 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
Enforcement ProceedingsIn the Matter of New Generation Biofuels Holdings, Inc.An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default (Default Order) in New Generation Biofuels Holdings, Inc., Admin. Proc. No. 3-15151. The Order Instituting Proceedings alleged that New Generation Biofuels Holdings, Inc. (New Generation), repeatedly failed to file timely periodic reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of registered securities of New Generation, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-69112; File No. 3-15151) Delinquent Filers’ Stock Registrations RevokedThe registrations of the registered securities of HDL Capital Corp., HMG Worldwide Corp., Homegold Financial, Inc., Hudson Hotels Corp., and Hurry, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-69113; File No. 3-15208) 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. 34-69116; File No. 3-15242) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Four 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 four companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the four 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. 34-69117; File No. 3-15243) British Twin Brothers Agree to Pay $175,000 to Settle Microcap Pump-and-Dump ChargesThe Securities and Exchange Commission announced today that brothers Alexander John Hunter and Thomas Edward Hunter, both of Great Britain, have agreed to settle the Commission's pending civil action against them. The Commission's complaint, filed April 20, 2012 in the United States District Court for the Southern District of New York, alleges that the Hunters were just 16 years old when they began disseminating subscription-based e-mail newsletters through a pair of websites they created to tout stocks selected by a “stock picking robot,” which they described as a highly sophisticated computer trading program that was the product of extensive research and development. Some investors paid an additional fee for the “home version” of the robot software. The Commission’s complaint also alleges that the brothers separately created a third website where they marketed their newsletter subscriber list to penny stock promoters and boasted, “One email to this list of people rockets a stock price.” The Hunters were in turn paid to send selected penny stock ticker symbols to their subscribers, who were misled to believe that the stock “picks” were the product of the robot. The Hunters sent out their newsletters near the beginning of the trading day, and the price and volume of the promoted stocks spiked dramatically as newsletter subscribers rushed to purchase shares. However, the stocks typically fell precipitously shortly thereafter, leaving investors in most cases with shares worth less than they had purchased them for earlier in the day. According to the SEC’s complaint, the Hunters also offered subscribers a downloadable version of the stock picking robot for an additional fee of $97. Rather than performing the analysis advertised, the software was actually designed to deliver users a stock pick supplied by the brothers. The Commission’s complaint alleges that by virtue of the conduct described above, the Defendants violated the antifraud provisions of the federal securities laws. Under today's