Commission Suspends Trading in the Securities of Lanbo Financial Group, Inc. for Failure to Make Required Periodic Filings
The. Securities and Exchange Commission (Commission) announced the temporary suspension of trading in the securities of Lanbo Financial Group, Inc. (“LNBO”), commencing at 9:30 a.m. EDT on May 30, 2013 and terminating at 11:59 p.m. EDT on June 12, 2013.
The Commission temporarily suspended trading in the securities of LNBO 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.
Closed Meeting on Thursday, , June 6, 2013 at 2:00 p.m.
The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; consideration of amicus participation; and other matters relating to enforcement proceedings.
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.
District Court Enters Judgment against Medical Software Company and its CEO and CFO
The Commission announced today that on May 23, 2013, the U.S. District Court for the Eastern District of New York entered default judgments against MedLink International, Inc., a medical software company, its CEO, Aurelio Vuono, and its CFO, James Rose. The Commission had charged them with filing an annual report falsely stating that its audit had been completed and with defrauding a MedLink investor. The court ordered permanent injunctions from violating Section 17(a) of the Securities Act of 1933, Sections 10(b) and 15(d) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 15d-1 and 15d-14. The court also ordered each defendant to disgorge, jointly and severally, $149,473/50, representing their illicit profits, together with pre-judgment interest of $8,942.48, for a total of $158,415.98. In addition, the court ordered civil penalties of $650,000 against MedLink, $130,000 against Vuono, and $130,000 against Rose. Finally, the court barred Vuono and Rose from penny stock offerings or severing as an officer or director of a public company. [SEC v. MedLink International, Inc., et al., Civil Action No. 12 Civ. 5325 (E.D.N.Y.)] (LR- 22709)
Commission Obtains Final Judgment and Issues Administrative Orders Against John A. (“Jack”) Grant
The Commission announced today that on May 17, 2013, the Honorable George A. O’Toole Jr. of the United States District Court for the District of Massachusetts entered a final judgment against defendant John A. (“Jack”) Grant, a lawyer and former stockbroker living in Yarmouth Port, MA. Among other relief, the final judgment imposes a permanent injunction against future violations of certain antifraud provisions of the federal securities laws and orders Jack Grant to pay a total of $201,392.27.
The Commission also announced today the issuance of administrative orders barring Jack Grant from the securities industry and from practicing before the Commission.
In its federal court Complaint, the Commission alleged that Jack Grant violated a Commission bar from association with investment advisers by associating with his son Lee Grant’s investment advisory firm, Sage Advisory Group LLC (“Sage”), and by acting as an investment adviser himself. In 1988, the Commission filed a previous enforcement action against Jack Grant alleging that he sold $5,500,000 of unregistered securities and misappropriated investors’ funds. At that time, Jack Grant agreed to a settlement that resulted in a July 1988 order barring him from association with brokers, dealers, and investment advisers.
Jack Grant did not remove himself from the securities business, however, and instead continued to provide investment advice to individuals and small businesses. The Commission’s Complaint alleged that he retooled his service as the Law Offices of Jack Grant and used his son, Lee Grant, to help implement his investment advice. The Complaint further alleged that Jack Grant, Lee Grant, and Sage failed to inform their advisory clients that Jack Grant is barred from associating with investment advisers.
The final judgment permanently enjoins Jack Grant from violating Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. In addition, the final judgment orders him to comply with the Commission’s 1988 bar order and orders him to undertake notification to his clients of the final judgment. Without admitting or denying the Commission’s allegations, Jack Grant consented to the entry of the final judgment.
Jack Grant also consented to the Commission’s entry in follow-on administrative proceedings of a permanent bar, pursuant to Section 203(f) of the Advisors Act, prohibiting him from association with any broker, dealer, or investment adviser, among other entities, and an order, pursuant to Rule 102(e), permanently suspending him from practicing before the Commission as an attorney. The Commission entered the administrative orders on May 30, 2013. The two administrative orders include: (i) a permanent bar, pursuant to Section 203(f) of the Advisors Act, prohibiting Jack Grant from association with any broker, dealer, or investment adviser, among other entities; and (ii) an order, pursuant to Rule 102(e) of the Commission’s Rules of Practice, permanently suspending Jack Grant from practicing before the Commission as an attorney. Jack Grant consented to the issuance of the orders. (Rel. 34-69667; File No. 3-15343 and Rel. IA-3613; File No. 3-15342)
The Commission’s action against Lee Grant and Sage is still pending. For further information, see Litigation Release No. 22081 (September 1, 2011). For more information about this matter, contact John T. Dugan at (617) 573-8936. [Securities and Exchange Commission v. John A. Grant, Sage Advisory Group, LLC and Benjamin Lee Grant, Civil Action No. 1:11-CV-11538 (GAO) (D. Mass.) (LR-22708)
In the Matter of the Scuderi Group
On May 30, 2013, the Commission issued an Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order (Order) against Scuderi Group, Inc. (Scuderi Group), a private Massachusetts-based company, and Salvatore Scuderi, Scuderi Group’s president and chief financial officer.
The Commission finds that Scuderi Group and Mr. Scuderi violated Securities Act Sections 5(a) and 5(c) by selling more than $80 million of securities between 2004 and 2012 through offerings that were not registered with the Commission and did not qualify for any of the exemptions from the Securities Act’s registration requirement. The Commission also finds that Scuderi Group failed to comply with Rule 503 of Regulation D when it made incorrect statements about its sales of securities in several Forms D filed with the Commission, failed to file Forms D within fifteen days of the first sales of securities, and failed to file an amended Form D for an offering that had continued for a year.
