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ENFORCEMENT PROCEEDINGSCommission Charges Dallas-Based Trader with Front-RunningThe Securities and Exchange Commission today announced fraud charges and an asset freeze against a trader at a Dallas-based investment advisory firm who improperly profited by placing his own trades before executing large block trades for firm clients that had strong potential to increase the stock’s price. The SEC alleges that Daniel Bergin, a senior equity trader at Cushing MLP Asset Management, secretly executed hundreds of trades through his wife’s accounts in a practice known as front running. Bergin illicitly profited by at least $520,000 by routinely purchasing securities in his wife’s accounts earlier the same day he placed much larger orders for the same securities on behalf of firm clients. Bergin concealed his lucrative trading by failing to disclose his wife’s accounts to the firm and avoiding pre-clearance of his trades in those accounts. Bergin also attempted to hide his wife’s accounts from SEC examiners. “Bergin betrayed the trust of his clients by secretly using information about their trades to gain an unfair trading advantage and reap massive profits for himself,” said Marshall S. Sprung, Deputy Chief of the SEC Enforcement Division’s Asset Management Unit. According to the SEC’s complaint filed yesterday in federal court in Dallas, many investment advisers to institutions employ traders to manage their exposure to market price risks and place these large client orders in advantageous market centers with sufficient trading quantities that minimize unfavorable price movements against client interests. Bergin is the trader primarily responsible for managing price exposures related to client orders for equity trades. “Bergin’s misconduct is particularly egregious because his firm depended on him to manage market exposure and risk for its investments. Instead, he pitted his clients’ financial interests against his own,” said David R. Woodcock, Director of the SEC’s Fort Worth Regional Office. According to the SEC’s complaint, Bergin realized at least $1.7 million in profits in his wife’s accounts from 2011 to 2012 as a result of his illegal same-day or front-running trades. More than $520,000 of the $1.7 million represents profits from approximately 132 occasions in which Bergin placed his initial trades in his wife’s account ahead of clients’ trades. According to the SEC’s complaint, more than $1.8 million was withdrawn since July 2012 from a trading account belonging to Bergin’s wife that was undisclosed to his firm. Most of the withdrawals were large transfers to her bank account. The SEC’s complaint names Bergin’s wife Jacqueline Zaun as a relief defendant for the purpose of recovering Bergin’s illegal trading profits in her accounts. In order to halt Bergin’s ongoing scheme, the SEC requested and U.S. District Court Judge Barbara Lynn granted an emergency court order freezing the assets of Bergin and Zaun. The SEC’s complaint alleges that Bergin violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 as well as Section 17(j) of the Investment Company Act of 1940 and Rule 17j-1. The complaint seeks disgorgement, prejudgment interest, and a penalty as well as a permanent injunction against Bergin. The SEC’s investigation was conducted in the Fort Worth Regional Office by Frank Goodrich and Barbara Gunn of the Asset Management Unit. The litigation will be led by Jennifer Brandt and Mr. Goodrich. The examination that led to the investigation was conducted by Mary Walters, Anthony McNeal, Charles Amsler, Brandon Whitaker, Carol Hahn, Dennis Rogers, and Kim Shaw of the Fort Worth office. The SEC appreciates the assistance of the U.S. Attorney’s Office for the Northern District of Texas and the Federal Bureau of Investigation. (Press Rel. 2013-93)[SEC v. Daniel Bergin, et al., Civil Action No. 3:13 CV 1940 (N.D. Tex., filed May 23, 2013)] (LR-22707) In the Matter of Larry Michael ParrishThe Commission announced