 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
Enforcement ProceedingsCommission Revokes Registration of Securities of Impulse Communications, Inc. for Failure to Make Required Periodic FilingsOn March 25, 2013, the Commission revoked the registration of each class of registered securities of Impulse Communications, Inc. (Impulse Communications) 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, Impulse Communications 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 Impulse Communications, 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 Impulse Communications’ securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against IAS Energy in In the Matter of IGIA, Inc., et al., Administrative Proceeding File No. 3-15229. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
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 IGIA, Inc., et al., Administrative Proceeding File No. 3-15229, Exchange Act Release No. 69046, March 5, 2013. (Rel. 34-69223; File No. 3-15229) In the Matter of Susan Skaer, Esq.The United States Securities and Exchange Commission (Commission) today issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions against Susan Skaer, Esq. (Order), who was the General Counsel and Secretary of Mercury Interactive Corporation. The Order finds that on March 19, 2013, a final judgment was entered against Skaer in the civil action entitled United States Securities and Exchange Commission v. Mercury Interactive, et. al, Civil Action Number C 07-2822 (WHA/JSC), in the United States District Court for the Northern District of California. The final judgment permanently enjoined Skaer from future violations of Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933, Sections 13(b)(5) and 14(a) of the Exchange Act, and Exchange Act Rules 13b2-1, 13b2-2, and 14a-9, and from aiding and abetting violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act and Exchange Act Rules 12b-20, 13a-1, and 13a-13. The final judgment also ordered her to pay disgorgement of $423,136, prejudgment interest in the amount of $204,901, and a $225,000 civil penalty. According to the Order, the Commission’s Complaint alleged, among other things, that beginning in 1999, Skaer prepared or directed the preparation of documentation of in-the-money stock option grants to Mercury employees and executives, the grant dates for which were chosen with the benefit of hindsight. According to the Complaint, the granting of such in the money stock options caused Mercury, between 1999 and 2005, (i) to file materially false and misleading financial statements that materially understated its compensation expenses and materially overstated its quarterly and annual net income and earnings per share, and (ii) to make disclosures in its periodic filings and proxy statements that falsely portrayed Mercury’s options as having been granted