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ENFORCEMENT PROCEEDINGSFlorida-Based Stock Promoter Charged With Lying To Commission InvestigatorsThe Securities and Exchange Commission (Commission) today announced that the subject of an enforcement inquiry in Florida has been criminally charged for obstructing justice and lying to SEC investigators looking into his real estate securities offerings to investors. The U.S. Attorney’s Office for the Southern District of Florida has filed criminal charges against former broker and securities fraud recidivist Robert J. Vitale, who lives in Lauderdale-by-the Sea. According to the criminal information filed in U.S. District Court for the Southern District of Florida, the SEC issued subpoenas to Vitale and his investment company Realty Acquisitions & Trust in order to identify investor funds and assets related to the securities offerings. The SEC investigators subpoenaed Vitale for all related bank records and took his sworn testimony. The criminal information alleges that Vitale lied about the existence of two separate bank accounts that he did not disclose to the SEC. Specifically, Vitale deposited $100,000 into a bank account in Fort Lauderdale under the name of “B.L. Inc.” in the days preceding his testimony to SEC investigators in June 2012. Vitale then did not disclose the existence of the account to the SEC when asked under oath. Vitale was previously charged by the SEC several years ago for participating in a pump-and-dump market manipulation scheme. Vitale later settled the charges in federal district court and was barred from the brokerage industry. “Lying to SEC investigators undermines the very foundation of the public trust that investors place in our markets, and it violates criminal law as well,” said Andrew J. Ceresney, Co-Director of the SEC’s Division of Enforcement. “Those who obstruct SEC investigations should realize they will ultimately be held accountable by criminal authorities who work so closely with us to rid the markets of securities law violators, particularly repeat offenders like Vitale. The SEC greatly appreciates the persistence of the U.S. Attorney’s Office and the FBI in pursuing this case.” The SEC appreciates the assistance of the Federal Bureau of Investigation along with the U.S. Attorney’s Office for the Southern District of Florida in this matter. (Press Rel. 2013-96) Commission Charges Atlanta Attorney with Converting Investor FundsOn May 31, 2013, the Securities and Exchange Commission (Commission) charged Robert A. Gist (“Gist”), an Atlanta attorney and former sports agent, and Gist, Kennedy & Associates, Inc. (“Gist Kennedy”) (collectively, “Defendants”), a company that Gist controls, with defrauding at least 32 customers out of at least $5.4 million while acting as an unregistered broker from approximately 2003 to the present. According to the SEC’s complaint filed in the U.S. District Court for the Northern District of Georgia, Gist obtained the customers’ funds on the fraudulent pretense that he would invest conservatively on their behalves in corporate bonds and other securities. The complaint alleges that Gist invested none of the customer funds, but, instead, used the funds for his personal expenses, for the payment of purported dividends and proceeds from securities sales that he falsely claimed to have purchased on behalf of