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Commission announcementsPaula Dubberly, Deputy Director in Division of Corporation Finance, to Retire After More Than 20 Years at CommissionThe Securities and Exchange Commission (Commission) today announced that Paula Dubberly, Deputy Director of the Division of Corporation Finance, is retiring from the agency later this month after more than 20 years of service. Ms. Dubberly arrived at the SEC in 1992 and worked on a wide variety of rulemakings shaping public companies&' disclosure requirements to investors. She ascended through various leadership positions in the division as she was named Assistant Director in 1995, became Chief Counsel in 2000, and was named Associate Director in 2003. Ms. Dubberly was promoted to Deputy Director in July 2010. Ms. Dubberly received the SEC&'s Distinguished Service Award in 2010. The award is the highest honor that the agency bestows on an individual. "Paula is a true professional and always has served as a pillar of excellence and dedication for the Division of Corporation Finance," said Mary Jo White, Chair of the SEC. "She has a deep appreciation for the vital role that our securities laws play in the lives of investors everywhere." Keith Higgins, Director of the SEC&'s Division of Corporation Finance, added, "Paula has been a thought leader in the division and the agency for a long time. She has been an extremely dedicated public servant, and investors and the capital markets have greatly benefited from her many talents and tireless efforts." Ms. Dubberly said, "I have loved serving at the SEC. One of my greatest experiences here has been having the pleasure of working with the dedicated and smart staff in the division and throughout the agency." Ms. Dubberly spearheaded the Division of Corporation Finance&'s efforts to address issues stemming from the financial crisis, and she also played an integral role in the agency&'s rulemakings to extensively revise executive compensation disclosure rules for the benefit of investors. Ms. Dubberly helped develop the first comprehensive set of disclosure and registration rules for the asset-backed securities market. She has managed many of the division&'s rulemaking tasks to implement Dodd-Frank Act requirements, including conflict minerals, say-on-pay, and credit risk retention. She also has managed a number of JOBS Act related initiatives within the Division of Corporation Finance. Earlier in her career following a flurry of financial reporting scandals by public companies in 2002, Ms. Dubberly helped lead the effort to require certification of past SEC filings by CEOs and CFOs of the largest 1,000 U.S. issuers. She was an integral member of the implementation team for internal control requirements under Section 404 of the Sarbanes-Oxley Act. Ms. Dubberly also oversaw the review of filings by entities ranging from small limited partnerships to large investment banks, leading Internet companies, REITs, and asset-backed issuers. Before joining the SEC staff, Ms. Dubberly was an associate with Jones Day. She received her J.D. from Washington College of Law at American University, where she was Articles Editor of the law review. She received her B.A. from George Washington University. (Press Rel. 2013-172) Commission Suspends Trading in the Securities of Two 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 September 4, 2013 and terminating at 11:59 p.m. EDT on September 17, 2013. • China Lithium Technologies, Inc. (CLTT) The Commission temporarily suspended trading in the securities of these two 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. 34-70307) Commission Suspends Trading in the Securities of K's Media for Failure to Make Required Periodic FilingsThe Commission announced the temporary suspension of trading in the securities of K's Media (KVME), commencing at 9:30 a.m. EDT on September 4, 2013 and terminating at 11:59 p.m. EDT on September 17, 2013. The Commission temporarily suspended trading in the securities of KVME due to a lack of current and accurate information about the company because it has 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 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. 34-70309) ENFORCEMENT PROCEEDINGSCommission Orders Hearing on Registration Suspension or Revocation against Five Public Companies for Failure to Make Required Periodic FilingsToday, the 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 five companies for failure to make required periodic filings with the Commission: • Crescent Moon, Inc. In this Order, the Division of Enforcement (Division) alleges that the five 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/or 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. 