Timothy B. Henseler Named Director of the Commission's Office of Legislative and Intergovernmental Affairs
The Securities and Exchange Commission (Commission) today announced that Timothy B. Henseler has been named as Director of the agency's Office of Legislative and Intergovernmental Affairs, effective immediately.
Mr. Henseler was formerly the Deputy Director of the office and has served as its Acting Director since July 2012. He advises the Chair, Commissioners, and SEC staff on legislative matters, provides technical assistance on securities-related legislation to congressional committees and staff, and assists in preparing SEC testimony for congressional hearings.
"Tim has a firm grasp of the legislative process and a deep appreciation for the role that Congress plays," said Mary Jo White. "In the short time I have served as Chair of the Commission, I have benefited from his wise counsel and his broad knowledge of the securities laws."
Mr. Henseler added, "I am honored to have the opportunity to continue to work with Chair White, the Commissioners, and the expert staff at the SEC. I look forward to continuing to help the agency in fulfilling its critical mission."
Mr. Henseler began his career at the SEC in its Boston office, where he was an enforcement counsel from 2003 to 2009. He also has experience on Capitol Hill, having served as a legislative assistant to Sen. Carl Levin from 2001 to 2003, working on tax, budget, accounting, securities, and banking policy. In addition, he conducted witness interviews and analyzed complex structured finance transactions as part of the Senate Permanent Subcommittee on Investigations examination of Enron Corp.
Before working as a Senate staffer, Mr. Henseler was an associate with the law firm of Mintz, Levin, Cohn, Ferris, Glovsky and Popeo P.C., in Boston. From 1998 to 1999, he was a law clerk for the Honorable George O'Toole, Jr., in the U.S. District Court for the District of Massachusetts.
Mr. Henseler received his J.D. from the Catholic University of America's Columbus School of law in 1998, graduating summa cum laude and first in his class. While attending law school he worked as an intern for Rep. Patrick J. Kennedy and as an extern for the Honorable Royce C. Lamberth in the U.S. District Court for the District of Columbia. He received his B.A. from Brandeis University in 1995, with majors in history and American studies. (Press Rel. 2013-120)
Chicago Regional Office Director Merri Jo Gillette to Leave Commission
The Commission today announced that Merri Jo Gillette, Director of its Chicago Regional Office, is leaving the agency later this month after more than 25 years of service.
Ms. Gillette has headed the SEC's second largest regional office since 2004, overseeing a staff of more than 250 with responsibility for compliance inspections, investigations, and enforcement actions in a nine-state area. Under her leadership, the Chicago Regional Office has brought numerous enforcement actions, often in conjunction with criminal authorities, and conducted hundreds of examinations of SEC-registered firms, including risk-targeted examinations to assess industry trends across the region.
"Merri Jo has exemplified the high standards of leadership and service the agency expects and the public deserves: tough, tenacious and fair enforcement of the law, inspired leadership, and superior results. The SEC and the investors we protect owe her a deep debt of gratitude for her public service," said SEC Chair Mary Jo White.
"Working at the SEC with so many talented colleagues has been an extraordinary privilege," said Gillette. "I have been repeatedly awed by the professionalism, dedication, creativity and tenacity of my coworkers as they work to protect investors and safeguard our capital markets. I take great pride in our many collective achievements and am honored to have been part of the SEC's long tradition of excellence. My thanks go out to my staff, my contemporaries, my mentors and my adversaries, all of whom inspired and challenged me to vigorously pursue the mission of the SEC."
Key enforcement actions brought during Ms. Gillette's tenure include:
"Almost every part our organization and practice has been indelibly marked by Merri Jo's extraordinary contributions of judgment, experience, energy, and wisdom," said George S. Canellos, Co-Director of the SEC's Division of Enforcement. "The Enforcement Division and the agency as a whole will benefit for years to come from her rich legacy."
Under Ms. Gillette, the examination staff in Chicago played a key role in changes to make the agency's National Exam Program (NEP) more effective and efficient, and designed an electronic database for use in exams that later was put into use by SEC examiners nationwide. Ms. Gillette also served as an inaugural member of the NEP's Executive Committee and co-chair of its Compliance Committee.
Office of Compliance Inspections and Examinations (OCIE) Director Andrew Bowden said, "Merri Jo built and led a great exam team in Chicago. She shared her time and talents on matters of national significance, including serving as a trusted adviser to me and past OCIE Directors. We wish her continued success in the future."
Ms. Gillette also has long been a champion for advancing inclusion and diversity in the workplace, serving as a founding member of the Division of Enforcement's diversity committee and Chair of the agency-wide Diversity Committee on Mentoring and Professional Development.
Ms. Gillette, 55, joined the SEC as a staff attorney in the SEC's Philadelphia Office in 1986. She worked on litigation and enforcement matters there for 18 years, advancing to become Branch Chief, Chief Trial Counsel, Assistant Regional Director, Supervisor of the Trial Unit, and Associate Director for Enforcement.
In 2007, Ms. Gillette received the SEC's Distinguished Service Award, which is the highest honor the agency bestows on an individual employee. In 2011, she received the SEC's Stanley Sporkin Award, which recognizes exceptionally tenacious and insightful contributions to the enforcement of the federal securities laws. She also was awarded the SEC-NTEU Labor-Management Relations Award in 2011.
Ms. Gillette has a bachelor's degree from Northwestern University and a law degree from the Dickinson School of Law in Carlisle, Penn. Before joining the SEC, she practiced law at the U.S. Department of Labor and the Pennsylvania Department of Labor.
Ms. Gillette will join the law firm of Morgan, Lewis & Bockius LLP as a partner in its Chicago office. Following her departure, Tim Warren, Associate Regional Director for Enforcement in the Chicago office will serve as the office's Acting Regional Director. (Press Rel. 2013-119)
Julie M. Riewe and Marshall S. Sprung Named Co-Chiefs of Asset Management Unit
The Commission today announced that Julie M. Riewe and Marshall S. Sprung have been named Co-Chiefs of the Division of Enforcement's Asset Management Unit, a national specialized unit that focuses on misconduct by investment advisers, investment companies, and private funds. Ms. Riewe and Mr. Sprung have been serving as deputy chiefs of the Asset Management Unit since May 2012. They succeed Bruce Karpati, the unit's inaugural Chief, who left in May.
