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Commission AnnouncementsCommission MeetingsClosed Meeting on Thursday, February 21, 2013 at 2:00 p.m.The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; other matters relating to enforcement proceedings; and an adjudicatory matter. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGSIn the Matter of Alero Odell Mack, Jr.An Administrative Law Judge has issued an Initial Decision in Alero Odell Mack, Jr., Admin. Proc. File No. 3-15036. The Order Instituting Proceedings (OIP) alleges that on August 7, 2012, the United States District Court for the Central District of California (Court) entered a final judgment against Alero Odell Mack, Jr. (Mack), in SEC v. Mack, No. CV 10-8383 DSF (PJWx) (Underlying Action), permanently enjoining him from future 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 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. The OIP also alleges that the Securities and Exchange Commission’s complaint filed in the Underlying Action alleges that Mack raised approximately $4 million from at least twenty-five investors in California and Arizona through various fraudulent investment schemes involving the offer and sale of securities. The Initial Decision grants the Motion for Summary Disposition filed by the Division of Enforcement and permanently bars Mack from association with an investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. (Initial Decision No. 482) INVESTMENT COMPANY ACT RELEASESEmerging Global Advisors, LLC, et al.A notice has been issued giving interested persons until March 11, 2013, to request a hearing on an application filed by Emerging Global Advisors, LLC, et al., for an order to permit: (a) actively-managed 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-30382 - February 13) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2013-14) to extend the pilot period of the trading pause for certain NMS Stocks has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68915) A proposed rule change filed by NASDAQ OMX BX, Inc. (SR-BX-2013-012) to extend the pilot period of the trading pause for certain NMS Stocks has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68916) A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2013-026) to extend the pilot period of the trading pause for certain NMS Stocks has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68917) A proposed rule change (SR-FINRA-2013-014) filed by Financial Industry Regulatory Authority, Inc. relating to the General Securities Sales Supervisor (Series 9/10) registration category 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 11. (Rel. 34-68918) A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2013-13) relating to its Customer Rebate Program and other technical amendments 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 February 11. (Rel. 34-68924) Proposed Rule ChangeInternational Securities Exchange, LLC filed with the Securities and Exchange Commission a proposed rule change (SR-ISE-2013-08) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to amend the minimum trading increments for mini options. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68919) Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule ChangeThe Commission instituted proceedings to determine whether to approve or disapprove proposed rule changes (SR-NYSE-2012-57; SR-NYSEMKT-2012-58) deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d) – Equities and related Supplementary Material. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68923) 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-4 KINDER MORGAN ENERGY PARTNERS L P, 500 DALLAS, SUITE 1000, HOUSTON, TX, 77002, 713-369-9000 - 0 ($3,705,294,570.72) Equity, (File 333-186623 - Feb. 13) (BR. 02C) S-4 Knight Holdco, Inc., 545 WASHINGTON BOULEVARD, JERSEY CITY, NJ, 07310, 201-222-9400 - 0 ($1,639,143,410.00) Other, (File 333-186624 - Feb. 13) (BR. 12) S-3 WARREN RESOURCES INC, 1114 AVENUE OF THE AMERICAS, 34TH FLOOR, NEW YORK, NY, 10036, 2126979660 - 0 ($400,000,000.00) Other, (File 333-186625 - Feb. 13) (BR. 04B) S-1 Olivia Inc., 8605 SANTA MONICA BLVD., #88454, LOS ANGELES, CA, 90069-4109, 213-947-1011 - 500,000 ($80,000.00) Equity, (File 333-186629 - Feb. 13) (BR. 04) S-8 Pioneer Exploration Inc., 2700 NEWPORT BLVD, SUITE 190, NEWPORT BEACH, CA, 92663, 877-700-0422 - 5,000,000 ($450,000.00) Equity, (File 333-186631 - Feb. 13) (BR. 09B) S-8 NYTEX Energy Holdings, Inc., 12222 MERIT DRIVE, SUITE 1850, DALLAS, TX, 75251, 972-770-4700 - 0 ($2,250,000.00) Equity, (File 333-186635 - Feb. 13) (BR. 04A) S-11 COLE REAL ESTATE INCOME STRATEGY (DAILY NAV), INC., 2325 EAST CAMELBACK ROAD, SUITE 1100, PHOENIX, AZ, 85016, 602 778 8700 - 0 ($25,000,000.00) Equity, (File 333-186656 - Feb. 13) (BR. 08A) S-1 eLayaway, Inc., 1625 SUMMIT LAKE DRIVE, SUITE 205, TALLAHASSEE, FL, 32317, 850-219-8210 - 2,000,000,000 ($1,400,000.00) Equity, (File 333-186658 - Feb. 13) (BR. 03B) S-1 TWO RIVERS WATER Co, 2000 S COLORADO BLVD., ANNEX STE 420, DENVER, CO, 80222, 303-222-1000 - 7,700,000 ($7,740,000.00) Equity, (File 333-186665 - Feb. 13) (BR. 05A) S-8 HomeTrust Bancshares, Inc., 10 WOODFIN STREET, ASHEVILLE, NC, 28801, 828-259-3939 - 2,962,400 ($42,457,256.00) Equity, (File 333-186666 - Feb. 13) (BR. 07B) S-1 Targeted Medical Pharma, Inc., 2980 BEVERLY GLEN CIRCLE, SUITE 301, LOS ANGELES, CA, 90077, 310-474-9809 - 0 ($50,159,144.76) Equity, (File 333-186667 - Feb. 13) (BR. 08) S-1 MODEL N INC, 3200 BRIDGE PARKWAY, REDWOOD CITY, CA, 94065, 0 ($75,000,000.00) Equity, (File 333-186668 - Feb. 