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Enforcement ProceedingsSEC Obtains Asset Freeze Against Massachusetts-Based Investment Adviser Stealing Money from ClientThe Securities and Exchange Commission today announced an asset freeze against a Massachusetts-based investment adviser charged with stealing money from clients who were given the false impression they were investing in a hedge fund. In a complaint unsealed today in federal court in Boston, the SEC alleges that Gregg D. Caplitz and Insight Onsite Strategic Management in Wilmington, Mass., raised at least $1.1 million from clients that was used for purposes other than investing in the hedge fund they purported to manage. Investor money was merely transferred to the firm’s chief investment officer and other members of her family who spent it on personal expenses. The firm reported in SEC filings that it has $100 million in assets under management, however the purported hedge fund actually has no assets. U.S. District Judge Mark L. Wolf granted the SEC’s request for an emergency court order to freeze the assets of Caplitz and his firm as well as others who received investor money and have been named as relief defendants for the purposes of recovering investor funds in their possession. According to the SEC’s complaint, Caplitz’s scheme began around 2009. While soliciting funds, Caplitz convinced one client and his wife to invest $275,000 in the hedge fund that Caplitz claimed would generate them about $1,000 per month in returns. Caplitz also solicited a 20-year client who after considering his sales pitch decided not to invest in the hedge fund because she considered it too risky of an investment for someone her age. But Caplitz apparently took action to obtain funds from the client’s IRA account and wire thousands of dollars to an Insight Onsite Strategic Management bank account. The client was not aware of the transfers and did not authorize them. The SEC alleges that instead of using investor funds to purchase shares in a hedge fund or to manage or develop a hedge fund, Caplitz transferred control of client money to Rosalind Herman, his friend who works at the firm. Investor funds also were transferred to her sons Brad and Brian Herman, daughter-in-law Charlene Herman, and a company called The Knew Finance Experts. The Hermans, who all live in Las Vegas, own that company. The Hermans used investor money to pay legal bills and other personal expenses at gas stations, drugstores, and restaurants. The SEC alleges that as part of his scheme, Caplitz obtained funds from a real estate investment trust (REIT) by falsely representing that a hedge fund he operated was interested in making an investment in that trust. The public, non-traded REIT gave $135,000 to Caplitz so he could conduct due diligence on the REIT as a precursor to making a $5 million investment that never materialized. The SEC alleges that Caplitz and Insight Onsite Strategic Management violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, Section 17(a) of the Securities Act of 1933, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The complaint seeks a permanent injunction plus disgorgement, prejudgment interest, and a penalty against Caplitz and his firm. The complaint also names the four Hermans and The Knew Finance Experts as relief defendants and seeks disgorgement plus prejudgment interest. The SEC’s investigation was conducted in the Boston Regional Office by Mayeti Gametchu and Kevin Kelcourse of the Asset Management Unit