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Commission AnnouncementsDaniel Murdock Named SEC Deputy Chief AccountantThe Securities and Exchange Commission (Commission) announced the appointment of Daniel Murdock as a deputy chief accountant in the agency's Office of the Chief Accountant. Mr. Murdock assumed his new role this week as head of the office’s accounting group. The group advises the Commission on accounting and auditing matters and works closely with private sector accounting bodies such as the Financial Accounting Standards Board. Public companies, auditors, and other divisions and offices within the SEC regularly consult with the accounting group on the application of accounting standards and financial disclosure requirements. "I am very pleased that Dan has joined us,” said SEC Chief Accountant Paul Beswick. “His expertise in financial reporting will be a valuable resource to our office, this agency, and investors.” The accounting group is one of three in the Office of the Chief Accountant. Mr. Murdock fills a vacancy created when Paul Beswick was promoted to chief accountant. The other two deputy chief accountants, Brian Croteau and Julie Erhardt, head the professional practice group and the international group respectively. Before joining the SEC staff, Mr. Murdock served as an industry professional practice director for Deloitte & Touche LLP. At Deloitte, Mr. Murdock was responsible for the financial statement audits of several large companies and served in its national office, where he consulted with clients on technical accounting issues. Mr. Murdock received a Bachelor of Science degree with an emphasis in accounting from the University of South Florida. (Rel. 2013-221) ENFORCEMENT PROCEEDINGSCourt Approves Distribution of $6 million to Former Heppelwhite InvestorsThe Commission today announced that on October 2, 2013, The Honorable Paul G. Gardephe of the United States District Court for the Southern District of New York, entered an Order approving a Final Distribution Plan for the Fair Fund established in SEC v. Hochfeld et al., 12-CV-8202. In this enforcement action, filed in November 2012, the SEC charged Berton M. Hochfeld and his entity Hochfeld Capital Management, L.L.C. with securities fraud for misappropriating assets and making material misstatements to investors in the Heppelwhite Fund, L.P., a now defunct hedge fund. The Court previously entered judgments against Hochfeld and HCM which ordered, among other relief, injunctions, an asset freeze, and disgorgement of ill-gotten gains and civil penalties in amounts to be determined. To distribute funds to defrauded investors, the SEC requested that the Court create a Fair Fund, which the Court approved on July 31, 2013. The Court appointed Nancy Chase Burton, a Supervisory Assistant Chief Litigation Counsel at the SEC, as Plan Administrator. To date, the SEC has collected approximately $6.2 million for the Fair Fund. Pursuant to the Final Distribution Plan, thirty-five former Heppelwhite investors will receive this month initial payments from the Fair Fund representing approximately 70% of each investor’s prior capital balance in the Heppelwhite Fund. The Final Distribution Plan also provides for a second round of payments to investors that the Fair Fund will make after the SEC has collected additional funds, including proceeds from the sale of Hochfeld’s personal assets. [SEC v. Hochfeld, et al., 12-CV-8202 (S.D.N.Y.)] (Rel. LR-22843). Commission Charges Menomonee Falls, Wisconsin Resident with Operating a Ponzi SchemeOn October 10, 2013, the Commission charged Michael R. Enea of Menomonee Falls, Wisconsin with violations of the federal securities laws for conducting fraudulent, unregistered offerings of securities and misappropriating investor funds to pay his personal expenses. The Commission’s complaint alleged that, from July 2006 through May 2013, Enea operated a Ponzi scheme through the fraudulent and unregistered offer and sale of securities to 18 investors totaling approximately $2.1 million. Enea represented to the investors that he would combine his funds with funds contributed by each investor and use the money to invest in a “credit card portfolio.” Credit card portfolios, according to Enea, consisted of a group of retail merchants who pay fees to a third party credit card processor each time one of the merchants’ customers makes a credit card transaction. Enea told investors that by investing in credit card portfolios the investor would receive monthly or quarterly payments. The payments to investors were purportedly generated by the payment of the transaction fees by the merchants to the credit card processors. In reality, Enea never purchased any credit card portfolios and instead used approximately $1.35 million of the investors’ funds to make the monthly or quarterly payments to prior investors. Enea used the remaining approximately $760,000 he raised from investors to pay his personal and business expenses. Enea never told investors that he used their funds to make payments to previous investors or to pay his personal and business expenses. The complaint also alleged that Enea acted as an unregistered broker. As a result of his conduct, the Commission’s complaint charged Enea with violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Enea has agreed to settle the charges against him. Specifically, Enea consented to the entry of a final judgment that, without admitting or denying the SEC’s allegations against him, permanently enjoins him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and requires him to pay disgorgement of $763,803, the amount of his ill-gotten gains, plus prejudgment interest of $79,317. [SEC v. Michael R. Enea, Civil Action No. 2:13-cv-01151 (E.D. Wisc., filed October 10, 2013) (Rel. LR-22842) Commission Declares Decision as to Stefan H. Benger FinalThe initial decision of an administrative law judge with respect to Stefan H. Benger has become final. The initial decision barred Benger from associating with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The law judge found that on January 15, 2013, a federal district court entered a judgment by consent that permanently enjoined Benger from violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 10b-5 thereunder. He was also permanently enjoined from violating the registration provisions of Section 15(a) of the Exchange Act and from participating in an offering of penny stock. He