Commission Charges Former Medical Device Company Employee for Illegally Tipping Brother with Quarterly Earnings Data
The Securities and Exchange Commission (Commission) today charged a former employee at a California-based medical device manufacturer with illegally tipping confidential financial data to her brother, who illegally traded in the company’s stock and enabled his hedge fund clients to do the same.
The SEC alleges that ThanhHa Bao, who worked in the finance department at Abaxis Inc., regularly provided material nonpublic information to Tai Nguyen, whose insider trading in advance of the company’s quarterly earnings announcements generated $144,910 in illicit profits. Nguyen, who was charged by the SEC last year, also passed confidential information to clients of his equity research firm Insight Research, including hedge fund managers.
To settle the SEC’s charges, Bao has agreed to pay $144,910 and be barred from serving as an officer or director of a public company for five years.
“When corporate insiders leak confidential information to a select few, the integrity of our markets is undermined,” said Sanjay Wadhwa, Senior Associate Director of the SEC’s New York Regional Office. “Abaxis entrusted ThanhHa Bao with market-moving information, and she violated that trust to financially benefit her family.”
The SEC’s charges stem from its ongoing investigations into expert networks that have uncovered widespread insider trading at several hedge funds and other investment advisory firms. The investigations have so far resulted in enforcement actions against 40 entities or individuals who have reaped more than $430 million in alleged insider trading gains.
According to the SEC’s amended complaint filed in federal court in Manhattan, Bao regularly passed Abaxis quarterly earnings data to Nguyen from 2006 to 2009. Besides illegally trading in his own account, Nguyen passed the inside information to hedge fund managers Barai Capital Management and Sonar Capital Management, which were paying Insight Research tens of thousands of dollars per month as clients. These hedge fund managers traded Abaxis securities based on the inside information provided by Nguyen for more than $7.2 million in illicit gains for the hedge funds. Those who caused the trading at these hedge funds were later charged by the SEC with insider trading.
In a parallel criminal proceeding, Nguyen pleaded guilty and has been sentenced to a year and a day in prison. He also agreed to a criminal forfeiture of $400,000.
The SEC’s amended complaint charges Bao with violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The settlement, which is subject to court approval, requires Bao to pay $144,910 in penalties and be barred from serving as an officer or director of a public company for a period of five years. She also would be permanently enjoined from future violations of the federal securities laws.
The SEC’s investigation, which is continuing, has been conducted by Daniel Marcus and Joseph Sansone – members of the SEC’s Market Abuse Unit in New York – and Matthew Watkins, Neil Hendelman, Diego Brucculeri, and James D’Avino in the New York Regional Office. The investigation has been supervised by Sanjay Wadhwa. The SEC acknowledges the assistance of the U.S. Attorney’s Office for the Southern District of New York and the Federal Bureau of Investigation. (Press Rel. 2013-54)
SEC Investor Advisory Committee Open Meeting on Wednesday, April 11, 2013
The Commission’s Dodd-Frank Investor Advisory Committee will hold a meeting on Thursday, April 11th. The meeting will begin at 10:00 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. Nos. 33-9397, 34-69257; File No. 265-28)
Commission Obtains Temporary Restraining Order against UK Company Operating Fraudulent Profitable Sunrise Internet Scheme and Names Czech Companies as Relief Defendants
On April 4, 2013, the Commission filed an enforcement action against Inter Reef Ltd., doing business as Profitable Sunrise, as a defendant and Melland Company S.R.O., Color Shock S.R.O., Solutions Company S.R.O. and Fortuna-K S.R.O. as relief defendants. The Commission’s complaint was filed in the United States District Court for the Northern District of Georgia.
The Commission’s complaint alleges that Inter Reef, located in the United Kingdom, has operated a fraudulent securities offering over the internet under the name of “Profitable Sunrise” that has been targeted towards investors in the United States. Through its website, promoters and social media, Profitable Sunrise promised investors returns of between 1.6% and 2.7% per business day, compounded daily, on funds invested in various programs that were purportedly to be used to provide loans to businesses at even higher rates. Investors have been encouraged to recruit others for the scheme with promises of percentages of the amounts put in by the new investors. Among other things, the Commission’s complaint alleges that the Profitable Sunrise has promised impossibly high rates of return and misrepresented that investments in the program were insured by a leading investment bank. The fraud appears to have been targeted at religious investors, as Profitable Sunrise’s website contained several Bible verses and the company purported to make frequent charitable donations.
Melland, Color Shock, Solutions Company and Fortuna-K are Czech companies that the Commission alleges have received funds from investors in the United States through transfers at the direction of Profitable Sunrise. At present, a bank account in the name of Color Shock in Hungary has been frozen by authorities there. The Commission has named these Czech companies as relief defendants because they have no right to retain the funds sent to their accounts by investors.
Shortly after the Commission filed its complaint, the Honorable Thomas W. Thrash issued an order granting a temporary restraining order against Inter Reef along with an order directing an accounting, allowing expedited discovery, preventing the destruction of documents and providing for an asset freeze. The Commission may seek additional relief, such as preliminary and permanent injunctions, disgorgement of any ill-gotten gains with prejudgment interest and civil penalties, at a later time. The court’s order also freezes the assets of the relief defendants. [SEC v. Inter Reef, Ltd. dba Profitable Sunrise, Melland Company S.R.O., Color Shock S.R.O., Solutions Company S.R.O. and Fortuna-K S.R.O., Civil Action 1:13-CV-1104 (N.D. Ga.)] (LR- 22666)
Final Judgment Entered Against Former Sales Agent of Massachusetts Company
The Commission announced today that final judgment was entered on April 5, 2013 in its civil injunctive action against David Affeldt, filed in the United States District Court of Massachusetts. Among other things, the judgment orders Affeldt to pay a total of over $200,000 in disgorgement of ill-gotten gains plus pre-judgment interest and a civil penalty.
