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ENFORCEMENT PROCEEDINGSCommission Charges Top Officials at Investment Adviser in Scheme to Hide Theft from Pension Fund of Detroit Police and FirefightersThe Securities and Exchange Commission (Commission) charged the leader of a Detroit-based investment adviser for stealing nearly $3.1 million from the pension fund that the firm manages for the city's police officers and firefighters so he could buy two strip malls in California. The SEC charged four other top officials at the firm for helping him try to cover up the theft. The SEC alleges that Chauncey C. Mayfield, who is the founder, president, and CEO of MayfieldGentry Realty Advisors, took the money from the Police and Fire Retirement System of the City of Detroit without obtaining permission. He used it to purchase the shopping properties and title them in the name of a MayfieldGentry affiliate. Other executives at MayfieldGentry gradually became aware that Mayfield had siphoned money away from their biggest client. Rather than come clean about the theft and risk losing the sizeable business the firm received from the pension fund, MayfieldGentry officials instead devised a plan to secretly repay the pension fund by cutting costs at the firm and selling the strip malls. Their plan ultimately failed when MayfieldGentry could not raise enough capital to put the stolen amount back into the pension fund. Mayfield and his firm agreed to settle the charges by paying back the stolen amount. "Mayfield stole pension money from Detroit's retired police officers, firefighters, and surviving spouses and children to buy strip malls," said Andrew Ceresney, Co-Director of the SEC's Division of Enforcement. "To make matters worse, other senior officers at the firm joined together with him to cover up his deceitful and grave betrayal of trust, all for the purpose of keeping the client." The other MayfieldGentry executives charged in the SEC's complaint are chief financial officer Blair D. Ackman, chief operating officer Marsha Bass, chief investment officer W. Emery Matthew, and chief compliance officer and general counsel Alicia M. Diaz. According to the SEC's complaint filed in federal court in Detroit, Mayfield took the money from a trust account for the pension fund in 2008. The stolen money could have provided a year of benefits for more than 100 retired police officers, firefighters, and surviving spouses and children. Shortly thereafter, Mayfield told Ackman about the misappropriation, and by May 2011 the other principals at MayfieldGentry were aware of the misdeed. They proceeded to hide the theft by affirmatively misleading the pension fund. The SEC alleges that during a critical budget meeting with fund trustees in 2011, Diaz stressed MayfieldGentry's success in generating a cash return for the pension fund. He stated that "the cash we deliver at the end of the day is the ultimate testimony in terms of what we do." Diaz touted a projection that MayfieldGentry would remit $4.96 million to the pension fund in 2012. Diaz never told the pension fund trustees that the cash remittance would be reduced by more than 60 percent once the stolen money was taken into account. At the same meeting, Matthews claimed that MayfieldGentry had achieved a benchmark-beating 6.8 percent return for the pension fund. He didn't explain that the 6.8 percent return would be materially impacted by the $3.1 million theft. According to the SEC's complaint, MayfieldGentry and its executives continued to cover up the theft until they finally informed the pension fund on the