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U.S. Securities and Exchange Commission

SEC NEWS DIGEST

Issue 2013-175
September 11, 2013

Commission Announcements

Jina L. Choi Named Director of San Francisco Regional Office

The Securities and Exchange Commission (Commission) today announced the appointment of Jina L. Choi as director of the San Francisco Regional Office, where she will oversee enforcement and examinations in Northern California and the Pacific Northwest.

Ms. Choi joined the SEC staff in 2000 and became a branch chief in 2005 before being promoted to assistant director in 2010. In addition to managing cases in the San Francisco office, Ms. Choi has helped lead investigations in the nationwide Market Abuse Unit that focuses on insider trading and other complex manipulation schemes.

“The San Francisco office has a rich history of robust enforcement activity and is staffed by immensely talented people dedicated to the SEC’s mission,” said Andrew J. Ceresney, Co-Director of the SEC’s Division of Enforcement. “Jina has shown great distinction, judgment, and tenacity in working to protect investors since joining the enforcement staff more than a decade ago. She will be an outstanding leader of the office, and we are delighted to have her join our leadership team.”

Andrew J. Bowden, Director of the SEC’s Office of Compliance Inspections and Examinations, said, “Jina’s focus and energy have enabled her to establish a great reputation and rapport with the exam team. We are thrilled that she has agreed to lead the San Francisco office.”

Ms. Choi said, “I am honored and delighted to have been selected to serve as the head of the San Francisco office. I know firsthand the exceptional talent and dedication of the San Francisco staff and look forward to leading our office’s efforts to protect investors and ensure fair and orderly markets.”

Ms. Choi supervised investigations that resulted in enforcement actions against a Latvian trader and several firms for a massive online account intrusion scheme involving the manipulation of prices of more than 100 NYSE and Nasdaq securities, a former UBS financial adviser for misappropriating funds from clients, and an international insider trading scheme involving repeated leaks of confidential deal information to family members in the United Kingdom.

In addition to her extensive SEC experience, Ms. Choi has served as an Assistant U.S. Attorney in the Northern District of Texas, where she worked in the cybercrime/anti-terrorism and general crimes sections. Ms. Choi also served as a trial attorney in the Civil Rights Division at the U.S. Department of Justice. She began her legal career as a law clerk to the Honorable Robert P. Patterson, Jr. in the U.S. District Court for the Southern District of New York.

Ms. Choi earned her bachelor’s degree from Oberlin College and her J.D. from Yale Law School. (Press Rel. 2013-177)

ENFORCEMENT PROCEEDINGS

Final Judgments Entered Against CFO and Real Estate Finance Company

The Commission announced that on September 11, 2013, a Minnesota federal court entered final judgments by consent against Owen Mark Williams (Williams) and True North Finance Corporation, f/k/a CS Financing Corporation (True North), in a civil injunctive action filed by the Commission on September 21, 2010. Among other things, the judgment against Williams requires him to pay a $40,000 civil penalty.

The Commission’s complaint alleged that True North and its Chief Financial Officer, Williams, overstated revenue in True North’s filings with the Commission in 2008 and 2009. Williams caused True North to improperly recognize revenue on interest from borrowers where the borrowers were not paying True North and where the borrowers’ impaired financial condition meant that collectability was not reasonably assured. The Complaint alleged that this recognition of revenue departed from generally accepted accounting principles and also departed from True North’s revenue recognition policy, which stated that the company would not recognize revenue when the payment of interest was 90 days past due.

The final judgments against Williams and True North also imposed permanent injunctions prohibiting these Defendants from violating of Section 17(a)(2) of the Securities Act of 1933 (Securities Act), Sections 13(b)(2)(A), 13(b)(5), and 15(d) of the Securities Exchange Act of 1934 (Exchange Act), and Rules 13b2-1, 13b2-2, 13b-20, and 15d-14 thereunder.

For further information, please see Litigation Release Number 21657 (Sept. 21, 2010). [SEC v. True North Finance Corp., et al, United States District Court for the District of Minnesota, Civil Action No. 10-cv-3995] (LR-22796)

In the Matter of Eric T. Burns

The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing (Order) against Eric T. Burns (Burns).

