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Commission announcementsCommission MeetingsClosed Meeting on Tuesday, September 17, 2013 at 4:00 p.m. The subject matter of the Closed Meeting will be: post-argument discussion. 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 PROCEEDINGSIn the Matter of China Intelligent Lighting and Electronics, Inc.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) in China Intelligent Lighting and Electronics, Inc., Admin. Proc. File No. 3-15383. The Order Instituting Proceedings alleged that Respondents China Intelligent Lighting and Electronics, Inc., and NIVS IntelliMedia Technology Group, Inc., repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-70391) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by The NASDAQ Stock Market LLC to adopt fees and fee waivers for certain Exchange Traded Products (SR-NASDAQ-2013-115) 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. 34-70418) A proposed rule change filed by International Securities Exchange, LLC to amend Rule 604, Continuing Education for Registered Persons, and to adopt a corresponding fee (SR-ISE-2013-48) 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. 34-70417) A proposed rule change filed by The Nasdaq Stock Market LLC to correct a typographical error and an incorrect cross reference in Rule 5635(e)(4) (SR-NASDAQ-2013-118) 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. 34-70421) Approval of a Proposed Rule ChangeThe Commission approved a proposed rule change (SR-BOX-2013-38), filed by BOX Options Exchange LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to modify the Complex Order Filter. Publication is expected in the Federal Register during the week of September 16th. (Rel. 34-70395) The Commission has approved a proposed rule change (SR-FINRA-2013-024), filed by the Financial Industry Regulatory Authority, Inc., to amend its Discovery Guide used in customer arbitration proceedings to provide general guidance on electronic discovery issues and product cases and to clarify the existing provision relating to affirmations made when a party does not produce documents specified in the Discovery Guide. Publication is expected in the Federal Register during the week of September 16th. (Rel. 34-70419) 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-4 Coeur Mining, Inc., 505 FRONT AVE., P.O. BOX I, COEUR D'ALENE, ID,
83816, 2086673511 - 0 ($300,000,000.00) Debt, (File 333-191133 -
Sep. 13) (BR. 09A)
S-8 Actions Semiconductor Co., Ltd., 15-1, NO.1, HIT ROAD,,
