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ENFORCEMENT PROCEEDINGSCommission Orders Hearing On Registration Suspension or Revocation against Three Public Companies For Failure To Make Required Periodic FilingsThe Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of three companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the three issuers are delinquent in their 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 Administrative Law Judge will hear evidence from the Division and the Respondents 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/or 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents 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. 34-69839; File No. 3-15363) In the Matter of Michael J. StewartThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against Michael J. Stewart (Stewart). The Order finds that on March 27, 2013, a judgment was entered against Stewart in Securities and Exchange Commission v. Apartments America, LLC, et al. (Civil Action Number SACV 12-754 DOC (ANx) (C.D. Cal.)), permanently enjoining him from future violations of Sections 5 and 17(a) of the Securities Act of 1933, and permanently enjoining him or any entity he owns or controls from offering unregistered securities. Based on the above, the Order suspends Stewart from appearing or practicing before the Commission as an attorney. Stewart consented to the issuance of the Order without admitting or denying the findings in the Order, except he admitted the entry of the permanent injunction. (Rel. 34-69832) Delinquent Filer’s Stock Registration Revoked: Enercorp, IncAn Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default (Default Order) in Enercorp, Inc., Admin. Proc. File No. 3-15301. The Default Order found that FTS Group, Inc., Games, Inc. (n/k/a InQBate Corporation), and Hartmarx Corporation (n/k/a XMH Corp. 1) were issuers of securities registered pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act) that failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Securities and Exchange Commission. Based on these factual findings, the Default Order found that revocation of the registration of each class of each defaulted Respondent’s registered securities was both necessary and appropriate for the protection of investors. (Rel. 34-69833; File No. 3-15301) Exemptive OrdersAn order has been issued granting an application of ALPS ETF Trust, the VelocityShares Tail Risk Hedged Large Cap ETF, and the VelocityShares Volatility Hedged Large Cap ETF an exemption from Rules 101 and 102 of Regulation M pursuant to Rules 101(d) and 102(e) of Regulation M, and Exchange Act Rule 10b-17 pursuant to Exchange Act Rule 10b-17(b)(2). (Rel. 34-69831) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed NYSE MKT LLC extending the operation of its New Market Model pilot, until the earlier of Securities and Exchange Commission approval to make such pilot permanent or January 31, 2014 (SR-NYSEMKT-2013-51) has become effective under Section 