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Commission announcementsCommission MeetingsClosed Meeting on Thursday, March 7, 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; and other matters relating to enforcement proceedings. 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 ProceedingsChina-Based Company and Former CFO to Pay Penalties for Disclosure and Accounting ViolationsThe Securities and Exchange Commission today charged a China-based petrochemical company and its former chief financial officer with accounting and disclosure violations, and they agreed to pay more than $1 million combined to settle the charges. The SEC alleges that Keyuan Petrochemicals, which was formed through a reverse merger in April 2010, systematically failed to disclose to investors numerous related party transactions involving its CEO, controlling shareholders, and entities controlled by management or their family members. Keyuan also operated a secret off-balance sheet cash account to pay for cash bonuses to senior officers, travel and entertainment expenses and an apartment rental for the CEO, and cash and non-cash gifts to Chinese government officials. The SEC further alleges that Keyuan’s then-CFO Aichun Li, who lives in North Carolina, played a role in the company’s failure to disclose the related party transactions. Li was hired to ensure the company’s compliance with U.S. accounting and financial reporting regulations, and she received information and encountered red flags that should have indicated that the company was not properly identifying or disclosing related party transactions. Despite such knowledge, Li signed Keyuan’s registration statements and quarterly reports that failed to disclose material related party transactions. “By omitting related party transactions from its financial statements, Keyuan deprived investors of a true representation of the company’s business dealings,” said Stephen L. Cohen, an Associate Director in the SEC’s Division of Enforcement. “As CFO, Li failed to right these wrongs.” According to the SEC’s complaint filed in federal court in Washington D.C., the related party transactions that Keyuan failed to disclose between May 2010 and January 2011 in accordance with U.S. Generally Accepted Accounting Principles (GAAP) included sales of products, purchases of raw materials, loan guarantees, and short-term financing. As a consequence of using an off-balance sheet cash account, the company’s reported balances in its financial statements for cash, receivables, construction-in-progress, interest income, other income, and general and administrative expenses were misstated. In October 2011, Keyuan filed restatements of the financial statements contained in its Form 10-Qs for the second and third quarters of 2010 that disclosed the related party transactions and off-balance sheet accounting for the first time. The SEC’s complaint charges Keyuan with violations of Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933, Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Securities Exchange Act of 1934, and Rules 12b-20 and 13a-13 under the Exchange Act. The SEC’s complaint charges Li with violations of Section 13(b)(5) of the Exchange Act and aiding and abetting Keyuan’s violations of Sections 13(a) and 13(b)(2)(A) of the Exchange Act and Rules 12b-20 and 13a-13. Keyuan agreed to pay a $1 million penalty and Li agreed to pay a $25,000 penalty to settle the SEC’s charges. They consented to the entry of a judgment permanently enjoining them