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Commission announcementsSEC Streamlines Rule Filing Requirements for Dually Registered Clearing AgenciesThe Securities and Exchange Commission today announced a final rule that streamlines the process for rulemaking by clearing agencies that are registered with both the SEC and the Commodity Futures Trading Commission (CFTC). The final rule amends an interim rule adopted in 2011 that allowed rule changes filed with the SEC by clearing agencies to become effective as soon as they were filed when they were not related primarily to securities futures and did not significantly affect the clearing agencies’ securities clearing operations. The final rule expands upon the interim rule to permit effectiveness upon filing for rule changes that concern other products that are not securities – including swaps that are neither mixed swaps nor security-based swaps, and forwards that are not security forwards – provided those rule changes do not significantly affect the clearing agencies’ securities clearing operations. The final rule also includes a new provision that under certain conditions permits temporary immediate effectiveness for rules that significantly affect the clearing agency’s securities-clearing operations when the products themselves are not securities. The final rule is intended to ensure that clearing agencies registered with both the SEC and the CFTC can avoid unnecessary delays in implementing rule changes that relate primarily to products that are not securities. At the same time, the final rule ensures that such rule changes continue to be filed with the SEC, so that the Commission can carry out its statutory duty to supervise all registered clearing agencies. The amendments will become effective 60 days after the date of publication of the release in the Federal Register. (Press Rel. 2013-52) Marc Fagel, Director of San Francisco Office, to Leave SECThe Securities and Exchange Commission today announced that Marc Fagel, the director of the San Francisco Regional Office, will be leaving the agency later this month for the private sector. He has worked at the SEC for more than 15 years. Mr. Fagel has served at the helm of the San Francisco office since 2008, overseeing a staff of more than 100 attorneys, accountants, and other professionals responsible for conducting investigations, litigation, and examinations in a region covering Northern California, Washington, Oregon, Montana, Idaho, and Alaska. “Marc’s quick wit and passion for investor protection have earned him deep respect and admiration throughout the Commission,” said SEC Chairman Elisse B. Walter. “He has been a loyal and effective leader at this agency and has unequivocally served investors with steady determination throughout his long tenure.” Mr. Fagel said, “I consider myself lucky to have had an opportunity to serve alongside so many smart and talented professionals here in San Francisco and throughout the Commission. Investors throughout the Bay Area and Pacific Northwest region are fortunate to have such a dedicated team serving as their advocates.” Mr. Fagel, 46, joined the SEC’s San Francisco staff as an enforcement staff attorney in 1997. He was promoted to branch chief for the office’s Internet enforcement branch and later appointed associate regional director in charge of the office’s entire enforcement program. Prior to his arrival at the SEC, he spent six years in private practice with a large national law firm. Mr. Fagel graduated from Princeton University and the University of