and Susan Cooke Anderson. The litigation will be led by Kathy Shields and Ms. Gametchu. (Press Rel. 2013-43) Commission Decision as to Gold Star Tutoring Services, Inc. FinalThe decision of an administrative law judge with respect to Gold Star Tutoring Services, Inc. has become final. The law judge found that Gold Star violated Section 13(a) of the Securities and Exchange Act of 1934 and Rules 13a-1 and 13a-13 thereunder by its failure to file any periodic reports since it filed a Form 10-Q for the period ended September 30, 2009. (Rel. 34-69155; File No. 3-15090) INVESTMENT COMPANY ACT RELEASESKrane Fund Advisors LLC, et al.A notice has been issued giving interested persons until April 5, 2013, to request a hearing on an application filed by Krane Fund Advisors LLC, 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-30425 – March 14) Global X Funds, et al.A notice has been issued giving interested persons until April 8, 2013, to request a hearing on an application filed by Global X Funds, et al. for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A), (B), and (C) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The order would (a) permit certain registered open-end management investment companies to acquire shares of certain registered open-end and closed-end management investment companies, business development companies as defined by Section 2(a)(48) of the Act, and registered unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies and (b) permit certain registered open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30426 – March 14) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the BOX Options Exchange LLC (SR-BOX-2013-11) to amend the BOX Price Improvement Period (“PIP”) Rule 7150 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 18, 2013. (Rel. 34-69135) The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-MIAX-2013-06) filed by Miami International Securities Exchange LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to list and trade option contracts overlying 10 shares of certain securities. Publication is expected in the Federal Register during the week of March 18, 2013. (Rel. 34-69136) A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2013-19) to amend its Schedule of Fees 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 18, 2013. (Rel. 34-69139) A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2013-029) to comply with the requirements of the National Market System Plan to Address Extraordinary Market Volatility 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 18, 2013. (Rel. 34-69147) A proposed rule change filed by the International Securities Exchange, LLC, related to Limit Up/Limit Down (SR-ISE-2013-20) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of March 18, 2013. (Rel. 34-69148) A proposed rule change filed by The NASDAQ Stock Market LLC to extend the pre-market hours of the Exchange to 4:00 a.m. EST (SR-NASDAQ-2013-033) 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 18, 2013. (Rel. 34-69151) Proposed Rule ChangesNASDAQ OMX BX, Inc. filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-BX-2013-026) to adopt Chapter V, Section 3(d)(iv) regarding Obvious Error or Catastrophic Error Review. Publication is expected in the Federal Register during the week of March 18, 2013. (Rel. 34-69140) NASDAQ OMX PHLX LLC filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-Phlx-2013-29) to address Obvious and Catastrophic Options Errors in response to the Regulation NMS Plan to Address