Temporary Suspension of Trading in the Securities of Endeavor Power Corp.
The Securities and Exchange Commission (“Commission”) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the "Exchange Act"), of trading in the securities of Endeavor Power Corp. ("Endeavor Power"), of Cambridge, Massachusetts at 9:30 a.m. EST on March 8, 2013, and terminating at 11:59 p.m. EDT on March 21, 2013.
The Commission temporarily suspended trading in the securities of Endeavor Power because of questions that have been raised regarding the accuracy of assertions in Endeavor Power’s public filings and press releases relating to, among other things, patents.
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by this company.
Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to Endeavor Power’s securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, Matthew Solomon of the Securities and Exchange Commission should be telephoned at (202) 551-5949. (Rel. 34-69073)
Rules and Related Matters
SEC Grants Temporary Exemption Order
An order has been issued on an application filed by the self-regulatory organizations for a temporary exemption pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 (Exchange Act) from the filing deadline specified in Rule 613(a)(1) of the Exchange Act. (Rel. 34-69060)
In the Matter of Billy Wayne McClintock
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Billy Wayne McClintock (McClintock). The Order finds that an order of permanent injunction was entered against McClintock by the United States District Court for the Northern District of Georgia on December 6, 2012, in Securities and Exchange Commission v. McClintock, et al., Civil Action Number 1:12-CV-4028-SCJ (N.D. Ga. Nov. 19, 2012). The Commission’s complaint against McClintock alleged that, since at least 2004 McClintock had been conducting a Prime Bank-type investment fraud involving the offer and sale of over $15 million of securities in an unregistered offering to more than 220 investors and prospective investors in Georgia and at least 20 other states. The securities were in the form of investments in a purportedly highly clandestine Trust based in Europe that purportedly had the power to create money through fractional banking and bank debentures. Investors allegedly loaned money to the Trust in exchange for 38% annual interest and were told they must follow the Trust’s strict rules of secrecy to participate in the investment. The complaint also alleges that McClintock knowingly or recklessly made material misrepresentations and omissions of fact to investors and prospective investors concerning, among other things, the expected returns, the use of investor funds, and investment risks, and engaged in conduct which operated as a fraud and deceit on investors. The Commission’s complaint further alleged violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Based on the above, the Order bars McClintock from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and bars him from participating in any offering of penny stock. McClintock consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted to the entry of the injunction. (Rel. 34-69065; File No. 3-15232)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of Lynx Acquisition, Inc., Narek Pharmaceuticals, Inc., North Shore Capital Advisors Corp., NPS Technologies Group, Inc., NX Networks, Inc., Nycal Corp., Scout Acquisition, Inc., and Strategic Defense Alliance Corp. have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-69074; File No. 3-15213)
In the Matter of JC Reed Advisory
The Securities and Exchange Commission (Commission) announced today that the Honorable William J. Haynes, Jr., United States District Judge for the Middle District of Tennessee, entered final judgments on Feb. 27, 2013 against J.C. Reed & Company (JC Parent), J.C. Reed Advisory Group (JC Advisory) and Barron A. Mathis (Mathis). The final judgment against JC Parent and JC Advisory held them liable for disgorgement of $11,000,000 and prejudgment interest of $3,910,003.07, for a total of $14,910,003.07. The final judgment against Mathis restrained and enjoined him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. Mathis also was held liable for disgorgement of $11,000,000 and prejudgment interest of $4,944,175.39, for a total of $15,944,175.39.
The Commission’s Complaint, filed on November 18, 2008, alleged that, at various times from no later than 2005 through at least September 2008, JC Parent, JC Advisory, John C. Reed (Reed), the founder of JC Parent and JC Advisory, and Mathis facilitated the offer and sale of more than $11 million of JC Parent stock in unregistered transactions to over 100 investors in several states. According to the Complaint, JC Parent, JC Advisory, and Reed misrepresented and omitted material facts to investors relating to the value of the investors’ stock, JC Parent’s revenues and profitability, the use of key man life insurance proceeds for redemptions of Reed’s JC Parent stock, and undisclosed sales commissions. The Complaint also alleges that Mathis promoted JC Parent stock to advisory clients and misrepresented material facts to investors about undisclosed sales commissions. In addition, the Complaint alleges that JC Advisory used JC Parent’s inflated stock values to falsely report assets under management as JC Advisory’s basis for registration with the Commission and on reports filed with the Commission. [SEC v. J.C. Reed & Company, Inc., J.C. Reed Advisory Group, LLC, Barron A. Mathis, and Estate of John C. Reed, Lana L. Reed, Executor, Case No. 3:08-CV-1112 (M.D. Tn.)] (LR-22633)
In the Matter of Prism Financial Services, LLC.
The Securities and Exchange Commission (Commission) announced today that the Honorable Thomas W. Thrash, Jr., United States District Judge for the Northern District of Georgia, entered a final judgment on Feb. 26, 2013, permanently enjoining Gerald D. Kegley (Kegley). The final judgment restrained and enjoined Kegley from future violations of Sections 5(a) and (c) and 17(a) of the Securities Act of 1933 (Securities Act), Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 promulgated thereunder. The order also restrained and enjoined Kegely from aiding and abetting future violations of Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. Kegley was ordered to pay disgorgement of $99,940, prejudgment interest of $9,851.93, and a civil penalty of $99,940, for a total of $209,731.92.
The Commission’s complaint, filed on May 8, 2012, alleged that from at least April 8, 2010 through at least Aug. 20, 2010, the defendants were directly responsible for introducing six individuals, who invested $1.95 million, to the fraudulent scheme. The complaint alleges that in furtherance of the scheme, the defendants forwarded misrepresentations made by others to investors. These misrepresentations included: 1) that investors could draw upon bank issued guarantees worth millions of dollars without having to repay the withdrawn funds; and 2) that investor funds would be held in escrow until the bank guarantees were issued. The complaint alleges that defendants knew or were reckless in not knowing that both of these representations were false because no such bank guarantees existed and investor funds were misappropriated immediately upon receipt.
