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Commission AnnouncementsCommission Cautions Exchanges and Investment Professionals to Monitor Composition of Indices When Offering Futures ProductsThe Securities and Exchange Commission (“Commission”) today issued a report cautioning exchanges and investment professionals to monitor the composition of indices used in offering financial instruments to determine if they are security futures products and ensure they are complying with the federal securities laws. The SEC’s report of investigation stems from an inquiry into a foreign derivatives exchange that was offering and selling futures to U.S. customers on what was initially a broad-based index not subject to the registration requirements of the federal securities laws. The index later transitioned to a narrow-based security index, leaving it without a valid exemption from the securities laws. The SEC’s report reminds exchanges and investment professionals to establish policies and procedures to consistently monitor the composition of indices on which futures are based to establish whether or not they are offering security futures products. “As the compositions of exchange indices fluctuate, it is critically important for exchanges to have policies and procedures in place to effectively monitor the composition of their indices and ensure that they are appropriately offering securities based on those indices to U.S. investors,” said Daniel M. Hawke, Chief of the SEC Enforcement Division’s Market Abuse Unit. “It is equally important for investment professionals to be mindful of the highly analogous situation involving security-based swaps, and the failure to appropriately monitor the characteristics of such financial instruments risks violating the federal securities laws.” The SEC’s investigation into Eurex Deutschland revealed that the exchange began offering and selling futures on its Euro STOXX Banks Index to U.S. customers more than 10 years ago pursuant to a Commodity Futures Trading Commission (CFTC) no-action letter obtained in part through Eurex’s representation that it was a broad-based index subject to the CFTC’s exclusive jurisdiction. In October 2011, Eurex reviewed the index for the first time in response to a request by the CFTC to confirm it was still broad-based. During the review, Eurex discovered and self-reported to the SEC and CFTC that the index had transitioned in April 2010 from a broad-based to a narrow-based security index as defined by Section 3(a)(55)(B) of the Securites Exchange Act of 1934. From April 2010 to October 2011, Eurex sold 6 million contracts on the index through approximately 79 foreign-based broker-dealers, some of which offered direct market access to the index through trading terminals in the U.S. Other orders were facilitated through omnibus customer accounts carried by foreign-based intermediaries on behalf U.S. investors. According to the SEC’s report, Eurex did not comply with Section 6(h)(1) of the Exchange Act by effecting transactions in security futures that were not listed on a national securities exchange or national securities association for U.S. investors. Eurex also failed to comply with Section 5 of the Exchange Act by not registering as a national securities exchange, and by offering and selling security futures in the U.S without registering the transactions or having a valid exemption from registration. The Commission has decided to issue this report and forego an enforcement action against Eurex in part because of its substantial and timely cooperation with the investigation and its prompt remediation efforts. After self-reporting the findings of its review, Eurex extensively cooperated with the SEC staff and voluntarily provided updates and documents. Eurex has since implemented comprehensive policies and procedures that now require monthly, and in some instances daily, compliance monitoring of indices on which it offers futures contracts in the U.S. The SEC’s report notes that in analogous situations involving security-based swaps, investment professionals who engage in swap transactions are responsible for ascertaining the swap’s characteristics. When the swaps are securities-based, they must ensure that they are following the registration requirements of the federal securities laws and appropriately offering these financial instruments to U.S. investors. The SEC’s investigation was conducted by Kay B. Lee of the Enforcement Division’s Market Abuse Unit in Philadelphia, and was supervised by Mr. Hawke. (Press Rel. 2013-150; Rel. 34-70148) ENFORCEMENT PROCEEDINGSCommission Revokes Registration of Securities of Camelot Entertainment Group, Inc. for Failure to Make Required Periodic FilingsOn August 8, 2013, the Commission revoked the registration of each class of registered securities of Camelot Entertainment Group, Inc. (CMGR) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, CMGR consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Camelot Entertainment Group, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of CMGR’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against CMGR in In the Matter of Camelot Entertainment Group, Inc., et al., Administrative Proceeding File No. 3-15387. