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Commission announcementsCommission Charges Canada-Based Investment Banker with Insider TradingThe Securities and Exchange Commission (Commission) today charged an investment banker in Toronto with insider trading by using information that he obtained through his job of pitching investment ideas to the Canada Pension Plan Investment Board (CPPIB). The SEC alleges that Richard Bruce Moore, who worked at the Canadian Imperial Bank of Commerce (CIBC), was attempting to obtain a role in a pending acquisition when he learned facts that allowed him to conclude that U.K.-based engineering and manufacturing company Tomkins plc was the CPPIB’s target. Moore misappropriated the information by purchasing Tomkins American Depositary Receipts (ADRs), which trade on the New York Stock Exchange, during the weeks leading up to the acquisition. After the acquisition offer was announced, the closing price of Tomkins ADRs rose 27 percent, and Moore made more than $163,000 in illicit profits. Moore has agreed to settle the SEC’s charges by paying more than $340,000. The Ontario Securities Commission today announced a related action against Moore for insider trading in Tomkins common stock. “Moore spent approximately one-third of his total net worth on purchases of Tomkins securities based on information he learned in the course of his employment,” said Scott W. Friestad, Associate Director of the SEC’s Division of Enforcement. “In today’s interconnected markets, the cooperative relationships among securities regulators mean that those who choose to engage in international insider trading should expect to face consequences across the globe.” According to the SEC’s complaint filed in federal court in Manhattan, the CPPIB was one of Moore’s top clients at CIBC in 2010. His primary contact was a CPPIB managing director who was responsible for taking public companies private. Through Moore’s interactions with the CPPIB, he learned that the Board was working on a large transaction in the United Kingdom. He pieced together nonpublic information to conclude that the Board was going to make an offer to acquire Tomkins. The SEC alleges that Moore used an account in the Channel Islands to purchase 51,350 Tomkins ADRs on the New York Stock Exchange on June 28, 2010. He also purchased a large number of Tomkins common shares on the London Stock Exchange. The CPPIB and a Canadian private equity firm announced the acquisition offer for Tomkins on July 19, 2010. The SEC’s complaint charges Moore with violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. In the settlement, which is subject to court approval, Moore agreed to pay $163,293 in disgorgement, $14,905 in prejudgment interest, and a $163,293 penalty. Moore also agreed to an SEC order that will bar him from the securities industry or participating in a penny stock offering. (Press Rel. 2013-62) Commission Charges Two Arizona-Based Brokers with Defrauding Investors in Tankless Water Heater VentureThe Commission today charged two former brokers in Arizona with stealing investments in a project to develop tankless water heaters. The SEC alleges that Jeffrey Stebbins of Mesa, Ariz., and Corbin Jones of Gilbert, Ariz., diverted at least $1.8 million of investor money for their personal use and fraudulently obtained more than $6 million in stock for themselves to the detriment of investors. Typically used in residences, tankless water heaters are generally designed to instantly heat water as it passes through pipes rather than in large containers like traditional water heaters. Stebbins and Jones personally told investors that all of the money they raised would be used to develop the tankless water heater venture. Instead, they diverted nearly 30 percent of the funds they raised to pay unrelated business expenses and support their lavish lifestyles, including the lease of luxury automobiles. “Stebbins and Jones secretly misappropriated investor funds for their personal use and defrauded investors at every turn,” said Michele Wein Layne, Director of the SEC’s Los Angeles Regional Office. According to the SEC’s complaint filed in U.S. District Court for the District of Arizona, Stebbins and Jones solicited investors for the tankless water heater project during a three-year period by offering securities through a variety of companies. Besides misappropriating $1.8 million for themselves, they fraudulently duped certain shareholders in one of the companies, Noble Systems, to swap their private shares for publicly-traded shares in another company, Noble Innovations. This turned out to be nothing more than a fraudulently orchestrated stock swap enabling Stebbins and Jones to reap more than $6 million worth of Noble Innovations stock at the expense of these shareholders who were left with almost nothing. Stebbins and Jones also deprived early investors in the water heater venture of more than $1 million of Noble Innovations stock that rightfully belonged to them. Throughout much of this time, Stebbins and Jones traded Noble Innovations stock by using 28 accounts in 18 different names with 14 separate brokers to ultimately profit by more than $557,000. Stebbins and Jones never reported their significant holdings in Noble Innovations as they were required to do under the securities laws. The SEC’s complaint charges Stebbins and Jones with violating the antifraud, broker-dealer registration, and beneficial ownership reporting provisions of the federal securities laws. The SEC is seeking disgorgement of ill-gotten gains and prejudgment interest, financial penalties, injunctions, and penny stock bars. The SEC separately issued an order to revoke the registration of Noble Innovations securities due to the company’s failure