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ENFORCEMENT PROCEEDINGSCourt Enters Final Judgments against Brothers Thomas and James MulhollandThe Securities and Exchange Commission (Commission) announced that, on October 4, 2013, the Honorable Thomas L. Ludington, United States District Court Judge for the Eastern District of Michigan, entered final judgments against James C. Mulholland, Jr., of St. Pete Beach, Florida, and Thomas S. Mulholland, of Saginaw, Michigan. The final judgments permanently enjoin the Mulhollands from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder. The final judgments further order the Mulhollands jointly and severally liable for $760,718 in disgorgement and prejudgment interest, and order each of them to pay a $150,000 civil penalty. James and Thomas Mulholland consented to the entry of the final judgments without admitting or denying the allegations in the SEC's complaint. The SEC's complaint, filed on October 22, 2012, alleged that from January 2009 through January 2010, the Mulhollands offered and sold approximately $2 million of demand notes to approximately 75 investors to fund the Mulhollands failing real estate business, which involved buying, maintaining, and renting residential real estate in Michigan. The Mulhollands told these investors that their real estate business was profitable, they would earn 7% per year on their investment, the returns would be generated by profits of the real estate business, and that the investors could get their money back upon 30 days' written notice. The SEC also alleged that the Mulhollands acted as unregistered broker-dealers in connection with the offer and sale of the demand notes. The SEC's complaint further alleged that the Mulhollands' statements to investors were false and/or misleading. In reality, the real estate business was losing money during this period, needed new investor funds to pay its bills and to pay interest to previous investors, and did not have the means to refund investors' principal within 30 days even if a small number of them asked for their money back. The Mulhollands never told investors that they were experiencing financial hardship, that they were having difficulty meeting financial obligations critical to the real estate operation, or that they were contemplating filing for bankruptcy. [SEC v. James C. Mulholland, Jr. and Thomas S. Mulholland, Civil Action No. 12-cv-14663 (E.D. Mich., filed October 22, 2012)] (LR-22835) SEC v. Tai NguyenThe Commission announced that on Friday, October 4, 2013 the Honorable George B. Daniels, United States District Judge, United States District Court for the Southern District of New York, entered Final Judgments on Consent against Tai Nguyen and ThanhHa Bao in SEC v. Nguyen et al., 12-Civ.-5009 (GBD) (S.D.N.Y.)