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U.S. Securities and Exchange Commission

SEC NEWS DIGEST

Issue 2013-51
March 18, 2013

Enforcement Proceedings

SEC Obtains Asset Freeze Against Massachusetts-Based Investment Adviser Stealing Money from Client

The Securities and Exchange Commission today announced an asset freeze against a Massachusetts-based investment adviser charged with stealing money from clients who were given the false impression they were investing in a hedge fund.

In a complaint unsealed today in federal court in Boston, the SEC alleges that Gregg D. Caplitz and Insight Onsite Strategic Management in Wilmington, Mass., raised at least $1.1 million from clients that was used for purposes other than investing in the hedge fund they purported to manage. Investor money was merely transferred to the firm’s chief investment officer and other members of her family who spent it on personal expenses. The firm reported in SEC filings that it has $100 million in assets under management, however the purported hedge fund actually has no assets.

U.S. District Judge Mark L. Wolf granted the SEC’s request for an emergency court order to freeze the assets of Caplitz and his firm as well as others who received investor money and have been named as relief defendants for the purposes of recovering investor funds in their possession.

“Caplitz and his firm conjured up a hedge fund to lure longtime clients into investing substantial amounts of money that became nothing more than a slush fund to pay bills for others,” said Julie M. Riewe, Deputy Chief of the SEC Enforcement Division’s Asset Management Unit.

According to the SEC’s complaint, Caplitz’s scheme began around 2009. While soliciting funds, Caplitz convinced one client and his wife to invest $275,000 in the hedge fund that Caplitz claimed would generate them about $1,000 per month in returns. Caplitz also solicited a 20-year client who after considering his sales pitch decided not to invest in the hedge fund because she considered it too risky of an investment for someone her age. But Caplitz apparently took action to obtain funds from the client’s IRA account and wire thousands of dollars to an Insight Onsite Strategic Management bank account. The client was not aware of the transfers and did not authorize them.

The SEC alleges that instead of using investor funds to purchase shares in a hedge fund or to manage or develop a hedge fund, Caplitz transferred control of client money to Rosalind Herman, his friend who works at the firm. Investor funds also were transferred to her sons Brad and Brian Herman, daughter-in-law Charlene Herman, and a company called The Knew Finance Experts. The Hermans, who all live in Las Vegas, own that company. The Hermans used investor money to pay legal bills and other personal expenses at gas stations, drugstores, and restaurants.

The SEC alleges that as part of his scheme, Caplitz obtained funds from a real estate investment trust (REIT) by falsely representing that a hedge fund he operated was interested in making an investment in that trust. The public, non-traded REIT gave $135,000 to Caplitz so he could conduct due diligence on the REIT as a precursor to making a $5 million investment that never materialized.

The SEC alleges that Caplitz and Insight Onsite Strategic Management violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, Section 17(a) of the Securities Act of 1933, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The complaint seeks a permanent injunction plus disgorgement, prejudgment interest, and a penalty against Caplitz and his firm. The complaint also names the four Hermans and The Knew Finance Experts as relief defendants and seeks disgorgement plus prejudgment interest.

The SEC’s investigation was conducted in the Boston Regional Office by Mayeti Gametchu and Kevin Kelcourse of the Asset Management Unit and Susan Cooke Anderson. The litigation will be led by Kathy Shields and Ms. Gametchu. (Press Rel. 2013-43)

Commission Decision as to Gold Star Tutoring Services, Inc. Final

The decision of an administrative law judge with respect to Gold Star Tutoring Services, Inc. has become final. The law judge found that Gold Star violated Section 13(a) of the Securities and Exchange Act of 1934 and Rules 13a-1 and 13a-13 thereunder by its failure to file any periodic reports since it filed a Form 10-Q for the period ended September 30, 2009. (Rel. 34-69155; File No. 3-15090)

INVESTMENT COMPANY ACT RELEASES

Krane Fund Advisors LLC, et al.

A notice has been issued giving interested persons until April 5, 2013, to request a hearing on an application filed by Krane Fund Advisors LLC, et al., for an order to permit: (a) series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30425 – March 14)

Global X Funds, et al.

A notice has been issued giving interested persons until April 8, 2013, to request a hearing on an application filed by Global X Funds, et al. 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), (B), and (C) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The order would (a) permit certain registered open-end management investment companies to acquire shares of certain registered open-end and closed-end management investment companies, business development companies as defined by Section 2(a)(48) of the Act, and registered unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies and (b) permit certain registered open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30426 – March 14)

SELF-REGULATORY ORGANIZATIONS

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by the BOX Options Exchange LLC (SR-BOX-2013-11) to amend the BOX Price Improvement Period (“PIP”) Rule 7150 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 18, 2013. (Rel. 34-69135)

The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-MIAX-2013-06) filed by Miami International Securities Exchange LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to list and trade option contracts overlying 10 shares of certain securities. Publication is expected in the Federal Register during the week of March 18, 2013. (Rel. 34-69136)

A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2013-19) to amend its Schedule of Fees 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 18, 2013. (Rel. 34-69139)

A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2013-029) to comply with the requirements of the National Market System Plan to Address Extraordinary Market Volatility 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 18, 2013. (Rel. 34-69147)

A proposed rule change filed by the International Securities Exchange, LLC, related to Limit Up/Limit Down (SR-ISE-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 18, 2013. (Rel. 34-69148)