13) (BR. 03B) S-1 MARIN SOFTWARE INC, 123 MISSION ST, 25TH FLOOR, SAN FRANCISCO, CA, 94105, 415-399-2580 - 0 ($75,000,000.00) Equity, (File 333-186669 - Feb. 13) (BR. 03C) S-3 PROCERA NETWORKS INC, 4121 CLIPPER COURT, FREMONT, CA, 94538, 510-230-2777 - 825,060 ($13,679,494.80) Equity, (File 333-186670 - Feb. 13) (BR. 03C) S-8 PROCERA NETWORKS INC, 4121 CLIPPER COURT, FREMONT, CA, 94538, 510-230-2777 - 412,000 ($7,321,240.00) Equity, (File 333-186671 - Feb. 13) (BR. 03C) S-3 WALTER INVESTMENT MANAGEMENT CORP, 3000 BAYPORT DRIVE, SUITE 1100, TAMPA, FL, 33607, 813-421-7600 - 891,265 ($40,267,352.70) Equity, (File 333-186672 - Feb. 13) (BR. 07) S-8 New Source Energy Partners L.P., 914 NORTH BROADWAY, SUITE 230, OKLAHOMA CITY, OK, 73102, (405) 272-3028 - 882,000 ($17,304,840.00) Limited Partnership Interests, (File 333-186673 - Feb. 13) (BR. 04B) 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
-----------------------------------------------------------------------------------------
ACCO BRANDS CORP DE 2.02,9.01 02/13/13
ACCURAY INC DE 2.03,3.02,7.01 02/13/13
ACHILLION PHARMACEUTICALS INC DE 7.01 02/13/13
ACORDA THERAPEUTICS INC 2.02,9.01 02/13/13
ACTIVE POWER INC DE 2.02,9.01 02/11/13
Air Transport Services Group, Inc. DE 2.02,7.01,9.01 02/13/13
Alamo Energy Corp. NV 8.01 02/08/13
ALION SCIENCE & TECHNOLOGY CORP DE 2.02,7.01,8.01 02/13/13
ALLIANCEBERNSTEIN HOLDING L.P. DE 2.02,7.01,9.01 02/12/13
ALLIANCEBERNSTEIN L.P. DE 2.02,7.01,9.01 02/12/13
Allied World Assurance Co Holdings, A 2.02,9.01 02/13/13
ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 5.03,9.01 02/08/13
Altisource Portfolio Solutions S.A. N4 2.02,9.01 02/13/13
AMERICAN CAMPUS COMMUNITIES INC MD 2.02,7.01,9.01 02/12/13
AMERICAN CAMPUS COMMUNITIES INC MD 2.01,9.01 11/30/12 AMEND
AMERICAN CORDILLERA MINING Corp NV 1.01,7.01,9.01 02/05/13 AMEND
AMERIGO ENERGY, INC. DE 8.01,9.01 02/13/13
AMKOR TECHNOLOGY INC DE 2.02,9.01 02/13/13
Angie's List, Inc. DE 2.02,9.01 02/13/13
API Technologies Corp. DE 2.02,9.01 02/12/13
Apollo Global Management LLC DE 7.01,9.01 02/13/13
APPLIED MATERIALS INC /DE DC 5.02 02/11/13
APPLIED MATERIALS INC /DE DC 2.02,9.01 02/13/13
ARAMARK CORP DE 7.01 02/13/13
ARC Group Worldwide, Inc. UT 2.02,9.01 02/13/13
Argo Group International Holdings, Lt 7.01,9.01 02/13/13
Arlington Asset Investment Corp. VA 7.01,9.01 02/13/13
Armour Residential REIT, Inc. MD 8.01,9.01 03/13/12
ARROWHEAD RESEARCH CORP DE 2.02,9.01 02/13/13
ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 02/13/13
ASSURED PHARMACY, INC. NV 3.02 02/05/13
ATLANTICA INC UT 5.02 05/09/12
ATLAS AIR WORLDWIDE HOLDINGS INC DE 2.02,9.01 02/13/13
AUTHENTIDATE HOLDING CORP DE 8.01,9.01 02/13/13
AVEO PHARMACEUTICALS INC DE 2.02,8.01,9.01 02/12/13
AVEO PHARMACEUTICALS INC DE 7.01,9.01 02/13/13