at exercise prices equal to the fair market value of Mercury’s common stock on the date of the grant. Based on the above, the Order suspends Skaer from appearing or practice before the Commission as an attorney. Skaer consented to the issuance of the Order without admitting or denying any of the findings in the Order except as to the Commission’s jurisdiction over her and the subject matter of the proceeding, and the fact that the federal court entered the injunction against her. (Rel. 34-69224; File No. 3-15257) JOINT INDUSTRY PLAN RELEASESNotice of Filing and Immediate Effectiveness of Amendment No. 27 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges BasisPursuant to Section 11A under the Securities Exchange Act of 1934 and Rule 608 thereunder, the operating committee of the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation, and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis (“Nasdaq/UTP Plan”) filed a proposal to amend the Nasdaq/UTP Plan (S7-24-89) to revise the metric by which the Participants calculate the annual increase in the Enterprise Maximum. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69215) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangesICE Clear Europe Limited (“ICEEU”) filed a proposed change (SR-ICEEU-2013-05) under Section 19(b)(1) of the Securities Exchange Act of 1934 to implement Central Counterparty Resolution and Recovery Procedures. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69209) Miami International Securities Exchange LLC filed a proposed rule change under Rule 19b-4 (SR-MIAX-2013-12) relating to Obvious Errors in Limit or Straddle States. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69210) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by The NASDAQ Stock Market LLC to assess a fee for use of the FIX and OUCH trading ports for testing (SR-NASDAQ-2013-050) 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 25, 2013. (Rel. 34-69211) A proposed rule change filed by National Stock Exchange, Inc. to provide the ability to prevent Zero Display Reserve Orders from executing in a locked market (SR-NSX-2013-10) 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 25, 2013. (Rel. 34-69212) A proposed rule change filed by National Stock Exchange, Inc. to amend its Fee and Rebate Schedule (SR-NSX-2013-11) 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 25, 2013. (Rel. 34-69213) A proposed rule change filed by the NASDAQ Stock Market (SR-NASDAQ-2013-045) to amend Exchange Rule 4120 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 25, 2013. (Rel. 34-69217) A proposed rule change filed by the NASDAQ OMX PHLX LLC (SR-Phlx-2013-26) to amend Exchange Rule 3100 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 25, 2013. (Rel. 34-69218) National Securities Clearing Corporation (NSCC) filed a proposed rule change (SR-NSCC-2013-01) under Section 19(b)(1) of the Securities Exchange Act of 1934, which proposed rule change became effective upon filing, to net and bilaterally offset aggregated receive and deliver settlement obligations for Special Trades, and to use current market price as the Uniform Settlement Price for Net Balance Orders. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69221) 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-11 Global Real Estate Holdings, Inc., 125 WOLF ROAD, SUITE 123, ALBANY, NY, 12205, 800-373-5910 - 2,000,000 ($200,000.00) Equity, (File 333-187436 - Mar. 22) (BR. 08) S-1 Resort Savers, Inc., 1004 COMMERCIAL AVE #509, ANACORTES, WA, 98221-4117, 360-873-8866 - 2,500,000 ($75,000.00) Equity, (File 333-187437 - Mar. 22) (BR. 05) S-8 Accelerate Diagnostics, Inc, 303 E 17TH AVE, SUITE 108, DENVER, CO, 80203, 303-863-8088 - 1,677,500 ($10,434,050.00) Equity, (File 333-187439 - Mar. 22) (BR. 10A) S-3ASR CVS CAREMARK CORP, ONE CVS DR., WOONSOCKET, RI, 02895, 4017651500 - 0 ($0.00) Debt, (File 333-187440 - Mar. 22) (BR. 01A) S-8 AIRMEDIA GROUP INC., 17/F, SKY PLAZA, NO.46 DONGZHIMENWAI ST., DONGCHENG DISTRICT, BEIJING, F4, 100027, (86-10) 8438-6868 - 6,000,000 ($11,310,000.00) Equity, (File 333-187442 - Mar. 22) (BR. 11C) S-3 UNITED COMMUNITY FINANCIAL CORP, 275 WEST FEDERAL STREET, YOUNGSTOWN, OH, 44503-1203, 3307420500 - 0 ($5,000,000.00) Equity, (File 333-187443 - Mar. 22) (BR. 07C) S-4 NRG ENERGY, INC., 211 CARNEGIE CENTER, -, PRINCETON, NJ, 08540, 609-524-4500 - 0 ($990,000,000.00) Debt, (File 333-187445 - Mar. 22) (BR. 02A) N-2 HERCULES TECHNOLOGY GROWTH CAPITAL INC, 400 HAMILTON AVE, SUITE 310, PALO ALTO, CA, 94301, 650-289-3060 - 0 ($95,800,000.00) Unallocated (Universal) Shelf, (File 333-187447 - Mar. 22) (BR. 18) S-11 American Residential Properties, Inc., 7033 EAST GREENWAY PARKWAY, SUITE 210, SCOTTSDALE, AZ, 85254, (480) 474-4800 - 0 ($300,000,000.00) Equity, (File 333-187450 - Mar. 22) (BR. 08C) S-3D CITIZENS FINANCIAL SERVICES INC, 15 S MAIN ST, MANSFIELD, PA, 16933, 5706622121 - 300,000 ($14,850,000.00) Equity, (File 333-187451 - Mar. 22) (BR. 07C) S-8 WEST CORP, 11808 MIRACLE HILLS DR, OMAHA, NE, 68154, 4025717700 - 0 ($319,869,820.00) Equity, (File 333-187452 - Mar. 22) (BR. 02C) S-3 PROTECTIVE LIFE INSURANCE CO, 2801 HIGHWAY 280 SOUTH, BIRMINGHAM, AL, 35223, 2058799230 - 0 ($1.00) Other, (File 333-187453 - Mar. 22) (BR. 01B) S-8 VERSAR INC, 6850 VERSAR CENTER, SPRINGFIELD, VA, 22151, 7037503000 - 403,302 ($1,356,000.00) Equity, (File 333-187454 - Mar. 22) (BR. 06C) S-1 WP Prism Inc., GLOBAL EYE HEALTH CENTER, 1400 NORTH GOODMAN STREET, ROCHESTER, NY, 14609, 585-338-6000 - 0 ($100,000,000.00) Equity, (File 333-187455 - Mar. 22) (BR. ) S-3 Clean Energy Fuels Corp., 3020 OLD RANCH PARKWAY, SUITE 400, SEAL BEACH, CA, 90740, (562) 493-2804 - 0 ($68,950,000.00) Equity, (File 333-187456 - Mar. 