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . (Rel. 34-70133) Commission Charges Certified Public Accountant with Violating Commission Suspension OrderThe Commission today announced that it filed an application in U.S. District Court for the Southern District of New York against certified public accountant Michael H. Taber. Taber is a resident of Salisbury Mills, New York and Yulee, Florida, and has been licensed as a certified public accountant by the State of New York since 1974. The SEC alleged in its application that Taber violated a July 21, 2004 Commission Order issued under Rule 102(e)(3)(i) of the Commission’s Rules of Practice (the “2004 Order”) that permanently suspended Taber from appearing or practicing before the Commission as an accountant. According to the application, at the time of the 2004 Order, Taber was employed as the controller of Sono-Tek Corporation, an issuer that filed periodic reports with the Commission. Despite the 2004 Order, he continued to work in that capacity until 2005. Taber’s responsibilities at Sono-Tek during that period included drafting quarterly and annual statements on Forms 10-Q and 10-K and preparing income statements, balance sheets, statements of cash flow, and footnotes to those financial statements. After Taber left Sono-Tek in 2005, he went to work for Jefferson Wells International, Inc., a professional services firm that outsourced specialists to perform accounting and other work. The application further alleged that while he was at Jefferson Wells, Taber provided a number of issuers with various accounting services, including: preparing income statements and statements of cash flow; drafting and editing footnotes to these and other financial statements; compiling and computing schedules of support for such footnotes; and creating, compiling, and editing this data and other information that was then incorporated into Forms 10-Q, 10-K, and 8-K that were filed with the Commission. Taber’s relationship with Jefferson Wells ended in late 2010. The SEC’s application seeks a district court order enforcing its 2004 Order suspending Taber from appearing or practicing before the Commission as an accountant, and asks that the court order him to pay $584,650.41 in disgorgement, representing illicit compensation gained as a result of his engaging in work that was proscribed by the 2004 Order, together with prejudgment interest in the amount of $146,849.02. [SEC v. Michael H. Taber, CPA, 13-mc-0282 (S.D.N.Y.)] (LR-22773) Commission Dismisses Appeal Filed by Adam HarringtonThe Commission has dismissed an application for review of an administrative law judge's initial decision filed by Adam Harrington a/k/a Adam Rukdeschel and Adam Harrington Ruckdeschel. On April 17, 2013, the law judge issued an initial decision barring Harrington from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization based on his 2012 criminal conviction on counts of securities fraud, wire fraud, mail fraud, and conspiracy to commit all three offenses while associated with registered broker-dealers. Harrington filed a petition for review, but the Commission dismissed the appeal because he failed to file a brief in support of his petition. The Commission declared the initial decision to be the final decision of the Commission and declared the industry-wide bar effective. (Rel. 34-70149) SEC Obtains Asset Freeze and Other Relief in $4 Million Offering FraudOn August 8, 2013, the Commission obtained a temporary restraining order and an emergency asset freeze in a $4 million offering fraud and Ponzi scheme orchestrated by Steven B. Heinz (Heinz) and his company S.B. Heinz & Associates, Inc. (S.B. Heinz), a financial planning and insurance agency located in Provo, Utah. The complaint alleges that since January 1, 2012, Heinz acted as an investment adviser and solicited nearly $4 million from more than fifteen former clients, family members, and friends to enable him, through his company S.B. Heinz, to execute rapid buy and sell orders of futures contracts. The complaint further alleges that investor funds are being used to falsely create the appearance of a successful investment business although S.B. Heinz has actually lost approximately $1.5 million executing Heinz’s high risk futures contract trading activities. In addition, the complaint alleges that Heinz pays “returns” to earlier investors using new investor funds, used investor funds for his own personal purposes and that S.B. Heinz used investor funds to pay business expenses, including the salary for its secretary and its office rent. The Commission’s complaint charges Heinz and S.B. Heinz with violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The complaint seeks a preliminary and permanent injunction as well as disgorgement, prejudgment interest and civil penalties from Heinz and S.B. Heinz. The complaint also names Susan K. Heinz, Heinz’s wife, as a relief defendant and seeks disgorgement and prejudgment interest from her. The SEC’s investigation was conducted by Jennifer Moore and Scott Frost; the litigation will be led by Thomas Melton. The SEC acknowledges the assistance of the Federal Bureau of Investigation in this matter. [SEC v. Steven B. Heinz, S.B. Heinz & Associates, Inc., Case No. 2:13-cv-00753 (USDC Utah, Filed August 8, 2013).] (LR-22774) EXEMPTIVE ORDERSOrder Temporarily Exempting Certain Broker-Dealers and Certain Transactions from the Recordkeeping and Reporting Requirements of Rule 13h-1 under the Securities Exchange Act of 1934The Commission issued an order temporarily exempting certain broker-dealers and certain transactions from the recordkeeping and reporting requirements of Rule 13h-1 under the Securities Exchange Act of 1934. Publication of the order is expected in the Federal Register during the week of August 12th. (Rel. 34-70150) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-26) relating to amendments to the EDGX Exchange, Inc. Fee Schedule, has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week of August 12th. (Rel. 34-70134) A proposed rule change (SR-MIAX-2013-39) filed by Miami International Securities Exchange LLC to amend the MIAX Options Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. Publication is expected in the Federal Register during the week of August 12th. (Rel. 34-70137) A proposed rule change (SR-BOX-2013-40) filed by BOX Options Exchange LLC to amend fees for Jumbo SPY Option transactions has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of August 12th. (Rel. 34-70138) A proposed rule change filed by The NASDAQ Stock Market LLC to eliminate the exchange’s Routable Order Program (SR-NASDAQ-2013-105) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of August 12th. (Rel. 34-70139) A proposed rule change filed by NASDAQ OMX PHLX LLC to delay the implementation of the Options Floor Broker Management System until the end of September 2013 (SR-Phlx-2013-83) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of August 12th. (Rel. 34-70141) A proposed rule change filed by NASDAQ OMX PHLX LLC regarding accommodation claims (SR-Phlx-2013-81) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of August 12th. (Rel. 34-70142) A proposed rule change filed by The NASDAQ Stock Market LLC to waive the subscription fee for new subscribers to Latency Optics for a limited period (SR-NASDAQ-2013-098) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of August 12th. (Rel. 34-70143) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2013-23) relating to amendments to the EDGA Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week of August 12th. (Rel. 34-70144) A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-27) relating to amendments to the EDGX Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week of August 12th. (Rel. 34-70145) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2013-21) relating to amendments to the EDGA Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week of August 12th. (Rel. 34-70146) Notice of Proposed Rule ChangeChicago Board Options Exchange, Incorporated has filed a proposed rule change (SR-CBOE-2013-079) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to amend Rule 24.7 to add facts for determining whether to halt volatility index options trading. Publication is expected in the Federal Register during the week of August 12th. (Rel. 34-70136) 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 ACCELERON PHARMA INC, 128 SYDNEY STREET, CAMBRIDGE, MA, 02139,
617-649-9200 - 0 ($74,750,000.00) Equity, (File 333-190417 - Aug. 7)
(BR. 01A)
S-8 YuMe Inc, 1204 MIDDLEFIELD ROAD, Redwood City, CA, 94063,
650-591-9400 - 0 ($57,114,718.00) Equity, (File 333-190419 - Aug. 7)
(BR. 11A)
S-8 OLIE INC, 300-838 HASTINGS STREET, VANCOUVER, A1, V6C0A6,
604-828-9999 - 350,000,000 ($20,965,000.00) Equity, (File 333-190420 -
Aug. 7) (BR. 03C)
S-8 CHEVRON CORP, 6001 BOLLINGER CANYON ROAD, SAN RAMON, CA, 94583,
925-842-1000 - 1,288,244 ($160,000,000.00) Equity, (File 333-190421 -
Aug. 7) (BR. 04A)
S-8 CHEVRON CORP, 6001 BOLLINGER CANYON ROAD, SAN RAMON, CA, 94583,
925-842-1000 - 100,000,000 ($12,420,000,000.00) Equity,
(File 333-190422 - Aug. 7) (BR. 04A)
S-8 Meritage Homes CORP, 17851 NORTH 85TH STREET, SUITE 300, SCOTTSDALE,
AZ, 85255, 480-515-8100 - 0 ($20,000,000.00) Other, (File 333-190425 -
Aug. 7) (BR. 06A)
S-8 TRIQUINT SEMICONDUCTOR INC, 2300 NE BROOKWOOD PARKWAY, HILLSBORO, OR,
97124, 5036159000 - 400,000 ($3,172,000.00) Equity, (File 333-190426 -
Aug. 7) (BR. 10B)
S-1 QurApps, Inc., GILBOA 26 STREET, PARDES-HANNA, L3, 99999999,
972-544474070 - 1,666,668 ($50,000.04) Equity, (File 333-190431 -