A proposed rule change filed by The NASDAQ Stock Market LLC to extend the pre-market hours of the Exchange to 4:00 a.m. EST (SR-NASDAQ-2013-033) 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 18, 2013. (Rel. 34-69151)

Proposed Rule Changes

NASDAQ OMX BX, Inc. filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-BX-2013-026) to adopt Chapter V, Section 3(d)(iv) regarding Obvious Error or Catastrophic Error Review. Publication is expected in the Federal Register during the week of March 18, 2013. (Rel. 34-69140)

NASDAQ OMX PHLX LLC filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-Phlx-2013-29) to address Obvious and Catastrophic Options Errors in response to the Regulation NMS Plan to Address Extraordinary Market Volatility. Publication is expected in the Federal Register during the week of March 18, 2013. (Rel. 34-69141)

The NASDAQ Stock Market LLC filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-NASDAQ-2013-048) to adopt Chapter V, Section 3(d)(iv) regarding Obvious Error or Catastrophic Error Review. Publication is expected in the Federal Register during the week of March 18, 2013. (Rel. 34-69142)

Chicago Board Options Exchange, Incorporated filed a proposed rule change under Rule 19b-4 (SR-CBOE-2013-027) relating to trading ahead of customer orders and best execution and interpositioning requirements. Publication is expected in the Federal Register during the week of March 18, 2013. (Rel. 34-69146)

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-3ASR  SINCLAIR BROADCAST GROUP INC, 10706 BEAVER DAM ROAD, HUNT VALLEY, MD, 
        21030, 4105681500 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-187269 - Mar. 15) (BR. 11C)

S-4     INTERLINE BRANDS, INC./DE, 701 SAN MARCO BOULEVARD, JACKSONVILLE, FL, 
        32207, 904-421-1400 - 0 ($365,000,000.00) Debt, (File 333-187271 - 
        Mar. 15) (BR. 06A)

S-1     INTERLINE BRANDS, INC./DE, 701 SAN MARCO BOULEVARD, JACKSONVILLE, FL, 
        32207, 904-421-1400 - 0 ($1.00) Debt, (File 333-187272 - Mar. 15) 
        (BR. 06A)

S-3     Sunshine Heart, Inc., 7651 ANAGRAM DRIVE, EDEN PRAIRIE, MN, 55344, 
        952-345-4200 - 0 ($75,000,000.00) Other, (File 333-187273 - Mar. 15) 
        (BR. 10B)

S-8     MITSUBISHI UFJ FINANCIAL GROUP INC, 7-1 MARUNOUCHI 2-CHOME, CHIYODA-KU, 
        TOKYO, M0, 100-8330, 2125301784 - 0 ($26,736,000.00) Equity, 
        (File 333-187274 - Mar. 15) (BR. 12A)

F-3ASR  COCA COLA FEMSA SAB DE CV, GUILLERMO GONZALEZ CAMARENA NO. 600, 
        COL. CENTRO DE CIUDAD SANTA FE, DELEGACION ALVARO OB, O5, DF 01210, 
        5255335300 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-187275 - Mar. 15) (BR. 09B)

S-3     EXTERRAN PARTNERS, L.P., 4444 BRITTMORE ROAD, HOUSTON, TX, 77041-8004, 
        713-335-7000 - 0 ($23,671,250.00) Other, (File 333-187284 - Mar. 15) 
        (BR. 02B)

S-1     TRANSGENOMIC INC, 12325 EMMET ST, OMAHA, NE, 68164, 4027385480 - 
        24,900,000 ($12,201,000.00) Equity, (File 333-187285 - Mar. 15) 
        (BR. 10B)

S-8     MTS SYSTEMS CORP, 14000 TECHNOLOGY DR, EDEN PRAIRIE, MN, 55344-2290, 
        6129374000 - 1,300,000 ($54.94) Equity, (File 333-187287 - Mar. 15) 
        (BR. 10B)

S-3D    FIRST COMMONWEALTH FINANCIAL CORP /PA/, OLD COURTHOUSE SQUARE, 
        22 N SIXTH ST, INDIANA, PA, 15701, 7243497220 - 
        5,000,000 ($37,350,000.00) Equity, (File 333-187288 - Mar. 15) (BR. 07B)

S-3     FUELCELL ENERGY INC, 3 GREAT PASTURE RD, DANBURY, CT, 06813, 
        2038256000 - 3,526,764 ($3,415,670.93) Equity, (File 333-187290 - 
        Mar. 15) (BR. 10A)

S-3     ARROW FINANCIAL CORP, 250 GLEN ST, GLENS FALLS, NY, 12801, 
        5187451000X299 - 500,000 ($12,277,500.00) Equity, (File 333-187293 - 
        Mar. 15) (BR. 07C)

S-8     James River Coal CO, 901 E. BYRD STREET, SUITE 1600, RICHMOND, VA, 
        23219, 804-780-3000 - 1,000,000 ($2,560,000.00) Equity, 
        (File 333-187297 - Mar. 15) (BR. 09A)

F-3     RDA Microelectronics, Inc., 6/F, BUILDING 4, 690 BIBO ROAD, 
        PUDONG DISTRICT, SHANGHAI, F4, 201203, (86-21) 5027-1108 - 
        0 ($108,414,145.50) ADRs/ADSs, (File 333-187303 - Mar. 15) (BR. 10B)