Ms. Riewe has supervised a number of significant investigations into misconduct by mutual funds, hedge funds, and private equity funds involving portfolio valuation, performance, conflicts of interest, fees, and trading practices. She has spearheaded notable investigations that resulted in enforcement actions against a registered investment adviser for a fraudulent securities offering made using various social media websites, against a proxy advisory firm for failing to safeguard proxy voting information, against hedge fund managers who fraudulently overvalued certain side-pocketed illiquid assets, and against private equity fund advisers who failed to value portfolio assets in accordance with its disclosed valuation methodology. Ms. Riewe also has extensive experience leading investigations of insider trading and market practices involving asset managers, including the SEC's insider-trading case against Mark Cuban and against a former private equity associate over whom the SEC prevailed at trial.
Mr. Sprung has supervised investigations involving all key enforcement program areas, including numerous matters involving investment advisers, private funds, and mutual funds. Mr. Sprung played a central role in the successful enforcement actions against investment adviser AXA Rosenberg and its founder for concealing a significant error in the computer code of a quantitative investment model that the firm used to manage client portfolios. Other notable investigations that Mr. Sprung has overseen include actions against a former $1 billion hedge fund advisory firm for scheming to overvalue assets under management, against gatekeepers of two mutual fund trusts for causing untrue or misleading disclosures about the factors they considered when approving or renewing investment advisory contracts, and against a mutual fund trader who improperly profited by placing his own trades before executing large block trades for firm clients.
Ms. Riewe and Mr. Sprung have been instrumental in developing several proactive risk-based initiatives to address emerging risks in the asset management industry, including the cherry-picking initiative focusing on advisers' preferential allocation of trades and investment opportunities, and the undisclosed adviser revenue initiative examining advisers' undisclosed receipt of compensation from broker-dealers and their affiliates to reward the advisers for making certain types of investments.
"Julie and Marshall are exceptionally talented attorneys with significant expertise in this critical area of our enforcement program," said Andrew Ceresney, Co- Director of the SEC's Division of Enforcement. "They have been great partners and colleagues, and the strengths that each of them brings to the leadership of the Asset Management Unit will further enhance its mission and the SEC's efforts to root out fraud by investment advisers, investment companies, and other asset management participants."
Ms. Riewe said, "I am looking forward to the privilege of leading, along with Marshall, the Asset Management Unit and its dedicated and talented staff."
Mr. Sprung said, "I am honored and excited to continue partnering with Julie as we build on the outstanding work of the Asset Management Unit staff to combat misconduct in the asset management industry."
Before joining the SEC in 2005, Ms. Riewe worked for four years as a litigation associate at WilmerHale in Washington, DC and served as a law clerk to the Honorable Diana E. Murphy on the U.S. Court of Appeals for the Eighth Circuit. Ms. Riewe obtained her J.D. and M.P.P. from the Duke University School of Law in 1999 and received her undergraduate degree from Duke University in 1993.
Mr. Sprung joined the SEC in 2003 after working for five years as a litigation associate at Gibson, Dunn & Crutcher in Los Angeles, and serving as a law clerk to the Honorable A. Joe Fish on the U.S. District Court in Dallas. Mr. Sprung received his J.D. from New York University School of Law in 1996 and his undergraduate degree with honors from Brown University in 1993. (Press Rel. 2013-118)
Commission Revokes Registration of Securities of Fuqi International, Inc. for Failure to Make Required Periodic Filings
On July 1, 2013, the Commission revoked the registration of each class of registered securities of Fuqi International, Inc. (Fuqi) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Fuqi consented to the entry of an Order Instituting Proceedings, Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 finding that Fuqi had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Fuqi's securities pursuant to Section 12(j) of the Exchange Act.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .(Rel. 34- 69895; File No. 3-15367)
Commission Files Fraud Charges against Fuqi International, Inc. and Its Chairman and Former CEO and President Yu Kwai Chong
The Commission today announced the filing of fraud and related charges against Fuqi International, Inc. (Fuqi), a China-based jewelry company, and its Chairman of the Board of Directors and former CEO and President, Yu Kwai Chong (Chong). Without admitting or denying the allegations, Fuqi and Chong have agreed to settle the SEC's claims that Fuqi and Chong failed to disclose cash transfers of approximately $134 million from Fuqi to three purportedly unknown entities between September 11, 2009 and November 24, 2010.
In its settled complaint, the Commission alleges that Fuqi and Chong violated the antifraud provisions of the securities laws, Section 10(b) of the Exchange Act of 1934 (Exchange Act) and Rule 10b-5. The Commission further alleges violations of reporting, recordkeeping and internal controls provisions of the securities laws, Sections 13(a), 13(b)(2)(A) & (B), and 13(b)(5) of the Exchange Act and Rules 13a-1, 13a-11, 13a-13, 13a-14, 13b2-1 and 13b2-2. Fuqi and Chong have consented to the entry of a final judgment that: (i) permanently enjoins them from future violations of the federal securities laws; (ii) orders Fuqi and Chong to pay civil penalties of $1 million and $150,000, respectively; and (iii) bars Chong from serving as an officer and director for five years. [SEC v. Fuqi International, Inc. and Yu Kwai Chong, Case No. 1:13-cv-995 (U.S. District Court for the District of Columbia)] (LR-22739)
Commission Sues Texas Oil and Gas Promoters for Securities Fraud
On June 28, 2013, the Commission charged Matthew Madison and Dwight McGhee, and their Irving, Texas based company Infinity Exploration, LLC, with conducting a fraudulent offering of oil and gas related investments. The Commission's complaint alleges that, between March and October 2008, Madison and McGhee raised over $2 million from at least 40 investors from the fraudulent offer and sale of interests in Infinity's two oil and gas joint ventures. Infinity's offering materials misled investors into believing that Infinity's ventures would own the leases and control drilling operations. Indeed, Infinity's communications with investors were peppered with references to as "our wells" and "our crew." In reality, Infinity's ventures did not have direct interests in any oil and gas leases and no direct involvement in operation of any leases. The complaint alleges that Madison and McGhee concealed this fact from investors. The complaint further alleges that the defendants' offering materials falsely described Madison as experienced and successful in the oil and gas industry and failed to disclose McGhee's 2007 federal felony conviction.
