In the Matter of IdleAire Technologies Corp.
An Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default (Default Order) in IdleAire Technologies Corp., Admin. Proc. File No. 3-15230. The Default Order finds that the defaulted Respondents had securities registered with the Securities and Exchange Commission (Commission) pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act), and that Respondents failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Commission. Based on these facts, the Administrative Law Judge found it necessary and appropriate for the protection of investors to revoke the registration of each class of registered securities of IdleAire Technologies Corp., Informedics, Inc., Infynia.com Corp., Injectomatic Systems International, Inc. (n/k/a Galton Biometrics, Inc.), Insilco Holding Co., Integrated Food Resources, Inc., and Integrated Travel Group, Inc. (f/k/a Nemco, Inc.). (Rel. 34-69260; File No. 3-15230)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of IGIA, Inc., Infu-Tech, Inc., Innovative Technology Acquisition Corp. (n/k/a Galea Life Sciences, Inc.), and Intersolv, Inc. (n/k/a Merant Solutions, Inc.) have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-69261; File No. 3-15229)
District Judge Approves SEC Settlement With Sigma Capital
The Securities and Exchange Commission today announced the court approval of settlements reached with the New York-based hedge fund advisory firm Sigma Capital Management in which Sigma Capital and two affiliates agreed to pay nearly $14 million to settle charges that the firm engaged in insider trading based on nonpublic information obtained through one of its analysts about the quarterly earnings of Dell and Nvidia Corporation. The settlements were approved by the Honorable Harold Baer of the United States District Court for the Southern District of New York on March 28, 2013.
The SEC’s case, borne out of its ongoing investigation into expert networks and the trading activities of hedge funds, began last year with charges against several hedge fund managers and analysts including Jon Horvath, a former analyst at Sigma Capital. Horvath agreed to a settlement in March 2013 in which he admitted liability.
In a complaint filed on March 15, 2013 along with the proposed settlements, the SEC charged Sigma Capital in the insider trading scheme and named two affiliated hedge funds – Sigma Capital Associates and S.A.C. Select Fund – as relief defendants that unjustly benefited from Sigma Capital’s violations. S.A.C. Select Fund is affiliated with S.A.C. Capital Advisors.
The SEC’s complaint alleged that Horvath provided Sigma Capital portfolio managers with nonpublic details about quarterly earnings at Dell and Nvidia after he learned them through a group of hedge fund analysts with whom he regularly communicated. Based on the confidential information, Sigma Capital traded Dell and Nvidia securities in advance of earnings announcements in 2008 and 2009 for $6.425 million in gains for its hedge fund affiliates.
Without admitting or denying the charges, Sigma Capital agreed to pay disgorgement of $6.425 million plus prejudgment interest of $1,094,161.92 and a penalty of $6.425 million. Sigma Capital is also permanently enjoined from future violations of the antifraud provisions of the federal securities laws.
According to the SEC’s complaint, the key inside information that Horvath obtained about upcoming earnings announcements by Dell and Nvidia often differed significantly from the predictions of market analysts, who only had access to publicly available information. Based on this inside information, Sigma Capital traded Dell and Nvidia securities in advance of four quarterly earnings announcements and reaped more than $5.2 million for its hedge fund Sigma Capital Associates. Horvath’s inside information also enabled S.A.C. Select Fund to execute trades and avoid losses of more than $1 million. The SEC’s complaint charged Sigma Capital with violating Section 17(a) of the Securities Act, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. [SEC v. Sigma Capital Management, LLC, et al., 13 Civ. 1740 (HB)] (LR-22662)
Investment company act releases
Sage Quant Management LLC, et al.
A notice has been issued giving interested persons until April 22, 2013, to request a hearing on an application filed by Sage Quant Management LLC, et al., for an order to permit: (a) certain open-end management investment companies or series thereof to issue shares (Shares) redeemable in large aggregations only (Creation Unit Aggregations); (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 from 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 Unit Aggregations; 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-30439– March 28)
Cohen & Steers Real Assets Fund, Inc., et al.
