SEC News Digest

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Commission announcements

SEC Announces Agenda for Fixed Income Roundtable

The Securities and Exchange Commission today announced the agenda for its upcoming roundtable to discuss potential ways to improve the transparency and efficiency of fixed income markets.

The roundtable, announced earlier this month, will take place on April 16 in Washington D.C. Panelists will be announced at a later date.

The roundtable will be divided into four panels.

The first panel will address current market structure for municipal securities, and the second panel will discuss current market structure for corporate bonds and asset-backed securities.

The third panel will focus on whether potential steps can be taken to improve the transparency, liquidity, or efficiency of the market structure for municipal securities. The fourth panel will focus on whether potential steps can be taken to improve the transparency, liquidity, or efficiency of the market structure for corporate bonds and asset-backed securities. (Press Rel. 2013-48)

Commission Meetings

Closed Meeting on Thursday, April 4, 2013 at 3:45 p.m.

The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings.

At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400.

ENFORCEMENT PROCEEDINGS

Delinquent Filer’s Stock Registration Revoked

The registration of the registered securities of Skylyft Media Group, Inc., has been revoked. It had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, it 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 revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-69248; File No. 3-15218)

Jorge Gomez Sanctioned

Jorge Gomez (Gomez) has been barred from the securities industry. The sanction was ordered in an administrative proceeding before an administrative law judge, following a January 2013 injunction against violations of the antifraud provisions of the federal securities laws. His wrongdoing included obtaining more than $4.3 million from an advisory client and concealing the misappropriation by providing fraudulent account statements that overstated the client’s account value and misstated securities transactions and holdings. Gomez also provided fraudulent certificates for fictitious securities purportedly held by the client and created a fake customer service hotline to field calls from the client. (Rel. IA-3572; File No. 3-15205)

In the Matter of David M. Decker, Jr.

The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against David M. Decker, Jr. (“David Decker”). In the Order, the Commission finds that David Decker made materially false and misleading statements to investors in connection with two distinct but related Ponzi schemes orchestrated by Anthony Zufelt (Zufelt). From approximately June 2005 through June 2006, Zufelt operated a Ponzi scheme through his company Zufelt, Inc. (ZI), and ran a second fraudulent scheme through Silver Leaf Investments, Inc. (“SLI”) between July 2006 and December 2006. The Order finds that, in connection with these schemes, David Decker made materially false and misleading statements to investors about, among other things, the profitability of ZI and SLI, the ability of ZI and SLI to repay investors, the use of investor funds, and the security of the investments. The Order finds that David Decker acted as an unregistered broker-dealer and sold unregistered ZI and SLI securities.

Based on the above, the Order bars David Decker from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent, and bars him from participating in any offering of a penny stock, including acting as a promoter, finder, consultant, agent or other person who engaged in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. David Decker consented to the issuance of the Order without admitting or denying any of the findings except he admitted the entry of the final judgment. (Rel. 34-69252; File No. 3-15258)

SELF-REGULATORY ORGANIZATIONS

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by The NASDAQ Stock Market LLC relating to routing fees (SR-NASDAQ-2013-051) 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 25, 2013. (Rel. 34-69231)

SECURITIES ACT REGISTRATIONS

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.


S-3     EAGLE ROCK ENERGY PARTNERS L P, THE WEDGE TOWER, 
        1415 LOUISIANA STREET, SUITE 2700, HOUSTON, TX, 77002, 281-408-1200 - 
        0 ($272,567,884.00) Other, (File 333-187553 - Mar. 27) (BR. 04B)

S-1     MOTIVATING THE MASSES INC, 6709 LA TIJERA BOULEVARD, #406, LOS ANGELES, 
        CA, 90045, 2,000,000 ($3,000,000.00) Equity, (File 333-187554 - 
        Mar. 27) (BR. 11)

