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Enforcement ProceedingsFormer Mercury Interactive CEO/Chairman and CFO Settle Suit Alleging Stock Options Backdating and Other MisconductExecutives to be Permanently Enjoined, to Pay Civil Penalties and Disgorgement, and to Reimburse Company Pursuant to Section 304 of Sarbanes-Oxley; Former CEO/Chairman also to be Barred for Five Years from Serving as an Officer and Director of any Public Company On February 21, 2012, the Securities and Exchange Commission settled civil fraud charges against Amnon Landan, the former Chairman and Chief Executive Officer of Mercury Interactive, LLC (Mercury), and Douglas Smith, a former Chief Financial Officer of Mercury, arising from an alleged scheme to backdate stock option grants and from other alleged misconduct. On May 31, 2007, the Commission charged Landan, Smith, and two other former senior Mercury officers with perpetrating a fraudulent and deceptive scheme from 1997 to 2005 to award themselves and other Mercury employees undisclosed, secret compensation by backdating stock option grants and failing to record hundreds of millions of dollars of compensation expense. The Commission’s complaint also alleges that during this period Landan and certain other executives backdated stock option exercises and made fraudulent disclosures concerning Mercury's "backlog" of sales revenues to manage its reported earnings. Without admitting or denying the allegations in the Commission’s complaint, Landan consented to the entry of a final judgment permanently enjoining him from violating and/or aiding and abetting violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, as well as the financial reporting, record-keeping, internal controls, false statements to auditors, and proxy provisions of the federal securities laws. Landan also agreed to be barred from serving as an officer or director of any public company for five years. Landan will pay $1,252,822 in disgorgement and prejudgment interest, representing the “in-the-money” benefit from his exercise of backdated option grants, and a $1,000,000 civil penalty. Pursuant to Section 304 of the Sarbanes-Oxley Act, Landan will also reimburse Mercury, or the parent company that acquired it after the alleged misconduct (Hewlett-Packard Company), $5,064,678 for cash bonuses and profits from the sale of Mercury stock that he received in 2003. Under the terms of the settlement, Landan’s Section 304 reimbursement shall be deemed partially satisfied by his prior return to Mercury of $2,817,500 in vested options. Without admitting or denying the allegations in the Commission’s complaint, Smith consented to the entry of a final judgment permanently enjoining him from violating Section 17(a)(2) and (a)(3) of the Securities Act of 1933. He will disgorge $451,200, representing the “in-the-money” benefit from his exercise of backdated option grants, and pay a $100,000 civil penalty. Pursuant to Section 