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ENFORCEMENT PROCEEDINGSCommission Sets Aside NASDAQ Delisting DecisionThe Securities and Exchange Commission (Commission) has set aside a decision by The NASDAQ Stock Market, LLC delisting the common stock of CleanTech Innovations, Inc. from the NASDAQ Capital Market. NASDAQ based its delisting decision on its finding that CleanTech intentionally withheld documents requested by NASDAQ staff while the staff was considering CleanTech's application to list its shares. The Commission recognized that NASDAQ has broad discretion in determining whether to permit a security's initial or continued listing, but it found that the record does not show that the grounds on which NASDAQ relied in delisting CleanTech exist in fact. The Commission therefore set aside the delisting decision. (Rel. 34-69968; File No. 3-14640) Commission Obtains Final Judgments against Martin C. Hartmann III and Laura Ann TordyThe Commission announced today that on July 9, 2013, the Honorable Denis R. Hurley of the United States District Court for the Eastern District of New York entered final judgments by consent against defendants Martin C. Hartmann III and Laura Ann Tordy, sales agents for Agape World, Inc. (“Agape”), an offering fraud and Ponzi scheme that raised $415 million from at least 5,000 investors nationwide. The final judgment as to Hartmann permanently enjoins Hartmann from violating Sections 5 and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, and requires him to pay $3,591,388 in disgorgement, $560,932 in prejudgment interest, and a civil penalty of $3,594,818. The final judgment as to Tordy permanently enjoins Tordy from violating the same provisions of the federal securities laws as Hartmann, and requires her to pay $1,048,485 in disgorgement, $163,761 in prejudgment interest, and a civil penalty of $1,048,485. In its complaint, the Commission alleged that Hartmann worked as a sales agent for Agape from at least September 2006 to January 2009 and Tordy worked as a sales agent for Agape from at least February 2007 to January 2009. The complaint alleges Hartmann and Tordy each made misrepresentations to investors concerning the Agape investments they sold and sold the Agape investments despite the incredible returns promised by Agape, their knowledge of previous defaults by Agape, and dire warnings from Agape’s president about Agape’s financial condition. The complaint further alleged the Agape investments were a sham with, at best, a small fraction of investor funds used as represented; the Agape investments were neither registered with the Commission nor exempt from registration; and, neither Hartmann nor Tordy was associated with a registered broker or dealer while selling them. The Commission acknowledges the assistance of the U.S. Attorney’s Office for the Eastern District of New York, United States Postal Inspection Service, Federal Bureau of Investigation, and Commodity Futures Trading Commission. (LR-22748) In the Matter Of David KugelThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act, Making Findings and Imposing Remedial Sanctions (“Order”) against David Kugel (“Kugel”). In the Order, the Commission finds that on November 21, 2011, Kugel pled guilty to securities fraud, falsifying records of an investment adviser, falsifying records of a broker-dealer, bank fraud, and conspiracy to commit securities fraud, to falsify records of a broker-dealer, and to falsify records of an investment adviser, before the United States District Court for the Southern District of New York, in United States v. David Kugel, Crim. Information No. S4 10 CR 228. The counts of the criminal information to which Kugel pled guilty alleged, inter alia, that beginning in or about the 1970s, Respondent provided historical information to other BMIS employees from which they created fake