|
ENFORCEMENT PROCEEDINGSMichael Lowther, CPA Reinstated to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed With the CommissionPursuant to Rule 102(e)(5)(i) of the Commission's Rules of Practice, Michael Lowther, CPA has applied for and been granted reinstatement of his privilege to appear and practice before the Commission as an accountant responsible for the preparation or review of financial statements required to be filed with the Commission. Mr. Lowther was suspended from appearing or practicing before the Commission as an accountant on January 28, 2008. His reinstatement is effective immediately. (Rel. 34-68949; AAE Rel. 3445; File No. 3-12938) SEC Suspends Attorney Virginia K. Sourlis, Esq.The U.S. Securities and Exchange Commission announced today that it has suspended Virginia K. Sourlis from appearing or practicing before it as an attorney. This action follows the issuance of a final judgment by the U.S. District Court for the Southern District of New York in which U.S. District Court Judge Miriam Goldman Cedarbaum found that Virginia Sourlis aided and abetted violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b5 promulgated thereunder. The Commission’s Amended Complaint against Virginia K. Sourlis and others in the civil action entitled United States Securities and Exchange Commission v. Greenstone Holdings, Inc., et al., 10-civ-1302, alleged, among other claims, that she aided and abetted violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b5 promulgated thereunder in connection with the illegal public offering of millions of shares of Greenstone Holdings, Inc. (Greenstone) stock. On November 20, 2012, Judge Cederbaum issued an order that granted the Commission summary judgment on liability on the Commission’s claim that Sourlis aided and abetted violations of Section 10(b) and Rule 10b-5, holding that she issued a false legal opinion that facilitated the illegal Greenstone stock offering. Today, the Commission issued an Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3)(i)(B) of the Commission’s Rules of Practice that suspends Virginia K. Sourlis, who is licensed to practice law in the State of New Jersey and a partner in The Sourlis Law Firm, from appearing or practicing before the Commission. The Commission’s Order was based on the order issued by Judge Cederbaum. (Rel. 34-68952; File No. 3-15212) District Court Enters Judgment Against New Mexico Ponzi SchemerThe Securities and Exchange Commission (Commission) announced today that on February 14, 2013, the U.S. District Court for the District of New Mexico entered a consent judgment against Douglas F. Vaughan (Vaughan). The court enjoined Vaughan from violating federal securities antifraud, broker-dealer, and securities offering registration laws, and ordered Vaughan to disgorge $43,658,821 in ill-gotten gains. The court deemed the disgorgement order to be satisfied by an order of restitution for the same amount and an order of forfeiture in a related criminal prosecution. On March 22, 2010, the Commission filed an emergency civil action in the United States District Court for the District of New Mexico charging Vaughan and his companies, The Vaughan Company, Realtors, Inc. (Vaughan Realtors), and Vaughan Capital, LLC (Vaughan Capital) with violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. Vaughan and Vaughan Realtors were also charged with violations of Section 15(a)(1) of the Exchange Act. The complaint alleged that Vaughan used the companies, which he controlled, to operate a Ponzi scheme that relied on new investors’ funds to pay above-market returns to existing investors. The complaint alleged that