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Commission announcementsCommission Suspends Trading in the Securities of Five Issuers for Failure to Make Required Periodic FilingsThe Securities and Exchange Commission (Commission) announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on July 18, 2013 and terminating at 11:59 p.m. EDT on July 31, 2013.
The Commission temporarily suspended trading in the securities of these five issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-69999) Commission Suspends Trading in the Securities of Three Issuers for Failure to Make Required Periodic FilingsThe Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on July 18, 2013 and terminating at 11:59 p.m. EDT on July 31, 2013.
The Commission temporarily suspended trading in the securities of these three issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-70001) ENFORCEMENT PROCEEDINGSCommission Orders Hearings on Registration Suspension or Revocation against Five Companies for Failure to Make Required Periodic FilingsIn conjunction with the above trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of five companies for failure to make required periodic filings with the Commission: In the Matter of First Georgia Community Corp., et al., Administrative Proceeding File No. 3-15378
In this Order, the Division of Enforcement (Division) alleges that the five issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-70000; File No. 3-15378) Commission Orders Hearings on Registration Suspension or Revocation against Three Companies for Failure to Make Required Periodic FilingsIn conjunction with the above trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of three companies for failure to make required periodic filings with the Commission: In the Matter of American Technologies Group, Inc., et al., Administrative Proceeding File No. 3-15379
In this Order, the Division of Enforcement (Division) alleges that the three issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-70002; File No. 3-15379) Court Finds Massachusetts-Based Viking Financial Group, Inc. and its Owner Steven Palladino Liable for Violations of the Securities LawsThe Commission announced today that, on July 15, 2013, the federal district court in Massachusetts held that Massachusetts resident Steven Palladino, and his Massachusetts-based company, Viking Financial Group, Inc., committed securities fraud. On April 30, 2013, the Commission filed an emergency enforcement action against the Defendants. In its complaint, the Commission alleged that, since April 2011, Palladino and Viking falsely promised at least 33 investors that their money would be used to conduct the business of Viking – which was to make to short-term, high interest loans to those unable to obtain traditional financing. The Commission also alleged that Palladino misrepresented to investors that the loans made by Viking would be secured by first interest liens on non-primary residence properties and