Chicago Law School. During Mr. Fagel’s tenure, he has overseen several of the largest financial fraud cases ever filed in the Pacific Northwest as well as numerous investigations of hedge funds and other private investment funds, including cases alleging undisclosed conflicts of interest, end-of-quarter “portfolio pumping,” improper use of “side pockets,” and misuse of client assets. Mr. Fagel also spearheaded cases against hedge fund managers and online trading platforms involved in the emerging secondary market for pre-IPO stock of hot Silicon Valley companies. Among the noteworthy matters investigated under Mr. Fagel’s leadership:
Mr. Fagel also played an instrumental role in the historic restructuring of the SEC’s Enforcement Division during the past few years, particularly in the Commission’s grant of delegated formal order authority to the Enforcement Division as well as reforms related to other aspects of the investigative process. “Marc’s energy, creativity, and vision along with his steady leadership have been critical to the success of the San Francisco office’s enforcement program, said George S. Canellos, Acting Director of the SEC’s Division of Enforcement. “He brought those same qualifies to the Enforcement Division’s national leadership and helped develop and implement reforms that greatly enhanced the effectiveness of our investigations.” As a member of the National Exam Program’s Executive Committee, Mr. Fagel also helped bring about successful changes in the structure and processes of the exam program. He particularly assisted initiatives to instill a more risk-focused approached to examinations and adapt the program to the large influx of newly-registered hedge fund managers and private equity funds under the Dodd-Frank Act. “Marc has been an exemplary regional director, and under his leadership the San Francisco office’s exam program has done an excellent job protecting investors and supporting the National Exam Program by preventing fraud, promoting compliance, monitoring risk and informing policy,” said Carlo di Florio, Director of the SEC’s Office of Compliance Inspections and Examinations. Mr. Fagel is a past recipient of the SEC’s Ellen B. Ross Award, an honor in recognition of exemplary commitment, enthusiasm, and performance in working to fulfill the Commission’s responsibilities for the fair and effective enforcement of the federal securities laws. He served as a management representative on the SEC’s Labor Management Forum, working closely with agency managers and the National Treasury Employees Union to improve agency operations and strengthen employee engagement. Following Mr. Fagel’s departure later this month, Kristin Snyder and Michael Dicke, who are associate regional directors for examinations and enforcement, respectively, will serve as co-acting regional directors in the San Francisco office. (Press Rel. 2013-53) Enforcement proceedingsCommission Revokes Registration of Securities of Raines Lenders LP for Failure to Make Required Periodic FilingsOn April 3, 2013, the Commission revoked the registration of each class of registered securities of Raines Lenders LP (Raines Lenders) 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, Raines Lenders 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 Raines Lenders LP 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 Raines Lenders’ securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Raines Lenders in In the Matter of My Complete Care, Inc., et al., Administrative Proceeding File No. 3-15217. 