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Commission AnnouncementsCommission Proposes Rules for Cross-Border Security-Based Swap ActivitiesThe Securities and Exchange Commission (Commission) today voted unanimously to propose rules and interpretive guidance for parties to cross-border security-based swap transactions. The proposal explains which regulatory requirements apply when a transaction occurs partially within and partially outside the U.S. The proposed rules also set forth when security-based swap dealers, major security-based swap participants, and other entities – such as clearing agencies, execution facilities, and data repositories – must register with the SEC. The proposal outlines a “substituted compliance” framework in order to facilitate a well-functioning global security-based swap market. It is an approach that recognizes that market participants may be subject to conflicting or duplicative compliance obligations in the global derivatives market. “We should take a robust and workable approach to this particularly complex and predominantly global market,” said Mary Jo White, SEC Chair. “The global nature of this market means that participants may be subject to requirements in multiple countries, and this type of overlapping regulatory oversight could lead to conflicting or costly duplicative regulatory requirements. Market participants need to know which rules to follow, and I believe that this proposal will serve as the road map.” The comment period for the proposed rules and interpretive guidance for cross-border security-based swap activities will occur for 90 days after they are published in the Federal Register. Separately, the Commission voted unanimously to reopen the public comment period for all rules not yet finalized, stemming from Title VII of the Dodd-Frank Act. The comment periods for these rules – and a policy statement describing the expected order for these new rules to take effect – will be reopened for 60 days after notice is published in the Federal Register. (Press Rel. 2013-77) ENFORCEMENT PROCEEDINGSCommission Obtains Temporary Restraining Order and Asset Freeze against Massachusetts Man Who Defrauded Investors of at Least $5.5 MillionThe Commission announced today that, on April 30, 2013, it filed an emergency enforcement action in federal district court in Massachusetts and obtained a temporary restraining order, asset freeze, and other emergency relief against Steven Palladino, of West Roxbury, Massachusetts and his Massachusetts-based company Viking Financial Group, Inc. The Commission’s Complaint alleges that, since at least April 2011, Palladino and Viking made material misrepresentations in raising at least $5.5 million in investment funds from approximately 30 investors. The Commission alleges that Palladino and Viking falsely promised investors that their money would be used to conduct the business of Viking, which was to make to short-term, high interest loans to developers and small businesses unable to obtain traditional financing loans. The Complaint further alleges that Palladino falsely told investors that the loans made by Viking would be secured by first interest liens on non-primary residence properties and misrepresented that investors would be paid back their principal, plus monthly interest at rates generally ranging from 7-15%, from payments made by borrowers on the loans. According to the Complaint, however, the Defendants made very few real loans to borrowers, and instead used investors’ funds largely to make payments to earlier investors and to pay for the Palladino family’s substantial personal expenses, including cash withdrawals and hundreds of thousands of dollars spent on gambling excursions, vacations, luxury vehicles, and tuition. The Commission’s Complaint alleges that the Defendants’ conduct violates Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and Section 17(a) of the Securities Act of 1933. The Honorable Douglas P. Woodlock issued a temporary restraining order, prohibiting the Defendants from directly or indirectly continuing to violate the foregoing statutory provisions, and an order freezing the Defendants’ assets. The Court’s order further provides that the Defendants are prohibited from soliciting or accepting additional investor funds and from altering or destroying any relevant documents. In its action, the Commission seeks the entry of a preliminary injunction against the Defendants upon the expiration of the temporary restraining order, the entry of permanent injunctions, disgorgement of ill-gotten gains plus pre-judgment interest thereon, and the imposition of civil monetary penalties. A hearing in the case is set for May 3, 2013. [SEC v. Steven Palladino, et al. [United States District Court for the District of Massachusetts, Civil Action No. 13-11024-DPW)] (LR-22694) Foreign Trader Agrees to Settle SEC Charges in Nexen Insider Trading CaseA Singapore businesswoman whose assets were frozen last year as part of a major insider trading action has agreed to pay more than $500,000 to settle charges that she purchased shares of Nexen Inc. while in possession of nonpublic information about the company’s impending acquisition by China-based CNOOC Ltd. In July 2012, the SEC obtained an emergency court order freezing multiple Hong Kong and Singapore-based trading accounts just days after the