The Order alleges that on January 17, 2013, Burns entered a written plea agreement in the criminal proceedings United States v. Eric T. Burns, Case No. 12-cr-10184-EFM (the Criminal Proceeding), whereby Burns pled guilty to five counts of mail fraud in violation of 18 U.S.C. 1343. Burns admitted that from July 2010 through June 2011, he induced numerous individuals to deposit money in bank accounts that he controlled through false and fraudulent representations that he would invest the money. Subsequently, on May 31, 2013, the Court entered a Criminal Judgment sentencing Burns to 63 months of incarceration and an additional 36 months of supervised release. The Court also ordered Burns to pay $2,246,870.00 in restitution.

A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Burns with an opportunity to respond to these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. As directed by the Commission, an administrative law judge shall issue an initial decision in this matter no later than 210 days from the date of service of the Order. (Rel. 34-70368)

SELF-REGULATORY ORGANIZATIONS

Immediate Effectiveness of Proposed Rule Change

A proposed rule change (SR-BOX-2013-44) filed by BOX Options Exchange LLC to amend the Fee Schedule to make permanent the pilot program of liquidity fees and credits for certain transactions in the BOX Price Improvement Period 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 September 16th. (Rel. 34-70369)

A proposed rule change filed by C2 Options Exchange, Incorporated to amend the Fees Schedule (SR-C2-2013-033) 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 September 16th. (Rel. 34-70370)

A proposed rule change filed by NASDAQ OMX PHLX LLC to amend the exchange’s pricing schedule (SR-Phlx-2013-90) 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 September 16th. (Rel. 34-70371)

A proposed rule change filed by NYSE Arca, Inc. to amend certain of its rules pertaining to the trading of options in order to change the expiration date for most option contracts to the third Friday of the expiration month instead of the Saturday following the third Friday (SR-NYSEArca-2013-88) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of September 16th. (Rel. 34-70372)

A proposed rule change filed by NYSE MKT LLC to amend certain of its rules pertaining to the trading of options in order to change the expiration date for most option contracts to the third Friday of the expiration month instead of the Saturday following the third Friday (SR-NYSEMKT-2013-73) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of September 16th. (Rel. 34-70373)

SECURITIES ACT REGISTRATIONS

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

S-1     Textura Corp, 1405 LAKE COOK ROAD, DEERFIELD, IL, 60015, 847-457-6500 - 
        0 ($184,092,000.00) Equity, (File 333-191069 - Sep. 10) (BR. 03C)

S-8     ARCH COAL INC, CITY PLACE ONE STE 300, ARCH MINERAL CORP, ST LOUIS, MO, 
        63141, 3149942700 - 0 ($64,297,008.00) Equity, (File 333-191071 - 
        Sep. 10) (BR. 09A)

S-8     Rosetta Genomics Ltd., 10 PLAUT STREET, SCIENCE PARK, POB 4059, 
        REHOVOT, L3, 76706, 972-73-222-0700 - 853,770 ($3,628,000.00) Equity, 
        (File 333-191072 - Sep. 10) (BR. 01A)

S-3     IDERA PHARMACEUTICALS, INC., 167 SIDNEY STREET, CAMBRIDGE, MA, 02139, 
        6176795500 - 0 ($75,000,000.00) Equity, (File 333-191073 - Sep. 10) 
        (BR. 01A)

S-8     CURIS INC, 4 MAGUIRE ROAD, LEXINGTON, MA, 02421, 617-503-6500 - 
        3,000,000 ($12,930,000.00) Equity, (File 333-191074 - Sep. 10) (BR. 01A)

S-3     UNIVERSAL AMERICAN CORP., SIX INTERNATIONAL DRIVE, SUITE 190, 
        RYE BROOK, NY, 10573, 914-934-5200 - 0 ($341,163,407.00) Equity, 
        (File 333-191075 - Sep. 10) (BR. 01A)

S-8     IDERA PHARMACEUTICALS, INC., 167 SIDNEY STREET, CAMBRIDGE, MA, 02139, 
        6176795500 - 0 ($22,575,150.00) Equity, (File 333-191076 - Sep. 10) 
        (BR. 01A)