The complaint alleges that Infinity, Madison, McGhee violated Section 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The complaint seeks permanent injunctions, disgorgement of ill-gotten gains plus prejudgment interest and civil penalties against each of the defendants. [SEC v. Infinity Exploration, et al., Civ. Action No. 3:13-cv-2499-L, USDC, NDTX (Dallas Division, June 28, 2013)]. (LR- 22736)
Commission Charges Oil and Gas Promoter with Securities Fraud
The Commission filed a civil injunctive action June 28, 2013, charging Bret L. Boteler of Bedford, Texas with conducting a fraudulent oil and gas-related securities offering that raised more than $17 million from 260 investors across the country.
The Commission's complaint, filed in the United States District Court for the Northern District of Texas, alleges that, between October 2007 and December 2011, Boteler offered and sold the securities through his now-defunct company, EnerMax, Inc., and that he never registered the offering with the Commission. The complaint further alleges that Boteler falsely portrayed EnerMax to investors as an innovative, technologically sophisticated company offering high quality oil and gas prospects. The complaint also alleges that Boteler misrepresented and omitted material information about the speculative and unproven nature of the prospects in which EnerMax was involved, and that Boteler misused and misappropriated investor funds.
The complaint charges Boteler with violating Sections 5(a) and (c) and 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission seeks civil penalties, disgorgement of ill-gotten gains (with prejudgment interest) and a permanent injunction against Boteler, including an injunction prohibiting him from offering or selling oil and gas-related securities. [SEC v. Bret Boteler, Civil Action No. 4:13-cv-00527-Y (N.D.TX., filed June 28, 2013)](LR- 22737)
Commission Charges Three with Insider Trading on Confidential Acquisition Negotiations Between Rohm & Haas and Dow
On July 1, 2013, the Commission announced that it charged a former officer of The Dow Chemical Company (Dow), his long-time friend, and a broker with insider trading that generated more than $1 million in illicit profits based on confidential information ahead of Dow's acquisition of Rohm & Haas Co. (Rohm).
The SEC's complaint, filed in the U.S. District Court for the Eastern District of Michigan, charges Mack D. Murrell, of Saginaw, Michigan, David A. Teekell, of Tomball, Texas, and Charles W. Adams, of Conroe, Texas with violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The complaint also names as a relief defendant Raymond James Financial Services, Inc. (Raymond James) for the purpose of recovering illegal profits in its firm account. Teekell has agreed to settle the SEC's charges and pay approximately $1.1 million in disgorgement, prejudgment interest, and a civil penalty.
The SEC's complaint alleges that Murrell, who was the Vice President of Information Systems for Dow, obtained confidential details about the acquisition of Rohm from his then live-in girlfriend, now wife, who was the administrative assistant to Dow's Chief Financial Officer at the time. Murrell's girlfriend knew about and worked on the pending acquisition. The complaint alleges that the day after learning from his girlfriend of a special Board meeting at which the Rohm acquisition was discussed, Murrell tipped his long-time friend Teekell during a telephone call. Immediately following the telephone call, Teekell called Adams, his broker at Raymond James, and tipped him.
The complaint further alleges that the next business day after learning of the pending acquisition, Teekell and Adams began purchasing common stock and call options in Rohm. In addition to purchasing call options in his own account, Adams purchased stock in two discretionary customer accounts. Teekell's and Adams' purchases continued until the day before the acquisition announcement on July 10, 2008, when the price of Rohm stock jumped 64 percent. Teekell made an illicit profit of $534,526 and Adams and his discretionary customers made illicit profits of $107,043 through the insider trading. Raymond James made illicit profits of $373,497 when Teekell and Adams decided not to keep certain Rohm options that Adams had purchased in Teekell's account.