trades for the firm’s investment advisory clients. The Commission also finds in the Order that on November 28, 2011, a final judgment was entered by consent against Kugel, permanently enjoining him from (a) violating or aiding and abetting violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, (b) violating or aiding and abetting violations of Sections 206(1) and 206(2) of the Advisers Act, (c) aiding and abetting violations of Sections 15(c) and 17(a) of the Exchange Act and Rules 10b-3 and 17a-3 thereunder, and (d) aiding and abetting violations of Section 204 of the Advisers Act and Rule 204-2 thereunder in the civil action entitled Securities and Exchange Commission v. David Kugel, Civil Action Number 11-CV-8434, in the United States District Court for the Southern District of New York. The Commission’s Complaint alleged that, from the 1970s to 2008, Kugel knowingly participated in the creation of false account statements supplied to BMIS’s clients. The Complaint also alleged that Kugel helped create fictional trades that were recorded on trade tickets, trade confirms, and client account statements, and aided and abetted the fraud that Bernard Madoff and BMIS perpetrated on BMIS’s investment advisory (“IA”) clients for decades. Based on the above, the Order bars Kugel from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and bars Kugel from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. (Rel. 34-69969; File No. 3-15374) Serial Fraudster Matthew J. Gagnon Sentenced to Five Years in Prison.The Commission announced that on July 9, 2013, the Honorable Mark A. Goldsmith of the United States District Court for the Eastern District of Michigan sentenced Matthew J. Gagnon to five years of incarceration followed by three years of supervised release and ordered Gagnon to pay over $4.4 million in restitution to his victims. Gagnon, 45, of Portland, Oregon, pleaded guilty to one count of criminal securities fraud for promoting a securities offering without fully disclosing the amount of his compensation in connection with his promotion of the $72 million Legisi Ponzi scheme in 2006 and 2007, in violation of Section 17(b) of the Securities Act of 1933. The criminal charges arose out of the same facts that were the subject of a civil injunctive action that the SEC filed against Gagnon on May 11, 2010. The SEC's complaint alleged that since 1997, Gagnon had billed himself as an Internet business opportunity expert and his website as "the world’s first and largest opportunity review website." According to the SEC’s complaint, from January 2006 through approximately August 2007, Gagnon helped orchestrate a massive Ponzi scheme conducted by Gregory N. McKnight and his company, Legisi Holdings, LLC, which raised a total of approximately $72 million from over 3,000 investors by promising returns of upwards of 15% a month. The complaint also alleged that Gagnon promoted Legisi but in doing so misled investors by claiming, among other things, that he had thoroughly researched McKnight and Legisi and had determined Legisi to be a legitimate and safe investment. The complaint alleged that Gagnon had no basis for the claims he made about McKnight and Legisi. Gagnon also failed to disclose to investors that he was to receive 50% of Legisi's purported "profits" under his agreement with McKnight. According to the complaint, Gagnon received a net of approximately $3.8 million in Legisi investor funds from McKnight for his participation in the scheme. The SEC's complaint further alleged that beginning in August 2007, Gagnon fraudulently offered and sold securities representing interests in a new company that purportedly was to develop resort properties. The complaint alleged that Gagnon, among other things, falsely claimed that the investment was risk-free and "SEC compliant," and guaranteed a 200% return in 14 months. In