SEC News Digest, January 14, 2012

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Enforcement Proceedings

Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Six Public Companies for Failure to Make Required Periodic Filings

Today the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of six companies for failure to make required periodic filings with the Commission:

Imreg, Inc.
Innovative Holdings & Technologies, Inc.
InnoVet, Inc.
Institutional Properties 4
Interaction Media Corp.
International CRO Holdings Corp.

In this Order, the Division of Enforcement (Division) alleges that the six issuers are delinquent in their required periodic filings with the Commission.

In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-68646; File No. 3-15173)

INVESTMENT COMPANY ACT RELEASES

J.P. Morgan Securities LLC, et al.

The Commission has issued a temporary order to J.P. Morgan Securities LLC, et al. 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 Columbia on January 8, 2013. The temporary order exempts J.P. Morgan Securities LLC (JPMS), EMC Mortgage, LLC (EMC), Bear Stearns Asset Backed Securities I, LLC (BSABS), Structured Asset Mortgage Investments II, Inc. (SAMI), SACO I Inc. (SACO) and J.P. Morgan Acceptance Corporation I (together with JPMS, EMC, BSABS, SAMI and SACO, the Defendants), as well as companies of which a Defendant 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 February 4, 2013, to request a hearing on the application filed by applicants for a permanent order under Section 9(c) of the Act. (Rel. IC-30347 - January 9)

SELF-REGULATORY ORGANIZATIONS

Notice of Filing of an Advance Notice

The Options Clearing Corporation (OCC) filed an advanced notice (SR-OCC-2012-801) under Section 806(e)(1) of the Payment, Clearing, and Settlement Supervision Act of 2010 in connection with a proposed change to its operations in the form of entering an unsecured, committed credit agreement. Publication is expected in the Federal Register during the week of January 14. (Rel. 34-68618)

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by The NASDAQ Stock Market LLC relating to fees for certain co-location services (SR-NASDAQ-2013-002) 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 January 14. (Rel. 34-68624)

A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-149) to NASDAQ’s order execution rebates and Investor Support Program 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 January 14. (Rel. 34-68626)

A proposed rule change filed by International Securities Exchange, LLC to amend the schedule of fees (SR-ISE-2013-01) 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 January 14. (Rel. 34-68627)

A proposed rule change filed by NYSE MKT LLC amending its price list with respect to regulatory fees related to the Central Registration Depository, which are collected by the Financial Industry Regulatory Authority, Inc. (SR-NYSEMKT-2013-01) 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 January 14. (Rel. 34-68630)

A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2013-03) to amend the schedule of fees 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 January 14. (Rel. 34-68631)

A proposed rule change filed by CBOE Futures Exchange, LLC regarding minor rule violations (SR-CFE-2013-001) has become effective pursuant to Section 19(b)(7) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 14. (Rel. 34-68634)

Disapproval of Proposed Rule Change

The Commission disapproved a proposed rule change (SR-NASDAQ-2012-059) submitted by the NASDAQ Stock Market LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to establish “Benchmark Orders” under NASDAQ Rule 4751(f). Publication is expected in the Federal Register during the week of January 14. (Rel. 34-68629)

Proposed Rule Change

The Financial Industry Regulatory Authority, Inc. has filed a proposed rule change (SR-FINRA-2013-003) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to amend the Customer and Industry Codes of Arbitration Procedure (“Codes”) to revise the definition of “public arbitrator” to exclude persons associated with a mutual fund or hedge fund from serving as public arbitrators and to require individuals to wait for two years after ending certain affiliations before they may be permitted to serve as public arbitrators. Publication is expected in the Federal Register during the week of January 14. (Rel. 34-68632)

Approval of Proposed Rule Change

The Commission granted approval of a proposed rule change submitted by the New York Stock Exchange LLC (SR-NYSE-2012-54) that amended the Listed Company Manual Section 204.00 to create a uniform method for a company to provide notice to the Exchange when required pursuant to Sections 204.06, 204.12, 204.17, 204.21, 204.22, 311.01, 401.02, and 601.00 of the Listed Company Manual, and made conforming changes. Publication is expected in the Federal Register during the week of January 14. (Rel. 34-68635)

SECURITIES ACT REGISTRATIONS

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     SARATOGA RESOURCES INC /TX, 7500 SAN FELIPE, SUITE 675, HOUSTON, TX, 
        77063, 7139148017 - 25,000,000 ($25,000,000.00) Non-Convertible Debt, 
        (File 333-185966 - Jan. 11) (BR. 04B)

