U.S. Securities & Exchange Commission
SEC Seal
Home | Previous Page
U.S. Securities and Exchange Commission

SEC NEWS DIGEST

Issue 2013-124
June 28, 2013

ENFORCEMENT PROCEEDINGS

In the Matter of Brion G. Randall

The Securities and Exchange Commission (Commission) announced today the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing (Order) against Brion G. Randall based on the entry of a Permanent Injunction barring him from future violations of securities laws and his federal criminal convictions for mail and bank fraud.

In the Order, the Division of Enforcement (Division) alleges that on October 5, 2009, a judgment was entered against Randall in Securities and Exchange Commission v. 2Randall, et al., (Civil Action No. 3:09-CV-01465-O)(N.D. Tex.)), permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) or 206(2) of the Investment Advisers Act of 1940. The Division also alleges Randall was criminally convicted in United States v. Brion Randall, (Case No. 3:10-CR-117-O)(N.D. Tex.)), wherein Randall plead guilty to one count of mail fraud and one count of bank fraud in violation of Title 18 United States Code, Sections 1341 and 1344.

A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to provide the Respondent an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest.

The Order requires the Administrative Law Judge to issue an initial decision not later than 210 days from the date of service of the order instituting proceedings, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. (Rel. IA-3620; File No. 3-15366)

Exemptive orders

Order Granting Exemption under Section 17A of the Exchange Act

On June 27, 2013, the Commission issued an order granting conditional exemptive relief from the clearing agency registration requirement under Section 17A(b) of the Securities Exchange Act of 1934 for ICE Clear Europe Limited in connection with its proposal to clear contracts traded on the LIFFE Administration and Management market. (Rel. 34-69872)

Investment company orders

Charles Schwab Investment Management, Inc., et al.

A notice has been issued giving interested persons until July 22, 2013, to request a hearing on an application filed by Charles Schwab Investment Management, Inc., et al., for an order to permit: (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; (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; (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares; and (f) certain series to perform creations and redemptions of Shares in-kind in a master-feeder structure. (IC- 30584)

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Change

The Depository Trust Company ("DTC") filed a proposed rule change (File No. SR-DTC-2013-08) under Section 19(b)(1) of the Securities Exchange Act of 1934 to implement a fee associated with the expansion of DTC's ability to collect and pass through fees owed by DTC participants to American Depositary Receipt Agents.  Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69864)

The Depository Trust Company ("DTC") filed a proposed rule change (File No. SR-DTC-2013-07) under Section 19(b)(1) of the Securities Exchange Act of 1934 to harmonize and clarify language within the DTC Service Guides regarding restrictions on use of information and data distributed by DTC.  Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69866)

A proposed rule change (SR-CBOE-2013-066) filed by the Chicago Board Options Exchange, Incorporated relating to extending AIM pilot programs 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. 34-69867)

A proposed rule change filed by the C2 Options Exchange, Incorporated (SR-C2-2013-023) relating to extending the AIM pilot program 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. 34-69868)

A proposed rule change filed by the National Stock Exchange, Inc. to amend Rule 11.11 to automatically prevent the entry of Zero Display Reserve Orders marked "sell short" (SR-NSX-2013-13) 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. 34-69874)

A proposed rule change filed by EDGX Exchange, Inc. to amend EDGX Rule 11.5(c), NBBO Offset Peg Order (SR-EDGX-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 July 1st. (Rel. 34-69875)

A proposed rule change filed by EDGA Exchange, Inc. to amend EDGA Rule 11.5(c), NBBO Offset Peg Order (SR-EDGA-2013-17) 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. 34-69876)

A proposed rule change filed by The NASDAQ Stock Market LLC to amend Exchange Rule 4754 governing the NASDAQ Closing Cross (SR-NASDAQ-2013-090) 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. 34-69880)

The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-NYSEArca-2013-65) filed by NYSE Arca, Inc. pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 amending Exchange Rule 6.91 to modify the information disseminated at the initiation of a complex order auction. Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69882)

