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COMMISSION ANNOUNCEMENTSCommission MeetingsOpen Meeting on Wednesday, July 10, 2013 at 10:00 a.m., in the Auditorium, Room L-002
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGSCommission Sustains Disciplinary Action Taken by the PCAOB against S.W. Hatfield, CPA and Scott W. Hatfield, CPAThe Securities and Exchange Commission (Commission) sustained a Public Company Accounting Oversight Board disciplinary action against S.W. Hatfield, a registered public accounting firm and Scott W. Hatfield, C.P.A., the firm's sole owner and employee. The Commission found that Applicants violated PCAOB rules by repeatedly failing to adhere to the Board's interim auditing standards during the audits of two unrelated pubic companies. The Commission also sustained the PCAOB's decision to revoke the firm's registration and bar Hatfield. As found in the Commission's opinion, Applicants' repeated and nearly complete failures to perform adequate audit procedures represented, at a minimum, reckless conduct and created an obvious, significant, and ongoing risk to investors. The Commission thus concluded that the PCAOB's sanctions were necessary to protect the integrity of the Commission's processes and encourage more rigorous compliance with auditing standards. (Rel. 34-69930) In the Matter Of Terry V. KoontzOn July 3, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Terry V. Koontz. The Order finds that on November 5, 2012, Koontz pled guilty to one count of conspiracy to commit wire fraud and mail fraud in violation of Title 18 United States Code, Section 1349 before the United States District Court for the Middle District of Florida in the criminal case entitled United States v. Terry Vernon Koontz, Case No. 8:12-cr-00465-JDW-TGW. From December 2010 to November 2011, Koontz purported to be affiliated with a well-known asset management firm in order to lure investors into an unregistered offering of securities in the form of a fictitious gold futures promissory notes program. Koontz was not registered as a broker-dealer or associated with a registered broker-dealer during the relevant time. The count of the criminal information to which Koontz pled guilty alleged, among other things, that Koontz was the primary architect of a scheme to defraud in which Koontz and co-conspirators persuaded victim-investors to transmit their funds and participate in a purported gold futures investment program. Koontz created false and fraudulent documents, including promissory notes and assignments of collateral, which supposedly evidenced and guaranteed, respectively, the victim-investors’ participation in the purported gold futures investment program. In preparing these documents, Koontz used the names of various existing foreign and/or domestic entities as well as forged signatures of officials of same, without such entities’ and individuals’ knowledge or consent. Koontz and co-conspirators diverted a substantial amount of the victim-investors’ funds for their own personal enrichment by transferring and causing the transfer of said funds to accounts controlled by them and/or family members or friends, and they used victim-investors’ funds to purchase motor vehicles, real property, home furnishings, jewelry, and other goods and