An order has been issued on an application filed by Cohen & Steers Real Assets Fund, Inc., et al. exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-30442– March 29)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NASDAQ OMX BX, Inc. relating to routing fees (SR-BX-2013-023) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 1, 2013. (Rel. 34-69230)
A proposed rule change filed by the NASDAQ Stock Market LLC to extend the fee pilot program for NASDAQ Last Sale (SR-NASDAQ-2013-053) 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 April 1, 2013. (Rel. 34-69245)
A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca 2013-25) modifying the NYSE Arca Options Fee Schedule to establish fees for mini-options contracts has become immediately effective. Publication is expected in the Federal Register during the week of April 1, 2013. (Rel. 34-69246)
A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2013-24) to modify the NYSE Amex Options Fee Schedule to establish fees for mini-options contracts has become immediately effective. Publication is expected in the Federal Register during the week of April 1, 2013. (Rel. 34-69247)
A proposed rule change filed by The NASDAQ Stock Market LLC to modify the deadline for submission of claims under NASDAQ Rule 4626(b)(3) (SR-NASDAQ-2013-055) 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 April 1, 2013. Rel. 34-69250)
A proposed rule change filed by NYSE MKT LLC amending its option trading rules to extend the operation of its pilot program regarding minimum value sizes for flexible exchange options until March 31, 2014 (SR-NYSEMKT-2013-28) 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 April 1, 2013. (Rel. 34-69255)
Approval of Proposed Rule Changes
The Commission approved a proposed rule change (SR-ICC-2013-01), as modified by Amendments No. 1 and 2 thereto, filed by ICE Clear Credit LLC under Section 19(b)(1) of the Securities Exchange Act of 1934 to update Chapter 26 and remove Schedule 502 of the ICE Clear Credit Rules. Publication is expected in the Federal Register during the week of April 1, 2013. (Rel. 34-69243)
The Commission approved a proposed rule change (SR-NYSEArca-2013-08) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of the SPDR Blackstone/GSO Senior Loan ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of April 1, 2013. (Rel. 34-69244)
The Commission approved a proposed rule change filed by the Municipal Securities Rulemaking Board (SR-MSRB-2013-01) relating to amendments to MSRB Rules G-37 and G-8 and Form G-37. Publication is expected in the Federal Register during the week of April 1, 2013. Publication is expected in the Federal Register during the week of April 1, 2013. (Rel. 34-69249)
