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Commission announcementsElaine C. Greenberg to Leave Commission After More Than 25 YearsThe Securities and Exchange Commission (Commission) today announced that Elaine C. Greenberg, Chief of the Enforcement Division's Municipal Securities and Public Pensions Unit and Associate Director of the Philadelphia Regional Office, is leaving the agency after more than 25 years of service.Ms. Greenberg will step down at the end of July for the private sector. She has served in dual roles at the SEC for the past three and a half years, leading the Municipal Securities and Public Pensions Unit since its creation in January 2010 and heading the Philadelphia Regional Office's enforcement program since December 2006. "Elaine's leadership of the unit and her efforts on behalf of investors have been groundbreaking and have had a tremendous impact on the behavior of participants in the municipal securities and public pensions markets," said SEC Commissioner Elisse B. Walter, who led the Commission's recent review of the municipal securities market. "Elaine has had a distinguished career at the SEC and the depth and breadth of her knowledge and experience is impressive. Through her expert lawyering, creativity and tenacity, she has made major contributions to the agency by bringing numerous significant enforcement actions," said Andrew J. Ceresney, Co-Director of the SEC's Enforcement Division. Ms. Greenberg said, "I have been very fortunate to have served alongside such talented and dedicated colleagues over these many years and am proud and appreciative of our collective achievements on behalf of the nation's investors and the securities markets." The Municipal Securities and Public Pensions Unit, comprised of staff in ten SEC offices, oversees enforcement in the $4 trillion municipal securities market and the $3 trillion public pension market. As the unit's inaugural Chief, Ms. Greenberg determined its objectives, recruited, selected, and trained staff members, set priorities, and established five areas of focus -- offering and disclosure fraud, tax and arbitrage-driven fraud, pay-to-play and public corruption violations, public pension accounting and disclosure violations, and valuation and pricing fraud. Under Ms. Greenberg's leadership of the unit, the Commission brought precedent-setting actions including:
In addition, Ms. Greenberg assisted with a project that culminated in the SEC's Report on the Municipal Securities Market, provided input on legislative and rulemaking efforts, including the investment adviser pay-to-play rule, and worked with the Office of Investor Education and Advocacy on Investor Bulletins and with the Office of Compliance Inspections and Examinations on National Examination Program Risk Alerts. The SEC enforcement actions brought under Ms. Greenberg's leadership as Associate Director for the Philadelphia Regional Office include:
ENFORCEMENT PROCEEDINGSCommission Settles with Dennis Bukantis in Gold Mining Offering Fraud CaseThe Commission today announced that it has obtained a Final Judgment against defendant Dennis Ashley Bukantis (Bukantis) in district court litigation in which the SEC alleged the unlawful sale of securities in a gold mine investment scheme. According to the SEC's Complaint, Bukantis participated as a broker in the offer and sale of so-called "royalty units" by 3 Eagles Research & Development LLC (3 Eagles") without being registered as a broker or dealer and without being associated with a registered broker or dealer.On July 17, 2012, the SEC filed a Complaint alleging that Harry