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ENFORCEMENT PROCEEDINGSIn the Matter of Anthony J. Klatch, IIThe Securities and Exchange Commission (Commission) issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 (Advisers Act) and Notice of Hearing (Order) against Anthony J. Klatch, II. In the Order, the Division of Enforcement alleges that, on October 28, 2011, Respondent pleaded guilty to one count of conspiracy in violation of Title 18, U.S.C., Section 371; one count of securities fraud in violation of Title 15, U.S.C., Section 77q (Section 17 of the Securities Act of 1933); one count of wire fraud in violation of Title 18, U.S.C., Section 1343; and one count of money laundering in violation of Title 18, U.S.C., Section 1956(a)(1)(B)(i), in United States v. Anthony J. Klatch, II, Crim. Indictment No. 11 Cr. 202 (S.D. Ala.) (Oct. 28, 2011). The counts of the indictment alleged, among other things, that between January 2009 and January 2010, respondent knowingly and willfully made materially false statements to investors in TASK Capital Partners, LP (TASK Fund), a hedge fund, and misappropriated fund assets. Respondent admitted in his plea agreement that, while serving as the TASK Fund’s Senior Managing Director and Chief Investment Officer, he: (1) committed securities fraud and other offenses while co-managing slightly more than $2.3 million of TASK Fund assets; (2) made false and misleading statements to investors in soliciting their TASK Fund investments and in connection with the fund’s trading activities; and (3) improperly obtained approximately $180,000 from the TASK Fund, which he diverted for personal benefit. On August 24, 2012, the District Court sentenced Respondent to five years in prison and ordered restitution of the proceeds invested in the TASK Fund. The Division further alleges that, on March 28, 2012, the Commodity Futures Trading Commission (CFTC) obtained a judgment of permanent injunction against respondent in CFTC v. Anthony J. Klatch II, et al., No. 11 Civ. 5191 (S.D.N.Y.) (Mar. 28, 2012), relating to charges stemming from respondent’s solicitation of investors and the operation of certain commodity pools, including the TASK Fund. In the judgment, the Southern District of New York found that Respondent’s admissions in his criminal plea agreement sufficed to establish violations of the Commodity Exchange Act. A hearing will be held by an administrative law judge to determine whether the allegations contained in the Order are true, provide Respondent an opportunity to dispute these allegations, and determine what, if any, remedial sanctions are appropriate and in the public interest against Respondent pursuant to Section 203(f) of the Advisers Act. The Order requires the Administrative Law Judge to issue an initial decision no later than 300 days from the date of service of this Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (IA-3712) Investment company ordersTransamerica Life Insurance Company, Et Al.A notice has been issued giving interested persons until December 2, 2013 to request a hearing on an application filed by Transamerica Life Insurance Company, Separate Account VA B, Transamerica Financial Life Insurance Company, Separate Account VA BNY and Transamerica Capital, Inc. (the “Applicants”). Applicants seek an order under Section 6(c) of the Investment Company Act of 1940 (the “Act”) to exempt certain transactions from the provisions of Sections 2(a)(32), 22(c), and 27(i)(2)(A) of the Act and Rule 22c-1 thereunder, to the extent necessary to permit, under specified circumstances, the recapture of certain bonus credits applied to purchase payments made with respect to certain flexible premium variable annuity policies issued by Transamerica Life Insurance Company and Transamerica Financial Life Insurance Company. (IC-30776) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-41) relating to amendments to the EDGX Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week of November 11, 2013. (Rel. 34-70808) A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-42) relating to amendments to the EDGX Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week of November 11, 2013. (Rel. 34-70811) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2013-33) relating to amendments to the EDGA Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week of November 11, 2013. (Rel. 34-70812) A proposed rule change filed by NYSE Arca, Inc. amending the NYSE Arca Options Fee Schedule regarding the applicable Lead Market Maker rights fee for low-volume issues (SR-NYSEArca-2013-114) 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 November 11, 2013. (Rel. 34-70818) A proposed rule change filed