services. Based on the above, the Order bars Koontz from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Koontz consented to the issuance of the Order. (Rel. 34-69937; File No. 3-15369) In the Matter of Jiangbo Pharmaceuticals, Inc.An Administrative Law Judge issued an Order Making Findings and Revoking Registration by Default in Jiangbo Pharmaceuticals, Inc., Admin. Proc. File No. 3-15019 (Default Order). The Order Instituting Proceedings (OIP) alleged that Jiangbo Pharmaceuticals, Inc., had securities registered with the Securities and Exchange Commission pursuant to Section 12(g) of the Securities Exchange Act of 1934 and had failed to file required annual reports since September 28, 2010, and quarterly periodic reports since May 27, 2011. The Default Order found the allegations in the OIP to be true and concluded that it was necessary and appropriate for the protection of investors to revoke the registration of each class of Jiangbo Pharmaceuticals, Inc.’s registered securities. (Rel. 34-69924) COMMISSION ORDERSThe Commission issued three orders denying the request to withdraw a registration statement under the Securities Act of 1933 to Braxton Resources Inc., Clearpoint Resources, Inc., and La Paz Mining Corp. (Rel. Nos. 33-9410; 33-9411; 33-9412) INVESTMENT COMPANY ORDERSCitadel LLC, et al.A notice has been issued giving interested persons until July 29, 2013 to request a hearing on an application filed by Citadel LLC, et al. for an order to amend a prior order exempting certain limited liability companies, limited partnerships and other entities formed for the benefit of eligible employees of Citadel LLC and its affiliates from certain provisions of the Investment Company Act of 1940 (Act). Each such entity will be an “employees’ securities company” within the meaning of Section 2(a)(13) of the Act (ESC). The requested order would reflect the amendment of certain mandatory redemption terms of the ESCs to permit deferral of redemption in certain circumstances. (Rel. IC-30589) BofA Funds Series Trust, et al.A notice has been issued giving interested persons until July 29, 2013, to request a hearing on an application filed by BofA Funds Series Trust, et al., for an order under Sections 6(c) and 17(b) of the Investment Company Act (Act) for an exemption from Section 17(a) of the Act. The order would permit certain registered investment companies (Funds) to engage in principal transactions involving tax-exempt money market instruments and repurchase agreements with a broker-dealer that is an affiliated person of an affiliated person of the Funds. (Rel. IC-30590) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by NASDAQ OMX PHLX LLC to amend the Acceptable Complex Execution Parameter (SR-Phlx-2013-72) 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 July 8th. (Rel. 34-69921) A proposed rule change filed by New York Stock Exchange LLC amending its price list to add greater specificity related to the applicable “Tier 3” supplemental liquidity provider rate and the member organization Tier 1 and Tier 2 adding credit rates (SR-NYSE-2013-46) 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 July 8th. (Rel. 34-69927) A proposed rule change filed by the New York Stock Exchange LLC to amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to