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ENFORCEMENT PROCEEDINGSIn the Matter of Henley Healthcare, Inc.An Administrative Law Judge, acting pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act), issued an Order Making Findings and Revoking Registrations by Default as to Five Respondents (Default Order) in Henley Healthcare, Inc., Admin. Proc. File No. 3-15165. The default Order found that Henley Healthcare, Inc., Hightop Capital Corp., Horizon Pharmacies, Inc., Horizon Resources Corp., and Hudson’s Grill of America, Inc., had securities registered with the Commission pursuant to Section 12(g) of the Exchange Act and all had failed to file the periodic reports required by Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13. The only other Respondent in the proceeding, Hiko Bell Mining & Oil Co., was the subject of a January 28, 2013, Commission Order Making Findings and Revoking Registration. See Henley Healthcare, Inc., Exchange Act Release No. 68739. (Rel. 34-68825; File No. 3-15165) In the Matter of Kenneth Ira StarrOn February 5, 2013, the Commission issued 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 (Order) against Kenneth Ira Starr (Starr). The Order finds that until the appointment of a receiver, Starr was the Chief Executive Officer of Starr Investment Advisors, LLC (SIA), an investment advisor registered with the Commission. From December 2007 until March 2010, Starr also was a registered representative associated with Diamond Edge Capital Partners, LLC, a broker-dealer registered with the Commission. The Order further finds that on November 16, 2012, a final judgment was entered by consent against Starr, permanently enjoining him from future violations of Sections 206(1) and 206(2) of the Advisers Act in the civil action entitled Securities and Exchange Commission v. Kenneth Ira Starr, et al., 10 Civ. 4270 (S.D.N.Y.) (SHS), in the United States District Court for the Southern District of New York. The Commission’s complaint alleged that Starr misappropriated at least $8.7 million in investor funds from August 2009 through April 2010. The Order further finds that on or about September 10, 2010, Starr pled guilty to one count each of wire fraud (18 U.S.C. § 1343), money laundering (18 U.S.C. § 1956), and fraud by an investment advisor (15 U.S.C. § 80b-6) in the action styled United States v. Kenneth Starr, 10 Cr. 520 (S.D.N.Y.). On March 3, 2011, the United States District Court for the Southern District of New York entered a judgment against Starr sentencing him to ninety months in prison. He also was fined $300 in criminal monetary penalties, ordered to pay more than $30 million in restitution, and ordered to forfeit more than $29 million. The counts of the criminal indictment to which Starr pled guilty alleged, inter alia, that Starr defrauded investors and obtained money and property by means of materially false and misleading statements. Based on the above, the Order bars Starr from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent. Starr consented to the issuance of the Order. (Rel. 34-68826; IA-3544; File No. 3-15197) SEC Suspends Attorney and Accountant in the Matter of Kenneth Ira Starr, Esq.The U.S. Securities and Exchange Commission announced today that it has suspended Kenneth Ira Starr, Esq. from appearing or practicing before it. This action follows a judgment of conviction that was entered against Starr in United