the issuance of an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities and Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 (Order) against Larry Michael Parrish. The Order finds that on September 25, 2012, the United States District Court for the District of Colorado entered default judgment against Parrish and entered an order permanently enjoining Parrish from violations of Sections 5 and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), (2), and (4) of Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder, in the civil action entitled Securities and Exchange Commission v. Larry Michael Parrish, Civil Action Number 11-cv-00558-WJM-MJW. The Order also finds that the Commission’s complaint alleged that during the period beginning in 2005 and continuing into 2010, Parrish operated a Ponzi scheme that raised about $9.2 million from at least 70 investors in 3 states. Parrish guaranteed 30% annual returns and told investors that the securities were “extremely low risk” because investor funds would be placed safely in escrow and used to secure a line of credit that would be used for the trading program. Parrish’s claims were false: Parrish’s early investors were paid the returns he guaranteed, and about $5 million in total “profit” payments were made to investors. But all or nearly all of these payments were from investor deposits, not profitable trading. Parrish also misappropriated at least $780,000 from investors for his personal benefit. No investor funds remain. Based on the above, the Order bars Parrish from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent, and from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Parrish consented to the issuance of the Order without admitting or denying the findings except as to the Commission’s jurisdiction over him, the subject matter of the proceedings and the findings contained in Section III.2 of the Order. (Rel. 34-69637; File No. 3-15068) In the Matter of Deer Hill Financial Group, LLCThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Deer Hill Financial Group, LLC. The Order finds that Deer Hill operated as an unregistered investment adviser and broker-dealer in Danbury Connecticut and that on May 16, 2013, a final judgment was entered, by consent, in Securities and Exchange Commission v. Deer Hill Financial Group, LLC et al., Civil Action Number 12-01317, in the United States District Court for the District of Connecticut. The Court’s judgment permanently enjoins Deer Hill from future violations of Section 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The Commission’s complaint alleged that from at least 2002 through at least November 2011, Stephen B. Blankenship engaged in a scheme to misappropriate at least $600,000 from at least 12 brokerage customers by falsely representing that he would invest their funds in securities through Defendant Deer Hill, a Connecticut-based limited liability company, formed by Blankenship. According to the complaint most of the investors lied to by Blankenship were brokerage customers of his, first at Syndicated Capital, Inc., a registered broker-dealer based in Santa Monica, California and then at Vanderbilt Securities, LLC, a registered broker-dealer based in Melville, New York. (Rel. 34-69640; File No. 3-15333) For further information, see Litigation Release No. 22479 (September 13, 2012)(SEC Charges Connecticut-Based Broker for Stealing Investor Funds); Exchange Act Release No. 68038 (October 11, 2012); Litigation Release No. 22571 (December 14, 2012)(Blankenship sentenced in related criminal proceeding and ordered to pay restitution); and Litigation Release No. 22701 (May 16, 2013) (Final Judgments by consent entered against Deer Hill and Blankenship). INVESTMENT COMPANY ORDERSASA Gold and Precious Metals LimitedA notice has been issued giving interested persons until June 17, 2013, to request a hearing on an application filed by ASA Gold and Precious Metals Limited (ASA), a closed-end management investment company registered under Section 