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ENFORCEMENT PROCEEDINGSCommission Orders Hearing on Registration Suspension or Revocation against Seven Public Companies for Failure to Make Required Periodic FilingsThe Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of four companies for failure to make required periodic filings with the Commission: • Gaming World International, Ltd.In this Order, the Division of Enforcement (Division) alleges that the seven issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-70164) Delinquent Filers' Stock Registrations RevokedThe registrations of the registered securities of Cavico Corp., GTC Telecom Corp., ICF Corporation, and New NRG, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-70156) Delinquent Filers' Stock Registrations RevokedThe registrations of the registered securities of American Wenshen Steel Group, Inc., Global ePoint, Inc., and iMedia International, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-70157) An Administrative Law Judge has issued an Order Making Findings and Imposing Sanctions by Default (Default Order) in Richard P. Sandru, Admin. Proc. File No. 3-15268. The Default Order finds that Richard P. Sandru (Sandru), while associated with an investment adviser and broker-dealer registered with the Securities and Exchange Commission, misappropriated financial planning fees from advisory clients and made oral and written misrepresentations regarding client account values. The Default Order finds that Sandru violated Section 10(b) of the Securities 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 (Advisers Act). Richard P. Sandru BarredThe Default Order (1) bars Sandru from association with brokers, dealers, investment advisers, municipal securities dealers, transfer agents, municipal advisors, and nationally recognized statistical rating organizations, and from participating in an offering of penny stock; (2) orders Sandru to cease and desist from committing or causing any violations, or any future violations, of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and of Section 206 of the Advisers Act; (3) bars Sandru from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter; (4) orders Sandru to pay disgorgement of $360,900.62 plus prejudgment interest; and (5) orders Sandru to pay a civil monetary penalty of $360,900.62. (Rel. 34-70161) Investment company ordersGrosvenor Alternative Funds Master Trust, et al.An order has been issued on an application filed by Grosvenor Alternative Funds Master Trust, et al., exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-30648 - August 12, 2013) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by EDGA Exchange, Inc. to amend Rule 2.5 to outline the continuing education requirements for Series 56 licensees and its Fee Schedule to include fees for the Series 56 Examination and its related continuing education requirements (SR-EDGA-2013-24) 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. 34-70163) A proposed rule change filed by EDGX Exchange, Inc. to amend Rule 2.5 to outline the continuing education requirements for Series 56 licensees and its Fee Schedule to include fees for the Series 56 Examination and its related continuing education requirements (SR-EDGX-2013-31) 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. 