Nexen acquisition was announced and suspicious trading in Nexen securities was detected. The SEC’s complaint alleged that in the days leading up to the announcement, Hong Kong-based firm Well Advantage Limited and other unknown traders purchased Nexen stock based on confidential details about the acquisition. In the weeks that followed, the SEC’s investigation identified Singapore resident Choo Eng Hong, an executive at a privately owned furniture manufacturing business, as one of the previously unknown traders charged in the complaint. Brokerage records obtained by the SEC show that Choo loaded up on Nexen stock and contracts for difference (CFDs) in the last three trading days before the announcement of the Nexen acquisition, and that she generated profits of over $400,000 after the news was made public. Under the terms of the settlement, which is subject to court approval, Choo has agreed to the entry of a final judgment requiring her to pay disgorgement of her ill-gotten gains of $466,477.62 and a penalty of $100,000, and permanently enjoining her from future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. Ms. Choo neither admits nor denies the SEC’s allegations. In October 2012, the SEC announced a settlement with the lead defendant, Well Advantage, which agreed to pay more than $14.2 million to settle the insider trading charges. More recently, in March 2013, the SEC announced that a Hong Kong-based broker, her husband, and her brokerage clients agreed to pay more than $3.3 million to settle the SEC’s claims. [SEC v. Well Advantage Limited, et al., Civil Action No. 12-CV-5786 (SDNY)(RJS)] (LR-22693) In the Matter of Irwin LipkinThe Commission announced the issuance of an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act), and Section 203(f) of the Investment Advisers Act of 1940 (Advisers Act) (“Order”) against Irwin Lipkin (“Lipkin”). In the Order, the Commission finds that on November 8, 2012, Lipkin pled guilty to one count of conspiracy (a) to commit securities fraud, (b) to falsify the books and records of a broker-dealer, (c) to falsify the books and records of an investment adviser, (d) to make false filings to the Commission, and (e) to falsify statements in relation to documents required by the Employee Retirement Income Security Act (ERISA); and one count of falsifying statements in relation to documents required by ERISA before the United States District Court for the Southern District of New York, in United States v. Irwin Lipkin, 10 Cr. 228 (LTS). The criminal counts of the information to which Lipkin pled guilty alleged, among other things, that: at the instruction of Bernard Madoff, Lipkin made deceptive entries in Bernard L. Madoff Investment Securities, LLC’s (BMIS) books and records to manipulate the firm’s reported financial results; these false entries were reflected in FOCUS reports and annual financial statements that BMIS filed with the Commission and provided to various BMIS investors; Lipkin requested other BMIS employees to reflect fake trades in BMIS accounts belonging to Lipkin and his family members, including for the purpose of artificially reducing taxable gains; and Lipkin arranged for “no show” jobs at BMIS, which allowed Lipkin and his wife to receive a salary and benefits that they were not entitled to receive, even after Lipkin retired from BMIS. Based on the above, the Order bars Lipkin from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent; and bars Lipkin 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. 34-69492; IA-3598; File No. 3-15089) In the Matter of Vincent G. CurryThe Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Vincent G. Curry (Curry). In the Order, the Division of Enforcement alleged that, on April 25, 2013, a final judgment was entered against Curry, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder in the civil action entitled Securities and Exchange Commission v. Geoffrey Lunn, et al., Civil Action Number 12-cv-02767, in the United States District Court for the District of Colorado. The complaint filed in connection with the civil action alleged that between May 2010 and November 2010 Curry marketed fraudulent securities offered by a fictitious business called Dresdner Financial directly to investors through emails, phone calls and other means. The complaint further alleged that Curry sold fraudulent, unregistered securities to at least eight investors for a total of at least $847,990 and was paid at least $399,930 from the investors’ funds as a commission. The complaint also alleged that Curry made numerous false statements to the investors regarding the securities and the reasons for which the investors had not received their promised returns. The complaint also alleged that Curry never was registered as a broker or associated with a registered broker-dealer. A hearing will be held by an Administrative Law Judge to determine whether the allegations in the Order are true, to provide the Respondents an opportunity to dispute these allegations and to determine what, if any, remedial sanctions are appropriate and in the public interest. The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of this Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. 34-69486; File No. 3-15312) In the Matter of Kenneth E. Mahaffy, Jr.