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Commission AnnouncementsKenneth Lench, Chief of Enforcement Division’s Structured and New Products Unit, To Leave Commission After 23 Years of ServiceThe Securities and Exchange Commission (Commission) today announced that Kenneth R. Lench, chief of the Enforcement Division’s Structured and New Products Unit, will leave the agency for the private sector at the end of this month after more than 23 years of service. Mr. Lench has served as head of the Structured and New Products Unit since its inception in January 2010. The unit conducts investigations into complex financial instruments including asset-backed and derivative securities, and has 45 staff in eight SEC offices across the country. During Mr. Lench’s tenure, the unit filed significant enforcement actions against financial services firms that violated federal securities laws during the financial crisis relating to the structuring, marketing, and sale of collateralized debt obligations (CDO) and residential mortgage-backed securities (RMBS). The CDO and RMBS cases filed under Mr. Lench’s leadership include Goldman Sachs, J.P. Morgan (CDO case and RMBS case), Citigroup, Credit Suisse, Mizuho, Wells Fargo/Wachovia, Option One, Stifel, Nicolaus & Co., and RBC Capital Markets. These cases provide for approximately $1.7 billion in financial recovery for harmed investors. “Ken’s determination to always seek the right answers and his devotion to protecting investors by working tirelessly with his staff and colleagues made everyone around him better,” said George S. Canellos, Co-Director of the SEC’s Division of Enforcement. “The Enforcement Division is stronger today because of Ken’s unwavering leadership.” Mr. Lench said, “It has been a privilege to lead such a talented and dedicated team of professionals committed to uncovering wrongdoing in our securities markets. I am fortunate to have had the opportunity to work on significant and challenging cases on behalf of our nation’s investors.” Mr. Lench joined the SEC’s Enforcement Division as a staff attorney in 1990. He was promoted to branch chief in 1995, assistant chief counsel in 2000, and assistant director in 2004. As an assistant director, Mr. Lench spearheaded the SEC’s major auction rates securities settlements with a number of major broker-dealer firms that provided more than $60 billion in liquidity to tens of thousands of investors. He also led significant investigations into matters involving financial and accounting fraud, Foreign Corrupt Practices Act violations, and hedge fund fraud cases. These include actions against Ernst & Young, Electronic Data Systems, Bally Total Fitness, General Motors, Delphi, United Rentals, Terex, Comerica, Delta & Pine Land, Beacon Hill Asset Management, Amaranth Advisors, and Banc of America. Besides serving in the Enforcement Division, Mr. Lench was in the SEC’s Division of Corporation Finance from 1999 to 2000. He reviewed SEC registration statements, proxy materials, and periodic reports involving initial public offerings, secondary offerings, tender offers, mergers and acquisitions, going private transactions, shelf offerings, and proxy