Dean Proudfoot III and two of his children, Matthew Dale Proudfoot and Laurie Anne Vrvilo, raised $2.7 million from approximately 140 investors in 23 states through 3 Eagles. The SEC's complaint charged 3 Eagles, Harry Proudfoot, Matthew Proudfoot and Laurie Vrvilo with violations of Sections 5(a), 5(c) and 17 (a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5(a), (b) or (c) thereunder and charged Bukantis with violating Section 15(a)(1) of the Exchange Act by selling securities as a unregistered broker. In his Consent to the Final Judgment, Bukantis agreed, without admitting or denying the Complaint's allegations, to the entry of a permanent injunction prohibiting his future violation of Section 15(a)(1) of the Exchange Act. Based upon the financial information submitted by Bukantis to the SEC, the Final Judgment waives the collection of $165,000 in disgorgement, plus prejudgment interest, from Bukantis and does not impose any civil monetary penalties against him. Based upon the Court's entry of the permanent injunction against him, Bukantis also consented to the SEC's entry of an order prohibiting him under Section 15(b)(6)(A) of the Exchange Act from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and from participating in the offering of penny stocks. The SEC's case is still pending against 3 Eagles, which has defaulted in the litigation, and against Harry Proudfoot, who has filed an answer in the litigation. In March 2013, the Commission settled its claims against Matthew Proudfoot and Laurie Vrvilo. [SEC v. 3 Eagles Research & Development LLC, Harry Dean Proudfoot III, Matthew Dale Proudfoot, Laurie Anne Vrvilo and Dennis Ashley Bukantis, Civil Case No. 3:12-cv-01289-ST (D. Oregon, filed July 17, 2012)] (Rel. 34-69808; File No. 3-15361) Commission Files Charges in Investment Scheme Involving Company Promoting Purported Alzheimer's TreatmentThe Commission today announced that it filed a civil lawsuit against Nevada corporation Your Best Memories International Inc. and its president, Robert Hurd, of Los Angeles, California, for misleading investors in Your Best Memories about how their funds would be used and for making misleading statements that one of the products touted to investors had received approval from the U.S. Food and Drug Administration as a treatment for Alzheimer's Disease. Also charged was Kenneth Gross, of Porter Ranch, California, for selling Your Best Memories stock without being registered as a broker-dealer as required by the federal securities laws. According to the SEC's complaint, Your Best Memories purportedly was in the business of raising money from investors on behalf of Moving Pictures, Inc., a Massachusetts-based company in the business of developing products intended to improve memory function in individuals suffering from Alzheimer's disease, dementia or memory loss. The complaint alleges that, in total, Your Best Memories raised approximately $1.2 million from more than 50 investors in an offering of securities that was not registered with the SEC as required under the federal securities laws. Specifically, the complaint alleges that investors were told by Hurd and Your Best Memories that their funds would, in large part, fund the development and marketing of Moving Pictures' memory enhancing products. According to the complaint however - unbeknownst to investors and contrary to Hurd and Your Best Memories' representations - a mere 17% of the funds raised by Your Best Memories was forwarded to Moving Pictures for their intended purposes. The SEC alleges that Hurd funneled at least 37% of investor funds to himself, by