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Commission AnnouncementsSEC Announces Panelists for Roundtable on Decimalization Enforcement ProceedingsThe Securities and Exchange Commission today announced the panelists who will participate in its roundtable next week on decimalization. The February 5 roundtable, which will evaluate the impact of tick sizes on the securities markets, will consist of three panels. Participants on the first panel will address the impact of tick sizes on small and mid-sized companies, the economic consequences (including costs and benefits) of increasing or decreasing minimum tick sizes, and whether other policy alternatives might better address concerns related to Section 106(b) of the JOBS Act. Participants on the second panel will address the impact of tick sizes on the securities market in general, including what benefits may have been achieved and what, if any, negative effects have resulted. Participants on the third panel will address potential methods for analysis of the issues, including whether and how to conduct a pilot for alternative minimum tick sizes. SEC staff is particularly interested in hearing what types of data that market participants should provide for use in assessing the effects of an increase or variation in minimum tick sizes for companies of different capitalizations. The roundtable will begin at 9:30 a.m. in the auditorium at the SEC’s Washington D.C. headquarters located at 100 F Street N.E. The public is invited to attend and observe the discussion with seating available on a first-come, first-served basis. The event will be webcast live on the SEC website and archived for later viewing. (Press Rel. 2013-16) ENFORCEMENT PROCEEDINGSCommission Declares Decision as to Lisa B. Premo FinalThe initial decision of an administrative law judge with respect to Lisa B. Premo has become final. The law judge ordered Premo to cease and desist from aiding and abetting and causing future violations of Sections 206(1) and (2) of the Investment Advisers Act of 1940 and Investment Company Act of 1940 Rule 22c-1(a). The law judge also barred Premo for five years from associating with an investment adviser and from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter. The law judge found that Lisa B. Premo, a mutual fund manager for a registered investment adviser, willfully aided and abetted and caused the investment adviser's violations of Sections 206(1) and (2) of the Advisers Act and Investment Company Act Rule 22c-1(a) when she knowingly failed to disclose relevant material information relating to a bond, resulting in the mispricing of the bond. As a result of this mispricing the funds shares were overpriced and investors overpaid for fund shares for approximately two months and the fund paid higher advisory fees than the investment advisor should have received. In imposing the sanction the law judge found that Premo's unblemished twenty-year record was outweighed by the seriousness of the conduct by someone working in a fiduciary capacity and by the harm to the public. (Rel. IA-3541; IC-30372; File No. 3-14697) In the Matter of William B. MitchellOn January 30, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against William B. Mitchell (Mitchell). The Order finds that Mitchell, a former officer of Garfield Taylor, Inc. (GTI) and Gibraltar Asset Management Group, LLC (GAM), solicited new investors and referred multiple potential investors to GTI in return for thousands of dollars in commission payments based on the