Defendants also misrepresented that they would be paid commissions only once the investor received the bank guarantee. In fact, defendants were paid commissions relatively soon after the investors transferred the money. Defendants further told investors that they had previously worked on a successful bank guarantee program. Defendants, however, had actually reported this purportedly successful bank guarantee program to the Federal Bureau of Investigation because they believed it was a fraud. [SEC v. Gerald D. Kegley, et al., Case No. 1:12-CV-1605 (N.D. Ga.)] (LR-22634)
SEC v. M. Mark McAdams and R. Dane Freeman
The Securities and Exchange Commission (Commission) announced today that the Honorable Terry L. Wooten, United States District Judge for the District of South Carolina, entered final judgments permanently enjoining M. Mark McAdams (McAdams) and R. Dane Freeman (Freeman). The final judgments restrained and enjoined McAdams and Freeman from future 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 thereunder. The final judgments also held McAdams and Freeman jointly and severally liable for disgorgement of $3,500,000 and prejudgment interest of $787,794.28. The final judgments also impose a civil penalty of $120,000 each on both McAdams and Freeman.
The Complaint, filed on March 18, 2010, alleged fraud against McAdams and Freeman in connection with sales of securities interests in Global Holdings, a limited liability company organized by McAdams. Approximately $3.5 million was raised from investors during the first nine months of 2008. The Complaint alleged that McAdams and Freeman told investors orally and in writing that Global Holdings was “in the business of locating and securing high return investment opportunities for investors on international trading platforms.” Most of the Global Holdings’ investors executed a joint venture agreement that was prepared by McAdams and signed by either McAdams or Freeman. These joint venture agreements represented that Global Holdings would utilize those funds “for the purpose of buying and selling Standard and Poor’s AAA or AA rated bonds and/or Medium Term Notes” on an “overseas trading platform.” Some of the joint venture agreements stated that investors who invested $20,000 would receive $1,000,000 after 60 days, a return of 4,900%. At least one joint venture agreement stated that an investor’s $500,000 would grow to $1,500,000 after 60 days, for a 200% rate of return. Most investors, if not all of them, never received either profits or a return of their principal. Instead, over $500,000 in investor funds were transferred to accounts controlled by Freeman and his family. [SEC v. M. Mark McAdams and R. Dane Freeman, Civil Action No. 4:10-CV-00701-TLW (D.S.C.)] (LR-22635)
Final Judgment Against Robert Crane
The Commission announced that on March 1, 2013, the Honorable Claude M. Hilton, United States District Court Judge for the Eastern District of Virginia, entered a final judgment by consent against Robert C. Crane. The final Judgment permanently enjoins Crane 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 permanently bars Crane from participating in an offering of penny stock.
On February 26, 2013, the Securities and Exchange Commission filed its complaint against Crane alleging that he manipulated the market in two penny stocks—Argentex Mining Corporation and ERHC Energy Inc.—by executing six wash sales in June 2010 to create the false appearance of an active and liquid market for those securities. Crane placed his orders through the Internet for trades in three accounts at two brokerage firms. His trades resulted in no change of beneficial ownership in the stock he already owned. The Commission did not seek a penalty against Crane based on his sworn representations concerning his financial condition. [SEC v. Crane, Civil Action No. Case 1:13-cv-00261-CMH-IDDVAED (E.D. Va.)] (LR-22636)
SEC Obtains Final Judgment Against Scott Kupersmith
The Securities and Exchange Commission announced today that on March 6, 2013, the Honorable Katharine S. Hayden of the United States District Court for the District of New Jersey entered a final judgment against defendant Scott I. Kupersmith. The final judgment imposes on Kupersmith a permanent injunction against future violations of certain antifraud provisions of the federal securities laws and orders that his obligation to pay disgorgement of $640,000 and prejudgment interest thereon be deemed satisfied provided that the combined restitution orders in the related criminal federal and state proceedings against him exceeded such amount.
In its Complaint, the Commission alleged that Kupersmith orchestrated a “free-riding” scheme of selling stocks before paying for them during 2009 and 2010 that allowed him to reap approximately $640,000 in illicit profits, while causing approximately $2 million in losses to the victim broker-dealers that he used to operate the scheme. According to the Complaint, Kupersmith interchangeably bought and sold the same quantity of the same stock in different brokerage accounts with the intention of profiting on swings up or down in the stock price. Unbeknownst to broker-dealers, Kupersmith did not have sufficient securities or cash on hand to cover the trades, and instead used proceeds from stock sales in one brokerage account to pay for the purchase of the same stock in another brokerage account. The scheme unraveled when Kupersmith failed to deliver shares to settle or cover long sales.
The final judgment permanently enjoins Kupersmith from violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rules 10b-5 and 10b-21 thereunder. In addition, the final judgment orders that Kupersmith’s obligation to pay disgorgement of $640,000 and prejudgment interest thereon be deemed satisfied provided that he was ordered to pay restitution in excess of such amount on a combined basis in the parallel criminal proceedings against him. Kupersmith consented to the entry of the final judgment.
On May 29, 2012, Kupersmith pleaded guilty to federal criminal charges for securities fraud in a parallel criminal action before the District Court for the District of New Jersey in United States v. Kupersmith, 2:12-cr-00375 (D.N.J.). On March 4, 2012, Kupersmith was sentenced to 33 months in prison followed by three years of supervised release and ordered to pay $1,796,151 in restitution.
In a related state criminal action, on May 7, 2012, Kupersmith pleaded guilty to criminal charges, including securities fraud under New York penal law, before the Supreme Court of the State of New York for the County of New York in State of New York v. Scott Kupersmith et al., Ind. No. 04360/2011 (Sup. Ct. N.Y. County). On March 5, 2013, Kupersmith was sentenced to a one-to-three year state prison term to run concurrently with the federal prison sentence and ordered to pay $684,703 in restitution, including a five-percent administration fee.
The Commission acknowledges the assistance of the U.S. Attorney's Office for the District of New Jersey, Federal Bureau of Investigation, and Manhattan District Attorney's Office.
[SEC v. Scott I. Kupersmith and Frederick C. Chelly, Civil Action No. 11-CV-6277 (KSH) (D.N.J.)] (LR-22637)
SEC v. Brian R. Reiss
On March 7, 2013, the Securities and Exchange Commission charged a California-based lawyer who has been fraudulently churning out baseless legal opinion letters for penny stocks through his website without researching and evaluating the individual stock offerings.
Legal opinion letters are issued to transfer agents on behalf of holders of restricted stock seeking to sell the stock freely in the public markets. Transfer agents typically require a lawyer’s opinion explaining the legal basis for lifting the restriction on the stock and allowing it to be freely traded.
