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Commission announcementsCommission Suspends Trading in the Securities of Four Issuers for Failure to Make Required Periodic FilingsThe Securities and Exchange Commission (Commission) announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on July 2, 2013 and terminating at 11:59 p.m. EDT on July 16, 2013.
The Commission temporarily suspended trading in the securities of these four issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over a year. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). 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 these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. 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. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-69907) ENFORCEMENT PROCEEDINGSCommission Orders Hearings on Registration Suspension or Revocation Against Four Companies for Failure to Make Required Periodic FilingsIn conjunction with these trading suspensions, the Commission today also instituted a public administrative proceeding to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of four companies for failure to make required periodic filings with the Commission: In the Matter of GDT Tek, Inc., et al., Administrative Proceeding File No. 3-15368
In this Order, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and/or 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in the proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-69906; File No. 3-15368) Commission Charges Armand R. Franquelin and Martin A. Pool with Violations of the Federal Securities LawsOn, July 2, 2013, the Commission filed a civil injunctive action against Armand R. Franquelin (Franquelin) and Martin A. Pool (Pool), alleging that Franquelin and Pool violated the federal securities laws in connection with the sale of securities by The Elva Group, LLC (Elva Group). Judith E. Franquelin, wife of Armand R. Franquelin, was named as a relief defendant. In its Complaint, filed in the U.S. District Court for the District of Utah, the Commission alleges that from at least January 2006 through August 2010, Franquelin and Pool engaged in a Ponzi scheme and acted as unregistered broker-dealers by offering and selling more than $12 million in Elva Group securities to approximately 130 investors. The Complaint alleges Franquelin and Pool encouraged investors to convert funds held in Individual Retirement Accounts (IRAs) into self-directed IRAs through Destiny Funding, LLC, another company owned by Franquelin and Pool, before investing those funds with Elva Group. Franquelin and Pool claimed to use investor funds to develop real estate and guaranteed returns ranging from 10% to 240% per year. Instead of using investor funds as represented, it is alleged that Franquelin and Pool misappropriated investor money for their personal use, to make “interest” payments to earlier investors, and to pay for continuing Elva Group expenses. The Commission alleges that by engaging in this conduct Franquelin and Pool violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (Securities Act) and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The complaint seeks a permanent injunction as well as disgorgement, prejudgment interest and a civil penalty from Franquelin and Pool. The complaint also seeks disgorgement and prejudgment interest from Judith Franquelin. Without admitting or denying the allegations in the Commission’s complaint, Pool has consented to the entry of a final judgment permanently enjoining him from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder. Pool has also consented to pay disgorgement of $970,510.00, plus prejudgment interest of $418,935.05, but payment of disgorgement and prejudgment interest will be waived and no civil penalty will be imposed based on Pool’s current financial condition. The Commission acknowledges the assistance of the Federal Bureau of Investigation and the State of Utah Division of Securities in this matter. [SEC v. Franquelin et al., Civil No.:1:13-cv-00096 (USDC Utah, July 2, 2013)] (LR-22740) Former CFO Agrees to Settle Charges of Evading Internal Controls to Pay for Unauthorized Travel and Entertainment ExpensesThe Commission announced