reality, however, Gagnon sent the money to a twice-convicted felon, did not register the investment with the SEC, and knew such an outlandish return was impossible. Gagnon took in at least $361,865 from 21 investors. The SEC's complaint also alleged that in April 2009, Gagnon began promoting a fraudulent offering of interests in a purported Forex trading venture. Gagnon guaranteed that the venture would generate returns of 2% a month or 30% a year for his investors. Gagnon's claims were false, and he had had no basis for making them because Gagnon never reviewed his friend’s trading records before promoting the offering, which would have shown over $150,000 in losses over the previous nine months. The SEC's complaint charged Gagnon with violating Sections 5(a), 5(c), 17(a) and 17(b) of the Securities Act of 1933 and Sections 10(b) and 15(a)(1) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The complaint sought preliminary and permanent injunctions, disgorgement, and civil penalties from Gagnon. On May 24, 2010, the SEC obtained an emergency order freezing Gagnon’s assets and other preliminary relief. Subsequently, on August 6, 2010, the Court granted an order of preliminary injunction against Gagnon pursuant to his consent. On March 22, 2012, the Court granted the SEC’s motion for summary judgment and entered a final judgment against Gagnon. The Court found that Gagnon violated the registration, anti-fraud, and anti-touting provisions of the federal securities laws. The Court’s final judgment against Gagnon permanently enjoined him from future violations of Sections 5(a), 5(c), 17(a) and 17(b) of the Securities Act of 1933 and Sections 10(b) and 15(a)(1) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and ordered Gagnon to pay $3,613,259 in disgorgement, $488,570.47 in prejudgment interest, and a $100,000 civil penalty. On May 2, 2012, the SEC instituted related administrative proceedings against Gagnon to determine what, if any, remedial action was appropriate and in the public interest. On July 31, 2012, the SEC issued an Order Making Findings and Imposing Sanctions by Default barring Gagnon from association with any broker or dealer. (LR-22749) In the Matter of Eric LipkinThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act, Making Findings and Imposing Remedial Sanctions (“Order”) against Eric Lipkin (“Lipkin”). In the Order, the Commission finds that on June 6, 2011, Lipkin pleaded guilty before the United States District Court for the Southern District of New York, to one count of falsifying, and one count of conspiracy to falsify, records of a broker-dealer, to falsify records of an investment adviser. Lipkin also pleaded guilty to one count of bank fraud, and one count of conspiracy to commit bank fraud, and one count of false statements to facilitate a theft concerning ERISA, and conspiracy to falsify statements to facilitate a theft concerning ERISA. United States v. Lipkin, Crim. Information No. 1:10-cr-228-LTS. The counts of the criminal information to which Lipkin pleaded guilty alleged, inter alia, that Lipkin created false statements related to investment accounts at BMIS, fake DTC reports, and false payroll books and records. The Commission also finds in the Order that on June 14, 2011 a Partial Judgment on Consent Imposing Permanent Injunction was entered by consent against Lipkin, permanently enjoining him from future violations, and from aiding and abetting future violations, of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, Section 15(c) of the Exchange Act and Rule 10b-3 thereunder, Section 17(a) of the Exchange Act and Rule 17a-3 thereunder, and Sections 206(1), 204 and 206(2) of the Advisers Act and Rule 204-2 thereunder, in the civil action entitled Securities and Exchange Commission v. Eric Lipkin, Civil Action Number 11 CV 3826 (LTS), in the United States District