S-3ASR  ALLIANT TECHSYSTEMS INC, 7480 FLYING CLOUD DRIVE, MINNEAPOLIS, MN, 
        55344-3720, 9523513000 - 0 ($0.00) Debt, 
        0 ($0.00) Debt Convertible into Equity, 0 ($0.00) Equity, 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-191077 - Sep. 10) 
        (BR. 05A)

S-3     XOMA Corp, 2910 SEVENTH ST, BERKELEY, CA, 94710, 5106441170 - 
        0 ($150,000,000.00) Equity, (File 333-191078 - Sep. 10) (BR. 01A)

S-1     Atlantic Coast Financial CORP, 505 HAINES AVE, WAYCROSS, GA, 31501, 
        (800) 234-0642 - 0 ($46,000,000.00) Equity, (File 333-191079 - Sep. 10) 
        (BR. 07B)

S-8     8X8 INC /DE/, 2125 O'NEL DRIVE, SAN JOSE, CA, 95131, 4087271885 - 
        1,000,000 ($9,550,000.00) Equity, (File 333-191080 - Sep. 10) (BR. 11A)

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 FRANKLIN FINANCIAL CORP             GA       1.01                 09/10/13

1st FRANKLIN FINANCIAL CORP             GA       1.01                 09/10/13

1st FRANKLIN FINANCIAL CORP             GA       1.01                 09/10/13

3D SYSTEMS CORP                         DE       8.01,9.01            09/06/13

Advaxis, Inc.                           DE       5.02,9.01            09/04/13

Advaxis, Inc.                           DE       1.01,2.03,3.02,9.01  09/04/13

ADVISORY BOARD CO                       DE       5.02,5.07,9.01       09/05/13

AeroVironment Inc                       DE       1.01,7.01,9.01       09/04/13

AGILYSYS INC                            OH       2.02,7.01,8.01,9.01  09/10/13

ALBANY MOLECULAR RESEARCH INC           DE       5.02,9.01            09/06/13

Allegiant Travel CO                     NV       7.01,9.01            09/10/13

Altisource Asset Management Corp        VI       8.01,9.01            09/05/13

AMERA LINK INC                          NV       4.01,9.01            09/06/13

AMERICAN JIANYE GREENTECH HOLDINGS, L   NV       4.01,9.01            09/10/13

American Nano Silicon Technologies, I   CA       3.02                 09/05/13

American Realty Capital Properties, I   MD       8.01,9.01            09/10/13

AMERICAN SCIENCE & ENGINEERING, INC.    MA       5.07                 09/04/13

American Water Works Company, Inc.      DE       7.01,8.01,9.01       09/09/13

AMICUS THERAPEUTICS INC                 DE       8.01,9.01            09/10/13

Ampio Pharmaceuticals, Inc.             DE       8.01                 09/06/13

Ancestry.com LLC                        DE       7.01,8.01,9.01       09/10/13

Armour Residential REIT, Inc.           MD       7.01,9.01            09/10/13

AT&T INC.                               DE       8.01                 09/10/13

ATHENAHEALTH INC                        DE       5.02                 09/04/13

Atlantic Coast Financial CORP           MD       5.02,7.01,9.01       09/10/13

AXESSTEL INC                            NV       5.02                 09/04/13

BB&T CORP                               NC       7.01,9.01            09/10/13

BEST BUY CO INC                         MN       5.02                 09/06/13

BIOLASE, INC                            DE       7.01,9.01            09/10/13

BIOLASE, INC                            DE       1.01,3.02,8.01       09/06/13

Bonanza Creek Energy, Inc.              DE       2.02,9.01            09/09/13

BONANZA GOLD CORP.                               3.02,9.01            05/13/13

BOND LABORATORIES, INC.                 NV       1.01,2.03,8.01,9.01  09/04/13

BROCADE COMMUNICATIONS SYSTEMS INC      DE       2.05                 09/04/13

BROWN SHOE CO INC                       NY       5.02                 09/10/13

CAPITAL ONE FINANCIAL CORP              DE       7.01                 09/10/13

CapLease, Inc.                                   5.07,8.01,9.01       09/10/13

Car Charging Group, Inc.                NV       5.02                 08/27/13

CARDINAL FINANCIAL CORP                 VA       1.01,9.01            09/09/13

CareView Communications Inc             NV       5.02,9.01            09/06/13

CASEYS GENERAL STORES INC               IA       2.02,9.01            09/10/13

Catalent Pharma Solutions, Inc.         DE       2.02,9.01            09/10/13

CATALYST PHARMACEUTICAL PARTNERS, INC   DE       8.01,9.01            09/10/13

Cellular Concrete Technologies, Inc.    DE       1.01,5.06,9.01       06/12/13    AMEND

