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Commission AnnouncementsCommission Suspends Trading in Common Stock of Sixty-One Companies Quoted on OTC Link On June 3, 2013, the Securities and Exchange Commission (Commission) ordered the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on June 3, 2013, and terminating at 11:59 p.m. EDT on June 14, 2013: Company Ticker The Commission temporarily suspended trading in these securities because of questions that have been raised about the accuracy and adequacy of publicly disseminated information concerning the companies’ operating status, if any. The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company. Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Securities Exchange Act of 1934, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to these companies’ securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. Any broker, dealer, investor, or other person with information relating to this matter is invited to contact the Securities and Exchange Commission at http://www.sec.gov . The Commission’s Office of Investor Education and Advocacy has information for investors and members of the general public on topics related to investing at http://www.investor.gov . (Rel. 34-69678; Press Rel. 2013-97). Robert E. Rice Named as Chief Counsel to SEC ChairSecurities and Exchange Commission Chair Mary Jo White today announced that she has appointed Robert E. Rice as her Chief Counsel. A former federal prosecutor, Mr. Rice comes to the SEC from Deutsche Bank AG in New York, where he was head of governance, litigation and regulation for the Americas, and the global co-head of its governance, litigation, and regulation operating committee. As Chief Counsel, Mr. Rice will serve as a senior legal and policy advisor to the Chair and provide advice and counsel on a wide variety of regulatory matters. “I have been impressed by Bob’s intelligence, wisdom, and insight for as long as I’ve known him,” said Mary Jo White, Chair of the SEC. “I am delighted that he will be joining our talented SEC team.” Mr. Rice said “I am humbled by this appointment, and thrilled to return to public service and work again under Mary Jo White. I look forward to the challenges ahead and to working with everyone at the Commission to protect investors and maintain the integrity of our markets.” Mr. Rice, 57, began his legal career in 1987 as an associate at the law firm of Simpson, Thacher & Bartlett, in New York, and spent nearly a decade in the criminal division of the U.S. Attorney’s Office in the Southern District of New York. As an Assistant U.S. Attorney in Manhattan from 1991 until 2000, he investigated and prosecuted numerous securities fraud, mail and wire fraud, and money laundering cases. He also served as a Deputy Chief Appellate Attorney before being named as a Deputy Chief of the Criminal Division, with responsibility for overseeing approximately 160 federal prosecutors. In 2000, Mr. Rice left public service to become a partner at McDermott, Will & Emery in New York. He remained there until 2004, when he joined Deutsche Bank as head of regulatory and internal investigations for the Americas. Since 2010, he has been responsible for developing and executing global legal strategies in governance, litigation and regulation for all aspects of the bank’s businesses, including asset management and brokerage services, and corporate and investment banking. Mr. Rice received a B.S. degree from Springfield College in 1977, a master’s degree from Montclair State College in 1980, and a J.D. from St. John’s University School of Law in 1987. (Press Rel. 2013-98) ENFORCEMENT PROCEEDINGSCommission Charges Fortune 200 Company for Accounting DeficienciesThe Commission today charged a Bellevue, Wash.-based commercial truck manufacturer and a subsidiary for various accounting deficiencies that clouded their financial reporting to investors in the midst of the financial crisis. The SEC alleges that PACCAR’s internal accounting controls included ineffective procedures that kept the company from adhering to various accounting rules. PACCAR failed to report the operating results of its aftermarket parts business separately from its truck sales business as required under segment reporting requirements, which are in place to ensure that investors gain the same insight into a company as its executives. PACCAR and its subsidiary also failed to provide complete information about their respective loan and lease portfolios, and PACCAR overstated some loan and lease originations and collections at two foreign subsidiaries in its statement of cash flows. PACCAR and its subsidiary PACCAR Financial Corp. agreed to settle the SEC’s charges. According to the SEC’s complaint filed in federal court in Seattle, PACCAR is a Fortune 200 company that designs, manufactures, and distributes trucks and related aftermarket parts that are sold worldwide under the Kenworth, Peterbilt, and DAF nameplates. From 2008 through the third quarter of 2012, PACCAR failed to report the results for its parts business as a separate segment from its truck sales as required under Generally Accepted Accounting Principles (GAAP). For example, PACCAR’s 2009 annual report showed $68 million in income before taxes for its truck segment. However, PACCAR documents and board materials reviewed by senior executives depicted the trucks business with a $474 million loss and the parts business with $542 million profit to arrive at the net income before taxes of $68 million. By at least 2008, PACCAR should have been reporting aftermarket parts as a separate segment in its SEC filings, but failed to do so until year-end 2012. The SEC’s complaint further alleges that PACCAR and PACCAR Financial Corp. failed to maintain accurate books and records regarding their impaired loans and leases, causing them to improperly identify and disclose loans and leases for impairment. As a result, they understated the amounts of their impaired receivables and the specific reserve associated with the receivables in footnotes to their respective 2009 Form 10-K filings. PACCAR understated the amount of its impaired receivables by 65 percent and the amount of the specific reserve associated with the receivables by 78 percent. PACCAR Financial Corp. understated the amounts by 64 percent and 37 percent. As a result of these deficiencies, PACCAR also made inaccurate statements to the SEC’s Division of Corporation Finance regarding its processes for calculating the specific reserves on its impaired receivables. According to the SEC’s complaint, PACCAR also overstated equal and offsetting amounts in two lines within its statement of cash flows in the second and third quarters of 2009. PACCAR identified these errors during the first quarter of 2010 and reported corrected figures in its second and third quarter filings in 2010. The SEC’s complaint charges PACCAR with violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rules 12b-20, 13a-1, and 13a-13 thereunder, and charges PACCAR Financial Corp. with violations of Sections 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act. Without admitting or denying the charges, they agreed to the entry of a permanent injunction, and PACCAR agreed to pay a $225,000 penalty. The settlement, which is subject to court approval, takes into account that PACCAR and PACCAR Financial Corp. have implemented a number of remedial measures to enhance their internal accounting controls and improve their compliance with GAAP. The SEC’s investigation was conducted by Jason Habermeyer and Cary Robnett of the SEC’s San Francisco Regional Office, and Peter J. Rosario of the SEC’s Washington D.C. office. [SEC v. PACCAR Inc, et al., Case No. 2:13-cv-00953 (W.D. Wash. filed June 3, 2013)] (LR-22711, AAE Rel. 3462] (LR-22711) (Press Rel. 2013-99) Commission Charges Cincinnati Resident and Delaware Firm with Offering FraudOn May 30, 2013, the Securities and Exchange Commission filed a civil injunctive action in the Northern District of Georgia against Detroit Memorial Partners, LLC (DMP) and its managing member, Mark Morrow, a resident of Cincinnati, Ohio. The Commission alleges that Morrow caused DMP to issue approximately $19 