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ENFORCEMENT PROCEEDINGSCommission Sanctions Johnny Clifton for Antifraud and Failure to Supervise ViolationsThe Securities and Exchange Commission (Commission) barred Johnny Clifton, who was president, chief executive officer, and principal of MPG Financial, LLC, a former Commission-registered broker-dealer, from associating with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, entered a cease-and-desist order, and imposed a $150,000 third-tier civil money penalty. The Commission found that Clifton violated Sections 17(a)(1), 17(a)(2), and 17(a)(3) of the Securities Act of 1933 because he made material misrepresentations and omissions in the offer and sale of oil-and-gas limited partnership interests, and through those misrepresentations, omissions, and other misconduct he engaged in a fraudulent scheme and course of business that operated as a fraud on prospective investors. The Commission also found that Clifton violated Section 15(b) of the Securities Exchange Act of 1934 because he failed reasonably to supervise at least one MPG Financial sales representative with a view towards detecting and preventing the sales representative's securities law violations. Concluding that it was in the public interest to impose a full collateral bar on Clifton, the Commission stated that "[h]is repeated and egregious misconduct evidences an unfitness to participate in the securities industry that goes beyond the professional capacity in which he was acting" and "demonstrates his unfitness to participate in the securities industry in any capacity." (Rel. 33-9417) In the Matter of Steven J. BrewerOn July 12, 2013, the Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) and Section 203(f) of the Investment Advisers Act of 1940 (Advisers Act), Making Findings and Imposing Remedial Sanctions (Order) against Steven J. Brewer. The Order finds that from June 2009 through October 2010, Steven J. Brewer was engaged in the business of effecting transactions in securities for the accounts of others by offering and selling promissory notes to investors. During that time, Brewer was associated with a registered broker dealer and with a registered investment adviser. On April 22, 2013, a judgment was entered by consent against Brewer, permanently enjoining him from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder and from aiding and abetting future violations of Section 15(c) of the Exchange Act and Sections 206(1) and 206(2) of the Advisers Act, in the civil action entitled Securities and Exchange Commission v. Steven Brewer, et al., Civil Action Number 10-cv-6932-BMM-AK, in the United States District Court for the Northern District of Illinois. The Commission's complaint alleged that, from June 2009 through at least the end of September 2010, Brewer and others participated in fraudulent, unregistered offerings of promissory notes issued by FPA Limited, an Isle of Man company, in the aggregate amount of $5.6 million to at least 74 investors. The offering materials created and used for the offerings misrepresented the risk of the investment and misrepresented the use of proceeds of the offering. The complaint alleged