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Commission announcementsCommission Suspends Trading in the Securities of China Environmental Protection, Inc. for Failure to Make Required Periodic FilingsThe Securities and Exchange Commission (Commission) announced the temporary suspension of trading in the securities of China Environmental Protection, Inc. (“CNVP”), commencing at 9:30 a.m. EDT on May 29, 2013 and terminating at 11:59 p.m. EDT on June 11, 2013. The Commission temporarily suspended trading in the securities of CNVP due to a lack of current and accurate information about the company because it has not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by this company. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspension, no quotation may be entered relating to the securities of the subject company unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of this company that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-69647) Commission Suspends Trading in the Securities of China Properties Developments, Inc. for Failure to Make Required Periodic FilingsThe Commission announced the temporary suspension of trading in the securities of China Properties Developments, Inc. (“CPDV”), commencing at 9:30 a.m. EDT on May 29, 2013 and terminating at 11:59 p.m. EDT on June 11, 2013. The Commission temporarily suspended trading in the securities of CPDV due to a lack of current and accurate information about the company because it has not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by this company. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspension, no quotation may be entered relating to the securities of the subject company unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of this company that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-69649) Commission Suspends Trading in the Securities of Jupiter Enterprises, Inc. for Failure to Make Required Periodic FilingsThe Commission announced the temporary suspension of trading in the securities of Jupiter Enterprises, Inc. (“JPTR”), commencing at 9:30 a.m. EDT on May 29, 2013 and terminating at 11:59 p.m. EDT on June 11, 2013. The Commission temporarily suspended trading in the securities of JPTR due to a lack of current and accurate information about the company because it has not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by this company. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspension, no quotation may be entered relating to the securities of the subject company unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of this company that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-69651) Commission MeetingsOpen Meeting on Wednesday, June 5, 2013 at 10:00 a.m., in the Auditorium, Room L-002The Commission will consider a recommendation to propose amendments to certain rules under the Investment Company Act that govern the operation of money market funds and related amendments to Form PF under the Investment Advisers Act. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGSCommission Charges Nasdaq for Failures During Facebook IPOThe Commission today charged NASDAQ with securities laws violations resulting from its poor systems and decision-making during the initial public offering (IPO) and secondary market trading of Facebook shares. NASDAQ has agreed to settle the SEC’s charges by paying a $10 million penalty – the largest ever against an exchange. Exchanges have an obligation to ensure that their systems, processes, and contingency planning are robust and adequate to manage an IPO without disruption to the market. According to the SEC’s order instituting settled administrative proceedings, despite widespread anticipation that the Facebook IPO would be among the largest in history with huge numbers of investors participating, a design limitation in NASDAQ’s system to match IPO buy and sell orders caused disruptions to the Facebook IPO. NASDAQ then made a series of ill-fated decisions that led to the rules violations. According to the SEC’s order, several members of NASDAQ’s senior leadership team convened a “Code Blue” conference call and decided not to delay the start of secondary market trading in