19(b)(3)(A) of the Exchange Act. (Rel. 34-69812) A proposed rule change filed by New York Stock Exchange LLC extending the operation of its New Market Model pilot, until the earlier of Securities and Exchange Commission approval to make such pilot permanent or January 31, 2014 (SR-NYSE-2013-43) has become effective under Section 19(b)(3)(A) of the Exchange Act. (Rel. 34-69813) A proposed rule change filed NYSE MKT LLC extending the operation of the pilot program that allows Nasdaq Stock Market securities to be traded on the Exchange pursuant to a grant of unlisted trading privileges until the earlier of Securities and Exchange Commission approval to make such pilot permanent or January 31, 2014 (SR-NYSEMKT-2013-53) has become effective under Section 19(b)(3)(A) of the Exchange Act. (Rel. 34-69814) A proposed rule change filed by NYSE MKT LLC replacing references to “Principle Executive” with references to “Principal Executive” in the Exchange’s Rules (SR-NYSEMKT-2013-58) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. (Rel. 34-69822) A proposed rule change filed by New York Stock Exchange LLC extending the operation of its Supplemental Liquidity Providers pilot, until the earlier of Securities and Exchange Commission approval to make such pilot permanent or January 31, 2014 (SR-NYSE-2013-44) has become effective under Section 19(b)(3)(A) of the Exchange Act. (Rel. 34-69819) A proposed rule change filed NYSE MKT LLC extending the operation of its Supplemental Liquidity Providers pilot, until the earlier of Securities and Exchange Commission approval to make such pilot permanent or January 31, 2014 (SR-NYSEMKT-2013-52) has become effective under Section 19(b)(3)(A) of the Exchange Act. (Rel. 34-69820) A proposed rule change filed by NASDAQ OMX PHLX LLC to amend Rule 3100 to adopt a modification in the process for initiating trading of a security that is the subject of a trading halt or pause on NASDAQ OMX PSX (SR-Phlx-2013-66) has become effective under Section 19(b)(3)(A) of the Exchange Act. (Rel. 34-69817) A proposed rule change filed by NASDAQ OMX BX, Inc. to amend Rule 4120 to adopt a modification in the process for initiating trading of a security that is the subject of a trading halt or pause on BX (SR-BX-2013-041) has become effective under Section 19(b)(3)(A) of the Exchange Act. (Rel. 34-69818) National Securities Clearing Corporation (NSCC) filed a proposed rule change (File No. SR-NSCC-2013-08), as modified by Amendment No. 1, under Section 19(b)(1) of the Securities Exchange Act of 1934, which proposed rule change became effective upon filing, to expand its Analytic Reporting Service to permit increased source data. (Rel. 34-69824) A proposed rule changed filed by NASDAQ OMX BX, Inc. to amend Section 4 of Chapter XV of the BX Options Rules (SR-BX-2013-040) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. (Rel. 34-69821) A proposed rule change (SR-MIAX-2013-29) filed by Miami International Securities Exchange LLC to make technical amendments to