SEC News Digest

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ENFORCEMENT PROCEEDINGS

In the Matter of iTrackr Systems, Inc.

An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default (Default Order) in iTrackr Systems, Inc., Admin. Proc. File No. 3-15360. The Order Instituting Proceedings alleged that iTrackr Systems, Inc., repeatedly failed to file timely periodic reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of its registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-70032 )

In the Matter of Green Solutions China, Inc.

An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) in Green Solutions China, Inc., Admin. Proc. File No. 3-15363. The Order Instituting Proceedings alleged that Green Solutions China, Inc., Yarraman Winery, Inc. (n/k/a Global Beverages, Inc.), and Yinlips Technology, Inc. (collectively, Respondents), repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of Respondents’ registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-70033 )

In the Matter of EagleEye Asset Management, LLC

An Administrative Law Judge has issued an Initial Decision in EagleEye Asset Management, LLC, Admin. Proc. File No. 3-15156. The Securities and Exchange Commission issued its Order Instituting Proceedings (OIP) on December 27, 2012, pursuant to Section 203(e) of the Investment Advisers Act of 1940 (Advisers Act). The OIP alleges that on December 12, 2012, the United States District Court for the District of Massachusetts entered a final judgment against EagleEye Asset Management, LLC (EagleEye), in SEC v. EagleEye Asset Management, LLC, No. 11-CV-11576, permanently enjoining EagleEye from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 204, 206(1), and 206(2) of the Advisers Act and various provisions of Rule 204-2 thereunder.

The Initial Decision grants the Motion for Summary Disposition filed by the Division of Enforcement and revokes EagleEye’s investment adviser registration, pursuant to Section 203(e) of the Advisers Act. (Rel. ID-497 )

In the Matter of Jeffrey A. Liskov

An Administrative Law Judge has issued an Initial Decision in Jeffrey A. Liskov, Admin. Proc. File No. 3-15155. The Securities and Exchange Commission issued its Order Instituting Proceedings (OIP) on December 27, 2012, pursuant to Section 203(f) of the Investment Advisers Act of 1940 (Advisers Act). The OIP alleges that on December 12, 2012, the United States District Court for the District of Massachusetts entered a final judgment against Respondent Jeffrey A. Liskov (Liskov) in SEC v. EagleEye Asset Management, LLC, No. 11-CV-11576, permanently enjoining Liskov from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 204, 206(1), and 206(2) of the Advisers Act and various provisions of Rule 204-2 thereunder.

The Initial Decision grants the Motion for Summary Disposition filed by the Division of Enforcement and permanently bars Liskov from association with an investment adviser, broker, dealer, municipal securities dealer, transfer agent, municipal advisor, or nationally recognized statistical rating organization. (Rel. ID-498 )

Commission Suspends Attorney Stewart A. Merkin

The Commission announced that it has issued an order settling the Administrative Proceeding against Stewart A. Merkin, Esq., which permanently suspends him from appearing or practicing before the Commission. The Commission instituted the Administrative Proceeding against Merkin after the United States District Court for the Southern District of Florida found that Merkin violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.

The Commission’s complaint against Merkin in the civil action entitled United States Securities and Exchange Commission v. Stewart A. Merkin, Case No. 1:11-cv-23585-DLG, alleged that Merkin violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder by making false public statements in connection with purchases and sales of the stock of StratoComm Corporation. On October 3, 2012, Judge Graham issued an order granting the Commission summary judgment.

The Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Rule 102(e) of the Commission’s Rules of Practice that permanently suspends Merkin, who is licensed to practice law in Florida and operates a law office in Miami, Florida, from appearing and practicing before the Commission. (Rel. 34-70034 )

INVESTMENT COMPANY ORDERS

Invesco Advisers, Inc., et al.

An order has been issued on an application filed by Invesco Advisers, Inc., et al. to exempt certain limited partnerships formed for the benefit of eligible employees of Invesco Ltd. and its affiliates from certain provisions of the Investment Company Act of 1940 (Act). Each company will be an “employees’ securities company” within the meaning of Section 2(a)(13) of the Act. (Rel. IC-30609 )

First Trust Exchange-Traded Fund, et al.

