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Commission announcementsCommission Suspends Trading in the Securities of Xvariant, Inc. (N/K/A China Bionanometer Industries Corp.) for Failure to Make Required Periodic FilingsThe Securities and Exchange Commission (Commission) announced the temporary suspension of trading in the securities of Xvariant, Inc. (n/k/a China Bionanometer Industries Corp.), commencing at 9:30 a.m. EDT on April 17, 2013 and terminating at 11:59 p.m. EDT on April 30, 2013. The Commission temporarily suspended trading in the securities of Xvariant, Inc. (n/k/a China Bionanometer Industries Corp.) due to a lack of current and accurate information about the company because it has not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by this company. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspension, no quotation may be entered relating to the securities of the subject company unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of this company that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-69384) Commission Suspends Trading in the Securities of Newtech Brake Corp. for Failure to Make Required Periodic FilingsThe Commission announced the temporary suspension of trading in the securities of NewTech Brake Corp., commencing at 9:30 a.m. EDT on April 17, 2013 and terminating at 11:59 p.m. EDT on April 30, 2013. The Commission temporarily suspended trading in the securities of Newtech Brake Corp. due to a lack of current and accurate information about the company because it has not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by this company. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspension, no quotation may be entered relating to the securities of the subject company unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of this company that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-69382) Enforcement proceedingsFormer Investment Bank Analyst and His College Friend Plead Guilty to Insider Trading SchemeThe Commission announced that on April 16, 2013, Jauyo “Jason” Lee, 29, of New York, and Victor Chen, 29, of Sunnyvale, Calif., both pleaded guilty to one count of conspiracy to commit securities fraud and one count of securities fraud for their roles in an insider trading scheme. The criminal charges filed by the U.S. Attorney for the Northern District of California arose out of the same facts that were the subject of a civil action that the SEC filed against Lee and Chen on September 27, 2012. The SEC’s complaint alleged that Lee, who worked in the San Francisco office of Leerink Swann LLC, gleaned sensitive, nonpublic information about two upcoming deals from unsuspecting co-workers involved with those clients and by reviewing various internal documents about the transactions, which involved medical device companies. Lee tipped Chen, his longtime college friend with the confidential information, and Chen traded heavily on the basis of the nonpublic details that Lee had a duty to protect. Chen made more than $600,000 in illicit profits, which was a 237 percent return on his initial investment. Bank records reveal a pattern of large cash withdrawals by Lee followed by large cash deposits by Chen, who then used the money for the insider trading. According to the SEC’s complaint, Lee was first privy to information about Leerink’s client