34-70162) A proposed rule change filed by the NASDAQ OMX BX, Inc. (SR-BX-2013-048) to modify BX connectivity options and fees 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. 34-70160) Notice of Proposed Rule ChangeNASDAQ OMX BX, Inc. filed a proposed rule change (SR-BX-2013-047) to assume operational responsibility for certain surveillance activity currently performed by FINRA under the Exchange's authority and supervision. Publication is expected in the Federal Register during the week of August 12th. (Rel. 34-70158) The NASDAQ Stock Market LLC filed a proposed rule change (SR-NASDAQ-2013-102) to assume operational responsibility for certain surveillance activity currently performed by FINRA under the Exchange's authority and supervision. Publication is expected in the Federal Register during the week of August 12th. (Rel. 34-70159) The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-8 ONYX PHARMACEUTICALS INC, 249 E. GRAND AVE., SOUTH SAN FRANCISCO, CA, 94080, 650-266-0000 - 0 ($613,344,000.00) Equity, (File 333-190496 - Aug. 9) (BR. 01B) S-3 ORAMED PHARMACEUTICALS INC., 2 ELZA STREET, JERUSALEM, L3, 93706, 011 972-54-7909058 - 392,568 ($2,747,976.00) Equity, (File 333-190497 - Aug. 9) (BR. 01B) S-8 ALNYLAM PHARMACEUTICALS, INC., 300 THIRD STREET, CAMBRIDGE, MA, 02142, (617) 551-8200 - 3,700,000 ($172,531,000.00) Equity, (File 333-190498 - Aug. 9) (BR. 01B) S-8 Sunshine Heart, Inc., 7651 ANAGRAM DRIVE, EDEN PRAIRIE, MN, 55344, 952-345-4200 - 0 ($2,387,662.61) Equity, (File 333-190499 - Aug. 9) (BR. 10B) S-8 CITIZENS HOLDING CO /MS/, P O BOX 209, PHILADELPHIA, MS, 39350, 6016564692 - 300,000 ($5,379,000.00) Equity, (File 333-190500 - Aug. 9) (BR. 07C) S-3 FIRST OF LONG ISLAND CORP, 10 GLEN HEAD RD, GLEN HEAD, NY, 11545, 5166714900 - 75,000,000 ($75,000,000.00) Equity, (File 333-190505 - Aug. 9) (BR. 07B) S-3ASR HARTFORD FINANCIAL SERVICES GROUP INC/DE, ONE HARTFORD PLAZA, HARTFORD, CT, 06155, 8605475000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-190506 - Aug. 9) (BR. 01A) S-8 SEACOAST BANKING CORP OF FLORIDA, 815 COLORADO AVE, P O BOX 9012, STUART, FL, 34994, 7722886085 - 6,500,000 ($14,950,000.00) Equity, (File 333-190507 - Aug. 9) (BR. 07C) S-8 NU SKIN ENTERPRISES INC, 75 WEST CENTER ST, ATTN: D. MATTHEW DORNY, PROVO, UT, 84601, 801-345-6100 - 3,247,616 ($278,937,738.24) Equity, (File 333-190508 - Aug. 9) (BR. 09B) F-3ASR Santander UK plc, 2 TRITON SQUARE, REGENT'S PLACE, LONDON, X0, NW1 3AN, 011 44 870 607 6000 - 0 ($0.00) Debt, (File 333-190509 - Aug. 9) (BR. 12A) N-2 Brookfield Global Listed Infrastructure Income Fund Inc., BROOKFIELD PLACE, 250 VESEY STREET, 15TH FLOOR, NEW YORK, NY, 10281, 212-549-8328 - 0 ($1,000,000.00) Equity, (File 333-190510 - Aug. 9) (BR. 17) S-3 KOPIN CORP, 695 MYLES STANDISH BLVD, TAUNTON, MA, 02780, 5088246696 - 0 ($100,000,000.00) Equity, (File 333-190511 - Aug. 9) (BR. 10B) S-3 KELLY SERVICES INC, 999 W BIG BEAVER RD, TROY, MI, 48084, 2483624444 - 0 ($19,800,000.00) Equity, (File 333-190512 - Aug. 9) (BR. 11C) S-1 INDEPENDENT BANK CORP /MI/, 230 W MAIN ST, PO BOX 491, IONIA, MI, 48846, 6165279450 - 0 ($98,900,000.00) Debt, (File 333-190513 - Aug. 9) (BR. 07B) S-8 ENDOCYTE INC, 3000 KENT AVE STE A1-100, WEST LAFAYETTE, IN, 47906, 7654637175 - 2,865,365 ($48,883,126.90) Equity, (File 333-190514 - Aug. 9) (BR. 01A) S-3 TIPTREE FINANCIAL INC., 780 THIRD AVENUE, 21ST FLOOR, NEW YORK, NY, 10017, 212-446-1410 - 0 ($50,724,905.00) Equity, (File 333-190515 - Aug. 9) (BR. 08B) S-8 CHARTER COMMUNICATIONS, INC. /MO/, 12405 POWERSCOURT DRIVE, ST. LOUIS, MO, 63131, 314-965-0555 - 6,000,000 ($777,390,000.00) Equity, (File 333-190516 - Aug. 9) (BR. 11A) S-4 PROSPERITY BANCSHARES INC, 4295 SAN FELIPE, N/A, HOUSTON, TX, 77027, 7136939300 - 5,570,818 ($118,249,951.00) Equity, (File 333-190517 - Aug. 9) (BR. 07B) S-3 inContact, Inc., 7730 S. UNION PARK AVE., SUITE 500, NONE, MIDVALE, UT, 84047, (801) 320-3300 - 376,459 ($3,393,778.00) Equity, (File 333-190518 - Aug. 9) (BR. 11A) S-8 inContact, Inc., 7730 S. UNION PARK AVE., SUITE 500, NONE, MIDVALE, UT, 84047, (801) 320-3300 - 1,500,000 ($13,522,500.00) Equity, (File 333-190519 - Aug. 9) (BR. 11A) S-8 Astex Pharmaceuticals, Inc, 4140 DUBLIN BLVD, SUITE 200, DUBLIN, CA, 94568, 9255600100 - 0 ($1,100,000.00) Equity, (File 333-190520 - Aug. 9) (BR. 01B) S-8 PROCERA NETWORKS, INC., 4121 CLIPPER COURT, FREMONT, CA, 94538, 510-230-2777 - 500,000 ($7,525,000.00) Equity, (File 333-190521 - Aug. 9) (BR. 03C) S-8 KNOLL INC, 1235 WATER ST, EAST GREENVILLE, PA, 18041, 2156797991 - 0 ($33,580,000.00) Equity, (File 333-190522 - Aug. 9) (BR. 06A) S-3 ATLANTIC TELE NETWORK INC /DE, 600 CUMMINGS CENTER, BEVERLY, MA, 01915, 9786191300 - 0 ($530,462,000.00) Unallocated (Universal) Shelf, (File 333-190523 - Aug. 9) (BR. 11C) S-8 KOPIN CORP, 695 MYLES STANDISH BLVD, TAUNTON, MA, 02780, 5088246696 - 0 ($4,272,000.00) Equity, (File 333-190524 - Aug. 9) (BR. 10B) S-4 BON TON STORES INC, 2801 E MARKET ST, YORK, PA, 17402-2406, 7177577660 - 0 ($350,000,000.00) Debt, (File 333-190525 - Aug. 9) (BR. 02A) S-8 RMG Networks Holding Corp, 615 N. WABASH, CHICAGO, IL, 60611, 972-543-9502 - 2,500,000 ($20,425,000.00) Equity, (File 333-190526 - Aug. 9) (BR. 03C) S-8 Fidelity National Financial, Inc., 601 RIVERSIDE AVENUE, JACKSONVILLE, FL, 32204, 904-854-8100 - 5,500,000 ($134,805,000.00) Equity, (File 333-190527 - Aug. 9) (BR. 01B) S-8 ROSETTA STONE INC, 1919 NORTH LYNN STREET, SUITE 700, ARLINGTON, VA, 22209, 1-800-788-0822 - 0 ($38,728,655.00) Equity, (File 333-190528 - Aug. 9) (BR. 03B) S-8 REDWOOD TRUST INC, ONE BELVEDERE PLACE, SUITE 300, MILL VALLEY, CA, 94941, (415) 380-2317 - 150,000 ($2,493,000.00) Equity, (File 333-190529 - Aug. 9) (BR. 08C) S-8 REDWOOD TRUST INC, ONE BELVEDERE PLACE, SUITE 300, MILL VALLEY, CA, 94941, (415) 380-2317 - 1,000,000 ($16,620,000.00) Equity, (File 333-190530 - Aug. 9) (BR. 08C) S-8 COLORADO GOLDFIELDS INC., 10920 W. ALAMEDA AVENUE, SUITE 207, LAKEWOOD, CO, 80226, 303-984-5324 - 20,000,000 ($800,000.00) Equity, (File 333-190531 - Aug. 9) (BR. 09A) S-3ASR NORTHSTAR REALTY FINANCE CORP., 399 PARK AVENUE,, 18TH FLOOR, NEW YORK, NY, 10022, 212-547-2640 - 0 ($0.00) Equity, (File 333-190532 - Aug. 9) (BR. 08B) S-8 MEDICAL PROPERTIES TRUST INC, 1000 UBRAN CENTER DRIVE, SUITE 501, BIRMINGHAM, AL, 35242, 205-969-3755 - 6,900,000 ($95,703,000.00) Equity, (File 333-190533 - Aug. 9) (BR. 08B) S-8 CombiMatrix Corp, 310 GODDARD, SUITE 150, IRVINE, CA, 92618, 949-753-0624 - 0 ($164,930.07) Equity, (File 333-190534 - Aug. 9) (BR. 10A) S-3 MeetMe, Inc., 312 