Court for the Southern District of New York. The Commission’s Complaint alleges that as an employee in the investment advisory operations, Lipkin assisted BMIS employees with carrying out Madoff’s entirely fictitious “split-strike conversion” strategy that BMIS claimed to be pursuing on behalf of its clients. The Complaint further alleges that Lipkin also made repeated material misrepresentations to a group of non-split-strike investors and created false records of the investors’ account holdings, and that in so doing, Lipkin prepared numerous fictitious account statements and other documents that he knew or was reckless in not knowing would be shown to investors. The Complaint also alleges that Lipkin aided and abetted other books and records violations by creating, at Madoff’s direction, numerous fake Depository Trust Clearing Corporation (“DTCC”) reports that he knew would be used to mislead auditors and regulators and by processing payroll records for “no-show” employees. Based on the above, the Order bars Lipkin from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and bars Lipkin from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. (Rel. 34-69971; File No. 3-15375) In the Matter Of Enrica Cotellessa-PitzThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act, Making Findings and Imposing Remedial Sanctions (“Order”) against Enrica Cotellessa-Pitz (“Cotellessa-Pitz”). In the Order, the Commission finds that on December 19, 2011, Cotellessa-Pitz pled guilty before the United States District Court for the Southern District of New York, to falsifying the records of a broker-dealer, to falsifying the records of an investment adviser, to causing the filing of false documents with the Commission, and conspiring to falsify the records of a broker-dealer, to falsify records of an investment adviser, and causing the filing of false documents with the Commission. United States v. Cotellessa-Pitz, Crim. Information No. 1:10-cr-228-LTS. The counts of the criminal information to which Cotellessa-Pitz pleaded guilty alleged, inter alia , that she created false and misleading entries in the books and records of BMIS and in reports filed with the SEC. The criminal information alleged that these false and misleading entries were used to disguise transfers of funds from BMIS’s Investment Advisory (“IA”) business to BMIS’s market making and proprietary trading operations, and that the transfers made the market making and proprietary trading operations of BMIS appear profitable when they were not. The Commission also finds in the Order that on January 12, 2012, a Partial Judgment on Consent Imposing Permanent Injunction was entered by consent against Partial Judgment on Consent Imposing Permanent Injunction was entered by consent against Cotellessa-Pitz, permanently enjoining her from future violations of Section 17(a) of the Securities Exchange Act of 1934 and Rules 17a-3, 17a-4, and 17a-5 thereunder, and Section 204 of the Investment Advisers Act of 1940 and Rule 204-2 thereunder, in the civil action entitled Securities and Exchange Commission v. Enrica Cotellessa-Pitz, Civil Action Number 11 CV 9302 (LTS), in the United States District Court for the Southern District of New York. The Commission’s complaint alleged that Cotellessa-Pitz, who worked at BMIS for more than 30 years, assisted in falsifying BMIS’s internal accounting records in order to misclassify hundreds of millions of dollars of income purportedly generated by BMIS’s investment advisory operations. The Complaint also alleged that Cotellessa-Pitz falsified financial statements filed with the SEC and other regulators as well as materials that were prepared to mislead SEC staff examiners, federal and state tax auditors, and other external reviewers. Based on the above, the Order bars Cotellessa-Pitz from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and