Denver Regional Office Director Donald Hoerl to Leave Commission after More Than 30 Years
The Securities and Exchange Commission (Commission) today announced that Donald M. Hoerl, director of its Denver Regional Office, is leaving in August after more than 30 years at the agency.
Mr. Hoerl led four different regional offices at various times during his tenure. He became director of the Denver office in 2008 after serving 11 years as its associate regional director for enforcement. He previously headed the Philadelphia and Salt Lake offices, and served as acting director of the Fort Worth office for a period in 2011. Mr. Hoerl has spent more than 35 years in federal service including his time as an assistant U.S. attorney before his arrival at the SEC.
“Don has amassed an impressive record of accomplishment over decades of work on behalf of investors,” said SEC Chair Mary Jo White. “His willingness to pitch in and serve in so many different roles demonstrates his unwavering commitment to the agency and its mission. His dedication to public service is exemplary.”
Mr. Hoerl said, “I feel extremely fortunate to have found myself in a career that combined important service to others and very talented colleagues committed to the same purpose. I am thankful for having had that opportunity. I will miss the SEC and the many wonderful people I have had the privilege of working with over the years.”
In 2012, Mr. Hoerl received the SEC’s Distinguished Service Award, considered the agency’s highest individual honor. Mr. Hoerl began working at the SEC in 1982 as a trial counsel in the Denver office, and he later became chief trial counsel. He then headed the Salt Lake office from 1987 to 1993 and led the Philadelphia office from 1993 to 1997 before returning to Denver. While leading the Denver office, he served as acting director of the Fort Worth office from April to September 2011.
As head of the Denver office, Mr. Hoerl oversaw a staff of 100 responsible for enforcement and examination programs in a seven-state region. The office brought a number of important accounting fraud cases, including actions against Joseph P. Nacchio and other former officers of Qwest Communications International Inc., based on misstatements about the company’s revenue and growth, against former officers and directors of NorthWestern Corporation, whose now-bankrupt utility subsidiary overstated its performance while conducting an $800 million public offering in 2002, and against American Italian Pasta Company and its former senior executives for scheming to inflate the company’s reported earnings.
Other notable enforcement actions during Mr. Hoerl’s tenure in Denver include market-timing cases against advisers Invesco Funds Group, and Janus Capital Management LLC. The actions resulted in settlements of approximately $325 million and $100 million respectively, which were distributed to investors. The Denver office also successfully litigated actions against three former executives and an independent director of Omaha-based infoUSA Inc., alleging that they caused the company to pay almost $9.5 million of unauthorized and undisclosed perquisites and enter into $9.3 million of undisclosed related party transactions that supported the lavish lifestyle of the company’s founder and former CEO.
As head of the SEC’s Philadelphia office, Mr. Hoerl supervised the early investigation of one of the first enforcement cases later brought relating to the operations of the Philadelphia Stock Exchange and its subsidiaries based on their failure to follow rules regarding the clearance, settlement, and valuation of securities. In another precedent-setting matter under his direction, the Philadelphia office argued in a broker-dealer misappropriation case for an expansive definition of the “in connection with” requirement of Section 10(b) of the 1934 Securities Exchange Act that the Supreme Court ultimately endorsed in its 2002 decision in SEC v. Zanford.
Mr. Hoerl’s early tenure in the Denver and Salt Lake offices was marked by a number of significant cases targeting cold-calling “boiler room” operations that promoted penny stocks to vulnerable investors. These cases carved out important legal principles in the broker-dealer arena and led to the demise of a number of prominent brokerage firms in the region, including Blinder Robinson and Co.
“Don’s service to the SEC in numerous different offices and roles over 30 years has been extraordinary. His leadership, excellent judgment, keen sense of justice, and his calm and reassuring manner, has assured the success of the offices he directed and he will be sorely missed,” said Andrew Ceresney, Co-Director of the SEC’s Division of Enforcement.
During the last four years, Mr. Hoerl played a leadership role in the reorganizations of the Division of Enforcement and the Office of Compliance Inspections and Examinations. He served on the SEC’s Claims Review Committee, which recommends actions on claims made to its Office of the Whistleblower.
“Under Don’s leadership, the Denver examination program has been energetic, determined, and creative. I want to congratulate and thank Don for his distinguished service to investors, our markets, and the Commission,” said Andrew Bowden, Director of the SEC’s Office of Compliance Inspections and Examinations.
Mr. Hoerl’s career includes public service as an assistant U.S. attorney in Denver from 1976 to 1982 and as a deputy district attorney in Pueblo, Colo. He received his B.A. degree from the University of California at Los Angeles, and his J.D. from the University of Colorado School of Law. (Press Rel. 2013-133)
Commission Charges Former Portfolio Manager at S.A.C. Capital with Insider Trading
The Commission today charged a former portfolio manager at S.A.C. Capital Advisors with insider trading ahead of major announcements by technology companies.
The SEC alleges that Richard Lee’s illegal trading based on nonpublic information he received from sources with connections to insiders at the technology companies enabled the S.A.C. Capital hedge fund that he managed to generate more than $1.5 million in illegal profits. Lee also made trades in his personal account. The insider trading occurred ahead of public announcements about a Microsoft-Yahoo partnership and the acquisition of 3Com Corporation by Hewlett-Packard.
“Lee’s illegal trading is yet another byproduct of a pervasive, win-at-all-cost culture that will not be tolerated,” said George S. Canellos, Co-Director of the SEC’s Division of Enforcement. “Lee cultivated and used sources in the U.S. and China to gain an unfair trading edge that landed him in law enforcement’s crosshairs.”
Sanjay Wadhwa, Senior Associate Director of the SEC’s New York Regional Office, added, “We continue to relentlessly pursue and expose insider trading by hedge fund managers who are under the misguided belief that they won’t be apprehended and held accountable for their unlawful conduct.”
According to the SEC’s complaint filed in U.S. District Court for the Southern District of New York, Lee received inside information in July 2009 from a sell-side analyst familiar with nonpublic negotiations between Microsoft and Yahoo to enter into an Internet search engine partnership. Lee learned that the negotiations, previously the subject of market rumors, were moving forward and a deal could be finalized in the next two weeks. The analyst told Lee that the confidential information came from a close personal friend who worked at Microsoft. Lee thanked the analyst for the “very specific information” and promptly purchased hundreds of thousands of shares of Yahoo stock in a portfolio that he managed on behalf of S.A.C. Capital. Lee also purchased shares of Yahoo stock in his personal trading account. When the imminent deal was reported in the press almost a week later, Yahoo’s stock price rose approximately four percent on the news and S.A.C. Capital and Lee reaped substantial profits.
The SEC further alleges that Lee received highly confidential information about 3Com from a Beijing-based consultant who he knew had close personal ties with executives at the company. When his source tipped him on Nov. 11, 2009, that 3Com was on the verge of being acquired by Hewlett-Packard, Lee quickly purchased several hundred thousand shares of 3Com stock for the S.A.C. Capital hedge fund. On the basis of the nonpublic information, Lee amassed the sizeable 3Com position just minutes before Hewlett-Packard announced it agreed to acquire 3Com for $2.7 billion. The price of 3Com stock jumped more than 30 percent the next day, and the S.A.C. Capital hedge fund reaped substantial illicit profits as a result of Lee’s illegal trades.