34-70304) Commission Orders Hearings on Registration Suspension or Revocation against Two 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 two companies for failure to make required periodic filings with the Commission: • China Lithium Technologies, Inc. (CLTT) In this Order, the Division of Enforcement (Division) alleges that the two 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. In the Matter of China Lithium Technologies, Inc., et al., Administrative Proceeding File No. 3-15450. (Rel. 34-70308) Commission Orders Hearings on Registration Suspension or Revocation against K's Media 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 K's Media (KVME) for failure to make required periodic filings with the Commission: In this Order, the Division of Enforcement (Division) alleges that KVME 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 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 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. In the Matter of K's Media, Administrative Proceeding File No. 3-15451. (Rel. 34-70310) In the Matter of Xvariant, Inc.An Administrative Law Judge issued an Order Making Findings and Revoking Registration by Default (Default Order) as to Xvariant, Inc. (n/k/a China Bionanometer Industries Corp.), in Admin. Proc. File No. 3-15280. The Default Order finds that the public company, a revoked Nevada corporation located in Xian, Shaanxi, People&'s Republic of China, has securities registered with the Securities and Exchange Commission (Commission) pursuant to Section 12(g) of the Securities Exchange Act of 1934 and it was necessary and appropriate for the protection of investors to revoke the registration of each class of its registered securities because it failed to file required periodic reports with the Commission. (Rel. 34-70306) Ricardo Bonilla Rojas Barred from the Securities IndustryRicardo Bonilla Rojas, of Arecibo, Puerto Rico, has been barred from the securities industry. The sanction was ordered in an administrative proceeding before an administrative law judge, following an April 2013 injunction against violations of the antifraud and registration provisions of the federal securities laws. From at least 2005 to 2009, Bonilla Rojas engaged in a Ponzi scheme, misappropriated investor funds, sent out false account statements, and otherwise engaged in a variety of conduct that operated as a fraud and deceit on investors. (Rel. 34-70319) Investment company ordersWells Fargo Bank, N.A., et al.The Commission has issued a permanent order to Wells Fargo Bank, N.A. (Wells Fargo Bank), et al., under Section 9(c) of the Investment Company Act of 1940 (Act) with respect to an injunction effective July 15, 2013, entered against Wells Fargo Bank by the United States District Court for the Northern District of California. The permanent order exempts applicants and any other company of which Wells Fargo Bank is or may become an affiliated person from the provisions of Section 9(a) of the Act. (Rel. IC-30685 - September 4, 2013) Exemptive OrdersOrder Granting a Limited ExemptionAn order was issued granting a limited exemption from Section 11(d)(1) of the Securities Exchange Act of 1934 and Rule 11d1-2 thereunder to market makers participating in NYSE Arca, Inc.&'s Lead Market Maker Incentive Program. Publication is expected in the Federal Register during the week of September 2nd. (Rel. 34-70303) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by NASDAQ OMX BX, Inc. to amend Rule 1120 and adopt a corresponding fee (SR-BX-2013-049) 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 September 2nd. (Rel. 34-70311) A proposed rule change filed by The NASDAQ Stock Market LLC to amend Rule 1120 and to adopt a corresponding fee (SR-NASDAQ-2013-108) 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 September 2nd. (Rel. 34-70316) A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Fees Schedule (SR-CBOE-2013-083) 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 September 2nd. (Rel. 34-70315) A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Fees Schedule (SR-CBOE-2013-084) 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 September 2nd. (Rel. 34-70314) A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Fees Schedule (SR-CBOE-2013-085) 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 September 2nd. (Rel. 34-70313) A proposed rule change filed by The NASDAQ Stock Market LLC to adopt a time-limited waiver of the monthly subscription fee for new and existing subscribers to the Equity Trade Journal for Clearing Firms service under Rule 7060 (SR-NASDAQ-2013-11) 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 September 2nd. (Rel. 34-70320) Notice of Proposed Rule ChangeA proposed rule change (SR-NYSEArca-2013-42) has been filed by NYSE Arca, Inc. to amend Rule 6.72 to make permanent the Penny Trading Program for options under Section 19(b)(2) of the Securities Exchange Act of 1934. Publication of the proposal is expected to be made in the Federal Register during the week of September 2nd. (Rel. 34-70317). FINRA has filed a proposed rule change (File No. SR-FINRA-2013-037) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder that would amend FINRA Rule 5131 to provide a limited exception to allow members to rely on written representations from certain accounts to comply with Rule 5131(b). Publication is expected to be made in the Federal Register during the week of September 2nd. (Rel. 34-70312) 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.