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 My Complete Care, Inc., et al., Administrative Proceeding File No. 3-15217, Exchange Act Release No. 68986, February 26, 2013. (Rel. 34-69282; File No. 3-15217) Commission Revokes Registration of Securities of Atlantic Security, Inc. for Failure to Make Required Periodic FilingsOn April 3, 2013, the Commission revoked the registration of each class of registered securities of Atlantic Security, Inc. (Atlantic Security) 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, Atlantic Security 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 Atlantic Security, 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 Atlantic Security’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Atlantic Security in In the Matter of Adzone Research, Inc., et al., Administrative Proceeding File No. 3-15242. 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 Adzone Research, Inc., et al., Administrative Proceeding File No. 3-15242, Exchange Act Release No. 69116, March 12, 2013. (Rel. 34-69283; File No. 3-15242) SEC Obtains Final Judgment Against Former Chief Investment Officer of Gibraltar Asset Management Group, LLCOn April 3, 2013, the Securities and Exchange Commission announced that the Honorable Robert L. Wilkins, United States District Judge for the District of Columbia, entered final judgment on March 28, 2013, against Maurice G. Taylor to settle charges related to his collaboration in a multi-million dollar Washington-area Ponzi scheme operated through Gibraltar Asset Management Group, LLC and Garfield Taylor, Inc. (GTI). The final judgment was entered by consent in the civil action entitled Securities and Exchange Commission v. Garfield Taylor, Inc., et al., Civil Action No. 1:11-CV-02054-RLW, in the United States District Court for the District of Columbia: Maurice G. Taylor, of Bowie, Md., formerly Chief Investment Officer at Gibraltar, without admitting or denying the allegations in the SEC’s complaint, consented to the entry of a Final Judgment permanently enjoining him from violations of Section 17(a) of the Securities Act of 1933 and ordering payment of monetary relief in an amount to be determined by the Court upon motion of the Commission. Following an evidentiary hearing, the Court entered a Final Judgment permanently enjoining Taylor and ordering him to pay $463,785 in disgorgement and $50,682.50 in prejudgment interest, for a total of $514,467.50. The Commission filed a complaint on November 18, 2011, alleging that Gibraltar’s and GTI’s former Chief Executive Officer, Garfield M. Taylor, operating through GTI and Gibraltar, with the assistance of Maurice G. Taylor, Benjamin C. Dalley, Randolph M. Taylor, William B. Mitchell and Jeffrey A. King, conducted a multi-million Ponzi scheme targeting investors in the Washington D.C. metropolitan area. According to the SEC’s complaint, the defendants defrauded more than $27 million from approximately 130 investors between 2005 and 2010. The Commission’s case is still pending against the remaining defendants: Garfield M. Taylor, Jeffrey A. King, GTI, Gibraltar, and The King Group, LLC. On September 17, 2012, the Court granted the Commission’s motion for default judgment as to Jeffrey King, GTI, Gibraltar and The King Group, LLC, but has not yet determined the appropriate relief against them. On December 13, 2012, the Court granted the Commission’s motion for summary judgment on all charges sought by the Commission against Garfield Taylor. On March 28, 2013, the Court granted Garfield Taylor’s motion to hold the case against him in abeyance, in