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Commission announcementsSEC to Host Credit Ratings RoundtableThe Securities and Exchange Commission today announced that it will hold a Credit Ratings Roundtable on May 14 in response to a recent staff report on credit ratings and related matters. The event will be held at the SEC’s headquarters in Washington, D.C., and will be open to the public and webcast live on the SEC’s website. Information on the agenda and participants will be issued at a later date. A recent report by the SEC staff, required by the Dodd-Frank Wall Street Reform and Consumer Protection Act, recommended that the Commission convene a roundtable to discuss the staff’s report. The roundtable will provide a forum for discussion of the staff’s Report on Assigned Credit Ratings. (Press Rel. 2013-27) Enforcement ProceedingsSEC Charges Connecticut-Based Hedge Fund Managers With FraudThe Securities and Exchange Commission today charged a pair of hedge fund managers and their Connecticut-based advisory firm New Stream Capital with lying to investors about their fund’s structure and financial condition before it failed during the financial crisis. The SEC alleges that the firm’s co-owners David Bryson and Bart Gutekunst secretly revised the fund’s capital structure before it collapsed in order to placate its largest investor, Gottex Fund Management. Bryson and Gutekunst then directed New Stream’s marketing department to continue marketing the hedge fund as though all investors were on the same footing when in fact Gottex had priority over other fund investors in the event of the fund’s liquidation. The SEC additionally charged New Stream’s former chief financial officer Richard Pereira and former head of investor relations Tara Bryson, who is David Bryson’s sister. She agreed to settle the SEC’s charges. New Stream’s Cayman Islands affiliate also was charged in the scheme, which allowed the hedge fund managers to raise nearly $50 million and receive lucrative fees while leaving investors with nearly worthless holdings when the fund went bankrupt. “Hedge fund managers who put greed ahead of full disclosure to investors violate a fundamental trust,” said George S. Canellos, Acting Director of the SEC’s Division of Enforcement. “Bryson and Gutekunst told investors they were all investing on equal terms when in fact some were investing in a fund that had been secretly restructured to their detriment.” In a parallel action, the U.S. Attorney for the District of Connecticut today announced criminal charges against Bryson, Gutekunst, and Pereira. According to the SEC’s complaint filed in federal court in Connecticut, New Stream managed a $750 million hedge fund focused on illiquid investments in asset-based lending. In March 2008, Bryson and Gutekunst revised the fund’s capital structure after Gottex, a fund manager with nearly $300 million invested in New Stream, had threatened to redeem its investment. A restructuring of the New Stream hedge fund a few months earlier had created two new feeder funds and eliminated the preferential liquidation rights previously enjoyed by the feeder fund through which Gottex had invested. Bryson told others at New Stream that if Gottex withdrew, the firm’s hedge fund business would “tank.” The SEC alleges that revealing to all investors that New Stream restructured to favor Gottex would have made it much harder for the firm to attract and retain investors. Public disclosure also would have