Commission Approves Jobs Act Requirement to Lift General Solicitation Ban; Commission Also Adopts Rule to Disqualify Bad Actors from Certain Offerings and Proposes Rules to Enable SEC to Monitor New Market and Bolster Investor Protections
The Securities and Exchange Commission (Commission) today adopted a new rule to implement a JOBS Act requirement to lift the ban on general solicitation or general advertising for certain private securities offerings. (Fact Sheet)
In connection with this new rule, the Commission voted to issue a rule proposal requiring issuers to provide additional information about these securities offerings to better enable the SEC to monitor the market with that ban now lifted. The proposal also provides for additional safeguards as this market changes and new practices develop. (Fact Sheet)
The SEC also adopted rules that disqualify felons and other bad actors from participating in certain securities offerings as required by the Dodd-Frank Act. (Fact Sheet)
"As we fulfill our mission to facilitate capital formation and maintain fair and efficient markets, the Commission must always focus on strong investor protections," said Mary Jo White, Chair of the SEC. "We want this new market and the private markets in general to thrive in a safe and efficient manner, and these rules we adopt and propose are designed to facilitate that objective."
The rule amendments become effective 60 days after publication in the Federal Register. The rule proposal will undergo a 60-day public comment period following its publication in the Federal Register. (Press Rel. 2013-124)
Commission Freezes Assets of Insider Traders in Onyx Pharmaceuticals
On July 3, 2013, the Commission obtained an emergency court order to freeze the assets of traders using foreign accounts to reap approximately $4.6 million in potentially illegal profits by trading in advance of the Sunday, June 30, 2013 announcement that Onyx Pharmaceuticals, Inc. had received, but rejected an acquisition offer from Amgen, Inc.
The SEC alleges that unknown traders took risky bets that Onyx's stock price would increase by purchasing call options on June 26, 27 and 28, the three trading days before the announcement. Through quick, cross country coordination between the agency's Los Angeles and New York offices, the SEC took emergency action to freeze the traders' assets before courts closed for the holiday.
According to the SEC's complaint filed in federal court in Manhattan, on June 30, 2013 Onyx announced that it had received, but rejected, an unsolicited proposal from Amgen to acquire all of Onyx's outstanding shares and share equivalents for $120 per share in cash. The Announcement also stated that Onyx's board of directors rejected Amgen's proposal and that Onyx had authorized its financial advisors to contact potential acquirers who may have an interest in a transaction with Onyx. Amgen's $120 per share price offer represented a 38% premium to Onyx's closing share price on Friday June 28, 2013. The complaint further alleges that as a result of the announcement, Onyx's share price increased from a close of $86.82 on over 51% on Monday July 1 compared with the prior trading day's closing price, and that the trading volume of its stock increased by over 900% that day. The complaint alleges that the traders, as a result of these well-timed trades, collectively earned a profit of approximately $4.6 million in just three days.
The SEC alleges that certain unknown traders were in possession of material nonpublic information about the offer to acquire Onyx at a substantial premium over the stock price at the time they purchased Onyx call options, many of which were out-of-the-money, in the three trading days before the announcement. According to the complaint, the timing and size of the trades were highly suspicious because they constituted large increases over the historical volume for those call options purchased.
The emergency court order obtained by the SEC freezes the traders' assets related to the Onyx call options transactions and prohibits the traders from destroying any evidence. The SEC's complaint charges the unknown traders with violating Section 10(b) of the Securities Exchange Act of 1934 and Exchange Act Rule 10b-5. In addition to the emergency relief, the Commission is seeking a final judgment ordering the traders to disgorge their ill-gotten gains with interest, pay financial penalties, and permanently bar them from future violations.
The SEC's expedited investigation, which is continuing has been conducted by Melissia Buckhalter-Honore and Spencer Bendell. The litigation will be led by John Bulgozdy and Sam Puathasnanon of the Los Angeles Office with the assistance of Alexander Vasilescu of the New York Office. The SEC appreciates the assistance of the Options Regulatory Surveillance Authority (ORSA). [SEC v. One or More Unknown Traders in the Securities of Onyx Pharmaceuticals, Inc., Case No. 13 CIV 4645 (JPO) (S.D.N.Y.) (LR- 22747)
Investment company orders
FlexShares Trust, et al.
