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Commission AnnouncementsCommission Announces Agenda for September 17th Meeting of Advisory Committee on Small and Emerging CompaniesThe Securities and Exchange Commission (Commission) today announced the agenda for a meeting of its Advisory Committee on Small and Emerging Companies on Tuesday, September 17th. The discussion is expected to include the final rules adopted by the Commission in July to eliminate the general solicitation ban and disqualify bad actors from certain securities offerings and its proposal for further amendments to Regulation D. The Advisory Committee also is expected to discuss the impact of the Jumpstart Our Business Startups (JOBS) Act and steps to facilitate capital formation by smaller public companies and emerging privately held companies. The meeting will begin at 9:30 a.m. in the multi-purpose room at the SEC’s headquarters in Washington, D.C. The public is welcome to attend with seating available on a first-come, first-served basis. The meeting will be webcast live on the SEC website and will be archived for later viewing. Members of the public who wish to provide their views on the matters to be considered by the Advisory Committee may submit comments electronically or on paper. Please submit comments using one method only. Information that is submitted will become part of the public record of the meeting. Electronic submissions: Use the SEC’s Internet submission form or send an e-mail to rule-comments@sec.gov. Paper submissions: Send paper submissions in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street, N.E., Washington, D.C. 20549-1090. All submissions should refer to File Number 265-27, and the file number should be included on the subject line if e-mail is used. (Press Rel. 2013-176) Commission Suspends Trading in the Securities of Ten 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 10, 2013 and terminating at 11:59 p.m. EDT on September 23, 2013.
The Commission temporarily suspended trading in the securities of these ten 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. 34-70350) 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 September 10, 2013 and terminating at 11:59 p.m. EDT on September 23, 2013.
The Commission temporarily suspended trading in the securities of these seven 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. 34-70352) 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 September 10, 2013 and terminating at 11:59 p.m. EDT on September 23, 2013.
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. 34-70354) Commission MeetingsOpen Meeting on Tuesday, September 17, 2013 at 3:00 p.m. The Securities and Exchange Commission will hold an Open Meeting on September 17, 2013, at 3:00 p.m., in Room 10800 at the Commission's headquarters building, to hear oral argument in an appeal by Montford and Company, Inc., d/b/a Montford Associates, and Earnest V. Montford from an initial decision of an administrative law judge. 