The SEC's complaint charges Lee, who lives in Chicago, with violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The complaint seeks a final judgment ordering Lee to pay disgorgement of his ill-gotten gains plus prejudgment interest and financial penalties, and permanently enjoining him from future violations of these provisions of the federal securities laws.
The SEC’s investigation, which is continuing, has been conducted by Thomas Smith, Michael Holland, and Joseph Sansone of the Enforcement Division's Market Abuse Unit in New York as well as Melissa Coppola and Jordan Baker in the New York Regional Office. The case has been supervised by Sanjay Wadhwa. The SEC appreciates the assistance of the U.S. Attorney’s Office for the Southern District of New York and the Federal Bureau of Investigation. (Press Rel. 2013-134; LR-22761)
Commission Charges Florida Resident with Unregistered Sales of Securities
On July 23, 2013, the Commission filed settled charges against Florida resident Jorge Bravo, Jr., for unlawful sales of millions of shares of a microcap company to the public without complying with the registration requirements of the Securities Act of 1933.
According to the SEC’s complaint filed in the U.S. District Court for the Southern District of New York, from April 2009 until May 2010, Bravo unlawfully sold approximately 93 million shares of stock of AVVAA World Health Care Products, Inc. in unregistered transactions for proceeds of approximately $523,000. The complaint alleges that Bravo obtained the shares through three “wrap around agreements.” The wrap around agreements involved debts that AVVAA supposedly owed to its officers, affiliates, or other persons closely associated with the company (Affiliates) for unpaid compensation for services rendered. Under the wrap around agreements, the Affiliates assigned to Bravo the debts that AVVAA purportedly owed to them, and AVVAA consented to the assignment and agreed to modify the terms of the original debt obligation so that the debts now owed to Bravo were immediately convertible into shares of AVVAA common stock. According to the complaint, within weeks of entering into the first two agreements, and approximately four months after the execution of the third, Bravo began selling the shares he obtained under the agreements to the public. He then used some of the proceeds of the stock sales to pay the amounts owed to the Affiliates under the wrap around agreements. The complaint further alleges that Bravo had previously been involved in wrap around agreements, in his capacity as of president and chief executive of Cross Atlantic Commodities, Inc., a public company located in Weston, Florida, and that those wrap around agreements were subjects of a prior Commission enforcement action, SEC v. K&L International Enterprises, Inc., 6:09-cv-1638-GAP-KRS (M.D. Fla. Sept. 24, 2009). Bravo was not charged in that matter.
Without admitting or denying the SEC’s allegations, Bravo agreed to settle the case against him by consenting to the entry of a final judgment permanently enjoining him from future violations of Sections 5(a) and 5(c) of the Securities Act; permanently enjoining him from participating in any offering of penny stock; and requiring him to pay disgorgement of $ 392,000, the amount of his ill-gotten gains, plus prejudgment interest of $ 53,866 and a civil penalty in the amount of $150,000. The settlement must be approved by the court.
The SEC’s investigation was conducted by New York Regional Office Enforcement staff Karen Lee, Christopher Ferrante, and Leslie Kazon. The Commission acknowledges the assistance of FINRA, the British Columbia Securities Commission, and the Ontario Securities Commission in this matter. (LR-22756)
SEC vs. Trevor G. Cook, Patrick J. Kiley, et al.
The Commission announced that on July 15, 2013, the Honorable Chief Judge Michael J. Davis of the United States District Court for the District of Minnesota sentenced Patrick J. Kiley to 20 years in prison and ordered him to pay $155 million in restitution. The sentence was based on Kiley’s conviction on 15 criminal counts including mail and wire fraud, conspiracy to commit mail and wire fraud, and money laundering for his role in a $194 million foreign currency trading scheme that defrauded approximately 1,000 investors. Kiley was charged on July 19, 2011, and a jury found him guilty on June 12, 2012.
Kiley is one of the defendants in a pending civil injunctive action filed by the Commission on November 23, 2009 in the United States District Court for the District of Minnesota. The Commission’s action against Kiley arose out of the same facts that are the subject of the criminal case against him. The Commission’s complaint alleges that from at least July 2006 through at least July 2009, Kiley and co-defendant Trevor G. Cook of Minneapolis, Minnesota, raised at least $190 million (later determined to be $194 million) from 1,000 investors through the unregistered offer and sale of investments in a purported foreign currency trading venture. According to the Commission’s complaint, Cook and Kiley pooled investors’ funds in bank and trading accounts in the names of entities they controlled. The Commission’s complaint alleges that the foreign currency trading they conducted resulted in millions of dollars in losses, and they misused approximately one half of the investor funds to make Ponzi-like payments to earlier investors and pay for, among other things, Cook's gambling losses and the purchase of the historic Van Dusen Mansion in Minneapolis.
The Commission’s complaint charges Cook and Kiley with violating Sections 5 and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. On November 23, 2009, the Court entered a preliminary injunction order against Cook and Kiley and froze all of their assets. On March 7, 2011, the Commission also filed a civil complaint in the U.S. District Court in Minneapolis against Jason Bo-Alan Beckman and his registered investment advisory firm Oxford Private Client Group, LLC, for their roles in this scheme. On August 27, 2010, the Court entered an order of permanent injunction against Cook. The Court also appointed a receiver to marshal and preserve all of the Defendants’ assets. The Commission’s cases against Kiley and Beckman remain pending. (LR-22760)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of GDT Tek, Inc., Gemini Explorations, Inc., Genetic Vectors, Inc., and Global Gate Property Corp. have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-70035)
Attorney Mitchell S. Drucker Suspended by New York State from Practicing Law for Three Years.
On July 17, 2013, the Appellate Division, Second Department, of the New York State Supreme Court (the “Appellate Division”), issued a decision suspending attorney Mitchell S. Drucker from the practicing law for three years, commencing August 16, 2013. The decision provides that Drucker cannot apply for reinstatement earlier than February 16, 2016. The Court imposed this sanction based on the judgment the Commission obtained in its insider trading case against Drucker. SEC v. Mitchell S. Drucker, et al, 06 Civ. 1644 (S.D.N.Y.). In December 2007, a jury in the United States District Court for the Southern District of New York found that Drucker, who was in the legal department of public company NBTY, Inc., violated the antifraud provisions of the securities laws by insider trading the common stock of NBTY, tipping his father, who traded, and trading his friend’s NBTY shares. In its decision, the Appellate Division upheld the determination of a Special Referee that Drucker had (1) “engaged in conduct involving dishonesty, deceit, fraud, or misrepresentation, in violation of former Code of Professional Responsibility DR1-102(a)(4) (22 NYCRR 1200.3[a]),” and (2) “engaged in conduct adversely reflecting on his fitness as an attorney, in violation of former Code of Professional Responsibility DR 1-102(a)(7) (22 NYCRR 1200.3[a]).” In imposing its sanction, the Appellate Division found:
. . . [W]e note the absence of cooperation by the respondent with the SEC, as well as the absence of any admission by the respondent that he engaged in insider trading. As the District Court noted, the respondent "failed to cooperate … until … he could no longer conceal his transgression, thereby misleading his employer," and he failed to take responsibility for what he did. We find the absence of remorse to be an aggravating factor, consistent with the District Court's finding that the respondent was entitled to "no mercy" as a result of the "brazenness" of his conduct and his "cocky refusal to own up to it." Moreover, we note the District Court's description of the respondent as having "demonstrated utter indifference to the law and to his client," and of his conduct as "egregious."