jeopardized cash flow from a lucrative fee arrangement that the fund’s managers put in place in late 2007. So the fund instead used misleading marketing documents that omitted the change, and Pereira as CFO falsified the fund’s financial statements to conceal the restructuring. Investors who asked about redemption levels were not told about the Gottex redemption request and others that followed. For example, Gutekunst falsely told one investor in June 2008 that there was nothing remarkable about the level of redemptions that New Stream had received and that there were no liquidity concerns. According to the SEC’s complaint, as the financial crisis worsened in September 2008, New Stream was facing $545 million in redemption requests and was forced to suspend further redemptions and cease raising new funds. After several failed attempts at restructuring, New Stream and its affiliated entities filed for bankruptcy in March 2011. The SEC’s complaint charges Bryson, Gutekunst, and Pereira with violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Bryson and Gutekunst are charged with violating Sections 206(1), 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder, and Pereira is charged with aiding and abetting their violations of Section 206(4). The SEC is seeking a variety of sanctions and relief against them including injunctions, disgorgement of ill-gotten gains with prejudgment interest, and penalties. In the settlement with Tara Bryson, which is subject to court approval, she agreed to be permanently enjoined from further violations of the provisions of the securities laws at issue in this case. She also agreed to be permanently barred from the securities industry. The SEC’s investigation, which is continuing, was conducted by Sheldon Pollock, Lisa Knoop, Alan Maza, Kevin McGrath, Alistaire Bambach, Scott York, and George Stepaniuk of the New York Regional Office. The SEC appreciates the assistance of the U.S. Attorney’s Office for the District of Connecticut, the Federal Bureau of Investigation, and the U.S. Department of Labor’s Office of Labor Racketeering and Fraud Investigations. (Press Rel. 2013-28) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Seven Public Companies for Failure to Make Required Periodic FilingsToday the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the seven issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-68986; File No. 3-15217) Former StarMedia Executive Agrees to Settlement in SEC LitigationThe U.S. Securities and Exchange Commission today announced that on February 6, 2013, the U.S. District Court for the Southern District of New York entered a settled final judgment as to Peter R. Morales, the former Controller and Vice President, Finance, for StarMedia Network, Inc., a now-defunct Internet portal, in Securities and Exchange Commission v. Fernando J. Espuelas et al., Civil Action No. 06 CV 2435 (PAE) (S.D.N.Y. filed Mar. 29, 2006). The Commission’s amended complaint charged violations of the federal securities laws by eight former StarMedia executives alleging, in relevant part, that for fiscal year 2000 and the first two quarters of fiscal year 2001, StarMedia’s books and records misstated the company’s revenue. Without admitting or denying the allegations in the amended complaint, Morales consented to the entry of the Final Judgment permanently enjoining him from future violations of the corporate books and records and lying to auditors provisions of the federal securities