was further ordered to pay a civil penalty of $250,000 and to disgorge $422,004.10 in ill-gotten gains plus prejudgment interest of $26,869.79. SEC v. Benger, No. 1:09-cv-00676 (N.D. Ill. Jan. 15, 2013). In the district court action, the SEC alleged that from 2007 through February 2009, Benger, the president of an unregistered broker-dealer, along with co-conspirators, operated a penny stock boiler room. During this two-year span, they raised approximately $44.2 million. The majority of the funds were derived mostly from unsophisticated foreign investors, including elderly Europeans. The complaint further alleged that Benger, along with his co-conspirators, employed high pressure sales tactics and numerous misrepresentations in order to entice the investors to purchase the penny stocks. Of the $4.2 million raised, 60% was kept by Benger and his co-conspirators, with the remainder distributed to the issuers of the penny stock. The law judge found that Benger's conduct was egregious and recurrent. (Rel. 34-70667) Industry Bar Entered against Burton Douglas MorrissThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions against Burton Douglas Morriss based upon the entry of a permanent injunction entered against him in the United States District Court for the Eastern District of Missouri, in the civil action entitled Securities and Exchange Commission v. Burton Douglas Morriss, et. al., Case Number 4:12-CV-80. The Order finds that on August 13, 2013, a judgment was entered by consent against Morriss, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act and Rule 206(4)-8 thereunder. The Order bars Morriss from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Morriss consented to the issuance of the Order without admitting or denying any of the findings of the Order, except as to the Commission’s jurisdiction over him and the subject matter of the proceedings, and entry of the injunction. (Rel. IA-3690) Registrations Revoked by DefaultAn Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default as to First Sun South Corp. (Default Order) in Anasazi Capital Corp., Admin. Proc. File No. 3-15439. The Order Instituting Proceedings alleged that First Sun South Corp. repeatedly failed to file timely periodic reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds this allegation to be true and revokes the registration of each class of First Sun South Corp.’s registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. The registrations of each class of the registered securities of Respondents Anasazi Capital Corp., Certified Diabetic Services, Inc., China Junlian Integrated Surveillance, Inc., FirstPlus Financial Group, Inc., and Great American Hotels & Resorts, Inc., were previously revoked by default. See Anasazi Capital Corp., Exchange Act Release No. 70604 (Oct. 3, 2013). Respondent Chartwell International, Inc. (n/k/a Covalent Energy International, Inc.), settled this proceeding with the Commission. See Anasazi Capital Corp., Exchange Act Release No. 70635 (Oct. 9, 2013). (Rel. 34-70660) An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) in Crescent Moon, Inc., Admin. Proc. File No. 3-15449. The Order Instituting Proceedings alleged that Crescent Moon, Inc., Financial Ventures, Inc., Fire From Ice, Inc. (f/k/a Roman Acquisition Corp.), Freeman Technologies Corp., and Great American Recreation, Inc., repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-70661) In the Matter of Jonathan FraimanThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Jonathan Fraiman. The Order finds that Fraiman, a resident of San Diego, California, was employed as a Marketing and Investment Relations Executive at Envit Capital LLC and Envit Capital Multi-Strategy Mixed Investment Fund I LP from January 2008 through June 2009. During this time, he was also the Director and Chief Compliance Officer of Envit Capital Private Wealth Management, LLC, an unregistered investment adviser. The Order also finds that the Commission filed fraud charges against Fraiman in an action titled Securities and Exchange Commission v. Edward M. Laborio et al., Civil Action Number 1:12-cv-11489-MBB, in the United States District Court for the District of Massachusetts. The Order finds that the Commission’s complaint alleges that Fraiman and others raised up to $5.7 million from approximately 150 investors nationwide and overseas through five fraudulent and unregistered securities offerings involving a group of related entities (the Envit Companies). The complaint alleges that Fraiman made multiple misrepresentations and misleading statements about the Envit Companies’ businesses, revenues, financial projections, uses of investor funds, and historical returns generated by a purported hedge fund that in reality never conducted any business. The complaint also alleges that Fraiman induced the purchase of securities without being registered in accordance with Section 15 of the Securities Exchange Act of 1934 (Exchange Act). The Order finds that on October 8, 2013, the court entered a final judgment by consent against Fraiman, permanently enjoining him from future violations of Section 17(a)(2) of the Securities Act of 1933; Sections 10(b) and 15(a)(1) of the Exchange Act and Rule 10b-5(b) thereunder; and Sections 206(1), 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. Fraiman was also barred from participating in an offering of penny stock, including engaging in activities with a broker, dealer, or issuer for purposes of issuing, trading, or inducing or attempting to induce the purchase or sale of any penny stock. Based on the entry of the permanent injunction against Fraiman, the Commission’s Order bars Fraiman from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, with the right to reapply for reentry after ten years to the appropriate self-regulatory organization, or if there is none, to the Commission. Fraiman consented to the issuance of the Order. (Rel. 34-70678; see also Rel. LR-22836) In the Matter of James C. Mulholland, Jr.The Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions against James C. Mulholland, Jr. The Order finds that on October 4, 2013, a judgment was entered by consent against Mulholland, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder in the civil action Securities and Exchange Commission v. James C. Mulholland, Jr. and Thomas S. Mulholland, Civil Action No. 12-cv-14663, filed in the United States District Court for the Eastern District of