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ENFORCEMENT PROCEEDINGSCommission Charges Tipper of Confidential Information to S.A.C. Capital Portfolio ManagerThe Securities and Exchange Commission (Commission) today charged the tipper of confidential information to a S.A.C. Capital portfolio manager who has been charged with insider trading. The SEC today amended its complaint against Richard Lee, who was charged last week, to additionally charge Sandeep Aggarwal, a sell-side analyst who tipped Lee in advance of a July 2009 public announcement about an Internet search engine partnership between Microsoft and Yahoo. Lee purchased large amounts of Yahoo stock in the S.A.C. Capital hedge fund that he managed as well as in his personal trading account on the basis of the inside information. In a parallel action, the U.S. Attorney's Office for the Southern District of New York today announced criminal charges against Aggarwal, who lives in India but recently returned to the U.S. "Rather than rely on legitimate research methods, Aggarwal obtained confidential information from a close friend at Microsoft and passed it along to Lee knowing that he would likely trade on it," said Sanjay Wadhwa, Senior Associate Director of the SEC's New York Regional Office. "As a sell-side analyst, Aggarwal knew the rules and yet he broke them, which is why he joins the growing ranks of those held accountable by the SEC for insider trading." The SEC alleges that Aggarwal learned confidential details about the significant progress of the Microsoft-Yahoo negotiations from his close friend at Microsoft on July 9, 2009, and he tipped Lee with the information during a telephone call the following day. When the information was reported in the media almost a week later, Yahoo's stock price rose approximately 4 percent. S.A.C. Capital and Lee reaped substantial profits from the Yahoo shares that he purchased after speaking to Aggarwal. According to the SEC's amended complaint filed in federal court in Manhattan, Aggarwal covered both Microsoft and Yahoo for his research firm and regularly received periodic updates from his inside source at Microsoft. Upon learning that Microsoft and Yahoo were potentially within two weeks of finalizing a deal, Aggarwal shared very specific details with Lee. Aggarwal assured him that the information came from a close friend at Microsoft who was reliable and accurate. The SEC's amended complaint charges Aggarwal and Lee with violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The amended complaint seeks a final judgment ordering Aggarwal and Lee to pay disgorgement of ill-gotten gains plus prejudgment interest and financial penalties, and permanently enjoining them 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 team was assisted at various points during the investigation by Timothy Casey of the New York Regional Office, Patrick McCluskey and Kay Lee of the Market Abuse Unit in Philadelphia, and Daniel Koster of the Philadelphia 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. 2013-137; LR-22763) Commission Charges Two Traders in Spain with Insider Trading Ahead of BHP Acquisition BidThe Commission today charged a former high-ranking official at Madrid-based Banco Santander S.A. and a former judge in Spain with insider trading based on non-public information about a proposed acquisition for which the Spanish investment bank was acting as an advisor. The SEC alleges that Cedric Cañas Maillard, who served as an executive advisor to Banco Santander's CEO, learned confidentially that the investment bank had been asked by one of the world's largest mining companies, BHP Billiton, to advise and help underwrite its proposed acquisition of Potash Corporation, one of the world's largest producers of fertilizer minerals. In the days leading up to a public announcement of BHP's bid, Cañas purchased Potash contracts-for-difference (CFDs), which were highly leveraged securities not traded in the U.S. but based on the price of U.S. exchange-listed Potash stock. The CFDs mirrored the movement and pricing of that stock. Cañas also tipped his close personal friend Julio Marín Ugedo about the potential acquisition and advised him to purchase Potash stock. Cañas and Marín sold their Potash securities after the public announcement for illicit profits of nearly $1 million combined. "Cañas used his position as an insider at an investment bank to trade CFDs based on confidential information about BHP's acquisition of Potash," said Daniel M. Hawke, Chief of the SEC's Market Abuse Unit. "To those who think they can mask their insider trading by trading CFDs rather than the underlying equity security, this case demonstrates our resolve to detect such trading and hold them accountable for violating the federal securities laws." The SEC's enforcement action against Cañas and Marín arises from its continuing investigation into suspicious Potash trading ahead of the Aug. 17, 2010, public announcement of BHP's acquisition bid. A former Banco Santander analyst agreed to pay more than $625,000 to settle insider trading charges by the SEC. According to the SEC's complaint against Cañas and Marín filed in U.S. District Court for the Southern District of New York, Australia-based BHP made an unsolicited $38.6 billion offer to purchase all of the stock of Canada-based Potash for $130 per share in cash. On a number of occasions between August 5 and August 17, Banco Santander's CEO and at least three other bank executives discussed the status of BHP's proposal with Cañas. On August 9, one executive informed Cañas that the $10.5 billion financing commitment requested by BHP had been approved by Banco Santander's executive committee. On August 11, Cañas attended a lunch meeting during which bank executives discussed the Potash acquisition, including the timing of the deal. The SEC alleges that Cañas purchased 30,000 Potash CFDs from August 9 to August 13 based on