laws, and from aiding and abetting violations of the periodic reporting and books and records provisions, and ordering him to pay a civil penalty of $10,000. The Commission had previously settled with six other defendants. In addition, on October 26, 2012, the court granted defendant Betsy D. Scolnik’s motion for summary judgment and ordered that the clerk terminate her as a defendant from the case. Accordingly, the Commission’s litigation is concluded. [SEC v. Fernando J. Espuelas et al., Civil Action No. 06 CV 2435 (PAE) (S.D.N.Y.)] (LR-22624; AAE Rel. 3446) INVESTMENT COMPANY ACT RELEASESNotice of Applications for Deregistration under the Investment Company Act of 1940For the month of February 2013, a notice has been issued giving interested persons until March 19, 2013, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act of 1940 declaring that the applicant has ceased to be an investment company:
(Rel. IC-30403 - February 22) SELF-REGULATORY ORGANIZATIONSAccelerated Approval of Proposed Rule ChangeThe Commission granted accelerated approval of a proposed rule change, as modified by Amendments No. 1 and No. 2, filed by NYSE Arca, Inc. (SR-NYSEArca-2012-66) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade Shares of the iShares Copper Trust pursuant to NYSE Arca Equities Rule 8.201. Publication is expected in the Federal Register during the week of February 25. (Rel. 34-68973) Approval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change (SR-DTC-2012-10), as Modified by Amendment No. 2 thereto, filed by The Depository Trust Corporation (DTC) under Section 19(b)(2) of the Securities Exchange Act of 1934 to reduce liquidity risk relating to its processing of maturity and income presentments and issuances of money market instruments. Publication is expected in the Federal Register during the week of February 25. (Rel. 34-68983) Proposed Rule ChangeBATS Y-Exchange, Inc. has filed a proposed rule change (SR-BYX-2013-008) under Rule 19b-4 of the Securities Exchange Act of 1934 to amend the attestation requirement of Rule 11.24 to allow a Retail Member Organization to attest that “substantially all” orders submitted to the Retail Price Improvement Program will qualify as “retail orders.” Publication is expected in the Federal Register during the week of February 25. (Rel. 34-68975) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by The NASDAQ Stock Market LLC relating to routing fees to C2 (SR-NASDAQ-2013-029) 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 25. (Rel. 34-68976) A proposed rule change filed by C2 Options Exchange, Incorporated (SR-C2-2013-009) to amend the Fees Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 25. (Rel. 34-68980) Notice of No Objection to Advance NoticeThe Commission has issued a notice of no objection to an advance notice (SR-DTC-2012-810), as modified by Amendment No. 1 thereto, filed by The Depository Trust Company (DTC) under Section 806(e)(1)(I) of the Payment, Clearing, and Settlement Supervision Act of 2010 to reduce liquidity risk relating to its processing of maturity and income presentments and issuances of money market instruments. Publication is expected in the Federal Register during the week of February 25. (Rel. 34-68982) SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. F-3ASR Scorpio Tankers Inc., 150 EAST 58TH STREET, NEW YORK, NY, 10155, 212-542-1616 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186815 - Feb. 25) (BR. 05B) S-8 SUNPOWER CORP, 