22) (BR. 02C) S-4 Meritage Homes CORP, 17851 NORTH 85TH STREET, SUITE 300, SCOTTSDALE, AZ, 85255, 480-515-8100 - 0 ($175,000,000.00) Debt, (File 333-187457 - Mar. 22) (BR. 06A) S-4 LINN ENERGY, LLC, 600 TRAVIS, SUITE 5100, HOUSTON, TX, 77002, 281-840-4000 - 0 ($1,800,000,000.00) Non-Convertible Debt, (File 333-187458 - Mar. 22) (BR. 04A) S-8 MARIN SOFTWARE INC, 123 MISSION ST, 25TH FLOOR, SAN FRANCISCO, CA, 94105, 415-399-2580 - 0 ($107,646,621.00) Equity, (File 333-187459 - Mar. 22) (BR. 03C) S-4 FIRST FINANCIAL BANKSHARES INC, 400 PINE STREET, P.O. BOX 701, ABILENE, TX, 79601, 325.627.7167 - 0 ($6,150,000.00) Equity, (File 333-187460 - Mar. 22) (BR. 07B) S-4 ISLE OF CAPRI CASINOS INC, 600 EMERSON ROAD, SUITE 300, SAINT LOUIS, MO, 63141, 3148139200 - 0 ($350,000,000.00) Debt, (File 333-187461 - Mar. 22) (BR. 08B) S-4 EPL OIL & GAS, INC., 201 ST CHARLES AVENUE, SUITE 3400, NEW ORLEANS, LA, 70170, 5045691875 - 0 ($300,000,000.00) Debt, (File 333-187462 - Mar. 22) (BR. 04A) S-1 Teucrium Commodity Trust, 232 HIDDEN LAKE ROAD, BRATTLEBORO, VT, 05301, 802-257-1617 - 0 ($1.00) Equity, (File 333-187463 - Mar. 22) (BR. 08C) S-8 SYNOVUS FINANCIAL CORP, 1111 BAY AVENUE, STE 500 PO BOX 120, COLUMBUS, GA, 31901, 7066494818 - 10,000,000 ($28,200,000.00) Equity, (File 333-187464 - Mar. 22) (BR. 07B) S-8 SYNOVUS FINANCIAL CORP, 1111 BAY AVENUE, STE 500 PO BOX 120, COLUMBUS, GA, 31901, 7066494818 - 2,500,000 ($7,050,000.00) Equity, (File 333-187465 - Mar. 22) (BR. 07B) S-1 OXYGEN BIOTHERAPEUTICS, INC., ONE COPLEY PARKWAY, SUITE 490, MORRISVILLE, NC, 27560, 919-806-4414 - 0 ($15,000,000.00) Equity, (File 333-187466 - Mar. 22) (BR. 01A) S-8 ZAGG Inc, 3855 S 500 W., SUITE J, SALT LAKE CITY, UT, 84115, 801-263-0699 - 5,000,000 ($38,900,000.00) Equity, (File 333-187467 - Mar. 22) (BR. 02C) S-4 BOYD GAMING CORP, 3883 HOWARD HUGHES PARKWAY, NINTH FLOOR, LAS VEGAS, NV, 89169, 7027927200 - 0 ($350,000,000.00) Debt, (File 333-187468 - Mar. 22) (BR. 08B) S-8 MARCHEX INC, 520 PIKE STREET, SUITE 2000, SEATTLE, WA, 98101, 206-774-5000 - 1,877,388 ($8,194,798.62) Equity, (File 333-187469 - Mar. 22) (BR. 03B) S-11 Cole Office & Industrial REIT (CCIT II), Inc., 2325 EAST CAMELBACK ROAD, SUITE 1100, PHOENIX, AZ, 85016, (602) 778-8700 - 0 ($2,975,000,000.00) Equity, (File 333-187470 - Mar. 22) (BR. ) S-8 BOINGO WIRELESS INC, 10960 WILSHIRE BLVD., SUITE 800, LOS ANGELES, CA, 90024, 310-586-5180 - 0 ($8,702,151.25) Equity, (File 333-187471 - Mar. 22) (BR. 11A) S-1 CDW Corp, 200 N MILWAUKEE AVE, VERNON HILLS, IL, 60061, 847-465-6000 - 0 ($500,000,000.00) Equity, (File 333-187472 - Mar. 22) (BR. 02B) S-3ASR Laredo Petroleum Holdings, Inc., 15 W. SIXTH STREET, SUITE 1800, TULSA, OK, 74119, 918-513-4570 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187479 - Mar. 22) (BR. 04A) S-3 PGT, Inc., 1070 TECHNOLOGY DRIVE, NOKOMIS, FL, 34275, 941-480-1600 - 