transferring money to another of his companies, Smokey Canyon Financial, Inc., or simply by making cash withdrawals of investor funds. The SEC named Smokey Canyon as a relief defendant, alleging that it was unjustly enriched by its receipt of investor funds. The SEC also alleges that Hurd and Your Best Memories further defrauded investors by making Ponzi payments (using investors' principal to make payments purporting to be investment returns to other investors) and that Hurd and Your Best Memories misled investors by falsely stating that they had secured FDA approval to sell coconut oil as a treatment for Alzheimer's disease, when in fact the FDA never approved such a claim. The SEC's complaint charges Hurd and Your Best Memories with violations of Sections 5(a) and (c) and 17(a) of the Securities Act of 1933 as well as Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, and charges Hurd with aiding and abetting violations by Your Best Memories of Section 17(a)(2) of the Securities Act as well as with control person liability under Section 20(a) of the Exchange Act. The complaint also charges Gross with violations of Sections 5(a) and (c) of the Securities Act and Section 15(a) of the Exchange Act. The SEC is seeking permanent injunctions, disgorgement of ill-gotten gains with prejudgment interest and civil penalties against Your Best Memories, Hurd and Gross. The SEC is also seeking disgorgement and prejudgment interest against relief defendant Smokey Canyon. (LR-22732) In the Matter of Jason A. D'AmatoOn June 21, 2013, the Commission entered an order accepting the Offer of Settlement of Jason A. D'Amato, a former executive of Stanford Capital Management, a registered investment adviser that was wholly-owned by R. Allen Stanford before being placed in receivership in February 2009. The settlement arises in an administrative proceeding instituted on August 30, 2012. D'Amato, the former portfolio manager of a mutual fund wrap product known as Stanford Allocation Strategies offered and sold by Stanford Group Company (SGC), consented to the entry of an Order Making Findings and Imposing a Civil Penalty, Remedial Sanctions, and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and (k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 (Order). On June 21, 2013, the Commission entered an order accepting the Offer of Settlement of Jason A. D'Amato, a former executive of Stanford Capital Management, a registered investment adviser that was wholly-owned by R. Allen Stanford before being placed in receivership in February 2009. The settlement arises in an administrative proceeding instituted on August 30, 2012. D'Amato, the former portfolio manager of a mutual fund wrap product known as Stanford Allocation Strategies offered and sold by Stanford Group Company (SGC), consented to the entry of an Order Making Findings and Imposing a Civil Penalty, Remedial Sanctions, and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and (k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 (Order). In the Order, the Commission finds that D'Amato willfully: (i) violated Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, (ii) aided and abetted and caused Stanford Group Company's (SGC) violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Advisers Act, and (iii) aided and abetted and caused Stanford Capital Management, LLC's violations of Section 207 of the Advisers Act. D'Amato has consented to the entry of a cease-and-desist order, a five-year collateral bar, and a $50,000 civil penalty. The Order also establishes a Fair Fund, pursuant to Section 308(a) of the Sarbanes-Oxley