States v. Kenneth Starr, 10 Cr. 520 (S.D.N.Y.) (SHS). In September 2010, Starr pleaded guilty to one count each of wire fraud, money laundering, and fraud by an investment advisor. The counts of the criminal indictment to which Starr pled guilty alleged, inter alia, that Starr defrauded investors and obtained money and property by means of materially false and misleading statements. On March 3, 2011, the United States District Court for the Southern District of New York entered a judgment against Starr sentencing him to ninety months in prison. He also was fined $300 in criminal monetary penalties, ordered to pay more than $30 million in restitution, and ordered to forfeit more than $29 million. Today, the Commission issued an Order of Suspension Pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice that suspends Kenneth Ira Starr from appearing or practicing before the Commission. The Commission’s Order was based on Starr’s felony conviction. (Rel. 34-68827; File No. 3-15198) In the Matter of Ardsley Advisory PartnersOn February 5, 2013, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934 and Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Ardsley Advisory Partners (Ardsley). The Order finds that Ardsley, a Connecticut based registered investment adviser, violated Rule 105 of Exchange Act Regulation M (Rule 105), which prohibits buying shares of an equity security through a public offering after having sold short the same equity security during a restricted period, beginning five business days before the pricing of the offered securities and ending with such pricing. The Order finds that Ardsley willfully violated Rule 105 when it purchased securities in three public offerings occurring in April 2009, April 2010 and June 2010. Based on the above, the Order censures Ardsley and requires the firm to cease and desist from committing or causing any violations and any future violations of Rule 105. Ardsley will pay $506,671.50 in disgorgement and $55,065.39 in prejudgment interest, along with a $253,335 civil monetary penalty. Ardsley consented to the issuance of the Order without admitting or denying any of the findings contained therein, except as to the Commission’s jurisdiction over it and the subject matter of the proceedings, which were admitted. (Rel. 34-68828; IA-3545; File No. 3-15199) In the Matter of Juno Mother Earth Asset Management, LLCOn February 5, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Juno Mother Earth Asset Management, LLC (Juno). The Order finds that on August 14, 2012, a judgment was entered by consent against Juno in SEC v. Juno Mother Earth Asset Management, LLC, et al. (Civil Action Number 11 Civ. 1778 (TPG) (S.D.N.Y.)), permanently enjoining Juno from violations of Section 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 203A, 206(1), 206(2), 206(4) and 207 of the Advisers Act of 1940, and Rules 206(4)-2 and 206(4)-8 thereunder. The Order finds that the Commission’s complaint in SEC v. Juno Mother Earth Asset Management, LLC, et al. alleged that Juno, Arturo Allan Rodriguez Lopez a/k/a Arturo Rodriguez and Eugenio Verzili orchestrated a multi-faceted scheme to defraud a hedge fund under their control, as well as the investors in the fund, and failed to comply with their fiduciary obligations to the hedge fund, through: (a) misappropriating approximately $1.8 million of assets from a Juno-advised hedge fund; (b) fraudulently