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ENFORCEMENT PROCEEDINGSCommission Announces $110 Million Distribution from the Schwab YieldPlus Fair Fund and Schwab Total Bond Market Distribution FundOn May 21, 2013, the Securities and Exchange Commission (Commission) announced the distribution of over $110 million to eligible investors who were harmed as a result of their investment in two mutual funds, the Schwab YieldPlus Fund and the Schwab Total Bond Market Fund. The funds distributed consist of settlement amounts paid by the funds’ adviser, Charles Schwab Investment Management, Inc. (CSIM); another Schwab adviser and broker dealer, Charles Schwab & Co. (CS&Co.); a former executive vice president at CS&Co., president of CSIM, and trustee of the funds, Randall Merk; and CSIM’s former chief investment officer for fixed income and lead portfolio manager for the funds, Kimon Daifotis. On January 11, 2011, the Commission filed a settled civil action in the District Court for the Northern District of California charging CSIM and CS&Co. with making misleading statements regarding the Schwab YieldPlus Fund and failing to establish, maintain and enforce policies and procedures to prevent the misuse of material, nonpublic information. The SEC also charged CSIM and Schwab Investments with deviating from the YieldPlus fund's concentration policy without obtaining the required shareholder approval. Without admitting or denying the allegations in the SEC’s complaint, CSIM and CS&Co. agreed to pay disgorgement, penalties, and prejudgment interest of over $118 million, of which $110 million, after offsetting amounts paid to other regulators, was made available for distribution to injured investors. See Press Release 2011-7 and Litigation Release No. 21806 (Jan. 11, 2011). On the same day and in the same court, the Commission filed a related litigated action against Merk and Daifotis alleging that they engaged in fraud and other misconduct in the management, offer, and sale of the funds. See Litigation Release No. 21805 (Jan. 11, 2011). In November 2011, as part of a settlement, Merk agreed to pay a $150,000 civil penalty. In August 2012, Daifotis also entered into a settlement under which, he agreed to pay $250,000 in disgorgement and a $75,000 civil penalty. The Commission included these amounts in the existing Fair Fund for distribution to injured investors. For additional information, see http://www.sec.gov/divisions/enforce/claims/schwabinvestmgt.htm The Fund Administrator responsible for distributing the funds is Gilardi & Co., LLC. Questions regarding the distribution may be directed to Gilardi at 877-348-5519 or classact@gilardi.com. In the Matter of Rajnish K. DasThe Commission announced the issuance of an Order Making Findings and Imposing Remedial Sanctions Pursuant to Rule 102(e)(3)(i) of the Commission’s Rules of Practice (Order) against Rajnish K. Das (Das). The Order finds that on May 29, 2012, the U.S. District Court for the District of Nebraska entered a final judgment against Das, permanently enjoining him from future violations, direct or indirect, of Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B), 13(b)(5), and 14(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 13a-1, 13a-13, 13a-14, 13b2-1, 13b2-2, 14a-3, and 14a-9 thereunder. Securities and Exchange Commission v. Rajnish K. Das, et al., Civil Action Number 8:10-cv-00102-LSC-FG3. The Order suspends Das from appearing or practicing before the Commission as an accountant with a right to apply for reinstatement after three years from the date of the Order. Das consented to the issuance of the Order. The Commission’s complaint in the prior civil action alleged that Das signed and certified Info’s false Forms 10-K and proxy statements for 2003 and 2004 that materially understated and failed to properly disclose the perquisite compensation of Vinod Gupta, Info’s former