million in fraudulent promissory notes and to sell $4.5 million in equity interests. DMP, which purported to be in the business of operating cemeteries, made material misrepresentations and omissions to investors who purchased the promissory notes and equity interests. Most significantly, DMP and Morrow misrepresented that it owned various cemetery properties and that the notes would be secured by those properties in Michigan. In fact, DMP did not own any cemetery properties and none of the notes were secured. Defendants also misrepresented that the proceeds from the notes would be used to acquire and manage cemeteries. In fact, significant amounts of the proceeds were used to fund Morrow’s personal equity interest in DMP, for high risk trading in securities and to pay interest owed to other DMP note holders. Morrow also falsely told the equity investors that DMP was debt free, while knowing that DMP had incurred substantial obligations to the note holders. The complaint further alleges that DMP failed to register the note offering with the commission in violation of the registration provisions of the securities laws. The notes were sold by Morrow’s long-time business associate Angelo Alleca through his investment advisory firm, Summit Capital. Alleca and Summit are the subjects of another lawsuit brought by the Commission charging them with operating a massive Ponzi scheme. See, SEC v. Alleca, et al., Lit. Rel. No. 22485 (Sept. 19, 2012) According to the Commission’s complaint, a total of approximately $19 million in DMP notes have been sold to at least 190 investors in multiple states. Substantial investor funds are missing and unaccounted for. The Commission seeks an injunction against the Defendants to prevent further violations of the securities laws, disgorgement of their ill-gotten gains, civil penalties and interest. [SEC v. Detroit Memorial Partners, 1:13-cv-1817-WSD (N.D. Ga.)] (LR-22712) In the Matter of UBS O’Connor, LLCThe Commission issued an Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934 (Exchange Act), Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 (Advisers Act), Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order (the Order) against UBS O’Connor, LLC (UBS O’Connor). In the Order, the Commission finds that UBS O’Connor violated Rule 105 of Regulation M of the Exchange Act (Rule 105) sixteen times between January 2009 and March 2011 in connection with certain short sales it effected within the Rule 105 restricted period and subsequent purchases of the securities in firm commitment public offerings. Rule 105 makes it unlawful for a person to purchase equity securities from an underwriter, broker, or dealer participating in a public offering if that person sold short the security that is the subject of the offering during the restricted period defined in the rule, absent an exception. Rule 105 defines the restricted period as the shorter of the period: (1) beginning five business days prior to the pricing of the offered securities and ending with such pricing; or (2) beginning with the initial filing of such registration statement or notification on Form 1-A or Form 1-E and ending with the pricing. 17 CFR §242.105. The Commission also finds that during the period in which the sixteen Rule 105 violations occurred, UBS O’Connor’s Rule 105 Policies and Procedures permitted the transactions that caused the violations because UBS O’Connor’s Policies and Procedures were based on the incorrect belief the Rule 105 “separate accounts” exception applied to its structure and practices. The Commission further finds that during the course of investigation by the staff of the Commission and in response to questions raised by the staff regarding the applicability of the separate accounts exception, UBS O’Connor stated that it had revised its Rule 105 Policy and Procedures in order to comply with Rule 105. Based on the conduct described above, the Commission finds that UBS O’Connor willfully violated Rule 105 of Regulation M of the Exchange Act. Without admitting or denying the Commission’s findings, UBS O’Connor has consented to the entry of a cease-and-desist order, a censure, disgorgement of $3,787,590, prejudgment interest of $369,766, and a $1,140,000 civil penalty. The Commission acknowledges and thanks the Financial Industry Regulatory Authority for its assistance in this matter. (Rel. 34-69680; IA- 3615; File No. 3-15347) District Court Enters Final Judgments against Thomas Rubin, Christopher Scott, BGLR Enterprises, LLC and E-Info Solutions, LLC and Commission Brings Administrative Proceedings against Rubin and ScottThe Commission announced that the Honorable James V. Selna of the United States District Court for the Central District of California entered final judgments against defendants Thomas Rubin, Christopher Scott, BGLR Enterprises, LLC and E-Info Solutions, LLC on May 22, 2013. The final judgments imposed on Rubin and Scott injunctions against future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (“Securities Act”) and Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 10b-5 thereunder. The judgments also imposed on BGLR Enterprises, LLC and E-Info Solutions, LLC injunctions against future violations of Sections 5(a) and (c) of the Securities Act. The court also entered ten-year penny stock bars against Rubin and BGLR Enterprises, along with five-year penny stock bars against Scott and E-Info Solutions, as well as a five-year officer and director bar against Scott. Scott was also ordered to pay full disgorgement of approximately $112,000, prejudgment interest of approximately $12,000, and a civil penalty of $75,000, while the court will determine if and to what amount monetary relief will be ordered against Rubin. The Commission’s complaint in that action alleged, among other things, that Rubin and Scott engaged in a continuing series of schemes with others to conduct unlawful unregistered offerings and/or fraudulently manipulate the market for the common stock of four microcap companies through activities including coordinated and matched trading activity. The complaint alleged that Rubin and Scott took advantage of the manipulated markets for certain of these issuers by selling shares he had received in these issuers for substantial profits. The complaint alleged that through this conduct Rubin and Scott violated the securities registration and anti-fraud provisions of the federal securities laws. Rubin and Scott consented to the final judgments (LR- 22713). On June 3, 2013, the Commission issued separate Orders Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 Making Findings, and Imposing Remedial Sanctions against Christopher Scott and Thomas Rubin. In the Orders the Commission found that Rubin and Scott were enjoined in a civil action. The Orders bar Rubin and Scott from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization with the right to apply for re-entry in ten and five years, respectively. Rubin and Scott consented to the issuance of the Orders without admitting or denying any of the findings except they admitted the entry of the final judgment. (Rel. 34-69688; File No. 3-15349 and Rel. 34-69687; File No. 3-15348) In the Matter of Guilin Paper, Inc.An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default (Default Order) in Guilin Paper, Inc., Admin. Proc. File No. 3-15289. The Order Instituting Proceedings alleged that Guilin Paper, Inc., repeatedly failed to file timely periodic reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of its registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-69679; File No. 3-15289) Commission Orders Hearing on Registration Suspension or Revocation against Seven Public Companies for Failure to Make Required Periodic FilingsThe Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the seven issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34- 69656; File No. 3-15340) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of a Proposed Rule ChangeA proposed rule change filed by NASDAQ OMX BX, Inc. to amend options fees and rebates (SR-BX-2013-037) 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 June 3rd. (Rel. 34-69677) 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.
