SEC NEWS DIGEST

ENFORCEMENT PROCEEDINGS

Commission Charges City of Harrisburg for Fraudulent Public Statements

The Securities and Exchange Commission (Commission) today charged the City of Harrisburg, Pa., with securities fraud for its misleading public statements when its financial condition was deteriorating and financial information available to municipal bond investors was either incomplete or outdated.

An SEC investigation found that the misleading statements were made in the city’s budget report, annual and mid-year financial statements, and a State of the City address. This marks the first time that the SEC has charged a municipality for misleading statements made outside of its securities disclosure documents. Harrisburg has agreed to settle the charges.

The SEC found that Harrisburg failed to comply with requirements to provide certain ongoing financial information and audited financial statements for the benefit of investors holding hundreds of millions of dollars in bonds issued or guaranteed by the city. As a result of Harrisburg’s non-compliance from 2009 to 2011, investors had to seek out Harrisburg’s other public statements in order to obtain current information about the city’s finances. However, very little information about the city’s fiscal situation was publicly available elsewhere. Information that was accessible on the city’s website such as its 2009 budget, 2009 State of the City address, and 2009 mid-year fiscal report either misstated or failed to disclose critical information about Harrisburg’s financial condition and credit ratings.

The SEC separately issued a report today addressing the disclosure obligations of public officials and their potential liability under the federal securities laws for public statements made in the secondary market for municipal securities.

“In an information vacuum caused by Harrisburg’s failure to provide accurate information about its deteriorating financial condition, municipal investors had to rely on other public statements misrepresenting city finances,” said George S. Canellos, Co-Director of the SEC’s Division of Enforcement. “Statements that are reasonably expected to reach the securities markets, even if not prepared for that purpose, cannot be materially misleading.”

Elaine C. Greenberg, Chief of the SEC’s Enforcement Division’s Municipal Securities and Public Pensions Unit, said, “A municipal issuer’s obligation to provide accurate and timely material information to investors is an ongoing one. Because of Harrisburg’s misrepresentations, secondary market investors made trading decisions based on inaccurate and stale information.”

According to the SEC’s order instituting settled administrative proceedings, Harrisburg is a near-bankrupt city under state receivership largely due to approximately $260 million in debt the city had guaranteed for upgrades and repairs to a municipal resource recovery facility owned by The Harrisburg Authority. As of March 15, 2013, Harrisburg has missed approximately $13.9 million in general obligation debt service payments.

According to the SEC’s order, Harrisburg had not submitted annual financial information or audited financial statements since submitting its 2007 Comprehensive Annual Financial Report (CAFR) to a Nationally Recognized Municipal Securities Information Repository (NRMSIR) in January 2009. Beginning in July 2009, Harrisburg was obligated to submit financial information and notices such as principal and interest payment delinquencies and changes in bond ratings to a central repository known as the Electronic Municipal Market Access (EMMA) system maintained by the Municipal Securities Rulemaking Board (MSRB). Harrisburg did not submit its 2008 CAFR to EMMA, instead erroneously submitting it to a former NRMSIR on March 2, 2010. Harrisburg did not submit its 2009 CAFR to EMMA until Aug. 6, 2012, and did not submit its 2010 CAFR to EMMA until Dec. 20, 2012. The city did not submit material event notices about its failure to submit annual financial information or its credit rating downgrades until March 29, 2011, after the SEC had commenced its investigation.

Therefore, the SEC’s order finds that at a time of increased interest in the Harrisburg’s financial health due to the deteriorating financial condition of The Harrisburg Authority, the city created a risk that investors could purchase or sell securities in the secondary market on the basis of incomplete and outdated information. For current information, investors had to review other public statements from the city about its fiscal situation. For example, Harrisburg’s 2009 budget and its accompanying transmittal letter were accessible on Harrisburg’s website. By the time the 2009 budget was passed, Harrisburg was aware of the Authority’s projected budget deficits and that Dauphin County was challenging a rate increase. As a result, the Authority was unlikely to have sufficient revenues to pay its 2009 debt service obligations. However, Harrisburg’s 2009 budget as adopted did not include funds for debt guarantee payments. The 2009 budget also misstated Harrisburg’s credit as being rated “Aaa” by Moody’s when in fact Moody’s had downgraded Harrisburg’s general obligation credit rating to Baa1 by December 2008.

According to the SEC’s order, another public statement available to investors on the city’s website was the annual State of the City address delivered on April 9, 2009. The address only discussed the municipal resource recovery facility as a situation that was an “additional challenge” and an “issue that can be resolved.” The address was misleading because it failed to mention that by this time, Harrisburg had already made $1.8 million in guarantee payments on the resource recovery facility bond debt. It also omitted the total amount of the debt that the city would likely have to repay from its general fund. By this time, Harrisburg knew that the Authority had failed to secure the requested rate increase, making it likely that Harrisburg would have to repay $260 million of the debt as guarantor.

According to the SEC’s order, Harrisburg’s 2009 mid-year fiscal report available on its website was designed to provide a snapshot of budget-to-actual figures at the middle of the year. However, the report did not reference any of the guarantee payments the city had made on the municipal resource recovery facility debt, which at this mid-year point totaled $2.3 million (7 percent of its general fund expenditures).

The SEC’s order requires Harrisburg to cease and desist from committing or causing violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The city neither admits nor denies the findings in the order. In the settlement, the SEC considered Harrisburg’s cooperation in the investigation and the various remedial measures implemented by the city to prevent further securities laws violations.

The SEC’s investigation was conducted by members of the Enforcement Division’s Municipal Securities and Public Pensions Unit including Senior Enforcement Counsel Yolanda Gonzalez and Assistant Director Ivonia K. Slade with assistance from Municipal Securities Specialist Jonathan D. Wilcox. The investigation was supervised by Unit Chief Elaine C. Greenberg and Deputy Chief Mark R. Zehner.

* * *

In its Report of Investigation to address the secondary market disclosure responsibilities of public officials when they make public statements about a municipal issuer, the SEC notes that public officials should be mindful that their written or oral public statements may affect the total mix of information available to investors. This could result in anti-fraud liability under the federal securities laws for the public officials making such statements if they are materially misleading or omit material information.

The report further states that public officials should consider taking steps to reduce the risk of misleading investors. At a minimum, they should consider adopting policies and procedures that are reasonably designed to result in accurate, timely, and complete public disclosures; identifying those persons involved in the disclosure process; evaluating other public disclosures including financial information made by the municipal issuer; and assuring that responsible individuals receive adequate training about their obligations under the federal securities laws. (Press Rel. 2013-82); Rel. 34-69515; File No. 3-15316; Rel. 34- 69516)

In the Matter of Matthew C. Devlin

On May 6, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Matthew C. Devlin. The Order finds that on October 19, 2012, a judgment was entered by consent against Devlin in the civil action entitled Securities and Exchange Commission v. Devlin, et al., Civil Action Number: 08-CV-11001 (LGS), in the United States District Court for the Southern District of New York, enjoining him from future violations of Sections 10(b) and 14(e) of the Exchange Act and Rules 10b-5 and 14e-3 thereunder. The Order also finds that on December 16, 2008, Devlin pled guilty to four counts of conspiracy to commit securities fraud and one count of securities fraud, and subsequently was sentenced to three years’ probation and ordered to pay a $10,000 fine and a $500 special assessment and forfeit $23,000.