F-3ASR DryShips Inc., 74-76 V. IPEIROU STREET, MAROUSI, ATHENS, J3, 151 25,
011-30-210-809-0570 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-190951 - Sep. 3) (BR. 05B)
S-8 CHINA SHOUGUAN MINING Corp, 6009 YITIAN ROAD,
NEW WORLD CENTER RM. 3207, SHENZHEN, F4, 6009, 0086-755-82520008 -
20,000,000 ($6,000,000.00) Equity, (File 333-190953 - Sep. 3) (BR. 09B)
S-3ASR VERIZON COMMUNICATIONS INC, 140 WEST STREET, 29TH FLOOR, NEW YORK, NY,
10007, 212-395-1000 - 0 ($0.00) Other, (File 333-190954 - Sep. 3)
(BR. 11C)
S-3ASR STARBUCKS CORP, P O BOX 34067, SEATTLE, WA, 98124-1067, 2064471575 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-190955 - Sep. 3)
(BR. 05C)
S-4 MAGNUM HUNTER RESOURCES CORP, 777 POST OAK BLVD, SUITE 650, HOUSTON,
TX, 77056, 832-369-6986 - 600,000,000 ($600,000,000.00) Debt,
(File 333-190956 - Sep. 3) (BR. 04A)
S-8 EASTMAN KODAK CO, 343 STATE ST, ROCHESTER, NY, 14650-0910, 7167244000 -
0 ($57,222,211.00) Equity, (File 333-190957 - Sep. 3) (BR. 10A)
S-3 RBS Acceptance Inc., C/O NORWEST BANK MINNESOTA NA,
11000 BROKEN LAND PARKWAY, COLUMBIA, MD, 21044, 2036222700 -
0 ($1,000,000.00) Other, (File 333-190962 - Sep. 3) (BR. OSF)
S-8 STRATASYS LTD., 7665 COMMERCE WAY, EDEN PRAIRIE, MN, 55344,
972-8-931-4314 - 4,000,000 ($426,581,360.48) Equity, (File 333-190963 -
Sep. 3) (BR. 03A)
F-3ASR STRATASYS LTD., 7665 COMMERCE WAY, EDEN PRAIRIE, MN, 55344,
972-8-931-4314 - 0 ($0.00) Debt, (File 333-190965 - Sep. 3) (BR. 03A)
S-1 MOTORCAR PARTS AMERICA INC, 2929 CALIFORNIA STREET, TORRANCE, CA,
90503, 3109724015 - 516,129 ($4,789,677.12) Equity, (File 333-190966 -
Sep. 3) (BR. 05B)
S-3ASR LINKEDIN CORP, 2029 STIERLIN COURT, MOUNTAIN VIEW, CA, 94043,
650-687-3600 - 0 ($0.00) Equity, (File 333-190967 - Sep. 3) (BR. 03C)
S-4 REX ENERGY CORP, 366 WALKER DRIVE, STATE COLLEGE, PA, 16801,
814-278-7267 - 0 ($350,000,000.00) Debt, (File 333-190968 - Sep. 3)
(BR. 04A)
S-3 INTERNATIONAL SHIPHOLDING CORP, 11 NORTH WATER STREET, SUITE # 18290,
MOBILE, AL, 36602, 2512439100 -
0 ($56,625,000.00) Unallocated (Universal) Shelf, (File 333-190969 -
Sep. 3) (BR. 05B)
S-8 ARROWHEAD RESEARCH CORP, 225 SOUTH LAKE AVENUE, SUITE 1050, PASADENA,
CA, 91101, 626-304-3400 - 0 ($4,260,000.00) Equity, (File 333-190970 -
Sep. 3) (BR. 01B)
S-4 WILSHIRE BANCORP INC, 3200 WILSHIRE BLVD, LOS ANGELES, CA, 90010,
2134276580 - 0 ($58,741,500.00) Equity, (File 333-190971 - Sep. 3)
(BR. 07B)
S-3 KALOBIOS PHARMACEUTICALS INC, 260 EAST GRAND AVE, SOUTH SAN FRANCISCO,
CA, 94080, 650.243.3100 - 0 ($100,000,000.00) Equity,
(File 333-190972 - Sep. 3) (BR. 01B)
Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