N-2 Salient Midstream & MLP Fund, 4265 SAN FELIPE, SUITE 800, HOUSTON, TX,
77027, 713-993-4675 - 0 ($1.00) Other, (File 333-188959 - May. 31)
(BR. 17)
N-2 CAPITALSOUTH PARTNERS FUND II LP, 1011 E MOREHEAD ST, SUITE 150,
CHARLOTTE, NC, 28204, 7043765502 - 0 ($1.00) Equity, (File 333-188960 -
May. 31) (BR. )
N-2 Salient MLP & Energy Income Fund, 4265 SAN FELIPE, SUITE 800, HOUSTON,
TX, 77027, 713-993-4675 - 50,000 ($1,000,000.00) Equity,
(File 333-188963 - May. 31) (BR. )
S-3D TELEPHONE & DATA SYSTEMS INC /DE/, 30 NORTH LASALLE STREET, STE 4000,
CHICAGO, IL, 60602, 3126301900 - 200,000 ($4,806,000.00) Equity,
(File 333-188965 - May. 31) (BR. 11A)
S-8 UNITED STATES CELLULAR CORP, 8410 W BRYN MAWR AVE, STE 700, CHICAGO,
IL, 60631, 7733998900 - 5,000,000 ($200,050,000.00) Equity,
(File 333-188966 - May. 31) (BR. 11A)
S-8 AXCELIS TECHNOLOGIES INC, 108 CHERRY HILL DRIVE, BEVERLY, MA, 01915,
978 232 4001 - 0 ($4,972,500.00) Equity, (File 333-188967 - May. 31)
(BR. 10A)
S-3ASR TELEPHONE & DATA SYSTEMS INC /DE/, 30 NORTH LASALLE STREET, STE 4000,
CHICAGO, IL, 60602, 3126301900 - 0 ($0.00) Debt, (File 333-188969 -
May. 31) (BR. 11A)
S-1 Celator Pharmaceuticals Inc, 303B COLLEGE ROAD EAST, PRINCETON, NJ,
08540, (609) 243-0123 - 0 ($52,905,739.00) Equity, (File 333-188970 -
May. 31) (BR. 01B)
S-3 UNITED STATES CELLULAR CORP, 8410 W BRYN MAWR AVE, STE 700, CHICAGO,
IL, 60631, 7733998900 - 0 ($500,000,000.00) Debt, (File 333-188971 -
May. 31) (BR. 11A)
S-8 WHOLE FOODS MARKET INC, 550 BOWIE STREET, AUSTIN, TX, 78703,
5124774455 - 0 ($1,607,815,000.00) Equity, (File 333-188973 - May. 31)
(BR. 02C)
S-8 MASTEC INC, 800 S. DOUGLAS ROAD, 12TH FLOOR, CORAL GABLES, FL, 33134,
3055991800 - 7,868,537 ($247,229,432.54) Equity, (File 333-188974 -
May. 31) (BR. 06C)
N-2 Prudential Real Estate Income Fund, Inc., 100 MULBERRY ST,
GATEWAY CENTER 3, NEWARK, NJ, 07102, 973-802-5032 -
50,000 ($1,000,000.00) Equity, (File 333-188975 - May. 31) (BR. 22)
S-4 SUNGARD DATA SYSTEMS INC, SUNGARD DATA SYSTEMS INC,
680 EAST SWEDESFORD RD, WAYNE, PA, 19087, 4845825512 -
0 ($1,000,000,000.00) Debt, (File 333-188976 - May. 31) (BR. 03A)
S-4 DRIVETIME AUTOMOTIVE GROUP INC, 4020 E. INDIAN SCHOOL ROAD, PHOENIX,
AZ, 85018, (602) 852-6600 - 0 ($50,000,000.00) Debt, (File 333-188977 -
May. 31) (BR. 02C)
S-8 WESCO INTERNATIONAL INC, 225 WEST STATION SQUARE DRIVE, STE 700,
PITTSBURGH, PA, 15219, 4124542200 - 0 ($118,972,800.00) Equity,
(File 333-188978 - May. 31) (BR. 10B)
S-8 WESCO INTERNATIONAL INC, 225 WEST STATION SQUARE DRIVE, STE 700,
PITTSBURGH, PA, 15219, 4124542200 - 0 ($165,240,000.00) Equity,
(File 333-188979 - May. 31) (BR. 10B)
S-8 NORDSON CORP, 28601 CLEMENS RD, WESTLAKE, OH, 44145, 4408921580 -
0 ($210,337,000.00) Equity, (File 333-188980 - May. 31) (BR. 06C)
F-1 FREESEAS INC., 10 ELEFTHERIOU VENIZELOU STREET, (PANEPISTIMIOU AVENUE),
ATHENS, J3, 10671, 011-30-210-452-8770 -
2,441,587 ($1,574,823.62) Equity, (File 333-188981 - May. 31) (BR. 05B)
S-3 GLOBAL PARTNERS LP, P.O. BOX 9161, 800 SOUTH STREET, WALTHAM, MA,
02454, (781) 894-8800 -
0 ($11,943,850.00) Unallocated (Universal) Shelf, (File 333-188982 -
May. 31) (BR. 04A)
S-3 ROCKY BRANDS, INC., 39 EAST CANAL STREET, NELSONVILLE, OH, 45764,
6147531951 - 0 ($75,000,000.00) Equity, (File 333-188983 - May. 31)
(BR. 09A)
F-3 BANK OF NOVA SCOTIA /, 44 KING STREET WEST, SCOTIA PLAZA 8TH FL.,
TORONTO, A6, M5H 1H1, (416)866-7555 - 0 ($1,000,000.00) Debt,
(File 333-188984 - May. 31) (BR. 12A)
S-8 XCel Brands, Inc., 475 10TH AVENUE, 4TH FLOOR, NEW YORK, NY, 10018,
(347) 727-2474 - 5,000,000 ($27,500,000.00) Equity, (File 333-188985 -
May. 31) (BR. 03A)
S-8 PULTEGROUP INC/MI/, 100 BLOOMFIELD HILLS PKWY STE 300,