77 RIO ROBLES, SAN JOSE, CA, 95134, 408-240-5500 - 3,577,028 ($42,459,322.36) Equity, (File 333-186821 - Feb. 25) (BR. 10B) S-3 Renewable Energy Group, Inc., 416 S. BELL AVENUE, AMES, IA, 50010, 515-239-8000 - 0 ($155,438,000.00) Unallocated (Universal) Shelf, (File 333-186822 - Feb. 25) (BR. 06B) F-3ASR ENERSIS S.A., SANTA ROSA 76, 15TH FLOOR, SANTIAGO, F3, 833099, 562-353-4400 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186823 - Feb. 25) (BR. 02A) S-1 Titan Iron Ore Corp., 3040 N. CAMPBELL AVE., SUITE 110, TUCSON, AZ, 85719, (520) 989-0020 - 12,906,300 ($2,452,197.00) Other, (File 333-186826 - Feb. 25) (BR. 03A) S-8 NeuroMetrix, Inc., 62 FOURTH AVENUE, WALTHAM, MA, 02451, (781) 890-9989 - 16,667 ($39,834.00) Equity, (File 333-186827 - Feb. 25) (BR. 10B) S-1 SAUER ENERGY, INC., 2326 TELLER ROAD, NEWBURY PARK, CA, 91320, 888 829 8748 - 12,479,963 ($2,371,193.00) Equity, (File 333-186833 - Feb. 25) (BR. 04A) S-8 KONINKLIJKE PHILIPS ELECTRONICS NV, BREITNER CENTER, AMSTELPLEIN 2, AMSTERDAM, P7, 1096 BC, 31 20 59 77777 - 97,500,000 ($2,859,675,000.00) Equity, (File 333-186849 - Feb. 25) (BR. 10B) S-8 COSI INC, COSI INC, 1751 LAKE COOK ROAD SUITE 650, DEERFIELD, IL, 60015, 847-597-3200 - 1,500,000 ($1,320,000.00) Equity, (File 333-186850 - Feb. 25) (BR. 05A) F-3 GOLD RESERVE INC, 926 W SPRAGUE AVENUE, SUITE 200, SPOKANE, WA, 99201, 5096231500 - 16,236,000 ($16,236,000.00) Debt Convertible into Equity, 7,959,265 ($22,126,756.00) Equity, (File 333-186851 - Feb. 25) (BR. 09B) S-1 CUBIC CORP /DE/, 9333 BALBOA AVE, SAN DIEGO, CA, 92123, 858 623-0489 - 0 ($125,000,000.00) Equity, (File 333-186852 - Feb. 25) (BR. 10A) S-B FMS WERTMANAGEMENT, Prinzregentenstrasse 56, Munich, 2M, 80538, 49-89-954-7627-301 - 0 ($5,000,000,000.00) Debt, (File 333-186853 - Feb. 25) (BR. DN) S-8 NATIONAL HEALTH INVESTORS INC, 222 ROBERT ROSE DRIVE, MURFREESBORO, TN, 37129, 6158909100 - 1,500,000 ($97,875,000.00) Equity, (File 333-186854 - Feb. 25) (BR. 08B) S-3 NeuroMetrix, Inc., 62 FOURTH AVENUE, WALTHAM, MA, 02451, (781) 890-9989 - 0 ($20,000,000.00) Equity, (File 333-186855 - Feb. 25) (BR. 10B) S-8 XCEL ENERGY INC, 800 NICOLLET MALL, MINNEAPOLIS, MN, 55402, 6123305500 - 6,335,000 ($177,380,000.00) Equity, (File 333-186856 - Feb. 25) (BR. 02C) S-8 PROS Holdings, Inc., 3100 MAIN STREET, SUITE 900, HOUSTON, TX, 77002, 713-335-5151 - 900,000 ($22,626,000.00) Equity, (File 333-186857 - Feb. 25) (BR. 03C) RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-----------------------------------------------------------------------------------------
3D SYSTEMS CORP DE 2.02,7.01,9.01 02/25/13
3D SYSTEMS CORP DE 7.01,8.01,9.01 02/25/13
ACL I Corp DE 2.02,7.01,9.01 02/25/13
ADEPT TECHNOLOGY INC DE 5.02,9.01 02/25/13
AETNA INC /PA/ PA 7.01 02/25/13
AFFYMAX INC DE 8.01,9.01 02/23/13
ALBEMARLE CORP VA 5.02,9.01 02/22/13
ALICO INC FL 5.07,9.01 02/22/13
ALLIANCE DATA SYSTEMS CORP DE 5.02,9.01 02/21/13
Allied Nevada Gold Corp. DE 2.02,7.01,9.01 02/22/13
Alliqua, Inc. FL 3.02,9.01 02/22/13
Alpha Natural Resources, Inc. DE 7.01,9.01 02/25/13
ALTERA CORP DE 1.01 02/21/13
AMBASSADORS GROUP INC DE 1.01,5.02,9.01 02/25/13
AMERICAN BAR ASSOCIATION MEMBERS / NO IL 1.02 02/22/13
AMERICAN FINANCIAL GROUP INC OH 5.02,9.01 02/21/13
AMERICAN MEDIA INC DE 7.01,9.01 02/25/13
AMERICAN NATIONAL INSURANCE CO /TX/ TX 2.02,9.01 02/25/13
AMERISOURCEBERGEN CORP DE 8.01,9.01 02/25/13
AMERITRANS CAPITAL CORP DE 8.01 02/22/13
AMSURG CORP TN 2.02,7.01,9.01 12/31/12
ANALYSTS INTERNATIONAL CORP 7.01,9.01 02/22/13