An order has issued on an application filed by First Trust Exchange-Traded Fund, et al. The order permits: (a) certain open-end management investment companies or series thereof to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain 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 (d) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption. (Rel. IC-30610 )

SECURITIES ACT REGISTRATIONS

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-1     COLORADO INCOME HOLDINGS INC, 7899 S LINCOLN CRT #205, LITTLETON, CO, 
        80122, 3035393000 - 0 ($409.20) Debt, (File 333-190083 - Jul. 23) 
        (BR. OSF)

S-8     Physicians Realty Trust, 250 EAST WISCONSIN AVENUE, MILWAUKEE, WI, 
        53202, 414-978-6494 - 600,000 ($6,954,000.00) Equity, 
        (File 333-190085 - Jul. 23) (BR. 08B)

S-8     SOLAR WIND ENERGY TOWER, INC., 1997 ANNAPOLIS EXCHANGE BLVD., 
        SUITE 300, ANNAPOLIS, MD, 21401, 410-972-4713 - 
        35,000,000 ($843,500.00) Equity, (File 333-190086 - Jul. 23) (BR.09A)

S-8     Diamond Resorts International, Inc., 10600 WEST CHARLESTON BOULEVARD, 
        LAS VEGAS, NV, 89135, (702) 798-8840 - 0 ($140,346,205.50) Equity, 
        (File 333-190087 - Jul. 23) (BR. 08B)

S-8     TILE SHOP HOLDINGS, INC., 14000 CARLSON PARKWAY, PLYMOUTH, MN, 55441, 
        763-852-2978 - 0 ($71,500,000.00) Equity, (File 333-190088 - Jul. 23) 
        (BR. 02A)

S-8     SHFL entertainment Inc., 1106 PALMS AIRPORT DRIVE, LAS VEGAS, NV, 
        89119, 7028977150 - 7,537,663 ($171,481,833.00) Equity, 
        (File 333-190089 - Jul. 23) (BR. 06C)

S-1     PRIVILEGED WORLD TRAVEL CLUB, INC., 1 BLACKFIELD DRIVE, TIBURON, CA, 
        94920, (415) 888-2478 - 11,445,219 ($11,445,219.00) Equity, 
        (File 333-190090 - Jul. 23) (BR. 11C)

RECENT 8K FILINGS

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

                                        STATE
NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

1st United Bancorp, Inc.                FL       7.01,9.01            07/23/13

1st United Bancorp, Inc.                FL       2.01,7.01,9.01       07/01/13    AMEND

ACCELLENT INC                                    5.02,9.01            07/23/13

ACE Ltd                                 V8       2.02,9.01            07/23/13

ADGS Advisory, Inc.                     DE       1.01,2.01,3.02,      04/12/13    AMEND
                                                 5.01,5.02,5.03,
                                                 5.06,9.01        

AIR PRODUCTS & CHEMICALS INC /DE/       DE       2.02,9.01            07/23/13

AIR PRODUCTS & CHEMICALS INC /DE/       DE       5.03,9.01            07/18/13

AK STEEL HOLDING CORP                   DE       2.02,9.01            07/23/13

ALASKA COMMUNICATIONS SYSTEMS GROUP I   DE       7.01,8.01,9.01       07/23/13

ALBANY MOLECULAR RESEARCH INC           DE       8.01,9.01            07/22/13

Allegiant Travel CO                     NV       2.02,9.01            07/23/13

ALLIANCE FIBER OPTIC PRODUCTS INC       CA       2.02,9.01            07/23/13

ALLSTATE LIFE INSURANCE CO                       1.01,8.01,9.01       07/17/13

ALTERA CORP                             DE       2.02,8.01,9.01       07/23/13

Altisource Asset Management Corp        VI       2.02,9.01            07/23/13

Altisource Residential Corp                      2.02,9.01            07/23/13

ALTRIA GROUP, INC.                      VA       2.02,9.01            07/23/13

AMERICAN EXPRESS CREDIT ACCOUNT MASTE   DE       8.01,9.01            07/23/13

AMERICAN EXPRESS CREDIT CORP            DE       2.02                 07/23/13

American Realty Capital Properties, I   MD       8.01,9.01            07/22/13

American Realty Capital Properties, I   MD       1.01,2.03,8.01,9.01  07/22/13

American Realty Capital Properties, I   MD       9.01                 05/28/13    AMEND

American Realty Capital Properties, I   MD       8.01,9.01            06/14/13    AMEND

American Realty Capital Properties, I   MD       9.01                 07/01/13    AMEND

