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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2013-24
February 5, 2013

ENFORCEMENT PROCEEDINGS

In the Matter of Henley Healthcare, Inc.

An Administrative Law Judge, acting pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act), issued an Order Making Findings and Revoking Registrations by Default as to Five Respondents (Default Order) in Henley Healthcare, Inc., Admin. Proc. File No. 3-15165. The default Order found that Henley Healthcare, Inc., Hightop Capital Corp., Horizon Pharmacies, Inc., Horizon Resources Corp., and Hudson’s Grill of America, Inc., had securities registered with the Commission pursuant to Section 12(g) of the Exchange Act and all had failed to file the periodic reports required by Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13.

The only other Respondent in the proceeding, Hiko Bell Mining & Oil Co., was the subject of a January 28, 2013, Commission Order Making Findings and Revoking Registration. See Henley Healthcare, Inc., Exchange Act Release No. 68739. (Rel. 34-68825; File No. 3-15165)

In the Matter of Kenneth Ira Starr

On February 5, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Kenneth Ira Starr (Starr). The Order finds that until the appointment of a receiver, Starr was the Chief Executive Officer of Starr Investment Advisors, LLC (SIA), an investment advisor registered with the Commission. From December 2007 until March 2010, Starr also was a registered representative associated with Diamond Edge Capital Partners, LLC, a broker-dealer registered with the Commission.

The Order further finds that on November 16, 2012, a final judgment was entered by consent against Starr, permanently enjoining him from future violations of Sections 206(1) and 206(2) of the Advisers Act in the civil action entitled Securities and Exchange Commission v. Kenneth Ira Starr, et al., 10 Civ. 4270 (S.D.N.Y.) (SHS), in the United States District Court for the Southern District of New York. The Commission’s complaint alleged that Starr misappropriated at least $8.7 million in investor funds from August 2009 through April 2010.

The Order further finds that on or about September 10, 2010, Starr pled guilty to one count each of wire fraud (18 U.S.C. 1343), money laundering (18 U.S.C. 1956), and fraud by an investment advisor (15 U.S.C. 80b-6) in the action styled United States v. Kenneth Starr, 10 Cr. 520 (S.D.N.Y.). On March 3, 2011, the United States District Court for the Southern District of New York entered a judgment against Starr sentencing him to ninety months in prison. He also was fined $300 in criminal monetary penalties, ordered to pay more than $30 million in restitution, and ordered to forfeit more than $29 million. The counts of the criminal indictment to which Starr pled guilty alleged, inter alia, that Starr defrauded investors and obtained money and property by means of materially false and misleading statements.

Based on the above, the Order bars Starr from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent. Starr consented to the issuance of the Order. (Rel. 34-68826; IA-3544; File No. 3-15197)

SEC Suspends Attorney and Accountant in the Matter of Kenneth Ira Starr, Esq.

The U.S. Securities and Exchange Commission announced today that it has suspended Kenneth Ira Starr, Esq. from appearing or practicing before it. This action follows a judgment of conviction that was entered against Starr in United States v. Kenneth Starr, 10 Cr. 520 (S.D.N.Y.) (SHS).

In September 2010, Starr pleaded guilty to one count each of wire fraud, money laundering, and fraud by an investment advisor. The counts of the criminal indictment to which Starr pled guilty alleged, inter alia, that Starr defrauded investors and obtained money and property by means of materially false and misleading statements. On March 3, 2011, the United States District Court for the Southern District of New York entered a judgment against Starr sentencing him to ninety months in prison. He also was fined $300 in criminal monetary penalties, ordered to pay more than $30 million in restitution, and ordered to forfeit more than $29 million.

Today, the Commission issued an Order of Suspension Pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice that suspends Kenneth Ira Starr from appearing or practicing before the Commission. The Commission’s Order was based on Starr’s felony conviction. (Rel. 34-68827; File No. 3-15198)

In the Matter of Ardsley Advisory Partners

On February 5, 2013, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934 and Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Ardsley Advisory Partners (Ardsley). The Order finds that Ardsley, a Connecticut based registered investment adviser, violated Rule 105 of Exchange Act Regulation M (Rule 105), which prohibits buying shares of an equity security through a public offering after having sold short the same equity security during a restricted period, beginning five business days before the pricing of the offered securities and ending with such pricing. The Order finds that Ardsley willfully violated Rule 105 when it purchased securities in three public offerings occurring in April 2009, April 2010 and June 2010.

