Commission Adopts Amendments to Financial Responsibility Rules for Broker-Dealers
The Securities and Exchange Commission (Commission) today announced the adoption of amendments to the net capital, customer protection, books and records, and notification rules for broker-dealers. The amendments to the broker-dealer financial responsibility rules are designed to better protect a broker-dealer's customers and enhance the SEC's ability to monitor and prevent unsound business practices. The rule amendments were approved by a unanimous Commission vote. "Investors need to feel confident that their money is safe when it's being held by their broker-dealers," said Mary Jo White, Chair of the SEC. "These measures will significantly bolster the protections that our rules already offer." The rule amendments will become effective 60 days after their publication in the Federal Register. (Press Rel. 2013-140; 34-70072)
Commission Adopts Rules to Increase Protections for Investors with Assets Being Held By Broker-Dealers
The Commission today announced the adoption of rules designed to substantially increase protections for investors who turn their money and securities over to broker-dealers registered with the SEC.
The new rules, approved by a 3-2 Commission vote, require broker-dealers to file new reports with the Commission that should result in higher levels of compliance with the SEC's financial responsibility rules.
"These rules will provide important additional safeguards for customer assets held by broker-dealers," said Mary Jo White, Chair of the SEC. "These rules will strengthen the audit requirements for broker-dealers and enhance our oversight of the way they maintain custody of their customers' assets."
Broker-dealers are required to begin filing new quarterly reports with the SEC and annual reports with SIPC by the end of 2013. The requirement for broker-dealers to file annual reports with the SEC is effective June 1, 2014. (Press Rel. 2013-141; 34-70073)
Commission Sanctions Two Investment Advisers for Best Execution Failures
The Commission today sanctioned two investment advisory firms for failing to seek best execution on client trades placed with their in-house brokerage divisions.
An SEC investigation found that New York-based A.R. Schmeidler & Co. (ARS), which is dually registered as an investment adviser and a broker-dealer, failed to reevaluate whether it was providing best execution for its advisory clients when it negotiated more favorable terms with its clearing firm. This resulted in ARS retaining a greater share of the commissions it received from clients. The firm failed to implement policies and procedures reasonably designed to prevent its best execution violations.
ARS agreed to pay more than $1 million to settle the charges.
A separate SEC investigation found that Gregory W. Goelzer and his Indianapolis-based dually registered firm Goezler Investment Management (GIM) made misrepresentations in its Form ADV about the process of selecting itself as broker for advisory clients. The firm failed to seek best execution for its clients by neglecting to conduct the comparative analysis of brokerage options described in its Form ADV, and recommended itself as broker for its advisory clients without evaluating other introducing-broker options as the firm represented it would.
Goezler and GIM agreed to pay nearly $500,000 to settle the charges.
"These cases send a clear message to dually registered investment advisers and broker-dealers about our expectations in connection with their best execution analysis," said Andrew Ceresney, Co-Director of the SEC's Division of Enforcement. "Investment advisers must carefully analyze whether their clients are obtaining the most beneficial terms reasonably available for their orders, particularly if those orders are executed through affiliated broker-dealers. We will hold accountable those advisers who fail to do so."
Marshall S. Sprung, Co-Chief of the SEC Enforcement Division's Asset Management Unit, added, "There is a clear conflict of interest when investment advisers execute client trades through their broker-dealer arm. The unit is focused on pursuing dually registered firms that fail to address this conflict through robust disclosure, best execution analysis, and compliance procedures."
ARS agreed to pay disgorgement of $757,876.88, prejudgment interest of $78,688.57, and a penalty of $175,000. The firm also must engage an independent compliance consultant. Without admitting or denying the SEC's findings, ARS consented to a censure and cease-and-desist order.
GIM agreed to pay disgorgement of $309,994, prejudgment interest of $53,799, and a penalty of $100,000. The firm must comply with certain undertakings, including the continued use of a compliance consultant and the separation of its chief compliance officer position from the firm's business function. Goelzer agreed to pay a $35,000 penalty. Without admitting or denying the SEC's findings, Goelzer and GIM also consented to censures and cease-and-desist orders.
The SEC's investigation of ARS was conducted by Michael Birnbaum, Jason Sunshine, and Lara Shalov Mehraban of the New York Regional Office. Examinations of ARS were conducted by Francine Catapano, Thomas Thanasules, and David Eidelman of the New York Regional Office's investment adviser/investment company examination program, and Stephen Debella, Kenny Sabogal, and Ronald Krietzman of the New York Regional Office's broker dealer examination program. The SEC's investigation of GIM was conducted by Jeffrey Shank and Paul Montoya of the Asset Management Unit in the Chicago Regional Office, and Max Gillman of the Chicago office's investment adviser/investment company examination program. The examination of GIM was conducted by Angie Evans, Max Gillman, Kelvin Davis, Alicia Tate, Douglas Adams, and Peter Driscoll of the Chicago office's investment adviser/investment company examination program. (Press Rel. 2013-139; IA-3637; 34-70083)
In the Matter of Bloggerwave, Inc.
An Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default as to Five Respondents (Default Order) in Bloggerwave, Inc., Admin. Proc. 3-15328. The Default Order finds that the defaulted Respondents had securities registered with the Securities and Exchange Commission (Commission) pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act), and that Respondents failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Commission. Based on these facts, the Administrative Law Judge found it necessary and appropriate for the protection of investors to revoke the registration of each class of registered securities of Bloggerwave, Inc., Cardima, Inc. (n/k/a CLI Liquidating Corporation), Innuity, Inc., Lipid Sciences, Inc., and SBS Interactive Co.
As to the other three Respondents named in the proceeding, the Commission issued Orders Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to VersaTech, Inc. (n/k/a VersaTech USA), Kaleidoscope Venture Capital, Inc., and Radix Marine, Inc., on June 7, June 11, and June 18, 2013, respectively. See Bloggerwave, Inc., Exchange Act Release Nos. 69714, 69727, and 69778. (Rel. 34-70077)
Commission Revokes Registration of Securities of Gridline Communications Holdings, Inc. (f/k/a North Shore Capital IV, Inc.) for Failure to Make Required Periodic Filings
On July 31, 2013, the Commission revoked the registration of each class of registered securities of Gridline Communications Holdings, Inc. (f/k/a North Shore Capital IV, Inc.) (Gridline Communications) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Gridline Communications consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Gridline Communications Holdings, Inc. (f/k/a North Shore Capital IV, Inc.) (Gridline Communications) finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Gridline Communications' securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Gridline Communications in In the Matter of The Great Train Store Co., et al., Administrative Proceeding File No. 3-15355.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . (Rel. 34-70078)
Commission Revokes Registrations of Securities of American Vantage Companies for Failure to Make Required Periodic Filings
On July 31, 2013, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the registration of each class of registered securities of American Vantage Companies (American Vantage) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, American Vantage consented to the entry of an Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of American Vantage's securities pursuant to Section 12(j) of the Exchange Act.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . (Rel. 34-70079)
Commission Revokes Registrations of Securities of Heartland, Inc. for Failure to Make Required Periodic Filings
On July 31, 2013, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the registration of each class of registered securities of Heartland, Inc. (Heartland) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, Heartland consented to the entry of an Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Heartland's securities pursuant to Section 12(j) of the Exchange Act.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . (Rel. 34-70080)
Commission Revokes Registrations of Securities of Commonwealth Bankshares, Inc. for Failure to Make Required Periodic Filings
On July 31, 2013, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the registration of each class of registered securities of Commonwealth Bankshares, Inc. (Commonwealth Bankshares) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, Commonwealth Bankshares consented to the entry of an Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Commonwealth Bankshares' securities pursuant to Section 12(j) of the Exchange Act.
