 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
Commission announcementsCommission MeetingsClosed Meeting on Thursday, August 29, 2013 at 2:00 p.m. The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; an adjudicatory matter; and other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGSCommission Stops California Company with Misleading Registration Statement from Issuing Public StockThe Securities and Exchange Commission ("Commission") today issued an order to stop an initial public offering (IPO) of a Los Angeles area company before its shares were sold to the public. In issuing its stop order against Counseling International, the Commission determined that the company's registration statement contains false and misleading information. According to the SEC's stop order, Counseling International's registration statement fails to disclose the identity of the company's control persons and promoters as required under the securities laws. Among other deficiencies, the registration statement falsely describes the circumstances surrounding the departure of the former CEO. Stop orders proactively prevent fraud by halting the securities registration process before a company's stock is sold to the public based on a deficient or misleading registration statement. Counseling International first filed a registration statement in August 2012 for an initial public offering of 764,000 shares of common stock. The registration statement has been amended four times since that filing. "A company's registration statement is the bedrock on which its stock is offered to the general public, and Counseling International did not provide the accurate and complete information that investors would be entitled to when deciding whether it's appropriate to invest in the company," said Michele Layne, Director of the SEC's Los Angeles Regional Office. "Rarely do we have the opportunity to prevent investor harm before shares are even sold, but this stop order ensures that Counseling International's stock cannot be sold in the public markets under this misleading registration statement." Counseling International agreed to the issuance of the order instituting the stop order proceeding, and also agreed not to engage or participate in any unregistered offering of securities conducted in reliance on Rule 506 of Regulation D for a period of five years from the issuance of the order. The SEC's investigation, which is continuing, has been conducted by Roberto Tercero and Spencer Bendell in the Los Angeles office. (Press Rel. 2013-163; Rel. 33-9444) In the Matter of Joseph ContorinisAn Administrative Law Judge has issued an Initial Decision in Joseph Contorinis, Admin. Proc. File No. 3-15308. The Commission issued its Order Instituting Proceedings (OIP) on April 30, 2013, pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 (Exchange Act) and Section 203(f) of the Investment Advisers Act of 1940. The OIP alleges that on October 6, 2010, Joseph Contorinis (Contorinis) was convicted of one count of conspiracy to commit securities fraud and seven counts of securities fraud, in violation of Exchange Act Section 10(b) and Rule 10b-5 thereunder, in connection with insider trading, in United States v. Contorinis, No. 09 cr 1083 (RJS) (S.D.N.Y.). The OIP also alleges that on February 29, 2012, the