SEC News Digest

Commission announcements

Commission Suspends Trading in the Securities of Newtech Resources Ltd. for Failure to Make Required Periodic Filings

The Securities and Exchange Commission (Commission) announced the temporary suspension of trading in the securities of Newtech Resources Ltd., commencing at 9:30 a.m. EDT on October 21, 2013 and terminating at 11:59 p.m. EDT on November 1, 2013.

The Commission temporarily suspended trading in the securities of Newtech Resources Ltd. due to a lack of current and accurate information about the company because it has not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).

The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by this company.

Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspension, no quotation may be entered relating to the securities of the subject company unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of this company that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.

If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-70621)

Commission Suspends Trading in the Securities of High End Ventures, Inc. for Failure to Make Required Periodic Filings

The Commission announced the temporary suspension of trading in the securities of High End Ventures, Inc., commencing at 9:30 a.m. EDT on October 21, 2013 and terminating at 11:59 p.m. EDT on November 1, 2013.

The Commission temporarily suspended trading in the securities of High End Ventures, Inc. due to a lack of current and accurate information about the company because it has not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).

Commission Meetings

Open Meeting on Wednesday, October 23, 2013 at 10:00 a.m.

The Securities and Exchange Commission will hold an Open Meeting on October 23, 2013, at 10:00 a.m., in the Auditorium (Room L-002) at the Commission's headquarters building, to consider whether to propose rules and forms related to the offer and sale of securities through crowdfunding pursuant to Section 4(a)(6) of the Securities Act of 1933, as mandated by Title III of the Jumpstart Our Business Startups Act.

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 PROCEEDINGS

In the Matter of Peter Orthos

The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Peter C. Orthos, a resident of Manhasset, New York. The Order finds that, on July 29, 2011, Orthos was convicted by guilty plea of three counts of engaging in a Securities Fraud Scheme, one count of Grand Larceny in the Second Degree, and two counts of Grand Larceny in the Third Degree before the Supreme Court of the State of New York, in People of New York v. Joseph Stevens & Company, Inc., et al., Case Number 02394-2009. The Order further finds that the counts of the indictment to which Orthos pleaded guilty alleged, inter alia, that from in or about January 2001 to in or about September 2005, Orthos participated in a scheme to defraud investors that resulted in excessive and undisclosed commissions in stocks.

Based on the above, the Order bars Orthos from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and from participating in any offering of a penny stock, including acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Orthos consented to the issuance of the Order. (Rel. 34-70727).

In the Matter of Stephen E. Gagnon

The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing (Order) against Stephen E. Gagnon, a resident of Riverside, Rhode Island. The Order alleges that on March 25, 2013, the Rhode Island Department of Business Regulation entered a final order, by consent, against the Respondent (the Rhode Island order), finding that he violated, among others, the anti-fraud provisions of Rhode Island's securities laws and certain Rhode Island laws concerning insurance producers. According to the Rhode Island order, a customer complained that Gagnon convinced her to terminate a variable annuity and replace it with two other variable annuities that were inappropriate for someone of her age, in a transaction which subjected her to charges in excess of $18,000. The customer further alleged that a signature in her name which appeared along with Gagnon's name on a disclosure document required for the transaction was not in fact her signature. Rhode Island's order required Gagnon to cease and desist from any further violations of those laws, revoked Gagnon's investment adviser representative and insurance producer licenses, and stated that Gagnon shall have the right to apply for re-registration as a broker-dealer, sales representative, insurance producer, investment adviser, and/or investment adviser representative in the state of Rhode Island after ten years.

A hearing will be held by an Administrative Law Judge to determine whether the allegations contained in the Order are true, to afford the Respondent an opportunity to establish any defenses to such allegations, and to determine what, if any, remedial action is appropriate and in the public interest. The Order requires an Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. (Rel. IA-3697).

In the Matter of Anthony Chiasson

The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing against Anthony Chiasson (Chiasson). The Order finds that Chiasson was a founding partner of Level Global Investors, LP (Level Global), an unregistered investment adviser located in Greenwich, Connecticut and New York, New York. Chiasson served as Level Global's Director of Research and the Sector Head of the technology, media and telecommunications sector, and also had authority to execute trades for the hedge funds managed by the firm. (Level Global ceased investment activities in early 2011.)

On January 18, 2012, the Commission filed a civil action against Chiasson in SEC v. Adondakis et al., Civil Action No. 12-CV-0409 (S.D.N.Y.). On October 4, 2013, the Court entered an order permanently enjoining Chiasson from future violations of Section 10(b) of the Securities Exchange Act of 1934, Rule 10b-5 thereunder, and Section 17(a) of the Securities Act of 1933. The Commission's complaint alleged, among other things, that, beginning in 2008, in connection with the purchase or sale of securities, Chiasson knew, recklessly disregarded, or should have known, that material nonpublic information he received from a Level Global analyst was disclosed or misappropriated in breach of a fiduciary duty, or similar relationship of trust and confidence, and that Chiasson is liable for insider trading because he directly or indirectly caused Level Global to place trades based on material nonpublic information and/or unlawfully tipped such information to Level Global.