Based on the above, the Order censures Ardsley and requires the firm to cease and desist from committing or causing any violations and any future violations of Rule 105. Ardsley will pay $506,671.50 in disgorgement and $55,065.39 in prejudgment interest, along with a $253,335 civil monetary penalty. Ardsley consented to the issuance of the Order without admitting or denying any of the findings contained therein, except as to the Commission’s jurisdiction over it and the subject matter of the proceedings, which were admitted. (Rel. 34-68828; IA-3545; File No. 3-15199)

In the Matter of Juno Mother Earth Asset Management, LLC

On February 5, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Juno Mother Earth Asset Management, LLC (Juno). The Order finds that on August 14, 2012, a judgment was entered by consent against Juno in SEC v. Juno Mother Earth Asset Management, LLC, et al. (Civil Action Number 11 Civ. 1778 (TPG) (S.D.N.Y.)), permanently enjoining Juno from violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, and Sections 203A, 206(1), 206(2), 206(4) and 207 of the Advisers Act of 1940, and Rules 206(4)-2 and 206(4)-8 thereunder.

The Order finds that the Commission’s complaint in SEC v. Juno Mother Earth Asset Management, LLC, et al. alleged that Juno, Arturo Allan Rodriguez Lopez a/k/a Arturo Rodriguez and Eugenio Verzili orchestrated a multi-faceted scheme to defraud a hedge fund under their control, as well as the investors in the fund, and failed to comply with their fiduciary obligations to the hedge fund, through: (a) misappropriating approximately $1.8 million of assets from a Juno-advised hedge fund; (b) fraudulently concealing their misappropriation from the fund’s independent directors; (c) inflating and misrepresenting Juno’s assets under management by approximately $40 million; (d) filing false Forms ADV with the Commission that, among other things, failed to disclose transactions between Juno and the hedge fund; (e) concealing Juno’s precarious financial condition; and (f) misrepresenting the amount of capital certain Juno partners had invested in a Juno-advised fund.

Based on the above, the Order revokes Juno’s registration as an investment adviser. Juno consented to the issuance of the Order without admitting or denying any of the findings in the Commission’s Order, except that it admitted the entry of injunction. (Rel. IA-3546; File No. 3-15200)

INVESTMENT COMPANY ACT RELEASES

Credit Suisse Opportunity Funds, et al.

An order has been issued on an application filed by Credit Suisse Opportunity Funds, et al., under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A) and (B) of the Act, and under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act. The order permits certain registered closed-end management investment companies to acquire shares of registered open end management investment companies that are within the same group of investment companies. (Rel. IC-30376 – February 4)

SELF-REGULATORY ORGANIZATIONS

Proposed Rule Change

National Stock Exchange, Inc. filed a proposed rule change (SR-NSX-2013-02) to adopt a new order type called the “Auto-Ex Only” order. Publication is expected in the Federal Register during the week of February 4. (Rel. 34-68807)

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by EDGA Exchange, Inc. to amend Rule 11.13 to extend the operation of a pilot pursuant to Rule 11.13 until September 30, 2013 (SR-EDGA-2013-06) 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 February 4. (Rel. 34-68813)

A proposed rule change filed by EDGX Exchange, Inc. to amend Rule 11.13 to extend the operation of a pilot pursuant to Rule 11.13 until September 30, 2013 (SR-EDGX-2013-06) 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 February 4. (Rel. 34-68814)

A proposed rule change filed by NASDAQ OMX BX, Inc. relating [sic] to delay the operative date of a rule change to Exchange Rule 4121 (SR-BX-2013-009) 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 February 4. (Rel. 34-68815)

A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2013-11) to [sic] proposes to delay the operative date of a rule change to Exchange Rule 133 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 February 4. (Rel. 34-68816)

A proposed rule change filed by Miami International Securities Exchange LLC to Amend the MIAX Options Fee Schedule (SR-MIAX-2013-03) 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 February 4. (Rel. 34-68817)

A proposed rule change filed by International Securities Exchange, LLC to amend ISE Rule 2128 relating to Clearly Erroneous Trades (SR-ISE-2013-12) 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 February 4. (Rel. 34-68822)

Approval of Proposed Rule Changes

The Commission approved proposed rule changes submitted by Boston Stock Exchange Clearing Corporation (SR-BSECC-2012-002); NASDAQ OMX BX, Inc. (SR-BX-2012-075); the NASDAQ Stock Market LLC (SR-NASDAQ-2012-142); NASDAQ OMX PHLX LLC (SR-PHLX-2012-142); and Stock Clearing Corporation of Philadelphia (SR-SCCP-2012-02) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 with respect to the amendment of the by-laws of the NASDAQ OMX Group, Inc. Publication is expected in the Federal Register during the week of February 4. (Rel. 34-68823)

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.