Syneron Medical Ltd., which was negotiating an acquisition of Candela Corporation in 2009. He later learned that Leerink’s client Somanetics Corporation was in the process of being acquired by Covidien plc. in 2010. As Lee collected nonpublic details about each of the deals, he communicated with Chen repeatedly and exchanged dozens of phone calls and text messages. Some of the calls took place from Lee’s office telephone at Leerink. Lee had a duty to preserve the confidentiality of the information that he received in the course of his employment at Leerink. The SEC alleged that in the days leading up to the public announcements of each of these deals, Chen made sizeable purchases of stock and call options in Candela and Somanetics and made unusual trades in the securities of each of these acquisition targets. Chen had never previously bought securities in these companies, yet he suddenly spent a significant portion of his available cash to buy the Candela and Somanetics securities. Chen proceeded to sell most of his Candela and Somanetics holdings once public announcements were made about the transactions. Because Chen made some of his trades in his sister Jennifer Chen’s account, the SEC’s complaint also names her as a relief defendant for the purposes of recovering the illegal profits in her account. As a result of their conduct, the SEC’s complaint charged Lee and Chen with violations of Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder. The SEC, whose case is still pending, is seeking disgorgement of ill-gotten gains with prejudgment interest, civil penalties, and permanent injunctions against Lee and Chen. [SEC v. Jauyo (“Jason”) Lee and Victor Chen: C12-5031-RS (N.D. CA)(April 16, 2013] (LR- 22678) In the Matter of Sunrise Solar CorporationThe Commission today instituted public administrative proceedings against Sunrise Solar Corporation to determine whether the registration of each class of its securities should be revoked or suspended for a period not exceeding twelve months for failure to file required periodic reports. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of the securities of these respondents should be revoked, or in the alternative, suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-69386; File No. 3-15281). Commission Orders Hearings on Registration Suspension or Revocation against Xvariant, Inc. (N/K/A China Bionanometer Industries Corp.) for Failure to Make Required Periodic FilingsIn conjunction with the above trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of Xvariant, Inc. (n/k/a China Bionanometer Industries Corp.), for failure to make required periodic filings with the Commission. In the Matter of Xvariant, Inc. (n/k/a China Bionanometer Industries Corp.), Administrative Proceeding File No. 3-15280. In this Order, the Division of Enforcement (Division) alleges that Xvariant, Inc. (n/k/a China Bionanometer Industries Corp.) is delinquent in its required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registration pursuant to Exchange Act Section 12 of each class of the securities of this Respondent should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-69385; File No. 3-15280) Commission Orders Hearings on Registration Suspension or Revocation Against Newtech Brake Corp. For Failure to Make Required Periodic FilingsIn conjunction with the above trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of NewTech Brake Corp., for failure to make required periodic filings with the Commission. In this Order, the Division of Enforcement (Division) alleges that Newtech Brake Corp. is delinquent in its required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registration pursuant to Exchange Act Section 12 of each class of the securities of this Respondent should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-69383; File No. 3-15279). Jilaine H. Bauer, Esq., Temporary Suspension LiftedThe temporary suspension, imposed on September 12, 2012, of Jilaine H. Bauer, Esq. (Bauer), from appearing or practicing before the Securities and Exchange Commission has been lifted. The result was ordered in an administrative proceeding before an administrative law judge. The proceeding was based on a court-ordered judgment that Bauer had engaged in insider trading in 2000 in the shares of the Short Duration High-Yield Municipal Fund of Heartland Group, Inc. (HGI), a registered investment company. Bauer had been a vice president of HGI and general counsel, chief compliance officer, secretary, and vice president of Heartland Advisors, Inc., a registered investment adviser and HGI’s portfolio manager. The court, however, declined to issue an injunction against Bauer or to fine her. Under these circumstances, the law judge in the administrative proceeding concluded that the seven-month suspension that Bauer has already served is the appropriate sanction and thus lifted the suspension. (Initial Decision No. 483; File No. 3-15020) Investment company act releasesFidelity Merrimack Street Trust, et al.A notice has been issued giving interested persons until May 9, 2013, to request a hearing on an application filed by Fidelity Merrimack Street Trust, et al., for an order to permit: (a) actively-managed series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; (e) certain registered management investment companies and unit investment trusts to acquire Shares; and (f) certain series to perform creations and redemptions of Shares in-kind in a master-feeder structure. (Rel. IC-30464 - April 16, 2013) Immediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by Miami International Securities Exchange LLC to Modify the MIAX Fee Schedule (SR-MIAX-2013-16) 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 15th. (Rel. 34-69381) 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-1 METHES ENERGIES INTERNATIONAL LTD, 3651 LINDELL ROAD, SUITE D-272,
LAS VEGAS, NV, 89103, 702-932-9964 - 2,337,500 ($10,411,225.00) Equity,
(File 333-187935 - Apr. 16) (BR. 06A)
F-3D PEMBINA PIPELINE CORP, 3800, 525 - 8TH AVENUE S.W., CALGARY, A0,
T2P 1G1, 403-231-7500 - 0 ($781,500,000.00) Equity, (File 333-187938 -
Apr. 16) (BR. 04A)
S-4 CINEMARK USA INC /TX, 3900 DALLAS PARKWAY SUITE 500, PLANO, TX, 75093,
972-665-1000 - 0 ($400,000,000.00) Non-Convertible Debt,
(File 333-187941 - Apr. 16) (BR. 05A)
S-1 HEALTH REVENUE ASSURANCE HOLDINGS, INC.,
8551 W. SUNRISE BOULEVARD, SUITE 304, PLANTATION, FL, 33322,
954-472-2340 - 0 ($2,122,500.00) Equity, (File 333-187942 - Apr. 16)
(BR. 01A)
S-8 Manning & Napier, Inc., 290 WOODCLIFF DRIVE, FAIRPORT, NY, 14450,
(585) 325-6880 - 0 ($214,359,280.03) Equity, (File 333-187943 -
Apr. 16) (BR. 12B)
S-4 ACCO BRANDS Corp, FOUR CORPORATE DRIVE, LAKE ZURICH, IL, 60047,