amounts of money ultimately invested. Mitchell was not registered as a broker-dealer or associated with a registered broker-dealer at the time he worked for GTI and GAM. On January 16, 2013, a final judgment was entered by consent against Mitchell permanently enjoining him from future violations of Section 15(a) of the Exchange Act, in the civil action entitled Securities and Exchange Commission v. Garfield Taylor, Inc., et al., Civil Action No. 1:11-CV-02054-RLW, in the United States District Court for the District of Columbia. The Commission’s complaint alleged that Defendant Garfield M. Taylor, operating through GTI and GAM, defrauded over 130 investors, primarily middle-class residents and charitable organizations in the Washington, DC metropolitan area, of more than $27 million from at least 2005 until 2010. The complaint further alleged that Garfield Taylor (Taylor) orchestrated the frauds with the assistance of Mitchell and four other co-defendants; that Garfield Taylor induced Mitchell (who was not a licensed securities broker) to solicit and refer new investors to Taylor in exchange for commission payments based on the amounts invested; and that Mitchell solicited new investors and referred multiple potential investors to GTI in return for thousands of dollars in commission payments from GTI based on the amounts of money ultimately invested. Based on the above, the Order bars Mitchell 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. Mitchell consented to the issuance of the Order without admitting or denying any of the findings except he admitted the entry of the final judgment. (Rel. 34-68772; File No. 3-15195) Commission Declares Decision as to Stanley C. Brooks and Brookstreet Securities Corp. FinalThe Commission has declared final the initial decision of an administrative law judge barring Stanley C. Brooks and Brookstreet Securities Corp. (Respondents) from associating with any broker, dealer, or investment adviser and from participating in a penny stock offering. The initial decision found that on February 28, 2012, the Respondents were permanently enjoined by a federal district court from violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The court also ordered Brooks to pay a civil penalty of $10,010.00 and disgorge $90,000 plus prejudgment interest of $20,713.31. SEC v. Brookstreet Sec. Corp., No. 8:09-cv-01431 (C.D. Cal. Feb. 28, 2012). Brooks, a resident of San Clemente, California, was the president and CEO of Brookstreet, a registered broker-dealer and registered investment adviser. For a period of three years, from 2004 through 2007, Brookstreet's registered representatives sold unsuitable collateralized mortgage obligations (CMOs) to at least seventy-seven investors. The law judge found that Respondents' conduct was recurrent and egregious, as there were at least seventy-seven investor victims; nor have they given future assurances against future violations or recognition of the wrongful nature of their conduct. (Rel. 34-68773; IA-3542; File No. 3-14983) SEC Charges Two Information Technology Specialists With Insider Trading Ahead of Their Employer’s MergerOn January 30, 2013, the Securities and Exchange Commission charged two information technology specialists at a Bend, Oregon-based health insurance company with insider trading on confidential information about the acquisition of their employer. The SEC alleges that Daniel Vance of Bend and Blake Wellington of Hillsboro, Oregon, learned that their employer Clear One Health Plans was involved in