light of pending federal criminal charges against him. [SEC v. Garfield Taylor, Inc., et al., Civil Action No. 1:11-CV-02054-RLW (District Court for the District of Columbia)] (LR-22665) Blackstone Alternative Investment Funds and Blackstone Alternative Asset Management L.P.An order has been issued on an application filed by Blackstone Alternative Investment Funds and Blackstone Alternative Asset Management L.P. under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Section 15(a) of the 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-30444 – April 2) Exchange Traded Concepts Trust, et al.An order has been issued on an application filed by Exchange Traded Concepts Trust, Exchange Traded Concepts Trust II, ETF Series Solutions, Exchange Traded Concepts LLC, SEI Investments Distribution Company, Quasar Distributors, LLC and Foreside Fund Services, LLC. The order permits: (a) series of certain actively managed 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-30445 – April 2) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeThe Chicago Mercantile Exchange Inc. (“CME”) filed a proposed rule change (SR-CME-2013-03) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 to make clarifying amendments to CME Rule 980. Publication is expected in the Federal Register during the week of April 1, 2013. (Rel. 34-69266) 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-3 Williams Partners L.P., ONE WILLIAMS CENTER, TULSA, OK, 74172-0172,
(918) 573-2000 - 0 ($600,000,000.00) Equity, (File 333-187664 - Apr. 2)
(BR. 02C)
S-8 Workday, Inc., 6230 STONERIDGE MALL ROAD, SUITE 200, PLEASANTON, CA,
94588, 877-967-5329 - 8,321,244 ($511,839,718.44) Equity,
(File 333-187665 - Apr. 2) (BR. 03B)
S-3ASR RELIANCE STEEL & ALUMINUM CO, 350 S GRAND AVE STE 5100, LOS ANGELES,
CA, 90071, 2136877700 - 0 ($0.00) Other, (File 333-187666 - Apr. 2)
(BR. 05C)
S-4 US FOODS, INC., 9399 W. HIGGINS ROAD, SUITE 500, ROSEMONT, IL, 60018,
847-720-8000 - 0 ($375,000,000.00) Debt, (File 333-187667 - Apr. 2)
(BR. 02)
S-1 ALPHALA CORP., 2360 CORPORATE CIRCLE STE 400, HENDERSON, NV, 89074,
79025104036 - 2,360,000 ($70,800.00) Equity, (File 333-187669 - Apr. 2)
(BR. 09)
S-8 JACOBS ENGINEERING GROUP INC /DE/, 155 NORTH LAKE AVENUE, PASADENA, CA,
91101, 6265783500 - 6,900,000 ($378,603,000.00) Equity,
(File 333-187677 - Apr. 2) (BR. 06C)
S-3 HARDINGE INC, ONE HARDING DRIVE, ELMIRA, NY, 14902, 6077342281 -
0 ($100,000,000.00) Other, (File 333-187678 - Apr. 2) (BR. 10A)
S-8 BioScrip, Inc., 100 CLEARBROOK ROAD, ELMSFORD, NY, 10523,
914 460 1600 - 750,000 ($9,495,000.00) Equity, (File 333-187679 -
Apr. 2) (BR. 01B)
S-3 STANDARD PARKING CORP, 900 N. MICHIGAN AVENUE, CHICAGO, IL, 60611-1542,
2185220700 - 0 ($126,738,599.24) Equity, (File 333-187680 - Apr. 2)
(BR. 05C)
S-1 TriState Capital Holdings, Inc., ONE OXFORD CENTRE,
301 GRANT STREET, SUITE 2700, PITTSBURGH, pa, 15219, (412) 304-0304 -
0 ($70,000,000.00) Equity, (File 333-187681 - Apr. 2) (BR. 07)
S-1 Tableau Software Inc, 837 N 34TH ST, SUITE 400, SEATTLE, WA, 98103,
206-633-3400 - 0 ($150,000,000.00) Equity, (File 333-187683 - Apr. 2)
(BR. 03B)
S-4 FelCor Lodging LP, 545 E. JOHN CARPENTER FREEWAY, SUITE 1300, IRVING,
TX, 75062, 9724444900 - 0 ($525,000,000.00) Debt, (File 333-187684 -
Apr. 2) (BR. 08B)
S-8 Trina Solar LTD, NO. 2 XIN YUAN YI ROAD ELECTRONICS PARK,
NEW DISTRICT, CHANGZHOU, JIANGSU 213031, CHANGZHOU, F4, 213031,
86 519 548 2008 - 0 ($10,905,000.00) Equity, (File 333-187685 - Apr. 2)
(BR. 10B)
S-3 MIDAMERICAN ENERGY CO, 666 GRAND AVE, P O BOX 657, DES MOINES, IA,
