Commission Suspends Trading of Norstra Energy Inc.
The Securities and Exchange Commission (“Commission”) ordered the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the “Exchange Act”), of trading in the securities of Norstra Energy Inc. (“Norstra”), quoted on OTC Link, operated by OTC Markets Group, Inc., because of questions regarding the adequacy and accuracy of information about Norstra, including, among other things, its business operations. Norstra’s ticker symbol is NORX.
The trading suspension will last for ten business days. The trading suspension commenced at 9:30 a.m. EST on June 26, 2013, and terminates at 11:59 p.m. EST on July 10, 2013.
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 Norstra.
Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to the above-named securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. 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. (Rel. 34-69859)
Commission Charges Medical Imaging Device Company and Its CEO with Fraud
The Commission today announced that it filed fraud charges on Tuesday against Burbank, Calif.-based Imaging3, Inc., and its founder and chief executive Dean Janes for misleading shareholders about the Federal and Drug Administration (FDA)’s view of the company’s medical device.
The SEC’s complaint alleges that Janes held a conference call with investors in November 2010 after the FDA denied clearance for Imaging3, Inc. to market its proprietary scanner, which provides three-dimensional images for use in medical diagnosis. The denial was the product’s third, as the FDA denied clearance in 2008 and earlier in 2010. Even though the FDA cited concerns about the safety of the device and the quality of the images, Janes told investors that the FDA’s issues were “not substantive” and largely “administrative.”
“Shareholders have a right to trust corporate officers to tell them the truth about the business. When CEOs abuse that trust and make misstatements, innocent shareholders are victimized,” said Michele Wein Layne, Regional Director of the SEC’s Los Angeles Regional Office. “The SEC will hold corporate officers accountable for misleading shareholders.”
According to the SEC’s complaint, filed in the U.S. District Court for the Central District of California, on the conference call, Janes did not discuss the issues raised by the FDA in an October 2010 letter, such as the device’s potential for over-heating, and the fact that some sample images the company submitted were “scientifically invalid and useless.”
Even when asked on the call whether any of the FDA’s concerns were “safety-related” or involved image quality, Janes said, “Nope,” and that there was “really and honestly not one question about the technology or its consistency. It just doesn’t make sense to me.”
After an investor obtained the FDA’s denial letter and posted it on an Internet blog in early 2011, Janes used his personal Facebook page in another effort to mischaracterize the denial, the SEC alleged. Janes and his company didn’t officially issue the full text of the denial letter until earlier this year, more than two years after the call to discuss it.
The SEC's action charges Imaging3, Inc. and Janes with fraud and seeks a court order to bar them from future violations of federal securities laws, require them to pay civil monetary penalties, and bar Janes from serving as a public company officer or director. (Press Rel. 2013-117; LR-22733)
In the Matter of Bruce W. Tomlinson, CPA
On June 26, 2013, the Commission issued 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 Bruce W. Tomlinson based on the entry on June 20, 2013 of a final judgment imposing a permanent injunction against Tomlinson in SEC v. Bruce W. Tomlinson, Civil No. 3:13-cv-02549-JCS (N.D. Cal.). Tomlinson consented to the entry of the final judgment in the civil action without admitting or denying the allegations in the complaint and consented to the issuance of the Order without admitting or denying the Commission’s findings, except that he admitted the Commission’s jurisdiction over him and the subject matter of the proceeding and that a final judgment had been entered in the civil action imposing a permanent injunction and other relief.
The Order finds that Tomlinson was the vice president, principal accounting officer, and controller of InterMune, Inc., a pharmaceutical development company, from 2008 through June 2012. The Order further finds that Tomlinson has been licensed as a certified public accountant in the State of California since 1988. His license is currently inactive.