F-3     Fly Leasing Ltd, WEST PIER, DUN LAOGHAIRE, COUNTY DUBLIN, L2, 00000, 
        353 1 231-1900 - 0 ($32,011,386.60) Equity, (File 333-187305 - Mar. 15) 
        (BR. 06B)

S-3ASR  AVISTA CORP, 1411 E MISSION AVE, SPOKANE, WA, 99202, 5094890500 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-187306 - Mar. 15) 
        (BR. 02B)

S-3ASR  Santander Holdings USA, Inc., 1130 BERKSHIRE BLVD, WYOMISSING, PA, 
        19610, 610-320-8400 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-187307 - Mar. 15) (BR. 12A)

S-1     Universal Technology Systems Corp., 4073 SOUTH TAMIAMI TRAIL, SARASOTA, 
        FL, 34231, 941-400-4225 - 3,000,000 ($33,000.00) Equity, 
        (File 333-187308 - Mar. 15) (BR. )

S-1     TIAA REAL ESTATE ACCOUNT, 730 THIRD AVE, NEW YORK, NY, 10017, 
        2124909000 - 0 ($1,000,000,000.00) Other, (File 333-187309 - Mar. 15) 
        (BR. 08C)

S-8     BROADVISION INC, 1700 SEAPORT BLVD.,, SUITE 210, REDWOOD CITY, CA, 
        94063, 6503311000 - 137,726 ($1,384,146.30) Equity, (File 333-187310 - 
        Mar. 15) (BR. 03C)

S-8     GLU MOBILE INC, 45 FREMONT STREET, SUITE 2800, SAN FRANCISCO, CA, 
        94105, 415-800-6100 - 960,221 ($2,075,463.00) Equity, 
        (File 333-187311 - Mar. 15) (BR. 03A)

S-8     IPASS INC, 3800 BRIDGE PARKWAY, REDWOOD SHORES, CA, 94065, 6502324115 - 
        3,942,173 ($7,825,213.41) Equity, (File 333-187312 - Mar. 15) (BR. 03C)

S-1     Cactus Ventures, Inc., 123 W NYE LANE, STE 129, CARSON CITY, NV, 89706, 
        831-770-0217 - 0 ($26,754,578.00) Equity, (File 333-187313 - Mar. 15) 
        (BR. 03C)

S-8     KONA GRILL INC, 7150 EAST CAMELBACK ROAD, SUITE 220, SCOTTSDALE, AZ, 
        85251, 4809228100 - 750,000 ($6,532,500.00) Equity, (File 333-187314 - 
        Mar. 15) (BR. 05B)

S-1     Santo Mining Corp., AVENIDA SARASOTA NO. 20, 
        TORRE EMPRESARIAL AIRD, SUITE 1103, LA JULIA, SANTO DOMINGO, G8, 
        0000000000, 809-535-9443 - 8,950,000 ($1,432,000.00) Equity, 
        (File 333-187315 - Mar. 15) (BR. 09)

S-8     CORCEPT THERAPEUTICS INC, 149 COMMONWEALTH DRIVE, MENLO PARK, CA, 
        94025, 650.688.8803 - 3,992,570 ($8,025,065.70) Equity, 
        (File 333-187316 - Mar. 15) (BR. 01B)

S-1     Sunnyside Bancorp, Inc., 56 MAIN STREET, IRVINGTON, NY, 10533, 
        914-591-8000 - 0 ($7,935,000.00) Equity, (File 333-187317 - Mar. 15) 
        (BR. )

S-11    Altisource Residential Corp, 14A & 14C STRAND STREET, FREDERIKSTED, VI, 
        00840, 770-612-7007 - 0 ($100,000,000.00) Equity, (File 333-187318 - 
        Mar. 15) (BR. 08)

S-4     LAKELAND BANCORP INC, 250 OAK RIDGE RD, OAK RIDGE, NJ, 07438, 
        9736972000 - 0 ($1.00) Equity, (File 333-187319 - Mar. 15) (BR. 07B)

S-3ASR  LINCOLN NATIONAL CORP, 150 N RADNOR CHESTER RD, RADNOR, PA, 19087, 
        4845831475 - 10,000,000 ($10,000,000.00) Other, (File 333-187320 - 
        Mar. 15) (BR. 01A)

S-8     PROOFPOINT INC, 892 ROSS DRIVE, SUNNYVALE, CA, 94089, 408-517-4710 - 
        0 ($28,549,715.00) Equity, (File 333-187321 - Mar. 15) (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

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

4Licensing Corp                         NY       1.01,2.01,9.01       02/14/13

ABERCROMBIE & FITCH CO /DE/             DE       7.01,9.01            03/13/13

ABRAXAS PETROLEUM CORP                  NV       2.02,9.01            03/15/13

ACURA PHARMACEUTICALS, INC              NY       8.01,9.01            03/15/13

AEROPOSTALE INC                                  2.02,9.01            03/14/13

ALLIANCE DATA SYSTEMS CORP              DE       7.01,9.01            03/15/13

AMAG PHARMACEUTICALS INC.               DE       5.02,7.01,9.01       03/15/13

AMBAC FINANCIAL GROUP INC               DE       8.01                 03/14/13

AMERICAN BIO MEDICA CORP                NY       1.01                 03/12/13

AMERICAN EXPRESS CO                     NY       7.01                 03/15/13

American Express Receivables Financin   DE       8.01,9.01            03/14/13

AMERICAN INTERNATIONAL VENTURES INC /   DE       1.01,9.01            03/13/13

AMERICAN JIANYE GREENTECH HOLDINGS, L   NV       4.01,9.01            03/15/13    AMEND

American Lorain CORP                    NV       5.02,9.01            03/15/13    AMEND