modify the credits for certain Mid-Point Passive Liquidity Orders, add two new tiers applicable to transactions in Tape B Securities, add a pricing tier applicable to orders of ETP Holders for Tape A and Tape C Securities that are eligible to be routed away from the Exchange, and modify the equity threshold applicable to the Cross-Asset Tier (SR-NYSEArca-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 July 8th. (Rel. 34-69926) A proposed rule change filed by The NASDAQ Stock Market LLC relating to penny pilot option rebates to add liquidity (SR-NASDAQ-2013-091) 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 July 8th. (Rel. 34-69929) A proposed rule change filed by C2 Options Exchange, Incorporated relating to the correction of a typographical error in Rule 6.15.08 (SR-C2-2013-024) 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 July 8th. (Rel. 34-69934) A proposed rule change filed by BATS Exchange, Inc. related to fees for use of BATS Exchange, Inc. (SR-BATS-2013-040) 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 July 8th. (Rel. 34-69933) A proposed rule change filed by BATS Y-Exchange, Inc. related to fees for use of BATS Y-Exchange, Inc. (SR-BYX-2013-024) 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 July 8th. (Rel. 34-69932) A proposed rule change filed by BATS Exchange, Inc. to impose fees for market data (SR-BATS-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 July 8th. (Rel. 34-69936) A proposed rule change filed by BATS Y-Exchange, Inc. to impose fees for market data (SR-BYX-2013-23) 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 July 8th. (Rel. 34-69935) Notice of Proposed Rule ChangePursuant to Rule 19b-4 under the Securities Exchange Act of 1934, BATS Exchange, Inc. has filed a proposed rule change, as modified by Amendment No. 1 (SR-BATS-2013-038), to adopt listing standards for certain securities. Publication is expected in the Federal Register during the week of July 8th. (Rel. 34-69931) Notice of Filing of an Advance NoticeThe Options Clearing Corporation (OCC) filed an advance notice (SR-OCC-2013-803) pursuant to Section 806(e)(1) of the Payment, Clearing, and Settlement Supervision Act of 2010 and Rule 19b-4(n)(1)(i) of Securities Exchange Act of 1934 (Exchange Act), to reflect enhancements in OCC’s System for Theoretical Analysis and Numerical Simulations as applied to longer-tenor options. OCC also filed the proposal as a proposed rule change (SR-OCC-2013-08) pursuant Section 19(b)(1) of the Exchange Act and Rule 19b-4 thereunder. The proposal shall not take effect until all regulatory actions required with respect to the proposal are completed. The Commission will consider all public comments received on this proposal regardless of whether the comments are submitted in response to the proposed rule change (SR-OCC-2013-08) or the advance notice (SR-OCC-2013-803). Publication is expected in the Federal Register during the week of July 8th. (Rel. 34-69925) 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-3 Mandalay Digital Group, Inc., 2811 CAHUENGA BOULEVARD WEST,
LOS ANGELES, CA, 90068, (323) 472-5461 - 0 ($30,000,000.00) Equity,
(File 333-189783 - Jul. 3) (BR. 03B)
S-8 MIMEDX GROUP, INC., 1775 W OAK COMMONS COURT, NE, MARIETTA, GA, 30062,
678-384-6720 - 0 ($31,011,570.00) Equity, (File 333-189784 - Jul. 3)
