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U.S. Securities and Exchange Commission

SEC NEWS DIGEST

Issue 2013-65
April 5, 2013

Commission Announcements

SEC Advisory Committee on Small and Emerging Companies Open Meeting on Wednesday, May 1, 2013

The Securities and Exchange Commission’s (Commission) Advisory Committee on Small and Emerging Companies will hold a meeting on Wednesday, May 1. The meeting will begin at 9:30 a.m. in the multi-purpose room at the SEC’s Washington D.C. headquarters. The event also will be viewable by live webcast, and the webcast will be archived on the website for later viewing. (Rel. 33-9399; 34-69316, File No. 265-27)

Commission Meetings

Closed Meeting on Thursday, April 11, 2013 at 2:00 p.m.

The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; other matters relating to enforcement proceedings.

At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400.

ENFORCEMENT PROCEEDINGS

Commission Revokes Registration of Securities of China North East Petroleum Holdings Limited for Failure to Make Required Periodic Filings

On April 5, 2013, the Commission revoked the registration of each class of registered securities of China North East Petroleum Holdings Limited (CNEP) 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, CNEP 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 finding that CNEP 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 CNEP’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against CNEP in In the Matter of China North East Petroleum Holdings Limited, Administrative Proceeding File No. 3-15167.

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 Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of China North East Petroleum Holdings Limited, Administrative Proceeding File No. 3-15167, Exchange Act Release No. 34-69314 (April 5, 2013); Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of China North East Petroleum Holdings Limited., Administrative Proceeding File No. 3-15167, Exchange Act Release No. 68601 (January 8, 2013). (Rel. 34- 69314; File No. 3-15167)

INVESTMENT COMPANY ACT RELEASES

Royce Focus Trust, Inc., et al.

A notice has been issued giving interested persons until April 29, 2013, to request a hearing on an application filed by Royce Focus Trust, Inc., et al., under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Section 19(b) of the Act and Rule 19b-1 under the Act. The order would permit certain registered closed-end investment companies to make periodic distributions of long-term capital gains with respect to their outstanding common stock as frequently as monthly in any one taxable year, and as frequently as distributions are specified by or in accordance with the terms of any outstanding preferred stock that such investment companies may issue. The requested order would supersede a prior order. (Rel. IC-30447 - April 4, 2013)

Royce Value Trust, Inc., et al.

A notice has been issued giving interested persons until April 29, 2013, to request a hearing on an application filed by Royce Value Trust, Inc. (Value Trust), et al. for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) granting an exemption from Sections 12(d)(1)(A) and 12(d)(1)(C) of the Act, under Section 17(b) of the Act granting an exemption from Section 17(a) of the Act, and under Section 17(d) of the Act and Rule 17d-1 thereunder permitting certain joint transactions. The order would permit Value Trust, a registered closed-end investment company, to transfer a segment of its assets to Royce Global Value Trust, Inc. (Global Trust), a wholly-owned subsidiary that is a registered closed-end investment company, and to distribute the shares of Global Trust common stock to Value Trust’s common stockholders. (Rel. IC-30448-April 4, 2013)

TSC Distributors LLC and TSC UITS

A notice has been issued giving interested persons until April 29, 2013, to request a hearing on an application filed by TSC Distributors LLC (TSC) and TSC UITS for an order: (a) under Section 6(c) of the Investment Company Act of 1940 (Act) for exemptions from Sections 2(a)(32), 2(a)(35), 22(d) and 26(a)(2)(C) of the Act and Rule 22c-1 thereunder to permit certain unit investment trusts to impose sales charges on a deferred basis and waive the deferred sales charge in certain cases; (b) under Sections 11(a) and 11(c) of the Act to approve certain exchange and rollover privileges; (c) under Section 6(c) of the Act for an exemption from Section 14(a) of the Act to permit the unit investment trust series to publicly offer their units without TSC having to take for its own account or place with others $100,000 worth of units; and (d) under Section 6(c) of the Act for an exemption from Section 19(b) of the Act and Rule 19b-1 thereunder to permit the series to distribute capital gains resulting from the sale of portfolio securities within a reasonable time after receipt. (Rel. IC- 30449-April 4, 2013)

SELF-REGULATORY ORGANIZATIONS

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2013-33) amending NYSE MKT Rule 1000 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 8th. (Rel. 34-69294)

