SEC News Digest, November 29, 2013

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Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2013-95) to amend its rules concerning communications with the public to harmonize them with certain Financial Industry Regulatory Authority, Inc. rules and make other conforming changes has become immediately 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 December 2nd. (Rel. 34-70963)

A proposed rule change filed by New York Stock Exchange LLC (SR-NYSE-2013-76) to amend its rules concerning communications with the public to harmonize them with certain Financial Industry Regulatory Authority, Inc. rules and make other conforming changes has become immediately 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 December 2nd. (Rel. 34-70962)

Notice of Proposed Rule Change

Chicago Board Options Exchange, Incorporated has filed a proposed rule change (SR-CBOE-2013-113) relating to Multi-Class Spread Orders. Publication is expected in the Federal Register during the week of December 2nd. (Rel. 34-70961)

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-3     EDUCATION MANAGEMENT CORPORATION, 4125620900 - 
        0 ($1,000,000,000.00) Unallocated (Universal) Shelf, (File 333-192573 - 
        Nov. 27) (BR. 11C)

S-1     EFACTOR GROUP CORP., 605 MARKET STREET, STE 600, SAN FRANCISCO, CA, 
        94105, 650-380-8280 - 1,640,000 ($15,280,000.00) Equity, 
        (File 333-192574 - Nov. 27) (BR. 03A)

S-3D    AMERICAN REALTY CAPITAL NEW YORK RECOVERY REIT INC, 405 PARK AVENUE, 
        15TH FLOOR, NEW YORK, NY, 10022, 212 415 6500 - 
        0 ($238,000,000.00) Equity, (File 333-192576 - Nov. 27) (BR. 08B)

S-3     WFB Funding, LLC, ONE CABELA DRIVE, SIDNEY, NE, 69160, 402-323-4476 - 
        0 ($1,000,000.00) Asset-Backed Securities, (File 333-192577 - Nov. 27) 
        (BR. )

S-8     Atlas Financial Holdings, Inc., 150 NORTHWEST POINT BOULEVARD, 
        ELK GROVE VILLAGE, IL, 60007, 847-700-8000 - 
        834,876 ($9,221,534.19) Equity, (File 333-192579 - Nov. 27) (BR. 01B)

S-8     Oxford Immunotec Global PLC, 94C INNOVATION DRIVE, MILTON PARK, 
        ABINGDON, X0, OX14 4RZ, 44 01235 442780 - 0 ($626,998.08) Equity, 
        (File 333-192582 - Nov. 27) (BR. 01B)

S-3D    LAKELAND BANCORP INC, 250 OAK RIDGE RD, OAK RIDGE, NJ, 07438, 
        9736972000 - 0 ($17,422,500.00) Equity, (File 333-192584 - Nov. 27) 
        (BR. 07B)

S-1     Instride Inc, 7950 NW 53RD ST, SUITE 337, MIAMI, FL, 33166, 
        786-228-5808 - 400,000 ($100,000.00) Equity, (File 333-192585 - 
        Nov. 27) (BR. )

S-1     COMMITTED CAPITAL ACQUISITION Corp II, 712 FIFTH AVENUE 22ND FLOOR, 
        ATTN: GEORGE CANNON, NEW YORK, NY, 10019, (212) 277-5301 - 
        0 ($57,500,000.00) Equity, (File 333-192586 - Nov. 27) (BR. 04B)

S-8     American Realty Capital Properties, Inc., 405 PARK AVENUE, NEW YORK, 
        NY, 10022, 212-415-6500 - 20,514,421 ($266,072,040.00) Equity, 
        (File 333-192587 - Nov. 27) (BR. 08B)

S-8     TransCoastal Corp, 17304 PRESTON ROAD, SUITE 700, DALLAS, TX, 75252, 
        972-818-0720 - 5,000,000 ($7,250,000.00) Equity, (File 333-192588 - 
        Nov. 27) (BR. 04A)

S-1     Asterias Biotherapeutics, Inc., 230 CONSTITUTION DRIVE, MENLO PARK, CA, 
        94025, 510-521-3390 - 0 ($15,562,500.00) Equity, (File 333-192589 - 
        Nov. 27) (BR. 01B)

S-1     NATURAL GAS FUELING & CONVERSION INC., 7135 COLLINS AVE NO. 624, 
        MIAMI BEACH, FL, 33141, 3058658193 - 
        10,000,000 ($30,000,000.00) Equity, (File 333-192590 - Nov. 27) (BR. )

S-8     Spy Inc., 2070 LAS PALMAS DRIVE, CARLSBAD, CA, 92009, (760) 804-8420 - 
        700,000 ($1,015,000.00) Equity, (File 333-192591 - Nov. 27) (BR. 10B)

S-11    American Homes 4 Rent, 30601 WEST AGOURA ROAD, SUITE 200, AGOURA HILLS, 
        CA, 91301, (805) 413-5300 - 0 ($115,000,000.00) Equity, 
        (File 333-192592 - Nov. 27) (BR. 08C)

S-8     Allegion plc, EARLSFORT CENTRE, EARLSFORT TERRACE, DUBLIN 2, L2, 00000, 
        (317) 810-3700 - 12,400,000 ($540,950,000.00) Equity, 
        (File 333-192593 - Nov. 27) (BR. 11C)