The Order further finds that the Commission’s complaint alleged that Tomlinson engaged in insider trading by tipping a friend and former business associate, Michael Sarkesian, to material nonpublic information Tomlinson had become privy to in the course of his employment and in advance of a December 17, 2010 announcement that the European Medicines Agency’s Committee for Medicinal Products for Human Use had recommended that a European Union commission approve InterMune’s Marketing Authorization Application for marketing its drug, Esbriet, in the EU. The complaint alleged that on December 7 and 8, 2010, in advance of the December 17, 2010 announcement, Sarkesian directed the purchase of InterMune call options which resulted in imputed profits of $616,000. As noted in the Order, the final judgment permanently enjoins Tomlinson from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, requires Tomlinson to pay $616,000 in civil money penalties, and prohibits him from serving as an officer or director of any publicly-traded company for five years.
The Commission’s Order suspends Tomlinson from appearing or practicing before the Commission as an accountant, with the right to apply for reinstatement after five years. (Rel. 34- 69860; AAE Rel. 3465; File No. 3-15365)
ACS Wireless, Inc.
A notice has been issued giving interested persons until July 18, 2013 to request a hearing on an application filed by ACS Wireless, Inc. (“ACS Wireless”) for an order under section 3(b)(2) of the Investment Company Act declaring ACS Wireless to be primarily engaged in a business other than that of investing, reinvesting, owning, holding, or trading in securities. (IC-30567)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-20) to amend Footnote 4 of the Exchange’s Fee Schedule regarding Retail Orders 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 July 1st. (Rel. 34-69852)
A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. (“FINRA”) (SR-FINRA-2013-026) to amend FINRA Rule 5123, Private Placement of Securities, to codify the requirements for members to file the Private Placement Form via FINRA Firm Gateway in connection with their compliance with Rule 5123, as set forth in FINRA Regulatory Notice 12-40 has become immediately 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 July 1st. (Rel. 34-69843)
A proposed rule change filed by the BOX Options Exchange LLC (SR-BOX-2013-33) to amend Interpretive Material to Rule 7150 (Price Improvement Period “PIP”) to extend a pilot program that permits the Exchange to have no minimum size requirement for orders entered into the PIP 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 July 1st. (Rel. 34-69846)
A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2013-084) to modify fees for third party market data delivered by NASDAQ has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69844)
