC. DE 1.01,8.01,9.01 06/14/13
Centaur Guernsey L.P. Inc. 1.01,9.01 06/14/13
CERUS CORP DE 5.02,5.07 06/12/13
CEVA INC DE 5.07 06/11/13
CHAMPION INDUSTRIES INC WV 2.02,9.01 06/14/13
Chrysler Group LLC DE 5.02,9.01 06/10/13
Citadel EFT, Inc. NV 7.01 06/14/13
CLAIMSNET COM INC DE 5.02,9.01 06/13/13
CLEAN HARBORS INC MA 7.01,9.01 06/14/13
Clear Channel Capital I, LLC DE 5.02 06/12/13
CLEAR CHANNEL COMMUNICATIONS INC TX 5.02 06/12/13
ClearBridge Energy MLP Fund Inc. MD 5.02,9.01 06/01/13
ClearBridge Energy MLP Opportunity Fu MD 5.02,9.01 06/01/13
ClearBridge Energy MLP Total Return F MD 5.02,9.01 06/01/13
Clovis Oncology, Inc. DE 5.02,5.07,9.01 06/13/13
CME GROUP INC. DE 5.07 06/11/13
COLUMBIA BANKING SYSTEM INC WA 2.01,9.01 04/01/13 AMEND
CONTANGO OIL & GAS CO DE 5.02,8.01,9.01 06/07/13
Cordia Bancorp Inc VA 9.01 03/29/13 AMEND
CORVEL CORP DE 7.01,9.01 06/14/13
Crimson Wine Group, Ltd DE 5.02 06/14/13
Crystal Rock Holdings, Inc. DE 2.02,9.01 06/14/13
CTS CORP IN 2.05,8.01,9.01 06/13/13
CUMBERLAND PHARMACEUTICALS INC 9.01 06/14/13
CUTERA INC DE 5.02 06/10/13
CVR ENERGY INC DE 2.01,9.01 06/10/13
CYNOSURE INC 8.01 06/14/13
DAIS ANALYTIC CORP 5.02,9.01 06/11/13
DAVE & BUSTERS INC MO 5.02 06/13/13
DCP Midstream Partners, LP DE 8.01,9.01 06/14/12
DETHRONE ROYALTY HOLDINGS, INC. NV 4.01,9.01 04/30/13 AMEND
Dialogic Inc. DE 5.02,9.01 06/11/13
Diligent Board Member Services, Inc. DE 5.02,8.01,9.01 06/10/13
DISCOVERY LABORATORIES INC /DE/ DE 9.01 02/13/13 AMEND
DSP GROUP INC /DE/ DE 1.01,5.07 06/10/13
E C CONSULTING INTERNATIONAL, INC. NV 4.01,9.01 06/10/13
Eagle Bulk Shipping Inc. 5.07 06/14/13
EASTERN VIRGINIA BANKSHARES INC VA 3.03,5.03,9.01 06/10/13
ELECTRO SENSORS INC MN 5.02,8.01 06/14/13
ENBRIDGE ENERGY PARTNERS LP DE 8.01,9.01 06/11/13
ENDOLOGIX INC /DE/ DE 1.01,2.03 06/12/13
Enstar Group LTD D0 9.01 03/31/13 AMEND
ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 4.01,9.01 06/14/13 AMEND
EVEREST RE GROUP LTD D0 7.01,9.01 06/14/13
ExactTarget, Inc. DE 5.02,5.07,9.01 06/11/13
Federal Home Loan Bank of Chicago X1 5.02 06/10/13
FIRST BANCORP /NC/ NC 8.01,9.01 06/13/13
FNB CORP/FL/ FL 7.01,8.01,9.01 06/13/13
FNB CORP/FL/ FL 7.01,8.01,9.01 06/14/13
FNBH BANCORP INC MI 1.01,1.02,3.02 06/12/13
Franklin Credit Management Corp DE 5.07,8.01 06/11/13
FUQI INTERNATIONAL, INC. DE 8.01 06/12/13
FXCM Inc. 5.07 06/12/13
GARB CORP UT 8.01 06/12/13