to make required periodic filings. (Press Rel. 2013-63) Enforcement proceedingsSEC Charges Parker Drilling Company with Violating the Foreign Corrupt Practices ActThe Commission today charged Parker Drilling Company, a worldwide drilling services and project management firm, with violating the Foreign Corrupt Practices Act (FCPA) by authorizing improper payments to a third-party intermediary retained to assist the company in resolving customs disputes. The SEC’s complaint, filed in federal district court in Alexandria, Virginia, alleges that in 2004 Parker Drilling authorized payments to a Nigerian agent totaling $1.25 million. The company did so despite former senior executives knowing that the agent intended to use the funds to “entertain” Nigerian officials involved in resolving Parker Drilling’s ongoing customs problems. Following the Nigerian agent’s work, the company received an unexplained $3,050,000 reduction of a previously assessed customs fine, and the company was permitted to nationalize and sell its Nigerian rigs. To settle the SEC’s charges, Parker Drilling will pay disgorgement of $3,050,000 plus pre-judgment interest of $1,040,818. Parker Drilling consented to the entry of a final judgment permanently enjoining it from violating Sections 30A, 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act. The proposed settlement is subject to court approval. In the parallel criminal proceedings, the Department of Justice entered into a Deferred Prosecution Agreement with Parker Drilling in which the company will pay an $11,760,000 penalty. The SEC acknowledges the assistance of the Department of Justice’s Fraud Section, the Federal Bureau of Investigation, and the United Kingdom’s Crown Prosecution Service and Metropolitan Police Service. [SEC v. Parker Drilling Company, Civil Action No. 1:13CV461 (E.D. Va.)(April 16, 2013)] (LR- 22672; AAER-3454). Court Enters Preliminary Injunction Against Inter Reef D/B/A Profitable Sunrise and Extends Asset Freeze OrderOn April 15, 2013, the Honorable Thomas W. Thrash of the United States District Court for the Northern District of Georgia issued an order of preliminary injunction against violations of the registration and antifraud provisions of the federal securities laws in the civil action brought by the United States Securities and Exchange Commission against Inter Reef, Ltd. dba Profitable Sunrise and four Czech companies named as relief defendants. The Commission filed its complaint on April 4 and in its complaint alleged 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. The Commission’s complaint also named Melland Company S.R.O., Color Shock S.R.O., Solutions Company S.R.O. and Fortuna-K S.R.O. as relief defendants, alleging that they received funds from investors at the direction of Profitable Sunrise. The Court issued a temporary restraining order and granted other relief on the same day the Commission filed its complaint. In its April 15 order, the court found that the Commission had established a prima facie case that Inter Reef had violated Sections 5(a) and (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 and preliminarily enjoined it from further violations. The court also continued its freeze on the assets of Inter Reef and the relief defendants. For further information, see Litigation Release No. 22666 (April 5, 2013). [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-TWT (N.D.Ga.) (April 4, 2013)] (LR- 22673) Commission Charges Former Investment Banker with Insider TradingThe Commission today announced that it filed a settled insider trading civil action in U.S. District Court for the Southern District of New York against former investment banker Richard Bruce Moore. Moore is a Canadian citizen and a former investment banker at Canadian Imperial Bank of Commerce (CIBC). The SEC alleged in its complaint that Moore purchased American Depositary Receipts (ADRs) of Tomkins plc, a United Kingdom engineering and manufacturing company, ahead of an announcement that the Canada Pension Plan Investment Board (CPPIB) and a Canadian private equity firm had approached Tomkins with a takeover offer. According to the complaint, Moore’s job at CIBC included pitching investment ideas to the CPPIB. During 2010, in the course of his efforts to get CIBC a role in CPPIB transactions, Moore came to learn information that allowed him to conclude that the Board was working on an offer to acquire Tomkins. The complaint further alleges that, on June 28, 2010, Moore misappropriated that information from CIBC by purchasing 51,350 Tomkins ADRs on the New York Stock Exchange. On July 19, 2010, the day the offer was announced, the closing price of Tomkins ADRs rose 27 percent, from $13.87 to $17.67 a share. The complaint alleges that, through his purchase of the ADRs, Moore realized illicit gains of more than $163,000. The SEC’s complaint charged Moore with violating the antifraud provisions of the Securities Exchange Act of 1934. Without admitting or denying the allegations in the Commission’s complaint, except for his admission of jurisdiction and certain facts agreed to in a parallel settlement with the Ontario Securities Commission, Moore consented to the entry of a proposed final judgment enjoining him from future violations of the antifraud provisions, ordering him to pay $163,293 in disgorgement plus $14,905 in prejudgment interest thereon, and imposing a $163,293 penalty. The settlement is subject to approval by the district court. Moore has also agreed to an SEC administrative Order that would be based on entry of an injunction against him in the insider trading civil action and would bar him from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent, and from participating in any penny stock offering. Moore also purchased a large number of Tomkins common shares on the London Stock Exchange ahead of the acquisition offer announcement. In a parallel action, the Ontario Securities Commission today announced charges against Moore based on his trading in Tomkins common shares and his trading in a second, unrelated stock. [SEC v. Richard Bruce Moore, Civil Action No. 13-cv-2514 (HB) (S.D.N.Y.)