today that Subramanian Krishnan (Krishnan), the former Chief Financial Officer (CFO) of Digi International, Inc. (Digi), has agreed to settle the Commission’s civil action against him. The Commission’s complaint, filed September 28, 2012, in the U.S. District Court for the District of Minnesota, alleges that Krishnan engaged in conduct which resulted in the filing of inaccurate reports and accompanying certifications in Digi’s annual quarterly reports from March 2005 through May 2010. The complaint alleges that Krishnan engaged in a course of conduct, which resulted in corporate funds being used to pay for unauthorized travel and entertainment expenses. Krishnan authorized such expenses for Digi employees, caused the Company to file inaccurate reports, failed to enforce Digi’s internal controls, demonstrated a lack of management integrity, and wrongly certified that Digi’s internal controls were effective. Simultaneously with the Commission’s complaint, without admitting or denying the allegations in the Commission’s complaint, Krishnan had previously consented to a final judgment permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. Krishnan is also permanently restrained and enjoined from future violations of Sections 13(a) and 13(b)(5) and Rules 12b-20, 13a-1, 13a-13, 13a-14, 13b2-1 and 13b2-2 thereunder of the Exchange Act and from aiding and abetting violations of Sections 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act. Under today’s announcement, Krishnan consented to the entry of a judgment prohibiting him from acting as an officer or director of a public company for a period of five years following the date of the filing of the Commission’s complaint and imposing a $60,000 civil penalty. Krishnan also has consented to the issuance of a Commission order, pursuant to Rule 102(e)(3) of the Commission’s Rules of Practice, suspending him from appearing or practicing as an accountant before the Commission with the right to apply for reinstatement after five years. [SEC v. Subramanian Krishnan, Civil Action No. 12-CV-2495 PAM-JJG] (LR-22741) Jay T. Comeaux DisgorgementJay T. Comeaux (Comeaux) has been ordered to disgorge $3,386,974.50 of ill-gotten gains derived from his conduct at his former employer, which was owned by convicted Ponzi schemer R. Allen Stanford. The sanction was ordered in an administrative proceeding before an administrative law judge to determine the amount, if any, of monetary sanctions against Comeaux. Previously, pursuant to Comeaux’s offer of settlement, the Securities and Exchange Commission concluded that he had violated the antifraud provisions of the federal securities laws, barred him from the securities industry, and imposed a cease-and-desist order. (ID-494; File No. 3-15002) Commission Issues Order Regarding Whistleblower ClaimThe Commission issued an order on July 2, 2013 denying a whistleblower a claim for an award. The basis for the denial was that the whistleblower did not provide original information to the Commission after July 21, 2010 as required by the rules governing the SEC’s Whistleblower program. Specifically, the claimant submitted information to the SEC in April 2006 about suspected accounting fraud. The whistleblower did not provide any additional information after May 2006 relating to the alleged fraud. The SEC subsequently filed an enforcement action, alleging violations of various anti-fraud provisions of the federal securities laws as well as violations of registration and books and records provisions. The whistleblower then timely filed a claim for an award. The Claims Review Staff (CRS) made a Preliminary Determination recommending that the claim be denied because the whistleblower’s information was not “original” as it was not submitted after July 21, 2010, the date that Section 21F was added to the Securities Exchange Act of 1934 by the Dodd-Frank Wall Street Reform and Consumer Protection Act, and as required by 17 C.F.R. 240.21F-4(b)(1)(iv). The whistleblower challenged the Preliminary Determination, and the CRS upheld the Preliminary Determination. On July 2, 2013, the Commission ordered that the whistleblower’s claim be denied. Congress authorized the whistleblower program in the 2010 