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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 23, 2013 and terminating at 11:59 p.m. EDT on August 5, 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 two years. 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 Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-70021) Commission Suspends Trading in the Securities of Six Issuers for Failure to Make Required Periodic FilingsThe Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT July 23, 2013 and terminating at 11:59 p.m. EDT on August 5, 2013.
The Commission temporarily suspended trading in the securities of these six 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 two years. 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 Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-70023) ENFORCEMENT PROCEEDINGSRevocation of Registration of Securities of Southern Scottish Inns, Inc.On July 23rd, 2013, the Commission announced the revocation, pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act), of the registration of the securities of Southern Scottish Inns, Inc. (Southern Scottish Inns), of Tucker, Georgia registered with the Commission pursuant to Section 12 of the Exchange Act. In its Order revoking the registration of securities of Southern Scottish Inns registered with the Commission pursuant to Section 12 of the Exchange Act, the Commission found the following: Southern Scottish Inns is a Louisiana for-profit corporation with its principal place of business in Tucker, Georgia. It has a class of common stock registered pursuant to Section 12(g) of the Exchange Act that traded on the Pink Sheets. Southern Scottish Inns has failed to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder because it has not filed any periodic reports with the Commission since the period ended December 31, 2003. The Commission cautions broker 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 the company. Further, brokers and dealers should be alert to the fact that, 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 pursuant to the preceding sentence. Without admitting or denying the findings in the Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Southern Scottish Inns consented the entry of an order finding that it had violated Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Southern Scottish Inns securities registered with the Commission pursuant to Section 12 of the Exchange Act. (Rel. 34-70018) Revocation of Transfer Agent Registration of Securities Transfer, Inc.On July 23rd, 2013, the Commission announced the revocation, pursuant to Section 17A(c)(3) of the Securities Exchange Act of 1934 (Exchange Act), of the registration as a transfer agent of Securities Transfer, Inc. (Securities Transfer), of Tucker, Georgia, which was registered with the Commission pursuant to Section 17A(c)(1) of the Exchange Act. In its Order revoking the registration as a transfer agent of Securities Transfer registered with the Commission pursuant to Section 17A(c)(1) of the Exchange Act, the Commission found the following: Securities Transfer, Inc., which is registered