., an insider trading case stemming from the SEC's ongoing investigation of so-called "expert networks." The SEC's complaint alleges that from 2006 through 2009, Nguyen frequently traded in the securities of Abaxis, Inc. based on inside information that he received from his sister and co-defendant, Bao, who was then an employee at Abaxis. Nguyen repeatedly traded for himself in advance of the company's quarterly earnings announcements while in possession of key data disclosed in those announcements, reaping tens of thousands of dollars in illicit profits. In addition, Nguyen, the owner of California-based research firm Insight Research, passed that same information to hedge fund clients of his firm, who used the inside information to make millions of dollars in profits from trading Abaxis securities. According to the SEC's complaint, Nguyen regularly obtained material nonpublic information about Abaxis's quarterly earnings - including revenues, gross profit margins and earnings per share - from Bao, who worked in Abaxis's finance department. Nguyen used the information to trade Abaxis securities in his own account and reaped $144,910 in illicit trading profits from 2006 through 2009. The final judgment against Nguyen requires him to disgorge $144,910 in profits that he reaped from the alleged insider trading and to pay prejudgment interest of $23,887. (Nguyen's disgorgement and prejudgment interest obligations will be credited against the amount he is required to pay in the parallel criminal case against him, in which he was also sentenced to a year of incarceration.) Nguyen's settlement with the SEC also requires him to pay a penalty of $144,910 and permanently enjoins him from future violations of Section 10(b) of the Securities Exchange Act of 1934, Rule 10b-5 thereunder, and Section 17(a) of the Securities Act of 1933. The final judgment against Bao requires her to pay penalty of $144,910, bars her from serving as an officer or director of a public company for five years, and permanently enjoins her from future violations of the federal securities laws. [SEC v. Tai Nguyen, Civil Action 12-CV-5009 (SDNY) (GBD)] (LR-22834) Delinquent Filers' Stock Registrations RevokedThe registrations of the registered securities of Prolink Holdings Corp., RPM Technologies, Inc., SARS Corp., Secured Digital Storage Corp., Siboney Corp., SiriCOMM, Inc., and Standard Management Corp. have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-70616) Self-regulatory organizationsNotice of Proposed Rule ChangeChicago Board Options Exchange, Incorporated has filed a proposed rule change (SR-CBOE-2013-093) under Rule 19b-4 of the Securities Exchange Act of 1934 to amend Rule 6.42. Publication is expected in the Federal Register during the week of October 7th. (Rel. 34-70618) Approval of a Proposed Rule ChangeThe Commission granted approval of a proposed rule change (SR-FINRA-2013-027) submitted by Financial Industry Regulatory Authority, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, relating to amendments to FINRA Rules 2360 and 4210 in connection with OCC cleared over-the-counter options. Publication is expected in the Federal Register during the week of October 7th. (Rel. 34-70619) Notice of Withdrawal of Proposed Rule ChangeThe Commission issued notice of withdrawal of a proposed rule change (SR-MSRB-2013-06) filed by the Municipal Securities Rulemaking Board pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to amend Rule A-3, on membership on the Board, to modify the standard of independence for public Board members. Publication is expected in the Federal Register during the week of October 7th. (Rel. 34-70617) 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 PARKWAY PROPERTIES INC, 390 N. ORANGE AVE STE 2400, ORLANDO, FL,
32801, 407-650-0593 - 0 ($402,867,622.00) Equity, (File 333-191556 -
Oct. 4) (BR. 08C)
S-3 PIZZA INN HOLDINGS, INC /MO/, 3551 PLANO PARKWAY, THE COLONY, TX,
75056, 469-384-5000 - 0 ($5,000,000.00) Equity, (File 333-191559 -
Oct. 4) (BR. 02B)
S-8 AIR INDUSTRIES GROUP, 1479 NORTH CLINTON AVENUE, BAY SHORE, NY, 11706,
631-968-5000 - 600,000 ($4,650,000.00) Equity, (File 333-191560 -
Oct. 4) (BR. 05A)
S-1 MAVENIR SYSTEMS INC, 1700 INTERNATIONAL PARKWAY, SUITE 200, RICHARSON,
TX, 75081, 469-916-4393 - 0 ($86,250,000.00) Equity, (File 333-191563 -
Oct. 4) (BR. 03B)
S-1 INPATIENT CLINICAL SOLUTIONS INC, 6574 NORTH STATE ROAD 7, S-153,
COCONUT CREEK, FL, 33067, 954-227-5259 -
27,583,812 ($169,640.45) Equity, (File 333-191564 - Oct. 4) (BR. 02)
S-1 TransCoastal Corp, 17304 PRESTON ROAD, SUITE 700, DALLAS, TX, 75252,
972-818-0720 - 20,486,366 ($29,705,231.00) Equity, (File 333-191566 -
Oct. 4) (BR. 04A)
S-1 GLYCOMIMETICS INC, 101 ORCHARD RIDGE DRIVE, SUITE 1E, GAITHERSBURG, MD,
20878, 240-243-1201 - 0 ($86,250,000.00) Equity, (File 333-191567 -
Oct. 4) (BR. 01B)
S-8 Wheeler Real Estate Investment Trust, Inc., RIVERSEDGE NORTH,
2529 VIRGINIA BEACH BLVD., SUITE 200, VIRGINIA BEACH, VA, 23452,
757-627-9088 - 500,000 ($2,155,000.00) Equity, (File 333-191568 -
Oct. 4) (BR. 08C)
S-3ASR EZCORP INC, 1901 CAPITAL PKWY, AUSTIN, TX, 78746, 5123143400 -
0 ($0.00) Equity, (File 333-191569 - Oct. 4) (BR. 02C)
S-3ASR EZCORP INC, 1901 CAPITAL PKWY, AUSTIN, TX, 78746, 5123143400 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-191570 - Oct. 4)
(BR. 02C)
S-4 ATLAS PIPELINE PARTNERS LP, 110 W. 7TH, SUITE 2300, TULSA, OK, 74119,
918-574-3549 - 0 ($650,000,000.00) Non-Convertible Debt,
(File 333-191571 - Oct. 4) (BR. 02B)
S-8 NeoStem, Inc., 420 LEXINGTON AVENUE, SUITE 450, NEW YORK, NY, 10170,
212-584-4171 - 2,600,000 ($21,944,000.00) Equity, (File 333-191572 -
Oct. 4) (BR. 09B)
S-4 ATLAS PIPELINE PARTNERS LP, 110 W. 7TH, SUITE 2300, TULSA, OK, 74119,