The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-NYSEMKT-2013-57) filed by NYSE MKT LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 amending Exchange Rule 980NY to modify the information disseminated at the initiation of a complex order auction.  Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69881)

Notice of Proposed Rule Change

Pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, BATS Exchange, Inc. has filed a proposed rule change (SR-BATS-2013-036), to introduce a connectivity option through Points of Presence.  Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69877)

Approval of a Proposed Rule Change

The Commission approved a proposed rule change submitted by EDGX Exchange, Inc. (SR-EDGX-2013-17) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to the EDGX Exchange, Inc.'s routing broker-dealer, as described in EDGX Rule 2.12(b).  Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69870).

The Commission approved a proposed rule change submitted by EDGA Exchange, Inc. (SR-EDGA-2013-13) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to the EDGA Exchange, Inc.'s routing broker-dealer, as described in EDGA Rule 2.12(b).  Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69871)

The Commission granted approval to a proposed rule change (SR-NYSE-2013-32) submitted by the New York Stock Exchange LLC proposing an amendment to the bylaws of its wholly-owned subsidiary, NYSE Regulation, Inc. ("NYSE Regulation"), to eliminate a requirement that not less than two members of the board of directors of NYSE Regulation must qualify as "fair representation candidates."  Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69869)

The Commission granted approval of a proposed rule change (SR-BATS-2013-024), submitted by BATS Exchange, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, amending and restating the Amended and Restated By-Laws of BATS Exchange, Inc.  Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69883)

The Commission granted approval of a proposed rule change (SR-BYX-2013-013), submitted by BATS Y-Exchange, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, amending and restating the Amended and Restated By-Laws of BATS Y-Exchange, Inc.  Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69884)

Designation of Longer Period for Commission Action on a Proposed Rule Change

The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change  (SR-NYSE-2013-33) filed by New York Stock Exchange LLC to: (i) delete the sections in the Listed Company Manual (the "Manual") containing the Listing Application Materials (including the Listing Application and the Listing Agreement) and adopt updated Listing Application Materials that will be posted on the Exchange's website; and (ii) adopt as new rules certain provisions that are currently included in the various forms of agreements that are in the Manual, as well as some additional new rules that make explicit existing Exchange policies with respect to initial listings. Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69878)

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-8     SANGAMO BIOSCIENCES INC, 501 CANAL BLVD, POINT RICHMOND TECH CNTR., 
        RICHMOND, CA, 94804, 5109706000 - 0 ($22,215,167.46) Equity, 
        (File 333-189621 - Jun. 27) (BR. 01A)

S-8     CDW Corp, 200 N MILWAUKEE AVE, VERNON HILLS, IL, 60061, 847-465-6000 - 
        0 ($292,374,636.00) Equity, (File 333-189622 - Jun. 27) (BR. 02B)

S-8     Epizyme, Inc., 400 TECHNOLOGY SQUARE, 4TH FLOOR, CAMBRIDGE, MA, 02139, 
        617-229-5872 - 0 ($54,669,700.04) Equity, (File 333-189629 - Jun. 27) 
        (BR. 01B)

S-1     Emerald Isle Explorations Ltd., 1218 PURTOV STREET, KODIAC, AK, 99615, 
        907-539-2222 - 1,000,000 ($35,000.00) Equity, (File 333-189630 - 
        Jun. 27) (BR. 09)

S-3ASR  FINISAR CORP, 1389 MOFFETT PARK DR, SUNNYVALE, CA, 94089, 4085481000 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-189631 - Jun. 27) 
        (BR. 10A)

S-1     Burlington Holdings, Inc., 1830 ROUTE 130 NORTH, BURLINGTON, NJ, 08016, 
        (609) 387-7800 - 0 ($175,000,000.00) Equity, (File 333-189632 - 
        Jun. 27) (BR. 02)

S-3ASR  KIMBERLY CLARK CORP, 351 PHELPS DRIVE, IRVING, TX, 75038, 9722811200 - 
        0 ($0.00) Other, (File 333-189633 - Jun. 27) (BR. 04B)