material, non-public information he learned about BHP's offer to acquire Potash. Cañas liquidated his entire CFD position in Potash following the August 17 public announcement for an illicit profit of $917,239.44. Cañas also communicated frequently with Marín that month, and Marín has admitted that he and Cañas discussed investing in Potash prior to his purchase of 1,393 shares of Potash common stock through two Spain-based brokerage accounts. By trading Potash stock based on material, non-public information, Marín generated net trading profits of $43,566 (a 28.47 percent return) in just one week. The SEC's complaint alleges that Cañas and Marín violated Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3. The SEC's complaint seeks disgorgement of ill-gotten gains with prejudgment interest, financial penalties, and orders of permanent injunction against Cañas and Marín. The SEC's investigation, which is continuing, has been conducted jointly by staff in the Enforcement Division's Market Abuse Unit and the Chicago Regional Office, including Kathryn A. Pyszka, Frank D. Goldman, and R. Kevin Barrett. The litigation will be led by Robert M. Moye, John E. Birkenheier, and Mr. Goldman. The Market Abuse Unit is led by Daniel M. Hawke, and the Chicago office is led by Merri Jo Gillette. The SEC appreciates the assistance of the Financial Industry Regulatory Authority, the Spanish Comisión Nacional del Mercado de Valores, and the Luxembourg Parquet Economique et Financier and Commission de Surveillance du Secteur Financier. (Press Rel. 2013-138) Prime Bank Scheme Promoters SanctionedMark A. Gelazela (Gelazela) and Steven E. Woods (Woods) have 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 them. Gelazela and Woods were enjoined from violating the antifraud and registration provisions of the securities laws, based on wrongdoing from October 2009 through mid-March 2010, when they and others operated a "prime bank" scheme. (Rel. ID-500) In the Matter of Ronald S. RollinsThe Commission announced that it has issued an Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order ("Order") against Ronald S. Rollins ("Rollins") of Plainfield, New Jersey. (Rel. 34-70058) Rollins is the former Chief Compliance Officer of Comprehensive Capital Management, Inc. ("CCM"), a registered investment adviser firm headquartered in Parsippany, New Jersey. In the Order, the Commission finds that from 2003 through February 2011, while associated with CCM, Timothy J. Roth ("Roth") advised individual clients and small business employers which offered non-qualified compensation plans to certain high-level employees through what were known as mutual fund option benefit plans ("Plans"). During that period, Rollins was Roth's direct supervisor. In connection with advising the Plan clients, Roth transferred mutual fund shares and cash from Plan client accounts at a custodial broker-dealer to a nominee account he controlled in the name of KeyOp Exercise, Inc. ("KeyOp account"). Between May 2004 and February 2011, Roth stole approximately $16 million from certain of his KeyOp Exercise Plan clients and individual clients. Roth accomplished this by using falsified transfer authorization forms and by abusing the standing authority several clients gave him over their advisory accounts. Roth used the stolen shares and cash to fund several companies he owned or controlled and to trade securities on margin in the KeyOp account for his own benefit. The Order also finds that Rollins failed reasonably to supervise Roth with a view to preventing Roth's violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder and Roth's aiding and abetting violations of Sections 206(1), 206(2), and 206(4) of the Advisers Act and Rule 206(4)-2 thereunder. Rollins could have prevented or discovered Roth's fraud had he reasonably implemented several of CCM's written policies and procedures. Among other failures, Rollins failed to reasonably implement CCM's policy requiring the daily review of transactions in client accounts. Rollins only reviewed purchases and sales within accounts. He did not review transfers of assets into or out of CCM's client accounts, including those of Roth's victims with KeyOp. In addition, the Order finds that Rollins willfully aided and abetted and caused CCM's violations of the Advisers Act's custody provisions found in Section 206(4) and Rule 206(4)-2 thereunder. From March 2003 through February 2011, Rollins failed to reasonably implement CCM's custody policy that prohibited the firm from having custody of client assets by permitting client assets to be held in the KeyOp account at the Custodial Broker-Dealer and failed to investigate whether the firm's advisers, including Roth, had been granted standing authority over client accounts. Because of Rollins' failure to reasonably implement CCM's policies, CCM continued to retain custody of client assets held at the Custodial Broker Dealer. CCM did not arrange for Roth's clients to receive copies of the KeyOp account statements nor arranged for annual surprise examinations of the KeyOp account or client accounts. The Order also finds that Rollins willfully aided and abetted and caused CCM's violations of the books and records provisions of Section 204 of the Advisers Act and Rules 204-2(a)(7) and 204-2(e)(1) thereunder by failing to maintain certain required records. Rollins also willfully aided and abetted and caused CCM's violations of Section 206(4) of the Advisers Act and Rule 206(4)-7 thereunder which require registered investment advisers to adopt and implement written policies and procedures reasonably designed to prevent violation of the Advisers Act. Rollins agreed to a cease-and-desist order requiring him to cease and desist from committing or causing any violations and any future violations of Sections 204 and 206(4) of the Advisers Act and Rules 204-2(a)(7), 204-2(e)(1), 206(4)-2, and 206(4)-7 thereunder. Rollins also