CLEMATIS STREET, SUITE 407, WEST PALM BEACH, FL, 33401, 561-491-4181 - 1 ($50,000,000.00) Unallocated (Universal) Shelf, (File 333-190535 - Aug. 9) (BR. 11A) S-3 Clean Energy Fuels Corp., 4675 MACARTHUR COURT, SUITE 800, NEWPORT BEACH, CA, 92660, (949) 437-1000 - 0 ($9,732,545.10) Equity, (File 333-190536 - Aug. 9) (BR. 02C) S-8 COLORADO GOLDFIELDS INC., 10920 W. ALAMEDA AVENUE, SUITE 207, LAKEWOOD, CO, 80226, 303-984-5324 - 20,000,000 ($1,490,000.00) Equity, (File 333-190537 - Aug. 9) (BR. 09A) S-1 Pattern Energy Group Inc., PIER 1, BAY 3, SAN FRANCISCO, CA, 94111, (415) 283-4000 - 0 ($345,000,000.00) Equity, (File 333-190538 - Aug. 9) (BR. 02A) S-3 WAVE SYSTEMS CORP, 480 PLEASANT ST, LEE, MA, 01238, 4132431600 - 0 ($20,000,000.00) Unallocated (Universal) Shelf, (File 333-190539 - Aug. 9) (BR. 03A) S-8 Galena Biopharma, Inc., 310 N. STATE STREET, SUITE 208, LAKE OSWEGO, OR, 97034, 855 855 GALE - 4,000,000 ($8,240,000.00) Equity, (File 333-190540 - Aug. 9) (BR. 01B) S-8 KVH INDUSTRIES INC \DE\, 50 ENTERPRISE CENTER, MIDDLETOWN, RI, 02842, 4018473327 - 2,300,000 ($31,855,000.00) Equity, (File 333-190541 - Aug. 9) (BR. 11C) S-8 Golden Minerals Co, 350 INDIANA STREET, SUITE 800, GOLDEN, CO, 80401, 3038395060 - 0 ($1,000,000.40) Equity, (File 333-190542 - Aug. 9) (BR. 09B) S-3ASR MEDICAL PROPERTIES TRUST INC, 1000 UBRAN CENTER DRIVE, SUITE 501, BIRMINGHAM, AL, 35242, 205-969-3755 - 0 ($0.00) Non-Convertible Debt, (File 333-190543 - Aug. 9) (BR. 08B) S-8 GLU MOBILE INC, 45 FREMONT STREET, SUITE 2800, SAN FRANCISCO, CA, 94105, 415-800-6100 - 7,400,000 ($17,908,000.00) Equity, (File 333-190544 - Aug. 9) (BR. 03A) S-3 GLU MOBILE INC, 45 FREMONT STREET, SUITE 2800, SAN FRANCISCO, CA, 94105, 415-800-6100 - 3,333,333 ($8,066,665.86) Equity, (File 333-190545 - Aug. 9) (BR. 03A) S-3ASR RAMCO GERSHENSON PROPERTIES TRUST, 31500 NORTHWESTERN HWY, SUITE 300, FARMINGTON HILLS, MI, 48334, 2483509900 - 0 ($0.00) Other, (File 333-190546 - Aug. 9) (BR. 08C) 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
ACELRX PHARMACEUTICALS INC DE 1.01 08/05/13
AEROCENTURY CORP DE 2.02 08/06/13
AEROPOSTALE INC 7.01,9.01 08/08/13
AFS SenSub Corp. 1.01,9.01 08/07/13
AGILYSYS INC OH 5.02,9.01 08/06/13
ALLIANCE ONE INTERNATIONAL, INC. VA 5.07 08/08/13
ALLIANCE ONE INTERNATIONAL, INC. VA 2.02,9.01 08/09/13
American Electric Technologies Inc FL 2.02,9.01 08/06/13
AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 08/09/13
AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 08/09/13
AMERICAN REALTY CAPITAL - RETAIL CENT MD 1.01 08/05/13
American Realty Capital Healthcare Tr MD 1.01,2.01,8.01 08/06/13
AMERICAN REALTY CAPITAL HEALTHCARE TR MD 1.01,8.01,9.01 08/05/13
American Realty Capital Properties, I MD 1.01,8.01,9.01 08/08/13
American Realty Capital Trust V, Inc. MD 1.01,8.01,9.01 08/06/13
AMERICAN TOWER CORP /MA/ DE 7.01,9.01 08/08/13
AMERICAN WOODMARK CORP VA 5.02 08/07/13
AMERISOURCEBERGEN CORP DE 5.02,9.01 08/07/13
AMERISOURCEBERGEN CORP DE 8.01,9.01 08/08/13 AMEND
AMSURG CORP TN 8.01 08/09/13
ANI PHARMACEUTICALS INC DE 2.02,9.01 08/09/13
APEX 9 INC. DE 5.01,5.02 07/17/13
Apple REIT Ten, Inc. VA 8.01 08/07/13
APRIA HEALTHCARE GROUP INC DE 2.02,9.01 08/09/13
ARKANSAS BEST CORP /DE/ DE 2.02,9.01 08/09/13
Armored AutoGroup Inc. DE 7.01,9.01 08/08/13