Dodd-Frank Act to reward individuals who offer high-quality original information that leads to an SEC enforcement action resulting in sanctions of more than $1 million. The law also includes provisions to protect whistleblowers from being identified and safeguard them from retaliation. Accordingly, as with other orders addressing whistleblower claims, this order does not identify the whistleblower in order to preserve the whistleblower’s confidentiality. (Rel. 34-69912; File No. 2013-2) Commission Denies Motion Brought By James M. Schneider, CPAThe Commission has denied James M. Schneider's motion to clarify a Commission order that suspended him from appearing or practicing before the Commission as an accountant pursuant to Rule of Practice 102(e), with the right to apply for reinstatement after five years. Schneider asked the Commission to clarify that the Rule 102(e) order did "not preclude Mr. Schneider from serving on the audit committee of a Commission registrant or as the CFO of a public company, so long as he does not serve as the principal accounting officer." The draft order denies Schneider's motion by explaining that the scope of the Commission's order does not, as Schneider proposes, turn on specific job titles, such as CFO or audit committee member. Rather, the order explains, the applicability of the order's prohibition on appearing or practicing before the Commission depends on the particular tasks and responsibilities that Schneider may undertake—conduct that one could perform in any number of job titles, including the ones that Schneider seeks to exempt from the Commission's order. (Rel. 34-69922; File No. 3-14171) Commission Sustains FINRA Disciplinary Action against Registered Representative and SupervisorThe Commission has sustained disciplinary action by the Financial Industry Regulatory Authority ("FINRA") against William J. Murphy and Carl M. Birkelbach, formerly associated with member firm Birkelbach Investment Securities, Inc. In its opinion, the Commission sustained FINRA's finding of sales practice violations by Murphy, which included discretionary trading without authorization, unauthorized trading, unsuitable and excessive trading, churning, and the creation and distribution of misleading communications. In one customer account at issue, Murphy engaged in excessive options trading that generated over one million dollars in commissions in the span of approximately three-and-half years. The Commission also sustained FINRA’s findings of supervisory violations by Birkelbach for ignoring obvious and repeated red flags with regard to Murphy’s handling of customer accounts. Finally, the Commission has sustained FINRA’s imposition of sanctions: a bar in all capacities and the disgorgement of $585,174.67 for Murphy and bar in all capacities for Birkelbach. (Rel. 34-69923; File No. 3-14609) In the Matter of SinoHub, Inc.An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default (Default Order) in SinoHub, Inc., Admin. Proc. File No. 3-15305. The Order Instituting Proceedings (OIP) alleged that Respondent SinoHub, Inc. (SinoHub), repeatedly failed to file timely periodic reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of SinoHub’s registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-69905; File No. 3-15305) In the Matter of Jennifer E. ThoennesAn Administrative Law Judge issued an Order Making Findings and Imposing Sanctions By Default (Default Order) in Jennifer E. Thoennes, Admin. Proc. File No. 3-15294. The Default Order finds that in SEC v. Wilcox, Case No. 2:11-cv-01219-DN (D. Utah) (Dec. 20, 2012), Jennifer E. Thoennes (Thoennes) was permanently enjoined from future violations of Sections 5 and 17(a) of the Securities Act of 1933 (Securities Act), Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rule 10b-5, and from aiding and abetting violations of Section 5 of the Securities Act, Section 10(b) of the Exchange Act and Exchange Act Rule 10b-5. The Final Judgment in Wilcox ordered Thoennes to pay disgorgement of $45,000, plus prejudgment interest of $4,791, for a total of $49,791, and to pay a $45,000 civil penalty. The Default Order finds that it is in the public interest to bar Thoennes from being associated