Michael Piwowar Sworn In As SEC Commissioner
The Securities and Exchange Commission ("Commission") announced that Michael S. Piwowar was sworn into office today as an SEC Commissioner by SEC Los Angeles Regional Office Director Michele Wein Layne. He replaces former Commissioner Troy Paredes who stepped down earlier this month.
"I am extremely excited to return to the SEC, where I first learned the value of public service," said Dr. Piwowar. "I look forward to working with my fellow commissioners and the SEC's outstanding staff to advance the important mission of the agency -- to protect investors, maintain fair, orderly, and efficient markets, and promote capital formation."
President Barack Obama nominated Dr. Piwowar to the SEC on May 23. The U.S. Senate confirmed his nomination on August 1, along with that of Kara M. Stein, who was sworn into office as an SEC Commissioner on August 9.
Dr. Piwowar previously was the chief Republican economist for the U.S. Senate Committee on Banking, Housing, and Urban Affairs under Sens. Mike Crapo and Richard Shelby. He worked on the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Jumpstart Our Business Startups (JOBS) Act, and on SEC-related issues overseen by the committee, including market structure, capital formation, investor protection, and the regulation of securities and over-the-counter derivatives.
"I am very pleased to welcome Mike back to the SEC and look forward to working with him as a fellow Commissioner," said SEC Chair Mary Jo White. "Mike has an impressive record of public service and he will play a key role, alongside some of the most talented and dedicated professionals in government, as we work to fulfill our vital mission."
During the financial crisis, Dr. Piwowar served a one-year term as a senior economist at the President's Council of Economic Advisers under Presidents George W. Bush and Barack Obama and was a staff economist for the Financial Regulatory Reform Working Group of the President's Economic Advisory Board. Before that, he was a Principal at the Securities Litigation and Consulting Group, where he acted as an economic consultant and provided technical assistance on market structure, regulatory policy, and risk management to securities regulators and market participants in the U.S. and abroad.
Dr. Piwowar's first tenure at the SEC was as a visiting academic scholar and senior financial economist in its Office of Economic Analysis, now the Division of Economic and Risk Analysis. He previously was an assistant professor of finance at Iowa State University, where he received awards for teaching and for his research, chiefly on market microstructure.
Dr. Piwowar received a B.A. in Foreign Service and International Politics from Pennsylvania State University, an M.B.A. from Georgetown University, and a Ph.D. in Finance from Pennsylvania State University.
Dr. Piwowar's wife, Eileen Piwowar, his children Sean and Brigid Piwowar, and his father and stepmother, Tom and Cathy Piwowar, attended his swearing-in ceremony, which was held in Los Angeles. (Press Rel. 2013-157)
Eun Ah Choi Named Managing Executive of the Commission's Division of Investment Management
The Commission today announced that Eun Ah Choi has been named Managing Executive of the Division of Investment Management. She will assume her new role on August 19.
The SEC's Division of Investment Management works to protect investors, promote informed investment decisions, and facilitate appropriate innovation in investment products and services through regulation of the asset management industry. Ms. Choi will serve as the division's point person on a wide range of business, operational and administrative functions, including risk and examinations, business process improvement, human capital management, strategic planning, and industry and financial analyses.
"We are very pleased to announce that Eun Ah is joining the division. She brings a wealth of legal, analytical and management experience, and she will be a vital asset in our continuing improvement project called ‘IM Moving Ahead,'" said Norm Champ, Director of the Division of Investment Management.
Ms. Choi said, "I am very excited to serve in the SEC's Division of Investment Management and to assist Norm and the staff facilitate continuous improvement and implement whatever changes may be necessary to ensure that the division continues to be a high-performing organization."
Ms. Choi joins the SEC from the law firm Hogan Lovells US LLP in Washington, D.C., where she worked as a partner in the firm's corporate department and represented publicly and privately held companies, board of directors, and investment banks. Ms. Choi's transactional and counseling background is uniquely complemented by her significant experience managing and coordinating organization-wide efforts to develop, improve and streamline operational, technological and legal procedures, controls and standards.
Ms. Choi graduated magna cum laude with a B.S. from Georgetown University's School of Foreign Service, and received her J.D. from the Georgetown University Law Center, where she was a member of the Order of the Coif. (Press Rel. 2013-156)
Commission Suspends Trading in Securities of Redfin Network, Inc.
The Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the "Exchange Act"), of trading in the securities of Redfin Network, Inc. ("Redfin"), of Ft. Lauderdale, Florida commencing at 9:30 a.m. EDT on August 15, 2013, and terminating at 11:59 p.m. EDT on August 28, 2013.
The Commission temporarily suspended trading in the securities of Redfin because of questions that have been raised about the accuracy and adequacy of publicly available information about Redfin because it has not filed a periodic report since its Form 10-Q for the period ending September 30, 2012, filed on November 9, 2012.
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 the company.
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 Redfin's 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. 34-70204)
In the Matter of the Chicago Stock Exchange, Inc.The Commission announced the issuance of an Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 19(h)(1) and 21C of the Securities Exchange Act of 1934 ("Order") against the Chicago Stock Exchange, Inc. ("CHX").
The Order finds that CHX violated provisions of the federal securities laws in connection with the use of its validated cross trade reporting functionality ("validated cross system"). The validated cross system was intended to facilitate the reporting of certain cross trades and ensure that such trades did not "trade through" the prevailing National Best Bid or Offer ("NBBO"), i.e., were not executed at a price that was inferior to the prevailing NBBO. From December 2006 to December 2010, as a result of its flawed implementation, the validated cross system failed to prevent CHX's institutional brokers from trading through the NBBO. In addition, from at least December 2006 to August 2008, due to failures in its surveillance systems, CHX was unable to adequately enforce compliance with its own rules governing the use of the validated cross system. In December 2010, CHX discontinued the use of the validated cross system.