Act of 2002, as amended, and authorizes the transfer of settlement funds to the receiver appointed in SEC v. Stanford International Bank, Ltd., et al., Civil Action No. 3:09-CV-0298 (Northern District of Texas, Dallas Division). (Rel. 34-69816; File No. 3-15004) Investment company ordersAmerican Family Life Insurance Company, et al.A notice has been issued giving interested persons until July 15, 2013, to request a hearing on an application filed by American Family Life Insurance Company, American Family Variable Account I, and American Family Variable Account II (together, the "Applicants"). Applicants request an exemptive order of the Securities and Exchange Commission pursuant to Section Section 26(c) of the 1940 Act, approving the substitution of shares of the Vanguard Money Market Portfolio of the Vanguard Variable Insurance Fund for Initial Class Shares of the Fidelity Variable Insurance Products Money Market Portfolio of the Fidelity Variable Insurance Products Fund currently held by the Life Account and the Annuity Account to support variable life insurance and annuity contracts issued by the Company. (Rel. IC-30564)Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by the International Securities Exchange, LLC to establish a Managed Data Access Service, on a pilot basis, for the sale of a number of market data products currently offered by the exchange (SR-ISE-2013-39) 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 24th. (Rel. 34-69806) A proposed rule change filed by Miami International Securities Exchange LLC relating to $0.50 and $1 strike price intervals for classes in the Short Term Option Series Program (SR-MIAX-2013-30) 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 24th. (Rel. 34-69809) A proposed rule change filed by New York Stock Exchange LLC amending NYSE Rule 1000 to increase the price threshold for those securities ineligible for automatic executions from $1,000.00 or more to $10,000.00 or more (SR-NYSE-2013-41) 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 24th. (Rel. 34-69810) A proposed rule changed filed by NASDAQ OMX PHLX LLC to delay the implementation of its new Options Floor Broker Management System (SR-Phlx-2013-67) 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 24th. (Rel. 34-69811) Approval of a Proposed Rule ChangeThe Commission has approved a proposed rule change (SR-CBOE-2013-043) filed by the Chicago Board Options Exchange, Incorporated relating to Exchange Rule 9.21, "Options Communications." Publication is expected in the Federal Register during the week of June 24th. (Rel. 34-69807) 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-3ASR General Growth Properties, Inc., 110 N. WACKER DRIVE, CHICAGO, IL,
60606, 312-960-5000 - 0 ($378,498,449.00) Equity, (File 333-189463 -
Jun. 20) (BR. 08B)
S-3ASR General Growth Properties, Inc., 110 N. WACKER DRIVE, CHICAGO, IL,
60606, 312-960-5000 - 0 ($1.00) Equity, (File 333-189464 - Jun. 20)
(BR. 08B)
S-8 Bluforest Inc., AVENIDA GONZALEZ SUAREZ Y MUROS,,
EDIFICIO PALERMO 311 DEPARTAMENTO 1E,, QUITO, H1, 00000,
593 9 376-2435 - 10,000,000 ($16,500,000.00) Equity, (File 333-189466 -
Jun. 20) (BR. 09A)
S-8 RESPONSE BIOMEDICAL CORP, 1781 - 75TH AVENUE W., VANCOUVER, A1, V6P6P2,
604-456-6010 - 1,644,414 ($4,242,589.00) Equity, (File 333-189470 -
Jun. 20) (BR. 09B)
S-1 SMTP, Inc., ONE BROADWAY, 14TH FLOOR, CAMBRIDGE, MA, 02142,
877-705-9362 - 2,500,000 ($2,575,000.00) Equity, (File 333-189471 -
Jun. 20) (BR. 11C)
S-4 PENN VIRGINIA CORP, 100 MATSONFORD ROAD SUITE 200,
FOUR RADNOR CORPORATE CENTER, RADNOR, PA, 19087, 6106878900 -