United States District Court for the Southern District of New York entered an order, based upon the same underlying violations, permanently enjoining Contorinis from future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder and ordered disgorgement and a penalty against Contorinis in SEC v. Stephanou, No. 09 cv 1043 (RJS). The Initial Decision grants the Motion for Summary Disposition filed by the Division of Enforcement and permanently bars Contorinis from association with a broker, dealer, investment adviser, municipal securities dealer, transfer agent, municipal advisor, or nationally recognized statistical rating organization, and from participating in an offering of penny stock. (ID-503) Commission Settles Claims against Officer of Bank Holding CompanyOn August 8, 2013, the United States District Court for the Northern District of California approved a settlement of the Commission's claims against Ebrahim Shabudin, the former Chief Operating Officer of UCBH Holdings, Inc. The case against Mr. Shabudin and two other defendants involves fraudulent financial reporting for UCBH Holdings, Inc., the publicly-traded holding company for San Francisco-based United Commercial Bank. The Commission alleges Mr. Shabudin and other defendants concealed losses on loans and other assets from the bank's auditors and delayed the proper reporting of those losses in connection with the 2008 annual report, among other allegations. Without admitting or denying the allegations, Mr. Shabudin agreed to pay a civil money penalty of $175,000, with the penalty partially reduced by the amount paid as a civil penalty in a related administrative action brought against him by the Federal Deposit Insurance Corporation. Mr. Shabudin also consented to the entry of a final judgment that permanently enjoins him from violating Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 and Rules 10b-5, 13b2-1 and 13b2-2 thereunder, and Sections 17(a)(1) and 17(a)(3) of the Securities Act of 1933, and from aiding and abetting violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1, and 13a-11 thereunder. The judgment also bars Mr. Shabudin from acting as an officer or director of a public company under the Exchange Act. (LR-22786) Investment company ordersThe Northwestern Mutual Life Insurance Company, et al.A notice has been issued giving interested persons until September 17, 2013 to request a hearing on an application filed by the Northwestern Mutual Life Insurance Company (the "Company"), NML Variable Annuity Account A, NML Variable Annuity Account B, NML Variable Annuity Account C, Northwestern Mutual Variable Life Account and Northwestern Mutual Variable Life Account II (together the "Separate Accounts"). The Company and the Separate Accounts are collectively referred to as the "Substitution Applicants." The Substitution Applicants and Credit Suisse Trust are also collectively referred to as the "Section 17 Applicants." The Substitution Applicants request an order pursuant to Section 26(c) of the 1940 Act, approving the substitution of shares of the Commodity Return Strategy Portfolio, a series of Credit Suisse Trust, for shares of the Commodities Return Strategy Portfolio, a series of the Northwestern Mutual Series Fund, Inc., under each of the variable annuity contracts and variable