By the conduct described above, the Order finds that CHX failed to implement policies and procedures reasonably designed to detect and prevent improper trade-throughs, and failed to regularly surveil to ascertain the effectiveness of such policies and procedures and take prompt action to remedy any deficiencies, in violation of Rule 611 of Regulation NMS (the Order Protection Rule). In addition, CHX failed to monitor and enforce compliance by its members with its own rules in violation of Section 19(g)(1) of the Securities Exchange Act of 1934 ("Exchange Act").
CHX, without admitting or denying the Commission's findings, consented to the entry of the Order, which imposes a censure, requires CHX to cease and desist from further violations of Rule 611 of Regulation NMS and Section 19(g)(1) of the Exchange Act, and imposes penalties in the amount of $300,000. (Rel. 34-70214)
Commission Obtains Final Judgment against Conrad M. BlackThe Commission announced that on August 13, 2013, the Honorable William T. Hart of the United States District Court for the Northern District of Illinois entered a final judgment against Conrad M. Black, the former Chief Executive Officer and Chairman of Hollinger International, Inc. ("Hollinger International"), in Securities and Exchange Commission v. Conrad M. Black, Case No. 1:04 CV 7377 (N.D. Ill.).
The Commission's complaint alleged, among other things, that Black fraudulently diverted money from Hollinger International to himself and other corporate insiders in the form of purported non-competition payments in the PMG Acquisition ("Paxton") and Forum Communications Company ("Forum") newspaper sale transactions and made misstatements and omissions of material fact about these related party payments in Hollinger International's filings with the Commission. The complaint further alleged that Black misled the investing public in a November 17, 2003 press release about his intention to devote his time to an effort to sell Hollinger International assets for the benefit of all shareholders and not to undermine that process by engaging in transactions for the benefit of himself and Hollinger Inc.
The final judgment was the product of a settlement reached through a Court of Appeals mediation process after Black appealed the district court's October 9, 2012 judgment against him. The October 9, 2012 judgment granted summary judgment in favor of the Commission with regard to certain of its claims in connection with the Paxton and Forum transactions and the November 17, 2003 press release.
The final judgment permanently enjoins Black from violating Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(5), and 14(a) of the Securities Exchange Act of 1934, and Rules 10b-5, 12b-20, 13a-1, 13a-13, 13b2-1, 14a-3 and 14a-9 thereunder; orders Black to pay disgorgement in the amount of $2,546,586.99 and prejudgment interest of $1,547,557.37 for a total of $4,094,144.36 to be paid to Chicago Newspaper Liquidation Corporation; and prohibits Black from acting as an officer or director of any public company. Black consented to the entry of the final judgment without denying the allegations of the Commission's complaint. [SEC v. Conrad M. Black, Civil Action No. 1:04 CV 7377 (N.D. Ill.)] (LR-22781)
In the Matter of Adam G. EricksonThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) and Section 203(f) of the Investment Advisers Act of 1940 (Advisers Act), Making Findings and Imposing Remedial Sanctions (Order) against Adam G. Erickson.
The Order finds that from June 2009 through October 2010, Erickson was engaged in the business of effecting transactions in securities for the accounts of others by offering and selling promissory notes to investors. During that time, Erickson was associated with a registered broker dealer and with a registered investment adviser. On April 22, 2013, a judgment was entered by consent against Erickson, permanently enjoining him from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder and from aiding and abetting future violations of Section 15(c) of the Exchange Act and Sections 206(1) and 206(2) of the Advisers Act, in the civil action entitled Securities and Exchange Commission v. Steven Brewer, et al., Civil Action Number 10-cv-6932-BMM-AK, in the United States District Court for the Northern District of Illinois. The Commission's complaint alleged that, from June 2009 through at least the end of September 2010, Erickson and others participated in fraudulent, unregistered offerings of promissory notes issued by FPA Limited, an Isle of Man company, in the aggregate amount of $5.6 million to at least 74 investors. The offering materials created and used for the offerings misrepresented the risk of the investment and misrepresented the use of proceeds of the offering. The complaint alleged that Erickson reviewed and approved the fraudulent offering documents. Erickson also directed the registered broker dealer and registered investment adviser to sell the notes.
Based on the above, the Order bars Erickson from association with any broker, dealer, or 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. Erickson consented to the issuance of the Order without admitting or denying any of the allegations in the civil injunctive action. (Rel. 34-70215)
In the Matter of Karl Motey
On August 15, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Karl Motey (Motey).
The Order finds that on December 14, 2010, Motey, the former owner and operator of Coda Group, Inc., a California-based equity research firm and investment adviser, pled guilty to one count of securities fraud and one count of conspiracy to commit securities fraud in violation of 18 U.S.C. §§ 2 and 371, and 15 U.S.C. §§ 78j(b) and 78ff. United States v. Karl Motey, 10 CR 1249 (S.D.N.Y.). The criminal information in that case alleged, inter alia, that, in 2007 through 2009, Motey, and others, participated in a scheme to defraud by executing securities trades based on material, nonpublic information regarding quarterly earnings and other market-moving information that had been misappropriated in violation of duties of trust and confidence. The information alleged that in 2007 through 2009, Motey obtained material, nonpublic information regarding Marvell Technology Group Ltd from a company employee, and tipped the information to individuals who executed securities transactions based, in part, on that information.
Based on the above, the Order bars Motey from associating with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Motey consented to the issuance of the Order. (Rel. IA-3649).