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . (Rel. 34-70081)
In the Matter of Angelica Aguilera
An Administrative Law Judge has issued an Initial Decision in Angelica Aguilera, Admin. Proc. File No. 3-14999. The Initial Decision finds that Angelica Aguilera (Aguilera) failed reasonably to supervise Fabrizio Neves and Jose Luna within the meaning of Sections 15(b)(4)(E) and 15(b)(6) of the Securities Exchange Act of 1934, with a view to preventing and detecting their violations of the antifraud provisions of the securities laws. The Initial Decision bars Aguilera from association with a broker or dealer in a supervisory capacity and bars Aguilera from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. (Rel. ID-501)
In the Matter of ABN AMRO BANK N.V.
The Commission announced the issuance of an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against ABN AMRO Bank, N.V. (ABN).
The Order finds that since at least 2004, in violation of Section 15(a) of the Exchange Act and Section 203(a) of the Advisers Act, ABN and certain of its retail and private banking affiliates, predominantly in The Netherlands, France and Switzerland, regularly solicited, effected transactions in securities with and for, and, for compensation, provided investment advice to, persons in the United States, without being registered with the Commission as a broker-dealer or investment adviser, and without qualifying for an exception or exemption from registration. In addition, ABN violated Sections 5(a) and 5(c) of the Securities Act by engaging in transactions that were not registered in the United States and that did not qualify for an exemption from registration under the Securities Act. ABN became aware of this conduct in 2004, but failed to address it adequately, and did not voluntarily report until 2008.
Based on the above, the Order (i) orders ABN to cease and desist from committing or causing any violations and any future violations of Sections 5(a) and 5(c) of the Securities Act, Section 15(a) of the Exchange Act, and Section 203(a) of the Advisers Act; (ii) censures ABN; (iii) requires ABN to pay disgorgement of $2,943,408, along with prejudgment interest of $604,000, and a civil money penalty of $2,000,000; and (iv) orders ABN to comply with its undertakings to certify, in writing, within one year of the date of the Order, to conduct a thorough review of all Commercial and Merchant Banking investment accounts as well as all commercial investment accounts within Retail and Private Banking held at local branches of ABN to determine whether they include any U.S. Person accounts, and to continue its efforts to contact the owners of "ringfenced" accounts in order to close those accounts pursuant to local regulations. ABN consented to the issuance of the Order without admitting or denying any of the findings in the Order except ABN admitted the Commission's jurisdiction over ABN and the subject matter of the proceedings. (Rel. 33-9437).
In the Matter of Steven M. Ray
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Steven M. Ray, a resident of Frisco, Texas. The Order finds that, on June 30, 2011, an interlocutory judgment was entered by consent against Respondent, permanently enjoining him from future violations of Section 15(a)(1) of the Exchange Act, in the civil action entitled Securities and Exchange Commission v. Garry B. Smith, et al., Civil Action Number 4:10-CV-613, in the United States District Court for the Eastern District of Texas, Sherman Division. The Order further finds that the Commission's complaint in the civil action alleged that, among other things, Respondent and others engaged in securities offerings, which were not registered with the Commission as required under the law, through which Overland Energy, Inc. raised at least $10.4 million from at least 180 investors throughout the United States, in contravention of the antifraud provisions of the federal securities laws.
Based on the above, the Order bars Ray from association with any broker or dealer, 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. Ray consented to the issuance of the Order without admitting or denying any of the findings except as to the entry of the judgment, which he admitted. (Rel. 34-70088)
Commission Obtains Final Judgment against Edward O'Connor
The Commission announced today that on July 30, 2013, the Honorable George B. Daniels of the United States District Court for the Southern District of New York entered a final judgment against defendant Edward O'Connor. The final judgment permanently bars O'Connor from service as an officer or director of a public company, orders him to pay disgorgement of $550,000 and a civil penalty of $150,000, and imposes permanent injunctions against future violations of the antifraud, corporate reporting, books and records, and internal accounting controls provisions of the federal securities laws cited in the Commission's complaint.
In its Complaint, as amended, the Commission alleged that O'Connor, a former director and executive officer of publicly traded commodities brokerage firm Optionable, Inc., took part in a scheme to "u turn" pricing information from defendant David Lee, a natural gas options trader at Bank of Montreal ("BMO"), back to reviewers at BMO as if the information had been independently verified. As a result of this scheme, the Commission alleged, BMO's financial results for the fiscal year ended October 31, 2006 and for the first quarter of fiscal year 2007 were materially overstated. The Commission also alleged that O'Connor and another defendant made misrepresentations in Optionable's periodic reports about the firm's valuation services, among other things, and deceived the operator of the New York Mercantile Exchange (NYMEX) through misrepresentations, in a stock purchase agreement, about the truthfulness of Optionable's SEC filings and its compliance with law. O'Connor consented to the entry of the final judgment without admitting or denying the Commission's allegations. (Rel. LR-22766)
Commission Charges Former Officers and Investor in Houston Company in Fraudulent Penny Stock Scheme
The Commission today charged two former officers of now-defunct PGI Energy, Inc., as well as an investor in the company, for their roles in a fraudulent penny stock scheme to issue purportedly unrestricted PGI Energy shares in the public markets.
The SEC's complaint, filed in U.S. District Court for the Southern District of Texas, alleges that starting in 2011, PGI Energy's former Chief Investment Officer Robert Gandy and former CEO and Chairman Marcellous McZeal engaged in a scheme that included creating false promissory notes, signing misleading certifications, and altering the company's balance sheet to cause its transfer agent to issue millions of PGI Energy common stock shares without restrictive legends. The SEC also charged investor Alvin Ausbon for his role in the scheme, which included signing false promissory notes and diverting proceeds from the sale of PGI Energy stock back to the company and Gandy.
Gandy is also the CEO of Houston-based Pythagoras Group, which purports to be an "investment banking firm." McZeal is an attorney licensed in Texas. The complaint alleges that Gandy and McZeal made material misstatements and provided false documents to attorneys and a transfer agent who relied on them to conclude that PGI Energy shares could be issued without restrictive legends. The SEC alleges that Gandy and McZeal backdated promissory notes that purported to memorialize debt supposedly owed by PGI Energy and a prior business venture. They also are alleged to have added false debt to PGI Energy's balance sheet, and signed bogus "gift" letters and certifications of non-shell status, all in an effort to get unrestricted, free-trading PGI Energy shares unlawfully released into the market. Ausbon is charged with furthering the scheme by signing bogus promissory notes and remitting proceeds from the sale of PGI Energy shares back to the company and Gandy.
According to the complaint, the scheme collapsed in February 2012 when the SEC ordered a temporary suspension of trading in PGI Energy's securities, due to questions regarding the accuracy and adequacy of the company's representations in press releases and other public statements.
The SEC's complaint charges all defendants with violating Sections 5 and 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The complaint seeks permanent injunctions, disgorgement plus prejudgment interest, a financial penalty, and penny stock bars against all three defendants and officer and director bars against Gandy and McZeal.Without admitting or denying the allegations in the SEC's complaint, McZeal has consented to the entry of a final judgment enjoining him from future violations of Sections 5 and 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. He has also agreed to pay disgorgement plus prejudgment interest thereon of $19,919.37 and a civil penalty of $70,000. In addition, McZeal has agreed to permanent officer and director and penny stock bars. This settlement is subject to court approval. Subject to final settlement of the district court proceeding, McZeal has also agreed to the institution of a settled administrative proceeding pursuant to Rule 102(e) of the SEC's Rules of Practice, pursuant to which he would be barred from appearing before the SEC as an attorney.