A call option is a security that derives its value from the underlying common stock of the issuer and gives the purchaser the right to buy the underlying stock at a specific price within a specified period of time. Typically, investors will purchase call options when they believe the price of the stock of the underlying securities is going up. Teekell and Adams invested so heavily in two series of Rohm call options on July 9, 2008 that their investments accounted for over 86 percent and 64 percent of the total options volume for these series on that day.
The complaint seeks a final judgment ordering disgorgement of ill-gotten gains together with prejudgment interest from the defendants and the relief defendant, and permanent injunctions and penalties against the defendants.
Teekell has consented, without admitting or denying the SEC's allegations, to the entry of a final judgment permanently enjoining him from violating Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. Teekell has agreed to pay $534,526 in disgorgement, $105,346 in prejudgment interest, and a penalty of $534,526. The settlement is subject to court approval.
The SEC's investigation was conducted by Philadelphia Regional Office enforcement staff Kingdon Kase and Suzanne C. Abt. The SEC's litigation will be led by John V. Donnelly and G. Jeffrey Boujoukos. The SEC appreciates the assistance of the Options Regulatory Surveillance Authority (ORSA). [SEC v. Mack D. Murrell, et al., Civil Action No. 2:13-cv-12856, E.D. Mich.] (LR-22738)
An order was issued granting a limited exemption from Section 11(d)(1) of the Securities Exchange Act of 1934 and Rule 11d1-2 thereunder to market makers participating in NASDAQ Stock Market LLC's Market Quality Program. Publication is expected in the Federal Register during the week of July 1, 2013. (Rel. 34-69892)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change (SR-CBOE-2013-067) filed by the Chicago Board Options Exchange, Incorporated related to trades for less than $1 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. 34-69893)
A proposed rule change filed by BATS-Y Exchange, Inc. to provide a last sale data feed (SR-BYX-2013-022) 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. 34-69891)
A proposed rule change filed by The NASDAQ Stock Market LLC to reduce the fees assessed under NASDAQ Rule 7034 for certain co-location services (SR-NASDAQ-2013-088) 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. 34-69887)
Notice of Proposed Rule Change
The Commission issued notice of a proposed rule change, as modified by Amendment No. 1 thereto, submitted by BATS Exchange, Inc. (SR-BATS-2013-035) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to amend the Competitive Liquidity Provider Program. Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69889)
Approval of a Proposed Rule Change
The Commission approved a proposed rule change (File No. SR-ICEEU-2013-09), as modified by Amendment Nos. 1, 2 and 3 thereto, filed by ICE Clear Europe Limited under Section 19(b)(1) of the Securities Exchange Act of 1934 to clear contracts traded on the LIFFE Administration and Management Market. Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69888)
The Commission has approved a proposed rule change (SR-NSCC-2013-05) filed by the National Securities Clearing Corporation under Section 19(b)(1) of the Securities Exchange Act of 1934 to require that all locked-in trade data submitted to it for trade recording be submitted in real-time. Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69890)
Notice of No Objection To Advance Notice
The Commission has issued a notice of no objection to an advance notice (File No. SR-NSCC-2013-805) filed by the National Securities Clearing Corporation (NSCC) under Section 806(e)(1)(I) of the Payment, Clearing, and Settlement Supervision Act of 2010 to require that all locked-in trade data submitted to it for trade recording be submitted in real-time. Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69894)
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 ADOBE SYSTEMS INC, 345 PARK AVE, SAN JOSE, CA, 95110-2704, 4085366000 - 17,709,262 ($778,322,064.90) Equity, (File 333-189646 - Jun. 28) (BR. 03C) S-8 NYXIO TECHNOLOGIES Corp, 2156 NE BROADWAY, PORTLAND,, OR, 97232, 855-436-6996 - 600,000 ($36,000.00) Equity, (File 333-189648 - Jun. 28) (BR. 03B) F-3 ReneSola Ltd, NO. 8 BAOQUN ROAD, YAOZHUANG, JIASHAN, F4, 314117, (86-573) 8477 3058 - 0 ($120,000,000.00) Equity, (File 333-189650 - Jun. 28) (BR. 10B) S-8 CHESAPEAKE ENERGY CORP, 6100 N WESTERN AVE, OKLAHOMA CITY, OK, 73118, 4058488000 - 9,800,000 ($192,276,000.00) Equity, (File 333-189651 - Jun. 28) (BR. 04B) S-1 Home Bancorp Wisconsin, Inc., 3762 EAST WASHINGTON AVENUE, MADISON, WI, 53704, 608-282-6000 - 0 ($12,497,630.00) Equity, (File 333-189668 - Jun. 28) (BR. 07) S-8 SUN BANCORP INC /NJ/, 226 LANDIS AVENUE, VINELAND, NJ, 08360, 8566917700 - 200,000 ($632,000.00) Equity, (File 333-189669 - Jun. 28) (BR. 07C) S-8 HOPFED BANCORP INC, 2700 FORT CAMPBELL BLVD, HOPKINSVILLE, KY, 42440, 5028851171 - 0 ($3,264,000.00) Other, (File 333-189670 - Jun. 28) (BR. 07B) S-8 STARWOOD HOTEL & RESORTS WORLDWIDE, INC, ONE STARPOINT, STAMFORD, CT, 06902, 203-964-4000 - 0 ($674,960,000.00) Equity, (File 333-189674 - Jun. 28) (BR. 08C) S-8 COMPETITIVE TECHNOLOGIES INC, 1375 KINGS HIGHWAY EAST, FAIRFIELD, CT, 06824, (203) 368-6044 - 200,000 ($40,000.00) Equity, (File 333-189680 - Jun. 28) (BR. 03A) S-8 Hyatt Hotels Corp, 71 SOUTH WACKER DRIVE, 12TH FLOOR, CHICAGO, IL, 60606, (312) 750-1234 - 0 ($192,450,000.00) Equity, (File 333-189681 - Jun. 28) (BR. 08C) S-8 TREMOR VIDEO INC., 53 WEST 23RD STREET, 12TH FLOOR, NEW YORK, NY, 10010, 646-723-5309 - 0 ($38,895,620.29) Equity, (File 333-189682 - Jun. 28) (BR. 11C) S-8 ULURU INC., 4452 BELTWAY DRIVE, ADDISON, TX, 75001, 214-905-5145 - 600,000 ($258,000.00) Equity, (File 333-189683 - Jun. 28) (BR. 01B) S-8 Summit Midstream Partners, LP, 2100 McKinney Avenue, Suite 1250, DALLAS, TX, 75201, 214-242-1955 - 50,000,000 ($50,000,000.00) Other, (File 333-189684 - Jun. 28) (BR. 02) S-8 PDC ENERGY, INC., 1775 SHERMAN STREET, SUITE 3000, DENVER, CO, 80203, 303-860-5800 - 1,600,000 ($80,352,000.00) Equity, (File 333-189685 - Jun. 28) (BR. 04B) S-1 Homeowners of America Holding Corp, 1333 CORPORATE DRIVE, SUITE 325, IRVING, TX, 75038, (972) 607-4241 - 15,739,182 ($7,869,591.00) Equity, (File 333-189686 - Jun. 28) (BR. 01B) S-8 ARATANA THERAPEUTICS, INC., 1901 OLATHE BOULEVARD, KANSAS CITY, KS, 66103, 913.951.2130 - 0 ($11,951,408.00) Equity, (File 333-189687 - Jun. 28) (BR. 01A) S-8 BAY BANKS OF VIRGINIA INC, 100 S MAIN STREET, KILMARNICK, VA, 22482, 8044351171 - 0 ($1,848,000.00) Other, (File 333-189688 - Jun. 28) (BR. 07B) S-3ASR ARRIS GROUP INC, 3871 LAKEFIELD DRIVE, SUWANEE, GA, 30024, 678-473-2000 - 0 ($306,882,810.00) Equity, (File 333-189690 - Jun. 28) (BR. 11A) S-3 Anacor Pharmaceuticals, Inc., 1020 E. MEADOW CIRCLE, PALO ALTO, CA, 94303, 650-543-7500 - 0 ($4,166,664.15) Equity, (File 333-189691 - Jun. 28) (BR. 01A) S-8 ARRIS GROUP INC, 3871 LAKEFIELD DRIVE, SUWANEE, GA, 30024, 678-473-2000 - 0 ($43,290,000.00) Equity, (File 333-189692 - Jun. 28) (BR. 11A) S-3 Golden Minerals Co, 350 INDIANA STREET, SUITE 800, GOLDEN, CO, 80401, 3038395060 - 0 ($2,765,732.85) Equity, (File 333-189693 - Jun. 28) (BR. 09B) S-8 CHAMBERS STREET PROPERTIES, 47 HULFISH ST., SUITE 210, PRINCETON, NJ, 08542, 609-683-4900 - 5,000,000 ($45,850,000.00) Equity, (File 333-189694 - Jun. 28) (BR. 08B) S-8 ARRIS GROUP INC, 3871 LAKEFIELD DRIVE, SUWANEE, GA, 30024, 678-473-2000 - 0 ($233,412,465.00) Equity, (File 333-189695 - Jun. 28) (BR. 11A) S-3ASR POTASH CORP OF SASKATCHEWAN INC, SUITE 500, 122 - 1ST AVENUE SOUTH, SASKATOON, A9, S7K 7G3, 3069338500 - 0 ($0.00) Debt, (File 333-189696 - Jun. 28) (BR. 05A) S-3 KINDER MORGAN ENERGY PARTNERS L P, 1001 LOUISIANA STREET, SUITE 1000, HOUSTON, TX, 77002, 713-369-9457 - 0 ($2,200,000,000.00) Limited Partnership Interests, (File 333-189697 - Jun. 28) (BR. 02C) S-3 UNWIRED PLANET, INC., 170 SOUTH VIRGINIA STREET, SUITE 201, RENO, NV, 89501, 775-980-2345 - 7,530,120 ($12,499,999.20) Equity, (File 333-189698 - Jun. 28) (BR. 03B) F-1 FleetMatics Group plc, 70 WALNUT STREET, SUITE 200, WELLESLEY, MA, 02481, 1-866-844-2235 - 9,200,000 ($294,768,000.00) Equity, (File 333-189699 - Jun. 28) (BR. 03A) S-3 IDERA PHARMACEUTICALS, INC., 167 SIDNEY STREET, CAMBRIDGE, MA, 02139, 6176795500 - 0 ($1,300,000.00) Equity, (File 333-189700 - Jun. 28) (BR. 01A) S-8 IXIA, 26601 W AGOURA RD, CALABASAS, CA, 91302, 8188711800 - 0 ($199,648,000.00) Equity, (File 333-189701 - Jun. 28) (BR. 10A) S-8 Constant Contact, Inc., 1601 TRAPELO ROAD, SUITE 329, WALTHAM, MA, 02451, 781-472-8100 - 0 ($5,589,500.00) Equity, (File 333-189702 - Jun. 28) (BR. 11C) S-8 ASSURED GUARANTY LTD, 30 WOOD BOURNE AVE, HAMILTON BERMUDA, D0, 0000, 441-279-5700 - 0 ($5,305,000.00) Equity, (File 333-189703 - Jun. 28) (BR. 01A) S-8 BARD C R INC /NJ/, 730 CENTRAL AVE, MURRAY HILL, NJ, 07974, 9082778000 - 0 ($216,680,000.00) Equity, (File 333-189705 - Jun. 28) (BR. 10A) N-2 New Mountain Finance Corp, 787 SEVENTH AVENUE, 48TH FLOOR, NEW YORK, NY, 10019, (212) 720-0300 - 0 ($57,700,000.00) Other, (File 333-189706 - Jun. 28) (BR. 17) S-4 FNB CORP/FL/, F.N.B. CORPORATION, ONE F.N.B. BOULEVARD, HERMITAGE, PA, 16148, 724-981-6000 - 0 ($98,584,263.33) Equity, (File 333-189708 - Jun. 28) (BR. 07C) S-3ASR IRON MOUNTAIN INC, 745 ATLANTIC AVENUE, BOSTON, MA, 02111, 6175354766 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-189709 - Jun. 28) (BR. 05B) S-8 MEDICINES CO /DE, 8 SYLVAN WAY, PARSIPPANY, NJ, 07054, 973-290-6000 - 13,166,879 ($411,464,968.75) Equity, (File 333-189710 - Jun. 28) (BR. 01B) S-8 Mallinckrodt plc, 675 MCDONNELL BLVD, HAZELWOOD, MO, 63042, 314-654-2000 - 0 ($221,950,000.00) Equity, (File 333-189711 - Jun. 28) (BR. 01A) S-8 Mallinckrodt plc, 675 MCDONNELL BLVD, HAZELWOOD, MO, 63042, 314-654-2000 - 0 ($256,107,617.00) Equity, (File 333-189712 - Jun. 28) (BR. 01A) S-1 Pacific Ethanol, Inc., 400 CAPITOL MALL, SUITE 2060, SACRAMENTO, CA, 95814, 916-403-2123 - 2,200,002 ($7,788,007.00) Equity, (File 333-189713 - Jun. 28) (BR. 06A) F-1 Ardmore Shipping Corp, CITY GATE BUILDING 1000, MAHON, CORK, L2, 000, 353-21-2409503 - 0 ($160,000,000.00) Equity, (File 333-189714 - Jun. 28) (BR. 05A) F-10 AGNICO EAGLE MINES LTD, 145 KING STREET EAST, SUITE 400, TORONTO, A6, M5C 2Y7, 4169471212 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-189715 - Jun. 28) (BR. 09B) S-8 Mallinckrodt plc, 675 MCDONNELL BLVD, HAZELWOOD, MO, 63042, 314-654-2000 - 3,050,000 ($114,863,000.00) Equity, (File 333-189716 - Jun. 28) (BR. 01A) S-3ASR KKR Financial Holdings LLC, 555 CALIFORNIA STREET, 50TH FLOOR, SAN FRANCISCO, CA, 94104, (415) 315-3620 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-189717 - Jun. 28) (BR. 07B)
Recent 8K Filings
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 99 CENTS ONLY STORES CA 2.02,8.01,9.01 06/28/13 ACACIA RESEARCH CORP DE 8.01 06/25/13 AccelPath, Inc. DE 5.07 06/21/13 Adama Technologies Corp DE 5.02,8.01,9.01 06/27/13 Aegerion Pharmaceuticals, Inc. DE 5.03,5.07,9.01 06/26/13 AETNA INC /PA/ PA 9.01 06/28/13 AMEND ALASKA PACIFIC BANCSHARES INC AK 5.07,9.01 05/21/13 Allegiant Travel CO NV 5.02 06/26/13 ALLERGAN INC DE 5.02,9.01 06/24/13 ALLIANT ENERGY CORP WI 5.07 05/09/13 AMEND Allied Nevada Gold Corp. DE 1.01,9.01 06/27/13 Ally Financial Inc. DE 8.01,9.01 06/28/13 ALPHA PRO TECH LTD DE 5.07 06/04/13 AMEND AMBIENT CORP /NY DE 5.02,9.01 06/26/13 AMERICAN APPAREL, INC DE 5.07 06/25/13 AMERICAN GREETINGS CORP OH 5.04,9.01 06/28/13 AMERICAN INTERNATIONAL VENTURES INC / DE 4.02 06/27/13 American Midstream Partners, LP DE 9.01 04/15/13 AMEND American Mining Corp NV 3.02 06/24/13 American Realty Capital Properties, I MD 2.01,7.01,9.01 06/27/13 American Realty Capital Trust IV, Inc MD 2.01,9.01 06/27/13 AMERICAS CARMART INC TX 1.01,2.03,9.01 06/24/13 AMERIWEST PETROLEUM CORP. NV 5.03,8.01,9.01 06/21/13 AMREP CORP. OK 8.01,9.01 06/28/13 ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 06/28/13 APPLIED INDUSTRIAL TECHNOLOGIES INC OH 5.02 06/26/13 APPVION, INC. 8.01,9.01 06/28/13 ARCH COAL INC DE 7.01,9.01 06/28/13 Ares Commercial Real Estate Corp MD 1.01,2.03,8.01,9.01 06/27/13 ARRIS GROUP INC DE 2.01,9.01 04/17/13 AMEND ARTHROCARE CORP DE 8.01 06/28/13 AT&T INC. DE 5.02 06/28/13 AUTOLIV INC DE 8.01,9.01 06/28/13 Avago Technologies LTD U0 2.01,7.01,9.01 06/28/13 Avantair, Inc DE 8.01,9.01 06/28/13 Avantair, Inc DE 5.02 06/28/13 AZZ INC TX 2.02,8.01,9.01 06/28/13 BARD C R INC /NJ/ NJ 8.01,9.01 06/28/13 BEST BUY CO INC MN 1.02,2.03,9.01 06/25/13 BINGO.COM LTD. Y6 5.07 06/27/13 BioAmber Inc. DE 1.01,2.03 06/27/13 Blue Sun Media, Inc. NV 5.01,5.02 06/25/13 BlueLinx Holdings Inc. DE 1.01,9.01 06/28/13 BOSTON SCIENTIFIC CORP DE 8.01,9.01 06/27/13 Brazil Interactive Media, Inc. DE 1.01,2.01,3.02, 06/28/13 AMEND 5.01,5.02,5.03,5.06,9.01 Capella Healthcare, Inc. DE 8.01,9.01 06/27/13 Care Investment Trust Inc. MD 1.01,2.01 06/24/13 CARMAX INC VA 5.03,5.07,9.01 06/24/13 CATERPILLAR FINANCIAL SERVICES CORP DE 8.01,9.01 06/28/13 CENTRAL EUROPEAN DISTRIBUTION CORP DE 4.01,9.01 06/25/13 CENTURY NEXT FINANCIAL Corp LA 5.02 06/25/13 CFCRE Commercial Mortgage Trust 2011- DE 6.02,9.01 06/24/13 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 06/28/13 CHICOS FAS INC FL 8.01,9.01 06/28/13 China Energy CORP 8.01 05/03/13 AMEND China Natural Gas, Inc. DE 1.03,5.02 06/24/13 CHRISTOPHER & BANKS CORP DE 5.02,5.07,9.01 06/27/13 CHRISTOPHER & BANKS CORP DE 5.02,9.01 06/27/13 Cinedigm Digital Cinema Corp. DE 1.01,9.01 06/26/13 CITIGROUP INC DE 2.02,9.01 06/28/13 Clarion Partners Property Trust Inc. MD 5.02,8.01 06/28/13 CLEAN DIESEL TECHNOLOGIES INC DE 1.01,8.01,9.01 06/27/13 Clean Energy Fuels Corp. DE 1.01,2.01,9.01 06/28/13 CLIFTON SAVINGS BANCORP INC 4.01,9.01 06/26/13 CNO Financial Group, Inc. DE 7.01,9.01 06/28/13 Coeur Mining, Inc. DE 2.03,8.01,9.01 06/24/13 CombiMatrix