(BR. 10B)
S-3 MIMEDX GROUP, INC., 1775 W OAK COMMONS COURT, NE, MARIETTA, GA, 30062,
678-384-6720 - 7,500,000 ($150,000,000.00) Equity, (File 333-189785 -
Jul. 3) (BR. 10B)
S-8 NTS, INC., 5307 W LOOP 289, LUBBOCK, TX, 79414, 8067715212 -
5,489,595 ($8,267,666.00) Equity, (File 333-189787 - Jul. 3) (BR. 11A)
S-1 VISUALANT INC, 500 UNION STREET, SUITE 420, SEATTLE, WA, 98101,
206-903-1351 - 70,300,000 ($6,502,750.00) Other, (File 333-189788 -
Jul. 3) (BR. 10B)
S-8 AT&T INC., 208 S. AKARD ST, ATTN : JAMES LACY, DALLAS, TX, 75202,
2108214105 - 200,000,000 ($7,058,000,000.00) Equity, (File 333-189789 -
Jul. 3) (BR. 11A)
S-8 Silver Falcon Mining, Inc., 2520 MANATEE AVENUE, WEST, #200, BRADENTON,
FL, 34205, 941-761-7819 - 50,000,000 ($500,000.00) Equity,
(File 333-189790 - Jul. 3) (BR. 09A)
N-2 Pine Grove Alternative Institutional Fund, 25 DEFOREST AVENUE, SUMMIT,
NJ, 07901, 908.273.6321 - 1,000 ($1,000,000.00) Equity,
(File 333-189791 - Jul. 3) (BR. 22)
N-2 Pine Grove Alternative Fund, 25 DEFOREST AVENUE, SUMMIT, NJ, 07901,
908.273.6321 - 1,000 ($1,000,000.00) Equity, (File 333-189792 - Jul. 3)
(BR. 22)
S-8 Bazaarvoice Inc, 3900 N. CAPITAL OF TEXAS HIGHWAY, SUITE 300, AUSTIN,
TX, 78746, 512-551-6000 - 0 ($39,046,239.00) Equity, (File 333-189793 -
Jul. 3) (BR. 03C)
S-3 Synthetic Biologics, Inc., 155 GIBBS STREET, SUITE 412, ROCKVILLE, MD,
20850, (734) 332-7800 - 0 ($50,000,000.00) Equity, (File 333-189794 -
Jul. 3) (BR. 01A)
S-1 Mobile Vault, Inc., 3384 LA CANADA DRIVE, SUITE 1, CAMERON PARK, CA,
95682, 530-409-3181 - 3,000,000 ($30,001.00) Equity, (File 333-189796 -
Jul. 3) (BR. 03A)
S-8 CYNOSURE INC, 5 CARLISLE ROAD, WESTFORD, MA, 01886, (978) 256-4200 -
0 ($60,000,000.00) Equity, (File 333-189797 - Jul. 3) (BR. 10A)
F-1 MiX Telematics Ltd, PO BOX 12326, VORNA VALLEY, JOHANNESBURG, T3, 1686,
27-11-654-8279 - 0 ($125,000,000.00) Equity, (File 333-189799 - Jul. 3)
(BR. 03C)
S-8 SALESFORCE COM INC, THE LANDMARK, ONE MARKET STREET STE.300,
SAN FRANCISCO, CA, 94105, 0 ($1,822,080,000.00) Equity,
(File 333-189801 - Jul. 3) (BR. 03B)
S-3 HOVNANIAN ENTERPRISES INC, 110 WEST FRONT STREET, PO BOX 500, RED BANK,
NJ, 07701, 7327477800 - 0 ($48,603,837.00) Equity,
0 ($451,396,163.00) Unallocated (Universal) Shelf, (File 333-189802 -
Jul. 3) (BR. 06C)
S-3 CURIS INC, 4 MAGUIRE ROAD, LEXINGTON, MA, 02421, 617-503-6500 -
0 ($120,000,000.00) Equity, (File 333-189803 - Jul. 3) (BR. 01A)
N-2 DIVIDEND & INCOME FUND, 11 HANOVER SQUARE, NEW YORK, NY, 10005,
2127850400 - 20,000 ($15.40) Equity, (File 333-189804 - Jul. 3) (BR. 16)
N-2 Oxford Lane Capital Corp., 8 SOUND SHORE DRIVE, SUITE 255, GREENWICH,
CT, 06830, (203) 983-5275 - 0 ($250,000,000.00) Equity,
(File 333-189805 - Jul. 3) (BR. 22)
S-8 BLACKSTONE MORTGAGE TRUST, INC., 345 PARK AVENUE, 10TH FLOOR, NEW YORK,
NY, 10154, 2126550220 - 0 ($53,765,038.34) Equity, (File 333-189806 -
Jul. 3) (BR. 08C)
S-1 Santander Consumer USA Holdings Inc., 8585 NORTH STEMMONS FREEWAY,
SUITE 1100-N, DALLAS, TX, 75247, 214-237-3615 -
0 ($50,000,000.00) Equity, (File 333-189807 - Jul. 3) (BR. )
S-4 FIRST MERCHANTS CORP, 200 E JACKSON ST, PO BOX 792, MUNCIE, IN,
47308-0792, 7657471500 - 0 ($120,580,834.00) Equity, (File 333-189808 -
Jul. 3) (BR. 07C)
S-1 Plures Technologies, Inc./DE, 4070 WEST LAKE ROAD, CANANDAIGUA, NY,