American Realty Capital Trust V, Inc.   MD       1.01,2.01            07/18/13

AMKOR TECHNOLOGY INC                    DE       5.02                 07/17/13

AMSURG CORP                             TN       2.02,7.01,9.01       06/30/13

ANI PHARMACEUTICALS INC                 NY       8.01,9.01            07/23/13

ANIXTER INTERNATIONAL INC               DE       2.02,9.01            07/18/13

APPLE INC                               CA       2.02,9.01            07/23/13

ARRAY BIOPHARMA INC                     DE       8.01,9.01            07/23/13

ASBURY AUTOMOTIVE GROUP INC             DE       2.02,9.01            07/23/13

ASSOCIATED BANC-CORP                    WI       8.01,9.01            07/23/13

ASTEC INDUSTRIES INC                    TN       2.02,9.01            07/23/13

AT&T INC.                               DE       2.02,9.01            04/23/13

Atlas Energy, L.P.                      DE       9.01                 05/07/13    AMEND

Avery Dennison Corp                     DE       2.02,9.01            07/23/13

AWARE INC /MA/                          MA       2.02,9.01            07/23/13

B/E AEROSPACE INC                       DE       2.02,9.01            07/23/13

Bancorp of New Jersey, Inc.             NJ       4.01,9.01            07/17/13

BANCORPSOUTH INC                        MS       2.02,7.01,9.01       07/22/13

BANK OF THE JAMES FINANCIAL GROUP INC   VA       2.02,9.01            07/23/13

BAR HARBOR BANKSHARES                   ME       8.01                 07/23/13

BARD C R INC /NJ/                       NJ       2.02,9.01            07/23/13

BEHRINGER HARVARD MULTIFAMILY REIT I             7.01,9.01            07/23/13

BIOCRYST PHARMACEUTICALS INC            DE       5.02,9.01            07/21/13

BIOSPECIFICS TECHNOLOGIES CORP          DE       8.01,9.01            07/23/13

BISON PETROLEUM, CORP.                  NV       8.01                 07/22/13

Bonds.com Group, Inc.                   DE       5.07                 07/17/13

BOSTON PRIVATE FINANCIAL HOLDINGS INC   MA       8.01                 07/23/13

BOSTON PRIVATE FINANCIAL HOLDINGS INC   MA       8.01,9.01            07/23/13

BROADCOM CORP                           CA       2.02,9.01            07/23/13

BRUNSWICK CORP                          DE       5.02,9.01            07/23/13

C & F FINANCIAL CORP                    VA       2.02,9.01            07/22/13

CAL MAINE FOODS INC                     DE       7.01,9.01            07/23/13

CAPELLA EDUCATION CO                             2.02,9.01            07/23/13

CAPITAL CITY BANK GROUP INC             FL       2.02,9.01            07/23/13

CAPITALSOURCE INC                       DE       1.01,3.03,8.01,9.01  07/22/13

CAPITALSOURCE INC                       DE       2.02,7.01,9.01       07/23/13

Carey Watermark Investors Inc                    1.02,2.01,9.01       07/17/13

CARLISLE COMPANIES INC                  DE       2.02,9.01            07/23/13

CATERPILLAR INC                         DE       7.01                 07/23/13

CENTENE CORP                                     2.02,9.01            07/23/13

Chemtura CORP                           DE       1.01,2.03,3.03,      07/18/13
                                                 8.01,9.01          

CISCO SYSTEMS, INC.                     CA       8.01,9.01            07/22/13

CIT GROUP INC                           DE       2.02,7.01,9.01       07/23/13

CITIZENS FINANCIAL SERVICES INC         PA       2.02,9.01            07/23/13

CLIFFS NATURAL RESOURCES INC.           OH       5.02                 07/17/13

CNL Growth Properties, Inc.             MD       5.03,5.07,9.01       06/26/13    AMEND