Previously, on December 26, 2007, Judge Colleen McMahon, whose decision and findings were cited by the Appellate Division, enjoined Drucker from violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and barred him from serving as an officer and director of any public company. The judgment also ordered defendant Drucker to pay disgorgement and prejudgment interest totaling $201,146, to pay, and be jointly and severally liable with his father, defendant Ronald Drucker for, disgorgement and prejudgment interest totaling $74,411, and to pay, and be jointly and severally liable with his friend, relief defendant William Minerva for, disgorgement and prejudgment interest totaling $11,577. Finally, the judgment ordered Mitchell Drucker to pay a civil penalty of $394,486, representing two times the combined ill-gotten gains obtained by defendants Mitchell Drucker and Ronald Drucker, and relief defendant Minerva. Drucker subsequently completed those payments to the U.S. Treasury.
In February 2008, the Commission issued an Order temporarily and then permanently suspending Drucker from practicing before the Commission based on his insider trading judgment. (LR-22757)
Massachusetts-based Penny Stock Promoter Ordered to Pay Over $1.6 Million in Penny Stock Fraud Case
The Commission announced today that on July 24, 2013, a final judgment was entered by default against Massachusetts-based National Financial Communications, Inc. (“NFC”). NFC is a defendant in an action filed by the Commission in the U.S. District Court for the District of Massachusetts on December 12, 2011, alleging that Massachusetts resident Geoffrey J. Eiten and NFC made material misrepresentations and omissions in penny stock publications they issued.
The judgment enjoins NFC from further violations of the antifraud provisions of the federal securities laws (Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder) and from certain specified activities related to penny stocks, including the promotion of a penny stock or deriving compensation from the promotion of a penny stock. The judgment also imposed a penny stock bar against NFC which permanently bars it from participating in an offering of penny stock, including engaging in activities with a broker, dealer, or issuer for the purpose of issuing, trading, or inducing or attempting to induce the purchase or sale of any penny stock. The judgment orders NFC to pay disgorgement of $605,262, representing NFC’s ill-gotten gains, plus prejudgment interest of $38,819 and a civil penalty of $1 million.
The Commission’s complaint alleged that Eiten and NFC issued a penny stock promotional publication called the “OTC Special Situations Reports.” According to the complaint, the defendants promoted penny stocks in this publication on behalf of clients in order to increase the price per share and/or volume of trading in the market for the securities of penny stock companies. The complaint alleged that Eiten and NFC made misrepresentations in these reports about the penny stock companies they promoted. For example, the Commission’s complaint alleged that during 2010, Eiten and NFC issued reports promoting four penny stock companies: (1) Clean Power Concepts, Inc., based in Regina, Saskatchewan, Canada, a purported manufacturer and distributor of various fuel additives and lubrication products made from crushed seed oil; (2) Endeavor Power Corp., based in Robesonia, Pennsylvania, a purported recycler of value metals from electronic waste; (3) Gold Standard Mining, based in Agoura Hills, California, a purported owner of Russia gold mining operations; and (4) Nexaira Wireless Corp., based in Vancouver, British Columbia, Canada, a purported developer and seller of wireless routers. The Commission’s complaint alleged that in these four reports, Eiten and NFC made material misrepresentations and omissions, concerning, among other things, the companies’ financial condition, future revenue projections, intellectual property rights, and Eiten’s interaction with company management as a basis for his statements.
According to the complaint, Eiten and NFC were hired to issue the above reports and used false information provided by their clients, without checking the accuracy of the information with the companies in question or otherwise ensuring that the statements they were making in the OTC Special Situations Report were true. The Commission’s case against Eiten is still pending. (LR-22759)
Former Investment Banker and His College Friend Sentenced to 16 Months in Prison for Insider Trading Scheme
The Commission announced that on July 23, 2013, investment bank analyst Jauyo “Jason” Lee, 29, of Palo Alto, Calif., and his college friend Victor Chen, 29, of Sunnyvale, Calif., were sentenced to 16 months in prison for their roles in an insider trading scheme. The Honorable Richard Seeborg, of the U.S. District Court for the Northern District of California, also sentenced Lee and Chen to two years of supervised release following their incarceration and ordered that restitution and forfeiture be considered at a subsequent hearing. Chen paid $610,099 in forfeiture prior to sentencing. Lee and Chen both pleaded guilty on April 16, 2013, to one count of conspiracy to commit securities fraud and one count of securities fraud.
The criminal charges filed by the U.S. Attorney for the Northern District of California arose out of the same facts that were the subject of a civil action that the SEC filed against Lee and Chen on September 27, 2012. The SEC’s complaint alleged that Lee, who worked in the San Francisco office of Leerink Swann LLC, gleaned sensitive, nonpublic information about two upcoming deals from unsuspecting co-workers involved with those clients and by reviewing various internal documents about the transactions, which involved medical device companies. Lee tipped Chen, his longtime college friend with the confidential information, and Chen traded heavily on the basis of the nonpublic details that Lee had a duty to protect. Chen made more than $600,000 in illicit profits, which was a 237 percent return on his initial investment. Bank records reveal a pattern of large cash withdrawals by Lee followed by large cash deposits by Chen, who then used the money for the insider trading.
According to the SEC’s complaint, Lee was first privy to information about Leerink’s client Syneron Medical Ltd., which was negotiating an acquisition of Candela Corporation in 2009. He later learned that Leerink’s client Somanetics Corporation was in the process of being acquired by Covidien plc. in 2010. As Lee collected nonpublic details about each of the deals, he communicated with Chen repeatedly and exchanged dozens of phone calls and text messages. Some of the calls took place from Lee’s office telephone at Leerink. Lee had a duty to preserve the confidentiality of the information that he received in the course of his employment at Leerink.
The SEC alleged that in the days leading up to the public announcements of each of these deals, Chen made sizeable purchases of stock and call options in Candela and Somanetics and made unusual trades in the securities of each of these acquisition targets. Chen had never previously bought securities in these companies, yet he suddenly spent a significant portion of his available cash to buy the Candela and Somanetics securities. Chen proceeded to sell most of his Candela and Somanetics holdings once public announcements were made about the transactions. Because Chen made some of his trades in his sister Jennifer Chen’s account, the SEC’s complaint also names her as a relief defendant for the purposes of recovering the illegal profits in her account.