1st Financial Services CORP NC 1.01,9.01 09/03/13
99 CENTS ONLY STORES CA 5.02 09/03/13
ACCURAY INC DE 5.02,7.01,9.01 09/02/13
ACORN ENERGY, INC. DE 1.01 08/29/13
Activision Blizzard, Inc. DE 8.01,9.01 09/03/13
AGL RESOURCES INC GA 7.01 08/30/13
AIR T INC DE 5.07 08/30/13
AlphaPoint Technology, Inc. DE 7.01,9.01 08/30/13
ALTRIA GROUP, INC. VA 7.01,9.01 09/03/13
AMAZONICA, CORP. NV 5.01,5.02,9.01 08/30/13
AMERCO /NV/ NV 5.07 08/29/13
American Realty Capital Properties, I MD 8.01,9.01 09/03/13
AMERISAFE INC TX 5.02 09/03/13
Amincor, Inc. NV 5.02 09/03/13
AMSURG CORP TN 7.01,9.01 09/03/13
Antero Resources LLC DE 1.01,2.03, 08/28/13
5.02,7.01,9.01
APPLIED MICRO CIRCUITS CORP DE 5.07 08/27/13
ARQULE INC DE 8.01 09/03/13
AtriCure, Inc. DE 5.02,9.01 09/03/13
ATWOOD OCEANICS INC TX 7.01,9.01 08/28/13
AVNET INC NY 5.02,9.01 09/01/13
BakerCorp International, Inc. DE 5.02,9.01 09/03/13
BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 09/03/13
BANK OF AMERICA CORP /DE/ DE 8.01,9.01 09/03/13
BELDEN INC. DE 5.02 08/28/13
BIOHEART, INC. FL 5.02 08/28/13
BIOSPECIFICS TECHNOLOGIES CORP DE 7.01,9.01 09/03/13
BLACK HAWK EXPLORATION 8.01 08/31/13
Blue Water Petroleum Corp. 7.01,9.01 09/03/13
BMB MUNAI INC NV 5.02 08/29/13
Boreal Water Collection Inc. NV 1.01,2.03,9.01 08/27/13
BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 7.01,9.01 09/03/13
CAL MAINE FOODS INC DE 5.02,9.01 09/03/13
CARROLLTON BANCORP MD 5.07 08/28/13
CEL SCI CORP CO 8.01 08/30/13
Celanese Corp DE 1.01,2.03,9.01 08/28/13
Cellular Biomedicine Group, Inc. DE 4.01 08/29/13
CHAMPION INDUSTRIES INC WV 5.02 09/03/13
CHARLES & COLVARD LTD NC 5.02 08/30/13
CHEMUNG FINANCIAL CORP NY 5.02 09/03/13
CHIMERA INVESTMENT CORP DE 3.01,9.01 08/30/13
China Internet Cafe Holdings Group, I NV 4.01,9.01 08/28/13
CHINA SHIANYUN GROUP CORP., LTD. 5.03 09/03/13 AMEND
CHS INC MN 5.02,9.01 09/03/13
CNS RESPONSE, INC. DE 1.01,3.02 08/27/13
CODEXIS INC 3.03 09/02/13
CombiMatrix Corp DE 8.01 08/20/13
CombiMatrix Corp DE 9.01 09/03/13
COMMERCE BANCSHARES INC /MO/ MO 8.01,9.01 09/03/13
CONSOLIDATED TOMOKA LAND CO FL 7.01,9.01 09/03/13
Constant Contact, Inc. DE 8.01 07/30/13
Cord Blood America, Inc. FL 8.01,9.01 08/30/13
COVENANT TRANSPORTATION GROUP INC NV 5.02 08/29/13
CUBIST PHARMACEUTICALS INC DE 8.01,9.01 09/03/13
Customers Bancorp, Inc. PA 7.01,9.01 09/03/13
Daybreak Oil & Gas, Inc. WA 1.01,2.01, 09/03/13
2.03,3.02,9.01
DEERE & CO DE 7.01 09/03/13
DEMAND MEDIA INC. DE 1.01,1.02, 08/29/13
2.03,8.01,9.01
DEMAND MEDIA INC. DE 9.01 06/20/13 AMEND
Diligent Board Member Services, Inc. DE 8.01,9.01 08/29/13
Dolan Co. DE 1.02 08/30/13