Facebook with the expectation that they had fixed the system limitation by removing a few lines of computer code. However, they did not understand the root cause of the problem. NASDAQ’s decision to initiate trading before fully understanding the problem caused violations of several rules, including NASDAQ’s fundamental rule governing the price/time priority for executing trade orders. The problem caused more than 30,000 Facebook orders to remain stuck in NASDAQ’s system for more than two hours when they should have been promptly executed or cancelled. “This action against NASDAQ tells the tale of how poorly designed systems and hasty decision-making not only disrupted one of the largest IPOs in history, but produced serious and pervasive violations of fundamental rules governing our markets,” said George S. Canellos, Co-Director of the SEC’s Division of Enforcement. Daniel M. Hawke, Chief of the SEC Enforcement Division’s Market Abuse Unit, added, “Our focus in this investigation was on the design limitation in NASDAQ’s system and the exchange’s decision-making after that limitation came to light. Too often in today’s markets, systems disruptions are written off as mere technical ‘glitches’ when it’s the design of the systems and the response of exchange officials that cause us the most concern.” The matching of buy and sell orders in an IPO is referred to as “the cross.” According to the SEC’s order, the systems problems encountered during the Facebook IPO on May 18, 2012, caused the cross to fall 19 minutes behind the orders received by NASDAQ, whose IPO cross application calculated the price and volume of the cross based on the orders and cancellations received up until 11:11 a.m. This time discrepancy caused more than 38,000 marketable Facebook orders placed between 11:11 a.m. and 11:30:09 a.m. to not be included in the cross. Approximately 8,000 of those orders were entered into the market at 11:30 a.m. when continuous trading commenced, and the remaining 30,000 were “stuck” orders. Immediately prior to the cross, NASDAQ officials noticed a discrepancy between the final indicative pricing and volume totals and the actual totals on NASDAQ’s internal systems. This discrepancy indicated that there was still a problem with the cross and that some cross-eligible orders may not have been handled properly. But NASDAQ failed to address this issue during the minutes and hours following the cross. NASDAQ’s Facebook issues also caused problems in the trading of Zynga shares, and NASDAQ failed to execute 365 orders for Zynga shares in accordance with the price/time priority requirements. According to the SEC’s order, NASDAQ further violated its rules when it assumed a short position in Facebook of more than three million shares in an unauthorized error account. NASDAQ’s rules do not permit it to use an error account for any purpose. NASDAQ subsequently covered that short position for a profit of approximately $10.8 million, also in violation of its rules. NASDAQ further violated its rules in three other ways during the opening of trading after the end of the display-only period for Facebook and following a halt in Zynga trading. The SEC’s order also charges NASDAQ’s affiliated third party broker-dealer NASDAQ Execution Services (NES) with failing to maintain sufficient net capital reserves on the day of the Facebook IPO as a result of NASDAQ’s own Facebook trading through the unauthorized error account. In separate incidents unrelated to the Facebook IPO, the SEC’s order additionally charges NASDAQ with violations of Regulation NMS and Regulation SHO based on its failure to appropriately monitor and enforce compliance with price-test restrictions in October 2011 and August 2012. The SEC’s order finds that NASDAQ violated Section 19(g)(1) of the Securities Exchange Act of 1934 by not complying with several of its own rules, and that NES violated Section 15(c)(3) of the Exchange Act and Rule 15c3-1 thereunder by failing to maintain sufficient net capital reserves on May 18, 2012. Additionally, NASDAQ violated Rule 201(b) of Regulation SHO during two separate incidents in October 2011 and August 2012 and also violated Rule 611 of Regulation