AVIS BUDGET GROUP, INC. DE 2.02,9.01 02/13/13
BARRETT BUSINESS SERVICES INC MD 2.02,9.01 02/12/13
BLACKBAUD INC 2.02,9.01 02/13/13
BlackRock Kelso Capital CORP DE 8.01,9.01 02/13/13
BLUCORA, INC. DE 2.02,7.01,9.01 02/13/13
BlueLinx Holdings Inc. DE 2.02,9.01 02/13/13
BOISE CASCADE Co DE 1.01,5.02,8.01,9.01 02/08/13
BRAZIL GOLD CORP. NV 5.02 01/30/13 AMEND
BRINKER INTERNATIONAL INC DE 5.02,9.01 02/12/13
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 7.01,9.01 02/13/13
BROADWIND ENERGY, INC. DE 1.01,3.03,5.03,8.01, 02/12/13
9.01
C&J Energy Services, Inc. DE 2.02,7.01,9.01 02/13/13
CAFEPRESS INC. DE 2.02,9.01 02/13/13
CAI International, Inc. 9.01 02/13/13
CALPINE CORP DE 2.02,9.01 02/13/13
Calumet Specialty Products Partners, DE 2.02 02/13/13
CannaVEST Corp. TX 1.01,2.03,3.02,5.01, 11/16/12 AMEND
5.02,5.03,5.05,9.01
CAPITAL ONE FINANCIAL CORP DE 7.01 02/13/13
CardioNet, Inc. CA 2.02,9.01 02/13/13
CARDTRONICS INC DE 7.01 02/13/13
CCFNB BANCORP INC PA 5.02 02/12/13
CDW Corp DE 2.02,9.01 02/13/13
CENTURYLINK, INC LA 2.02,8.01,9.01 02/13/13
Ceres, Inc. DE 5.02,5.07,9.01 02/08/13
CHICAGO BRIDGE & IRON CO N V P7 8.01,9.01 02/13/13
China Logistics Group Inc FL 7.01,9.01 02/13/13
Cinedigm Digital Cinema Corp. DE 9.01 12/31/12
CISCO SYSTEMS, INC. CA 2.02 02/13/13
Citi Trends Inc 2.02,9.01 02/13/13
CITIZENS FIRST CORP KY 1.01,7.01,9.01 02/13/13
CLEAN WIND ENERGY TOWER, INC. NV 1.01,2.03,3.02,9.01 01/31/13
CLOUD PEAK ENERGY INC. DE 1.01,2.03,9.01 02/11/13
CLOUD PEAK ENERGY INC. DE 7.01,8.01,9.01 02/13/13
CLOUD PEAK ENERGY INC. DE 2.02,9.01 02/13/13
COEUR D ALENE MINES CORP ID 7.01,9.01 02/13/13
COEUR D ALENE MINES CORP ID 8.01,9.01 02/13/13
COLE REAL ESTATE INCOME STRATEGY (DAI MD 1.01,9.01 02/08/13
COLLECTORS UNIVERSE INC DE 2.02,9.01 02/07/13
COMCAST CORP PA 2.02,9.01 02/12/13
Coronus Solar Inc. A1 1.01,1.02,7.01,8.01, 02/13/13
9.01
Corporate Resource Services, Inc. DE 2.02,9.01 02/13/13
CORVEL CORP DE 7.01,9.01 02/13/13
COUSINS PROPERTIES INC GA 2.02,9.01 02/13/13
CRAILAR TECHNOLOGIES INC A1 8.01,9.01 02/11/13
CRAWFORD & CO GA 2.02,7.01,9.01 02/13/13
Crimson Wine Group, Ltd DE 8.01,9.01 02/12/13
CROWN CRAFTS INC DE 2.02,9.01 02/13/13
Crumbs Bake Shop, Inc. DE 4.02 02/12/13
CULLEN/FROST BANKERS, INC. TX 8.01,9.01 02/12/13
DC BRANDS INTERNATIONAL INC CO 5.02 01/10/13
DDR CORP OH 2.02,9.01 02/12/13
DEAN FOODS CO DE 2.02,9.01 02/13/13
DEERE & CO DE 2.02,7.01,8.01,9.01 02/13/13
DEERE JOHN CAPITAL CORP DE 2.02,7.01,8.01,9.01 02/13/13
Dialogic Inc. DE 5.02 02/12/13
Discover Card Execution Note Trust DE 8.01 02/13/13
DISCOVERY LABORATORIES INC /DE/ DE 1.01,2.03,3.02,9.01 02/11/13
DJO Finance LLC DE 2.02,9.01 02/13/13
DLH Holdings Corp. NJ 2.02,9.01 02/13/13
Dr Pepper Snapple Group, Inc. DE 2.02,8.01,9.01 02/13/13
DREW INDUSTRIES INC DE 5.02,9.01 02/12/13
Duke Energy CORP DE 2.02,9.01 02/13/13
