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Enforcement ProceedingsDelinquent Filer’s Stock Registration RevokedThe registration of the registered securities of Along Mobile Technologies, Inc., has been revoked. It had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, it 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 revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-69125; File No. 3-14731) Commission Revokes Registration of Securities of Real Data, Inc. (a/k/a Galtech Semiconductor Materials Corporation) for Failure to Make Required Periodic FilingsOn March 13, 2013, the Commission revoked the registration of each class of registered securities of Real Data, Inc. (a/k/a Galtech Semiconductor Materials Corporation) (GTSM) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, GTSM consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Real Data, Inc. (a/k/a Galtech Semiconductor Materials Corporation) finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of GTSM’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against GTSM in In the Matter of Digital Video Systems, Inc., et al., Administrative Proceeding File No. 3-15216. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Digital Video Systems, Inc., et al., Administrative Proceeding File No. 3-15216, Exchange Act Release No. 68970 (February 22, 2013). (Rel. 34-69126; File No. 3-15216) Commission Revokes Registration of Securities of Geocom Resources, Inc. for Failure to Make Required Periodic FilingsOn March 13, 2013, the Commission revoked the registration of each class of registered securities of Geocom Resources, Inc. (GOCM) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, GOCM consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Geocom Resources, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of GOCM’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against GOCM in In the Matter of Digital Video Systems, Inc., et al., Administrative Proceeding File No. 3-15216. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Digital Video Systems, Inc., et al., Administrative Proceeding File No. 3-15216, Exchange Act Release No. 68970 (February 22, 2013). (Rel. 34-69127; File No. 3-15216) Commission Revokes Registration of Securities of Spectrum Acquisition Corp. for Failure to Make Required Periodic FilingsOn March 13, 2013, the Commission revoked the registration of each class of registered securities of Spectrum Acquisition Corp. (Spectrum Acquisition) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Spectrum Acquisition consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Spectrum Acquisition Corp. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Spectrum Acquisition’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Spectrum Acquisition in In the Matter of Maxsys Holdings, Inc., et al., Administrative Proceeding File No. 3-15218. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Maxsys Holdings, Inc., et al., Administrative Proceeding File No. 3-15218, Exchange Act Release No. 68989, February 26, 2013. (Rel. 34-69128; File No. 3-15218) SEC Shuts Down Real Estate Investment Fraud Scheme in Redondo BeachThe Securities and Exchange Commission today announced charges and an emergency asset freeze against a Redondo Beach, Calif., resident and his companies for defrauding seniors and other investors in a real estate investment scheme. The SEC alleges that Alvin R. Brown has raised more than $3 million from investors who were falsely promised high profits for investing in his companies