The Order also finds that the Commission’s complaint alleged that from March 2004 through July 2008, Devlin, then a registered representative at Lehman Brothers Inc. in New York City, engaged in an illegal insider trading scheme in which he traded on and tipped his clients and friends with material, nonpublic information about 13 upcoming corporate transactions. The complaint alleged that Devlin had misappropriated the confidential information from his wife, a partner in the New York City Office of an international public relations firm which was working on the deals. The complaint further alleged that Devlin received cash and other benefits from his friends and business associates for providing them the inside information.

The Order bars Devlin from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent, and bars him from participating in any offering of a penny stock. Devlin consented to the issuance of the Order. (Rel. 34-69514; IA-3602; File No. 3-15315).

INVESTMENT COMPANY ORDERS

Millington Securities, Inc.
Millington Exchange Traded Mavins Fund, LLC

An order has been issued on an application filed by Millington Securities, Inc. and Millington Exchange Traded MAVINS Fund, LLC for an order to permit: (a) 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 after 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; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30506 - May 6, 2013)

Forum Investment Advisors, LLC, et al.

A notice has been issued giving interested persons until May 31, 2013, to request a hearing on an application filed by Forum Investment Advisors, LLC, et al., for an order to permit: (a) series of certain actively managed 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 after 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; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30507 - May 6, 2013)

SELF-REGULATORY ORGANIZATIONS

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by BOX Options Exchange LLC to provide for the manner in which mini options will trade as a Complex Order pursuant to BOX Rule 7240 (SR-BOX-2013-23) 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 May 6^th. (Rel. 34-69512)

A proposed rule change filed by NASDAQ OMX PHLX to amend Remote Streaming Quote Trader fees and reference a Remote Streaming Quote Trader Organization (SR-Phlx-2013-44) 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 May 6^th. (Rel. 34-69509)

A proposed rule change filed by the Miami International Securities Exchange LLC (SR-MIAX-2013-20) to allow all Lead Market Makers to receive Directed 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 May 6^th. (Rel. 34-69507)

A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2013-12) relating to amendments to the EDGA Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week of May 6^th. (Rel. 34-69505).

A proposed rule change filed by BOX Options Exchange LLC (SR-BOX-2013-22) to amend Rule 7170 (Obvious and Catastrophic Errors) 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 May 6^th. (Rel. 34-69517)

A proposed rule change filed by The NASDAQ Stock Market LLC to amend NASDAQ Rule 4763 (Short Sale Price Test Pursuant to Rule 201 of Regulation SHO) (SR-NASDAQ-2013-071) 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 May 6^th. (Rel. 34-69521)

A proposed rule change filed by the Miami International Securities Exchange LLC relating to priority customer size (SR-MIAX-2013-18) 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 May 6^th. (Rel. 34-69518)

Approval of Proposed Rule Change

The Commission granted approval of proposed rule changes submitted by the New York Stock Exchange LLC and NYSE MKT LLC (SR-NYSE-2013-08; SR-NYSEMKT-2013-07) amending the attestation requirement of Rule 107C (NYSE) and 107C – Equities (NYSE MKT) to allow a Retail Member Organization to attest that “substantially all” orders submitted to the Retail Liquidity Program will qualify as “retail orders.” Publication is expected in the Federal Register during the week of May 6^th. (Rel. 34-69513)

The Commission granted approval of a proposed rule change (SR-BOX-2013-06) submitted by BOX Options Exchange LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to list and trade option contracts overlying 1,000 shares of the SPDR S&P 500 Exchange-Traded Fund. Publication is expected in the Federal Register during the week of May 6^th. (Rel. 34-69511)

Designation of Longer Period for Commission Action on Proposed Rule Change

The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-NYSEArca-2013-34), as modified by Amendment No. 1 thereto, filed by NYSE Arca, Inc. to implement a one-year pilot program for issuers of certain exchange-traded products listed on the exchange. Publication is expected in the Federal Register during the week of May 6^th. (Rel. 34-69508)

SECURITIES ACT REGISTRATIONS

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

S-8     Insys Therapeutics, Inc., 10220 SOUTH 51ST STREET, SUITE 2, PHOENIX, 
        AZ, 85044, 602-910-2617 - 0 ($54,002,465.00) Equity, (File 333-188306 - 
        May. 3) (BR. 01B)

S-3ASR  Lazard Ltd, CLARENDON HOUSE, 2 CHURCH STREET, HAMILTON, D0, HM II, 
        (441) 295-1422 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-188308 - May. 3) (BR. 12B)

S-3ASR  OGE ENERGY CORP., 321 N HARVEY, P.O. BOX 321, OKLAHOMA CITY, OK, 
        73101-0321, 4055533000 - 0 ($0.00) Debt, 0 ($0.00) Equity, 
        (File 333-188309 - May. 3) (BR. 02C)

S-8     ASPEN INSURANCE HOLDINGS LTD, 141 FRONT STREET, HAMILTON, D0, HM 19, 
        1 441 295 8201 - 2,845,683 ($107,709,101.55) Equity, (File 333-188310 - 
        May. 3) (BR. 01A)

S-8     MDC HOLDINGS INC, 4350 S MONACO STREET, SUITE 500, DENVER, CO, 80237, 
        3037731100 - 1,000,000 ($37,580,000.00) Equity, (File 333-188311 - 
        May. 3) (BR. 06A)

S-3ASR  ALLETE INC, 30 W SUPERIOR ST, DULUTH, MN, 55802-2093, 2182795000 - 
        2,000,000 ($101,200,000.00) Equity, (File 333-188315 - May. 3) (BR. 02B)

S-1     AMERICAN PETRO-HUNTER INC, 17470  NORTH PACESETTER WAY, SCOTTSDALE, AZ, 
        85255, 480-305-2052 - 16,182,230 ($452,768.00) Equity, 
        (File 333-188316 - May. 3) (BR. 04A)

S-8     DIXIE GROUP INC, 2208 S. HAMILTON STREET, DALTON, GA, 307214974, 
        7068765814 - 500,000 ($3,030,000.00) Equity, (File 333-188321 - May. 3) 
        (BR. 02B)

S-8     Bio-Matrix Scientific Group, Inc., 8885 REHCO RD., SAN DIEGO, CA, 
        92121, 619-398-3517X301 - 30,000,000 ($63,000.00) Equity, 
        (File 333-188322 - May. 3) (BR. 02B)

S-8     PARK NATIONAL CORP /OH/, 50 NORTH THIRD ST, NEWARK, OH, 43055, 
        6143498451 - 600,000 ($40,836,000.00) Equity, (File 333-188323 - 
        May. 3) (BR. 07B)

S-8     LIVEWIRE ERGOGENICS INC., 1260 N. HANCOCK STREET, SUITE 105, ANAHEIM, 
        CA, 92807, 714-777-7851 - 7,500,000 ($33,000.00) Equity, 
        (File 333-188325 - May. 3) (BR. 04A)

S-4     HERITAGE FINANCIAL CORP /WA/, 201 FIFTH AVENUE S.W., P O BOX 1578, 
        OLYMPIA, WA, 98501, 3609431500 - 0 ($8,456,693.00) Equity, 
        (File 333-188326 - May. 3) (BR. 07C)

