U.S. Securities & Exchange Commission
SEC Seal
Home | Previous Page
U.S. Securities and Exchange Commission

SEC NEWS DIGEST

Issue 2013-149
August 5, 2013

Commission announcements

Commission Suspends Trading in the Securities of Hutch21 Co., Ltd.

The Securities and Exchange Commission ("Commission") ordered the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the "Exchange Act"), of trading in the securities of Hutech21 Co., Ltd., quoted on OTC Link, operated by OTC Markets Group, Inc., because of questions that have been raised about the accuracy and adequacy of publicly disseminated information about Hutech21 Co., Ltd., concerning, among other things, Hutech21 Co., Ltd.'s business operations. Hutech21 Co., Ltd.'s ticker symbol is CLGZF.

The trading suspension will last for ten business days. The trading suspension commenced at 9:30 a.m. EDT on August 5, 2013, and terminates at 11:59 p.m. EDT on August 16, 2013.

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 Hutech21 Co., Ltd.

Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interptation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to Hutech21 Co., Ltd.'s securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. 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. (Rel. 34-70106)

Statement by SEC Commissioner Paredes upon Departure from the Commission

Commissioner Troy A. Paredes on Friday made the following statement:

"August 3rd will be my last day as a member of the Securities and Exchange Commission. Serving as a commissioner for the past five years has been a terrific honor. The chance to be involved in so many important issues has been rewarding, and it has been a privilege to have served with my fellow members of the Commission and to have worked with the talented SEC staff.

"I want to congratulate Mike Piwowar and Kara Stein on having been confirmed as SEC commissioners and wish them both the best as they ppare to join the Commission.

"As for me, after having been an attorney, a professor, and an SEC commissioner, I look forward to whatever opportunities may come next." (pss Rel. 2013-145)

ENFORCEMENT PROCEEDINGS

SEC Charges Penny Stock CEO in International Boiler Room Scheme

The Commission today announced charges against a penny stock company CEO in Boca Raton, Fla., for orchestrating an international boiler room scheme.

The SEC alleges that John G. Rizzo, the former CEO of iTrackr Systems Inc., used offshore boiler rooms to solicit foreign investors as he attempted to evade registration requirements under the U.S. securities laws. The boiler rooms raised approximately $2.5 million from investors living in the United Kingdom. Unbeknownst to investors, Rizzo funneled the money raised to his bank account in Belize. After paying commissions to the boiler room operators, he used investor money to pay his personal expenses.

In a parallel action, the U.S. Attorney's Office for the Southern District of California announced criminal charges against Rizzo on August 2, 2013.

According to the SEC's complaint filed August 2, 2013 in U.S. District Court for the Southern District of California, Rizzo used U.S.-based escrow agents and bank accounts to make iTrackr investments appear more legitimate to investors. After investors wired funds to one of the U.S. bank accounts, Rizzo arranged for the money to be transferred to his Belize account in an effort to conceal his undisclosed use of investor funds to pay boiler room operators and his own expenses.

The SEC's complaint alleges that Rizzo agreed to pay the boiler room operators a commission of up to 80 percent of the amount they raised from investors. The arrangement was never disclosed to iTrackr investors.

The SEC's complaint alleges that Rizzo violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The complaint seeks disgorgement with pjudgment interest, financial penalties, officer-and-director and penny stock bars, and a permanent injunction against Rizzo.