Michigan. In the Order, the SEC finds that the SEC's complaint, filed on October 22, 2012, alleged that from January 2009 through January 2010, James C. Mulholland, Jr, along with his brother Thomas S. Mulholland, offered and sold approximately $2 million of demand notes to approximately 75 investors to fund the Mulhollands’ failing real estate business, which involved buying, maintaining, and renting residential real estate in Michigan. The Mulhollands told these investors that their real estate business was profitable, they would earn 7% per year on their investment, the returns would be generated by profits of the real estate business, and that the investors could get their money back upon 30 days’ written notice. The SEC also alleged that the Mulhollands acted as unregistered broker-dealers in connection with the offer and sale of the demand notes. The SEC’s complaint further alleges that the Mulhollands lied to investors about their financial condition and never told investors that they were experiencing financial hardship, that they were having difficulty meeting financial obligations critical to the real estate operation, or that they were contemplating filing for bankruptcy. Based on the above, the Order bars Mulholland from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and bars Mulholland from participating in any offering of a penny stock. Mulholland consented to the issuance of the Order. (Rel. 34-70679) In the Matter of Thomas S. MulhollandThe Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions against Thomas S. Mulholland. The Order finds that on October 4, 2013, a judgment was entered by consent against Mulholland, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder in the civil action Securities and Exchange Commission v. James C. Mulholland, Jr. and Thomas S. Mulholland, Civil Action No. 12-cv-14663, filed in the United States District Court for the Eastern District of Michigan. In the Order, the SEC finds that the SEC's complaint, filed on October 22, 2012, alleged that from January 2009 through January 2010, Thomas S. Mulholland, along with his brother James C. Mulholland, Jr., offered and sold approximately $2 million of demand notes to approximately 75 investors to fund the Mulhollands’ failing real estate business, which involved buying, maintaining, and renting residential real estate in Michigan. The Mulhollands told these investors that their real estate business was profitable, they would earn 7% per year on their investment, the returns would be generated by profits of the real estate business, and that the investors could get their money back upon 30 days’ written notice. The SEC also alleged that the Mulhollands acted as unregistered broker-dealers in connection with the offer and sale of the demand notes. The SEC’s complaint further alleges that the Mulhollands lied to investors about their financial condition and never told investors that they were experiencing financial hardship, that they were having difficulty meeting financial obligations critical to the real estate operation, or that they were contemplating filing for bankruptcy. Based on the above, the Order bars Mulholland from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and bars Mulholland from participating in any offering of a penny stock. Mulholland consented to the issuance of the Order. (Rel. 34-70680) SELF-REGULATORY ORGANIZATIONImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-38) 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 October 14th. (Rel. 34-70669) A proposed rule change filed by BATS Exchange, Inc. related to fees for use of BATS Exchange, Inc. (SR-BATS-2013-054) 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 October 14th. (Rel. 34-70664) A proposed rule change filed by BATS Y-Exchange, Inc. related to fees for use of BATS Y-Exchange, Inc. (SR-BYX-2013-035) 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 October 14th. (Rel. 34-70665) A proposed rule change filed by BATS Y-Exchange, Inc. related to fees for use of BATS Y-Exchange, Inc. (SR-BYX-2013-034) 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 October 14th. (Rel. 34-70666) A proposed rule change filed by NASDAQ OMX PHLX clarifying Rule 1014 regarding daily quoting obligations (SR-Phlx-2013-99) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 14th. (Rel. 34-70673) A proposed rule change filed by BOX Options Exchange LLC to amend Interpretive Material to Rule 5050 and Rule 6090 (SR-BOX-2013-48) 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 October 14th. (Rel. 34-70668) A proposed rule change filed by BOX Options Exchange LLC to amend BOX Rule 3130 (Exemptions from Position Limits) (SR-BOX-2013-46) 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 October 14th. (Rel. 34-70671) A proposed rule change filed by BOX Options Exchange LLC to amend BOX Rule 8040 (SR-BOX-2013-47) 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 October 14th. (Rel. 34-70672) A proposed rule change filed by NYSE Arca, Inc. adding a new rule to adopt price protection filters for Electronic Complex Orders (SR-NYSEArca-2013-103) 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 October 14th. (Rel. 34-70677) A proposed rule change filed by NYSE MKT LLC Adding a New Rule to Adopt Price Protection Filters for Electronic Complex Orders (SR-NYSEMKT-2013-80) 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 October 14th. (Rel. 34-70674) A proposed rule change filed by the Topaz Exchange, LLC (SR-Topaz-2013-08) to amend the Schedule of Fees 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 October 14th. (Rel. 34-70670) Notice of Proposed Rule ChangeThe Financial Industry Regulatory Authority, Inc. filed a proposed rule change (SR-FINRA-2013-042) pursuant to Section 19(b)(1) of the Securities Exchange to require alternative trading systems to report volume information to FINRA and use unique market participant identifiers. Publication is expected in the Federal Register during the week of October 14th. (Rel. 34-70676) Approval of a Proposed Rule ChangeThe Commission has approved a proposed rule change (SR-DTC-2013-10) filed by The Depository Trust Corporation (DTC) under Section 19(b)(1) of the Securities Exchange Act of 1934 to terminate the Sealed Envelope Service, which is part of DTC’s Custody Service. Publication is expected in the Federal Register during the week of October 14th. (Rel. 34-70675) 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.
