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U.S. Securities and Exchange Commission

SEC NEWS DIGEST

Issue 2013-105
June 3, 2013

Commission Announcements

Commission 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
1. 3CI Complete Compliance Corp. TCCC
2. AHPC Holdings, Inc. GLOV
3. American Utilicraft Corp. AMUC
4. Austin Farms Inc. AUFR
5. BancPro, Inc. BCPO
6. Baxley Federal Savings Bank BAXF
7. CBR Brewing Co., Inc. CBRAF
8. Centerpoint Bank (Bedford, NH) CPOB
9. China Renyuan International, Inc. CRNY
10. Compass Plastics & Technologies, Inc. CPTI
11. Devonshire Consolidated, Inc. DVNO
12. Edge Business Services Corp. EGBS
13. Egghead.com, Inc. EGHDQ
14. Environmental Corp. of America ECAM
15. Environmental Fiber Technologies, Inc. EVFB
16. Extreme Motorsports of California, Inc. EMOC
17. Fidelity First Financial Corp. FFIRD
18. Fortune Market Media, Inc. FTMK
19. Franklin Ophthalmic Instruments Co., Inc. FKLN
20. Futurebiotics, Inc. VITK
21. Geneva Financial Corp. GNVN
22. Globalnet Systems Ltd. ISDN
23. Icy Splash Food & Beverage, Inc. IFBV
24. Imaging Center Inc. (The) TIGC
25. InAmerica, Inc. INAX
26. IndieMV Media Group, Inc. IDMV
27. Integrated Bio Energy Resources, Inc. IBIE
28. Interactive Brand Development, Inc. IBDI
29. ISI Technology Corp. ISYI
30. Isomet Corp. IOMT
31. Matinee Media Corp. MNEM
32. MediaBay, Inc. MBAY
33. Metricom, Inc. MCOMQ
34. Midnight Holdings Group, Inc. MHGI
35. Municipal Insurance Co. of America MPAL
36. Myriad Entertainment & Resorts, Inc. MYRA
37. Oxford Capital Corp. OXFO
38. PanAmerican BanCorp PABN
39. Pennsylvania Warehousing & Safe Deposit Co. PAWH
40. Pipejoin Technologies, Inc. PPJN
41. Pogo! Products, Ltd. PGOI
42. PopMail.com, Inc. POPM
43. Premium Energy Corp. PPTL
44. Relax Investments, Ltd. RLXI
45. Riptide Worldwide, Inc. RTWW
46. Rocket City Enterprises, Inc. RCTY
47. Rocketinfo, Inc. RKTI
48. Ronco Corp. RNCP
49. Silver Star Energy, Inc. SVSE
50. Sound Health Solutions, Inc. SHSO
51. Sovereign Exploration Associates International, Inc. SVXA
52. Sports Concepts, Inc. SCPT
53. Sports Media, Inc. SPTS
54. TMT Capital Corp. TMTP
55. UniMark Group, Inc. (The) UNMG
56. Verdant Brands, Inc. VERD
57. Viking Power Services, Inc. VKPW
58. Vinings Investment Properties Trust VIPPS
59. Washington Life Insurance Co. of America WLIA
60. Wi-Tron, Inc. WTRO
61. Zone Mining Ltd. ZMNL

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 Chair

Securities 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 PROCEEDINGS

Commission Charges Fortune 200 Company for Accounting Deficiencies

The 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 Fraud

On 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, LLC

The 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 Scott

The 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 Filings

The 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:

  • Greenstart, Inc.
  • Viseon, Inc. (VSNI)
  • WMPH 2, Inc. (n/k/a Major League Poker, Inc.)
  • WMPH 3, Inc.
  • WMPH 4, Inc.
  • Zow, Inc.
  • 51143, Inc.

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 ORGANIZATIONS

Immediate Effectiveness of a Proposed Rule Change

A 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 REGISTRATIONS

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

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 FILINGS

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

                                        STATE
NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

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


Modified: 06/03/2013