As a result of their conduct, the SEC’s complaint charged Lee and Chen with violations of Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder. The complaint sought disgorgement of ill-gotten gains with prejudgment interest, civil penalties, and permanent injunctions against Lee and Chen. The SEC’s case remains pending. (LR-22758)
Stefan H. Benger Sanctioned
Stefan H. Benger (Benger), of Chicago, Illinois, has been barred from the securities industry. The sanction was ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against him.
Benger was enjoined from violating the antifraud and registration provisions of the securities laws, based on his wrongdoing from 2007 through February 2009, when he and others operated a penny stock boiler room. (Rel. ID-499)
Calamos Advisors LLC and Calamos ETF Trust
A notice has been issued giving interested persons until August 19, 2013, to request a hearing on an application filed by Calamos Advisors LLC and Calamos ETF Trust for an order to permit: (a) actively-managed series of certain open-end management investment companies to issue 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 from 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-30628)
NGAM Advisors, L.P., et al.
A notice has been issued giving interested persons until August 19, 2013, to request a hearing on an application filed by NGAM Advisors, L.P., et al., for an order to permit: (a) series of certain open-end management investment companies to issue shares (“Shares”) redeemable in large aggregations only (“Creation Unit Aggregations”); (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; and (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 Unit Aggregations. (Rel. IC-30630)
Orders of Deregistration Under the Investment Company Act of 1940
Orders have been issued under Section 8(f) of the Investment Company Act of 1940 declaring that each of the following has ceased to be an investment company:
Glickenhaus Value Portfolios 1996 Equity Collection [File No. 811-7423]
Empire Builder Tax Free Bond Fund [File No. 811-3907]
Jacob Funds II [File No. 811-7881]
Salient Alternative Strategies Fund [File No. 811-22388]
Armstrong Associates Inc. [File No. 811-1548]
Oppenheimer Transition 2010 Fund [File No. 811-21920]
Oppenheimer Transition 2015 Fund [File No. 811-21921]
Oppenheimer Transition 2020 Fund [File No. 811-21923]
Oppenheimer Transition 2030 Fund [File No. 811-21924]
Oppenheimer Transition 2050 Fund [File No. 811-22150]
Oppenheimer Transition 2040 Fund [File No. 811-22151]
Oppenheimer Transition 2025 Fund [File No. 811-22152]
Madison Mosaic Equity Trust [File No. 811-3615]
Global Chartist Fund, LLC [File No. 811-22617]
Lord Abbett Stock Appreciation Fund [File No. 811-9597]
Persimmon Growth Partners Fund LP [File No. 811-22457]
Persimmon Growth Partners Investor Fund [File No. 811-22458]
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by The NASDAQ Stock Market LLC to offer a new dedicated OUCH port infrastructure connectivity option and adopt related fees (SR-NASDAQ-2013-097) 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 29th, 2013. (Rel. 34-70036)
A proposed rule change filed by NYSE MKT LLC adding a new rule to codify existing price protection mechanisms (SR-NYSEMKT-2013-62) 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 29th, 2013. (Rel. 34-70037)
A proposed rule change filed by NYSE Arca, Inc. adding a new rule to codify existing price protection mechanisms (SR-NYSEArca-2013-72) 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 29th, 2013. (Rel. 34-70038)
A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to the Technical Disconnect Functionality (SR-CBOE-2013-071) 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 29th, 2013. (Rel. 34-70039)
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-1 SFX Entertainment, INC, 430 PARK AVENUE, 6TH FLOOR, NEW YORK, NY, 10022, 646-561-6400 - 0 ($300,000,000.00) Equity, (File 333-190092 - Jul. 24) (BR. 05B) S-4 Mid South TransCo LLC, 2001 TIMBERLOCH PLACE, THE WOODLANDS, TX, 77380, 504-576-4000 - 0 ($5,196,675,000.00) Equity, (File 333-190094 - Jul. 24) (BR. 02) S-8 ChyronHego Corp, 5 HUB DR, MELVILLE, NY, 11747, 6318452000 - 3,000,000 ($4,575,000.00) Equity, (File 333-190095 - Jul. 24) (BR.10A) S-3 FIRST NATIONAL FUNDING LLC, 0 ($1,000,000.00) Asset-Backed Securities, (File 333-190096 - Jul. 24) (BR. OSF) S-3 APPLIED DNA SCIENCES INC, 25 HEALTH SCIENCES DRIVE, SUITE 113, STONY BROOK, NY, 11790, 631 444 6861 - 0 ($21,693,477.00) Equity, (File 333-190097 - Jul. 24) (BR. 06C) S-8 Cheviot Financial Corp., 3723 