35,000,000 ($276,150,000.00) Equity, (File 333-187481 - Mar. 22) (BR. 06A) S-4 LinnCo, LLC, 600 Travis Suite 5100, Houston, TX, 77002, 281-840-4000 - 0 ($2,645,001,066.00) Equity, (File 333-187484 - Mar. 22) (BR. 04A) S-8 DISCOVERY LABORATORIES INC /DE/, 2600 KELLY ROAD, SUITE 100, WARRINGTON, PA, 18976, 2154889300 - 0 ($944,000.00) Equity, (File 333-187486 - Mar. 22) (BR. 01A) 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
-----------------------------------------------------------------------------------------
5Barz International, Inc. 4.01,9.01 03/13/13 AMEND
5Barz International, Inc. 4.01,9.01 03/13/13 AMEND
ACACIA RESEARCH CORP DE 8.01 03/18/13
ACL I Corp DE 1.01,2.03,8.01 03/22/13
ADA-ES INC CO 4.01,9.01 03/19/13
AFFYMETRIX INC DE 7.01 03/22/13
AirTouch Communications, Inc. DE 5.02 03/18/13
AK STEEL HOLDING CORP DE 7.01,9.01 03/22/13
ALASKA PACIFIC BANCSHARES INC AK 2.02,9.01 03/22/13
ALLIANCE DATA SYSTEMS CORP DE 5.03,9.01 03/21/13
Allied Nevada Gold Corp. DE 7.01,9.01 03/21/13
AMCOL INTERNATIONAL CORP DE 3.01,9.01 03/19/13
AMERICAN LEARNING Corp NY 3.01,9.01 03/22/13
American Realty Capital Properties, I MD 8.01,9.01 03/22/13
AMREP CORP. OK 8.01 03/19/13
ANADIGICS INC DE 5.02,9.01 03/22/13
APEX 2 INC. DE 4.01,9.01 12/17/12
APPIPHANY TECHNOLOGIES HOLDINGS CORP 5.02 03/04/13
APPLIED ENERGETICS, INC. DE 5.02,8.01 03/18/13
ARBOR REALTY TRUST INC MD 7.01,9.01 03/22/13
Ascent Capital Group, Inc. DE 7.01,9.01 03/22/13
BASSETT FURNITURE INDUSTRIES INC VA 5.07 03/06/13 AMEND
BERKSHIRE HILLS BANCORP INC DE 5.02,9.01 03/18/13
Big Three Restaurants, Inc. FL 3.02 05/30/12
BIRCH BRANCH INC CO 1.01,9.01 03/18/13 AMEND
BOLDFACE GROUP, INC. NV 8.01 03/11/13
Boomers, Inc. NV 4.01,9.01 03/22/13
BOSTON PROPERTIES INC DE 1.01,3.03,5.03,8.01, 03/18/13
9.01
BOSTON PROPERTIES LTD PARTNERSHIP DE 1.01,3.02,3.03,5.03, 03/18/13
8.01,9.01
CASPIAN SERVICES INC NV 5.03,9.01 03/11/13
CELL THERAPEUTICS INC WA 5.02,8.01,9.01 03/21/13
CENTRAL EUROPEAN DISTRIBUTION CORP DE 3.01 03/20/13
CENTRAL EUROPEAN DISTRIBUTION CORP DE 8.01,9.01 03/21/13
CH ENERGY GROUP INC NY 5.04,9.01 03/18/13
Chanticleer Holdings, Inc. DE 8.01 03/22/13
CHINA FUND INC MD 7.01,9.01 02/28/13
CIFC Corp. DE 7.01,9.01 03/22/13
CIGNA CORP DE 8.01 03/15/13
Citizens Community Bancorp Inc. MD 7.01,9.01 03/22/13
CLAIMSNET COM INC DE 1.01,3.02,7.01,9.01 03/18/13
Claridge Ventures, Inc. NV 5.02,9.01 03/14/13
CLEAN DIESEL TECHNOLOGIES INC DE 5.02 03/20/13
CMS ENERGY CORP MI 8.01,9.01 03/22/13
COLDWATER CREEK INC DE 5.02 03/19/13
COMFORT SYSTEMS USA INC 5.02,9.01 03/20/13
Computer Vision Systems Laboratories FL 1.01,5.02,9.01 03/18/13
COMSCORE, INC. DE 2.01,9.01 03/18/13
COOPER COMPANIES INC DE 5.07,9.01 03/21/13
Cooper-Standard Holdings Inc. DE 1.01,7.01,9.01 03/18/13
CORE MOLDING TECHNOLOGIES INC DE 8.01,9.01 03/21/13
CorMedix Inc. DE 5.02 03/20/13
CROSS COUNTRY HEALTHCARE INC DE 5.02,8.01,9.01 03/20/13