ANHUI TAIYANG POULTRY CO INC DE 5.02,9.01 02/12/13
Anthera Pharmaceuticals Inc DE 8.01 02/22/13
APOLLO GROUP INC AZ 8.01 02/22/13
APRIA HEALTHCARE GROUP INC DE 5.02 02/19/13
AQUA AMERICA INC PA 2.02,9.01 02/25/13
ARBITRON INC DE 2.02,9.01 02/25/13
ARENA PHARMACEUTICALS INC DE 7.01 02/25/13
ARIAD PHARMACEUTICALS INC DE 2.02,7.01,8.01,9.01 02/25/13
Armour Residential REIT, Inc. MD 7.01,9.01 02/25/13
ARROW ELECTRONICS INC NY 5.02,9.01 02/19/13
ARTS WAY MANUFACTURING CO INC DE 2.02,9.01 02/25/13
ARTS WAY MANUFACTURING CO INC DE 9.01 05/10/12 AMEND
Astex Pharmaceuticals, Inc DE 2.02,9.01 02/25/13
Athens Bancshares Corp 8.01,9.01 02/20/13
ATOSSA GENETICS INC DE 8.01 02/21/13
Augme Technologies, Inc. DE 5.02,8.01,9.01 02/25/13
AUTHENTIDATE HOLDING CORP DE 3.01 02/20/13
AUTODESK INC DE 2.02,9.01 02/25/13
AVID TECHNOLOGY, INC. DE 7.01 02/25/13
AXIS CAPITAL HOLDINGS LTD 5.02,9.01 02/22/13
AXT INC DE 2.02,9.01 02/25/13
BARNES & NOBLE INC DE 8.01,9.01 02/25/13
BELDEN INC. DE 9.01 12/10/12 AMEND
BIO REFERENCE LABORATORIES INC NJ 2.02,9.01 02/25/13
BLUE RIDGE REAL ESTATE CO PA 1.01,9.01 02/21/13
BOISE INC. DE 5.02,9.01 02/25/13
Bravo Brio Restaurant Group, Inc. OH 2.02,9.01 02/25/13
BUCKEYE PARTNERS, L.P. DE 8.01,9.01 02/25/13
BUCKEYE PARTNERS, L.P. DE 5.03,9.01 02/21/13
Bullfrog Gold Corp. DE 4.02 02/25/13
CAESARS ENTERTAINMENT Corp DE 2.02,9.01 02/25/13
Cape Bancorp, Inc. MD 8.01,9.01 02/25/13
CARRIAGE SERVICES INC DE 2.02,9.01 02/25/13
CATERPILLAR FINANCIAL SERVICES CORP DE 8.01,9.01 02/25/13
CD INTERNATIONAL ENTERPRISES, INC. FL 7.01,9.01 02/25/13
CenterState Banks, Inc. FL 7.01 02/25/13
CENTRAL EUROPEAN DISTRIBUTION CORP DE 2.02 02/25/13
Chemtura CORP DE 2.02,9.01 02/25/13
CHENIERE ENERGY INC DE 7.01,9.01 02/25/13
Cheniere Energy Partners, L.P. DE 1.01,7.01,9.01 02/24/13
Cheniere Energy Partners, L.P. DE 7.01,9.01 02/25/13
CHESAPEAKE ENERGY CORP OK 7.01,9.01 02/25/13
Chesapeake Lodging Trust MD 8.01 02/21/13
CHINA FUND INC MD 7.01,9.01 01/31/13
CHINA VALVES TECHNOLOGY, INC NV 5.02 02/25/13
CHUY'S HOLDINGS, INC. DE 2.02,9.01 02/25/13
CLEAN DIESEL TECHNOLOGIES INC DE 1.01,9.01 02/19/13
Clearfield, Inc. MN 5.07 02/21/13
Colfax CORP DE 1.01,9.01 02/22/13
COMMERCIAL BARGE LINE CO DE 2.02,7.01,9.01 02/18/13
CommonWealth REIT MD 2.02,9.01 02/25/13
CommonWealth REIT MD 8.01,9.01 02/25/13
Consorteum Holdings, Inc. NV 4.01,9.01 02/11/13
Constant Contact, Inc. DE 2.02,5.02,8.01,9.01 02/20/13
CONSTELLATION BRANDS, INC. DE 1.01,1.02,2.03,8.01, 02/13/13 AMEND
9.01
CONSUMER PORTFOLIO SERVICES INC CA 7.01,9.01 02/25/13
COOPER TIRE & RUBBER CO DE 2.02,9.01 02/25/13
Cooper-Standard Holdings Inc. DE 2.02,9.01 02/25/13
CORNERSTONE THERAPEUTICS INC DE 8.01,9.01 02/20/13
CORONADO BIOSCIENCES INC DE 1.01,9.01 02/22/13
COVANCE INC DE 5.02,5.03,9.01 02/19/13
CRAWFORD & CO GA 7.01,9.01 02/25/13
Crimson Wine Group, Ltd DE 1.01,3.03,5.01,5.02, 02/25/13
5.03,9.01
CUBIC CORP /DE/ DE 1.01,9.01 02/25/13
CVB FINANCIAL CORP CA 8.01 02/21/13
CYBEROPTICS CORP MN 2.02,9.01 02/25/13
DAILY JOURNAL CORP SC 5.07 02/06/13
DAKTRONICS INC /SD/ SD 5.02,9.01 02/21/13
DC BRANDS INTERNATIONAL INC CO 5.02 02/19/13
Dealertrack Technologies, Inc DE 2.01,2.02,9.01 02/25/13
DecisionPoint Systems, Inc. DE 5.02,9.01 02/19/13
DENDREON CORP DE 2.02,5.02,9.01 02/22/13
DESTINATION XL GROUP, INC. DE 5.03,8.01,9.01 02/22/13
Development Capital Group, Inc. FL 5.01,5.02,8.01 02/19/13
DIAGNOSTIC IMAGING INTERNATIONAL CORP NV 2.01,9.01 12/10/12
Digital Generation, Inc. DE 8.01 02/21/13