contests. Mr. Lench was in private practice prior to his arrival at the SEC. Mr. Lench received his B.A. from Brandeis University and his J.D. from Boston University School of Law. Following Mr. Lench’s departure, deputy chief Reid A. Muoio will lead the unit until new leadership is named. (2013-126) Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory CommitteeThe Securities and Exchange Commission Investor Advisory Committee, established pursuant to Section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, has issued a notice of a public meeting to be held Thursday, July 25, 2013, in Multi-Purpose Room LL-006 at the Commission’s headquarters, 100 F Street, NE, Washington, DC 20549. The meeting will begin at 10:00 a.m. (EDT) and end at 4:00 p.m. and will be open to the public, except during portions of the meeting reserved for meetings of the Committee’s subcommittees. Publication is expected in the Federal Register during the week of July 15th, 2013. (Rel. 33-9418) ENFORCEMENT PROCEEDINGSIn the Matter of Joseph I. Emas, Esq.Pursuant to Rule 102(e)(5) of the Commission’s Rules of Practice, Joseph I. Emas, Esq. has applied for and been granted reinstatement of his privilege to appear and practice before the Commission as an attorney. Mr. Emas was suspended from appearing and practicing before the Commission as an attorney on January 20, 2010. His reinstatement is effective immediately. (Rel. 34-69995; File No. 3-13757). SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeA proposed rule change (SR-Phlx-2013-74) filed by NASDAQ OMX PHLX LLC relating to the extension of a pilot program regarding Price Improvement XL has become effective under Section 19(b)(3)(A) under the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 15th, 2013. (Rel. 34-69989) A proposed rule change filed by New York Stock Exchange LLC amending its Price List to revise the credits for certain Designated Market Maker transactions and revise the annual trading license fees (SR-NYSE-2013-51) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 15th, 2013. (Rel. 34-69992) A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to PULSe Workstation functionality (SR-CBOE-2013-062) 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 15th, 2013. (Rel. 34-69990) A proposed rule change filed by C2 Options Exchange, Incorporated relating to PULSe Workstation functionality (SR-C2-2013-026) 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 15th, 2013. (Rel. 34-69991) Notice of Filing and Order Granting Accelerated Approval of Proposed Rule ChangeThe Commission issued notice of filing of Amendment No. 2, and granted accelerated approval to a proposed rule change, as modified by Amendments Nos. 1 and 2, submitted by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2013-026), pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, to adopt a new order type called leg orders. Publication is expected in the Federal Register during the week of July 15th, 2013. (Rel. 34-69987) SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-4 NATIONAL HOLDINGS CORP, 120 BROADWAY, 27TH FLOOR, NEW YORK, NY, 10271,
212-417-8000 - 24,000,000 ($7,200,000.00) Equity, (File 333-189940 -