Commission Institutes Administrative Proceedings against Redfin Network, Inc. for Failure to Make Required Periodic FilingsOn August 15, 2013, the Commission issued an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (the Order) against Redfin Network, Inc. (Redfin). Redfin is a Nevada corporation with offices in Fort Lauderdale, Florida. The purpose of the proceeding is to determine whether the registration of Redfin's securities should be suspended or revoked. In the Order, the Division of Enforcement (Division) alleges that Redfin failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder by failing to file periodic reports required by these provisions.
A hearing will be scheduled before an Administrative Law Judge to provide Redfin an opportunity to respond to the allegations of the Division contained in the Order, to determine whether these allegations are true, and to determine whether it is necessary and appropriate for the protection of investors to suspend for a period not exceeding twelve months or revoke the registration of Redfin's securities. (Rel. 34-70203).
Commission Revokes Registration of Securities of Convergence Ethanol, Inc. for Filing a Materially Deficient Registration FormOn August 15, 2013, the Commission revoked the registration of each class of registered securities of Convergence Ethanol, Inc. (CETH) for filing a materially deficient registration form.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, CETH consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 finding that it had failed to comply with Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 12b-20 and Regulations S-K and S-X thereunder and revoking the registration of each class of CETH's securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against CETH in In the Matter of Convergence Ethanol, Inc., Administrative Proceeding File No. 3-15404.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . (Rel. 34-70202)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by the Topaz Exchange, LLC (SR-Topaz-2013-01) to establish the Schedule of Fees 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 19th. (Rel. 34-70200)
A proposed rule change filed by the New York Stock Exchange LLC (SR-NYSE-2013-59) 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 19th. (Rel. 34-70206)
A proposed rule change (SR-NYSEMKT-2013-69) filed by NYSE MKT LLC amending the fees for display use of the NYSE MKT BBO and NYSE MKT Trades market data products and making certain technical changes to the fee schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected to be made in the Federal Register during the week of August 19th. (Rel. 34-70212).
A proposed rule change (SR-NYSEArca-2013-81) filed by the NYSE Arca, Inc. amending the fees for display use of the NYSE Arca BBO and NYSE Arca Trades market data products and making certain technical changes to the fee schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected to be made in the Federal Register during the week of August 19th. (Rel. 34-70213).
A proposed rule change (SR-NYSE-2013-58) filed by the New York Stock Exchange LLC amending the fees for display use of the NYSE BBO and NYSE Trades market data products and making certain technical changes to the fee schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected to be made in the Federal Register during the week of August 19th. (Rel. 34-70211).
Notice of Proposed Rule Change
The Options Clearing Corporation (OCC) filed a proposed rule change (File No. SR-OCC-2013-12) under Section 19(b)(1) of the Securities Exchange Act of 1934 to make structural changes to OCC's Membership/Risk Committee regarding Public Directors and the process for designating Membership/Risk Committee members. Publication is expected in the Federal Register during the week of August 19th. (Rel. 34-70207)
Approval of a Proposed Rule Change