The Commission also finds that Scuderi Group and Mr. Scuderi violated Securities Act Section 17(a)(2) by making misleading disclosures regarding the company’s use of offering proceeds. In connection with offerings between 2008 and 2011, Scuderi Group distributed private placement memoranda in which the company informed investors that it intended to use the proceeds from its offerings for “general corporate purposes, including working capital.” Scuderi Group’s disclosures were materially misleading because they failed to inform investors that the company, at Mr. Scuderi’s direction, had been, and was planning to continue, using a significant portion of the proceeds for non-corporate purposes, including large, ad hoc bonus payments to Scuderi family employees to cover personal expenses; payments to family members who provided no services to Scuderi; loans to Scuderi family members without documented interest or repayment terms; large loans to fund $20 million personal insurance policies for six of the Scuderi siblings for which the company has not been, and will not be, repaid; and personal estate planning services for the Scuderi family. Of the $75 million in securities sold pursuant to these offerings, Mr. Scuderi authorized more than $3.2 million, or 4.3% percent, of the offering proceeds to personally benefit the Scuderi family over and above the usual compensation that the Scuderi family employees received.
Based on the above, the Order requires Scuderi Group and Salvatore Scuderi to cease and desist from committing or causing any violations or future violations of Sections 5(a), 5(c) and 17(a)(2) of the Securities Act of 1933, and orders Mr. Scuderi to pay a $100,000 penalty. The Order finds that the Scuderi Group has undertaken to memorialize in writing all loan terms to known Scuderi family members; disclose to investors in connection with any future offering or sales of securities all compensation or payments made to any known Scuderi family member in the preceding calendar year; and within 15 days of the Order date, inform every known holder of Scuderi Group securities of the settlement between the Commission, Scuderi Group, and Mr. Scuderi and provide them with a website URL where they can review a copy of the Order. Scuderi Group and Salvatore Scuderi consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 33-9407; File No. 3-15344)
Commission Orders Hearings on Registration Suspension or Revocation against Lanbo Financial Group, Inc. for Failure to Make Required Periodic Filings
In 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 Lanbo Financial Group, Inc. (“LNBO”), for failure to make required periodic filings with the Commission. In the Matter of Lanbo Financial Group, Inc., Administrative Proceeding File No. 3-15341.
In this Order, the Division of Enforcement (Division) alleges that LNBO 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. 34-69662; File No. 3-15341)
Commission Revokes Registration of Securities of Forticell Bioscience, Inc. for Failure to Make Required Periodic Filings
On May 30, 2013, the Commission revoked the registration of each class of registered securities of Forticell Bioscience, Inc. (FORBQ) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, FORBQ consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Forticell Bioscience, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of FORBQ’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against FORBQ in In the Matter of CoreCare Systems, Inc., et al., Administrative Proceeding File No. 3-15319.
Brokers and dealers should be alert to the fact that Exchange Act 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 . . . . (Rel. 34-69664; File No. 3-15319)
Commission Revokes Registration of Securities of CoreCare Systems, Inc. for Failure to Make Required Periodic Filings
On May 30, 2013, the Commission revoked the registration of each class of registered securities of CoreCare Systems, Inc. (CRCS) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, CRCS consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to CoreCare Systems, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of CRCS’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against CRCS in In the Matter of CoreCare Systems, Inc., et al., Administrative Proceeding File No. 3-15319.
Brokers and dealers should be alert to the fact that Exchange Act 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 . . . . (Rel. 34-69665; File No. 3-15319)
In the Matter of Lewis J. Hunter
The Commission announced the issuance of an Order Pursuant to Section 8A of the Securities Act of 1933, and Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(B) of the Investment Company Act, Making Findings and Imposing Remedial Sanctions and a Cease-And-Desist Order (the “Order”) against Lewis J. Hunter.
The Order finds that Lewis J. Hunter, a registered representative with HD Vest Investment Securities, Inc., misappropriated $304,000 from two brokerage customers by making false and misleading representations. Hunter consented to the issuance of a cease-and-desist Order ordering him to cease and desist from committing or causing any violations and any future violations of Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, disgorgement of $295,875, pre-judgment interest of 19,297.84, all relevant industry bars and prohibitions, a bar from participating in any offering of a penny stock, and a civil penalty of $150,000. Hunter has agreed to pay such disgorgement, prejudgment interest and civil penalty in four equal quarterly payments within one-year from the date of the Order. (Rels. 33-9406; 34-69668; File No. 3-14974)
In the Matter of China Organic Agriculture, Inc.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default (Default Order) in China Organic Agriculture, Inc., Admin. Proc. File No. 3-15288. The Order Instituting Proceedings alleged that China Organic Agriculture, Inc., repeatedly failed to file timely periodic reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of its registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-69663; File No. 3-15288)
In the Matter of Advanced ID Corp.
An Administrative Law Judge issued an Order Making Findings and Revoking Registration of Aeon Holdings, Inc. (n/k/a BCM Energy Partners, Inc.) (BCM Energy) by Default in Advanced ID Corp., Admin. Proc. File No. 3-15202. The Default Order finds that BCM Energy had securities registered with the Securities and Exchange Commission (Commission) pursuant to Section 12(g) of the Securities Exchange Act of 1934 and it was necessary and appropriate for the protection of investors to revoke the registration of each class of its registered securities because it failed to file required periodic reports with the Commission. (Rel. 34-69660; File No. 3-15202)
The Division of Enforcement is finalizing an Offer of Settlement from Electronic Kourseware International, Inc. All the other Respondents named in the proceeding were the subject of an earlier default. Advanced ID Corp., Exchange Act Release No. 69035 (Mar. 5, 2013).
Millington Exchange Traded Mavins Fund, LLC and Millington Securities, Inc.