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 (the Order) against Kenneth E. Mahaffy, Jr. (Mahaffy). The Order finds that Mahaffy was employed from approximately December 8, 1997 through February 19, 2003, at Merrill Lynch, Pierce, Fenner, & Smith, Inc. (Merrill) as a registered representative in its Garden City, New York office. From February 19, 2003 through 2005, Mahaffy was a registered representative at Citigroup Global Markets, Inc. (Citigroup) in its Farmingdale, New York office. Mahaffy has had a Series 7 license since March 1997. Mahaffy was a foreign exchange broker from January 1989 through January 1997. For a portion of the time in which he engaged in the conduct underlying the civil action described below, Mahaffy was associated with a broker-dealer registered with the Commission. The Order further finds that on March 21, 2013, a final judgment was entered by consent against Mahaffy, permanently enjoining him from future violations of Sections 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Amore, et al., Civil Action Number 05-CV-3885, in the United States District Court for the Eastern District of New York. The Commission’s complaint alleged that, while associated with a broker-dealer, in exchange for cash and other payments, Respondent participated in a scheme to provide access to “squawk boxes” to A.B. Watley, Inc., a day trading firm, to broadcast confidential information so its day traders could improperly trade ahead of the broker-dealer’s institutional orders. Based on the above, the Order bars Mahaffy from association with any broker or dealer with the right to reapply after four years. Mahaffy consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-69485; File No. 3-15311) In the Matter of Ricardo Bonilla RojasThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Ricardo Bonilla Rojas based upon the entry of a Final Judgment of Permanent Injunction by Default in the United States District Court for the District of Puerto Rico in the civil action entitled Securities and Exchange Commission v. Ricardo Bonilla Rojas, et al., Case No. 3:12-cv-01681-JAF, entered on April 12, 2013. In the Order, the Division of Enforcement (Division) alleges that from at least 2005 to 2009, in connection with the sale of investment contracts, Bonilla Rojas engaged in a Ponzi scheme, misappropriated investor funds, falsely stated to investors that their investment was guaranteed as to principal, sent out false account statements indicating that investors funds were fully invested and earning positive returns, and otherwise engaged in a variety of conduct that operated as a fraud and deceit on investors. The Division further alleges that Bonilla Rojas sold unregistered securities and acted as an unregistered broker-dealer. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to provide the Respondent an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest. The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of this Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. 34-69484; File No. 3-15310) In the Matter of Marc DudaThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b)(6) 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 Marc Duda (Duda). The Order finds that on October 20, 2011, Duda pled guilty to one count of wire fraud in violation of Title 18 United States Code, Section 1343. On March 26, 2012, a judgment was entered against Duda whereby he was sentenced to a prison term of 78 months, followed by three years of supervised release. Duda was also ordered to pay restitution in the amount of $5,400,441. The count of the criminal information to which Duda pled guilty alleged, inter alia, that between March 2008 and July 2011, Duda defrauded investors and obtained money and property by means of materially false and misleading statements, and that, in furtherance of his scheme, he caused investor funds to be wired from a bank account controlled by him to a casino in Las Vegas, Nevada. As a result of his scheme, Duda misused and misappropriated more than $5 million from at least ten investors. Based on the above, the Order bars Duda from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Duda consented to the issuance of the Order. (Rel. 34-69483; File No. 3-15309) INVESTMENT COMPANY ORDERSNotice of Applications for Deregistration under the Investment Company Act of 1940For the month of April 2013, a notice has been issued giving interested persons until May 21, 2013, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act of 1940 declaring that the applicant has ceased to be an investment company: 2009 Dole Food Automatic Common Exchange Security Trust [File No. 811-22342] Ameristock Mutual Fund Inc. [File No. 811-9090] Morgan Stanley Mid Cap Growth Fund [File No. 811-3639] Morgan Stanley Global Strategist Fund [File No. 811-5634] Morgan Stanley International Fund [File No. 811-9081] Morgan Stanley International Value Equity Fund [File No. 811-10273] Central Park Group Multi-Event Fund [File No. 811-21984] Excelsior Multi-Strategy Hedge Fund of Funds (TI 2), LLC [File No. 811-22317] John Hancock Flexible Income Opportunities Fund [File No. 811-22587] Diamond Hill Financial Trends Fund, Inc. [File No. 811-5734] Performance Funds Trust [File No. 811-6603] (Rel. IC-30495-April 26, 2013) Goldman Sachs Trust II, et al.A notice has been issued giving interested persons until May 28, 2013 to request a hearing on an application filed by