On December 17, 2012, Chiasson was convicted of one count of conspiracy to commit securities fraud and five counts of securities fraud in violation of Section 10(b) of the Exchange Act and Rule 10b-5 before the United States District Court for the Southern District of New York, in U.S. v. Newman et al., S2:12-cr-121 (RJS). On May 14, 2013, a judgment in the criminal case was entered against Chiasson. (The judgment was later amended on July 16, 2013.) He was sentenced to a prison term of 78 months followed by one year of supervised release. He was also ordered to pay a fine of $5 million and $1,382,217 in criminal forfeiture.

A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations against Chiasson are true, to afford him an opportunity to establish defenses to the allegations, to determine whether remedial action is appropriate in the public interest against Respondent pursuant to Section 203(f) of the Advisers Act. The Administrative Law Judge is directed to issue a decision no later than 210 days from the date of service of the Order Instituting Proceedings, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. (Rel. IA-3698)

In the Matter of Todd Newman

The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing against Todd Newman (Newman). The Order finds that from 2006 to 2011, Newman was employed as a research analyst in the New York office of Diamondback Capital Management, LLC (Diamondback Capital), a registered investment adviser based in Stamford, Connecticut.

On January 18, 2012, the Commission filed a civil action against Newman in SEC v. Adondakis et al., Civil Action No. 12-CV-0409 (S.D.N.Y.). On October 4, 2013, the Court entered an order permanently enjoining Newman from future violations of Section 10(b) of the Securities Exchange Act of 1934, Rule 10b-5 thereunder, and Section 17(a) of the Securities Act of 1933. The Commission's complaint alleged, among other things, that, beginning in 2008, in connection with the purchase or sale of securities, Newman knew, recklessly disregarded, or should have known, that material nonpublic information he received from a Diamondback analyst was disclosed or misappropriated in breach of a fiduciary duty, or similar relationship of trust and confidence, and that Newman is liable for insider trading because he directly or indirectly caused Diamondback to place trades based on material nonpublic information and/or unlawfully tipped such information to Diamondback.

On December 17, 2012, in a parallel criminal proceeding, Newman was convicted of one count of conspiracy to commit securities fraud and four counts of securities fraud in violation of Section 10(b) of the Exchange Act and Rule 10b-5 before the United States District Court for the Southern District of New York, in U.S. v. Newman et al., S2:12-cr-121 (RJS). On May 9, 2013, a judgment in the criminal case was entered against Newman. He was sentenced to a prison term of 54 months followed by one year of supervised release. He was also ordered to pay a fine of $1 million and $737,724 in criminal forfeiture.

A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations against Newman are true, to afford him an opportunity to establish defenses to the allegations, and to determine whether remedial action is appropriate in the public interest against Respondent pursuant to Section 203(f) of the Advisers Act. The Administrative Law Judge is directed to issue a decision no later than 210 days from the date of service of the Order Instituting Proceedings, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. (Rel. IA-3699)

Commission Orders Hearings on Registration Suspension or Revocation against Newtech Resources Ltd. for Failure to Make Required Periodic Filings

In conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of Newtech Resources Ltd., for failure to make required periodic filings with the Commission. In the Matter of Newtech Resources Ltd., Administrative Proceeding File No. 3-15576.

In this Order, the Division of Enforcement (Division) alleges that Newtech Resources Ltd. is delinquent in its required periodic filings with the Commission.

In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondent to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registration pursuant to Exchange Act Section 12 of each class of the securities of this Respondent should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-70722)

Commission Orders Hearings on Registration Suspension or Revocation against High End Ventures, Inc. for Failure to Make Required Periodic Filings

In conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of High End Ventures, Inc., for failure to make required periodic filings with the Commission. In the Matter of High End Ventures, Inc., Administrative Proceeding File No. 3-15577.

In this Order, the Division of Enforcement (Division) alleges that High End Ventures, Inc. is delinquent in its required periodic filings with the Commission.

Investment company orders

The KP Funds and
Callan Associates Inc.