that investors would be paid back their principal, plus monthly interest at rates generally ranging from 7-15%, from payments made by borrowers on the loans. The complaint alleges that, in truth, the Defendants made very few real loans to borrowers, and instead used investors' funds largely to make payments to earlier investors and to pay for the Palladino family's substantial personal expenses, including cash withdrawals and hundreds of thousands of dollars spent on gambling excursions, vacations, luxury vehicles and tuition. The Commission first filed this emergency action on April 30, 2013, seeking a temporary restraining order, asset freeze, and other emergency relief, which the Court granted. After the parties had an opportunity to brief the issues, on July 15, 2013, the Court held that the Commission had established that the Defendants' conduct violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and Section 17(a) of the Securities Act of 1933. The Court further stated that the Commission is entitled to injunctive relief and a temporary order of disgorgement of ill-gotten gains in the amount of at least $3.1 million. The Commission agreed to ascertain whether there are any other possible investors who may have been victims and to submit a final order of disgorgement and a proposed plan of distribution at a later date. The Court also held that imposition of any civil penalties would be determined after a criminal case against the Defendants has been resolved. In the meantime, an order freezing the Defendants' assets remains in place. Individuals who invested with Viking or Palladino since April 2011 and believe they may have been a victim of this fraudulent scheme should contact Deena Bernstein at (617) 573-8813 or bernsteind@sec.gov on or before Friday, August 2, 2013. The Commission acknowledges the assistance of Suffolk County (Massachusetts) District Attorney Daniel F. Conley's Office, which filed related criminal charges against Palladino and Viking in March 2013. [SEC v. Steven Palladino, et al., Civil Action No. 13-11024-DPW] (LR-22752) In the Matter of Jon Harvey DealThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Jon Harvey Deal (Deal). The Order finds that on August 29, 2012, Deal pled guilty to one count of securities fraud in violation of Title 15, United States Code, Sections 78j(b) and 78ff(a) and Title 17, Code of Federal Regulations, Section 240.10b-5 before the United States District Court for the Middle District of Alabama, in United States v. Jon Harvey Deal, Crim. No. 2:12-CR-155-01-MHT. Deal, 55 years old, is a resident of Montgomery, Alabama. From at least November 2007 through at least November 2011, Deal was an associated person of Wilson Price Wealth Management, LLC, an investment adviser registered with the Commission from at least June 2009 through at least April 2012. The count of the criminal information to which Deal pled guilty alleged, inter alia, that Deal, by the use of means and