The SEC's investigation, which is continuing, has been conducted by Sara Kalin and Marc Blau of the Los Angeles Regional Office. The SEC appciates the assistance of the U.S. Attorney's Office for the Southern District of California and the Federal Bureau of Investigation. (LR-22770)

Investment company orders

ASPIRIANT, LLC

ASPIRIANT GLOBAL EQUITY TRUST

A notice has been issued giving interested persons until August 30, 2013 to request a hearing on an application filed by Aspiriant, LLC and Aspiriant Global Equity Trust for an order exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (IC-30640)

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Change

A proposed rule change (SR-MIAX-2013-38) filed by Miami International Securities Exchange LLC to amend the MIAX Options Fee Schedule 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 August 5, 2013. (Rel. 34-70109)

A proposed rule change filed by NASDAQ OMX BX, Inc. amending Chapter IV, Section 6 to permit the Exchange to list additional strike prices until the close of trading on the second business day prior to monthly expiration (SR-BX-2013-045) 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. 34-70107)

A proposed rule change filed by The NASDAQ Stock Market LLC amending Chapter IV, Section 6 to permit the Exchange to list additional strike prices until the close of trading on the second business day prior to monthly expiration (SR-NASDAQ-2013-101) 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. 34-70108)

A proposed rule change filed by C2 Options Exchange, Incorporated relating to the Technical Disconnect Functionality (SR-C2-2013-029) 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. 34-70112)

A proposed rule change filed by The NASDAQ Stock Market LLC to Modify NASDAQ's rule governing modification of orders in the event of an issuer corporate action related to a dividend, payment or distribution (SR-NASDAQ-2013-096) 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. 34-70113)

A proposed rule change filed by NASDAQ OMX BX, Inc. to modify BX's rule governing modification of orders in the event of an issuer corporate action related to a dividend, payment or distribution (SR-BX-2013-043) 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. 34-70111)

A proposed rule change filed by NASDAQ OMX PHLX LLC to modify the rule governing modification of orders on NASDAQ OMX PSX in the event of an issuer corporate action related to a dividend, payment or distribution (SR-Phlx-2013-77) 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. 34-70110)

A proposed rule change filed by The NASDAQ Stock Market LLC related to its fees for routing of orders priced at $1 or more under Rule 7018(a), as well as changes to its Excess Order Fee under Rule 7018(m) (SR-NASDAQ-2013-100) 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. 34-70117)

A proposed rule change filed by NASDAQ OMX PHLX LLC regarding delisting series in the STOs and opening up to five consecutive weekly expirations of STOs (SR-Phlx-2013-79) 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. 34-70116)

A proposed rule change filed by the Chicago Board Options Exchange, Incorporated to offer a new data feed (SR-CBOE-2013-070) 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. 34-70118)

A proposed rule change filed by C2 Options Exchange, Incorporated to offer a new data feed (SR-C2-2013-025) 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. 34-70119)

A proposed rule change filed by NASDAQ OMX BX, Inc. to its Excess Order Fee under Rule 7018(d) (SR-BX-2013-044) 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. 34-70114)

A proposed rule change filed by NASDAQ OMX PHLX LLC to its Excess Order Fee (SR-Phlx-2013-80) 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. 34-70115)

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-8     ILLUMINA INC, 5200 ILLUMINA WAY, SAN DIEGO, CA, 92122, 8582024500 - 0 
        ($403,650,000.00) Equity, (File 333-190322 - Aug. 2) (BR. 10A)

N-2     THL Credit Senior Loan Fund, 100 WALL STREET, 11TH FLOOR, NEW YORK, NY, 10005, 
        (212) 701-4500 - 0 ($1,000,000.00) Equity, (File 333-190325 - Aug. 2) (BR. )

S-8     CONTROL4 CORP, 11734 SOUTH ELECTION ROAD, SALT LAKE CITY, UT, 84020, 801-523-3100 - 0 
        ($67,839,163.18) Equity, (File 333-190326 - Aug. 2) (BR. 10)

S-11    AMERICAN REALTY CAPITAL NEW YORK RECOVERY REIT INC, 405 PARK AVENUE, 15TH FLOOR, 
        NEW YORK, NY, 10022, 212 415 6500 - 0 ($1.00) Equity, (File 333-190327 - Aug. 2) 
        (BR. 08B)

S-8     HANDY & HARMAN LTD., 1133 WESTCHESTER AVENUE, WHITE PLAINS, NY, 10604, 
        914 461-1300 - 425,000 ($8,251,375.00) Equity, (File 333-190328 - Aug. 2) 
        (BR. 06A)