S-1     XOOM Corp, 100 BUSH STREET SUITE 300, SAN FRANCISCO, CA, 94104, 
        415-395-4203 - 0 ($50,000,000.00) Equity, (File 333-185967 - Jan. 11) 
        (BR. 07)

S-8     PBF Energy Inc., 1 SYLVAN WAY, PARSIPPANY, NJ, 07054, 973-455-7500 - 
        0 ($137,600,000.00) Equity, (File 333-185968 - Jan. 11) (BR. 04A)

S-4     AMERICAN EXPRESS CO, 200 VESEY STREET, 50TH FLOOR, NEW YORK, NY, 10285, 
        2126402000 - 2,327,184,000 ($2,327,184,000.00) Non-Convertible Debt, 
        (File 333-185969 - Jan. 11) (BR. 12A)

S-3     CorMedix Inc., 745 ROUTE 202-206, SUITE 303, BRIDGEWATER, NJ, 08807, 
        908-517-9500 - 3,782,857 ($3,839,600.00) Equity, (File 333-185970 - 
        Jan. 11) (BR. 01B)

S-8     ACUITY BRANDS INC, 1170 PEACHTREE STREET, NE, SUITE 2400, ATLANTA, GA, 
        30309-7676, 404-853-1400 - 0 ($146,391,705.68) Equity, 
        (File 333-185971 - Jan. 11) (BR. 11C)

S-8     SPS COMMERCE INC, 333 SOUTH SEVENTH STREET, SUITE 1000, MINNEAPOLIS, 
        MN, 55402, 612-435-9400 - 0 ($34,021,924.20) Equity, (File 333-185972 - 
        Jan. 11) (BR. 03B)

S-1     HPEV, INC., 27420 BREAKERS DRIVE, WESLEY CHAPEL, FL, 33544, 
        813-929-1877 - 21,491,054 ($5,587,674.04) Equity, (File 333-185978 - 
        Jan. 11) (BR. 11C)

S-1     ConnectOne Bancorp, Inc., 301 SYLVAN AVENUE, ENGLEWOOD CLIFFS, NJ, 
        07632, 201-816-8900 - 0 ($57,500,000.00) Non-Convertible Debt, 
        (File 333-185979 - Jan. 11) (BR. 07)

S-8     Liberty Media Corp, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 80112, 
        (720) 875-5400 - 0 ($2,022,860,740.00) Equity, (File 333-185986 - 
        Jan. 11) (BR. 11C)

S-8     Liberty Spinco, Inc., 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 80112, 
        720-875-5400 - 0 ($316,500,000.00) Equity, (File 333-185987 - Jan. 11) 
        (BR. 11C)

S-8     Liberty Media Corp, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 80112, 
        (720) 875-5400 - 0 ($24,322,000.00) Equity, (File 333-185988 - Jan. 11) 
        (BR. 11C)

S-8     Liberty Media Corp, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 80112, 
        (720) 875-5400 - 0 ($304,025,000.00) Equity, (File 333-185990 - 
        Jan. 11) (BR. 11C)

S-3     ATHERSYS, INC / NEW, 3201 CARNEGIE AVENUE, CLEVELAND, OH, 44115-2634, 
        216-431-9900 - 20,000,000 ($23,400,000.00) Equity, (File 333-185991 - 
        Jan. 11) (BR. 01B)

S-8     Liberty Spinco, Inc., 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 80112, 
        720-875-5400 - 0 ($633,000,000.00) Equity, (File 333-185992 - Jan. 11) 
        (BR. 11C)

S-8     Smack Sportswear, 1765 OAK STREET, TORRANCE, CA, 90501, 310-787-1222 - 
        120,000 ($24,600.00) Equity, (File 333-185995 - Jan. 11) (BR. 09A)

S-4     PPL ENERGY SUPPLY LLC, TWO NORTH NINTH STREET, ALLENTOWN, PA, 18101, 
        610.774.5151 - 0 ($218,972,000.00) Debt, (File 333-185996 - Jan. 11) 
        (BR. 02B)

RECENT 8K FILINGS

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

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

-----------------------------------------------------------------------------------------