Goldman Sachs Trust II, Goldman Sachs Asset Management, L.P. and Goldman Sachs Asset Management International, for an order exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (Rel. IC-30496 - April 29, 2013) Beverly Hills Bancorp Inc.A notice has been issued giving interested persons until May 23, 2013, to request a hearing on an application filed by Beverly Hills Bancorp Inc. (Beverly Hills). The requested order would exempt Beverly Hills from all provisions of the Act, except Sections 9, 17(a), 17(d), 17(e), 17(f), 36 through 45, and 47 through 51 of the Act and the rules thereunder, subject to the modifications discussed in the application, until the earlier of one year from the date of the requested order or such time as Beverly Hills would no longer be required to register as an investment company under the Act. (Rel. IC-30497 - April 30, 2013) Royce Focus Trust, Inc., et al.An order has been issued on an application filed by Royce Focus Trust, Inc., et al., under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Section 19(b) of the Act and Rule 19b-1 under the Act. The order permits certain registered closed-end investment companies to make periodic distributions of long-term capital gains with respect to their outstanding common stock as frequently as monthly in any one taxable year, and as frequently as distributions are specified by or in accordance with the terms of any outstanding preferred stock that such investment companies may issue. The order supersedes a prior order. (Rel. IC-30499 - April 30, 2013) Royce Value Trust, Inc., et al.An order has been issued on application filed by Royce Value Trust, Inc. (Value Trust), et al. under Section 12(d)(1)(J) of the Investment Company Act of 1940 for an exemption from Sections 12(d)(1)(A) and 12(d)(1)(C) of the Act, under Section 17(b) of the Act for an exemption from Section 17(a) of the Act, and under Section 17(d) of the Act, and Rule 17d-1 thereunder permitting certain joint transactions. The order permits Value Trust, a registered closed-end investment company, to transfer a segment of its assets to Royce Global Value Trust, Inc. (Global Trust), a registered closed-end investment company, and to distribute the shares of Global Trust common stock to Value Trust’s common stockholders. (Rel. IC-30500 - April 30, 2013) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangeThe Options Clearing Corporation (OCC) filed a proposed rule change (File No. SR-OCC-2013-04) under Section 19(b)(1) of the Securities Exchange Act of 1934 to change the expiration date for most options contracts to the third Friday of the expiration month instead of the Saturday following the third Friday. Publication is expected in the Federal Register during the week of April 29th. (Rel. 34-69480) 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-8 WEB.COM GROUP, INC., 12808 GRAN BAY PARKWAY WEST, JACKSONVILLE, FL,
32258, 9046806600 - 2,399,170 ($40,545,973.00) Equity,
(File 333-188223 - Apr. 30) (BR. 03B)
S-4 Ladder Capital Finance Holdings LLLP, 345 PARK AVENUE, 8TH FLOOR,
NEW YORK, NY, 10154, 212-715-3170 - 0 ($325,000,000.00) Debt,
(File 333-188224 - Apr. 30) (BR. 08)
S-1 JOBLOCATIONMAP INC, 5348 VEGAS DRIVE #407, LAS VEGAS, NV, 89108,
702-382-1714 - 1,500,000 ($60,000.00) Equity, (File 333-188225 -
Apr. 30) (BR. 03B)
S-3ASR Spectra Energy Corp., 5400 WESTHEIMER COURT, HOUSTON, TX, 77056,
704-382-8160 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-188226 - Apr. 30) (BR. 02A)
S-3ASR MOMENTA PHARMACEUTICALS INC, 675 WEST KENDALL STREET, CAMBRIDGE, MA,
02142, 617 491-9700 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-188227 - Apr. 30) (BR. 01A)
S-1 AIR INDUSTRIES GROUP, INC., 1479 NORTH CLINTON AVENUE, BAY SHORE, NY,
11706, 631-968-5000 - 1,918,780 ($11,512,680.00) Equity,
(File 333-188228 - Apr. 30) (BR. 05A)
S-8 ASSOCIATED BANC-CORP, 1200 HANSEN ROAD, GREEN BAY, WI, 54304,
920-431-8836 - 16,000,000 ($226,400,000.00) Equity, (File 333-188233 -
Apr. 30) (BR. 07C)
S-8 LINCOLN EDUCATIONAL SERVICES CORP, 200 EXECUTIVE DRIVE, WEST ORANGE,
NJ, 07052, 9737369340 - 1,000,000 ($5,650,000.00) Debt,
(File 333-188240 - Apr. 30) (BR. 11C)
S-8 UNITED THERAPEUTICS Corp, 1040 SPRING ST, SILVER SPRING, MD, 20910,
3016089292 - 0 ($193,456,000.00) Equity, (File 333-188241 - Apr. 30)
(BR. 01B)
S-3 ACTIVE POWER INC, 2128 WEST BRAKER LANE, BK12, AUSTIN, TX, 78758,
5128366464 - 50,000,000 ($50,000,000.00) Equity, (File 333-188242 -
Apr. 30) (BR. 02A)
S-3 COMSCORE, INC., 11950 DEMOCRACY DRIVE, SUITE 600, RESTON, VA, 20190,
703-438-2000 - 1,000,000 ($115,920,000.00) Equity, (File 333-188243 -
Apr. 30) (BR. 03A)
S-8 ERIE INDEMNITY CO, 100 ERIE INSURANCE PL, ERIE, PA, 16530, 8148702000 -
100,000 ($7,907,000.00) Equity, (File 333-188244 - Apr. 30) (BR. 01A)
S-3 CASCADE MICROTECH INC, 9100 SW GEMINI DRIVE, BEAVERTON, OR, 97008,
5036011000 - 2,288,222 ($15,948,907.00) Equity, (File 333-188245 -
Apr. 30) (BR. 10A)
S-3ASR HOME LOAN SERVICING SOLUTIONS, LTD., C/O JAMES LAUTER,
2002 SUMMIT BLVD., SIXTH FLOOR, ATLANTA, GA, 30319, 561-682-7561 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-188246 - Apr. 30)
(BR. 07)
S-8 KAMAN CORP, 1332 BLUE HILLS AVE, BLOOMFIELD, CT, 06002, 8602437100 -
3,700,000 ($127,039,500.00) Equity, (File 333-188247 - Apr. 30)
(BR. 06C)
S-1 iSatori, Inc., 15000 W 6TH AVE., SUITE 202, GOLDEN, CO, 80401,