S-8     MOVE INC, 805-557-2300 - 0 ($29,137,500.00) Equity, (File 333-190329 - Aug. 2) (BR. 08C)

S-8     TELEPHONE & DATA SYSTEMS INC /DE/, 30 NORTH LASALLE STREET, STE 4000, CHICAGO, IL, 60602, 
        3126301900 - 200,000 ($5,362,000.00) Equity, (File 333-190330 - Aug. 2) (BR. 11A)

S-8     UNITED STATES CELLULAR CORP, 8410 W BRYN MAWR AVE, STE 700, CHICAGO, IL, 60631, 
        7733998900 - 200,000 ($8,000,000.00) Equity, (File 333-190331 - Aug. 2) (BR. 11A)

S-8     SWIFT ENERGY CO, 16825 NORTHCHASE DR STE 400, HOUSTON, TX, 77060, 2818742700 - 2,350,000 
        ($28,858,000.00) Equity, (File 333-190332 - Aug. 2) (BR. 04B)

S-8     SWIFT ENERGY CO, 16825 NORTHCHASE DR STE 400, HOUSTON, TX, 77060, 2818742700 - 500,000 
        ($6,140,000.00) Equity, (File 333-190333 - Aug. 2) (BR. 04B)

S-8     ICF International, Inc., 9300 LEE HIGHWAY, FAIRFAX, VA, 22031, (703) 934-3000 - 1,750,000 
        ($59,132,500.00) Equity, (File 333-190334 - Aug. 2) (BR. 08B)

S-3ASR  ALLETE INC, 30 W SUPERIOR ST, DULUTH, MN, 55802-2093, 2182795000 - 0 ($0.00) Other, 
        (File 333-190335 - Aug. 2) (BR. 02B)

S-8     ALLETE INC, 30 W SUPERIOR ST, DULUTH, MN, 55802-2093, 2182795000 - 164,661 ($8,717,153.34) 
        Equity, (File 333-190336 - Aug. 2) (BR. 02B)

S-8     EURONET WORLDWIDE INC, 3500 COLLEGE BOULEVARD, LEAWOOD, KS, 66211, 913-327-4200 - 0 
        ($125,375,000.00) Equity, (File 333-190337 - Aug. 2) (BR. 07C)

S-1     FireEye, Inc., 1440 MCCARTHY BLVD, MILPITAS, CA, 95035, 408-321-6300 - 0 
        ($175,000,000.00) Equity, (File 333-190338 - Aug. 2) (BR. 03C)

S-8     CSS INDUSTRIES INC, 1845 WALNUT ST, PHILADELPHIA, PA, 19103, 2155699900 - 0 
        ($44,916,721.02) Equity, (File 333-190339 - Aug. 2) (BR. 05B)

S-8     CSS INDUSTRIES INC, 1845 WALNUT ST, PHILADELPHIA, PA, 19103, 2155699900 - 0 
        ($6,127,995.00) Equity, (File 333-190340 - Aug. 2) (BR. 05B)

S-8     Georgia-Carolina Bancshares, Inc, 3527 WHEELER ROAD, AUGUSTA, GA, 30909, 
        706-731-6600 - 161,849 ($2,538,602.00) Equity, (File 333-190341 - Aug. 2) (BR. 07B)

S-8     Silvercrest Asset Management Group Inc., 1330 AVENUE OF THE AMERICAS, 38TH FLOOR, 
        NEW YORK, NY, 10019, 212-649-0600 - 0 ($23,497,325.00) Equity, (File 333-190342 - Aug. 2) 
        (BR. 12B)

S-8     VICAL INC, 10390 PACIFIC CENTER COURT, ., SAN DIEGO, CA, 92121-4340, 858-646-1100 - 0 
        ($16,760,000.00) Equity, (File 333-190343 - Aug. 2) (BR. 01A)