DYAX CORP DE 2.02,9.01 02/13/13
EastBridge Investment Group Corp AZ 7.01,8.01,9.01 02/13/13
ECLIPSE IDENTITY RECOGNITION Corp NV 1.01,9.01 01/16/13
Electromed, Inc. 2.02,8.01,9.01 02/13/13
Ellington Financial LLC DE 8.01,9.01 02/12/13
Ellington Financial LLC DE 2.02,7.01,9.01 02/13/13
Emergency Medical Services CORP DE 1.01,2.03,5.02,9.01 02/07/13
EMULEX CORP /DE/ DE 8.01,9.01 02/12/13
ENCORE CAPITAL GROUP INC DE 2.02,7.01,9.01 02/13/13
ENERNOC INC DE 2.02,9.01 02/13/13
Engility Holdings, Inc. DE 5.02 02/07/13
EnteroMedics Inc 2.02,9.01 02/13/13
ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 8.01 02/13/12
Envision Solar International, Inc. NV 3.02,8.01 02/08/13
EOG RESOURCES INC DE 2.02,7.01,9.01 02/08/13
EQUINIX INC DE 2.02,9.01 02/13/13
ESSA Bancorp, Inc. PA 7.01,9.01 02/13/13
EURONET WORLDWIDE INC DE 2.02,9.01 02/12/13
FAMOUS DAVES OF AMERICA INC MN 2.02,9.01 02/13/13
Fifth & Pacific Companies, Inc. DE 8.01 02/12/13
FIFTH THIRD BANCORP OH 7.01,9.01 02/13/13
FINISH LINE INC /IN/ IN 5.05,9.01 02/11/13
FIRST DATA CORP DE 1.01,2.03,9.01 02/13/13
First Guaranty Bancshares, Inc. LA 2.02 02/12/13
First Guaranty Bancshares, Inc. LA 2.02 02/12/13
FIRST INTERSTATE BANCSYSTEM INC MT 5.02,9.01 02/13/13
FIRST POTOMAC REALTY TRUST MD 1.01,8.01,9.01 02/07/13
FLEXTRONICS INTERNATIONAL LTD. U0 8.01,9.01 02/13/13
Forestar Group Inc. DE 2.02,7.01,9.01 02/13/13
FORRESTER RESEARCH INC DE 2.02,2.05,8.01,9.01 02/13/13
FORWARD AIR CORP TN 5.02,9.01 02/13/13
FREDERICK'S OF HOLLYWOOD GROUP INC /N NY 3.01,9.01 02/06/13
FURNITURE BRANDS INTERNATIONAL INC DE 2.02,9.01 02/13/13
GAIN Capital Holdings, Inc. DE 7.01,9.01 02/13/13
GALLAGHER ARTHUR J & CO DE 7.01,9.01 02/13/13
Game Plan Holdings, Inc. NV 1.01,3.02,5.01,9.01 02/11/13
Gaming Partners International CORP NV 8.01 12/17/12
GATEWAY ENERGY CORP/NE DE 1.01,2.01,2.03,3.02, 02/07/13
9.01
Geeknet, Inc DE 5.02 02/08/13
General Growth Properties, Inc. DE 3.03,5.03,8.01,9.01 02/11/13
GIA INVESTMENTS CORP. NV 1.02,9.01 01/09/13
Global Stevia Corp. NV 5.02 02/07/13
GLOBALWISE INVESTMENTS INC NV 1.01,2.03,9.01 02/08/13
Gordmans Stores, Inc. DE 8.01,9.01 02/11/13
GREAT SOUTHERN BANCORP INC MD 8.01,9.01 02/11/13
Green Innovations Ltd. 8.01,9.01 02/12/13
GTX INC /DE/ DE 8.01,9.01 02/13/13
Hatteras Financial Corp 2.02,9.01 02/12/13
Health Insurance Innovations, Inc. DE 1.01,5.02,5.03,8.01, 02/07/13
9.01
HENRY JACK & ASSOCIATES INC DE 8.01,9.01 02/12/13
HENRY SCHEIN INC DE 2.02,9.01 12/29/12
Hilltop Holdings Inc. MD 9.01 11/29/12 AMEND
Hines Global REIT, Inc. MD 7.01,8.01,9.01 02/07/13
HOSPIRA INC DE 2.02,9.01 02/13/13
HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 5.01,9.01 06/28/12 AMEND
Howard Hughes Corp DE 7.01,9.01 02/13/13
HUBBELL INC CT 5.02,7.01,9.01 02/07/13
Hyatt Hotels Corp DE 2.02,7.01,9.01 02/13/13