that Brewer originated the fraudulent offerings and participated in creating the fraudulent offering documents. Brewer also controlled the bank account into which the proceeds of the offerings were deposited and then disbursed, primarily to BIG. Based on the above, the Order bars Brewer from association with any broker, dealer, or investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Brewer consented to the issuance of the Order without admitting or denying any of the allegations in the civil injunctive action. (Rel. 34-69984) In the Matter of the Great Train Store Co.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Seven Respondents (Default Order) in The Great Train Store Co., Admin. Proc. File No. 3-15355. The Order Instituting Proceedings (OIP) alleged that Respondents The Great Train Store Co., Greate Bay Casino Corp., Gulf Exploration Consultants, Inc., Gulfside Industries Ltd. (n/k/a Consolidated Gulfside Resources, Ltd.), Gulftex Energy Corp., Lynn Two, Inc., and III to I Maritime Partners Cayman I, LP, repeatedly failed to file timely periodic reports while their 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 their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. The Division of Enforcement has received a signed offer of settlement from Respondent Gridline Communications Holdings, Inc. (f/k/a North Shore Capital IV, Inc.). (Rel. 64-69986) Investment company ordersGrosvenor Alternative Funds Master Trust, et al.A notice has been issued giving interested persons until August 9, 2013 to request a hearing on an application filed by Grosvenor Alternative Funds Master Trust, et al., for an order exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (IC-30599) Wells Fargo Bank, N.A., et al.The Commission has issued a temporary order to Wells Fargo Bank, N.A. (Wells Fargo Bank), et al., under Section 9(c) of the Investment Company Act of 1940 (Act) with respect to an injunction effective July 15, 2013, entered against Wells Fargo Bank by the United States District Court for the Northern District of California. The temporary order exempts applicants and any other company of which Wells Fargo Bank is or may become an affiliated person from the provisions of Section 9(a) of the Act, until the Commission takes final action on an application for a permanent order or, if earlier, September 13, 2013. (Rel. IC-30600) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeThe Chicago Mercantile Exchange Inc. (CME) filed a proposed rule change (File No. SR-CME-2013-08) under Section 19(b)(1) of the Securities Exchange Act of 1934 regarding CME's existing CDS credit limits. Publication is expected in the Federal Register during the week of July 15, 2013. (Rel. 34-69981) Approval of a Proposed Rule ChangeThe Commission approved proposed rule changes submitted by New York Stock Exchange LLC and NYSE MKT LLC (SR-NYSE-2012-57; SR-NYSEMKT-2012-58) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d) - Equities and Related Supplementary Material. Publication is expected in the Federal Register during the week of July 15, 2013. (Rel. 34-69983) The Commission has approved a proposed rule change (SR-DTC-2013-04) filed by the National Securities Clearing Corporation under Section 19(b)(1) of the Securities Exchange Act of 1934 in connection with the modifications to receiver authorized delivery and reclaim processing value limits by transaction. Publication is expected in the Federal Register during the week of July 15, 2013. (Rel. 34-69985) The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-1 Tenaya Acquisitions Co, 1930 VILLAGE CENTER CIRCLE #3-201, LAS VEGAS,