The Commission’s complaint alleged that Affeldt promoted the offering and sale of unregistered securities issued by Inofin, Inc., a Massachusetts-based consumer finance company. As alleged in the complaint, Inofin through its former executives Michael J. Cuomo of Plymouth, Massachusetts, Kevin Mann, Sr. of Marshfield, Massachusetts and Melissa George of Duxbury, Massachusetts illegally raised at least $110 million from hundreds of investors in 25 states and the District of Columbia through the sale of unregistered notes. According to the SEC’s complaint, Inofin, along with Cuomo, Mann and George, materially misrepresented how the Company was using investor money and the Company’s financial performance. Along with Affeldt the SEC charged Thomas K. (Kevin) Keough – alleging that they promoted the offering and sale of Inofin’s unregistered securities. Keough’s wife Nancy Keough is named in the complaint as a relief defendant for the purposes of recovering proceeds she received as a result of the violations.
Without admitting or denying the allegations in the complaint, Affeldt consented to entry of a permanent injunction prohibiting him from violating Sections 15(a) of the Securities Exchange Act of 1934 (“Exchange Act”) and Sections 5(a) and 5(c) of the Securities Act of 1933 (“Securities Act”).
The final judgment also orders Affeldt to pay disgorgement of $147,039.00, representing profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $12,064.48 for a total of $159,103.48 plus a civil penalty in the amount of $50,000.
The Commission previously obtained final judgments by consent as to Cuomo and Mann which included permanent injunctions prohibiting Cuomo and Mann from violating Section 10(b) of the Exchange Act and Rule 10b-5 promulgated thereunder, and Sections 5 and 17(a) of the Securities Act. The SEC’s action remains pending against Inofin, George, and the Keoughs. [SEC v. Inofin, Inc., Michael J. Cuomo, Kevin J. Mann, Sr., Melissa George, Thomas Kevin Keough, David Affeldt, and Nancy Keough, 1:11-CV-10633 (D. Mass.) (LR- 22667)
In The Matter Of Koninklijke Philips Electronics N.V.
The Commission announced the issuance of an Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order and Disgorgement against Koninklijke Philips Electronics N.V. (Philips). The Order finds that Philips failed to make and keep books, records and accounts which, in reasonable detail, accurately and fairly reflected transactions and dispositions of its assets in violation of the books and records and internal controls provisions of the Foreign Corrupt Practices Act of 1979 (FCPA). The Order finds that Philips’ violations took place through its operations in Poland from at least 1999 through 2007. The violations related to improper payments by employees of Philips’ Polish subsidiary, Philips Polska sp. z o.o. (Philips Poland) to healthcare officials in Poland regarding public tenders proffered by Polish healthcare facilities to purchase medical equipment.
As further described in the Commission’s Order, although Philips failed to implement a system of FCPA compliance and internal controls, upon becoming aware of the violations of Philips Poland in August 2007, the company conducted an internal audit and, in early 2010 self-reported the results of its investigation to the staff of the Commission and the Department of Justice. Philips cooperated with the Commission staff’s investigation. The company also undertook numerous remedial measures.
Based on the above, the Order requires Philips (1) to cease-and-desist from committing or causing any violations and any future violations of Sections 13(b)(2)(A) and 13(b)(2)(B) of the Securities Exchange Act of 1934; and, (2) to pay disgorgement and prejudgment interest in the amount of $4,515,178.00. (Rel. 34-69327, AAE- 3452; File No. 3-15265)
In the Matter of Eddie Douglas Austin, Jr., Esq.
The Commission announced today that it has suspended Eddie Douglas Austin, Jr. from appearing or practicing before the Commission. This action follows Austin’s permanent resignation from the practice of law in Louisiana in lieu of discipline.
The Louisiana Office of Disciplinary Counsel investigated Austin regarding allegations of professional misconduct relating to misuse of client funds. In April 2011, Austin petitioned the Supreme Court of Louisiana for Permanent Resignation from the Practice of Law in Lieu of Discipline per Supreme Court Rule XIX §20.1. On May 3, 2011 the Supreme Court of Louisiana granted Austin’s request for permanent resignation and further permanently barred him from practicing law in Louisiana or any other jurisdiction.
The Commission’s Order was based on Austin’s permanent resignation from the practice of law in Louisiana. (Rel. 34- 69326; File No. 3-15264)
Final Judgment Entered against Prime Rate and Return, LLC
The Commission announced that on April 3, 2013, Chief Judge Norman A. Mordue of the United States District Court for the Northern District of New York entered a final judgment, against Prime Rate and Return, LLC (“Prime Rate”), individually and doing business as American Integrity Financial Company.
Without admitting or denying the allegations of the complaint, Prime Rate, through its court-appointed receiver, Paul A. Levine, Esq., consented to the entry of a final judgment permanently enjoining it from violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The final judgment orders Prime Rate to pay disgorgement of $6.5 million and prejudgment interest of $616,662, but deems disgorgement satisfied by the $71,927 recovered by the receiver plus any additional amount the receiver recovers, after certain court-approved payments and fees, from the sale of a property in which Prime Rate owns an interest.
The Commission filed a complaint on May 3, 2010, alleging that from at least 2002, Ryan and Prime Rate, using a fictional entity called “American Integrity Financial Company” had raised more than $6.5 million from investors — many of them elderly — by promising them “guaranteed” fixed rates of return ranging from 3.85% to 9% annually. Ryan obtained these investments by fostering the false impression that American Integrity was a legitimate, substantial financial services firm, with numerous employees and for which he was merely an employee, and by offering safe, even guaranteed, investments, including qualified individual retirement accounts (“IRAs”).
