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ENFORCEMENT PROCEEDINGSCommission Charges Former Green Mountain Coffee Employee and Friend in $7 Million Insider Trading SchemeThe Securities and Exchange Commission (Commission) today announced insider trading charges against a former systems administrator at Vermont-based Green Mountain Coffee Roasters who repeatedly obtained quarterly earnings data and traded in advance of its public release. The SEC also charged his friend who illegally traded along with him. In a complaint unsealed July 31 in U.S. District Court for the District of Connecticut, the SEC alleges that Chad McGinnis purchased Green Mountain Coffee securities typically out-of-the-money options shortly before earnings announcements were made. McGinnis also tipped his longtime friend and business associate Sergey Pugach, who illegally traded in his own account and his mother's trading account. Together, McGinnis and Pugach garnered $7 million in illegal profits by using inside information to correctly predict the reaction of Green Mountain Coffee's stock price to 12 of the past 13 quarterly earnings announcements since 2010. "McGinnis and Pugach exploited confidential company financial data to conduct their insider trading scheme to the detriment of Green Mountain Coffee and its shareholders," said Donald Hoerl, Director of the SEC's Denver Regional Office. "The timing of their trades was consistently and exceptionally successful, but their scheme ultimately was not." The SEC's complaint was filed under seal on July 24, when the court granted the Commission's motion seeking a temporary restraining order, asset freeze, and other emergency relief. A hearing has been set for August 7. The SEC alleges that as an information technology employee, McGinnis had access to shared folders on Green Mountain Coffee's computer server where drafts of pending press releases and earnings announcements were stored. He also had access to other employees' e-mail accounts. Both sources provided McGinnis with details about upcoming Green Mountain Coffee earnings announcements before they became public. According to the SEC's complaint, McGinnis lives in Morrisville, Vt., and Pugach lives in Hamden, Conn. Despite living in different states, much of the insider trading in their online brokerage accounts occurred through McGinnis' home Internet service. They communicated frequently around earnings announcements, but infrequently otherwise. Around trading times, they exchanged numerous phone calls and text messages not only on their own phones, but also using cell phones belonging to their spouses. The SEC's complaint alleges that McGinnis and Pugach violated Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. Pugach's mother Bella Pugach is named as a relief defendant in the SEC's complaint for the purpose of recovering ill-gotten gains in her trading account. The SEC's investigation, which is continuing, has been conducted by Dan Konosky, Scott Mascianica, and Jay Scoggins in the Denver Regional Office. The case will be litigated by Dugan Bliss and Greg Kasper. The SEC appreciates the assistance of the U.S. Attorney's Office for the District of Connecticut, the Federal Bureau of Investigation, and the Options