announced settlement, the Hunter brothers, without admitting or denying the allegations in the Commission’s complaint, consented to the entry of a judgment requiring Alex Hunter to pay a $100,000 penalty, requiring Tom Hunter to pay a $75,000 penalty, and enjoining both brothers individually from future violations of 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. [SEC v. Hunter, Civil Action No. 12-cv-3123 (S.D.N.Y.)] (LR-22641) INVESTMENT COMPANY ACT RELEASESAIP Series Trust and Morgan Stanley AIP GP LPA notice has been issued giving interested persons until April 5, 2013, to request a hearing on an application filed by AIP Series Trust and Morgan Stanley AIP GP LP for an order 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, under Sections 6(c) and 17(b) of the Act for an exemption from Sections 17(a)(1) and 17(a)(2) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The requested order would (a) permit certain registered open-end management investment companies that operate as “funds of funds” to acquire shares of other registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies, and (b) permit funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30420 – March 11) AdvisorShares Investments, LLC and AdvisorShares TrustAn order has been issued on an application filed by AdvisorShares Investments, LLC and AdvisorShares Trust under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Section 15(a) of the Act and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-30421 – March 11) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2013-10) relating to amendments to the EDGA Exchange, Inc. Fee 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 March 11, 2013. (Rel. 34-69066) A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGA-2013-11) relating to amendments to the EDGX Exchange, Inc. Fee 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 March 11, 2013. (Rel. 34-69067) A proposed rule change filed by NASDAQ OMX BX, Inc. to amend Chapter V, Regulation of Trading on BX Options, Section 6, Obvious Errors, to replace the current mid-point test applied to the definition of Theoretical Price (SR-BX-2013-020) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. (Rel. 34-69071) A proposed rule change filed by Chicago Stock Exchange, Inc. amending Article 1, Rule 2 (Order Types and Conditions); Article 20, Rule 4 (Eligible Orders); and Article 20, Rule 6 (Locked and Crossed Markets) to modify the operation of the CHX Only order type and Post Only order modifier (SR-CHX-2013-07) 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 March 11, 2013. (Rel. 34-69075) A proposed rule change filed by NASDAQ OMX PHLX LLC to modify the fee schedule governing order routing for NASDAQ OMX PSX Facility (SR-Phlx-2013-19) 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 March 11, 2013. (Rel. 34-69076) A proposed rule change (SR-BATS-2013-017) filed by BATS Exchange, Inc. related to fees for use of BATS Exchange, Inc. 