The Commission’s case is still pending against Matthew Ryan. Ryan has been convicted of securities fraud in a criminal case arising out of the same conduct underlying the Commission’s case and has been barred by the Commission from the securities industry. [SEC v. Matthew John Ryan, et al., 1:10-CV-00513 (N.D.N.Y.)] (LR-22668)
Commission Charges Florida Man with Fraudulently Offering Investments Tied to Oil Drilling Projects
The Commission today announced it has filed a civil injunctive action against Glenn Hoppes, of Clearwater, Florida, and four companies he controls, United States Energy Corp., TN-KY Development Fund LP, TN-KY Development Fund II LP and TN-KY Development Fund III LP, for fraudulently offering unregistered investments in oil drilling projects.
The SEC’s complaint alleges Hoppes hired Joseph Hilton to sell limited partnership units in three oil drilling projects in 2011 and 2012 and financially supported Hilton’s boiler room despite knowing Hilton was barred from acting as a broker by a 2008 SEC enforcement action and was using an alias to avoid association with the prior SEC action. Through Hilton’s efforts, US Energy raised approximately $2.5 million from approximately 100 investors. The US Energy securities offerings were not registered with the SEC as required under the federal securities laws.
According to the SEC’s complaint, Glenn Hoppes also made misrepresentations to investors in the sale of the units. Hoppes misled investors about US Energy’s oil well assets and omitted information from offering material concerning his personal bankruptcy and the prior SEC action against Hilton. The SEC brought an emergency action against Hilton in 2012 for violations of the antifraud and registration provisions of the federal securities laws in connection with his conduct at US Energy and at a subsequent company he founded.
The SEC’s complaint charges Hoppes, US Energy, TN-KY I, TN-KY II and TN-KY III with violations of Sections 5(a) and (c) and 17(a)(2) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5(b). The complaint also charges Hoppes and US Energy with violations of 17(a)(1) and (3) of the Securities Act and Exchange Act Rule 10b-5(a) and (c) and with aiding and abetting Hilton’s Exchange Act Section 15(a) violations. The SEC is seeking disgorgement of ill-gotten gains plus prejudgment interest, civil penalties, and permanent injunctions against Hoppes and his entities. [SEC v. Glenn Hoppes, United States Energy Corp., TN-KY Development Fund LP, TN-KY Development Fund II LP, and TN-KY Development Fund III LP, 13-CV-00868-SDM-AEP (M.D. Fla.)]. (LR-22669)
In The Matter Of Sand Dollar Investing Partners
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against, Sean Nathan Healy. The Order finds that on April 15, 2010, in a civil action entitled Securities and Exchange Commission v. Sean Nathan Healy, Civil Action Number 1:09-CV-1330 (SEC v. Healy), the United States District Court for the Middle District of Pennsylvania entered a judgment against Healy permanently enjoining him from future violations of Section 10(b) of the Exchange Act [15 U.S.C. § 78j(b)] and Rule 10b-5 thereunder [17 C.F.R. § 240.10b-5], and Section 17(a) of the Securities Act of 1933 [15 U.S.C. § 77q(a)]. The Order further finds that on November 23, 2009, Healy tendered a guilty plea in United States v. Sean Nathan Healy, CR-09-319 (MDP)(SHR) (U.S. v. Healy) to two counts of wire fraud in violation of Title 18 United States Code Sections 1341 and 1342, and one count of unlawful monetary transactions in violation of Title 18 United States Code Section 1957.
According to the Order, the Commission’s complaint in SEC v. Healy and the indictment in U.S. v. Healy were based on Healy’s conduct in orchestrating a Ponzi scheme between 2004 and July 2009. In his guilty plea allocution, Healy admitted that he raised approximately $17 million from investors by promising them that he would use those funds to purchase stocks and commodities on their behalf. Healy further admitted that rather than investing those funds as promised, he funded a lavish lifestyle for himself and his wife, which included the purchase of a $2.4 million waterfront mansion; $2 million of in-home improvements; $1.5 million in men’s and women’s jewelry; and numerous exotic vehicles and sport cars, including a Bentley, several Ferraris, Lamborghinis and Porsches worth over $2.3 million. Healy also admitted that he used some of the funds to make Ponzi payments to investors.
Based on the above, the Order bars Healy from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent, and bars him from participating in any offering of a penny stock, including acting as a promoter, finder, consultant, agent or other person who engaged in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. (Rel. 34-69345; File No. 3-15266)
In The Matter Of Timothy J. Roth
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions ("Order") against Timothy J. Roth ("Roth"). The Order finds that on March 21, 2013, a Final Judgment was entered by consent against Roth, permanently enjoining him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and of Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-2 thereunder in the civil action entitled Securities and Exchange Commission v. Timothy J. Roth, et al., Civil Action Number 11-cv-02079, in the United States District Court for the Central District of Illinois. Roth consented to the entry of the Final Judgment in the civil action.
The Commission’s complaint in the civil action alleged that while he was associated with Comprehensive Capital Management, Inc., ("CCM"), a registered investment adviser, Roth and CCM served as investment advisers for the deferred compensation plans of several small businesses located nationwide ("Plans"). The complaint further alleges that from October 2010 through February 2011, Roth stole millions of dollars’ worth of mutual fund shares from the Plans by a) transferring the Plans' mutual fund shares into an account he controlled even though no such transfer had been requested or authorized by the Plans or their participants, then b) selling or redeeming the shares, and c) funneling the money to various companies and accounts under his control or for his benefit. Finally, the complaint alleged that Roth did not tell the Plans or their participants about the unauthorized transfers.