with the Commission as a transfer agent under File Number 084-01167, is a Mississippi for-profit corporation with its principal place of business in Tucker, Georgia. Securities Transfer registered with the Commission as a transfer agent on November 18, 1983 and is currently the transfer agent for the common and preferred stock of Red Carpet Inns International, Inc. (Securities Transfer's corporate parent) and the common stock of Southern Scottish Inns, Inc. (which holds a controlling interest in Red Carpet Inns International, Inc.). Securities Transfer has failed to comply with Exchange Act Section 17A(c)(1) and Rules 17Ac2-1(c) and 17Ac2-2(a) thereunder because it has not filed accurate annual registered transfer agent reports for 2010, 2011, and 2012, and has not filed accurate transfer agent registration amendments regarding its ownership and control. Without admitting or denying the findings in the Order Instituting Proceedings, Making Findings, and Revoking Registration of Transfer Agent Pursuant to Section 17A(c)(3) of the Securities Exchange Act of 1934, Securities Transfer consented the entry of an order finding that it had violated Exchange Act Section 17A(c)(1) and Rules 17Ac2-1(c) and 17Ac2-2(a) thereunder and revoking its registration as a transfer agent with the Commission pursuant to Section 17A(c)(1) of the Exchange Act. (Rel. 34-70019) Commission Orders Hearings on Registration Suspension or Revocation against Four Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings 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 American Wenshen Steel Group, Inc., et al., Administrative Proceeding File No. 3-15386
In this Order, the Division of Enforcement (Division) alleges that the four issuers 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 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 this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-70020) Commission Orders Hearings on Registration Suspension or Revocation against Six Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of six companies for failure to make required periodic filings with the Commission: In the Matter of Camelot Entertainment Group, Inc., et al., Administrative Proceeding File No. 3-15387
In this Order, the Division of Enforcement (Division) alleges that the six issuers 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 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 this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-70022) Commission Orders Hearing on Registration Suspension or Revocation against Four Public Companies for Failure to Make Required Periodic FilingsToday the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of four companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the four issuers 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 Administrative Law 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 13a-13 thereunder, are true. The Administrative Law 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 this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-70030) Commission Suspends Attorney Virginia K. Sourlis, Esq.The Commission