BLOOMFIELD HILLS, MI, 48304, 2486472750 - 0 ($468,144,720.00) Equity,
(File 333-188986 - May. 31) (BR. 06B)
S-3 XCel Brands, Inc., 475 10TH AVENUE, 4TH FLOOR, NEW YORK, NY, 10018,
(347) 727-2474 - 0 ($57,488,418.00) Equity, (File 333-188987 - May. 31)
(BR. 03A)
S-8 CHANNELADVISOR CORP, 2701 AERIAL CENTER PARKWAY, MORRISVILLE, NC,
27560, 919-228-4700 - 0 ($33,969,740.24) Equity, (File 333-188988 -
May. 31) (BR. 03A)
S-8 AKAMAI TECHNOLOGIES INC, 8 CAMBRIDGE CENTER, CAMBRIDGE, MA, 02142,
6174443000 - 23,680,839 ($1,084,464,022.01) Equity, (File 333-188989 -
May. 31) (BR. 03B)
S-8 CATO CORP, 8100 DENMARK ROAD, CHARLOTTE, NC, 28273-5975, 7045517352 -
250,000 ($6,302,500.00) Equity, (File 333-188990 - May. 31) (BR. 09B)
S-4 Station Casinos LLC, 10801 WEST CHARLESTON BLVD., SUITE 600, LAS VEGAS,
NV, 89135, 702-495-3000 - 0 ($500,000,000.00) Debt, (File 333-188992 -
May. 31) (BR. 08C)
S-8 CATO CORP, 8100 DENMARK ROAD, CHARLOTTE, NC, 28273-5975, 7045517352 -
1,500,000 ($37,815,000.00) Equity, (File 333-188993 - May. 31) (BR. 09B)
S-8 Engility Holdings, Inc., 3750 CENTERVIEW DRIVE, CHANTILLY, VA, 20151,
703-664-2900 - 1,471,094 ($35,262,123.18) Equity, (File 333-188994 -
May. 31) (BR. 06B)
S-8 ULTRA CLEAN HOLDINGS INC, 26462 CORPORATE AVENUE, HAYWARD, CA, 94545,
(510) 576-4400 - 0 ($18,197,000.00) Equity, (File 333-188995 - May. 31)
(BR. 10B)
S-8 PORTOLA PHARMACEUTICALS INC, 270 EAST GRAND AVENUE, SUITE 22,
SOUTH SAN FRANCISCO, CA, 94080, 650-244-6864 -
5,125,013 ($48,473,370.46) Equity, (File 333-188996 - May. 31) (BR. 01A)
S-8 HALOZYME THERAPEUTICS INC, 11388 SORRENTO VALLEY ROAD, SAN DIEGO, CA,
92121-1345, (858) 794-8889 - 6,500,000 ($46,540,000.00) Equity,
(File 333-188997 - May. 31) (BR. 01A)
S-8 Porter Bancorp, Inc., 2500 EASTPOINT PARKWAY, LOUISVILLE, KY, 40223,
502-499-4800 - 0 ($704,000.00) Equity, (File 333-188998 - May. 31)
(BR. 07C)
S-8 NORTHERN OIL & GAS, INC., 315 MANITOBA AVE, WAYZATA, MN, 55391,
952-476-9800 - 1,500,000 ($20,205,000.00) Equity, (File 333-188999 -
May. 31) (BR. 04B)
S-4 SBA COMMUNICATIONS CORP, 5900 BROKEN SOUND PARKWAY, BOCA RATON, FL,
33487, 5619957670 - 0 ($800,000,000.00) Non-Convertible Debt,
(File 333-189000 - May. 31) (BR. 11C)
S-8 Altisource Residential Corp, 14A & 14C STRAND STREET, FREDERIKSTED, VI,
00840, 770-612-7007 - 100,000 ($1,868,000.00) Equity,
(File 333-189001 - May. 31) (BR. 08)
S-8 INVIVO THERAPEUTICS HOLDINGS CORP., ONE KENDALL SQUARE,
BUILDING 1400 EAST 4TH FLOOR, CAMBRIDGE, MA, 02139, 617-863-5524 -
0 ($13,860,000.00) Equity, (File 333-189002 - May. 31) (BR. 10A)
S-1 Station Casinos LLC, 10801 WEST CHARLESTON BLVD., SUITE 600, LAS VEGAS,
NV, 89135, 702-495-3000 - 0 ($1.00) Debt, (File 333-189003 - May. 31)
(BR. 08C)
S-4 SBA COMMUNICATIONS CORP, 5900 BROKEN SOUND PARKWAY, BOCA RATON, FL,
33487, 5619957670 - 0 ($500,000,000.00) Debt, (File 333-189004 -
May. 31) (BR. 11C)
S-8 Porter Bancorp, Inc., 2500 EASTPOINT PARKWAY, LOUISVILLE, KY, 40223,
502-499-4800 - 0 ($181,330.00) Equity, (File 333-189005 - May. 31)
(BR. 07C)
S-1 SUPERCONDUCTOR TECHNOLOGIES INC, 460 WARD DRIVE, SANTA BARBARA, CA,
93111-2310, 8056904500 - 0 ($12,000,000.00) Equity, (File 333-189006 -
May. 31) (BR. 11C)
S-1 Soellingen Advisory Group, Inc., 777 S. FLAGLER DRIVE, SUITE 800,
WEST PALM BEACH, FL, 33401, 561-214-4832 - 862,000 ($43,100.00) Equity,
(File 333-189007 - May. 31) (BR. )
N-2 Multi-Strategy Growth & Income Fund, 450 WIRELESS BLVD., HAUPPAUGE, NY,
11788, 631-470-2600 - 0 ($198,120,000.00) Equity, (File 333-189008 -
May. 31) (BR. 16)
S-8 RAVEN INDUSTRIES INC, 205 E 6TH ST, PO BOX 5107, SIOUX FALLS, SD,
57117, 6053362750 - 0 ($7,677,500.00) Equity, (File 333-189009 -
May. 31) (BR. 06C)
