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U.S. Securities and Exchange Commission

SEC NEWS DIGEST

Issue 2013-89
May 9, 2013

Commission announcements

Commission, Finra Issue Investor Alert on Pension or Settlement Income Streams

The Securities and Exchange Commission (Commission) and the Financial Industry Regulatory Authority (FINRA) today issued an investor alert entitled Pension or Settlement Income Streams – What You Need to Know Before Buying or Selling Them.

The investor alert informs investors about the risks involved when selling their rights to an income stream or investing in someone else’s income stream. The alert urges investors considering an investment in pension or settlement income streams to proceed with caution.

Anyone receiving a monthly pension or regular distributions from a settlement following a personal injury lawsuit may be targeted by salespeople offering an immediate lump sum in exchange for the rights to some or all of the payments the person would otherwise receive in future. Typically, recipients of a pension or structured settlement will sign over the rights to some or all of their monthly payments to a factoring company in return for a lump-sum amount, which will almost always be significantly lower than the present value of that future income stream.

“Investors should always learn as much as possible before making an investment decision, and this is certainly true with respect to investing in pension or structured settlement income stream products,” said Lori J. Schock, Director of the SEC’s Office of Investor Education and Advocacy. “This alert will help investors understand the costs as well as the potentially significant risks of these transactions.”

Gerri Walsh, FINRA’s Senior Vice President for Investor Education, said, “Consumers should know that a series of potential pitfalls may greet anyone who is considering selling their rights to an income stream. And any investor who is tempted by the high yield offered by buying the rights to another person’s income stream should know that yield comes with high fees and considerable risks.”

The investor alert contains a checklist of questions before selling away an income stream:

  • Is the transaction legal? Federal law may restrict or prohibit retirees from “assigning” their pension to someone else.
     
  • Is the transaction worth the cost? Find the discount rate that the factoring company has applied to your income stream and compare this rate to alternatives such as a bank loan.
     
  • What is the reputation of the company offering the lump sum? Check the factoring company’s record with the Better Business Bureau, and research the firm on the Internet and with a financial professional.
     
  • Will the factoring company require life insurance? The factoring company may require you to purchase a life insurance policy, which will add to your transaction expenses and reduce your payout.
     
  • What are the tax consequences? The lump-sum payment you collect may be taxable.

The investor alert also warns investors who might be attracted to the yield offered by buying the rights to someone else’s pension or structured settlement to be aware that:

  • Investors may encounter commissions of seven percent or higher.
     
  • Pension and structured settlement income-stream products may or may not be securities and likely are not registered with the SEC.
     
  • These products could be difficult to sell if you need money and want to sell the product.
     
  • Your “rights” to the income stream you purchased could face legal challenges. (Press Rel. 2013-86)

Bruce Karpati, Chief of Enforcement Division Asset Management Unit, To Leave Commission after 12 Years

The Commission today announced that Bruce Karpati, chief of the Enforcement Division’s Asset Management Unit, will be leaving the agency for the private sector after more than a dozen years of federal service.

Mr. Karpati has served at the helm of the Asset Management Unit since its inception in January 2010, overseeing a staff of more than 75 attorneys, industry experts, and other professionals responsible for conducting investigations into investment advisers, investment companies, and private funds.

Mr. Karpati and several colleagues from the Asset Management Unit and other offices received the SEC Chairman’s Award for Excellence in 2012 for their work on the Aberrational Performance Inquiry, which proactively uses performance data to uncover various types of investment fraud by hedge fund managers.

“Beyond all the significant enforcement actions, Bruce has been a pioneer in the use of complex data analysis to detect securities fraud and a pivotal figure in the formation of specialty units within the Enforcement Division,” said George S. Canellos, Co-Director of the SEC’s Division of Enforcement. “His vision and dedication have tremendously benefited the Asset Management Unit and enforcement staff around the country.”

Mr. Karpati said, “I have been privileged to work with such talented and dedicated staff in the Enforcement Division and across the SEC. I am particularly proud of the accomplishments of my colleagues in the Asset Management Unit, who have worked collaboratively on a nationwide basis to bring expertise to bear and proactively combat fraud in the asset management industry.”

During Mr. Karpati’s tenure as chief of the unit, he has overseen investigations of investment advisers for various forms of misconduct involving valuation, performance, conflicts of interest, insider trading, manipulation, derivatives, fund governance, the 15(c) process, disclosure, and compliance and controls.

Mr. Karpati has spearheaded several risk-based initiatives to ferret out misconduct by investment advisers, including the Aberrational Performance Inquiry, Fund Fee Initiative, Revenue Sharing Initiative, and Compliance Program Initiative that specifically focuses on registered investment advisers who repeatedly fail to adopt or implement effective compliance programs.

Among the unit’s enforcement actions brought under Mr. Karpati’s leadership:

  • SEC charged a major quantitative investment adviser for misleading investors about the impact of a software error.
     
  • SEC charged a former $1 billion hedge fund advisory firm and two executives with scheming to overvalue assets under management and exaggerate the reported returns of the hedge funds they managed.
     
  • SEC charged a New York-based hedge fund manager and his firm with misappropriating client assets and secretly granting favorable redemption and liquidity rights to certain strategically important investors at the expense of other investors.
     
  • SEC charged a hedge fund adviser and separately other hedge fund managers in cases where they misrepresented they had “skin in the game” when in fact they were not personally investing their money in the funds side-by-side with investors.
     
  • SEC charged a Bay Area hedge fund manager with concealing investment proceeds in a side pocket to hide profits owed investors, and in a separate case charged Georgia-based hedge fund managers with overvaluing illiquid assets in a side pocket so they could extract excessive management fees based on those asset values.
     
  • SEC charged multiple hedge fund managers with fraud in an inquiry targeting suspicious investment returns.
     
  • SEC charged a Malaysia-based investment adviser and a Wall Street firm involved in an illegal mutual fund fee arrangement that repeatedly charged a fund and its investors for advisory services they weren’t actually receiving from a third party.
     
  • SEC charged a Scotland-based fund management group for fraudulently using one of its U.S. fund clients to rescue another client, a China-focused hedge fund struggling in the midst of the global financial crisis.
     
  • SEC charged two New York-based private equity fund advisers with misleading investors about the valuation policies and performance of a private equity fund they managed.
     
  • SEC charged the gatekeepers of two mutual fund trusts for inaccurate disclosures about decisions made on behalf of shareholders.

Mr. Karpati was instrumental in establishing the Asset Management Unit, formulating its strategic and operating plans, setting unit priorities, hiring industry experts, and building the unit’s infrastructure. A hallmark of Mr. Karpati’s tenure was very close coordination with other SEC divisions and offices such as the National Exam Program, the Division of Investment Management, and the Division of Risk, Strategy and Financial Innovation. These collaborations resulted in examination sweeps, rulemakings, and more effective detection of emerging risks.

Mr. Karpati, 43, joined the SEC’s New York Regional Office as an enforcement staff attorney in 2000. He was promoted to branch chief in 2002 and assistant regional director in 2005. In 2007, he founded the SEC’s Hedge Fund Working Group, a cross-office initiative to combat securities fraud in the hedge fund space. Prior to his arrival at the SEC, Mr. Karpati spent four years in private practice at a large national law firm.

Mr. Karpati graduated from Tufts University and the University at Buffalo Law School.

* * *

Following Mr. Karpati’s departure at the end of this week, deputy chiefs Julie Riewe and Marshall Sprung will lead the unit until new leadership is named. (Press Rel. 2013-85)

ENFORCEMENT PROCEEDINGS

In the Matter of Spyridon Adondakis

The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions against Spyridon Adondakis (Adondakis). The Order finds that from 2006 to 2010, Adondakis was employed as a research analyst at Level Global Investors, L.P. (Level Global), an unregistered investment adviser with offices in Greenwich, Connecticut and New York, New York.

On January 18, 2012, the Commission filed a civil action against Adondakis in SEC v. Adondakis et al., Civil Action No. 12-CV-0409 (S.D.N.Y.). On March 8, 2013, the Court entered an order permanently enjoining Adondakis, by consent, from future violations of Section 10(b) of the Securities Exchange Act of 1934, Rule 10b-5 thereunder, and Section 17(a) of the Securities Act of 1933. The Commission’s complaint alleged that, in connection with the purchase or sale of securities, Adondakis knew, recklessly disregarded, or should have known, that material non-public information he received from multiple tippers was disclosed or misappropriated in breach of a fiduciary duty, or similar relationship of trust and confidence. The Commission’s complaint further alleged that Adondakis provided the material non-public information to others at Level Global, who used that information to execute, and cause others to execute, securities transactions. On April 25, 2011, in a parallel criminal proceeding, Adondakis pleaded guilty to one count of securities fraud and one count of conspiracy to commit securities fraud in violation of 15 U.S.C. 78j(b) and 78ff and 18 U.S.C. 371 before the United States District Court for the Southern District of New York, in United States v. Spyridon Adondakis, 11-CR-360-JFK-1.