N-2     Grosvenor Registered Multi-Strategy Fund (W), LLC, 
        900 NORTH MICHIGAN AVENUE, SUITE 1100, CHICAGO, IL, 60611, 
        312-506-6500 - 0 ($200,000,000.00) Equity, (File 333-189634 - Jun. 27) 
        (BR. )

N-2     GROSVENOR REGISTERED MULTI-STRATEGY FUND (TI 1), LLC, 
        900 NORTH MICHIGAN AVENUE, SUITE 1100, CHICAGO, IL, 60611, 
        312-506-6500 - 0 ($100,000,000.00) Equity, (File 333-189635 - Jun. 27) 
        (BR. 22)

N-2     GROSVENOR REGISTERED MULTI-STRATEGY FUND (TI 2), LLC, 
        900 NORTH MICHIGAN AVENUE, SUITE 1100, CHICAGO, IL, 60611, 
        312-506-6500 - 0 ($100,000,000.00) Equity, (File 333-189636 - Jun. 27) 
        (BR. 22)

S-3ASR  INVESTORS REAL ESTATE TRUST, 1400 31ST AVENUE SW, SUITE 60, 
        PO BOX 1988, MINOT, ND, 58702-1988, 701-837-4738 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-189637 - Jun. 27) 
        (BR. 08B)

S-8     KELLOGG CO, ONE KELLOGG SQ, P O BOX 3599, BATTLE CREEK, MI, 49016-3599, 
        2699612000 - 0 ($31,745,000.00) Equity, (File 333-189638 - Jun. 27) 
        (BR. 04B)

N-2     ING SENIOR INCOME FUND, ING SENIOR INCOME FUND, 
        7337 E. DOUBLETREE RANCH ROAD, STE 100, SCOTTSDALE, AZ, 85258, 
        4804773000 - 0 ($10,000,000.00) Other, (File 333-189639 - Jun. 27) 
        (BR. 17)

S-4     Opko Health, Inc., 4400 BISCAYNE BLVD., SUITE 900, MIAMI, FL, 33137, 
        305-575-6015 - 0 ($442,425,553.00) Equity, (File 333-189640 - Jun. 27) 
        (BR. 01A)

S-1     EASTERN VIRGINIA BANKSHARES INC, P O BOX 1455, 330 HOSPITAL ROAD, 
        TAPPAHANNOCK, VA, 22560, 8044438400 - 
        9,890,111 ($23,389,093.00) Equity, 5,240,192 ($26,358,166.00) Other, 
        (File 333-189641 - Jun. 27) (BR. 07B)

S-4     RYERSON INC., 2621 WEST 15TH PLACE, CHICAGO, IL, 60608, 7737622121 - 
        0 ($900,000,000.00) Debt, (File 333-189642 - Jun. 27) (BR. 05B)

S-11    CBS OUTDOOR AMERICAS INC., 51 WEST 52ND STREET, NEW YORK, NY, 10019, 
        2122976400 - 0 ($100,000,000.00) Equity, (File 333-189643 - Jun. 27) 
        (BR. )

S-3ASR  QUANTA SERVICES INC, 2800 POST OAK BLVD, SUITE 2600, HOUSTON, TX, 
        77056-6175, 7133506000 - 3,909,110 ($100,034,124.90) Equity, 
        (File 333-189644 - Jun. 27) (BR. 06B)

S-1     Marlin Midstream Partners, LP, 2105 CITYWEST BOULEVARD, SUITE 100, 
        HOUSTON, TX, 77042, 832-217-1848 - 
        0 ($150,000,000.00) Limited Partnership Interests, (File 333-189645 - 
        Jun. 27) (BR. 02)

  

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

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



Accenture plc                           L2       2.02,9.01            06/27/13

ACCENTURE SCA                                    2.02,9.01            06/27/13

ACTIVE NETWORK INC                      DE       5.07                 06/21/13

Advaxis, Inc.                           DE       1.01,2.03,3.02,9.01  06/21/13

Alphatec Holdings, Inc.                 DE       5.07                 06/21/13

AMERICAN AIRLINES INC                   DE       8.01,9.01            06/26/13

American Capital Agency Corp                     5.07                 06/27/13    AMEND