7(d) of the Investment Company Act of 1940, for an order that would permit ASA to make changes to its custodial arrangements without prior Commission approval, hold assets and conduct certain securities transactions in specified foreign countries, as well as permit ASA and certain other persons to designate CT Corporation System in the U.S. to accept service of process. (Rel. IC-30539 - May 22, 2013) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by NASDAQ OMX PHLX LLC relating to $0.50 and $1 strike price intervals for classes in the Short Term Option Series Program (SR-Phlx-2013-55) 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 27th. (Rel. 34-69633) A proposed rule change filed by NASDAQ OMX PHLX LLC to Adopt a Rule Governing Cancellation of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution, and to Make Related Clarifications to Rule Text (SR-Phlx-2013-56) 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 27th. (Rel. 34-69632) A proposed rule changed filed by The NASDAQ Stock Market LLC to adopt a new routing option, MOPB, under Rule 4758(a)(1)(A) (SR-NASDAQ-2013-078) 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 27th. (Rel. 34-69631) Notice of Proposed Rule ChangeChicago Board Options Exchange, Incorporated has filed a proposed rule change (SR-CBOE-2013-054) under Rule 19b-4 of the Securities Exchange Act of 1934 to amend Rule 6.42. Publication is expected in the Federal Register during the week of May 27th. (Rel. 34-69629) The Chicago Board Options Exchange, Incorporated filed a proposed rule change (SR-CBOE-2013-055) to amend its rules regarding the trading of XSP options. Publication is expected in the Federal Register during the week of May 27th. (Rel. 34-69638) NYSE Arca, Inc. filed with the Securities and Exchange Commission a proposed rule change (SR-NYSEArca-2013-56) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to listing and trading of shares of the PowerShares China A-Share Portfolio under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of May 27th. (Rel. 34-69634) NYSE Arca, Inc. filed with the Securities and Exchange Commission a proposed rule change (SR-NYSEArca-2013-52) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to list and trade shares of the First Trust Morningstar Futures Strategy Fund under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of May 27th. (Rel. 34-69636) Order Approving Proposed Rule ChangeThe Commission has approved a proposed rule change (SR-MSRB-2013-02), filed by the Municipal Securities Rulemaking Board (“MSRB”), to amend MSRB Rule G-39, on telemarketing. Publication is expected in the Federal Register during the week of May 27th. (Rel. 34-69635) 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. S-3ASR Dr Pepper Snapple Group, Inc., 5301 LEGACY DRIVE, PLANO, TX, 75024,
(972) 673-7000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-188780 - May. 23) (BR. 09B)
S-1 PowerMedChairs, 8221 WASHINGTON ST, CHAGRIN FALLS, OH, 44023,
440-543-4645 - 204,000 ($20,400.00) Equity, (File 333-188781 - May. 23)
(BR. 10B)
S-1 NOODLES & Co, 520 ZANG ST., SUITE D, BROOMFIELD, CO, 80021,
7202141921 - 0 ($75,000,000.00) Equity, (File 333-188783 - May. 23)
(BR. 05B)
S-3 CHEMICAL FINANCIAL CORP, 235 E MAIN ST, MIDLAND, MI, 48640,
989-839-5350 -
100,000,000 ($100,000,000.00) Unallocated (Universal) Shelf,
(File 333-188784 - May. 23) (BR. 07C)
S-1 ENVOY GROUP CORP., 3811 ALDEN WAY, SARASOTA, FL, 34232, 941-650-3848 -
3,000,000 ($37,500.00) Equity, (File 333-188785 - May. 23) (BR. 11)
S-3ASR PROASSURANCE CORP, 100 BROOKWOOD PLACE, BIRMINGHAM, AL, 35209,
2058774400 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-188786 - May. 23) (BR. 01B)
S-8 CONTINENTAL RESOURCES, INC, 20 NORTH BROADWAY, OKLAHOMA CITY, OK,
73102, 4052349000 - 0 ($846,489,097.00) Equity, (File 333-188787 -
May. 23) (BR. 04B)
S-8 AXT INC, 4281 TECHNOLOGY DR., FREMONT, CA, 94538, 510.438.4734 -
2,000,000 ($5,520,000.00) Equity, (File 333-188788 - May. 23) (BR. 10A)
S-8 BAKER HUGHES INC, 2929 ALLEN PARKWAY, SUITE 2100, HOUSTON, TX,