An order has been issued on an application filed by The KP Funds and Callan Associates Inc. exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order permits the applicants to enter into and materially amend subadvisory agreements with wholly-owned subadvisors and non-affiliated subadvisors without shareholder approval and would grant relief from certain disclosure requirements. (Rel. IC-30748)

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Change

The Chicago Mercantile Exchange Inc. (CME) filed a proposed rule change (File No. SR-CME-2013-19) under Section 19(b)(1) of the Securities Exchange Act of 1934 regarding the adoption of CME Rule 1001. Publication is expected in the Federal Register during the week of October 21st. (Rel. 34-70725)

A proposal filed by Box Options Exchange LLC to amend BOX Rules 4020 (Opening of Accounts), 4050 (Discretionary Accounts), and 4060 (Confirmation to Public Customers) to conform to the corresponding rules of the Financial Industry Regulatory Authority, Inc. (SR-BOX-2013-50) has become immediately effective pursuant to Section 19(b)(3) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 21st. (Rel. 34-70726)

The New York Stock Exchange LLC filed a proposed rule change (SR-NYSE-2013-67) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to amend the quantitative continued listing standards applicable to companies listed under sections 102.01C and 103.01B of the Listed Company Manual. Publication is expected in the Federal Register during the week of October 21st. (Rel. 34-70728)

Securities Act Registrations

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-11    Five Oaks Investment Corp., 641 LEXINGTON AVENUE, SUITE 1432, NEW YORK, 
        NY, 10022, (212) 328-9521 - 0 ($50,000,000.00) Equity, 
        (File 333-191787 - Oct. 18) (BR. 08C)

S-8     LightInTheBox Holding Co., Ltd., BUILDING 2, AREA D, FLOOR 1-2, 
        DIANTONG TIMES SQUARE,CHAOYANG DISTRICT, Beijing, F4, 100025, 
        86-10-5908-0008 - 0 ($3,700,017.16) Equity, (File 333-191788 - Oct. 18) 
        (BR. 02)

S-1     Nimble Storage Inc, 2740 ZANKER ROAD, SAN JOSE, CA, 95134, 
        408 432-9600 - 0 ($150,000,000.00) Equity, (File 333-191789 - Oct. 18) 
        (BR. 03A)

S-1     NRG ENERGY, INC., 211 CARNEGIE CENTER, -, PRINCETON, NJ, 08540, 
        609-524-4500 - 0 ($350,000,000.00) Equity, (File 333-191797 - Oct. 18) 
        (BR. 02C)

S-1     Prime Meridian Holding Co, 1897 CAPITAL CIRCLE, NE, TALLAHASSEE, FL, 
        32308, 850-907-2301 - 1,200,000 ($15,000,000.00) Equity, 
        (File 333-191801 - Oct. 18) (BR. 07)

S-1     INTERNATIONAL COMMERCIAL TELEVISION INC, 10245 SUNRISE PLACE NE, SUITE, 
        BAINBRIDGE ISLAND, WA, 98110, 888-449-4288 - 
        5,000,000 ($2,050,000.00) Equity, (File 333-191802 - Oct. 18) (BR. 02B)

S-8     CACHE INC, 1440 BROADWAY, 5TH FLOOR, NEW YORK, NY, 10018, 
        212-575-3200 - 0 ($9,286,566.94) Other, (File 333-191803 - Oct. 18) 
        (BR. 09B)

S-8     SANDISK CORP, 951 SANDISK DRIVE, MILPITAS, CA, 95035, 408-801-1000 - 
        183,069 ($3,546,046.53) Equity, (File 333-191804 - Oct. 18) (BR. 03B)

S-4     MONITRONICS INTERNATIONAL INC, 2350 VALLEY VIEW LANE, SUITE 100, 
        DALLAS, TX, 75234-5736, (972) 243-7443 - 0 ($175,000,000.00) Debt, 
        (File 333-191805 - Oct. 18) (BR. 11C)

S-4     Energy XXI Gulf Coast, Inc., 1021 MAIN STREET, SUITE 2626, HOUSTON, TX, 
        77002, 713-351-3000 - 0 ($500,000,000.00) Debt, (File 333-191806 - 
        Oct. 18) (BR. 04)

N-2     FIRST TRUST NEW OPPORTUNITIES MLP & ENERGY FUND, 
        120 EAST LIBERTY DRIVE, SUITE 400, WHEATON, IL, 60187, 630-765-8000 - 
        1,000 ($20,000.00) Equity, (File 333-191808 - Oct. 18) (BR. )

S-3     LUNA INNOVATIONS INC, 2851 COMMERCE ST, BLACKSBURG, VA, 24060, 
        540-769-8400 - 0 ($3,533,795.74) Equity, (File 333-191809 - Oct. 18) 
        (BR. 01B)

N-2     Cushing Renaissance Fund, 8117 PRESTON ROAD, SUITE 440, DALLAS, TX, 
        75225, 214-692-6334 - 0 ($1,000,000.00) Equity, (File 333-191810 - 
        Oct. 18) (BR. 17)

S-1     TETRALOGIC PHARMACEUTICALS CORP, 343 PHOENIXVILLE PIKE, MALVERN, PA, 
        19355, 610-889-9900 - 0 ($103,500,000.00) Equity, (File 333-191811 - 
        Oct. 18) (BR. 01B)