NMS during the October 2011 incident. NASDAQ and NES agreed to a settlement without admitting or denying the SEC’s findings. The order censures NASDAQ and NES, imposes a $10 million penalty on NASDAQ, and requires both NASDAQ and NES to cease and desist from committing or causing these violations and any future violations. The order also requires NASDAQ and NES to complete numerous undertakings. The SEC’s investigation was conducted by Michael Holland, Daniel Marcus, and Amelia A. Cottrell, who are members of the Market Abuse Unit in New York. They were assisted by Brendan Hamill, George Makris, Mark Donohue, Jon Hertzke, and Kristen Lever in the National Exam Program’s Office of Market Oversight under the supervision of John Polise. The case was supervised by Daniel M. Hawke, who is the Market Abuse Unit’s Chief, and Sanjay Wadhwa, who is Senior Associate Director of the SEC’s New York Regional Office. (Press Rel. 2013-95; Rel. 34-69655; File No. 3-15339) In the Matter of Total, S.A.The Commission announced the issuance of an Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order (Order) against Total, S.A. The Order finds that from approximately September 1995 to November 2004, Total paid over $60 million in bribes to intermediaries of an Iranian government official. In return for these illegal payments the Iranian Official exercised his influence to assist Total in obtaining valuable contracts to develop significant oil and gas fields in Iran. In order to cover up the true nature of the illegal payments, Total entered into sham consulting agreements with intermediaries of the Iranian Official. In addition, Total misstated its books and records, mischaracterizing the bribes as legitimate “business development expenses” made pursuant to the consulting agreements. Total had inadequate systems for reviewing these consulting agreements and lacked controls sufficient to provide reasonable assurances that the agreements complied with applicable U.S. securities laws. Based on the above, the Order requires Total to pay $153 million in disgorgement, to cease and desist from committing or causing any violations and any future violations of Section 30A, Section 13(b)(2)(A), and Section 13(b)(2)(B) of the Securities Exchange Act of 1934, and requires Total to retain an independent compliance consultant to review and report on Total’s compliance with the FCPA. (Press Rel. 2013-94; Rel. 34-69654; AAER- 3461; File No. 3-15338) Commission Orders Hearings on Registration Suspension or Revocation against China Environmental Protection, Inc. for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of China Environmental Protection, Inc. (“CNVP”), for failure to make required periodic filings with the Commission. In the Matter of China Environmental Protection, Inc., Administrative Proceeding File No. 3-15334. In this Order, the Division of Enforcement (Division) alleges that CNVP is delinquent in its required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondent to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registration pursuant to Exchange Act Section 12 of each class of the securities of this Respondent should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-69646; File No. 3-15334) Commission Orders Hearings on Registration Suspension or Revocation against China Properties Developments, Inc. for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of China Properties Developments, Inc. (“CPDV”), for failure to make required periodic filings with the Commission. In the Matter of China Properties Developments, Inc., Administrative Proceeding File No. 3-15335. In this Order, the Division of Enforcement (Division) alleges that CPDV is delinquent in its required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondent to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registration pursuant to Exchange Act Section 12 of each class of the securities of this Respondent should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-69648; File No. 3-15335) Commission Orders Hearings on Registration Suspension or Revocation against Jupiter Enterprises, Inc. for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of Jupiter