NV, 89134, 702-281-7850 - 3,000,000 ($30,000.00) Equity,
(File 333-189900 - Jul. 12) (BR. 01)
S-4 AK STEEL HOLDING CORP, 9227 CENTRE POINTE DRIVE, WEST CHESTER, OH,
45069, 5134255000 - 0 ($380,000,000.00) Non-Convertible Debt,
(File 333-189908 - Jul. 12) (BR. 06C)
S-1 Green Supplements Online Inc, 112 N.CURRY STREET, CARSON CITY, NV,
89703, 702-605-4287 - 5,000,000 ($100,000.00) Equity,
(File 333-189909 - Jul. 12) (BR. 01)
S-8 PETROSONIC ENERGY, INC., 914 WESTWOOD BOULEVARD, NUMBER 545,
LOS ANGELES, CA, 90024, (403) 708-7869 -
12,000,000 ($8,880,000.00) Equity, (File 333-189910 - Jul. 12) (BR. 09A)
S-8 SUTRON CORP, 21300 RIDGETOP CIRCLE, STERLING, VA, 20166, 7034062800 -
477,875 ($2,704,772.50) Equity, (File 333-189911 - Jul. 12) (BR. 10B)
S-1 ClubCorp Holdings, Inc., 3030 LBJ FREEWAY, SUITE 500, DALLAS, TX,
75234, 972-406-4112 - 0 ($100,000,000.00) Equity, (File 333-189912 -
Jul. 12) (BR. 05A)
S-8 UNITY BANCORP INC /NJ/, 64 OLD HIGHWAY 22, CLINTON, NJ, 08809,
9087307630 - 250,000 ($1,782,500.00) Equity, (File 333-189913 -
Jul. 12) (BR. 07C)
S-4 U.S. Well Services, LLC, 770 SOUTH POST OAK LANE, SUITE 405, HOUSTON,
TX, 77056, 832-562-3730 - 0 ($12,000,000.00) Debt, (File 333-189916 -
Jul. 12) (BR. 04B)
S-3ASR Government Properties Income Trust, TWO NEWTON PLACE,
255 WASHINGTON STREET, NEWTON, MA, 02458, 617-219-1440 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-189923 - Jul. 12)
(BR. 08B)
S-3 COLUMBUS MCKINNON CORP, 140 JOHN JAMES AUDUBON PKWY, AMHERST, NY,
14228-1197, 7166895400 - 0 ($250,000,000.00) Equity, (File 333-189924 -
Jul. 12) (BR. 10A)
S-3 Clean Energy Fuels Corp., 4675 MACARTHUR COURT, SUITE 800,
NEWPORT BEACH, CA, 92660, (949) 437-1000 - 0 ($42,215,177.04) Equity,
(File 333-189925 - Jul. 12) (BR. 02C)
S-8 AGENUS INC, 162 FIFTH AVENUE SUITE 900, NEW YORK, NY, 10010,
212-994-8200 - 2,000,000 ($7,540,000.00) Equity, (File 333-189926 -
Jul. 12) (BR. 01B)
S-1 VACCINOGEN INC, 5300 WESTVIEW DRIVE, SUITE 406, FREDERICK, MD, 21703,
301-668-8400 - 6,000,000 ($33,000,000.00) Equity, (File 333-189927 -
Jul. 12) (BR. 01A)
S-1 Rally Software Development Corp, 3333 WALNUT STREET, BOULDER, CO,
80301, 303-565-2800 - 0 ($70,000,000.00) Equity, (File 333-189928 -
Jul. 12) (BR. 03A)
S-3 VERMILLION, INC., 12117 BEE CAVES ROAD BUILDING TWO, SUITE 100, AUSTIN,
TX, 78738, 512-519-0400 - 20,500,000 ($53,300,000.00) Equity,
(File 333-189929 - Jul. 12) (BR. 01A)
S-4 HOME BANCSHARES INC, 719 HARKRIDER, CONWAY, AR, 72032, 501-328-4657 -
0 ($233,380,379.00) Equity, (File 333-189930 - Jul. 12) (BR. 07B)
S-8 CISCO SYSTEMS, INC., 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706,
4085264000 - 317,466 ($5,308,261.14) Equity, (File 333-189931 -
Jul. 12) (BR. 03C)
S-8 NEWS CORP, 1211 AVENUE OF THE AMERICAS, NEW YORK, NY, 10036,