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 March 11, 2013. (Rel. 34-69079) A proposed rule change filed by NYSE Arca, Inc. amending rules governing order format and system entry requirements (SR-NYSEArca-2013-21) 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 March 11, 2013. (Rel. 34-69080) A proposed rule change filed by NYSE MKT LLC amending rules governing order format and system entry requirements (SR-NYSEMKT-2013-16) 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 March 11, 2013. (Rel. 34-69081) A proposed rule change filed by BATS Exchange, Inc., to amend exchange rules in connection with the Limit Up-Limit Down Plan (SR-BATS-2013-015) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69084) A proposed rule change filed by the Municipal Securities Rulemaking Board relating to amendments to MSRB Form RTRS (SR-MSRB-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 March 11, 2013. (Rel. 34-69086) A proposed rule change filed by National Stock Exchange, Inc., to amend its rules to comply with the requirements of the Plan to Address Extraordinary Market Volatility submitted to the Commission pursuant to Rule 608 of Regulation NMS (SR-NSX-2013-09) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69087) A proposed rule change filed by BATS Y-Exchange, Inc., to amend exchange rules in connection with the Limit Up-Limit Down Plan (SR-BYX-2013-010) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69088) A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2013-21) amending Rule 13 - Equities to add two Self-Trade Prevention modifiers that may be used by certain market participants 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 March 11, 2013. (Rel. 34-69098) A proposed rule change filed by New York Stock Exchange LLC amending the New York Stock Exchange LLC Price List to increase the Gross FOCUS Fee (SR-NYSE-2013-19) 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 March 11, 2013. (Rel. 34-69101) A proposed rule change filed by New York Stock Exchange LLC (SR-NYSE-2013-17) amending Rule 13 adding two Self-Trade Prevention (“STP”) modifiers that may be used by certain market participants 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 March 11, 2013. (Rel. 34-69102) A proposed rule change filed by New York Stock Exchange LLC amending Rule 107C to clarify that a Retail Member Organization may submit Retail Orders to the Retail Liquidity Program in a riskless principal capacity as well as in an agency capacity (SR-NYSE-2013-20) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69103) A proposed rule change filed by NYSE MKT LLC amending Rule 107C-Equities to clarify that a Retail Member Organization may submit Retail Orders to the Retail Liquidity Program in a riskless principal capacity as well as in an agency capacity (SR-NYSEMKT-2013-22) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69104) A proposed rule change filed by BATS Y-Exchange, Inc. related to fees for use of BATS Y-Exchange, Inc. (SR-BYX-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 March 11, 2013. (Rel. 34-69107) A proposed rule change filed by The NASDAQ Stock Market LLC to clarify the maximum time afforded to a market maker to meet its market making obligations upon rejoining the market after an excused withdrawal under Rule 4619 (SR-NASDAQ-2012-037) 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 March 11, 2013. (Rel. 34-69108) Proposed Rule ChangesChicago Board Options Exchange, Incorporated filed a proposed rule change (SR-CBOE-2013-030) relating to the Regulation NMS Plan to Address Extraordinary Market Volatility. Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69082) C2 Options Exchange, Incorporated filed a proposed rule change (SR-C2-2013-013) relating to the Regulation NMS Plan to Address Extraordinary Market Volatility. Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69083) International Securities Exchange, LLC filed a proposed rule change to amend Rule 720, Obvious and Catastrophic Errors (SR-ISE-2013-15). Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69085) Accelerated Approval of Proposed Rule ChangeThe Commission issued a notice of filing and order granting accelerated approval of a proposed rule change submitted by the Financial Industry Regulatory Authority, Inc. (“FINRA”) (SR-FINRA-2013-017), pursuant to Rule 19b-4 of the Securities Exchange Act of 1934, to amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps). Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69089) SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-8 RPX Corp, ONE MARKET PLAZA, STEUART TOWER, SUITE 700, SAN FRANCISCO, CA, 94105, 866-779-7641 - 1,000,000 ($12,180,000.00) Equity, (File 333-187152 - Mar. 11) (BR. 03A) S-1 Omthera Pharmaceuticals, Inc., 707 STATE ROAD, NEW JERSEY, NJ, 08540, 908-741-4323 - 0 ($75,000,000.00) Equity, (File 333-187153 - Mar. 11) (BR. 01B) F-10 WESTPORT INNOVATIONS INC, 101-1750 WEST 75TH AVENUE, VANCOUVER, A1, 000000, 6047182000 - 0 ($728,025,000.00) Other, (File 333-187154 - Mar. 11) (BR. 10B) S-1 IDERA PHARMACEUTICALS, INC., 167 SIDNEY STREET, CAMBRIDGE, MA, 02139, 6176795500 - 0 ($40,000,000.00) Equity, (File 333-187155 - Mar. 11) (BR. 01A) F-3ASR Sanofi, 54 RUE LA BOETIE, PARIS, I0, 75008, 33153774400 - 0 ($0.00) Non-Convertible Debt, (File 333-187156 - Mar. 11) (BR. 01B) S-1 Truett-Hurst, Inc., 4035 WESTSIDE ROAD, HEALDSBURG, CA, 95448, 707-431-4423 - 2,902,557 ($43,538,355.00) Equity, (File 333-187164 - Mar. 11) (BR. 09) S-8 USA Compression Partners, LP, 100 CONGRESS AVENUE, SUITE 450, AUSTIN, TX, 78701, 512-473-2662 - 0 ($26,705,400.00) Equity, (File 333-187166 - Mar. 11) (BR. 02) S-3ASR Government Properties Income Trust, TWO NEWTON PLACE, 255 WASHINGTON STREET, NEWTON, MA, 02458, 617-219-1440 - 0 ($0.00) Equity, (File 333-187171 - Mar. 11) (BR. 08B) S-3 SPECTRANETICS CORP, 9965 FEDERAL DRIVE, COLORADO SPRINGS, CO, 80921, 7196338333 - 0 ($250,000,000.00) Other, (File 333-187172 - Mar. 11) (BR. 10B) S-1 Rally Software Development Corp, 3333 WALNUT STREET, BOULDER, CO, 80301, 303-565-2800 - 0 ($70,000,000.00) Equity, (File 333-187173 - Mar. 11) (BR. 03A) S-3ASR EMERITUS CORP\WA\, 3131 ELLIOTT AVENUE, SUITE 500, SEATTLE, WA, 98121, 2062982909 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187175 - Mar. 11) (BR. 11A) S-3 UNWIRED PLANET, INC., 170 SOUTH VIRGINIA STREET, SUITE 201, RENO, NV, 89501, 775-980-2345 - 0 ($50,000,000.00) Equity, (File 333-187176 - Mar. 11) (BR. 03B) S-8 PBF Energy Inc., 1 SYLVAN WAY, PARSIPPANY, NJ, 07054, 973-455-7500 - 0 ($24,750,000.00) Equity, (File 333-187179 - Mar. 11) (BR. 04A) S-8 Artisan Partners Asset Management Inc., 875 E. WISCONSIN AVENUE, SUITE 800, MILWAUKEE, WI, 53202, 414-390-6100 - 0 ($450,000,000.00) Equity, (File 333-187180 - Mar. 11) (BR. 12B) S-4 Pentair Finance S.A., 26, BOULEVARD ROYAL, L-2449, LUXEMBOURG, N4, 00000, 7635451730 - 0 ($1,873,026,000.00) Non-Convertible Debt, (File 333-187183 - Mar. 11) (BR. ) F-3ASR Yandex N.V., Laan Copes Van CattenBurch 52, The Hague, P7, 2585, +31-70-3454700 - 0 ($0.00) Debt, (File 333-187184 - Mar. 11) (BR. 03B) F-3 SAPIENS INTERNATIONAL CORP N V, KAYA RICHARD J BEAUJON, WILLEMSTAD CURACAO NETHERLANDS, CURACAO NETHERLANDS, P8, 4758, 97289382777 - 0 ($70,660,000.00) Equity, (File 333-187185 - Mar. 11) (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