An order has been issued on an application filed by Millington Exchange Traded MAVINS Fund, LLC and Millington Securities, Inc., that permits: (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; and (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. (Rel. IC-30543 - May 29, 2013)
Immediate Effectiveness of a Proposed Rule Change
A proposed rule change filed by Miami International Securities Exchange LLC to permit the listing of additional strikes until the close of trading on the second business day prior to expiration in unusual market conditions (SR-MIAX-2013-22) 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 June 3rd. (Rel. 34-69659)
A proposed rule change filed by Miami International Securities Exchange LLC to expand the Short Term Option Series Program (SR-MIAX-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 June 3rd. (Rel. 34-69658)
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2013-59) to apply a Strategy Fee Cap to Jelly Rolls 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 June 3rd. (Rel. 34-69671)
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2013-58) to amend Permit Fees and Other Floor Fees 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 June 3rd. (Rel. 34-69672)
Notice of Filing of Amendment Nos. 1 and 2 and Designation of Longer Period for Commission Action on Proposed Rule Change
Chicago Board Options Exchange, Incorporated filed Amendment Nos. 1 and 2 to its proposed rule change (SR-CBOE-2013-041) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, to amend CBOE Rule 6.53(u), and the Commission has, pursuant to Section 19(b)(2)(A)(ii)(I) of the Exchange Act, designated a longer period for Commission action on the proposed rule change. Publication is expected in the Federal Register during the week of June 3rd. (Rel. 34-69675)
Notice of Proposed Rule Change
The Depository Trust Company (“DTC”) filed a proposed rule change (File No. SR-DTC-2013-04) under Section 19(b)(1) of the Exchange Act in connection with the modifications to Receiver Authorized Delivery and reclaim processing value limits by transaction. Publication is expected in the Federal Register during the week of June 3rd. (Release No. 34-69666)
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 CVR Refining, LLC, C/O CVR REFINING, LP, 2277 PLAZA DRIVE, SUITE 500, SUGAR LAND, TX, 77479, 281-207-3200 - 0 ($500,000,000.00) Debt, (File 333-188900 - May. 29) (BR. 04) S-3ASR ALLSCRIPTS HEALTHCARE SOLUTIONS, INC., 222 MERCHANDISE MART PLAZA, SUITE 2024, CHICAGO, IL, 60654, 3125061200 - 0 ($0.00) Other, (File 333-188901 - May. 29) (BR. 03C) S-8 ALLSCRIPTS HEALTHCARE SOLUTIONS, INC., 222 MERCHANDISE MART PLAZA, SUITE 2024, CHICAGO, IL, 60654, 3125061200 - 0 ($34,500,000.00) Equity, (File 333-188902 - May. 29) (BR. 03C) S-1 BRIGHT HORIZONS FAMILY SOLUTIONS INC., 200 TALCOTT AVENUE SOUTH, WATERTOWN, MA, 02472, 617-673-8000 - 9,775,000 ($332,350,000.00) Equity, (File 333-188903 - May. 29) (BR. 09) N-2 Fifth Street Senior Floating Rate Corp., 10 BANK STREET, 12TH FLOOR, WHITE PLAINS, NY, 10606, (914) 286-6800 - 0 ($143,750,000.00) Equity, (File 333-188904 - May. 29) (BR. ) S-8 BOSTON SCIENTIFIC CORP, ONE BOSTON SCIENTIFIC PL, NATICK, MA, 01760-1537, 508-650-8000 - 0 ($90,600,000.00) Equity, (File 333-188905 - May. 29) (BR. 10A) S-1 Xun Energy, Inc., 12518 NE AIRPORT WAY, SUITE 148 NO. 156, PORTLAND, OR, 97230, 775-200-0505 - 79,081,633 ($557,525.51) Equity, (File 333-188906 - May. 29) (BR. 02B) S-3 DXP ENTERPRISES INC, 7272 PINEMONT DRIVE, HOUSTON, TX, 77040, 7139964700 - 0 ($150,000,000.00) Unallocated (Universal) Shelf, (File 