AMERICAN PETRO-HUNTER INC               NV       1.01,1.02,3.02,9.01  06/24/13

AMR CORP                                DE       7.01,9.01            06/27/13

AMR CORP                                DE       1.01,2.03            06/27/13

APOGEE ENTERPRISES, INC.                MN       5.02,5.07,8.01,9.01  06/26/13

Apple REIT Eight, Inc.                  VA       8.01                 06/27/13

Apple REIT Nine, Inc.                   VA       8.01                 06/27/13

Apple REIT Seven, Inc.                  VA       8.01                 06/27/13

Ares Commercial Real Estate Corp        MD       5.07                 06/26/13

ARTS WAY MANUFACTURING CO INC           DE       8.01,9.01            06/26/13

BANCORPSOUTH INC                        MS       8.01,9.01            06/26/13

BANCORPSOUTH INC                        MS       9.01                 06/26/13    AMEND

BANK JOS A CLOTHIERS INC /DE/           DE       8.01,9.01            06/25/13

BANK OF SOUTH CAROLINA CORP             SC       8.01,9.01            06/27/13

BCB BANCORP INC                         DC       3.01                 06/25/13

Behringer Harvard Opportunity REIT II   MD       7.01,9.01            06/27/13

BGC Partners, Inc.                      DE       7.01,9.01            06/26/13

BIOSANTE PHARMACEUTICALS INC            DE       9.01                 06/19/13    AMEND

BofI Holding, Inc.                      DE       1.01,9.01            06/26/13

BOISE CASCADE Co                        DE       7.01,9.01            06/27/13

BUCKEYE TECHNOLOGIES INC                DE       8.01                 06/26/13

BURLINGTON COAT FACTORY WAREHOUSE COR   DE       7.01,9.01            06/27/13

BUTLER NATIONAL CORP                    DE       8.01,9.01            06/27/13

CalAmp Corp.                            DE       2.02,9.01            06/27/13

Capitol Acquisition Corp. II            DE       8.01,9.01            06/27/13

CATALYST PHARMACEUTICAL PARTNERS, INC   DE       8.01,9.01            06/27/13

CEDAR FAIR L P                          DE       2.02,7.01,9.01       06/27/13

CELL THERAPEUTICS INC                   WA       2.02,7.01,9.01       06/27/13

CH ENERGY GROUP INC                     NY       2.01,2.04,3.01,	 06/27/13
						3.03,5.01,5.02,5.03,7.01,9.01   

CHEROKEE INC                            DE       8.01                 06/27/13

CIRCLE STAR ENERGY CORP.                NV       3.02                 06/25/13

CITIGROUP INC                           DE       9.01                 06/27/13

CITY HOLDING CO                         WV       7.01                 06/27/13

Clearwire Corp /DE                      DE       8.01,9.01            06/26/13

CNL Healthcare Properties, Inc.         MD       1.01,9.01            06/21/13

COLUMBIA PROPERTY TRUST, INC.           MD       7.01,8.01            06/24/13

COMMERCIAL METALS CO                    DE       2.02,9.01            06/27/13

CommonWealth REIT                       MD       8.01,9.01            06/21/13

COMPETITIVE TECHNOLOGIES INC            DE       5.07                 06/27/13

COMPUSONICS VIDEO CORP                  CO       8.01                 06/27/13

CONAGRA FOODS INC /DE/                  DE       2.02,9.01            06/27/13

CONSUMERS BANCORP INC /OH/              OH       7.01,9.01            06/27/13

CORCEPT THERAPEUTICS INC                DE       5.02                 06/21/13

CORPORATE BOND BACKED CERT TR SER 199            8.01,9.01            06/17/13

CORRECTIONS CORP OF AMERICA             MD       8.01                 06/26/13

CORTLAND BANCORP INC                    OH       5.07                 06/25/13    AMEND

COWEN GROUP, INC.                       DE       7.01                 06/27/13

Customers Bancorp, Inc.                 PA       7.01,9.01            06/26/13

Cytosorbents Corp                                1.01,2.03,		 06/21/13
						3.02,7.01,9.01          