Vaughan began selling promissory notes, which were securities, sometime in 1993 and continued offering the notes to investors until at least January 31, 2010. The scheme collapsed when Vaughan’s obligations to pay returns to investors became greater than his ability to raise new funds. On March 24, 2010, the court entered an order temporarily restraining Vaughan and his companies, prohibiting the destruction or alteration of documents, freezing funds and other assets, providing for expedited discovery, and requiring an accounting of investor funds. Three weeks later, the court entered a preliminary injunction against Vaughan, Vaughan Capital, and Vaughan Realtors that granted all of the relief that the Commission requested. On February 24, 2011, a federal grand jury in New Mexico handed up an indictment charging Vaughan with, among other charges, mail and wire fraud and making false statements to the Commission. Vaughan pleaded guilty and, on September 5, 2012, was sentenced to 12 years in prison, ordered to pay restitution of $43,658,821 under the Mandatory Victims Restitution Act, and directed to forfeit $74,745,724 to the United States. The Commission has also resolved its claims against Vaughan Capital, which is now defunct, and Vaughan Realtors, which no longer has operations and is under the control of an independent bankruptcy trustee. On March 2, 2011, the district court entered a judgment against Vaughan Realtors with the consent of the Chapter 11 Bankruptcy Trustee. On January 7, 2013, the court entered a default judgment against Vaughan Capital. The judgments against Vaughan Realtors and Vaughan Capital permanently enjoin them from violations of Sections 5(a), 5(c), and 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The judgment against Vaughan Realtors also enjoins the company from violating the broker-dealer provisions of Section 15(a)(1) of the Exchange Act. [SEC v. Douglas F. Vaughan, Civil Action No. 10-263-MV-WPL (D.N.M.)] (LR-22621) SELF-REGULATORY ORGANIZATIONSApproval of Proposed Rule ChangeThe Commission approved a proposed rule change (SR-ICC-2012-24) filed by ICE Clear Credit LLC (ICC) under Section 19(b)(1) of the Securities Exchange Act of 1934 to add rules related to the clearing of European corporate single-name CDS. Publication is expected in the Federal Register during the week of February 18. (Rel. 34-68939) Proposed Rule ChangeChicago Board Options Exchange, Incorporated filed a proposed rule change (SR-CBOE-2013-019), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, relating to Market-Maker continuous quoting obligations. Publication is expected in the Federal Register during the week of February 18. (Rel. 34-68944) 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-3 SYNERGY RESOURCES CORP, 20203 HIGHWAY 60, PLATTEVILLE, CO, 80651, 303-591-7413 - 0 ($250,000,000.00) Equity, (File 333-186726 - Feb. 19) (BR. 04A) S-8 Riverbed Technology, Inc., 199 FREMONT STREET, SAN FRANCISCO, CA, 94105, (415) 247-8800 - 0 ($28,335,000.00) Equity, (File 333-186727 - Feb. 19) (BR. 03A) S-3ASR DOW CHEMICAL CO /DE/, 2030 DOW CENTER, MIDLAND, MI, 48674-2030, 989-636-1000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186728 - Feb. 19) (BR. 06B) S-8 Allied World Assurance Co Holdings, AG, LINDENSTRASSE 8, BAAR/ZUG, V8, 6340, 441-278-5400 - 0 ($130,635,000.00) Equity, (File 333-186729 - Feb. 19) (BR. 01A) S-8 FORD MOTOR CO, ONE AMERICAN ROAD, DEARBORN, MI, 48126, 3133223000 - 18,000,000 ($235,170,000.00) Equity, (File 333-186730 - Feb. 19) (BR. 05A) S-1 ARTEC CONSULTING CORP., 2360 CORPORATE CIRCLE STE 400, HENDERSON, NV, 89074-7722, 7028794245 - 5,000,000 ($100,000.00) Equity, (File 