F-7 CARMANAH TECHNOLOGIES CORP, 250 BAY STREET, VICTORIA, A1, V9X 3K5,
1-877-722-8877 - 50,294,200 ($5,842,174.27) Equity, (File 333-191650 -
Oct. 10) (BR. 10A)
S-4 FIRST COMMUNITY CORP /SC/, 5455 SUNSET BLVD, LEXINGTON, SC, 29072,
8032538875 - 0 ($9,480,360.00) Equity, (File 333-191652 - Oct. 10)
(BR. 07B)
F-1 Dynagas LNG Partners LP, 94, POSEIDONOS AVE. & 2 NIKIS STREET,
P.O BOX 70303, ATHENS, J3, 166-75, 011 30 210 891 7700 -
0 ($150,000,000.00) Equity, (File 333-191653 - Oct. 10) (BR. 05B)
S-1 Blue Water Global Group, Inc., 202 OSMANTHUS WAY, CANTON, GA, 30114,
949-264-1475 - 20,000,000 ($480,000.00) Equity, (File 333-191654 -
Oct. 10) (BR. 05C)
S-3 Opexa Therapeutics, Inc., 2635 TECHNOLOGY FOREST BLVD., THE WOODLANDS,
TX, 77381, (281) 272-9331 - 1,714,697 ($3,540,849.00) Equity,
(File 333-191655 - Oct. 10) (BR. 01B)
S-1 NATIONAL HOLDINGS CORP, 120 BROADWAY, 27TH FLOOR, NEW YORK, NY, 10271,
212-417-8000 - 10,583,330 ($4,127,499.00) Equity, (File 333-191662 -
Oct. 10) (BR. 12)
S-8 LDR HOLDING CORP, 13785 RESEARCH BOULEVARD, SUITE 200, AUSTIN, TX,
78750, 512-344-3333 - 0 ($20,984,935.00) Equity, (File 333-191663 -
Oct. 10) (BR. 10A)
S-8 AMERICAN SOFTWARE INC, 470 E PACES FERRY RD NE, ATLANTA, GA, 30305,
4042614381 - 1,376,143 ($10,224,000.00) Debt, (File 333-191664 -
Oct. 10) (BR. 03A)
S-8 WORTHINGTON INDUSTRIES INC, 200 OLD WILSON BRIDGE ROAD, COLUMBUS, OH,
43085, 6144383210 - 2,000,000 ($70,740,000.00) Equity,
(File 333-191668 - Oct. 10) (BR. 06B)
S-4 Independent Bank Group, Inc., 1600 REDBUD BOULEVARD, SUITE 400,
MCKINNEY, TX, 75069, (972) 562-9004 - 0 ($4,288,467.68) Equity,
(File 333-191670 - Oct. 10) (BR. 07)
S-8 EZCORP INC, 1901 CAPITAL PKWY, AUSTIN, TX, 78746, 5123143400 -
270,000 ($4,274,100.00) Equity, (File 333-191671 - Oct. 10) (BR. 02C)
S-8 Regado Biosciences Inc, 120 MOUNTAIN VIEW BOULEVARD, BASKING RIDGE, NJ,
00000, 908.580.2111 - 0 ($20,822,544.00) Equity, (File 333-191672 -
Oct. 10) (BR. 01B)
S-3ASR XCEL ENERGY INC, 800 NICOLLET MALL, MINNEAPOLIS, MN, 55402,
6123305500 - 0 ($1.00) Equity, (File 333-191673 - Oct. 10) (BR. 02C)
S-8 QTS Realty Trust, Inc., 12851 FOSTER STREET, SUITE 205, OVERLAND PARK,
KS, 66213, 913-814-9988 - 0 ($38,342,500.00) Equity, (File 333-191674 -
Oct. 10) (BR. 08C)
S-8 EZCORP INC, 1901 CAPITAL PKWY, AUSTIN, TX, 78746, 5123143400 -
100 ($1,583.00) Equity, (File 333-191675 - Oct. 10) (BR. 02C)
S-8 Western Refining Logistics, LP, 123 W. MILLS AVENUE, SUITE 101,
EL PASO, TX, 79901, 915-534-1400 -
4,500,000 ($99,000,000.00) Limited Partnership Interests,
(File 333-191676 - Oct. 10) (BR. 04A)
S-8 EZCORP INC, 1901 CAPITAL PKWY, AUSTIN, TX, 78746, 5123143400 -
945,313 ($14,964,304.79) Equity, (File 333-191677 - Oct. 10) (BR. 02C)
S-3 Central Originating Lease Trust II, 1011 CENTRE ROAD, SUITE 200,
WILMINGTON, DE, 19805, 313-656-5500 -
0 ($1.00) Asset-Backed Securities, (File 333-191678 - Oct. 10) (BR. )
S-3 APRICUS BIOSCIENCES, INC., 11975 EL CAMINO REAL,, SUITE 300,
SAN DIEGO,, CA, 92130, (858) 222-8041 - 395,018 ($853,238.88) Equity,
