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U.S. Securities and Exchange Commission

SEC NEWS DIGEST

Issue 2013-158
August 16, 2013

Commission announcements

Regulators Issue Joint Staff Review of Firms' Business Continuity and Disaster Recovery Planning

The Securities and Exchange Commission (Commission) today joined the Commodity Futures Trading Commission (CFTC)'s Division of Swap Dealer and Intermediary Oversight and the Financial Industry Regulatory Authority (FINRA) in issuing a staff advisory on business continuity and disaster recovery planning.

The advisory follows a joint review by regulators in the aftermath of Hurricane Sandy, which caused widespread damage to Northeastern states and closed U.S. equity and options markets for two days in October 2012. The SEC's Office of Compliance Inspections and Examinations (OCIE), the CFTC's Division of Swap Dealer and Intermediary Oversight, and FINRA issued the advisory to encourage firms to review their business continuity plans so as to improve responses to and reduce recovery time after significant large-scale events.

"Market reliability and resilience are vital to investors and to the fair and efficient operation of capital markets," said OCIE Director Andrew Bowden. "In partnership with our fellow regulators at FINRA and the CFTC, we are sharing these lessons learned from Superstore Sandy to help industry participants better prepare for future events that threaten to disrupt market operations."

FINRA Executive Vice President Grace Vogel said, "With hurricane season underway, and with the problems from last year fresh in mind, we trust that our member firms will review their business continuity planning procedures against these best practices."

Gary Barnett, Director of the CFTC's Division of Swap Dealer and Intermediary Oversight added, "With this joint effort, we were able to leverage the experience of the entire industry to spread knowledge of best practices and identify areas that need improvement to help our firms be better prepared and better able to respond to disasters." Drawing on examination observations, the advisory suggests effective practices in the following areas:

• Preparation for widespread disruption
• Planning for alternative locations
• Telecommunications services and technology
• Communication plans
• Regulatory and compliance considerations
• Reviewing and testing

Firms can strengthen their business continuity and disaster recovery plans by implementing these practices as appropriate. (Press Rel. 2013-158)

Commission Meetings

Closed Meeting on Friday, August 16, 2013 at 12:30 p.m.

The subject matter of the Closed Meeting will be: settlement of injunctive actions.

At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400.

ENFORCEMENT PROCEEDINGS

Commission Charges New York-Based Investment Adviser with Misappropriating Investor Monies and Making Misrepresentations Concerning Skin in the Game and Risk Controls

The Commission today charged a New York-based investment adviser and the firm he controlled with misappropriating investor monies and making misrepresentations concerning his skin in the game and his firm's risk controls.

According to the SEC's order instituting a settled administrative proceeding, Anthony T. Vicidomine, the sole principal of North East Capital, LLC (North East), an unregistered investment adviser, misappropriated $189,415 from the North East Capital Fund LP (the Fund), a pooled investment vehicle he managed, by charging the fund unearned "incentive fees." Vicidomine disbursed the monies directly into his own personal account, to his other business ventures, and to North East to pay his personal expenses. Additionally, Vicidomine and North East made misrepresentations, both orally and in writing, concerning Vicidomine's own investment in the Fund and the policies and procedures Vicidomine and North East employed to minimize investors' risk of losses.

Based on the above, the Commission ordered Vicidomine and North East to cease and desist from committing or causing any violations and any future violations of Sections 5 and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. Vicidomine and North East agreed to pay disgorgement of $189,415 plus prejudgment interest of $6,717.04 as well as a civil monetary penalty of $150,000. Vicidomine is subject to a collateral industry bar and investment company bar, with the right to apply for reentry after five years. Vicidomine and North East consented to the issuance of the Order without admitting or denying any of the findings. (Rel. 33-9442)

In the Matter of Marcellous S. McZeal

The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions (the Order) against Marcellous S. McZeal (McZeal). The Order finds that, on July 31, 2013, the Commission filed a complaint against McZeal in SEC v. Gandy et al. (Civil Action No. 4:13-cv-2233 (S.D. Tex.)) and that, on August 1, 2013, the court entered a final judgment permanently enjoining McZeal by consent from future violations of Sections 5 and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.

Based on the above, the Order suspends McZeal from appearing or practicing before the Commission as an attorney. McZeal consented to the issuance of the Order without admitting or denying its findings, except he admitted the Commission's jurisdiction, the filing of the complaint, and the entry of the injunction. (Rel. 34-70221)

In the Matter of Jonathan S. Bristol, Esq.

The Commission announced today that it has suspended Jonathan S. Bristol ("Bristol") from appearing or practicing before the Commission. This action follows Bristol's criminal conviction for conspiracy to commit money laundering, and subsequent permanent disbarment, by consent, from the practice of law in New Jersey.

