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ENFORCEMENT PROCEEDINGSCommission Obtains $13.9 million Penalty against Rajat GuptaThe Securities and Exchange Commission (Commission) today obtained a $13.9 million penalty against former Goldman Sachs board member Rajat K. Gupta for illegally tipping corporate secrets to former hedge fund manager Raj Rajaratnam. Gupta also is permanently barred from serving as an officer or director of a public company. The SEC previously obtained a record $92.8 million penalty against Rajaratnam for prior insider trading charges. "The sanctions imposed today send a clear message to board members who are entrusted with protecting the confidences of the companies they serve," said George S. Canellos, Co-Director of the SEC's Division of Enforcement. "If you abuse your position by sharing confidential company information with friends and business associates in exchange for private gain, you will be prosecuted to the fullest extent by the SEC." In its complaint filed in late 2011, the SEC alleged that Gupta disclosed confidential information to Rajaratnam about Berkshire Hathaway Inc.'s $5 billion investment in Goldman Sachs as well as nonpublic details about Goldman Sachs' financial results for the second and fourth quarters of 2008. In addition to imposing the financial penalty, the order issued today by the Honorable Jed S. Rakoff of the U.S. District Court for the Southern District of New York enjoins Gupta from future violations of the securities laws, and permanently bars him from acting as an officer or director of a public company and from associating with any broker, dealer, or investment adviser. In a parallel criminal case arising out of the same facts, the SEC provided significant assistance to the U.S. Attorney's Office for the Southern District of New York in its successful criminal prosecution of Gupta, who was found guilty on June 15, 2012 of one count of conspiracy to commit securities fraud and three counts of securities fraud. Following the jury verdict, Gupta was sentenced on Oct. 24, 2012, to a term of imprisonment of two years followed by one year of supervised release, and ordered to pay a $5 million criminal fine. On Dec. 26, 2012, the SEC obtained a final judgment ordering Rajaratnam to disgorge his share of the profits gained and losses avoided as a result of the insider trading based on Gupta's tips, plus prejudgment interest. (2013-128) In the Matter of Vincent G. CurryAn Administrative Law Judge issued an Order Making Findings and Imposing Sanctions by Default (Default Order) in Vincent G. Curry, Admin. Proc. File No. 3-15312. The Default Order follows an Order of