Active Health Foods, Inc.               CA       4.01,9.01            01/11/13

AEROPOSTALE INC                                  7.01,9.01            01/11/13

AGL RESOURCES INC                       GA       2.02,9.01            01/10/13

AMERICAN BAR ASSOCIATION MEMBERS / NO   IL       1.02                 12/27/12

American Boarding Co                    DE       4.01,9.01            01/10/13

AMERICAN POWER GROUP Corp               DE       5.02                 01/11/13

Ameris Bancorp                          GA       5.02                 01/10/13

AMP Holding Inc.                        NV       1.01,2.03,9.01       12/31/12

APACHE CORP                             DE       5.02,9.01            01/09/13

ARQULE INC                              DE       8.01,9.01            01/11/13

Artio Global Investors Inc.             DE       7.01,9.01            01/11/13

Atlas Resource Partners, L.P.           DE       1.01,9.01            01/11/13

ATMOS ENERGY CORP                       TX       8.01,9.01            01/08/13

AVAYA INC                               DE       5.02                 01/11/13

Bazaarvoice Inc                         DE       8.01                 01/10/13

Bazaarvoice Inc                         DE       8.01,9.01            01/11/13

Behringer Harvard Opportunity REIT I,   MD       7.01,9.01            01/11/13

BENACO, INC.                            NV       5.02,5.03,8.01,9.01  12/21/12

BERKELEY COFFEE & TEA, INC.             NV       3.02,8.01            01/08/13

BEST BUY CO INC                         MN       7.01,9.01            01/11/13

BIGLARI HOLDINGS INC.                   IN       1.01,9.01            01/11/13

Biostar Pharmaceuticals, Inc.           MD       4.01,9.01            01/08/13

BOEING CO                               DE       8.01,9.01            01/11/13

BONANZA GOLD CORP.                               4.01,9.01            01/10/13

Booz Allen Hamilton Holding Corp        DE       5.02                 01/09/13

CADIZ INC                               DE       1.01,3.02,5.02       01/09/13

CAMPBELL FUND TRUST                     DE       3.02                 01/11/13

CEPHAS HOLDING CORP.                    DE       4.01,9.01            01/10/13

CHASE CORP                              MA       2.02,9.01            01/08/13

Cheniere Energy Partners, L.P.          DE       5.02                 01/11/13    AMEND

China Hefeng Rescue Equipment, Inc.     DE       1.01,2.01,3.02,5.01, 06/15/12    AMEND
                                                 5.02,5.03,5.06,9.01
        
CITY HOLDING CO                         WV       2.01,9.01            01/11/13

CombiMatrix Corp                        DE       3.02                 01/07/13

COMFORT SYSTEMS USA INC                          5.02                 12/18/12

CONAGRA FOODS INC /DE/                  DE       8.01,9.01            01/10/13

CONAGRA FOODS INC /DE/                  DE       8.01,9.01            01/07/13

CONSOLIDATED TOMOKA LAND CO             FL       5.02,9.01            01/11/13

CORE LABORATORIES N V                   P7       7.01,9.01            01/11/13

CORELOGIC, INC.                         DE       5.02                 01/10/13

CROSS COUNTRY HEALTHCARE INC            DE       1.01,1.02,2.03,5.02, 01/10/13
                                                 9.01
          
CROWN CASTLE INTERNATIONAL CORP         DE       8.01,9.01            01/10/13

CROWN HOLDINGS INC                      PA       1.01,2.03,9.01       01/09/13

CUMBERLAND PHARMACEUTICALS INC                   8.01                 01/07/13

Cytosorbents Corp                                7.01,9.01            01/09/13

DAKTRONICS INC /SD/                     SD       7.01                 01/11/13

DATA I/O CORP                           WA       5.02                 01/07/13

DIGITAL RIVER INC /DE                   DE       2.01,9.01            01/10/13

DIODES INC /DEL/                        DE       1.01,1.02,2.03,7.01, 01/08/13
                                                 9.01
          
DYNARESOURCE INC                        DE       8.01,9.01            01/11/13

ECOSPHERE TECHNOLOGIES INC              DE       5.02                 01/08/13

Empowered Products, Inc.                NV       5.02                 01/07/13

ENDEAVOUR INTERNATIONAL CORP            NV       5.02,9.01            01/07/13

ENERNOC INC                             DE       5.02,9.01            01/10/13

Envision Solar International, Inc.      NV       1.01,2.03,3.02,5.02, 01/09/13
                                                 8.01,9.01
     