from violations of the respective provisions of the Securities Act and Exchange Act. Li also agreed to be suspended from appearing or practicing as an accountant before the Commission with the right to apply for reinstatement after two years. The proposed settlement, in which Keyuan and Li neither admit nor deny the charges, is subject to court approval. The SEC’s investigation, which is continuing, has been conducted by Fuad Rana, Avron Elbaum, and Melissa A. Robertson with assistance from the SEC’s Cross Border Working Group, which has representatives from each of the SEC’s major divisions and offices and focuses on U.S. companies with substantial foreign operations. Through the work of the Cross Border Working Group, the SEC has filed fraud cases involving more than 40 foreign issuers and executives, and deregistered the securities of more than 50 companies. The SEC’s Enforcement Division also has taken a series of actions against China-based audit firms that have refused to produce documents for SEC investigations into clients whose securities trade in U.S. markets. (Press Rel. 2013-30) In the Matter of Crosswave Communications, Inc.Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default as to Crosswave Communications, Inc., (Default Order) in China Wesen Recycling Technology, Inc., Admin. Proc. No. 3-15111. The Order Instituting Proceedings alleged that Respondent Crosswave Communications, Inc., repeatedly failed to file timely periodic reports while its securities were registered with the Securities and Exchange Commission (Commission). The Default Order finds these allegations to be true and revokes the registration of each class of its registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act). The proceeding has ended as to all other Respondents. Respondents Crown International, Inc., and Crysler Corp. settled with the Commission. See China Wesen Recycling Tech., Inc., Exchange Act Release Nos. 68466, 68623 (Dec. 19, 2012, Jan. 11, 2013). The registrations of the registered securities of Respondents China Wesen Recycling Technology, Inc., Chopin Venture Group, Inc., Cogito Media Group, Inc., and Crescendo Acquisition Corp. were revoked by default. See China Wesen Recycling Tech., Inc., Exchange Act Release No. 68706 (Jan. 23, 2013). (Rel. 34-69004; File No. 3-15111) Exemptive OrdersOrder Granting Limited ExemptionsAn order was issued granting an application of ALPS ETF Trust and the U.S. Equity High Volatility Put Write Index Fund an exemption from Rules 101 and 102 of Regulation M pursuant to Rules 101(d) and 102(e) of Regulation M, and Exchange Act Rule 10b-17 pursuant to Exchange Act Rule 10b-17(b)(2). Publication is expected in the Federal Register during the week of March 4. (Rel. 34-68995) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the CBOE Stock Exchange Fees Schedule (SR-CBOE-2013-024) 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 March 4. (Rel. 34-68998) A proposed rule change filed by C2 Options Exchange, Incorporated to amend the Fees Schedule (SR-C2-2013-010) 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 March 4. (Rel. 34-68999) A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Fees Schedule (SR-CBOE-2013-023) 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 March 4. (Rel. 34-69000) 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-8 JUNIPER NETWORKS INC, 1194 NORTH MATHILDA AVE, SUNNYVALE, CA, 94089, 4087452000 - 958,268 ($20,315,281.60) Equity, (File 333-186884 - Feb. 27) (BR. 03A) S-8 QLIK TECHNOLOGIES INC, 