333-188907 - May. 29) (BR. 06C) S-8 VIRTUSA CORP, 2000 WEST PARK DRIVE, WESTBOROUGH, MA, 01581, 508-389-7202 - 0 ($35,910,178.70) Equity, (File 333-188908 - May. 29) (BR. 03A) S-1 GLOBALWISE INVESTMENTS INC, 2190 DIVIDEND DRIVE, COLUMBUS, OH, 43228, 6143888909 - 17,635,833 ($3,449,433.00) Equity, (File 333-188909 - May. 29) (BR. 03C) S-8 GLATFELTER P H CO, 96 S GEORGE ST, STE 500, YORK, PA, 17401, 7172252709 - 0 ($25,410,100.00) Equity, (File 333-188910 - May. 29) (BR. 04A) S-8 CITY NATIONAL CORP, 400 N ROXBURY DR, BEVERLY HILLS, CA, 90210, 3108886000 - 0 ($125,520,000.00) Equity, (File 333-188913 - May. 29) (BR. 07B) S-8 THOMSON REUTERS CORP /CAN/, 3 TIMES SQUARE, NEW YORK, NY, 10036, 6462234000 - 7,000,000 ($245,630,000.00) Equity, (File 333-188914 - May. 29) (BR. 05C) S-8 FORUM ENERGY TECHNOLOGIES, INC., 920 MEMORIAL CITY WAY, SUITE 1000, HOUSTON, TX, 77024, 713-351-7900 - 605,000 ($17,817,250.00) Equity, (File 333-188915 - May. 29) (BR. 04A) S-8 PLY GEM HOLDINGS INC, 5020 WESTON PARKWAY, SUITE 400, CARY, NC, 27513, 919-677-3900 - 0 ($172,307,915.00) Equity, (File 333-188916 - May. 29) (BR. 06B) S-3ASR BOSTON SCIENTIFIC CORP, ONE BOSTON SCIENTIFIC PL, NATICK, MA, 01760-1537, 508-650-8000 - 0 ($0.00) Debt, (File 333-188918 - May. 29) (BR. 10A) S-4 UNITED BANKSHARES INC/WV, 300 UNITED CTR, 500 VIRGINIA ST E, CHARLESTON, WV, 25301, 3044248800 - 19,219,560 ($262,346,999.00) Equity, (File 333-188919 - May. 29) (BR. 07C) S-1 Intellisense Solutions Inc., 1727 14TH. AVE., SUITE 100, SEATTLE, WA, 98122, (206) 508-4562 - 650,330 ($65,033.00) Equity, (File 333-188920 - May. 29) (BR. ) S-3 FIRST BANCSHARES INC /MS/, 6012688998 - 1,951,220 ($25,560,982.00) Equity, (File 333-188922 - May. 29) (BR. 07B) S-8 TriState Capital Holdings, Inc., ONE OXFORD CENTRE, 301 GRANT STREET, SUITE 2700, PITTSBURGH, pa, 15219, (412) 304-0304 - 4,000,000 ($39,880,000.00) Equity, (File 333-188923 - May. 29) (BR. 07) S-1 ATEL 16, LLC, THE TRANSAMERICA PYRAMID, 600 MONTGOMERY STREET, 9TH FLOOR, SAN FRANCISCO, CA, 94111, 415-989-8800 - 0 ($150,000,000.00) Equity, (File 333-188924 - May. 29) (BR. ) S-8 BankUnited, Inc., 14817 OAK LANE, MIAMI LAKES, FL, 33016, (305) 569-2000 - 0 ($232,359.91) Equity, (File 333-188925 - May. 29) (BR. 07C) S-1 Zoom Telephonics, Inc., 207 SOUTH STREET, BOSTON, MA, 02111, 617-423-1072 - 6,973,704 ($1,952,637.00) Equity, (File 333-188926 - May. 29) (BR. 11C) S-4 CHC Helicopter S.A., 13-15 AVENUE DE LA LIBERTE, LUXEMBOURG, N4, L-1931, 352-2689-01 - 0 ($300,000,000.00) Debt, (File 333-188927 - May. 29) (BR. 05C)
Form 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 ACI WORLDWIDE, INC. DE 7.01,9.01 05/29/13 ADVANCE AUTO PARTS INC DE 5.02,5.07 05/22/13 AETNA INC /PA/ PA 7.01 05/29/13 ALEXANDERS INC DE 5.07 05/23/13 ALLERAYDE SAB, INC. FL 4.01,9.01 05/09/13 AMEND Alliance HealthCare Services, Inc CA 5.07 05/28/13 ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 8.01,9.01 05/29/13 Alta Mesa Holdings, LP TX 2.03 05/29/13 AMEDISYS INC DE 7.01,9.01 05/29/13 AMERICAN AIRLINES INC DE 7.01,9.01 05/29/13 AMERICAN DG ENERGY INC DE 5.07 05/29/13 AMR CORP DE 7.01,9.01 05/29/13 AMREP CORP. OK 8.01 05/26/13 AMEND ARKANSAS BEST CORP /DE/ DE 7.01,9.01 05/29/13 Armour Residential REIT, Inc. MD 7.01,9.01 05/29/13 Ascent Capital Group, Inc. DE 5.07 05/22/13 Aspect FuturesAccess LLC DE 5.02 05/22/13 ASTRONICS CORP NY 1.01,5.03,9.01 05/28/13 ATMI INC DE 7.01,9.01 05/29/13 AUXILIUM PHARMACEUTICALS INC DE 7.01,9.01 05/29/13 Avago Technologies LTD U0 2.02,9.01 05/29/13 Avangard Capital Group, Inc NV 5.02 05/22/13 BANCFIRST CORP /OK/ OK 3.03,5.03 05/23/13 