his customers, and for the operation of a company that he controlled until early 2013 known as ENCAP Technologies, LLC. The complaint further alleges that Gist regularly created and provided the customers of Gist Kennedy with fictitious account statements. The complaint alleges that Gist used at least $2.2 million of the converted customer funds for the operation of ENCAP Technologies, LLC (“ENCAP”) during the time that he controlled ENCAP, and that the company gave nothing of value in return for the money. The complaint names ENCAP as a relief defendant and seeks disgorgement from it of unjust enrichment in the amount of at least $2.2 million plus prejudgment interest. Without admitting or denying the SEC’s allegations, Defendants Gist and Gist Kennedy agreed to settle the case against them. The settlement is pending final approval by the court. Specifically, the Defendants consented to the entry of an order permanently enjoining Defendants Gist and Gist Kennedy from future violations of Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rules 10b-5 thereunder; permanently enjoining Gist from future violations of Section 15(a) of the Exchange Act; finding Defendants jointly and severally liable for $5.4 million in disgorgement plus prejudgment interest, imposing civil penalties to be determined upon motion of the Commission, freezing the Defendants’ assets, and providing other relief. [SEC v. Robert A. Gist, 1:13-cv-01833-AT (N.D.Ga.] (LR-22710) In the Matter of Ming SiuThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Ming Siu a resident of Hayward, California. The Order finds that on March 7, 2013, a judgment was entered against Siu, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in the civil action entitled SEC v. King Chuen Tang a/k/a Chen Tang, et al., Civil Action number 3:09-cv-05146-JCS, in the United States District Court for the Northern District of California, San Francisco Division. The Order further finds that the Commission’s complaint alleged that in the 2007-2008 time frame, Siu engaged in illegal insider trading in the securities of Tempur-Pedic International, Inc. and Acxiom Corporation by trading, and causing others to trade, on the basis of material, non-public information he learned about the companies, which he knew was gained in breach of a duty owed to the source of the information. Based on the above, the Order bars Siu from association with any broker, dealer, investment adviser, municipal securities dealer, municipal adviser, transfer agent, or nationally recognized statistical rating organization with the right to apply for reentry after 5 years to the appropriate self-regulatory organization, or if there is none, to the Commission. Siu consented to the issuance of the Order without admitting or denying any of the findings, except he admitted to the entry of the final judgment. (Rel. IA-3614; File No. 3-15345) Commission Decision as to Artfest International, Inc., FinalThe decision of an administrative law judge with respect to Artfest International, Inc., has become final. The law judge found that Artfest International violated Section 13(a) of the Securities Exchange Act of 1934 and Rules 13a-1 and 13a-13 thereunder by its failure to file any periodic reports since it filed a Form 10-K/A for the fiscal year ended December 31, 2009. (Rel. 34-69676; File No. 3-15207) INVESTMENT