(File 333-191679 - Oct. 10) (BR. 01B)
S-8 APRICUS BIOSCIENCES, INC., 11975 EL CAMINO REAL,, SUITE 300,
SAN DIEGO,, CA, 92130, (858) 222-8041 - 0 ($2,160,000.00) Equity,
(File 333-191680 - Oct. 10) (BR. 01B)
S-1 NAKED BRAND GROUP INC., #2 34346 MANUFACTURERS WAY, ABBOTSFORD, A1,
V2S 7M1, 604-855-4767 - 8,729,500 ($2,060,162.00) Equity,
(File 333-191681 - Oct. 10) (BR. 09B)
S-1 ANAVEX LIFE SCIENCES CORP., 1600 ? 609 GRANVILLE STREET, VANCOUVER, A1,
V7Y 1C3, 800-689-3939 - 9,975,267 ($6,483,923.00) Equity,
(File 333-191682 - Oct. 10) (BR. 01A)
S-1 LTN Staffing, LLC, 14900 LANDMARK BLVD, SUITE 300, DALLAS, TX, 75254,
972-692-2422 - 229,450 ($2,294.00) Equity, (File 333-191683 - Oct. 10)
(BR. 11C)
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
AASTROM BIOSCIENCES INC MI 5.03,5.07,8.01,9.01 10/07/13
Abtech Holdings, Inc. NV 1.01,9.01 10/08/13
ACHILLION PHARMACEUTICALS INC DE 8.01 10/08/13
AFC ENTERPRISES INC MN 1.01,5.02,9.01 10/09/13
Affinion Group Holdings, Inc. DE 8.01 10/10/13
AKORN INC LA 1.01,2.03,5.03,9.01 10/04/13
ALASKA AIR GROUP, INC. DE 7.01,8.01,9.01 10/10/13
ALCO STORES INC KS 8.01,9.01 10/10/13
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 10/10/13
ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 10/09/13
ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 10/09/13
AMERICAN APPAREL, INC DE 2.02,9.01 10/10/13
AMERICAN EAGLE ENERGY Corp NV 1.01,8.01,9.01 10/09/13
AMERICAN ORIENTAL BIOENGINEERING INC CO 5.03,9.01 10/07/13
American Realty Capital Properties, I MD 8.01,9.01 10/10/13
AMERICAN RIVER BANKSHARES CA 7.01,9.01 10/10/13
AMERICAN SPECTRUM REALTY INC MD 5.02,9.01 10/09/13
AMERIGAS PARTNERS LP DE 5.02,9.01 10/04/13
AMERISOURCEBERGEN CORP DE 1.01,9.01 10/07/13
ANGIODYNAMICS INC DE 2.02,9.01 10/10/13
ANWORTH MORTGAGE ASSET CORP MD 3.03,8.01,9.01 10/10/13
API Technologies Corp. DE 1.01,9.01 10/10/13
API Technologies Corp. DE 2.02,9.01 10/09/13
AQUA AMERICA INC PA 5.02 10/04/13
ARC Group Worldwide, Inc. UT 3.01,5.02,8.01 10/04/13
ARC Group Worldwide, Inc. UT 8.01,9.01 10/10/13
Arcis Resources Corp NV 5.02 10/10/13
ARES CAPITAL CORP MD 7.01,9.01 10/10/13
ARROWHEAD RESEARCH CORP DE 1.01,3.02,5.03,
8.01,9.01 10/08/13
ASIA PROPERTIES INC NV 1.02,5.02,9.01 10/10/13
Athlon Energy Inc. DE 5.02,9.01 10/10/13
Avatar Ventures Corp. NV 1.02,5.02 09/30/13
AVIV REIT, INC. MD 7.01,8.01,9.01 10/10/13
BAKKEN RESOURCES INC NV 5.07 10/07/13
BANC OF CALIFORNIA, INC. MD 2.01,8.01,9.01 10/04/13
BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 10/09/13
BANK OF SOUTH CAROLINA CORP SC 2.02,9.01 10/10/13
Banyan Rail Services Inc. DE 5.02 10/04/13
BARRY R G CORP /OH/ OH 5.02 10/04/13
BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 10/10/13
Behringer Harvard Opportunity REIT I, MD 5.07 10/09/13
Big Tree Group, Inc. CO 5.02,9.01 10/08/13
BISON PETROLEUM, CORP. NV 8.01,9.01 10/02/13
BJs RESTAURANTS INC CA 8.01,9.01 10/10/13
BLACKHAWK NETWORK HOLDINGS, INC DE 2.02,9.01 10/10/13