TANGJIA, ZHUHAI, GUANGDONG, F4, 519085, (87-756) 339-2353 -
12,000,000 ($5,244,000.00) Equity, (File 333-191134 - Sep. 13) (BR. 10A)
F-3 Star Bulk Carriers Corp., C/O STAR BULK MANAGEMENT INC.,
40 AGIOU KONSTANTINOU STR, MAROUSSI, ATHENS, J3, 15124,
011-30-210-617-8400 - 7,731,776 ($80,797,060.00) Equity,
(File 333-191135 - Sep. 13) (BR. 05C)
S-1 Starboard Resources, Inc., 300 E. SONTERRA BLVD., SUITE 1220,
SAN ANTONIO, TX, 78258, 210-999-5400 -
12,362,336 ($61,811,680.00) Equity, (File 333-191139 - Sep. 13)
(BR. 04A)
S-3 dELiAs, Inc., C/O DELIA*S, INC., 50 WEST 23RD STREET, NEW YORK CITY,
NY, 10010, (212) 590-6204 - 0 ($24,263,577.00) Equity,
(File 333-191143 - Sep. 13) (BR. 02C)
S-4 SUPERVALU INC, 7075 FLYING CLOUD DRIVE, EDEN PRAIRIE, MN, 55344,
952-828-4381 - 0 ($400,000,000.00) Debt, (File 333-191144 - Sep. 13)
(BR. 02A)
S-8 Graystone Co, 2620 REGATTA DRIVE, STE 102, LAS VEGAS, NV, 89128,
7025825535 - 50,000,000 ($5,000.00) Equity, (File 333-191145 - Sep. 13)
(BR. 03B)
S-8 Gas Natural Inc., 1 FIRST AVE SOUTH, PO BOX 2229, GREAT FALLS, MT,
59401, 4067917500 - 500,000 ($5,165,000.00) Equity, (File 333-191146 -
Sep. 13) (BR. 02B)
S-8 DEX MEDIA, INC., 2200 WEST AIRFIELD DRIVE, P.O. BOX 619810,
D/FW AIRPORT, TX, 75261, 972-453-7000 - 0 ($8,526,643.62) Equity,
(File 333-191147 - Sep. 13) (BR. 11C)
S-8 DEX MEDIA, INC., 2200 WEST AIRFIELD DRIVE, P.O. BOX 619810,
D/FW AIRPORT, TX, 75261, 972-453-7000 - 0 ($3,901,895.91) Equity,
(File 333-191148 - Sep. 13) (BR. 11C)
N-2 Wildermuth Endowment Strategy Fund, 11525 PARK WOODS CIRCLE,
ALPHARETTA, GA, 30005, 678-356-1100 - 0 ($265,000,000.00) Equity,
(File 333-191152 - Sep. 13) (BR. )
S-3 AMERICAN SUPERCONDUCTOR CORP /DE/, SIXTY FOUR JACKSON ROAD, DEVENS, MA,
01434, 9788423000 - 0 ($30,000,000.00) Equity, (File 333-191153 -
Sep. 13) (BR. 10A)
S-1 Marathon Patent Group, Inc., 2331 MILL ROAD, SUITE 100, ALEXANDRIA, VA,
22314, (703) 232-1701 - 1,739,319 ($10,261,982.00) Equity,
(File 333-191154 - Sep. 13) (BR. 06B)
S-4 ALLIANCEBERNSTEIN L.P., 1345 AVENUE OF THE AMERICAS, NEW YORK, NY,
10105, 2129691000 - 0 ($247,939.00) Other, (File 333-191155 - Sep. 13)
(BR. 12A)
S-8 KRATOS DEFENSE & SECURITY SOLUTIONS, INC., 4820 EASTGATE MALL, .,
SAN DIEGO, CA, 92121, 858-812-7300 - 0 ($15,416,061.15) Equity,
(File 333-191156 - Sep. 13) (BR. 05C)
S-3ASR BlackRock Inc., 40 EAST 52ND STREET, NEW YORK, NY, 10022,
212-810-5300 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-191157 - Sep. 13) (BR. 12A)
S-8 Onconova Therapeutics, Inc., 375 PHEASANT RUN, NEWTOWN, PA, 18940,