The SEC alleges that Brian Reiss of Huntington Beach, Calif., set up 144letters.com to promote his legal opinion letter business and advertise “volume discount” rates while noting “penny stocks not a problem.” Reiss steered potential customers to his website by making bids on search terms through Google’s AdWords, and then relied on a computer-generated template to draft his opinion letters within minutes absent any true analysis of the facts behind each stock offering. The letters from Reiss ultimately made false and misleading statements and facilitated the sale of securities in violation of the registration provisions of the federal securities laws.
According to the SEC’s complaint filed in federal court in Manhattan, Reiss began issuing the fraudulent legal opinion letters in 2008. He advertised a $285 rate for each letter and a “volume discount” rate of $195 per letter. Reiss routinely made inaccurate statements bearing on whether the restriction should be lifted, and failed to conduct even a token inquiry into the underlying facts. He knew or recklessly disregarded the fact that shareholders seeking his opinion letters intended to sell their stock in the public markets, and that transfer agents would rely on his opinion letters to issue stock certificates without restrictive legends.
According to the SEC’s complaint, the false and misleading statements that Reiss made in opinion letters induced transfer agents for several public companies to remove the restrictive legends from the stock certificates and permit the sale of free-trading shares to the public. Reiss provided the opinion letters to transfer agents who required assurances in the form of a legal opinion that the transactions qualified for an exemption from the registration requirements under the federal securities laws. With Reiss’s baseless assurances, the transfer agents issued stock certificates without restrictive legends and enabled the stock to be traded freely.
The SEC’s complaint charges Reiss with violating Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5.
The SEC’s complaint seeks a final judgment ordering Reiss to disgorge his ill-gotten gains, plus prejudgment interest and pay financial penalties. The complaint seeks orders barring Reiss from participating in the offering of any penny stock pursuant to Section 20(g) of the Securities Act. The complaint also seeks permanent injunctions – including an injunction prohibiting Reiss from providing legal services in connection with an unregistered offer or sale of securities. [SEC v. Brian R. Reiss, Civil Action No. 13-Civ-1537] (LR-22638)
Joint Industry Plan Releases
Notice of Filing of the Third Amendment to the National Market System Plan to Address Extraordinary Market Volatility
Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608 of Regulation NMS thereunder, NYSE Euronext, on behalf of New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc., and the following parties to the National Market System Plan: BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, the Nasdaq Stock Market LLC, and National Stock Exchange, Inc. filed a proposed amendment to the National Market System Plan to Address Extraordinary Market Volatility (File No. 4-631). Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69062)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-10) relating to amendments to the EDGX Exchange, Inc. Fee Schedule 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 March 11, 2013. (Rel. 34-69042)
A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2013-09) relating to amendments to the EDGA Exchange, Inc. Fee Schedule 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 March 11, 2013. (Rel. 34-69043)
A proposed rule change filed by NASDAQ OMX BX, Inc. to modify BX’s fee schedule governing order routing (SR-BX-2013-019) 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 11, 2013. (Rel. 34-69053)
A proposed rule change (SR-BOX-2013-09) filed by BOX Options Exchange LLC to amend the Fee Schedule for trading on BOX 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 11, 2013. (Rel. 34-69054)
A proposed rule change filed by NYSE Arca, Inc. amending the NYSE Arca Inc. Fee Schedule to increase the Gross FOCUS Fee (SR-NYSEArca-2013-23) 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 11, 2013. (Rel. 34-69059)