303-215-9174 - 12,404,860 ($45,091,666.10) Equity, (File 333-188248 -
Apr. 30) (BR. 04A)
S-8 iSatori, Inc., 15000 W 6TH AVE., SUITE 202, GOLDEN, CO, 80401,
303-215-9174 - 823,758 ($2,994,360.33) Equity, (File 333-188249 -
Apr. 30) (BR. 04A)
S-8 iSatori, Inc., 15000 W 6TH AVE., SUITE 202, GOLDEN, CO, 80401,
303-215-9174 - 500,000 ($1,817,500.00) Equity, (File 333-188250 -
Apr. 30) (BR. 04A)
S-3ASR BRINKER INTERNATIONAL INC, 6820 LBJ FREEWAY, DALLAS, TX, 75240,
9729809917 - 0 ($0.00) Debt, (File 333-188252 - Apr. 30) (BR. 05A)
F-3 Himax Technologies, Inc., NO. 26, ZIH LIAN ROAD,
SINSHIH DISTRICT, TAINAN CITY 74148, TAIWAN, F5, -, 866 (6) 505-0880 -
0 ($276,364,454.30) ADRs/ADSs, (File 333-188253 - Apr. 30) (BR. 10A)
S-8 SYNOVUS FINANCIAL CORP, 1111 BAY AVENUE, STE 500 PO BOX 120, COLUMBUS,
GA, 31901, 7066494818 - 0 ($231,870,000.00) Equity, (File 333-188254 -
Apr. 30) (BR. 07B)
S-4 BIOMET INC, 56 EAST BELL DR, WARSAW, IN, 46582, 5742676639 -
0 ($2,625,000,000.00) Non-Convertible Debt, (File 333-188255 - Apr. 30)
(BR. 10A)
S-8 WEYERHAEUSER CO, 33663 WEYERHAEUSER WAY SOUTH, FEDERAL WAY, WA, 98003,
2539242345 - 18,943,473 ($577,965,361.23) Equity, (File 333-188256 -
Apr. 30) (BR. 08C)
S-8 POPULAR INC, 209 MUNOZ RIVERA AVE, POPULAR CENTER BUILDING, HATO REY,
PR, 00918, 7877659800 - 0 ($71,775,000.00) Equity, (File 333-188257 -
Apr. 30) (BR. 12A)
S-8 BNC BANCORP, 1226 EASTCHESTER DRIVE, HIGH POINT, NC, 27265,
3364769200 - 198,561 ($1,948,876.00) Equity, (File 333-188258 -
Apr. 30) (BR. 07C)
S-8 E2open Inc, 4100 EAST THIRD AVENUE, SUITE 400, FOSTER CITY, CA, 94404,
650-645-6500 - 1,272,156 ($15,901,950.00) Equity, (File 333-188259 -
Apr. 30) (BR. 03A)
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 1 800 FLOWERS COM INC DE 2.02,9.01 04/30/13 30DC, INC. MD 7.01,9.01 04/24/13 3D SYSTEMS CORP DE 2.02,7.01,9.01 04/30/13 A. H. Belo Corp DE 2.02,8.01,9.01 04/29/13 AARON'S INC GA 5.02,7.01,9.01 04/25/13 ABAXIS INC CA 5.02 04/24/13 ACCELRYS, INC. DE 2.02,9.01 04/30/13 Accenture plc L2 5.02 04/24/13 ACCENTURE SCA 5.02 04/24/13 Accretive Health, Inc. DE 5.02 04/24/13 ACTIVE POWER INC DE 2.02,9.01 04/30/13 Addus HomeCare Corp DE 5.02,5.03,9.01 04/28/13 ADDVANTAGE TECHNOLOGIES GROUP INC OK 2.02,7.01,9.01 04/30/13 ADVANCE AUTO PARTS INC DE 5.02,9.01 04/29/13 ADVANCED ENERGY INDUSTRIES INC DE 2.02,2.05, 04/26/13 2.06,5.03,9.01 Aegerion Pharmaceuticals, Inc. DE 2.02,9.01 04/30/13 Aegerion Pharmaceuticals, Inc. DE 5.02,9.01 04/26/13 Aegion Corp DE 2.02,9.01 04/24/13 AES CORP DE 1.01,2.03,9.01 04/25/13 AETNA INC /PA/ PA 2.02,9.01 04/30/13 AFFILIATED MANAGERS GROUP INC DE 2.02,8.01,9.01 04/30/13 AFFILIATED MANAGERS GROUP INC DE 1.01,2.03,9.01 04/30/13 AFFYMETRIX INC DE 2.02 03/31/13 AGCO CORP /DE DE 2.02,9.01 04/30/13 AGCO CORP /DE DE 5.07 04/25/13 AGL RESOURCES INC GA 2.02,7.01,9.01 04/30/13 ALABAMA POWER CO AL 5.07 04/26/13 ALEXANDRIA REAL ESTATE EQUITIES INC MD 2.02,9.01 04/29/13 Allied Nevada Gold Corp. DE 2.02,8.01,9.01 04/30/13 Alphatec Holdings, Inc. DE 2.02,9.01 04/30/13 Altra Holdings, Inc. DE 5.07 04/25/13 AlumiFuel Power Corp NV 5.03,9.01 04/30/13 AMARIN CORP PLC\UK X0 8.01 04/30/13 AMEDISYS INC DE 2.02,7.01,9.01 04/30/13 AMERICAN AIRLINES INC DE 7.01,9.01 04/30/13 American Assets Trust, Inc. MD 2.02,7.01,9.01 04/30/13 AMERICAN CAPITAL, LTD 2.02,9.01 04/30/13 AMERICAN CRYSTAL SUGAR CO /MN/ MN 4.01 04/29/13 AMERICAN EXPRESS CO NY 8.01,9.01 04/30/13 American Mineral Group, Inc. NV 8.01 04/30/13 American Nano Silicon Technologies, I CA 4.01 04/26/13 American Realty Capital Trust IV, Inc MD 1.01,2.01,8.01 04/24/13 AMR CORP DE 7.01,9.01 04/30/13 AMYRIS, INC. DE 2.02,9.01 04/30/13 Apple REIT Ten, Inc. VA 9.01 03/14/13 AMEND APPLIED MICRO CIRCUITS CORP DE 2.02,9.01 04/25/13 APRICUS BIOSCIENCES, INC. NV 2.01,9.01 04/25/13 ARCH COAL INC DE 5.02,5.07 04/25/13 ARKANSAS BEST CORP /DE/ DE 2.02,9.01 04/30/13 Arlington Asset Investment Corp. VA 2.02,9.01 04/30/13 Armada Oil, Inc. 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DE 2.02,9.01 04/30/13 CBL & ASSOCIATES PROPERTIES INC DE 2.02,9.01 04/29/13 CELL THERAPEUTICS INC WA 2.02,7.01,9.01 04/30/13 CENTER BANCORP INC NJ 2.02,8.01,9.01 04/25/13 CENTERPOINT ENERGY INC 5.07 04/25/13 CenterState Banks, Inc. FL 7.01 04/30/13 CENTURY ALUMINUM CO DE 1.01,8.01,9.01 04/28/13 CERUS CORP DE 2.01,9.01 04/30/13 CF Industries Holdings, Inc. DE 8.01,9.01 04/30/13 CFS BANCORP INC IN 2.02,9.01 04/30/13 CH ENERGY GROUP INC NY 8.01 04/24/13 CHEROKEE INC DE 2.02,9.01 04/30/13 Cheviot Financial Corp. MD 2.02,9.01 04/30/13 CHOICEONE FINANCIAL SERVICES INC MI 7.01 04/30/13 CHOICEONE FINANCIAL SERVICES INC MI 2.02,9.01 04/30/13 CIBER INC DE 2.02,9.01 04/30/13 CIGNA CORP DE 5.07 04/24/13 CINCINNATI BELL INC OH 5.02 04/29/13 Citigroup Commercial Mortgage Trust 2 DE 8.01,9.01 04/30/13 CITIGROUP INC DE 5.03,9.01 04/29/13 CKX LANDS, INC. LA 5.03,9.01 04/25/13 CLAIMSNET COM INC DE 1.01,2.03, 04/24/13 3.02,7.01,9.01 CLAYTON WILLIAMS ENERGY INC /DE DE 1.01,9.01 04/30/13 CLOUD PEAK ENERGY INC. DE 2.02,9.01 04/30/13 CMG HOLDINGS GROUP, INC. NV 7.01 04/30/13 CNH Capital LLC DE 2.02,9.01 04/30/13 Cobalt International Energy, Inc. 2.02,9.01 04/30/13 Community Partners Bancorp NJ 5.02 04/29/13 CONCURRENT COMPUTER CORP/DE DE 2.02,9.01 04/30/13 CONSTELLATION BRANDS, INC. DE 7.01,9.01 04/30/13 CONVERGYS CORP OH 2.02,9.01 04/30/13 Cooper-Standard Holdings Inc. DE 3.02 04/26/13 CORINTHIAN COLLEGES INC 2.02,5.02,9.01 04/27/13 