bars Cotellessa-Pitz from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. (Rel. 34-69973; File No. 3- 15376) Commission Bars Alfred Clay Ludlum III Following His Injunction for Anti-Fraud Violations of the Securities LawsThe Commission has barred Alfred Clay Ludlum III, a registered investment adviser and the founder, president, and sole control person of Printz Capital Management, LLC, Printz Financial Group, Inc., and PCM Global Holdings, LLC, from association with any investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The Commission found that Ludlum agreed, among other things, to be permanently enjoined from future violations of the antifraud provisions of the federal securities laws. Based on the circumstances underlying that injunction, the Commission determined that the public interest required a full securities industry bar, noting that Ludlum defrauded investors—including several to whom he owed a fiduciary duty—out of approximately $850,000 and that he subsequently attempted to mislead regulators and thwart their investigations. The Commission concluded that an industry-wide bar was necessary because "Ludlum's repeated and egregious misconduct evidences an unfitness to participate in the securities industry that goes beyond just the professional capacity in which Ludlum was acting when he engaged in the misconduct underlying these proceedings." Commissioners Paredes and Gallagher concurred in the Commission's decision, but dissented with respect to Commission's decision to bar Ludlum from association with municipal advisors and nationally recognized statistical rating organizations. (IA-3628; File No. 3-14572) INVESTMENT COMPANY ORDERSGuggenheim Funds Investment Advisors, LLC, et al.An order has been issued on an application filed by Guggenheim Funds Investment Advisors, LLC, et al. The order permits: (a) series of certain open-end management investment companies 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 supersedes prior orders as described in the application. (IC-30598) Transparent Value Trust, et al.An order has issued on an application filed by Transparent Value Trust, et al. The order permits: (a) series of certain open-end management investment companies 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. (IC-30596) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeThe Chicago Mercantile Exchange Inc. (CME) filed a proposed rule change (File No. SR-CME-2013-09) under Section 19(b)(1) of the Securities Exchange Act of 1934 regarding interest rate swap clearing changes. Publication is expected in the Federal Register during the week of July 15th, 2013. (Rel. 34-69956) The Chicago Mercantile Exchange Inc. (CME) filed a proposed rule change (File No. SR-CME-2013-10) under Section 19(b)(1) of the Securities Exchange Act of 1934 regarding a change to interest rate swap margin calculation parameters. Publication is expected in the Federal Register during the week of July 15th, 2013. (Rel. 34-69957) A proposed rule change filed by NASDAQ OMX PHLX LLC to eliminate Section I pricing for select symbols (SR-Phlx-2013-71) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 15th, 2013. (Rel. 34-69958) A proposed rule change filed by the New York Stock Exchange LLC (“NYSE”) (SR-NYSE-2013-49) to amend several NYSE rules to reflect changes to the rules and adopt guidance of the Financial Industry Regulatory Authority has become effective pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 15th, 2013. (Rel. 34-69963) Notice of Designation of Longer Period for Commission Action on a Proposed Rule ChangeThe Commission has designated a longer period for Commission action, pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, on a proposed rule change (SR-CBOE-2013-054) filed by Chicago Board Options Exchange, Incorporated to amend Rule 6.42. Publication is expected