Aug. 7) (BR. 03)
N-2 PENNANT 504 FUND, 11270 WEST PARK PLACE SUITE 1025, MILWAUKEE, WI,
53224, 800-894-1844 - 50,000,000 ($500,000,000.00) Equity,
(File 333-190432 - Aug. 7) (BR. )
S-8 Addus HomeCare Corp, 2401 SOUTH PLUM GROVE ROAD, PALATINE, IL, 60067,
847-303-5300 - 0 ($14,347,500.00) Equity, (File 333-190433 - Aug. 7)
(BR. 09)
S-8 DAVITA HEALTHCARE PARTNERS INC., 2000 16TH STREET, DENVER, CO, 80202,
3105362506 - 0 ($1,518,400,000.00) Equity, (File 333-190434 - Aug. 7)
(BR. 09A)
S-8 AMAG PHARMACEUTICALS INC., 100 HAYDEN AVENUE, LEXINGTON, MA, 02421,
6174983300 - 0 ($31,439,200.00) Equity, (File 333-190435 - Aug. 7)
(BR. 01A)
S-8 ZILLOW INC, 1301 SECOND AVENUE, FLOOR 31, SEATTLE, WA, 98101,
206-470-7000 - 0 ($121,733,251.95) Equity, (File 333-190436 - Aug. 7)
(BR. 03C)
S-8 AUDIOCODES LTD, 1 HAYARDEN STREET, AIRPORT CITY, LOD, ISRAEL, L3,
70151, 97239764000 - 2,000,000 ($10,040,000.00) Equity,
(File 333-190437 - Aug. 7) (BR. 11C)
S-3 MARKWEST ENERGY PARTNERS L P, 1515 ARAPAHOE STREET,
TOWER 1, SUITE 1600, DENVER, CO, 80202, 303-925-9200 -
0 ($1,000,000,000.00) Equity, (File 333-190438 - Aug. 7) (BR. 04A)
S-8 TIME WARNER INC., ONE TIME WARNER CENTER, NEW YORK, NY, 10019,
2124848000 - 0 ($2,180,162,648.56) Equity, (File 333-190439 - Aug. 7)
(BR. 11A)
N-2 Nuveen All Cap Energy MLP Opportunities Fund, 333 WEST WACKER DRIVE,
CHICAGO, IL, 60606, 312-917-8146 - 1,000 ($20,000.00) Equity,
(File 333-190440 - Aug. 7) (BR. )
S-8 TASER INTERNATIONAL INC, 17800 N. 85TH ST., SCOTTSDALE, AZ, 85255,
480-991-0797 - 0 ($64,813,919.00) Equity, (File 333-190441 - Aug. 7)
(BR. 06B)
S-8 TASER INTERNATIONAL INC, 17800 N. 85TH ST., SCOTTSDALE, AZ, 85255,
480-991-0797 - 0 ($10,000,000.00) Other, (File 333-190442 - Aug. 7)
(BR. 06B)
F-1 RIT TECHNOLOGIES LTD, 24 RAOUL WALLENBERG ST, TEL AVIV, L3, 69719,
972 3 6455151 - 0 ($11,500,000.00) Equity, (File 333-190443 - Aug. 7)
(BR. 11A)
N-2 Providence Flexible Credit Allocation Fund, 9 WEST 57TH STREET,
47TH FLOOR, NEW YORK, NY, 10019, 617-854-2089 -
0 ($1,000,000.00) Equity, (File 333-190452 - Aug. 7) (BR. )
S-3 Regional Management Corp., 509 WEST BUTLER ROAD, GREENVILLE, SC, 29607,
864-422-8011 - 7,263,599 ($217,000,021.00) Equity, (File 333-190453 -
Aug. 7) (BR. 07)
S-1 National General Holdings Corp., 59 MAIDEN LANE, 38TH FLOOR, NEW YORK,
NY, 10038, 212-380-9500 - 0 ($264,385,000.00) Equity,
(File 333-190454 - Aug. 7) (BR. )
S-1 Bullfrog Gold Corp., 897 QUAIL RUN DRIVE, GRAND JUNCTION, CO, 81505,
(970) 270-8306 - 7,000,000 ($1,680,000.00) Equity, (File 333-190455 -
Aug. 7) (BR. 09B)
S-1 Akers Biosciences Inc, 201 GROVE RD, THOROFARE, NJ, 08086,
856-848-8698 - 0 ($18,187,500.00) Equity, (File 333-190456 - Aug. 7)
(BR. )
S-3ASR CHESAPEAKE ENERGY CORP, 6100 N WESTERN AVE, OKLAHOMA CITY, OK, 73118,
4058488000 - 0 ($0.00) Debt, (File 333-190457 - Aug. 7) (BR. 04B)
S-8 CYTOKINETICS INC, 280 EAST GRAND AVENUE, ., SOUTH SAN FRANCISCO, CA,
94080, (650) 624-3000 - 2,166,666 ($24,179,993.00) Equity,
(File 333-190458 - Aug. 7) (BR. 01B)
RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
1st Century Bancshares, Inc. DE 2.02,9.01 08/07/13
AASTROM BIOSCIENCES INC MI 2.02,9.01 08/07/13
ACHILLION PHARMACEUTICALS INC DE 2.02,9.01 08/07/13
ACI WORLDWIDE, INC. DE 2.02,7.01,9.01 08/07/13
ACORN ENERGY, INC. DE 2.02,9.01 08/07/13
ADAMS RESOURCES & ENERGY, INC. DE 2.02 08/07/13
Adia Nutrition, Inc. NV 5.02,8.01,9.01 07/15/13 AMEND
ADVANCED CELL TECHNOLOGY, INC. DE 2.02,9.01 08/07/13
AG Mortgage Investment Trust, Inc. MD 2.02,9.01 08/07/13
AIRGAS INC DE 5.02,5.07,9.01 08/06/13
ALBANY MOLECULAR RESEARCH INC DE 2.02,9.01 08/06/13
Allison Transmission Holdings Inc DE 7.01,9.01 08/06/13
Alon Refining Krotz Springs, Inc. DE 2.02,9.01 08/06/13
Alon USA Energy, Inc. DE 2.02,9.01 08/06/13
Altegris QIM Futures Fund, L.P. DE 3.02 08/01/13
Altegris Winton Futures Fund, L.P. CO 3.02 08/01/13
ALTEVA, INC. NY 5.02,9.01 08/01/13
AMERICAN AIRLINES INC DE 2.03 08/05/13
AMERICAN EAGLE OUTFITTERS INC DE 2.02,9.01 08/05/13
AMERICAN INDEPENDENCE CORP DE 2.02,9.01 06/30/13
AMERICAN PACIFIC CORP DE 2.02,9.01 08/07/13
American Realty Capital Trust V, Inc. MD 1.01,2.01,9.01 08/01/13
AMERICAN SUPERCONDUCTOR CORP /DE/ DE 2.02,9.01 08/07/13
AMERICAN VANGUARD CORP DE 2.02,9.01 08/05/13
American Water Works Company, Inc. DE 2.02,9.01 08/07/13
AMETEK INC/ DE 8.01 08/07/13
AMETEK INC/ DE 2.02,9.01 08/07/13
AMICUS THERAPEUTICS INC DE 2.02,9.01 08/07/13
AMR CORP DE 8.01,9.01 08/07/13
ANDERSONS INC OH 2.02 08/06/13
ANNALY CAPITAL MANAGEMENT INC MD 2.02,9.01 08/07/13
AOL Inc. DE 1.01,2.02,3.02,9.01 08/05/13
AOL Inc. DE 5.02 08/02/13
APOLLO INVESTMENT CORP MD 5.07 08/06/13
Apollo Residential Mortgage, Inc. MD 2.02,9.01 08/06/13
AQUA AMERICA INC PA 2.02,9.01 08/06/13
Ares Commercial Real Estate Corp MD 2.02,9.01 08/07/13
ARIAD PHARMACEUTICALS INC DE 2.02,7.01,8.01,9.01 08/07/13
Armour Residential REIT, Inc. MD 3.01,5.02,9.01 08/02/13
ARRAY BIOPHARMA INC DE 1.02,2.05 08/05/13