AMERICAN PACIFIC CORP                   DE       7.01,9.01            03/14/13

American Petroleum Tankers Parent LLC   DE       2.02,8.01,9.01       03/15/13

AMERICAN REALTY CAPITAL HEALTHCARE TR   MD       1.01,8.01,9.01       03/15/13

American Realty Capital Properties, I   MD       8.01,9.01            03/15/13

American Realty Capital Trust IV, Inc   MD       8.01,9.01            03/15/13

AMERICAN SCIENCE & ENGINEERING, INC.    MA       5.02,9.01            03/13/13

AMERICAN STATES WATER CO                CA       5.02,9.01            03/13/13

AMERICAN TOWER CORP /MA/                DE       1.01,1.02,2.03,9.01  03/15/13

AMERIGAS PARTNERS LP                    DE       5.02                 03/15/13

AMERINST INSURANCE GROUP LTD            D0       2.02,9.01            03/15/13

AMP Holding Inc.                        NV       1.01,2.01,2.03,3.02, 03/13/13
                                                 9.01
          
Ampio Pharmaceuticals, Inc.             DE       7.01,9.01            03/11/13

AMREP CORP.                             OK       2.02,9.01            03/15/13

Anoteros, Inc.                          NV       4.01,9.01            03/12/13

APACHE CORP                             DE       5.02                 03/15/13

Applied Minerals, Inc.                  DE       5.02,9.01            03/11/13

ARRHYTHMIA RESEARCH TECHNOLOGY INC /D   DE       1.01,2.03,7.01       03/14/13

ARRIS GROUP INC                         DE       7.01,9.01            03/15/13

ASHFORD HOSPITALITY TRUST INC           MD       7.01,9.01            03/15/13

ASHLAND INC.                            KY       1.01,1.02,2.03,9.01  03/14/13

ASSISTED LIVING CONCEPTS INC            NV       2.02,9.01            03/14/13

ASSOCIATED BANC-CORP                    WI       5.03,9.01            03/12/13

ASSOCIATED MATERIALS, LLC               DE       8.01,9.01            03/15/13

ASSURANCEAMERICA CORP                   NV       5.03,8.01,9.01       03/11/13

Atlas Financial Holdings, Inc.          E9       8.01,9.01            03/14/13

ATP OIL & GAS CORP                      TX       8.01                 03/15/13

AURORA DIAGNOSTICS HOLDINGS LLC                  5.02                 03/11/13

AV Homes, Inc.                          DE       2.02,9.01            03/14/13

BANK OF AMERICA CORP /DE/               DE       5.02,9.01            03/11/13

BB&T CORP                               NC       8.01,9.01            03/15/13

BeesFree, Inc.                          NV       1.01,2.03,3.02,9.01  03/13/13

BEHRINGER HARVARD MULTIFAMILY REIT I             7.01,9.01            03/15/13

BIOSANTE PHARMACEUTICALS INC            DE       5.02,5.07,8.01,9.01  03/15/13

Biostar Pharmaceuticals, Inc.           MD       1.01,3.02,9.01       03/11/13

Bloomin' Brands, Inc.                   DE       5.02                 03/13/13

BLUCORA, INC.                           DE       1.01,2.03,3.02,7.01, 03/15/13
                                                 9.01
          