On October 25, 2011, Roth pled guilty to one count of mail fraud in violation of 18 U.S.C. §§ 1341 and 1349 and one count of money laundering in violation of 18 U.S.C. §§ 1957 and 2 before the United States District Court for the Central District of Illinois, in United States v. Timothy J. Roth, No. 11-cr-20048. In connection with that plea, Roth admitted the facts set out in his Plea Agreement and Stipulation of Facts. On January 31, 2013, Roth was sentenced to a prison term of 151 months and ordered to make restitution in the amount of $16,151,964.
Based on the above, the Order bars Roth from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and bars Roth from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. (Rel. 34-69347; IA- 3578; File No. 3-15267)
Immediate Effectiveness of Proposed Rule Change
A proposed rule changed filed by NYSE Arca, Inc. establishing non-display usage fees for NYSE Arca Integrated Feed, NYSE ArcaBook, NYSE Arca Trades, and NYSE Arca BBO, and a redistribution fee for NYSE ArcaBook (SR-NYSEArca-2013-37) 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. 34-69315)
A proposed rule change filed by BATS Y-Exchange, Inc. (SR-BYX-2013-012) related to fees for use of BATS Y-Exchange, Inc. has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week of April 8th. (Release No. 34-69317)
A proposed rule change filed by Miami International Securities Exchange LLC (SR-MIAX-2013-13) to establish an Administrative Information Subscriber (AIS) and AIS Port 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. 34-69320)
A proposed rule change filed by The NASDAQ Stock Market LLC relating to penny pilot and non-penny pilot options (SR-NASDAQ-2013-062) 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. 34-69321)
A proposed rule change filed by The NASDAQ Stock Market LLC relating to Rule 4120 (SR-NASDAQ-2013-061) 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. 34-69322)
A proposed rule change filed by Miami International Securities Exchange LLC (SR-MIAX-2013-14) to establish fees for the MIAX Top of Market (ToM) Data Product 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. 34-69323)
A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-12) relating to amendments to the EDGX Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week of April 8th. (Rel. 34-69324)
Proposed Rule Change
The Commission issued notice of a proposed rule change and Amendment No. 1 thereto submitted by NYSE Arca, Inc. (SR-NYSEArca-2013-34) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to implement a one-year pilot program for issuers of certain exchange-traded products listed on the exchange. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69335)
Order Approving Proposed Rule Change
The Commission approved a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2013-17) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 amending its rules to reflect the merger of NYSE Arca Holdings, Inc., an intermediate holding company, into and with NYSE Group, Inc., thereby eliminating NYSE Arca Holdings, Inc. from the ownership structure of the exchange. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69325)
The Commission granted approval on an accelerated basis of a proposed rule change, modified by Amendments No. 1 and 2, submitted by Chicago Board Options Exchange, Incorporated (SR-CBOE-2013-030) relating to the Regulation NMS Plan to Address Extraordinary Market Volatility. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69328)
The Commission granted approval on an accelerated basis of a proposed rule change, modified by Amendments No. 1 and 2, submitted by International Securities Exchange LLC (SR-ISE-2013-22) to suspend certain market maker quotation requirements and to suspend Rule 720 regarding obvious errors during limit up-limit down states in securities that underlie options traded on the ISE. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69329)
