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ENFORCEMENT PROCEEDINGS15 Year Prison Term for Gregory McKnight, Orchestrator of $72 Million Ponzi SchemeThe Securities and Exchange Commission (“Commission”) announced that on August 6, 2013, the Honorable Mark A. Goldsmith of the United States District Court for the Eastern District of Michigan sentenced Gregory N. McKnight to 188 months (15 years and 8 months) in prison, followed by supervised release of 3 years, and ordered McKnight to pay $48,969,560 in restitution to his victims. McKnight, 53, of Swartz Creek, Michigan, had previously pled guilty to one count of wire fraud for his role in orchestrating a $72 million Ponzi scheme involving at least 3,000 investors. The U.S. Attorney's Office for the Eastern District of Michigan filed criminal charges against McKnight on February 14, 2012. McKnight was taken into custody immediately after the sentencing hearing. The criminal charges arose out of the same facts that were the subject of an emergency action that the Commission filed against McKnight and others on May 5, 2008. On that same day, the Court issued orders freezing McKnight's assets and those of several companies he controlled, and appointed a Receiver. The Commission's complaint alleged that, from December 2005 through November 2007, McKnight, through his company Legisi Holdings, conducted a fraudulent, unregistered offering of securities in which he raised approximately $72 million from more than 3,000 investors in all 50 states and several foreign countries. According to the Commission's complaint, McKnight represented that he would invest the offering proceeds in various investment vehicles and pay interest of as much as 15 percent per month from the resulting profits. The complaint charged that McKnight invested less than half of the offering proceeds and that these investments resulted in millions of dollars in losses. The Commission's complaint further charged that McKnight used investor funds to make Ponzi payments to investors and for his own use. The Commission's complaint charged McKnight with violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. On July 6, 2011, the Court entered a final judgment against McKnight in the Commission's action, and ordered McKnight to pay disgorgement of ill-gotten gains, prejudgment interest, and civil penalties totaling approximately $6.5 million. The court also issued orders permanently enjoining McKnight from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act, Section 10(b) of the Exchange Act, and Rule 10b-5 thereunder. On July 9, 2013, McKnight's associate Matthew J. Gagnon was sentenced to five years in prison for his role in promoting Legisi. [SEC v. Gregory N. McKnight, et al., Case No. 08 cv 11887 (E.D. Mich., filed May 5, 2008)( LR 20563 (May 8, 2008), LR. 20588 (May 20, 2008), LR. 22269 (Feb. 24, 2012) and LR. 22749 (July 11, 2013)] (LR-22776) SEC Charges Former Executive of Massachusetts-Based Company with Insider TradingThe Commission today charged Joseph M. Tocci, a former executive of Massachusetts-based American Superconductor Corporation, with insider trading ahead of an April 5, 2011 company announcement that caused the company's stock price to tumble 42% and reaped Tocci over $80,000 in profits. Tocci has agreed to settle the charges by, among other things, paying a total of over $170,000 in disgorgement of ill-gotten gains, prejudgment interest, and a civil penalty. In a Complaint filed on August 12, 2013, in the U.S. District Court for the District of Massachusetts in Boston, the SEC alleges that Tocci, age 59, of Belmont, Massachusetts, used confidential information he obtained as the assistant treasurer of American Superconductor to purchase option contracts through which Tocci essentially bet that the company's stock price would soon decrease on the release of negative news. According to the SEC's Complaint, on or about March 31, 2011, Tocci learned through communications with American Superconductor's chief financial officer ("CFO") that the company's largest customer, Sinovel Wind Group Co. Ltd., had refused to accept shipments scheduled for delivery by the close of the company's fiscal year on March 31, 2011, and had failed to pay past due amounts for earlier shipments. These developments, the CFO said, would likely require a public announcement from American Superconductor within the next few days. The CFO instructed Tocci to keep this information confidential. On April 1, 2011, the Complaint alleges, Tocci improperly used this material, nonpublic information to purchase 100 put option contracts, which increased in value as American Superconductor's stock price decreased. On April 5, 2011, after the close of trading, the company announced that its financial results for its fourth quarter and fiscal year ended March 31, 2011 would be lower than expected due to a deteriorating relationship with Sinovel. The next day, American Superconductor's stock price plummeted 42%. By then selling his 100 put option contracts, Tocci earned illegal profits of approximately $82,439. Tocci has agreed to settle this case by consenting to a judgment enjoining