Approval of Proposed Rule Change
The Commission granted approval of a proposed rule change (SR-NYSEArca-2013-01) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to listing and trading of the Newfleet Multi-Sector Income ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69061)
Designation of Longer Period for Commission Action on Proposed Rule Change
The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-FINRA-2013-002) filed by Financial Industry Regulatory Authority, Inc. to Amend FINRA Rule 2267 (Investor Education and Protection). Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69063)
The 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 Amtrust Financial Services, Inc., 59 MAIDEN LANE, 6TH FLOOR, NEW YORK, NY, 10038, (212) 220-7120 - 0 ($65,550,000.00) Equity, (File 333-187093 - Mar. 7) (BR. 01A) S-1 xG TECHNOLOGY, INC., 240 S. PINEAPPLE AVENUE, SUITE 701, SARASOTA, FL, 34236, 941 953 9035 - 0 ($15,562,500.00) Equity, (File 333-187094 - Mar. 7) (BR. 11C) S-1 Tumi Holdings, Inc., 1001 DURHAM AVE., SOUTH PLAINFIELD, NJ, 07080, 908-756-4400 - 0 ($250,000,000.00) Equity, (File 333-187095 - Mar. 7) (BR. 09) S-8 NOKIA CORP, KEILALAHDENTIE 4, P O BOX 226, ESPOO FINLAND, H9, 00000, 0358018071 - 20,205,000 ($72,232,875.00) ADRs/ADSs, (File 333-187096 - Mar. 7) (BR. 11A) S-4 Liberty Global Corp Ltd, 38 HANS CRESCENT, LONDON, X0, SW1X 0LZ, 303-220-6600 - 0 ($26,030,977,370.79) Equity, (File 333-187100 - Mar. 7) (BR. 11) S-3ASR EQUITY RESIDENTIAL, EQUITY RESIDENTIAL, TWO NORTH RIVERSIDE PLAZA, SUITE 400, CHICAGO, IL, 60606, 3129281178 - 0 ($1,912,634,037.00) Equity, (File 333-187101 - Mar. 7) (BR. 08B) S-8 LNB BANCORP INC, 457 BROADWAY, LORAIN, OH, 44052-1769, 440-244-6000 - 200,000 ($1,598,000.00) Equity, (File 333-187103 - Mar. 7) (BR. 07B) S-3ASR PHARMACYCLICS INC, PHARMACYCLICS INC, 995 E ARQUES AVE, SUNNYVALE, CA, 94085-4521, 408 774 0330 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187104 - Mar. 7) (BR. 01B) S-8 CREDIT ACCEPTANCE CORP, 25505 WEST TWELVE MILE ROAD, SOUTHFIELD, MI, 48034-8334, 2483532700 - 322,262 ($36,902,221.62) Equity, (File 333-187105 - Mar. 7) (BR. 07B) S-8 VOLTERRA SEMICONDUCTOR CORP, 47467 FREMONT BLVD., FREMONT, CA, 94538, 510-743-1200 - 1,814,806 ($26,042,466.10) Equity, (File 333-187106 - Mar. 7) (BR. 10B) S-8 THRESHOLD PHARMACEUTICALS INC, 170 HARBOR WAY, SUITE 300, SOUTH SAN FRANCISCO, CA, 94080, 650 474 8200 - 1,350,000 ($6,675,000.00) Equity, (File 333-187107 - Mar. 7) (BR. 01A) S-8 INPHI Corp, 1154 SONORA COURT, SUNNYVALE, CA, 94086, 408-636-2700 - 2,830,502 ($26,436,888.68) Equity, (File 333-187108 - Mar. 7) (BR. 10A) S-4 LEVEL 3 COMMUNICATIONS INC, 1025 ELDORADO BOULEVARD, BLDG 2000, BROOMFIELD, CO, 80021, 7208881000 - 0 ($300,000,000.00) Debt, (File 333-187109 - Mar. 7) (BR. 11C) S-4 Level 3 Financing, Inc., 1025 ELDORADO BLVD., BROOMFIELD, CO, 80021, 720-888-1000 - 0 ($775,000,000.00) Debt, (File 333-187110 - Mar. 7) (BR. 11C) S-8 Expedia, Inc., 333 108TH AVENUE NE, BELLEVUE, WA, 98004, (425) 679-7200 - 0 ($95,257,500.00) Equity, (File 333-187111 - Mar. 7) (BR. 05B) S-3ASR ATWOOD OCEANICS INC, 15835 PARK TEN PL DR, SUITE 200, HOUSTON, TX, 77084, 2817497845 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187112 - Mar. 7) (BR. 04A) S-8 TESLA MOTORS INC, 3500 DEER CREEK RD, PALO ALTO, CA, 94070, 650-681-5000 - 4,426,428 ($148,264,258.76) Equity, (File 333-187113 - Mar. 7) (BR. 05C) F-3ASR CNOOC LTD, BANK OF CHINA TOWER, 65TH FLOOR 1 GARDEN RD, HONG KONG, K3, 00000, 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187114 - Mar. 7) (BR. 04B)
Form 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 ----------------------------------------------------------------------------------------- 1st Century Bancshares, Inc. DE 2.02,9.01 03/06/13 3DICON CORP OK 8.01,9.01 03/05/13 Acadia Healthcare Company, Inc. DE 8.01,9.01 03/07/13 ACCENTIA BIOPHARMACEUTICALS INC FL 5.02,8.01 03/04/13 ACCURIDE CORP DE 2.02,7.01,9.01 03/06/13 ACNB CORP PA 2.02,9.01 03/07/13 ACORDA THERAPEUTICS INC 8.01,9.01 03/07/13 ADDVANTAGE TECHNOLOGIES GROUP INC OK 5.07 03/06/13 ADMA BIOLOGICS, INC. DE 7.01,9.01 03/07/13 ADVANCE AUTO PARTS INC DE 5.02,9.01 03/01/13 ADVANCED MEDICAL ISOTOPE Corp DE 1.01,3.02,9.01 03/01/13 