Default in SEC v. Lunn, No. 12-cv-02767 (D. Colo. Apr. 25, 2013), in which Vincent G. Curry (Curry) was (1) permanently enjoined from violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 15 of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rule 10b-5; and (2) ordered to disgorge $399,930 together with prejudgment interest of $28,914.11. The Default Order finds that it is in the public interest to bar Curry from being associated with an investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and from participating in an offering of penny stock. (Rel. 34-69998) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by Miami International Securities Exchange LLC to amend Rule 700 regarding Friday expiration changes (SR-MIAX-2013-32) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of July 15th. (Rel. 34-69996) A proposed rule change filed by Miami International Securities Exchange LLC to amend Exchange Rules 521 and 530 regarding its obvious error rules (SR-MIAX-2013-33) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of July 15th. (Rel. 34-69997) A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. (SR-FINRA-2013-030) to extend to July 17, 2014, the pilot period for FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) 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 15th. (Rel. 34-69993) 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 Del Frisco's Restaurant Group, Inc., 930 S. KIMBALL AVE., SUITE 100,
SOUTHLAKE, TX, 76092, 817-601-3421 - 0 ($125,580,000.00) Equity,
(File 333-189969 - Jul. 16) (BR. 05B)
F-3 StealthGas Inc., 331 KIFISSIAS AVENUE, ERITHREA 14561, ATHENS, J3,
00000, 30 210 625 2849 - 0 ($250,000,000.00) Unallocated (Universal) Shelf,
(File 333-189971 - Jul. 16) (BR. 05C)
S-8 Lentuo International Inc., A-18 Huagong Road, Guangqumenwai,
Chaoyang District, Beijing, F4, 100124, (86-10) 6778 3955 -
6,200,000 ($30,008,000.00) Equity, (File 333-189975 - Jul. 16) (BR. 02C)
S-1 Lone Star Gold, Inc., 6565 AMERICAS PARKWAY NE, SUITE 200, ALBUQUERQUE, NM, 87110,
(505) 563-5828 - 30,000,000 ($975,000.00) Equity, (File 333-189977 - Jul. 16)
(BR. 09B)
S-3 Annie's, Inc., 1610 FIFTH STREET, BERKELEY, CA, 94710, 800-288-1089 -
2,537,096 ($113,611,158.88) Equity, (File 333-189979 - Jul. 16) (BR. 04B)
S-8 SALESFORCE COM INC, THE LANDMARK, ONE MARKET STREET STE.300,
SAN FRANCISCO, CA, 94105, 0 ($65,991,367.08) Equity, (File 333-189980 - Jul. 16)
(BR. 03B)
S-3 Cooper-Standard Holdings Inc., 39550 ORCHARD HILL PLACE DRIVE, NOVI,
MI, 48375, 248-596-5900 - 0 ($165,627,349.68) Equity,
(File 333-189981 - Jul. 16) (BR. 05A)
S-3 Intellicheck Mobilisa, Inc., 191 OTTO STREET, PORT TOWNSEND, WA, 98368,
