 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
Enforcement proceedingsCommission Charges Resident in the Atlanta Area and his Firm with Fraud in Connection with Prime Bank SchemeOn May 16, 2013, the Securities and Exchange Commission (Commission) filed an emergency action in the federal district court in Atlanta, charging Robert Fowler (Fowler), a Duluth, Georgia resident, and his company, US Capital Funding Series II Trust 1 (US Capital), with violations of the federal securities laws for defrauding investors in a “prime bank” investment scheme.The Commission’s complaint alleges that, since at least August 2012, Fowler and US Capital have raised at least $350,000 from investors by falsely promising high profits for investing in standby letters of credit or bank guarantees that would purportedly grant the investors loans, the proceeds of which would be invested for a significant profit. Fowler and US Capital instead misappropriated investor funds for personal and business uses. Fowler was actively soliciting additional investors for his scheme, the complaint alleged. According to the complaint, Fowler targeted foreign-born small business owners with little or no experience in finance or investing. In exchange for investors’ initial “down payment” for a stand-by letter of credit (SBLC) or bank guarantee to be issued by US Capital, Fowler offered to assist in the procurement of commercial loans to companies owned or operated by the investors, and to control the investment of at least a portion of the eventual (fictitious) loan proceeds, sometimes using affiliated “traders” and “trading platforms” in unspecified “instruments,” in order to derive substantial profits. Fowler and US Capital did not use the investor proceeds as represented; rather, shortly after US Capital’s bank accounts received investors’ funds, Fowler spent the funds at restaurants, grocery stores, gas stations, and clothing stores, and also withdrew thousands of dollars through ATM transactions. In its complaint, the Commission alleges that US Capital’s website misrepresented that it has assets “valued in the Trillions,” and had a “triple A” credit rating by Standard and Poor’s . The complaint alleges that, in fact, US Capital had minimal assets and that the S&P rating was for an unaffiliated entity with the same name. The Commission’s complaint further alleges that, in an effort to entice additional investors, Fowler misrepresented that the Commission had blessed US Capital’s offering. The complaint alleges that defendants violated the antifraud provisions of the federal securities laws, Section 17(a) of the Securities and of 1933, Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 10b-5 thereunder. The complaint also alleges that defendants violated Section 26 of the Exchange Act, which makes it unlawful to represent to any purchaser or seller of a security that the Commission has “passed upon the merits of or given approval to any security or any transaction . . . therein.” Also today, the Honorable Steven C. Jones, United States District Judge for the Northern District of Georgia, granted the Commission’s request for emergency relief, issuing an order that temporarily restrained defendants from further securities law violation, froze defendants’ assets, prevented the destruction of documents and expedited discovery. The Court also set a hearing date of June 14, 2013 for the Commission’s claim for a preliminary injunction. The Commission’s complaint also seeks permanent injunctions, disgorgement of ill-gotten gains with prejudgment interest, and civil penalties. Those claims will be adjudicated at a later date. [SEC v. Robert Fowler and US Capital Funding II Series Trust 1, Inc. a/k/a US Capital Investments II (HK) Limited, Civil Action No. 1:13-cv-1656 (N.D. Ga.)](LR- 22702) In the Matter of Noonan Capital Management, LLC and Timothy G. NoonanThe Commission