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Commission announcementsKara Stein Sworn in as SEC CommissionerThe Securities and Exchange Commission ("Commission") today announced that Kara M. Stein was sworn into office as an SEC Commissioner this afternoon by SEC Chair Mary Jo White. Ms. Stein replaces former Commissioner Elisse Walter. "It is an honor to join my fellow Commissioners and the talented staff of the Securities and Exchange Commission as we carry out the vitally important mission of the SEC," said Commissioner Kara M. Stein. "I am excited to join the agency that plays such a critical role in the economic well-being of our nation." President Barack Obama nominated Ms. Stein to the SEC on May 23 and her nomination was confirmed by the U.S. Senate on August 1, along with that of Dr. Michael S. Piwowar, who is expected to be sworn into office as an SEC Commissioner next week. Ms. Stein previously was Legal Counsel and Senior Policy Advisor to Sen. Jack Reed. From 2009 to 2013, she was Staff Director of the Senate Banking, Housing, and Urban Affairs Committee’s Subcommittee on Securities, Insurance, and Investment. Ms. Stein was Legal Counsel and Senior Policy Advisor to Sen. Reed from 2007 to 2009 and served as both the Majority and Minority Staff Director on the Banking Committee’s Subcommittee on Housing and Transportation from 2001 to 2006. She served as Legal Counsel to Sen. Reed from 1999 to 2000, following two years as a Legislative Assistant to Sen. Chris Dodd. "I am very pleased to welcome Kara Stein to the SEC and greatly appreciate her continued commitment to public service," said Chair White. "Kara joins an agency comprised of some of the most dedicated professionals in public service today. She will be a critical partner in our ongoing effort to protect investors and oversee the most dynamic and complex markets in the world, and I am looking forward to working with her." Before working on Capitol Hill, Ms. Stein was an associate at the law firm of Wilmer, Cutler & Pickering and an assistant professor with the University of Dayton School of Law. She was an Advocacy Fellow with the Georgetown University Law Center from 1993 to 1995, and was a Skadden Fellow from 1991 to 1993, and a visiting lecturer with the University of Nigeria Faculty of Law from 1989 to 1990. Ms. Stein received her B.A. from Yale College and J.D. from Yale Law School. (Press Rel. 2013-152) Geoffrey Aronow Named Chief Counsel and Senior Policy Advisor in Office of International AffairsThe Commission today announced that Geoffrey Aronow has been named chief counsel and senior policy advisor in the Office of International Affairs (OIA). Mr. Aronow will provide legal counsel to the director of the office and play a central role in advising and formulating Commission policy in the international arena. He also will coordinate staff input on international issues related to rulemakings and interpretive guidance. Along with others in the office, he will represent the SEC before international organizations and committees as they relate to international legal issues. "As the international regulatory arena continues to grow, the related legal and policy issues will become an increasingly critical part of the Commission’s work," said SEC Chair Mary Jo White. "Geoffrey brings significant talent and experience to this new position, and I am pleased that he has agreed to take on this role." Robert Fisher, Director of the SEC’s Office of International Affairs, added, "Geoffrey joins OIA at a time when the international issues the Commission faces continue to increase in significance and complexity. His keen intellect, dedication to investors, and expertise in the international securities law realm make him a welcome addition to the leadership team in OIA." Mr. Aronow said, "I welcome this opportunity to work with the great people in the Office of International Affairs and contribute to addressing the increasingly challenging but central issues arising in the international arena." Mr. Aronow has been serving as senior counsel to Chair White. Previously, he served as the SEC’s General Counsel under Chairman Elisse Walter. (Press Rel. 2013-153) Commission Issues Risk Alert on Options Trading Used to Evade Short-Sale RequirementsThe Commission today issued a Risk Alert to help market participants detect and prevent options trading that circumvents an SEC short-sale rule. The SEC’s Office of Compliance Inspections and Examinations (OCIE) issued the alert after its examiners observed options trading strategies that appear to evade certain requirements of the short-sale rule. The alert describes the strategies used by some customers, broker-dealers and clearing firms, summarizes related enforcement actions, and notes practices that some firms have found to be effective in detecting and preventing trading intended to evade the rule, known as Regulation SHO. Regulation SHO tightened requirements for short sales, which involve sales of borrowed securities. Short sellers profit from price declines by replacing borrowed securities at a lower price. Under Regulation SHO, short sellers who fail to deliver securities after the settlement date are required to close out their position immediately, unless they qualify as bona fide market makers for a limited amount of extra time to close-out. As noted in the alert, the trading strategies observed by the OCIE staff may give the impression of satisfying the Regulation SHO "close-out requirement," while in effect evading it. These sham close-outs