DAKOTA TERRITORY RESOURCE CORP          NV       8.01,9.01            06/27/13

DARLING INTERNATIONAL INC               DE       8.01,9.01            06/26/13

DAVI LUXURY BRAND GROUP, INC.           NV       3.02,4.01,5.02,9.01  06/24/13

Delanco Bancorp, Inc                             5.02,5.03,9.01       06/25/13

Desert Hawk Gold Corp.                  NV       1.01,2.03,3.02,5.02  04/30/13

DFC GLOBAL CORP.                        DE       8.01,9.01            06/27/13

Diamond Foods Inc                       DE       5.02                 06/25/13

DIRECTV                                 DE       8.01                 06/27/13

Dividend Capital Diversified Property   MD       8.01                 06/15/13

Domtar CORP                             DE       8.01                 06/24/13

DSW Inc.                                OH       7.01,9.01            06/27/13

DYAX CORP                               DE       7.01                 06/25/13

eCareer Holdings, Inc.                  NV       8.01                 06/25/13

EDUCATION MANAGEMENT CORPORATION                 5.02                 06/24/13

EMCORE CORP                             NJ       1.01,9.01            06/24/13

EMERITUS CORP\WA\                       WA       1.01                 06/27/13

ENDEAVOR IP, INC.                                8.01,9.01            06/27/13

ENTERGY CORP /DE/                       DE       5.07                 06/21/13

ENTRAVISION COMMUNICATIONS CORP         DE       8.01,9.01            06/26/13

ENVIRONMENTAL SCIENCE & TECHNOLOGIES,   DE       2.01,3.02,5.06,9.01  06/21/13

Federal Home Loan Bank of Atlanta       X1       2.03                 06/24/13

Federal Home Loan Bank of Chicago       X1       2.03                 06/24/13

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            06/25/13

Federal Home Loan Bank of Indianapoli   X1       5.02                 06/27/13

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            06/27/13

Federal Home Loan Bank of New York      X1       2.03,9.01            06/24/13

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            06/24/13

Federal Home Loan Bank of San Francis   X1       2.03                 06/24/13

Federal Home Loan Bank of Topeka                 2.03,9.01            06/25/13

Federal Home Loan Bank of Topeka                 3.03,7.01,9.01       06/21/13

FEDERAL MOGUL CORP                      DE       8.01,9.01            06/27/13

FINISAR CORP                            DE       8.01                 06/27/13

FINISH LINE INC /IN/                    IN       5.02,9.01            06/27/13

FIRST FEDERAL BANCSHARES OF ARKANSAS    AR       1.02                 06/21/13

FIRST RATE STAFFING Corp                DE       2.01,3.02,5.06,9.01  11/09/12    AMEND

FLOTEK INDUSTRIES INC/CN/               DE       5.02,7.01,9.01       06/21/13

Flux Power Holdings, Inc.               NV       8.01,9.01            06/26/13

FREEPORT MCMORAN COPPER & GOLD INC      DE       8.01,9.01            06/25/13    AMEND

FS Investment CORP                      MD       8.01,9.01            06/27/13

Fuelstream INC                          DE       1.02,5.02            06/27/13

FULLER H B CO                           MN       2.02,9.01            06/26/13

Fuse Science, Inc.                      NV       8.01,9.01            06/27/13

GameStop Corp.                          DE       5.07,9.01            06/25/13

GASTAR EXPLORATION LTD                           9.01                 06/27/13    AMEND

GEMINI EXPLORATIONS, INC.               NV       7.01                 06/27/13

GENERAL COMMUNICATION INC               AK       5.07,8.01            06/24/13

GENTHERM Inc                            MI       5.02,9.01            06/27/13

GENUINE PARTS CO                        GA       9.01                 06/27/13

GEOPETRO RESOURCES CO                   CA       3.01,9.01            06/21/13

GERMAN AMERICAN BANCORP, INC.           IN       5.02                 06/23/13