150 N. RADNOR CHESTER ROAD, SUITE E220, RADNOR, PA, 19087, 888-828-9768 - 3,235,736 ($81,087,544.16) Equity, (File 333-186885 - Feb. 27) (BR. 03C) S-8 Jazz Pharmaceuticals plc, 4TH FLOOR, CONNAUGHT HOUSE, ONE BURLINGTON ROAD, DUBLIN, L2, 4, 353-1-634-4183 - 2,629,000 ($146,409,010.00) Equity, (File 333-186886 - Feb. 27) (BR. 01A) S-3 El Paso Pipeline Partners, L.P., 1001 LOUISIANA ST., SUITE 1000, HOUSTON, TX, 77002, 713-369-9457 - 0 ($500,000,000.00) Equity, (File 333-186887 - Feb. 27) (BR. 02C) S-3ASR AES CORP, 4300 WILSON BOULEVARD, ARLINGTON, VA, 22203, 7035221315 - 0 ($1.00) Unallocated (Universal) Shelf, (File 333-186888 - Feb. 27) (BR. 02B) S-8 ACTIVE NETWORK INC, 10182 TELESIS COURT, SUITE 300, SAN DIEGO, CA, 92121, 858-964-3800 - 0 ($19,670,574.00) Equity, (File 333-186889 - Feb. 27) (BR. 03A) S-3 Dr Pepper Snapple Group, Inc., 5301 LEGACY DRIVE, PLANO, TX, 75024, (972) 673-7000 - 0 ($13,393,066.00) Equity, (File 333-186890 - Feb. 27) (BR. 09B) S-8 Fuse Science, Inc., 6135 NW 167TH STREET, #E21, MIAMI, FL, 33015, 305-503-3873 - 95,250,000 ($20,955,000.00) Equity, (File 333-186891 - Feb. 27) (BR. 08C) S-3ASR Dr Pepper Snapple Group, Inc., 5301 LEGACY DRIVE, PLANO, TX, 75024, (972) 673-7000 - 0 ($13,393,066.00) Equity, (File 333-186892 - Feb. 27) (BR. 09B) S-8 MESA LABORATORIES INC /CO, 12100 W 6TH AVE, LAKEWOOD, CO, 80228, 3039878000 - 0 ($21,100,000.00) Equity, (File 333-186893 - Feb. 27) (BR. 10B) S-8 NUVASIVE INC, 7475 LUSK BLVD., SAN DIEGO, CA, 92121, (858) 909-1800 - 0 ($76,364,422.00) Equity, (File 333-186896 - Feb. 27) (BR. 10B) S-8 MVB FINANCIAL CORP, 301 VIRGINIA AVENUE, FAIRMONT, WV, 26554-2777, 3043634800 - 300,000 ($6,057,000.00) Other, (File 333-186910 - Feb. 27) (BR. 07C) S-8 MINDSPEED TECHNOLOGIES, INC, 4000 MACARTHUR BOULEVARD, EAST TOWER, NEWPORT BEACH, CA, 92660, 9495793000 - 0 ($43,127,454.00) Equity, (File 333-186911 - Feb. 27) (BR. 10B) S-1 Independent Bank Group Inc, 1600 REDBUD BOULEVARD, SUITE 400, MCKINNEY, TX, 75069, (972) 562-9004 - 0 ($92,000,000.00) Equity, (File 333-186912 - Feb. 27) (BR. 07) S-8 WOLVERINE WORLD WIDE INC /DE/, 9341 COURTLAND DR, ROCKFORD, MI, 49351, 6168665500 - 8,435,081 ($356,129,119.82) Equity, (File 333-186914 - Feb. 27) (BR. 09B) S-8 MACERICH CO, 401 WILSHIRE BLVD, STE 700, SANTA MONICA, CA, 90401, 3103946000 - 0 ($75,000,000.00) Other, (File 333-186915 - Feb. 27) (BR. 08B) S-8 MACERICH CO, 401 WILSHIRE BLVD, STE 700, SANTA MONICA, CA, 90401, 3103946000 - 0 ($30,332,500.00) Equity, (File 333-186916 - Feb. 27) (BR. 08B) S-8 Energizer Resources, Inc., 520 - 141 ADELAIDE ST. W., TORONTO, A6, M5H 3L5, 416-364-4986 - 5,500,000 ($1,115,000.00) Equity, (File 333-186917 - Feb. 27) (BR. 09A) S-8 FIRST MID ILLINOIS BANCSHARES INC, 1515 CHARLESTON AVE, PO BOX 499, MATTOON, IL, 61938, 2172347454 - 100,000 ($2,300,000.00) Equity, (File 333-186919 - Feb. 27) (BR. 07C) S-8 CYTODYN INC, 5 CENTERPOINTE DRIVE, SUITE 400, LAKE OSWEGO, OR, 97035, 971-2040382 - 0 ($3,121,234.00) Equity, (File 333-186920 - Feb. 27) (BR. 01B) S-8 FORTINET INC, 1090 KIFER ROAD, SUNNYVALE, CA, 94086, 408-235-7700 - 8,017,366 ($186,323,585.84) Equity, (File 333-186921 - Feb. 27) (BR. 03C) S-8 Neutral Tandem Inc, 550 WEST ADAMS ST, 9TH FLOOR, CHAICAGO, IL, 60661, 312-384-8040 - 0 ($2,176,118.58) Equity, (File 333-186923 - Feb. 27) (BR. 11C) S-8 EMCOR GROUP INC, 301 MERRITT SEVEN CORPORATE PK, 6TH FLOOR, NORWALK, CT, 06851, 203-849-7800 - 0 ($100,000,000.00) Other, (File 333-186926 - Feb. 27) (BR. 06B) S-1 Del Frisco's Restaurant Group, Inc., 930 S. KIMBALL