COMPANY ORDERSGoldman Sachs Trust II, et al.An order has been issued on an application filed by Goldman Sachs Trust II, Goldman Sachs Asset Management, L.P., and Goldman Sachs Asset Management International under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Section 15(a) of the Act and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-30542 - May 29, 2013) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of a Proposed Rule ChangeA proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-18) relating to amendments to the EDGX Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week of June 3rd. (Rel. 34-69670) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2013-14) relating to amendments to the EDGA Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week of June 3rd. (Rel. 34-69669). A proposed rule change filed by NYSE MKT LLC amending NYSE MKT Rule 980NY, to remove provisions governing how the Complex Matching Engine handles electronic Complex Orders that contain a stock leg (SR-NYSEMKT-2013-42) 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. 34-69673) A proposed rule change filed by NYSE Arca, Inc. amending Exchange Rule 6.91 to remove provisions governing how the Complex Matching Engine handles electronic Complex Orders that contain a stock leg (SR-NYSEArca-2013-54) 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. 34-69674) SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-1 KISMET INC, 1516 E TROPICANA AVE, SUITE 155, LAS VEGAS, NV, 89119,
(820)7076138007 - 4,000,000 ($200,000.00) Equity, (File 333-188928 -
May. 30) (BR. 03)
S-8 PENNYMAC FINANCIAL SERVICES, INC., 6101 CONDOR DRIVE, MOORPARK, CA,
93021, (818) 224-7442 - 0 ($502,312,264.00) Equity, (File 333-188929 -
May. 30) (BR. 07)
S-4 INERGY MIDSTREAM, L.P., TWO BRUSH CREEK BLVD, SUITE 200, KANSAS CITY,
MO, 64112, 816-842-8181 -
0 ($1,522,899,209.76) Limited Partnership Interests, (File 333-188930 -
May. 30) (BR. 02C)
S-4 TRIUMPH GROUP INC, 899 CASSATT ROAD, SUITE 210, BERWYN, PA, 19312,
(610) 251-1000 - 0 ($375,000,000.00) Debt, (File 333-188931 - May. 30)
(BR. 05C)
S-3 KINGSWAY FINANCIAL SERVICES INC, 45 ST. CLAIR WEST, SUITE 400, TORONTO,
A6, M4V 1K9, 9056778889 - 0 ($13,148,971.00) Other, (File 333-188932 -
May. 30) (BR. 01A)
S-3ASR EMC CORP, 176 SOUTH STREET, HOPKINTON, MA, 01748-9103, 5082937208 -
0 ($0.00) Non-Convertible Debt, (File 333-188933 - May. 30) (BR. 03C)
F-1 Grupo Aval Acciones Y Valores S.A., CARRERA 13 NO. 26A - 47,
Bogota D.C., F8, 00000, 57 1 241-9700 - 0 ($100,000,000.00) Equity,
(File 333-188934 - May. 30) (BR. 07B)
S-8 Sunshine Heart, Inc., 7651 ANAGRAM DRIVE, EDEN PRAIRIE, MN, 55344,
952-345-4200 - 0 ($1,768,500.00) Equity, (File 333-188935 - May. 30)
(BR. 10B)
S-8 SYNALLOY CORP, 775 SPARTAN BLVD., STE 102, P O BOX 5627, SPARTANBURG,
SC, 29304, 864-585-3605 - 50,000 ($705,500.00) Equity,
(File 333-188936 - May. 30) (BR. 06B)
S-8 SYNALLOY CORP, 775 SPARTAN BLVD., STE 102, P O BOX 5627, SPARTANBURG,
SC, 29304, 864-585-3605 - 350,000 ($4,938,500.00) Equity,
(File 333-188937 - May. 30) (BR. 06B)
S-8 ASML HOLDING NV, DE RUN 6501, DR VELDHOVEN, P7, 5504, 31402683000 -
0 ($143,004,166.00) Equity, (File 333-188938 - May. 30) (BR. 10A)
S-8 SYNCHRONOSS TECHNOLOGIES INC, 750 ROUTE 202 SOUTH, SUITE 600,
BRIDGEWATER, NJ, 08807, 866-620-3940 - 0 ($92,040,000.00) Debt,
(File 333-188939 - May. 30) (BR. 03B)