CENTERPOINT ENERGY INC                           1.01,9.01            09/09/13

CHESAPEAKE UTILITIES CORP               DE       1.01,2.03            09/05/13

CHIMERIX INC                            DE       8.01,9.01            09/06/13

CHIMERIX INC                            DE       8.01,9.01            09/09/13

China Ceetop.com, Inc.                  OR       5.07                 09/06/13

CHRISTOPHER & BANKS CORP                DE       2.02,9.01            09/10/13

CIGNA CORP                              DE       7.01                 09/10/13

CINCINNATI BELL INC                     OH       1.01,2.03,9.01       09/10/13

CITIGROUP INC                           DE       9.01                 09/09/13

Clearwater Paper Corp                   DE       7.01,9.01            09/10/13

ClubCorp Club Operations, Inc.          DE       8.01                 09/09/13

COCA COLA BOTTLING CO CONSOLIDATED /D   DE       1.01                 09/04/13

COLDWATER CREEK INC                     DE       2.02,9.01            09/10/13

Cole Real Estate Investments, Inc.      MD       7.01,9.01            09/10/13

CONAGRA FOODS INC /DE/                  DE       2.02,9.01            09/10/13

CORGENIX MEDICAL CORP/CO                CO       1.02,8.01,9.01       09/04/13

Corporate Capital Trust, Inc.           MD       1.01,2.03,8.01,9.01  09/04/13

COUSINS PROPERTIES INC                  GA       2.01,7.01,9.01       09/09/13

CRAILAR TECHNOLOGIES INC                A1       8.01,9.01            09/06/13

Crocs, Inc.                                      7.01,9.01            09/10/13

Cryoport, Inc.                          NV       5.02,5.07            09/06/13

CUBIST PHARMACEUTICALS INC              DE       1.01,2.03,3.02,      09/05/13
                                                 8.01,9.01          

CYS Investments, Inc.                   MD       7.01,9.01            09/10/13

Cyto Wave Technologies Inc.             NV       5.02                 09/10/13

DAKOTA PLAINS HOLDINGS, INC.            NV       7.01,9.01            09/10/13

DAYTON POWER & LIGHT CO                 OH       8.01                 09/10/13

DECISION DIAGNOSTICS CORP               NV       4.01,9.01            04/16/13    AMEND

DiamondRock Hospitality Co                       7.01,9.01            09/10/13

DIVERSIFIED 2000 FUTURES FUND L.P.               1.01                 09/04/13

DIVERSIFIED MULTI-ADVISOR FUTURES FUN   NY       1.01                 09/04/13

DIVERSIFIED MULTI-ADVISOR FUTURES FUN   NY       1.01                 09/04/13

DOCUMENT CAPTURE TECHNOLOGIES, INC.              5.02,9.01            09/04/13

DUN & BRADSTREET CORP/NW                DE       5.02,9.01            09/05/13

DYCOM INDUSTRIES INC                    FL       2.02,7.01,9.01       09/10/13

DYCOM INDUSTRIES INC                    FL       7.01,9.01            09/10/13

E TRADE FINANCIAL Corp                  DE       7.01                 09/10/13

EASTERN VIRGINIA BANKSHARES INC         VA       1.01,9.01            09/05/13

EASTMAN CHEMICAL CO                     DE       5.02,9.01            09/09/13

EASTMAN KODAK CO                        NJ       1.01,2.01,2.03,      09/03/13
                                                 3.02,5.01,5.02,5.03,
                                                 9.01        