516-992-1900 - 0 ($1.00) Equity, (File 333-189982 - Jul. 16) (BR. 03C)
S-3 HEALTHCARE SERVICES GROUP INC, 3220 TILLMAN DRIVE, SUITE 300, BENSALEM, PA, 19020,
2159381661 - 0 ($30,062,489.00) Equity, (File 333-189983 - Jul. 16)
(BR. 08B)
S-1 FINJAN HOLDINGS, INC., 261 MADISON AVENUE, NEW YORK, NY, 10016,
(646) 755-3320 - 258,677,287 ($258,677,287.00) Equity,
(File 333-189984 - Jul. 16) (BR. 05A)
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 ACACIA RESEARCH CORP DE 8.01 07/15/13 ADMA BIOLOGICS, INC. DE 8.01 07/16/13 AFFILIATED MANAGERS GROUP INC DE 8.01,9.01 07/16/13 AK STEEL HOLDING CORP DE 5.02,9.01 07/15/13 ALLIANCE DATA SYSTEMS CORP DE 1.01,1.02,2.03, 07/10/13 2.04,7.01,9.01 Ally Financial Inc. DE 8.01 07/16/13 American Realty Capital Properties, I MD 8.01,9.01 07/16/13 American Realty Capital Trust IV, Inc MD 1.01,9.01 03/31/13 AMEND American Tire Distributors Holdings, 5.02 07/10/13 AMERISERV FINANCIAL INC /PA/ PA 2.02 07/16/13 AMERISOURCEBERGEN CORP DE 8.01,9.01 07/16/13 AMREP CORP. OK 2.02,9.01 07/15/13 Anthera Pharmaceuticals Inc DE 3.03,5.03,9.01 07/15/13 ARDEN GROUP INC DE 8.01,9.01 07/15/13 ARES CAPITAL CORP MD 7.01,9.01 07/16/13 Armco Metals Holdings, Inc. NV 5.07 07/10/13 ASSISTED LIVING CONCEPTS INC NV 1.02,2.01,3.01,3.03, 07/11/13 5.01,5.02,5.03,8.01,9.01 ASTRO MED INC /NEW/ RI 4.01,9.01 07/10/13 AUXILIUM PHARMACEUTICALS INC DE 1.01,7.01,9.01 07/15/13 Bacterin International Holdings, Inc. DE 7.01,9.01 07/16/13 Bank of Marin Bancorp CA 7.01,9.01 07/16/13 BEAMZ INTERACTIVE INC DE 1.01,5.02,9.01 07/12/13 BEST BUY CO INC MN 8.01,9.01 07/16/13 BIG LOTS INC OH 5.02,8.01,9.01 07/15/13 BIOSANTE PHARMACEUTICALS INC DE 5.02,9.01 07/12/13 BIOTIME INC CA 7.01,9.01 07/16/13 BJs RESTAURANTS INC CA 8.01,9.01 07/16/13 Blue Water Restaurant Group, Inc. NV 8.01 07/15/13 BMC SOFTWARE INC DE 8.01 07/16/13 Boomerang Systems, Inc. DE 1.01,2.03,8.01 07/15/13 CANTERBURY PARK HOLDING CORP MN 5.07 05/30/13 Cape Bancorp, Inc. MD 8.01,9.01 07/16/13 CAPITAL SOUTHWEST CORP TX 5.07 07/15/13 Carey Watermark Investors Inc 1.01,2.01,9.01 07/10/13 CAS MEDICAL SYSTEMS INC DE 2.02,7.01,9.01 07/16/13 CHINA FUND INC MD 7.01,9.01 06/30/13 CNL Healthcare Properties, Inc. MD 2.01,2.03,9.01 07/10/13 COCA COLA CO DE 2.02,9.01 07/16/13 CODORUS VALLEY BANCORP INC PA 2.02,9.01 07/15/13 Coeur Mining, Inc. DE 2.02,9.01 07/16/13 COMERICA INC /NEW/ DE 2.02,7.01,9.01 07/16/13 CONSUMERS BANCORP INC /OH/ OH 5.02,9.01 07/16/13 Corporate Resource Services, Inc. DE 8.01,9.01 07/16/13 CRC Health CORP DE 2.05 07/10/13 CROSSROADS SYSTEMS INC DE 1.01,9.01 07/10/13 CSX CORP VA 2.02,9.01 07/16/13 CTI GROUP HOLDINGS INC DE 1.01,9.01 07/16/13 CUBIC ENERGY INC TX 3.01,9.01 07/10/13 Customers