S-8     SCIENTIFIC GAMES CORP, 750 LEXINGTON AVE, NEW YORK, NY, 10022, 
        3027374300 - 0 ($113,199,639.82) Other, (File 333-191817 - Oct. 18) 
        (BR. 03B)

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:

1.01	Entry into a Material Definitive Agreement
1.02	Termination of a Material Definitive Agreement
1.03	Bankruptcy or Receivership
2.01	Completion of Acquisition or Disposition of Assets
2.02	Results of Operations and Financial Condition
2.03	Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
2.04	Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
2.05	Cost Associated with Exit or Disposal Activities
2.06	Material Impairments
3.01	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
3.02	Unregistered Sales of Equity Securities
3.03	Material Modifications to Rights of Security Holders
4.01	Changes in Registrant's Certifying Accountant
4.02	Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
5.01	Changes in Control of Registrant
5.02	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer
5.03	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04	Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05	Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
5.06	Change in Shell Company Status
6.01	ABS Informational and Computational Material.
6.02	Change of Servicer or Trustee.
6.03	Change in Credit Enhancement or Other External Support.
6.04	Failure to Make a Required Distribution.
6.05	Securities Act Updating Disclosure.
7.01	Regulation FD Disclosure
8.01	Other Events
9.01	Financial Statements and Exhibits

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

ACACIA RESEARCH CORP                    DE       8.01                 09/30/13

ACME UNITED CORP                        CT       2.02,9.01            10/18/13

Activision Blizzard, Inc.               DE       1.01,1.02,2.01,      10/11/13
                                                 2.03,3.03,5.02,5.08,8.01,9.01
ADCARE HEALTH SYSTEMS, INC              OH       5.03,8.01,9.01       10/17/13

