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Commission announcementsCommission Suspends Trading in the Securities of Six Issuers for Failure to Make Required Periodic FilingsThe Securities and Exchange Commission (“Commission”) announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on August 14, 2013 and terminating at 11:59 p.m. EDT on August 27, 2013. • CNC Development, Ltd. (CDLVF and CDLKF) The Commission temporarily suspended trading in the securities of these six issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over a year. These orders were entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-70178; 34-70180) Commission Suspends Trading in the Securities of Soil BiogenicsThe Commission announced the temporary suspension of trading in the securities of Soil Biogenics Ltd., commencing at 9:30 a.m. EDT August 14, 2013 and terminating at 11:59 p.m. EDT on August 27, 2013. The Commission temporarily suspended trading in the securities of Soil Biogenics Ltd. due to a lack of current and accurate information about the company because it has not filed certain periodic reports with the Commission. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by this company. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspension, no quotation may be entered relating to the securities of the subject company unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of this company that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-70182) Commission Suspends Trading in the Securities of Seven Issuers for Failure to Make Required Periodic FilingsThe Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on August 14, 2013 and terminating at 11:59 p.m. EDT on August 27, 2013: • Altus Pharmaceuticals, Inc. (ALTUQ) The Commission temporarily suspended trading in the securities of the foregoing companies due to a lack of current and accurate information about the companies because they have not filed certain periodic reports with the Commission. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to trading suspensions until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-70184) Commission Suspends Trading in the Securities of Six Issuers for Failure to Make Required Periodic FilingsThe Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on August 14, 2013 and terminating at 11:59 p.m. EDT on August 27, 2013: • AIMS Worldwide, Inc. (AMWW) The Commission temporarily suspended trading in the securities of these six issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-70186) ENFORCEMENT PROCEEDINGSCommission Charges Two J.P. Morgan Traders with Fraudulently Overvaluing Investments To Conceal LossesThe Securities and Exchange Commission (“Commission”) today charged two former traders at JPMorgan Chase & Co. with fraudulently overvaluing investments in order to hide massive losses in a portfolio they managed. The SEC alleges that Javier Martin-Artajo and Julien Grout were required to mark the portfolio's investments at fair value in accordance with U.S. generally accepted accounting principles and JPMorgan's internal accounting policy. But when the portfolio began experiencing mounting losses in early 2012, Martin-Artajo and Grout schemed to deliberately mismark hundreds of positions by maximizing their value instead of marking them at the mid-market prices that would reveal the losses. Their mismarking scheme caused JPMorgan's reported first quarter income before income tax expense to be overstated by $660 million. In a parallel action, the U.S. Attorney's Office for the Southern District of New York today announced criminal charges against Martin-Artajo and Grout. “The trading instruments were complex but these traders had a simple rule to follow: tell the truth about their fair value,” said George S. Canellos, Co-Director of the SEC's Division of Enforcement. “Yet these traders brazenly accumulated a massive position in derivatives with lax oversight, and then lied to cover up their massive losses when the market turned against them.” According to the SEC's complaint filed in the U.S. District Court for the Southern District of New York, Martin-Artajo and Grout worked in JPMorgan's chief investment office (CIO), which created the portfolio known as Synthetic Credit Portfolio (SCP) as a hedge against adverse credit events. The portfolio was primarily invested in credit derivative indices and tranches. The market value of SCP's positions began to steadily decline in early 2012 due to improving credit conditions and a recent change in investment strategy. Martin-Artajo and Grout began concealing the losses in March 2012 by providing management with fraudulent valuations of SCP's investments. The SEC alleges that Martin-Artajo directed