 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
Commission announcementsCommission MeetingsClosed Meeting on Thursday, October 24, 2013 at 11:00 a.m. The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; adjudicatory matters; amicus consideration; and other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGSCommission Halts Pyramid Scheme Targeting Asian-American CommunityThe Securities and Exchange Commission (Commission) today announced charges and asset freezes against the operators and promoters of a worldwide pyramid scheme that falsely promises exponential, risk-free returns to investors in a venture that purportedly sells Internet-based children’s educational courses. The SEC alleges that five entities based in Hong Kong, Canada, and the British Virgin Islands that collectively operate under business names “CKB” and “CKB168” are at the center of the scheme. Through the efforts of three CKB executives who live overseas and several promoters living in the U.S., the scheme has ensnared at least 400 investors in New York, California, and other areas with large Asian-American communities. These promoters have raised more than $20 million from U.S. investors, and millions of dollars more from investors in Canada, Taiwan, Hong Kong, and other countries in Asia. According to the SEC’s complaint unsealed late yesterday in U.S. District Court for the Eastern District of New York, the scheme’s promotional efforts seek to exploit close connections among members of the Asian-American community. The scheme’s operators and promoters use Internet videos, promotional materials, and seminars to create the appearance of a legitimate enterprise. But in reality, CKB has little or no real-world retail consumer sales to generate the extraordinary returns promised to investors. In fact, CKB has no apparent source of revenue other than money received from new investors. Bank records show that the bulk of the money raised has been paid out to accounts controlled by CKB executives and as commissions to promoters of the pyramid scheme. The court has granted the SEC’s request for an asset freeze against the CKB entities and the operators and promoters charged in the SEC’s complaint. “CKB’s operators and promoters profited by abusing relationships of trust within the Asian-American community and promising investors they can earn more money by recruiting other investors instead of selling actual products,” said Antonia Chion, an associate director in the SEC’s Division of Enforcement. “What CKB really sells is the false promise of easy wealth.” The SEC issued an investor alert today warning investors about the dangers of potential investment scams involving pyramid schemes posing as multi-level marketing programs. The SEC’s complaint charges three CKB executives:
The SEC’s complaint charges eight CKB promoters in the U.S.:
According to the SEC’s complaint, after David Guo and Yao Lin began recruiting investors in the New York area in mid-2011, the CKB scheme quickly expanded to California and other areas with large Asian-American communities. David Guo, Yao Lin, Rayla Santos, and Howard Shern appear in presentations recorded in San Francisco and Los Angeles, where they recruited energetic and highly visible promoters who have organized seminars and meetings nationwide. They maintained a robust Internet presence, recorded and posted numerous promotional videos, and organized and executed the transfer of CKB investor funds. The SEC alleges that CKB represents that potential purchasers of its educational products must invest in CKB to get one of its courses. In addition to the course, they receive “Profit Reward Points” upon their initial investment and are told they can earn money once those points increase in value or pay dividends. They are promised even larger returns by converting their points into shares of CKB stock when the company conducts a promised IPO on the Hong Kong Stock Exchange in 2014. According to the SEC’s complaint, however, Profit Rewards Points are not the only incentive for investors, who are told that they will be able to make even more money through commissions and bonuses by recruiting new investors. The scheme’s ultimate goal is to turn investors into recruiters. In fact, active recruitment is the only real way for investors to make actual money in the scheme. For instance, Kiki Lin exemplified the pitch in a videotaped recording posted to the Internet, telling potential investors that in the “pyramid triangle system, we spread it from one to ten, and ten to hundred, and hundred to thousand, thousand to ten thousand.” Kiki Lin later added, “And for those who really want to make money, who are really hard working, in a short time you would all be like John,” who she claimed “made money to buy five houses in Las Vegas.” The complaint alleges that the investments in CKB constitute securities, and the securities offerings were not registered with the SEC as required under the federal securities laws. The SEC’s complaint charges the CKB entities, three executives, and eight promoters with violations of the antifraud and securities registrations provisions of the federal securities laws. Nine of the individuals are charged with violating the broker-dealer registration provisions. The SEC seeks disgorgement of ill-gotten gains, financial penalties, permanent injunctions, and other relief. The Honorable Roslynn Mauskopf granted the SEC’s request for a temporary restraining order, asset freeze, and other emergency relief against the 16 defendants as well as seven entities controlled by the U.S. promoters that are named as relief defendants in the SEC’s complaint for the purpose of recovering ill-gotten proceeds from the alleged fraud. The SEC’s investigation was conducted by Devon Staren, Kam Lee, Pamela Nolan, and Stacy Bogert. The case was supervised by Alexander Koch. The SEC’s litigation will be led by Daniel Maher. The SEC appreciates the assistance of the Hong Kong Securities and Futures Commission, Ontario Securities Commission, British Columbia Securities Commission, and Malaysia Securities Commission. The SEC’s investor alert, also available in Chinese, describes telltale signs of a pyramid scheme. “Investors should be suspicious of any investment opportunity pitched as a way to ‘get rich quick’ or to earn ‘easy money.’ Guaranteed sky-high returns in a short time frame are the hallmark of investment fraud,” said Lori J. Schock, director of the SEC’s Office of Investor Education and Advocacy. (Press Rel. 2013-223; LR-22846) Commission Revokes Registration of Securities of Three Respondents by Default for Failure to Make Required Periodic FilingsAn Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) in Anhui Taiyang Poultry Co., Admin. Proc. File No. 3-15452. The Order Instituting Proceedings alleged that Anhui Taiyang Poultry Co., Inc., a/k/a The Parkview Group, Inc., Business Development Solutions, Inc., and Tsingyuan Brewery Ltd. 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. 34-70699) Commission Revokes Registration of Securities of American Energy Production, Inc. for Failure to Make Required Periodic FilingsThe Commission revoked the registration of each class of registered securities of American Energy Production, Inc. (AENP) 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, AENP 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 American Energy Production, 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 AENP’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against AENP in In the Matter of American Energy Production, Inc., et al., Administrative Proceeding File No. 3-15496. 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. 34-70700) Court Enters Final Judgment By Consent Against Defendant Ronald Baldwin, Jr.The Commission announced today that a Massachusetts federal court entered a final judgment by consent on October 16, 2013 against Ronald Baldwin, Jr. (Baldwin), the only remaining defendant in a fraud action filed by the Commission in 2012. The Commission alleged in its complaint that JBI, Inc. (JBI), its CEO, John Bordynuik (Bordynuik), and its former CFO, Baldwin, engaged in a scheme to commit securities and accounting fraud in 2009. In the consent judgment, the Court ordered Baldwin to pay $25,000 in civil monetary penalties. The final judgment against Baldwin successfully concludes this litigation, as the Court has previously entered final judgments against JBI and Bordynuik. The Commission filed its action on January 4, 2012, alleging that during two reporting periods in 2009 and in contravention of Generally Accepted Accounting Principles (GAAP), JBI stated materially false and inaccurate financial information on its financial statements. The Complaint alleged that the defendants misrepresented and overstated the actual value of certain assets, known as media credits, by almost 1,000%, in an effort to bolster JBI’s balance sheet. JBI then used the overvalued financial statements in two private capital raising efforts (Private Investment in Public Equity or PIPES) that raised over $8.4 million from unwitting investors just before the company issued a public statement indicating its financial statements could no longer be relied upon, in part, due to the erroneous valuation of the media credits and other assets on the balance sheet. According to the Complaint, despite being aware of the issues regarding the valuation of the media credits, and of the significance of the value of the media credits for JBI’s balance sheets and other financials, Baldwin failed to conduct any reasonable due diligence on the appropriate accounting for the media credits when he certified the financial statements contained in JBI’s Form 10-K for the year ended 2009. In addition, the Complaint alleged that Baldwin misrepresented JBI’s financial position during a presentation to shareholders after JBI filed the Form 10-K. Without admitting or denying the allegations in the Commission’s complaint, Baldwin consented to a final judgment entered by the Court. The final judgment permanently enjoins Baldwin from violating Section 17(a) of the Securities Act of 1933 (Securities Act) and Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5, 13b2-1 and 13a-14 thereunder, and aiding and abetting violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act and Rules 12b-20 and 13a-1 thereunder, and orders Baldwin to pay a civil penalty of $25,000. Baldwin is also barred for five years from acting as an officer or director of a public company. The Commission considered Baldwin’s financial condition as part of its agreement to accept a $25,000 civil penalty. The Court previously entered final judgments by consent against JBI (on March 20, 2013) and Bordynuik (on June 26, 2013). JBI was ordered to pay a civil monetary penalty of $150,000 and Bordynuik was ordered to pay a penalty of $110,000. Bordynuik was also barred for five years from acting as an officer or director of a public company. [SEC v. JBI, Inc., John Bordynuik and Ronald Baldwin, Jr., C.A. No. 1:12-cv-10012-RBC (D. Mass.)] (LR-22847) In the Matter of Gignesh MovaliaOn October 17, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (“Order”) against Gignesh Movalia (“Movalia”). On October 9, 2013, the United States District Court for the Southern District of Florida entered a judgment by consent against Movalia in the civil action entitled Securities and Exchange Commission v. OM Investment Management, LLC, et al., Case No. 13-cv-23486-JEM, permanently enjoining Movalia from future violations of Sections 5(a), 5(c), and 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), 206(4), and 207 of the Advisers Act and Rule 206(4)-8 thereunder; and from aiding and abetting future violations of Sections 203A and 206(4) of the Advisers Act and Rule 206(4)-2 thereunder, and Section 7(a) of the Investment Company Act of 1940. The Commission’s complaint alleged, inter alia, that Movalia, as an investment adviser to OM Global Investment Fund LLC (“OM Global”), engaged in fraudulent conduct, including making material misrepresentations and omissions concerning performance, net asset values, and portfolio composition, providing fabricated and misleading account statements, entering into undisclosed related party transactions, entering into unauthorized transactions, misrepresenting that the fund would conduct annual audits and utilize a third party administrator and sub-adviser, and misappropriating client funds. In addition, the Commission’s complaint alleged that Movalia made false filings with the Commission, failed to register OM Global and the offer and sale of its securities with the Commission, improperly registered OM Investment Management LLC as an investment adviser with the Commission, and failed to have OM Management have a surprise annual examination or audited financial statements with respect to OM Global as required for registered investment advisers. Based on the above, the Order bars Movalia