847-541-9500 - 0 ($500,000,000.00) Debt, (File 333-187944 - Apr. 16)
(BR. 05A)
S-3 CombiMatrix Corp, 310 GODDARD, SUITE 150, IRVINE, CA, 92618,
949-753-0624 - 0 ($1,506,625.20) Equity, (File 333-187945 - Apr. 16)
(BR. 10A)
S-8 ARADIGM CORP, 3929 POINT EDEN WAY, HAYWARD, CA, 94545, 5102659000 -
4,000,000 ($476,000.00) Equity, (File 333-187947 - Apr. 16) (BR. 10A)
S-8 WHIRLPOOL CORP /DE/, WHIRLPOOL CNTR 2000 M 63, C/O CORPORATE SECRETARY,
BENTON HARBOR, MI, 49022-2692, 6169235000 - 0 ($870,553,800.00) Equity,
(File 333-187948 - Apr. 16) (BR. 11C)
S-8 DIGI INTERNATIONAL INC, 11001 BREN ROAD EAST, MINNETONKA, MN, 55343,
(952) 912-3444 - 0 ($15,260,000.00) Equity, (File 333-187949 - Apr. 16)
(BR. 03B)
S-4 Starz, LLC, 8900 LIBERTY CIRCLE, ENGLEWOOD, CO, 80112, 720-852-5819 -
0 ($175,000,000.00) Debt, (File 333-187950 - Apr. 16) (BR. 11C)
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 3DICON CORP OK 7.01,9.01 04/13/13 AAR CORP DE 1.01,2.03,8.01,9.01 04/15/13 ABBOTT LABORATORIES IL 2.02,9.01 04/16/13 ACCO BRANDS Corp DE 8.01,9.01 04/16/13 AEMETIS, INC NV 1.01,3.02,9.01 04/15/13 AFS SenSub Corp. 1.01,9.01 04/11/13 AGENUS INC DE 1.01,2.03,3.02, 04/15/13 8.01,9.01 Aircastle LTD D0 7.01,9.01 04/16/13 AKAMAI TECHNOLOGIES INC DE 5.02 04/12/13 ALLEGHENY TECHNOLOGIES INC DE 2.02,9.01 04/16/13 American Assets Trust, Inc. MD 7.01 04/16/13 American Midstream Partners, LP DE 2.02,9.01 04/16/13 American Realty Capital Properties, I MD 8.01,9.01 04/16/13 AMERISERV FINANCIAL INC /PA/ PA 2.02 04/16/13 ARBITRON INC DE 5.07 04/16/13 ARRIS GROUP INC DE 1.01,2.03,3.03, 04/15/13 5.02,5.03,8.01,9.01 Artemis Acquisition Corp. DE 1.02,5.02,8.01 03/28/13 Atlantic Coast Financial CORP MD 8.01,9.01 04/16/13 ATLAS PIPELINE PARTNERS LP DE 8.01,9.01 04/16/13 AV Homes, Inc. DE 5.02 04/15/13 BADGER METER INC WI 2.02,9.01 04/16/13 BANCFIRST CORP /OK/ OK 2.02,9.01 04/16/13 BANK OF THE OZARKS INC AR 1.01,5.02,5.07,9.01 04/15/13 BERRY PLASTICS GROUP INC DE 2.02 04/15/13 BIOCRYST PHARMACEUTICALS INC DE 8.01,9.01 04/16/13 BioRestorative Therapies, Inc. NV 5.03,8.01,9.01 04/12/13 BioScrip, Inc. DE 8.01,9.01 04/16/13 Biostar Pharmaceuticals, Inc. MD 2.02,9.01 04/15/13 BJs RESTAURANTS INC CA 8.01,9.01 04/16/13 BlackRock Inc. DE 2.02,9.01 04/16/13 BOB EVANS FARMS INC DE 7.01,9.01 04/16/13 BOISE CASCADE Co DE 8.01,9.01 04/16/13 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 2.02,9.01 04/16/13 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 8.01 04/16/13 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 1.01,9.01 04/16/13 Brookfield Global Listed Infrastructu MD 5.02,8.01 04/15/13 BROOKFIELD TOTAL RETURN FUND INC MD 5.02,5.03,8.01,9.01 04/11/13 Burlington Coat Factory Investments H 5.02 04/10/13 CAMAC Energy Inc. DE 2.02,9.01 04/12/13 Capital Group Holdings, Inc. MN 8.01 04/12/13 CAPITAL SOUTHWEST CORP TX 8.01,9.01 04/15/13 CAREFUSION Corp 5.07 04/15/13 CATHAY GENERAL BANCORP DE 2.02,9.01 04/16/13 CBRE GROUP, INC. DE 1.01,2.03,9.01 04/10/13 CDW Corp DE 2.02,7.01 04/16/13 CENTURY ALUMINUM CO DE 8.01,9.01 04/16/13 CHEESECAKE FACTORY INC DE 8.01,9.01 04/16/13 CHENIERE ENERGY INC DE 1.01,2.03,7.01,9.01 04/10/13 Cheniere Energy Partners, L.P. DE 1.01,2.03,7.01,9.01 04/10/13 CHIMERIX INC DE 5.03,9.01 04/16/13 CHINA SHEN ZHOU MINING & RESOURCES, I NV 8.01,9.01 04/16/13 CION Investment Corp MD 2.02,9.01 04/16/13 CNB FINANCIAL CORP/PA PA 2.02,9.01 