Based on the above, the Order bars Spyridon Adondakis from association with any investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Adondakis consented to the issuance of the Order. (Rel. IA-3604; File No. 3-15320)

In the Matter of Jon Horvath

The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions against Jon Horvath (Horvath). The Order finds that from September 2006 to September 2012, Horvath was employed as a research analyst in the New York office of Sigma Capital Management, LLC (Sigma Capital), an unregistered investment adviser based in Stamford, Connecticut that is an affiliate through ownership of S.A.C. Capital Advisors, L.P., an investment adviser that has been registered with the Commission since 2012.

On January 18, 2012, the Commission filed a civil action against Horvath in SEC v. Adondakis et al., Civil Action No. 12-CV-0409 (S.D.N.Y.). On March 8, 2013, the Court entered an order permanently enjoining Horvath, by consent, from future violations of Section 10(b) of the Securities Exchange Act of 1934, Rule 10b-5 thereunder, and Section 17(a) of the Securities Act of 1933. The Commission’s complaint alleged that, in connection with the purchase or sale of securities, Horvath knew, recklessly disregarded, or should have known, that material non-public information he received from multiple tippers was disclosed or misappropriated in breach of a fiduciary duty, or similar relationship of trust and confidence, and Horvath is liable for the trading by Sigma Capital because he directly or indirectly caused Sigma Capital to place trades and/or unlawfully tipped inside information to Sigma Capital. On September 28, 2012, in a parallel criminal proceeding, Horvath pleaded guilty to two counts of securities fraud and one count of conspiracy to commit securities fraud in violation of 15 U.S.C. 78j(b) and 78ff and 18 U.S.C. 371 before the United States District Court for the Southern District of New York, in United States v. Jon Horvath, 12-CR-121-RJS-3.

Based on the above, the Order bars Jon Horvath from association with any investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Horvath consented to the issuance of the Order. (Rel. IA-3605; File No. 3-15321)

In the Matter of Jesse Tortora

The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions against Jesse Tortora (Tortora). The Order finds that from August 2007 to April 2010, Tortora was employed as a research analyst at Diamondback Capital Management, LLC (Diamondback), a registered investment adviser based in Stamford, Connecticut.

On January 18, 2012, the Commission filed a civil action against Tortora in SEC v. Adondakis et al., Civil Action No. 12-CV-0409 (S.D.N.Y.). On March 8, 2013, the Court entered an order permanently enjoining Tortora, by consent, from future violations of Section 10(b) of the Securities Exchange Act of 1934, Rule 10b-5 thereunder, and Section 17(a) of the Securities Act of 1933. The Commission’s complaint alleged that, in connection with the purchase or sale of securities, Tortora knew, recklessly disregarded, or should have known, that material non-public information he received from multiple tippers was disclosed or misappropriated in breach of a fiduciary duty, or similar relationship of trust and confidence, and Tortora is liable for the trading by Diamondback because he directly or indirectly caused Diamondback to place trades and/or unlawfully tipped inside information to Diamondback. On May 18, 2011, in a parallel criminal proceeding, Tortora pleaded guilty to one count of securities fraud and one count of conspiracy to commit securities fraud in violation of 15 U.S.C. 78j(b) and 78ff and 18 U.S.C. 371 before the United States District Court for the Southern District of New York, in United States v. Jesse Tortora, 11-CR-430-WHP-1.

Based on the above, the Order bars Jesse Tortora from association with any investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Tortora consented to the issuance of the Order. (Rel. IA-3606; File No. 3-15322)

In the Matter of Sandeep Goyal

The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions against Sandeep Goyal (Goyal). The Order finds that from July 2007 to January 2012, Goyal was employed as a research analyst at Neuberger Berman LLC, a registered investment adviser based in New York, New York.

On January 18, 2012, the Commission filed a civil action against Goyal in SEC v. Adondakis et al., Civil Action No. 12-CV-0409 (S.D.N.Y.). On March 8, 2013, the Court entered an order permanently enjoining Goyal, by consent, from future violations of Section 10(b) of the Securities Exchange Act of 1934, Rule 10b-5 thereunder, and Section 17(a) of the Securities Act of 1933. The Commission’s complaint alleged that, in connection with the purchase or sale of securities, Goyal knew, recklessly disregarded, or should have known, that material non-public information he received from an employee of Dell, Inc. was disclosed or misappropriated in breach of a fiduciary duty, or similar relationship of trust and confidence, and that Goyal disclosed that material nonpublic information to an individual who worked for a hedge fund with the knowledge that the hedge fund would use that information in connection with its securities trades. On November 3, 2011, in a parallel criminal proceeding, Goyal pleaded guilty to one count of securities fraud and one count of conspiracy to commit securities fraud in violation of 15 U.S.C. 78j(b) and 78ff and 18 U.S.C. 371 before the United States District Court for the Southern District of New York, in United States v. Sandeep Goyal, 11-cr-935-KBF-1.

Based on the above, the Order bars Sandeep Goyal from association with any investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Goyal consented to the issuance of the Order. (Rel. IA-3607; File No. 3-15323)

Delinquent Filer’s Stock Registration Revoked

The registration of the registered securities of The Estate Vault, 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- 69542; File No. 3-15292)

INVESTMENT COMPANY ORDERS

The Royal Bank of Scotland plc, et al.

The Commission has issued a permanent order to The Royal Bank of Scotland plc, et al. under Section 9(c) of the Investment Company Act of 1940 (Act) with respect to a guilty plea entered on April 12, 2013, by RBS Securities Japan Limited (Settling Firm) in the U.S. District Court for the District of Connecticut in connection with a plea agreement between the Settling Firm and the U.S. Department of Justice. The permanent order exempts applicants and companies of which the Settling Firm is or becomes an affiliated person from the provisions of Section 9(a) of the Act. (Rel. IC-30509 - May 8, 2013)

Trust for Professional Managers and Aurora Investment Management L.L.C.

An order has been issued on an application filed by Trust for Professional Managers and Aurora Investment Management L.L.C., exempting applicants from Section 15(a) of the Investment Company Act of 1940 (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-30510 - May 8, 2013)

SELF-REGULATORY ORGANIZATIONS

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend Rule 6.74A (SR-CBOE-2013-048) 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 May 6th. (Rel. 34-69528)

A proposed rule changed filed by The NASDAQ Stock Market LLC, as modified by Amendment No. 1, to amend fees assessed under Rule 7015(h) (SR-NASDAQ-2013-072) 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 May 13th. (Rel. 34-69536)

A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-16) 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 of the notice is expected to be made in the Federal Register during the week of May 13th. (Rel. 34-69539)

A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-15) 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 of the notice is expected to be made in the Federal Register during the week of May 6th. (Rel. 34-69510)

A proposed rule change filed by Chicago Stock Exchange, Inc. to consolidate all CHX order types, modifiers, and related terms under one rule and to clarify the basic requirements of all orders sent to the matching system (SR-CHX-2013-10) 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 May 13th. (Rel. 34-69538)

ICE Clear Europe Limited filed a proposed rule change (File No. SR-ICEEU-2013-07) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend its Delivery Procedures to reflect the clearing relationship for ICE Futures Europe. Publication is expected in the Federal Register during the week of May 13th. (Rel. 34-69544)

Notice of Proposed Rule Change

The Chicago Board Options Exchange, Incorporated has filed a proposed rule change (SR-CBOE-2013-043) relating to Exchange Rule 9.21, “Options Communications.” Publication is expected in the Federal Register during the week of May 6th. (Rel. 34-69535)

Approval of Proposed Rule Change

The Commission has approved a proposed rule change (SR-OCC-2013-03) filed by The Options Clearing Corporation (OCC) under Section 19(b)(2) of the Securities Exchange Act of 1934 to facilitate the use of the Stock Loan/Hedge Program by Canadian Clearing Members. Publication is expected in the Federal Register during the week of May 8, 2013. (Rel. 34-69534)

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  REDWOOD TRUST INC, ONE BELVEDERE PLACE, SUITE 300, MILL VALLEY, CA, 
        94941, (415) 380-2317 - 0 ($0.00) Equity, (File 333-188420 - May. 8) 
        (BR. 08C)

S-1     Bloomin' Brands, Inc., 2202 NORTH WEST SHORE BOULEVARD, SUITE 500, 
        TAMPA, FL, 33607, 813-282-1225 - 0 ($405,271,500.00) Equity, 
        (File 333-188421 - May. 8) (BR. 05C)