Bancorp, Inc. PA 2.02,5.02,8.01,9.01 07/15/13 CYTRX CORP DE 5.03,5.07,9.01 07/11/13 Del Frisco's Restaurant Group, Inc. DE 2.02,9.01 07/16/13 DM Products, Inc. NV 5.03,9.01 05/29/13 AMEND E2open Inc DE 7.01 07/15/13 EMERSON RADIO CORP DE 2.02,9.01 07/16/13 ENDOLOGIX INC /DE/ DE 5.02 07/12/13 ENGLOBAL CORP NV 8.01,9.01 07/16/13 ENTERGY CORP /DE/ DE 2.02,9.01 07/16/13 ENTERPRISE BANCORP INC /MA/ MA 8.01,9.01 07/16/13 ERA GROUP INC. DE 8.01,9.01 07/15/13 ESB FINANCIAL CORP PA 2.02,9.01 07/16/13 EXCO RESOURCES INC TX 2.01,7.01,9.01 07/12/13 Federal Home Loan Bank of Atlanta X1 2.03 07/10/13 Federal Home Loan Bank of Boston X1 2.03 07/10/13 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 07/10/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 07/12/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 07/16/13 Federal Home Loan Bank of New York X1 2.03,9.01 07/10/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/10/13 Federal Home Loan Bank of San Francis X1 2.03 07/10/13 Federal Home Loan Bank of Topeka 2.03,9.01 07/10/13 Fifth & Pacific Companies, Inc. DE 3.02 07/10/13 FIRST FINANCIAL HOLDINGS INC /DE/ DE 8.01 07/16/13 FLOW INTERNATIONAL CORP WA 8.01,9.01 07/15/13 FOREST CITY ENTERPRISES INC OH 7.01,8.01,9.01 07/15/13 FRANKLIN STREET PROPERTIES CORP /MA/ 1.01,9.01 07/15/13 Frontier Beverage Company, Inc NV 5.03,9.01 07/11/13 FS Energy & Power Fund DE 1.01,2.03,9.01 07/11/13 Fuelstream INC DE 3.02 07/11/13 FURMANITE CORP DE 1.01,8.01,9.01 07/15/13 GBS Enterprises Inc NV 5.02 07/10/13 GLATFELTER P H CO PA 9.01 04/30/13 AMEND GLOBAL POWER EQUIPMENT GROUP INC. DE 9.01 04/30/13 AMEND GlyEco, Inc. NV 4.01,9.01 07/15/13 GOLDMAN SACHS GROUP INC DE 2.02,8.01,9.01 07/16/13 Gramercy Property Trust Inc. MD 7.01,9.01 07/16/13 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 07/12/13 Graystone Co DE 3.02 07/11/13 GREER BANCSHARES INC SC 1.01,9.01 05/29/13 GRYPHON GOLD CORP NV 7.01,9.01 07/15/13 HCA Holdings, Inc. 2.02,7.01,9.01 07/16/13 HCI Group, Inc. FL 1.01 06/01/13 HEALTHCARE SERVICES GROUP INC PA 1.01,2.01,3.02, 07/11/13 8.01,9.01 HEALTHWAYS, INC DE 1.01,2.03,3.02,9.01 07/16/13 HEIDRICK & STRUGGLES INTERNATIONAL IN DE 5.02,7.01,9.01 07/15/13 HINES REAL ESTATE INVESTMENT TRUST IN 2.01,7.01,9.01 07/16/13 HINTO ENERGY, INC WY 7.01,9.01 07/16/13 HUNT J B TRANSPORT SERVICES INC AR 2.02,9.01 07/15/13 ICON ECI FUND FIFTEEN, L.P. DE 8.01 07/16/13 IDEXX LABORATORIES INC /DE DE 5.02,9.01 07/15/13 IHS Inc. DE 1.01,2.01,2.03, 07/15/13 3.02,7.01,9.01 IMAGENETIX INC /NV/ NV 8.01,9.01 07/16/13 Inland Diversified Real Estate Trust, MD 1.01,9.01 07/15/13 INTEGRA LIFESCIENCES HOLDINGS CORP DE 8.01 07/16/13 Interactive Brokers Group, Inc. DE 