ARRAY BIOPHARMA INC DE 2.02,9.01 08/07/13
ARRIS GROUP INC DE 2.02,9.01 08/07/13
ARROWHEAD RESEARCH CORP DE 2.02,9.01 08/07/13
ASAP Expo, Inc. NV 3.02 07/23/13
Ascent Solar Technologies, Inc. DE 1.01,3.02,8.01,9.01 08/05/13
ASIAINFO-LINKAGE, INC DE 2.02,9.01 08/07/13
ASURE SOFTWARE INC DE 1.01,9.01 08/01/13
AUTOMATIC DATA PROCESSING INC DE 5.02 08/06/13
AVIS BUDGET GROUP, INC. DE 2.02,7.01,9.01 08/06/13
AVISTA CORP WA 2.02,9.01 08/07/13
AVNET INC NY 2.02,9.01 08/07/13
Babcock & Wilcox Co DE 2.02,9.01 08/07/13
Bacterin International Holdings, Inc. DE 2.02,9.01 08/06/13
Bacterin International Holdings, Inc. DE 5.02,7.01,9.01 08/07/13
BANC OF CALIFORNIA, INC. MD 2.02,9.01 08/07/13
Bankrate, Inc. DE 1.01,1.02,2.03,8.01, 08/02/13
9.01
BEACON ENTERPRISE SOLUTIONS GROUP INC NV 8.01 08/07/13
BERRY PETROLEUM CO DE 2.02,9.01 08/06/13
BGC Partners, Inc. DE 5.02 07/30/13
Big Clix, Corp. FL 1.01 07/15/13 AMEND
BioDrain Medical, Inc. MN 5.02,5.03,9.01 08/01/13
BIOLASE, INC DE 2.02,9.01 08/07/13
BioMed Realty Trust Inc DE 2.02,8.01,9.01 08/06/13
BioScrip, Inc. DE 2.02,8.01,9.01 08/07/13
Bloomin' Brands, Inc. DE 5.02 08/07/13
BLOUNT INTERNATIONAL INC DE 2.02,2.05 08/06/13
Bluefire Equipment Corp DE 8.01,9.01 08/01/13
BofI Holding, Inc. DE 2.02,9.01 08/07/13
BOYD GAMING CORP NV 1.01,2.04 08/01/13
CACHE INC FL 5.02 08/01/13
Calumet Specialty Products Partners, DE 2.02,9.01 08/07/13
CANADIAN DERIVATIVES CLEARING CORP A6 9.01 07/31/13
Cardiovascular Systems Inc DE 2.02,9.01 08/07/13
CARDTRONICS INC DE 1.01,2.01,2.03,7.01, 08/05/13
9.01
CAREER EDUCATION CORP DE 2.02,9.01 08/07/13
Carlyle Group L.P. DE 2.02,9.01 08/07/13
CARRIZO OIL & GAS INC TX 2.02,9.01 08/07/13
CAS MEDICAL SYSTEMS INC DE 2.02,9.01 08/07/13
CELADON GROUP INC DE 7.01 07/30/13
CENTRAL FEDERAL CORP DE 2.02,9.01 08/07/13
CENTRAL GARDEN & PET CO DE 1.01,2.02,9.01 08/01/13
CENTURYLINK, INC LA 2.02,9.01 08/07/13
CENVEO, INC CO 2.02,9.01 08/07/13
CF Industries Holdings, Inc. DE 2.02,9.01 08/07/13
CHANNELADVISOR CORP DE 2.02,9.01 08/07/13
CHIMERIX INC DE 5.02,9.01 08/01/13
CHIMERIX INC DE 8.01,9.01 08/07/13
CHINA BAK BATTERY INC NV 5.02,8.01 08/07/13
CIG WIRELESS CORP. NY 1.01,2.01,3.02,5.02, 08/01/13
5.03,7.01,8.01,9.01
CIMAREX ENERGY CO DE 2.02,7.01,9.01 08/07/13
CITY HOLDING CO WV 7.01,9.01 08/07/13
CLEAN HARBORS INC MA 2.02,9.01 08/07/13
COBIZ FINANCIAL INC CO 1.02,2.04 08/05/13 AMEND
Coleman Cable, Inc. DE 8.01 08/06/13
Colony Financial, Inc. MD 2.02,9.01 08/06/13
COLORADO GOLDFIELDS INC. NV 5.02,9.01 08/06/13
COLUMBIA LABORATORIES INC DE 2.02,9.01 08/07/13
COLUMBIA PROPERTY TRUST, INC. MD 8.01 08/06/13
CombiMatrix Corp DE 2.02,9.01 08/07/13
CommonWealth REIT MD 2.02,9.01 08/07/13
Compass Diversified Holdings DE 2.02,9.01 08/07/13
COMPX INTERNATIONAL INC DE 7.01,9.01 08/06/13
CONSOLIDATED GRAPHICS INC /TX/ TX 2.02,9.01 08/07/13
Consolidation Services, Inc. DE 5.02,9.01 08/01/13
Cooper-Standard Holdings Inc. DE 2.02,9.01 08/07/13
Cooper-Standard Holdings Inc. DE 8.01,9.01 08/07/13
Core-Mark Holding Company, Inc. DE 2.02,9.01 08/07/13
CORNING NATURAL GAS CORP NY 8.01 07/25/13
CORVEL CORP DE 7.01,9.01 08/07/13
CPI International Holding Corp. 2.02,9.01 08/07/13
CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,8.01,9.01 08/06/13
CROSSROADS SYSTEMS INC DE 5.02,9.01 08/02/13
CSP INC /MA/ MA 2.02,9.01 08/07/13
CTPARTNERS EXECUTIVE SEARCH INC. DE 2.02,9.01 08/07/13
CUMULUS MEDIA INC DE 1.01,3.03,9.01 08/06/13
Cyalume Technologies Holdings, Inc. DE 5.02 08/04/13
CyrusOne Inc. MD 2.02,7.01,9.01 06/30/13
DEERE & CO DE 7.01 08/07/13
DELCATH SYSTEMS, INC. DE 2.02,9.01 08/06/13
Delek Logistics Partners, LP DE 2.02,9.01 08/06/13
DELL INC DE 8.01,9.01 08/02/13
DELTATHREE INC DE 5.07 08/06/13
DEMAND MEDIA INC. DE 2.02,9.01 08/07/13
DEPOMED INC CA 2.02,9.01 08/07/13
DEVON ENERGY CORP/DE DE 2.02,9.01 08/07/13
DEX MEDIA, INC. DE 2.02,7.01,9.01 08/07/13
DEXCOM INC DE 2.02,9.01 08/07/13
Diamondback Energy, Inc. DE 2.02,9.01 08/06/13
Digital Generation, Inc. DE 2.02,9.01 08/06/13
DORCHESTER MINERALS, L.P. DE 2.02,7.01,9.01 08/07/13
DOW CHEMICAL CO /DE/ DE 8.01,9.01 08/07/13
DREW INDUSTRIES INC DE 7.01,9.01 08/06/13
DTS, INC. DE 2.02,9.01 08/07/13
Duke Energy CORP DE 2.02,9.01 08/07/13
DUKE REALTY CORP IN 5.02,7.01,9.01 07/31/13
DUN & BRADSTREET CORP/NW DE 2.02,7.01,9.01 08/07/13
Durata Therapeutics, Inc. DE 2.02,9.01 08/07/13
EAGLE MATERIALS INC DE 2.02,9.01 08/07/13
EASTMAN KODAK CO NJ 7.01,9.01 06/30/13
EDUCATION MANAGEMENT CORPORATION 2.02,9.01 08/07/13
EMERGING CTA PORTFOLIO LP NY 1.01,9.01 08/01/13
Employers Holdings, Inc. NV 2.02,8.01,9.01 08/07/13
Energy Services of America CORP DE 9.01 07/31/13
EnerSys DE 2.02,7.01,9.01 08/07/13
Enertopia Corp. NV 7.01,9.01 08/07/13
ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 5.02 08/07/13
EPICEPT CORP 5.07 08/06/13
EQUITY LIFESTYLE PROPERTIES INC MD 8.01 08/06/13
EVERTEC, Inc. PR 2.02,5.02,7.01,9.01 08/07/13
FARMERS & MERCHANTS BANCORP INC OH 8.01,9.01 08/06/13
FEDERAL HOME LOAN MORTGAGE CORP 2.02,9.01 08/07/13