267-759-3681 - 0 ($99,320,656.84) Equity, (File 333-191161 - Sep. 13)
(BR. 01A)
S-1 CST Brands, Inc., ONE VALERO WAY, BUILDING D, SUITE 200, SAN ANTONIO,
TX, 78249, 210-692-5000 - 0 ($443,938,950.00) Equity,
(File 333-191162 - Sep. 13) (BR. 02)
S-1 ING U.S., Inc., 230 PARK AVENUE, NEW YORK, NY, 10169, 860-580-2818 -
0 ($100,000,000.00) Equity, (File 333-191163 - Sep. 13) (BR. 01A)
S-1 FUELS INC, P.O. BOX 917, CASPER, WY, 82602, 3074723000 -
1,020,000 ($102,000.00) Equity, (File 333-191164 - Sep. 13) (BR. )
S-4 CST Brands, Inc., ONE VALERO WAY, BUILDING D, SUITE 200, SAN ANTONIO,
TX, 78249, 210-692-5000 - 0 ($550,000,000.00) Debt, (File 333-191165 -
Sep. 13) (BR. 02)
S-8 POWER SOLUTIONS INTERNATIONAL, INC., 201 MITTEL DRIVE, WOOD DALE, IL,
60191, 630.350.9400 - 0 ($39,606,000.00) Equity, (File 333-191166 -
Sep. 13) (BR. 10B)
S-8 HUBBELL INC, 40 WATERVIEW DR, SHELTON, CT, 06484-1000, 2037994100 -
150,000 ($15,435,000.00) Equity, (File 333-191167 - Sep. 13) (BR. 10A)
S-3ASR VALLEY NATIONAL BANCORP, 1455 VALLEY RD, WAYNE, NJ, 07470, 9733053380 -
0 ($0.00) Debt, (File 333-191168 - Sep. 13) (BR. 07C)
S-1 FIRST CITIZENS BANC CORP /OH, 100 EAST WATER ST, P O BOX 5016,
SANDUSKY, OH, 44870, 4196254121 - 0 ($25,000,000.00) Equity,
(File 333-191169 - Sep. 13) (BR. 07C)
S-4 Zoetis Inc., 100 CAMPUS DRIVE, FLORHAM PARK, NJ, 07932, 973-822-7000 -
0 ($3,650,000,000.00) Debt, (File 333-191170 - Sep. 13) (BR. 01B)
S-3 CAVCO INDUSTRIES INC, 1001 N. CENTRAL AVE, SUITE 800, PHOENIX, AZ,
85004, 602-256-6263 - 1,867,370 ($99,642,863.20) Equity,
(File 333-191171 - Sep. 13) (BR. 06B)
S-1 Ixir Productions, Inc., 112 NORTH CURRY STREET, CARSON CITY, NV, 89703,
775-882-1013 - 500,000 ($50,000.00) Equity, (File 333-191172 - Sep. 13)
(BR. )
S-11 American Homes 4 Rent, 30601 WEST AGOURA ROAD, SUITE 200, AGOURA HILLS,
CA, 91301, (805) 413-5300 - 0 ($1,262,821,517.00) Equity,
(File 333-191173 - Sep. 13) (BR. 08C)
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
1701 Productions, Inc. 3.02,5.01,5.02 09/12/13
1st Century Bancshares, Inc. DE 1.01,9.01 09/11/13
30DC, INC. MD 7.01,9.01 09/11/13
8X8 INC /DE/ DE 5.02 09/13/13
Actinium Pharmaceuticals, Inc. NV 1.01,9.01 09/09/13
ALASKA AIR GROUP, INC. DE 7.01,9.01 09/12/13 AMEND
ALLIANCEBERNSTEIN HOLDING L.P. DE 5.02 09/12/13
ALLIANCEBERNSTEIN L.P. DE 5.02 09/12/13
AMERINST INSURANCE GROUP LTD D0 7.01,9.01 09/13/13
AMREP CORP. OK 2.02,9.01 09/13/13
AMYRIS, INC. DE 5.07 09/12/13
ANALOGIC CORP MA 5.02,9.01 09/09/13
Annie's, Inc. DE 5.03,5.07,9.01 09/10/13
ARC Group Worldwide, Inc. UT 3.01 09/09/13