announced the issuance of an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 against Noonan Capital Management, LLC (Noonan Capital) and Timothy G. Noonan (Noonan) (jointly Respondents).The Order finds that Noonan Capital, a Georgia-registered investment adviser headquartered in Atlanta, Georgia, and Noonan, Noonan Capital’s sole owner and officer, overcharged twenty-two clients a total of approximately $92,000 in excessive advisory fees between April 2009 and January 2011. In addition, Noonan Capital and Noonan misrepresented its assets under management, failed to withdraw its registration with the Commission, failed to create or maintain proper books and records and failed to provide a brochure or Part 2 of its Form ADV to its clients. Based on the above, the Order: (1) orders Respondents to cease and desist from committing or causing violations of and any future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 203A(a)(1)(A), 204(a), 206(1), 206(2), 207 of the Investment Advisers Act of 1940 and Rules 204-1(a)(1), 204-2(a)(6), 204-3(a), and 204-3(b)(1) and (2) thereunder; (2) revokes Noonan Capital’s registration as an investment adviser; (3) bars Noonan from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent or nationally recognized statistical rating organization; (4) bars Noonan from serving or acting as an employee, officer, director, member of an advisory board, investment advisor or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter; (5) orders Noonan Capital and Noonan to pay, on a joint and several basis, disgorgement of $91,696 and prejudgment interest of $13,129.51 to the Commission, but payment of such amount except for $60,000 is waived based upon Noonan Capital and Noonan’s sworn representations of their financial condition; and (6) orders Noonan to pay $60,000 in the following installments: (a) a first payment of $20,000 to be paid within ten business days of the entry of the Order, (b) a second payment of $20,000 to be paid within 360 days of the entry of the Order; and (3) a third and final payment of $20,000 to be paid within 720 days of the entry of the Order. Respondents consented to the issuance of the Order without admitting or denying any of the findings, except admitting to the Commission’s jurisdiction. (Rel. 34-69601; File No. 3-14955) INVESTMENT COMPANY ORDERSFinancial Investors Trust and Hanson McClain Strategic Advisors, Inc.A notice has been issued giving interested persons until June 10, 2013 to request a hearing on an application filed by Financial Investors Trust and Hanson McClain Strategic Advisors, Inc. for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Sections 17(a)(1) and 17(a)(2) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The requested order would (a) permit certain registered open-end management investment companies that operate as “funds of funds” to acquire shares of other registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies, and (b) permit funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30521 - May 15, 2013)Goldman Sachs Trust, et al.An order has been issued to Goldman Sachs Trust, et al., under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Rule 12d1-2(a) under the Act. The order would permit funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30522 - May 15, 2013)Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by NASDAQ OMX PHLX LLC to extend a pilot program to allow cabinet trading to take place below $1 per option contract (SR-Phlx-2013-53) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 20th. (Rel. 34-69583)The Options Clearing Corporation filed a proposed rule change (SR-OCC-2013-06) under Section 19(b)(1) of the Securities Exchange Act of 1934, which became effective upon filing, to accommodate the use of vault receipts or warehouse depository receipts in electronic form, rather than vault receipts or warehouse