The SEC's investigation was conducted by Michael Jackman, Ty Martinez, and Jonathan Scott of the Fort Worth Regional Office. The litigation will be led by Timothy McCole. The SEC appreciates the assistance of FINRA in this matter. (Rel. LR-22765)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by NYSE Arca, Inc. amending the NYSE Arca Options Fee Schedule to increase the Royalty Fees applicable to non-Customer transactions in options on the Russell 2000 Index (SR-NYSEArca-2013-76) 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 August 5, 2013. (Rel. 34-70084)
Extension of Exemptive Order
The Commission granted an extension to limited exemptions from Rule 612(c) of Regulation NMS requested by the New York Stock Exchange LLC and NYSE MKT LLC in connection with those Exchanges' Retail Liquidity Programs (SR-NYSE-2011-55; SR-NYSEAmex-2011-84). Publication is expected in the Federal Register during the week of August 5, 2013. (Rel. 34-70085)
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, As Modified By Amendment No. 1 Thereto
The Chicago Board Options Exchange, Incorporated filed Amendment No. 1 to a proposed rule change (SR-CBOE-2013-055) to list and trade a P.M.-settled Mini-SPX Index option product, and the Commission granted accelerated approval to the proposal as modified by Amendment No. 1. Publication is expected in the Federal Register during the week of August 5, 2013. (Rel. 34-70087)
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.
F-10 CANADIAN PACIFIC RAILWAY LTD/CN, 401-9TH AVENUE S.W. SUITE 500, CALGARY ALBERTA, A0, T2P 4Z4, 4033196171 - 0 ($900,169,056.00) Equity, (File 333-190229 - Jul. 30) (BR. 05A) S-8 Emerald Oil, Inc., 1600 BROADWAY, SUITE 1360, DENVER, CO, 80202, (303) 323-0008 - 6,300,000 ($45,738,000.00) Equity, (File 333-190230 - Jul. 30) (BR. 04A) S-3 Targa Resources Partners LP, 1000 LOUISIANA, SUITE 4300, HOUSTON, TX, 77002, (713)584-1000 - 0 ($800,000,000.00) Unallocated (Universal) Shelf, (File 333-190231 - Jul. 30) (BR. 02C) S-8 Acadia Healthcare Company, Inc., 725 COOL SPRINGS BOULEVARD, SUITE 600, FRANKLIN, TN, 37067, 615-732-6259 - 2,000,000 ($68,600,000.00) Equity, (File 333-190232 - Jul. 30) (BR. 01A) S-1 STERLING CONSOLIDATED Corp, 1105 GREEN GROVE ROAD, NEPTUNE, NJ, 07753, 732 918 8004 - 4,398,504 ($1,143,611.00) Equity, (File 333-190233 - Jul. 30) (BR. 06C) S-3 LIN TV CORP., ONE WEST EXCHANGE STREET, SUITE 5A, PROVIDENCE, RI, 02903, 401.454.2880 - 0 ($400,000,000.00) Unallocated (Universal) Shelf, (File 333-190234 - Jul. 30) (BR. 11A) S-8 INTEL CORP, 2200 MISSION COLLEGE BLVD, RNB-4-151, SANTA CLARA, CA, 95054, 4087658080 - 123,000,000 ($2,806,860,000.00) Equity, (File 333-190236 - Jul. 30) (BR. 10A) S-8 MFRI INC, 7720 LEHIGH AVE, NILES, IL, 60714, 8479661000 - 750,000 ($8,255,625.00) Equity, (File 333-190241 - Jul. 30) (BR. 06B) S-8 CSR PLC, CHURCHILL HOUSE, CAMBRIDGE BUSINESS PARK, COWLEY ROAD, CAMBRIDGE, X0, CB4 0WZ, 44 (0) 1223 692000 - 7,000,000 ($62,370,000.00) Other, (File 333-190242 - Jul. 30) (BR. 10A) S-3 JP MORGAN CHASE COMMERCIAL MORTGAGE SECURITIES CORP, C/O STATE STREET BANK & TRUST CO, TWO INTERNATIONAL PLACE 5TH FLOOR, BOSTON, MA, 02110, 2126483063 - 1 ($1.00) Mortgage Backed Securities, (File 333-190246 - Jul. 30) (BR. OSF) S-8 FIRST FINANCIAL BANKSHARES INC, 400 PINE STREET, P.O. BOX 701, ABILENE, TX, 79601, 325.627.7167 - 1,500,000 ($93,202,500.00) Equity, (File 333-190247 - Jul. 30) (BR. 07B) S-3ASR EQUITY RESIDENTIAL, EQUITY RESIDENTIAL, TWO NORTH RIVERSIDE PLAZA, SUITE 400, CHICAGO, IL, 60606, 3129281178 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-190248 - Jul. 30) (BR. 08B) S-B CIRCOR INTERNATIONAL INC, C/O CIRCOR INC, 25 CORPORATE DR., SUITE 130, BURLINGTON, MA, 01803-4238, 7812701200 - 200,000 ($10,732,000.00) Equity, (File 333-190249 - Jul. 30) (BR. 06C) S-8 INTEVAC INC, 356O BASSETT ST, SANTA CLARA, CA, 95054, 4089869888 - 500,000 ($2,635,000.00) Equity, (File 333-190250 - Jul. 30) (BR. 10A) S-8 GOODYEAR TIRE & RUBBER CO /OH/, 1144 E MARKET ST, AKRON, OH, 44316, 2167962121 - 0 ($183,535,000.00) Equity, (File 333-190252 - Jul. 30) (BR. 06A) S-8 CABELAS INC, ONE CABELA DRIVE, SIDNEY, NE, 69160, 308-254-5505 - 0 ($268,247,194.92) Equity, (File 333-190253 - Jul. 30) (BR. 02C) S-8 Expedia, Inc., 333 108TH AVENUE NE, BELLEVUE, WA, 98004, (425) 679-7200 - 0 ($293,985,000.00) Equity, (File 333-190254 - Jul. 30) (BR. 05B) S-1 CATACA RESOURCES, INC., 782 AYALA AVENUE, MAKATI CITY, R6, 2130, (63) 917-234-0098 - 15,000,000 ($30,000.00) Equity, (File 333-190255 - Jul. 30) (BR.) S-3ASR HOSPIRA INC, 275 FIELD DR, LAKE FOREST, IL, 60045, 8479376472 - 0 ($0.00) Debt, (File 333-190256 - Jul. 30) (BR. 01A) S-8 MONEYGRAM INTERNATIONAL INC, 2828 N. HARWOOD STREET, 15TH FLOOR, DALLAS, TX, 75201, 2149997640 - 0 ($123,540,000.00) Equity, (File 333-190257 - Jul. 30) (BR. 03A) S-1 Norwegian Cruise Line Holdings Ltd., 7665 CORPORATE DRIVE, MIAMI, FL, 33126, 305-436-4000 - 0 ($704,950,000.00) Equity, (File 333-190258 - Jul. 30) (BR. 05B)