Extraordinary Market Volatility. Publication is expected in the Federal Register during the week of March 18, 2013. (Rel. 34-69141) The NASDAQ Stock Market LLC filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-NASDAQ-2013-048) to adopt Chapter V, Section 3(d)(iv) regarding Obvious Error or Catastrophic Error Review. Publication is expected in the Federal Register during the week of March 18, 2013. (Rel. 34-69142) Chicago Board Options Exchange, Incorporated filed a proposed rule change under Rule 19b-4 (SR-CBOE-2013-027) relating to trading ahead of customer orders and best execution and interpositioning requirements. Publication is expected in the Federal Register during the week of March 18, 2013. (Rel. 34-69146) 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-3ASR SINCLAIR BROADCAST GROUP INC, 10706 BEAVER DAM ROAD, HUNT VALLEY, MD, 21030, 4105681500 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187269 - Mar. 15) (BR. 11C) S-4 INTERLINE BRANDS, INC./DE, 701 SAN MARCO BOULEVARD, JACKSONVILLE, FL, 32207, 904-421-1400 - 0 ($365,000,000.00) Debt, (File 333-187271 - Mar. 15) (BR. 06A) S-1 INTERLINE BRANDS, INC./DE, 701 SAN MARCO BOULEVARD, JACKSONVILLE, FL, 32207, 904-421-1400 - 0 ($1.00) Debt, (File 333-187272 - Mar. 15) (BR. 06A) S-3 Sunshine Heart, Inc., 7651 ANAGRAM DRIVE, EDEN PRAIRIE, MN, 55344, 952-345-4200 - 0 ($75,000,000.00) Other, (File 333-187273 - Mar. 15) (BR. 10B) S-8 MITSUBISHI UFJ FINANCIAL GROUP INC, 7-1 MARUNOUCHI 2-CHOME, CHIYODA-KU, TOKYO, M0, 100-8330, 2125301784 - 0 ($26,736,000.00) Equity, (File 333-187274 - Mar. 15) (BR. 12A) F-3ASR COCA COLA FEMSA SAB DE CV, GUILLERMO GONZALEZ CAMARENA NO. 600, COL. CENTRO DE CIUDAD SANTA FE, DELEGACION ALVARO OB, O5, DF 01210, 5255335300 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187275 - Mar. 15) (BR. 09B) S-3 EXTERRAN PARTNERS, L.P., 4444 BRITTMORE ROAD, HOUSTON, TX, 77041-8004, 713-335-7000 - 0 ($23,671,250.00) Other, (File 333-187284 - Mar. 15) (BR. 02B) S-1 TRANSGENOMIC INC, 12325 EMMET ST, OMAHA, NE, 68164, 4027385480 - 24,900,000 ($12,201,000.00) Equity, (File 333-187285 - Mar. 15) (BR. 10B) S-8 MTS SYSTEMS CORP, 14000 TECHNOLOGY DR, EDEN PRAIRIE, MN, 55344-2290, 6129374000 - 1,300,000 ($54.94) Equity, (File 333-187287 - Mar. 15) (BR. 10B) S-3D FIRST COMMONWEALTH FINANCIAL CORP /PA/, OLD COURTHOUSE SQUARE, 22 N SIXTH ST, INDIANA, PA, 15701, 7243497220 - 5,000,000 ($37,350,000.00) Equity, (File 333-187288 - Mar. 15) (BR. 07B) S-3 FUELCELL ENERGY INC, 3 GREAT PASTURE RD, DANBURY, CT, 06813, 2038256000 - 3,526,764 ($3,415,670.93) Equity, (File 333-187290 - Mar. 15) (BR. 10A) S-3 ARROW FINANCIAL CORP, 250 GLEN ST, GLENS FALLS, NY, 12801, 5187451000X299 - 500,000 ($12,277,500.00) Equity, (File 333-187293 - Mar. 15) (BR. 07C) S-8 James River Coal CO, 901 E. BYRD STREET, SUITE 1600, RICHMOND, VA, 23219, 804-780-3000 - 1,000,000 ($2,560,000.00) Equity, (File 333-187297 - Mar. 15) (BR. 09A) F-3 RDA Microelectronics, Inc., 6/F, BUILDING 4, 690 BIBO ROAD, PUDONG DISTRICT, SHANGHAI, F4, 201203, (86-21) 5027-1108 - 0 ($108,414,145.50) ADRs/ADSs, (File 333-187303 - Mar. 15) (BR. 10B) F-3 Fly Leasing Ltd, WEST PIER, DUN LAOGHAIRE, COUNTY DUBLIN, L2, 00000, 353 1 231-1900 - 0 ($32,011,386.60) Equity, (File 333-187305 - Mar. 15) (BR. 06B) S-3ASR AVISTA CORP, 1411 E MISSION AVE, SPOKANE, WA, 99202, 5094890500 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187306 - Mar. 15) (BR. 02B) S-3ASR Santander Holdings USA, Inc., 1130 BERKSHIRE BLVD, WYOMISSING, PA, 19610, 610-320-8400 