Colonial Financial Services, Inc.                4.01,9.01            07/18/13

COLUMBIA PROPERTY TRUST, INC.           MD       5.02                 07/17/13

COMMAND SECURITY CORP                   NY       5.02,9.01            07/22/13

COMPUTER TASK GROUP INC                 NY       2.02,9.01            07/23/13

Corporate Resource Services, Inc.       DE       5.02                 07/23/13

Corporate Resource Services, Inc.       DE       8.01,9.01            07/23/13

COSTCO WHOLESALE CORP /NEW              WA       8.01,9.01            07/21/13

CRANE CO /DE/                           DE       2.02,8.01,9.01       07/22/13

CREDITRISKMONITOR COM INC               NV       5.07                 07/17/13

CRYO CELL INTERNATIONAL INC             DE       5.07,9.01            07/18/13

CSP INC /MA/                            MA       5.02,7.01,9.01       07/22/13

CTPARTNERS EXECUTIVE SEARCH INC.        DE       2.02,7.01            07/23/13

CTS CORP                                IN       2.02,9.01            07/23/13

CYTOKINETICS INC                                 8.01                 07/23/13

DAIS ANALYTIC CORP                               3.02                 07/15/13

Dakota Gold Corp                        FL       1.01,1.02,5.02,9.01  07/19/13

DCB FINANCIAL CORP                      OH       2.02,9.01            07/22/13

dELiAs, Inc.                            DE       8.01,9.01            07/23/13

Discover Card Execution Note Trust      DE       8.01                 07/23/13

Discover Financial Services             DE       2.02,9.01            07/23/13

DISH Network CORP                       NV       1.01,9.01            07/23/13

DNB FINANCIAL CORP /PA/                 PA       2.02,9.01            07/23/13

DOMINOS PIZZA INC                                2.02,9.01            07/23/13

DREW INDUSTRIES INC                     DE       8.01,9.01            07/23/13

Duke Energy CORP                        DE       8.01,9.01            07/23/13

DUPONT E I DE NEMOURS & CO              DE       2.02,9.01            07/23/13

E TRADE FINANCIAL Corp                  DE       5.02                 07/22/13

EAGLE BANCORP INC                       MD       2.02,9.01            07/22/13

EAGLE FINANCIAL SERVICES INC            VA       2.02,9.01            07/23/13

EASTERN VIRGINIA BANKSHARES INC         VA       2.02,9.01            07/23/13

ELECTRO SENSORS INC                     MN       5.02,8.01,9.01       07/17/13

ELECTRONIC ARTS INC.                    DE       2.02,9.01            07/23/13

ENCORE CAPITAL GROUP INC                DE       1.01,2.03,           07/18/13
                                                 3.02,8.01,9.01          