violate the SEC rule, which aims to ensure that trades settle promptly, thereby reducing settlement failures. "This Risk Alert encourages awareness of options trading activity used to avoid complying with the close-out requirements under Regulation SHO," said OCIE Director Andrew Bowden. "The alert describes these trading activities in detail to help broker-dealers and their correspondent clearing firms avoid the regulatory and reputational risks that are posed by these activities." In addition, the Risk Alert describes activities that the staff has observed that may indicate an attempt to circumvent Regulation SHO. These include: • Trading exclusively or excessively in hard-to-borrow securities or threshold list securities, or in near-term listed options on such securities Eric Peterson and Tom Mester of the National Exam Program staff contributed substantially to the preparation of this Risk Alert. They received valuable input from the Division of Trading and Markets and the Division of Economic and Risk Analysis. (Press Rel. 2013-151) ENFORCEMENT PROCEEDINGSIn the Matter of Joseph Hilton, A/K/A Joseph YurkinThe Commission announced the issuance of an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 against Joseph Hilton (the Order). The Order finds that from no later than March 2011 until January 2012, Joseph Hilton ("Hilton") sold securities in the form of limited partnership units in at least three oil drilling projects in Tennessee sponsored by United States Energy Corporation ("U.S. Energy"). In connection with these sales, Hilton managed a boiler room and sales agents to assist him in soliciting contributions and paid these sales agents transaction-based commissions in exchange for finding investors and selling U.S. Energy securities. In 2008, the Commission entered an order barring Hilton, a/k/a Joseph Yurkin, from associating with a broker-dealer. In the Matter of Joseph Yurkin, Exchange Act Release No. 58768 (Oct. 10, 2008). Hilton, who has never been registered as or with a licensed broker-dealer, and who is barred from associating with a broker-dealer, participated in unregistered broker-dealer conduct in connection with the U.S. Energy offerings. In September 2012, the Commission filed a complaint against Hilton in Securities and Exchange Commission v. Joseph Hilton, et al., Civil Action Number 12-CV-81033, in the United States District Court for the Southern District of Florida. On February 28, 2013, the Court entered a judgment, to which Hilton consented, permanently enjoining Hilton from violating Sections 15(a)(1) and 10(b) and Rule 10b-5 of the Exchange Act, and Sections 5(a) and (c) and 17(a) of the Securities Act of 1933. The Commission’s complaint alleged, among other things, that from no later than March 2011 until January 2012, in connection with the sale of U.S. Energy securities, Hilton misrepresented his identity, the risks associated with the investment, the anticipated dividends due to investors, the amount of oil U.S. Energy’s wells produced, and otherwise engaged in a variety of conduct that operated as a fraud and deceit on investors. The complaint also alleged that Hilton sold unregistered securities. The complaint also alleged that in a second series of offerings from February 2012 until the date of filing the complaint, Hilton made numerous misrepresentations and omissions in connection with the offer and sale of unregistered securities in the form of units consisting of partnership shares in Rock Castle Drilling Fund I LP and Rock Castle Drilling Fund II LP (collectively, the "Companies"). These included false claims about the Companies’ oil drilling success and omissions about Hilton’s background and history with regulatory agencies. Based on the above, the Order bars Joseph Hilton from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Hilton consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted entry of the injunction. (Rel. 34-70152) In the Matter of New Horizon Publishing Inc.The Commission announced the issuance of an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 against New Horizon Publishing Inc. (the Order). The Order finds that from no later than March 2011 until January 2012, New Horizon Publishing Inc. ("New Horizon") paid sales agents commission in exchange for finding investors and selling securities in the form of limited partnership units in at least three oil drilling projects in Tennessee sponsored by United States Energy Corporation ("U.S. Energy"). New Horizon, which has never been registered as or with a licensed broker-dealer, participated in unregistered broker-dealer conduct in connection with the U.S. Energy offerings. In September 2012, the Commission filed a complaint against New Horizon and others in Securities and Exchange Commission v. Joseph Hilton, et al., Civil Action Number 12-cv-81033, in the United States District Court for the Southern District of Florida. On March 21, 2013, the Court entered a judgment, to which New Horizon consented, permanently enjoining New Horizon from violation Section 15(a)(1) of the Exchange Act. The Commission’s complaint alleged, among other things, that U.S. Energy paid New Horizon for raising investor funds directly and through a boiler room where sales agents solicited investors. New Horizon also paid sales agents’ commissions in exchange for finding investors and selling U.S. Energy securities. Based on the above, the Order bars New Horizon Publishing Inc. from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. New Horizon Publishing