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187307 - Mar. 15) (BR. 12A) S-1 Universal Technology Systems Corp., 4073 SOUTH TAMIAMI TRAIL, SARASOTA, FL, 34231, 941-400-4225 - 3,000,000 ($33,000.00) Equity, (File 333-187308 - Mar. 15) (BR. ) S-1 TIAA REAL ESTATE ACCOUNT, 730 THIRD AVE, NEW YORK, NY, 10017, 2124909000 - 0 ($1,000,000,000.00) Other, (File 333-187309 - Mar. 15) (BR. 08C) S-8 BROADVISION INC, 1700 SEAPORT BLVD.,, SUITE 210, REDWOOD CITY, CA, 94063, 6503311000 - 137,726 ($1,384,146.30) Equity, (File 333-187310 - Mar. 15) (BR. 03C) S-8 GLU MOBILE INC, 45 FREMONT STREET, SUITE 2800, SAN FRANCISCO, CA, 94105, 415-800-6100 - 960,221 ($2,075,463.00) Equity, (File 333-187311 - Mar. 15) (BR. 03A) S-8 IPASS INC, 3800 BRIDGE PARKWAY, REDWOOD SHORES, CA, 94065, 6502324115 - 3,942,173 ($7,825,213.41) Equity, (File 333-187312 - Mar. 15) (BR. 03C) S-1 Cactus Ventures, Inc., 123 W NYE LANE, STE 129, CARSON CITY, NV, 89706, 831-770-0217 - 0 ($26,754,578.00) Equity, (File 333-187313 - Mar. 15) (BR. 03C) S-8 KONA GRILL INC, 7150 EAST CAMELBACK ROAD, SUITE 220, SCOTTSDALE, AZ, 85251, 4809228100 - 750,000 ($6,532,500.00) Equity, (File 333-187314 - Mar. 15) (BR. 05B) S-1 Santo Mining Corp., AVENIDA SARASOTA NO. 20, TORRE EMPRESARIAL AIRD, SUITE 1103, LA JULIA, SANTO DOMINGO, G8, 0000000000, 809-535-9443 - 8,950,000 ($1,432,000.00) Equity, (File 333-187315 - Mar. 15) (BR. 09) S-8 CORCEPT THERAPEUTICS INC, 149 COMMONWEALTH DRIVE, MENLO PARK, CA, 94025, 650.688.8803 - 3,992,570 ($8,025,065.70) Equity, (File 333-187316 - Mar. 15) (BR. 01B) S-1 Sunnyside Bancorp, Inc., 56 MAIN STREET, IRVINGTON, NY, 10533, 914-591-8000 - 0 ($7,935,000.00) Equity, (File 333-187317 - Mar. 15) (BR. ) S-11 Altisource Residential Corp, 14A & 14C STRAND STREET, FREDERIKSTED, VI, 00840, 770-612-7007 - 0 ($100,000,000.00) Equity, (File 333-187318 - Mar. 15) (BR. 08) S-4 LAKELAND BANCORP INC, 250 OAK RIDGE RD, OAK RIDGE, NJ, 07438, 9736972000 - 0 ($1.00) Equity, (File 333-187319 - Mar. 15) (BR. 07B) S-3ASR LINCOLN NATIONAL CORP, 150 N RADNOR CHESTER RD, RADNOR, PA, 19087, 4845831475 - 10,000,000 ($10,000,000.00) Other, (File 333-187320 - Mar. 15) (BR. 01A) S-8 PROOFPOINT INC, 892 ROSS DRIVE, SUNNYVALE, CA, 94089, 408-517-4710 - 0 ($28,549,715.00) Equity, (File 333-187321 - Mar. 15) (BR. 03A) RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-----------------------------------------------------------------------------------------
4Licensing Corp NY 1.01,2.01,9.01 02/14/13
ABERCROMBIE & FITCH CO /DE/ DE 7.01,9.01 03/13/13
ABRAXAS PETROLEUM CORP NV 2.02,9.01 03/15/13
ACURA PHARMACEUTICALS, INC NY 8.01,9.01 03/15/13
AEROPOSTALE INC 2.02,9.01 03/14/13
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 03/15/13
AMAG PHARMACEUTICALS INC. DE 5.02,7.01,9.01 03/15/13
AMBAC FINANCIAL GROUP INC DE 8.01 03/14/13
AMERICAN BIO MEDICA CORP NY 1.01 03/12/13
AMERICAN EXPRESS CO NY 7.01 03/15/13
American Express Receivables Financin DE 8.01,9.01 03/14/13
AMERICAN INTERNATIONAL VENTURES INC / DE 1.01,9.01 03/13/13
AMERICAN JIANYE GREENTECH HOLDINGS, L NV 4.01,9.01 03/15/13 AMEND
American Lorain CORP NV 5.02,9.01 03/15/13 AMEND
AMERICAN PACIFIC CORP DE 7.01,9.01 03/14/13
American Petroleum Tankers Parent LLC DE 2.02,8.01,9.01 03/15/13
AMERICAN REALTY CAPITAL HEALTHCARE TR MD 1.01,8.01,9.01 03/15/13
American Realty Capital Properties, I MD 8.01,9.01 03/15/13
American Realty Capital Trust IV, Inc MD 8.01,9.01 03/15/13
AMERICAN SCIENCE & ENGINEERING, INC. MA 5.02,9.01 03/13/13
AMERICAN STATES WATER CO CA 5.02,9.01 03/13/13