GMX RESOURCES INC                       OK       7.01,9.01            06/25/13

Golden Minerals Co                               5.02                 06/21/13

Gramercy Property Trust Inc.            MD       5.07                 06/25/13

GRAN TIERRA ENERGY INC.                 NV       5.07                 06/26/13

GREEN ENVIROTECH HOLDINGS CORP.         DE       1.01,9.01            06/27/13

GREEN HYGIENICS HOLDINGS INC.           NV       4.02,9.01            06/10/13    AMEND

GRYPHON GOLD CORP                       NV       7.01,9.01            06/27/13

GULF POWER CO                           FL       5.07                 06/25/13

Helmer Directional Drilling Corp.       NV       5.02                 06/14/13    AMEND

HERITAGE OAKS BANCORP                   CA       7.01,9.01            06/27/13

HOME BANCSHARES INC                              1.01,9.01            06/25/13    AMEND

HPEV, INC.                              NV       3.03,5.03,9.01       06/24/13

Hyatt Hotels Corp                       DE       5.02                 06/27/13

Hygeialand Biomedical Corp              NY       5.03,5.07,8.01,9.01  06/21/13

ICONIX BRAND GROUP, INC.                DE       1.01,2.03,5.02,9.01  06/21/13

IMPERIAL OIL LTD                                 7.01,9.01            06/26/13

inContact, Inc.                         DE       1.01,2.03            06/21/13

Industrial Income Trust Inc.            MD       8.01                 06/27/13

Interval Leisure Group, Inc.            DE       7.01,9.01            06/27/13

ISIS PHARMACEUTICALS INC                DE       5.02,5.07,9.01       06/25/13

JACKSONVILLE BANCORP INC /FL/           FL       5.02,5.03,9.01       06/27/13

JBI, INC.                               NV       8.01,9.01            06/27/13

KB HOME                                 DE       2.02,9.01            06/27/13

KEATING CAPITAL INC                              7.01,9.01            06/26/13

KKR Financial Holdings LLC              DE       8.01                 06/26/13

KULICKE & SOFFA INDUSTRIES INC          PA       5.02                 06/27/13

KV PHARMACEUTICAL CO /DE/               DE       8.01,9.01            06/21/13

LACLEDE GROUP INC                       MO       1.01,9.01            06/24/13

LAKE SHORE BANCORP, INC.                         5.07                 06/27/13    AMEND

LEGACY TECHNOLOGY HOLDINGS, INC.        CO       1.01,9.01            06/25/13

LEGG MASON, INC.                        MD       8.01                 06/27/13

LIFE PARTNERS HOLDINGS INC              TX       8.01,9.01            06/27/13

LIFETIME BRANDS, INC                    DE       1.01,8.01,9.01       06/21/13

LIGHTSTONE VALUE PLUS REAL ESTATE INV   MD       8.01,9.01            06/27/13

Lightstone Value Plus Real Estate Inv   MD       8.01,9.01            06/27/13

LIME ENERGY CO.                         DE       7.01,9.01            06/26/13

Location Based Technologies, Inc.       NV       7.01,9.01            06/18/13

LORILLARD, INC.                         DE       7.01,9.01            06/27/13

LRAD Corp                               DE       1.01,3.01,8.01,9.01  06/21/13

LUCAS ENERGY, INC.                      NV       5.02,9.01            06/24/13

MAC-GRAY CORP                           DE       5.03,9.01            06/24/13

MACC PEI LIQUIDATING TRUST                       8.01                 06/27/13

Mandalay Digital Group, Inc.            DE       7.01,9.01            06/26/13

MCCORMICK & CO INC                      MD       2.02,9.01            06/27/13

MEDTRONIC INC                           MN       5.02                 06/21/13

MGE ENERGY INC                          WI       1.01,2.03,9.01       06/19/13

MGIC INVESTMENT CORP                    WI       5.07                 06/27/13
 
MGT CAPITAL INVESTMENTS INC             DE       7.01                 06/21/13

Midwest Energy Emissions Corp.          DE       7.01,9.01            06/18/13    AMEND