life insurance policies issued by the Separate Accounts. The Section 17 Applicants seek an order pursuant to Section 17(b) of the 1940 Act exempting them from 17(a) of the Act to the extent necessary to permit them to engage in certain in-kind transactions in connection with the substitution. (Rel. Rel. IC-30671) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2013-110) to amend Chapter VII, Section 6 of the rules of the NASDAQ Options Market to permit the Exchange to establish wider bid/ask differentials for certain options with high premiums or other special characteristics has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected to be made in the Federal Register during the week of August 26th. (Rel. 34-70245) Approval of a Proposed Rule ChangeThe Commission granted approval of a proposed rule change submitted by New York Stock Exchange LLC (SR-NYSE-2013-40) amending 303A.00 of the New York Stock Exchange LLC's Listed Company Manual to provide a one-year transition period to comply with the internal audit requirement of Section 303A.07(c) for companies listing in connection with an initial public offering, or by means of a carve-out or spin-off transaction. Publication is expected in the Federal Register during the week of August 26th. (Rel. 34-70246) 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 TRULIA, INC., 116 NEW MONTGOMERY STREET, SUITE 300, SAN FRANCISCO, CA,
94105, (415) 648-4358 - 0 ($163,435,302.00) Equity, (File 333-190739 -
Aug. 21) (BR. 03A)
S-3ASR CARDINAL HEALTH INC, 7000 CARDINAL PLACE, DUBLIN, OH, 43017,
6147573033 - 0 ($0.00) Other, (File 333-190741 - Aug. 21) (BR. 09B)
S-8 GLOBAL EARTH ENERGY, INC., 1213 CULBERTH DRIVE, WILLMINGTON, NC, 28405,
(910) 270-7749 - 250,000,000 ($25,000.00) Equity, (File 333-190742 -
Aug. 21) (BR. 08C)
S-8 Petron Energy II, Inc., 4300 QUINLAN PARK ROAD, SUITE 105, AUSTIN, TX,
78732, 512-585-5511 - 3,000,000 ($150,000.00) Equity,
(File 333-190743 - Aug. 21) (BR. 04A)
S-1 List Solutions, Inc., 10045 RED RUN BOULEVARD, SUITE 140, OWINGS MILLS,
MD, 21117, 443-334-8840 - 2,000,000 ($600,000.00) Equity,
(File 333-190759 - Aug. 21) (BR. )
S-8 Polonia Bancorp Inc, 3993 HUNTINGDON PIKE 3RD FLOOR, HUNTINGDON VALLEY,
PA, 19006, 215 938 8800 - 239,029 ($2,342,485.00) Equity,
(File 333-190760 - Aug. 21) (BR. 07)
S-1 MONTAGE TECHNOLOGY GROUP LTD, 680 GUI PING RD SUITE 406,
INNOVATION CENTER, SHANGHAI CHINA, F4, 200233, 86-21-54264488 -
0 ($115,000,000.00) Equity, (File 333-190761 - Aug. 21) (BR. 10B)
S-8 EMISPHERE TECHNOLOGIES INC, 240 CEDAR KNOLLS RD., SUITE 200,
CEDAR KNOLLS, NJ, 07927, 973-532-8000 - 0 ($900,000.00) Equity,
(File 333-190762 - Aug. 21) (BR. 01A)
S-3 GRAY TELEVISION INC, 4370 PEACHTREE ROAD NE, ATLANTA, GA, 30319,
4042668333 - 0 ($600,000,000.00) Equity, (File 333-190763 - Aug. 21)
(BR. 11C)
N-2 THL Credit Secured Floating Rate Debt, Ltd., 100 FEDERAL STREET,
31ST FLOOR, BOSTON, MA, 02110, 800-450-4424 -
0 ($115,000,000.00) Equity, (File 333-190764 - Aug. 21) (BR. )
S-1 MusclePharm Corp, 4721 IRONTON STREET, DENVER, CO, 80239,
(800) 210-7369 - 780,000 ($8,619,000.00) Equity, (File 333-190765 -
Aug. 21) (BR. 01B)
S-1 CONSUMER PORTFOLIO SERVICES INC, 19500 JAMBOREE ROAD, IRVINE, CA,
92612, 9497536800 - 50,000 ($50,000,000.00) Non-Convertible Debt,
(File 333-190766 - Aug. 21) (BR. 07C)