Jul. 15) (BR. 12)
N-2 SunAmerica Goldman Sachs Diversified Yield Fund,
3200 HARBORSIDE FINANCIAL CENTER, PLAZA 5, JERSEY CITY, NJ, 07311-4992,
800-858-8850 - 50,000 ($1,000,000.00) Equity, (File 333-189945 -
Jul. 15) (BR. )
S-8 HERITAGE COMMERCE CORP, 150 ALMADEN BOULEVARD, SAN JOSE, CA, 95113,
4089476900 - 0 ($12,600,000.00) Equity, (File 333-189955 - Jul. 15)
(BR. 07C)
S-8 RECEIVABLE ACQUISITION & MANAGEMENT CORP, 60 EAST 42ND STREET,
46TH FLOOR, NEW YORK, NY, 10165, 212-796-4097 -
18,600,000 ($1,860,000.00) Equity, (File 333-189956 - Jul. 15) (BR. 07B)
S-1 Associated Materials Group, Inc., 3773 STATE ROAD, CUYAHOGA FALLS, OH,
44223, 330-929-1811 - 0 ($100,000,000.00) Equity, (File 333-189958 -
Jul. 15) (BR. 06)
S-1 Third Point Reinsurance Ltd., THE WATERFRONT, CHESNEY HOUSE,
96 PITTS BAY ROAD, PEMBROKE, D0, HM 08, 1 441 542 3308 -
0 ($250,000,000.00) Equity, (File 333-189960 - Jul. 15) (BR. 01A)
S-8 CHASE CORP, 26 SUMMER STREET, BRIDGEWATER, MA, 02324, 5082791789 -
0 ($26,412,000.00) Equity, (File 333-189961 - Jul. 15) (BR. 11A)
S-8 PTC THERAPEUTICS, INC., 100 CORPORATE COURT, SOUTH PLAINFIELD, NJ,
07080-2449, 9082227000 - 0 ($43,516,697.00) Equity, (File 333-189962 -
Jul. 15) (BR. 01A)
S-3 ACCESS MIDSTREAM PARTNERS LP, 900 NW 63RD STREET, OKLAHOMA CITY, OK,
73118, (405) 935-1500 - 0 ($300,000,000.00) Equity, (File 333-189963 -
Jul. 15) (BR. 02C)
S-8 SPAR GROUP INC, 333 WESTCHESTER AVE, SUITE 204, WHITE PLAINS, NY,
10604, 914-332-4100 - 1,500,000 ($3,322,500.00) Equity,
(File 333-189964 - Jul. 15) (BR. 02C)
S-8 Mirati Therapeutics, Inc., 9363 TOWNE CENTRE DRIVE, SUITE 200,
SAN DIEGO, CA, 92121, (514) 337-3333 - 0 ($15,985,030.22) Equity,
(File 333-189965 - Jul. 15) (BR. 01A)
S-8 DISCOVERY LABORATORIES INC /DE/, 2600 KELLY ROAD, SUITE 100,
WARRINGTON, PA, 18976, 2154889300 - 1,500,000 ($2,430,000.00) Equity,
(File 333-189966 - Jul. 15) (BR. 01A)
S-3 ProShares Trust II, 7501 WISCONSIN AVE, SUITE 1000, BETHESDA, MD,
20814, 240-497-6400 - 0 ($1,300,000,000.00) Other, (File 333-189967 -
Jul. 15) (BR. 08B)
S-1 BOISE CASCADE Co, 1111 WEST JEFFERSON STREET, SUITE 300, P. O. BOX 50,
BOISE, ID, 83702, (208) 384-6161 - 0 ($310,730,000.00) Equity,
(File 333-189968 - Jul. 15) (BR. 06A)
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
ACCENTIA BIOPHARMACEUTICALS INC FL 1.01,2.03, 03/06/13
2.04,5.02,8.01
ACCESS MIDSTREAM PARTNERS LP DE 8.01,9.01 07/15/13
ACNB CORP PA 4.01,9.01 07/09/13
ACURA PHARMACEUTICALS, INC NY 8.01,9.01 07/15/13
Advaxis, Inc. DE 8.01,9.01 07/11/13
AgFeed Industries, Inc. NV 1.01,1.03,5.02,9.01 07/11/13
ALLEGHENY TECHNOLOGIES INC DE 5.02,9.01 07/15/13
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 07/15/13
ALLIANCE RESOURCE PARTNERS LP DE 1.04 07/10/13
ALLSTATE CORP DE 7.01 07/15/13
ALTEROLA BIOTECH INC. 4.01,9.01 07/15/13
AlumiFuel Power Corp NV 8.01 07/09/13
AMERICAN EXPRESS CO NY 7.01 07/15/13
AMERICAN INTERNATIONAL VENTURES INC / DE 5.02,9.01 07/05/13
American Midstream Partners, LP DE 5.02,9.01 07/15/13
American Realty Capital Trust V, Inc. MD 8.01,9.01 07/15/13
AMERICAN TOWER CORP /MA/ DE 7.01,9.01 07/15/13
AmREIT, Inc. MD 1.01,8.01 07/15/13
ARES CAPITAL CORP MD 7.01,8.01,9.01 07/15/13
ARTS WAY MANUFACTURING CO INC DE 2.02,9.01 07/15/13