advanced merger negotiations with competitor PacificSource Health Plans. Rather than keep the information confidential, Wellington and Vance improperly used the information to personally profit by purchasing Clear One shares. Clear One’s share price jumped by more than 150 percent after the companies announced the merger on Dec. 30, 2009. According to the SEC’s complaint filed in federal court in Oregon, Daniel Vance gained access to the confidential deal information on Dec. 16, 2009, when he was asked by Clear One’s CEO to help resolve an e-mail issue. Vance saw confidential merger documents being sent to the CEO of PacificSource. Vance then informed Blake Wellington, who was his supervisor. The very next day, Wellington purchased 3,700 Clear One shares and Vance purchased 1,200 Clear One shares. Clear One’s share price jumped by more than 150 percent after the companies announced the merger on Dec. 30, 2009. Wellington and Vance immediately began selling their stock, reaping more than $70,000 in profits. The complaint alleges that, by their conduct, Wellington and Vance violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The defendants’ signed consents – which are subject to approval by the court – provide that each defendant is permanently enjoined against future violations of the statute and rule each is alleged to have violated. The consents further provide that Blake Wellington will pay full disgorgement of his trading profits totaling $55,891.50 plus prejudgment interest of $5,644.04 and a penalty of $55,891.50, and Daniel Vance will pay full disgorgement of his trading profits totaling 17,509.75 plus prejudgment interest of $1,768.18 and a penalty of $17,509.75. Wellington and Vance neither admitted nor denied the allegations. The SEC thanks the Financial Industry Regulatory Authority (FINRA) for its assistance in this matter. [SEC v. Blake R. Wellington and Daniel J. Vance, Civil Action No. 6:13-cv-00172 (U.S. District Court for the District of Oregon)] (LR-22606) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by CBOE Futures Exchange, LLC regarding market-wide trading halts (SR-CFE-2013-002) 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 January 28. (Rel. 34-68765) The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-BOX-2013-07) filed by BOX Options Exchange LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to list and trade option contracts overlying 10 shares of certain securities. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68771) Approval of Proposed Rule ChangesThe Commission approved a proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-116), under Section 19(b)(2) of the Securities Exchange Act of 1934, related to Bylaw and other changes. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68766) The Commission approved a proposed rule change filed by C2 Options Exchange, Incorporated (SR-C2-2012-039), under Section 19(b)(2) of the Securities Exchange Act of 1934, related to Bylaw and other changes. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68767) Designation of Longer Period for Commission Action on Proposed Rule ChangeThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-FINRA-2012-052) filed by the Financial Industry Regulatory Authority, Inc. to require members to report to TRACE the “factor” in limited instances involving asset-backed security transactions. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68768) SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-1 SurePure, Inc., 112 NORTH CURRY STREET, CARSON CITY, NV, 89703, 877-685-1955 - 16,200,000 ($19,440,000.00) Equity, (File 333-186281 - Jan. 30) (BR. 10B) S-1 VANELL, CORP., RES SAN ANTONIO BK 10 PJE 7 #5, SAN ANTONIO DEL MONTE, H3, 106090030, 50379511698 - 880,000 ($52,800.00) Equity, (File 333-186282 - Jan. 30) (BR. 08) S-1 Perkins Oil & Gas, Inc., 1445 MARPOLE AVENUE #409, VANCOUVER, A1, V6H 1S5, 604 733-5055 - 5,000,000 ($50,000.00) Equity, (File 333-186286 - Jan. 30) (BR. 04) S-8 Lithium Exploration Group, Inc., 3200 N. HAYDEN ROAD, SUITE 235, SCOTTSDALE, AZ, 85251, 480-641-4790 - 3,973,612 ($973,534.94) Equity, (File 333-186305 - Jan. 30) (BR. 09A) S-8 Western Gas Equity Partners, LP, 1201 LAKE ROBBINS DRIVE, THE WOODLANDS, TX, 77380-7046, 832-636-1000 - 3,000,000 ($92,820,000.00) Limited Partnership Interests, (File 333-186306 - Jan. 30) (BR. 02) S-8 KNIGHT CAPITAL GROUP, INC., 2012229400 - 0 ($218,396,555.20) Equity, (File 333-186311 - Jan. 30) (BR. 12A) S-3 IDERA PHARMACEUTICALS, INC., 167 SIDNEY STREET, CAMBRIDGE, MA, 02139, 6176795500 - 9,076,825 ($6,480,854.00) Equity, (File 333-186312 - Jan. 30) (BR. 01A) S-3 AMERIGAS PARTNERS LP, 460 N GULPH RD, BOX 965, VALLEY FORGE, PA, 19406, 6103377000 - 0 ($1,207,826,738.00) Equity, (File 333-186316 - Jan. 30) (BR. 02B) S-1 LOAD GUARD LOGISTICS, INC., 6317 SW 16TH STREET, MIAMI, FL, 33155, 786-250-1410 - 3,345,000 ($133,800.00) Equity, (File 333-186321 - Jan. 30) (BR. ) N-2 SARATOGA INVESTMENT CORP., 535 MADISON AVENUE, NEW YORK, NY, 10022, 212 750-3343 - 0 ($25,000,000.00) Debt, (File 333-186323 - Jan. 30) (BR. 16) S-8 Pebblebrook Hotel Trust, 2 BETHESDA METRO CENTER, SUITE 1530, BETHESDA, MD, 20814, 240-507-1300 - 1,100,000 ($27,142,500.00) Equity, (File 333-186324 - Jan. 30) (BR. 08B) S-1 VelaTel Global Communications, Inc., 5950 LA PLACE COURT, SUITE 160, CARLSBAD, CA, 92008, 760-230-8985 - 32,000,000 ($6,400,000.00) Equity, (File 333-186325 - Jan. 30) (BR. 11A) S-8 LUBYS INC, 13111 NORTHWEST FREEWAY, SUITE 600, HOUSTON, TX, 77040, (713) 329 6800 - 702,297 ($4,887,987.12) Equity, (File 333-186326 - Jan. 30) (BR. 05B) RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- 1st United Bancorp, Inc. FL 8.01 01/30/13 ACE MARKETING & PROMOTIONS INC NY 4.01,7.01,8.01,9.01 01/25/13 ACXIOM CORP DE 2.02,9.01 01/30/13 Adamis Pharmaceuticals Corp DE 8.01,9.01 01/25/13 ADT Corp DE 2.02,9.01 01/30/13 AIR PRODUCTS & CHEMICALS INC /DE/ DE 5.02 01/24/13 AK STEEL HOLDING CORP DE 5.02 01/24/13 Alexander & Baldwin, Inc. HI 5.02,9.01 01/28/13 ALICO INC FL 8.01,9.01 01/29/13 ALIGN TECHNOLOGY INC DE 2.02,5.02,9.01 01/30/13 Allegiant Travel CO NV 2.02,5.02,5.03,9.01 01/28/13 ALLIANCE FIBER OPTIC PRODUCTS INC CA 2.02,8.01,9.01 01/30/13 ALPHA & OMEGA SEMICONDUCTOR Ltd 2.02,9.01 01/30/13 American Railcar Industries, Inc. ND 2.04,7.01,9.01 01/30/13 AmeriCredit Automobile Receivables Tr 1.01,9.01 01/24/13 AMERIGAS PARTNERS LP DE 9.01 01/30/13 AMERIPRISE FINANCIAL INC DE 2.02,9.01 01/30/13 Antero Resources LLC DE 7.01,8.01,9.01 01/30/13 Antero Resources LLC DE 8.01,9.01 01/30/13 ARBOR REALTY TRUST INC MD 7.01,9.01 01/29/13 ARCA biopharma, Inc. DE 8.01,9.01 01/29/13 ARKANSAS BEST CORP /DE/ DE 2.02,9.01 01/30/13 ARKANSAS BEST CORP /DE/ DE 8.01,9.01 01/24/13 ARROWHEAD RESEARCH CORP DE 8.01,9.01 01/25/13 ARTHROCARE CORP DE 8.01 01/30/13 Artio Global Investors Inc. DE 5.02 01/29/13 ARTS WAY MANUFACTURING CO INC DE 5.02 01/25/13 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 01/30/13 Atlantic Coast Financial CORP MD 8.01 01/24/13 Atlas Financial Holdings, Inc. E9 3.03,5.03,8.01,9.01 