The Commission granted approval of a proposed rule change (SR-NYSEArca-2013-60) 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 Market Vectors Low Volatility Commodity ETF and Market Vectors Long/Short Commodity ETF under NYSE Arca Equities Rule 8.200. Publication is expected in the Federal Register during the week of August 19th. (Rel. 34-70209)
The Commission granted approval of proposed rule changes (SR-NYSE-2013-42; SR-NYSEMKT-2013-50; SR-NYSEArca-2013-62) submitted by New York Stock Exchange LLC; NYSE MKT LLC; and NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to a corporate transaction in which NYSE Euronext will become a wholly-owned subsidiary of IntercontinentalExchange Group, Inc. Publication is expected in the Federal Register during the week of August 19th. (Rel. 34-70210)
The Commission approved proposed rule changes submitted by New York Stock Exchange LLC (SR-NYSE-2013-33) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 proposing to: (i) delete the sections in the listed company manual (the "Manual") containing the listing application materials (Including the listing application and the listing agreement) and adopt updated listing application materials that will be posted on the Exchange's website; and (ii) adopt as new rules certain provisions that are currently included in the various forms of agreements that are in the manual, as well as some additional new rules that make explicit existing exchange policies with respect to initial listings. Publication is expected in the Federal Register during the week of August 19th. (Rel. 34-70218)
Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove a Proposed Rule Change
The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on proceedings to determine whether to disapprove a proposed rule change (SR-NYSE-2013-07) filed by New York Stock Exchange LLC amending NYSE Rules 451 and 465, and the related provisions of Section 402.10 of the NYSE Listed Company Manual, which provide a schedule for the reimbursement of expenses by issuers to NYSE member organizations for the processing of proxy materials and other issuer communications provided to investors holding securities in street name, and to establish a five-year fee for the development of enhanced brokers internet platforms. Publication is expected in the Federal Register during the week of August 19th. (Rel. 34-70217)
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 CVR Refining, LP, 2277 PLAZA DRIVE, SUITE 500, SUGAR LAND, TX, 77479, (281) 207-3200 - 0 ($292,967,550.00) Limited Partnership Interests, (File 333-190606 - Aug. 14) (BR. 04A) S-8 Frank's International N.V., PRINS BERNHARDPLEIN 200 1097 JB, AMSTERDAM, P7, NO ZIP, (281) 966-7300 - 23,000,000 ($608,925,000.00) Equity, (File 333-190607 - Aug. 14) (BR. 04A) S-1 FATE THERAPEUTICS INC, 3535 GENERAL ATOMICS COURT, SUITE 200, SAN DIEGO, CA, 92121, 858.875.1803 - 0 ($69,000,000.00) Equity, (File 333-190608 - Aug. 14) (BR. 01B) S-3 ORAGENICS INC, 4902 EISENHOWER BLVD, SUITE 125, TAMPA, FL, 33634, 8132867900 - 0 ($30,000,000.00) Equity, (File 333-190609 - Aug. 14) (BR. 01B) S-1 Benefitfocus,Inc., 100 BENEFITFOCUS WAY, CHARLESTON, SC, 29492, 843-849-7476 - 0 ($75,000,000.00) Equity, (File 333-190610 - Aug. 14) (BR. 03B) S-8 STOCK BUILDING SUPPLY HOLDINGS, INC., 8020 ARCO CORPORATE DRIVE, SUITE 400, RALEIGH, NC, 27617, 919-431-1000 - 0 ($25,200,000.00) Equity, (File 333-190611 - Aug. 14) (BR. 06B) S-3ASR FRONTIER COMMUNICATIONS CORP, HIGH RIDGE PK BLDG 3, STAMFORD, CT, 06905, 2036145600 - 5,000,000 ($22,625,000.00) Equity, (File 333-190613 - Aug. 14) (BR. 11A) S-8 INTREXON CORP, 1750 KRAFT DRIVE, SUITE 1400, BLACKSBURG, VA, 24060, 301-556-9809 - 0 ($182,282,128.00) Equity, (File 333-190614 - Aug. 14) (BR. 01B) S-8 LPATH, INC, 4025 SORRENTO VALLEY BLVD., SAN DIEGO, CA, 92121-1404, 858-678-0800 - 0 ($5,880,989.85) Equity, (File 333-190615 - Aug. 14) (BR. 01A) S-1 CHEGG, INC, 2350 MISSION COLLEGE BLVD., SUITE 1400, SANTA CLARA, CA, 95054, 888-992-4344 - 0 ($150,000,000.00) Equity, (File 333-190616 - Aug. 14) (BR. 11C) S-8 TALON REAL ESTATE HOLDING CORP., 5500 WAYZATA BOULEVARD, SUITE 