50306-0657, 5152424300 - 0 ($1,500,000,000.00) Debt, (File 333-187686 -
Apr. 2) (BR. 02B)
S-1 General Finance CORP, 39 EAST UNION STREET, PASADENA, CA, 91103,
626-584-9722 - 287,500 ($28,750,000.00) Equity, (File 333-187687 -
Apr. 2) (BR. 02C)
S-4 PACIFIC PREMIER BANCORP INC, 17901 VON KARMAN AVE, SUITE 1200, IRVINE,
CA, 92614, 714-431-4000 - 0 ($4,892,761.30) Equity, (File 333-187688 -
Apr. 2) (BR. 07C)
S-1 Marketo, Inc., 901 MARINERS ISLAND BLVD., SUITE 200, SAN MATEO, CA,
94404, 650 376-2300 - 0 ($75,000,000.00) Equity, (File 333-187689 -
Apr. 2) (BR. 03A)
S-8 COLUMBIA BANKING SYSTEM INC, 1301 A STREET, TACOMA, WA, 98402,
2533051900 - 222,620 ($4,746,258.40) Equity, (File 333-187690 - Apr. 2)
(BR. 07C)
S-3 OHIO EDISON CO, 76 SOUTH MAIN STREET, C/O FIRSTENERGY CORP., AKRON, OH,
44308-1890, 330-761-7837 - 0 ($505,000,000.00) Non-Convertible Debt,
(File 333-187692 - Apr. 2) (BR. 02B)
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
-----------------------------------------------------------------------------------------
ACCESS MIDSTREAM PARTNERS LP DE 1.01,9.01 03/27/13
ACTIVECARE, INC. DE 5.07 03/25/13
AETNA INC /PA/ PA 7.01,9.01 04/02/13
AFFYMAX INC DE 2.02,9.01 04/02/13
Alexza Pharmaceuticals Inc. DE 5.02,9.01 03/29/13
ALLETE INC MN 2.03,9.01 04/02/13
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 04/02/13
ALLIANCE DATA SYSTEMS CORP DE 8.01,9.01 04/02/13
Ally Financial Inc. DE 2.01,9.01 04/01/13
ALTERRA CAPITAL HOLDINGS Ltd 8.01 03/27/13
AMERICAN PUBLIC EDUCATION INC DE 5.08 04/02/13
American Realty Capital Properties, I MD 7.01,8.01,9.01 04/02/13
ANNALY CAPITAL MANAGEMENT INC MD 8.01,9.01 04/02/13
Annie's, Inc. DE 7.01,9.01 04/01/13
AOL Inc. DE 5.02,8.01 03/27/13
Applied Visual Sciences, Inc. DE 8.01 12/31/12
APRIA HEALTHCARE GROUP INC DE 7.01,9.01 04/01/13
ARRIS GROUP INC DE 1.01,9.01 03/27/13
ATMEL CORP DE 5.02,9.01 03/27/13
ATMOS ENERGY CORP TX 5.02,8.01,9.01 03/27/13
Avangard Capital Group, Inc NV 1.01,2.01,9.01 03/26/13
Avantair, Inc DE 2.03,3.02 03/29/13
Azteca Acquisition Corp D8 8.01,9.01 04/02/13
AZZ INC TX 1.01,1.02,2.01,2.03, 03/27/13
7.01,9.01
BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,8.01,9.01 03/28/13
BELK INC 5.02 03/27/13
BERKLEY W R CORP DE 5.02 03/28/13
BERKSHIRE HILLS BANCORP INC DE 7.01,9.01 04/02/13
BIOGEN IDEC INC. DE 1.02,2.01,9.01 04/02/13
BioMed Realty Trust Inc MD 8.01,9.01 04/02/13
BIOMET INC IN 5.02,9.01 03/27/13
Bitzio, Inc. NV 5.02,9.01 04/01/13
BJs RESTAURANTS INC CA 8.01,9.01 04/02/13
BLACK BOX CORP DE 5.02,9.01 03/27/13
Black Elk Energy Offshore Operations, TX 1.01,2.01,9.01 03/01/13
BLONDER TONGUE LABORATORIES INC DE 2.02,9.01 04/02/13
BOINGO WIRELESS INC DE 5.02,9.01 04/01/13
BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 7.01,9.01 04/02/13
BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 04/01/13
CADENCE DESIGN SYSTEMS INC DE 5.02 03/28/13
CASCADE CORP OR 2.01,3.01,3.02,3.03, 03/28/13
5.01,5.02,5.03,9.01
CATALYST PHARMACEUTICAL PARTNERS, INC DE 8.01,9.01 04/02/13
CCOM Group, Inc. NY 2.02,9.01 03/29/13
Celanese Corp DE 7.01,9.01 04/02/13
CENTENE CORP 8.01,9.01 04/01/13
CENTRAL GARDEN & PET CO DE 5.02 03/27/13
Chanticleer Holdings, Inc. DE 2.02,9.01 04/02/13
CHEMICAL FINANCIAL CORP MI 7.01 04/02/13
CHEVRON CORP DE 5.02,5.03,8.01,9.01 03/27/13
China Botanic Pharmaceutical 3.01,9.01 03/27/13
CHINA EDUCATION ALLIANCE INC. NC 2.02,9.01 04/01/13
China Industrial Steel Inc. MD 2.02,9.01 04/02/13
China Polypeptide Group, Inc. DE 5.02 03/28/13
CHINDEX INTERNATIONAL INC DE 5.02 03/27/13
CHURCHILL DOWNS INC KY 8.01 04/02/13 AMEND
CNL Healthcare Properties, Inc. MD 1.01,2.03,9.01 03/27/13