BANK OF AMERICA CORP /DE/ DE 3.03,5.03,8.01,9.01 05/28/13 BANK OF KENTUCKY FINANCIAL CORP KY 8.01 05/29/13 BBX CAPITAL CORP FL 5.08 05/29/13 BFC FINANCIAL CORP FL 5.08 05/29/13 BILL BARRETT CORP DE 7.01,9.01 05/22/13 BIOLASE, INC DE 7.01,9.01 05/29/13 Biozoom, Inc. NV 8.01 05/28/13 BLACKSTONE MORTGAGE TRUST, INC. MD 1.01,1.02,3.03, 05/28/13 5.03,8.01,9.01 BLONDER TONGUE LABORATORIES INC DE 5.07,9.01 05/23/13 BLUE CALYPSO, INC. DE 8.01,9.01 05/29/13 BOISE CASCADE Co DE 7.01,9.01 05/29/13 BOOKS A MILLION INC DE 5.07 05/28/13 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 8.01 05/29/13 BOSTON SCIENTIFIC CORP DE 8.01,9.01 05/29/13 BROWN SHOE CO INC NY 2.02,9.01 05/29/13 BSD MEDICAL CORP DE 5.02,9.01 05/22/13 BTU INTERNATIONAL INC DE 5.07 05/24/13 Bunge LTD 5.07 05/24/13 CAMDEN NATIONAL CORP ME 8.01,9.01 05/29/13 CANYON GOLD CORP. DE 5.02 12/16/12 CAREFUSION Corp 4.01,9.01 05/29/13 CCFNB BANCORP INC PA 5.07 05/07/13 AMEND Centaur Guernsey L.P. Inc. 1.01,5.02,9.01 05/29/13 CHANNELADVISOR CORP DE 5.03,8.01,9.01 05/29/13 CHARLES RIVER LABORATORIES INTERNATIO 2.03,9.01 05/29/13 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 05/29/13 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 05/29/13 AMEND CHENIERE ENERGY INC DE 1.01,2.01, 05/28/13 2.03,8.01,9.01 Cheniere Energy Partners, L.P. DE 1.01,2.01,2.03, 05/28/13 3.02,8.01,9.01 CHICOS FAS INC FL 2.02,9.01 05/04/13 ChromaDex Corp. DE 7.01,9.01 05/29/13 ChyronHego Corp NY 2.01,3.02, 05/22/13 5.02,5.07,9.01 Cinemark Holdings, Inc. DE 1.01,2.03,9.01 05/24/13 CINEMARK USA INC /TX TX 1.01,2.03,9.01 05/24/13 CITRIX SYSTEMS INC DE 5.02,5.03,5.07,9.01 05/23/13 CITY HOLDING CO WV 5.02 05/29/13 Clearwire Corp /DE DE 8.01,9.01 05/29/13 Cloud Star CORP 5.03,9.01 05/28/13 COLONY BANKCORP INC GA 5.07,9.01 05/28/13 Congaree Bancshares Inc SC 5.07 05/23/13 Core-Mark Holding Company, Inc. DE 8.01,9.01 05/29/13 CORPORATE BOND BACKED CERT TR SER 199 DE 8.01,9.01 05/15/13 CORTLAND BANCORP INC OH 5.07 05/28/13 COURIER Corp MA 8.01,9.01 05/28/13 CROWN CASTLE INTERNATIONAL CORP DE 5.02,9.01 05/23/13 AMEND Customers Bancorp, Inc. PA 5.07,7.01,9.01 05/29/13 DAEGIS INC. DE 5.02 05/29/13 DAKTRONICS INC /SD/ SD 7.01,9.01 05/23/13 DAKTRONICS INC /SD/ SD 2.02,9.01 05/29/13 DAKTRONICS INC /SD/ SD 5.02 05/23/13 DCB FINANCIAL CORP OH 5.07 05/23/13 Demandware Inc DE 5.07 05/29/13 DENNYS CORP DE 5.07 05/23/13 DIAMOND OFFSHORE DRILLING INC DE 8.01,9.01 05/29/13 Digital Development Group Corp NV 8.01 05/24/13 Digital Development Group Corp NV 2.02,9.01 05/29/13 DIGITAL RIVER INC /DE DE 5.07 05/23/13 DISH Network CORP NV 1.01,2.03,9.01 05/28/13 DSP GROUP INC /DE/ DE 8.01,9.01 05/28/13 DSP GROUP INC /DE/ DE 8.01,9.01 05/29/13 DSW Inc. OH 2.02,8.01,9.01 05/29/13 EARTHLINK INC DE 1.01,2.03,8.01,9.01 05/29/13 Easy Energy Inc NV 4.01,9.01 05/29/13 eHealth, Inc. DE 1.01,2.03,9.01 05/28/13 ELEPHANT TALK COMMUNICATIONS CORP DE 3.02 05/23/13 ENDEAVOUR INTERNATIONAL CORP NV 5.07 05/22/13 Evolucia Inc. NV 1.01,2.03,3.02,9.01 04/22/13 AMEND Federal Home Loan Bank of Des Moines X1 2.03,9.01 05/24/13 FEDERAL MOGUL CORP DE 1.01,8.01,9.01 05/28/13 FEDERAL MOGUL CORP DE 5.07 05/22/13 Fidelity National Information Service 5.07 05/29/13 FIRST COMMUNITY BANCSHARES INC /NV/ NV 5.02 12/27/12 AMEND First Connecticut Bancorp, Inc. MD 8.01,9.01 05/29/13 FIRST RATE STAFFING Corp DE 2.01,3.02, 11/09/12 AMEND 5.06,9.01 FORMFACTOR INC DE 5.07 05/22/13 FORUM ENERGY TECHNOLOGIES, INC. DE 1.01,2.03,9.01 05/23/13 FRANKLIN ELECTRIC CO INC IN 7.01,9.01 05/29/13 FREDERICK COUNTY BANCORP INC MD 5.07 05/29/13 Fresh Market, Inc. DE 2.02,9.01 05/29/13 FS