A proposed rule change filed by NASDAQ OMX PHLX LLC to establish an acceptable trade range for orders and quotes on PHLX XL (SR-Phlx-2013-69) 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 July 1st. (Rel. 34-69848)
A proposed rule change (SR-ISE-2013-41) filed by the International Securities Exchange, LLC to extend the Price Improvement Mechanism pilot program has become effective under Section 19(b)(3)(A) under the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69853)
A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-20) to amend Footnote 4 of the Exchange’s Fee Schedule regarding Retail Orders has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69852)
A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2013-16) to offer and establish fees for a new exchange service, EdgeRisk Gateways, has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69856)
A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-21) to offer and establish fees for a new exchange service, EdgeRisk Gateways, has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69855)
Notice of Proposed Rule Change
Pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, New York Stock Exchange LLC has filed a proposed rule change (SR-NYSE-2013-42), relating to a corporate transaction in which its indirect parent, NYSE Euronext, will become a wholly owned subsidiary of IntercontinentalExchange Group, Inc. Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69851)
NYSE Arca, Inc. has filed a proposed rule change (SR-NYSEArca-2013-61) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, proposing to list and trade units of the First Trust Gold Trust pursuant to NYSE Arca Inc. Equities Rule 8.201. Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69847)
Pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, NYSE MKT LLC has filed a proposed rule change (SR-NYSEMKT-2013-50), relating to a corporate transaction in which its indirect parent, NYSE Euronext, will become a wholly owned subsidiary of IntercontinentalExchange Group, Inc. Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69849)
Pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, NYSE Arca, Inc. has filed a proposed rule change (SR-NYSEArca-2013-62), relating to a corporate transaction in which its indirect parent, NYSE Euronext, will become a wholly owned subsidiary of IntercontinentalExchange Group, Inc. Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69850)
Approval of a Proposed Rule Change
The Commission granted approval of a proposed rule change, as modified by Amendment No. 1, (SR-Phlx-2013-46) submitted by NASDAQ OMX PHLX LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, regarding Complex Order PIXL. Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69845)
Notice of Order Granting Amended Application for Permanent Registration as a Clearing Agency
The Commission has granted the Fixed Income Clearing Corporation’s amended application for registration as a clearing agency pursuant to Sections 17A(b) and 19(a)(1) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69838)