Armored AutoGroup Inc. DE 2.02,9.01 08/08/13
Aspect Software Group Holdings Ltd. DE 8.01 08/08/13
ASSURED GUARANTY LTD D0 2.02,9.01 08/08/13
ASTA FUNDING INC DE 1.01,2.03,9.01 08/07/13
ASTA FUNDING INC DE 2.02,9.01 08/09/13
Atkore International Holdings Inc. DE 2.02,9.01 08/09/13
Atlas Energy, L.P. DE 2.02,9.01 08/08/13
Atlas Resource Partners, L.P. DE 2.02,9.01 08/08/13
Bank of New York Mellon CORP DE 8.01,9.01 08/09/13
BARNWELL INDUSTRIES INC DE 2.02,9.01 08/09/13
BAY BANKS OF VIRGINIA INC VA 2.02,9.01 08/09/13
BIGLARI HOLDINGS INC. IN 2.02,9.01 08/09/13
Bio-Matrix Scientific Group, Inc. DE 1.01,9.01 08/08/13
BIO-PATH HOLDINGS INC UT 8.01,9.01 08/09/13
BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 08/09/13
BIOSPECIFICS TECHNOLOGIES CORP DE 2.02,9.01 08/08/13
BIOSPECIFICS TECHNOLOGIES CORP DE 5.02 08/09/13
BIOTIME INC CA 2.02,9.01 08/09/13
Black Ridge Oil & Gas, Inc. DE 1.01,1.02,2.03, 08/08/13
3.02,7.01,9.01
Blue Water Petroleum Corp. 7.01,9.01 08/09/13
Bluerock Multifamily Growth REIT, Inc MD 5.07 08/05/13
Bluerock Multifamily Growth REIT, Inc MD 5.02 08/05/13
Bonanza Creek Energy, Inc. DE 2.02,9.01 08/08/13
BOSTON SCIENTIFIC CORP DE 8.01,9.01 08/08/13
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 7.01,9.01 08/08/13
BRYN MAWR BANK CORP PA 1.01,1.02,9.01 08/08/13
CAREFUSION Corp 4.01,9.01 08/09/13 AMEND
Carlyle GMS Finance, Inc. MD 3.02 08/08/13
Carter Validus Mission Critical REIT, MD 1.01,2.03,9.01 08/09/13
CARVER BANCORP INC DE 2.02 08/09/13
Castle Brands Inc FL 1.01,2.03,7.01,9.01 08/07/13
CELLULAR DYNAMICS INTERNATIONAL, INC. WI 5.02 08/08/13
CENTURY CASINOS INC /CO/ DE 5.07 08/09/13 AMEND
CH2M HILL COMPANIES LTD DE 8.01 08/09/13
CHESAPEAKE UTILITIES CORP DE 9.01 08/09/13
CHINA VALVES TECHNOLOGY, INC NV 1.01,9.01 08/09/13
CHINDEX INTERNATIONAL INC DE 2.02,7.01,9.01 08/09/13
CITIGROUP INC DE 8.01,9.01 08/09/13
CNL Growth Properties, Inc. MD 8.01,9.01 08/08/13
Cobalt International Energy, Inc. 1.01 08/05/13
CODEXIS INC 2.02,9.01 08/09/13
Cole Real Estate Investments, Inc. MD 8.01,9.01 08/09/13
Columbia Seligman Premium Technology MD 7.01,9.01 08/09/13
COMERICA INC /NEW/ DE 7.01,9.01 08/09/13
Constellation Energy Partners LLC DE 1.01,3.02,5.02, 08/09/13
5.03,8.01,9.01
CONSUMERS BANCORP INC /OH/ OH 2.02,9.01 08/09/13
CONSUMERS ENERGY CO MI 8.01,9.01 08/09/13
Cooper-Standard Holdings Inc. DE 7.01,9.01 08/09/13
Corporate Property Associates 17 - Gl MD 8.01,9.01 08/08/13
CPI AEROSTRUCTURES INC NY 9.01 08/09/13
CubeSmart MD 2.02,7.01,9.01 08/08/13
CUMBERLAND PHARMACEUTICALS INC 2.02 08/09/13
DATALINK CORP MN 1.01,8.01,9.01 08/08/13
DCT Industrial Trust Inc. MD 8.01,9.01 08/08/13
DEEP WELL OIL & GAS INC NV 8.01,9.01 08/09/13
Delek Logistics Partners, LP DE 7.01,9.01 08/08/13
Delta Tucker Holdings, Inc. DE 2.02,9.01 08/09/13
DiamondRock Hospitality Co 2.02,9.01 08/09/13
Dresser-Rand Group Inc. DE 5.03,9.01 08/08/13
E2open Inc DE 5.07 08/07/13
Echo Therapeutics, Inc. DE 2.02,9.01 08/08/13
ECOSPHERE TECHNOLOGIES INC DE 1.01,1.02,9.01 05/24/13 AMEND
EINSTEIN NOAH RESTAURANT GROUP INC DE 8.01,9.01 08/09/13
ENCISION INC CO 5.07 08/09/13
ENGLOBAL CORP NV 2.02,9.01 08/09/13
Enstar Group LTD D0 4.02 08/08/13
ENZON PHARMACEUTICALS INC DE 5.02 08/06/13
ERF Wireless, Inc. NV 5.02 08/06/13
Euramax Holdings, Inc. DE 2.02,9.01 08/09/13