ARMSTRONG WORLD INDUSTRIES INC PA 1.01,9.01 09/10/13
AROTECH CORP DE 1.01,9.01 09/13/13
ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 5.02,9.01 09/12/13
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 09/13/13
ASSURED GUARANTY LTD D0 8.01,9.01 09/13/13
AXA EQUITABLE LIFE INSURANCE CO NY 5.02 09/12/13
BAR HARBOR BANKSHARES ME 7.01 09/13/13
Biota Pharmaceuticals, Inc. DE 5.02 09/10/13
BlackRock Inc. DE 5.02 09/13/13
BRIDGE BANCORP INC NY 8.01 09/12/13
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 7.01,9.01 09/13/13
BURLINGTON COAT FACTORY WAREHOUSE COR DE 2.02,9.01 09/13/13
BUTLER NATIONAL CORP DE 2.02,9.01 09/13/13
C H ROBINSON WORLDWIDE INC DE 9.01 11/01/12 AMEND
Cardinal Energy Group, Inc. NV 1.01,2.03,3.02,9.01 09/11/13
CASPIAN SERVICES INC NV 4.01 09/12/13
CC Media Holdings Inc 5.02,9.01 09/11/13
CELL THERAPEUTICS INC WA 7.01,9.01 09/13/13
CHAMPION INDUSTRIES INC WV 2.02,9.01 09/13/13
CHAMPIONS ONCOLOGY, INC. DE 2.02,9.01 09/13/13
CHEMICAL FINANCIAL CORP MI 1.01,8.01,9.01 09/13/13
CHINA HGS REAL ESTATE INC. F4 5.07 09/10/13
CINCINNATI BELL INC OH 8.01 09/11/13
CITIGROUP INC DE 9.01 09/13/13
Clear Channel Capital I, LLC DE 5.02,9.01 09/11/13
CLEAR CHANNEL COMMUNICATIONS INC TX 5.02,9.01 09/11/13
Clear Channel Outdoor Holdings, Inc. DE 5.02,9.01 09/11/13
CNS RESPONSE, INC. DE 3.02 08/30/13
COBIZ FINANCIAL INC CO 7.01 09/13/13
CODEXIS INC 1.02 09/10/13
Coeur Mining, Inc. DE 8.01,9.01 09/12/13
COMM 2013-CCRE10 Mortgage Trust DE 9.01 08/13/13 AMEND
Cornerstone Core Properties REIT, Inc MD 2.01,9.01 09/06/13
CORPORATE OFFICE PROPERTIES TRUST MD 8.01,9.01 09/09/13
CORTLAND BANCORP INC OH 8.01,9.01 09/13/13
CRI HOTEL INCOME PARTNERS L P DE 1.01 09/12/13
CST Brands, Inc. DE 5.02,8.01,9.01 09/13/13
CTPARTNERS EXECUTIVE SEARCH INC. DE 7.01,9.01 09/13/13
CUBIST PHARMACEUTICALS INC DE 8.01,9.01 09/13/13
Cyclacel Pharmaceuticals, Inc. DE 8.01 09/10/13
Cytosorbents Corp NV 7.01,9.01 09/09/13
DCB FINANCIAL CORP OH 5.02,9.01 09/09/13
DDR CORP OH 5.03,9.01 09/10/13
DELCATH SYSTEMS, INC. DE 8.01,9.01 09/13/13
dELiAs, Inc. DE 8.01,9.01 09/13/13
Dignyte, Inc. NV 8.01 09/06/13
DIRECTV DE 5.02,9.01 09/13/13
DOCUMENT SECURITY SYSTEMS INC NY 9.01 07/01/13 AMEND
DOLLAR TREE INC VA 7.01,9.01 09/12/13
DubLi, Inc. NV 3.02 09/13/13
ECOLOGY & ENVIRONMENT INC NY 5.02,9.01 09/06/13
ELITE PHARMACEUTICALS INC /NV/ NV 3.02 09/10/13
Energizer Resources, Inc. MN 5.02 09/13/13
ENTERPRISE FINANCIAL SERVICES CORP DE 5.02 09/12/13
EPLUS INC DE 5.07 09/10/13
ERA GROUP INC. DE 5.07 09/12/13
EveryWare Global, Inc. DE 1.01,8.01,9.01 09/12/13