14424, 8886660767 - 15,000,000 ($4,650,000.00) Equity,
(File 333-189809 - Jul. 3) (BR. 10B)
F-1 SuperCom Ltd, 14 ARIE SHENKAR STREET, PO BOX 12190, HERTZLIYA PITUACH,
L3, 4672514, 972-9-889-0800 - 0 ($20,000,000.00) Equity,
(File 333-189810 - Jul. 3) (BR. 10B)
S-1 Echo Automotive, Inc., 16000 N. 80TH STREET, SUITE E, SCOTTSDALE, AZ,
85260, (855) 324-6288 - 0 ($5,105,261.44) Equity, (File 333-189812 -
Jul. 3) (BR. 05C)
F-3 AEGEAN MARINE PETROLEUM NETWORK INC., 10, AKTI KONDILI, PIRAEUS,
ATHENS, J3, 185 45, 011 30 210 4586 000 -
0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-189813 -
Jul. 3) (BR. 04B)
F-3 BANK OF MONTREAL /CAN/, 1 FIRST CANADIAN PLACE, TORONTO, A6, M5X 1A1,
4168677191 - 0 ($1,000,000.00) Unallocated (Universal) Shelf,
(File 333-189814 - Jul. 3) (BR. 12A)
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 7.01,9.01 07/01/13
Accretive Health, Inc. DE 5.02 06/28/13
ADCARE HEALTH SYSTEMS, INC OH 1.01,2.03 06/27/13
AIR INDUSTRIES GROUP, INC. DE 1.01,9.01 06/27/13
AIS FUTURES FUND IV LP DE 3.02 06/30/13
Allied Nevada Gold Corp. DE 5.02 07/01/13
AMBASSADORS GROUP INC DE 1.01,9.01 06/30/13
AMBIENT CORP /NY DE 5.02,9.01 06/27/13 AMEND
AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 2.02,9.01 07/03/13
AMERICAN LOCKER GROUP INC DE 5.02,9.01 07/01/13
American Realty Capital Healthcare Tr MD 1.01,2.01,9.01 06/27/13
American Realty Capital Properties, I MD 7.01,8.01,9.01 07/01/13 AMEND
AMERISOURCEBERGEN CORP DE 1.01,9.01 06/28/13
ARATANA THERAPEUTICS, INC. DE 5.03,9.01 07/02/13
ARGAN INC DE 5.07 06/20/13 AMEND
ASPEN GROUP, INC. DE 1.01,2.03 07/01/13
ASTRONICS CORP NY 1.01,9.01 06/28/13
AUTONATION, INC. DE 7.01,9.01 07/03/13
Banyan Rail Services Inc. DE 1.01,2.03 06/27/13
BAXANO SURGICAL, INC. DE 1.01,9.01 06/28/13
Behringer Harvard Mid-Term Value Enha TX 1.01 07/01/13
BEST BUY CO INC MN 7.01 07/03/13
BIOLOGIX HAIR INC. NV 5.07 06/28/13
Biopower Operations Corp NV 3.02,8.01 07/03/13
BLACKSTONE MORTGAGE TRUST, INC. MD 1.01 06/28/13
Bluerock Multifamily Growth REIT, Inc MD 7.01,8.01,9.01 06/27/13
BNC BANCORP NC 5.02,9.01 06/28/13
Brenham Oil & Gas Corp. NV 8.01 06/28/13
BRIDGE BANCORP INC NY 5.03,8.01,9.01 07/03/13
BRYN MAWR BANK CORP PA 5.02,9.01 06/28/13
CABLEVISION SYSTEMS CORP /NY DE 2.01,9.01 07/03/13
Cal Dive International, Inc. DE 1.01,2.03,9.01 06/27/13
CALLIDUS SOFTWARE INC DE 8.01 07/01/13
Cardium Therapeutics, Inc. DE 5.07,8.01,9.01 07/02/13
Carey Watermark Investors Inc 5.07 06/27/13
CCOM Group, Inc. NY 5.02 07/01/13
CHESAPEAKE UTILITIES CORP DE 1.01,2.03 06/28/13
China Advanced Construction Materials DE 5.07 07/03/13
CLAIMSNET COM INC DE 1.01,2.01,5.03,9.01 06/27/13
CLAIRES STORES INC DE 5.02,9.01 06/28/13
CLEAN DIESEL TECHNOLOGIES INC DE 1.01,3.02,8.01,9.01 06/28/13
CNS RESPONSE, INC. DE 1.01,3.02 06/17/13
COATES INTERNATIONAL LTD \DE\ DE 8.01 06/28/13
CODESMART HOLDINGS, INC. FL 7.01 07/03/13
COMMUNITY BANK SHARES OF INDIANA INC IN 2.01,9.01 04/19/13 AMEND
Cornerstone Core Properties REIT, Inc MD 1.01,2.01,2.03,9.01 07/02/13
CRAILAR TECHNOLOGIES INC A1 7.01,9.01 07/03/13
CRAY INC WA 8.01,9.01 07/03/13
Cryoport, Inc. NV 5.02,9.01 06/28/13
CTS CORP IN 5.02 07/03/13
CURIS INC DE 1.01,9.01 07/03/13
Customers Bancorp, Inc. PA 4.01,9.01 07/02/13
CYTEC INDUSTRIES INC/DE/ DE 1.01,2.03,9.01 06/28/13
DEERE & CO DE 7.01 07/03/13
