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Commission AnnouncementsJina L. Choi Named Director of San Francisco Regional OfficeThe 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 PROCEEDINGSFinal Judgments Entered Against CFO and Real Estate Finance CompanyThe 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. BurnsThe 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 ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeA 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 REGISTRATIONSThe 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 FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
1st 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
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