CTI INDUSTRIES CORP DE 2.02,9.01 03/21/13
CUMULUS MEDIA INC DE 5.02 03/22/13
Cyalume Technologies Holdings, Inc. DE 5.02,5.03,9.01 03/19/13
DARDEN RESTAURANTS INC FL 2.02,9.01 03/22/13
Dialogic Inc. DE 3.01,8.01 03/19/13
DigitalTown, Inc. MN 5.03,9.01 03/12/13
DigitalTown, Inc. MN 5.02 03/22/13
DONEGAL GROUP INC DE 8.01,9.01 03/22/13
DUCOMMUN INC /DE/ DE 5.02,5.03,9.01 03/19/13
DYNEGY INC. DE 1.02,5.02,9.01 03/18/13
E TRADE FINANCIAL Corp DE 5.02 03/21/13
EARTH DRAGON RESOURCES INC. 1.02,9.01 03/06/13
ECB BANCORP INC NC 5.07,8.01,9.01 03/20/13
Echo Therapeutics, Inc. DE 2.02,3.01,9.01 03/18/13
EDUCATION MANAGEMENT CORPORATION 8.01 03/19/13
EMPIRE RESOURCES INC /NEW/ DE 8.01,9.01 03/22/13
ENDURANCE SPECIALTY HOLDINGS LTD 8.01 03/22/13
ENTERPRISE BANCORP INC /MA/ MA 5.02,9.01 03/22/13
ERA GROUP INC. DE 5.02 03/18/13
Federal Home Loan Bank of Atlanta X1 8.01,9.01 03/21/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 03/22/13
Fiesta Restaurant Group, Inc. DE 7.01,9.01 03/21/13
First Federal of Northern Michigan Ba 2.02,9.01 03/22/13
FIRST SECURITY GROUP INC/TN TN 3.01,5.02,5.03,9.01 03/22/13
FLORIDA GAMING CORP DE 4.01,9.01 03/18/13
FORRESTER RESEARCH, INC. DE 5.02,9.01 03/19/13
FRANKLIN COVEY CO UT 8.01 03/21/13
FULTON FINANCIAL CORP PA 5.02 03/22/13
GAIN Capital Holdings, Inc. DE 5.02 03/18/13
GE Equipment Transportation LLC, Seri DE 1.01,9.01 03/20/13
GENVEC INC DE 2.02,9.01 03/22/13
GENWORTH FINANCIAL INC DE 5.02 03/22/13
GIA INVESTMENTS CORP. NV 1.02 01/09/13 AMEND
GOLDEN STAR RESOURCES LTD 7.01,9.01 03/21/13
GRAHAM CORP DE 5.02 03/21/13
Graystone Co DE 3.02 03/20/13
GREENTECH MINING INTERNATIONAL, INC. DE 1.01,9.01 03/21/13
GREENTECH MINING INTERNATIONAL, INC. DE 1.01,5.06,9.01 09/19/12 AMEND
GULF ISLAND FABRICATION INC LA 5.02,9.01 03/21/13
HALLIBURTON CO DE 5.02,9.01 03/20/13
HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 03/22/13
HARTFORD FINANCIAL SERVICES GROUP INC DE 8.01,9.01 03/21/13
HAWAIIAN HOLDINGS INC DE 1.01 03/18/13
HEINZ H J CO PA 1.01,8.01,9.01 03/21/13
HEINZ H J CO PA 7.01 03/22/13
IMMUCOR INC GA 8.01,9.01 03/22/13
INCYTE CORP DE 5.02 03/21/13
INFOSONICS CORP 2.02,9.01 03/22/13
INTELLIGENT SYSTEMS CORP GA 2.02,9.01 03/22/13
INTERCEPT PHARMACEUTICALS INC DE 1.01,8.01,9.01 03/18/13
ISTAR FINANCIAL INC 8.01 03/22/13
JDS UNIPHASE CORP /CA/ DE 5.02,9.01 03/20/13
Kentucky First Federal Bancorp 9.01 12/31/12 AMEND
KOPIN CORP DE 8.01 03/22/13
Kraft Foods Group, Inc. 2.02,9.01 03/22/13
LAMAR ADVERTISING CO/NEW DE 5.02 03/20/13
LEUCADIA NATIONAL CORP NY 8.01 03/22/13
Liberty Interactive Corp 7.01,9.01 03/18/13
LIBERTY PROPERTY TRUST MD 5.02 03/18/13
Lifevantage Corp CO 8.01,9.01 03/22/13
LIMITED BRANDS INC DE 5.03,9.01 03/22/13
LODGENET INTERACTIVE CORP DE 1.01,9.01 03/20/13
LRI HOLDINGS, INC. 5.02 03/22/13
LRR Energy, L.P. DE 1.01,9.01 03/19/13
LyondellBasell Industries N.V. P7 5.02 03/19/13