ENGLOBAL CORP                           NV       8.01,9.01            07/23/13

ENTEGRIS INC                            DE       2.02,9.01            07/23/13

EQUITY LIFESTYLE PROPERTIES INC         MD       2.02                 07/22/13

Eureka Financial Corp.                           2.02,9.01            07/22/13

EVEREST RE GROUP LTD                    D0       2.02,9.01            07/23/13

EWaste Systems, Inc.                    NV       3.02,8.01,9.01       07/17/13

EXACT SCIENCES CORP                     DE       2.02,9.01            07/23/13

EXACTECH INC                            FL       2.02,7.01,9.01       07/23/13

ExOne Co                                DE       8.01,9.01            07/23/13

EXPONENT INC                            DE       2.02,7.01,9.01       07/23/13

Federal Home Loan Bank of Atlanta       X1       2.03                 07/17/13

Federal Home Loan Bank of Boston        X1       2.03                 07/17/13

Federal Home Loan Bank of Chicago       X1       2.02,9.01            07/23/13

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            07/17/13

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            07/19/13

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            07/23/13

Federal Home Loan Bank of New York      X1       2.03,9.01            07/17/13

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            07/17/13

Federal Home Loan Bank of San Francis   X1       2.03                 07/18/13

FIRST BANCORP /NC/                      NC       2.02,9.01            07/23/13

FIRST BUSEY CORP /NV/                   NV       2.02,9.01            07/23/13

FIRST DEFIANCE FINANCIAL CORP           OH       2.02,9.01            07/22/13

First Financial Northwest, Inc.         WA       2.02,9.01            07/23/13

First Trinity Financial CORP            OK       8.01,9.01            07/22/13

FIRST TRUST SENIOR FLOATING RATE INCO            7.01,9.01            07/23/13

FIRSTMERIT CORP /OH/                    OH       2.02,9.01            07/23/13

FLIR SYSTEMS INC                        OR       5.02                 07/18/13

Flow Tech Solutions Inc.                NV       4.01                 06/06/13

FNB CORP/FL/                            FL       5.02,9.01            07/17/13

FOREST CITY ENTERPRISES INC             OH       8.01,9.01            07/22/13

FOREST CITY ENTERPRISES INC             OH       7.01,9.01            07/23/13

FOREST LABORATORIES INC                 DE       2.02,9.01            07/22/13

FORWARD AIR CORP                        TN       8.01,9.01            07/23/13

FRANKLIN FINANCIAL SERVICES CORP /PA/   PA       2.02,9.01            07/23/13

FREEPORT MCMORAN COPPER & GOLD INC      DE       2.02,9.01            07/23/13

Frozen Food Gift Group, Inc             DE       3.02                 07/17/13

FS Investment CORP                      MD       8.01,9.01            07/23/13

FS Investment Corp II                   MD       8.01,9.01            07/23/13

Full Circle Capital Corp                MD       8.01,9.01            07/23/13

FULTON FINANCIAL CORP                   PA       2.02,9.01            07/23/13

Gas Natural Inc.                        OH       7.01,9.01            07/23/13

GCI INC                                 AK       8.01,9.01            07/22/13

GENERAL COMMUNICATION INC               AK       8.01,9.01            07/22/13

GEOVIC MINING CORP.                     DE       7.01,9.01            07/23/13

GETTY REALTY CORP /MD/                  MD       8.01,9.01            07/17/13

GLACIER BANCORP INC                     DE       8.01,9.01            07/22/13

GLOBAL PARTNERS LP                               7.01,9.01            07/23/13

Goliath Film & Media Holdings                    4.01,9.01            02/26/13

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            07/19/13

GRAPHIC PACKAGING HOLDING CO            DE       1.01,5.02,9.01       07/22/13

Gray Fox Petroleum Corp.                NV       1.01,3.02,9.01       07/17/13

GREAT SOUTHERN BANCORP INC              MD       7.01                 07/23/13

GREAT SOUTHERN BANCORP INC              MD       2.02,9.01            07/23/13

GREENTECH MINING INTERNATIONAL, INC.    DE       1.01,9.01            07/12/13    AMEND

GROWLIFE, INC.                          DE       5.02                 07/22/13

GULFMARK OFFSHORE INC                   DE       2.02,9.01            07/22/13

GULFPORT ENERGY CORP                    DE       3.03,5.03,5.07,9.01  07/18/13

HALF ROBERT INTERNATIONAL INC /DE/      DE       2.02,8.01,9.01       07/23/13

HAMPSHIRE GROUP LTD                     DE       5.02,9.01            07/17/13

HANMI FINANCIAL CORP                    DE       2.02,9.01            07/23/13

HANSEN MEDICAL INC                      DE       1.02,2.02,9.01       07/20/13

HARBINGER GROUP INC.                    DE       1.01,2.03,9.01       07/18/13

HARMONIC INC                            DE       2.02,9.01            07/23/13

Hatteras Financial Corp                          2.02,9.01            07/23/13

HAWAIIAN HOLDINGS INC                   DE       2.02,9.01            07/23/13

Health Insurance Innovations, Inc.      DE       1.01,2.01,2.03,      07/17/13
                                                 3.02,8.01,9.01     

HEALTHSTREAM INC                        TN       2.02,7.01,9.01       07/22/13

HEARTLAND PAYMENT SYSTEMS INC           DE       1.01,9.01            07/22/13

HELIX ENERGY SOLUTIONS GROUP INC        MN       2.02,7.01,9.01       07/22/13

Higher One Holdings, Inc.               DE       9.01                 05/07/13    AMEND