the MIAX Options Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. (Rel. 34-69823) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2013-66) making non-substantive, technical amendments to Exchange Rule 6.62(o) correcting cross reference to Exchange Rule 6.76B, and to Exchange Rule 6.76A to correct cross references to Exchange Rules 6.76A and 6.76B has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. (Rel. 34-69826) A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2013-54) making a non-substantive, technical amendment to Exchange Rule 900.3NY(o) to correct a cross reference to Exchange Rule 964NY has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. (Rel. 34-69827) A proposed rule change, (SR-ISE-2013-40), filed by the International Securities Exchange, LLC, to extend the Penny Pilot Program has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. (Rel. 34-69828) A proposed rule change filed by The NASDAQ Stock Market LLC to Eliminate an Erroneous Reference to the Retired Automatic Quotation Refresh Functionality under Rule 4751(d) (SR-NASDAQ-2013-083) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. (Rel. 34-69830) Notice of Proposed Rule ChangeNASDAQ OMX PHLX LLC has filed a proposed rule change (SR-Phlx-2013-65) under Rule 19b-4 of the Securities Exchange Act of 1934 relating to which complex orders can initiate a Complex Order Live Auction. (Rel. 34-69829) Approval of a Proposed Rule ChangeThe Commission granted approval of a proposed rule change (SR-FINRA-2013-018) submitted by Financial Industry Regulatory Authority, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information) as modified by Amendment No. 1. (Rel. 34-69825) 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-8 Burger King Worldwide, Inc., 5505 BLUE LAGOON DRIVE, MIAMI, FL, 33133,
305-378-3000 - 0 ($123,180,000.00) Equity, (File 333-189501 - Jun. 21)
(BR. 05A)
S-4 NEUSTAR INC, 21575 RIDGETOP CIRCLE, STERLING, VA, 20166, 571-434-5400 -
0 ($300,000,000.00) Debt, (File 333-189502 - Jun. 21) (BR. 11A)
S-8 Monster Offers, 117 CALLE DE LOS MOLINOS, SAN CLEMENTE, CA, 92672,
949-542-6668 - 7,000,000 ($2,254,000.00) Equity, (File 333-189504 -
Jun. 21) (BR. 03A)
S-8 US BANCORP \DE\, U.S.BANCORP, 800 NICOLLET MALL, MINNEAPOLIS, MN,
55402, (651)466-3000 - 0 ($312,220,400.00) Other, (File 333-189506 -
Jun. 21) (BR. 12A)
S-1 NMI Holdings, Inc., 2100 POWELL STREET, 12TH FLOOR, EMERYVILLE, CA,
94608, (855) 530-6642 - 52,308,970 ($653,862,125.00) Equity,
(File 333-189507 - Jun. 21) (BR. 01)
S-8 AMERICAN STATES WATER CO, 630 E FOOTHILL BLVD, SAN DIMAS, CA,
91773-9016, 9093943600 - 0 ($26,485,000.00) Equity, (File 333-189508 -
Jun. 21) (BR. 02A)
S-3 BCAP LLC, 200 PARK AVENUE, NEW YORK, NY, 10166, (212) 412-4000 -
0 ($1.00) Mortgage Backed Securities, (File 333-189510 - Jun. 21)
(BR. OSF)
S-8 TJX COMPANIES INC /DE/, 770 COCHITUATE RD, FRAMINGHAM, MA, 01701,
508-390-2662 - 0 ($1,282,320,000.00) Equity, (File 333-189511 -
Jun. 21) (BR. 09B)
S-8 MVB FINANCIAL CORP, 301 VIRGINIA AVENUE, FAIRMONT, WV, 26554-2777,