F-3ASR  STATOIL ASA, FORUSBEEN 50, STAVANGER NORWAY, Q8, N 4035, 
        47 51 99 00 00 - 0 ($0.00) Debt, (File 333-188327 - May. 3) (BR. 04B)

S-3ASR  HEICO CORP, 3000 TAFT ST, HOLLYWOOD, FL, 33021, 954-987-4000 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-188340 - May. 3) 
        (BR. 05B)

S-8     EXTERRAN HOLDINGS INC., 1209 ORANGE STREET, WILMINGTON, DE, 19801, 
        713-335-7000 - 0 ($161,460,000.00) Equity, (File 333-188341 - May. 3) 
        (BR. 06B)

S-8     BRINKS CO, 1801 BAYBERRY COURT, P O BOX 18100, RICHMOND, VA, 
        23226-1800, 8042899623 - 2,888,906 ($74,649,331.04) Equity, 
        (File 333-188342 - May. 3) (BR. 05A)

S-8     COMMUNITY HEALTH SYSTEMS INC, 4000 MERIDIAN BOULEVARD, FRANKLIN, TN, 
        37067, 615-465-7000 - 0 ($100,000,000.00) Equity, (File 333-188343 - 
        May. 3) (BR. 01A)

S-3     PIZZA INN HOLDINGS, INC /MO/, 3551 PLANO PARKWAY, THE COLONY, TX, 
        75056, 469-384-5000 - 0 ($3,000,000.00) Equity, (File 333-188344 - 
        May. 3) (BR. 02B)

S-3ASR  NORTHEAST UTILITIES, ONE FEDERAL STREET, BUILDING 111-4, SPRINGFIELD, 
        MA, 01105, 8606655000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-188345 - May. 3) (BR. 02A)

S-3ASR  HEALTH CARE REIT INC /DE/, 4500 DORR STREET, TOLEDO, OH, 43615, 
        419-247-2800 - 0 ($509,751,062.00) Equity, (File 333-188346 - May. 3) 
        (BR. 08B)

S-8     SOURCEFIRE INC, 9770 PATUXENT WOODS DRIVE, COLUMBIA, MD, 21046, 
        4102901616 - 0 ($62,015,851.95) Equity, (File 333-188347 - May. 3) 
        (BR. 03B)

S-4     IAC/INTERACTIVECORP, 555 WEST 18TH STREET, NEW YORK, NY, 10011, 
        2123147300 - 0 ($500,000,000.00) Debt, (File 333-188348 - May. 3) 
        (BR. 02B)

S-8     Medidata Solutions, Inc., 79 FIFTH AVENUE, 8TH FLOOR, NEW YORK, NY, 
        10003, 212.918.1800 - 0 ($93,480,000.00) Equity, (File 333-188349 - 
        May. 3) (BR. 03B)

S-8     RITCHIE BROS AUCTIONEERS INC, 9500 GLENLYON PARKWAY, BURNABY, A1, 
        V5J 0C6, 7783315500 - 5,059,404 ($100,281,649.28) Equity, 
        (File 333-188350 - May. 3) (BR. 03B)

S-8     FURNITURE BRANDS INTERNATIONAL INC, 1 N BRENTWOOD BLVD, ST LOUIS, MO, 
        63105, 3148631100 - 7,000,000 ($7,560,000.00) Equity, 
        (File 333-188351 - May. 3) (BR. 06B)

S-8     EOG RESOURCES INC, 1111 BAGBY, SKY LOBBY 2, HOUSTON, TX, 77002, 
        7136517000 - 0 ($1,845,740,000.00) Equity, (File 333-188352 - May. 3) 
        (BR. 04B)

S-8     Triangle Petroleum Corp, 1200 17TH STREET, SUITE 2600, DENVER, CO, 
        80202, 303-260-7125 - 0 ($10,032,000.00) Equity, (File 333-188353 - 
        May. 3) (BR. 04A)

S-3     Triangle Petroleum Corp, 1200 17TH STREET, SUITE 2600, DENVER, CO, 
        80202, 303-260-7125 - 0 ($11,540,575.20) Equity, (File 333-188354 - 
        May. 3) (BR. 04A)

S-3ASR  ORIENT EXPRESS HOTELS LTD, 22 VICTORIA STREET, HAMILTON, D0, HM 12, 
        1 441 295 2244 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-188355 - May. 3) (BR. 08B)

S-8     SEARS HOLDINGS CORP, 3333 BEVERLY ROAD, HOFFMAN ESTATES, IL, 60179, 
        847-286-2500 - 5,000,000 ($254,500,000.00) Equity, (File 333-188356 - 
        May. 3) (BR. 02B)

S-3     Echo Global Logistics, Inc., 600 WEST CHICAGO AVENUE, SUITE 725, 
        CHICAGO, IL, 60610, 1-800-354-7993 - 0 ($295,050,539.00) Other, 
        (File 333-188357 - May. 3) (BR. 05B)

S-1     ANYTRANSLATION CORP, 12 LIBRARIEI  APP 19, COMANESTI, BACAU, S5, 
        605200, 40312249974 - 4,000,000 ($80,000.00) Equity, (File 333-188358 - 
        May. 3) (BR. )

S-1     Claire's Inc., 2400 WEST CENTRAL ROAD, HOFFMAN ESTATES, IL, 60192, 
        847-765-1100 - 0 ($100,000,000.00) Equity, (File 333-188359 - May. 3) 
        (BR. )

S-3     ICAHN ENTERPRISES L.P., 767 FIFTH AVENUE, SUITE 4600, NEW YORK, NY, 
        10153, 212-702-4300 - 0 ($672,727,272.00) Equity, (File 333-188360 - 
        May. 3) (BR. 05B)

S-3     RED MOUNTAIN RESOURCES, INC., 2515 MCKINNEY AVENUE, SUITE 900, DALLAS, 
        TX, 75201, 214-871-0400 - 0 ($12,351,044.00) Equity, (File 333-188361 - 
        May. 3) (BR. 04B)

S-11    Steadfast Income REIT, Inc., 18100 VON KARMAN AVE., SUITE 500, IRVINE, 
        CA, 92612, 949-852-0700 - 25,000,000 ($253,450,000.00) Equity, 
        (File 333-188362 - May. 3) (BR. 08B)

RECENT 8K FILINGS

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

1.01	Entry into a Material Definitive Agreement
1.02	Termination of a Material Definitive Agreement
1.03	Bankruptcy or Receivership
2.01	Completion of Acquisition or Disposition of Assets
2.02	Results of Operations and Financial Condition
2.03	Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
2.04	Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
2.05	Cost Associated with Exit or Disposal Activities
2.06	Material Impairments
3.01	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
3.02	Unregistered Sales of Equity Securities
3.03	Material Modifications to Rights of Security Holders
4.01	Changes in Registrant's Certifying Accountant
4.02	Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
5.01	Changes in Control of Registrant
5.02	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer
5.03	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04	Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05	Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
5.06	Change in Shell Company Status
6.01	ABS Informational and Computational Material.
6.02	Change of Servicer or Trustee.
6.03	Change in Credit Enhancement or Other External Support.
6.04	Failure to Make a Required Distribution.
6.05	Securities Act Updating Disclosure.
7.01	Regulation FD Disclosure
8.01	Other Events
9.01	Financial Statements and Exhibits