01/30/13 ATLAS PIPELINE PARTNERS LP DE 1.01,8.01,9.01 01/28/13 Attitude Drinks Inc. DE 5.03,5.07,8.01 01/29/13 ATWOOD OCEANICS INC TX 2.02,9.01 01/30/13 Augme Technologies, Inc. DE 1.01,8.01,9.01 01/30/13 AVEO PHARMACEUTICALS INC DE 5.02 01/24/13 Avery Dennison Corp DE 2.02,9.01 01/30/13 Avery Dennison Corp DE 1.01,8.01,9.01 01/29/13 AVIAT NETWORKS, INC. DE 2.02,7.01,9.01 01/30/13 AXIALL CORP/DE/ DE 1.01,2.01,2.03,5.02, 01/28/13 5.03,9.01 AXIALL CORP/DE/ DE 8.01,9.01 01/30/13 AXION INTERNATIONAL HOLDINGS, INC. CO 2.03,3.02 01/28/13 BANK OF HAWAII CORP DE 2.02,5.02,9.01 01/30/13 BECTON DICKINSON & CO NJ 5.02,5.07,9.01 01/28/13 BG Medicine, Inc. DE 8.01,9.01 01/30/13 BIOCLINICA INC DE 1.01,3.03,9.01 01/29/13 BIOJECT MEDICAL TECHNOLOGIES INC OR 1.01,1.02,3.02,3.03, 01/24/13 5.03,9.01 BIOLOGIX HAIR INC. NV 7.01 01/28/13 BIOTIME INC CA 7.01,9.01 01/30/13 BNC BANCORP NC 2.02,9.01 01/30/13 BOEING CAPITAL CORP DE 2.02,9.01 01/30/13 BOEING CO DE 2.02,9.01 01/30/13 BOK FINANCIAL CORP ET AL OK 2.02,9.01 01/30/13 Booz Allen Hamilton Holding Corp DE 2.02,9.01 01/30/13 BOSTON PROPERTIES INC DE 2.02,9.01 01/29/13 BOSTON PROPERTIES LTD PARTNERSHIP DE 2.02,9.01 01/29/13 Brick Top Productions, Inc. FL 5.02 01/25/13 BROADVISION INC DE 2.02,9.01 01/30/13 BUCKEYE TECHNOLOGIES INC DE 2.02,7.01,9.01 01/29/13 BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 01/29/13 CABELAS INC DE 2.02 01/30/13 CABOT CORP DE 2.02,9.01 01/30/13 CACI INTERNATIONAL INC /DE/ DE 2.02,7.01,9.01 01/30/13 CADENCE DESIGN SYSTEMS INC DE 2.02,9.01 01/30/13 CALIFORNIA WATER SERVICE GROUP DE 8.01,9.01 01/30/13 CALLAWAY GOLF CO DE 2.02,9.01 01/30/13 Capital Bank Financial Corp. DE 2.02,8.01,9.01 01/30/13 CAPITAL SOUTHWEST CORP TX 8.01,9.01 01/24/13 CARDINAL HEALTH INC OH 2.05 01/25/13 Cardiovascular Systems Inc DE 2.02,9.01 01/30/13 Carroll Bancorp, Inc. MD 2.02,9.01 01/25/13 CBRE GROUP, INC. DE 5.02 01/24/13 CenterState Banks, Inc. FL 2.02,9.01 01/30/13 CENTRAL EUROPEAN DISTRIBUTION CORP DE 8.01,9.01 01/29/13 CEVA INC DE 2.02,9.01 01/30/13 CHAMPIONS ONCOLOGY, INC. DE 1.01,3.02,9.01 01/28/13 Chatham Lodging Trust MD 5.02 01/29/13 Cheniere Energy Partners, L.P. DE 7.01,9.01 01/29/13 CHIQUITA BRANDS INTERNATIONAL INC NJ 8.01,9.01 01/29/13 Chrysler Group LLC DE 2.02,9.01 01/30/13 Chrysler Group LLC DE 5.02,9.01 01/28/13 CITRIX SYSTEMS INC DE 2.02,9.01 01/30/13 Clearwire Corp /DE DE 8.01,9.01 01/29/13 COLLECTORS UNIVERSE INC DE 7.01,9.01 01/29/13 COMM 2013-LC6 Mortgage Trust DE 8.01,9.01 01/30/13 COMMERCIAL METALS CO DE 5.07 01/25/13 Community Bankers Trust Corp DE 2.02,9.01 01/30/13 COMMVAULT SYSTEMS INC DE 2.02,9.01 01/30/13 COMPUWARE CORP MI 1.01,8.01,9.01 01/24/13 CONCUR TECHNOLOGIES INC DE 2.02,9.01 01/30/13 CONSOL Energy Inc DE 5.02,9.01 01/28/13 Copano Energy, L.L.C. 8.01,9.01 01/29/13 CORE LABORATORIES N V P7 2.02,9.01 01/30/13 Crescent Financial Bancshares, Inc. 2.02,9.01 01/30/13 CROWN HOLDINGS INC PA 2.02,9.01 01/30/13 Cryoport, Inc. NV 1.01,2.03,3.02 01/24/13 CSS INDUSTRIES INC DE 2.02,9.01 01/29/13 CULLEN/FROST BANKERS, INC. TX 2.02,9.01 01/30/13 Data Storage Corp NV 9.01 10/31/12 AMEND DELCATH SYSTEMS INC DE 1.01,9.01 01/26/13 DICE HOLDINGS, INC. DE 2.02,9.01 01/30/13 Digerati Technologies, Inc. NV 5.02,8.01 12/23/12 DSP GROUP INC /DE/ DE 2.02,9.01 01/30/13 EAST WEST BANCORP INC 5.03,9.01 01/29/13 Edgen Group Inc. DE 5.02,8.01,9.01 01/28/13 EDUCATION MANAGEMENT CORPORATION 2.02,9.01 01/30/13 ELECTRONIC ARTS INC. DE 2.02,9.01 01/30/13 ENBRIDGE ENERGY PARTNERS LP DE 8.01,9.01 01/30/13 ENCISION INC CO 9.01 01/30/13 Energy