ADVANCED MEDICAL ISOTOPE Corp           DE       5.02,9.01            10/17/13

Advaxis, Inc.                           DE       8.01,9.01            10/16/13

AGENT155 MEDIA CORP.                    NV       3.02,9.01            05/15/13

AIR LEASE CORP                          DE       3.02                 10/15/13

Aircastle LTD                           D0       7.01,9.01            10/17/13

ALIMERA SCIENCES INC                    DE       8.01,9.01            10/18/13

AlumiFuel Power Corp                    NV       5.03,9.01            10/14/13

AMEREN ENERGY GENERATING CO             IL       2.01,8.01,9.01       10/11/13

AMERICAN HONDA RECEIVABLES LLC          DE       6.01,9.01            10/18/13

Americas Diamond Corp.                  NV       8.01,9.01            10/15/13

AMERISERV FINANCIAL INC /PA/            PA       8.01                 10/18/13

AMES NATIONAL CORP                      IA       2.02,7.01,9.01       10/18/13

Anacor Pharmaceuticals, Inc.            DE       8.01,9.01            10/17/13

Andatee China Marine Fuel Services Co   DE       5.02,9.01            09/25/13

Apollo Medical Holdings, Inc.           DE       1.01,2.03,9.01       10/15/13

ARIAD PHARMACEUTICALS INC               DE       8.01,9.01            10/18/13

ARRHYTHMIA RESEARCH TECHNOLOGY INC /D   DE       4.01,9.01            10/15/13

Aspect FuturesAccess LLC                DE       5.03,9.01            10/14/13

BAKER HUGHES INC                        DE       2.02,7.01,9.01       10/18/13

BAYLAKE CORP                            WI       2.02,9.01            10/17/13

BILL BARRETT CORP                       DE       7.01,9.01            10/17/13

BIOANALYTICAL SYSTEMS INC               IN       2.02,9.01            10/18/13

BLUE RIDGE REAL ESTATE CO               PA       5.07                 10/18/13

Blueknight Energy Partners, L.P.        DE       1.01,9.01            10/16/13

BOB EVANS FARMS INC                     DE       5.02,9.01            08/16/13    AMEND

Bohai Pharmaceuticals Group, Inc.       NV       8.01                 10/17/13

Booz Allen Hamilton Holding Corp        DE       2.03                 10/15/13

BORGWARNER INC                          DE       8.01,9.01            10/18/13

BOSTON PRIVATE FINANCIAL HOLDINGS INC   MA       2.02,9.01            10/17/13

BRT REALTY TRUST                        MA       8.01,9.01            10/15/13

CADENCE PHARMACEUTICALS INC                      8.01                 10/18/13

CAESARS ENTERTAINMENT Corp              DE       8.01,9.01            10/18/13

CALPINE CORP                            DE       7.01,9.01            10/17/13

CAMCO FINANCIAL CORP                    DE       4.01,9.01            10/11/13

Capitol Federal Financial Inc           MD       7.01,9.01            10/18/13

Cardigant Medical Inc.                  DE       5.02                 10/18/13

CARNIVAL CORP                           DE       5.02                 10/14/13

CATO CORP                               DE       5.07                 02/02/13

CCA INDUSTRIES INC                      DE       5.02,8.01,9.01       10/17/13

CD INTERNATIONAL ENTERPRISES, INC.      FL       8.01,9.01            10/18/13

Celanese Corp                           DE       2.02,7.01,9.01       10/18/13

CENTRAL ENERGY PARTNERS LP              DE       2.03                 10/14/13

Ceres, Inc.                             DE       2.05,5.02            10/11/13

CHIMERIX INC                            DE       8.01,9.01            10/18/13

China Housing & Land Development, Inc   NV       2.02,4.02,9.01       10/18/13

CHIPOTLE MEXICAN GRILL INC                       2.02,9.01            10/17/13

ChromaDex Corp.                         DE       1.01,3.02,9.01       10/17/13

CIG WIRELESS CORP.                      NY       2.01,9.01            08/02/13    AMEND

Cinedigm Corp.                          DE       2.02,7.01,9.01       10/18/13

Cinedigm Corp.                          DE       1.01,9.01            10/17/13

CION Investment Corp                    MD       2.02,9.01            10/18/13

Citadel EFT, Inc.                       NV       4.01,9.01            09/17/13    AMEND

CLEVELAND BIOLABS INC                   DE       1.01,8.01,9.01       10/18/13

ClubCorp Holdings, Inc.                 NV       2.02,9.01            10/17/13

COMMUNICATIONS SYSTEMS INC              MN       5.02,9.01            10/11/13

Compressco Partners, L.P.               DE       1.01,1.02,2.03,      10/15/13
                                                 3.03,9.01 
Cooper-Standard Holdings Inc.           DE       8.01,9.01            10/18/13

CorMedix Inc.                           DE       1.01,3.02,9.01       10/17/13

Corporate Resource Services, Inc.       DE       8.01,9.01            10/18/13

Crestwood Midstream Partners LP         DE       7.01,9.01            10/17/13

CROSSTEX ENERGY INC                     DE       7.01,9.01            10/18/13

CROSSTEX ENERGY LP                      DE       7.01,9.01            10/18/13

CyrusOne Inc.                           MD       5.02                 10/18/13

CYTEC INDUSTRIES INC/DE/                DE       2.02,9.01            10/17/13

Dakota Creek Minerals Inc.                       5.02,9.01            10/08/13

DAWSON GEOPHYSICAL CO                   TX       5.02                 10/11/13

DONEGAL GROUP INC                       DE       7.01,9.01            10/17/13

DREW INDUSTRIES INC                     DE       8.01,9.01            10/18/13

DYNAVAX TECHNOLOGIES CORP               DE       8.01,9.01            10/16/13

EAGLE FINANCIAL SERVICES INC            VA       2.02,9.01            10/18/13

EASTGROUP PROPERTIES INC                MD       2.02,7.01,9.01       10/17/13

EDISON MISSION ENERGY                   DE       1.01,9.01            10/18/13

EFACTOR GROUP CORP.                              5.02,9.01            10/18/13

Enerpulse Technologies, Inc.            NY       2.01,3.02,4.01,      09/04/13    AMEND
                                                 5.01,5.02,5.03,5.06,9.01 
ENTERPRISE FINANCIAL SERVICES CORP      DE       5.02                 10/11/13