BROWN SHOE CO INC NY 5.02,5.03,9.01 10/10/13
BRT REALTY TRUST MA 8.01,9.01 10/04/13
BUCKEYE PARTNERS, L.P. DE 1.01,7.01,9.01 10/09/13
CAMPBELL FUND TRUST DE 3.02 10/10/13
CANADIAN DERIVATIVES CLEARING CORP A6 9.01 09/30/13
CEL SCI CORP CO 1.01,8.01,9.01 10/08/13
Cellular Biomedicine Group, Inc. DE 5.02 10/04/13
Chanticleer Holdings, Inc. DE 1.01,3.02,9.01 10/07/13
Chelsea Therapeutics International, L DE 8.01,9.01 10/09/13
Chelsea Therapeutics International, L DE 8.01 10/09/13
Chemtura CORP DE 1.01,7.01,9.01 10/09/13
CHESAPEAKE ENERGY CORP OK 7.01,9.01 10/07/13
CHINA FUND INC MD 7.01,9.01 09/30/13
Chrysler Group LLC DE 5.02,9.01 10/10/13
Coeur Mining, Inc. DE 2.02,9.01 10/10/13
COLUMBIA PROPERTY TRUST, INC. MD 8.01,9.01 10/10/13
COMARCO INC CA 5.02 10/04/13
COMMUNITY HEALTH SYSTEMS INC DE 8.01,9.01 10/09/13
Compass Diversified Holdings DE 8.01,9.01 10/10/13
CONNECTICUT WATER SERVICE INC / CT CT 5.02,9.01 10/10/13
CONTINENTAL MATERIALS CORP DE 5.07 05/24/13 AMEND
CoroWare, Inc, DE 8.01 10/03/13
Crestwood Equity Partners LP DE 2.01,3.02,3.03,
5.02,5.03,9.01 10/04/13
Crestwood Midstream Partners LP DE 1.01,1.02,2.01,2.03,
3.03,4.01,5.02,5.03,
9.01 10/04/13
Cyalume Technologies Holdings, Inc. DE 5.02,9.01 10/10/13
CYCLONE POWER TECHNOLOGIES INC FL 1.01,9.01 10/07/13
Cytosorbents Corp NV 1.01,2.03,3.02,9.01 09/30/13
DARLING INTERNATIONAL INC DE 1.01,9.01 10/05/13
DDR CORP OH 7.01 10/10/13
Destination Maternity Corp DE 2.02,9.01 10/10/13
Digital Cinema Destinations Corp. DE 8.01,9.01 10/10/13
Diligent Board Member Services, Inc. DE 2.02,9.01 10/10/13
DLH Holdings Corp. NJ 8.01 10/10/13
DORCHESTER MINERALS, L.P. DE 2.02,7.01,9.01 10/10/13
DOUBLE CROWN RESOURCES INC. NV 5.02,9.01 10/10/13
Dryrock Funding LLC DE 8.01,9.01 10/10/13
DS HEALTHCARE GROUP, INC. FL 4.01,9.01 10/04/13
E2open Inc DE 2.02,9.01 10/10/13
E2open Inc DE 1.01,9.01 10/07/13
E2open Inc DE 2.01,9.01 07/30/13 AMEND
EMMIS COMMUNICATIONS CORP IN 2.02,9.01 10/10/13
EOG RESOURCES INC DE 7.01 10/10/13
Epicor Software Corp 5.02 10/04/13
EXOPACK HOLDING CORP 8.01,9.01 10/10/13
Federal Home Loan Bank of Atlanta X1 2.03 10/07/13
Federal Home Loan Bank of Boston X1 2.03 10/07/13
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/07/13
Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/08/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/07/13
Federal Home Loan Bank of New York X1 2.03,9.01 10/07/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/07/13
Federal Home Loan Bank of San Francis X1 2.03 10/08/13
Fifth Street Senior Floating Rate Cor DE 2.02,8.01,9.01 10/10/13
GALECTIN THERAPEUTICS INC NV 7.01,9.01 10/10/13
Gaming Partners International CORP NV 8.01 10/04/13
GAP INC DE 7.01,9.01 10/10/13
Genius Brands International, Inc. NV 5.07 10/08/13
GeoVax Labs, Inc. DE 8.01,9.01 10/09/13
GLOBAL PAYMENTS INC GA 8.01 10/07/13
GLU MOBILE INC DE 5.02,5.03,9.01 10/09/13
Go Public, Inc. DE 1.01,5.01,5.02 10/09/13
GOLD RESOURCE CORP CO 5.02,9.01 10/06/13
Green Ballast, Inc. DE 1.01,2.03 10/04/13