77019-2118, 7134398600 - 8,000,000 ($382,720,000.00) Equity,
(File 333-188789 - May. 23) (BR. 04A)
S-8 MANNKIND CORP, 28903 NORTH AVE PAINE, VALENCIA, CA, 91355, 6617755300 -
0 ($254,892,545.84) Equity, (File 333-188790 - May. 23) (BR. 01B)
S-3ASR REYNOLDS AMERICAN INC, 401 NORTH MAIN ST, WINSTON SALEM, NC, 27102,
3367412000 - 0 ($0.00) Debt, (File 333-188791 - May. 23) (BR. 05A)
S-8 AETNA INC /PA/, 151 FARMINGTON AVENUE, HARTFORD, CT, 06156,
8602730123 - 0 ($14,862,500.00) Equity, (File 333-188792 - May. 23)
(BR. 01A)
S-8 URS CORP /NEW/, 600 MONTGOMERY STREET, 26TH FLOOR, SAN FRANCISCO, CA,
94111, 4157742700 - 1,500,000 ($70,605,000.00) Equity,
(File 333-188793 - May. 23) (BR. 06A)
S-8 FISERV INC, 255 FISERV DR, PO BOX 979, BROOKFIELD, WI, 53045,
4148795000 - 0 ($896,900,000.00) Equity, (File 333-188795 - May. 23)
(BR. 03B)
S-8 DYNAMIC MATERIALS CORP, 3036655700 - 0 ($10,860,750.00) Equity,
(File 333-188796 - May. 23) (BR. 06B)
S-4 CECO ENVIRONMENTAL CORP, 4625 RED BANK ROAD, SUITE 200, CINCINNATI, OH,
45227, 4165936543 - 0 ($95,130,000.00) Equity, (File 333-188797 -
May. 23) (BR. 06C)
S-8 WELLCARE HEALTH PLANS, INC., 8725 HENDERSON ROAD, RENAISSANCE ONE,
TAMPA, FL, 33634, 8132906200 - 3,200,000 ($165,104,000.00) Equity,
(File 333-188798 - May. 23) (BR. 01A)
S-3ASR CHUBB CORP, 15 MOUNTAIN VIEW ROAD, WARREN, NJ, 07061, 9089032000 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-188799 - May. 23)
(BR. 01A)
S-1 Galenfeha, Inc., 2705 BROWN TRAIL, SUITE 100, BEDFORD, TX, 76021,
800-280-2404 - 8,000,000 ($200,000.00) Equity, (File 333-188800 -
May. 23) (BR. )
S-8 CROWN CASTLE INTERNATIONAL CORP, 1220 AUGUSTA DRIVE, SUITE 500,
HOUSTON, TX, 77057, 7135703000 - 0 ($1,093,010,000.00) Equity,
(File 333-188801 - May. 23) (BR. 11A)
S-1 Axion Power International, Inc., 3601 CLOVER LANE, NEW CASTLE, PA,
16105, 905-264-1991 - 61,327,781 ($15,331,945.00) Equity,
(File 333-188802 - May. 23) (BR. 10A)
S-8 INVACARE CORP, ONE INVACARE WAY, P O BOX 4028, ELYRIA, OH, 44036,
4403296000 - 4,460,337 ($65,566,953.90) Equity, (File 333-188803 -
May. 23) (BR. 10A)
S-4 SONIC AUTOMOTIVE INC, 4401 COLWICK ROAD, CHARLOTTE, NC, 28211,
704-566-2400 - 0 ($300,000,000.00) Non-Convertible Debt,
(File 333-188804 - May. 23) (BR. 02A)
S-8 GOLDCORP INC, SUITE 3400, 666 BURRARD STREET, VANCOUVER, A1, V6C 2X8,
604-696-3000 - 240,000 ($6,415,200.00) Equity, (File 333-188805 -
May. 23) (BR. 09B)
S-11 Rexford Industrial Realty, Inc., 11620 WILSHIRE BOULEVARD, SUITE 300,
LOS ANGELES, CA, 90025, 310-966-1680 - 0 ($300,000,000.00) Equity,
(File 333-188806 - May. 23) (BR. 08C)
S-8 First NBC Bank Holding Co, 210 BARONNE STREET, NEW ORLEANS, LA, 70112,
(504) 566-8000 - 0 ($32,211,920.00) Equity, (File 333-188808 - May. 23)
(BR. 07)
S-8 AXIALL CORP/DE/, 115 PERIMETER CENTER PLACE, STE. 460, ATLANTA, GA,
30346, 7703954500 - 0 ($97,283,842.15) Equity, (File 333-188809 -
May. 23) (BR. 06B)
S-4 Nuverra Environmental Solutions, Inc., 14646 N. KIERLAND BLVD,
SUITE 260, SCOTTSDALE, AZ, 85254, 602-903-7802 -
0 ($150,000,000.00) Debt, (File 333-188810 - May. 23) (BR. 04B)
S-8 AXIALL CORP/DE/, 115 PERIMETER CENTER PLACE, STE. 460, ATLANTA, GA,
30346, 7703954500 - 0 ($30,777,500.00) Other, (File 333-188811 -
May. 23) (BR. 06B)
S-3ASR AMERICAN TOWER CORP /MA/, 116 HUNTINGTON AVE, BOSTON, MA, 02116,
6173757500 - 0 ($0.00) Other, (File 333-188812 - May. 23) (BR. 08B)
S-1 TREMOR VIDEO INC., 53 WEST 23RD STREET, 12TH FLOOR, NEW YORK, NY,
10010, 646-723-5309 - 0 ($86,250,000.00) Equity, (File 333-188813 -
May. 23) (BR. 11C)
S-8 AETNA INC /PA/, 151 FARMINGTON AVENUE, HARTFORD, CT, 06156,
8602730123 - 0 ($5,945,000.00) Equity, (File 333-188814 - May. 23)
(BR. 01A)
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
ACE MARKETING & PROMOTIONS INC NY 7.01,9.01 05/23/13
Actavis, Inc. NV 1.01,9.01 05/19/13
ACTIVE NETWORK INC DE 5.02,9.01 05/21/13
ADCARE HEALTH SYSTEMS INC OH 3.01,9.01 05/17/13
ADT Corp DE 7.01,9.01 05/23/13
ADVANCE AUTO PARTS INC DE 2.02,9.01 05/23/13
AEMETIS, INC NV 1.01,9.01 05/17/13