Inc. consented to the issuance of the Order without admitting or denying any of the findings in the Order, except it admitted entry of the injunction. (Rel. 34-70153) In the Matter of Pacific Northwestern Energy, LLCThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions against Pacific Northwestern Energy, LLC (the Order). The Order finds that Pacific Northwestern Energy, LLC ("Pacific") served as the general partner and sponsor for two offerings of limited partnership units in Rock Castle Drilling Fund LP and Rock Castle Drilling Fund II LP. Pacific has never been registered with the Commission in any capacity. On May 6, 2013, a judgment was entered by consent against Pacific, permanently enjoining it from future violations of Sections 5(a) and (c) and 17(a) of the Securities Act of 1933, and Sections 15(a)(1) and 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Joseph Hilton, et al., Civil Action Number 12-cv-81033, in the United States District Court for the Southern District of Florida. The Commission’s complaint alleged that, in connection with the sale of limited partnership units, Pacific made misrepresentations and omissions to investors about Pacific’s drilling success and oil production, and otherwise engaged in a variety of conduct which operated as a fraud and deceit on investors. The complaint also alleged that Pacific sold unregistered. Based on the above, the Order bars Pacific Northwestern Energy, LLC from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Pacific Northwestern Energy, LLC consented to the issuance of the Order without admitting or denying any of the findings in the Order, except it admitted entry of the injunction. (Rel. 34-70154) Order Approving Plan of Distribution, Appointing a Fund Administrator, and Waiving a Bond RequirementThe Commission approved the distribution plan for the Fair Fund, comprised of $50,000,000 in disgorgement and a civil penalty paid by Respondents Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company, for distribution to investors affected by three accountholders who engaged in short-term trading of the Waddell & Reed mutual fund complex harming those funds by diluting the returns of other investors. (Rel. 34-70151) Investment company ordersThe Commission issued a notice of an application for a declaratory order under Section 554(e) of the Administrative Procedure Act of 1946 ("APA") concerning a proxy voting procedure under Section 12(d)(1)(F) of the Investment Company Act of 1940 ("Act"). Publication is expected in the Federal Register during the week of August 12th. (Rel. IC-30647) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change (SR-NYSE-2013-57) filed by New York Stock Exchange LLC to amend Section 902.03 of the Listed Company Manual to specify how the Initial Application Fee is treated for certain issuers that do not immediately list a security for which they already paid an Initial Application Fee 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. 34-70155) A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-30) 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. (Release No. 34-70147) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2013-19) 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. (Release No. 34-70135). 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-3ASR Live Nation Entertainment, Inc., 9348 CIVIC CENTER DRIVE, BEVERLY HILLS, CA, 90210, 310-867-7200 - 1,319,198 ($21,634,847.20) Equity, (File 333-190459 - Aug. 8) (BR. 05B) S-8 CELLULAR DYNAMICS INTERNATIONAL, INC., 525 SCIENCE DRIVE, MADISON, WI, 53711, (608) 310-5100 - 2,444,191 ($23,211,886.36) Equity, (File 333-190460 - Aug. 8) (BR. 01B) S-1 Diamondback Energy, Inc., 500 WEST TEXAS, SUITE 1210, MIDLAND, TX, 79701, 405-463-6900 - 4,600,000 ($190,164,000.00) Equity, (File 333-190462 - Aug. 8) (BR. 04A) S-1 OXIGENE INC, 701 GATEWAY BLVD., SOUTH SAN FRANCISCO, CA, 94080, 650-635-7000 - 0 ($20,000,000.00) Equity, (File 333-190464 - Aug. 8) (BR. 01B) S-1 SOLAR WIND ENERGY TOWER, INC., 1997 ANNAPOLIS EXCHANGE BLVD., SUITE 300, ANNAPOLIS, MD, 21401, 410-972-4713 - 44,000,000 ($976,800.00) Equity, (File 333-190466 - Aug. 8) (BR. 09A) S-8 PACCAR INC, PACCAR BUILDING, 777 106TH AVENUE NE, BELLEVUE, WA, 98004, 425 468 7383 - 0 ($678,900,000.00) Equity, (File 333-190467 - Aug. 8) (BR. 05C) S-8 CIMATRON LTD, 11 GUSH ETZION ST, GIVAT SHMUEL, ISRAEL 51905, L3, 00000, 9725312121 - 618,500 ($4,137,765.00) Equity, (File 333-190468 - Aug. 8) (BR. 03B) S-8 MAGAL SECURITY SYSTEMS LTD, P O BOX 70, INDUSTRIAL ZONE, YAHUD ISRAEL, L3, 5600, 500,000 ($1,745,000.00) Equity, (File 333-190469 - Aug. 8) (BR. 11C) S-3ASR BROADRIDGE FINANCIAL SOLUTIONS, INC., 1981 MARCUS AVENUE, LAKE SUCCESS, NY, 11042, 516-472-5400 - 0 ($0.00) Debt, (File 333-190470 - Aug. 8) (BR. 02C) S-8 Jones Energy, Inc., 807 LAS CIMAS PARKWAY, SUITE 350, AUSTIN, TX, 78746, 512-328-2953 - 0 ($54,092,500.00) Equity, (File 333-190471 - Aug. 8) (BR. 04A) S-8 NXP Semiconductors N.V., 31 40 27 43704 - 140,000 ($4,965,800.00) Equity, (File 333-190472 - Aug. 8) (BR. 10B) S-8 NII HOLDINGS INC, 1875 EXPLORER ST., SUITE 1000, RESTON, VA, 20190, 7033905100 - 0 ($79,320,000.00) Equity, (File 333-190473 - Aug. 8) (BR. 11A) S-8 ION GEOPHYSICAL CORP, 2105 CITYWEST BLVD, SUITE 400, HOUSTON, TX, 770422839, 281.933.3339 - 0 ($24,133,100.00) Equity, (File 333-190474 - Aug. 8) (BR. 04A) S-8 CALLIDUS SOFTWARE INC, 6200 STONERIDGE MALL ROAD, SUITE 500, PLEASANTON, CA, 94588, 925-251-2200 - 0 ($4,338,288.24) Equity, (File 333-190475 - Aug. 8) (BR. 03B) S-1 