The Commission approved a proposed rule change (SR-NYSEArca-2013-14) submitted by NYSE Arca, Inc. pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to the listing and trading of shares of the Cambria Shareholder Yield ETF pursuant to NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of April 1, 2013. (Rel. 34-69251)
Withdrawal of Proposed Rule Change
Chicago Mercantile Exchange Inc. (CME) withdrew its proposed rule change (SR-CME-2012-34) related to the liquidity factor of CME’s CDS margin methodology. Publication is expected in the Federal Register during the week of April 1, 2013. Publication is expected in the Federal Register during the week of April 1, 2013. (Rel. 34-69254)
Response to Comments on Proposed Rule Change
The Commission issued a response to comments submitted after the issuance on December 14, 2012, of a notice of filing of Amendment No. 1 and order granting accelerated approval of a proposed rule change as modified by Amendment No. 1, filed by NYSE Arca, Inc. (SR-NYSEArca-2012-28) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to list and trade Shares of the JPM XF Physical Copper Trust pursuant to NYSE Arca Equities Rule 8.201. Publication is expected in the Federal Register during the week of April 1, 2013. (Rel. 34-69256)
Securities Act Registrations
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-4 Crestwood Midstream Partners LP, 700 LOUISIANA STREET, SUITE 2060, HOUSTON, TX, 77002, (832) 519-2200 - 0 ($150,000,000.00) Debt, (File 333-187608 - Mar. 29) (BR. 02A) S-1 TRANSTECH SOLUTIONS INC, 848 N. RAINBOW BLVD, UNIT 1175, LAW VEGAS, NV, 89107, 1-866-998-6920 - 20,000,000 ($200,000.00) Equity, (File 333-187609 - Mar. 29) (BR. 03C) S-3ASR Colony Financial, Inc., C/O COLONY FINANCIAL, INC., 2450 BROADWAY, 6TH FLOOR, SANTA MONICA, CA, 90404, 310-282-8820 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187610 - Mar. 29) (BR. 08C) S-8 SEQUANS COMMUNICATIONS, 19 LE PARVIS, BATIMENT CITICENTER, PARIS LA DEFENSE, I0, 92073, 0170721600 - 1,049,000 ($2,054,105.00) Equity, (File 333-187611 - Mar. 29) (BR. 10B) S-8 FNB United Corp., 150 SOUTH FAYETTEVILLE STREET, P O BOX 1328, ASHEBORO, NC, 27203, 3366268300 - 600,000 ($5,886,000.00) Equity, (File 333-187613 - Mar. 29) (BR. 07B) S-3 BMW AUTO LEASING LLC, 300 CHESTNUT RIDGE RD, WOODCLIFF LAKE, NJ, 07675, 2013074000 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-187614 - Mar. 29) (BR. OSF) S-8 DUNKIN' BRANDS GROUP, INC., 130 ROYALL STREET, CANTON, MA, 02021, 7817374516 - 150,000 ($5,503,500.00) Equity, (File 333-187615 - Mar. 29) (BR. 05A) S-8 RIMAGE CORP, 7725 WASHINGTON AVE S, EDINA, MN, 55439, 6129448144 - 150,000 ($1,343,250.00) Equity, (File 333-187616 - Mar. 29) (BR. 03A) S-4 UNIVERSAL HOSPITAL SERVICES INC, 7700 FRANCE AVE S, SUITE 275, EDINA, MN, 55435, 952-893-3200 - 0 ($220,000,000.00) Debt, (File 333-187617 - Mar. 29) (BR. 06C) S-8 INTERSIL CORP/DE, 1001 MURPHY RANCH ROAD, MILPITAS, CA, 95035, 408-432-8888 - 433,000 ($3,793,080.00) Equity, (File 333-187618 - Mar. 29) (BR. 10A) S-8 MANAGEMENT NETWORK GROUP INC, 7300 COLLEGE BLVD., STE 302, OVERLAND PARK, KS, 66210, 9133459315 - 45,000 ($122,400.00) Equity, (File 333-187619 - Mar. 29) (BR. 08B) S-3 INVESTORS REAL ESTATE TRUST, 1400 31ST AVENUE SW, SUITE 60, PO BOX 1988, MINOT, ND, 58702-1988, 701-837-4738 - 670,393 ($6,482,700.31) Equity, (File 333-187620 - Mar. 29) (BR. 08B) S-3 EINSTEIN NOAH RESTAURANT GROUP INC, 555 ZANG STREET, SUITE 300, LAKEWOOD, CO, 80228, 3035688000 - 0 ($157,674,660.00) Equity, (File 333-187621 - Mar. 29) (BR. 05B) S-3 EMC INSURANCE GROUP INC, 717 MULBERRY ST, DES MOINES, IA, 50309, 5153452902 - 0 ($16,582,520.00) Equity, (File 333-187622 - Mar. 29) (BR. 01A) S-3 FORD CREDIT FLOORPLAN MASTER OWNER TRUST A, ONE AMERICAN ROAD, DEARBORN, MI, 48126, 3138454469 - 0 ($1.00) Asset-Backed Securities, (File 333-187623 - Mar. 29) (BR. OSF) S-3 Summit Hotel Properties, Inc., 12600 HILL COUNTRY BOULEVARD, SUITE R-100, AUSTIN, TX, 78738, 512-538-2300 - 0 ($750,000,000.00) Unallocated (Universal) Shelf, (File 333-187624 - Mar. 29) (BR. 08C) S-1 SANUWAVE Health, Inc., 11475 GREAT OAKS WAY, SUITE 150, ALPHARETTA, GA, 30022, 678-581-6843 - 0 ($6,000,000.00) Equity, (File 333-187625 - Mar. 29) (BR. 10B) S-3 ADEPT TECHNOLOGY INC, 5960 INGLEWOOD DRIVE, PLEASANTON, CA, 94588, 9252453400 - 2,107,922 ($6,070,815.36) Equity, (File 333-187626 - Mar. 29) (BR. 10A) S-4 GLACIER BANCORP INC, 49 COMMONS LOOP, ., KALISPELL, MT, 59901, 4067564200 - 0 ($15,787,172.00) Equity, (File 333-187627 - Mar. 29) (BR. 07B) S-3ASR Dresser-Rand Group Inc., PAUL CLARK DRIVE, OLEAN, NY, 14760, (716) 375-3000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187628 - Mar. 29) (BR. 10A) S-1 BROADVIEW NETWORKS HOLDINGS INC, 800 WESTCHESTER AVENUE, RYE BROOK, NY, 10573, 9149227000 - 0 ($103,390,000.00) Debt, (File 333-187629 - Mar. 29) (BR. 11C) S-1 Durata Therapeutics, Inc., 200 SOUTH WACKER DRIVE, SUITE 2550, CHICAGO, IL, 60606, 312-219-7000 - 0 ($57,500,000.00) Equity, (File 333-187630 - Mar. 29) (BR. 01B) S-1 CVR Refining, LP, 2277 PLAZA DRIVE, SUITE 500, SUGAR LAND, TX, 77479, (281) 207-3200 - 0 ($100,000,000.00) Limited Partnership Interests, (File 333-187631 - Mar. 29) (BR. 04A) S-8 Orchid Island Capital, Inc., 3305 FLAMINGO DRIVE, VERO BEACH, FL, 32963, 772-23-1400 - 0 ($55,000,000.00) Equity, (File 333-187632 - Mar. 29) (BR. 08B) S-4 RENASANT CORP, 209 TROY STREET, TUPELO, MS, 38804-4827, (662) 680-1001 - 0 ($135,744,479.00) Equity, (File 333-187633 - Mar. 29) (BR. 07B) S-4 BROADCOM CORP, 5300 CALIFORNIA AVENUE, IRVINE, CA, 92617-3038, 949 926 5000 - 0 ($500,000,000.00) Debt, (File 333-187634 - Mar. 29) (BR. 