Commission Suspends Trading of Life Stem Genetics Inc.
The Securities and Exchange Commission ("Commission") ordered the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the "Exchange Act"), of trading in the securities of Life Stem Genetics Inc. ("Life Stem"), quoted on OTC Link, operated by OTC Markets Group, Inc., because of questions regarding the adequacy and accuracy of information about Life Stem, including, among other things, its business operations. Life Stem's ticker symbol is LIFS.
The trading suspension will last for ten business days. The trading suspension commenced at 9:30 a.m. EST on November 25, 2013, and terminates at 11:59 p.m. EST on December 9, 2013.
The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by Life Stem.
Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to the above-named securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately contact Amelia Cottrell, (212) 336-1056 or firstname.lastname@example.org, Associate Regional Director, New York Regional Office or Michael Paley, (212) 336-0045 or email@example.com, Assistant Regional Director, New York Regional Office. (Rel. 34-70933)
Penny Stock Financier Agrees to Pay $1.4 Million to Settle Commission Charges
The Commission today charged a New York-based penny stock financier and his firms with violating the federal securities laws when they purchased billions of shares in a pair of microcap companies and failed to register them before they were re-sold to investors for sizeable profits.
Curt Kramer and his firms Mazuma Corporation, Mazuma Funding Corporation, and Mazuma Holding Corporation agreed to disgorge those profits in paying a total of $1.4 million to settle the SEC's charges.
An SEC investigation found that Kramer and his firms obtained unregistered shares in penny stock issuers Laidlaw Energy Group and Bederra Corporation. For the Laidlaw transactions, they claimed to rely on an exemption in Rule 504 of Regulation D that permits certain companies to offer and sell up to $1 million in unregistered shares. However, the Mazuma firms' purchases of Laidlaw shares exceeded Rule 504's $1 million limit, so the shares were restricted and not exempt from the registration requirements of the securities laws when they were re-sold. Mazuma Holding Corporation's acquisition and sale of more than one billion unregistered shares of Bederra that had been misappropriated from the issuer by its transfer agent also were not exempt from registration.
"Unless there is a valid exemption, shares can't be sold publicly without a registration statement that provides investors with the level of detail they deserve about the investment opportunity being offered," said Michael Paley, co-chair of the SEC Enforcement Division's Microcap Fraud Task Force that was created earlier this year to target abusive trading and fraudulent conduct in securities issued by microcap companies that often don't regularly report their financial results publicly.
"Billions of shares were not vetted through the registration process yet became publicly traded as a result of the violations by Kramer and his Mazuma firms, and the SEC will continue to punish non-compliance with the registration provisions of the securities laws to ensure the investing public is protected in these types of transactions," Mr. Paley added.
According to the SEC's order instituting settled administrative proceedings, Kramer and his firms purchased two billion Laidlaw shares, which amounted to 80 percent of Laidlaw's outstanding shares at the time. They purchased these shares at a significant discount from prevailing market prices, making it highly likely they could immediately re-sell them publicly for a short-term profit. Kramer and his firms purchased the shares in 35 tranches with no six-month gaps, thus quantifying the transactions as a single, integrated offering through which Laidlaw exceeded the $1 million limit under Rule 504 by raising a total of $1,259,550. No registration statement was filed for any shares that Laidlaw offered and sold to Kramer and his firms, nor was any registration statement filed for any shares that Kramer and his firms subsequently re-sold into the public market. Despite exceeding the $1 million limit, Kramer and his firms continued to acquire and sell additional Laidlaw shares and profited by $126,963 from these transactions.
According to the SEC's order, Kramer and Mazuma Holding Corporation acquired more than one billion shares of Bederra in 2009 and 2010 through 21 separate transactions from the principal of Bederra's transfer agent, who had misappropriated the Bederra share certificates. Again they purchased the shares at a significant discount from prevailing market prices. Kramer and Mazuma Holding Corporation re-sold the misappropriated Bederra shares to the public without any registration statement for a profit of $934,404.