in the Federal Register during the week of July 15th, 2013. (Rel. 34-69961) Notice of Filing of an Advance NoticeThe Options Clearing Corporation (OCC) filed an advance notice (SR-OCC-2013-804) 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, in connection with a proposed change to its operations in the form of a private offering by OCC of senior unsecured debt securities. Publication is expected in the Federal Register during the week of July 15th, 2013. (Rel. 34-69955) SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-1 Green Automotive Co, 23 CORPORATE PLACE, SUITE 150, NEWPORT BEACH, CA,
92660, 877-449-8842 - 25,000,000 ($6,000,000.00) Equity,
(File 333-189874 - Jul. 10) (BR. 05A)
S-8 ProPhase Labs, Inc., 621 N. SHADY RETREAT ROAD, DOYLESTOWN, PA, 18901,
2153450919 - 875,000 ($1,312,500.00) Equity, (File 333-189875 -
Jul. 10) (BR. 01B)
S-1 Caesars Acquisition Co, ONE CAESARS PALACE DRIVE, LAS VEGAS, NV, 89109,
702-407-6000 - 0 ($1,182,000,000.00) Equity, (File 333-189876 -
Jul. 10) (BR. 08C)
S-8 NOODLES & Co, 520 ZANG ST., SUITE D, BROOMFIELD, CO, 80021,
7202141921 - 0 ($31,076,643.00) Equity, (File 333-189877 - Jul. 10)
(BR. 05B)
S-8 NOODLES & Co, 520 ZANG ST., SUITE D, BROOMFIELD, CO, 80021,
7202141921 - 0 ($171,182,380.25) Equity, (File 333-189878 - Jul. 10)
(BR. 05B)
F-3 Transition Therapeutics Inc., 101 COLLEGE STREET, SUITE 220, TORONTO,
A6, M5G 1L7, 416-260-7770 - 0 ($50,000,000.00) Equity,
(File 333-189879 - Jul. 10) (BR. 01A)
S-8 RESEARCH IN MOTION LTD, 295 PHILLIP ST, WATERLOO, ONTARIO CANADA, A6,
00000, 5198887465 - 800,000 ($7,664,000.00) Equity, (File 333-189880 -
Jul. 10) (BR. 11A)
S-8 ALCOA INC, 201 ISABELLA ST, ALCOA CORPORATE CTR, PITTSBURGH, PA,
15212-5858, 4125532576 - 0 ($425,700,000.00) Equity, (File 333-189882 -
Jul. 10) (BR. 06B)
S-8 NanoString Technologies Inc, 530 FAIRVIEW AVENUE NORTH, SUITE 2000,
SEATTLE, WA, 98109, 206-378-6266 - 0 ($22,430,227.00) Equity,
(File 333-189883 - Jul. 10) (BR. 01A)
S-8 Neptune Technologies & Bioressources Inc.,
545 PROMENADE DU CENTROPOLIS, SUITE 100, LAVAL, A8, H7T 0A3,
(450) 687-2262 - 0 ($12,120,000.00) Equity, (File 333-189884 - Jul. 10)
(BR. 01B)
S-1 LabStyle Innovations Corp., GIBOR SPORT TOWER (23RD FLOOR),
7 MENAHEM BEGIN ST., RAMAT GAN, L3, 52681, (972)-(3)-6222929 -
0 ($25,536,646.52) Equity, (File 333-189885 - Jul. 10) (BR. 10B)
S-4 Ameris Bancorp, 24 2/ND/ AVENUE, MOULTRIE, GA, 31768, 9128901111 -
0 ($16,906,105.00) Equity, (File 333-189886 - Jul. 10) (BR. 07B)
S-3 Wheeler Real Estate Investment Trust, Inc., RIVERSEDGE NORTH,
2529 VIRGINIA BEACH BLVD., SUITE 200, VIRGINIA BEACH, VA, 23452,
757-627-9088 - 0 ($3,501,800.00) Equity, (File 333-189887 - Jul. 10)
(BR. 08C)
F-3 ROYAL BANK OF CANADA, ROYAL BANK PLAZA, 200 BAY STREET, TORONTO, A6,
M5J2J5, 2128587116 - 25,000,000,000 ($25,000,000,000.00) Debt,
(File 333-189888 - Jul. 10) (BR. 12A)
S-4 EARTHLINK INC, 1375 PEACHTREE STREET, SUITE 400, ATLANTA, GA, 30309,
4048150770 - 0 ($300,000,000.00) Other, (File 333-189889 - Jul. 10)
(BR. 03A)
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
Acacia Diversified Holdings, Inc. TX 1.01,2.01,5.02, 07/10/13
7.01,9.01
ACTIVECARE, INC. DE 7.01,9.01 07/10/13
ADTRAN INC DE 2.02,9.01 07/09/13
ALBEMARLE CORP VA 5.03,9.01 07/10/13
ALLEGHENY TECHNOLOGIES INC DE 1.01,8.01,9.01 07/09/13
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 07/10/13
Allied Nevada Gold Corp. DE 5.02,9.01 07/08/13
AMARIN CORP PLC\UK X0 1.01,8.01,9.01 07/08/13
American Copper Corp. NV 1.01,3.02,9.01 07/03/13
AMERICAN CRYSTAL SUGAR CO /MN/ MN 7.01 07/09/13
American Exploration Corp NV 1.01,3.02,9.01 07/09/13
AMERICAN RIVER BANKSHARES CA 7.01,9.01 07/10/13
AMERICAN SAFETY INSURANCE HOLDINGS LT 8.01,9.01 07/10/13
AMKOR TECHNOLOGY INC DE 5.02,8.01,9.01 07/10/13
APOLLO GROUP INC AZ 8.01 07/09/13
ARES CAPITAL CORP MD 7.01,9.01 07/10/13
ARRAY BIOPHARMA INC DE 1.01,9.01 07/10/13