concealing their misappropriation from the fund’s independent directors; (c) inflating and misrepresenting Juno’s assets under management by approximately $40 million; (d) filing false Forms ADV with the Commission that, among other things, failed to disclose transactions between Juno and the hedge fund; (e) concealing Juno’s precarious financial condition; and (f) misrepresenting the amount of capital certain Juno partners had invested in a Juno-advised fund. Based on the above, the Order revokes Juno’s registration as an investment adviser. Juno consented to the issuance of the Order without admitting or denying any of the findings in the Commission’s Order, except that it admitted the entry of injunction. (Rel. IA-3546; File No. 3-15200) INVESTMENT COMPANY ACT RELEASESCredit Suisse Opportunity Funds, et al.An order has been issued on an application filed by Credit Suisse Opportunity Funds, et al., under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A) and (B) of the Act, and under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act. The order permits certain registered closed-end management investment companies to acquire shares of registered open end management investment companies that are within the same group of investment companies. (Rel. IC-30376 – February 4) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangeNational Stock Exchange, Inc. filed a proposed rule change (SR-NSX-2013-02) to adopt a new order type called the “Auto-Ex Only” order. Publication is expected in the Federal Register during the week of February 4. (Rel. 34-68807) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by EDGA Exchange, Inc. to amend Rule 11.13 to extend the operation of a pilot pursuant to Rule 11.13 until September 30, 2013 (SR-EDGA-2013-06) 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 February 4. (Rel. 34-68813) A proposed rule change filed by EDGX Exchange, Inc. to amend Rule 11.13 to extend the operation of a pilot pursuant to Rule 11.13 until September 30, 2013 (SR-EDGX-2013-06) 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 February 4. (Rel. 34-68814) A proposed rule change filed by NASDAQ OMX BX, Inc. relating [sic] to delay the operative date of a rule change to Exchange Rule 4121 (SR-BX-2013-009) 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 February 4. (Rel. 34-68815) A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2013-11) to [sic] proposes to delay the operative date of a rule change to Exchange Rule 133 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 February 4. (Rel. 34-68816) A proposed rule change filed by Miami International Securities Exchange LLC to Amend the MIAX Options Fee Schedule (SR-MIAX-2013-03) 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 February 4. (Rel. 34-68817) A proposed rule change filed by International Securities Exchange, LLC to amend ISE Rule 2128 relating to Clearly Erroneous Trades (SR-ISE-2013-12) 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 February 4. (Rel. 34-68822) Approval of Proposed Rule ChangesThe Commission approved proposed rule changes submitted by Boston Stock Exchange Clearing Corporation (SR-BSECC-2012-002); NASDAQ OMX BX, Inc. (SR-BX-2012-075); the NASDAQ Stock Market LLC (SR-NASDAQ-2012-142); NASDAQ OMX PHLX LLC (SR-PHLX-2012-142); and Stock Clearing Corporation of Philadelphia (SR-SCCP-2012-02) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 