Energy & Power Fund DE 1.01,2.03,9.01 05/24/13 Furiex Pharmaceuticals, Inc. DE 5.07 05/24/13 FURNITURE BRANDS INTERNATIONAL INC DE 3.03,5.03,8.01,9.01 05/28/13 FXCM Inc. 8.01,9.01 05/28/13 GateHouse Media, Inc. DE 5.07 05/23/13 General Finance CORP DE 1.01,9.01 05/23/13 Genesis Biopharma, Inc NV 1.01,3.02,5.01, 05/22/13 5.02,5.03,9.01 GenMark Diagnostics, Inc. DE 5.07 05/22/13 GLOBAL BRASS & COPPER HOLDINGS, INC. 1.01,1.02,5.03, 05/22/13 8.01,9.01 GLOBAL EARTH ENERGY, INC. NV 1.02 05/29/13 AMEND GLOBAL EARTH ENERGY, INC. NV 1.02 05/29/13 AMEND GNC HOLDINGS, INC. DE 5.07 05/23/13 Goldspan Resources, Inc. NV 8.01,9.01 05/21/13 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 05/24/13 GREEN ENVIROTECH HOLDINGS CORP. DE 1.01,9.01 05/29/13 GREEN ENVIROTECH HOLDINGS CORP. DE 1.01,9.01 05/29/13 AMEND GS Mortgage Securities Trust 2013-GCJ DE 9.01 05/29/13 Guidewire Software, Inc. DE 7.01 05/28/13 HALCON RESOURCES CORP DE 5.02,5.03,5.07,9.01 05/23/13 HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 05/29/13 HANDY & HARMAN LTD. DE 8.01 05/29/13 HARSCO CORP DE 7.01,9.01 05/29/13 HARVARD BIOSCIENCE INC DE 5.07 05/23/13 HASBRO INC RI 5.07 05/23/13 HAWAIIAN HOLDINGS INC DE 8.01,9.01 05/29/13 HAWKINS INC MN 2.02 05/29/13 HCI Group, Inc. FL 5.07 05/22/13 HEALTH MANAGEMENT ASSOCIATES, INC DE 5.02,9.01 05/23/13 HEALTH NET INC DE 5.07 05/23/13 HEALTHCARE TRUST OF AMERICA, INC. MD 7.01,9.01 05/20/13 HEWLETT PACKARD CO DE 5.03,9.01 05/24/13 HFF, Inc. DE 5.07 05/23/13 Highbridge Commodities FuturesAccess DE 5.02 05/22/13 Higher One Holdings, Inc. DE 5.02,5.07,9.01 05/23/13 Hines Global REIT, Inc. MD 1.01,2.03,9.01 05/22/13 HOME DEPOT INC DE 5.02,5.07 05/23/13 Howard Bancorp Inc MD 7.01,9.01 05/29/13 HYSTER-YALE MATERIALS HANDLING, INC. DE 1.01 05/23/13 ICAHN ENTERPRISES L.P. DE 8.01,9.01 05/29/13 ICAHN ENTERPRISES L.P. DE 8.01,9.01 05/28/13 IGI LABORATORIES, INC DE 3.03,5.07,9.01 05/22/13 INDEPENDENT BANK CORP /MI/ MI 5.02 05/28/13 INERGY MIDSTREAM, L.P. DE 1.01,7.01,9.01 05/22/13 INGLES MARKETS INC NC 8.01,9.01 05/29/13 INGLES MARKETS INC NC 8.01,9.01 05/29/13 INLAND REAL ESTATE CORP MD 7.01,9.01 05/29/13 INSMED INC VA 5.02,9.01 05/28/13 InspireMD, Inc. DE 7.01,8.01,9.01 05/24/13 INTEGRATED DEVICE TECHNOLOGY INC DE 1.01,9.01 05/29/13 INTELLIGENT SYSTEMS CORP GA 1.01 05/28/13 INTERNET INFINITY, INC. DE 4.01 05/29/13 AMEND ITC DELTACOM INC DE 1.02,8.01,9.01 05/29/13 James River Coal CO VA 1.01,2.03,3.02,9.01 05/22/13 JETBLUE AIRWAYS CORP DE 7.01 05/28/13 JEWETT CAMERON TRADING CO LTD OR 8.01,9.01 05/29/13 John Bean Technologies CORP DE 7.01,9.01 05/28/13 KAISER VENTURES LLC DE 8.01,9.01 05/22/13 KATY INDUSTRIES INC DE 5.07 05/23/13 KEATING CAPITAL INC 8.01,9.01 05/28/13 KEMET CORP DE 7.01,9.01 05/29/13 Kennedy-Wilson Holdings, Inc. DE 8.01 05/29/13 KIRKLAND'S, INC 2.02,9.01 05/23/13 Kraft Foods Group, Inc. 7.01,9.01 05/29/13 LACLEDE GROUP INC MO 8.01,9.01 05/22/13 LAKES ENTERTAINMENT INC MN 7.01,9.01 05/23/13 LEE ENTERPRISES, INC DE 5.02 05/17/13 LEHMAN ABS CORP AT&T NOTE BACKED SERI DE 8.01,9.01 05/15/13 LEHMAN ABS CORP CNA FINANCIAL DEBENTU DE 8.01,9.01 05/15/13 LEHMAN ABS CORP SPRINT CAPITAL BACK S DE 8.01,9.01 05/15/13 LIFE PARTNERS HOLDINGS INC TX 1.01,2.01,9.01 05/24/13 LINCOLN NATIONAL CORP IN 1.01,1.02,5.03,5.07 05/23/13 LKQ CORP DE 7.01,9.01 05/22/13 LOJACK CORP MA 5.07 05/23/13 Lone Pine Resources Inc. DE 3.01,7.01,9.01 05/23/13 LOUISIANA BANCORP INC LA 5.07 05/07/13 AMEND LUCID INC NY 2.03,9.01 05/24/13 LyondellBasell Industries N.V. P7 1.01,8.01,9.01 05/22/13 Man AHL FuturesAccess LLC DE 5.02 05/22/13 MARKWEST ENERGY PARTNERS L P 7.01,9.01 