A proposed rule change filed by New York Stock Exchange LLC (SR-NYSE-2013-27) amending NYSE Rule 1000 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 8th. (Rel. 34-69295)

A proposed rule change filed by the National Stock Exchange, Inc. (SR-NSX-2013-12) to amend its Rule 11.24, Limit Up/Limit Down 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 8th. (Rel. 34-69296)

A proposed rule changed filed by New York Stock Exchange LLC to establish certain fees for the NYSE Trades and NYSE Realtime Reference Prices market data products (SR-NYSE-2013-24) 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 8th. (Rel. 34-69298)

A proposed rule changed filed by NYSE Arca, Inc. establishing certain fees for the NYSE Arca Trades and NYSE Arca Realtime Reference Prices market data products (SR-NYSEArca-2013-31) 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 8th. (Rel. 34-69299)

A proposed rule changed filed by NYSE MKT LLC establishing certain fees for the NYSE MKT Trades and NYSE MKT Realtime Reference Prices market data products (SR-NYSEMKT-2013-31) 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 8th. (Rel. 34-69300)

A proposed rule changed filed by NYSE Arca, Inc. amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services (SR-NYSEArca-2013-32) 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 8th. (Rel. 34-69305)

A proposed rule change filed by BATS-Y Exchange, Inc. (SR-BYX-2013-011) to modify market maker peg order functionality has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69309)

A proposed rule change filed by BATS Exchange, Inc. (SR-BATS-2013-022) to modify market maker peg order functionality has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69310)

A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2013-36) amending Standard Options Transaction 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 April 8th. (Rel. 34-69311)

Notice of No Objection to Advance Notice

The Commission has issued a notice of no objection to an advance notice (File No. SR-NSCC-2012-810) filed by the National Securities Clearing Corporation (NSCC) under Section 806(e)(1)(I) of the Payment, Clearing, and Settlement Supervision Act of 2010 to eliminate the offset of its obligations with institutional delivery transactions that settle at The Depository Trust Company for the purpose of calculating NSCC’s Clearing Fund under Procedure XV of its Rules & Procedures. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69301)

Proposed Rule Change

Pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, NYSE Arca, Inc. has filed a proposed rule change, as modified by Amendment No. 1 (SR-NYSEArca-2013-33), to list and trade the International Bear ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69303).

The National Securities Clearing Corporation (NSCC) filed a proposed rule change (File No. SR-NSCC-2013-02) under Section 19(b)(1) of the Securities Exchange Act of 1934 to institute supplemental liquidity deposits to its Clearing Fund designed to increase liquidity resources to meet its liquidity needs. Publication is expected in the Federal Register during the week of April 8th. (Release No. 34-69313)

Order Approving Proposed Rule Change

The Commission has approved a proposed rule change (SR-FINRA-2013-003), filed by the Financial Industry Regulatory Authority, Inc., to amend the Customer and Industry Codes of Arbitration Procedure to (a) exclude persons associated with a mutual fund or hedge fund from serving as public arbitrators and (b) require individuals to wait for two years after ending certain affiliations before they may be permitted to serve as public arbitrators. Publication is expected in the Federal Register during the week of April 8th. (Rel. No. 34-69297)

The Commission has approved a proposed rule change (File No. SR-NSCC-2012-10) filed by the National Securities Clearing Corporation (NSCC) under Section 19(b)(1) of the Securities Exchange Act of 1934 to eliminate the offset of its obligations with institutional delivery transactions that settle at The Depository Trust Company for the purpose of calculating NSCC’s Clearing Fund under Procedure XV of its Rules & Procedures. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69302)

The Commission granted approval of a proposed rule change (SR-PHLX-2013-005) submitted by NASDAQ OMX PHLX LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder regarding catastrophic errors. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69304)

Designation of Longer Period for Commission Action on Proposed Rule Change

The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-NYSE-2013-07) filed by New York Stock Exchange LLC amending NYSE Rules 451 and 465, and the related provisions of Section 402.10 of the NYSE Listed Company Manual, which provide a schedule for the reimbursement of expenses by issuers to NYSE member organizations for the processing of proxy materials and other issuer communications provided to investors holding securities in street name, and to establish a five-year fee for the development of enhanced brokers internet platforms. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69286)

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.