On December 16, 2010, the Commission added Bristol as a defendant to a civil action, SEC v. Kenneth Ira Starr, et al., 10 Civ. 4270 (S.D.N.Y.), filed against investment advisor Kenneth Starr ("Starr"), alleging that Bristol aided and abetted Starr's scheme to misappropriate millions of dollars from Starr's investment advisory clients. The same day, the United States Attorney for the Southern District of New York filed a criminal action against Bristol. On May 2, 2011, Bristol pleaded guilty to one count of conspiracy to commit money laundering arising from helping Starr defraud his clients and concealing Starr's criminal conduct by using two separate attorney trust fund accounts that were under his control to launder Starr's misappropriated funds. As part of his guilty plea, Bristol agreed to pay $18.8 million in criminal restitution. On December 18, 2012, Bristol was sentenced to time served and three years of supervised release. On May 8, 2013, Bristol was permanently disbarred by consent from the New Jersey bar.

The Commission's Order was based on Bristol's criminal conviction and permanent disbarment from the practice of law in New Jersey. (Rel. 34-70219)

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by BOX Options Exchange LLC regarding continuing education for registered persons (SR-BOX-2013-41) 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. 34-70224)

The Chicago Mercantile Exchange Inc. (CME) filed a proposed rule change (File No. SR-CME-2013-15) under Section 19(b)(1) of the Securities Exchange Act of 1934 regarding the benchmark used in connection with settling CME Palm Oil Futures and CME Palm Oil Swaps. Publication is expected in the Federal Register during the week of August 19th. (Rel. 34-70220)

Notice of Proposed Rule Change

The Options Clearing Corporation (OCC) filed a proposed rule change (File No. SR-OCC-2013-13) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to the use of manual signatures, reduction of segregated long positions in accounts with aggregated long positions, requirements to be physically present, and other technical changes to OCC's By-Laws and Rules to better reflect current operational practices. Publication is expected in the Federal Register during the week of August 19th. (Rel. 34-70225)

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     CU Bancorp, 15821 VENTURA BOULEVARD, SUITE 100, ENCINO, CA, 91436, 
        (818) 257-7779 - 1,535,352 ($27,252,498.00) Equity, (File 333-190625 - 
        Aug. 15) (BR. 07)

S-8     DIEBOLD INC, P.O. BOX 3077, 5995 MAYFAIR RD, NORTH CANTON, OH, 
        44720-8077, 3304904000 - 0 ($464,202.47) Equity, (File 333-190626 - 
        Aug. 15) (BR. 03B)

S-8     INTERLEUKIN GENETICS INC, 135 BEAVER ST, WATHAM, MA, 02452, 
        1-781-398-0700 - 11,295,500 ($4,518,200.00) Equity, (File 333-190627 - 
        Aug. 15) (BR. 01A)

S-8     Mellanox Technologies, Ltd., 350 OAKMEAD PARKWAY, SUITE 100, SUNNYVALE, 
        CA, 94085, 408-970-3400 - 0 ($6,654,592.00) Equity, (File 333-190631 - 
        Aug. 15) (BR. 10B)

N-2     ABERDEEN AUSTRALIA EQUITY FUND INC, 1735 MARKET STREET, 32ND FLOOR, 
        PHILADELPHIA, PA, 19103, 215-405-5700 - 0 ($1,000,000.00) Equity, 
        (File 333-190632 - Aug. 15) (BR. 17)

S-8     SAFEWAY INC, 5918 STONERIDGE MALL RD, PLEASANTON, CA, 94588, 
        9254673000 - 0 ($124,100,000.00) Equity, (File 333-190634 - Aug. 15) 
        (BR. 02A)

S-1     NANOANTIBIOTICS, INC., 9511 COLLINS AVENUE, SUITE 807, SURFSIDE, FL, 
        33154, 3055154118 - 10,000,000 ($3,000,000.00) Equity, 
        (File 333-190635 - Aug. 15) (BR. 01)

S-8     Crexendo, Inc., 1615 S. 52ND STREET, TEMPE, AZ, 85281, 8012270004 - 
        6,313,634 ($21,945,126.98) Equity, (File 333-190636 - Aug. 15) (BR. 03B)

S-8     STRATUS PROPERTIES INC, 212 LAVACA STREET, SUITE 300, AUSTIN, TX, 
        78701, 5124785788 - 180,000 ($2,303,100.00) Equity, (File 333-190637 - 
        Aug. 15) (BR. 08C)

S-3     INNERWORKINGS INC, 600 WEST CHICAGO, SUITE 750, CHICAGO, IL, 60610, 
        312-642-3700 - 766,670 ($9,115,706.30) Equity, (File 333-190638 - 
        Aug. 15) (BR. 05B)

S-8     ENDURANCE SPECIALTY HOLDINGS LTD, WELLESLEY HOUSE, 90 PITTS BAY ROAD, 
        PEMBROKE, D0, 00000, 441-278-0400 - 1,508,890 ($79,397,791.80) Equity, 
        (File 333-190639 - Aug. 15) (BR. 01B)

S-8     ANGIODYNAMICS INC, 14 PLAZA DRIVE, LATHAM, NY, 12110, 5187981215 - 
        2,500,000 ($29,375,000.00) Equity, (File 333-190640 - Aug. 15) (BR. 10A)