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 Defendant Indicted in $30 Million Ponzi Scheme and Affinity Fraud Targeting Haitian-American InvestorsOn July 2, 2013, the United States Attorney’s Office for the Southern District of Florida filed criminal charges against George Louis Theodule, a defendant in a now settled SEC action. The 40-count indictment charges Theodule with securities fraud, wire fraud, and money laundering. According to the indictment, Theodule, among other things, falsely presented himself as a financial expert who would double investors’ funds within three months by placing trades through their investment accounts. The indictment also alleges that Theodule operated a Ponzi scheme that raised more than $30 million from thousands of investors. Theodule allegedly perpetrated the fraud through Creative Capital Consortium, LLC and Creative Capital Concept$, LLC (the “Creative Capital entities”), among other entities he controlled. In December 2008, the Commission halted Theodule’s on-going fraud at Creative Capital when it filed an emergency civil enforcement action against him and his companies. The SEC’s complaint alleged that the defendants had raised more than $23 million from thousands of mostly Haitian-American investors through a fraudulent, unregistered offering of securities nationwide, and operated a Ponzi scheme, having lost at least $18 million trading stocks and options through a network of purported investment clubs. The SEC obtained a restraining order to halt the fraudulent activity, and thereafter a receiver was appointed by the United States District Court for the Southern District of Florida to identify and trace assets. In October 2009, the Court entered a Judgment of Permanent Injunction and Other Relief against Theodule. The Judgment entered by consent, enjoined Theodule from violations of Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934, and also ordered Theodule to pay disgorgement with prejudgment interest and a civil penalty. In March 2010, the Court entered a Final Judgment ordering him to pay disgorgement in the amount of $5,099,512, prejudgment interest of $202,638 and imposed a civil penalty of $250,000. The SEC's investigation was conducted by Linda S. Schmidt and Kathleen Strandell of the Miami Regional Office. The litigation was led by Amie Riggle Berlin and Robert K. Levenson. The SEC acknowledges the work of the United States Attorney’s Office for the Southern District of Florida, the Federal Bureau of Investigation, Miami Field Office, and the State of Florida’s Office of Financial Regulation this matter. [SEC v. Creative Capital Consortium, LLC, et. al., Civil Action No. 08-81565-CIV-HURLEY] (LR-22795) Commission Orders Hearings on Registration Suspension or Revocation against Ten Companies for Failure to Make Required Periodic FilingsIn conjunction with these trading suspensions, the Commission today also instituted a public administrative proceeding to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of ten companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the 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. In the Matter of Exmocare, Inc. (n/k/a Second Solar, Inc.), et al., Administrative Proceeding File No. 3-15455. (Rel. 34-70351) Commission Orders Hearings on Registration Suspension or Revocation against Seven Companies for Failure to Make Required Periodic FilingsIn conjunction with these trading suspensions, the Commission today also instituted a public administrative proceeding 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 this Order, the Division of Enforcement (Division) alleges that the 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. In