S-8 PRGX GLOBAL, INC., 600 GALLERIA PARKWAY, STE 100, ATLANTA, GA,
30339-5949, 7707796610 - 0 ($13,075,200.00) Equity, (File 333-189010 -
May. 31) (BR. 06A)
S-8 Alexza Pharmaceuticals Inc., 2091 STIERLIN COURT, MOUNTAIN VIEW, CA,
94043, 650.944.7000 - 2,400,000 ($10,800,000.00) Equity,
(File 333-189011 - May. 31) (BR. 01A)
S-8 WRIGHT MEDICAL GROUP INC, 5677 AIRLINE ROAD, ARLINGTON, TN, 38002,
9018679971 - 0 ($14,993,124.53) Equity, (File 333-189012 - May. 31)
(BR. 10B)
S-8 BASIC ENERGY SERVICES INC, 801 CHERRY STREET, SUITE 2100, UNIT #21,
FORT WORTH, TX, 76102, 817-334-4100 -
2,000,000 ($27,100,000.00) Equity, (File 333-189013 - May. 31) (BR. 04B)
S-8 Bancorp, Inc., 302-385-5000 - 2,400,000 ($34,848,000.00) Equity,
(File 333-189014 - May. 31) (BR. 07C)
S-3 TG THERAPEUTICS, INC., 787 SEVENTH AVENUE, NEW YORK, NY, 10019,
(212) 554-4484 - 0 ($175,000,000.00) Equity, (File 333-189015 -
May. 31) (BR. 01B)
S-8 NORTHSTAR REALTY FINANCE CORP., 399 PARK AVENUE,, 18TH FLOOR, NEW YORK,
NY, 10022, 212-547-2640 - 0 ($71,360,000.00) Equity, (File 333-189016 -
May. 31) (BR. 08B)
S-3 CITIGROUP COMMERCIAL MORTGAGE SECURITIES INC, 388 GREENWICH STREET,
NEW YORK, NY, 10013, 2128166000 - 1 ($1.00) Asset-Backed Securities,
(File 333-189017 - May. 31) (BR. OSF)
S-8 WRIGHT MEDICAL GROUP INC, 5677 AIRLINE ROAD, ARLINGTON, TN, 38002,
9018679971 - 3,700,000 ($86,943,000.00) Equity, (File 333-189018 -
May. 31) (BR. 10B)
S-8 SYNOPSYS INC, 700 E MIDDLEFIELD RD, MOUNTAIN VIEW, CA, 94043-4033,
6509625000 - 5,000,000 ($178,775,000.00) Equity, (File 333-189019 -
May. 31) (BR. 03A)
S-1 SIMON WORLDWIDE INC, 18952 MACARTHUR BOULEVARD, SUITE 470, IRVINE, CA,
92612, 949-251-4660 - 0 ($5,000,000.00) Equity, (File 333-189020 -
May. 31) (BR. 09A)
S-8 Volcano Corp, 3661 VALLEY CENTRE DRIVE, SUITE 200, SAN DIEGO, CA,
92130, 800-228-4728 - 0 ($131,969,400.00) Equity, (File 333-189021 -
May. 31) (BR. 10B)
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
Actinium Pharmaceuticals, Inc. NV 1.02,5.02 05/31/13
ACTIVE POWER INC DE 5.07 05/30/13
Advanced Voice Recognition Systems, I NV 1.01,3.02,9.01 05/24/13
AFFYMAX INC DE 8.01 05/28/13
AFFYMAX INC DE 1.01,1.02 05/28/13
AGY Holding Corp. DE 1.01,9.01 05/28/13
AI DOCUMENT SERVICES, INC. DE 4.02,9.01 05/15/13
AIR LEASE CORP DE 5.02,9.01 05/30/13
AK STEEL HOLDING CORP DE 5.07 05/30/13
ALCO STORES INC KS 5.02,7.01,9.01 05/24/13
Alexander & Baldwin, Inc. HI 2.03 05/24/13
ALEXANDRIA REAL ESTATE EQUITIES INC MD 8.01,9.01 05/29/13
Ally Auto Assets LLC DE 1.01,8.01,9.01 05/30/13
Ally Financial Inc. DE 5.02,5.07 05/27/13
Altisource Asset Management Corp VI 5.07 05/30/13
Altisource Residential Corp 5.07,9.01 05/29/13
AMEDISYS INC DE 7.01,9.01 05/31/13
Ameresco, Inc. DE 5.07 05/30/13
AMERICAN EAGLE OUTFITTERS INC DE 5.07,7.01,9.01 05/30/13
AMERICAN INTERNATIONAL GROUP INC DE 8.01 05/27/13
American Realty Capital Properties, I MD 1.01,8.01,9.01 05/31/13
American Realty Capital Properties, I MD 7.01,8.01,9.01 05/31/13
American Realty Capital Trust IV, Inc MD 8.01,9.01 05/31/13
AMREP CORP. OK 8.01,9.01 05/31/13
Applied Nanotech Holdings, Inc TX 5.02,9.01 05/31/13
Approach Resources Inc DE 5.07 05/30/13
Ares Commercial Real Estate Corp MD 7.01,9.01 05/31/13
ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 2.02,3.01,9.01 05/31/13 AMEND
Artemis Acquisition Corp. DE 1.01,2.01,3.02, 03/31/13 AMEND
5.02,5.06,9.01
Atlas Resource Partners, L.P. DE 1.01,9.01 05/30/13
Baoshinn Corp NV 3.02 05/31/13
Bio-Matrix Scientific Group, Inc. DE 5.02,8.01 05/29/13
Biozoom, Inc. NV 8.01,9.01 05/31/13
BNC BANCORP NC 1.01,8.01,9.01 05/31/13
Bonanza Creek Energy, Inc. DE 8.01 05/29/13
BOSTON BEER CO INC MA 5.07,7.01,8.01 05/29/13
BOYD GAMING CORP NV 5.07 05/31/13