AEOLUS PHARMACEUTICALS, INC. DE 5.02 05/20/13
AEROPOSTALE INC 2.02,9.01 05/23/13
ALASKA AIR GROUP, INC. DE 8.01 05/21/13
Alexza Pharmaceuticals Inc. DE 8.01,9.01 05/23/13
Alkermes plc. 2.02,5.02,5.03,9.01 05/21/13
Ally Financial Inc. DE 1.01 05/23/13
AlphaPoint Technology, Inc. DE 3.02 05/21/13
AlphaPoint Technology, Inc. DE 7.01 05/22/13
Aly Energy Services, Inc. DE 8.01,9.01 05/23/13
Ameris Bancorp GA 5.07 05/21/13
AMGEN INC DE 5.02,5.07,9.01 05/22/13
Andina Acquisition Corp E9 2.03,3.02 05/20/13
ANNALY CAPITAL MANAGEMENT INC MD 5.07 05/23/13
ANNALY CAPITAL MANAGEMENT INC MD 8.01,9.01 05/23/13
ANSYS INC DE 5.07 05/22/13
ANWORTH MORTGAGE ASSET CORP MD 5.07,9.01 05/23/13
Apollo Acquisition Corp E9 5.02 05/17/13
APOLLO INVESTMENT CORP MD 2.02,9.01 05/23/13
Apple REIT Ten, Inc. VA 1.01 05/21/13
ARQULE INC DE 5.07,9.01 05/20/13
ASHFORD HOSPITALITY TRUST INC MD 8.01 05/23/13
ASSURED GUARANTY LTD D0 7.01 05/23/13
AVEO PHARMACEUTICALS INC DE 8.01 05/23/13
AVIS BUDGET GROUP, INC. DE 5.07 05/23/13
AWARE INC /MA/ MA 5.07 05/22/13
AXIALL CORP/DE/ DE 8.01,9.01 05/23/13
AZZ INC TX 8.01 05/22/13
BALL CORP IN 1.01,9.01 05/22/13
BANCFIRST CORP /OK/ OK 5.07,7.01 05/23/13
Bancorp of New Jersey, Inc. NJ 5.07 05/22/13
Bank of Commerce Holdings CA 8.01,9.01 05/23/13
BAR HARBOR BANKSHARES ME 5.02 05/21/13
BAY BANKS OF VIRGINIA INC VA 5.07 05/20/13
BEACON ENTERPRISE SOLUTIONS GROUP INC NV 7.01,9.01 05/22/13
BEL FUSE INC /NJ NJ 5.07 05/23/13
BIOLOGIX HAIR INC. NV 1.01,3.02,9.01 05/17/13
BIOTIME INC CA 5.07,9.01 05/21/13
BLACKSTONE MORTGAGE TRUST, INC. MD 1.01,9.01 05/21/13
BNC BANCORP NC 5.02,5.07,9.01 05/21/13
BON TON STORES INC PA 2.02,9.01 05/23/13
Bristow Group Inc DE 2.02,9.01 05/22/13
Bristow Group Inc DE 7.01,9.01 05/23/13
BROCADE COMMUNICATIONS SYSTEMS INC DE 8.01 05/20/13
BUCKLE INC NE 2.02,9.01 05/23/13
C & F FINANCIAL CORP VA 8.01,9.01 05/22/13
CALIFORNIA WATER SERVICE GROUP DE 5.02,5.07 05/21/13
Campus Crest Communities, Inc. MD 5.02 05/21/13
CARBO CERAMICS INC DE 5.07 05/21/13
CardioNet, Inc. CA 1.01,9.01 05/23/13
Carey Watermark Investors Inc 9.01 03/12/13 AMEND
CARRIAGE SERVICES INC DE 5.07 05/22/13 AMEND
CATO CORP DE 2.02,9.01 05/04/13
CAVCO INDUSTRIES INC DE 2.02,5.02,9.01 05/17/13
CC Media Holdings Inc 5.07 05/17/13
CENTRAL FEDERAL CORP DE 5.02 05/23/13
CENTURYLINK, INC LA 8.01,9.01 05/23/13
CF Industries Holdings, Inc. DE 1.01,2.03,9.01 05/20/13
CHART INDUSTRIES INC DE 5.07 05/23/13
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 05/23/13
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 05/23/13
CHEESECAKE FACTORY INC DE 8.01,9.01 05/23/13
CHEMICAL FINANCIAL CORP MI 7.01,9.01 05/23/13
CHESAPEAKE ENERGY CORP OK 5.02,7.01,9.01 05/23/13
CHILDRENS PLACE RETAIL STORES INC 2.02,9.01 05/23/13
CHINA SHEN ZHOU MINING & RESOURCES, I NV 3.01,7.01,9.01 05/17/13
CHIPOTLE MEXICAN GRILL INC 5.02,5.07,8.01 05/17/13
CIGNA CORP DE 7.01 05/23/13
CIRRUS LOGIC INC DE 7.01,9.01 05/23/13
CLAIRES STORES INC DE 2.02,9.01 05/22/13
Clear Channel Capital I, LLC DE 5.02 05/17/13
CLEAR CHANNEL COMMUNICATIONS INC TX 5.02 05/17/13
Clear Channel Outdoor Holdings, Inc. DE 5.07 05/17/13
Colonial Financial Services, Inc. 5.02 05/22/13
COLUMBIA PROPERTY TRUST, INC. MD 5.02 05/17/13
COLUMBUS MCKINNON CORP NY 2.02,9.01 05/23/13
COLUMBUS MCKINNON CORP NY 5.02 05/19/13
COMMUNICATIONS SYSTEMS INC MN 5.07,8.01,9.01 05/21/13
COMMUNITY HEALTH SYSTEMS INC DE 5.07 05/21/13
Community Health Systems, Inc. 5.07 05/21/13
COMPUWARE CORP MI 2.02,9.01 05/21/13
CONSOLIDATED EDISON INC NY 5.02,5.07,9.01 05/20/13
Cooper-Standard Holdings Inc. DE 1.01,2.03,9.01 05/20/13
Corporate Resource Services, Inc. DE 8.01,9.01 05/23/13
CUBIC ENERGY INC TX 5.07 05/22/13
DATALINK CORP MN 5.07 05/22/13
DAVEY TREE EXPERT CO OH 5.07 05/21/13
DDR CORP OH 8.01,9.01 05/16/13
DecisionPoint Systems, Inc. DE 5.02 05/17/13
DEMAND MEDIA INC. DE 5.02,7.01,9.01 05/23/13
DENTSPLY INTERNATIONAL INC /DE/ DE 5.07 05/23/13
DEX MEDIA, INC. DE 1.03 03/18/13
DICE HOLDINGS, INC. DE 5.02,5.07 05/17/13
DIME COMMUNITY BANCSHARES INC DE 5.07 05/23/13