Minerco Resources, Inc.                 NV       8.01,9.01            06/27/13

MITEK SYSTEMS INC                       DE       8.01,9.01            06/27/13

Molycorp, Inc.                          DE       8.01                 06/27/13

MONMOUTH REAL ESTATE INVESTMENT CORP    MD       5.02,7.01,9.01       06/27/13

MONMOUTH REAL ESTATE INVESTMENT CORP    MD       5.03,9.01            06/27/13

Motors Liquidation Co                   DE       8.01                 06/27/13

MPG Office Trust, Inc.                           8.01,9.01            06/27/13

MYLAN INC.                              PA       1.01,1.02,2.03,9.01  06/25/13

NANOVIRICIDES, INC.                     NV       5.02                 06/24/13

Nava Resources, Inc.                             1.01                 06/22/13

Nava Resources, Inc.                             1.01                 06/23/13

NAVARRE CORP /MN/                       MN       1.01,9.01            06/26/13

NAVISTAR INTERNATIONAL CORP             DE       5.02,9.01            06/18/13

New Global Energy, Inc.                          3.02,7.01            06/26/13

NEWFIELD EXPLORATION CO /DE/            DE       1.01,2.03            06/25/13

NEWMARKET CORP                          VA       1.01                 06/21/13

NIKE INC                                OR       2.02,9.01            06/27/13

NORTH VALLEY BANCORP                    CA       8.01,9.01            06/26/13

NORTHEAST UTILITIES                     MA       8.01,9.01            06/26/13

NORTHEAST UTILITIES                     MA       8.01,9.01            06/27/13

NORTHSTAR ELECTRONICS INC               DE       8.01                 06/27/13

NTS, INC.                               NV       1.01,2.03,9.01       06/27/13

OFFICE DEPOT INC                        DE       8.01                 06/25/13

OFFICEMAX INC                           DE       8.01                 06/25/13

OMNOVA SOLUTIONS INC                    OH       2.02,9.01            06/27/13

ON ASSIGNMENT INC                       DE       5.02,9.01            06/21/13

Oro East Mining, Inc.                   DE       1.01,9.01            06/24/13

OXYGEN BIOTHERAPEUTICS, INC.            DE       2.02,9.01            06/27/13

PACKAGING CORP OF AMERICA                        5.02,9.01            06/24/13

PALADIN REALTY INCOME PROPERTIES INC    MD       8.01                 06/26/13

PASSPORT POTASH INC                     A1       8.01,9.01            06/19/13

PDK ENERGY INC.                         MS       5.02,9.01            06/25/13

PDL BIOPHARMA, INC.                     DE       7.01,9.01            06/27/13

PEREGRINE PHARMACEUTICALS INC           DE       8.01,9.01            06/27/13

PERICOM SEMICONDUCTOR CORP              CA       5.03,9.01            06/25/13

PIONEER FINANCIAL SERVICES INC          MO       1.01,9.01            06/21/13

PLURISTEM THERAPEUTICS INC              NV       1.01,3.02            06/27/13

PORTLAND GENERAL ELECTRIC CO /OR/       OR       1.01,2.03,9.01       06/27/13

POTASH CORP OF SASKATCHEWAN INC         Z4       1.01,9.01            06/25/13

PROSPECT GLOBAL RESOURCES INC.          NV       1.01,2.03            06/26/13

Pulse Network, Inc.                              4.01,9.01            06/26/13

QUEST DIAGNOSTICS INC                   DE       7.01,9.01            06/26/13


RCS Capital Corp                        DE       8.01,9.01            06/25/13

RETAIL PROPERTIES OF AMERICA, INC.      MD       7.01,9.01            06/27/13

REVA Medical, Inc.                      DE       8.01,9.01            06/27/13

RIVIERA HOLDINGS CORP                   NV       1.01,5.02            06/21/13

SAExploration Holdings, Inc.            DE       5.07,7.01,9.01       06/21/13