DOUBLE EAGLE PETROLEUM CO MD 7.01,8.01,9.01 09/03/13
DUPONT E I DE NEMOURS & CO DE 5.02,9.01 08/27/13
DYNARESOURCE INC DE 5.07 09/03/13
E DIGITAL CORP DE 5.07 08/29/13
Eagle Ford Oil & Gas Corp NV 8.01,9.01 09/03/13
EAGLE MATERIALS INC DE 7.01,9.01 09/03/13
EASTMAN KODAK CO NJ 3.03,9.01 09/03/13
ENANTA PHARMACEUTICALS INC DE 1.01 08/29/13
Energy Transfer Partners, L.P. DE 2.01,7.01,9.01 09/01/13
ENGLOBAL CORP NV 2.01,9.01 08/30/13
Ensco plc 7.01,9.01 09/03/13
Esperion Therapeutics, Inc. DE 8.01,9.01 09/03/13
ExOne Co DE 7.01,9.01 09/03/13
Federal Home Loan Bank of Atlanta X1 2.03 08/29/13
Federal Home Loan Bank of Boston X1 2.03 08/28/13
Federal Home Loan Bank of Dallas 2.03,9.01 08/28/13
Federal Home Loan Bank of New York X1 8.01,9.01 09/03/13
Federal Home Loan Bank of New York X1 2.03,9.01 08/28/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/28/13
Federal Home Loan Bank of Pittsburgh PA 5.02 08/29/13
Federal Home Loan Bank of San Francis X1 2.03 08/28/13
FIRST COMMUNITY BANCSHARES INC /NV/ NV 5.02 08/27/13
FIRST COMMUNITY BANCSHARES INC /NV/ NV 5.02,9.01 08/12/13 AMEND
FIRST M&F CORP/MS MS 3.01,3.03,5.01,9.01 09/01/13
FIRST TRUST/ABERDEEN EMERGING OPPORTU 7.01,9.01 09/03/13
FIRST TRUST/ABERDEEN GLOBAL OPPORTUNI 7.01,9.01 09/03/13
FLOWERS FOODS INC GA 7.01,9.01 09/03/13
FS Energy & Power Fund DE 8.01,9.01 09/03/13
FS Energy & Power Fund DE 8.01 09/03/13
FS Investment Corp II MD 8.01 09/03/13
FURMANITE CORP DE 1.01,2.01,2.03,9.01 08/27/13
FX ENERGY INC NV 7.01,9.01 09/03/13
Gaming Partners International CORP NV 5.02,7.01,9.01 09/03/13
GASTAR EXPLORATION LTD 1.01,7.01,9.01 08/29/13
GENERAL EMPLOYMENT ENTERPRISES INC IL 3.01,9.01 08/27/13
GENERAL MILLS INC DE 2.02,9.01 09/03/13
GENWORTH FINANCIAL INC DE 2.01 08/30/13
GLOBAL AXCESS CORP NV 1.01,7.01,9.01 08/28/13
Global Biotech Corp. 1.01,5.02 09/03/13
Government Properties Income Trust MD 8.01,9.01 08/27/13
GROWLIFE, INC. DE 1.01,2.03,3.02,9.01 08/27/13
Guidewire Software, Inc. DE 2.02 09/03/13
GULFPORT ENERGY CORP DE 9.01 09/03/13 AMEND
H&R BLOCK INC MO 2.02,9.01 09/03/13
HALLIBURTON CO DE 8.01 08/28/13
Health Insurance Innovations, Inc. DE 8.01 08/15/13
Heron Lake BioEnergy, LLC MN 1.01,9.01 08/27/13
Hillshire Brands Co MD 7.01,9.01 09/03/13
Hines Global REIT, Inc. MD 7.01,8.01,9.01 08/29/13
HINES REAL ESTATE INVESTMENT TRUST IN 8.01 09/03/13
HITTITE MICROWAVE CORP 5.02 08/27/13
HOSPITALITY PROPERTIES TRUST MD 8.01,9.01 08/27/13
HUMANA INC DE 7.01 09/03/13
IDENTIVE GROUP, INC. DE 5.02,8.01,9.01 09/01/13
INDEPENDENT BANK CORP /MI/ MI 8.01,9.01 09/03/13
Inland American Real Estate Trust, In MD 7.01,9.01 09/03/13