(April 16, 2013)] (LR- 22674) Final Judgments Entered Against Distributor and Investment AdviserOn April 15, 2013, a Minnesota federal court entered final judgments by consent against Michael Bozora, Timothy Redpath, Capital Solutions Distributors, LLC (CSD) and Capital Solutions Management, LP (CSM), in a civil injunctive action filed by the Commission on September 21, 2010. The Commission alleged in its complaint that Bozora and Redpath, who owned and controlled CSD, the distributor of the Capital Solutions Monthly Income Fund, and CSM, the Fund’s investment adviser, made several written and oral representations to Fund investors that were materially misleading because they claimed the Fund was enjoying success and weathering disruptions in the credit and real estate markets. According to the complaint, Bozora and Redpath failed to make any meaningful disclosure of the default by the Fund’s sole borrower, the Fund’s subsequent foreclosure on the borrower’s assets, and the resulting loss of any significant investment income to the Fund. The complaint further alleged that Bozora made unsuitable recommendations for investors to purchase a note issued by CS Financing Corporation, an entity at which Bozora served as the President. The final judgments enjoin Bozora, Redpath, CSD, and CSM from future violations of Sections 17(a)(2) and (3) of the Securities Act of 1933. The final judgments also ordered: i) Bozora to pay disgorgement of $538,529 and prejudgment interest of $76,236, and a $130,000 civil penalty; (ii) Redpath to pay disgorgement of $606,424 and prejudgment interest of $79,545, and a $130,000 civil penalty; (iii) CSD to pay disgorgement of $2,819,015 and prejudgment interest of $408,585, and a $130,000 civil penalty; and (iv) CSM to pay disgorgement of $1,342,581 and prejudgment interest of $166,896, and a $130,000 civil penalty. [SEC v. True North Finance Corp., et al., Case No. 10-cv-3995 (D. Minn.)(April 15, 2013)] (LR-22675) Former Siemens Executive Uriel Sharef Settles Commission Bribery ChargesThe Exchange Commission announced today that on April 15, 2013, the U.S. District Court for the Southern District of New York entered a final judgment against Uriel Sharef, a former officer and board member of Siemens Aktiengesellschaft (Siemens). The settlement resolves the Commission’s civil action against Sharef for his role in Siemens’ decade-long bribery scheme to retain a $1 billion government contract to produce national identity cards for Argentine citizens. The final judgment, to which Sharef consented, enjoins him from violating the anti-bribery and related internal controls provisions of the FCPA and orders him to pay a $275,000 civil penalty, the second highest penalty assessed against an individual in an FCPA case. On December 13, 2011, the Commission filed a civil action against Uriel Sharef and six other defendants, alleging that between 2001 and 2007, Sharef, along with other Siemens executives, paid bribes to senior government officials in Argentina in connection with a government contract to provide national identity cards to all Argentine citizens. The officials included two Argentine presidents and cabinet ministers in two presidential administrations. During this period, Sharef was a member of Siemens Managing Board, or “Vorstand,” and was the most senior officer charged in connection with the scheme. Sharef met with payment intermediaries in the United States and agreed to pay $27 million in bribes to Argentine officials. Sharef also enlisted subordinates to conceal the payments by circumventing Siemens’ internal accounting controls. According to the SEC's complaint, approximately $31.3 million of the $100 million in bribes paid were made after March 12, 2001, when Siemens became a U.S. issuer subject to U.S. securities laws. As a result of the bribe payments it made, Siemens received an arbitration award in 2007 against the government of Argentina of more than $217 million plus interest for the contract. In August 2009, after settling bribery charges with the U.S. and Germany, Siemens waived the arbitration award. The final judgment permanently enjoins Sharef from violating Sections 30A and 13(b)(5) of the Securities Exchange Act of 1934, and Rule 13b2-1 thereunder, and from aiding and abetting Siemens’ violations of Exchange Act Sections 13(b)(2)(A) and13(b)(2)(B). The judgment also orders Sharef to pay a civil penalty of $275,000. Sharef settled the SEC charges without either admitting or denying the allegations in the SEC’s complaint. The SEC appreciates the assistance of the U.S. Department of Justice, Fraud Section, the Federal Bureau of Investigation, and the Office of the Prosecutor General in Munich, Germany in this matter. [SEC v. Uriel Sharef, et al., 11-Civ.