Cornerstone OnDemand Inc DE 5.02 04/29/13 CORTLAND BANCORP INC OH 2.02,9.01 04/30/13 CRA INTERNATIONAL, INC. MA 1.01,1.02, 04/24/13 2.03,8.01,9.01 CRAY INC WA 2.02,9.01 04/30/13 CREDIT ACCEPTANCE CORP MI 2.02,9.01 04/30/13 CRIMSON EXPLORATION INC. 1.01,8.01,9.01 04/29/13 Crumbs Bake Shop, Inc. DE 1.01,9.01 04/29/13 CRYOLIFE INC FL 2.02,9.01 04/30/13 CSG SYSTEMS INTERNATIONAL INC DE 2.02,9.01 04/30/13 CULLEN/FROST BANKERS, INC. TX 5.07 04/25/13 CUMMINS INC IN 2.02,9.01 04/30/13 CURIS INC DE 2.02,5.02,9.01 04/25/13 CYNOSURE INC 2.02,9.01 04/30/13 CYTOKINETICS INC 2.02,9.01 04/30/13 DAKOTA PLAINS HOLDINGS, INC. NV 5.03,9.01 04/25/13 DAWSON GEOPHYSICAL CO TX 7.01,9.01 04/30/13 Del Frisco's Restaurant Group, Inc. DE 2.02,9.01 04/30/13 DELCATH SYSTEMS, INC. DE 7.01,9.01 04/30/13 DENNYS CORP DE 2.02,9.01 04/30/13 DIAMOND HILL INVESTMENT GROUP INC OH 5.02,5.07,9.01 04/30/13 DIEBOLD INC OH 2.02,2.05,9.01 04/30/13 DIGITAL ALLY INC 2.02,9.01 04/29/13 DIGITAL POWER CORP CA 5.02 04/26/13 Discover Card Execution Note Trust DE 1.01,9.01 04/29/13 DJO Finance LLC DE 5.02 04/24/13 DOCUMENT SECURITY SYSTEMS INC NY 1.01,9.01 04/30/13 DOMINOS PIZZA INC 2.02,9.01 04/30/13 Dorman Products, Inc. PA 2.02,9.01 04/30/13 DOVER MOTORSPORTS INC DE 1.01,9.01 04/29/13 DreamWorks Animation SKG, Inc. 2.02,9.01 04/30/13 DRIVETIME AUTOMOTIVE GROUP INC DE 1.01,9.01 04/29/13 Dynamic Gold Corp. NV 3.02 04/26/13 DYNAMIC MATERIALS CORP DE 2.02,9.01 04/30/13 E TRADE FINANCIAL Corp DE 5.02,9.01 04/25/13 Eagle Bancorp Montana, Inc. 2.02,9.01 04/30/13 EASTMAN KODAK CO NJ 7.01 04/30/13 ECOLAB INC DE 8.01,9.01 04/30/13 ECOLAB INC DE 2.02,2.05,9.01 04/30/13 ECOTALITY, INC. NV 8.01,9.01 04/30/13 EDISON INTERNATIONAL CA 2.02,7.01,9.01 04/30/13 EINSTEIN NOAH RESTAURANT GROUP INC DE 5.07 04/29/13 ELLIE MAE INC DE 2.02 04/30/13 EMISPHERE TECHNOLOGIES INC DE 1.01,2.03,9.01 04/26/13 EMPIRE RESORTS INC DE 8.01,9.01 04/30/13 ENBRIDGE ENERGY PARTNERS LP DE 2.02,9.01 04/30/13 ENDOLOGIX INC /DE/ DE 2.02,9.01 04/30/13 Ensco plc 2.02,9.01 04/29/13 ENTERPRISE PRODUCTS PARTNERS L P DE 2.02,9.01 04/29/13 ENTROPIC COMMUNICATIONS INC DE 2.02,9.01 04/30/13 EPIQ SYSTEMS INC MO 2.02,9.01 04/30/13 EPR PROPERTIES MD 2.02,9.01 04/30/13 EXAR CORP DE 2.02,9.01 04/30/13 EXTREME NETWORKS INC DE 2.02,9.01 04/30/13 EZCORP INC DE 2.02,9.01 04/30/13 FARO TECHNOLOGIES INC FL 2.02,9.01 04/30/13 Federal Home Loan Bank of Atlanta X1 2.03 04/24/13 Federal Home Loan Bank of Boston X1 2.03 04/24/13 Federal Home Loan Bank of Chicago X1 2.03 04/24/13 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 04/24/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 04/26/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 04/30/13 Federal Home Loan Bank of New York X1 2.03,9.01 04/24/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 04/24/13 Federal Home Loan Bank of San Francis X1 2.02,7.01,9.01 04/29/13 Federal Home Loan Bank of San Francis X1 2.03 04/24/13 Federal Home Loan Bank of Seattle 2.03 04/25/13 Federal Home Loan Bank of Topeka 2.03,9.01 04/24/13 FedFirst Financial Corp 2.02,9.01 04/30/13 FelCor Lodging Trust Inc MD 2.02,9.01 04/30/13 FERRO CORP OH 2.02,9.01 04/29/13 Fidelity National Information Service 2.02,9.01 04/30/13 FIRST BANKS, INC MO 5.02,9.01 04/30/13 FIRST BUSEY CORP /NV/ NV 2.02,9.01 04/30/13 FIRST COLOMBIA GOLD CORP. NV 1.01,9.01 04/23/13 First Connecticut Bancorp, Inc. MD 2.02,9.01 04/30/13 FIRST DATA CORP DE 2.02,9.01 04/30/13 FISERV INC WI 2.02,9.01 04/30/13 FLEXTRONICS INTERNATIONAL LTD. U0 2.02,9.01 04/30/13 FMC CORP DE 2.02,9.01 04/30/13 FMC CORP DE 5.02 04/29/13 FNB BANCORP/CA/ 2.02,9.01 04/29/13 FORTINET INC 2.02,9.01 04/30/13 FOSTER L B CO PA 2.02,9.01 04/30/13 FRANKLIN ELECTRIC CO INC IN 2.02,9.01 04/30/13 FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 2.02,8.01,9.01 04/30/13 FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 7.01,9.01 04/30/13 FRANKLIN RESOURCES INC DE 2.02,9.01 04/30/13 FRANKLIN STREET PROPERTIES CORP /MA/ 2.02,9.01 03/31/13 FRESH DEL MONTE PRODUCE INC E9 2.02,9.01 04/30/13 FUQI INTERNATIONAL, INC. DE 8.01 04/30/13 G&K SERVICES INC MN 2.02,9.01 04/30/13 GALLAGHER ARTHUR J & CO DE 2.02,9.01 04/30/13 GENWORTH FINANCIAL INC 2.02,9.01 04/30/13 GEO GROUP INC FL 5.02,8.01,9.01 04/29/13 GeoBio Energy, Inc. CO 5.02 04/29/13 Gevo, Inc. DE 2.02,9.01 04/30/13 GLADSTONE CAPITAL CORP MD 2.02,9.01 04/30/13 Global Vision Holdings, Inc. NV 1.01,2.03,3.02 04/24/13 GlobalOptions Group, Inc. 8.01 04/24/13 GLOBALSCAPE INC DE 7.01,9.01 04/30/13 GOLDMAN SACHS GROUP INC DE 9.01 04/30/13 Government Properties Income Trust MD 2.02,9.01 04/30/13 GRACO INC MN 5.07,9.01 04/26/13 Gramercy Property Trust Inc. MD 5.08,8.01 04/25/13 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 04/26/13 Graystone Co DE 3.02 04/29/13 GREAT CHINA MANIA HOLDINGS, INC. FL 5.02 04/29/13 GREEN DOT CORP DE 2.02,9.01 04/30/13 Green Plains Renewable Energy, Inc. IA 2.02,9.01 04/30/13 GreenChoice International, Inc. NV 5.01 04/24/13 GreenHaven Continuous Commodity Index DE 8.01,9.01 04/30/13 GREENTECH MINING INTERNATIONAL, INC. DE 1.01,5.06,9.01 09/19/12 AMEND GREENWAY MEDICAL TECHNOLOGIES INC 2.02,7.01,9.01 04/29/13 AMEND GTX INC /DE/ DE 8.01,9.01 04/30/13 HANCOCK HOLDING CO MS 8.01,9.01 04/30/13 HANOVER INSURANCE GROUP, INC. DE 2.02,9.01 04/29/13 HARLAND CLARKE HOLDINGS CORP DE 2.02,9.01 04/30/13 HARRIS CORP /DE/ DE 2.02,7.01,9.01 04/30/13 HAWAIIAN ELECTRIC