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Commission announcementsCommission Chair White Statement on Meeting with Leaders of ExchangesSecurities and Exchange Commission (Commission) Chair Mary Jo White today issued the following statement after meeting with leaders of the equities and options exchanges, FINRA, DTCC, and the Options Clearing Corporation. Chair White called the meeting immediately following the August 22nd interruption in the trading of NASDAQ-listed securities. "Our securities markets are strong and work effectively for millions of investors and businesses. The orderly functioning of those markets and the robustness of our market infrastructure are vitally important to our nation's economy. That is why we hold ourselves to very high standards. "Today's meeting was very constructive. I stressed the need for all market participants to work collaboratively - together and with the Commission - to strengthen critical market infrastructure and improve its resilience when technology falls short. To that end, I asked those at the meeting to work constructively with the Commission staff as we continue to consider ways to enhance the integrity of market systems. They pledged to do so and I expect other market participants will do so as well. "In short order, I also want those at the meeting - with the input of other market participants - to identify a series of concrete measures designed to address specific areas where the robustness and resilience of market systems can be improved, including the systems that were at the core of last month's trading interruption. The investing public deserves no less." (Press Rel. 2013-178) Commission Names Paul Levenson as Director of Boston Regional OfficeThe Commission today announced that Paul Levenson has been named director of the Boston Regional Office, where he will oversee enforcement and examinations in the New England region. Mr. Levenson joins the SEC from the U.S. Attorney's Office for the District of Massachusetts, where he is an Assistant U.S. Attorney and Chief of the Economic Crimes Unit that is responsible for investigations and prosecutions of financial crimes. Mr. Levenson has successfully coordinated many criminal investigations with the SEC's Division of Enforcement during his tenure in the U.S. Attorney's Office. He will begin working at the SEC in late October. "Paul has served with great distinction as a supervisor and prosecutor of securities and other white collar cases," said George S. Canellos, Co-Director of the SEC's Division of Enforcement. "We are thrilled that he will be bringing his formidable legal skills, vast experience, and judgment to the SEC as leader of our Boston Regional Office." Andrew J. Bowden, Director of the SEC's Office of Compliance Inspections and Examinations, said, "Paul has been working energetically and effectively to protect investors for the last 23 years. He also is an excellent manager. We are excited that he has decided to continue his work with our dedicated team in Boston." Mr. Levenson said, "I am honored to have been chosen as the regional director of the SEC's Boston office. As a federal prosecutor in Massachusetts, I have worked closely with the lawyers and examiners in the Boston office and have been enormously impressed by their talent, professionalism, and dedication to enforcing the federal securities laws. I look forward to working with them to carry out the SEC's mission of investor protection and fair