Regulatory Surveillance Agency. (Press Rel. 2013-144; LR-22769) Commission Orders Hearings on Registration Suspension or Revocation against Convergence Ethanol, Inc., For Filing a Materially Deficient Registration FormOn August 2, 2013, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of Convergence Ethanol, Inc., (CETH) for filing a materially deficient registration form: In the Matter of Convergence Ethanol, Inc., Administrative Proceeding File No. 3-15404. In this Order, the Division of Enforcement (Division) alleges that CETH's registration form on Form 10, as amended, is materially deficient. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 12(g), and Rule 12b-20 and Regulations S-K and S-X thereunder, are true. The judge in the proceeding will then determine whether the registration pursuant to Exchange Act Section 12 of each class of the securities of this Respondent should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-70094) Commission Suspends Trading of Bergamo Acquisition Corp.The Commission ordered the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the "Exchange Act"), of trading in the securities of Bergamo Acquisition Corp. ("Bergamo"), quoted on OTC Link, operated by OTC Markets Group, Inc., because questions have arisen concerning the adequacy and accuracy of press releases and other public statements concerning Bergamo's business operations and financial condition. Bergamo's ticker symbol is BGMO. The trading suspension will last for ten business days. The trading suspension commenced at 9:30 a.m. EDT on August 2, 2013, and terminates at 11:59 p.m. EDT on August 15, 2013. The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by Bergamo. Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to the above-named securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. (Rel. 34-70093) Former Executives of Stanford's Brokerage SanctionedDaniel Bogar (Bogar), Bernard E. Young (Young), and Jason T. Green (Green) have been sanctioned following a hearing before an administrative law judge. They were ordered to cease and desist from violations of the antifraud provisions of the securities laws and barred from the securities industry. Additionally, each was ordered to pay a civil money penalty of $260,000 and to disgorge ill-gotten gains in the amounts of $1,555,485.75 (Bogar), $591,992.46 (Young), and $2,613,506.47 (Green). The law judge found that Bogar, Young, and Green violated the antifraud provisions by making material misrepresentations and omissions while employed at a broker-dealer owned by convicted Ponzi-schemer R. Allen Stanford. (Rel. ID-502) In the Matter of Ronald MusichThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Ronald Musich (Musich). On July 11, 2013, a judgment by consent was entered against Musich, permanently enjoining him from future violations of Section 15(a) of the Securities Exchange Act of 1934, in Securities and Exchange Commission v. Collyard, et al., Civil Action No. 11‑cv‑3656 (D. Minn.). The Commission's complaint alleged that from approximately 2004 to 2008, Musich, acting as an unregistered broker, solicited investors for Bixby Energy Systems, Inc. ("Bixby"). Specifically, the complaint alleged that Musich, in partnership with