In the settlement, Kramer and his Great Neck, N.Y.-based Mazuma firms agreed to pay disgorgement totaling $1,061,367 plus prejudgment interest of $128,611 and penalties totaling $273,000. Without admitting or denying the SEC's findings, Kramer and Mazuma consented to the entry of an order finding that they violated Sections 5(a) and 5(c) of the Securities Act of 1933. The order requires them to cease and desist from committing violations of Sections 5(a) and 5(c) and not participate in any Rule 504 offerings. Entry of the order will constitute a disqualifying event for Kramer and the Mazuma firms under the recently enacted bad actor disqualification provisions of Rule 506.
The SEC's investigation was conducted by staff in the New York and Denver offices, including Ian Karpel, Kim Greer, Haimavathi Marlier, Laura Yeu, Christopher Ferrante, and Elzbieta Wraga with assistance from examiners Terrence Bohan and Denis Koval. (Press Rel. 2013-249)
Court Orders Massachusetts-Based Viking Financial Group, Inc. and Steven Palladino to Pay over $9.8 Million
The Commission announced today that, on November 18, 2013, a Massachusetts federal court entered orders against Steven Palladino of West Roxbury, Massachusetts and his Massachusetts-based company, Viking Financial Group, Inc. requiring them to pay more than $9.8 million in disgorgement of ill-gotten gains and prejudgment interest and permanently enjoining them from future violations of the antifraud provisions of the securities laws. The Court also ordered that an asset freeze imposed in April 2013 remain in effect.
The Commission initially filed this action on April 30, 2013, as an emergency enforcement action against the Defendants seeking a temporary restraining order, asset freeze and other emergency relief, which the Court granted. In its Complaint, the Commission alleged that, since April 2011, Palladino and Viking falsely promised at least 33 investors that their money would be used to conduct the business of Viking – which was purportedly to make to short-term, high interest loans to those unable to obtain traditional financing. The Commission also alleged that the Defendants misrepresented to investors that the loans made by Viking would be secured by first interest liens on non-primary residence properties and that investors would be paid back their principal, plus monthly interest at rates generally ranging from 7-15%, from payments made by borrowers on the loans. The Complaint alleges that, in truth, the Defendants made very few real loans to borrowers, and instead used investors' funds largely to make payments to earlier investors and to pay for the Palladino family's substantial personal expenses, including cash withdrawals and hundreds of thousands of dollars spent on gambling excursions, vacations, luxury vehicles and tuition.
After the parties had an opportunity to brief the issues, on July 15, 2013, the Court held that the Commission had established that the Defendants' conduct violated the antifraud provisions of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and Section 17(a) of the Securities Act of 1933. The orders of disgorgement and injunction against the Defendants were entered by the Honorable Douglas P. Woodlock of the United States District Court for the District of Massachusetts. The Court has delayed a determination as to civil penalties until a later date.
The Commission acknowledges the assistance of Suffolk County (Massachusetts) District Attorney Daniel F. Conley's Office, which filed related criminal charges against Palladino and Viking in March 2013. [SEC v. Steven Palladino, et al, 13-CV 11024-DPW (District of Massachusetts (Rel. LR-22877)
In the Matter of Paul Anthony Mozicato
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Paul Anthony Mozicato (Mozicato), a resident of Hartford, Connecticut. The Order alleges that on August 21, 2012, Mozicato consented to an order (the "Connecticut order") issued by the Connecticut Department of Banking finding that Mozicato violated, among others, the anti-fraud provisions of the Connecticut's securities laws, and permanently barring Mozicato from the securities and investment adviser business in Connecticut. According to the Connecticut order, Mozicato was registered as a broker-dealer and investment adviser agent of Equity Services, Inc., and procured $15,000 from an elderly Connecticut resident for the purported purpose of investing in a high yielding investment for which she was not suitable. In addition, according to the Connecticut order, rather than investing the investor's monies as represented, Mozicato converted such sums to his own use. The Connecticut order permanently barred Mozicato, either directly or indirectly, from transacting business in or from Connecticut as a broker-dealer, agent, investment adviser or investment adviser agent as such terms are defined in the Connecticut Uniform Securities Act, and from directly or indirectly soliciting or accepting funds for investment purposes from public or private investors in or from Connecticut.