that were purportedly funding commercial and residential rental properties in California and other western states. Brown and his companies – First Choice Investment and Advanced Corporate Enterprises (ACorp) – instead used investor funds to make Ponzi-like payments to pre-existing investors, and Brown routinely withdrew cash for personal use. The ACorp website prominently displayed the seals of the SEC and the State of California as well as the NYSE, NASDAQ, and the Better Business Bureau to falsely imply to investors that these investments were endorsed by these organizations. In reality, the investment offerings were not registered with the SEC under the federal securities laws. According to the SEC’s complaint unsealed today in U.S. District Court for the Central District of California, Brown particularly targeted an elderly investor suffering from a stroke and dementia. After the investor made a $30,000 initial investment, his daughter advised ACorp to stop contacting her father because she had power of attorney, but Brown nonetheless e-mailed him forms to close his brokerage account and move the money to an IRA account that would then invest in ACorp. The investor’s daughter replied to Brown again to remind him that she had power of attorney and he should cease-and-desist from contacting her father. But ACorp eventually succeeded in circumventing the daughter to get the investor’s signature as well as an additional $45,000 investment. The investor’s daughter requested the return of her father’s money, but it was never returned. The SEC alleges that Brown and First Choice lured investors beginning in January 2011 by falsely promising 10 percent annual returns and a planned initial public offering (IPO) at the end of 2012 that would net investors 150 percent of their original investment. They touted Brown’s management experience but failed to disclose to investors that he had twice filed for personal bankruptcy. Brown also falsely stated that ACorp’s assets guaranteed the investments and misled investors into believing their money was safe and secure. According to the SEC’s complaint, the promised IPO and accompanying investment returns never materialized. Besides making Ponzi-like payments to earlier investors, Brown routinely drains First Choice’s bank accounts each month. Therefore, Brown and First Choice have relied on capital infusions from business cash advance providers as lenders of last resort to keep the scheme afloat. The Honorable Audrey B. Collins for the U.S. District Court for the Central District of California granted the SEC’s request for a temporary restraining order and asset freeze against Brown, ACorp, and First Choice, and appointed Krista Freitag as a temporary receiver over the companies. A court hearing has been scheduled for March 18, 2013, on the SEC’s motion for a preliminary injunction. The Commission’s complaint alleges that Brown, ACorp, and First Choice violated 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 seeks preliminary and permanent injunctions, appointment of a permanent receiver, disgorgement of ill-gotten gains with prejudgment interest, and financial penalties, against each of them. [SEC v. Alvin R. Brown, First Choice Investment, Inc. and Advanced Corporate Enterprises, Inc. d/b/a A-Corp Enterprises a/k/a ACorp Development a/k/a A-Corp Investment, Case No. CV 13-1629 ABC (VBKx) (C.D. Cal.)] (LR-22642) INVESTMENT COMPANY ACT RELEASESRenaissance Capital Greenwich Funds, et al.A notice has been issued giving interested persons until April 5, 