instrumentalities of interstate commerce, willfully employed a device, scheme, and artifice to defraud in connection with the sale of securities. Deal is further alleged, from on or about October 2011, to have written approximately $440,000 in checks from a client's securities account for his own personal benefit, without the authorization or knowledge of the client. On January 2, 2013, a judgment in the criminal case was entered against Deal. He was sentenced to a prison term of 38 months followed by two years of supervised release and ordered to pay an assessment fee in the amount of $100.00. Based on the above, the Order bars Deal from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Deal consented to the issuance of the Order. (IA-3630) Commission OrdersThe Commission issued orders denying the request to withdraw a registration statement under the Securities Act of 1933 to Seaview Resources Inc. (Rel. 33-9419), Tuba City Gold Corp. (Rel. 33-9420), Yuma Resources Inc. (Rel. 33-9421), Bonanza Resources Corp. (Rel. 33-9422), Chum Mining Group Inc. (Rel. 33-9424), Coronation Mining Corp. (Rel. 33-9425), Eclipse Resources Inc. (Rel. 33-9426), Gold Camp Explorations Inc. (Rel. 33-9427), and Goldstream Mining Inc. (Rel. 33-9428). Self-regulatory organizationsNotice of Proposed Rule ChangeMunicipal Securities Rulemaking Board filed a proposed rule change to amend Rule A-3, on membership on the Board, to modify the standard of independence for public Board members (SR-MSRB-2013-06). Publication is expected in the Federal Register during the week of July 22nd. (Rel. 34-70004) The Commission issued notice of a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2013-71), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to list and trade shares of the SPDR SSgA Ultra Short Term Bond ETF; SPDR SSgA Conservative Ultra Short Term Bond ETF; and SPDR SSgA Aggressive Ultra Short Term Bond ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of July 22nd. (Rel. 34-70005) 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-8 ACCESS PHARMACEUTICALS INC, 2600 N STEMMONS FRWY, STE 176, DALLAS, TX, 75207,
2149055100 - 20,000,000 ($3,607,500.00) Equity, (File 333-189985 - Jul. 17)
(BR. 01B)
S-3ASR HEALTHCARE SERVICES GROUP INC, 3220 TILLMAN DRIVE, SUITE 300, BENSALEM, PA, 19020,
2159381661 - 0 ($30,062,489.00) Equity, (File 333-189986 - Jul. 17) (BR. 08B)
S-4 GULFPORT ENERGY CORP, 14313 NORTH MAY AVENUE, SUITE 100, OKLAHOMA CITY, OK, 73134,
4058488807 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-189992 - Jul. 17)
(BR. 04A)
S-1 Medbox, Inc., 8439 WEST SUNSET BLVD., SUITE 101, WEST HOLLYWOOD, CA,
90069, 800-762-1452 - 3,346,450 ($98,922,000.00) Equity,
(File 333-189993 - Jul. 17) (BR. 06A)
S-8 VERIFONE SYSTEMS, INC., 2099 GATEWAY PLACE, SUITE 600, SAN JOSE, CA,
95110, (408) 232-7800 - 9,250,000 ($163,447,500.00) Equity,
(File 333-189994 - Jul. 17) (BR. 03B)
S-3 ORGANOVO HOLDINGS, INC., 6275 NANCY RIDGE DRIVE, SUITE 110, SAN DIEGO, CA, 92121,