BLYTH INC                               DE       5.02,9.01            03/12/13

BLYTH INC                               DE       2.02                 03/14/13

BROADSOFT, INC.                         DE       2.02,9.01            03/15/13

BROWN SHOE CO INC                       NY       2.02,9.01            03/15/13

BRT REALTY TRUST                        MA       5.02,5.07            03/14/13

BUTLER NATIONAL CORP                    DE       2.02,9.01            03/15/13

CABELAS INC                             DE       7.01,9.01            03/15/13

CADENCE PHARMACEUTICALS INC                      5.02                 03/13/13

CALLIDUS SOFTWARE INC                   DE       1.01,3.03,5.02,9.01  03/13/13

CAPITAL ONE FINANCIAL CORP              DE       7.01,9.01            03/14/13

CAPITAL ONE FINANCIAL CORP              DE       7.01,9.01            03/15/13

CapLease, Inc.                                   1.01,5.03,9.01       03/15/13

CAPSTEAD MORTGAGE CORP                  MD       7.01,9.01            03/15/13

CARDICA INC                             DE       8.01,9.01            03/15/13

Cardium Therapeutics, Inc.              DE       8.01,9.01            03/14/13

CARNIVAL CORP                           DE       2.02,9.01            03/15/13

CENTERPOINT ENERGY INC                           7.01,9.01            03/15/13

CHAMPION INDUSTRIES INC                 WV       2.02,9.01            03/15/13

CHARTER COMMUNICATIONS, INC. /MO/       DE       1.01,2.03,8.01,9.01  03/14/13

CHASE BANK USA, NATIONAL ASSOCIATION    DE       8.01,9.01            03/15/13

CHESAPEAKE ENERGY CORP                  OK       7.01,9.01            03/15/13

CHINA HGS REAL ESTATE INC.              F4       1.01,9.01            03/14/13

CHINDEX INTERNATIONAL INC               DE       2.02,7.01,9.01       03/15/13

CIGNA CORP                              DE       7.01                 03/15/13

CION Investment Corp                    MD       2.02,9.01            03/14/13

Citi Trends Inc                                  2.02,9.01            03/15/13

CLEAN DIESEL TECHNOLOGIES INC           DE       2.02,7.01,9.01       03/15/13

CLIFFS NATURAL RESOURCES INC.           OH       5.02                 03/11/13

COAST DISTRIBUTION SYSTEM INC           DE       5.02,9.01            03/12/13

COFFEE HOLDING CO INC                   NV       2.02,8.01,9.01       03/15/13

COHU INC                                DE       2.01,9.01            12/31/12    AMEND

CombiMatrix Corp                        DE       3.02                 03/13/13

Comstock Mining Inc.                    NV       8.01,9.01            03/13/13

CONCUR TECHNOLOGIES INC                 DE       5.07                 03/13/13

CONSUMERS BANCORP INC /OH/              OH       8.01,9.01            03/15/13

CORTLAND BANCORP INC                    OH       2.02,9.01            03/15/13

CRA INTERNATIONAL, INC.                 MA       1.01,9.01            03/11/13

CREATIVE LEARNING Corp                  DE       5.02                 03/14/13

CREATIVE LEARNING Corp                  DE       4.01                 02/28/13

CVR PARTNERS, LP                        DE       5.02                 03/11/13

CYMER INC                               NV       5.02,9.01            03/12/13

CYTOMEDIX INC                           DE       1.01,5.02,9.01       03/12/13

DAKOTA PLAINS HOLDINGS, INC.            NV       7.01,9.01            03/15/13

DATARAM CORP                            NJ       5.03,5.07,8.01       03/13/13    AMEND

Delek US Holdings, Inc.                          7.01,9.01            03/15/13

DESTINATION XL GROUP, INC.              DE       2.02,9.01            03/15/13

Discover Financial Services             DE       8.01,9.01            03/14/13

DISCOVERY LABORATORIES INC /DE/         DE       9.01                 02/13/13    AMEND

DOCUMENT SECURITY SYSTEMS INC           NY       1.01,8.01,9.01       03/15/13

DogInn Inc.                             NV       4.01,9.01            02/28/13

Dorman Products, Inc.                   PA       8.01                 03/15/13

DUKE REALTY CORP                        IN       1.01,9.01            03/12/13

DYNACQ HEALTHCARE INC                   NV       9.01                 03/07/13    AMEND

DYNEGY INC.                             DE       1.01,9.01            03/14/13

Edgen Group Inc.                        DE       2.02,9.01            03/14/13    AMEND

Employers Holdings, Inc.                NV       5.02                 03/11/13

ENBRIDGE ENERGY PARTNERS LP             DE       8.01,9.01            03/14/13

ENDURANCE SPECIALTY HOLDINGS LTD                 1.01,9.01            03/15/13

EQUAL ENERGY LTD.                       A0       8.01,9.01            03/14/13

EQUAL ENERGY LTD.                       A0       7.01                 12/31/12

ESP Resources, Inc.                     NV       5.07                 03/08/13

EWaste Systems, Inc.                    NV       8.01,9.01            03/10/13

EXTERRAN PARTNERS, L.P.                 DE       9.01                 03/07/13    AMEND

Fabrinet                                E9       1.01,8.01,9.01       03/14/13

FBR & Co.                               VA       5.02,9.01            03/11/13

FIFTH THIRD BANCORP                     OH       7.01,9.01            03/14/13    AMEND

FIRST BANCORP /NC/                      NC       8.01,9.01            03/15/13

FIRST DEFIANCE FINANCIAL CORP           OH       5.02                 03/11/13

FIRST NATIONAL CORP /VA/                VA       5.02                 03/13/13

FLOTEK INDUSTRIES INC/CN/               DE       5.02,9.01            03/11/13

FOREVER VALUABLE COLLECTIBLES, INC.     CO       4.01,9.01            03/08/13    AMEND

FUQI INTERNATIONAL, INC.                DE       8.01                 03/15/13

Fuse Science, Inc.                      NV       3.02,9.01            03/14/13

G III APPAREL GROUP LTD /DE/            DE       1.01,5.02,5.03,8.01, 03/13/13
                                                 9.01
          