CNL LIFESTYLE PROPERTIES INC MD 2.02,9.01 04/01/13
COLUMBIA BANKING SYSTEM INC WA 2.01,5.02,5.03,8.01, 04/01/13
9.01
COMMUNITY SHORES BANK CORP MI 4.01,5.02,9.01 04/02/13
COMPUTER TASK GROUP INC NY 7.01,9.01 04/02/13
CONSOL Energy Inc DE 1.04 03/27/13
CONTINENTAL RESOURCES, INC OK 8.01,9.01 04/02/13
Cordia Bancorp Inc VA 2.01,9.01 03/29/13
CORECARE SYSTEMS INC DE 8.01,9.01 03/20/13
Corporate Resource Services, Inc. DE 8.01,9.01 04/02/13
COWEN GROUP, INC. DE 7.01 04/02/13
Crestwood Midstream Partners LP DE 8.01 04/01/13
CROSSROADS SYSTEMS INC DE 1.01,3.02,3.03,5.03, 03/22/13 AMEND
9.01
DAKOTA TERRITORY RESOURCE CORP NV 4.01,9.01 03/28/13
DecisionPoint Systems, Inc. DE 5.02 03/28/13
Deep Down, Inc. NV 5.02 03/15/13
Delek US Holdings, Inc. 7.01,9.01 04/02/13
DELTA AIR LINES INC /DE/ DE 7.01,9.01 04/02/13
DIAMOND HILL INVESTMENT GROUP INC OH 8.01 04/02/13
Digital Realty Trust, Inc. 8.01 04/02/13
DISCOVERY LABORATORIES INC /DE/ DE 1.01,5.02,9.01 03/26/13
DISH Network CORP NV 7.01,9.01 04/02/13
DOLE FOOD CO INC DE 1.01,2.01,2.03,8.01, 04/01/13
9.01
DOLLAR GENERAL CORP TN 1.01,8.01,9.01 03/27/13
DRIVETIME AUTOMOTIVE GROUP INC DE 1.01 03/26/13
Duke Energy CORP DE 8.01,9.01 04/02/13
DUMA ENERGY CORP NV 7.01,9.01 04/02/13
DUPONT FABROS TECHNOLOGY, INC. MD 1.01,2.03,8.01,9.01 03/27/13
DYAX CORP DE 1.02 03/27/13
Eagle Bulk Shipping Inc. 2.02,8.01,9.01 04/02/13
EASTMAN KODAK CO NJ 5.02 04/02/13
Electromed, Inc. 5.03,9.01 03/28/13
ELEPHANT TALK COMMUNICATIONS CORP DE 2.02,9.01 04/02/13
Emdeon Inc. DE 7.01,9.01 04/01/13
Energizer Resources, Inc. MN 3.02,9.01 03/26/13
Energy Transfer Equity, L.P. DE 1.01,2.03,9.01 03/28/13
EnerSys DE 7.01,9.01 04/02/13
ENTERGY CORP /DE/ DE 7.01,9.01 04/02/13
Entertainment Art, Inc. NV 5.03,9.01 03/11/13
EQM Technologies & Energy, Inc. DE 2.02,9.01 04/02/13
ESCALADE INC IN 1.01,2.03,9.01 04/02/13
ESSEX PROPERTY TRUST INC MD 1.01,9.01 03/29/13
EWaste Systems, Inc. NV 1.01,9.01 03/29/13
ExOne Co DE 8.01,9.01 04/01/13
Federal Home Loan Bank of Atlanta X1 2.03 03/28/13
Federal Home Loan Bank of Boston X1 2.03 03/27/13
Federal Home Loan Bank of Chicago X1 2.03 03/27/13
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 03/27/13
Federal Home Loan Bank of Dallas 5.02,9.01 03/21/13
Federal Home Loan Bank of Des Moines X1 2.03,9.01 03/29/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 04/02/13
Federal Home Loan Bank of New York X1 2.03,9.01 03/27/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 03/27/13
Federal Home Loan Bank of San Francis X1 2.03 03/27/13
Federal Home Loan Bank of Seattle 2.03 03/27/13
Federal Home Loan Bank of Topeka 2.03,9.01 03/27/13
FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,7.01,9.01 04/02/13
Fidelity National Information Service 5.02,9.01 04/01/13
FIRST PACTRUST BANCORP INC MD 5.02,9.01 04/01/13
FIVE BELOW, INC PA 2.02,9.01 04/02/13 AMEND
FLORIDA GAMING CORP DE 4.01 03/27/13
Forbes Energy Services Ltd. D0 2.02,9.01 04/01/13 AMEND
FORD MOTOR CO DE 8.01,9.01 03/31/13
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 04/02/13
FriendFinder Networks Inc. NV 2.02,9.01 04/01/13
G III APPAREL GROUP LTD /DE/ DE 2.02,9.01 04/02/13
Garrison Capital Inc. DE 8.01,9.01 04/02/13
GASCO ENERGY INC NV 3.01,7.01,9.01 03/27/13
GENCORP INC OH 5.02,5.07,8.01,9.01 03/27/13
GENESEE & WYOMING INC DE 1.01,9.01 03/28/13
GENUINE PARTS CO GA 2.01,2.03,7.01,9.01 04/01/13
Global Cash Access Holdings, Inc. DE 5.02 03/29/13
GLOBAL PAYMENTS INC GA 2.02 04/02/13
GRAPHIC PACKAGING HOLDING CO DE 1.01,2.03,9.01 04/02/13
Graymark Healthcare, Inc. OK 1.01,9.01 03/29/13