Ruthigen, Inc., 2455 BENNETT VALLEY RD. SUITE C116, SANTA ROSA, CA, 95404, (707) 525-9900 - 0 ($26,675,000.00) Equity, (File 333-190476 - Aug. 8) (BR. 01A) S-8 Cal Dive International, Inc., 2500 CITYWEST BOULEVARD, SUITE 2200, HOUSTON, TX, 77042, 713-361-2600 - 4,800,000 ($10,032,000.00) Equity, (File 333-190477 - Aug. 8) (BR. 04A) S-8 Orbitz Worldwide, Inc., 500 W. MADISON STREET, SUITE 1000, CHICAGO, IL, 60661, 312-894-5000 - 0 ($13,860,000.00) Equity, (File 333-190478 - Aug. 8) (BR. 05C) S-3ASR WEB.COM GROUP, INC., 12808 GRAN BAY PARKWAY WEST, JACKSONVILLE, FL, 32258, 9046806600 - 0 ($0.00) Equity, (File 333-190479 - Aug. 8) (BR. 03B) S-8 ONCOGENEX PHARMACEUTICALS, INC., 1522 217TH PLACE S.E., BOTHELL, WA, 98021, 4254879500 - 0 ($15,680,000.00) Equity, (File 333-190480 - Aug. 8) (BR. 01A) S-8 Interactive Intelligence Group, Inc., 7601 INTERACTIVE WAY, INDIANAPOLIS, IN, 46278, (317) 872-3000 - 2,000,000 ($115,520,000.00) Equity, (File 333-190481 - Aug. 8) (BR. 03A) S-8 MEDIVATION, INC., 525 MARKET STREET, 36TH FLOOR, SAN FRANCISCO, CA, 94105, 415-543-3470 - 0 ($201,604,500.00) Equity, (File 333-190482 - Aug. 8) (BR. 01B) S-8 FLEETCOR TECHNOLOGIES INC, 5445 TRIANGLE PARKWAY, SUITE 400, NORCROSS, GA, 30092, 800-877-9019 - 6,500,000 ($595,595,000.00) Equity, (File 333-190483 - Aug. 8) (BR. 03A) S-8 HCC INSURANCE HOLDINGS INC/DE/, 13403 NORTHWEST FRWY, HOUSTON, TX, 77040-6094, 7136907300 - 0 ($88,420,000.00) Equity, (File 333-190484 - Aug. 8) (BR. 01A) S-4 CAPITAL ONE FINANCIAL CORP, 1680 CAPITAL ONE DRIVE, SUITE 1400, MCLEAN, VA, 22102, 7037201000 - 0 ($839,111,000.00) Debt, (File 333-190485 - Aug. 8) (BR. 12A) S-8 INFORMATICA CORP, 100 CARDINAL WAY, REDWOOD CITY, CA, 94063, 6503855000 - 0 ($152,480,000.00) Equity, (File 333-190486 - Aug. 8) (BR. 03C) S-8 EAGLE MATERIALS INC, 3811 TURTLE CREEK BLVD, SUITE 1100, DALLAS, TX, 75219, 214-432-2000 - 0 ($199,830,000.00) Equity, (File 333-190487 - Aug. 8) (BR. 06A) S-8 Furiex Pharmaceuticals, Inc., 3900 PARAMOUNT PARKWAY, SUITE 150, MORRISVILLE, NC, 27560, 919-456-7800 - 400,000 ($17,048,000.00) Equity, (File 333-190488 - Aug. 8) (BR. 01A) S-3ASR MFA FINANCIAL, INC., 350 PARK AVENUE, 20TH FL, NEW YORK, NY, 10022, 2122076400 - 13,025,000 ($100,422,750.00) Equity, (File 333-190489 - Aug. 8) (BR. 08B) S-8 MEDICINOVA INC, 4350 LA JOLLA VILLAGE DRIVE, SUITE 950, SAN DIEGO, CA, 92122, 858-373-1500 - 0 ($14,123,955.00) Equity, (File 333-190490 - Aug. 8) (BR. 01B) S-3ASR JUNIPER NETWORKS INC, 1194 NORTH MATHILDA AVE, SUNNYVALE, CA, 94089, 4087452000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-190491 - Aug. 8) (BR. 03A) S-4 TESORO LOGISTICS LP, 19100 RIDGEWOOD PARKWAY, SAN ANTONIO, TX, 78259, 210-626-6000 - 0 ($900,000,000.00) Debt, (File 333-190492 - Aug. 8) (BR. 04B) S-8 Capital Bank Financial Corp., 121 ALHAMBRA PLAZA, SUITE 1601, CORAL GABLES, FL, 33134, 305 670 0200 - 0 ($50,470,875.00) Equity, (File 333-190493 - Aug. 8) (BR. 07) S-3ASR NPS PHARMACEUTICALS INC, 550 HILLS DRIVE, BEDMINSTER, NJ, 07921, (908) 450-5300 - 0 ($0.00) Other, (File 333-190494 - Aug. 8) (BR. 01B) S-8 YAHOO INC, 4083493300 - 0 ($30,177,077.22) Equity, (File 333-190495 - Aug. 8) (BR. 03B) Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 30DC, INC. MD 7.01,9.01 08/08/13 99 CENTS ONLY STORES CA 2.02,9.01 08/08/13 AAON INC NV 2.02,7.01,9.01 08/08/13 ABRAXAS PETROLEUM CORP NV 2.02,7.01 08/08/13 ACTUANT CORP WI 1.01 08/02/13 ACTUANT CORP WI 5.02,5.03,9.01 08/08/13 ADVANCE AUTO PARTS INC DE 2.02,9.01 08/08/13 Advanced Emissions Solutions, Inc. 2.02,9.01 08/07/13 ADVENT SOFTWARE INC /DE/ DE 1.01,9.01 08/07/13 AEI INCOME & GROWTH FUND XXI LTD PART MN 2.01,9.01 08/08/13 AEI NET LEASE INCOME & GROWTH FUND XX MN 2.01,9.01 08/08/13 AES CORP DE 2.01,7.01,9.01 08/08/13 Affinia Group Intermediate Holdings I DE 2.02,9.01 08/08/13 AgFeed Industries, Inc. NV 8.01 08/01/13 AIR LEASE CORP DE 2.02,9.01 08/08/13 AIR METHODS CORP DE 2.02,9.01 08/08/13 Air Transport Services Group, Inc. DE 2.02,9.01 08/08/13 Alexander & Baldwin, Inc. HI 2.02,2.03,9.01 08/02/13 Alexander & Baldwin, Inc. HI 7.01,9.01 08/08/13 Alexza Pharmaceuticals Inc. DE 2.02,9.01 08/08/13 ALION SCIENCE & TECHNOLOGY CORP DE 2.02,7.01,8.01 08/08/13 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 08/08/13 ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 2.02,9.01 08/08/13 ALLSTATE CORP DE 8.01,9.01 08/05/13 ALNYLAM PHARMACEUTICALS, INC. 2.02,9.01 08/08/13 ALTAIR NANOTECHNOLOGIES INC Z4 2.02,9.01 08/08/13 AMARIN CORP PLC\UK X0 2.02,9.01 08/08/13 AMC Networks Inc. DE 2.02,9.01 08/08/13 Ameresco, Inc. DE 2.02,9.01 08/08/13 AMERICAN APPAREL, INC DE 7.01,9.01 08/08/13 AMERICAN PUBLIC EDUCATION INC DE 2.02,9.01 08/08/13 AMERICAN SAFETY INSURANCE HOLDINGS LT 1.01,8.01,9.01 08/07/13 AMERICAN STATES WATER CO CA 2.02,9.01 08/08/13 AMERISOURCEBERGEN CORP DE 8.01,9.01 08/08/13 AMYRIS, INC. DE 1.01,3.02 08/08/13 AMYRIS, INC. DE 2.02,9.01 08/08/13 Anacor Pharmaceuticals, Inc. DE 2.02,9.01 08/08/13 ANIXTER INTERNATIONAL INC DE 7.01 08/08/13 Annie's, Inc. DE 2.02,9.01 08/08/13 Apollo Global Management LLC DE 2.02,9.01 08/08/13 Apollo Global Management LLC DE 7.01,9.01 08/08/13 APOLLO INVESTMENT CORP MD 2.02,9.01 08/08/13 Apple REIT Eight, Inc. VA 1.01,8.01,9.01 08/07/13 Apple REIT Nine, Inc. VA 1.01,8.01,9.01 08/07/13 Apple REIT Seven, Inc. VA 1.01,8.01,9.01 08/07/13 ARDEN GROUP INC DE 2.02,9.01 08/08/13 ASBURY AUTOMOTIVE GROUP INC DE 1.01,2.03 08/08/13 Ascent Solar Technologies, Inc. DE 2.02,9.01 08/08/13 Atlantic Coast Financial CORP MD 3.01,5.02 08/05/13 ATLANTIC POWER CORP A1 2.02,8.01,9.01 