evening before the SEC filed a complaint against Mayfield and his firm in May 2012 for their participation in a "pay-to-play" scheme involving the former mayor and treasurer of Detroit. Upon learning of the theft, the pension fund promptly terminated its relationship with MayfieldGentry. The SEC's complaint alleges that MayfieldGentry and Chauncey Mayfield violated Sections 206(1) and 206(2) of the Investment Advisers Act of 1940, and Ackman, Bass, Matthews, and Diaz aided and abetted those violations. Mayfield and his firm agreed to pay disgorgement in the amount of $3,076,365.88 and be permanently enjoined from violating Sections 206(1) and 206(2) of the Advisers Act. They neither admit nor deny the allegations in the settlement, which is subject to court approval. In a parallel criminal matter, Mayfield is awaiting sentencing in connection with his guilty plea for participation in the pay-to-play scheme. The SEC's investigation was conducted jointly by the Chicago Regional Office, the Division of Enforcement's Asset Management Unit, and the Municipal Securities and Public Pensions Unit. The investigation was conducted by Brian D. Fagel, Eric A. Celauro, Peter K.M. Chan, and John J. Sikora, Jr. The SEC's litigation against the remaining four defendants will be led by Timothy S. Leiman. (Press Rel. 2013-106; LR-22720) In the Matter of optionsXpress, Inc. et al.An Administrative Law Judge issued an Initial Decision in optionsXpress, Inc., Admin. Proc. No. 3-14848, Initial Decision Release No. 490. The Initial Decision finds that: (1) optionsXpress, Inc. (optionsXpress), willfully violated Rules 204 and 204T of Regulation SHO – Regulation of Short Sales; (2) Jonathan I. Feldman (Feldman) willfully violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rules 10b-5 and 10b-21; (3) Thomas E. Stern (Stern) caused and willfully aided and abetted optionsXpress's and Feldman's violations; and (4) optionsXpress caused and willfully aided and abetted Feldman's violations. The Initial Decision orders: (1) optionsXpress, Feldman, and Stern to cease and desist from future violations; (2) optionsXpress to disgorge $1,574,599, and Feldman to disgorge $2,656,377, both with prejudgment interest; (3) optionsXpress to pay a civil penalty of $2 million, Feldman to pay a civil penalty of $2 million, and Stern to pay a civil penalty of $75,000; and (4) that Stern is barred from participation in the securities industry and from serving as an officer or director of an investment company as specified in Section 15(b)(6) of the Exchange Act and Section 9(b) of the Investment Company Act of 1940. (ID-490; File No. 3-14848) Commission Suspends Trading of Polar Petroleum Corp.The Commission ordered the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the "Exchange Act"), of trading in the securities of Polar Petroleum Corp. ("Polar"), dually quoted on the OTC Bulletin Board and OTC Link, operated by OTC Markets Group, Inc., because of questions regarding the adequacy and accuracy of assertions by Polar, and by others, to investors in press releases and promotional material concerning, among other things, the company's assets, operations, and financial condition. Polar's ticker symbol is POLR. The trading suspension will last for ten business days. The trading suspension commenced at 9:30 a.m. EDT on June 10, 2013, and terminates at 11:59 p.m. EDT on June 21, 2013. 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 Polar. Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, 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 the above-named 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. (Rel. 34-69721) Self-regulatory organizationsImmediate Effectiveness of a Proposed Rule ChangeA proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2013-60) to its Schedule of Fees and Rebates for execution of quotes and orders on NASDAQ OMX PSX has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of June 17th. (Rel. 34-69717)The Options Clearing Corporation filed a proposed rule change (SR-OCC-2013-07) under Section 19(b)(1) of the Securities Exchange Act of 1934, which became effective upon filing, to amend the short-form license agreement that must be signed by OCC clearing members seeking to clear over-the-counter index options on underlying indices published by Standard & Poor's Financial Services LLC. Publication is expected in the Federal Register during the week of June 10th. (Rel. 34-69722) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2013-15) relating to amendments to the EDGA Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week of June 10th. (Rel. 34- 69724). A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-19) relating to amendments to the EDGX Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week of June 10th. (Rel. 34-69725)
Proposed Rule ChangeThe Options Clearing Corporation (OCC) filed a proposed rule change (SR-OCC-2013-08) pursuant Section 19(b)(1) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 19b-4 thereunder, to reflect enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as applied to longer-tenor options. OCC also filed the proposal as an advance notice (SR-OCC-2013-803) pursuant to Section 806(e)(1) of the Payment, Clearing, and Settlement Supervision Act of 2010 and Rule 19b-4(n)(1)(i) of Exchange Act. The proposal shall not take effect until all regulatory actions required with respect to the proposal are completed. The Commission will consider all public comments received on this proposal regardless of whether the comments are submitted in response to the proposed rule change (SR-OCC-2013-08) or the advance notice (SR-OCC-2013-803). Publication is expected in the Federal Register during the week of June 11th. (Rel. 34-69723)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. S-3 NV ENERGY, INC., 6226 WEST SAHARA AVENUE, LAS VEGAS, NV, 89146, 702-367-5000 - 1,237,251 ($29,025,908.46) Equity, (File 333-189146 - Jun. 7) (BR. 02B) S-8 JAMBA, INC., 6475 CHRISTIE AVENUE, NO. 150, EMERYVILLE, CA, 94608, (510) 596-0100 - 1,787,932 ($28,034,774.00) Equity, (File 333-189147 - Jun. 7) (BR. 05C) S-1 NRG Yield, Inc., 211 CARNEGIE CENTER, PRINCETON, NJ, 08540, 609-524-9500 - 0 ($400,000,000.00) Equity, (File 333-189148 - Jun. 7) (BR. 02) F-3ASR Lloyds Banking Group plc, 25 GRESHAM STREET, LONDON, X0, EC2V 7HN, 44 0 20 7626 1500 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-189150 - Jun. 7) (BR. 12A) F-10 ENBRIDGE INC, 3000 425 - 1ST STREET SW, CALGARY ALBERTA CANA, A0, T2P 3L8, 4032313900 - 0 ($5,000,000,000.00) Unallocated (Universal) Shelf, (File 333-189157 - Jun. 7) (BR. 04B) S-8 BNC BANCORP, 1226 EASTCHESTER DRIVE, HIGH POINT, NC, 27265, 3364769200 - 1,500,000 ($15,915,000.00) Equity, (File 333-189158 - Jun. 7) (BR. 07C) S-1 Waterstone Financial, Inc., 11200 WEST PLANK COURT, WAUWATOSA, WI, 53226, (414) 761-1000 - 0 ($304,960,552.00) Equity, (File 333-189160 - Jun. 7) (BR. 07) S-8 INGRAM MICRO INC, 1600 E ST ANDREW PLACE, SANTA ANA, CA, 92799, 7145661000 - 0 ($228,540,000.00) Equity, (File 333-189161 - Jun. 7) (BR. 03A) S-8 HARTE HANKS INC, 9601 MCALLISTER FREEWAY, SUITE 610, SAN ANTONIO, TX, 78216, 2108299000 - 0 ($44,600,000.00) Equity, (File 333-189162 - Jun. 7) (BR. 11C) S-8 STIFEL FINANCIAL CORP, ATTN: JAMES G. LASCHOBER, 501 N. BROADWAY, ST. LOUIS, MO, 63102-2102, 314-342-2000 - 0 ($24,919,682.00) Equity, (File 333-189163 - Jun. 7) (BR. 12A) S-1 Engage Mobility, Inc, 2295 S. HIAWASSEE RD, STE 414, ORLANDO, FL, 32835, 407-329-7404 - 0 ($10,000,000.00) Equity, (File 333-189164 - Jun. 7) (BR. 05A) S-3 PURE CYCLE CORP, 500 E 8TH AVE, DENVER, CO, 80203, 3032923456 - 0 ($12,873,733.00) Equity, (File 333-189166 - Jun. 7) (BR. 02C) S-3 VASCULAR SOLUTIONS INC, 6464 SYCAMORE COURT NORTH, MINNEAPOLIS, MN, 55369, 7636564300 - 0 ($1.00) Equity, (File 333-189167 - Jun. 7) (BR. 10B) S-1 DUNE ENERGY INC, TWO SHELL PLAZA, 777 WALKER STREET SUITE 2300, HOUSTON, TX, 77002, 7132296300 - 6,249,996 ($9,999,993.60) Equity, (File 333-189168 - Jun. 7) (BR. 04B) S-3 INFINITY PROPERTY & CASUALTY CORP, 3700 COLONNADE PARKWAY, BIRMINGHAM, AL, 35243, 205-870-4000 - 0 ($300,000,000.01) Unallocated (Universal) Shelf, (File 333-189169 - Jun. 7) (BR. 01A) S-3 GT Advanced Technologies Inc., 243 DANIEL WEBSTER HIGHWAY, MERRIMACK, NH, 03054, (603)883-5200 - 0 ($50,000,000.00) Unallocated (Universal) Shelf, (File 333-189170 - Jun. 7) (BR. 10A) S-1 AJS Bancorp, Inc., 14757 SOUTH CICERO AVENUE, MIDLOTHIAN, IL, 60445, (708) 687-7400 - 0 ($23,143,750.00) Equity, (File 333-189171 - Jun. 7) (BR. 07) S-8 ANTARES PHARMA, INC., 250 PHILLIPS BLVD, SUITE 290, EWING, NJ, 08618, 609-359-3020 - 1,500,000 ($6,060,000.00) Equity, (File 333-189172 - Jun. 7) (BR. 10A) S-8 INFINITY PROPERTY & CASUALTY CORP, 3700 COLONNADE PARKWAY, BIRMINGHAM, AL, 35243, 205-870-4000 - 750,000 ($43,605,000.00) Equity, (File 333-189173 - Jun. 7) (BR. 01A) S-B CORPORACION ANDINA DE FOMENTO, TORRE CENTRAL, AVENIDA LUIS ROCHE ALTAMIRA, CARACAS VENEZUELA, X5, 999999999, 0 ($2,000,000,000.00) Other, (File 333-189174 - Jun. 7) (BR. DN) S-8 HARVARD BIOSCIENCE INC, 84 OCTOBER HILL RD, HOLLISTON, MA, 01746, 5088938999 - 250,000 ($1,265,000.00) Equity, (File 333-189175 - Jun. 7) (BR. 10A) S-1 Diamondback Energy, Inc., 500 WEST TEXAS, SUITE 1210, MIDLAND, TX, 79701, 405-463-6900 - 0 ($194,465,000.00) Equity, (File 333-189176 - Jun. 7) (BR. 04A) S-4 CNB FINANCIAL CORP/PA, 1 SOUTH SECOND STREET, P.O. BOX 42, CLEARFIELD, PA, 16830, 8147659621 - 2,339,497 ($26,270,148.00) Equity, (File 333-189177 - Jun. 7) (BR. 07B) S-8 GARMIN LTD, MUHLENTALSTRASSE 2, SCHAFFHAUSEN, V8, CH-8200, 41 52 630 1600 - 4,500,000 ($157,567,500.00) Equity, (File 333-189178 - Jun. 7) (BR. 05A) S-8 BGC Partners, Inc., 499 PARK AVENUE, NEW YORK, NY, 10022, 212-610-2200 - 0 ($272,000,000.00) Equity, (File 333-189179 - Jun. 7) (BR. 08C) S-3 FIRST FEDERAL BANCSHARES OF ARKANSAS INC, 1401 HWY 62-65 NORTH, PO BOX 550, HARRISON, AR, 72602, 8707417641 - 750,000 ($7,275,000.00) Equity, (File 333-189180 - Jun. 7) (BR. 07C) S-4 NORTEK INC, 50 KENNEDY PLAZA, PROVIDENCE, RI, 02903, 4017511600 - 0 ($235,000,000.00) Other, (File 333-189181 - Jun. 7) (BR. 11A) S-3 WFN CREDIT CO LLC, 3100 EASTON SQUARE PLACE, #3108, COLUMBUS, OH, 43219, 614.729.5044 - 0 ($1,000,000.00) Debt, (File 333-189182 - Jun. 7) (BR. OSF) S-8 JARDEN CORP, 555 THEODORE FREMD AVE, RYE, NY, 10580, 914 967 9400 - 8,250,000 ($374,055,000.00) Equity, (File 333-189184 - Jun. 7) (BR. 02C) S-3 FUELCELL ENERGY INC, 3 GREAT PASTURE RD, DANBURY, CT, 06813, 2038256000 - 0 ($150,000,000.00) Debt, (File 333-189185 - Jun. 7) (BR. 10A) S-1 China Commercial Credit Inc, No. 1688 Yunli Road, Tongli, Wujiang, Jiangsu Province, People's Republic of China, F4, 215200, 86-0512 6396-0022 - 0 ($20,790,000.00) Equity, (File 333-189186 - Jun. 7) (BR. 07) F-1 Brookfield Renewable