S-3ASR  NORTHERN OIL & GAS, INC., 315 MANITOBA AVE, WAYZATA, MN, 55391, 
        952-476-9800 - 0 ($0.00) Debt, (File 333-188423 - May. 8) (BR. 04B)

S-8     FOREST OIL CORP, 707 SEVENTEENTH STREET, SUITE 3600, DENVER, CO, 80202, 
        3038121400 - 0 ($6,866,500.00) Equity, (File 333-188424 - May. 8) 
        (BR. 04B)

S-8     ORCKIT COMMUNICATIONS LTD, 38 NAHALAT YITZHAK ST, TEL AVIV, ISRAEL, L3, 
        67448, 01197236962121 - 7,500,000 ($1,336,581.85) Equity, 
        (File 333-188425 - May. 8) (BR. 11A)

S-4     CyrusOne LP, 1649 WEST FRANKFORD ROAD, CARROLLTON, TX, 75007, 
        972-350-0060 - 0 ($525,000,000.00) Non-Convertible Debt, 
        (File 333-188426 - May. 8) (BR. 08C)

S-1     Frozen Food Gift Group, Inc, 8067 QUARTERFIELD RD., SEVERN, MD, 21144, 
        866-492-7826 - 50,000,000 ($500,000.00) Equity, (File 333-188427 - 
        May. 8) (BR. 02B)

S-8     MANITOWOC CO INC, 2400 SOUTH 44TH STREET, MANITOWOC, WI, 54221-0066, 
        9206522222 - 0 ($138,880,000.00) Equity, (File 333-188428 - May. 8) 
        (BR. 10B)

S-8     IMATION CORP, 1 IMATION PL, OAKDALE, MN, 55128, 6517044000 - 
        0 ($5,516,225.00) Non-Convertible Debt, (File 333-188429 - May. 8) 
        (BR. 11C)

S-8     JOHNSON CONTROLS INC, 5757 N GREEN BAY AVENUE, P O BOX 591, MILWAUKEE, 
        WI, 53201, 4145241200 - 36,800,000 ($1,288,368,000.00) Equity, 
        (File 333-188430 - May. 8) (BR. 06A)

S-8     Quintiles Transnational Holdings Inc., 4820 EMPEROR BLVD., DURHAM, NC, 
        27703, 919-998-2000 - 22,924,447 ($665,591,547.20) Equity, 
        (File 333-188431 - May. 8) (BR. 01B)

N-2     EnTrust Multi-Strategy Master Fund, 375 PARK AVENUE, 24TH FLOOR, 
        NEW YORK, NY, 10152, (212) 888-1040 - 0 ($1,000,000.00) Equity, 
        (File 333-188432 - May. 8) (BR. 17)

N-2     Entrust Multi-Strategy Fund, 375 PARK AVENUE, 24TH FLOOR, NEW YORK, NY, 
        10152, (212) 888-1040 - 0 ($1,000,000.00) Equity, (File 333-188433 - 
        May. 8) (BR. 17)

S-8     GENERAL COMMUNICATION INC, 2550 DENALI ST STE 1000, ANCHORAGE, AK, 
        99503, 9072655600 - 0 ($47,915,000.00) Equity, (File 333-188434 - 
        May. 8) (BR. 11C)

S-8     ITT EDUCATIONAL SERVICES INC, 13000 NORTH MERIDIAN, CARMEL, IN, 
        46032-1404, 317 706 9200 - 3,350,000 ($59,680,250.00) Equity, 
        (File 333-188435 - May. 8) (BR. 11C)

S-8     KITE REALTY GROUP TRUST, 30 S MERIDIAN STREET, SUITE 1100, 
        INDIANAPOLIS, IN, 46204, 3175775600 - 0 ($39,240,000.00) Equity, 
        (File 333-188436 - May. 8) (BR. 08C)

S-8     V F CORP, 105 CORPORATE CENTER BOULEVARD, GREENSBORO, NC, 27408, 
        (336)424-6000 - 0 ($403,845,500.00) Other, (File 333-188437 - May. 8) 
        (BR. 09B)

S-8     V F CORP, 105 CORPORATE CENTER BOULEVARD, GREENSBORO, NC, 27408, 
        (336)424-6000 - 0 ($300,000,000.00) Other, (File 333-188438 - May. 8) 
        (BR. 09B)

S-8     HENNESSY ADVISORS INC, 7250 REDWOOD BLVD., SUITE 200, NOVATO, CA, 
        94945, 415-899-1555 - 0 ($20,594,602.00) Equity, (File 333-188439 - 
        May. 8) (BR. 12A)

S-8     FRONTIER COMMUNICATIONS CORP, HIGH RIDGE PK BLDG 3, STAMFORD, CT, 
        06905, 2036145600 - 20,000,000 ($81,500,000.00) Equity, 
        (File 333-188440 - May. 8) (BR. 11A)

S-8     KAYDON CORP, 2723 SOUTH STATE STREET, SUITE 300, ANN ARBOR, MI, 48104, 
        7347477025 - 0 ($6,027,500.00) Equity, (File 333-188442 - May. 8) 
        (BR. 06A)

S-8     FOSTER WHEELER AG, 80 RUE DE LAUSANNE, GENEVA, V8, CH 1202, 
        9087304000 - 3,400,000 ($69,241,000.00) Equity, (File 333-188443 - 
        May. 8) (BR. 06C)

S-3     ROSETTA STONE INC, 1919 NORTH LYNN STREET, SUITE 700, ARLINGTON, VA, 
        22209, 1-800-788-0822 - 0 ($2,916,848.16) Equity, (File 333-188444 - 
        May. 8) (BR. 03B)

S-8     CENTRAL PACIFIC FINANCIAL CORP, 220 S KING ST, HONOLULU, HI, 96813, 
        8085440500 - 0 ($36,916,000.00) Equity, (File 333-188445 - May. 8) 
        (BR. 07C)

S-8     SEATTLE GENETICS INC /WA, 21823 30TH DRIVE SE, SUITE, BOTHELL, WA, 
        98021, 4255274000 - 0 ($137,846,320.67) Equity, (File 333-188446 - 
        May. 8) (BR. 01A)

S-8     LOUISIANA-PACIFIC CORP, 414 UNION STREET, SUITE 2000, NASHVILLE, TN, 
        37219-1711, 6159865600 - 0 ($104,404,346.10) Equity, (File 333-188447 - 
        May. 8) (BR. 06B)

S-8     HARSCO CORP, 350 POPLAR CHURCH ROAD, CAMP HILL, PA, 17011, 7177637064 - 
        0 ($147,696,000.00) Equity, (File 333-188448 - May. 8) (BR. 06A)

S-8     CADENCE DESIGN SYSTEMS INC, 2655 SEELY AVENUE BLDG 5, SAN JOSE, CA, 
        95134, 4089431234 - 7,500,000 ($103,425,000.00) Equity, 
        (File 333-188449 - May. 8) (BR. 03C)

S-8     L 3 COMMUNICATIONS HOLDINGS INC, 600 THIRD AVENUE, 34TH FLOOR, 
        NEW YORK, NY, 10016, 2126971111 - 0 ($528,320,000.00) Equity, 
        (File 333-188450 - May. 8) (BR. 11A)

S-8     ARABIAN AMERICAN DEVELOPMENT CO, 1650 HWY 6 SOUTH, SUITE 190, 
        SUGAR LAND, TX, 77478, 4093858300 - 1,500,000 ($11,325,000.00) Equity, 
        (File 333-188451 - May. 8) (BR. 04B)

S-8     CADENCE DESIGN SYSTEMS INC, 2655 SEELY AVENUE BLDG 5, SAN JOSE, CA, 
        95134, 4089431234 - 1,495,107 ($3,677,963.22) Equity, 
        (File 333-188452 - May. 8) (BR. 03C)

S-3ASR  TOTAL SYSTEM SERVICES INC, 1600 FIRST AVENUE, P O BOX 1755, COLUMBUS, 
        GA, 31901, 7066492267 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-188453 - May. 8) (BR. 03C)

S-3ASR  SS&C Technologies Holdings Inc, 80 LAMBERTON RD, WINDSOR, CT, 06095, 
        860-298-4500 - 7,500,000 ($241,125,000.00) Equity, (File 333-188454 - 
        May. 8) (BR. 03C)

S-8     LATTICE SEMICONDUCTOR CORP, 5555 NE MOORE COURT, HILLSBORO, OR, 
        97124-6421, 5032688000 - 4,000,000 ($20,080,000.00) Equity, 
        (File 333-188455 - May. 8) (BR. 10B)