FEDERATED NATIONAL HOLDING CO FL 5.02,9.01 08/05/13
FIRST CITIZENS BANCSHARES INC /DE/ DE 2.02,7.01,9.01 08/07/13
FIRST M&F CORP/MS MS 2.02,9.01 07/19/13 AMEND
FIRST WEST VIRGINIA BANCORP INC WV 2.02,9.01 08/06/13
FIVE BELOW, INC PA 5.02,9.01 08/06/13
Forestar Group Inc. DE 2.02,7.01,9.01 08/07/13
Fortress Investment Group LLC DE 7.01 08/07/13
FriendFinder Networks Inc. NV 3.01,9.01 08/06/13
FRONTIER COMMUNICATIONS CORP DE 2.02,7.01,9.01 08/07/13
FS Investment CORP MD 5.07 08/06/13
FUEL TECH, INC. DE 2.02,9.01 08/07/13
Fuelstream INC DE 1.02,3.02 08/05/13
FUHUIYUAN INTERNATIONAL HOLDINGS Ltd NV 5.03,8.01,9.01 08/07/13
FUSION-IO, INC. DE 2.02,5.02,9.01 08/01/13
FXCM Inc. 2.02,7.01,9.01 08/07/13
GAIAM, INC CO 2.02,9.01 08/07/13
GAIN Capital Holdings, Inc. DE 2.02,7.01,8.01,9.01 08/07/13
GENESCO INC TN 7.01,9.01 08/07/13
GenMark Diagnostics, Inc. DE 2.02,9.01 08/07/13
GEOSPACE TECHNOLOGIES CORP DE 2.02,5.02,9.01 08/06/13
GETTY REALTY CORP /MD/ MD 1.01,2.02,2.03,9.01 08/07/13
GLADSTONE LAND Corp MD 2.02,9.01 08/07/13
Global Eagle Entertainment Inc. DE 2.02,9.01 08/07/13
Global Ecology Corp NV 7.01,9.01 08/07/13
Global Geophysical Services Inc DE 8.01,9.01 06/30/13
GLOBALSCAPE INC DE 2.02,9.01 08/07/13
Gogo Inc. DE 2.02,9.01 08/07/13
GOODRICH PETROLEUM CORP DE 2.02,9.01 08/06/13
Gramercy Property Trust Inc. MD 2.02,7.01,9.01 08/06/13 AMEND
GRAN TIERRA ENERGY INC. NV 2.02,9.01 08/06/13
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 08/02/13
GREEN 4 MEDIA, INC. 4.01,9.01 08/06/13
Green Endeavors, Inc. UT 3.02,9.01 07/31/13
GREEN MOUNTAIN COFFEE ROASTERS INC DE 2.02,9.01 08/07/13
GREEN MOUNTAIN COFFEE ROASTERS INC DE 7.01,9.01 08/07/13
GREEN MOUNTAIN COFFEE ROASTERS INC DE 5.02,9.01 08/04/13
Groupon, Inc. DE 2.02,5.02,8.01,9.01 08/05/13
GSV Capital Corp. MD 2.02,9.01 08/07/13
GULFPORT ENERGY CORP DE 2.02,9.01 08/06/13
HALCON RESOURCES CORP DE 7.01,8.01,9.01 08/07/13
HALOZYME THERAPEUTICS INC DE 2.02,9.01 08/07/13
HANSEN MEDICAL INC DE 2.02,9.01 08/07/13
HEALTH NET INC DE 7.01 08/06/13
HENNESSY ADVISORS INC 2.02,7.01,9.01 08/07/13
HESKA CORP DE 2.02,9.01 06/30/13
Hill International, Inc. DE 2.02,9.01 08/05/13
HMS HOLDINGS CORP 8.01 08/02/13
HMS INCOME FUND, INC. MD 2.02,7.01,9.01 08/07/13
HollyFrontier Corp DE 2.02,9.01 08/07/13
Hondo Minerals Corp 4.02 08/06/13 AMEND
HUNTINGTON INGALLS INDUSTRIES, INC. DE 2.02,9.01 08/06/13
IASIS Healthcare LLC DE 2.02,9.01 08/07/13
ICAHN ENTERPRISES L.P. DE 2.02,9.01 08/07/13
ID SYSTEMS INC DE 2.02,9.01 08/07/13
IDENIX PHARMACEUTICALS INC DE 2.02,9.01 08/07/13
IDENTIVE GROUP, INC. DE 1.01,3.02,9.01 08/07/13
Ignite Restaurant Group, Inc. 2.02,9.01 08/07/13
IMAGE SENSING SYSTEMS INC MN 2.02,9.01 08/07/13
ImmunoCellular Therapeutics, Ltd. DE 2.02,9.01 08/07/13
IMPAC MORTGAGE HOLDINGS INC MD 2.02,7.01,9.01 08/06/13
IMPERVA INC DE 2.02,9.01 08/07/13
INFORMATION SYSTEMS ASSOCIATES, INC. FL 3.03,5.03,9.01 08/01/13
ING U.S., Inc. DE 2.02,9.01 08/07/13
INSPERITY, INC. DE 7.01 08/05/13
INSULET CORP DE 2.02,9.01 08/07/13
INTER PARFUMS INC DE 2.02,7.01,8.01,9.01 08/07/13
INTERCLOUD SYSTEMS, INC. 2.02 08/05/13
Interval Leisure Group, Inc. DE 2.02,8.01,9.01 08/07/13
INTL FCSTONE INC. DE 2.02,7.01,9.01 08/07/13
INVACARE CORP OH 2.02,9.01 08/06/13
IPASS INC DE 2.02,9.01 08/07/13
IRONCLAD PERFORMANCE WEAR CORP 2.02,7.01,9.01 08/07/13
J.P. Morgan Chase Commercial Mortgage DE 6.02 08/07/13
J2 GLOBAL, INC. DE 2.02,7.01,9.01 08/07/13
JACK IN THE BOX INC /NEW/ DE 2.02,9.01 08/07/13
JACK IN THE BOX INC /NEW/ DE 5.02,9.01 08/02/13
Janus Resources, Inc. NV 1.01,5.02 08/01/13
John Bean Technologies CORP DE 2.02,9.01 08/06/13
KALEX CORP DE 1.02 08/01/13
KBR, INC. DE 5.02,9.01 08/06/13
KBS Real Estate Investment Trust III, MD 2.01,9.01 06/19/13 AMEND
KCG Holdings, Inc. DE 2.02,7.01,9.01 08/07/13
KELLY SERVICES INC DE 2.02,9.01 08/07/13
KNOLL INC DE 5.02,9.01 08/07/13
KRONOS WORLDWIDE INC 2.02,7.01,9.01 08/07/13
L & L ENERGY, INC. NV 5.02 08/07/13
LADENBURG THALMANN FINANCIAL SERVICES FL 2.02,9.01 08/07/13
Lantheus Medical Imaging, Inc. DE 2.02 08/07/13
LATTICE SEMICONDUCTOR CORP DE 5.02,9.01 08/02/13
LHC Group, Inc 2.02,9.01 08/07/13
LIBERTY PROPERTY TRUST MD 8.01,9.01 08/01/13
Limelight Networks, Inc. DE 2.02,9.01 08/07/13
LINCOLN EDUCATIONAL SERVICES CORP NJ 2.02,9.01 08/07/13
LIQUIDITY SERVICES INC DE 2.02,9.01 08/06/13
LIQUIDMETAL TECHNOLOGIES INC DE 7.01 08/05/13
LUMINEX CORP DE 2.05,9.01 08/07/13
Macquarie Infrastructure CO LLC DE 2.02,9.01 07/31/13
MAGNUM HUNTER RESOURCES CORP DE 8.01 08/07/13
Maiden Holdings, Ltd. D0 1.02,2.02,8.01,9.01 08/07/13
Maidenform Brands, Inc. DE 2.02,9.01 08/07/13
MamaMancini's Holdings, Inc. NV 1.01,3.02,9.01 08/02/13
Manitex International, Inc. MI 2.02,9.01 08/07/13
MARATHON OIL CORP DE 2.02,9.01 08/06/13
MARIN SOFTWARE INC DE 2.02,9.01 08/07/13
MARKWEST ENERGY PARTNERS L P 1.01,9.01 08/07/13
MARSH & MCLENNAN COMPANIES, INC. DE 2.02,9.01 08/06/13
Matson, Inc. HI 2.02,9.01 08/07/13
Mattersight Corp DE 2.02,7.01,9.01 08/07/13
