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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2013-34
February 20, 2013

ENFORCEMENT PROCEEDINGS

Michael Lowther, CPA Reinstated to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed With the Commission

Pursuant to Rule 102(e)(5)(i) of the Commission's Rules of Practice, Michael Lowther, CPA has applied for and been granted reinstatement of his privilege to appear and practice before the Commission as an accountant responsible for the preparation or review of financial statements required to be filed with the Commission. Mr. Lowther was suspended from appearing or practicing before the Commission as an accountant on January 28, 2008. His reinstatement is effective immediately. (Rel. 34-68949; AAE Rel. 3445; File No. 3-12938)

SEC Suspends Attorney Virginia K. Sourlis, Esq.

The U.S. Securities and Exchange Commission announced today that it has suspended Virginia K. Sourlis from appearing or practicing before it as an attorney. This action follows the issuance of a final judgment by the U.S. District Court for the Southern District of New York in which U.S. District Court Judge Miriam Goldman Cedarbaum found that Virginia Sourlis aided and abetted violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b5 promulgated thereunder.

The Commission’s Amended Complaint against Virginia K. Sourlis and others in the civil action entitled United States Securities and Exchange Commission v. Greenstone Holdings, Inc., et al., 10-civ-1302, alleged, among other claims, that she aided and abetted violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b5 promulgated thereunder in connection with the illegal public offering of millions of shares of Greenstone Holdings, Inc. (Greenstone) stock. On November 20, 2012, Judge Cederbaum issued an order that granted the Commission summary judgment on liability on the Commission’s claim that Sourlis aided and abetted violations of Section 10(b) and Rule 10b-5, holding that she issued a false legal opinion that facilitated the illegal Greenstone stock offering.

Today, the Commission issued an Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3)(i)(B) of the Commission’s Rules of Practice that suspends Virginia K. Sourlis, who is licensed to practice law in the State of New Jersey and a partner in The Sourlis Law Firm, from appearing or practicing before the Commission. The Commission’s Order was based on the order issued by Judge Cederbaum. (Rel. 34-68952; File No. 3-15212)

District Court Enters Judgment Against New Mexico Ponzi Schemer

The Securities and Exchange Commission (Commission) announced today that on February 14, 2013, the U.S. District Court for the District of New Mexico entered a consent judgment against Douglas F. Vaughan (Vaughan). The court enjoined Vaughan from violating federal securities antifraud, broker-dealer, and securities offering registration laws, and ordered Vaughan to disgorge $43,658,821 in ill-gotten gains. The court deemed the disgorgement order to be satisfied by an order of restitution for the same amount and an order of forfeiture in a related criminal prosecution.

On March 22, 2010, the Commission filed an emergency civil action in the United States District Court for the District of New Mexico charging Vaughan and his companies, The Vaughan Company, Realtors, Inc. (Vaughan Realtors), and Vaughan Capital, LLC (Vaughan Capital) with violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. Vaughan and Vaughan Realtors were also charged with violations of Section 15(a)(1) of the Exchange Act. The complaint alleged that Vaughan used the companies, which he controlled, to operate a Ponzi scheme that relied on new investors’ funds to pay above-market returns to existing investors. The complaint alleged that Vaughan began selling promissory notes, which were securities, sometime in 1993 and continued offering the notes to investors until at least January 31, 2010. The scheme collapsed when Vaughan’s obligations to pay returns to investors became greater than his ability to raise new funds.

On March 24, 2010, the court entered an order temporarily restraining Vaughan and his companies, prohibiting the destruction or alteration of documents, freezing funds and other assets, providing for expedited discovery, and requiring an accounting of investor funds. Three weeks later, the court entered a preliminary injunction against Vaughan, Vaughan Capital, and Vaughan Realtors that granted all of the relief that the Commission requested.

On February 24, 2011, a federal grand jury in New Mexico handed up an indictment charging Vaughan with, among other charges, mail and wire fraud and making false statements to the Commission. Vaughan pleaded guilty and, on September 5, 2012, was sentenced to 12 years in prison, ordered to pay restitution of $43,658,821 under the Mandatory Victims Restitution Act, and directed to forfeit $74,745,724 to the United States.

The Commission has also resolved its claims against Vaughan Capital, which is now defunct, and Vaughan Realtors, which no longer has operations and is under the control of an independent bankruptcy trustee. On March 2, 2011, the district court entered a judgment against Vaughan Realtors with the consent of the Chapter 11 Bankruptcy Trustee. On January 7, 2013, the court entered a default judgment against Vaughan Capital. The judgments against Vaughan Realtors and Vaughan Capital permanently enjoin them from violations of Sections 5(a), 5(c), and 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The judgment against Vaughan Realtors also enjoins the company from violating the broker-dealer provisions of Section 15(a)(1) of the Exchange Act. [SEC v. Douglas F. Vaughan, Civil Action No. 10-263-MV-WPL (D.N.M.)] (LR-22621)

SELF-REGULATORY ORGANIZATIONS

Approval of Proposed Rule Change

The Commission approved a proposed rule change (SR-ICC-2012-24) filed by ICE Clear Credit LLC (ICC) under Section 19(b)(1) of the Securities Exchange Act of 1934 to add rules related to the clearing of European corporate single-name CDS. Publication is expected in the Federal Register during the week of February 18. (Rel. 34-68939)

Proposed Rule Change

Chicago Board Options Exchange, Incorporated filed a proposed rule change (SR-CBOE-2013-019), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, relating to Market-Maker continuous quoting obligations. Publication is expected in the Federal Register during the week of February 18. (Rel. 34-68944)

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     SYNERGY RESOURCES CORP, 20203 HIGHWAY 60, PLATTEVILLE, CO, 80651, 
        303-591-7413 - 0 ($250,000,000.00) Equity, (File 333-186726 - Feb. 19) 
        (BR. 04A)