and orderly markets." Mr. Levenson joined the U.S. Attorney's office in 1989 and served in the civil division as well as the Economic Crimes Unit and Public Corruption Unit. He has led the Economic Crimes Unit since 2007. Mr. Levenson has helped lead the investigation and prosecution of white collar crimes ranging from securities fraud, foreign bribery, tax fraud, insurance fraud, bank fraud, health care fraud, official corruption, and embezzlement. Mr. Levenson previously was a litigation associate at Kaye, Scholer, Fierman, Hays & Handler in Washington D.C. from 1985 to 1987. He later worked at Gibson, Dunn & Crutcher in New York before joining the U.S. Attorney's Office in Massachusetts. He began his legal career as a law clerk to the Honorable Stanley A. Weigel of the U.S. District Court for the Northern District of California. Mr. Levenson earned his bachelor's degree from Harvard College and his law degree from Harvard Law School. (Press Rel. 2013-179) Commission Suspends Trading in the Securities of Five 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 12, 2013 and terminating at 11:59 p.m. EDT on September 25, 2013:
The Commission temporarily suspended trading in the securities of the foregoing companies due to a lack of current and accurate information about the companies because they have not filed certain periodic reports with the Commission. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to trading suspensions until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-70375) 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 12, 2013 and terminating at 11:59 p.m. EDT on September 25, 2013:
The Commission temporarily suspended trading in the securities of the foregoing companies due to a lack of current and accurate information about the companies because they have not filed certain periodic reports with the Commission. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to trading suspensions until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-70377) ENFORCEMENT PROCEEDINGSCommission Charges Atlanta-Based Investment Adviser Representative and Related Companies with Securities FraudOn September 11, 2013, the Commission filed an emergency action seeking a temporary restraining order and other emergency relief in federal court in the Northern District of Georgia, charging Paul Marshall (Marshall), a state-registered investment adviser representative, and three Atlanta-based companies that he owned and controlled - Bridge Securities, LLC, Bridge Equity, Inc. (collectively, the Bridge Entities) and FOGFuels, Inc. (FOGFuels) - with violations of the federal securities laws for misappropriating client funds. According to the Commission's complaint, since at least 2011, Marshall, an investment adviser representative of the Bridge Entities, misappropriated at least $2 million from advisory clients. In its complaint, the Commission alleges that Marshall instructed clients, some of whom were elderly, to transfer funds to bank accounts under his control for purported investment in various securities, including mutual funds. Instead, Marshall used those client funds to pay personal expenses, including luxury vacations and private school tuition for his children. The complaint further alleges that Marshall concealed his fraud by providing advisory clients with fabricated account statements. Additionally, the Commission's complaint alleges that Marshall, currently the majority owner and Managing Director