from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Movalia consented to the issuance of the Order without admitting or denying the findings except he admitted the entry of the judgment. (Rel. IA-3694) In the Matter of Edwin V. GawOn October 17, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (“Order”) against Edwin V. Gaw (“Gaw”). On October 9, 2013, the United States District Court for the Southern District of Florida entered a judgment by consent against Gaw in the civil action entitled Securities and Exchange Commission v. OM Investment Management, LLC, et al., Case No. 13-CV-23486-JEM, permanently enjoining Gaw from future violations of Sections 5(a), 5(c) and 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), 206(4) of the Advisers Act and Rule 206(4)-8 thereunder. The Commission’s complaint alleged, inter alia, that Gaw, as an investment adviser, made material misrepresentations and omissions concerning the composition of OM Global Investment Fund LLC, misrepresented that the fund would conduct annual audits and utilize a third party administrator and sub-adviser, and entered into an unauthorized transaction. Based on the above, the Order bars Gaw from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Gaw consented to the issuance of the Order without admitting or denying the findings except he admitted the entry of the judgment. (Rel. IA-3695) Investment company AND INVESTMENT ADVISER NOTICES AND ordersPacific Life Insurance Company, et al.A notice has been issued giving interested persons until November 7, 2013 to request a hearing on an application filed by Pacific Life Insurance Company, et al. requesting an order pursuant to Section 26(c) of the Investment Company Act of 1940 (the “Act”) to permit substitution of shares of a registered management investment company with shares of another registered management investment company. (Rel. IC-30744) Davidson Kempner Capital Management LLCA notice has been issued giving interested persons until November 12, 2013, to request a hearing on an application filed by Davidson Kempner Capital Management LLC for an order to permit the applicant to receive compensation from three government entities for investment advisory services provided to the government entities within the two-year period following a contribution by a covered associate of the applicant to an official of the government entities. For further information contact: Melissa S. Gainor, Senior Counsel, or Sarah A. Buescher, Branch Chief, at (202) 551-6787 (Investment Adviser Regulation Office, Division of Investment Management). (IA-3693) Arden Investment Series Trust, et al.A notice has been issued giving interested persons until November 11, 2013, to request a hearing on an application filed by Arden Investment Series Trust (the “Trust”) and Arden Asset Management LLC (“Arden”) (collectively, the “Applicants”). Applicants request an order granting exemptions from the provisions of Sections 9(a), 13(a), 15(a), and 15(b) of the Investment Company Act of 1940 and Rules 6e-2(b)(15) and 6e-3(T)(b)(15) thereunder in cases where a life insurance company separate account supporting variable life insurance contracts (“VLI Accounts”) holds shares of Arden Variable Alternative Strategies Fund, an existing portfolio of the Trust (the “Existing Variable Fund”), or a “Future Variable Fund,” as defined below (any Existing Variable Fund or Future Variable Fund is referred to herein as a “Fund,” and collectively, the “Funds”), and one or more of the following other types of investors also hold shares of the Funds: (i) any life insurance company separate account supporting variable annuity contracts (“VA Accounts”); (ii) any VLI Account; (iii) trustees of qualified group pension or group retirement plans (“Plans” or “Qualified Plans”) outside the separate account context; (iv) the investment adviser or any subadviser to a Fund or affiliated persons of the adviser or subadviser (representing seed money investments in the Fund) (“Advisers”); and (v) any general account of an insurance company depositor of VA Accounts and/or VLI Accounts and affiliated persons of such insurance company (“General Accounts”). As used herein, a Future Variable Fund is any investment company (or investment portfolio or series thereof), other than an Existing Variable Fund, designed to be sold to VA Accounts and/or VLI Accounts and to which Applicants or their affiliates may in the future serve as investment advisers, investment subadvisers, investment managers, administrators, principal underwriters or sponsors. (Rel. IC-30745) Exemptive OrderssThe Commission issued an order pursuant to Section 36 of the Securities Exchange Act of 1934 to temporarily exempt broker-dealers until March 3, 2014 from the requirements of certain new amendments to the broker-dealer financial responsibility rules adopted in Exchange Act Release No. 70072 (Jul. 30, 2013), 78 FR 51824 (Aug. 21, 2013). Publication is expected in the Federal Register during the week of October 21, 2013. (Rel. 34-70701) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by CBOE Futures Exchange, LLC relating to the notification and reporting provisions for Exchange of Contract for Related Position Transactions and Block Trades (SR-CFE-2013-005) has become effective pursuant to Section 19(b)(7) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 14th. (Rel. 34-70611) A proposed rule change filed by Financial Industry Regulatory Authority, Inc. to require companies to allow FINRA members to use the FINRA/NYSE trade reporting facility to transfer transaction fees charged by one member to another member (SR-FINRA-2013-044) 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 21st. (Rel. 34-70702) A proposed rule change (SR-CBOE-2013-097) filed by the Chicago Board Options Exchange, Incorporated relating to the Customized Option Pricing Service has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected to be made in the Federal Register during the week of October 21st. (Rel. 34-70705). A proposed rule change filed by NYSE Arca, Inc. amending the NYSE Arca Options Fee Schedule relating to Market Maker and Lead Market Maker transaction credits (SR-NYSEArca-2013-102) 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 21st. (Rel. 34-70703) Approval of a Proposed Rule ChangeThe Commission has approved a proposed rule change (SR-OCC-2013-10) filed by The Options Clearing Corporation (OCC) under Section 19(b)(2) of the Securities Exchange Act of 1934 to amend Policy Statement