announced today that it has instituted a settled Administrative Proceeding against Virginia K. Sourlis and suspended her from appearing or practicing before it as an attorney for five years from the Commission's Order of Temporary Suspension dated February 19, 2013. The Commission instituted the Administrative Proceeding against Sourlis after the U.S. District Court for the Southern District of New York found that Sourlis aided and abetted violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder. The Commission's Amended Complaint against Sourlis and others in the civil action entitled United States Securities and Exchange Commission v. Greenstone Holdings, Inc., et al., 10-civ-1302, alleged, among other claims, that Sourlis aided and abetted violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder in connection with the illegal public offering of millions of shares of Greenstone Holdings, Inc. (Greenstone) stock. On November 20, 2012, Judge Cederbaum issued an order that granted the Commission summary judgment on liability on the Commission's claim that Sourlis aided and abetted violations of Section 10(b) and Rule 10b-5, holding that she issued a false legal opinion that facilitated the illegal Greenstone stock offering. Today, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Rule 102(e) of the Commission's Rules of Practice that suspends Sourlis, a partner in The Sourlis Law Firm who is licensed to practice law in the State of New Jersey, from appearing or practicing before the Commission for five years from the Commission's Order of Temporary Suspension dated February 19, 2013. (Rel. 34-70031) Investment company ordersHarris & Harris Group, Inc.A certification has been issued pursuant to Section 851(e) of the Internal Revenue Code of 1986, as amended, that Harris & Harris Group, Inc. was, for the fiscal year ended December 31, 2012, principally engaged in the furnishing of capital to other corporations which are principally engaged in the development or exploitation of inventions, technological improvements, new processes or products not previously generally available. (Rel. IC-30604) ProShare Advisors LLC, et al.An order has issued on an application filed by ProShare Advisors LLC, et al. The order permits: (a) series of certain 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 from 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; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30605) Charles Schwab Investment Management, Inc., et al.An order has been issued on an application filed by Charles Schwab Investment Management, Inc., Schwab Strategic Trust, and SEI Investments Distribution Company. The order permits: (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; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30606) ETF Issuer Solutions Inc., et al.An order has been issued on an application filed by ETF Issuer Solutions Inc., ETF Actively Managed Trust and ETF Distributors LLC to permit: (a) actively-managed series of certain 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 from 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; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30607) The