with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and from participating in an offering of penny stock. (Rel. 34-69896; File No. 3-15294) Investment company ordersKP Funds, et al.An order has been issued on an application filed by KP Funds, et al., under Section 12(d)(1)(J) of the Investment Company Act (Act) for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Sections 17(a)(1) and (2) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The order permits (a) certain registered open-end management investment companies that operate as “funds of funds” to acquire shares of certain registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies and (b) funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (IC-30586) First Trust Exchange-Traded Fund, et al.An order has been issued on an application filed by First Trust Exchange-Traded Fund, et al. under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Section 15(a) of the Act and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (IC-30587) 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) Notice of Applications for Deregistration under the Investment Company Act of 1940For the month of June 2013, a notice has been issued giving interested persons until July 23, 2013, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act of 1940 declaring that the applicant has ceased to be an investment company: Glickenhaus Value Portfolios 1996 Equity Collection [File No. 811-7423] Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by The NASDAQ Stock Market LLC to amend Rule 4120(c)(7) to modify the parameters for releasing IPO securities for trading pursuant to the IPO Halt Cross under Rule 4753 (SR-NASDAQ-2013-092) 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. 34-69897) A proposed rule change filed by The NASDAQ Stock Market LLC to modify the fees under the QMM Pricing Incentive Program under Rules 7014 and 7015 (SR-NASDAQ-2013-093) 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. 34-69898) A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2013-70) to its Schedule of Fees and Rebates for the execution of quotes and orders on NASDAQ OMX PSX 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. 34-69901) A proposed rule change filed by the New York Stock Exchange LLC to amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to change the monthly fees for the use of certain ports (SR-NYSEArca-2013-64) 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. 34-69904) A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-24) relating to amendments to the EDGX Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69899) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2013-18) relating to amendments to the EDGA Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69900) A proposed rule change filed by the Chicago Stock Exchange, Inc. to amend the single-sided order fees and credits and the order cancellation fee (SR-CHX-2013-12) 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. 34-69903) Notice of Proposed Rule ChangeThe Financial Industry Regulatory Authority, Inc. has filed a proposed rule change (SR-FINRA-2013-025) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to adopt rules regarding supervision in the consolidated FINRA rulebook. Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69902) 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-3ASR TESARO, Inc., 1000 WINTER STREET, SUITE 3300, WALTHAM, MA, 02451,
(339) 970-0900 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-189718 - Jul. 1) (BR. 01A)
S-3ASR EQT Midstream Partners, LP, 625 LIBERTY AVENUE, SUITE 1700, PITTSBURGH,
PA, 15222, 412-553-5700 - 0 ($0.00) Other, (File 333-189719 - Jul. 1)
(BR. 02C)
S-8 Mellanox Technologies, Ltd., 350 OAKMEAD PARKWAY, SUITE 100, SUNNYVALE,
CA, 94085, 408-970-3400 - 0 ($2,636,333.56) Equity, (File 333-189720 -
Jul. 1) (BR. 10B)
S-8 Fresenius Medical Care AG & Co. KGaA, ELSE-KROENER STRASSE 1,
BAD HOMBURG, 2M, 61352, 011-49-6172-6090 - 0 ($849,579,943.66) Equity,
(File 333-189721 - Jul. 1) (BR. 09B)
S-1 Mobile Lads Corp, 83 DUCIE STREET, MANCHESTER, X0, M1L 2JQ,
1 786 404 1183 - 3,000,000 ($90,000.00) Equity, (File 333-189723 -
Jul. 1) (BR. 11)
S-8 Southern National Bancorp of Virginia Inc, 1770 TIMBERWOOD BOULEVARD,