co-defendants Gary A. Collyard ("Collyard") and the Collyard Group, LLC ("Collyard Group"), sold over $3.1 million in Bixby securities to more than 120 investors. The complaint further alleged that, as compensation for the sale of securities, Bixby paid Collyard and the Collyard Group $420,000 in cash and warrants to purchase at least 340,000 shares of Bixby common stock; Collyard and the Collyard Group then transferred approximately half of these commissions to Musich. Finally, the complaint alleged that in 2007 and 2008, Musich received additional commissions of $100,000 in cash from Bixby for the sale of Bixby securities. Based on the above, the Order bars Musich from: (1) association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and (2) participating in any offering of a penny stock, including acting as a promoter, finder, consultant, agent, or other person who engages in activities with a broker, dealer, or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase of sale of any penny stock, with a right to apply for reentry after three years. Musich consented to the issuance of the Order, without admitting or denying the findings, except he admitted the entry of an injunction. (Rel. 34-70105) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by C2 Options Exchange, Incorporated relating to exchange order handling (SR-C2-2013-028) 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 August 5th, 2013. (Rel. 34-70102) A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to exchange order handling (SR-CBOE-2013-077) 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 August 5th, 2013. (Rel. 34-70103) A proposed rule change filed by NASDAQ OMX BX, Inc. to amend options fees and rebates (SR-BX-2013-046) 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 August 5th, 2013. (Rel. 34-70095) A proposed rule change filed by New York Stock Exchange LLC amending one of the Supplemental Liquidity Provider credits in its Price List (SR-NYSE-2013-55) 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 August 5th, 2013. (Rel. 34-70104) A proposed rule change filed by the New York Stock Exchange extending the pilot period for the Exchange's Retail Liquidity Program for an additional 12 Months, to expire on July 31, 2014 (SR-NYSE-2013-48) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of August 5th, 2013. (Rel. 34-70096) A proposed rule change filed by NYSE MKT LLC extending the pilot period for the Exchange's Retail Liquidity Program for an additional 12 Months, to expire on July 31, 2014 (SR-NYSEMKT-2013-60) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of August 5th, 2013. (Rel. 34-70100) A proposed rule change filed by NASDAQ OMX PHLX LLC relating to trading halts or suspension when an Exchange Trading System experiences technical failure or failures (SR-Phlx-2013-78) 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 August 5th, 2013. (Rel. 34-70101) Notice of Proposed Rule ChangeNew York Stock Exchange LLC filed a proposed rule change (SR-NYSE-2013-54) pursuant to Section 19(b)(1) of the Securities Exchange Act to amend NYSE Rule 49, which addresses the Exchange's emergency powers. Publication is expected in the Federal Register during the week of August 5th, 2013. (Rel. 34-70099) NYSE