depository receipts in physical form, to represent the metals underlying physically-settled futures contracts on metals traded by NYSE Liffe US LLC. Publication is expected in the Federal Register during the week of May 20th. (Rel. 34-69595) National Securities Clearing Corporation (NSCC) filed a proposed rule change (File No. SR-NSCC-2013-06) under Section 19(b)(1) of the Securities Exchange Act of 1934, which proposed rule change became effective upon filing, to modify fees related to Portfolio Composition File Reporting in Addendum A of its Rules and Procedures. Publication is expected in the Federal Register during the week of May 20th. (Rel. 34-69596) A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2013-051) to amend the fees 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 20th. (Rel. 34-69594). A proposed rule change (SR-BOX-2013-26), as Modified by Amendment No. 1, filed by BOX Options Exchange LLC to amend the fee schedule to establish fees for Jumbo SPY option transactions 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 March 20th. (Rel. 34-69598) A proposed rule change (SR-BOX-2013-28) filed by BOX Options Exchange LLC to create a new fee structure for Complex Orders on the BOX Market LLC options facility 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 20th. (Rel. 34-69599) Notice of Proposed Rule ChangeThe New York Stock Exchange LLC has filed a proposed rule change (SR-NYSE-2013-32) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder proposing an amendment to the bylaws of its wholly-owned subsidiary, NYSE Regulation, Inc. (“NYSE Regulation”), to eliminate a requirement that not less than two members of the board of directors of NYSE Regulation must qualify as “fair representation candidates.” Publication is expected in the Federal Register during the week of May 20th. (Rel. 34-69590)Approval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change (SR-NYSEArca-2013-33), as modified by Amendment No. 1 thereto, submitted by NYSE Arca, Inc. pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, to list and trade the International Bear ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of May 20th. (Rel. 34-69591)Joint Industry PlansNotice of Filing and Immediate Effectiveness of the Eighteenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan and Tenth Charges Amendment to the Restated Consolidated Quotation PlanPursuant to Rule 608 under the Securities Exchange Act of 1934, the Participants of the Consolidated Tape Association Plan and Consolidated Quotation Plan filed a proposal to amend the Second Restatement of the CTA Plan and Restated CQ Plan (SR-CTA/CQ-2013-03) to reverse the fee changes for which the Participants filed in the Sixteenth and Seventeenth Charges Amendments to the CTA Plan and the Eighth and Ninth Charges Amendments to the CQ Plan. Publication of the notice is expected to be made in the Federal Register during the week of May 20th. (Rel. 34-69593) 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-3ASR HALCON RESOURCES CORP, 1000 LOUISIANA STREET, SUITE 6700, HOUSTON, TX,
77002, 832-538-0300 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-188640 - May. 16) (BR. 04A)
S-8 ALLEGHENY TECHNOLOGIES INC, 1000 SIX PPG PLACE, PITTSBURGH, PA, 15222,
4123942800 - 1,060,707 ($30,887,787.84) Equity, (File 333-188641 -
May. 16) (BR. 06A)
S-8 Rosetta Resources Inc., 1111 BAGBY, SUITE 1600, HOUSTON, TX, 77002,
(713) 335-4133 - 4,164,894 ($192,501,400.68) Equity, (File 333-188642 -
May. 16) (BR. 04A)
S-8 AIR PRODUCTS & CHEMICALS INC /DE/, 7201 HAMILTON BLVD, ALLENTOWN, PA,
18195-1501, 6104814911 - 0 ($126,281,259.12) Equity, (File 333-188643 -
May. 16) (BR. 06C)
S-8 Sears Hometown & Outlet Stores, Inc., 5500 TRILLIUM BOULEVARD,
SUITE 501, HOFFMAN ESTATES, IL, 60179, 847-286-6327 -
4,000,000 ($177,120,000.00) Equity, (File 333-188645 - May. 16) (BR. 02)