INDUSTRIES INC HI 7.01,9.01 04/30/13 HCC INSURANCE HOLDINGS INC/DE/ DE 1.01,9.01 04/26/13 HCC INSURANCE HOLDINGS INC/DE/ DE 2.02,9.01 04/30/13 HCP, INC. MD 2.02,9.01 04/30/13 HEADWATERS INC DE 2.02,9.01 04/30/13 HEALTHCARE REALTY TRUST INC MD 2.02,9.01 04/30/13 HEALTHCARE TRUST OF AMERICA, INC. MD 8.01,9.01 04/26/13 HEARTLAND PAYMENT SYSTEMS INC DE 2.02,8.01,9.01 04/30/13 HEINZ H J CO PA 5.07,8.01,9.01 04/30/13 HEMISPHERE MEDIA GROUP, INC. DE 7.01,9.01 04/29/13 HENRY JACK & ASSOCIATES INC DE 2.02,9.01 04/30/13 HICKORY TECH CORP MN 2.02,7.01,9.01 04/30/13 Hillenbrand, Inc. IN 5.02 03/20/13 AMEND HINES REAL ESTATE INVESTMENT TRUST IN 8.01 04/30/13 HOLLY ENERGY PARTNERS LP 2.02,9.01 04/30/13 HOPFED BANCORP INC DE 2.02,9.01 04/30/13 HUDSON CITY BANCORP INC DE 2.02,9.01 04/30/13 Huntsman CORP DE 2.02,9.01 04/30/13 HUTCHINSON TECHNOLOGY INC MN 2.02,9.01 04/30/13 HYPERDYNAMICS CORP DE 5.02 04/26/13 HYPERION THERAPEUTICS INC DE 8.01 04/29/13 IAC/INTERACTIVECORP DE 2.02,7.01 04/30/13 IDENIX PHARMACEUTICALS INC DE 2.02,9.01 04/30/13 IF Bancorp, Inc. MD 2.02,8.01,9.01 04/29/13 IKONICS CORP 5.07 04/24/13 IMPAC MORTGAGE HOLDINGS INC MD 1.01,2.03,3.02,9.01 04/29/13 Independent Bank Group, Inc. TX 2.02,9.01 04/30/13 Infinity Resources Holdings Corp. NV 1.01,9.01 04/29/13 Ingen Technologies, Inc. 1.01,9.01 04/30/13 Innophos Holdings, Inc. 2.02 04/29/13 INSMED INC VA 8.01 04/29/13 Interactive Brokers Group, Inc. DE 5.07 04/25/13 INTERCEPT PHARMACEUTICALS INC DE 1.01,7.01,8.01,9.01 04/29/13 INTERMOUNTAIN COMMUNITY BANCORP ID 5.03,5.07,9.01 04/24/13 INTRICON CORP PA 5.07 04/24/13 INTUITIVE SURGICAL INC DE 5.02,5.07,8.01,9.01 04/25/13 INUVO, INC. NV 5.02 04/25/13 Invesco Ltd. D0 2.02,9.01 04/30/13 Investors Bancorp Inc DE 2.02,8.01,9.01 04/29/13 ISABELLA BANK CORP MI 2.02,9.01 04/26/13 iSatori, Inc. DE 8.01,9.01 04/16/13 ISTAR FINANCIAL INC 2.02,9.01 04/30/13 IXIA CA 2.02,9.01 04/30/13 IZEA, Inc. NV 5.02,9.01 04/24/13 J C PENNEY CO INC DE 8.01,9.01 04/30/13 JAMBA, INC. DE 2.02,9.01 04/30/13 Jive Software, Inc. DE 2.02,9.01 04/30/13 KAANAPALI LAND LLC 4.01 04/30/13 KADANT INC DE 2.02,9.01 04/29/13 KADANT INC DE 7.01,9.01 04/30/13 KBR, INC. DE 8.01 04/30/13 KELLOGG CO DE 5.07 04/26/13 KENTUCKY BANCSHARES INC /KY/ KY 2.02,9.01 04/30/13 KEY TRONIC CORP WA 2.02,9.01 04/30/13 KEYNOTE SYSTEMS INC DE 2.02,8.01,9.01 04/30/13 KEYNOTE SYSTEMS INC DE 5.02 04/30/13 KEYNOTE SYSTEMS INC DE 8.01,9.01 04/30/13 KEYW HOLDING CORP MD 2.02,5.02,9.01 04/29/13 KFORCE INC FL 2.02,9.01 04/30/13 Kior Inc DE 3.02,9.01 04/24/13 KULICKE & SOFFA INDUSTRIES INC PA 2.02,9.01 04/30/13 LabStyle Innovations Corp. DE 1.01,7.01,9.01 04/25/13 LACLEDE GROUP INC MO 2.02,7.01,9.01 04/30/13 LAKES ENTERTAINMENT INC MN 7.01,9.01 04/29/13 LCA VISION INC DE 2.02,9.01 04/30/13 LEAP WIRELESS INTERNATIONAL INC DE 2.02,9.01 04/30/13 LEGG MASON, INC. MD 2.02,9.01 04/30/13 LEMAITRE VASCULAR INC 2.02,9.01 04/30/13 LGL GROUP INC DE 8.01,9.01 04/30/13 Liberty Global, Inc. DE 2.02,7.01 04/25/13 LIGAND PHARMACEUTICALS INC DE 1.01 04/29/13 LITTELFUSE INC /DE DE 2.02,5.07,9.01 04/26/13 LNB BANCORP INC OH 7.01,9.01 04/30/13 LTC PROPERTIES INC MD 2.02,9.01 04/30/13 Lumos Networks Corp. VA 1.01,2.03,9.01 04/30/13 LyondellBasell Industries N.V. P7 5.02,9.01 04/29/13 M/A-COM Technology Solutions Holdings DE 2.02,9.01 04/30/13 MACK CALI REALTY CORP MD 1.01,7.01,9.01 04/29/13 MACKINAC FINANCIAL CORP /MI/ MI 2.02,9.01 04/30/13 MACROSOLVE INC OK 2.02,9.01 04/30/13 MAGELLAN HEALTH SERVICES INC DE 2.02,9.01 04/30/13 MAGELLAN MIDSTREAM PARTNERS LP DE 8.01,9.01 04/29/13 MAGNACHIP SEMICONDUCTOR Corp DE 2.02,9.01 04/30/13 MAGNUM HUNTER RESOURCES CORP DE 1.01,2.01,7.01,9.01 04/24/13 MAINSOURCE FINANCIAL GROUP IN 8.01,9.01 04/30/13 MANITOWOC CO INC WI 2.02,9.01 04/30/13 Marathon Petroleum Corp DE 2.02,9.01 04/30/13 Marathon Petroleum Corp DE 5.07 04/24/13 MARINE PRODUCTS CORP DE 8.01,9.01 04/29/13 MARLIN BUSINESS SERVICES CORP 2.02,9.01 04/30/13 MARTHA STEWART LIVING OMNIMEDIA INC DE 2.02,9.01 04/30/13 MARTIN MARIETTA MATERIALS INC NC 2.02,7.01,9.01 04/30/13 MAXLINEAR INC 2.02,9.01 04/30/13 MAXWELL TECHNOLOGIES INC DE 2.02,9.01 04/30/13 MCG CAPITAL CORP DE 2.02,9.01 04/30/13 MCGRAW-HILL COMPANIES INC NY 2.02,7.01,9.01 04/30/13 Mead Johnson Nutrition Co DE 5.02,5.07,9.01 04/29/13 MEADWESTVACO Corp DE 2.02,9.01 04/30/13 MEDISWIPE INC. DE 5.02,9.01 04/02/13 MeetMe, Inc. DE 5.02 04/24/13 MELA SCIENCES, INC. /NY 2.02,9.01 04/30/13 MERCURY SYSTEMS INC MA 2.02,9.01 04/30/13 MERISEL INC /DE/ DE 3.02 04/18/13 MERITOR INC IN 1.01,2.02,9.01 04/29/13 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 04/25/13 MERU NETWORKS INC DE 2.02,5.02,9.01 04/27/13 MGIC INVESTMENT CORP WI 2.02,9.01 04/30/13 Millennial Media Inc. DE 5.02 04/26/13 MILLER ENERGY RESOURCES, INC. TN 7.01,8.01,9.01 04/30/13 MIMVI, INC. NV 5.02 04/24/13 MINDSPEED TECHNOLOGIES, INC DE 2.02,9.01 04/30/13 MISSION BROADCASTING INC DE 1.01,9.01 04/24/13 MOMENTA PHARMACEUTICALS INC DE 2.02,9.01 04/30/13 Momentive Performance Materials Inc. DE 1.01,2.03,9.01 04/24/13 MONITRONICS INTERNATIONAL INC TX 7.01,9.01 04/25/13 Morgan Stanley Bank of America Merril DE 8.01,9.01 04/29/13 MPLX LP DE 2.02,9.01 04/30/13 Mueller Water Products, Inc. DE 2.02,9.01 04/30/13 MULTIMEDIA GAMES HOLDING COMPANY, INC TX 2.02,9.01 04/30/13 MYERS INDUSTRIES INC OH 5.02,5.07,9.01 04/26/13 NABORS INDUSTRIES LTD D0 8.01 04/25/13 NANOMETRICS INC DE 2.02,9.01 