Arca, Inc. filed a proposed rule change (SR-NYSEARCA-2013-77) pursuant to Section 19(b)(1) of the Securities Exchange Act to amend NYSE Arca Equities Rule 2.100, which provides for certain emergency powers. Publication is expected in the Federal Register during the week of August 5th, 2013. (Rel. 34-70097) NYSE MKT LLC filed a proposed rule change (SR-NYSEMKT-2013-66) pursuant to Section 19(b)(1) of the Securities Exchange Act to adopt the text of New York Stock Exchange Rule 49 as Rule 49 Equities in order to authorize Exchange officials to exercise the same emergency powers as NYSE officials may exercise. Publication is expected in the Federal Register during the week of August 5th, 2013. (Rel. 34-70098) The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-8 FERRO CORP, 6060 PARKLAND BLVD, MAYFIELD HEIGHTS, OH, 44124, 216-875-5458 - 4,400,000 ($30,448,000.00) Equity, (File 333-190289 - Aug. 1) (BR. 06B) S-8 WESTERN DIGITAL CORP, 3355 MICHELSON DRIVE, SUITE 100, IRVINE, CA, 92612, 9499325000 - 2,000,000 ($124,940,000.00) Equity, (File 333-190290 - Aug. 1) (BR. 03C) S-8 EWaste Systems, Inc., 101 FIRST STREET, NUMBER 493, LOS ALTOS, CA, 94022, 650-283-2907 - 40,000,000 ($447,000.00) Equity, (File 333-190291 - Aug. 1) (BR. 02) S-8 CHARLES RIVER LABORATORIES INTERNATIONAL INC, 261 BALLARDVALE STREET, WILMINGTON, MA, 01867, 9786586000 - 0 ($288,730,000.00) Equity, (File 333-190292 - Aug. 1) (BR. 01A) S-8 SENOMYX INC, 4767 NEXUS CENTRE DRIVE, SAN DIEGO, CA, 92121, 8586468300 - 0 ($7,950,000.00) Equity, (File 333-190293 - Aug. 1) (BR. 01B) S-8 CIRCOR INTERNATIONAL INC, C/O CIRCOR INC, 25 CORPORATE DR., SUITE 130, BURLINGTON, MA, 01803-4238, 7812701200 - 200,000 ($10,732,000.00) Equity, (File 333-190295 - Aug. 1) (BR. 06C) S-8 Marlin Midstream Partners, LP, 2105 CITYWEST BOULEVARD, SUITE 100, HOUSTON, TX, 77042, 832-217-1848 - 1,750,000 ($34,868,750.00) Equity, (File 333-190300 - Aug. 1) (BR. 02) S-8 Luxoft Holding, Inc, AKARA BLDG., 24 DE CASTRO STREET, WICKHAMS CAY I, PO BOX 3136, ROAD TOWN, TORTOLA, D8, 00000, 410445568446 - 0 ($66,206,506.00) Equity, (File 333-190301 - Aug. 1) (BR. 03A) S-1 PIONEER POWER SOLUTIONS, INC., 400 KELBY STREET, 9TH FLOOR, ONE PARKER PLAZA, FORT LEE, NJ, 07024, 212-867-0700 - 1,150,000 ($9,200,000.00) Equity, (File 333-190302 - Aug. 1) (BR. 10B) S-8 QUESTAR CORP, 333 SOUTH STATE STREET, P.O. BOX 45433, SALT LAKE CITY, UT, 84145-0433, 8013245900 - 2,300,000 ($54,050,000.00) Equity, (File 333-190303 - Aug. 1) (BR. 02C) S-8 SOLITARIO EXPLORATION & ROYALTY CORP., 4251 KIPLING STREET, SUITE 390, WHEAT RIDGE, CO, 80033, 3035341030 - 1,750,000 ($1,627,500.00) Equity, (File 333-190304 - Aug. 1) (BR. 09B) S-8 CAMBREX CORP, ONE MEADOWLANDS PLZ, E RUTHERFORD, NJ, 07073, 2018043000 - 1,500,000 ($22,005,000.00) Equity, (File 333-190305 - Aug. 1) (BR. 01B) S-8 FLOW INTERNATIONAL CORP, 23500 64TH AVE S, P O BOX 97040, KENT, WA, 98032, 2538503500 - 1,908,508 ($7,347,755.80) Equity, (File 333-190306 - Aug. 1) (BR. 06C) F-3ASR VODAFONE GROUP PUBLIC LTD CO, VODAFONE HOUSE, THE CONNECTION, NEWBURY, BERKSHIRE, X0, RG14 2FN, 011-44-1635-33251 - 0 ($0.00) Debt, (File 333-190307 - Aug. 1) (BR. 11A) S-8 PITNEY BOWES INC /DE/, PITNEY BOWES INC, 1 ELMCROFT ROAD, STAMFORD, CT, 06926-0700, 2033565000 - 