GLENMORE AVENUE, CHEVIOT, OH, 45211, (513) 661-0457 - 654,500 ($7,405,667.50) Equity, (File 333-190098 - Jul. 24) (BR. 07) S-8 AGIOS PHARMACEUTICALS INC, 38 SIDNEY STREET, 2ND FLOOR, CAMBRIDGE, MA, 02139, 617-272-5275 - 0 ($30,192,751.00) Equity, (File 333-190101 - Jul. 24) (BR. 01A) S-8 Vanguard Natural Resources, LLC, 5847 SAN FELIPE, SUITE 3000, HOUSTON, TX, 77057, 832-327-2259 - 3,000,000 ($82,050,000.00) Equity,(File 333-190102 - Jul. 24) (BR. 04B) S-4 Sabine Pass LNG, L.P., 700 MILAM ST., SUITE 800, HOUSTON, TX, 77002, (713) 375-5000 - 420,000,000 ($420,000,000.00) Debt, (File 333-190103 - Jul. 24) (BR. 02A) S-8 NABORS INDUSTRIES LTD, CROWN HOUSE, 4 PAR-LA-VILLE ROAD SECOND FLOOR, HAMILTON, HM08, D0, 0000, 2464219471 - 0 ($107,800,200.00) Equity, (File 333-190104 - Jul. 24) (BR. 04B) S-8 WCI Communities, Inc., 24301 WALDEN CENTER DRIVE, BONITA SPRINGS, FL, 34134, 239-947-2600 - 0 ($44,805,000.00) Equity, (File 333-190105 - Jul. 24) (BR. 06C) S-3 PetroLogistics LP, 600 TRAVIS STREET, SUITE 3250, HOUSTON, TX, 77002, 713-255-5990 - 0 ($1,620,965,270.00) Unallocated (Universal) Shelf, (File 333-190106 - Jul. 24) (BR. 06B) S-1 PLAYERS NETWORK, 1771 E. FLAMINGO ROAD, SUITE # 201-A, LAS VEGAS, NV, 89119, 702-734-3457 - 22,750,000 ($455,000.00) Equity, (File 333-190107 - Jul. 24) (BR. 11C) S-4 ASSOCIATED MATERIALS, LLC, 3773 STATE ROAD, CUYAHOGA FALLS, OH, 44223, 330 929 1811 - 0 ($100,000,000.00) Debt, (File 333-190108 - Jul. 24) (BR. 06C) F-3D FRANCO NEVADA Corp, EXCHANGE TOWER, 130 KING ST W, SUITE 740, TORONTO, XX, M5X 1E4, 416-306-6306 - 0 ($15,306,000.00) Equity, (File 333-190109 - Jul. 24) (BR. 09A) S-8 CHEESECAKE FACTORY INC, 26901 MALIBU HILLS RD, CALABASAS HILLS, CA, 91301, 818 871-8342 - 0 ($74,795,000.00) Equity, (File 333-190110 - Jul. 24) (BR. 05B)
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 22nd Century Group, Inc. NV 3.02,3.03,7.01, 07/23/13 8.01,9.01 8X8 INC /DE/ DE 2.02,9.01 07/24/13 AARON'S INC GA 2.02,9.01 07/24/13 ACE Ltd V8 5.03,9.01 07/23/13 AEGEA, INC. NV 2.01,3.02,4.01, 07/22/13 5.01,5.02,5.03,9.01 Aircastle LTD D0 7.01,9.01 07/23/13 AKAMAI TECHNOLOGIES INC DE 2.02,9.01 07/24/13 ALLEGHENY TECHNOLOGIES INC DE 2.02,9.01 07/24/13 Alliance Bancorp, Inc. of Pennsylvani PA 2.02,9.01 07/24/13 Alliance Bancorp, Inc. of Pennsylvani PA 5.07 04/24/13 AMEND Allied Nevada Gold Corp. DE 7.01,9.01 07/22/13 AMERICAN CAMPUS COMMUNITIES INC MD 2.02,7.01,9.01 07/23/13 American Realty Capital Global Trust, 1.01,2.01,2.03,9.01 07/19/13 American Realty Capital Properties, I MD 8.01,9.01 07/24/13 AMERICAN TAX CREDIT PROPERTIES II L P DE 4.01,9.01 07/18/13 AMERICAN TAX CREDIT PROPERTIES III LP DE 4.01,9.01 07/18/13 AMERICAN TAX CREDIT PROPERTIES LP DE 4.01,9.01 07/18/13 AMERICAN TAX CREDIT TRUST SERIES I DE 4.01,9.01 07/18/13 AMERIPRISE FINANCIAL INC DE 2.02,9.01 07/24/13 AMERISOURCEBERGEN CORP DE 2.02,7.01,9.01 07/24/13 AMR CORP DE 8.01,9.01 07/24/13 AMR CORP DE 8.01,9.01 07/24/13 Angie's List, Inc. DE 2.02,9.01 07/24/13 AntriaBio, Inc. DE 7.01,9.01 07/24/13 APPLIANCE RECYCLING CENTERS OF AMERIC MN 2.02 07/24/13 APPLIED INDUSTRIAL TECHNOLOGIES INC OH 8.01 07/22/13 APTARGROUP INC DE 2.02,9.01 07/24/13 ARROW ELECTRONICS INC NY 2.02,9.01 07/24/13 Artisan Partners Asset Management Inc DE 2.02,9.01 07/24/13 ASPEN INSURANCE HOLDINGS LTD D0 2.02,5.02,7.01,9.01 07/24/13 ASSOCIATED ESTATES REALTY CORP OH 2.02,9.01 07/23/13 ASSURANT INC 2.02,9.01 07/24/13 AT&T INC. DE 8.01,9.01 06/30/13 Atlas Financial Holdings, Inc. E9 7.01,9.01 07/24/13 ATMI INC DE 2.02,9.01 07/24/13 AUBURN NATIONAL BANCORPORATION, INC DE 2.02,9.01 07/24/13 Bacterin International Holdings, Inc. DE 7.01,9.01 07/24/13 BANC OF CALIFORNIA, INC. MD 5.02,9.01 07/16/13 AMEND Bancorp, Inc. 5.02 07/24/13 BANK OF AMERICA CORP /DE/ DE 5.02,9.01 07/24/13 BankUnited, Inc. DE 2.02,9.01 07/24/13 BANNER CORP WA 2.02,9.01 07/24/13 BARRETT BUSINESS SERVICES INC MD 2.02,9.01 07/23/13 BOEING CO DE 2.02,9.01 07/24/13 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 7.01 07/17/13 AMEND BROOKLINE BANCORP INC DE 2.02,9.01 07/24/13 CA, INC. DE 2.02,9.01 07/24/13 CA, INC. DE 8.01 07/24/13 CADENCE DESIGN SYSTEMS INC DE 2.02,9.01 07/24/13 Cape Bancorp, Inc. MD 2.02,9.01 07/23/13 Capital Bank Financial Corp. DE 2.02,9.01 07/24/13 CAPITAL SOUTHWEST CORP TX 2.02,9.01 07/24/13 Carey Watermark Investors Inc 1.01,2.01,9.01 07/10/13 AMEND CATERPILLAR FINANCIAL SERVICES CORP DE 2.02,9.01 07/24/13 CATERPILLAR INC DE 2.02,9.01 07/24/13 CAVCO INDUSTRIES INC DE 2.01,3.02,8.01,9.01 07/22/13 CDW Corp DE 2.02,7.01 07/24/13 Celator Pharmaceuticals Inc DE 5.02,9.01 