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 3D SYSTEMS CORP DE 2.02,7.01,9.01 06/30/13 Acadia Healthcare Company, Inc. DE 2.02,9.01 07/30/13 ACTIVE POWER INC DE 2.02,9.01 07/30/13 ADDVANTAGE TECHNOLOGIES GROUP INC OK 2.02,7.01,9.01 07/30/13 AEGEA, INC. NV 2.01,3.02,4.01, 07/22/13 AMEND 5.01,5.02,5.03,9.01 Aegerion Pharmaceuticals, Inc. DE 2.02,9.01 07/30/13 AETNA INC /PA/ PA 2.02,9.01 07/30/13 AFFILIATED MANAGERS GROUP INC DE 2.02,8.01,9.01 07/30/13 AFFINITY MEDIAWORKS CORP 5.02,9.01 07/29/13 AFLAC INC GA 2.02,9.01 07/30/13 AGILYSYS INC OH 2.02,7.01,9.01 07/25/13 AGIOS PHARMACEUTICALS INC DE 3.02,5.03,9.01 07/29/13 ALEXANDRIA REAL ESTATE EQUITIES INC MD 1.01,2.02,2.03,9.01 07/26/13 Alexza Pharmaceuticals Inc. DE 8.01,9.01 07/30/13 ALIGN TECHNOLOGY INC DE 5.02,9.01 07/25/13 ALLIANCE DATA SYSTEMS CORP DE 2.02,7.01,9.01 07/30/13 Alliqua, Inc. FL 2.02,9.01 07/30/13 American Assets Trust, Inc. MD 2.02,7.01,9.01 07/30/13 American Capital Mortgage Investment MD 2.02,9.01 07/30/13 AMERICAN CAPITAL, LTD 2.02,9.01 07/30/13 AMERICAN FINANCIAL GROUP INC OH 2.02,9.01 07/29/13 AMERICAN FIRST FINANCIAL INC 5.01,5.02,9.01 05/30/13 AMERICAN NATIONAL BANKSHARES INC VA 8.01,9.01 07/30/13 AMERICAN NATIONAL INSURANCE CO /TX/ TX 5.02 07/25/13 American Realty Capital Global Trust, 1.01,2.01,2.03,9.01 07/25/13 AMERICAN SAFETY INSURANCE HOLDINGS LT 8.01,9.01 07/30/13 Ameris Bancorp GA 7.01,9.01 07/30/13 AMGEN INC DE 2.02,9.01 07/30/13 AMPCO PITTSBURGH CORP PA 2.02,9.01 07/30/13 Anacor Pharmaceuticals, Inc. DE 8.01,9.01 07/26/13 ANADIGICS INC DE 2.02,9.01 07/30/13 Ancestry.com LLC DE 2.02,9.01 07/30/13 Anchor Bancorp WA 2.02,9.01 07/30/13 Anthera Pharmaceuticals Inc DE 2.02,9.01 07/30/13 APPLE INC CA 5.02 07/25/13 APPLIED MICRO CIRCUITS CORP DE 2.02,9.01 07/24/13 ARCA biopharma, Inc. DE 5.02,5.08,9.01 07/26/13 ARCH COAL INC DE 2.02,9.01 07/30/13 Ares Commercial Real Estate Corp MD 1.01,2.03,7.01,9.01 07/26/13 ARKANSAS BEST CORP /DE/ DE 7.01,9.01 07/30/13 Arlington Asset Investment Corp. VA 2.02,9.01 07/29/13 Arlington Asset Investment Corp. VA 7.01,9.01 07/30/13 ARQULE INC DE 2.02,2.05,9.01 07/24/13 Ascent Capital Group, Inc. DE 7.01,9.01 07/25/13 Atkore International Holdings Inc. DE 2.02 07/26/13 Atlantic Coast Financial CORP MD 2.02,9.01 07/30/13 Augme Technologies, Inc. DE 5.02,5.07,8.01,9.01 07/24/13 Avantair, Inc DE 1.03,5.02 07/25/13 AVIS BUDGET GROUP, INC. DE 5.02,7.01,9.01 07/30/13 AXIS CAPITAL HOLDINGS LTD 2.02,9.01 07/30/13 BANC OF CALIFORNIA, INC. MD 1.01,9.01 07/24/13 BANC OF CALIFORNIA, INC. MD 7.01,9.01 07/30/13 BANCFIRST CORP /OK/ OK 5.02 07/25/13 Bank of the Carolinas CORP NC 2.02,9.01 07/26/13 BANNER CORP WA 7.01,9.01 07/30/13 BAR HARBOR BANKSHARES ME 1.01 07/29/13 BAR HARBOR BANKSHARES ME 2.02 07/30/13 Behringer Harvard Opportunity REIT I, MD 7.01,9.01 07/30/13 Beneficial Mutual Bancorp Inc X1 7.01,9.01 07/30/13 BERKSHIRE HILLS BANCORP INC DE 7.01,9.01 07/30/13 BIG 5 SPORTING GOODS CORP DE 2.02,9.01 07/30/13 BIOCRYST PHARMACEUTICALS INC DE 8.01,9.01 07/30/13 BIOMARIN PHARMACEUTICAL INC DE 5.02,9.01 07/29/13 Bitzio, Inc. NV 1.01,5.02,9.01 07/30/13 BJs RESTAURANTS INC CA 8.01,9.01 07/30/13 BLACK BOX CORP DE 2.02,9.01 07/30/13 BLACKSTONE MORTGAGE TRUST, INC. MD 2.02,9.01 07/30/13 BofI Holding, Inc. DE 7.01,9.01 07/30/13 BOK FINANCIAL CORP ET AL OK 5.02,9.01 07/30/13 BOYD GAMING CORP NV 2.02,9.01 07/30/13 Bravo Brio Restaurant Group, Inc. OH 2.02,9.01 07/30/13 Bridge Capital Holdings CA 2.02,9.01 07/30/13 BROCADE COMMUNICATIONS SYSTEMS INC DE 5.02 07/26/13 BROWN FORMAN CORP DE 5.02,9.01 07/24/13 BTU INTERNATIONAL INC DE 2.02,9.01 07/30/13 BUFFALO WILD WINGS INC MN 2.02,9.01 07/30/13 CABOT MICROELECTRONICS CORP DE 2.02,9.01 07/30/13 CACHE INC FL 1.01,2.03,9.01 07/25/13 CAESARS ENTERTAINMENT Corp DE 2.02,9.01 07/30/13 AMEND CAFEPRESS INC. DE 2.02,9.01 07/30/13 CAI International, Inc. 2.02,9.01 07/30/13 CALIX, INC 1.01,2.02,2.03,9.01 07/30/13 CAMCO FINANCIAL CORP DE 5.07 05/21/13 AMEND CAMDEN NATIONAL CORP ME 2.02,9.01 07/30/13 Capital Bank Financial Corp. DE 5.07 05/22/13 AMEND Carbonite Inc DE 2.02,9.01 07/30/13 CardioNet, Inc. CA 2.02,9.01 07/30/13 Carey Watermark Investors Inc 8.01 07/30/13 CAROLINA