GALLAGHER ARTHUR J & CO                 DE       5.02                 03/15/13

GENSPERA INC                            DE       8.01,9.01            03/14/13

GEORGIA POWER CO                        GA       8.01,9.01            03/12/13

GLIMCHER REALTY TRUST                   MD       5.02                 03/14/13

GLOBAL LINES INC                        NV       5.03,9.01            03/07/13

GLOBALWISE INVESTMENTS INC              NV       1.01,2.03,9.01       03/11/13

GNC HOLDINGS, INC.                      DE       5.02                 03/12/13

GOLDMAN SACHS GROUP INC                 DE       8.01                 03/14/13

Greektown Superholdings, Inc.           DE       8.01,9.01            03/12/13

HANGER, INC.                            DE       5.02                 03/15/13

HARMONIC INC                            DE       5.02                 03/13/13

HARRIS & HARRIS GROUP INC /NY/          NY       8.01,9.01            03/15/13

HEALTH NET INC                          DE       7.01                 03/15/13

HEALTHCARE REALTY TRUST INC             MD       8.01                 03/15/13

HESKA CORP                              DE       5.02                 03/15/13

HIBBETT SPORTS INC                               2.02,5.02,7.01,9.01  03/14/13

Hilltop Holdings Inc.                   MD       2.02,9.01            03/15/13

HORNBECK OFFSHORE SERVICES INC /LA      DE       1.01,8.01,9.01       03/14/13

HOVNANIAN ENTERPRISES INC               DE       3.03,5.03,5.07,9.01  03/12/13

HPIL HOLDING                            NV       3.02                 03/15/13

HUNTINGTON BANCSHARES INC/MD            MD       8.01,9.01            03/14/13

HURCO COMPANIES INC                     IN       5.02,5.07,9.01       03/14/13

ICAHN ENTERPRISES L.P.                  DE       2.02,9.01            03/15/13

INLAND REAL ESTATE CORP                 MD       8.01,9.01            03/15/13

INNOVATIVE FOOD HOLDINGS INC            FL       1.01,2.01,2.03,9.01  03/08/13

InspireMD, Inc.                         DE       8.01,9.01            03/15/13

INTEGRATED ENVIRONMENTAL TECHNOLOGIES   NV       8.01,9.01            03/11/13

INTELSAT S.A.                           N4       5.02,9.01            03/11/13

Intermec, Inc.                          DE       8.01                 03/13/13

INTERPUBLIC GROUP OF COMPANIES, INC.    DE       3.02,8.01,9.01       03/15/13

Invesco Mortgage Capital Inc.           MD       1.01,2.03,3.02,9.01  03/12/13

IPG PHOTONICS CORP                      DE       5.02,8.01            03/15/13

IROBOT CORP                             DE       1.01,9.01            03/12/13

JPMORGAN CHASE & CO                     DE       8.01,9.01            03/14/13

KALEX CORP                              DE       5.02                 03/11/13

KAMAN CORP                              CT       7.01,9.01            03/15/13

KAPSTONE PAPER & PACKAGING CORP         DE       7.01,9.01            03/15/13

KCAP Financial, Inc.                    DE       2.02,8.01,9.01       03/15/13

KEYCORP /NEW/                           OH       8.01,9.01            03/14/13

KID BRANDS, INC                         NJ       5.02,8.01,9.01       03/14/13

KINDER MORGAN, INC.                     DE       5.07                 03/15/13    AMEND

KVH INDUSTRIES INC \DE\                 DE       8.01                 03/15/13

LAKELAND INDUSTRIES INC                 DE       1.02,9.01            03/14/13

LANTRONIX INC                           DE       7.01,9.01            03/15/13

Lehigh Gas Partners LP                  DE       5.02,7.01,9.01       03/12/13

LEVI STRAUSS & CO                       DE       1.01,2.03,8.01,9.01  03/14/13

LEXINGTON REALTY TRUST                  MD       8.01,9.01            03/11/13

LIFETIME BRANDS, INC                    DE       5.02,9.01            03/12/13

LIHUA INTERNATIONAL INC.                DE       2.02,9.01            03/15/13

Lithium Corp                                     1.01,3.02,7.01,9.01  03/12/13

Lithium Exploration Group, Inc.         NV       8.01,9.01            02/27/13

LNB BANCORP INC                         OH       1.01,3.02,7.01,9.01  03/11/13

LOCAL Corp                              DE       1.01,9.01            11/01/12    AMEND

LogMeIn, Inc.                           DE       5.03,9.01            03/12/13

Lone Pine Resources Inc.                DE       5.02                 03/13/13

LORILLARD, INC.                         DE       7.01                 03/13/13

M LINE HOLDINGS INC                     NV       5.03,9.01            03/12/13

Manitex International, Inc.             MI       7.01,9.01            03/15/13

Matador Resources Co                    TX       2.02,7.01,9.01       03/15/13

MDC PARTNERS INC                        A6       7.01,8.01,9.01       03/15/13

MEDICINES CO /DE                        DE       9.01                 01/04/13    AMEND

Medytox Solutions, Inc.                 NV       1.01,2.03,8.01       01/25/13

Meiguo Ventures I, Inc.                          1.01,2.01,3.02,3.03,   03/07/13
                                                 5.01,5.02,5.03,5.06,
                                                 9.01

MENDOCINO BREWING CO INC                CA       1.01                 03/11/13

MERRILL LYNCH DEPOSITOR INC PREFERRED   DE       8.01,9.01            03/14/13

MERRILL LYNCH DEPOSITOR INC PREFERRED   DE       8.01,9.01            03/14/13

MGIC INVESTMENT CORP                    WI       1.01,8.01,9.01       03/12/13

MIAMI DAYS CORP.                        NV       5.02                 03/15/13

MICROSTRATEGY INC                       DE       2.01                 03/15/13

MICROVISION INC                         DE       5.02                 03/11/13

MID AMERICA APARTMENT COMMUNITIES INC   TN       5.02,9.01            03/12/13

MIDSOUTH BANCORP INC                    LA       2.01,9.01            12/28/12    AMEND

NETSCOUT SYSTEMS INC                    DE       5.02                 03/12/13

Neuralstem, Inc.                        DE       2.02,9.01            03/15/13

NEW ULM TELECOM INC                     MN       2.01,9.01            12/31/12    AMEND

NEXCORE HEALTHCARE CAPITAL CORP         DE       1.01,5.02            03/15/13

NEXSTAR BROADCASTING GROUP INC          DE       8.01,9.01            03/15/13

NightCulture, Inc.                      NV       4.01,9.01            03/05/13    AMEND