with respect to the amendment of the by-laws of the NASDAQ OMX Group, Inc. Publication is expected in the Federal Register during the week of February 4. (Rel. 34-68823) 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. N-2 First Trust Intermediate Duration Preferred & Income Trust, 120 EAST LIBERTY DRIVE, SUITE 400, WHEATON, IL, 60187, 630-765-8000 - 1,000 ($25,000.00) Equity, (File 333-186412 - Feb. 4) (BR. ) N-2 FS Global Credit Opportunities Fund-R, CIRA CENTER, 2929 ARCH STREET, SUITE 675, PHILADELPHIA, PA, 19104, 215-495-1150 - 0 ($1,030,000,000.00) Equity, (File 333-186413 - Feb. 4) (BR. ) N-2 FS Global Credit Opportunities Fund-A, CIRA CENTER, 2929 ARCH STREET, SUITE 675, PHILADELPHIA, PA, 19104, 215-495-1150 - 0 ($1,085,000,000.00) Equity, (File 333-186414 - Feb. 4) (BR. ) S-1 Snap Online Marketing Inc., 225 CEDAR HILL ST., SUITE 200, MARLBOROUGH, MA, 01752, (508) 630-2152 - 40,000,000 ($400,000.00) Equity, (File 333-186415 - Feb. 4) (BR. 03) S-3 CITIGROUP INC, 399 PARK AVENUE, NEW YORK, NY, 10022, 2125591000 - 0 ($950,000,000.00) Debt, (File 333-186425 - Feb. 4) (BR. 12A) S-1 U.S. China Mining Group, Inc., 15310 AMBERLY DRIVE, SUITE 250, TAMPA, FL, 33647, 813-514-2873 - 308,000 ($457,520.00) Equity, (File 333-186437 - Feb. 4) (BR. 09B) S-3ASR CURRENCYSHARES AUSTRALIAN DOLLAR TRUST, C/O GUGGENHEIM INVESTMENTS, 805 KING FARM BOULEVARD, SUITE 600, ROCKVILLE, MD, 20850, 301-296-5100 - 0 ($521,000,000.00) Other, (File 333-186439 - Feb. 4) (BR. 08B) S-3 CURRENCYSHARES EURO TRUST, C/O GUGGENHEIM INVESTMENTS, 805 KING FARM BOULEVARD, SUITE 600, ROCKVILLE, MD, 20850, 301-296-5100 - 0 ($1,334,800,000.00) Other, (File 333-186440 - Feb. 4) (BR. 08B) S-3 CURRENCYSHARES JAPANESE YEN TRUST, C/O GUGGENHEIM INVESTMENTS, 805 KING FARM BOULEVARD, SUITE 600, ROCKVILLE, MD, 20850, 301-296-5100 - 0 ($536,900,000.00) Other, (File 333-186441 - Feb. 4) (BR. 08B) S-8 XILINX INC, 2100 LOGIC DR, SAN JOSE, CA, 95124, 4085597778 - 5,500,000 ($202,015,000.00) Equity, (File 333-186442 - Feb. 4) (BR. 10B) S-8 SOTHEBYS, 1334 YORK AVENUE, NEW YORK, NY, 10021, 212-606-7000 - 0 ($21,841,097.00) Equity, (File 333-186444 - Feb. 4) (BR. 03C) S-8 LSI INDUSTRIES INC, 10000 ALLIANCE RD, P O BOX 42728, CINCINNATI, OH, 45242, 5135796411 - 800,000 ($5,792,000.00) Equity, (File 333-186446 - Feb. 4) (BR. 11A) S-4 Starburst II, Inc., 38 GLEN AVENUE, NEWTON, MA, 02459, 6179289300 - 0 ($4,976,074,707.00) Equity, (File 333-186448 - Feb. 4) (BR. ) S-1 22nd Century Group, Inc., 9530 MAIN STREET, CLARENCE,, NY, 14031, (716) 270-1523 - 0 ($19,650,000.00) Equity, (File 333-186449 - Feb. 4) (BR. 05A) RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-----------------------------------------------------------------------------------------
A123 SYSTEMS, INC. DE 1.01,2.01,5.02,9.01 01/29/13
ACME PACKET INC DE 1.01,2.02,8.01,9.01 02/04/13
ACNB CORP PA 5.03,9.01 01/29/13
ACTUATE CORP DE 2.02,9.01 02/04/13
ADT Corp DE 1.01,9.01 01/29/13
ADVENT SOFTWARE INC /DE/ DE 2.02,9.01 02/04/13
AgFeed Industries, Inc. NV 1.01,2.02,4.02,5.02, 01/31/13
9.01
AIR LEASE CORP DE 1.01 02/01/13
AIR LEASE CORP DE 8.01,9.01 01/29/13
AIS FUTURES FUND IV LP DE 3.02 01/31/13
ALLIANT TECHSYSTEMS INC DE 5.02,7.01,9.01 01/31/13
Alliqua, Inc. FL 5.02 01/29/13
ALNYLAM PHARMACEUTICALS, INC. 1.01 02/03/13
AMERICAN RIVER BANKSHARES CA 5.02,9.01 02/04/13
ANADARKO PETROLEUM CORP DE 2.02,9.01 02/04/13
Annie's, Inc. DE 7.01,9.01 02/04/13