adopted under Rule 205 entitled “Back-up Communication Channel to Internet Access”. Publication is expected in the Federal Register during the week of October 21st. (Rel. 34-70704) Notice of Filing Amendment No. 3 to an Advance NoticeNational Securities Clearing Corporation (NSCC) filed Amendment No. 3 to an advance notice (File No. SR-NSCC-2013-802) (Advance Notice), as previously modified by Amendment Nos. 1 and 2, under Section 806(e)(1) of the Payment, Clearing, and Settlement Supervision Act of 2010, in connection with a proposal to institute supplemental liquidity deposits to its Clearing Fund designed to increase liquidity resources to meet its liquidity needs. Release No. 34-69954 (Jul. 9, 2013), 78 FR 42127 (Jul. 15, 2013). NSCC also filed the proposal contained in the Advance Notice as proposed rule change SR-NSCC-2013-02 (Proposed Rule Change) under Section 19(b)(1) of the Securities and Exchange Act of 1934 and Rule 19b-4 thereunder. Release No. 34-69313 (Apr. 4, 2013), 78 FR 21487 (Apr. 10, 2013). On April 19, 2013, NSCC filed Amendment No. 1 to the Proposed Rule Change, which, on May 22, 2013, the Commission published notice of and designated a longer period of review for Commission action on the Proposed Rule Change, as modified by Amendment No. 1. Release No. 34-69620 (May 22, 2013), 78 FR 32292 (May 29, 2013). On June 11, 2013, NSCC filed Amendment No. 2 to the Proposed Rule Change, which the Commission published notice of with an order instituting proceedings to determine whether to approve or disapprove the Proposed Rule Change (Order Instituting Proceedings). Release No. 34-69951 (Jul. 9, 2013), 78 FR 42140 (Jul. 15, 2013). On September 25, 2013, the Commission designated a longer period of review for Commission action on the Order Instituting Proceedings. Release No. 34-70501 (Sep. 25, 2013), 78 FR 60347 (Oct. 1, 2013). On October 7, 2013, NSCC filed Amendment No. 3 to the Proposed Rule Change, as previously modified by Amendment Nos. 1 and 2. Release No. 34-70688 (Oct. 15, 2013). The proposal shall not take effect until all regulatory actions required with respect to the proposal are completed. The Commission will consider all public comments received on the proposal regardless of whether the comments are submitted in response to the Proposed Rule Change, as modified by Amendment Nos. 1, 2, and 3 (File No. SR-NSCC-2013-02) or the Advance Notice, as modified by Amendment Nos. 1, 2, and 3 (File No. SR-NSCC-2013-802). Publication is expected in the Federal Register during the week of October 21. (Rel. 34-70689) The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-3ASR Live Nation Entertainment, Inc., 9348 CIVIC CENTER DRIVE,
BEVERLY HILLS, CA, 90210, 310-867-7200 -
1,319,198 ($21,634,847.20) Equity, (File 333-190459 - Aug. 8) (BR. 05B)
S-8 CELLULAR DYNAMICS INTERNATIONAL, INC., 525 SCIENCE DRIVE, MADISON, WI,
53711, (608) 310-5100 - 2,444,191 ($23,211,886.36) Equity,
(File 333-190460 - Aug. 8) (BR. 01B)
S-1 Diamondback Energy, Inc., 500 WEST TEXAS, SUITE 1210, MIDLAND, TX,
79701, 405-463-6900 - 4,600,000 ($190,164,000.00) Equity,
(File 333-190462 - Aug. 8) (BR. 04A)
S-1 OXIGENE INC, 701 GATEWAY BLVD., SOUTH SAN FRANCISCO, CA, 94080,
650-635-7000 - 0 ($20,000,000.00) Equity, (File 333-190464 - Aug. 8)
(BR. 01B)
S-1 SOLAR WIND ENERGY TOWER, INC., 1997 ANNAPOLIS EXCHANGE BLVD.,
SUITE 300, ANNAPOLIS, MD, 21401, 410-972-4713 -
44,000,000 ($976,800.00) Equity, (File 333-190466 - Aug. 8) (BR. 09A)
S-8 PACCAR INC, PACCAR BUILDING, 777 106TH AVENUE NE, BELLEVUE, WA, 98004,
425 468 7383 - 0 ($678,900,000.00) Equity, (File 333-190467 - Aug. 8)
(BR. 05C)
S-8 CIMATRON LTD, 11 GUSH ETZION ST, GIVAT SHMUEL, ISRAEL 51905, L3, 00000,
9725312121 - 618,500 ($4,137,765.00) Equity, (File 333-190468 - Aug. 8)
(BR. 03B)
S-8 MAGAL SECURITY SYSTEMS LTD, P O BOX 70, INDUSTRIAL ZONE, YAHUD ISRAEL,
L3, 5600, 500,000 ($1,745,000.00) Equity, (File 333-190469 - Aug. 8)
(BR. 11C)
S-3ASR BROADRIDGE FINANCIAL SOLUTIONS, INC., 1981 MARCUS AVENUE, LAKE SUCCESS,
NY, 11042, 516-472-5400 - 0 ($0.00) Debt, (File 333-190470 - Aug. 8)
(BR. 02C)
S-8 Jones Energy, Inc., 807 LAS CIMAS PARKWAY, SUITE 350, AUSTIN, TX,
78746, 512-328-2953 - 0 ($54,092,500.00) Equity, (File 333-190471 -
Aug. 8) (BR. 04A)
S-8 NXP Semiconductors N.V., 31 40 27 43704 -
140,000 ($4,965,800.00) Equity, (File 333-190472 - Aug. 8) (BR. 10B)
S-8 NII HOLDINGS INC, 1875 EXPLORER ST., SUITE 1000, RESTON, VA, 20190,
7033905100 - 0 ($79,320,000.00) Equity, (File 333-190473 - Aug. 8)
(BR. 11A)
S-8 ION GEOPHYSICAL CORP, 2105 CITYWEST BLVD, SUITE 400, HOUSTON, TX,
770422839, 281.933.3339 - 0 ($24,133,100.00) Equity, (File 333-190474 -
Aug. 8) (BR. 04A)
S-8 CALLIDUS SOFTWARE INC, 6200 STONERIDGE MALL ROAD, SUITE 500,
PLEASANTON, CA, 94588, 925-251-2200 - 0 ($4,338,288.24) Equity,
(File 333-190475 - Aug. 8) (BR. 03B)
S-1 Ruthigen, Inc., 2455 BENNETT VALLEY RD. SUITE C116, SANTA ROSA, CA,
95404, (707) 525-9900 - 0 ($26,675,000.00) Equity, (File 333-190476 -
Aug. 8) (BR. 01A)
S-8 Cal Dive International, Inc., 2500 CITYWEST BOULEVARD, SUITE 2200,
HOUSTON, TX, 77042, 713-361-2600 - 4,800,000 ($10,032,000.00) Equity,
(File 333-190477 - Aug. 8) (BR. 04A)
S-8 Orbitz Worldwide, Inc., 500 W. MADISON STREET, SUITE 1000, CHICAGO, IL,
60661, 312-894-5000 - 0 ($13,860,000.00) Equity, (File 333-190478 -
Aug. 8) (BR. 05C)
S-3ASR WEB.COM GROUP, INC., 12808 GRAN BAY PARKWAY WEST, JACKSONVILLE, FL,
32258, 9046806600 - 0 ($0.00) Equity, (File 333-190479 - Aug. 8)
(BR. 03B)
S-8 ONCOGENEX PHARMACEUTICALS, INC., 1522 217TH PLACE S.E., BOTHELL, WA,
98021, 4254879500 - 0 ($15,680,000.00) Equity, (File 333-190480 -
Aug. 8) (BR. 01A)
S-8 Interactive Intelligence Group, Inc., 7601 INTERACTIVE WAY,
INDIANAPOLIS, IN, 46278, (317) 872-3000 -
2,000,000 ($115,520,000.00) Equity, (File 333-190481 - Aug. 8) (BR. 03A)
S-8 MEDIVATION, INC., 525 MARKET STREET, 36TH FLOOR, SAN FRANCISCO, CA,
94105, 415-543-3470 - 0 ($201,604,500.00) Equity, (File 333-190482 -
Aug. 8) (BR. 01B)
S-8 FLEETCOR TECHNOLOGIES INC, 5445 TRIANGLE PARKWAY, SUITE 400, NORCROSS,
GA, 30092, 800-877-9019 - 6,500,000 ($595,595,000.00) Equity,
(File 333-190483 - Aug. 8) (BR. 03A)
S-8 HCC INSURANCE HOLDINGS INC/DE/, 13403 NORTHWEST FRWY, HOUSTON, TX,
77040-6094, 7136907300 - 0 ($88,420,000.00) Equity, (File 333-190484 -
Aug. 8) (BR. 01A)
S-4 CAPITAL ONE FINANCIAL CORP, 1680 CAPITAL ONE DRIVE, SUITE 1400, MCLEAN,
VA, 22102, 7037201000 - 0 ($839,111,000.00) Debt, (File 333-190485 -
Aug. 8) (BR. 12A)