S-8     BLACKHAWK NETWORK HOLDINGS, INC, 5918 STONERIDGE MALL ROAD, PLEASANTON, 
        CA, 94588, 925-226-9990 - 7,928,768 ($152,205,898.88) Equity, 
        (File 333-188456 - May. 8) (BR. 07)

S-3ASR  L 3 COMMUNICATIONS CORP, 600 THIRD AVENUE, 34TH FLOOR, NEW YORK, NY, 
        10016, 1216971111 - 0 ($0.00) Non-Convertible Debt, (File 333-188457 - 
        May. 8) (BR. 11A)

S-8     INOLIFE TECHNOLOGIES, INC., 8601 SIX FORKS ROAD, SUITE 400, RALEIGH, 
        NC, 27615, 919-676-5334 - 6,000,000 ($900,000.00) Equity, 
        (File 333-188458 - May. 8) (BR. 11A)

S-8     Och-Ziff Capital Management Group LLC, 9 WEST 57TH STREET SUITE 1300, 
        NEW YORK, NY, 10019, (212)790-0041 - 0 ($96,658,245.00) Other, 
        (File 333-188459 - May. 8) (BR. 12B)

S-8     DUCOMMUN INC /DE/, 23301 WILMINGTON AVE., CARSON, CA, 90745, 
        3105137280 - 240,000 ($6,008,400.00) Equity, (File 333-188460 - May. 8) 
        (BR. 05A)

S-8     Och-Ziff Capital Management Group LLC, 9 WEST 57TH STREET SUITE 1300, 
        NEW YORK, NY, 10019, (212)790-0041 - 0 ($771,000,000.00) Other, 
        (File 333-188461 - May. 8) (BR. 12B)

S-8     ServiceNow, Inc., 4810 EASTGATE MALL, SAN DIEGO, CA, 92121, 
        858-720-0477 - 7,582,242 ($299,245,817.60) Equity, (File 333-188462 - 
        May. 8) (BR. 03B)

S-8     CAM Group, Inc., 50 WEST LIBERTY STREET, SUITE 880, RENO, NV, 89501, 
        86031186964264 - 220,000 ($198,000.00) Equity, (File 333-188463 - 
        May. 8) (BR. 08)

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

1st Century Bancshares, Inc.            DE       2.02,9.01            05/08/13

1st Century Bancshares, Inc.            DE       8.01,9.01            05/08/13

AAR CORP                                DE       5.02,9.01            05/07/13

Activision Blizzard, Inc.               DE       2.02,9.01            05/08/13

ADAMS RESOURCES & ENERGY, INC.          DE       2.02                 05/08/13

ADDVANTAGE TECHNOLOGIES GROUP INC       OK       5.02                 05/08/13    AMEND

Advaxis, Inc.                           DE       1.01,2.03,9.01       04/26/13

Air Transport Services Group, Inc.      DE       2.02,9.01            05/08/13

ALBANY MOLECULAR RESEARCH INC           DE       2.02,9.01            05/08/13

ALBEMARLE CORP                          VA       5.03,5.07,9.01       05/07/13

ALCO STORES INC                         KS       1.01,2.03,7.01,9.01  05/02/13

ALCOA INC                               PA       5.02,5.03,5.07,9.01  05/03/13

ALEXANDRIA REAL ESTATE EQUITIES INC     MD       8.01                 05/07/13

Alexza Pharmaceuticals Inc.             DE       1.01,3.02,9.01       05/07/13

ALIMERA SCIENCES INC                    DE       1.01,2.03,9.01       05/07/13

Ally Financial Inc.                     DE       5.02                 05/03/13

ALMOST FAMILY INC                       DE       5.07                 05/06/13

Alon USA Energy, Inc.                   DE       2.02,9.01            05/07/13

Alon USA Partners, LP                   DE       2.02,9.01            05/07/13

ALTERA CORP                             DE       5.02,5.07            05/06/13

Amarantus Bioscience Holdings, Inc.     NV       8.01                 05/06/13

AMERICAN AIRLINES INC                   DE       8.01,9.01            05/08/13

AMERICAN CAMPUS COMMUNITIES INC         MD       5.07                 05/02/13

AMERICAN INDEPENDENCE CORP              DE       2.02,9.01            03/31/13

American Realty Capital Properties, I   MD       9.01		      12/31/12    AMEND

AMERICAN SAFETY INSURANCE HOLDINGS LT            2.02,9.01            05/08/13

AMR CORP                                DE       8.01,9.01            05/08/13

AMSURG CORP                             TN       7.01,9.01            05/08/13

ANALOG DEVICES INC                      MA       5.02,9.01            05/08/13

Angie's List, Inc.                      DE       5.07                 05/07/13

AnythingIT, Inc.                        DE       7.01,9.01            05/08/13

AOL Inc.                                DE       2.02,9.01            05/08/13

Apollo Commercial Real Estate Finance   MD       5.07                 05/02/13

Apollo Global Management LLC            DE       8.01,9.01            05/07/13

ARCH COAL INC                           DE       7.01,9.01            05/08/13

ARDEN GROUP INC                         DE       2.02,9.01            05/08/13

Ares Commercial Real Estate Corp        MD       7.01,9.01            05/08/13

ARQULE INC                              DE       2.02,9.01            05/08/13

ASHFORD HOSPITALITY TRUST INC           MD       2.02,9.01            05/08/13

ASSISTED LIVING CONCEPTS INC            NV       2.02,9.01            05/08/13

AtheroNova Inc.                         DE       4.02                 03/21/13    AMEND