Antero Resources LLC DE 1.01,2.03,9.01 01/30/13
ARBITRON INC DE 8.01,9.01 02/04/13
Arno Therapeutics, Inc DE 5.02,9.01 01/30/13
ARX Gold Corp 4.01 12/14/12 AMEND
ARX Gold Corp 4.01 12/14/12 AMEND
ASIAINFO-LINKAGE, INC DE 2.02,9.01 02/04/13
ASTRO MED INC /NEW/ RI 2.01,9.01 01/31/13
AT&T INC. DE 5.02 02/01/13
AVALANCHE INTERNATIONAL, CORP. NV 5.01,5.02 02/04/13
AVAYA INC DE 8.01,9.01 02/01/13
AXCELIS TECHNOLOGIES INC DE 2.02,9.01 02/04/13
AXIS CAPITAL HOLDINGS LTD 2.02,9.01 02/04/13
BALLY TECHNOLOGIES, INC. NV 2.02,9.01 01/31/13
Bank of Marin Bancorp CA 5.02 02/01/13
BankFinancial CORP 7.01,8.01,9.01 02/01/13
Beachgate Acquisition Corp DE 5.03 02/04/13
BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 02/04/13
BEHRINGER HARVARD SHORT TERM OPPORTUN TX 7.01,9.01 02/04/13
BILL BARRETT CORP DE 2.02,7.01,9.01 01/31/13
BIOLIFE SOLUTIONS INC DE 5.02,7.01,9.01 12/30/12
BIOLOGIX HAIR INC. NV 5.02,9.01 01/30/13
BIOSANTE PHARMACEUTICALS INC DE 8.01 01/31/13
BioScrip, Inc. DE 2.01,8.01,9.01 02/01/13
BOLD ENERGY INC. NV 1.01,2.01,3.02,5.01, 02/04/13
5.02,5.03,8.01,9.01
Bonanza Creek Energy, Inc. DE 1.01,9.01 01/31/13
BOTTOMLINE TECHNOLOGIES INC /DE/ DE 2.02,9.01 02/04/13
BRIGHT HORIZONS FAMILY SOLUTIONS INC. DE 1.01,1.02,2.03,9.01 01/30/13
BRISTOL ENERGY FUND LP NY 1.01,5.03,9.01 01/30/13
Bristow Group Inc DE 2.02,9.01 02/04/13
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 8.01,9.01 02/04/13
Bullfrog Gold Corp. DE 3.02,9.01 02/04/13
Cadista Holdings Inc. DE 1.01 01/30/13
CAESARS ENTERTAINMENT Corp DE 8.01,9.01 02/04/13
CAESARS ENTERTAINMENT Corp DE 7.01 02/04/13
Calamos Asset Management, Inc. /DE/ 2.02,5.02,8.01,9.01 01/30/13
Cape Bancorp, Inc. MD 2.02,9.01 02/01/13
CAPITAL ONE FINANCIAL CORP DE 5.02 01/31/13
Carbonite Inc DE 2.02,9.01 02/04/13
CARDTRONICS INC DE 5.02 02/01/13
Celator Pharmaceuticals Inc DE 4.01,9.01 01/30/13
Celldex Therapeutics, Inc. DE 8.01 02/04/13
CenterPoint Energy Transition Bond CO DE 8.01,9.01 02/01/13
CEPHEID CA 5.02 02/02/13
Cheniere Energy Partners, L.P. DE 1.01,2.03,9.01 01/29/13
CHESAPEAKE ENERGY CORP OK 5.02,9.01 01/29/13
Chesapeake Lodging Trust MD 8.01,9.01 02/01/13
CHEVRON CORP DE 5.02 01/30/13
China Logistics Group Inc FL 7.01,9.01 02/04/13
China VantagePoint Acquisition Co 5.03 02/01/13
CIGNA CORP DE 1.01,7.01 02/04/13
CLOROX CO /DE/ DE 2.02,7.01,9.01 02/04/13
CMS ENERGY CORP MI 7.01,9.01 02/04/13
COIL TUBING TECHNOLOGY, INC. FL 5.02,8.01,9.01 01/28/13
COINSTAR INC DE 5.02,9.01 01/31/13
CombiMatrix Corp DE 3.02 01/29/13
COMMONWEALTH BIOTECHNOLOGIES INC VA 4.01,9.01 02/04/13
CommonWealth REIT MD 1.01,9.01 01/31/13
CONAGRA FOODS INC /DE/ DE 2.03,9.01 01/29/13
Consolidation Services, Inc. DE 1.01,3.02,5.02,9.01 01/11/13
Constellation Energy Partners LLC DE 1.01,7.01,9.01 02/01/13
CONSUMER PORTFOLIO SERVICES INC CA 2.02,9.01 02/04/13
Copano Energy, L.L.C. 1.01,9.01 01/29/13
CORNERSTONE BANCSHARES INC TN 7.01 02/01/13
COWEN GROUP, INC. DE 8.01,9.01 02/01/13
CROSSROADS SYSTEMS INC DE 3.01 02/04/13
CU Bancorp CA 2.02,9.01 01/31/13
DelMar Pharmaceuticals, Inc. 1.01,3.02,9.01 01/31/13
DELTA AIR LINES INC /DE/ DE 7.01,9.01 02/04/13
DENBURY RESOURCES INC DE 2.02,9.01 02/04/13
DIAMOND HILL INVESTMENT GROUP INC OH 8.01 02/04/13
DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 02/04/13
Digital Development Group Corp NV 1.01,5.02,9.01 01/30/13
Duke Energy CORP DE 8.01,9.01 02/04/13
EastBridge Investment Group Corp AZ 1.01,9.01 01/31/13
Echo Therapeutics, Inc. DE 8.01,9.01 01/31/13