EVOLUTION PETROLEUM CORP NV 2.02,9.01 09/11/13
ExOne Co DE 1.01,7.01,9.01 09/09/13
EXTREME NETWORKS INC DE 1.01,8.01,9.01 09/12/13
FEDERAL NATIONAL MORTGAGE ASSOCIATION 5.02 09/13/13
Fifth Street Finance Corp DE 8.01,9.01 09/13/13
FINANCIAL INSTITUTIONS INC NY 5.02 09/10/13
FIRST BANCORP /NC/ NC 8.01,9.01 09/13/13
FIRST BUSINESS FINANCIAL SERVICES, IN WI 7.01,9.01 09/13/13
FIRST CHINA PHARMACEUTICAL GROUP, INC NV 4.01,9.01 09/03/13
First Choice Healthcare Solutions, In DE 1.01,3.02,8.01 09/13/13
FIRST NATIONAL COMMUNITY BANCORP INC PA 8.01 09/11/13
FLEETCOR TECHNOLOGIES INC DE 8.01,9.01 09/10/13
FOREST LABORATORIES INC DE 5.02,5.03,9.01 09/13/13
FRAC WATER SYSTEMS, INC. NV 8.01 09/12/13
Freescale Semiconductor, Ltd. D0 1.01,2.03,8.01,9.01 09/11/13
Full Circle Capital Corp MD 2.02,5.02,9.01 09/12/13
FUSION-IO, INC. DE 1.01,2.03,9.01 09/13/13
G&K SERVICES INC MN 8.01 09/12/13
Galena Biopharma, Inc. 1.01,8.01,9.01 09/13/13
GelTech Solutions, Inc. DE 5.02 09/12/13
GENERAL ELECTRIC CO NY 5.02 09/13/13
General Growth Properties, Inc. DE 1.01,9.01 09/12/13
GISSER AUTOMOTIVE CONCEPTS INC NY 1.01 09/01/13
GLOBECOMM SYSTEMS INC 2.02,9.01 09/13/13
GLOWPOINT, INC. DE 5.02,9.01 09/13/13
GOLDEN GLOBAL CORP. NV 5.02 09/12/13
GOOD TIMES RESTAURANTS INC NV 3.01 09/13/13
Gray Fox Petroleum Corp. NV 1.01,3.02,9.01 09/09/13
Graystone Co DE 8.01 09/13/13
Great Lakes Dredge & Dock CORP DE 7.01,9.01 09/13/13
Guardian 8 Holdings NV 7.01,9.01 09/13/13
GUIDED THERAPEUTICS INC DE 7.01,9.01 09/13/13
GULF ISLAND FABRICATION INC LA 1.01,9.01 09/12/13
HAMPTON ROADS BANKSHARES INC VA 5.02 09/13/13
HANDY & HARMAN LTD. DE 4.01,9.01 09/12/13
HANDY & HARMAN LTD. DE 1.01,2.03,9.01 09/13/13
HARTFORD LIFE INSURANCE CO CT 2.02,8.01,9.01 09/13/13
HEALTH CARE REIT INC /DE/ DE 9.01 09/13/13 AMEND
HELIX ENERGY SOLUTIONS GROUP INC MN 1.01,2.03,8.01,9.01 09/13/13
HURCO COMPANIES INC IN 7.01,9.01 09/13/13
IMH Financial Corp DE 2.02,7.01,9.01 09/13/13
IMPERIAL OIL LTD 7.01,9.01 09/13/13
ING U.S., Inc. DE 5.02 09/11/13
InsPro Technologies Corp DE 1.01,3.02,9.01 09/12/13
INTEGRATED ELECTRICAL SERVICES INC DE 5.07 09/12/13
Intermec, Inc. DE 8.01,9.01 09/13/13
INTERNATIONAL PAPER CO /NEW/ NY 5.02 09/09/13
ITC Holdings Corp. MI 8.01 09/13/13
IZEA, Inc. 8.01 09/10/13
J C PENNEY CO INC DE 5.02 09/13/13
KCAP Financial, Inc. DE 8.01,9.01 09/13/13
Kennedy-Wilson Holdings, Inc. DE 8.01,9.01 09/09/13
Landmark Apartment Trust of America, 1.01,3.02,5.03,9.01 09/09/13
Landmark Apartment Trust of America, 2.01,3.02,9.01 07/23/13 AMEND
LEXINGTON REALTY TRUST MD 5.02 09/13/13