2013, to request a hearing on an application filed by Renaissance Capital Greenwich Funds, et al., for an order to permit: (a) series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30422 – March 11) Emerging Global Advisors, LLC, et al.An order has been issued on an application filed by Emerging Global Advisors, LLC, et al. The order permits: (a) actively-managed series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30423 – March 12) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NYSE Arca, Inc. amending the NYSE Arca Options Schedule of Fees and Charges for Exchange Services to reduce the Floor Broker rebate for Qualified Contingent Cross transactions (SR-NYSEArca-2013-19) 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. 34-69078) A proposed rule change (SR-NYSEMKT-2013-17) filed by NYSEMKT LLC amending Commentary .02 to NYSE Amex Options Rule 960NY to extend the Penny Pilot in options classes in certain issues through June 30, 2013 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. 34-69105) A proposed rule change (SR-NYSEArca-2013-22) filed by NYSE Arca, Inc. amending Commentary .02 to NYSE Arca Options Rule 6.72 to extend the Penny Pilot in options classes in certain issues through June 30, 2013 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. 34-69106) A proposed rule change (SR-BOX-2013-10) 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. 34-69115) Proposed Rule ChangesBOX Options Exchange LLC filed a proposed rule change (SR-BOX-2013-13) to clarify how the Exchange will treat a Market Maker’s quoting obligations when the underlying equity security enters a Limit State or Straddle State. Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69109) International Securities Exchange, LLC filed a proposed rule change (SR-ISE-2013-22) to suspend certain market maker quotation requirements and to suspend Rule 720 regarding obvious errors during limit up-limit down states in securities that underlie options traded on the ISE. Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69110) Accelerated Approval of Proposed Rule ChangesThe Commission granted accelerated approval of proposed rule changes (SR-CBOE-2013-016; SR-ISE-2013-08) submitted by the Chicago Board Options Exchange, Incorporated and the International Securities Exchange, LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to permit the minimum price variation for Mini Options to be the same as permitted for standard options on the same underlying security. Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69124) 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 ReachLocal Inc, 21700 OXNARD STREET, SUITE 1600, WOODLAND HILLS, CA, 91367, 8189369906 - 1,266,925 ($16,970,460.00) Equity, (File 333-187186 - Mar. 12) (BR. 11C) S-8 MoSys, Inc., 3301 OLCOTT STREET, SANTA CLARA, CA, 95054, 408 418 7500 - 0 ($2,332,860.00) Equity, (File 333-187187 - Mar. 12) (BR. 10B) S-4 CANYON COPPER CORP., 1199 WEST PENDER STREET, SUITE 408, VANCOUVER, A1, V6E 2R1, 604-331-9326 - 68,696,934 ($2,747,877.36) Equity, (File 333-187188 - Mar. 12) (BR. 09A) S-8 Alphatec Holdings, Inc., 5818 EL CAMINO REAL, CARLSBAD, CA, 92008, 760-431-9286 - 700,000 ($1,421,000.00) Equity, (File 333-187189 - Mar. 12) (BR. 10A) S-8 Alphatec Holdings, Inc., 5818 EL CAMINO REAL, CARLSBAD, CA, 92008, 760-431-9286 - 0 ($6,706,409.76) Equity, (File 333-187190 - Mar. 12) (BR. 10A) N-2 FIRST TRUST ENERGY INCOME & GROWTH FUND, 187 DANBURY ROAD, WILTON, CT, 06897, 630-765-8000 - 6,615,930 ($231,160,595.00) Equity, (File 333-187192 - Mar. 12) (BR. 