chief executive officer and Chairman of the Board of Directors, and failed to properly disclose related party transactions involving Gupta. The complaint also alleged that Das aided and abetted the filing of Info’s false Form 10-K for 2005 which incorporated information from Info’s proxy statements. (Rels. 34-69644; AAER-3459; File No. 3-15078) In the Matter of Stormy L. DeanThe Commission announced the issuance of an Order Making Findings and Imposing Remedial Sanctions Pursuant to Rule 102(e)(3)(i) of the Commission’s Rules of Practice (Order) against Stormy L. Dean (Dean). The Order finds that on May 29, 2012, the U.S. District Court for the District of Nebraska entered a final judgment against Dean, permanently enjoining him from future violations, direct or indirect, of Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B), 13(b)(5), and 14(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 13a-1, 13a-14, 13b2-1, 13b2-2, 14a-3, and 14a-9 thereunder. Securities and Exchange Commission v. Stormy L. Dean, et al., Civil Action Number 8:10-cv-00102-LSC-FG3. The Order suspends Dean from appearing or practicing before the Commission as an accountant with a right to apply for reinstatement after three years from the date of the Order. Dean consented to the issuance of the Order. The Commission’s complaint in the prior civil action alleged that Dean signed and certified Info’s false Forms 10-K and proxy statements for 2005 and 2006 that materially understated and failed to properly disclose the perquisite compensation of Vinod Gupta, Info’s former chief executive officer and Chairman of the Board of Directors, and failed to properly disclose related party transactions involving Gupta. The complaint also alleged that Dean aided and abetted the filing of Info’s false Form 10-K for 2003, which incorporated information from Info’s proxy statements. (Rels. 34-69645; AAER-3460; File No. 3-15077) INVESTMENT COMPANY ORDERSBeverly Hills Bancorp Inc.An order has been issued on an application filed by Beverly Hills Bancorp Inc. (BHBC). The order under Sections 6(c) and 6(e) of the Investment Company Act of 1940 (Act) exempts BHBC from certain provisions of the Act and the rules thereunder until the earlier of one year from the date of the requested order or such time as BHBC would no longer be required to register as an investment company under the Act. (Rel. IC-30541 - May 24, 2013) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by NYSE Arca, Inc. deleting NYSE Arca Options Rule 6.62(cc) to remove references to functionality described as the Post No Preference Light Only Quotation (SR-NYSEArca-2013-51) 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 28th. (Rel. 34-69641) Notice of Proposed Rule ChangeThe Options Clearing Corporation (OCC) filed a proposed rule change (File No. SR-OCC-2013-05) under Section 19(b)(1) of the Securities Exchange Act of 1934 to provide that OCC, rather than an adjustment panels of the Securities Committee, will determine adjustments to the terms of options contracts to account for certain events, such as certain dividend distributions or other corporate actions, that affect the underlying security or other underlying interest. Publication is expected in the Federal Register during the week of May 28, 2013. (Rel. 34-69642) Order Approving Proposed Rule ChangeThe Commission granted approval of a proposed rule change (SR-BYX-2013-008) submitted by BATS Y-Exchange, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, to amend the attestation requirement of Rule 11.24 to allow a Retail Member Organization to attest that “substantially all” orders submitted to the Retail Price Improvement Program will qualify as “Retail Orders.” Publication is expected in the Federal Register during the week of May 27th. (Rel. 34-69643) Notice of Withdrawal of a Proposed Rule ChangeNotice of withdrawal of a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2013-39) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to add a Moving Average Check for incoming market orders and marketable limit orders. Publication is expected in the Federal Register during the week of May 26th. (Rel. 34-69639) 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-8 INTERCONTINENTALEXCHANGE INC, 2100 RIVEREDGE PARKWAY, SUITE 500,