S-8 INFORMATICA CORP, 100 CARDINAL WAY, REDWOOD CITY, CA, 94063,
6503855000 - 0 ($152,480,000.00) Equity, (File 333-190486 - Aug. 8)
(BR. 03C)
S-8 EAGLE MATERIALS INC, 3811 TURTLE CREEK BLVD, SUITE 1100, DALLAS, TX,
75219, 214-432-2000 - 0 ($199,830,000.00) Equity, (File 333-190487 -
Aug. 8) (BR. 06A)
S-8 Furiex Pharmaceuticals, Inc., 3900 PARAMOUNT PARKWAY, SUITE 150,
MORRISVILLE, NC, 27560, 919-456-7800 - 400,000 ($17,048,000.00) Equity,
(File 333-190488 - Aug. 8) (BR. 01A)
S-3ASR MFA FINANCIAL, INC., 350 PARK AVENUE, 20TH FL, NEW YORK, NY, 10022,
2122076400 - 13,025,000 ($100,422,750.00) Equity, (File 333-190489 -
Aug. 8) (BR. 08B)
S-8 MEDICINOVA INC, 4350 LA JOLLA VILLAGE DRIVE, SUITE 950, SAN DIEGO, CA,
92122, 858-373-1500 - 0 ($14,123,955.00) Equity, (File 333-190490 -
Aug. 8) (BR. 01B)
S-3ASR JUNIPER NETWORKS INC, 1194 NORTH MATHILDA AVE, SUNNYVALE, CA, 94089,
4087452000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-190491 - Aug. 8) (BR. 03A)
S-4 TESORO LOGISTICS LP, 19100 RIDGEWOOD PARKWAY, SAN ANTONIO, TX, 78259,
210-626-6000 - 0 ($900,000,000.00) Debt, (File 333-190492 - Aug. 8)
(BR. 04B)
S-8 Capital Bank Financial Corp., 121 ALHAMBRA PLAZA, SUITE 1601,
CORAL GABLES, FL, 33134, 305 670 0200 - 0 ($50,470,875.00) Equity,
(File 333-190493 - Aug. 8) (BR. 07)
S-3ASR NPS PHARMACEUTICALS INC, 550 HILLS DRIVE, BEDMINSTER, NJ, 07921,
(908) 450-5300 - 0 ($0.00) Other, (File 333-190494 - Aug. 8) (BR. 01B)
S-8 YAHOO INC, 4083493300 - 0 ($30,177,077.22) Equity, (File 333-190495 -
Aug. 8) (BR. 03B)
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. 30DC, INC. MD 7.01,9.01 08/08/13 99 CENTS ONLY STORES CA 2.02,9.01 08/08/13 AAON INC NV 2.02,7.01,9.01 08/08/13 ABRAXAS PETROLEUM CORP NV 2.02,7.01 08/08/13 ACTUANT CORP WI 1.01 08/02/13 ACTUANT CORP WI 5.02,5.03,9.01 08/08/13 ADVANCE AUTO PARTS INC DE 2.02,9.01 08/08/13 Advanced Emissions Solutions, Inc. 2.02,9.01 08/07/13 ADVENT SOFTWARE INC /DE/ DE 1.01,9.01 08/07/13 AEI INCOME & GROWTH FUND XXI LTD PART MN 2.01,9.01 08/08/13 AEI NET LEASE INCOME & GROWTH FUND XX MN 2.01,9.01 08/08/13 AES CORP DE 2.01,7.01,9.01 08/08/13 Affinia Group Intermediate Holdings I DE 2.02,9.01 08/08/13 AgFeed Industries, Inc. NV 8.01 08/01/13 AIR LEASE CORP DE 2.02,9.01 08/08/13 AIR METHODS CORP DE 2.02,9.01 08/08/13 Air Transport Services Group, Inc. DE 2.02,9.01 08/08/13 Alexander & Baldwin, Inc. HI 2.02,2.03,9.01 08/02/13 Alexander & Baldwin, Inc. HI 7.01,9.01 08/08/13 Alexza Pharmaceuticals Inc. DE 2.02,9.01 08/08/13 ALION SCIENCE & TECHNOLOGY CORP DE 2.02,7.01,8.01 08/08/13 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 08/08/13 ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 2.02,9.01 08/08/13 ALLSTATE CORP DE 8.01,9.01 08/05/13 ALNYLAM PHARMACEUTICALS, INC. 2.02,9.01 08/08/13 ALTAIR NANOTECHNOLOGIES INC Z4 2.02,9.01 08/08/13 AMARIN CORP PLC\UK X0 2.02,9.01 08/08/13 AMC Networks Inc. DE 2.02,9.01 08/08/13 Ameresco, Inc. DE 2.02,9.01 08/08/13 AMERICAN APPAREL, INC DE 7.01,9.01 08/08/13 AMERICAN PUBLIC EDUCATION INC DE 2.02,9.01 08/08/13 AMERICAN SAFETY INSURANCE HOLDINGS LT 1.01,8.01,9.01 08/07/13 AMERICAN STATES WATER CO CA 2.02,9.01 08/08/13 AMERISOURCEBERGEN CORP DE 8.01,9.01 08/08/13 AMYRIS, INC. DE 1.01,3.02 08/08/13 AMYRIS, INC. DE 2.02,9.01 08/08/13 Anacor Pharmaceuticals, Inc. DE 2.02,9.01 08/08/13 ANIXTER INTERNATIONAL INC DE 7.01 08/08/13 Annie's, Inc. DE 2.02,9.01 08/08/13 Apollo Global Management LLC DE 2.02,9.01 08/08/13 Apollo Global Management LLC DE 7.01,9.01 08/08/13 APOLLO INVESTMENT CORP MD 2.02,9.01 08/08/13 Apple REIT Eight, Inc. VA 1.01,8.01,9.01 08/07/13 Apple REIT Nine, Inc. VA 1.01,8.01,9.01 08/07/13 Apple REIT Seven, Inc. VA 1.01,8.01,9.01 08/07/13 ARDEN GROUP INC DE 2.02,9.01 08/08/13 ASBURY AUTOMOTIVE GROUP INC DE 1.01,2.03 08/08/13 Ascent Solar Technologies, Inc. DE 2.02,9.01 08/08/13 Atlantic Coast Financial CORP MD 3.01,5.02 08/05/13 ATLANTIC POWER CORP A1 2.02,8.01,9.01 08/08/13 AV Homes, Inc. DE 2.02,9.01 08/08/13 AVAYA INC DE 2.02,9.01 08/08/13 AVIV REIT, INC. MD 2.02,9.01 08/08/13 AXT INC DE 1.01,9.01 08/02/13 BALLANTYNE STRONG, INC. DE 2.02,9.01 08/08/13 BANCORPSOUTH INC MS 1.01,2.03,9.01 08/08/13 BEAM INC DE 2.02,7.01,8.01,9.01 08/08/13 BELDEN INC. DE 2.02,9.01 08/08/13 BG Medicine, Inc. DE 2.02,8.01,9.01 08/08/13 BIOCRYST PHARMACEUTICALS INC DE 2.02,7.01,9.01 08/08/13 Bloomin' Brands, Inc. DE 7.01 08/05/13 BlueFlash Communications, Inc. FL 1.01,3.02,3.03,5.03, 06/20/13 5.07,8.01,9.01 BofI Holding, Inc. DE 7.01,9.01 08/08/13 BOINGO WIRELESS INC DE 2.02,9.01 08/08/13 BPZ RESOURCES, INC. TX 2.02,9.01 08/07/13 Braeden Valley Mines Inc. NV 5.02 07/05/13 BRAZIL GOLD CORP. NV 3.02,5.03,9.01 08/07/13 AMEND BRIGHT HORIZONS FAMILY SOLUTIONS INC. DE 2.02,9.01 08/08/13 BROADCAST INTERNATIONAL INC UT 1.01,2.03,9.01 08/06/13 BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 2.02,8.01,9.01 08/08/13 Brookdale Senior Living Inc. DE 2.02,7.01,9.01 08/07/13 BROOKS AUTOMATION INC DE 2.02,5.02,9.01 08/08/13 BRT REALTY TRUST MA 2.02,9.01 08/08/13 C H ROBINSON WORLDWIDE INC DE 8.01,9.01 08/08/13 Cal Dive International, Inc. DE 2.02,7.01,9.01 08/07/13 CALLON PETROLEUM CO DE 2.02,7.01,9.01 08/08/13 Campus Crest Communities, Inc. MD 5.02,9.01 08/05/13 CAPSTONE TURBINE Corp DE 2.02,9.01 08/08/13 Car Charging Group, Inc. NV 4.01,9.01 07/24/13 CAREFUSION Corp 2.02,7.01,9.01 08/08/13 CAREFUSION Corp 5.02,9.01 08/08/13 CARRIAGE SERVICES INC DE 2.02 08/08/13 CARTERS INC DE 8.01,9.01 08/08/13 CECO ENVIRONMENTAL CORP DE 1.01,2.02,9.01 08/05/13 CEDAR FAIR L P DE 2.02,9.01 08/08/13 Celsion CORP DE 2.02,9.01 08/08/13 Centaur Guernsey L.P. Inc. 7.01 08/08/13 CHAMBERS STREET PROPERTIES MD 2.02,7.01,8.01,9.01 08/08/13 CHARLES & COLVARD LTD NC 5.02,8.01,9.01 08/02/13 CHARLES & COLVARD LTD NC 2.02,9.01 08/08/13 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 08/08/13 ChemoCentryx, Inc. DE 3.01 08/02/13 CHESAPEAKE GRANITE WASH TRUST DE 2.02,9.01 08/08/13 China Biologic Products, Inc. 1.01,9.01 08/08/13 CHIQUITA BRANDS INTERNATIONAL INC NJ 2.02,9.01 08/08/13 ChyronHego Corp NY 2.02,9.01 08/08/13 ChyronHego Corp NY 3.01 08/08/13 ChyronHego Corp NY 1.01,2.03 08/05/13 CINCINNATI BELL INC OH 2.02,7.01,9.01 08/08/13 CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 08/08/13 CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 08/08/13 CLEAN DIESEL TECHNOLOGIES INC DE 2.02,9.01 08/08/13 Clean Energy Fuels Corp. DE 2.02,9.01 08/08/13 COCA COLA BOTTLING CO CONSOLIDATED /D DE 2.02,9.01 08/06/13 Coeur Mining, Inc. DE 2.02,9.01 08/08/13 COGENT COMMUNICATIONS GROUP INC 2.02,9.01 