18) S-8 BIOCRYST PHARMACEUTICALS INC, 2190 PARKWAY LAKE DR, BIRMINGHAM, AL, 35244, 2054444600 - 1,850,000 ($2,349,500.00) Equity, (File 333-187193 - Mar. 12) (BR. 01B) S-3ASR MACK CALI REALTY CORP, 343 THORNALL STREET, EDISON, NJ, 08837-2206, 7325901000 - 0 ($0.00) Equity, (File 333-187196 - Mar. 12) (BR. 08B) S-8 THERMOGENESIS CORP, 2711 CITRUS ROAD, RANCHO CORDOVA, CA, 95742, 9168585100 - 1,117,179 ($972,057.45) Equity, (File 333-187197 - Mar. 12) (BR. 10B) S-3 XPLORE TECHNOLOGIES CORP, 14000 SUMMIT DRIVE SUITE 900, AUSTIN, TX, 78746, 512-336-7797 - 0 ($50,000,000.00) Equity, (File 333-187198 - Mar. 12) (BR. 03C) S-8 Global Cash Access Holdings, Inc., 3525 EAST POST ROAD, SUITE 120, LAS VEGAS, NV, 89120, 702-855-3000 - 0 ($22,599,336.00) Equity, (File 333-187199 - Mar. 12) (BR. 07B) S-8 POLYONE CORP, POLYONE CENTER, 33587 WALKER ROAD, AVON LAKE, OH, 44012, 440-930-1000 - 0 ($17,673,510.00) Equity, (File 333-187201 - Mar. 12) (BR. 06A) S-4 Consolidated Communications Holdings, Inc., 121 SOUTH 17TH STREET, MATTOON, IL, 61938, (217) 235-3311 - 0 ($300,000,000.00) Debt, (File 333-187202 - Mar. 12) (BR. 11C) S-8 MEDIVATION, INC., 525 MARKET STREET, 36TH FLOOR, SAN FRANCISCO, CA, 94105, 415-543-3470 - 0 ($167,010,921.09) Equity, (File 333-187203 - Mar. 12) (BR. 01B) S-8 FLUIDIGM CORP, 7000 SHORELINE COURT, SUITE 100, SOUTH SAN FRANCISCO, CA, 94080, 6502666000 - 1,000,000 ($18,800,000.00) Equity, (File 333-187204 - Mar. 12) (BR. 10A) S-8 DAVEY TREE EXPERT CO, 1500 N MANTUA ST, P O BOX 5193, KENT, OH, 44240-5193, 3306739511 - 300,000 ($6,960,000.00) Equity, (File 333-187205 - Mar. 12) (BR. 05A) S-8 ACELRX PHARMACEUTICALS INC, 351 GALVESTON DRIVE, REDWOOD CITY, CA, 94063, 650-216-3500 - 1,482,201 ($7,529,581.08) Equity, (File 333-187206 - Mar. 12) (BR. 01B) N-2 Full Circle Capital Corp, 800 WESTCHESTER AVE., SUITE S-620, RYE BROOK, NY, 10573, 914-220-6300 - 0 ($45,000,000.00) Equity, (File 333-187207 - Mar. 12) (BR. 16) 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
-----------------------------------------------------------------------------------------
Acadia Healthcare Company, Inc. DE 1.01,2.03,8.01,9.01 03/11/13
ACADIA PHARMACEUTICALS INC DE 2.02,9.01 03/12/13
Accelerate Diagnostics, Inc DE 5.02 03/05/13
Adamis Pharmaceuticals Corp DE 1.01,5.02,9.01 03/06/13
ADVANCED MICRO DEVICES INC DE 1.01 03/11/13
AEP INDUSTRIES INC DE 2.02,9.01 03/12/13
AETNA INC /PA/ PA 7.01 03/12/13
Affinity Gaming NV 1.01,3.03,9.01 03/11/13
ALLERGAN INC DE 8.01,9.01 03/07/13
AMEDISYS INC DE 2.02,7.01,9.01 03/12/13
AMERICAN AIRLINES INC DE 2.03,8.01,9.01 03/12/13
AMERICAN DG ENERGY INC DE 2.02,9.01 03/12/13
American Lorain CORP NV 5.02 03/12/13
AMERICAN SOFTWARE INC GA 5.02,9.01 03/07/12
AMERICAN TOWER CORP /MA/ DE 8.01,9.01 03/12/13
AMERISOURCEBERGEN CORP DE 8.01 03/08/13
AMICUS THERAPEUTICS INC DE 2.02,9.01 03/12/13
AMR CORP DE 2.03,8.01,9.01 03/12/13
AmREIT, Inc. MD 7.01,9.01 03/12/13
AMTECH SYSTEMS INC AZ 5.07 03/07/13
Amtrust Financial Services, Inc. DE 8.01,9.01 03/06/13
Apollo Residential Mortgage, Inc. MD 1.01,9.01 03/07/13
APRICUS BIOSCIENCES, INC. NV 2.01 03/11/13
ARI NETWORK SERVICES INC /WI WI 2.02 01/31/13
Artio Global Investors Inc. DE 7.01,9.01 03/12/13
ATHENAHEALTH INC DE 2.01,8.01,9.01 03/12/13
ATHERSYS, INC / NEW DE 2.02,9.01 03/12/13
AVANIR PHARMACEUTICALS, INC. DE 5.02 03/11/13
BANK OF HAWAII CORP DE 5.02 03/11/13
BIG LOTS INC OH 2.02,9.01 03/06/13
Big Three Restaurants, Inc. FL 6.05 03/11/13
Bio-Matrix Scientific Group, Inc. DE 1.01,9.01 03/01/13
BIO-PATH HOLDINGS INC UT 8.01,9.01 03/07/13