ATLANTA, GA, 30328, 7708574700 - 0 ($816,630,848.00) Equity,
(File 333-188815 - May. 24) (BR. 08B)
F-3 GasLog Ltd., Gildo Pastor Center, 7 Rue Du Gabian, MC, O9, 98000,
377 97 97 51 15 - 0 ($984,307,439.06) Other, (File 333-188817 -
May. 24) (BR. 05B)
S-8 NATIONAL OILWELL VARCO INC, 7909 PARKWOOD CIRCLE DR, HOUSTON, TX,
77036, 713-375-3700 - 14,000,000 ($952,980,000.00) Equity,
(File 333-188818 - May. 24) (BR. 04B)
S-8 GENTIVA HEALTH SERVICES INC, 3350 RIVERWOOD PARKWAY, SUITE 1400,
ATLANTA, GA, 30339, 7709516450 - 0 ($15,624,000.00) Equity,
(File 333-188820 - May. 24) (BR. 09A)
S-8 ALLSTATE CORP, 2775 SANDERS ROAD, NORTHBROOK, IL, 60062, 8474025000 -
0 ($976,818,500.00) Equity, (File 333-188821 - May. 24) (BR. 01A)
S-8 TERADYNE, INC, 600 RIVERPARK DRIVE, NORTH READING, MA, 01864,
978-370-2700 - 0 ($265,500,000.00) Equity, (File 333-188824 - May. 24)
(BR. 10B)
S-8 CANADIAN PACIFIC RAILWAY LTD/CN, 401-9TH AVENUE S.W. SUITE 500,
CALGARY ALBERTA, A0, T2P 4Z4, 4033196171 -
750,000 ($102,337,500.00) Equity, (File 333-188826 - May. 24) (BR. 05A)
S-8 CANADIAN PACIFIC RAILWAY LTD/CN, 401-9TH AVENUE S.W. SUITE 500,
CALGARY ALBERTA, A0, T2P 4Z4, 4033196171 -
159,100 ($21,709,195.00) Equity, (File 333-188827 - May. 24) (BR. 05A)
S-8 CASCADE MICROTECH INC, 9100 SW GEMINI DRIVE, BEAVERTON, OR, 97008,
5036011000 - 0 ($13,609,980.00) Equity, (File 333-188833 - May. 24)
(BR. 10A)
S-1 Evoke Pharma Inc, 12555 HIGH BLUFF DRIVE, SUITE 385, San Diego, CA,
92130, (760) 487-1255 - 0 ($23,920,000.00) Equity, (File 333-188838 -
May. 24) (BR. 01)
S-8 InspireMD, Inc., 4 MENORAT HAMOR ST., TEL AVIV, L3, 67448,
972-3-6917691 - 6,440,548 ($20,525,044.18) Equity, (File 333-188839 -
May. 24) (BR. 10A)
S-8 GLOBAL BRASS & COPPER HOLDINGS, INC., 475 N. MARTINGALE ROAD,
SUITE 1050, SCHAUMBURG, IL, 60173, 847-517-6340 -
0 ($12,221,583.00) Equity, (File 333-188842 - May. 24) (BR. 06C)
S-8 1ST CONSTITUTION BANCORP, 2650 ROUTE 130, BOX 634, CRANBURY, NJ, 08512,
6096554500 - 369,000 ($3,298,860.00) Equity, (File 333-188843 -
May. 24) (BR. 07B)
S-3 CAS MEDICAL SYSTEMS INC, 44 EAST INDUSTRIAL ROAD, BRANFORD, CT, 06405,
2034886056 - 0 ($20,000,000.00) Unallocated (Universal) Shelf,
(File 333-188844 - May. 24) (BR. 10A)
S-1 PBF Energy Inc., 1 SYLVAN WAY, PARSIPPANY, NJ, 07054, 973-455-7500 -
0 ($591,729,050.00) Equity, (File 333-188845 - May. 24) (BR. 04A)
S-8 THERMO FISHER SCIENTIFIC INC., 81 WYMAN ST, PO BOX 9046, WALTHAM, MA,
02451, 7816221000 - 22,000,000 ($1,890,240,000.00) Equity,
(File 333-188846 - May. 24) (BR. 10B)
S-3 Galena Biopharma, Inc., 310 N. STATE STREET, SUITE 208, LAKE OSWEGO,
OR, 97034, 855 855 GALE - 0 ($104,493.66) Equity, (File 333-188847 -
May. 24) (BR. 01B)
S-3 XPO Logistics, Inc., 5 GREENWICH OFFICE PARK, GREENWICH, CT, 06831,
(203) 413-4003 - 0 ($500,000,000.00) Unallocated (Universal) Shelf,
(File 333-188848 - May. 24) (BR. 05C)
S-3 Galena Biopharma, Inc., 310 N. STATE STREET, SUITE 208, LAKE OSWEGO,
OR, 97034, 855 855 GALE -
0 ($150,000,000.00) Unallocated (Universal) Shelf, (File 333-188849 -
May. 24) (BR. 01B)
S-8 SALESFORCE COM INC, THE LANDMARK, ONE MARKET STREET STE.300,
SAN FRANCISCO, CA, 94105, 0 ($774,960,000.00) Equity,
(File 333-188850 - May. 24) (BR. 03B)
S-3 INSMED INC, 9 DEER PARK DRIVE, SUITE C, MONMOUTH JUNCTION, NJ, 08852,
732-997-4600 - 0 ($100,000,000.00) Other, (File 333-188851 - May. 24)
(BR. 01A)
S-8 INSMED INC, 9 DEER PARK DRIVE, SUITE C, MONMOUTH JUNCTION, NJ, 08852,
732-997-4600 - 0 ($37,323,542.00) Equity, (File 333-188852 - May. 24)
(BR. 01A)