08/08/13 Coleman Cable, Inc. DE 2.02,9.01 08/08/13 Colony Financial, Inc. MD 1.01,1.02,2.03,9.01 08/06/13 COLUMBIA LABORATORIES INC DE 5.03,7.01,9.01 08/08/13 CommonWealth REIT MD 8.01,9.01 08/07/13 COMPUTER SCIENCES CORP NV 7.01 08/06/13 CONCHO RESOURCES INC DE 2.02,9.01 08/07/13 Consolidated Communications Holdings, DE 2.02,9.01 08/08/13 CONTINENTAL RESOURCES, INC OK 2.02,7.01,9.01 08/07/13 COOPER TIRE & RUBBER CO DE 2.02,9.01 08/08/13 CORCEPT THERAPEUTICS INC DE 2.02,7.01,9.01 08/08/13 CORNERSTONE THERAPEUTICS INC DE 5.02 08/06/13 CORRECTIONS CORP OF AMERICA MD 2.02,9.01 08/07/13 CPI AEROSTRUCTURES INC NY 2.02 08/06/13 CPS TECHNOLOGIES CORP/DE/ DE 9.01 06/29/13 CRAILAR TECHNOLOGIES INC A1 2.02,9.01 08/08/13 CREDEX CORP FL 5.02,9.01 08/07/13 CRIMSON EXPLORATION INC. 2.02,9.01 08/07/13 CROSSTEX ENERGY INC DE 2.02,9.01 08/07/13 CROSSTEX ENERGY LP DE 2.02,9.01 08/07/13 CUBIC CORP /DE/ DE 5.03,9.01 08/08/13 CYTORI THERAPEUTICS, INC. DE 2.02,9.01 08/08/13 DAKOTA PLAINS HOLDINGS, INC. NV 2.02,9.01 08/08/13 DARLING INTERNATIONAL INC DE 2.02,9.01 08/08/13 DCP Midstream Partners, LP DE 1.01,7.01,9.01 08/07/13 DEAN FOODS CO DE 2.02,9.01 08/08/13 DEEP WELL OIL & GAS INC NV 1.01,3.02,8.01,9.01 07/31/13 AMEND DEEP WELL OIL & GAS INC NV 1.01,3.02,8.01,9.01 07/31/13 AMEND Delek US Holdings, Inc. 2.02,9.01 08/07/13 DENDREON CORP DE 2.02,9.01 08/08/13 DENDREON CORP DE 5.02 08/05/13 DEVRY INC DE 2.02,8.01,9.01 08/08/13 diaDexus, Inc. DE 2.02,9.01 08/08/13 DIRECT INSITE CORP DE 7.01,9.01 08/08/13 Discover Financial Services DE 2.03,9.01 08/08/13 DISCOVERY LABORATORIES INC /DE/ DE 2.02,8.01,9.01 08/08/13 Diversicare Healthcare Services, Inc. DE 2.02,9.01 08/08/13 DOT HILL SYSTEMS CORP DE 2.02,9.01 08/08/13 DOT HILL SYSTEMS CORP DE 2.02,8.01,9.01 08/08/13 DOT HILL SYSTEMS CORP DE 2.02,8.01,9.01 08/08/13 AMEND DOUBLE EAGLE PETROLEUM CO MD 2.02,5.02,7.01,9.01 08/07/13 DOVER SADDLERY INC 2.02,7.01,9.01 08/08/13 Dr Pepper Snapple Group, Inc. DE 8.01,9.01 08/08/13 EAGLE MATERIALS INC DE 5.07 08/07/13 EASTMAN KODAK CO NJ 2.02,9.01 08/07/13 ECHELON CORP DE 2.02,9.01 08/08/13 Edgen Group Inc. DE 2.02,9.01 08/08/13 ELEPHANT TALK COMMUNICATIONS CORP DE 8.01,9.01 08/06/13 ELIZABETH ARDEN INC FL 2.02,5.02,9.01 08/08/13 EMC INSURANCE GROUP INC IA 2.02,7.01,9.01 08/08/13 Emdeon Inc. DE 2.02,9.01 08/08/13 EMERSON ELECTRIC CO MO 5.02 08/06/13 EMULEX CORP /DE/ DE 2.02,9.01 08/08/13 ENCORE CAPITAL GROUP INC DE 2.02,9.01 08/08/13 ENCORE CAPITAL GROUP INC DE 2.02,9.01 08/08/13 Energy Services of America CORP DE 3.02,3.03,5.03,9.01 08/06/13 Energy Transfer Equity, L.P. DE 2.02,9.01 08/07/13 Energy Transfer Equity, L.P. DE 1.01,7.01,9.01 08/07/13 Energy Transfer Partners, L.P. DE 2.02,9.01 08/07/13 Energy Transfer Partners, L.P. DE 1.01,7.01,9.01 08/07/13 Entertainment Gaming Asia Inc. NV 2.02,9.01 08/08/13 ENVESTNET, INC. DE 2.02,9.01 08/08/13 EPAM Systems, Inc. DE 2.02,9.01 08/08/13 EPLUS INC DE 2.02,9.01 08/06/13 EPSILON CORP DE 1.01,3.02,9.01 08/02/13 EQUAL ENERGY LTD. A0 2.02,9.01 08/07/13 EQUAL ENERGY LTD. A0 2.02,9.01 08/08/13 Equisource Hotel Fund I, LLP NV 1.01,3.02,5.03,9.01 06/10/13 ESCO TECHNOLOGIES INC MO 2.02,7.01,9.01 08/08/13 Essex Rental Corp. IL 2.02 08/07/13 EWaste Systems, Inc. NV 7.01,9.01 08/07/13 Exobox Technologies Corp. NV 5.02,8.01 08/07/13 ExOne Co DE 8.01,9.01 08/08/13 Fairway Group Holdings Corp DE 2.02,9.01 08/08/13 FALCONSTOR SOFTWARE INC DE 2.02,9.01 08/08/13 FEDERAL AGRICULTURAL MORTGAGE CORP 2.02,9.01 08/08/13 Federal Home Loan Bank of Atlanta X1 2.03 08/05/13 Federal Home Loan Bank of Boston X1 2.03 08/06/13 Federal Home Loan Bank of Chicago X1 2.03 08/06/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/08/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/05/13 Federal Home Loan Bank of San Francis X1 2.03 08/06/13 FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,7.01,9.01 08/08/13 FEDERATED NATIONAL HOLDING CO FL 2.02,9.01 08/08/13 Fiesta Restaurant Group, Inc. DE 2.02,9.01 08/08/13 Fifth & Pacific Companies, Inc. DE 2.02,9.01 08/08/13 Fifth Street Senior Floating Rate Cor DE 8.01,9.01 08/08/13 Firsthand Technology Value Fund, Inc. 8.01,9.01 08/08/13 FISHER COMMUNICATIONS INC WA 1.02,3.01,3.03,5.01, 08/08/13 5.02,5.03,9.01 FLOTEK INDUSTRIES INC/CN/ DE 2.02,9.01 08/07/13 FMC TECHNOLOGIES INC DE 5.02,9.01 08/05/13 FNBH BANCORP INC MI 1.01,3.02 08/07/13 FONU2 Inc. NV 3.02 08/02/13 FOSTER WHEELER AG V8 2.02,9.01 08/08/13 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 08/08/13 Fuel Systems Solutions, Inc. 2.02,9.01 08/08/13 FutureFuel Corp. DE 8.01,9.01 08/08/13 FX ENERGY INC NV 8.01,9.01 08/08/13 Galena Biopharma, Inc. 2.02,9.01 08/08/13 Gaming Partners International CORP NV 2.02,9.01 08/08/13 GAP INC DE 2.02,9.01 08/08/13 Garrison Capital Inc. 2.02,5.07,9.01 08/06/13 GBS Enterprises Inc NV 5.02 08/02/13 GENERAL DYNAMICS CORP DE 5.02,9.01 08/07/13 Genie Energy Ltd. DE 2.02,8.01,9.01 08/08/13 GENVEC INC DE 8.01 08/07/13 GENWORTH FINANCIAL INC DE 1.01,8.01,9.01 08/05/13 GERON CORP DE 2.02,9.01 08/08/13 GLADSTONE INVESTMENT CORPORATION\DE DE 5.07 08/08/13 GLEACHER & COMPANY, INC. DE 2.02,9.01 08/08/13 Global Geophysical Services Inc DE 8.01,9.01 08/08/13 GLOBAL PARTNERS LP 2.02,7.01,9.01 08/08/13 Golub Capital BDC, Inc. DE 2.02,9.01 08/08/13 Golub Capital BDC, Inc. DE 2.02,9.01 08/08/13 GRAY TELEVISION INC GA 2.02,9.01 08/08/13 Great Lakes Dredge & Dock CORP DE 2.02,9.01 08/08/13 GREAT PLAINS ENERGY INC MO 2.02,9.01 08/08/13 Hannon Armstrong Sustainable Infrastr MD 2.02,9.01 08/08/13 HANSEN MEDICAL INC DE 1.01,9.01 08/08/13 HARBINGER GROUP INC. DE 2.02,9.01 08/08/13 HARMAN INTERNATIONAL INDUSTRIES INC / DE 7.01,9.01 08/08/13 HARSCO CORP DE 2.02,9.01 08/08/13 HAWAIIAN ELECTRIC INDUSTRIES INC HI 2.02,9.01 08/08/13 HAWTHORN BANCSHARES, INC. MO 8.01 08/08/13 HAYNES INTERNATIONAL INC DE 2.02,7.01,9.01 08/08/13 HeartWare International, Inc. DE 2.02,9.01 08/08/13 HECLA MINING CO/DE/ DE 2.02,8.01,9.01 08/08/13 High Plains Gas, Inc. NV 4.01 08/08/13 AMEND Higher One Holdings, Inc. DE 2.02,7.01,9.01 08/08/13 Higher One Holdings, Inc. DE 2.02,7.01,9.01 08/08/13 AMEND Hillshire Brands Co MD 2.02,9.01 08/08/13 HORTON D R INC /DE/ DE 1.01,9.01 08/05/13 Howard Hughes Corp DE 2.02,9.01 08/08/13 ICG GROUP, INC. DE 2.02,9.01 08/08/13 IEC ELECTRONICS CORP DE 1.01,2.02,9.01 08/06/13 IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 5.03,9.01 08/08/13 IMH Financial Corp DE 9.01 08/08/13 AMEND IMPAX LABORATORIES INC DE 2.02,9.01 08/08/13 IMPERIAL OIL LTD 8.01,9.01 08/08/13 inContact, Inc. DE 2.02,9.01 