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-1 SOLAR WIND ENERGY TOWER, INC., 1997 ANNAPOLIS EXCHANGE BLVD., SUITE 300, ANNAPOLIS, MD, 21401, 410-972-4713 - 44,000,000 ($976,800.00) Equity, (File 333-189562 - Jun. 25) (BR. 09A) S-1 SFX Entertainment, INC, 430 PARK AVENUE, 6TH FLOOR, NEW YORK, NY, 10022, 646-561-6400 - 0 ($175,000,000.00) Equity, (File 333-189564 - Jun. 25) (BR. 05B) S-8 AVEO PHARMACEUTICALS INC, 75 SIDNEY STREET, 4TH FLOOR, CAMBRIDGE, MA, 02139, 6172995000 - 0 ($8,749,860.00) Equity, (File 333-189565 - Jun. 25) (BR. 01A) S-8 JONES GROUP INC, 1411 BROADWAY, NEW YORK, NY, 10018, 2126423860 - 3,250,000 ($43,826,250.00) Equity, (File 333-189566 - Jun. 25) (BR. 09A) S-3ASR Bank of New York Mellon CORP, ONE WALL STREET, NEW YORK, NY, 10286, 212-495-1784 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-189568 - Jun. 25) (BR. 12A) S-3ASR Bank of New York Mellon CORP, ONE WALL STREET, NEW YORK, NY, 10286, 212-495-1784 - 0 ($106,593,837.70) Equity, (File 333-189569 - Jun. 25) (BR. 12A) S-8 RAINMAKER SYSTEMS INC, 900 EAST HAMILTON AVENUE, SUITE 400, CAMPBELL, CA, 95008, 4086263800 - 1,200,000 ($420,000.00) Equity, (File 333-189571 - Jun. 25) (BR. 08C) S-8 MITEL NETWORKS CORP, 350 LEGGET DRIVE, KANATA ONTARIO CANADA K2K 2W7, A6, 00000, 6135922122 - 0 ($6,118,665.00) Equity, (File 333-189572 - Jun. 25) (BR. 11C) S-8 Zoetis Inc., 100 CAMPUS DRIVE, FLORHAM PARK, NJ, 07932, 973-822-7000 - 0 ($152,462,500.00) Equity, 0 ($55,000,000.00) Other, (File 333-189573 - Jun. 25) (BR. 01B) S-1 Marathon Patent Group, Inc., 2331 MILL ROAD, SUITE 100, ALEXANDRIA, VA, 22314, (703) 232-1701 - 9,361,077 ($3,557,210.00) Equity, (File 333-189574 - Jun. 25) (BR. 06C) S-4 MOMENTIVE SPECIALTY CHEMICALS INC., 180 EAST BROAD ST, 26TH FLOOR, COLUMBUS, OH, 43215, 6142254000 - 0 ($1,100,000,000.00) Non-Convertible Debt, (File 333-189575 - Jun. 25) (BR. 06B) S-4 MOMENTIVE SPECIALTY CHEMICALS INC., 180 EAST BROAD ST, 26TH FLOOR, COLUMBUS, OH, 43215, 6142254000 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-189576 - Jun. 25) (BR. 06B) S-8 NEOPHOTONICS CORP, 2911 ZANKER ROAD, SAN JOSE, CA, 951342125, 4082329200 - 3,169,115 ($26,240,272.20) Equity, (File 333-189577 - Jun. 25) (BR. 11A) S-8 DOMINION RESOURCES INC /VA/, 120 TREDEGAR STREET, RICHMOND, VA, 23219, 8048192000 - 6,000,000 ($329,400,000.00) Equity, (File 333-189578 - Jun. 25) (BR. 02A) S-8 DOMINION RESOURCES INC /VA/, 120 TREDEGAR STREET, RICHMOND, VA, 23219, 8048192000 - 1,680,000 ($92,232,000.00) Equity, (File 333-189579 - Jun. 25) (BR. 02A) S-8 DOMINION RESOURCES INC /VA/, 120 TREDEGAR STREET, RICHMOND, VA, 23219, 8048192000 - 66,000 ($3,623,400.00) Equity, (File 333-189580 - Jun. 25) (BR. 02A) S-8 DOMINION RESOURCES INC /VA/, 120 TREDEGAR STREET, RICHMOND, VA, 23219, 8048192000 - 78,000 ($4,282,200.00) Equity, (File 333-189581 - Jun. 25) (BR. 