IMATION CORP DE 2.02,9.01 02/13/13
IMATION CORP DE 1.01,1.02,5.02,5.03, 02/08/13
9.01
IMPAX LABORATORIES INC DE 1.01,8.01,9.01 02/07/13
INGRAM MICRO INC DE 2.02,9.01 02/13/13
INNERWORKINGS INC 2.02,9.01 02/13/13
INNOSPEC INC. DE 2.02,9.01 02/12/13
INOLIFE TECHNOLOGIES, INC. 8.01 02/11/13
INTEGRATED SILICON SOLUTION INC DE 5.02,5.07,9.01 02/08/13
INTERMOUNTAIN COMMUNITY BANCORP ID 9.01 02/13/13
INTERPUBLIC GROUP OF COMPANIES, INC. DE 2.04,8.01,9.01 02/13/13
Intrepid Potash, Inc. DE 2.02,9.01 02/13/13
INTRICON CORP PA 2.02,7.01,9.01 02/13/13
IPASS INC DE 2.02,2.05,9.01 02/13/13
ISIS PHARMACEUTICALS INC DE 5.02 02/12/13
ITRON INC /WA/ WA 2.02,9.01 02/13/13
JACK IN THE BOX INC /NEW/ DE 7.01,9.01 02/13/13
JMP Group Inc. DE 2.02,9.01 02/13/13
JONES GROUP INC PA 2.02,2.06,7.01,9.01 02/13/13
JUNIPER NETWORKS INC DE 5.02 02/13/13
KAPSTONE PAPER & PACKAGING CORP DE 2.02,7.01,9.01 02/13/13
KILROY REALTY CORP MD 8.01,9.01 02/12/13
KNIGHT TRANSPORTATION INC AZ 5.02,5.03,8.01,9.01 02/07/13
LAM RESEARCH CORP DE 5.02 02/08/13
LEAR CORP DE 8.01,9.01 02/07/13
LEGG MASON, INC. MD 5.02,9.01 02/12/13
LEXARIA CORP. NV 7.01,9.01 02/13/13
LEXINGTON REALTY TRUST MD 1.01,1.02,2.03,9.01 02/12/13
Liberty Global, Inc. DE 2.02,7.01 02/13/13
Lifevantage Corp CO 7.01 02/13/13
LIGAND PHARMACEUTICALS INC DE 2.02,9.01 02/13/13
Limoneira CO DE 8.01,9.01 02/13/13
LIN TV CORP. DE 7.01,8.01,9.01 02/12/13
LIONBRIDGE TECHNOLOGIES INC /DE/ DE 2.02,9.01 02/13/13
LIONS GATE ENTERTAINMENT CORP /CN/ A1 5.02,9.01 02/07/13
LKQ CORP DE 7.01,9.01 02/12/13
LORILLARD, INC. DE 2.02,9.01 02/13/13
LTC PROPERTIES INC MD 5.02,9.01 02/11/13
LUCKY STRIKE EXPLORATIONS INC. 8.01 02/07/13
MAGNUM HUNTER RESOURCES CORP DE 8.01,9.01 02/13/13
Manning & Napier, Inc. 1.01,2.02,2.03,9.01 02/13/13
MATERION Corp 2.02,9.01 02/13/13
Mattersight Corp DE 2.02,7.01,9.01 02/13/13
Mayflower Bancorp Inc MA 4.01,9.01 02/11/13
MBT FINANCIAL CORP MI 2.02,9.01 02/13/13
McEwen Mining Inc. CO 7.01,9.01 02/12/13
McEwen Mining Inc. CO 7.01,9.01 02/13/13
MEMC ELECTRONIC MATERIALS INC DE 2.02,9.01 02/13/13
MERCER INTERNATIONAL INC. WA 2.02,9.01 02/13/13
METLIFE INC DE 2.02,9.01 02/13/13
MI 2009 Inc. DE 8.01 11/27/12
MILLER ENERGY RESOURCES, INC. TN 1.01,7.01,8.01,9.01 02/11/13
MINDEN BANCORP, INC. LA 8.01,9.01 02/13/13
ModusLink Global Solutions Inc DE 1.01,3.03,5.02,9.01 02/11/13
Mondelez International, Inc. VA 2.02,9.01 02/13/13
Motorola Solutions, Inc. DE 8.01 02/12/13
MYERS INDUSTRIES INC OH 2.02,7.01,8.01,9.01 02/13/13
NANOSPHERE INC DE 5.02,9.01 02/08/13
NASH FINCH CO DE 1.02,2.03,9.01 02/13/13
NATIONAL RESEARCH CORP WI 2.02,9.01 02/12/13
NATIONAL RETAIL PROPERTIES, INC. MD 8.01,9.01 02/13/13
NetApp, Inc. CA 2.02,9.01 02/13/13
NetSpend Holdings, Inc. DE 2.02,9.01 02/13/13
NewStar Financial, Inc. 2.02,9.01 02/13/13
NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 01/31/13
NPS PHARMACEUTICALS INC DE 5.02,9.01 02/12/13
NTS REALTY HOLDINGS LP DE 8.01,9.01 02/13/13
NV ENERGY, INC. NV 5.02 02/07/13
NVIDIA CORP DE 2.02,9.01 02/13/13
OCTAGON 88 RESOURCES, INC. NV 5.02 01/29/13
Oculus Innovative Sciences, Inc. CA 2.02,9.01 02/13/13
OLD POINT FINANCIAL CORP VA 1.01 02/12/13
OLD POINT FINANCIAL CORP VA 7.01 02/12/13
One Horizon Group, Inc. PA 2.01,4.01,5.03,9.01 11/30/12 AMEND
OptimumBank Holdings, Inc. FL 5.02,9.01 02/12/13
OVERLAND STORAGE INC CA 2.02,9.01 02/13/13
OVERSTOCK.COM, INC DE 5.02,9.01 02/12/13
PAULSON CAPITAL CORP OR 8.01,9.01 02/13/13
PEREGRINE PHARMACEUTICALS INC DE 8.01,9.01 02/13/13
PETROSONIC ENERGY, INC. NV 1.01,3.02,9.01 01/16/13 AMEND
PHARMACYCLICS INC DE 8.01,9.01 02/12/13
PINNACLE ENTERTAINMENT INC. DE 2.02,9.01 02/13/13
PIONEER ENERGY SERVICES CORP TX 2.02,9.01 02/13/13
PIONEER NATURAL RESOURCES CO DE 2.02,7.01,9.01 02/13/13
Pioneer Southwest Energy Partners L.P DE 2.02,9.01 02/13/13
Plandai Biotechnology, Inc. 5.02 02/08/13
PLUG POWER INC DE 3.03,9.01 02/12/13
POLYCOM INC DE 5.02,8.01 02/11/13
PORTFOLIO RECOVERY ASSOCIATES INC DE 2.02,9.01 02/13/13
PPL Corp 8.01,9.01 02/12/13
PRECISION OPTICS Corp INC MA 1.01,3.02,7.01,8.01, 02/12/13
9.01
PREMIERE GLOBAL SERVICES, INC. GA 2.02,9.01 02/13/13
PRESSURE BIOSCIENCES INC MA 1.01,3.02,5.03,9.01 02/06/13
PRESSURE BIOSCIENCES INC MA 5.02,9.01 02/12/13
PROCERA NETWORKS INC NV 9.01 01/07/13 AMEND
PROGAMING PLATFORMS CORP DE 4.01,9.01 02/12/13
PROGRESSIVE CORP/OH/ OH 7.01,9.01 02/13/13
Protalix BioTherapeutics, Inc. FL 8.01,9.01 02/13/13
Proto Labs Inc 2.02,9.01 02/13/13
PRUDENTIAL FINANCIAL INC NJ 5.02,9.01 02/11/13
PSM HOLDINGS INC DE 1.01,5.02,9.01 02/07/13
PURE BIOSCIENCE, INC. DE 5.02,9.01 02/06/13
PVF CAPITAL CORP OH 5.02 08/13/12
PVH CORP. /DE/ DE 7.01 02/13/13
Q LOTUS HOLDINGS INC NV 1.01,8.01 02/01/13
QUICKLOGIC CORPORATION CA 1.01,5.02 02/08/13
RAIT Financial Trust MD 2.02,9.01 02/13/13
Rand Logistics, Inc. DE 7.01,9.01 02/13/13
Rand Logistics, Inc. DE 7.01,9.01 02/07/13
REAL DATA INC UT 8.01 02/10/13
REALBIZ MEDIA GROUP, INC MN 4.01,9.01 12/04/12
RESEARCH FRONTIERS INC DE 1.01,3.03,9.01 02/11/13
REVLON INC /DE/ DE 5.02 02/11/13
ROBERTS REALTY INVESTORS INC GA 1.01,9.01 02/11/13
Rovi Corp DE 2.02,9.01 02/13/13
RUDOLPH TECHNOLOGIES INC DE 5.02 02/08/13
RUSH ENTERPRISES INC \TX\ TX 2.02,9.01 02/12/13
S&W Seed Co NV 2.02,9.01 02/13/13
Samson Oil & Gas LTD C3 2.02,9.01 02/11/13
SCANA CORP SC 7.01,9.01 02/13/13
SED INTERNATIONAL HOLDINGS INC 2Q 2.02,9.01 02/13/13
SERVICE CORPORATION INTERNATIONAL TX 7.01,9.01 02/13/13
SHAW GROUP INC LA 1.02,2.01,3.01,3.03, 02/13/13
5.01,5.02
Shire plc 8.01,9.01 02/13/13
SKECHERS USA INC DE 2.02,9.01 02/13/13
Skkynet Cloud Systems, Inc. NV 7.01,9.01 02/13/13