DOLE FOOD CO INC DE 5.02,8.01,9.01 02/21/13
DONALDSON CO INC DE 2.02,9.01 02/25/13
Duff & Phelps Corp DE 2.02,9.01 02/25/13
DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 02/25/13
EAGLE ROCK ENERGY PARTNERS L P DE 2.02,7.01,9.01 02/25/13
EMPIRE DISTRICT ELECTRIC CO KS 8.01 02/22/13
ENDO HEALTH SOLUTIONS INC. DE 5.02,9.01 02/24/13
ENDOCYTE INC DE 2.02,9.01 02/25/13
Energy Future Holdings Corp /TX/ TX 5.02,9.01 02/25/13
EQT Midstream Partners, LP DE 5.02,7.01,9.01 02/22/13
ESCALADE INC IN 2.02,9.01 02/25/13
EXELON CORP PA 8.01 02/22/13
Express Scripts Holding Co. DE 7.01 02/21/13
EZCORP INC DE 5.07,7.01 02/25/13
FERRELLGAS PARTNERS L P DE 7.01 02/25/13
FINANCIAL INSTITUTIONS INC NY 5.02,9.01 02/20/13
FIRST COMMUNITY BANCSHARES INC /NV/ NV 5.02,9.01 02/21/13
FIRSTENERGY CORP OH 2.02,9.01 02/25/13
FIRSTMERIT CORP /OH/ OH 1.01,9.01 02/19/13
FLORIDA GAMING CORP DE 8.01,9.01 02/22/13
Freescale Semiconductor, Ltd. D0 8.01 02/19/13
FUTURE ENERGY CORP. 7.01,9.01 02/25/13
GATEWAY ENERGY CORP/NE DE 5.02 02/19/13
GENERAC HOLDINGS INC. DE 1.01,9.01 02/20/13
GENERAL CABLE CORP /DE/ DE 2.02,9.01 02/25/13
General Moly, Inc DE 8.01 02/20/13
GIGA TRONICS INC CA 1.01,3.02,3.03,5.03, 02/19/13
9.01
GLEACHER & COMPANY, INC. DE 5.02,7.01,8.01,9.01 02/23/13
GLIMCHER REALTY TRUST MD 1.01,2.03 02/20/13
Global Geophysical Services Inc DE 2.02,5.02,9.01 02/25/13
Global Indemnity plc L2 2.02,9.01 02/25/13
GLOBALSCAPE INC DE 7.01,9.01 02/25/13
Globalstar, Inc. DE 5.02 02/25/13
GOODYEAR TIRE & RUBBER CO /OH/ OH 8.01,9.01 02/20/13
GREATBATCH, INC. DE 2.02,9.01 02/25/13
GREENE COUNTY BANCORP INC DE 8.01 02/19/13
Griffin Capital Essential Asset REIT, 5.03,7.01,9.01 02/25/13
GULF ISLAND FABRICATION INC LA 8.01,9.01 02/25/13
HALOZYME THERAPEUTICS INC DE 2.02,9.01 02/21/13
HANGER, INC. DE 7.01,9.01 02/25/13
HARLAND CLARKE HOLDINGS CORP DE 2.02,9.01 02/25/13
HARMONIC ENERGY, INC. NV 1.01,9.01 02/19/13
HARRIS TEETER SUPERMARKETS, INC. NC 5.02,5.07,9.01 02/21/13
Hartman Short Term Income Properties MD 9.01 02/25/13 AMEND
HARVEST NATURAL RESOURCES, INC. DE 1.02,7.01,9.01 02/19/13
HEALTH CARE REIT INC /DE/ DE 2.02,9.01 02/25/13
HECLA MINING CO/DE/ DE 2.02,8.01,9.01 02/25/13
HERSHA HOSPITALITY TRUST MD 9.01 06/18/12 AMEND
HERTZ CORP DE 2.02,7.01,9.01 02/25/13
HERTZ GLOBAL HOLDINGS INC 2.02,7.01,9.01 02/25/13
HESKA CORP DE 2.02,9.01 12/31/12
Hondo Minerals Corp 8.01 02/25/13
HOST HOTELS & RESORTS, INC. MD 8.01,9.01 02/25/13
HUDSON VALLEY HOLDING CORP NY 7.01,9.01 02/25/13
HUMANA INC DE 5.02,9.01 02/25/13
HYPERION THERAPEUTICS INC DE 2.02,9.01 02/25/13
HYPERION THERAPEUTICS INC DE 5.02 02/19/13
IASIS Healthcare LLC DE 1.01,2.03,9.01 02/20/13
ICONIX BRAND GROUP, INC. DE 2.02,9.01 02/20/13
ILLUMINA INC DE 2.01,8.01,9.01 02/21/13
IMPAX LABORATORIES INC DE 2.02,9.01 02/25/13
ING LIFE INSURANCE & ANNUITY CO CT 1.01 02/20/13
ING USA ANNUITY & LIFE INSURANCE CO IA 1.01 02/20/13
INTEGRA LIFESCIENCES HOLDINGS CORP DE 8.01 02/22/13
INTEGRA LIFESCIENCES HOLDINGS CORP DE 9.01 02/25/13
INTERNAP NETWORK SERVICES CORP DE 5.02,9.01 02/19/13
INTERNATIONAL BANCSHARES CORP TX 2.02,9.01 02/25/13
International Safety Group, Inc. NV 5.02,9.01 02/19/13
INTERPUBLIC GROUP OF COMPANIES, INC. DE 2.02,9.01 02/22/13
Intrepid Potash, Inc. DE 7.01,9.01 02/25/13
JOHNSON & JOHNSON NJ 8.01,9.01 02/25/13
JONES LANG LASALLE INC MD 8.01 02/19/13
KAMAN CORP CT 2.02,9.01 02/25/13
KIMBALL INTERNATIONAL INC IN 5.02,5.03 02/19/13
KINGSTONE COMPANIES, INC. DE 8.01,9.01 02/25/13
Kodiak Oil & Gas Corp B0 2.02,9.01 02/20/13