Ellington Financial LLC                 DE       7.01,9.01            09/09/13

ENDO HEALTH SOLUTIONS INC.              DE       5.02,9.01            09/04/13

EnerJex Resources, Inc.                 NV       7.01,8.01,9.01       09/10/13

EQUAL ENERGY LTD.                       A0       7.01,9.01            09/10/13

ERBA Diagnostics, Inc.                  DE       5.07,7.01            09/10/13

EverBank Financial Corp                 DE       7.01,9.01            09/10/13

EXAR CORP                               DE       5.07                 09/05/13

EXELON CORP                             PA       7.01,9.01            09/10/13

FAR EAST ENERGY CORP                    NV       5.02,9.01            09/09/13

Federal Home Loan Bank of Atlanta       X1       2.03                 09/04/13

Federal Home Loan Bank of Boston        X1       2.03                 09/04/13

Federal Home Loan Bank of Chicago       X1       2.03                 09/04/13

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            09/05/13

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            09/06/13

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            09/10/13

Federal Home Loan Bank of New York      X1       2.03,9.01            09/04/13

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            09/04/13

Federal Home Loan Bank of Seattle                2.03                 09/04/13

Federal Home Loan Bank of Topeka                 2.03,9.01            09/04/13

FEMALE HEALTH CO                        WI       5.02,9.01            09/04/13

Fibrocell Science, Inc.                 DE       7.01,9.01            09/10/13

FIFTH THIRD BANCORP                     OH       7.01,9.01            09/10/13

FINJAN HOLDINGS, INC.                   DE       8.01,9.01            09/09/13

FLEETCOR TECHNOLOGIES INC               DE       8.01                 09/10/13

FOREST CITY ENTERPRISES INC             OH       7.01,9.01            09/10/13

FURNITURE BRANDS INTERNATIONAL INC      DE       1.01,1.03,2.03,2.04, 09/09/13
                                                 7.01,8.01,9.01

FX ENERGY INC                           NV       4.01,9.01            09/05/13

FXCM Inc.                                        7.01,9.01            09/10/13

Galaxy Gaming, Inc.                              8.01,9.01            09/10/13

GALECTIN THERAPEUTICS INC               NV       7.01,9.01            09/10/13

General Finance CORP                    DE       1.01,7.01,9.01       09/05/13

General Finance CORP                    DE       8.01,9.01            09/10/13

General Moly, Inc                       DE       5.02,8.01,9.01       09/07/13

GILMAN CIOCIA, INC.                     DE       5.07                 09/09/13

GLOBAL BRASS & COPPER HOLDINGS, INC.             5.02,9.01            09/06/13

GLOBAL GOLD CORP                        DE       1.01,8.01,9.01       09/05/13

Global Seed Corp                        TX       4.01                 09/10/13    AMEND

GLOBALSCAPE INC                         DE       7.01,9.01            09/10/13

GOLD RESOURCE CORP                      CO       5.02,7.01,9.01       09/05/13

Gramercy Property Trust Inc.            MD       1.01,2.03,9.01       09/04/13

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            09/06/13

Greektown Superholdings, Inc.           DE       5.02,8.01            09/09/13

GREER BANCSHARES INC                    SC       4.02                 09/05/13

Hanesbrands Inc.                        MD       7.01,9.01            09/10/13

HEALTHSTREAM INC                        TN       8.01,9.01            09/09/13

HEARTLAND EXPRESS INC                   NV       2.02,9.01            09/09/13

HedgePath Pharmaceuticals, Inc.         DE       1.01,5.03,7.01,9.01  09/03/13

HI TECH PHARMACAL CO INC                NY       2.02,9.01            09/09/13

HINTO ENERGY, INC                       WY       7.01,9.01            08/22/13

HOME DEPOT INC                          DE       8.01,9.01            09/10/13

HomeStreet, Inc.                        WA       7.01,9.01            09/09/13    AMEND

hopTo Inc.                              DE       5.03,7.01,9.01       09/09/13

IDENIX PHARMACEUTICALS INC              DE       2.05,5.02,8.01       09/09/13

INDEPENDENT BANK CORP /MI/              MI       8.01,9.01            09/10/13

INERGY MIDSTREAM, L.P.                  DE       1.01,7.01,9.01       09/09/13

INFRASTRUCTURE MATERIALS CORP.          DE       3.02,9.01            09/09/13

INOVIO PHARMACEUTICALS, INC.                     7.01,9.01            09/10/13

INPHI Corp                              DE       5.02                 09/05/13

InspireMD, Inc.                         DE       7.01,9.01            09/10/13

INTEGRAL TECHNOLOGIES INC               NV       7.01,9.01            08/27/13

INTEGRATED DEVICE TECHNOLOGY INC        DE       5.02,9.01            09/10/13

INTEGRATED ELECTRICAL SERVICES INC      DE       7.01,8.01            09/09/13

Intelligent Living Inc.                 NV       5.02                 09/06/13    AMEND