Dreyfus Corporation, et al.An order has been issued on an application filed by The Dreyfus Corporation, 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 supersedes a prior order and permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-30608) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by Chicago Board Options Exchange, Incorporated regarding continuing education requirements for registered persons (SR-CBOE-2013-076) 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 22, 2013. (Rel. 34-70027) A proposed rule change (SR-MIAX-2013-34) filed by Miami International Securities Exchange LLC to delay the operative date of a recent change to Exchange Rule 514 has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. Publication is expected in the Federal Register during the week of July 22, 2013. (Rel. 34-70024) A proposed rule change (SR-MIAX-2013-35) filed by Miami International Securities Exchange LLC to delay the operative date of a recent change to Exchange Rule 506 has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. Publication is expected in the Federal Register during the week of July 22, 2013. (Rel. 34-70025) A proposed rule change filed by International Securities Exchange, LLC to amend certain Market Maker fees (SR-ISE-2013-46) 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 22, 2013. (Rel. 34-70028) A proposed rule change filed by International Securities Exchange, LLC to amend the schedule of fees (SR-ISE-2013-45) 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 22, 2013. (Rel. 34-70029) Designation of Longer Period for Commission Action on a Proposed Rule ChangeThe Commission has designated a longer period for Commission action, pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, on a proposed rule change (SR-Phlx-2013-65) filed by NASDAQ OMX PHLX LLC relating to which complex orders can initiate a Complex Order Live Auction. Publication is expected in the Federal Register during the week of July 22, 2013. (Rel. 34-70026) 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 Extended Stay America, Inc., 11525 N. COMMUNITY HOUSE ROAD, SUITE 100,
CHARLOTTE, NC, 28277, (980) 345-1600 - 0 ($100,000,000.00) Equity,
(File 333-190052 - Jul. 22) (BR. 08)
S-4 ATLAS PIPELINE PARTNERS LP, 110 W. 7TH, SUITE 2300, TULSA, OK, 74119,
918-574-3549 - 0 ($500,000,000.00) Non-Convertible Debt,
(File 333-190053 - Jul. 22) (BR. 02A)
S-1 RD&G Holdings Corp, 4880 EAST PACIFIC PLACE, DENVER, CO, 80222,
720-833-0600 - 10,000,000 ($1,000,000.00) Equity, (File 333-190054 -
Jul. 22) (BR. 09)
N-2 NUVEEN REAL ESTATE INCOME FUND, 333 WEST WACKER DRIVE, CHICAGO, IL,
60606, 3129178146 - 1,000 ($12,100.00) Equity, (File 333-190055 -
Jul. 22) (BR. 18)
S-4 American Realty Capital Properties, Inc., 405 PARK AVENUE, NEW YORK,
NY, 10022, 212-415-6500 - 0 ($1,777,818,625.00) Equity,
(File 333-190056 - Jul. 22) (BR. 08B)
S-1 IntelGenx Technologies Corp., 6425 ABRAMS, VILLE SAINT LAURENT, A8,
H4S 1X9, 514-331-7440 - 9,360,000 ($9,360,000.00) Equity,
(File 333-190065 - Jul. 22) (BR. 01B)
S-1 Arkadia International, 5348 VEGAS DRIVE, SUITE 1107, LAS VEGAS, NV,