S-4     Summit Materials, LLC, 2900 K STREET N.W., SUITE 100, 
        HARBOURSIDE NORTH TOWER BUILDING, WASHINGTON, DC, 20007, 2025032458 - 
        0 ($250,000,000.00) Non-Convertible Debt, (File 333-187556 - Mar. 27) 
        (BR. 06)

S-3ASR  NAVISTAR INTERNATIONAL CORP, 2701 NAVISTAR DRIVE, LISLE, IL, 60532, 
        331-332-5000 - 0 ($0.00) Debt, (File 333-187557 - Mar. 27) (BR. 05B)

S-8     ALCATEL LUCENT, 3 AVENUE OCTAVE GREARD, PARIS, I0, 75007, 33140761010 - 
        216,000 ($557,280.00) Equity, (File 333-187560 - Mar. 27) (BR. 11A)

S-3ASR  ESSEX PROPERTY TRUST INC, 925 EAST MEADOW DR, PALO ALTO, CA, 94303, 
        6504943700 - 0 ($0.00) Equity, (File 333-187561 - Mar. 27) (BR. 08B)

S-8     AEROPOSTALE INC, 1371 BROADWAY, 8TH FL., NEW YORK, NY, 10018, 
        2126464885 - 5,625,000 ($77,681,250.00) Equity, (File 333-187562 - 
        Mar. 27) (BR. 09B)

S-8     Bacterin International Holdings, Inc., 600 CRUISER LANE, BELGRADE, MT, 
        59714, 406-388-0480 - 3,000,000 ($2,550,000.00) Equity, 
        (File 333-187563 - Mar. 27) (BR. 01A)

S-4     BANK OF THE OZARKS INC, 17901 CHENAL PARKWAY, LITTLE ROCK, AR, 72223, 
        (501) 978-2265 - 0 ($95,518,000.00) Equity, (File 333-187564 - Mar. 27) 
        (BR. 07C)

S-3     CURRENCYSHARES CANADIAN DOLLAR TRUST, C/O GUGGENHEIM INVESTMENTS, 
        805 KING FARM BOULEVARD, SUITE 600, ROCKVILLE, MD, 20850, 
        301-296-5100 - 0 ($484,200,000.00) Other, (File 333-187566 - Mar. 27) 
        (BR. 08B)

S-8     TF FINANCIAL CORP, 3 PENNS TRAIL, NEWTOWN, PA, 18940, 2155794000 - 
        275,000 ($6,699,000.00) Equity, (File 333-187567 - Mar. 27) (BR. 07C)

N-2     KCAP Financial, Inc., 295 MADISON AVENUE, 6TH FLOOR, NEW YORK, NY, 
        10017, 212-455-8300 - 0 ($250,000,000.00) Equity, (File 333-187570 - 
        Mar. 27) (BR. 22)

S-8     SOLARCITY CORP, 3055 CLEARVIEW WAY, SAN MATEO, CA, 94402, 
        650-638-1028 - 2,996,530 ($52,649,032.10) Equity, (File 333-187576 - 
        Mar. 27) (BR. 06C)

S-8     WAL MART STORES INC, 702 SOUTHWEST 8TH ST, BENTONVILLE, AR, 72716, 
        5012734000 - 0 ($730,600,000.00) Equity, (File 333-187577 - Mar. 27) 
        (BR. 02A)

F-1     QIWI plc, 12-14 KENNEDY AVE., KENNEDY BUSINESS CENTRE, OFFICE 203, 
        NICOSIA, G4, 1087, 01135722653390 - 0 ($100,000,000.00) ADRs/ADSs, 
        (File 333-187579 - Mar. 27) (BR. 02)

N-2     MONROE CAPITAL Corp, 311 SOUTH WACKER DRIVE, SUITE 6400, CHICAGO, IL, 
        60606, 312-258-8300 - 0 ($86,250,000.00) Equity, (File 333-187580 - 
        Mar. 27) (BR. 16)

S-4     ENCORE CAPITAL GROUP INC, 3111 CAMINO DEL RIO NORTH, SUITE 1300, 
        SAN DIEGO, CA, 92108, 877-445-4581 - 0 ($50,165,449.84) Equity, 
        (File 333-187581 - Mar. 27) (BR. 07B)