BANK HOLDINGS INC NC 2.02,9.01 07/29/13 CASTLE A M & CO MD 1.03,2.02,7.01,9.01 07/30/13 CC Media Holdings Inc 5.02,9.01 07/29/13 CCFNB BANCORP INC PA 2.02,9.01 07/30/13 CECIL BANCORP INC MD 5.02,9.01 07/24/13 CELADON GROUP INC DE 2.02,9.01 07/29/13 CEMPRA, INC. DE 2.02,9.01 07/30/13 Centaur Guernsey L.P. Inc. 1.01,7.01,8.01,9.01 07/29/13 CenterState Banks, Inc. FL 1.01,7.01,9.01 07/29/13 CENTURY ALUMINUM CO DE 2.02,9.01 07/30/13 CERUS CORP DE 2.02,9.01 07/30/13 CFS BANCORP INC IN 2.02,9.01 07/30/13 CHART INDUSTRIES INC DE 2.02,7.01,9.01 07/30/13 Chemtura CORP DE 2.02,9.01 07/30/13 CHENIERE ENERGY INC DE 5.02,9.01 07/24/13 CHICAGO BRIDGE & IRON CO N V P7 2.02,9.01 07/30/13 Chrysler Group LLC DE 2.02,9.01 07/30/13 CIBER INC DE 2.02,2.05,9.01 07/30/13 CITIGROUP INC DE 9.01 07/30/13 Clear Channel Capital I, LLC DE 5.02,9.01 07/29/13 CLEAR CHANNEL COMMUNICATIONS INC TX 5.02,9.01 07/29/13 Clear Channel Outdoor Holdings, Inc. DE 5.02,9.01 07/29/13 CLOROX CO /DE/ DE 5.02 07/24/13 CLOUD PEAK ENERGY INC. DE 2.02,9.01 07/30/13 COACH INC MD 2.02,5.02,9.01 07/29/13 Cobalt International Energy, Inc. 2.02,9.01 07/30/13 COHERENT INC DE 2.02,9.01 07/30/13 Colonial Financial Services, Inc. 5.02 07/26/13 COMMUNITY HEALTH SYSTEMS INC DE 1.01,7.01,8.01,9.01 07/29/13 COMMVAULT SYSTEMS INC DE 2.02,9.01 07/30/13 CONMED CORP NY 5.02,9.01 07/30/13 ConnectOne Bancorp, Inc. NJ 8.01,9.01 07/30/13 CONVERGYS CORP OH 2.02,9.01 07/30/13 Cooper-Standard Holdings Inc. DE 5.02 07/29/13 CorMedix Inc. DE 5.02,5.07 07/30/13 Cornerstone Core Properties REIT, Inc MD 2.01 07/26/13 CORNING INC /NY NY 2.02,9.01 07/30/13 CORVEL CORP DE 2.02,9.01 07/30/13 COUSINS PROPERTIES INC GA 1.01,9.01 07/29/13 AMEND COVANCE INC DE 2.02,9.01 07/30/13 CREDIT ACCEPTANCE CORP MI 2.02,9.01 07/30/13 CSS INDUSTRIES INC DE 2.02,9.01 07/30/13 CTC Media, Inc. 5.02,9.01 07/30/13 CU Bancorp CA 2.02,9.01 07/30/13 CUBIST PHARMACEUTICALS INC DE 8.01,9.01 07/30/13 CUI Global, Inc. CO 1.01,8.01 04/30/13 CUMMINS INC IN 2.02,9.01 07/30/13 CUMULUS MEDIA INC DE 2.02,9.01 07/30/13 CVB FINANCIAL CORP CA 7.01,8.01,9.01 07/30/13 DAKOTA TERRITORY RESOURCE CORP NV 5.02,9.01 07/29/13 DANA HOLDING CORP DE 1.01,8.01,9.01 07/28/13 DATA I/O CORP WA 2.02,9.01 07/30/13 DAWSON GEOPHYSICAL CO TX 7.01,9.01 07/30/13 DEGARO INNOVATIONS CORP. NV 5.03,7.01,8.01,9.01 07/30/13 Desert Hawk Gold Corp. NV 1.01,2.03,8.01 07/24/13 Diamond Resorts International, Inc. DE 2.01,8.01,9.01 07/24/13 DIGITAL RIVER INC /DE DE 2.02,9.01 07/30/13 DineEquity, Inc DE 2.02,9.01 07/30/13 Discovery Communications, Inc. DE 2.02,9.01 07/30/13 Dorman Products, Inc. PA 2.02,9.01 07/30/13 DXP ENTERPRISES INC TX 5.02,9.01 07/30/13 DYAX CORP DE 7.01 07/25/13 DYNAMIC MATERIALS CORP DE 2.02,9.01 07/30/13 EASTERN VIRGINIA BANKSHARES INC VA 2.02,9.01 07/30/13 ECO VENTURES GROUP, INC. NV 4.02 07/24/13 ECOLAB INC DE 2.02,9.01 07/30/13 ENBRIDGE ENERGY PARTNERS LP DE 2.02,9.01 07/29/13 ENDOLOGIX INC /DE/ DE 2.02,9.01 07/30/13 Ensco plc 2.02,9.01 07/30/13 Enservco Corp DE 1.04,5.02,5.07 07/25/13 ENTERGY CORP /DE/ DE 2.02,7.01,9.01 07/30/13 ENTERPRISE BANCORP INC /MA/ MA 7.01,9.01 07/30/13 EPIQ SYSTEMS INC MO 2.02,9.01 07/30/13 EverBank Financial Corp DE 2.02,7.01,9.01 07/30/13 ExamWorks Group, Inc. DE 2.02,9.01 07/30/13 EXELON CORP PA 8.01 07/29/13 ExlService Holdings, Inc. DE 2.02,9.01 07/30/13 EXPLORE ANYWHERE HOLDING CORP NV 1.01,9.01 07/25/13 EXTREME NETWORKS INC DE 5.02,9.01 07/29/13 EXTREME NETWORKS INC DE 2.02,9.01 07/30/13 EZCORP INC DE 2.02,9.01 07/30/13 FAIR ISAAC CORP DE 2.02,9.01 07/30/13 FAL EXPLORATION CORP. NV 5.03,8.01,9.01 07/09/13 FARO TECHNOLOGIES INC FL 2.02,9.01 07/30/13 Federal Home Loan Bank of Atlanta X1 2.03 07/24/13 Federal Home Loan Bank of Boston X1 2.03 07/24/13 Federal Home Loan Bank of Chicago X1 2.03 07/25/13 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 07/24/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 07/26/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 07/30/13 Federal Home Loan Bank of New York X1 2.03,9.01 07/24/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/24/13 Federal Home Loan Bank of San Francis X1 2.02,7.01,9.01 07/29/13 Federal Home Loan Bank of San Francis X1 2.03 07/24/13 Federal Home Loan Bank of Topeka 2.03,9.01 07/26/13 Fidelity National Information Service 2.02,9.01 07/30/13 FIFTH THIRD BANCORP OH 5.02,9.01 06/06/13 AMEND FINANCIAL INSTITUTIONS INC NY 7.01,9.01 07/26/13 FIRST BANCORP /PR/ PR 2.02,7.01,9.01 07/30/13 FIRST COMMUNITY BANCSHARES INC /NV/ NV 7.01,9.01 07/30/13 FIRST DATA CORP DE 2.02,9.01 07/30/13 FIRST DEFIANCE FINANCIAL CORP OH 7.01 07/30/13 