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 02/25/13
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 02/25/13
LAKELAND INDUSTRIES INC DE 1.01,9.01 02/20/13
LANDAUER INC DE 5.07,8.01,9.01 02/21/13
Laredo Petroleum Holdings, Inc. DE 7.01,9.01 02/25/13
LEUCADIA NATIONAL CORP NY 8.01,9.01 02/25/13
Liberty Global, Inc. DE 7.01 02/22/13
LIFE PARTNERS HOLDINGS INC TX 8.01,9.01 02/25/13
Lithium Exploration Group, Inc. NV 1.01,9.01 02/19/13
Live Nation Entertainment, Inc. DE 5.02 02/22/13
LOWES COMPANIES INC NC 2.02,9.01 02/25/13
LSB INDUSTRIES INC DE 5.03,9.01 02/22/13
Lyons Liquors Inc. NV 1.01,5.01,5.02,9.01 02/25/13
MAC-GRAY CORP DE 2.02,9.01 02/25/13
Macquarie Infrastructure CO LLC DE 2.02,9.01 02/20/13
ManpowerGroup Inc. WI 7.01,9.01 02/25/13
MARKEL CORP VA 5.02 02/19/13
Marriott Vacations Worldwide Corp DE 7.01,9.01 02/25/13
Mead Johnson Nutrition Co DE 7.01 02/25/13
MERCADOLIBRE INC 2.02,7.01,9.01 02/25/13
META FINANCIAL GROUP INC DE 8.01,9.01 02/25/13
MICROSTRATEGY INC DE 5.02 02/19/13
MICROSTRATEGY INC DE 5.02 10/19/12 AMEND
MID AMERICA APARTMENT COMMUNITIES INC TN 1.01,9.01 02/25/13
MILLER HERMAN INC MI 7.01 02/25/13
Montalvo Spirits, Inc. NV 1.01,2.01,2.02,3.02, 12/21/12 AMEND
5.01,5.02,5.06,9.01
MONTPELIER RE HOLDINGS LTD 5.02,9.01 02/21/13
Mueller Water Products, Inc. DE 7.01,9.01 02/25/13
National Interstate CORP OH 5.02,9.01 02/20/13
NCL CORP Ltd. D0 5.02 02/19/13
NEAH POWER SYSTEMS, INC. NV 1.01 02/15/13
Neutral Tandem Inc 2.06 02/22/13
NEWS CORP 8.01,9.01 02/25/13
NEWTEK BUSINESS SERVICES, INC. NY 4.02 02/25/13
NITRO PETROLEUM INC. 5.02 02/22/13
Noranda Aluminum Holding CORP DE 8.01,9.01 02/25/13
NORTHRIM BANCORP INC AK 5.02 02/25/13
NorthStar Real Estate Income Trust, I MD 8.01 02/20/13
NORTHSTAR REALTY FINANCE CORP. MD 1.01,9.01 02/19/13
Norwegian Cruise Line Holdings Ltd. 5.02 02/19/13
Oasis Petroleum Inc. DE 2.02,9.01 02/25/13
ODYSSEY MARINE EXPLORATION INC NV 1.01 02/21/13
OMNICARE INC DE 7.01,9.01 02/22/13
ONEOK INC /NEW/ OK 2.02,7.01,9.01 02/25/13
ONEOK Partners LP DE 2.02,7.01,9.01 02/25/13
OTELCO INC. DE 2.02,9.01 02/25/13
OUTDOOR CHANNEL HOLDINGS INC 8.01 02/22/13
OvaScience, Inc. DE 2.02,9.01 02/25/13
OVERSTOCK.COM, INC DE 5.02,9.01 02/21/13 AMEND
OXYGEN BIOTHERAPEUTICS, INC. DE 1.01,3.02,8.01,9.01 02/21/13
Pacific Coast Oil Trust DE 2.02,9.01 02/25/13
PACIFIC FINANCIAL CORP WA 5.02 02/20/13
Parametric Sound Corp NV 5.02,5.07,9.01 02/21/13
PAREXEL INTERNATIONAL CORP MA 1.01,9.01 02/21/13
PASSPORT POTASH INC A8 2.03,3.02,7.01,9.01 02/19/13
PATRICK INDUSTRIES INC IN 2.02,8.01,9.01 02/21/13
Patriot Minefinders Inc. NV 1.01,5.02,9.01 02/22/13
PEAPACK GLADSTONE FINANCIAL CORP NJ 2.02,9.01 01/31/13
Pebblebrook Hotel Trust MD 2.02,9.01 02/21/13
PIEDMONT NATURAL GAS CO INC NC 1.01,9.01 02/19/13
PLC SYSTEMS INC B0 1.01,3.02,9.01 02/25/13
Polonia Bancorp Inc MD 5.02 02/19/13
POLYMER GROUP INC DE 5.02 02/20/13
Polypore International, Inc. 8.01,9.01 02/25/13
Prestige Brands Holdings, Inc. 1.01,2.03,9.01 02/25/13
PRO DEX INC CO 5.02,9.01 02/25/13
PROVIDENT NEW YORK BANCORP DE 5.07 02/25/13
PSS WORLD MEDICAL INC FL 1.02,2.04,8.01 02/25/13
PUGET TECHNOLOGIES, INC. NV 4.01,9.01 01/25/13 AMEND
PVR PARTNERS, L. P. DE 1.01,2.03,9.01 02/21/13
QUALSTAR CORP CA 8.01,9.01 02/25/13
QUICKSILVER RESOURCES INC DE 2.02,9.01 02/25/13
RainEarth Inc. NV 5.02 02/21/13
RELIANCE STEEL & ALUMINUM CO CA 3.03,9.01 02/25/13
RELM WIRELESS CORP NV 5.02 02/20/13
REPUBLIC AIRWAYS HOLDINGS INC DE 5.03,9.01 02/19/13