Epicor Software Corp                             5.02                 01/08/13

EQM Technologies & Energy, Inc.         DE       1.02,2.01,8.01,9.01  01/10/13

EVEREST RE GROUP LTD                    D0       8.01,9.01            01/11/13

EWaste Systems, Inc.                    NV       7.01,9.01            01/09/13

EZJR, Inc.                              NV       4.01,9.01            12/04/12    AMEND

FARO TECHNOLOGIES INC                   FL       7.01                 01/11/13

FBL FINANCIAL GROUP INC                 IA       8.01                 01/11/13

Fidelity National Information Service            8.01                 01/11/13

FIELDPOINT PETROLEUM CORP               CO       7.01,9.01            01/10/13

FINDEX COM INC                          NV       8.01                 01/07/13

FIRST DATA CORP                         DE       5.02,9.01            01/09/13

FIRST KEYSTONE CORP                     PA       8.01,9.01            01/10/13

FITS MY STYLE INC                       NV       3.03,5.03,9.01       01/10/13

FORD MOTOR CREDIT CO LLC                DE       8.01,9.01            01/11/13

FRANKLIN STREET PROPERTIES CORP /MA/             9.01                 11/01/12    AMEND

FreightCar America, Inc.                DE       8.01,9.01            01/10/13

GATX CORP                               NY       8.01,9.01            01/11/13

GEORGIA GULF CORP /DE/                  DE       5.02,5.07,8.01,9.01  01/10/13

GEOVIC MINING CORP.                     DE       5.02,9.01            01/10/13

GlyEco, Inc.                            NV       7.01                 01/11/13

GRAHAM CORP                             DE       5.02                 01/09/13

Graymark Healthcare, Inc.               OK       2.05                 01/07/13

Graystone Co                            DE       1.01,8.01            01/10/13

Greenpower International Group Ltd               2.01,3.02,5.02,5.06, 02/10/12    AMEND
                                                 9.01
          
GYMBOREE CORP                           DE       5.02,9.01            01/08/13

HAIN CELESTIAL GROUP INC                DE       9.01                 10/29/12    AMEND

HARTFORD FINANCIAL SERVICES GROUP INC   DE       8.01,9.01            01/11/13

HEALTH CARE REIT INC /DE/               DE       1.01,1.02,2.01,2.03, 01/07/13
                                                 9.01
          
HEALTH DISCOVERY CORP                   2Q       1.02,9.01            01/07/13

HELIOS ADVANTAGE INCOME FUND, INC.      MD       8.01,9.01            01/04/13

HELIOS HIGH INCOME FUND, INC            MD       8.01,9.01            01/04/13

HELIOS MULTI-SECTOR HIGH INCOME FUND,   MD       8.01,9.01            01/04/13

HELIOS STRATEGIC INCOME FUND, INC       MD       8.01,9.01            01/04/13

HEMAGEN DIAGNOSTICS INC                 DE       5.02,9.01            01/09/13

HEMISPHERX BIOPHARMA INC                DE       5.02                 01/10/13

HENNESSY ADVISORS INC                            9.01                 10/26/12    AMEND

HERITAGE OAKS BANCORP                   CA       7.01,9.01            01/11/13

HERITAGE OAKS BANCORP                   CA       5.02,9.01            01/07/13

Hillenbrand, Inc.                       IN       1.01,9.01            01/09/13

HMS INCOME FUND, INC.                   MD       5.02                 01/07/13

Homeowners Choice, Inc.                 FL       1.01,9.01            01/10/13

HOTEL OUTSOURCE MANAGEMENT INTERNATIO   DE       1.01,9.01            01/07/13

HOTEL OUTSOURCE MANAGEMENT INTERNATIO   DE       1.01,9.01            01/10/13

HURCO COMPANIES INC                     IN       2.02,9.01            01/11/13

iGambit, Inc.                           DE       9.01                 01/11/13

Introbuzz                               NV       4.01,9.01            01/10/13

Jazz Pharmaceuticals plc                L2       2.02,9.01            01/08/13

JOY GLOBAL INC                          DE       5.02                 01/09/13    AMEND

KAYDON CORP                             DE       5.02                 01/11/13

KB HOME                                 DE       8.01,9.01            01/11/13

KINGOLD JEWELRY, INC.                   DE       1.01,9.01            01/10/13

KKR Financial Holdings LLC              DE       5.03,7.01,8.01,9.01  01/10/13

LCNB CORP                               OH       2.01,7.01,9.01       01/11/13

LEUCADIA NATIONAL CORP                  NY       7.01,9.01            01/10/13

LEXINGTON REALTY TRUST                  MD       3.02,5.02,9.01       01/10/13

Limelight Networks, Inc.                DE       5.02                 01/08/13

LMI AEROSPACE INC                       MO       7.01                 01/11/13

LML PAYMENT SYSTEMS INC                 A1       2.01,3.01,3.03,5.01, 01/10/13
                                                 5.02,5.03,9.01