INTERNATIONAL BUSINESS MACHINES CORP    NY       8.01                 09/10/13

INTERSIL CORP/DE                        DE       5.02,9.01            09/10/13

INVESTMENT TECHNOLOGY GROUP INC         DE       8.01,9.01            09/10/13

INVIVO THERAPEUTICS HOLDINGS CORP.      NV       5.02                 09/09/13

IXYS CORP /DE/                          DE       9.01                 06/27/13    AMEND

J.P. Morgan Chase Commercial Mortgage   DE       6.02                 09/10/13

JAVELIN MORTGAGE INVESTMENT CORP.       MD       7.01,9.01            09/10/13

JPMORGAN CHASE & CO                     DE       7.01,9.01            09/09/13

KAPSTONE PAPER & PACKAGING CORP         DE       7.01,9.01            09/10/13

KCG Holdings, Inc.                      DE       9.01                 07/01/13    AMEND

KRISPY KREME DOUGHNUTS INC              NC       7.01,9.01            09/10/13

L2 MEDICAL DEVELOPMENT CO               NV       2.01,3.02,4.01,5.01, 09/04/13
                                                 5.02,5.03,5.06,9.01        

LANTRONIX INC                           DE       7.01,9.01            09/10/13

LEXINGTON REALTY TRUST                  MD       8.01                 09/06/13

Liberty Interactive Corp                         7.01                 09/04/13

Lyynks Inc.                             NV       4.01,9.01            09/09/13

MAGELLAN HEALTH SERVICES INC            DE       8.01                 09/10/13

MANAGED FUTURES PREMIER AVENTIS II L.   NY       1.01                 09/04/13

Mantra Venture Group Ltd.                        1.01,9.01            06/24/13

MASONITE INTERNATIONAL CORP             A1       8.01,9.01            09/06/13

Matador Resources Co                    TX       7.01,9.01            09/10/13

MCDONALDS CORP                          DE       7.01,9.01            09/10/13

MCGRAW HILL FINANCIAL INC               NY       7.01                 09/09/13

MedClean Technologies, Inc.             DE       1.01,8.01,9.01       09/03/13

MENS WEARHOUSE INC                      TX       5.07,9.01            09/10/13

Merriman Holdings, Inc                  DE       1.01,9.01            09/04/13

MetaStat, Inc.                          NV       1.01,9.01            09/03/13

METLIFE INC                             DE       3.03,8.01,9.01       09/10/13

Millennial Media Inc.                   DE       8.01,9.01            09/10/13

MISCOR GROUP, LTD.                      IN       7.01,8.01            09/09/13

MOD PAC CORP                            NY       1.01,8.01,9.01       09/03/13    AMEND

Moody National REIT I, Inc.             MD       1.01                 09/03/13

MRV COMMUNICATIONS INC                  DE       4.01                 09/10/13

MTR GAMING GROUP INC                    DE       8.01,9.01            09/10/13

National Automation Services Inc        NV       5.02                 09/10/13

Net Element International, Inc.         E9       1.01,3.02,9.01       09/04/13

Neuralstem, Inc.                        DE       7.01,8.01,9.01       09/10/13

Neuralstem, Inc.                        DE       1.01,9.01            09/04/13

NEWCASTLE INVESTMENT CORP               MD       1.01,2.03,9.01       09/04/13

NGP Capital Resources Co                MD       7.01,9.01            09/10/13

NOVATEL WIRELESS INC                    DE       2.05,9.01            09/09/13

NTS REALTY HOLDINGS LP                  DE       8.01,9.01            09/10/13

Oasis Petroleum Inc.                    DE       8.01,9.01            08/16/13

OLD NATIONAL BANCORP /IN/               IN       1.01,9.01            09/10/13

OMEROS CORP                             WA       8.01,9.01            09/10/13