Energy Partners L.P., 73 FRONT STREET, FIFTH FLOOR, HAMILTON, D0, HM 12, 441-294-3304 - 0 ($500,000,000.00) Limited Partnership Interests, (File 333-189187 - Jun. 7) (BR. 02B) S-4 Corporate Office Properties, L.P., 6711 COLUMBIA GATEWAY DRIVE, SUITE 300, COLUMBIA, MD, 21046, 443-285-5400 - 0 ($350,000,000.00) Debt, (File 333-189188 - Jun. 7) (BR. ) S-8 QUANTUM FUEL SYSTEMS TECHNOLOGIES WORLDWIDE, INC., 17872 CARTWRIGHT ROAD, IRVINE, CA, 92614, 949-399-4500 - 500,000 ($312,500.00) Equity, (File 333-189189 - Jun. 7) (BR. 05B) S-3 QUANTUM FUEL SYSTEMS TECHNOLOGIES WORLDWIDE, INC., 17872 CARTWRIGHT ROAD, IRVINE, CA, 92614, 949-399-4500 - 6,175,480 ($3,883,392.40) Equity, (File 333-189190 - Jun. 7) (BR. 05B) 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
ACACIA RESEARCH CORP DE 8.01 06/06/13
ACADIA PHARMACEUTICALS INC DE 1.01,9.01 06/05/13
AccelPath, Inc. DE 5.02 06/05/13
ACCELRYS, INC. DE 3.01 06/04/13
ACCREDITED BUSINESS CONSOLIDATORS COR PA 8.01 06/06/13
Actinium Pharmaceuticals, Inc. NV 8.01,9.01 06/07/13
ADCARE HEALTH SYSTEMS, INC OH 7.01,8.01,9.01 06/07/13
AFFIRMATIVE INSURANCE HOLDINGS INC DE 5.07,8.01 06/05/13
AFFYMAX INC DE 1.01,1.02, 06/04/13
3.01,5.02,5.07
AFLAC INC GA 1.01,9.01 06/03/13
AGILYSYS INC OH 5.02,9.01 06/04/13
Alexander & Baldwin, Inc. HI 1.01,8.01,9.01 06/07/13
ALEXANDRIA REAL ESTATE EQUITIES INC MD 1.01,2.03,9.01 06/07/13
ALLEGHENY TECHNOLOGIES INC DE 8.01,9.01 06/07/13
ALLIANCE DATA SYSTEMS CORP DE 3.03,5.03,5.07,9.01 06/06/13
Alliance HealthCare Services, Inc CA 1.01,2.03 06/03/13
ALLSTATE CORP DE 8.01,9.01 06/06/13
ALLSTATE CORP DE 8.01,9.01 06/04/13
Altegris QIM Futures Fund, L.P. DE 3.02 06/01/13
Altegris Winton Futures Fund, L.P. CO 3.02 06/01/13
AMBASSADORS GROUP INC DE 5.02,5.03,5.07,9.01 06/05/13
American Electric Technologies Inc FL 5.02,9.01 06/04/13 AMEND
American Railcar Industries, Inc. ND 5.07 06/04/13
American Realty Capital Properties, I MD 1.01,9.01 05/31/13 AMEND
Ampio Pharmaceuticals, Inc. DE 3.01,7.01,9.01 06/03/13
AMR CORP DE 8.01,9.01 06/07/13
Amtrust Financial Services, Inc. DE 1.02,8.01 06/06/13
APOLLO INVESTMENT CORP MD 5.02 06/07/13
APOLLO INVESTMENT CORP MD 5.02 06/07/13 AMEND
Apple REIT Nine, Inc. VA 5.02 06/05/13
Apple REIT Seven, Inc. VA 5.02 06/05/13
ARENA PHARMACEUTICALS INC DE 8.01 06/07/13
ARGAN INC DE 2.02,9.01 06/06/12
Ascent Solar Technologies, Inc. DE 3.01 06/07/13
ASSET ACCEPTANCE CAPITAL CORP 1.01,9.01 06/07/13
AV Homes, Inc. DE 5.07 06/05/13
AWG International Water Corp NV 5.07,9.01 06/06/13
AXIS CAPITAL HOLDINGS LTD 5.02,9.01 06/06/13
BANK JOS A CLOTHIERS INC /DE/ DE 8.01 06/06/13
BBX CAPITAL CORP FL 5.02,5.03,8.01,9.01 06/04/13
BEHRINGER HARVARD REIT I INC MD 7.01,9.01 06/07/13
BEL FUSE INC /NJ NJ 9.01 03/29/13 AMEND
BGC Partners, Inc. DE 5.02,5.07,9.01 06/04/13
Bio-Matrix Scientific Group, Inc. DE 4.02 06/06/13
BIO-PATH HOLDINGS INC UT 8.01,9.01 06/06/13
BIOLASE, INC DE 5.07 06/06/13
BION ENVIRONMENTAL TECHNOLOGIES INC CO 7.01,9.01 06/05/13
BIOTIME INC CA 7.01,9.01 06/06/13
BIRNER DENTAL MANAGEMENT SERVICES INC CO 5.07 06/04/13
BJs RESTAURANTS INC CA 5.07,9.01 06/04/13
BLYTH INC DE 2.04,7.01,9.01 06/06/13
Bonanza Creek Energy, Inc. DE 5.07 06/06/13
BROADVISION INC DE 5.07 06/07/13
BUCKEYE TECHNOLOGIES INC DE 5.04,9.01 06/07/13
Burger King Worldwide, Inc. DE 5.02 06/07/13 AMEND
CALAVO GROWERS INC CA 2.02,9.01 06/05/13
CALLIDUS SOFTWARE INC DE 5.07 06/05/13
Calumet Specialty Products Partners, DE 9.01 06/05/12 AMEND
Camelot Entertainment Group, Inc. DE 3.02,8.01 06/06/13
Cardiovascular Systems Inc DE 8.01 06/06/13
CARROLS RESTAURANT GROUP, INC. 5.02,9.01 06/03/13