S-8 NICOLET BANKSHARES INC, 111 N WASHINGTON ST, GREEN BAY, WI, 54301,
920 430 1400 - 0 ($17,748,900.00) Equity, (File 333-188853 - May. 24)
(BR. 07B)
S-8 Bridgeline Digital, Inc., 80 BLANCHARD ROAD, BURLINGTON, MA, 01803,
781 376 5555 - 600,000 ($678,000.00) Equity, (File 333-188854 -
May. 24) (BR. 03B)
F-1 Prosensa Holding B.V., J.H. OORTWEG 21, 2133 CH LEIDEN, P7, 00000,
31 0 713320100 - 0 ($60,000,000.00) Equity, (File 333-188855 - May. 24)
(BR. 01A)
S-8 NICOLET BANKSHARES INC, 111 N WASHINGTON ST, GREEN BAY, WI, 54301,
920 430 1400 - 0 ($7,835,100.00) Equity, (File 333-188856 - May. 24)
(BR. 07B)
S-8 NICOLET BANKSHARES INC, 111 N WASHINGTON ST, GREEN BAY, WI, 54301,
920 430 1400 - 0 ($1,279,200.00) Equity, (File 333-188857 - May. 24)
(BR. 07B)
S-8 NICOLET BANKSHARES INC, 111 N WASHINGTON ST, GREEN BAY, WI, 54301,
920 430 1400 - 0 ($2,398,500.00) Equity, (File 333-188858 - May. 24)
(BR. 07B)
S-3 Neuralstem, Inc., 9700 GREAT SENECA HIGHWAY, ROCKVILLE, MD, 20850,
3013664841 - 2,867,078 ($4,157,263.00) Equity, (File 333-188859 -
May. 24) (BR. 01B)
S-8 AVANIR PHARMACEUTICALS, INC., 20 ENTERPRISE, SUITE 200, ALISO VIEJO,
CA, 92656, 949-389-6700 - 0 ($1,066,000.00) Equity, (File 333-188860 -
May. 24) (BR. 01B)
S-1 TILE SHOP HOLDINGS, INC., 14000 CARLSON PARKWAY, PLYMOUTH, MN, 55441,
763-852-2978 - 4,887,500 ($122,969,500.00) Equity, (File 333-188861 -
May. 24) (BR. 02A)
S-11 Physicians Realty Trust, 250 EAST WISCONSIN AVENUE, MILWAUKEE, WI,
53202, 414-978-6494 - 0 ($115,000,000.00) Equity, (File 333-188862 -
May. 24) (BR. 08)
S-8 CALPINE CORP, 717 TEXAS AVENUE, SUITE 1000, HOUSTON, TX, 77002,
7138302000 - 13,000,000 ($269,815,000.00) Equity, (File 333-188863 -
May. 24) (BR. 02C)
S-3 Enduro Royalty Trust, 919 CONGRESS AVENUE, SUITE 500, AUSTIN, TX,
78701, (512) 236-6599 - 0 ($325,710,000.00) Other, (File 333-188864 -
May. 24) (BR. 04B)
S-3 FIRST INTERSTATE BANCSYSTEM INC, P O BOX 30918, 401 NO 31ST STREET,
BILLINGS, MT, 59116-0918, 4062555300 - 0 ($160,000,000.00) Equity,
(File 333-188865 - May. 24) (BR. 07C)
S-1 WCI Communities, Inc., 24301 WALDEN CENTER DRIVE, BONITA SPRINGS, FL,
34134, 239-947-2600 - 0 ($150,000,000.00) Equity, (File 333-188866 -
May. 24) (BR. 06C)
S-8 WORLDS INC, 11 ROYAL ROAD, BROOKLINE, MA, 02445, 617-725-8900 -
125,000 ($58,750.00) Equity, (File 333-188867 - May. 24) (BR. 03C)
S-8 PLANTRONICS INC /CA/, 345 ENCINAL ST, SANTA CRUZ, CA, 95061-1802,
8314587828 - 0 ($14,000,000.00) Other, (File 333-188868 - May. 24)
(BR. 11C)
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 CONSTITUTION BANCORP NJ 5.02,5.07,9.01 05/23/13
AASTROM BIOSCIENCES INC MI 3.01 05/20/13
Acadia Healthcare Company, Inc. DE 5.02,5.07,9.01 05/23/13
ACCESS NATIONAL CORP VA 5.07 05/21/13
ACTUATE CORP DE 5.07 05/22/13
ADEPT TECHNOLOGY INC DE 3.01 05/21/13
ADHEREX TECHNOLOGIES INC 8.01 05/23/13
ADVANCED CELL TECHNOLOGY, INC. DE 5.02,9.01 05/20/13
AFC ENTERPRISES INC MN 5.07 05/22/13
Aircastle LTD D0 5.07 05/23/13
ALCOA INC PA 8.01 05/24/13
ALEXANDRIA REAL ESTATE EQUITIES INC MD 5.02 05/20/13
Allegiant Travel CO NV 1.01 05/20/13
ALLIANCEBERNSTEIN HOLDING L.P. DE 5.02 05/21/13
ALLIANCEBERNSTEIN L.P. DE 5.02 05/21/13
ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 5.02,5.03,5.07, 05/21/13
8.01,9.01
ALMAH,INC NV 8.01 05/24/13
Alon USA Energy, Inc. DE 1.01,5.02 05/17/13
Alon USA Partners, LP DE 1.01 05/23/13
Alpha Natural Resources, Inc. DE 5.02,5.07,9.01 05/22/13
AMAG PHARMACEUTICALS INC. DE 5.02,5.07,9.01 05/23/13
AMAZON COM INC DE 5.07 05/23/13
Ameresco, Inc. DE 5.02 05/21/13
AMERICAN EAGLE OUTFITTERS INC DE 2.02,9.01 05/22/13
AMERICAN FINANCIAL GROUP INC OH 5.07 05/22/13
AMERICAN STATES WATER CO CA 1.01,5.07,9.01 05/21/13
AMERICAS CARMART INC TX 2.02,9.01 05/23/13
AMPHENOL CORP /DE/ DE 5.07 05/22/13
AMREP CORP. OK 8.01 05/22/13 AMEND
AMSURG CORP TN 5.07 05/24/13
ANALOG DEVICES INC MA 8.01,9.01 05/22/13
ANN INC. DE 5.02 05/21/13
Aon plc X0 8.01,9.01 05/21/13