918-574-3549 - 0 ($400,000,000.00) Non-Convertible Debt,
(File 333-191573 - Oct. 4) (BR. 02B)
S-3 GAIAM, INC, 833 WEST BOULDER ROAD, LOUISVILLE, CO, 80027-2452,
3032223600 - 0 ($1.00) Equity, (File 333-191574 - Oct. 4) (BR. 05B)
F-1 ABENGOA SA, AVDA DE LA BUHAIRA 2, SEVILLA SPAIN, U3, 00000,
0 ($621,230,000.00) ADRs/ADSs, (File 333-191575 - Oct. 4) (BR. 06A)
S-8 FATE THERAPEUTICS INC, 3535 GENERAL ATOMICS COURT, SUITE 200,
SAN DIEGO, CA, 92121, 858.875.1803 - 0 ($14,359,768.00) Equity,
(File 333-191576 - Oct. 4) (BR. 01B)
S-1 Deep Down, Inc., 8827 W. SAM HOUSTON PKWY N, SUITE 100, HOUSTON, TX,
77040, (281) 517-5000 - 4,443,611 ($10,975,719.00) Equity,
(File 333-191577 - Oct. 4) (BR. 04B)
S-8 ENVIRONMENTAL SOLUTIONS WORLDWIDE INC, 200 PROGRESS DR,
MONTGOMERYVILLE, PA, 18936, 905-695-4141 EX-266 -
20,000 ($500,000.00) Equity, (File 333-191578 - Oct. 4) (BR. 05A)
S-3 OXYGEN BIOTHERAPEUTICS, INC., ONE COPLEY PARKWAY, SUITE 490,
MORRISVILLE, NC, 27560, 919-806-4414 - 630,000 ($885,150.00) Equity,
(File 333-191579 - Oct. 4) (BR. 01A)
S-3 AMERICAN DG ENERGY INC, 45 FIRST AVENUE, WALTHAM, MA, 02451,
781-622-1120 - 0 ($1,250,000.00) Equity, (File 333-191580 - Oct. 4)
(BR. 02C)
S-1 Gigamon Inc., 598 GIBRALTAR DR., MILPITAS, CA, 95035, 408-263-2022 -
5,865,000 ($223,456,500.00) Equity, (File 333-191581 - Oct. 4) (BR. 03B)
S-1 Karyopharm Therapeutics Inc., 2 MERCER ROAD, NATICK, MA, 01760,
508-975-4820 - 0 ($80,000,000.00) Equity, (File 333-191584 - Oct. 4)
(BR. 01B)
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 ISSUERCODE 8K ITEM NO. DATE COMMENT
4Cable TV International, Inc. NV 1.01,2.01,3.02, 10/02/13
4.01,5.01,5.02,5.06,9.01
8X8 INC /DE/ DE 8.01,9.01 09/30/13
ACCURAY INC DE 5.02 09/30/13
ACQUIRED SALES CORP NV 9.01 09/30/13
ADCARE HEALTH SYSTEMS, INC OH 3.02,8.01,9.01 08/08/13
ADCARE HEALTH SYSTEMS, INC OH 1.01,2.03 09/30/13
AEGEA, INC. CO 1.01,3.02,5.02, 09/30/13
5.03,9.01
AeroVironment Inc DE 7.01,9.01 10/04/13
Alliance HealthCare Services, Inc CA 7.01 10/04/13
AMAG PHARMACEUTICALS INC. DE 1.01 10/03/13
AMERCO /NV/ NV 8.01,9.01 10/01/13
AMERICAN CORDILLERA MINING Corp NV 1.01,3.02,9.01 09/30/13
AMERICAN LOCKER GROUP INC DE 1.01,1.02,2.03,9.01 09/30/13
AMERICAN REALTY CAPITAL NEW YORK RECO MD 2.01,9.01 08/12/13 AMEND
American Realty Capital Trust V, Inc. MD 1.01,2.01,8.01,9.01 09/30/13
AMERICAN VANGUARD CORP DE 5.02,8.01,9.01 10/01/13
Ampio Pharmaceuticals, Inc. DE 1.01,5.02,9.01 10/01/13
ARC Group Worldwide, Inc. UT 2.02,9.01 10/04/13
Arch Therapeutics, Inc. NV 1.01,2.03,3.02,9.01 09/30/13
ARTS WAY MANUFACTURING CO INC DE 1.01,2.03,8.01,9.01 09/30/13
ATOSSA GENETICS INC DE 8.01,9.01 10/04/13
AUDIENCE INC DE 1.01,9.01 09/30/13
AUXILIO INC NV 5.07 05/16/13 AMEND
AvWorks Aviation Corp 5.02,9.01 09/26/13
AXIS CAPITAL HOLDINGS LTD 5.02 10/01/13
AXT INC DE 5.02,7.01,9.01 09/30/13