08/08/13 AV Homes, Inc. DE 2.02,9.01 08/08/13 AVAYA INC DE 2.02,9.01 08/08/13 AVIV REIT, INC. MD 2.02,9.01 08/08/13 AXT INC DE 1.01,9.01 08/02/13 BALLANTYNE STRONG, INC. DE 2.02,9.01 08/08/13 BANCORPSOUTH INC MS 1.01,2.03,9.01 08/08/13 BEAM INC DE 2.02,7.01,8.01,9.01 08/08/13 BELDEN INC. DE 2.02,9.01 08/08/13 BG Medicine, Inc. DE 2.02,8.01,9.01 08/08/13 BIOCRYST PHARMACEUTICALS INC DE 2.02,7.01,9.01 08/08/13 Bloomin' Brands, Inc. DE 7.01 08/05/13 BlueFlash Communications, Inc. FL 1.01,3.02,3.03,5.03, 06/20/13 5.07,8.01,9.01 BofI Holding, Inc. DE 7.01,9.01 08/08/13 BOINGO WIRELESS INC DE 2.02,9.01 08/08/13 BPZ RESOURCES, INC. TX 2.02,9.01 08/07/13 Braeden Valley Mines Inc. NV 5.02 07/05/13 BRAZIL GOLD CORP. NV 3.02,5.03,9.01 08/07/13 AMEND BRIGHT HORIZONS FAMILY SOLUTIONS INC. DE 2.02,9.01 08/08/13 BROADCAST INTERNATIONAL INC UT 1.01,2.03,9.01 08/06/13 BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 2.02,8.01,9.01 08/08/13 Brookdale Senior Living Inc. DE 2.02,7.01,9.01 08/07/13 BROOKS AUTOMATION INC DE 2.02,5.02,9.01 08/08/13 BRT REALTY TRUST MA 2.02,9.01 08/08/13 C H ROBINSON WORLDWIDE INC DE 8.01,9.01 08/08/13 Cal Dive International, Inc. DE 2.02,7.01,9.01 08/07/13 CALLON PETROLEUM CO DE 2.02,7.01,9.01 08/08/13 Campus Crest Communities, Inc. MD 5.02,9.01 08/05/13 CAPSTONE TURBINE Corp DE 2.02,9.01 08/08/13 Car Charging Group, Inc. NV 4.01,9.01 07/24/13 CAREFUSION Corp 2.02,7.01,9.01 08/08/13 CAREFUSION Corp 5.02,9.01 08/08/13 CARRIAGE SERVICES INC DE 2.02 08/08/13 CARTERS INC DE 8.01,9.01 08/08/13 CECO ENVIRONMENTAL CORP DE 1.01,2.02,9.01 08/05/13 CEDAR FAIR L P DE 2.02,9.01 08/08/13 Celsion CORP DE 2.02,9.01 08/08/13 Centaur Guernsey L.P. Inc. 7.01 08/08/13 CHAMBERS STREET PROPERTIES MD 2.02,7.01,8.01,9.01 08/08/13 CHARLES & COLVARD LTD NC 5.02,8.01,9.01 08/02/13 CHARLES & COLVARD LTD NC 2.02,9.01 08/08/13 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 08/08/13 ChemoCentryx, Inc. DE 3.01 08/02/13 CHESAPEAKE GRANITE WASH TRUST DE 2.02,9.01 08/08/13 China Biologic Products, Inc. 1.01,9.01 08/08/13 CHIQUITA BRANDS INTERNATIONAL INC NJ 2.02,9.01 08/08/13 ChyronHego Corp NY 2.02,9.01 08/08/13 ChyronHego Corp NY 3.01 08/08/13 ChyronHego Corp NY 1.01,2.03 08/05/13 CINCINNATI BELL INC OH 2.02,7.01,9.01 08/08/13 CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 08/08/13 CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 08/08/13 CLEAN DIESEL TECHNOLOGIES INC DE 2.02,9.01 08/08/13 Clean Energy Fuels Corp. DE 2.02,9.01 08/08/13 COCA COLA BOTTLING CO CONSOLIDATED /D DE 2.02,9.01 08/06/13 Coeur Mining, Inc. DE 2.02,9.01 08/08/13 COGENT COMMUNICATIONS GROUP INC 2.02,9.01 08/08/13 Coleman Cable, Inc. DE 2.02,9.01 08/08/13 Colony Financial, Inc. MD 1.01,1.02,2.03,9.01 08/06/13 COLUMBIA LABORATORIES INC DE 5.03,7.01,9.01 08/08/13 CommonWealth REIT MD 8.01,9.01 08/07/13 COMPUTER SCIENCES CORP NV 7.01 08/06/13 CONCHO RESOURCES INC DE 2.02,9.01 08/07/13 Consolidated Communications Holdings, DE 2.02,9.01 08/08/13 CONTINENTAL RESOURCES, INC OK 2.02,7.01,9.01 08/07/13 COOPER TIRE & RUBBER CO DE 2.02,9.01 08/08/13 CORCEPT THERAPEUTICS INC DE 2.02,7.01,9.01 08/08/13 CORNERSTONE THERAPEUTICS INC DE 5.02 08/06/13 CORRECTIONS CORP OF AMERICA MD 2.02,9.01 08/07/13 CPI AEROSTRUCTURES INC NY 2.02 08/06/13 CPS TECHNOLOGIES CORP/DE/ DE 9.01 06/29/13 CRAILAR TECHNOLOGIES INC A1 2.02,9.01 08/08/13 CREDEX CORP FL 5.02,9.01 08/07/13 CRIMSON EXPLORATION INC. 2.02,9.01 08/07/13 CROSSTEX ENERGY INC DE 2.02,9.01 08/07/13 CROSSTEX ENERGY LP DE 2.02,9.01 08/07/13 CUBIC CORP /DE/ DE 5.03,9.01 08/08/13 CYTORI THERAPEUTICS, INC. DE 2.02,9.01 08/08/13 DAKOTA PLAINS HOLDINGS, INC. NV 2.02,9.01 08/08/13 DARLING INTERNATIONAL INC DE 2.02,9.01 08/08/13 DCP Midstream Partners, LP DE 1.01,7.01,9.01 08/07/13 DEAN FOODS CO DE 2.02,9.01 08/08/13 DEEP WELL OIL & GAS INC NV 1.01,3.02,8.01,9.01 07/31/13 AMEND DEEP WELL OIL & GAS INC NV 1.01,3.02,8.01,9.01 07/31/13 AMEND Delek US Holdings, Inc. 2.02,9.01 08/07/13 DENDREON CORP DE 2.02,9.01 08/08/13 DENDREON CORP DE 5.02 08/05/13 DEVRY INC DE 2.02,8.01,9.01 08/08/13 diaDexus, Inc. DE 2.02,9.01 08/08/13 DIRECT INSITE CORP DE 7.01,9.01 08/08/13 Discover Financial Services DE 2.03,9.01 08/08/13 DISCOVERY LABORATORIES INC /DE/ DE 2.02,8.01,9.01 08/08/13 Diversicare Healthcare Services, Inc. DE 2.02,9.01 08/08/13 DOT HILL SYSTEMS CORP DE 2.02,9.01 08/08/13 DOT HILL SYSTEMS CORP DE 2.02,8.01,9.01 08/08/13 DOT HILL SYSTEMS CORP DE 2.02,8.01,9.01 08/08/13 AMEND DOUBLE EAGLE PETROLEUM CO MD 2.02,5.02,7.01,9.01 08/07/13 DOVER SADDLERY INC 2.02,7.01,9.01 08/08/13 Dr Pepper Snapple Group, Inc. DE 8.01,9.01 08/08/13 EAGLE MATERIALS INC DE 5.07 08/07/13 EASTMAN KODAK CO NJ 2.02,9.01 08/07/13 ECHELON CORP DE 2.02,9.01 08/08/13 Edgen Group Inc. DE 2.02,9.01 08/08/13 ELEPHANT TALK COMMUNICATIONS CORP DE 8.01,9.01 08/06/13 ELIZABETH ARDEN INC FL 2.02,5.02,9.01 08/08/13 EMC INSURANCE GROUP INC IA 2.02,7.01,9.01 08/08/13 Emdeon Inc. DE 2.02,9.01 08/08/13 EMERSON ELECTRIC CO MO 5.02 08/06/13 EMULEX CORP /DE/ DE 2.02,9.01 08/08/13 ENCORE CAPITAL GROUP INC DE 2.02,9.01 08/08/13 ENCORE CAPITAL GROUP INC DE 2.02,9.01 08/08/13 Energy Services of America CORP DE 3.02,3.03,5.03,9.01 08/06/13 Energy Transfer Equity, L.P. DE 2.02,9.01 08/07/13 Energy Transfer Equity, L.P. DE 1.01,7.01,9.01 08/07/13 Energy Transfer Partners, L.P. DE 2.02,9.01 08/07/13 Energy Transfer Partners, L.P. DE 1.01,7.01,9.01 08/07/13 Entertainment Gaming Asia Inc. NV 2.02,9.01 08/08/13 ENVESTNET, INC. DE 2.02,9.01 08/08/13 EPAM Systems, Inc. DE 2.02,9.01 08/08/13 EPLUS INC DE 2.02,9.01 08/06/13 EPSILON