LRR Energy, L.P.                        DE       7.01,9.01            01/11/13

MEDALLION FINANCIAL CORP                DE       1.01,9.01            01/08/13

MEDICAL INTERNATIONAL TECHNOLOGY INC    CO       7.01,9.01            01/11/13

MONROE CAPITAL Corp                     MD       2.02,7.01,9.01       01/11/13

MOOG INC                                NY       5.07                 01/09/13

MPG Office Trust, Inc.                  MD       1.01,5.02,9.01       01/11/13

NAKED BRAND GROUP INC.                  NV       3.02                 01/08/13

National CineMedia, Inc.                DE       5.02,9.01            01/09/13

NEUSTAR INC                                      8.01,9.01            01/11/13

NEWCASTLE INVESTMENT CORP               MD       1.01,8.01,9.01       01/07/13

NEWS CORP                                        8.01,9.01            01/11/13

NEWS CORP                                        8.01,9.01            01/11/13

Nissan Auto Receivables 2013-A Owner    DE       8.01,9.01            01/09/13

NISSAN AUTO RECEIVABLES CORP II         DE       8.01,9.01            01/09/13

NISSAN AUTO RECEIVABLES CORP II         DE       1.01,8.01,9.01       01/09/13

NORTHERN TECHNOLOGIES INTERNATIONAL C   DE       2.02,9.01            01/11/13

NUPATHE INC.                            DE       5.02                 01/07/13

NUTRI SYSTEM INC /DE/                   DE       7.01,9.01            01/11/13

OMEGA COMMERCIAL FINANCE CORP           WY       1.01,9.01            01/10/13

ONEOK INC /NEW/                         OK       7.01,9.01            01/11/13

ONEOK Partners LP                       DE       7.01,9.01            01/11/13

ONLINE RESOURCES CORP                   DE       8.01                 01/10/13

OptimizeRx Corp                         NV       1.01,9.01            01/10/13

ORAMED PHARMACEUTICALS INC.             DE       8.01                 01/11/13

Orbitz Worldwide, Inc.                  DE       5.02                 01/11/13

ORTHOFIX INTERNATIONAL N V                       5.02,9.01            01/07/13

PANTRY INC                              DE       5.02,9.01            01/11/13

PARKWAY PROPERTIES INC                  MD       5.02                 01/11/13

PATHEON INC                                      5.02                 08/13/12    AMEND

PATRICK INDUSTRIES INC                  IN       2.01,9.01            10/26/12    AMEND

PDK ENERGY INC.                         MS       4.01,9.01            01/10/13

PEER REVIEW MEDIATION & ARBITRATION I   FL       4.01,9.01            01/09/13    AMEND

PEGASUS TEL, INC.                       DE       1.01,1.02,5.03,9.01  03/21/12    AMEND

PEPCO HOLDINGS INC                      DE       8.01                 01/09/13

Personality Software Systems, Inc.      NV       4.01,9.01            01/10/13

Pharma-Bio Serv, Inc.                            5.02,9.01            01/07/13

PHI GROUP INC                           NV       3.02                 11/19/12

PIER 1 IMPORTS INC/DE                   DE       8.01                 01/07/13

PLASTER CASTER INC.                     MS       4.01,9.01            01/10/13

PMC SIERRA INC                          DE       1.01,9.01            01/10/13

Post Holdings, Inc.                     MO       7.01,9.01            01/11/13

PREMIER HOLDING CORP.                   NV       1.01,2.01,9.01       01/07/13

Proto Labs Inc                                   5.02                 01/10/13

PUBLIC SERVICE ELECTRIC & GAS CO        NJ       8.01,9.01            01/11/13

Real Goods Solar, Inc.                  CO       5.02                 12/21/12

REGAL ENTERTAINMENT GROUP               DE       5.02                 01/09/13

RESPONSYS INC                           DE       1.01,5.02,9.01       01/07/13

RETRACTABLE TECHNOLOGIES INC            TX       8.01                 01/07/13

Reven Housing REIT, Inc.                CO       1.01,2.01,9.01       01/07/13

Rockdale Resources Corp                 CO       5.02                 01/02/13