Future Holdings Corp /TX/ TX 1.01,2.03,8.01,9.01 01/25/13 EnerJex Resources, Inc. NV 1.01,1.02,2.01,2.03, 01/24/13 9.01 ENVIVIO INC DE 5.02,9.01 01/30/13 EQUAL ENERGY LTD. A0 5.03,9.01 01/24/13 ERHC Energy Inc CO 8.01,9.01 01/30/13 EverBank Financial Corp DE 2.02,7.01,9.01 01/30/13 Evercore Partners Inc. DE 2.02,9.01 01/30/13 EXPONENT INC DE 2.02,9.01 01/30/13 EXTREME NETWORKS INC DE 2.02,9.01 01/30/13 Facebook Inc 2.02,9.01 01/30/13 FAIR ISAAC CORP DE 2.02,9.01 01/30/13 FAIRPOINT COMMUNICATIONS INC DE 2.02,7.01,8.01,9.01 01/30/13 Federal Home Loan Bank of Boston X1 8.01 01/29/13 Federal Home Loan Bank of Dallas 2.03,9.01 01/24/13 FEMALE HEALTH CO WI 2.02,9.01 01/30/13 FIDELITY D & D BANCORP INC PA 2.02,9.01 01/30/13 FINANCIAL INSTITUTIONS INC NY 2.02,9.01 01/30/13 FIRST COMMONWEALTH FINANCIAL CORP /PA PA 2.02,7.01,9.01 01/30/13 FIRST DATA CORP DE 8.01,9.01 01/30/13 FIRST NATIONAL CORP /VA/ VA 2.02,9.01 01/29/13 FIRST NORTHERN COMMUNITY BANCORP CA 2.02,7.01,8.01,9.01 01/30/13 FIRST SOUTH BANCORP INC /VA/ VA 8.01 01/30/13 FIVE BELOW, INC PA 8.01,9.01 01/30/13 FLUSHING FINANCIAL CORP DE 2.02,9.01 01/29/13 FORTINET INC 2.02,9.01 01/30/13 Fortress International Group, Inc. DE 7.01,9.01 01/30/13 FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 2.02,9.01 01/30/13 Freescale Semiconductor, Ltd. D0 8.01 01/29/13 FUSION-IO, INC. DE 2.02,9.01 01/30/13 General Finance CORP DE 8.01,9.01 01/30/13 General Growth Properties, Inc. DE 1.01,9.01 01/28/13 GENEREX BIOTECHNOLOGY CORP DE 7.01,9.01 01/29/13 Georgia-Carolina Bancshares, Inc GA 2.02,9.01 01/30/13 GERMAN AMERICAN BANCORP, INC. IN 1.01,2.02,2.03,8.01, 01/24/13 9.01 Global Eagle Acquisition Corp. DE 5.02 01/24/13 GREER BANCSHARES INC SC 2.02,9.01 01/29/13 GREER BANCSHARES INC SC 5.02 01/28/13 GRIFFON CORP DE 2.02,9.01 01/30/13 GROUP 1 AUTOMOTIVE INC DE 1.01,3.02,9.01 01/24/13 H&E Equipment Services, Inc. DE 1.01,7.01,8.01,9.01 01/29/13 H&E Equipment Services, Inc. DE 7.01 01/30/13 HAEMONETICS CORP MA 2.02,9.01 01/25/13 HALCON RESOURCES CORP DE 1.01,9.01 01/25/13 HAMPTON ROADS BANKSHARES INC VA 2.02,7.01,9.01 01/30/13 HAVERTY FURNITURE COMPANIES INC MD 5.02,9.01 01/30/13 HAWAIIAN ELECTRIC INDUSTRIES INC HI 7.01,9.01 01/30/13 HAWKINS INC MN 2.02,9.01 01/30/13 HEALTH NET INC DE 2.02,9.01 01/30/13 HEMAGEN DIAGNOSTICS INC DE 8.01,9.01 01/30/13 HERITAGE BANKSHARES INC /VA VA 2.02,9.01 01/30/13 HESS CORP DE 2.02,9.01 01/30/13 Hines Global REIT, Inc. MD 1.01,8.01 01/29/13 HINES REAL ESTATE INVESTMENT TRUST IN 8.01 01/30/13 HOME BANCORP, INC. LA 2.02,9.01 01/29/13 HomeTrust Bancshares, Inc. MD 2.02,9.01 01/29/13 HUB GROUP INC DE 2.02,9.01 12/31/12 HUDSON CITY BANCORP INC DE 2.02,9.01 01/30/13 IDS Solar Technologies, Inc. NV 1.01,9.01 01/28/13 IEC ELECTRONICS CORP DE 2.02,7.01,9.01 01/30/13 ImmunoCellular Therapeutics, Ltd. DE 8.01,9.01 01/29/13 INDEPENDENT BANK CORP /MI/ MI 2.02,9.01 01/30/13 INFORMATICA CORP DE 5.02 01/26/13 INNOVUS PHARMACEUTICALS, INC. NV 1.01,2.03,5.02,8.01 01/25/13 INOLIFE TECHNOLOGIES, INC. 3.03 01/24/13 INTEGRATED SILICON SOLUTION INC DE 2.02,9.01 01/30/13 INTERSIL CORP/DE DE 2.02,7.01 01/30/13 ISIS PHARMACEUTICALS INC DE 8.01,9.01 01/29/13 JABIL CIRCUIT INC DE 5.02,5.07,7.01,9.01 01/24/13 JDS UNIPHASE CORP /CA/ DE 2.02,9.01 01/30/13 JEFFERIES GROUP INC /DE/ DE 5.04,9.01 01/29/13 JONES LANG LASALLE INC MD 2.02,9.01 01/29/13 Joway Health Industries Group Inc NV 4.01,9.01 01/25/13 KANSAS CITY LIFE INSURANCE CO MO 5.02,9.01 01/30/13 Kat Gold Holdings Corp. NV 5.03,9.01 01/30/13 KATY INDUSTRIES INC DE 2.06 01/30/13 KB HOME