-09073 (S.D.N.Y.) (SAS)(April 15, 2013)] (LR- 22676) Commission Charges Two Arizona-Based Brokers with Defrauding Investors in Tankless Water Heater VentureThe Commission filed a complaint today in the United States District Court for the District of Arizona, charging two former brokers in Arizona with stealing investments in a project to develop tankless water heaters. The SEC alleges that Jeffrey Stebbins of Mesa, Ariz., and Corbin Jones of Gilbert, Ariz., diverted at least $1.8 million of investor money for their personal use and fraudulently obtained more than $6 million in stock for themselves to the detriment of investors. Often used in residences, tankless water heaters are generally designed to instantly heat water as it passes through pipes rather than in large containers like traditional water heaters. Stebbins and Jones personally told investors that all of the money they raised would be used to develop the tankless water heater venture. Instead, they diverted nearly 30 percent of the funds they raised to pay unrelated business expenses and support their lavish lifestyles, including the lease of luxury automobiles. According to the SEC’s complaint, Stebbins and Jones solicited investors for the tankless water heater project during a three-year period by offering securities through a variety of companies. Besides misappropriating $1.8 million for themselves, they fraudulently duped certain shareholders in one of the companies, Noble Systems, to swap their private shares for publicly-traded shares in another company, Noble Innovations. This turned out to be nothing more than fraudulently orchestrated stock swap enabling Stebbins and Jones to reap more than $6 million worth of Noble Innovations stock at the expense of these shareholders who were left with almost nothing. Stebbins and Jones also deprived early investors in the water heater venture of more than $1 million of Noble Innovations stock that rightfully belonged to them. Throughout much of this time, Stebbins and Jones traded Noble Innovations stock by using 28 accounts in 18 different names with 14 separate brokers to ultimately profit by more than $557,000. Stebbins and Jones never reported their significant holdings in Noble Innovations as they were required to do under the securities laws. The SEC’s complaint charges Stebbins and Jones with violating the antifraud, broker-dealer registration, and beneficial ownership reporting provisions of the federal securities laws. The SEC is seeking disgorgement of ill-gotten gains and prejudgment interest, financial penalties, injunctions, and penny stock bars. In a related action, the Commission issued a settled Order Instituting Proceedings Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Making Findings, and Revoking Registration of Securities revoking registration of each class of Noble Innovations, Inc.’s securities due to the company’s failure to make required periodic filings. (Rel. 34-69380; File No. 3-15278) [SEC v. Stebbins, et al., Civil Action No. CV 13-755-PHX-SRB, (D. Ariz.)(April 16, 2013)] (LR-22677) Commission Revokes Registration of Securities of Noble Innovations, Inc. for Failure to Make Required Periodic FilingsOn April 16, 2013, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the registration of each class of registered securities of Noble Innovations, Inc. (Noble Innovations) for failure to make required periodic filings with the Commission. In its Order Instituting Proceedings Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Making Findings, and Revoking Registration of Securities (Order), the Commission found that Noble Innovations had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder, while its common stock was registered with the Commission, in that Noble Innovations had not filed an Annual Report on Form 10-K since April 16, 2010 or periodic or quarterly reports on Form 10-Q for any fiscal period subsequent to its fiscal quarter ended September 30, 2009. Without admitting or denying the findings, Noble Innovations consented to the entry of the Order revoking the registration of each class of its securities registered with the Commission pursuant to Section 12 of the Exchange Act. Further, brokers and dealers should be alert to the fact that, 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 pursuant to the preceding sentence. (Rel. 34-69380; File No. 3-15278) Immediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2013-063) to amend Rules 7014 and 7018 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 15th. (Rel. 34-69376). A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-13) to amend Footnote 4 of the Exchange’s Fee Schedule regarding Retail Orders 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 15th. (Rel. 34-69378) 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 PARK CITY GROUP INC, 299 S. MAIN STREET, SUITE 2370, SALT LAKE CITY,
UT, 84111, 435-645-2100 - 0 ($3,917,325.96) Equity, (File 333-187902 -
Apr. 15) (BR. 03B)
S-3ASR Allison Transmission Holdings Inc, ONE ALLISON WAY, Indianapolis, IN,
46222, (317) 242-5000 - 0 ($0.00) Equity, (File 333-187903 - Apr. 15)
(BR. 05A)
S-1 GemShares Physical Diamond Trust, P.O. BOX 412, GLENCOE, IL, 60022,
312-226-3139 - 0 ($1,000,000.00) Equity, (File 333-187904 - Apr. 15)
(BR.)
S-1 Romantique Ltd., 64 WEST 48TH STREET, SUITE 1107, NEW YORK, NY, 10036,
212-840-8477 - 2,213,750 ($5,007,500.00) Equity, (File 333-187917 -
Apr. 15) (BR.)
S-3ASR ORACLE CORP, 500 ORACLE PARKWAY, MAIL STOP 5 OP 7, REDWOOD CITY, CA,
94065, 6505067000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-187919 - Apr. 15) (BR. 03B)
S-8 ORACLE CORP, 500 ORACLE PARKWAY, MAIL STOP 5 OP 7, REDWOOD CITY, CA,
94065, 6505067000 - 0 ($260,159,410.00) Equity, (File 333-187924 -
Apr. 15) (BR. 03B)
S-3 PREFERRED APARTMENT COMMUNITIES INC, 3625 CUMBERLAND BOULEVARD,
SUITE 400, ATLANTA, GA, 30339, 770 818 4100 -
5,714,274 ($54,457,031.22) Equity, (File 333-187925 - Apr. 15) (BR. 08C)
S-8 TECOGEN INC., 45 FIRST AVENUE, WALTHAM, MA, 02451, 781-466-6400 -
4,926,732 ($3,941,385.60) Equity, (File 333-187928 - Apr. 15) (BR. 06B)
S-3 CACHE INC, 1440 BROADWAY, 5TH FLOOR, NEW YORK, NY, 10018,
212-575-3248 - 0 ($18,666,663.00) Equity, (File 333-187929 - Apr. 15)
(BR. 09B)
S-4 Truven Health Analytics Inc., 777 E. EISENHOWER PARKWAY, ANN ARBOR, MI,
48108, 1-800-366-7526 - 0 ($327,150,000.00) Debt, (File 333-187931 -
Apr. 15) (BR.)