Based on the above, the Order bars Mozicato from association with any broker, dealer, investment adviser, municipal securities dealer, municipal adviser, transfer agent, or nationally recognized statistical rating organization. (Rel. IA-3723)
In the Matter of John B. Guyette
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions against John B. Guyette (Guyette).
The Order finds that Guyette, from at least January 2006 to November 2009 (relevant period) was a registered representative associated with Community Bankers Securities, LLC, a subsidiary of AIC, Inc. (AIC), and a broker-dealer registered with the Commission. The Order further finds that during the relevant period Guyette held Series 7, 24, 27, and 63 securities licenses. The Order further finds that, on September 10, 2013, a final judgment was entered by consent against Guyette, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. AIC, Inc. et al., Civil Action Number 3:11-cv-00176, in the United States District Court for the Eastern District of Tennessee.
The Order further finds that the Commission's complaint (including as amended, and referred to together as the complaint) alleged, among other things, that in connection with the sale of AIC preferred stock and promissory notes, Guyette knew or was reckless in not knowing that he misrepresented and omitted material information concerning the AIC preferred stock and promissory notes. Among other things, and as alleged in the complaint, Guyette failed to disclose to investors the material risks associated with their AIC investments, he never discussed the speculative nature of the investments or the likelihood of loss on the investments, and he misled investors by telling them that AIC investments were safe and that AIC was well-financed and financially secure-all without any reasonable basis. The complaint also alleged that Guyette sold unregistered securities.
Based on the above, the Order bars Guyette from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent; and bars him from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Guyette consented to the issuance of the Order without admitting or denying the findings, except he admitted the entry of the final judgment. (Rel. 34-70939)
In the Matter of John R. Graves
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, Making Findings, and Imposing Remedial Sanctions against John R. Graves (Graves).
The Order finds that Graves, from approximately August 2009 to December 2009 (relevant period) was the Vice President of Business Development at AIC, Inc. (AIC), a privately-held holding company based in Richmond, Virginia. The Order further finds that during the relevant period Graves was also a registered representative associated with Community Bankers Securities, LLC, an AIC subsidiary and broker-dealer registered with the Commission, that during the relevant period he held Series 4, 6, 7, 24, 26, 53, and 65 securities licenses, and that he was the President of Compass Financial Advisors, LLC, an investment advisory firm registered with the Commission. The Order further finds that, on September 9, 2013, a final judgment was entered by consent against Graves, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940, in the civil action entitled Securities and Exchange Commission v. AIC, Inc. et al., Civil Action Number 3:11-cv-00176, in the United States District Court for the Eastern District of Tennessee.
The Order further finds that the Commission's complaint (including as amended, and referred to together as the complaint) alleged, among other things, that in connection with the sale of AIC preferred stock and promissory notes, Graves knew or was reckless in not knowing that he misrepresented and omitted material information concerning the safety and risks associated with the investments and the financial condition of AIC to investors, including his brokerage customers and investment advisory clients. Among other things, and as alleged in the complaint, Graves failed to disclose that he had a personal financial interest in AIC and, despite the fact that he believed AIC was a speculative investment, did not disclose that fact to investors. The complaint also alleged that Graves sold unregistered securities.
Based on the above, the Order bars Graves from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent; and bars him from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Graves consented to the issuance of the Order without admitting or denying the findings except he admitted the entry of the injunction.(Rel. 34-70938)
Commission Denies Johnny Clifton's Second Request for Reconsideration
The Commission has denied Johnny Clifton's second request for reconsideration of its July 12, 2013 opinion and order barring him from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, ordering him to cease and desist from violating Section 17(a) of the Securities Act of 1933, and assessing a $150,000 third-tier civil money penalty. The Commission has also denied his requests for the introduction of new evidence and a new administrative hearing. (Rel. 33-9486)
District Court Denies Motion to Vacate Default Judgment against Medical Software Company and its CEO
The Commission announced today that on November 25, 2013, the U.S. District Court for the Eastern District of New York denied defendant Aurelio Vuono's motion to vacate the default judgments previously entered against MedLink International, Inc., a medical software company, and its CEO, Aurelio Vuono, also known as Ray Vuono. The Commission had charged MedLink, Vuono, and MedLink's CFO, James Rose, with filing an annual report falsely stating that MedLink's audit had been completed and with defrauding a MedLink investor. In its ruling, the court found that Vuono's default was wilful and that he had failed to present any meritorious defense to the Commission's charges.