Enterprises, Inc. (“JPTR”), for failure to make required periodic filings with the Commission. In the Matter of Jupiter Enterprises, Inc., Administrative Proceeding File No. 3-15336. In this Order, the Division of Enforcement (Division) alleges that JPTR is delinquent in its required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondent to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registration pursuant to Exchange Act Section 12 of each class of the securities of this Respondent should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-69650; File No. 3-15336) Revocation of Registration of Securities of Integrity Bancshares, Inc.The Commission announced the revocation of the registration of the securities of Integrity Bancshares, Inc. (Integrity), which was a Georgia corporation with its principal place of business in Alpharetta, Georgia, registered with the Commission pursuant to Section 12 of the Securities Exchange Act of 1934 (Exchange Act), on May 29, 2013 pursuant to Section 12(j) of the Exchange Act. In its Order Instituting Administrative Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order), revoking the registration of securities of Integrity registered with the Commission pursuant to Section 12 of the Exchange Act, the Commission found, among other things, that Integrity had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder, while its common stock was registered with the Commission, in that Integrity had not filed an Annual Report on Form 10-K since March 15, 2007, for the year ended December 31, 2006, and has not filed any quarterly reports on Form 10-Q since November 15, 2007, for the period ended September 30, 2007. The Commission cautions broker dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company. Further, brokers and dealers should be alert to the fact that, Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked pursuant to the preceding sentence. Without admitting or denying the findings in the Order, Integrity consented to the entry of an order finding that Integrity had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder, while its common stock was registered with the Commission, and revoking the registration of each class of securities of Integrity registered with the Commission pursuant to Section 12 of the Exchange Act. (Rel. 34-69652; File No. 3-15337) Self-regulatory organizationsNotice of Proposed Rule ChangeThe Fixed Income Clearing Corporation (“FICC”) filed a proposed rule change (File No. SR-FICC-2013-05) under Section 19(b)(1) of the Securities Exchange Act of 1934 to include trueEX LLC as a designated locked-in trade source pursuant to the rulebook of the Government Securities Division. Publication is expected in the Federal Register during the week of June 3rd (Release No. 34-69653) The Commission issued notice of a proposed rule change submitted by The NASDAQ Stock Market LLC (SR-NASDAQ-2013-079), as modified by Amendment No. 1 thereto, pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the WisdomTree Global Corporate Bond Fund and the WisdomTree Emerging Markets Corporate Bond Fund. Publication is expected in the Federal Register during the week of June 3rd. (Rel. 34-69657) 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-4 HILLMAN COMPANIES INC, 10590 HAMILTON AVE., CINCINNATI, OH, 45231,
5138514900 - 0 ($65,000,000.00) Debt, (File 333-188869 - May. 28)
(BR. 06A)
S-1 Mast Therapeutics, Inc., 12390 EL CAMINO REAL, SUITE 150, SAN DIEGO,
CA, 92130, 8585520866 - 0 ($30,000,000.00) Equity, (File 333-188870 -
May. 28) (BR. 01A)
F-1 AZUL SA, EDIF?CIO JATOB?, 8TH FL, CASTELO BRANCO,
OFFICE PARK, AVENIDA MARCOS PENTEADO DE, BARUERI, D5, 06460-040,
55 11 4831 2880 - 0 ($100,000,000.00) Other, (File 333-188871 -
May. 28) (BR. 05A)
S-3ASR Nationstar Mortgage Holdings Inc., 350 HIGHLAND DRIVE, LEWISVILLE, TX,
75067, (469) 549-2000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-188872 - May. 28) (BR. 07)
S-1 COSMO VENTURES INC, 1516 E TROPICANA AVE, SUITE 155, LAS VEGAS, NV,
89119, (964)658-0248 - 10,000,000 ($50,000.00) Equity,
(File 333-188873 - May. 28) (BR. 02)
S-3D ISABELLA BANK CORP, 200 EAST BROADWAY, MT PLEASANT, MI, 48858,
5177729471 - 0 ($7,437,000.00) Equity, (File 333-188874 - May. 28)