BRANDYWINE REALTY TRUST MD 5.07 05/30/13
BRINKER INTERNATIONAL INC DE 7.01,9.01 05/30/13
BSB Bancorp, Inc. MD 5.07 05/29/13
Calpian, Inc. TX 9.01 05/31/13 AMEND
CAPSTEAD MORTGAGE CORP MD 7.01,9.01 05/31/13
Cardinal Ethanol LLC IN 8.01 05/31/13
Carlyle GMS Finance, Inc. MD 1.01,2.03,3.02 05/24/13
CARMIKE CINEMAS INC DE 5.07 05/29/13
CDW Corp DE 2.04,9.01 05/31/13
CELL THERAPEUTICS INC WA 2.02,7.01,9.01 05/31/13
Celsion CORP DE 8.01,9.01 05/31/13
CENTRAL EUROPEAN DISTRIBUTION CORP DE 8.01,9.01 05/31/13
CHICOPEE BANCORP, INC. 5.07 05/29/13
China Biologic Products, Inc. 3.03 05/29/13
CHUY'S HOLDINGS, INC. DE 7.01,9.01 05/29/13
Citadel Exploration, Inc. NV 7.01,9.01 05/30/13
Clearwire Corp /DE DE 8.01,9.01 05/30/13
COBIZ FINANCIAL INC CO 8.01 05/31/13
ColorStars Group NV 1.01,9.01 05/31/13
COMPX INTERNATIONAL INC DE 5.02,5.07,7.01,9.01 05/31/13
Constellation Energy Partners LLC DE 1.01,2.03,8.01,9.01 05/30/13
Constellation Energy Partners LLC DE 5.02 05/31/13
COOPER COMPANIES INC DE 8.01,9.01 05/31/13
COPART INC CA 2.02,9.01 05/30/13
Core-Mark Holding Company, Inc. DE 1.01,8.01,9.01 05/30/13
CorMedix Inc. DE 3.01,5.08,8.01,9.01 05/29/13
COVENANT TRANSPORTATION GROUP INC NV 5.02,5.07 05/29/13
COWEN GROUP, INC. DE 7.01 05/31/13
CRA INTERNATIONAL, INC. MA 5.07 05/23/13
CSS INDUSTRIES INC DE 5.02 05/24/13
CUMMINS INC IN 8.01 05/31/13
CVR PARTNERS, LP DE 7.01,9.01 05/31/13
CYMER INC NV 2.01,3.01,3.03, 05/30/13
5.01,5.02,5.03,8.01,9.01
Deep Down, Inc. NV 5.02,9.01 05/28/13
DEERE & CO DE 5.02,9.01 05/31/13
DEGARO INNOVATIONS CORP. NV 1.01,5.02,9.01 05/24/13
DEL TORO SILVER CORP. NV 1.01,9.01 05/31/13
dELiAs, Inc. DE 5.02,8.01,9.01 05/30/13
DEMAND MEDIA INC. DE 5.02 05/24/13
DISCOVERY LABORATORIES INC /DE/ DE 8.01 05/31/13
DISH Network CORP NV 8.01,9.01 05/30/13
Dolan Co. DE 5.02 05/31/13
Dolat Ventures, Inc. NV 4.01,5.02,5.03 05/30/13
Dolby Laboratories, Inc. DE 8.01 05/30/13
DOUBLE EAGLE PETROLEUM CO MD 5.07 05/30/13
Duke Energy CORP DE 8.01,9.01 05/30/13
DUPONT FABROS TECHNOLOGY, INC. MD 5.07 05/30/13
DYNAMIC APPLICATIONS CORP DE 4.01,9.01 05/31/13
Eastern Insurance Holdings, Inc. PA 8.01,9.01 05/31/13
EASTGROUP PROPERTIES INC MD 5.02,5.03,5.07,9.01 05/24/13
ECOLOGY & ENVIRONMENT INC NY 5.04,9.01 05/31/13
ECOSPHERE TECHNOLOGIES INC DE 1.01,2.01,9.01 05/24/13
EMERITUS CORP\WA\ WA 5.07 05/29/13
EMISPHERE TECHNOLOGIES INC DE 1.01,5.07,9.01 05/30/13
ENDURANCE SPECIALTY HOLDINGS LTD 1.01,1.02, 05/31/13
5.02,7.01,9.01
Enservco Corp DE 5.02,5.05,8.01,9.01 05/29/13
ENTERGY CORP /DE/ DE 7.01,9.01 05/31/13
ENTRAVISION COMMUNICATIONS CORP DE 1.01,2.03,8.01,9.01 05/31/13
EURONET WORLDWIDE INC DE 5.02,5.07,9.01 05/30/13
FARMER BROTHERS CO CA 8.01,9.01 05/29/13
Federal Home Loan Bank of Boston X1 2.03 05/29/13
Federal Home Loan Bank of Dallas 2.03,9.01 05/28/13
Fidelity National Financial, Inc. 1.01,8.01,9.01 05/28/13 AMEND
FIRST FEDERAL BANCSHARES OF ARKANSAS AR 5.07 05/29/13
FIRST FINANCIAL BANKSHARES INC TX 7.01,9.01 05/31/13
FOREST CITY ENTERPRISES INC OH 8.01,9.01 05/31/13
FORTUNE INDUSTRIES, INC. DE 2.03 05/31/13
FREEPORT MCMORAN COPPER & GOLD INC DE 8.01,9.01 05/30/13
FS Energy & Power Fund DE 1.02,9.01 05/24/13
FUSION-IO, INC. DE 5.02,9.01 05/24/13
Galena Biopharma, Inc. 1.01,9.01 05/24/13
GASCO ENERGY INC NV 5.07 05/29/13
GENERAL MILLS INC DE 2.02,9.01 05/30/13
GENESCO INC TN 2.02,9.01 05/31/13
GLOBAL AXCESS CORP NV 1.01,2.03,9.01 05/30/13
Global Geophysical Services Inc DE 5.07 05/24/13
GRAHAM CORP DE 2.02,8.01,9.01 05/30/13
Graystone Co DE 3.02 05/28/13
GREAT PLAINS ENERGY INC MO 7.01,9.01 05/31/13
GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 05/29/13
H&E Equipment Services, Inc. DE 5.07 05/29/13
HALLMARK FINANCIAL SERVICES INC NV 5.07,8.01 05/30/13