04/15/13 COCA COLA BOTTLING CO CONSOLIDATED /D DE 8.01,9.01 04/15/13 COCA COLA CO DE 2.02,9.01 04/16/13 CODORUS VALLEY BANCORP INC PA 2.02,9.01 04/16/13 COEUR D ALENE MINES CORP ID 1.01,2.01,3.02, 04/16/13 8.01,9.01 Cole Credit Property Trust II Inc MD 8.01 04/05/13 Cole Credit Property Trust Inc MD 8.01 04/05/13 Colorado Gold Mines, Inc. 5.01,5.02 04/15/13 COMERICA INC /NEW/ DE 2.02,7.01,9.01 04/16/13 COMMUNITY FINANCIAL SHARES INC DE 5.02 04/15/13 CONSUMER PORTFOLIO SERVICES INC CA 2.02,9.01 04/16/13 Coronus Solar Inc. A1 1.01,1.02,2.06, 04/15/13 3.02,7.01,9.01 Coyote Resources, Inc. NV 4.02,9.01 04/10/13 CPI CORP DE 1.03,9.01 04/15/13 CSX CORP VA 2.02,9.01 04/16/13 CTI INDUSTRIES CORP DE 1.01 04/12/13 CYCLONE POWER TECHNOLOGIES INC FL 2.02,9.01 04/15/13 CYTODYN INC CO 7.01 04/15/13 DATA I/O CORP WA 8.01 04/16/13 DECISION DIAGNOSTICS CORP NV 4.01,9.01 04/16/13 Dialogic Inc. DE 3.01 04/15/13 DIGITAL ANGEL CORP DE 1.01,1.02,5.02, 04/10/13 8.01,9.01 DIGITALGLOBE, INC. DE 9.01 01/31/13 AMEND Diligent Board Member Services, Inc. DE 2.02,5.02,9.01 04/12/13 DOCUMENT SECURITY SYSTEMS INC NY 8.01 04/10/13 DOUBLE CROWN RESOURCES INC. NV 5.02,9.01 04/16/13 DURECT CORP DE 8.01,9.01 04/16/13 DYNACQ HEALTHCARE INC NV 4.01,9.01 04/08/13 DYNEX CAPITAL INC VA 5.03,9.01 04/12/13 DYNEX CAPITAL INC VA 1.01,3.03,5.03,9.01 04/11/13 E2open Inc DE 2.02,9.01 04/16/13 EAGLE ROCK ENERGY PARTNERS L P DE 7.01 04/16/13 eCareer Holdings, Inc. NV 2.01,3.02,5.01, 04/11/13 5.02,5.03,5.06,9.01 Edgen Group Inc. DE 8.01,9.01 04/16/13 El Paso Pipeline Partners, L.P. DE 7.01 04/16/13 EnDev Holdings Inc. NV 7.01,9.01 04/15/13 Energy Future Holdings Corp /TX/ TX 8.01 04/15/13 EnerJex Resources, Inc. NV 8.01,9.01 04/16/13 ENERNOC INC DE 5.02 04/10/13 Enphase Energy, Inc. DE 5.02 04/10/13 ENTERPRISE BANCORP INC /MA/ MA 8.01,9.01 04/16/13 EOG RESOURCES INC DE 7.01 04/16/13 EQUITY RESIDENTIAL MD 5.02 04/15/13 ESB FINANCIAL CORP PA 2.02,7.01,8.01,9.01 04/16/13 ExlService Holdings, Inc. DE 5.02,9.01 04/11/13 EZJR, Inc. NV 4.02 04/16/13 Federal Home Loan Bank of Atlanta X1 2.03 04/10/13 Federal Home Loan Bank of Boston X1 2.03 04/10/13 Federal Home Loan Bank of Chicago X1 2.03 04/10/13 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 04/10/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 04/12/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 04/16/13 Federal Home Loan Bank of New York X1 2.03,9.01 04/10/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 04/10/13 Federal Home Loan Bank of San Francis X1 2.03 04/10/13 Federal Home Loan Bank of Seattle 2.03 04/10/13 Federal Home Loan Bank of Topeka 2.03,9.01 04/10/13 FIFTH THIRD BANCORP OH 7.01,9.01 04/16/13 FIRST DATA CORP DE 1.01,2.03,9.01 04/10/13 FREDERICK COUNTY BANCORP INC MD 2.02,7.01,9.01 04/16/13 FS Investment CORP MD 2.02,5.02,8.01 04/11/13 FUEL TECH, INC. DE 5.02 04/10/13 FUEL TECH, INC. DE 5.02 03/15/13 AMEND FULLER H B CO MN 5.02,5.07,9.01 04/11/13 FULTON FINANCIAL CORP PA 2.02,9.01 04/16/13 FUTUREWORLD ENERGY, INC.. DE 8.01 04/16/13 G&K SERVICES INC MN 1.01,2.03,8.01,9.01 04/12/13 GBS Enterprises Inc NV 4.02,8.01 04/16/13 GEOPETRO RESOURCES CO CA 3.01,7.01,8.01,9.01 04/10/13 GLATFELTER P H CO PA 1.01,2.03 04/11/13 Globalstar, Inc. DE 1.01,7.01,9.01 04/15/13 GOLDMAN SACHS GROUP INC DE 2.02,8.01,9.01 04/16/13 GOLDRICH MINING CO AK 3.02,7.01,9.01 04/03/13 GRAINGER W W INC IL 2.02,9.01 