EnviroStar, Inc.                        DE       1.01,9.01            10/16/13

Epcylon Technologies, Inc.              NV       5.02,9.01            10/11/13

EPR PROPERTIES                          MD       8.01,9.01            10/18/13

FAIRCHILD SEMICONDUCTOR INTERNATIONAL   DE       3.01,9.01            10/18/13

FIRST BANKS, INC                        MO       2.02,9.01            10/18/13

First Federal of Northern Michigan Ba            8.01,9.01            10/15/13

FIRST FINANCIAL BANKSHARES INC          TX       2.02,9.01            10/17/13

FIRST HORIZON NATIONAL CORP             TN       2.02,7.01,9.01       10/18/13

FIRST HORIZON NATIONAL CORP             TN       2.02,7.01,9.01       10/18/13

FIRST NIAGARA FINANCIAL GROUP INC       DE       2.02,9.01            10/18/13

FIRST NIAGARA FINANCIAL GROUP INC       DE       2.02                 10/18/13

Frank's International N.V.              P7       3.01                 10/11/13

Franklin Credit Management Corp         DE       3.02                 10/18/13

FRONTIER OILFIELD SERVICES INC          TX       2.01,8.01            10/11/13

Fuel Systems Solutions, Inc.                     5.02                 10/17/13

Gaming & Leisure Properties, Inc.       PA       8.01                 10/11/13

GASCO ENERGY INC                        NV       8.01,9.01            10/18/13

GELIA GROUP, CORP.                      NV       8.01                 10/18/13

GelTech Solutions, Inc.                 DE       3.02                 10/11/13

GENERAL ELECTRIC CAPITAL CORP           CT       8.01,9.01            10/18/13

GENERAL ELECTRIC CO                     NY       2.02,9.01            10/18/13

GENUINE PARTS CO                        GA       2.02,9.01            10/18/13

Globalstar, Inc.                        DE       1.01,3.02            10/14/13

GRANDPARENTS.COM, INC.                  DE       1.01                 10/11/13

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            09/30/13

Green Automotive Co                              1.01,2.01,3.02,      12/14/12    AMEND
                                                 5.01,5.02,5.03,5.06,9.01 
Guaranty Bancorp                        DE       2.02,9.01            10/16/13

HANMI FINANCIAL CORP                    DE       5.02,9.01            08/23/13

HARBINGER GROUP INC.                    DE       7.01                 10/18/13

HCI Group, Inc.                         FL       1.01,3.03,5.03,      10/18/13
                                                 7.01,9.01  
HEARTLAND EXPRESS INC                   NV       2.02,9.01            10/16/13