02A) S-3 BROOKS AUTOMATION INC, 15 ELIZABETH DRIVE, CHELMSFORD, MA, 01824, (978) 262-2400 - 0 ($200,000,000.01) Unallocated (Universal) Shelf, (File 333-189582 - Jun. 25) (BR. 10A) S-8 Entia Biosciences, Inc., PO BOX 910, STEVENSON, WA, 98648, 509-427-5132 - 1,550,000 ($620,000.00) Equity, (File 333-189584 - Jun. 25) (BR. 11A) S-4 BNC BANCORP, 1226 EASTCHESTER DRIVE, HIGH POINT, NC, 27265, 3364769200 - 982,898 ($8,044,556.00) Equity, (File 333-189585 - Jun. 25) (BR. 07C) S-8 ROCKWELL MEDICAL, INC., 30142 S WIXOM RD, WIXOM, MI, 48393, 2489609009 - 0 ($5,850,000.00) Equity, (File 333-189586 - Jun. 25) (BR. 10B) S-1 Abtech Holdings, Inc., 1223 BURROWHILL LANE, MISSISSAUGA, A6, L5H 4M7, 905-274-5231 - 8,536,156 ($5,676,544.00) Equity, (File 333-189587 - Jun. 25) (BR. 06B) S-8 MERGE HEALTHCARE INC, 200 E. RANDOLPH STREET, 24TH FLOOR, CHICAGO, IL, 60601-3436, 312-565-6868 - 2,000,000 ($6,810,000.00) Equity, (File 333-189588 - Jun. 25) (BR. 03C) S-8 CAMERON INTERNATIONAL CORP, 1333 WEST LOOP SOUTH, STE 1700, HOUSTON, TX, 77027, 7135133322 - 0 ($151,591,200.00) Equity, (File 333-189589 - Jun. 25) (BR. 04B)
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 1st Financial Services CORP NC 5.07 06/24/13 ACTIVECARE, INC. DE 2.01,9.01 06/13/13 Aegerion Pharmaceuticals, Inc. DE 1.01 06/19/13 Aegion Corp DE 1.01,7.01,9.01 06/21/13 AeroVironment Inc DE 2.02,9.01 06/25/13 AETHLON MEDICAL INC NV 8.01,9.01 06/20/13 ALASKA PACIFIC BANCSHARES INC AK 5.02,9.01 06/20/13 Aly Energy Services, Inc. DE 8.01,9.01 06/25/13 Aly Energy Services, Inc. DE 4.01,9.01 06/25/13 AMBIENT CORP /NY DE 1.01,9.01 06/19/13 AMERICAN BIO MEDICA CORP NY 5.07 06/20/13 AMERICAN CAMPUS COMMUNITIES INC MD 7.01,9.01 06/25/13 AMERICAN ELECTRIC POWER CO INC NY 7.01 06/25/13 AMERICAN MEDIA INC DE 2.02,9.01 06/25/13 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 5.07 06/24/13 American Residential Properties, Inc. MD 2.02,9.01 06/24/13 Amwest Imaging Inc NV 4.01,9.01 06/21/13 APOLLO GROUP INC AZ 2.02,5.02,9.01 06/21/13 Applied Minerals, Inc. DE 8.01,9.01 06/25/13 Artisan Partners Asset Management Inc DE 5.02,9.01 06/25/13 Asia Green Agriculture Corp NV 5.07 06/25/13 ASTA FUNDING INC DE 5.02,5.07 06/19/13 AtheroNova Inc. DE 5.07 06/19/13 Bacterin International Holdings, Inc. DE 3.01,7.01,9.01 06/21/13 BALCHEM CORP MD 5.07,9.01 06/20/13 BANK JOS A CLOTHIERS INC /DE/ DE 5.07 06/21/13 BARNES & NOBLE INC DE 2.02,9.01 06/25/13 BARRY R G CORP /OH/ OH 5.02 06/19/13 Bazaarvoice Inc DE 5.02 06/19/13 3.02,5.02,5.03,9.01 BEACON ENTERPRISE SOLUTIONS GROUP INC NV 1.01,2.01,2.03, 06/25/13 BioFuel Energy Corp. 5.07 06/20/13 BIOLIFE SOLUTIONS INC DE 5.07 06/20/13 BIOLOGIX HAIR INC. NV 1.01,3.02,9.01 05/21/13 BJs RESTAURANTS INC CA 8.01,9.01 06/25/13 BlueLinx Holdings Inc. DE 2.05,7.01,9.01 06/24/13 Bnet Media Group, Inc. NV 5.02,9.01 06/21/13 BOB EVANS FARMS INC DE 7.01,9.01 06/24/13 BOISE CASCADE Co DE 7.01 06/25/13 BreitBurn Energy Partners L.P. DE 