8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

                                        STATE
NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

1ST CONSTITUTION BANCORP                NJ       2.02,9.01            05/03/13

AASTROM BIOSCIENCES INC                 MI       5.07                 05/02/13

ADT Corp                                DE       7.01,9.01            05/03/13

ADTRAN INC                              DE       8.01,9.01            05/01/13

AETRIUM INC                             MN       3.01                 04/30/13

ALAMO GROUP INC                         DE       5.07                 05/02/13

ALCO, INC.                              NV       1.01,9.01            04/30/13

Alexander & Baldwin, Inc.               HI       5.07                 04/30/13

ALLIANT ENERGY CORP                     WI       2.02,9.01            05/03/13

Allied Nevada Gold Corp.                DE       1.01,9.01            05/02/13

ALTERRA CAPITAL HOLDINGS Ltd                     2.01                 05/01/13

AMBAC FINANCIAL GROUP INC               DE       1.01,1.02,3.02,3.03, 04/30/13
						 5.01,5.02,5.03,8.01,9.01   

AMC ENTERTAINMENT INC                   DE       1.01,1.02,2.03,9.01  04/30/13

AMERICAN AXLE & MANUFACTURING HOLDING   DE       2.02,7.01,9.01       05/03/13

AMERICAN AXLE & MANUFACTURING HOLDING   DE       5.07                 05/02/13

American Capital Agency Corp                     5.07                 04/30/13

American Capital Mortgage Investment    MD       2.02,9.01            05/03/13

AMERICAN INTERNATIONAL GROUP INC        DE       8.01,9.01            05/03/13

American Realty Capital Trust V, Inc.   MD       2.01,8.01,9.01       04/29/13

AMERICAN VANGUARD CORP                  DE       2.02,9.01            05/02/13

AMERIGAS PARTNERS LP                    DE       5.02,9.01            04/29/13

AMERISTAR CASINOS INC                   NV       2.02,9.01            05/03/13

AMKOR TECHNOLOGY INC                    DE       5.02,8.01,9.01       04/30/13

AMPCO PITTSBURGH CORP                   PA       5.07                 05/02/13

APARTMENT INVESTMENT & MANAGEMENT CO    MD       2.02,9.01            05/02/13

APPLE INC                               CA       8.01,9.01            04/30/13

Approach Resources Inc                  DE       1.01,2.02,           05/01/13
						 2.03,7.01,9.01          

ARBOR REALTY TRUST INC                  MD       2.02,9.01            05/03/13

ARETE INDUSTRIES INC                    CO       1.01,2.03,9.01       04/29/13

ARI NETWORK SERVICES INC /WI            WI       7.01                 05/02/13

ARKANSAS BEST CORP /DE/                 DE       7.01,9.01            05/03/13

Armour Residential REIT, Inc.           MD       2.02,9.01            05/02/13

Armour Residential REIT, Inc.           MD       5.07                 05/01/13

ARROW FINANCIAL CORP                    NY       5.07,8.01,9.01       05/01/13

Aspect Software Group Holdings Ltd.     DE       5.02                 04/30/13

AUTOMATIC DATA PROCESSING INC           DE       2.02,9.01            05/03/13

B456 SYSTEMS, INC.                      DE       7.01,9.01            05/01/13

BALCHEM CORP                            MD       2.02,9.01            05/03/13

BankGuam Holding Co                              5.02,5.07,9.01       05/01/13

BEMIS CO INC                            MO       5.07                 05/02/13

BIG LOTS INC                            OH       5.02,8.01,9.01       04/29/13

BILL BARRETT CORP                       DE       2.02,7.01,9.01       05/02/13

BLACK HILLS CORP /SD/                   SD       2.02,9.01            05/02/13

BLUE CALYPSO, INC.                      DE       1.01,9.01            04/29/13

Bluerock Multifamily Growth REIT, Inc   MD       8.01                 03/04/13

BOEING CO                               DE       8.01,9.01            05/03/13

BOK FINANCIAL CORP ET AL                OK       5.07                 04/30/13

Bonanza Creek Energy, Inc.              DE       5.02,9.01            04/29/13

Bravo Brio Restaurant Group, Inc.       OH       5.07                 05/01/13

BreitBurn Energy Partners L.P.          DE       2.02,9.01            05/03/13

BreitBurn Energy Partners L.P.          DE       2.02,9.01            05/03/13    AMEND

BROADWIND ENERGY, INC.                  DE       5.02,5.07            05/02/13

BRT REALTY TRUST                        MA       8.01                 04/29/13

BRYN MAWR BANK CORP                     PA       8.01,9.01            05/03/13

Bulova Technologies Group, Inc.         FL       5.02                 04/30/13

Burger King Worldwide, Inc.             DE       8.01,9.01            05/02/13

CACI INTERNATIONAL INC /DE/             DE       5.02                 04/29/13

CALLIDUS SOFTWARE INC                   DE       5.02                 05/02/13

CALPINE CORP                            DE       1.01,2.03,7.01,9.01  05/03/13

CAMBREX CORP                            DE       2.02,9.01            05/03/13

CAMDEN PROPERTY TRUST                   TX       2.02,9.01            05/02/13

Capella Healthcare, Inc.                DE       2.02,9.01            05/03/13

Capital Group Holdings, Inc.            MN       5.02                 04/29/13

Carey Watermark Investors Inc                    9.01                 02/14/13    AMEND