S-8 INTERVEST BANCSHARES CORP, 1 ROCKEFELLER PLAZA, SUITE 400, NEW YORK,
NY, 10020-2002, 2122182800 - 750,000 ($4,500,000.00) Equity,
(File 333-188940 - May. 30) (BR. 07B)
S-8 SOTHEBYS, 1334 YORK AVENUE, NEW YORK, NY, 10021, 212-606-7000 -
0 ($108,360,000.00) Equity, (File 333-188941 - May. 30) (BR. 03C)
S-8 Demandware Inc, 5 WALL STREET, BURLINGTON, MA, 01803, 781-756-3700 -
400,000 ($12,582,000.00) Equity, (File 333-188942 - May. 30) (BR. 03B)
S-8 SUPERIOR UNIFORM GROUP INC, 10055 SEMINOLE BLVD, SEMINOLE, FL, 33772,
7273979611 - 2,500,000 ($28,725,000.00) Equity, (File 333-188944 -
May. 30) (BR. 09A)
N-2 EATON VANCE SENIOR FLOATING RATE TRUST, TWO INTERNATIONAL PLACE,
BOSTON, MA, 02110, 617-482-8260 - 53,448 ($1,000,012.08) Equity,
(File 333-188945 - May. 30) (BR. 16)
S-11 Resource Real Estate Opportunity REIT, Inc., ONE CRESCENT DRIVE,
SUITE 203, PHILADELPHIA, PA, 19112, 215-231-7050 - 0 ($1.00) Other,
(File 333-188946 - May. 30) (BR. 08C)
S-3ASR QUEST DIAGNOSTICS INC, 3 GIRALDA FARMS, MADISON, NJ, 07940,
9735202700 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-188947 - May. 30) (BR. 09B)
S-8 HALCON RESOURCES CORP, 1000 LOUISIANA STREET, SUITE 6700, HOUSTON, TX,
77002, 832-538-0300 - 0 ($162,300,000.00) Equity, (File 333-188948 -
May. 30) (BR. 04A)
S-8 ACE Ltd, BARENGASSE 32, ZURICH CH-8001, V8, 00000, 441 295 5200 -
0 ($713,200,000.00) Equity, (File 333-188949 - May. 30) (BR. 01A)
S-8 NovaCopper Inc., SUITE 1950 - 777 DUNSMUIR STREET, VANCOUVER, A1,
V7Y 1K4, (604) 669-6227 - 2,638,555 ($4,696,627.90) Equity,
(File 333-188950 - May. 30) (BR. 09)
S-8 Neenah Paper Inc, 3460 PRESTON RIDGE ROAD, ALPHARETTA, GA, 30005,
678-566-6500 - 0 ($48,823,920.00) Equity, (File 333-188951 - May. 30)
(BR. 04A)
S-8 FREQUENCY ELECTRONICS INC, 55 CHARLES LINDBERGH BLVD, MITCHEL FIELD,
NY, 11553, 5167944500 - 964,630 ($9,704,178.00) Equity,
(File 333-188952 - May. 30) (BR. 10A)
S-8 ALTERA CORP, 101 INNOVATION DR, SAN JOSE, CA, 95134, 408.544.8790 -
4,055,931 ($133,490,785.19) Equity, (File 333-188953 - May. 30)
(BR. 10A)
S-8 AVON PRODUCTS INC, 1345 AVENUE OF THE AMERICAS, NEW YORK, NY,
10105-0196, 212-282-5000 - 42,000,000 ($1,007,160,000.00) Equity,
(File 333-188954 - May. 30) (BR. 06A)
S-8 NV ENERGY, INC., 6226 WEST SAHARA AVENUE, LAS VEGAS, NV, 89146,
702-367-5000 - 8,707,154 ($174,665,509.24) Equity, (File 333-188955 -
May. 30) (BR. 02B)
N-2 Capitala Finance Corp., 4201 CONGRESS STREET, SUITE 360, CHARLOTTE, NC,
28209, 704-376-5502 - 0 ($80,000,000.00) Equity, (File 333-188956 -
May. 30) (BR. 17)
S-3ASR UNITED TECHNOLOGIES CORP /DE/, UNITED TECHNOLOGIES BLDG,
ONE FINANCIAL PLZ, HARTFORD, CT, 06101, 8607287000 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-188957 - May. 30)
(BR. 05C)
S-4 GEO GROUP INC, 621 NW 53RD STREET, SUITE 700, BOCA RATON, FL, 33487,
561-893-0101 - 0 ($300,000,000.01) Non-Convertible Debt,
(File 333-188958 - May. 30) (BR. 08B)