A notice has been issued giving interested persons until August 5, 2013, to request a hearing on an application filed by FlexShares Trust, et al., for an order to permit certain open-end management investment companies that operate as exchange-traded funds to issue individual shares to investors participating in a dividend reinvestment program. (Rel. IC-30593)
NGAM Advisors, L.P., et al.
A notice has been issued giving interested persons until August 5, 2013, to request a hearing on an application filed by NGAM Advisors, et al., for an order to permit: (a) series of certain actively-managed open-end management investment companies to issue exchange-traded shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30594)
Bridge Builder Trust and Olive Street Investment Advisers, LLC
A notice has been issued giving interested persons until August 5, 2013 to request a hearing on an application filed by Bridge Builder Trust and Olive Street Investment Advisers, LLC for an order exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (Rel. IC-30592)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by NYSE MKT LLC amending NYSE MKT Rules 504 and 509 - Equities with respect to DMM quoting requirements applicable to NASDAQ stock market securities traded on the Exchange pursuant to a grant of unlisted trading privileges (SR-NYSEMKT-2013-61) 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 July 8th. (Rel. 34-69952)
Notice of Filing Amendment No. 2 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change
The National Securities Clearing Corporation (NSCC) filed Amendment No. 2 to its proposed rule change (File No. SR-NSCC-2013-02), as previously modified by Amendment No. 1, under Section 19(b)(1) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 19b-4 thereunder, to institute supplemental liquidity deposits to its Clearing Fund designed to increase liquidity resources to meet its liquidity needs. Additionally, the Commission instituted proceedings under Section 19(b)(2)(B) of the Exchange Act to determine whether to approve or disapprove the proposed rule change, as modified by Amendment Nos. 1 and 2. NSCC also filed the proposal contained in the proposed rule change, as amended, as an advance notice (File No. SR-NSCC-2013-802), as modified by Amendment No. 1, pursuant to Section 806(e)(1) of the Payment, Clearing, and Settlement Supervision Act of 2010 and Rule 19b-4(n)(1)(i) thereunder. See Release No. 34-69451 (Apr. 25, 2013 ), 78 FR 25496 (May 1, 2013). On May 20, 2013, the Commission extended the period of review of the advance notice. Release No. 34-69605 (May 20, 2013), 78 FR 31616 (May 24, 2013). On June 11, 2013, NSCC filed Amendment No. 2 to the advance notice, as previously modified by Amendment No.1. 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 the proposal regardless of whether the comments are submitted in response to the proposed rule change (File No. SR-NSCC-2013-02), as amended, or the advance notice (File No. SR-NSCC-2013-802), as amended. Publication is expected in the Federal Register during the week of July 8th. (Rel. 34-69951)