ATLANTIC AMERICAN CORP                  GA       5.07                 05/07/13

ATLANTIC POWER CORP                     A1       2.02,9.01            05/08/13

Atlas Energy, L.P.                      DE       2.01,9.01            05/07/13

Atlas Financial Holdings, Inc.          E9       5.02,7.01,9.01       05/02/13

ATLAS PIPELINE PARTNERS LP              DE       1.01,2.01,3.02,      05/07/13
						 5.03,7.01,9.01     

AVANIR PHARMACEUTICALS, INC.            DE       2.02,9.01            05/08/13

AXIALL CORP/DE/                         DE       2.02,7.01,9.01       05/07/13

Axion Power International, Inc.         DE       1.01,2.03,7.01,9.01  05/07/13

BALTIA AIR LINES INC                    NY       4.01                 05/03/13

BANCFIRST CORP /OK/                     OK       7.01,9.01            05/08/13

Bancorp of New Jersey, Inc.             NJ       2.02,9.01            05/06/13

BANK OF AMERICA CORP /DE/               DE       5.07                 05/08/13

BankFinancial CORP                               7.01,8.01,9.01       05/08/13

BANNER CORP                             WA       7.01,9.01            05/08/13

BAY BANKS OF VIRGINIA INC               VA       8.01,9.01            05/08/13

Biodel Inc                              DE       2.02,9.01            05/08/13

BioScrip, Inc.                          DE       2.02,8.01,9.01       05/08/13

BLYTH INC                               DE       2.02                 05/08/13

BofI Holding, Inc.                      DE       2.02,9.01            05/08/13

BONANZA GOLD CORP.                               1.02                 05/03/13

Bridge Capital Holdings                 CA       2.02,9.01            05/08/13

BROADRIDGE FINANCIAL SOLUTIONS, INC.    DE       7.01,9.01            05/08/13

BROADWAY FINANCIAL CORP \DE\            DE       8.01,9.01            05/08/13

BROOKLINE BANCORP INC                   DE       7.01,9.01            05/08/13

BRT REALTY TRUST                        MA       2.02,9.01            05/08/13

BRUNSWICK CORP                          DE       8.01,9.01            05/08/13

CADENCE DESIGN SYSTEMS INC              DE       5.07                 05/03/13

Calumet Specialty Products Partners,    DE       2.02,9.01            05/08/13

Cape Bancorp, Inc.                      MD       8.01,9.01            05/08/13

CAPITAL ONE FINANCIAL CORP              DE       5.07                 05/02/13

CapLease, Inc.                                   2.02,9.01            05/08/13

CAS MEDICAL SYSTEMS INC                 DE       2.02,9.01            05/08/13

CASCADE TECHNOLOGIES CORP               WY       3.02                 03/26/13

CASH AMERICA INTERNATIONAL INC          TX       7.01,9.01            05/08/13

CC Media Holdings Inc                            8.01,9.01            05/08/13

CECO ENVIRONMENTAL CORP                 DE       2.02,8.01,9.01       05/08/13

CECO ENVIRONMENTAL CORP                 DE       9.01                 02/28/13    AMEND

CEDAR FAIR L P                          DE       2.02,4.02,9.01       05/06/13

CENTRAL EUROPEAN MEDIA ENTERPRISES LT            1.01,9.01            05/02/13

CENTRAL GARDEN & PET CO                 DE       2.02,9.01            05/08/13

CENTURYLINK, INC                        LA       2.02,9.01            05/08/13

CENVEO, INC                             CO       2.02,9.01            05/08/13

Cereplast Inc                           NV       8.01,9.01            05/07/13

CF Industries Holdings, Inc.            DE       2.02,9.01            05/08/13

CHAMBERS STREET PROPERTIES              MD       8.01,9.01            05/08/13

Chatham Lodging Trust                   MD       2.02,9.01            05/07/13

China Biologic Products, Inc.                    2.02,7.01,9.01       05/08/13

Clean Energy Fuels Corp.                DE       2.02,9.01            05/08/13

Clear Channel Capital I, LLC            DE       8.01,9.01            05/08/13

CLEAR CHANNEL COMMUNICATIONS INC        TX       8.01,9.01            05/08/13

CNL Growth Properties, Inc.             MD       1.01,2.03,9.01       05/02/13

CNO Financial Group, Inc.               DE       5.07,7.01,9.01       05/08/13

COEUR D ALENE MINES CORP                ID       5.02,9.01            05/08/13

COGNIZANT TECHNOLOGY SOLUTIONS CORP              2.02,5.02,8.01,9.01  05/08/13

COLE CREDIT PROPERTY TRUST IV, INC.     MD       1.01,2.03            05/03/13

COLORADO GOLDFIELDS INC.                NV       5.03,9.01            05/07/13

CombiMatrix Corp                        DE       2.02,9.01            05/07/13

COMFORT SYSTEMS USA INC                          7.01,9.01            05/08/13

CommonWealth REIT                       MD       2.02,9.01            05/08/13

COMSTOCK RESOURCES INC                  NV       5.07                 05/07/13

ConnectOne Bancorp, Inc.                NJ       5.07                 05/08/13

Cooper-Standard Holdings Inc.           DE       8.01,9.01            05/08/13

Cooper-Standard Holdings Inc.           DE       2.02,9.01            05/08/13

CORONADO BIOSCIENCES INC                DE       2.02,9.01            05/08/13

COUSINS PROPERTIES INC                  GA       2.02,9.01            05/08/13

CRIMSON EXPLORATION INC.                         2.02,9.01            05/07/13

CROSSROADS SYSTEMS INC                  DE       8.01,9.01            05/08/13

Cyalume Technologies Holdings, Inc.     DE       2.02,9.01            05/06/13

CyrusOne Inc.                           MD       2.02,7.01,9.01       05/08/13

DALECO RESOURCES CORP                   NV       5.02,9.01            05/01/13

DALECO RESOURCES CORP                   NV       4.01,9.01            05/06/13

DALECO RESOURCES CORP                   NV       4.01,9.01            05/06/13

DANAHER CORP /DE/                       DE       5.02,5.07,9.01       05/07/13

Dealertrack Technologies, Inc           DE       2.02,7.01,9.01       05/08/13

DEERE & CO                              DE       7.01                 05/08/13

Delek Logistics Partners, LP            DE       2.02,9.01            05/07/13

DELTA AIR LINES INC /DE/                DE       7.01,9.01            05/08/13

DEPOMED INC                             CA       2.02,9.01            05/08/13

Diamondback Energy, Inc.                DE       2.02,9.01            05/07/13

DIGIRAD CORP                            DE       5.07,9.01            05/03/13

DLH Holdings Corp.                      NJ       3.01                 05/03/13

DM Products, Inc.                       NV       8.01                 05/08/13

DOLE FOOD CO INC                        DE       2.03,9.01            05/02/13

DRIVETIME AUTOMOTIVE GROUP INC          DE       1.01,2.03,9.01       05/08/13

DTS, INC.                               DE       2.02,9.01            05/08/13

Dynamic Energy Alliance Corp            FL       8.01                 05/08/13

EASTERN AMERICAN NATURAL GAS TRUST      DE       2.02,9.01            05/08/13

Education Realty Trust, Inc.            MD       5.07                 05/08/13

Emerald Oil, Inc.                       MT       2.02,5.02,9.01       05/08/13

EMPIRE ENERGY CORP                      UT       8.01                 05/07/13

Employers Holdings, Inc.                NV       2.02,8.01,9.01       05/08/13

EMULEX CORP /DE/                        DE       8.01,9.01            05/08/13

ENANTA PHARMACEUTICALS INC              DE       2.02,9.01            05/08/13

Energy Recovery, Inc.                   DE       2.02,9.01            05/08/13

Energy Transfer Equity, L.P.            DE       2.02,9.01            05/08/13

Energy Transfer Partners, L.P.          DE       2.02,9.01            05/08/13

EnerSys                                 DE       2.02,9.01            05/08/13

Enstar Group LTD                        D0       5.07                 05/08/13

ENTERCOM COMMUNICATIONS CORP            PA       2.02,9.01            05/08/13

ENVIRONMENTAL SCIENCE & TECHNOLOGIES,   DE       3.02                 05/07/13

EPAM Systems, Inc.                      DE       2.02,9.01            05/08/13

EQUIFAX INC                             GA       5.02,5.07,9.01       05/02/13

Erickson Air-Crane Inc.                 DE       1.01,2.01,2.03,      05/02/13
						 3.03,5.03,9.01     