AMERICAN TOWER CORP /MA/ DE 1.01,1.02,2.03,9.01 03/15/13
AMERIGAS PARTNERS LP DE 5.02 03/15/13
AMERINST INSURANCE GROUP LTD D0 2.02,9.01 03/15/13
AMP Holding Inc. NV 1.01,2.01,2.03,3.02, 03/13/13
9.01
Ampio Pharmaceuticals, Inc. DE 7.01,9.01 03/11/13
AMREP CORP. OK 2.02,9.01 03/15/13
Anoteros, Inc. NV 4.01,9.01 03/12/13
APACHE CORP DE 5.02 03/15/13
Applied Minerals, Inc. DE 5.02,9.01 03/11/13
ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 1.01,2.03,7.01 03/14/13
ARRIS GROUP INC DE 7.01,9.01 03/15/13
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 03/15/13
ASHLAND INC. KY 1.01,1.02,2.03,9.01 03/14/13
ASSISTED LIVING CONCEPTS INC NV 2.02,9.01 03/14/13
ASSOCIATED BANC-CORP WI 5.03,9.01 03/12/13
ASSOCIATED MATERIALS, LLC DE 8.01,9.01 03/15/13
ASSURANCEAMERICA CORP NV 5.03,8.01,9.01 03/11/13
Atlas Financial Holdings, Inc. E9 8.01,9.01 03/14/13
ATP OIL & GAS CORP TX 8.01 03/15/13
AURORA DIAGNOSTICS HOLDINGS LLC 5.02 03/11/13
AV Homes, Inc. DE 2.02,9.01 03/14/13
BANK OF AMERICA CORP /DE/ DE 5.02,9.01 03/11/13
BB&T CORP NC 8.01,9.01 03/15/13
BeesFree, Inc. NV 1.01,2.03,3.02,9.01 03/13/13
BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 03/15/13
BIOSANTE PHARMACEUTICALS INC DE 5.02,5.07,8.01,9.01 03/15/13
Biostar Pharmaceuticals, Inc. MD 1.01,3.02,9.01 03/11/13
Bloomin' Brands, Inc. DE 5.02 03/13/13
BLUCORA, INC. DE 1.01,2.03,3.02,7.01, 03/15/13
9.01
BLYTH INC DE 5.02,9.01 03/12/13
BLYTH INC DE 2.02 03/14/13
BROADSOFT, INC. DE 2.02,9.01 03/15/13
BROWN SHOE CO INC NY 2.02,9.01 03/15/13
BRT REALTY TRUST MA 5.02,5.07 03/14/13
BUTLER NATIONAL CORP DE 2.02,9.01 03/15/13
CABELAS INC DE 7.01,9.01 03/15/13
CADENCE PHARMACEUTICALS INC 5.02 03/13/13
CALLIDUS SOFTWARE INC DE 1.01,3.03,5.02,9.01 03/13/13
CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 03/14/13
CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 03/15/13
CapLease, Inc. 1.01,5.03,9.01 03/15/13
CAPSTEAD MORTGAGE CORP MD 7.01,9.01 03/15/13
CARDICA INC DE 8.01,9.01 03/15/13
Cardium Therapeutics, Inc. DE 8.01,9.01 03/14/13
CARNIVAL CORP DE 2.02,9.01 03/15/13
CENTERPOINT ENERGY INC 7.01,9.01 03/15/13
CHAMPION INDUSTRIES INC WV 2.02,9.01 03/15/13
CHARTER COMMUNICATIONS, INC. /MO/ DE 1.01,2.03,8.01,9.01 03/14/13
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 03/15/13
CHESAPEAKE ENERGY CORP OK 7.01,9.01 03/15/13
CHINA HGS REAL ESTATE INC. F4 1.01,9.01 03/14/13
CHINDEX INTERNATIONAL INC DE 2.02,7.01,9.01 03/15/13
CIGNA CORP DE 7.01 03/15/13
CION Investment Corp MD 2.02,9.01 03/14/13
Citi Trends Inc 2.02,9.01 03/15/13
CLEAN DIESEL TECHNOLOGIES INC DE 2.02,7.01,9.01 03/15/13
CLIFFS NATURAL RESOURCES INC. OH 5.02 03/11/13
COAST DISTRIBUTION SYSTEM INC DE 5.02,9.01 03/12/13
COFFEE HOLDING CO INC NV 2.02,8.01,9.01 03/15/13
COHU INC DE 2.01,9.01 12/31/12 AMEND
CombiMatrix Corp DE 3.02 03/13/13
Comstock Mining Inc. NV 8.01,9.01 03/13/13
CONCUR TECHNOLOGIES INC DE 5.07 03/13/13
CONSUMERS BANCORP INC /OH/ OH 8.01,9.01 03/15/13
CORTLAND BANCORP INC OH 2.02,9.01 03/15/13
CRA INTERNATIONAL, INC. MA 1.01,9.01 03/11/13
CREATIVE LEARNING Corp DE 5.02 03/14/13
CREATIVE LEARNING Corp DE 4.01 02/28/13
CVR PARTNERS, LP DE 5.02 03/11/13
CYMER INC NV 5.02,9.01 03/12/13
CYTOMEDIX INC DE 1.01,5.02,9.01 03/12/13
DAKOTA PLAINS HOLDINGS, INC. NV 7.01,9.01 03/15/13
DATARAM CORP NJ 5.03,5.07,8.01 03/13/13 AMEND
Delek US Holdings, Inc. 7.01,9.01 03/15/13
DESTINATION XL GROUP, INC. DE 2.02,9.01 03/15/13
Discover Financial Services DE 8.01,9.01 03/14/13
DISCOVERY LABORATORIES INC /DE/ DE 9.01 02/13/13 AMEND