Notice of Filing Amendment No. 2 to an Advance Notice
National Securities Clearing Corporation (NSCC) filed Amendment No. 2 to an advance notice (File No. SR-NSCC-2013-802), as previously modified by Amendment No. 1, under Section 806(e)(1) of the Payment, Clearing, and Settlement Supervision Act of 2010, in connection with a proposed change to institute supplemental liquidity deposits to its Clearing Fund designed to increase liquidity resources to meet its liquidity needs. NSCC also filed the proposal contained in the advance notice, as modified, as a proposed rule change (File No. SR-NSCC-2013-02), as previously modified by Amendment No. 1, under Section 19(b)(1) of the Securities and Exchange Act of 1934 and Rule 19b-4 thereunder, Release No. 34-69313 (Apr. 4, 2013), 78 FR 21487 (Apr. 10, 2013), to which NSCC also filed an Amendment No. 2. Release No. 34-69951 (July 9, 2013). 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 the proposal regardless of whether the comments are submitted in response to the proposed rule change, as modified by Amendment Nos. 1 and 2 (File No. SR-NSCC-2013-02) or the advance notice, as modified by Amendment Nos. 1 and 2 (File No. SR-NSCC-2013-802). Publication is expected in the Federal Register during the week of July 8th. (Rel. 34-69954)
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-8 EXELON CORP, PO BOX 805398, CHICAGO, IL, 60680-5398, 3123947399 - 0 ($751,125,000.00) Equity, (File 333-189849 - Jul. 9) (BR. 02B) S-1 Blutek Innovations, Corp., RM 1104, CRAWFORD HOUSE, 10 QUEEN'S ROAD, CENTRAL, HONG KONG, F4, 00000, 6024663666 - 30,000,000 ($3,000,000.00) Equity, (File 333-189850 - Jul. 9) (BR. 05) S-8 LAKELAND FINANCIAL CORP, 202 E CENTER ST, P O BOX 1387, WARSAW, IN, 46581-1387, 5742676144 - 290,578 ($8,214,640.06) Equity, (File 333-189851 - Jul. 9) (BR. 07B) S-1 INTREXON CORP, 1750 KRAFT DRIVE, SUITE 1400, BLACKSBURG, VA, 24060, 301-556-9809 - 0 ($125,000,000.00) Equity, (File 333-189853 - Jul. 9) (BR. 01B) S-4 QVC INC, 0 ($1,050,000,000.00) Debt, (File 333-189854 - Jul. 9) (BR. 02) S-3 SELECTICA INC, 2121 SOUTH EL CAMINO REAL, 10TH FLOOR, SAN MATEO, CA, 94403, 650-532-1500 - 1,240,195 ($11,161,755.00) Equity, (File 333-189855 - Jul. 9) (BR. 03A) S-8 Cardiovascular Systems Inc, 651 CAMPUS DRIVE, ST. PAUL, MN, 55112, 651-259-1600 - 0 ($10,093,750.00) Equity, (File 333-189856 - Jul. 9) (BR. 10A) S-1 BERRY PLASTICS GROUP INC, 101 OAKLEY STREET, PO BOX 959, EVANSVILLE, IN, 47710, 8124242904 - 0 ($394,507,500.00) Equity, (File 333-189857 - Jul. 9) (BR. 06A) S-8 Cardiovascular Systems Inc, 651 CAMPUS