ADVANCED PHOTONIX INC DE 5.02,9.01 02/28/13 ADVANCED PHOTONIX INC DE 1.01,9.01 03/01/13 Advaxis, Inc. DE 8.01,9.01 03/06/13 ADVOCAT INC DE 2.02,9.01 03/07/13 AEOLUS PHARMACEUTICALS, INC. DE 1.01,3.02,9.01 03/04/13 Alon Refining Krotz Springs, Inc. DE 2.02,9.01 03/06/13 Alon USA Energy, Inc. DE 2.02,9.01 03/06/13 Altegris QIM Futures Fund, L.P. DE 3.02 03/01/13 Altegris Winton Futures Fund, L.P. CO 3.02 03/01/13 AMBARELLA INC 2.02,9.01 03/07/13 AMBARELLA INC 1.01 03/01/13 AMERICAN JIANYE GREENTECH HOLDINGS, L NV 4.01,9.01 03/07/13 American Realty Capital Properties, I MD 9.01 12/31/12 AMEND AMERITRANS CAPITAL CORP DE 8.01 03/06/13 ANGIODYNAMICS INC DE 2.02,9.01 03/07/13 APCO OIL & GAS INTERNATIONAL INC 5.02 03/06/13 APCO OIL & GAS INTERNATIONAL INC 2.02,9.01 03/07/13 Apollo Commercial Real Estate Finance MD 1.01,9.01 03/05/13 Apollo Residential Mortgage, Inc. MD 2.02,9.01 03/06/13 APPLIED MATERIALS INC /DE DC 5.07 03/05/13 ARAMARK CORP DE 1.01,2.03,8.01,9.01 03/06/13 ARISTOCRAT GROUP CORP. FL 4.01,5.02,9.01 12/27/12 ARK RESTAURANTS CORP NY 8.01,9.01 03/06/13 Arlington Asset Investment Corp. VA 7.01,8.01,9.01 03/07/13 Artemis Acquisition Corp. DE 1.01,2.01,9.01 02/27/13 Artemis Acquisition Corp. DE 1.01,4.01,5.02,9.01 02/20/13 AMEND ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 03/07/13 Asia Carbon Industries, Inc. MD 5.02 03/07/13 ASSET ACCEPTANCE CAPITAL CORP 7.01 03/04/13 ATLANTIC POWER CORP A1 7.01,9.01 03/07/13 ATWOOD OCEANICS INC TX 5.03,9.01 03/07/13 AUTONATION, INC. DE 5.02,9.01 03/01/13 AVALONBAY COMMUNITIES INC MD 2.01,9.01 02/27/13 AMEND AVAYA INC DE 1.01,2.03,9.01 03/07/13 AVIS BUDGET GROUP, INC. DE 7.01,9.01 03/07/13 AVRA Surgical Robotics, Inc. DE 1.02,5.02 03/01/13 Bancorp of New Jersey, Inc. NJ 5.02,9.01 03/05/13 BARCLAY ROAD, INC. WY 2.01 03/07/13 BASSETT FURNITURE INDUSTRIES INC VA 8.01,9.01 03/07/13 BASSETT FURNITURE INDUSTRIES INC VA 5.07 03/06/13 BIOLASE, INC DE 2.02,9.01 03/06/13 BION ENVIRONMENTAL TECHNOLOGIES INC CO 7.01,8.01,9.01 03/06/13 BIOTIME INC CA 1.01,9.01 03/07/13 BIOVEST INTERNATIONAL INC DE 1.03,5.02,7.01,8.01, 03/01/13 9.01 BlackRock Kelso Capital CORP DE 2.02,7.01,9.01 03/07/13 BLOUNT INTERNATIONAL INC DE 2.02,9.01 03/07/13 BOISE CASCADE Co DE 2.02,9.01 03/07/13 BOYD GAMING CORP NV 5.02 03/07/13 BOYD GAMING CORP NV 1.01,2.01,9.01 03/07/13 BullsNBears.com, Inc. DE 4.01,9.01 02/25/13 CABCO TRUST FOR J.C. PENNEY DEBENTURE DE 8.01,9.01 03/01/13 CABOT MICROELECTRONICS CORP DE 5.07 03/05/13 CADENCE PHARMACEUTICALS INC 2.02,9.01 03/07/13 CADIZ INC DE 1.01,2.03,3.02 03/05/13 CALLAWAY GOLF CO DE 5.02,9.01 03/05/13 CANTEL MEDICAL CORP DE 2.02,9.01 03/07/13 CAPITAL SENIOR LIVING CORP DE 2.02,7.01,9.01 03/06/13 Cardigant Medical Inc. DE 5.03 03/06/13 CAS MEDICAL SYSTEMS INC DE 2.02,9.01 03/07/13 Cassidy Ventures Inc. 5.02 02/19/13 CCA INDUSTRIES INC DE 9.01 03/07/13 CECO ENVIRONMENTAL CORP DE 2.02,9.01 03/07/13 CEDAR REALTY TRUST, INC. MD 2.02,7.01,9.01 03/07/13 Celldex Therapeutics, Inc. DE 2.02,8.01,9.01 03/07/13 CENTRAL ENERGY PARTNERS LP DE 2.04,9.01 03/01/13 CHAMBERS STREET PROPERTIES MD 1.01,8.01,9.01 03/01/13 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 03/07/13 CHESAPEAKE ENERGY CORP OK 5.02,7.01,9.01 03/07/13 China Hefeng Rescue Equipment, Inc. DE 1.01,2.01,3.02,5.01, 06/15/12 AMEND 5.02,5.03,5.06,9.01 CIENA CORP DE 2.02,9.01 03/07/13 CIGNA CORP DE 7.01 03/07/13 CITIZENS HOLDING CO /MS/ MS 7.01,9.01 03/06/13 CLAIRES STORES INC DE 8.01,9.01 03/07/13 CN Resources Inc. NV 1.01,2.03,5.02,5.06 03/07/13 Coleman Cable, Inc. DE 2.02,9.01 03/07/13 COLGATE PALMOLIVE CO DE 8.01,9.01 03/07/13 Colony Financial, Inc. MD 2.02,9.01 03/06/13 COMM 2013-CCRE6 Mortgage Trust DE 8.01,9.01 03/07/13 COMPUTER PROGRAMS & SYSTEMS INC DE 5.02,9.01 03/04/13 COMTECH TELECOMMUNICATIONS CORP /DE/ DE 2.02,7.01,9.01 01/31/13 CONSOL Energy Inc DE 5.02 03/01/13 Consolidated Communications Holdings, DE 2.02,9.01 03/07/13 CONSUMER PORTFOLIO SERVICES INC CA 1.01,2.03,9.01 03/07/13 COOPER COMPANIES INC DE 2.02,9.01 03/07/13 CRIMSON EXPLORATION INC. 5.02 03/05/13 CROSS BORDER RESOURCES, INC. NV 1.01,3.02,9.01 02/28/13 AMEND CYTORI THERAPEUTICS, INC. DE 2.02,9.01 03/07/13 DELCATH SYSTEMS INC DE 1.01,9.01 03/06/13 Delek US Holdings, Inc. 2.02,9.01 03/06/13 diaDexus, Inc. DE 2.02,9.01 03/07/13 