19,000,000 ($274,170,000.00) Equity, (File 333-190308 - Aug. 1) (BR. 03B) S-8 ITERIS, INC., 1700 CARNEGIE AVENUE, SUITE 100, SANTA ANA, CA, 92705, 949-270-9400 - 0 ($1,448,000.00) Equity, (File 333-190309 - Aug. 1) (BR. 11A) S-8 MEDIABISTRO INC., 50 WASHINGTON STREET, 9TH FLOOR, STE. 912, NORWALK, CT, 06854, 203-662-2800 - 250,000 ($442,500.00) Equity, (File 333-190310 - Aug. 1) (BR. 02A) S-8 BROADWIND ENERGY, INC., 3240 S. CENTRAL AVENUE, CICERO, IL, 60804, 708-780-4800 - 0 ($918,000.00) Equity, (File 333-190311 - Aug. 1) (BR. 06C) S-8 DYNAVAX TECHNOLOGIES CORP, 2929 SEVENTH STREET, SUITE 100, BERKELEY, CA, 94710, 5108485100 - 10,000,000 ($13,300,000.00) Equity, (File 333-190313 - Aug. 1) (BR. 01A) S-8 Riverbed Technology, Inc., 199 FREMONT STREET, SAN FRANCISCO, CA, 94105, (415) 247-8800 - 10,000,000 ($128,700,000.00) Equity, (File 333-190314 - Aug. 1) (BR. 03A) S-8 Aegion Corp, 17988 EDISON AVENUE, CHESTERFIELD, MO, 63005, 6365308000 - 2,895,000 ($66,700,800.00) Equity, (File 333-190315 - Aug. 1) (BR. 06A) S-8 ECOLAB INC, ECOLAB CORPORATE CENTER, 370 WABASHA STREET NORTH, ST PAUL, MN, 55102, 6512932233 - 0 ($1,569,100,000.00) Equity, (File 333-190317 - Aug. 1) (BR. 06A) S-8 SONUS NETWORKS INC, 4 TECHNOLOGY PARK DRIVE, WESTFORD, MA, 01886, 9786148100 - 0 ($70,980,000.00) Equity, (File 333-190318 - Aug. 1) (BR. 03C) S-8 ELECTRONICS FOR IMAGING INC, 303 VELOCITY WAY, FOSTER CITY, CA, 94404, 6503573500 - 6,600,000 ($197,637,000.00) Equity, (File 333-190319 - Aug. 1) (BR. 03C) S-8 CONSOLIDATED EDISON INC, 4 IRVING PLACE, ROOM 1618 S, NEW YORK, NY, 10003, 2124604600 - 0 ($297,500,000.00) Equity, (File 333-190320 - Aug. 1) (BR. 02A) S-3 ENZO BIOCHEM INC, 60 EXECUTIVE BLVD, FARMINGDALE, NY, 11735, 5167555500 - 0 ($50,000,000.00) Other, (File 333-190321 - Aug. 1) (BR. 09A) S-8 PROSPER MARKETPLACE INC, 101 SECOND STREET, 15TH FLOOR, SAN FRANCISCO, CA, 94105, 415-593-5400 - 93,009,885 ($808,199.57) Equity, (File 333-190323 - Aug. 1) (BR. 07C) 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 1ST CONSTITUTION BANCORP NJ 2.02,9.01 07/31/13 ABIOMED INC DE 2.02,9.01 08/01/13 ACACIA RESEARCH CORP DE 5.02 07/29/13 ACCURIDE CORP DE 2.02,7.01,9.01 06/30/13 ACORDA THERAPEUTICS INC 2.02,9.01 08/01/13 ACQUIRED SALES CORP NV 1.01,9.01 01/12/13 AMEND Actavis, Inc. NV 8.01,9.01 07/31/13 ACTIVE NETWORK INC DE 2.02,9.01 08/01/13 Activision Blizzard, Inc. DE 2.02,9.01 08/01/13 ACTUATE CORP DE 2.02,9.01 08/01/13 ACURA PHARMACEUTICALS, INC NY 2.02,9.01 08/01/13 Addus HomeCare Corp DE 2.02,9.01 08/01/13 AETRIUM INC MN 2.01,9.01 07/31/13 Affinion Group Holdings, Inc. DE 2.02,9.01 08/01/13 ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 2.02,9.01 08/01/13 ALERE INC. DE 8.01 08/01/13 Aleris Corp DE 2.02,7.01,9.01 08/01/13 ALEXION PHARMACEUTICALS INC DE 8.01 07/30/13 Alkermes plc. 5.02,5.07,9.01 08/01/13 ALLETE INC MN 8.01 08/01/13 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 08/01/13 Alliance HealthCare Services, Inc CA 2.02,9.01 07/31/13 ALLIANCE ONE INTERNATIONAL, INC. VA 2.03,8.01,9.01 08/01/13 ALLIANCEBERNSTEIN HOLDING L.P. DE 2.02,5.02,7.01,9.01 07/30/13 ALLIANCEBERNSTEIN L.P. DE 2.02,5.02,7.01,9.01 07/30/13 ALLIANT TECHSYSTEMS INC DE 2.02,9.01 08/01/13 AMAG PHARMACEUTICALS INC. DE 2.02,8.01,9.01 08/01/13 AMEREN