S-8 COLUMBIA LABORATORIES INC, 354 EISENHOWER PARKWAY, LIVINGSTON, NJ,
07039, 9739943999 - 4,000,000 ($2,526,400.00) Equity,
(File 333-188647 - May. 16) (BR. 01A)
S-1 VETRO, INC., 2360 CORPORATE CIRCLE STE 400, HENDERSON, NV, 89074-7722,
7026054814 - 8,000,000 ($80,000.00) Equity, (File 333-188648 - May. 16)
(BR. )
S-8 MORGAN STANLEY, 1585 BROADWAY, NEW YORK, NY, 10036, 212-761-4000 -
0 ($705,600,000.00) Equity, (File 333-188649 - May. 16) (BR. 12A)
S-8 SUSQUEHANNA BANCSHARES INC, 26 N CEDAR ST, LITITZ, PA, 17543,
7176264721 - 0 ($46,960,000.00) Equity, (File 333-188650 - May. 16)
(BR. 07B)
S-4 GALLAGHER ARTHUR J & CO, TWO PIERCE PLACE, ITASCA, IL, 60143,
6307733800 - 0 ($269,700,000.00) Equity, (File 333-188651 - May. 16)
(BR. 01B)
S-8 SERVICESOURCE INTERNATIONAL, INC., 634 SECOND STREET, SAN FRANCISCO,
CA, 94107, 4159016030 - 3,781,861 ($20,505,250.34) Equity,
(File 333-188652 - May. 16) (BR. 02C)
S-3ASR Calumet Specialty Products Partners, L.P., 2780 WATERFRONT,
PARKWAY E. DRIVE, SUITE 200, INDIANAPOLIS, IN, 46214, 317-328-5660 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-188653 - May. 16)
(BR. 04B)
S-3 Calumet Specialty Products Partners, L.P., 2780 WATERFRONT,
PARKWAY E. DRIVE, SUITE 200, INDIANAPOLIS, IN, 46214, 317-328-5660 -
0 ($170,338,750.00) Unallocated (Universal) Shelf, (File 333-188654 -
May. 16) (BR. 04B)
N-2 Nuveen Credit Strategies Income Fund, 333 WEST WACKER DRIVE, CHICAGO,
IL, 60606, 312-917-8146 - 1,000 ($10,430.00) Equity, (File 333-188655 -
May. 16) (BR. 18)
S-8 AMBIT BIOSCIENCES CORP, 11080 ROSELLE STREET, SAN DIEGO, CA, 92121,
8583342100 - 0 ($26,383,776.00) Equity, (File 333-188656 - May. 16)
(BR. 01B)
S-1 PTC THERAPEUTICS, INC., 100 CORPORATE COURT, SOUTH PLAINFIELD, NJ,
07080-2449, 9082227000 - 0 ($85,000,000.00) Equity, (File 333-188657 -
May. 16) (BR. 01A)
S-8 WAGEWORKS, INC., 1100 PARK PLACE, 4TH FLOOR, SAN MATEO, CA, 94403,
650-557-5200 - 2,262,858 ($57,803,523.48) Equity, (File 333-188658 -
May. 16) (BR. 02)
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 3M CO DE 8.01,9.01 05/16/13 ACADIA REALTY TRUST MD 5.07 05/15/13 AccelPath, Inc. DE 5.07 04/11/13 ADAMS RESOURCES & ENERGY, INC. DE 5.02,5.07 05/15/13 ADVANCED CELL TECHNOLOGY, INC. DE 7.01,9.01 05/16/13 Aegion Corp DE 5.07 05/14/13 AgFeed Industries, Inc. NV 8.01 05/16/13 AGL RESOURCES INC GA 1.01,2.03,7.01,9.01 05/16/13 ALERE INC. DE 1.01,2.03,8.01,9.01 05/10/13 Alkermes plc. 5.02,9.01 05/15/13 Allegiant Travel CO NV 7.01,9.01 05/16/13 ALLETE INC MN 5.07 05/14/13 ALLSTATE CORP DE 7.01,9.01 05/16/13 ALTRIA GROUP, INC. VA 5.07,7.01,9.01 05/16/13 AMCOL INTERNATIONAL CORP DE 5.07 05/16/13 AMERIANA BANCORP IN 5.07,7.01,9.01 05/16/13 American Caresource Holdings, Inc. DE 5.02 05/11/13 American Realty Capital Healthcare Tr MD 2.01,9.01 05/10/13 AMERICAN REALTY INVESTORS INC NV 2.02,9.01 05/15/13 American Water Works Company, Inc. DE 5.07 05/13/13 AMERISERV FINANCIAL INC /PA/ PA 8.01 05/16/13 AMKOR TECHNOLOGY INC DE 8.01,9.01 05/15/13 AMR CORP DE 1.01,8.01,9.01 05/10/13 ANAREN INC NY 5.02,9.01 05/15/13 ANAREN INC NY 8.01,9.01 05/16/13 APOGEE ENTERPRISES, INC. MN 7.01 05/16/13 APPLIED MATERIALS INC /DE DC 2.02,9.01 05/16/13 APRICUS BIOSCIENCES, INC. NV 1.01,1.02,3.03, 05/15/13 5.03,5.07,8.01,9.01 APT Systems Inc 4.02,9.01 05/16/13 AMEND ARUBA NETWORKS, INC. DE 2.02,9.01 05/16/13 ASSISTED LIVING CONCEPTS INC NV 5.07,8.01,9.01 05/16/13 ASTORIA FINANCIAL CORP DE 5.07,8.01,9.01 05/15/13 ATHENAHEALTH INC DE 1.01,1.02,2.01, 05/10/13 2.03,9.01 Atlantic Coast Financial CORP MD 8.01,9.01 05/16/13 ATLAS AIR WORLDWIDE HOLDINGS INC DE 8.01,9.01 05/15/13 ATMEL CORP DE 5.02 05/10/13 AUBURN NATIONAL BANCORPORATION, INC DE 5.07 05/14/13 AUTHENTIDATE HOLDING CORP DE 5.02,8.01,9.01 05/12/13 AUTODESK INC DE 2.02,9.01 05/16/13 AUXILIO INC NV 2.02,9.01 05/15/13 AXCELIS TECHNOLOGIES INC DE 5.07 05/14/13 Bacterin International Holdings, Inc. DE 3.01,7.01,9.01 05/13/13 Bank of New York