DIGITAL ANGEL CORP DE 2.01,9.01 03/01/13 DOUBLE CROWN RESOURCES INC. NV 5.02,9.01 03/01/13 DRIVETIME AUTOMOTIVE GROUP INC DE 5.02 11/30/12 Duke Energy CORP DE 9.01 03/07/13 DYNAMIC APPLICATIONS CORP DE 1.01,9.01 03/06/13 DYNAMIC VENTURES CORP. 1.01,9.01 02/20/13 DYNAMIC VENTURES CORP. 1.01,2.03,3.02,9.01 02/28/13 EDAC TECHNOLOGIES CORP WI 2.02,9.01 03/07/13 EINSTEIN NOAH RESTAURANT GROUP INC DE 2.03 03/04/13 Emergent BioSolutions Inc. DE 2.02,9.01 03/07/13 Empeiria Acquisition Corp DE 4.01 03/05/13 EMPIRE DISTRICT ELECTRIC CO KS 8.01,9.01 03/07/13 EMRISE Corp DE 1.01,2.01,2.03,9.01 03/04/13 Entertainment Gaming Asia Inc. NV 2.02,9.01 03/07/13 EPL OIL & GAS, INC. DE 2.02,9.01 03/07/13 ERBA Diagnostics, Inc. DE 1.01,1.02,2.03,9.01 03/01/13 Erickson Air-Crane Inc DE 1.01,7.01,9.01 03/07/13 Euramax Holdings, Inc. DE 5.02 03/07/13 EXOPACK HOLDING CORP 5.02 03/07/13 Express Scripts Holding Co. DE 7.01 03/06/13 Extra Space Storage Inc. MD 7.01,9.01 03/06/13 Federal Home Loan Bank of Atlanta X1 5.02 03/06/13 Federal Home Loan Bank of Atlanta X1 2.03 03/04/13 Federal Home Loan Bank of Boston X1 2.03 03/05/13 Federal Home Loan Bank of Chicago X1 2.03 03/04/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 03/05/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 03/04/13 Federal Home Loan Bank of New York X1 2.03,9.01 03/04/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 03/04/13 Federal Home Loan Bank of San Francis X1 2.03 03/04/13 FEDERAL HOME LOAN MORTGAGE CORP 7.01,9.01 03/07/13 FERRELLGAS PARTNERS L P DE 2.02,7.01,9.01 03/07/13 FIDELITY D & D BANCORP INC PA 5.02 03/05/13 FIDUS INVESTMENT Corp MD 2.02,9.01 03/07/13 FINISAR CORP DE 2.02,9.01 03/07/13 FIRST REAL ESTATE INVESTMENT TRUST OF NJ 8.01,9.01 03/07/13 FIRST UNITED CORP/MD/ MD 2.02,9.01 03/06/13 Fortress Investment Group LLC DE 7.01 03/07/13 Fraternity Community Bancorp Inc 2.02,9.01 03/01/13 FREEPORT MCMORAN COPPER & GOLD INC DE 1.01,2.03,9.01 03/07/13 FRESH START PRIVATE MANAGEMENT, INC. NV 5.02,9.01 03/07/13 FX ENERGY INC NV 8.01,9.01 03/07/13 FXCM Inc. 2.02,7.01,9.01 03/07/13 Game Plan Holdings, Inc. NV 5.02,9.01 03/07/13 GAP INC DE 7.01,9.01 03/07/13 GASCO ENERGY INC NV 2.02,7.01,9.01 03/06/13 GCI INC AK 2.02,9.01 03/06/13 Geeknet, Inc DE 5.02 03/01/13 GENERAL COMMUNICATION INC AK 2.02,9.01 03/06/13 GENTHERM Inc MI 2.02,9.01 03/06/13 Genufood Energy Enzymes Corp. NV 5.02 02/05/13 GFI Group Inc. DE 1.01,2.03,9.01 03/06/13 GLOBAL POWER EQUIPMENT GROUP INC. DE 2.02,9.01 03/07/13 GLOBALSCAPE INC DE 5.02,9.01 03/07/13 Goldspan Resources, Inc. NV 8.01,9.01 03/04/13 GOOD SAM ENTERPRISES, LLC DE 1.01,3.03,5.07,9.01 03/01/13 GOODRICH PETROLEUM CORP DE 8.01,9.01 03/07/13 GULFMARK OFFSHORE INC DE 8.01,9.01 03/06/13 H&R BLOCK INC MO 2.02,9.01 03/07/13 HALLMARK FINANCIAL SERVICES INC NV 7.01,9.01 03/06/13 HARBINGER GROUP INC. DE 1.01,2.01,7.01,9.01 03/05/13 HARTFORD FINANCIAL SERVICES GROUP INC DE 8.01,9.01 03/07/13 HEALTH CARE REIT INC /DE/ DE 8.01 03/05/13 HELMERICH & PAYNE INC DE 5.07 03/06/13 Heron Lake BioEnergy, LLC MN 5.07 03/06/13 HICKORY TECH CORP MN 2.02,9.01 03/06/13 HOLLY ENERGY PARTNERS LP 7.01,9.01 03/07/13 HOT TOPIC INC /CA/ CA 8.01,9.01 03/06/13 HUNTINGTON BANCSHARES INC/MD MD 7.01 03/04/13 IDENTIVE GROUP, INC. DE 8.01 03/01/13 IDENTIVE GROUP, INC. DE 2.02,9.01 03/07/13 IDENTIVE GROUP, INC. DE 1.01,9.01 03/05/13 IDT CORP DE 2.02,9.01 03/07/13 IMAGEWARE SYSTEMS INC DE 1.01 03/06/13 IMMERSION CORP DE 1.01,7.01,9.01 03/07/13 Independence Energy Corp. NV 1.01,9.01 02/28/13 INFINITY PHARMACEUTICALS, INC. DE 5.02 03/06/13 Information Services Group Inc. DE 2.02,9.01 03/07/13 INGRAM MICRO INC DE 5.02 03/05/13 INOVIO PHARMACEUTICALS, INC. 1.01,7.01,8.01,9.01 03/06/13 Inrad Optics, Inc. NJ 7.01,9.01 03/07/13 INTERNATIONAL LEASE FINANCE CORP CA 7.01,9.01 03/06/13 INTERNATIONAL PAPER CO /NEW/ NY 7.01 03/06/13 Investview, Inc. NV 1.01,2.03,3.02,5.02, 02/19/13 9.01 ITEX CORP NV 5.02,9.01 03/01/13 James River Coal CO VA 2.02,7.01,9.01 03/07/13 JONES SODA CO WA 2.02,9.01 03/07/13 JOURNAL COMMUNICATIONS INC 2.02,9.01 03/07/13 KEY TECHNOLOGY INC OR 5.02 03/01/13 KINGOLD JEWELRY, INC. DE 1.01,2.03,8.01,9.01 01/01/13 KROGER CO OH 2.02,7.01,9.01 03/07/13 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 03/06/13 LAYNE CHRISTENSEN CO DE 