DEPOMED INC CA 8.01 06/28/13
DILLARDS INC DE 1.01,9.01 07/01/13
DILLARDS INC DE 1.01,9.01 07/01/13
DUCOMMUN INC /DE/ DE 5.02 07/01/13
EMC METALS CORP. A1 2.01 07/01/13
EMMAUS LIFE SCIENCES, INC. DE 8.01,9.01 06/27/13
ENERGY FOCUS, INC/DE DE 1.01,1.02, 06/28/13
2.03,3.02,9.01
Entia Biosciences, Inc. NV 1.01,9.01 06/11/13
Epizyme, Inc. DE 5.02 07/01/13
ERF Wireless, Inc. NV 1.01,9.01 07/02/13
Evercore Partners Inc. DE 8.01 06/27/13
FARMER BROTHERS CO CA 8.01 07/01/13
FASTENAL CO MN 7.01 07/03/13
Federal Home Loan Bank of Boston X1 2.03 06/27/13
Federal Home Loan Bank of Dallas 2.03,9.01 06/27/13
Federal Home Loan Bank of San Francis X1 5.02 06/27/13
FIRST FEDERAL BANCSHARES OF ARKANSAS AR 1.01,9.01 07/01/13
FIRST MERCHANTS CORP IN 8.01 07/03/13
FIRST PACTRUST BANCORP INC MD 1.01,2.01, 07/01/13
3.02,3.03,5.03,9.01
FLEETCOR TECHNOLOGIES INC DE 5.02 06/27/13
FLORIDA GAMING CORP DE 8.01 06/27/13
Flux Power Holdings, Inc. NV 5.02,8.01,9.01 06/28/13
FORWARD INDUSTRIES INC NY 1.01,3.03,5.03,9.01 06/28/13
Fuelstream INC DE 5.02 06/29/13
Galena Biopharma, Inc. 5.07 06/28/13
GASTAR EXPLORATION LTD 1.01,7.01,9.01 07/03/13
GelTech Solutions, Inc. DE 5.02 06/27/13
General Motors Co 8.01 07/02/13
GenMark Diagnostics, Inc. DE 4.01,9.01 06/27/13
GENTEX CORP MI 5.02,9.01 07/02/13
GIGA TRONICS INC CA 1.01,3.02, 06/27/13
3.03,5.03,9.01
GLOBAL CASINOS INC UT 3.02 06/28/13
GLOBAL CASINOS INC UT 8.01,9.01 06/13/13
GLOBAL PARTNERS LP 5.02,9.01 06/27/13
Green Endeavors, Inc. UT 5.02,8.01,9.01 06/27/13
GREIF INC DE 5.02 07/01/13
GUESS INC DE 5.07 06/27/13
GULF ISLAND FABRICATION INC LA 5.02 07/01/13
HALOZYME THERAPEUTICS INC DE 8.01,9.01 07/03/13
HAMPSHIRE GROUP LTD DE 1.01,5.02,9.01 07/01/13
HAYNES INTERNATIONAL INC DE 7.01,9.01 07/02/13
HAYNES INTERNATIONAL INC DE 7.01,9.01 07/02/13
HEALTH DISCOVERY CORP 2Q 8.01 07/03/13
Hedge Fund Managers (Diversified) LLC DE 7.01 07/03/13
HINTO ENERGY, INC WY 7.01,9.01 07/02/13
HomeStreet, Inc. WA 7.01,9.01 07/01/13
HOOPER HOLMES INC NY 5.02 06/28/13
HORNBECK OFFSHORE SERVICES INC /LA DE 1.01,3.03, 07/01/13
5.03,7.01,9.01
HOST HOTELS & RESORTS, INC. MD 5.02 07/01/13
Hyatt Hotels Corp DE 8.01 07/01/13
Inca Global, Inc DE 4.01,9.01 07/02/13
Inca Global, Inc DE 4.01,9.01 07/02/13
Inca Global, Inc DE 4.01,9.01 07/02/13
Inca Global, Inc DE 4.01,9.01 07/02/13
Inca Global, Inc DE 4.01,9.01 07/02/13
Inca Global, Inc DE 4.01,9.01 07/02/13
Inca Global, Inc DE 4.01,9.01 07/02/13
INFORMATION SYSTEMS ASSOCIATES, INC. FL 5.02 07/01/13
INLAND REAL ESTATE CORP MD 5.07 06/27/13
INREIT Real Estate Investment Trust ND 5.07 06/27/13
Intelligent Living Corp NV 5.02 06/25/13
INTERNATIONAL SPEEDWAY CORP FL 2.02,7.01,8.01,9.01 07/02/13
INTUIT INC DE 1.01,8.01,9.01 07/01/13
ITC Holdings Corp. MI 1.01,1.02,2.03,9.01 07/03/13
ITC Holdings Corp. MI 1.01,1.02,2.03,9.01 07/03/13
IVANHOE ENERGY INC 7.01,9.01 07/03/13
JDS UNIPHASE CORP /CA/ DE 5.02 06/28/13
JOE'S JEANS INC. DE 1.01,9.01 06/28/13
JOE'S JEANS INC. DE 1.01,9.01 06/28/13
Jones Lang LaSalle Income Property Tr MD 8.01 07/02/13
KBS Real Estate Investment Trust II, MD 8.01 06/21/13
KCG Holdings, Inc. DE 5.02,9.01 07/03/13
Kenergy Scientific, Inc. NJ 5.02,5.03,8.01,9.01 06/26/13
KMG CHEMICALS INC TX 8.01,9.01 07/01/13
KRATOS DEFENSE & SECURITY SOLUTIONS, DE 5.02 07/01/13
LACLEDE GROUP INC MO 5.02 06/28/13