S&W Seed Co                             NV       1.01,8.01,9.01       01/11/13

SANTANDER DRIVE AUTO RECEIVABLES LLC    DE       1.01,8.01,9.01       01/09/13

Santander Drive Auto Receivables Trus   DE       8.01,9.01            01/09/13

SCANA CORP                              SC       8.01                 01/11/13

SEQUENTIAL BRANDS GROUP, INC.           DE       1.01,9.01            01/09/13

SILVERSTAR MINING CORP.                 NV       1.01,9.01            12/27/12    AMEND

SKINVISIBLE INC                         NV       1.01,2.03,3.02,9.01  12/31/12

SKYLINE CORP                            IN       2.02,9.01            01/11/13

SMART ONLINE INC                        DE       2.03,3.02,8.01       01/07/13

SOLAR ACQUISITION CORP.                 FL       4.01,9.01            01/10/13

Sorrento Therapeutics, Inc.             DE       1.01                 01/07/13

SPECTRANETICS CORP                      DE       5.02                 01/09/13

STONE ENERGY CORP                       DE       5.02,7.01,9.01       01/08/13

STRUCTURED PRODUCTS CORP CRED ENHANCE   DE       8.01,9.01            01/02/13

STRUCTURED PRODUCTS CORP TIERS R INFL   DE       8.01,9.01            01/02/13

STW RESOURCES HOLDING CORP.             NV       7.01,9.01            01/09/13

Summit Hotel Properties, Inc.           MD       8.01,9.01            01/08/13

SUNPOWER CORP                           DE       2.05                 01/09/13    AMEND

Surna Inc.                              NV       4.01,9.01            11/10/12    AMEND

SYNNEX CORP                             DE       5.02,8.01            01/08/13

SYNOVUS FINANCIAL CORP                  GA       8.01,9.01            01/08/13

Talon Therapeutics, Inc.                DE       3.02                 01/11/13

TE Connectivity Ltd.                    V8       5.03,8.01,9.01       01/07/13

TELETECH HOLDINGS INC                   DE       7.01,9.01            01/10/13

TELETOUCH COMMUNICATIONS INC            DE       1.01,2.03,9.01       01/07/13

TESORO LOGISTICS LP                     DE       1.01,9.01            01/08/13

THQ INC                                 DE       8.01                 01/08/13

TRIMAS CORP                             DE       8.01,9.01            01/11/13

TRUMP ENTERTAINMENT RESORTS, INC.       DE       5.02,9.01            01/07/13

UIL HOLDINGS CORP                       CT       8.01,9.01            01/11/13

UNILENS VISION INC                               4.01,9.01            01/08/13

UNITED AMERICAN HEALTHCARE CORP         MI       1.01,9.01            01/10/13

UNITIL CORP                             NH       7.01                 01/07/13

Urban Barns Foods Inc.                           1.01,8.01,9.01       11/01/12

VALASSIS COMMUNICATIONS INC             DE       5.02,9.01            01/07/13

Vera Bradley, Inc.                               5.02,9.01            01/07/13

VERINT SYSTEMS INC                      DE       8.01                 01/09/13

Viggle Inc.                             DE       1.01,9.01            01/10/13

VOLT INFORMATION SCIENCES, INC.         NY       8.01,9.01            01/10/13

VOLTERRA SEMICONDUCTOR CORP                      5.02,9.01            01/07/13

VOXX International Corp                 DE       2.02,8.01            01/09/13

WABCO Holdings Inc.                     DE       5.02                 01/09/13

WALT DISNEY CO/                         DE       5.02,9.01            01/10/13

WAVE SYSTEMS CORP                       DE       8.01                 01/10/13

WELLS FARGO & COMPANY/MN                DE       2.02,9.01            01/11/13

WESTMORELAND COAL Co                    DE       5.03,9.01            01/07/13

World Moto, Inc.                        NV       1.01,3.02,9.01       01/08/13

WTTJ CORP                               MI       4.01,9.01            01/10/13

XEROX CORP                              NY       5.02,7.01            01/07/13

YAHOO INC                               DE       2.05                 10/18/12    AMEND

http://www.sec.gov/news/digest/2013/dig011413.htm

SEC News Digest