agreed to a 12-month suspension from associating with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; a 3-year bar from associating in a supervisory capacity with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; a 12-month prohibition from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter; and a 12-month suspension from participating in any offering of a penny stock. The Commission is not imposing a civil penalty against Rollins based on his demonstrated inability to pay. In a related action, the Commission instituted settled administrative and cease-and-desist proceedings against Comprehensive Capital Management. (Rel. IA-3636) In that matter, CCM agreed to a cease-and-desist order and a censure, to retain an independent compliance consultant to conduct a review of CCM's compliance policies and procedures, and to pay a $120,000 civil penalty. In the Matter of Comprehensive Capital Management, Inc.The Commission announced that it has issued an Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order ("Order") against Comprehensive Capital Management, Inc. ("CCM"), a registered investment adviser firm headquartered in Parsippany, New Jersey. (Rel. IA-3636) In the Order, the Commission finds that from 2003 through February 2011, while associated with CCM, Timothy J. Roth ("Roth") advised individual clients and small business employers which offered non-qualified compensation plans to certain high-level employees through what were known as mutual fund option benefit plans ("Plans"). In connection with advising the Plan clients, Roth transferred mutual fund shares and cash from Plan client accounts at a custodial broker-dealer to a nominee account he controlled in the name of KeyOp Exercise, Inc. ("KeyOp account"). Between May 2004 and February 2011, Roth stole approximately $16 million from certain of his KeyOp Exercise Plan clients and individual clients. Roth accomplished this by using falsified transfer authorization forms and by abusing the standing authority several clients gave him over their advisory accounts. Roth used the stolen shares and cash to fund several companies he owned or controlled and to trade securities on margin in the KeyOp account for his own benefit. The Order finds that from 2003 through February 2011, CCM had custody of client assets when the assets were held in the KeyOp account at the custodial broker-dealer because Roth held or had access to client accounts through his control over the KeyOp Exercise entity and the KeyOp account. From December 2008 through February 2011, CCM also had custody of several clients' assets, which were held by the custodial broker-dealer because of the standing authority Roth had over these clients' accounts. CCM did not arrange for Roth's clients to receive copies of the KeyOp account statements nor arranged for annual surprise examinations of the KeyOp account or client accounts. The Order finds that CCM willfully violated Section 206(4) of the Investment Advisers Act of 1940 ("Advisers Act") and Rule 206(4)-2 thereunder. The Order also finds that CCM failed reasonably to supervise Roth with a view to preventing Roth's violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder and Roth's aiding and abetting violations of Sections 206(1), 206(2), and 206(4) of the Advisers Act and Rule 206(4)-2 thereunder. Ronald S. Rollins ("Rollins") served as Chief Compliance Officer for CCM and was Roth's direct supervisor at all relevant times. Rollins, and thus CCM, could have prevented or discovered Roth's fraud had Rollins reasonably implemented several of CCM's written policies and procedures. Among other failures, Rollins failed to reasonably implement CCM's policy requiring the daily review of transactions in client accounts. Rollins only reviewed purchases and sales within accounts. He did not review transfers of assets into or out of CCM's client accounts, including those of Roth's victims with KeyOp. The Order also finds that CCM failed to properly retain and monitor Roth's emails and failed to properly maintain investment adviser agreements with respect to two of Roth's Plan clients. Therefore, the Order finds that CCM willfully violated the books and records provisions of Section 204 of the Advisers Act and Rules 204-2(a)(7), 204-2(a)(8), 204-2(a)(9), 204-2(a)(10), 204-2(e)(1), 206(4)-2 thereunder. CCM also violated Section 206(4) of the Advisers Act and Rule 206(4)-7 thereunder which require registered investment advisers to adopt and implement written policies and procedures reasonably designed to prevent violation of the Advisers Act. CCM agreed to pay a $120,000 civil penalty. The firm also agreed to a censure and a cease and desist order. CCM also agreed to retain an Independent Compliance Consultant to conduct a review of CCM's compliance policies and procedures. In a related action, the Commission instituted settled administrative and cease-and-desist proceedings against Ronald S. Rollins, CCM's former Chief Compliance Officer and Roth's direct supervisor. (Rel. 34-70058) Rollins agreed to a cease-and-desist order requiring him to cease and desist from committing or causing any violations and any future violations of Sections 204 and 206(4) of the Advisers Act and Rules 204-2(a)(7), 204-2(e)(1), 206(4)-2, and 206(4)-7 thereunder. Rollins also agreed to a 12-month suspension from associating with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; a 3-year bar from associating in a supervisory capacity with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; a 12-month prohibition from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter; and a 12-month suspension from participating in any offering of a penny stock. The Commission is not imposing a civil penalty against Rollins based on his demonstrated inability to pay. Former CFO Agrees to Settle Charges of Evading Internal Controls to Pay for Unauthorized Travel and Entertainment ExpensesOn July 30, 