N-2     First Trust Intermediate Duration Preferred & Income Trust, 
        120 EAST LIBERTY DRIVE, SUITE 400, WHEATON, IL, 60187, 630-765-8000 - 
        1,000 ($25,000.00) Equity, (File 333-186412 - Feb. 4) (BR. )

N-2     FS Global Credit Opportunities Fund-R, 
        CIRA CENTER, 2929 ARCH STREET, SUITE 675, PHILADELPHIA, PA, 19104, 
        215-495-1150 - 0 ($1,030,000,000.00) Equity, (File 333-186413 - Feb. 4) 
        (BR. )

N-2     FS Global Credit Opportunities Fund-A, 
        CIRA CENTER, 2929 ARCH STREET, SUITE 675, PHILADELPHIA, PA, 19104, 
        215-495-1150 - 0 ($1,085,000,000.00) Equity, (File 333-186414 - Feb. 4) 
        (BR. )

S-1     Snap Online Marketing Inc., 225 CEDAR HILL ST., SUITE 200, MARLBOROUGH, 
        MA, 01752, (508) 630-2152 - 40,000,000 ($400,000.00) Equity, 
        (File 333-186415 - Feb. 4) (BR. 03)

S-3     CITIGROUP INC, 399 PARK AVENUE, NEW YORK, NY, 10022, 2125591000 - 
        0 ($950,000,000.00) Debt, (File 333-186425 - Feb. 4) (BR. 12A)

S-1     U.S. China Mining Group, Inc., 15310 AMBERLY DRIVE, SUITE 250, TAMPA, 
        FL, 33647, 813-514-2873 - 308,000 ($457,520.00) Equity, 
        (File 333-186437 - Feb. 4) (BR. 09B)

S-3ASR  CURRENCYSHARES AUSTRALIAN DOLLAR TRUST, C/O GUGGENHEIM INVESTMENTS, 
        805 KING FARM BOULEVARD, SUITE 600, ROCKVILLE, MD, 20850, 
        301-296-5100 - 0 ($521,000,000.00) Other, (File 333-186439 - Feb. 4) 
        (BR. 08B)

S-3     CURRENCYSHARES EURO TRUST, C/O GUGGENHEIM INVESTMENTS, 
        805 KING FARM BOULEVARD, SUITE 600, ROCKVILLE, MD, 20850, 
        301-296-5100 - 0 ($1,334,800,000.00) Other, (File 333-186440 - Feb. 4) 
        (BR. 08B)

S-3     CURRENCYSHARES JAPANESE YEN TRUST, C/O GUGGENHEIM INVESTMENTS, 
        805 KING FARM BOULEVARD, SUITE 600, ROCKVILLE, MD, 20850, 
        301-296-5100 - 0 ($536,900,000.00) Other, (File 333-186441 - Feb. 4) 
        (BR. 08B)

S-8     XILINX INC, 2100 LOGIC DR, SAN JOSE, CA, 95124, 4085597778 - 
        5,500,000 ($202,015,000.00) Equity, (File 333-186442 - Feb. 4) (BR. 10B)

S-8     SOTHEBYS, 1334 YORK AVENUE, NEW YORK, NY, 10021, 212-606-7000 - 
        0 ($21,841,097.00) Equity, (File 333-186444 - Feb. 4) (BR. 03C)

S-8     LSI INDUSTRIES INC, 10000 ALLIANCE RD, P O BOX 42728, CINCINNATI, OH, 
        45242, 5135796411 - 800,000 ($5,792,000.00) Equity, (File 333-186446 - 
        Feb. 4) (BR. 11A)

S-4     Starburst II, Inc., 38 GLEN AVENUE, NEWTON, MA, 02459, 6179289300 - 
        0 ($4,976,074,707.00) Equity, (File 333-186448 - Feb. 4) (BR. )

S-1     22nd Century Group, Inc., 9530 MAIN STREET, CLARENCE,, NY, 14031, 
        (716) 270-1523 - 0 ($19,650,000.00) Equity, (File 333-186449 - Feb. 4) 
        (BR. 05A)

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

-----------------------------------------------------------------------------------------

A123 SYSTEMS, INC.                      DE       1.01,2.01,5.02,9.01  01/29/13

ACME PACKET INC                         DE       1.01,2.02,8.01,9.01  02/04/13

ACNB CORP                               PA       5.03,9.01            01/29/13

ACTUATE CORP                            DE       2.02,9.01            02/04/13

ADT Corp                                DE       1.01,9.01            01/29/13

ADVENT SOFTWARE INC /DE/                DE       2.02,9.01            02/04/13

AgFeed Industries, Inc.                 NV       1.01,2.02,4.02,5.02, 01/31/13
                                                 9.01
          
AIR LEASE CORP                          DE       1.01                 02/01/13

AIR LEASE CORP                          DE       8.01,9.01            01/29/13

AIS FUTURES FUND IV LP                  DE       3.02                 01/31/13

ALLIANT TECHSYSTEMS INC                 DE       5.02,7.01,9.01       01/31/13

Alliqua, Inc.                           FL       5.02                 01/29/13

ALNYLAM PHARMACEUTICALS, INC.                    1.01                 02/03/13

AMERICAN RIVER BANKSHARES               CA       5.02,9.01            02/04/13

ANADARKO PETROLEUM CORP                 DE       2.02,9.01            02/04/13

Annie's, Inc.                           DE       7.01,9.01            02/04/13

Antero Resources LLC                    DE       1.01,2.03,9.01       01/30/13

ARBITRON INC                            DE       8.01,9.01            02/04/13

Arno Therapeutics, Inc                  DE       5.02,9.01            01/30/13

ARX Gold Corp                                    4.01                 12/14/12    AMEND