F-3ASR  UNITED BREWERIES CO INC, AHUMADA 131, SANTIAGO CHILE, F3, 00000, 
        2125305000 - 0 ($0.00) Equity, (File 333-190641 - Aug. 15) (BR. 09A)

S-3     ANGIODYNAMICS INC, 14 PLAZA DRIVE, LATHAM, NY, 12110, 5187981215 - 
        9,433,008 ($110,837,844.00) Equity, (File 333-190642 - Aug. 15) 
        (BR. 10A)

S-1     Ophthotech Corp., 5 VAUGHN DRIVE, SUITE 106, PRINCETON, NJ, 08540, 
        609-945-6050 - 0 ($85,000,000.00) Equity, (File 333-190643 - Aug. 15) 
        (BR. 01B)

S-4     UNION FIRST MARKET BANKSHARES CORP, 1051 EAST CARY STREET, SUITE 1200, 
        RICHMOND, VA, 23219, 8046322103 - 0 ($496,892,439.00) Equity, 
        (File 333-190644 - Aug. 15) (BR. 07B)

S-3     PETROQUEST ENERGY INC, 400 E KALISTE SALOOM RD SUITE 6000, LAFAYETTE, 
        LA, 70508, 3372327028 - 
        0 ($350,000,000.00) Unallocated (Universal) Shelf, (File 333-190645 - 
        Aug. 15) (BR. 04A)

S-8     HNI CORP, 408 EAST SECOND STREET - PO BOX 1109, MUSCATINE, IA, 
        52761-7109, 5632727400 - 4,000,000 ($152,240,000.00) Equity, 
        (File 333-190646 - Aug. 15) (BR. 06B)

S-1     RED METAL RESOURCES, LTD., 195 PARK AVENUE, THUNDER BAY, A6, P7B 1B9, 
        807-345-5380 - 15,000,000 ($750,000.00) Equity, (File 333-190647 - 
        Aug. 15) (BR. 09A)

S-4     PETROQUEST ENERGY INC, 400 E KALISTE SALOOM RD SUITE 6000, LAFAYETTE, 
        LA, 70508, 3372327028 - 0 ($200,000,000.00) Debt, (File 333-190648 - 
        Aug. 15) (BR. 04A)

S-3     Fibrocell Science, Inc., 405 EAGLEVIEW BOULEVARD, EXTON, PA, 19341, 
        484-713-6000 - 0 ($100,000,000.00) Equity, (File 333-190649 - Aug. 15) 
        (BR. 01A)

S-8     Fibrocell Science, Inc., 405 EAGLEVIEW BOULEVARD, EXTON, PA, 19341, 
        484-713-6000 - 0 ($11,600,000.00) Equity, (File 333-190650 - Aug. 15) 
        (BR. 01A)

S-3     LPATH, INC, 4025 SORRENTO VALLEY BLVD., SAN DIEGO, CA, 92121-1404, 
        858-678-0800 - 0 ($31,830,000.00) Unallocated (Universal) Shelf, 
        (File 333-190651 - Aug. 15) (BR. 01A)

      

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

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       8.01,9.01            08/14/13