89108, (619) 838-0363 - 549,900 ($137,475.00) Equity,
(File 333-190067 - Jul. 22) (BR. 05)
S-8 ICON PLC, SOUTH COUNTY BUSINESS PARK, LEOPARDSTOWN, DUBLIN 18, L2,
00000, 00 353 1 291 2000 - 1,600,000 ($60,632,000.00) Equity,
(File 333-190068 - Jul. 22) (BR. 01A)
S-1 COMPETITIVE TECHNOLOGIES INC, 1375 KINGS HIGHWAY EAST, FAIRFIELD, CT,
06824, (203) 368-6044 - 8,900,000 ($2,225,000.00) Equity,
(File 333-190069 - Jul. 22) (BR. 03A)
S-8 NRG Yield, Inc., 211 CARNEGIE CENTER, PRINCETON, NJ, 08540,
609-524-9500 - 0 ($21,532,500.00) Equity, (File 333-190071 - Jul. 22)
(BR. 02)
S-3 LCNB CORP, 2 NORTH BROADWAY, LEBANON, OH, 45036, 5139321414 -
100,000,000 ($100,000,000.00) Equity, (File 333-190072 - Jul. 22)
(BR. 07C)
F-10 IAMGOLD CORP, 401 BAY STREET, SUITE 3200, TORONTO ONTARIO CANADA, A6,
M5H 2Y4, 4163604710 - 0 ($1.00) Other, (File 333-190073 - Jul. 22)
(BR. 09A)
S-8 Rexford Industrial Realty, Inc., 11620 WILSHIRE BOULEVARD, SUITE 300,
LOS ANGELES, CA, 90025, 310-966-1680 - 0 ($34,090,335.00) Equity,
(File 333-190074 - Jul. 22) (BR. 08C)
S-8 China Green Agriculture, Inc., 3RD FLOOR, BOROUGH A, BLOCK A. NO.181,
SOUTH TAIBAI ROAD,, XIAN, SHAANXI PROVINCE,, F4, 710065, 3034996000 -4,250,000
($11,963,750.00) Equity, (File 333-190075 - Jul. 22) (BR. 05A)
S-4 WOLVERINE WORLD WIDE INC /DE/, 9341 COURTLAND DR, ROCKFORD, MI, 49351, 6168665500 - 0
($375,000,000.00) Non-Convertible Debt, (File 333-190076 - Jul. 22) (BR. 09B)
S-8 UCP, Inc., 6489 CAMDEN AVENUE, SUITE 204, SAN JOSE, CA, 95120,
408-323-1113 - 1,834,300 ($26,523,978.00) Equity, (File 333-190077 -
Jul. 22) (BR. 06C)
S-3ASR HUNTINGTON BANCSHARES INC/MD, HUNTINGTON CTR, 41 S HIGH ST HC0632,
COLUMBUS, OH, 43287, 6144808300 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-190078 - Jul. 22)
(BR. 12A)
S-3 YRC Worldwide Inc., 10990 ROE AVENUE, OVERLAND PARK, KS, 66211,
913-696-6100 - 0 ($350,000,000.00) Other, (File 333-190079 - Jul. 22)
(BR. 05C)
S-1 BioSig Technologies, Inc., 12424 WILSHIRE BOULEVARD, SUITE 745,
LOS ANGELES, CA, 90025, 310-820-8100 -
3,128,043 ($6,537,609.87) Equity, (File 333-190080 - Jul. 22) (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 ABERCROMBIE & FITCH CO /DE/ DE 5.02 07/19/13 Adia Nutrition, Inc. NV 8.01 07/22/13 Advanced Voice Recognition Systems, I NV 1.01,3.02,9.01 07/18/13 AGILYSYS INC OH 5.02 07/15/13 ALLSTATE CORP DE 1.01,8.01,9.01 07/17/13 AMBIT BIOSCIENCES CORP DE 5.02 07/16/13 AMERICAN EXPRESS CREDIT CORP DE 1.01,9.01 07/19/13 AMERICAN NATIONAL INSURANCE CO /TX/ TX 2.02,9.01 07/22/13 AMERITRANS CAPITAL CORP DE 1.01,5.02,8.01 07/17/13 ANDERSONS INC OH 5.07 07/22/13 AMEND APPLIED DNA SCIENCES INC DE 1.01,3.02,5.03,9.01 07/19/13 ARC Realty Finance Trust, Inc. MD 1.01,2.03 07/17/13 ARTHROCARE CORP DE 8.01 07/22/13 ASSURED GUARANTY LTD D0 7.01,8.01 07/16/13 BANC OF CALIFORNIA, INC. MD 5.02,9.01 07/22/13 BANK OF HAWAII CORP DE 2.02,9.01 07/22/13 Bank of Marin Bancorp CA 2.02,8.01,9.01 07/18/13 BERKLEY W R CORP DE 2.02,9.01 07/22/13 BERKSHIRE HILLS BANCORP INC DE 8.01,9.01 07/22/13 BIO-PATH HOLDINGS INC UT 8.01,9.01 07/22/13 BIOCRYST PHARMACEUTICALS INC DE 7.01,8.01,9.01 07/22/13 