2013, the Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) as to Subramanian Krishnan (Krishnan). The Order finds that Krishnan, the former Chief Financial Officer (CFO) of Digi International, Inc. (Digi), on September 28, 2012, the Commission filed a complaint against Krishnan in SEC v. Subramanian Krishnan (Civil Action No. 0:12-CV-02495-PAM-JJG) in the United States District Court for the District of Minnesota. On October 17, 2013, the court entered an order permanently enjoining Krishnan, by consent, from future violations of Section 17(a) of the Securities Act of 1933 ("Securities Act"); Sections 10(b) and 13(b)(5) of the Exchange Act and Rules 10b-5, 13b2-1, 13b2-2, and 13a-14 thereunder, and aiding and abetting violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder; and from acting as an officer or director of a public company for a period of time to be determined by stipulation or subsequent motion by the Commission. On July 15, 2013, Krishnan was also ordered to pay a $60,000 civil money penalty and is prohibited from acting as an officer or director a public company for a period of five years from the date of the Commission's complaint. The Commission's complaint alleged that Krishnan engaged in a course of conduct which resulted in Digi filing inaccurate reports and accompanying certifications in Digi's annual reports on Form 10-K and Digi's quarterly reports on Form 10-Q for the period from March 2005 through May 2010. The complaint also alleged that Krishnan engaged in certain actions and inactions: a result of which corporate funds were used to pay for unauthorized expenses. The complaint further alleged that Krishnan aided and abetted Digi's violations by making and keeping inaccurate books and records, failing to maintain a system of adequate internal controls and making inaccurate representations to auditors. Krishnan, without admitting or denying the findings, consented to the issuance of the Order, which suspends him from appearing or practicing before the Commission as an accountant with the right to apply for reinstatement after five years from the date of the Order. (Rel. 34-70074) Commission Files Settled Charges against John M. Sensenig, Founder and Owner of Conestoga Log Cabin Leasing, Inc. for Fraud and Unregistered Sales of Securities ViolationsOn July 29, 2013, the Commission filed a complaint against John M. Sensenig (Sensenig), in the United States District Court for the Eastern District of Pennsylvania alleging that Sensenig, a member of the Mennonite community and the founder and owner of Conestoga Log Cabin Leasing, Inc. and other affiliated companies, violated the antifraud and securities registration provisions of the federal securities laws. The Commission's complaint alleges that from at least 1997 until 2009, Sensenig raised millions of dollars from more than 1,500 fellow members of the Amish and Mennonite communities through the offer and sale of Promissory Notes. Sensenig used the proceeds to finance a collection of start-up companies he founded and controlled, the largest of which was Conestoga Log Cabin Leasing, Inc. More than half of the funds raised by Sensenig were returned to investors. The complaint further alleges that Sensenig made material misrepresentations and omissions to investors including failing to disclose the use of proceeds, the risks associated with the investment, and remedial sanctions placed on him by a state securities regulator. The Commission further alleges that Sensenig failed to register the offering of the Promissory Notes although no exemption from registration applies. The complaint alleges that this conduct violated Sections 5(a), 5(c), 17(a)(2) and 17(a)(3) of the Securities Act of 1933 (Securities Act). Without admitting or denying the allegations in the complaint, Sensenig consented to the entry of a final judgment, subject to the court's approval, in which he is: (i) permanently enjoined from further violations of Sections 5 and 17(a) of the Securities Act, (ii) permanently enjoined from direct or indirect participation in any unregistered offerings of securities; (iii) ordered to pay a civil penalty in the amount of $131,500; and (iv) ordered to surrender for cancellation all shares of stock he owns in two privately held companies formerly affiliated with Conestoga Log Cabin Leasing, Inc. The Commission is not seeking the imposition of a higher penalty in light of Sensenig's financial condition. (LR-22764) Investment company ordersExchange Traded Concepts, LLC, et al.A notice has been issued giving interested persons until August 23, 2013, to request a hearing on an application filed by Exchange Traded Concepts, LLC, 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 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. The order would supersede a prior order. (Rel. IC-30634) Notice of Applications for Deregistration under the Investment Company Act of 1940For the month of July 2013, a notice has been issued giving interested persons until August 20, 2013, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act of 1940 declaring that the applicant has ceased to be an investment company: JHW Pan Asia Strategies TE Fund, LLC [File No. 811-22381] GENCAP Strategies LLC, et al.A notice has been issued giving interested persons until August 26, 2013, to request a hearing on an application filed by GENCAP Strategies LLC, et al., for an order to permit: (a) series of certain actively managed 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 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-30365) ERNY Financial ETF Trust, et al.A notice has been issued giving interested persons until August 26, 2013, to request a hearing on an application filed by ERNY Financial ETF Trust, et al., for an order to permit: (a) certain open-end management investment companies or series thereof 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-30636) CITADEL LLC, et al.An order