the Matter of HydroGen Corp., et al., Administrative Proceeding File No. 3-15464. (Rel. 34-70353) 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 a public administrative proceeding 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 this Order, the Division of Enforcement (Division) alleges that the 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. In the Matter of Big Bear Mining Corp., et al., Administrative Proceeding File No. 3-15465. (Rel. 34-70355) Commission Orders Hearing on Registration Suspension or Revocation against Three 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 three companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the three 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. 34-70365) In the Matter of Laura A. RoserThe Commission announced the issuance of an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (“Order”) against Laura A. Roser (“Roser”). The Order finds that on March 6, 2013 a Judgment of Permanent Injunction and Other Relief was entered against Roser, permanently enjoining her from future violations of Sections 17(a), 5(a) and (c) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Art Intellect, Inc., Civil Action Number 2:11-cv-00357, in the United States District Court for the District of Utah. Based on the above, the Order bars Roser from being associated with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and bars him from participating in any offering of a penny stock, including acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. (Rel. 34-70359) Fraud Charges against Texas Auditors DismissedFraud charges brought against S.W. Hatfield, CPA (SWH), and its owner, Scott W. Hatfield, CPA (Hatfield) (collectively, Respondents), of Dallas, Texas, have been dismissed. The charges concerned Respondents’ audit reports that were included in public corporations’ filings with the Securities and Exchange Commission during a period when SWH’s state license had expired and had not yet been renewed. The action was ordered in an administrative proceeding before an administrative law judge. Previously, on unrelated grounds, SWH’s registration with the Public Company Accounting Oversight Board was revoked and Hatfield was permanently barred from association with a registered public accounting firm. (ID-504) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by Miami International Securities Exchange LLC to amend the Options Fee Schedule (SR-MIAX-2013-41) 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 9th. (Rel. 34-70346) A proposed rule change filed by Miami International Securities Exchange LLC to amend Exchange Rule 1014 (SR-MIAX-2013-42) 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 9th. (Rel. 34-70357) A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2013-114) to the Qualified Market Maker Program under Rule 7014, the Fees Assessed under Rule 7015(g), and the Schedule of Fees and Rebates under Rule 7018(a) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week of September 9th. (Rel. 34-70361). A proposed rule change filed by BATS Exchange, Inc. related to fees for use of BATS Exchange, Inc. (SR-BATS-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 9th. (Rel. 34-70360) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2013-26) relating to amendments to the