(BR. 07C)
S-8 Two Harbors Investment Corp., 601 CARLSON PARKWAY, SUITE 1400,
MINNETONKA, MN, 55305, 612-629-2500 - 0 ($33,583,011.00) Equity,
(File 333-188875 - May. 28) (BR. 08B)
S-8 VAPOR CORP., 3001 GRIFFIN ROAD, DANIA BEACH, FL, 33312, 888-766-5351 -
0 ($27,583,440.00) Equity, (File 333-188888 - May. 28) (BR. 05B)
S-8 Oncologix Tech Inc., P.O. BOX 8832, KENTWOOD, MI, 49518-8832,
616-977-9933 - 0 ($100,000.00) Equity, (File 333-188889 - May. 28)
(BR. 10B)
S-8 DOLE FOOD CO INC, ONE DOLE DRIVE, WESTLAKE VILLAGE, CA, 91362,
8188796600 - 0 ($77,210,000.00) Equity, (File 333-188890 - May. 28)
(BR. 05A)
S-8 GENTEX CORP, 600 N CENTENNIAL ST, ZEELAND, MI, 49464, 6167721800 -
1,000,000 ($21,490,000.00) Equity, (File 333-188893 - May. 28) (BR. 05B)
S-8 PHARMACYCLICS INC, PHARMACYCLICS INC, 995 E ARQUES AVE, SUNNYVALE, CA,
94085-4521, 408 774 0330 - 300,000 ($25,045,500.00) Equity,
(File 333-188894 - May. 28) (BR. 01B)
F-3 JA Solar Holdings Co., Ltd., 7/F, 36 JIANG CHANG SAN ROAD, ZHABEI,
SHANGHAI, F4, 200436, (86-21) 6095-5888 - 0 ($80,000,000.00) Equity,
(File 333-188895 - May. 28) (BR. 10A)
S-1 Jones Energy, Inc., 807 LAS CIMAS PARKWAY, SUITE 350, AUSTIN, TX,
78746, 512-328-2953 - 0 ($250,000,000.00) Equity, (File 333-188896 -
May. 28) (BR. 04A)
S-8 Omthera Pharmaceuticals, Inc., 707 STATE ROAD, NEW JERSEY, NJ, 08540,
908-741-4323 - 0 ($3,374,485.40) Equity, (File 333-188897 - May. 28)
(BR. 01B)
S-8 MILLER INDUSTRIES INC /TN/, 8503 HILLTOP DR, STE 100, OOLTEWAH, TN,
37363, 4232384171 - 0 ($1,558,000.00) Equity, (File 333-188898 -
May. 28) (BR. 05B)
S-1 MediaShift, Inc., 600 NORTH BRAND BLVD., SUITE 230, GLENDALE, CA,
91203, (818) 649-5710 - 16,842,787 ($99,539,765.00) Equity,
(File 333-188899 - May. 28) (BR. 04A)
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 4Licensing Corp NY 5.07 05/23/13 ABERCROMBIE & FITCH CO /DE/ DE 2.02,8.01,9.01 05/21/13 ABRAXAS PETROLEUM CORP NV 7.01,9.01 05/28/13 ACORDA THERAPEUTICS INC 8.01,9.01 05/28/13 AIR LEASE CORP DE 8.01,9.01 05/28/13 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 05/28/13 Alphatec Holdings, Inc. DE 5.02 05/23/13 AMERICAN CRYSTAL SUGAR CO /MN/ MN 7.01 05/24/13 American Realty Capital Global Trust, 1.01,9.01 05/21/13 American Realty Capital Properties, I MD 8.01,9.01 05/28/13 American Realty Capital Properties, I MD 8.01,9.01 05/28/13 American Realty Capital Properties, I MD 1.01,7.01,9.01 05/28/13 AMERICAN STATES WATER CO CA 1.01,2.03,9.01 05/23/13 AMERIGO ENERGY, INC. DE 1.01,2.01,9.01 05/27/13 AMEND Amtrust Financial Services, Inc. DE 5.03,5.07,9.01 05/23/13 ANGIODYNAMICS INC DE 5.02 05/22/13 ANTARES PHARMA, INC. DE 5.02,5.07,9.01 05/22/13 Apple REIT Eight, Inc. VA 2.02,9.01 05/24/13 Apple REIT Nine, Inc. VA 2.02,9.01 05/24/13 Apple REIT Seven, Inc. VA 2.02,9.01 05/24/13 Apple REIT Ten, Inc. VA 2.02,9.01 05/24/13 APPLIED MATERIALS INC /DE DC 1.01,2.03,9.01 05/25/13 ARADIGM CORP CA 5.07 05/22/13 Arista Power, Inc. NY 1.01,3.02, 05/21/13 5.02,5.07,9.01 Arlington Asset Investment Corp. VA 1.01,9.01 05/24/13 ARROW ELECTRONICS INC NY 5.07 05/23/13 B456 SYSTEMS, INC. DE 7.01,9.01 05/20/13 Baltic Trading Ltd 1T 1.01,3.02,9.01 05/22/13 BANK OF AMERICA CORP /DE/ DE 8.01,9.01 05/28/13 BERKSHIRE HILLS BANCORP INC DE 7.01,9.01 05/28/13 BIOLOGIX HAIR INC. NV 5.02,8.01,9.01 05/17/13 Black Elk Energy Offshore Operations, TX 2.02,9.01 05/28/13 BLUE NILE INC DE 5.02,5.07,9.01 05/21/13 BON TON STORES INC PA 8.01,9.01 05/28/13 BOOKS A MILLION INC DE 2.02,9.01 05/28/13 Builders FirstSource, Inc. DE 5.07 05/22/13 CALLON PETROLEUM CO DE 1.01,3.03, 05/22/13 5.03,7.01,9.01 CAMPBELL FUND TRUST DE 3.02 05/28/13 CANCER GENETICS, INC 1.01,7.01,9.01 05/22/13 Capital Bank Financial Corp. DE 5.07 05/22/13 CAPITAL SENIOR LIVING CORP DE 5.07,7.01,9.01 05/23/13 CapLease, Inc. 8.01,9.01 05/28/13 CapLease, Inc. 8.01,9.01 05/28/13 CapLease, Inc. 1.01,8.01,9.01 05/28/13 CARRIAGE SERVICES INC DE 5.02 05/28/13 CEMPRA, INC. DE 5.02,5.07 05/23/13 CEMPRA, INC. DE 1.01,9.01 05/24/13 CENTURY ALUMINUM CO DE 1.01,1.02,2.03,9.01 05/24/13 CENTURYLINK, INC LA 5.07 05/22/13 CERNER CORP /MO/ DE 5.03,5.07,8.01,9.01 05/24/13 CHAMBERS STREET PROPERTIES MD 8.01,9.01 05/28/13 CHARLES & COLVARD LTD NC 