S-4 AMR CORP, 4333 AMON CARTER BLVD, FORT WORTH, TX, 76155, 8179631234 -
0 ($3,645,958,475.00) Equity, (File 333-187933 - Apr. 15) (BR. 05A)
S-3 DISCOVERY LABORATORIES INC /DE/, 2600 KELLY ROAD, SUITE 100,
WARRINGTON, PA, 18976, 2154889300 - 2,340,000 ($5,218,200.00) Equity,
(File 333-187934 - Apr. 15) (BR. 01A)
Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
ACACIA RESEARCH CORP DE 8.01 04/12/13
ACM Corp NV 5.02 04/09/13
ACORDA THERAPEUTICS INC 8.01,9.01 04/15/13
AETHLON MEDICAL INC NV 1.01 04/11/13
AG Mortgage Investment Trust, Inc. MD 1.01,2.03,9.01 04/12/13
Alexander & Baldwin, Inc. HI 7.01 12/31/12
ALLEGHANY CORP /DE DE 5.02,9.01 04/15/13
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 04/15/13
Allison Transmission Holdings Inc DE 2.02,7.01,9.01 04/15/13
Alpha Lujo, Inc. NY 5.02 04/15/13
ALPHARX INC DE 8.01,9.01 04/12/13
AMARU INC NV 8.01 04/15/13
AMERICAN EXPRESS CO NY 7.01 04/15/13
AMERICAN EXPRESS CO NY 5.02,9.01 04/15/13
American Realty Capital Properties, I MD 7.01,9.01 04/15/13
AMERICAN SPECTRUM REALTY INC MD 2.02,9.01 04/12/13
Anacor Pharmaceuticals, Inc. DE 5.02 04/09/13
Andina Acquisition Corp E9 8.01 04/11/13
APOLLO SOLAR ENERGY, INC. NV 5.02 04/09/13
APPLIED MICRO CIRCUITS CORP DE 1.01,9.01 04/11/13
Approach Resources Inc DE 2.02,7.01,9.01 04/15/13
ARES CAPITAL CORP MD 7.01 04/15/13
ARTS WAY MANUFACTURING CO INC DE 2.02,9.01 04/15/13
ASI ENTERTAINMENT INC DE 4.01 04/10/13
ASTA FUNDING INC DE 4.01,9.01 04/09/13
ATLANTIC POWER CORP A1 2.01,8.01,9.01 04/12/13
Atlas Financial Holdings, Inc. E9 8.01,9.01 04/12/13
AVRA Surgical Robotics, Inc. DE 8.01 04/08/13
Babcock & Wilcox Co DE 1.01,9.01 04/12/13
BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 04/15/13
BIOMERICA INC DE 3.02 04/08/13
Biota Pharmaceuticals, Inc. DE 2.05,9.01 04/10/13
BNC BANCORP NC 5.02,9.01 04/10/13
BOSTON PROPERTIES INC DE 8.01,9.01 04/15/13
BOSTON PROPERTIES LTD PARTNERSHIP DE 8.01,9.01 04/15/13
BRIGHT MOUNTAIN HOLDINGS, INC. NV 3.02 02/08/13
BROWN & BROWN INC FL 2.02 04/13/13
CABELAS INC DE 7.01,9.01 04/15/13
CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 04/15/13
CASEYS GENERAL STORES INC IA 7.01 04/15/13
CASS INFORMATION SYSTEMS INC MO 2.02,9.01 04/15/13
CATASYS, INC. DE 1.01,3.02,9.01 04/10/13
CENTER BANCORP INC NJ 5.02,5.03,9.01 04/10/13
CENTERPOINT ENERGY INC 1.01,9.01 04/11/13
CENTRAL EUROPEAN DISTRIBUTION CORP DE 8.01 04/12/13
Chanticleer Holdings, Inc. DE 1.01 04/11/13
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 04/12/13
CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 04/15/13
CHEMICAL FINANCIAL CORP MI 2.02,9.01 04/15/13
CIRCOR INTERNATIONAL INC DE 5.02,7.01,9.01 04/09/13
CITIGROUP INC DE 2.02,9.01 04/15/13
CITIZENS INC CO 8.01,9.01 04/15/13
COEUR D ALENE MINES CORP ID 2.02,5.02,9.01 04/11/13
COFFEE HOLDING CO INC NV 5.02,5.07 04/11/13
COLE REAL ESTATE INCOME STRATEGY (DAI MD 8.01 04/05/13
CommonWealth REIT MD 5.03,8.01,9.01 04/12/13
CONCUR TECHNOLOGIES INC DE 2.02,9.01 04/15/13
CORE LABORATORIES N V P7 7.01,9.01 04/15/13
CoroWare, Inc, DE 9.01 04/15/13
CPI CORP DE 8.01,9.01 04/09/13
CPI CORP DE 8.01 04/15/13 AMEND
CRAILAR TECHNOLOGIES INC A1 8.01,9.01 04/12/13