AVE., SUITE 100, SOUTHLAKE, TX, 76092, 817-601-3421 - 0 ($96,850,125.00) Equity, (File 333-186927 - Feb. 27) (BR. 05B) N-2 ACAP Strategic Fund, 350 MADISON AVENUE, NEW YORK, NY, 10017, 212-389-8712 - 0 ($867,183,714.00) Equity, (File 333-186928 - Feb. 27) (BR. 16) S-3ASR HARRIS CORP /DE/, 1025 W NASA BLVD, MELBOURNE, FL, 32919, 3217279100 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186929 - Feb. 27) (BR. 05B) S-4 S Y BANCORP INC, 1040 E MAIN ST, LOUISVILLE, KY, 40206, 5025822571 - 0 ($11,482,995.00) Equity, (File 333-186930 - Feb. 27) (BR. 07C) S-1 MASONITE INTERNATIONAL CORP, ONE TAMPA CITY CENTER, 201 NORTH FRANKLIN STREET, SUITE 300, TAMPA, FL, 33602, 813-739-4074 - 0 ($150,000,000.00) Equity, (File 333-186931 - Feb. 27) (BR. 06C) 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
-----------------------------------------------------------------------------------------
ABERCROMBIE & FITCH CO /DE/ DE 2.02,8.01,9.01 02/21/13
AEMETIS, INC NV 1.01,9.01 12/31/12 AMEND
AES CORP DE 1.01,2.02,7.01,9.01 02/27/13
AGENUS INC DE 8.01,9.01 02/27/13
Air Transport Services Group, Inc. DE 2.02,9.01 02/27/13
Aircastle LTD D0 7.01,9.01 02/26/13
ALMOST FAMILY INC DE 2.02,9.01 02/27/13
AMARIN CORP PLC\UK X0 8.01 02/26/13
AMERICAN LOCKER GROUP INC DE 8.01 02/27/13
AMERICAN SOFTWARE INC GA 2.02,9.01 02/27/13
AMERIGO ENERGY, INC. DE 1.01,2.01,9.01 02/27/13
AMERISAFE INC TX 2.02,9.01 02/27/13
AMERISAFE INC TX 5.02 02/25/13
Amincor, Inc. NV 8.01,9.01 02/26/13
AmREIT, Inc. MD 9.01 12/12/12 AMEND
ANIKA THERAPEUTICS INC MA 2.02,9.01 02/27/13
APCO OIL & GAS INTERNATIONAL INC 7.01,9.01 02/27/13
APPLIANCE RECYCLING CENTERS OF AMERIC MN 2.02,9.01 02/27/13
APPLIED MATERIALS INC /DE DC 5.02 02/25/13
ARES CAPITAL CORP MD 2.02,7.01,9.01 02/27/13
Armour Residential REIT, Inc. MD 2.02,9.01 02/27/13
ARROGENE, INC DE 3.02 02/08/13
ASHFORD HOSPITALITY TRUST INC MD 2.02,9.01 02/27/13
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 02/27/13
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 02/26/13
ASHLAND INC. KY 1.01,2.03,7.01,9.01 02/26/13
ASHLAND INC. KY 7.01,9.01 02/27/13
ASPEN INSURANCE HOLDINGS LTD D0 1.01,2.03,7.01,9.01 02/26/13
AVEO PHARMACEUTICALS INC DE 7.01,9.01 02/27/13
Babcock & Wilcox Co DE 2.02,9.01 02/27/13
BARNES GROUP INC DE 5.02 02/27/13
BARNES GROUP INC DE 1.01,9.01 02/22/13
BLYTH INC DE 7.01 02/27/13
BRIGGS & STRATTON CORP WI 8.01,9.01 02/25/13
BRIGHT HORIZONS FAMILY SOLUTIONS INC. DE 7.01,9.01 02/27/13
BRIGHTCOVE INC DE 7.01,9.01 02/27/13
BRINKER INTERNATIONAL INC DE 7.01,9.01 02/27/13
BRINKER INTERNATIONAL INC DE 7.01,9.01 02/27/13
BRINKS CO VA 5.02,9.01 02/21/13
BROADSOFT, INC. DE 2.02,9.01 02/27/13
BROADWIND ENERGY, INC. DE 2.02,7.01,9.01 02/27/13
Business Development Corp of America MD 5.02,8.01,9.01 02/25/13
CAESARS ENTERTAINMENT Corp DE 5.02 02/27/13
CALGON CARBON CORPORATION DE 7.01,9.01 02/26/13
CALIFORNIA WATER SERVICE GROUP DE 2.02,9.01 02/27/13
Campus Crest Communities, Inc. MD 1.01,8.01,9.01 02/26/13
Campus Crest Communities, Inc. MD 1.01,9.01 02/22/13
Cardiovascular Systems Inc DE 3.02 02/21/13
CAREER EDUCATION CORP DE 2.02,9.01 02/27/13
CARTERS INC DE 2.02,9.01 02/27/13
CBEYOND, INC. 2.02,9.01 02/27/13
CENTERPOINT ENERGY INC 2.02,9.01 02/27/13
CENTRAL EUROPEAN DISTRIBUTION CORP DE 5.02,9.01 02/21/13
CENTRAL EUROPEAN MEDIA ENTERPRISES LT 2.02,9.01 02/27/13
CENVEO, INC CO 2.02,9.01 02/27/13
Chemtura CORP DE 5.02 02/21/13
CHURCHILL DOWNS INC KY 2.02,9.01 02/27/13
CINCINNATI BELL INC OH 2.02,7.01,9.01 02/27/13
Clearwire Corp /DE DE 1.01,8.01,9.01 02/27/13