304 of the Sarbanes-Oxley Act, Smith will also reimburse Mercury or its parent company $2,814,687 for profits received from the sale of Mercury stock in 2003 and a cash bonus received for 2003. Under the terms of the settlement, all of Smith’s disgorgement and all but $250,000 of his Section 304 reimbursement shall be deemed satisfied by his prior repayment to Mercury of $451,200 and his foregoing of his right to exercise vested options with a value of $2,113,487. The settlements are subject to the approval of the United States District Court for the Northern District of California. The Commission previously filed settled charges in this matter against Mercury and three former outside directors of Mercury. On May 31, 2007, the Commission filed civil fraud charges against Mercury based on the stock option backdating scheme and other fraudulent conduct noted above. Mercury, which was acquired by Hewlett-Packard Company on Nov. 8, 2006, after the alleged misconduct, settled the matter by agreeing to pay a $28 million penalty and to be permanently enjoined. See Litigation Release No. 20136 (May 31, 2007). On September 17, 2008, the Commission filed settled charges against three former outside directors of Mercury alleging that they recklessly approved backdated stock option grants and reviewed and signed public filings that contained materially false and misleading disclosures about the company’s stock option grants and company expenses. The outside directors settled the matter by consenting to permanent injunctions and the payment by each director of a $100,000 penalty. See Litigation Release No. 20724 (Sept. 17, 2008). Mercury and the outside directors settled the charges without admitting or denying the allegations in the Commission’s complaint. The Commission also previously settled with one of the four senior officers in its contested action. On March 20, 2009, the Commission settled with former Mercury CFO Sharlene Abrams by which she agreed to entry of a permanent injunction against the antifraud and certain other securities law provisions, to pay $2,287,914 in disgorgement which was deemed partially satisfied by payment to Mercury, to pay a $425,000 civil penalty, to be permanently barred from serving as an officer and director of any public company, and to a Commission order barring her from appearing or practicing before the Commission as an accountant. See Litigation Release No. 20964 (March 20, 2009). Abrams settled without admitting or denying the allegations in the Commission’s complaint. The Commission’s litigation against one remaining Mercury officer, former general counsel Susan Skaer, is continuing. [SEC v. Mercury Interactive, LLC (f/k/a Mercury Interactive Corporation), Amnon Landan, Sharlene Abrams, Douglas Smith, and Susan Skaer, Case No. 07-2822 (WHA). (N.D. Cal.)] (LR-22623) INVESTMENT COMPANY ACT RELEASESOrders of Deregistration Under the Investment Company Act of 1940Orders have been issued under Section 8(f) of the Investment Company Act of 1940 declaring that each of the following has ceased to be an investment company:
SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesThe Options Clearing Corporation (“OCC”) filed a proposed rule change (SR-OCC-2013-01) under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 to provide clarifying language to conform interpretative guidance concerning options overlying fund shares with OCC’s By-Laws governing adjustments. Publication is expected in the Federal Register during the week of February 25. (Rel. 34-68962) A proposed rule change filed by the BOX Options Exchange LLC (SR-BOX-2013-08) to reduce the directed order exposure period on BOX from three seconds to one second 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 25. (Rel. 34-68965) Proposed Rule ChangesC2 Options Exchange, Incorporated filed a proposed rule change, as modified by Amendment No. 1 thereto (SR-C2-2013-008), 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 25. (Rel. 34-68964) The International Securities Exchange, LLC, filed a proposed rule change (SR-ISE-2013-14) under Section 19(b)(1) of the Securities Exchange Act of 1934 to list options on the Dow Jones FXCM Dollar Index. Publication is expected in the Federal Register during the week of February 25. (Rel. 34-68971) 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 CLEARBRIDGE AMERICAN ENERGY MLP FUND INC., 620 EIGHTH AVENUE, 49TH FLOOR, NEW YORK, NY, 10018, (888) 777-0102 - 0 ($1,000,000.00) Equity, (File 333-186787 - Feb. 22) (BR. 18) S-3ASR REALTY INCOME CORP, 600 LA TERRAZA BLVD, ESCONDIDO, CA, 92025, 7607412111 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186788 - Feb. 22) (BR. 08C) S-8 MAGNACHIP SEMICONDUCTOR Corp, C/O MAGNACHIP SEMICONDUCTOR S.A., 74, RUE DE MERL, LUXEMBOURG, N4, L-2146, (352) 45-62-62 - 712,707 ($11,488,836.84) Equity, (File 333-186789 - Feb. 22) (BR. 10B) S-8 Financial Engines, Inc., 1050 ENTERPRISE WAY, 3RD FL, SUNNYVALE, CA, 94089, 408-498-6900 - 1,500,000 ($47,340,000.00) Equity, (File 333-186790 - Feb. 22) (BR. 12B) S-1 MONY LIFE INSURANCE CO OF AMERICA, 1290 AVENUE OF THE AMERICAS, MAIL STOP 11-18, NEW YORK, NY, 10104, 2125541234 - 112,685,390 ($1.00) Equity, (File 333-186795 - Feb. 22) (BR. 01A) S-3 AXA EQUITABLE LIFE INSURANCE CO, 1290 AVENUE OF THE AMERICAS, NEW YORK, NY, 10104, 2125541234 - 2,105,915,391 ($1.00) Equity, (File 333-186796 - Feb. 22) (BR. 01A) S-8 TYSON FOODS INC, 2200 DON TYSON PARKWAY, SPRINGDALE, AR, 72762-6999, 479-290-4000 - 56,840,000 ($1,326,077,200.00) Equity, (File 333-186797 - Feb. 22) (BR. 05B) S-3ASR TIME WARNER INC., ONE TIME WARNER CENTER, NEW YORK, NY, 10019, 2124848000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186798 - Feb. 22) (BR. 11A) S-3 EUROSITE POWER INC., 45 FIRST AVENUE, WALTHAM, MA, 02451, 781-622-1120 - 1,872,525 ($2,808,787.50) Equity, (File 333-186799 - Feb. 22) (BR. 02) S-4 DELUXE CORP, 3680 VICTORIA STREET