Bank of Commerce Holdings CA 5.02,9.01 10/02/13
BARNES GROUP INC DE 1.01,3.02,9.01 09/30/13
BASIC ENERGY SERVICES INC 5.02,9.01 10/04/13
BIOTIME INC CA 8.01,9.01 10/04/13
BLACKSANDS PETROLEUM, INC. NV 5.02,9.01 10/03/13
Bluerock Multifamily Growth REIT, Inc MD 8.01 09/30/13
Boston Therapeutics, Inc. DE 1.01,3.02,5.02,9.01 09/30/13
BRIDGE BANCORP INC NY 8.01,9.01 10/04/13
Bridgeline Digital, Inc. DE 1.01,2.03,3.02,9.01 09/30/13
CALAVO GROWERS INC CA 3.02 10/02/13
Cape Bancorp, Inc. MD 8.01,9.01 10/03/13
Cardinal Energy Group, Inc. NV 1.01,9.01 09/30/13
Carter Validus Mission Critical REIT, MD 1.01,2.03,9.01 10/02/13
Catamaran Corp 2.01 10/01/13
CATERPILLAR FINANCIAL SERVICES CORP DE 8.01,9.01 10/04/13
Celator Pharmaceuticals Inc DE 5.07 10/02/13
CERUS CORP DE 5.02 09/30/13
CHAMPION INDUSTRIES INC WV 2.04 10/01/13
CHANNELADVISOR CORP DE 5.02 10/03/13
CHINA GENGSHENG MINERALS, INC. NV 3.01,9.01 10/04/13
CHINA NORTHERN MEDICAL DEVICE INC 5.02 10/03/13
CHINA RECYCLING ENERGY CORP 1.01,2.03 07/18/13
CHS INC MN 1.01,2.03,9.01 10/02/13
CLEVELAND BIOLABS INC DE 1.01,2.03,3.02,9.01 09/30/13
CNS RESPONSE, INC. DE 3.02 09/20/13
CommonWealth REIT MD 8.01,9.01 10/01/13
COMPETITIVE TECHNOLOGIES INC DE 5.02,8.01,9.01 09/12/13
COMPUTER SCIENCES CORP NV 8.01 10/04/13
COMPUTER SCIENCES CORP NV 8.01 09/27/13
CONSUMER PORTFOLIO SERVICES INC CA 1.01,2.03,9.01 10/04/13
Contango ORE, Inc. DE 5.02,8.01,9.01 10/01/13
Cornerstone OnDemand Inc DE 5.02 09/30/13
Cornerworld Corp NV 1.01,2.01,5.02,9.01 09/30/13
CORNING NATURAL GAS CORP NY 8.01,9.01 10/04/13
Corporate Resource Services, Inc. DE 5.02,8.01,9.01 10/04/13
CORTEX PHARMACEUTICALS INC/DE/ DE 5.02 09/30/13
DEAN FOODS CO DE 5.02 09/30/13
DELL INC DE 8.01 10/02/13
Desert Hawk Gold Corp. NV 8.01 09/30/13
DETHRONE ROYALTY HOLDINGS, INC. NV 1.01,2.03,3.02,9.01 10/01/13
Digital Cinema Destinations Corp. DE 1.01,9.01 10/04/13
DISCOVERY LABORATORIES INC /DE/ DE 8.01,9.01 10/03/13
DTE ENERGY CO MI 7.01,9.01 10/04/13
EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 10/04/13
ELDORADO ARTESIAN SPRINGS INC CO 5.07 09/30/13
Emdeon Inc. DE 5.02,9.01 09/30/13
Energy Services of America CORP DE 1.01,9.01 10/04/13
Energy Services of America CORP DE 1.01,9.01 10/01/13 AMEND
Enerpulse Technologies, Inc. NY 5.03,8.01,9.01 10/04/13
Enertopia Corp. NV 1.01,3.02,7.01,9.01 10/04/13
EXELON CORP PA 1.01,9.01 09/30/13
EXELON CORP PA 5.02 10/02/13
EXOPACK HOLDING CORP 5.02 10/01/13
FARMER BROTHERS CO CA 1.01,3.01,7.01,9.01 10/03/13
FARMERS NATIONAL BANC CORP /OH/ OH 5.02,9.01 09/30/13
FEMALE HEALTH CO WI 7.01,9.01 10/04/13
FIRST CHINA PHARMACEUTICAL GROUP, INC NV 4.01 10/04/13
FIRST CITIZENS BANC CORP /OH OH 8.01 10/04/13
FIRST MARINER BANCORP MD 5.02 09/30/13
FIRSTENERGY CORP OH 2.02,2.06 09/30/13
FMC TECHNOLOGIES INC DE 5.02 10/03/13 AMEND
FOREST LABORATORIES INC DE 1.01,5.02,9.01 10/01/13
FOREST OIL CORP NY 1.01,2.05,9.01 10/03/13