CARRIZO OIL & GAS INC                   TX       8.01                 05/03/13

CBOE Holdings, Inc.                     DE       2.02,9.01            05/03/13

Celator Pharmaceuticals Inc             DE       1.01,3.02,5.02,9.01  04/29/13

CENTER BANCORP INC                      NJ       5.02,9.01            04/29/13

CHAMBERS STREET PROPERTIES              MD       7.01,9.01            05/03/13

CHAMPION INDUSTRIES INC                 WV       2.04                 04/30/13

CHARTER COMMUNICATIONS, INC. /MO/       DE       1.01,2.03,           04/30/13
						 5.07,8.01,9.01          

Charter Financial Corp                  MD       2.02,8.01,9.01       04/30/13

CHEMBIO DIAGNOSTICS, INC.               NV       7.01,9.01            05/03/13

CHEMED CORP                             DE       8.01                 05/02/13

CHENIERE ENERGY INC                     DE       2.02,9.01            05/03/13

Cheniere Energy Partners, L.P.          DE       2.02,9.01            05/03/13

CHESAPEAKE ENERGY CORP                  OK       5.02,7.01            05/03/13

CHRISTOPHER & BANKS CORP                DE       5.02,9.01            05/02/13

CIRCOR INTERNATIONAL INC                DE       5.07                 05/03/13

CLAIRES STORES INC                      DE       2.03,9.01            05/03/13

CMS ENERGY CORP                         MI       7.01,9.01            05/03/13

CNO Financial Group, Inc.               DE       7.01,9.01            05/03/13

Colony Financial, Inc.                  MD       8.01                 05/02/13

COLUMBIA LABORATORIES INC               DE       5.07                 05/01/13

CombiMatrix Corp                        DE       5.02                 04/29/13

COMERICA INC /NEW/                      DE       7.01,9.01            05/03/13

CONSOLIDATED EDISON INC                 NY       2.02,9.01            05/02/13

CORTEX PHARMACEUTICALS INC/DE/          DE       5.02,8.01            04/29/13

COURIER Corp                            MA       1.01,9.01            04/29/13

COVENTRY HEALTH CARE INC                DE       5.04,9.01            05/03/13

Covidien plc                                     2.02,7.01,9.01       05/03/13

COWEN GROUP, INC.                       DE       2.02,9.01            05/03/13

CREDIT ACCEPTANCE CORP                  MI       7.01,9.01            05/03/13

CROSSROADS SYSTEMS INC                  DE       5.02,7.01,9.01       04/29/13

CubeSmart                               MD       2.02,7.01,9.01       05/02/13

CUMBERLAND PHARMACEUTICALS INC                   2.02                 05/03/13

DELCATH SYSTEMS, INC.                   DE       8.01,9.01            05/02/13

DELTIC TIMBER CORP                      DE       1.01,2.03,9.01       05/02/13

DEX MEDIA, INC.                         DE       1.01,1.03,2.01,      04/29/13
						 2.03,3.03,5.01,5.02,
						 5.03,9.01   

DEX MEDIA, INC.                         DE       8.01,9.01            04/30/13

DEX ONE Corp                            DE       1.01,1.03,2.01,      04/29/13
						 2.03,3.01,3.03,5.01,
						 5.02,9.01   