NORTH, SHOREVIEW, MN, 55126, 6514837111 - 0 ($200,000,000.00) Debt, (File 333-186800 - Feb. 22) (BR. 05A) S-4 Alphabet Holding Company, Inc., 2100 SMITHTOWN AVENUE, RONKONKOMA, NY, 11779, 631 200 7377 - 0 ($799,921,303.00) Debt, (File 333-186802 - Feb. 22) (BR. 01) S-3ASR TEXAS INSTRUMENTS INC, P.O. BOX 660199, DALLAS, TX, 75266, 9729953773 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186803 - Feb. 22) (BR. 10B) S-3 GENTHERM Inc, 21680 HAGGERTY ROAD, NORTHVILLE, MI, 48167-8994, 248-504-0500 - 0 ($47,536,500.00) Equity, (File 333-186806 - Feb. 22) (BR. 05A) S-3ASR REGIONS FINANCIAL CORP, 1900 FIFTH AVENUE NORTH, BIRMINGHAM, AL, 35203, 205-944-1300 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186811 - Feb. 22) (BR. 12A) S-3ASR MEDICAL PROPERTIES TRUST INC, 1000 UBRAN CENTER DRIVE, SUITE 501, BIRMINGHAM, AL, 35242, 205-969-3755 - 0 ($0.00) Equity, (File 333-186812 - Feb. 22) (BR. 08B) S-4 WINDSTREAM CORP, 4001 RODNEY PARHAM RD., LITTLE ROCK, AR, 72212, 5017487000 - 0 ($700,000,000.00) Non-Convertible Debt, (File 333-186813 - Feb. 22) (BR. 11A) S-8 JACKSONVILLE BANCORP INC /FL/, 100 NORTH LAURA STREET, SUITE 1000, JACKSONVILLE, FL, 32202, 9044213040 - 6,820,000 ($10,571,000.00) Equity, (File 333-186814 - Feb. 22) (BR. 07B) S-8 PARKWAY PROPERTIES INC, 390 N. ORANGE AVE STE 2400, ORLANDO, FL, 32801, 407-650-0593 - 3,250,000 ($54,340,000.00) Equity, (File 333-186816 - Feb. 22) (BR. 08C) S-8 SPX CORP, 13515 BALLANTYNE CORPORATE PLACE, CHARLOTTE, NC, 28277, 704-752-4400 - 0 ($100,000,000.00) Equity, (File 333-186817 - Feb. 22) (BR. 10B) S-8 VOCERA COMMUNICATIONS, INC., 525 RACE STREET, SUITE 150, SAN JOSE, CA, 95126-3495, 408-882-5100 - 1,453,760 ($39,673,111.80) Equity, (File 333-186818 - Feb. 22) (BR. 11C) S-1 RCS Capital Corp, 405 PARK AVENUE, NEW YORK, NY, 10022, 212.415.6500 - 0 ($86,250,000.00) Equity, (File 333-186819 - Feb. 22) (BR. ) S-8 NAVISTAR INTERNATIONAL CORP, 2701 NAVISTAR DRIVE, LISLE, IL, 60532, 331-332-5000 - 0 ($137,678,250.00) Equity, (File 333-186820 - Feb. 22) (BR. 05B) 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
-----------------------------------------------------------------------------------------
ACCENTIA BIOPHARMACEUTICALS INC FL 5.02 02/20/13
ACHILLION PHARMACEUTICALS INC DE 8.01,9.01 02/20/13
ADCARE HEALTH SYSTEMS INC OH 1.01 02/15/13
Addus HomeCare Corp DE 7.01,9.01 02/22/13
ALLIED MOTION TECHNOLOGIES INC CO 5.02 02/22/13
AMERICAN EXPRESS CO NY 5.02 02/21/13
American Standard Energy Corp. DE 5.01 02/18/13
AMICUS THERAPEUTICS INC DE 5.02 02/22/13
ANALYSTS INTERNATIONAL CORP 2.02,9.01 02/22/13
Anoteros, Inc. NV 5.02 02/20/13
AntriaBio, Inc. DE 4.01,9.01 02/15/13
Approach Resources Inc DE 2.02,7.01,9.01 02/21/13
ARAMARK CORP DE 8.01 02/22/13
Armada Oil, Inc. NV 1.01,9.01 02/19/13
ARTFEST INTERNATIONAL INC DE 4.01 02/15/13
As Seen On TV, Inc. FL 2.02,7.01,9.01 02/22/13
Ascent Capital Group, Inc. DE 7.01,9.01 02/19/13
ASHLAND INC. KY 8.01,9.01 02/22/13
ATLANTIC TELE NETWORK INC /DE DE 2.02,9.01 02/21/13