SUITE 100, CHARLOTTESVILLE, VA, 22911, (434) 973-5242 -
0 ($907,000.00) Equity, (File 333-189730 - Jul. 1) (BR. 07C)
S-1 Type 1 Media Inc., 5959 SPRING GARDEN RD., #1507, HALIFAX, A5, B3H 1Y4,
902-483-8511 - 700,000 ($35,000.00) Equity, (File 333-189731 - Jul. 1)
(BR. 11)
N-2 O'Connor Fund of Funds: Masters,
C/O UBS ALT. AND QUANT. INVESTMENTS LLC, 677 WASHINGTON BOULEVARD,
STAMFORD, CT, 06901, 203-719-1428 -
500,000,000 ($500,000,000.00) Equity, (File 333-189732 - Jul. 1) (BR. )
S-8 TOTAL SYSTEM SERVICES INC, 1600 FIRST AVENUE, P O BOX 1755, COLUMBUS,
GA, 31901, 7066492267 - 0 ($49,061,227.00) Equity, (File 333-189733 -
Jul. 1) (BR. 03C)
S-1 HealthTalk Live, Inc., 1955 BARING BLVD., SPARKS, NV, 89434,
850-329-5947 - 1,080,000 ($108,000.00) Equity, (File 333-189735 -
Jul. 1) (BR. )
S-1 CONTROL4 CORP, 11734 SOUTH ELECTION ROAD, SALT LAKE CITY, UT, 84020,
801-523-3100 - 0 ($60,000,000.00) Equity, (File 333-189736 - Jul. 1)
(BR. 10)
S-8 TANDY BRANDS ACCESSORIES INC, 3631 W. DAVIS STE A, DALLAS, TX, 75211,
2145195200 - 608,911 ($335,814.00) Equity, (File 333-189737 - Jul. 1)
(BR. 09B)
S-8 Esperion Therapeutics, Inc., 46701 COMMERCE CENTER DRIVE, PLYMOUTH, MI,
48170, 734-862-4840 - 0 ($19,731,339.94) Equity, (File 333-189738 -
Jul. 1) (BR. 01A)
S-3 Ascent Solar Technologies, Inc., 12300 GRANT STREET, THORNTON, CO,
80241, (720) 872-5000 - 15,375,000 ($11,402,100.00) Equity,
(File 333-189739 - Jul. 1) (BR. 10A)
S-8 MICROVISION INC, 6222 185TH AVE NE, REDMOND, WA, 98052, 425-936-6847 -
1,600,000 ($3,856,000.00) Equity, (File 333-189740 - Jul. 1) (BR. 10B)
S-4 Atlas Resource Partners, L.P., PARK PLACE CORPORATE CENTER ONE,
1000 COMMERCE DRIVE, 4TH FLOOR, PITTSBURGH, PA, 15275, 412-489-0006 -
0 ($275,000,000.00) Debt, (File 333-189741 - Jul. 1) (BR. 04A)
S-8 HARMONIC ENERGY, INC., 3RD FLOOR, 207 REGENT STREET, LONDON, X0,
W1B 3HH, 44 (0) 20 7617 7300 - 7,000,000 ($798,000.00) Equity,
(File 333-189742 - Jul. 1) (BR. 05B)
S-8 ICG GROUP, INC., 555 E. LANCASTER AVENUE, SUITE 640, RADNOR, PA, 19087,
610-727-6900 - 0 ($22,960,000.00) Equity, (File 333-189743 - Jul. 1)
(BR. 08B)
S-8 PEOPLES BANCORP INC, 138 PUTNAM ST, P O BOX 738, MARIETTA, OH,
45750-0738, 7403733155 - 500,000 ($10,570,000.00) Equity,
(File 333-189744 - Jul. 1) (BR. 07B)
S-3 ECOTALITY, INC., POST MONTGOMERY CENTER,
ONE MONTGOMERY STREET, SUITE 2525, SAN FRANCISCO, CA, 94104,
480-992-3000 - 7,685,135 ($12,449,919.00) Equity, (File 333-189745 -
Jul. 1) (BR. 10A)
S-8 KCG Holdings, Inc., 545 WASHINGTON BOULEVARD, JERSEY CITY, NJ, 07310,
201-222-9400 - 0 ($230,147,798.00) Equity, (File 333-189746 - Jul. 1)
(BR. 12)
S-3ASR KCG Holdings, Inc., 545 WASHINGTON BOULEVARD, JERSEY CITY, NJ, 07310,
201-222-9400 - 0 ($0.00) Other, (File 333-189747 - Jul. 1) (BR. 12)
S-8 AL International, Inc., 2400 BOSWELL ROAD, CHULA VISTA, CA, 91914,
619-934-3980 - 40,000,000 ($12,800,000.00) Equity, (File 333-189748 -
Jul. 1) (BR. 02)
S-1 INTERLEUKIN GENETICS INC, 135 BEAVER ST, WATHAM, MA, 02452,
1-781-398-0700 - 120,408,197 ($55,989,812.00) Equity,
(File 333-189749 - Jul. 1) (BR. 01A)
S-8 Castle Brands Inc, 122 EAST 42ND STREET, SUITE 4700, NEW YORK, NY,
10168, 646-356-0200 - 10,000,000 ($3,600,000.00) Equity,
(File 333-189750 - Jul. 1) (BR. 09A)
S-1 WINKLEVOSS BITCOIN TRUST, C/O MATH-BASED ASSET SERVICES LLC,
1007 ORANGE STREET, SUITE 1463, WILMINGTON, DE, 19801, 302-472-9171 -
0 ($20,090,000.00) Other, (File 333-189752 - Jul. 1) (BR. )
S-1 MARRONE BIO INNOVATIONS INC, 2121 SECOND STREET, SUITE B-107, DAVIS,
CA, 95618, 530-750-2800 - 0 ($60,000,000.00) Equity, (File 333-189753 -
Jul. 1) (BR. 05)
Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
1st United Bancorp, Inc. FL 2.01,7.01,9.01 07/01/13
Abtech Holdings, Inc. NV 3.02 06/25/13
ACACIA RESEARCH CORP DE 8.01 06/28/13
Accenture plc L2 5.02,9.01 06/27/13
ACCENTURE SCA 5.02,9.01 06/27/13
ACHILLION PHARMACEUTICALS INC DE 8.01,9.01 06/28/13
AcroBoo, Inc. NV 4.01 06/28/13
ACURA PHARMACEUTICALS, INC NY 8.01,9.01 07/01/13
Addus HomeCare Corp DE 3.01 07/01/13
ADVANCED PHOTONIX INC DE 2.02,7.01,9.01 07/01/13
AeroGrow International, Inc. NV 2.02,7.01,9.01 07/01/13
AFFIRMATIVE INSURANCE HOLDINGS INC DE 1.01,9.01 06/28/13
AGY Holding Corp. DE 1.01,3.03, 06/28/13