Catamaran Corp B0 1.01,2.03 06/03/13
CBS CORP DE 5.02,9.01 06/04/13
CENTRAL EUROPEAN DISTRIBUTION CORP DE 8.01,9.01 06/05/13
China Natural Gas, Inc. DE 5.02,8.01,9.01 05/30/13 AMEND
China Teletech Holding Inc FL 5.02 06/06/13
CHINA YIDA HOLDING, CO. 1.01,5.02,9.01 06/03/13
CHRISTOPHER & BANKS CORP DE 2.02,9.01 06/06/13
CHRISTOPHER & BANKS CORP DE 5.02,9.01 06/06/13
CISCO SYSTEMS, INC. CA 8.01 06/06/13
Clean Coal Technologies Inc. NV 5.02 05/31/13
CollabRx, Inc. DE 2.02,9.01 06/03/13
COLUMBIA SPORTSWEAR CO OR 5.07 06/04/13
COMERICA INC /NEW/ DE 7.01,9.01 06/07/13
Computer Graphics International Inc. NV 5.02 05/31/13
CONCHO RESOURCES INC DE 5.07 06/06/13
CONCURRENT COMPUTER CORP/DE DE 8.01 06/05/13
Confederate Motors, Inc. DE 5.02 06/03/13
CONSOL Energy Inc DE 5.02 06/06/13
CONSUMER PORTFOLIO SERVICES INC CA 1.01,2.03,9.01 06/05/13
Converted Organics Inc. DE 8.01,9.01 06/06/13
Creative App Solutions, Inc. NV 5.02 06/05/13
CROSSROADS SYSTEMS INC DE 2.02,9.01 06/07/13
Crumbs Bake Shop, Inc. DE 3.02 05/09/13 AMEND
CVB FINANCIAL CORP CA 7.01,8.01,9.01 06/07/13
DALECO RESOURCES CORP NV 5.02 06/03/13
DAWSON GEOPHYSICAL CO TX 7.01,9.01 06/07/13
DELCATH SYSTEMS, INC. DE 8.01 06/04/13
DENNYS CORP DE 5.03,9.01 05/23/13
Diversicare Healthcare Services, Inc. DE 5.07,8.01,9.01 06/07/13
DOMINION RESOURCES INC /VA/ VA 8.01,9.01 06/03/13
DOT HILL SYSTEMS CORP DE 2.02,8.01,9.01 06/07/13
DSW Inc. OH 5.07 06/05/13
DTE ENERGY CO MI 7.01,9.01 06/07/13
Duke Energy CORP DE 8.01 06/07/13
DYNEGY INC. DE 7.01,9.01 06/06/13
Echo Therapeutics, Inc. DE 8.01,9.01 06/06/13
EDISON INTERNATIONAL CA 2.06 06/06/13
EDISON INTERNATIONAL CA 7.01,9.01 06/06/13
EDISON MISSION ENERGY DE 7.01,9.01 06/07/13
ELECTRO RENT CORP CA 8.01,9.01 06/05/13
Electromed, Inc. 5.02 06/03/13
Ellington Financial LLC DE 7.01,9.01 06/07/13
ENCORE CAPITAL GROUP INC DE 5.07 06/05/13
Energizer Tennis Inc. NV 4.01,5.01,9.01 05/31/13 AMEND
ENERNOC INC DE 5.02,8.01 06/03/13
Enstar Group LTD D0 1.01 06/05/13
Epizyme, Inc. DE 5.03,9.01 06/05/13
EQUINIX INC DE 7.01 06/06/13
EverBank Financial Corp DE 8.01 06/07/13
EXACT SCIENCES CORP DE 5.02,9.01 06/07/13
EXPERIENCE ART & DESIGN, INC. NV 5.02,8.01,9.01 06/03/13
FBR & Co. VA 5.03,5.07,9.01 06/07/13
FINDEX COM INC NV 1.01,9.01 06/06/13
First California Financial Group, Inc DE 3.01,3.03,5.01,5.02 05/31/13
First Federal of Northern Michigan Ba 5.02,9.01 06/06/13
FIRST FINANCIAL BANCORP /OH/ OH 8.01 06/06/13
FIRST NATIONAL CORP /VA/ VA 5.07 05/14/13 AMEND
FISHER COMMUNICATIONS INC WA 1.01,8.01 06/03/13
FLORIDA GAMING CORP DE 4.01,9.01 03/27/13 AMEND
FLOW INTERNATIONAL CORP WA 2.02,7.01,8.01,9.01 06/07/13
FONU2 Inc. NV 9.01 03/29/12 AMEND
Fortress International Group, Inc. DE 5.03,5.07,7.01,9.01 06/05/13
Fresh Market, Inc. DE 5.02,5.07 06/03/13
FTI CONSULTING INC MD 5.07 06/05/13
FUELCELL ENERGY INC DE 2.02,9.01 06/05/13
FULLNET COMMUNICATIONS INC OK 1.01,3.02, 06/03/13
3.03,5.03,9.01
FUQI INTERNATIONAL, INC. DE 8.01 06/07/13
FUTURES PORTFOLIO FUND L.P. MD 3.02 06/01/13
Gaming Partners International CORP NV 7.01,9.01 06/07/13
GARMIN LTD V8 5.02,5.07,8.01,9.01 06/07/13
GDT TEK, Inc. 4.01,9.01 05/10/13 AMEND
General Motors Financial Company, Inc TX 8.01,9.01 06/03/13
Golub Capital BDC, Inc. DE 1.01,9.01 06/05/13
GSE Holding, Inc. DE 8.01 06/07/13
GT Advanced Technologies Inc. DE 5.07 06/05/13
GUIDE HOLDINGS INC 1.01,2.01,3.02, 06/07/13
4.01,5.01,5.02,5.03,9.01
GUITAR CENTER HOLDINGS, INC. DE 1.01,9.01 06/03/13
Hampden Bancorp, Inc. DE 8.01,9.01 06/07/13
HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 06/07/13
HICKORY TECH CORP MN 7.01,9.01 06/07/13
HURCO COMPANIES INC IN 2.02,9.01 06/07/13