Atlas Energy, L.P. DE 2.02,9.01 02/21/13
Atlas Resource Partners, L.P. DE 2.02,9.01 02/21/13
BANK MUTUAL CORP WI 5.02 02/19/13
BANK OF HAWAII CORP DE 8.01 02/21/13
BARNES GROUP INC DE 2.02,7.01,9.01 02/22/13
Bazaarvoice Inc DE 2.02,8.01,9.01 02/21/13
Bazaarvoice Inc DE 5.07 10/09/12 AMEND
BILL BARRETT CORP DE 2.02,7.01,9.01 02/21/13
BIOSTEM U.S. CORP NV 1.02,5.02,8.01 02/21/13
BLUE WATER VENTURES INTERNATIONAL INC NV 8.01 02/19/13
BLUEFLY INC DE 3.01 02/15/13
BONAMOUR PACIFIC INC NV 4.01 02/19/13
BRT REALTY TRUST MA 9.01 01/11/13
CABOT OIL & GAS CORP DE 2.02,9.01 02/21/13
Cape Bancorp, Inc. MD 8.01,9.01 02/22/13
CARDINAL HEALTH INC OH 8.01,9.01 02/22/13
CardioNet, Inc. CA 5.02 02/19/13
CARPENTER TECHNOLOGY CORP DE 1.01,7.01,9.01 02/21/13
CC Media Holdings Inc 1.01,8.01,9.01 02/21/13
Celsion CORP DE 2.02,8.01,9.01 02/22/13
CENTERLINE HOLDING CO DE 1.01,9.01 02/15/13
CHARTER COMMUNICATIONS, INC. /MO/ DE 2.02,9.01 02/22/13
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 02/19/13 AMEND
CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 02/22/13
ChemoCentryx, Inc. DE 5.02 02/20/13
CHENIERE ENERGY INC DE 2.02,9.01 02/22/13
Cheniere Energy Partners, L.P. DE 2.02,9.01 02/22/13
CHUY'S HOLDINGS, INC. DE 7.01,9.01 02/21/13
Citizens Community Bancorp Inc. MD 5.07 02/21/13
CLEAR CHANNEL COMMUNICATIONS INC TX 1.01,8.01,9.01 02/21/13
CLEARSIGN COMBUSTION CORP WA 7.01,9.01 02/22/13
CombiMatrix Corp DE 5.02,7.01,9.01 02/18/13
Command Center, Inc. WA 5.02,8.01,9.01 02/19/13
ConnectOne Bancorp, Inc. NJ 8.01,9.01 02/21/13
CoreSite Realty Corp MD 2.02,9.01 02/22/13
CROSS A T CO RI 2.02,9.01 02/20/13
CROWN MEDIA HOLDINGS INC DE 2.02,9.01 02/22/13
CRYOLIFE INC FL 4.01,9.01 02/18/13
CubeSmart MD 2.02,7.01,9.01 02/21/13
CURIS INC DE 5.02,8.01,9.01 02/19/13
CYBERONICS INC DE 2.02,9.01 02/22/13
DARDEN RESTAURANTS INC FL 7.01,9.01 02/22/13
Digital Realty Trust, Inc. 2.02,7.01,9.01 02/22/13 AMEND
DONEGAL GROUP INC DE 2.02,9.01 02/22/13
DOW CHEMICAL CO /DE/ DE 8.01,9.01 02/22/13
EARTHLINK INC DE 5.02 02/18/13
ECOLOGY COATINGS, INC. NV 5.02 02/22/13
ELECTRONIC CONTROL SECURITY INC NJ 8.01,9.01 02/15/13
ELECTRONIC SYSTEMS TECHNOLOGY INC WA 8.01,9.01 02/14/13
Elevate, Inc. NV 1.02 02/21/13
ENERGY EDGE TECHNOLOGIES CORP. NJ 5.02 02/22/13
EnteroMedics Inc 8.01,9.01 02/21/13
EnteroMedics Inc 1.01,8.01,9.01 02/22/13
EQUITY LIFESTYLE PROPERTIES INC MD 5.02 02/15/13
FARMERS & MERCHANTS BANCORP DE 2.02,9.01 02/21/13
FAUQUIER BANKSHARES, INC. VA 8.01,9.01 02/22/13
Federal Home Loan Bank of San Francis X1 2.02,7.01,9.01 02/21/13
FERMO GROUP, INC. NV 1.01,5.01,5.02,9.01 02/21/13
FIRST FINANCIAL HOLDINGS INC /DE/ DE 1.01,9.01 02/19/13
FIRST POTOMAC REALTY TRUST MD 2.02,7.01,9.01 02/21/13
FIRST SOUTH BANCORP INC /VA/ VA 1.01,2.02,2.06,9.01 02/20/13
FLEXTRONICS INTERNATIONAL LTD. U0 1.01,2.03,9.01 02/20/13
FONU2 Inc. NV 9.01 03/29/12 AMEND
FOOT LOCKER INC NY 5.02,9.01 02/20/13
Ford Credit Auto Owner Trust 2013-A 1.01,8.01,9.01 02/20/13