1070, MINNEAPOLIS, MN, 55416, 612-604-4600 - 1,500,000 ($4,500,000.00) Equity, (File 333-190618 - Aug. 14) (BR. 08C) S-8 APACHE CORP, 2000 POST OAK BLVD, STE 100, HOUSTON, TX, 77056-4400, 7132966000 - 17,000,000 ($1,409,130,000.00) Equity, (File 333-190619 - Aug. 14) (BR. 04B) S-3 Zeltiq Aesthetics Inc, 4698 Willow Road, Suite 100, Pleasanton, CA, 94588-2710, (925) 474-2500 - 12,500,000 ($91,750,000.00) Equity, 75,000,000 ($75,000,000.00) Unallocated (Universal) Shelf, (File 333-190620 - Aug. 14) (BR. 10B) S-8 1st Century Bancshares, Inc., 1875 CENTURY PARK EAST, SUITE 1400, LOS ANGELES, CA, 90067, 310-270-9500 - 150,000 ($1,032,000.00) Equity, (File 333-190621 - Aug. 14) (BR. 07B) S-8 BioAmber Inc., 3850 ANNAPOLIS LANE NORTH, SUITE 180, PLYMOUTH, MN, 55447-5476, 612-747-4423 - 4,882,922 ($38,769,519.00) Equity, (File 333-190622 - Aug. 14) (BR. 06C) S-8 ACME UNITED CORP, 60 ROUND HILL ROAD, FAIRFIELD, CT, 06824, 203-254-6060 - 170,000 ($2,339,775.00) Equity, (File 333-190623 - Aug. 14) (BR. 06A) S-3 HYPERION THERAPEUTICS INC, 601 GATEWAY BLVD., SUITE 200, SOUTH SAN FRANCISCO, CA, 94080, 650-745-7802 - 0 ($214,029,675.00) Equity, 0 ($150,000,000.00) Unallocated (Universal) Shelf, (File 333-190624 - Aug. 14) (BR. 01A)
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 99 CENTS ONLY STORES CA 5.02 08/09/13 AASTROM BIOSCIENCES INC MI 8.01,9.01 08/13/13 ABRAXAS PETROLEUM CORP NV 2.01,7.01,9.01 08/09/13 ADCARE HEALTH SYSTEMS, INC OH 2.02,9.01 08/14/13 Addus HomeCare Corp DE 7.01,9.01 08/14/13 AeroGrow International, Inc. NV 2.02,9.01 08/14/13 AFFIRMATIVE INSURANCE HOLDINGS INC DE 2.02,9.01 08/14/13 AGILENT TECHNOLOGIES INC DE 2.02,9.01 08/14/13 ALASKA PACIFIC BANCSHARES INC AK 2.02,9.01 08/14/13 AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 08/14/13 American Midstream Partners, LP DE 2.02,9.01 08/14/13 AMERICAN POWER GROUP Corp DE 2.02,9.01 08/14/13 AMERICAN SHARED HOSPITAL SERVICES CA 2.02,9.01 08/14/13 American Standard Energy Corp. DE 5.02 08/14/13 AMERICAN TOWER CORP /MA/ DE 8.01,9.01 08/14/13 AMR CORP DE 8.01,9.01 08/13/13 ANGIODYNAMICS INC DE 7.01,9.01 08/14/13 APPLIED INDUSTRIAL TECHNOLOGIES INC OH 2.02,9.01 08/14/13 Armada Hoffler Properties, Inc. MD 2.02,9.01 08/13/13 Armada Hoffler Properties, Inc. MD 8.01,9.01 08/13/13 Ascent Capital Group, Inc. DE 2.02,9.01 08/08/13 Ascent Capital Group, Inc. DE 2.02,9.01 08/08/13 Athlon Energy Inc. DE 2.02,7.01,9.01 08/13/13 ATOSSA GENETICS INC DE 2.02,9.01 08/14/13 AVIAT NETWORKS, INC. DE 2.02,7.01,9.01 08/14/13 Bancorp of New Jersey, Inc. NJ 2.02,9.01 08/14/13 BAR HARBOR BANKSHARES ME 5.02 08/10/13 BCB BANCORP INC DC 5.02,9.01 08/13/13 BIO KEY INTERNATIONAL INC DE 2.02,9.01 08/14/13 BioScrip, Inc. DE 8.01,9.01 08/13/13 BLONDER TONGUE LABORATORIES INC DE 2.02,9.01 08/14/13 BLUCORA, INC. DE 5.03,8.01,9.01 08/08/13 bluebird bio, Inc. DE 2.02,9.01 08/14/13 Book It Local Inc NV 4.01,9.01 07/31/13 BRAZIL GOLD CORP. NV 3.02,5.02,9.01 02/01/13 AMEND Bridgeline Digital, Inc. DE 2.02,9.01 08/14/13 BURLINGTON NORTHERN SANTA FE, LLC 1.01,9.01 08/13/13 C H ROBINSON WORLDWIDE INC DE 9.01 08/14/13 CACI INTERNATIONAL INC /DE/ DE 2.02,7.01,9.01 08/14/13 CAMAC Energy Inc. DE 2.02,9.01 08/13/13 CANCER GENETICS, INC 1.01,3.01,8.01,9.01 08/13/13 CannaVEST Corp. TX 1.01 08/09/13 Capstone Therapeutics Corp. DE 2.02,7.01,9.01 08/14/13 CARDICA INC DE 5.02 08/08/13 Carey Watermark Investors Inc 9.01 05/29/13 AMEND CASH AMERICA INTERNATIONAL INC TX 7.01,9.01 08/14/13 CASTLE A M & CO MD 1.01,5.03,8.01,9.01 08/13/13 CCOM Group, Inc. NY 2.02,9.01 08/13/13 Celator Pharmaceuticals Inc DE 4.02 08/14/13 Cellular Biomedicine Group, Inc. DE 2.01,5.01,9.01 02/06/13 AMEND CENTURY CASINOS INC /CO/ DE 2.02 08/14/13 Chanticleer Holdings, Inc. DE 8.01,9.01 08/14/13 CHIMERIX INC DE 2.02,7.01,9.01 08/14/13 CHINA HGS REAL ESTATE INC. F4 2.02,9.01 08/14/13 China Shengda Packaging Group Inc. NV 2.02,7.01,9.01 08/14/13 CHURCHILL DOWNS INC KY 7.01,9.01 08/14/13 Cinedigm Digital Cinema Corp. DE 2.02,9.01 08/13/13 Cinedigm