DRIVE, ST. PAUL, MN, 55112, 651-259-1600 - 0 ($3,825,000.00) Equity, (File 333-189858 - Jul. 9) (BR. 10A) S-8 ENCORE CAPITAL GROUP INC, 3111 CAMINO DEL RIO NORTH, SUITE 1300, SAN DIEGO, CA, 92108, 877-445-4581 - 0 ($83,825,000.00) Equity, (File 333-189860 - Jul. 9) (BR. 07B) S-4 BROADCAST INTERNATIONAL INC, 7050 UNION PARK AVENUE, #600, SALT LAKE CITY, UT, 84047, 801-562-2252 - 687,743,729 ($44,703,342.39) Equity, (File 333-189869 - Jul. 9) (BR. 02C) S-8 RENTECH INC /CO/, 10877 WILSHIRE BLVD, #710, LOS ANGELES, CA, 90024, 310-571-9800 - 8,400,000 ($17,598,000.00) Equity, (File 333-189871 - Jul. 9) (BR. 05C) S-3 GS MORTGAGE SECURITIES CORP, 85 BROAD STREET, NEW YORK, NY, 10004, 1,000,000 ($1,000,000.00) Mortgage Backed Securities, (File 333-189872 - Jul. 9) (BR. OSF) S-3 RENTECH INC /CO/, 10877 WILSHIRE BLVD, #710, LOS ANGELES, CA, 90024, 310-571-9800 - 0 ($200,000,000.00) Equity, (File 333-189873 - Jul. 9) (BR. 05C)
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
` STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ACE MARKETING & PROMOTIONS INC NY 7.01,8.01,9.01 07/09/13 ACORDA THERAPEUTICS INC 2.01,9.01 07/08/13 ACRO INC. NV 8.01,9.01 06/30/13 ACTIVE POWER INC DE 5.02,7.01 07/02/13 AETHLON MEDICAL INC NV 5.02 06/18/13 AF OCEAN INVESTMENT MANAGEMENT Co FL 5.02,8.01,9.01 07/08/13 AF OCEAN INVESTMENT MANAGEMENT Co FL 5.02,8.01 07/08/13 AMEND ALASKA AIR GROUP, INC. DE 7.01,8.01,9.01 07/08/13 ALCOA INC PA 2.02,9.01 07/08/13 ALLEGHENY TECHNOLOGIES INC DE 8.01,9.01 07/09/13 Allied World Assurance Co Holdings, A 5.03,9.01 07/09/13 Ally Financial Inc. DE 8.01,9.01 07/09/13 Altegris QIM Futures Fund, L.P. DE 3.02 07/01/13 Altegris Winton Futures Fund, L.P. CO 3.02 07/01/13 AMERICA WEST RESOURCES, INC. NV 5.02 06/27/13 AMERICAN APPAREL, INC DE 2.02,9.01 07/09/13 AMERICAN APPAREL, INC DE 1.01,2.03,7.01,9.01 07/05/13 AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 07/08/13 AMERICAN INTERNATIONAL VENTURES INC / DE 1.01,2.01,3.02, 03/23/12 AMEND 5.01,5.06,9.01 AMERICAN REALTY CAPITAL NEW YORK RECO MD 1.01,2.01,9.01 07/05/13 American Realty Capital Properties, I MD 5.03,9.01 07/02/13 AMERICAN VANGUARD CORP DE 5.02,8.01,9.01 07/02/13 AMERIGAS PARTNERS LP DE 2.02,7.01,8.01,9.01 07/08/13 AMERIGAS PARTNERS LP DE 8.01,9.01 07/09/13 AMGEN INC DE 5.02 07/08/13 AMR CORP DE 8.01,9.01 07/09/13 AMYRIS, INC. DE 5.02 07/02/13 AP PHARMA INC /DE/ DE 8.01,9.01 07/09/13 Ascent Solar Technologies, Inc. DE 1.01,9.01 07/09/13 Aspect Software Group Holdings Ltd. DE 1.01,9.01 07/02/13 AXCELIS TECHNOLOGIES INC DE 1.01,1.02 07/05/13 AZURE HOLDING GROUP CORP. NV 5.03,7.01,9.01 07/05/13 AZZ INC TX 7.01,8.01,9.01 07/09/13 BASSETT FURNITURE INDUSTRIES INC VA 2.02,9.01 07/09/13 BERKSHIRE HILLS BANCORP INC DE 5.02,9.01 07/02/13 BILL BARRETT CORP DE 7.01,9.01 07/08/13 Biopower Operations Corp NV 1.01,9.01 07/09/13 BioScrip, Inc. DE 8.01,9.01 