05/29/13 MARSH & MCLENNAN COMPANIES, INC. DE 2.02,9.01 02/12/13 AMEND MARTIN MARIETTA MATERIALS INC NC 5.07 05/23/13 MATERION Corp 5.02,9.01 05/01/13 MCKESSON CORP DE 7.01 05/22/13 MEDIACOM BROADBAND LLC DE 1.01,2.03,8.01,9.01 05/29/13 MERIT MEDICAL SYSTEMS INC UT 5.07 05/22/13 MERITOR INC IN 1.01,8.01,9.01 05/23/13 Michael Kors Holdings Ltd 2.02,9.01 05/29/13 Midway Gold Corp A1 7.01,9.01 05/29/13 MILESTONE SCIENTIFIC INC. DE 5.07 05/23/13 Minerco Resources, Inc. NV 1.01,9.01 05/28/13 ML BlueTrend FuturesAccess LLC DE 5.02 05/22/13 ML SELECT FUTURES I LP DE 5.02 05/22/13 ML Transtrend DTP Enhanced FuturesAcc DE 5.02 05/22/13 ML TREND-FOLLOWING FUTURES FUND L.P. DE 5.02 05/22/13 ML Winton FuturesAccess LLC DE 5.02 05/22/13 MOD PAC CORP NY 1.01,2.03,9.01 05/28/13 Mondelez International, Inc. VA 7.01,9.01 05/29/13 MOVADO GROUP INC NY 2.02,9.01 05/29/13 MPG Office Trust, Inc. 1.01,7.01,9.01 05/29/13 MRC GLOBAL INC. DE 7.01,8.01,9.01 05/29/13 MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 05/28/13 Nano Labs Corp. CO 1.01,9.01 05/06/13 NASDAQ OMX GROUP, INC. DE 5.07 05/22/13 NASDAQ OMX GROUP, INC. DE 8.01,9.01 05/29/12 NATIONAL RETAIL PROPERTIES, INC. MD 8.01,9.01 05/22/13 Nationstar Mortgage Holdings Inc. DE 8.01,9.01 05/29/13 Nationstar Mortgage Holdings Inc. DE 8.01,9.01 05/29/13 NAVARRE CORP /MN/ MN 2.02,9.01 05/28/13 NetSpend Holdings, Inc. DE 1.01,8.01,9.01 05/29/13 NETWORK 1 SECURITY SOLUTIONS INC DE 8.01,9.01 05/22/13 Neuralstem, Inc. DE 8.01,9.01 05/28/13 Neutral Tandem Inc 8.01,9.01 05/29/13 NEXTERA ENERGY INC FL 5.02,5.07 05/23/13 NGP Capital Resources Co MD 1.01,2.03,9.01 05/23/13 Nissan Auto Lease Trust 2013-A DE 1.01,9.01 05/23/13 NORTHSTAR REALTY FINANCE CORP. MD 7.01 05/28/13 NORTHWESTERN CORP DE 8.01,9.01 05/28/13 NUVASIVE INC DE 5.07 05/23/13 NV ENERGY, INC. NV 1.01,8.01,9.01 05/29/13 O REILLY AUTOMOTIVE INC 8.01,9.01 05/29/13 Oaktree Capital Group, LLC DE 1.01,9.01 05/22/13 Oculus Innovative Sciences, Inc. CA 7.01 05/29/13 OCZ TECHNOLOGY GROUP INC DE 8.01,9.01 05/28/13 OLD STONE CORP RI 1.03 05/28/13 AMEND OLIE INC DE 8.01 05/28/13 OMEROS CORP WA 5.07 05/24/13 ONCOGENEX PHARMACEUTICALS, INC. DE 5.03,5.07,9.01 05/24/13 OneBeacon Insurance Group, Ltd. 5.07 05/22/13 Ortus Currency FuturesAccess LLC DE 5.02 05/22/13 P&F INDUSTRIES INC DE 5.07 05/22/13 Pacira Pharmaceuticals, Inc. DE 8.01,9.01 05/29/13 PALADIN REALTY INCOME PROPERTIES INC MD 8.01 05/29/13 PARK OHIO HOLDINGS CORP OH 5.07 05/23/13 Pathfinder Cell Therapy, Inc. DE 2.03,3.02 05/28/13 PATRICK INDUSTRIES INC IN 5.07 05/23/13 PC CONNECTION INC DE 5.02,5.07,9.01 05/22/13 PEABODY ENERGY CORP DE 7.01,9.01 05/29/13 PEOPLESTRING CORP DE 4.01,9.01 02/12/13 PEPSICO INC NC 7.01 05/29/13 PFIZER INC DE 5.04,8.01,9.01 05/22/13 PFSWEB INC DE 5.02,8.01,9.01 05/22/13 PINNACLE ENTERTAINMENT INC. DE 8.01,9.01 05/29/13 PLAINS ALL AMERICAN PIPELINE LP DE 1.01,9.01 05/28/13 PLY GEM HOLDINGS INC DE 1.01,1.02,3.02, 05/22/13 5.02,5.03,8.01,9.01 PMC SIERRA INC DE 1.01,9.01 05/29/13 PREMIER FINANCIAL BANCORP INC KY 7.01,9.01 05/29/13 PRICE T ROWE GROUP INC MD 8.01 05/28/13 PRICELINE COM INC DE 7.01,9.01 05/29/13 Prologis, Inc. MD 7.01 05/28/13 Proto Labs Inc 5.07 05/23/13 QLOGIC CORP DE 5.02 05/22/13 QNB CORP PA 5.07 05/28/13 QUICK-MED TECHNOLOGIES INC 1.01,9.01 05/20/13 QUICKSILVER RESOURCES INC DE 2.02,7.01,9.01 05/29/13 QUIKSILVER INC DE 1.01,2.03,9.01 05/24/13 RAIT Financial Trust MD 7.01,9.01 05/29/13 RAVEN INDUSTRIES INC SD 5.07 05/23/13 RBC Bearings INC 2.02,9.01 05/29/13 RCM TECHNOLOGIES INC NV 1.01,3.03,7.01,9.01 05/15/13 RED HAT INC DE 5.02,9.01 05/22/13 RELIV INTERNATIONAL