NORWOOD FINANCIAL CORP                  PA       8.01,9.01            03/15/13

NTS REALTY HOLDINGS LP                  DE       8.01,9.01            03/15/13

Oconee Federal Financial Corp.                   8.01,9.01            03/15/13

OCWEN FINANCIAL CORP                    FL       2.01,9.01            12/27/12    AMEND

OGE ENERGY CORP.                        OK       1.01,7.01,8.01,9.01  03/14/13

OphthaliX, Inc.                         DE       8.01,9.01            03/15/13

OptimizeRx Corp                         NV       2.02,9.01            03/14/13

OVERSEAS SHIPHOLDING GROUP INC          DE       7.01,9.01            03/15/13

PACIFIC SOFTWARE, INC.                  NV       5.02,9.01            03/15/13

PARK CITY GROUP INC                              1.01,3.02,7.01,8.01, 03/14/13
                                                 9.01
          
PAWS Pet Company, Inc.                  IL       1.01,2.01,3.02,9.01  03/09/13

Pebblebrook Hotel Trust                 MD       3.03,5.03,7.01,8.01, 03/11/13
                                                 9.01
          
PHL VARIABLE INSURANCE CO /CT/                   4.02                 03/15/13    AMEND

PHOENIX COMPANIES INC/DE                DE       2.02,9.01            03/15/13

PHOENIX COMPANIES INC/DE                DE       4.02                 03/15/13    AMEND

Pinnacle Foods Finance LLC              DE       7.01                 03/15/13

PLY GEM HOLDINGS INC                    DE       2.02,9.01            03/15/13

PNC FINANCIAL SERVICES GROUP, INC.      PA       5.02                 03/15/13

POLYCOM INC                             DE       5.02,9.01            03/11/13

POLYMEDIX, INC                          DE       3.03,5.07,9.01       03/15/13

POZEN INC /NC                                    5.02                 03/13/13

PPL Corp                                         2.03,8.01,9.01       03/12/13

Probe Manufacturing Inc                 NV       1.01,9.01            03/13/13

PROGENICS PHARMACEUTICALS INC           DE       2.02,9.01            03/15/13

PROSPECT CAPITAL CORP                   MD       1.01,2.03,9.01       03/15/13

PUBLIC SERVICE ENTERPRISE GROUP INC     NJ       7.01,9.01            03/15/13

PULTEGROUP INC/MI/                      MI       1.01,3.03,9.01       03/14/13

PVH CORP. /DE/                          DE       2.05                 03/11/13

QUICKSILVER RESOURCES INC               DE       2.02,4.02            03/15/13

Raptor Pharmaceutical Corp              DE       2.02,9.01            03/14/13

RAYONIER INC                            NC       5.02                 03/15/13

RED TRAIL ENERGY, LLC                   ND       5.02                 03/11/13

Resolute Forest Products Inc.           DE       2.05,2.06,9.01       03/12/13

RESOURCE AMERICA, INC.                  DE       5.07                 03/12/13

Resource Capital Corp.                  MD       5.02                 03/12/13

RESPECT YOUR UNIVERSE, INC.             NV       5.02                 03/11/13

Revel AC, Inc.                          DE       1.01,9.01            03/13/13

ROADSHIPS HOLDINGS, INC.                DE       3.02,5.02,9.01       03/12/13

ROFIN SINAR TECHNOLOGIES INC            DE       5.07                 03/14/13

Rosetta Resources Inc.                  DE       7.01                 03/15/13

ROTECH HEALTHCARE INC                   DE       1.01,8.01,9.01       03/15/13

ROYAL GOLD INC                          DE       8.01,9.01            03/14/13

Sabra Health Care REIT, Inc.            MD       8.01,9.01            03/14/13

SAKS INC                                TN       8.01,9.01            03/15/13

SANDRIDGE ENERGY INC                    DE       5.02,9.01            03/15/13

SANDRIDGE ENERGY INC                    DE       8.01,9.01            03/15/13

SANMINA CORP                            DE       5.02,5.07,8.01,9.01  03/11/13

Seagate Technology plc                  L2       7.01                 03/15/13

SELECT MEDICAL HOLDINGS CORP                     7.01,9.01            03/15/13

SENOMYX INC                             DE       2.02,9.01            03/15/13

SENOMYX INC                             DE       5.02,9.01            03/12/13

ServisFirst Bancshares, Inc.            DE       3.02                 03/15/13

SHILOH INDUSTRIES INC                   DE       5.07                 03/13/13

Shire plc                                        8.01,9.01            03/15/13

Signature Exploration & Production Co   DE       4.01                 03/08/13

Silver Falcon Mining, Inc.              DE       8.01                 03/15/13

SINCLAIR BROADCAST GROUP INC            MD       8.01,9.01            03/15/13

Skkynet Cloud Systems, Inc.             NV       4.01,9.01            03/01/13    AMEND