APEX 6 INC. DE 1.01,5.01,5.02,9.01 05/16/13 AMEND
API Technologies Corp. DE 1.01,9.01 05/22/13
APRICUS BIOSCIENCES, INC. NV 8.01,9.01 05/23/13
ARADIGM CORP CA 1.01,3.02,8.01,9.01 05/20/13
ARBOR REALTY TRUST INC MD 5.07 05/22/13
ARKANSAS BEST CORP /DE/ DE 5.07 05/21/13
ARTHROCARE CORP DE 5.07 05/22/13
As Seen On TV, Inc. FL 1.01,5.02,9.01 05/21/13
ASB Bancorp Inc 5.07,8.01,9.01 05/23/13
ASIAINFO-LINKAGE, INC DE 8.01,9.01 05/24/13
ASSOCIATED BANC-CORP WI 7.01,9.01 05/24/13
AT&T INC. DE 8.01 05/24/13
ATLAS AIR WORLDWIDE HOLDINGS INC DE 5.02,5.07,9.01 05/22/13
ATMEL CORP DE 5.02,9.01 05/21/13
ATMI INC DE 5.07 05/22/13
AtriCure, Inc. DE 5.07 05/23/13
ATRION CORP DE 5.07 05/23/13
AUTODESK INC DE 1.01,2.03,9.01 05/23/13
AVALONBAY COMMUNITIES INC MD 8.01,9.01 05/22/13
AVAYA INC DE 5.02 05/20/13
AVIAT NETWORKS, INC. DE 5.02 05/24/13
AVT, Inc. NV 4.01 05/22/13
Bank of Commerce Holdings CA 5.02 05/22/13
BANK OF THE JAMES FINANCIAL GROUP INC VA 5.02,5.03,5.07,9.01 05/21/13
BASIC ENERGY SERVICES INC 5.02,5.07,9.01 05/22/13
BAY BANKS OF VIRGINIA INC VA 4.01,9.01 05/20/13
BAYLAKE CORP WI 8.01,9.01 05/24/13
BEASLEY BROADCAST GROUP INC DE 5.07 05/23/13
BGC Partners, Inc. DE 8.01,9.01 05/24/13
Biozoom, Inc. NV 1.01 05/23/13
BLOUNT INTERNATIONAL INC DE 5.07 05/23/13
BLUE SKY PETROLEUM INC. 1.01,3.02,9.01 05/21/13
BLUEFLY INC DE 8.01,9.01 05/23/13
BLUEFLY INC DE 1.01,1.02,2.01,3.01, 05/23/13
3.02,3.03,5.01,5.02,9.01
BOULDER BRANDS, INC. DE 5.07 05/22/13
C & F FINANCIAL CORP VA 9.01 05/21/13
CABLEVISION SYSTEMS CORP /NY DE 5.07 05/23/13
CALGON CARBON CORPORATION DE 1.01,2.03,9.01 05/20/13
CALIX, INC 5.07 05/22/13
Carbonite Inc DE 5.02 05/22/13
CAROLINA BANK HOLDINGS INC NC 5.07 05/21/13
CARROLLTON BANCORP MD 4.01,5.02,9.01 05/22/13
CASH AMERICA INTERNATIONAL INC TX 5.07 05/23/13
CBOE Holdings, Inc. DE 5.07,9.01 05/23/13
CDI CORP PA 5.07 05/21/13
Celator Pharmaceuticals Inc DE 1.01,5.03,5.07,9.01 05/22/13
CENTER BANCORP INC NJ 5.07 05/20/13
CENTURY NEXT FINANCIAL Corp LA 5.07 05/22/13
CHEMBIO DIAGNOSTICS, INC. NV 5.02,7.01,9.01 05/21/13
Chesapeake Lodging Trust MD 5.07,8.01 05/21/13
CHINA GENGSHENG MINERALS, INC. NV 3.01,9.01 05/23/13
CITIZENS BANCSHARES CORP /GA/ GA 5.07 05/24/13
CMS Bancorp, Inc. DE 3.02,5.03,9.01 05/22/13
CMS ENERGY CORP MI 7.01,9.01 05/24/13
COCA-COLA ENTERPRISES, INC. DE 8.01 05/24/13
Commercial Vehicle Group, Inc. DE 5.02,8.01,9.01 05/20/13
COMMUNITY BANK SHARES OF INDIANA INC IN 5.02,5.07 05/21/13
COMMUNITY FIRST INC TN 5.07 05/22/13
COMMUNITY WEST BANCSHARES / CA 5.07 05/24/13
CONMED CORP NY 5.07,8.01 05/23/13
CONTINENTAL MATERIALS CORP DE 5.07 05/22/13
CONTINENTAL RESOURCES, INC OK 5.07 05/23/13
CONTINENTAL RESOURCES, INC OK 5.02,9.01 05/23/13
Cooper-Standard Holdings Inc. DE 8.01,9.01 05/24/13
CORCEPT THERAPEUTICS INC DE 1.01 05/21/13
CoreSite Realty Corp MD 5.02,5.07,7.01,9.01 05/22/13
CorMedix Inc. DE 1.01,2.03,3.02,9.01 05/23/13
Corporate Capital Trust, Inc. MD 8.01,9.01 05/23/13
Covidien plc 8.01,9.01 05/24/13
CreXus Investment Corp. MD 3.01,3.02,5.01, 05/22/13
5.02,5.03,9.01
CROSSROADS SYSTEMS INC DE 3.01,5.02,9.01 05/20/13
CSS INDUSTRIES INC DE 5.02 05/21/13
CytoCore Inc DE 1.01,3.02,5.01,9.01 05/20/13
CYTOKINETICS INC 5.07 05/22/13
Data Call Technologies 5.02 03/31/13
DATA I/O CORP WA 5.07 05/21/13
DEAN FOODS CO DE 8.01,9.01 05/23/13
DEL TORO SILVER CORP. NV 3.02 05/23/13
Dephasium Corp. NV 5.02 05/22/13
DERMA SCIENCES, INC. PA 5.02,5.07,9.01 05/22/13
Desert Hawk Gold Corp. NV 5.02 05/20/13
DESTINATION XL GROUP, INC. DE 2.02,9.01 05/24/13
DIGIRAD CORP DE 1.01,3.03, 05/23/13
5.03,8.01,9.01
DOW CHEMICAL CO /DE/ DE 7.01,9.01 05/24/13
DREW INDUSTRIES INC DE 5.07 05/23/13
Dynacast International Inc. DE 4.01,9.01 05/22/13
DYNAMIC MATERIALS CORP DE 5.02,5.07,8.01,9.01 05/22/13
E-Debit Global Corp. CO 8.01,9.01 05/23/13
EACO CORP FL 5.07 05/21/13
ECHELON CORP DE 5.02 05/21/13
Echo Automotive, Inc. NV 1.01,2.03,3.02,9.01 05/20/13