Mellon CORP DE 3.03,5.03,8.01,9.01 05/10/13 Beneficial Mutual Bancorp Inc X1 7.01,9.01 05/16/13 Beneficial Mutual Bancorp Inc X1 5.07 05/16/13 BIO-PATH HOLDINGS INC UT 2.02,9.01 05/16/13 BIOMARIN PHARMACEUTICAL INC DE 5.02,5.07,9.01 05/14/13 BRADY CORP WI 2.02,2.06,5.02,9.01 05/14/13 Bridgepoint Education Inc DE 5.02,5.05, 05/13/13 5.07,8.01,9.01 BROCADE COMMUNICATIONS SYSTEMS INC DE 2.02,9.01 05/16/13 BRUKER CORP DE 5.07 05/16/13 BRYN MAWR BANK CORP PA 5.02 05/16/13 Business Development Corp of America MD 1.01,9.01 05/10/13 Cal Dive International, Inc. DE 5.02,5.03,5.07,9.01 05/14/13 CALLON PETROLEUM CO DE 5.07 05/16/13 Calumet Specialty Products Partners, DE 9.01 10/01/12 AMEND CANCER GENETICS, INC 2.02,9.01 05/15/13 Cardiovascular Systems Inc DE 1.01,2.03 05/10/13 CAREER EDUCATION CORP DE 5.07 05/14/13 CARMIKE CINEMAS INC DE 5.02,9.01 05/15/13 CASCADE BANCORP OR 5.07 05/14/13 CATALYST PHARMACEUTICAL PARTNERS, INC DE 8.01,9.01 05/16/13 CATASYS, INC. DE 2.02,9.01 05/16/13 Celator Pharmaceuticals Inc DE 2.02,9.01 05/15/13 CENTENE CORP 5.02,9.01 05/14/13 CENTRAL FEDERAL CORP DE 7.01,9.01 05/16/13 CF Industries Holdings, Inc. DE 5.03,5.07,9.01 05/14/13 CHEMED CORP DE 8.01 05/06/13 CHIMERA INVESTMENT CORP DE 5.02,9.01 05/16/13 CHINA AUTOMOTIVE SYSTEMS INC DE 2.02,9.01 05/14/13 CHINA EDUCATION ALLIANCE INC. NC 2.02,9.01 05/15/13 China Logistics Group Inc FL 2.02,7.01 05/16/13 CHYRON CORP NY 3.01 05/16/13 CION Investment Corp MD 2.02,9.01 05/16/13 CLAIRES STORES INC DE 1.01,2.03,8.01,9.01 05/14/13 CLEAN DIESEL TECHNOLOGIES INC DE 1.01,9.01 05/16/13 AMEND Clearwire Corp /DE DE 8.01,9.01 05/16/13 COAST DISTRIBUTION SYSTEM INC DE 2.02,9.01 05/13/13 CODEXIS INC 5.02 05/14/13 COEUR D ALENE MINES CORP ID 1.01,5.05, 05/14/13 5.07,7.01,9.01 COMCAST CORP PA 5.07 05/15/13 COMM 2013-CCRE7 Mortgage Trust DE 9.01 04/19/13 AMEND COMMERCE BANCSHARES INC /MO/ MO 8.01,9.01 05/15/13 COMMUNICATIONS SYSTEMS INC MN 5.02,9.01 05/13/13 COMMUNITY BANCORP /VT VT 5.07 05/14/13 Compressco Partners, L.P. DE 1.01,2.03,9.01 05/14/13 COMPUTER SCIENCES CORP NV 7.01 05/16/13 Computer Vision Systems Laboratories FL 2.02,9.01 05/15/13 COMPUWARE CORP MI 5.03,8.01 05/16/13 COMSTOCK RESOURCES INC NV 2.01,8.01,9.01 05/15/13 CONOCOPHILLIPS DE 5.07 05/14/13 CONSTELLATION BRANDS, INC. DE 1.01,7.01,9.01 05/14/13 CORE LABORATORIES N V P7 5.07 05/16/13 Cornerworld Corp NV 8.01 05/10/13 Covidien plc 1.01,8.01,9.01 05/13/13 CREDIT ACCEPTANCE CORP MI 5.07 05/16/13 Crown Alliance Capital Ltd NV 1.01,3.02,9.01 05/14/13 Crown Alliance Capital Ltd NV 8.01 05/15/13 Crumbs Bake Shop, Inc. DE 2.02,9.01 05/14/13 CUMMINS INC IN 5.07 05/14/13 Customers Bancorp, Inc. PA 1.01,8.01,9.01 05/15/13 CVB FINANCIAL CORP CA 7.01,8.01,9.01 05/15/13 CVB FINANCIAL CORP CA 5.07 05/15/13 Cyclacel Pharmaceuticals, Inc. DE 1.01,8.01,9.01 05/16/13 CYNOSURE INC 1.01,9.01 05/15/13 CYS Investments, Inc. MD 7.01,9.01 05/16/13 DDR CORP OH 8.01,9.01 05/16/13 DecisionPoint Systems, Inc. DE 2.02,9.01 05/16/13 DELL INC DE 2.02,9.01 05/16/13 DEVRY INC DE 7.01,9.01 05/16/13 DILLARDS INC DE 2.02,9.01 05/15/13 DineEquity, Inc DE 5.07,7.01,9.01 05/14/13 DIODES INC /DEL/ DE 2.01,7.01,9.01 03/05/13 AMEND DIRECTV DE 1.01,9.01 05/13/13 Discovery Communications, Inc. DE 5.02,5.07,9.01 05/14/13 DISH Network CORP NV 8.01,9.01 05/15/13 DORCHESTER MINERALS, L.P. DE 5.07 05/15/13 DOW CHEMICAL CO /DE/ DE 7.01 05/16/13 DPL INC OH 1.01,1.02,2.03,9.01 05/10/13 Dr Pepper Snapple Group, Inc. DE 8.01,9.01 05/15/13 Dr Pepper Snapple Group, Inc. DE 5.07 05/16/13 DRIVETIME AUTOMOTIVE GROUP INC DE 1.01 05/16/13 Duke Energy CORP DE 8.01 05/15/13 DUKE REALTY CORP IN 5.02,7.01,9.01 05/14/13 DUNKIN' BRANDS GROUP, INC. DE 5.07 05/14/13 DYAX CORP DE 1.01,5.03,8.01,9.01 05/10/13 Dynamic Nutra Enterprises Holdings, I NV 5.02,8.01,9.01 05/08/13 EAGLE ROCK ENERGY PARTNERS L P DE 5.02,5.07 05/16/13 EASTMAN CHEMICAL CO DE 5.02,9.01 05/14/13 ECOLOGY