08/08/13 INDEPENDENCE HOLDING CO DE 2.02,9.01 08/07/13 INFINITY PHARMACEUTICALS, INC. DE 2.02,9.01 08/08/13 INFINITY PROPERTY & CASUALTY CORP OH 2.02,9.01 08/08/13 INLAND REAL ESTATE CORP MD 3.03,5.03,9.01 08/02/13 INLAND REAL ESTATE CORP MD 2.02,7.01,9.01 08/08/13 INNERWORKINGS INC 2.02,9.01 08/08/13 INNOSPEC INC. DE 2.02,9.01 08/07/13 INSIGHT ENTERPRISES INC DE 2.02,9.01 08/08/13 INSITE VISION INC DE 2.02,9.01 08/08/13 Inteliquent, Inc. 2.02,9.01 08/08/13 Intermec, Inc. DE 1.01,9.01 08/05/13 Intermec, Inc. DE 2.02,7.01,9.01 08/08/13 INTERNATIONAL SPEEDWAY CORP FL 1.01,7.01,8.01,9.01 08/08/13 International Stem Cell CORP DE 2.02,9.01 08/08/13 INTERNATIONAL TOWER HILL MINES LTD A1 5.02,9.01 08/05/13 INTRICON CORP PA 2.02,7.01,9.01 08/08/13 INTRUSION INC DE 2.02,9.01 08/08/13 INUVO, INC. NV 2.02,7.01,9.01 08/08/13 INVACARE CORP OH 1.01,7.01,9.01 08/07/13 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 08/08/13 ION GEOPHYSICAL CORP DE 2.02,7.01,9.01 08/07/13 IRON MOUNTAIN INC DE 1.01,2.03,8.01,9.01 08/08/13 IRON MOUNTAIN INC DE 8.01,9.01 08/08/13 iShares Dow Jones-UBS Roll Select Com DE 1.01,9.01 08/08/13 Islet Sciences, Inc NV 5.02,8.01 07/30/13 IVANHOE ENERGY INC 7.01,9.01 08/08/13 J C PENNEY CO INC DE 8.01,9.01 08/08/13 JMP Group Inc. DE 7.01 08/08/13 Jones Lang LaSalle Income Property Tr MD 1.01,7.01,8.01 08/06/13 JONES SODA CO WA 2.02,9.01 08/08/13 KALOBIOS PHARMACEUTICALS INC DE 5.02,9.01 08/07/13 KERYX BIOPHARMACEUTICALS INC DE 8.01,9.01 08/08/13 Kior Inc DE 2.02,7.01,9.01 08/08/13 Kips Bay Medical, Inc. DE 2.02,9.01 08/08/13 Koppers Holdings Inc. PA 2.02,9.01 08/08/13 KRATOS DEFENSE & SECURITY SOLUTIONS, DE 2.02,9.01 08/06/13 KRONOS WORLDWIDE INC 7.01,9.01 08/07/13 KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 08/05/13 LAMAR ADVERTISING CO/NEW DE 2.02,9.01 08/08/13 Laredo Petroleum Holdings, Inc. DE 2.02,7.01,9.01 08/08/13 LAYNE CHRISTENSEN CO DE 7.01,9.01 08/08/13 Lehigh Gas Partners LP DE 1.01,2.02,8.01,9.01 08/07/13 Lender Processing Services, Inc. DE 2.02,9.01 08/08/13 LEXINGTON REALTY TRUST MD 2.02,7.01,9.01 08/07/13 Liberty Interactive Corp 2.02,9.01 08/06/13 Liberty Media Corp DE 2.02,9.01 08/06/13 LIFE PARTNERS HOLDINGS INC TX 5.07 08/05/13 LIFETIME BRANDS, INC DE 2.02,8.01,9.01 08/08/13 LINN ENERGY, LLC DE 2.02,9.01 08/08/13 LIONS GATE ENTERTAINMENT CORP /CN/ A1 2.02,9.01 08/08/13 LIQUIDITY SERVICES INC DE 7.01,9.01 08/07/13 Live Nation Entertainment, Inc. DE 7.01,9.01 08/08/13 LMI AEROSPACE INC MO 2.02,9.01 08/08/13 LOCAL Corp DE 2.02,9.01 08/08/13 Lone Pine Resources Inc. DE 2.02,9.01 08/08/13 LSB INDUSTRIES INC DE 2.02,9.01 08/08/13 LTC PROPERTIES INC MD 2.02,9.01 08/08/13 MAD CATZ INTERACTIVE INC Z4 2.02,9.01 08/08/13 MANAGEMENT NETWORK GROUP INC 2.02,9.01 08/08/13 MARKWEST ENERGY PARTNERS L P 2.02,9.01 08/07/13 Matador Resources Co TX 2.02,7.01,9.01 08/07/13 MCDONALDS CORP DE 7.01,9.01 08/08/13 MCG CAPITAL CORP DE 1.01,9.01 08/08/13 MEDIA GENERAL INC VA 2.02,8.01,9.01 08/08/13 MEDICAL PROPERTIES TRUST INC 2.02,9.01 08/08/13 MEDIVATION, INC. DE 2.02,9.01 08/08/13 MeetMe, Inc. DE 2.02,9.01 08/08/13 MeetMe, Inc. DE 8.01 08/08/13 MERRIMACK PHARMACEUTICALS INC DE 2.02,9.01 08/08/13 MET PRO CORP PA 1.01,9.01 08/08/13 MICHAEL BAKER CORP PA 2.02,9.01 08/08/13 MICROVISION INC DE 2.02,9.01 08/08/13 MIDDLEBY CORP DE 2.02,9.01 08/08/13 MILLER ENERGY RESOURCES, INC. TN 5.02 07/29/13 AMEND MODEL N, INC. DE 2.02,9.01 08/08/13 Molycorp, Inc. DE 2.02,4.02 08/06/13 Monster Beverage Corp DE 2.02,9.01 08/08/13 MULTI FINELINE ELECTRONIX INC 2.02,9.01 08/08/13 NASB FINANCIAL INC MO 2.02,9.01 08/08/13 National Bank Holdings Corp DE 8.01,9.01 08/08/13 NATURAL RESOURCE PARTNERS LP DE 2.02,7.01,9.01 08/07/13 NAVARRE CORP /MN/ MN 2.02,9.01 08/07/13 Neenah Paper Inc DE 2.02,9.01 08/07/13 NEKTAR THERAPEUTICS DE 1.01 08/08/13 NEKTAR THERAPEUTICS DE 2.02,9.01 08/08/13 NELNET INC NE 2.02,9.01 08/08/13 Neonode, Inc DE 2.02,9.01 08/08/13 NEOPHOTONICS CORP DE 2.02,4.02,9.01 08/07/13 NeoStem, Inc. DE 2.02,7.01,9.01 08/08/13 NEUSTAR INC 7.01,9.01 08/08/13 NEWTEK BUSINESS SERVICES, INC. NY 5.07,7.01,9.01 08/06/13 Nexeo Solutions Holdings, LLC DE 1.01,2.03,5.03,9.01 08/05/13 NF Investment Corp. MD 3.02 08/07/13 NGP Capital Resources Co MD 2.02,9.01 08/08/13 NL INDUSTRIES INC NJ 7.01,9.01 08/07/13 NOODLES & Co DE 2.02,9.01 08/08/13 NORFOLK SOUTHERN CORP VA 8.01,9.01 08/08/13 NORTHERN OIL & GAS, INC. 2.02,9.01 08/08/13 NorthStar Healthcare Income, Inc. MD 1.01 08/02/13 NPS PHARMACEUTICALS INC DE 2.02,9.01 08/08/13 NUMEREX CORP /PA/ PA 2.02,9.01 08/08/13 NUPATHE INC. DE 2.02,9.01 08/08/13 Nuverra Environmental Solutions, Inc. DE 2.02,9.01 08/08/13 NVIDIA CORP DE 2.02,9.01 08/08/13 NxStage Medical, Inc. DE 1.01 08/02/13 OAKRIDGE HOLDINGS INC MN 4.01 08/05/13 Oculus Innovative Sciences, Inc. CA 1.01,2.02,9.01 08/02/13 OCZ TECHNOLOGY GROUP INC DE 8.01,9.01 08/05/13 OGE ENERGY CORP. OK 2.02,9.01 08/08/13 Okana Ventures, Inc. NV 1.01,3.02,5.02,8.01, 07/30/13 9.01 OKLAHOMA GAS & ELECTRIC CO OK 2.02,9.01 08/08/13 ONCOGENEX PHARMACEUTICALS, INC. DE 2.02,9.01 08/08/13 ONCOSEC MEDICAL Inc NV 5.02,9.01 08/02/13 ONE LIBERTY PROPERTIES INC MD 2.02,9.01 08/08/13 ONYX PHARMACEUTICALS INC DE 2.02,9.01 08/08/13 Opexa Therapeutics, Inc. TX 8.01,9.01 08/07/13 OPLINK COMMUNICATIONS INC DE 2.02,9.01 08/08/13 ORBCOMM Inc. DE 2.02,9.01 08/08/13 Orbitz Worldwide, Inc. DE 2.02 08/08/13 ORION FINANCIAL GROUP Inc WY 1.01,8.01,9.01 07/29/13 PANHANDLE EASTERN PIPE LINE CO LP DE 7.01,9.01 08/07/13 Parametric Sound Corp NV 2.02,8.01,9.01 08/08/13 Parametric Sound Corp NV 1.01 08/02/13 AMEND PAREXEL INTERNATIONAL CORP MA 2.02,9.01 08/07/13 PARK OHIO HOLDINGS CORP OH 9.01 08/08/13 PCS EDVENTURES COM INC ID 2.03,9.01 05/24/13 AMEND PDC ENERGY, INC. NV 1.01,9.01 08/05/13 PDL BIOPHARMA, INC. DE 2.02,7.01,9.01 08/08/13 PEGASYSTEMS INC MA 2.02,9.01 08/08/13 PENN VIRGINIA CORP VA 2.02,7.01,9.01 08/07/13 PennantPark Floating Rate Capital Ltd 2.02,9.01 08/08/13 PennyMac Mortgage Investment Trust MD 1.01,2.03 08/02/13 PERFORMANCE TECHNOLOGIES INC \DE\ DE 2.02 06/30/13 Performant Financial Corp DE 2.02,9.01 08/08/13 Perfumania Holdings, Inc. FL 2.02,9.01 08/08/13 PHARMATHENE, INC DE 8.01,9.01 08/08/13 Phillips Edison - ARC Shopping Center MD 2.02,9.01 08/08/13 PINNACLE FINANCIAL PARTNERS INC TN 5.02 08/06/13 PITNEY BOWES INC /DE/ DE 7.01,9.01 08/05/13 PLANAR SYSTEMS INC OR 2.02,9.01 08/08/13 PLUG POWER INC DE 2.02,9.01 08/08/13 Polonia Bancorp Inc MD 2.02,9.01 08/02/13 POLYMER GROUP INC DE 2.02,9.01 08/07/13 PORTFOLIO RECOVERY ASSOCIATES INC DE 