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 1st United Bancorp, Inc. FL 5.02,5.07,9.01 05/28/13 ACCURIDE CORP DE 5.02,5.07 05/29/13 ACE MARKETING & PROMOTIONS INC NY 7.01,9.01 05/30/13 ACHILLION PHARMACEUTICALS INC DE 5.02,5.07,8.01,9.01 05/28/13 ADVANCED MICRO DEVICES INC DE 5.07 05/30/13 AMEND AEROFLEX HOLDING CORP. DE 1.01,9.01 05/29/13 AeroVironment Inc DE 2.05 05/29/13 AFC ENTERPRISES INC MN 2.02,9.01 05/29/13 ALBEMARLE CORP VA 2.03 05/29/13 ALCOA INC PA 8.01,9.01 05/30/13 ALERE INC. DE 1.01,2.03, 05/23/13 3.03,8.01,9.01 AMERCO /NV/ NV 8.01,9.01 05/28/13 AMERICAN AIRLINES INC DE 8.01,9.01 05/30/13 American Realty Capital Properties, I MD 7.01,9.01 05/30/13 AMR CORP DE 8.01,9.01 05/30/13 Anchor Bancorp WA 5.02,9.01 05/28/13 ARCA biopharma, Inc. DE 1.01,3.02,9.01 05/29/13 Arista Power, Inc. NY 1.01 05/29/13 ARRAY BIOPHARMA INC DE 1.01,9.01 05/29/13 ASPEN INSURANCE HOLDINGS LTD D0 8.01 05/30/13 ASSURED GUARANTY LTD D0 2.02,9.01 05/30/13 ATLAS AIR WORLDWIDE HOLDINGS INC DE 2.03 05/28/13 Atlas Financial Holdings, Inc. E9 7.01,9.01 05/30/13 ATWOOD OCEANICS INC TX 1.01,9.01 05/23/13 AUDIENCE INC 7.01 05/30/13 AURORA DIAGNOSTICS HOLDINGS LLC 8.01,9.01 05/30/13 BankUnited, Inc. DE 5.07 05/23/13 BELDEN INC. DE 5.07 05/30/13 BIGGEST LITTLE INVESTMENTS LP DE 1.01 05/28/13 BIOGEN IDEC INC. DE 7.01,9.01 05/30/13 BioRestorative Therapies, Inc. NV 7.01,9.01 05/27/13 BKF CAPITAL GROUP INC DE 8.01,9.01 05/28/13 BROWN SHOE CO INC NY 2.02,9.01 05/29/13 BUCKEYE TECHNOLOGIES INC DE 5.02,9.01 05/23/13 CABCO SERIES 2004-1 TRUST (GOLDMAN SA 8.01,9.01 05/28/13 CAPITAL ONE FINANCIAL CORP DE 7.01 05/30/13 CBS CORP DE 5.02,5.07 05/23/13 CEMPRA, INC. DE 8.01,9.01 05/30/13 CH ENERGY GROUP INC NY 8.01,9.01 05/30/13 CHICOS FAS INC FL 2.02,9.01 05/29/13 CIT GROUP INC DE 1.02,9.01 05/23/13 CIT GROUP INC DE 8.01,9.01 05/30/13 CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 05/30/13 CNH CAPITAL RECEIVABLES LLC DE 1.01,9.01 05/30/13 CNS RESPONSE, INC. DE 5.07 05/23/13 CombiMatrix Corp DE 8.01 05/22/13 Command Center, Inc. WA 5.02,9.01 05/28/13 Compass Diversified Holdings DE 5.07 05/29/13 CONCUR TECHNOLOGIES INC DE 8.01,9.01 05/29/13 CORVEL CORP DE 2.02,9.01 05/30/13 COSTCO WHOLESALE CORP /NEW WA 2.02,9.01 05/30/13 Crescent Financial Bancshares, Inc. 5.07 05/28/13 CubeSmart MD 5.02,5.07 05/29/13 CVSL INC. FL 5.03,9.01 05/27/13 CVSL INC. FL 2.01,9.01 03/14/13 AMEND DCT Industrial Trust Inc. MD 8.01,9.01 05/29/13 DEAN FOODS CO DE 2.01,9.01 05/23/13 Delanco Bancorp, Inc 1.01,9.01 05/28/13 dELiAs, Inc. DE 2.02,9.01 05/30/13 DFC GLOBAL CORP. DE 9.01 05/01/13 AMEND DIGITALGLOBE, INC. DE 5.07 05/30/13 DIRECT INSITE CORP DE 1.01,9.01 05/29/13 DIRECT INSITE CORP DE 5.07 05/29/13 Discovery Communications, Inc. DE 8.01,9.01 05/29/13 DISH Network CORP NV 8.01,9.01 05/29/13 DNB FINANCIAL CORP /PA/ PA 8.01,9.01 05/30/13 DTE ENERGY CO MI 7.01,9.01 05/30/13 DUMA ENERGY CORP NV 7.01,9.01 05/30/13 DYNAMIC MATERIALS CORP DE 5.02 05/29/13 DYNAVAX TECHNOLOGIES CORP DE 5.03,5.07,9.01 05/29/13 EASTMAN KODAK CO NJ 7.01,9.01 04/30/13 ELEPHANT TALK COMMUNICATIONS CORP DE 7.01,9.01 05/30/13 EMC CORP MA 7.01,8.01,9.01 05/30/13 EMC INSURANCE GROUP INC IA 5.03,9.01 05/23/13 EMPIRE DISTRICT ELECTRIC CO KS 1.01,2.03,8.01,9.01 05/29/13 ENCORE CAPITAL GROUP INC DE 1.01,2.03, 05/29/13 7.01,8.01,9.01 EnergySolutions, Inc. DE 2.01,3.01, 05/24/13 3.03,5.01,5.02,5.03,8.01,9.01 Enertopia Corp. NV 1.02,7.01,9.01 05/30/13 ENTERGY ARKANSAS INC AR 8.01,9.01 05/30/13 ENVIVIO INC DE 2.02,9.01 05/30/13 ESTERLINE TECHNOLOGIES CORP DE 2.02,9.01 05/30/13 Exelis Inc. IN 5.02 05/29/13 EXELON CORP PA 7.01,9.01 05/29/13 EXPRESS, INC. 2.02,9.01 05/30/13 Federal Home Loan Bank of Atlanta X1 2.03 05/24/13 Federal Home Loan Bank of Chicago X1 3.03,9.01 05/23/13 Federal Home Loan Bank of Chicago X1 2.03 05/28/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 05/30/13 Federal Home Loan