ARX Gold Corp                                    4.01                 12/14/12    AMEND

ASIAINFO-LINKAGE, INC                   DE       2.02,9.01            02/04/13

ASTRO MED INC /NEW/                     RI       2.01,9.01            01/31/13

AT&T INC.                               DE       5.02                 02/01/13

AVALANCHE INTERNATIONAL, CORP.          NV       5.01,5.02            02/04/13

AVAYA INC                               DE       8.01,9.01            02/01/13

AXCELIS TECHNOLOGIES INC                DE       2.02,9.01            02/04/13

AXIS CAPITAL HOLDINGS LTD                        2.02,9.01            02/04/13

BALLY TECHNOLOGIES, INC.                NV       2.02,9.01            01/31/13

Bank of Marin Bancorp                   CA       5.02                 02/01/13

BankFinancial CORP                               7.01,8.01,9.01       02/01/13

Beachgate Acquisition Corp              DE       5.03                 02/04/13

BEHRINGER HARVARD MULTIFAMILY REIT I             7.01,9.01            02/04/13

BEHRINGER HARVARD SHORT TERM OPPORTUN   TX       7.01,9.01            02/04/13

BILL BARRETT CORP                       DE       2.02,7.01,9.01       01/31/13

BIOLIFE SOLUTIONS INC                   DE       5.02,7.01,9.01       12/30/12

BIOLOGIX HAIR INC.                      NV       5.02,9.01            01/30/13

BIOSANTE PHARMACEUTICALS INC            DE       8.01                 01/31/13

BioScrip, Inc.                          DE       2.01,8.01,9.01       02/01/13

BOLD ENERGY INC.                        NV       1.01,2.01,3.02,5.01, 02/04/13
                                                 5.02,5.03,8.01,9.01
        