1ST CONSTITUTION BANCORP                NJ       1.01,7.01,9.01       08/14/13

ADHEREX TECHNOLOGIES INC                         5.02,9.01            08/14/13

AEROFLEX HOLDING CORP.                  DE       2.02,9.01            08/15/13

Affinion Group Holdings, Inc.           DE       5.02                 08/09/13

AFS SenSub Corp.                                 8.01,9.01            08/15/13

ALLIANCE DATA SYSTEMS CORP              DE       7.01,9.01            08/15/13

ALLIANCE FIBER OPTIC PRODUCTS INC       CA       8.01,9.01            08/15/13

Aly Energy Services, Inc.               DE       8.01,9.01            08/15/13

American Caresource Holdings, Inc.      DE       2.02                 08/13/13

AMERICAN EXPRESS CO                     NY       7.01                 08/15/13

AMERICAN MEDIA INC                      DE       2.02,9.01            08/15/13

American Midstream Partners, LP         DE       1.01,3.02,5.03,9.01  08/09/13

AMERICAN REALTY INVESTORS INC           NV       2.02,9.01            08/14/13

AMERICAN SPECTRUM REALTY INC            MD       2.02,9.01            08/15/13

AMERICAN WOODMARK CORP                  VA       5.02,9.01            08/09/13

AMERISTAR CASINOS INC                   NV       1.01,1.02,2.01,	 08/13/13
						2.03,3.01,3.03,5.01,5.02,5.03   

AMES NATIONAL CORP                      IA       8.01,9.01            08/14/13

AmpliTech Group, Inc.                   NV       4.01,9.01            08/06/13

Amtrust Financial Services, Inc.        DE       1.01,2.03,8.01,9.01  08/12/13

APPLIED DNA SCIENCES INC                DE       8.01                 08/14/13

APPLIED MATERIALS INC /DE               DC       2.02,9.01            08/15/13

ARC Group Worldwide, Inc.               UT       5.02,8.01,9.01       08/07/13

Argo Group International Holdings, Lt            7.01,9.01            08/14/13

Ascent Solar Technologies, Inc.         DE       1.01,3.02,5.02,9.01  08/15/13

ASPEN TECHNOLOGY INC /DE/               DE       2.02,9.01            08/15/13

ASTEA INTERNATIONAL INC                 DE       2.02,9.01            08/15/13

ASURE SOFTWARE INC                      DE       2.02,9.01            08/14/13

Athlon Energy Inc.                      DE       5.02,7.01,9.01       08/07/13

ATOSSA GENETICS INC                     DE       5.07                 05/06/13    AMEND

AUXILIO INC                             NV       2.02,9.01            08/13/13

AXION INTERNATIONAL HOLDINGS, INC.      CO       2.02,9.01            08/14/13

AxoGen, Inc.                            MN       8.01,9.01            08/15/13

Bacterin International Holdings, Inc.   DE       5.02,9.01            08/14/13

BANK JOS A CLOTHIERS INC /DE/           DE       2.02,9.01            08/15/13

BAY BANKS OF VIRGINIA INC               VA       8.01,9.01            08/15/13

Behringer Harvard Opportunity REIT II   MD       7.01,9.01            08/15/13

BERKSHIRE HATHAWAY INC                  DE       8.01,9.01            08/15/13

BIO-PATH HOLDINGS INC                   UT       2.02,9.01            08/15/13

BioMed Realty Trust Inc                 DE       9.01                 06/03/13    AMEND

BioScrip, Inc.                          DE       8.01,9.01            08/14/13

BRIGGS & STRATTON CORP                  WI       2.02,9.01            08/15/13

BUCKEYE TECHNOLOGIES INC                DE       5.02,9.01            08/12/13

BUCKEYE TECHNOLOGIES INC                DE       5.07,7.01,8.01,9.01  08/15/13

C&J Energy Services, Inc.               DE       5.02,9.01            08/15/13

CABELAS INC                             DE       7.01,9.01            08/15/13

CACHE INC                               DE       1.01,3.03,5.02,	 08/14/13
						5.03,5.07,9.01     

CADENCE PHARMACEUTICALS INC                      5.02                 08/14/13

CALLAWAY GOLF CO                        DE       1.01,3.02,8.01,9.01  08/15/13

CAPITAL ONE FINANCIAL CORP              DE       7.01,9.01            08/15/13

CASEYS GENERAL STORES INC               IA       7.01                 08/15/13

Castle Brands Inc                       FL       2.02,9.01            08/14/13

CATALYST PHARMACEUTICAL PARTNERS, INC   DE       8.01,9.01            08/15/13

Celator Pharmaceuticals Inc             DE       2.02,9.01            08/15/13

CENTURY ALUMINUM CO                     DE       2.01,9.01            06/01/13    AMEND

CHASE CREDIT CARD MASTER TRUST          NY       8.01,9.01            08/15/13

CHINA FUND INC                          MD       7.01,9.01            07/31/13

ChinaNet Online Holdings, Inc.          NV       2.02,9.01            08/15/13

CION Investment Corp                    MD       2.02,5.02,9.01       08/15/13

CISCO SYSTEMS, INC.                     CA       2.05                 08/14/13

CLEARSIGN COMBUSTION CORP               WA       7.01,9.01            08/14/13

CNL LIFESTYLE PROPERTIES INC            MD       2.02,9.01            08/15/13

Co-Signer, Inc.                         NV       1.01,2.01,3.02,	 08/12/13
						5.02,5.03,8.01,9.01