Digital Cinema Corp. DE 2.02,9.01 08/13/13 AMEND CION Investment Corp MD 2.02,9.01 08/14/13 CISCO SYSTEMS, INC. CA 2.02 08/14/13 Cleantech Solutions International, In DE 2.02,7.01,9.01 08/12/13 CMS ENERGY CORP MI 7.01,9.01 08/14/13 COGENT COMMUNICATIONS GROUP INC 7.01 08/14/13 COGENT COMMUNICATIONS GROUP INC 7.01 08/14/13 CONTANGO OIL & GAS CO DE 8.01,9.01 08/14/13 CORE MOLDING TECHNOLOGIES INC DE 2.02,9.01 08/12/13 CROWN CRAFTS INC DE 2.02,5.07,9.01 08/13/13 Cyclacel Pharmaceuticals, Inc. DE 2.02,9.01 08/14/13 Cytosorbents Corp NV 8.01,9.01 08/14/13 DARA BioSciences, Inc. DE 2.02,9.01 08/14/13 DATALINK CORP MN 8.01 08/14/13 DEERE & CO DE 2.02,7.01,8.01,9.01 08/14/13 DEERE JOHN CAPITAL CORP DE 2.02,7.01,8.01,9.01 08/14/13 DELCATH SYSTEMS, INC. DE 7.01,9.01 08/13/13 Dialogic Inc. DE 2.02,9.01 08/14/13 DIEBOLD INC OH 8.01,9.01 08/14/13 Digital Generation, Inc. DE 8.01 08/13/13 DIGITAL POWER CORP CA 5.07 08/12/13 Discovery Gold Corp NV 1.01,3.02,9.01 07/19/13 DLH Holdings Corp. NJ 2.02,9.01 08/14/13 DOUBLE EAGLE PETROLEUM CO MD 7.01,8.01,9.01 08/14/13 DreamWorks Animation SKG, Inc. 1.01,2.03,8.01,9.01 08/14/13 DUMA ENERGY CORP NV 7.01,9.01 08/14/13 eLayaway, Inc. DE 5.02 08/14/13 Emerge Energy Services LP DE 2.02,9.01 08/14/13 EMRISE Corp DE 2.02,7.01,9.01 08/14/13 ENCISION INC CO 9.01 08/14/13 ENERGY TODAY, INC. TX 1.01,9.01 08/06/13 ENTREMED INC DE 2.02,9.01 08/14/13 EP Energy LLC DE 2.02,7.01,9.01 08/14/13 EQUINIX INC DE 5.02 08/14/13 EXELON CORP PA 1.01,9.01 08/10/13 FEDERAL SIGNAL CORP /DE/ DE 7.01,9.01 08/14/13 FIELDPOINT PETROLEUM CORP CO 2.02,7.01,9.01 08/14/13 FIRST COMMUNITY CORP /SC/ SC 1.01,8.01,9.01 08/13/13 FIRST COMMUNITY CORP /SC/ SC 8.01,9.01 08/13/13 FIRST MARBLEHEAD CORP 5.02,8.01,9.01 06/05/13 FIRST MARBLEHEAD CORP 5.02,8.01,9.01 06/05/13 FIRST MARINER BANCORP MD 2.02,9.01 08/14/13 FIRST TRUST SPECIALTY FINANCE & FINAN 7.01,9.01 08/14/13 FIRSTENERGY CORP OH 7.01,9.01 08/14/13 FORLINK SOFTWARE CORP INC NV 8.01 08/14/13 Fortress International Group, Inc. NY 2.02,5.02,9.01 08/13/13 FORWARD INDUSTRIES INC NY 1.01,2.02,3.03,9.01 08/12/13 Frank's International N.V. P7 1.01,9.01 08/08/13 FRESH START PRIVATE MANAGEMENT, INC. NV 1.01,9.01 08/02/13 FS Energy & Power Fund DE 2.02,9.01 08/14/13 FS Investment CORP MD 2.02,9.01 08/14/13 FS Investment Corp II MD 2.02,9.01 08/14/13 FTI CONSULTING INC MD 7.01,9.01 08/12/13 FTI CONSULTING INC MD 7.01,9.01 08/14/13 GALECTIN THERAPEUTICS INC NV 2.02,9.01 08/14/13 General Finance CORP DE 8.01 08/14/13 GenMark Diagnostics, Inc. DE 1.01,8.01,9.01 08/13/13 GENTHERM Inc MI 8.01,9.01 08/12/13 Global Telecom & Technology, Inc. DE 2.02,9.01 08/14/13 Global Vision Holdings, Inc. NV 1.01,2.03,3.02,9.01 08/08/13 Gogo Inc. DE 7.01,9.01 08/14/13 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 08/09/13 Great Lakes Dredge & Dock CORP DE 8.01 08/13/13 GREAT WEST LIFE & ANNUITY INSURANCE C CO 5.02 08/12/13 Greektown Superholdings, Inc. DE 2.02,9.01 08/14/13 Green Automotive Co 1.01,2.01,3.02,5.01, 12/14/12 AMEND 5.02,5.03,5.06,9.01 Griffin Capital Essential Asset REIT, 7.01,8.01,9.01 08/13/13 Griffin Capital Essential Asset REIT, 7.01,9.01 08/14/13 Grilled Cheese Truck, Inc. NV 1.01,2.01,3.02,9.01 08/08/13 GSE SYSTEMS INC DE 2.02 08/09/13 Guaranty Bancorp DE 7.01,9.01 08/14/13 Guaranty Bancorp DE 5.07 05/07/13 AMEND HALLADOR ENERGY CO CO 8.01 08/13/13 HAMPSHIRE GROUP LTD DE 2.02,9.01 08/13/13 HARSCO CORP DE 7.01,9.01 08/14/13 HEMISPHERE MEDIA GROUP, INC. DE 2.02,9.01 08/14/13 Hi-Crush Partners LP de 2.02,9.01 08/14/13 Hi-Crush Partners LP de 2.01,9.01 06/13/13 AMEND Hillenbrand, Inc. IN 7.01,9.01 08/14/13 HOLLYWOOD MEDIA CORP FL 2.02,9.01 08/14/13 Howard Hughes Corp DE 1.01,1.02,2.03,9.01 08/08/13 HYPERION THERAPEUTICS INC DE 2.02,9.01 08/14/13 IASIS Healthcare LLC DE 1.01,7.01,9.01 08/08/13 IDENTIVE GROUP, INC. DE 1.01,3.02,9.01 08/14/13 IDENTIVE GROUP, INC. DE 2.02,9.01 08/14/13 IMH Financial Corp DE 8.01,9.01 08/14/13 INFOSONICS Corp 2.02,9.01 08/14/13 Inland Diversified Real Estate Trust, MD 