333-186732 - Feb. 19) (BR. 06) S-8 PARKER HANNIFIN CORP, 6035 PARKLAND BOULEVARD, CLEVELAND, OH, 44124-4141, 2168963000 - 0 ($1,410,000,000.00) Equity, (File 333-186733 - Feb. 19) (BR. 06B) S-8 PARKER HANNIFIN CORP, 6035 PARKLAND BOULEVARD, CLEVELAND, OH, 44124-4141, 2168963000 - 0 ($864,800,000.00) Equity, (File 333-186734 - Feb. 19) (BR. 06B) S-8 Graystone Co, 2620 REGATTA DRIVE, STE 102, LAS VEGAS, NV, 89128, 7025825535 - 15,000,000 ($51,250.00) Equity, (File 333-186739 - Feb. 19) (BR. 03B) S-8 National Health Partners Inc, 120 GIBRALTAR RD, SUITE 107, HORSHAM, PA, 19044, 215-682-7114 - 12,000,000 ($960,000.00) Equity, (File 333-186740 - Feb. 19) (BR. 09B) S-3ASR PARKER HANNIFIN CORP, 6035 PARKLAND BOULEVARD, CLEVELAND, OH, 44124-4141, 2168963000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186741 - Feb. 19) (BR. 06B) S-8 CATERPILLAR INC, 100 NE ADAMS ST, PEORIA, IL, 61629, 3096751000 - 0 ($48,380,000.00) Equity, (File 333-186742 - Feb. 19) (BR. 10A) S-3ASR NORTHSTAR REALTY FINANCE CORP., 399 PARK AVENUE,, 18TH FLOOR, NEW YORK, NY, 10022, 212-547-2640 - 0 ($0.00) Other, (File 333-186743 - Feb. 19) (BR. 08B) S-8 CATERPILLAR INC, 100 NE ADAMS ST, PEORIA, IL, 61629, 3096751000 - 0 ($96,760,000.00) Equity, (File 333-186744 - Feb. 19) (BR. 10A) F-3ASR Michael Kors Holdings Ltd, UNIT 1902, 19/F, TOWER 6, THE GATEWAY, HARBOUR CITY, TSIM SHA TSUI, KOWLOON, K3, 00000, (852) 2371-8634 - 0 ($0.00) Equity, (File 333-186745 - Feb. 19) (BR. 09) S-8 RAINMAKER SYSTEMS INC, 900 EAST HAMILTON AVENUE, SUITE 400, CAMPBELL, CA, 95008, 4086263800 - 375,000 ($270,000.00) Equity, (File 333-186747 - Feb. 19) (BR. 08C) N-2 ClearBridge Energy MLP Opportunity Fund Inc., 620 EIGHTH AVENUE, 49TH FLOOR, NEW YORK, NY, 10018, 888-777-0102 - 0 ($200,000,000.00) Equity, (File 333-186748 - Feb. 19) (BR. 18) S-4 SWIFT ENERGY CO, 16825 NORTHCHASE DR STE 400, HOUSTON, TX, 77060, 2818742700 - 0 ($150,000,000.00) Debt, (File 333-186749 - Feb. 19) (BR. 04B) S-8 SolarWinds, Inc., 3711 SOUTH MOPAC EXPRESSWAY, BUILDING TWO, AUSTIN, TX, 78746, 512-682-9500 - 0 ($188,917,686.00) Equity, (File 333-186750 - Feb. 19) (BR. 03A) 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 ----------------------------------------------------------------------------------------- AccelPath, Inc. DE 1.02,4.02 02/15/13 ACCESS MIDSTREAM PARTNERS LP DE 2.02,9.01 02/19/13 Actavis, Inc. NV 2.02,9.01 02/19/13 ACTIVE POWER INC DE 5.02 02/12/13 ACTIVE POWER INC DE 2.02,9.01 02/19/13 AEOLUS PHARMACEUTICALS, INC. DE 1.01,3.02,3.03,4.02, 02/15/13 8.01 Air Transport Services Group, Inc. DE 5.02,7.01,9.01 02/19/13 AK STEEL HOLDING CORP DE 5.02 02/14/13 ALASKA PACIFIC BANCSHARES INC AK 8.01 02/01/13 Alexander & Baldwin, Inc. HI 2.02,9.01 02/19/13 Alexander & Baldwin, Inc. HI 2.02,9.01 02/19/13 Alkermes plc. 1.01,7.01,9.01 02/14/13 ALLIED MOTION TECHNOLOGIES INC CO 2.02,9.01 02/19/13 Allison Transmission Holdings Inc DE 2.02,9.01 02/19/13 ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 2.05 02/18/13 ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 2.02,9.01 02/19/13 ALLSTATE CORP DE 5.02,9.01 02/18/13 ALPHA & OMEGA SEMICONDUCTOR Ltd 5.02 02/19/13 ALPHARX INC DE 8.01 02/15/13 ALTRIA GROUP, INC. VA 7.01,9.01 02/19/13 American Assets Trust, Inc. MD 2.02,7.01,9.01 02/19/13 AMERICAN CORDILLERA MINING Corp NV 1.01,3.02,9.01 02/12/13 AMERICAN GRAPHITE TECHNOLOGIES INC. NV 2.01,5.06,9.01 12/03/12 AMEND AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 02/19/13 AMERICAN WOODMARK CORP VA 2.02,9.01 02/19/13 AMERICANWEST BANCORPORATION WA 7.01,9.01 02/15/13 AMERICAS CARMART INC TX 2.02,9.01 02/18/13 AMES NATIONAL CORP IA 8.01,9.01 02/13/13 AMYRIS, INC. DE 