COATINGS, INC. NV 1.03 05/16/13 Edwards Lifesciences Corp DE 5.02 05/14/13 ELECTRONIC ARTS INC. DE 5.02,8.01,9.01 05/15/13 Ener-Core Inc. NV 5.03,8.01,9.01 05/16/13 ENVESTNET, INC. DE 2.02,9.01 05/16/13 EQM Technologies & Energy, Inc. DE 2.02,9.01 05/16/13 EQUAL ENERGY LTD. A0 5.02,5.03,5.07,9.01 05/13/13 EV Energy Partners, LP DE 7.01,9.01 05/10/13 Express Scripts Holding Co. DE 7.01 05/15/13 FBL FINANCIAL GROUP INC IA 5.07 05/16/13 Federal Home Loan Bank of Atlanta X1 2.03 05/13/13 Federal Home Loan Bank of Boston X1 2.03 05/14/13 Federal Home Loan Bank of Chicago X1 2.03 05/13/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 05/14/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 05/16/13 Federal Home Loan Bank of New York X1 2.03,9.01 05/14/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 05/13/13 Federal Home Loan Bank of San Francis X1 2.03 05/13/13 Federal Home Loan Bank of Seattle 2.03 05/13/13 Federal Home Loan Bank of Topeka 2.03,9.01 05/14/13 FIFTH THIRD BANCORP OH 5.03,8.01,9.01 05/13/13 FIFTH THIRD BANCORP OH 5.03,8.01,9.01 05/13/13 AMEND First American Financial Corp DE 5.07 05/14/13 FIRST DATA CORP DE 8.01 05/15/13 First Federal of Northern Michigan Ba 5.02,5.07,9.01 05/15/13 FIRST FINANCIAL SERVICE CORP KY 5.07 05/15/13 FLOWERS FOODS INC GA 2.02,9.01 05/16/13 FNB CORP/FL/ FL 5.07 05/15/13 FONAR CORP DE 2.02 05/15/13 Ford Credit Auto Owner Trust 2013-B 1.01,8.01,9.01 05/14/13 Fraternity Community Bancorp Inc 5.07 05/14/13 Freescale Semiconductor, Ltd. D0 5.02 05/15/13 Freescale Semiconductor, Ltd. D0 8.01 05/16/13 FriendFinder Networks Inc. NV 2.02,9.01 05/15/13 FROZEN FOOD EXPRESS INDUSTRIES INC TX 5.07,8.01 05/14/13 FS Energy & Power Fund DE 2.02,9.01 05/16/13 FS Investment CORP MD 2.02,9.01 05/16/13 FS Investment Corp II MD 2.02,9.01 05/16/13 FSP 303 East Wacker Drive Corp. 7.01,9.01 05/16/13 FSP 50 South Tenth Street Corp 7.01,9.01 05/16/13 FSP GALLERIA NORTH CORP 7.01,9.01 05/16/13 Galena Biopharma, Inc. 4.01,9.01 05/13/13 GASCO ENERGY INC NV 2.02,7.01,9.01 05/15/13 General Finance CORP DE 5.03,8.01,9.01 05/10/13 General Finance CORP DE 8.01,9.01 05/15/13 General Moly, Inc DE 1.02,8.01,9.01 05/14/13 GeoMet, Inc. DE 2.02,9.01 05/16/13 Global Eagle Entertainment Inc. DE 9.01 01/31/13 AMEND GRAFTECH INTERNATIONAL LTD DE 5.07 05/14/13 GREAT CHINA MANIA HOLDINGS, INC. FL 2.01,9.01 05/10/13 GRIFFIN LAND & NURSERIES INC DE 5.07 05/14/13 GUIDED THERAPEUTICS INC DE 2.02,7.01,9.01 05/15/13 Hallwood Group Inc DE 2.02,8.01 05/15/13 HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 05/16/13 HAMPTON ROADS BANKSHARES INC VA 5.02,9.01 05/14/13 Hannon Armstrong Sustainable Infrastr MD 7.01 05/16/13 HANOVER INSURANCE GROUP, INC. DE 8.01,9.01 05/14/13 HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 05/16/13 HARTFORD FINANCIAL SERVICES GROUP INC DE 5.02,5.07 05/15/13 HARVARD BIOSCIENCE INC DE 5.02,9.01 05/14/13 HEALTHCARE REALTY TRUST INC MD 5.07 05/14/13 HENRY SCHEIN INC DE 5.02,5.07,9.01 05/14/13 HERCULES OFFSHORE, INC. DE 5.07 05/16/13 Heron Lake BioEnergy, LLC MN 1.01,9.01 05/10/13 Hi-Crush Partners LP de 1.01,3.02,9.01 05/13/13 HIGHWOODS PROPERTIES INC MD 5.07 05/16/13 HINES REAL ESTATE INVESTMENT TRUST IN 1.01,9.01 05/14/13 HollyFrontier Corp DE 7.01,9.01 05/16/13 HollyFrontier Corp DE 7.01,9.01 05/16/13 HollyFrontier Corp DE 5.07 05/15/13 Hudson Global, Inc. DE 1.01,9.01 05/16/13 HYPERION THERAPEUTICS INC DE 8.01,9.01 05/16/13 INCOME OPPORTUNITY REALTY INVESTORS I NV 2.02,9.01 05/15/13 Industrial Income Trust Inc. MD 2.02,8.01,9.01 05/16/13 Ingredion Inc DE 5.07 05/15/13 INLAND REAL ESTATE CORP MD 8.01,9.01 05/15/13 INSIGNIA SYSTEMS INC/MN MN 5.02,9.01 05/13/13 INSPERITY, INC. DE 2.06,5.07,9.01 05/14/13 InspireMD, Inc. DE 8.01,9.01 05/16/13 InsPro Technologies Corp DE 8.01,9.01 05/15/13 iSatori, Inc. DE 2.02,7.01,9.01 05/15/13 ISTAR FINANCIAL INC 1.01,2.03,9.01 05/10/13 ITERIS, INC. DE 2.02,9.01 05/16/13 J C