DEX ONE Corp                            DE       8.01,9.01            04/30/13

Dividend Capital Diversified Property   MD       7.01,9.01            05/03/13

DIXIE GROUP INC                         TN       5.07                 05/03/13

DOLE FOOD CO INC                        DE       2.02,7.01,9.01       05/02/13    AMEND

DOMINION RESOURCES INC /VA/             VA       5.03,5.07,9.01       05/03/13

Domtar CORP                             DE       5.07                 05/01/13

DOUGLAS DYNAMICS, INC                   DE       5.07                 05/01/13

DREW INDUSTRIES INC                     DE       2.02,7.01,9.01       05/03/13

DRIL-QUIP INC                           DE       2.02,9.01            05/03/13

DTE ENERGY CO                           MI       7.01,9.01            05/03/13

DUCOMMUN INC /DE/                       DE       5.02,5.03,5.07,9.01  05/01/13

Duke Energy CORP                        DE       2.02,9.01            05/03/13

DUN & BRADSTREET CORP/NW                DE       5.02,9.01            05/03/13

DUNE ENERGY INC                         DE       1.01,9.01            05/03/13

DXP ENTERPRISES INC                     TX       5.02,9.01            05/03/13

DYNAVAX TECHNOLOGIES CORP               DE       1.01,5.02,9.01       05/03/13

EAGLE ROCK ENERGY PARTNERS L P          DE       8.01,9.01            05/03/13

EARTHLINK INC                           DE       2.02,7.01,9.01       05/01/13    AMEND

EBIX INC                                DE       1.01,9.01            05/01/13

eCareer Holdings, Inc.                  NV       3.02,3.03,5.01,9.01  04/30/13

ECOLAB INC                              DE       5.02,5.07,9.01       05/02/13

ECOTALITY, INC.                         NV       8.01                 05/03/13

Ellington Financial LLC                 DE       8.01,9.01            05/02/13

EMC CORP                                MA       5.07                 05/01/13

EMMIS COMMUNICATIONS CORP               IN       5.02,5.03,8.01,9.01  05/01/13

ENERGY FOCUS, INC/DE                    DE       5.02,9.01            04/29/13

ENPRO INDUSTRIES, INC                   NC       5.02,5.07            05/01/13

ENTERPRISE PRODUCTS PARTNERS L P        DE       8.01                 04/30/13

Entia Biosciences, Inc.                 NV       5.07,8.01,9.01       04/29/13

ENVIRONMENTAL SCIENCE & TECHNOLOGIES,   DE       3.02,5.02            04/30/13

EP Energy LLC                           DE       1.01                 05/02/13

EPL OIL & GAS, INC.                     DE       1.01,9.01            05/03/13

Erickson Air-Crane Inc.                 DE       7.01,9.01            05/02/13

Euramax Holdings, Inc.                  DE       5.07                 05/03/13

EWaste Systems, Inc.                    NV       1.01,9.01            04/28/13

EXACT SCIENCES CORP                     DE       5.02                 04/29/13

Exelis Inc.                             IN       2.02,7.01,9.01       05/03/13

ExOne Co                                DE       8.01,9.01            04/30/13

EXPEDITORS INTERNATIONAL OF WASHINGTO   WA       5.02,5.07            05/01/13

Federal Home Loan Bank of Dallas                 2.03,9.01            04/29/13

Federal Home Loan Bank of Pittsburgh    PA       2.02,7.01,9.01       05/03/13

FEDERAL REALTY INVESTMENT TRUST         MD       5.07                 05/03/13

FIRST BANCORP /PR/                      PR       2.02,9.01            05/03/13

FIRST COMMUNITY BANCSHARES INC /NV/     NV       2.02,5.07,7.01,      04/30/13
						 8.01,9.01          

First Federal of Northern Michigan Ba            2.02,9.01            05/03/13

First Guaranty Bancshares, Inc.         LA       2.02,9.01            05/02/12

FIRST HORIZON NATIONAL CORP             TN       5.03,5.07,9.01       05/01/13

FIRST M&F CORP/MS                       MS       8.01                 05/01/13

FISHER COMMUNICATIONS INC               WA       2.02,8.01,9.01       05/03/13

Five Oaks Investment Corp.              MD       2.02,9.01            05/03/13

FLEXTRONICS INTERNATIONAL LTD.          U0       5.02,9.01            05/01/13

FLIR SYSTEMS INC                        OR       5.02,9.01            05/02/13    AMEND

FLUOR CORP                              DE       5.02,5.07,9.01       05/02/13

Fortune Brands Home & Security, Inc.    DE       5.07                 04/29/13

FRANKLIN ELECTRIC CO INC                IN       7.01,9.01            05/03/13

FRANKLIN ELECTRIC CO INC                IN       7.01,9.01            05/03/13

FULTON FINANCIAL CORP                   PA       5.02,5.07            05/03/13

FURMANITE CORP                          DE       2.02,7.01,9.01       05/03/13

FURNITURE BRANDS INTERNATIONAL INC      DE       2.02,9.01            05/03/13

GASTAR EXPLORATION LTD                           7.01,9.01            05/03/13

GateHouse Media, Inc.                   DE       2.02,9.01            05/02/13

GATX CORP                               NY       1.01,1.02,2.03,9.01  05/03/13

GE Dealer Floorplan Master Note Trust   DE       1.01,6.05,9.01       04/30/13

GENERAL DYNAMICS CORP                   DE       5.07                 05/01/13

General Finance CORP                    DE       8.01                 04/30/13

General Motors Co                                8.01                 05/01/13

GEOSPACE TECHNOLOGIES CORP              DE       2.02,5.02,9.01       05/02/13

GERMAN AMERICAN BANCORP, INC.           IN       2.02,8.01,9.01       04/30/13

GIBRALTAR INDUSTRIES, INC.              DE       5.07                 05/02/13

GLADSTONE COMMERCIAL CORP               MD       5.07                 05/02/13

GLOBAL EARTH ENERGY, INC.               NV       1.01,8.01,9.01       05/03/13

GLOBAL POWER EQUIPMENT GROUP INC.       DE       2.01,9.01            04/30/13

Golub Capital BDC, Inc.                 DE       2.02,9.01            05/03/13

Golub Capital BDC, Inc.                 DE       2.02,9.01            05/03/13

GP STRATEGIES CORP                      DE       5.02                 05/02/13

GRANDPARENTS.COM, INC.                  DE       1.01,3.02,9.01       04/26/13

GREEN HYGIENICS HOLDINGS INC.           NV       1.01,3.02,9.01       05/01/13

GROWLIFE, INC.                          DE       1.01,2.03,3.02       05/01/13

GTX INC /DE/                            DE       2.02,9.01            05/03/13

GUESS INC                               DE       5.02                 05/02/13

HAEMONETICS CORP                        MA       2.02,9.01            05/03/13    AMEND

HAIN CELESTIAL GROUP INC                DE       8.01,9.01            05/02/13

HANOVER INSURANCE GROUP, INC.           DE       5.02,9.01            05/03/13

HARBINGER GROUP INC.                    DE       9.01                 02/21/13    AMEND

HARRIS & HARRIS GROUP INC /NY/          NY       5.07                 05/02/13

HARRIS TEETER SUPERMARKETS, INC.        NC       2.02,9.01            05/02/13

HEALTH MANAGEMENT ASSOCIATES, INC       DE       2.02,9.01            05/02/13

Heckmann Corp                           DE       8.01,9.01            04/24/13

HEINZ H J CO                            PA       7.01                 05/03/13

HELEN OF TROY LTD                                2.02,9.01            04/29/13

Helios & Matheson Information Technol   DE       5.07                 05/03/13

HERTZ CORP                              DE       2.02,9.01            04/30/13

HERTZ GLOBAL HOLDINGS INC                        2.02,9.01            04/30/13

HEXCEL CORP /DE/                        DE       5.02,5.07            05/02/13

HighLight Networks, Inc.                NV       5.02                 04/30/13

HOME PROPERTIES INC                     MD       2.02,9.01            05/02/13

Horizon Lines, Inc.                              2.02,7.01,9.01       05/01/13

HOST HOTELS & RESORTS, INC.             MD       2.02,9.01            05/03/13

HPIL HOLDING                            NV       4.02,9.01            05/03/13

Hudson Global, Inc.                     DE       5.07                 05/03/13

IAC/INTERACTIVECORP                     DE       8.01,9.01            05/03/13

ICAHN ENTERPRISES L.P.                  DE       2.02,9.01            05/03/13

ICF International, Inc.                 DE       2.02,9.01            05/03/13

IDENTIVE GROUP, INC.                    DE       5.02                 04/30/13

Integrated Healthcare Holdings Inc               8.01,9.01            04/30/13

Intelligent Highway Solutions, Inc.     NV       1.02                 04/24/13

INTERCLOUD SYSTEMS, INC.                         1.01,2.03,3.02,9.01  04/26/13

INTERNATIONAL BUSINESS MACHINES CORP    NY       5.02,5.07            04/29/13

INTERNATIONAL FLAVORS & FRAGRANCES IN   NY       2.05,5.07,9.01       04/30/13

INTEST CORP                             DE       2.02,9.01            05/01/13

IROBOT CORP                             DE       9.01                 04/23/13    AMEND

iTalk Inc.                              NV       1.01,3.02,9.01       05/02/13

JAVELIN MORTGAGE INVESTMENT CORP.       MD       5.07                 05/01/13

JBI, INC.                               NV       5.02,9.01            05/01/13

JOHNSON OUTDOORS INC                    WI       2.02,9.01            05/03/13

K12 INC                                 DE       2.02,9.01            05/03/13

KBS Strategic Opportunity REIT, Inc.    MD       1.01,2.03            05/01/13

KIMBERLY CLARK CORP                     DE       5.07                 05/02/13

KKR Financial Holdings LLC              DE       5.07                 05/01/13

Kodiak Oil & Gas Corp                   B0       8.01,9.01            05/02/13

Koppers Holdings Inc.                   PA       2.02,5.07,9.01       05/02/13