2.02,9.01 02/19/13 ANADIGICS INC DE 2.02,9.01 02/19/13 ANALOG DEVICES INC MA 2.02,9.01 02/19/13 Andatee China Marine Fuel Services Co DE 5.02,9.01 02/12/13 AntriaBio, Inc. DE 7.01,9.01 02/19/13 ARCHER DANIELS MIDLAND CO DE 5.04,9.01 02/13/13 ARMSTRONG WORLD INDUSTRIES INC PA 2.02,7.01,9.01 02/19/13 ARROW ELECTRONICS INC NY 8.01,9.01 02/19/13 As Seen On TV, Inc. FL 4.02 02/16/13 ASBURY AUTOMOTIVE GROUP INC DE 2.02,9.01 02/19/13 ASSURANCEAMERICA CORP NV 1.01 02/19/13 ASTORIA FINANCIAL CORP DE 8.01,9.01 02/19/13 ATLAS PIPELINE PARTNERS LP DE 2.02,9.01 02/18/13 ATP OIL & GAS CORP TX 1.01,9.01 02/13/13 ATRION CORP DE 2.02,9.01 02/19/13 AUTOLIV INC DE 8.01,9.01 02/19/13 AVAYA INC DE 1.01,8.01,9.01 02/13/13 AWG International Water Corp NV 8.01,9.01 02/13/13 Baltic Trading Ltd 1T 2.02,7.01 02/19/13 BANCTRUST FINANCIAL GROUP INC AL 2.01,3.01,3.03,5.01, 02/15/13 8.01,9.01 BBCN BANCORP INC DE 8.01,9.01 02/15/13 BEACON ROOFING SUPPLY INC DE 5.07 02/13/13 BIOCRYST PHARMACEUTICALS INC DE 2.02,7.01,9.01 02/19/13 BioMed Realty Trust Inc MD 8.01,9.01 02/13/13 Bitzio, Inc. NV 7.01,9.01 02/19/13 BJs RESTAURANTS INC CA 2.02,9.01 02/19/13 Black Elk Energy Offshore Operations, TX 3.02,5.02,5.03,9.01 02/12/13 BlackRock Inc. DE 5.02,9.01 02/12/13 BlackRock Kelso Capital CORP DE 1.01,2.03,3.02,8.01, 02/19/13 9.01 BMC SOFTWARE INC DE 5.02 02/13/13 BOB EVANS FARMS INC DE 2.01,9.01 02/15/13 BOB EVANS FARMS INC DE 2.02,9.01 02/19/13 BROADCOM CORP CA 5.02 02/14/13 BROADSOFT, INC. DE 5.02 02/15/13 BRUKER CORP DE 2.02,5.02,9.01 02/12/13 CABCO SERIES 2004-1 TRUST (GOLDMAN SA 8.01,9.01 02/15/13 CABCO SERIES 2004-101 TRUST (GOLDMAN 8.01,9.01 02/15/13 CADUCEUS SOFTWARE SYSTEMS CORP. NV 4.02 02/15/13 CalAmp Corp. DE 1.01,9.01 02/13/13 CAPITAL SOUTHWEST CORP TX 8.01,9.01 02/18/13 CARDINAL HEALTH INC OH 8.01 02/19/13 CBIZ, Inc. DE 2.02,9.01 02/13/13 CC Media Holdings Inc 2.02,9.01 02/19/13 CCA INDUSTRIES INC DE 5.02,9.01 02/11/13 CEDAR FAIR L P DE 2.02,9.01 02/19/13 Centor Inc. NV 5.02,9.01 02/13/13 CENTRAL PACIFIC FINANCIAL CORP HI 1.02 02/12/13 CF Industries Holdings, Inc. DE 2.02,9.01 02/19/13 CHEMED CORP DE 2.02,9.01 02/18/13 CHICAGO BRIDGE & IRON CO N V P7 2.01,9.01 02/13/13 China Logistics Group Inc FL 3.02 01/03/13 CIMAREX ENERGY CO DE 2.02,7.01,9.01 02/19/13 Cinemark Holdings, Inc. DE 7.01,9.01 02/15/13 CION Investment Corp MD 2.02,9.01 02/12/13 CLEAR CHANNEL COMMUNICATIONS INC TX 2.02,9.01 02/19/13 Clear Channel Outdoor Holdings, Inc. DE 2.02,9.01 02/19/13 CLECO CORP LA 2.02,9.01 02/19/13 Clovis Oncology, Inc. DE 5.02 02/14/13 CMS ENERGY CORP MI 5.02,9.01 02/18/13 CNH CAPITAL RECEIVABLES LLC DE 1.01,8.01,9.01 02/13/13 CNH CAPITAL RECEIVABLES LLC DE 8.01,9.01 02/13/13 COEUR D ALENE MINES CORP ID 8.01,9.01 02/18/13 CollabRx, Inc. DE 1.01,5.02,9.01 02/12/13 CollabRx, Inc. DE 2.02,9.01 02/19/13 CombiMatrix Corp DE 3.02 02/14/13 COMPUTER TASK GROUP INC NY 2.02,9.01 02/19/13 CONAGRA FOODS INC /DE/ DE 7.01,9.01 02/19/13 Constellation Energy Partners LLC DE 5.02,8.01,9.01 02/15/13 CorMedix Inc. DE 1.01,5.03,9.01 02/18/13 CUMULUS MEDIA INC DE 5.02 02/12/13 DAKTRONICS INC /SD/ SD 9.01 02/19/13 DATALINK CORP MN 5.02 02/13/13 DELL INC DE 2.02,9.01 02/19/13 DELL INC DE 8.01 02/19/13 DEMAND MEDIA INC. DE 2.02,7.01,9.01 02/19/13 Desert Gateway, Inc. OK 1.01,3.02,5.03,9.01 02/12/13 DICKS SPORTING GOODS INC DE 8.01,9.01 02/15/13 Digital Cinema Destinations Corp. DE 2.02,9.01 02/14/13 Digital Generation, Inc. DE 8.01,9.01 02/19/13 Digital Generation, Inc. DE 2.02,9.01 02/19/13 Digital Realty Trust, Inc. 8.01 02/19/13 DIODES INC /DEL/ DE 2.02,7.01,9.01 02/13/13 DLH Holdings Corp. NJ 5.07 02/14/13 DMH INTERNATIONAL, INC. NV 5.03 02/15/13 DOW