GBS Enterprises Inc NV 4.02 06/14/13
GENCORP INC OH 1.01,2.01,8.01,9.01 06/12/13
GENERAL ELECTRIC CAPITAL CORP CT 8.01 06/12/13
GENERAL ELECTRIC CO NY 5.02 06/12/13
General Finance CORP DE 5.03,9.01 06/13/13
General Moly, Inc DE 5.07,8.01,9.01 06/13/13
Genpact LTD D0 1.01,9.01 06/14/13
GLADSTONE COMMERCIAL CORP MD 8.01,9.01 06/14/13
Global Telecom & Technology, Inc. DE 8.01,9.01 06/12/13
GRAYBAR ELECTRIC CO INC NY 5.07,9.01 06/13/13
Graystone Co DE 1.01,3.02,8.01 06/10/13
GREAT PLAINS ENERGY INC MO 7.01,9.01 06/14/13
Greektown Superholdings, Inc. DE 1.01,8.01,9.01 06/11/13
GreenHunter Resources, Inc. DE 2.01 06/10/13
Griffin Capital Essential Asset REIT, 5.07,9.01 06/12/13
GRYPHON GOLD CORP NV 5.02 06/13/13
GUIDED THERAPEUTICS INC DE 5.07 06/14/13
HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 06/12/13
HAWTHORN BANCSHARES, INC. MO 8.01 06/13/13
HEALTH ENHANCEMENT PRODUCTS INC NV 1.01,5.02,9.01 06/07/13
HECLA MINING CO/DE/ DE 5.07 06/14/13
HERITAGE COMMERCE CORP CA 8.01 06/05/13
Heron Lake BioEnergy, LLC MN 2.02,7.01,9.01 06/14/13
Hilltop Holdings Inc. MD 5.07 06/12/13
HMS INCOME FUND, INC. MD 5.02,8.01 06/14/13
Horizon Technology Finance Corp DE 5.07 06/14/13
Horizon Technology Finance Corp DE 5.07 06/14/13
ICAHN ENTERPRISES L.P. DE 1.01,7.01,9.01 06/12/13
ICONIX BRAND GROUP, INC. DE 8.01,9.01 06/14/13
IDENTIVE GROUP, INC. DE 3.01,9.01 06/11/13
IDENTIVE GROUP, INC. DE 8.01 06/10/13
IDO Security Inc. NV 5.02 06/05/13
IMMERSION CORP DE 5.07 06/07/13
inContact, Inc. DE 5.07 06/12/13
INDEPENDENCE HOLDING CO DE 5.07 06/13/13
INDEPENDENT BANK CORP /MI/ MI 5.02,5.07 04/23/13 AMEND
INFORMATION ANALYSIS INC VA 5.07 06/12/13
INLAND REAL ESTATE CORP MD 8.01,9.01 06/14/13
INTERMUNE INC DE 8.01 06/14/13
INTERPUBLIC GROUP OF COMPANIES, INC. DE 2.04,8.01,9.01 06/14/13
IXIA CA 9.01 08/24/12 AMEND
JARDEN CORP DE 1.01,2.03, 06/12/13
3.02,7.01,9.01
JBI, INC. NV 8.01,9.01 06/13/13
KIMBALL INTERNATIONAL INC IN 8.01 06/11/13
KNIGHT CAPITAL GROUP, INC. DE 8.01,9.01 06/10/13
Kraft Foods Group, Inc. 8.01,9.01 06/14/13
KRATOS DEFENSE & SECURITY SOLUTIONS, DE 4.01 06/13/13
Laredo Petroleum Holdings, Inc. DE 5.02,7.01,9.01 06/14/13
LAWSON PRODUCTS INC/NEW/DE/ DE 8.01 06/14/13
Legg Mason BW Global Income Opportuni MD 5.02,9.01 06/01/13
LENNAR CORP /NEW/ DE 1.01,2.03,9.01 06/11/13
LGL GROUP INC DE 8.01,9.01 06/13/13