N-2     Nuveen Flexible Investment Income Fund, 333 WEST WACKER DRIVE, CHICAGO, 
        IL, 60606, 312-917-8146 - 1,000 ($20,000.00) Equity, (File 333-187712 - 
        Apr. 4) (BR. 18)

S-8     EAGLE BANCORP INC, 7815 WOODMONT AVENUE, BETHESDA, MD, 20814, 
        3019861800 - 0 ($12,945,000.00) Equity, (File 333-187713 - Apr. 4) 
        (BR. 07C)

S-8     Howard Bancorp Inc, 6011 University Boulevard, Suite 370, 
        Ellicott City, MD, 21043, 410-750-0020 - 
        631,770 ($5,057,362.78) Equity, (File 333-187714 - Apr. 4) (BR. 07)

S-3     CEF EQUIPMENT HOLDING LLC, 
        1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-187718 - 
        Apr. 4) (BR. OSF)

S-3     WINNEBAGO INDUSTRIES INC, P O BOX 152, FOREST CITY, IA, 50436, 
        5155826808 - 0 ($35,000,001.00) Equity, (File 333-187720 - Apr. 4) 
        (BR. 05C)

S-3ASR  NATIONAL RURAL UTILITIES COOPERATIVE FINANCE CORP /DC/, 
        20701 COOPERATIVE WAY, DULLES, VA, 20166-6691, 7034671800 - 
        3,000,000,000 ($3,000,000,000.00) Debt, (File 333-187721 - Apr. 4) 
        (BR. 07C)

S-8     PRICESMART INC, 9740 SCRANTON ROAD, SAN DIEGO, CA, 92121, 8584048800 - 
        0 ($112,096,137.00) Equity, (File 333-187722 - Apr. 4) (BR. 02B)

S-4     SINCLAIR BROADCAST GROUP INC, 10706 BEAVER DAM ROAD, HUNT VALLEY, MD, 
        21030, 4105681500 - 0 ($500,000,000.00) Debt, (File 333-187723 - 
        Apr. 4) (BR. 11C)

S-4     SINCLAIR BROADCAST GROUP INC, 10706 BEAVER DAM ROAD, HUNT VALLEY, MD, 
        21030, 4105681500 - 0 ($600,000,000.00) Debt, (File 333-187724 - 
        Apr. 4) (BR. 11C)

S-8     HUNTINGTON BANCSHARES INC/MD, HUNTINGTON CTR, 41 S HIGH ST HC0632, 
        COLUMBUS, OH, 43287, 6144808300 - 25,000,000 ($182,750,000.00) Equity, 
        (File 333-187725 - Apr. 4) (BR. 12A)

S-8     Prothena Corp plc, 25-28 NORTH WALL QUAY, DUBLIN, L2, DUBLIN 1, 
        353 1 709 4700 - 0 ($17,080,610.00) Equity, (File 333-187726 - Apr. 4) 
        (BR. 01B)

S-3ASR  Rentech Nitrogen Partners, L.P., 10877 WILSHIRE BOULEVARD, SUITE 600, 
        LOS ANGELES, CA, 90024, 310-571-9800 - 
        0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-187727 - 
        Apr. 4) (BR. 05C)

S-8     W. P. Carey Inc., 50 ROCKEFELLER PLAZA, NEW YORK, NY, 10020, 
        2124921100 - 0 ($27,427,387.00) Equity, (File 333-187729 - Apr. 4) 
        (BR. 08B)

S-8     AMBARELLA INC, 2975 SAN YSIDRO WAY, SANTA CLARA, CA, 95054, 
        408-734-8888 - 1,558,336 ($21,290,655.14) Equity, (File 333-187730 - 
        Apr. 4) (BR. 10A)

S-4     VWR Funding, Inc., 100 MATSONFORD ROAD, P.O. BOX 6660, RADNOR, PA, 
        19087, 610-386-1700 - 0 ($750,000,000.00) Debt, (File 333-187731 - 
        Apr. 4) (BR. 09B)

S-1     CYAN INC, 1383 N MCDOWELL BLVD SUITE 300, PETALUMA, CA, 94954, 
        707-735-2300 - 0 ($75,000,000.00) Equity, (File 333-187732 - Apr. 4) 
        (BR. 03C)

S-1     PRECISION OPTICS Corp INC, 22 EAST BROADWAY, GARDNER, MA, 01440, 
        978-630-1800 - 700,000 ($385,000.00) Equity, (File 333-187734 - Apr. 4) 
        (BR. 10B)