S-4 AMERICAN APPAREL, INC, 747 WAREHOUSE STREET, LOS ANGELES, CA, 90021,
213-488-0226 - 0 ($225,451,960.00) Debt, (File 333-190767 - Aug. 21)
(BR. 09B)
S-1 ExOne Co, 127 INDUSTRY BOULEVARD, NORTH HUNTINGDON, PA, 15642,
724-863-9663 - 3,054,400 ($198,627,632.00) Equity, (File 333-190768 -
Aug. 21) (BR. 10A)
S-3 PARKERVISION INC, 8493 BAYMEADOWS WAY, JACKSONVILLE, FL, 32256,
9047371367 - 3,991,573 ($16,345,491.44) Equity, (File 333-190769 -
Aug. 21) (BR. 11A)
S-8 AEOLUS PHARMACEUTICALS, INC., 26361 CROWN VALLEY PARKWAY, SUITE 150,
MISSION VIEJO, CA, 92691, 9494819825 -
15,000,000 ($3,673,500.00) Equity, (File 333-190770 - Aug. 21) (BR. 01A)
F-10 Avalon Rare Metals Inc., SUITE 1901 - 130 ADELAIDE STREET WEST,
TORONTO, A6, M5H 3P5, 416-364-4938 -
500,000,000 ($500,000,000.00) Equity, (File 333-190771 - Aug. 21)
(BR. 09A)
S-1 Transfer Enterprises, Inc., 10045 RED RUN BOULEVARD, SUITE 140,
OWINGS MILLS, DE, 21117, 443-334-8840 - 2,000,000 ($600,000.00) Equity,
(File 333-190772 - Aug. 21) (BR. )
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 08/21/13
Accenture plc L2 5.02,9.01 08/20/13
ACCENTURE SCA 5.02,9.01 08/20/13
ACORDA THERAPEUTICS INC 7.01 08/16/13
Active Health Foods, Inc. CA 8.01,9.01 08/21/13
AFC ENTERPRISES INC MN 2.02,9.01 08/21/13
Allegiant Travel CO NV 5.02 08/20/13
Allied Nevada Gold Corp. DE 7.01,9.01 08/20/13
Altisource Portfolio Solutions S.A. N4 1.01,8.01,9.01 08/19/13
AMBIT BIOSCIENCES CORP DE 5.02 08/19/13
AMERICAN APPAREL, INC DE 8.01,9.01 08/21/13
AMERICAN FINANCIAL GROUP INC OH 5.02 08/19/13
American Homes 4 Rent MD 2.02,9.01 08/20/13
American Midstream Partners, LP DE 7.01,9.01 08/21/13
AMERICAN NATIONAL BANKSHARES INC. VA 7.01,9.01 08/21/13
American Realty Capital Properties, I MD 8.01,9.01 08/21/13
AMERICAN SOFTWARE INC GA 5.07 08/19/13
AMERICAN SUPERCONDUCTOR CORP /DE/ DE 4.01,9.01 08/15/13
AmeriCredit Automobile Receivables Tr 1.01,9.01 08/15/13
Angie's List, Inc. DE 5.02,9.01 08/21/13
APPLIED DNA SCIENCES INC DE 5.02 08/20/13
Applied Nanotech Holdings, Inc TX 5.02 08/19/13
ARC Group Worldwide, Inc. UT 5.02,8.01,9.01 08/19/13
ARROW ELECTRONICS INC NY 8.01,9.01 07/31/13
ARROW RESOURCES DEVELOPMENT INC DE 4.01 08/19/13
Ascent Capital Group, Inc. DE 2.01,2.03,3.02,7.01, 08/16/13
9.01
ASURE SOFTWARE INC DE 3.01,9.01 08/15/13
Augme Technologies, Inc. DE 8.01 08/19/13
Bacterin International Holdings, Inc. DE 7.01,9.01 08/21/13
BANC OF CALIFORNIA, INC. MD 7.01,9.01 08/20/13
Bank of Commerce Holdings CA 8.01,9.01 08/21/13
BIGLARI HOLDINGS INC. IN 8.01,9.01 08/21/13
Bio-Matrix Scientific Group, Inc. DE 4.02 08/20/13
BIOANALYTICAL SYSTEMS INC IN 3.01,4.02,9.01 08/15/13
BIOTIME INC CA 8.01,9.01 08/15/13
Black Elk Energy Offshore Operations, TX 1.01,5.02,9.01 08/15/13
BLUE CALYPSO, INC. DE 8.01,9.01 08/19/13
BOLT TECHNOLOGY CORP CT 2.02,5.02,8.01,9.01 08/14/13
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 1.01,9.01 08/21/13
BUCKEYE PARTNERS, L.P. DE 7.01,9.01 08/21/13
Calpian, Inc. TX 7.01,9.01 08/21/13
CAPITAL AUTO RECEIVABLES LLC DE 1.01,8.01,9.01 08/21/13
Cardinal Energy Group, Inc. NV 1.01,3.02,7.01,9.01 08/19/13
Cardinal Energy Group, Inc. NV 1.01,3.02,9.01 08/20/13
Carey Watermark Investors Inc 9.01 06/06/13 AMEND
CENTRAL EUROPEAN MEDIA ENTERPRISES LT 5.02,7.01,9.01 08/15/13
CHINA AUTOMOTIVE SYSTEMS INC DE 5.07 08/20/13