him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and ordering him to pay disgorgement of $82,439 (representing his ill-gotten gains) plus prejudgment interest of $6,109 and a civil penalty of $82,439. Tocci also agreed to plead guilty in a parallel criminal case brought by the U.S. Attorney's Office for the District of Massachusetts in connection with the same conduct. The SEC's investigation was conducted by Asita Obeyesekere, Michael Foster, and Kevin Kelcourse in the SEC's Boston Regional Office. The Commission acknowledges the assistance and cooperation of the U.S. Attorney's Office for the District of Massachusetts and the Federal Bureau of Investigation's Boston Field Office. The Commission also thanks the Options Regulatory Surveillance Authority and the Financial Industry Regulatory Authority for their assistance. [SEC v. Joseph M. Tocci, Civil Action No. 1:13-CV-11924 (D. Mass; Complaint filed August 12, 2013)] (LR-22775) In The Matter Of Richard D. HicksThe Commission announced the issuance of an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Notice of Hearing (Order) against Richard D. Hicks (Hicks). The Division of Enforcement alleges in the Order that between December 2006 and February 2012, Hicks offered and sold over $1.8 million of National Note securities to 12 investors, at least half of whom were unaccredited. Hicks offered and sold these securities without a registration statement being filed or in effect. The Order further alleges that Hicks also acted as purchaser representative under Regulation D for at least three investors and made the following misrepresentations: (1) that he had had prior experience in advising clients with respect to investments similar to National Note; (2) that he, either alone or together with the investor, had such knowledge and experience in financial and business matters generally and in similar investments in particular so as to be capable of evaluating the merits and risks of the proposed investment; and, (3) that he had disclosed to the investor all compensation he was to receive from National Note. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Hicks an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate. The Order directs the administrative law judge to issue an initial decision within 300 days after service of the Order. (Rel. 33-9440) In the Matter of Martin A. PoolThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act), Making Findings and Imposing Remedial Sanctions (Order) against Martin A. Pool (Pool). The Order finds that Pool was an owner and control person of The Elva Group, LLC (Elva Group) and that from at least January 2006 through November 2010 Elva Group issued promissory notes and raised investor capital. The Order further finds that on August 7, 2013, a final judgment was entered by consent against Pool permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Pool, et al., Civil Action Number 1:13-cv-00096 CW, in the United States District Court for the Central District of Utah. The Order further finds that the Commission's complaint alleged that in connection with the offer and sale of promissory notes, Pool made material misrepresentations to investors regarding, among other things, the security of their investment and the guaranteed returns. The complaint also alleged that Pool misappropriated investor funds, used new investor funds to pay interest payments to prior investors, and otherwise engaged in a variety of conduct which operated as a fraud and deceit on investors. The complaint also alleged that Pool sold unregistered securities and acted as an unregistered broker or dealer, by, among other things, soliciting investments on behalf of Elva Group, receiving investor funds and signing promissory notes issued by Elva Group. Based on the above, the Order bars Pool from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and from 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 or sale of any penny stock. Pool consented to the issuance of the Order without admitting or denying any of the findings in the Order except he admitted the entry of the injunction. (Rel. 34-70167) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by BATS Y-Exchange, Inc. related to fees for use of BATS Y-Exchange, Inc. (SR-BYX-2013-025) 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 12th. (Rel. 34-70170) A proposed rule change filed by NYSE Arca, Inc. amending Commentary .07 to Rule 6.4 to modify the Short-Term Option Series Program to increase the number of classes that are eligible to participate in the program from five to 30 (SR-NYSEArca-2013-79) 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 12th. (Rel. 34-70168) A proposed rule change filed by NYSE MKT LLC amending Commentary .10 to Rule 903 to modify the Short-Term Option Series Program to increase the number of classes that are eligible to participate in the program from five to 30 (SR-NYSEMKT-2013-68) 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 12th. (Rel. 34-70169) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2013-80) to describe the billing practice for co-location services and expand co-location services to provide