10A) S-3 PACIFIC CONTINENTAL CORP, 111 WEST 7TH ST, EUGENE, OR, 97401, 5416868685 - 0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-187635 - Mar. 29) (BR. 07B) S-3ASR COUSINS PROPERTIES INC, 191 PEACHTREE STREET N.E., SUITE 500, ATLANTA, GA, 30303-1740, 404-407-1000 - 0 ($0.00) Equity, (File 333-187636 - Mar. 29) (BR. 08C) S-4 Aon plc, 8 DEVONSHIRE SQUARE, LONDON, X0, EC2M 4PL, (44) 20 7623 5500 - 0 ($255,946,000.00) Debt, (File 333-187637 - Mar. 29) (BR. 01A) S-1 TIAA-CREF Life Insurance CO, 730 THIRD AVENUE, NEW YORK, NY, 10017-3206, 212-490-9000 - 0 ($1.00) Other, (File 333-187638 - Mar. 29) (BR. 01A) S-3ASR STANDARD PACIFIC CORP /DE/, 15360 BARRANCA PARKWAY, IRVINE, CA, 92618, 9497891600 - 0 ($0.00) Equity, (File 333-187639 - Mar. 29) (BR. 06B) S-1 Monster Offers, 27665 FORBES RD, LAGUNA NIGUEL, CA, 92677, 949-335-5350 - 1,429,585 ($729,088.35) Equity, (File 333-187640 - Mar. 29) (BR. 03A) S-8 MARVELL TECHNOLOGY GROUP LTD, CANON'S COURT, 22 VICTORIA STREET, HAMILTON HM 12, D0, 4412966395 - 7,911,440 ($81,250,488.80) Equity, (File 333-187641 - Mar. 29) (BR. 10B) N-2 Goldman Sachs Liberty Harbor Capital, LLC, 200 WEST STREET, NEW YORK, NY, 10282, 212-902-0328 - 0 ($100,000,000.00) Equity, (File 333-187642 - Mar. 29) (BR. )
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- AASTROM BIOSCIENCES INC MI 2.05,5.02,8.01,9.01 03/25/13 ACCO BRANDS CORP DE 7.01,9.01 03/26/13 ADEPT TECHNOLOGY INC DE 1.01,2.03,9.01 03/25/13 ADEPT TECHNOLOGY INC DE 1.01,5.02,9.01 03/25/13 Affinity Gaming NV 5.02,5.03 03/28/13 ALL AMERICAN SPORTPARK INC NV 1.01 03/27/13 Allied Nevada Gold Corp. DE 1.01,2.03,9.01 03/26/13 AMERICAN APPAREL, INC DE 7.01,8.01,9.01 03/28/13 AMERICAN CRYSTAL SUGAR CO /MN/ MN 4.01,9.01 03/25/13 AMERICAN VANGUARD CORP DE 5.02 03/25/13 AMKOR TECHNOLOGY INC DE 8.01 03/29/13 ANALOG DEVICES INC MA 5.02,8.01,9.01 03/29/13 APRICUS BIOSCIENCES, INC. NV 8.01 03/28/13 Armada Oil, Inc. NV 1.01,2.01,5.01,5.02, 03/28/13 5.03,9.01 ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 5.02 03/29/13 ARTHROCARE CORP DE 8.01 03/29/13 Artisanal Brands, Inc. NY 2.02,9.01 03/29/13 Ascent Capital Group, Inc. DE 2.03,7.01,9.01 03/25/13 ASTRONICS CORP NY 1.01,2.03,9.01 03/27/13 AtheroNova Inc. DE 4.02 03/21/13 ATLANTIC POWER CORP A1 5.02 03/26/13 AtriCure, Inc. DE 1.01,2.03,9.01 03/29/13 Avery Dennison Corp DE 8.01,9.01 03/28/13 AVIV REIT, INC. MD 1.01,1.02,2.03,5.02, 03/25/13 5.03,5.07,8.01,9.01 AXIS CAPITAL HOLDINGS LTD 1.01,2.03,9.01 03/26/13 BEHRINGER HARVARD REIT I INC MD 7.01,9.01 03/29/13 BERKSHIRE BANCORP INC /DE/ DE 5.02 03/25/13 BIGGEST LITTLE INVESTMENTS LP DE 8.01 03/28/13 BIRNER DENTAL MANAGEMENT SERVICES INC CO 2.02,9.01 03/29/13 BlueLinx Holdings Inc. DE 1.01,3.02,9.01 03/28/13 Bonanza Creek Energy, Inc. DE 5.02,9.01 03/28/13 BRYN MAWR BANK