S-8     Arc Logistics Partners LP, 725 FIFTH AVENUE, 19TH FLOOR, NEW YORK, NY, 
        10022, (212) 993-1280 - 0 ($37,800,000.00) Equity, (File 333-192594 - 
        Nov. 27) (BR. 04A)

S-3     DARA BioSciences, Inc., 8601 SIX FORKS ROAD SUITE 160, RALEIGH, NC, 
        27615, (816) 914-7027 - 5,100,000 ($2,856,000.00) Debt, 
        (File 333-192595 - Nov. 27) (BR. 01B)

S-3     Builders FirstSource, Inc., 2001 BRYAN STREET, SUITE 1600, DALLAS, TX, 
        75201, (214) 880-3500 - 0 ($172,675,382.37) Equity, (File 333-192596 - 
        Nov. 27) (BR. 06A)

S-3     CYTRX CORP, 11726 SAN VICENTE BOULEVARD, SUITE 650, LOS ANGELES, CA, 
        90049, 310-826-5648 - 6,440,045 ($28,851,401.60) Equity, 
        0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-192597 - 
        Nov. 27) (BR. 01B)

S-1     Clifton Bancorp Inc., 1433 VAN HOUTEN AVENUE, CLIFTON, NJ, 07013, 
        973-473-2200 - 0 ($329,130,570.00) Equity, (File 333-192598 - Nov. 27) 
        (BR. )

S-1     ALKALINE WATER Co INC, 7730 E GREENWAY ROAD, SUITE 203, SCOTTSDALE, AZ, 
        85260, 480-272-7290 - 0 ($19,585,582.50) Equity, (File 333-192599 - 
        Nov. 27) (BR. 02C)

S-4     HUNTINGTON BANCSHARES INC/MD, HUNTINGTON CTR, 41 S HIGH ST HC0632, 
        COLUMBUS, OH, 43287, 6144808300 - 0 ($83,868,197.46) Equity, 
        (File 333-192600 - Nov. 27) (BR. 12A)

S-8     ALKALINE WATER Co INC, 7730 E GREENWAY ROAD, SUITE 203, SCOTTSDALE, AZ, 
        85260, 480-272-7290 - 0 ($7,600,000.00) Equity, (File 333-192601 - 
        Nov. 27) (BR. 02C)

S-1     MEMBERS Life Insurance Co, 2000 HERITAGE WAY, WAVERLY, IA, 50677, 
        608.238.5851 - 0 ($1,000,000,000.00) Other, (File 333-192603 - Nov. 27) 
        (BR. 29)

S-8     DOVER Corp, 3005 HIGHLAND PARKWAY, SUITE 200, DOWNERS GROVE, IL, 60515, 
        (630) 541-1540 - 0 ($459,975,000.00) Equity, (File 333-192604 - 
        Nov. 27) (BR. 10A)

S-1     Inogen Inc, 326 BOLLAY DRIVE, GOLETA, CA, 93117, 805-562-0500 - 
        0 ($86,250,000.00) Equity, (File 333-192605 - Nov. 27) (BR. 10A)

S-3     Stereotaxis, Inc., 4320 FOREST PARK AVENUE, SUITE 100, ST.LOUIS, MO, 
        63108, 314-678-6100 - 0 ($75,000,001.00) Other, (File 333-192606 - 
        Nov. 27) (BR. 10B)

S-1     ZaZa Energy Corp, 1301 MCKINNEY STREET, SUITE 2800, HOUSTON, TX, 77010, 
        713-595-1900 - 0 ($10,000,000.00) Debt, (File 333-192607 - Nov. 27) 
        (BR. 04A)

S-4     Calumet Specialty Products Partners, L.P., 2780 WATERFRONT, 
        PARKWAY E. DRIVE, SUITE 200, INDIANAPOLIS, IN, 46214, 317-328-5660 - 
        0 ($350,000,000.00) Debt, (File 333-192608 - Nov. 27) (BR. 04B)

S-11    Bluerock Residential Growth REIT, Inc., 680 5TH AVENUE, 16TH FLOOR, 
        NEW YORK, NY, 10019, (212) 843-1601 - 0 ($115,000,000.00) Equity, 
        (File 333-192610 - Nov. 27) (BR. 08C)

S-1     Ener-Core Inc., 9400 TOLEDO WAY, IRVINE, CA, 92618, (949) 616-3300 - 
        6,963,262 ($10,584,158.24) Equity, (File 333-192612 - Nov. 27) (BR. 06B)

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

Form 8-K filings can be researched through several SEC EDGAR searches, some of which have item filtering functionality.

Latest Filings Search, filtered for 8-K, returns the most recent 8-K filings. Item numbers are indicated on the results page. You can also subscribe to the associated RSS.
Boolean Archive Search, allows item searching and filtering by other “header data”. For example, here are 8-Ks filed on 10/30/2013 with Item 8.01. Note, however, that this search lags by one business day. The index is refreshed nightly.
Company Search, allows filtering for 8-K for a specific company. For example, see IBM’s 8-K filings.
EDGAR Full-Text Search, advanced menu, allows searching by 8-K with additional filtering by search phrase, SIC code, and date range. Note that this search only indexes filings from the last 4 years.
Current Events Search shows the most recent filings listed by day.

http://www.sec.gov/news/digest/2013/dig112913.htm

SEC NEWS DIGEST

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Change

Notice of Proposed Rule Change

Securities Act Registrations

Recent 8K Filings

Modified: 12/03/2013