MAXYGEN INC DE 2.02,9.01 08/07/13
MBIA INC CT 2.02,7.01,9.01 08/07/13
McEwen Mining Inc. CO 7.01,9.01 08/07/13
Measurement Specialties Inc NJ 2.02,9.01 08/07/13
MEDICINES CO /DE DE 2.01,8.01,9.01 08/05/13
MEGAS INC NV 4.01,9.01 07/12/13
MELA SCIENCES, INC. /NY 2.02,8.01,9.01 08/07/13
Memorial Production Partners LP DE 2.02,7.01,9.01 08/07/13
MESA LABORATORIES INC /CO CO 2.02,9.01 08/06/13
MetroCorp Bancshares, Inc. TX 5.02 08/05/13
MEXICO FUND INC MD 7.01,9.01 07/31/13
Michael Kors Holdings Ltd 5.07 08/01/13
Mid-Con Energy Partners, LP DE 2.02,9.01 08/06/13
MILLER ENERGY RESOURCES, INC. TN 7.01,8.01,9.01 07/31/13 AMEND
MILLER INDUSTRIES INC /TN/ TN 2.02,9.01 08/07/13
Mistras Group, Inc. DE 2.02,9.01 08/07/13
mLight Tech, Inc. FL 5.01,5.02,8.01,9.01 08/07/13
MOHEGAN TRIBAL GAMING AUTHORITY 8.01,9.01 08/06/13
MOLEX INC DE 2.02,9.01 08/07/13
Mondelez International, Inc. VA 8.01,9.01 08/06/13
Mondelez International, Inc. VA 2.02,9.01 08/07/13
MONMOUTH REAL ESTATE INVESTMENT CORP MD 2.02,7.01,9.01 08/07/13
MOVE INC DE 7.01,9.01 08/07/13
MPG Office Trust, Inc. 8.01,9.01 08/06/13
MULTI COLOR Corp OH 8.01,9.01 08/01/13
MYR GROUP INC. DE 2.02,9.01 08/07/13
NACCO INDUSTRIES INC DE 2.02,9.01 08/07/13
NACCO INDUSTRIES INC DE 2.02,7.01,9.01 08/07/13
NAKED BRAND GROUP INC. NV 1.01,2.03,9.01 08/01/13
NATIONAL BANKSHARES INC VA 7.01,9.01 08/07/13
NATIONAL RESEARCH CORP WI 2.02,9.01 08/06/13
Natural Grocers by Vitamin Cottage, I DE 2.02,9.01 08/07/13
NAVIDEA BIOPHARMACEUTICALS, INC. DE 2.02,9.01 08/07/13
NEVADA GOLD & CASINOS INC NV 4.01,9.01 08/01/13
NEW JERSEY RESOURCES CORP NJ 2.02,7.01,9.01 08/07/13
New Mountain Finance Corp DE 2.02,9.01 08/07/13
NEWCASTLE INVESTMENT CORP MD 8.01,9.01 08/07/13
NEWLINK GENETICS CORP 2.02,9.01 08/07/13
NewStar Financial, Inc. 2.02,9.01 08/07/13
NEXSTAR BROADCASTING GROUP INC DE 2.02,9.01 08/07/13
NGL Energy Partners LP DE 1.01,2.01,3.02,5.02, 08/01/13
5.03,8.01,9.01
NL INDUSTRIES INC NJ 2.02,7.01,9.01 08/07/13
NORTHWEST NATURAL GAS CO OR 2.02,9.01 08/07/13
NOVATEL WIRELESS INC DE 2.02,9.01 08/07/13
Nuance Communications, Inc. DE 2.01,9.01 05/31/13 AMEND
OCTAGON 88 RESOURCES, INC. NV 8.01,9.01 08/06/13
OFS Capital Corp DE 2.02,9.01 08/07/13
Oiltanking Partners, L.P. DE 2.02,9.01 08/07/13
OLIE INC DE 8.01,9.01 08/07/13
Omnitek Engineering Corp CA 5.07 07/31/13
Oncologix Tech Inc. NV 1.01,2.01 08/01/13
ONE WORLD HOLDINGS, INC. NV 5.03 07/31/13
ORASURE TECHNOLOGIES INC DE 2.02,7.01,9.01 08/07/13
ORCHARD SUPPLY HARDWARE STORES CORP DE 8.01,9.01 08/06/13
ORGANOVO HOLDINGS, INC. DE 8.01,9.01 08/07/13
ORMAT TECHNOLOGIES, INC. DE 2.02,9.01 08/06/13
ORTHOFIX INTERNATIONAL N V 4.02,7.01,9.01 08/05/13
OTELCO INC. DE 2.02,9.01 08/07/13
Paradigm Resource Management Corp NV 1.01,5.02,9.01 07/24/13
PARKERVISION INC FL 1.01,8.01,9.01 08/06/13
PATRIOT TRANSPORTATION HOLDING INC FL 2.02,9.01 08/07/13
PENNANTPARK INVESTMENT CORP 2.02,9.01 08/07/13
PEPCO HOLDINGS INC DE 2.02,7.01,9.01 08/07/13
PERMA FIX ENVIRONMENTAL SERVICES INC DE 2.02,9.01 08/07/13
PHARMATHENE, INC DE 2.02,8.01,9.01 08/07/13
PharMerica CORP DE 5.02,9.01 08/01/13
PHH CORP MD 8.01,9.01 08/06/13
PHOTOMEDEX INC 2.02,9.01 08/07/13
POKERTEK, INC. NC 2.02,9.01 08/07/13
Polypore International, Inc. 2.02,9.01 08/07/13
Polypore International, Inc. 2.02,9.01 08/07/13
Polypore International, Inc. 8.01,9.01 08/07/13
PORTOLA PHARMACEUTICALS INC DE 5.02 08/01/13
Post Holdings, Inc. MO 2.02,2.05,9.01 08/07/13
POWELL INDUSTRIES INC NV 2.02,9.01 08/06/13
POWERSECURE INTERNATIONAL, INC. DE 2.02,3.01,9.01 08/07/13
PRIMUS TELECOMMUNICATIONS GROUP INC DE 8.01,9.01 08/07/13
PRIVATEBANCORP, INC DE 5.07 05/23/13 AMEND
PROCERA NETWORKS, INC. DE 2.02,9.01 08/07/13
PROVIDENCE SERVICE CORP DE 2.02,9.01 08/07/13
PRUDENTIAL FINANCIAL INC NJ 2.02,7.01,9.01 08/07/13
Pzena Investment Management, Inc. DE 8.01,9.01 08/07/13
QCR HOLDINGS INC DE 5.02,9.01 08/01/13
QR Energy, LP DE 2.02,9.01 08/07/13
Quad/Graphics, Inc. WI 2.02,9.01 08/06/13
Radiation Therapy Services Holdings, DE 2.02,9.01 08/07/13
RALPH LAUREN CORP DE 2.02,9.01 08/07/13
Rand Logistics, Inc. DE 8.01,9.01 08/07/13
Rand Logistics, Inc. DE 7.01,9.01 08/07/13
Rango Energy, Inc. NV 1.01,9.01 08/06/13
RBC LIFE SCIENCES, INC. DE 2.02,9.01 08/07/13
RCM TECHNOLOGIES INC NV 2.02,9.01 08/07/13
REALBIZ MEDIA GROUP, INC MN 5.02 08/01/13
RealD Inc. DE 8.01,9.01 08/07/13
RealD Inc. DE 2.02,9.01 08/07/13
REALNETWORKS INC WA 2.02,9.01 08/07/13
Receptos, Inc. DE 2.02,9.01 08/07/13
REDWOOD TRUST INC MD 2.02,7.01,9.01 08/07/13
Regulus Therapeutics Inc. DE 1.01,9.01 08/02/13
RENTRAK CORP OR 2.02,9.01 08/07/13
REPROS THERAPEUTICS INC. DE 2.02,9.01 08/07/13
Resource Capital Corp. MD 2.02,9.01 08/06/13
Rexnord Corp DE 7.01,9.01 08/07/13
RLJ ENTERTAINMENT, INC. NV 5.07 08/01/13
Rockdale Resources Corp CO 3.02,5.02,8.01,9.01 08/05/13
ROSETTA STONE INC 2.02,7.01,9.01 08/07/13
Rubicon Technology, Inc. DE 2.02,9.01 08/07/13
rue21, inc. DE 7.01,9.01 08/06/13
RYERSON INC. DE 2.02,9.01 08/07/13