S-8     Riverbed Technology, Inc., 199 FREMONT STREET, SAN FRANCISCO, CA, 
        94105, (415) 247-8800 - 0 ($28,335,000.00) Equity, (File 333-186727 - 
        Feb. 19) (BR. 03A)

S-3ASR  DOW CHEMICAL CO /DE/, 2030 DOW CENTER, MIDLAND, MI, 48674-2030, 
        989-636-1000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-186728 - Feb. 19) (BR. 06B)

S-8     Allied World Assurance Co Holdings, AG, LINDENSTRASSE 8, BAAR/ZUG, V8, 
        6340, 441-278-5400 - 0 ($130,635,000.00) Equity, (File 333-186729 - 
        Feb. 19) (BR. 01A)

S-8     FORD MOTOR CO, ONE AMERICAN ROAD, DEARBORN, MI, 48126, 3133223000 - 
        18,000,000 ($235,170,000.00) Equity, (File 333-186730 - Feb. 19) 
        (BR. 05A)

S-1     ARTEC CONSULTING CORP., 2360 CORPORATE CIRCLE STE 400, HENDERSON, NV, 
        89074-7722, 7028794245 - 5,000,000 ($100,000.00) Equity, 
        (File 333-186732 - Feb. 19) (BR. 06)

S-8     PARKER HANNIFIN CORP, 6035 PARKLAND BOULEVARD, CLEVELAND, OH, 
        44124-4141, 2168963000 - 0 ($1,410,000,000.00) Equity, 
        (File 333-186733 - Feb. 19) (BR. 06B)

S-8     PARKER HANNIFIN CORP, 6035 PARKLAND BOULEVARD, CLEVELAND, OH, 
        44124-4141, 2168963000 - 0 ($864,800,000.00) Equity, (File 333-186734 - 
        Feb. 19) (BR. 06B)

S-8     Graystone Co, 2620 REGATTA DRIVE, STE 102, LAS VEGAS, NV, 89128, 
        7025825535 - 15,000,000 ($51,250.00) Equity, (File 333-186739 - 
        Feb. 19) (BR. 03B)

S-8     National Health Partners Inc, 120 GIBRALTAR RD, SUITE 107, HORSHAM, PA, 
        19044, 215-682-7114 - 12,000,000 ($960,000.00) Equity, 
        (File 333-186740 - Feb. 19) (BR. 09B)

S-3ASR  PARKER HANNIFIN CORP, 6035 PARKLAND BOULEVARD, CLEVELAND, OH, 
        44124-4141, 2168963000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-186741 - Feb. 19) (BR. 06B)

S-8     CATERPILLAR INC, 100 NE ADAMS ST, PEORIA, IL, 61629, 3096751000 - 
        0 ($48,380,000.00) Equity, (File 333-186742 - Feb. 19) (BR. 10A)

S-3ASR  NORTHSTAR REALTY FINANCE CORP., 399 PARK AVENUE,, 18TH FLOOR, NEW YORK, 
        NY, 10022, 212-547-2640 - 0 ($0.00) Other, (File 333-186743 - Feb. 19) 
        (BR. 08B)

S-8     CATERPILLAR INC, 100 NE ADAMS ST, PEORIA, IL, 61629, 3096751000 - 
        0 ($96,760,000.00) Equity, (File 333-186744 - Feb. 19) (BR. 10A)

F-3ASR  Michael Kors Holdings Ltd, UNIT 1902, 19/F, TOWER 6, THE GATEWAY, 
        HARBOUR CITY, TSIM SHA TSUI, KOWLOON, K3, 00000, (852) 2371-8634 - 
        0 ($0.00) Equity, (File 333-186745 - Feb. 19) (BR. 09)

S-8     RAINMAKER SYSTEMS INC, 900 EAST HAMILTON AVENUE, SUITE 400, CAMPBELL, 
        CA, 95008, 4086263800 - 375,000 ($270,000.00) Equity, 
        (File 333-186747 - Feb. 19) (BR. 08C)

N-2     ClearBridge Energy MLP Opportunity Fund Inc., 620 EIGHTH AVENUE, 
        49TH FLOOR, NEW YORK, NY, 10018, 888-777-0102 - 
        0 ($200,000,000.00) Equity, (File 333-186748 - Feb. 19) (BR. 18)

S-4     SWIFT ENERGY CO, 16825 NORTHCHASE DR STE 400, HOUSTON, TX, 77060, 
        2818742700 - 0 ($150,000,000.00) Debt, (File 333-186749 - Feb. 19) 
        (BR. 04B)

S-8     SolarWinds, Inc., 3711 SOUTH MOPAC EXPRESSWAY, BUILDING TWO, AUSTIN, 
        TX, 78746, 512-682-9500 - 0 ($188,917,686.00) Equity, 
        (File 333-186750 - Feb. 19) (BR. 03A)

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

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

AccelPath, Inc.                         DE       1.02,4.02            02/15/13

ACCESS MIDSTREAM PARTNERS LP            DE       2.02,9.01            02/19/13

Actavis, Inc.                           NV       2.02,9.01            02/19/13

ACTIVE POWER INC                        DE       5.02                 02/12/13

ACTIVE POWER INC                        DE       2.02,9.01            02/19/13

AEOLUS PHARMACEUTICALS, INC.            DE       1.01,3.02,3.03,4.02, 02/15/13
                                                 8.01
          