EDUCATION MANAGEMENT CORPORATION 8.01,9.01 02/01/13
Edwards Lifesciences Corp DE 2.02,9.01 02/04/13
El Paso Pipeline Partners, L.P. DE 7.01 02/01/13
ELIZABETH ARDEN INC FL 2.02 01/31/13 AMEND
Eloqua, Inc. 2.02,9.01 02/01/13
Emergent BioSolutions Inc. DE 8.01,9.01 02/04/13
Fabrinet E9 2.02,9.01 02/04/13
FAUQUIER BANKSHARES, INC. VA 2.02,9.01 02/04/13
FINISH LINE INC /IN/ IN 8.01 02/04/13
First California Financial Group, Inc DE 7.01,9.01 01/30/13
FIRST CAPITAL BANCORP, INC. VA 2.02,9.01 02/01/13
FIRST COLOMBIA GOLD CORP. NV 1.01,3.02,9.01 01/23/13
FIRST NIAGARA FINANCIAL GROUP INC DE 5.02 02/04/13
FIRSTMERIT CORP /OH/ OH 3.03,5.03,8.01,9.01 01/31/13
FORD MOTOR CO DE 8.01,9.01 02/01/13
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 02/01/13
Freeze Tag, Inc. DE 1.02,3.02,9.01 01/29/13
FUTURES PORTFOLIO FUND L.P. MD 3.02 02/01/13
FX ENERGY INC NV 8.01,9.01 02/04/13
GANNETT CO INC /DE/ DE 2.02,9.01 02/04/13
General Growth Properties, Inc. DE 2.02,7.01,9.01 02/04/13
GEOSPACE TECHNOLOGIES CORP DE 8.01,9.01 02/04/13
GILEAD SCIENCES INC DE 2.02,9.01 02/04/13
GLADSTONE LAND Corp DE 1.01,9.01 02/04/13
Global Eagle Entertainment Inc. DE 5.07,8.01 01/31/13
Global Vision Holdings, Inc. NV 1.01,1.02,5.02,9.01 01/29/13
GRYPHON GOLD CORP NV 7.01,9.01 02/04/13
Guar Global Ltd. NV 5.02 02/03/13
H&E Equipment Services, Inc. DE 1.01,2.03,8.01,9.01 02/04/13
HARRIS CORP /DE/ DE 7.01 02/04/13
HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,9.01 02/04/13
Hartman Short Term Income Properties MD 1.01,9.01 02/04/13
HARVEST NATURAL RESOURCES, INC. DE 3.03,9.01 02/04/13
HD SUPPLY, INC. DE 1.01,8.01,9.01 02/04/13
Hillenbrand, Inc. IN 2.02,9.01 02/04/13
Hillshire Brands Co MD 8.01,9.01 02/04/13
Hines Global REIT, Inc. MD 8.01 02/04/13
HOLOGIC INC DE 2.02,9.01 02/04/13
HomeStreet, Inc. WA 2.02,9.01 02/04/13
Horizon Technology Finance Corp DE 5.02 02/04/13
HOT TOPIC INC /CA/ CA 5.02 01/31/13
HSBC USA INC /MD/ MD 8.01 02/04/13
HUMANA INC DE 2.02,7.01,9.01 02/04/13
HUTCHINSON TECHNOLOGY INC MN 5.07 01/30/13
I-LEVEL MEDIA GROUP INC NV 4.01,9.01 02/04/13
ICU MEDICAL INC/DE DE 8.01,9.01 02/04/13
IDS Solar Technologies, Inc. NV 8.01 02/04/13
IEC ELECTRONICS CORP DE 5.07 01/30/13
IEC ELECTRONICS CORP DE 5.02 11/13/12 AMEND
IEC ELECTRONICS CORP DE 5.02 08/07/12 AMEND
Immunotech Laboratories, Inc. 9.01 02/04/13
Immunotech Laboratories, Inc. 5.02,9.01 02/04/13
IMPLANT SCIENCES CORP MA 2.02,7.01,9.01 02/02/13
Infinity Resources Holdings Corp. NV 7.01,9.01 02/04/13
INFOBLOX INC 5.02,9.01 01/31/13
INGLES MARKETS INC NC 2.02,9.01 02/04/13
INNSUITES HOSPITALITY TRUST OH 5.02 01/30/13
INPHI Corp DE 2.02,9.01 02/04/13
InspireMD, Inc. DE 2.02,9.01 02/04/13
Interactive Intelligence Group, Inc. IN 2.02,9.01 02/04/13
INTERSTATE POWER & LIGHT CO IA 8.01,9.01 02/04/13
INUVO, INC. NV 1.01,7.01,9.01 01/31/13
INUVO, INC. NV 1.01 01/29/13
IRON MOUNTAIN INC DE 1.01,9.01 01/31/13
J C PENNEY CO INC DE 1.01,2.03,2.04,8.01, 01/30/13
9.01
J CREW GROUP INC DE 1.01,2.03,9.01 02/04/13
J2 GLOBAL, INC. DE 8.01,9.01 02/04/13
JOURNAL COMMUNICATIONS INC 9.01 12/05/12 AMEND
KBS Real Estate Investment Trust III, MD 1.01,2.01,2.03,9.01 01/29/13
KCAP Financial, Inc. DE 8.01,9.01 02/04/13
KIMBALL INTERNATIONAL INC IN 2.02,9.01 02/04/13
KINDER MORGAN ENERGY PARTNERS L P DE 1.01,9.01 01/29/13
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 02/01/13
KINDER MORGAN ENERGY PARTNERS L P DE 1.01 01/29/13 AMEND