3043634800 - 1,100,000 ($23,474,000.00) Other, (File 333-189512 -
Jun. 21) (BR. 07C)
S-4 Party City Holdings Inc., 80 GRASSLAND ROAD, ELMSFORD, NY, 10523,
914-345-2020 - 0 ($700,000,000.00) Debt, (File 333-189513 - Jun. 21)
(BR. 02)
S-8 FIRSTMERIT CORP /OH/, III CASCADE PLAZA, 7TH FLOOR, AKRON, OH, 44308,
3309966300 - 500,000 ($9,565,000.00) Equity, (File 333-189514 -
Jun. 21) (BR. 07C)
S-3 hhgregg, Inc., 4151 EAST 96TH STREET, INDIANAPOLIS, IN, 46240,
317-848-8710 - 0 ($300,000,000.00) Unallocated (Universal) Shelf,
(File 333-189515 - Jun. 21) (BR. 02A)
S-1 ONCOSEC MEDICAL Inc, 4690 EXECUTIVE DRIVE SUITE 250, SAN DIEGO, CA,
92121, (855) 662-6732 - 0 ($25,000,000.00) Equity, (File 333-189516 -
Jun. 21) (BR. 02C)
S-3 Excel Trust, Inc., 17140 BERNARDO CENTER DRIVE, SUITE 300, SAN DIEGO,
CA, 92128, (858) 613-1800 -
0 ($3,032,850.00) Unallocated (Universal) Shelf, (File 333-189517 -
Jun. 21) (BR. 08C)
S-8 VERENIUM CORP, 3550 JOHN HOPKINS COURT, SAN DIEGO, CA, 92121,
858 431-8500 - 0 ($4,050,000.00) Equity, (File 333-189518 - Jun. 21)
(BR. 06C)
S-8 FIRSTMERIT CORP /OH/, III CASCADE PLAZA, 7TH FLOOR, AKRON, OH, 44308,
3309966300 - 1,921,426 ($36,756,879.38) Equity, (File 333-189519 -
Jun. 21) (BR. 07C)
S-8 SEQUENOM INC, 3595 JOHN HOPKINS COURT, SAN DIEGO, X1, 92121,
8582029000 - 0 ($26,460,000.00) Equity, (File 333-189520 - Jun. 21)
(BR. 10B)
S-8 RXi Pharmaceuticals Corp, 1500 WEST PARK DRIVE, SUITE 210, WESTBOROUGH,
MA, 01581, (508) 767-3861 - 3,400,000 ($673,200.00) Equity,
(File 333-189521 - Jun. 21) (BR. 01B)
S-8 RXi Pharmaceuticals Corp, 1500 WEST PARK DRIVE, SUITE 210, WESTBOROUGH,
MA, 01581, (508) 767-3861 - 0 ($11,880,000.00) Equity,
(File 333-189522 - Jun. 21) (BR. 01B)
S-8 RIGEL PHARMACEUTICALS INC, 1180 VETERANS BOULEVARD,
SOUTH SAN FRANCISCO, CA, 94080, 0 ($28,923,000.00) Equity,
(File 333-189523 - Jun. 21) (BR. 01B)
S-4 Avis Budget Car Rental, LLC, 6 SYLVAN WAY, PARSIPPANY, NJ, 07054,
973 496 5700 - 0 ($800,000,000.00) Non-Convertible Debt,
(File 333-189524 - Jun. 21) (BR. 05A)
S-3 AmREIT, Inc., 8 GREENWAY PLAZA, SUITE 1000, HOUSTON, TX, 77046,
(713) 860-4909 - 0 ($350,000,000.00) Equity, (File 333-189525 -
Jun. 21) (BR. 08C)
N-2 Goldman Sachs MLP Income Opportunities Fund, 200 WEST STREET, NEW YORK,
NY, 10282, (212) 902-1000 - 50,000 ($1,000,000.00) Equity,
(File 333-189529 - Jun. 21) (BR. )
S-4 MCCLATCHY CO, LEGAL DEPARTMENT, 2100 Q STREET, SACRAMENTO, CA, 95852,
9163211846 - 0 ($910,000,000.00) Debt, (File 333-189530 - Jun. 21)
(BR. 05B)
S-4 ASBURY AUTOMOTIVE GROUP INC, 2905 PREMIERE PARKWAY NW, SUITE 300,
DULUTH, GA, 30097, 770-418-8200 -
0 ($100,000,000.00) Non-Convertible Debt, (File 333-189531 - Jun. 21)
(BR. 02B)
S-3 ARBOR REALTY TRUST INC, 333 EARLE OVINGTON BOULEVARD, SUITE 900,
UNIONDALE, NY, 11553, 516-506-4200 - 0 ($201,183,828.00) Other,
(File 333-189532 - Jun. 21) (BR. 08B)
S-8 AMBASSADORS GROUP INC, 2001 SOUTH FLINT, SPOKANE, WA, 99224,
5095687000 - 2,265,835 ($2,275,200.00) Equity, (File 333-189533 -