EDGA Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week September 9th. (Rel. 34-70364). A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-33) relating to amendments to the EDGX Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week of September 9th. (Rel. 34-70363) Notice of Proposed Rule ChangeThe Commission issued notice of a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2013-86) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade shares of Franklin Short Duration U.S. Government ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of September 9th. (Rel. 34-70356) Designation of Longer Period for Commission Action on a Proposed Rule ChangeThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-FINRA-2013-031) filed by Financial Industry Regulatory Authority, Inc. relating to participation on the Alternative Display Facility. Publication is expected in the Federal Register during the week of September 9th. (Rel. 34-70358) The Commission has designated a longer period for Commission action, pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, on a proposed rule change (SR-ISE-2013-42) filed by the International Securities Exchange, LLC to list options on the Nations VolDex Index. Publication is expected in the Federal Register during the week of September 9th. (Rel. 34-70362) Notice of Filing of an Advance NoticeThe Options Clearing Corporation (OCC) filed an advance notice (SR-OCC-2013-805) pursuant to Section 806(e)(1) of the Payment, Clearing, and Settlement Supervision Act of 2010 and Rule 19b-4(n)(1)(i) of Securities Exchange Act of 1934 in connection with a proposed change to give OCC discretion not to grant a particular clearing member margin credit for an otherwise eligible security. The Commission will consider all public comments received on the proposal regardless whether comments are submitted in response to this advance notice (File No. SR-OCC-2013-805) or the associated proposed rule change (File No. SR-OCC-2013-14). Publication is expected in the Federal Register during the week of September 9th. (Rel. 34-70366) SECURITIES ACT REGISTRATIONSThe 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-3 IDENTIVE GROUP, INC., 1900 CARNEGIE AVENUE, BUILDING B, SANTA ANA, CA,
92705, 949-250-8888 - 19,689,026 ($15,357,440.28) Equity,
(File 333-191050 - Sep. 9) (BR. 03A)
S-1 SOLARCITY CORP, 3055 CLEARVIEW WAY, SAN MATEO, CA, 94402,
650-638-1028 - 0 ($106,047,946.00) Equity, (File 333-191051 - Sep. 9)
(BR. 06C)
S-1 SUNEDISON SEMICONDUCTOR, INC., 501 PEARL DRIVE, ST. PETERS, MO, 63376,
(636) 474-5000 - 0 ($250,000,000.00) Equity, (File 333-191052 - Sep. 9)
(BR. 10B)
S-3ASR SUNEDISON, INC., 501 PEARL DRIVE (CITY OF O'FALLON), ST. PETERS, MO,
63376, 6364745000 - 0 ($0.00) Debt, (File 333-191053 - Sep. 9) (BR. 10B)
S-1 Stereotaxis, Inc., 4320 FOREST PARK AVENUE, SUITE 100, ST.LOUIS, MO,
63108, 314-678-6100 - 6,315,953 ($18,947,859.00) Equity,
(File 333-191054 - Sep. 9) (BR. 10B)
S-4 PHARMATHENE, INC, ONE PARK PLACE, SUITE 450, ANNAPOLIS, MD, 21401,
410 269 2600 - 0 ($18,010.00) Equity, (File 333-191055 - Sep. 9)
(BR. 01B)
S-3 CITIGROUP INC, 399 PARK AVENUE, NEW YORK, NY, 10022, 2125591000 -
0 ($2,420,000,000.00) Debt, (File 333-191056 - Sep. 9) (BR. 12A)
S-1 ARAMARK Holdings Corp, 1101 MARKET STREET, PHILADELPHIA, PA, 19107,
215-238-3000 - 0 ($100,000,000.00) Equity, (File 333-191057 - Sep. 9)