S-1     PHILLIPS 66 PARTNERS LP, 3010 BRIARPARK DRIVE, HOUSTON, TX, 77042, 
        855-283-9237 - 0 ($345,000,000.00) Equity, (File 333-187582 - Mar. 27) 
        (BR. )

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

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

ACCELLENT INC                                    2.02                 03/27/13

AeroGrow International, Inc.            NV       5.02                 03/21/13

AETNA INC /PA/                          PA       1.01,2.03,9.01       03/27/13

AGL RESOURCES INC                       GA       7.01,9.01            03/27/13

AGL RESOURCES INC                       GA       1.01,2.03,9.01       03/25/13

AGREE REALTY CORP                       DE       4.01,9.01            03/22/13

ALIGN TECHNOLOGY INC                    DE       1.01,2.03,9.01       03/22/13

Altisource Residential Corp                      9.01                 03/27/13

AMERICAN INTERNATIONAL GROUP INC        DE       5.02,9.01            03/21/13

American Mineral Group, Inc.            NV       8.01                 03/27/13

American Realty Capital Properties, I   MD       7.01,8.01,9.01       03/27/13

American Realty Capital Properties, I   MD       7.01,8.01,9.01       03/27/13    AMEND

ARBOR REALTY TRUST INC                  MD       1.01,9.01            03/22/13

ARRAY BIOPHARMA INC                     DE       1.01,9.01            03/27/13

ASTEA INTERNATIONAL INC                 DE       2.02,9.01            03/27/13

ATLANTIC AMERICAN CORP                  GA       2.02,9.01            03/26/13

AUDIOEYE INC                                     1.01,2.01,2.03,9.01  01/31/13

AUTHENTIDATE HOLDING CORP               DE       1.01,9.01            03/22/13

Azteca Acquisition Corp                 D8       1.01,2.03,8.01,9.01  03/22/13

BANCFIRST CORP /OK/                     OK       5.02                 03/12/13

BARD C R INC /NJ/                       NJ       8.01                 03/26/13

Bazaarvoice Inc                         DE       5.02,7.01            03/22/13

BERKSHIRE HILLS BANCORP INC             DE       8.01,9.01            03/26/13

BERKSHIRE HILLS BANCORP INC             DE       7.01,9.01            03/27/13

BioFuel Energy Corp.                             8.01,9.01            03/26/13

BIOMARIN PHARMACEUTICAL INC             DE       3.02                 03/21/13

BIOSPECIFICS TECHNOLOGIES CORP          DE       8.01,9.01            03/27/13

BOOKS A MILLION INC                     DE       2.02,9.01            03/25/13

BOYD GAMING CORP                        NV       5.03                 03/27/13

BRIGHT MOUNTAIN HOLDINGS, INC.          NV       8.01,9.01            03/25/13

Carbonite Inc                           DE       7.01,9.01            03/27/13

Casablanca Mining Ltd.                  NV       5.02,7.01,8.01,9.01  03/21/13

CATALYST PHARMACEUTICAL PARTNERS, INC   DE       8.01,9.01            03/27/13

CECO ENVIRONMENTAL CORP                 DE       1.01,2.03,9.01       03/22/13

CELL THERAPEUTICS INC                   WA       8.01,9.01            11/06/12

CenterState Banks, Inc.                 FL       7.01,9.01            03/27/13

CH ENERGY GROUP INC                     NY       8.01,9.01            03/27/13

CHEMBIO DIAGNOSTICS, INC.               NV       8.01,9.01            03/27/13

CHILDRENS PLACE RETAIL STORES INC                5.02                 03/27/13

China Teletech Holding Inc              FL       5.02,9.01            01/24/13

CIRCLE STAR ENERGY CORP.                NV       4.01,5.02,9.01       03/27/13

CIRTRAN CORP                            NV       3.02,9.01            12/20/12

CITIGROUP INC                           DE       9.01                 03/27/13

CITIGROUP INC                           DE       9.01                 03/27/13

CNB FINANCIAL CORP/PA                   PA       1.01,5.02,7.01,9.01  03/26/13

CNO Financial Group, Inc.               DE       8.01,9.01            03/27/13

COMCAST CORP                            PA       1.01,3.03            03/27/13

COMPLIANCE SYSTEMS CORP                          2.01,3.02,5.01,5.06, 10/30/12    AMEND
                                                 9.01
          