Corp DE 5.07 06/27/13 COMFORT SYSTEMS USA INC 1.01,2.03 06/25/13 Compressco Partners, L.P. DE 2.03 06/24/13 Comstock Mining Inc. NV 5.07 06/28/13 Comverse, Inc. DE 5.07 06/27/13 CoreSite Realty Corp MD 1.01,2.03,9.01 06/28/13 CORINTHIAN COLLEGES INC 5.02 06/25/13 DANA HOLDING CORP DE 7.01,9.01 06/25/13 DELCATH SYSTEMS, INC. DE 5.02,9.01 06/25/13 DESTINATION XL GROUP, INC. DE 1.01 06/26/13 Dialogic Inc. DE 1.01,5.02 06/26/13 Discover Card Execution Note Trust DE 8.01 06/28/13 Dividend Capital Diversified Property MD 1.01,5.02,5.07,8.01 06/01/13 Dolby Laboratories, Inc. DE 1.01 06/27/13 DORAL FINANCIAL CORP PR 5.03,7.01,9.01 06/28/13 DUNE ENERGY INC DE 3.02 06/28/13 EASTMAN KODAK CO NJ 9.01 03/31/13 EASTMAN KODAK CO NJ 7.01,9.01 05/31/13 Echo Therapeutics, Inc. DE 8.01,9.01 06/25/13 ERBA Diagnostics, Inc. DE 5.08 06/28/13 EWaste Systems, Inc. NV 1.01,9.01 06/21/13 ExamWorks Group, Inc. DE 1.01,2.03,9.01 06/27/13 EXPERIENCE ART & DESIGN, INC. NV 4.01 06/26/13 FBC Holding, Inc. 4.01,9.01 06/26/13 Federal Home Loan Bank of Boston X1 2.03 06/24/13 Feihe International Inc UT 2.01,3.01,3.03, 06/27/13 5.01,5.02,5.03,8.01,9.01 Fibrocell Science, Inc. DE 5.02,9.01 06/24/13 FIELDPOINT PETROLEUM CORP CO 7.01,9.01 06/25/13 FINISH LINE INC /IN/ IN 2.02,9.01 06/28/13 FIRST BUSINESS FINANCIAL SERVICES, IN WI 8.01,9.01 06/28/13 FIRST CASH FINANCIAL SERVICES INC DE 1.01,2.01,2.02, 06/25/13 7.01,9.01 First Clover Leaf Financial Corp. MD 5.07,9.01 05/30/13 AMEND FIRST REAL ESTATE INVESTMENT TRUST OF NJ 2.02,9.01 06/28/13 FNB United Corp. NC 8.01,9.01 06/28/13 FORCE ENERGY CORP. NV 5.03 06/28/13 FORTUNE INDUSTRIES, INC. DE 5.07 06/28/13 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 06/28/13 Gas Natural Inc. OH 5.07 06/26/13 GATX CORP NY 5.02 06/26/13 General Finance CORP DE 1.01,3.01,8.01,9.01 06/25/13 GENVEC INC DE 2.05 06/25/13 GLOBAL POWER EQUIPMENT GROUP INC. DE 5.02,9.01 06/24/13 GTX INC /DE/ DE 8.01,9.01 06/28/13 HAMPTON ROADS BANKSHARES INC VA 8.01,9.01 06/28/13 HANDY & HARMAN LTD. DE 8.01 06/27/13 HANSEN MEDICAL INC DE 5.02 06/24/13 HASCO Medical, Inc. FL 2.05 06/21/13 HERITAGE COMMERCE CORP CA 5.03,8.01,9.01 06/27/13 HMS INCOME FUND, INC. MD 1.01,8.01,9.01 06/27/13 Horizon Technology Finance Corp DE 5.07 06/28/13 Horsehead Holding Corp DE 7.01,9.01 06/28/13 HYPERDYNAMICS CORP DE 5.02,5.03,5.07,9.01 06/25/13 Hyundai Auto Receivables Trust 2013-B DE 1.01,9.01 06/19/13 ICONIX BRAND GROUP, INC. DE 9.01 03/12/13 AMEND INDEPENDENCE TAX CREDIT PLUS LP III DE 8.01 06/27/13 Industrial Income Trust Inc. MD 5.07 06/27/13 Ingen Technologies, Inc. 5.02 06/12/13 Inova Technology Inc. NV 8.01 06/27/13 INTERNATIONAL RECTIFIER CORP /DE/ DE 5.02,9.01 06/27/13 INTEST CORP DE 5.07 06/26/13 INUVO, INC. NV 5.07 06/27/13 ISC8 INC. /DE DE 5.03 06/28/13 ISIS PHARMACEUTICALS INC DE 1.01,2.03 11/15/08 AMEND ITC Holdings Corp. MI 8.01 06/28/13 James River Holding Corp. DE 1.01,2.01 09/25/12 AMEND JARDEN CORP DE 5.02 06/26/13 JBI, INC. NV 8.01,9.01 06/28/13 Kandi Technologies Group, Inc. DE 1.01,9.01 06/28/13 AMEND KAR Auction Services, Inc. DE 1.01,2.03 06/28/13 KBS Strategic Opportunity REIT, Inc. MD 1.01,2.01 06/26/13 KFORCE INC FL 8.01 06/28/13 KID BRANDS, INC NJ 5.02,8.01,9.01 06/26/13 KINDER MORGAN ENERGY PARTNERS L P DE 7.01,9.01 06/28/13 KIT digital, Inc. DE 8.01,9.01 06/28/13 KNIGHT CAPITAL GROUP, INC. DE 2.01,2.05,5.02,9.01 06/28/13 LaPorte Bancorp, Inc. MD 5.07 05/14/13 AMEND LGL GROUP INC DE 8.01,9.01 06/28/13 Liberty Global plc X0 5.02 06/24/13 Liberty Global plc X0 2.03 04/19/13 AMEND LIFETIME BRANDS, INC DE 8.01,9.01 06/27/13 LOGITECH INTERNATIONAL SA 5.02,9.01 06/27/13 LUFKIN INDUSTRIES INC TX 5.07,8.01,9.01 06/27/13 MAGICJACK VOCALTEC LTD L3 8.01 06/28/13 MANAS PETROLEUM Corp NV 1.01,8.01,9.01 12/31/12 AMEND MARCUS CORP WI 1.01,2.03,9.01 06/27/13 MARVELL TECHNOLOGY GROUP LTD D0 5.07 06/26/13 MGT CAPITAL INVESTMENTS INC DE 7.01 06/21/13 AMEND MICROCHIP TECHNOLOGY INC DE 1.01,1.02,2.03,9.01 06/27/13 MILLER ENERGY RESOURCES, INC. TN 1.01,8.01,9.01 06/26/13 MISSION COMMUNITY BANCORP CA 1.01,9.01 06/25/13 Mister Goody, Inc. FL 8.01 06/11/13 MONMOUTH REAL ESTATE INVESTMENT CORP MD 5.02 06/28/13 AMEND MONROE CAPITAL Corp MD 5.07 06/26/13 MORGAN STANLEY DE 8.01 06/28/13 Morgan Stanley Bank of America Merril 6.02 06/28/13 Morgan Stanley Capital I Trust 2012-C DE 6.02 06/28/13 Naugatuck Valley Financial Corp 8.01,9.01 06/04/13 NAVARRE CORP /MN/ MN 1.01,9.01 06/28/13 NAVIDEA BIOPHARMACEUTICALS, INC. DE 1.01,1.02,2.04, 06/24/13 AMEND 3.02,3.03,5.02,5.03,8.01,9.01 NeuroMetrix, Inc. DE 5.02 06/27/13 NEVADA GOLD & CASINOS INC NV 