ARUBA NETWORKS, INC. DE 8.01,9.01 07/15/13
ASSOCIATED MATERIALS, LLC DE 8.01,9.01 07/15/13
Avago Technologies LTD U0 7.01 07/15/13
AVIV REIT, INC. MD 5.02,9.01 07/11/13
Bacterin International Holdings, Inc. DE 5.07 07/11/13
BERRY PLASTICS GROUP INC DE 2.02,8.01,9.01 07/15/13
BIOVEST INTERNATIONAL INC DE 1.03,5.02, 07/09/13
5.03,7.01,9.01
BOB EVANS FARMS INC DE 5.02,9.01 07/09/13
BOISE CASCADE Co DE 2.02 07/15/13
BROWN & BROWN INC FL 2.02 06/30/13
Brownie's Marine Group, Inc NV 8.01,9.01 07/08/13
Buckeye Oil & Gas, Inc. FL 3.03 07/08/13
CABELAS INC DE 7.01,9.01 07/15/13
Capall Stables, Inc. DE 1.01,3.03,5.03,8.01 07/15/13
CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 07/15/13
CapLease, Inc. 8.01,9.01 07/15/13
CARPENTER TECHNOLOGY CORP DE 5.02,9.01 07/15/13
CASEYS GENERAL STORES INC IA 7.01 07/15/13
CASH AMERICA INTERNATIONAL INC TX 7.01,9.01 07/15/13
Cellular Concrete Technologies, Inc. DE 1.01,5.06,9.01 06/12/13
CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 07/15/13
Chatham Lodging Trust MD 7.01,9.01 07/12/13
China Energy CORP 3.03,9.01 07/03/13 AMEND
CINTAS CORP WA 2.02,9.01 07/15/13
CITIGROUP INC DE 2.02,9.01 07/15/13
CLOROX CO /DE/ DE 5.02 07/10/13
Colt Defense LLC DE 1.01,2.01, 07/12/13
2.03,8.01,9.01
COMPUWARE CORP MI 5.03,8.01 07/11/13
CONOCOPHILLIPS DE 5.02 07/10/13
CONSUMERS BANCORP INC /OH/ OH 7.01,9.01 07/15/13
CorMedix Inc. DE 3.01,9.01 07/15/13
CROSS A T CO RI 1.01,5.02,8.01,9.01 07/15/13
CROWN CASTLE INTERNATIONAL CORP DE 7.01,9.01 07/14/13
CRYO CELL INTERNATIONAL INC DE 2.02,9.01 07/15/13
Cyalume Technologies Holdings, Inc. DE 5.03,5.07,9.01 07/09/13
DEAN FOODS CO DE 1.01,2.03,9.01 07/11/13
Development Capital Group, Inc. FL 5.02 07/08/13
Discover Card Execution Note Trust DE 8.01 07/15/13
DISCOVER CARD MASTER TRUST I DE 8.01 07/15/13
Discover Financial Services DE 7.01,9.01 07/15/13
Discovery Energy Corp. NY 1.01,9.01 07/10/13
Dorman Products, Inc. PA 5.02 07/11/13
DOW CHEMICAL CO /DE/ DE 7.01 07/15/13
EASTMAN KODAK CO NJ 7.01 07/15/13
EMMIS COMMUNICATIONS CORP IN 5.07 07/10/13 AMEND
EMULEX CORP /DE/ DE 2.02,5.02,5.03,9.01 07/12/13
Ensco plc 7.01,9.01 07/15/13
EQT Midstream Partners, LP DE 1.01,2.02,7.01,9.01 07/15/13
Fansport, Inc. FL 5.01 06/28/13
FEMALE HEALTH CO WI 2.02,7.01,9.01 07/15/13
First American Financial Corp DE 5.02 03/27/13 AMEND
First American Financial Corp DE 5.02 11/06/12 AMEND
FIRST FEDERAL BANCSHARES OF ARKANSAS AR 8.01 07/12/13
FIRST TRUST STRATEGIC HIGH INCOME FUN MA 7.01,9.01 07/15/13
Firsthand Technology Value Fund, Inc. 8.01,9.01 07/15/13
Forbes Energy Services Ltd. D0 5.07 07/09/13
FOREST CITY ENTERPRISES INC OH 8.01,9.01 07/12/13
FOREST CITY ENTERPRISES INC OH 7.01,8.01,9.01 07/15/13
FOREST OIL CORP NY 7.01,8.01,9.01 07/15/13
FORUM ENERGY TECHNOLOGIES, INC. DE 8.01,9.01 07/15/13
FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 4.01,9.01 07/15/13
FROZEN FOOD EXPRESS INDUSTRIES INC TX 1.01,3.02,3.03, 07/12/13
5.02,8.01,9.01
Frozen Food Gift Group, Inc DE 3.03,5.03,9.01 07/10/13
FURNITURE BRANDS INTERNATIONAL INC DE 3.01,9.01 07/10/13
FX ENERGY INC NV 8.01,9.01 07/15/13
FXCM Inc. 7.01,9.01 07/15/13
General Agriculture Corp DE 5.03,8.01,9.01 07/12/13
