 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
Commission announcementsCommission, Finra Issue Investor Alert on Pension or Settlement Income StreamsThe 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:
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:
Bruce Karpati, Chief of Enforcement Division Asset Management Unit, To Leave Commission after 12 YearsThe 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:
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 PROCEEDINGSIn the Matter of Spyridon AdondakisThe 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 HorvathThe 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 TortoraThe 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 GoyalThe 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 RevokedThe 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 ORDERSThe 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 ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeA 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 ChangeThe 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 ChangeThe 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 REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-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 FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
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
|