Riverbed Technology, Inc. DE 5.02,9.01 02/20/13
ROLLINS INC DE 7.01,9.01 02/22/13
S&W Seed Co NV 8.01,9.01 02/25/13
SALEM COMMUNICATIONS CORP /DE/ DE 2.02,7.01,8.01,9.01 02/25/13
SAVVY BUSINESS SUPPORT INC NV 5.01,9.01 02/22/13
SCRIPPS E W CO /DE OH 5.02 02/21/13
SEALED AIR CORP/DE DE 7.01,9.01 02/22/13
SELECT MEDICAL HOLDINGS CORP 7.01,9.01 02/25/13
SEMPRA ENERGY CA 8.01,9.01 02/25/13
SERVICEMASTER CO DE 1.01,2.03 02/22/13
SIRONA DENTAL SYSTEMS, INC. DE 5.07 02/20/13
SMARTHEAT INC. NV 5.02 02/20/13
Solar America Corp WY 5.02 02/15/13
Solar Capital Ltd. MD 2.02,9.01 02/25/13
Solar Senior Capital Ltd. MD 2.02,9.01 02/25/13
SOURCE FINANCIAL, INC. 5.03,9.01 02/22/13
SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 7.01,8.01,9.01 02/25/13
SOUTHWESTERN ENERGY CO DE 7.01 02/25/13
Spirit Airlines, Inc. DE 7.01 02/25/13
SquareTwo Financial Corp DE 8.01,9.01 02/25/13
ST JUDE MEDICAL INC MN 8.01,9.01 02/25/13
STAGE STORES INC NV 8.01,9.01 02/22/13
Star Gold Corp. NV 3.02 02/17/13
State Auto Financial CORP OH 2.02,7.01,9.01 02/19/13
STIFEL FINANCIAL CORP DE 2.02,9.01 02/25/13
STONE ENERGY CORP DE 2.02,7.01,9.01 02/25/13
STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 02/15/13
STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 02/15/13
STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 02/15/13
Sunshine Biopharma, Inc CO 4.01,9.01 02/25/13
SUNWIN STEVIA INTERNATIONAL, INC. 4.01,9.01 02/21/13
Swingplane Ventures, Inc. NV 2.01,3.02,3.03,5.01, 02/15/13
5.02,5.06,9.01
SYKES ENTERPRISES INC FL 2.02,9.01 02/25/13
SYNTHESIS ENERGY SYSTEMS INC DE 8.01 02/25/13
T.O ENTERTAINMENT, INC. CO 5.02 12/19/12
TAPIMMUNE INC NV 5.02,9.01 02/06/13
TCF FINANCIAL CORP DE 5.02,9.01 02/19/13
TEL INSTRUMENT ELECTRONICS CORP NJ 2.02,9.01 02/21/13
TEMPUR PEDIC INTERNATIONAL INC DE 8.01,9.01 02/25/13
TESSERA TECHNOLOGIES INC DE 5.02,8.01,9.01 02/22/13
Texas Gulf Energy Inc NV 7.01,9.01 02/25/13
Texas Rare Earth Resources Corp. DE 5.07 02/15/13
TFS Financial CORP DE 5.07 02/25/13
TG THERAPEUTICS, INC. DE 7.01 02/22/13
TGC INDUSTRIES INC TX 2.02,9.01 02/25/13
Thompson Creek Metals CO Inc. A6 2.02,7.01 02/25/13
TITAN INTERNATIONAL INC IL 2.02,9.01 02/25/13
TRANS ENERGY INC NV 7.01,9.01 02/20/13
Transcept Pharmaceuticals Inc DE 8.01 02/21/13
TransUnion Holding Company, Inc. DE 2.02,9.01 02/25/13
TRIMAS CORP DE 5.02,9.01 02/20/13
TRUSTMARK CORP MS 7.01,9.01 02/25/13
TRW AUTOMOTIVE HOLDINGS CORP DE 8.01,9.01 02/25/13
TX Holdings, Inc. GA 5.02,9.01 02/23/13
UNIFIED GROCERS, INC. CA 5.02,5.07,7.01,9.01 02/20/13
UNITED BANKSHARES INC/WV WV 5.02 02/19/13
URS CORP /NEW/ DE 2.02,9.01 02/25/13
USA Compression Partners, LP 2.02,9.01 02/25/13
Valeant Pharmaceuticals International A6 9.01 12/11/12 AMEND
Vantage Drilling CO E9 7.01,9.01 02/25/13
Vestin Realty Mortgage I, Inc. 2.06,8.01 02/22/13
Vestin Realty Mortgage II, Inc MD 2.06,8.01 02/22/13
VIASPACE Inc. 1.01,3.02,9.01 02/25/13
Viggle Inc. DE 8.01 02/25/13
VITRO DIAGNOSTICS INC NV 5.02,7.01,9.01 02/20/13
VIVUS INC CA 1.01,9.01 02/21/13
VIVUS INC CA 2.02,7.01,9.01 02/25/13
Volcano Corp DE 5.02 02/19/13
VOLKSWAGEN AUTO LEASE/LOAN UNDERWRITT DE 8.01,9.01 02/21/13
WABASH NATIONAL CORP /DE DE 5.02 02/20/13
Walter Energy, Inc. DE 7.01,9.01 02/25/13
Warner Chilcott plc 8.01 02/22/13
WELLS FARGO & COMPANY/MN DE 9.01 02/25/13
WESTMOUNTAIN INDEX ADVISOR INC CO 1.01,9.01 02/19/13
WhiteHorse Finance, Inc. DE 8.01,9.01 02/25/13
http://www.sec.gov/news/digest/2013/dig022613.htm
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