7.01,9.01 08/13/13 INNOVATIVE SOFTWARE TECHNOLOGIES INC CA 1.01,5.02,9.01 08/07/13 INTEGRA LIFESCIENCES HOLDINGS CORP DE 8.01 08/14/13 INTEGRATED ELECTRICAL SERVICES INC DE 2.02,9.01 08/12/13 INTELLIGENT SYSTEMS CORP GA 2.02,9.01 08/14/13 INVACARE CORP OH 5.03,9.01 08/13/13 Investors Heritage Capital Corp KY 5.02 08/14/13 INVESTORS REAL ESTATE TRUST ND 1.01,9.01 08/14/13 IRON MOUNTAIN INC DE 1.01,2.03,8.01,9.01 08/13/13 J&J SNACK FOODS CORP NJ 8.01,9.01 08/14/13 KAPSTONE PAPER & PACKAGING CORP DE 7.01,9.01 08/14/13 KINGOLD JEWELRY, INC. DE 2.02,7.01,9.01 08/13/13 KINGSTONE COMPANIES, INC. DE 2.02,5.07,9.01 08/13/13 KIT digital, Inc. DE 1.03,7.01,9.01 08/07/13 LIFELOCK, INC. DE 7.01,9.01 08/14/13 LIGAND PHARMACEUTICALS INC DE 1.01 08/13/13 Liquid Holdings Group, Inc. DE 1.01,1.02,2.02, 08/12/13 2.03,9.01 LKQ CORP DE 8.01,9.01 08/13/13 LOCAL Corp DE 7.01,9.01 08/08/13 LOEWS CORP DE 5.02,9.01 08/14/13 LSB INDUSTRIES INC DE 1.01,2.03,3.03, 08/07/13 8.01,9.01 LTC PROPERTIES INC MD 8.01,9.01 08/14/13 M&F BANCORP INC /NC/ NC 2.02,9.01 08/13/13 Macy's, Inc. DE 2.02,9.01 08/14/13 Madison Bancorp Inc MD 2.02,5.07,9.01 08/12/13 MAGNEGAS CORP DE 8.01,9.01 08/14/13 Main Street Capital CORP MD 8.01,9.01 08/14/13 MANNKIND CORP DE 8.01,9.01 08/14/13 MANNKIND CORP DE 8.01,9.01 08/14/13 AMEND MAXWELL TECHNOLOGIES INC DE 7.01,9.01 08/13/13 Medefile International, Inc. NV 5.02 08/12/13 MEDICAL PROPERTIES TRUST INC 1.01,7.01,9.01 08/08/13 MERCER INTERNATIONAL INC. WA 7.01,9.01 08/14/13 MERCURY SYSTEMS INC MA 7.01,9.01 08/14/13 MICHAEL BAKER CORP PA 1.01,9.01 07/29/13 AMEND Mill City Ventures III, Ltd MN 3.02 08/08/13 Millennial Media Inc. DE 8.01,9.01 08/13/13 MINERALRITE Corp NV 4.01,9.01 08/12/13 Molycorp, Inc. DE 8.01 08/14/13 MONITRONICS INTERNATIONAL INC TX 2.02,9.01 08/08/13 Motorola Solutions, Inc. DE 5.02,9.01 08/14/13 MULTI FINELINE ELECTRONIX INC 5.02,9.01 08/14/13 MultiCell Technologies, Inc. DE 8.01 08/11/13 MusclePharm Corp NV 2.02,7.01,9.01 08/14/13 NATIONAL HOLDINGS CORP DE 1.01,2.02,9.01 08/08/13 NATIONAL MENTOR HOLDINGS, INC. DE 2.02,9.01 08/14/13 NATIONAL SECURITY GROUP INC DE 7.01,9.01 08/14/13 NetApp, Inc. CA 2.02,9.01 08/14/13 NETWORK 1 SECURITY SOLUTIONS INC DE 5.02 08/09/13 New Source Energy Partners L.P. DE 2.02,9.01 08/14/13 NEWFIELD EXPLORATION CO /DE/ DE 7.01 08/13/13 NEWLINK GENETICS CORP 5.02,9.01 08/14/13 NGP Capital Resources Co MD 7.01,9.01 08/14/13 NRG Yield, Inc. DE 2.02,9.01 08/13/13 NTN BUZZTIME INC DE 2.02,9.01 08/14/13 OAK RIDGE MICRO-ENERGY INC CO 7.01,9.01 08/14/13 OBA Financial Services, Inc. MD 2.02,9.01 08/13/13 OLD POINT FINANCIAL CORP VA 7.01,9.01 08/14/13 One Horizon Group, Inc. PA 2.02,9.01 08/14/13 Opexa Therapeutics, Inc. TX 2.02,7.01,9.01 08/14/13 OSI SYSTEMS INC DE 2.02,9.01 08/14/13 OTELCO INC. DE 5.07 08/13/13 OVERLAND STORAGE INC CA 1.01 08/08/13 Owens Realty Mortgage, Inc. MD 2.02,9.01 08/14/13 PFSWEB INC DE 2.02 08/13/13 PHOTRONICS INC CT 2.02,9.01 08/13/13 Pinnacle Foods Inc. DE 2.02,9.01 08/14/13 PITNEY BOWES INC /DE/ DE 2.05,2.06 08/14/13 PORTFOLIO RECOVERY ASSOCIATES INC DE 1.01,2.03,3.02, 08/13/13 8.01,9.01 POWERSECURE INTERNATIONAL, INC. DE 7.01,9.01 08/12/13 PREMIER ALLIANCE GROUP, INC. DE 5.02 08/09/13 PREMIER ALLIANCE GROUP, INC. DE 4.02,8.01,9.01 08/05/13 AMEND PROGRESSIVE CORP/OH/ OH 7.01,9.01 08/14/13 PSB HOLDINGS INC /WI/ WI 5.03,9.01 08/08/13 PURADYN FILTER TECHNOLOGIES INC DE 2.02,7.01,9.01 08/14/13 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 2.02,9.01 08/14/13 Quinpario Acquisition Corp. 1.01,3.02,5.03,9.01 08/08/13 RADIANT LOGISTICS, INC DE 1.01,2.03,9.01 08/09/13 RADIO ONE, INC. DE 2.02,8.01,9.01 08/13/13 RAYMOND JAMES FINANCIAL INC FL 7.01 08/14/13 REGIONS FINANCIAL CORP DE 7.01 08/12/13 Resolute Forest Products Inc. DE 7.01 08/08/13 RLI CORP IL 8.01,9.01 08/14/13 RMG Networks Holding Corp DE 2.02,9.01 08/14/13 Roadrunner Transportation Systems, In DE 1.01,8.01,9.01 08/13/13 ROBERTS REALTY INVESTORS INC GA 3.02 08/14/13 ROYAL HAWAIIAN ORCHARDS, L.P. DE 2.02,9.01 08/14/13 RXi