2.02,7.01,9.01 03/06/13 LEVEL 3 COMMUNICATIONS INC DE 5.02,9.01 03/07/13 Liberty Global, Inc. DE 8.01 03/07/13 Liberty Interactive Corp 2.03,8.01,9.01 03/01/13 LIGHTING SCIENCE GROUP CORP DE 5.02 03/05/13 LIME ENERGY CO. DE 3.01,5.02,8.01,9.01 03/01/13 LRR Energy, L.P. DE 2.02,9.01 03/07/13 LUCAS ENERGY, INC. NV 5.02,9.01 03/01/13 Lustros Inc. 1.01,3.02,9.01 03/01/13 LVFAR Green Technology Corp. DE 4.01,5.01,5.02,5.03, 03/01/13 5.07,9.01 MAC-GRAY CORP DE 2.02,5.02,9.01 03/07/13 MAGELLAN GOLD Corp NV 7.01,9.01 03/06/13 Main Street Capital CORP MD 2.02,9.01 03/07/13 MAJESCO ENTERTAINMENT CO DE 3.01 03/01/13 MARKEL CORP VA 8.01,9.01 03/05/13 MATTEL INC /DE/ DE 8.01,9.01 03/04/13 MAXWELL TECHNOLOGIES INC DE 4.02,5.02 03/01/13 MAYS J W INC NY 2.02 03/07/13 MBT FINANCIAL CORP MI 5.02 03/01/13 MDU RESOURCES GROUP INC DE 5.02,5.03,8.01,9.01 03/04/13 MEDICAL MAKEOVER CORP OF AMERICA DE 8.01 12/28/12 MEDIFAST INC DE 2.02,9.01 03/07/13 MeetMe, Inc. DE 2.02,5.02,8.01,9.01 03/07/13 MENTOR GRAPHICS CORP OR 8.01,9.01 03/07/13 MERCADOLIBRE INC 5.02 03/04/13 Merck & Co. Inc. NJ 5.02 03/04/13 MERCURY SYSTEMS INC MA 7.01,9.01 03/07/13 MERIT MEDICAL SYSTEMS INC UT 9.01 12/19/12 AMEND MIDDLESEX WATER CO NJ 2.02,9.01 03/07/13 MIMEDX GROUP, INC. FL 2.02,9.01 03/07/13 MOCON INC MN 2.02,9.01 03/07/13 ModusLink Global Solutions Inc DE 2.02,9.01 03/07/13 Motors Liquidation Co DE 8.01 03/01/13 MRC GLOBAL INC. DE 8.01,9.01 03/06/13 MRI INTERVENTIONS, INC. DE 2.02,9.01 03/07/13 MRI INTERVENTIONS, INC. DE 1.01,2.03,9.01 03/06/13 MRV COMMUNICATIONS INC DE 8.01 03/01/13 MTR GAMING GROUP INC DE 2.02,9.01 03/07/13 MULTI FINELINE ELECTRONIX INC 1.01,5.02,5.07,9.01 03/01/13 Nationstar Mortgage Holdings Inc. DE 2.02,7.01,9.01 03/07/13 Natural Grocers by Vitamin Cottage, I DE 5.07 03/06/13 NAVIDEA BIOPHARMACEUTICALS, INC. DE 2.02,9.01 03/06/13 NAVISTAR INTERNATIONAL CORP DE 2.02,7.01,9.01 03/07/13 Neutral Tandem Inc 1.01,2.02,2.03,9.01 03/05/13 New Mountain Finance Corp DE 2.02,8.01,9.01 03/06/13 NEXSTAR BROADCASTING GROUP INC DE 2.02,9.01 03/07/13 NGP Capital Resources Co MD 2.02,9.01 03/07/13 Oak Valley Bancorp CA 5.02,9.01 03/06/13 Oculus Innovative Sciences, Inc. CA 8.01,9.01 03/06/13 Oculus Innovative Sciences, Inc. CA 5.02 03/01/13 ONCOGENEX PHARMACEUTICALS, INC. DE 2.02,9.01 03/07/13 Opko Health, Inc. DE 1.01,7.01,9.01 03/01/13 Orchids Paper Products CO /DE DE 8.01,9.01 03/06/13 Orchids Paper Products CO /DE DE 5.02 03/02/13 Otter Tail Corp MN 1.01,2.03,9.01 03/01/13 PACIFIC BIOSCIENCES OF CALIFORNIA, IN DE 5.02 03/05/13 Pacira Pharmaceuticals, Inc. DE 2.02,9.01 03/07/13 Pandora Media, Inc. DE 2.02,9.01 03/07/13 Pandora Media, Inc. DE 5.02 03/07/13 PARTNERRE LTD 8.01,9.01 03/06/13 Pathfinder Cell Therapy, Inc. DE 2.03,3.02 03/04/13 PATRICK INDUSTRIES INC IN 5.02,9.01 03/04/13 Patriot Coal CORP DE 8.01 03/01/13 PEDEVCO CORP TX 8.01,9.01 03/07/13 PERFICIENT INC DE 2.02,8.01,9.01 03/07/13 Phillips Edison - ARC Shopping Center MD 2.02,9.01 03/07/13 PHL VARIABLE INSURANCE CO /CT/ 8.01 03/07/13 PIER 1 IMPORTS INC/DE DE 2.02,5.02,9.01 03/03/13 Pingtan Marine Enterprise Ltd. E9 3.01 03/01/13 PINNACLE ENTERTAINMENT INC. DE 8.01 03/04/13 PITNEY BOWES INC /DE/ DE 8.01,9.01 03/07/13 PITOOEY!, INC. NV 1.01,3.02,7.01,9.01 02/26/13 PNM RESOURCES INC NM 8.01,9.01 03/06/13 POKERTEK, INC. NC 1.01,2.02,3.02,9.01 03/07/13 POLYMEDIX, INC DE 5.02 03/05/13 PostRock Energy Corp DE 2.02,9.01 03/06/13 POWERSECURE INTERNATIONAL, INC. DE 2.02,9.01 03/07/13 PRECISION CASTPARTS CORP OR 9.01 12/20/12 AMEND PREMIER ALLIANCE GROUP, INC. NV 2.01 12/31/12 AMEND PRICESMART INC DE 2.02,9.01 03/07/13 PROSPERITY BANCSHARES INC TX 5.02 03/07/13 Protalix BioTherapeutics, Inc. FL 8.01,9.01 03/07/13 Protea Biosciences Group, Inc. DE 1.01,2.03,3.02 03/01/13 PS BUSINESS PARKS INC/CA CA 1.01,3.03,5.03,9.01 03/05/13 Pzena Investment Management, Inc. DE 8.01,9.01 02/28/13 QAD INC DE 2.02,9.01 03/07/13 QUALSTAR CORP CA 5.03,9.01 03/05/13 Quanex Building Products CORP DE 2.02,9.01 03/07/13 QUIKSILVER INC DE 2.02,9.01 03/07/13 QVC INC DE 2.03,8.01,9.01 03/01/13 RAINBOW INTERNATIONAL, CORP. 8.01,9.01 09/27/12 RBC LIFE SCIENCES, INC. DE 4.02 03/05/13 REALBIZ MEDIA GROUP, INC MN 9.01 10/09/12 AMEND Reis, Inc. MD 2.02,9.01 03/07/13 RENT A CENTER INC DE 8.01,9.01 03/07/13 REPLIGEN CORP DE 