BioDrain Medical, Inc. MN 1.01,9.01 03/06/13
BIOSPECIFICS TECHNOLOGIES CORP DE 2.02,9.01 03/12/13
BIOTIME INC CA 5.02,9.01 03/11/13
BLUCORA, INC. DE 7.01,9.01 03/11/13
BON TON STORES INC PA 2.02,9.01 03/12/13
BPZ RESOURCES, INC. TX 1.01,2.03 03/08/13
Bridgepoint Education Inc DE 2.02,9.01 03/12/13
Bridgepoint Education Inc DE 2.02,9.01 03/12/13
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 7.01,9.01 03/12/13
BURLINGTON NORTHERN SANTA FE, LLC 1.01,2.03,9.01 03/12/13
CABLEVISION SYSTEMS CORP /NY DE 5.02,9.01 03/07/13
CACHE INC FL 2.02,9.01 03/12/13
CALGON CARBON CORPORATION DE 1.01,3.03,5.02,7.01, 03/07/13
9.01
CALLIDUS SOFTWARE INC DE 5.02 03/11/13
CAMBIUM LEARNING GROUP, INC. 2.02,9.01 03/07/13
CAMDEN PROPERTY TRUST TX 5.03,9.01 03/11/13
CAROLINA POWER & LIGHT CO NC 8.01,9.01 03/12/13
CASELLA WASTE SYSTEMS INC DE 8.01,9.01 03/11/13
CASEYS GENERAL STORES INC IA 2.02,9.01 03/12/13
CHAMPION INDUSTRIES INC WV 5.02 03/11/13
CHARTER COMMUNICATIONS, INC. /MO/ DE 8.01,9.01 03/07/13
CHEESECAKE FACTORY INC DE 5.02 03/07/13
CHICAGO RIVET & MACHINE CO IL 5.03,9.01 02/18/13
China Biologic Products, Inc. 8.01 02/16/13
CHYRON CORP NY 1.01,3.02,5.03,9.01 03/06/13
Clarion Partners Property Trust Inc. MD 8.01,9.01 03/07/13
Cleantech Solutions International, In DE 7.01,9.01 02/12/13
Cobalt International Energy, Inc. 5.02,9.01 03/11/13
COEUR D ALENE MINES CORP ID 5.02,7.01,9.01 03/11/13
COINSTAR INC DE 1.01,2.03,3.03,8.01, 03/12/13
9.01
COLONY BANKCORP INC GA 5.02 09/07/12
CombiMatrix Corp DE 3.01,5.02 03/08/13
COMERICA INC /NEW/ DE 7.01,9.01 03/12/13
COMFORT SYSTEMS USA INC 7.01,9.01 03/12/13
CommonWealth REIT MD 1.01,8.01,9.01 03/11/13
COMPLIANCE SYSTEMS CORP 2.01,3.02,5.01,5.06, 10/30/12 AMEND
9.01
Cornerstone OnDemand Inc DE 1.01 03/06/13
CORPORATE BOND BACKED CERT TR SER 199 8.01,9.01 03/01/13
COSTCO WHOLESALE CORP /NEW WA 2.02,9.01 03/12/13
COUPON EXPRESS, INC. NV 5.02 03/12/13
COVENTRY HEALTH CARE INC DE 5.02,9.01 03/12/13
CPI AEROSTRUCTURES INC NY 2.02 03/09/13
CROSSROADS SYSTEMS INC DE 1.01,2.03 02/28/13
CROSSROADS SYSTEMS INC DE 2.02,9.01 03/12/13
CU Bancorp CA 7.01,9.01 03/12/13
CUBIC ENERGY INC TX 1.01,9.01 03/06/13
CVB FINANCIAL CORP CA 7.01,8.01,9.01 03/11/13
CVR ENERGY INC DE 2.02,9.01 03/11/13
CVR Refining, LP DE 2.02,9.01 03/11/13
DCP Midstream Partners, LP DE 1.01,7.01,9.01 03/11/13
Deep Down, Inc. NV 1.01,9.01 03/05/13
DEFENSE INDUSTRIES INTERNATIONAL INC 1.01,2.03,3.02,9.01 03/07/13
dELiAs, Inc. DE 5.02 03/06/13
DETHRONE ROYALTY HOLDINGS, INC. NV 4.01,9.01 02/28/13
Discover Financial Services DE 7.01,9.01 03/12/13
Discover Financial Services DE 7.01,9.01 03/12/13
Discovery Communications, Inc. DE 1.01,8.01,9.01 03/06/13
DOLE FOOD CO INC DE 2.02,9.01 03/12/13
DUNKIN' BRANDS GROUP, INC. DE 7.01,9.01 03/12/13
DUNKIN' BRANDS GROUP, INC. DE 7.01,9.01 03/12/13 AMEND
El Paso Pipeline Partners, L.P. DE 7.01 03/12/13
EMERITUS CORP\WA\ WA 5.02 03/11/13
ENERGY FOCUS, INC/DE DE 1.01,2.03,3.02,9.01 03/06/13
Engility Holdings, Inc. DE 2.02,9.01 03/12/13
Enphase Energy, Inc. DE 5.02 03/06/13
Entertainment Art, Inc. NV 1.01,2.01,3.02,5.01, 02/28/13
5.02,5.06,9.01
ENTERTAINMENT GAMES, INC. PA 5.03 02/25/13
ENTEST BIOMEDICAL, INC. NV 1.01,9.01 03/01/13
EPOCRATES INC DE 2.01,3.01,3.03,5.01, 03/11/13
5.02,5.03,5.07,9.01
ESSEX PROPERTY TRUST INC MD 8.01,9.01 03/11/13
EVOLVING SYSTEMS INC DE 2.02 03/12/13
ExactTarget, Inc. DE 8.01 03/11/13
Expedia, Inc. DE 3.02,7.01,9.01 03/08/13
EXXON MOBIL CORP NJ 2.02,7.01 03/06/13
Federal Home Loan Bank of Atlanta X1 2.03 03/06/13
Federal Home Loan Bank of Boston X1 2.03 03/06/13