04/30/13 NATIONAL BANKSHARES INC VA 7.01,9.01 04/30/13 NATIONAL PENN BANCSHARES INC PA 7.01,9.01 04/30/13 NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 2.02,9.01 04/30/13 NCR CORP MD 5.02,5.07,9.01 04/24/13 NCR CORP MD 2.02,7.01,9.01 04/30/13 NeoStem, Inc. DE 1.01,8.01,9.01 04/29/13 NEW JERSEY RESOURCES CORP NJ 7.01,9.01 04/30/13 NEWS CORP 8.01,9.01 04/29/13 NEWS CORP 8.01,9.01 04/30/13 NEXSTAR BROADCASTING GROUP INC DE 1.01,9.01 04/24/13 NEXTERA ENERGY INC FL 2.02,9.01 04/30/13 NISOURCE INC/DE DE 2.02,9.01 04/30/13 NORTHEAST BANCORP /ME/ ME 3.02,6.05 03/31/13 NORTHWESTERN CORP DE 5.07 04/25/13 NovaCopper Inc. A1 7.01,8.01,9.01 04/30/13 Nuance Communications, Inc. DE 2.02,7.01,9.01 04/30/13 NUVASIVE INC DE 1.01,2.02,9.01 04/25/13 NYSE Euronext DE 2.02,9.01 04/30/13 OCEANEERING INTERNATIONAL INC DE 5.02,5.07 04/25/13 OFFICE DEPOT INC DE 2.02,8.01,9.01 04/30/13 OFFICE DEPOT INC DE 8.01,9.01 04/30/13 OFFICE DEPOT INC DE 8.01,9.01 04/30/13 OLD LINE BANCSHARES INC MD 2.02,9.01 04/30/13 ONEOK INC /NEW/ OK 2.02,7.01,9.01 04/30/13 ONEOK Partners LP DE 2.02,7.01,9.01 04/30/13 ORIENT EXPRESS HOTELS LTD D0 5.05 04/29/13 ORIENTAL FINANCIAL GROUP INC PR 5.02,5.07 04/24/13 OSHKOSH CORP WI 2.02,9.01 04/30/13 OvaScience, Inc. DE 5.03,8.01,9.01 04/30/13 Pacific Ethanol, Inc. DE 8.01,9.01 04/30/13 PACIFIC FINANCIAL CORP WA 5.07 04/24/13 Pacific Green Technologies Inc. DE 1.01,2.01,3.02,9.01 04/25/13 PALADIN REALTY INCOME PROPERTIES INC MD 8.01 04/26/13 PALMETTO BANCSHARES INC SC 8.01,9.01 04/25/13 PARTNERRE LTD 2.02,8.01,9.01 04/29/13 PDL BIOPHARMA, INC. DE 7.01,9.01 04/29/13 PDL BIOPHARMA, INC. DE 5.02,8.01,9.01 04/30/13 PennyMac Mortgage Investment Trust MD 1.01,2.03, 04/24/13 3.02,8.01,9.01 PERICOM SEMICONDUCTOR CORP CA 2.02,9.01 04/30/13 PETMED EXPRESS INC FL 8.01,9.01 04/29/13 PetroLogistics LP DE 5.02 04/26/13 PFIZER INC DE 2.02,9.01 04/30/13 PHAR MOR INC PA 7.01 04/30/13 PIEDMONT NATURAL GAS CO INC NC 7.01 04/30/13 Pinnacle Foods Finance LLC DE 1.01,2.03,7.01,9.01 04/29/13 Pinnacle Foods Inc. DE 1.01,2.03,7.01,9.01 04/29/13 PIONEER ENERGY SERVICES CORP TX 2.02,9.01 04/30/13 PIONEER POWER SOLUTIONS, INC. DE 5.02,9.01 04/30/13 PIPER JAFFRAY COMPANIES DE 2.01,9.01 04/30/13 PITNEY BOWES INC /DE/ DE 2.02,9.01 04/30/13 PLUMAS BANCORP CA 2.02,9.01 04/30/13 Point Capital, Inc. NY 1.01,3.02,5.03,9.01 04/24/13 Polonia Bancorp Inc MD 2.02,9.01 04/29/13 POPULAR INC 7.01,9.01 04/30/13 Porter Bancorp, Inc. KY 2.02,9.01 04/30/13 PORTFOLIO RECOVERY ASSOCIATES INC DE 2.02,9.01 04/30/13 POST PROPERTIES INC GA 2.02,9.01 04/29/13 Powder River Coal Corp. FL 4.01,9.01 04/29/13 PRAXAIR INC DE 1.01,9.01 04/30/13 PREMIER FINANCIAL BANCORP INC KY 2.03,9.01 04/25/13 PRGX GLOBAL, INC. GA 2.02,9.01 04/29/13 Prologis, Inc. MD 8.01,9.01 04/25/13 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 2.02,7.01,9.01 04/30/13 PVH CORP. /DE/ DE 7.01,9.01 04/30/13 QUAINT OAK BANCORP INC 2.02,9.01 04/30/13 QUESTAR CORP UT 2.02,9.01 04/30/13 QUINSTREET, INC DE 2.02,9.01 04/30/13 RADIANT LOGISTICS, INC DE 5.02,9.01 04/26/13 RAMBUS INC DE 5.03,5.07,9.01 04/25/13 Rand Logistics, Inc. DE 8.01,9.01 04/30/13 REGAL ENTERTAINMENT GROUP DE 2.02,8.01,9.01 04/30/13 Regency Energy Partners LP DE 1.01,2.01,2.03, 04/24/13 3.02,5.03,7.01,9.01 RENT A CENTER INC DE 8.01,9.01 04/29/13 REPUBLIC AIRWAYS HOLDINGS INC DE 2.02,9.01 04/29/13 REPUBLIC AIRWAYS HOLDINGS INC DE 5.02,9.01 04/25/13 Resolute Forest Products Inc. DE 2.02,2.03,9.01 04/29/13 REVA Medical, Inc. 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DE 2.02,9.01 04/30/13 TECHNE CORP /MN/ MN 8.01,9.01 04/30/13 TECHNE CORP /MN/ MN 2.02,9.01 04/30/13 TECKMINE INDUSTRIES INC. 1.01,9.01 04/29/13 TECO ENERGY INC FL 2.02,9.01 04/30/13 TELEFLEX INC DE 2.02,9.01 04/30/13 TELEFLEX INC DE 7.01,9.01 04/30/13 TENET HEALTHCARE CORP NV 2.02,9.01 04/30/13 Terra Tech Corp. NV 1.01,3.02,9.01 03/22/13 TESSERA TECHNOLOGIES INC DE 5.03,9.01 04/29/13 TEXAS PACIFIC LAND TRUST 2.02,9.01 04/30/13 TIME WARNER CABLE INC. DE 5.02,9.01 04/29/13 TOR MINERALS INTERNATIONAL INC DE 2.02,9.01 04/30/13 TORCHMARK CORP DE 5.02,5.07,9.01 04/25/13 TRANS1 INC 1.01 04/25/13 TRANSATLANTIC PETROLEUM LTD. 5.02 04/24/13 Transocean Ltd. V8 7.01,9.01 04/30/13 TRICO BANCSHARES / CA 8.01,9.01 04/29/13 TRIMBLE NAVIGATION LTD /CA/ CA 2.02,9.01 04/30/13 TRULIA, INC. DE 2.02,9.01 04/30/13 TRW AUTOMOTIVE HOLDINGS CORP DE 2.02,9.01 04/30/13 U.S. SILICA HOLDINGS, INC. DE 2.02,5.07,9.01 04/25/13 UDR, Inc. 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DE 2.02,9.01 04/29/13 UNIVERSAL TECHNICAL INSTITUTE INC DE 2.02,9.01 04/30/13 VALASSIS COMMUNICATIONS INC DE 5.02,9.01 04/24/13 VALERO ENERGY CORP/TX DE 2.02,9.01 04/30/13 Vanguard Natural Resources, LLC DE 2.02,7.01,9.01 04/30/13 VAPOR CORP. NV 1.01,9.01 04/30/13 VECTOR GROUP LTD DE 2.02,9.01 04/30/13 VECTREN CORP IN 1.01 04/26/13 Verisk Analytics, Inc. DE 2.02,9.01 04/30/13 VERTEX PHARMACEUTICALS INC / MA MA 2.02,9.01 04/30/13 VIASPACE Inc. 1.01,3.02,9.01 04/26/13 VIRGIN MEDIA INC. DE 8.01 04/29/13 VISHAY INTERTECHNOLOGY INC DE 2.02,7.01,9.01 04/30/13 VISION SCIENCES INC /DE/ DE 2.02,9.01 04/29/13 VIVUS INC CA 8.01,9.01 04/30/13 VIVUS INC CA 5.02,5.03,8.01,9.01 04/26/13 WABASH NATIONAL CORP /DE DE 2.02,9.01 04/30/13 Walter Energy, Inc. DE 5.07 04/25/13 WASHINGTON TRUST BANCORP INC RI 5.02 04/23/13 WashingtonFirst Bankshares, Inc. 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