CORP MO 2.02,8.01,9.01 08/01/13 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 2.02,9.01 07/31/13 AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 08/01/13 AMERICAN INTERNATIONAL GROUP INC DE 2.02,9.01 08/01/13 AMFIL TECHNOLOGIES, INC. NY 1.01,5.02 08/01/13 AMN HEALTHCARE SERVICES INC DE 2.02,9.01 08/01/13 AMR CORP DE 8.01,9.01 08/01/13 ANDREA ELECTRONICS CORP NY 5.02,9.01 07/29/13 ANSYS INC DE 2.02,9.01 08/01/13 APACHE CORP DE 2.02,9.01 08/01/13 APARTMENT INVESTMENT & MANAGEMENT CO MD 2.02,9.01 08/01/13 APCO OIL & GAS INTERNATIONAL INC 7.01,9.01 08/01/13 APCO OIL & GAS INTERNATIONAL INC 7.01,9.01 08/01/13 AMEND Apollo Commercial Real Estate Finance MD 2.02,9.01 07/31/13 APPLIED DNA SCIENCES INC DE 3.02 07/31/13 ARBITRON INC DE 2.02,9.01 08/01/13 ARENA PHARMACEUTICALS INC DE 2.02,9.01 08/01/13 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 08/01/13 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 08/01/13 Astex Pharmaceuticals, Inc DE 2.02,9.01 08/01/13 Athens Bancshares Corp 2.02,9.01 07/31/13 ATLAS AIR WORLDWIDE HOLDINGS INC DE 2.02,9.01 08/01/13 AtriCure, Inc. DE 2.02,9.01 08/01/13 ATWOOD OCEANICS INC TX 7.01,9.01 07/31/13 AUDIENCE INC 2.02,9.01 08/01/13 AUTOMATIC DATA PROCESSING INC DE 2.02,9.01 08/01/13 AUXILIUM PHARMACEUTICALS INC DE 2.02,7.01,9.01 08/01/13 AVON PRODUCTS INC NY 2.02,9.01 08/01/13 AXCELIS TECHNOLOGIES INC DE 2.02,9.01 08/01/13 AXESSTEL INC NV 5.07 07/29/13 AXIALL CORP/DE/ DE 2.02,7.01,9.01 07/31/13 BALCHEM CORP MD 2.02,9.01 07/31/13 BALDWIN & LYONS INC IN 7.01,9.01 06/30/13 Bancorp, Inc. 7.01,9.01 08/01/13 BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 07/30/13 Bank of New York Mellon CORP DE 8.01,9.01 08/01/13 BEAZER HOMES USA INC DE 2.02,9.01 07/31/13 BECTON DICKINSON & CO NJ 2.02,8.01,9.01 07/30/13 BGC Partners, Inc. DE 2.02,5.02,9.01 07/30/13 BIOCRYST PHARMACEUTICALS INC DE 8.01 07/31/13 BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 08/01/13 BioScrip, Inc. DE 1.01,2.03,8.01,9.01 07/31/13 BioTelemetry, Inc. DE 5.02,8.01,9.01 07/31/13 Black Ridge Oil & Gas, Inc. DE 5.02,9.01 08/01/13 BlackRock Kelso Capital CORP DE 2.02,7.01,9.01 08/01/13 BLUCORA, INC. DE 2.02,9.01 08/01/13 BLUCORA, INC. DE 1.01,7.01,9.01 08/01/13 BLUE NILE INC DE 2.02,5.02,9.01 08/01/13 BLUE RIDGE REAL ESTATE CO PA 8.01 07/31/13 Blue Sun Media, Inc. NV 4.01,9.01 07/24/13 Bluerock Multifamily Growth REIT, Inc MD 1.01 07/26/13 BOISE INC. DE 2.02,9.01 08/01/13 Bonanza Creek Energy, Inc. DE 5.03,9.01 07/30/13 BOULDER BRANDS, INC. DE 2.02,9.01 08/01/13 BRAINSTORM CELL THERAPEUTICS INC. DE 5.02 07/28/13 BRE PROPERTIES INC /MD/ MD 7.01,9.01 07/31/13 BROADWIND ENERGY, INC. DE 2.02,7.01,9.01 08/01/13 CA, INC. DE 5.07 07/31/13 CALIFORNIA FIRST NATIONAL BANCORP CA 2.02 07/31/13 CALIFORNIA WATER SERVICE GROUP DE 8.01,9.01 07/31/13 CALIFORNIA WATER SERVICE GROUP DE 2.02,9.01 07/31/13 CALLIDUS SOFTWARE INC DE 2.02,9.01 08/01/13 CAM Group, Inc. NV 1.01,5.02,9.01 07/31/13 CAMBREX CORP DE 2.02,9.01 08/01/13 CARDINAL HEALTH INC OH 2.02,7.01,9.01 08/01/13 CardioNet, Inc. CA 3.01,3.03, 07/31/13 5.02,8.01,9.01 CARROLLTON BANCORP MD 5.02 07/29/13 Carter Validus Mission Critical REIT, MD 1.01,2.03,9.01 07/26/13 CASCADE MICROTECH INC 2.02,9.01 08/01/13 Catamaran Corp 2.02,7.01 07/31/13 CAVCO