EV Energy Partners, LP DE 7.01,9.01 08/09/13
Federal Home Loan Bank of Dallas 2.03,9.01 08/05/13
Federal Home Loan Bank of Des Moines X1 7.01,9.01 08/09/13
FIRST COMMUNITY BANCSHARES INC /NV/ NV 5.02,8.01,9.01 08/06/13
First Financial Northwest, Inc. WA 5.02,8.01,9.01 08/09/13
FIRST RATE STAFFING Corp DE 2.01,3.02,5.06,9.01 11/09/12 AMEND
Firsthand Technology Value Fund, Inc. 8.01,9.01 08/09/13
Forbes Energy Services Ltd. D0 2.02,9.01 08/09/13
FriendFinder Networks Inc. NV 1.01,2.04,8.01,9.01 08/05/13
Genesis Biopharma, Inc NV 8.01,9.01 08/08/13
GIGA TRONICS INC CA 2.02,9.01 08/08/13
GILEAD SCIENCES INC DE 7.01 08/09/13
GLADSTONE COMMERCIAL CORP MD 1.01,1.02,2.03,9.01 08/07/13
Global Eagle Entertainment Inc. DE 9.01 01/31/13 AMEND
Great Wolf Resorts, Inc. DE 1.01,1.02,2.03,9.01 08/06/13
GREATBATCH, INC. DE 5.02,9.01 08/05/13
GROWLIFE, INC. DE 1.01,2.03,9.01 08/06/13
GSE Holding, Inc. DE 1.01,2.02,5.05,9.01 08/08/13
HALLMARK FINANCIAL SERVICES INC NV 2.02,9.01 08/08/13
HARDINGE INC NY 1.01,9.01 08/09/13
HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,8.01,9.01 08/09/13
HARTFORD FINANCIAL SERVICES GROUP INC DE 2.03,9.01 08/09/13
HEALTH MANAGEMENT ASSOCIATES, INC DE 2.02,9.01 08/09/12
HORIZON PHARMA, INC. DE 2.02,9.01 08/09/13
ILLINOIS TOOL WORKS INC DE 5.02,9.01 08/09/13
Imprimis Pharmaceuticals, Inc. DE 8.01 08/09/13
INCOME OPPORTUNITY REALTY INVESTORS I NV 1.01,9.01 06/07/13
Inland American Real Estate Trust, In MD 1.01,7.01,9.01 08/08/13
INREIT Real Estate Investment Trust ND 5.02 08/06/13
Intellicell Biosciences, Inc. NV 3.02 08/08/13
INTL FCSTONE INC. DE 1.01,8.01,9.01 08/09/13
INVACARE CORP OH 1.01,7.01,9.01 08/07/13
Iridium Communications Inc. DE 5.02,9.01 08/08/13
ITC Holdings Corp. MI 8.01,9.01 08/07/13
IVANHOE ENERGY INC 7.01,9.01 08/09/13
J C PENNEY CO INC DE 8.01,9.01 08/09/13
JACKSONVILLE BANCORP INC /FL/ FL 2.02,9.01 08/09/13
JACKSONVILLE BANCORP INC /FL/ FL 8.01,9.01 08/09/13
JAGGED PEAK, INC. NV 2.02,9.01 08/09/13
James River Coal CO VA 2.02,7.01,9.01 08/09/13
JBI, INC. NV 8.01,9.01 08/08/13
JOHNSON CONTROLS INC WI 2.03,9.01 08/06/13
KANSAS CITY SOUTHERN DE 5.02,7.01,9.01 08/09/13
KCAP Financial, Inc. DE 5.07 08/08/13
KCG Holdings, Inc. DE 5.02,8.01,9.01 08/06/13
KILROY REALTY CORP MD 8.01,9.01 08/09/13
KINDER MORGAN ENERGY PARTNERS L P DE 1.01,9.01 08/07/13
KLA TENCOR CORP DE 5.02 08/05/13 AMEND
KNIGHT TRANSPORTATION INC AZ 8.01,9.01 08/08/13
L Brands, Inc. DE 2.02,7.01,8.01,9.01 08/08/13
LAKES ENTERTAINMENT INC MN 2.02,9.01 08/09/13
Landmark Apartment Trust of America, 8.01 07/19/13 AMEND
LIBERATOR MEDICAL HOLDINGS, INC. NV 2.02,9.01 08/09/13
LIHUA INTERNATIONAL INC. DE 2.02,9.01 08/09/13
LIME ENERGY CO. DE 2.02,9.01 08/09/13
LIPOSCIENCE INC DE 5.02,7.01 08/05/13
LyondellBasell Industries N.V. P7 5.02 08/08/13
MABWE MINERALS INC. WY 8.01,9.01 07/31/13
MACERICH CO MD 1.01,2.03,9.01 08/06/13
MAGICJACK VOCALTEC LTD L3 2.02,9.01 08/08/13
MAGNUM HUNTER RESOURCES CORP DE 2.02,7.01,9.01 08/09/13
Main Street Capital CORP MD 2.02,9.01 08/08/13
Mallinckrodt plc 2.02,9.01 08/09/13
Manning & Napier, Inc. 8.01,9.01 08/08/13
MARRIOTT VACATIONS WORLDWIDE Corp DE 8.01,9.01 08/08/13
MASS MEGAWATTS WIND POWER INC MA 7.01 08/08/13
Mast Therapeutics, Inc. DE 5.02 08/06/13
McEwen Mining Inc. CO 7.01,9.01 08/08/13
MEADOWBROOK INSURANCE GROUP INC MI 7.01,9.01 08/09/13