Opexa Therapeutics, Inc.                TX       7.01,9.01            09/10/13

OSH 1 LIQUIDATING Corp                  DE       5.03,9.01            09/05/13

OXFORD INDUSTRIES INC                   GA       2.02,9.01            09/10/13

PARK CITY GROUP INC                     NV       5.08                 09/04/13

PATRIOT NATIONAL BANCORP INC            CT       5.02                 09/06/13

Pebblebrook Hotel Trust                 MD       7.01                 09/10/13

PEDEVCO CORP                            TX       3.02,5.02,7.01,      09/10/13
                                                 8.01,9.01          

PENNYMAC FINANCIAL SERVICES, INC.       DE       7.01,9.01            09/10/13

People's United Financial, Inc.         DE       7.01,9.01            09/10/13

PHARMACYCLICS INC                       DE       7.01,9.01            09/10/13

Pharmagen, Inc.                         NV       1.01,3.02,9.01       09/05/13

PHARMATHENE, INC                        DE       8.01,9.01            09/10/13

Phillips Edison - ARC Shopping Center   MD       5.02,8.01,9.01       09/03/13

Pinacle Enterprise, Inc.                2M       8.01,9.01            09/09/13

PIONEER POWER SOLUTIONS, INC.           DE       8.01,9.01            09/10/13

PRICESMART INC                          DE       2.02,9.01            09/10/13

PRIVATEBANCORP, INC                     DE       7.01,9.01            09/10/13

PROFIRE ENERGY INC                      UT       7.01,9.01            09/10/13

PROSPECT GLOBAL RESOURCES INC.          NV       8.01,9.01            09/09/13

ProUroCare Medical Inc.                 NV       5.02,9.01            09/09/13

QVC INC                                 DE       7.01                 09/05/13

RADIANT LOGISTICS, INC                  DE       7.01,9.01            09/10/13

Real Goods Solar, Inc.                  CO       7.01,8.01,9.01       09/10/13

REGIONS FINANCIAL CORP                  DE       7.01,9.01            09/10/13

REGIS CORP                              MN       5.02,9.01            09/06/13

RESOLUTE ONCOLOGY INC                   NV       1.01                 09/09/13

Restoration Hardware Holdings Inc       DE       2.02,8.01,9.01       09/10/13

Rock-Tenn CO                            GA       7.01,9.01            09/10/13

RPX Corp                                DE       5.02                 09/09/13

rue21, inc.                             DE       8.01,9.01            09/10/13

RUSH ENTERPRISES INC \TX\               TX       7.01,9.01            09/10/13

RYERSON INC.                            DE       8.01,9.01            09/10/13

SAIC, Inc.                                       5.02,7.01,9.01       09/09/13

SAKS INC                                TN       5.05,8.01,9.01       09/09/13

SALIX PHARMACEUTICALS LTD                        8.01,9.01            09/04/13

SED INTERNATIONAL HOLDINGS INC          2Q       1.01,3.03,5.03,      09/09/13
                                                 7.01,9.01          

SERVICE CORPORATION INTERNATIONAL       TX       8.01                 09/09/13

SHARP PERFORMANCE INC                   NV       1.01,3.02,9.01       09/06/13

SI Financial Group, Inc.                         2.01,5.02,9.01       09/06/13

SIMMONS FIRST NATIONAL CORP             AR       8.01,9.01            09/09/13

SM Energy Co                            DE       8.01,9.01            09/09/13

SMUCKER J M CO                          OH       1.01,2.03,9.01       09/06/13

SOCKET MOBILE, INC.                     DE       1.01,3.02,9.01       09/04/13

Solar Power, Inc.                       CA       5.02                 08/30/13    AMEND