for a 40 gigabit Liquidity Center Network connection 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 August 12th. (Rel. 34-70173) A proposed rule change filed by the NASDAQ OMX PHLX LLC (SR-Phlx-2013-82) to modify Phlx connectivity options and fees has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week of August 12th. (Rel. 34-70174) A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2013-67) to describe the billing practice for co-location services and expand co-location services to provide for a 40 gigabit Liquidity Center Network connection 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 August 12th. (Rel. 34-70176) Designation of Longer Period for Commission Action on Proposed Rule ChangeThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-BATS-2013-035), as modified by Amendment No. 1 thereto, filed by BATS Exchange, Inc. to amend the Competitive Liquidity Provider Program. Publication is expected in the Federal Register during the week of August 12th. (Rel. 34-70166) 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-3ASR Live Nation Entertainment, Inc., 9348 CIVIC CENTER DRIVE,
BEVERLY HILLS, CA, 90210, 310-867-7200 -
1,319,198 ($21,634,847.20) Equity, (File 333-190459 - Aug. 8) (BR. 05B)
S-8 CELLULAR DYNAMICS INTERNATIONAL, INC., 525 SCIENCE DRIVE, MADISON, WI,
53711, (608) 310-5100 - 2,444,191 ($23,211,886.36) Equity,
(File 333-190460 - Aug. 8) (BR. 01B)
S-1 Diamondback Energy, Inc., 500 WEST TEXAS, SUITE 1210, MIDLAND, TX,
79701, 405-463-6900 - 4,600,000 ($190,164,000.00) Equity,
(File 333-190462 - Aug. 8) (BR. 04A)
S-1 OXIGENE INC, 701 GATEWAY BLVD., SOUTH SAN FRANCISCO, CA, 94080,
650-635-7000 - 0 ($20,000,000.00) Equity, (File 333-190464 - Aug. 8)
(BR. 01B)
S-1 SOLAR WIND ENERGY TOWER, INC., 1997 ANNAPOLIS EXCHANGE BLVD.,
SUITE 300, ANNAPOLIS, MD, 21401, 410-972-4713 -
44,000,000 ($976,800.00) Equity, (File 333-190466 - Aug. 8) (BR. 09A)
S-8 PACCAR INC, PACCAR BUILDING, 777 106TH AVENUE NE, BELLEVUE, WA, 98004,
425 468 7383 - 0 ($678,900,000.00) Equity, (File 333-190467 - Aug. 8)
(BR. 05C)
S-8 CIMATRON LTD, 11 GUSH ETZION ST, GIVAT SHMUEL, ISRAEL 51905, L3, 00000,
9725312121 - 618,500 ($4,137,765.00) Equity, (File 333-190468 - Aug. 8)
(BR. 03B)
S-8 MAGAL SECURITY SYSTEMS LTD, P O BOX 70, INDUSTRIAL ZONE, YAHUD ISRAEL,
L3, 5600, 500,000 ($1,745,000.00) Equity, (File 333-190469 - Aug. 8)
(BR. 11C)
S-3ASR BROADRIDGE FINANCIAL SOLUTIONS, INC., 1981 MARCUS AVENUE, LAKE SUCCESS,
NY, 11042, 516-472-5400 - 0 ($0.00) Debt, (File 333-190470 - Aug. 8)
(BR. 02C)
S-8 Jones Energy, Inc., 807 LAS CIMAS PARKWAY, SUITE 350, AUSTIN, TX,
78746, 512-328-2953 - 0 ($54,092,500.00) Equity, (File 333-190471 -
Aug. 8) (BR. 04A)
S-8 NXP Semiconductors N.V., 31 40 27 43704 -
140,000 ($4,965,800.00) Equity, (File 333-190472 - Aug. 8) (BR. 10B)
S-8 NII HOLDINGS INC, 1875 EXPLORER ST., SUITE 1000, RESTON, VA, 20190,
7033905100 - 0 ($79,320,000.00) Equity, (File 333-190473 - Aug. 8)
(BR. 11A)
S-8 ION GEOPHYSICAL CORP, 2105 CITYWEST BLVD, SUITE 400, HOUSTON, TX,
770422839, 281.933.3339 - 0 ($24,133,100.00) Equity, (File 333-190474 -
Aug. 8) (BR. 04A)
S-8 CALLIDUS SOFTWARE INC, 6200 STONERIDGE MALL ROAD, SUITE 500,
PLEASANTON, CA, 94588, 925-251-2200 - 0 ($4,338,288.24) Equity,
(File 333-190475 - Aug. 8) (BR. 03B)
S-1 Ruthigen, Inc., 2455 BENNETT VALLEY RD. SUITE C116, SANTA ROSA, CA,
95404, (707) 525-9900 - 0 ($26,675,000.00) Equity, (File 333-190476 -
Aug. 8) (BR. 01A)
S-8 Cal Dive International, Inc., 2500 CITYWEST BOULEVARD, SUITE 2200,
HOUSTON, TX, 77042, 713-361-2600 - 4,800,000 ($10,032,000.00) Equity,
(File 333-190477 - Aug. 8) (BR. 04A)
S-8 Orbitz Worldwide, Inc., 500 W. MADISON STREET, SUITE 1000, CHICAGO, IL,
60661, 312-894-5000 - 0 ($13,860,000.00) Equity, (File 333-190478 -
Aug. 8) (BR. 05C)
S-3ASR WEB.COM GROUP, INC., 12808 GRAN BAY PARKWAY WEST, JACKSONVILLE, FL,
32258, 9046806600 - 0 ($0.00) Equity, (File 333-190479 - Aug. 8)
(BR. 03B)
S-8 ONCOGENEX PHARMACEUTICALS, INC., 1522 217TH PLACE S.E., BOTHELL, WA,
98021, 4254879500 - 0 ($15,680,000.00) Equity, (File 333-190480 -
Aug. 8) (BR. 01A)
S-8 Interactive Intelligence Group, Inc., 7601 INTERACTIVE WAY,
INDIANAPOLIS, IN, 46278, (317) 872-3000 -
2,000,000 ($115,520,000.00) Equity, (File 333-190481 - Aug. 8) (BR. 03A)
S-8 MEDIVATION, INC., 525 MARKET STREET, 36TH FLOOR, SAN FRANCISCO, CA,
94105, 415-543-3470 - 0 ($201,604,500.00) Equity, (File 333-190482 -
Aug. 8) (BR. 01B)
S-8 FLEETCOR TECHNOLOGIES INC, 5445 TRIANGLE PARKWAY, SUITE 400, NORCROSS,
GA, 30092, 800-877-9019 - 6,500,000 ($595,595,000.00) Equity,
(File 333-190483 - Aug. 8) (BR. 03A)
S-8 HCC INSURANCE HOLDINGS INC/DE/, 13403 NORTHWEST FRWY, HOUSTON, TX,
77040-6094, 7136907300 - 0 ($88,420,000.00) Equity, (File 333-190484 -
Aug. 8) (BR. 01A)
S-4 CAPITAL ONE FINANCIAL CORP, 1680 CAPITAL ONE DRIVE, SUITE 1400, MCLEAN,
VA, 22102, 7037201000 - 0 ($839,111,000.00) Debt, (File 333-190485 -
Aug. 8) (BR. 12A)
S-8 INFORMATICA CORP, 100 CARDINAL WAY, REDWOOD CITY, CA, 94063,
6503855000 - 0 ($152,480,000.00) Equity, (File 333-190486 - Aug. 8)
(BR. 03C)
S-8 EAGLE MATERIALS INC, 3811 TURTLE CREEK BLVD, SUITE 1100, DALLAS, TX,
75219, 214-432-2000 - 0 ($199,830,000.00) Equity, (File 333-190487 -