1.01,7.01,9.01 06/22/13 BUTLER NATIONAL CORP DE 8.01,9.01 06/25/13 CAMDEN NATIONAL CORP ME 8.01,9.01 06/25/13 CAMERON INTERNATIONAL CORP DE 8.01,9.01 06/24/13 Carbon Natural Gas Co DE 7.01 06/25/13 Cardinal Energy Group, Inc. NV 5.02,9.01 06/24/13 CARNIVAL CORP DE 2.02,9.01 06/25/13 CARNIVAL CORP DE 5.02,9.01 06/24/13 CAS MEDICAL SYSTEMS INC DE 5.02,5.07,9.01 06/20/13 CATALYST PHARMACEUTICAL PARTNERS, INC DE 3.01,9.01 06/25/13 CENTRAL EUROPEAN MEDIA ENTERPRISES LT 3.02,9.01 06/25/13 CHIMERIX INC DE 8.01,9.01 06/25/13 CHINA HEALTH RESOURCE, INC. DE 3.02,9.01 06/19/13 CHRISTOPHER & BANKS CORP DE 5.02,9.01 06/25/13 AMEND CIBER INC DE 8.01 06/24/13 CINCINNATI BELL INC OH 5.02 06/19/13 CITIGROUP INC DE 9.01 06/25/13 CITY NATIONAL CORP DE 5.02,9.01 06/19/13 Clearwire Corp /DE DE 8.01,9.01 06/25/13 Colonial Financial Services, Inc. 5.07,9.01 06/20/13 AMEND Colt Defense LLC DE 1.01,2.03,9.01 06/25/13 COMMUNITY FINANCIAL SHARES INC DE 3.03,5.03,9.01 06/25/13 Community Partners Bancorp NJ 5.07 05/08/13 AMEND Comstock Holding Companies, Inc. DE 5.07 06/21/13 CONOLOG CORP DE 5.02 06/20/13 CONSUMER PORTFOLIO SERVICES INC CA 1.01,2.03,9.01 06/19/13 CORNING INC /NY NY 2.03 06/24/13 CORNING NATURAL GAS CORP NY 1.01,9.01 06/21/13 CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 5.07 06/19/13 Corporate Resource Services, Inc. DE 8.01,9.01 06/25/13 COUPON EXPRESS, INC. NV 5.02 06/19/13 CSG SYSTEMS INTERNATIONAL INC DE 7.01,9.01 06/25/13 CSS INDUSTRIES INC DE 8.01 06/24/13 CYNOSURE INC 2.01,5.02, 06/24/13 5.07,8.01,9.01 CYTOKINETICS INC 5.03 06/24/13 CYTOKINETICS INC 1.01 06/25/13 DALECO RESOURCES CORP NV 5.07 06/20/13 DANA HOLDING CORP DE 1.01,2.03,9.01 06/20/13 Delek Logistics Partners, LP DE 7.01,9.01 06/25/13 Delta Tucker Holdings, Inc. DE 1.01,9.01 06/19/13 Dewmar International BMC, Inc. NV 1.01,4.01,9.01 04/30/13 DIGITAL ANGEL CORP DE 1.01,7.01,9.01 06/24/13 DOMINION RESOURCES INC /VA/ VA 8.01,9.01 06/25/13 AMEND DXP ENTERPRISES INC TX 5.07 06/25/13 DYAX CORP DE 1.01 06/21/13 EATON VANCE CORP MD 1.01,2.03,9.01 06/25/13 Emerald Oil, Inc. MT 7.01,9.01 06/25/13 EMERSON ELECTRIC CO MO 7.01 06/25/13 ENNIS, INC. TX 2.02,9.01 06/24/13 ERBA Diagnostics, Inc. DE 7.01,9.01 06/19/13 EXPERIENCE ART & DESIGN, INC. NV 4.01,9.01 06/19/13 Federal Home Loan Bank of Atlanta X1 2.03 06/19/13 Federal Home Loan Bank of Boston X1 2.03 06/20/13 Federal Home Loan Bank of Chicago X1 2.03 06/20/13 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 06/19/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 06/25/13 Federal Home Loan Bank of New York X1 2.03,9.01 06/20/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 06/19/13 Federal Home Loan Bank of San Francis X1 2.03 06/19/13 Federal Home Loan Bank of Seattle 2.03 06/20/13 Federal Home Loan Bank of Topeka 2.03,9.01 06/20/13 FIRST INDUSTRIAL REALTY TRUST INC MD 5.02,9.01 06/25/13 FLUSHING FINANCIAL CORP DE 8.01,9.01 06/25/13 FORTINET INC 5.07 06/20/13 FRANKLIN