MAGNUM HUNTER RESOURCES CORP DE 1.01,2.03,2.06,9.01 03/18/13
ManpowerGroup Inc. WI 5.02 03/21/13
MCCLATCHY CO DE 5.02,8.01,9.01 03/19/13
MERCURY GENERAL CORP CA 5.02 03/19/13
MET PRO CORP PA 2.02,9.01 03/21/13
METROPCS COMMUNICATIONS INC DE 1.01,2.03,8.01,9.01 03/19/13
MICHAEL FOODS GROUP, INC. DE 2.02,9.01 03/22/13
MID AMERICA APARTMENT COMMUNITIES INC TN 8.01,9.01 03/21/13
MID AMERICA APARTMENT COMMUNITIES INC TN 2.01,9.01 03/22/13
Midstates Petroleum Company, Inc. DE 1.01,5.02,9.01 03/19/13
Midway Gold Corp A1 7.01,9.01 03/22/13
MILAGRO OIL & GAS, INC. DE 8.01 03/22/13
MINES MANAGEMENT INC ID 5.02 03/18/13
Mister Goody, Inc. FL 1.01,9.01 03/22/13
MONARCH CASINO & RESORT INC NV 5.02 03/19/13
MONITRONICS INTERNATIONAL INC TX 7.01,9.01 03/22/13
MPG Office Trust, Inc. MD 5.02,9.01 03/22/13
MS STRUCTURED SATURNS SERIES 2005-3 DE 8.01,9.01 03/01/13
NACCO INDUSTRIES INC DE 2.02,7.01,9.01 03/22/13
NATIONAL SECURITY GROUP INC DE 7.01,9.01 03/21/13
NAVIGATORS GROUP INC DE 5.02,9.01 03/21/13
New Enterprise Stone & Lime Co., Inc. DE 5.02,9.01 03/22/13
NEWMARKET CORP VA 7.01,9.01 03/22/13
NEWS CORP 8.01,9.01 03/22/13
Nile Therapeutics, Inc. DE 1.01,3.02,5.02,9.01 03/15/13
NORD RESOURCES CORP DE 1.01,9.01 03/20/13
NORDSTROM INC WA 5.02 02/27/13 AMEND
NORTHROP GRUMMAN CORP /DE/ 5.02 03/20/13
NOVATEL WIRELESS INC DE 5.02,9.01 03/18/13
NTS, INC. NV 2.02,7.01,9.01 03/22/13
Oculus Innovative Sciences, Inc. CA 5.02,5.03,5.07,8.01, 03/18/13
9.01
OHIO LEGACY CORP OH 7.01,9.01 03/22/13
OLD DOMINION FREIGHT LINE INC/VA VA 7.01,9.01 03/22/13
OMNOVA SOLUTIONS INC OH 5.07 03/21/13
Onstream Media CORP FL 1.01,3.02,9.01 03/18/13
OWENS-ILLINOIS GROUP INC DE 1.01,2.03,9.01 03/22/13
PACER INTERNATIONAL INC TN 5.02 03/18/13
PATRICK INDUSTRIES INC IN 5.02,9.01 03/19/13
PEAPACK GLADSTONE FINANCIAL CORP NJ 5.02,9.01 03/21/13
PERMA FIX ENVIRONMENTAL SERVICES INC DE 2.02,9.01 03/22/13
PETROSONIC ENERGY, INC. NV 5.02,8.01 03/18/13
Phillips Edison - ARC Shopping Center MD 1.01,2.03,8.01,9.01 03/20/13
PNC FINANCIAL SERVICES GROUP, INC. PA 8.01 03/22/13
POSITIVEID Corp DE 1.01 03/18/13
PostRock Energy Corp DE 8.01,9.01 03/22/13
POTASH AMERICA, INC. NV 5.01,5.02,9.01 03/22/13
PROGRESSIVE CORP/OH/ OH 5.02,9.01 03/20/13
PROVIDENT FINANCIAL HOLDINGS INC DE 8.01,9.01 03/21/13
PRUDENTIAL FINANCIAL INC NJ 8.01,9.01 03/22/13
PSB HOLDINGS INC /WI/ WI 8.01,9.01 03/19/13
pSivida Corp. DE 8.01,9.01 03/22/13
QLOGIC CORP DE 1.01,2.03 03/20/13
QUICKSILVER RESOURCES INC DE 2.02,3.01,9.01 03/22/13
QVC INC DE 7.01,9.01 03/18/13
Raider Ventures Inc. NV 8.01 03/19/13
REAL ESTATE ASSOCIATES LTD III CA 8.01 03/20/13
Revel AC, Inc. DE 1.01,9.01 03/19/13
Revolution Lighting Technologies, Inc DE 9.01 12/20/12 AMEND
RIMAGE CORP MN 1.01,5.02,9.01 03/18/13
Rockwood Holdings, Inc. DE 1.02,7.01,9.01 03/22/13
Rotoblock Corp NV 5.02 03/21/13
Samson Oil & Gas LTD C3 1.01,8.01,9.01 03/20/13