The Commission granted approval on an accelerated basis of a proposed rule change submitted by BOX Options Exchange LLC (SR-BOX-2013-13) to clarify how the Exchange will treat a Market Maker’s quoting obligations when the underlying equity security enters a Limit State or Straddle State. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69330)
The Commission granted approval on an accelerated basis of a proposed rule change submitted by BATS Exchange, Inc. (SR-BATS-2013-016) to modify the BATS Options Market Maker obligation rule. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69331)
The Commission granted approval on an accelerated basis of a proposed rule change submitted by NASDAQ OMX PHLX LLC (SR-Phlx-2013-21) to adopt new Exchange Rule 1047(f)(iv) regarding quoting obligations. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69332)
The Commission granted approval on an accelerated basis of a proposed rule change submitted by The NASDAQ Stock Market LLC (SR-NASDAQ-2013-043) to adopt Chapter V, Section 3(d)(iii) regarding quoting obligations. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69333)
The Commission granted approval on an accelerated basis of a proposed rule change submitted by NASDAQ OMX BX, Inc. (SR-BX-2013-022) to adopt Chapter V, Section 3(d)(iii) regarding quoting obligations. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69334)
Joint Industry Plan: Notice of Filing and Immediate Effectiveness of the Seventeenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan and Ninth Charges Amendment to the Restated Consolidated Quotation Plan
Pursuant to Rule 608 under the Securities Exchange Act of 1934, the Participants of the Consolidated Tape Association Plan and Consolidated Quotation Plan filed a proposal to amend the Second Restatement of the CTA Plan and Restated CQ Plan (SR-CTA/CQ-2013-02) to delay the effective date for the change to the Network B interrogation device fee payable in respect of professional subscribers. Publication of the notice is expected to be made in the Federal Register during the week of April 8th. (Rel. 34-69318)
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-1 BERRY PLASTICS GROUP INC, 101 OAKLEY STREET, PO BOX 959, EVANSVILLE, IN, 47710, 8124242904 - 0 ($357,109,500.00) Equity, (File 333-187740 - Apr. 5) (BR. 06A) S-3ASR CENTENE CORP, 7700 FORSYTH BLVD., ST LOUIS, MO, 63105, 3147254477 - 1,716,690 ($74,779,016.40) Equity, (File 333-187741 - Apr. 5) (BR. 01B) S-3ASR ASPEN INSURANCE HOLDINGS LTD, 141 FRONT STREET, HAMILTON, D0, HM 19, 1 441 295 8201 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187742 - Apr. 5) (BR. 01A) S-1 Textura Corp, 1405 LAKE COOK ROAD, DEERFIELD, IL, 60015, 847-457-6500 - 0 ($50,000,000.00) Equity, (File 333-187745 - Apr. 5) (BR. 03C) S-3ASR PVR PARTNERS, L. P., THREE RADNOR CORPORATE CENTER, 100 MATSONFORD ROAD, SUITE 301, RADNOR, PA, 19087, 610 975 8200 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187757 - Apr. 5) (BR. 02C) S-1 SUSSEX BANCORP, 399 RTE 23, FRANKLIN, NJ, 07416, 9738272914 - 0 ($8,717,633.00) Equity, (File 333-187759 - Apr. 5) (BR. 07C) S-3 SYNTHESIS ENERGY SYSTEMS INC, THREE RIVERWAY, SUITE 300, HOUSTON, TX, 77056, 713-579-0600 - 0 ($75,000,000.00) Other, (File 333-187760 - Apr. 5) (BR. 06B) S-1 NORTH BAY RESOURCES INC, 2120 BETHEL ROAD, LANSDALE, PA, 19446, 215-661-1100 - 27,452,351 ($1,647,141.06) Equity, (File 333-187761 - Apr. 5) (BR. 09A) S-3 AV Homes, Inc., 8601 N. SCOTTSDALE RD., SUITE 225, SCOTTSDALE, AZ, 85253, 4802147400 - 0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-187763 - Apr. 5) (BR. 06B) S-8 CARDICA INC, 900 SAGINAW DRIVE, REDWOOD CITY, CA, 94063, 650-364-9975 - 750,000 ($1,023,750.00) Equity, (File 333-187764 - Apr. 5) (BR. 10A) S-8 SUMMIT FINANCIAL SERVICES GROUP INC, 595 SOUTH FEDERAL HIGHWAY, STE 500, BOCA RATON, FL, 33432, 5613382800 - 5,000,000 ($3,650,000.00) Equity, (File 333-187765 - Apr. 5) (BR. 12A) S-4 CHESAPEAKE OILFIELD OPERATING LLC, 6100 NORTH WESTERN AVENUE, OKLAHOMA CITY, OK, 73118, 405-848-8000 - 0 ($650,000,000.00) Non-Convertible Debt, (File 333-187766 - Apr. 5) (BR. 04) N-2 Eaton