1.01,8.01,9.01 06/28/13 New Source Energy Partners L.P. DE 1.01,2.03,7.01,9.01 06/25/13 NEXTERA ENERGY INC FL 2.03 06/27/13 NORD RESOURCES CORP DE 1.01,9.01 06/28/13 NorthStar Healthcare Income, Inc. MD 1.01 06/28/13 NOVA MINING CORP NV 1.01,9.01 06/27/13 NOVAVAX INC DE 5.02,9.01 06/24/13 Nuverra Environmental Solutions, Inc. DE 5.02 06/24/13 Oconee Federal Financial Corp. 5.02,9.01 06/28/12 PALATIN TECHNOLOGIES INC DE 5.02,5.03,5.07,9.01 06/27/13 PAR PETROLEUM CORP/CO DE 1.01,2.03,9.01 06/24/13 PDC ENERGY, INC. NV 8.01,9.01 06/27/13 PDC ENERGY, INC. NV 8.01,9.01 06/27/13 PEERLESS SYSTEMS CORP DE 5.07 06/27/13 PENSECO FINANCIAL SERVICES CORP PA 1.01,7.01,9.01 06/28/13 PERVASIP CORP NY 1.01,9.01 06/27/13 PETROQUEST ENERGY INC DE 1.01,8.01,9.01 06/28/13 Phillips Edison - ARC Shopping Center MD 2.01,8.01,9.01 06/24/13 PHL VARIABLE INSURANCE CO /CT/ 7.01 06/28/13 PHOENIX COMPANIES INC/DE DE 7.01,9.01 06/28/13 PLUG POWER INC DE 7.01,9.01 06/28/13 PREFERRED APARTMENT COMMUNITIES INC MD 1.01,2.01,2.03,9.01 06/25/13 PRIVATEBANCORP, INC DE 7.01,9.01 06/28/13 PROSPECT GLOBAL RESOURCES INC. NV 9.01 11/29/12 AMEND PROVIDENT NEW YORK BANCORP DE 8.01,9.01 06/18/13 QLT INC/BC A1 8.01,9.01 06/27/13 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.02,5.02,9.01 06/24/13 RECOVERY ENERGY, INC. NV 5.02,5.07 06/25/13 Resolute Energy Corp DE 8.01 06/27/13 RESPECT YOUR UNIVERSE, INC. NV 5.02 06/21/13 RICKS CABARET INTERNATIONAL INC TX 5.02,5.07,9.01 06/25/13 Ryman Hospitality Properties, Inc. DE 7.01 06/28/13 SAExploration Holdings, Inc. DE 1.01,2.01,2.03, 06/24/13 3.02,3.03,4.01,5.01,5.02,5.06 Samson Oil & Gas LTD C3 5.02 06/26/13 Santo Mining Corp. NV 1.01,1.02,3.02,9.01 06/20/13 SAUER ENERGY, INC. NV 4.01,9.01 06/27/13 SCG Financial Acquisition Corp. DE 7.01 06/28/13 SCICLONE PHARMACEUTICALS INC DE 1.01,5.02,5.07,9.01 06/24/13 SEACOR HOLDINGS INC /NEW/ DE 5.03,5.07,9.01 06/26/13 Select Income REIT MD 5.03,8.01,9.01 06/27/13 Shire plc 8.01,9.01 06/28/13 Shire plc 8.01,9.01 06/28/13 SOTHEBYS DE 1.01 06/27/13 SOUTHERN CO DE 8.01 06/28/13 SPECTRUM PHARMACEUTICALS INC DE 5.02,5.07 06/28/13 SRA INTERNATIONAL, INC. VA 5.02,9.01 06/24/13 STEINWAY MUSICAL INSTRUMENTS INC DE 2.01,9.01 06/28/13 STERLING CONSTRUCTION CO INC DE 5.02 06/27/13 STRONGBOW RESOURCES INC. NV 5.02 06/27/13 SUSSEX BANCORP NJ 1.01,8.01,9.01 06/26/13 SYNALLOY CORP DE 5.02,9.01 06/27/13 T Bancshares, Inc. 5.07 06/26/13 TANDY BRANDS ACCESSORIES INC DE 1.01,5.02 06/25/13 TARGACEPT INC 5.02,9.01 06/28/13 TAURIGA SCIENCES, INC. FL 1.01,2.03,3.02,9.01 06/24/13 TECKMINE INDUSTRIES INC. 2.01,3.02,5.01, 06/25/13 5.02,5.03,5.06,9.01 TECO ENERGY INC FL 1.01,2.03,9.01 06/24/13 TEL OFFSHORE TRUST TX 1.01,2.02,2.03,9.01 05/23/13 TELLABS INC DE 5.02,9.01 06/24/13 TENGASCO INC TN 5.02,9.01 06/24/13 Texas Roadhouse, Inc. DE 5.02 06/26/13 TIBCO SOFTWARE INC DE 5.03,9.01 06/27/13 TIDEWATER INC DE 8.01,9.01 06/25/13 Tornier N.V. P7 5.07,8.01,9.01 06/27/13 TOWERSTREAM CORP DE 1.01,9.01 06/28/13 Trycera Financial, Inc. NV 1.01,3.02 06/28/13 Tungsten Corp. NV 5.02,9.01 06/24/13 TWO RIVER BANCORP NJ 5.03,8.01,9.01 06/28/13 U.S. SILICA HOLDINGS, INC. DE 7.01,9.01 06/28/13 UNITED COMMUNITY BANKS INC GA 1.01,8.01,9.01 06/26/13 UNITED COMMUNITY FINANCIAL CORP OH 5.02,9.01 06/25/13 United Development Funding IV MD 5.07 06/26/13 UNITED MORTGAGE TRUST MD 5.07 06/26/13 United States 12 Month Natural Gas Fu 7.01,9.01 06/28/13 United States 12 Month Oil Fund, LP 7.01,9.01 06/28/13 United States Brent Oil Fund, LP DE 7.01,9.01 06/28/13 United States Commodity Index Funds T DE 7.01,9.01 06/28/13 United States Diesel-Heating Oil Fund DE 7.01,9.01 06/28/13 United States Gasoline Fund, LP DE 7.01,9.01 06/28/13 United States Natural Gas Fund, LP 7.01,9.01 06/28/13 United States Oil Fund, LP DE 7.01,9.01 06/28/13 United States Short Oil Fund, LP DE 7.01,9.01 06/28/13 UNITIL CORP NH 7.01,9.01 06/26/13 URANERZ ENERGY CORP. NV 1.01,9.01 06/28/13 US ENERGY CORP WY 5.07 06/28/13 VelaTel Global Communications, Inc. NV 8.01 06/27/13 VistaGen Therapeutics, Inc. NV 1.01,3.02,7.01, 06/27/13 8.01,9.01 VISTEON CORP DE 2.02,7.01,9.01 06/28/13 VISUALANT INC NV 2.03 06/26/13 Walker & Dunlop, Inc. MD 1.01,2.03,9.01 06/25/13 WELLS FARGO & COMPANY/MN DE 9.01 06/28/13 WESTELL TECHNOLOGIES INC DE 5.02,9.01 06/24/13 Win Global Markets, Inc. NV 5.02 06/28/13 X-Factor Communications Holdings, Inc DE 1.01,3.02,9.01 06/24/13 Xenith Bankshares, Inc. VA 5.07 05/02/13 AMEND Yew Bio-Pharm Group, Inc. NV 5.07 06/26/13 Zenitech Corp 1.01,5.01,5.02,9.01 06/26/13 ZHONGPIN INC. DE 2.01,3.01,3.03, 06/27/13 5.01,5.02,5.03,5.07,8.01,9.01