CORP DE 1.01,3.02,9.01 08/02/13 EQUAL ENERGY LTD. A0 2.02,9.01 08/07/13 EQUAL ENERGY LTD. A0 2.02,9.01 08/08/13 Equisource Hotel Fund I, LLP NV 1.01,3.02,5.03,9.01 06/10/13 ESCO TECHNOLOGIES INC MO 2.02,7.01,9.01 08/08/13 Essex Rental Corp. IL 2.02 08/07/13 EWaste Systems, Inc. NV 7.01,9.01 08/07/13 Exobox Technologies Corp. NV 5.02,8.01 08/07/13 ExOne Co DE 8.01,9.01 08/08/13 Fairway Group Holdings Corp DE 2.02,9.01 08/08/13 FALCONSTOR SOFTWARE INC DE 2.02,9.01 08/08/13 FEDERAL AGRICULTURAL MORTGAGE CORP 2.02,9.01 08/08/13 Federal Home Loan Bank of Atlanta X1 2.03 08/05/13 Federal Home Loan Bank of Boston X1 2.03 08/06/13 Federal Home Loan Bank of Chicago X1 2.03 08/06/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/08/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/05/13 Federal Home Loan Bank of San Francis X1 2.03 08/06/13 FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,7.01,9.01 08/08/13 FEDERATED NATIONAL HOLDING CO FL 2.02,9.01 08/08/13 Fiesta Restaurant Group, Inc. DE 2.02,9.01 08/08/13 Fifth & Pacific Companies, Inc. DE 2.02,9.01 08/08/13 Fifth Street Senior Floating Rate Cor DE 8.01,9.01 08/08/13 Firsthand Technology Value Fund, Inc. 8.01,9.01 08/08/13 FISHER COMMUNICATIONS INC WA 1.02,3.01,3.03,5.01, 08/08/13 5.02,5.03,9.01 FLOTEK INDUSTRIES INC/CN/ DE 2.02,9.01 08/07/13 FMC TECHNOLOGIES INC DE 5.02,9.01 08/05/13 FNBH BANCORP INC MI 1.01,3.02 08/07/13 FONU2 Inc. NV 3.02 08/02/13 FOSTER WHEELER AG V8 2.02,9.01 08/08/13 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 08/08/13 Fuel Systems Solutions, Inc. 2.02,9.01 08/08/13 FutureFuel Corp. DE 8.01,9.01 08/08/13 FX ENERGY INC NV 8.01,9.01 08/08/13 Galena Biopharma, Inc. 2.02,9.01 08/08/13 Gaming Partners International CORP NV 2.02,9.01 08/08/13 GAP INC DE 2.02,9.01 08/08/13 Garrison Capital Inc. 2.02,5.07,9.01 08/06/13 GBS Enterprises Inc NV 5.02 08/02/13 GENERAL DYNAMICS CORP DE 5.02,9.01 08/07/13 Genie Energy Ltd. DE 2.02,8.01,9.01 08/08/13 GENVEC INC DE 8.01 08/07/13 GENWORTH FINANCIAL INC DE 1.01,8.01,9.01 08/05/13 GERON CORP DE 2.02,9.01 08/08/13 GLADSTONE INVESTMENT CORPORATION\DE DE 5.07 08/08/13 GLEACHER & COMPANY, INC. DE 2.02,9.01 08/08/13 Global Geophysical Services Inc DE 8.01,9.01 08/08/13 GLOBAL PARTNERS LP 2.02,7.01,9.01 08/08/13 Golub Capital BDC, Inc. DE 2.02,9.01 08/08/13 Golub Capital BDC, Inc. DE 2.02,9.01 08/08/13 GRAY TELEVISION INC GA 2.02,9.01 08/08/13 Great Lakes Dredge & Dock CORP DE 2.02,9.01 08/08/13 GREAT PLAINS ENERGY INC MO 2.02,9.01 08/08/13 Hannon Armstrong Sustainable Infrastr MD 2.02,9.01 08/08/13 HANSEN MEDICAL INC DE 1.01,9.01 08/08/13 HARBINGER GROUP INC. DE 2.02,9.01 08/08/13 HARMAN INTERNATIONAL INDUSTRIES INC / DE 7.01,9.01 08/08/13 HARSCO CORP DE 2.02,9.01 08/08/13 HAWAIIAN ELECTRIC INDUSTRIES INC HI 2.02,9.01 08/08/13 HAWTHORN BANCSHARES, INC. MO 8.01 08/08/13 HAYNES INTERNATIONAL INC DE 2.02,7.01,9.01 08/08/13 HeartWare International, Inc. DE 2.02,9.01 08/08/13 HECLA MINING CO/DE/ DE 2.02,8.01,9.01 08/08/13 High Plains Gas, Inc. NV 4.01 08/08/13 AMEND Higher One Holdings, Inc. DE 2.02,7.01,9.01 08/08/13 Higher One Holdings, Inc. DE 2.02,7.01,9.01 08/08/13 AMEND Hillshire Brands Co MD 2.02,9.01 08/08/13 HORTON D R INC /DE/ DE 1.01,9.01 08/05/13 Howard Hughes Corp DE 2.02,9.01 08/08/13 ICG GROUP, INC. DE 2.02,9.01 08/08/13 IEC ELECTRONICS CORP DE 1.01,2.02,9.01 08/06/13 IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 5.03,9.01 08/08/13 IMH Financial Corp DE 9.01 08/08/13 AMEND IMPAX LABORATORIES INC DE 2.02,9.01 08/08/13 IMPERIAL OIL LTD 8.01,9.01 08/08/13 inContact, Inc. DE 2.02,9.01 08/08/13 INDEPENDENCE HOLDING CO DE 2.02,9.01 08/07/13 INFINITY PHARMACEUTICALS, INC. DE 2.02,9.01 08/08/13 INFINITY PROPERTY & CASUALTY CORP OH 2.02,9.01 08/08/13 INLAND REAL ESTATE CORP MD 3.03,5.03,9.01 08/02/13 INLAND REAL ESTATE CORP MD 2.02,7.01,9.01 08/08/13 INNERWORKINGS INC 2.02,9.01 08/08/13 INNOSPEC INC. DE 2.02,9.01 08/07/13 INSIGHT ENTERPRISES INC DE 2.02,9.01 08/08/13 INSITE VISION INC DE 2.02,9.01 08/08/13 Inteliquent, Inc. 2.02,9.01 08/08/13 Intermec, Inc. DE 1.01,9.01 08/05/13 Intermec, Inc. DE 2.02,7.01,9.01 08/08/13 INTERNATIONAL SPEEDWAY CORP FL 1.01,7.01,8.01,9.01 08/08/13 International Stem Cell CORP DE 2.02,9.01 08/08/13 INTERNATIONAL TOWER HILL MINES LTD A1 5.02,9.01 08/05/13 INTRICON CORP PA 2.02,7.01,9.01 08/08/13 INTRUSION INC DE 2.02,9.01 08/08/13 INUVO, INC. NV 2.02,7.01,9.01 08/08/13 INVACARE CORP OH 1.01,7.01,9.01 08/07/13 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 08/08/13 ION GEOPHYSICAL CORP DE 2.02,7.01,9.01 08/07/13 IRON MOUNTAIN INC DE 1.01,2.03,8.01,9.01 08/08/13 IRON MOUNTAIN INC DE 8.01,9.01 08/08/13 iShares Dow Jones-UBS Roll Select Com DE 1.01,9.01 08/08/13 Islet Sciences, Inc NV 5.02,8.01 07/30/13 IVANHOE ENERGY INC 7.01,9.01 08/08/13 J C PENNEY CO INC DE 8.01,9.01 08/08/13 JMP Group Inc. DE 7.01 08/08/13 Jones Lang LaSalle Income Property Tr MD 1.01,7.01,8.01 08/06/13 JONES SODA CO WA 2.02,9.01 08/08/13 KALOBIOS PHARMACEUTICALS INC DE 5.02,9.01 08/07/13 KERYX BIOPHARMACEUTICALS INC DE 8.01,9.01 08/08/13 Kior Inc DE 2.02,7.01,9.01 08/08/13 Kips Bay Medical, Inc. DE 2.02,9.01 08/08/13 Koppers Holdings Inc. PA 2.02,9.01 08/08/13 KRATOS DEFENSE & SECURITY SOLUTIONS, DE 2.02,9.01 08/06/13 KRONOS WORLDWIDE INC 7.01,9.01 08/07/13 KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 08/05/13 LAMAR ADVERTISING CO/NEW DE 2.02,9.01 08/08/13 Laredo Petroleum Holdings, Inc. DE 2.02,7.01,9.01 08/08/13 LAYNE CHRISTENSEN CO DE 7.01,9.01 08/08/13 Lehigh Gas Partners LP DE 1.01,2.02,8.01,9.01 08/07/13 Lender