Jun. 21) (BR. 11A)
S-3 AGENUS INC, 162 FIFTH AVENUE SUITE 900, NEW YORK, NY, 10010,
212-994-8200 - 0 ($1,890,000.00) Equity, (File 333-189534 - Jun. 21)
(BR. 01B)
S-4 COMMERCE BANCSHARES INC /MO/, 1000 WALNUT, KANSAS CITY, MO, 64106,
8162342000 - 1,109,593 ($26,316,298.85) Equity, (File 333-189535 -
Jun. 21) (BR. 12A)
S-3ASR PDL BIOPHARMA, INC., 932 SOUTHWOOD BLVD, INCLINE VILLAGE, NV, 89451,
775-832-8500 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-189536 - Jun. 21) (BR. 01B)
S-1 STERLING CONSOLIDATED Corp, 1105 GREEN GROVE ROAD, NEPTUNE, NJ, 07753,
732 918 8004 - 4,398,504 ($1,143,611.00) Equity, (File 333-189537 -
Jun. 21) (BR. 06C)
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
ABERCROMBIE & FITCH CO /DE/ DE 7.01,9.01 06/18/13
ABERCROMBIE & FITCH CO /DE/ DE 5.07 06/20/13
ADVANCED ENERGY INDUSTRIES INC DE 2.01,9.01 04/08/13 AMEND
AEROPOSTALE INC 5.07 06/20/13
AES CORP DE 5.02,9.01 06/20/13
Affinity Gaming NV 2.02,4.02 06/17/13
AGILENT TECHNOLOGIES INC DE 1.01,2.03,8.01,9.01 06/18/13
AIR INDUSTRIES GROUP, INC. DE 7.01,9.01 06/20/13
AIR LEASE CORP DE 8.01 06/21/13
AMBASE CORP DE 1.01,5.02 06/21/13
AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 8.01,9.01 06/21/13
AMERICAN EXPRESS CO NY 5.02,9.01 06/19/13
American Tire Distributors Holdings, 2.01,9.01 04/30/13 AMEND
ANDAIN, INC. NV 1.01,3.02,9.01 04/10/13
ANDAIN, INC. NV 4.02 06/10/13
ANIKA THERAPEUTICS INC MA 5.07,9.01 06/18/13
Apollo Acquisition Corp E9 5.02 06/14/13
APPLE INC CA 5.02 06/21/13
ARCH CAPITAL GROUP LTD. 7.01 06/21/13
Ares Commercial Real Estate Corp MD 8.01,9.01 06/20/13
Ascent Solar Technologies, Inc. DE 1.01,3.02,5.07,9.01 06/21/13
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 06/20/13
ASTORIA FINANCIAL CORP DE 8.01 06/19/13 AMEND
ATLANTIC POWER CORP A1 7.01,9.01 06/21/13
Augme Technologies, Inc. DE 5.02,9.01 06/17/13
AUTOBYTEL INC DE 5.07 06/20/13
BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 06/21/13
BEST BUY CO INC MN 8.01,9.01 06/21/13
BEST BUY CO INC MN 5.03,5.07,8.01,9.01 06/20/13
BIOSANTE PHARMACEUTICALS INC DE 2.01,3.01,4.01, 06/19/13
5.01,5.02,5.07,8.01,
9.01
BOSTON PROPERTIES LTD PARTNERSHIP DE 8.01,9.01 06/18/13
BRIGHT HORIZONS FAMILY SOLUTIONS INC. DE 2.01,9.01 06/21/13 AMEND
CAMBIUM LEARNING GROUP, INC. 3.01 06/19/13
CannaVEST Corp. TX 2.02,7.01,9.01 06/20/13
CANTEL MEDICAL CORP DE 8.01,9.01 06/20/13
CARMAX INC VA 2.02,9.01 06/21/13
CC Media Holdings Inc 1.01,2.03,9.01 06/21/13
CHAMPION INDUSTRIES INC WV 2.01 06/18/13
Chatham Lodging Trust MD 2.01,9.01 06/17/13
Chrysler Group LLC DE 1.01,2.03,9.01 06/21/13
CION Investment Corp MD 2.02,9.01 06/20/13
Cleantech Solutions International, In DE 1.01,7.01,9.01 06/18/13
Clear Channel Capital I, LLC DE 1.01,2.03,9.01 06/21/13
CLEAR CHANNEL COMMUNICATIONS INC TX 1.01,2.03,9.01 06/21/13
Clearwire Corp /DE DE 1.01,9.01 06/20/13
CLOUD PEAK ENERGY INC. DE 7.01,8.01,9.01 06/20/13
CODEXIS INC 5.07 06/20/13
COLDWATER CREEK INC DE 5.07 06/18/13
COLE CORPORATE INCOME TRUST, INC. MD 9.01 04/04/13 AMEND