Aug. 8) (BR. 06A)
S-8 Furiex Pharmaceuticals, Inc., 3900 PARAMOUNT PARKWAY, SUITE 150,
MORRISVILLE, NC, 27560, 919-456-7800 - 400,000 ($17,048,000.00) Equity,
(File 333-190488 - Aug. 8) (BR. 01A)
S-3ASR MFA FINANCIAL, INC., 350 PARK AVENUE, 20TH FL, NEW YORK, NY, 10022,
2122076400 - 13,025,000 ($100,422,750.00) Equity, (File 333-190489 -
Aug. 8) (BR. 08B)
S-8 MEDICINOVA INC, 4350 LA JOLLA VILLAGE DRIVE, SUITE 950, SAN DIEGO, CA,
92122, 858-373-1500 - 0 ($14,123,955.00) Equity, (File 333-190490 -
Aug. 8) (BR. 01B)
S-3ASR JUNIPER NETWORKS INC, 1194 NORTH MATHILDA AVE, SUNNYVALE, CA, 94089,
4087452000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-190491 - Aug. 8) (BR. 03A)
S-4 TESORO LOGISTICS LP, 19100 RIDGEWOOD PARKWAY, SAN ANTONIO, TX, 78259,
210-626-6000 - 0 ($900,000,000.00) Debt, (File 333-190492 - Aug. 8)
(BR. 04B)
S-8 Capital Bank Financial Corp., 121 ALHAMBRA PLAZA, SUITE 1601,
CORAL GABLES, FL, 33134, 305 670 0200 - 0 ($50,470,875.00) Equity,
(File 333-190493 - Aug. 8) (BR. 07)
S-3ASR NPS PHARMACEUTICALS INC, 550 HILLS DRIVE, BEDMINSTER, NJ, 07921,
(908) 450-5300 - 0 ($0.00) Other, (File 333-190494 - Aug. 8) (BR. 01B)
S-8 YAHOO INC, 4083493300 - 0 ($30,177,077.22) Equity, (File 333-190495 -
Aug. 8) (BR. 03B)
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
30DC, INC. MD 7.01,9.01 08/08/13
99 CENTS ONLY STORES CA 2.02,9.01 08/08/13
AAON INC NV 2.02,7.01,9.01 08/08/13
ABRAXAS PETROLEUM CORP NV 2.02,7.01 08/08/13
ACTUANT CORP WI 1.01 08/02/13
ACTUANT CORP WI 5.02,5.03,9.01 08/08/13
ADVANCE AUTO PARTS INC DE 2.02,9.01 08/08/13
Advanced Emissions Solutions, Inc. 2.02,9.01 08/07/13
ADVENT SOFTWARE INC /DE/ DE 1.01,9.01 08/07/13
AEI INCOME & GROWTH FUND XXI LTD PART MN 2.01,9.01 08/08/13
AEI NET LEASE INCOME & GROWTH FUND XX MN 2.01,9.01 08/08/13
AES CORP DE 2.01,7.01,9.01 08/08/13
Affinia Group Intermediate Holdings I DE 2.02,9.01 08/08/13
AgFeed Industries, Inc. NV 8.01 08/01/13
AIR LEASE CORP DE 2.02,9.01 08/08/13
AIR METHODS CORP DE 2.02,9.01 08/08/13
Air Transport Services Group, Inc. DE 2.02,9.01 08/08/13
Alexander & Baldwin, Inc. HI 2.02,2.03,9.01 08/02/13
Alexander & Baldwin, Inc. HI 7.01,9.01 08/08/13
Alexza Pharmaceuticals Inc. DE 2.02,9.01 08/08/13
ALION SCIENCE & TECHNOLOGY CORP DE 2.02,7.01,8.01 08/08/13
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 08/08/13
ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 2.02,9.01 08/08/13
ALLSTATE CORP DE 8.01,9.01 08/05/13
ALNYLAM PHARMACEUTICALS, INC. 2.02,9.01 08/08/13
ALTAIR NANOTECHNOLOGIES INC Z4 2.02,9.01 08/08/13
AMARIN CORP PLC\UK X0 2.02,9.01 08/08/13
AMC Networks Inc. DE 2.02,9.01 08/08/13
Ameresco, Inc. DE 2.02,9.01 08/08/13
AMERICAN APPAREL, INC DE 7.01,9.01 08/08/13
AMERICAN PUBLIC EDUCATION INC DE 2.02,9.01 08/08/13
AMERICAN SAFETY INSURANCE HOLDINGS LT 1.01,8.01,9.01 08/07/13
AMERICAN STATES WATER CO CA 2.02,9.01 08/08/13
AMERISOURCEBERGEN CORP DE 8.01,9.01 08/08/13
AMYRIS, INC. DE 1.01,3.02 08/08/13
AMYRIS, INC. DE 2.02,9.01 08/08/13
Anacor Pharmaceuticals, Inc. DE 2.02,9.01 08/08/13
ANIXTER INTERNATIONAL INC DE 7.01 08/08/13
Annie's, Inc. DE 2.02,9.01 08/08/13
Apollo Global Management LLC DE 2.02,9.01 08/08/13
Apollo Global Management LLC DE 7.01,9.01 08/08/13
APOLLO INVESTMENT CORP MD 2.02,9.01 08/08/13
Apple REIT Eight, Inc. VA 1.01,8.01,9.01 08/07/13
Apple REIT Nine, Inc. VA 1.01,8.01,9.01 08/07/13
Apple REIT Seven, Inc. VA 1.01,8.01,9.01 08/07/13
ARDEN GROUP INC DE 2.02,9.01 08/08/13
ASBURY AUTOMOTIVE GROUP INC DE 1.01,2.03 08/08/13
Ascent Solar Technologies, Inc. DE 2.02,9.01 08/08/13
Atlantic Coast Financial CORP MD 3.01,5.02 08/05/13
ATLANTIC POWER CORP A1 2.02,8.01,9.01 08/08/13
AV Homes, Inc. DE 2.02,9.01 08/08/13
AVAYA INC DE 2.02,9.01 08/08/13
AVIV REIT, INC. MD 2.02,9.01 08/08/13
AXT INC DE 1.01,9.01 08/02/13
BALLANTYNE STRONG, INC. DE 2.02,9.01 08/08/13
BANCORPSOUTH INC MS 1.01,2.03,9.01 08/08/13
BEAM INC DE 2.02,7.01,8.01,9.01 08/08/13
BELDEN INC. DE 2.02,9.01 08/08/13
BG Medicine, Inc. DE 2.02,8.01,9.01 08/08/13
BIOCRYST PHARMACEUTICALS INC DE 2.02,7.01,9.01 08/08/13
Bloomin' Brands, Inc. DE 7.01 08/05/13
BlueFlash Communications, Inc. FL 1.01,3.02,3.03,5.03, 06/20/13
5.07,8.01,9.01
BofI Holding, Inc. DE 7.01,9.01 08/08/13
BOINGO WIRELESS INC DE 2.02,9.01 08/08/13
BPZ RESOURCES, INC. TX 2.02,9.01 08/07/13
Braeden Valley Mines Inc. NV 5.02 07/05/13
BRAZIL GOLD CORP. NV 3.02,5.03,9.01 08/07/13 AMEND
BRIGHT HORIZONS FAMILY SOLUTIONS INC. DE 2.02,9.01 08/08/13
BROADCAST INTERNATIONAL INC UT 1.01,2.03,9.01 08/06/13
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 2.02,8.01,9.01 08/08/13
Brookdale Senior Living Inc. DE 2.02,7.01,9.01 08/07/13
BROOKS AUTOMATION INC DE 2.02,5.02,9.01 08/08/13
BRT REALTY TRUST MA 2.02,9.01 08/08/13
C H ROBINSON WORLDWIDE INC DE 8.01,9.01 08/08/13
Cal Dive International, Inc. DE 2.02,7.01,9.01 08/07/13
CALLON PETROLEUM CO DE 2.02,7.01,9.01 08/08/13
Campus Crest Communities, Inc. MD 5.02,9.01 08/05/13
CAPSTONE TURBINE Corp DE 2.02,9.01 08/08/13
Car Charging Group, Inc. NV 4.01,9.01 07/24/13
CAREFUSION Corp 2.02,7.01,9.01 08/08/13
CAREFUSION Corp 5.02,9.01 08/08/13
CARRIAGE SERVICES INC DE 2.02 08/08/13
CARTERS INC DE 8.01,9.01 08/08/13