(BR. 05)
S-3D Griffin-American Healthcare REIT II, Inc., 18191 VON KARMAN AVENUE,
SUITE 300, IRVINE, CA, 92612, 949-270-9200 -
10,298,661 ($100,000,000.00) Equity, (File 333-191060 - Sep. 9)
(BR. 08C)
S-1 Endurance International Group Holdings, Inc., 10 CORPORATE DRIVE,
SUITE 300, BURLINGTON, MA, 01803, 781-852-3200 -
0 ($400,000,000.00) Equity, (File 333-191061 - Sep. 9) (BR. 03C)
S-3ASR IntercontinentalExchange Group, Inc., 2100 RIVEREDGE PARKWAY,
SUITE 500, ATLANTA, GA, 30328, 770-857-4700 - 0 ($0.00) Debt,
(File 333-191062 - Sep. 9) (BR. 08B)
S-1 WINHA INTERNATIONAL GROUP LTD, UNIT 503 5/F SILVERCORD TOWER 2,
30 CANTON ROAD, TSIM SHA TSUI, KOWLOON, K3, 00000, 85223769336 -
1,139,290 ($113,929.00) Equity, (File 333-191063 - Sep. 9) (BR. )
S-3ASR WESTLAKE CHEMICAL CORP, 2801 POST OAK BLVD, SUITE 600, HOUSTON, TX,
77056, 713-960-9111 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-191064 - Sep. 9) (BR. 06B)
S-4 Real Goods Solar, Inc., 833 WEST SOUTH BOULDER ROAD, LOUISVILLE, CO,
80027, 303-222-3600 - 11,000,000 ($12,710.02) Equity,
(File 333-191065 - Sep. 9) (BR. 06B)
S-1 Trunity Holdings, Inc., 15 GREEN STREET, NEWBURYPORT, MA, 01950,
978.255.1988 - 17,872,940 ($5,183,153.00) Equity, (File 333-191066 -
Sep. 9) (BR. 11C)
N-2 ClearBridge Energy MLP Total Return Fund Inc., 620 EIGHTH AVENUE,
NEW YORK, NY, 10018, 800-805-6035 - 0 ($300,000,000.00) Equity,
(File 333-191067 - Sep. 9) (BR. 18)
F-1 GeoPark Ltd, NUESTRA SENORA DE LOS ANGELES 179, LAS CONDES, SANTIAGO,
F3, 00000, 562-2242-9600 - 0 ($100,000,000.00) Equity,
(File 333-191068 - Sep. 9) (BR. 04B)
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
8X8 INC /DE/ DE 7.01,9.01 09/09/13
A5 Laboratories Inc. NV 5.07,9.01 09/05/13
ABM INDUSTRIES INC /DE/ DE 5.03,9.01 09/04/13
ABRAXAS PETROLEUM CORP NV 7.01,9.01 09/09/13
ADCARE HEALTH SYSTEMS, INC OH 7.01,8.01,9.01 09/06/13
AEP INDUSTRIES INC DE 2.02,9.01 09/09/13
AETNA INC /PA/ PA 7.01 09/09/13
Alliqua, Inc. FL 5.02,8.01,9.01 09/03/13
Alon Refining Krotz Springs, Inc. DE 8.01,9.01 09/09/13
Alon USA Energy, Inc. DE 7.01,9.01 09/09/13
Altisource Residential Corp 2.02,8.01,9.01 09/09/13
AMAG PHARMACEUTICALS INC. DE 5.02,9.01 09/06/13
Amarantus Bioscience Holdings, Inc. NV 1.01,2.03, 09/03/13
3.02,7.01,8.01,9.01
Ameresco, Inc. DE 5.02,9.01 09/09/13
AMERICAN DG ENERGY INC DE 1.01,3.02,9.01 09/06/13
AMERICAN EAGLE OUTFITTERS INC DE 2.05,2.06 09/05/13
American Realty Capital Properties, I MD 8.01,9.01 09/09/13
Amerilithium Corp. 2.01 09/03/13
AMR CORP DE 8.01,9.01 09/09/13
Apple REIT Seven, Inc. VA 8.01,9.01 09/09/13
ARMSTRONG WORLD INDUSTRIES INC PA 8.01,9.01 09/09/13
ARMSTRONG WORLD INDUSTRIES INC PA 8.01 09/09/13
ARTHROCARE CORP DE 7.01 09/05/13
ASSOCIATED MATERIALS, LLC DE 5.02 09/06/13
Baltic Trading Ltd 1T 2.01 09/06/13
BankUnited, Inc. DE 7.01,9.01 09/09/13
BECTON DICKINSON & CO NJ 5.02 09/04/13
Big Sky Productions, Inc. NV 4.01,9.01 09/09/13 AMEND
Bio-Matrix Scientific Group, Inc. DE 1.01,9.01 08/26/13
Biodel Inc DE 8.01,9.01 09/08/13
BIOZONE PHARMACEUTICALS, INC. NV 2.01 09/03/13
BOB EVANS FARMS INC DE 7.01,9.01 09/09/13
BofI Holding, Inc. DE 8.01,9.01 09/06/13
BPZ RESOURCES, INC. TX 5.02,7.01,9.01 09/03/13
BRT REALTY TRUST MA 8.01,9.01 09/09/13
CABCO TRUST FOR J.C. PENNEY DEBENTURE DE 8.01,9.01 09/03/13
CALGON CARBON CORPORATION DE 7.01,9.01 09/09/13
Capital Bank Financial Corp. DE 7.01,9.01 09/09/13