CHINA VALVES TECHNOLOGY, INC NV 7.01 08/21/13
Citi Trends Inc 2.02,9.01 08/21/13
CLEANTECH TRANSIT, INC. 5.02,9.01 08/21/13
CLIFFS NATURAL RESOURCES INC. OH 5.02 08/16/13
CLOUD PEAK ENERGY INC. DE 7.01,8.01,9.01 08/21/13
CNL Healthcare Properties, Inc. MD 1.01,2.03,9.01 08/19/13
COLE CORPORATE INCOME TRUST, INC. MD 8.01 08/21/13
COLE CREDIT PROPERTY TRUST IV, INC. MD 1.01,1.02,2.03,8.01 08/15/13
COLONIAL PROPERTIES TRUST AL 8.01,9.01 08/21/13
COMMUNITY TRUST BANCORP INC /KY/ KY 7.01,9.01 06/30/13
CONAGRA FOODS INC /DE/ DE 5.02 08/15/13
CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 1.01,9.01 08/15/13
COPsync, Inc. DE 7.01,9.01 08/16/13
Crown Equity Holdings, Inc. NV 5.02,9.01 08/20/13
DecisionPoint Systems, Inc. DE 1.01,3.02,9.01 08/15/13
DEEP WELL OIL & GAS INC NV 1.01,9.01 08/15/13
Delphi Automotive PLC Y9 5.02 08/19/13
DELTA NATURAL GAS CO INC KY 5.02,5.03,9.01 08/16/13
Diamond Foods Inc DE 2.02,8.01,9.01 08/21/13
Discovery Energy Corp. NY 1.01 08/15/13
DNB FINANCIAL CORP /PA/ PA 7.01,9.01 08/21/13
DSP GROUP INC /DE/ DE 5.02,9.01 08/18/13
Duke Energy CORP DE 2.02,9.01 08/21/13
EATON VANCE CORP MD 2.02,9.01 08/21/13
ECO Building Products, Inc. CO 4.01,9.01 08/20/13
ECOSPHERE TECHNOLOGIES INC DE 8.01 08/08/13
ELIZABETH ARDEN INC FL 5.02 08/16/13
EMC INSURANCE GROUP INC IA 7.01 08/21/13
EMERSON ELECTRIC CO MO 7.01 08/21/13
ENANTA PHARMACEUTICALS INC DE 5.02 08/18/13
ENDEAVOUR INTERNATIONAL CORP NV 1.01 08/15/13
EQUAL ENERGY LTD. A0 7.01,9.01 08/20/13
EQUITY ONE, INC. 2.02,7.01 08/21/13
Essential Telecommunications, Inc. 3.02,5.01,5.02 03/25/13 AMEND
EXIDE TECHNOLOGIES DE 5.02 08/15/13
FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 5.02,9.01 08/20/13
Falconridge Oil Technologies Corp. NV 1.01,2.01,3.02,5.01, 08/02/13
5.02,5.03,5.06,9.01
Federal Home Loan Bank of Boston X1 2.03 08/15/13
FIELDPOINT PETROLEUM CORP CO 7.01,9.01 08/21/13
FINANCIAL INSTITUTIONS INC NY 8.01,9.01 08/21/13
FIRST DATA CORP DE 5.02 08/21/13
FIRST MIDWEST BANCORP INC DE 7.01,9.01 08/21/13
FIRST SECURITY GROUP INC/TN TN 5.04,9.01 08/16/13
FIRSTENERGY CORP OH 2.06 08/21/13
FLORIDA GAMING CORP DE 1.03 08/19/13
FLUSHING FINANCIAL CORP DE 8.01,9.01 08/20/13
FOREST LABORATORIES INC DE 5.02,5.07,9.01 08/20/13
FOUR OAKS FINCORP INC NC 2.02,9.01 08/21/13
FULLER H B CO MN 5.02,9.01 08/16/13
GALECTIN THERAPEUTICS INC NV 3.02,9.01 08/16/13
GENTEX CORP MI 5.02 08/15/13
GIA INVESTMENTS CORP. NV 5.02 08/14/13
GLOBE SPECIALTY METALS INC 2.02,7.01,9.01 06/30/13
GLOBE SPECIALTY METALS INC 1.01,2.03,9.01 08/20/13
GlyEco, Inc. NV 1.01,3.02 08/15/13
GOOD TIMES RESTAURANTS INC NV 1.01,8.01,9.01 08/15/13
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 08/16/13
GreenHunter Resources, Inc. DE 5.02,9.01 08/19/13
GSE Holding, Inc. DE 5.07 05/07/13 AMEND
GSI TECHNOLOGY INC 8.01,9.01 08/20/13
Guardian 8 Holdings NV 1.01,2.03,3.02,9.01 08/12/13
GUESS INC DE 5.02,9.01 08/21/13
HAIN CELESTIAL GROUP INC DE 2.02,9.01 08/21/13
HAIN CELESTIAL GROUP INC DE 5.02,9.01 08/21/13
HANGER, INC. DE 7.01,9.01 08/21/13
HANMI FINANCIAL CORP DE 7.01,9.01 08/21/13
HAUPPAUGE DIGITAL INC DE 3.01 08/20/13
HEALTH ENHANCEMENT PRODUCTS INC NV 2.01,8.01,9.01 08/19/13
HEARTLAND FINANCIAL USA INC DE 9.01 08/21/13
HELMERICH & PAYNE INC DE 5.02,9.01 08/21/13
HERCULES OFFSHORE, INC. DE 7.01,9.01 08/21/13
HEWLETT PACKARD CO DE 2.02,5.02,8.01,9.01 08/16/13