SANDY SPRING BANCORP INC MD 4.01,9.01 11/26/12 AMEND
SCHULMAN A INC DE 7.01,9.01 03/22/13
SCICLONE PHARMACEUTICALS INC DE 5.02,9.01 03/22/13
SEMPRA ENERGY CA 8.01,9.01 03/22/13
Shire plc 8.01,9.01 03/22/13
SILICON IMAGE INC DE 5.02 03/22/13
SIMON WORLDWIDE INC DE 1.01,9.01 03/18/13
SMART ONLINE INC DE 5.02 03/18/13
SOLITARIO EXPLORATION & ROYALTY CORP. CO 5.03,9.01 03/21/13
Solo International, Inc NV 4.01,9.01 03/22/13
SPINDLE, INC. NV 2.01,3.02,7.01,9.01 03/20/13
Spirit AeroSystems Holdings, Inc. DE 5.02,9.01 03/18/13
STAMPS.COM INC DE 5.02 03/20/13
STARBUCKS CORP WA 5.02,5.07 03/20/13
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 03/15/13
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 03/15/13
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 03/15/13
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 03/15/13
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 03/15/13
STRUCTURED PROD CORTS TR II FOR PROVI DE 8.01,9.01 03/15/13
STRUCTURED PRODUCTS CORP CORTS FOR PR DE 8.01,9.01 03/15/13
STRUCTURED PRODUCTS CORP CORTS TR III DE 8.01,9.01 03/15/13
SUPERMEDIA INC. DE 3.01 03/21/13
Swisher Hygiene Inc. DE 3.01,9.01 03/20/13
TENNECO INC DE 1.01,2.03,9.01 03/22/13
TESSERA TECHNOLOGIES INC DE 2.05,2.06,7.01,9.01 03/21/13
TEXAS CAPITAL BANCSHARES INC/TX 1.01,8.01,9.01 03/21/13
Tianli Agritech, Inc. D8 2.02,7.01,9.01 03/14/13 AMEND
TIFFANY & CO DE 8.01,9.01 03/22/13
TIFFANY & CO DE 2.02,9.01 03/22/13
Timberline Resources Corp DE 5.02,5.07,7.01,9.01 03/19/13
TITAN PHARMACEUTICALS INC DE 8.01,9.01 03/21/13
Tower Group International, Ltd. D0 8.01,9.01 03/22/13
Tronox Ltd C3 1.01,2.03,9.01 03/19/13
Two Harbors Investment Corp. 1.01,8.01,9.01 03/19/13
UGI CORP /PA/ PA 5.02,9.01 03/19/13
UNIFI INC NY 8.01 03/22/13
URSTADT BIDDLE PROPERTIES INC MD 5.02,5.03,5.07,9.01 03/21/13
US CONCRETE INC DE 8.01,9.01 03/22/13
US CONCRETE INC DE 1.01,2.03,3.03,9.01 03/22/13
USG CORP DE 3.03,9.01 03/22/13
VALLEY FORGE COMPOSITE TECHNOLOGIES, FL 1.01 03/22/13
VHGI HOLDINGS, INC. DE 1.01,3.02,5.01,5.03, 02/14/13 AMEND
9.01
VIPER POWERSPORTS INC NV 5.02 03/20/13
Vitamin Shoppe, Inc. DE 8.01 03/14/13 AMEND
Walter Energy, Inc. DE 7.01,8.01,9.01 03/22/13
Walter Energy, Inc. DE 1.01,8.01,9.01 03/22/13
WEINGARTEN REALTY INVESTORS /TX/ TX 2.03,8.01,9.01 03/22/13
WELLCARE HEALTH PLANS, INC. DE 5.02,9.01 03/18/13
WELLS FARGO & COMPANY/MN DE 5.03,9.01 03/21/13
WELLS FARGO & COMPANY/MN DE 9.01 03/22/13
WESTAR ENERGY INC /KS KS 1.01,8.01,9.01 03/21/13
WESTERN ALLIANCE BANCORPORATION NV 5.02 03/19/13
Western Graphite Inc. 5.02 03/06/13
WIRELESS RONIN TECHNOLOGIES INC MN 1.01,2.03,9.01 03/21/13
Wizard World, Inc. DE 1.01,5.02,8.01,9.01 03/18/13
WOUND MANAGEMENT TECHNOLOGIES, INC. TX 1.01,9.01 02/19/13
XCEL ENERGY INC MN 7.01 03/22/13
YAPPN CORP. 5.02,9.01 03/19/13
http://www.sec.gov/news/digest/2013/dig032513.htm
|