CARDINAL FINANCIAL CORP VA 7.01,8.01,9.01 09/09/13
CASEYS GENERAL STORES INC IA 2.02,9.01 09/09/13
Cellceutix CORP NV 1.01,2.01,9.01 09/04/13
Celsion CORP DE 7.01,9.01 09/09/13
CENTURY CASINOS INC /CO/ DE 4.01 09/06/13
CHAMBERS STREET PROPERTIES MD 7.01,9.01 09/09/13
CIBER INC DE 5.02,9.01 09/06/13
CME GROUP INC. DE 1.01,2.03,9.01 09/04/13
CNS RESPONSE, INC. DE 1.01,3.02 09/03/13
CODEXIS INC 4.01,9.01 09/03/13
COMMUNICATIONS SYSTEMS INC MN 5.02,9.01 09/03/13
Conatus Pharmaceuticals Inc DE 2.02,9.01 09/09/13
CONTANGO OIL & GAS CO DE 2.02,8.01,9.01 09/03/13
CORELOGIC, INC. DE 8.01 09/09/13
CORNING NATURAL GAS CORP NY 1.01,2.03,9.01 09/03/13
CORPORATE OFFICE PROPERTIES TRUST MD 8.01,9.01 09/09/13
CROSS A T CO RI 8.01,9.01 09/06/13
CROWN CASTLE INTERNATIONAL CORP DE 8.01,9.01 09/09/13
Diamondback Energy, Inc. DE 1.01,8.01,9.01 09/06/13
DIRECT LED, INC DE 4.01,9.01 08/29/13
DOT HILL SYSTEMS CORP DE 2.02,8.01,9.01 09/09/13
EARTHSTONE ENERGY INC DE 7.01,9.01 09/06/13
Education Realty Trust, Inc. MD 7.01,9.01 09/09/13
El Paso Pipeline Partners, L.P. DE 7.01 09/09/13
ELECSYS CORP KS 2.02,9.01 09/09/13
Emerald Oil, Inc. MT 7.01,9.01 09/09/13
ENBRIDGE ENERGY MANAGEMENT L L C DE 7.01,9.01 09/09/13
ENERGEN CORP AL 7.01,9.01 09/09/13
Energy Services of America CORP DE 1.01,9.01 09/06/13
EQUITY LIFESTYLE PROPERTIES INC MD 2.02,7.01,9.01 09/09/13
Erickson Air-Crane Inc. DE 5.02,7.01,9.01 09/09/13
EXP Realty International Corp DE 5.03,9.01 09/09/13
FARMERS NATIONAL BANC CORP /OH/ OH 7.01,9.01 09/09/13
FERRO CORP OH 7.01 09/05/13
FIRST POTOMAC REALTY TRUST MD 7.01 09/09/13
FIVE BELOW, INC PA 2.02,9.01 09/09/13
Florida East Coast Holdings Corp. FL 5.02,9.01 09/03/13
FLOW INTERNATIONAL CORP WA 2.02,9.01 09/09/13
Flux Power Holdings, Inc. NV 7.01,9.01 09/06/13
FRANKLIN STREET PROPERTIES CORP /MA/ 9.01 07/01/13 AMEND
FRESH MEDICAL LABORATORIES, INC. 4.01,9.01 09/01/13
FS Bancorp, Inc. 8.01 09/09/13
GENERAL CABLE CORP /DE/ DE 1.01,2.03, 09/06/13
7.01,8.01,9.01
General Finance CORP DE 2.02,9.01 09/09/13
GlobalOptions Group, Inc. 1.01,3.03,9.01 09/06/13
GRIFFIN LAND & NURSERIES INC DE 7.01,9.01 09/09/13
GT Advanced Technologies Inc. DE 5.02 09/05/13
HAPYKIDZ.COM NV 5.03,5.07,8.01,9.01 09/03/13
HD Supply Holdings, Inc. DE 2.02,9.01 09/09/13
HD SUPPLY, INC. DE 2.02,9.01 09/09/13
HEALTHSOUTH CORP DE 7.01 09/09/13
HELIOS ADVANTAGE INCOME FUND, INC. MD 8.01 09/05/13
HELIOS HIGH INCOME FUND, INC MD 8.01 09/05/13
HELIOS MULTI-SECTOR HIGH INCOME FUND, MD 8.01 09/05/13
HELIOS STRATEGIC INCOME FUND, INC MD 8.01 09/05/13
HII Technologies, Inc. 7.01,9.01 09/09/13
HOME LOAN SERVICING SOLUTIONS, LTD. E9 7.01,9.01 09/09/13
HomeStreet, Inc. WA 7.01,9.01 09/09/13
HOVNANIAN ENTERPRISES INC DE 2.02,9.01 09/09/13
HUNTINGTON INGALLS INDUSTRIES, INC. DE 8.01 09/06/13
ILLINOIS TOOL WORKS INC DE 5.02 09/09/13
IMH Financial Corp DE 9.01 05/14/13 AMEND
INERGY MIDSTREAM, L.P. DE 8.01,9.01 09/09/13
InspireMD, Inc. DE 5.02,8.01,9.01 09/03/13
Intelligent Living Inc. NV 5.02 09/06/13
INTERCONTINENTALEXCHANGE INC DE 8.01,9.01 09/09/13
INTERNATIONAL TOWER HILL MINES LTD A1 7.01,9.01 09/09/13
INVESTORS REAL ESTATE TRUST ND 2.02,7.01,9.01 09/09/13
Iridium Communications Inc. DE 7.01,9.01 09/09/13
ISIS PHARMACEUTICALS INC DE 1.01,9.01 09/09/13
IZEA, Inc. NV 8.01 09/04/13
JACOBS ENGINEERING GROUP INC /DE/ DE 1.01,7.01,9.01 09/08/13