S-1     UCP, LLC, 6489 CAMDEN AVENUE, SUITE 204, SAN JOSE, CA, 95120, 
        408-323-1113 - 0 ($125,000,000.00) Equity, (File 333-187735 - Apr. 4) 
        (BR. )

S-1     Receptos, Inc., 10835 ROAD TO THE CURE, SUITE 205, SAN DIEGO, CA, 
        92121, (858) 652-5712 - 0 ($86,300,000.00) Equity, (File 333-187737 - 
        Apr. 4) (BR. 01B)

S-8     SOUNDBITE COMMUNICATIONS INC, 22 CROSBY DRIVE, BEDFORD, MA, 01730, 
        781-897-2500 - 824,918 ($2,491,252.36) Equity, (File 333-187738 - 
        Apr. 4) (BR. 08C)

S-8     As Seen On TV, Inc., 14044 ICOT BLVD., CLEARWATER, FL, 33760, 
        727-288-2738 - 5,123,763 ($8,667,142.52) Equity, (File 333-187739 - 
        Apr. 4) (BR. 02)

RECENT 8K FILINGS

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

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


3PEA INTERNATIONAL, INC.                NV       2.02,9.01            04/02/13

ABRAXAS PETROLEUM CORP                  NV       1.01,5.02,9.01       04/03/13

Acadia Healthcare Company, Inc.         DE       1.01,9.01            03/29/13

AccelPath, Inc.                         DE       1.01,2.03,           04/01/13
						    3.02,5.03,9.01          