ECOTALITY, INC. NV 8.01 05/24/13
Employers Holdings, Inc. NV 5.07 05/23/13
ENDOLOGIX INC /DE/ DE 5.02,5.07,9.01 05/24/13
Ensco plc 5.02,5.07,9.01 05/20/13
ENVIRONMENTAL SCIENCE & TECHNOLOGIES, DE 4.01,9.01 05/21/13
ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 3.03,5.03,9.01 05/24/13
EQUITY RESIDENTIAL MD 8.01,9.01 05/22/13
EverBank Financial Corp DE 5.02,5.07 05/23/13
EveryWare Global, Inc. DE 3.01 05/23/13
FAR EAST ENERGY CORP NV 5.02,9.01 05/20/13
FEDERAL HOME LOAN MORTGAGE CORP 7.01,9.01 05/24/13
FEDERAL MOGUL CORP DE 9.01 04/26/13 AMEND
FERRELLGAS PARTNERS L P DE 7.01 05/24/13
FIRST BUSINESS FINANCIAL SERVICES, IN WI 5.07 05/20/13
FIRST CAPITAL INC IN 5.07 05/24/13
FIRST POTOMAC REALTY TRUST MD 1.01,5.07,9.01 05/21/13
FIRST SOLAR, INC. DE 5.07 05/22/13
FIRST SOUTH BANCORP INC /VA/ VA 5.07 05/23/13
Firsthand Technology Value Fund, Inc. 5.07 05/24/13
Five Oaks Investment Corp. MD 7.01,9.01 05/23/13
FLOW INTERNATIONAL CORP WA 5.02 05/22/13
FLOWSERVE CORP NY 3.03,5.03,5.07,9.01 05/23/13
FOOT LOCKER INC NY 2.02,9.01 05/24/13
FOREST LABORATORIES INC DE 5.02 05/24/13
FOREST OIL CORP NY 5.02,9.01 05/21/13
Fortress International Group, Inc. DE 1.01,2.01, 05/20/13
2.03,5.02,9.01
Fortress Investment Group LLC DE 5.07 05/24/13
FOSTER L B CO PA 5.07 05/23/13
Fox Chase Bancorp Inc 5.07 05/23/13
GARDNER DENVER INC DE 7.01,9.01 05/24/13
General Finance CORP DE 8.01 05/24/13
GENESEE & WYOMING INC DE 5.07 05/23/13
Genesis Biopharma, Inc NV 5.02 05/20/13
GEO POINT TECHNOLOGIES INC UT 8.01,9.01 05/24/13
GERON CORP DE 5.02,5.07,9.01 05/22/13
GIGA TRONICS INC CA 5.02,9.01 05/22/13
GLEACHER & COMPANY, INC. DE 5.02 05/24/13
Global Income Trust, Inc. MD 8.01 05/21/13
GLU MOBILE INC DE 5.02 05/20/13
GREAT AMERICAN ENERGY, INC. 1.01 05/20/13
GreenHunter Energy, Inc. DE 3.01,5.03,7.01,9.01 05/21/13
GREER BANCSHARES INC SC 5.07 05/23/13
Griffin-American Healthcare REIT II, MD 1.01,2.03,9.01 05/24/13
GROUP 1 AUTOMOTIVE INC DE 5.07 05/22/13
GSP-2, INC. NV 5.02 05/23/13
HALF ROBERT INTERNATIONAL INC /DE/ DE 5.07,9.01 05/23/13
HALLADOR ENERGY CO CO 8.01 05/24/13
HALOZYME THERAPEUTICS INC DE 5.02,9.01 05/20/13
HANDY & HARMAN LTD. DE 5.07 05/21/13
HAWAIIAN HOLDINGS INC DE 5.07 05/22/13
Hawaiian Telcom Holdco, Inc. DE 5.07 05/03/13
HEALTH MANAGEMENT ASSOCIATES, INC DE 1.01,3.03,5.03,9.01 05/24/13
HEINZ H J CO PA 7.01,9.01 05/24/13
HERITAGE COMMERCE CORP CA 5.07,7.01,9.01 05/23/13
Heritage Financial Group Inc MD 5.07 05/22/13
Heritage Financial Group Inc MD 9.01 03/08/13 AMEND
HERITAGE OAKS BANCORP CA 5.03,5.07,9.01 05/22/13
HERSHA HOSPITALITY TRUST MD 5.07 05/23/13
HIBBETT SPORTS INC 2.02,7.01,9.01 05/24/13
HORACE MANN EDUCATORS CORP /DE/ DE 5.07 05/22/13
HOT TOPIC INC /CA/ CA 8.01 05/24/13
IDERA PHARMACEUTICALS, INC. DE 8.01 05/24/13
IDS Solar Technologies, Inc. NV 5.02 04/16/13
inContact, Inc. DE 1.01,9.01 05/22/13
Independent Bank Group, Inc. TX 7.01,9.01 05/24/13
INFINERA CORP DE 1.01,8.01,9.01 05/22/13
INFORMATICA CORP DE 5.02,5.07 05/24/13
Intellicell Biosciences, Inc. NV 1.01,3.02,9.01 05/21/13
Interactive Intelligence Group, Inc. IN 5.02,5.07,9.01 05/24/13
INTERNATIONAL BARRIER TECHNOLOGY INC A1 7.01,9.01 05/16/13
INTERNATIONAL LEASE FINANCE CORP CA 1.01,2.03,9.01 05/24/13
INTERNATIONAL LEASE FINANCE CORP CA 8.01 05/24/13
Interval Leisure Group, Inc. DE 5.07 05/21/13
INTERVEST BANCSHARES CORP DE 5.02,5.07 05/23/13
IROBOT CORP DE 5.07 05/22/13
IRONWOOD PHARMACEUTICALS INC DE 8.01,9.01 05/21/13
ISABELLA BANK CORP MI 8.01,9.01 05/23/13
ISLAND BREEZE INTERNATIONAL, INC. DE 8.01,9.01 05/24/13
ISTAR FINANCIAL INC 5.03,5.07,9.01 05/21/13
J C PENNEY CO INC DE 1.01,2.03,8.01,9.01 05/20/13
JONES SODA CO WA 5.07 05/22/13
JUNIPER NETWORKS INC DE 5.07 05/21/13
KEY ENERGY SERVICES INC MD 5.02,5.07 05/23/13
KILROY REALTY CORP MD 5.07 05/23/13
Kips Bay Medical, Inc. DE 5.07 05/22/13
L Brands, Inc. DE 2.02,7.01 05/22/13
LADENBURG THALMANN FINANCIAL SERVICES FL 1.01,5.03,8.01,9.01 05/20/13