CORE MOLDING TECHNOLOGIES INC           DE       2.02,9.01            03/26/13

CORE MOLDING TECHNOLOGIES INC           DE       1.01,2.03,9.01       03/27/13

CorMedix Inc.                           DE       2.02,9.01            03/27/13

COVER ALL TECHNOLOGIES INC              DE       8.01,9.01            03/26/13

CRANE CO /DE/                           DE       1.01,9.01            03/22/13

CSG SYSTEMS INTERNATIONAL INC           DE       1.01,7.01,9.01       03/26/13

CUBIC CORP /DE/                         DE       5.02                 03/21/13

Cyclacel Pharmaceuticals, Inc.          DE       2.02,9.01            03/27/13

DALECO RESOURCES CORP                   NV       1.01,3.02,9.01       03/25/13

Delta Tucker Holdings, Inc.             DE       2.02,9.01            03/27/13

DIEBOLD INC                             OH       5.02                 03/21/13

DIGITAL ALLY INC                                 2.02,9.01            03/26/13

Digital Development Group Corp          NV       5.02                 03/25/13

EASTERN VIRGINIA BANKSHARES INC         VA       2.02,9.01            03/26/13

EASTERN VIRGINIA BANKSHARES INC         VA       7.01,9.01            03/26/13

Echo Automotive, Inc.                   NV       7.01,9.01            03/27/13

EDAC TECHNOLOGIES CORP                  WI       8.01,9.01            03/26/13

ENERGY EDGE TECHNOLOGIES CORP.          NJ       5.02                 03/27/13

ENERGY FOCUS, INC/DE                    DE       2.02,9.01            03/27/13

EnerJex Resources, Inc.                 NV       7.01,9.01            03/27/13

EPL OIL & GAS, INC.                     DE       9.01                 10/31/12    AMEND

EPOCH HOLDING CORP                      DE       3.01,3.03,5.01,5.03, 03/27/13
                                                 9.01
          
EXA CORP                                MA       2.02,9.01            03/27/13

EXPERT GROUP, INC.                      NV       5.02                 03/26/12

FAIRCHILD SEMICONDUCTOR INTERNATIONAL   DE       5.02,8.01,9.01       03/21/13

FEDERAL HOME LOAN MORTGAGE CORP                  7.01,9.01            03/27/13

Feihe International Inc                 UT       2.02,9.01            03/27/13

FEMALE HEALTH CO                        WI       7.01,9.01            03/27/13

Fiesta Restaurant Group, Inc.           DE       1.01,9.01            03/21/13

FIRST CAPITAL BANCORP, INC.             VA       5.02                 03/25/13

FIRST WEST VIRGINIA BANCORP INC         WV       2.02,9.01            03/25/13

FIVE BELOW, INC                         PA       9.01                 03/27/13

FOREST CITY ENTERPRISES INC             OH       2.02,9.01            03/27/13

FOREST CITY ENTERPRISES INC             OH       2.02,9.01            03/27/13

Francesca's Holdings CORP                        7.01,9.01            03/26/13

FRANKLIN COVEY CO                       UT       1.01,2.03,9.01       03/25/13

Frontier Beverage Company, Inc          NV       4.01,5.02,9.01       03/21/13

FUTURE ENERGY CORP.                              1.01,5.02,8.01,9.01  03/22/13

GDT TEK, Inc.                                    8.01                 03/25/13

General Motors Co                                7.01,9.01            03/27/13

GLADSTONE COMMERCIAL CORP               MD       8.01                 03/27/13

GLADSTONE LAND Corp                     MD       2.02,9.01            03/27/13

GLIMCHER REALTY TRUST                   MD       1.01,3.03,5.03,8.01, 03/21/13
                                                 9.01
          