GETTY REALTY CORP /MD/ MD 1.01,2.03 07/09/13
GLADSTONE COMMERCIAL CORP MD 2.01,7.01,9.01 07/09/13
Global System Designs, Inc. NV 4.01,9.01 07/15/13
GlobalOptions Group, Inc. 1.01,3.02,3.03, 07/10/13
5.02,5.03,8.01,9.01
GoldLand Holdings Corp. DE 8.01 07/15/13
GREENBRIER COMPANIES INC OR 3.02,8.01,9.01 07/10/13
GUARANTY FEDERAL BANCSHARES INC DE 2.02,9.01 07/15/13
HALLADOR ENERGY CO CO 8.01,9.01 07/15/13
Hanesbrands Inc. MD 5.02,9.01 07/15/13
HD Supply Holdings, Inc. DE 1.01 07/15/13
HD SUPPLY, INC. DE 1.01 07/15/13
HEALTHCARE REALTY TRUST INC MD 8.01,9.01 07/15/13
HELEN OF TROY LTD 2.02,9.01 07/09/13
HERITAGE FINANCIAL CORP /WA/ WA 2.01,5.02,8.01,9.01 07/15/13
HEWLETT PACKARD CO DE 5.02,5.03,9.01 07/10/13
Hudson Global, Inc. DE 5.02,9.01 07/14/13
ICEWEB INC DE 7.01 07/15/13
ICEWEB INC DE 7.01 07/15/13
ICEWEB INC DE 1.01 07/09/13
INDEPENDENT BANK CORP MA 8.01,9.01 07/12/13
Ingredion Inc DE 2.02,9.01 07/14/13
INTEGRATED DEVICE TECHNOLOGY INC DE 2.01,7.01,9.01 07/12/13
Inteliquent, Inc. 7.01,9.01 07/15/13
INTER PARFUMS INC DE 8.01 07/15/13
INTERCONTINENTALEXCHANGE INC DE 1.01,2.03,9.01 07/15/13
INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01,9.01 07/15/13
ION GEOPHYSICAL CORP DE 5.02 07/15/13
ITC Holdings Corp. MI 1.01,2.03,9.01 07/11/13
JOE'S JEANS INC. DE 2.02,9.01 07/15/13
KAISER ALUMINUM CORP DE 8.01,9.01 07/15/13
Kodiak Oil & Gas Corp B0 1.01,2.01, 07/12/13
2.03,7.01,9.01
KRISPY KREME DOUGHNUTS INC NC 1.01,1.02, 07/12/13
2.03,8.01,9.01
LAKELAND INDUSTRIES INC DE 5.07 07/12/13
Landmark Apartment Trust of America, 5.02 07/09/13
LEAP WIRELESS INTERNATIONAL INC DE 1.01,3.03,8.01,9.01 07/12/13
Liberty Media Corp DE 2.01,9.01 04/30/13 AMEND
MAGNACHIP SEMICONDUCTOR Corp DE 2.02,7.01,9.01 07/15/13
Marathon Petroleum Corp DE 2.02,9.01 07/15/13
MARKEL CORP VA 1.01,9.01 07/12/13
MARVELL TECHNOLOGY GROUP LTD D0 5.02,7.01,9.01 07/14/13
MB FINANCIAL INC /MD 2.02,9.01 07/15/13
MB FINANCIAL INC /MD 8.01,9.01 07/14/13
MEDICAL PROPERTIES TRUST INC 5.02,9.01 05/23/13
Midway Gold Corp A1 7.01,9.01 07/15/13
Midwest Energy Emissions Corp. DE 3.02 07/12/13
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 07/15/13
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 07/15/13
Moody National REIT I, Inc. MD 7.01,9.01 07/15/13
MOTORCAR PARTS AMERICA INC NY 2.04 07/09/13
NABORS INDUSTRIES LTD D0 1.01,3.03,9.01 07/15/13
NATIONAL HEALTH INVESTORS INC MD 8.01,9.01 07/15/13
NATURAL HEALTH TRENDS CORP DE 2.02,9.01 07/15/13
NAVIDEA BIOPHARMACEUTICALS, INC. DE 5.02,8.01,9.01 07/09/13
NAVISTAR INTERNATIONAL CORP DE 1.01,3.03,5.02,9.01 07/14/13
NEOPHOTONICS CORP DE 5.02 07/09/13
NEUROMAMA, LTD. NV 1.01,5.01,5.02,8.01 06/13/13 AMEND
NEXSTAR BROADCASTING GROUP INC DE 8.01 07/15/13
NGL Energy Partners LP DE 1.01,8.01,9.01 07/09/13
OCLARO, INC. DE 5.02 07/12/13
OCZ TECHNOLOGY GROUP INC DE 2.02,9.01 07/15/13
OFFICE DEPOT INC DE 2.01,9.01 07/09/13
OLD NATIONAL BANCORP /IN/ IN 7.01,9.01 07/15/13
OPTICAL CABLE CORP VA 8.01,9.01 07/15/13
OVERSEAS SHIPHOLDING GROUP INC DE 7.01,9.01 07/15/13
PAN GLOBAL, CORP. NV 2.01,3.02,4.01, 04/26/13 AMEND
5.06,5.07,9.01
PEDEVCO CORP TX 1.01,2.03,9.01 07/12/13
PennantPark Floating Rate Capital Ltd 2.02,7.01,9.01 07/15/13
Phillips Edison - ARC Shopping Center MD 5.07 07/10/13