LAKELAND INDUSTRIES INC DE 8.01 06/30/13
LED Lighting Co DE 5.06,9.01 06/01/13
Life Care Medical Devices Ltd NV 1.01 06/27/13
LIME ENERGY CO. DE 7.01,9.01 07/02/13
LIONBRIDGE TECHNOLOGIES INC /DE/ DE 5.02,8.01 06/28/13
Lone Star Gold, Inc. NV 1.01,9.01 06/27/13
LPATH, INC NV 7.01,9.01 07/03/13
MAGICJACK VOCALTEC LTD L3 2.02 07/03/13
MARINEMAX INC DE 1.01,2.03,9.01 06/28/13
MARTHA STEWART LIVING OMNIMEDIA INC DE 1.01,5.02,9.01 07/02/13
Mattersight Corp DE 5.02,9.01 07/01/13
MERRILL LYNCH DEPOSITOR INC INDEXPLUS DE 8.01,9.01 06/20/13
MEXCO ENERGY CORP CO 2.02,9.01 07/02/13
MFRI INC DE 5.02 06/27/13
MICROSOFT CORP WA 5.02 06/25/13
Midwest Energy Emissions Corp. DE 1.01,9.01 06/27/13
MILLER ENERGY RESOURCES, INC. TN 8.01,9.01 06/24/13
MISSION COMMUNITY BANCORP CA 5.02,9.01 07/02/13
MITEL NETWORKS CORP 7.01,9.01 07/02/13
MKS INSTRUMENTS INC MA 5.02 07/03/13
MKS INSTRUMENTS INC MA 5.02 07/03/13
ML Winton FuturesAccess LLC DE 3.02 06/28/13
MOBIVITY HOLDINGS CORP. NV 3.02 06/27/13
MOLINA HEALTHCARE INC DE 7.01,9.01 07/03/13
Molycorp, Inc. DE 5.07 06/27/13
Monarchy Resources, Inc. NV 5.02 06/27/13
Monarchy Resources, Inc. NV 5.02 06/27/13
Monarchy Resources, Inc. NV 5.02 06/27/13
Monarchy Resources, Inc. NV 5.02 06/27/13
Monarchy Resources, Inc. NV 5.02 06/27/13
Monarchy Resources, Inc. NV 5.02 06/27/13
Monarchy Resources, Inc. NV 5.02 06/27/13
Monarchy Resources, Inc. NV 5.02 06/27/13
Monarchy Resources, Inc. NV 5.02 06/27/13
MUNICIPAL MORTGAGE & EQUITY LLC DE 2.01,7.01,8.01,9.01 07/01/13
MUSTANG ALLIANCES, INC. 1.01,2.03,3.02,9.01 06/28/13
NATIONAL PRESTO INDUSTRIES INC WI 8.01,9.01 07/01/13
NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 8.01,9.01 06/27/13
Nationstar Mortgage Holdings Inc. DE 2.01 07/01/13
Net Element International, Inc. E9 1.01,9.01 06/27/13
NEWS Corp DE 1.01,5.02, 06/27/13
5.03,8.01,9.01
NEWS Corp DE 9.01 07/03/13 AMEND
NGL Energy Partners LP DE 8.01,9.01 07/01/13
NOBLE ROMANS INC IN 5.07 07/02/13
NORTH BAY RESOURCES INC DE 2.01 06/28/13
NORTHWEST PIPELINE LLC 1.01,1.02,8.01,9.01 07/01/13
NTELOS HOLDINGS CORP 5.02 07/01/13
NUMEREX CORP /PA/ PA 5.07 07/03/13
NUMEREX CORP /PA/ PA 5.02 07/03/13
NuStar GP Holdings, LLC DE 1.01,2.03,9.01 06/28/13
O REILLY AUTOMOTIVE INC 1.01,9.01 07/02/13
OCZ TECHNOLOGY GROUP INC DE 4.02,9.01 07/01/13
ONLINE DISRUPTIVE TECHNOLOGIES, INC. NV 8.01 07/03/13
OphthaliX, Inc. 1.01,3.02,5.02,9.01 07/01/13
ORCHARD SUPPLY HARDWARE STORES CORP DE 8.01,9.01 07/02/13
Orion Marine Group Inc 8.01 07/03/13
Pacific Green Technologies Inc. DE 1.01,3.02,9.01 06/27/13
PARKWAY PROPERTIES INC MD 2.05 07/01/13
PASSPORT POTASH INC A1 7.01,9.01 07/03/13
PennyMac Mortgage Investment Trust MD 1.01,2.03 06/28/13
Petro River Oil Corp. DE 7.01,9.01 07/03/13
PETROQUEST ENERGY INC DE 1.01,2.01, 07/03/13
2.03,7.01,9.01
PFSWEB INC DE 5.08,8.01,9.01 07/03/13
PIONEER POWER SOLUTIONS, INC. DE 1.01,1.02,2.03,9.01 06/28/13
PLATINUM UNDERWRITERS HOLDINGS LTD D0 1.01,2.03,9.01 07/02/13
PLUG POWER INC DE 5.07 06/28/13
Prologis, Inc. MD 5.02 07/01/13
PROLOR Biotech, Inc. NV 8.01,9.01 07/03/13
Propell Technologies Group, Inc. DE 5.02,8.01,9.01 07/01/13
QUANTUM CORP /DE/ DE 2.05 06/28/13
QUANTUM CORP /DE/ DE 2.05 06/28/13
QUANTUM CORP /DE/ DE 2.05 06/28/13
QUANTUM CORP /DE/ DE 2.05 06/28/13
RadTek, Inc NV 1.01,9.01 07/03/13
REPUBLIC FIRST BANCORP INC PA 4.01,9.01 06/28/13