Cole Real Estate Investments, Inc.      MD       8.01,9.01            08/15/13

COLUMBIA PROPERTY TRUST, INC.           MD       5.03,9.01            08/14/13

Comjoyful International Co              NV       5.02,9.01            08/09/13

COMMUNITY BANK SHARES OF INDIANA INC    IN       2.02,9.01            08/14/13

COMPUTER SCIENCES CORP                  NV       5.07,8.01            08/13/13

CONSOLIDATED WATER CO LTD               E6       2.02,9.01            08/09/13

Constellation Energy Partners LLC       DE       2.02,9.01            08/14/13

CONTINENTAL MATERIALS CORP              DE       2.02,9.01            08/14/13

CorMedix Inc.                           DE       2.02,5.02,9.01       08/14/13

Coronus Solar Inc.                      A1       1.01,7.01,9.01       08/15/13

COSI INC                                DE       2.02,7.01,9.01       08/15/13

CRC Health CORP                         DE       2.02,9.01            08/15/13

Crexendo, Inc.                          DE       5.02                 08/14/13

CST Brands, Inc.                        DE       7.01                 08/14/13

CU Bancorp                              CA       7.01,9.01            08/14/13

CURIS INC                               DE       5.02,8.01,9.01       08/12/13

Cynk Technology Corp.                   NV       8.01                 08/14/13

Data Storage Corp                       NV       1.01,2.03,3.02,9.01  08/09/13

DEAN FOODS CO                           DE       5.03,8.01,9.01       08/14/13

DELL INC                                DE       2.02,9.01            08/15/13

DIAMOND OFFSHORE DRILLING INC           DE       7.01,9.01            08/15/13

DIEBOLD INC                             OH       2.02,9.01            08/14/13

DISCOUNT DENTAL MATERIALS, INC.         NV       1.01,9.01            08/12/13

Discover Financial Services             DE       7.01,9.01            08/15/13

DNA PRECIOUS METALS INC.                NV       5.02                 08/12/13

DOLLAR TREE INC                         VA       7.01,9.01            08/15/13

DORAL FINANCIAL CORP                    PR       8.01                 08/14/13

DORAL FINANCIAL CORP                    PR       2.02,9.01            08/15/13

DOUBLE EAGLE PETROLEUM CO               MD       1.02,5.02            08/12/13

DOVER SADDLERY INC                               1.01,5.02,9.01       08/15/13

DOW CHEMICAL CO /DE/                    DE       7.01                 08/15/13

DRINKS AMERICAS HOLDINGS, LTD           DE       1.01,2.03,9.01       08/09/13

DTS, INC.                               DE       2.02,9.01            08/15/13

EASTMAN KODAK CO                        NJ       8.01,9.01            08/15/13

EASTON-BELL SPORTS, INC.                DE       2.02,9.01            08/13/13

Edgen Group Inc.                        DE       7.01,9.01            08/15/13

ELECTRO RENT CORP                       CA       2.02,9.01            08/14/13

Ellington Residential Mortgage REIT     MD       2.02,7.01,9.01       08/14/13

EMERSON RADIO CORP                      DE       2.02,9.01            08/15/13

EMPIRE RESORTS INC                      DE       1.01,9.01            08/14/13

Energy Transfer Partners, L.P.          DE       8.01,9.01            08/15/13

Ensco plc                                        7.01,9.01            08/15/13

ENTERPRISE FINANCIAL SERVICES CORP      DE       3.02,9.01            08/15/13

ESTEE LAUDER COMPANIES INC              DE       2.02,9.01            08/15/13

Facebook Inc                                     1.01,1.02,2.03,9.01  08/15/13

Federal Home Loan Bank of Atlanta       X1       2.03                 08/12/13

Federal Home Loan Bank of Chicago       X1       2.03                 08/13/13

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            08/12/13

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            08/13/13

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            08/15/13

Federal Home Loan Bank of New York      X1       2.03,9.01            08/13/13

Federal Home Loan Bank of New York      X1       8.01,9.01            08/15/13

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            08/12/13

Federal Home Loan Bank of San Francis   X1       2.03                 08/12/13

Federal Home Loan Bank of Topeka                 2.03,9.01            08/12/13

FIELDPOINT PETROLEUM CORP               CO       7.01,9.01            08/15/13

Fifth Street Finance Corp               DE       8.01,9.01            08/15/13

FINISAR CORP                            DE       8.01,9.01            08/09/13

First Community Financial Partners, I   IL       8.01                 08/12/13

FIRST MARBLEHEAD CORP                            2.02,9.01            08/15/13

FIRST UNITED CORP/MD/                   MD       2.02,9.01            08/14/13

FIRSTBANK CORP                          MI       1.01,5.02,8.01,9.01  08/14/13

FLEXSTEEL INDUSTRIES INC                MN       2.02,9.01            08/14/13

FLOWSERVE CORP                          NY       5.02,5.03,9.01       08/13/13

FREEPORT MCMORAN COPPER & GOLD INC      DE       8.01,9.01            08/15/13

FriendFinder Networks Inc.              NV       2.02,9.01            08/14/13

FrogAds, Inc.                           NV       3.03,5.03,9.01       06/07/13

FSP 303 East Wacker Drive Corp.                  7.01,9.01            08/15/13

FSP 50 South Tenth Street Corp                   7.01,9.01            08/15/13

FSP GALLERIA NORTH CORP                          7.01,9.01            08/15/13

G&K SERVICES INC                        MN       2.02,9.01            08/15/13

GATEWAY ENERGY CORP/NE                  DE       9.01                 08/15/13

GeoMet, Inc.                            DE       2.02,9.01            08/15/13

GLOBAL AXCESS CORP                      NV       1.01,2.03,7.01,9.01  08/09/13

GLOBAL DIGITAL SOLUTIONS INC            NJ       5.02,8.01,9.01       08/12/13

GLOBALWISE INVESTMENTS INC              NV       2.02,9.01            08/14/13

Golden Minerals Co                               4.01,9.01            08/13/13

GRANITE CITY FOOD & BREWERY LTD.        MN       2.02,9.01            08/14/13

Graymark Healthcare, Inc.               OK       2.02,9.01            08/13/13

Green Automotive Co                              1.01,3.02,9.01       06/24/13

GROUP 1 AUTOMOTIVE INC                  DE       8.01,9.01            08/15/13

GS Valet, Inc.                          NV       1.01,3.02,5.01,	 08/15/13
						5.02,9.01          