ACURA PHARMACEUTICALS, INC              NY       8.01,9.01            04/04/13

ADVANCE AUTO PARTS INC                  DE       5.02,7.01,9.01       04/04/13

AFFIRMATIVE INSURANCE HOLDINGS INC      DE       1.01,9.01            03/29/13

AFFYMAX INC                             DE       1.02                 04/03/13

AFH ACQUISITION VII, INC.               DE       3.02                 04/04/13

AIS FUTURES FUND IV LP                  DE       3.02                 03/31/13

ALASKA COMMUNICATIONS SYSTEMS GROUP I   DE       5.02,9.01            03/29/13

ALTERNATE ENERGY HOLDINGS, INC.         NV       5.02                 03/30/13

Altisource Portfolio Solutions S.A.     N4       1.01,2.01,9.01       03/29/13

AMAG PHARMACEUTICALS INC.               DE       5.02                 04/01/13

AMARANTUS BIOSCIENCE, INC.              DE       5.03,8.01,9.01       04/01/13

AMERICAN INTERNATIONAL GROUP INC        DE       5.02                 04/01/13

AMERICAN REALTY CAPITAL HEALTHCARE TR   MD       8.01                 04/03/13

AMERICAN SCIENCE & ENGINEERING, INC.    MA       5.02,9.01            03/29/13

AMERICAN SCIENCE & ENGINEERING, INC.    MA       5.02,9.01            04/01/13

AMERISOURCEBERGEN CORP                  DE       8.01,9.01            04/02/13

Ampio Pharmaceuticals, Inc.             DE       1.01,7.01,9.01       03/29/13

ANNALY CAPITAL MANAGEMENT INC           MD       5.02                 03/17/13    AMEND

ANNAPOLIS BANCORP INC                   MD       8.01                 04/04/13

Approach Resources Inc                  DE       7.01,9.01            04/04/13

ARRAY BIOPHARMA INC                     DE       8.01,9.01            04/04/13

ASPEN INSURANCE HOLDINGS LTD            D0       7.01,8.01,9.01       04/04/13

ATHENAHEALTH INC                        DE       5.02,9.01            03/29/13

ATMI INC                                DE       5.03,9.01            04/03/13

AUTOINFO, INC                           DE       8.01                 04/03/13

AWARE INC /MA/                          MA       1.01,5.02,9.01       04/02/13

AXION INTERNATIONAL HOLDINGS, INC.      CO       2.02,9.01            04/01/13

AXION INTERNATIONAL HOLDINGS, INC.      CO       2.02,7.01,9.01       04/01/13    AMEND

BASSETT FURNITURE INDUSTRIES INC        VA       2.02,9.01            04/04/13

BEASLEY BROADCAST GROUP INC             DE       1.01,9.01            04/03/13

Behringer Harvard Opportunity REIT I,   MD       7.01,9.01            04/04/13

BEL FUSE INC /NJ                        NJ       2.01,8.01,9.01       03/29/13

BELK INC                                         2.02,8.01,9.01       04/04/13

BIO-PATH HOLDINGS INC                   UT       2.02,9.01            04/02/13

BIOMET INC                              IN       5.02                 04/02/13

Bitzio, Inc.                            NV       7.01                 04/04/13

BofI Holding, Inc.                      DE       4.01,9.01            03/29/13

BOK FINANCIAL CORP ET AL                OK       5.02                 03/31/13

BOSTON FINANCIAL TAX CREDIT FUND PLUS   MA       8.01                 04/04/13

BPZ RESOURCES, INC.                     TX       7.01,9.01            04/02/13

BRIDGE BANCORP INC                      NY       8.01,9.01            04/04/13

BROADVIEW INSTITUTE INC                 MN       1.01,2.03,3.02,9.01  03/29/13

BRYN MAWR BANK CORP                     PA       5.02,9.01            03/29/13

CANADIAN DERIVATIVES CLEARING CORP      A6       9.01                 03/31/13

CAPSTONE COMPANIES, INC.                FL       8.01,9.01            04/03/13

CARDTRONICS INC                         DE       5.02,9.01            04/04/13

Charter Financial Corp                  MD       8.01,9.01            04/02/13

CHARTER FINANCIAL CORP/GA                        5.07,8.01,9.01       04/02/13

CHESAPEAKE ENERGY CORP                  OK       5.02,7.01,8.01,9.01  03/29/13

China Carbon Graphite Group, Inc.       NV       4.01,9.01            03/31/13

China Carbon Graphite Group, Inc.       NV       4.01,9.01            03/31/13

Chrysler Group LLC                      DE       8.01,9.01            04/02/13

CHS INC                                 MN       5.02                 04/03/13
 
CNL Healthcare Properties, Inc.         MD       1.01                 04/03/13

COMPUWARE CORP                          MI       2.02,9.01            04/03/13

COMPUWARE CORP                          MI       5.02                 03/31/13

Cooper-Standard Holdings Inc.           DE       1.01,2.03,9.01       04/03/13

COPYTELE INC                            DE       8.01,9.01            04/03/13

Corporate Resource Services, Inc.       DE       5.02,5.03            04/04/13

Corporate Resource Services, Inc.       DE       8.01,9.01            04/04/13    AMEND

COUSINS PROPERTIES INC                  GA       5.02                 04/03/13

CSP INC /MA/                            MA       5.02                 04/03/13

Cyclacel Pharmaceuticals, Inc.          DE       8.01,9.01            04/04/13

DecisionPoint Systems, Inc.             DE       2.02,9.01            04/02/13

Dehaier Medical Systems Ltd                      5.02                 03/30/13

Diamond Resorts Corp                    MD       2.02,9.01            04/02/13

Digital Generation, Inc.                DE       5.02                 03/29/13

Diligent Board Member Services, Inc.    DE       4.01,5.02,9.01       04/03/13

DILLARDS INC                            DE       8.01,9.01            04/03/13

DYNAVAX TECHNOLOGIES CORP               DE       5.02,9.01            03/29/13    AMEND

EL CAPITAN PRECIOUS METALS INC          NV       1.01,9.01            04/03/13

Energy Transfer Equity, L.P.            DE       4.01,9.01            04/04/13
 
Energy Transfer Partners, L.P.          DE       8.01,9.01            04/04/13

Energy Transfer Partners, L.P.          DE       4.01,9.01            04/04/13

EnergySolutions, Inc.                   DE       7.01,9.01            04/04/13    AMEND