FORMCAP CORP. NV 3.02 08/06/13
FORUM ENERGY TECHNOLOGIES, INC. DE 1.01,2.03,8.01,9.01 09/27/13
FreightCar America, Inc. DE 5.02,9.01 09/30/13
FRISCHS RESTAURANTS INC OH 5.07 10/02/13
Furiex Pharmaceuticals, Inc. DE 1.01,2.03,8.01,9.01 09/30/13
FUTURES PORTFOLIO FUND L.P. MD 3.02 10/01/13
G III APPAREL GROUP LTD /DE/ DE 1.01,9.01 10/01/13
GASTAR EXPLORATION LTD 1.01,7.01,9.01 09/30/13
GENERAL METALS CORP DE 5.02 10/01/13
GEOVIC MINING CORP. DE 1.01,2.03 09/30/13
GERMAN AMERICAN BANCORP, INC. IN 8.01 10/01/13
GIBRALTAR INDUSTRIES, INC. DE 1.01,5.02,9.01 09/30/13
GigOptix, Inc. DE 5.02 09/30/13
GLOBAL CASINOS INC UT 2.01,3.02,5.01,5.02, 09/30/13
5.03,8.01,9.01
GLU MOBILE INC DE 5.02,9.01 10/03/13
GlyEco, Inc. NV 1.01,3.02 09/30/13
GMX RESOURCES INC OK 1.01,7.01,9.01 09/30/13
Gramercy Property Trust Inc. MD 1.01,3.02 10/04/13
GRAN TIERRA ENERGY INC. NV 1.01 09/30/13
Graymark Healthcare, Inc. OK 1.01,9.01 09/30/13
GreenPlex Services, Inc. NV 1.01,3.02,9.01 09/30/13
GREENWAY MEDICAL TECHNOLOGIES INC 8.01,9.01 10/04/13
GROUP 1 AUTOMOTIVE INC DE 7.01 10/02/13
Guardian 8 Holdings NV 1.01,2.03,3.02,9.01 09/01/13
GYMBOREE CORP DE 5.02 10/03/13
HAUPPAUGE DIGITAL INC DE 3.01 09/30/13
HEALTH CARE REIT INC /DE/ DE 8.01,9.01 10/02/13
Hedge Fund Managers (Diversified) LLC DE 7.01 10/04/13
HOOPER HOLMES INC NY 1.01,2.01,9.01 09/30/13
HOOPER HOLMES INC NY 5.02 09/30/13
HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 5.02 10/02/13
ID Perfumes, Inc. NV 1.01,9.01 10/01/13
IDO Security Inc. NV 3.02,3.03,5.01, 09/30/13
5.03,9.01
IMMUNOMEDICS INC DE 4.01,9.01 09/30/13
INDEPENDENCE HOLDING CO DE 8.01,9.01 10/03/13
INFRASTRUCTURE MATERIALS CORP. DE 1.02,9.01 10/03/13
INTERCLOUD SYSTEMS, INC. 1.01,2.03,9.01 09/30/13
INTREXON CORP VA 1.01,9.01 09/30/13
ISLE OF CAPRI CASINOS INC DE 5.07 10/01/13
ITRONICS INC TX 3.02 09/30/13
JAMESON STANFORD RESOURCES Corp NV 8.01 10/01/13
Janus Resources, Inc. NV 5.02,7.01 09/30/13
Jiu Feng Investment Hong Kong Ltd NV 1.01,9.01 09/30/13
JOE'S JEANS INC. DE 1.01,2.01,2.03, 09/30/13
3.02,5.02,8.01,9.01
K-V Pharmaceutical Co DE 5.02,7.01,9.01 10/03/13
KERYX BIOPHARMACEUTICALS INC DE 5.02,9.01 10/03/13
LANNETT CO INC DE 1.01,9.01 10/04/13
LENNAR CORP /NEW/ DE 5.03,9.01 10/03/13
LEVEL 3 COMMUNICATIONS INC DE 1.01,2.03,9.01 10/04/13
LEVI STRAUSS & CO DE 2.02,9.01 10/04/13
LEXMARK INTERNATIONAL INC /KY/ DE 8.01,9.01 10/04/13
LIBERTY SILVER CORP NV 2.03,8.01,9.01 10/03/13
MANAGED FUTURES PREMIER ABINGDON L.P. NY 3.02 10/01/13
MANAGED FUTURES PREMIER AVENTIS II L. NY 3.02 10/01/13
Managed Futures Premier BHM L.P. DE 3.02 10/01/13
MANAGED FUTURES PREMIER WARRINGTON L. NY 3.02 10/01/13
MANHATTAN SCIENTIFICS INC DE 1.01,2.03,3.02,9.01 04/03/13 AMEND
MAXLINEAR INC 7.01,9.01 10/03/13
MCCORMICK & CO INC MD 5.02 10/04/13
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 10/01/13