DE 5.02 01/24/13 KINDER MORGAN ENERGY PARTNERS L P DE 8.01,9.01 01/29/13 KNIGHT TRANSPORTATION INC AZ 2.02,9.01 01/30/13 KOSS CORP DE 2.02,9.01 01/29/13 L 3 COMMUNICATIONS HOLDINGS INC DE 2.02,9.01 01/30/13 LANDMARK BANCORP INC DE 2.02,8.01,9.01 01/30/13 LAS VEGAS SANDS CORP NV 2.02,9.01 01/30/13 Lightlake Therapeutics Inc. NV 5.02 12/31/12 LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 01/30/13 LINDSAY CORP DE 5.02,5.07 01/28/13 LIPOSCIENCE INC 5.03,9.01 01/30/13 LOOKSMART LTD DE 5.02 01/24/13 LUBYS INC DE 8.01 01/30/13 LUCAS ENERGY, INC. NV 7.01,8.01,9.01 01/28/13 MAGNACHIP SEMICONDUCTOR Corp DE 2.02,9.01 01/30/13 Magnolia Solar Corp NV 8.01,9.01 01/30/13 MANPOWER INC /WI/ WI 2.02,9.01 01/30/13 MAP Pharmaceuticals, Inc. DE 1.02 01/24/13 Marathon Petroleum Corp DE 2.02,9.01 01/30/13 MARKETAXESS HOLDINGS INC 2.02,8.01,9.01 01/30/13 MASCOT PROPERTIES, INC. NV 1.01,2.01,3.02,4.01, 01/24/13 5.01,5.02,9.01 MB FINANCIAL INC /MD 2.02,9.01 01/29/13 MEADWESTVACO Corp DE 2.02,9.01 01/30/13 MEDALLION FINANCIAL CORP DE 1.01,9.01 01/28/13 MEDGENICS, INC. DE 8.01 01/30/13 MEI Pharma, Inc. DE 5.02,9.01 01/27/13 MENDOCINO BREWING CO INC CA 5.07 01/24/13 MERITOR INC IN 2.02,5.02,9.01 01/25/13 MGIC INVESTMENT CORP WI 5.03,9.01 01/29/13 MIPS TECHNOLOGIES INC DE 2.02,9.01 01/30/13 Mistras Group, Inc. DE 4.01,9.01 01/24/13 MKS INSTRUMENTS INC MA 2.02,9.01 01/30/13 MOHAWK INDUSTRIES INC DE 1.01,9.01 01/28/13 Molycorp, Inc. DE 8.01,9.01 01/24/13 MORTGAGEBROKERS.COM HOLDINGS, INC. DE 8.01,9.01 01/18/13 MPLX LP DE 2.02,9.01 01/30/13 MULTIMEDIA GAMES HOLDING COMPANY, INC TX 2.02,9.01 01/30/13 MURPHY OIL CORP /DE DE 2.02,9.01 01/30/13 National American University Holdings DE 8.01,9.01 01/30/13 NATIONAL RURAL UTILITIES COOPERATIVE DC 8.01,9.01 01/30/13 NEOPHOTONICS CORP DE 5.02 01/25/13 NETWORK 1 SECURITY SOLUTIONS INC DE 8.01,9.01 01/24/13 NEW YORK COMMUNITY BANCORP INC DE 2.02,7.01,9.01 01/30/13 NEWS CORP 8.01,9.01 01/30/13 NEXCORE HEALTHCARE CAPITAL CORP DE 8.01,9.01 01/29/13 NEXSTAR BROADCASTING GROUP INC DE 5.03,9.01 01/24/13 NHS Health Solutions, Inc FL 1.01,3.02,5.01,5.02 01/30/13 NICHOLAS FINANCIAL INC FL 2.02,9.01 01/30/13 NORTH BAY RESOURCES INC DE 3.02,8.01,9.01 01/17/13 NORTH VALLEY BANCORP CA 4.02 01/28/13 Northfield Bancorp, Inc. DE 5.02,9.01 01/28/13 Northfield Bancorp, Inc. DE 5.02,8.01,9.01 01/28/13 Northfield Bancorp, Inc. DE 5.02,9.01 01/28/13 NORTHROP GRUMMAN CORP /DE/ 2.02,9.01 01/30/13 Norwegian Cruise Line Holdings Ltd. 1.01,3.02,3.03,5.03, 01/24/13 9.01 NOVAVAX INC DE 5.03,9.01 01/25/13 Ocean Shore Holding Co. 2.02,9.01 01/30/13 Opexa Therapeutics, Inc. TX 1.01,3.02,9.01 01/29/13 ORGANIC PLANT HEALTH INC. NV 1.01,2.01,3.02,5.01, 01/24/13 5.02,8.01,9.01 ORMAT TECHNOLOGIES, INC. DE 1.01,8.01,9.01 01/30/13 OWENS ILLINOIS INC /DE/ DE 2.02,9.01 01/30/13 PAREXEL INTERNATIONAL CORP MA 2.02,9.01 01/29/13 PATHFINDER BANCORP INC DE 2.02,9.01 01/30/13 Pazoo, Inc. 4.01,9.01 01/30/13 PDL BIOPHARMA, INC. DE 5.02,9.01 01/30/13 AMEND Peoples Federal Bancshares, Inc. 2.02,9.01 01/30/13 PharMerica CORP DE 1.01 01/25/13 Phillips 66 DE 2.02,9.01 01/30/13 PINNACLE ENTERTAINMENT INC. DE 8.01,9.01 01/30/13 PIONEER ENERGY SERVICES CORP TX 5.02,9.01 01/29/13 PIPER JAFFRAY COMPANIES DE 2.02,9.01 01/30/13 Point Capital, Inc. NY 5.02,5.07 01/24/13 POLYMEDIX, INC DE 5.02 01/26/13 PopBig, Inc. DE 5.01,5.02 01/24/13 Porter Bancorp, Inc. KY 2.02,9.01 01/30/13 POSITRON CORP TX 7.01,9.01 01/30/13 PRIVATEBANCORP, INC DE 7.01,9.01 01/30/13 PROFIRE ENERGY INC UT 5.07 01/29/13 PUB CRAWL HOLDINGS, INC. NV 