-----------------------------------------------------------------------------------------
ACCURIDE CORP DE 5.02,7.01 03/05/13
ACI WORLDWIDE, INC. DE 1.01,2.01,2.03,8.01, 03/07/13
9.01
ACURA PHARMACEUTICALS, INC NY 5.02 03/11/13
AEMETIS, INC NV 1.01,9.01 02/27/13
Affinity Gaming NV 1.01,3.03,8.01,9.01 03/08/13
AKAMAI TECHNOLOGIES INC DE 7.01 03/11/13
ALAMO GROUP INC DE 2.02,9.01 03/06/13
ALLDIGITAL HOLDINGS, INC. NV 8.01 03/06/13
AMBARELLA INC 5.02 03/05/13
AMBIENT CORP /NY DE 2.02,9.01 03/11/13
AMERICAN CAMPUS COMMUNITIES INC MD 1.01,9.01 03/08/13
AMERICAN EAGLE OUTFITTERS INC DE 5.02 03/05/13
AMERICAN PUBLIC EDUCATION INC DE 7.01,9.01 03/11/13
Amtrust Financial Services, Inc. DE 1.01,9.01 03/05/13
ANALOGIC CORP MA 2.02,9.01 03/11/13
APRIA HEALTHCARE GROUP INC DE 4.02 03/07/13
APRIA HEALTHCARE GROUP INC DE 2.02,9.01 03/11/13
ARDEN GROUP INC DE 2.02,9.01 03/11/13
Armada Oil, Inc. NV 1.01,9.01 03/05/13
ARQULE INC DE 5.02,9.01 03/08/13
Artemis Acquisition Corp. DE 1.01,9.01 02/27/13
Ascent Capital Group, Inc. DE 7.01,9.01 03/11/13
ASSET ACCEPTANCE CAPITAL CORP 1.01,5.02,8.01,9.01 03/06/13
ATLANTIC POWER CORP A1 8.01 03/11/13
ATP OIL & GAS CORP TX 8.01,9.01 03/01/13
AtriCure, Inc. DE 5.02,9.01 03/11/13
AVIS BUDGET GROUP, INC. DE 1.01,2.03,8.01,9.01 03/05/13
BALLANTYNE STRONG, INC. DE 2.02,9.01 03/11/13
Bank of Marin Bancorp CA 5.02 03/11/13
BELDEN INC. DE 8.01,9.01 03/10/13
Biodel Inc DE 5.02,5.07,9.01 03/05/13
BioScrip, Inc. DE 2.02,8.01,9.01 03/11/13
Black Diamond, Inc. DE 2.02,9.01 03/11/13
Black Elk Energy Offshore Operations, TX 1.01,9.01 12/21/12
BLUCORA, INC. DE 7.01,9.01 03/11/13
BofI Holding, Inc. DE 1.01,9.01 03/11/13
Borneo Resource Investments Ltd. NV 1.01,7.01,9.01 03/05/13
BOSTON PROPERTIES INC DE 5.02,9.01 03/10/13
BOSTON PROPERTIES LTD PARTNERSHIP DE 5.02,9.01 03/10/13
BOYD GAMING CORP NV 2.04,9.01 03/11/13
BPZ RESOURCES, INC. TX 2.02,9.01 03/07/13
BROOKS AUTOMATION INC DE 5.02,9.01 03/05/13
C & C TOURS INC WY 4.01,9.01 03/08/13
CABOT CORP DE 5.07 03/07/13
Cactus Ventures, Inc. NV 1.01,2.01,3.02,9.01 03/11/13
CADENCE DESIGN SYSTEMS INC DE 1.01,9.01 03/11/13
CALIFORNIA WATER SERVICE GROUP DE 7.01,9.01 03/11/13
CAREFUSION Corp 1.01,2.03,9.01 03/11/13
Carey Watermark Investors Inc 5.02 03/05/13
CARROLLTON BANCORP MD 5.02,8.01,9.01 03/04/13
CASCADE MICROTECH INC 8.01 03/11/13
CASEYS GENERAL STORES INC IA 2.02,7.01,9.01 03/11/13
Cellteck Inc. NV 1.01,2.01,3.02,5.01, 10/12/12 AMEND
5.02,9.01
CHART INDUSTRIES INC DE 7.01,9.01 03/11/13
CHESAPEAKE ENERGY CORP OK 7.01,9.01 03/08/13
CHIQUITA BRANDS INTERNATIONAL INC NJ 2.02,9.01 03/11/13
CHYRON CORP NY 2.02,9.01 03/11/13
CKE RESTAURANTS INC DE 2.02,9.01 03/11/13
CLOUD PEAK ENERGY INC. DE 5.02,9.01 03/11/13
COGNIZANT TECHNOLOGY SOLUTIONS CORP 3.03 03/05/13
CombiMatrix Corp DE 3.01 03/11/13
CommonWealth REIT MD 1.01,8.01,9.01 03/11/13
Cornerstone Core Properties REIT, Inc MD 8.01,9.01 03/11/13
COTTON BAY HOLDINGS, INC. 4.01,9.01 03/06/13
COWEN GROUP, INC. DE 8.01,9.01 03/11/13