1.01,8.01,9.01 08/07/13 PostRock Energy Corp DE 2.02,9.01 08/07/13 POWER SOLUTIONS INTERNATIONAL, INC. DE 2.02,9.01 08/08/13 PRICELINE COM INC DE 2.02,9.01 08/08/13 Primoris Services Corp DE 2.02,8.01,9.01 08/07/13 PRIMUS TELECOMMUNICATIONS GROUP INC DE 2.02,9.01 08/08/13 Probe Manufacturing Inc NV 1.01,3.02,7.01,9.01 08/08/13 PROTECTIVE LIFE CORP DE 1.01,2.03 08/07/13 PROTECTIVE LIFE INSURANCE CO TN 1.01,2.03 08/07/13 PSB HOLDINGS INC /WI/ WI 5.07 05/21/13 AMEND PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 08/08/13 QC Holdings, Inc. KS 2.02,8.01,9.01 08/08/13 QUANTUM CORP /DE/ DE 5.07 08/07/13 QUINT MEDIA INC. NV 5.02,5.03,9.01 08/07/13 RACKSPACE HOSTING, INC. 2.02,9.01 08/08/13 RAMBO MEDICAL GROUP, INC. 5.03,8.01,9.01 08/05/13 Raptor Pharmaceutical Corp DE 2.02,9.01 08/08/13 READING INTERNATIONAL INC NV 2.02,9.01 08/08/13 Red Lion Hotels CORP WA 2.02,9.01 08/08/13 REDFIN NETWORK, INC. NV 5.02,9.01 08/05/13 Regency Energy Partners LP DE 2.02,9.01 08/08/13 RENTECH INC /CO/ CO 2.02,9.01 08/08/13 Rentech Nitrogen Partners, L.P. DE 2.02,9.01 08/08/13 RESEARCH FRONTIERS INC DE 7.01,9.01 08/08/13 RESOURCE AMERICA, INC. DE 2.02,9.01 08/07/13 RESPONSE GENETICS INC 2.02,9.01 08/08/13 Rexnord Corp DE 7.01,9.01 08/07/13 RLJ Lodging Trust MD 5.02,9.01 08/02/13 ROBERTS REALTY INVESTORS INC GA 2.01 08/06/13 ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 1.01,2.03 08/08/13 Roundy's, Inc. DE 2.02,8.01,9.01 08/08/13 ROYAL GOLD INC DE 2.02,9.01 08/08/13 Saleen Automotive, INC. NV 1.01,2.01,2.03,3.02, 06/26/13 AMEND 3.03,4.01,5.01,5.02,5.06 Saleen Automotive, INC. NV 1.01,2.01,2.03,3.02, 06/26/13 AMEND 3.03,4.01,5.01,5.02,5.06 SALIX PHARMACEUTICALS LTD 2.02,9.01 08/08/13 Sanchez Energy Corp DE 2.02,7.01,9.01 08/07/13 SANDRIDGE ENERGY INC DE 8.01,9.01 08/07/13 Sarepta Therapeutics, Inc. DE 2.02,9.01 08/08/13 SCIENTIFIC GAMES CORP DE 2.02,9.01 08/08/13 Scripps Networks Interactive, Inc. OH 2.02,7.01,9.01 08/08/13 SELECT MEDICAL HOLDINGS CORP 2.02,9.01 08/08/13 SELECTICA INC DE 2.02,9.01 08/08/13 Seven Seas Cruises S. DE R.L. R1 2.02,9.01 08/08/13 ShoreTel Inc CA 2.02,5.02,9.01 08/08/13 Silver Dragon Resources Inc. DE 1.01 08/08/13 Silvercrest Asset Management Group In DE 8.01,9.01 08/07/13 Sino-Global Shipping America, Ltd. VA 5.02,8.01,9.01 08/08/13 SIONIX CORP NV 4.01,9.01 07/18/13 AMEND SMTC CORP DE 2.02,9.01 08/08/13 Sorrento Therapeutics, Inc. DE 8.01,9.01 08/07/13 Sotherly Hotels Inc. MD 5.07 04/16/13 AMEND SOUTH JERSEY INDUSTRIES INC NJ 2.02,7.01,9.01 08/08/13 SOUTHERN UNION CO DE 7.01,9.01 08/07/13 SOUTHWESTERN ENERGY CO DE 7.01 08/02/13 SPAR GROUP INC DE 2.02,9.01 08/07/13 SPARK NETWORKS INC DE 2.02,9.01 08/08/13 Spirit AeroSystems Holdings, Inc. DE 1.01 08/02/13 Start Scientific, Inc. DE 1.01,9.01 08/07/13 Steel Excel Inc. DE 2.02 08/06/13 STEEL PARTNERS HOLDINGS L.P. DE 2.02,9.01 08/08/13 Stereotaxis, Inc. DE 1.01,2.02,3.02,8.01, 08/07/13 9.01 STIFEL FINANCIAL CORP DE 2.02,9.01 08/08/13 STILLWATER MINING CO /DE/ DE 2.02,9.01 08/08/13 SUBURBAN PROPANE PARTNERS LP DE 2.02,9.01 08/08/13 Sucampo Pharmaceuticals, Inc. 2.02,5.02,7.01,8.01, 08/02/13 9.01 Summit Materials, LLC DE 2.02,9.01 08/08/13 SVB FINANCIAL GROUP 5.02,9.01 08/07/13 SYNTROLEUM CORP DE 8.01,9.01 08/07/13 Synutra International, Inc. DE 2.02,9.01 08/08/13 T-Mobile US, Inc. DE 2.02,9.01 08/08/13 Tableau Software Inc 2.02,9.01 08/08/13 TCP Capital Corp. DE 2.02,7.01,9.01 08/08/13 TEJON RANCH CO DE 1.01,8.01,9.01 08/07/13 TENGION INC DE 5.02,9.01 08/07/13 TESORO CORP /NEW/ DE 7.01,9.01 08/08/13 TESORO LOGISTICS LP DE 9.01 06/01/13 AMEND TESORO LOGISTICS LP DE 9.01 06/17/13 AMEND TETRA TECH INC DE 2.02,9.01 08/07/13 THERAGENICS CORP DE 2.02,8.01 08/08/13 Thermon Group Holdings, Inc. DE 2.02,9.01 08/08/13 THESTREET, INC. DE 2.02,9.01 08/08/13 Thompson Creek Metals Co Inc. A1 5.02,9.01 08/01/13 TIAA REAL ESTATE ACCOUNT NY 2.02,7.01,9.01 08/08/13 Tim Hortons Inc. A6 2.02,7.01,8.01,9.01 08/08/13 Tim Hortons Inc. A6 7.01,9.01 08/08/13 TOWER FINANCIAL CORP IN 9.01 08/08/13 Tower Group International, Ltd. D0 7.01,9.01 08/08/13 TOWERSTREAM CORP DE 2.02,7.01,9.01 08/08/13 TRAC Intermodal LLC DE 2.02,9.01 08/07/13 TreeHouse Foods, Inc. DE 2.02,7.01,9.01 08/08/13 TreeHouse Foods, Inc. DE 1.01,7.01,9.01 08/07/13 TREMOR VIDEO INC. DE 2.02,9.01 08/08/13 Tronox Ltd 2.02,9.01 08/07/13 U S PHYSICAL THERAPY INC /NV NV 2.02,8.01,9.01 08/08/13 Ubiquiti Networks, Inc. DE 2.02,9.01 08/08/13 Uni-Pixel DE 8.01,9.01 08/08/13 UNION BANKSHARES INC VT 2.02,9.01 08/08/13 United Continental Holdings, Inc. DE 8.01,9.01 08/07/13 UNITED GUARDIAN INC DE 2.02,9.01 08/08/13 UNIVERSAL DISPLAY CORP \PA\ PA 9.01 08/08/13 UNIVERSAL ELECTRONICS INC DE 2.02,9.01 08/08/13 UQM TECHNOLOGIES INC CO 5.07 08/07/13 URANERZ ENERGY CORP. NV 8.01 08/08/13 US CONCRETE INC DE 2.02,9.01 08/08/13 US ENERGY CORP WY 2.02,9.01 08/08/13 USA TRUCK INC DE 2.02,7.01 08/07/13 AMEND Valeant Pharmaceuticals International A8 2.01,5.02,8.01,9.01 08/05/13 VECTREN CORP IN 2.03,9.01 08/06/13 Verso Paper Corp. DE 2.02,9.01 08/08/13 Viggle Inc. DE 8.01,9.01 08/08/13 VISHAY INTERTECHNOLOGY INC DE 1.01,2.03,8.01,9.01 08/08/13 VISTEON CORP DE 2.02,7.01,9.01 08/08/13 Vringo Inc DE 2.02,9.01 08/08/13 W&T OFFSHORE INC TX 2.02,9.01 08/07/13 W. S. Industries, Inc. NV 5.03 08/08/13 Walker & Dunlop, Inc. MD 2.02,9.01 08/08/13 WALTER INVESTMENT MANAGEMENT CORP MD 2.02,7.01,9.01 08/08/13 WALTER INVESTMENT MANAGEMENT CORP MD 5.02 08/08/13 Warner Music Group Corp. DE 2.02,9.01 08/08/13 Warner Music Group Corp. DE 9.01 07/01/13 AMEND WCI Communities, Inc. DE 1.01,1.02,2.03,9.01 08/07/13 WELLCARE HEALTH PLANS, INC. DE 2.02 08/07/13 AMEND WELLS FARGO & COMPANY/MN DE 9.01 08/08/13 Wesco Aircraft Holdings, Inc 7.01,9.01 08/08/13 WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 1.01,2.03,9.01 08/08/13 WET SEAL INC DE 2.02,9.01 08/08/13 WGL HOLDINGS INC VA 2.02,9.01 08/07/13 Willdan Group, Inc. DE 2.02,9.01 08/08/13 WILLIAM LYON HOMES DE 1.01,2.03 08/07/13 WILLIAM LYON HOMES DE 2.02,9.01 08/08/13 WILLIS GROUP HOLDINGS PLC L2 8.01,9.01 08/08/13 WINDSTREAM CORP DE 2.02,9.01 08/08/13 WRIGHT MEDICAL GROUP INC DE 8.01,9.01 08/08/13 XO GROUP INC. DE 5.02,8.01 08/02/13 XRS Corp MN 2.02 08/08/13 Yankee Holding Corp. DE 2.02,9.01 08/08/13 YCC Holdings LLC DE 2.02,9.01 08/08/13 YORK WATER CO PA 2.02,9.01 08/08/13 Zeltiq Aesthetics Inc DE 7.01 08/08/13 ZIOPHARM ONCOLOGY INC DE 8.01,9.01 08/08/13 Zoetis Inc. 5.02 08/01/13 ZOGENIX, INC. DE 2.02,9.01 08/08/13 ZYNEX INC NV 2.02,9.01 08/08/13 http://www.sec.gov/news/digest/2013/dig101713.htm
|