BLACK BOX CORP DE 7.01,9.01 07/22/13 Blueknight Energy Partners, L.P. DE 7.01,9.01 07/22/13 BOISE CASCADE Co DE 2.02,9.01 07/22/13 BOISE CASCADE Co DE 1.01,8.01,9.01 07/19/13 BOISE CASCADE Co DE 1.01,9.01 07/19/13 AMEND C & F FINANCIAL CORP VA 1.01,9.01 07/17/13 Capital Bank Financial Corp. DE 8.01 07/22/13 Carlyle GMS Finance, Inc. MD 3.02 07/17/13 CARMIKE CINEMAS INC DE 2.02,9.01 07/22/13 CAS MEDICAL SYSTEMS INC DE 8.01 07/22/13 CCA INDUSTRIES INC DE 5.07,8.01,9.01 07/22/13 Celsion CORP DE 5.07 07/19/13 CenterState Banks, Inc. FL 2.02,9.01 07/22/13 Cheniere Energy Partners, L.P. DE 8.01,9.01 07/22/13 CHINA HGS REAL ESTATE INC. F4 1.01,9.01 07/19/13 Commercial Vehicle Group, Inc. DE 2.02,7.01,9.01 07/22/13 COMMUNITY BANK SHARES OF INDIANA INC IN 8.01,9.01 07/16/13 COMPUTER TASK GROUP INC NY 2.02,9.01 07/22/13 CORINTHIAN COLLEGES INC 5.02 07/16/13 Crestwood Midstream Partners LP DE 1.01,7.01,8.01,9.01 07/19/13 CSB BANCORP INC /OH OH 2.02,9.01 07/22/13 Customers Bancorp, Inc. PA 8.01,9.01 07/22/13 DEGARO INNOVATIONS CORP. NV 7.01,9.01 07/22/13 AMEND DESTINY CORPORATE ENTERPRISES, INC. 4.01,9.01 07/12/13 Discover Card Execution Note Trust DE 1.01,8.01,9.01 07/22/13 DTS, INC. DE 5.02 07/18/13 EATON VANCE CORP MD 5.02 07/16/13 Edgen Group Inc. DE 8.01,9.01 07/22/13 Ellington Financial LLC DE 7.01 07/22/13 Embassy Bancorp, Inc. PA 5.07 07/22/13 AMEND Emergent BioSolutions Inc. DE 5.02 07/18/13 EMERSON ELECTRIC CO MO 7.01 07/22/13 ENDEAVOR IP, INC. 2.01,2.03,3.02, 05/13/13 AMEND 4.01,5.03,5.07,8.01,9.01 ENGLOBAL CORP NV 8.01 07/19/13 ENVIVIO INC DE 5.07 07/17/13 EQT Midstream Partners, LP DE 1.01,2.01,3.02,9.01 07/16/13 EXPLORE ANYWHERE HOLDING CORP NV 4.01,9.01 07/22/13 F&M BANK CORP VA 2.02,9.01 07/22/13 FARMERS & MERCHANTS BANCORP INC OH 5.02 07/19/13 Federal Home Loan Bank of Indianapoli X1 5.02 07/19/13 Federal Home Loan Bank of Indianapoli X1 5.02 07/19/13 Federal Home Loan Bank of Pittsburgh PA 2.02,7.01 07/22/13 Federal Home Loan Bank of Seattle 2.02,9.01 07/22/13 FEDERAL MOGUL CORP DE 2.02,7.01,9.01 07/22/13 FEDERAL MOGUL CORP DE 8.01,9.01 07/22/13 FEDERAL SIGNAL CORP /DE/ DE 5.02,9.01 07/18/13 Fibrocell Science, Inc. DE 5.02,5.03,5.07,9.01 07/19/13 FIDELITY SOUTHERN CORP GA 2.02,9.01 07/18/13 FIRST INDUSTRIAL LP DE 1.01,2.03,7.01,9.01 07/19/13 FIRST INDUSTRIAL REALTY TRUST INC MD 1.01,2.03,7.01,9.01 07/19/13 FIRST INTERSTATE BANCSYSTEM INC MT 2.02,9.01 07/22/13 FIRST NIAGARA FINANCIAL GROUP INC DE 5.02,9.01 07/17/13 FIRSTBANK CORP MI 2.02,9.01 07/22/13 FLOWERS FOODS INC GA 1.01,2.01,2.03, 07/17/13 8.01,9.01 FOREST CITY ENTERPRISES INC OH 8.01,9.01 07/22/13 FreightCar America, Inc. DE 5.02,9.01 07/22/13 Galaxy Gaming, Inc. 8.01,9.01 07/19/13 GANNETT CO INC /DE/ DE 2.02,9.01 07/22/13 Global Geophysical Services Inc DE 8.01,9.01 07/19/13 Global Indemnity plc L2 2.03 07/18/13 GREEN ENERGY RENEWABLE SOLUTIONS, INC FL 1.01,9.01 06/26/13 GREER BANCSHARES INC SC 2.02,9.01 07/22/13 GXS Worldwide, Inc. DE 2.02,9.01 07/22/13 HALLIBURTON CO DE 2.02 07/22/13 HASBRO INC RI 2.02,7.01,9.01 07/22/13 HEARTLAND EXPRESS INC NV 2.02,9.01 07/19/13 HEXCEL CORP /DE/ DE 2.02,7.01,8.01,9.01 07/22/13 HEXCEL