HOLOGIC INC                             DE       7.01,9.01            07/23/13

HOME BANCORP, INC.                      LA       2.02,9.01            07/23/13

HUDSON VALLEY HOLDING CORP              NY       2.02,9.01            07/23/13

ICONIX BRAND GROUP, INC.                DE       5.07                 07/22/13

IDEX CORP /DE/                          DE       2.02,9.01            07/22/13

IDEXX LABORATORIES INC /DE              DE       2.02,9.01            07/23/13

IGATE CORP                              PA       5.02,9.01            07/17/13

ILLINOIS TOOL WORKS INC                 DE       2.02,9.01            07/23/13

ILLUMINA INC                            DE       2.02,9.01            07/23/13

Imprimis Pharmaceuticals, Inc.          DE       7.01,9.01            07/23/13

INERGY L P                              DE       9.01                 06/19/13    AMEND

INERGY L P                              DE       4.01,9.01            06/26/13    AMEND

INTERNATIONAL GAME TECHNOLOGY           NV       2.02,9.01            07/23/13

INTERNATIONAL LOTTERY & TOTALIZATOR S   CA       8.01                 07/23/08

INTERNATIONAL SHIPHOLDING CORP          DE       8.01,9.01            07/23/13

INTERPUBLIC GROUP OF COMPANIES, INC.    DE       2.02,9.01            07/19/13

INTL FCSTONE INC.                       DE       1.01,8.01,9.01       07/22/13

IROBOT CORP                             DE       2.02,9.01            07/23/13

IRONWOOD PHARMACEUTICALS INC            DE       2.02,9.01            07/23/13

Iveda Solutions, Inc.                   NV       5.07                 07/17/13

Jones Lang LaSalle Income Property Tr   MD       8.01,9.01            07/23/13

JUNIPER NETWORKS INC                    DE       5.02,9.01            07/23/13

JUNIPER NETWORKS INC                    DE       2.02,8.01,9.01       07/23/13

KB HOME                                 DE       5.02                 07/17/13

KKR Financial Holdings LLC              DE       2.02,5.02,8.01,9.01  07/23/13

Kodiak Oil & Gas Corp                   B0       2.02,9.01            07/23/13

Kodiak Oil & Gas Corp                   B0       7.01,9.01            07/23/13

Kodiak Oil & Gas Corp                   B0       8.01,9.01            07/23/13

Kosmos Energy Ltd.                      D0       5.02,9.01            07/18/13

KVH INDUSTRIES INC \DE\                 DE       2.01,9.01            05/11/13    AMEND

LaPorte Bancorp, Inc.                   MD       2.02,8.01,9.01       07/23/13

LAYNE CHRISTENSEN CO                    DE       7.01,9.01            07/22/13

LEE ENTERPRISES, INC                    DE       2.02,9.01            07/23/13

LEXMARK INTERNATIONAL INC /KY/          DE       2.02,9.01            07/23/13

LIBERTY PROPERTY TRUST                  MD       2.02,9.01            07/23/13

LNB BANCORP INC                         OH       7.01,9.01            07/23/13

LOCAL Corp                              DE       1.01,9.01            07/22/13

LOCKHEED MARTIN CORP                    MD       2.02,9.01            07/23/13

MANHATTAN ASSOCIATES INC                GA       2.02,9.01            07/23/13

Marathon Patent Group, Inc.             NV       7.01,9.01            07/22/13

MEDICINES CO /DE                        DE       8.01                 07/19/13

MENS WEARHOUSE INC                      TX       1.01,8.01,9.01       07/22/13

MERCER INTERNATIONAL INC.               WA       1.01,2.03,8.01,9.01  07/17/13

MERCHANTS BANCSHARES INC                DE       2.02,7.01,9.01       07/23/13

MERIDIAN INTERSTATE BANCORP INC                  2.02,9.01            07/23/13

METALICO INC                                     8.01,9.01            07/23/13

MGE ENERGY INC                          WI       1.01,2.03,9.01       07/18/13

MGIC INVESTMENT CORP                    WI       2.02,9.01            07/23/13

MGT CAPITAL INVESTMENTS INC             DE       7.01,9.01            07/23/13

MINDEN BANCORP, INC.                    LA       2.02,9.01            07/23/13

MOHEGAN TRIBAL GAMING AUTHORITY                  8.01,9.01            07/22/13

MSGI TECHNOLOGY SOLUTIONS, INC          NV       1.01,3.02,9.01       07/22/13

MUELLER INDUSTRIES INC                  DE       2.02,9.01            07/23/13

NAKED BRAND GROUP INC.                  NV       3.02,5.02            07/23/13

NATIONAL HEALTH INVESTORS INC           MD       8.01,9.01            07/23/13

NATIONAL SECURITY GROUP INC             DE       8.01,9.01            07/19/13

Natural Grocers by Vitamin Cottage, I   DE       5.02,9.01            07/23/13

NATURAL RESOURCE PARTNERS LP            DE       1.01,9.01            07/18/13

NBT BANCORP INC                         DE       2.02,9.01            07/22/13

NEAH POWER SYSTEMS, INC.                NV       8.01,9.01            07/12/13

Neohydro Technologies Corp.             NV       1.01                 07/19/13    AMEND

NEOMEDIA TECHNOLOGIES INC               DE       5.02                 07/23/13

NeoStem, Inc.                           DE       3.01,8.01,9.01       07/23/13

NETWORK 1 SECURITY SOLUTIONS INC        DE       8.01                 07/22/13

NEUROMAMA, LTD.                         NV       5.02                 07/15/13

NEW ENERGY TECHNOLOGIES, INC.                    7.01,9.01            07/17/13

New Global Energy, Inc.                          1.01,2.01,3.02,9.01  07/23/13

NORD RESOURCES CORP                     DE       1.01,2.03,3.02,9.01  07/18/13

NORFOLK SOUTHERN CORP                   VA       2.02,7.01,9.01       07/23/13

NorthStar Real Estate Income Trust, I   MD       1.01                 12/10/12    AMEND

NORTHSTAR REALTY FINANCE CORP.          MD       1.01,7.01,9.01       12/10/12    AMEND

NUMBEER, INC.                           NV       1.01,2.01,3.02,      07/23/13    AMEND
                                                 4.01,5.01,5.02,
                                                 5.03,5.06,9.01   