has been issued on an application filed by Citadel LLC, et al. to amend a prior order exempting certain limited liability companies, limited partnerships and other entities formed for the benefit of eligible employees of Citadel LLC and its affiliates from certain provisions of the Investment Company Act of 1940 (Act). Each such entity will be an "employees' securities company" within the meaning of Section 2(a)(13) of the Act (ESC). The requested order would reflect the amendment of certain mandatory redemption terms of the ESCs to permit deferral of redemption in certain circumstances. (Rel. IC-30637) BofA Funds Series Trust, et alAn order has been issued on an application filed by BofA Funds Series Trust, et al. under Sections 6(c) and 17(b) of the Investment Company Act of 1940 (Act) for an exemption from Section 17(a) of the Act. The order permits certain registered investment companies (Funds) to engage in principal transactions involving tax-exempt money market instruments and repurchase agreements with a broker‑dealer that is an affiliated person of an affiliated person of the Funds. (Rel. IC-30638) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by C2 Options Exchange, Incorporated relating to amending Exchange rules to clarify Rules 6.1 and 6.32 (SR-C2-2013-027) 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. 34-70060) A proposed rule change filed by The NASDAQ Stock Market LLC to amend Chapter V, Section 6, Obvious Errors (SR-NASDAQ-2013-095) 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. 34-70061) A proposed rule change filed by NASDAQ OMX BX, Inc. to permit the nullification of trades involving Catastrophic Errors (SR-BX-2013-042) 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. 34-70062) A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Fees Schedule to include a $60 session fee for the Series 56 (S501) continuing education (SR-CBOE-2013-078) 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. 34-70064) A proposed rule change filed by NYSE MKT LLC modifying the content of the NYSE MKT Trades digital media data feed ( SR-NYSEMKT-2013-64) 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. 34-70065) A proposed rule change filed by the New York Stock Exchange LLC modifying the content of the NYSE Trades digital media data feed (SR-NYSE-2013-53) 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. 34-70066) A proposed rule change filed by NYSE Arca, Inc. modifying the content of the NYSE Arca Trades digital media data feed (SR-NYSEARCA-2013-74) 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. 34-70067) A proposed rule change filed by the Miami International Securities Exchange LLC to amend the MIAX Fee Schedule (SR-Miax-2013-36) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 29th, 2013. (Rel. 34-70069) A proposed rule change filed by BOX Options Exchange LLC to amend BOX Rule 4170 (Options Communications) 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. 34-70070) A proposed rule change filed by NYSE MKT LLC to amend the NYSE Amex Options Fee Schedule to increase the royalty fees applicable to non-Customer transactions in options on the Russell 2000 Index (SR-NYSEMKT-2013-65) 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. 34-70071) A proposed rule change filed by NYSE Arca, Inc. to amend NYSE Arca Equities Rule 7.31(a)(2) to specify that the Exchange would use the last official closing price to calculate the market order trading collar if there is no consolidated last sale price that trading day (SR-NYSEArca-2013-75) 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. 34-70075) Notice of Proposed Rule ChangeThe International Securities Exchange, LLC filed with the Securities and Exchange Commission a proposed rule change (SR-ISE-2013-42) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to list options on the Nations VolDex Index. Publication is expected in the Federal Register during the week of July 29th, 2013. (Rel. 34-70059) The BOX Options Exchange, LLC, has filed a proposed rule change (SR-BOX-2013-38) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder that modifies the complex order filter. Publication is expected in the Federal Register during the week of July 29th, 2013. (Rel. 34-70063) Approval of Proposed Rule ChangeThe Commission has approved a proposed rule change filed by the Fixed Income Clearing Corporation (FICC) pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934 to extend the pilot program for certain Government Securities Division rules relating to the GCF Repo® Service (SR-FICC-2013-06). Publication is expected in the Federal Register during the week of July 29th, 2013. (Rel. 34-70068) The Commission has approved a proposed rule change (SR-OCC-2013-09) filed by The Options Clearing Corporation (OCC), as modified by Amendment No. 1, under Section 19(b)(2) of the Securities Exchange Act of 1934 to separate the powers and duties currently combined in the office of OCC's Chairman into two offices, Chairman and President, and create an additional directorship to be occupied by the President. Publication is expected in the Federal Register during the week of July 29th, 2013. (Rel. 34-70076) Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1The Commission provided notice of filing of Amendment No. 1 and granted accelerated approval of a proposed rule change (SR-NYSEArca-2013-52), as modified by Amendment No. 1 thereto, submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade shares of the First Trust Morningstar Managed Futures Strategy Fund under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of July 29th, 2013. (Rel. 34-70055) 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 CHANGING TECHNOLOGIES, INC., 22037 SEASHORE CIRCLE, ESTERO, FL, 33928,
2392482377 - 3,000,000 ($30,000.00) Equity, (File 333-190201 - Jul. 29) (BR. 03)
S-11 SUPERTEL HOSPITALITY INC, 1800 WEST PASEWALK AVE STE 200, NORFOLK, NE, 68701,