KVH INDUSTRIES INC \DE\                 DE       2.02,9.01            05/03/13

L3 CORP                                 DE       4.01,9.01            04/30/13

LABORATORY CORP OF AMERICA HOLDINGS     DE       7.01                 05/02/13

LAKE AREA CORN PROCESSORS LLC           SD       1.01                 04/29/13

LEAGUE NOW HOLDINGS CORP                FL       9.01                 03/04/13    AMEND

LEGG MASON, INC.                        MD       5.02,9.01            05/03/13

LEXINGTON REALTY TRUST                  MD       2.02,7.01,9.01       05/02/13

LIBERTY ENERGY CORP.                    NV       5.02                 05/01/13

Liberty Global, Inc.                    DE       7.01                 05/02/13

Liberty Media Corp                      DE       2.01,2.03,7.01,9.01  04/30/13

LIPOSCIENCE INC                         DE       5.02                 04/29/13

LIVEDEAL INC                            NV       5.02                 05/02/13

LKQ CORP                                DE       8.01,9.01            05/02/13

LKQ CORP                                DE       8.01,9.01            05/02/13

LOUISIANA BANCORP INC                   LA       2.02,9.01            05/03/13

LTC PROPERTIES INC                      MD       1.01,7.01,9.01       05/03/13

Lumos Networks Corp.                    VA       2.02,7.01,9.01       05/03/13

Macquarie Infrastructure CO LLC         DE       1.01,9.01            05/02/13

Madison Square Garden Co                DE       2.02,9.01            05/03/13

MAGNEGAS CORP                           DE       5.02,8.01,9.01       04/30/13

MAKEMUSIC, INC.                         MN       2.01,3.01,3.02,      05/01/13
						 3.03,5.01,5.02,5.03

MamaMancini's Holdings, Inc.            NV       7.01,9.01            05/03/13

MANAGED FUTURES PREMIER ABINGDON L.P.   NY       3.02                 05/01/13

MANAGED FUTURES PREMIER AVENTIS II L.   NY       3.02                 05/01/13

Marathon Patent Group, Inc.             NV       3.02,9.01            05/01/13

MATERION Corp                                    5.07                 05/01/13

MAXYGEN INC                             DE       2.02,9.01            05/03/13

MCDONALDS CORP                          DE       7.01                 05/03/13

MEADOWBROOK INSURANCE GROUP INC         MI       2.02,7.01,9.01       04/30/13

MECHANICAL TECHNOLOGY INC               NY       5.02                 05/01/13

MENDOCINO BREWING CO INC                CA       2.04                 04/29/13

MGE ENERGY INC                          WI       2.02,9.01            05/03/13

MICROSTRATEGY INC                       DE       2.02,9.01            04/29/13

MIDDLEBURG FINANCIAL CORP               VA       5.07                 05/01/13

MINERALRITE Corp                        NV       1.01,2.03,3.02,9.01  04/29/13

MONROE CAPITAL Corp                     MD       8.01,9.01            05/03/13

MOODYS CORP /DE/                        DE       2.02,7.01,9.01       05/03/13

MPM TECHNOLOGIES INC                    WA       1.01,2.03,3.02,9.01  04/29/13

MRC GLOBAL INC.                         DE       7.01,9.01            05/03/13

MSCI Inc.                               DE       5.07                 05/03/13

MUELLER INDUSTRIES INC                  DE       5.07,8.01,9.01       05/02/13

MVC CAPITAL, INC.                       DE       1.01,7.01,9.01       05/03/13

NAKED BRAND GROUP INC.                  NV       7.01,9.01            05/03/13

National American University Holdings   DE       5.02,5.03,8.01,9.01  04/29/13

NATIONAL FINANCIAL PARTNERS CORP                 2.02,9.01            05/03/13

NATIONAL FUEL GAS CO                    NJ       2.02,9.01            05/02/13

NATIONAL FUEL GAS CO                    NJ       7.01,9.01            05/03/13

NATIONAL PENN BANCSHARES INC            PA       7.01,9.01            05/03/13

NAVIGATORS GROUP INC                    DE       2.02,7.01,9.01       05/02/13

NEVADA GOLD & CASINOS INC               NV       5.02,9.01            05/01/13

NEW ENERGY TECHNOLOGIES, INC.                    7.01,9.01            04/30/13

New Residential Investment Corp.                 5.02,5.03,8.01,9.01  04/29/13

New Western Energy Corp                 NV       5.02                 05/02/13

NEWELL RUBBERMAID INC                   DE       2.02,9.01            05/03/13

NEWFIELD EXPLORATION CO /DE/            DE       1.01,5.02,5.07,9.01  04/29/13

NEWS CORP                                        8.01,9.01            05/03/13

NORTHEAST UTILITIES                     MA       5.07                 05/01/13

NORTHSTAR REALTY FINANCE CORP.          MD       2.02,9.01            05/03/13

NORTHSTAR REALTY FINANCE CORP.          MD       7.01                 05/03/13

NORTHWEST BIOTHERAPEUTICS INC           DE       7.01,9.01            05/03/13

NORTHWESTERN CORP                       DE       7.01,9.01            05/03/13

NPC Restaurant Holdings, LLC            DE       2.02,9.01            05/03/13

NRG ENERGY, INC.                        DE       1.01,9.01            05/02/13

NTELOS HOLDINGS CORP                             5.07                 05/02/13

NV ENERGY, INC.                         NV       2.02,7.01,9.01       05/03/13

NV5 Holdings, Inc.                      DE       8.01,9.01            05/01/13

OCCIDENTAL PETROLEUM CORP /DE/          DE       7.01,9.01            05/03/13

OCCIDENTAL PETROLEUM CORP /DE/          DE       5.02,7.01            05/02/13

OCCIDENTAL PETROLEUM CORP /DE/          DE       5.07                 05/03/13

OCWEN FINANCIAL CORP                    FL       2.01,9.01            02/15/13    AMEND

OIL STATES INTERNATIONAL, INC           DE       8.01                 05/02/13

OLYMPIC STEEL INC                       OH       2.02,9.01            05/03/13

ONEOK INC /NEW/                         OK       7.01,9.01            05/03/13

ONEOK Partners LP                       DE       7.01,9.01            05/03/13

Opko Health, Inc.                       DE       9.01                 03/04/13    AMEND

ORCHARD SUPPLY HARDWARE STORES CORP     DE       2.02,9.01            05/03/13

ORIENT EXPRESS HOTELS LTD               D0       2.02,9.01            05/03/13

OUTDOOR CHANNEL HOLDINGS INC                     1.01,8.01,9.01       05/02/13

PANTRY INC                              DE       1.01,5.02,9.01       05/03/13

Patriot Minefinders Inc.                NV       7.01,9.01            05/02/13

PATRIOT SCIENTIFIC CORP                 DE       5.07,7.01            04/30/13    AMEND

PEABODY ENERGY CORP                     DE       1.01,5.02,5.07,9.01  04/29/13

PediatRx Inc.                           NV       8.01                 04/26/13

PENN VIRGINIA CORP                      VA       5.02,5.03,5.07,9.01  05/01/13

PENNSYLVANIA REAL ESTATE INVESTMENT T   PA       1.01,9.01            05/01/13

PEPCO HOLDINGS INC                      DE       2.02,7.01,9.01       05/03/13

PEPCO HOLDINGS INC                      DE       7.01,9.01            05/03/13

PG&E Corp                               CA       8.01,9.01            05/02/13

PIER 1 IMPORTS INC/DE                   DE       7.01,8.01,9.01       05/01/13

Pinacle Enterprise, Inc.                2M       1.01,5.01,           04/29/13
						 5.02,8.01,9.01          

PINNACLE WEST CAPITAL CORP              AZ       2.02,7.01,9.01       05/03/13

PLAINS EXPLORATION & PRODUCTION CO      DE       7.01                 05/03/13

PLAINS EXPLORATION & PRODUCTION CO      DE       8.01,9.01            05/03/13

PREFORMED LINE PRODUCTS CO              OH       2.02,9.01            05/03/13

Press Ventures, Inc.                             5.03,8.01,9.01       05/03/13

Prologis, Inc.                          MD       5.07                 05/02/13

Prosper Funding LLC                     DE       5.02                 05/03/13

ProText Mobility, Inc.                  DE       5.02                 04/30/13

PRUDENTIAL BANCORP INC OF PENNSYLVANI            2.02,9.01            05/03/13

PUBLIC SERVICE ENTERPRISE GROUP INC     NJ       7.01,9.01            05/03/13

PVH CORP. /DE/                          DE       5.03,9.01            05/02/13

QCR HOLDINGS INC                        DE       5.02,5.07,8.01,9.01  05/01/13

QUICKSILVER RESOURCES INC               DE       1.01,8.01,9.01       04/30/13

QUINSTREET, INC                         DE       5.02                 05/02/13

RECEIVABLE ACQUISITION & MANAGEMENT C   DE       8.01                 05/03/13

REGENERON PHARMACEUTICALS INC           NY       2.02,9.01            05/03/13

RENT A CENTER INC DE                             1.01,2.03,8.01,9.01  05/02/13

REPUBLIC FIRST BANCORP INC              PA       5.07                 04/30/13

ROI Acquisition Corp.                   DE       7.01,9.01            05/02/13

ROMA FINANCIAL CORP                     X1       2.02,9.01            05/03/13

ROOMLINX INC                            NV       1.01,9.01            05/03/13

ROYAL BANCSHARES OF PENNSYLVANIA INC    PA       2.02,9.01            05/01/13

Ruths Hospitality Group, Inc.           DE       2.02,8.01,9.01       05/03/13

S&W Seed Co                             NV       8.01,9.01            05/02/13

SAFEWAY INC                             DE       5.02,8.01,9.01       04/29/13

Sanomedics International Holdings, In   DE       1.01,7.01,9.01       04/26/13

SBM CERTIFICATE CO                      MD       1.03,5.02            04/26/13

SCIENTIFIC GAMES CORP                   DE       5.02                 04/29/13

SEACOR HOLDINGS INC /NEW/               DE       8.01,9.01            05/02/13

Sealand Natural Resources Inc           NY       1.01,2.01,           02/15/13    AMEND
						 3.02,5.06,9.01          

SECURE NetCheckIn Inc                   NV       4.02                 09/30/12    AMEND