HOOPER HOLMES INC NY 1.01,8.01,9.01 08/15/13
HUDSON VALLEY HOLDING CORP NY 7.01,9.01 08/21/13
IDENTIVE GROUP, INC. DE 8.01 08/15/13
IF Bancorp, Inc. MD 8.01 08/21/13
IMMUNE PHARMACEUTICALS INC 5.03,8.01,9.01 08/15/13
Industrial Income Trust Inc. MD 2.02,8.01,9.01 08/21/13
INSPERITY, INC. DE 5.03,9.01 08/20/13
INTERNATIONAL TOWER HILL MINES LTD A1 1.01 08/06/13
INTERNET AMERICA INC TX 5.02,8.01,9.01 08/15/13
IZEA, Inc. NV 3.02,9.01 08/15/13
JDS UNIPHASE CORP /CA/ DE 1.01,1.02,2.03,3.02, 08/21/13
8.01,9.01
JPMORGAN CHASE & CO DE 8.01,9.01 08/21/13
JTH Holding, Inc. DE 3.01,7.01,9.01 08/15/13
KONA GRILL INC DE 7.01,9.01 08/21/13
KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 08/15/13
LANCASTER COLONY CORP OH 8.01,9.01 08/21/13
Life Technologies Corp DE 5.07,9.01 08/21/13
LIFEPOINT HOSPITALS, INC. 5.02,9.01 08/21/13
LOWES COMPANIES INC NC 2.02,9.01 08/21/13
Madison Square Garden Co DE 2.02,9.01 08/21/13
MANAGED FUTURES PREMIER WARRINGTON L. NY 1.01 08/15/13
Manitex International, Inc. MI 1.01,1.02,2.03,9.01 08/19/13
Manitex International, Inc. MI 1.01,2.01,2.03,3.02, 08/19/13
9.01
Matador Resources Co TX 7.01,9.01 08/20/13
MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 08/15/13
ML Capital Group, Inc. NV 5.02 08/13/13
MONAR INTERNATIONAL INC. NV 7.01,9.01 08/21/13
MSGI TECHNOLOGY SOLUTIONS, INC NV 4.01,4.02 07/25/13 AMEND
MUTUALFIRST FINANCIAL INC MD 8.01,9.01 08/21/13
NEAH POWER SYSTEMS, INC. NV 8.01,9.01 08/21/13
NETLIST INC DE 3.01 08/15/13
NewStar Financial, Inc. 1.01,2.03,9.01 08/20/13
NII HOLDINGS INC DE 2.01,9.01 08/19/13
NTS, INC. NV 8.01,9.01 08/21/13
NuStar Energy L.P. DE 7.01,9.01 08/21/13
NuStar GP Holdings, LLC DE 7.01,9.01 08/21/13
Occidental Development Group, Inc. NV 5.03,9.01 08/19/13
OCLARO, INC. DE 5.02 08/15/13
OFFICE DEPOT INC DE 1.01,9.01 08/20/13
OICCO ACQUISITION I, INC. DE 5.02 08/20/13
OLD LINE BANCSHARES INC MD 5.02,5.07,9.01 08/15/13
Omnitek Engineering Corp CA 5.02 08/17/13
ON SEMICONDUCTOR CORP DE 5.02 08/14/13 AMEND
PACIFIC PREMIER BANCORP INC DE 7.01,9.01 08/21/13
Patriot Coal CORP DE 7.01,9.01 08/21/13
PEDEVCO CORP TX 7.01,9.01 08/21/13
PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 08/20/13
PETSMART INC DE 2.02,9.01 08/21/13
PINNACLE ENTERTAINMENT INC. DE 1.01,8.01,9.01 08/16/13
PIXELWORKS, INC OR 8.01,9.01 08/21/13
Planet Payment Inc DE 5.02 08/20/13
PLC SYSTEMS INC B0 5.02,9.01 08/16/13
PORTFOLIO RECOVERY ASSOCIATES INC DE 1.01,2.03,9.01 08/21/13
POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 08/21/13
PPLUS TRUST SERIES GSC-3 DE 8.01,9.01 08/15/13
PROS Holdings, Inc. DE 5.02,5.03 08/15/13
PROTECTIVE LIFE CORP DE 5.02 08/19/13
PTC INC. MA 5.02 08/16/13
QUALSTAR CORP CA 5.02,8.01,9.01 08/16/13
RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 08/21/13
RBC Bearings INC 5.02,9.01 08/21/13
Real Goods Solar, Inc. CO 8.01 08/21/13
Regency Energy Partners LP DE 7.01,9.01 08/21/13
RESOLUTE ONCOLOGY INC NV 1.01,2.01,3.02,5.02, 05/08/13
5.06,9.01
Rexnord Corp DE 1.01,1.02,2.03,8.01, 08/20/13
9.01
SARATOGA RESOURCES INC /TX TX 7.01,9.01 08/21/13
Searchlight Minerals Corp. NV 1.01,7.01,9.01 08/19/13
SEMTECH CORP DE 2.02,7.01,8.01,9.01 08/21/13
Service Team Inc. NV 9.01 06/14/13 AMEND
Shire plc 8.01,9.01 08/21/13
SI Financial Group, Inc. 5.07,8.01,9.01 08/15/13
Six Flags Entertainment Corp 8.01,9.01 08/21/13