Grout to revise the manner in which he marked SCP's investments. Instead of continuing to price the portfolio's positions based on the mid-market prices contained in dealer quotes the CIO received, SCP's positions were instead marked at the most aggressive end of the dealers' bid-offer spread. On several occasions, Martin-Artajo provided a desired daily loss target to conceal the extent of the losses. Grout entered the marks every day into JPMorgan's books and records, and sent daily profit and loss reports to CIO management in which he understated SCP's losses. For a period, Grout maintained a spreadsheet to track the difference between his marks and the mid-market prices previously used to value SCP's positions. By mid-March, this spreadsheet showed that the difference had grown to $432 million. The SEC alleges that contrary to JPMorgan's accounting policy, Martin-Artajo instructed Grout on March 30 to wait for better prices after the close of trading in London in the hope that activity in the U.S. markets could support better marks for SCP's positions. The concealment of losses continued beyond the first quarter. By late April, trading counterparties raised collateral disputes over SCP positions totaling more than a half-billion dollars. Shortly thereafter, JPMorgan's management stripped the SCP traders of their marking authority and began valuing the book at the consensus mid-market prices. The SEC's complaint alleges that Martin-Artajo and Grout violated Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 and Rules 10b-5 and 13b2-1, and aided and abetted pursuant to Section 20(e) of the Exchange Act violations of Sections 13(a) and 13(b)(2)(A) and Rules 12b-20, 13a-11 and 13a-13. The SEC's investigation, which is continuing, has been conducted by Michael Osnato, Steven Rawlings, Peter Altenbach, Joshua Brodsky, Daniel Michael, Kapil Agrawal, Eli Bass, Daniel Nigro, Sharon Bryant, and Christopher Mele of the New York Regional Office. The litigation will be led by Joseph Boryshansky. The SEC appreciates the assistance of the U.S. Attorney's Office for the Southern District of New York, Federal Bureau of Investigation, United Kingdom Financial Conduct Authority, Office of the Comptroller of the Currency, Federal Reserve Bank of New York, and Commodity Futures Trading Commission. (Press Rel. 2013-154; LR-22779) Commission Announces Charges against Florida-Based Penny Stock SchemesThe Commission today announced the latest charges in a joint law enforcement crackdown on penny stock schemes with ties to the Florida region. The SEC charged two microcap companies, their CEOs, and one penny stock promoter for spearheading illegal kickback schemes. The SEC also charged two other microcap companies, their CEOs, and four other promoters with arranging the payment of bribes to hype the companies in which they had a stake in order to create a false sense of market activity and illegally generate stock sales. “Interested only in lining their own pockets, these company officers and promoters used underhanded tactics to cheat investors and manipulate penny stocks” said Eric I. Bustillo, Director of the SEC's Miami Regional Office. “Their utter disregard for investors underscores the importance of stamping out microcap fraud.” The SEC has worked closely with the U.S. Attorney's Office for the Southern District of Florida and the Federal Bureau of Investigation's Miami Division to uncover the penny stock schemes. Parallel criminal charges were announced today against the same nine individuals facing SEC charges. The SEC has now charged 40 individuals and 24 companies in this series of penny stock investigations. The first actions were announced in October 2010. The SEC's complaints filed today in U.S. District Court for the Southern District of Florida charged the following penny stock companies and officers:
The SEC's complaints charge the following penny stock promoters: • Mark Balbirer of Pompano Beach, Fla. According to the SEC's complaints, one of the schemes (Health Sciences Group/Gaffney) involved an arrangement to pay an undisclosed kickback to a pension fund manager in exchange for the fund's purchase of restricted shares of stock in the company. Two other schemes (Nationwide PharmAssist/Molinari and Balbirer) involved agreements to pay undisclosed kickbacks to hedge fund principals in return for their funds' purchase of restricted shares. The SEC's complaints allege that other schemes involved the arrangement of inducement payments by officers or promoters of penny stock companies to coordinate the manipulation of their stock. Those who arranged the payment of bribes to create fictitious market movement were Redfin Network/Schultz, VHGI/Martin, and