07/23/13 CENTRAL EUROPEAN MEDIA ENTERPRISES LT 5.02 07/18/13 CHEESECAKE FACTORY INC DE 2.02,8.01,9.01 07/22/13 CHINA GENGSHENG MINERALS, INC. NV 4.01 07/24/13 CHUGACH ELECTRIC ASSOCIATION INC AK 5.02 07/23/13 CITRIX SYSTEMS INC DE 2.02,9.01 07/24/13 Clearwater Paper Corp DE 2.02,9.01 07/24/13 COAST DISTRIBUTION SYSTEM INC DE 1.01,5.02,9.01 07/22/13 CODESMART HOLDINGS, INC. FL 1.01,9.01 07/18/13 COMCAST CORP PA 5.02,9.01 07/23/13 COMMUNITY BANK SYSTEM INC DE 2.02,9.01 07/23/13 COMMUNITY TRUST BANCORP INC /KY/ KY 7.01,8.01 07/23/13 CONMED CORP NY 2.02,9.01 07/24/13 COOPER TIRE & RUBBER CO DE 1.01,9.01 07/19/13 COSTAR GROUP INC DE 2.02,9.01 07/24/13 Crocs, Inc. 2.02,9.01 07/24/13 CROWN CASTLE INTERNATIONAL CORP DE 2.02,9.01 07/24/13 CULLEN/FROST BANKERS, INC. TX 2.02,9.01 07/24/13 CVSL INC. FL 5.02,9.01 07/18/13 DELTA AIR LINES INC /DE/ DE 2.02,9.01 07/24/13 DELTIC TIMBER CORP DE 2.02,9.01 07/24/13 Destination Maternity Corp DE 8.01,9.01 07/18/13 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 07/24/13 DICE HOLDINGS, INC. DE 2.02,8.01,9.01 07/24/13 DIGITAL ALLY INC 2.02,9.01 07/23/13 DIRECT INSITE CORP DE 8.01 07/23/13 DIVALL INSURED INCOME PROPERTIES 2 LI WI 1.01,9.01 07/24/13 Dolan Co. DE 1.02 07/24/13 DOMINOS PIZZA INC 7.01,9.01 07/24/13 DOVER DOWNS GAMING & ENTERTAINMENT IN DE 7.01,9.01 07/19/13 DOVER MOTORSPORTS INC DE 7.01,9.01 07/19/13 Dr Pepper Snapple Group, Inc. DE 2.02,9.01 07/24/13 DYAX CORP DE 2.02,9.01 07/24/13 E TRADE FINANCIAL Corp DE 2.02,9.01 07/24/13 EAGLE ROCK ENERGY PARTNERS L P DE 1.01,2.02, 07/23/13 2.03,7.01,9.01 EASTERN CO CT 2.02,7.01,9.01 07/24/13 eLayaway, Inc. DE 5.02,9.01 07/24/13 ELECTRONIC ARTS INC. DE 2.02,9.01 07/23/13 AMEND EMC CORP MA 2.02,9.01 07/24/13 Enertopia Corp. NV 5.02,7.01,9.01 07/24/13 Eos Petro, Inc. NV 1.01,3.02, 06/23/13 5.02,7.01,9.01 EQUIFAX INC GA 2.02,9.01 07/24/13 EQUINIX INC DE 2.02,9.01 07/24/13 EURONET WORLDWIDE INC DE 2.02,9.01 07/23/13 Evercore Partners Inc. DE 2.02,9.01 07/24/13 EXAR CORP DE 2.02,9.01 06/30/13 F5 NETWORKS INC WA 2.02,9.01 07/24/13 Facebook Inc 2.02,9.01 07/24/13 FALCONSTOR SOFTWARE INC DE 1.01,5.02,8.01,9.01 07/23/13 FAMOUS DAVES OF AMERICA INC MN 2.02,9.01 07/24/13 Federal Home Loan Bank of Chicago X1 5.02 07/23/13 Federal Home Loan Bank of Dallas 2.03,9.01 07/18/13 FINANCIAL INSTITUTIONS INC NY 2.02,9.01 07/24/13 FIRST BANCORP /PR/ PR 2.02,9.01 07/24/13 FIRST COMMONWEALTH FINANCIAL CORP /PA PA 2.02,7.01,9.01 07/24/13 FIRST MIDWEST BANCORP INC DE 2.02,7.01,9.01 07/24/13 FIRST RATE STAFFING Corp DE 2.01,3.02,5.06,9.01 11/09/12 AMEND First Trust Intermediate Duration Pre MA 7.01,9.01 07/24/13 FLAGSTAR BANCORP INC MI 2.02,7.01,9.01 07/23/13 FLUSHING FINANCIAL CORP DE 2.02,9.01 07/23/13 FLUSHING FINANCIAL CORP DE 5.02,9.01 07/23/13 FMC CORP DE 7.01,9.01 07/24/13 FMC TECHNOLOGIES INC DE 2.02,9.01 07/23/13 FNB CORP/FL/ FL 2.02,8.01,9.01 07/23/13 FORD MOTOR CO DE 2.02,9.01 07/24/13 FORD MOTOR CREDIT CO LLC DE 2.02,9.01 07/24/13 FOREST CITY ENTERPRISES INC OH 2.03,3.02 07/24/13 FORRESTER RESEARCH, INC. DE 2.02,8.01,9.01 07/23/13 Fortune Brands Home & Security, Inc. DE 2.02,9.01 07/24/13 Fortune Brands Home & Security, Inc. DE 1.01,2.03 07/23/13 FRISCHS RESTAURANTS INC OH 2.02,9.01 07/24/13 FS Energy & Power Fund DE 2.02,9.01 07/24/13 FS Investment CORP MD 2.02,9.01 07/24/13 FS Investment Corp II MD 2.02,9.01 07/24/13 Fuelstream INC DE 3.02 07/23/13 GALECTIN THERAPEUTICS INC NV 7.01,9.01 07/24/13 GANNETT CO INC /DE/ DE 8.01,9.01 07/24/13 GENERAL DYNAMICS CORP DE 2.02,9.01 07/24/13 Generation Zero Group, Inc. 3.02,5.02,9.01 07/11/13 GENTEX CORP MI 2.02,9.01 07/24/13 GENTEX CORP MI 1.01,7.01,9.01 07/18/13 Georgetown Bancorp, Inc. MD 8.01,9.01 07/22/13 Georgia-Carolina Bancshares, Inc GA 2.02,7.01,9.01 07/24/13 GERMAN AMERICAN BANCORP, INC. IN 1.01,2.02,7.01,9.01 07/23/13 GlyEco, Inc. NV 4.01,9.01 07/24/13 AMEND GOLDFIELD CORP DE 2.02,8.01,9.01 07/24/13 GOODRICH PETROLEUM CORP DE 7.01,9.01 07/22/13 GREYSTONE LOGISTICS, INC. 8.01 07/24/13 GULFMARK OFFSHORE INC DE 7.01,9.01 07/23/13 Hanesbrands Inc. MD 1.01,8.01,9.01 07/23/13 Hannon Armstrong Sustainable Infrastr MD 1.01,2.03 07/19/13 HARDINGE INC NY 9.01 05/09/13 AMEND HARLAND CLARKE HOLDINGS CORP DE 1.01,7.01,8.01,9.01 07/23/13 HDS INTERNATIONAL CORP. NV 1.01,2.03,9.01 07/15/13 HEALTH DISCOVERY CORP 2Q 8.01 07/24/13 HEALTH ENHANCEMENT PRODUCTS INC NV 5.02 07/19/13 HEALTHWAYS, INC DE 2.02,9.01 07/24/13 HERCULES OFFSHORE, INC. DE 7.01,8.01 07/24/13 HERITAGE FINANCIAL CORP /WA/ WA 2.02,8.01,9.01 07/23/13 Heritage-Crystal Clean, Inc. DE 2.02,9.01 07/24/13 HI TECH PHARMACAL CO INC NY 8.01,9.01 