DOCUMENT SECURITY SYSTEMS INC NY 1.01,8.01,9.01 03/15/13
DogInn Inc. NV 4.01,9.01 02/28/13
Dorman Products, Inc. PA 8.01 03/15/13
DUKE REALTY CORP IN 1.01,9.01 03/12/13
DYNACQ HEALTHCARE INC NV 9.01 03/07/13 AMEND
DYNEGY INC. DE 1.01,9.01 03/14/13
Edgen Group Inc. DE 2.02,9.01 03/14/13 AMEND
Employers Holdings, Inc. NV 5.02 03/11/13
ENBRIDGE ENERGY PARTNERS LP DE 8.01,9.01 03/14/13
ENDURANCE SPECIALTY HOLDINGS LTD 1.01,9.01 03/15/13
EQUAL ENERGY LTD. A0 8.01,9.01 03/14/13
EQUAL ENERGY LTD. A0 7.01 12/31/12
ESP Resources, Inc. NV 5.07 03/08/13
EWaste Systems, Inc. NV 8.01,9.01 03/10/13
EXTERRAN PARTNERS, L.P. DE 9.01 03/07/13 AMEND
Fabrinet E9 1.01,8.01,9.01 03/14/13
FBR & Co. VA 5.02,9.01 03/11/13
FIFTH THIRD BANCORP OH 7.01,9.01 03/14/13 AMEND
FIRST BANCORP /NC/ NC 8.01,9.01 03/15/13
FIRST DEFIANCE FINANCIAL CORP OH 5.02 03/11/13
FIRST NATIONAL CORP /VA/ VA 5.02 03/13/13
FLOTEK INDUSTRIES INC/CN/ DE 5.02,9.01 03/11/13
FOREVER VALUABLE COLLECTIBLES, INC. CO 4.01,9.01 03/08/13 AMEND
FUQI INTERNATIONAL, INC. DE 8.01 03/15/13
Fuse Science, Inc. NV 3.02,9.01 03/14/13
G III APPAREL GROUP LTD /DE/ DE 1.01,5.02,5.03,8.01, 03/13/13
9.01
GALLAGHER ARTHUR J & CO DE 5.02 03/15/13
GENSPERA INC DE 8.01,9.01 03/14/13
GEORGIA POWER CO GA 8.01,9.01 03/12/13
GLIMCHER REALTY TRUST MD 5.02 03/14/13
GLOBAL LINES INC NV 5.03,9.01 03/07/13
GLOBALWISE INVESTMENTS INC NV 1.01,2.03,9.01 03/11/13
GNC HOLDINGS, INC. DE 5.02 03/12/13
GOLDMAN SACHS GROUP INC DE 8.01 03/14/13
Greektown Superholdings, Inc. DE 8.01,9.01 03/12/13
HANGER, INC. DE 5.02 03/15/13
HARMONIC INC DE 5.02 03/13/13
HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 03/15/13
HEALTH NET INC DE 7.01 03/15/13
HEALTHCARE REALTY TRUST INC MD 8.01 03/15/13
HESKA CORP DE 5.02 03/15/13
HIBBETT SPORTS INC 2.02,5.02,7.01,9.01 03/14/13
Hilltop Holdings Inc. MD 2.02,9.01 03/15/13
HORNBECK OFFSHORE SERVICES INC /LA DE 1.01,8.01,9.01 03/14/13
HOVNANIAN ENTERPRISES INC DE 3.03,5.03,5.07,9.01 03/12/13
HPIL HOLDING NV 3.02 03/15/13
HUNTINGTON BANCSHARES INC/MD MD 8.01,9.01 03/14/13
HURCO COMPANIES INC IN 5.02,5.07,9.01 03/14/13
ICAHN ENTERPRISES L.P. DE 2.02,9.01 03/15/13
INLAND REAL ESTATE CORP MD 8.01,9.01 03/15/13
INNOVATIVE FOOD HOLDINGS INC FL 1.01,2.01,2.03,9.01 03/08/13
InspireMD, Inc. DE 8.01,9.01 03/15/13
INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 8.01,9.01 03/11/13
INTELSAT S.A. N4 5.02,9.01 03/11/13
Intermec, Inc. DE 8.01 03/13/13
INTERPUBLIC GROUP OF COMPANIES, INC. DE 3.02,8.01,9.01 03/15/13
Invesco Mortgage Capital Inc. MD 1.01,2.03,3.02,9.01 03/12/13
IPG PHOTONICS CORP DE 5.02,8.01 03/15/13
IROBOT CORP DE 1.01,9.01 03/12/13
JPMORGAN CHASE & CO DE 8.01,9.01 03/14/13
KALEX CORP DE 5.02 03/11/13
KAMAN CORP CT 7.01,9.01 03/15/13
KAPSTONE PAPER & PACKAGING CORP DE 7.01,9.01 03/15/13
KCAP Financial, Inc. DE 2.02,8.01,9.01 03/15/13
KEYCORP /NEW/ OH 8.01,9.01 03/14/13
KID BRANDS, INC NJ 5.02,8.01,9.01 03/14/13
KINDER MORGAN, INC. DE 5.07 03/15/13 AMEND
KVH INDUSTRIES INC \DE\ DE 8.01 03/15/13
LAKELAND INDUSTRIES INC DE 1.02,9.01 03/14/13
LANTRONIX INC DE 7.01,9.01 03/15/13
Lehigh Gas Partners LP DE 5.02,7.01,9.01 03/12/13
LEVI STRAUSS & CO DE 1.01,2.03,8.01,9.01 03/14/13
LEXINGTON REALTY TRUST MD 8.01,9.01 03/11/13
LIFETIME BRANDS, INC DE 5.02,9.01 03/12/13
LIHUA INTERNATIONAL INC. DE 2.02,9.01 03/15/13
Lithium Corp 1.01,3.02,7.01,9.01 03/12/13
Lithium Exploration Group, Inc. NV 8.01,9.01 02/27/13
LNB BANCORP INC OH 1.01,3.02,7.01,9.01 03/11/13
LOCAL Corp DE 1.01,9.01 11/01/12 AMEND
LogMeIn, Inc. DE 5.03,9.01 03/12/13
Lone Pine Resources Inc. DE 5.02 03/13/13