Bonanza Creek Energy, Inc.              DE       1.01,9.01            01/31/13

BOTTOMLINE TECHNOLOGIES INC /DE/        DE       2.02,9.01            02/04/13

BRIGHT HORIZONS FAMILY SOLUTIONS INC.   DE       1.01,1.02,2.03,9.01  01/30/13

BRISTOL ENERGY FUND LP                  NY       1.01,5.03,9.01       01/30/13

Bristow Group Inc                       DE       2.02,9.01            02/04/13

BROADRIDGE FINANCIAL SOLUTIONS, INC.    DE       8.01,9.01            02/04/13

Bullfrog Gold Corp.                     DE       3.02,9.01            02/04/13

Cadista Holdings Inc.                   DE       1.01                 01/30/13

CAESARS ENTERTAINMENT Corp              DE       8.01,9.01            02/04/13

CAESARS ENTERTAINMENT Corp              DE       7.01                 02/04/13

Calamos Asset Management, Inc. /DE/              2.02,5.02,8.01,9.01  01/30/13

Cape Bancorp, Inc.                      MD       2.02,9.01            02/01/13

CAPITAL ONE FINANCIAL CORP              DE       5.02                 01/31/13

Carbonite Inc                           DE       2.02,9.01            02/04/13

CARDTRONICS INC                         DE       5.02                 02/01/13

Celator Pharmaceuticals Inc             DE       4.01,9.01            01/30/13

Celldex Therapeutics, Inc.              DE       8.01                 02/04/13

CenterPoint Energy Transition Bond CO   DE       8.01,9.01            02/01/13

CEPHEID                                 CA       5.02                 02/02/13

Cheniere Energy Partners, L.P.          DE       1.01,2.03,9.01       01/29/13

CHESAPEAKE ENERGY CORP                  OK       5.02,9.01            01/29/13

Chesapeake Lodging Trust                MD       8.01,9.01            02/01/13

CHEVRON CORP                            DE       5.02                 01/30/13

China Logistics Group Inc               FL       7.01,9.01            02/04/13

China VantagePoint Acquisition Co                5.03                 02/01/13

CIGNA CORP                              DE       1.01,7.01            02/04/13

CLOROX CO /DE/                          DE       2.02,7.01,9.01       02/04/13

CMS ENERGY CORP                         MI       7.01,9.01            02/04/13

COIL TUBING TECHNOLOGY, INC.            FL       5.02,8.01,9.01       01/28/13

COINSTAR INC                            DE       5.02,9.01            01/31/13

CombiMatrix Corp                        DE       3.02                 01/29/13

COMMONWEALTH BIOTECHNOLOGIES INC        VA       4.01,9.01            02/04/13

CommonWealth REIT                       MD       1.01,9.01            01/31/13

CONAGRA FOODS INC /DE/                  DE       2.03,9.01            01/29/13

Consolidation Services, Inc.            DE       1.01,3.02,5.02,9.01  01/11/13

Constellation Energy Partners LLC       DE       1.01,7.01,9.01       02/01/13

CONSUMER PORTFOLIO SERVICES INC         CA       2.02,9.01            02/04/13

Copano Energy, L.L.C.                            1.01,9.01            01/29/13

CORNERSTONE BANCSHARES INC              TN       7.01                 02/01/13

COWEN GROUP, INC.                       DE       8.01,9.01            02/01/13

CROSSROADS SYSTEMS INC                  DE       3.01                 02/04/13

CU Bancorp                              CA       2.02,9.01            01/31/13

DelMar Pharmaceuticals, Inc.                     1.01,3.02,9.01       01/31/13

DELTA AIR LINES INC /DE/                DE       7.01,9.01            02/04/13

DENBURY RESOURCES INC                   DE       2.02,9.01            02/04/13

DIAMOND HILL INVESTMENT GROUP INC       OH       8.01                 02/04/13

DIAMOND OFFSHORE DRILLING INC           DE       7.01,9.01            02/04/13

Digital Development Group Corp          NV       1.01,5.02,9.01       01/30/13

Duke Energy CORP                        DE       8.01,9.01            02/04/13

EastBridge Investment Group Corp        AZ       1.01,9.01            01/31/13

Echo Therapeutics, Inc.                 DE       8.01,9.01            01/31/13

EDUCATION MANAGEMENT CORPORATION                 8.01,9.01            02/01/13

Edwards Lifesciences Corp               DE       2.02,9.01            02/04/13

El Paso Pipeline Partners, L.P.         DE       7.01                 02/01/13

ELIZABETH ARDEN INC                     FL       2.02                 01/31/13    AMEND

Eloqua, Inc.                                     2.02,9.01            02/01/13

Emergent BioSolutions Inc.              DE       8.01,9.01            02/04/13

Fabrinet                                E9       2.02,9.01            02/04/13