LAKE SHORE BANCORP, INC. 5.07 05/24/13
LAMAR ADVERTISING CO/NEW DE 1.01,5.02,5.07,9.01 05/23/13
LAS VEGAS SANDS CORP NV 4.01 05/23/13
LAS VEGAS SANDS CORP NV 7.01,9.01 05/24/13
LEAP TECHNOLOGY INC / DE DE 5.02,5.03,5.07, 05/24/13
8.01,9.01
LEGACY RESERVES LP DE 1.01,2.03,8.01,9.01 05/22/13
LEVEL 3 COMMUNICATIONS INC DE 5.07,8.01 05/23/13
LEVEL 3 COMMUNICATIONS INC DE 5.02 02/22/13 AMEND
Liberty Global, Inc. DE 8.01 05/23/13
LSB INDUSTRIES INC DE 5.07 05/23/13
LTC PROPERTIES INC MD 5.07 05/21/13
LUNA INNOVATIONS INC DE 5.02,5.07 05/20/13
MEDICAL PROPERTIES TRUST INC 5.07 05/23/13
MEMC ELECTRONIC MATERIALS INC DE 5.02 05/22/13
MGE ENERGY INC WI 5.07 05/21/13
MGT CAPITAL INVESTMENTS INC DE 1.01,2.01,9.01 05/20/13
MID AMERICA APARTMENT COMMUNITIES INC TN 5.07 05/21/13
Midstates Petroleum Company, Inc. DE 1.01,8.01,9.01 05/23/13
MOBIVITY HOLDINGS CORP. NV 1.01,2.01,3.02, 05/24/13
5.02,5.03,9.01
MOCON INC MN 5.07 05/23/13
Monotype Imaging Holdings Inc. DE 5.02,5.07,9.01 05/21/13
MS STRUCTURED SATURNS SERIES 2004-6 DE 8.01,9.01 05/15/13
MURPHY OIL CORP /DE DE 1.01 05/23/13
MYLAN INC. PA 5.07 05/24/13
NATIONAL FINANCIAL PARTNERS CORP 8.01 05/21/13
NATIONAL PRESTO INDUSTRIES INC WI 5.02,5.05,5.07,9.01 05/21/13
NATIONAL RESEARCH CORP WI 3.03,5.03,8.01,9.01 05/22/13
NATIONAL RETAIL PROPERTIES, INC. MD 5.07 05/23/13
Naugatuck Valley Financial Corp 3.01,9.01 05/22/13
NAVIGATORS GROUP INC DE 5.07,8.01,9.01 05/23/13
Neenah Paper Inc DE 1.01,2.03,2.04,9.01 05/23/13
NEW CENTURY BANCORP INC NC 5.07 05/21/13
New Leaf Brands, Inc. NV 1.01,2.01,3.02,9.01 04/19/13
NEWPORT CORP NV 5.07,8.01 05/21/13
NEWS CORP 2.06,5.02,8.01,9.01 05/22/13
NovaCopper Inc. A1 5.07 05/24/13
NOVELOS THERAPEUTICS, INC. DE 7.01,9.01 05/23/13
NTELOS HOLDINGS CORP 7.01,9.01 05/24/13
NxStage Medical, Inc. DE 5.07 05/23/13
OAK RIDGE MICRO-ENERGY INC CO 4.01 05/22/13
Ohr Pharmaceutical Inc 3.03,5.03,5.07,9.01 05/22/13
OICCO ACQUISITION I, INC. DE 4.01 05/24/13
OLD SECOND BANCORP INC DE 5.07 05/21/13
OMNICARE INC DE 5.02,5.07,8.01 05/22/13
ONE LIBERTY PROPERTIES INC MD 8.01 04/09/13
ONEOK INC /NEW/ OK 5.07,7.01,9.01 05/24/13
ORAMED PHARMACEUTICALS INC. DE 8.01,9.01 05/24/13
OTELCO INC. DE 1.01,1.02,1.03, 05/24/13
2.03,3.02,3.03,5.02,5.03,8.01
Pacific Coast Oil Trust DE 2.02,9.01 05/24/13
PANTRY INC DE 8.01,9.01 05/24/13
PC TEL INC DE 1.01,9.01 04/30/13 AMEND
PCM, INC. DE 5.02,9.01 05/20/13
PENNS WOODS BANCORP INC PA 8.01 04/28/13
Percipience Global Corp DE 3.02,5.01,5.02 05/07/13
PERFORMANCE TECHNOLOGIES INC \DE\ DE 5.07 05/23/13
PHH CORP MD 8.01 05/22/13
PHOENIX COMPANIES INC/DE DE 1.01,5.07,9.01 05/23/13
Pinnacle Foods Inc. DE 5.02,8.01,9.01 05/23/13
PLAINS EXPLORATION & PRODUCTION CO DE 5.04,5.07, 05/24/13
7.01,8.01,9.01
PORTLAND GENERAL ELECTRIC CO /OR/ OR 5.07 05/22/13
POST PROPERTIES INC GA 5.02,5.07,9.01 05/23/13
Power REIT MD 5.07 05/23/13
PowerShares DB Commodity Index Tracki 8.01,9.01 05/24/13
PowerShares DB G10 Currency Harvest F DE 8.01,9.01 05/24/13
PowerShares DB Multi-Sector Commodity DE 8.01,9.01 05/24/13
PowerShares DB US Dollar Index Trust DE 8.01,9.01 05/24/13
PPL Corp 2.03,8.01,9.01 05/21/13
PREAXIA HEALTH CARE PAYMENT SYSTEMS I NV 4.01 04/30/13 AMEND
Primerica, Inc. DE 5.03,5.07,9.01 05/22/13
PRINCIPAL FINANCIAL GROUP INC DE 5.07 05/24/13
PRIVATEBANCORP, INC DE 5.03,5.07,7.01,9.01 05/23/13
PROCTER & GAMBLE Co OH 5.02,7.01 05/23/13
Progressive Care Inc. DE 4.01,9.01 05/17/13
QLOGIC CORP DE 5.02 05/23/13 AMEND
QLT INC/BC A1 9.01 12/24/12 AMEND
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,3.02,9.01 05/20/13
Raptor Pharmaceutical Corp DE 2.03 05/21/13
RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 05/24/13
ReachLocal Inc 5.07 05/22/13
Real Goods Solar, Inc. CO 1.01,3.02,9.01 05/21/13
Red Lion Hotels CORP WA 5.02,5.07 05/21/13
RED TRAIL ENERGY, LLC ND 1.01 05/15/13
REGIONS FINANCIAL CORP DE 5.04,9.01 05/24/13
Remark Media, Inc. DE 3.01 05/24/13