07/09/13 Bright Mountain Holdings, Inc./FL FL 3.02,5.02,5.03,9.01 04/15/13 CalAmp Corp. DE 8.01 07/02/13 CALIBRUS, INC. NV 1.01,2.01,9.01 06/30/13 Cardinal Energy Group, Inc. NV 1.01,2.01,2.03,9.01 07/03/13 CC Media Holdings Inc 8.01,9.01 07/08/13 CEMPRA, INC. DE 1.01 07/02/13 CEMTREX INC DE 4.01,9.01 07/09/13 CENVEO, INC CO 5.02 07/02/13 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 07/09/13 Chelsea Therapeutics International, L DE 8.01,9.01 07/09/13 China Energy CORP 3.03,9.01 07/03/13 CHUBB CORP NJ 7.01,9.01 07/09/13 Clear Channel Capital I, LLC DE 8.01,9.01 07/08/13 CLEAR CHANNEL COMMUNICATIONS INC TX 8.01,9.01 07/08/13 Clear Channel Outdoor Holdings, Inc. DE 1.01,8.01,9.01 07/08/13 Clearwire Corp /DE DE 5.07,8.01,9.01 07/08/13 Clearwire Corp /DE DE 2.01,3.01,3.03, 07/09/13 5.01,5.02,5.03,8.01,9.01 COLUMBIA BANKING SYSTEM INC WA 5.02 07/08/13 COMCAST CORP PA 7.01 07/09/13 COMM 2013-CCRE9 Mortgage Trust DE 8.01,9.01 07/08/13 CommonWealth REIT MD 2.01,9.01 07/02/13 COMMUNITY WEST BANCSHARES / CA 8.01 07/08/13 Comp Services, Inc. NV 8.01 06/29/13 CORE LABORATORIES N V P7 7.01,9.01 07/09/13 CROSS COUNTRY HEALTHCARE INC DE 5.02,8.01,9.01 07/05/13 Dakota Gold Corp FL 5.03,9.01 07/02/13 DBUBS 2011-LC3 Mortgage Trust DE 6.02 07/09/13 DEGARO INNOVATIONS CORP. NV 7.01,9.01 07/09/13 Diversified Restaurant Holdings, Inc. NV 2.02,9.01 07/09/13 Dolan Co. DE 1.01,1.02,9.01 07/08/13 DTE ENERGY CO MI 7.01,9.01 07/09/13 DUMA ENERGY CORP NV 7.01,9.01 07/09/13 ECOTALITY, INC. NV 5.02,8.01,9.01 07/09/13 eCrypt Technologies, Inc. CO 5.02,9.01 07/05/13 Ellington Financial LLC DE 7.01,9.01 07/08/13 Enstar Group LTD D0 1.01,2.03,3.02, 07/03/13 3.03,9.01 EWaste Systems, Inc. NV 1.01,9.01 07/08/13 EXTERRAN HOLDINGS INC. DE 2.01,9.01 07/02/13 Extra Space Storage Inc. MD 5.02 07/08/13 FASTENAL CO MN 7.01,9.01 07/09/13 Federal Home Loan Bank of Atlanta X1 2.03 07/02/13 Federal Home Loan Bank of Chicago X1 2.03 07/05/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 07/05/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 07/09/13 Federal Home Loan Bank of New York X1 2.03,9.01 07/03/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/03/13 Federal Home Loan Bank of San Francis X1 2.03 07/03/13 Federal Home Loan Bank of Seattle 2.03 07/03/13 FINDEX COM INC NV 1.02 07/09/13 FINJAN HOLDINGS, INC. DE 8.01,9.01 07/09/13 FIRST BANKS, INC MO 5.02,9.01 07/03/13 FIRST BUSEY CORP /NV/ NV 8.01 07/09/13 FIRST DATA CORP DE 5.02,9.01 07/08/13 First Financial Northwest, Inc. WA 5.02,9.01 07/09/13 FIRST TRUST HIGH INCOME LONG/SHORT FU MA 7.01,9.01 07/08/13 FIRSTENERGY CORP OH 2.02,2.05,2.06,9.01 07/08/13 FRANKLIN COVEY CO UT 2.02,8.01,9.01 07/09/13 FreightCar America, Inc. DE 8.01,9.01 07/08/13 FX ENERGY INC NV 8.01,9.01 07/09/13 GASTAR EXPLORATION LTD 1.01,7.01,9.01 07/02/13 Geeknet, Inc VA 5.02,9.01 07/08/13 GENCORP INC OH 