Life Nutrition Products, Inc DC 1.01,2.01,3.02, 04/12/13 AMEND
5.01,5.02,5.03,5.06,9.01
LINKEDIN CORP DE 5.07 06/13/13
LIONS GATE ENTERTAINMENT CORP /CN/ A1 7.01 06/14/13
Lithium Exploration Group, Inc. NV 1.01,9.01 06/11/13
LMP CAPITAL & INCOME FUND INC. 5.02,9.01 06/01/13
LMP CORPORATE LOAN FUND INC. MD 5.02,9.01 06/01/13
LMP REAL ESTATE INCOME FUND INC. 5.02,9.01 06/01/13
LUFKIN INDUSTRIES INC TX 8.01 06/12/13
lululemon athletica inc. DE 5.07 06/11/13
MACK CALI REALTY CORP MD 5.02,9.01 06/12/13
MAGELLAN HEALTH SERVICES INC DE 8.01 06/13/13
MAGNUM HUNTER RESOURCES CORP DE 2.02,7.01,9.01 06/14/13
Main Street Capital CORP MD 5.07 06/13/13
MEDASSETS INC DE 5.07 06/13/13
Medbox, Inc. NV 8.01 06/13/13
MEDIABISTRO INC. DE 5.07,8.01,9.01 06/11/13
Meritage Homes CORP MD 1.01,2.03,9.01 06/12/13
MERITOR INC IN 1.01 06/10/13
MGM Resorts International DE 5.07 06/12/13
MICRO IMAGING TECHNOLOGY, INC. CA 5.03,8.01,9.01 06/14/13
MICRO IMAGING TECHNOLOGY, INC. CA 5.03,8.01,9.01 06/14/13 AMEND
Millennial Media Inc. DE 9.01 04/05/13 AMEND
MOLINA HEALTHCARE INC DE 1.01,5.02,9.01 06/14/13
Motorola Solutions, Inc. DE 5.02,9.01 06/13/13
MRI INTERVENTIONS, INC. DE 5.02,5.07,8.01,9.01 06/13/13
NAUTILUS, INC. WA 5.02 06/12/13
NAVARRE CORP /MN/ MN 1.01,9.01 06/11/13
NEOPHOTONICS CORP DE 5.02,5.07 06/11/13
Neutral Tandem Inc 5.02 06/12/13
New Source Energy Partners L.P. DE 9.01 03/29/13 AMEND
NEW YORK MORTGAGE TRUST INC MD 8.01,9.01 06/12/13
North American Oil & Gas Corp. NV 4.01,5.07,9.01 06/11/13
NORWOOD FINANCIAL CORP PA 8.01,9.01 06/14/13
NovaBay Pharmaceuticals, Inc. CA 5.07 06/11/13
ODYSSEY MARINE EXPLORATION INC NV 8.01,9.01 06/11/13
OLD DOMINION ELECTRIC COOPERATIVE VA 5.02 06/11/13
Oncothyreon Inc. DE 5.07 06/13/13
OphthaliX, Inc. 3.02,5.07 06/13/13
Pacira Pharmaceuticals, Inc. DE 5.02,5.07 06/11/13
PALOMAR MEDICAL TECHNOLOGIES INC DE 8.01 06/14/13
PAREXEL INTERNATIONAL CORP MA 5.02 06/10/13
PARK ELECTROCHEMICAL CORP NY 5.02 06/11/13
Pebblebrook Hotel Trust MD 7.01,8.01,9.01 06/14/13
PENN NATIONAL GAMING INC PA 5.07 06/12/13
Permal Hedge Strategies Fund I MD 5.02,9.01 06/01/13
PERNIX THERAPEUTICS HOLDINGS, INC. MD 3.01 06/07/13
PERRY ELLIS INTERNATIONAL INC FL 5.07 06/14/13
PG&E Corp CA 8.01,9.01 06/14/13
PIZZA INN HOLDINGS, INC /MO/ 1.01,9.01 06/13/13
PREMIER ALLIANCE GROUP, INC. NV 5.07 06/13/13
Primo Water Corp DE 5.02,9.01 06/10/13