212-416-3400 - 0 ($645,120,000.00) Equity, (File 333-189932 - Jul. 12)
(BR. 05B)
S-3 XENOPORT INC, 3410 CENTRAL EXPRESSWAY, SANTA CLARA, CA, 95051,
4086167200 - 0 ($100,000,000.00) Unallocated (Universal) Shelf,
(File 333-189933 - Jul. 12) (BR. 01B)
S-3 CORONADO BIOSCIENCES INC, 24 NEW ENGLAND EXECUTIVE PARK, BURLINGTON,
MA, 01803, 781-652-4500 - 0 ($200,000,000.00) Equity,
(File 333-189935 - Jul. 12) (BR. 01B)
S-8 INTEGRATED DEVICE TECHNOLOGY INC, 6024 SILVER CREEK VALLEY ROAD,
SAN JOSE, CA, 95138, 4082848200 - 5,000,000 ($41,900,000.00) Equity,
(File 333-189936 - Jul. 12) (BR. 10A)
S-1 Blue Earth, Inc., 2298 HORIZON RIDGE PARKWAY, SUITE 205, HENDERSON, NV,
89502, 702-263-1808 - 27,894,981 ($81,174,394.71) Equity,
(File 333-189937 - Jul. 12) (BR. 10A)
N-2 Stellus Capital Investment Corp, 4400 POST OAK PARKWAY, SUITE 2200,
HOUSTON, TX, 77027, (713) 292-5400 - 0 ($50,000,000.00) Equity,
(File 333-189938 - Jul. 12) (BR. 16)
N-2 Goldman Sachs Dynamic Income Opportunities Fund, 200 WEST STREET,
NEW YORK, NY, 10282, (212) 902-1000 - 50,000 ($1,000,000.00) Equity,
(File 333-189939 - Jul. 12) (BR. )
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 Accelerate Diagnostics, Inc DE 8.01,9.01 07/12/13 ACCURIDE CORP DE 1.01,2.03,7.01,9.01 07/10/13 ADVANCED MICRO DEVICES INC DE 5.07 07/12/13 AMEND Agricon Global Corp DE 8.01,9.01 07/11/13 ALL GRADE MINING, INC. CO 8.01 07/12/13 ALLEGHENY TECHNOLOGIES INC DE 1.01,2.03,9.01 07/12/13 ALTEROLA BIOTECH INC. 5.02 02/13/12 AMARIN CORP PLC\UK X0 5.02,5.07,8.01 07/09/13 America's Suppliers, Inc. 5.02 07/08/13 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 1.01,8.01,9.01 07/12/13 AMERICAN HONDA RECEIVABLES LLC DE 6.01,9.01 07/12/13 American Realty Capital Trust V, Inc. MD 1.01,2.01 07/08/13 AMERISOURCEBERGEN CORP DE 1.01,2.03,9.01 07/09/13 AMERITRANS CAPITAL CORP DE 5.02,5.03,9.01 07/12/13 AMES NATIONAL CORP IA 2.02,7.01,9.01 07/12/13 Apple REIT Eight, Inc. VA 8.01,9.01 07/12/13 Apple REIT Nine, Inc. VA 8.01,9.01 07/12/13 Apple REIT Seven, Inc. VA 8.01,9.01 07/12/13 Ascent Capital Group, Inc. DE 1.01,9.01 07/10/13 AMEND AT&T INC. DE 1.01,8.01,9.01 07/12/13 ATHENAHEALTH INC DE 8.01 07/12/13 AUXILIUM PHARMACEUTICALS INC DE 9.01 04/26/13 AMEND Axion Power International, Inc. DE 5.02 07/08/13 AXIS CAPITAL HOLDINGS LTD 5.02,9.01 07/08/13 Bank of Marin Bancorp CA 5.02 07/11/13 BANK OF THE OZARKS INC AR 2.02,8.01,9.01 07/11/13 BARNES & NOBLE INC DE 5.02,9.01 07/08/13 Behringer Harvard Opportunity REIT II MD 1.01 07/08/13 CASCADE BANCORP OR 8.01 07/08/13 CAVCO INDUSTRIES INC DE 5.07 07/12/13 CHAMPION INDUSTRIES INC WV 2.01 07/12/13 CHASE CORP MA 2.02,9.01 07/09/13 CHEMUNG FINANCIAL CORP NY 1.01,8.01,9.01 07/10/13 ChromaDex Corp. DE 1.01,9.01 07/09/13 CITIZENS & NORTHERN CORP PA 2.02,9.01 07/12/13 CLIFFS NATURAL RESOURCES INC. OH 5.02,9.01 07/08/13 CODESMART HOLDINGS, INC. FL 1.01,2.01,3.02, 05/03/13 AMEND 5.01,5.02,5.03,5.06,9.01 CODORUS VALLEY BANCORP INC PA 4.01,9.01 07/09/12 Command Center, Inc. WA 5.02 07/11/13 CUMMINS INC IN 5.02 07/12/13 DEGARO INNOVATIONS CORP. NV 7.01,9.01 07/12/13 DEGARO INNOVATIONS CORP. NV 7.01,9.01 07/12/13 Delek Logistics Partners, LP DE 1.01,2.03,9.01 07/09/13 Delek US Holdings, Inc. 1.01,2.03,9.01 07/09/13 dELiAs, Inc. DE 