by The NASDAQ Stock Market LLC relating to penny pilot options rebates and fees (SR-NASDAQ-2013-136) 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 November 11, 2013. (Rel. 34-70820) Notice of Proposed Rule ChangeNYSE MKT LLC filed a proposed rule change, as modified by Amendment No. 1 thereto (SR-NYSEMKT-2013-86), pursuant to Section 19(b)(1) of the Securities Exchange Act, and Rule 19b-4 thereunder, to adopt Commentary .03 to Rule 980NY to limit the volume of Complex Orders by a single ATP Holder during the trading day. Publication is expected in the Federal Register during the week of November 11, 2013. (Rel. 34-70816) NYSE Arca, Inc. filed a proposed rule change, as modified by Amendment No. 1 thereto (SR-NYSEArca-2013-115), pursuant to Section 19(b)(1) of the Securities Exchange Act, and Rule 19b-4 thereunder, to adopt Commentary .03 to Rule 6.91 to limit the volume of Complex Orders by a single OTP Holder or OTP Firm during the trading day. Publication is expected in the Federal Register during the week of November 11, 2013. (Rel. 34-70817) The Commission issued notice of a proposed rule change submitted by NASDAQ OMX PHLX LLC (SR-Phlx-2013-106), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to amend Rules 1064 and 1080 to more specifically address the number and size of counterparties to a Qualified Contingent Cross Order. Publication is expected in the Federal Register during the week of November 11, 2013. (Rel. 34-70821) NYSE Arca, Inc. filed a proposed rule change (SR-NYSEArca-2013-107) pursuant to Section 19(b)(1) of the Securities Exchange Act to establish a Retail Liquidity Program. Publication is expected in the Federal Register during the week of November 11, 2013. (Rel. 34-70824) Approval of a Proposed Rule ChangeThe Commission granted approval of proposed rule changes submitted by the New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. (SR-NYSE-2013-54; SR-NYSEMKT-2013-66; and SR-NYSEArca-2013-77) that address the Exchanges’ emergency powers. Publication is expected in the Federal Register during the week of November 11, 2013. (Rel. 34-70822) 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-8 HARMONIC INC, 549 BALTIC WAY, SUNNYVALE, CA, 94089, 4085422500 -
1,000,000 ($7,230,000.00) Equity, (File 333-192089 - Nov. 5) (BR. 11C)
S-1 Genufood Energy Enzymes Corp., TWO ALLEN CENTER,
1200 SMITH STREET, SUITE 1600, HOUSTON, TX, 77002, 713-353-8834 -
6,000,000 ($300,000.00) Equity, (File 333-192090 - Nov. 5) (BR. 01B)
S-3ASR REGENERON PHARMACEUTICALS INC, 777 OLD SAW MILL RIVER RD, TARRYTOWN,
NY, 10591-6707, 9143477000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-192091 - Nov. 5) (BR. 01B)
S-8 Essent Group Ltd., 61 FRONT STREET, HAMILTON, D0, HM 11, 877-673-8190 -
0 ($311,640,000.00) Equity, (File 333-192092 - Nov. 5) (BR. 01A)
S-1 Maple Tree Kids, Inc., 119 ROCKLAND CENTER, SUITE 75, NANUET, NY,
10954, 845-548-0888 - 5,000,000 ($100,000.00) Equity,
(File 333-192093 - Nov. 5) (BR. 02)
S-3 PYRAMID OIL CO, 2008 21ST ST, BAKERSFIELD, CA, 93301, 6613251000 -
0 ($30,000,000.00) Equity, (File 333-192094 - Nov. 5) (BR. 04A)
S-3ASR Amtrust Financial Services, Inc., 59 MAIDEN LANE, 6TH FLOOR, NEW YORK,
NY, 10038, (212) 220-7120 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-192097 - Nov. 5) (BR. 01A)
S-4 HYSTER-YALE MATERIALS HANDLING, INC., 5875 LANDERBROOK DRIVE,
SUITE 300, CLEVELAND, OH, 44124, 4404499600 -
0 ($74,907,632.80) Equity, (File 333-192098 - Nov. 5) (BR. 10A)
S-3ASR Diamondback Energy, Inc., 500 WEST TEXAS, SUITE 1210, MIDLAND, TX,
79701, 405-463-6900 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-192099 - Nov. 5) (BR. 04A)
S-8 SAGA COMMUNICATIONS INC, 73 KERCHEVAL AVE, GROSSE POINTE FARMS, MI,
48236, 3138867070 - 0 ($11,054,199.00) Equity, (File 333-192101 -
Nov. 5) (BR. 11C)
S-3 BIO-PATH HOLDINGS INC, 2626 SOUTH LOOP, SUITE 180, HOUSTON, TX, 77054,
8329716616 - 0 ($100,000,000.00) Equity, (File 333-192102 - Nov. 5)
(BR. 02C)
S-8 ARGAN INC, ONE CHURCH STREET SUITE 201, ROCKVILLE, MD, 20850,
301 315-0027 - 0 ($16,995,000.00) Equity, (File 333-192103 - Nov. 5)
(BR. 06B)
S-3 Southcross Energy Partners, L.P., 1700 PACIFIC AVENUE, SUITE 2900,
DALLAS, TX, 75201, 214-979-3700 - 0 ($747,309,157.00) Other,
(File 333-192105 - Nov. 5) (BR. 02)
S-4 American Realty Capital Properties, Inc., 405 PARK AVENUE, NEW YORK,
NY, 10022, 212-415-6500 - 0 ($6,885,652,574.00) Equity,
(File 333-192106 - Nov. 5) (BR. 08B)
RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
Form 8-K filings can be researched through several SEC EDGAR searches, some of which have item filtering functionality.
http://www.sec.gov/news/digest/2013/dig110613.htm
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