5.07 05/23/13 ChemoCentryx, Inc. DE 5.02,5.07,7.01,9.01 05/23/13 CHIQUITA BRANDS INTERNATIONAL INC NJ 5.07 05/23/13 Cinemark Holdings, Inc. DE 5.07 05/23/13 CLAYTON WILLIAMS ENERGY INC /DE DE 5.02,9.01 05/23/13 CLEAN DIESEL TECHNOLOGIES INC DE 5.02,5.07 05/22/13 Clearwire Corp /DE DE 8.01,9.01 05/28/13 CME GROUP INC. DE 5.07 05/22/13 CNH CAPITAL RECEIVABLES LLC DE 1.01,8.01,9.01 05/21/13 CNH CAPITAL RECEIVABLES LLC DE 8.01,9.01 05/21/13 Coastal Carolina Bancshares, Inc. SC 5.02,5.07 05/22/13 Cobalt International Energy, Inc. 5.02,9.01 05/28/13 CONCUR TECHNOLOGIES INC DE 8.01,9.01 05/28/13 Core-Mark Holding Company, Inc. DE 5.07 05/24/13 CORNING INC /NY NY 8.01 05/24/13 CORTLAND BANCORP INC OH 7.01,9.01 05/28/13 CRAFT BREW ALLIANCE, INC. WA 5.07 05/22/13 CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 05/23/13 CROWN CASTLE INTERNATIONAL CORP DE 1.01,5.03,5.07,9.01 05/23/13 CRYOLIFE INC FL 1.01 05/21/13 CRYOLIFE INC FL 1.01 05/23/13 CTS CORP IN 5.07 05/28/13 CVR ENERGY INC DE 7.01,9.01 05/28/13 CVR ENERGY INC DE 1.01,7.01,9.01 05/22/13 CVR PARTNERS, LP DE 1.01,7.01,9.01 05/22/13 CYAN INC DE 5.02,9.01 05/23/13 CYBERONICS INC DE 8.01 05/28/13 DAKOTA PLAINS HOLDINGS, INC. NV 7.01,9.01 05/28/13 DENBURY RESOURCES INC DE 5.02,5.07,9.01 05/22/13 DIAMOND HILL INVESTMENT GROUP INC OH 5.02 05/28/13 DOCUMENT SECURITY SYSTEMS INC NY 1.01,2.03,9.01 05/24/13 DOLE FOOD CO INC DE 8.01,9.01 05/23/13 DRIVETIME AUTOMOTIVE GROUP INC DE 1.01,9.01 05/21/13 Dynacast International Inc. DE 2.02,9.01 05/28/13 DYNAMIC APPLICATIONS CORP DE 8.01,9.01 05/28/13 Echo Therapeutics, Inc. DE 5.07,9.01 05/22/13 AMEND Ellington Financial LLC DE 5.07 05/21/13 EMC INSURANCE GROUP INC IA 5.07 05/23/13 ENDEAVOUR INTERNATIONAL CORP NV 1.01,3.02 05/21/13 Energizer Tennis Inc. NV 5.01,5.02 05/26/13 ENERGY XXI (BERMUDA) LTD D0 8.01,9.01 03/31/13 EnerSys DE 2.02,8.01,9.01 05/28/13 Engility Holdings, Inc. DE 5.02,5.07,9.01 05/23/13 Enhance Skin Products Inc NV 1.01 04/30/13 EP Energy LLC DE 1.01,2.03,9.01 05/24/13 EveryWare Global, Inc. DE 1.01,1.02,2.01,2.02, 05/21/13 2.03,4.01,5.01,5.06,9.01 EveryWare Global, Inc. DE 3.01,3.02,3.03, 05/21/13 AMEND 5.02,5.03,5.07,8.01,9.01 Extra Space Storage Inc. MD 5.07 05/21/13 FARO TECHNOLOGIES INC FL 5.07 05/23/13 Federal Home Loan Bank of Atlanta X1 2.03 05/22/13 Federal Home Loan Bank of Boston X1 2.03 05/22/13 Federal Home Loan Bank of Chicago X1 2.03 05/22/13 Federal Home Loan Bank of Chicago X1 7.01,9.01 05/28/13 Federal Home Loan Bank of Dallas 2.03,9.01 05/21/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 05/23/13 Federal Home Loan Bank of New York X1 2.03,9.01 05/22/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 05/22/13 Federal Home Loan Bank of San Francis X1 2.03 05/22/13 Federal Home Loan Bank of Seattle 2.03 05/22/13 Federal Home Loan Bank of Topeka 2.03,9.01 05/22/13 FelCor Lodging Trust Inc MD 5.07 05/21/13 Fidelity National Financial, Inc. 1.01,8.01,9.01 05/28/13 FIELDPOINT PETROLEUM CORP CO 7.01,9.01 05/28/13 Financial Engines, Inc. DE 5.02,5.07,9.01 05/21/13 FIRST BANCSHARES INC /MS/ MS 5.07 05/23/13 FIRST COMMUNITY BANCSHARES INC /NV/ NV 5.02,9.01 05/28/13 FIRST COMMUNITY CORP /SC/ SC 5.07 05/22/13 FIRST DEFIANCE FINANCIAL CORP OH 5.07 04/23/13 AMEND FIRST INTERSTATE BANCSYSTEM INC MT 5.07 05/22/13 First State Capital Investments, Inc DE 1.02 05/24/13 FLOWERS FOODS INC GA 5.07 05/22/13 FLOWERS FOODS INC GA 5.02 05/21/13 AMEND Fossil Group, Inc. DE 5.02,5.03,5.07,9.01 05/22/13 FS Bancorp, Inc. 5.07 05/22/13 FUEL TECH, INC. DE 5.07 05/23/13 Fuelstream INC DE 4.01,9.01 03/19/13 AMEND Gaming Partners International CORP NV 3.01 05/24/13 GENVEC INC DE 8.01 05/24/13 GERMAN AMERICAN BANCORP, INC. IN 5.07 05/16/13 GLADSTONE COMMERCIAL CORP MD 1.01 05/20/13 GLEACHER & COMPANY, INC. DE 5.07,8.01 05/23/13 GLOBAL LINES INC NV 3.02,5.02 04/19/13 Golden Minerals Co 5.02,5.07,9.01 05/23/13 GOLDEN PHOENIX MINERALS INC NV 5.02 05/24/12 GOLDMAN SACHS GROUP INC DE 5.03,9.01 05/22/13 Government Properties Income Trust MD 5.07,8.01,9.01 05/21/13 Green Ballast, Inc. DE 1.01,9.01 05/15/13 GS Valet, Inc. NV 4.01,9.01 05/13/13 AMEND GUARANTY FEDERAL BANCSHARES INC DE 5.07 05/22/13 Guidewire Software, Inc. DE 2.02 05/28/13 HANDY & HARMAN LTD. DE 5.02,9.01 05/21/13 HARMONIC INC DE 5.08,8.01,9.01 05/28/13 HARRIS CORP /DE/ DE 1.02 05/28/13 HCA Holdings, Inc. 1.01,2.03,9.01 05/22/13 HCC INSURANCE HOLDINGS INC/DE/ DE 7.01,9.01 05/28/13 HEALTH NET INC DE 7.01 05/28/13 HEARTLAND FINANCIAL USA INC DE 5.02,5.07 05/22/13 HECLA MINING CO/DE/ DE 8.01,9.01 05/28/13 HELMERICH & PAYNE INC DE 1.01,9.01 05/23/13 HI TECH PHARMACAL CO INC NY 1.01,9.01 05/22/13 HOPFED BANCORP INC DE 5.02,5.07,9.01 05/15/13 AMEND Horizon Technology Finance Corp DE 1.01,9.01 05/28/13 ICAHN ENTERPRISES L.P. DE 8.01,9.01 05/28/13 ICAHN ENTERPRISES L.P. DE 8.01,9.01 05/22/13 INCYTE CORP DE 3.02 05/24/13 Infinity Oil & Gas Co NV 1.01 05/24/13 INLAND REAL ESTATE CORP MD 1.01,2.03,7.01,9.01 05/24/13 INLAND REAL ESTATE CORP MD 7.01,9.01 05/28/13 INSIGNIA SYSTEMS INC/MN MN 5.02,5.07,9.01 05/22/13 INSMED INC VA 5.02,5.07,9.01 05/23/13 INTELLIGENT SYSTEMS CORP GA 5.07 05/23/13 INTERPUBLIC GROUP OF COMPANIES, INC. DE 5.07 05/23/13 INVIVO THERAPEUTICS HOLDINGS CORP. NV 5.02,5.07,9.01 05/23/13 ION GEOPHYSICAL CORP DE 5.07 05/22/13 IRONCLAD PERFORMANCE WEAR CORP 5.07 05/21/13 IXYS CORP /DE/ DE 2.02,9.01 05/28/13 IZEA, Inc. NV 1.01,2.03,5.02,9.01 05/22/13 JAMMIN JAVA CORP. 1.01,3.02,9.01 05/24/13 KADANT INC DE 5.07 05/22/13 KAMAN CORP CT 7.01,9.01 05/28/13 KBS Real Estate Investment Trust III, MD 1.01 05/21/13 Kraft Foods Group, Inc. 5.07 05/22/13 L Brands, Inc. DE 2.02,7.01 05/22/13 AMEND LANDSTAR SYSTEM INC DE 5.07 05/23/13 Lender Processing Services, Inc. DE 1.01,8.01,9.01 05/28/13 Lender Processing Services, Inc. DE 5.07 05/23/13 LIGHTING SCIENCE GROUP CORP DE 5.07 05/23/13 LIME ENERGY CO. DE 3.01,9.01 05/22/13 LPL Financial Holdings Inc. DE 8.01 05/28/13 LyondellBasell Industries N.V. P7 5.07,8.01 05/22/13 MACK CALI REALTY CORP MD 7.01,9.01 05/28/13 MAGELLAN PETROLEUM CORP /DE/ DE 7.01,9.01 05/28/13 MARTIN MIDSTREAM PARTNERS LP DE 8.01,9.01 05/23/13 MASTEC INC FL 5.02,5.07,9.01 05/23/13 MBIA INC CT 7.01 05/28/13 MCDONALDS CORP DE 5.07,7.01,9.01 05/23/13 MEDICAL ACTION INDUSTRIES INC DE 5.02 05/28/13 MEDISWIPE INC. DE 1.01,2.03,3.02,9.01 05/28/13 META FINANCIAL GROUP INC DE 8.01,9.01 05/28/13 MGP INGREDIENTS INC KS 5.05,8.01,9.01 05/28/13 MICREL INC CA 5.07 05/23/13 MILLER INDUSTRIES INC /TN/ TN 5.07 05/24/13 MIMVI, INC. NV 1.01,2.03,3.02,9.01 05/28/13 MINERALS TECHNOLOGIES INC DE 5.02,9.01 05/28/13 Minerco Resources, Inc. NV 1.01,9.01 12/25/12 MRV COMMUNICATIONS INC DE 5.02 05/28/13 MVB FINANCIAL CORP WV 5.03 05/28/13 MYLAN INC. PA 8.01,9.01 05/28/13 NANOMETRICS INC DE 5.02,5.07 05/21/13 NAVIGATORS GROUP INC DE 5.07,8.01,9.01 05/23/13 AMEND NETSUITE INC DE 5.07 05/22/13 NETWORK 1 SECURITY SOLUTIONS INC DE 1.01,9.01 05/21/13 NEUROCRINE BIOSCIENCES INC CA 5.07 05/23/13 NEW AMERICA ENERGY CORP. NV 5.02 05/24/13 NEW YORK MORTGAGE TRUST INC MD 8.01 05/28/13 NEWTEK BUSINESS SERVICES, INC. NY 4.01,9.01 05/23/13 NORTHERN OIL & GAS, INC. 5.07 05/23/13 NORTHROP GRUMMAN CORP /DE/ 7.01,9.01 05/28/13 NORTHWEST BIOTHERAPEUTICS INC DE 8.01,9.01 05/28/13 NUTRI SYSTEM INC /DE/ DE 5.02,9.01 05/21/13 OLD REPUBLIC INTERNATIONAL CORP DE 5.07 05/24/13 OLD STONE CORP RI 1.03 05/28/13 Omthera Pharmaceuticals, Inc. DE 2.02,8.01,9.01 05/28/13 Omthera Pharmaceuticals, Inc. DE 1.01,9.01 05/27/13 Orbitz Worldwide, Inc. DE 1.01,9.01 05/24/13 Owens Realty Mortgage, Inc. MD 1.01,9.01 05/28/13 PAA NATURAL GAS STORAGE LP DE 7.01 05/28/13 PAM TRANSPORTATION SERVICES INC DE 5.07 05/23/13 PANERA BREAD CO DE 5.07,8.01 05/28/13 PDC ENERGY, INC. NV 1.01,2.03,9.01 05/21/13 PEGASYSTEMS INC MA 5.07 05/22/13 PG&E Corp CA 8.01,9.01 05/28/13 PHARMATHENE, INC DE 8.01,9.01 05/26/13 PIONEER NATURAL RESOURCES CO DE 5.07 05/23/13 PIONEER NATURAL RESOURCES CO DE 7.01 05/28/13 PLAINS ALL AMERICAN PIPELINE LP DE 7.01 05/28/13 POPE RESOURCES LTD PARTNERSHIP DE 7.01 05/28/13 PORTOLA PHARMACEUTICALS INC DE 5.03,9.01 05/28/13 Post Holdings, Inc. MO 8.01,9.01 05/28/13 POTASH CORP OF SASKATCHEWAN INC Z4 1.01,2.03,9.01 05/24/13 POWER SOLUTIONS INTERNATIONAL, INC. DE 7.01,9.01 05/28/13 PPG INDUSTRIES INC PA 8.01,9.01 05/28/13 PREMIER EXHIBITIONS, INC. FL 2.02,9.01 05/28/13 Prothena Corp plc L2 5.07 05/22/13 QC Holdings, Inc. KS 8.01 05/21/13 QUALITY SYSTEMS, INC CA 