Air Transport Services Group, Inc.      DE       5.02,7.01,9.01       02/19/13

AK STEEL HOLDING CORP                   DE       5.02                 02/14/13

ALASKA PACIFIC BANCSHARES INC           AK       8.01                 02/01/13

Alexander & Baldwin, Inc.               HI       2.02,9.01            02/19/13

Alexander & Baldwin, Inc.               HI       2.02,9.01            02/19/13

Alkermes plc.                                    1.01,7.01,9.01       02/14/13

ALLIED MOTION TECHNOLOGIES INC          CO       2.02,9.01            02/19/13

Allison Transmission Holdings Inc       DE       2.02,9.01            02/19/13

ALLSCRIPTS HEALTHCARE SOLUTIONS, INC.   DE       2.05                 02/18/13

ALLSCRIPTS HEALTHCARE SOLUTIONS, INC.   DE       2.02,9.01            02/19/13

ALLSTATE CORP                           DE       5.02,9.01            02/18/13

ALPHA & OMEGA SEMICONDUCTOR Ltd                  5.02                 02/19/13

ALPHARX INC                             DE       8.01                 02/15/13

ALTRIA GROUP, INC.                      VA       7.01,9.01            02/19/13

American Assets Trust, Inc.             MD       2.02,7.01,9.01       02/19/13

AMERICAN CORDILLERA MINING Corp         NV       1.01,3.02,9.01       02/12/13

AMERICAN GRAPHITE TECHNOLOGIES INC.     NV       2.01,5.06,9.01       12/03/12    AMEND

AMERICAN INTERNATIONAL GROUP INC        DE       8.01,9.01            02/19/13

AMERICAN WOODMARK CORP                  VA       2.02,9.01            02/19/13

AMERICANWEST BANCORPORATION             WA       7.01,9.01            02/15/13

AMERICAS CARMART INC                    TX       2.02,9.01            02/18/13

AMES NATIONAL CORP                      IA       8.01,9.01            02/13/13

AMYRIS, INC.                            DE       2.02,9.01            02/19/13

ANADIGICS INC                           DE       2.02,9.01            02/19/13

ANALOG DEVICES INC                      MA       2.02,9.01            02/19/13

Andatee China Marine Fuel Services Co   DE       5.02,9.01            02/12/13

AntriaBio, Inc.                         DE       7.01,9.01            02/19/13

ARCHER DANIELS MIDLAND CO               DE       5.04,9.01            02/13/13

ARMSTRONG WORLD INDUSTRIES INC          PA       2.02,7.01,9.01       02/19/13

ARROW ELECTRONICS INC                   NY       8.01,9.01            02/19/13

As Seen On TV, Inc.                     FL       4.02                 02/16/13

ASBURY AUTOMOTIVE GROUP INC             DE       2.02,9.01            02/19/13

ASSURANCEAMERICA CORP                   NV       1.01                 02/19/13

ASTORIA FINANCIAL CORP                  DE       8.01,9.01            02/19/13

ATLAS PIPELINE PARTNERS LP              DE       2.02,9.01            02/18/13

ATP OIL & GAS CORP                      TX       1.01,9.01            02/13/13

ATRION CORP                             DE       2.02,9.01            02/19/13

AUTOLIV INC                             DE       8.01,9.01            02/19/13

AVAYA INC                               DE       1.01,8.01,9.01       02/13/13

AWG International Water Corp            NV       8.01,9.01            02/13/13

Baltic Trading Ltd                      1T       2.02,7.01            02/19/13

BANCTRUST FINANCIAL GROUP INC           AL       2.01,3.01,3.03,5.01, 02/15/13
                                                 8.01,9.01
     
BBCN BANCORP INC                        DE       8.01,9.01            02/15/13

BEACON ROOFING SUPPLY INC               DE       5.07                 02/13/13

BIOCRYST PHARMACEUTICALS INC            DE       2.02,7.01,9.01       02/19/13

BioMed Realty Trust Inc                 MD       8.01,9.01            02/13/13

Bitzio, Inc.                            NV       7.01,9.01            02/19/13

BJs RESTAURANTS INC                     CA       2.02,9.01            02/19/13

Black Elk Energy Offshore Operations,   TX       3.02,5.02,5.03,9.01  02/12/13

BlackRock Inc.                          DE       5.02,9.01            02/12/13

BlackRock Kelso Capital CORP            DE       1.01,2.03,3.02,8.01, 02/19/13
                                                 9.01
          