PENNEY CO INC DE 2.02,9.01 05/16/13 JAMBA, INC. DE 5.02,5.07,8.01,9.01 05/13/12 John Bean Technologies CORP DE 7.01,9.01 05/16/13 JONES LANG LASALLE INC MD 5.02,9.01 05/16/13 JPX Global Inc. 1.02 05/16/13 KEMET CORP DE 5.02 05/11/13 KEY TECHNOLOGY INC OR 9.01 02/28/13 AMEND KOHLS Corp WI 2.02,7.01,8.01,9.01 05/16/13 LA JOLLA PHARMACEUTICAL CO CA 7.01,9.01 05/14/13 LAWSON PRODUCTS INC/NEW/DE/ DE 5.07 05/14/13 Liberty Global, Inc. DE 7.01 05/16/13 Liberty Global, Inc. DE 2.03,9.01 05/14/13 Liberty Interactive Corp 7.01,9.01 05/15/13 Liberty Media Corp DE 7.01,9.01 05/15/13 Lightstone Value Plus Real Estate Inv MD 8.01,9.01 05/16/13 LOEWS CORP DE 5.07 05/16/13 Lone Pine Resources Inc. DE 5.02,5.03,5.07,9.01 05/14/13 Lumber Liquidators Holdings, Inc. 5.07 05/16/13 MAD CATZ INTERACTIVE INC Z4 5.02,9.01 05/16/13 MAGNEGAS CORP DE 3.03,5.03,9.01 05/16/13 MCCLATCHY CO DE 5.07 05/14/13 MCCORMICK & CO INC MD 5.02 05/16/13 McEwen Mining Inc. CO 7.01,9.01 05/16/13 Meritage Homes CORP MD 5.07 05/15/13 MGM Resorts International DE 1.01,9.01 05/14/13 MINDEN BANCORP, INC. LA 5.07 05/14/13 MINDSPEED TECHNOLOGIES, INC DE 5.02,9.01 05/14/13 MINERALS TECHNOLOGIES INC DE 5.07,8.01,9.01 05/15/13 MISONIX INC NY 5.02,9.01 05/13/13 Morgans Hotel Group Co. DE 8.01 05/14/13 MOTORCAR PARTS AMERICA INC NY 1.01,9.01 05/13/13 MULTI-CORP INTERNATIONAL INC. NV 4.01,9.01 04/16/13 AMEND NATIONAL HOLDINGS CORP DE 2.02,9.01 05/13/13 NAVIDEA BIOPHARMACEUTICALS, INC. DE 1.01,8.01,9.01 05/10/13 NAVISTAR INTERNATIONAL CORP DE 7.01 05/16/13 NBT BANCORP INC DE 9.01 03/08/13 AMEND Neenah Paper Inc DE 8.01,9.01 05/16/13 Net Element International, Inc. E9 1.01,2.03 05/10/13 New Concept Energy, Inc. NV 2.02,9.01 05/15/13 NEWLINK GENETICS CORP 8.01,9.01 05/16/13 NewStar Financial, Inc. 1.01,2.03,9.01 05/13/13 NGP Capital Resources Co MD 5.07 05/15/13 NII HOLDINGS INC DE 8.01,9.01 05/16/13 NISOURCE INC/DE DE 5.07 05/14/13 NL INDUSTRIES INC NJ 5.07,7.01,9.01 05/15/13 NORDSON CORP OH 5.02 05/10/13 NORDSTROM INC WA 2.02,5.07, 05/14/13 7.01,8.01,9.01 NORFOLK SOUTHERN CORP VA 8.01,9.01 05/15/13 NORTHEAST UTILITIES MA 2.03,9.01 05/13/13 Northern Tier Energy LP DE 7.01 05/16/13 NORTHWEST BIOTHERAPEUTICS INC DE 8.01,9.01 05/16/13 Novation Holdings Inc FL 2.01,9.01 05/13/13 Novelis Inc. A6 5.02,8.01,9.01 05/16/13 NOVELOS THERAPEUTICS, INC. DE 7.01,9.01 05/16/13 Nuverra Environmental Solutions, Inc. DE 7.01,9.01 05/16/13 OIL STATES INTERNATIONAL, INC DE 5.07 05/15/13 OLD POINT FINANCIAL CORP VA 7.01 05/16/13 OMNICARE INC DE 7.01,9.01 05/16/13 ON ASSIGNMENT INC DE 1.01,2.03,9.01 05/16/13 Onstream Media CORP FL 2.02,9.01 05/15/13 Oxford Resource Partners LP 1.01 05/14/13 OXYGEN BIOTHERAPEUTICS, INC. DE 8.01,9.01 05/15/13 Pacific Ethanol, Inc. DE 5.03,9.01 05/10/13 Pacific Green Technologies Inc. DE 1.01,2.01,3.02,9.01 05/15/13 PACKAGING CORP OF AMERICA 7.01,9.01 05/15/13 PALOMAR MEDICAL TECHNOLOGIES INC DE 1.01,9.01 05/15/13 PAYCHEX INC DE 5.02,9.01 05/16/13 PBF Energy Inc. DE 7.01,9.01 05/16/13 PENN NATIONAL GAMING INC PA 8.01 05/15/13 PENNYMAC FINANCIAL SERVICES, INC. DE 8.01,9.01 05/14/13 Pernix Group, Inc. 2.02,7.01,9.01 03/31/13 PERRIGO CO MI 1.01,9.01 05/16/13 PFSWEB INC DE 2.02 05/15/13 PHARMACYCLICS INC DE 7.01,9.01 05/15/13 Pingtan Marine Enterprise Ltd. E9 8.01,9.01 05/14/13 PIONEER POWER SOLUTIONS, INC. DE 2.02,9.01 05/15/13 POLYONE CORP 5.07 05/15/13 POWERSECURE INTERNATIONAL, INC. DE 7.01,9.01 05/16/13 POWIN CORP 5.02 05/13/13 PREFERRED APARTMENT COMMUNITIES INC MD 2.01,9.01 01/17/13 AMEND Prestige Brands Holdings, Inc. 2.02,7.01,9.01 05/16/13 PROGRESS ENERGY INC NC 7.01,9.01 03/31/13 PSM HOLDINGS INC DE 8.01,9.01 05/16/13 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 05/16/13 QCR HOLDINGS INC DE 8.01,9.01 05/15/13 QLIK TECHNOLOGIES INC DE 5.07 05/15/13 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,1.02,8.01,9.01 05/16/13 QUICKSILVER RESOURCES INC DE 5.02,5.03,8.01,9.01 