Discover Card Execution Note Trust DE 8.01 05/23/13
DOLE FOOD CO INC DE 5.07 05/23/13
DOLLAR TREE INC VA 2.02,7.01,9.01 05/23/13
DOVER Corp DE 7.01,9.01 05/23/13
DSP GROUP INC /DE/ DE 8.01,9.01 05/23/13
DYCOM INDUSTRIES INC FL 2.02,7.01,9.01 05/22/13
ECHELON CORP DE 5.07 05/21/13
Echo Therapeutics, Inc. DE 5.07 05/22/13
Edgen Group Inc. DE 7.01,9.01 05/23/13
ELEPHANT TALK COMMUNICATIONS CORP DE 3.01,7.01,9.01 05/23/13
Ellington Financial LLC DE 8.01,9.01 05/23/13
Ellington Financial LLC DE 7.01 05/23/13
EMC INSURANCE GROUP INC IA 7.01,9.01 05/23/13
EMCORE CORP NJ 1.01,2.03,9.01 05/21/13
Emerald Oil, Inc. MT 7.01,9.01 05/22/13
Emergent BioSolutions Inc. DE 5.07 05/23/13
ENDEAVOUR INTERNATIONAL CORP NV 3.03,5.03,9.01 05/22/13
ENDO HEALTH SOLUTIONS INC. DE 5.07,9.01 05/22/13
ENERGY FOCUS, INC/DE DE 1.01,2.03,3.02,9.01 05/07/13
ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 8.01,9.01 05/23/13
Ever-Glory International Group, Inc. FL 4.02,9.01 04/13/13 AMEND
EXELIXIS, INC. DE 5.07 05/22/13
Federal Home Loan Bank of Atlanta X1 8.01,9.01 05/23/13
Federal Home Loan Bank of Atlanta X1 2.03 05/20/13
Federal Home Loan Bank of Boston X1 2.03 05/21/13
Federal Home Loan Bank of Chicago X1 2.03 05/20/13
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 05/21/13
Federal Home Loan Bank of Des Moines X1 2.03,9.01 05/21/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 05/23/13
Federal Home Loan Bank of New York X1 2.03,9.01 05/20/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 05/20/13
Federal Home Loan Bank of San Francis X1 2.03 05/20/13
Federal Home Loan Bank of Seattle 2.03 05/20/13
Federal Home Loan Bank of Topeka 2.03,9.01 05/21/13
FedFirst Financial Corp 8.01,9.01 05/23/13
FedFirst Financial Corp 5.07 05/23/13
FERRO CORP OH 5.02,5.07,9.01 05/22/13
Fidelity National Financial, Inc. 5.02 05/22/13
Fidelity National Financial, Inc. 5.07 05/22/13
FINANCIAL INSTITUTIONS INC NY 5.02,8.01,9.01 05/23/13
FIRST BUSEY CORP /NV/ NV 5.07 05/23/13
FIRSTBANK CORP MI 8.01,9.01 05/23/13
FIRSTBANK CORP MI 1.01,2.03,3.03,9.01 05/17/13
FIRSTCITY FINANCIAL CORP DE 5.07,8.01,9.01 05/17/13
FIRSTCITY FINANCIAL CORP DE 1.01,2.01, 05/17/13
2.03,3.01,3.03,5.01,5.02,5.03,9.01
FIRSTENERGY CORP OH 5.07 05/21/13
FISHER COMMUNICATIONS INC WA 7.01 05/23/13
FLUSHING FINANCIAL CORP DE 5.07 05/21/13
FOCUS GOLD Corp 3.02,9.01 05/21/13
FreightCar America, Inc. DE 5.07 05/17/13
Fuse Science, Inc. NV 7.01 05/22/13
FUSION-IO, INC. DE 5.02 05/19/13
GALECTIN THERAPEUTICS INC NV 7.01,9.01 05/23/13
GameStop Corp. DE 2.02,8.01,9.01 05/23/13
GAP INC DE 2.02,9.01 05/23/13
GENERAL METALS CORP DE 1.01,9.01 05/14/13
GILMAN CIOCIA, INC. DE 5.02 05/23/13
GLEACHER & COMPANY, INC. DE 5.02,7.01,8.01,9.01 05/23/13
Global Cash Access Holdings, Inc. DE 1.01,9.01 05/22/13
GOLDEN QUEEN MINING CO LTD A1 5.02 05/15/13
GOLDMAN SACHS GROUP INC DE 5.02,5.07 05/23/13
GOODRICH PETROLEUM CORP DE 5.07 05/21/13
Gordmans Stores, Inc. DE 2.02,9.01 05/23/13
Gordmans Stores, Inc. DE 5.07 05/22/13
GRAPHIC PACKAGING HOLDING CO DE 5.02,5.07 05/22/13
GREEN DOT CORP DE 5.07 05/22/13
GUIDED THERAPEUTICS INC DE 1.01,3.02,5.03,9.01 05/22/13
GUIDED THERAPEUTICS INC DE 1.01,3.02,5.03,9.01 05/23/13 AMEND
GYRODYNE CO OF AMERICA INC NY 1.01,5.02,9.01 05/17/13
HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 05/23/13
Hannon Armstrong Sustainable Infrastr MD 2.02,9.01 05/23/13
Hatteras Financial Corp 5.07 05/21/13
HCC INSURANCE HOLDINGS INC/DE/ DE 5.07 05/22/13
HELMERICH & PAYNE INC DE 8.01,9.01 05/23/13
HERCULES OFFSHORE, INC. DE 7.01,9.01 05/23/13
Heron Lake BioEnergy, LLC MN 1.01,3.02 05/17/13
Hines Global REIT, Inc. MD 8.01 05/23/13
HORMEL FOODS CORP /DE/ DE 2.02,9.01 05/23/13
HPEV, INC. NV 4.01,9.01 04/26/13 AMEND
HUNTINGTON BANCSHARES INC/MD MD 5.02,8.01,9.01 05/22/13
HUNTINGTON PREFERRED CAPITAL INC OH 5.02 05/22/13
Imperial Holdings, Inc. 1.01 05/21/13
INFINITY PROPERTY & CASUALTY CORP OH 5.02,5.07 05/21/13
INFOBLOX INC 2.02,9.01 05/23/13
ING U.S., Inc. DE 2.02,5.02,9.01 05/20/13
INSPERITY, INC. DE 7.01 05/22/13