promoters Greene, Santamaria, and Simon. In his scheme, Freedman arranged to pay an undisclosed bribe to a stockbroker who agreed to purchase a microcap company's stock in the open market for his customers' discretionary accounts. The SEC's complaints allege that the companies, officers, and promoters violated Section 17(a)(1) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5(a) and/or 10b-5(c). The SEC seeks financial penalties, disgorgement of ill-gotten gains plus prejudgment interest, and permanent injunctions. The SEC also seeks penny stock bars against each of the officers and promoters, and officer-and-director bars against Gaffney, Martin, Molinari, and Schultz. The SEC's investigation was conducted in the Miami Regional Office by senior counsels Trisha D. Sindler and Michelle I. Bougdanos under the supervision of assistant regional director Chedly C. Dumornay. The SEC's litigation will be led by Patrick R. Costello and Andrew Schiff. The SEC appreciates the assistance and cooperation of the U.S. Attorney's Office for the Southern District of Florida and the FBI's Miami Division. (Press Rel. 2013-155; LR-22780) Commission Halts Fraud by Ohio-Based Hedge Fund ManagerOn August 13, 3013, the Commission filed an emergency action charging Anthony J. Davian and his Richfield, Ohio-based asset management firm with defrauding investors in hedge funds they manage. A federal district court granted the SEC's motion for emergency relief, halting the fraud. The SEC alleges that since 2011 Davian, a 34-year old resident of Copley, Ohio, has raised more than $1.5 million from investors by promoting Davian Capital Advisors, LLC as a highly successful investment management firm that manages a portfolio of profitable hedge funds. The SEC further alleges that Davian and Davian Capital misappropriated at least $1 million in investor proceeds and used the funds to pay for personal expenses such as the purchase of a luxury home and automobile for Davian. According to the SEC's complaint, filed in federal district court, since 2011 Davian has raised at least $1.5 million from investors in several private funds managed by Davian Capital. Davian provided investors with marketing materials touting the funds' supposedly high returns and profitable trading strategies. The returns and profits described in the marketing materials were fictitious. Davian misappropriated most of the money received from investors and used the investors' funds to pay for personal expenses. For example, Davian pressured three individuals to invest $225,000 into his private funds, telling them that if they acted fast he would give them a break on his firm's management fees. Immediately upon receiving the investors' proceeds on July 5, 2013, Davian used the funds to pay for the construction of his residence. The SEC filed an action against Davian and Davian Capital in federal district court in Akron, Ohio on August 13, alleging that they violated the antifraud provisions of the federal securities laws and seeking emergency relief, including a temporary restraining order and asset freeze. That same day, the Court granted the emergency relief requested by the SEC. In addition to emergency relief, the SEC seeks permanent injunctions, disgorgement of ill-gotten gains and financial penalties from Davian and Davian Capital. The SEC's investigation was conducted by John J. Sikora, Jr., Jeffrey A. Shank, Christopher H. White and Luz M. Aguilar. The SEC's litigation will be led by Jonathan S. Polish. [SEC v. Anthony J. Davian and Davian Capital Advisors, LLC, Case No. 5:13 CV 1762, N.D. Ohio] (LR- 22777) Commission Charges Anchor Bancorp Wisconsin and Former CFO With FraudThe Commission today announced that it filed a settled civil action in the United States District Court for the District of Columbia against Anchor Bancorp Wisconsin, Inc. (Anchor) and Dale C. Ringgenberg, Anchor's former Chief Financial Officer. The Commission's complaint alleged, among other things, that Anchor and Ringgenberg intentionally or recklessly made material misstatements in Anchor's quarterly Report on Form 10-Q for the period ended June 30, 2009. The Commission's complaint further alleges that Ringgenberg took, or failed to take, actions to keep from having to correct earnings that Anchor had already released to its shareholders. Ringgenberg manipulated an estimate to offset an accounting adjustment required by Anchor's external auditors, and he refused or failed to properly account for real estate appraisals and related information that was available after the quarter closed but before Anchor filed its quarterly report. Without admitting or denying the allegations in the Commission's complaint, Anchor agreed