FAUQUIER BANKSHARES, INC.               VA       2.02,9.01            02/04/13

FINISH LINE INC /IN/                    IN       8.01                 02/04/13

First California Financial Group, Inc   DE       7.01,9.01            01/30/13

FIRST CAPITAL BANCORP, INC.             VA       2.02,9.01            02/01/13

FIRST COLOMBIA GOLD CORP.               NV       1.01,3.02,9.01       01/23/13

FIRST NIAGARA FINANCIAL GROUP INC       DE       5.02                 02/04/13

FIRSTMERIT CORP /OH/                    OH       3.03,5.03,8.01,9.01  01/31/13

FORD MOTOR CO                           DE       8.01,9.01            02/01/13

FORD MOTOR CREDIT CO LLC                DE       8.01,9.01            02/01/13

Freeze Tag, Inc.                        DE       1.02,3.02,9.01       01/29/13

FUTURES PORTFOLIO FUND L.P.             MD       3.02                 02/01/13

FX ENERGY INC                           NV       8.01,9.01            02/04/13

GANNETT CO INC /DE/                     DE       2.02,9.01            02/04/13

General Growth Properties, Inc.         DE       2.02,7.01,9.01       02/04/13

GEOSPACE TECHNOLOGIES CORP              DE       8.01,9.01            02/04/13

GILEAD SCIENCES INC                     DE       2.02,9.01            02/04/13

GLADSTONE LAND Corp                     DE       1.01,9.01            02/04/13

Global Eagle Entertainment Inc.         DE       5.07,8.01            01/31/13

Global Vision Holdings, Inc.            NV       1.01,1.02,5.02,9.01  01/29/13

GRYPHON GOLD CORP                       NV       7.01,9.01            02/04/13

Guar Global Ltd.                        NV       5.02                 02/03/13

H&E Equipment Services, Inc.            DE       1.01,2.03,8.01,9.01  02/04/13

HARRIS CORP /DE/                        DE       7.01                 02/04/13

HARTFORD FINANCIAL SERVICES GROUP INC   DE       2.02,9.01            02/04/13

Hartman Short Term Income Properties    MD       1.01,9.01            02/04/13

HARVEST NATURAL RESOURCES, INC.         DE       3.03,9.01            02/04/13

HD SUPPLY, INC.                         DE       1.01,8.01,9.01       02/04/13

Hillenbrand, Inc.                       IN       2.02,9.01            02/04/13

Hillshire Brands Co                     MD       8.01,9.01            02/04/13

Hines Global REIT, Inc.                 MD       8.01                 02/04/13

HOLOGIC INC                             DE       2.02,9.01            02/04/13

HomeStreet, Inc.                        WA       2.02,9.01            02/04/13

Horizon Technology Finance Corp         DE       5.02                 02/04/13

HOT TOPIC INC /CA/                      CA       5.02                 01/31/13

HSBC USA INC /MD/                       MD       8.01                 02/04/13

HUMANA INC                              DE       2.02,7.01,9.01       02/04/13

HUTCHINSON TECHNOLOGY INC               MN       5.07                 01/30/13

I-LEVEL MEDIA GROUP INC                 NV       4.01,9.01            02/04/13

ICU MEDICAL INC/DE                      DE       8.01,9.01            02/04/13

IDS Solar Technologies, Inc.            NV       8.01                 02/04/13

IEC ELECTRONICS CORP                    DE       5.07                 01/30/13

IEC ELECTRONICS CORP                    DE       5.02                 11/13/12    AMEND

IEC ELECTRONICS CORP                    DE       5.02                 08/07/12    AMEND

Immunotech Laboratories, Inc.                    9.01                 02/04/13

Immunotech Laboratories, Inc.                    5.02,9.01            02/04/13

IMPLANT SCIENCES CORP                   MA       2.02,7.01,9.01       02/02/13

Infinity Resources Holdings Corp.       NV       7.01,9.01            02/04/13

INFOBLOX INC                                     5.02,9.01            01/31/13

INGLES MARKETS INC                      NC       2.02,9.01            02/04/13

INNSUITES HOSPITALITY TRUST             OH       5.02                 01/30/13

INPHI Corp                              DE       2.02,9.01            02/04/13

InspireMD, Inc.                         DE       2.02,9.01            02/04/13

Interactive Intelligence Group, Inc.    IN       2.02,9.01            02/04/13

INTERSTATE POWER & LIGHT CO             IA       8.01,9.01            02/04/13

INUVO, INC.                             NV       1.01,7.01,9.01       01/31/13

INUVO, INC.                             NV       1.01                 01/29/13

IRON MOUNTAIN INC                       DE       1.01,9.01            01/31/13

J C PENNEY CO INC                       DE       1.01,2.03,2.04,8.01, 01/30/13
                                                 9.01
          