1.01,2.01,3.02,9.01 11/28/12 PUB CRAWL HOLDINGS, INC. NV 3.02,5.01,5.02 11/27/12 PVR PARTNERS, L. P. DE 5.02,7.01,9.01 01/29/13 QLIK TECHNOLOGIES INC DE 3.01,5.02,9.01 01/28/13 QR Energy, LP DE 8.01 01/25/13 QUALCOMM INC/DE DE 2.02,9.01 01/30/13 Quanex Building Products CORP DE 1.01,1.02,2.03,9.01 01/28/13 QUANTUM CORP /DE/ DE 2.02,9.01 01/30/13 REDWOOD TRUST INC MD 8.01,9.01 01/30/13 REVLON CONSUMER PRODUCTS CORP DE 8.01,9.01 01/29/13 REVLON INC /DE/ DE 8.01,9.01 01/29/13 Revolution Lighting Technologies, Inc DE 5.02,5.03,9.01 01/24/13 Rhino Resource Partners LP DE 7.01,9.01 01/30/13 Rhino Resource Partners LP DE 2.02,7.01,9.01 01/30/13 AMEND RIMROCK GOLD CORP. NV 1.01,5.03,8.01,9.01 01/24/13 RJD Green, Inc. NV 5.03,5.06 01/29/13 Rockville Financial, Inc. /CT/ CT 2.02,9.01 01/30/13 ROCKWELL AUTOMATION INC DE 2.02,9.01 01/30/13 SAIA INC DE 2.02,9.01 01/30/13 SCHOOL SPECIALTY INC WI 3.01,9.01 01/28/13 SCHWAB CHARLES CORP DE 5.02,9.01 01/24/13 SEACOAST BANKING CORP OF FLORIDA FL 2.02,7.01,9.01 01/24/13 SECURITY FEDERAL CORP SC 2.02,9.01 01/28/13 SEI INVESTMENTS CO PA 2.02,9.01 01/30/13 Sensata Technologies Holding N.V. P7 2.02,9.01 01/30/13 ServiceNow, Inc. CA 2.02,9.01 01/30/13 SEVCON, INC. DE 2.02,5.07,9.01 01/29/13 SHARPS COMPLIANCE CORP DE 2.02,9.01 01/30/13 ShoreTel Inc CA 2.02,9.01 01/30/13 Silicon Graphics International Corp DE 2.02,5.02,9.01 01/30/13 SILICON LABORATORIES INC DE 2.02,9.01 01/30/13 Sino Agro Food, Inc. NV 5.03,9.01 01/28/13 SKYWORKS SOLUTIONS, INC. DE 2.02,9.01 01/30/13 Source Gold Corp. NV 5.02 01/30/13 Southcross Energy Partners, L.P. DE 7.01 01/26/13 SOUTHERN CO DE 2.02 01/30/13 SOUTHWEST AIRLINES CO TX 5.02,9.01 01/30/13 SPHERIX INC DE 1.01,3.03,9.01 01/01/13 STATE BANK FINANCIAL CORP GA 2.02,7.01,9.01 01/30/13 STERLING CONSTRUCTION CO INC DE 5.02,8.01,9.01 01/28/13 SUFFOLK BANCORP NY 2.02,9.01 01/30/13 SUMMIT FINANCIAL GROUP INC WV 2.02,9.01 01/30/13 SURMODICS INC MN 2.02,8.01,9.01 01/28/13 SYNERGY PHARMACEUTICALS, INC. DE 8.01,9.01 01/29/13 SYNERGY PHARMACEUTICALS, INC. DE 8.01,9.01 01/28/13 AMEND TCF FINANCIAL CORP DE 2.02,7.01,9.01 01/30/13 TECHE HOLDING CO LA 5.07,9.01 01/29/13 TESORO CORP /NEW/ DE 1.01,2.03,9.01 01/28/13 TFS Financial CORP DE 2.02,9.01 01/30/13 TFS Financial CORP DE 7.01,9.01 01/30/13 TIDELANDS BANCSHARES INC 2.02,9.01 01/30/13 TOMPKINS FINANCIAL CORP NY 5.02,9.01 01/24/13 TRACTOR SUPPLY CO /DE/ DE 2.02,9.01 01/30/13 TRANS ENERGY INC NV 2.01,9.01 01/24/13 Tropicana Las Vegas Hotel & Casino, I DE 5.03,9.01 01/28/13 TURBOSONIC TECHNOLOGIES INC DE 2.03,5.07 01/30/12 UNITED BANKSHARES INC/WV WV 8.01,9.01 01/30/13 United Financial Bancorp, Inc. 9.01 11/16/12 AMEND UROLOGIX INC MN 5.02,9.01 01/25/13 VALLEY NATIONAL BANCORP NJ 2.02,9.01 01/30/13 VAPOR CORP. NV 1.01,2.03,9.01 01/29/13 VENTRUS BIOSCIENCES INC DE 1.01,8.01,9.01 01/30/13 VIRGINIA COMMERCE BANCORP INC 8.01,9.01 01/30/13 VIRTUS INVESTMENT PARTNERS, INC. DE 2.02,9.01 01/29/13 VIRTUSA CORP 2.02,9.01 01/30/13 VISA INC. DE 5.07,8.01,9.01 01/29/13 VISUALANT INC NV 1.01,9.01 01/30/13 VIVUS INC CA 5.02,9.01 01/25/13 VOIS Inc. FL 5.03 10/19/12 WASHINGTON TRUST BANCORP INC RI 2.02,9.01 01/30/13 WELLS FARGO & COMPANY/MN DE 9.01 01/30/13 WEST COAST BANCORP /NEW/OR/ OR 2.02,9.01 01/24/13 WEST CORP DE 2.02,9.01 01/30/13 WESTFIELD FINANCIAL INC MA 2.02,9.01 01/30/13 Westinghouse Solar, Inc. DE 8.01 01/24/13 WISCONSIN ENERGY CORP WI 2.02 01/30/13 WORLD ACCEPTANCE CORP SC 2.02,7.01,9.01 01/30/13
http://www.sec.gov/news/digest/2013/dig013113.htm
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