LORILLARD, INC. DE 7.01 03/13/13
M LINE HOLDINGS INC NV 5.03,9.01 03/12/13
Manitex International, Inc. MI 7.01,9.01 03/15/13
Matador Resources Co TX 2.02,7.01,9.01 03/15/13
MDC PARTNERS INC A6 7.01,8.01,9.01 03/15/13
MEDICINES CO /DE DE 9.01 01/04/13 AMEND
Medytox Solutions, Inc. NV 1.01,2.03,8.01 01/25/13
Meiguo Ventures I, Inc. 1.01,2.01,3.02,3.03, 03/07/13
5.01,5.02,5.03,5.06,
9.01
MENDOCINO BREWING CO INC CA 1.01 03/11/13
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 03/14/13
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 03/14/13
MGIC INVESTMENT CORP WI 1.01,8.01,9.01 03/12/13
MIAMI DAYS CORP. NV 5.02 03/15/13
MICROSTRATEGY INC DE 2.01 03/15/13
MICROVISION INC DE 5.02 03/11/13
MID AMERICA APARTMENT COMMUNITIES INC TN 5.02,9.01 03/12/13
MIDSOUTH BANCORP INC LA 2.01,9.01 12/28/12 AMEND
NETSCOUT SYSTEMS INC DE 5.02 03/12/13
Neuralstem, Inc. DE 2.02,9.01 03/15/13
NEW ULM TELECOM INC MN 2.01,9.01 12/31/12 AMEND
NEXCORE HEALTHCARE CAPITAL CORP DE 1.01,5.02 03/15/13
NEXSTAR BROADCASTING GROUP INC DE 8.01,9.01 03/15/13
NightCulture, Inc. NV 4.01,9.01 03/05/13 AMEND
NORWOOD FINANCIAL CORP PA 8.01,9.01 03/15/13
NTS REALTY HOLDINGS LP DE 8.01,9.01 03/15/13
Oconee Federal Financial Corp. 8.01,9.01 03/15/13
OCWEN FINANCIAL CORP FL 2.01,9.01 12/27/12 AMEND
OGE ENERGY CORP. OK 1.01,7.01,8.01,9.01 03/14/13
OphthaliX, Inc. DE 8.01,9.01 03/15/13
OptimizeRx Corp NV 2.02,9.01 03/14/13
OVERSEAS SHIPHOLDING GROUP INC DE 7.01,9.01 03/15/13
PACIFIC SOFTWARE, INC. NV 5.02,9.01 03/15/13
PARK CITY GROUP INC 1.01,3.02,7.01,8.01, 03/14/13
9.01
PAWS Pet Company, Inc. IL 1.01,2.01,3.02,9.01 03/09/13
Pebblebrook Hotel Trust MD 3.03,5.03,7.01,8.01, 03/11/13
9.01
PHL VARIABLE INSURANCE CO /CT/ 4.02 03/15/13 AMEND
PHOENIX COMPANIES INC/DE DE 2.02,9.01 03/15/13
PHOENIX COMPANIES INC/DE DE 4.02 03/15/13 AMEND
Pinnacle Foods Finance LLC DE 7.01 03/15/13
PLY GEM HOLDINGS INC DE 2.02,9.01 03/15/13
PNC FINANCIAL SERVICES GROUP, INC. PA 5.02 03/15/13
POLYCOM INC DE 5.02,9.01 03/11/13
POLYMEDIX, INC DE 3.03,5.07,9.01 03/15/13
POZEN INC /NC 5.02 03/13/13
PPL Corp 2.03,8.01,9.01 03/12/13
Probe Manufacturing Inc NV 1.01,9.01 03/13/13
PROGENICS PHARMACEUTICALS INC DE 2.02,9.01 03/15/13
PROSPECT CAPITAL CORP MD 1.01,2.03,9.01 03/15/13
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 03/15/13
PULTEGROUP INC/MI/ MI 1.01,3.03,9.01 03/14/13
PVH CORP. /DE/ DE 2.05 03/11/13
QUICKSILVER RESOURCES INC DE 2.02,4.02 03/15/13
Raptor Pharmaceutical Corp DE 2.02,9.01 03/14/13
RAYONIER INC NC 5.02 03/15/13
RED TRAIL ENERGY, LLC ND 5.02 03/11/13
Resolute Forest Products Inc. DE 2.05,2.06,9.01 03/12/13
RESOURCE AMERICA, INC. DE 5.07 03/12/13
Resource Capital Corp. MD 5.02 03/12/13
RESPECT YOUR UNIVERSE, INC. NV 5.02 03/11/13
Revel AC, Inc. DE 1.01,9.01 03/13/13
ROADSHIPS HOLDINGS, INC. DE 3.02,5.02,9.01 03/12/13
ROFIN SINAR TECHNOLOGIES INC DE 5.07 03/14/13
Rosetta Resources Inc. DE 7.01 03/15/13
ROTECH HEALTHCARE INC DE 1.01,8.01,9.01 03/15/13
ROYAL GOLD INC DE 8.01,9.01 03/14/13
Sabra Health Care REIT, Inc. MD 8.01,9.01 03/14/13
SAKS INC TN 8.01,9.01 03/15/13
SANDRIDGE ENERGY INC DE 5.02,9.01 03/15/13
SANDRIDGE ENERGY INC DE 8.01,9.01 03/15/13
SANMINA CORP DE 5.02,5.07,8.01,9.01 03/11/13
Seagate Technology plc L2 7.01 03/15/13
SELECT MEDICAL HOLDINGS CORP 7.01,9.01 03/15/13
SENOMYX INC DE 2.02,9.01 03/15/13
SENOMYX INC DE 5.02,9.01 03/12/13
ServisFirst Bancshares, Inc. DE 3.02 03/15/13
SHILOH INDUSTRIES INC DE 5.07 03/13/13
Shire plc 8.01,9.01 03/15/13
Signature Exploration & Production Co DE 4.01 03/08/13