to settle the action against it by consenting to the entry of a final judgment permanently enjoining it from violating the anti-fraud, periodic reporting, books and records, and internal controls provisions of the federal securities laws. Ringgenberg agreed to consent, without admitting or denying the allegations in the Commission's complaint, to the entry of a final judgment: permanently enjoining him from violating the anti-fraud, disclosure certification, books and records, and lying to auditors provisions of the federal securities laws and from aiding and abetting violations of the periodic reporting, books and records, and internal controls provisions; imposing a civil penalty of $75,000; and barring him from serving as an officer or director of a public company for five years. The settlement is subject to the approval of the district court. [SEC v. Anchor Bancorp Wisconsin, Inc. et al, Civil Action No. 1:13-cv-01241, USDC, DDC] (LR-22778) In the Matters of Martin C. Hartmann III and Laura Ann TordyOn August 14, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions against each Martin C. Hartmann III (Hartmann) and Laura Ann Tordy (Tordy). The Orders against Hartmann and Tordy find that Hartmann and Tordy offered and sold securities of Agape World, Inc. (“Agape”); the Agape securities were neither registered with the Commission nor exempt from registration; and neither Hartmann nor Tordy was registered with the Commission in any capacity. On July 9, 2013, the U.S. District Court for the Eastern District of New York entered a final judgment by consent against each Hartmann and Tordy in the civil action entitled SEC v. Bryan Arias, et al., Civil Action Number 12-CV-2937. The Commission's complaint alleged that Hartmann worked as a sales agent for Agape from at least September 2006 to January 2009 and Tordy worked as a sales agent for Agape from at least February 2007 to January 2009. The complaint alleged Hartmann and Tordy each made misrepresentations to investors concerning the Agape securities they sold and they sold the Agape securities despite the incredible returns promised by Agape, their knowledge of previous defaults by Agape, and dire warnings from Agape's president about Agape's financial condition. The complaint further alleged the Agape securities were a sham with, at best, a small fraction of investor funds used as represented; the Agape securities were neither registered with the Commission nor exempt from registration; and, neither Hartmann nor Tordy was associated with a registered broker or dealer while selling them. The final judgment as to Hartmann permanently enjoins Hartmann from violating Sections 5 and 17(a) of the Securities Act, and Sections 10(b) and 15(a) of the Exchange Act, and Rule 10b-5 thereunder, and requires him to pay $3,591,388 in disgorgement, $560,932 in prejudgment interest, and a civil penalty of $3,594,818. The final judgment as to Tordy permanently enjoins Tordy from violating the same provisions of the federal securities laws as Hartmann, and requires her to pay $1,048,485 in disgorgement, $163,761 in prejudgment interest, and a civil penalty of $1,048,485. Based on the above, the Orders against Hartmann and Tordy bar them from associating with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and bar them from participating in any offering of a penny stock. Hartmann and Tordy consented to the issuance of the respective Orders against them. (Rel. 34-70187; File No. 3-15420; Rel. 34-70188; File No. 3-15421) Commission Orders Hearings on Registration Suspension or Revocation Against Six Companies for Failure to Make Required Periodic FilingsIn conjunction with these trading suspensions, the Commission today also instituted two public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of six companies for failure to make required periodic filings with the Commission: In the Matter of CNC Development, Ltd., et al., Administrative Proceeding File No. 3-15415 • CNC Development, Ltd. (CDLVF and CDLKF) In the Matter of iVoice, Inc., et al., Administrative Proceeding File No. 3-15416 • iVoice, Inc. (IVOI) In these Orders, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission. In these proceedings, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and/or 13a-13 thereunder, are true. The judge in the proceedings 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 the proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-70177; 34-70179) Commission Orders Hearings on Registration Suspension or Revocation Against Seven Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of seven companies for failure to make required periodic filings with the Commission: In the Matter of AIMS Worldwide, Inc., et