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 09/09/13
KINDER MORGAN MANAGEMENT LLC DE 7.01 09/09/13
KINDER MORGAN, INC. DE 7.01 09/09/13
KINGSWAY FINANCIAL SERVICES INC A6 8.01 09/09/13
KYTHERA BIOPHARMACEUTICALS INC DE 8.01 09/09/13
KYTHERA BIOPHARMACEUTICALS INC DE 8.01 09/09/13
LAYNE CHRISTENSEN CO DE 1.01,5.02,9.01 09/04/13
LEFT BEHIND GAMES INC. WA 4.01,9.01 09/09/13
Limoneira CO DE 2.02,9.01 09/09/13
LINCOLN NATIONAL CORP IN 8.01 09/04/13
Lisboa Leisure, Inc. NV 1.01 09/09/13
LOGITECH INTERNATIONAL SA 5.02,5.07,8.01,9.01 09/04/13
LOJACK CORP MA 5.02 09/09/13 AMEND
LOWES COMPANIES INC NC 1.01,2.03,9.01 09/04/13
LTX-CREDENCE CORP MA 1.01,8.01,9.01 09/06/13
LyondellBasell Industries N.V. P7 8.01,9.01 09/03/13
M&T BANK CORP NY 7.01,9.01 09/09/13
MAGELLAN HEALTH SERVICES INC DE 1.01,8.01,9.01 09/06/13
MARRIOTT VACATIONS WORLDWIDE Corp DE 1.01,5.02,9.01 09/03/13
MAXIM INTEGRATED PRODUCTS INC DE 5.02 09/09/13
McEwen Mining Inc. CO 7.01,9.01 09/09/13
MERRIMACK PHARMACEUTICALS INC DE 7.01,9.01 09/09/13
MGT CAPITAL INVESTMENTS INC DE 1.01,2.01,8.01,9.01 09/03/13
MICROSTRATEGY INC DE 5.02,9.01 09/04/13
MILLER ENERGY RESOURCES, INC. TN 2.02,7.01,9.01 09/09/13
Minerco Resources, Inc. NV 8.01,9.01 09/09/13
MOD PAC CORP NY 1.01,8.01,9.01 09/03/13
MODEL N, INC. DE 7.01 09/09/13
MOLEX INC DE 1.01,9.01 09/09/13
MOLEX INC DE 8.01,9.01 09/09/13
MS STRUCTURED SATURNS SERIES 2005-3 DE 8.01,9.01 09/03/13
MTR GAMING GROUP INC DE 8.01,9.01 09/09/13
MVP REIT, Inc. MD 2.01 09/09/13
NanoString Technologies Inc DE 8.01,9.01 09/09/13
NANOVIRICIDES, INC. NV 5.03,9.01 09/03/13
National CineMedia, Inc. DE 1.01,3.02,8.01,9.01 09/03/13
NATURES SUNSHINE PRODUCTS INC UT 5.02,9.01 09/04/13
NeoStem, Inc. DE 7.01,9.01 09/09/13
NETSOL TECHNOLOGIES INC NV 2.02,9.01 09/09/13
NIC INC CO 2.06,8.01 09/06/13
Nu-Med Plus, Inc. UT 1.01,2.03,8.01,9.01 09/03/13
NuStar Energy L.P. DE 7.01,9.01 09/09/13
NuStar GP Holdings, LLC DE 7.01,9.01 09/09/13
NV ENERGY, INC. NV 8.01 09/04/13
Oak Valley Bancorp CA 8.01 09/09/13
OCEANEERING INTERNATIONAL INC DE 7.01 09/09/13
OCWEN FINANCIAL CORP FL 7.01,9.01 09/09/13
OLIN CORP VA 7.01,9.01 09/09/13
OMNI BIO PHARMACEUTICAL, INC. CO 7.01,9.01 09/09/13
PACIFIC SOFTWARE, INC. NV 5.02 09/09/13
Palo Alto Networks Inc DE 2.02,9.01 09/09/13
PATRICK INDUSTRIES INC IN 8.01,9.01 09/09/13
PATTERSON UTI ENERGY INC DE 8.01,9.01 09/06/13
PCS EDVENTURES COM INC ID 2.01,7.01,9.01 09/09/13
PDL BIOPHARMA, INC. DE 7.01,9.01 09/09/13
PEDEVCO CORP TX 2.02,9.01 09/09/13
PEP BOYS MANNY MOE & JACK PA 2.02,9.01 09/09/13
PEREGRINE PHARMACEUTICALS INC DE 2.02,7.01,9.01 09/09/13
PERRY ELLIS INTERNATIONAL INC FL 5.02,9.01 09/04/13
PG&E Corp CA 8.01 09/06/13
PHARMATHENE, INC DE 8.01,9.01 09/08/13
PHARMATHENE, INC DE 8.01,9.01 09/09/13
PHARMATHENE, INC DE 7.01,8.01,9.01 09/09/13
PIONEER NATURAL RESOURCES CO DE 7.01 09/09/13
PNC FINANCIAL SERVICES GROUP, INC. PA 2.02,9.01 09/09/13
POKERTEK, INC. NC 8.01,9.01 09/04/13
POWER SOLUTIONS INTERNATIONAL, INC. DE 5.07 08/28/13 AMEND
PVH CORP. /DE/ DE 2.02,9.01 09/09/13
Pzena Investment Management, Inc. DE 8.01,9.01 09/09/13
QUALITY SYSTEMS, INC CA 1.01,3.02,7.01,9.01 09/09/13
RAMCO GERSHENSON PROPERTIES TRUST MD 7.01,9.01 09/09/13
Real Goods Solar, Inc. CO 1.01,9.01 08/08/13 AMEND
RETRACTABLE TECHNOLOGIES INC TX 5.07 09/06/13
Rx Technologies Corp. 4.01,9.01 09/09/13