5.01,8.01,9.01
AIR INDUSTRIES GROUP, INC. DE 7.01,9.01 07/01/13
ALCOA INC PA 8.01,9.01 06/28/13
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 07/01/13
ALLIANCE ONE INTERNATIONAL, INC. VA 8.01,9.01 07/01/13
Allied World Assurance Co Holdings, A 7.01,9.01 07/01/13
AMERICAN REALTY CAPITAL NEW YORK RECO MD 1.01,9.01 06/28/13
AMERICAN TOWER CORP /MA/ DE 1.01,1.02,2.03,9.01 06/28/13
Amtrust Financial Services, Inc. DE 1.01,9.01 06/26/13
AMYRIS, INC. DE 1.01,2.03 06/25/13
ANDAIN, INC. NV 4.01,9.01 01/28/13 AMEND
AntriaBio, Inc. DE 7.01,9.01 07/01/13
APT Systems Inc 8.01 07/01/13
ARCA biopharma, Inc. DE 7.01 06/28/13
ARKANSAS BEST CORP /DE/ DE 8.01,9.01 06/27/13
ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 2.02,9.01 06/28/13
ARRIS GROUP INC DE 5.02,9.01 07/01/13
Artemis Acquisition Corp. DE 1.01,2.01,3.02, 12/31/12 AMEND
5.02,5.06,9.01
ASTORIA FINANCIAL CORP DE 5.02,9.01 07/01/13
Attitude Drinks Inc. DE 5.03,5.07 07/01/13
ATWOOD OCEANICS INC TX 7.01,9.01 06/27/13
AURA SYSTEMS INC DE 1.01,2.03,3.02 06/28/13
Avery Dennison Corp DE 1.01,2.01,8.01,9.01 07/01/13
BankGuam Holding Co 5.02,9.01 06/27/13
BankGuam Holding Co 9.01 05/01/13 AMEND
Berkshire Homes, Inc. NV 2.03,9.01 06/27/13
BGC Partners, Inc. DE 2.01,9.01 06/28/13
BLACKSTONE MORTGAGE TRUST, INC. MD 5.02,5.07,9.01 06/27/13
Blueknight Energy Partners, L.P. DE 1.01,2.03,9.01 06/28/13
BLVD HOLDINGS INC NV 5.02,9.01 06/27/13
BLYTH INC DE 5.02,9.01 06/26/13
BOSTON PROPERTIES INC DE 8.01,9.01 06/27/13
BOSTON PROPERTIES LTD PARTNERSHIP DE 8.01,9.01 06/27/13
BOSTON SCIENTIFIC CORP DE 8.01,9.01 06/28/13
BSQUARE CORP /WA WA 5.02 07/01/13
CALPINE CORP DE 1.01,9.01 06/27/13
CAMERON INTERNATIONAL CORP DE 1.01,9.01 06/30/13
CANANDAIGUA NATIONAL CORP NY 8.01,9.01 07/01/13
Carbon Natural Gas Co DE 5.07 06/25/13
CARPENTER TECHNOLOGY CORP DE 1.01,1.02,2.03,9.01 06/28/13
CARROLLTON BANCORP MD 1.01,9.01 06/26/13
Carter Validus Mission Critical REIT, MD 5.07 06/28/13
CASEY CONTAINER CORP NV 3.02,8.01,9.01 07/01/13
Castle Brands Inc FL 2.02,9.01 07/01/13
CELL THERAPEUTICS INC WA 5.02,7.01,9.01 06/25/13
CF Industries Holdings, Inc. DE 8.01,9.01 07/01/13
CHIMERA INVESTMENT CORP DE 5.02 06/26/13
CHINA GENGSHENG MINERALS, INC. NV 4.01,9.01 06/28/13
China Pharmaceuticals Inc NV 1.01,2.03,9.01 06/27/13
China Precision Steel, Inc. CO 5.07,8.01,9.01 06/28/13
CHINA VALVES TECHNOLOGY, INC NV 5.02,9.01 07/01/13
ChinaNet Online Holdings, Inc. NV 5.07 06/28/13
CIFC Corp. DE 5.07 06/26/13
CITIGROUP INC DE 2.02,8.01,9.01 06/28/13
CNL Growth Properties, Inc. MD 1.01,2.03,9.01 06/25/13
CNL Growth Properties, Inc. MD 5.03,5.07,9.01 05/01/13
CNO Financial Group, Inc. DE 8.01,9.01 07/01/13
Cole Credit Property Trust II Inc MD 8.01 07/01/13
CombiMatrix Corp DE 2.02,3.02, 06/27/13
3.03,5.02,7.01,9.01
Compass Diversified Holdings DE 1.01,1.02,9.01 07/01/13
Con-way Inc. DE 1.01,9.01 06/28/13
CONCHO RESOURCES INC DE 5.02 07/01/13
CORGENIX MEDICAL CORP/CO CO 5.02 06/25/13
CorMedix Inc. DE 5.02,8.01 06/28/13
Cornerstone Core Properties REIT, Inc MD 5.07 05/16/13
CORONADO BIOSCIENCES INC DE 8.01,9.01 07/01/13
Covidien plc 8.01 07/01/13
Covidien plc 1.01,2.01,5.02,9.01 06/28/13
CROWN MEDIA HOLDINGS INC DE 5.07 06/26/13
Crystal Rock Holdings, Inc. DE 5.07,9.01 06/25/13
CYTORI THERAPEUTICS, INC. DE 1.01,1.02,2.03, 06/28/13
3.02,9.01
Darkstar Ventures, Inc. NV 8.01 06/28/13
DELTA AIR LINES INC /DE/ DE 5.07 06/27/13
Diamond Foods Inc DE 5.02,9.01 06/25/13 AMEND
DIGIRAD CORP DE 5.02,9.01 07/01/13
Digital Cinema Destinations Corp. DE 7.01 06/27/13
DIXIE GROUP INC TN 1.01,2.01,8.01,9.01 06/30/13
DOCUMENT SECURITY SYSTEMS INC NY 1.01,2.01,5.01, 07/01/13
5.02,5.03,8.01,9.01
Dryrock Funding LLC DE 1.01,9.01 07/01/13
DYNAMIC MATERIALS CORP DE 5.02,9.01 07/01/13
Eagle Bancorp Montana, Inc. 8.01,9.01 07/01/13
EARTHSTONE ENERGY INC DE 7.01,9.01 07/01/13
Encompass Energy Services, Inc. DE 5.07 06/28/13
ENDOLOGIX INC /DE/ DE 2.02,7.01,9.01 07/01/13
Ener-Core Inc. NV 1.01,2.01,3.02, 07/01/13
5.01,5.02,5.06,8.01,9.01
ENTERGY CORP /DE/ DE 8.01 06/28/13
ENVESTNET, INC. DE 2.01,8.01,9.01 07/01/13
ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 8.01,9.01 07/01/13
ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 2.03,3.02,9.01 07/01/13
EOG RESOURCES INC DE 5.02,8.01 07/01/13