InspireMD, Inc. DE 7.01,8.01,9.01 05/23/13
INSTITUTIONAL FINANCIAL MARKETS, INC. MD 8.01,9.01 05/23/13
INTEGRA LIFESCIENCES HOLDINGS CORP DE 5.07 05/22/13
INTERNATIONAL BANCSHARES CORP TX 5.03,5.07,9.01 05/20/13
INVIVO THERAPEUTICS HOLDINGS CORP. NV 3.02,9.01 05/17/13
IXYS CORP /DE/ DE 1.01,5.02 05/17/13
JPMORGAN CHASE & CO DE 5.07 05/21/13
KAISER VENTURES LLC DE 1.01,3.03, 05/22/13
5.02,5.07,9.01
KEATING CAPITAL INC 7.01,9.01 05/23/13
KEYCORP /NEW/ OH 5.02,9.01 05/19/13
KIMBERLY CLARK CORP DE 8.01,9.01 05/20/13
KIMCO REALTY CORP MD 1.01,9.01 05/23/13
Kior Inc DE 3.02,9.01 05/17/13
KOHLS Corp WI 5.02 05/20/13
KOHLS Corp WI 8.01,9.01 05/17/13
KRATOS DEFENSE & SECURITY SOLUTIONS, DE 5.07 05/22/13
L3 CORP DE 4.01,9.01 04/30/13 AMEND
LAKE AREA CORN PROCESSORS LLC SD 1.01,5.07 05/20/13
LAKES ENTERTAINMENT INC MN 7.01,9.01 05/22/13
LANDMARK BANCORP INC DE 5.02,5.07 05/22/13
Line Up Advertisement, Inc. NV 5.02,9.01 05/19/13
LIVEPERSON INC DE 8.01 05/22/13
MAGELLAN HEALTH SERVICES INC DE 5.07 05/22/13
MARVELL TECHNOLOGY GROUP LTD D0 2.02,8.01,9.01 05/23/13
MDU COMMUNICATIONS INTERNATIONAL INC DE 1.02,8.01 05/22/13
MEDICAL ACTION INDUSTRIES INC DE 5.02 05/21/13
MEDIFAST INC DE 5.02,9.01 05/23/13
Memorial Production Partners LP DE 1.01,2.03,8.01,9.01 05/20/13
MENTOR GRAPHICS CORP OR 2.02 05/23/13
MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 05/15/13
MFA FINANCIAL, INC. MD 5.07 05/22/13
MICHAELS STORES INC DE 2.02,9.01 05/23/13
MID AMERICA APARTMENT COMMUNITIES INC TN 8.01,9.01 05/23/13
MIDSOUTH BANCORP INC LA 8.01,9.01 05/21/13
MIMEDX GROUP, INC. FL 1.01,2.03,8.01,9.01 05/17/13
MINISTRY PARTNERS INVESTMENT COMPANY, CA 3.03,5.07,9.01 05/14/13
Motorola Solutions, Inc. DE 5.02 05/23/13
MULTI FINELINE ELECTRONIX INC 8.01 05/22/13
Nano Labs Corp. CO 1.01,9.01 04/07/13
NASDAQ OMX GROUP, INC. DE 1.01 05/17/13
Nationstar Mortgage Holdings Inc. DE 5.07 05/22/13
Nationstar Mortgage Holdings Inc. DE 8.01,9.01 05/23/13
NELNET INC NE 5.07 05/23/13
NEPHROS INC DE 8.01,9.01 05/23/13
NetSpend Holdings, Inc. DE 8.01,9.01 05/21/13
Neuralstem, Inc. DE 7.01,8.01,9.01 05/20/13
NEW PEOPLES BANKSHARES INC VA 5.07 05/22/13
New York & Company, Inc. 5.02 05/21/13
New York & Company, Inc. 2.02,9.01 05/23/13
NII HOLDINGS INC DE 1.01,2.03,9.01 05/23/13
NII HOLDINGS INC DE 5.02,5.03, 05/22/13
5.07,8.01,9.01
NORDSON CORP OH 2.02,9.01 05/23/13
NORTHWEST BANCORPORATION INC WA 5.07 05/20/13
NORTHWEST BIOTHERAPEUTICS INC DE 8.01,9.01 05/23/13
Novation Holdings Inc FL 1.01,9.01 05/22/13
NUMBEER, INC. NV 1.01,2.01,3.02, 05/22/13
4.01,5.01,5.02,5.03,5.06,9.01
Nuverra Environmental Solutions, Inc. DE 8.01,9.01 05/23/13
Ocean Shore Holding Co. 5.07 05/22/13
Ohr Pharmaceutical Inc 5.02,9.01 05/17/13
OLD NATIONAL BANCORP /IN/ IN 8.01 05/23/13
OMNICELL, Inc CA 5.07 05/21/13
OMNICOM GROUP INC. NY 5.02,5.07,9.01 05/21/13
ONYX PHARMACEUTICALS INC DE 5.02,5.07,9.01 05/23/13
Pandora Media, Inc. DE 2.02,9.01 05/23/13
PATRICK INDUSTRIES INC IN 7.01 05/23/13
PATTERSON COMPANIES, INC. MN 2.02,9.01 05/23/13
PediatRx Inc. NV 1.01 05/17/13
PERFICIENT INC DE 7.01,9.01 05/17/13
PERRIGO CO MI 3.01,9.01 05/23/13
PERRY ELLIS INTERNATIONAL INC FL 2.02,9.01 05/23/13
PetroLogistics LP DE 1.01,9.01 03/28/13
PETROQUEST ENERGY INC DE 5.07 05/21/13
PGT, Inc. DE 1.01,9.01 05/21/13
PHARMACYCLICS INC DE 5.05 05/21/13
PHL VARIABLE INSURANCE CO /CT/ 7.01 05/23/13
Pike Electric CORP 5.02 05/22/13
PLY GEM HOLDINGS INC DE 8.01 05/23/13
PMI GROUP INC DE 7.01,9.01 05/23/13
Polar Petroleum Corp. 1.01,2.03,7.01,9.01 05/20/13
Polonia Bancorp Inc MD 5.02,5.07 05/21/13
POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 05/23/13
PPLUS Trust Series GSC-2 DE 8.01,9.01 05/15/13
Puramed Bioscience Inc. MN 5.02 05/23/13
QUALITY SYSTEMS, INC CA 2.02,5.02,8.01,9.01 05/22/13
QUEST DIAGNOSTICS INC DE 5.03,5.07 05/21/13
QUICKSILVER RESOURCES INC DE 7.01,9.01 05/23/13
RALPH LAUREN CORP DE 2.02,9.01 05/23/13
RANGE RESOURCES CORP DE 5.07 05/22/13
REALGOLD INTERNATIONAL INC NV 5.03 05/16/13
REPROS THERAPEUTICS INC. DE 8.01,9.01 05/22/13