BMC SOFTWARE INC                        DE       5.02                 02/13/13

BOB EVANS FARMS INC                     DE       2.01,9.01            02/15/13

BOB EVANS FARMS INC                     DE       2.02,9.01            02/19/13

BROADCOM CORP                           CA       5.02                 02/14/13

BROADSOFT, INC.                         DE       5.02                 02/15/13

BRUKER CORP                             DE       2.02,5.02,9.01       02/12/13

CABCO SERIES 2004-1 TRUST (GOLDMAN SA            8.01,9.01            02/15/13

CABCO SERIES 2004-101 TRUST (GOLDMAN             8.01,9.01            02/15/13

CADUCEUS SOFTWARE SYSTEMS CORP.         NV       4.02                 02/15/13

CalAmp Corp.                            DE       1.01,9.01            02/13/13

CAPITAL SOUTHWEST CORP                  TX       8.01,9.01            02/18/13

CARDINAL HEALTH INC                     OH       8.01                 02/19/13

CBIZ, Inc.                              DE       2.02,9.01            02/13/13

CC Media Holdings Inc                            2.02,9.01            02/19/13

CCA INDUSTRIES INC                      DE       5.02,9.01            02/11/13

CEDAR FAIR L P                          DE       2.02,9.01            02/19/13

Centor Inc.                             NV       5.02,9.01            02/13/13

CENTRAL PACIFIC FINANCIAL CORP          HI       1.02                 02/12/13

CF Industries Holdings, Inc.            DE       2.02,9.01            02/19/13

CHEMED CORP                             DE       2.02,9.01            02/18/13

CHICAGO BRIDGE & IRON CO N V            P7       2.01,9.01            02/13/13

China Logistics Group Inc               FL       3.02                 01/03/13

CIMAREX ENERGY CO                       DE       2.02,7.01,9.01       02/19/13

Cinemark Holdings, Inc.                 DE       7.01,9.01            02/15/13

CION Investment Corp                    MD       2.02,9.01            02/12/13

CLEAR CHANNEL COMMUNICATIONS INC        TX       2.02,9.01            02/19/13

Clear Channel Outdoor Holdings, Inc.    DE       2.02,9.01            02/19/13

CLECO CORP                              LA       2.02,9.01            02/19/13

Clovis Oncology, Inc.                   DE       5.02                 02/14/13

CMS ENERGY CORP                         MI       5.02,9.01            02/18/13

CNH CAPITAL RECEIVABLES LLC             DE       1.01,8.01,9.01       02/13/13

CNH CAPITAL RECEIVABLES LLC             DE       8.01,9.01            02/13/13

COEUR D ALENE MINES CORP                ID       8.01,9.01            02/18/13

CollabRx, Inc.                          DE       1.01,5.02,9.01       02/12/13

CollabRx, Inc.                          DE       2.02,9.01            02/19/13

CombiMatrix Corp                        DE       3.02                 02/14/13

COMPUTER TASK GROUP INC                 NY       2.02,9.01            02/19/13

CONAGRA FOODS INC /DE/                  DE       7.01,9.01            02/19/13

Constellation Energy Partners LLC       DE       5.02,8.01,9.01       02/15/13

CorMedix Inc.                           DE       1.01,5.03,9.01       02/18/13

CUMULUS MEDIA INC                       DE       5.02                 02/12/13

DAKTRONICS INC /SD/                     SD       9.01                 02/19/13

DATALINK CORP                           MN       5.02                 02/13/13

DELL INC                                DE       2.02,9.01            02/19/13

DELL INC                                DE       8.01                 02/19/13

DEMAND MEDIA INC.                       DE       2.02,7.01,9.01       02/19/13

Desert Gateway, Inc.                    OK       1.01,3.02,5.03,9.01  02/12/13

DICKS SPORTING GOODS INC                DE       8.01,9.01            02/15/13

Digital Cinema Destinations Corp.       DE       2.02,9.01            02/14/13

Digital Generation, Inc.                DE       8.01,9.01            02/19/13

Digital Generation, Inc.                DE       2.02,9.01            02/19/13

Digital Realty Trust, Inc.                       8.01                 02/19/13

DIODES INC /DEL/                        DE       2.02,7.01,9.01       02/13/13

DLH Holdings Corp.                      NJ       5.07                 02/14/13

DMH INTERNATIONAL, INC.                 NV       5.03                 02/15/13

DOW CHEMICAL CO /DE/                    DE       5.02                 02/13/13

DOW CHEMICAL CO /DE/                    DE       5.02                 02/13/13

DYAX CORP                               DE       1.01                 02/12/13

EAGLE ROCK ENERGY PARTNERS L P          DE       5.02                 02/13/13

EARTHLINK INC                           DE       2.02,7.01,9.01       02/19/13

EARTHLINK INC                           DE       8.01,9.01            02/19/13

EastBridge Investment Group Corp        AZ       7.01,8.01,9.01       02/19/13

EASTERN CO                              CT       1.01                 02/18/13

Eastern Resources, Inc.                 DE       7.01,9.01            02/13/13

EASTON-BELL SPORTS, INC.                DE       1.01,5.02,7.01,9.01  02/13/13

ECOLOGY COATINGS, INC.                  NV       5.02                 02/19/13

Education Realty Trust, Inc.            MD       2.02,7.01,9.01       02/19/13

EGAIN Corp                              DE       8.01                 02/14/13

EL PASO ELECTRIC CO /TX/                TX       2.02,9.01            02/19/13

Emerald Oil, Inc.                       MT       1.01,3.02,5.02,5.03, 02/19/13
                                                 9.01
          
EMERSON ELECTRIC CO                     MO       8.01,9.01            02/14/13

EMPIRE ENERGY CORP                      UT       8.01                 02/19/13

Energy Future Holdings Corp /TX/        TX       2.02,9.01            02/19/13

ENERNOC INC                             DE       5.02                 02/12/13

Enhance Skin Products Inc               NV       5.02,8.01            02/13/13

Ensco plc                                        7.01,9.01            02/19/13

ENSIGN GROUP, INC                                2.02,9.01            02/13/13

EQUAL ENERGY LTD.                       A0       8.01                 02/15/13

ESSENTIAL INNOVATIONS TECHNOLOGY CORP   NV       4.01,9.01            01/04/13    AMEND

Evolucia Inc.                           NV       8.01,9.01            02/19/13

EXCO RESOURCES INC                      TX       1.01,9.01            02/12/13

EXOPACK HOLDING CORP                             5.02,9.01            02/13/13

EXPONENT INC                            DE       7.01,9.01            02/19/13

Express Scripts Holding Co.             DE       2.02,9.01            02/18/13

Extra Space Storage Inc.                MD       8.01,9.01            12/31/12

EXTREME NETWORKS INC                    DE       5.02                 02/12/13

EXXON MOBIL CORP                        NJ       2.02,7.01            02/19/13

Federal Home Loan Bank of Atlanta       X1       2.03                 02/13/13

Federal Home Loan Bank of Chicago       X1       2.03                 02/13/13

Federal Home Loan Bank of Dallas                 2.03,9.01            02/12/13

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            02/19/13

Federal Home Loan Bank of New York      X1       2.03,9.01            02/14/13

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            02/13/13

Federal Home Loan Bank of San Francis   X1       2.03                 02/13/13

Federal Home Loan Bank of Seattle                2.03                 02/13/13
FEDEX CORP                              DE       2.05                 02/15/13