Previously, on May 23, 2013, the court had entered default judgments against the defendants and ordered permanent injunctions from violating Section 17(a) of the Securities Act of 1933, Sections 10(b) and 15(d) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 15d-1 and 15d-14. The court also ordered each defendant to disgorge, jointly and severally, $149,473/50, representing their illicit profits, together with pre-judgment interest of $8,942.48, for a total of $158,415.98. In addition, the court ordered civil penalties of $650,000 against MedLink, $130,000 against Vuono, and $130,000 against Rose. Finally, the court barred Vuono and Rose from penny stock offerings or severing as an officer or director of a public company.
Vuono, a resident of Huntington Station, New York, is a recidivist securities law violator. In SEC v. Hasho, et al, 784 F.Supp. 1059 (S.D.N.Y. 1992), Vuono was found liable for violating the anti-fraud provisions of the federal securities laws. [SEC v. MedLink International, Inc., et al., Civil Action No. 12 Civ. 5325 (E.D.N.Y.)] (LR-22879)
Investment company orders
Notice of Applications for Deregistration under the Investment Company Act of 1940
For the month of November 2013, a notice has been issued giving interested persons until December 17, 2013, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act of 1940 declaring that the applicant has ceased to be an investment company:
Blue Rock Market Neutral Fund, LLC [File No. 811-21564]
(Rel. IC-30804 - November 22, 2013)
Cambria ETF Trust, et al.
An order has issued on an application filed by Cambria ETF Trust, et al. The order permits: (a) series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30806 - November 25, 2013).
Medley Capital Corporation, et al.
An order has been issued on an application filed by Medley Capital Corporation, et al., under Sections 57(a)(4) and 57(i) of the Investment Company Act of 1940 (Act) and Rule 17d-1 under the Act. The order amends a prior order to permit certain business development companies to co-invest with each other and with certain affiliated investment funds in portfolio companies. (Rel. IC-30807 / November 25, 2013).
RBS Securities Inc. and Citizens Investment Advisors
The Commission has issued a temporary order to RBS Securities Inc. (RBS Securities) and Citizens Investment Advisors, a separately identifiable department of RBS Citizens, N.A. (Citizens IA) under Section 9(c) of the Investment Company Act of 1940 (Act) with respect to an injunction issued by the U.S. District Court for the District of Connecticut on November 25, 2013. The temporary order exempts RBS Securities and Citizens IA, as well as companies of which RBS Securities is or becomes an affiliated person, from the provisions of Section 9(a) of the Act until the Commission takes final action on an application for a permanent order. The Commission also has issued a notice giving interested persons until December 20, 2013, to request a hearing on the application filed by applicants for a permanent order under Section 9(c) of the Act. (Rel. IC-30808 - November 25, 2013).
Immediate Effectiveness of Proposed Rule Change
The Options Clearing Corporation filed a proposed rule change (SR-OCC-2013-20) under Section 19(b)(1) of the Securities Exchange Act of 1934, which became effective upon filing, to clarify OCC's existing policy regarding use of clearing fund assets in anticipation. Publication is expected in the Federal Register during the week of November 25, 2013. (Rel. 34-70935)
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2013-112) to increase the Class Quoting Limit for options on Twitter has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 25th. (Rel. 34-70936).