Processing Services, Inc. DE 2.02,9.01 08/08/13 LEXINGTON REALTY TRUST MD 2.02,7.01,9.01 08/07/13 Liberty Interactive Corp 2.02,9.01 08/06/13 Liberty Media Corp DE 2.02,9.01 08/06/13 LIFE PARTNERS HOLDINGS INC TX 5.07 08/05/13 LIFETIME BRANDS, INC DE 2.02,8.01,9.01 08/08/13 LINN ENERGY, LLC DE 2.02,9.01 08/08/13 LIONS GATE ENTERTAINMENT CORP /CN/ A1 2.02,9.01 08/08/13 LIQUIDITY SERVICES INC DE 7.01,9.01 08/07/13 Live Nation Entertainment, Inc. DE 7.01,9.01 08/08/13 LMI AEROSPACE INC MO 2.02,9.01 08/08/13 LOCAL Corp DE 2.02,9.01 08/08/13 Lone Pine Resources Inc. DE 2.02,9.01 08/08/13 LSB INDUSTRIES INC DE 2.02,9.01 08/08/13 LTC PROPERTIES INC MD 2.02,9.01 08/08/13 MAD CATZ INTERACTIVE INC Z4 2.02,9.01 08/08/13 MANAGEMENT NETWORK GROUP INC 2.02,9.01 08/08/13 MARKWEST ENERGY PARTNERS L P 2.02,9.01 08/07/13 Matador Resources Co TX 2.02,7.01,9.01 08/07/13 MCDONALDS CORP DE 7.01,9.01 08/08/13 MCG CAPITAL CORP DE 1.01,9.01 08/08/13 MEDIA GENERAL INC VA 2.02,8.01,9.01 08/08/13 MEDICAL PROPERTIES TRUST INC 2.02,9.01 08/08/13 MEDIVATION, INC. DE 2.02,9.01 08/08/13 MeetMe, Inc. DE 2.02,9.01 08/08/13 MeetMe, Inc. DE 8.01 08/08/13 MERRIMACK PHARMACEUTICALS INC DE 2.02,9.01 08/08/13 MET PRO CORP PA 1.01,9.01 08/08/13 MICHAEL BAKER CORP PA 2.02,9.01 08/08/13 MICROVISION INC DE 2.02,9.01 08/08/13 MIDDLEBY CORP DE 2.02,9.01 08/08/13 MILLER ENERGY RESOURCES, INC. TN 5.02 07/29/13 AMEND MODEL N, INC. DE 2.02,9.01 08/08/13 Molycorp, Inc. DE 2.02,4.02 08/06/13 Monster Beverage Corp DE 2.02,9.01 08/08/13 MULTI FINELINE ELECTRONIX INC 2.02,9.01 08/08/13 NASB FINANCIAL INC MO 2.02,9.01 08/08/13 National Bank Holdings Corp DE 8.01,9.01 08/08/13 NATURAL RESOURCE PARTNERS LP DE 2.02,7.01,9.01 08/07/13 NAVARRE CORP /MN/ MN 2.02,9.01 08/07/13 Neenah Paper Inc DE 2.02,9.01 08/07/13 NEKTAR THERAPEUTICS DE 1.01 08/08/13 NEKTAR THERAPEUTICS DE 2.02,9.01 08/08/13 NELNET INC NE 2.02,9.01 08/08/13 Neonode, Inc DE 2.02,9.01 08/08/13 NEOPHOTONICS CORP DE 2.02,4.02,9.01 08/07/13 NeoStem, Inc. DE 2.02,7.01,9.01 08/08/13 NEUSTAR INC 7.01,9.01 08/08/13 NEWTEK BUSINESS SERVICES, INC. NY 5.07,7.01,9.01 08/06/13 Nexeo Solutions Holdings, LLC DE 1.01,2.03,5.03,9.01 08/05/13 NF Investment Corp. MD 3.02 08/07/13 NGP Capital Resources Co MD 2.02,9.01 08/08/13 NL INDUSTRIES INC NJ 7.01,9.01 08/07/13 NOODLES & Co DE 2.02,9.01 08/08/13 NORFOLK SOUTHERN CORP VA 8.01,9.01 08/08/13 NORTHERN OIL & GAS, INC. 2.02,9.01 08/08/13 NorthStar Healthcare Income, Inc. MD 1.01 08/02/13 NPS PHARMACEUTICALS INC DE 2.02,9.01 08/08/13 NUMEREX CORP /PA/ PA 2.02,9.01 08/08/13 NUPATHE INC. DE 2.02,9.01 08/08/13 Nuverra Environmental Solutions, Inc. DE 2.02,9.01 08/08/13 NVIDIA CORP DE 2.02,9.01 08/08/13 NxStage Medical, Inc. DE 1.01 08/02/13 OAKRIDGE HOLDINGS INC MN 4.01 08/05/13 Oculus Innovative Sciences, Inc. CA 1.01,2.02,9.01 08/02/13 OCZ TECHNOLOGY GROUP INC DE 8.01,9.01 08/05/13 OGE ENERGY CORP. OK 2.02,9.01 08/08/13 Okana Ventures, Inc. NV 1.01,3.02,5.02,8.01, 07/30/13 9.01 OKLAHOMA GAS & ELECTRIC CO OK 2.02,9.01 08/08/13 ONCOGENEX PHARMACEUTICALS, INC. DE 2.02,9.01 08/08/13 ONCOSEC MEDICAL Inc NV 5.02,9.01 08/02/13 ONE LIBERTY PROPERTIES INC MD 2.02,9.01 08/08/13 ONYX PHARMACEUTICALS INC DE 2.02,9.01 08/08/13 Opexa Therapeutics, Inc. TX 8.01,9.01 08/07/13 OPLINK COMMUNICATIONS INC DE 2.02,9.01 08/08/13 ORBCOMM Inc. DE 2.02,9.01 08/08/13 Orbitz Worldwide, Inc. DE 2.02 08/08/13 ORION FINANCIAL GROUP Inc WY 1.01,8.01,9.01 07/29/13 PANHANDLE EASTERN PIPE LINE CO LP DE 7.01,9.01 08/07/13 Parametric Sound Corp NV 2.02,8.01,9.01 08/08/13 Parametric Sound Corp NV 1.01 08/02/13 AMEND PAREXEL INTERNATIONAL CORP MA 2.02,9.01 08/07/13 PARK OHIO HOLDINGS CORP OH 9.01 08/08/13 PCS EDVENTURES COM INC ID 2.03,9.01 05/24/13 AMEND PDC ENERGY, INC. NV 1.01,9.01 08/05/13 PDL BIOPHARMA, INC. DE 2.02,7.01,9.01 08/08/13 PEGASYSTEMS INC MA 2.02,9.01 08/08/13 PENN VIRGINIA CORP VA 2.02,7.01,9.01 08/07/13 PennantPark Floating Rate Capital Ltd 2.02,9.01 08/08/13 PennyMac Mortgage Investment Trust MD 1.01,2.03 08/02/13 PERFORMANCE TECHNOLOGIES INC \DE\ DE 2.02 06/30/13 Performant Financial Corp DE 2.02,9.01 08/08/13 Perfumania Holdings, Inc. FL 2.02,9.01 08/08/13 PHARMATHENE, INC DE 8.01,9.01 08/08/13 Phillips Edison - ARC Shopping Center MD 2.02,9.01 08/08/13 PINNACLE FINANCIAL PARTNERS INC TN 5.02 08/06/13 PITNEY BOWES INC /DE/ DE 7.01,9.01 08/05/13 PLANAR SYSTEMS INC OR 2.02,9.01 08/08/13 PLUG POWER INC DE 2.02,9.01 08/08/13 Polonia Bancorp Inc MD 2.02,9.01 08/02/13 POLYMER GROUP INC DE 2.02,9.01 08/07/13 PORTFOLIO RECOVERY ASSOCIATES INC DE 1.01,8.01,9.01 08/07/13 PostRock Energy Corp DE 2.02,9.01 08/07/13 POWER SOLUTIONS INTERNATIONAL, INC. DE 2.02,9.01 08/08/13 PRICELINE COM INC DE 2.02,9.01 08/08/13 Primoris Services Corp DE 2.02,8.01,9.01 08/07/13 PRIMUS TELECOMMUNICATIONS GROUP INC DE 2.02,9.01 08/08/13 Probe Manufacturing Inc NV 1.01,3.02,7.01,9.01 08/08/13 PROTECTIVE LIFE CORP DE 1.01,2.03 08/07/13 PROTECTIVE LIFE INSURANCE CO TN 1.01,2.03 08/07/13 PSB HOLDINGS INC /WI/ WI 5.07 05/21/13 AMEND PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 08/08/13 QC Holdings, Inc. KS 2.02,8.01,9.01 08/08/13 QUANTUM CORP /DE/ DE 5.07 08/07/13 QUINT MEDIA INC. NV 5.02,5.03,9.01 08/07/13 RACKSPACE HOSTING, INC. 2.02,9.01 08/08/13 RAMBO MEDICAL GROUP, INC. 5.03,8.01,9.01 08/05/13 Raptor Pharmaceutical Corp DE 2.02,9.01 08/08/13 READING INTERNATIONAL INC NV 2.02,9.01 08/08/13 Red Lion Hotels CORP WA 2.02,9.01 08/08/13 REDFIN NETWORK, INC. NV 5.02,9.01 08/05/13 Regency Energy Partners LP DE 2.02,9.01 08/08/13 RENTECH INC /CO/ CO 2.02,9.01 08/08/13 