5.02 07/08/13 Destination Maternity Corp DE 2.02,9.01 07/11/13 DIGITAL ANGEL CORP DE 2.01,3.02,3.03,5.01, 07/08/13 5.02,5.03,5.07,7.01,9.01 Diligent Board Member Services, Inc. DE 8.01,9.01 07/11/13 Domtar CORP DE 2.02,9.01 07/12/13 DST SYSTEMS INC DE 8.01,9.01 07/11/13 E-Debit Global Corp. CO 8.01,9.01 07/11/13 E2open Inc DE 5.02 07/08/13 EARTHSTONE ENERGY INC DE 7.01,9.01 07/12/13 EDISON MISSION ENERGY DE 8.01,9.01 07/08/13 EINSTEIN NOAH RESTAURANT GROUP INC DE 5.02,9.01 07/10/13 Emerald Oil, Inc. MT 5.02,5.07,9.01 07/10/13 ENERGY FOCUS, INC/DE DE 5.02,9.01 07/09/13 ERHC Energy Inc CO 8.01,9.01 07/10/13 ExactTarget, Inc. DE 2.01,3.01,3.02, 07/11/13 3.03,5.01,5.02,5.03,9.01 Fidelity National Financial, Inc. 1.01,2.03,8.01,9.01 07/11/13 Fidelity National Financial, Inc. 8.01 07/12/13 FINJAN HOLDINGS, INC. DE 5.02,9.01 07/08/13 Galaxy Gaming, Inc. 8.01,9.01 07/12/13 GBS Enterprises Inc NV 4.02 04/16/13 AMEND GENCORP INC OH 5.02,9.01 07/09/13 GIGA TRONICS INC CA 1.01,3.02,9.01 07/08/13 GILLA INC. NV 8.01,9.01 07/12/13 GLOBE SPECIALTY METALS INC 5.02 07/12/13 Golub Capital BDC, Inc. DE 2.02,9.01 07/12/13 Government Properties Income Trust MD 8.01,9.01 07/12/13 GREAT SOUTHERN BANCORP INC MD 8.01 07/12/13 GreenHunter Resources, Inc. DE 5.02,9.01 07/12/13 GREENTECH MINING INTERNATIONAL, INC. DE 1.01,9.01 07/12/13 GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 07/09/13 GUESS INC DE 5.02 07/11/13 GULF POWER CO FL 8.01 07/12/13 Hallwood Group Inc DE 1.01,9.01 07/11/13 HARBINGER GROUP INC. DE 7.01 07/12/13 Helmer Directional Drilling Corp. NV 5.02 07/10/13 Higher One Holdings, Inc. DE 1.01 07/11/13 HMS HOLDINGS CORP 5.07 07/10/13 HOMEFED CORP DE 5.07,7.01,9.01 07/11/13 HOUSTON AMERICAN ENERGY CORP DE 5.02,9.01 07/08/13 ICAHN ENTERPRISES L.P. DE 8.01,9.01 07/09/13 IDACORP INC ID 8.01,9.01 07/12/13 IDT CORP DE 7.01,9.01 07/12/13 IMAGE SENSING SYSTEMS INC MN 5.02,9.01 07/11/13 Inland American Real Estate Trust, In MD 7.01,9.01 07/12/13 Innovative Product Opportunities Inc. DE 8.01 07/12/13 Intellicell Biosciences, Inc. NV 3.02 07/12/13 INTL FCSTONE INC. DE 8.01,9.01 07/11/13 JPMORGAN CHASE & CO DE 2.02,9.01 07/12/13 JPMORGAN CHASE & CO DE 7.01,9.01 07/12/13 JUNIATA VALLEY FINANCIAL CORP PA 4.01 07/09/13 KBS Strategic Opportunity REIT, Inc. MD 8.01 07/11/13 Lender Processing Services, Inc. DE 8.01 07/12/13 Lithium Exploration Group, Inc. NV 1.01,9.01 05/01/13 LZG INTERNATIONAL, INC. FL 4.01,9.01 07/12/13 MAGNUM HUNTER RESOURCES CORP DE 2.01,7.01,9.01 07/12/13 Mandalay Digital Group, Inc. DE 1.01 07/08/13 Mandalay Digital Group, Inc. DE 1.01 06/20/13 AMEND MeeMee Media Inc. NV 5.02 07/12/13 MERRIMACK PHARMACEUTICALS INC DE 1.01,8.01,9.01 07/10/13 METRO BANCORP, INC. 4.01,9.01 07/10/13 MILLER ENERGY RESOURCES, INC. TN 1.01,9.01 07/11/13 MONITRONICS INTERNATIONAL INC TX 1.01,9.01 07/10/13 AMEND MYOS Corp NV 8.01,9.01 07/11/13 NATIONAL BEVERAGE CORP DE 2.02,9.01 07/11/13 NAVARRE CORP /MN/ MN 3.02 07/10/13 NeoStem, Inc. DE 3.03,5.03,8.01,9.01 07/12/13 NeoStem, Inc. DE 5.02,9.01 07/12/13 NII HOLDINGS INC DE 5.02,9.01 07/11/13 NOVA MINING CORP NV 5.03,5.07,9.01 07/12/13 NOVA MINING CORP NV 1.01 07/12/13 AMEND NV5 Holdings, Inc. DE 8.01,9.01 07/09/13 Oak Ridge Financial