Ascent Capital Group, Inc. DE 1.01,7.01,8.01,9.01 07/10/13
Augme Technologies, Inc. DE 2.02,9.01 07/10/13
AZZ INC TX 5.07 07/09/13
BARD C R INC /NJ/ NJ 8.01 07/10/13
BBX CAPITAL CORP FL 5.07 07/09/13
BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 07/10/13
BFC FINANCIAL CORP FL 5.07 07/09/13
Big Three Restaurants, Inc. FL 3.02 07/10/13
Blackstone Group L.P. DE 5.02,9.01 07/09/13
Blue Earth, Inc. NV 3.02,8.01 07/03/13
BLYTH INC DE 1.02,2.04,3.03 07/10/13
BOULDER BRANDS, INC. DE 1.01,1.02,2.03, 07/10/13
8.01,9.01
Bridgepoint Education Inc DE 2.02,7.01,9.01 07/10/13
BRINX RESOURCES LTD 5.02 07/03/13
CANADIAN DERIVATIVES CLEARING CORP A6 9.01 06/30/13
CENTURY BANCORP INC MA 2.02,9.01 07/09/13
CENTURY BANCORP INC MA 8.01,9.01 07/09/13
CHEESECAKE FACTORY INC DE 2.02,9.01 07/10/13
CHEVRON CORP DE 2.02 07/10/13
CHS INC MN 5.02,9.01 07/10/13
CHURCH & DWIGHT CO INC /DE/ DE 3.01 07/09/13
ClubCorp Club Operations, Inc. DE 8.01 07/09/13
CMS Bancorp, Inc. DE 4.01,9.01 07/09/13
CNL Healthcare Properties, Inc. MD 1.01,9.01 07/03/13
COACH INC MD 5.02,9.01 07/10/13
COBIZ FINANCIAL INC CO 8.01,9.01 07/10/13
CODORUS VALLEY BANCORP INC PA 8.01,9.01 07/09/13
CODORUS VALLEY BANCORP INC PA 5.07 05/21/13 AMEND
COMM 2013-CCRE9 Mortgage Trust DE 8.01,9.01 07/10/13
Compass Diversified Holdings DE 8.01,9.01 07/10/13
COMPUWARE CORP MI 5.02 06/26/13
Crescent Financial Bancshares, Inc. 3.01,9.01 07/10/13
CSP INC /MA/ MA 5.07 07/10/13
CVS CAREMARK CORP DE 5.02 07/10/13
Cyclacel Pharmaceuticals, Inc. DE 8.01 07/08/13
DANAHER CORP /DE/ DE 2.02,9.01 07/09/13
DARDEN RESTAURANTS INC FL 8.01,9.01 07/10/13
DEGARO INNOVATIONS CORP. NV 7.01,9.01 07/10/13
DEGARO INNOVATIONS CORP. NV 7.01,9.01 07/10/13
DEPOMED INC CA 5.02 07/06/13
DRINKS AMERICAS HOLDINGS, LTD DE 5.02 07/03/13
DUNKIN' BRANDS GROUP, INC. DE 5.02,9.01 07/08/13
EARTHLINK INC DE 8.01,9.01 07/10/13
EARTHLINK INC DE 8.01,9.01 07/10/13
ELECSYS CORP KS 2.02,9.01 07/10/13
Electromed, Inc. 1.01,9.01 07/08/13
ELECTRONIC CONTROL SECURITY INC NJ 1.01,2.03,9.01 06/28/13
ENDEAVOUR INTERNATIONAL CORP NV 7.01 07/10/13
ENDURANCE SPECIALTY HOLDINGS LTD D0 3.02 05/31/13 AMEND
Ener-Core Inc. NV 1.01,2.01,3.02,4.01, 07/01/13
5.01,5.02,5.03,5.06,
9.01
Enstar Group LTD D0 7.01 07/10/13
EXAR CORP DE 1.01 07/10/13
FAMILY DOLLAR STORES INC DE 2.02,7.01,9.01 07/10/13
FAMILY DOLLAR STORES INC DE 5.02,9.01 07/09/13
FASTENAL CO MN 2.02,9.01 07/10/13
Federal Home Loan Bank of Dallas 2.03,9.01 07/03/13
FONU2 Inc. NV 3.02 07/03/13
Francesca's Holdings CORP 5.07 07/09/13
FS Bancorp, Inc. 5.03,9.01 07/03/13
FUSION-IO, INC. DE 9.01 04/24/13 AMEND
GARDNER DENVER INC DE 2.02,9.01 07/10/13
Global Eagle Entertainment Inc. DE 1.01,7.01,9.01 07/09/13
GLOBAL GOLD CORP DE 1.01,8.01,9.01 07/05/13
GLOBAL POWER EQUIPMENT GROUP INC. DE 7.01,8.01,9.01 07/09/13
GlyEco, Inc. NV 8.01 07/01/13
GOLDEN OASIS NEW ENERGY GROUP, INC. NV 5.03,9.01 06/17/13
Gray Fox Petroleum Corp. NV 1.01,5.02,9.01 07/05/13
GRAY TELEVISION INC GA 8.01,9.01 07/09/13
Great Lakes Dredge & Dock CORP DE 1.01,9.01 07/03/13
HALCON RESOURCES CORP DE 1.01,9.01 07/03/13
HANSEN MEDICAL INC DE 1.01,2.03,8.01,9.01 07/09/13
HEALTHCARE TRUST OF AMERICA, INC. MD 5.07 07/09/13
Heatwurx, Inc. DE 7.01,9.01 07/10/13
HEMISPHERE MEDIA GROUP, INC. DE 7.01,9.01 07/10/13
HENRY SCHEIN INC DE 8.01,9.01 07/10/13
HERCULES OFFSHORE, INC. DE 1.01,2.03,9.01 07/08/13
Home Federal Bancorp, Inc. of Louisia LA 7.01,9.01 07/10/13
HUMANA INC DE 1.01,1.02,2.03,8.01 07/09/13
Hypersolar, Inc. NV 5.02,9.01 07/09/13
IDERA PHARMACEUTICALS, INC. DE 5.02,9.01 07/08/13
INTEGRATED ELECTRICAL SERVICES INC DE 1.01,9.01 07/10/13
IntraLinks Holdings, Inc. DE 8.01,9.01 07/10/13
Invesco Ltd. D0 7.01,9.01 07/10/13
KBS Legacy Partners Apartment REIT, I MD 2.01,9.01 06/07/13 AMEND
KINGSWAY FINANCIAL SERVICES INC A6 7.01,9.01 07/08/13
KLA TENCOR CORP DE 2.02 07/09/13
LAKELAND FINANCIAL CORP IN 7.01 07/09/13