CLOUD PEAK ENERGY INC. DE 7.01,9.01 02/27/13
CODEXIS INC 2.02,9.01 02/27/13
CombiMatrix Corp DE 2.02,9.01 02/27/13
CommonWealth REIT MD 8.01,9.01 02/26/13
CommonWealth REIT MD 8.01,9.01 02/27/13
CommonWealth REIT MD 8.01,9.01 02/27/13
COMMUNITY FINANCIAL SHARES INC DE 5.02 02/21/13
COMPLIANCE SYSTEMS CORP 2.01,3.02,5.01,5.06, 10/30/12 AMEND
9.01
CONMED CORP NY 8.01 02/27/13
Consolidation Services, Inc. DE 1.01,9.01 02/21/13
COTT CORP /CN/ 5.02 02/21/13
COVENANT TRANSPORTATION GROUP INC NV 5.02 02/21/13
CROWN CASTLE INTERNATIONAL CORP DE 5.02,9.01 02/21/13
CULP INC NC 2.02,9.01 02/27/13
CURTISS WRIGHT CORP DE 8.01,9.01 02/27/13
CVR PARTNERS, LP DE 2.02,9.01 02/27/13
CYTORI THERAPEUTICS, INC. DE 8.01,9.01 02/25/13
DARLING INTERNATIONAL INC DE 2.02,9.01 02/27/13
DCP Midstream Partners, LP DE 1.01,2.02,7.01,9.01 02/27/13
DEERE & CO DE 8.01 02/27/13
Delek US Holdings, Inc. 7.01,9.01 02/27/13
DELTIC TIMBER CORP DE 2.02,9.01 02/27/13
DESTINATION XL GROUP, INC. DE 2.02,7.01,9.01 02/27/13
Digital Generation, Inc. DE 8.01 02/27/13
DineEquity, Inc DE 2.02,7.01,9.01 02/26/13
Discover Card Execution Note Trust DE 8.01 02/27/13
DISCOVER CARD MASTER TRUST I DE 8.01 02/27/13
DOLLAR TREE INC VA 2.02,7.01,9.01 02/27/13
DUPONT FABROS TECHNOLOGY, INC. MD 5.02,9.01 02/21/13
DXP ENTERPRISES INC TX 2.02,9.01 02/27/13
DYCOM INDUSTRIES INC FL 2.02,7.01,9.01 02/26/13
DYNAMIC MATERIALS CORP DE 2.02,9.01 02/27/13
EASTMAN KODAK CO NJ 8.01 02/27/13
ECLIPSE IDENTITY RECOGNITION Corp NV 7.01 02/15/13
EDGEWATER TECHNOLOGY INC/DE/ DE 2.02,9.01 02/27/13
ELECTRONICS FOR IMAGING INC DE 5.02,9.01 02/21/13
EMMIS COMMUNICATIONS CORP IN 1.01,2.01,9.01 02/25/13
Empowered Products, Inc. NV 5.02 02/26/13
ENDOLOGIX INC /DE/ DE 2.02,9.01 02/27/13
EnteroMedics Inc 8.01,9.01 02/27/13
Entertainment Gaming Asia Inc. NV 1.01,9.01 02/22/13
ENTRAVISION COMMUNICATIONS CORP DE 2.02,9.01 02/27/13
ESTEE LAUDER COMPANIES INC DE 5.02,9.01 02/25/13
EXACTECH INC FL 2.02,7.01,9.01 02/26/13
ExamWorks Group, Inc. DE 2.02,9.01 02/27/13
FARO TECHNOLOGIES INC FL 2.02,9.01 02/27/13
FEDERAL MOGUL CORP DE 2.02,7.01,9.01 02/27/13
FEDERAL NATIONAL MORTGAGE ASSOCIATION 5.02,8.01 02/21/13
FedFirst Financial Corp 8.01,9.01 02/27/13
FERRO CORP OH 7.01,9.01 02/26/13
FIFTH THIRD BANCORP OH 1.01,2.03,8.01 02/22/13
FIRST BANCORP /PR/ PR 2.02,7.01,9.01 02/27/13
FIRST NIAGARA FINANCIAL GROUP INC DE 7.01,9.01 02/27/13
FIRSTMERIT CORP /OH/ OH 7.01,9.01 02/27/13
FLANIGANS ENTERPRISES INC FL 5.07 02/22/13
FLUSHING FINANCIAL CORP DE 8.01,9.01 02/26/13
FNB CORP/FL/ FL 7.01,8.01,9.01 02/27/13
FNB CORP/FL/ FL 7.01,8.01,9.01 02/27/13
FORWARD AIR CORP TN 5.02 02/26/13
Geeknet, Inc DE 2.02,9.01 02/27/13
GelTech Solutions, Inc. DE 3.02 02/27/13
GENERAL EMPLOYMENT ENTERPRISES INC IL 3.01,9.01 02/27/13
General Sales & Leasing, Inc. NV 5.03,8.01,9.01 02/25/13
GEO GROUP INC FL 2.02,9.01 02/21/13
GEOSPACE TECHNOLOGIES CORP DE 1.01,9.01 02/22/13
GIGA TRONICS INC CA 1.01,3.02,3.03,9.01 02/25/13
GLOBUS MEDICAL INC DE 2.02,8.01 02/27/13
GOLDMAN SACHS GROUP INC DE 9.01 02/27/13
GRAN TIERRA ENERGY INC. NV 5.02,5.03,9.01 02/21/13
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 02/22/13
GRAPHON CORP/DE DE 5.02 02/20/13
Graystone Co DE 1.01,2.03,3.02,8.01 02/21/13
Greatmat Technology Corp NV 1.01,2.01,3.02,5.01, 02/08/13 AMEND
5.02,5.03,5.06,9.01
Green Innovations Ltd. 8.01,9.01 02/21/13
GREENWORLD DEVELOPMENT, INC. DE 4.01 02/25/13
Groupon, Inc. DE 2.02,9.01 02/27/13
GT Advanced Technologies Inc. DE 2.02,7.01,9.01 02/27/13
GULFMARK OFFSHORE INC DE 2.02,9.01 02/25/13