S-8     ON SEMICONDUCTOR CORP, 5005 EAST MCDOWELL ROAD, PHOENIX, AZ, 85008, 6022446600 - 0 
        ($24,030,000.00) Equity, (File 333-190344 - Aug. 2) (BR. 10B)

S-8     EMERITUS CORP\WA\, 3131 ELLIOTT AVENUE, SUITE 500, SEATTLE, WA, 98121, 
        2062982909 - 3,034,000 ($71,086,620.00) Equity, (File 333-190347 - Aug. 2) (BR. 11A)

S-8     American Homes 4 Rent, 30601 WEST AGOURA ROAD, SUITE 200, AGOURA HILLS, CA, 91301, 
        (805) 413-5300 - 6,000,000 ($96,720,000.00) Equity, (File 333-190349 - Aug. 2) (BR. 08C)

S-8     EXACT SCIENCES CORP, 441 CHARMANY DRIVE, MADISON, WI, 53719, 608-284-5700 - 0 
        ($37,016,000.00) Equity, (File 333-190350 - Aug. 2) (BR. 01A)

S-8     ALIGN TECHNOLOGY INC, 2560 ORCHARD PARKWAY, SAN JOSE, CA, 95131, 
        4087381500 - 7,000,000 ($297,290,000.00) Equity, (File 333-190351 - Aug. 2) (BR. 10A)

S-8     SEQUENTIAL BRANDS GROUP, INC., 1065 AVENUE OF AMERICAS, 30TH FLOOR, NEW YORK, NY, 10018, 
        (646) 564-2577 - 2,500,000 ($14,000,000.00) Equity, (File 333-190352 - Aug. 2) 
        (BR. 09A)

S-3     KERYX BIOPHARMACEUTICALS INC, 750 LEXINGTON AVENUE, ., NEW YORK, NY, 10022, 
        212-531-5965 - 0 ($150,000,000.00) Equity, (File 333-190353 - Aug. 2) (BR. 01B)

S-1     CommScope Holding Company, Inc., 1100 COMMSCOPE PLACE, SE, HICKORY, NC, 28602, 
        828-324-2200 - 0 ($750,000,000.00) Equity, (File 333-190354 - Aug. 2) (BR. )

S-8     ELECTRONIC ARTS INC., 209 REDWOOD SHORES PARKWAY, REDWOOD CITY, CA, 94065, 
        650-628-1500 - 25,000,000 ($626,990,000.00) Equity, (File 333-190355 - Aug. 2) (BR. 03A)

S-1     HMH Holdings (Delaware), Inc., 222 BERKELEY STREET, BOSTON, MA, 02116, 
        617-351-5000 - 0 ($100,000,000.00) Equity, (File 333-190356 - Aug. 2) (BR. )

N-2     American Capital Senior Floating, Ltd., 2 BETHESDA METRO CENTER, 14TH FLOOR, 
        BETHESDA, MD, 20814, 301-951-6122 - 0 ($270,000,000.00) Equity, (File 333-190357 - Aug. 2) 
        (BR. )

S-8     KERYX BIOPHARMACEUTICALS INC, 750 LEXINGTON AVENUE, ., NEW YORK, NY, 10022, 
        212-531-5965 - 0 ($32,095,000.00) Equity, (File 333-190358 - Aug. 2) (BR. 01B)

S-3ASR  MDC HOLDINGS INC, 4350 S MONACO STREET, SUITE 500, DENVER, CO, 80237, 3037731100 - 0 
        ($0.00) Unallocated (Universal) Shelf, (File 333-190359 - Aug. 2) (BR. 06A)

S-3ASR  Opko Health, Inc., 4400 BISCAYNE BLVD., SUITE 900, MIAMI, FL, 33137, 305-575-6015 - 0 
        ($4,386,915.47) Equity, (File 333-190360 - Aug. 2) (BR. 01A)