CORP PA 1.01,9.01 03/27/13 BSD MEDICAL CORP DE 2.02,9.01 03/28/13 BullsNBears.com, Inc. DE 4.01,9.01 03/15/13 AMEND CELL THERAPEUTICS INC WA 2.02,7.01,9.01 03/29/13 CENTRAL EUROPEAN DISTRIBUTION CORP DE 7.01,8.01,9.01 03/28/13 CHINA EDUCATION ALLIANCE INC. NC 4.02,9.01 03/16/13 AMEND China Shengda Packaging Group Inc. NV 2.02,7.01,9.01 03/29/13 ChromaDex Corp. DE 1.01,9.01 03/28/13 CHURCHILL DOWNS INC KY 1.01,9.01 03/29/13 CITY HOLDING CO WV 8.01,9.01 03/28/13 CLARCOR INC. DE 5.02,5.07,9.01 03/26/13 Community Choice Financial Inc. 7.01,9.01 03/29/13 Cordia Bancorp Inc VA 5.02 03/27/13 CORPORATE EXECUTIVE BOARD CO DE 8.01,9.01 03/29/13 Covidien plc 7.01,9.01 03/29/13 CVS CAREMARK CORP DE 5.02 03/29/13 Deep Down, Inc. NV 2.02,9.01 03/29/13 DETHRONE ROYALTY HOLDINGS, INC. NV 8.01,9.01 03/24/13 DIODES INC /DEL/ DE 1.01,1.02,2.03,7.01, 01/08/13 AMEND 9.01 DYAX CORP DE 5.02,8.01,9.01 03/29/13 DYNAVAX TECHNOLOGIES CORP DE 1.01,9.01 03/29/13 ELECTRONIC SYSTEMS TECHNOLOGY INC WA 7.01,9.01 03/29/13 ENDO HEALTH SOLUTIONS INC. DE 1.01,2.03,9.01 03/26/13 ENPRO INDUSTRIES, INC NC 8.01,9.01 03/29/13 ERBA Diagnostics, Inc. DE 1.01,9.01 10/03/12 AMEND Euramax Holdings, Inc. DE 2.02,9.01 03/29/13 EURONET WORLDWIDE INC DE 1.01,3.03,5.03,9.01 03/29/13 ExOne Co DE 1.01,5.03,5.05,5.08, 03/26/13 9.01 FAIRPOINT COMMUNICATIONS INC DE 5.02 02/12/13 FBL FINANCIAL GROUP INC IA 7.01 03/29/13 Federal Home Loan Bank of Boston X1 5.02,9.01 03/25/13 Federal Home Loan Bank of Seattle 7.01,9.01 03/28/13 Federal Home Loan Bank of Seattle 7.01,9.01 03/28/13 FEI CO OR 2.02,9.01 03/29/13 Fifth Third Holdings Funding, LLC DE 1.01,9.01 03/28/13 First American Financial Corp DE 5.02,9.01 03/27/13 FIRST BANCORP /NC/ NC 8.01,9.01 03/25/13 First Clover Leaf Financial Corp. MD 5.02,9.01 03/26/13 FIRST PLACE FINANCIAL CORP /DE/ DE 1.03,9.01 03/25/13 FOCUS GOLD Corp 1.01,8.01,9.01 03/21/13 FOUR OAKS FINCORP INC NC 2.02,9.01 03/29/13 Francesca's Holdings CORP 9.01 03/26/13 FS Investment CORP MD 2.02,9.01 03/29/13 GENSPERA INC DE 1.01,3.02,9.01 03/22/13 AMEND GeoMet, Inc. DE 2.02,9.01 03/29/13 GERMAN AMERICAN BANCORP, INC. IN 5.02 03/25/13 GigOptix, Inc. DE 1.01,2.03 03/25/13 Global Eagle Entertainment Inc. DE 1.01,9.01 03/29/13 GREENESTONE HEALTHCARE CORP CO 5.02,5.03,5.07,9.01 03/22/13 GSI GROUP INC A3 9.01 01/15/13 AMEND HEALTHCARE REALTY TRUST INC MD 1.01,2.06,8.01,9.01 03/29/13 HERITAGE BANKSHARES INC /VA VA 8.01 03/29/13 HomeTrust Bancshares, Inc. MD 5.02,9.01 03/25/13 HOOPER HOLMES INC NY 1.01,2.03,9.01 03/28/13 Industrial Income Trust Inc. MD 8.01,9.01 03/29/13 INFORMATION ANALYSIS INC VA 2.02,9.01 03/28/13 INREIT Real Estate Investment Trust ND 5.02 03/29/13 INSIGNIA SYSTEMS INC/MN MN 5.02,9.01 03/26/13 Integrated Healthcare Holdings Inc 1.01,2.03,9.01 03/25/13 INTERMOLECULAR INC