858-550-9994 - 0 ($100,000,000.00) Unallocated (Universal) Shelf,
(File 333-189995 - Jul. 17) (BR. 01A)
S-1 SENESCO TECHNOLOGIES INC, 34 CHAMBERS STREET, PO BOX 3303, PRINCETON,
NJ, 08542, 908-864-4444 - 0 ($15,000,000.00) Equity, (File 333-189998 - Jul. 17)
(BR. 01A)
S-8 W. P. Carey Inc., 50 ROCKEFELLER PLAZA, NEW YORK, NY, 10020,
2124921100 - 0 ($160,632,000.00) Equity, (File 333-189999 - Jul. 17)
(BR. 08B)
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
3D SYSTEMS CORP DE 8.01,9.01 07/15/13
99 CENTS ONLY STORES CA 2.02,9.01 07/17/13
ABBOTT LABORATORIES IL 2.02,9.01 07/17/13
ACELRX PHARMACEUTICALS INC DE 2.02 07/17/13
ACNB CORP PA 8.01,9.01 07/16/13
ACTIVECARE, INC. DE 1.01,3.02,9.01 07/15/13
ALBEMARLE CORP VA 2.02,9.01 07/17/13
ALLIANCE ONE INTERNATIONAL, INC. VA 2.02,7.01,8.01,9.01 07/17/13
ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 07/17/13
ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 07/17/13
Allied Nevada Gold Corp. DE 5.02 07/12/13
Ally Financial Inc. DE 8.01,9.01 07/17/13
Ally Financial Inc. DE 8.01,9.01 07/15/13
ALMOST FAMILY INC DE 8.01,9.01 07/17/13
AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 1.01,9.01 07/12/13
AMERICAN EXPRESS CO NY 2.02,7.01 07/17/13
AMERICAN NATIONAL BANKSHARES INC VA 8.01,9.01 07/17/13
AMERICAN NATIONAL BANKSHARES INC VA 2.02,9.01 07/17/13
AMERICAN TOWER CORP /MA/ DE 7.01 07/17/13
AMFIL TECHNOLOGIES, INC. NY 1.01,5.02 07/16/13
Apollo Global Management LLC DE 5.02 07/17/13
ARADIGM CORP CA 5.07 07/15/13
Ares Commercial Real Estate Corp MD 1.01,2.03,7.01,9.01 07/12/13
ARIAD PHARMACEUTICALS INC DE 5.02,9.01 07/15/13
Armour Residential REIT, Inc. MD 7.01,9.01 07/16/13
Ascent Capital Group, Inc. DE 2.03,3.02,7.01,9.01 07/11/13
ASTORIA FINANCIAL CORP DE 2.02,8.01,9.01 07/17/13
Avantair, Inc DE 5.02 07/10/13
AVISTA CORP WA 8.01 07/16/13
AXIS CAPITAL HOLDINGS LTD 8.01,9.01 07/17/13
BANK OF AMERICA CORP /DE/ DE 2.02,7.01,9.01 07/17/13
Bank of New York Mellon CORP DE 2.02,9.01 07/17/13
BEST BUY CO INC MN 7.01 07/17/13
BIOJECT MEDICAL TECHNOLOGIES INC OR 1.01,2.03,5.02,9.01 07/15/13
BIOSPECIFICS TECHNOLOGIES CORP DE 8.01,9.01 07/17/13
BJs RESTAURANTS INC CA 8.01,9.01 07/16/13
BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 2.02,9.01 07/17/13
BOVIE MEDICAL CORP DE 5.07 07/16/13
Bristow Group Inc DE 8.01 07/15/13
Capitol Federal Financial Inc MD 7.01,9.01 07/17/13
CARBO CERAMICS INC DE 5.03,9.01 07/16/13
Carroll Bancorp, Inc. MD 2.02,9.01 07/15/13
CAS MEDICAL SYSTEMS INC DE 1.01,7.01,9.01 07/16/13
CATHAY GENERAL BANCORP DE 2.02,9.01 07/17/13
CENTERPOINT ENERGY INC 9.01 05/01/13 AMEND
CENTERPOINT ENERGY RESOURCES CORP DE 9.01 05/01/13 AMEND
CHEMICAL FINANCIAL CORP MI 2.02,9.01 07/17/13
CHURCHILL DOWNS INC KY 8.01,9.01 07/17/13
CIGNA CORP DE 5.02,9.01 07/11/13
CITIZENS INC CO 8.01,9.01 07/17/13
COHEN & STEERS INC DE 2.02,9.01 07/17/13
COMARCO INC CA 5.02,8.01 07/17/13
CombiMatrix Corp DE 5.02,9.01 07/15/13
COMMUNITY FINANCIAL SHARES INC DE 3.02 07/17/13