Crystal Rock Holdings, Inc. DE 8.01,9.01 04/12/13
Delek US Holdings, Inc. 7.01,9.01 04/15/13
DEVRY INC DE 7.01 04/15/13
DIAGNOSTIC IMAGING INTERNATIONAL CORP NV 8.01 04/15/13
Diligent Board Member Services, Inc. DE 4.01,9.01 04/03/13 AMEND
Discover Financial Services DE 7.01,9.01 04/15/13
DISCOVERY LABORATORIES INC /DE/ DE 8.01,9.01 04/15/13
DISH Network CORP NV 8.01,9.01 04/15/13
Diversified Restaurant Holdings, Inc. NV 1.01,9.01 04/15/13
DOUBLE CROWN RESOURCES INC. NV 4.01 04/01/12 AMEND
DOUBLE EAGLE PETROLEUM CO MD 7.01,8.01,9.01 04/15/13
DreamWorks Animation SKG, Inc. 5.02 04/09/13
Dryrock Issuance Trust DE 1.01,9.01 04/15/13
DTS8 COFFEE COMPANY, LTD. NV 8.01,9.01 04/15/13
Dynamic Nutra Enterprises Holdings, I NV 7.01,9.01 04/12/13
Earn-A-Car Inc. NV 1.01,2.01, 12/07/11 AMEND
5.01,5.02,5.06,9.01
EASTMAN KODAK CO NJ 8.01 04/15/13
EATON VANCE CORP MD 5.02,9.01 04/05/12 AMEND
ECOTALITY, INC. NV 2.02,9.01 04/15/13
Eight Dragons Co. 4.01 04/15/13
EMTEC INC/NJ UT 2.02,9.01 04/15/13
ENDOLOGIX INC /DE/ DE 5.02,8.01,9.01 04/15/13
Energy Future Holdings Corp /TX/ TX 7.01 04/15/13
EnerJex Resources, Inc. NV 7.01,9.01 04/15/13
ENGLOBAL CORP NV 2.02,9.01 04/15/13
Ensco plc 7.01,9.01 04/15/13
Entertainment Gaming Asia Inc. NV 8.01 04/15/13
ESSEX PROPERTY TRUST INC MD 1.01,2.03,9.01 04/15/13
FactorShares 2X: Gold Bull/S&P500 Bea 8.01,9.01 04/15/13
FactorShares 2X: Oil Bull/S&P500 Bear 8.01,9.01 04/15/13
FactorShares 2X: S&P500 Bull/TBond Be 8.01,9.01 04/15/13
FactorShares 2X: S&P500 Bull/USD Bear 8.01,9.01 04/15/13
FactorShares 2X: TBond Bull/S&P500 Be 8.01,9.01 04/15/13
Fidelity National Information Service 1.01,2.03,8.01,9.01 04/10/13
First Clover Leaf Financial Corp. MD 5.02,9.01 04/11/13
FIRST MARINER BANCORP MD 1.02,9.01 04/09/13
First Trinity Financial CORP OK 5.02,9.01 04/10/13
Florida East Coast Holdings Corp. FL 5.02 04/11/13
FLUIDIGM CORP DE 1.01 04/09/13
FLUOROPHARMA MEDICAL, INC. NV 1.01,5.02,8.01,9.01 04/09/13
Fortress International Group, Inc. DE 5.02,9.01 04/11/13
FS Energy & Power Fund DE 2.02 04/09/13
FS Investment Corp II MD 2.02 04/09/13
FUQI INTERNATIONAL, INC. DE 8.01 04/15/13
GOOD TIMES RESTAURANTS INC NV 1.01,2.01, 04/15/13
5.02,8.01,9.01
GREER BANCSHARES INC SC 2.02,9.01 04/15/13
GTX INC /DE/ DE 8.01,9.01 04/15/13
HANCOCK HOLDING CO MS 5.07 04/12/13
HARTFORD FINANCIAL SERVICES GROUP INC DE 8.01,9.01 04/15/13
HCA Holdings, Inc. 2.02,7.01,9.01 04/15/13
HECLA MINING CO/DE/ DE 1.01,1.02,2.03,9.01 04/12/13
HEMISPHERE MEDIA GROUP, INC. DE 1.01,5.02,9.01 04/09/13
Heron Lake BioEnergy, LLC MN 5.02 04/08/13
Heron Lake BioEnergy, LLC MN 1.01,9.01 04/12/13
HILLS BANCORPORATION IA 2.01,7.01,9.01 04/15/13
HOPFED BANCORP INC DE 8.01,9.01 04/15/13
HOSPIRA INC DE 5.02 04/15/13
HUDSON CITY BANCORP INC DE 1.01,9.01 04/13/13
Hyatt Hotels Corp DE 2.04,8.01,9.01 04/15/13
IBERIABANK CORP LA 7.01,9.01 04/15/13
Iconic Brands, Inc. NV 8.01 03/27/13
IDACORP INC ID 8.01 04/15/13
IGATE CORP PA 5.07,8.01,9.01 04/11/13
India Globalization Capital, Inc. MD 8.01,9.01 04/11/13
INLAND REAL ESTATE CORP MD 7.01,9.01 04/15/13
INOVIO PHARMACEUTICALS, INC. 1.01,2.03 04/09/13
InspireMD, Inc. DE 1.01,9.01 04/09/13
INTERCEPT PHARMACEUTICALS INC DE 5.02,9.01 04/12/13