Vance Floating-Rate Income Plus Fund, TWO INTERNATIONAL PLACE, BOSTON, MA, 02110, 800-225-6265 - 50,000 ($1,000,000.00) Equity, (File 333-187767 - Apr. 5) (BR. ) S-4 ADVANCED MICRO DEVICES INC, ONE AMD PL, MS 68, SUNNYVALE, CA, 94088-3453, 4087322400 - 0 ($500,000,000.00) Debt, (File 333-187768 - Apr. 5) (BR. 10A) F-3 PEMBINA PIPELINE CORP, 3800, 525 - 8TH AVENUE S.W., CALGARY, A0, T2P 1G1, 403-231-7500 - 25,000,000 ($781,500,000.00) Equity, (File 333-187769 - Apr. 5) (BR. 04) S-1 ATOSSA GENETICS INC, 4105 E MADISON STREET, SUITE 320, SEATTLE, WA, 98112, 206 325 6086 - 2,833,519 ($25,530,006.00) Equity, (File 333-187770 - Apr. 5) (BR. 10A) S-8 JABIL CIRCUIT INC, 10560 NINTH ST NORTH, ST PETERSBURG, FL, 33716, 7275779749 - 0 ($174,277,500.00) Equity, (File 333-187772 - Apr. 5) (BR. 03B) S-3ASR CNA FINANCIAL CORP, CNA, 333 S. WABASH, CHICAGO, IL, 60604, 3128225000 - 0 ($0.00) Other, (File 333-187773 - Apr. 5) (BR. 01A)
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 3DICON CORP OK 5.02,5.03,8.01,9.01 04/04/13 A123 SYSTEMS, INC. DE 7.01,9.01 04/02/13 A123 SYSTEMS, INC. DE 4.01,9.01 04/02/13 ACCESS NATIONAL CORP VA 2.01,9.01 04/02/13 Accretive Health, Inc. DE 5.02 04/01/13 ACETO CORP NY 5.02,9.01 04/03/13 AEHR TEST SYSTEMS CA 8.01,9.01 04/04/13 AFFIRMATIVE INSURANCE HOLDINGS INC DE 5.02,9.01 04/01/13 AFS SenSub Corp. 1.01,8.01,9.01 04/03/13 Ally Auto Assets LLC DE 1.01,8.01,9.01 04/03/13 Alphatec Holdings, Inc. DE 5.02 04/01/13 Altegris QIM Futures Fund, L.P. DE 3.02 04/01/13 Altegris Winton Futures Fund, L.P. CO 3.02 04/01/13 American Petroleum Tankers Parent LLC DE 8.01,9.01 04/02/13 AMERICAN POWER GROUP Corp DE 2.03 04/05/13 American Realty Capital Properties, I MD 8.01,9.01 04/05/13 AmeriCredit Automobile Receivables Tr 8.01,9.01 04/03/13 ANNAPOLIS BANCORP INC MD 2.01,3.01,3.03, 04/05/13 5.01,5.02,5.07,8.01,9.01 Anthera Pharmaceuticals Inc DE 1.01,1.02,2.03, 04/03/13 3. 02,9.01 APRIA HEALTHCARE GROUP INC DE 1.01,2.03,7.01,9.01 04/05/13 ARENA PHARMACEUTICALS INC DE 8.01 04/05/13 Arista Power, Inc. NY 5.02,8.01 04/05/13 Armada Oil, Inc. NV 5.01,5.03,9.01 03/28/13 AMEND AV Homes, Inc. DE 1.01,9.01 04/05/13 Axion Power International, Inc. DE 1.01,5.02 04/01/13 Baltic Trading Ltd 1T 1.01,9.01 04/03/13 BBX CAPITAL CORP FL 1.01,2.01, 04/02/13 2.03,5.02,9.01 BERKSHIRE INCOME REALTY, INC. 5.02 04/01/13 BFC FINANCIAL CORP FL 1.01,5.02,8.01,9.01 04/02/13 BGC Partners, Inc. DE 1.01,7.01,8.01,9.01 04/01/13 BIG 5 SPORTING GOODS CORP DE 5.02,7.01,9.01 04/02/13 BIGLARI HOLDINGS INC. IN 5.07 04/04/13 BioScrip, Inc. DE 1.01,9.01 04/03/13 Black Ridge Oil & Gas, Inc. DE 5.02,9.01 04/05/13 BLUEFLY INC DE 5.02 04/02/13 BLUEGREEN CORP MA 2.01,3.01, 04/02/13 3.03,5.03,9.01 BOB EVANS FARMS INC DE 5.02 04/01/13 Bonanza Creek Energy, Inc. DE 1.01,8.01,9.01 04/04/13 BOSTON PROPERTIES LTD PARTNERSHIP DE 8.01,9.01 04/02/13 Burger King Worldwide, Inc. DE 8.01 04/01/13 Business Development Corp of America MD 8.01,9.01 04/03/13 BUTLER NATIONAL CORP DE 1.01,2.03,9.01 04/05/13 BWAY INTERMEDIATE COMPANY, INC. DE 9.01 01/18/13 AMEND CACHE INC FL 8.01,9.01 04/05/13 Carbon Natural Gas Co DE 1.01,5.02,9.01 03/30/13 Cardium Therapeutics, Inc. DE 1.01,5.03,8.01,9.01 04/04/13 CARDTRONICS INC DE 8.01 04/05/13 CareView Communications Inc NV 8.01 04/02/13 CASELLA WASTE SYSTEMS INC DE 1.01,2.03,9.01 04/04/13 CENTERPOINT ENERGY INC 8.01,9.01 04/05/13 Centor Inc. NV 4.01,9.01 03/14/13 AMEND CENTRAL EUROPEAN MEDIA ENTERPRISES LT 5.02 04/04/13 Chatham Lodging Trust MD 7.01,9.01 04/03/13 China Armco Metals, Inc. NV 2.02,9.01 03/29/13 China Housing & Land Development, Inc NV 2.02,7.01,9.01 04/01/13 Chino Commercial Bancorp CA 8.01,9.01 04/05/13 CIBER INC DE 5.02,9.01 08/21/11 CITIGROUP INC DE 2.02,9.01 04/05/13 CITIZENS REPUBLIC BANCORP, INC. MI 5.07 04/05/13 CLIFFS NATURAL RESOURCES INC. OH 1.04 04/01/13 CNL LIFESTYLE PROPERTIES INC MD 7.01,9.01 03/26/13 Cole Credit Property Trust III, Inc. MD 7.01,8.01,9.01 04/05/13 Cole Credit Property Trust III, Inc. MD 7.01,8.01,9.01 04/05/13 COLLECTORS UNIVERSE INC DE 