SOLARCITY CORP                          DE       8.01,9.01            09/06/13

SPHERIX INC                             DE       2.01,8.01,9.01       09/09/13

Sprouts Farmers Market, Inc.            DE       7.01,9.01            09/10/13

SSI Investments II Ltd                  L2       2.02,9.01            09/10/13

STEIN MART INC                          FL       8.01,9.01            09/10/13

STREAMLINE HEALTH SOLUTIONS INC.        DE       2.02,9.01            09/09/13

STREAMLINE HEALTH SOLUTIONS INC.        DE       7.01,9.01            09/10/13

SUMMIT FINANCIAL GROUP INC              WV       5.02                 09/05/13

SunCoke Energy Partners, L.P.           DE       7.01,9.01            09/10/13

SunCoke Energy, Inc.                             7.01,9.01            09/10/13

SunGame Corp                            DE       5.02                 09/09/13

Sunshine Heart, Inc.                    DE       5.02,9.01            09/08/13

SUNTRUST BANKS INC                      GA       7.01,9.01            09/09/13

SYNNEX CORP                             DE       1.01,9.01            09/10/13

TCP Capital Corp.                       DE       1.01,2.03,9.01       09/10/13

Telenav, Inc.                           DE       5.02                 09/10/13

TEMPUR SEALY INTERNATIONAL, INC.        DE       7.01,9.01            09/10/13

TEXAS INSTRUMENTS INC                   DE       7.01,9.01            09/10/13

THERAVANCE INC                          DE       8.01,9.01            09/10/13

THERAVANCE INC                          DE       7.01,9.01            09/10/13

TIDEWATER FUTURES FUND LP               NY       1.01                 09/04/13

Timberline Resources Corp               DE       3.02,7.01,9.01       09/10/13

Titanium Asset Management Corp          DE       1.01,9.01            09/09/13

TOWER FINANCIAL CORP                    IN       1.01,8.01,9.01       09/10/13

Tower Group International, Ltd.         D0       8.01,9.01            09/10/13

Triangle Petroleum Corp                 DE       2.02,9.01            09/09/13

TRICO BANCSHARES /                      CA       1.01,9.01            09/05/13

TWENTY-FIRST CENTURY FOX, INC.                   8.01,9.01            09/10/13

U S PRECIOUS METALS INC                 DE       1.01,8.01,9.01       09/04/13

U.S. RARE EARTHS, INC                   NV       5.02                 09/05/13

U.S. RARE EARTHS, INC                   NV       5.03,8.01,9.01       09/05/13

Unilife Corp                            DE       7.01,9.01            09/10/13

United Health Products, Inc.            NV       8.01                 09/10/13

UNIVERSAL HEALTH REALTY INCOME TRUST    MD       5.03,9.01            09/06/13

US CONCRETE INC                         DE       7.01,9.01            09/10/13

US ENERGY CORP                          WY       5.02,9.01            09/06/13

VALLEY NATIONAL BANCORP                 NJ       7.01,9.01            09/09/13

Vestin Realty Mortgage I, Inc.                   2.01                 09/09/13

Vestin Realty Mortgage II, Inc          MD       2.01                 09/09/13

VISUALANT INC                           NV       5.02                 12/28/12

VISUALANT INC                           NV       5.03,8.01,9.01       03/21/13    AMEND

VISUALANT INC                           NV       5.03,9.01            08/12/13    AMEND

VMWARE, INC.                            DE       5.02,9.01            09/05/13

VSB BANCORP INC                         NY       8.01                 09/10/13

W R GRACE & CO                          DE       7.01,9.01            09/10/13

W. P. Carey Inc.                        MD       7.01,9.01            09/10/13

Warner Chilcott plc                              5.07,8.01,9.01       09/10/13

WEBSTER FINANCIAL CORP                  DE       7.01                 09/10/13

WELLPOINT, INC                          IN       7.01                 09/10/13

Wendy's Co                              DE       7.01                 09/10/13

WESTAR ENERGY INC /KS                   KS       5.02                 09/10/13

WHOLE FOODS MARKET INC                  TX       8.01                 09/10/13

WILSHIRE BANCORP INC                             5.02,9.01            09/09/13

WMI HOLDINGS CORP.                      WA       7.01,9.01            09/10/13

WORLD ACCEPTANCE CORP                   SC       5.02,9.01            09/10/13

XZERES Corp.                            NV       7.01,9.01            09/10/13

ZION OIL & GAS INC                      DE       8.01,9.01            09/10/13

 

http://www.sec.gov/news/digest/2013/dig091113.htm


Modified: 09/11/2013