ICON Oil & Gas Fund-A L.P. DE 8.01 06/06/13
IDS Industries, Inc. NV 1.01,3.02,5.03,9.01 03/20/13
IGATE CORP PA 5.02 06/07/13
ImmunoCellular Therapeutics, Ltd. DE 8.01,9.01 06/07/13
IMMUNOGEN INC MA 8.01 06/03/13
INCEPTION MINING INC. NV 4.01,9.01 06/07/13
INERGY MIDSTREAM, L.P. DE 8.01,9.01 06/07/13
Infor, Inc. 1.01,2.03,9.01 06/03/13
ING U.S., Inc. DE 7.01 06/06/13
Inland Diversified Real Estate Trust, MD 8.01,9.01 06/07/13
INLAND REAL ESTATE CORP MD 2.01,9.01 06/03/13
INNODATA INC DE 5.02 06/04/13
InterAmerican Gaming, Inc. NV 8.01,9.01 06/07/13
INTERMOLECULAR INC DE 5.02 06/07/13
INTERNATIONAL TOWER HILL MINES LTD A1 5.07 06/06/13
iTalk Inc. NV 1.01,2.01,3.02,9.01 06/04/13
James River Holding Corp. DE 4.01,9.01 06/04/13
JARDEN CORP DE 1.01,7.01,9.01 06/06/13
KAMAN CORP CT 5.02,9.01 06/04/13
KIMCO REALTY CORP MD 1.01,9.01 06/03/13
Kosmos Energy Ltd. D0 5.07 06/05/13
KYTHERA BIOPHARMACEUTICALS INC DE 5.07 06/04/13
LAMAR ADVERTISING CO/NEW DE 8.01 06/07/13
LAWSON PRODUCTS INC/NEW/DE/ DE 7.01,9.01 06/07/13
LEAPFROG ENTERPRISES INC 5.07 06/05/13
Liberty Global, Inc. DE 1.01,2.01,3.01, 06/07/13
3.03,5.02,5.03,7.01,9.01
Life Technologies Corp DE 8.01 06/07/13
LIFEPOINT HOSPITALS, INC. 5.07 06/04/13
Limelight Networks, Inc. DE 5.02,5.07 06/06/13
LINDSAY CORP DE 5.02,9.01 06/06/13
Live Nation Entertainment, Inc. DE 5.03,5.07,9.01 06/06/13
LIVEPERSON INC DE 5.07 06/06/13
LRR Energy, L.P. DE 9.01 04/01/13 AMEND
LyondellBasell Industries N.V. P7 8.01 05/22/13
M&F BANCORP INC /NC/ NC 5.07 06/04/13
MAGNETEK, INC. DE 1.01,9.01 06/07/13
MAGNUM HUNTER RESOURCES CORP DE 1.01,9.01 06/03/13
Manitex International, Inc. MI 5.07 06/05/13
MANNATECH INC TX 5.07,9.01 06/05/13
MARKETAXESS HOLDINGS INC 5.07 06/06/13
Marketo, Inc. DE 1.01 06/06/13
Mastech Holdings, Inc. PA 7.01,9.01 06/07/13
MEDICINOVA INC DE 3.01 06/06/13
MeetMe, Inc. DE 5.02 06/03/13
MERCER INTERNATIONAL INC. WA 8.01,9.01 06/07/13
MERITOR INC IN 5.02,9.01 06/04/13
MET PRO CORP PA 2.02,8.01,9.01 06/06/13
META FINANCIAL GROUP INC DE 8.01 05/06/13
MEXICO FUND INC MD 7.01,9.01 05/31/13
MGT CAPITAL INVESTMENTS INC DE 7.01,9.01 06/04/13
MICROVISION INC DE 5.02,5.07 06/06/13
Millennium India Acquisition CO Inc. DE 8.01,9.01 06/07/13
Morningstar, Inc. IL 7.01 06/07/13
MoSys, Inc. DE 8.01,9.01 06/05/13
MPG Office Trust, Inc. 8.01,9.01 06/07/13
MPG Office Trust, Inc. 8.01,9.01 06/07/13
NATUS MEDICAL INC DE 5.02 06/06/13
NCL CORP Ltd. D0 5.02 06/06/13
NEOPHOTONICS CORP DE 9.01 03/29/13 AMEND
NETFLIX INC DE 5.07 06/07/13
NeuroMetrix, Inc. DE 1.01,3.02, 06/04/13 AMEND
3.03,5.03,9.01
New Enterprise Stone & Lime Co., Inc. DE 5.03,9.01 06/04/13
New Residential Investment Corp. 5.02 06/03/13
New Western Energy Corp NV 7.01,9.01 06/07/13
NORTEK INC DE 9.01 04/01/13 AMEND
NORTHERN TRUST CORP DE 5.02 06/07/13
Norwegian Cruise Line Holdings Ltd. 5.02 06/06/13
NRG ENERGY, INC. DE 5.02,8.01,9.01 06/07/13
NU SKIN ENTERPRISES INC DE 5.02 06/03/13
NUTRI SYSTEM INC /DE/ DE 5.07 06/05/13
Ocean Power Technologies, Inc. NJ 1.01,9.01 06/06/13
Oculus Innovative Sciences, Inc. CA 1.01,5.02,9.01 05/23/13
OFFICE DEPOT INC DE 1.01,9.01 06/03/13
OGLETHORPE POWER CORP GA 7.01,9.01 06/05/13 AMEND
OIL DRI CORP OF AMERICA DE 2.02,9.01 06/07/13
OLD DOMINION FREIGHT LINE INC/VA VA 7.01,9.01 06/07/13
Omega Flex, Inc. PA 5.07 06/04/12
OMEGA HEALTHCARE INVESTORS INC MD 5.02,5.07,9.01 06/06/13
OneBeacon Insurance Group, Ltd. 9.01 06/07/13
Orexigen Therapeutics, Inc. DE 5.02,5.07,9.01 06/05/13
Pandora Media, Inc. DE 5.07 06/05/13
PASSPORT POTASH INC A1 5.02,8.01,9.01 06/03/13
PAWS Pet Company, Inc. IL 3.02,5.02,9.01 05/10/13