F5 NETWORKS INC                         WA       2.02,9.01            04/04/13

FARMER BROTHERS CO                      CA       1.01,5.02,9.01       04/01/13

Federal Home Loan Bank of Atlanta       X1       2.03                 04/01/13

Federal Home Loan Bank of Boston        X1       2.03                 04/01/13

Federal Home Loan Bank of Chicago       X1       2.03                 04/01/13

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            04/01/13

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            04/02/13

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            04/04/13

Federal Home Loan Bank of New York      X1       2.03,9.01            04/01/13

Federal Home Loan Bank of Pittsburgh    PA       5.02                 03/29/13

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            04/01/13

Federal Home Loan Bank of San Francis   X1       2.03                 04/01/13

Federal Home Loan Bank of Seattle                2.03                 04/02/13

Federal Home Loan Bank of Topeka                 2.03,9.01            04/01/13

Fifth Street Finance Corp               DE       8.01,9.01            04/04/13

FIRST DEFIANCE FINANCIAL CORP           OH       7.01                 04/04/13
 
FOREVER VALUABLE COLLECTIBLES, INC.     CO       1.01,5.02,9.01       03/30/13

Fortegra Financial Corp                 DE       4.01                 04/03/13

Fortress Investment Group LLC           DE       7.01                 04/04/13

FRANKLIN COVEY CO                       UT       2.02,8.01,9.01       04/04/13

FRANKLIN STREET PROPERTIES CORP /MA/             1.01,9.01            04/03/13

General Moly, Inc                       DE       1.01,2.03,8.01,9.01  04/03/13

GLIMCHER REALTY TRUST                   MD       8.01,9.01            04/04/13

GOLDEN ENTERPRISES INC                  DE       8.01,9.01            04/04/13

GOLDMAN SACHS GROUP INC                 DE       5.02,8.01            04/02/13

GRANDPARENTS.COM, INC.                  DE       1.01,8.01,9.01       03/29/13

GREAT PLAINS ENERGY INC                 MO       8.01                 04/01/13

GREENBRIER COMPANIES INC                OR       2.02,9.01            04/04/13

Hanesbrands Inc.                        MD       2.02,5.02,           04/03/13
						    5.07,7.01,9.01  

HARVEST NATURAL RESOURCES, INC.         DE       2.06,8.01,9.01       04/04/13

HEALTHCARE SERVICES GROUP INC           PA       2.02,5.02,9.01       04/03/13

Heron Lake BioEnergy, LLC               MN       1.01,1.02,9.01       03/29/13

HEWLETT PACKARD CO                      DE       5.02,7.01,8.01,9.01  04/04/13

Horizon Technology Finance Corp         DE       2.02,9.01            04/03/13

HUDSON VALLEY HOLDING CORP              NY       5.02,9.01            04/04/13

IMH Financial Corp                      DE       8.01,9.01            03/29/13

IMMUNOGEN INC                           MA       1.01                 03/29/13

INCOME OPPORTUNITY REALTY INVESTORS I   NV       2.02,9.01            04/03/13

India Globalization Capital, Inc.       MD       2.01,9.01            03/31/13

Infinity Resources Holdings Corp.       NV       1.01,2.03,3.02,9.01  03/29/13

Innophos Holdings, Inc.                          5.02                 03/29/13

INNOVATIVE DESIGNS INC                  DE       8.01,9.01            04/04/13

INTERNATIONAL FLAVORS & FRAGRANCES IN   NY       1.01,9.01            04/01/13

INTERNATIONAL SPEEDWAY CORP             FL       2.02,7.01,8.01,9.01  04/04/13

INTERNET INFINITY, INC.                 DE       5.02                 04/01/13

J C PENNEY CO INC                       DE       5.02,9.01            03/29/13

LA JOLLA PHARMACEUTICAL CO              CA       2.02,9.01            04/04/13

Landmark Apartment Trust of America,             2.01,2.03            08/28/12    AMEND

LAYNE CHRISTENSEN CO                    DE       5.02                 03/29/13

Liberty Global, Inc.                    DE       5.02                 03/29/13

Liberty Media Corp                      DE       2.01,8.01            01/18/13    AMEND

Life Nutrition Products, Inc            DC       1.01,9.01            03/28/13

LIFEAPPS DIGITAL MEDIA INC.             DE       1.01,2.01,7.01,9.01  03/29/13

LIGHTING SCIENCE GROUP CORP             DE       1.01,2.03,9.01       04/01/13

Lightlake Therapeutics Inc.             NV       7.01,9.01            04/04/13

Lightwave Logic, Inc.                   NV       7.01                 04/04/13

LINN ENERGY, LLC                        DE       1.01                 04/03/13

lululemon athletica inc.                DE       8.01,9.01            04/03/13

MAGELLAN HEALTH SERVICES INC            DE       8.01,9.01            04/03/13

MAGNETEK, INC.                          DE       8.01,9.01            04/04/13

MANHATTAN ASSOCIATES INC                GA       5.02,9.01            03/29/13

MANITOWOC CO INC                        WI       5.02                 04/03/13

MEI Pharma, Inc.                        DE       5.02                 03/29/13

Merriman Holdings, Inc                  DE       1.01,3.02,3.03,      03/28/13
						    5.03,5.07,9.01     