KINDER MORGAN MANAGEMENT LLC DE 7.01 02/01/13
KINDER MORGAN, INC. DE 7.01 02/01/13
KNIGHT CAPITAL GROUP, INC. DE 2.05 01/29/13
LA JOLLA PHARMACEUTICAL CO CA 7.01,9.01 01/31/13
LADENBURG THALMANN FINANCIAL SERVICES FL 1.01,9.01 01/30/13
LAS VEGAS SANDS CORP NV 5.02 01/29/13
LEGGETT & PLATT INC MO 2.02,7.01,9.01 02/04/13
LEXMARK INTERNATIONAL INC /KY/ DE 8.01 02/04/13
Life Technologies Corp DE 2.02,7.01,9.01 02/04/13
LIGHTPATH TECHNOLOGIES INC DE 5.07 01/31/13
LIQUIDITY SERVICES INC DE 5.02,7.01,9.01 02/04/13
LIQUIDMETAL TECHNOLOGIES INC DE 5.02,9.01 01/31/13
LIVEPERSON INC DE 5.02 01/30/13
LIVEWIRE ERGOGENICS INC. 4.01,5.02,9.01 01/31/13
Location Based Technologies, Inc. NV 1.01,9.01 01/29/13
lululemon athletica inc. DE 5.02,9.01 01/31/13
LUMINEX CORP DE 2.02,9.01 02/04/13
MAGELLAN GOLD Corp NV 2.03,9.01 01/31/13
MAGELLAN GOLD Corp NV 2.03,9.01 12/31/12
MAGELLAN PETROLEUM CORP /DE/ DE 3.01,9.01 02/04/13 AMEND
MARKEL CORP VA 2.02,9.01 02/04/13
MCGRAW-HILL COMPANIES INC NY 8.01,9.01 02/04/13
MDC HOLDINGS INC DE 5.02 02/01/13
MEDICINES CO /DE DE 1.01,9.01 02/03/13
MEDIVATION, INC. DE 5.02 01/31/13
MERCURY GENERAL CORP CA 2.02,9.01 02/04/13
MFRI INC DE 5.03,9.01 01/30/13
MGC DIAGNOSTICS Corp MN 5.02,9.01 02/01/13
MICROFINANCIAL INC MA 2.02,5.02,9.01 01/30/13
MIMEDX GROUP, INC. FL 1.01,2.03 01/31/13
MOVADO GROUP INC NY 1.02,9.01 01/30/13
MRV COMMUNICATIONS INC DE 5.02,9.01 01/31/13
MWI Veterinary Supply, Inc. DE 2.02,9.01 02/04/13
NANOMETRICS INC DE 2.02 02/04/13
NATIONAL BANCSHARES CORP /OH/ OH 1.01,9.01 02/01/13
NATIONAL HOLDINGS CORP DE 4.01,9.01 01/29/13
NATIONAL MENTOR HOLDINGS, INC. DE 1.01,2.03,9.01 02/04/13
NATIONAL RURAL UTILITIES COOPERATIVE DC 8.01 01/30/13
Nationstar Mortgage Holdings Inc. DE 8.01,9.01 02/04/13
Naugatuck Valley Financial Corp 5.02,8.01,9.01 01/30/13
Net Element International, Inc. E9 5.02 01/29/13
NEW HAMPSHIRE THRIFT BANCSHARES INC DE 2.02,9.01 02/01/13
NEW YORK COMMUNITY BANCORP INC DE 7.01,9.01 02/04/13
NEWS CORP 8.01,9.01 02/04/13
Nielsen Holdings N.V. P7 7.01 02/04/13
Noble Corp / Switzerland V8 8.01,9.01 02/04/13
NORTHEAST BANCORP /ME/ ME 2.02,9.01 12/31/12
NorthStar Healthcare Income, Inc. MD 1.01,7.01,9.01 02/04/13
OCEANEERING INTERNATIONAL INC DE 7.01 02/01/13
Och-Ziff Capital Management Group LLC DE 7.01 02/04/13
Oculus Innovative Sciences, Inc. CA 5.02,9.01 02/01/13
OHIO LEGACY CORP OH 1.01,9.01 02/01/13
OHIO VALLEY BANC CORP OH 8.01,9.01 02/04/13
OLD DOMINION FREIGHT LINE INC/VA VA 5.03,9.01 01/29/13
ONCOGENEX PHARMACEUTICALS, INC. DE 5.02,9.01 01/31/13
ONEOK INC /NEW/ OK 7.01,9.01 02/04/13
ONEOK Partners LP DE 7.01,9.01 02/04/13
ORRSTOWN FINANCIAL SERVICES INC PA 8.01,9.01 01/31/13
OTELCO INC. DE 9.01 01/31/13 AMEND
PACIFIC CONTINENTAL CORP OR 8.01,9.01 02/01/13
PALMETTO BANCSHARES INC SC 1.02,8.01,9.01 02/01/13
Pandora Media, Inc. DE 5.02 02/04/13
PATHEON INC 5.02,9.01 01/29/13
Patriot Minefinders Inc. NV 5.02,7.01,9.01 02/01/13
PATRIOT SCIENTIFIC CORP DE 1.01,9.01 07/11/12 AMEND
PBF Energy Inc. DE 7.01,9.01 02/04/13
PENFORD CORP WA 5.07 01/31/13
PERNIX THERAPEUTICS HOLDINGS, INC. MD 8.01 01/24/13
PERVASIP CORP NY 3.02,5.03,9.01 01/16/13
Phillips Edison - ARC Shopping Center MD 1.01,2.01,8.01,9.01 02/04/13
Phillips Edison - ARC Shopping Center MD 1.01,2.01,8.01,9.01 02/04/13
PIEDMONT NATURAL GAS CO INC NC 1.01,9.01 01/29/13
PINNACLE WEST CAPITAL CORP AZ 7.01,9.01 02/04/13
POLARIS INDUSTRIES INC/MN MN 5.02,9.01 01/31/13