CECO ENVIRONMENTAL CORP DE 1.01,2.02,9.01 08/05/13
CEDAR FAIR L P DE 2.02,9.01 08/08/13
Celsion CORP DE 2.02,9.01 08/08/13
Centaur Guernsey L.P. Inc. 7.01 08/08/13
CHAMBERS STREET PROPERTIES MD 2.02,7.01,8.01,9.01 08/08/13
CHARLES & COLVARD LTD NC 5.02,8.01,9.01 08/02/13
CHARLES & COLVARD LTD NC 2.02,9.01 08/08/13
CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 08/08/13
ChemoCentryx, Inc. DE 3.01 08/02/13
CHESAPEAKE GRANITE WASH TRUST DE 2.02,9.01 08/08/13
China Biologic Products, Inc. 1.01,9.01 08/08/13
CHIQUITA BRANDS INTERNATIONAL INC NJ 2.02,9.01 08/08/13
ChyronHego Corp NY 2.02,9.01 08/08/13
ChyronHego Corp NY 3.01 08/08/13
ChyronHego Corp NY 1.01,2.03 08/05/13
CINCINNATI BELL INC OH 2.02,7.01,9.01 08/08/13
CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 08/08/13
CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 08/08/13
CLEAN DIESEL TECHNOLOGIES INC DE 2.02,9.01 08/08/13
Clean Energy Fuels Corp. DE 2.02,9.01 08/08/13
COCA COLA BOTTLING CO CONSOLIDATED /D DE 2.02,9.01 08/06/13
Coeur Mining, Inc. DE 2.02,9.01 08/08/13
COGENT COMMUNICATIONS GROUP INC 2.02,9.01 08/08/13
Coleman Cable, Inc. DE 2.02,9.01 08/08/13
Colony Financial, Inc. MD 1.01,1.02,2.03,9.01 08/06/13
COLUMBIA LABORATORIES INC DE 5.03,7.01,9.01 08/08/13
CommonWealth REIT MD 8.01,9.01 08/07/13
COMPUTER SCIENCES CORP NV 7.01 08/06/13
CONCHO RESOURCES INC DE 2.02,9.01 08/07/13
Consolidated Communications Holdings, DE 2.02,9.01 08/08/13
CONTINENTAL RESOURCES, INC OK 2.02,7.01,9.01 08/07/13
COOPER TIRE & RUBBER CO DE 2.02,9.01 08/08/13
CORCEPT THERAPEUTICS INC DE 2.02,7.01,9.01 08/08/13
CORNERSTONE THERAPEUTICS INC DE 5.02 08/06/13
CORRECTIONS CORP OF AMERICA MD 2.02,9.01 08/07/13
CPI AEROSTRUCTURES INC NY 2.02 08/06/13
CPS TECHNOLOGIES CORP/DE/ DE 9.01 06/29/13
CRAILAR TECHNOLOGIES INC A1 2.02,9.01 08/08/13
CREDEX CORP FL 5.02,9.01 08/07/13
CRIMSON EXPLORATION INC. 2.02,9.01 08/07/13
CROSSTEX ENERGY INC DE 2.02,9.01 08/07/13
CROSSTEX ENERGY LP DE 2.02,9.01 08/07/13
CUBIC CORP /DE/ DE 5.03,9.01 08/08/13
CYTORI THERAPEUTICS, INC. DE 2.02,9.01 08/08/13
DAKOTA PLAINS HOLDINGS, INC. NV 2.02,9.01 08/08/13
DARLING INTERNATIONAL INC DE 2.02,9.01 08/08/13
DCP Midstream Partners, LP DE 1.01,7.01,9.01 08/07/13
DEAN FOODS CO DE 2.02,9.01 08/08/13
DEEP WELL OIL & GAS INC NV 1.01,3.02,8.01,9.01 07/31/13 AMEND
DEEP WELL OIL & GAS INC NV 1.01,3.02,8.01,9.01 07/31/13 AMEND
Delek US Holdings, Inc. 2.02,9.01 08/07/13
DENDREON CORP DE 2.02,9.01 08/08/13
DENDREON CORP DE 5.02 08/05/13
DEVRY INC DE 2.02,8.01,9.01 08/08/13
diaDexus, Inc. DE 2.02,9.01 08/08/13
DIRECT INSITE CORP DE 7.01,9.01 08/08/13
Discover Financial Services DE 2.03,9.01 08/08/13
DISCOVERY LABORATORIES INC /DE/ DE 2.02,8.01,9.01 08/08/13
Diversicare Healthcare Services, Inc. DE 2.02,9.01 08/08/13
DOT HILL SYSTEMS CORP DE 2.02,9.01 08/08/13
DOT HILL SYSTEMS CORP DE 2.02,8.01,9.01 08/08/13
DOT HILL SYSTEMS CORP DE 2.02,8.01,9.01 08/08/13 AMEND
DOUBLE EAGLE PETROLEUM CO MD 2.02,5.02,7.01,9.01 08/07/13
DOVER SADDLERY INC 2.02,7.01,9.01 08/08/13
Dr Pepper Snapple Group, Inc. DE 8.01,9.01 08/08/13
EAGLE MATERIALS INC DE 5.07 08/07/13
EASTMAN KODAK CO NJ 2.02,9.01 08/07/13
ECHELON CORP DE 2.02,9.01 08/08/13
Edgen Group Inc. DE 2.02,9.01 08/08/13
ELEPHANT TALK COMMUNICATIONS CORP DE 8.01,9.01 08/06/13
ELIZABETH ARDEN INC FL 2.02,5.02,9.01 08/08/13
EMC INSURANCE GROUP INC IA 2.02,7.01,9.01 08/08/13
Emdeon Inc. DE 2.02,9.01 08/08/13
EMERSON ELECTRIC CO MO 5.02 08/06/13
EMULEX CORP /DE/ DE 2.02,9.01 08/08/13
ENCORE CAPITAL GROUP INC DE 2.02,9.01 08/08/13
ENCORE CAPITAL GROUP INC DE 2.02,9.01 08/08/13
Energy Services of America CORP DE 3.02,3.03,5.03,9.01 08/06/13
Energy Transfer Equity, L.P. DE 2.02,9.01 08/07/13
Energy Transfer Equity, L.P. DE 1.01,7.01,9.01 08/07/13
Energy Transfer Partners, L.P. DE 2.02,9.01 08/07/13
Energy Transfer Partners, L.P. DE 1.01,7.01,9.01 08/07/13
Entertainment Gaming Asia Inc. NV 2.02,9.01 08/08/13
ENVESTNET, INC. DE 2.02,9.01 08/08/13
EPAM Systems, Inc. DE 2.02,9.01 08/08/13
EPLUS INC DE 2.02,9.01 08/06/13
EPSILON CORP DE 1.01,3.02,9.01 08/02/13
EQUAL ENERGY LTD. A0 2.02,9.01 08/07/13
EQUAL ENERGY LTD. A0 2.02,9.01 08/08/13
Equisource Hotel Fund I, LLP NV 1.01,3.02,5.03,9.01 06/10/13
ESCO TECHNOLOGIES INC MO 2.02,7.01,9.01 08/08/13
Essex Rental Corp. IL 2.02 08/07/13
EWaste Systems, Inc. NV 7.01,9.01 08/07/13
Exobox Technologies Corp. NV 5.02,8.01 08/07/13
ExOne Co DE 8.01,9.01 08/08/13
Fairway Group Holdings Corp DE 2.02,9.01 08/08/13
FALCONSTOR SOFTWARE INC DE 2.02,9.01 08/08/13
FEDERAL AGRICULTURAL MORTGAGE CORP 2.02,9.01 08/08/13
Federal Home Loan Bank of Atlanta X1 2.03 08/05/13
Federal Home Loan Bank of Boston X1 2.03 08/06/13
Federal Home Loan Bank of Chicago X1 2.03 08/06/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/08/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/05/13
Federal Home Loan Bank of San Francis X1 2.03 08/06/13
FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,7.01,9.01 08/08/13
FEDERATED NATIONAL HOLDING CO FL 2.02,9.01 08/08/13
Fiesta Restaurant Group, Inc. DE 2.02,9.01 08/08/13
Fifth & Pacific Companies, Inc. DE 2.02,9.01 08/08/13
Fifth Street Senior Floating Rate Cor DE 8.01,9.01 08/08/13