MEXICO FUND INC                         MD       7.01,9.01            03/31/13

MFA FINANCIAL, INC.                     MD       5.02,9.01            04/04/13

MICROSTRATEGY INC                       DE       5.02,9.01            03/30/13

Midstates Petroleum Company, Inc.       DE       1.01,7.01,9.01       04/03/13

MOHEGAN TRIBAL GAMING AUTHORITY                  1.01,9.01            03/29/13

Morris Business Development Co          CA       5.02                 04/01/13

NABORS INDUSTRIES LTD                   D0       1.01,5.02,9.01       04/04/13

NAVIDEA BIOPHARMACEUTICALS, INC.        DE       8.01,9.01            04/04/13

NEOPHOTONICS CORP                       DE       2.01,9.01            03/29/13

NETLIST INC                             DE       5.02                 04/01/13

New Source Energy Partners L.P.         DE       1.01,2.01,           03/29/13
						    3.02,7.01,9.01          

NEWFIELD EXPLORATION CO /DE/            DE       7.01,9.01            04/04/13

NEWLINK GENETICS CORP                            8.01,9.01            04/04/13

NEWPORT CORP                            NV       5.02                 04/01/13

NEWS CORP                                        8.01,9.01            04/04/13

NORFOLK SOUTHERN CORP                   VA       8.01                 04/04/13

NOVATION COMPANIES, INC.                MD       8.01,9.01            04/03/13    AMEND

NuStar Energy L.P.                      DE       7.01,9.01            04/04/13

NuStar GP Holdings, LLC                 DE       7.01,9.01            04/04/13

OCWEN FINANCIAL CORP                    FL       1.01,9.01            03/29/13

OM GROUP INC                            DE       2.01,9.01            03/29/13

OMEGA HEALTHCARE INVESTORS INC          MD       5.02                 04/04/13

ORGANOVO HOLDINGS, INC.                 DE       7.01,9.01            04/04/13

Pathfinder Cell Therapy, Inc.           DE       2.03,3.02            04/02/13

PERVASIVE SOFTWARE INC                  DE       8.01                 04/03/13

PG&E Corp                               CA       1.01,2.03            04/01/13

Post Holdings, Inc.                     MO       2.05,9.01            04/03/13

PREFERRED APARTMENT COMMUNITIES INC     MD       2.01                 04/04/13    AMEND

PREMIER FINANCIAL BANCORP INC           KY       7.01,9.01            04/04/13

PROGENICS PHARMACEUTICALS INC           DE       2.01,9.01            04/04/13    AMEND

PROSPECT GLOBAL RESOURCES INC.          NV       5.02                 03/29/13

PROVIDENT NEW YORK BANCORP              DE       8.01,9.01            04/03/13

QLT INC/BC                              A1       8.01,9.01            04/04/13

RadNet, Inc.                            DE       1.01,2.03,8.01,9.01  04/03/13

RECEIVABLE ACQUISITION & MANAGEMENT C   DE       1.01,9.01            03/29/13

Regional Management Corp.               DE       2.03,9.01            03/29/13

Remark Media, Inc.                      DE       1.01,2.01,2.03,9.01  03/29/13

RES CARE INC /KY/                       KY       5.02,9.01            04/03/13

Research Solutions, Inc.                NV       1.01                 03/29/13

ROCKWELL AUTOMATION INC                 DE       5.02                 04/03/13

ROSETTA STONE INC                                8.01,9.01            04/03/13

RPM INTERNATIONAL INC/DE/               DE       2.02,2.04,9.01       03/29/13

SABA SOFTWARE INC                       DE       1.01,2.02,           03/29/13
						    3.01,8.01,9.01          

SABINE ROYALTY TRUST                    TX       2.02,9.01            04/03/13

Samson Oil & Gas LTD                    C3       1.01,9.01            04/03/13

Samson Oil & Gas LTD                    C3       8.01,9.01            04/03/13

SCHULMAN A INC                          DE       5.02,9.01            04/04/13

SEALED AIR CORP/DE                      DE       8.01,9.01            04/04/13