Silver Falcon Mining, Inc. DE 8.01 03/15/13
SINCLAIR BROADCAST GROUP INC MD 8.01,9.01 03/15/13
Skkynet Cloud Systems, Inc. NV 4.01,9.01 03/01/13 AMEND
SM Energy Co DE 7.01,9.01 03/14/13
SMTC CORP DE 2.02,4.02,9.01 03/13/13
Solar Power, Inc. CA 1.01,9.01 03/12/13
SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 7.01,9.01 03/15/13
SPAR GROUP INC DE 4.01,9.01 03/13/13
SPECTRAL CAPITAL Corp 1.01,2.01,3.02,9.01 03/10/13
STANDARD PARKING CORP DE 2.02,7.01,9.01 03/08/13 AMEND
STATE BANK FINANCIAL CORP GA 5.02,8.01,9.01 01/01/13
STATE BANK FINANCIAL CORP GA 5.02,8.01,9.01 10/30/12 AMEND
STONE ENERGY CORP DE 7.01,9.01 03/15/13
STONEMOR PARTNERS LP DE 2.02,9.01 03/15/13
STRATEGIC INTERNET INVESTMENTS INC DE 1.01,3.02,9.01 03/15/13
Stream Global Services, Inc. DE 5.02 03/12/13
STURM RUGER & CO INC DE 8.01,9.01 03/15/13
Sucampo Pharmaceuticals, Inc. 2.02,7.01,9.01 03/13/13
SUTRON CORP VA 8.01,9.01 03/06/13
SYNERGY PHARMACEUTICALS, INC. DE 8.01,9.01 03/15/13
Targa Resources Partners LP DE 9.01 12/31/12 AMEND
TAUBMAN CENTERS INC MI 3.03,5.03,8.01,9.01 03/15/13
TEAM HEALTH HOLDINGS INC. DE 5.02 03/14/13
TEL INSTRUMENT ELECTRONICS CORP NJ 7.01 03/14/13
TELIK INC DE 2.02,9.01 03/15/13
TESSERA TECHNOLOGIES INC DE 8.01,9.01 03/15/13
TherapeuticsMD, Inc. NV 1.01,9.01 03/14/13
THRESHOLD PHARMACEUTICALS INC DE 5.02 03/13/13
TIAA REAL ESTATE ACCOUNT NY 2.02,7.01,9.01 03/15/13
TIDEWATER INC DE 8.01,9.01 03/13/13
TMX Finance LLC DE 8.01,9.01 03/15/13
Tower Group International, Ltd. D0 5.02,9.01 03/13/13
Tower International, Inc. DE 8.01,9.01 03/15/13
TOYS R US INC DE 5.02 03/11/13
Trio Resources, Inc. NV 1.01,2.01,3.02,4.01, 12/14/12 AMEND
5.01,5.02,5.03,5.06,
9.01
TUESDAY MORNING CORP/DE DE 5.02 03/12/13 AMEND
ULURU INC. NV 1.01,3.02,7.01,9.01 03/15/13
UNION PACIFIC CORP UT 8.01,9.01 03/12/13
United Community Bancorp 8.01,9.01 03/14/13
UNITED COMMUNITY BANKS INC GA 8.01 03/15/13
UNITED COMMUNITY FINANCIAL CORP OH 2.02,9.01 03/15/13
UNIVERSAL HOSPITAL SERVICES INC MN 2.02,7.01,9.01 03/15/13
URANERZ ENERGY CORP. NV 4.02,7.01,9.01 03/13/13 AMEND
URANIUM RESOURCES INC /DE/ DE 2.02,9.01 03/15/13
USA Compression Partners, LP 5.02 03/15/13
UWHARRIE CAPITAL CORP NC 8.01,9.01 03/15/13
VALHI INC /DE/ DE 2.02,7.01,9.01 03/15/13
VERIFONE SYSTEMS, INC. DE 5.02,7.01,9.01 03/11/13
VICAL INC DE 5.02,9.01 03/15/13
Viggle Inc. DE 1.01,2.03,3.02,9.01 03/11/13
VISTA GOLD CORP B0 2.02,7.01,9.01 03/13/13
VOLT INFORMATION SCIENCES, INC. NY 1.01,7.01,9.01 03/14/13
WALTER INVESTMENT MANAGEMENT CORP MD 1.01,2.03,9.01 03/11/13
WARWICK VALLEY TELEPHONE CO NY 1.01,1.02,2.03 03/11/13
WEST MARINE INC DE 7.01,9.01 03/14/13
Western Gas Equity Partners, LP DE 5.02 03/12/13
Western Gas Partners LP DE 5.02 03/12/13
WFRBS COMMERCIAL MORTGAGE TRUST 2013- NC 8.01,9.01 03/15/13
WHIRLPOOL CORP /DE/ DE 5.02,9.01 03/14/13
WHITE MOUNTAIN TITANIUM CORP NV 3.02 03/11/13
WHITEWAVE FOODS Co DE 5.02 03/11/13
WILLIS LEASE FINANCE CORP DE 2.02,7.01,9.01 03/11/13
WIRELESS TELECOM GROUP INC NJ 8.01 03/15/13
WORLDS INC NJ 1.01,2.03,3.02,9.01 03/13/13
WORLDS ONLINE INC. DE 1.01,2.03,3.02,9.01 03/13/13
XUNNA INFORMATION TECHNOLOGY INC. NV 4.01,5.03,9.01 03/15/13
ZBB ENERGY CORP WI 1.01,8.01,9.01 03/13/13
ZHONGPIN INC. DE 2.02,9.01 03/14/13
ZIMMER HOLDINGS INC DE 5.02 03/11/13
ZIONS BANCORPORATION /UT/ UT 8.01,9.01 03/15/13
ZIPCAR INC 2.01,3.01,3.03,5.01, 03/14/13
5.02,5.03,8.01,9.01
ZOGENIX, INC. DE 2.02,9.01 03/15/13
http://www.sec.gov/news/digest/2013/dig031813.htm
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