04/16/13 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 04/12/13 GROWLIFE, INC. DE 5.02 04/12/13 Hallwood Group Inc DE 3.01,9.01 04/11/13 HARBOR ISLAND DEVELOPMENT CORP. 1.01,9.01 04/04/13 AMEND HARSCO CORP DE 7.01,9.01 04/16/13 HEARTLAND EXPRESS INC NV 2.02,9.01 04/16/13 HELIOS ADVANTAGE INCOME FUND, INC. MD 5.02,5.03,8.01,9.01 04/11/13 HELIOS HIGH INCOME FUND, INC MD 5.02,5.03,8.01,9.01 04/11/13 HELIOS HIGH YIELD FUND 5.02,8.01 04/11/13 HELIOS MULTI-SECTOR HIGH INCOME FUND, MD 5.02,5.03,8.01,9.01 04/11/13 HELIOS STRATEGIC INCOME FUND, INC MD 5.02,5.03,8.01,9.01 04/11/13 HINTO ENERGY, INC WY 4.01,9.01 04/16/13 ICEWEB INC DE 1.01,8.01,9.01 04/12/13 IDENTIVE GROUP, INC. DE 1.01,8.01,9.01 04/16/13 IMH Financial Corp DE 7.01,9.01 04/16/13 Ingen Technologies, Inc. 5.02 04/16/13 INLAND REAL ESTATE CORP MD 8.01,9.01 04/15/13 INNERWORKINGS INC 2.02,9.01 04/16/13 INNOCAP INC 4.01 04/11/13 INTEL CORP DE 2.02 04/16/13 Interactive Brokers Group, Inc. DE 2.02,8.01,9.01 03/31/13 Internet Patents Corp 8.01 04/10/13 INTL FCSTONE INC. DE 1.01,2.03,9.01 04/11/13 iSatori, Inc. DE 2.02,7.01,9.01 04/16/13 ITC Holdings Corp. MI 5.07,8.01,9.01 04/16/13 IZEA, Inc. NV 1.01,2.03,9.01 04/11/13 J CREW GROUP INC DE 5.02,9.01 04/11/13 Jazz Pharmaceuticals plc L2 8.01 04/12/13 JOHNSON & JOHNSON NJ 2.02,9.01 04/16/13 KAISER VENTURES LLC DE 1.01,5.02,8.01,9.01 04/10/13 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 04/16/13 KINDER MORGAN MANAGEMENT LLC DE 7.01 04/16/13 KINDER MORGAN, INC. DE 7.01 04/16/13 KIT digital, Inc. DE 1.01,8.01,9.01 04/10/13 KIT digital, Inc. DE 8.01,9.01 04/16/13 Lantheus Medical Imaging, Inc. DE 5.02,8.01,9.01 04/12/13 Life Technologies Corp DE 1.01,9.01 04/14/13 LIVEDEAL INC NV 5.07 04/11/13 LRR Energy, L.P. DE 7.01,9.01 04/16/13 Luxeyard, Inc. DE 8.01 03/04/13 MACK CALI REALTY CORP MD 8.01,9.01 04/15/13 MAGNUM HUNTER RESOURCES CORP DE 4.01,7.01 04/10/13 Main Street Capital CORP MD 8.01,9.01 04/16/13 MAINSOURCE FINANCIAL GROUP IN 5.02 04/10/13 MamaMancini's Holdings, Inc. NV 1.01,2.01,3.02, 01/24/13 AMEND 4.01,5.01,5.02,8.01,9.01 MANAS PETROLEUM Corp NV 5.02 03/25/13 Mantra Venture Group Ltd. 1.01,3.02,9.01 12/11/12 AMEND Marathon Patent Group, Inc. NV 1.01,9.01 04/16/13 MENS WEARHOUSE INC TX 1.01,1.02, 04/12/13 2.03,8.01,9.01 MERCANTILE BANK CORP MI 2.02,9.01 04/16/13 MF Global Holdings Ltd. DE 7.01,9.01 04/15/13 MFA FINANCIAL, INC. MD 7.01 04/16/13 MHI Hospitality CORP MD 5.03,7.01,9.01 04/16/13 MIMVI, INC. NV 7.01,9.01 04/15/13 MOD PAC CORP NY 1.01,9.01 04/11/13 AMEND MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 04/16/13 MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 04/16/13 MOSAIC CO 5.02 04/11/13 MRI INTERVENTIONS, INC. DE 5.02,7.01,9.01 04/10/13 NEW ENERGY SYSTEMS GROUP NV 8.01,9.01 04/16/13 NEW YORK TUTOR Co NV 8.01,9.01 04/03/13 NEWS CORP 8.01,9.01 04/16/13 NEWS CORP 8.01,9.01 04/16/13 NOBILITY HOMES INC FL 4.01,9.01 04/03/13 AMEND NORTHERN OIL & GAS, INC. 2.02,9.01 04/15/13 NORTHERN TRUST CORP DE 2.02,9.01 04/16/13 NORTHERN TRUST CORP DE 7.01,9.01 04/16/13 OHIO VALLEY BANC CORP OH 8.01 04/16/13 OLD LINE BANCSHARES INC MD 5.07 04/15/13 OPTICAL CABLE CORP VA 8.01,9.01 04/15/13 ORAMED PHARMACEUTICALS INC. DE 5.02,9.01 04/16/13 ORASURE TECHNOLOGIES INC DE 5.02 04/11/13 PACIFIC SOFTWARE, INC. NV 5.02,9.01 04/16/13 PALL CORP NY 1.01,1.02,2.03,9.01 04/11/13 PARKER DRILLING CO /DE/ DE 2.02,7.01,9.01 02/14/13 PASSUR Aerospace, Inc. NY 8.01 04/07/13 PEABODY ENERGY CORP DE 1.04 04/10/13 PENNS WOODS BANCORP INC PA 2.02,9.01 04/15/13 Pingtan Marine Enterprise Ltd. E9 4.01,9.01 04/15/13 PINNACLE FINANCIAL PARTNERS INC TN 2.02,9.01 04/15/13 Pinnacle Foods Finance LLC DE 8.01,9.01 04/16/13 Pinnacle Foods Inc. DE 8.01,9.01 04/16/13 PLUG POWER INC DE 3.01,5.02,9.01 04/12/13 PRINCIPAL FINANCIAL GROUP INC DE 7.01 04/16/13 PROGRESS ENERGY INC NC 7.01,9.01 12/31/12 PROSPECT GLOBAL RESOURCES INC. NV 2.03,5.02,7.01,9.01 04/15/13 QUICK-MED TECHNOLOGIES INC 8.01,9.01 04/16/13 Realogy Holdings Corp. DE 1.02,8.01,9.01 04/16/13 Regency Energy Partners LP DE 1.01,7.01,9.01 04/16/13 RENTECH INC /CO/ CO 1.01,2.03,9.01 04/12/13 Rentech Nitrogen Partners, L.P. DE 1.01,2.03,9.01 04/12/13 S Y BANCORP INC KY 7.01 04/16/13 Samson Oil & Gas LTD C3 8.01,9.01 04/15/13 SANTARUS INC DE 8.01 04/15/13 SCG Financial Acquisition Corp. DE 9.01 04/08/13 AMEND SCIENTIFIC LEARNING CORP DE 4.01,9.01 04/11/13 Selway Capital Acquisition Corp. DE 1.01,2.01,2.03, 04/10/13 3.02,5.01,5.02,5.06,9.01 ServisFirst Bancshares, Inc. DE 2.02,9.01 04/16/13 SEVERN BANCORP INC MD 2.02,9.01 03/31/13 Shire plc 8.01,9.01 04/16/13 SILVER BULL RESOURCES, INC. NV 5.07 04/10/13 SMITH A O CORP DE 5.07,8.01,9.01 04/15/13 SOFTECH INC MA 2.02,9.01 04/16/13 SPIRIT REALTY CAPITAL, INC. MD 8.01,9.01 04/16/13 STAG Industrial, Inc. 1.01,3.03,5.03,9.01 04/12/13 STAR GAS PARTNERS LP DE 2.02,7.01,9.01 04/16/13 STRATTEC SECURITY CORP WI 7.01,9.01 04/16/13 STRATUM HOLDINGS, INC. NV 5.02 04/16/13 Susser Holdings CORP DE 2.02,9.01 04/16/13 Susser Petroleum Partners LP DE 2.02,9.01 04/16/13 SWISSINSO HOLDING INC. DE 1.01,2.03,3.02, 01/31/13 AMEND 5.02,9.01 SYNNEX CORP DE 8.01,9.01 04/16/13 Synthetic Biologics, Inc. NV 2.02,9.01 04/16/13 TAMM Oil & Gas Corp. NV 8.01,9.01 04/16/13 Tao Minerals Ltd. NV 8.01 04/10/13 TARGET CORP MN 8.01,9.01 04/16/13 TD AMERITRADE HOLDING CORP DE 2.02,9.01 04/16/13 TESSERA TECHNOLOGIES INC DE 5.02,8.01,9.01 04/15/13 TGFIN HOLDINGS INC DE 1.02,9.01 04/15/13 THERMO FISHER SCIENTIFIC INC. DE 1.01,9.01 04/14/13 THERMOENERGY CORP DE 5.02 04/15/13 Titan Iron Ore Corp. NV 1.01,9.01 04/15/13 TransMontaigne Partners L.P. DE 8.01,9.01 04/16/13 Trunkbow International Holdings Ltd NV 2.02,9.01 04/16/13 Uni-Pixel DE 8.01 04/16/13 UNIGENE LABORATORIES INC DE 4.01,9.01 04/11/13 UNITED REFINING CO PA 8.01,9.01 04/15/13 Universal Business Payment Solutions DE 8.01 04/15/13 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 04/16/13 US BANCORP \DE\ DE 2.02,9.01 04/16/13 VALOR GOLD CORP. DE 8.01 03/18/13 Venoco, Inc. DE 2.02,9.01 04/15/13 Vishay Precision Group, Inc. DE 9.01 01/31/13 AMEND VistaGen Therapeutics, Inc. NV 8.01 04/12/13 VISTEON CORP DE 5.02 04/11/13 VIVUS INC CA 8.01,9.01 04/16/13 VMWARE, INC. DE 5.07 04/13/13 WESCO INTERNATIONAL INC 7.01 04/16/13 WESTAMERICA BANCORPORATION CA 2.02,9.01 04/16/13 WEYERHAEUSER CO WA 5.02,5.07 04/10/13 WILLIAMS COMPANIES INC DE 5.02 04/10/13 WILLIS GROUP HOLDINGS PLC L2 8.01,9.01 04/15/13 WOLVERINE WORLD WIDE INC /DE/ MI 2.02,9.01 04/16/13 World Energy Solutions, Inc. DE 9.01 10/03/12 AMEND WORLD FUEL SERVICES CORP FL 7.01,9.01 04/16/13 YAHOO INC DE 2.02,9.01 04/16/13 ZaZa Energy Corp DE 5.02,7.01 04/11/13 http://www.sec.gov/news/digest/2013/dig041713.htm
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