GLOBAL EARTH ENERGY, INC.               NV       1.02,9.01            03/27/13    AMEND

GLOBAL EARTH ENERGY, INC.               NV       1.02,9.01            03/27/13    AMEND

GMS Capital Corp.                       FL       7.01                 03/23/13

GOLD RESOURCE CORP                      CO       5.03,8.01,9.01       03/25/13

GRAHAM ALTERNATIVE INVESTMENT FUND I    DE       5.02                 12/17/12

GRAHAM ALTERNATIVE INVESTMENT FUND II   DE       5.02                 12/17/12

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            03/22/13

GRAPHIC PACKAGING HOLDING CO            DE       1.01,9.01            03/21/13

GREENBRIER COMPANIES INC                OR       8.01,9.01            03/27/13

Griffin-American Healthcare REIT II,    MD       8.01                 03/21/13

HAMPTON ROADS BANKSHARES INC            VA       7.01,9.01            03/27/13

HANDY & HARMAN LTD.                     DE       8.01                 03/26/13

HANOVER INSURANCE GROUP, INC.           DE       8.01,9.01            03/27/13

HARTFORD FINANCIAL SERVICES GROUP INC   DE       8.01                 03/26/13

HEALTH CARE REIT INC /DE/               DE       8.01                 03/22/13

Health in Harmony, Inc.                          3.03,5.03,9.01       03/25/13

HEALTHCARE TRUST OF AMERICA, INC.       MD       1.01,9.01            03/21/13

HEINZ H J CO                            PA       8.01,9.01            03/27/13

HF2 FINANCIAL MANAGEMENT INC.           DE       1.01,3.02,5.03,8.01, 03/21/13
                                                 9.01
         
HomeStreet, Inc.                        WA       8.01,9.01            03/26/13

Imperial Holdings, Inc.                          2.02,7.01,9.01       03/27/13

India Globalization Capital, Inc.       MD       4.01,9.01            03/22/13

Industrial Income Trust Inc.            MD       2.02,9.01            03/27/13

Inland American Real Estate Trust, In   MD       8.01                 03/27/13

IntelGenx Technologies Corp.            DE       7.01                 03/27/13

Intellicell Biosciences, Inc.           NV       8.01                 03/27/13

International Stem Cell CORP            DE       2.02,9.01            03/27/13

INVENTURE FOODS, INC.                   DE       5.02,9.01            03/25/13

IRIDEX CORP                             DE       5.02,9.01            03/25/13

Jive Software, Inc.                     DE       5.02                 03/21/13

KANSAS CITY SOUTHERN                    DE       7.01,9.01            03/22/13

Landmark Apartment Trust of America,             1.01                 03/13/13    AMEND

LIGHTPATH TECHNOLOGIES INC              DE       1.01,3.02,9.01       03/25/13

Limelight Networks, Inc.                DE       5.02                 02/13/13    AMEND