4023712520 - 0 ($115,000,000.00) Equity, (File 333-190202 - Jul. 29) (BR. 08B)
S-1 ADCARE HEALTH SYSTEMS, INC, 1145 HEMBREE ROAD, ROSWELL, GA, 30076,
404-781-2895 - 0 ($15,526,500.00) Equity, (File 333-190203 - Jul. 29)
(BR. 11A)
S-8 RADCOM LTD, 24 RAOUL WALLENBERG STREET, TEL AVIV, L3, 69719,
2123108007 - 879,417 ($4,286,753.00) Equity, (File 333-190207 -
Jul. 29) (BR. 03B)
S-8 TEREX CORP, 200 NYALA FARM ROAD, WESTPORT, CT, 06880, 2032227170 -
0 ($87,150,000.00) Equity, (File 333-190214 - Jul. 29) (BR. 10B)
S-1 STELLA BLU, INC, 270 GREYSON PLACE, TEANECK, NJ, 07666, 8664163547 -
3,500,000 ($350,000.00) Equity, (File 333-190215 - Jul. 29) (BR. 03)
S-3ASR PPG INDUSTRIES INC, ONE PPG PL 40 EAST, PITTSBURGH, PA, 15272,
4124343131 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-190216 - Jul. 29) (BR. 06C)
S-3 ECOTALITY, INC., POST MONTGOMERY CENTER, ONE MONTGOMERY STREET, SUITE 2525,
SAN FRANCISCO, CA, 94104, 480-992-3000 - 1 ($50,000,000.00) Unallocated (Universal) Shelf,
(File 333-190218 - Jul. 29) (BR. 10A)
S-8 LIFEPOINT HOSPITALS, INC., 103 POWELL COURT, BRENTWOOD, TN, 37027,
615-372-8500 - 0 ($179,064,000.00) Equity, (File 333-190219 - Jul. 29) (BR. 01B)
S-8 TrueBlue, Inc., 253-383-9101 - 1,950,000 ($46,566,000.00) Equity,
(File 333-190220 - Jul. 29) (BR. 11A)
S-8 QLT INC/BC, 6047077000 - 4,000,000 ($17,220,000.00) Equity,
(File 333-190221 - Jul. 29) (BR. 01B)
S-8 ORAMED PHARMACEUTICALS INC., 2 ELZA STREET, JERUSALEM, L3, 93706,
011 972-54-7909058 - 333,334 ($2,295,005.00) Equity, (File 333-190222 - Jul. 29) (BR. 01B)
S-8 VOXX International Corp, 180 MARCUS BLVD, HAUPPAUGE, NY, 11788,
6312317750 - 17,500 ($236,600.00) Equity, (File 333-190223 - Jul. 29)
(BR. 10B)
S-1 Foundation Medicine, Inc., ONE KENDALL SQUARE, SUITE B3501, CAMBRIDGE, MA, 02139,
617-418-2200 - 0 ($86,250,000.00) Equity, (File 333-190226 - Jul. 29) (BR. 09)
S-1 PLAINS GP HOLDINGS LP, 333 CLAY ST, SUITE 1600, HOUSTON, TX, 77002,
713-646-4100 - 0 ($1,000,000,000.00) Equity, (File 333-190227 -
Jul. 29) (BR. )
S-8 FIRST FINANCIAL HOLDINGS, INC., 520 GERVAIS STREET, COLUMBIA, SC,
29201, 803-231-3581 - 0 ($546,300.00) Equity, (File 333-190228 -
Jul. 29) (BR. 07B)
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
8X8 INC /DE/ DE 5.07 07/25/13
A. H. Belo Corp DE 2.02,9.01 07/29/13
ADVANCED ENERGY INDUSTRIES INC DE 2.02,9.01 07/29/13
ADVENT SOFTWARE INC /DE/ DE 2.02,9.01 07/29/13
AES CORP DE 1.01,2.03,9.01 07/29/13
AGREE REALTY CORP DE 2.02,9.01 07/29/13
AIR INDUSTRIES GROUP, INC. DE 2.02,9.01 07/29/13
ALLBRITTON COMMUNICATIONS CO DE 8.01,9.01 07/29/13
ALLIANCE ONE INTERNATIONAL, INC. VA 8.01,9.01 07/26/13 AMEND
ALLIANT ENERGY CORP WI 5.02 07/29/13
Allison Transmission Holdings Inc DE 2.02,9.01 07/29/13
American Capital Agency Corp 2.02,9.01 07/29/13
AMERICAN EXPRESS CREDIT CORP DE 9.01 07/29/13
American Realty Capital Properties, I MD 1.01,2.03, 07/23/13
7.01,8.01,9.01
AMKOR TECHNOLOGY INC DE 2.02,9.01 07/29/13
AMYRIS, INC. DE 5.02 07/23/13
AMYRIS, INC. DE 1.01,2.03,3.02 07/26/13
ANADARKO PETROLEUM CORP DE 2.02,7.01,9.01 07/29/13
ANGSTRON HOLDINGS Corp NY 5.03,5.07,8.01,9.01 07/23/13
Antero Resources LLC DE 2.02,9.01 07/29/13
ANWORTH MORTGAGE ASSET CORP MD 2.02,9.01 07/29/13
ARMSTRONG WORLD INDUSTRIES INC PA 2.02,7.01,9.01 07/29/13
ARRAY BIOPHARMA INC DE 1.01,9.01 07/23/13
Aspect Software Group Holdings Ltd. DE 8.01,9.01 07/26/13
ATWOOD OCEANICS INC TX 7.01,9.01 07/29/13
AVNET INC NY 5.02,9.01 07/29/13
Bankrate, Inc. DE 2.02,2.04,8.01,9.01 07/25/13
BARNES & NOBLE INC DE 1.01,4.02,9.01 07/25/13
BEACON ENTERPRISE SOLUTIONS GROUP INC NV 5.02 07/29/13
BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 07/29/13
Blue Earth, Inc. NV 1.01,2.01,9.01 07/24/13
BMC SOFTWARE INC DE 7.01,9.01 07/29/13
Boardwalk Pipeline Partners, LP DE 2.02,9.01 07/29/13
BOSTON PROPERTIES INC DE 1.01,2.03,9.01 07/26/13
BOSTON PROPERTIES LTD PARTNERSHIP DE 1.01,2.03,9.01 07/26/13
Boston Therapeutics, Inc. DE 1.01,3.02,9.01 07/23/13
BRYN MAWR BANK CORP PA 8.01,9.01 07/29/13
CAESARS ENTERTAINMENT Corp DE 2.02,9.01 07/29/13
CAL MAINE FOODS INC DE 2.02,9.01 07/29/13
Caldera Pharmaceuticals Inc DE 1.01,3.02,5.02,9.01 07/25/13
CAMCO FINANCIAL CORP DE 2.02,9.01 07/29/13
Capitol Federal Financial Inc MD 2.02,9.01 07/29/13
CBIZ, Inc. DE 2.02,7.01,9.01 07/29/13
CENTER BANCORP INC NJ 2.02,9.01 07/25/13
Charter Financial Corp MD 7.01,9.01 07/29/13
Chelsea Therapeutics International, L DE 8.01,9.01 07/29/13
China Integrated Energy, Inc. DE 5.02,8.01 05/31/13
China United Insurance Service, Inc. DE 1.01,9.01 06/10/13
CHUY'S HOLDINGS, INC. DE 5.07 07/25/13
CITIZENS HOLDING CO /MS/ MS 2.02,7.01,9.01 07/26/13
CITY HOLDING CO WV 5.02,9.01 07/26/13
CleanTech Innovations, Inc. NV 3.01,9.01 07/24/13
CNA FINANCIAL CORP DE 2.02,9.01 07/29/13
CNO Financial Group, Inc. DE 2.02,9.01 07/29/13
CNO Financial Group, Inc. DE 2.02,9.01 07/29/13
COBIZ FINANCIAL INC CO 7.01 07/29/13
COCA-COLA ENTERPRISES, INC. DE 2.02 07/25/13
COGNEX CORP MA 2.02,8.01,9.01 07/29/13
Colfax CORP DE 5.02,7.01 07/29/13
CombiMatrix Corp DE 3.02 07/23/13
CombiMatrix Corp DE 5.02 07/26/13 AMEND
COMMUNITY HEALTH SYSTEMS INC DE 2.02,7.01,9.01 07/29/13
COMMUNITY TRUST BANCORP INC /KY/ KY 7.01,9.01 06/30/13
COMPASS MINERALS INTERNATIONAL INC DE 2.02,9.01 07/29/13
COMPLIANCE SYSTEMS CORP 5.03,9.01 07/25/13
COMPUWARE CORP MI 2.02,9.01 07/23/13
COMSCORE, INC. DE 5.07 07/23/13
COMSTOCK RESOURCES INC NV 2.02,9.01 06/30/13
CORNERSTONE BANCSHARES INC 2.02,9.01 07/29/13
CORONADO BIOSCIENCES INC DE 8.01,9.01 07/29/13
CORPORATE EXECUTIVE BOARD CO DE 2.02,8.01,9.01 07/26/13
Corporate Resource Services, Inc. DE 8.01,9.01 07/29/13
COUSINS PROPERTIES INC GA 2.02,9.01 07/29/13
COUSINS PROPERTIES INC GA 1.01,2.03, 07/29/13
7.01,8.01,9.01
CVR ENERGY INC DE 2.02,7.01,9.01 07/29/13
CVR PARTNERS, LP DE 2.02,7.01,9.01 07/29/13
CVR Refining, LP DE 2.02,7.01,9.01 07/29/13
DATARAM CORP NJ 2.02,9.01 07/29/13
DELTA NATURAL GAS CO INC KY 5.02 07/26/13
DENNYS CORP DE 2.02,9.01 07/29/13
DICE HOLDINGS, INC. DE 5.02,8.01,9.01 07/23/13