COMMUNITY TRUST BANCORP INC /KY/ KY 2.02,7.01,9.01 06/30/13
CORE LABORATORIES N V P7 2.02,9.01 07/17/13
CORNING INC /NY NY 5.02 07/16/13
Corporate Property Associates 17 - Gl MD 5.07 07/11/13
COVANTA HOLDING CORP DE 2.02,7.01,9.01 07/17/13
CRI HOTEL INCOME PARTNERS L P DE 1.01 07/17/13
CROWN HOLDINGS INC PA 2.02,9.01 07/17/13
CYS Investments, Inc. MD 2.02,9.01 07/17/13
DEEP WELL OIL & GAS INC NV 1.01,3.02,5.02,9.01 07/10/13
Desert Canadians Ltd. DE 3.02 07/11/13
Digital Generation, Inc. DE 5.03,8.01,9.01 07/11/13
Discover Card Execution Note Trust DE 1.01,9.01 07/16/13
DYNACQ HEALTHCARE INC NV 2.01 07/12/13
EARTHLINK INC DE 5.02,9.01 07/17/13
EAST WEST BANCORP INC 2.02,9.01 07/17/13
Eastern Insurance Holdings, Inc. PA 8.01,9.01 07/15/13
EBAY INC DE 2.02,9.01 07/17/13
EHOUSEGLOBAL, INC. NV 1.01,9.01 06/30/13
El Paso Pipeline Partners, L.P. DE 2.02,9.01 07/17/13
EMPIRE PETROLEUM CORP DE 5.07 07/17/13
EnerJex Resources, Inc. NV 4.01,9.01 07/16/13
EOG RESOURCES INC DE 7.01 07/17/13
EQUAL ENERGY LTD. A0 5.02,9.01 07/15/13
FARO TECHNOLOGIES INC FL 5.02,7.01,9.01 07/12/13
FBR & Co. VA 2.02,9.01 07/16/13
Federal Home Loan Bank of Des Moines X1 7.01,9.01 07/17/13
First Bancorp, Inc /ME/ ME 2.02 07/17/13
FIRST COMMUNITY CORP /SC/ SC 2.02,8.01,9.01 07/17/13
FIRST HORIZON NATIONAL CORP TN 5.03,9.01 07/16/13
FIRST PACTRUST BANCORP INC MD 5.03,8.01,9.01 07/15/13
FREDERICK COUNTY BANCORP INC MD 2.02,7.01,9.01 07/17/13
Freescale Semiconductor, Ltd. D0 5.02 07/15/13
FULLER H B CO MN 5.02,9.01 07/11/13
FX ENERGY INC NV 1.01,9.01 07/12/13
GAIN Capital Holdings, Inc. DE 7.01,9.01 07/16/13
GARDNER DENVER INC DE 5.07,8.01,9.01 07/16/13
GASTAR EXPLORATION LTD 1.01,7.01,9.01 07/11/13
GATEWAY ENERGY CORP/NE DE 1.01,3.03,8.01,9.01 07/17/13
General Finance CORP DE 1.01,9.01 07/16/13
General Growth Properties, Inc. DE 7.01,9.01 07/17/13
GLU MOBILE INC DE 1.01,3.02 07/15/13
GOLD RESOURCE CORP CO 5.02,9.01 07/15/13
GRAINGER W W INC IL 2.02,9.01 07/17/13
Graystone Co DE 3.02 07/17/13
Great Wolf Resorts, Inc. DE 7.01 07/17/13
Griffin Capital Essential Asset REIT, 9.01 05/01/13 AMEND
GULF ISLAND FABRICATION INC LA 8.01,9.01 07/17/13
GULFPORT ENERGY CORP DE 9.01 07/17/13
HANSEN MEDICAL INC DE 5.02 07/16/13
HEALTH CARE REIT INC /DE/ DE 5.02,9.01 07/16/13
HEALTHCARE SERVICES GROUP INC PA 2.02,9.01 07/16/13
HF2 FINANCIAL MANAGEMENT INC. DE 5.02,9.01 07/17/13
Hill-Rom Holdings, Inc. IN 1.01,2.02,5.02,9.01 07/15/13
ID Perfumes, Inc. NV 1.01,2.01,3.02,9.01 07/11/13
IGATE CORP PA 2.02,9.01 07/17/13
IMAGING3 INC CA 1.03,9.01 07/09/13
INSMED INC VA 8.01,9.01 07/15/13
INTEL CORP DE 2.02 07/17/13
INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 07/17/13
INTERVEST BANCSHARES CORP DE 2.02,9.01 07/17/13
INTERVEST BANCSHARES CORP DE 8.01,9.01 07/17/13
INTL FCSTONE INC. DE 1.01,8.01,9.01 07/16/13
J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 07/17/13
KEY TECHNOLOGY INC OR 5.02,9.01 07/12/13 AMEND
KINDER MORGAN ENERGY PARTNERS L P DE 2.02,9.01 07/17/13
KINDER MORGAN, INC. DE 2.02,9.01 07/17/13