S-3     COBIZ FINANCIAL INC, 821 - 17TH STREET, SUITE 900, DENVER, CO, 80202, 3032932265 - 0 
        ($100,000,000.00) Other, (File 333-190361 - Aug. 2) (BR. 07C)

S-4     CROGHAN BANCSHARES INC, 323 CROGHAN ST, FREMONT, OH, 43420, 4193327301 - 0 
        ($13,449,415.00) Equity, (File 333-190362 - Aug. 2) (BR. 07B)

        

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on pviously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

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



ACADIA REALTY TRUST                     MD       2.02,9.01            07/29/13

ACCESS MIDSTREAM PARTNERS LP            DE       1.01,9.01            08/02/13

ACCURIDE CORP                           DE       7.01,9.01            08/01/13

Actavis, Inc.                           NV       1.01,8.01,9.01       08/02/13

Actavis, Inc.                           NV       7.01,9.01            08/02/13

Advanced Voice Recognition Systems, I   NV       1.01,3.02,9.01       08/01/13

AEGEA, INC.                             NV       7.01,8.01            08/02/13

ALAMO GROUP INC                         DE       2.02,9.01            08/01/13

ALERE INC.                              DE       7.01,9.01            08/02/13

Alliance HealthCare Services, Inc       CA       5.02,9.01            07/31/13

ALLIANT ENERGY CORP                     WI       2.02,9.01            08/02/13

Alpha Natural Resources, Inc.           DE       2.02,9.01            08/02/13

Alpha Natural Resources, Inc.           DE       2.02,9.01            08/02/13    AMEND