Firsthand Technology Value Fund, Inc. 8.01,9.01 08/08/13
FISHER COMMUNICATIONS INC WA 1.02,3.01,3.03,5.01, 08/08/13
5.02,5.03,9.01
FLOTEK INDUSTRIES INC/CN/ DE 2.02,9.01 08/07/13
FMC TECHNOLOGIES INC DE 5.02,9.01 08/05/13
FNBH BANCORP INC MI 1.01,3.02 08/07/13
FONU2 Inc. NV 3.02 08/02/13
FOSTER WHEELER AG V8 2.02,9.01 08/08/13
FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 08/08/13
Fuel Systems Solutions, Inc. 2.02,9.01 08/08/13
FutureFuel Corp. DE 8.01,9.01 08/08/13
FX ENERGY INC NV 8.01,9.01 08/08/13
Galena Biopharma, Inc. 2.02,9.01 08/08/13
Gaming Partners International CORP NV 2.02,9.01 08/08/13
GAP INC DE 2.02,9.01 08/08/13
Garrison Capital Inc. 2.02,5.07,9.01 08/06/13
GBS Enterprises Inc NV 5.02 08/02/13
GENERAL DYNAMICS CORP DE 5.02,9.01 08/07/13
Genie Energy Ltd. DE 2.02,8.01,9.01 08/08/13
GENVEC INC DE 8.01 08/07/13
GENWORTH FINANCIAL INC DE 1.01,8.01,9.01 08/05/13
GERON CORP DE 2.02,9.01 08/08/13
GLADSTONE INVESTMENT CORPORATION\DE DE 5.07 08/08/13
GLEACHER & COMPANY, INC. DE 2.02,9.01 08/08/13
Global Geophysical Services Inc DE 8.01,9.01 08/08/13
GLOBAL PARTNERS LP 2.02,7.01,9.01 08/08/13
Golub Capital BDC, Inc. DE 2.02,9.01 08/08/13
Golub Capital BDC, Inc. DE 2.02,9.01 08/08/13
GRAY TELEVISION INC GA 2.02,9.01 08/08/13
Great Lakes Dredge & Dock CORP DE 2.02,9.01 08/08/13
GREAT PLAINS ENERGY INC MO 2.02,9.01 08/08/13
Hannon Armstrong Sustainable Infrastr MD 2.02,9.01 08/08/13
HANSEN MEDICAL INC DE 1.01,9.01 08/08/13
HARBINGER GROUP INC. DE 2.02,9.01 08/08/13
HARMAN INTERNATIONAL INDUSTRIES INC / DE 7.01,9.01 08/08/13
HARSCO CORP DE 2.02,9.01 08/08/13
HAWAIIAN ELECTRIC INDUSTRIES INC HI 2.02,9.01 08/08/13
HAWTHORN BANCSHARES, INC. MO 8.01 08/08/13
HAYNES INTERNATIONAL INC DE 2.02,7.01,9.01 08/08/13
HeartWare International, Inc. DE 2.02,9.01 08/08/13
HECLA MINING CO/DE/ DE 2.02,8.01,9.01 08/08/13
High Plains Gas, Inc. NV 4.01 08/08/13 AMEND
Higher One Holdings, Inc. DE 2.02,7.01,9.01 08/08/13
Higher One Holdings, Inc. DE 2.02,7.01,9.01 08/08/13 AMEND
Hillshire Brands Co MD 2.02,9.01 08/08/13
HORTON D R INC /DE/ DE 1.01,9.01 08/05/13
Howard Hughes Corp DE 2.02,9.01 08/08/13
ICG GROUP, INC. DE 2.02,9.01 08/08/13
IEC ELECTRONICS CORP DE 1.01,2.02,9.01 08/06/13
IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 5.03,9.01 08/08/13
IMH Financial Corp DE 9.01 08/08/13 AMEND
IMPAX LABORATORIES INC DE 2.02,9.01 08/08/13
IMPERIAL OIL LTD 8.01,9.01 08/08/13
inContact, Inc. DE 2.02,9.01 08/08/13
INDEPENDENCE HOLDING CO DE 2.02,9.01 08/07/13
INFINITY PHARMACEUTICALS, INC. DE 2.02,9.01 08/08/13
INFINITY PROPERTY & CASUALTY CORP OH 2.02,9.01 08/08/13
INLAND REAL ESTATE CORP MD 3.03,5.03,9.01 08/02/13
INLAND REAL ESTATE CORP MD 2.02,7.01,9.01 08/08/13
INNERWORKINGS INC 2.02,9.01 08/08/13
INNOSPEC INC. DE 2.02,9.01 08/07/13
INSIGHT ENTERPRISES INC DE 2.02,9.01 08/08/13
INSITE VISION INC DE 2.02,9.01 08/08/13
Inteliquent, Inc. 2.02,9.01 08/08/13
Intermec, Inc. DE 1.01,9.01 08/05/13
Intermec, Inc. DE 2.02,7.01,9.01 08/08/13
INTERNATIONAL SPEEDWAY CORP FL 1.01,7.01,8.01,9.01 08/08/13
International Stem Cell CORP DE 2.02,9.01 08/08/13
INTERNATIONAL TOWER HILL MINES LTD A1 5.02,9.01 08/05/13
INTRICON CORP PA 2.02,7.01,9.01 08/08/13
INTRUSION INC DE 2.02,9.01 08/08/13
INUVO, INC. NV 2.02,7.01,9.01 08/08/13
INVACARE CORP OH 1.01,7.01,9.01 08/07/13
INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 08/08/13
ION GEOPHYSICAL CORP DE 2.02,7.01,9.01 08/07/13
IRON MOUNTAIN INC DE 1.01,2.03,8.01,9.01 08/08/13
IRON MOUNTAIN INC DE 8.01,9.01 08/08/13
iShares Dow Jones-UBS Roll Select Com DE 1.01,9.01 08/08/13
Islet Sciences, Inc NV 5.02,8.01 07/30/13
IVANHOE ENERGY INC 7.01,9.01 08/08/13
J C PENNEY CO INC DE 8.01,9.01 08/08/13
JMP Group Inc. DE 7.01 08/08/13
Jones Lang LaSalle Income Property Tr MD 1.01,7.01,8.01 08/06/13
JONES SODA CO WA 2.02,9.01 08/08/13
KALOBIOS PHARMACEUTICALS INC DE 5.02,9.01 08/07/13
KERYX BIOPHARMACEUTICALS INC DE 8.01,9.01 08/08/13
Kior Inc DE 2.02,7.01,9.01 08/08/13
Kips Bay Medical, Inc. DE 2.02,9.01 08/08/13
Koppers Holdings Inc. PA 2.02,9.01 08/08/13
KRATOS DEFENSE & SECURITY SOLUTIONS, DE 2.02,9.01 08/06/13
KRONOS WORLDWIDE INC 7.01,9.01 08/07/13
KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 08/05/13
LAMAR ADVERTISING CO/NEW DE 2.02,9.01 08/08/13
Laredo Petroleum Holdings, Inc. DE 2.02,7.01,9.01 08/08/13
LAYNE CHRISTENSEN CO DE 7.01,9.01 08/08/13
Lehigh Gas Partners LP DE 1.01,2.02,8.01,9.01 08/07/13
Lender Processing Services, Inc. DE 2.02,9.01 08/08/13
LEXINGTON REALTY TRUST MD 2.02,7.01,9.01 08/07/13
Liberty Interactive Corp 2.02,9.01 08/06/13
Liberty Media Corp DE 2.02,9.01 08/06/13
LIFE PARTNERS HOLDINGS INC TX 5.07 08/05/13
LIFETIME BRANDS, INC DE 2.02,8.01,9.01 08/08/13
LINN ENERGY, LLC DE 2.02,9.01 08/08/13
LIONS GATE ENTERTAINMENT CORP /CN/ A1 2.02,9.01 08/08/13
LIQUIDITY SERVICES INC DE 7.01,9.01 08/07/13
Live Nation Entertainment, Inc. DE 7.01,9.01 08/08/13
LMI AEROSPACE INC MO 2.02,9.01 08/08/13
LOCAL Corp DE 2.02,9.01 08/08/13
Lone Pine Resources Inc. DE 2.02,9.01 08/08/13
LSB INDUSTRIES INC DE 2.02,9.01 08/08/13
LTC PROPERTIES INC MD 2.02,9.01 08/08/13
MAD CATZ INTERACTIVE INC Z4 2.02,9.01 08/08/13
MANAGEMENT NETWORK GROUP INC 2.02,9.01 08/08/13