Fortress Investment Group LLC DE 7.01 02/22/13
FRANKLIN ELECTRIC CO INC IN 8.01,9.01 02/22/13
FUEL DOCTOR HOLDINGS, INC. DE 1.01 02/20/13
GENERAL EMPLOYMENT ENTERPRISES INC IL 2.02,9.01 02/20/13
GEOSPACE TECHNOLOGIES CORP DE 5.07 02/21/13
GIBRALTAR INDUSTRIES, INC. DE 2.02,7.01,9.01 02/22/13
GLOBAL GROUP ENTERPRISES CORP. FL 8.01 02/22/13
GLOBAL PARTNERS LP 2.01,9.01 02/15/13
GOLDFIELDS INTERNATIONAL INC NV 5.02 02/20/13
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 01/31/13
GREEN DOT CORP DE 1.01 02/20/13
Green Innovations Ltd. 8.01,9.01 02/22/13
GSP-2, INC. NV 4.01,9.01 02/19/13
GTJ REIT, Inc. MD 1.01,5.02 02/22/13
HALLIBURTON CO DE 8.01 02/19/13
HARLAND CLARKE HOLDINGS CORP DE 1.01,2.03 02/20/13
HARMONIC INC DE 1.01,8.01,9.01 02/18/13
HEADWATERS INC DE 5.07 02/21/13
HEALTH MANAGEMENT ASSOCIATES, INC DE 5.02 02/19/13
HEALTH NET INC DE 7.01 02/22/13
HENRY SCHEIN INC DE 1.02 02/21/13
HMS HOLDINGS CORP 2.02,9.01 02/22/13
Huntington Funding, LLC DE 6.05,9.01 02/22/13
IBERIABANK CORP LA 5.02 02/19/13
iBio, Inc. DE 5.02 02/21/13
IMMUCOR INC GA 1.01,2.03,9.01 02/19/13
IMMUNOMEDICS INC DE 1.01,9.01 02/22/13
INSPERITY, INC. DE 5.02,9.01 02/19/13
INTERCEPT PHARMACEUTICALS INC DE 1.01,9.01 02/15/13
INTERGROUP CORP DE 5.07 02/20/13
INTERNATIONAL SILVER INC AZ 1.01,9.01 02/21/13
ITRON INC /WA/ WA 5.02,9.01 02/21/13
JA Energy NV 4.01,9.01 01/02/13 AMEND
JUNIATA VALLEY FINANCIAL CORP PA 2.02,8.01,9.01 02/21/13
K12 INC DE 5.02 02/19/13
KAMAN CORP CT 4.01,9.01 02/21/13
KAYAK Software Corp DE 7.01 02/22/13
KRONOS WORLDWIDE INC 1.01,2.03,9.01 02/15/13
LEE ENTERPRISES, INC DE 5.07 02/21/13
LEXINGTON REALTY TRUST MD 2.02,7.01,9.01 02/21/13
LIBERTY ENERGY CORP. NV 5.02 02/19/13
LICONT, CORP. NV 4.02,9.01 02/15/13
LIFELOCK, INC. DE 1.01,5.02,9.01 02/15/13
Lightman Grant, Inc. DE 5.03 02/14/13
Live Event Media, Inc. NV 5.03,5.07,9.01 02/20/13
LUMINEX CORP DE 8.01 02/22/13
MARKWEST ENERGY PARTNERS L P 1.01,7.01,9.01 02/18/13
McEwen Mining Inc. CO 7.01,9.01 02/21/13
MCKESSON CORP DE 7.01,9.01 02/22/13
Mesa Energy Holdings, Inc. DE 1.01,9.01 02/19/13
METALICO INC 8.01,9.01 02/22/13
MF Global Holdings Ltd. DE 7.01,9.01 02/15/13
MICROSEMI CORP DE 1.01,2.03,9.01 02/19/13
MID AMERICA APARTMENT COMMUNITIES INC TN 8.01,9.01 02/22/13
MILLER ENERGY RESOURCES, INC. TN 7.01 02/21/13
MOBILE MINI INC DE 2.02,9.01 02/22/13
MOMENTA PHARMACEUTICALS INC DE 5.02,9.01 02/19/13
MONITRONICS INTERNATIONAL INC TX 7.01,9.01 02/19/13
Monster Offers NV 5.02 02/22/13
Monster Offers NV 9.01 02/22/13 AMEND
MULTIMEDIA GAMES HOLDING COMPANY, INC TX 7.01,9.01 02/22/13
MULTIMEDIA GAMES HOLDING COMPANY, INC TX 8.01 02/22/13
MVP REIT, Inc. MD 2.01 02/22/13 AMEND
NANOMETRICS INC DE 5.02 02/19/13
NATIONAL BANCSHARES CORP /OH/ OH 2.02,9.01 12/31/12
NATIONAL HOLDINGS CORP DE 2.02,9.01 02/15/13
NAVARRE CORP /MN/ MN 8.01,9.01 02/22/13
NEW HAMPSHIRE THRIFT BANCSHARES INC DE 5.02,9.01 02/14/13
NEW HAMPSHIRE THRIFT BANCSHARES INC DE 1.01,9.01 02/15/13