GRIFFIN LAND & NURSERIES INC DE 2.02,9.01 10/10/13
GROWLIFE, INC. DE 7.01,9.01 01/23/13
GUIDED THERAPEUTICS INC DE 7.01,9.01 10/10/13
GULF ISLAND FABRICATION INC LA 8.01,9.01 10/10/13
HEIDRICK & STRUGGLES INTERNATIONAL IN DE 1.01,9.01 10/07/13
Hi-Crush Partners LP de 1.01,8.01,9.01 10/08/13
Hudson Pacific Properties, Inc. MD 9.01 10/10/13
HUNTINGTON BANCSHARES INC/MD MD 7.01,9.01 10/09/13
IGATE CORP PA 2.02,9.01 10/10/13
Inland American Real Estate Trust, In MD 8.01 10/10/13
INTERNATIONAL BARRIER TECHNOLOGY INC A1 7.01,9.01 10/09/13
Invesco Ltd. D0 7.01,9.01 10/09/13
IRON MOUNTAIN INC DE 5.02 10/04/13
JANEL WORLD TRADE LTD NV 1.01,3.02,5.01,
8.01,9.01 10/06/13
Jefferies Group LLC DE 7.01,9.01 10/10/13
JTH Holding, Inc. DE 5.02,9.01 10/07/13
K12 INC DE 2.02,8.01,9.01 10/10/13
KULICKE & SOFFA INDUSTRIES INC PA 5.02,9.01 10/09/13
KULICKE & SOFFA INDUSTRIES INC PA 1.01,5.02,9.01 10/10/13
L Brands, Inc. DE 8.01,9.01 10/10/13
LASERLOCK TECHNOLOGIES INC NV 5.08 10/04/13
Liberty Interactive Corp 8.01,9.01 10/10/13
Liberty Media Corp DE 7.01,9.01 10/10/13
LIGHTBRIDGE Corp NV 5.02,7.01,9.01 10/10/13
LIME ENERGY CO. DE 3.03,5.03,9.01 10/10/13
LINDSAY CORP DE 2.02,9.01 10/10/13
LL&E ROYALTY TRUST TX 5.07,9.01 10/10/13
LYRIS, INC. 5.02,9.01 10/07/13
MAGELLAN MIDSTREAM PARTNERS LP DE 1.01,2.03,9.01 10/10/13
MAGNUM HUNTER RESOURCES CORP DE 8.01 10/09/13
MARRIOTT VACATIONS WORLDWIDE Corp DE 2.02,8.01,9.01 10/10/13
MATERIAL SCIENCES CORP DE 2.02,9.01 10/10/13
Memorial Production Partners LP DE 1.01,2.03,8.01,9.01 10/07/13
MENS WEARHOUSE INC TX 5.02,8.01,9.01 10/07/13
MERIT MEDICAL SYSTEMS INC UT 1.01,7.01,9.01 10/04/13
MICRON TECHNOLOGY INC DE 2.02,9.01 08/29/13
MILLER HERMAN INC MI 5.07 10/07/13 AMEND
MOHEGAN TRIBAL GAMING AUTHORITY 5.02 10/07/13 AMEND
MOTORCAR PARTS AMERICA INC NY 1.01,2.03,9.01 10/10/13
MPG Office Trust, Inc. 7.01,9.01 10/09/13
NAKED BRAND GROUP INC. NV 1.01,2.03,3.02,9.01 10/04/13
NAKED BRAND GROUP INC. NV 3.02,5.02,9.01 10/07/13 AMEND
Nano Labs Corp. CO 1.01,9.01 09/17/13
Neiman Marcus Group LTD Inc. DE 8.01 10/10/13
NETWORK 1 SECURITY SOLUTIONS INC DE 5.07,9.01 10/09/13
Neuralstem, Inc. DE 8.01,9.01 10/09/13
NEW ENERGY TECHNOLOGIES, INC. 1.01,2.03,3.02,9.01 10/07/13
New Mountain Finance Corp DE 2.02 10/10/13
New Source Energy Partners L.P. DE 1.01,2.01,3.02,
7.01,9.01 10/04/13
NEWFIELD EXPLORATION CO /DE/ DE 8.01 08/13/13
NORWOOD FINANCIAL CORP PA 8.01,9.01 10/10/13
Omagine, Inc. DE 8.01 10/10/13
ORGANOVO HOLDINGS, INC. DE 8.01 10/10/13
PALL CORP NY 8.01,9.01 10/08/13
PARKWAY PROPERTIES INC MD 1.01,9.01 10/04/13
Patriot Coal CORP DE 7.01,9.01 10/09/13
PEABODY ENERGY CORP DE 1.01,9.01 10/04/13
Pebblebrook Hotel Trust MD 7.01 10/10/13
PERCEPTRON INC/MI MI 3.01 10/10/13
PERMA FIX ENVIRONMENTAL SERVICES INC DE 5.02,5.03,9.01 10/04/13
PERRIGO CO MI 8.01,9.01 10/09/13
PINNACLE ENTERTAINMENT INC. DE 1.01 10/09/13
PVR PARTNERS, L. P. DE 1.01,9.01 10/09/13
PVR PARTNERS, L. P. DE 8.01,9.01 10/09/13
PYRAMID OIL CO CA 5.02,9.01 10/08/13