07/24/13 HMN FINANCIAL INC DE 2.02,9.01 07/19/13 Honda Auto Receivables 2013-3 Owner T DE 8.01,9.01 07/24/13 Honda Auto Receivables 2013-3 Owner T DE 1.01,9.01 07/24/13 IBERIABANK CORP LA 2.02,7.01,9.01 07/23/13 IBERIABANK CORP LA 7.01 07/24/13 ID SYSTEMS INC DE 5.02 07/19/13 INFINERA CORP DE 2.02,9.01 07/24/13 INGRAM MICRO INC DE 2.02,9.01 07/24/13 INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 4.01,9.01 07/18/13 INTER PARFUMS INC DE 2.02 07/23/13 INTERFACE INC GA 2.02 07/24/13 INTERMUNE INC DE 2.02,9.01 07/24/13 International Safety Group, Inc. NV 5.02 07/23/13 INTERNATIONAL TOWER HILL MINES LTD A1 7.01,9.01 07/23/13 INTRICON CORP PA 2.05,2.06 06/12/13 AMEND JAKKS PACIFIC INC DE 1.01,2.03,3.02,9.01 07/18/13 JAMBA, INC. DE 1.01,2.03 07/22/13 JMP Group Inc. DE 2.02,9.01 07/24/13 JTH Holding, Inc. DE 2.02,9.01 07/23/13 KAISER ALUMINUM CORP DE 2.02,9.01 07/24/13 KID BRANDS, INC NJ 5.07 07/18/13 KNIGHT TRANSPORTATION INC AZ 2.02,9.01 07/24/13 L2 MEDICAL DEVELOPMENT CO NV 4.01,9.01 07/24/13 LAKE SHORE BANCORP, INC. 8.01 07/24/13 LAS VEGAS SANDS CORP NV 2.02,9.01 07/24/13 LASERLOCK TECHNOLOGIES INC NV 1.01 07/22/13 LEXINGTON REALTY TRUST MD 3.02 07/24/13 LIGAND PHARMACEUTICALS INC DE 1.01,8.01,9.01 07/23/13 LILLY ELI & CO IN 2.02,9.01 07/24/13 Limelight Networks, Inc. DE 5.02,9.01 07/19/13 LINEAR TECHNOLOGY CORP /CA/ DE 2.02,9.01 07/23/13 LIONS GATE ENTERTAINMENT CORP /CN/ A1 8.01 07/22/13 LITHIA MOTORS INC OR 2.02,8.01,9.01 07/24/13 LSI CORP DE 2.02,8.01,9.01 07/24/13 Lumber Liquidators Holdings, Inc. 2.02,9.01 07/24/13 Maidenform Brands, Inc. DE 1.01,5.02,8.01,9.01 07/23/13 MARINE PRODUCTS CORP DE 2.02,9.01 07/24/13 MARINE PRODUCTS CORP DE 8.01,9.01 07/24/13 MARKETAXESS HOLDINGS INC 2.02,8.01,9.01 07/24/13 MARTEN TRANSPORT LTD DE 5.02 07/18/13 MASCO CORP /DE/ DE 5.02 07/18/13 Mastech Holdings, Inc. PA 2.02,9.01 07/24/13 MATTSON TECHNOLOGY INC DE 2.02,9.01 07/24/13 MDC HOLDINGS INC DE 5.02 07/22/13 MEDIA GENERAL INC VA 5.02 07/19/13 MEDICINES CO /DE DE 2.02,9.01 07/24/13 MEDIFAST INC DE 5.02,9.01 07/22/13 Medytox Solutions, Inc. NV 8.01 07/15/13 Mellanox Technologies, Ltd. L3 2.02,9.01 07/24/13 Meritage Homes CORP MD 2.02,9.01 07/24/13 MID PENN BANCORP INC PA 2.02,8.01,9.01 07/24/13 MILLER ENERGY RESOURCES, INC. TN 5.02,7.01,9.01 07/18/13 MINE SAFETY APPLIANCES CO PA 2.02,9.01 07/24/13 MKS INSTRUMENTS INC MA 2.02,9.01 07/24/13 MOLINA HEALTHCARE INC DE 5.03,9.01 07/19/13 MONARCH CASINO & RESORT INC NV 2.02,9.01 07/24/13 MOODYS CORP /DE/ DE 2.02,7.01,9.01 07/24/13 Motorola Solutions, Inc. DE 2.02,8.01,9.01 07/22/13 MUTUALFIRST FINANCIAL INC MD 2.02,9.01 07/24/13 MVP REIT, Inc. MD 8.01 07/24/13 NABORS INDUSTRIES LTD D0 2.02,8.01,9.01 07/23/13 Nano Labs Corp. CO 4.01,9.01 06/20/13 NASDAQ OMX GROUP, INC. DE 2.02,7.01,8.01,9.01 07/24/13 Neiman Marcus, Inc. DE 1.01 07/15/13 NEOGEN CORP MI 2.02,9.01 07/23/13 Nepia Inc. 1.01,2.01,3.02, 07/18/13 5.01,5.02,5.06,9.01 New Western Energy Corp NV 7.01,9.01 07/22/13 NEW YORK COMMUNITY BANCORP INC DE 2.02,7.01,9.01 07/24/13 NEWBRIDGE BANCORP NC 2.02,9.01 07/24/13 Noranda Aluminum Holding CORP DE 2.02,8.01,9.01 07/24/13 Noranda Aluminum Holding CORP DE 5.02,9.01 07/23/13 NORTH BAY RESOURCES INC DE 1.01,9.01 07/24/13 NORTHRIM BANCORP INC AK 2.02,9.01 07/23/13 NORTHROP GRUMMAN CORP /DE/ 2.02,9.01 07/24/13 NORWOOD FINANCIAL CORP PA 2.02,9.01 07/24/13 NVE CORP /NEW/ MN 2.02 07/24/13 OBA Financial Services, Inc. MD 4.01,9.01 07/18/13 OCEANEERING INTERNATIONAL INC DE 2.02,8.01,9.01 07/24/13 OFFICEMAX INC DE 5.02,8.01,9.01 07/24/13 OHIO POWER CO OH 8.01,9.01 07/24/13 OHIO VALLEY BANC CORP OH 2.02,9.01 04/25/13 OLD SECOND BANCORP INC DE 2.02,9.01 07/24/13 Omega Flex, Inc. PA 2.02,7.01,9.01 07/24/13 OMNICARE INC DE 2.02,9.01 07/24/13 ON ASSIGNMENT INC DE 2.02,9.01 07/24/13 Orchids Paper Products CO /DE DE 2.02,8.01,9.01 07/24/13 Oritani Financial Corp DE 2.02,9.01 07/24/13 OUTERWALL INC DE 2.01,9.01 07/23/13 OVERHILL FARMS INC NV 8.01 07/23/13 OVERHILL FARMS INC NV 8.01,9.01 07/23/13 Owens Corning DE 2.02,9.01 07/24/13 OWENS ILLINOIS INC /DE/ DE 2.02,9.01 07/24/13 Pacific Ethanol, Inc. DE 2.02,9.01 07/24/13 PALADIN REALTY INCOME PROPERTIES INC MD 1.01,7.01,9.01 07/18/13 PALL CORP NY 5.02,9.01 07/23/13 PALMETTO BANCSHARES INC SC 2.02,9.01 07/24/13 PARKE BANCORP, INC. NJ 2.02,9.01 07/24/13 PASSPORT POTASH INC A1 8.01,9.01 07/22/13 PDF SOLUTIONS INC DE 2.02,9.01 07/24/13 PDL BIOPHARMA, INC. DE 5.02,8.01,9.01 07/24/13 PENN NATIONAL GAMING INC PA 2.02,9.01 07/23/13 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.02,9.01 07/23/13 PEOPLES FINANCIAL CORP /MS/ MS 2.02,9.01 