Hartman Short Term Income Properties MD 9.01 05/31/13 AMEND
HASTINGS ENTERTAINMENT INC TX 5.07 05/29/13
HAWAIIAN HOLDINGS INC DE 1.01,2.03,9.01 05/29/13
HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 5.07 05/29/13
HI TECH PHARMACAL CO INC NY 1.01,9.01 05/31/13
HOOPER HOLMES INC NY 5.07 05/29/13
Horizon Lines, Inc. 8.01 05/31/13
HOSPITALITY PROPERTIES TRUST MD 8.01,9.01 05/30/13
HOT TOPIC INC /CA/ CA 5.07 05/31/13
ICONIX BRAND GROUP, INC. DE 8.01,9.01 05/24/13
IDERA PHARMACEUTICALS, INC. DE 3.01 05/29/13
ILLUMINA INC DE 5.07 05/29/13
Infinity Augmented Reality, Inc. NV 5.02,9.01 05/30/13
INFRAX SYSTEMS, INC. FL 8.01 05/31/13
INGLES MARKETS INC NC 1.01,2.03,8.01,9.01 05/29/13
Inland American Real Estate Trust, In MD 8.01,9.01 05/31/13
INPHI Corp DE 5.07 05/24/13
INSITE VISION INC DE 5.07 05/29/13
INTERCEPT PHARMACEUTICALS INC DE 8.01 05/28/13
INTERLINE BRANDS, INC./DE DE 8.01,9.01 05/31/13
INTERMOLECULAR INC DE 5.07 05/29/13
INTERNATIONAL LEASE FINANCE CORP CA 8.01 05/27/13
INTERNATIONAL SILVER INC AZ 1.01,9.01 05/29/13
INTEST CORP DE 8.01 05/29/13
INVACARE CORP OH 1.01,9.01 05/30/13
Investors Bancorp Inc DE 5.07,7.01,9.01 05/31/13
iTalk Inc. NV 1.01,2.01,8.01,9.01 05/24/13
JACKSONVILLE BANCORP INC /FL/ FL 3.01 05/29/13
JAMBA, INC. DE 3.03,5.03,7.01,9.01 05/31/13
JARDEN CORP DE 5.02,5.07,9.01 05/30/13
LADENBURG THALMANN FINANCIAL SERVICES FL 8.01 05/31/13
LAKELAND BANCORP INC NJ 5.02,8.01,9.01 05/31/13
LAWSON PRODUCTS INC/NEW/DE/ DE 4.01,9.01 05/30/13
Leatt Corp NV 7.01,9.01 05/31/13 AMEND
LEGACY RESERVES LP DE 1.01,2.03,9.01 05/28/13
LEXINGTON REALTY TRUST MD 2.03 05/31/13
LIN TV CORP. DE 5.07 05/29/13
LIONS GATE ENTERTAINMENT CORP /CN/ A1 5.02,9.01 05/29/13
LIQUIDMETAL TECHNOLOGIES INC DE 3.02,5.02,7.01,9.01 05/28/13
LITTELFUSE INC /DE DE 7.01,9.01 05/31/13
Macquarie Infrastructure CO LLC DE 1.01,9.01 05/31/13
Madison County Financial, Inc. MD 5.07,9.01 05/20/13
MAGNEGAS CORP DE 1.01,8.01,9.01 05/31/13
Main Street Capital CORP MD 1.01,2.03,8.01,9.01 05/30/13
Mandalay Digital Group, Inc. DE 8.01,9.01 05/31/13
MARATHON OIL CORP DE 5.03,9.01 05/29/13
MARKWEST ENERGY PARTNERS L P 5.07 05/29/13
MASTERCARD INC DE 8.01 05/31/13
MATTEL INC /DE/ DE 8.01 05/29/13
MB FINANCIAL INC /MD 5.07 05/29/13
MCCORMICK & CO INC MD 7.01,9.01 05/31/13
MERITOR INC IN 5.02 05/24/13
MERITOR INC IN 1.01,2.03,8.01,9.01 05/31/13
ML Capital Group, Inc. NV 5.02 05/30/13
MMRGlobal, Inc. DE 5.02 05/26/13
MONROE CAPITAL Corp MD 7.01,9.01 05/31/13
NANOVIRICIDES, INC. NV 5.02 05/28/13
Nationstar Mortgage Holdings Inc. DE 1.01,2.03,9.01 05/29/13
Naugatuck Valley Financial Corp 2.02,9.01 05/31/13
Neenah Paper Inc DE 5.02,5.07,9.01 05/30/13
Neohydro Technologies Corp. NV 1.01,5.02 05/23/13
NEPHROS INC DE 5.02 05/29/13
NetSpend Holdings, Inc. DE 5.07 05/31/13
NEW ULM TELECOM INC MN 5.07 05/30/13
NEW YORK MORTGAGE TRUST INC MD 1.01,3.03,5.03,9.01 05/28/13
Noranda Aluminum Holding CORP DE 1.01,2.03,9.01 05/29/13
NORTH BAY RESOURCES INC DE 3.02,9.01 05/28/13
NORTH VALLEY BANCORP CA 5.07 05/30/13
NORTHROP GRUMMAN CORP /DE/ 1.01,2.03,9.01 05/31/13
NORTHSTAR REALTY FINANCE CORP. MD 5.07 05/29/13
NORTHWEST INDIANA BANCORP IN 8.01,9.01 05/31/13
NORTHWEST PIPE CO OR 7.01,9.01 05/31/13
O'Donnell Strategic Industrial REIT, 5.02,5.07,8.01 05/30/13
OFFICE DEPOT INC DE 8.01 05/31/13
Ohr Pharmaceutical Inc 7.01 05/30/13
OMNI BIO PHARMACEUTICAL, INC. CO 1.01,3.02 05/31/13
OphthaliX, Inc. DE 3.02,5.02,5.07 05/29/13
Orion Marine Group Inc 5.07 05/23/13
PACIFIC PREMIER BANCORP INC DE 9.01 03/21/13 AMEND
PAN AMERICAN GOLDFIELDS LTD DE 8.01 05/29/13
Patriot Coal CORP DE 8.01,9.01 05/29/13
PFSWEB INC DE 1.01,9.01 05/15/13 AMEND