CORP /DE/ DE 5.02,9.01 07/22/13 HOLLY ENERGY PARTNERS LP 1.01,9.01 07/16/13 HollyFrontier Corp DE 1.01,9.01 07/16/13 Howard Bancorp Inc MD 2.02,9.01 07/18/13 ICAHN ENTERPRISES L.P. DE 8.01,9.01 07/22/13 ICAHN ENTERPRISES L.P. DE 8.01,9.01 07/22/13 Independence Bancshares, Inc. SC 5.03,5.07,9.01 05/15/13 Infinity Resources Holdings Corp. NV 1.01,2.01,2.03, 07/16/13 3.02,5.02,9.01 INFRASTRUCTURE MATERIALS CORP. DE 5.07,9.01 07/22/13 INSMED INC VA 8.01,9.01 07/22/13 IntelGenx Technologies Corp. DE 7.01 07/22/13 International Safety Group, Inc. NV 5.02 07/18/13 INTERNET INFINITY, INC. DE 4.01,9.01 07/18/13 AMEND Jayhawk Energy, Inc. CO 1.01 07/16/13 KANSAS CITY LIFE INSURANCE CO MO 5.02,9.01 07/22/13 KIMBERLY CLARK CORP DE 2.02,9.01 07/22/13 KYTO BIOPHARMA INC FL 1.01,9.01 07/17/13 LAKES ENTERTAINMENT INC MN 1.01,9.01 07/17/13 LENNOX INTERNATIONAL INC DE 2.02,9.01 07/22/13 LIBERATOR MEDICAL HOLDINGS, INC. NV 5.02 07/18/13 Life Care Medical Devices Ltd NV 1.01,8.01,9.01 07/17/13 Life Technologies Corp DE 8.01,9.01 07/22/13 LIGAND PHARMACEUTICALS INC DE 1.01,8.01,9.01 07/17/13 LIONS GATE ENTERTAINMENT CORP /CN/ A1 1.01,2.03,8.01,9.01 07/19/13 MATTHEWS INTERNATIONAL CORP PA 1.01,9.01 07/18/13 MCDONALDS CORP DE 2.02,9.01 07/22/13 MEADE INSTRUMENTS CORP DE 8.01,9.01 07/22/13 METRO BANCORP, INC. 2.02,9.01 07/22/13 Mirati Therapeutics, Inc. DE 3.01,9.01 07/19/13 MMRGlobal, Inc. DE 5.07,7.01,9.01 07/17/13 MobileSmith, Inc. DE 2.03,3.02 07/22/13 MODINE MANUFACTURING CO WI 5.02,5.03,5.07,9.01 07/18/13 Monster Arts Inc. NV 5.03 07/17/13 Motors Liquidation Co DE 8.01,9.01 07/22/13 MUTUALFIRST FINANCIAL INC MD 7.01,9.01 07/22/13 N-VIRO INTERNATIONAL CORP DE 8.01,9.01 07/19/13 NASH FINCH CO DE 1.01,8.01,9.01 07/22/13 Nationstar Mortgage Holdings Inc. DE 1.01,2.03,9.01 07/17/13 Neohydro Technologies Corp. NV 1.01 07/19/13 NETFLIX INC DE 2.02,9.01 07/22/13 Next 1 Interactive, Inc. NV 3.03,5.03,9.01 07/09/13 Northwest Bancshares, Inc. MD 2.02,9.01 07/22/13 NORTHWEST INDIANA BANCORP IN 2.02,9.01 07/22/13 NPC Restaurant Holdings, LLC DE 7.01,9.01 07/22/13 NVR INC VA 2.02,9.01 07/22/13 Oak Valley Bancorp CA 5.03,9.01 07/16/13 Oak Valley Bancorp CA 2.02,7.01,9.01 07/18/13 OLD LINE BANCSHARES INC MD 2.01,9.01 05/10/13 AMEND OXIGENE INC DE 5.03,5.07,9.01 07/16/13 PACWEST BANCORP DE 8.01,9.01 07/22/13 PARK NATIONAL CORP /OH/ OH 2.02,5.02,7.01, 07/22/13 8.01,9.01 PARKER DRILLING CO /DE/ DE 1.01,2.02,7.01,9.01 07/19/13 PENNS WOODS BANCORP INC PA 2.02,9.01 07/19/13 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 5.02 07/22/13 PEOPLES BANCORP OF NORTH CAROLINA INC NC 2.02,9.01 07/22/13 PERKINELMER INC MA 1.01,9.01 07/18/13 PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 07/19/13 PETMED EXPRESS INC FL 8.01,9.01 07/22/13 Plures Technologies, Inc./DE DE 5.02,9.01 07/17/13 PLX TECHNOLOGY INC DE 2.02,9.01 07/22/13 POKERTEK, INC. NC 5.07 06/05/13 AMEND PRIVATE MEDIA GROUP INC NV 5.02 07/08/13 Professional Diversity Network, Inc. IL 5.02,9.01 07/17/13 ProGreen Properties, Inc. DE 1.01,9.01 07/19/13 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 07/22/13 REALOGY HOLDINGS CORP. DE 1.01,5.02,9.01 07/16/13 