2.02,8.01,9.01 06/30/13 INVACARE CORP OH 8.01,9.01 07/16/13 Islet Sciences, Inc NV 5.02,9.01 07/09/13 IVANHOE ENERGY INC 7.01,9.01 07/16/13 JBI, INC. NV 2.05,5.02,9.01 07/11/13 JOHNSON & JOHNSON NJ 2.02,9.01 07/16/13 KCG Holdings, Inc. DE 5.02,8.01,9.01 07/15/13 KIT digital, Inc. DE 7.01,9.01 07/15/13 Koppers Holdings Inc. PA 2.02,9.01 07/15/13 LCNB CORP OH 2.02,7.01,9.01 06/30/13 LEVI STRAUSS & CO DE 5.02 07/11/13 LIQUIDITY SERVICES INC DE 2.02,9.01 07/16/13 LIQUIDITY SERVICES INC DE 2.02,9.01 07/16/13 AMEND LOCAL Corp DE 1.01,9.01 07/10/13 LSB INDUSTRIES INC DE 2.02,9.01 07/10/13 LyondellBasell Industries N.V. P7 1.01,2.03,8.01,9.01 07/11/13 MABWE MINERALS INC. WY 8.01,9.01 07/04/13 MACK CALI REALTY CORP MD 1.01,2.03,9.01 07/16/13 MamaMancini's Holdings, Inc. NV 1.01,3.02,9.01 07/12/13 MEADE INSTRUMENTS CORP DE 1.01,1.02,2.03, 07/16/13 8.01,9.01 Memorial Production Partners LP DE 1.01,7.01,9.01 07/15/13 MERCANTILE BANK CORP MI 2.02,9.01 07/16/13 MESABI TRUST NY 2.02,9.01 07/16/13 MILLER ENERGY RESOURCES, INC. TN 2.02,7.01,9.01 07/15/13 MIMVI, INC. NV 7.01,9.01 07/16/13 MINT LEASING INC NV 2.04,8.01 06/06/13 Molycorp, Inc. DE 5.02 07/09/13 Monarchy Resources, Inc. NV 1.01,9.01 07/09/13 Monster Offers NV 1.01 07/10/13 MOSAIC CO 2.02,9.01 07/16/13 NB&T FINANCIAL GROUP INC OH 2.02,7.01,9.01 07/16/13 NEOGEN CORP MI 8.01 07/12/13 NEW HAMPSHIRE THRIFT BANCSHARES INC DE 2.02,9.01 07/15/13 NEW JERSEY RESOURCES CORP NJ 5.03,7.01,8.01,9.01 07/10/13 New Western Energy Corp NV 7.01,9.01 07/15/13 NEW YORK MORTGAGE TRUST INC MD 8.01 07/12/13 NICOLET BANKSHARES INC WI 2.02,9.01 07/16/13 NORTHWESTERN CORP DE 8.01,9.01 07/15/13 Norwegian Cruise Line Holdings Ltd. 8.01,9.01 07/16/13 NUMBEER, INC. NV 1.01,3.02,9.01 07/15/13 OCCIDENTAL PETROLEUM CORP /DE/ DE 5.02,9.01 07/10/13 Ocera Therapeutics, Inc. DE 2.01,3.02,3.03,5.01, 07/15/13 5.02,5.03,5.07,9.01 OGE ENERGY CORP. OK 2.01,9.01 05/01/13 AMEND OHIO VALLEY BANC CORP OH 8.01 07/16/13 OLD POINT FINANCIAL CORP VA 2.02,9.01 07/16/13 Omthera Pharmaceuticals, Inc. DE 5.07,8.01,9.01 07/16/13 ONLINE DISRUPTIVE TECHNOLOGIES, INC. NV 9.01 07/25/12 AMEND OphthaliX, Inc. 8.01,9.01 07/16/13 ORACLE CORP 8.01,9.01 07/16/13 ORMAT TECHNOLOGIES, INC. DE 8.01 07/16/13 PAN AMERICAN GOLDFIELDS LTD DE 8.01 07/12/13 PEPCO HOLDINGS INC DE 8.01 07/12/13 PHH CORP MD 2.03,8.01 07/10/13 Pingtan Marine Enterprise Ltd. E9 8.01,9.01 07/11/13 PINNACLE ENTERTAINMENT INC. DE 7.01,9.01 07/16/13 Point.360 CA 3.01 07/15/13 POLYONE CORP 2.05 07/10/13 POTOMAC ELECTRIC POWER CO VA 8.01 07/12/13 PROGENICS PHARMACEUTICALS INC DE 8.01 07/16/13 PROGENICS PHARMACEUTICALS INC DE 8.01 07/16/13 Prologis, Inc. MD 1.01,2.03,9.01 07/11/13 