GULFMARK OFFSHORE INC DE 7.01,9.01 02/26/13
GULFPORT ENERGY CORP DE 2.02,9.01 02/26/13
HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 02/27/13
Hanesbrands Inc. MD 7.01,9.01 02/27/13
HANSEN MEDICAL INC DE 2.02,9.01 02/27/13
HAVERTY FURNITURE COMPANIES INC MD 2.02,9.01 02/25/13
HEALTHSOUTH CORP DE 7.01,9.01 02/27/13
HealthWarehouse.com, Inc. DE 5.02,9.01 02/21/13
HeartWare International, Inc. DE 2.02,9.01 02/27/13
HEIDRICK & STRUGGLES INTERNATIONAL IN DE 2.02,9.01 02/26/13
Higher One Holdings, Inc. DE 8.01 02/21/13
Hillenbrand, Inc. IN 7.01,9.01 02/27/13
Hillenbrand, Inc. IN 5.07,8.01,9.01 02/27/13
HOMELAND ENERGY SOLUTIONS LLC 1.01 02/25/13
HORNBECK OFFSHORE SERVICES INC /LA DE 7.01 02/26/13
HUMANA INC DE 7.01 02/27/13
HUNTINGTON INGALLS INDUSTRIES, INC. DE 2.02,9.01 02/27/13
ICAHN ENTERPRISES L.P. DE 8.01,9.01 02/27/13
ICF International, Inc. DE 2.02,9.01 02/27/13
IDS Solar Technologies, Inc. NV 1.01,9.01 02/11/13
IMMUNOMEDICS INC DE 8.01,9.01 02/27/13
IMPERIAL OIL LTD 5.02 02/26/13
Industrial Income Trust Inc. MD 1.01,9.01 02/21/13
INSIGNIA SYSTEMS INC/MN MN 2.02,9.01 02/27/13
INSULET CORP DE 2.02,9.01 02/27/13
INTERPHASE CORP TX 3.01 02/21/13
Interval Leisure Group, Inc. DE 2.02,9.01 02/27/13
INTL FCSTONE INC. DE 5.02,5.07,8.01 02/21/13
IRONCLAD PERFORMANCE WEAR CORP 2.02,7.01,9.01 02/27/13
IsoRay, Inc. MN 5.07 02/22/13
ITT Corp IN 2.02,7.01,9.01 02/27/13
J C PENNEY CO INC DE 2.02,9.01 02/27/13
JOY GLOBAL INC DE 2.02,7.01,9.01 02/27/13
JUNIPER NETWORKS INC DE 5.02 02/27/13
K SWISS INC DE 2.02,9.01 02/27/13
K SWISS INC DE 8.01 02/27/13
KADANT INC DE 7.01,9.01 02/27/13
KANSAS CITY SOUTHERN DE 5.02,9.01 02/21/13
Kearny Financial Corp. X1 8.01,9.01 02/27/13
KELLOGG CO DE 5.02,9.01 02/22/13
KENT FINANCIAL SERVICES INC NV 3.03,5.03,9.01 02/25/13
KEWAUNEE SCIENTIFIC CORP /DE/ DE 2.02,9.01 02/26/13
KINGSTONE COMPANIES, INC. DE 2.02,4.02,9.01 02/25/13
KONA GRILL INC DE 7.01,9.01 02/27/13
Kraton Performance Polymers, Inc. DE 2.02,9.01 02/27/13
Labor Smart, Inc. NV 5.02 02/26/13
LAMAR ADVERTISING CO/NEW DE 2.02,9.01 02/27/13
LATTICE SEMICONDUCTOR CORP DE 8.01,9.01 02/27/13
LEARNING TREE INTERNATIONAL INC DE 5.02,5.03,8.01,9.01 02/25/13
LEGACY RESERVES LP DE 9.01 02/27/13 AMEND
Liberty Global, Inc. DE 2.03,9.01 02/07/13 AMEND
LINKEDIN CORP DE 5.07 06/14/12 AMEND
LOJACK CORP MA 2.02,9.01 02/27/13
LOUISIANA BANCORP INC LA 8.01,9.01 02/27/13
LTX-CREDENCE CORP MA 2.02,9.01 02/27/13
MACK CALI REALTY CORP MD 7.01,9.01 02/27/13
Macquarie Infrastructure CO LLC DE 5.02,9.01 02/21/13
MARCHEX INC DE 2.02,2.06,9.01 02/27/13
Market Leader, Inc. WA 2.02,9.01 02/27/13
MARTIN MIDSTREAM PARTNERS LP DE 2.02,9.01 02/27/13
MB FINANCIAL INC /MD 7.01 02/27/13
MBIA INC CT 2.02,7.01,9.01 02/27/13
MERCADOLIBRE INC 8.01 02/27/13
MERCHANTS BANCSHARES INC DE 4.01,9.01 02/21/13
Meritage Homes CORP MD 8.01,9.01 02/27/13
Meritage Homes CORP MD 8.01,9.01 02/27/13
MERU NETWORKS INC DE 8.01,9.01 02/26/13
MERU NETWORKS INC DE 1.01,8.01,9.01 02/27/13
MICROVISION INC DE 2.02,9.01 02/27/13
MIDDLEBY CORP DE 2.02,8.01,9.01 02/22/13
MIDDLEBY CORP DE 2.01,9.01 12/31/12
Midstates Petroleum Company, Inc. DE 5.02,8.01,9.01 02/21/13
MINDSPEED TECHNOLOGIES, INC DE 5.02,9.01 02/26/13
Minerco Resources, Inc. NV 1.01,2.01,3.02,9.01 02/27/13
MONDIAL VENTURES, INC. NV 4.01,9.01 02/19/13 AMEND
Monotype Imaging Holdings Inc. DE 1.01,5.02,9.01 02/25/13
Monster Beverage Corp DE 2.02,9.01 02/27/13
MS STRUCTURED SATURNS SERIES 2002-11 DE 8.01 02/27/13
MYLAN INC. PA 1.01,2.02,8.01,9.01 02/27/13
NABORS INDUSTRIES LTD D0 8.01,9.01 02/27/13