Bank of New York X1 2.03,9.01 05/28/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 05/24/13 Federal Home Loan Bank of San Francis X1 2.03 05/24/13 Federal Home Loan Bank of Seattle 2.03 05/28/13 Federal Home Loan Bank of Topeka 2.03,9.01 05/28/13 FEDERAL MOGUL CORP DE 5.02,9.01 05/23/13 FERRO CORP OH 1.01,9.01 05/28/13 FIRST DATA CORP DE 1.01,2.03,9.01 05/30/13 FIRST FINANCIAL BANCORP /OH/ OH 5.07 05/28/13 FIRST REGIONAL BANCORP CA 8.01 05/23/13 FIRSTENERGY CORP OH 7.01 05/30/13 FMC CORP DE 5.03 05/23/13 FREDERICK'S OF HOLLYWOOD GROUP INC /N NY 1.01,2.03,9.01 05/23/13 FREDS INC TN 2.02,9.01 05/30/13 FRESH START PRIVATE MANAGEMENT, INC. NV 1.01,9.01 05/13/13 FUEL TECH, INC. DE 5.02,9.01 05/23/13 Fuelstream INC DE 2.05,4.01,9.01 03/19/13 AMEND GALECTIN THERAPEUTICS INC NV 5.02,5.07 05/23/13 GARTNER INC DE 5.07 05/30/13 GDT TEK, Inc. 4.01,9.01 05/15/13 AMEND GDT TEK, Inc. 1.01,9.01 05/15/13 AMEND General Finance CORP DE 7.01,9.01 05/29/13 AMEND General Finance CORP DE 7.01,9.01 05/29/13 AMEND GENWORTH FINANCIAL INC 2.02,8.01,9.01 05/30/13 GLEACHER & COMPANY, INC. DE 3.03,5.03,7.01,9.01 05/30/13 Global Clean Energy Holdings, Inc. DE 5.02,9.01 05/28/13 AMEND GLOBAL CONDIMENTS, INC. 4.01 05/29/13 GLU MOBILE INC DE 7.01,9.01 05/30/13 GOLDFIELD CORP DE 7.01,9.01 05/30/13 Griffin Capital Essential Asset REIT, 7.01,8.01,9.01 05/29/13 GS Mortgage Securities Trust 2013-GCJ DE 8.01,9.01 05/30/13 GUESS INC DE 2.02,9.01 05/30/13 HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 05/30/13 HARTE HANKS INC DE 5.07 05/29/13 Harvard Illinois Bancorp, Inc. MD 5.07,9.01 05/23/13 HEALTH DISCOVERY CORP 2Q 8.01 05/23/13 HEALTHCARE SERVICES GROUP INC PA 5.07 05/28/13 HEALTHWAYS, INC DE 5.07 05/30/13 HEIDRICK & STRUGGLES INTERNATIONAL IN DE 5.07 05/23/13 HEMISPHERX BIOPHARMA INC DE 5.02 05/23/13 HESS CORP DE 5.07 05/16/13 AMEND Hill International, Inc. DE 1.01,8.01,9.01 05/23/13 HILLMAN COMPANIES INC DE 5.02,5.03,8.01,9.01 05/23/13 Home Federal Bancorp, Inc. MD 5.07 05/24/13 HOSPIRA INC DE 8.01,9.01 05/29/13 HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 1.01,9.01 05/28/13 Howard Bancorp Inc MD 5.02,5.07,9.01 05/29/13 Hyatt Hotels Corp DE 5.03,8.01,9.01 05/29/13 ICU MEDICAL INC/DE DE 5.02,5.07 05/10/13 IMPERVA INC DE 5.02,9.01 05/28/13 INERGY L P DE 1.01,2.03,9.01 05/23/13 INFINERA CORP DE 1.01,2.03,3.02,9.01 05/30/13 ING U.S., Inc. DE 2.02,9.01 05/23/13 Inland Diversified Real Estate Trust, MD 7.01,9.01 05/30/13 INOLIFE TECHNOLOGIES, INC. 8.01 05/30/13 Intrepid Potash, Inc. DE 5.07 05/29/13 JOY GLOBAL INC DE 2.02,7.01,9.01 05/30/13 Kabe Exploration Inc. 1.01,5.02,9.01 01/15/13 KEATING CAPITAL INC 7.01 05/30/13 KINGSWAY FINANCIAL SERVICES INC A6 8.01,9.01 05/30/13 KLA TENCOR CORP DE 5.02 05/28/13 KRISPY KREME DOUGHNUTS INC NC 2.02,7.01,9.01 05/30/13 KRONOS WORLDWIDE INC 5.02 05/23/13 L Brands, Inc. DE 5.07 05/23/13 Laredo Petroleum Holdings, Inc. DE 1.01,2.03,7.01,9.01 05/29/13 LASERLOCK TECHNOLOGIES INC NV 5.03,9.01 05/23/13 Leatt Corp NV 7.01,9.01 05/30/13 LGL GROUP INC DE 7.01 05/30/13 Liberty Global, Inc. DE 7.01 05/30/13 LIONS GATE ENTERTAINMENT CORP /CN/ A1 2.02,9.01 05/30/13 LogMeIn, Inc. DE 5.07,9.01 05/23/13 LRAD Corp DE 3.01 05/28/13 MACKINAC FINANCIAL CORP /MI/ MI 5.07 05/29/13 MAGNEGAS CORP DE 7.01,8.01,9.01 05/30/13 Mandalay Digital Group, Inc. DE 1.01,3.02, 05/23/13 5.02,8.01,9.01 Mandalay Digital Group, Inc. DE 