Essex Rental Corp.                      IL       2.02                 05/07/13

EVOLUTION PETROLEUM CORP                NV       2.02,9.01            05/07/13

ExamWorks Group, Inc.                   DE       2.02,5.07,9.01       05/08/13

Excel Trust, Inc.                       MD       5.07                 05/07/13

EXPERIENCE ART & DESIGN, INC.           NV       1.01,1.02,2.01,2.03, 05/02/12

3.02,4.01,5.01,5.06,9.01   

FEDERAL HOME LOAN MORTGAGE CORP                  2.02,9.01            05/08/13

Fifth Street Finance Corp               DE       8.01,9.01            05/07/13

FIFTH THIRD BANCORP                     OH       8.01,9.01            05/08/13

FINANCIAL INSTITUTIONS INC              NY       7.01,9.01            05/08/13

FIRST ACCEPTANCE CORP /DE/              DE       2.02,9.01            05/08/13

First Bancorp, Inc /ME/                 ME       1.01,9.01            05/08/13

FIRST BUSINESS FINANCIAL SERVICES, IN   WI       7.01,9.01            05/08/13

FIRST COMMUNITY BANCSHARES INC /NV/     NV       7.01,9.01            05/08/13

FIRST PACTRUST BANCORP INC              MD       2.02,9.01            05/08/13

FIRST PACTRUST BANCORP INC              MD       7.01,9.01            05/08/13

Firsthand Technology Value Fund, Inc.            8.01,9.01            05/08/13

Forestar Group Inc.                     DE       2.02,7.01,9.01       05/08/13

FRONTIER COMMUNICATIONS CORP            DE       5.02                 05/08/13

Fuel Systems Solutions, Inc.                     2.02,9.01            05/03/13

Geeknet, Inc                            DE       2.02,9.01            05/08/13

GELTOLOGY INC                           DE       8.01                 05/05/13

GENERAC HOLDINGS INC.                   DE       1.01,9.01            05/06/13

GenMark Diagnostics, Inc.               DE       2.02,9.01            05/08/13

GENSPERA INC                            DE       5.02                 05/06/13

GEO GROUP INC                           FL       1.01,9.01            05/08/13

GEO GROUP INC                           FL       2.02,8.01,9.01       05/08/13

GEO POINT TECHNOLOGIES INC              UT       7.01,9.01            05/08/13

GEOGLOBAL RESOURCES INC.                DE       3.01,5.02            05/07/13

Global Indemnity plc                    L2       2.02,9.01            05/07/13

GLOBECOMM SYSTEMS INC                            2.02,9.01            05/08/13

Golden Minerals Co                               2.02,9.01            05/08/13

GRAN TIERRA ENERGY INC.                 NV       5.02                 05/02/13

GRANITE CITY FOOD & BREWERY LTD.        MN       7.01,9.01            05/08/13

GREEN MOUNTAIN COFFEE ROASTERS INC      DE       2.02,9.01            05/08/13

GREEN MOUNTAIN COFFEE ROASTERS INC      DE       5.02,7.01            05/03/13

GreenChoice International, Inc.         NV       1.01,3.02,9.01       05/06/13

Groupon, Inc.                           DE       2.02,9.01            05/08/13

GSI GROUP INC                           A3       2.02,9.01            05/08/13

GSV Capital Corp.                       MD       2.02,9.01            05/08/13

GULFPORT ENERGY CORP                    DE       2.02,9.01            05/07/13

GWG Holdings, Inc.                      DE       4.01,9.01            05/03/13

HALCON RESOURCES CORP                   DE       8.01                 05/08/13

Hallwood Group Inc                      DE       5.07                 05/07/13

HALOZYME THERAPEUTICS INC               DE       2.02,9.01            05/08/13

HANSEN MEDICAL INC                      DE       8.01,9.01            05/08/13

HANSEN MEDICAL INC                      DE       2.02,9.01            05/08/13

HARSCO CORP                             DE       8.01                 05/08/13

HAWAIIAN ELECTRIC INDUSTRIES INC        HI       2.02,9.01            05/08/13

HEADWATERS INC                          DE       1.01,9.01            05/07/13

HEALTHCARE TRUST OF AMERICA, INC.       MD       2.02,9.01            05/07/13

Heckmann Corp                           DE       2.02,9.01            05/08/13

HELIX ENERGY SOLUTIONS GROUP INC        MN       5.07                 05/08/13

HENNESSY ADVISORS INC                            2.02,7.01,9.01       05/08/13

HERITAGE FINANCIAL CORP /WA/            WA       7.01,9.01            05/08/13

Heritage-Crystal Clean, Inc.            DE       5.07                 05/02/13

HICKORY TECH CORP                       MN       5.07                 05/07/13

HICKORY TECH CORP                       MN       7.01,9.01            05/07/13

Hilltop Holdings Inc.                   MD       5.02                 05/02/13

HOLOGIC INC                             DE       1.01,5.02,7.01,9.01  05/06/13

HUNTINGTON INGALLS INDUSTRIES, INC.     DE       2.02,9.01            05/07/13

IASIS Healthcare LLC                    DE       2.02,9.01            05/08/13

ILLINOIS TOOL WORKS INC                 DE       5.07                 05/03/13

IMMUNOMEDICS INC                        DE       2.02,9.01            05/08/13

INDEPENDENCE HOLDING CO                 DE       2.02,9.01            05/08/13

ING U.S., Inc.                          DE       1.02,8.01,9.01       05/08/13

InspireMD, Inc.                         DE       2.02,7.01,9.01       05/08/13

Insys Therapeutics, Inc.                DE       5.03,9.01            05/06/13

Integrated Drilling Equipment Holding   DE       5.02                 05/04/13

INTER PARFUMS INC                       DE       2.02,7.01,8.01,9.01  05/08/13

INTERNATIONAL FUEL TECHNOLOGY INC       NV       4.01                 05/02/13

INTERNET INFINITY, INC.                 DE       4.01                 05/07/13    AMEND

INTL FCSTONE INC.                       DE       2.02,7.01,9.01       05/08/13

IntraLinks Holdings, Inc.               DE       2.02,8.01,9.01       05/08/13

INVESTMENT TECHNOLOGY GROUP INC         DE       8.01,9.01            05/08/13

Investview, Inc.                        NV       1.01,2.01,           05/02/13
						 2.06,3.02,9.01          

IPASS INC                               DE       2.02,9.01            05/08/13

JACK IN THE BOX INC /NEW/               DE       7.01,9.01            05/08/13

John Bean Technologies CORP             DE       2.02,9.01            05/07/13

JONES GROUP INC                         PA       5.02,9.01            05/08/13

KAMAN CORP                              CT       8.01,9.01            05/08/13

KANSAS CITY SOUTHERN                    DE       1.01,2.03,3.03,      05/03/13
						 8.01,9.01          

Kansas City Southern de Mexico, S.A.             1.01,2.03,           05/03/13
						 3.03,8.01,9.01          

KBS Legacy Partners Apartment REIT, I   MD       1.01,2.01,2.03,9.01  05/08/13

KELLY SERVICES INC                      DE       2.02,9.01            05/08/13

KEMET CORP                              DE       1.01,9.01            05/03/13

KOPIN CORP                              DE       2.02,9.01            05/08/13

LABORATORY CORP OF AMERICA HOLDINGS     DE       7.01                 05/08/13

LAMAR ADVERTISING CO/NEW                DE       2.02,9.01            05/08/13

LANDAUER INC                            DE       7.01,9.01            05/08/13

LAS VEGAS RAILWAY EXPRESS, INC.         DE       5.02                 05/01/13

LAYNE CHRISTENSEN CO                    DE       5.02,9.01            05/02/13

LEXINGTON REALTY TRUST                  MD       1.01,7.01,9.01       05/06/13

LHC Group, Inc                                   2.02,9.01            05/08/13

Liberty Global, Inc.                    DE       7.01                 05/08/13

LIGAND PHARMACEUTICALS INC              DE       2.02,7.01,8.01,9.01  05/08/13

Lightlake Therapeutics Inc.             NV       4.01,9.01            05/06/13

LIONBRIDGE TECHNOLOGIES INC /DE/        DE       2.02,5.07,9.01       05/03/13

LIVEPERSON INC                          DE       2.02,9.01            05/08/13

LOUISIANA BANCORP INC                   LA       5.07                 05/07/13

LRAD Corp                               DE       2.02,9.01            05/08/13

LTC PROPERTIES INC                      MD       7.01,9.01            05/08/13

LYRIS, INC.                                      1.01,2.03,9.01       05/06/13

M I HOMES INC                           OH       5.07                 05/07/13

M I HOMES INC                           OH       5.02                 05/07/13    AMEND

MACATAWA BANK CORP                      MI       5.07                 05/07/13

MACK CALI REALTY CORP                   MD       1.01,9.01            05/08/13

Macquarie Leasing Pty Ltd               C3       8.01,9.01            05/07/13

MAGNETEK, INC.                          DE       2.02                 05/08/13

Maidenform Brands, Inc.                 DE       2.02,9.01            05/08/13

Main Street Capital CORP                MD       1.01,2.03,8.01,9.01  05/08/13

MamaMancini's Holdings, Inc.            NV       1.01,2.01,3.02,4.01, 01/24/13    AMEND
						 5.01,5.02,8.01,9.01        

Manitex International, Inc.             MI       2.02,9.01            05/08/13

MARATHON OIL CORP                       DE       2.02,9.01            05/07/13

MARIN SOFTWARE INC                      DE       2.02,9.01            05/08/13

Market Leader, Inc.                     WA       1.01,8.01,9.01       05/07/13

MASCO CORP /DE/                         DE       8.01,9.01            05/02/13

MASCO CORP /DE/                         DE       7.01,9.01            05/08/13

Massive Dynamics, Inc.                  NV       1.01,2.01,3.02,      04/17/13
						 5.01,5.02,9.01     

Matador Resources Co                    TX       2.02,7.01,9.01       05/08/13

Mattersight Corp                        DE       2.02,7.01,9.01       05/08/13

MAXWELL TECHNOLOGIES INC                DE       5.02,9.01            05/07/13

MBIA INC                                CT       7.01                 05/07/13

MBIA INC                                CT       7.01                 05/08/13

MCDERMOTT INTERNATIONAL INC             R1       2.02,9.01            05/08/13

MCDONALDS CORP                          DE       7.01,9.01            05/08/13

MeetMe, Inc.                            DE       2.02,9.01            05/08/13

MEMC ELECTRONIC MATERIALS INC           DE       1.01,2.03            03/29/13

Memorial Production Partners LP         DE       2.02,7.01,9.01       05/08/13

MERCADOLIBRE INC                                 2.02,7.01,9.01       05/06/13

MERCER INTERNATIONAL INC.               WA       1.01,2.03,9.01       05/02/13

METABOLIX, INC.                                  2.02,9.01            05/08/13

MF Global Holdings Ltd.                 DE       1.03,9.01            05/02/13

MFA FINANCIAL, INC.                     MD       7.01                 05/08/13

MID PENN BANCORP INC                    PA       5.02,5.07,7.01       05/08/13

Midas Medici Group Holdings, Inc.                5.02                 05/01/13

Millennial Media Inc.                   DE       2.02,9.01            05/08/13

MILLER ENERGY RESOURCES, INC.           TN       1.01,8.01,9.01       05/06/13

MILLER INDUSTRIES INC /TN/              TN       2.02,9.01            05/08/13

MINE SAFETY APPLIANCES CO               PA       5.07                 05/07/13

MODEL N, INC.                           DE       5.02                 05/02/13

MONARCH COMMUNITY BANCORP INC           MD       2.02,9.01            05/03/13

MONMOUTH REAL ESTATE INVESTMENT CORP    MD       2.02,7.01,9.01       05/08/13

Monster Beverage Corp                   DE       2.02,9.01            05/08/13

Motorola Solutions, Inc.                DE       5.02,5.07,9.01       05/06/13

MURPHY OIL CORP /DE                     DE       5.07                 05/08/13

MYR GROUP INC.                          DE       2.02,9.01            05/08/13

NACCO INDUSTRIES INC                    DE       5.02,5.07,9.01       05/07/13

NANOSPHERE INC                          DE       2.02,7.01,9.01       05/08/13

National Bank Holdings Corp             DE       7.01                 05/08/13

National Interstate CORP                OH       5.02,5.07,8.01,9.01  05/02/13

NATIONAL RESEARCH CORP                  WI       2.02,9.01            05/07/13

NATURAL HEALTH TRENDS CORP              DE       2.02,9.01            05/08/13

NAUTILUS, INC.                          WA       5.02,5.07            05/01/13

NCR CORP                                MD       2.02,7.01,9.01       05/08/13    AMEND

Neonode, Inc                            DE       2.02,9.01            11/14/12

Neonode, Inc                            DE       5.07                 05/06/13

Neonode, Inc                            DE       2.02,9.01            05/08/13    AMEND