Services, Inc. NC 5.07 06/06/13 OCZ TECHNOLOGY GROUP INC DE 4.02,9.01 07/01/13 AMEND OFFICEMAX INC DE 5.07,8.01,9.01 07/10/13 PARKERVISION INC FL 5.02,5.03,5.07,9.01 07/10/13 PARKWAY PROPERTIES INC MD 5.02,9.01 07/08/13 Pebblebrook Hotel Trust MD 7.01 07/11/13 PEERLESS SYSTEMS CORP DE 1.01,1.02,5.02,9.01 07/11/13 Pharmagen, Inc. NV 1.01,3.02,9.01 07/08/13 PHOENIX COMPANIES INC/DE DE 5.02,7.01,9.01 07/11/13 PINNACLE FINANCIAL PARTNERS INC TN 5.07 04/16/13 AMEND PREFERRED APARTMENT COMMUNITIES INC MD 1.01,9.01 06/14/13 AMEND PRIMEENERGY CORP DE 3.01 07/09/13 PROGRESSIVE CORP/OH/ OH 7.01,9.01 07/12/12 PROTECTIVE LIFE CORP DE 5.02 07/11/13 QUALSTAR CORP CA 1.01,3.03,5.02,9.01 07/03/13 QUESTCOR PHARMACEUTICALS INC CA 7.01,9.01 07/11/13 RADIOSHACK CORP DE 8.01,9.01 07/12/13 RESEARCH FRONTIERS INC DE 8.01,9.01 07/12/13 Rolling Technologies, Inc. 7.01 07/10/13 ROYAL CARIBBEAN CRUISES LTD 1.01,2.03,9.01 07/09/13 SCHMITT INDUSTRIES INC OR 2.02,9.01 07/12/13 Security Devices International Inc. DE 7.01,9.01 07/12/13 Shire plc 8.01,9.01 07/12/13 Silvercrest Asset Management Group In DE 8.01 07/12/13 SIMULATIONS PLUS INC 8.01,9.01 07/11/13 SMITH MICRO SOFTWARE INC DE 5.02,9.01 06/14/13 AMEND SOFTECH INC MA 1.01,9.01 07/09/13 Sorrento Therapeutics, Inc. DE 1.01 07/08/13 Staffing 360 Solutions, Inc. NY 5.02 07/12/13 Steadfast Income REIT, Inc. MD 7.01,9.01 07/12/13 Steel Excel Inc. DE 8.01,9.01 07/11/13 Strategic Storage Trust, Inc. MD 7.01,9.01 07/12/13 SunCoke Energy, Inc. 8.01,9.01 07/08/13 Sundance Strategies, Inc. NV 1.01,3.02,4.01, 03/29/13 AMEND 3.03,5.01,5.02,5.03,9.01 SunVault Energy, Inc. NV 8.01,9.01 06/21/13 SW China Imports, Inc. NV 8.01 07/11/13 T3 Motion, Inc. DE 3.01,5.02,9.01 07/08/13 TASER INTERNATIONAL INC 5.02,9.01 06/30/13 TECKMINE INDUSTRIES INC. NV 1.01,5.02,9.01 07/09/13 TECUMSEH PRODUCTS CO MI 7.01,9.01 07/12/13 TEMPUR SEALY INTERNATIONAL, INC. DE 1.01,2.03,7.01,9.01 07/11/13 Tennessee Valley Authority 5.02 07/08/13 TEXAS CAPITAL BANCSHARES INC/TX 5.02,9.01 07/11/13 THERMOENERGY CORP DE 4.01,9.01 07/08/13 Tianli Agritech, Inc. D8 5.02 07/08/13 TOMPKINS FINANCIAL CORP NY 7.01 07/11/13 TRANSGENOMIC INC DE 4.01,9.01 07/08/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 07/12/13 TWO RIVER BANCORP NJ 4.01,9.01 07/09/13 U.S. Well Services, LLC DE 8.01 06/28/13 UGI CORP /PA/ PA 2.01,9.01 01/12/12 UNITED INSURANCE HOLDINGS CORP. DE 5.02,9.01 07/12/13 UNITED PARCEL SERVICE INC DE 2.02,8.01,9.01 07/12/13 UNITED STATIONERS INC DE 1.01,2.03 07/08/13 URANERZ ENERGY CORP. NV 5.07 07/12/13 URSTADT BIDDLE PROPERTIES INC MD 8.01,9.01 05/28/13 AMEND US AIRWAYS GROUP INC DE 5.07 07/12/13 USA TRUCK INC DE 5.02 07/12/13 USA Zhimingde International Group Cor NV 4.01,9.01 07/07/13 Valeant Pharmaceuticals International A6 1.01,2.03,9.01 07/12/13 VIDAROO Corp 1.01,9.01 07/08/13 VOXX International Corp DE 2.02,8.01 07/10/13 WebMD Health Corp. DE 2.02,9.01 07/12/13 WEBSTER FINANCIAL CORP DE 2.02,9.01 07/11/13 WEBTRADEX INTERNATIONAL CORP NV 5.03,9.01 07/12/13 WELLS FARGO & COMPANY/MN DE 2.02,9.01 07/12/13 XCel Brands, Inc. DE 1.01 07/08/13 ZAGG Inc NV 8.01 07/12/13 http://www.sec.gov/news/digest/2013/dig071513.htm
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