NEWMONT MINING CORP /DE/ DE 5.02 02/20/13
NEWMONT MINING CORP /DE/ DE 2.02,9.01 02/21/13
NEWS CORP 8.01,9.01 02/22/13
NGP Capital Resources Co MD 7.01,9.01 02/22/13
NISSAN WHOLESALE RECEIVABLES CORP II DE 1.01,8.01,9.01 02/20/13
NISSAN WHOLESALE RECEIVABLES CORP II DE 8.01,9.01 02/20/13
NORTHWEST INDIANA BANCORP IN 8.01,9.01 02/22/13
NV ENERGY, INC. NV 2.02,7.01,9.01 02/22/13
OFFICE DEPOT INC DE 7.01 02/21/13
OFFICE DEPOT INC DE 5.03,8.01,9.01 02/22/13
OFFICE DEPOT INC DE 1.01,1.02,3.03,9.01 02/22/13
OFFICEMAX INC DE 1.01,9.01 02/20/13
Okana Ventures, Inc. NV 4.01,9.01 02/21/13
ON SEMICONDUCTOR CORP DE 5.02,8.01 02/19/13
One Horizon Group, Inc. PA 1.01,3.02 02/18/13
ONEOK INC /NEW/ OK 5.02,8.01,9.01 02/22/13
ONEOK Partners LP DE 5.02 02/22/13
Onstream Media CORP FL 1.01,3.02,5.02 02/20/13
Orbitz Worldwide, Inc. DE 5.02 02/22/13
Orchids Paper Products CO /DE DE 5.02 02/15/13
ORIGINOIL INC NV 1.01,2.03,3.02,9.01 02/15/13
Oritani Financial Corp DE 7.01,9.01 02/22/13
Otter Tail Corp MN 1.01,9.01 02/05/13
OVERSTOCK.COM, INC DE 5.02,9.01 02/21/13
OXIGENE INC DE 8.01,9.01 02/22/13
Pacific Clean Water Technologies, Inc DE 2.01,3.02,4.01,5.01, 11/13/12 AMEND
5.02,5.03,5.06,9.01
PAN AMERICAN GOLDFIELDS LTD DE 5.08,8.01,9.01 02/22/13
Patriot Coal CORP DE 7.01,9.01 02/22/13
Patriot Coal CORP DE 7.01,9.01 02/22/13
PATRIOT GOLD CORP NV 8.01 02/21/13
PBF Energy Inc. DE 5.02,9.01 02/20/13
PERFORMANCE TECHNOLOGIES INC \DE\ DE 2.02 12/31/12
PINNACLE WEST CAPITAL CORP AZ 2.02,7.01,9.01 12/31/12
PIONEER NATURAL RESOURCES CO DE 5.02 02/21/13
PLAINS ALL AMERICAN PIPELINE LP DE 5.02 02/21/13
PMX Communities, Inc. NV 4.01,9.01 02/15/13 AMEND
PORTLAND GENERAL ELECTRIC CO /OR/ OR 2.02,7.01,9.01 02/22/13
PORTLAND GENERAL ELECTRIC CO /OR/ OR 5.02 02/20/13
PORTSMOUTH SQUARE INC CA 5.07 02/21/13
POWELL INDUSTRIES INC NV 5.02,5.07 02/20/13
PREMIER HOLDING CORP. NV 3.02 01/24/13
PREMIER HOLDING CORP. NV 5.02 10/31/12
PREMIERWEST BANCORP OR 5.07 02/19/13
PRICELINE COM INC DE 7.01 02/22/13
PRICELINE COM INC DE 5.02 02/22/13 AMEND
PSS WORLD MEDICAL INC FL 1.01,1.02,2.01,3.01, 02/22/13
3.03,5.01,5.02,5.03,
9.01
Public Storage MD 2.02,9.01 12/31/12
PVF CAPITAL CORP OH 1.01,9.01 02/19/13
QKL Stores Inc. DE 8.01,9.01 02/20/13
QLT INC/BC A1 5.02 02/16/13
QUIKSILVER INC DE 5.02,9.01 02/16/13
RAIT Financial Trust MD 7.01,9.01 02/13/13
Real Goods Solar, Inc. CO 8.01 02/21/13
REALTY INCOME CORP MD 8.01,9.01 02/22/13
REGAL ONE Corp FL 4.01,9.01 12/31/12
RETAIL OPPORTUNITY INVESTMENTS CORP DE 2.01,9.01 12/27/12 AMEND
Revolution Lighting Technologies, Inc DE 1.01,2.03,3.02,3.03, 02/16/13
5.02,5.03,5.07,9.01
Rovi Corp DE 5.02,9.01 02/20/13
RURBAN FINANCIAL CORP OH 5.02,9.01 02/20/13
SALESFORCE COM INC DE 8.01 02/22/13
SANDERSON FARMS INC MS 2.02,9.01 02/21/13
SANTA FE FINANCIAL CORP NV 5.07 02/21/13
SANTARUS INC DE 5.02,9.01 02/19/13
Savoy Energy Corp NV 8.01 02/21/13
Savoy Energy Corp NV 8.01 02/22/13
SBA COMMUNICATIONS CORP FL 2.02,9.01 02/21/13
SCBT FINANCIAL CORP SC 1.01,9.01 02/19/13