Pharmaceuticals Corp DE 2.02,3.02,3.03,9.01 08/13/13 SafeStitch Medical, Inc. DE 1.01,3.02,7.01,9.01 08/13/13 SANTEON GROUP, INC. DE 2.02,9.01 08/14/13 SAVIENT PHARMACEUTICALS INC DE 2.02,9.01 08/14/13 SENIOR HOUSING PROPERTIES TRUST MD 8.01 08/08/13 SERVICE CORPORATION INTERNATIONAL TX 7.01,9.01 08/14/13 SERVICEMASTER CO DE 2.02,9.01 08/14/13 SERVICESOURCE INTERNATIONAL, INC. DE 1.01,9.01 08/13/13 SHARPS COMPLIANCE CORP DE 2.02,9.01 08/14/13 Shire plc 8.01,9.01 08/14/13 SIERRA PACIFIC POWER CO NV 8.01,9.01 08/12/13 Silvercrest Asset Management Group In DE 2.02,9.01 08/13/13 SILVERSTAR MINING CORP. NV 5.02 08/11/13 SIONIX CORP NV 4.02 08/12/13 SLM CORP DE 5.02 08/08/13 Snap Interactive, Inc DE 2.02,7.01,9.01 08/14/13 Solar Energy Initiatives, Inc. DE 2.01,2.03,3.02, 08/14/13 AMEND 5.01,5.06,5.07,9.01 SONO TEK CORP NY 7.01,9.01 08/13/13 SOURCEFIRE INC DE 8.01,9.01 08/14/13 SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 8.01 08/05/13 SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 2.02,7.01,9.01 08/14/13 SPANISH BROADCASTING SYSTEM INC DE 2.02,9.01 08/14/13 STAAR SURGICAL CO DE 7.01,9.01 08/14/13 STEINWAY MUSICAL INSTRUMENTS INC DE 1.01,1.02,3.03, 08/14/13 8.01,9.01 STEWART ENTERPRISES INC LA 5.07,9.01 08/13/13 Strategic Storage Trust, Inc. MD 7.01,9.01 08/14/13 STRATUS PROPERTIES INC DE 2.02,9.01 08/14/13 SUJA MINERALS, CORP NV 5.03,9.01 08/05/13 Summer Infant, Inc. DE 2.02,9.01 08/14/13 SUMMIT FINANCIAL SERVICES GROUP INC FL 2.02,9.01 08/14/13 SUPERIOR ENERGY SERVICES INC DE 5.02,8.01,9.01 08/12/13 SUSQUEHANNA BANCSHARES INC PA 7.01,9.01 08/14/13 Synthetic Biologics, Inc. NV 2.02,9.01 08/14/13 T-Mobile US, Inc. DE 7.01,8.01,9.01 08/14/13 TARGACEPT INC 5.02,9.01 08/13/13 TearLab Corp DE 2.02,9.01 08/13/13 AMEND TELKONET INC UT 2.02,9.01 08/14/13 TEXAS CAPITAL BANCSHARES INC/TX 8.01 08/14/13 THT Heat Transfer Technology, Inc. NV 2.02,7.01,9.01 08/14/13 Tonix Pharmaceuticals Holding Corp. NV 1.01,3.01,8.01,9.01 08/09/13 Towers Watson & Co. DE 2.02,9.01 08/14/13 TRANS WORLD ENTERTAINMENT CORP NY 5.02,8.01,9.01 08/13/13 TRANSWITCH CORP /DE DE 2.02,9.01 08/14/13 TRANSWITCH CORP /DE DE 2.02,9.01 08/14/13 Treegate Acquisition Corp DE 5.03 08/13/13 Triangle Petroleum Corp DE 1.01,8.01,9.01 08/08/13 Tribute Pharmaceuticals Canada Inc. A6 1.01,1.02,2.03,9.01 08/14/13 Trovagene, Inc. DE 2.02,9.01 08/14/13 TTM TECHNOLOGIES INC WA 7.01,9.01 08/14/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 08/13/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 08/14/13 Twin Cities Power Holdings, LLC MN 2.02,9.01 08/14/13 U. S. Premium Beef, LLC 7.01,9.01 08/14/13 UNICO AMERICAN CORP NV 2.02 06/30/13 United Community Bancorp 2.02,9.01 08/12/13 UNIVERSAL INSURANCE HOLDINGS, INC. DE 1.01,7.01,9.01 08/14/13 US FOODS, INC. DE 2.02,9.01 08/14/13 USA Synthetic Fuel Corp DE 4.02 08/08/13 VALLEY FINANCIAL CORP /VA/ VA 8.01,9.01 08/14/13 VALLEY FINANCIAL CORP /VA/ VA 8.01,9.01 08/14/13 VALMONT INDUSTRIES INC DE 5.02 08/14/13 Venaxis, Inc. CO 7.01,9.01 08/14/13 VERMILLION, INC. DE 2.02,7.01,9.01 08/14/13 Vertex Energy Inc. NV 2.02,9.01 08/14/13 VIAD CORP DE 8.01,9.01 08/13/13 VISUALANT INC NV 5.03,9.01 08/12/13 Voltari Corp DE 2.02,9.01 08/14/13 WAGEWORKS, INC. DE 1.01,8.01,9.01 08/13/13 Waste Connections, Inc. DE 1.01,2.03,9.01 08/09/13 WEB.COM GROUP, INC. DE 1.01,2.03,8.01,9.01 08/08/13 WESTAR ENERGY INC /KS KS 8.01,9.01 08/12/13 Westbury Bancorp, Inc. MD 2.02,9.01 08/13/13 Western Gas Partners LP DE 1.01,2.03,9.01 08/14/13 WESTERN LUCRATIVE ENTERPRISES, INC. NV 4.01,9.01 08/14/13 Wheeler Real Estate Investment Trust, MD 2.02,9.01 08/12/13 Whitestone REIT TX 8.01,9.01 08/14/13 Willbros Group, Inc.\NEW\ 2.02,9.01 08/08/13 Winthrop Realty Trust OH 1.01,8.01,9.01 08/13/13 WIRELESS TELECOM GROUP INC NJ 2.02,7.01,9.01 08/14/13 XCEL ENERGY INC MN 7.01 08/14/13 XENONICS HOLDINGS, INC. NV 2.02,9.01 08/14/13 Yew Bio-Pharm Group, Inc. NV 2.02,9.01 08/13/13 ZaZa Energy Corp DE 2.02,9.01 08/14/13 Zep Inc. DE 7.01,9.01 08/14/13 ZYNGA INC DE 5.02 08/12/13