2.02,7.01,9.01 07/09/13 Gold Hill Resources, Inc. NV 5.03 07/08/13 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 07/05/13 GREENLITE VENTURES INC NV 4.01,9.01 07/01/13 AMEND GUIDED THERAPEUTICS INC DE 7.01 07/09/13 Gulf Coast Ultra Deep Royalty Trust 8.01,9.01 07/09/13 Hallwood Group Inc DE 2.02,3.01,8.01 07/05/13 HARRIS TEETER SUPERMARKETS, INC. NC 1.01,5.02,8.01,9.01 07/08/13 HD SUPPLY, INC. DE 5.03,9.01 07/02/13 HEALTHCARE TRUST OF AMERICA, INC. MD 7.01,9.01 07/09/13 Heatwurx, Inc. DE 7.01,9.01 07/09/13 Heron Lake BioEnergy, LLC MN 1.01,8.01 07/02/13 HI TECH PHARMACAL CO INC NY 2.02,9.01 07/09/13 HOLLYWOOD ENTERTAINMENT EDU HOLDING, DE 4.01,9.01 06/28/13 AMEND HOME PROPERTIES INC MD 1.01,8.01,9.01 07/09/13 HOMEAWAY INC DE 1.01,2.03 07/03/13 HomeStreet, Inc. WA 1.01,9.01 07/09/13 Horizon Technology Finance Corp DE 2.02,9.01 07/09/13 IMPAX LABORATORIES INC DE 5.02,5.03,9.01 07/03/13 INTEGRAL TECHNOLOGIES INC NV 7.01,9.01 06/25/13 INTEVAC INC CA 5.02,9.01 06/14/13 INTUITIVE SURGICAL INC DE 2.02,9.01 07/08/13 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 07/09/13 IRIDEX CORP DE 8.01 07/08/13 IXIA CA 2.02,9.01 07/08/13 J2 GLOBAL, INC. DE 7.01,9.01 07/09/13 Jacksonville Bancorp, Inc. MD 2.02,9.01 07/08/13 KITE REALTY GROUP TRUST MD 2.06 07/02/13 KLA TENCOR CORP DE 8.01,9.01 07/08/13 KLA TENCOR CORP DE 5.02,9.01 07/08/13 Kosmos Energy Ltd. D0 1.01,2.03 07/03/13 KROGER CO OH 1.01,7.01,9.01 07/08/13 LACLEDE GROUP INC MO 5.02 07/08/13 Laredo Petroleum Holdings, Inc. DE 7.01,9.01 07/09/13 LEHMAN ABS CORP BACKED TR CERT FED EX DE 8.01,9.01 07/01/13 LEVI STRAUSS & CO DE 2.02 07/08/13 Life Care Medical Devices Ltd NV 8.01,9.01 07/08/13 LIFEWAY FOODS INC IL 2.01 07/02/13 Lincolnway Energy, LLC IA 7.01,9.01 07/08/13 LITHIA MOTORS INC OR 7.01,9.01 07/09/13 Lithium Exploration Group, Inc. NV 3.02,9.01 12/31/12 MAGICJACK VOCALTEC LTD L3 5.07 07/09/13 MAGNUM HUNTER RESOURCES CORP DE 2.02,7.01,9.01 07/08/13 MANITOWOC CO INC WI 5.02,9.01 07/08/13 MARINE PRODUCTS CORP DE 8.01,9.01 07/09/13 MARKEL CORP VA 9.01 05/01/13 AMEND MedWorth Acquisition Corp. DE 3.02,8.01,9.01 07/02/13 MELA SCIENCES, INC. /NY 8.01 07/03/13 MERCURY GENERAL CORP CA 1.01,2.03 07/02/13 MICROWAVE FILTER CO INC /NY/ NY 1.01 07/09/13 MILESTONE SCIENTIFIC INC. DE 1.01,9.01 07/03/13 Moody National REIT I, Inc. MD 1.01,2.01,2.03,9.01 07/02/13 MORGANS FOODS INC OH 1.01,3.03,5.07,9.01 07/02/13 MRI INTERVENTIONS, INC. DE 7.01,9.01 07/09/13 MYRIAD GENETICS INC DE 8.01 07/09/13 NABORS INDUSTRIES LTD D0 8.01,9.01 07/09/13 NEUROMAMA, LTD. NV 1.01,5.01,5.02,8.01 06/13/13 NEW COLOMBIA RESOURCES INC DE 1.01,8.01 07/02/13 Nile Therapeutics, Inc. DE 1.01,9.01 07/07/13 NU SKIN ENTERPRISES INC DE 2.02,9.01 06/30/13 Omthera Pharmaceuticals, Inc. DE 8.01,9.01 07/09/13 ORGANOVO HOLDINGS, INC. DE 8.01,9.01 07/08/13 Parametric Sound Corp NV 5.03,9.01 07/05/13 PARKER