NVIDIA CORP                             DE       5.02,9.01            07/17/13

OFG BANCORP                             PR       2.02,9.01            07/22/13

OGE ENERGY CORP.                        OK       5.02,9.01            07/17/13

OncoMed Pharmaceuticals Inc             DE       5.03,8.01,9.01       07/23/13

OVERSTOCK.COM, INC                      DE       2.02,9.01            07/18/13

OWENS & MINOR INC/VA/                   VA       7.01                 07/22/13

PACCAR INC                              DE       2.02,9.01            07/23/13

PACIFIC PREMIER BANCORP INC             DE       2.02,9.01            07/23/13

PACWEST BANCORP                         DE       2.02,8.01,9.01       07/23/13

PANERA BREAD CO                         DE       2.02,7.01,9.01       07/23/13

PEABODY ENERGY CORP                     DE       2.02,9.01            07/23/13

PENTAIR LTD                             V8       2.02,9.01            07/23/13

PEOPLES BANCORP INC                     OH       2.02,9.01            07/23/13

Percipience Global Corp                 DE       3.02,5.01,5.02       05/07/13

PEREGRINE INDUSTRIES INC                FL       5.02                 07/22/13

Pharma-Bio Serv, Inc.                            5.02                 07/17/13

POLARIS INDUSTRIES INC/MN               MN       2.02,7.01,9.01       07/23/13

POLYCOM INC                             DE       2.02,5.02,5.03,      07/19/13
                                                 7.01,8.01,9.01     

POLYCOM INC                             DE       5.02                 07/18/13

Protea Biosciences Group, Inc.          DE       1.01,2.03,3.02,9.01  07/17/13

Prothena Corp plc                       L2       5.02,9.01            07/22/13

Pzena Investment Management, Inc.       DE       2.02,9.01            07/23/13

RADIOSHACK CORP                         DE       2.02,9.01            07/22/13

RADIOSHACK CORP                         DE       5.02                 07/22/13

RAMCO GERSHENSON PROPERTIES TRUST       MD       2.02,7.01,9.01       07/23/13

Ranger Gold Corp.                                5.02                 07/17/13

Raptor Pharmaceutical Corp              DE       8.01,9.01            07/22/13

RED MOUNTAIN RESOURCES, INC.            FL       5.03                 07/17/13

REDFIN NETWORK, INC.                    NV       1.01,2.01,9.01       07/17/13

REGIONS FINANCIAL CORP                  DE       2.02,7.01,9.01       07/23/13

Resource Real Estate Opportunity REIT   MD       5.07                 07/17/13

RF MICRO DEVICES INC                    NC       2.02,9.01            07/23/13

RITE AID CORP                           DE       5.02                 07/19/13

Rockville Financial, Inc. /CT/          CT       8.01,9.01            07/23/13

ROCKY BRANDS, INC.                      OH       2.02,9.01            07/23/13

ROYAL HAWAIIAN ORCHARDS, L.P.           DE       1.01,9.01            07/18/13

RUSH ENTERPRISES INC \TX\               TX       2.02,9.01            07/23/13

RYDER SYSTEM INC                        FL       2.02,9.01            07/23/13

S&T BANCORP INC                         PA       2.02,8.01,9.01       07/22/13

SARA CREEK GOLD CORP.                   NV       1.01,2.01,          07/18/13
                                                 3.02,5.06,9.01          

SAUL CENTERS INC                        MD       5.02                 07/23/13

SCHOOL SPECIALTY INC                    DE       5.02,8.01,9.01       07/22/13

Selway Capital Acquisition Corp.        DE       1.01,2.03,3.02,9.01  07/17/13

Sensata Technologies Holding N.V.       P7       2.02,9.01            07/23/13

SIGMA ALDRICH CORP                      DE       2.02,9.01            07/23/13

SIGMA ALDRICH CORP                      DE       7.01,9.01            07/23/13

SIGMATRON INTERNATIONAL INC             DE       2.02,9.01            07/23/13

SIRIUS XM RADIO INC.                    DE       5.02,9.01            07/22/13

SOCKET MOBILE, INC.                     DE       2.02,9.01            07/23/13

SONIC AUTOMOTIVE INC                    DE       2.02,7.01,9.01       07/23/13

SONOCO PRODUCTS CO                      SC       5.02                 07/17/13

SOURCEFIRE INC                          DE       1.01,3.03,           07/22/13
                                                 5.02,7.01,9.01          