Punchline Resources Ltd. NV 5.07 07/12/13 Puramed Bioscience Inc. MN 1.01,2.03,3.02,9.01 07/09/13 QUAINT OAK BANCORP INC 4.01,9.01 07/10/13 QUALSTAR CORP CA 8.01,9.01 07/15/13 QUIKSILVER INC DE 1.01,1.02,2.03, 07/16/13 8.01,9.01 RCS Capital Corp DE 8.01,9.01 07/16/13 REALOGY HOLDINGS CORP. DE 2.02,9.01 07/16/13 REALTY INCOME CORP MD 8.01,9.01 07/16/13 RENASANT CORP MS 2.02,9.01 07/16/13 Resolute Energy Corp DE 8.01 07/15/13 RESOURCES CONNECTION INC DE 2.02,9.01 07/16/13 RUSH ENTERPRISES INC \TX\ TX 1.01,9.01 07/11/13 SaasMAX, Inc. NV 1.01,3.02,7.01,9.01 07/15/13 Sanomedics International Holdings, In DE 1.01,7.01,9.01 07/10/13 Santander Drive Auto Receivables Trus DE 8.01,9.01 07/11/13 SCBT FINANCIAL CORP SC 8.01 07/16/13 SCHWAB CHARLES CORP DE 2.02,9.01 07/16/13 SEALED AIR CORP/DE DE 5.02,9.01 07/11/13 SECURITY NATIONAL FINANCIAL CORP UT 5.07 07/12/13 SEFE, INC. NV 3.02 07/11/13 ServisFirst Bancshares, Inc. DE 2.02,9.01 07/16/13 SHFL entertainment Inc. MN 8.01,9.01 07/15/13 Signature Exploration & Production Co DE 4.01 07/12/13 SONO TEK CORP NY 7.01,9.01 07/15/13 SOUTHERN POWER CO 8.01,9.01 07/10/13 SPECTRASCIENCE INC MN 5.02 07/12/13 STW RESOURCES HOLDING CORP. NV 1.01,2.03,5.02, 06/12/13 7.01,9.01 Sucampo Pharmaceuticals, Inc. 7.01,9.01 07/16/13 Susser Holdings CORP DE 2.02,9.01 07/16/13 Susser Petroleum Partners LP DE 2.02,9.01 07/16/13 TALON INTERNATIONAL, INC. DE 1.01,1.02,2.03,3.02, 07/12/13 5.01,5.02,7.01,9.01 TAYLOR CAPITAL GROUP INC DE 8.01,9.01 07/16/13 TECHPRECISION CORP 8.01 07/16/13 Texas Rare Earth Resources Corp. DE 7.01,9.01 07/16/13 TG THERAPEUTICS, INC. DE 5.02,9.01 07/12/13 THERMOGENESIS CORP DE 1.01,8.01,9.01 07/15/13 TRUSTCO BANK CORP N Y NY 8.01,9.01 07/15/13 U S PRECIOUS METALS INC DE 5.07 07/09/13 Uni-Pixel DE 8.01,9.01 07/16/13 UNITED REFINING CO PA 8.01,9.01 07/15/13 UNITED STATES STEEL CORP DE 1.01,2.03,9.01 07/12/13 UniTek Global Services, Inc. DE 1.01,1.02,2.03 07/10/13 UNITIL CORP NH 7.01,9.01 07/15/13 USCORP NV 3.02 04/01/13 Vantage Drilling CO E9 1.01,2.03,8.01,9.01 07/16/13 Venaxis, Inc. CO 8.01,9.01 07/16/13 Viggle Inc. DE 3.01 07/11/13 VISA INC. DE 8.01,9.01 07/16/13 VOZ MOBILE CLOUD LTD WA 1.02,2.01,9.01 07/15/13 VRDT Corp DE 5.06,9.01 08/31/12 AMEND Vuzix Corp DE 1.01,2.03,3.02,9.01 07/15/13 Walter Energy, Inc. DE 7.01 07/15/13 WESTAMERICA BANCORPORATION CA 2.02,9.01 07/16/13 Woodward, Inc. DE 1.01,1.02,2.03,9.01 07/10/13 WORLDS INC NJ 1.01,9.01 07/15/13 WORLDS INC NJ 1.01,9.01 07/15/13 AMEND YAHOO INC DE 2.02,9.01 07/16/13 ZAGG Inc NV 2.02,9.01 07/16/13 ZOOM TECHNOLOGIES INC DE 5.02 07/15/13
http://www.sec.gov/news/digest/2013/dig071713.htm
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