CRAILAR TECHNOLOGIES INC A1 7.01,9.01 03/11/13
CUBIST PHARMACEUTICALS INC DE 1.01,5.02 03/05/13
CURIS INC DE 5.02,8.01,9.01 03/07/13
CYTOKINETICS INC 5.02,9.01 03/05/13
CYTRX CORP DE 2.02,9.01 03/11/13
DALECO RESOURCES CORP NV 8.01,9.01 03/11/13
DEBT RESOLVE INC DE 9.01 03/11/13
DEERE JOHN CAPITAL CORP DE 9.01 03/11/13
Desert Hawk Gold Corp. NV 8.01 03/05/13
Diamond Foods Inc DE 2.02,9.01 03/11/13
DICKS SPORTING GOODS INC DE 2.02,7.01,8.01,9.01 03/07/13
Digital Generation, Inc. DE 1.01,9.01 03/11/13
Discovery Communications, Inc. DE 8.01,9.01 03/11/13
Diversified Restaurant Holdings, Inc. NV 5.02,9.01 03/07/13
DOUGLAS DYNAMICS, INC DE 2.02,9.01 03/11/13
DR. TATTOFF, INC. FL 5.02 03/05/13
DRINKS AMERICAS HOLDINGS, LTD DE 5.03,5.07,9.01 03/05/13
DSP GROUP INC /DE/ DE 8.01,9.01 03/09/13
DTS, INC. DE 2.02,9.01 03/11/13
DYNASIL CORP OF AMERICA NJ 3.01,5.07 03/05/13
EAGLE ROCK ENERGY PARTNERS L P DE 7.01 03/11/13
EASTMAN KODAK CO NJ 2.02,9.01 03/11/13
ELECSYS CORP KS 2.02,9.01 03/11/13
EMCORE CORP NJ 5.07 03/06/13
EMERITUS CORP\WA\ WA 5.02 03/06/12
ENDEAVOUR INTERNATIONAL CORP NV 1.01,3.02,5.02 03/05/13
Energy Transfer Partners, L.P. DE 5.02 03/08/13
Enhance Skin Products Inc NV 1.01 03/04/13
EPL OIL & GAS, INC. DE 8.01 03/11/13
Erickson Air-Crane Inc DE 2.02,9.01 03/11/13
Eventure Interactive, Inc. NV 1.01,9.01 03/05/13
FASTFUNDS FINANCIAL CORP NV 1.01,9.01 03/11/13
Federal Home Loan Bank of Dallas 2.03,9.01 03/05/13
Fidelity National Information Service 1.01,9.01 03/06/13
FIRST BANCORP /PR/ PR 5.02,9.01 03/05/13
FIRST DATA CORP DE 5.02,9.01 03/05/13
FIRST INDUSTRIAL REALTY TRUST INC MD 8.01,9.01 03/11/13
First Internet Bancorp IN 1.01,2.03,9.01 03/06/13
FIVE BELOW, INC PA 5.02,9.01 03/08/13
FLOW INTERNATIONAL CORP WA 2.02,9.01 03/11/13
FLUSHING FINANCIAL CORP DE 8.01,9.01 03/11/13
FONAR CORP DE 2.01,9.01 03/05/13
Franchise Holdings International, Inc NV 4.01,9.01 03/05/13
FRIENDLY ENERGY EXPLORATION NV 4.01,9.01 02/20/13
FS Bancorp, Inc. 7.01,9.01 03/08/13
G REIT Liquidating Trust 1.01,2.01,9.01 10/03/12
GALECTIN THERAPEUTICS INC NV 7.01,9.01 03/11/13
GASTAR EXPLORATION LTD 2.02,9.01 03/11/13
Geeknet, Inc DE 5.02 03/06/13
GENERAL DYNAMICS CORP DE 5.02 03/05/13
GENERAL EMPLOYMENT ENTERPRISES INC IL 3.01,9.01 03/11/13
GENUINE PARTS CO GA 1.01,8.01,9.01 03/11/13
Georgia-Carolina Bancshares, Inc GA 5.02 02/26/13
Gold & Gemstone Mining Inc. NV 1.01,9.01 01/25/13
GOLDEN PHOENIX MINERALS INC NV 5.02,7.01,9.01 03/04/13
Government Properties Income Trust MD 9.01 03/11/13
GREEN ENERGY RENEWABLE SOLUTIONS, INC FL 5.02 03/08/13
GSE SYSTEMS INC DE 2.02 03/11/13
H&E Equipment Services, Inc. DE 7.01 03/11/13
HARMONIC INC DE 2.01,8.01,9.01 03/05/13
HEALTH NET INC DE 7.01 03/08/13
HEALTHCARE TRUST OF AMERICA, INC. MD 7.01,9.01 03/11/13
HEARTLAND EXPRESS INC NV 2.02,9.01 03/11/13
Heavy Earth Resources, Inc. FL 5.02 03/05/13
Heckmann Corp DE 2.02,7.01,9.01 03/11/13
HECLA MINING CO/DE/ DE 1.01,2.02,9.01 03/08/13
HOLOGIC INC DE 5.02,5.07,9.01 03/05/13
HPEV, INC. NV 5.02 03/06/13
ICAHN ENTERPRISES L.P. DE 8.01 03/08/13
ICONIX BRAND GROUP, INC. DE 8.01,9.01 03/11/13
INFRASTRUCTURE MATERIALS CORP. DE 1.01,9.01 03/11/13
Innovaro, Inc. 3.01,9.01 03/05/13
InspireMD, Inc. DE 8.01,9.01 03/07/13
Intermec, Inc. DE 2.02,7.01,9.01 03/11/13
INTERNATIONAL GAME TECHNOLOGY NV 5.02,5.07,9.01 03/05/13