of purported alternative fuel company FOGFuels, misappropriated $100,000 from an advisory client who invested in that company. The Commission's complaint alleges that, through their misconduct, Marshall, the Bridge Entities, and FOGFuels violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and that Marshall and FOGFuels violated Section 17(a) of the Securities Act of 1933. Finally, the complaint alleges that Marshall and the Bridge Entities violated Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. On September 11, 2013, the Honorable Timothy C. Batten, Sr., United States District Judge for the Northern District of Georgia, granted the Commission's request for emergency relief, issuing an order temporarily restraining Marshall, the Bridge Entities and FOGFuels from further securities laws violations, freezing their assets, preventing the destruction of documents, requiring an accounting, and expediting discovery. The Court also set a hearing date of September 20, 2013 for the Commission's request for a preliminary injunction. The Commission's complaint also seeks a permanent injunction, disgorgement of ill-gotten gains with prejudgment interest, and civil penalties. Those claims will be adjudicated at a later date. [SEC v. Paul Marshall , Bridge Securities, LLC a/k/a Bridge Financial, Bridge Equity, Inc. and FOGFuels, Inc., Civil Action No. 1:13-cv-3032 (N.D. Ga.)](LR-22797) Delinquent Filer's Stock Registration RevokedThe registration of the registered securities of Soil Biogenics Limited has been revoked. It had repeatedly failed to file required periodic reports with the Securities and Exchange Commission. Thus, it violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-70378) Commission Revokes Registration of Securities of Diapulse Corporation of America for Failure to Make Required Periodic FilingsOn September 12, 2013, the Commission revoked the registration of each class of registered securities of Diapulse Corporation of America (DIAC) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, DIAC consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Diapulse Corporation of America finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of DIAC's securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against DIAC in In the Matter of Altus Pharmaceuticals, Inc., et al., Administrative Proceeding File No. 3-15418. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . (Rel. 34-70379) Commission Revokes Registration of Securities of Laureate Resources & Steel Industries, Inc. for Failure to Make Required Periodic FilingsOn September 12, 2013, the Commission revoked the registration of each class of registered securities of Laureate Resources & Steel Industries, Inc. (LRRS) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, LRRS consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Laureate Resources & Steel Industries, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of LRRS's securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against LRRS in In the Matter of Avani International Group, Inc., et al., Administrative Proceeding File No. 3-15324. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . (Rel. 34-70380) Commission Orders Hearings on Registration Suspension or Revocation against Five 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 five companies for failure to make required periodic filings with the Commission:
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 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 Carbiz, Inc., et al., Administrative Proceeding File No. 3-15469. (Rel. 34-70374) Commission Orders Hearings on Registration Suspension or Revocation against Seven Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the seven issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. In the Matter of Axcess International, Inc., et al., Administrative Proceeding File No. 3-15470. (Rel. 34-70376) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the CBOE Stock Exchange Fees Schedule (SR-CBOE-2013-086) 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 16th. (Rel. 34-70382) A proposed rule change filed by BATS Y-Exchange, Inc. related to fees for use of BATS Y-Exchange, Inc. (SR-BYX-2013-031) 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 16th. (Rel. 34-70385) A proposed rule change filed by BATS Y-Exchange, Inc. related to fees for use of BATS Y-Exchange, Inc. (SR-BYX-2013-030) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of September 16th. (Rel. 34-70386) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2013-27) to amend 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 of September 16th. (Rel. 34-70383) A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-34) to amend 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 16th. (Rel. 34-70384) Notice of Proposed Rule ChangeChicago Stock Exchange, Inc. filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-CHX-2013-16) to adopt standards for the cancellation or adjustment of Bona Fide Error trades, the submission of Error Correction Transactions, and the cancellation or adjustment of stock leg trades of stock-option or stock-future orders. Publication is expected in the Federal Register during the week of September 16th. (Rel. 34-70381) 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 SENIOR HOUSING PROPERTIES TRUST, TWO NEWTON PLACE, 255 WASHINGTON STREET, NEWTON, MA, 02458, 6173323990 - 0 ($66,351,914.18) Other, (File 333-191081 - Sep. 11) (BR. 08C) S-1 Fangmax Artifacts Corp., 555 CALIFORNIA STREET, SUITE 4925, SAN FRANCISCO, CA, 94104, (415) 695-1900 - 51,276,026 ($76,914,039.00) Equity, (File 333-191082 - Sep. 11) (BR. 11) S-1 Active With Me Inc., 2014 HOLLAND AVENUE, UNIT 248, PORT HURON, MI, 48060, (519) 331-9048 - 1,805,000 ($72,200.00) Equity, (File 333-191083 - Sep. 11) (BR. 03A) S-4 Apple REIT Nine, Inc., 814 EAST MAIN STREET, RICHMOND, VA, 23219, 804.344.8121 - 179,664,580 ($1,104,720,296.00) Equity, (File 333-191084 - Sep. 11) (BR. 08C) S-1 VEEVA SYSTEMS INC, 4637 CHABOT DRIVE, SUITE 210, PLEASANTON, CA, 94588, 925-452-6500 - 0 ($150,000,000.00) Equity, (File 333-191085 - Sep. 11) (BR. 03A) S-8 Select Income REIT, TWO NEWTON PLACE, 255 WASHINGTON STREET, SUITE 300, NEWTON, MA, 02458-1634, 617-332-3990 - 0 ($71,514,696.84) Other, (File 333-191093 - Sep. 11) (BR. 08B) S-8 Government Properties Income Trust, TWO NEWTON PLACE, 255 WASHINGTON STREET, NEWTON, MA, 02458, 617-219-1440 - 0 ($43,742,758.20) Other, (File 333-191094 - Sep. 11) (BR. 08B) S-8 HOSPITALITY PROPERTIES TRUST, TWO NEWTON PLACE, 255 WASHINGTON STEET, NEWTON, MA, 02458, 6179648389 - 0 ($79,793,451.27) Other, (File 333-191096 - Sep. 11) (BR. 08B) S-8 ENVIVIO INC, 400 OYSTER POINT BLVD., SUITE 325, SOUTH SAN FRANCISCO, CA, 94080, 650 243 2700 - 1,461,197 ($4,573,546.61) Equity, (File 333-191098 - Sep. 11) (BR. 11A) S-1 GLOBAL BRASS & COPPER HOLDINGS, INC., 475 N. MARTINGALE ROAD, SUITE 1050, SCHAUMBURG, IL, 60173, 847-517-6340 - 0 ($109,595,000.00) Equity, (File 333-191100 - Sep. 11) (BR. 06C) S-8 ALERE INC., 51 SAWYER ROAD, SUITE 200, WALTHAM, MA, 02453, 7816473900 - 1,000,000 ($31,610,000.00) Equity, (File 333-191101 - Sep. 11) (BR. 01A) S-8 SEARS HOLDINGS CORP, 3333 BEVERLY ROAD, HOFFMAN ESTATES, IL, 60179, 847-286-2500 - 0 ($51,480,000.00) Equity, (File 333-191102 - Sep. 11) (BR. 02B) S-8 ALERE INC., 51 SAWYER ROAD, SUITE 200, WALTHAM, MA, 02453, 7816473900 - 2,000,000 ($63,220,000.00) Equity, (File 333-191103 - Sep. 11) (BR. 01A) S-3ASR HARSCO CORP, 350 POPLAR CHURCH ROAD, CAMP HILL, PA, 17011, 7177637064 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-191104 - Sep. 11) (BR. 06A) 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
Accelerated Acquisition XVI, Inc. DE 5.01,5.02,5.03,9.01 09/11/13
ACE MARKETING & PROMOTIONS INC NY 5.07,9.01 09/10/13
Actavis, Inc. NV 5.07,8.01,9.01 09/10/13
Advanced Emissions Solutions, Inc. 7.01,8.01,9.01 09/10/13
ALCO STORES INC KS 7.01,8.01,9.01 09/11/13
ALION SCIENCE & TECHNOLOGY CORP DE 5.02,9.01 09/06/13
Allegiant Travel CO NV 2.03 09/11/13
AMERICAN CAPITAL, LTD 7.01,9.01 09/11/13
American Residential Properties, Inc. MD 7.01 09/11/13
AMERICAN VANGUARD CORP DE 8.01,9.01 09/05/13
APARTMENT INVESTMENT & MANAGEMENT CO MD 7.01,9.01 09/11/13
Ascena Retail Group, Inc. DE 7.01,9.01 09/10/13
Ascent Solar Technologies, Inc. DE 5.02,9.01 09/11/13
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 09/11/13
AxoGen, Inc. MN 8.01,9.01 09/11/13
Babcock & Wilcox Co DE 5.03,9.01 09/09/13
BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 09/09/13
BARNES & NOBLE INC DE 5.07 09/10/13
BIOZONE PHARMACEUTICALS, INC. NV 8.01 09/10/13
BMC SOFTWARE INC DE 2.01,3.01,3.03, 09/10/13
5.01,5.02,5.03,8.01,9.01
BMC SOFTWARE INC DE 1.01,1.02,2.03 09/10/13
BRANDYWINE REALTY TRUST MD 8.01 09/05/13
CALAVO GROWERS INC CA 2.02,9.01 09/05/13
Calpian, Inc. TX 7.01,9.01 09/11/13
Campus Crest Communities, Inc. MD 7.01,9.01 09/11/13
CAROLINA BANK HOLDINGS INC NC 8.01,9.01 09/11/13
CARROLS RESTAURANT GROUP, INC. 5.02,9.01 09/06/13
CECO ENVIRONMENTAL CORP DE 5.02 09/11/13
CHC Helicopter S.A. N4 2.02,9.01 09/11/13
CHEMICAL FINANCIAL CORP MI 8.01,9.01 09/11/13
CHENIERE ENERGY INC DE 7.01,9.01 09/11/13
Cheniere Energy Partners, L.P. DE 7.01,9.01 09/11/13
Circle Entertainment, Inc. DE 5.07 09/09/13
Clean Energy Fuels Corp. DE 8.01,9.01 09/09/13
CLOUD PEAK ENERGY INC. DE 7.01,9.01 09/11/13
CMS ENERGY CORP MI 7.01,9.01 09/11/13
COBIZ FINANCIAL INC CO 5.02,9.01 09/11/13
COFFEE HOLDING CO INC NV 2.02,9.01 09/11/13
COMPETITIVE TECHNOLOGIES INC DE 1.01,9.01 09/10/13
COMPUTER TASK GROUP INC NY 8.01,9.01 09/11/13
Comverse, Inc. DE 5.02 09/11/13
CONSOLIDATED GRAPHICS INC /TX/ TX 7.01,9.01 09/11/13
DEL MONTE CORP 2.02,7.01,9.01 09/11/13
Delek US Holdings, Inc. 7.01,9.01 09/11/13
DEX MEDIA, INC. DE 5.02,9.01 09/05/13
Digital Realty Trust, Inc. 7.01 09/11/13
DIODES INC /DEL/ DE 7.01,9.01 09/10/13
DIONICS INC DE 1.01 09/05/13
DOLE FOOD CO INC DE 8.01,9.01 09/11/13
DTE ENERGY CO MI 7.01,9.01 09/11/13
Duke Energy CORP DE 8.01,9.01 09/11/13
DUPONT FABROS TECHNOLOGY, INC. MD 8.01,9.01 09/10/13
Energy Services of America CORP DE 1.01,9.01 09/09/13
Enstar Group LTD D0 1.01,2.01,2.03, 09/06/13
8.01,9.01
ERF Wireless, Inc. NV 8.01 09/10/13
Essex Rental Corp. IL 7.01,9.01 09/11/13
EVERTEC, Inc. PR 5.02,8.01,9.01 09/09/13
EXPONENT INC DE 5.02 09/11/13
FARMER BROTHERS CO CA 4.02,9.01 09/05/13
Federal Home Loan Bank of Dallas 2.03,9.01 09/06/13
FERRO CORP OH 7.01,9.01 09/09/13