COMSCORE, INC. DE 5.02,7.01,9.01 06/19/13
CORONADO BIOSCIENCES INC DE 5.02,5.07,9.01 06/19/13
Corporate Resource Services, Inc. DE 1.01,2.03,9.01 06/21/13
CVSL INC. FL 1.01,9.01 06/17/13
DAKOTA PLAINS HOLDINGS, INC. NV 5.07 06/18/13
DARDEN RESTAURANTS INC FL 2.02,9.01 06/21/13
Deep Down, Inc. NV 1.01,9.01 06/21/13
DEL MONTE CORP 2.02,7.01,9.01 06/21/13
DELTA OIL & GAS INC 5.07 06/21/13
DISH Network CORP NV 8.01 06/21/13
DM Products, Inc. NV 5.03,9.01 05/29/13
DOCUMENT SECURITY SYSTEMS INC NY 5.02,5.07,8.01,9.01 06/20/13
DOLLAR TREE INC VA 5.03,5.07,7.01,9.01 06/20/13
DTE ENERGY CO MI 7.01,9.01 06/21/13
DubLi, Inc. NV 1.01,3.02,9.01 06/19/13
DYNAMIC APPLICATIONS CORP DE 5.02,8.01,9.01 06/20/13
Dynamic Nutra Enterprises Holdings, I NV 5.02,8.01,9.01 06/17/13
EASTMAN KODAK CO NJ 1.01,3.02, 06/18/13
5.02,7.01,9.01
EBIX INC DE 1.02,9.01 06/19/13
Embassy Bancorp, Inc. PA 5.07 06/21/13
ENDOCYTE INC DE 5.07 06/19/13
ENERGY FOCUS, INC/DE DE 5.02 06/19/13
Energy Services of America CORP DE 1.01,9.01 06/15/13
EnergySolutions, Inc. DE 4.01,9.01 06/17/13
ENGLOBAL CORP NV 8.01 06/19/13
ENTERGY NEW ORLEANS INC LA 8.01,9.01 06/21/13
EPL OIL & GAS, INC. DE 5.02 06/21/13
ePunk, Inc. NV 1.01,5.02, 06/07/13
7.01,8.01,9.01
Expedia, Inc. DE 5.07 06/18/13
Extra Space Storage Inc. MD 1.01,2.03,9.01 06/21/13
EXTREME NETWORKS INC DE 8.01 06/21/13
Federal Home Loan Bank of Topeka 7.01,9.01 06/21/13
FIRST ASIA HOLDINGS Ltd A6 5.02 06/20/13
First Choice Healthcare Solutions, In DE 1.01,2.03 06/21/13
FIRST CITIZENS BANCSHARES INC /DE/ DE 8.01 06/21/13
First Connecticut Bancorp, Inc. MD 8.01 06/21/13
FIRST PACTRUST BANCORP INC MD 8.01,9.01 06/20/13
FIRST PACTRUST BANCORP INC MD 8.01,9.01 06/21/13
FIRST POTOMAC REALTY TRUST MD 2.01,7.01,9.01 06/18/13
FIVE BELOW, INC PA 7.01,9.01 06/20/13
FNB United Corp. NC 5.02,5.07 06/20/13
FORTUNE INDUSTRIES, INC. DE 5.07,9.01 06/20/13
FULTON FINANCIAL CORP PA 1.01,5.02,9.01 06/18/13
GALECTIN THERAPEUTICS INC NV 5.02 06/19/13
GENTEX CORP MI 5.02 06/17/13
GILMAN CIOCIA, INC. DE 1.01,8.01,9.01 06/20/13
GLADSTONE COMMERCIAL CORP MD 8.01,9.01 06/19/13
GLEACHER & COMPANY, INC. DE 5.02 06/17/13
GLOBALSCAPE INC DE 7.01,9.01 06/21/13
GP STRATEGIES CORP DE 5.07 06/18/13
GRANDPARENTS.COM, INC. DE 1.01,3.02,9.01 06/17/13
Graystone Co DE 3.02 06/17/13
Great American Group, Inc. DE 5.07 06/19/13
GUIDED THERAPEUTICS INC DE 5.07 06/21/13 AMEND
H&R BLOCK INC MO 5.02,5.03,9.01 06/18/13
HARVEST NATURAL RESOURCES, INC. DE 4.01,9.01 06/19/13
HEALTHWAYS, INC DE 8.01 06/17/13
Heatwurx, Inc. DE 3.02,5.02, 06/20/13
5.03,5.07,9.01
Helmer Directional Drilling Corp. NV 5.02 06/14/13 AMEND
Heron Lake BioEnergy, LLC MN 1.01 06/19/13
HESKA CORP DE 1.01,9.01 06/17/13
HOME LOAN SERVICING SOLUTIONS, LTD. E9 8.01,9.01 06/20/13
Horizon Lines, Inc. 5.03,9.01 06/21/13
IDS Industries, Inc. NV 1.01,9.01 06/19/13
iGo, Inc. DE 1.01,3.03,5.03,9.01 06/20/13
Inrad Optics, Inc. NJ 5.07 06/19/13
INTERNATIONAL SPEEDWAY CORP FL 1.01,7.01,8.01,9.01 06/21/13
ITC Holdings Corp. MI 8.01,9.01 06/21/13