Rentech Nitrogen Partners, L.P. DE 2.02,9.01 08/08/13 RESEARCH FRONTIERS INC DE 7.01,9.01 08/08/13 RESOURCE AMERICA, INC. DE 2.02,9.01 08/07/13 RESPONSE GENETICS INC 2.02,9.01 08/08/13 Rexnord Corp DE 7.01,9.01 08/07/13 RLJ Lodging Trust MD 5.02,9.01 08/02/13 ROBERTS REALTY INVESTORS INC GA 2.01 08/06/13 ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 1.01,2.03 08/08/13 Roundy's, Inc. DE 2.02,8.01,9.01 08/08/13 ROYAL GOLD INC DE 2.02,9.01 08/08/13 Saleen Automotive, INC. NV 1.01,2.01,2.03,3.02, 06/26/13 AMEND 3.03,4.01,5.01,5.02,5.06 Saleen Automotive, INC. NV 1.01,2.01,2.03,3.02, 06/26/13 AMEND 3.03,4.01,5.01,5.02,5.06 SALIX PHARMACEUTICALS LTD 2.02,9.01 08/08/13 Sanchez Energy Corp DE 2.02,7.01,9.01 08/07/13 SANDRIDGE ENERGY INC DE 8.01,9.01 08/07/13 Sarepta Therapeutics, Inc. DE 2.02,9.01 08/08/13 SCIENTIFIC GAMES CORP DE 2.02,9.01 08/08/13 Scripps Networks Interactive, Inc. OH 2.02,7.01,9.01 08/08/13 SELECT MEDICAL HOLDINGS CORP 2.02,9.01 08/08/13 SELECTICA INC DE 2.02,9.01 08/08/13 Seven Seas Cruises S. DE R.L. R1 2.02,9.01 08/08/13 ShoreTel Inc CA 2.02,5.02,9.01 08/08/13 Silver Dragon Resources Inc. DE 1.01 08/08/13 Silvercrest Asset Management Group In DE 8.01,9.01 08/07/13 Sino-Global Shipping America, Ltd. VA 5.02,8.01,9.01 08/08/13 SIONIX CORP NV 4.01,9.01 07/18/13 AMEND SMTC CORP DE 2.02,9.01 08/08/13 Sorrento Therapeutics, Inc. DE 8.01,9.01 08/07/13 Sotherly Hotels Inc. MD 5.07 04/16/13 AMEND SOUTH JERSEY INDUSTRIES INC NJ 2.02,7.01,9.01 08/08/13 SOUTHERN UNION CO DE 7.01,9.01 08/07/13 SOUTHWESTERN ENERGY CO DE 7.01 08/02/13 SPAR GROUP INC DE 2.02,9.01 08/07/13 SPARK NETWORKS INC DE 2.02,9.01 08/08/13 Spirit AeroSystems Holdings, Inc. DE 1.01 08/02/13 Start Scientific, Inc. DE 1.01,9.01 08/07/13 Steel Excel Inc. DE 2.02 08/06/13 STEEL PARTNERS HOLDINGS L.P. DE 2.02,9.01 08/08/13 Stereotaxis, Inc. DE 1.01,2.02,3.02,8.01, 08/07/13 9.01 STIFEL FINANCIAL CORP DE 2.02,9.01 08/08/13 STILLWATER MINING CO /DE/ DE 2.02,9.01 08/08/13 SUBURBAN PROPANE PARTNERS LP DE 2.02,9.01 08/08/13 Sucampo Pharmaceuticals, Inc. 2.02,5.02,7.01,8.01, 08/02/13 9.01 Summit Materials, LLC DE 2.02,9.01 08/08/13 SVB FINANCIAL GROUP 5.02,9.01 08/07/13 SYNTROLEUM CORP DE 8.01,9.01 08/07/13 Synutra International, Inc. DE 2.02,9.01 08/08/13 T-Mobile US, Inc. DE 2.02,9.01 08/08/13 Tableau Software Inc 2.02,9.01 08/08/13 TCP Capital Corp. DE 2.02,7.01,9.01 08/08/13 TEJON RANCH CO DE 1.01,8.01,9.01 08/07/13 TENGION INC DE 5.02,9.01 08/07/13 TESORO CORP /NEW/ DE 7.01,9.01 08/08/13 TESORO LOGISTICS LP DE 9.01 06/01/13 AMEND TESORO LOGISTICS LP DE 9.01 06/17/13 AMEND TETRA TECH INC DE 2.02,9.01 08/07/13 THERAGENICS CORP DE 2.02,8.01 08/08/13 Thermon Group Holdings, Inc. DE 2.02,9.01 08/08/13 THESTREET, INC. DE 2.02,9.01 08/08/13 Thompson Creek Metals Co Inc. A1 5.02,9.01 08/01/13 TIAA REAL ESTATE ACCOUNT NY 2.02,7.01,9.01 08/08/13 Tim Hortons Inc. A6 2.02,7.01,8.01,9.01 08/08/13 Tim Hortons Inc. A6 7.01,9.01 08/08/13 TOWER FINANCIAL CORP IN 9.01 08/08/13 Tower Group International, Ltd. D0 7.01,9.01 08/08/13 TOWERSTREAM CORP DE 2.02,7.01,9.01 08/08/13 TRAC Intermodal LLC DE 2.02,9.01 08/07/13 TreeHouse Foods, Inc. DE 2.02,7.01,9.01 08/08/13 TreeHouse Foods, Inc. DE 1.01,7.01,9.01 08/07/13 TREMOR VIDEO INC. DE 2.02,9.01 08/08/13 Tronox Ltd 2.02,9.01 08/07/13 U S PHYSICAL THERAPY INC /NV NV 2.02,8.01,9.01 08/08/13 Ubiquiti Networks, Inc. DE 2.02,9.01 08/08/13 Uni-Pixel DE 8.01,9.01 08/08/13 UNION BANKSHARES INC VT 2.02,9.01 08/08/13 United Continental Holdings, Inc. DE 8.01,9.01 08/07/13 UNITED GUARDIAN INC DE 2.02,9.01 08/08/13 UNIVERSAL DISPLAY CORP \PA\ PA 9.01 08/08/13 UNIVERSAL ELECTRONICS INC DE 2.02,9.01 08/08/13 UQM TECHNOLOGIES INC CO 5.07 08/07/13 URANERZ ENERGY CORP. NV 8.01 08/08/13 US CONCRETE INC DE 2.02,9.01 08/08/13 US ENERGY CORP WY 2.02,9.01 08/08/13 USA TRUCK INC DE 2.02,7.01 08/07/13 AMEND Valeant Pharmaceuticals International A8 2.01,5.02,8.01,9.01 08/05/13 VECTREN CORP IN 2.03,9.01 08/06/13 Verso Paper Corp. DE 2.02,9.01 08/08/13 Viggle Inc. DE 8.01,9.01 08/08/13 VISHAY INTERTECHNOLOGY INC DE 1.01,2.03,8.01,9.01 08/08/13 VISTEON CORP DE 2.02,7.01,9.01 08/08/13 Vringo Inc DE 2.02,9.01 08/08/13 W&T OFFSHORE INC TX 2.02,9.01 08/07/13 W. S. Industries, Inc. NV 5.03 08/08/13 Walker & Dunlop, Inc. MD 2.02,9.01 08/08/13 WALTER INVESTMENT MANAGEMENT CORP MD 2.02,7.01,9.01 08/08/13 WALTER INVESTMENT MANAGEMENT CORP MD 5.02 08/08/13 Warner Music Group Corp. DE 2.02,9.01 08/08/13 Warner Music Group Corp. DE 9.01 07/01/13 AMEND WCI Communities, Inc. DE 1.01,1.02,2.03,9.01 08/07/13 WELLCARE HEALTH PLANS, INC. DE 2.02 08/07/13 AMEND WELLS FARGO & COMPANY/MN DE 9.01 08/08/13 Wesco Aircraft Holdings, Inc 7.01,9.01 08/08/13 WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 1.01,2.03,9.01 08/08/13 WET SEAL INC DE 2.02,9.01 08/08/13 WGL HOLDINGS INC VA 2.02,9.01 08/07/13 Willdan Group, Inc. DE 2.02,9.01 08/08/13 WILLIAM LYON HOMES DE 1.01,2.03 08/07/13 WILLIAM LYON HOMES DE 2.02,9.01 08/08/13 WILLIS GROUP HOLDINGS PLC L2 8.01,9.01 08/08/13 WINDSTREAM CORP DE 2.02,9.01 08/08/13 WRIGHT MEDICAL GROUP INC DE 8.01,9.01 08/08/13 XO GROUP INC. DE 5.02,8.01 08/02/13 XRS Corp MN 2.02 08/08/13 Yankee Holding Corp. DE 2.02,9.01 08/08/13 YCC Holdings LLC DE 2.02,9.01 08/08/13 YORK WATER CO PA 2.02,9.01 08/08/13 Zeltiq Aesthetics Inc DE 7.01 08/08/13 ZIOPHARM ONCOLOGY INC DE 8.01,9.01 08/08/13 Zoetis Inc. 5.02 08/01/13 ZOGENIX, INC. DE 2.02,9.01 08/08/13 ZYNEX INC NV 2.02,9.01 08/08/13 http://www.sec.gov/news/digest/2013/dig080913.htm
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