Lantheus Medical Imaging, Inc. DE 1.01 07/03/13
LASERLOCK TECHNOLOGIES INC NV 1.01 07/03/13
LEUCADIA NATIONAL CORP NY 8.01,9.01 07/10/13
LEXINGTON REALTY TRUST MD 7.01 07/09/13
LIFE PARTNERS HOLDINGS INC TX 8.01,9.01 07/10/13
LSB INDUSTRIES INC DE 1.01,2.03 07/03/13
MATERIAL SCIENCES CORP DE 2.02,9.01 07/10/13
MEDISAFE 1 TECHNOLOGIES CORP DE 5.03 07/10/13
MERCER INTERNATIONAL INC. WA 8.01,9.01 07/09/13
MERRIMACK PHARMACEUTICALS INC DE 8.01,9.01 07/10/13
MGT CAPITAL INVESTMENTS INC DE 2.01,9.01 07/03/13
MINDEN BANCORP, INC. LA 7.01,9.01 07/09/13
MONROE CAPITAL Corp MD 5.07 07/09/13
MSC INDUSTRIAL DIRECT CO INC NY 2.02,9.01 07/10/13
MSC INDUSTRIAL DIRECT CO INC NY 2.01,9.01 04/22/13 AMEND
NEWMONT MINING CORP /DE/ DE 2.02,9.01 07/10/13
NovaCopper Inc. A1 2.02,9.01 07/09/13
OAK RIDGE MICRO-ENERGY INC CO 7.01,9.01 07/10/13
OCTAGON 88 RESOURCES, INC. NV 5.02 07/01/13
OLD SECOND BANCORP INC DE 8.01 07/10/13
ONEOK INC /NEW/ OK 7.01,9.01 07/10/13
ONEOK Partners LP DE 7.01,9.01 07/10/13
ORACLE CORP 8.01,9.01 07/10/13
Orchid Island Capital, Inc. MD 8.01,9.01 07/09/13
ORIGINOIL INC NV 3.02 06/26/13
OTELCO INC. DE 8.01 06/18/13 AMEND
PAN AMERICAN GOLDFIELDS LTD DE 5.02 07/03/13
Panex Resources Inc. NV 3.02,8.01 07/09/13
PENFORD CORP WA 2.02,9.01 07/09/13
PHARMACYCLICS INC DE 5.02 07/10/13
PHARMACYCLICS INC DE 8.01,9.01 07/10/13
PHOTOMEDEX INC 8.01 07/10/13
Pinacle Enterprise, Inc. 2M 3.02,3.03,5.03,9.01 07/08/13
Playlogic Entertainment, Inc. DE 8.01 07/10/13 AMEND
PORTLAND GENERAL ELECTRIC CO /OR/ OR 8.01 07/10/13
POSITIVEID Corp DE 1.01,5.02,9.01 07/08/13
PREMIER EXHIBITIONS, INC. FL 2.02,9.01 07/10/13
PRICESMART INC DE 2.02,9.01 07/10/13
PROSPECT GLOBAL RESOURCES INC. NV 1.01,3.02,7.01 07/09/13
ROLLINS INC DE 8.01,9.01 07/10/13
ROMA FINANCIAL CORP X1 4.01,9.01 07/10/13
SALIX PHARMACEUTICALS LTD 8.01,9.01 07/03/13
SBOR, Inc. NV 8.01 07/08/13
SCIQUEST INC DE 1.01,2.03,9.01 07/07/13
SEACOR HOLDINGS INC /NEW/ DE 1.01,9.01 07/10/13
Seven Seas Cruises S. DE R.L. R1 1.01,9.01 07/05/13
Shire plc 8.01,9.01 07/10/13
SM Energy Co DE 7.01,9.01 07/10/13
Soul & Vibe Interactive Inc. NV 7.01,9.01 07/10/13
SPHERIX INC DE 8.01,9.01 07/10/13
Spirit Airlines, Inc. DE 2.02,7.01,9.01 07/10/13
Staffing 360 Solutions, Inc. NY 1.01,3.02 07/02/13
Staffing 360 Solutions, Inc. NY 9.01 04/26/13 AMEND
STEEL DYNAMICS INC IN 8.01,9.01 07/09/13
Steel Excel Inc. DE 1.01,2.03,9.01 07/03/13
STEIN MART INC FL 4.01,9.01 07/10/13
STEWART ENTERPRISES INC LA 8.01,9.01 07/09/13
SUNPOWER CORP DE 1.01,1.02,2.03 07/03/13
Sunvault Energy, Inc. NV 5.02,8.01,9.01 07/09/13
SYNERGETICS USA INC 7.01,9.01 07/10/13
SYNERGY RESOURCES CORP CO 7.01 07/09/13
SYNTROLEUM CORP DE 8.01 07/09/13
TAL International Group, Inc. DE 1.01 07/05/13
TELETOUCH COMMUNICATIONS INC DE 1.01,2.04,2.05,9.01 04/30/13
THERAVANCE INC DE 8.01,9.01 07/10/13
TMX Finance LLC DE 8.01,9.01 07/09/13
TRANSATLANTIC PETROLEUM LTD. 1.01,9.01 07/03/13
TRANSWITCH CORP /DE DE 1.01,2.03,9.01 07/03/13
Triangle Petroleum Corp DE 5.02,9.01 07/04/13
TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 07/10/13
U.S. Auto Parts Network, Inc. DE 3.01,5.07 07/09/13
UCP HOLDINGS, INC. NV 4.01,9.01 07/05/13
UMPQUA HOLDINGS CORP OR 8.01,9.01 07/01/13 AMEND
UNITED STATES STEEL CORP DE 5.02,9.01 07/08/13
USA Compression Partners, LP 5.02 07/03/13
Vantage Drilling CO E9 7.01 07/10/13
Vantage Drilling CO E9 7.01,8.01,9.01 07/10/13
ViewPoint Financial Group Inc. 8.01,9.01 07/10/13
VII Peaks-KBR Co-Optivist Income BDC MD 2.02 07/09/13
WAVE SYSTEMS CORP DE 3.01,9.01 07/09/13
Wireless Attachments, Inc. CO 4.01 07/09/13
WMI HOLDINGS CORP. WA 7.01,9.01 07/10/13
XCEL ENERGY INC MN 7.01 07/10/13
XL GROUP PLC L2 8.01,9.01 07/10/13
YUM BRANDS INC NC 2.02,9.01 07/10/13
ZALE CORP DE 1.01,1.02 07/09/13
Zumiez Inc WA 7.01,9.01 07/10/13
http://www.sec.gov/news/digest/2013/dig071113.htm
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