INDUSTRIES INC DE 2.02,9.01 08/01/13 CBIZ, Inc. DE 1.01,2.02,7.01,9.01 07/26/13 CBL & ASSOCIATES PROPERTIES INC DE 2.02,9.01 07/31/13 CC Media Holdings Inc 2.02,9.01 08/01/13 CDI CORP PA 2.02,8.01 07/30/13 CDW Corp DE 1.01,2.03,9.01 07/31/13 CEC ENTERTAINMENT INC KS 2.02,8.01,9.01 08/01/13 CEDAR REALTY TRUST, INC. MD 1.01,1.02,2.03 08/01/13 CELGENE CORP /DE/ DE 8.01,9.01 08/01/13 CENTER BANCORP INC NJ 5.02,7.01,9.01 07/31/13 CENTERPOINT ENERGY INC 2.02,9.01 08/01/13 CENTURY PROPERTIES GROWTH FUND XXII CA 1.01,9.01 07/26/13 CHART INDUSTRIES INC DE 7.01,9.01 07/30/13 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 08/01/13 Chefs' Warehouse, Inc. DE 2.02,9.01 08/01/13 CHESAPEAKE ENERGY CORP OK 2.02,9.01 08/01/13 Chrysler Group LLC DE 8.01,9.01 08/01/13 CIGNA CORP DE 2.02 08/01/13 CIRCOR INTERNATIONAL INC DE 2.02,9.01 08/01/13 CIT GROUP INC DE 1.01,9.01 08/01/13 CITIGROUP INC DE 9.01 08/01/13 CLAYTON WILLIAMS ENERGY INC /DE DE 7.01,9.01 08/01/13 Clear Channel Capital I, LLC DE 2.02,9.01 08/01/13 CLEAR CHANNEL COMMUNICATIONS INC TX 2.02,9.01 08/01/13 Clear Channel Outdoor Holdings, Inc. DE 2.02,9.01 08/01/13 CLOROX CO /DE/ DE 2.02,7.01,9.01 08/01/13 Clovis Oncology, Inc. DE 2.02,9.01 08/01/13 CME GROUP INC. DE 2.02,9.01 08/01/13 CMS Bancorp, Inc. DE 8.01,9.01 08/01/13 CNH Capital LLC DE 7.01,9.01 08/01/13 CNL Growth Properties, Inc. MD 3.03,7.01,8.01,9.01 07/30/13 CNL LIFESTYLE PROPERTIES INC MD 8.01,9.01 08/01/13 COGENT COMMUNICATIONS GROUP INC 5.02,9.01 08/01/13 COHU INC DE 2.02,9.01 07/31/13 COLLECTORS UNIVERSE INC DE 7.01,9.01 07/31/13 COLONIAL PROPERTIES TRUST AL 2.02,7.01,9.01 08/01/13 Conatus Pharmaceuticals Inc DE 3.02,5.03,9.01 07/30/13 Cono Italiano, Inc. 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DE 2.02,7.01,9.01 07/31/13 SERVICESOURCE INTERNATIONAL, INC. DE 2.02,9.01 08/01/13 Shea Homes Limited Partnership CA 2.02,9.01 07/31/13 SIGMA DESIGNS INC CA 5.07,8.01 07/26/13 SIGNATURE GROUP HOLDINGS, INC. NV 2.02,7.01,9.01 08/01/13 Silver Bay Realty Trust Corp. MD 5.02 07/18/13 AMEND SILVER SPRING NETWORKS INC DE 2.02,9.01 08/01/13 SINGLE TOUCH SYSTEMS INC DE 4.01,9.01 07/26/13 SINOCOKING COAL & COKE CHEMICAL INDUS FL 8.01,9.01 08/01/13 SIRIUS XM RADIO INC. DE 1.01,2.03,9.01 08/01/13 SJW CORP CA 2.02,8.01,9.01 07/25/13 SKULLCANDY, INC. 2.02,9.01 08/01/13 SMSA CRANE ACQUISITION CORP. NV 4.01,9.01 07/24/13 AMEND Sorrento Therapeutics, Inc. DE 5.03,8.01,9.01 07/30/13 Sound Financial Bancorp, Inc. MD 2.02 07/30/13 SOUTHERN FIRST BANCSHARES INC SC 2.02,9.01 07/31/13 SOUTHWESTERN ENERGY CO DE 2.02,9.01 08/01/13 Soy Energy, LLC IA 5.07 07/29/13 Spansion Inc. DE 2.02,9.01 08/01/13 SPARTAN MOTORS INC MI 2.02,9.01 08/01/13 SS&C Technologies Holdings Inc DE 2.02,9.01 08/01/13 STAAR SURGICAL CO DE 2.02,7.01,9.01 07/31/13 Starz DE 2.02,9.01 08/01/13 Starz, LLC DE 2.02,9.01 08/01/13 STEC, INC. CA 8.01 07/31/13 STONERIDGE INC OH 2.02,7.01,9.01 08/01/13 SWIFT ENERGY CO 2.02,9.01 08/01/13 Symmetry Medical Inc. DE 2.02,9.01 08/01/13 SYNAPTICS INC DE 2.02,9.01 08/01/13 T3 Motion, Inc. DE 3.02,8.01,9.01 08/01/13 Targa Resources Corp. DE 2.02,9.01 08/01/13 Targa Resources Partners LP DE 2.02,9.01 08/01/13 Targeted Medical Pharma, Inc. 5.07 07/22/13 TD AMERITRADE HOLDING CORP DE 5.02,9.01 07/26/13 TECO ENERGY INC