J CREW GROUP INC                        DE       1.01,2.03,9.01       02/04/13

J2 GLOBAL, INC.                         DE       8.01,9.01            02/04/13

JOURNAL COMMUNICATIONS INC                       9.01                 12/05/12    AMEND

KBS Real Estate Investment Trust III,   MD       1.01,2.01,2.03,9.01  01/29/13

KCAP Financial, Inc.                    DE       8.01,9.01            02/04/13

KIMBALL INTERNATIONAL INC               IN       2.02,9.01            02/04/13

KINDER MORGAN ENERGY PARTNERS L P       DE       1.01,9.01            01/29/13

KINDER MORGAN ENERGY PARTNERS L P       DE       7.01                 02/01/13

KINDER MORGAN ENERGY PARTNERS L P       DE       1.01                 01/29/13    AMEND

KINDER MORGAN MANAGEMENT LLC            DE       7.01                 02/01/13

KINDER MORGAN, INC.                     DE       7.01                 02/01/13

KNIGHT CAPITAL GROUP, INC.              DE       2.05                 01/29/13

LA JOLLA PHARMACEUTICAL CO              CA       7.01,9.01            01/31/13

LADENBURG THALMANN FINANCIAL SERVICES   FL       1.01,9.01            01/30/13

LAS VEGAS SANDS CORP                    NV       5.02                 01/29/13

LEGGETT & PLATT INC                     MO       2.02,7.01,9.01       02/04/13

LEXMARK INTERNATIONAL INC /KY/          DE       8.01                 02/04/13

Life Technologies Corp                  DE       2.02,7.01,9.01       02/04/13

LIGHTPATH TECHNOLOGIES INC              DE       5.07                 01/31/13

LIQUIDITY SERVICES INC                  DE       5.02,7.01,9.01       02/04/13

LIQUIDMETAL TECHNOLOGIES INC            DE       5.02,9.01            01/31/13

LIVEPERSON INC                          DE       5.02                 01/30/13

LIVEWIRE ERGOGENICS INC.                         4.01,5.02,9.01       01/31/13

Location Based Technologies, Inc.       NV       1.01,9.01            01/29/13

lululemon athletica inc.                DE       5.02,9.01            01/31/13

LUMINEX CORP                            DE       2.02,9.01            02/04/13

MAGELLAN GOLD Corp                      NV       2.03,9.01            01/31/13

MAGELLAN GOLD Corp                      NV       2.03,9.01            12/31/12

MAGELLAN PETROLEUM CORP /DE/            DE       3.01,9.01            02/04/13    AMEND

MARKEL CORP                             VA       2.02,9.01            02/04/13

MCGRAW-HILL COMPANIES INC               NY       8.01,9.01            02/04/13

MDC HOLDINGS INC                        DE       5.02                 02/01/13

MEDICINES CO /DE                        DE       1.01,9.01            02/03/13

MEDIVATION, INC.                        DE       5.02                 01/31/13

MERCURY GENERAL CORP                    CA       2.02,9.01            02/04/13

MFRI INC                                DE       5.03,9.01            01/30/13

MGC DIAGNOSTICS Corp                    MN       5.02,9.01            02/01/13

MICROFINANCIAL INC                      MA       2.02,5.02,9.01       01/30/13

MIMEDX GROUP, INC.                      FL       1.01,2.03            01/31/13

MOVADO GROUP INC                        NY       1.02,9.01            01/30/13

MRV COMMUNICATIONS INC                  DE       5.02,9.01            01/31/13

MWI Veterinary Supply, Inc.             DE       2.02,9.01            02/04/13

NANOMETRICS INC                         DE       2.02                 02/04/13

NATIONAL BANCSHARES CORP /OH/           OH       1.01,9.01            02/01/13

NATIONAL HOLDINGS CORP                  DE       4.01,9.01            01/29/13

NATIONAL MENTOR HOLDINGS, INC.          DE       1.01,2.03,9.01       02/04/13

NATIONAL RURAL UTILITIES COOPERATIVE    DC       8.01                 01/30/13

Nationstar Mortgage Holdings Inc.       DE       8.01,9.01            02/04/13

Naugatuck Valley Financial Corp                  5.02,8.01,9.01       01/30/13

Net Element International, Inc.         E9       5.02                 01/29/13

NEW HAMPSHIRE THRIFT BANCSHARES INC     DE       2.02,9.01            02/01/13

NEW YORK COMMUNITY BANCORP INC          DE       7.01,9.01            02/04/13

NEWS CORP                                        8.01,9.01            02/04/13

Nielsen Holdings N.V.                   P7       7.01                 02/04/13

Noble Corp / Switzerland                V8       8.01,9.01            02/04/13

NORTHEAST BANCORP /ME/                  ME       2.02,9.01            12/31/12

NorthStar Healthcare Income, Inc.       MD       1.01,7.01,9.01       02/04/13

OCEANEERING INTERNATIONAL INC           DE       7.01                 02/01/13

Och-Ziff Capital Management Group LLC   DE       7.01                 02/04/13

Oculus Innovative Sciences, Inc.        CA       5.02,9.01            02/01/13

OHIO LEGACY CORP                        OH       1.01,9.01            02/01/13

OHIO VALLEY BANC CORP                   OH       8.01,9.01            02/04/13

OLD DOMINION FREIGHT LINE INC/VA        VA       5.03,9.01            01/29/13

ONCOGENEX PHARMACEUTICALS, INC.         DE       5.02,9.01            01/31/13

ONEOK INC /NEW/                         OK       7.01,9.01            02/04/13

ONEOK Partners LP                       DE       7.01,9.01            02/04/13

ORRSTOWN FINANCIAL SERVICES INC         PA       8.01,9.01            01/31/13

OTELCO INC.                             DE       9.01                 01/31/13    AMEND

PACIFIC CONTINENTAL CORP                OR       8.01,9.01            02/01/13

PALMETTO BANCSHARES INC                 SC       1.02,8.01,9.01       02/01/13

Pandora Media, Inc.                     DE       5.02                 02/04/13

PATHEON INC                                      5.02,9.01            01/29/13

Patriot Minefinders Inc.                NV       5.02,7.01,9.01       02/01/13

PATRIOT SCIENTIFIC CORP                 DE       1.01,9.01            07/11/12    AMEND

PBF Energy Inc.                         DE       7.01,9.01            02/04/13

PENFORD CORP                            WA       5.07                 01/31/13

PERNIX THERAPEUTICS HOLDINGS, INC.      MD       8.01                 01/24/13

PERVASIP CORP                           NY       3.02,5.03,9.01       01/16/13

Phillips Edison - ARC Shopping Center   MD       1.01,2.01,8.01,9.01  02/04/13

Phillips Edison - ARC Shopping Center   MD       1.01,2.01,8.01,9.01  02/04/13

PIEDMONT NATURAL GAS CO INC             NC       1.01,9.01            01/29/13

PINNACLE WEST CAPITAL CORP              AZ       7.01,9.01            02/04/13

POLARIS INDUSTRIES INC/MN               MN       5.02,9.01            01/31/13

POWER INTEGRATIONS INC                  CA       2.02,9.01            02/04/13

Primoris Services Corp                  DE       9.01                 11/19/12    AMEND

Pulse Beverage Corp                     NV       4.01,9.01            02/04/13

REAL DATA INC                           UT       8.01                 01/31/13

Real Estate Contacts, Inc.                       4.01                 02/01/13

RESPECT YOUR UNIVERSE, INC.             NV       5.02                 01/30/13

RICHFIELD OIL & GAS Co                  NV       8.01,9.01            02/04/13

ROBERTS REALTY INVESTORS INC            GA       8.01                 01/30/13

ROWAN COMPANIES PLC                     X0       7.01,9.01            02/04/13

ROYAL CARIBBEAN CRUISES LTD                      2.02,7.01,9.01       02/04/13

RUDOLPH TECHNOLOGIES INC                DE       2.02,9.01            02/04/13

SaasMAX, Inc.                           NV       4.01                 02/04/13    AMEND