CHEMICAL CO /DE/ DE 5.02 02/13/13 DOW CHEMICAL CO /DE/ DE 5.02 02/13/13 DYAX CORP DE 1.01 02/12/13 EAGLE ROCK ENERGY PARTNERS L P DE 5.02 02/13/13 EARTHLINK INC DE 2.02,7.01,9.01 02/19/13 EARTHLINK INC DE 8.01,9.01 02/19/13 EastBridge Investment Group Corp AZ 7.01,8.01,9.01 02/19/13 EASTERN CO CT 1.01 02/18/13 Eastern Resources, Inc. DE 7.01,9.01 02/13/13 EASTON-BELL SPORTS, INC. DE 1.01,5.02,7.01,9.01 02/13/13 ECOLOGY COATINGS, INC. NV 5.02 02/19/13 Education Realty Trust, Inc. MD 2.02,7.01,9.01 02/19/13 EGAIN Corp DE 8.01 02/14/13 EL PASO ELECTRIC CO /TX/ TX 2.02,9.01 02/19/13 Emerald Oil, Inc. MT 1.01,3.02,5.02,5.03, 02/19/13 9.01 EMERSON ELECTRIC CO MO 8.01,9.01 02/14/13 EMPIRE ENERGY CORP UT 8.01 02/19/13 Energy Future Holdings Corp /TX/ TX 2.02,9.01 02/19/13 ENERNOC INC DE 5.02 02/12/13 Enhance Skin Products Inc NV 5.02,8.01 02/13/13 Ensco plc 7.01,9.01 02/19/13 ENSIGN GROUP, INC 2.02,9.01 02/13/13 EQUAL ENERGY LTD. A0 8.01 02/15/13 ESSENTIAL INNOVATIONS TECHNOLOGY CORP NV 4.01,9.01 01/04/13 AMEND Evolucia Inc. NV 8.01,9.01 02/19/13 EXCO RESOURCES INC TX 1.01,9.01 02/12/13 EXOPACK HOLDING CORP 5.02,9.01 02/13/13 EXPONENT INC DE 7.01,9.01 02/19/13 Express Scripts Holding Co. DE 2.02,9.01 02/18/13 Extra Space Storage Inc. MD 8.01,9.01 12/31/12 EXTREME NETWORKS INC DE 5.02 02/12/13 EXXON MOBIL CORP NJ 2.02,7.01 02/19/13 Federal Home Loan Bank of Atlanta X1 2.03 02/13/13 Federal Home Loan Bank of Chicago X1 2.03 02/13/13 Federal Home Loan Bank of Dallas 2.03,9.01 02/12/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/19/13 Federal Home Loan Bank of New York X1 2.03,9.01 02/14/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/13/13 Federal Home Loan Bank of San Francis X1 2.03 02/13/13 Federal Home Loan Bank of Seattle 2.03 02/13/13 FEDEX CORP DE 2.05 02/15/13 FelCor Lodging Trust Inc MD 2.02,9.01 02/19/13 Fidelity National Financial, Inc. 2.02,9.01 02/19/13 Financial Engines, Inc. DE 2.02,9.01 02/19/13 Financial Engines, Inc. DE 5.02,9.01 02/14/13 FIRST FINANCIAL HOLDINGS INC /DE/ DE 5.02 02/15/13 FIRST PACTRUST BANCORP INC MD 5.02,8.01,9.01 02/14/13 FLAGSTAR BANCORP INC MI 5.02 02/12/13 FLOWERS FOODS INC GA 5.02,9.01 02/15/13 FNB CORP/FL/ FL 7.01,8.01,9.01 02/19/13 FRANKLIN STREET PROPERTIES CORP /MA/ 2.02,9.01 12/31/12 FREEPORT MCMORAN COPPER & GOLD INC DE 1.01,2.03,9.01 02/14/13 FRESH DEL MONTE PRODUCE INC E9 2.02,9.01 02/19/13 GENUINE PARTS CO GA 2.02,8.01,9.01 02/19/13 GLADSTONE CAPITAL CORP MD 5.07 02/14/13 GLADSTONE COMMERCIAL CORP MD 2.02,9.01 02/19/13 GMX RESOURCES INC OK 2.02,8.01,9.01 02/19/13 Goldenway, Inc. NV 5.02 02/15/13 Golub Capital BDC, Inc. DE 1.01,9.01 02/15/13 GRAN TIERRA ENERGY INC. NV 1.01,5.02 02/13/13 Grand Canyon Education, Inc. DE 2.02,9.01 02/19/13 GRAPHON CORP/DE DE 1.01,9.01 02/12/13 GREENLIGHT CAPITAL RE, LTD. 2.02,9.01 02/19/13 GROUP 1 AUTOMOTIVE INC DE 2.02,9.01 02/19/13 GTJ REIT, Inc. MD 9.01 01/17/13 AMEND HACKETT GROUP, INC. FL 2.02,9.01 02/19/13 Hampden Bancorp, Inc. DE 5.02 02/12/13 HANDENI GOLD INC. NV 8.01,9.01 02/14/13 Hanesbrands Inc. MD 5.02 02/12/13 HARDINGE INC NY 5.02 02/12/13 Hartman Short Term Income Properties MD 9.01 02/15/13 AMEND HD SUPPLY, INC. DE 1.01,2.03 02/15/13 HEALTHSOUTH CORP DE 2.02,7.01,9.01 02/19/13 HECLA MINING CO/DE/ DE 8.01,9.01 02/19/13 HERBALIFE LTD. E9 2.02,8.01,9.01 02/19/13 Heron Lake BioEnergy, LLC MN 1.01,1.02,9.01 02/12/13 Higher One Holdings, Inc. DE 5.02,9.01 02/15/13 Higher One Holdings, Inc. DE 8.01 02/19/13 HILLMAN COMPANIES INC DE 2.01,8.01,9.01 02/19/13 HUMANA INC DE 7.01 02/19/13 HYSTER-YALE MATERIALS HANDLING, INC. DE 2.02,9.01 02/19/13 HYSTER-YALE MATERIALS HANDLING, INC. DE 2.02,7.01,9.01 02/19/13 ICON ECI