2.02,9.01 03/07/13 Resolute Energy Corp DE 2.02,9.01 03/07/13 Resolute Energy Corp DE 8.01,9.01 12/21/12 AMEND RigNet, Inc. DE 2.02,9.01 03/07/13 Rouse Properties, Inc. DE 2.02,7.01,9.01 03/07/13 RTI INTERNATIONAL METALS INC OH 5.02 03/01/13 RUBICON FINANCIAL INC NV 3.02,5.03,8.01,9.01 02/23/13 RXi Pharmaceuticals Corp DE 1.01,3.02,7.01,9.01 03/01/13 S&W Seed Co NV 8.01,9.01 03/07/13 SABINE ROYALTY TRUST TX 2.02,9.01 03/05/13 SAFEGUARD SCIENTIFICS INC PA 2.02,9.01 03/07/13 Safer Shot, Inc. 5.02 02/26/13 SALON MEDIA GROUP INC DE 1.01,3.02,9.01 03/01/13 Sanchez Energy Corp DE 2.02,7.01,9.01 03/06/13 SANDY SPRING BANCORP INC MD 5.02,9.01 03/07/13 Santa Fe Petroleum, Inc. DE 5.02,9.01 03/06/13 SARATOGA RESOURCES INC /TX TX 2.02,7.01,9.01 03/07/13 SAUL CENTERS INC MD 2.02,9.01 03/07/13 SCHAWK INC 2.02,9.01 03/07/13 Scio Diamond Technology Corp NV 5.02,9.01 01/16/13 SEALED AIR CORP/DE DE 8.01,9.01 03/07/13 Sears Hometown & Outlet Stores, Inc. DE 8.01,9.01 03/06/13 SEITEL INC DE 7.01,9.01 03/07/13 SEQUENOM INC DE 2.02,4.02 03/05/13 SEQUENOM INC DE 2.02,9.01 03/07/13 Seven Seas Cruises S. DE R.L. R1 2.02,9.01 03/07/13 Shire plc 8.01,9.01 03/07/13 Shrink Nanotechnologies, Inc. DE 1.01,5.02,8.01,9.01 12/05/12 SILGAN HOLDINGS INC DE 5.02 03/01/13 SIONIX CORP NV 1.01,2.03,5.02 03/01/13 SKULLCANDY, INC. 2.02,9.01 03/07/13 SL INDUSTRIES INC NJ 5.02 03/05/13 SMITHFIELD FOODS INC VA 2.02,9.01 03/07/13 SMTP, Inc. DE 5.02,8.01 03/05/13 SOHU COM INC DE 8.01,9.01 03/06/13 SOUTHWEST AIRLINES CO TX 7.01,9.01 02/28/13 SPARK NETWORKS INC DE 2.02,9.01 03/07/13 SPECIALTY CONTRACTORS, INC. NV 2.01,5.01,5.02 03/07/13 Spectrum Brands Holdings, Inc. DE 5.03,5.07,9.01 03/01/13 SPHERIX INC DE 1.01,8.01,9.01 03/06/13 SPINDLE, INC. NV 1.01 03/01/13 STEIN MART INC FL 3.01,4.02,9.01 03/06/13 STREAMTRACK, INC. 3.02,9.01 03/07/13 Summit Hotel Properties, Inc. MD 5.02 03/01/13 SUPERCONDUCTOR TECHNOLOGIES INC DE 2.02,9.01 03/07/13 SYNCHRONOSS TECHNOLOGIES INC 9.01 12/27/12 AMEND SYNERGY RESOURCES CORP CO 1.01 03/01/13 SYNTROLEUM CORP DE 1.01,2.01,9.01 03/01/13 Synutra International, Inc. DE 5.07 03/05/13 TCP Capital Corp. DE 2.02,5.02,7.01,9.01 03/07/13 TE Connectivity Ltd. V8 5.03,9.01 03/06/13 TECUMSEH PRODUCTS CO MI 2.02,9.01 03/07/13 TECUMSEH PRODUCTS CO MI 7.01,9.01 03/07/13 TECUMSEH PRODUCTS CO MI 5.02,9.01 03/06/13 TESLA MOTORS INC DE 4.02 03/06/13 TESSERA TECHNOLOGIES INC DE 8.01,9.01 03/07/13 TEXAS INSTRUMENTS INC DE 7.01,9.01 03/07/13 TherapeuticsMD, Inc. NV 7.01,9.01 03/07/13 THOR INDUSTRIES INC DE 2.02,9.01 03/07/13 THRESHOLD PHARMACEUTICALS INC DE 2.02,9.01 03/07/13 Titanium Asset Management Corp DE 5.02,5.03,9.01 03/04/13 Todays Alternative Energy Corp NY 5.02,9.01 03/01/13 TransDigm Group INC DE 5.07 03/06/13 TransUnion Holding Company, Inc. DE 1.01,2.01,9.01 03/01/13 TRICO BANCSHARES / CA 8.01,9.01 03/05/13 TRIPLE-S MANAGEMENT CORP 8.01,9.01 03/06/13 TRULIA, INC. DE 5.02 03/05/13 TUESDAY MORNING CORP/DE DE 5.02,9.01 03/03/13 TUTOR PERINI Corp MA 7.01,9.01 03/07/13 U S PHYSICAL THERAPY INC /NV NV 2.02,7.01,8.01,9.01 03/07/13 United Development Funding IV MD 8.01 03/07/13 UNIVERSAL AMERICAN CORP. DE 5.02 03/01/13 URANIUM RESOURCES INC /DE/ DE 3.02,8.01 03/05/13 US CONCRETE INC DE 8.01 03/07/13 US CONCRETE INC DE 2.02,9.01 03/07/13 VALIDUS HOLDINGS LTD 8.01,9.01 03/07/13 VelaTel Global Communications, Inc. NV 1.01,3.02,9.01 02/25/13 Verso Paper Corp. DE 2.02,9.01 03/07/13 Viggle Inc. DE 8.01,9.01 03/06/13 VIRGIN MEDIA INC. DE 1.01 03/06/13 VISTA GOLD CORP B0 7.01,9.01 03/04/13 VIVUS INC CA 8.01,9.01 03/05/13 Vulcan Materials CO NJ 5.02,9.01 03/07/13 W. P. Carey Inc. MD 5.02 03/01/13 WEB.COM GROUP, INC. DE 1.01,1.02,2.03,7.01, 03/06/13 9.01 Western Asset Mortgage Capital Corp DE 2.02,7.01,9.01 03/06/13 Western Graphite Inc. 1.01,9.01 02/27/13 WESTLAKE CHEMICAL CORP DE 8.01,9.01 03/06/13 WFN CREDIT CO LLC 1.01,9.01 03/01/13 WILEY JOHN & SONS, INC. NY 7.01 03/06/13 WMI HOLDINGS CORP. WA 8.01 03/01/13 WNC HOUSING TAX CREDIT FUND VI LP SER CA 8.01 02/28/13 Workday, Inc. DE 2.02,9.01 03/07/13 XO GROUP INC. DE 2.02,9.01 03/06/13 XRS Corp MN 5.02 03/07/13 Xylem Inc. IN 7.01,9.01 03/07/13 ZHONG SEN INTERNATIONAL TEA CO FL 5.01,5.02 02/26/13 ZHONG SEN INTERNATIONAL TEA CO FL 3.01,5.01,5.02 02/26/13 AMEND ZIPCAR INC 5.07,8.01,9.01 03/07/13