Limoneira CO                            DE       5.07                 03/26/13

LINDSAY CORP                            DE       2.02,9.01            03/27/13

LIPOSCIENCE INC                         DE       2.02,9.01            03/27/13

LUNA INNOVATIONS INC                    DE       1.01,9.01            03/21/13

MACKINAC FINANCIAL CORP /MI/            MI       8.01,9.01            03/27/13

MEADWESTVACO Corp                       DE       5.02                 03/25/13

Meritage Homes CORP                     MD       8.01,9.01            03/26/13

NACCO INDUSTRIES INC                    DE       5.02,9.01            03/26/13

NATIONAL OILWELL VARCO INC              DE       5.02,9.01            03/22/13

NBCUniversal Media, LLC                 DE       1.01                 03/27/13

NBT BANCORP INC                         DE       5.02,9.01            03/25/13

NEOGEN CORP                             MI       2.02,9.01            03/26/13

NEOPHOTONICS CORP                       DE       1.01,2.03,9.01       03/21/13

NET 1 UEPS TECHNOLOGIES INC                      8.01,9.01            03/27/13

Neuralstem, Inc.                        DE       1.01,2.03,3.02,9.01  03/22/13

NeurogesX Inc                           CA       8.01                 03/27/13

Neutral Tandem Inc                               5.02                 03/26/13

Nevada Gold Holdings, Inc.              DE       5.02,9.01            03/21/13

NEW HAMPSHIRE THRIFT BANCSHARES INC     DE       1.01,9.01            03/21/13

NEWBRIDGE BANCORP                       NC       8.01,9.01            03/27/13

NEWS CORP                                        8.01,9.01            03/27/13

NEWTEK BUSINESS SERVICES, INC.          NY       2.02,9.01            03/27/13

NORD RESOURCES CORP                     DE       7.01,9.01            03/27/13

OGLETHORPE POWER CORP                   GA       5.02,9.01            03/25/13

OLIE INC                                DE       1.01                 03/27/13

OLIE INC                                DE       1.01                 03/27/13    AMEND

Oncologix Tech Inc.                     NV       1.01,2.01,3.02,5.03, 03/22/13
                                                 9.01
          