HEMISPHERX BIOPHARMA INC                DE       5.07                 10/18/13

HONEYWELL INTERNATIONAL INC             DE       2.02,9.01            10/18/13

HORIZON BANCORP /IN/                    IN       2.02,9.01            10/17/13

HUB GROUP INC                           DE       2.02,9.01            09/30/13

Huntsman CORP                           DE       1.01,2.03,9.01       10/15/13

IASIS Healthcare LLC                    DE       7.01                 10/18/13

IMH Financial Corp                      DE       7.01,9.01            10/18/13

Ingersoll-Rand plc                      L2       2.02,2.06,9.01       10/14/13

INTER PARFUMS INC                       DE       8.01                 10/18/13

INTERPUBLIC GROUP OF COMPANIES, INC.    DE       2.02,9.01            10/18/13

InvenSense Inc                          DE       1.01,9.01            10/14/13

INVESTMENT TECHNOLOGY GROUP INC         DE       5.02                 10/16/13

IRON MOUNTAIN INC                       DE       8.01                 10/17/13

James River Coal CO                     VA       2.05                 10/18/13

JDS UNIPHASE CORP /CA/                  DE       5.02                 10/18/13

K-V Pharmaceutical Co                   DE       5.02,7.01,9.01       10/10/13

KANSAS CITY SOUTHERN                    DE       2.02,9.01            10/18/13

KKR & Co. L.P.                          DE       3.02,7.01,9.01       10/18/13

KMG CHEMICALS INC                       TX       2.05,9.01            10/18/13

LABORATORY CORP OF AMERICA HOLDINGS     DE       2.02                 10/18/13

LABORATORY CORP OF AMERICA HOLDINGS     DE       7.01                 10/18/13

LABORATORY CORP OF AMERICA HOLDINGS     DE       5.02                 10/18/13

LASERLOCK TECHNOLOGIES INC              NV       5.02                 10/16/13

LEAP WIRELESS INTERNATIONAL INC         DE       8.01                 10/17/13

Leidos Holdings, Inc.  1.01                                           10/11/13

LEUCADIA NATIONAL CORP                  NY       1.01,8.01,9.01       10/15/13

LIBERTY STAR URANIUM & METALS CORP.     NV       8.01,9.01            10/11/13

Lifevantage Corp                        CO       1.01,2.03,3.02,9.01  10/18/13

LIPOSCIENCE INC                         DE       5.02                 10/18/13

Lone Pine Resources Inc.                DE       3.01                 10/11/13

LOOKSMART LTD                           DE       5.07                 10/14/13

LORAL SPACE & COMMUNICATIONS INC.       DE       8.01                 10/17/13

MACROGENICS INC                         DE       5.03,8.01,9.01       10/16/13

MamaMancini's Holdings, Inc.            NV       7.01,9.01            10/17/13

Manitex International, Inc.             MI       1.01,9.01            10/15/13

MARCUS CORP                             WI       5.07                 10/17/13

MB FINANCIAL INC /MD                             2.02,9.01            10/17/13

MCDERMOTT INTERNATIONAL INC             R1       5.02,9.01            10/17/13

MDC HOLDINGS INC                        DE       5.02,9.01            10/18/13

MEDGENICS, INC.                         DE       5.02,7.01,9.01       10/15/13

MEDICINOVA INC                          DE       5.02,9.01            10/15/13

MetroCorp Bancshares, Inc.              TX       2.02,9.01            10/18/13

Millennial Media Inc.                   DE       3.01                 10/14/13

MILLER ENERGY RESOURCES, INC.           TN       5.02                 10/17/13

Monarch Financial Holdings, Inc.        VA       2.02,8.01,9.01       10/17/13

MORGAN STANLEY                          DE       2.02,9.01            10/18/13

MoSys, Inc.                             DE       2.02,9.01            10/18/13

MUELLER INDUSTRIES INC                  DE       8.01                 10/18/13

MVB FINANCIAL CORP                      WV       5.03,9.01            10/15/13

N-VIRO INTERNATIONAL CORP               DE       1.01                 10/17/13

NATION ENERGY INC                       DE       9.01                 10/17/13

NATIONAL HEALTH INVESTORS INC           MD       8.01,9.01            10/16/13

NEULION, INC.                                    5.07                 06/05/13    AMEND

NORFOLK SOUTHERN CORP                   VA       1.01,9.01            10/18/13

NORWOOD FINANCIAL CORP                  PA       2.02,9.01            10/18/13

NRG ENERGY, INC.                        DE       1.01,9.01            10/18/13

NYSE Euronext                           DE       1.01,9.01            10/14/13

OCCIDENTAL PETROLEUM CORP /DE/          DE       8.01,9.01            10/18/13

OCEANFIRST FINANCIAL CORP               DE       2.02,8.01,9.01       10/17/13

OLD SECOND BANCORP INC                  DE       1.02                 10/17/13

Oncothyreon Inc.                        DE       5.02                 09/05/13    AMEND

ORAGENICS INC                           FL       7.01,9.01            10/18/13

PACIFIC GOLD CORP                       NV       3.03,5.03,9.01       10/18/13

PAN GLOBAL, CORP.                       NV       3.02,5.03,9.01       10/18/13

Panache Beverage, Inc.                           7.01,9.01            10/16/13

PARK ELECTROCHEMICAL CORP               NY       5.02                 10/15/13

PARKER HANNIFIN CORP                    OH       2.02,7.01,9.01       10/18/13

PENN NATIONAL GAMING INC                PA       2.02,9.01            10/17/13

PENN NATIONAL GAMING INC                PA       1.01                 10/11/13

People's United Financial, Inc.         DE       2.02,7.01,9.01       10/17/13

PEREGRINE PHARMACEUTICALS INC           DE       5.02,5.07            10/17/13

PIEDMONT NATURAL GAS CO INC             NC       7.01                 10/16/13

PIER 1 IMPORTS INC/DE                   DE       5.02,7.01,9.01       10/17/13

PINNACLE ENTERTAINMENT INC.             DE       7.01,9.01            10/18/13

PIONEER NATURAL RESOURCES CO            DE       2.02,7.01            10/18/13

Pioneer Southwest Energy Partners L.P   DE       2.02,7.01            10/18/13

Polar Petroleum Corp.                            1.01,2.03,9.01       10/16/13

PostRock Energy Corp                    DE       1.01,3.02            10/14/13

PPL Corp                                         2.03,8.01,9.01       09/17/13

Premier, Inc.                                    5.02,8.01,9.01       10/11/13

PRIMUS TELECOMMUNICATIONS GROUP INC     DE       5.03,9.01            10/15/13

pSivida Corp.                           DE       8.01,9.01            10/17/13

RAIT Financial Trust                    MD       1.01,2.03,9.01       10/11/13

RARE ELEMENT RESOURCES LTD              A1       5.02                 10/17/13

REPUBLIC BANCORP INC /KY/               KY       2.02,9.01            10/18/13

Resolute Forest Products Inc.           DE       5.02                 10/17/13

RICKS CABARET INTERNATIONAL INC         TX       3.02                 10/15/13

RING ENERGY, INC.                       NV       1.01,9.01            10/16/13

RLI CORP                                IL       7.01,9.01            10/17/13

ROCHESTER MEDICAL CORPORATION           MN       8.01                 10/17/13

ROSS STORES INC                         DE       7.01                 10/15/13

RTI SURGICAL, INC.                      DE       1.01,8.01,9.01       10/12/13

SAGA COMMUNICATIONS INC                 DE       5.02,5.07,7.01,9.01  10/16/13

SBT Bancorp, Inc.                       CT       8.01,9.01            10/18/13

SCANSOURCE INC                          SC       5.02                 10/15/13

SCHLUMBERGER LTD /NV/                   P8       2.02,7.01,9.01       10/18/13

SCIENTIFIC GAMES CORP                   DE       1.01,1.02,2.01,      10/18/13
                                                 2.03,8.01,9.01 
Scio Diamond Technology Corp            NV       1.01,2.03,9.01       10/11/13

SELECT COMFORT CORP                     MN       1.01,2.03,9.01       10/15/13

SILVER STREAM MINING CORP.              NV       9.01                 10/17/13

Silverton Adventures, Inc.              NV       5.03,9.01            10/18/13    AMEND