FelCor Lodging Trust Inc                MD       2.02,9.01            02/19/13

Fidelity National Financial, Inc.                2.02,9.01            02/19/13

Financial Engines, Inc.                 DE       2.02,9.01            02/19/13

Financial Engines, Inc.                 DE       5.02,9.01            02/14/13

FIRST FINANCIAL HOLDINGS INC /DE/       DE       5.02                 02/15/13

FIRST PACTRUST BANCORP INC              MD       5.02,8.01,9.01       02/14/13

FLAGSTAR BANCORP INC                    MI       5.02                 02/12/13

FLOWERS FOODS INC                       GA       5.02,9.01            02/15/13

FNB CORP/FL/                            FL       7.01,8.01,9.01       02/19/13

FRANKLIN STREET PROPERTIES CORP /MA/             2.02,9.01            12/31/12

FREEPORT MCMORAN COPPER & GOLD INC      DE       1.01,2.03,9.01       02/14/13

FRESH DEL MONTE PRODUCE INC             E9       2.02,9.01            02/19/13

GENUINE PARTS CO                        GA       2.02,8.01,9.01       02/19/13

GLADSTONE CAPITAL CORP                  MD       5.07                 02/14/13

GLADSTONE COMMERCIAL CORP               MD       2.02,9.01            02/19/13

GMX RESOURCES INC                       OK       2.02,8.01,9.01       02/19/13

Goldenway, Inc.                         NV       5.02                 02/15/13

Golub Capital BDC, Inc.                 DE       1.01,9.01            02/15/13

GRAN TIERRA ENERGY INC.                 NV       1.01,5.02            02/13/13

Grand Canyon Education, Inc.            DE       2.02,9.01            02/19/13

GRAPHON CORP/DE                         DE       1.01,9.01            02/12/13

GREENLIGHT CAPITAL RE, LTD.                      2.02,9.01            02/19/13

GROUP 1 AUTOMOTIVE INC                  DE       2.02,9.01            02/19/13

GTJ REIT, Inc.                          MD       9.01                 01/17/13    AMEND

HACKETT GROUP, INC.                     FL       2.02,9.01            02/19/13

Hampden Bancorp, Inc.                   DE       5.02                 02/12/13

HANDENI GOLD INC.                       NV       8.01,9.01            02/14/13

Hanesbrands Inc.                        MD       5.02                 02/12/13

HARDINGE INC                            NY       5.02                 02/12/13

Hartman Short Term Income Properties    MD       9.01                 02/15/13    AMEND

HD SUPPLY, INC.                         DE       1.01,2.03            02/15/13

HEALTHSOUTH CORP                        DE       2.02,7.01,9.01       02/19/13

HECLA MINING CO/DE/                     DE       8.01,9.01            02/19/13

HERBALIFE LTD.                          E9       2.02,8.01,9.01       02/19/13

Heron Lake BioEnergy, LLC               MN       1.01,1.02,9.01       02/12/13

Higher One Holdings, Inc.               DE       5.02,9.01            02/15/13

Higher One Holdings, Inc.               DE       8.01                 02/19/13

HILLMAN COMPANIES INC                   DE       2.01,8.01,9.01       02/19/13

HUMANA INC                              DE       7.01                 02/19/13

HYSTER-YALE MATERIALS HANDLING, INC.    DE       2.02,9.01            02/19/13

HYSTER-YALE MATERIALS HANDLING, INC.    DE       2.02,7.01,9.01       02/19/13

ICON ECI FUND FIFTEEN, L.P.             DE       7.01,9.01            02/19/13

ICON Equipment & Corporate Infrastruc   DE       7.01,9.01            02/19/13

ICON INCOME FUND NINE LLC               DE       7.01,9.01            02/19/13

ICON INCOME FUND TEN LLC                DE       7.01,9.01            02/19/13

ICON LEASING FUND ELEVEN, LLC           DE       7.01,9.01            02/19/13

ICON LEASING FUND TWELVE, LLC           DE       7.01,9.01            02/19/13

INFINITY ENERGY RESOURCES, INC          DE       2.03,9.01            02/13/13

Inland Diversified Real Estate Trust,   MD       9.01                 02/19/13

Inland Diversified Real Estate Trust,   MD       8.01,9.01            02/19/13

Inland Diversified Real Estate Trust,   MD       9.01                 02/19/13    AMEND

INLAND REAL ESTATE CORP                 MD       8.01,9.01            02/19/13

INLAND REAL ESTATE CORP                 MD       8.01,9.01            02/19/13

INTEGRA LIFESCIENCES HOLDINGS CORP      DE       7.01,9.01            02/14/13

INTEGRATED ELECTRICAL SERVICES INC      DE       2.01,2.02,7.01,9.01  02/14/13

INTEGRATED ENVIRONMENTAL TECHNOLOGIES   NV       3.02                 02/12/13

Intellicell Biosciences, Inc.           NV       5.02,8.01,9.01       01/14/13

INTERMUNE INC                           DE       1.01                 02/12/13

INTERNET AMERICA INC                    TX       5.02                 02/15/13

INTERSIL CORP/DE                        DE       2.05,8.01            02/19/13

Intrepid Potash, Inc.                   DE       5.02,9.01            02/19/13

INVESTORS TITLE CO                      NC       2.02,9.01            02/19/13

IRELAND INC.                            NV       5.02,8.01            02/15/13

IRIDEX CORP                             DE       5.02                 12/05/12    AMEND

ITC Holdings Corp.                      MI       1.01,2.03,9.01       02/15/13

ITT EDUCATIONAL SERVICES INC            DE       5.02                 02/19/13

JA Energy                               NV       4.01,9.01            01/02/13

JACK IN THE BOX INC /NEW/               DE       5.07                 02/15/13

JEFFERIES GROUP INC /DE/                DE       8.01                 02/19/13

JOE'S JEANS INC.                        DE       1.01,5.02,9.01       02/18/13

JPX Global Inc.                                  1.01,2.01,3.02,5.01  02/15/13

KAISER ALUMINUM CORP                    DE       2.02,9.01            02/19/13

KAMAN CORP                              CT       5.02,9.01            02/19/13

KBW, INC.                                        1.01,2.01,3.01,3.03, 02/15/13
                                                 5.01,5.02,5.03,8.01,
                                                 9.01
   