07/24/13 PEPSICO INC NC 2.02,8.01,9.01 07/19/13 PEPSICO INC NC 7.01 07/24/13 PEPSICO INC NC 2.02,9.01 07/24/13 PETMED EXPRESS INC FL 8.01,9.01 07/22/13 PetroLogistics LP DE 2.02,9.01 07/24/13 PLUMAS BANCORP CA 2.02,9.01 07/24/13 PMFG, Inc. DE 5.02,9.01 07/24/13 Polar Petroleum Corp. 7.01 07/10/13 Poly Shield Technologies Inc. DE 1.01,9.01 07/19/13 POTLATCH CORP DE 2.02,9.01 07/24/13 POWER ONE INC DE 5.07,7.01,9.01 07/23/13 PRAXAIR INC DE 2.02,9.01 07/24/13 Prologis, Inc. MD 2.02,7.01,9.01 07/24/13 PROSPERITY BANCSHARES INC TX 2.02,9.01 07/24/13 PROVIDENT NEW YORK BANCORP DE 2.02 07/23/13 PTC INC. MA 2.02,9.01 07/24/13 PVR PARTNERS, L. P. DE 2.02,7.01,9.01 07/24/13 QUALCOMM INC/DE DE 2.02,9.01 07/24/13 RAAM Global Energy Co DE 8.01 07/24/13 RADIAN GROUP INC DE 2.02,9.01 07/24/13 RAYMOND JAMES FINANCIAL INC FL 2.02,7.01,9.01 07/24/13 READING INTERNATIONAL INC NV 5.02 07/24/13 REALOGY HOLDINGS CORP. DE 2.02,9.01 07/24/13 REPUBLIC FIRST BANCORP INC PA 2.02,9.01 07/23/13 Resource Real Estate Opportunity REIT MD 1.01 07/18/13 RESPECT YOUR UNIVERSE, INC. NV 1.01,5.02,9.01 07/18/13 REXAHN PHARMACEUTICALS, INC. DE 1.01,7.01,9.01 07/23/13 REYNOLDS AMERICAN INC 2.02,9.01 07/24/13 RF MICRO DEVICES INC NC 8.01,9.01 07/24/13 ROBERTS REALTY INVESTORS INC GA 1.01,1.02,2.03,9.01 07/18/13 Rock-Tenn CO GA 2.02,9.01 07/23/13 Rock-Tenn CO GA 8.01,9.01 07/23/13 ROLLINS INC DE 2.02,9.01 07/24/13 ROLLINS INC DE 8.01,9.01 07/23/13 RPC INC DE 2.02,9.01 07/24/13 RPC INC DE 8.01,9.01 07/24/13 RUBY TUESDAY INC GA 2.02,9.01 07/03/13 RYLAND GROUP INC MD 2.02,9.01 07/24/13 S Y BANCORP INC KY 2.02,9.01 07/24/13 Saker Aviation Services, Inc. NV 1.02,8.01 07/19/13 Saleen Automotive, INC. NV 3.03,5.03,8.01 07/18/13 SANGAMO BIOSCIENCES INC DE 2.02,9.01 07/24/13 Sarepta Therapeutics, Inc. DE 8.01,9.01 07/24/13 Seagate Technology plc L2 2.02,7.01,9.01 07/24/13 Seagate Technology plc L2 5.02,7.01 07/24/13 SEQUENOM INC DE 2.02,9.01 07/24/13 SERVICE CORPORATION INTERNATIONAL TX 2.02,9.01 07/24/13 Shire plc 8.01,9.01 07/24/13 SIFCO INDUSTRIES INC OH 2.03,8.01,9.01 07/23/13 SIGMA LABS, INC. NV 3.02,8.01,9.01 07/18/13 SimplePons, Inc. DE 1.01,9.01 07/03/13 SIONIX CORP NV 4.01,9.01 07/18/13 SKECHERS USA INC DE 2.02,9.01 07/24/13 SMITH A O CORP DE 2.02,9.01 07/24/13 SMSA CRANE ACQUISITION CORP. NV 4.01,9.01 07/24/13 SMSA GAINESVILLE ACQUISITION CORP. NV 4.01,9.01 07/24/13 SMSA Humble Acquisition Corp NV 4.01,9.01 07/24/13 Solar Capital Ltd. MD 2.02,9.01 07/24/13 SONIC CORP DE 1.01 07/18/13 Sotherly Hotels Inc. MD 8.01 07/03/13 SOURCEFIRE INC DE 5.02,8.01,9.01 07/23/13 SOUTHERN COPPER CORP/ DE 8.01 07/18/13 SOUTHWEST BANCORP INC OK 2.02,8.01,9.01 07/23/13 SPECTRANETICS CORP DE 2.02,9.01 07/24/13 Spirit Airlines, Inc. DE 2.02,9.01 07/23/13 Spirit Airlines, Inc. DE 7.01,9.01 07/23/13 STERICYCLE INC DE 2.02,9.01 07/24/13 STONE ENERGY CORP DE 8.01 07/23/13 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 07/15/13 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 07/15/13 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 07/15/13 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 07/15/13 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 07/15/13 SUFFOLK BANCORP NY 2.02,9.01 07/24/13 SUN BANCORP INC /NJ/ NJ 2.02,7.01 07/24/13 SUNEDISON, INC. DE 5.02 07/18/13 SUPERVALU INC DE 5.02,9.01 07/23/13 SUSQUEHANNA BANCSHARES INC PA 2.02,9.01 07/24/13 SWIFT TRANSPORTATION Co 2.02,9.01 07/24/13 Symetra Financial CORP DE 2.02,9.01 07/24/13 SYNOVUS FINANCIAL CORP GA 1.01,9.01 07/19/13 TAL International Group, Inc. DE 2.02,9.01 07/24/13 Targa Resources Partners LP DE 5.02,9.01 07/15/13 AMEND TC PIPELINES LP DE 2.02,7.01,9.01 07/24/13 TC X CALIBUR INC NV 5.02 07/19/13 TE Connectivity Ltd. V8 2.02,7.01,9.01 07/24/13 TECHE HOLDING CO LA 2.02,9.01 07/24/13 TELEPHONE & DATA SYSTEMS INC /DE/ DE 5.02,9.01 07/22/13 TEREX CORP DE 2.02,7.01,9.01 07/24/13 THERMO FISHER SCIENTIFIC INC. DE 2.02,9.01 07/24/13 THT Heat Transfer Technology, Inc. NV 5.07 07/24/13 TIFFANY & CO DE 8.01,9.01 07/24/13 TIMBERLAND BANCORP INC WA 2.02,9.01 07/23/13 TORCHMARK CORP DE 2.02,9.01 07/24/13 TOWN SPORTS INTERNATIONAL HOLDINGS IN DE 2.02,9.01 07/24/13 TRACTOR SUPPLY CO /DE/ DE 2.02,9.01 07/24/13 TransMontaigne Partners L.P. DE 1.01,9.01 07/19/13 TripAdvisor, Inc. DE 2.02,9.01 07/24/13 TRIQUINT SEMICONDUCTOR INC DE 2.02,9.01 07/24/13 TriState Capital Holdings, Inc. PA 2.02 07/24/13 Trovagene, Inc. DE 8.01,9.01 07/24/13 True Drinks Holdings, Inc. NV 2.03,3.02 07/18/13 TrueBlue, Inc. WA 2.02,9.01 07/24/13 Tundra Gold Corp. 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