INTERNATIONAL LEASE FINANCE CORP CA 1.01,2.03,9.01 03/11/13
INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01 03/11/13
IROBOT CORP DE 5.02,7.01,9.01 03/07/13
ITC Holdings Corp. MI 5.02 03/07/13
ITT Corp IN 5.02 03/05/13
J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 03/11/13
KBS Real Estate Investment Trust, Inc MD 2.01,9.01 03/08/13
LABORATORY CORP OF AMERICA HOLDINGS DE 5.02,7.01,9.01 03/11/13
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 03/11/13
LAKELAND INDUSTRIES INC DE 2.06,9.01 03/07/13
Laredo Oil, Inc. DE 7.01,9.01 03/11/13
Laureate Resources & Steel Industries NV 4.01,5.02,9.01 09/04/09
LAYNE CHRISTENSEN CO DE 7.01,9.01 03/08/13
LCNB CORP OH 5.02,7.01,9.01 03/11/13
LEAP WIRELESS INTERNATIONAL INC DE 1.01,2.03,9.01 03/08/13
LEAP WIRELESS INTERNATIONAL INC DE 5.02 03/05/13
LEVI STRAUSS & CO DE 8.01,9.01 03/11/13
LEXINGTON REALTY TRUST MD 7.01,9.01 03/08/13
Liberty Interactive Corp 7.01,9.01 03/08/13
LIVEDEAL INC NV 5.03,9.01 03/11/13
LMI AEROSPACE INC MO 9.01 12/28/12 AMEND
LODGENET INTERACTIVE CORP DE 1.03,3.03,9.01 03/07/13
LONGWEI PETROLEUM INVESTMENT HOLDING CO 3.01,9.01 03/05/13
LTC PROPERTIES INC MD 5.02,9.01 02/11/13 AMEND
LUMINEX CORP DE 5.02 03/11/13
M I HOMES INC OH 1.01,2.03,8.01,9.01 03/05/13
Maiden Holdings, Ltd. D0 1.01,9.01 03/11/13
Manitex International, Inc. MI 2.02,9.01 03/11/13
Manning & Napier, Inc. 8.01,9.01 03/08/13
MANTECH INTERNATIONAL CORP DE 5.02,9.01 03/07/13
Marathon Patent Group, Inc. NV 1.01,5.02,8.01,9.01 03/08/13
MASCOT PROPERTIES, INC. NV 5.03,8.01,9.01 03/08/13
MASCOT PROPERTIES, INC. NV 1.01,2.01,3.02,4.01, 01/24/13 AMEND
5.01,5.02,9.01
MATTEL INC /DE/ DE 1.01,2.03,9.01 03/11/13
MEMC ELECTRONIC MATERIALS INC DE 5.02 03/05/13
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01 03/08/13
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01 03/08/13
METALICO INC 1.01,2.03 03/06/13
MOLINA HEALTHCARE INC DE 5.02 03/11/13
MONITRONICS INTERNATIONAL INC TX 7.01,9.01 03/11/13
MPG Office Trust, Inc. MD 1.01,7.01,9.01 03/11/13
MTS SYSTEMS CORP MN 7.01 03/11/13
MULTI-CORP INTERNATIONAL INC. NV 8.01,9.01 03/06/13
MVB FINANCIAL CORP WV 2.02 03/11/13
MVP REIT, Inc. MD 5.02 03/11/13
NABORS INDUSTRIES LTD D0 5.02,9.01 03/07/13
NATUREWELL INC CA 1.01,1.02,3.02,3.03, 03/08/13
5.03,9.01
NCI, Inc. DE 4.01,9.01 03/06/13
NeoStem, Inc. DE 2.02,7.01,9.01 03/11/13
NeurogesX Inc CA 1.01,8.01 03/07/13
NEW ENERGY TECHNOLOGIES, INC. 7.01,8.01,9.01 03/01/13
NEWCASTLE INVESTMENT CORP MD 1.01,9.01 03/05/13
NEWS CORP 8.01,9.01 03/11/13
NightCulture, Inc. NV 2.02,7.01,9.01 03/11/13
NNN 2002 VALUE FUND LLC 1.01,2.01,9.01 10/19/12
NORTEK INC DE 5.02 03/05/13
North American Oil & Gas Corp. NV 1.01 03/08/13
NORTHWEST BANCORPORATION INC WA 1.01,3.02,9.01 12/28/12 AMEND
NuStar Energy L.P. DE 5.02 03/08/13
OMNICELL, Inc CA 8.01 03/11/13
OMNOVA SOLUTIONS INC OH 1.01 03/07/13
ONYX PHARMACEUTICALS INC DE 7.01 03/08/13
Orient Paper Inc. NV 2.02,9.01 03/11/13
PACIFIC MERCANTILE BANCORP CA 2.02,9.01 03/07/13
PALMETTO BANCSHARES INC SC 2.02,9.01 03/08/13
Palo Alto Networks Inc DE 5.02,9.01 03/08/13
PDL BIOPHARMA, INC. DE 7.01,9.01 03/11/13
PENTAIR LTD V8 8.01,9.01 03/11/13
PEP BOYS MANNY MOE & JACK PA 5.02 03/11/13
Perfumania Holdings, Inc. FL 7.01,9.01 03/07/13
PINNACLE WEST CAPITAL CORP AZ 5.04,9.01 03/11/13
Pioneer Consulting group, Inc. NV 8.01 10/01/12