GULF RESOURCES, INC.                    DE       2.02,9.01            08/09/13

Hallwood Group Inc                      DE       2.02,8.01            08/14/13

HAWTHORN BANCSHARES, INC.               MO       2.02,9.01            08/14/13

HEMISPHERX BIOPHARMA INC                DE       5.02                 08/12/13

HERCULES OFFSHORE, INC.                 DE       7.01                 08/15/13

HERSHEY CO                              DE       5.02                 08/09/13

Hi-Crush Partners LP                    de       5.02                 08/14/13

HOOPER HOLMES INC                       NY       2.02,9.01            08/14/13

IDT CORP                                DE       2.01,9.01            07/31/13

IMMUNOGEN INC                           MA       8.01                 08/08/13

INCOME OPPORTUNITY REALTY INVESTORS I   NV       2.02,9.01            08/14/13

InfuSystem Holdings, Inc                DE       1.01,5.02,9.01       08/14/13

INLAND REAL ESTATE CORP                 MD       2.01,9.01            06/03/13    AMEND

InsPro Technologies Corp                DE       5.07                 08/14/13

InsPro Technologies Corp                DE       8.01,9.01            08/14/13

INTEGRYS ENERGY GROUP, INC.             WI       8.01,9.01            08/12/13

Inteliquent, Inc.                                3.01,9.01            08/13/13

INTERLEUKIN GENETICS INC                DE       2.02,9.01            08/14/13

INTREXON CORP                           VA       5.03,9.01            08/13/13

iPayment Holdings, Inc                  DE       2.02,9.01            08/14/13

iSatori, Inc.                           DE       2.02,7.01,9.01       08/14/13

JANEL WORLD TRADE LTD                   NV       5.02                 08/15/13

JBI, INC.                               NV       5.02,7.01,8.01,9.01  08/14/13

JDS UNIPHASE CORP /CA/                  DE       7.01,9.01            08/15/13

JPMBB Commercial Mortgage Securities    DE       8.01,9.01            08/15/13

Juhl Energy, Inc                        DE       5.07                 08/13/13

KEATING CAPITAL INC                              7.01,9.01            08/13/13

KID BRANDS, INC                         NJ       2.02,9.01            08/15/13

KOHLS Corp                              WI       2.02,7.01,8.01,9.01  08/15/13

LABORATORY CORP OF AMERICA HOLDINGS     DE       7.01                 08/14/13

LabStyle Innovations Corp.              DE       5.02,9.01            08/09/13

LEAR CORP                               DE       8.01,9.01            08/15/13

Leatt Corp                              NV       2.02,9.01            08/15/13

Liberator, Inc.                         FL       8.01,9.01            08/15/13

Liberty Global plc                      X0       7.01                 08/15/13

LIBERTY STAR URANIUM & METALS CORP.     NV       1.01,2.03,9.01       08/14/13

LPL Financial Holdings Inc.             DE       5.02,8.01,9.01       08/14/13

LSB INDUSTRIES INC                      DE       1.01,9.01            08/12/13

MACROSOLVE INC                          OK       4.01,9.01            08/14/13

MamaMancini's Holdings, Inc.            NV       1.01,3.02,9.01       08/13/13

Mandalay Digital Group, Inc.            DE       1.01,9.01            08/15/13

Marina Biotech, Inc.                    DE       1.01,3.02,8.01,9.01  08/09/13

Marlin Midstream Partners, LP           DE       5.02,9.01            08/14/13

MARTIN MIDSTREAM PARTNERS LP            DE       7.01,9.01            08/14/13

MAXIM INTEGRATED PRODUCTS INC           DE       8.01                 08/15/13

MCGRAW HILL FINANCIAL INC               NY       5.02                 08/14/13

MEDICINES CO /DE                        DE       1.01,8.01,9.01       08/13/13

MEDIFAST INC                            DE       7.01,9.01            08/14/13

Mellanox Technologies, Ltd.             L3       8.01                 08/15/13

MERCANTILE BANK CORP                    MI       1.01,8.01,9.01       08/14/13

METLIFE INC                             DE       8.01,9.01            08/15/13

METRO BANCORP, INC.                              7.01,8.01,9.01       08/15/13

MEXCO ENERGY CORP                       CO       2.02,9.01            08/14/13

Mill City Ventures III, Ltd             MN       5.02                 08/08/13    AMEND