SED INTERNATIONAL HOLDINGS INC          2Q       8.01,9.01            05/02/13

SELECT MEDICAL HOLDINGS CORP                     5.07                 04/30/13

SELECT MEDICAL HOLDINGS CORP                     2.02,9.01            05/02/13

SEMTECH CORP                            DE       1.01,2.03,7.01,9.01  05/02/13

SHENANDOAH TELECOMMUNICATIONS CO/VA/    VA       2.02,9.01            05/03/13

SHENANDOAH TELECOMMUNICATIONS CO/VA/    VA       7.01,9.01            05/03/13

Shire plc                                        8.01,9.01            05/03/13

SIGMA DESIGNS INC                       CA       5.02                 04/29/13

SITEL Worldwide Corp                    DE       8.01,9.01            05/03/13

SKECHERS USA INC                        DE       5.02,9.01            05/01/13

SL INDUSTRIES INC                       NJ       2.02,9.01            05/01/13

Smokin Concepts Development Corp        CO       5.03,5.07,9.01       04/30/13

Snap Interactive, Inc                   DE       2.02                 05/01/13    AMEND

SOUTH JERSEY INDUSTRIES INC             NJ       2.02,7.01,9.01       05/03/13

SOUTH JERSEY INDUSTRIES INC             NJ       7.01                 05/03/13

SOUTHCOAST FINANCIAL CORP               SC       5.07,7.01,9.01       05/02/13

SOUTHWEST GAS CORP                      CA       7.01                 05/02/13

SOUTHWEST GAS CORP                      CA       2.02                 05/03/13

SOUTHWESTERN ENERGY CO                  DE       2.02,9.01            05/02/13

SOUTHWESTERN ENERGY CO                  DE       7.01,9.01            05/03/13

Spectra Energy Corp.                    DE       2.02,9.01            05/03/13

Spectra Energy Partners, LP             DE       1.01,3.02,7.01,9.01  05/02/13

Spectra Energy Partners, LP             DE       2.02,9.01            05/03/13

SPHERIX INC                             DE       7.01,9.01            05/02/13

ST JUDE MEDICAL INC                     MN       5.07                 05/02/13

STANDARD MOTOR PRODUCTS INC             NY       2.02,9.01            05/03/13

STATE INVESTORS BANCORP, INC.                    2.02,9.01            05/02/13

Steadfast Income REIT, Inc.             MD       7.01,9.01            04/30/13

STEPAN CO                               DE       2.02,5.07,8.01,9.01  04/30/13

STERLING BANCORP                        NY       8.01                 05/02/13

STRATEGIC HOTELS & RESORTS, INC                  2.02,9.01            04/30/13

STRUCTURED PRODUCTS CORP CORTS TR FOR   DE       8.01,9.01            04/30/13

STRUCTURED PRODUCTS CORP TIERS R INFL   DE       8.01,9.01            05/01/13

Sugarmade, Inc.                         DE       5.02                 04/29/13

SUPERIOR INDUSTRIES INTERNATIONAL INC   CA       2.02                 05/02/13

SUPERMEDIA INC.                         DE       1.01,1.03,2.01,2.03, 04/29/13
						 3.01,3.03,5.01,5.02,9.01   

SUPERMEDIA INC.                         DE       5.03,8.01,9.01       04/30/13

SUPERVALU INC                           DE       1.01,8.01,9.01       05/02/13

SUPREME INDUSTRIES INC                  DE       1.01,9.01            04/30/13

SUSQUEHANNA BANCSHARES INC              PA       7.01,9.01            05/03/13

SYNIVERSE HOLDINGS INC                  DE       5.02                 05/03/13

TAL International Group, Inc.           DE       1.01,2.03            05/03/13

Targa Resources Corp.                   DE       2.02,9.01            05/03/13

Targa Resources Partners LP             DE       2.02,9.01            05/03/13

TECO ENERGY INC                         FL       5.07                 05/01/13

TELEPHONE & DATA SYSTEMS INC /DE/       DE       2.02,9.01            05/03/13

TELEPHONE & DATA SYSTEMS INC /DE/       DE       8.01,9.01            05/03/13

TESSERA TECHNOLOGIES INC                DE       8.01,9.01            05/03/13

TETRA TECHNOLOGIES INC                  DE       1.01,2.03,9.01       04/29/13

TEXAS INSTRUMENTS INC                   DE       8.01,9.01            05/03/13

THERMO FISHER SCIENTIFIC INC.           DE       8.01,9.01            05/03/13

TIDELANDS BANCSHARES INC                         2.02,9.01            05/03/13

Titan Oil & Gas, Inc.                   NV       5.02,8.01,9.01       05/01/13

TOYS R US INC                           DE       7.01,9.01            05/03/13

TRANZYME INC                            DE       5.02,8.01            04/23/13    AMEND

TREDEGAR CORP                           VA       2.02,9.01            05/02/13

TREX CO INC                             DE       2.02,9.01            05/03/13

TRIUMPH GROUP INC                       DE       2.02,9.01            05/01/13

UNISYS CORP                             DE       5.07                 05/02/13

UNITED ONLINE INC                       DE       2.02,9.01            05/03/13

UNITED STATES CELLULAR CORP             DE       2.02,9.01            05/03/13

UNITED STATES CELLULAR CORP             DE       8.01,9.01            05/03/13

UniTek Global Services, Inc.            DE       1.01,9.01            04/30/13

US AIRWAYS GROUP INC                    DE       2.02,9.01            05/03/13

VALERO ENERGY CORP/TX                   DE       5.07                 05/02/13

Vantiv, Inc.                                     5.07                 04/30/13

VECTREN CORP                            IN       7.01,9.01            05/03/13

VERITEC INC                             NV       1.02                 05/03/13

VICON INDUSTRIES INC /NY/               NY       1.01,2.01,2.02,9.01  04/29/13

VIRGIN MEDIA INC.                       DE       8.01,9.01            05/03/13

VIRGINIA ELECTRIC & POWER CO            VA       5.02                 05/03/13

VISTA GOLD CORP                         B0       5.07,7.01,9.01       05/01/13

VOLT INFORMATION SCIENCES, INC.         NY       1.01,7.01,9.01       04/29/13

VYCOR MEDICAL INC                       DE       5.02,9.01            04/30/13

W R GRACE & CO                          DE       7.01,9.01            05/03/13

Warner Music Group Corp.                DE       7.01                 05/03/13

WASHINGTON POST CO                      DE       2.02,9.01            05/03/13

WashingtonFirst Bankshares, Inc.        VA       1.01,5.02,5.07,9.01  04/30/13

WELLCARE HEALTH PLANS, INC.             DE       2.02,9.01            05/03/13

WILLIAM LYON HOMES                      DE       5.07                 04/29/13

WILLIAM LYON HOMES                      DE       2.02,9.01            05/03/13

WILLIAMS SONOMA INC                     CA       5.02                 05/03/13

Winthrop Realty Trust                   OH       2.02,7.01,8.01,9.01  05/02/13

XCEL ENERGY INC                         MN       7.01                 05/03/13

YRC Worldwide Inc.                      DE       2.02,9.01            05/03/13

ZIONS BANCORPORATION /UT/               UT       3.03,5.03,8.01,9.01  04/29/13

http://www.sec.gov/news/digest/2013/dig050613.htm