MARKWEST ENERGY PARTNERS L P 2.02,9.01 08/07/13
Matador Resources Co TX 2.02,7.01,9.01 08/07/13
MCDONALDS CORP DE 7.01,9.01 08/08/13
MCG CAPITAL CORP DE 1.01,9.01 08/08/13
MEDIA GENERAL INC VA 2.02,8.01,9.01 08/08/13
MEDICAL PROPERTIES TRUST INC 2.02,9.01 08/08/13
MEDIVATION, INC. DE 2.02,9.01 08/08/13
MeetMe, Inc. DE 2.02,9.01 08/08/13
MeetMe, Inc. DE 8.01 08/08/13
MERRIMACK PHARMACEUTICALS INC DE 2.02,9.01 08/08/13
MET PRO CORP PA 1.01,9.01 08/08/13
MICHAEL BAKER CORP PA 2.02,9.01 08/08/13
MICROVISION INC DE 2.02,9.01 08/08/13
MIDDLEBY CORP DE 2.02,9.01 08/08/13
MILLER ENERGY RESOURCES, INC. TN 5.02 07/29/13 AMEND
MODEL N, INC. DE 2.02,9.01 08/08/13
Molycorp, Inc. DE 2.02,4.02 08/06/13
Monster Beverage Corp DE 2.02,9.01 08/08/13
MULTI FINELINE ELECTRONIX INC 2.02,9.01 08/08/13
NASB FINANCIAL INC MO 2.02,9.01 08/08/13
National Bank Holdings Corp DE 8.01,9.01 08/08/13
NATURAL RESOURCE PARTNERS LP DE 2.02,7.01,9.01 08/07/13
NAVARRE CORP /MN/ MN 2.02,9.01 08/07/13
Neenah Paper Inc DE 2.02,9.01 08/07/13
NEKTAR THERAPEUTICS DE 1.01 08/08/13
NEKTAR THERAPEUTICS DE 2.02,9.01 08/08/13
NELNET INC NE 2.02,9.01 08/08/13
Neonode, Inc DE 2.02,9.01 08/08/13
NEOPHOTONICS CORP DE 2.02,4.02,9.01 08/07/13
NeoStem, Inc. DE 2.02,7.01,9.01 08/08/13
NEUSTAR INC 7.01,9.01 08/08/13
NEWTEK BUSINESS SERVICES, INC. NY 5.07,7.01,9.01 08/06/13
Nexeo Solutions Holdings, LLC DE 1.01,2.03,5.03,9.01 08/05/13
NF Investment Corp. MD 3.02 08/07/13
NGP Capital Resources Co MD 2.02,9.01 08/08/13
NL INDUSTRIES INC NJ 7.01,9.01 08/07/13
NOODLES & Co DE 2.02,9.01 08/08/13
NORFOLK SOUTHERN CORP VA 8.01,9.01 08/08/13
NORTHERN OIL & GAS, INC. 2.02,9.01 08/08/13
NorthStar Healthcare Income, Inc. MD 1.01 08/02/13
NPS PHARMACEUTICALS INC DE 2.02,9.01 08/08/13
NUMEREX CORP /PA/ PA 2.02,9.01 08/08/13
NUPATHE INC. DE 2.02,9.01 08/08/13
Nuverra Environmental Solutions, Inc. DE 2.02,9.01 08/08/13
NVIDIA CORP DE 2.02,9.01 08/08/13
NxStage Medical, Inc. DE 1.01 08/02/13
OAKRIDGE HOLDINGS INC MN 4.01 08/05/13
Oculus Innovative Sciences, Inc. CA 1.01,2.02,9.01 08/02/13
OCZ TECHNOLOGY GROUP INC DE 8.01,9.01 08/05/13
OGE ENERGY CORP. OK 2.02,9.01 08/08/13
Okana Ventures, Inc. NV 1.01,3.02,5.02,8.01, 07/30/13
9.01
OKLAHOMA GAS & ELECTRIC CO OK 2.02,9.01 08/08/13
ONCOGENEX PHARMACEUTICALS, INC. DE 2.02,9.01 08/08/13
ONCOSEC MEDICAL Inc NV 5.02,9.01 08/02/13
ONE LIBERTY PROPERTIES INC MD 2.02,9.01 08/08/13
ONYX PHARMACEUTICALS INC DE 2.02,9.01 08/08/13
Opexa Therapeutics, Inc. TX 8.01,9.01 08/07/13
OPLINK COMMUNICATIONS INC DE 2.02,9.01 08/08/13
ORBCOMM Inc. DE 2.02,9.01 08/08/13
Orbitz Worldwide, Inc. DE 2.02 08/08/13
ORION FINANCIAL GROUP Inc WY 1.01,8.01,9.01 07/29/13
PANHANDLE EASTERN PIPE LINE CO LP DE 7.01,9.01 08/07/13
Parametric Sound Corp NV 2.02,8.01,9.01 08/08/13
Parametric Sound Corp NV 1.01 08/02/13 AMEND
PAREXEL INTERNATIONAL CORP MA 2.02,9.01 08/07/13
PARK OHIO HOLDINGS CORP OH 9.01 08/08/13
PCS EDVENTURES COM INC ID 2.03,9.01 05/24/13 AMEND
PDC ENERGY, INC. NV 1.01,9.01 08/05/13
PDL BIOPHARMA, INC. DE 2.02,7.01,9.01 08/08/13
PEGASYSTEMS INC MA 2.02,9.01 08/08/13
PENN VIRGINIA CORP VA 2.02,7.01,9.01 08/07/13
PennantPark Floating Rate Capital Ltd 2.02,9.01 08/08/13
PennyMac Mortgage Investment Trust MD 1.01,2.03 08/02/13
PERFORMANCE TECHNOLOGIES INC \DE\ DE 2.02 06/30/13
Performant Financial Corp DE 2.02,9.01 08/08/13
Perfumania Holdings, Inc. FL 2.02,9.01 08/08/13
PHARMATHENE, INC DE 8.01,9.01 08/08/13
Phillips Edison - ARC Shopping Center MD 2.02,9.01 08/08/13
PINNACLE FINANCIAL PARTNERS INC TN 5.02 08/06/13
PITNEY BOWES INC /DE/ DE 7.01,9.01 08/05/13
PLANAR SYSTEMS INC OR 2.02,9.01 08/08/13
PLUG POWER INC DE 2.02,9.01 08/08/13
Polonia Bancorp Inc MD 2.02,9.01 08/02/13
POLYMER GROUP INC DE 2.02,9.01 08/07/13
PORTFOLIO RECOVERY ASSOCIATES INC DE 1.01,8.01,9.01 08/07/13
PostRock Energy Corp DE 2.02,9.01 08/07/13
POWER SOLUTIONS INTERNATIONAL, INC. DE 2.02,9.01 08/08/13
PRICELINE COM INC DE 2.02,9.01 08/08/13
Primoris Services Corp DE 2.02,8.01,9.01 08/07/13
PRIMUS TELECOMMUNICATIONS GROUP INC DE 2.02,9.01 08/08/13
Probe Manufacturing Inc NV 1.01,3.02,7.01,9.01 08/08/13
PROTECTIVE LIFE CORP DE 1.01,2.03 08/07/13
PROTECTIVE LIFE INSURANCE CO TN 1.01,2.03 08/07/13
PSB HOLDINGS INC /WI/ WI 5.07 05/21/13 AMEND
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 08/08/13
QC Holdings, Inc. KS 2.02,8.01,9.01 08/08/13
QUANTUM CORP /DE/ DE 5.07 08/07/13
QUINT MEDIA INC. NV 5.02,5.03,9.01 08/07/13
RACKSPACE HOSTING, INC. 2.02,9.01 08/08/13
RAMBO MEDICAL GROUP, INC. 5.03,8.01,9.01 08/05/13
Raptor Pharmaceutical Corp DE 2.02,9.01 08/08/13
READING INTERNATIONAL INC NV 2.02,9.01 08/08/13
Red Lion Hotels CORP WA 2.02,9.01 08/08/13
REDFIN NETWORK, INC. NV 5.02,9.01 08/05/13
Regency Energy Partners LP DE 2.02,9.01 08/08/13
RENTECH INC /CO/ CO 2.02,9.01 08/08/13
Rentech Nitrogen Partners, L.P. DE 2.02,9.01 08/08/13
RESEARCH FRONTIERS INC DE 7.01,9.01 08/08/13
RESOURCE AMERICA, INC. DE 2.02,9.01 08/07/13
RESPONSE GENETICS INC 2.02,9.01 08/08/13
Rexnord Corp DE 7.01,9.01 08/07/13
RLJ Lodging Trust MD 5.02,9.01 08/02/13
ROBERTS REALTY INVESTORS INC GA 2.01 08/06/13
ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 1.01,2.03 08/08/13