Inland Diversified Real Estate Trust, MD 7.01,9.01 09/03/13
INNOVATIVE FOOD HOLDINGS INC FL 1.01,9.01 08/29/13
Insys Therapeutics, Inc. DE 1.01,2.03,9.01 08/28/13
INTEGRATED DEVICE TECHNOLOGY INC DE 5.02 08/26/13
INTERGROUP CORP DE 5.02 09/01/13
INTERNATIONAL SHIPHOLDING CORP DE 8.01,9.01 09/03/13
INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01 09/03/13
IO World Media, Inc FL 3.02,5.02,8.01,9.01 08/27/13
IPC The Hospitalist Company, Inc. DE 2.01,9.01 09/01/13
ITC Holdings Corp. MI 8.01 08/29/13
ITEX CORP NV 8.01 08/30/13
JARDEN CORP DE 8.01,9.01 09/03/13
Jones Lang LaSalle Income Property Tr MD 8.01,9.01 09/03/13
KBS Strategic Opportunity REIT, Inc. MD 8.01 08/30/13
Kentucky First Federal Bancorp 2.02,9.01 09/03/13
KEWAUNEE SCIENTIFIC CORP /DE/ DE 5.07 08/28/13
KINDRED HEALTHCARE, INC DE 8.01,9.01 09/03/13
Kraft Foods Group, Inc. 5.02,9.01 09/03/13
L & L ENERGY, INC. NV 1.01,3.02,9.01 09/03/13 AMEND
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 09/03/13
LACLEDE GAS CO MO 1.01,1.02,2.01, 08/30/13
2.03,3.02,7.01,9.01
Laredo Petroleum Holdings, Inc. DE 7.01,9.01 09/03/13
Lehigh Gas Partners LP DE 8.01 08/30/13
LIBERATOR MEDICAL HOLDINGS, INC. NV 9.01 08/30/13
Lipocine Inc. DE 1.01 08/27/13
LORILLARD, INC. DE 7.01,9.01 09/03/13
Main Street Capital CORP MD 1.01,2.03,8.01,9.01 08/29/13
MARTIN MIDSTREAM PARTNERS LP DE 5.02,5.03,7.01,9.01 08/30/13
MATRIX SERVICE CO DE 2.02,9.01 09/03/13
MB FINANCIAL INC /MD 7.01 09/03/13
Measurement Specialties Inc NJ 1.01,2.01,9.01 08/30/13
MIAMI DAYS CORP. NV 1.01,9.01 08/30/13
MICROSOFT CORP WA 8.01,9.01 09/02/13
MIDDLEBURG FINANCIAL CORP VA 5.02 09/03/13
Mondelez International, Inc. VA 7.01,9.01 09/03/13
Montalvo Spirits, Inc. NV 1.01,3.02,9.01 08/29/13
Morgans Hotel Group Co. DE 5.02,9.01 08/30/13
MYR GROUP INC. DE 8.01,9.01 09/03/13
NATIONAL HEALTH INVESTORS INC MD 1.01,2.01,9.01 09/03/13
NATIONAL HEALTHCARE CORP DE 1.01,2.01,9.01 08/29/13
Neonode, Inc DE 8.01 09/03/13
NEW MEDIA INSIGHT GROUP, INC. NV 1.01,9.01 09/01/13
NEWMONT MINING CORP /DE/ DE 5.02,9.01 09/03/13
NII HOLDINGS INC DE 5.02 08/27/13
NORDSON CORP OH 2.01,9.01 08/30/13
Northfield Bancorp, Inc. DE 8.01 09/03/13
NorthStar Real Estate Income Trust, I MD 8.01 08/27/13
NORTHWEST INDIANA BANCORP IN 8.01,9.01 08/30/13 AMEND
NV ENERGY, INC. NV 5.02,9.01 08/30/13
OPTICAL CABLE CORP VA 1.01,1.02,9.01 08/30/13
Petro River Oil Corp. DE 1.01 09/03/13
Physicians Realty Trust MD 2.01,9.01 08/30/13
Pike Electric CORP 2.02,9.01 09/03/13
PMC COMMERCIAL TRUST /TX TX 1.01,2.03 08/30/13
PORTSMOUTH SQUARE INC CA 5.02 09/01/13
Post Holdings, Inc. MO 8.01,9.01 09/01/13