SAFETY INSURANCE GROUP INC DE 2.02,9.01 08/07/13
SAVE THE WORLD AIR INC NV 5.02 08/06/13
SCICLONE PHARMACEUTICALS INC DE 2.02,9.01 08/07/13
Sebring Software, Inc. NV 5.02 08/01/13
SEITEL INC DE 2.02,9.01 08/07/13
SELECTICA INC DE 5.02 08/06/13
SEQUENTIAL BRANDS GROUP, INC. DE 1.01,7.01,9.01 08/02/13
Shire plc 8.01,9.01 08/07/13
Shutterstock, Inc. 2.02,9.01 08/07/13
Silicon Graphics International Corp DE 2.02,9.01 08/07/13
Silver Bay Realty Trust Corp. MD 2.02,9.01 08/07/13
SIMON WORLDWIDE INC DE 1.01,2.01,9.01 03/18/13 AMEND
SINCLAIR BROADCAST GROUP INC MD 2.02,9.01 08/07/13
Skilled Healthcare Group, Inc. DE 5.03,9.01 08/02/13
SKYWEST INC UT 2.02,9.01 08/07/13
SMTC CORP DE 5.02,9.01 08/07/13
SOLARCITY CORP DE 2.02,9.01 08/07/13
SOLAZYME INC DE 2.02,9.01 08/07/13
SOTHEBYS DE 2.02,9.01 08/06/13
SOURCEFIRE INC DE 8.01,9.01 08/06/13
Southcross Energy Partners, L.P. DE 2.02,8.01,9.01 08/07/13
SOUTHWEST AIRLINES CO TX 7.01,9.01 08/01/13
SOUTHWEST GAS CORP CA 2.02 08/07/13
SP Bancorp, Inc. MD 2.02,9.01 08/07/13
Spectrum Brands Holdings, Inc. DE 7.01,9.01 08/07/13
Spectrum Brands, Inc. DE 7.01,9.01 08/07/13
SPECTRUM PHARMACEUTICALS INC DE 2.02,9.01 08/07/13
SPHERIX INC DE 7.01,9.01 08/06/13
Spirit Airlines, Inc. DE 5.02,7.01 08/07/13
SPORT CHALET INC DE 2.02,9.01 08/07/13
SPRINT Corp DE 3.03,5.02,5.03,9.01 08/01/13
Spy Inc. DE 2.02,8.01,9.01 08/07/13
Spy Inc. DE 1.01,5.02,9.01 08/07/13
ST JOE CO FL 2.02,9.01 08/07/13
ST JUDE MEDICAL INC MN 8.01 10/24/12 AMEND
STANDARD MOTOR PRODUCTS INC NY 2.02,9.01 08/07/13
STAR GAS PARTNERS LP DE 2.02,7.01,9.01 08/07/13
State Auto Financial CORP OH 2.02,7.01,9.01 08/01/13
Station Casinos LLC NV 2.02,9.01 08/07/13
STEC, INC. CA 2.02,9.01 08/07/13
STEIN MART INC FL 5.02 08/01/13
STEMCELLS INC DE 2.02,9.01 08/07/13
STERIS CORP OH 2.02,9.01 08/07/13
STONEMOR PARTNERS LP DE 2.02,9.01 08/07/13
STR HOLDINGS, INC. DE 2.02,9.01 08/07/13
STRATEGIC HOTELS & RESORTS, INC 2.02,9.01 08/07/13
STRATTEC SECURITY CORP WI 2.02,9.01 08/07/13
SUBURBAN PROPANE PARTNERS LP DE 5.02,9.01 08/06/13
SunCoke Energy Partners, L.P. DE 8.01,9.01 08/06/13
SUNEDISON, INC. DE 2.02,9.01 08/07/13
SUNOCO LOGISTICS PARTNERS L.P. DE 2.02,9.01 08/07/13
SunOpta Inc. 2.02,9.01 08/07/13
SUPERIOR UNIFORM GROUP INC FL 8.01 08/06/13
Susser Holdings CORP DE 2.02,9.01 08/07/13
Susser Petroleum Partners LP DE 2.02,9.01 08/07/13
SWIFT TRANSPORTATION Co 1.01,2.01,7.01,9.01 08/06/13
SYMMETRICOM INC DE 2.02,9.01 08/07/13
TACTICAL DIVERSIFIED FUTURES FUND L.P NY 1.01,9.01 08/01/13
Tallgrass Energy Partners, LP DE 2.02,9.01 08/07/13
TANGOE INC DE 2.02,9.01 08/07/13
TEJON RANCH CO DE 2.02,9.01 08/05/13
TENGASCO INC TN 8.01,9.01 08/01/13
TESCO CORP 2.02,9.01 08/07/13
TESLA MOTORS INC DE 2.02,9.01 08/07/13
TETRA TECHNOLOGIES INC DE 2.02,9.01 08/07/13
Textura Corp DE 2.02,7.01,9.01 08/07/13
THERAGENICS CORP DE 1.01,3.03,5.02, 08/02/13
7.01,9.01
Thompson Creek Metals Co Inc. A1 2.02,7.01 08/07/13
TIDEWATER INC DE 8.01,9.01 08/02/13
TIGER JIUJIANG MINING, INC. WY 4.01,9.01 06/27/13
TIME WARNER INC. DE 2.02,9.01 08/07/13
TNP Strategic Retail Trust, Inc. MD 1.01,2.01,2.03,9.01 08/01/13
TRANS LUX CORP DE 2.02,9.01 08/02/13
Transcept Pharmaceuticals Inc DE 2.02,7.01,9.01 08/07/13
Transocean Ltd. V8 2.02,9.01 08/07/13
TransUnion Holding Company, Inc. DE 2.02,9.01 08/07/13
Travelport LTD D0 2.02,9.01 08/07/13
Triangle Capital CORP MD 2.02,7.01,9.01 08/07/13
Tronox Ltd 1.01,5.02,9.01 07/25/13
Tropicana Las Vegas Hotel & Casino, I DE 5.02 08/05/13
Tumi Holdings, Inc. DE 2.02,9.01 08/07/13
tw telecom inc. DE 2.02,8.01,9.01 08/07/13
TWENTY-FIRST CENTURY FOX, INC. 5.03,9.01 08/06/13
TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 08/07/13
UMH PROPERTIES, INC. MD 2.02,7.01,9.01 08/07/13
US FOODS, INC. DE 5.02 08/01/13
Valeant Pharmaceuticals International A8 2.02,9.01 08/07/13
Vanda Pharmaceuticals Inc. DE 1.01,8.01,9.01 08/07/13
Vantiv, Inc. 1.01,3.02,8.01,9.01 08/01/13
VECTREN CORP IN 8.01 08/02/13
Venoco, Inc. DE 8.01 08/06/13
VERENIUM CORP DE 2.02,9.01 08/07/13
VIASPACE Inc. 5.02 08/01/13
VMWARE, INC. DE 8.01,9.01 08/07/13
VWR Funding, Inc. DE 7.01,9.01 08/07/13
WAGEWORKS, INC. DE 2.02,9.01 08/07/13
WARREN RESOURCES INC MD 2.02,7.01,9.01 08/07/13
WELLCARE HEALTH PLANS, INC. DE 2.02,9.01 08/07/13
WELLS FARGO & COMPANY/MN DE 9.01 08/07/13
WELLS MID-HORIZON VALUE-ADDED FUND I 2.01,9.01 08/01/13
WESCO INTERNATIONAL INC 7.01,9.01 08/07/13
WESTAR ENERGY INC /KS KS 2.02,7.01,9.01 08/07/13
WEYERHAEUSER CO WA 2.01,9.01 07/23/13 AMEND
WHITING USA TRUST I DE 2.02,9.01 08/07/13
Whiting USA Trust II DE 2.02,9.01 08/07/13
Wild Craze, Inc. NV 1.01,3.02,9.01 08/02/13
Williams Partners L.P. 7.01,8.01,9.01 08/02/13
WILLIS LEASE FINANCE CORP DE 2.02,7.01,9.01 08/06/13
XCel Brands, Inc. DE 1.01,2.03,9.01 08/01/13
XCEL ENERGY INC MN 7.01 08/07/13
YRC Worldwide Inc. DE 2.02,9.01 08/07/13
Zumiez Inc WA 7.01,9.01 08/07/13
http://www.sec.gov/news/digest/2013/dig080813.htm
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