Restoration Hardware Holdings Inc DE 5.02,7.01,9.01 07/02/13
Restoration Hardware Holdings Inc DE 8.01 07/02/13
RICHFIELD OIL & GAS Co NV 8.01 06/27/13
RLJ ENTERTAINMENT, INC. NV 1.01,2.03 06/27/13
ROCKFORD MINERALS INC /FI 1.01,2.01,3.02, 06/28/13
4.01,5.01,5.02,
5.03,5.06,9.01
rue21, inc. DE 8.01,9.01 07/03/13
SAIC, Inc. 7.01 07/03/13
SAIC, Inc. 1.01,9.01 06/27/13
Sandfield Ventures Corp. NV 5.03,9.01 06/12/13
Sarepta Therapeutics, Inc. DE 1.01,8.01,9.01 07/03/13
SCG Financial Acquisition Corp. DE 9.01 04/19/13 AMEND
Selway Capital Acquisition Corp. DE 4.01,9.01 06/28/13
SL GREEN REALTY CORP MD 5.02,9.01 06/27/13
SMTC CORP DE 8.01 07/03/13
SOUNDBITE COMMUNICATIONS INC 2.01,3.01,3.03, 07/03/13
5.01,5.02,5.03,9.01
SPEEDEMISSIONS INC FL 5.02 07/01/13
SPHERIX INC DE 5.02 06/28/13
SQN AIF IV, L.P. 8.01 06/28/13
STANLEY BLACK & DECKER, INC. CT 1.01,2.03,8.01,9.01 06/27/13
STARWOOD PROPERTY TRUST, INC. 2.03,8.01,9.01 07/03/13
STEINWAY MUSICAL INSTRUMENTS INC DE 1.01 06/30/13 AMEND
STEPAN CO DE 1.01,2.03,9.01 06/27/13
STONE ENERGY CORP DE 5.02 06/28/13
STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 07/01/13
STRUCTURED PRODUCTS CORP CRED ENHANCE DE 8.01,9.01 07/01/13
STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 07/01/13
Summit Midstream Partners, LP DE 5.02,9.01 07/03/13
SUPERFUND GOLD, L.P. DE 4.01 06/27/13
SUPERFUND GREEN, L.P. J5 4.01 06/27/13
TAL International Group, Inc. DE 1.01,2.03 07/02/13
Targeted Medical Pharma, Inc. 1.01,9.01 06/28/13
TC PIPELINES LP DE 1.01,2.03,9.01 07/02/13
TC PIPELINES LP DE 2.01,7.01,9.01 07/01/13
TECH DATA CORP FL 1.01,2.03 06/27/13
TECOGEN INC. 1.01,5.07 06/27/13
TESORO LOGISTICS LP DE 2.01,9.01 06/19/13 AMEND
TF FINANCIAL CORP PA 2.01,8.01,9.01 07/02/13
THQ INC DE 8.01,9.01 06/26/13
TOA Holdings, Inc. 4.01 06/29/13
Tongji Healthcare Group, Inc. NV 4.01,9.01 06/28/13
Touchpoint Metrics, Inc. CA 3.02,7.01,9.01 07/02/13
TRAILBLAZER RESOURCES INC. NV 8.01 07/02/13
TransDigm Group INC DE 1.01,2.03,7.01,9.01 07/01/13
TRANZYME INC DE 3.01 07/02/13
TRIPLE-S MANAGEMENT CORP 1.01,8.01,9.01 06/27/13
True Drinks Holdings, Inc. NV 1.01,2.03,3.02,9.01 06/20/13
Truven Health Analytics Inc. DE 5.02,8.01 07/03/13
TWENTY-FIRST CENTURY FOX, INC. 1.01,2.01, 06/28/13
5.03,8.01,9.01
UNITED STATES ANTIMONY CORP MT 1.01,3.02,9.01 06/28/13
UROPLASTY INC MN 3.01,9.01 07/02/13
US AIRWAYS GROUP INC DE 2.02,9.01 07/03/13
US AIRWAYS GROUP INC DE 2.02,9.01 07/03/13
Vacation Home Swap, Inc. NV 1.02,8.01 06/30/13
VICTORY ENERGY CORP NV 4.01,9.01 06/27/13
ViewPoint Financial Group Inc. 5.02,9.01 07/03/13
VISCOUNT SYSTEMS INC NV 8.01 07/01/13
VITRAN CORP INC A6 5.02,9.01 06/28/13
Vringo Inc DE 8.01 07/03/13
WADDELL & REED FINANCIAL INC DE 1.01,1.02,2.03,9.01 06/28/13
WALTER INVESTMENT MANAGEMENT CORP MD 1.01,9.01 07/01/13
WAVE SYSTEMS CORP DE 3.03,5.03,8.01,9.01 06/28/13
WebSafety, Inc. NV 3.02,5.01 07/03/13
WELLS FARGO & COMPANY/MN DE 9.01 07/03/13
WFN CREDIT CO LLC 1.01,9.01 06/28/13
WireCo WorldGroup Inc. 1.01,9.01 07/01/13
WMX Group Holdings, Inc. FL 1.01,2.01, 04/29/13 AMEND
3.02,5.02,8.01,9.01
XO GROUP INC. DE 5.02,9.01 06/28/13
ZIONS BANCORPORATION /UT/ UT 9.01 07/03/13
ZYNGA INC DE 1.01,5.02,9.01 06/27/13
http://www.sec.gov/news/digest/2013/dig070513.htm
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