FUND FIFTEEN, L.P. DE 7.01,9.01 02/19/13 ICON Equipment & Corporate Infrastruc DE 7.01,9.01 02/19/13 ICON INCOME FUND NINE LLC DE 7.01,9.01 02/19/13 ICON INCOME FUND TEN LLC DE 7.01,9.01 02/19/13 ICON LEASING FUND ELEVEN, LLC DE 7.01,9.01 02/19/13 ICON LEASING FUND TWELVE, LLC DE 7.01,9.01 02/19/13 INFINITY ENERGY RESOURCES, INC DE 2.03,9.01 02/13/13 Inland Diversified Real Estate Trust, MD 9.01 02/19/13 Inland Diversified Real Estate Trust, MD 8.01,9.01 02/19/13 Inland Diversified Real Estate Trust, MD 9.01 02/19/13 AMEND INLAND REAL ESTATE CORP MD 8.01,9.01 02/19/13 INLAND REAL ESTATE CORP MD 8.01,9.01 02/19/13 INTEGRA LIFESCIENCES HOLDINGS CORP DE 7.01,9.01 02/14/13 INTEGRATED ELECTRICAL SERVICES INC DE 2.01,2.02,7.01,9.01 02/14/13 INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 3.02 02/12/13 Intellicell Biosciences, Inc. NV 5.02,8.01,9.01 01/14/13 INTERMUNE INC DE 1.01 02/12/13 INTERNET AMERICA INC TX 5.02 02/15/13 INTERSIL CORP/DE DE 2.05,8.01 02/19/13 Intrepid Potash, Inc. DE 5.02,9.01 02/19/13 INVESTORS TITLE CO NC 2.02,9.01 02/19/13 IRELAND INC. NV 5.02,8.01 02/15/13 IRIDEX CORP DE 5.02 12/05/12 AMEND ITC Holdings Corp. MI 1.01,2.03,9.01 02/15/13 ITT EDUCATIONAL SERVICES INC DE 5.02 02/19/13 JA Energy NV 4.01,9.01 01/02/13 JACK IN THE BOX INC /NEW/ DE 5.07 02/15/13 JEFFERIES GROUP INC /DE/ DE 8.01 02/19/13 JOE'S JEANS INC. DE 1.01,5.02,9.01 02/18/13 JPX Global Inc. 1.01,2.01,3.02,5.01 02/15/13 KAISER ALUMINUM CORP DE 2.02,9.01 02/19/13 KAMAN CORP CT 5.02,9.01 02/19/13 KBW, INC. 1.01,2.01,3.01,3.03, 02/15/13 5.01,5.02,5.03,8.01, 9.01 KENNAMETAL INC PA 8.01,9.01 02/18/13 KONA GRILL INC DE 2.02,9.01 02/19/13 Kraft Foods Group, Inc. 7.01,9.01 02/19/13 KRONOS WORLDWIDE INC 7.01,9.01 02/18/13 LA-Z-BOY INC MI 2.02,9.01 02/19/13 LCA VISION INC DE 2.02,9.01 02/19/13 LIBERATED ENERGY, INC. 3.03 02/15/13 LIGHTSTONE VALUE PLUS REAL ESTATE INV MD 7.01,9.01 02/18/13 Lightstone Value Plus Real Estate Inv MD 7.01,9.01 02/18/13 Limelight Networks, Inc. DE 5.02,5.03,9.01 02/13/13 Limelight Networks, Inc. DE 2.02,9.01 02/19/13 LINDSAY CORP DE 1.01,2.03,9.01 02/13/13 Live Event Media, Inc. NV 4.01,9.01 02/12/13 LivingVentures, Inc. FL 5.02,9.01 02/14/13 Lone Pine Resources Inc. DE 7.01,9.01 02/19/13 LSI CORP DE 8.01 02/19/13 LUFKIN INDUSTRIES INC TX 5.03,9.01 02/19/13 LyondellBasell Industries N.V. P7 8.01,9.01 02/13/13 MABWE MINERALS INC. WY 1.01,9.01 02/08/13 MACQUARIE/FIRST TRUST GLOBAL INFRASTR 7.01,9.01 02/19/13 MAGELLAN GOLD Corp NV 7.01,9.01 02/19/13 MAGNETEK, INC. DE 5.02,9.01 02/18/13 MAGNUM HUNTER RESOURCES CORP DE 2.02,7.01,9.01 02/14/13 Magyar Bancorp, Inc. DE 5.07,9.01 02/14/13 MANHATTAN BRIDGE CAPITAL, INC NY 1.01,8.01,9.01 01/31/13 MARINE PETROLEUM TRUST TX 7.01,9.01 02/15/13 MARKEL CORP VA 8.01,9.01 02/15/13 MARRIOTT INTERNATIONAL INC /MD/ DE 2.02,9.01 02/19/13 MAXWELL TECHNOLOGIES INC DE 5.02 02/13/13 MEADOWBROOK INSURANCE GROUP INC MI 2.02,5.02,7.01,9.01 02/12/13 MEDTRONIC INC MN 2.02,9.01 02/19/13 Merck & Co. Inc. NJ 2.02,9.01 02/14/13 MERISEL INC /DE/ DE 1.01,1.02,5.02 02/13/13 MHI Hospitality CORP MD 2.02,9.01 02/19/13 MIDDLESEX WATER CO NJ 1.02,8.01 02/19/13 Millennial Media Inc. DE 2.02,9.01 02/19/13 Millennium India Acquisition CO Inc. DE 2.01,8.01,9.01 02/19/13 MINDSPEED TECHNOLOGIES, INC DE 5.02,5.07 02/12/13 MIPS TECHNOLOGIES INC DE 5.02 02/15/13 Momentive Performance Materials Inc. DE 5.02 02/13/13 MOMENTIVE SPECIALTY CHEMICALS INC. NJ 5.02 02/13/13 Mondelez International, Inc. VA 7.01,9.01 02/19/13 MONDIAL VENTURES, INC. NV 4.01,9.01 02/19/13 Monster Offers NV 5.02 02/19/13 Morgan Stanley Bank of America Merril DE 9.01 01/28/13 AMEND MORGAN STANLEY BANK OF AMERICA MERRIL DE 