New Source Energy Partners L.P.         DE       5.02,7.01,9.01       05/07/13

NEWELL RUBBERMAID INC                   DE       5.07                 05/07/13

NEWS CORP                                        2.02,7.01,9.01       05/08/13

NEWTEK BUSINESS SERVICES, INC.          NY       2.02,7.01,9.01       05/08/13

Nexeo Solutions Holdings, LLC           DE       1.01,2.03,9.01       05/08/13

NEXSTAR BROADCASTING GROUP INC          DE       2.02,9.01            05/08/13

NIC INC                                 CO       5.07                 05/07/13

NN INC                                  DE       2.02,9.01            05/07/13

NOVATION COMPANIES, INC.                MD       5.07                 05/08/13

NVR INC                                 VA       5.07                 05/07/13

OCCIDENTAL PETROLEUM CORP /DE/          DE       5.03,9.01            05/03/13

OCEANFIRST FINANCIAL CORP               DE       7.01,9.01            05/08/13

Och-Ziff Capital Management Group LLC   DE       5.02,5.07,9.01       05/07/13

OCLARO, INC.                            DE       2.02,9.01            05/07/13

OCTAGON 88 RESOURCES, INC.              NV       8.01,9.01            05/08/12

OFFICE DEPOT INC                        DE       7.01                 05/07/13

OFS Capital Corp                        DE       2.02,9.01            05/08/13

Oiltanking Partners, L.P.               DE       2.02,9.01            05/08/13

OLD SECOND BANCORP INC                  DE       7.01,9.01            05/08/13

OLD SECOND BANCORP INC                  DE       2.02,9.01            04/24/13    AMEND

OMEGA HEALTHCARE INVESTORS INC          MD       2.02,9.01            05/08/13

OMEGA PROTEIN CORP                      NV       7.01,9.01            05/08/13

ONE LIBERTY PROPERTIES INC              MD       2.02,9.01            05/08/13

OPTIMER PHARMACEUTICALS INC                      1.01                 05/02/13

ORASURE TECHNOLOGIES INC                DE       2.02,7.01,9.01       05/08/13

Orexigen Therapeutics, Inc.             DE       2.02,9.01            05/08/13

ORMAT TECHNOLOGIES, INC.                DE       2.02,9.01            05/08/13

ORMAT TECHNOLOGIES, INC.                DE       5.07                 05/08/13

ORTHOFIX INTERNATIONAL N V                       2.02,9.01            05/08/13

Pacific Ethanol, Inc.                   DE       2.02,9.01            05/08/13

Pacira Pharmaceuticals, Inc.            DE       2.02,9.01            05/08/13

PANHANDLE EASTERN PIPE LINE CO LP       DE       7.01,9.01            05/08/13

Patriot Coal CORP                       DE       8.01                 05/02/13

PENNANTPARK INVESTMENT CORP                      2.02,9.01            05/08/13

PERCEPTRON INC/MI                       MI       1.01,8.01,9.01       05/06/13

PEREGRINE PHARMACEUTICALS INC           DE       5.02                 05/06/13

PETMED EXPRESS INC                      FL       8.01,9.01            05/06/13

PG&E Corp                               CA       5.07,8.01            05/06/13

PHARMATHENE, INC                        DE       2.02,9.01            05/08/13

Philip Morris International Inc.        VA       8.01,9.01            05/08/13

Philip Morris International Inc.        VA       5.02,5.07,9.01       05/08/13

Phillips Edison - ARC Shopping Center   MD       9.01                 03/21/13    AMEND