DONALDSON CO INC DE 5.02,9.01 07/26/13
DSP GROUP INC /DE/ DE 2.02,9.01 07/29/13
DYNAVAX TECHNOLOGIES CORP DE 2.02,9.01 07/29/13
EASTMAN CHEMICAL CO DE 2.02,9.01 07/29/13
Education Realty Trust, Inc. MD 2.02,7.01,9.01 07/29/13
Education Realty Trust, Inc. MD 2.02,7.01,9.01 07/29/13 AMEND
EMCOR GROUP INC DE 2.01,9.01 07/29/13
ENB Financial Corp PA 5.02,9.01 07/29/13
EnerJex Resources, Inc. NV 1.01,7.01,9.01 07/23/13
ENTERPRISE FINANCIAL SERVICES CORP DE 7.01,9.01 07/29/13
EnviraTrends, Inc WY 4.01,8.01 07/26/13
EPR PROPERTIES MD 1.01,2.03,9.01 07/23/13
Erickson Air-Crane Inc. DE 2.02,9.01 07/29/13
ESCALADE INC IN 1.01,2.03,9.01 07/29/13
EWaste Systems, Inc. NV 5.03,9.01 07/26/13
Express Scripts Holding Co. DE 2.02,5.02,7.01,9.01 07/29/13
Federal Home Loan Bank of Atlanta X1 2.02,8.01,9.01 07/25/13
Federal Home Loan Bank of Cincinnati X1 2.02,9.01 07/29/13
Federal Home Loan Bank of Dallas 2.02,9.01 07/29/13
Federal Home Loan Bank of Des Moines X1 2.02,7.01,9.01 07/29/13
Federal Home Loan Bank of Indianapoli X1 2.02,9.01 07/29/13
Federal Home Loan Bank of New York X1 2.02,8.01,9.01 07/29/13
Federal Home Loan Bank of Pittsburgh PA 2.02,7.01,9.01 07/29/13
Federal Home Loan Bank of Topeka 2.02,7.01,9.01 07/29/13
FIELDPOINT PETROLEUM CORP CO 7.01,9.01 07/29/13
FIRST CAPITAL INC IN 2.02,9.01 07/26/13
First Connecticut Bancorp, Inc. MD 7.01,9.01 07/29/13
First Connecticut Bancorp, Inc. MD 2.02,9.01 07/29/13
FIRST FINANCIAL BANCORP /OH/ OH 7.01,9.01 07/29/13
FIRST FINANCIAL CORP /IN/ IN 2.02,9.01 07/29/13
FIRST FINANCIAL HOLDINGS, INC. SC 2.01,2.03,3.03, 07/26/13
5.02,5.03,9.01
FIRST POTOMAC REALTY TRUST MD 5.02,9.01 07/23/13
FIRST RELIANCE BANCSHARES INC SC 5.02,9.01 07/29/13
FIVE STAR QUALITY CARE INC 2.02,9.01 07/29/13
FLEETCOR TECHNOLOGIES INC DE 5.02 07/25/13
FLOTEK INDUSTRIES INC/CN/ DE 2.02,7.01,9.01 07/29/13
FLUSHING FINANCIAL CORP DE 8.01,9.01 07/29/13
FMC CORP DE 2.02,9.01 07/29/13
FNB BANCORP/CA/ 2.02,9.01 07/29/13
FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 8.01,9.01 07/26/13
FRANKLIN RESOURCES INC DE 2.02,9.01 07/29/13
FS Investment CORP MD 8.01,9.01 07/29/13
Fuelstream INC DE 5.02 07/24/13
FuLuCai Productions Ltd. NV 5.02 07/23/13
GANNETT CO INC /DE/ DE 2.03,8.01,9.01 07/29/13
General Growth Properties, Inc. DE 2.02,7.01,9.01 07/29/13
Gevo, Inc. DE 8.01 07/26/13
Gigamon Inc. DE 2.02,5.02,9.01 07/23/13
Gigamon Inc. DE 5.02 07/29/13
GLADSTONE INVESTMENT CORPORATION\DE DE 2.02,9.01 07/29/13
GOLDEN QUEEN MINING CO LTD A1 3.02 07/29/13
GOOD TIMES RESTAURANTS INC NV 8.01,9.01 07/29/13
GOOD TIMES RESTAURANTS INC NV 7.01,9.01 07/29/13
GRANDPARENTS.COM, INC. DE 1.01 07/18/13
Green Innovations Ltd. 1.01,3.02,9.01 07/24/13
GREENE COUNTY BANCORP INC DE 2.02,9.01 07/24/13
GREENLIGHT CAPITAL RE, LTD. 2.02 07/29/13
Guaranty Bancorp DE 7.01,9.01 07/29/13
HAEMONETICS CORP MA 2.02,9.01 07/26/13
Hanesbrands Inc. MD 5.02 07/23/13
HANSEN MEDICAL INC DE 8.01 07/25/13
HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02 07/29/13
HEARTLAND FINANCIAL USA INC DE 2.02,9.01 07/29/13
HEMISPHERX BIOPHARMA INC DE 5.02 07/23/13
HERBALIFE LTD. E9 2.02,8.01,9.01 07/29/13
HERITAGE COMMERCE CORP CA 7.01,9.01 07/29/13
HERITAGE OAKS BANCORP CA 2.02,8.01,9.01 07/26/13
HERTZ CORP DE 2.02,7.01,9.01 07/29/13
HERTZ GLOBAL HOLDINGS INC 2.02,7.01,9.01 07/29/13
HEXCEL CORP /DE/ DE 5.02 07/22/13 AMEND
HF FINANCIAL CORP DE 2.02,8.01,9.01 07/29/13
Home Federal Bancorp, Inc. of Louisia LA 2.02,9.01 07/29/13
HomeStreet, Inc. WA 8.01,9.01 07/26/13
HomeStreet, Inc. WA 2.02,8.01,9.01 07/29/13
HomeTrust Bancshares, Inc. MD 2.02,9.01 07/29/13
HOPFED BANCORP INC DE 2.02,9.01 07/26/13
HPC Acquisitions, Inc. NV 4.01,9.01 07/23/13
ICAHN ENTERPRISES L.P. DE 7.01,9.01 07/29/13
IDERA PHARMACEUTICALS, INC. DE 3.03,5.02, 07/26/13
5.03,5.07,9.01
Imperial Holdings, Inc. 8.01 07/29/13
Independence Energy Corp. NV 1.01,3.02,9.01 07/22/13
INDEPENDENT BANK CORP /MI/ MI 2.02,9.01 07/29/13
Innophos Holdings, Inc. 8.01,9.01 07/29/13
INTEGRA LIFESCIENCES HOLDINGS CORP DE 1.01,8.01,9.01 07/23/13
INTEGRATED DEVICE TECHNOLOGY INC DE 5.03,9.01 07/23/13
INTER PARFUMS INC DE 8.01 07/29/13
INTERACTIVE DATA CORP/MA/ DE 2.02,9.01 07/29/13
INTEVAC INC CA 2.02,9.01 07/29/13
INTUITIVE SURGICAL INC DE 1.01,7.01,9.01 07/25/13
Investors Bancorp Inc DE 2.02,8.01,9.01 07/29/13
Iron Eagle Group, Inc. DE 5.02 07/19/13
J&J SNACK FOODS CORP NJ 2.02,9.01 07/29/13
JAMBA, INC. DE 5.02 07/25/13
Jones Energy, Inc. DE 1.01,7.01,9.01 07/23/13
JPMORGAN CHASE & CO DE 7.01,9.01 07/26/13
JPMORGAN CHASE & CO DE 3.03,5.03,8.01,9.01 07/29/13
KAMAN CORP CT 2.02,9.01 07/29/13
KEATING CAPITAL INC 7.01,9.01 07/29/13
L2 MEDICAL DEVELOPMENT CO NV 4.01,9.01 07/24/13 AMEND
LAKE SHORE BANCORP, INC. 2.02,9.01 07/29/13
Landmark Apartment Trust of America, 2.01,3.02,9.01 07/23/13
LGL GROUP INC DE 8.01,9.01 07/29/13
LINCOLN ELECTRIC HOLDINGS INC OH 2.02,9.01 07/29/13
LINCOLN ELECTRIC HOLDINGS INC OH 5.02,8.01,9.01 07/26/13
LOCAL Corp DE 1.01,2.01,9.01 07/22/13 AMEND
LOEWS CORP DE 2.02,9.01 07/29/13
Lone Pine Resources Inc. DE 1.01,2.02, 07/26/13
2.03,7.01,9.01
LOTON, CORP NV 1.01,9.01 05/13/13
LUMINEX CORP DE 2.02,9.01 07/29/13
M&F BANCORP INC /NC/ NC 5.02,9.01 07/23/13
MAGELLAN HEALTH SERVICES INC DE 8.01 07/25/13
MAGNUM HUNTER RESOURCES CORP DE 5.02 07/29/13
MAINSOURCE FINANCIAL GROUP IN 2.02,8.01,9.01 07/29/13
MANITOWOC CO INC WI 2.02,9.01 07/29/13
MASCO CORP /DE/ DE 2.02,9.01 07/29/13
MATERION Corp 7.01 07/29/13
Mercedes-Benz Auto Receivables Trust DE 8.01,9.01 07/25/13
MERCURY GENERAL CORP CA 2.02,9.01 07/29/13
MERIDIAN INTERSTATE BANCORP INC 7.01,9.01 07/29/13
MERRIMACK PHARMACEUTICALS INC DE 5.02 07/24/13
MetroCorp Bancshares, Inc. TX 7.01,9.01 07/29/13
METTLER TOLEDO INTERNATIONAL INC/ DE 2.03,9.01 07/29/13
MGIC INVESTMENT CORP WI 5.02 07/24/13
MICHAEL BAKER CORP PA 8.01,9.01 07/29/13
MICRON TECHNOLOGY INC DE 7.01,9.01 07/29/13
MIDSOUTH BANCORP INC LA 2.02,8.01,9.01 07/26/13
MILLER ENERGY RESOURCES, INC. TN 5.02,7.01,9.01 07/25/13