8.01,9.01 02/15/13 MPHASE TECHNOLOGIES INC NJ 3.02 02/15/13 MS STRUCTURED SATURNS SERIES 2004-4 DE 8.01,9.01 02/15/13 MS STRUCTURED SATURNS SERIES 2004-6 DE 8.01,9.01 02/15/13 MS STRUCTURED SATURNS SERIES 2005-1 DE 8.01,9.01 02/15/13 MUELLER INDUSTRIES INC DE 5.02,9.01 02/19/13 National Bank Holdings Corp DE 8.01,9.01 02/19/13 NATIONAL HEALTH INVESTORS INC MD 8.01 02/19/13 AMEND NATIONAL HEALTHCARE CORP DE 5.03,9.01 02/14/13 National Interstate CORP OH 5.02 02/15/13 NATIONAL PRESTO INDUSTRIES INC WI 2.02,9.01 02/15/13 NATIONAL WESTERN LIFE INSURANCE CO CO 8.01 02/15/13 NAVISTAR INTERNATIONAL CORP DE 5.02,5.07,9.01 02/18/13 NEOGENOMICS INC NV 2.02,9.01 02/14/13 NetSpend Holdings, Inc. DE 1.01,5.02,8.01,9.01 02/19/13 NeuroMetrix, Inc. DE 2.02,9.01 02/19/13 NEWS CORP 8.01,9.01 02/18/13 Nexeo Solutions Holdings, LLC DE 7.01,9.01 02/19/13 NEXTERA ENERGY INC FL 5.02 02/15/13 NICHOLAS FINANCIAL INC FL 8.01,9.01 02/19/13 NII HOLDINGS INC DE 1.01,2.03,9.01 02/19/13 NISOURCE INC/DE DE 2.02,9.01 02/19/13 NORFOLK SOUTHERN CORP VA 5.02,5.03,9.01 02/19/13 NORTECH SYSTEMS INC MN 5.02,9.01 02/14/13 NORTHEAST UTILITIES MA 2.02,9.01 02/19/13 NORTHWESTERN CORP DE 5.02,9.01 02/13/13 NORTHWESTERN CORP DE 7.01,9.01 02/19/13 OCTAGON 88 RESOURCES, INC. NV 9.01 10/15/12 AMEND OCWEN FINANCIAL CORP FL 2.01,2.03,9.01 02/15/13 OCZ TECHNOLOGY GROUP INC DE 8.01,9.01 02/19/13 OIL STATES INTERNATIONAL, INC DE 2.02,9.01 02/19/13 OM GROUP INC DE 4.02 02/18/13 OM GROUP INC DE 2.02 02/19/13 OMNICARE INC DE 2.02,9.01 02/19/13 ONCOR ELECTRIC DELIVERY CO LLC DE 2.02,9.01 02/19/13 OVERLAND STORAGE INC CA 8.01,9.01 02/19/13 OWENS & MINOR INC/VA/ VA 5.02,9.01 02/19/13 PEDEVCO CORP TX 1.01,2.03,9.01 02/19/13 PEREGRINE PHARMACEUTICALS INC DE 8.01,9.01 02/19/13 PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 02/15/13 PERRY ELLIS INTERNATIONAL INC FL 2.02,9.01 02/19/13 Pershing Gold Corp. NV 1.01,5.02,9.01 02/12/13 PERVASIP CORP NY 1.01,3.02,9.01 12/31/12 PHAZAR CORP DE 2.02,9.01 02/11/13 Phillips Edison - ARC Shopping Center MD 1.01,2.01,8.01,9.01 02/19/13 AMEND Post Holdings, Inc. MO 2.02,7.01,9.01 02/19/13 Post Holdings, Inc. MO 8.01,9.01 02/19/13 Powder River Coal Corp. FL 4.01,9.01 02/18/13 PRAXAIR INC DE 1.01,9.01 02/19/13 PRESTIGE CAPITAL CORP NV 4.01,9.01 02/14/13 Primerica, Inc. DE 5.02,9.01 02/15/13 PROASSURANCE CORP DE 2.02,7.01,9.01 02/19/13 PROGAMING PLATFORMS CORP DE 1.01,9.01 02/18/13 PROSPECT GLOBAL RESOURCES INC. NV 8.01 02/16/13 PSS WORLD MEDICAL INC FL 5.07 02/19/13 PVF CAPITAL CORP OH 7.01,8.01,9.01 02/19/13 QUESTAR CORP UT 5.02 02/12/13 RADIAN GROUP INC DE 5.02 02/13/13 RAMBUS INC DE 8.01,9.01 02/19/13 Ranger Gold Corp. 1.01,1.02,9.01 02/18/13 RDA Holding Co. 1.01,1.03,2.04,5.02, 02/19/13 7.01,8.01,9.01 RED ROBIN GOURMET BURGERS INC DE 2.02,5.02,5.03,9.01 02/13/13 REGAL ENTERTAINMENT GROUP DE 1.01,8.01,9.01 02/16/13 Regency Energy Partners LP DE 1.01,2.03,9.01 02/19/13 REMY INTERNATIONAL, INC. DE 2.02,9.01 02/18/13 RES CARE INC /KY/ KY 2.02,9.01 02/19/13 RETAIL PROPERTIES OF AMERICA, INC. MD 2.02,9.01 02/19/13 Revel AC, Inc. DE 1.01,9.01 02/12/13 Rockwood Holdings, Inc. DE 2.02,9.01 02/19/13 ROGERS CORP MA 2.02,7.01,9.01 02/19/13 RPC INC DE 8.01,9.01 02/19/13 SALON MEDIA GROUP INC DE 2.02,9.01 02/14/13 AMEND SANDERSON FARMS INC MS 5.07,9.01 02/14/13 SEACOR HOLDINGS INC /NEW/ DE 8.01,9.01 02/15/13 SEALED AIR CORP/DE DE 2.02,7.01,9.01 02/19/13 SEARS HOLDINGS CORP DE 5.02,9.01 02/12/13 SecureAlert, Inc. UT 1.01,9.01 02/13/13 SHARPS COMPLIANCE CORP DE 5.02,9.01 02/18/13 Shire plc 8.01,9.01 02/18/13 SHUTTERFLY INC DE 5.02 02/13/13 SILVER BULL RESOURCES, INC. NV 1.01,8.01,9.01 02/14/13 SILVERSTAR MINING CORP. NV 2.01,3.02,5.01,9.01 