NANOPHASE TECHNOLOGIES CORPORATION IL 2.02,9.01 02/27/13
NATIONAL HEALTH INVESTORS INC MD 5.02 02/27/13
NATIONAL PENN BANCSHARES INC PA 8.01,9.01 02/27/13
NAVIDEA BIOPHARMACEUTICALS, INC. DE 5.02 02/21/13
NCI BUILDING SYSTEMS INC DE 5.07 02/26/13
NETSUITE INC DE 5.02 02/21/13
NEW YORK COMMUNITY BANCORP INC DE 7.01,9.01 02/27/13
NEWS CORP 8.01,9.01 02/27/13
NGP Capital Resources Co MD 1.01,9.01 02/25/13
NORTHWEST PIPE CO OR 5.02,9.01 02/21/13
NRG ENERGY, INC. DE 2.02,9.01 02/27/13
OGE ENERGY CORP. OK 2.02,9.01 02/27/13
OKLAHOMA GAS & ELECTRIC CO OK 2.02,9.01 02/27/13
OLD LINE BANCSHARES INC MD 7.01 02/26/13
OLIE INC DE 4.01 02/27/13 AMEND
OMEGA PROTEIN CORP NV 1.01,7.01,9.01 02/27/13
OMNICARE INC DE 5.02 02/27/13
ONEOK INC /NEW/ OK 7.01,9.01 02/27/13
ONEOK Partners LP DE 7.01,9.01 02/27/13
Opexa Therapeutics, Inc. TX 8.01 02/25/13
OPTIMER PHARMACEUTICALS INC 1.01,2.02,3.03,5.02, 02/26/13
8.01,9.01
Oraco Resources, Inc. NV 5.02 02/26/13
ORMAT TECHNOLOGIES, INC. DE 2.02,9.01 02/27/13
OXYGEN BIOTHERAPEUTICS, INC. DE 9.01 02/21/13 AMEND
PALADIN REALTY INCOME PROPERTIES INC MD 8.01 02/22/13
PAPA JOHNS INTERNATIONAL INC DE 2.02,9.01 02/26/13
PARKWAY PROPERTIES INC MD 1.01,9.01 02/27/13
PATRIOT NATIONAL BANCORP INC CT 5.02 02/21/13
PDC ENERGY, INC. NV 2.02,9.01 02/27/13
PDL BIOPHARMA, INC. DE 7.01,9.01 02/27/13
People's United Financial, Inc. DE 7.01,9.01 02/27/13
PEOPLES FINANCIAL CORP /MS/ MS 8.01,9.01 02/27/13
PIONEER ENERGY SERVICES CORP TX 7.01,9.01 02/27/13
Poly Shield Technologies Inc. DE 3.02,5.01,5.02,9.01 02/06/13 AMEND
POTLATCH CORP DE 5.02,9.01 02/27/13
POZEN INC /NC 5.02 02/26/13
PREMIER BIOMEDICAL INC NV 3.02,9.01 02/20/13
PREMIER EXHIBITIONS, INC. FL 1.01,9.01 02/21/13
PRGX GLOBAL, INC. GA 5.02 02/21/13
PROSPERITY BANCSHARES INC TX 7.01,9.01 02/27/13
PROTECTIVE LIFE CORP DE 5.03,9.01 02/25/13
PROVIDENT FINANCIAL SERVICES INC DE 7.01,9.01 02/27/13
PROVIDENT FINANCIAL SERVICES INC DE 5.02,9.01 02/21/13
QUALSTAR CORP CA 5.02,9.01 02/21/13
QUANTUM MATERIALS CORP. NV 4.01,9.01 01/10/13
RADIAN GROUP INC DE 1.01,8.01,9.01 02/26/13
RANGE RESOURCES CORP DE 2.02,9.01 02/26/13
Regional Management Corp. DE 2.02,9.01 02/27/13
REVLON CONSUMER PRODUCTS CORP DE 8.01 02/26/13
REVLON INC /DE/ DE 8.01 02/26/13
Rexnord Corp DE 5.02 02/26/13
RIMAGE CORP MN 2.02,5.02,9.01 02/21/13
Riverbed Technology, Inc. DE 5.02,9.01 02/26/13
RLI CORP IL 5.02 02/26/13
RLJ Lodging Trust MD 2.02,9.01 02/27/13
ROMA FINANCIAL CORP X1 2.02,9.01 02/27/13
ROPER INDUSTRIES INC DE 8.01 02/25/13
Rosetta Resources Inc. DE 7.01,9.01 02/26/13
Sabra Health Care REIT, Inc. MD 2.02,9.01 02/27/13
SANUWAVE Health, Inc. NV 1.01,2.03,5.02,9.01 02/21/13
SCBT FINANCIAL CORP SC 8.01,9.01 02/27/13
SEABOARD CORP /DE/ DE 2.02,9.01 02/27/13
SEMPRA ENERGY CA 5.02 02/22/13
Sequoia Mortgage Trust 2013-3 8.01,9.01 02/27/13
SLM CORP DE 8.01,9.01 02/27/13
SOCIAL REALITY DE 1.01,3.02,9.01 02/22/13
Southern Hospitality Development Corp CO 7.01,9.01 02/27/13
SOUTHWEST GAS CORP CA 8.01 02/27/13
SOUTHWESTERN ENERGY CO DE 7.01 02/21/13
SOVRAN SELF STORAGE INC MD 1.01,9.01 02/27/13
SPARTAN MOTORS INC MI 5.03,9.01 02/21/13
SPIRIT REALTY CAPITAL, INC. MD 2.02,9.01 02/27/13
STAAR SURGICAL CO DE 2.02,9.01 02/27/13
STANDARD PARKING CORP DE 8.01 02/27/13
STANDARD REGISTER CO OH 5.02 02/27/13
STARTEK, INC. DE 2.02,9.01 02/26/13
STARWOOD PROPERTY TRUST, INC. 2.02,9.01 02/27/13
STATE BANK FINANCIAL CORP GA 8.01,9.01 02/27/13
STEINER LEISURE Ltd C5 2.02,9.01 12/31/12
STIFEL FINANCIAL CORP DE 7.01,9.01 02/27/13
STILLWATER MINING CO /DE/ DE 2.02,9.01 02/27/13