KENNAMETAL INC                          PA       8.01,9.01            02/18/13

KONA GRILL INC                          DE       2.02,9.01            02/19/13

Kraft Foods Group, Inc.                          7.01,9.01            02/19/13

KRONOS WORLDWIDE INC                             7.01,9.01            02/18/13

LA-Z-BOY INC                            MI       2.02,9.01            02/19/13

LCA VISION INC                          DE       2.02,9.01            02/19/13

LIBERATED ENERGY, INC.                           3.03                 02/15/13

LIGHTSTONE VALUE PLUS REAL ESTATE INV   MD       7.01,9.01            02/18/13

Lightstone Value Plus Real Estate Inv   MD       7.01,9.01            02/18/13

Limelight Networks, Inc.                DE       5.02,5.03,9.01       02/13/13

Limelight Networks, Inc.                DE       2.02,9.01            02/19/13

LINDSAY CORP                            DE       1.01,2.03,9.01       02/13/13

Live Event Media, Inc.                  NV       4.01,9.01            02/12/13

LivingVentures, Inc.                    FL       5.02,9.01            02/14/13

Lone Pine Resources Inc.                DE       7.01,9.01            02/19/13

LSI CORP                                DE       8.01                 02/19/13

LUFKIN INDUSTRIES INC                   TX       5.03,9.01            02/19/13

LyondellBasell Industries N.V.          P7       8.01,9.01            02/13/13

MABWE MINERALS INC.                     WY       1.01,9.01            02/08/13

MACQUARIE/FIRST TRUST GLOBAL INFRASTR            7.01,9.01            02/19/13

MAGELLAN GOLD Corp                      NV       7.01,9.01            02/19/13

MAGNETEK, INC.                          DE       5.02,9.01            02/18/13

MAGNUM HUNTER RESOURCES CORP            DE       2.02,7.01,9.01       02/14/13

Magyar Bancorp, Inc.                    DE       5.07,9.01            02/14/13

MANHATTAN BRIDGE CAPITAL, INC           NY       1.01,8.01,9.01       01/31/13

MARINE PETROLEUM TRUST                  TX       7.01,9.01            02/15/13

MARKEL CORP                             VA       8.01,9.01            02/15/13

MARRIOTT INTERNATIONAL INC /MD/         DE       2.02,9.01            02/19/13

MAXWELL TECHNOLOGIES INC                DE       5.02                 02/13/13

MEADOWBROOK INSURANCE GROUP INC         MI       2.02,5.02,7.01,9.01  02/12/13

MEDTRONIC INC                           MN       2.02,9.01            02/19/13

Merck & Co. Inc.                        NJ       2.02,9.01            02/14/13

MERISEL INC /DE/                        DE       1.01,1.02,5.02       02/13/13

MHI Hospitality CORP                    MD       2.02,9.01            02/19/13

MIDDLESEX WATER CO                      NJ       1.02,8.01            02/19/13

Millennial Media Inc.                   DE       2.02,9.01            02/19/13

Millennium India Acquisition CO Inc.    DE       2.01,8.01,9.01       02/19/13

MINDSPEED TECHNOLOGIES, INC             DE       5.02,5.07            02/12/13

MIPS TECHNOLOGIES INC                   DE       5.02                 02/15/13

Momentive Performance Materials Inc.    DE       5.02                 02/13/13

MOMENTIVE SPECIALTY CHEMICALS INC.      NJ       5.02                 02/13/13

Mondelez International, Inc.            VA       7.01,9.01            02/19/13

MONDIAL VENTURES, INC.                  NV       4.01,9.01            02/19/13

Monster Offers                          NV       5.02                 02/19/13

Morgan Stanley Bank of America Merril   DE       9.01                 01/28/13    AMEND