0 ($775,000,000.00) Debt, (File 333-189472 - Jun. 20) (BR. 04A)
S-8 HERCULES TECHNOLOGY GROWTH CAPITAL INC, 400 HAMILTON AVE, SUITE 310,
PALO ALTO, CA, 94301, 650-289-3060 - 1,000,000 ($13,460,000.00) Equity,
(File 333-189474 - Jun. 20) (BR. 18)
S-3 CARMIKE CINEMAS INC, 1301 FIRST AVE, COLUMBUS, GA, 31901, 7065763400 -
0 ($109,800,000.00) Equity, (File 333-189477 - Jun. 20) (BR. 05B)
S-8 Pacific Ethanol, Inc., 400 CAPITOL MALL, SUITE 2060, SACRAMENTO, CA,
95814, 916-403-2123 - 500,000 ($1,855,000.00) Equity,
(File 333-189478 - Jun. 20) (BR. 06A)
S-1 ShopEye, Inc., 108 FLYING MIST ISLE, FOSTER CITY, CA, 94404,
650-339-1077 - 3,650,000 ($36,500.00) Equity, (File 333-189481 -
Jun. 20) (BR. 03A)
S-3ASR FULTON FINANCIAL CORP, ONE PENN SQ, PO BOX 4887, LANCASTER, PA, 17604,
7172912411 - 0 ($0.00) Debt, 0 ($0.00) Equity, (File 333-189488 -
Jun. 20) (BR. 07B)
S-8 VMWARE, INC., 3401 HILLVIEW AVENUE, PALO ALTO, CA, 94304,
(650) 427-5000 - 23,166,993 ($1,480,659,528.81) Equity,
(File 333-189491 - Jun. 20) (BR. 03C)
S-4 CNH Capital LLC, 5729 WASHINGTON AVENUE, RACINE, WI, 53406,
262.636.6011 - 0 ($600,000,000.00) Debt, (File 333-189492 - Jun. 20)
(BR. 07)
S-8 Seaspan CORP, UNIT 2, 7TH FLOOR, BUPA CENTRE, 141 CONNAUGHT ROAD WEST,
HONG KONG, F4, 00000, (852) 2540 1686 - 0 ($176,469,997.91) Equity,
(File 333-189493 - Jun. 20) (BR. 05C)
S-4 GRAFTECH INTERNATIONAL LTD, 12900 SNOW ROAD, PARMA, OH, 44130,
2166762000 - 0 ($300,000,000.00) Debt, (File 333-189494 - Jun. 20)
(BR. 10A)
S-1 Q Therapeutics, Inc., 615 ARAPEEN DRIVE, SUITE 102, SALT LAKE CITY, UT,
84108, (801) 582-5400 - 0 ($5,000,000.00) Other, (File 333-189495 -
Jun. 20) (BR. 01A)
S-4 FLEXTRONICS INTERNATIONAL LTD., ONE MARINA BOULEVARD, #28-00,
SINGAPORE, U0, 018989, (65) 6890 7188 - 0 ($1,000,000,000.00) Debt,
(File 333-189496 - Jun. 20) (BR. 03C)
S-8 GREAT SOUTHERN BANCORP INC, 1451 E BATTLEFIELD, SPRINGFIELD, MO, 65804,
417-887-4400 - 700,000 ($18,861,500.00) Equity, (File 333-189497 -
Jun. 20) (BR. 07B)
S-1 Silver Eagle Acquisition Corp., 1450 2ND STREET, SUITE 247,
SANTA MONICA, CA, 90401, 310-209-7280 - 0 ($287,500,000.00) Equity,
(File 333-189498 - Jun. 20) (BR. 08)
S-3 Midstates Petroleum Company, Inc., 4400 POST OAK PARKWAY, SUITE 1900,
HOUSTON, TX, 77027, 713-595-9400 -
0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-189499 -
Jun. 20) (BR. 04B)
S-3 Real Goods Solar, Inc., 833 WEST SOUTH BOULDER ROAD, LOUISVILLE, CO,
80027, 303-222-3600 - 5,050,462 ($14,494,825.94) Equity,
(File 333-189500 - Jun. 20) (BR. 06B)
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
1ST SOURCE CORP IN 7.01,9.01 06/20/13
ACCESS NATIONAL CORP VA 5.07 06/20/13 AMEND
Actavis, Inc. NV 8.01,9.01 06/18/13
ADHEREX TECHNOLOGIES INC 5.02,5.07 06/19/13
ADVANCED ENVIRONMENTAL RECYCLING TECH DE 5.07 06/20/13
AFH ACQUISITION VII, INC. DE 4.02 06/18/13
AFS SenSub Corp. 8.01,9.01 06/20/13
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 06/20/13
ALLSTATE CORP DE 7.01,9.01 06/20/13
AMERICAN GRAPHITE TECHNOLOGIES INC. NV 1.01,3.02,9.01 05/20/13 AMEND
AMERICAN PUBLIC EDUCATION INC DE 5.07 06/14/13
AMERICAN SOFTWARE INC GA 2.02,9.01 06/20/13
AMERICAN VANGUARD CORP DE 1.01,1.02,2.03,8.01,9.01 06/17/13
Apollo Global Management LLC DE 7.01,9.01 06/20/13
APPLIED DNA SCIENCES INC DE 1.01 06/14/13
Armada Hoffler Properties, Inc. MD 2.02,9.01 06/20/13
ASBURY AUTOMOTIVE GROUP INC DE 1.01,2.03,8.01,9.01 06/20/13
ASTORIA FINANCIAL CORP DE 8.01 06/19/13
ATHERSYS, INC / NEW DE 5.02,5.07,9.01 04/29/13
Atlantic Coast Financial CORP MD 5.02,8.01 06/14/13
Atlas Financial Holdings, Inc. E9 5.02,9.01 06/17/13
ATWOOD OCEANICS INC TX 1.01,9.01 06/18/13
AUTOMATIC DATA PROCESSING INC DE 1.01,2.03,9.01 06/19/13