SOLERA HOLDINGS, INC                    DE       8.01,9.01            10/17/13

SOLIGENIX, INC.                         DE       5.02                 10/14/13

SOURCE FINANCIAL, INC.                           5.02                 10/16/13

Southern Trust Securities Holding Cor   FL       5.02                 10/17/13

SPAR GROUP INC                          DE       4.01,9.01            10/14/13

SPARTAN STORES INC                      MI       5.03                 10/16/13

Standard Drilling, Inc.                          9.01                 10/17/13

Standard Financial Corp.                MD       2.02,8.01,9.01       10/17/13

Starz                                   DE       7.01,9.01            10/14/13

Starz, LLC                              DE       7.01,9.01            10/14/13

Strategic Realty Trust, Inc.            MD       8.01                 10/17/13

Stratex Oil & Gas Holdings, Inc.        CO       1.01,9.01            10/15/13

Summit Materials, LLC                   DE       5.02,9.01            10/14/13

SUNTRUST BANKS INC                      GA       2.02,7.01,9.01       10/18/13

SUTRON CORP                             VA       5.02                 10/11/13

TAYLOR CAPITAL GROUP INC                DE       2.02,9.01            10/17/13

TECHPRECISION CORP                               4.01,9.01            10/14/13

TENGASCO INC                            TN       5.07,7.01,9.01       10/17/13

TESSCO TECHNOLOGIES INC                 DE       1.01                 10/18/13

TETRA TECHNOLOGIES INC                  DE       1.01,1.02,2.03,      10/15/13
                                                 3.03,9.01
TEXAS INDUSTRIES INC                    DE       5.07                 10/16/13

TEXTRON INC                             DE       2.02,9.01            10/18/13

TigerLogic CORP                         DE       1.01,5.02,7.01,9.01  10/16/13

Titan Iron Ore Corp.                    NV       1.01,3.02,9.01       10/15/13

TOMPKINS FINANCIAL CORP                 NY       2.02,8.01,9.01       10/18/13

TRANS LUX CORP                          DE       3.02,8.01,9.01       10/16/13

TRINITY CAPITAL CORP                    NM       5.02,9.01            10/17/13

True Drinks Holdings, Inc.              NV       8.01,9.01            10/16/13

TWENTY-FIRST CENTURY FOX, INC.                   8.01,9.01            10/18/13

TWENTY-FIRST CENTURY FOX, INC.                   5.02,5.07,9.01       10/18/13

U S PRECIOUS METALS INC                 DE       5.02                 10/16/13

U.S. Well Services, LLC                 DE       8.01,9.01            10/18/13

U.S. Well Services, LLC                 DE       1.01,2.03,9.01       10/18/13

Ubiquiti Networks, Inc.                 DE       5.02,9.01            10/11/13

UNITED BANCSHARES INC/OH                OH       7.01,8.01,9.01       10/18/13

United Financial Bancorp, Inc.                   2.02,9.01            10/17/13

UNITED STATES STEEL CORP                DE       8.01,9.01            10/18/13

UNITIL CORP                             NH       4.01,9.01            09/19/13

URANIUM ENERGY CORP                     NV       7.01,9.01            10/18/13

usell.com, Inc.                         DE       8.01                 10/18/13

VALLEY FINANCIAL CORP /VA/              VA       7.01,9.01            10/18/13

VALMONT INDUSTRIES INC                  DE       2.02,9.01            10/17/13

VERDE RESOURCES, INC.                   NV       5.02                 10/17/13

WATERS CORP /DE/                        DE       5.03,9.01            10/16/13

WAUSAU PAPER CORP.                      WI       8.01,9.01            10/17/13

WHITE MOUNTAIN TITANIUM CORP            NV       7.01,9.01            10/17/13

WHOLELIFE COMMUNITIES, INC.                      5.03                 10/17/13

WIRELESS RONIN TECHNOLOGIES INC         MN       5.02                 10/18/13

WMS INDUSTRIES INC /DE/                 DE       1.02,2.01,3.01,      10/18/13
                                                 3.03,5.01,5.02,5.03,9.01 
WORTHINGTON INDUSTRIES INC              OH       8.01,9.01            10/17/13

WOUND MANAGEMENT TECHNOLOGIES, INC.     TX       1.01,2.03,3.02,      10/16/13
                                                 5.02,9.01
WRIGHT MEDICAL GROUP INC                DE       1.01,7.01,9.01       10/17/13

WSI INDUSTRIES, INC.                    MN       2.02,5.02,8.01,9.01  10/15/13

XPLORE TECHNOLOGIES CORP                DE       2.02,9.01            10/18/13

Zann Corp                               NV       8.01,9.01            10/14/13

ZBB ENERGY CORP                         WI       3.01,5.03,9.01       10/14/13

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