MEDICAL ACTION INDUSTRIES INC DE 5.07 08/08/13
MEDICINOVA INC DE 7.01 08/09/13
MERCADOLIBRE INC 8.01 08/09/13
MERGE HEALTHCARE INC DE 2.02,9.01 08/09/13
MERGE HEALTHCARE INC DE 5.02,9.01 08/05/13
MERITOR INC IN 5.02,9.01 08/09/13
METALICO INC 2.02,9.01 08/09/13
MGP INGREDIENTS INC KS 5.02,9.01 08/09/13
MICHAEL FOODS GROUP, INC. DE 2.02,9.01 08/09/13
MID AMERICA APARTMENT COMMUNITIES INC TN 1.01,2.03,9.01 08/07/13
MOBILE MINI INC DE 2.02,9.01 08/09/13
MobileSmith, Inc. DE 2.03,3.02 08/02/13
MOKITA, INC. 8.01 08/07/13
MONRO MUFFLER BRAKE INC NY 5.07,8.01 08/06/13
MOTORCAR PARTS AMERICA INC NY 2.02,9.01 08/09/13
MRC GLOBAL INC. DE 5.02,9.01 08/08/13
MRC GLOBAL INC. DE 5.07 08/07/13 AMEND
MRV COMMUNICATIONS INC DE 2.02,9.01 08/09/13
MUELLER INDUSTRIES INC DE 1.01,9.01 08/09/13
MULTI COLOR Corp OH 2.02,9.01 08/09/13
MURPHY OIL CORP /DE DE 5.02,5.03,8.01,9.01 08/07/13
MusclePharm Corp NV 5.02 08/06/13
N-VIRO INTERNATIONAL CORP DE 5.07 08/07/13
Nano Mask, Inc. NV 2.03,5.02,8.01 08/05/13
NATIONAL FUEL GAS CO NJ 7.01,9.01 08/09/13
NATIONAL FUEL GAS CO NJ 2.02,9.01 08/08/13
NATURAL GAS SERVICES GROUP INC 2.02,9.01 08/09/13
NAVIGATORS GROUP INC DE 2.02,7.01,9.01 08/07/13
NEKTAR THERAPEUTICS DE 8.01 08/09/13
NETWORK 1 SECURITY SOLUTIONS INC DE 5.08 08/07/13
Neuralstem, Inc. DE 2.02,9.01 08/09/13
New Residential Investment Corp. 2.02,9.01 08/07/13
NEWCASTLE INVESTMENT CORP MD 2.02,9.01 08/07/13
NEWFIELD EXPLORATION CO /DE/ DE 8.01 08/06/13
NewPage CORP DE 2.02,9.01 08/09/13
NewPage Holdings Inc. DE 2.02,9.01 08/09/13
NEWS CORP DE 8.01,9.01 08/09/13
NEWTEK BUSINESS SERVICES, INC. NY 1.01,2.03,9.01 07/16/13
NEXTERA ENERGY INC FL 8.01,9.01 08/09/13
NII HOLDINGS INC DE 7.01,9.01 08/09/13
NORCRAFT COMPANIES LP 2.02,9.01 08/09/13
NORTH BAY RESOURCES INC DE 1.01,9.01 08/02/13
NORTHSTAR REALTY FINANCE CORP. MD 1.01,9.01 08/05/13
NORTHWEST BIOTHERAPEUTICS INC DE 1.01,2.02,9.01 08/08/13
NORTHWEST BIOTHERAPEUTICS INC DE 8.01,9.01 08/09/13
NRG ENERGY, INC. DE 2.02,9.01 08/09/13
NUMEREX CORP /PA/ PA 2.02,9.01 08/09/13 AMEND
NVE CORP /NEW/ MN 5.07 08/08/13
OLYMPIC STEEL INC OH 2.02,9.01 08/09/13
OMEROS CORP WA 2.02,9.01 08/09/13
Opko Health, Inc. DE 2.02,9.01 08/09/13
ORBIT INTERNATIONAL CORP DE 2.02,9.01 08/08/13
Orchids Paper Products CO /DE DE 8.01,9.01 08/09/13
ORION ENERGY SYSTEMS, INC. WI 5.07 08/07/13
Pacific Green Technologies Inc. DE 1.01,2.01,3.02,9.01 08/06/13
Patient Safety Technologies, Inc DE 7.01,9.01 08/08/13
Patriot Coal CORP DE 8.01 08/05/13
Patriot Coal CORP DE 7.01,9.01 08/09/13
Pebblebrook Hotel Trust MD 7.01,8.01,9.01 08/08/13
PGT, Inc. DE 1.01,9.01 08/09/13
PICO HOLDINGS INC /NEW CA 2.02,9.01 08/09/13
Plymouth Opportunity REIT Inc. MD 7.01 08/09/13
PMC COMMERCIAL TRUST /TX TX 8.01,9.01 08/08/13
PMC COMMERCIAL TRUST /TX TX 1.01,2.02,9.01 08/05/13
PREFORMED LINE PRODUCTS CO OH 2.02,9.01 08/09/13
PREMIER ALLIANCE GROUP, INC. DE 4.02,8.01 08/05/13
PRICELINE COM INC DE 8.01 08/09/13
PROGENICS PHARMACEUTICALS INC DE 2.02,8.01,9.01 08/09/13
PROOFPOINT INC DE 1.01 08/08/13
PURADYN FILTER TECHNOLOGIES INC DE 7.01,9.01 08/08/13
QUALITY DISTRIBUTION INC FL 5.02 08/06/13
QUALITY DISTRIBUTION INC FL 1.01,8.01,9.01 08/08/13
QVC INC DE 2.02,9.01 08/06/13
RadTek, Inc NV 4.01,9.01 07/08/13
Rand Logistics, Inc. DE 7.01,9.01 08/07/13