FIDELITY SOUTHERN CORP GA 8.01,9.01 09/11/13
FINJAN HOLDINGS, INC. DE 1.01,9.01 09/09/13
FIRST CITIZENS BANC CORP /OH OH 7.01,9.01 09/11/13
FORD CREDIT FLOORPLAN MASTER OWNER TR DE 1.01,8.01,9.01 09/11/13
FORD MOTOR CO DE 5.02,9.01 09/11/13
FOREST CITY ENTERPRISES INC OH 8.01,9.01 09/11/13
FS Energy & Power Fund DE 2.02 09/09/13
Gaming Partners International CORP NV 5.02,7.01,9.01 09/11/13
GateHouse Media, Inc. DE 1.01,2.03,9.01 09/04/13
GETTY REALTY CORP /MD/ MD 7.01,9.01 09/11/13
GLU MOBILE INC DE 7.01 09/11/13
GRAFTECH INTERNATIONAL LTD DE 1.01,5.02,8.01,9.01 09/05/13
GSV Capital Corp. MD 8.01,9.01 09/11/13
HANCOCK FABRICS INC DE 2.02,9.01 09/10/13
Heron Lake BioEnergy, LLC MN 1.01 09/05/13
HORNBECK OFFSHORE SERVICES INC /LA DE 7.01 09/11/13
HOSPITALITY PROPERTIES TRUST MD 8.01 09/10/13
IF Bancorp, Inc. MD 8.01,9.01 09/11/13
IGATE CORP PA 7.01,9.01 09/11/13
INDEPENDENT BANK CORP MA 5.02,9.01 09/05/13
INDEPENDENT BANK CORP /MI/ MI 8.01,9.01 09/11/13
Ingen Technologies, Inc. 8.01 09/10/13
INLAND REAL ESTATE CORP MD 7.01,9.01 09/06/13
INNOVUS PHARMACEUTICALS, INC. NV 5.02,8.01,9.01 09/09/13
Intelligent Highway Solutions, Inc. NV 1.01,8.01,9.01 08/22/13
INTERNATIONAL PAPER CO /NEW/ NY 2.05,9.01 09/10/13
INTERSIL CORP/DE DE 5.02 09/11/13 AMEND
Intrepid Potash, Inc. DE 7.01,9.01 09/11/13
J CREW GROUP INC DE 2.02,9.01 09/11/13
KCG Holdings, Inc. DE 7.01,9.01 09/11/13
Laredo Resources Corp. NV 8.01,9.01 09/10/13
LEGG MASON, INC. MD 2.02,8.01,9.01 09/11/13
LendingClub Corp DE 4.01,9.01 09/05/13
Lifeloc Technologies, Inc CO 5.02 09/09/13
LMI AEROSPACE INC MO 7.01,9.01 09/11/13
LOT78, INC. NV 1.01,2.03,9.01 09/11/13
LOWES COMPANIES INC NC 1.01,2.03,9.01 09/11/13
LUCAS ENERGY, INC. NV 8.01 09/06/13
LyondellBasell Industries N.V. P7 5.02 09/10/13
MAGNACHIP SEMICONDUCTOR Corp DE 7.01,8.01,9.01 09/09/13
Marine Drive Mobile Corp. NV 8.01 09/11/13
MASTERCARD INC DE 7.01,9.01 09/11/13
MATTSON TECHNOLOGY INC DE 5.02,9.01 09/09/13
Memorial Production Partners LP DE 7.01,8.01,9.01 09/11/13
MILLER ENERGY RESOURCES, INC. TN 7.01 09/10/13
ML Capital Group, Inc. NV 1.01,9.01 09/10/13
MOBILE MINI INC DE 5.02,9.01 09/06/13
MOLSON COORS BREWING CO DE 1.01,2.03,9.01 09/09/13
MOMENTIVE SPECIALTY CHEMICALS INC. NJ 8.01,9.01 09/11/13
MTR GAMING GROUP INC DE 1.01,5.02,9.01 09/08/13
NAKED BRAND GROUP INC. NV 1.01,2.03,3.02, 09/06/13
8.01,9.01
Neiman Marcus Group LTD Inc. DE 1.01,8.01,9.01 09/09/13
Neohydro Technologies Corp. NV 5.02 07/19/13
Neonode, Inc DE 1.01,8.01,9.01 09/11/13
NEW JERSEY RESOURCES CORP NJ 7.01,9.01 09/11/13
NEWELL RUBBERMAID INC DE 1.01,2.03,9.01 09/06/13
NEXTERA ENERGY INC FL 7.01 09/11/13
NORTHERN TRUST CORP DE 7.01,9.01 09/11/13
NTELOS HOLDINGS CORP 7.01,9.01 09/11/13
NUPATHE INC. DE 7.01,9.01 09/11/13
Oasis Petroleum Inc. DE 1.01,2.03,8.01,9.01 09/10/13
Opexa Therapeutics, Inc. TX 8.01 09/11/13
Opko Health, Inc. DE 7.01,8.01,9.01 09/10/13
Orchid Island Capital, Inc. MD 8.01,9.01 09/10/13
ORGANOVO HOLDINGS, INC. DE 7.01,9.01 09/09/13
OvaScience, Inc. DE 8.01,9.01 09/10/13
OWENS ILLINOIS INC /DE/ DE 7.01,9.01 09/11/13
Pandora Media, Inc. DE 5.02 09/11/13
PARKWAY PROPERTIES INC MD 8.01,9.01 09/11/13
PATTERSON COMPANIES, INC. MN 5.07 09/09/13
PATTERSON UTI ENERGY INC DE 7.01,9.01 09/11/13
PCM, INC. DE 1.01,2.03,9.01 09/10/13
PEABODY ENERGY CORP DE 7.01,9.01 09/11/13
PennyMac Mortgage Investment Trust MD 7.01,9.01 09/11/13
PHARMATHENE, INC DE 8.01,9.01 09/11/13
PIONEER ENERGY SERVICES CORP TX 7.01,9.01 09/11/13