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 10/01/13
MESA LABORATORIES INC /CO CO 5.07 10/03/13
Midstates Petroleum Company, Inc. DE 5.02,9.01 10/03/13
Millennium India Acquisition CO Inc. DE 8.01,9.01 10/04/13
MILLER ENERGY RESOURCES, INC. TN 5.02 10/04/13
MILLS MUSIC TRUST NY 8.01,9.01 10/04/13
Mister Goody, Inc. FL 2.02,7.01,9.01 10/04/13
Mistras Group, Inc. DE 5.02 09/30/13
MOJO DATA SOLUTIONS, INC. PR 3.02,5.03,9.01 10/03/13
MPG Office Trust, Inc. 1.01 10/02/13
MUNICIPAL MORTGAGE & EQUITY LLC DE 8.01,9.01 10/03/13
MV Oil Trust DE 2.02,9.01 10/04/13
NATIONAL TAX CREDIT INVESTORS II CA 5.02 10/03/13
NATIONAL TAX CREDIT PARTNERS L P CA 5.02 10/03/13
NATURES SUNSHINE PRODUCTS INC UT 5.02,9.01 10/01/13
NAVIGANT CONSULTING INC DE 5.02,9.01 10/01/13
NAVIGATORS GROUP INC DE 1.01,2.03,8.01,9.01 10/02/13
NCR CORP MD 5.02,8.01,9.01 10/01/13
NEOGEN CORP MI 8.01,9.01 10/03/13
NEOGEN CORP MI 5.07 10/03/13
NEOPHOTONICS CORP DE 4.01,9.01 09/30/13
NeoStem, Inc. DE 1.01,8.01,9.01 10/03/13
NewStar Financial, Inc. 1.01,2.03,9.01 10/02/13
NORSTRA ENERGY INC NV 1.01,9.01 09/10/13
NORTH BAY RESOURCES INC DE 3.02,9.01 10/01/13
NORTH BAY RESOURCES INC DE 1.01,2.03,3.02,9.01 10/01/13
NV ENERGY, INC. NV 8.01 09/27/13
Oak Valley Bancorp CA 8.01 09/09/13 AMEND
OCZ TECHNOLOGY GROUP INC DE 9.01 01/15/13 AMEND
OLD POINT FINANCIAL CORP VA 7.01,9.01 10/03/13
One2one Living Corp NV 1.01,3.02 09/25/13
PARKWAY PROPERTIES INC MD 8.01,9.01 10/04/13
PARKWAY PROPERTIES INC MD 1.01,9.01 09/30/13
PCS EDVENTURES COM INC ID 2.03,9.01 09/30/13
PENTAIR LTD V8 5.02,9.01 09/30/13
PEOPLESTRING CORP DE 2.01,5.03,8.01,9.01 09/30/13
PERCEPTRON INC/MI MI 5.02 10/02/13
PETROTERRA CORP. NV 5.01,5.02,8.01 10/02/13
PIEDMONT NATURAL GAS CO INC NC 8.01 10/04/13
PIKSEL, INC. DE 3.02,8.01 09/18/13
PLY GEM HOLDINGS INC DE 2.05 09/30/13
Point Capital, Inc. DE 3.02,8.01 09/30/13
POSITIVEID Corp DE 1.01,3.02,5.02, 09/30/13
5.03,9.01
POTOMAC FUTURES FUND LP NY 3.02 10/01/13
PowerShares DB Commodity Index Tracki 8.01,9.01 10/04/13
PowerShares DB G10 Currency Harvest F DE 8.01,9.01 10/04/13
PowerShares DB Multi-Sector Commodity DE 8.01,9.01 10/04/13
PowerShares DB US Dollar Index Trust DE 8.01,9.01 10/04/13
PS BUSINESS PARKS INC/CA CA 5.02,9.01 10/03/13
PUMA BIOTECHNOLOGY, INC. DE 8.01,9.01 10/04/13
PURE BIOSCIENCE, INC. DE 5.02,9.01 10/01/13
PYRAMID OIL CO CA 1.01,5.02,9.01 09/30/13
QUIKSILVER INC DE 5.02,9.01 10/03/13
RADIANT LOGISTICS, INC DE 1.01,2.01,3.01, 10/01/13
8.01,9.01
REAL ESTATE ASSOCIATES LTD II CA 5.02 10/03/13
REAL ESTATE ASSOCIATES LTD III CA 5.02 10/03/13
REAL ESTATE ASSOCIATES LTD IV CA 5.02 10/03/13
REAL ESTATE ASSOCIATES LTD VI CA 5.02 10/03/13
REAL ESTATE ASSOCIATES LTD VII CA 5.02 10/03/13
REAL ESTATE ASSOCIATES LTD/CA CA 5.02 10/03/13
RENAISSANCERE HOLDINGS LTD D0 1.01,2.03,9.01 10/01/13
RigNet, Inc. DE 1.01,2.03,9.01 10/03/13