FIRST FINANCIAL HOLDINGS, INC. SC 8.01,9.01 07/30/13 FIRST INTERSTATE BANCSYSTEM INC MT 8.01,9.01 07/29/13 FIRST MERCHANTS CORP IN 7.01,9.01 07/30/13 FISERV INC WI 2.02,9.01 07/30/13 FMC CORP DE 8.01,9.01 07/30/13 Ford Credit Auto Owner Trust 2013-C 1.01,9.01 07/30/13 Ford Credit Auto Owner Trust 2013-C 8.01,9.01 07/30/13 FORTINET INC 2.02,9.01 07/30/13 FRANKLIN ELECTRIC CO INC IN 2.02,9.01 07/30/13 FRANKLIN STREET PROPERTIES CORP /MA/ 2.02,9.01 06/30/13 FRESH DEL MONTE PRODUCE INC E9 2.02,9.01 07/30/13 FROZEN FOOD EXPRESS INDUSTRIES INC TX 2.02,9.01 07/30/13 FuLuCai Productions Ltd. NV 8.01,9.01 07/29/13 Galaxy Gaming, Inc. 8.01 07/25/13 GALLAGHER ARTHUR J & CO DE 2.02,9.01 07/30/13 GelTech Solutions, Inc. DE 5.02 07/25/13 GENERAC HOLDINGS INC. DE 2.02,9.01 07/30/13 GENERAL CABLE CORP /DE/ DE 5.02,9.01 07/30/13 GENERAL COMMUNICATION INC AK 5.02,9.01 07/29/13 GENVEC INC DE 1.02 07/29/13 GENWORTH FINANCIAL INC DE 2.02,9.01 07/30/13 GLADSTONE COMMERCIAL CORP MD 2.02,9.01 07/30/13 GMX RESOURCES INC OK 7.01,9.01 07/25/13 GOLDEN STAR RESOURCES LTD 7.01,9.01 07/29/13 Goliath Film & Media Holdings 4.01,9.01 07/29/13 AMEND GOOD SAM ENTERPRISES, LLC DE 8.01 07/29/13 GOODYEAR TIRE & RUBBER CO /OH/ OH 2.02,9.01 07/30/13 GRAFTECH INTERNATIONAL LTD DE 2.02,9.01 07/30/13 Grand Canyon Education, Inc. DE 2.02,9.01 07/30/13 GREEN DOT CORP DE 2.02,9.01 07/30/13 Green Plains Renewable Energy, Inc. IA 2.02,9.01 07/30/13 HALLMARK FINANCIAL SERVICES INC NV 1.01,9.01 07/29/13 Hanesbrands Inc. MD 2.02,7.01,9.01 07/30/13 HARRIS CORP /DE/ DE 2.02,7.01,9.01 07/30/13 HAWAIIAN ELECTRIC INDUSTRIES INC HI 7.01,9.01 07/30/13 HCC INSURANCE HOLDINGS INC/DE/ DE 2.02,9.01 07/30/13 HCP, INC. MD 2.02,9.01 07/30/13 HEADWATERS INC DE 2.02,9.01 07/30/13 HEALTH MANAGEMENT ASSOCIATES, INC DE 2.02,9.01 07/30/13 HEALTH MANAGEMENT ASSOCIATES, INC DE 1.01,3.03,8.01,9.01 07/29/13 HEALTHCARE REALTY TRUST INC MD 2.02,7.01,9.01 07/30/13 HEIDRICK & STRUGGLES INTERNATIONAL IN DE 2.02,9.01 07/30/13 HERTZ CORP DE 2.02,9.01 07/29/13 HERTZ GLOBAL HOLDINGS INC 2.02,9.01 07/29/13 HFF, Inc. DE 2.02,9.01 07/30/13 HINTO ENERGY, INC WY 7.01,9.01 07/30/13 HOLLY ENERGY PARTNERS LP 2.02,9.01 07/30/13 HORIZON BANCORP /IN/ IN 7.01,9.01 07/30/13 HUDSON TECHNOLOGIES INC /NY NY 2.02,9.01 07/30/13 Huron Consulting Group Inc. DE 2.02,9.01 07/30/13 IAC/INTERACTIVECORP DE 2.02,7.01 07/30/13 ICEWEB INC DE 7.01 07/30/13 iGambit, Inc. DE 5.02 07/29/13 Ignite Restaurant Group, Inc. 2.02,9.01 07/30/13 IMAX CORP A6 5.02 07/24/13 iMedicor NV 3.02,5.02 07/30/13 Independent Bank Group, Inc. TX 2.02,9.01 07/30/13 INNSUITES HOSPITALITY TRUST OH 5.07 07/25/13 InspireMD, Inc. DE 8.01,9.01 07/29/13 INTERFACE INC GA 5.02 07/25/13 INTERSIL CORP/DE DE 2.02,7.01,9.01 07/30/13 InvenSense Inc DE 2.02,9.01 06/30/13 INVIVO THERAPEUTICS HOLDINGS CORP. NV 7.01 07/30/13 IPG PHOTONICS CORP DE 2.02,9.01 07/30/13 ISABELLA BANK CORP MI 2.02,9.01 07/26/13 ITERIS, INC. DE 2.02,9.01 07/30/13 IXIA CA 2.02,9.01 07/30/13 IZEA, Inc. NV 1.01,2.03,9.01 07/25/13 JACOBS ENGINEERING GROUP INC /DE/ DE 2.02,9.01 07/29/13 JAMMIN JAVA CORP. 1.01,3.02,9.01 07/26/13 JETBLUE AIRWAYS CORP DE 2.02,9.01 07/30/13 JETBLUE AIRWAYS CORP DE 7.01,9.01 07/30/13 Jive Software, Inc. DE 2.02,5.02,9.01 07/30/13 Jones Energy, Inc. DE 1.01,2.01,3.02, 07/26/13 5.02,5.03,9.01 KADANT INC DE 2.02,9.01 07/29/13 KADANT INC DE 7.01,9.01 07/30/13 KEYNOTE SYSTEMS INC DE 2.02,9.01 07/30/13 KFORCE INC FL 2.02,9.01 07/30/13 KILROY REALTY CORP MD 2.02,7.01,9.01 07/29/13 KIMCO REALTY CORP MD 2.02 07/30/13 Kior Inc DE 3.02,9.01 07/26/13 Koffee Korner Inc. DE 5.01,5.02 07/30/13 KULICKE & SOFFA INDUSTRIES INC PA 2.02,9.01 07/30/13 LACLEDE GROUP INC MO 2.02,7.01,9.01 07/30/13 LACLEDE GROUP INC MO 2.02,7.01,9.01 07/30/13 AMEND LANDMARK BANCORP INC DE 2.02,8.01,9.01 07/30/13 LCA VISION INC DE 2.02,9.01 07/30/13 LEHMAN BROTHERS HOLDINGS INC. PLAN TR 7.01,9.01 07/23/13 LEMAITRE VASCULAR INC 2.02,9.01 07/30/13 LEXICON PHARMACEUTICALS, INC./DE DE 2.02,9.01 07/30/13 LIBBEY INC DE 2.02,9.01 07/30/13 Liberty Global plc X0 7.01 07/29/13 Liberty Global plc X0 2.02,7.01 07/30/13 LIN TV CORP. DE 2.02,9.01 07/30/13 LOCAL Corp DE 5.02 07/26/13 M/A-COM Technology Solutions Holdings DE 2.02,9.01 07/30/13 MAD CATZ INTERACTIVE INC Z4 8.01,9.01 07/29/13 MAGELLAN HEALTH SERVICES INC DE 8.01 07/25/13 MAGNACHIP SEMICONDUCTOR Corp DE 2.02,8.01,9.01 07/30/13 MAKO Surgical Corp. DE 2.02,9.01 07/30/13 MARCHEX INC DE 1.01 07/26/13 Marketo, Inc. DE 2.02,9.01 07/30/13 MARLIN BUSINESS SERVICES CORP 2.02,5.08,8.01,9.01 07/30/13 MARTHA STEWART LIVING OMNIMEDIA INC DE 2.02,9.01 07/30/13 MARTIN