PHOTOMEDEX INC                                   2.02,9.01            05/08/13

PHOTOMEDEX INC                                   8.01                 05/08/13

PINNACLE WEST CAPITAL CORP              AZ       7.01,9.01            05/08/13

PIONEER ENERGY SERVICES CORP            TX       7.01,9.01            05/08/13

PIZZA INN HOLDINGS, INC /MO/                     2.02,9.01            05/08/13

PLUG POWER INC                          DE       1.01,3.03,7.01,9.01  05/08/13

POKERTEK, INC.                          NC       2.02,9.01            05/08/13

Polypore International, Inc.                     2.02,9.01            05/08/13

Polypore International, Inc.                     2.02,9.01            05/08/13

POTLATCH CORP                           DE       5.07                 05/06/13

POWELL INDUSTRIES INC                   NV       2.02,9.01            05/07/13

POWERSECURE INTERNATIONAL, INC.         DE       2.02,9.01            05/08/13

POZEN INC /NC                                    2.02,9.01            05/08/13

PREMIERE GLOBAL SERVICES, INC.          GA       4.01,9.01            05/08/13

PROSPECT CAPITAL CORP                   MD       2.02,7.01,9.01       05/06/13

PROSPECT GLOBAL RESOURCES INC.          NV       2.03,8.01,9.01       05/02/13

PROVIDENCE SERVICE CORP                 DE       2.02,9.01            05/08/13

PSYCHEMEDICS CORP                       DE       2.02,9.01            05/07/13

Q Therapeutics, Inc.                    DE       5.07                 05/06/13

QCR HOLDINGS INC                        DE       1.01,3.03,9.01       05/08/13

QR Energy, LP                           DE       2.02,9.01            05/08/13

Quad/Graphics, Inc.                     WI       2.02,9.01            05/07/13

QUANTUM CORP /DE/                       DE       2.02,9.01            05/08/13

RACKSPACE HOSTING, INC.                          2.02,9.01            05/08/13

RACKSPACE HOSTING, INC.                          5.07                 05/02/13

REAL ESTATE ASSOCIATES LTD VII          CA       1.01,2.01,9.01       05/06/13

Real Goods Solar, Inc.                  CO       2.02,9.01            05/08/13

REALTY INCOME CORP                      MD       5.07                 05/07/13

REGENCY CENTERS CORP                    FL       2.02,9.01            05/07/13

RELM WIRELESS CORP                      NV       2.02,9.01            05/08/13

RENASANT CORP                           MS       8.01                 05/08/13

Resource Capital Corp.                  MD       2.02,9.01            05/07/13

RESPECT YOUR UNIVERSE, INC.             NV       7.01,9.01            05/07/13

Riverbed Technology, Inc.               DE       5.02                 05/03/13

RIVERVIEW BANCORP INC                   WA       2.02,9.01            05/02/13

RLJ Lodging Trust                       MD       2.02,9.01            05/08/13

ROCKWELL MEDICAL, INC.                  MI       2.02,9.01            05/08/13

ROGERS CORP                             MA       5.02,5.07            05/03/13

Rose Rock Midstream, L.P.               DE       2.02,9.01            05/08/13

ROSETTA STONE INC                                2.02,7.01,9.01       05/08/13

Rouse Properties, Inc.                  DE       5.02,5.07,9.01       05/03/13

RVUE HOLDINGS, INC.                     NV       5.02,8.01,9.01       04/11/13

Sanchez Energy Corp                     DE       2.02,7.01,9.01       05/07/13

SANDRIDGE ENERGY INC                    DE       8.01,9.01            05/08/13

SANGAMO BIOSCIENCES INC                 DE       2.02,9.01            05/08/13

SCHWEITZER MAUDUIT INTERNATIONAL INC    DE       2.02,9.01            05/08/13

SEACHANGE INTERNATIONAL INC             DE       5.02,7.01,9.01       05/07/13

SemGroup Corp                           DE       2.02,9.01            05/08/13

SERVICE CORPORATION INTERNATIONAL       TX       7.01,9.01            05/08/13

Shire plc                                        8.01,9.01            05/08/13

Shutterstock, Inc.                               2.02,9.01            05/08/13

SIERRA MONITOR CORP /CA/                CA       2.02,9.01            05/08/13

SILGAN HOLDINGS INC                     DE       8.01,9.01            05/07/13

Six Flags Entertainment Corp                     8.01,9.01            05/08/13

Skilled Healthcare Group, Inc.          DE       5.02,5.07            05/07/13

Skinny Nutritional Corp.                NV       1.03,2.04,9.01       05/03/13

SKY PETROLEUM, INC.                     NV       8.01                 05/07/13

SKYWEST INC                             UT       2.02,9.01            05/08/13

SOLAZYME INC                            DE       2.02,9.01            05/08/13

SOLIGENIX, INC.                         DE       2.02,9.01            05/03/13

SOMERSET HILLS BANCORP                  NJ       7.01,9.01            05/08/13

Southcross Energy Partners, L.P.        DE       2.02,9.01            05/08/13

SOUTHERN UNION CO                       DE       7.01,9.01            05/08/13

SOUTHWESTERN ENERGY CO                  DE       7.01                 05/08/13

SP Bancorp, Inc.                        MD       2.02,9.01            05/08/13

SPARTAN MOTORS INC                      MI       2.02,9.01            05/08/13

SPARTON CORP                            OH       7.01,9.01            05/08/13

SPHERIX INC                             DE       1.01,3.02,8.01,9.01  03/06/13    AMEND

Sputnik Enterprises, Inc                NV       4.01,9.01            05/06/13

ST JOE CO                               FL       2.02,9.01            05/08/13

STAG Industrial, Inc.                            8.01,9.01            10/09/12    AMEND

STANDARD PACIFIC CORP /DE/              DE       5.07                 05/08/13

STANDARD PARKING CORP                   DE       2.02,7.01            05/08/13

STAR GAS PARTNERS LP                    DE       2.02,7.01,9.01       05/08/13

STARWOOD PROPERTY TRUST, INC.                    2.02,9.01            05/08/13

State Auto Financial CORP               OH       5.02,5.07,8.01       05/02/13

STEC, INC.                              CA       2.02,9.01            05/08/13

STEINWAY MUSICAL INSTRUMENTS INC        DE       2.02,9.01            05/08/13

STEVEN MADDEN, LTD.                     DE       2.02,9.01            05/07/13

STILLWATER MINING CO /DE/               DE       5.07                 05/02/13

STILLWATER MINING CO /DE/               DE       8.01,9.01            02/27/13

STONERIDGE INC                          OH       3.01,5.02,5.07,9.01  05/06/13

Stream Global Services, Inc.            DE       2.02,9.01            05/08/13

STREAMTRACK, INC.                                4.02,9.01            04/23/13    AMEND

SUNOCO LOGISTICS PARTNERS L.P.          DE       2.02,9.01            05/08/13

SUPERCONDUCTOR TECHNOLOGIES INC         DE       2.02,9.01            05/08/13

SUPERVALU INC                           DE       5.02,9.01            05/06/13

Susser Holdings CORP                    DE       2.02,9.01            05/08/13

Susser Petroleum Partners LP            DE       2.02,9.01            05/08/13

Sustainable Environmental Technologie   CA       1.02,3.02,9.01       04/30/13

SYNERGY RESOURCES CORP                  CO       8.01,9.01            05/06/13

T-Mobile US, Inc.                       DE       2.02,9.01            05/08/13

T-Mobile US, Inc.                       DE       8.01,9.01            05/08/13

T-Mobile US, Inc.                       DE       2.01,9.01            05/01/13    AMEND

TCP Capital Corp.                       DE       2.02,7.01,9.01       05/08/13

TechTarget Inc                                   2.02,9.01            05/08/13

TEJON RANCH CO                          DE       8.01                 05/07/13

Telanetix,Inc                           DE       1.01,5.07,9.01       05/08/13

TELECOMMUNICATION SYSTEMS INC /FA/      MD       1.01,2.03,3.02,9.01  05/07/13

TELULAR CORP                            DE       2.02,9.01            05/02/13

TERRA NITROGEN CO L P /DE               DE       2.02,9.01            05/08/13

Terreno Realty Corp                     MD       5.07                 05/07/13

Terreno Realty Corp                     MD       1.01,5.02,9.01       05/07/13

TESLA MOTORS INC                        DE       2.02,9.01            05/08/13

TESORO CORP /NEW/                       DE       7.01,9.01            05/08/13

TETRA TECHNOLOGIES INC                  DE       2.02,5.02,5.07,9.01  05/03/13

TEXAS INSTRUMENTS INC                   DE       8.01,9.01            05/01/13

TherapeuticsMD, Inc.                    NV       2.02,9.01            05/08/13

TIDEWATER INC                           DE       8.01,9.01            05/06/13

Tim Hortons Inc.                        A6       2.02,7.01,8.01,9.01  05/08/13

Tim Hortons Inc.                        A6       7.01,9.01            05/08/13

TIMKEN CO                               OH       5.07                 05/07/13

TOOTSIE ROLL INDUSTRIES INC             VA       5.07                 03/30/13

TOTAL SYSTEM SERVICES INC               GA       8.01,9.01            05/08/13

TOWER FINANCIAL CORP                    IN       9.01                 05/08/13

Transcept Pharmaceuticals Inc           DE       2.02,9.01            05/08/13

Transcept Pharmaceuticals Inc           DE       7.01,9.01            05/08/13

TRANSGENOMIC INC                        DE       2.02,9.01            05/08/13

Transocean Ltd.                         V8       2.02,9.01            05/08/13

TRC COMPANIES INC /DE/                  DE       2.02,9.01            05/08/13

Triangle Capital CORP                   MD       2.02,5.02,           05/08/13

5.07,7.01,9.01

TRINITY CAPITAL CORP                    NM       8.01                 05/07/13

TRINITY INDUSTRIES INC                  DE       5.02,5.07,9.01       05/06/13

TRULIA, INC.                            DE       1.01,8.01,9.01       05/07/13

TRUSTCO BANK CORP N Y                   NY       2.02,9.01            04/24/13

Tumi Holdings, Inc.                     DE       2.02,9.01            05/08/13

UMH PROPERTIES, INC.                    MD       2.02,7.01,9.01       05/08/13

UNITED BANCORP INC /MI/                 MI       5.07                 05/07/13

United Continental Holdings, Inc.       DE       8.01,9.01            05/07/13

UNITED RENTALS INC /DE                  DE       5.07                 05/08/13

VALASSIS COMMUNICATIONS INC             DE       5.02,5.07,7.01,9.01  05/08/13

VERTEX PHARMACEUTICALS INC / MA         MA       1.01,5.02,5.07,9.01  05/08/13

VIRTUSA CORP                                     2.02,9.01            05/08/13

VISTA GOLD CORP                         B0       2.02,7.01,9.01       05/07/13

Vitacost.com, Inc.                      DE       2.02,8.01,9.01       05/06/13

VIVUS INC                               CA       2.02,8.01,9.01       05/08/13

Vringo Inc                              DE       5.02,9.01            05/04/13

VSE CORP                                DE       2.02,9.01            05/01/13

VSE CORP                                DE       8.01,9.01            05/07/13

W&T OFFSHORE INC                        TX       2.02,9.01            05/07/13

WABASH NATIONAL CORP /DE                DE       7.01,9.01            05/08/13

Walker & Dunlop, Inc.                   MD       2.02,9.01            05/08/13

WALTER INVESTMENT MANAGEMENT CORP       MD       5.03,5.07            05/03/13

Warner Chilcott plc                              5.07                 05/07/13

WASHINGTON GAS LIGHT CO                 DC       8.01,9.01            05/02/13

WebXU, Inc.                             DE       1.01,2.01            05/03/13

WELLS FARGO & COMPANY/MN                DE       9.01                 05/08/13

Wendy's Co                              DE       2.02,9.01            05/08/13

Wendy's Co                              DE       7.01,9.01            05/08/13

WEST PHARMACEUTICAL SERVICES INC        PA       5.07                 05/07/13

WESTAR ENERGY INC /KS                   KS       2.02,9.01            05/08/13

WHITING PETROLEUM CORP                  DE       5.02,5.07,9.01       05/07/13

WISCONSIN ENERGY CORP                   WI       5.07                 05/02/13

WYNN RESORTS LTD                                 5.07                 05/07/13

XPLORE TECHNOLOGIES CORP                DE       1.01                 05/03/13

XPO Logistics, Inc.                              7.01,9.01            05/07/13

YORK WATER CO                           PA       2.02,9.01            05/08/13

Zalicus Inc.                            DE       1.01,9.01            05/08/13

Zumiez Inc                              WA       7.01,9.01            05/08/13

ZYNEX INC                               NV       2.02,9.01            05/08/13

 

http://www.sec.gov/news/digest/2013/dig050913.htm


Modified: 05/10/2013