02/15/13 SIMULATIONS PLUS INC 5.07,8.01,9.01 02/15/13 SINOCOKING COAL & COKE CHEMICAL INDUS FL 2.02,9.01 02/19/13 SITEL Worldwide Corp DE 8.01,9.01 02/18/13 Skilled Healthcare Group, Inc. DE 8.01 02/15/13 SkyPeople Fruit Juice, Inc FL 1.01,8.01,9.01 02/18/13 SOLTA MEDICAL INC DE 2.02,9.01 02/19/13 SONOCO PRODUCTS CO SC 5.02 02/12/13 SONOCO PRODUCTS CO SC 5.02 02/19/13 SONUS NETWORKS INC DE 5.02,9.01 02/14/13 SOUTH DAKOTA SOYBEAN PROCESSORS LLC 2.02,9.01 02/19/13 SOUTHERN CONNECTICUT BANCORP INC CT 5.02 02/19/13 SOUTHWESTERN ENERGY CO DE 4.02 02/18/13 SPECTRUM GROUP INTERNATIONAL, INC. DE 1.01,9.01 02/14/13 Spirit Airlines, Inc. DE 2.02,9.01 02/18/13 Spirit Airlines, Inc. DE 7.01,9.01 02/19/13 Stanadyne Holdings, Inc. DE 1.01,2.03,9.01 02/13/13 Standard Financial Corp. MD 7.01,9.01 02/19/13 Station Casinos LLC NV 8.01,9.01 02/14/13 STEPAN CO DE 2.02,9.01 02/19/13 STIFEL FINANCIAL CORP DE 2.01,9.01 02/15/13 Sunstone Hotel Investors, Inc. MD 2.02,5.02,9.01 02/15/13 Super Micro Computer, Inc. CA 5.07 02/14/13 Support.com, Inc. DE 5.02 02/12/13 SVB FINANCIAL GROUP 5.02 02/13/13 TANDY LEATHER FACTORY INC DE 5.02 02/14/13 Technologies Scan Corp A8 8.01,9.01 01/22/13 TECHPRECISION CORP 2.02,7.01,9.01 02/19/13 TECHPRECISION CORP 1.01,9.01 02/14/13 TECTON CORP 8.01 02/19/13 TENNANT CO MN 2.02,9.01 02/19/13 TEREX CORP DE 2.02,7.01,9.01 02/19/13 TERRA NITROGEN CO L P /DE DE 2.02,9.01 02/19/13 TESCO CORP 7.01,9.01 02/13/13 Texas Roadhouse, Inc. DE 2.02,8.01,9.01 02/19/13 THERAVANCE INC DE 8.01,9.01 02/19/13 THQ INC DE 1.01 02/19/13 TIANYIN PHARMACEUTICAL CO., INC. DE 7.01,9.01 02/14/12 TMS International Corp. DE 7.01,9.01 02/19/13 TOTAL SYSTEM SERVICES INC GA 7.01,8.01,9.01 02/19/13 TOTAL SYSTEM SERVICES INC GA 1.01,9.01 02/19/13 Tower Group, Inc. DE 8.01,9.01 02/19/13 TOWN SPORTS INTERNATIONAL HOLDINGS IN DE 2.02,9.01 02/19/13 TRANS1 INC 5.02,7.01,9.01 02/14/13 TREX CO INC DE 2.02,9.01 02/19/13 Trio Resources, Inc. NV 1.01,2.01,3.02,4.01, 12/14/12 AMEND 5.01,5.02,5.03,5.06, 9.01 TRISTAR WELLNESS SOLUTIONS, INC. NV 1.01,2.01,3.02,5.02, 02/19/13 9.01 TRUSTCO BANK CORP N Y NY 8.01,9.01 02/19/13 TRUSTMARK CORP MS 2.01,2.03,8.01,9.01 02/15/13 UIL HOLDINGS CORP CT 8.01,9.01 02/19/13 ULTRA CLEAN HOLDINGS INC DE 2.02,9.01 02/19/13 Uni-Pixel DE 8.01,9.01 02/19/13 UNIT CORP DE 2.02,9.01 02/19/13 UNITED FIRE GROUP INC 2.02,9.01 02/19/13 UNITED PARCEL SERVICE INC DE 5.02,5.03,9.01 02/14/13 URANIUM RESOURCES INC /DE/ DE 8.01,9.01 02/14/13 US TUNGSTEN CORP. 1.01,3.02,9.01 02/19/13 VALIDUS HOLDINGS LTD 5.02 02/15/13 Vantage Drilling CO E9 2.02,9.01 02/15/13 VelaTel Global Communications, Inc. NV 3.02 02/13/13 VERAMARK TECHNOLOGIES INC DE 2.02,5.02,9.01 02/19/13 VirtualScopics, Inc. DE 2.02,9.01 02/19/13 VITRAN CORP INC A6 1.01,9.01 02/12/13 WADDELL & REED FINANCIAL INC DE 5.02,9.01 02/13/13 WaferGen Bio-systems, Inc. NV 7.01,9.01 02/19/13 WATTS WATER TECHNOLOGIES INC DE 2.02,9.01 02/19/13 WAUSAU PAPER CORP. WI 5.02,9.01 02/13/13 WEINGARTEN REALTY INVESTORS /TX/ TX 2.02,9.01 02/14/13 WELLESLEY CAPITAL MANAGEMENT CORP. FL 4.01,9.01 02/19/13 WESCO INTERNATIONAL INC 8.01 02/19/13 WESTERN DIGITAL CORP DE 5.02 02/14/13 WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 2.02,7.01,9.01 02/19/13 WESTLAKE CHEMICAL CORP DE 2.02,9.01 02/19/13 WEYERHAEUSER CO WA 5.02 02/14/13 WFRBS Commercial Mortgage Trust 2012- NC 9.01 12/14/12 AMEND Wheeler Real Estate Investment Trust, MD 8.01 12/14/12 AMEND WINDSTREAM CORP DE 2.02,9.01 02/19/13 Wizard World, Inc. DE 8.01,9.01 02/14/13 WOLVERINE WORLD WIDE INC /DE/ MI 2.02,9.01 02/19/13 ZIX CORP TX 2.02,9.01 02/19/13 ZIX CORP TX 5.02 02/14/13
http://www.sec.gov/news/digest/2013/dig022013.htm
|