A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the CBSX Fees Schedule (SR-CBOE-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 November 25th. (Rel. 34-70943)
Notice of Proposed Rule Change
The National Securities Clearing Corporation (NSCC) filed a proposed rule change (File No. SR-NSCC-2012-12) under Section 19(b)(1) of the Securities Exchange Act of 1934 to add a new service to the Obligation Warehouse ("OW") to pair off and close certain open obligations. Publication is expected in the Federal Register during the week of November 25, 2013. (Release No. 34-70937)
Suspension of an Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change
The Commission is temporarily suspending and instituting proceedings pursuant to Section 19(b)(3)(C) of the Securities Exchange Act of 1934 to determine whether to approve or disapprove a proposed rule change to filed by NASDAQ OMX PHLX LLC (SR-Phlx-2013-113) to offer a Customer rebate. Publication is expected in the Federal Register during the week of November 25th. (Rel. 34-70940)
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 Atlas Financial Holdings, Inc., 150 NORTHWEST POINT BOULEVARD, ELK GROVE VILLAGE, IL, 60007, 847-700-8000 - 1,298,293 ($16,734,996.77) Equity, (File 333-192480 - Nov. 22) (BR. 01B) S-3ASR WYNN RESORTS LTD, 3131 LAS VEGAS BOULEVARD SOUTH, LAS VEGAS, NV, 89109, 7027707555 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-192483 - Nov. 22) (BR. 08B) S-1 NATURAL HEALTH TRENDS CORP, 2603 OAK LAWN AVE., FIFTH FLOOR, DALLAS, TX, 75219, 972-241-4080 - 1,495,952 ($5,265,751.00) Equity, (File 333-192485 - Nov. 22) (BR. 02C) S-8 MIDDLEBURG FINANCIAL CORP, 111 W WASHINGTON ST, C/O MIDDLEBURG BANK, MIDDLEBURG, VA, 22117, 5406876377 - 430,000 ($8,025,950.00) Equity, (File 333-192487 - Nov. 22) (BR. 07B) S-8 Thompson Creek Metals Co Inc., 26 WEST DRY CREEK CIRCLE, SUITE 810, LITTLETON, CO, 80120, (303) 761-8801 - 0 ($1,939,000.00) Equity, (File 333-192493 - Nov. 22) (BR. 09A) S-4 PetroLogistics LP, 600 TRAVIS STREET, SUITE 3250, HOUSTON, TX, 77002, 713-255-5990 - 0 ($365,000,000.00) Debt, (File 333-192494 - Nov. 22) (BR. 06B) S-8 Extended Stay America, Inc., 11525 N. COMMUNITY HOUSE ROAD, SUITE 100, CHARLOTTE, NC, 28277, (980) 345-1600 - 0 ($189,160,000.00) Equity, (File 333-192495 - Nov. 22) (BR. 08B) S-3 NTN BUZZTIME INC, 2231 RUTHERFORD ROAD, CARLSBAD, CA, 92008, 7604387400 - 9,600,000 ($5,472,000.00) Equity, (File 333-192496 - Nov. 22) (BR. 11C) S-8 ENTERPRISE FINANCIAL SERVICES CORP, 150 NORTH MERAMEC, 150 NORTH MERAMEC, CLAYTON, MO, 63105, 3147255500 - 1,000,000 ($18,560,000.00) Equity, (File 333-192497 - Nov. 22) (BR. 07C) S-4 PVR PARTNERS, L. P., THREE RADNOR CORPORATE CENTER, 100 MATSONFORD ROAD, SUITE 301, RADNOR, PA, 19087, 610 975 8200 - 0 ($400,000,000.00) Debt, (File 333-192498 - Nov. 22) (BR. 02C) N-2 ING SENIOR INCOME FUND, ING SENIOR