INC DE 5.07 05/23/13 RELM WIRELESS CORP NV 5.03,5.07,9.01 05/22/13 RESPONSYS INC DE 5.07 05/29/13 RETAIL OPPORTUNITY INVESTMENTS CORP MD 8.01,9.01 04/15/13 RIDGEWOOD ENERGY X FUND, LLC DE 2.06 05/22/13 ROYAL CARIBBEAN CRUISES LTD 7.01,9.01 05/29/13 SAFETY INSURANCE GROUP INC DE 5.07 05/24/13 SALEM COMMUNICATIONS CORP /DE/ DE 5.07 05/22/13 Santander Holdings USA, Inc. VA 5.05 05/29/13 Sanwire Corp 1.01 05/29/13 SCHNITZER STEEL INDUSTRIES INC OR 7.01,9.01 05/29/13 SCHOOL SPECIALTY INC WI 1.01 05/22/13 SERVICE CORPORATION INTERNATIONAL TX 8.01,9.01 05/29/13 SERVICE CORPORATION INTERNATIONAL TX 1.01,8.01,9.01 05/28/13 SLM CORP DE 5.02,7.01,9.01 05/29/13 SMART ONLINE INC DE 8.01 05/28/13 SMITH MICRO SOFTWARE INC DE 5.07 05/28/13 SMITHFIELD FOODS INC VA 1.01,9.01 05/28/13 SOLARCITY CORP DE 5.02 05/22/13 SOUTHWEST BANCORP INC OK 8.01 05/29/13 SPAN AMERICA MEDICAL SYSTEMS INC SC 1.01,9.01 05/24/13 SPECIALTY CONTRACTORS, INC. NV 4.01 05/29/13 SPECIALTY CONTRACTORS, INC. NV 4.01,9.01 05/29/13 AMEND SPRINGLEAF FINANCE CORP IN 1.01,2.03,8.01,9.01 05/29/13 SPRINT NEXTEL CORP KS 8.01,9.01 05/29/13 STEWART ENTERPRISES INC LA 1.01,8.01,9.01 05/28/13 STREAMLINE HEALTH SOLUTIONS INC. DE 5.07 05/22/13 Sucampo Pharmaceuticals, Inc. 5.02,5.07,9.01 05/22/13 SunOpta Inc. 5.07 05/29/13 SUNPOWER CORP DE 1.01,2.03, 05/29/13 3.02,7.01,9.01 Sunshine Heart, Inc. DE 5.07,8.01,9.01 05/23/13 SUPERVALU INC DE 5.02 05/28/13 Support.com, Inc. DE 5.02,5.07 05/23/13 SurePure, Inc. NV 1.01,3.02,9.01 05/24/13 SYNERGY RESOURCES CORP CO 8.01,9.01 05/21/13 SYNOVUS FINANCIAL CORP GA 8.01 05/29/13 Systematic Momentum FuturesAccess LLC DE 5.02 05/22/13 TagLikeMe Corp. NV 1.01,3.02,9.01 05/06/13 TagLikeMe Corp. NV 1.01,9.01 04/15/13 TagLikeMe Corp. NV 1.01,3.02,9.01 05/23/13 TagLikeMe Corp. NV 1.01,9.01 05/10/13 TAURIGA SCIENCES, INC. FL 1.01,2.03,8.01,9.01 05/22/13 TE Connectivity Ltd. V8 5.03,9.01 05/29/13 Technologies Scan Corp A8 1.01,3.02,9.01 05/24/13 TICC Capital Corp. MD 1.01,2.03,9.01 05/28/13 TILLY'S, INC. DE 2.02,5.02,9.01 05/29/13 TIME WARNER INC. DE 5.02,5.07,9.01 05/23/13 TITAN PHARMACEUTICALS INC DE 1.01,3.03,9.01 05/28/13 TOTAL SYSTEM SERVICES INC GA 1.01,8.01,9.01 05/29/13 TRANSWITCH CORP /DE DE 5.03,5.07,8.01,9.01 05/23/13 TREDEGAR CORP VA 5.03,5.07,7.01,9.01 05/22/13 TURBINE TRUCK ENGINES INC NV 1.01,9.01 05/28/13 tw telecom inc. DE 8.01,9.01 05/29/13 U S PRECIOUS METALS INC DE 1.01,5.01,8.01,9.01 05/22/13 UNICO AMERICAN CORP NV 5.07 05/23/13 UNIGENE LABORATORIES INC DE 2.04,5.02,8.01 05/22/13 United Continental Holdings, Inc. DE 3.02 05/23/13 United States 12 Month Natural Gas Fu 7.01,9.01 05/29/13 United States 12 Month Oil Fund, LP 7.01,9.01 05/29/13 United States Brent Oil Fund, LP DE 7.01,9.01 05/29/13 United States Commodity Index Funds T DE 7.01,9.01 05/29/13 United States Diesel-Heating Oil Fund DE 7.01,9.01 05/29/13 United States Gasoline Fund, LP DE 7.01,9.01 05/29/13 United States Natural Gas Fund, LP 7.01,9.01 05/29/13 United States Oil Fund, LP DE 7.01,9.01 05/29/13 United States Short Oil Fund, LP DE 7.01,9.01 05/29/13 UNITEDHEALTH GROUP INC MN 7.01 05/29/13 UNIVERSAL INSURANCE HOLDINGS, INC. DE 8.01 05/28/13 UNIVEST CORP OF PENNSYLVANIA PA 8.01,9.01 05/29/13 VirnetX Holding Corp DE 5.07 05/22/13 VIRTUAL PIGGY, INC. DE 3.02,7.01,9.01 05/28/13 AMEND VORNADO REALTY TRUST MD 5.07 05/23/13 WELLPOINT, INC IN 5.02,9.01 05/28/13 Wesco Aircraft Holdings, Inc 1.01,9.01 05/22/13 WET SEAL INC DE 2.02,5.07,9.01 05/28/13 World Omni Auto Receivables Trust 201 DE 8.01,9.01 05/29/13 WPX ENERGY, INC. DE 5.02,9.01 05/22/13 ZIOPHARM ONCOLOGY INC DE 8.01,9.01 05/29/13