LIFEPOINT HOSPITALS, INC. 8.01 09/13/13
LIFEPOINT HOSPITALS, INC. 5.02 09/10/13 AMEND
LIGHTING SCIENCE GROUP CORP DE 1.01,3.02,5.03,9.01 09/11/13
LIONS GATE ENTERTAINMENT CORP /CN/ A1 5.07 09/10/13
LITHIUM TECHNOLOGY CORP DE 5.02 09/06/13
LyondellBasell Industries N.V. P7 5.02 09/10/13
MAD CATZ INTERACTIVE INC Z4 5.02,5.07 09/12/13
MAGNUM HUNTER RESOURCES CORP DE 5.02 09/09/13
Main Street Capital CORP MD 8.01,9.01 09/12/13
Manitex International, Inc. MI 5.02,9.01 09/12/13
McEwen Mining Inc. CO 7.01,9.01 09/12/13
MEADE INSTRUMENTS CORP DE 2.01,3.01,3.03, 09/12/13
5.01,5.02,5.03,5.07,9.01
Medytox Solutions, Inc. NV 8.01 08/16/13
MFA FINANCIAL, INC. MD 7.01 09/13/13
MICROVISION INC DE 5.07 09/13/13
MIDAMERICAN ENERGY CO IA 8.01,9.01 09/09/13
MISCOR GROUP, LTD. IN 1.02,2.01,3.01, 09/13/13
5.01,5.02,5.03,5.07,9.01
MOLINA HEALTHCARE INC DE 7.01 09/13/13
MOPALS.COM, INC. DE 4.01,9.01 03/26/13 AMEND
MPG Office Trust, Inc. 8.01 09/13/13
NABORS INDUSTRIES LTD D0 1.01,2.03,8.01,9.01 09/12/13
NANOSPHERE INC DE 7.01,9.01 09/13/13
NANOVIRICIDES, INC. NV 1.01,9.01 09/09/13
NATHANS FAMOUS INC DE 5.07 09/12/13
National CineMedia, Inc. DE 8.01 09/10/13
NATIONAL HEALTH INVESTORS INC MD 8.01,9.01 09/13/13
NetApp, Inc. CA 5.02 09/09/13
NEWPARK RESOURCES INC DE 7.01,9.01 09/13/13
NewStar Financial, Inc. 1.01,2.03,9.01 09/11/13
NF Investment Corp. MD 1.01,2.03,3.02 09/10/13
NGP Capital Resources Co MD 7.01,9.01 09/13/13
NORWOOD FINANCIAL CORP PA 8.01,9.01 09/13/13
NuZee, Inc. 1.01,2.01,3.02,4.01, 04/19/13 AMEND
5.01,5.02,5.03,5.06,9.01
Ocean Power Technologies, Inc. NJ 2.02,9.01 09/13/13
OCZ TECHNOLOGY GROUP INC DE 8.01,9.01 09/12/13
Omega Flex, Inc. PA 7.01 09/13/13
OPTICAL CABLE CORP VA 2.02,9.01 09/12/13
OPTIMER PHARMACEUTICALS INC 8.01,9.01 09/13/13
ORBCOMM Inc. DE 8.01 09/13/13
ORION ENERGY SYSTEMS, INC. WI 9.01 07/01/13 AMEND
OVERSEAS SHIPHOLDING GROUP INC DE 7.01,9.01 09/13/13
Pandora Media, Inc. DE 1.01,2.03 09/12/13
PAR PETROLEUM CORP/CO DE 1.01,3.02,7.01,9.01 09/10/13
Patriot Minefinders Inc. NV 5.02,7.01,9.01 09/13/13
Pebblebrook Hotel Trust MD 7.01,8.01,9.01 09/13/13
PETROQUEST ENERGY INC DE 9.01 07/03/13 AMEND
PINNACLE WEST CAPITAL CORP AZ 8.01 09/11/13
PIZZA INN HOLDINGS, INC /MO/ 1.01,9.01 09/10/13
PMX Communities, Inc. NV 8.01 09/11/13
PNC FINANCIAL SERVICES GROUP, INC. PA 5.02 09/13/13
Poly Shield Technologies Inc. DE 5.02 09/09/13
POLYCOM INC DE 1.01,2.03,9.01 09/13/13
POPULAR INC 8.01,9.01 09/13/13
PRINCIPAL FINANCIAL GROUP INC DE 2.02,7.01,9.01 09/13/13
PROVECTUS PHARMACEUTICALS INC NV 7.01,9.01 09/10/13