SAFEWAY INC                             DE       5.02,8.01,9.01       02/04/13

San Lotus Holding Inc                   NV       1.01,9.01            02/02/13

SANFILIPPO JOHN B & SON INC             DE       8.01,9.01            02/01/13

Scio Diamond Technology Corp            NV       5.02,7.01,9.01       01/29/13

Sentio Healthcare Properties Inc        MD       8.01                 02/04/13

Seven Arts Entertainment Inc.           NV       8.01                 01/28/13

Shire plc                                        8.01,9.01            02/01/13

SIMON PROPERTY GROUP INC /DE/           DE       2.02,7.01,9.01       02/04/13

Sino Agro Food, Inc.                    NV       3.02                 02/04/13

Skinny Nutritional Corp.                NV       1.02,2.04            01/29/13

SMART ONLINE INC                        DE       2.03,3.02            01/29/13

SolarWinds, Inc.                        DE       2.02,9.01            02/04/13

Spectrum Brands Holdings, Inc.          DE       5.02,8.01            01/29/13

Starz                                   DE       7.01,9.01            01/30/13

Starz, LLC                              DE       7.01,9.01            01/30/13

Steadfast Income REIT, Inc.             MD       7.01,9.01            01/31/13

Sunshine Heart, Inc.                    DE       5.02,8.01,9.01       01/29/13

SUNVESTA, INC.                          FL       5.02,9.01            12/31/12

SUPERVALU INC                           DE       5.02,9.01            02/03/12

Swingplane Ventures, Inc.               NV       4.01,9.01            02/01/13

Symetra Financial CORP                  DE       2.02,8.01,9.01       02/04/13

SYSCO CORP                              DE       2.02,9.01            02/04/13

TECO ENERGY INC                         FL       8.01,9.01            02/04/13

TELETOUCH COMMUNICATIONS INC            DE       8.01,9.01            01/28/13

TEMPUR PEDIC INTERNATIONAL INC          DE       5.02,9.01            02/04/13

TENGION INC                             DE       1.01,9.01            01/30/13

Territorial Bancorp Inc.                MD       8.01,9.01            02/04/13

Territorial Bancorp Inc.                MD       8.01,9.01            02/04/13

THOR INDUSTRIES INC                     DE       2.02,9.01            02/04/13

TORCHMARK CORP                          DE       2.02,9.01            02/04/13

TRANS LUX CORP                          DE       1.01,2.03,9.01       01/30/13

TransDigm Group INC                     DE       2.02,9.01            02/04/13

TRINITY CAPITAL CORP                    NM       5.02                 02/04/13

TRINITY INDUSTRIES INC                  DE       1.01,2.03,9.01       02/01/13

ULTRATECH INC                           DE       5.02                 01/28/13

UNION FIRST MARKET BANKSHARES CORP      VA       8.01,9.01            02/01/13

UNITED RENTALS INC /DE                  DE       1.01,2.03,9.01       02/01/13

UNITED THERAPEUTICS Corp                DE       5.02,7.01,9.01       01/31/13

UQM TECHNOLOGIES INC                    CO       5.02                 01/31/13

USChina Taiwan Inc                      NV       5.01                 12/31/12

USChina Taiwan Inc                      NV       5.02                 12/31/12

VALLEY FORGE COMPOSITE TECHNOLOGIES,    FL       8.01,9.01            02/04/13

VALUECLICK INC/CA                       DE       5.02                 01/29/13

VelaTel Global Communications, Inc.     NV       1.01,9.01            02/04/13

VENTRUS BIOSCIENCES INC                 DE       5.03,8.01,9.01       01/30/13

Vera Bradley, Inc.                               4.01,9.01            01/29/13

VERIFONE SYSTEMS, INC.                  DE       5.02,8.01,9.01       02/04/13

VERINT SYSTEMS INC                      DE       8.01                 02/04/13

Verso Paper Corp.                       DE       1.01,2.03,9.01       01/31/13

VII Peaks-KBR Co-Optivist Income BDC    MD       2.02                 01/30/13

VITESSE SEMICONDUCTOR CORP              DE       5.02                 01/30/13

Warner Chilcott plc                              5.02                 02/04/13

WELLCARE HEALTH PLANS, INC.             DE       8.01                 02/04/13

WELLCARE HEALTH PLANS, INC.             DE       1.01,9.01            01/29/13

WERNER ENTERPRISES INC                  NE       7.01,9.01            02/04/13

WESBANCO INC                            WV       7.01,9.01            02/04/13

WESTELL TECHNOLOGIES INC                DE       2.02,9.01            02/04/13

Western Gas Equity Partners, LP         DE       5.02,9.01            01/30/13

Western Refining, Inc.                  DE       7.01,9.01            02/04/13

WESTFIELD FINANCIAL INC                 MA       5.02                 01/29/13

Winthrop Realty Trust                   OH       1.01,5.02,9.01       02/01/13

WMS INDUSTRIES INC /DE/                 DE       1.01,9.01            01/30/13

WOODSTOCK HOLDINGS INC.                 GA       3.01                 02/01/13    AMEND

YUM BRANDS INC                          NC       2.02,9.01            02/04/13

 

http://www.sec.gov/news/digest/2013/dig020513.htm


Modified: 02/05/2013