Pioneer Southwest Energy Partners L.P DE 1.01,9.01 03/07/13
PIPER JAFFRAY COMPANIES DE 1.01,7.01,9.01 03/08/13
PREFERRED APARTMENT COMMUNITIES INC MD 2.02,9.01 03/11/13
PROGUARD ACQUISITION CORP FL 5.03,7.01,9.01 03/11/13
PROSPECT GLOBAL RESOURCES INC. NV 1.02,2.03,9.01 03/07/13
PULSE ELECTRONICS CORP PA 2.02,9.01 03/11/13
QUTURE INTERNATIONAL, INC. NV 4.01,9.01 03/11/13 AMEND
RAAM Global Energy Co DE 1.01,9.01 03/05/13
RADIO ONE, INC. DE 5.02 03/05/13
RAINMAKER SYSTEMS INC DE 5.02 03/09/13
RAMCO GERSHENSON PROPERTIES TRUST MD 1.01,2.03,9.01 03/05/13
RealD Inc. DE 8.01,9.01 03/11/13
REALTY INCOME CORP MD 8.01,9.01 03/05/13
Resource Real Estate Opportunity REIT MD 7.01 11/15/12 AMEND
Retrophin, Inc. OK 8.01,9.01 03/11/13
Revett Minerals Inc. A6 5.03,9.01 01/24/11
SAFECODE DRUG TECHNOLOGIES CORP. DE 3.02,5.03 03/08/13
SAFETY INSURANCE GROUP INC DE 2.02,9.01 03/11/13
SALEM COMMUNICATIONS CORP /DE/ DE 5.02 03/07/13
SALEM COMMUNICATIONS CORP /DE/ DE 8.01 03/11/13
SALON MEDIA GROUP INC DE 1.01,3.02,9.01 03/01/13 AMEND
Sanomedics International Holdings, In DE 5.02,9.01 03/11/13
SCHAWK INC 7.01 03/11/13
SCHOOL SPECIALTY INC WI 1.02 03/05/13
SCIENTIFIC GAMES CORP DE 2.02,9.01 03/11/13
SEALY CORP DE 8.01,9.01 03/08/13
ShoreTel Inc CA 5.02 03/05/13
SOLAR WIND ENERGY TOWER, INC. NV 5.03,9.01 03/08/13
Southeastern Bank Financial CORP GA 5.02,9.01 03/05/13
SpendSmart Payments Co CO 4.01,9.01 02/27/13 AMEND
SunCoke Energy Partners, L.P. DE 7.01,9.01 03/11/13
SunCoke Energy, Inc. 7.01,9.01 03/11/13
SUPERNUS PHARMACEUTICALS INC DE 2.02,9.01 03/07/13
SYNAGEVA BIOPHARMA CORP DE 2.02,9.01 03/11/13
T REIT LIQUIDATING TRUST VA 1.01,2.01,9.01 10/19/12
THERAVANCE INC DE 1.01,8.01 03/08/13
THESTREET, INC. DE 5.03,9.01 03/07/13
TITAN INTERNATIONAL INC IL 7.01,9.01 03/11/13
Tonix Pharmaceuticals Holding Corp. NV 8.01,9.01 03/11/13
Total Apparel Group , Inc. NV 1.01,9.01 02/27/13
Tower Group, Inc. DE 8.01,9.01 03/08/13
TRI COUNTY FINANCIAL CORP /MD/ MD 8.01,9.01 03/08/13
Trio Merger Corp. DE 2.03,3.02 03/07/13
TUPPERWARE BRANDS CORP DE 1.01,9.01 03/06/13
U. S. Premium Beef, LLC 7.01,9.01 03/11/13
U.S. SILICA HOLDINGS, INC. DE 7.01 03/11/13
UMH PROPERTIES, INC. MD 2.02,7.01,9.01 03/11/13
UNITED REFINING CO PA 8.01,9.01 03/08/13
UNITED STATES CELLULAR CORP DE 5.02 03/06/13
UNITEDHEALTH GROUP INC MN 7.01 03/11/13
UNIVERSAL HEALTH REALTY INCOME TRUST MD 9.01 12/28/12 AMEND
UNWIRED PLANET, INC. DE 7.01,9.01 03/11/13
VAIL RESORTS INC DE 5.02,9.01 03/11/13
VALASSIS COMMUNICATIONS INC DE 8.01,9.01 03/08/13
VIDAROO Corp 1.01,9.01 03/05/13
VISTA GOLD CORP B0 5.02 03/05/13
WABCO Holdings Inc. DE 5.02 03/05/13
WaferGen Bio-systems, Inc. NV 7.01,9.01 03/11/13
WARWICK VALLEY TELEPHONE CO NY 5.02,9.01 03/05/13
WashingtonFirst Bankshares, Inc. VA 9.01 12/17/12 AMEND
Weatherford International Ltd./Switze V8 4.01,5.02,8.01,9.01 03/07/13
WELLCARE HEALTH PLANS, INC. DE 5.02 03/06/13
Western Refining, Inc. DE 7.01,8.01,9.01 03/11/13
Western Union CO DE 5.03 03/06/13
WESTWOOD HOLDINGS GROUP INC DE 7.01,9.01 03/11/13
WhiteHorse Finance, Inc. DE 7.01,9.01 03/11/13
WireCo WorldGroup Inc. 5.02 03/05/13
WMI HOLDINGS CORP. WA 7.01,9.01 03/11/13
WMS INDUSTRIES INC /DE/ DE 8.01,9.01 03/11/13
XENOPORT INC DE 2.02,9.01 03/11/13
YUM BRANDS INC NC 2.02 03/11/13
ZaZa Energy Corp DE 7.01,9.01 03/11/13
http://www.sec.gov/news/digest/2013/dig031213.htm
|