PROVIDENT NEW YORK BANCORP DE 8.01 09/13/13
PURE BIOSCIENCE, INC. DE 5.02,8.01,9.01 09/10/13
PVR PARTNERS, L. P. DE 7.01,9.01 09/12/13
RadTek, Inc NV 1.02 09/13/13
RAIT Financial Trust MD 7.01,9.01 09/13/13
RCS Capital Corp DE 8.01,9.01 09/12/13
REALOGY HOLDINGS CORP. DE 1.01,9.01 09/11/13
RENT A CENTER INC DE 8.01,9.01 09/09/13
RENTRAK CORP OR 5.02 09/09/13
REPLIGEN CORP DE 5.02,9.01 09/10/13
RESEARCH FRONTIERS INC DE 7.01,9.01 09/10/13
SALESFORCE COM INC DE 5.02,9.01 09/10/13
SAN DIEGO GAS & ELECTRIC CO CA 5.02 09/12/13
Santander Drive Auto Receivables Trus DE 8.01,9.01 09/13/13
SAPIENT CORP DE 5.02,9.01 09/11/13
SEQUENTIAL BRANDS GROUP, INC. DE 5.02,5.03,9.01 09/11/13
Shire plc 8.01,9.01 09/13/13
SILGAN HOLDINGS INC DE 1.01,2.03,9.01 09/09/13
SL GREEN REALTY CORP MD 5.02,9.01 09/12/13
Sonora Resources Corp. NV 8.01 09/13/13
SOURCE FINANCIAL, INC. 9.01 06/30/13 AMEND
SPHERIX INC DE 1.01,5.02,9.01 09/10/13
STARWOOD PROPERTY TRUST, INC. 8.01,9.01 09/10/13
STEC, INC. CA 2.01,3.01,3.03,5.01, 09/12/13
5.02,5.03,5.07,8.01,9.01
STEEL PARTNERS HOLDINGS L.P. DE 4.01,9.01 09/12/13
STERLING BANCORP NY 8.01 09/12/13
Sugarmade, Inc. DE 1.01,5.02 09/12/13
Tallgrass Energy Partners, LP DE 5.02,7.01,9.01 09/13/13
Tallgrass Energy Partners, LP DE 8.01,9.01 09/12/13
TENET HEALTHCARE CORP NV 7.01,9.01 09/13/13
Tennessee Valley Authority 5.02 09/10/13
TIVO INC DE 5.02,8.01,9.01 09/11/13
Toyota Auto Receivables 2013-B Owner DE 1.01,9.01 09/11/13
TRANSCAT INC OH 5.02,5.07 09/10/13
Transcept Pharmaceuticals Inc DE 1.01,3.03,5.03,9.01 09/13/13
TransCoastal Corp DE 5.07,9.01 09/11/13
TRW AUTOMOTIVE HOLDINGS CORP DE 8.01 09/13/13
TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 09/13/13
Uni-Pixel DE 8.01,9.01 09/13/13
UNWIRED PLANET, INC. DE 8.01,9.01 09/13/13
UROPLASTY INC MN 5.07 09/12/13
URS CORP /NEW/ DE 8.01,9.01 09/12/13
VENTRUS BIOSCIENCES INC DE 1.01,9.01 09/13/13
VIEWCAST COM INC DE 5.02 09/09/13
VII Peaks-KBR Co-Optivist Income BDC MD 2.02 09/11/13
VIRCO MFG CORPORATION DE 2.02 09/13/13
Warner Music Group Corp. DE 2.01,9.01 07/01/13 AMEND
WELLS FARGO & COMPANY/MN DE 9.01 09/13/13
WELLS REAL ESTATE FUND XI L P GA 7.01,9.01 09/13/13
WELLS REAL ESTATE FUND XII LP GA 7.01,9.01 09/13/13
West Texas Resources, Inc. NV 1.01,2.01,2.03 09/06/13
WESTERN DIGITAL CORP DE 7.01,9.01 09/12/13
World Omni Auto Leasing LLC DE 1.01,8.01,9.01 09/11/13
WORLD STEVIA CORP. NV 8.01 09/13/13
WPCS INTERNATIONAL INC DE 5.02,7.01,9.01 09/09/13
http://www.sec.gov/news/digest/2013/dig091613.htm
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