EQT Midstream Partners, LP DE 8.01,9.01 07/01/13
EZCORP INC DE 2.05,9.01 06/27/13
FAB Universal Corp. CO 5.07 06/26/13
FARMERS CAPITAL BANK CORP KY 8.01,9.01 07/01/13
FEDERATED NATIONAL HOLDING CO FL 1.01 07/01/13
Fibrocell Science, Inc. DE 1.01,3.02,9.01 06/28/13
FIRST ACCEPTANCE CORP /DE/ DE 5.02 07/01/13
FIRST BANKS, INC MO 5.02,9.01 07/01/13
FIRST FINANCIAL BANKSHARES INC TX 1.01,9.01 06/30/13
FIRST INDUSTRIAL REALTY TRUST INC MD 1.02 06/28/13
FIRST M&F CORP/MS MS 7.01,9.01 07/01/13
FIRST PACTRUST BANCORP INC MD 8.01,9.01 06/28/13
FONU2 Inc. NV 1.01,2.03,9.01 06/25/13
Fordgate Acquisition Corp DE 3.02,5.01,5.02 06/27/13
FORTUNE INDUSTRIES, INC. DE 3.01,9.01 07/01/13
FRANKLIN STREET PROPERTIES CORP /MA/ 2.01,9.01 07/01/13
FRESH START PRIVATE MANAGEMENT, INC. NV 1.01,9.01 07/01/13
GALECTIN THERAPEUTICS INC NV 7.01,9.01 07/01/13
GELTOLOGY INC DE 5.03,5.07,9.01 06/28/13
GENERAL EMPLOYMENT ENTERPRISES INC IL 1.01,2.01,5.02,9.01 06/26/13
GENSPERA INC DE 5.02 06/30/13
GENTHERM Inc MI 5.02,9.01 07/01/13
GIGA TRONICS INC CA 2.02,9.01 06/27/13
GNC HOLDINGS, INC. DE 5.02,9.01 06/25/13
GOOD SAM ENTERPRISES, LLC DE 8.01,9.01 07/01/13
GULFMARK OFFSHORE INC DE 5.02 06/26/13
HAMPTON ROADS BANKSHARES INC VA 5.07 06/26/13
HARRIS INTERACTIVE INC DE 8.01 06/28/13
HARVEST NATURAL RESOURCES, INC. DE 5.07 06/27/13
HAYNES INTERNATIONAL INC DE 7.01,9.01 06/30/13
HEALTHCARE REALTY TRUST INC MD 8.01 07/01/13
HEALTHWAYS, INC DE 1.01,8.01,9.01 07/01/13
HII Technologies, Inc. 1.01,9.01 06/26/13
Hines Global REIT, Inc. MD 8.01 07/01/13
HINES REAL ESTATE INVESTMENT TRUST IN 8.01 07/01/13
HomeStreet, Inc. WA 7.01,9.01 07/01/13
Horizon Technology Finance Corp DE 1.01,1.02,2.03,9.01 07/01/13
Hudson Pacific Properties, Inc. MD 1.01,7.01,9.01 06/25/13
HURCO COMPANIES INC IN 7.01,9.01 07/01/13
HYBRID Coating Technologies Inc. 1.01,3.03,9.01 06/28/13
IMPLANT SCIENCES CORP MA 1.01,5.02,9.01 07/01/13
India Globalization Capital, Inc. MD 4.01,9.01 06/25/13
Inland Diversified Real Estate Trust, MD 7.01,9.01 07/01/13
INLAND REAL ESTATE CORP MD 8.01,9.01 06/26/13
INSMED INC VA 8.01,9.01 07/01/13
INTEGRA LIFESCIENCES HOLDINGS CORP DE 1.01,9.01 07/01/13
INTEGRAL TECHNOLOGIES INC NV 1.01,9.01 06/21/13
INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 8.01 06/26/13
Inteliquent, Inc. 5.03,9.01 07/01/13
INTERCLOUD SYSTEMS, INC. 9.01 04/15/13 AMEND
InterDigital, Inc. PA 8.01,9.01 06/28/13
INTERNATIONAL GAME TECHNOLOGY NV 1.01,8.01,9.01 06/27/13
INVESTORS REAL ESTATE TRUST ND 2.02,7.01,9.01 07/01/13
INVESTORS REAL ESTATE TRUST ND 2.02,7.01,9.01 07/01/13 AMEND
IPASS INC DE 5.02 06/07/13
ITC Holdings Corp. MI 1.01,9.01 06/26/13
James River Holding Corp. DE 1.01,2.01,2.03 11/21/12 AMEND
JOSHUA GOLD RESOURCES INC NV 1.01,2.01,3.02,9.01 07/01/13
JOSHUA GOLD RESOURCES INC NV 1.01 06/03/13 AMEND
KANSAS CITY SOUTHERN DE 8.01,9.01 06/21/13
KEATING CAPITAL INC 7.01,9.01 07/01/13
Kenergy Scientific, Inc. NJ 8.01,9.01 06/26/13
Kinbasha Gaming International, Inc. 1.01 07/01/13
Kior Inc DE 7.01,9.01 07/01/13
KRISPY KREME DOUGHNUTS INC NC 5.02,9.01 06/30/13
KROGER CO OH 5.07 06/27/13
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 07/01/13
LAKELAND INDUSTRIES INC DE 1.01,1.02,2.03, 06/28/13
3.02,8.01,9.01
Liberty Global plc X0 7.01 07/01/13
LSB INDUSTRIES INC DE 1.01 06/26/13
LUFKIN INDUSTRIES INC TX 1.02,2.01,3.01, 07/01/13
3.03,5.01,5.02,5.03,9.01
Magnolia Solar Corp NV 1.01,2.03,9.01 06/27/13
Mallinckrodt plc 1.01,2.01,2.03, 06/28/13
3.03,5.02,5.03,5.05,9.01
MANNKIND CORP DE 1.01,2.03,3.02,9.01 07/01/13
MARINE PRODUCTS CORP DE 8.01,9.01 07/01/13
MATERIAL SCIENCES CORP DE 5.07 06/27/13
MAXIMUS INC VA 8.01,9.01 07/01/13
Measurement Specialties Inc NJ 5.02 06/27/13
MEDIVATION, INC. DE 5.02,5.07,9.01 06/28/13
MedWorth Acquisition Corp. DE 1.01,5.03,9.01 06/25/13
Mellanox Technologies, Ltd. L3 7.01,9.01 07/01/13
MENTOR GRAPHICS CORP OR 1.01,3.03,9.01 06/28/13
MILLS MUSIC TRUST NY 8.01 07/01/13
MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 07/01/13
MOOG INC. NY 8.01,9.01 06/29/13
Morgan Stanley Bank of America Merril DE 8.01,9.01 06/28/13
Morgans Hotel Group Co. DE 1.02,8.01 06/27/13
MRC GLOBAL INC. DE 8.01,9.01 07/01/13
MULTI-CORP INTERNATIONAL INC. NV 4.01,9.01 04/16/13 AMEND