PLAINS ALL AMERICAN PIPELINE LP DE 7.01 09/11/13
PLEXUS CORP WI 7.01,9.01 09/11/13
PLUG POWER INC DE 1.01,9.01 09/10/13
POLYCOM INC DE 8.01 09/11/13
PORTLAND GENERAL ELECTRIC CO /OR/ OR 7.01 09/11/13
POTLATCH CORP DE 5.02,9.01 09/05/13
PPL Corp 7.01,9.01 09/11/13
PREMIER FINANCIAL BANCORP INC KY 2.03,9.01 09/07/13
PROASSURANCE CORP DE 7.01,8.01,9.01 09/11/13
Protalix BioTherapeutics, Inc. FL 7.01,9.01 09/11/13
PSB HOLDINGS INC /WI/ WI 2.06,9.01 09/11/13
QUESTAR CORP UT 5.02,9.01 09/09/13
RAAM Global Energy Co DE 8.01 09/11/13
RCS Capital Corp DE 8.01,9.01 09/11/13
RealD Inc. DE 8.01,9.01 09/11/13
Regency Energy Partners LP DE 1.01,9.01 09/11/13
Rhino Resource Partners LP DE 1.01,9.01 09/09/13
Rockwood Holdings, Inc. DE 5.02,8.01 09/06/13
ROYAL CARIBBEAN CRUISES LTD 5.03,8.01,9.01 09/11/13
SAIC Gemini, Inc. DE 7.01,9.01 09/11/13
SAIC, Inc. 7.01,9.01 09/11/13
SARATOGA RESOURCES INC /TX TX 7.01,9.01 09/11/13
SEACOR HOLDINGS INC /NEW/ DE 1.01 09/10/13
SELECTIVE INSURANCE GROUP INC NJ 5.02,9.01 09/11/13
Shire plc 8.01,9.01 09/11/13
SIGMA ALDRICH CORP DE 7.01,9.01 09/11/13
SIGMATRON INTERNATIONAL INC DE 2.02,9.01 09/11/13
Silver Bay Realty Trust Corp. MD 7.01,9.01 09/10/13
SIRIUS XM RADIO INC. DE 5.02 09/09/13
Sorrento Therapeutics, Inc. DE 1.01,2.01,3.02, 09/09/13
5.02,7.01,9.01
SOTHEBYS DE 8.01,9.01 09/11/13
SOURCEFIRE INC DE 8.01,9.01 09/11/13
SP Bancorp, Inc. MD 5.02 09/06/13
SPRINT Corp DE 1.01,2.03,8.01,9.01 09/09/13
SPRINT Corp DE 5.02,9.01 09/10/13
SquareTwo Financial Corp DE 5.02 09/10/13
STANCORP FINANCIAL GROUP INC OR 8.01,9.01 09/10/13
STONE ENERGY CORP DE 7.01,9.01 09/10/13
STREAMLINE HEALTH SOLUTIONS INC. DE 2.02,9.01 09/09/13
SUN COMMUNITIES INC MD 7.01,9.01 09/10/13
SYNALLOY CORP DE 9.01 08/01/13 AMEND
SYNIVERSE HOLDINGS INC DE 7.01 09/11/13
SYNIVERSE HOLDINGS INC DE 2.01,9.01 06/28/13 AMEND
SYNTA PHARMACEUTICALS CORP 8.01,9.01 09/10/13
SYNTHESIS ENERGY SYSTEMS INC DE 8.01,9.01 09/11/13
TALON INTERNATIONAL, INC. DE 5.02 09/10/13
TEL INSTRUMENT ELECTRONICS CORP NJ 7.01,9.01 09/06/13
TF FINANCIAL CORP PA 9.01 07/02/13 AMEND
THOR INDUSTRIES INC DE 5.02,9.01 09/10/13
TORCHLIGHT ENERGY RESOURCES INC NV 5.02 09/09/13
TRINITY INDUSTRIES INC DE 5.03,9.01 09/05/13
Trius Therapeutics Inc DE 2.01,3.01,3.02, 09/11/13
3.03,5.01,5.02,5.03,9.01
TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 09/11/13
Twin Cities Power Holdings, LLC MN 1.01,2.03,8.01,9.01 08/12/13
UDR, Inc. MD 7.01,9.01 09/11/13
UMB FINANCIAL CORP MO 7.01,9.01 09/10/13
UMPQUA HOLDINGS CORP OR 2.01,9.01 07/01/13 AMEND
Unilife Corp DE 2.02,7.01,9.01 09/10/13
UNIVERSAL TECHNICAL INSTITUTE INC DE 5.02,9.01 09/05/13
URSTADT BIDDLE PROPERTIES INC MD 2.02,9.01 09/06/13
VALERO ENERGY CORP/TX DE 7.01,9.01 09/11/13
VENTRUS BIOSCIENCES INC DE 8.01,9.01 09/11/13
Vera Bradley, Inc. 2.02,9.01 09/11/13
VIDEO DISPLAY CORP GA 8.01 09/06/13
WADDELL & REED FINANCIAL INC DE 7.01,9.01 09/10/13
WALTER INVESTMENT MANAGEMENT CORP MD 1.01,9.01 09/05/13
Weatherford International Ltd./Switze V8 5.02,7.01 09/11/13
WebMD Health Corp. DE 8.01,9.01 09/10/13
WEBSTER FINANCIAL CORP DE 7.01 09/11/13
WEST PHARMACEUTICAL SERVICES INC PA 7.01,9.01 09/11/13
Western Refining, Inc. DE 7.01,9.01 09/11/13
WFN CREDIT CO LLC 1.01,9.01 09/09/13
WILSHIRE BANCORP INC 8.01,9.01 09/09/13
WONDER INTERNATIONAL EDUCATION & INVE AZ 5.02 08/04/13
XENOPORT INC DE 8.01 09/09/13
ZD VENTURES Corp NV 5.03,9.01 09/11/13
http://www.sec.gov/news/digest/2013/dig091213.htm
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