COVEY CO UT 8.01 06/25/13 FREDERICK COUNTY BANCORP INC MD 8.01,9.01 06/25/13 FREEPORT MCMORAN COPPER & GOLD INC DE 8.01,9.01 06/24/13 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 06/25/13 FS Energy & Power Fund DE 1.01,2.03,9.01 06/24/13 FS Investment CORP MD 2.02,8.01 06/25/13 FUELCELL ENERGY INC DE 8.01,9.01 06/25/13 Genesis Biopharma, Inc NV 5.02,9.01 06/19/13 GENVEC INC DE 3.01 06/25/13 GEOVIC MINING CORP. DE 5.07 06/21/13 Gramercy Property Trust Inc. MD 7.01,9.01 06/25/13 GRYPHON GOLD CORP NV 7.01,9.01 06/24/13 GULFMARK OFFSHORE INC DE 1.01,9.01 06/20/13 HARVEST NATURAL RESOURCES, INC. DE 8.01,9.01 06/24/12 HEALTH CARE REIT INC /DE/ DE 8.01 06/25/13 HEARTLAND PAYMENT SYSTEMS INC DE 1.01,9.01 06/20/13 HOME BANCSHARES INC 7.01,9.01 06/25/13 ICG GROUP, INC. DE 5.02,5.07,9.01 06/21/13 Ignite Restaurant Group, Inc. 2.01,9.01 04/09/13 AMEND IMPAX LABORATORIES INC DE 5.02 06/24/13 Innophos Holdings, Inc. 5.02 06/24/13 InterCore Energy, Inc. DE 5.01,5.02,9.01 04/24/13 INTERNATIONAL RECTIFIER CORP /DE/ DE 7.01,8.01,9.01 06/25/13 IXIA CA 5.02,5.07,9.01 06/19/13 JACKSONVILLE BANCORP INC /FL/ FL 5.02 06/24/13 JPMBB Commercial Mortgage Securities DE 8.01,9.01 06/25/13 KADANT INC DE 2.01,9.01 04/12/13 AMEND KEY ENERGY SERVICES INC MD 7.01,9.01 06/25/13 KEY TECHNOLOGY INC OR 5.02 06/19/13 KINDRED HEALTHCARE, INC DE 8.01,9.01 06/25/13 LabStyle Innovations Corp. DE 5.02,9.01 06/24/13 LADENBURG THALMANN FINANCIAL SERVICES FL 1.01,5.03,9.01 06/24/13 LAS VEGAS SANDS CORP NV 5.02 06/25/13 LENNAR CORP /NEW/ DE 2.02 06/25/13 Li3 Energy, Inc. NV 7.01,9.01 06/24/13 Lifetech Industries Inc. NV 5.01,5.02,8.01 06/25/13 Lifevantage Corp CO 5.02,9.01 06/18/13 LIFEWAY FOODS INC IL 5.03,5.07,9.01 06/20/13 LOCAL Corp DE 1.01,9.01 06/21/13 LUCAS ENERGY, INC. NV 7.01,9.01 06/25/13 MANAS PETROLEUM Corp NV 1.01,8.01,9.01 12/31/12 AMEND MATERION Corp 2.03,9.01 06/20/13 MCKESSON CORP DE 5.02,7.01,9.01 06/20/13 MeetMe, Inc. DE 7.01,9.01 06/25/13 MENS WEARHOUSE INC TX 5.02,9.01 06/24/13 MENS WEARHOUSE INC TX 8.01,9.01 06/25/13 MGT CAPITAL INVESTMENTS INC DE 7.01,9.01 06/25/13 Mistras Group, Inc. DE 2.02,9.01 06/25/13 MITEK SYSTEMS INC DE 1.01,8.01,9.01 06/25/13 Monster Offers NV 8.01 06/19/13 Moody National REIT I, Inc. MD 9.01 04/09/13 AMEND MSC INDUSTRIAL DIRECT CO INC NY 8.01,9.01 06/24/13 NCL CORP Ltd. D0 1.01,1.02 06/21/13 NORDSTROM INC WA 8.01 06/25/13 NORTH BAY RESOURCES INC DE 1.01,9.01 06/24/13 Norwegian Cruise Line Holdings Ltd. 1.01,1.02 06/21/13 Nova Mining CORP 5.01,5.02,9.01 06/20/13 OFS Capital Corp DE 2.02,9.01 06/24/13 OHIO EDISON CO OH 8.01,9.01 06/20/13 OLD DOMINION ELECTRIC COOPERATIVE VA 5.02 06/24/13 ONEOK INC /NEW/ OK 7.01,9.01 06/24/13 ONEOK Partners LP DE 7.01,9.01 06/24/13 Organic Treehouse Ltd. NV 5.01,5.02 06/24/13 AMEND OURPETS CO CO 5.02,9.01 06/20/13 OURPETS CO CO 1.01,2.03,9.01 06/20/13 Owens Realty Mortgage, Inc. MD 8.01,9.01 06/25/13 OXFORD INDUSTRIES INC GA 7.01,9.01 06/25/13 