7.01,9.01 04/04/13 COLUMBIA BANKING SYSTEM INC WA 8.01,9.01 04/04/13 CONSTELLATION BRANDS, INC. DE 5.02 04/02/13 CONTINENTAL RESOURCES, INC OK 1.01,9.01 04/03/13 Cornerstone Core Properties REIT, Inc MD 8.01,9.01 04/04/13 Cornerstone Core Properties REIT, Inc MD 4.01,9.01 04/01/13 CORNING INC /NY NY 2.02,9.01 04/05/13 Corporate Resource Services, Inc. DE 8.01,9.01 04/05/13 CORTEX PHARMACEUTICALS INC/DE/ DE 1.02 03/22/13 CREDIT ACCEPTANCE CORP MI 1.01,2.03,8.01,9.01 04/05/13 Crestwood Midstream Partners LP DE 7.01 04/05/13 CRYO CELL INTERNATIONAL INC DE 2.02,9.01 04/05/13 CYMER INC NV 8.01,9.01 04/05/13 DAKOTA TERRITORY RESOURCE CORP NV 4.01,9.01 04/02/13 AMEND DISH Network CORP NV 1.01,2.03,9.01 04/05/13 DOLE FOOD CO INC DE 5.02,9.01 04/01/13 EnergySolutions, Inc. DE 1.01,8.01,9.01 04/05/13 ENSIGN GROUP, INC 5.02 04/03/13 ENVESTNET, INC. DE 3.01,9.01 04/02/13 ENVESTNET, INC. DE 4.02,9.01 03/29/13 AMEND EQUINIX INC DE 8.01 04/04/13 EXOPACK HOLDING CORP 5.02 04/01/13 EXPRESS, INC. 5.02,9.01 04/01/13 FEDERAL AGRICULTURAL MORTGAGE CORP 5.02,9.01 04/03/13 FIFTH THIRD BANCORP OH 1.01,2.03 04/02/13 FIRST BANCORP /PR/ PR 5.02 04/01/13 First Choice Healthcare Solutions, In DE 8.01,9.01 04/04/13 FIRST CITIZENS BANC CORP /OH OH 2.02,8.01 04/05/13 First Financial Northwest, Inc. WA 8.01,9.01 04/05/13 FIRST MARINER BANCORP MD 2.02,5.02,9.01 04/02/13 FIRST PRIORITY FINANCIAL CORP. PA 5.02 04/03/13 FIRST REAL ESTATE INVESTMENT TRUST OF NJ 5.07 04/04/13 FIRSTMERIT CORP /OH/ OH 5.02,5.07,9.01 04/05/13 FOUR OAKS FINCORP INC NC 4.01 04/05/13 FRONTIER FUND DE 8.01,9.01 04/05/13 GENCO SHIPPING & TRADING LTD 1.01,9.01 04/03/13 GENCORP INC OH 2.02,7.01,9.01 04/05/13 General Finance CORP DE 5.03 04/05/13 Genworth Holdings, Inc. 1.01,2.01, 04/01/13 3.03,5.03,9.01 GLU MOBILE INC DE 5.02,9.01 04/01/13 GMX RESOURCES INC OK 3.01 04/01/13 GRANDPARENTS.COM, INC. DE 1.01,3.02 04/01/13 Graymark Healthcare, Inc. OK 2.03,9.01 04/02/13 GROWLIFE, INC. DE 5.02 04/01/13 GRYPHON GOLD CORP NV 7.01,9.01 04/05/13 GTJ REIT, Inc. MD 9.01 01/17/13 AMEND HALLADOR ENERGY CO CO 8.01 04/05/13 HCP, INC. MD 5.02,9.01 04/05/13 HERTZ CORP DE 7.01,9.01 04/02/13 HERTZ GLOBAL HOLDINGS INC 7.01,9.01 04/02/13 HESKA CORP DE 5.02 04/05/13 HOME DEPOT INC DE 8.01,9.01 04/05/13 HOMELAND ENERGY SOLUTIONS LLC 5.07 04/04/13 HOOPER HOLMES INC NY 5.02,9.01 04/02/13 Horiyoshi Worldwide Inc. NV 8.01 04/05/13 IDAHO POWER CO ID 8.01,9.01 04/03/13 IMPERIAL PETROLEUM RECOVERY CORP NV 1.03 04/03/13 INDUSTRIAL SERVICES OF AMERICA INC /F FL 1.01,3.02,9.01 04/01/13 Inland American Real Estate Trust, In MD 7.01,9.01 04/05/13 INLAND REAL ESTATE CORP MD 8.01,9.01 04/03/13 INTELSAT S.A. N4 1.01,2.03,9.01 04/05/13 INTERNATIONAL LEASE FINANCE CORP CA 1.01,7.01,9.01 04/05/13 INTERSECTIONS INC DE 2.02,7.01,9.01 11/08/12 AMEND INTERSECTIONS INC DE 2.02,7.01,9.01 03/18/13 AMEND INVESTORS REAL ESTATE TRUST ND 8.01,9.01 04/05/13 IPOWorld NV 8.01 04/03/13 JAVA EXPRESS INC NV 1.01,3.02,4.01,5.01,5.02,5.06,9.0103/29/13 KILROY REALTY CORP MD 5.02,9.01 04/04/13 KINGOLD JEWELRY, INC. DE 5.02,9.01 04/03/13 KYTHERA BIOPHARMACEUTICALS INC DE 1.01 04/01/13 LabStyle Innovations Corp. DE 1.01,3.02 04/05/13 Liberty Global, Inc. DE 2.03 03/26/13 AMEND Lifeloc Technologies, Inc CO 5.07 04/01/13 LIFEWAY FOODS INC IL 2.02,9.01 04/01/13 LOT78, INC. NV 1.01,2.01,3.02,5.01, 04/04/13 AMEND 5.02,5.03,8.01,9.01 LOTON, CORP NV 1.01 04/02/13 LRR Energy, L.P. DE 2.01,9.01 04/01/13 LyondellBasell Industries N.V. P7 5.02 04/05/13 Marriott Vacations Worldwide Corp DE 5.02 04/01/13 MATTSON TECHNOLOGY INC DE 5.02,9.01 04/02/13 Medley Capital Corp DE 5.07 04/04/13 Memorial Production Partners LP DE 9.01 03/28/13 AMEND Mesa Energy Holdings, Inc. DE 5.07,8.01 04/01/13 METLIFE INC DE 7.01,9.01 04/05/13 Millennial Media Inc. DE 2.01,5.02,7.01,9.01 04/01/13 Mondelez International, Inc. VA 1.01,2.03 04/04/13 Monster Offers NV 4.01 04/05/13 MPM TECHNOLOGIES INC WA 1.01,1.02,3.02,5.01,5.02,8.01,9.0104/01/13 MRV COMMUNICATIONS INC DE 5.02,9.01 04/01/13 MSC INDUSTRIAL DIRECT CO INC NY 8.01,9.01 04/04/13 