MUNICIPAL MORTGAGE & EQUITY LLC DE 5.02 07/01/13
NASDAQ OMX GROUP, INC. DE 1.01,3.02,8.01,9.01 06/28/13
NATIONAL FINANCIAL PARTNERS CORP 1.02,2.01,3.01, 07/01/13
3.03,5.01,5.02,5.03,8.01,9.01
NATIONAL FINANCIAL PARTNERS CORP 1.01,2.03 07/01/13
NATIONAL HEALTH INVESTORS INC MD 1.01,9.01 07/01/13
NATIONAL HEALTH INVESTORS INC MD 8.01,9.01 07/01/13
NATIONAL HEALTH INVESTORS INC MD 2.01,9.01 07/01/13
NATIONAL WESTERN LIFE INSURANCE CO CO 5.07 06/28/13
NetSpend Holdings, Inc. DE 2.01,3.01,3.03, 07/01/13
5.01,5.02,5.03,8.01,9.01
NIC INC CO 1.01,7.01,9.01 06/28/13
Noble Corp / Switzerland V8 1.01,8.01,9.01 06/30/13
NORTHEAST BANCORP /ME/ ME 8.01 06/28/13
NVE CORP /NEW/ MN 1.01 06/27/13 AMEND
O REILLY AUTOMOTIVE INC 7.01,9.01 07/01/13
One Horizon Group, Inc. PA 9.01 11/30/12 AMEND
Oneida Financial Corp. MD 8.01,9.01 06/28/13
ONYX PHARMACEUTICALS INC DE 8.01,9.01 06/30/13
ORIENT EXPRESS HOTELS LTD D0 5.02,5.07 06/28/13
OVERSEAS SHIPHOLDING GROUP INC DE 7.01,9.01 07/01/13
OXIGENE INC DE 8.01,9.01 06/27/13
PACIFIC PREMIER BANCORP INC DE 8.01 07/01/13
PALMETTO BANCSHARES INC SC 8.01,9.01 06/28/13
PAREXEL INTERNATIONAL CORP MA 1.01,2.03,9.01 06/25/13
PATHFINDER BANCORP INC DE 8.01,9.01 06/28/13
Pathfinder Cell Therapy, Inc. DE 2.03,3.02 06/26/13
PBF Energy Inc. DE 1.01 07/01/13
Phillips Edison - ARC Shopping Center MD 8.01,9.01 07/01/13
PILGRIMS PRIDE CORP DE 1.01,9.01 06/25/13
PMI GROUP INC DE 5.02 06/30/13
POPULAR INC 8.01,9.01 06/28/13
PPL Corp 7.01,9.01 06/25/13
PREVENTION INSURANCE COM INC 4.01 06/28/13
PROGENICS PHARMACEUTICALS INC DE 8.01,9.01 07/01/13
PROSPERITY BANCSHARES INC TX 7.01,8.01,9.01 07/01/13
QUICKSILVER RESOURCES INC DE 9.01 06/21/13 AMEND
ROYAL GOLD INC DE 8.01,9.01 07/01/13
ROYALE ENERGY INC CA 5.07 07/01/13
RPC INC DE 8.01,9.01 07/01/13
Santa Fe Petroleum, Inc. DE 5.02,9.01 07/01/13
Sarepta Therapeutics, Inc. DE 1.01,9.01 06/25/13
SCHULMAN A INC DE 2.02,9.01 07/01/13
SELECT COMFORT CORP MN 7.01,9.01 07/01/13
SERVICE CORPORATION INTERNATIONAL TX 1.01,2.03,8.01,9.01 07/01/13
SHADES HOLDINGS, INC. FL 1.01,2.01,2.03, 06/18/13
3.02,5.02,8.01,9.01
Shire plc 8.01,9.01 07/01/13
SILICON LABORATORIES INC DE 2.01,9.01 07/01/13
Silver Bay Realty Trust Corp. MD 8.01,9.01 07/01/13
Sino-Global Shipping America, Ltd. VA 8.01,9.01 07/01/13
Skilled Healthcare Group, Inc. DE 5.02,9.01 06/28/13
SKY POWER SOLUTIONS CORP. NV 4.01 06/27/13
SOUTHERN CO DE 7.01 07/01/13
SP Bancorp, Inc. MD 5.07 06/28/13 AMEND
SPHERIX INC DE 8.01,9.01 07/01/13
SPIRE Corp MA 3.01 06/25/13
STARWOOD HOTEL & RESORTS WORLDWIDE, I MD 5.03,9.01 06/30/13
Starz DE 7.01,9.01 07/01/13
Starz, LLC DE 7.01,9.01 07/01/13
STEELE RESOURCES CORP NV 1.01 06/30/13
Stereotaxis, Inc. DE 1.01,2.03,3.02,9.01 06/28/13
SUPERIOR UNIFORM GROUP INC FL 1.01,2.01, 07/01/13
2.03,7.01,9.01
SYNIVERSE HOLDINGS INC DE 1.01,1.02,2.01, 06/28/13
2.03,7.01,9.01
TE Connectivity Ltd. V8 8.01 07/01/13
TECUMSEH PRODUCTS CO MI 7.01,9.01 07/01/13
THORATEC CORP CA 1.01,2.01,8.01,9.01 06/30/13
THRESHOLD PHARMACEUTICALS INC DE 8.01,9.01 07/01/13
TIDEWATER INC DE 8.01 06/28/13
TOMI Environmental Solutions, Inc. FL 5.02,9.01 07/01/13
TOTAL SYSTEM SERVICES INC GA 1.01,7.01,9.01 07/01/13
TRANS WORLD ENTERTAINMENT CORP NY 1.01,9.01 07/01/13
TransDigm Group INC DE 7.01,9.01 06/28/13
TransDigm Group INC DE 1.01,2.03,9.01 06/26/13
Tropicana Las Vegas Hotel & Casino, I DE 5.02 07/01/13
Trunkbow International Holdings Ltd NV 3.01,9.01 06/28/13
TYCO INTERNATIONAL LTD V8 8.01 07/01/13
UMH PROPERTIES, INC. MD 7.01,9.01 07/01/13
UNIONBANCAL CORP DE 2.03,9.01 06/26/13
UNITY BANCORP INC /NJ/ NJ 8.01,9.01 07/01/13
US CONCRETE INC DE 5.02 06/27/13
VALENCE TECHNOLOGY INC DE 7.01,9.01 06/20/13
VIRGIN MEDIA INC. DE 7.01,9.01 07/01/13
VISANT CORP 8.01 07/01/13
Vuzix Corp DE 5.07 06/26/13
WALT DISNEY CO/ DE 5.02,9.01 07/01/13
Warner Music Group Corp. DE 1.01,2.01, 06/28/13
2.03,7.01,9.01
WESTMOUNTAIN GOLD, INC. CO 2.03,9.01 06/27/13
WHITING PETROLEUM CORP DE 5.03,9.01 06/28/13
Whoopass Poker Corp DE 4.02 05/31/13 AMEND
WILLIS GROUP HOLDINGS PLC L2 5.02,7.01,9.01 07/01/13
WILSHIRE BANCORP INC 5.02,9.01 06/25/13
ZBB ENERGY CORP WI 7.01,9.01 07/01/13
ZION OIL & GAS INC DE 5.02 07/01/13
http://www.sec.gov/news/digest/2013/dig070213.htm
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