PINNACLE ENTERTAINMENT INC. DE 8.01,9.01 07/15/13
PMC SIERRA INC DE 2.01,9.01 07/12/13
POLYMER GROUP INC DE 5.02 07/09/13
PORTLAND GENERAL ELECTRIC CO /OR/ OR 7.01 07/15/13
POWER INTEGRATIONS INC CA 2.02,9.01 07/15/13
Power REIT MD 8.01,9.01 07/15/13
POZEN INC /NC 1.01 07/10/13
PRETIUM PACKAGING L L C DE 2.01,9.01 07/15/13
Primerica, Inc. DE 5.02,9.01 07/15/13
Prologis, Inc. MD 1.01,1.02,2.03,9.01 07/11/13
RAMCO GERSHENSON PROPERTIES TRUST MD 1.01,9.01 07/12/13
Rango Energy, Inc. NV 8.01,9.01 07/10/13
REXAHN PHARMACEUTICALS, INC. DE 7.01,9.01 07/15/13
SALESFORCE COM INC DE 1.01,2.01,2.03, 07/11/13
8.01,9.01
Santander Drive Auto Receivables Trus DE 1.01,8.01,9.01 07/11/13
SARATOGA RESOURCES INC /TX TX 7.01,9.01 07/15/13
SB FINANCIAL GROUP, INC. OH 5.07 04/24/13 AMEND
SCHULMAN A INC DE 5.02 07/15/13
SCICLONE PHARMACEUTICALS INC DE 5.02,9.01 07/15/13
SearchCore, Inc. NV 1.01,9.01 07/11/13
SEQUENTIAL BRANDS GROUP, INC. DE 5.07 07/12/13
SEYCHELLE ENVIRONMENTAL TECHNOLOGIES NV 7.01,9.01 07/15/13
SGB International Holdings Inc. A1 5.02 07/08/13
Shire plc 8.01,9.01 07/15/13
Sierra Income Corp MD 5.02,9.01 07/12/13
SIERRA MONITOR CORP /CA/ CA 7.01,9.01 07/15/13
Silver Falcon Mining, Inc. DE 8.01 07/15/13
SIMON WORLDWIDE INC DE 1.01,9.01 07/15/13
SIMON WORLDWIDE INC DE 1.01,2.01,9.01 03/18/13 AMEND
SLAVIA, CORP. NV 5.02 07/12/13
SLM Student Loan Trust 2003-14 8.01,9.01 07/15/13
SLM Student Loan Trust 2004-1 8.01,9.01 07/15/13
SLM Student Loan Trust 2004-10 DE 8.01,9.01 07/15/13
SLM Student Loan Trust 2004-8 DE 8.01,9.01 07/15/13
SMART ONLINE INC DE 2.03,3.02,8.01 07/10/13
SMITHFIELD FOODS INC VA 1.01,2.03,9.01 07/12/13
SMITHFIELD FOODS INC VA 7.01,8.01,9.01 07/15/13
Sovereign Lithium, Inc. 5.03,8.01,9.01 07/11/13
SPAR GROUP INC DE 1.01,9.01 07/10/13
STANLEY FURNITURE CO INC. DE 2.02,9.01 07/15/13
STRATEGIC DIAGNOSTICS INC/DE/ DE 1.01,2.01,5.02, 07/09/13
5.03,5.07,9.01
Sunnyside Bancorp, Inc. MD 8.01,9.01 07/15/13
Sunstone Hotel Investors, Inc. MD 9.01 05/01/13 AMEND
SUPERTEL HOSPITALITY INC VA 3.01,3.02,5.02,9.01 07/09/13
SYNTHESIS ENERGY SYSTEMS INC DE 7.01,9.01 07/10/13
TAYLOR CAPITAL GROUP INC DE 2.02,9.01 07/15/13
TAYLOR CAPITAL GROUP INC DE 8.01,9.01 07/15/13
TELKONET INC UT 5.07 07/12/13
TELLABS INC DE 5.02 07/12/13
TEREX CORP DE 8.01,9.01 07/15/13
Terreno Realty Corp MD 8.01,9.01 07/11/13
TNP Strategic Retail Trust, Inc. MD 1.01,9.01 07/09/13
TransMontaigne Partners L.P. DE 8.01,9.01 07/15/13
Tungsten Corp. NV 1.01,1.02,9.01 07/09/13
TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 07/15/13
U. S. Premium Beef, LLC 7.01,9.01 07/15/13
VAPOR CORP. NV 1.01,2.03,3.02,9.01 07/09/13
Venaxis, Inc. CO 8.01,9.01 07/15/13
W. S. Industries, Inc. NV 3.02,5.01,5.02, 05/14/13 AMEND
5.03,5.06,9.01
WESBANCO INC WV 5.04,9.01 07/15/13
WHITE MOUNTAIN TITANIUM CORP NV 7.01,9.01 07/15/13
WHITEWAVE FOODS Co DE 2.02,9.01 07/15/13
WILSHIRE BANCORP INC 1.01,8.01,9.01 07/15/13
XPO Logistics, Inc. 1.01,3.02,7.01,9.01 07/12/13
XPO Logistics, Inc. 7.01,9.01 07/15/13
Xun Energy, Inc. NV 1.01,9.01 07/11/13
Zayo Group LLC DE 5.02,9.01 07/01/13
http://www.sec.gov/news/digest/2013/dig071613.htm
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