5.02 05/06/12 AMEND MANNKIND CORP DE 5.02,5.07 05/23/13 MASTEC INC FL 8.01 05/29/13 MATTSON TECHNOLOGY INC DE 5.07 05/29/13 MCG CAPITAL CORP DE 5.07 05/29/13 MEDIFAST INC DE 7.01,9.01 05/30/13 Mellanox Technologies, Ltd. L3 8.01,9.01 05/30/13 MERCANTILE BANK CORP MI 5.02,9.01 05/23/13 Merck & Co. Inc. NJ 5.07 05/28/13 MESA LABORATORIES INC /CO CO 2.02,9.01 05/29/13 MGC DIAGNOSTICS Corp MN 2.02,9.01 05/30/13 MICRONET ENERTEC TECHNOLOGIES, INC. DE 2.02,8.01,9.01 05/29/13 MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA 1.01,8.01,9.01 05/30/13 MINISTRY PARTNERS INVESTMENT COMPANY, CA 5.07 05/14/13 AMEND MISSION COMMUNITY BANCORP CA 5.07 05/28/13 MOBILE MINI INC DE 4.01 05/15/13 AMEND MODINE MANUFACTURING CO WI 2.02,9.01 05/30/13 MS STRUCTURED SATURNS SERIES 2004-4 DE 8.01,9.01 02/15/13 MS STRUCTURED SATURNS SERIES 2004-6 DE 8.01,9.01 05/15/13 MTR GAMING GROUP INC DE 5.02,9.01 05/27/13 MULTI FINELINE ELECTRONIX INC 5.01,8.01 05/28/13 NANOSPHERE INC DE 5.07 05/29/13 NATIONAL HEALTH INVESTORS INC MD 8.01,9.01 05/28/13 NATIONAL RETAIL PROPERTIES, INC. MD 3.03,5.03,9.01 05/29/13 NAVARRE CORP /MN/ MN 8.01,9.01 05/29/13 NCL CORP Ltd. D0 1.01,1.02, 05/24/13 2.03,8.01,9.01 NETSUITE INC DE 8.01,9.01 05/28/13 New Enterprise Stone & Lime Co., Inc. DE 1.01,9.01 05/29/13 NGL Energy Partners LP DE 5.02 05/23/13 NL INDUSTRIES INC NJ 5.02 05/23/13 NorthStar Real Estate Income Trust, I MD 8.01 05/28/13 NORTHWEST NATURAL GAS CO OR 5.07,8.01,9.01 05/23/13 Norwegian Cruise Line Holdings Ltd. 1.01,1.02, 05/24/13 2.03,8.01,9.01 NV ENERGY, INC. NV 8.01,9.01 05/29/13 Oculus Innovative Sciences, Inc. CA 7.01,9.01 05/30/13 OLD POINT FINANCIAL CORP VA 5.07 05/30/13 OMNIVISION TECHNOLOGIES INC DE 2.02,9.01 05/30/13 Oncothyreon Inc. DE 1.01,8.01,9.01 05/29/13 ORAMED PHARMACEUTICALS INC. DE 8.01 05/30/13 ORIGINOIL INC NV 1.01,2.03,3.02,9.01 05/23/13 PACIFIC OFFICE PROPERTIES TRUST, INC. MD 5.07 05/23/13 PACIFIC PREMIER BANCORP INC DE 5.07 05/29/13 PALMDALE EXECUTIVE HOMES, CORP. NV 5.03,8.01,9.01 05/06/13 Palo Alto Networks Inc DE 2.02,5.02,9.01 05/23/13 PARKERVISION INC FL 7.01,9.01 05/30/13 PARKWAY PROPERTIES INC MD 5.03,9.01 05/30/13 PASSPORT POTASH INC A1 7.01,9.01 05/30/13 PCS EDVENTURES COM INC ID 2.03,9.01 05/24/13 PDF SOLUTIONS INC DE 5.02,5.07,9.01 05/28/13 PediatRx Inc. NV 1.01 05/30/13 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 5.07 05/29/13 PEREGRINE SEMICONDUCTOR CORP DE 1.01,9.01 05/28/13 PetroHunter Energy Corp MD 1.01,9.01 05/23/13 PHARMATHENE, INC DE 8.01,9.01 05/30/13 PIZZA INN HOLDINGS, INC /MO/ 5.02 05/29/13 PowerShares DB Commodity Index Tracki 4.01,9.01 05/28/13 PowerShares DB G10 Currency Harvest F DE 4.01,9.01 05/28/13 PowerShares DB Multi-Sector Commodity DE 4.01,9.01 05/28/13 PowerShares DB US Dollar Index Trust DE 4.01,9.01 05/28/13 PRICELINE COM INC DE 7.01,9.01 05/30/13 Primco Management Inc. 2.01,9.01 05/30/13 PRIME ESTATES & DEVELOPMENTS INC NV 1.01 05/28/13 Primerica, Inc. DE 1.01,9.01 05/28/13 Professional Diversity Network, Inc. IL 8.01 05/29/13 ProShares Trust II DE 8.01,9.01 05/24/13 PUGET SOUND ENERGY INC WA 2.03,9.01 05/23/13 QAD INC DE 2.02,9.01 05/30/13 QEP RESOURCES, INC. DE 5.07 05/24/13 QUALITY DISTRIBUTION INC FL 5.07 05/30/13 QUESTCOR PHARMACEUTICALS INC CA 5.02,5.07 05/23/13 QUICKSILVER RESOURCES INC DE 8.01,9.01 05/30/13 QVC INC DE 7.01 05/30/13 Rango Energy, Inc. NV 8.01,9.01 05/15/13 Rango