IZEA, Inc. NV 1.01,2.03,9.01 06/07/13
JPMBB Commercial Mortgage Securities DE 8.01,9.01 06/21/13
Kenergy Scientific, Inc. NJ 5.03,9.01 06/20/13
Kennedy-Wilson Holdings, Inc. DE 5.07 06/20/13
Kennedy-Wilson Holdings, Inc. DE 5.07 06/20/13 AMEND
KERYX BIOPHARMACEUTICALS INC DE 5.02,5.07,9.01 06/18/13
Kodiak Oil & Gas Corp B0 5.07 06/19/13
KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 06/17/13
Landmark Apartment Trust of America, 5.03,9.01 06/17/13
Liberty Global plc X0 2.03,9.01 06/17/13
Lone Star Gold, Inc. NV 1.01,2.03 06/17/13
LPATH, INC NV 3.03,5.03, 06/19/13
5.07,8.01,9.01
LUFKIN INDUSTRIES INC TX 8.01 06/20/13
MAGELLAN HEALTH SERVICES INC DE 8.01 06/20/13
Mallinckrodt plc 2.02,5.02,7.01,9.01 06/17/13
Mast Therapeutics, Inc. DE 5.02,5.07,9.01 06/19/13
MENS WEARHOUSE INC TX 5.02 06/20/13
MGE ENERGY INC WI 1.01,2.03,9.01 06/19/13
Midway Gold Corp A1 5.07,7.01,9.01 06/20/13
Midwest Energy Emissions Corp. DE 7.01,9.01 06/18/13
MITCHAM INDUSTRIES INC TX 1.01 06/12/13
MONARCH COMMUNITY BANCORP INC MD 7.01,9.01 06/21/13
MORGAN STANLEY DE 8.01,9.01 06/21/13
Morgans Hotel Group Co. DE 2.04 06/17/13
MVB FINANCIAL CORP WV 5.02 06/18/13
NATIONAL HOLDINGS CORP DE 1.01,8.01,9.01 06/20/13
NATUS MEDICAL INC DE 5.02 06/19/13
Naugatuck Valley Financial Corp 5.07 06/20/13
Neohydro Technologies Corp. NV 1.01,9.01 06/17/13
NEUSTAR INC 5.07 06/18/13
NEUSTAR INC 8.01,9.01 06/21/13
Neutral Tandem Inc 5.07 06/19/13
NEW ENERGY TECHNOLOGIES, INC. 8.01 06/19/13
New Western Energy Corp NV 7.01,9.01 06/18/13
NIKE INC OR 5.02,5.03,9.01 06/20/13
NPS PHARMACEUTICALS INC DE 2.02 06/21/13
NxStage Medical, Inc. DE 5.02 06/20/13
Oconee Federal Financial Corp. 8.01,9.01 06/19/13
OLD NATIONAL BANCORP /IN/ IN 7.01 06/21/13
OMNICARE INC DE 8.01 06/21/13
OP TECH ENVIRONMENTAL SERVICES INC DE 1.01,1.02,2.03,9.01 06/21/13
OptimumBank Holdings, Inc. FL 3.01,8.01,9.01 06/19/13
ORBCOMM Inc. DE 9.01 04/01/13 AMEND
Organic Treehouse Ltd. NV 5.03,8.01,9.01 06/20/13
Oritani Financial Corp DE 8.01 06/21/13
OSI SYSTEMS INC DE 8.01,9.01 06/21/13
PAN AMERICAN GOLDFIELDS LTD DE 5.07,8.01,9.01 06/17/13
Patriot Coal CORP DE 7.01,9.01 06/21/13
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 3.01 06/19/13
PERVASIP CORP NY 8.01 06/21/13
PHARMACYCLICS INC DE 7.01,9.01 06/21/13
PharMerica CORP DE 8.01 06/20/13
Plymouth Opportunity REIT Inc. MD 5.07 06/17/13
PMI GROUP INC DE 7.01,9.01 06/21/13
Premier Power Renewable Energy, Inc. DE 1.01,2.01,5.02,9.01 06/14/13
PROGENICS PHARMACEUTICALS INC DE 1.01,8.01,9.01 06/20/13
PROSPECT GLOBAL RESOURCES INC. NV 1.01,8.01,9.01 06/20/13
ProText Mobility, Inc. DE 8.01 06/20/13
QUICKSILVER RESOURCES INC DE 1.01,2.03, 06/21/13
3.03,8.01,9.01
RECOVERY ENERGY, INC. NV 1.01,2.03, 06/18/13
3.02,8.01,9.01
Red Lion Hotels CORP WA 1.01,2.03,9.01 06/20/13
RELIABILITY INC TX 8.01 06/21/13
REPROS THERAPEUTICS INC. DE 5.07 06/18/13
REPROS THERAPEUTICS INC. DE 8.01 06/20/13
RITE AID CORP DE 1.01,2.03,8.01,9.01 06/21/13
ROADSHIPS HOLDINGS, INC. DE 3.02,5.03,9.01 06/20/13
ROBERTS REALTY INVESTORS INC GA 1.01 06/18/13