Rockwood Holdings, Inc. DE 2.01,9.01 10/01/13
RVUE HOLDINGS, INC. NV 5.02,8.01,9.01 07/01/13
SAJAN INC DE 8.01,9.01 10/04/13
SANDY SPRING BANCORP INC MD 5.02,9.01 10/03/13
SANUWAVE Health, Inc. NV 3.02,9.01 09/30/13
Sarepta Therapeutics, Inc. MA 5.02 10/04/13
SCHMITT INDUSTRIES INC OR 2.02,9.01 10/04/13
SCOOP MEDIA, INC. NV 5.01,5.02 09/30/13
SGB International Holdings Inc. A1 5.07 09/23/13 AMEND
SKYWEST INC UT 5.02,9.01 10/01/13
SMITHFIELD FOODS INC VA 5.02,9.01 10/01/13
Sorrento Therapeutics, Inc. DE 7.01,9.01 10/04/13
SOTHEBYS DE 8.01,9.01 10/04/13
SOTHEBYS DE 1.01,3.03,5.03,9.01 10/04/13
SOUTHERN MISSOURI BANCORP INC MO 8.01,9.01 10/04/13
SOUTHWEST GAS CORP CA 1.01,2.03,9.01 10/01/13
Spansion Inc. DE 5.02 10/04/13
SPECIAL DIVERSIFIED OPPORTUNITIES INC DE 5.08 10/04/13
SPECTRASCIENCE INC MN 5.02,8.01,9.01 09/30/13
SPRINGLEAF FINANCE CORP IN 5.02 09/30/13
Stanadyne Holdings, Inc. DE 5.02,9.01 09/30/13
Steadfast Income REIT, Inc. MD 7.01,9.01 10/04/13
STEMCELLS INC DE 8.01,9.01 10/01/13
STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 10/01/13
STRUCTURED PROD CORP TIERS CORP BND-B DE 8.01,9.01 10/01/13
STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 10/01/13
SunCoke Energy Partners, L.P. DE 8.01,9.01 10/04/13
SunCoke Energy, Inc. 8.01,9.01 10/04/13
SUNEDISON, INC. DE 1.02,2.04 09/30/13
Surge Global Energy, Inc. DE 2.01,3.02 09/30/13
SYNERGETICS USA INC 7.01,9.01 10/04/13
TANDY BRANDS ACCESSORIES INC DE 3.01 10/04/13
Tanke Biosciences Corp NV 5.02,9.01 09/30/13
TearLab Corp DE 5.02 10/01/13 AMEND
Technology Applications International FL 1.01,1.02,2.03,9.01 09/30/13
Texas Rare Earth Resources Corp. DE 5.02 10/04/13
TEXTRON INC DE 1.01,1.02,2.03,9.01 10/04/13
THOR INDUSTRIES INC DE 8.01,9.01 10/04/13
TILLY'S, INC. DE 8.01 09/30/13
TITAN INTERNATIONAL INC IL 8.01,9.01 10/04/13
TMS International Corp. DE 8.01,9.01 10/04/13
TOYOTA MOTOR CREDIT CORP CA 7.01,9.01 10/04/13
TRANS ENERGY INC NV 1.01,7.01,9.01 09/30/13
TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 10/04/13
TWENTY-FIRST CENTURY FOX, INC. 3.03,9.01 10/04/13
UNION PACIFIC CORP UT 2.02,9.01 10/03/13
UNIVERSAL TECHNICAL INSTITUTE INC DE 5.02,9.01 09/30/13
Valmie Resources, Inc. NV 5.01,5.02 09/30/13
VOLTERRA SEMICONDUCTOR CORP 2.01,3.01,3.03, 09/30/13
5.01,5.02,5.03,9.01
VORNADO REALTY TRUST MD 2.02,8.01,9.01 10/04/13
WABCO Holdings Inc. DE 5.02 10/01/13
Warner Music Group Corp. DE 1.01,9.01 10/01/13
WEINGARTEN REALTY INVESTORS /TX/ TX 1.01,8.01,9.01 10/03/13
WESBANCO INC WV 2.02,9.01 10/04/13
WESTPORT FUTURES FUND L.P. NY 3.02 10/01/13
Woodgate Energy Corp DE 2.01,3.02,5.02, 09/25/13
5.06,9.01
Woodward, Inc. DE 1.01,2.03,5.02, 09/30/13
8.01,9.01
Wright Investors Service Holdings, In DE 8.01 10/03/13
Your Event, Inc. NV 5.02 10/03/13
http://www.sec.gov/news/digest/2013/dig100713.htm
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