Millennium India Acquisition CO Inc.    DE       8.01,9.01            08/15/13

MONDIAL VENTURES, INC.                  NV       8.01                 08/15/13

Morgan Stanley Bank of America Merril   DE       8.01,9.01            08/15/13

Motorola Solutions, Inc.                DE       8.01                 08/15/13

MPG Office Trust, Inc.                           1.01,9.01            08/14/13

MRC GLOBAL INC.                         DE       7.01,9.01            08/15/13

MUNICIPAL MORTGAGE & EQUITY LLC         DE       2.02,8.01,9.01       08/15/13

National Bank Holdings Corp             DE       7.01,9.01            08/15/13

NAVARRE CORP /MN/                       MN       8.01,9.01            08/15/13

NETLIST INC                             DE       2.02,9.01            08/13/13

Nevada Gold Holdings, Inc.              DE       4.01,9.01            08/09/13

NORDSTROM INC                           WA       2.02,7.01,9.01       08/15/13

NORTHEAST BANCORP /ME/                  ME       5.02,9.01            08/15/13

Northern Tier Energy LP                 DE       1.01,7.01,9.01       08/13/13

NTS, INC.                               NV       2.02,7.01,9.01       08/15/13

NUTRI SYSTEM INC /DE/                   DE       1.01,9.01            08/13/13

Nuverra Environmental Solutions, Inc.   DE       7.01,9.01            08/13/13

NV ENERGY, INC.                         NV       2.03                 08/15/13

Oconee Federal Financial Corp.                   2.02,9.01            08/15/13

OMNI BIO PHARMACEUTICAL, INC.           CO       5.02                 08/09/13

OMNICARE INC                            DE       8.01,9.01            08/09/13

OMNICOMM SYSTEMS INC                    DE       5.07                 08/01/13

OMNICOMM SYSTEMS INC                    DE       5.02                 08/13/13

ON SEMICONDUCTOR CORP                   DE       5.02                 08/14/13

Onstream Media CORP                     FL       2.02,9.01            08/15/13

OptimizeRx Corp                         NV       1.01,3.02,5.02,9.01  08/14/13

Otter Tail Corp                         MN       5.02                 08/15/13

OVERSEAS SHIPHOLDING GROUP INC          DE       7.01                 08/15/13

Owens Realty Mortgage, Inc.             MD       8.01,9.01            08/15/13

PACIFIC MERCANTILE BANCORP              CA       2.02,9.01            08/12/13

PACWEST BANCORP                         DE       9.01                 05/31/13    AMEND

PEOPLESTRING CORP                       DE       1.01,9.01            08/09/13

PERMA FIX ENVIRONMENTAL SERVICES INC    DE       8.01                 08/14/13

PERRIGO CO                              MI       2.02,8.01,9.01       08/15/13

Petron Energy II, Inc.                  NV       3.03,5.02,9.01       08/15/13

Pharmagen, Inc.                         NV       3.02,9.01            08/09/13

PHL VARIABLE INSURANCE CO /CT/                   7.01                 08/15/13

PHOENIX COMPANIES INC/DE                DE       2.02,7.01,9.01       08/15/13

PILGRIMS PRIDE CORP                     DE       7.01,9.01            08/14/13

PINNACLE ENTERTAINMENT INC.             DE       1.01,1.02,2.01,	 08/13/13
						2.03,2.04,3.03,5.02,8.01,9.01   

PIONEER POWER SOLUTIONS, INC.           DE       2.02,9.01            08/14/13

PLAINS ALL AMERICAN PIPELINE LP         DE       1.01,9.01            08/15/13

PLC SYSTEMS INC                         B0       2.02,9.01            08/14/13

PNC FINANCIAL SERVICES GROUP, INC.      PA       5.02,5.03,9.01       08/12/13

PORTOLA PHARMACEUTICALS INC             DE       2.02,9.01            08/15/13

Power REIT                              MD       2.02,9.01            08/15/13

POWIN CORP                                       5.07                 06/12/13    AMEND

PRECISION CASTPARTS CORP                OR       5.02,5.03,5.07,	 08/15/13
						8.01,9.01          

PROCTER & GAMBLE Co                     OH       8.01,9.01            08/15/13

PROGRESS ENERGY INC                     NC       7.01,9.01            06/30/13

Prologis, Inc.                          MD       2.03,8.01,9.01       08/15/13

Provision Holding, Inc.                 NV       8.01                 04/12/13

PRUDENTIAL FINANCIAL INC                NJ       9.01                 08/15/13

PYRAMID OIL CO                          CA       2.02,9.01            08/14/13

QUALITY DISTRIBUTION INC                FL       5.03,7.01,8.01,9.01  08/14/13

RADIOSHACK CORP                         DE       5.02                 08/14/13

RAMBO MEDICAL GROUP, INC.                        4.01,9.01            08/13/13

RED ROBIN GOURMET BURGERS INC           DE       2.02,9.01            08/15/13

REVLON CONSUMER PRODUCTS CORP           DE       2.03,9.01            08/14/13

REVLON CONSUMER PRODUCTS CORP           DE       7.01,9.01            08/15/13

REVLON INC /DE/                         DE       1.01,2.03,9.01       08/14/13