Oxford Resource Partners LP 1.01,2.03,3.02, 06/24/13 5.01,5.02,5.03, 7.01,9.01 Pacific Coast Oil Trust DE 2.02,9.01 06/25/13 PALOMAR MEDICAL TECHNOLOGIES INC DE 2.01,3.01,3.03, 06/24/13 5.01,5.02,5.03,9.01 PDL BIOPHARMA, INC. DE 8.01,9.01 06/25/13 PETROQUEST ENERGY INC DE 8.01,9.01 06/25/13 Pharmagen, Inc. NV 3.02,9.01 06/19/13 Pinacle Enterprise, Inc. 2M 4.01,9.01 06/25/13 Pingtan Marine Enterprise Ltd. E9 1.01,9.01 06/19/13 PINNACLE WEST CAPITAL CORP AZ 7.01,9.01 06/25/13 PLAINS ALL AMERICAN PIPELINE LP DE 7.01 06/24/13 Primco Management Inc. 4.01,9.01 06/25/13 PROGENICS PHARMACEUTICALS INC DE 8.01 06/25/13 PROSPECT GLOBAL RESOURCES INC. NV 8.01 06/24/13 PRUDENTIAL FINANCIAL INC NJ 4.01,9.01 06/25/13 QKL Stores Inc. DE 5.07 06/25/13 Rally Software Development Corp DE 5.02 06/19/13 Raptor Pharmaceutical Corp DE 8.01,9.01 06/25/13 RECOVERY ENERGY, INC. NV 7.01 06/25/13 REPROS THERAPEUTICS INC. DE 8.01,9.01 06/25/13 REVLON CONSUMER PRODUCTS CORP DE 8.01 06/25/13 REVLON INC /DE/ DE 8.01 06/25/13 Revolutionary Concepts Inc NV 1.01,2.01,3.02,9.01 12/07/12 AMEND ROYAL BANCSHARES OF PENNSYLVANIA INC PA 5.03,5.07,9.01 06/19/13 RPC INC DE 8.01,9.01 06/24/13 RUBY TUESDAY INC GA 5.02 06/21/13 S&W Seed Co NV 8.01,9.01 06/25/13 SANDRIDGE ENERGY INC DE 5.02 06/25/13 SENESCO TECHNOLOGIES INC DE 1.01,3.02,9.01 06/24/13 Silver Falcon Mining, Inc. DE 8.01 06/25/13 AMEND SKYWEST INC UT 9.01 12/07/12 AMEND SMITH & WESSON HOLDING CORP NV 2.02,9.01 06/25/13 SPRINT NEXTEL CORP KS 5.07,8.01,9.01 06/25/13 STEC, INC. CA 1.01,5.02,8.01,9.01 06/23/13 STEINER LEISURE Ltd C5 1.01,2.03,9.01 06/21/13 STEMLINE THERAPEUTICS INC DE 5.07 06/19/13 SYNAPTICS INC DE 2.02,9.01 06/25/13 SYNNEX CORP DE 2.02,9.01 06/25/13 Synthetic Biologics, Inc. NV 7.01,9.01 06/25/13 TAMM Oil & Gas Corp. NV 5.02,9.01 06/25/13 TechTarget Inc 5.07 06/21/13 TECUMSEH PRODUCTS CO MI 1.01,2.03,7.01,9.01 06/19/13 TIDEWATER INC DE 1.01,2.03,9.01 06/21/13 TIER REIT INC MD 1.01,5.03, 06/21/13 5.07,7.01,9.01 TOYS R US INC DE 2.02 06/25/13 TransDigm Group INC DE 7.01,9.01 06/25/13 Tree.com, Inc. DE 5.02 06/19/13 TripAdvisor, Inc. DE 1.01,2.03 06/20/13 Trovagene, Inc. DE 1.01 06/20/13 Truett-Hurst, Inc. DE 1.01,8.01,9.01 06/19/13 TTM TECHNOLOGIES INC WA 5.02,9.01 06/21/13 TWIN DISC INC WI 5.02,8.01,9.01 06/25/13 U-SWIRL, INC. NV 4.01,9.01 06/21/13 UMPQUA HOLDINGS CORP OR 7.01,9.01 06/25/13 URS CORP /NEW/ DE 8.01,9.01 06/25/13 AMEND VALLEY NATIONAL BANCORP NJ 7.01,9.01 06/25/13 VIASPACE Inc. 1.01,3.02,9.01 06/24/13 VITESSE SEMICONDUCTOR CORP DE 8.01,9.01 06/21/13 WALGREEN CO IL 2.02,7.01,9.01 06/25/13 WATERSTONE FINANCIAL INC WI 5.02 06/25/13 WEBSENSE INC DE 1.01,2.03,3.01, 06/25/13 3.02,3.03,5.01, 5.02,5.03,9.01 WELLS MID-HORIZON VALUE-ADDED FUND I 1.01 06/21/13 Whoopass Poker Corp DE 4.02 05/31/13 AMEND Wikifamilies, Inc. NV 1.01,9.01 06/24/13 WILLIAMS COMPANIES INC DE 7.01 06/25/13 Wireless Attachments, Inc. CO 4.01,9.01 06/25/13 Zep Inc. DE 8.01 06/20/13