Roundy's, Inc. DE 2.02,8.01,9.01 08/08/13
ROYAL GOLD INC DE 2.02,9.01 08/08/13
Saleen Automotive, INC. NV 1.01,2.01,2.03,3.02, 06/26/13 AMEND
3.03,4.01,5.01,5.02,5.06
Saleen Automotive, INC. NV 1.01,2.01,2.03,3.02, 06/26/13 AMEND
3.03,4.01,5.01,5.02,5.06
SALIX PHARMACEUTICALS LTD 2.02,9.01 08/08/13
Sanchez Energy Corp DE 2.02,7.01,9.01 08/07/13
SANDRIDGE ENERGY INC DE 8.01,9.01 08/07/13
Sarepta Therapeutics, Inc. DE 2.02,9.01 08/08/13
SCIENTIFIC GAMES CORP DE 2.02,9.01 08/08/13
Scripps Networks Interactive, Inc. OH 2.02,7.01,9.01 08/08/13
SELECT MEDICAL HOLDINGS CORP 2.02,9.01 08/08/13
SELECTICA INC DE 2.02,9.01 08/08/13
Seven Seas Cruises S. DE R.L. R1 2.02,9.01 08/08/13
ShoreTel Inc CA 2.02,5.02,9.01 08/08/13
Silver Dragon Resources Inc. DE 1.01 08/08/13
Silvercrest Asset Management Group In DE 8.01,9.01 08/07/13
Sino-Global Shipping America, Ltd. VA 5.02,8.01,9.01 08/08/13
SIONIX CORP NV 4.01,9.01 07/18/13 AMEND
SMTC CORP DE 2.02,9.01 08/08/13
Sorrento Therapeutics, Inc. DE 8.01,9.01 08/07/13
Sotherly Hotels Inc. MD 5.07 04/16/13 AMEND
SOUTH JERSEY INDUSTRIES INC NJ 2.02,7.01,9.01 08/08/13
SOUTHERN UNION CO DE 7.01,9.01 08/07/13
SOUTHWESTERN ENERGY CO DE 7.01 08/02/13
SPAR GROUP INC DE 2.02,9.01 08/07/13
SPARK NETWORKS INC DE 2.02,9.01 08/08/13
Spirit AeroSystems Holdings, Inc. DE 1.01 08/02/13
Start Scientific, Inc. DE 1.01,9.01 08/07/13
Steel Excel Inc. DE 2.02 08/06/13
STEEL PARTNERS HOLDINGS L.P. DE 2.02,9.01 08/08/13
Stereotaxis, Inc. DE 1.01,2.02,3.02,8.01, 08/07/13
9.01
STIFEL FINANCIAL CORP DE 2.02,9.01 08/08/13
STILLWATER MINING CO /DE/ DE 2.02,9.01 08/08/13
SUBURBAN PROPANE PARTNERS LP DE 2.02,9.01 08/08/13
Sucampo Pharmaceuticals, Inc. 2.02,5.02,7.01,8.01, 08/02/13
9.01
Summit Materials, LLC DE 2.02,9.01 08/08/13
SVB FINANCIAL GROUP 5.02,9.01 08/07/13
SYNTROLEUM CORP DE 8.01,9.01 08/07/13
Synutra International, Inc. DE 2.02,9.01 08/08/13
T-Mobile US, Inc. DE 2.02,9.01 08/08/13
Tableau Software Inc 2.02,9.01 08/08/13
TCP Capital Corp. DE 2.02,7.01,9.01 08/08/13
TEJON RANCH CO DE 1.01,8.01,9.01 08/07/13
TENGION INC DE 5.02,9.01 08/07/13
TESORO CORP /NEW/ DE 7.01,9.01 08/08/13
TESORO LOGISTICS LP DE 9.01 06/01/13 AMEND
TESORO LOGISTICS LP DE 9.01 06/17/13 AMEND
TETRA TECH INC DE 2.02,9.01 08/07/13
THERAGENICS CORP DE 2.02,8.01 08/08/13
Thermon Group Holdings, Inc. DE 2.02,9.01 08/08/13
THESTREET, INC. DE 2.02,9.01 08/08/13
Thompson Creek Metals Co Inc. A1 5.02,9.01 08/01/13
TIAA REAL ESTATE ACCOUNT NY 2.02,7.01,9.01 08/08/13
Tim Hortons Inc. A6 2.02,7.01,8.01,9.01 08/08/13
Tim Hortons Inc. A6 7.01,9.01 08/08/13
TOWER FINANCIAL CORP IN 9.01 08/08/13
Tower Group International, Ltd. D0 7.01,9.01 08/08/13
TOWERSTREAM CORP DE 2.02,7.01,9.01 08/08/13
TRAC Intermodal LLC DE 2.02,9.01 08/07/13
TreeHouse Foods, Inc. DE 2.02,7.01,9.01 08/08/13
TreeHouse Foods, Inc. DE 1.01,7.01,9.01 08/07/13
TREMOR VIDEO INC. DE 2.02,9.01 08/08/13
Tronox Ltd 2.02,9.01 08/07/13
U S PHYSICAL THERAPY INC /NV NV 2.02,8.01,9.01 08/08/13
Ubiquiti Networks, Inc. DE 2.02,9.01 08/08/13
Uni-Pixel DE 8.01,9.01 08/08/13
UNION BANKSHARES INC VT 2.02,9.01 08/08/13
United Continental Holdings, Inc. DE 8.01,9.01 08/07/13
UNITED GUARDIAN INC DE 2.02,9.01 08/08/13
UNIVERSAL DISPLAY CORP \PA\ PA 9.01 08/08/13
UNIVERSAL ELECTRONICS INC DE 2.02,9.01 08/08/13
UQM TECHNOLOGIES INC CO 5.07 08/07/13
URANERZ ENERGY CORP. NV 8.01 08/08/13
US CONCRETE INC DE 2.02,9.01 08/08/13
US ENERGY CORP WY 2.02,9.01 08/08/13
USA TRUCK INC DE 2.02,7.01 08/07/13 AMEND
Valeant Pharmaceuticals International A8 2.01,5.02,8.01,9.01 08/05/13
VECTREN CORP IN 2.03,9.01 08/06/13
Verso Paper Corp. DE 2.02,9.01 08/08/13
Viggle Inc. DE 8.01,9.01 08/08/13
VISHAY INTERTECHNOLOGY INC DE 1.01,2.03,8.01,9.01 08/08/13
VISTEON CORP DE 2.02,7.01,9.01 08/08/13
Vringo Inc DE 2.02,9.01 08/08/13
W&T OFFSHORE INC TX 2.02,9.01 08/07/13
W. S. Industries, Inc. NV 5.03 08/08/13
Walker & Dunlop, Inc. MD 2.02,9.01 08/08/13
WALTER INVESTMENT MANAGEMENT CORP MD 2.02,7.01,9.01 08/08/13
WALTER INVESTMENT MANAGEMENT CORP MD 5.02 08/08/13
Warner Music Group Corp. DE 2.02,9.01 08/08/13
Warner Music Group Corp. DE 9.01 07/01/13 AMEND
WCI Communities, Inc. DE 1.01,1.02,2.03,9.01 08/07/13
WELLCARE HEALTH PLANS, INC. DE 2.02 08/07/13 AMEND
WELLS FARGO & COMPANY/MN DE 9.01 08/08/13
Wesco Aircraft Holdings, Inc 7.01,9.01 08/08/13
WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 1.01,2.03,9.01 08/08/13
WET SEAL INC DE 2.02,9.01 08/08/13
WGL HOLDINGS INC VA 2.02,9.01 08/07/13
Willdan Group, Inc. DE 2.02,9.01 08/08/13
WILLIAM LYON HOMES DE 1.01,2.03 08/07/13
WILLIAM LYON HOMES DE 2.02,9.01 08/08/13
WILLIS GROUP HOLDINGS PLC L2 8.01,9.01 08/08/13
WINDSTREAM CORP DE 2.02,9.01 08/08/13
WRIGHT MEDICAL GROUP INC DE 8.01,9.01 08/08/13
XO GROUP INC. DE 5.02,8.01 08/02/13
XRS Corp MN 2.02 08/08/13
Yankee Holding Corp. DE 2.02,9.01 08/08/13
YCC Holdings LLC DE 2.02,9.01 08/08/13
YORK WATER CO PA 2.02,9.01 08/08/13
Zeltiq Aesthetics Inc DE 7.01 08/08/13
ZIOPHARM ONCOLOGY INC DE 8.01,9.01 08/08/13
Zoetis Inc. 5.02 08/01/13
ZOGENIX, INC. DE 2.02,9.01 08/08/13
ZYNEX INC NV 2.02,9.01 08/08/13
http://www.sec.gov/news/digest/2013/dig081313.htm
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