QUAINT OAK BANCORP INC 7.01,9.01 10/09/13
QUEST DIAGNOSTICS INC DE 2.02,9.01 10/10/13
RCS Capital Corp DE 8.01,9.01 10/10/13
RE/MAX Holdings, Inc. DE 5.02 10/07/13
Regency Energy Partners LP DE 1.01,9.01 10/09/13
Regency Energy Partners LP DE 7.01,8.01,9.01 10/09/13
REPUBLIC SERVICES, INC. DE 5.02,9.01 10/10/13
REVA Medical, Inc. DE 7.01,9.01 10/10/13
Reven Housing REIT, Inc. CO 1.01,9.01 10/04/13
RICHARDSON ELECTRONICS LTD/DE DE 5.07 10/08/13
RIVIERA HOLDINGS CORP NV 5.02 10/04/13
ROLLINS INC DE 8.01,9.01 10/09/13
Rosetta Resources Inc. DE 5.02,9.01 10/09/13
RUBY TUESDAY INC GA 1.01,5.02,5.07,9.01 10/07/13
SAExploration Holdings, Inc. DE 9.01 06/24/13 AMEND
SAFEWAY INC DE 2.02,9.01 10/10/13
Sanchez Energy Corp DE 2.01,7.01,9.01 10/04/13
Sanwire Corp NV 1.01 10/10/13
SHFL entertainment Inc. MN 8.01,9.01 10/09/13
Shire plc 8.01,9.01 10/10/13
Silicon Graphics International Corp DE 2.02,9.01 10/10/13
SIRIUS XM RADIO INC. DE 8.01 10/09/13
SOCIAL REALITY DE 3.02 10/04/13
SOLARCITY CORP DE 1.01,3.02,9.01 10/08/13
Southcross Energy Partners, L.P. DE 2.02,9.01 10/10/13
SPINDLE, INC. NV 9.01 03/20/13 AMEND
Spirit Airlines, Inc. DE 2.02,7.01,9.01 10/10/13
STAG Industrial, Inc. 1.01,2.03,9.01 10/07/13
STEELCASE INC MI 5.02,9.01 10/09/13
STONE ENERGY CORP DE 5.02,7.01,9.01 10/07/13
STRATTEC SECURITY CORP WI 1.01,7.01,9.01 10/08/13
SUNGARD CAPITAL CORP DE 5.02 10/07/13
SUNTRUST BANKS INC GA 1.01,2.02,8.01,9.01 10/10/13
SYNOVUS FINANCIAL CORP GA 5.02 10/06/13
TASER INTERNATIONAL INC 8.01,9.01 10/10/13
Teamupsport Inc. NV 1.01,2.01,3.02,4.01,
5.01,5.03,5.06,5.07,
9.01 10/04/13
TECHNICAL COMMUNICATIONS CORP MA 1.01,9.01 10/08/13
Texas Rare Earth Resources Corp. DE 7.01,9.01 10/08/13
TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 10/10/13
Two Harbors Investment Corp. 3.01,8.01,9.01 10/07/13
UMB FINANCIAL CORP MO 7.01,9.01 10/09/13
United States 12 Month Natural Gas Fu 1.01,9.01 10/10/13
United States 12 Month Oil Fund, LP 1.01,9.01 10/10/13
United States Brent Oil Fund, LP DE 1.01,9.01 10/10/13
United States Diesel-Heating Oil Fund DE 1.01,9.01 10/10/13
United States Gasoline Fund, LP DE 1.01,9.01 10/10/13
United States Natural Gas Fund, LP 1.01,9.01 10/10/13
United States Oil Fund, LP DE 1.01,9.01 10/10/13
United States Short Oil Fund, LP DE 1.01,9.01 10/10/13
UNIVERSAL TECHNICAL INSTITUTE INC DE 5.02,9.01 09/05/13 AMEND
URS CORP /NEW/ DE 8.01,9.01 10/10/13
Vantage Health NV 5.02 08/15/13
Vantage Health NV 1.01,9.01 10/09/13
Voice Assist, Inc. NV 1.01 10/10/13
VONAGE HOLDINGS CORP DE 1.01,3.02,9.01 10/09/13
VSB BANCORP INC NY 2.02,9.01 10/09/13
WAVE SYSTEMS CORP DE 5.02,8.01,9.01 10/06/13
Wendy's Co DE 2.01,9.01 10/10/13 AMEND
Western Refining, Inc. DE 7.01,9.01 10/10/13
WHITE MOUNTAIN TITANIUM CORP NV 7.01,8.01,9.01 10/07/13
WINNEBAGO INDUSTRIES INC IA 7.01,9.01 10/10/13
WMI HOLDINGS CORP. WA 7.01,9.01 10/10/13
WPCS INTERNATIONAL INC DE 2.04,3.01,9.01 10/07/13
http://www.sec.gov/news/digest/2013/dig101113.htm
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