FL 2.02,9.01 08/01/13 TELECOMMUNICATION SYSTEMS INC /FA/ MD 2.02,9.01 07/25/13 TELLABS INC DE 2.02,9.01 08/01/13 TERADATA CORP /DE/ 2.02,7.01,9.01 08/01/13 Territorial Bancorp Inc. MD 8.01,9.01 08/01/13 Territorial Bancorp Inc. MD 8.01,9.01 08/01/13 TESCO CORP 7.01,9.01 07/25/13 TESORO CORP /NEW/ DE 2.02,9.01 08/01/13 TESSERA TECHNOLOGIES INC DE 5.02 07/31/13 TG THERAPEUTICS, INC. DE 2.02,9.01 08/01/13 THERMOGENESIS CORP DE 1.01,9.01 07/26/13 THOR INDUSTRIES INC DE 5.02 08/01/13 THOR INDUSTRIES INC DE 1.01,9.01 07/31/13 THRESHOLD PHARMACEUTICALS INC DE 2.02,9.01 08/01/13 TIME WARNER CABLE INC. DE 2.02,9.01 08/01/13 TIME WARNER INC. DE 5.02 07/30/13 TITAN INTERNATIONAL INC IL 5.02,9.01 07/30/13 TIVO INC DE 5.07 07/31/13 TMS International Corp. DE 2.02,7.01,9.01 08/01/13 TRACTOR SUPPLY CO /DE/ DE 8.01,9.01 08/01/13 TRAVELERS COMPANIES, INC. MN 8.01,9.01 07/25/13 TRINITY INDUSTRIES INC DE 2.02,7.01,9.01 07/31/13 TRISTAR WELLNESS SOLUTIONS, INC. NV 1.01,3.02,9.01 07/16/13 Trius Therapeutics Inc DE 1.01,9.01 07/30/13 Truven Holding Corp. DE 8.01,9.01 08/01/13 TRW AUTOMOTIVE HOLDINGS CORP DE 8.01,9.01 08/01/13 TTM TECHNOLOGIES INC WA 2.02,9.01 08/01/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 08/01/13 UFP TECHNOLOGIES INC DE 2.02,9.01 08/01/13 ULTRALIFE CORP DE 2.02,9.01 08/01/13 UNION PACIFIC CORP UT 8.01,9.01 08/01/13 UNISYS CORP DE 5.02,9.01 07/31/13 UNITED BANCORP INC /OH/ OH 2.02,9.01 07/29/13 UNIVERSAL INSURANCE HOLDINGS, INC. DE 1.01,7.01,9.01 08/01/13 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 4.01,9.01 05/31/13 AMEND US BANCORP \DE\ DE 7.01,9.01 08/01/13 USA Mobility, Inc DE 2.02,8.01,9.01 08/01/13 VALUECLICK INC/CA DE 2.02,8.01,9.01 08/01/13 Vanguard Energy Corp CO 5.02 07/31/13 VECTOR GROUP LTD DE 2.02,9.01 07/31/13 AMEND VECTREN CORP IN 2.02,9.01 07/31/13 VelaTel Global Communications, Inc. NV 8.01 07/20/13 VENZA GOLD CORP. A1 5.02 07/26/13 Vestin Realty Mortgage II, Inc MD 1.01,9.01 07/31/13 VICAL INC DE 2.02,9.01 08/01/13 VIROPHARMA INC DE 2.02,8.01,9.01 08/01/13 VIRTUSA CORP 2.02,9.01 08/01/13 VISTAPRINT N.V. P7 2.02,9.01 08/01/13 VSE CORP DE 2.02,9.01 07/31/13 Vu1 CORP CA 5.02 07/28/13 Vulcan Materials CO NJ 2.02,9.01 08/01/13 Vuzix Corp DE 8.01,9.01 07/31/13 W R GRACE & CO DE 7.01,9.01 08/01/13 Walter Energy, Inc. DE 2.02,9.01 08/01/13 Warner Chilcott plc 8.01,9.01 07/31/13 WCI Communities, Inc. DE 8.01 07/31/13 WEB.COM GROUP, INC. DE 2.01,9.01 08/01/13 WEIGHT WATCHERS INTERNATIONAL INC VA 5.02,9.01 07/30/13 WEIGHT WATCHERS INTERNATIONAL INC VA 2.02,9.01 08/01/13 WEINGARTEN REALTY INVESTORS /TX/ TX 2.02,9.01 07/31/13 WEST BANCORPORATION INC IA 7.01,9.01 08/01/13 WEST PHARMACEUTICAL SERVICES INC PA 2.02,7.01,8.01,9.01 08/01/13 Western Graphite Inc. 7.01,9.01 07/30/13 Western Refining, Inc. DE 2.02,9.01 08/01/13 Williams Partners L.P. 2.02,9.01 07/31/13 WORLD WRESTLING ENTERTAINMENTINC DE 2.02,9.01 08/01/13 WPCS INTERNATIONAL INC DE 3.02 07/30/13 WPX ENERGY, INC. DE 2.02 08/01/13 XCEL ENERGY INC MN 2.02,9.01 08/01/13 Xenith Bankshares, Inc. VA 2.02,8.01,9.01 07/31/13 Xhibit Corp. NV 2.01,9.01 07/29/13 AMEND ZAGG Inc NV 2.02,9.01 08/01/13 Zalicus Inc. DE 2.02,9.01 08/01/13 http://www.sec.gov/news/digest/2013/dig080213.htm
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