PERMA FIX ENVIRONMENTAL SERVICES INC DE 3.01,8.01 06/04/13
PINNACLE ENTERTAINMENT INC. DE 5.02 06/04/13
PLUG POWER INC DE 8.01,9.01 06/07/13
PNC FINANCIAL SERVICES GROUP, INC. PA 8.01 06/07/13
POKERTEK, INC. NC 5.07 06/05/13
POLYCOM INC DE 5.02,5.07,9.01 06/05/13
POSITIVEID Corp DE 1.01,3.02,9.01 06/05/13
PRICESMART INC DE 2.02,9.01 06/07/13
Progressive Care Inc. DE 1.01,2.03,3.02,9.01 06/04/13
PROLOR Biotech, Inc. NV 5.02,5.07,9.01 06/04/13
PROS Holdings, Inc. DE 5.02,5.07,9.01 06/04/13
PROSPECT GLOBAL RESOURCES INC. NV 8.01,9.01 06/07/13
PUMA BIOTECHNOLOGY, INC. DE 8.01,9.01 06/07/13
Pzena Investment Management, Inc. DE 8.01,9.01 05/31/13
QLOGIC CORP DE 5.02 06/04/13
Quanex Building Products CORP DE 2.02,9.01 06/07/13
QUANTUM CORP /DE/ DE 8.01 06/07/13
RADIOSHACK CORP DE 5.02 06/05/13
Radius Health, Inc. DE 5.02,9.01 06/03/13
RAINMAKER SYSTEMS INC DE 5.02,9.01 06/05/13
RARE ELEMENT RESOURCES LTD A1 5.07 06/05/13
REGIONS FINANCIAL CORP DE 7.01 06/07/13
REPROS THERAPEUTICS INC. DE 7.01,9.01 06/06/13
RESPECT YOUR UNIVERSE, INC. NV 3.02,8.01,9.01 06/05/13
REVLON INC /DE/ DE 5.07 06/07/13
RITE AID CORP DE 2.02,8.01,9.01 06/07/13
RITE AID CORP DE 9.01 06/07/13 AMEND
Rockdale Resources Corp CO 1.01,5.02,8.01,9.01 06/03/13
ROCKWELL AUTOMATION INC DE 5.03,8.01,9.01 06/06/13
ROYALE ENERGY INC CA 8.01 06/07/13
RYLAND GROUP INC MD 5.02,9.01 06/03/13
Sanchez Energy Corp DE 8.01,9.01 06/07/13
SANUWAVE Health, Inc. NV 7.01,9.01 06/07/13
SCIENTIFIC INDUSTRIES INC DE 1.01 06/05/13
Sears Hometown & Outlet Stores, Inc. DE 2.02,9.01 06/07/13
SEFE, INC. NV 3.02 05/29/13
SEMPRA ENERGY CA 2.06 06/06/13
SILICON LABORATORIES INC DE 1.01,9.01 06/06/13
Silver Dragon Resources Inc. DE 1.01 06/06/13
SOCIAL CUBE INC DE 3.01,9.01 06/07/13
SOLARCITY CORP DE 5.07 06/05/13
SOLTA MEDICAL INC DE 5.07 06/05/13
Southern Products, Inc. NV 1.01,9.01 05/20/13
SOUTHWEST AIRLINES CO TX 7.01,9.01 06/07/13
STAPLES INC DE 5.07 06/03/13
STW RESOURCES HOLDING CORP. NV 1.01,2.03, 05/22/13
3.02,8.01,9.01
SYNERGY RESOURCES CORP CO 1.01 06/03/13
SYNERGY RESOURCES CORP CO 5.02,9.01 06/06/13
Tao Minerals Ltd. NV 4.01,9.01 05/15/13
TAURIGA SCIENCES, INC. FL 1.01,9.01 06/05/13
Teamupsport Inc. NV 5.02 06/04/13
TearLab Corp DE 5.02,5.07,9.01 06/07/13
TELETECH HOLDINGS INC DE 1.01,2.03,7.01,9.01 06/03/13
TGC INDUSTRIES INC TX 5.07 06/04/13
TICC Capital Corp. MD 5.07 06/05/13
TIVO INC DE 1.01,7.01,9.01 06/06/13
TNI BIOTECH, INC. FL 8.01,9.01 05/28/13
TRI-CONTINENTAL CORP MD 7.01,9.01 03/08/13
Trio Merger Corp. DE 2.03,3.02 06/04/13
TRULIA, INC. DE 5.02,5.07 06/05/13
U S PRECIOUS METALS INC DE 7.01 06/06/13
UIL HOLDINGS CORP CT 8.01,9.01 06/07/13
UNIFIED GROCERS, INC. CA 5.02,9.01 06/07/13
UNIGENE LABORATORIES INC DE 1.01,2.03,3.02,9.01 06/03/13
United Continental Holdings, Inc. DE 3.02 06/05/13
Universal Business Payment Solutions DE 1.01,2.03,8.01,9.01 06/04/13
UNIVERSAL HEALTH REALTY INCOME TRUST MD 5.07 06/07/13
URANIUM RESOURCES INC /DE/ DE 5.02,5.07,9.01 06/04/13
US FOODS, INC. DE 1.01,2.03 06/07/13
VAALCO ENERGY INC /DE/ DE 5.07 06/05/13
VAALCO ENERGY INC /DE/ DE 8.01,9.01 06/06/13
VAALCO ENERGY INC /DE/ DE 5.02,9.01 06/07/13
VIATECH CORP. NV 5.01,5.02,5.07 05/31/13 AMEND
Victor Technologies Group, Inc. DE 5.02,9.01 06/04/13
VITRAN CORP INC A6 8.01,9.01 06/06/13
WELLS FARGO & COMPANY/MN DE 9.01 06/07/13
WHITE MOUNTAINS INSURANCE GROUP LTD D0 7.01,9.01 06/07/13
XCel Brands, Inc. DE 1.01,3.02,9.01 06/05/13
Yinfu Gold Corp. WY 1.01 05/31/13
YTB International, Inc. DE 5.02 05/30/13
ZYNGA INC DE 5.07 06/04/13
http://www.sec.gov/news/digest/2013/dig061013.htm
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