PHL VARIABLE INSURANCE CO /CT/ 7.01 05/31/13
PHOENIX COMPANIES INC/DE DE 7.01 05/31/13
PIEDMONT NATURAL GAS CO INC NC 8.01 05/31/13
PINNACLE ENTERTAINMENT INC. DE 1.01,9.01 05/24/13
Polar Petroleum Corp. 1.01,2.03, 05/28/13
3.02,8.01,9.01
PREMIER EXHIBITIONS, INC. FL 9.01 04/20/12 AMEND
PUGET TECHNOLOGIES, INC. NV 5.02 05/31/13
Puramed Bioscience Inc. MN 5.03,5.07,9.01 05/28/13
QCR HOLDINGS INC DE 8.01,9.01 05/30/13
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,9.01 05/24/13
Raystream Inc. NV 5.02,8.01 05/31/13
READING INTERNATIONAL INC NV 5.02,9.01 05/28/13
REALPAGE INC DE 5.07 05/31/13
RED ROBIN GOURMET BURGERS INC DE 5.07 05/30/13
Resolute Energy Corp DE 1.01,5.07,9.01 05/29/13
REVA Medical, Inc. DE 5.07 05/30/13
ROMA FINANCIAL CORP X1 5.07 05/30/13
RREEF Property Trust, Inc. MD 1.01,2.01, 05/31/13
2.03,7.01,8.01,9.01
SALIX PHARMACEUTICALS LTD 8.01,9.01 05/30/13
SANDERSON FARMS INC MS 2.02,9.01 05/30/13
SANMINA CORP DE 5.02 05/29/13
SCICLONE PHARMACEUTICALS INC DE 5.02 05/31/13
Seagate Technology plc L2 8.01,9.01 05/31/13
SERVICESOURCE INTERNATIONAL, INC. DE 5.07 05/30/13
Shire plc 8.01,9.01 05/31/13
SKECHERS USA INC DE 5.07 05/29/13
SMTP, Inc. DE 1.01,5.07,9.01 05/29/13
Soul & Vibe Interactive Inc. NV 1.01,2.01, 05/31/13 AMEND
3.02,5.02,5.03,9.01
SOUTHERN STATES SIGN Co NV 1.01,2.01,3.02, 11/01/12 AMEND
5.01,5.02,5.03,5.06,9.01
SS&C Technologies Holdings Inc DE 5.02,5.07 05/29/13
STAGE STORES INC NV 8.01,9.01 05/30/13
STRATEGIC HOTELS & RESORTS, INC 1.01,1.02,3.03,9.01 05/30/13
Sucampo Pharmaceuticals, Inc. 1.01,9.01 05/28/13
SUN HYDRAULICS CORP FL 5.02,5.07,8.01,9.01 05/30/13
Sunrise Global Inc. NV 5.01,5.02 05/16/13
Swingplane Ventures, Inc. NV 1.01,8.01,9.01 02/15/13
SYCAMORE NETWORKS INC DE 1.01,8.01,9.01 05/24/13
TELECOMMUNICATION SYSTEMS INC /FA/ MD 5.07 05/30/13
TELEPHONE & DATA SYSTEMS INC /DE/ DE 5.02,5.07,9.01 05/24/13
TENET HEALTHCARE CORP NV 1.01,2.03,8.01,9.01 05/30/13
TENGION INC DE 5.02,8.01,9.01 05/08/13
Texas Rare Earth Resources Corp. DE 5.02 05/27/13
Thompson Creek Metals CO Inc. A6 5.07 05/29/13 AMEND
TIVO INC DE 5.02 05/24/13
TJX COMPANIES INC /DE/ DE 8.01 05/22/13
TORCHMARK CORP DE 5.02,9.01 05/29/13
TRESORO MINING CORP. NV 4.01,9.01 05/29/13
ULTRALIFE CORP DE 1.01,2.03,9.01 05/24/13
United Community Bancorp 8.01,9.01 05/30/13
UNIVERSAL AMERICAN CORP. DE 5.02,5.07 05/31/13
UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 05/31/13
URBAN OUTFITTERS INC PA 5.07,9.01 05/28/13
US FOODS, INC. DE 5.02,9.01 05/28/13
Valeant Pharmaceuticals International A6 1.01,8.01,9.01 05/24/13
VALHI INC /DE/ DE 5.07,7.01,9.01 05/23/13
VALLEY FINANCIAL CORP /VA/ VA 8.01,9.01 05/30/13
VEECO INSTRUMENTS INC DE 3.01,9.01 05/24/13
VERMILLION, INC. DE 5.02 05/28/13
VIASPACE Inc. 1.01,3.02,9.01 05/29/13
VISTA GOLD CORP B0 7.01,9.01 05/31/13
VIVUS INC CA 8.01 05/29/13
VOCERA COMMUNICATIONS, INC. 5.07 05/29/13
WABASH NATIONAL CORP /DE DE 5.02 05/15/13
WaferGen Bio-systems, Inc. NV 5.07 05/30/13
WELLS FARGO & COMPANY/MN DE 9.01 05/31/13
WESTMORELAND COAL Co DE 1.01,9.01 05/30/13
WESTWOOD HOLDINGS GROUP INC DE 5.02 05/30/13
WET SEAL INC DE 8.01 05/31/13
WHY USA FINANCIAL GROUP INC NV 2.01 05/28/13
WILLIAMS SONOMA INC CA 5.07 05/30/13
WIRELESS RONIN TECHNOLOGIES INC MN 8.01 05/30/13
WORLD FUEL SERVICES CORP FL 7.01,9.01 05/31/13
XCEL ENERGY INC MN 8.01 05/31/13
XO GROUP INC. DE 5.07 05/29/13
XODTEC LED, INC. NV 5.01,5.03,5.07,9.01 05/28/13
XPO Logistics, Inc. 5.07 05/29/13
Yankee Holding Corp. DE 7.01,9.01 05/31/13
ZION OIL & GAS INC DE 8.01,9.01 05/31/13
ZIOPHARM ONCOLOGY INC DE 5.02 05/31/13
ZOOM TECHNOLOGIES INC DE 5.02 05/27/13
http://www.sec.gov/news/digest/2013/dig060313.htm
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