MARIETTA MATERIALS INC NC 2.02,7.01,9.01 07/30/13 MATTEL INC /DE/ DE 8.01 07/29/13 MCG CAPITAL CORP DE 2.02,9.01 07/30/13 MDC HOLDINGS INC DE 2.02,9.01 07/30/13 MEADWESTVACO Corp DE 2.02,9.01 07/30/13 MEADWESTVACO Corp DE 5.02,9.01 07/24/13 MEDICINOVA INC DE 5.02 07/24/13 MEDNAX, INC. FL 2.02,8.01,9.01 07/30/13 Merck & Co. Inc. NJ 2.02,9.01 07/30/13 MERU NETWORKS INC DE 2.02,5.02,9.01 07/29/13 MICHAEL BAKER CORP PA 1.01,9.01 07/29/13 Midway Gold Corp A1 1.02,4.02,7.01 07/30/13 MINDSPEED TECHNOLOGIES, INC DE 2.02,9.01 07/30/13 MITCHAM INDUSTRIES INC TX 5.07 07/25/13 MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 07/30/13 MONITRONICS INTERNATIONAL INC TX 7.01,9.01 07/25/13 MRI INTERVENTIONS, INC. DE 1.01 07/28/13 Mueller Water Products, Inc. DE 2.02,9.01 07/30/13 MULTIMEDIA GAMES HOLDING COMPANY, INC TX 2.02,9.01 07/30/13 NANOMETRICS INC DE 2.02,9.01 07/30/13 NATIONAL OILWELL VARCO INC DE 2.02,9.01 07/30/13 NAVIGANT CONSULTING INC DE 2.02,9.01 07/30/13 NCR CORP MD 2.02,7.01,9.01 07/30/13 NEUSTAR INC 2.02,7.01,9.01 07/30/13 NEWMARKET CORP VA 2.02,9.01 07/30/13 NEXTERA ENERGY INC FL 2.02,9.01 07/30/13 Nielsen Holdings N.V. P7 2.02,8.01,9.01 07/30/13 NISSAN AUTO RECEIVABLES CORP II DE 1.01,9.01 07/30/13 NORTH VALLEY BANCORP CA 2.02,9.01 07/30/13 NORTHWESTERN CORP DE 7.01,9.01 07/30/13 NovaCopper Inc. A1 7.01,9.01 07/30/13 NTELOS HOLDINGS CORP 2.02,9.01 07/30/13 NUVASIVE INC DE 2.02,9.01 07/30/13 NYSE Euronext DE 2.02,9.01 07/30/13 OCCIDENTAL PETROLEUM CORP /DE/ DE 2.02,8.01,9.01 07/30/13 Ocean Shore Holding Co. 2.02,8.01,9.01 07/30/13 ODYSSEY MARINE EXPLORATION INC NV 1.01,2.03,5.02, 07/24/13 8.01,9.01 OFFICE DEPOT INC DE 2.02,8.01,9.01 07/30/13 OFFICE DEPOT INC DE 7.01,9.01 07/30/13 Onconova Therapeutics, Inc. DE 5.02,5.03,8.01,9.01 07/25/13 OneBeacon Insurance Group, Ltd. 2.02,9.01 07/30/13 OneBeacon Insurance Group, Ltd. 2.02,9.01 07/30/13 OP TECH ENVIRONMENTAL SERVICES INC DE 2.01,3.01,3.03, 07/30/13 5.01,5.02,5.03,9.01 OPTIMER PHARMACEUTICALS INC 2.02,8.01,9.01 07/30/13 OPTIMER PHARMACEUTICALS INC 8.01,9.01 07/30/13 Orient Paper Inc. NV 2.02,9.01 07/30/13 ORTHOFIX INTERNATIONAL N V 8.01,9.01 07/29/13 OSHKOSH CORP WI 2.02,9.01 07/30/13 OURPETS CO CO 2.02,9.01 07/26/13 OvaScience, Inc. DE 8.01,9.01 07/30/13 OWENS & MINOR INC/VA/ VA 2.02,5.02,9.01 07/29/13 Oxford Resource Partners LP 7.01,9.01 07/30/13 PACIFIC PREMIER BANCORP INC DE 7.01,9.01 07/30/13 PARK NATIONAL CORP /OH/ OH 7.01,9.01 07/30/13 PARTNERRE LTD 2.02,8.01,9.01 07/29/13 PCS EDVENTURES COM INC ID 5.02 07/26/13 PENN VIRGINIA CORP VA 5.02,5.03,5.05,9.01 07/25/13 People's United Financial, Inc. DE 7.01,9.01 07/30/13 PEPSICO INC NC 8.01,9.01 07/25/13 PFIZER INC DE 2.02,9.01 07/30/13 PHILLIPS 66 PARTNERS LP DE 1.01,2.01,3.02,9.01 07/26/13 PINNACLE ENTERTAINMENT INC. DE 7.01,8.01,9.01 07/30/13 PIONEER ENERGY SERVICES CORP TX 2.02,9.01 07/29/13 PITNEY BOWES INC /DE/ DE 2.02,9.01 07/30/13 PLAINS ALL AMERICAN PIPELINE LP DE 7.01 07/29/13 POLARIS INDUSTRIES INC/MN MN 7.01,9.01 07/30/13 POLYONE CORP 2.02,9.01 07/30/13 Porter Bancorp, Inc. KY 2.02,9.01 07/30/13 PORTFOLIO RECOVERY ASSOCIATES INC DE 2.02,9.01 07/30/13 POST PROPERTIES INC GA 2.02,9.01 07/29/13 PostRock Energy Corp DE 8.01 07/26/13 POWER INTEGRATIONS INC CA 2.02,9.01 07/30/13 PRGX GLOBAL, INC. GA 2.02,9.01 07/29/13 PROVIDENT FINANCIAL HOLDINGS INC DE 2.02,7.01,9.01 07/30/13 PS BUSINESS PARKS INC/CA CA 2.02,9.01 07/29/13 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 2.02,7.01,9.01 07/30/13 QC Holdings, Inc. KS 3.01 07/24/13 QUESTAR CORP UT 1.01,9.01 07/29/13 QUIDEL CORP /DE/ DE 2.02,9.01 07/30/13 QUINSTREET, INC DE 2.02,9.01 07/30/13 RADISYS CORP OR 1.01,2.02,2.03 07/30/13 Radius Health, Inc. DE 1.01,9.01 07/24/13 RAND CAPITAL CORP NY 9.01 07/30/13 RBC LIFE SCIENCES, INC. DE 5.02 07/30/13 RENAISSANCERE HOLDINGS LTD D0 2.02,9.01 07/30/13 Renewable Energy Group, Inc. DE 2.02,9.01 07/30/13 RESPONSE BIOMEDICAL CORP A1 5.02,9.01 07/26/13 Retrophin, Inc. OK 5.02,9.01 06/30/13 Riverbed Technology, Inc. DE 2.02,9.01 07/30/13 RMG Networks Holding Corp DE 1.01,8.01,9.01 07/30/13 ROCHESTER MEDICAL CORPORATION MN 2.02,9.01 07/30/13 Rockville Financial, Inc. /CT/ CT 7.01,9.01 07/30/13 ROCKWELL AUTOMATION INC DE 2.02,9.01 07/30/13 ROGERS CORP MA 2.02,7.01,9.01 07/30/13 ROYAL BANCSHARES OF PENNSYLVANIA INC PA 8.01 07/17/13 RPX Corp DE 2.02,9.01 07/30/13 RTI INTERNATIONAL METALS INC OH 2.02,9.01 07/30/13 S&T BANCORP INC PA 7.01,9.01 07/30/13 Saker Aviation Services, Inc. NV 8.01,9.01 07/29/13 Santander Holdings USA, Inc. VA 2.02,9.01 07/30/13 SANUWAVE Health, Inc. NV 8.01,9.01 07/25/13 SAUL