International Stem Cell CORP DE 5.02,5.03,9.01 04/09/13
INTERVEST BANCSHARES CORP DE 2.02,9.01 04/15/13
J C PENNEY CO INC DE 2.03,9.01 04/12/13
JEWETT CAMERON TRADING CO LTD OR 8.01,9.01 04/15/13
JOE'S JEANS INC. DE 2.02,9.01 04/15/13
KAISER ALUMINUM CORP DE 8.01,9.01 04/15/13
KBS Real Estate Investment Trust III, MD 1.01,2.03 04/10/13
KBS Real Estate Investment Trust III, MD 2.01,9.01 01/31/13 AMEND
KEY TECHNOLOGY INC OR 5.02,9.01 04/15/13
KEYNOTE SYSTEMS INC DE 2.02,9.01 04/15/13
KNIGHT CAPITAL GROUP, INC. DE 1.01,8.01,9.01 04/15/13
Laredo Petroleum Holdings, Inc. DE 7.01,9.01 04/15/13
LAYNE CHRISTENSEN CO DE 2.02,5.03,9.01 04/12/13
LAZARE KAPLAN INTERNATIONAL INC DE 2.02,8.01 04/15/13
LEAP WIRELESS INTERNATIONAL INC DE 1.02,2.03,8.01,9.01 04/15/13
Liberty Interactive Corp 1.01,2.03,7.01,9.01 04/09/13
Liberty Media Corp DE 7.01,9.01 04/09/13
Life Care Medical Devices Ltd 1.01,2.03,3.02,9.01 04/09/13
Life Technologies Corp DE 8.01,9.01 04/15/13
Limoneira CO DE 8.01,9.01 04/08/13
Lincolnway Energy, LLC IA 5.02,9.01 04/09/13
LIONS GATE ENTERTAINMENT CORP /CN/ A1 1.01,2.03,3.02,9.01 04/15/13
LITTELFUSE INC /DE DE 1.01,7.01,9.01 04/15/13
M&T BANK CORP NY 8.01,9.01 04/13/13
M&T BANK CORP NY 2.02,9.01 04/15/13
MAGELLAN PETROLEUM CORP /DE/ DE 7.01,9.01 04/15/13
MARCUS CORP WI 5.02,8.01,9.01 04/12/13
Matador Resources Co TX 2.02,5.02,7.01,9.01 04/11/13
MATTSON TECHNOLOGY INC DE 1.01,2.03,8.01,9.01 04/12/13
Measurement Specialties Inc NJ 2.02,7.01,9.01 04/15/13
METALS USA HOLDINGS CORP. DE 1.02,2.01, 04/10/13
3.01,3.03,5.01,5.02,5.03,5.07,9.01
MetaStat, Inc. NV 3.02 04/10/13
METROPCS COMMUNICATIONS INC DE 1.01,8.01,9.01 04/14/13
MFA FINANCIAL, INC. MD 3.03,5.03,9.01 04/15/13
MIDDLEBURG FINANCIAL CORP VA 5.02 04/10/13
MidWestOne Financial Group, Inc. IA 7.01,9.01 04/15/13
MILLER ENERGY RESOURCES, INC. TN 7.01,9.01 04/15/13
MOD PAC CORP NY 1.01,9.01 04/11/13
MONEYGRAM INTERNATIONAL INC 5.02 04/11/13
Monster Offers NV 4.01 03/05/13 AMEND
Moody National REIT I, Inc. MD 2.01,2.03,9.01 04/09/13
MORGANS FOODS INC OH 5.02,9.01 04/09/13
MORGANS FOODS INC OH 1.01,3.02,5.02,9.01 04/10/13
MRV COMMUNICATIONS INC DE 5.02,9.01 04/09/13
MYMETICS CORP DE 1.01,9.01 03/28/13
NATIONAL FINANCIAL PARTNERS CORP 1.01,7.01,9.01 04/14/13
NATIONAL FINANCIAL PARTNERS CORP 5.02 04/15/13
NATIONAL FUEL GAS CO NJ 7.01,9.01 04/15/13
NATIONAL RETAIL PROPERTIES, INC. MD 2.03,8.01,9.01 04/09/13
NATIONAL SECURITY GROUP INC DE 8.01,9.01 04/12/13
NATIONAL SECURITY GROUP INC DE 5.02,9.01 04/14/13
NATURAL HEALTH TRENDS CORP DE 2.02,9.01 04/15/13
NETGEAR, INC DE 2.02,9.01 04/15/13
NEW HAMPSHIRE THRIFT BANCSHARES INC DE 2.02,9.01 04/11/13
NII HOLDINGS INC DE 1.01,2.03,9.01 04/15/13
OFFICEMAX INC DE 8.01 04/10/13
ONCOR ELECTRIC DELIVERY CO LLC DE 7.01 04/15/13
OVERSEAS SHIPHOLDING GROUP INC DE 7.01,9.01 04/15/13
OVERSTOCK.COM, INC DE 5.02,9.01 04/15/13
Parametric Sound Corp NV 7.01 04/15/13
PBF Energy Inc. DE 8.01,9.01 04/12/13
Pendrell Corp DE 8.01 04/15/13
PEP BOYS MANNY MOE & JACK PA 2.02,9.01 04/15/13
Pinnacle Foods Finance LLC DE 8.01,9.01 04/15/13
Pinnacle Foods Inc. DE 8.01,9.01 04/15/13
PIONEER NATURAL RESOURCES CO DE 7.01 04/15/13