POWER SOLUTIONS INTERNATIONAL, INC. DE 5.07 08/28/13
PRIMUS TELECOMMUNICATIONS GROUP INC DE 5.02,9.01 08/30/13
PROGUARD ACQUISITION CORP FL 7.01,9.01 09/03/13
Protalix BioTherapeutics, Inc. FL 5.02 09/03/13
PTC INC. MA 2.05 09/03/13
ReachLocal Inc 3.01,5.02,9.01 08/30/13
Regado Biosciences Inc DE 5.03,9.01 08/27/13
REPUBLIC BANCORP INC /KY/ KY 7.01 09/03/13
REX ENERGY CORP DE 8.01,9.01 09/03/13
REX ENERGY CORP DE 8.01,9.01 09/03/13
REX ENERGY CORP DE 8.01,9.01 09/03/13
Rexford Industrial Realty, Inc. MD 2.02,7.01,9.01 09/03/13
RICH STAR DEVELOPMENT, CORP NV 5.02 08/28/13
RLJ Lodging Trust MD 1.01,2.03,9.01 08/27/13
ROCKFORD MINERALS INC /FI 1.01,2.01,3.02, 06/28/13 AMEND
4.01,5.01,5.02,5.03,5.06,9.01
ROYAL GOLD INC DE 5.02,5.03,9.01 08/27/13
ROYAL HAWAIIAN ORCHARDS, L.P. DE 1.01,2.03,9.01 08/27/13
SAN DIEGO GAS & ELECTRIC CO CA 8.01 09/03/13
Select Income REIT MD 8.01,9.01 08/27/13
Sentio Healthcare Properties Inc MD 1.01 08/28/13
SEVERN BANCORP INC MD 4.01,9.01 09/03/13
Shengkai Innovations, Inc. FL 5.02 08/28/13
Shire plc 8.01,9.01 09/02/13
Sierra Income Corp MD 1.01,2.03,9.01 08/27/13
SOFTECH INC MA 8.01,9.01 09/03/13
SOURCEFIRE INC DE 5.02 08/27/13
SOUTHERN UNION CO DE 2.01,7.01,9.01 09/01/13
SPARTAN STORES INC MI 8.01,9.01 08/29/13
SPARTON CORP OH 2.02,7.01,9.01 09/03/13
SPHERIX INC DE 8.01,9.01 09/01/13
Spirit Realty Capital, Inc. MD 9.01 07/17/13 AMEND
Stereotaxis, Inc. DE 1.01,2.03,7.01, 08/30/13
8.01,9.01
STILLWATER MINING CO /DE/ DE 7.01,9.01 09/03/13
STURM RUGER & CO INC DE 8.01,9.01 09/03/13
SYNCHRONOSS TECHNOLOGIES INC 1.01 09/03/13
SYNERGY RESOURCES CORP CO 1.01 08/27/13
TAYLOR CALVIN B BANKSHARES INC MD 5.02 08/29/13
Technologies Scan Corp A8 5.02,9.01 08/29/13
Technologies Scan Corp A8 5.02,9.01 08/29/13 AMEND
TIPTREE FINANCIAL INC. MD 8.01 09/03/13
TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 09/02/13
UCP, Inc. 2.02,9.01 09/03/13
UNIVERSAL BIOSENSORS INC DE 5.02 08/27/13
UNWIRED PLANET, INC. DE 8.01 08/30/13
VENTAS INC DE 8.01,9.01 09/03/13
VERIZON COMMUNICATIONS INC DE 1.01,7.01,8.01,9.01 09/02/13
VERSAR INC DE 2.01,2.02,7.01,9.01 09/03/13
VERTICAL HEALTH SOLUTIONS INC FL 5.02,9.01 08/28/13
VIROPHARMA INC DE 8.01 08/29/13
VirtualScopics, Inc. DE 5.02 08/28/13
WELLESLEY CAPITAL MANAGEMENT CORP. FL 4.01,9.01 08/29/13
WERNER ENTERPRISES INC NE 7.01 09/03/13
World Monitor Trust III - Series J DE 8.01,9.01 09/01/13
Yankee Holding Corp. DE 1.01,7.01,8.01,9.01 09/03/13
YCC Holdings LLC DE 1.01,7.01,8.01,9.01 09/03/13
Zalicus Inc. DE 8.01,9.01 09/03/13
http://www.sec.gov/news/digest/2013/dig090413.htm
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