AV Homes, Inc. DE 1.01,3.02,3.03,5.02,5.03,9.01 06/19/13
AXCELIS TECHNOLOGIES INC DE 5.02,9.01 06/20/13
BIG LOTS INC OH 5.02 06/17/13
Biodel Inc DE 8.01,9.01 06/19/13
BioMed Realty Trust Inc DE 3.02 06/18/13
BIOSPECIFICS TECHNOLOGIES CORP DE 5.07 06/20/13
Biozoom, Inc. NV 1.01,9.01 06/20/13
BMC SOFTWARE INC DE 1.01,3.03,8.01,9.01 06/19/13
BRISTOL MYERS SQUIBB CO DE 5.02,9.01 06/19/13
BURLINGTON COAT FACTORY WAREHOUSE COR DE 5.02 06/15/13
BUTLER NATIONAL CORP DE 4.01,9.01 06/20/13
CABCO SERIES 2004-102 TRUST (SBC COMM 8.01,9.01 06/17/13
CANYON GOLD CORP. DE 1.01,9.01 06/10/13
CARMIKE CINEMAS INC DE 8.01,9.01 06/20/13
CATERPILLAR INC DE 7.01 06/20/13
CCOM Group, Inc. NY 5.07 06/19/13
Ceres, Inc. DE 5.02,7.01,9.01 06/18/13
CHAMBERS STREET PROPERTIES MD 8.01,9.01 06/20/13
CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 06/20/13
CHENIERE ENERGY INC DE 7.01,9.01 06/20/13
Cheniere Energy Partners, L.P. DE 7.01,9.01 06/20/13
CHESAPEAKE ENERGY CORP OK 5.02,5.07,7.01,8.01,9.01 06/14/13
CHINA BAK BATTERY INC NV 8.01 06/20/13
China Electronics Holdings, Inc. NV 4.02 05/15/13 AMEND
CHINA SHEN ZHOU MINING & RESOURCES, I NV 5.02 06/18/13
CIMETRIX INC NV 5.07 06/15/13
CLARCOR INC. DE 2.02,9.01 06/19/13
CLEAN DIESEL TECHNOLOGIES INC DE 5.02,7.01,9.01 06/17/13
Clearwire Corp /DE DE 8.01,9.01 06/20/13
CLEVELAND BIOLABS INC DE 5.02,5.07,9.01 06/20/13
CNL Healthcare Properties, Inc. MD 8.01,9.01 06/14/13
Cole Real Estate Investments, Inc. MD 5.02,5.03,8.01,9.01 06/17/13
Cole Real Estate Investments, Inc. MD 7.01,9.01 05/31/13 AMEND
CORNERSTONE THERAPEUTICS INC DE 8.01 06/20/13
CRI HOTEL INCOME PARTNERS L P DE 8.01 06/20/13
CRIMSON EXPLORATION INC. 7.01,9.01 06/20/13
CUTERA INC DE 5.07 06/19/13
DATAWATCH CORP DE 1.01,9.01 06/14/13
DAVITA HEALTHCARE PARTNERS INC. DE 5.02,5.07,9.01 06/17/13
dELiAs, Inc. DE 1.01,2.03,5.02,8.01,9.01 06/14/13
DENBURY RESOURCES INC DE 7.01 06/20/13
Diligent Board Member Services, Inc. DE 8.01 06/19/13
Diligent Board Member Services, Inc. DE 5.02 06/18/13
DIRECT INSITE CORP DE 7.01,9.01 06/20/13
DORAL FINANCIAL CORP PR 5.07 06/19/13
DTE ENERGY CO MI 5.02,9.01 06/20/13
DURECT CORP DE 8.01,9.01 06/20/13
Echo Global Logistics, Inc. DE 5.07 06/14/13
ECOTALITY, INC. NV 1.01,3.02,9.01 06/18/13
EDUCATION MANAGEMENT CORPORATION 5.02 06/14/13
Ellington Financial LLC DE 7.01 06/19/13
Embassy Bancorp, Inc. PA 8.01 06/20/13
ENDO HEALTH SOLUTIONS INC. DE 1.01 06/14/13
ENTERGY CORP /DE/ DE 5.02 06/19/13
ENTERPRISE PRODUCTS PARTNERS L P DE 1.01,2.03,8.01,9.01 06/19/13
EPLUS INC DE 5.02 06/14/13
EQUUS TOTAL RETURN, INC. DE 5.07,8.01,9.01 06/14/13
Evercore Partners Inc. DE 5.02,5.07,9.01 06/19/13
EVEREST RE GROUP LTD D0 5.02,9.01 06/20/13
F&M BANK CORP VA 5.02,9.01 06/20/13
Federal Home Loan Bank of Atlanta X1 2.03 06/17/13
Federal Home Loan Bank of Boston X1 2.03 06/17/13
Federal Home Loan Bank of Chicago X1 2.03 06/17/13
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 06/17/13
Federal Home Loan Bank of New York X1 2.03,9.01 06/17/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 06/17/13
Federal Home Loan Bank of San Francis X1 2.03 06/18/13
Federal Home Loan Bank of Topeka 2.03,9.01 06/18/13
FEDERAL MOGUL CORP DE 8.01,9.01 06/20/13
Fidelity National Financial, Inc. 8.01,9.01 06/19/13
Fifth Street Finance Corp DE 8.01,9.01 06/20/13
First Bancorp, Inc /ME/ ME 8.01 06/20/13
FIRST CITIZENS BANC CORP /OH OH 8.01 06/20/13 AMEND
First Internet Bancorp IN 7.01,9.01 06/19/13
Fortune Brands Home & Security, Inc. DE 8.01,9.01 06/20/13
FriendFinder Networks Inc. NV 1.01,8.01 06/19/13
FS Investment CORP MD 5.07 06/20/13
FUELCELL ENERGY INC DE 1.01,8.01,9.01 06/19/13