Federal Home Loan Bank of Chicago X1 2.03 03/06/13
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 03/06/13
Federal Home Loan Bank of Dallas 2.03,9.01 03/11/13
Federal Home Loan Bank of Des Moines X1 2.03,9.01 03/07/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 03/12/13
Federal Home Loan Bank of New York X1 2.03,9.01 03/06/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 03/06/13
Federal Home Loan Bank of San Francis X1 2.03 03/06/13
Federal Home Loan Bank of Seattle 2.03 03/06/13
Federal Home Loan Bank of Topeka 2.03,9.01 03/07/13
FEEL GOLF CO INC CA 1.01,9.01 03/07/13
FINISAR CORP DE 5.03 03/06/13
FIRST FINANCIAL BANCORP /OH/ OH 5.02 03/06/13
FIRST FINANCIAL CORP /IN/ IN 5.02,9.01 12/01/12
FIRST PLACE FINANCIAL CORP /DE/ DE 1.03,9.01 03/06/13
FIRST REAL ESTATE INVESTMENT TRUST OF NJ 2.02,9.01 03/12/13
FIRSTENERGY CORP OH 9.01 03/12/13
FLEETCOR TECHNOLOGIES INC DE 8.01,9.01 03/06/13
FLUSHING FINANCIAL CORP DE 8.01,9.01 03/12/13
FOREVER VALUABLE COLLECTIBLES, INC. CO 4.01,9.01 03/11/13
FOSSIL INC DE 7.01,9.01 03/12/13
FRANKLIN ELECTRIC CO INC IN 5.02,9.01 03/12/13
GAIN Capital Holdings, Inc. DE 2.02,7.01,9.01 03/12/13
Galena Biopharma, Inc. 2.02,9.01 03/12/13
GATX CORP NY 5.02 03/12/13
GENERAL DYNAMICS CORP DE 5.02,9.01 03/06/13
GenMark Diagnostics, Inc. DE 2.02,9.01 03/12/13
GenMark Diagnostics, Inc. DE 5.02,9.01 03/06/13
GEO GROUP INC FL 2.02,7.01,9.01 03/12/13
GEOKINETICS INC DE 1.01,1.03,2.04,9.01 03/11/13
GeoVax Labs, Inc. DE 2.02,9.01 03/11/13
Global Cash Access Holdings, Inc. DE 2.02,9.01 03/12/13
Global Eagle Entertainment Inc. DE 4.01,9.01 03/12/13
Global Vision Holdings, Inc. NV 1.01,2.03,3.02,5.02 03/06/13
GLOBALSCAPE INC DE 2.02,9.01 03/12/13
GOFF, CORP NV 1.01,2.01,3.02,3.03, 03/06/13
5.06,8.01,9.01
GOOD SAM ENTERPRISES, LLC DE 8.01,9.01 03/12/13
Google Inc. DE 5.02 03/06/13
Government Properties Income Trust MD 1.01,8.01,9.01 03/11/13
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 03/08/13
Graystone Co DE 3.02 03/11/13
GREAT AMERICAN ENERGY, INC. 1.01 03/07/13
GREEN MOUNTAIN COFFEE ROASTERS INC DE 5.07 03/07/13
GREEN MOUNTAIN COFFEE ROASTERS INC DE 5.02 03/06/13 AMEND
GREENBRIER COMPANIES INC OR 5.02,9.01 03/11/13
GREER BANCSHARES INC SC 5.02 03/11/13
GREYSTONE LOGISTICS, INC. 1.01,2.03,9.01 03/01/13
GSI GROUP INC A3 2.02,9.01 03/12/13
GSV Capital Corp. MD 2.02,9.01 03/12/13
GULF ISLAND FABRICATION INC LA 2.02,9.01 03/11/13
GULF ISLAND FABRICATION INC LA 8.01,9.01 03/11/13
GULF ISLAND FABRICATION INC LA 5.02 03/06/13
GULFMARK OFFSHORE INC DE 5.02 03/06/13
HEALTHCARE TRUST OF AMERICA, INC. MD 8.01,9.01 03/11/13
HERITAGE FINANCIAL CORP /WA/ WA 1.01,7.01,9.01 03/11/13
Heritage Financial Group Inc MD 1.01,2.01,8.01,9.01 03/08/13
HERTZ GLOBAL HOLDINGS INC 1.01,9.01 03/06/13
Hill-Rom Holdings, Inc. IN 5.07 03/08/13
Hilltop Holdings Inc. MD 5.02 03/06/13
HKN, Inc. DE 1.01,9.01 03/11/13
Horizon Technology Finance Corp DE 2.02,9.01 03/12/13
Horizon Technology Finance Corp DE 8.01,9.01 03/12/13
HOSPITALITY PROPERTIES TRUST MD 1.01 03/06/13
Huntsman CORP DE 1.01,2.03,9.01 03/11/13
ICAHN ENTERPRISES L.P. DE 8.01,9.01 03/12/13
IMATION CORP DE 9.01 12/31/12 AMEND
Infinity Augmented Reality, Inc. NV 5.02,8.01,9.01 03/11/13
Inland American Real Estate Trust, In MD 7.01,9.01 03/12/13
Inland Real Estate Income Trust, Inc. MD 9.01 03/12/13 AMEND
Innolog Holdings Corp. NV 8.01 03/12/13
INTER PARFUMS INC DE 2.02,7.01,8.01,9.01 03/12/13
INTERLINE BRANDS, INC./DE DE 2.02,9.01 03/12/13
Intermec, Inc. DE 8.01,9.01 03/11/13
INTERNATIONAL COMMERCIAL TELEVISION I NV 5.02 03/12/13