SCICLONE PHARMACEUTICALS INC DE 2.02,4.01,4.02,9.01 02/15/13
Sealand Natural Resources Inc NY 1.01,2.01,3.02,5.06, 02/14/13
9.01
Select Income REIT MD 2.02,9.01 02/22/13
SEMPRA ENERGY CA 5.02 02/15/13
SHILOH INDUSTRIES INC DE 5.02 02/22/13
Shire plc 8.01,9.01 02/22/13
SILICON LABORATORIES INC DE 5.02,9.01 02/22/13
Silver Falcon Mining, Inc. DE 1.01,3.02,9.01 02/22/13
SLM CORP DE 5.02,7.01,9.01 02/22/13
SM Energy Co DE 4.01,9.01 09/10/12 AMEND
Solar Energy Initiatives, Inc. DE 5.02,9.01 02/19/13
SOLERA HOLDINGS, INC DE 5.07 11/10/11 AMEND
Spectra Energy Corp. DE 5.02 02/19/13
SPHERIX INC DE 7.01,8.01,9.01 02/15/13
STANDARD REGISTER CO OH 2.02,8.01,9.01 02/21/13
STEINWAY MUSICAL INSTRUMENTS INC DE 1.01,9.01 02/20/13
STIFEL FINANCIAL CORP DE 5.02 02/15/13
STONEMOR PARTNERS LP DE 1.01,2.03,9.01 02/19/13
STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 02/15/13
STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 02/15/13
STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 02/15/13
STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 02/15/13
Stream Global Services, Inc. DE 1.01,9.01 02/19/13
SWISSINSO HOLDING INC. DE 1.01 01/26/13
TACTICAL AIR DEFENSE SERVICES, INC. 1.01,7.01,9.01 02/21/13
TECKMINE INDUSTRIES INC. 7.01,9.01 02/21/13
TELIK INC DE 1.02,9.01 02/19/13
Tennessee Valley Authority 5.02 02/19/13
Texas Gulf Energy Inc NV 7.01,8.01 02/20/13
TEXAS INSTRUMENTS INC DE 8.01,9.01 02/21/13
TIAA REAL ESTATE ACCOUNT NY 8.01 02/22/13
TRAILBLAZER RESOURCES INC. NV 8.01 02/16/13
TREDEGAR CORP VA 5.02,9.01 02/19/13
U.S. Auto Parts Network, Inc. DE 5.02 02/19/13
UFP TECHNOLOGIES INC DE 1.01,5.02,9.01 02/18/13
ULTRA CLEAN HOLDINGS INC DE 1.01,9.01 02/15/13
ULTRALIFE CORP DE 1.01,9.01 02/15/13
UNITED COMMUNITY BANKS INC GA 2.02,7.01,8.01,9.01 02/22/13
UNITED SURGICAL PARTNERS INTERNATIONA DE 2.02,9.01 02/22/13
UNITED SURGICAL PARTNERS INTERNATIONA DE 1.01,2.03,9.01 02/19/13
UNIVERSAL HOSPITAL SERVICES INC MN 7.01,9.01 02/22/13
UNIVERSAL INSURANCE HOLDINGS, INC. DE 5.02,7.01,9.01 02/22/13
Universal Truckload Services, Inc. MI 2.02,9.01 02/21/13
URBAN AG. CORP 1.01,3.02,9.01 02/01/13
USA TRUCK INC DE 5.02,9.01 02/15/13
Verisk Analytics, Inc. DE 5.02,9.01 02/20/13
VIPER POWERSPORTS INC NV 2.02 02/21/13
Volcano Corp DE 2.02,9.01 02/21/13
Volcano Corp DE 9.01 12/12/12 AMEND
Warner Chilcott plc 2.02,9.01 02/22/13
WASHINGTON POST CO DE 2.02,9.01 02/22/13
WELLPOINT, INC IN 5.02 02/20/13
WELLS FARGO & COMPANY/MN DE 9.01 02/22/13
WET SEAL INC DE 8.01,9.01 02/22/13
WHIRLPOOL CORP /DE/ DE 5.02,9.01 02/18/13
WORLD FINANCIAL NETWORK CREDIT CARD M DE 1.01,8.01,9.01 02/20/13
WORLD HEALTH ENERGY HOLDINGS, INC. DE 4.01,9.01 02/21/13
Wright Investors Service Holdings, In DE 2.01,5.02,5.06,8.01, 12/19/12 AMEND
9.01
WYNDHAM WORLDWIDE CORP DE 1.01,2.03,8.01,9.01 02/22/13
WYNN RESORTS LTD 5.07,8.01,9.01 02/21/13
http://www.sec.gov/news/digest/2013/dig022513.htm
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