KMG CHEMICALS INC TX 5.02,9.01 07/16/13
KNOLL INC DE 2.02,9.01 07/17/13
LANDMARK BANCORP INC DE 7.01,9.01 07/17/13
LaSalle Hotel Properties MD 2.02,9.01 07/17/13
Legend Oil & Gas, Ltd. CO 3.02,5.02,9.01 05/28/13
LGL GROUP INC DE 8.01,9.01 07/17/13
Li3 Energy, Inc. NV 1.02,8.01,9.01 07/12/13
LIQUIDITY SERVICES INC DE 7.01,9.01 07/16/13
LivingVentures, Inc. FL 1.01,9.01 07/11/13
M&T BANK CORP NY 2.02,9.01 07/17/13
MAGNUM HUNTER RESOURCES CORP DE 5.02,7.01,9.01 07/17/13
Mandalay Digital Group, Inc. DE 1.01,3.02,9.01 07/11/13
MARTEN TRANSPORT LTD DE 2.02,9.01 07/16/13
MATTEL INC /DE/ DE 2.02,7.01,8.01,9.01 07/17/13
McEwen Mining Inc. CO 7.01,9.01 07/17/13
MEDICAL ACTION INDUSTRIES INC DE 5.02,9.01 07/12/13
MEDICINOVA INC DE 8.01,9.01 07/17/13
MERCER INTERNATIONAL INC. WA 7.01,8.01,9.01 07/17/13
METABOLIX, INC. 5.02,7.01,9.01 07/17/13
METHES ENERGIES INTERNATIONAL LTD NV 1.01,2.03,9.01 07/12/13
MidWestOne Financial Group, Inc. IA 5.02,5.03,8.01,9.01 07/16/13
MILLER ENERGY RESOURCES, INC. TN 2.02,7.01,9.01 07/16/13 AMEND
MINERALS TECHNOLOGIES INC DE 8.01,9.01 07/17/13
MONITRONICS INTERNATIONAL INC TX 2.03,7.01,9.01 07/11/13
MPG Office Trust, Inc. 5.07,7.01,9.01 07/17/13
Nationstar Mortgage Holdings Inc. DE 8.01,9.01 07/17/13
Nationstar Mortgage Holdings Inc. DE 8.01,9.01 07/17/13
Noble Corp / Switzerland V8 2.02,9.01 07/17/13
NORTH BAY RESOURCES INC DE 4.02 07/17/13
NORTHERN TRUST CORP DE 2.02,9.01 07/17/13
Oak Ridge Financial Services, Inc. NC 8.01,9.01 07/17/13
ODYSSEY MARINE EXPLORATION INC NV 1.01,9.01 07/11/13
OMNI BIO PHARMACEUTICAL, INC. CO 3.02,5.02,7.01,9.01 07/15/13
PACIFIC CONTINENTAL CORP OR 2.02,9.01 07/17/13
PACKAGING CORP OF AMERICA 2.02,9.01 07/16/13
Pandora Media, Inc. DE 5.02 07/15/13
PENSKE AUTOMOTIVE GROUP, INC. DE 8.01,9.01 07/17/13
Peoples Federal Bancshares, Inc. 8.01,9.01 07/16/13
PG&E Corp CA 8.01 07/16/13
PHOTOMEDEX INC 8.01,9.01 07/17/13
PINNACLE FINANCIAL PARTNERS INC TN 2.02,9.01 07/16/13
PIPER JAFFRAY COMPANIES DE 2.02,9.01 07/17/13
PivX Solutions, Inc. NV 5.02,8.01,9.01 07/15/13
PLATINUM UNDERWRITERS HOLDINGS LTD D0 2.02,9.01 07/17/13
PLEXUS CORP WI 2.02 07/17/13
PNC FINANCIAL SERVICES GROUP, INC. PA 2.02,9.01 07/17/13
PNC FINANCIAL SERVICES GROUP, INC. PA 2.02,9.01 07/17/13
PREMIER EXHIBITIONS, INC. FL 8.01 07/17/13
PRIMUS TELECOMMUNICATIONS GROUP INC DE 5.07,8.01 07/17/13
PRO DEX INC CO 1.01,9.01 07/15/13
PROASSURANCE CORP DE 7.01,9.01 07/17/13
QUALITY SYSTEMS, INC CA 1.01,9.01 07/17/13
QUEST DIAGNOSTICS INC DE 5.02,7.01,9.01 07/17/13
QUICKSILVER RESOURCES INC DE 5.02 07/15/13
Rackwise, Inc. NV 3.02 07/11/13
RENTECH INC /CO/ CO 9.01 05/01/13 AMEND
REPUBLIC BANCORP INC /KY/ KY 7.01,9.01 07/17/13
RITE AID CORP DE 8.01 07/16/13
RIVER VALLEY BANCORP IN 2.02,9.01 07/16/13
Rockville Financial, Inc. /CT/ CT 8.01,9.01 07/17/13
ROGERS CORP MA 1.01,5.02,7.01,9.01 07/12/13
SANDISK CORP DE 2.02,9.01 07/17/13
Santander Drive Auto Receivables Trus DE 1.01,9.01 07/17/13
SEACHANGE INTERNATIONAL INC DE 1.01,5.02, 07/17/13