SAFEGUARD SCIENTIFICS INC               PA       5.02                 06/27/13

SAIC, Inc.                                       5.02                 06/21/13

SALON MEDIA GROUP INC                   DE       2.02,9.01            06/27/13

Samson Oil & Gas LTD                    C3       1.01,9.01            06/24/13

Sanwire Corp                                     4.01                 06/27/13

SCHNITZER STEEL INDUSTRIES INC          OR       2.02,9.01            06/27/13

SCIENTIFIC INDUSTRIES INC               DE       1.02,8.01            06/12/13

Scio Diamond Technology Corp            NV       1.01,2.03,9.01       06/21/13

SHERWIN WILLIAMS CO                     OH       1.01                 06/24/13

Silicon Graphics International Corp     DE       1.01,9.01            06/27/13

STARWOOD PROPERTY TRUST, INC.                    9.01                 04/08/13    AMEND

Starz                                   DE       3.01                 06/26/13

SUBURBAN PROPANE PARTNERS LP            DE       7.01,9.01            06/27/13

Swisher Hygiene Inc.                    DE       7.01,9.01            06/27/13

SYNIVERSE HOLDINGS INC                  DE       1.01                 06/21/13

Synthetic Biologics, Inc.               NV       7.01,9.01            06/27/13

TC X CALIBUR INC                        NV       1.01,2.01,		 06/25/13
						2.03,5.01,5.02,9.01     

TELECOMMUNICATION SYSTEMS INC /FA/      MD       1.01,1.02,2.03       06/25/13

TEXSTAR OIL Corp                        NV       5.02                 05/21/13

Titan Iron Ore Corp.                    NV       1.01,3.02,9.01       06/26/13

TRANSATLANTIC PETROLEUM LTD.                     5.07                 06/24/13

TransDigm Group INC                     DE       7.01,9.01            06/25/13

Travelport LTD                          D0       1.01,2.03,9.01       06/26/13

Triangle Capital CORP                   MD       1.01,2.03,7.01,9.01  06/26/13

Trovagene, Inc.                         DE       9.01                 06/26/13    AMEND

True Drinks Holdings, Inc.              NV       7.01,9.01            06/27/13

Umami Sustainable Seafood Inc.          NV       1.01,2.01,2.03,9.01  06/26/13

UMH PROPERTIES, INC.                    MD       5.03,9.01            06/27/13

Uni-Pixel                               DE       8.01,9.01            06/27/13

United Continental Holdings, Inc.       DE       7.01,9.01            06/27/13

UNITED PARCEL SERVICE INC               DE       8.01,9.01            06/25/13

UNITED THERAPEUTICS Corp                DE       5.07                 06/26/13

Urban Barns Foods Inc.                           1.01,9.01            06/27/13

USEC INC                                DE       5.07,8.01,9.01       06/27/13

Valeant Pharmaceuticals International   A6       8.01,9.01            06/27/13

VIROPHARMA INC                          DE       8.01,9.01            06/27/13

Vu1 CORP                                CA       1.01,2.04,           06/22/13
						3.02,7.01,9.01          

W. S. Industries, Inc.                  NV       4.01                 06/11/13    AMEND

W270, INC.                              NV       1.01,2.01,2.03,      06/26/13
						3.02,3.03,4.01,5.01,5.02,5.06   

WAYNE SAVINGS BANCSHARES INC /DE/       DE       7.01,9.01            06/27/13

WELLS FARGO & COMPANY/MN                DE       9.01                 06/27/13

WINNEBAGO INDUSTRIES INC                IA       2.02,9.01            06/27/13

WORTHINGTON INDUSTRIES INC              OH       2.02,7.01,9.01       06/27/13

YAHOO INC                               DE       5.07                 06/25/13

ZOGENIX, INC.                           DE       1.01                 06/27/13

  

http://www.sec.gov/news/digest/2013/dig062813.htm


Modified: 07/02/2013