MORGAN STANLEY BANK OF AMERICA MERRIL   DE       8.01,9.01            02/15/13

MPHASE TECHNOLOGIES INC                 NJ       3.02                 02/15/13

MS STRUCTURED SATURNS SERIES 2004-4     DE       8.01,9.01            02/15/13

MS STRUCTURED SATURNS SERIES 2004-6     DE       8.01,9.01            02/15/13

MS STRUCTURED SATURNS SERIES 2005-1     DE       8.01,9.01            02/15/13

MUELLER INDUSTRIES INC                  DE       5.02,9.01            02/19/13

National Bank Holdings Corp             DE       8.01,9.01            02/19/13

NATIONAL HEALTH INVESTORS INC           MD       8.01                 02/19/13    AMEND

NATIONAL HEALTHCARE CORP                DE       5.03,9.01            02/14/13

National Interstate CORP                OH       5.02                 02/15/13

NATIONAL PRESTO INDUSTRIES INC          WI       2.02,9.01            02/15/13

NATIONAL WESTERN LIFE INSURANCE CO      CO       8.01                 02/15/13

NAVISTAR INTERNATIONAL CORP             DE       5.02,5.07,9.01       02/18/13

NEOGENOMICS INC                         NV       2.02,9.01            02/14/13

NetSpend Holdings, Inc.                 DE       1.01,5.02,8.01,9.01  02/19/13

NeuroMetrix, Inc.                       DE       2.02,9.01            02/19/13

NEWS CORP                                        8.01,9.01            02/18/13

Nexeo Solutions Holdings, LLC           DE       7.01,9.01            02/19/13

NEXTERA ENERGY INC                      FL       5.02                 02/15/13

NICHOLAS FINANCIAL INC                  FL       8.01,9.01            02/19/13

NII HOLDINGS INC                        DE       1.01,2.03,9.01       02/19/13

NISOURCE INC/DE                         DE       2.02,9.01            02/19/13

NORFOLK SOUTHERN CORP                   VA       5.02,5.03,9.01       02/19/13

NORTECH SYSTEMS INC                     MN       5.02,9.01            02/14/13

NORTHEAST UTILITIES                     MA       2.02,9.01            02/19/13

NORTHWESTERN CORP                       DE       5.02,9.01            02/13/13

NORTHWESTERN CORP                       DE       7.01,9.01            02/19/13

OCTAGON 88 RESOURCES, INC.              NV       9.01                 10/15/12    AMEND

OCWEN FINANCIAL CORP                    FL       2.01,2.03,9.01       02/15/13

OCZ TECHNOLOGY GROUP INC                DE       8.01,9.01            02/19/13

OIL STATES INTERNATIONAL, INC           DE       2.02,9.01            02/19/13

OM GROUP INC                            DE       4.02                 02/18/13

OM GROUP INC                            DE       2.02                 02/19/13

OMNICARE INC                            DE       2.02,9.01            02/19/13

ONCOR ELECTRIC DELIVERY CO LLC          DE       2.02,9.01            02/19/13

OVERLAND STORAGE INC                    CA       8.01,9.01            02/19/13

OWENS & MINOR INC/VA/                   VA       5.02,9.01            02/19/13

PEDEVCO CORP                            TX       1.01,2.03,9.01       02/19/13

PEREGRINE PHARMACEUTICALS INC           DE       8.01,9.01            02/19/13

PERMIAN BASIN ROYALTY TRUST             TX       2.02,9.01            02/15/13

PERRY ELLIS INTERNATIONAL INC           FL       2.02,9.01            02/19/13

Pershing Gold Corp.                     NV       1.01,5.02,9.01       02/12/13

PERVASIP CORP                           NY       1.01,3.02,9.01       12/31/12

PHAZAR CORP                             DE       2.02,9.01            02/11/13

Phillips Edison - ARC Shopping Center   MD       1.01,2.01,8.01,9.01  02/19/13    AMEND

Post Holdings, Inc.                     MO       2.02,7.01,9.01       02/19/13

Post Holdings, Inc.                     MO       8.01,9.01            02/19/13

Powder River Coal Corp.                 FL       4.01,9.01            02/18/13

PRAXAIR INC                             DE       1.01,9.01            02/19/13

PRESTIGE CAPITAL CORP                   NV       4.01,9.01            02/14/13

Primerica, Inc.                         DE       5.02,9.01            02/15/13

PROASSURANCE CORP                       DE       2.02,7.01,9.01       02/19/13

PROGAMING PLATFORMS CORP                DE       1.01,9.01            02/18/13

PROSPECT GLOBAL RESOURCES INC.          NV       8.01                 02/16/13

PSS WORLD MEDICAL INC                   FL       5.07                 02/19/13

PVF CAPITAL CORP                        OH       7.01,8.01,9.01       02/19/13

QUESTAR CORP                            UT       5.02                 02/12/13

RADIAN GROUP INC                        DE       5.02                 02/13/13

RAMBUS INC                              DE       8.01,9.01            02/19/13

Ranger Gold Corp.                                1.01,1.02,9.01       02/18/13

RDA Holding Co.                                  1.01,1.03,2.04,5.02, 02/19/13
                                                 7.01,8.01,9.01