5.02,9.01 05/22/13 QUANTA SERVICES INC DE 5.02,5.07,8.01 05/21/13 QUANTUM MATERIALS CORP. NV 4.01,9.01 05/06/13 AMEND RADISYS CORP OR 8.01 05/24/13 REALOGY HOLDINGS CORP. DE 1.02 05/28/13 Red Giant Entertainment, Inc. NV 9.01 05/28/13 REEVES TELECOM LTD PARTNERSHIP SC 5.03,5.07,9.01 05/24/13 REGAL ENTERTAINMENT GROUP DE 1.01,2.03,9.01 05/28/13 Regency Energy Partners LP DE 1.01,2.03,9.01 05/21/13 RENAISSANCERE HOLDINGS LTD D0 3.03,8.01,9.01 05/28/13 RENAISSANCERE HOLDINGS LTD D0 8.01,9.01 05/28/13 RLJ ENTERTAINMENT, INC. NV 5.02,9.01 05/24/13 ROBERTS REALTY INVESTORS INC GA 1.01 05/22/13 ROCKWELL AUTOMATION INC DE 1.01,1.02,2.03,9.01 05/22/13 Rosetta Resources Inc. DE 7.01,9.01 05/28/13 ROSETTA STONE INC 5.07 05/23/13 ROYALE ENERGY INC CA 8.01,9.01 05/28/13 S&W Seed Co NV 5.03,9.01 05/21/13 Sanchez Energy Corp DE 5.07,8.01,9.01 05/22/13 SAUER ENERGY, INC. NV 1.01,9.01 05/28/13 SEACOAST BANKING CORP OF FLORIDA FL 5.07 05/23/13 SEFE, INC. NV 2.03,3.02,7.01 12/13/12 SELECT MEDICAL HOLDINGS CORP 1.01,2.03,8.01,9.01 05/28/13 Sensata Technologies Holding N.V. P7 5.07 05/22/13 SERVOTRONICS INC /DE/ DE 5.07,7.01,9.01 05/24/13 SIGA TECHNOLOGIES INC DE 8.01,9.01 05/26/13 Silver Dragon Resources Inc. DE 7.01,9.01 05/28/13 SILVER SPRING NETWORKS INC DE 8.01 05/23/13 SmartMetric, Inc. 1.01,3.02,9.01 05/17/13 SolarWinds, Inc. DE 2.01,9.01 05/24/13 SPARK NETWORKS INC DE 5.07 05/24/13 SPORT CHALET INC DE 2.02,9.01 05/23/13 STAGE STORES INC NV 8.01,9.01 05/23/13 STERLING CONSTRUCTION CO INC DE 5.02 05/22/13 STONE ENERGY CORP DE 5.02,5.07 05/23/13 STONEMOR PARTNERS LP DE 1.01,2.03,8.01,9.01 05/24/13 STRUCTURED PRODUCTS CORP COR TRUST FO DE 8.01,9.01 05/17/13 Susser Holdings CORP DE 5.02,5.07,9.01 05/21/13 Swisher Hygiene Inc. DE 2.02,9.01 05/28/13 Synacor, Inc. 1.01 05/22/13 Technologies Scan Corp A8 4.01,9.01 04/16/13 TECO ENERGY INC FL 1.01,7.01,9.01 05/25/13 TENNECO INC DE 8.01,9.01 05/22/13 Terra Tech Corp. NV 1.01,7.01,9.01 05/23/13 TG THERAPEUTICS, INC. DE 8.01,9.01 05/28/13 THERMOGENESIS CORP DE 5.02 05/21/13 TIDEWATER INC DE 7.01,9.01 05/21/13 TIFFANY & CO DE 2.02,9.01 05/28/13 Titan Machinery Inc. DE 2.02,9.01 05/23/13 TPG Specialty Lending, Inc. DE 5.07 05/23/13 TRANS WORLD ENTERTAINMENT CORP NY 2.02,7.01,9.01 05/23/13 TRANSACT TECHNOLOGIES INC DE 5.07 05/28/13 TRI Pointe Homes, Inc. 7.01 05/23/13 Trio Merger Corp. DE 1.01,7.01,9.01 05/23/13 Tronox Ltd 5.07 05/21/13 TRUSTCO BANK CORP N Y NY 5.07 05/23/13 Tumi Holdings, Inc. DE 5.07 05/28/13 TUPPERWARE BRANDS CORP DE 5.07 05/28/13 Two Harbors Investment Corp. 5.02,5.07,9.01 05/21/13 U S PHYSICAL THERAPY INC /NV NV 8.01,9.01 05/28/13 U S PHYSICAL THERAPY INC /NV NV 8.01,9.01 05/28/13 AMEND UDR, Inc. MD 5.07 05/23/13 UNITED BANCORP INC /MI/ MI 7.01 05/28/13 UNITED NATURAL FOODS INC DE 2.02,5.02,9.01 05/28/13 UNITY BANCORP INC /NJ/ NJ 8.01 05/28/13 URS CORP /NEW/ DE 5.02,5.07,9.01 05/28/13 Vanguard Natural Resources, LLC DE 9.01 05/28/13 AMEND VECTOR GROUP LTD DE 5.07 05/28/13 VECTREN CORP IN 5.07 05/23/13 VERINT SYSTEMS INC DE 7.01,9.01 05/28/13 Viacom Inc. DE 8.01,9.01 05/22/13 VIAD CORP DE 5.07 05/21/13 VICAL INC DE 5.02,5.07,9.01 05/23/13 Viggle Inc. DE 3.02,5.02 05/21/13 VIRTUAL PIGGY, INC. DE 3.02,7.01,9.01 05/28/13 VIRTUSA CORP 5.02,9.01 05/22/13 Vulcan Materials CO NJ 1.04 05/21/13 WABASH NATIONAL CORP /DE DE 7.01,9.01 05/28/13 WEBSENSE INC DE 8.01,9.01 05/28/13 Wellesley Bancorp, Inc. 5.07 05/22/13 West End Indiana Bancshares, Inc. MD 8.01,9.01 05/28/13 WESTELL TECHNOLOGIES INC DE 5.02 05/24/13 Western Asset Income Fund 7.01,9.01 05/28/13 WESTERN ASSET PREMIER BOND FUND MA 7.01,9.01 05/28/13 Wheeler Real Estate Investment Trust, MD 1.01,9.01 05/21/13 WHITE MOUNTAINS INSURANCE GROUP LTD D0 5.07 05/23/13 WILLIAM LYON HOMES DE 1.01,5.03,9.01 05/21/13 WINDAUS GLOBAL ENERGY INC WY 1.01,1.02, 05/22/13 2.01,3.02,5.01,5.02,9.01 WINTRUST FINANCIAL CORP IL 5.07 05/23/13 WONDER INTERNATIONAL EDUCATION & INVE AZ 7.01,9.01 05/28/13 WPCS INTERNATIONAL INC DE 5.03,8.01,9.01 05/28/13 XCEL ENERGY INC MN 7.01 05/28/13 XFormity Technologies, Inc. TX 4.01,9.01 05/21/13 ZHONGPIN INC. DE 8.01,9.01 05/28/13 http://www.sec.gov/news/digest/2013/dig052913.htm
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