INTERNATIONAL TOWER HILL MINES LTD A1 7.01,9.01 03/12/13
INTERSIL CORP/DE DE 1.01,5.02,9.01 03/11/13
Invesco Ltd. D0 7.01,9.01 03/11/13
INVESTORS REAL ESTATE TRUST ND 2.02,7.01,9.01 03/12/13
JETBLUE AIRWAYS CORP DE 7.01,9.01 03/12/13
JMG Exploration, Inc. NV 5.03,7.01,9.01 03/12/13
JTH Holding, Inc. DE 2.02,8.01,9.01 03/12/13
KBS Real Estate Investment Trust II, MD 2.03 03/06/13
Kennedy-Wilson Holdings, Inc. DE 2.02,9.01 03/12/13
KERYX BIOPHARMACEUTICALS INC DE 2.02,9.01 03/11/13
KEY ENERGY SERVICES INC MD 8.01 03/11/13
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 03/12/13
KINDER MORGAN MANAGEMENT LLC DE 7.01 03/12/13
KINDER MORGAN, INC. DE 7.01 03/12/13
KINGOLD JEWELRY, INC. DE 2.02,7.01,9.01 03/12/13
Kiwibox.Com, Inc. DE 7.01,9.01 03/12/13
KRATOS DEFENSE & SECURITY SOLUTIONS, DE 2.02,9.01 03/11/13
KYTHERA BIOPHARMACEUTICALS INC DE 5.02,9.01 03/06/13
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 03/12/13
Lake Victoria Mining Company, Inc. NV 5.02 03/01/13
LAKES ENTERTAINMENT INC MN 2.02,9.01 03/12/13
Laredo Petroleum Holdings, Inc. DE 2.02,7.01,9.01 03/12/13
LEHMAN ABS CORP BCKD TR CRTS TOYS R U DE 8.01,9.01 03/01/13
LEHMAN ABS CORP KINDER MORGAN DEBEN B DE 8.01,9.01 03/01/13
Lender Processing Services, Inc. DE 5.02 03/12/13
Limoneira CO DE 2.02,9.01 03/12/13
LivingVentures, Inc. FL 5.02 03/06/13
LMI AEROSPACE INC MO 2.02,7.01,9.01 03/12/13
LRI HOLDINGS, INC. 2.02,9.01 03/12/13
LYRIS, INC. 5.02,9.01 03/08/13
M I HOMES INC OH 1.01,2.03,8.01,9.01 03/05/13 AMEND
Macquarie Global Infrastructure Total 5.07 03/11/13
MAGELLAN MIDSTREAM PARTNERS LP DE 2.02,8.01,9.01 03/11/13
Magnolia Solar Corp NV 8.01,9.01 03/12/13
MANNKIND CORP DE 5.02 03/07/13
Mast Therapeutics, Inc. DE 8.01,9.01 03/11/13
MAXYGEN INC DE 2.02,9.01 03/12/13
McEwen Mining Inc. CO 7.01,9.01 03/11/13
METALS USA HOLDINGS CORP. DE 8.01,9.01 03/11/13
METALS USA HOLDINGS CORP. DE 5.02,9.01 03/08/13
MGIC INVESTMENT CORP WI 1.01,2.03,8.01,9.01 03/06/13
Midway Gold Corp A1 2.02,7.01,9.01 03/12/13
MidWestOne Financial Group, Inc. IA 5.02,9.01 12/27/12 AMEND
MILLER ENERGY RESOURCES, INC. TN 2.02,7.01,9.01 03/12/13
MIMEDX GROUP, INC. FL 1.01,5.01,5.08,9.01 03/06/13
Mindesta Inc. DE 8.01,9.01 03/12/13
MRC GLOBAL INC. DE 7.01,9.01 03/12/13
MRC GLOBAL INC. DE 1.01,9.01 03/06/13
NATURAL HEALTH TRENDS CORP DE 2.02,9.01 03/12/13
NEAH POWER SYSTEMS, INC. NV 1.01,3.02 03/05/13
Net Element International, Inc. E9 1.01,8.01,9.01 03/08/13
NEXTERA ENERGY INC FL 7.01,8.01 03/12/13
NN INC DE 2.02,9.01 03/11/13
NORTH BAY RESOURCES INC DE 2.01 02/21/13
NorthStar Real Estate Income Trust, I MD 1.01,9.01 03/11/13
NORTHSTAR REALTY FINANCE CORP. MD 1.01,9.01 03/11/13
NOVAGEN SOLAR INC. NV 1.01,7.01,8.01,9.01 03/07/13
NTELOS HOLDINGS CORP 5.02 03/06/13
NUMEREX CORP /PA/ PA 2.02,9.01 03/11/13
OCZ TECHNOLOGY GROUP INC DE 1.01,2.03,3.02,9.01 03/11/13
OGE ENERGY CORP. OK 7.01 03/12/13
OIL DRI CORP OF AMERICA DE 2.02,9.01 03/11/13
OMNICARE INC DE 7.01,9.01 03/12/13
One Horizon Group, Inc. PA 4.01,9.01 11/30/12 AMEND
OptimumBank Holdings, Inc. FL 5.02,9.01 03/11/13
ORBIT INTERNATIONAL CORP DE 2.02,7.01,9.01 03/07/13
OXIGENE INC DE 2.02,9.01 03/12/13
Pacira Pharmaceuticals, Inc. DE 3.02 03/07/13
PACWEST BANCORP DE 8.01,9.01 03/11/13
PDL BIOPHARMA, INC. DE 8.01,9.01 03/12/13
Pendrell Corp DE 5.02 03/08/13
PEREGRINE PHARMACEUTICALS INC DE 2.02,7.01,9.01 03/12/13
Pernix Sleep, Inc. DE 2.01,3.01,3.03,5.01, 03/06/13
5.03,5.07,9.01
PERNIX THERAPEUTICS HOLDINGS, INC. MD 2.01,7.01,9.01 03/06/13
POTOMAC ELECTRIC POWER CO VA 1.01,9.01 03/11/13