FUELCELL ENERGY INC DE 9.01 06/19/13 AMEND
GeoMet, Inc. DE 2.01,8.01,9.01 06/14/13
Global Geophysical Services Inc DE 8.01,9.01 06/19/13
Gold Eagle Acquisition, Inc. DE 1.01,5.01,5.02,5.03 06/20/13
GOLD RESOURCE CORP CO 5.07,7.01,9.01 06/20/13
Gray Fox Petroleum Corp. NV 8.01 06/18/13
GREEN MOUNTAIN COFFEE ROASTERS INC DE 5.02,9.01 06/19/13
GSI TECHNOLOGY INC 5.02 06/14/13
GULF RESOURCES, INC. DE 5.07 06/18/13
HealthWarehouse.com, Inc. DE 5.02 06/14/13
HERCULES OFFSHORE, INC. DE 7.01,9.01 06/20/13
hhgregg, Inc. DE 5.02 06/16/13
HINTO ENERGY, INC WY 1.01,9.01 06/17/13
HOME LOAN SERVICING SOLUTIONS, LTD. E9 8.01,9.01 06/20/13
HOST HOTELS & RESORTS, INC. MD 5.02 06/14/13
Hyundai Auto Receivables Trust 2013-B DE 8.01,9.01 06/13/13
ICAHN ENTERPRISES L.P. DE 8.01 06/20/13
IHS Inc. DE 2.02,9.01 06/20/13
INDEPENDENT BANK CORP MA 8.01 06/20/13
INFINERA CORP DE 5.02 06/19/13
Infor, Inc. 2.02,9.01 06/20/13
Integrity Applications, Inc. DE 5.07 06/20/13
Intellicell Biosciences, Inc. NV 3.02 06/17/13
INTERGROUP CORP DE 1.01,9.01 06/17/13
ION GEOPHYSICAL CORP DE 8.01 06/19/13
J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 03/14/13 AMEND
J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 05/14/13 AMEND
JABIL CIRCUIT INC DE 2.02,2.05,9.01 06/19/13 AMEND
JANUS CAPITAL GROUP INC DE 1.01,2.03,3.02,8.01,9.01 06/14/13
JOHNSON & JOHNSON NJ 8.01,9.01 06/17/13
Kraft Foods Group, Inc. 7.01,9.01 06/20/13
KROGER CO OH 2.02,7.01,9.01 06/20/13
LATTICE SEMICONDUCTOR CORP DE 5.02,9.01 06/19/13
LAZARE KAPLAN INTERNATIONAL INC DE 8.01,9.01 06/20/13
Lender Processing Services, Inc. DE 8.01,9.01 06/19/13
Liberty Global plc X0 8.01 06/19/13
LIFE PARTNERS HOLDINGS INC TX 7.01,9.01 06/20/13
LIGAND PHARMACEUTICALS INC DE 1.01,2.03,3.03,8.01,9.01 06/20/13
LINCOLN EDUCATIONAL SERVICES CORP NJ 1.01,2.03,2.05,9.01 06/18/13
LNB BANCORP INC OH 7.01,9.01 06/20/13
LOGITECH INTERNATIONAL SA 8.01,9.01 06/19/13
LOJACK CORP MA 5.02,9.01 06/20/13
Magnolia Solar Corp NV 8.01,9.01 06/17/13
MAXIMUS INC VA 8.01,9.01 06/20/13
MCGRAW HILL FINANCIAL INC NY 8.01,9.01 06/19/13
MELA SCIENCES, INC. /NY 5.02,9.01 06/15/13
MENS WEARHOUSE INC TX 8.01,9.01 06/20/13
METHODE ELECTRONICS INC DE 2.02,9.01 06/20/13
Midstates Petroleum Company, Inc. DE 8.01,9.01 09/05/12 AMEND
MOBIVITY HOLDINGS CORP. NV 1.01,3.02,9.01 06/17/13
Monarch Financial Holdings, Inc. VA 5.07 05/10/13 AMEND
MRC GLOBAL INC. DE 7.01,9.01 06/20/13
MRV COMMUNICATIONS INC DE 5.07 06/17/13
MTS SYSTEMS CORP MN 5.02,9.01 06/14/13
MULTI COLOR Corp OH 4.01,9.01 06/14/13 AMEND
MUNICIPAL MORTGAGE & EQUITY LLC DE 5.07 06/18/13
MVB FINANCIAL CORP WV 5.07 06/20/13 AMEND
NANOSPHERE INC DE 5.02,9.01 06/20/13
NATIONAL FINANCIAL PARTNERS CORP 8.01 06/19/13
NetSpend Holdings, Inc. DE 8.01 06/20/13
NEW ENGLAND REALTY ASSOCIATES LIMITED MA 1.01 06/14/13
NEWFIELD EXPLORATION CO /DE/ DE 5.02,7.01,9.01 06/19/13
NPC Restaurant Holdings, LLC DE 7.01,9.01 06/20/13
O REILLY AUTOMOTIVE INC 1.01,2.03,8.01,9.01 06/17/13
OCEANFIRST FINANCIAL CORP DE 5.02,9.01 06/18/13
OHIO EDISON CO OH 8.01,9.01 06/20/13
Onstream Media CORP FL 1.01,3.02 06/14/13
OP TECH ENVIRONMENTAL SERVICES INC DE 1.01,9.01 06/20/13
ORACLE CORP 2.02,3.01,8.01,9.01 06/20/13
ORCHARD SUPPLY HARDWARE STORES CORP DE 1.01,2.03,3.01,8.01,9.01 06/17/13
Orient Paper Inc. NV 1.01,2.03,8.01,9.01 06/16/13
ORTHOFIX INTERNATIONAL N V 5.02,5.07,7.01,9.01 06/18/13
OverNear, Inc. NV 8.01 06/20/13
OXFORD INDUSTRIES INC GA 5.07 06/20/13
Pacific Ethanol, Inc. DE 8.01,9.01 06/20/13
PACIFIC PREMIER BANCORP INC DE 8.01,9.01 06/20/13
PAIN THERAPEUTICS INC DE 1.01,3.03,5.02,9.01 06/14/13
PDL BIOPHARMA, INC. DE 8.01 06/20/13