POWER INTEGRATIONS INC CA 2.02,9.01 02/04/13
Primoris Services Corp DE 9.01 11/19/12 AMEND
Pulse Beverage Corp NV 4.01,9.01 02/04/13
REAL DATA INC UT 8.01 01/31/13
Real Estate Contacts, Inc. 4.01 02/01/13
RESPECT YOUR UNIVERSE, INC. NV 5.02 01/30/13
RICHFIELD OIL & GAS Co NV 8.01,9.01 02/04/13
ROBERTS REALTY INVESTORS INC GA 8.01 01/30/13
ROWAN COMPANIES PLC X0 7.01,9.01 02/04/13
ROYAL CARIBBEAN CRUISES LTD 2.02,7.01,9.01 02/04/13
RUDOLPH TECHNOLOGIES INC DE 2.02,9.01 02/04/13
SaasMAX, Inc. NV 4.01 02/04/13 AMEND
SAFEWAY INC DE 5.02,8.01,9.01 02/04/13
San Lotus Holding Inc NV 1.01,9.01 02/02/13
SANFILIPPO JOHN B & SON INC DE 8.01,9.01 02/01/13
Scio Diamond Technology Corp NV 5.02,7.01,9.01 01/29/13
Sentio Healthcare Properties Inc MD 8.01 02/04/13
Seven Arts Entertainment Inc. NV 8.01 01/28/13
Shire plc 8.01,9.01 02/01/13
SIMON PROPERTY GROUP INC /DE/ DE 2.02,7.01,9.01 02/04/13
Sino Agro Food, Inc. NV 3.02 02/04/13
Skinny Nutritional Corp. NV 1.02,2.04 01/29/13
SMART ONLINE INC DE 2.03,3.02 01/29/13
SolarWinds, Inc. DE 2.02,9.01 02/04/13
Spectrum Brands Holdings, Inc. DE 5.02,8.01 01/29/13
Starz DE 7.01,9.01 01/30/13
Starz, LLC DE 7.01,9.01 01/30/13
Steadfast Income REIT, Inc. MD 7.01,9.01 01/31/13
Sunshine Heart, Inc. DE 5.02,8.01,9.01 01/29/13
SUNVESTA, INC. FL 5.02,9.01 12/31/12
SUPERVALU INC DE 5.02,9.01 02/03/12
Swingplane Ventures, Inc. NV 4.01,9.01 02/01/13
Symetra Financial CORP DE 2.02,8.01,9.01 02/04/13
SYSCO CORP DE 2.02,9.01 02/04/13
TECO ENERGY INC FL 8.01,9.01 02/04/13
TELETOUCH COMMUNICATIONS INC DE 8.01,9.01 01/28/13
TEMPUR PEDIC INTERNATIONAL INC DE 5.02,9.01 02/04/13
TENGION INC DE 1.01,9.01 01/30/13
Territorial Bancorp Inc. MD 8.01,9.01 02/04/13
Territorial Bancorp Inc. MD 8.01,9.01 02/04/13
THOR INDUSTRIES INC DE 2.02,9.01 02/04/13
TORCHMARK CORP DE 2.02,9.01 02/04/13
TRANS LUX CORP DE 1.01,2.03,9.01 01/30/13
TransDigm Group INC DE 2.02,9.01 02/04/13
TRINITY CAPITAL CORP NM 5.02 02/04/13
TRINITY INDUSTRIES INC DE 1.01,2.03,9.01 02/01/13
ULTRATECH INC DE 5.02 01/28/13
UNION FIRST MARKET BANKSHARES CORP VA 8.01,9.01 02/01/13
UNITED RENTALS INC /DE DE 1.01,2.03,9.01 02/01/13
UNITED THERAPEUTICS Corp DE 5.02,7.01,9.01 01/31/13
UQM TECHNOLOGIES INC CO 5.02 01/31/13
USChina Taiwan Inc NV 5.01 12/31/12
USChina Taiwan Inc NV 5.02 12/31/12
VALLEY FORGE COMPOSITE TECHNOLOGIES, FL 8.01,9.01 02/04/13
VALUECLICK INC/CA DE 5.02 01/29/13
VelaTel Global Communications, Inc. NV 1.01,9.01 02/04/13
VENTRUS BIOSCIENCES INC DE 5.03,8.01,9.01 01/30/13
Vera Bradley, Inc. 4.01,9.01 01/29/13
VERIFONE SYSTEMS, INC. DE 5.02,8.01,9.01 02/04/13
VERINT SYSTEMS INC DE 8.01 02/04/13
Verso Paper Corp. DE 1.01,2.03,9.01 01/31/13
VII Peaks-KBR Co-Optivist Income BDC MD 2.02 01/30/13
VITESSE SEMICONDUCTOR CORP DE 5.02 01/30/13
Warner Chilcott plc 5.02 02/04/13
WELLCARE HEALTH PLANS, INC. DE 8.01 02/04/13
WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 01/29/13
WERNER ENTERPRISES INC NE 7.01,9.01 02/04/13
WESBANCO INC WV 7.01,9.01 02/04/13
WESTELL TECHNOLOGIES INC DE 2.02,9.01 02/04/13
Western Gas Equity Partners, LP DE 5.02,9.01 01/30/13
Western Refining, Inc. DE 7.01,9.01 02/04/13
WESTFIELD FINANCIAL INC MA 5.02 01/29/13
Winthrop Realty Trust OH 1.01,5.02,9.01 02/01/13
WMS INDUSTRIES INC /DE/ DE 1.01,9.01 01/30/13
WOODSTOCK HOLDINGS INC. GA 3.01 02/01/13 AMEND
YUM BRANDS INC NC 2.02,9.01 02/04/13
http://www.sec.gov/news/digest/2013/dig020513.htm
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