SOUTHERN COPPER CORP/                   DE       2.02,9.01            07/22/13

SOUTHERN FIRST BANCSHARES INC           SC       2.02,9.01            07/23/13

SOUTHWEST GEORGIA FINANCIAL CORP        GA       2.02,9.01            06/30/13

STAKOOL, INC.                           NV       4.01,9.01            07/17/13

STANCORP FINANCIAL GROUP INC            OR       2.02,9.01            07/23/13

STAR GAS PARTNERS LP                    DE       5.02,9.01            07/23/13

STR HOLDINGS, INC.                      DE       5.02,9.01            07/18/13

SUPERTEX INC                            CA       2.02,9.01            07/23/13

Swisher Hygiene Inc.                    DE       3.01,9.01            07/17/13

SWORDFISH FINANCIAL, INC.               MN       1.01                 05/22/13

SWORDFISH FINANCIAL, INC.               MN       7.01                 07/12/13

SYMANTEC CORP                           DE       7.01,9.01            07/23/13

TCF FINANCIAL CORP                      DE       2.02,7.01,9.01       07/23/13

TD AMERITRADE HOLDING CORP              DE       2.02,9.01            07/23/13

TECHNE CORP /MN/                        MN       8.01,9.01            07/22/13

TECHNE CORP /MN/                        MN       8.01,9.01            07/23/13

TESSERA TECHNOLOGIES INC                DE       5.02,8.01,9.01       07/23/13

TG THERAPEUTICS, INC.                   DE       8.01,9.01            07/23/13

TOTAL SYSTEM SERVICES INC               GA       2.02,7.01,9.01       07/23/13

TOYS R US INC                           DE       7.01                 07/23/13

TRAVELERS COMPANIES, INC.               MN       2.02,9.01            07/23/13

TRICO BANCSHARES /                      CA       5.02,9.01            07/17/13

TRIUMPH GROUP INC                       DE       5.07                 07/18/13

Trovagene, Inc.                         DE       7.01,9.01            07/22/13

TRUSTMARK CORP                          MS       2.02,9.01            07/23/13

TWENTY-FIRST CENTURY FOX, INC.                   8.01,9.01            07/23/13

U S PRECIOUS METALS INC                 DE       5.02                 07/17/13

UNISYS CORP                             DE       2.02,9.01            07/23/13

UNITED BANCSHARES INC/OH                OH       2.02,7.01,9.01       06/30/13

UNITED PARCEL SERVICE INC               DE       2.02,9.01            07/23/13

UNITED TECHNOLOGIES CORP /DE/           DE       2.02                 07/23/13

USANA HEALTH SCIENCES INC               UT       2.02,8.01,9.01       07/23/13

USANA HEALTH SCIENCES INC               UT       1.01,2.03,9.01       07/18/13

VALERO ENERGY CORP/TX                   DE       2.02,9.01            07/23/13

VALOR GOLD CORP.                        DE       1.02,2.01,5.02,9.01  07/17/13

VASCULAR SOLUTIONS INC                  MN       2.02,9.01            07/23/13

Venture Lending & Leasing VII, Inc.     MD       1.01,2.03            07/18/13

VICOR CORP                              DE       2.02,9.01            07/23/13

ViewPoint Financial Group Inc.                   2.02,8.01,9.01       07/23/13

VMWARE, INC.                            DE       2.02,9.01            07/23/13

Vocus, Inc.                             DE       2.02,9.01            07/23/13

Walter Energy, Inc.                     DE       1.01,2.02,9.01       07/23/13

WALTER INVESTMENT MANAGEMENT CORP       MD       1.01,2.03,9.01       07/17/13

WASHINGTON FEDERAL INC                  WA       1.01,2.02,           07/18/13
                                                 7.01,8.01,9.01          

WASHINGTON TRUST BANCORP INC            RI       2.02,9.01            07/22/13

Waste Connections, Inc.                 DE       2.02,7.01,9.01       07/23/13

WATERS CORP /DE/                        DE       2.02,9.01            07/23/13

Wendy's Co                              DE       2.01,2.02,           07/19/13
                                                 2.05,2.06,9.01          

Wendy's Co                              DE       7.01,9.01            07/23/13

WESBANCO INC                            WV       2.02,9.01            07/23/13

WESTERN DIGITAL CORP                    DE       5.02                 07/17/13

WhiteHorse Finance, Inc.                DE       1.01,2.03,8.01,9.01  07/23/13

WILLIS GROUP HOLDINGS PLC               L2       5.07,9.01            07/23/13

Yew Bio-Pharm Group, Inc.               NV       8.01,9.01            07/12/13

ZIX CORP                                TX       2.02,9.01            07/23/13

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SEC NEWS DIGEST