al., Administrative Proceeding File No. 3-15419 • AIMS Worldwide, Inc. (AMWW) 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 judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-70185) Commission Orders Hearings on Registration Suspension or Revocation Against Seven Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of seven companies for failure to make required periodic filings with the Commission: In the Matter of Altus Pharmaceuticals, Inc., et al., Administrative Proceeding File No. 3-15418 • Altus Pharmaceuticals, Inc. (ALTUQ) 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 judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-70183) Commission Orders Hearings on Registration Suspension or Revocation Against Soil Biogenics Ltd., for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of Soil Biogenics Ltd., for failure to make required periodic filings with the Commission: In the Matter of Soil Biogenics Ltd., Administrative Proceeding File No. 3-15417 In this Order, the Division of Enforcement (Division) alleges that Soil Biogenics Ltd. is delinquent in its required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondent 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 Rule 13a-1 thereunder, are true. The judge in the proceeding will then determine whether the registration pursuant to Exchange Act Section 12 of each class of the securities of this Respondent 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. 34-70181) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by The NASDAQ Stock Market LLC relating to a non-penny pilot option rebate to add liquidity (SR-NASDAQ-2013-104) 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. 34-70175) A proposed rule change filed by C2 Options Exchange, Incorporated to amend the fees schedule (SR-C2-2013-030) 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. 34-70194) A proposed rule change filed by New York Stock Exchange LLC of proposed changes to the Price List (SR-NYSE-2013-56) 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. 34-70193) A proposed rule change filed by BATS Exchange, Inc. related to fees for use of BATS Exchange, Inc. (SR-BATS-2013-042) 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. 34-70190) A proposed rule change filed by BATS Exchange, Inc. related to fees for use of BATS Exchange, Inc. (SR-BATS-2013-043) 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. 34-70196) A proposed rule change filed by BATS Exchange, Inc. related to fees for use of BATS Exchange, Inc. (SR-BATS-2013-044) 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. 34-70197) The Depository Trust Company (“DTC”) filed a proposed rule change (File No. SR-DTC-2013-09) under Section 19(b)(1) of the Securities Exchange Act of 1934 to eliminate special procedures of DTC for securities offered pursuant to Regulation S, Category 3, under the Securities Act of 1933. Publication is expected in the Federal Register during the week of August 12th. (Release No. 34-70198) A proposed rule change filed by BATS Y-Exchange, Inc. related to fees for use of BATS Y-Exchange, Inc. (SR-BYX-2013-027) 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. 34-70192) A proposed rule change filed by BATS Exchange, Inc. to eliminate rules related to CYCLE Routing (SR-BATS-2013-041) 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. 34-70189) A proposed rule change filed by BATS Y-Exchange, Inc. to eliminate rule related to CYCLE Routing (SR-BYX-2013-026) 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. 34-70191) Notice of Proposed Rule ChangeICE Clear Europe Limited filed a proposed rule change (File No. SR-ICEEU-2013-11) under Section 19(b)(1) of the Securities Exchange Act of 1934 related to enhanced margin and guaranty fund methodology. Publication is expected in the Federal Register during the week of August 12th. (Release No. 34-70201) Approval of a Proposed Rule ChangeThe Commission granted approval of a proposed rule change (SR-NYSEArca-2013-61) submitted by NYSE Arca, Inc., pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, proposing to list and trade units of the First Trust Gold Trust pursuant to NYSE Arca Equities Rule 8.201. Publication is expected in the Federal Register during the week of August 12th. (Rel. 34-70195) The Commission granted approval of a proposed rule change (SR-BATS-2013-036), submitted by BATS Exchange, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder to introduce a connectivity option through Points of Presence. Publication is expected in the Federal Register during the week of August 12th. (Rel. 34-70199) 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/dig081413.htm
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