CENTERS INC MD 2.02,9.01 07/30/13 SEACOR HOLDINGS INC /NEW/ DE 2.02,8.01,9.01 07/25/13 SENIOR HOUSING PROPERTIES TRUST MD 2.02,9.01 07/30/13 Shengtai Pharmaceutical, Inc. 8.01 07/24/13 SILICON IMAGE INC DE 2.02,9.01 07/30/13 Silver Falcon Mining, Inc. DE 8.01 07/30/13 Silver Falcon Mining, Inc. DE 8.01 07/30/13 SOHU COM INC DE 2.02,9.01 07/29/13 Southeastern Bank Financial CORP GA 2.02,9.01 07/26/13 SOUTHERN CO DE 2.02,7.01 07/29/13 SPARTAN STORES INC MI 5.07,7.01,9.01 07/30/13 SPRINT Corp KS 2.02,7.01,9.01 07/30/13 SPRINT Corp KS 5.02 07/30/13 SPRINT Corp KS 5.02 07/30/13 AMEND State Auto Financial CORP OH 1.01,1.02,2.03,9.01 07/26/13 STATE BANK FINANCIAL CORP GA 7.01,9.01 07/30/13 Stellus Capital Investment Corp MD 1.01,2.03,5.07,9.01 07/29/13 STERLING FINANCIAL CORP /WA/ WA 7.01,9.01 07/30/13 STILLWATER MINING CO /DE/ DE 1.04 07/24/13 STONE ENERGY CORP DE 5.02 07/25/13 STURM RUGER & CO INC DE 8.01,9.01 07/30/13 SUN BANCORP INC /NJ/ NJ 7.01,9.01 07/30/13 SUPERIOR ENERGY SERVICES INC DE 2.02,9.01 07/29/13 SUSSEX BANCORP NJ 2.02,9.01 07/29/13 SVB FINANCIAL GROUP 7.01,9.01 07/30/13 SYMANTEC CORP DE 2.02,9.01 07/30/13 SYNCHRONOSS TECHNOLOGIES INC 2.02,9.01 07/30/13 TAKE TWO INTERACTIVE SOFTWARE INC DE 2.02,9.01 07/30/13 TANGER FACTORY OUTLET CENTERS INC NC 2.02,7.01,9.01 07/30/13 TEAM HEALTH HOLDINGS INC. DE 2.02,9.01 07/30/13 TearLab Corp DE 8.01,9.01 07/30/13 TEJON RANCH CO DE 5.02,9.01 07/25/13 TEREX CORP DE 2.02,9.01 07/25/13 TESSCO TECHNOLOGIES INC DE 5.02,5.07,9.01 07/24/13 Texas Gulf Energy Inc NV 5.02 07/23/13 TEXAS PACIFIC LAND TRUST 2.02,9.01 07/30/13 TFS Financial CORP DE 2.02,9.01 07/30/13 THERAVANCE INC DE 1.01,3.02,9.01 07/30/13 TIDELANDS BANCSHARES INC 2.02,9.01 07/30/13 TILE SHOP HOLDINGS, INC. DE 2.02,9.01 07/30/13 TOR MINERALS INTERNATIONAL INC DE 2.02,9.01 07/25/13 TOYOTA MOTOR CREDIT CORP CA 8.01 07/29/13 Trident Brands Inc NV 5.03,7.01,9.01 07/30/13 TRIMBLE NAVIGATION LTD /CA/ CA 2.02,9.01 07/30/13 Truli Media Group, Inc. 1.01,2.03,9.01 07/29/13 TRW AUTOMOTIVE HOLDINGS CORP DE 2.02,9.01 07/30/13 TWIN DISC INC WI 2.02,7.01,9.01 07/30/13 UDR, Inc. MD 2.02,9.01 07/30/13 UNION FIRST MARKET BANKSHARES CORP VA 7.01,9.01 07/30/13 UNITED ONLINE INC DE 5.02,9.01 07/29/13 UNITED SECURITY BANCSHARES INC DE 2.02,9.01 07/30/13 United States 12 Month Natural Gas Fu 7.01,9.01 07/30/13 United States 12 Month Oil Fund, LP 7.01,9.01 07/30/13 United States Brent Oil Fund, LP DE 7.01,9.01 07/30/13 United States Commodity Index Funds T DE 7.01,9.01 07/30/13 United States Diesel-Heating Oil Fund DE 7.01,9.01 07/30/13 United States Gasoline Fund, LP DE 7.01,9.01 07/30/13 United States Natural Gas Fund, LP 7.01,9.01 07/30/13 United States Oil Fund, LP DE 7.01,9.01 07/30/13 United States Short Oil Fund, LP DE 7.01,9.01 07/30/13 UNITED STATES STEEL CORP DE 2.02,9.01 07/29/13 UNS Energy Corp AZ 2.02,9.01 07/30/13 Vanda Pharmaceuticals Inc. DE 8.01,9.01 07/29/13 VANTAGESOUTH BANCSHARES, INC. 2.02,9.01 07/30/13 VAPOR CORP. NV 2.02,9.01 07/30/13 VASCO DATA SECURITY INTERNATIONAL INC DE 8.01,9.01 06/19/13 AMEND Verisk Analytics, Inc. DE 2.02,9.01 07/30/13 VIDEO DISPLAY CORP GA 1.01 07/26/13 VIEWCAST COM INC DE 7.01,9.01 07/30/13 VIRTUS INVESTMENT PARTNERS, INC. DE 2.02,9.01 07/30/13 VISHAY INTERTECHNOLOGY INC DE 2.02,7.01,9.01 07/30/13 VOCERA COMMUNICATIONS, INC. 5.03,9.01 07/25/13 WABASH NATIONAL CORP /DE DE 2.02,9.01 07/30/13 WADDELL & REED FINANCIAL INC DE 2.02,9.01 07/30/13 WALTER INVESTMENT MANAGEMENT CORP MD 5.02,8.01,9.01 07/29/13 WASTE MANAGEMENT INC DE 1.01,2.02,9.01 07/26/13 WATERSTONE FINANCIAL INC WI 2.02 06/30/13 WATTS WATER TECHNOLOGIES INC DE 2.02,9.01 07/30/13 WAUSAU PAPER CORP. WI 2.05,2.06 05/20/13 AMEND WAVE SYSTEMS CORP DE 1.01,8.01,9.01 07/25/13 Weatherford International Ltd./Switze V8 2.02,7.01,9.01 07/30/13 Wellesley Bancorp, Inc. 2.02,9.01 07/30/13 Wells Fargo Commercial Mortgage Trust NC 8.01,9.01 07/30/13 Wells Fargo Commercial Mortgage Trust NC 8.01,9.01 07/30/13 WESTBRIDGE RESEARCH GROUP CA 5.07 07/26/13 Western Union CO DE 2.02,7.01,9.01 07/30/13 WESTFIELD FINANCIAL INC MA 7.01,9.01 07/30/13 WESTLAKE CHEMICAL CORP DE 2.02,9.01 07/30/13 WEYCO GROUP INC WI 2.02,9.01 07/30/13 WHITE MOUNTAINS INSURANCE GROUP LTD D0 2.02,9.01 07/30/13 WhiteHorse Finance, Inc. DE 8.01,9.01 07/30/13 WILLIS GROUP HOLDINGS PLC L2 7.01,9.01 07/30/13 WIRELESS RONIN TECHNOLOGIES INC MN 2.02,2.05 07/29/13 WONDER INTERNATIONAL EDUCATION & INVE AZ 4.01,9.01 07/30/13 WVS FINANCIAL CORP PA 8.01,9.01 07/30/13 WYNN RESORTS LTD 7.01,9.01 07/30/13 XPO Logistics, Inc. 2.02,9.01 07/30/13 Xylem Inc. IN 2.02,7.01,9.01 07/30/13