PROCERA NETWORKS INC NV 1.01,3.03, 06/13/13
5.02,5.03,9.01
PRUDENTIAL BANCORP INC OF PENNSYLVANI 8.01,9.01 06/13/13
PURE BIOSCIENCE, INC. DE 2.04,9.01 06/14/13
QAD INC DE 5.07 06/11/13
QLT INC/BC A1 8.01,9.01 06/14/13
Rand Logistics, Inc. DE 5.02,9.01 06/12/13
Rand Logistics, Inc. DE 7.01,9.01 06/12/13
RCS Capital Corp DE 8.01,9.01 06/14/13
REALPAGE INC DE 8.01,9.01 06/14/13
REGIS CORP MN 1.01,9.01 06/11/13
Restoration Hardware Holdings Inc DE 5.02 06/10/13
RETAIL PROPERTIES OF AMERICA, INC. MD 5.02,9.01 06/13/13
Rockville Financial, Inc. /CT/ CT 5.02,9.01 06/10/13
S&W Seed Co NV 9.01 04/01/13 AMEND
SABA SOFTWARE INC DE 5.02 06/11/13
Sagent Pharmaceuticals, Inc. DE 5.07 06/13/13
SAJAN INC DE 5.07 06/12/13
Sanchez Energy Corp DE 1.01,2.03,8.01,9.01 06/10/13
SANGAMO BIOSCIENCES INC DE 5.02,5.07,9.01 06/12/13
SARATOGA RESOURCES INC /TX TX 5.02,5.07,9.01 06/10/13
SAVIENT PHARMACEUTICALS INC DE 5.07 06/13/13
SCIENTIFIC LEARNING CORP DE 5.07 06/14/13
Seagate Technology plc L2 8.01,9.01 06/14/13
SECURE NetCheckIn Inc NV 5.02 06/14/13
SEMPRA ENERGY CA 5.02 06/13/13
SENOMYX INC DE 5.02,5.07 06/13/13
Sequoia Mortgage Trust 2013-8 8.01,9.01 06/01/13
Service Team Inc. NV 1.01,2.01,3.02,9.01 06/14/13
Shire plc 8.01,9.01 06/14/13
SHOE CARNIVAL INC IN 5.03,5.07,9.01 06/14/13
Shutterstock, Inc. 5.07 06/12/13
SIEBERT FINANCIAL CORP NY 5.02,5.07 06/10/13
SL GREEN REALTY CORP MD 5.07 06/13/13
SMITHFIELD FOODS INC VA 2.02,9.01 06/14/13
SOLAR WIND ENERGY TOWER, INC. NV 1.01,2.03,3.02,9.01 06/06/13
SPECIALTY CONTRACTORS, INC. NV 4.01,9.01 06/14/13 AMEND
SPECTRASCIENCE INC MN 1.01,2.03,3.02,7.01 06/14/13
SPLUNK INC 5.07 06/13/13
SPLUNK INC 5.02 04/19/13 AMEND
Steadfast Income REIT, Inc. MD 7.01,9.01 06/14/13
STEINWAY MUSICAL INSTRUMENTS INC DE 8.01,9.01 06/14/13
Strategic Storage Trust, Inc. MD 5.02,5.07 06/10/13
Summit Hotel Properties, Inc. MD 5.07 06/12/13
SUNGARD CAPITAL CORP DE 5.02,9.01 06/10/13
Sunshine Heart, Inc. DE 1.01,3.03, 06/14/13
5.03,8.01,9.01
SurePure, Inc. NV 2.01,3.02 06/12/13
Swisher Hygiene Inc. DE 5.02 06/10/13
SYNERGY RESOURCES CORP CO 1.01,9.01 06/13/13
TARGET CORP MN 5.07 06/12/13
TELEDYNE TECHNOLOGIES INC DE 5.02,8.01,9.01 06/13/13
TENET HEALTHCARE CORP NV 5.02 06/13/13
TEXAS CAPITAL BANCSHARES INC/TX 5.02,9.01 06/11/13
TherapeuticsMD, Inc. NV 7.01,9.01 06/11/13
THESTREET, INC. DE 5.07 06/13/13
TNP Strategic Retail Trust, Inc. MD 7.01,9.01 06/14/13