Rockville Financial, Inc. /CT/ CT 8.01,9.01 05/23/13
Rockwood Holdings, Inc. DE 5.07 05/21/13
ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 2.02,7.01,9.01 05/23/13
ROSS STORES INC DE 2.02,9.01 05/23/13
rue21, inc. DE 8.01,9.01 05/23/13
SABA SOFTWARE INC DE 5.02 05/22/13
Sabra Health Care REIT, Inc. MD 1.01,8.01,9.01 05/23/13
Sabra Health Care REIT, Inc. MD 7.01,9.01 05/23/13
SALESFORCE COM INC DE 2.02,9.01 05/23/13
SCIENTIFIC GAMES CORP DE 7.01 05/22/13
SCIQUEST INC DE 5.02,8.01,9.01 05/22/13
SEARS HOLDINGS CORP DE 2.02,9.01 05/23/13
SEI INVESTMENTS CO PA 5.07,8.01,9.01 05/22/13
SemGroup Corp DE 5.07 05/22/13
Seneca Foods Corp NY 2.02,9.01 03/31/13
Sensata Technologies Holding N.V. P7 8.01,9.01 05/21/13
Sequoia Mortgage Trust 2013-7 8.01,9.01 05/01/13
SERVICEMASTER CO DE 5.02 05/21/13
SHILOH INDUSTRIES INC DE 2.02 05/23/13
Shire plc 8.01,9.01 05/23/13
Shire plc 8.01,9.01 05/23/13
SHOE CARNIVAL INC IN 2.02,9.01 05/23/13
SIERRA BANCORP CA 5.07 05/22/13
SIGMATRON INTERNATIONAL INC DE 5.02,9.01 05/21/13
SIGNET JEWELERS LTD 2.02 05/23/13
SILICON IMAGE INC DE 5.07 05/22/13
SILICON LABORATORIES INC DE 1.01,5.02,9.01 05/17/13
Sino-Global Shipping America, Ltd. VA 8.01 05/22/13
SMART ONLINE INC DE 2.03,3.02 05/22/13
SOVRAN SELF STORAGE INC MD 5.07 05/22/13
SPARTAN MOTORS INC MI 5.07 05/22/13
SPIRE Corp MA 5.07 05/16/13
Star Gold Corp. NV 8.01 04/30/13
STATE INVESTORS BANCORP, INC. 5.07 05/21/13
STEIN MART INC FL 2.02,9.01 05/23/13
STERLING CONSOLIDATED Corp NV 1.01,2.01,7.01,9.01 04/29/13
STILLWATER MINING CO /DE/ DE 7.01 04/03/13 AMEND
SUNPOWER CORP DE 7.01,9.01 05/22/13
SUPERIOR INDUSTRIES INTERNATIONAL INC CA 5.02,5.07 05/22/13
SYNTEL INC MI 1.01,9.01 05/23/13
Tableau Software Inc DE 5.03,9.01 05/22/13
Targa Resources Corp. DE 5.07 05/20/13
Tarheel Billboard Inc NV 4.01,9.01 05/15/13 AMEND
TEAM HEALTH HOLDINGS INC. DE 5.07 05/22/13
TEAM HEALTH HOLDINGS INC. DE 5.02 05/23/13 AMEND
Territorial Bancorp Inc. MD 5.07 05/22/13
TESORO CORP /NEW/ DE 1.01,2.03,9.01 05/21/13
TESORO LOGISTICS LP DE 1.01,2.03,9.01 05/22/13
THERMO FISHER SCIENTIFIC INC. DE 5.02,5.07,9.01 05/22/13
TICC Capital Corp. MD 7.01 05/21/13
TIDEWATER INC DE 2.02,9.01 05/21/13
Timios National Corp DE 1.01,8.01,9.01 05/21/13
TNP Strategic Retail Trust, Inc. MD 5.02,9.01 05/20/13
TORO CO DE 2.02,9.01 05/23/13
TRANSATLANTIC PETROLEUM LTD. 2.02,3.01,9.01 05/17/13
TRUSTCO BANK CORP N Y NY 8.01,9.01 05/23/13
U S PHYSICAL THERAPY INC /NV NV 7.01,9.01 05/23/13
ULTRA PETROLEUM CORP 5.07 05/21/13
UNITED COMMUNITY BANKS INC GA 5.07 05/22/13
United Health Products, Inc. NV 5.02 12/19/12
United Health Products, Inc. NV 4.01,8.01 04/03/13
United Health Products, Inc. NV 4.01,8.01 04/03/13 AMEND
UNITED INSURANCE HOLDINGS CORP. DE 5.02,5.07 05/23/13
UNITED RENTALS INC /DE DE 7.01,9.01 05/23/13
Unum Group DE 8.01,9.01 05/23/13
Unum Group DE 5.02,9.01 05/20/13
UROLOGIX INC MN 3.01 05/21/13
VASCO DATA SECURITY INTERNATIONAL INC DE 2.01,8.01,9.01 05/20/13
VERDE RESOURCES, INC. NV 1.01,9.01 05/17/13
Vestin Realty Mortgage I, Inc. 8.01 05/23/13
VICAL INC DE 5.02 05/23/13
VICON INDUSTRIES INC /NY/ NY 5.07 05/23/13
VIRGIN MEDIA INC. DE 8.01,9.01 05/23/13
VISA INC. DE 5.02,9.01 05/22/13
VISCOUNT SYSTEMS INC NV 3.02 05/17/13
VISHAY INTERTECHNOLOGY INC DE 5.02,5.07,9.01 05/23/13
WATSCO INC FL 5.07 05/20/13
WAYNE SAVINGS BANCSHARES INC /DE/ DE 7.01,9.01 05/23/13
Wesco Aircraft Holdings, Inc 7.01,9.01 05/22/13
WEX Inc. 5.05,5.07 05/17/13
Wheeler Real Estate Investment Trust, MD 8.01,9.01 05/17/13
WILLIAMS SONOMA INC CA 2.02,9.01 05/23/13
WIRELESS RONIN TECHNOLOGIES INC MN 3.01,8.01,9.01 05/22/13
World Omni Auto Receivables Trust 201 DE 1.01,8.01,9.01 05/21/13
XENOPORT INC DE 8.01 05/20/13
XERIUM TECHNOLOGIES INC DE 1.01,2.03,8.01,9.01 05/17/13
XEROX CORP NY 5.07 05/21/13
YADKIN VALLEY FINANCIAL CORP NC 5.03,5.07,8.01,9.01 05/23/13
ZION OIL & GAS INC DE 8.01,9.01 05/23/13
Zumiez Inc WA 2.02,9.01 05/23/13
Zumiez Inc WA 5.07 05/22/13
http://www.sec.gov/news/digest/2013/dig052413.htm
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