DE 5.02 03/27/13 JAVA EXPRESS INC NV 7.01,9.01 03/29/13 KEMPER Corp DE 5.02 03/25/13 LANDMARK BANCORP INC DE 5.02 03/26/13 Lantheus Medical Imaging, Inc. DE 2.02 03/28/13 LIBERTY ENERGY CORP. NV 5.02 03/25/13 Lithium Exploration Group, Inc. NV 1.01,9.01 03/15/13 LNB BANCORP INC OH 5.02,9.01 03/26/13 M&F BANCORP INC /NC/ NC 2.02,9.01 03/29/13 MEDICINOVA INC DE 7.01 03/29/13 MEI Pharma, Inc. DE 5.02,5.05,5.07,9.01 03/26/13 MERIT MEDICAL SYSTEMS INC UT 9.01 11/26/12 AMEND Meritage Homes CORP MD 5.02,9.01 03/28/13 Mesa Energy Holdings, Inc. DE 1.01,1.02,2.01,3.03, 03/26/13 5.07,9.01 MIDDLEBURG FINANCIAL CORP VA 5.03,9.01 03/27/13 MONITRONICS INTERNATIONAL INC TX 2.03,7.01,9.01 03/25/13 MPG Office Trust, Inc. MD 5.02 03/29/13 Nepia Inc. 5.02 03/29/13 NETLIST INC DE 2.02,9.01 03/28/13 NEWTEK BUSINESS SERVICES, INC. NY 7.01,9.01 03/27/13 Nutrastar International Inc. NV 2.02,9.01 03/29/13 OMEROS CORP WA 3.03,9.01 03/28/13 Opexa Therapeutics, Inc. TX 2.02,9.01 03/28/13 PATHFINDER BANCORP INC DE 8.01,9.01 03/29/13 PAYCHEX INC DE 1.01,9.01 03/26/13 PETROQUEST ENERGY INC DE 1.01,2.03,8.01,9.01 03/29/13 PFSWEB INC DE 5.02,9.01 03/26/13 Plymouth Opportunity REIT Inc. MD 7.01 03/22/13 Power REIT MD 8.01 03/28/13 Power REIT MD 8.01,9.01 03/29/13 POWIN CORP 2.03,9.01 03/11/13 Pulse Network, Inc. 1.01,2.01,3.02,5.01, 03/28/13 5.03,5.06,8.01,9.01 QUICKSILVER RESOURCES INC DE 1.01,9.01 03/28/13 REALNETWORKS INC WA 5.02,9.01 03/25/13 RENAISSANCERE HOLDINGS LTD D0 8.01 03/28/13 RETRACTABLE TECHNOLOGIES INC TX 8.01,9.01 03/29/13 REVA Medical, Inc. DE 8.01,9.01 03/28/13 REXAHN PHARMACEUTICALS, INC. DE 5.02,5.03,9.01 03/25/13 Rhino Resource Partners LP DE 4.01,9.01 03/26/13 RXi Pharmaceuticals Corp DE 2.02,9.01 03/29/13 SAKS INC TN 1.01,2.03,7.01,9.01 03/28/13 SALESFORCE COM INC DE 5.02 03/29/13 SELECT COMFORT CORP MN 7.01,9.01 03/29/13 SEQUENTIAL BRANDS GROUP, INC. DE 4.02,8.01 03/29/13 Shiner International, Inc. NV 2.02,9.01 03/25/13 STEMLINE THERAPEUTICS INC DE 5.02 03/29/13 STEWARDSHIP FINANCIAL CORP NJ 4.01,9.01 01/28/13 AMEND STRATUS PROPERTIES INC DE 2.02,9.01 03/28/13 Texas Rare Earth Resources Corp. DE 7.01,9.01 03/28/13 TIMBERLAND BANCORP INC WA 5.02,9.01 03/26/13 Timberline Resources Corp DE 7.01,9.01 03/28/13 TOFUTTI BRANDS INC DE 2.02,9.01 03/29/13 TORCHMARK CORP DE 5.02,8.01 03/26/13 TOYS R US INC DE 2.02,9.01 03/29/13 TransUnion Holding Company, Inc. DE 5.02 03/25/13 UNIFIED GROCERS, INC. CA 1.01,9.01 03/27/13 UNITED PARCEL SERVICE INC DE 1.01,1.02,2.03 03/29/13 UNITIL CORP NH 7.01,9.01 03/28/13 VALUECLICK INC/CA DE 5.02 03/27/13 Vera Bradley, Inc. 5.02 03/07/13 WESTERN DIGITAL CORP DE 2.05 01/23/13 AMEND WESTLAKE CHEMICAL CORP DE 5.02,9.01 03/25/13 WILSON BANK HOLDING CO TN 8.01 03/20/13 WMI HOLDINGS CORP. WA 5.02 03/26/13 Xhibit Corp. NV 5.02 03/29/13