5.03,5.07,9.01
SEACOAST BANKING CORP OF FLORIDA FL 5.02 07/10/13
SearchCore, Inc. NV 3.02,9.01 07/11/13
Sebring Software, Inc. NV 8.01 07/08/13
SELECT COMFORT CORP MN 2.02,9.01 07/17/13
SEVERN BANCORP INC MD 2.02,9.01 07/16/13
SHFL entertainment Inc. MN 8.01,9.01 07/16/13
Shire plc 8.01,9.01 07/17/13
Silver Dragon Resources Inc. DE 1.01 07/17/13
SLM CORP DE 2.02,9.01 07/17/13
SM Energy Co DE 7.01,9.01 07/16/13
SONIC AUTOMOTIVE INC DE 5.02 07/17/13
SPARTAN STORES INC MI 7.01,9.01 07/16/13
SPECIAL DIVERSIFIED OPPORTUNITIES INC DE 3.01 07/15/13
SPHERIX INC DE 8.01,9.01 07/17/13
SPIRIT REALTY CAPITAL, INC. MD 2.01,3.03,4.01, 07/17/13
5.02,5.03,5.05,7.01,9.01
SPIRIT REALTY CAPITAL, INC. MD 1.01,1.02,2.03,9.01 07/17/13
SPIRIT REALTY CAPITAL, INC. MD 1.02,2.01,3.01, 07/17/13
3.03,5.01,5.02,5.03,7.01,9.01
ST JUDE MEDICAL INC MN 2.02,9.01 07/17/13
Standard Drilling, Inc. 1.01,2.03,9.01 07/17/13
State Auto Financial CORP OH 2.03,2.04 07/11/13
STEELCASE INC MI 5.02,9.01 07/17/13
Stevia Agritech Corp. 5.03,8.01,9.01 07/15/13
SUNOCO LOGISTICS PARTNERS L.P. DE 5.03,9.01 07/17/13
Sunstone Hotel Investors, Inc. MD 9.01 07/02/13 AMEND
SUPERIOR ENERGY SERVICES INC DE 7.01,9.01 07/17/13
SYNERGY PHARMACEUTICALS, INC. DE 8.01,9.01 07/17/13
SYNTHESIS ENERGY SYSTEMS INC DE 1.01,8.01,9.01 07/16/13
SYNTROLEUM CORP DE 8.01,9.01 07/17/13
TAKE TWO INTERACTIVE SOFTWARE INC DE 8.01,9.01 07/12/13
Talon Therapeutics, Inc. DE 8.01,9.01 07/17/13
TEL INSTRUMENT ELECTRONICS CORP NJ 2.02,9.01 07/16/13
TEXTRON INC DE 2.02,9.01 07/17/13
THERMOENERGY CORP DE 5.03,9.01 07/12/13
THERMOGENESIS CORP DE 8.01,9.01 07/16/13
THOMAS PROPERTIES GROUP INC DE 1.01,9.01 07/16/13
TNP Strategic Retail Trust, Inc. MD 7.01,9.01 07/17/13
TORO CO DE 5.02 07/16/13
TRANS LUX CORP DE 1.01,2.03,9.01 07/12/13
TRANSATLANTIC PETROLEUM LTD. 7.01 07/17/13
TRANSCAT INC OH 5.02,8.01 07/11/13
TransMontaigne Partners L.P. DE 1.01,8.01,9.01 07/16/13
Transocean Ltd. V8 7.01,9.01 07/17/13
U.S. Auto Parts Network, Inc. DE 3.01 07/12/13
UMPQUA HOLDINGS CORP OR 2.02,9.01 07/16/13
UNION BANKSHARES INC VT 2.02,8.01,9.01 07/17/13
UNITED BANCSHARES INC/OH OH 7.01,8.01,9.01 07/17/13
UNITED ONLINE INC DE 7.01,9.01 07/17/13
UNITED RENTALS INC /DE DE 2.02,7.01,9.01 07/16/13
UNIVERSAL FOREST PRODUCTS INC MI 2.02,9.01 07/17/13
US BANCORP \DE\ DE 2.02,9.01 07/17/13
US ENERGY CORP WY 7.01,9.01 07/17/13
Vanguard Natural Resources, LLC DE 5.07 07/17/13
Verastem, Inc. DE 8.01,9.01 07/16/13
VRDT Corp DE 5.06,9.01 08/31/12 AMEND
W. P. Carey Inc. MD 5.07 07/11/13
Western Refining, Inc. DE 8.01,9.01 07/17/13
WhiteHorse Finance, Inc. DE 8.01,9.01 07/16/13
WINMARK CORP MN 2.02,7.01,9.01 07/17/13
WireCo WorldGroup Inc. 5.02 07/12/13
WORLD FUEL SERVICES CORP FL 7.01,9.01 07/17/13
XcelMobility Inc. NV 9.01 05/07/13 AMEND
XENOPORT INC DE 9.01 05/01/13 AMEND
XILINX INC DE 2.02,9.01 07/17/13
ZHONE TECHNOLOGIES INC DE 2.02,9.01 07/17/13
http://www.sec.gov/news/digest/2013/dig071813.htm
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