DRILLING CO /DE/ DE 9.01 04/22/13 AMEND Petro River Oil Corp. DE 2.01,8.01,9.01 04/23/13 AMEND PETROQUEST ENERGY INC DE 7.01,9.01 07/09/13 Phillips Edison - ARC Shopping Center MD 8.01,9.01 07/03/13 PICO HOLDINGS INC /NEW CA 2.01,9.01 07/02/13 Post Holdings, Inc. MO 7.01,9.01 07/09/13 PROCTER & GAMBLE Co OH 7.01 07/09/13 Quanex Building Products CORP DE 1.01,5.02,8.01,9.01 07/02/13 QUANTUM CORP /DE/ DE 2.02,5.02,8.01,9.01 07/02/13 QUIKSILVER INC DE 8.01,9.01 07/09/13 RADIAN GROUP INC DE 2.02,9.01 07/09/13 REALTY INCOME CORP MD 7.01,9.01 07/09/13 REGAL BELOIT CORP WI 8.01,9.01 07/09/13 REPROS THERAPEUTICS INC. DE 7.01,9.01 07/09/13 REPROS THERAPEUTICS INC. DE 8.01,9.01 07/09/13 Resource Real Estate Opportunity REIT MD 1.01,7.01 07/02/13 Restoration Hardware Holdings Inc DE 7.01 07/09/13 RPC INC DE 8.01,9.01 07/09/13 SABA SOFTWARE INC DE 1.01,2.03,7.01,9.01 07/05/13 Sabra Health Care REIT, Inc. MD 7.01,9.01 07/09/13 SANTARUS INC DE 7.01,9.01 07/09/13 SaveDaily Inc NV 4.01,9.01 07/02/13 SBT Bancorp, Inc. CT 5.02 07/01/13 SCBT FINANCIAL CORP SC 8.01 07/09/13 Select Notes Trust LT 2004-1 DE 8.01,9.01 07/01/13 SIGNET JEWELERS LTD 5.02,9.01 07/09/13 SIMPSON MANUFACTURING CO INC /CA/ DE 5.02 07/03/13 Sky Harvest Windpower Corp. NV 1.01,9.01 07/05/13 Solar Senior Capital Ltd. MD 7.01,9.01 07/09/13 SOLERA HOLDINGS, INC DE 1.01,1.02,2.03,9.01 07/02/13 SOUTHERN COPPER CORP/ DE 8.01 07/03/13 SOUTHWEST AIRLINES CO TX 2.02,9.01 07/09/13 SPRINT NEXTEL CORP KS 2.01,2.05,8.01,9.01 07/09/13 SUNVESTA, INC. FL 5.02 07/03/13 SUPERFUND GOLD, L.P. DE 9.01 06/27/13 AMEND SUPERFUND GREEN, L.P. J5 9.01 06/27/13 AMEND Sutor Technology Group LTD 1.01,3.02,9.01 07/05/13 SYNERGETICS USA INC 8.01,9.01 07/09/13 SYNTROLEUM CORP DE 8.01,9.01 07/03/13 TEAM HEALTH HOLDINGS INC. DE 5.02 07/02/13 Terra Tech Corp. NV 2.01,9.01 04/29/13 AMEND TNI BIOTECH, INC. FL 8.01,9.01 07/01/13 TOA Holdings, Inc. 1.01,2.01,3.02, 07/06/13 5.03,5.06,9.01 Tootie Pie Company, Inc. TX 1.03,5.02,8.01 07/03/13 TPG Specialty Lending, Inc. DE 1.01,2.03,9.01 07/02/13 TRUE RELIGION APPAREL INC DE 7.01 07/09/13 TUESDAY MORNING CORP/DE DE 2.02,9.01 07/09/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 07/09/13 TWO RIVER BANCORP NJ 7.01,9.01 07/09/13 UMB FINANCIAL CORP MO 7.01,9.01 07/09/13 Uni-Pixel DE 8.01,9.01 07/09/13 UNITED COMMUNITY FINANCIAL CORP OH 1.02,9.01 07/02/13 UNITED FIRE GROUP INC 8.01,9.01 07/09/13 VALIDUS HOLDINGS LTD 2.02,9.01 07/09/13 VIDABLE, INC. NV 9.01 07/08/13 VIVUS INC CA 1.01,7.01,9.01 07/09/13 Voice Assist, Inc. NV 3.02 07/08/13 WELLS FARGO & COMPANY/MN DE 9.01 07/09/13 Willbros Group, Inc.\NEW\ 2.02,9.01 07/08/13 WILSON BANK HOLDING CO TN 2.02,7.01,9.01 07/09/13 WOLVERINE WORLD WIDE INC /DE/ MI 2.02,9.01 07/09/13 WORLD ACCEPTANCE CORP SC 3.01,9.01 07/02/13 XZERES Corp. NV 1.01,7.01,9.01 07/02/13 ZION OIL & GAS INC DE 1.01,9.01 07/07/13