PowerShares DB G10 Currency Harvest F DE 8.01,9.01 03/11/13
Primoris Services Corp DE 2.02,8.01,9.01 03/07/13
Propell Technologies Group, Inc. DE 1.01,5.02 03/06/13
QEP RESOURCES, INC. DE 5.04,9.01 03/07/13
RANCON REALTY FUND V CA 1.01,2.01,9.01 03/07/13
RAVEN INDUSTRIES INC SD 2.02,9.01 03/12/13
RCM TECHNOLOGIES INC NV 5.03,9.01 03/11/13
Red Lion Hotels CORP WA 1.01,2.03,8.01 03/12/13
RESEARCH FRONTIERS INC DE 1.01,9.01 03/11/13
REVLON CONSUMER PRODUCTS CORP DE 5.02 03/07/13
REVLON INC /DE/ DE 5.02 03/07/13
ROSETTA STONE INC 8.01,9.01 03/12/13
S&W Seed Co NV 8.01,9.01 03/12/13
SAGA COMMUNICATIONS INC DE 2.02,9.01 03/12/13
SANDRIDGE ENERGY INC DE 8.01 03/12/13
Santander Drive Auto Receivables Trus DE 8.01,9.01 03/06/13
Santo Mining Corp. NV 1.01,3.02,8.01,9.01 03/11/13
Sears Hometown & Outlet Stores, Inc. DE 2.02,9.01 03/12/13
SECURE NetCheckIn Inc NV 4.02 12/31/11
Shire plc 8.01,9.01 03/12/13
SimplePons, Inc. DE 4.01,9.01 03/08/13
Skkynet Cloud Systems, Inc. NV 4.01,9.01 03/01/13 AMEND
SL INDUSTRIES INC NJ 1.01,9.01 03/11/13
SOLAZYME INC DE 8.01 03/11/13
SPECTRAL CAPITAL Corp 3.02,9.01 03/07/13
SPECTRUM PHARMACEUTICALS INC DE 7.01,9.01 03/12/13
SpeedSport Branding, Inc. NV 4.01,9.01 03/11/13
SS&C Technologies Holdings Inc DE 5.02,9.01 03/07/13
STAGE STORES INC NV 2.02,9.01 03/12/13
Standard Financial Corp. MD 8.01,9.01 03/12/13
Steel Excel Inc. DE 2.02,9.01 03/11/13
STEMCELLS INC DE 5.02 03/06/13
STEWART ENTERPRISES INC LA 2.02,9.01 03/11/13
Strategic Dental Management Corp. CO 5.01,5.02 03/08/13
STW RESOURCES HOLDING CORP. NV 5.02,8.01,9.01 03/11/13
Summer Infant, Inc. DE 2.02,9.01 03/12/13
SYNERGETICS USA INC 8.01,9.01 03/12/13
SYNERGY RESOURCES CORP CO 7.01,9.01 03/07/13
SYPRIS SOLUTIONS INC DE 2.02,7.01,9.01 03/12/13
TANDY LEATHER FACTORY INC DE 2.02,9.01 03/12/13
TANDY LEATHER FACTORY INC DE 5.02 02/14/13 AMEND
TAUBMAN CENTERS INC MI 1.01,7.01,8.01,9.01 03/11/13
TCF FINANCIAL CORP DE 5.02,9.01 03/06/13
TearLab Corp DE 5.02 03/06/13
Texas Rare Earth Resources Corp. DE 1.01,2.01,3.02,9.01 03/08/13
TG THERAPEUTICS, INC. DE 2.02,9.01 03/12/13
TICC Capital Corp. MD 2.02,9.01 03/12/13
TIGER JIUJIANG MINING, INC. WY 5.02 03/11/13
Titanium Asset Management Corp DE 5.02 03/11/13
Titanium Group LTD D8 8.01 03/11/13
Tower Group, Inc. DE 5.07 03/12/13
TRANS ENERGY INC NV 7.01,9.01 03/07/13
TransMontaigne Partners L.P. DE 2.02,9.01 03/12/13
Travelport LTD D0 1.01,2.02,7.01,9.01 03/11/13
Trius Therapeutics Inc DE 2.02,9.01 03/12/13
UMPQUA HOLDINGS CORP OR 8.01 03/12/13
UNIGENE LABORATORIES INC DE 2.02,9.01 03/12/13
UNITED FIRE GROUP INC 8.01,9.01 03/12/13
UNIVERSAL DISPLAY CORP \PA\ PA 5.02 03/07/13
URANIUM ENERGY CORP NV 7.01,9.01 03/12/13
URBAN OUTFITTERS INC PA 2.02,5.02,9.01 03/07/13
Vanguard Natural Resources, LLC DE 9.01 03/12/13 AMEND
VIAD CORP DE 7.01,9.01 03/12/13
VICAL INC DE 5.02 03/08/13
VSB BANCORP INC NY 8.01 03/12/13
WASHINGTON REAL ESTATE INVESTMENT TRU MD 5.02 03/11/13
WAUSAU PAPER CORP. WI 1.01,3.03,9.01 03/06/13
WELLPOINT, INC IN 7.01 03/12/13
Western Refining, Inc. DE 8.01,9.01 03/12/13
WESTMOUNTAIN INDEX ADVISOR INC CO 8.01,9.01 03/08/13
Where Food Comes From, Inc. 2.02,9.01 03/06/13
Whitestone REIT TX 2.02,9.01 03/12/13
Whitestone REIT Operating Partnership DE 2.02,9.01 03/12/13
Willbros Group, Inc.\NEW\ 2.02,9.01 03/06/13
WINLAND ELECTRONICS INC MN 3.01,9.01 03/06/13
WMX Group Holdings, Inc. FL 7.01,9.01 03/11/13
YORK WATER CO PA 2.02,9.01 03/12/13
Zeltiq Aesthetics Inc DE 2.02,9.01 03/12/13
http://www.sec.gov/news/digest/2013/dig031313.htm
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