SAN DIEGO GAS & ELECTRIC CO CA 8.01,9.01 09/04/13
Sanchez Energy Corp DE 1.01,8.01,9.01 09/06/13
SaviCorp NV 8.01 09/03/13
SENIOR HOUSING PROPERTIES TRUST MD 1.01,2.03,8.01,9.01 09/04/13
SHARPROCK RESOURCES INC. NV 5.02 09/01/13
SHFL entertainment Inc. MN 2.02,9.01 09/06/13
SILVER SPRING NETWORKS INC DE 5.02 09/05/13 AMEND
SMITH MIDLAND CORP DE 5.07 09/04/13
SOUTHWEST AIRLINES CO TX 7.01,9.01 08/31/13
Speed Commerce, Inc. MN 5.03,8.01,9.01 09/09/13
SPHERIX INC DE 8.01,9.01 09/09/13
Spirit Airlines, Inc. DE 7.01,9.01 09/09/13
STAAR SURGICAL CO DE 5.02,9.01 09/09/13
STEWART ENTERPRISES INC LA 2.02,9.01 09/09/13
STONE ENERGY CORP DE 7.01,9.01 09/09/13
STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 09/03/13
SunCoke Energy, Inc. 1.01,9.01 09/05/13
SUNEDISON, INC. DE 8.01,9.01 09/09/13
SUNEDISON, INC. DE 7.01,9.01 03/13/13 AMEND
SURMODICS INC MN 2.05,9.01 09/03/13
SWK Holdings Corp DE 1.01,2.03,8.01,9.01 09/09/13
SYNALLOY CORP DE 9.01 09/09/13
SYNOVUS FINANCIAL CORP GA 7.01,9.01 09/09/13
Synthetic Biologics, Inc. NV 7.01,9.01 09/09/13
TAKE TWO INTERACTIVE SOFTWARE INC DE 8.01 09/06/13
Targeted Medical Pharma, Inc. 7.01,9.01 09/09/13
Technologies Scan Corp A8 5.02,9.01 09/05/13
TECO ENERGY INC FL 7.01,8.01,9.01 09/06/13
TENET HEALTHCARE CORP NV 8.01,9.01 09/09/13
THERAVANCE INC DE 8.01,9.01 09/08/13
TIDEWATER INC DE 8.01,9.01 09/05/13
TIMKEN CO OH 5.02 09/05/13
Tongji Healthcare Group, Inc. NV 5.02 09/04/13
TRAILBLAZER RESOURCES INC. NV 1.01,9.01 09/09/13
TUESDAY MORNING CORP/DE DE 5.02,7.01,9.01 09/05/13
TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 09/09/13
Two Harbors Investment Corp. 7.01,9.01 09/09/13
UMB FINANCIAL CORP MO 7.01,9.01 09/09/13
UNI CORE HOLDINGS CORP WY 5.02 09/09/13
Unilife Corp DE 1.02,8.01,9.01 09/03/13
United Continental Holdings, Inc. DE 8.01,9.01 09/09/13
UNITED ONLINE INC DE 5.07,8.01 09/05/13
UNITEDHEALTH GROUP INC MN 7.01 09/09/13
UNIWELL ELECTRONIC Corp DE 5.03,9.01 07/17/13
UNIWELL ELECTRONIC Corp DE 1.01,9.01 05/08/13
UNIWELL ELECTRONIC Corp DE 1.01,9.01 08/30/13
Uplift Nutrition, Inc. NV 1.01,3.02, 09/06/13
5.01,5.02,9.01
US AIRWAYS GROUP INC DE 3.02 09/09/13
US ECOLOGY, INC. DE 5.02,9.01 09/07/13
US Highland, Inc. OK 4.02,9.01 09/09/13
US WIRELESS ONLINE INC NV 1.01,5.02,8.01,9.01 08/22/13
USMD Holdings, Inc. DE 5.02 09/09/13
Valeant Pharmaceuticals International A8 7.01,9.01 09/09/13
VENZA GOLD CORP. A1 7.01,9.01 09/04/13
VERISIGN INC/CA DE 8.01,9.01 09/09/13
Verity Corp. NV 5.02 09/06/13
VIRTUS INVESTMENT PARTNERS, INC. DE 8.01,9.01 09/09/13
VIRTUSA CORP 5.07 09/05/13
VISION SCIENCES INC /DE/ DE 8.01,9.01 09/09/13
WALTER INVESTMENT MANAGEMENT CORP MD 7.01,8.01,9.01 09/09/13
WELLS FARGO & COMPANY/MN DE 9.01 09/09/13
Western Asset Mortgage Capital Corp DE 8.01,9.01 09/05/13
WESTERN DIGITAL CORP DE 7.01,9.01 09/09/13
WHITE MOUNTAIN TITANIUM CORP NV 5.02,5.03, 09/05/13
5.07,8.01,9.01
WHITING PETROLEUM CORP DE 8.01,9.01 09/06/13
WILEY JOHN & SONS, INC. NY 7.01 08/29/13
Willbros Group, Inc.\NEW\ 8.01,9.01 09/09/13
Woodgate Energy Corp DE 4.01,9.01 09/03/13
WORLD ACCEPTANCE CORP SC 1.01,2.03,9.01 09/06/13
WYNN RESORTS LTD 7.01,9.01 09/08/13
XCEL ENERGY INC MN 7.01 09/09/13
Xylem Inc. IN 5.02,7.01,9.01 09/08/13
Zalicus Inc. DE 8.01,9.01 09/09/13
ZIPREALTY INC 5.07 05/30/13 AMEND
http://www.sec.gov/news/digest/2013/dig091013.htm
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