HANDY & HARMAN LTD. DE 1.01,9.01 03/27/13
HARRIS PREFERRED CAPITAL CORP MD 5.02 04/01/13
HAWTHORN BANCSHARES, INC. MO 2.02,9.01 04/01/13
Health in Harmony, Inc. 1.01,2.01,3.02,4.01, 03/29/13
5.01,5.02,5.06,7.01,
9.01
HECLA MINING CO/DE/ DE 1.01,2.02,8.01,9.01 04/01/13
HERITAGE COMMERCE CORP CA 5.02 03/28/13
HF FINANCIAL CORP DE 5.02,9.01 03/27/13
HF2 FINANCIAL MANAGEMENT INC. DE 3.02,8.01,9.01 03/27/13
Hines Global REIT, Inc. MD 7.01,8.01,9.01 03/27/13
HomeStreet, Inc. WA 4.01 03/28/13
HSBC Finance Corp 8.01 03/29/13
HUMANA INC DE 7.01,9.01 04/01/13
HYBRID Coating Technologies Inc. 4.01,9.01 04/02/13
ICON ECI FUND FIFTEEN, L.P. DE 8.01 04/02/13
ICON Equipment & Corporate Infrastruc DE 8.01 04/02/13
InfuSystem Holdings, Inc DE 5.02 03/28/13
InsPro Technologies Corp DE 8.01,9.01 04/01/13
Integrated Electric Systems Corp. NV 5.03,7.01,9.01 04/01/13
INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 8.01,9.01 04/02/13
INTERNATIONAL LEASE FINANCE CORP CA 1.01,9.01 04/01/13
JAKKS PACIFIC INC DE 5.02,9.01 03/29/13
JBI, INC. NV 7.01,9.01 04/02/13
Jones Lang LaSalle Income Property Tr MD 8.01 03/27/13
KANSAS CITY LIFE INSURANCE CO MO 8.01,9.01 04/02/13
KBS Real Estate Investment Trust III, MD 1.01,2.03 03/27/13
KEYW HOLDING CORP MD 5.02,9.01 04/01/13
KINGSTONE COMPANIES, INC. DE 2.02,9.01 04/01/13
KYTHERA BIOPHARMACEUTICALS INC DE 5.02,9.01 03/27/13
LEGG MASON, INC. MD 5.02,9.01 03/28/13
LEXMARK INTERNATIONAL INC /KY/ DE 1.01,8.01,9.01 04/01/13
Lightwave Logic, Inc. NV 7.01,9.01 04/02/13
LINCOLN ELECTRIC HOLDINGS INC OH 5.02 03/27/13
LKA INTERNATIONAL INC /DE/ DE 8.01 04/01/13
LOCAL Corp DE 1.01,2.03,9.01 03/28/13
LUCAS ENERGY, INC. NV 1.01,2.01,9.01 03/29/13
MARINEMAX INC DE 4.01,9.01 03/27/13
MAXWELL TECHNOLOGIES INC DE 4.01,9.01 04/01/13
MCCORMICK & CO INC MD 2.02,9.01 04/02/13
McEwen Mining Inc. CO 7.01,9.01 04/02/13
MEDASSETS INC DE 5.02,8.01,9.01 04/02/13
Medley Capital Corp DE 1.01,2.03,9.01 03/28/13
Meetinghouse Bancorp, Inc. MD 5.02 03/29/13
MGC DIAGNOSTICS Corp MN 5.07,8.01,9.01 03/27/13
MIDAMERICAN ENERGY CO IA 7.01,9.01 04/02/13
MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA 7.01,9.01 04/02/13
Midstates Petroleum Company, Inc. DE 5.02 04/01/13
Midway Gold Corp A1 7.01,9.01 04/02/13
MILLER ENERGY RESOURCES, INC. TN 7.01,8.01,9.01 03/26/13
MIMEDX GROUP, INC. FL 3.02 03/28/13
Mojo Organics, Inc. DE 5.03,5.07,9.01 03/29/13
Morgans Hotel Group Co. DE 9.01 03/30/13 AMEND
MOTORCAR PARTS AMERICA INC NY 5.07 03/28/13
MRV COMMUNICATIONS INC DE 2.02,9.01 04/02/13
MTR GAMING GROUP INC DE 5.02,9.01 03/27/13
MusclePharm Corp NV 2.02,7.01,9.01 04/01/13
Naugatuck Valley Financial Corp 2.02,9.01 04/01/13
NAVISTAR INTERNATIONAL CORP DE 1.01,2.03,8.01,9.01 03/27/13
NELNET INC NE 1.01 03/28/13
NEWLINK GENETICS CORP 8.01,9.01 04/02/13
NEWS CORP 8.01,9.01 04/02/13
NOHO, Inc. WY 2.01 12/31/12
NORTHERN OIL & GAS, INC. 1.01,2.03,7.01,9.01 03/28/13
NUMEREX CORP /PA/ PA 2.02,9.01 04/02/13
NVIDIA CORP DE 5.02,9.01 03/27/13
Och-Ziff Capital Management Group LLC DE 7.01 04/02/13
OMEGA COMMERCIAL FINANCE CORP WY 4.01,9.01 03/28/13
ONEOK INC /NEW/ OK 1.01,2.03,9.01 04/02/13
ONVIA INC DE 1.01,8.01,9.01 04/02/13
OXFORD INDUSTRIES INC GA 2.02,9.01 04/02/13
PACIFICHEALTH LABORATORIES INC DE 1.01,3.02,8.01 04/01/13
PACIFICORP /OR/ OR 7.01,9.01 04/02/13
Panache Beverage, Inc. 5.02 02/14/13
PAR PETROLEUM CORP/CO DE 4.01,9.01 10/29/12 AMEND
PARTNERRE LTD 5.02,9.01 03/27/13
PATHEON INC 5.07 03/28/13
Patriot Coal CORP DE 8.01 03/28/13
PennantPark Floating Rate Capital Ltd 1.01,2.03,9.01 04/01/13
PennantPark Floating Rate Capital Ltd 7.01,9.01 04/02/13