Minerco Resources, Inc. NV 1.01,9.01 06/26/13
MOLINA HEALTHCARE INC DE 7.01,9.01 07/29/13
MOSAIC CO 7.01,9.01 07/29/13
MVC CAPITAL, INC. DE 5.02,7.01,9.01 07/23/13
MWI Veterinary Supply, Inc. DE 2.02,9.01 07/29/13
NAKED BRAND GROUP INC. NV 1.01,2.03,9.01 07/26/13
NASH FINCH CO DE 2.02,8.01,9.01 07/25/13
NATIONAL INSTRUMENTS CORP /DE/ DE 2.02,9.01 07/29/13
NATIONAL PRESTO INDUSTRIES INC WI 2.02,9.01 07/26/13
NCL CORP Ltd. D0 2.02,9.01 07/29/13
NETSOL TECHNOLOGIES INC NV 5.02,9.01 07/29/13
New Source Energy Partners L.P. DE 1.01,8.01,9.01 07/23/13
NISSAN AUTO RECEIVABLES CORP II DE 1.01,8.01,9.01 07/24/13
NISSAN AUTO RECEIVABLES CORP II DE 8.01,9.01 07/24/13
NORTHEAST COMMUNITY BANCORP INC X1 5.02 07/24/13
NORTHEAST UTILITIES MA 2.02,9.01 07/29/13
Northfield Bancorp, Inc. DE 2.02,8.01,9.01 07/29/13
Norwegian Cruise Line Holdings Ltd. 2.02,9.01 07/29/13
NPC Restaurant Holdings, LLC DE 7.01,9.01 07/29/13
NTELOS HOLDINGS CORP 5.02 07/23/13
NUCOR CORP DE 1.01,2.03,9.01 07/24/13
NUTRI SYSTEM INC /DE/ DE 2.02,7.01,9.01 07/29/13
OCEANFIRST FINANCIAL CORP DE 7.01,9.01 07/29/13
OFFICEMAX INC DE 5.02,8.01,9.01 07/23/13
OFS Capital Corp DE 8.01,9.01 07/29/13
OLD NATIONAL BANCORP /IN/ IN 2.02,9.01 07/29/13
Omagine, Inc. DE 8.01 07/16/13
OMNICOM GROUP INC. NY 1.01,7.01,9.01 07/27/13
ONE WORLD HOLDINGS, INC. NV 5.03 07/29/13
Oneida Financial Corp. MD 2.02,9.01 07/25/13
Oritani Financial Corp DE 7.01,9.01 07/29/13
Owens Corning DE 2.03,9.01 07/26/13
Park Sterling Corp NC 7.01,9.01 07/29/13
PATHFINDER BANCORP INC DE 2.02,9.01 07/29/13
Pathfinder Cell Therapy, Inc. DE 2.03,3.02 07/24/13
Patriot Berry Farms, Inc. NV 1.02 07/24/13
PEABODY ENERGY CORP DE 5.03,9.01 07/26/13
Pebblebrook Hotel Trust MD 2.02,9.01 07/25/13
PENSECO FINANCIAL SERVICES CORP PA 2.02,8.01,9.01 07/29/13
PENSKE AUTOMOTIVE GROUP, INC. DE 1.01,7.01,9.01 07/26/13
PEREGRINE SEMICONDUCTOR CORP DE 2.02,9.01 07/29/13
PERRIGO CO MI 7.01,8.01,9.01 07/28/13
PERRIGO CO MI 1.01,5.02,9.01 07/28/13
PETMED EXPRESS INC FL 5.07 07/26/13
PIONEER NATURAL RESOURCES CO DE 5.02,9.01 07/29/13
PLUM CREEK TIMBER CO INC DE 2.02,9.01 07/29/13
PMC SIERRA INC DE 2.02,9.01 07/29/13
PMI GROUP INC DE 1.03,9.01 07/25/13
POPE RESOURCES LTD PARTNERSHIP DE 2.02,9.01 07/25/13
PPG INDUSTRIES INC PA 1.01,9.01 07/28/13
PPG INDUSTRIES INC PA 8.01,9.01 07/29/13
PREMIER ALLIANCE GROUP, INC. DE 1.01 07/25/13
QLIK TECHNOLOGIES INC DE 5.02,9.01 07/29/13
QUAKER CHEMICAL CORP PA 2.02,9.01 07/29/13
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 5.07 07/25/13
Regency Energy Partners LP DE 7.01,8.01,9.01 07/26/13
Renewable Energy Acquisition Corp. NV 4.01,9.01 07/23/13
REPUBLIC AIRWAYS HOLDINGS INC DE 7.01,9.01 07/26/13
RESOURCES CONNECTION INC DE 8.01,9.01 07/25/13
ROPER INDUSTRIES INC DE 2.02,9.01 07/29/13
RR Donnelley & Sons Co DE 2.02,9.01 07/29/13
SAKS INC TN 8.01,9.01 07/28/13
SAKS INC TN 1.01,9.01 07/28/13
SALIX PHARMACEUTICALS LTD 8.01,9.01 07/25/13
Sanwire Corp 8.01 07/29/13
SECURITY FEDERAL CORP SC 2.02,9.01 07/29/13
SEQUENTIAL BRANDS GROUP, INC. DE 1.01,3.02,7.01,9.01 07/25/13
Shire plc 8.01,9.01 07/29/13
SILVERSTAR MINING CORP. NV 1.01,2.03,3.02,9.01 07/22/13 AMEND
SIMON PROPERTY GROUP INC /DE/ DE 2.02,7.01,9.01 07/29/13
SMSA CRANE ACQUISITION CORP. NV 4.01,9.01 07/24/13 AMEND
SMSA GAINESVILLE ACQUISITION CORP. NV 4.01,9.01 07/24/13 AMEND
SMSA Humble Acquisition Corp NV 4.01,9.01 07/24/13 AMEND
SolarWinds, Inc. DE 8.01 07/29/13
SONUS NETWORKS INC DE 2.02,5.02,9.01 07/23/13
SOURCEFIRE INC DE 8.01,9.01 07/29/13
SOURCEFIRE INC DE 2.02,9.01 07/29/13
SPHERIX INC DE 1.01,2.01,3.02,9.01 07/24/13
SPRINGLEAF FINANCE CORP IN 8.01 07/29/13
ST JOE CO FL 7.01 07/29/13
STATE BANK FINANCIAL CORP GA 5.02 07/24/13
STERLING CONSTRUCTION CO INC DE 2.02,9.01 07/29/13
Stevia Corp NV 1.01,3.02,9.01 07/25/13
SUN BANCORP INC /NJ/ NJ 5.02 07/25/13
SUN COMMUNITIES INC MD 5.02,5.03,5.07,9.01 07/23/13
SUNESIS PHARMACEUTICALS INC DE 2.02,9.01 07/29/13
SYNTA PHARMACEUTICALS CORP 7.01,8.01,9.01 07/29/13
TECH DATA CORP FL 1.01 07/29/13
TENNECO INC DE 2.02,9.01 07/29/13
TESORO LOGISTICS LP DE 2.02,7.01,8.01,9.01 07/29/13
Texas Roadhouse, Inc. DE 2.02,9.01 07/29/13
TGC INDUSTRIES INC TX 2.02,9.01 07/29/13
TIME WARNER CABLE INC. DE 5.02,9.01 07/25/13
Tongji Healthcare Group, Inc. NV 4.01 07/24/13
Trovagene, Inc. DE 8.01,9.01 07/29/13
TRUSTCO BANK CORP N Y NY 8.01,9.01 07/26/13
TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 07/29/13
U.S. SILICA HOLDINGS, INC. DE 1.01,1.02,2.03,9.01 07/23/13
UGI CORP /PA/ PA 1.01 07/23/13
UGI UTILITIES INC PA 1.01,9.01 07/23/13
UMPQUA HOLDINGS CORP OR 7.01,9.01 07/29/13
United Financial Bancorp, Inc. 7.01,9.01 07/29/13
UNITED REFINING CO PA 1.01,5.03,8.01,9.01 07/26/13
UNITED STATES ANTIMONY CORP MT 8.01 07/29/13
Universal Capital Management, Inc. DE 1.01,2.01,9.01 07/24/13
UNWIRED PLANET, INC. DE 5.02,9.01 07/26/13
US ECOLOGY, INC. DE 2.02,9.01 07/29/13
USEC INC DE 1.01 07/24/13
Valeant Pharmaceuticals International A8 7.01,9.01 07/28/13
VASCO DATA SECURITY INTERNATIONAL INC DE 2.02,9.01 07/25/13
VEECO INSTRUMENTS INC DE 2.02,8.01,9.01 07/29/13
VERTEX PHARMACEUTICALS INC / MA MA 2.02,9.01 07/29/13
ViewPoint Financial Group Inc. 7.01,9.01 07/29/13
VIVUS INC CA 1.01,9.01 07/23/13
Warner Chilcott plc 8.01 07/26/13
WAUSAU PAPER CORP. WI 2.02,9.01 07/29/13
WCI Communities, Inc. DE 8.01,9.01 07/26/13
WELLS FARGO & COMPANY/MN DE 9.01 07/29/13
WESBANCO INC WV 7.01,9.01 07/29/13
Wild Craze, Inc. NV 1.01,2.03,3.02,9.01 07/23/13
WILSHIRE BANCORP INC 2.02,9.01 07/22/13
WPCS INTERNATIONAL INC DE 2.02,9.01 07/29/13
WPCS INTERNATIONAL INC DE 7.01,9.01 07/29/13
WSFS FINANCIAL CORP DE 7.01,9.01 07/24/13
WVS FINANCIAL CORP PA 2.02,9.01 07/29/13
WYNN RESORTS LTD 2.02,7.01,8.01,9.01 07/29/13
XL GROUP PLC L2 2.02,9.01 07/29/13
YAHOO INC DE 5.02 07/24/13
YAPPN CORP. DE 4.01,5.02,9.01 07/22/13
ZAIS Financial Corp. MD 8.01 07/25/13
http://www.sec.gov/news/digest/2013/dig073013.htm
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