SM Energy Co                            DE       7.01,9.01            03/14/13

SMTC CORP                               DE       2.02,4.02,9.01       03/13/13

Solar Power, Inc.                       CA       1.01,9.01            03/12/13

SOUTHWEST IOWA RENEWABLE ENERGY, LLC    IA       7.01,9.01            03/15/13

SPAR GROUP INC                          DE       4.01,9.01            03/13/13

SPECTRAL CAPITAL Corp                            1.01,2.01,3.02,9.01  03/10/13

STANDARD PARKING CORP                   DE       2.02,7.01,9.01       03/08/13    AMEND

STATE BANK FINANCIAL CORP               GA       5.02,8.01,9.01       01/01/13

STATE BANK FINANCIAL CORP               GA       5.02,8.01,9.01       10/30/12    AMEND

STONE ENERGY CORP                       DE       7.01,9.01            03/15/13

STONEMOR PARTNERS LP                    DE       2.02,9.01            03/15/13

STRATEGIC INTERNET INVESTMENTS INC      DE       1.01,3.02,9.01       03/15/13

Stream Global Services, Inc.            DE       5.02                 03/12/13

STURM RUGER & CO INC                    DE       8.01,9.01            03/15/13

Sucampo Pharmaceuticals, Inc.                    2.02,7.01,9.01       03/13/13

SUTRON CORP                             VA       8.01,9.01            03/06/13

SYNERGY PHARMACEUTICALS, INC.           DE       8.01,9.01            03/15/13

Targa Resources Partners LP             DE       9.01                 12/31/12    AMEND

TAUBMAN CENTERS INC                     MI       3.03,5.03,8.01,9.01  03/15/13

TEAM HEALTH HOLDINGS INC.               DE       5.02                 03/14/13

TEL INSTRUMENT ELECTRONICS CORP         NJ       7.01                 03/14/13

TELIK INC                               DE       2.02,9.01            03/15/13

TESSERA TECHNOLOGIES INC                DE       8.01,9.01            03/15/13

TherapeuticsMD, Inc.                    NV       1.01,9.01            03/14/13

THRESHOLD PHARMACEUTICALS INC           DE       5.02                 03/13/13

TIAA REAL ESTATE ACCOUNT                NY       2.02,7.01,9.01       03/15/13

TIDEWATER INC                           DE       8.01,9.01            03/13/13

TMX Finance LLC                         DE       8.01,9.01            03/15/13

Tower Group International, Ltd.         D0       5.02,9.01            03/13/13

Tower International, Inc.               DE       8.01,9.01            03/15/13

TOYS R US INC                           DE       5.02                 03/11/13

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
   
TUESDAY MORNING CORP/DE                 DE       5.02                 03/12/13    AMEND

ULURU INC.                              NV       1.01,3.02,7.01,9.01  03/15/13

UNION PACIFIC CORP                      UT       8.01,9.01            03/12/13

United Community Bancorp                         8.01,9.01            03/14/13

UNITED COMMUNITY BANKS INC              GA       8.01                 03/15/13

UNITED COMMUNITY FINANCIAL CORP         OH       2.02,9.01            03/15/13

UNIVERSAL HOSPITAL SERVICES INC         MN       2.02,7.01,9.01       03/15/13

URANERZ ENERGY CORP.                    NV       4.02,7.01,9.01       03/13/13    AMEND

URANIUM RESOURCES INC /DE/              DE       2.02,9.01            03/15/13

USA Compression Partners, LP                     5.02                 03/15/13

UWHARRIE CAPITAL CORP                   NC       8.01,9.01            03/15/13

VALHI INC /DE/                          DE       2.02,7.01,9.01       03/15/13

VERIFONE SYSTEMS, INC.                  DE       5.02,7.01,9.01       03/11/13

VICAL INC                               DE       5.02,9.01            03/15/13

Viggle Inc.                             DE       1.01,2.03,3.02,9.01  03/11/13

VISTA GOLD CORP                         B0       2.02,7.01,9.01       03/13/13

VOLT INFORMATION SCIENCES, INC.         NY       1.01,7.01,9.01       03/14/13

WALTER INVESTMENT MANAGEMENT CORP       MD       1.01,2.03,9.01       03/11/13

WARWICK VALLEY TELEPHONE CO             NY       1.01,1.02,2.03       03/11/13

WEST MARINE INC                         DE       7.01,9.01            03/14/13

Western Gas Equity Partners, LP         DE       5.02                 03/12/13

Western Gas Partners LP                 DE       5.02                 03/12/13

WFRBS COMMERCIAL MORTGAGE TRUST 2013-   NC       8.01,9.01            03/15/13

WHIRLPOOL CORP /DE/                     DE       5.02,9.01            03/14/13

WHITE MOUNTAIN TITANIUM CORP            NV       3.02                 03/11/13

WHITEWAVE FOODS Co                      DE       5.02                 03/11/13

WILLIS LEASE FINANCE CORP               DE       2.02,7.01,9.01       03/11/13

WIRELESS TELECOM GROUP INC              NJ       8.01                 03/15/13

WORLDS INC                              NJ       1.01,2.03,3.02,9.01  03/13/13

WORLDS ONLINE INC.                      DE       1.01,2.03,3.02,9.01  03/13/13

XUNNA INFORMATION TECHNOLOGY INC.       NV       4.01,5.03,9.01       03/15/13

ZBB ENERGY CORP                         WI       1.01,8.01,9.01       03/13/13

ZHONGPIN INC.                           DE       2.02,9.01            03/14/13

ZIMMER HOLDINGS INC                     DE       5.02                 03/11/13

ZIONS BANCORPORATION /UT/               UT       8.01,9.01            03/15/13

ZIPCAR INC                                       2.01,3.01,3.03,5.01, 03/14/13 
                                                 5.02,5.03,8.01,9.01
        
ZOGENIX, INC.                           DE       2.02,9.01            03/15/13

http://www.sec.gov/news/digest/2013/dig031813.htm


Modified: 03/18/2013