RED ROBIN GOURMET BURGERS INC           DE       2.02,5.02,5.03,9.01  02/13/13

REGAL ENTERTAINMENT GROUP               DE       1.01,8.01,9.01       02/16/13

Regency Energy Partners LP              DE       1.01,2.03,9.01       02/19/13

REMY INTERNATIONAL, INC.                DE       2.02,9.01            02/18/13

RES CARE INC /KY/                       KY       2.02,9.01            02/19/13

RETAIL PROPERTIES OF AMERICA, INC.      MD       2.02,9.01            02/19/13

Revel AC, Inc.                          DE       1.01,9.01            02/12/13

Rockwood Holdings, Inc.                 DE       2.02,9.01            02/19/13

ROGERS CORP                             MA       2.02,7.01,9.01       02/19/13

RPC INC                                 DE       8.01,9.01            02/19/13

SALON MEDIA GROUP INC                   DE       2.02,9.01            02/14/13    AMEND

SANDERSON FARMS INC                     MS       5.07,9.01            02/14/13

SEACOR HOLDINGS INC /NEW/               DE       8.01,9.01            02/15/13

SEALED AIR CORP/DE                      DE       2.02,7.01,9.01       02/19/13

SEARS HOLDINGS CORP                     DE       5.02,9.01            02/12/13

SecureAlert, Inc.                       UT       1.01,9.01            02/13/13

SHARPS COMPLIANCE CORP                  DE       5.02,9.01            02/18/13

Shire plc                                        8.01,9.01            02/18/13

SHUTTERFLY INC                          DE       5.02                 02/13/13

SILVER BULL RESOURCES, INC.             NV       1.01,8.01,9.01       02/14/13

SILVERSTAR MINING CORP.                 NV       2.01,3.02,5.01,9.01  02/15/13

SIMULATIONS PLUS INC                             5.07,8.01,9.01       02/15/13

SINOCOKING COAL & COKE CHEMICAL INDUS   FL       2.02,9.01            02/19/13

SITEL Worldwide Corp                    DE       8.01,9.01            02/18/13

Skilled Healthcare Group, Inc.          DE       8.01                 02/15/13

SkyPeople Fruit Juice, Inc              FL       1.01,8.01,9.01       02/18/13

SOLTA MEDICAL INC                       DE       2.02,9.01            02/19/13

SONOCO PRODUCTS CO                      SC       5.02                 02/12/13

SONOCO PRODUCTS CO                      SC       5.02                 02/19/13

SONUS NETWORKS INC                      DE       5.02,9.01            02/14/13

SOUTH DAKOTA SOYBEAN PROCESSORS LLC              2.02,9.01            02/19/13

SOUTHERN CONNECTICUT BANCORP INC        CT       5.02                 02/19/13

SOUTHWESTERN ENERGY CO                  DE       4.02                 02/18/13

SPECTRUM GROUP INTERNATIONAL, INC.      DE       1.01,9.01            02/14/13

Spirit Airlines, Inc.                   DE       2.02,9.01            02/18/13

Spirit Airlines, Inc.                   DE       7.01,9.01            02/19/13

Stanadyne Holdings, Inc.                DE       1.01,2.03,9.01       02/13/13

Standard Financial Corp.                MD       7.01,9.01            02/19/13

Station Casinos LLC                     NV       8.01,9.01            02/14/13

STEPAN CO                               DE       2.02,9.01            02/19/13

STIFEL FINANCIAL CORP                   DE       2.01,9.01            02/15/13

Sunstone Hotel Investors, Inc.          MD       2.02,5.02,9.01       02/15/13

Super Micro Computer, Inc.              CA       5.07                 02/14/13

Support.com, Inc.                       DE       5.02                 02/12/13

SVB FINANCIAL GROUP                              5.02                 02/13/13

TANDY LEATHER FACTORY INC               DE       5.02                 02/14/13

Technologies Scan Corp                  A8       8.01,9.01            01/22/13

TECHPRECISION CORP                               2.02,7.01,9.01       02/19/13

TECHPRECISION CORP                               1.01,9.01            02/14/13

TECTON CORP                                      8.01                 02/19/13

TENNANT CO                              MN       2.02,9.01            02/19/13

TEREX CORP                              DE       2.02,7.01,9.01       02/19/13

TERRA NITROGEN CO L P /DE               DE       2.02,9.01            02/19/13

TESCO CORP                                       7.01,9.01            02/13/13

Texas Roadhouse, Inc.                   DE       2.02,8.01,9.01       02/19/13

THERAVANCE INC                          DE       8.01,9.01            02/19/13

THQ INC                                 DE       1.01                 02/19/13

TIANYIN PHARMACEUTICAL CO., INC.        DE       7.01,9.01            02/14/12

TMS International Corp.                 DE       7.01,9.01            02/19/13

TOTAL SYSTEM SERVICES INC               GA       7.01,8.01,9.01       02/19/13

TOTAL SYSTEM SERVICES INC               GA       1.01,9.01            02/19/13

Tower Group, Inc.                       DE       8.01,9.01            02/19/13

TOWN SPORTS INTERNATIONAL HOLDINGS IN   DE       2.02,9.01            02/19/13

TRANS1 INC                                       5.02,7.01,9.01       02/14/13

TREX CO INC                             DE       2.02,9.01            02/19/13

Trio Resources, Inc.                    NV       1.01,2.01,3.02,4.01, 12/14/12    AMEND
                                                 5.01,5.02,5.03,5.06,
                                                 9.01
   
TRISTAR WELLNESS SOLUTIONS, INC.        NV       1.01,2.01,3.02,5.02, 02/19/13
                                                 9.01
          
TRUSTCO BANK CORP N Y                   NY       8.01,9.01            02/19/13

TRUSTMARK CORP                          MS       2.01,2.03,8.01,9.01  02/15/13

UIL HOLDINGS CORP                       CT       8.01,9.01            02/19/13

ULTRA CLEAN HOLDINGS INC                DE       2.02,9.01            02/19/13

Uni-Pixel                               DE       8.01,9.01            02/19/13

UNIT CORP                               DE       2.02,9.01            02/19/13

UNITED FIRE GROUP INC                            2.02,9.01            02/19/13

UNITED PARCEL SERVICE INC               DE       5.02,5.03,9.01       02/14/13

URANIUM RESOURCES INC /DE/              DE       8.01,9.01            02/14/13

US TUNGSTEN CORP.                                1.01,3.02,9.01       02/19/13

VALIDUS HOLDINGS LTD                             5.02                 02/15/13

Vantage Drilling CO                     E9       2.02,9.01            02/15/13

VelaTel Global Communications, Inc.     NV       3.02                 02/13/13

VERAMARK TECHNOLOGIES INC               DE       2.02,5.02,9.01       02/19/13

VirtualScopics, Inc.                    DE       2.02,9.01            02/19/13

VITRAN CORP INC                         A6       1.01,9.01            02/12/13

WADDELL & REED FINANCIAL INC            DE       5.02,9.01            02/13/13

WaferGen Bio-systems, Inc.              NV       7.01,9.01            02/19/13

WATTS WATER TECHNOLOGIES INC            DE       2.02,9.01            02/19/13

WAUSAU PAPER CORP.                      WI       5.02,9.01            02/13/13

WEINGARTEN REALTY INVESTORS /TX/        TX       2.02,9.01            02/14/13

WELLESLEY CAPITAL MANAGEMENT CORP.      FL       4.01,9.01            02/19/13

WESCO INTERNATIONAL INC                          8.01                 02/19/13

WESTERN DIGITAL CORP                    DE       5.02                 02/14/13

WESTINGHOUSE AIR BRAKE TECHNOLOGIES C   DE       2.02,7.01,9.01       02/19/13

WESTLAKE CHEMICAL CORP                  DE       2.02,9.01            02/19/13

WEYERHAEUSER CO                         WA       5.02                 02/14/13

WFRBS Commercial Mortgage Trust 2012-   NC       9.01                 12/14/12    AMEND

Wheeler Real Estate Investment Trust,   MD       8.01                 12/14/12    AMEND

WINDSTREAM CORP                         DE       2.02,9.01            02/19/13

Wizard World, Inc.                      DE       8.01,9.01            02/14/13

WOLVERINE WORLD WIDE INC /DE/           MI       2.02,9.01            02/19/13

ZIX CORP                                TX       2.02,9.01            02/19/13

ZIX CORP                                TX       5.02                 02/14/13

 

http://www.sec.gov/news/digest/2013/dig022013.htm


Modified: 02/20/2013