REVLON INC /DE/                         DE       7.01,9.01            08/15/13

Revolution Lighting Technologies, Inc   DE       1.01,3.02,9.01       08/09/13

Rock-Tenn CO                            GA       7.01,9.01            08/15/13

RPC INC                                 DE       8.01,9.01            08/12/13

SAFEWAY INC                             DE       2.02,8.01,9.01       08/14/13

SALON MEDIA GROUP INC                   DE       2.02,9.01            08/14/13

SANUWAVE Health, Inc.                   NV       2.02,7.01,9.01       08/14/13

SCHNITZER STEEL INDUSTRIES INC          OR       5.02                 08/10/13

SECURE IT CORP                          DE       5.02                 07/31/13

SEFE, INC.                              NV       3.02                 08/07/13

Simplicity Bancorp, Inc.                         8.01,9.01            08/09/13

Simplicity Bancorp, Inc.                         2.02,9.01            08/14/13

SIRIUS XM RADIO INC.                    DE       7.01,9.01            08/15/13

SLAVIA, CORP.                           NV       5.03,8.01,9.01       08/14/13

SLM FUNDING LLC                         DE       9.01                 08/15/13

SLM FUNDING LLC                         DE       1.01,2.01,9.01       08/15/13

SOURCEFIRE INC                          DE       8.01,9.01            08/14/13

SPHERIX INC                             DE       8.01,9.01            08/15/13

SquareTwo Financial Corp                DE       2.02,9.01            08/15/13

STAGE STORES INC                        NV       8.01,9.01            08/15/13

State Auto Financial CORP               OH       8.01                 08/09/13

STOCK BUILDING SUPPLY HOLDINGS, INC.    DE       1.01,5.02,5.03,	 08/14/13
						8.01,9.01          

STRATS TRUST FOR SPRINT CAP CORP SEC    DE       8.01                 08/08/13    AMEND

SUNOCO LOGISTICS PARTNERS L.P.          DE       1.01,1.02,2.03       08/15/13

SUPERTEL HOSPITALITY INC                VA       2.02,9.01            08/14/13

SUPERTEL HOSPITALITY INC                VA       1.01,3.03,5.03,9.01  08/09/13

Swisher Hygiene Inc.                    DE       5.02                 08/09/13

SYMMETRICOM INC                         DE       5.02                 08/09/13

Sync2 Networks Corp                     NV       5.02,9.01            07/18/13

T-Mobile US, Inc.                       DE       8.01,9.01            08/14/13

TABLE TRAC INC                          NV       5.07                 06/18/13

TAIWAN FUND INC                         DE       7.01,9.01            07/31/13

TC GLOBAL, INC.                         WA       1.01,1.02,2.01,5.02, 01/03/13
						7.01,9.01     

TECUMSEH PRODUCTS CO                    MI       2.02,9.01            08/12/13

TELETECH HOLDINGS INC                   DE       5.02                 08/14/13

TESCO CORP                                       5.05,9.01            08/08/13

TIER REIT INC                           MD       7.01,9.01            08/15/13

Timberline Resources Corp               DE       2.02,7.01,9.01       08/14/13

TRANSCONTINENTAL REALTY INVESTORS INC   NV       2.02,9.01            08/14/13

TRANSUNION CORP.                                 5.02,7.01,9.01       08/09/13

TUFCO TECHNOLOGIES INC                  DE       2.02,9.01            08/13/13

TWENTY-FIRST CENTURY FOX, INC.                   8.01,9.01            08/15/13

ULURU INC.                              NV       2.02,9.01            08/15/13

UMB FINANCIAL CORP                      MO       7.01,9.01            08/15/13

UNITED AIRLINES, INC.                   DE       8.01,9.01            08/15/13

UNITED COMMUNITY BANKS INC              GA       1.01,2.03,8.01,9.01  08/12/13

UNR HOLDINGS INC                        FL       8.01,9.01            07/25/13

UNWIRED PLANET, INC.                    DE       2.02,7.01,9.01       08/15/13

VANTAGESOUTH BANCSHARES, INC.                    2.03,9.01            08/12/13

VERIFONE SYSTEMS, INC.                  DE       8.01                 08/09/13

VIAD CORP                               DE       8.01                 08/09/13

VIRGINIA ELECTRIC & POWER CO            VA       8.01,9.01            08/12/13

VISTAPRINT N.V.                         P7       5.02                 08/13/13

WAL MART STORES INC                     DE       2.02,9.01            08/14/13

WebMD Health Corp.                      DE       5.02,9.01            08/11/13

WELLS FARGO & COMPANY/MN                DE       9.01                 08/15/13

WideOpenWest Finance, LLC               DE       2.02,9.01            08/14/13

WILLIS GROUP HOLDINGS PLC               L2       1.01,8.01,9.01       08/15/13

WINLAND ELECTRONICS INC                 MN       2.02,9.01            08/14/13

WireCo WorldGroup Inc.                           7.01,9.01            08/15/13

Youngevity International, Inc.                   2.02,9.01            08/14/13


http://www.sec.gov/news/digest/2013/dig081613.htm


Modified: 08/20/2013