Roebling Financial Corp, Inc. 5.07 06/17/13
ROYAL HAWAIIAN ORCHARDS, L.P. DE 5.02,9.01 06/19/13
SANUWAVE Health, Inc. NV 8.01,9.01 06/21/13
SCG Financial Acquisition Corp. DE 5.02,9.01 06/21/13
SERENA SOFTWARE INC DE 3.02,5.02,9.01 06/17/13
SKYWEST INC UT 1.01 06/17/13
SmartPros Ltd. DE 5.07 06/20/13
SMITHFIELD FOODS INC VA 2.02,9.01 06/21/13
Smokin Concepts Development Corp CO 5.02 06/20/13
SPRINT NEXTEL CORP KS 1.01,8.01,9.01 06/20/13
STAGE STORES INC NV 5.02 06/14/13
Station Casinos LLC NV 5.02 06/17/13
Stereotaxis, Inc. DE 3.01 06/21/13
STONE ENERGY CORP DE 7.01,9.01 06/21/13
STONEMOR PARTNERS LP DE 1.01,2.03,9.01 06/18/13
STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 06/17/13
STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 06/17/13
STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 06/17/13
STRATS SM TRUST FOR U S CELL CORP SEC 8.01,9.01 06/17/13
STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 06/17/13
STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 06/17/13
STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 06/17/13
STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 06/17/13
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 06/17/13
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 06/17/13
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 06/17/13
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 06/17/13
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 06/17/13
Swingplane Ventures, Inc. NV 2.01,5.02,8.01 06/13/13
TAUBMAN CENTERS INC MI 8.01 06/20/13
Taylor Morrison Home Corp DE 5.02,9.01 06/19/13
TearLab Corp DE 5.02,9.01 06/20/13
TECUMSEH PRODUCTS CO MI 5.02,7.01,9.01 06/19/13
Texas Gulf Energy Inc NV 1.01,5.02 06/19/13
TG THERAPEUTICS, INC. DE 1.01,9.01 06/21/13
THERAVANCE INC DE 8.01,9.01 06/21/13
THERAVANCE INC DE 1.02 06/21/13
TIVO INC DE 7.01,9.01 06/20/13
TORVEC INC NY 5.07,8.01 06/19/13
TransDigm Group INC DE 7.01,9.01 06/21/13
Travelport LTD D0 5.02 06/18/13
TRINITY INDUSTRIES INC DE 1.01,2.03,9.01 06/17/13
U-SWIRL, INC. NV 9.01 01/14/13 AMEND
United Continental Holdings, Inc. DE 1.01 06/17/13
UNITED STATES ANTIMONY CORP MT 1.01 06/21/13
UNWIRED PLANET, INC. DE 5.02,9.01 06/19/13
USA TECHNOLOGIES INC PA 7.01,9.01 06/21/13
UWHARRIE CAPITAL CORP NC 2.02,9.01 06/20/13
VALUEVISION MEDIA INC MN 5.02,5.07,9.01 06/19/13
Vanda Pharmaceuticals Inc. DE 5.07 06/20/13
VASCO DATA SECURITY INTERNATIONAL INC DE 5.07,8.01,9.01 06/19/13
W270, INC. NV 3.03,5.03,9.01 06/17/13
WAVE SYSTEMS CORP DE 5.07,8.01,9.01 06/20/13
Western Asset Mortgage Capital Corp DE 7.01,9.01 06/20/13
WEYERHAEUSER CO WA 8.01,9.01 06/18/13
WireCo WorldGroup Inc. 7.01 06/21/13
WRIGHT MEDICAL GROUP INC DE 1.01,8.01,9.01 06/18/13
X-Factor Communications Holdings, Inc DE 5.02 04/25/13
XcelMobility Inc. NV 4.02,8.01,9.01 06/17/13
Xhibit Corp. NV 5.02,9.01 06/21/13
ZIOPHARM ONCOLOGY INC DE 5.07 06/19/13
http://www.sec.gov/news/digest/2013/dig062413.htm
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