RENAISSANCERE HOLDINGS LTD D0 1.01,2.03,9.01 05/23/13
Restoration Hardware Holdings Inc DE 8.01 05/20/13
Revett Minerals Inc. A6 8.01,9.01 05/24/13
RIMAGE CORP MN 5.07 05/21/13
Riverbed Technology, Inc. DE 5.07 05/22/13
ROMA FINANCIAL CORP X1 8.01 05/24/13
ROSS STORES INC DE 5.07 05/22/13
ROYALE ENERGY INC CA 1.01 05/22/13
RR Donnelley & Sons Co DE 5.07 05/23/13
RUDOLPH TECHNOLOGIES INC DE 5.07,8.01 05/22/13
rue21, inc. DE 1.01,9.01 05/23/13
SAFEGUARD SCIENTIFICS INC PA 5.07 05/23/13
SALIX PHARMACEUTICALS LTD 8.01,9.01 05/22/13
Santo Mining Corp. NV 1.01,3.02,9.01 04/19/13
Sequoia Mortgage Trust 2013-7 8.01,9.01 05/01/13
Shire plc 8.01,9.01 05/24/13
SHORE BANCSHARES INC MD 1.01,9.01 05/24/13
Silver Bay Realty Trust Corp. MD 5.07 05/22/13
SM Energy Co DE 5.07 05/22/13
SMTP, Inc. DE 1.01,7.01,9.01 05/22/13
SOFTECH INC MA 1.01 05/20/13
SOLAR WIND ENERGY TOWER, INC. NV 1.01,2.03,3.02,9.01 05/16/13
SOLITARIO EXPLORATION & ROYALTY CORP. CO 1.01,9.01 05/23/13
SOLTA MEDICAL INC DE 5.02,9.01 05/24/13
SOUTHERN CO DE 5.07 05/22/13
SOUTHWESTERN ENERGY CO DE 5.02,5.07,9.01 05/21/13
Sputnik Enterprises, Inc NV 5.02,9.01 05/24/13
STATE BANK FINANCIAL CORP GA 5.07 05/22/13
Steel Excel Inc. DE 5.07 05/21/13
STEEL PARTNERS HOLDINGS L.P. DE 5.07 05/21/13
STERICYCLE INC DE 5.07 05/21/13
STRATEGIC HOTELS & RESORTS, INC 5.07 05/23/13
SUN BANCORP INC /NJ/ NJ 5.07,9.01 05/23/13
Sundance Strategies, Inc. NV 1.01,3.02, 03/29/13 AMEND
4.01,5.01,5.02,5.06,9.01
Sunshine Financial Inc MD 5.07 05/22/13
Susser Holdings CORP DE 5.02,5.07,9.01 05/21/13
SWIFT ENERGY CO 5.02,5.07,9.01 05/21/13
SWS GROUP INC DE 5.03 05/23/13
SYMANTEC CORP DE 5.02 05/20/13
TASER INTERNATIONAL INC 5.07 05/23/13
TELLABS INC DE 5.02 05/17/13 AMEND
TEMPUR PEDIC INTERNATIONAL INC DE 5.03,5.07,8.01,9.01 05/22/13
TERADYNE, INC MA 5.02,5.07 05/21/13
TESSERA TECHNOLOGIES INC DE 1.01,5.02, 05/22/13
5.03,8.01,9.01
THORATEC CORP CA 5.07 05/22/13
Timberline Resources Corp DE 7.01,9.01 05/24/13
TOMPKINS FINANCIAL CORP NY 5.07 05/20/13
TRANSCAT INC OH 2.02,9.01 05/21/13
TRAVELCENTERS OF AMERICA LLC 5.07,8.01,9.01 05/20/13
TRAVELERS COMPANIES, INC. MN 5.07,9.01 05/22/13
Travelport LTD D0 5.02 05/22/13
Trio Merger Corp. DE 7.01,9.01 05/22/13
Trius Therapeutics Inc DE 5.02,5.07,8.01,9.01 05/21/13
Tropicana Las Vegas Hotel & Casino, I DE 5.02 05/23/13
U S PRECIOUS METALS INC DE 8.01 05/21/13
ULTRA CLEAN HOLDINGS INC DE 5.02,5.07,9.01 05/22/13
UNITED BANKSHARES INC/WV WV 5.07 05/20/13
UNITED TECHNOLOGIES CORP /DE/ DE 8.01,9.01 05/24/13
UNIVERSAL INSURANCE HOLDINGS, INC. DE 1.01,2.03,7.01,9.01 05/23/13
Unum Group DE 5.02,5.03,5.07,9.01 05/23/13
US AIRWAYS GROUP INC DE 1.01,9.01 05/21/13
US AIRWAYS GROUP INC DE 8.01,9.01 05/22/13
VALENCE TECHNOLOGY INC DE 7.01,9.01 05/20/13
Vantage Drilling CO E9 1.01,9.01 05/22/13
Venaxis, Inc. CO 1.01,8.01,9.01 05/23/13
VERISIGN INC/CA DE 5.07 05/23/13
VERMILLION, INC. DE 8.01 05/23/13
Verso Paper Corp. DE 5.07 05/23/13
VIRGIN MEDIA INC. DE 8.01 05/24/13
VIROPHARMA INC DE 5.02,5.07 05/23/13
VIRTUS INVESTMENT PARTNERS, INC. DE 5.07 05/21/13
WASHINGTON BANKING CO WA 8.01,9.01 05/24/13
WASHINGTON TRUST BANCORP INC RI 5.02 05/20/13
WATERSTONE FINANCIAL INC WI 5.07 05/21/13
WAYNE SAVINGS BANCSHARES INC /DE/ DE 5.07 05/24/13
WEBSENSE INC DE 8.01,9.01 05/23/13
WELLS FARGO & COMPANY/MN DE 9.01 05/24/13
Wendy's Co DE 5.07 05/23/13
Wesco Aircraft Holdings, Inc 7.01,9.01 05/23/13
WESTMOUNTAIN GOLD, INC. CO 2.03,9.01 05/14/13
WHITEWAVE FOODS Co DE 5.01,8.01 05/23/13
Willbros Group, Inc.\NEW\ 5.07 05/21/13
Workday, Inc. DE 5.07 05/23/13
WORLD FINANCIAL NETWORK CREDIT CARD M DE 1.01,8.01,9.01 05/21/13
WPX ENERGY, INC. DE 5.07 05/22/13
XCEL ENERGY INC MN 5.07 05/22/13
Xumanii, Inc. NV 1.01,2.03,9.01 05/20/13
Yankee Holding Corp. DE 7.01,9.01 05/24/13
YCC Holdings LLC DE 7.01,9.01 05/24/13
http://www.sec.gov/news/digest/2013/dig052813.htm
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