STRATEGIC HOTELS & RESORTS, INC 2.02,9.01 02/27/13
Stratex Oil & Gas Holdings, Inc. CO 1.01,2.01,3.02,4.01, 07/06/12 AMEND
5.01,5.02,5.06,9.01
STURM RUGER & CO INC DE 2.02,9.01 02/27/13
Summit Hotel Properties, Inc. MD 2.02,9.01 02/26/13
Summit Hotel Properties, Inc. MD 9.01 01/07/13 AMEND
Sunstone Hotel Investors, Inc. MD 2.02,9.01 02/20/13
SUPERIOR ENERGY SERVICES INC DE 2.02,9.01 02/26/13
SUPERIOR UNIFORM GROUP INC FL 2.02,9.01 02/26/13
Susser Holdings CORP DE 2.02 02/27/13
Susser Petroleum Partners LP DE 2.02 02/27/13
SWIFT ENERGY CO 7.01,9.01 02/27/13
TAL International Group, Inc. DE 8.01,9.01 02/21/13
TAL International Group, Inc. DE 1.01,2.03,9.01 02/27/13
TANDY BRANDS ACCESSORIES INC DE 3.01,9.01 02/27/13
Targa Resources Partners LP DE 5.02 02/26/13
TARGET CORP MN 2.02,9.01 02/27/13
TELETECH HOLDINGS INC DE 2.02,8.01,9.01 02/21/13
TELLABS INC DE 1.01,9.01 02/27/13
TETRA TECH INC DE 5.07 02/26/13
THERAGENICS CORP DE 5.02 02/27/13
THERMO FISHER SCIENTIFIC INC. DE 5.02,9.01 02/26/13
TITAN PHARMACEUTICALS INC DE 8.01,9.01 02/27/13
TJX COMPANIES INC /DE/ DE 2.02,9.01 02/27/13
TOYS R US INC DE 7.01 02/27/13
TRAILBLAZER RESOURCES INC. NV 2.03,9.01 02/21/13
Transcept Pharmaceuticals Inc DE 2.02,9.01 02/27/13
TRAVELCENTERS OF AMERICA LLC 5.03,9.01 02/21/13
TREDEGAR CORP VA 5.02,9.01 02/21/13
Tronox Ltd C3 1.01 02/22/13
UNITED INSURANCE HOLDINGS CORP. DE 2.02,9.01 02/27/13
United States 12 Month Natural Gas Fu 7.01,9.01 02/27/13
United States 12 Month Oil Fund, LP 7.01,9.01 02/27/13
United States Brent Oil Fund, LP DE 7.01,9.01 02/27/13
United States Commodity Index Funds T DE 7.01,9.01 02/27/13
United States Diesel-Heating Oil Fund DE 7.01,9.01 02/27/13
United States Gasoline Fund, LP DE 7.01,9.01 02/27/13
United States Natural Gas Fund, LP 7.01,9.01 02/27/13
United States Oil Fund, LP DE 7.01,9.01 02/27/13
United States Short Oil Fund, LP DE 7.01,9.01 02/27/13
UNITED SURGICAL PARTNERS INTERNATIONA DE 7.01,9.01 02/27/13
UNIVERSAL HEALTH REALTY INCOME TRUST MD 2.02,9.01 02/27/13
UNIVEST CORP OF PENNSYLVANIA PA 8.01,9.01 02/27/13
US CONCRETE INC DE 5.07 05/07/12
US TUNGSTEN CORP. 1.01,3.02,5.02,9.01 02/26/13
VALMONT INDUSTRIES INC DE 5.02 02/27/13
VALUEVISION MEDIA INC MN 5.02 02/21/13
VASCO DATA SECURITY INTERNATIONAL INC DE 2.02,9.01 02/21/13
VECTOR GROUP LTD DE 2.02,9.01 02/26/13
VERITEC INC NV 5.02 02/26/13
VICON INDUSTRIES INC /NY/ NY 5.02,9.01 02/27/13
VIRGIN MEDIA INC. DE 5.02 02/25/13
VIROPHARMA INC DE 2.02,9.01 02/27/13
VOCERA COMMUNICATIONS, INC. 2.02,5.02,9.01 02/21/13
Vocus, Inc. DE 7.01,9.01 02/27/13
W R GRACE & CO DE 2.02,9.01 02/27/13
WEBMEDIABRANDS INC. DE 2.02,9.01 02/27/13
WEBSTER FINANCIAL CORP DE 7.01 02/26/13
WEBSTER FINANCIAL CORP DE 4.01,9.01 02/21/13
WEINGARTEN REALTY INVESTORS /TX/ TX 2.02,9.01 02/25/13 AMEND
WESCO INTERNATIONAL INC 2.01,9.01 12/17/12 AMEND
West End Indiana Bancshares, Inc. MD 8.01,9.01 02/26/13
Western Gas Equity Partners, LP DE 2.02,9.01 02/27/13
Western Gas Partners LP DE 2.02,9.01 02/27/13
Western Graphite Inc. 5.03,9.01 02/21/13
WESTFIELD FINANCIAL INC MA 5.02 01/29/13 AMEND
WHIRLPOOL CORP /DE/ DE 1.01,2.03,9.01 02/22/13
WHITE MOUNTAIN TITANIUM CORP NV 8.01,9.01 02/27/13
WHITING PETROLEUM CORP DE 2.02,9.01 02/27/13
WINMARK CORP MN 2.02,7.01,9.01 02/27/13
WORLD ACCEPTANCE CORP SC 8.01 02/27/13
XEROX CORP NY 5.02 02/21/13
XPO Logistics, Inc. 2.02,9.01 02/27/13
YUHE INTERNATIONAL, INC. NV 5.02,9.01 01/07/13
ZOGENIX, INC. DE 8.01 02/26/13
http://www.sec.gov/news/digest/2013/dig022813.htm
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