PERNIX THERAPEUTICS HOLDINGS, INC. MD 5.07 06/19/13
PETROQUEST ENERGY INC DE 1.01,2.03,7.01,9.01 06/19/13
PETROQUEST ENERGY INC DE 7.01,9.01 06/20/13
PG&E Corp CA 5.02,5.03,9.01 06/19/13
PHARMACYCLICS INC DE 7.01,9.01 06/20/13
Phillips Edison - ARC Shopping Center MD 1.01,8.01,9.01 06/19/13
PIER 1 IMPORTS INC/DE DE 1.01,2.02,2.03,9.01 06/18/13
PLUG POWER INC DE 8.01 06/17/13
POWER SOLUTIONS INTERNATIONAL, INC. DE 5.02,8.01,9.01 06/17/13
POWERSECURE INTERNATIONAL, INC. DE 1.01,2.03,9.01 06/19/13
PREFERRED APARTMENT COMMUNITIES INC MD 1.01,9.01 06/14/13
PREMIER FINANCIAL BANCORP INC KY 5.07 06/19/13
PRICE T ROWE GROUP INC MD 5.02,9.01 06/20/13
Protalix BioTherapeutics, Inc. FL 7.01,9.01 06/20/13
QUALSTAR CORP CA 8.01,9.01 06/19/13
Quanex Building Products CORP DE 1.01,5.02,8.01,9.01 06/14/13
RCS Capital Corp DE 8.01,9.01 06/20/13
ReachLocal Inc 1.01 06/17/13
REGENERON PHARMACEUTICALS INC NY 5.07 06/14/13
REPROS THERAPEUTICS INC. DE 8.01,9.01 06/19/13
RESEARCH FRONTIERS INC DE 7.01,9.01 06/19/13
RESPONSE BIOMEDICAL CORP A1 5.02,5.07,9.01 06/18/13
Revolutions Medical CORP NV 5.02,9.01 06/17/13
RITE AID CORP DE 2.02,9.01 06/20/13
Rockdale Resources Corp CO 1.01,2.03,3.02,8.01,9.01 06/17/13
ROCKWELL MEDICAL, INC. MI 1.01,2.03,9.01 06/17/13
Rockwood Holdings, Inc. DE 1.01,7.01,9.01 06/14/13
ROOMLINX INC NV 5.02 06/14/13
RUBICON FINANCIAL INC NV 8.01 06/04/13
Sabra Health Care REIT, Inc. MD 5.02,5.07,9.01 06/19/13
SAVIENT PHARMACEUTICALS INC DE 5.02,9.01 06/20/13
SearchCore, Inc. NV 3.02,9.01 06/14/13
SECURITY NATIONAL FINANCIAL CORP UT 8.01 06/20/13
SemGroup Corp DE 1.01,2.03,9.01 06/14/13
Seven Arts Entertainment Inc. NV 5.02 06/13/13
Shire plc 8.01,9.01 06/20/13
Shire plc 8.01,9.01 06/20/13
SL INDUSTRIES INC NJ 1.01,3.03,5.03,9.01 06/20/13
SLM FUNDING LLC DE 9.01 06/20/13
SLM FUNDING LLC DE 1.01,2.01,9.01 06/20/13
SMITH MICRO SOFTWARE INC DE 5.02 06/14/13
SOLITARIO EXPLORATION & ROYALTY CORP. CO 5.02,9.01 06/18/13
SONOCO PRODUCTS CO SC 5.02 06/15/13
SOUTH DAKOTA SOYBEAN PROCESSORS LLC 5.07 06/18/13
Starburst II, Inc. DE 8.01,9.01 06/20/13
STERLING FINANCIAL CORP /WA/ WA 5.02,9.01 06/14/13
Sucampo Pharmaceuticals, Inc. 5.02 06/14/13
Sundance Strategies, Inc. NV 1.01,2.01,3.02,9.01 06/07/13
SUPREME INDUSTRIES INC DE 1.01,2.03 06/14/13
SYNOVUS FINANCIAL CORP GA 5.02,9.01 06/18/13
SYSCO CORP DE 5.02 06/14/13
TEXAS NEW MEXICO POWER CO TX 5.03,9.01 06/18/13
TIBCO SOFTWARE INC DE 2.02,9.01 06/20/13
TIDELANDS ROYALTY TRUST B TX 7.01,9.01 06/18/13
TIDEWATER INC DE 8.01,9.01 06/19/13
Titan Iron Ore Corp. NV 1.01,9.01 04/15/13 AMEND
Tower International, Inc. DE 1.01,2.03,9.01 06/19/13
Triangle Petroleum Corp DE 5.02,5.08,9.01 06/14/13
TriLinc Global Impact Fund LLC DE 8.01 06/11/13
Twin Cities Power Holdings, LLC MN 1.01,5.02,9.01 06/13/13
TYCO INTERNATIONAL LTD V8 8.01,9.01 06/19/13
US AIRWAYS GROUP INC DE 3.02 06/14/13
US BANCORP \DE\ DE 5.03,9.01 06/18/13
US ENERGY CORP WY 7.01,9.01 06/20/13
USMD Holdings, Inc. DE 5.07 06/07/13
UWHARRIE CAPITAL CORP NC 5.02 06/18/13
Verisk Analytics, Inc. DE 8.01 06/20/13
VINYL PRODUCTS, INC. DE 1.01,3.02 06/14/13
VISUALANT INC NV 8.01 06/17/13
VITESSE SEMICONDUCTOR CORP DE 8.01,9.01 06/19/13
VITRAN CORP INC A6 5.02,9.01 06/17/13
Vystar Corp GA 5.02 06/14/13
Weatherford International Ltd./Switze V8 5.02,5.03,5.07,7.01,9.01 06/19/13
WEYERHAEUSER CO WA 5.03,9.01 06/19/13
WILLIS LEASE FINANCE CORP DE 1.01,2.03,7.01,9.01 06/18/13
WINNEBAGO INDUSTRIES INC IA 5.02,9.01 06/19/13
YAHOO INC DE 7.01,9.01 06/20/13
Zeltiq Aesthetics Inc DE 5.07 06/19/13
http://www.sec.gov/news/digest/2013/dig062113.htm
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