SMART ONLINE INC DE 5.01,5.02 02/07/13
SMITH MICRO SOFTWARE INC DE 2.02,9.01 02/13/13
SONOCO PRODUCTS CO SC 2.02,9.01 02/13/13
SOUTHERN STATES SIGN Co NV 4.01,9.01 02/07/13
SPARTAN STORES INC MI 2.02,9.01 02/13/13
SPARTECH CORP DE 8.01 02/13/13
Specializer Inc. 8.01 02/01/13
Staffing 360 Solutions, Inc. 1.01,8.01,9.01 02/11/13
STAGE STORES INC NV 2.05,8.01,9.01 02/08/13
STARWOOD HOTEL & RESORTS WORLDWIDE, I MD 8.01,9.01 02/13/13
STATER BROS HOLDINGS INC DE 2.02,9.01 02/12/13
Station Casinos LLC NV 7.01 02/13/13
STEMCELLS INC DE 8.01,9.01 02/12/13
SUN COMMUNITIES INC MD 8.01,9.01 02/13/13
Support.com, Inc. DE 2.02,9.01 02/13/13
SURREY BANCORP NC 7.01,9.01 02/13/13
Swisher Hygiene Inc. DE 8.01,9.01 02/12/13
SYSTEMAX INC DE 5.02,9.01 02/12/13
TAL International Group, Inc. DE 2.02,9.01 02/13/13
TANGER FACTORY OUTLET CENTERS INC NC 9.01 02/12/13 AMEND
TANGOE INC DE 2.02,9.01 02/13/13
Tanke Biosciences Corp NV 2.04,9.01 02/09/13
TARGACEPT INC 2.02,9.01 02/13/13
Targeted Medical Pharma, Inc. 8.01,9.01 02/12/13
TAUBMAN CENTERS INC MI 2.02,9.01 02/13/13
TechTarget Inc 2.02,9.01 02/13/13
TENNECO INC DE 8.01,9.01 02/13/13
TESORO LOGISTICS LP DE 5.02,9.01 02/08/13
Tootie Pie Company, Inc. TX 4.01 10/15/12 AMEND
TOOTSIE ROLL INDUSTRIES INC VA 2.02,9.01 12/31/12
Tower Group, Inc. DE 7.01,9.01 02/12/13
TOYS R US INC DE 5.02,7.01,9.01 02/07/13
TripAdvisor, Inc. DE 2.02,9.01 02/13/13
Tronox Ltd C3 1.01,5.02,9.01 02/09/13
UDR, Inc. MD 5.02,9.01 02/07/13
UNIVERSAL FOREST PRODUCTS INC MI 2.02,9.01 02/13/13
V F CORP PA 5.02,9.01 02/12/13
VALMONT INDUSTRIES INC DE 2.02,9.01 02/12/13
VALUECLICK INC/CA DE 2.02,9.01 02/13/13
Vertex Energy Inc. NV 7.01,8.01,9.01 02/12/13
Vertex Energy Inc. NV 7.01,8.01,9.01 02/12/13 AMEND
VIKING INVESTMENTS GROUP, INC. NV 5.02 02/07/13
Village Bank & Trust Financial Corp. 2.02,9.01 02/13/13
VISTA GOLD CORP B0 7.01,9.01 02/11/13
VISTAPRINT N.V. P7 1.01,8.01,9.01 02/08/13
VONAGE HOLDINGS CORP DE 2.02 02/13/13
Vringo Inc DE 5.02 02/13/13
W270, INC. NV 4.01,9.01 02/13/13
WASHINGTON REAL ESTATE INVESTMENT TRU MD 5.02,9.01 02/07/13
WEIGHT WATCHERS INTERNATIONAL INC VA 2.02,9.01 02/13/13
WELLCARE HEALTH PLANS, INC. DE 2.02,9.01 02/13/13
WELLS FARGO & COMPANY/MN DE 9.01 02/13/13
WET SEAL INC DE 5.02,9.01 02/12/13
WHITEWAVE FOODS Co DE 2.02,9.01 02/13/13
WHOLE FOODS MARKET INC TX 2.02,9.01 02/13/13
WILLIS GROUP HOLDINGS PLC L2 2.02,5.02,7.01,9.01 02/07/13
WISCONSIN POWER & LIGHT CO WI 8.01,9.01 02/13/13
WMS INDUSTRIES INC /DE/ DE 8.01,9.01 02/13/13
World Energy Solutions, Inc. DE 5.02,9.01 02/07/13
XPO Logistics, Inc. 7.01,8.01,9.01 02/12/13
Xtreme Oil & Gas, Inc. NV 7.01,8.01,9.01 02/13/13
ZBB ENERGY CORP WI 2.02,9.01 02/13/13
ZILLOW INC WA 2.02,9.01 02/13/13
http://www.sec.gov/news/digest/2013/dig021413.htm
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