OPTICAL CABLE CORP                      VA       5.07,7.01,9.01       03/26/13

OSL HOLDINGS INC.                                1.01,9.01            03/21/13

OVERSEAS SHIPHOLDING GROUP INC          DE       5.02,9.01            03/22/13

Oxford Resource Partners LP                      7.01,9.01            03/27/13

P&F INDUSTRIES INC                      DE       2.02,9.01            03/27/13

PAR PETROLEUM CORP/CO                   DE       2.02,9.01            03/27/13

PAR TECHNOLOGY CORP                     DE       8.01,9.01            03/27/13

PAYCHEX INC                             DE       2.02,9.01            03/27/13

PC TEL INC                              DE       1.01,9.01            03/27/13

PCM, INC.                               DE       1.01,2.03            03/22/13

POLYONE CORP                                     1.01,9.01            03/25/13

PROGRESS SOFTWARE CORP /MA              MA       2.02,9.01            03/27/13

PROGRESSIVE CORP/OH/                    OH       1.01                 03/25/13

Protea Biosciences Group, Inc.          DE       1.01,3.02,9.01       03/21/13

PVH CORP. /DE/                          DE       2.02,9.01            03/27/13

QUANTUM MATERIALS CORP.                 NV       7.01,9.01            03/27/13

Red Giant Entertainment, Inc.           NV       5.02                 03/01/13

Red Giant Entertainment, Inc.           NV       7.01,9.01            03/27/13

RED HAT INC                             DE       2.02,9.01            03/27/13

REPROS THERAPEUTICS INC.                DE       5.02                 03/25/13

Revel AC, Inc.                          DE       1.01,1.03,2.04,9.01  03/22/13

ROBERTS REALTY INVESTORS INC            GA       8.01                 03/20/13

ROTECH HEALTHCARE INC                   DE       7.01,8.01,9.01       03/27/13

ROYAL HAWAIIAN ORCHARDS, L.P.           DE       2.02,9.01            03/27/13

SARATOGA RESOURCES INC /TX              TX       2.02,7.01,9.01       03/27/13

SCHWEITZER MAUDUIT INTERNATIONAL INC    DE       5.02                 03/26/13

Sequoia Mortgage Trust 2013-4                    8.01,9.01            03/01/13

Seven Seas Cruises S. DE R.L.           R1       5.02                 03/27/13

Shire plc                                        8.01,9.01            03/27/13

SIONIX CORP                             NV       5.02,8.01,9.01       03/21/13

SJW CORP                                CA       8.01,9.01            03/27/13

SPARE BACKUP, INC.                      DE       1.01                 03/27/13

ST JOE CO                               FL       5.02                 03/25/13

Staffing 360 Solutions, Inc.            NY       1.01,8.01,9.01       03/21/13

STEELCASE INC                           MI       2.02,7.01,9.01       03/27/13

STEINWAY MUSICAL INSTRUMENTS INC        DE       1.01,9.01            03/25/13

Summit Hotel Properties, Inc.           MD       4.01,8.01,9.01       03/21/13

SUNESIS PHARMACEUTICALS INC             DE       5.02,9.01            03/21/13

Sungro Minerals Inc.                    NV       2.01                 03/27/13

SUPERIOR INDUSTRIES INTERNATIONAL INC   CA       8.01                 03/27/13

Support.com, Inc.                       DE       5.02                 03/25/13

SYNNEX CORP                             DE       2.02,9.01            03/27/13

TALON INTERNATIONAL, INC.               DE       2.02,9.01            03/27/13

THOR INDUSTRIES INC                     DE       8.01,9.01            03/27/13

TMS International Corp.                 DE       1.01,9.01            03/21/13

TRI Pointe Homes, Inc.                           5.02,9.01            03/21/13

Trovagene, Inc.                         DE       8.01,9.01            03/27/13

TWO RIVERS WATER & FARMING Co           CO       7.01                 03/27/13

UNIFIRST CORP                           MA       2.02,9.01            03/27/13

United Development Funding IV           MD       8.01                 03/27/13

United States 12 Month Oil Fund, LP              8.01,9.01            03/27/13

United States Commodity Index Funds T   DE       8.01,9.01            03/27/13

United States Gasoline Fund, LP         DE       8.01,9.01            03/27/13

United States Natural Gas Fund, LP               8.01,9.01            03/27/13

United States Oil Fund, LP              DE       8.01,9.01            03/27/13

UNITED STATES STEEL CORP                DE       1.01,2.03,8.01,9.01  03/26/13

Verastem, Inc.                          DE       2.02,9.01            03/27/13

VERENIUM CORP                           DE       2.02,9.01            03/27/13

VERINT SYSTEMS INC                      DE       2.02,7.01,9.01       03/27/13

Viacom Inc.                             DE       5.02,5.07,9.01       03/21/13

Victor Technologies Group, Inc.         DE       2.02,9.01            03/26/13

Vuzix Corp                              DE       1.01,2.03,3.02,9.01  03/21/13

Walter Energy, Inc.                     DE       1.01,2.03,8.01,9.01  03/27/13

Walter Energy, Inc.                     DE       8.01,9.01            03/27/13

WELLCARE HEALTH PLANS, INC.             DE       1.01,9.01            03/22/13

WELLS FARGO & COMPANY/MN                DE       9.01                 03/27/13

WELLS REAL ESTATE FUND IX LP            GA       2.01,9.01            03/22/13

WELLS REAL ESTATE FUND VIII LP          GA       2.01,9.01            03/22/13

WEST CORP                               DE       1.02,2.04,5.02,5.03, 03/21/13
                                                 8.01,9.01
     
West End Indiana Bancshares, Inc.       MD       8.01                 03/26/13

Western Graphite Inc.                            7.01                 03/26/13

WESTMORELAND COAL Co                    DE       1.01,9.01            03/21/13

WESTMORELAND COAL Co                    DE       7.01,8.01,9.01       03/25/13

WMX Group Holdings, Inc.                FL       3.03,5.03,9.01       03/21/13

WORDLOGIC CORP                          NV       5.02,7.01,9.01       03/25/13

WOUND MANAGEMENT TECHNOLOGIES, INC.     TX       8.01                 03/27/13

ZaZa Energy Corp                        DE       7.01,9.01            03/27/13

ZOGENIX, INC.                           DE       1.01,9.01            03/21/13

ZOGENIX, INC.                           DE       1.01,9.01            03/27/13

http://www.sec.gov/news/digest/2013/dig032813.htm

SEC NEWS DIGEST