SEITEL INC                              DE       1.01,5.02,9.01       04/01/13

SELECT COMFORT CORP                     MN       7.01                 04/04/13

SIMON PROPERTY GROUP INC /DE/           DE       5.02,9.01            03/29/13

SINCLAIR BROADCAST GROUP INC            MD       1.01,2.03,9.01       04/02/13

SMARTDATA CORP                          NV       8.01,9.01            02/26/13    AMEND

SMITH MIDLAND CORP                      DE       2.02,9.01            04/01/13

SMTC CORP                               DE       5.02,9.01            04/02/13

SMTP, Inc.                              DE       5.02,9.01            04/01/13

Solar Power, Inc.                       CA       2.02,9.01            04/03/13

Southcross Energy Partners, L.P.        DE       7.01,9.01            04/04/13

SOUTHWEST AIRLINES CO                   TX       1.01,1.02,2.03,9.01  04/02/13

SOUTHWEST IOWA RENEWABLE ENERGY, LLC    IA       1.01,2.03,9.01       04/04/13

SPAR GROUP INC                          DE       2.02,9.01            04/02/13

SPHERIX INC                             DE       1.01,8.01,9.01       04/02/13

STERLING BANCORP                        NY       8.01,9.01            04/03/13

STEWART INFORMATION SERVICES CORP       DE       7.01,9.01            04/04/13

STRUCTURED PROD CORP TIERS CORP BND-B   DE       8.01,9.01            04/01/13

STRUCTURED PRODUCTS CORP TIERS R INFL   DE       8.01,9.01            04/01/13
 
Sucampo Pharmaceuticals, Inc.                    7.01,9.01            04/04/13

SUNOCO LOGISTICS PARTNERS L.P.          DE       4.01,9.01            04/01/13

SUPERMEDIA INC.                         DE       5.02,9.01            04/01/13

SUPREME INDUSTRIES INC                  DE       1.01,9.01            03/29/13

SYNERGY PHARMACEUTICALS, INC.           DE       7.01,9.01            04/03/13

TENGION INC                             DE       3.02                 04/02/13

TILLY'S, INC.                           DE       8.01                 04/04/13

Trio Merger Corp.                       DE       7.01,8.01,9.01       04/04/13

Tronox Ltd                              C3       8.01                 04/04/13

Two Harbors Investment Corp.                     8.01,9.01            04/02/13

United Realty Trust Inc                 MD       2.01,2.03,3.02,9.01  03/29/13

United Realty Trust Inc                 MD       2.01                 03/29/13

UNITED SURGICAL PARTNERS INTERNATIONA   DE       8.01                 04/04/13

UNITIL CORP                             NH       7.01,9.01            04/01/13

UNIVERSAL INSURANCE HOLDINGS, INC.      DE       1.01,2.03,9.01       03/29/13

UNIVERSAL STAINLESS & ALLOY PRODUCTS    DE       1.01,9.01            03/29/13

VERINT SYSTEMS INC                      DE       7.01,9.01            04/04/13

VISUALANT INC                           NV       1.01,9.01            03/29/13

Volcano Corp                            DE       5.02                 03/27/13    AMEND
 
VOLT INFORMATION SCIENCES, INC.         NY       1.01,9.01            03/29/13

VWR Funding, Inc.                       DE       5.02,5.07,9.01       03/29/13

Vystar Corp                             GA       5.02,9.01            04/01/13

WD 40 CO                                DE       2.02,9.01            04/04/13

WEIGHT WATCHERS INTERNATIONAL INC       VA       5.02                 04/03/13

WGL HOLDINGS INC                        VA       5.02                 04/01/13

WHITE MOUNTAINS INSURANCE GROUP LTD     D0       7.01,9.01            04/03/13

WIRELESS RONIN TECHNOLOGIES INC         MN       5.02,8.01            03/29/13

WIRELESS TELECOM GROUP INC              NJ       7.01,9.01            04/04/13

WMI HOLDINGS CORP.                      WA       5.03,9.01            04/01/13

WYNDHAM WORLDWIDE CORP                  DE       3.01                 04/04/13

ZYNGA INC                               DE       5.02,9.01            03/29/13

 

http://www.sec.gov/news/digest/2013/dig040513.htm


Modified: 04/05/2013