Receptos, Inc. DE 5.02,9.01 07/17/13 REGAL BELOIT CORP WI 5.02,9.01 07/22/13 RENT A CENTER INC DE 2.02,9.01 07/22/13 Rhino Resource Partners LP DE 7.01,9.01 07/22/13 RICHFIELD OIL & GAS Co NV 8.01,9.01 07/22/13 RLJ ENTERTAINMENT, INC. NV 5.02 07/18/13 RPM INTERNATIONAL INC/DE/ DE 2.02,9.01 07/22/13 RXi Pharmaceuticals Corp DE 3.03,5.03,5.07, 07/19/13 7.01,9.01 SANMINA CORP DE 2.02,9.01 07/22/13 SECURITY NATIONAL FINANCIAL CORP UT 5.02 07/12/13 SELECT COMFORT CORP MN 1.01 07/16/13 SIERRA BANCORP CA 2.02,9.01 07/22/13 SIMMONS FIRST NATIONAL CORP AR 8.01,9.01 07/22/13 SIMPSON MANUFACTURING CO INC /CA/ DE 5.02 07/17/13 Six Flags Entertainment Corp 2.02,9.01 07/22/13 SKULLCANDY, INC. 5.02,9.01 07/19/13 SLM Student Loan Trust 2005-5 8.01 07/22/13 SLM Student Loan Trust 2005-8 8.01 07/22/13 SMTC CORP DE 5.07 07/17/13 SORL Auto Parts Inc DE 4.01,7.01,9.01 07/18/13 SOUTHCOAST FINANCIAL CORP SC 2.02,9.01 07/17/13 SPARTAN STORES INC MI 1.01,8.01,9.01 07/21/13 ST JUDE MEDICAL INC MN 5.02,9.01 07/19/13 Standard Drilling, Inc. 1.01,2.01,3.02, 07/22/13 AMEND 4.01,5.01,5.02,5.06,9.01 STAR GAS PARTNERS LP DE 2.02,7.01,9.01 07/22/13 STERLING FINANCIAL CORP /WA/ WA 8.01 07/19/13 Sunstock, Inc. 3.02,5.01,5.02 07/18/13 SunVault Energy, Inc. NV 8.01,9.01 07/19/13 SunVault Energy, Inc. NV 5.02,8.01,9.01 07/18/13 Surna Inc. NV 5.02 07/17/13 TearLab Corp DE 2.02,8.01,9.01 07/22/13 TECTON CORP 5.07 07/22/13 TELEFLEX INC DE 1.01,1.02,9.01 07/16/13 TELEPHONE & DATA SYSTEMS INC /DE/ DE 5.02,5.03,9.01 07/19/13 TEXAS INSTRUMENTS INC DE 2.02,9.01 07/22/13 TOMPKINS FINANCIAL CORP NY 2.02,8.01,9.01 07/19/13 TOR MINERALS INTERNATIONAL INC DE 8.01 07/22/13 Tower International, Inc. DE 2.02,9.01 07/22/13 TRC COMPANIES INC /DE/ DE 8.01,9.01 07/22/13 TRISTAR WELLNESS SOLUTIONS, INC. NV 9.01 05/06/13 AMEND Trovagene, Inc. DE 8.01,9.01 07/22/13 TRUSTCO BANK CORP N Y NY 2.02,9.01 07/22/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 07/22/13 TWO RIVER BANCORP NJ 2.02,9.01 07/22/13 TX Holdings, Inc. GA 2.02,9.01 07/22/13 ULTRA CLEAN HOLDINGS INC DE 2.02,9.01 07/22/13 UNION PACIFIC CORP UT 8.01,9.01 07/22/13 United Financial Bancorp, Inc. 2.02,9.01 07/18/13 United Health Products, Inc. NV 7.01,9.01 07/19/13 UNITED ONLINE INC DE 1.01,1.02,2.03, 07/17/13 8.01,9.01 UNITED STATIONERS INC DE 2.02,9.01 07/22/13 VERAMARK TECHNOLOGIES INC DE 2.01,3.01, 07/16/13 3.03,5.01,5.02,5.03,9.01 Verity Corp. NV 5.02 07/17/13 Vocus, Inc. DE 8.01 07/22/13 VOLTERRA SEMICONDUCTOR CORP 2.02,9.01 07/22/13 Vringo Inc DE 5.07 07/18/13 VW CREDIT LEASING LTD 8.01,9.01 07/17/13 Vystar Corp GA 4.01,9.01 06/28/13 AMEND WELLS FARGO & COMPANY/MN DE 5.03,9.01 07/19/13 WERNER ENTERPRISES INC NE 2.02,9.01 07/22/13 WESTERN DIGITAL CORP DE 7.01 07/22/13 Willbros Group, Inc.\NEW\ 2.02,9.01 07/22/13 WISCONSIN ENERGY CORP WI 5.02 07/18/13 WOLVERINE WORLD WIDE INC /DE/ MI 8.01,9.01 07/22/13 X-Factor Communications Holdings, Inc DE 5.02 07/16/13 YAHOO INC DE 5.02 07/17/13 ZIONS BANCORPORATION /UT/ UT 2.02,8.01,9.01 07/22/13 ZOOM TECHNOLOGIES INC DE 5.02 07/15/13 AMEND http://www.sec.gov/news/digest/2013/dig072313.htm
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