RBC LIFE SCIENCES, INC. DE 8.01 08/07/13
RBC LIFE SCIENCES, INC. DE 5.07 06/19/13 AMEND
Real Goods Solar, Inc. CO 1.01,9.01 08/08/13
RED MOUNTAIN RESOURCES, INC. FL 7.01,9.01 08/09/13
Regency Energy Partners LP DE 8.01,9.01 08/09/13
Regency Energy Partners LP DE 8.01,9.01 08/09/13
ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 5.02,5.07,9.01 08/08/13
ROMA FINANCIAL CORP X1 2.02,9.01 08/09/13
Rose Rock Midstream, L.P. DE 2.02,8.01,9.01 08/08/13
Rose Rock Midstream, L.P. DE 5.02,7.01,9.01 08/07/13
ROYAL GOLD INC DE 9.01 08/08/13 AMEND
SARATOGA RESOURCES INC /TX TX 2.02,7.01,9.01 08/09/13
SemGroup Corp DE 2.02,8.01,9.01 08/08/13
SemGroup Corp DE 5.02,7.01,9.01 08/06/13
SERVICESOURCE INTERNATIONAL, INC. DE 1.01,2.03,3.02, 08/06/13
8.01,9.01
SICHUAN LEADERS PETROCHEMICAL Co FL 5.02,9.01 08/07/13
SIFCO INDUSTRIES INC OH 2.02,9.01 08/08/13
SM Energy Co DE 7.01,9.01 08/09/13
SPECTRANETICS CORP DE 8.01 07/19/13
Spirit Realty Capital, Inc. MD 2.02,9.01 08/08/13
SquareTwo Financial Corp DE 8.01,9.01 08/08/13
STERLING CONSTRUCTION CO INC DE 2.02,9.01 08/09/13
STERLING FINANCIAL CORP /WA/ WA 5.02 08/06/13 AMEND
STOCK BUILDING SUPPLY HOLDINGS, INC. DE 7.01,9.01 08/08/13
STONE ENERGY CORP DE 7.01,9.01 08/08/13
Summit Midstream Partners, LP DE 5.02 08/05/13
Summit Midstream Partners, LP DE 2.02,9.01 08/09/13
Sunstock, Inc. 3.02,5.01,5.02 07/18/13 AMEND
SUPERNUS PHARMACEUTICALS INC DE 2.02,8.01,9.01 08/06/13
SUPERTEL HOSPITALITY INC VA 1.01,9.01 08/05/13
SUSSEX BANCORP NJ 4.01,9.01 08/07/13
Swingplane Ventures, Inc. NV 2.01,3.02,3.03, 08/07/13 AMEND
5.01,5.02,5.06,9.01
SYNERGY PHARMACEUTICALS, INC. DE 2.02,7.01,9.01 08/08/13
TANDY LEATHER FACTORY INC DE 2.02,9.01 08/09/13
TECUMSEH PRODUCTS CO MI 2.02,7.01,9.01 08/09/13
TELIK INC DE 2.02,9.01 08/09/13
Tonix Pharmaceuticals Holding Corp. NV 8.01,9.01 08/09/13
TORCHLIGHT ENERGY RESOURCES INC NV 3.02 07/31/13
Tower Group International, Ltd. D0 7.01,9.01 08/06/13
TRANS LUX CORP DE 2.02,9.01 08/07/13
Tribute Pharmaceuticals Canada Inc. A6 2.02,9.01 08/09/13
TRW AUTOMOTIVE HOLDINGS CORP DE 8.01,9.01 08/05/13
TUCOWS INC /PA/ PA 2.02,9.01 08/08/13
TUTOR PERINI Corp MA 2.02,9.01 08/09/13
TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 08/08/13
TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 08/09/13
TWO RIVERS WATER & FARMING Co CO 7.01 08/08/13
UCP, Inc. 2.02 08/09/13
Uni-Pixel DE 8.01,9.01 08/09/13
UNITED COMMUNITY FINANCIAL CORP OH 2.02,9.01 08/09/13
UNITED SURGICAL PARTNERS INTERNATIONA DE 2.02,9.01 08/08/13
URANIUM RESOURCES INC /DE/ DE 2.02,9.01 08/09/13
VALHI INC /DE/ DE 2.02,7.01,9.01 08/09/13
Vantage Drilling CO E9 2.02,9.01 08/09/13
VEECO INSTRUMENTS INC DE 7.01 08/09/13
VIDABLE, INC. NV 4.01 08/06/13
VISUALANT INC NV 8.01 08/09/13
VIVUS INC CA 2.02,9.01 08/06/13
VWR Funding, Inc. DE 2.02,7.01 08/09/13
W. P. Carey Inc. MD 7.01,9.01 08/06/13
Warner Chilcott plc 8.01,9.01 08/09/13
WAVE SYSTEMS CORP DE 2.02,9.01 08/08/13
Wesco Aircraft Holdings, Inc 7.01,9.01 08/09/13
WEST MARINE INC DE 4.01,9.01 08/09/13
WHITEWAVE FOODS Co DE 2.02,9.01 08/09/13
WILLIS LEASE FINANCE CORP DE 5.03,9.01 08/05/13
XCEL ENERGY INC MN 8.01 08/08/13
ZAGG Inc NV 5.02,9.01 08/05/13
ZAP CA 5.02,5.07 08/06/13
http://www.sec.gov/news/digest/2013/dig081213.htm
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