MusclePharm Corp NV 1.01,9.01 04/02/13 MV Oil Trust DE 2.02,9.01 04/05/13 MVB FINANCIAL CORP WV 3.02 04/05/13 NETGEAR, INC DE 2.01,5.02,8.01,9.01 04/01/13 Neutral Tandem Inc 5.02 04/04/13 NEW ENERGY TECHNOLOGIES, INC. 7.01,9.01 04/03/13 NEWCASTLE INVESTMENT CORP MD 8.01 04/01/13 NEWLINK GENETICS CORP 5.02,9.01 04/05/13 NEWS CORP 8.01,9.01 04/05/13 NEXT FUEL, INC. NV 3.02,9.01 03/31/13 NICOLET BANKSHARES INC WI 7.01,9.01 04/05/13 NII HOLDINGS INC DE 1.01,7.01,9.01 04/04/13 NV5 Holdings, Inc. DE 1.01,8.01,9.01 04/02/13 OPPENHEIMER HOLDINGS INC DE 4.01,9.01 04/03/13 ORBCOMM Inc. DE 2.01,3.02,5.02,9.01 04/01/13 Orient Paper Inc. NV 8.01,9.01 04/04/13 ORTHOFIX INTERNATIONAL N V 5.02,7.01,9.01 04/01/13 OSL HOLDINGS INC. 5.02 04/01/13 OXYGEN BIOTHERAPEUTICS, INC. DE 3.01 04/04/13 PACIFIC MERCANTILE BANCORP CA 7.01,9.01 04/03/13 PALL CORP NY 5.02,9.01 03/27/13 AMEND Parametric Sound Corp NV 8.01 04/04/13 PASSPORT POTASH INC A1 2.03,3.02,8.01,9.01 04/04/13 PENFORD CORP WA 2.02,9.01 04/05/13 PEOPLES BANCORP OF NORTH CAROLINA INC NC 8.01 04/05/13 PHOENIX COMPANIES INC/DE DE 3.01 04/04/13 PIER 1 IMPORTS INC/DE DE 5.02,7.01,9.01 04/04/13 Pivotal Group Inc. DE 1.01 03/29/13 PLC SYSTEMS INC B0 2.02,9.01 04/05/13 PLY GEM HOLDINGS INC DE 1.01,9.01 04/03/13 PostRock Energy Corp DE 3.02 04/01/13 PREFERRED APARTMENT COMMUNITIES INC MD 1.01,2.03,9.01 04/04/13 QUALITY DISTRIBUTION INC FL 5.02 04/04/13 RELIANCE STEEL & ALUMINUM CO CA 2.03,9.01 04/04/13 Resolute Energy Corp DE 7.01,9.01 04/05/13 Resolute Energy Corp DE 8.01,9.01 03/22/13 AMEND RiceBran Technologies CA 1.01,9.01 04/02/13 RIGEL PHARMACEUTICALS INC DE 8.01,9.01 04/05/13 Ryman Hospitality Properties, Inc. DE 1.01,2.03,8.01,9.01 04/03/13 S&W Seed Co NV 2.01,3.02,8.01,9.01 04/01/13 SCHMITT INDUSTRIES INC OR 5.02 04/01/13 SCICLONE PHARMACEUTICALS INC DE 2.02,9.01 04/01/13 SCICLONE PHARMACEUTICALS INC DE 4.01,9.01 02/18/13 AMEND Sears Oil & Gas 5.03 04/05/13 SEMTECH CORP DE 5.02,8.01,9.01 04/03/13 SENSIENT TECHNOLOGIES CORP WI 5.02 04/04/13 SEQUENTIAL BRANDS GROUP, INC. DE 2.01,9.01 01/24/13 AMEND Shire plc 8.01,9.01 04/05/13 SKYLINE CORP IN 2.02,5.02,9.01 04/05/13 SM Energy Co DE 7.01,9.01 04/04/13 SMART ONLINE INC DE 2.03,3.02,5.02 04/02/13 SOUTHERN CONNECTICUT BANCORP INC CT 8.01 04/02/13 SOUTHWEST AIRLINES CO TX 2.02,9.01 03/31/13 SPAR GROUP INC DE 4.01,9.01 04/04/13 AMEND SPARE BACKUP, INC. DE 4.01,9.01 04/05/13 SPECTRASCIENCE INC MN 2.02,7.01,9.01 04/05/13 Start Scientific, Inc. DE 5.02 04/01/13 Steel Excel Inc. DE 1.01,5.02,9.01 04/04/13 Strategic Storage Trust, Inc. MD 7.01,9.01 04/05/13 STRATUS PROPERTIES INC DE 5.02,9.01 04/01/13 SunCoke Energy, Inc. 7.01,9.01 04/04/13 SYNERGY RESOURCES CORP CO 7.01 04/03/13 TANDY BRANDS ACCESSORIES INC DE 3.01 04/02/13 Targa Resources Partners LP DE 9.01 04/05/13 TECKMINE INDUSTRIES INC. 1.01,9.01 04/02/13 TECO ENERGY INC FL 8.01 04/05/13 Tennessee Valley Authority 5.02,9.01 03/14/13 THERMOENERGY CORP DE 1.02,3.02,5.03,9.01 04/05/13 TIDEWATER INC DE 5.02 04/05/13 Titan Iron Ore Corp. NV 1.01,3.02,9.01 04/01/13 Tower Group International, Ltd. D0 1.01,2.03,9.01 04/03/13 Tower International, Inc. DE 8.01,9.01 04/05/13 TRANS1 INC 5.02 04/02/13 TRANSATLANTIC PETROLEUM LTD. 3.01,9.01 04/02/13 TRANSCAT INC OH 5.02,9.01 04/01/13 TUESDAY MORNING CORP/DE DE 5.02 04/03/13 U.S. Well Services, LLC DE 7.01,9.01 04/05/13 UNIGENE LABORATORIES INC DE 2.05,2.06 04/01/13 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 4.02 04/01/13 AMEND UROPLASTY INC MN 2.02,5.02,9.01 04/05/13 USA Mobility, Inc DE 3.01,9.01 04/02/13 UWHARRIE CAPITAL CORP NC 1.01,8.01 04/03/13 VIASAT INC DE 5.02,9.01 04/04/13 W. P. Carey Inc. MD 7.01,9.01 04/04/13 WashingtonFirst Bankshares, Inc. VA 8.01,9.01 04/05/13 Western Asset Mortgage Capital Corp DE 2.02,9.01 04/02/13 WSI INDUSTRIES, INC. MN 8.01,9.01 04/02/13 X-CHANGE CORP NV 4.01,9.01 04/04/13 XFormity Technologies, Inc. TX 1.01,2.01,9.01 04/01/13 XZERES Corp. NV 1.01,2.03,3.02,7.01 04/01/13 ZIOPHARM ONCOLOGY INC DE 2.02,2.05,5.02 04/02/13 ZYNGA INC DE 5.02,9.01 04/04/13