PLANTRONICS INC /CA/ DE 5.02,9.01 04/15/13
POWERSECURE INTERNATIONAL, INC. DE 1.01,2.01, 04/12/13
3.02,7.01,9.01
PROCTER & GAMBLE Co OH 7.01 04/12/13
Protea Biosciences Group, Inc. DE 1.01,3.02 04/02/13
QKL Stores Inc. DE 2.02,9.01 04/15/13
QLT INC/BC A1 8.01,9.01 04/15/13
QUICKSILVER RESOURCES INC DE 7.01,9.01 04/15/13
RANGE RESOURCES CORP DE 2.02,9.01 04/11/13
Realogy Holdings Corp. DE 1.01,9.01 04/11/13
Red Giant Entertainment, Inc. NV 4.01,9.01 04/03/13 AMEND
RED HAT INC DE 8.01,9.01 04/15/13
RELIANCE STEEL & ALUMINUM CO CA 2.01,9.01 04/12/13
RES CARE INC /KY/ KY 5.02,9.01 04/09/13
Resolute Energy Corp DE 1.01,9.01 04/15/13
Resolute Energy Corp DE 8.01,9.01 03/22/13 AMEND
Resource Capital Corp. MD 1.01,8.01,9.01 04/10/13
ROBERTS REALTY INVESTORS INC GA 1.01,9.01 04/09/13
ROLLINS INC DE 7.01,9.01 04/12/13
Rosetta Resources Inc. DE 8.01,9.01 04/15/13
Rosetta Resources Inc. DE 1.01,2.03,7.01,9.01 04/12/13
S&W Seed Co NV 8.01,9.01 04/15/13
SAPIENT CORP DE 5.02,9.01 04/11/13
SCHWAB CHARLES CORP DE 2.02,9.01 04/15/13
Scripps Networks Interactive, Inc. OH 8.01,9.01 04/14/13
SECURE DIGITAL, INC. 4.01 04/15/13
SIERRA MONITOR CORP /CA/ CA 7.01,9.01 04/15/13
SILVER HORN MINING LTD. DE 4.01,9.01 04/12/13
SLM FUNDING LLC DE 6.01,9.01 04/15/13
SLM Student Loan Trust 2003-14 8.01,9.01 04/15/13
SLM Student Loan Trust 2004-1 8.01,9.01 04/15/13
SLM Student Loan Trust 2004-10 DE 8.01,9.01 04/15/13
SLM Student Loan Trust 2004-8 DE 8.01,9.01 04/15/13
SLM Student Loan Trust 2006-7 DE 8.01,9.01 04/15/13
SM Energy Co DE 1.01,2.02, 04/12/13
2.03,7.01,9.01
SOMERSET HILLS BANCORP NJ 8.01,9.01 04/15/13
SOUTHCOAST FINANCIAL CORP SC 2.02,9.01 04/11/13
SOUTHERN STATES SIGN Co NV 4.01 04/11/13
STAG Industrial, Inc. 8.01,9.01 04/09/13
STANLEY FURNITURE CO INC. DE 2.02,9.01 04/15/13
STONE ENERGY CORP DE 7.01,9.01 04/12/13
Sucampo Pharmaceuticals, Inc. 5.02 04/10/13
SUPERIOR INDUSTRIES INTERNATIONAL INC CA 5.02 04/12/13
SYNTROLEUM CORP DE 3.03,5.03,9.01 04/11/13
SYNTROLEUM CORP DE 8.01 04/12/13
TASER INTERNATIONAL INC 8.01,9.01 04/15/13
Taylor Morrison Home Corp DE 1.01,1.02, 04/09/13
2.03,3.02,5.02,5.03,9.01
Telanetix,Inc DE 1.01,2.03,9.01 04/15/13
TELEPHONE & DATA SYSTEMS INC /DE/ DE 8.01,9.01 04/15/13
TEREX CORP DE 8.01,9.01 04/12/13
THERAVANCE INC DE 8.01 04/15/13
THERMO FISHER SCIENTIFIC INC. DE 8.01,9.01 04/15/13
TILE SHOP HOLDINGS, INC. DE 4.01,9.01 04/09/13
TOMI Environmental Solutions, Inc. FL 2.01,8.01,9.01 04/15/13
TRANS ENERGY INC NV 4.02 04/10/13
Two Harbors Investment Corp. 7.01,9.01 04/15/13
U.S. Well Services, LLC DE 1.01,2.03,9.01 04/15/13
UNITED STATES CELLULAR CORP DE 8.01,9.01 04/15/13
UNITIL CORP NH 7.01,9.01 04/15/13
USA Mobility, Inc DE 2.02,8.01,9.01 04/15/13
UV FLU TECHNOLOGIES INC NV 5.02 04/12/13
VICOR CORP DE 2.02,9.01 04/15/13
Voltari Corp DE 5.07 04/15/13
Vringo Inc DE 7.01,9.01 04/15/13
WEBSTER FINANCIAL CORP DE 2.02,9.01 04/15/13
Western Refining, Inc. DE 1.01,2.03,8.01,9.01 04/11/13
XCEL ENERGY INC MN 8.01 04/12/13
XENOPORT INC DE 8.01 04/12/13
Xtreme Oil & Gas, Inc. NV 1.01,8.01 04/15/13
YAPPN CORP. DE 5.02 04/12/13
http://www.sec.gov/news/digest/2013/dig041613.htm
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