Energy, Inc. NV 5.02 05/21/13 Rango Energy, Inc. NV 8.01,9.01 05/29/13 Redpoint Bio CORP DE 1.01,9.01 05/23/13 REGAL ENTERTAINMENT GROUP DE 1.01,8.01,9.01 05/29/13 Resource Real Estate Opportunity REIT MD 1.01,2.03 05/23/13 REVA Medical, Inc. DE 7.01,9.01 05/30/13 RiceBran Technologies CA 1.01,2.03,9.01 05/24/13 ROMA FINANCIAL CORP X1 7.01,9.01 05/30/13 ROPER INDUSTRIES INC DE 5.07 05/24/13 ROYAL CARIBBEAN CRUISES LTD 8.01,9.01 05/30/13 ROYAL CARIBBEAN CRUISES LTD 7.01,9.01 05/30/13 RR Donnelley & Sons Co DE 5.02 05/23/13 SANUWAVE Health, Inc. NV 7.01,9.01 05/30/13 SCHOOL SPECIALTY INC WI 1.03,7.01,9.01 05/23/13 Sealand Natural Resources Inc NY 1.01,2.01, 02/15/13 AMEND 3.02,5.06,9.01 SERVICE CORPORATION INTERNATIONAL TX 8.01,9.01 05/29/13 Shire plc 8.01,9.01 05/30/13 ShoreTel Inc CA 5.02 05/23/13 SIMMONS FIRST NATIONAL CORP AR 8.01,9.01 05/30/13 SLM CORP DE 5.02,5.07 05/29/13 SLM FUNDING LLC DE 6.01,9.01 05/30/13 SM Energy Co DE 5.02 05/25/13 SOUTHWEST GEORGIA FINANCIAL CORP GA 5.07,8.01,9.01 05/30/13 Spirit Airlines, Inc. DE 7.01 05/30/13 SPLUNK INC 2.02,9.01 05/30/13 SPRINGLEAF FINANCE CORP IN 8.01 05/30/13 STEVEN MADDEN, LTD. DE 5.03,5.07,9.01 05/24/13 STEWART INFORMATION SERVICES CORP DE 7.01,9.01 05/30/13 STRATUS PROPERTIES INC DE 5.02,5.07,9.01 05/23/13 Summit Hotel Properties, Inc. MD 1.01,2.01,9.01 05/23/13 Susser Petroleum Partners LP DE 8.01 05/30/13 SYMMETRICOM INC DE 5.02 05/29/13 SYNERGY PHARMACEUTICALS, INC. DE 8.01,9.01 05/29/13 SYNIVERSE HOLDINGS INC DE 1.01,2.03 05/30/13 TANDY BRANDS ACCESSORIES INC DE 1.01 05/30/13 TAUBMAN CENTERS INC MI 5.07 05/29/13 TECHE HOLDING CO LA 8.01,9.01 05/24/13 TELESTONE TECHNOLOGIES CORP CO 3.01,8.01,9.01 05/23/13 TELETECH HOLDINGS INC DE 5.07,8.01,9.01 05/23/13 TELULAR CORP DE 8.01,9.01 05/30/13 TESLA MOTORS INC DE 1.01,3.02,8.01,9.01 05/24/13 TESSERA TECHNOLOGIES INC DE 5.02,8.01,9.01 05/29/13 Texas Rare Earth Resources Corp. DE 7.01,9.01 05/29/13 TILE SHOP HOLDINGS, INC. DE 1.01,9.01 05/24/13 TRANSATLANTIC PETROLEUM LTD. 7.01,9.01 05/30/13 True Drinks Holdings, Inc. NV 8.01,9.01 05/30/13 U S PHYSICAL THERAPY INC /NV NV 7.01,9.01 05/30/13 UNITED COMMUNITY FINANCIAL CORP OH 3.02,5.07 05/28/13 UNITED INSURANCE HOLDINGS CORP. DE 5.02,9.01 05/29/13 UNITED STATES STEEL CORP DE 5.02,9.01 05/28/13 UROPLASTY INC MN 2.02,9.01 05/30/13 URSTADT BIDDLE PROPERTIES INC MD 2.01,9.01 05/28/13 US AIRWAYS GROUP INC DE 1.01,2.03,9.01 05/23/13 US ECOLOGY, INC. DE 5.02,7.01,9.01 05/30/13 VAIL RESORTS INC DE 1.01,2.01, 05/24/13 2.03,7.01,9.01 Valeant Pharmaceuticals International A6 7.01,9.01 05/30/13 VALENCE TECHNOLOGY INC DE 7.01,9.01 05/20/13 AMEND Valley High Mining CO NV 1.01,8.01,9.01 05/28/13 Venaxis, Inc. CO 8.01,9.01 05/30/13 VIRTUAL PIGGY, INC. DE 7.01,9.01 05/30/13 VISCOUNT SYSTEMS INC NV 5.07 05/28/13 VISTEON CORP DE 2.02,7.01,9.01 05/30/13 VMWARE, INC. DE 5.02,5.07 05/29/13 Vocus, Inc. DE 1.01,5.02 05/30/13 Vringo Inc DE 8.01,9.01 05/30/13 W270, INC. NV 1.01,8.01,9.01 05/23/13 WARREN RESOURCES INC MD 7.01,9.01 05/30/13 Wellesley Bancorp, Inc. 5.07 05/22/13 AMEND WHY USA FINANCIAL GROUP INC NV 4.01,9.01 05/29/13 Winthrop Realty Trust OH 5.02 05/28/13 WIRELESS RONIN TECHNOLOGIES INC MN 8.01 05/30/13 ZIONS BANCORPORATION /UT/ UT 5.07 05/30/13 ZIONS BANCORPORATION /UT/ UT 9.01 05/30/13
http://www.sec.gov/news/digest/2013/dig053113.htm
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