05/15/13 RAMCO GERSHENSON PROPERTIES TRUST MD 1.01,9.01 05/14/13 RAYMOND JAMES FINANCIAL INC FL 7.01 05/16/13 REDWOOD TRUST INC MD 7.01,9.01 05/16/13 REINSURANCE GROUP OF AMERICA INC MO 5.07 05/15/13 RENAISSANCERE HOLDINGS LTD D0 5.02,9.01 05/15/13 RENAISSANCERE HOLDINGS LTD D0 5.07 05/15/13 REPROS THERAPEUTICS INC. DE 7.01,9.01 05/16/13 RESERVE PETROLEUM CO DE 8.01,9.01 05/10/13 RETAIL PROPERTIES OF AMERICA, INC. MD 1.01,2.03,9.01 05/13/13 RITE AID CORP DE 5.02 05/13/13 ROCKWELL MEDICAL, INC. MI 8.01,9.01 05/16/13 Rosetta Resources Inc. DE 5.07 05/16/13 SAIA INC DE 8.01,9.01 05/16/13 SANTEON GROUP, INC. DE 2.02,9.01 05/16/13 SaveDaily Inc NV 5.02 05/13/13 SBT Bancorp, Inc. CT 5.07 05/14/13 SBT Bancorp, Inc. CT 8.01,9.01 05/15/13 SCICLONE PHARMACEUTICALS INC DE 1.01,2.02, 05/13/13 3.01,8.01,9.01 Seagate Technology plc L2 7.01,9.01 05/16/13 Sears Hometown & Outlet Stores, Inc. DE 5.07 05/14/13 Sebring Software, Inc. NV 1.01,2.01,2.03, 04/25/13 AMEND 3.02,9.01 Select Income REIT MD 5.03,5.07,8.01,9.01 05/13/13 Selway Capital Acquisition Corp. DE 2.02,9.01 05/15/13 Selway Capital Acquisition Corp. DE 2.01,9.01 04/10/13 AMEND SENESCO TECHNOLOGIES INC DE 2.02,9.01 05/16/13 Shire plc 8.01,9.01 05/16/13 Shutterstock, Inc. 8.01 05/13/13 SM Energy Co DE 7.01,9.01 05/15/13 SMTC CORP DE 5.02,9.01 05/14/13 SOFTECH INC MA 1.01,2.03,9.01 05/10/13 Solar Capital Ltd. MD 7.01,9.01 05/16/13 SOUNDBITE COMMUNICATIONS INC 8.01 05/16/13 SOUTHWEST AIRLINES CO TX 5.07 05/15/13 SPS COMMERCE INC DE 5.07 05/15/13 STAGE STORES INC NV 8.01,9.01 05/16/13 STATER BROS HOLDINGS INC DE 2.02,9.01 05/13/13 STR HOLDINGS, INC. DE 5.07 05/14/13 Strategic Storage Trust, Inc. MD 7.01,9.01 05/16/13 STRUCTURED PROD CORTS TR II FOR PROVI DE 8.01,9.01 05/09/13 TAL International Group, Inc. DE 1.02 05/13/13 TAURIGA SCIENCES, INC. FL 5.02,9.01 05/10/13 TECHPRECISION CORP 5.02,9.01 05/13/13 TENNECO INC DE 5.07,9.01 05/15/13 TherapeuticsMD, Inc. NV 5.02,9.01 05/16/13 THERAVANCE INC DE 1.01,9.01 05/12/13 TIFFANY & CO DE 8.01,9.01 05/16/13 Tower Group International, Ltd. D0 7.01,9.01 05/16/13 TRANSCONTINENTAL REALTY INVESTORS INC NV 2.02,9.01 05/15/13 TransUnion Holding Company, Inc. DE 9.01 05/16/13 AMEND Tropicana Entertainment Inc. DE 5.07 05/16/13 TRUE RELIGION APPAREL INC DE 8.01,9.01 05/16/13 TUCOWS INC /PA/ PA 2.02,9.01 05/15/13 U S PHYSICAL THERAPY INC /NV NV 7.01,9.01 05/16/13 UIL HOLDINGS CORP CT 5.07,8.01,9.01 05/14/13 ULURU INC. NV 2.02,9.01 05/16/13 UNION BANKSHARES INC VT 5.07,8.01 05/15/13 United Development Funding III, LP DE 8.01 05/16/13 UNITED FIRE GROUP INC 5.07,7.01,8.01,9.01 05/16/13 UNITED GUARDIAN INC DE 7.01,9.01 05/16/13 UniTek Global Services, Inc. DE 8.01,9.01 05/10/13 UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 5.07 05/14/13 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 05/16/13 UNIVEST CORP OF PENNSYLVANIA PA 8.01 05/14/13 UNR HOLDINGS INC FL 1.01 05/09/13 US AIRWAYS GROUP INC DE 1.01,8.01,9.01 05/10/13 US CONCRETE INC DE 5.05,5.07 05/15/13 US GEOTHERMAL INC DE 1.01,2.03,9.01 05/15/13 Valeant Pharmaceuticals International A6 5.02 05/15/13 VIASAT INC DE 2.02,9.01 05/16/13 Viggle Inc. DE 8.01,9.01 05/15/13 VISION SCIENCES INC /DE/ DE 5.02 05/12/13 VIVUS INC CA 1.01,7.01,9.01 05/15/13 VOXX International Corp DE 1.01,2.02,8.01 05/14/13 WAL MART STORES INC DE 2.02,9.01 05/16/13 WARREN RESOURCES INC MD 5.07 05/15/13 WARWICK VALLEY TELEPHONE CO NY 7.01,9.01 05/16/13 WASHINGTON POST CO DE 5.07 05/09/13 WATTS WATER TECHNOLOGIES INC DE 1.01,5.02,5.07,9.01 05/15/13 WAVE SYSTEMS CORP DE 8.01,9.01 05/15/13 Wendy's Co DE 1.01,2.03,9.01 05/16/13 WESTERN DIGITAL CORP DE 7.01,9.01 05/15/13 WESTFIELD FINANCIAL INC MA 7.01,9.01 05/16/13 WONDER INTERNATIONAL EDUCATION & INVE AZ 1.01,8.01,9.01 05/11/13 WWA GROUP INC NV 5.07 05/10/13 WYNN RESORTS LTD 8.01,9.01 05/15/13 YAHOO INC DE 8.01,9.01 05/16/13 http://www.sec.gov/news/digest/2013/dig051713.htm
|