TOFUTTI BRANDS INC DE 5.07 06/13/13
TOYS R US INC DE 2.02,9.01 06/14/13
TRANS LUX CORP DE 1.01,2.03, 06/11/13
3.02,3.03,9.01
TRICO BANCSHARES / CA 8.01,9.01 06/13/13
U.S. RARE EARTHS, INC NV 8.01,9.01 06/05/13
ULURU INC. NV 5.07 06/13/13
UMH PROPERTIES, INC. MD 5.07 06/14/13
UniTek Global Services, Inc. DE 1.01,2.02, 06/07/13
4.02,8.01,9.01
URANIUM RESOURCES INC /DE/ DE 5.02,8.01,9.01 06/11/13
UROPLASTY INC MN 5.02,8.01,9.01 06/14/13
VirtualScopics, Inc. DE 8.01 06/14/13
VIRTUSA CORP 2.03 06/13/13
Walter Energy, Inc. DE 7.01,9.01 06/14/13
WELLS REAL ESTATE FUND IX LP GA 7.01,9.01 06/14/13
WELLS REAL ESTATE FUND VIII LP GA 7.01,9.01 06/14/13
WESTERN ASSET EMERGING MARKETS DEBT F MD 5.02,9.01 06/01/13
WESTERN ASSET EMERGING MARKETS INCOME MD 5.02,9.01 06/01/13
WESTERN ASSET GLOBAL CORPORATE DEFINE MD 5.02,9.01 06/01/13
WESTERN ASSET GLOBAL HIGH INCOME FUND MD 5.02,9.01 06/01/13
WESTERN ASSET GLOBAL PARTNERS INCOME MD 5.02,9.01 06/01/13
WESTERN ASSET HIGH INCOME FUND II INC MD 5.02,9.01 06/01/13
WESTERN ASSET HIGH INCOME FUND INC. MD 5.02,9.01 06/01/13
WESTERN ASSET HIGH INCOME OPPORTUNITY MD 5.02,9.01 06/01/13
Western Asset High Yield Defined Oppo MD 5.02,9.01 06/01/13
WESTERN ASSET INFLATION MANAGEMENT FU 5.02,9.01 06/01/13
WESTERN ASSET INTERMEDIATE MUNI FUND MD 5.02,9.01 06/01/13
Western Asset Investment Grade Define MD 5.02,9.01 06/01/13
WESTERN ASSET MANAGED HIGH INCOME FUN NY 5.02,9.01 06/01/13
WESTERN ASSET MANAGED MUNICIPALS FUND 5.02,9.01 06/01/13
Western Asset Middle Market Debt Fund MD 5.02,9.01 06/01/13
Western Asset Mortgage Defined Opport MD 5.02,9.01 06/01/13
Western Asset Municipal Defined Oppor MD 5.02,9.01 06/01/13
WESTERN ASSET MUNICIPAL HIGH INCOME F 5.02,9.01 06/01/13
WESTERN ASSET MUNICIPAL PARTNERS FUND MD 5.02,9.01 06/01/13
WESTERN ASSET VARIABLE RATE STRATEGIC 5.02,9.01 06/01/13
WESTERN ASSET WORLDWIDE INCOME FUND I MD 5.02,9.01 06/01/13
Western Refining, Inc. DE 8.01,9.01 06/14/13
WhereverTV Broadcasting Corp DE 2.02,8.01 06/14/13
WHITEWAVE FOODS Co DE 8.01 06/14/13
Win Global Markets, Inc. NV 1.01,3.02,9.01 06/14/13
WIRELESS TELECOM GROUP INC NJ 5.02,5.07 06/12/13
World Energy Solutions, Inc. DE 5.02,5.07 06/11/13
XENOPORT INC DE 2.05 06/13/13
ZION OIL & GAS INC DE 5.07,9.01 06/11/13
http://www.sec.gov/news/digest/2013/dig061713.htm
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