SKULLCANDY, INC. 1.01,2.03 08/19/13
SMUCKER J M CO OH 2.02,9.01 08/21/13
SolarWinds, Inc. DE 5.02,7.01,9.01 08/16/13
SOLIGENIX, INC. DE 2.02,9.01 08/12/13
SONO TEK CORP NY 7.01 08/20/13
Southcross Energy Partners, L.P. DE 7.01,9.01 08/21/13
SOUTHERN CO DE 8.01 08/13/13
Spansion Inc. DE 8.01,9.01 08/20/13
SPECIALTY CONTRACTORS, INC. NV 2.01,5.01,5.02,9.01 08/20/13 AMEND
SPHERIX INC DE 1.01,5.07,9.01 08/19/13
SPIRE Corp MA 5.02 08/15/13
SPORT CHALET INC DE 5.02 08/15/13
STAPLES INC DE 2.02,9.01 08/21/13
STEVEN MADDEN, LTD. DE 8.01,9.01 08/19/13
Stevia First Corp. NV 5.07 04/11/13 AMEND
Strategic Storage Trust, Inc. MD 7.01,9.01 08/21/13
STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 08/15/13
STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 08/15/13
STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 08/15/13
STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 08/15/13
STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 08/15/13
STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 08/15/13
STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 08/15/13
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 08/15/13
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 08/15/13
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 08/15/13
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 08/15/13
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 08/15/13
SUJA MINERALS, CORP NV 1.01,2.01,3.02,5.01, 08/15/13
5.02,7.01,9.01
SUPERNUS PHARMACEUTICALS INC DE 1.01,8.01,9.01 08/21/13
Surge Global Energy, Inc. DE 8.01,9.01 08/21/13
SURREY BANCORP NC 5.07 08/20/13
SYNIVERSE HOLDINGS INC DE 5.02 08/16/13
SYNOPSYS INC DE 2.02,9.01 08/21/13
TARGET CORP MN 2.02,9.01 08/21/13
TEL INSTRUMENT ELECTRONICS CORP NJ 3.01,9.01 08/21/13
TENGION INC DE 8.01,9.01 08/20/13
TESORO LOGISTICS LP DE 7.01,9.01 08/21/13
Tianli Agritech, Inc. D8 7.01,9.01 08/21/13
TNI BIOTECH, INC. FL 8.01 08/21/13
TOLL BROTHERS INC DE 2.02,9.01 08/21/13
TOYS R US INC DE 1.01,2.03,8.01 08/21/13
Tropicana Entertainment Inc. DE 1.01,7.01,9.01 08/16/13
TRULIA, INC. DE 2.01,9.01 08/20/13 AMEND
TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 08/21/13
UNIFI INC NY 5.02 08/15/13
UNION FIRST MARKET BANKSHARES CORP VA 5.02 08/15/13
UNITED AIRLINES, INC. DE 1.01,2.03,9.01 08/15/13
UNIVERSAL POWER GROUP INC. TX 2.02,9.01 08/14/13
UROLOGIX INC MN 2.02,9.01 08/20/13
US-FEIWO AGRICULTURAL INDUSTRY INTERN CA 4.01,9.01 07/12/13
US-HM STRAW CONSTRUCTION MATERIAL INT CA 4.01,9.01 07/12/13
US-LBJ HUSBANDRY INDUSTRY INT'L, INC. CA 4.01,9.01 07/12/13
US-LUJIA PHARMACEUTICAL INDUSTRY INTE CA 4.01,9.01 07/12/13
US-PS ENERGY SAVE CONSTRUCTION MATERI CA 4.01,9.01 07/12/13
US-RUQUAN DAIRY PRODUCTION INT'L, INC CA 4.01,9.01 07/12/13
VALUEVISION MEDIA INC MN 2.02,9.01 08/21/13
Vantage Drilling CO E9 5.02,9.01 08/20/13
Victory Electronic Cigarettes Corp NV 2.01,3.02,5.01,5.02, 06/25/13 AMEND
5.03,5.06,9.01
VIEWCAST COM INC DE 5.02 08/14/13
VirtualScopics, Inc. DE 5.03,8.01,9.01 08/21/13
Voltari Corp DE 5.02,8.01,9.01 08/14/13
WABASH NATIONAL CORP /DE DE 7.01,9.01 08/21/13
WELLS FARGO & COMPANY/MN DE 9.01 08/21/13
WEYERHAEUSER CO WA 5.02,8.01,9.01 08/16/13
WHITE MOUNTAINS INSURANCE GROUP LTD D0 8.01,9.01 08/21/13
XOMA Corp DE 8.01,9.01 08/19/13
http://www.sec.gov/news/digest/2013/dig082213.htm
|