PERICOM SEMICONDUCTOR CORP CA 5.02,9.01 04/01/13
Phillips Edison - ARC Shopping Center MD 1.01,2.03,8.01,9.01 03/27/13
PIONEER ENERGY SERVICES CORP TX 7.01,9.01 04/02/13
PIONEER POWER SOLUTIONS, INC. DE 2.02,9.01 04/01/13
PMFG, Inc. DE 3.03,9.01 04/01/13
Power REIT MD 8.01,9.01 04/02/13
PREFERRED APARTMENT COMMUNITIES INC MD 1.01,9.01 03/28/13
Protalix BioTherapeutics, Inc. FL 8.01,9.01 04/02/13
PUBLIX SUPER MARKETS INC FL 1.01 04/01/13
PUMA BIOTECHNOLOGY, INC. DE 2.02,9.01 04/01/13
PYRAMID OIL CO CA 2.02,9.01 04/01/13
QUANTA SERVICES INC DE 5.02,9.01 03/28/13
REGENERON PHARMACEUTICALS INC NY 7.01 04/02/13
Regulus Therapeutics Inc. DE 5.02 04/01/13
REPROS THERAPEUTICS INC. DE 7.01,9.01 04/01/13
RESOURCES CONNECTION INC DE 2.02,9.01 04/02/13
Retrophin, Inc. OK 5.03 04/01/13
REX ENERGY CORP DE 1.01,2.03 03/27/13
RGC RESOURCES INC VA 1.01,2.03,9.01 03/29/13
ROI Acquisition Corp. DE 7.01,8.01,9.01 04/02/13
ROSETTA STONE INC 1.01,2.01,7.01,8.01, 04/01/13
9.01
ROYAL BANCSHARES OF PENNSYLVANIA INC PA 2.02,9.01 03/27/13
Sabra Health Care REIT, Inc. MD 7.01,9.01 04/01/13
SAJAN INC DE 5.02,9.01 03/28/13
SALISBURY BANCORP INC CT 5.02,8.01,9.01 04/02/13
Samson Oil & Gas LTD C3 8.01,9.01 04/01/13
Santander Holdings USA, Inc. VA 7.01,9.01 04/02/13
SEACHANGE INTERNATIONAL INC DE 5.02 03/27/13
Shire plc 8.01,9.01 04/02/13
SilverSun Technologies, Inc. DE 7.01,9.01 04/01/13
SINGLE TOUCH SYSTEMS INC DE 5.02 03/29/13
Skkynet Cloud Systems, Inc. NV 7.01,9.01 03/29/13
SOLERA HOLDINGS, INC DE 5.02 04/02/13
SOLITRON DEVICES INC DE 1.01,9.01 03/27/13
SONIC AUTOMOTIVE INC DE 5.02 04/01/13
Southcross Energy Partners, L.P. DE 5.02,9.01 04/02/13
SOUTHERN FIRST BANCSHARES INC SC 8.01 04/02/13
SOVRAN SELF STORAGE INC MD 5.02 04/02/13
SPHERIX INC DE 5.02,9.01 03/29/13
ST JUDE MEDICAL INC MN 1.01,2.03,9.01 04/02/13
STAGE STORES INC NV 8.01,9.01 04/02/13
STANDARD PARKING CORP DE 8.01,9.01 04/02/13
STEEL DYNAMICS INC IN 8.01,9.01 04/01/13
STEEL PARTNERS HOLDINGS L.P. DE 1.01,9.01 04/02/13
STEMLINE THERAPEUTICS INC DE 2.02 04/01/13
Stewart & Stevenson LLC DE 3.02,9.01 03/27/13
SunOpta Inc. 5.02 04/02/13
Sunshine Heart, Inc. DE 5.02,9.01 03/31/13
Support.com, Inc. DE 1.01,9.01 03/27/13
SWK Holdings Corp DE 1.01 04/02/13
TEAM INC TX 2.02,9.01 04/02/13
TIFFANY & CO DE 1.01,9.01 04/02/13
Trovagene, Inc. DE 2.02,9.01 04/01/13
UIL HOLDINGS CORP CT 7.01,9.01 04/02/13
UNITED ONLINE INC DE 5.02 03/30/13
UNIVERSAL INSURANCE HOLDINGS, INC. DE 1.01,7.01,9.01 04/01/13
URANERZ ENERGY CORP. NV 4.02 03/29/13
URS CORP /NEW/ DE 5.02,9.01 03/27/13
VANGUARD HEALTH SYSTEMS INC DE 8.01,9.01 04/02/13
Vanguard Natural Resources, LLC DE 2.01,7.01,9.01 04/02/13 AMEND
Venaxis, Inc. CO 7.01,9.01 04/02/13
VERIZON COMMUNICATIONS INC DE 8.01,9.01 04/02/13
VIDABLE, INC. NV 5.02,9.01 02/25/13
VII Peaks-KBR Co-Optivist Income BDC MD 8.01,9.01 03/29/13
VISTA GOLD CORP B0 1.01,2.03,3.02,7.01, 03/28/13
9.01
VMWARE, INC. DE 5.07 04/01/13
Volcano Corp DE 5.02,9.01 03/27/13
Vuzix Corp DE 1.01,3.02,8.01,9.01 03/27/13
WALTER INVESTMENT MANAGEMENT CORP MD 1.01,2.03,9.01 03/28/13
Westbury Bancorp, Inc. MD 8.01,9.01 04/01/13
Wheeler Real Estate Investment Trust, MD 8.01,9.01 03/28/13
WILSON BANK HOLDING CO TN 2.02,7.01,9.01 04/01/13
Winthrop Realty Trust OH 5.02,9.01 04/01/13
WISCONSIN PUBLIC SERVICE CORP WI 2.01,9.01 03/28/13
World Energy Solutions, Inc. DE 2.02,4.02,9.01 03/29/13
XCel Brands, Inc. DE 3.02,5.02 03/27/13
Zalicus Inc. DE 8.01,9.01 04/02/13
ZaZa Energy Corp DE 2.02,9.01 04/02/13
http://www.sec.gov/news/digest/2013/dig040313.htm
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