INCOME FUND, 7337 E. DOUBLETREE RANCH ROAD, STE 100, SCOTTSDALE, AZ, 85258, 4804773000 - 40,000,000 ($537,800,000.00) Equity, (File 333-192499 - Nov. 22) (BR. 17) S-8 Apparel Holding Corp., 600 KELLWOOD PARKWAY, CHESTERFIELD, MO, 63107, (314) 576-3100 - 6,806,345 ($99,983,598.10) Equity, (File 333-192500 - Nov. 22) (BR. 09) S-8 TIPTREE FINANCIAL INC., 780 THIRD AVENUE, 21ST FLOOR, NEW YORK, NY, 10017, 212-446-1410 - 2,131,190 ($16,687,217.70) Equity, (File 333-192501 - Nov. 22) (BR. 01A) S-8 CMS ENERGY CORP, ONE ENERGY PLAZA, JACKSON, MI, 49201, 5177881612 - 0 ($55,140,000.00) Equity, (File 333-192503 - Nov. 22) (BR. 02B) S-1 BIO KEY INTERNATIONAL INC, 3349 HIGHWAY 138, BUIDING D, SUITE B, WALL, NJ, 07719, 6516870414 - 49,706,741 ($1,088.38) Equity, (File 333-192504 - Nov. 22) (BR. 03B) S-8 Neonode, Inc, 2350 MISSION COLLEGE BLVD, SUITE 190, SANTA CLARA, CA, 95054, 408 496-6722 - 0 ($11,060,000.00) Equity, (File 333-192505 - Nov. 22) (BR. 10B) S-8 Marcus & Millichap, Inc., 23975 PARK SORRENTO, SUITE 400, CALABASAS, CA, 91302, 818-212-2250 - 5,866,667 ($78,122,004.02) Equity, (File 333-192506 - Nov. 22) (BR. 08B) S-8 EXTREME NETWORKS INC, 145 RIO ROBLES, SAN JOSE, CA, 95134, 4085792800 - 0 ($180,259,852.50) Equity, (File 333-192507 - Nov. 22) (BR. 03B) S-3 Del Frisco's Restaurant Group, Inc., 930 S. KIMBALL AVE., SUITE 100, SOUTHLAKE, TX, 76092, 817-601-3421 - 0 ($132,256,140.45) Equity, (File 333-192508 - Nov. 22) (BR. 05B) S-3 HEALTHSOUTH CORP, 3660 GRANDVIEW PARKWAY, SUITE 200, BIRMINGHAM, AL, 35243, 205-967-7116 - 1,119,586 ($38,289,841.20) Equity, (File 333-192510 - Nov. 22) (BR. 01A) F-7 Maudore Minerals Ltd., 2000 PEEL, SUITE 760, MONTREAL, A8, H3B 4W5, 514-761-1415 - 47,241,522 ($4,500,700.00) Equity, (File 333-192512 - Nov. 22) (BR. ) S-3 SANTANDER DRIVE AUTO RECEIVABLES LLC, 8585 NORTH STEMMONS FREEWAY, SUITE 1100-N, DALLAS, TX, 75247, 214-237-3530 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-192513 - Nov. 22) (BR. OSF) S-8 EBAY INC, 2065 HAMILTON AVENUE, SAN JOSE, CA, 95125, 408-376-7400 - 7,907 ($22,930.30) Equity, (File 333-192514 - Nov. 22) (BR. 02C) S-4 Memorial Production Partners LP, 1301 MCKINNEY, SUITE 2100, HOUSTON, TX, 77010, 713-588-8300 - 0 ($300,000,000.00) Debt, (File 333-192515 - Nov. 22) (BR. 04B) F-3 Paragon Shipping Inc., 15 KARAMANLI AVE, GR 166 73, VOULA, J3, 00000, 011-30-210-891-4600 - 0 ($250,000,000.00) Unallocated (Universal) Shelf, (File 333-192517 - Nov. 22) (BR. 05C) S-3 BANC OF CALIFORNIA, INC., 18500 VON KARMAN, IRVINE, CA, 92612, 949-236-5211 - 0 ($960,000,000.00) Unallocated (Universal) Shelf, (File 333-192518 - Nov. 22) (BR. 07C) S-8 Solera National Bancorp, Inc., 319 SOUTH SHERIDAN BOULEVARD, LAKEWOOD, CO, 80226, 303-209-8600 - 250,000 ($1,569,650.18) Equity, (File 333-192521 - Nov. 22) (BR. 07C)
Recent 8K Filings
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