American Assets Trust, Inc.             MD       8.01                 08/02/13

AMERICAN AXLE & MANUFACTURING HOLDING   DE       2.02                 08/02/13

AMERICAN AXLE & MANUFACTURING HOLDING   DE       2.02                 08/02/13    AMEND

AMERICAN REALTY CAPITAL HEALTHCARE TR   MD       1.01,2.01,8.01,9.01  07/31/13

American Realty Capital Properties, I   MD       8.01,9.01            08/02/13

American Realty Capital Trust IV, Inc   MD       2.01,8.01,9.01       07/31/13
 
AMERICAN SUPERCONDUCTOR CORP /DE/       DE       5.02,5.07            07/31/13

Anchor Funding Services, Inc.           DE       8.01                 08/01/13

ANDAIN, INC.                            NV       4.01,9.01            01/28/13    AMEND

ANDERSONS INC                           OH       1.01                 07/31/13

ANTARES PHARMA, INC.                    DE       5.02,9.01            07/29/13

APARTMENT INVESTMENT & MANAGEMENT CO    MD       5.02,9.01            08/01/13

Approach Resources Inc                  DE       2.02,7.01,9.01       08/01/13

ARBOR REALTY TRUST INC                  MD       2.02,9.01            08/02/13

Arista Power, Inc.                      NY       1.01,3.02,5.02,8.01  07/29/13

Atlas Financial Holdings, Inc.          E9       1.01,7.01,9.01       08/02/13

Atlas Resource Partners, L.P.           DE       1.01,2.03,9.01       07/30/13

AUTONATION, INC.                        DE       7.01,9.01            08/02/13

AXCELIS TECHNOLOGIES INC                DE       1.01,1.02,9.01       07/30/13

Bankrate, Inc.                          DE       2.02,8.01,9.01       07/29/13

BERRY PLASTICS GROUP INC                DE       2.02,9.01            08/01/13

BEST BUY CO INC                         MN       5.02                 07/30/13

BILL BARRETT CORP                       DE       2.02,7.01,9.01       08/01/13

BLACKHAWK CAPITAL GROUP BDC INC         DE       8.01                 07/31/13

BLYTH INC                               DE       2.02                 08/02/13

BMC SOFTWARE INC                        DE       1.01,3.03,8.01,9.01  07/31/13

BODY CENTRAL CORP                                2.02,9.01            08/01/13

Bonanza Goldfield Corp.                 NV       1.01,9.01            06/30/13

BRINKER INTERNATIONAL INC               DE       2.02,9.01            08/02/13

BUCKEYE PARTNERS, L.P.                  DE       2.02,9.01            08/02/13

CABLEVISION SYSTEMS CORP /NY            DE       2.02,9.01            08/02/13

CAMBRIDGE HOLDINGS LTD                  CO       5.02,8.01            07/29/13

Capella Healthcare, Inc.                DE       2.02,9.01            08/02/13

CARMAX AUTO FUNDING LLC                 DE       1.01,8.01,9.01       07/31/13

CARPENTER TECHNOLOGY CORP               DE       2.02,9.01            07/30/13

CATALYST PHARMACEUTICAL PARTNERS, INC   DE       8.01,9.01            08/02/13

Catamaran Corp                                   1.01                 07/31/13

CBOE Holdings, Inc.                     DE       2.02,9.01            08/02/13

CC Media Holdings Inc                            5.02,9.01            07/29/13    AMEND

CDW Corp                                DE       2.02,9.01            08/02/13

CELADON GROUP INC                       DE       5.02                 07/29/13

CELGENE CORP /DE/                       DE       1.01,8.01,9.01       08/01/13

CERNER CORP /MO/                        DE       1.01,7.01,9.01       07/30/13

CHEMBIO DIAGNOSTICS, INC.               NV       8.01                 08/02/13

CHENIERE ENERGY INC                     DE       2.02,9.01            08/02/13

Cheniere Energy Partners, L.P.          DE       2.02,9.01            08/02/13

CHEVRON CORP                            DE       2.02                 08/02/13

China Advanced Construction Materials   DE       1.01,3.03,5.03,	 08/02/13
						7.01,9.01          

CHURCH & DWIGHT CO INC /DE/             DE       2.02,9.01            08/02/13

CIRRUS LOGIC INC                        DE       5.07                 07/30/13

CITIZENS FIRST CORP                     KY       2.02,7.01,9.01       08/01/13

Clear Channel Capital I, LLC            DE       5.02,9.01            07/29/13    AMEND

CLEAR CHANNEL COMMUNICATIONS INC        TX       5.02,9.01            07/29/13    AMEND

Clear Channel Outdoor Holdings, Inc.    DE       5.02,9.01            07/29/13    AMEND

CLEARONE INC                            UT       2.02                 08/02/13

CLOUD PEAK ENERGY INC.                  DE       7.01,9.01            08/02/13

CNB FINANCIAL CORP/PA                   PA       2.02,9.01            08/01/13

COACH INC                               MD       1.01,5.02            07/29/13

CONSOLIDATED EDISON INC                 NY       2.02,9.01            08/01/13

CORPORATE EXECUTIVE BOARD CO            DE       1.01,2.03            08/02/13

Corporate Resource Services, Inc.       DE       8.01,9.01            08/02/13

COWEN GROUP, INC.                       DE       2.02,9.01            08/02/13

CRAILAR TECHNOLOGIES INC                A1       8.01,9.01            08/01/13

CREDITRISKMONITOR COM INC               NV       2.02,9.01            08/02/13

Crimson Wine Group, Ltd                 DE       1.01,9.01            08/02/13

CROSSTEX ENERGY INC                     DE       5.03,9.01            08/01/13

CVS CAREMARK CORP                       DE       8.01                 08/02/13

DELL INC                                DE       1.01,8.01,9.01       08/02/13

DELTA AIR LINES INC /DE/                DE       7.01,9.01            08/02/13

DESTINATION XL GROUP, INC.              DE       5.02,5.07            08/01/13

DIAMOND HILL INVESTMENT GROUP INC       OH       2.02,9.01            08/02/13

DIAMOND HILL INVESTMENT GROUP INC       OH       8.01                 08/02/13

Dr Pepper Snapple Group, Inc.           DE       8.01                 08/02/13

DRIL-QUIP INC                           DE       2.02,9.01            08/02/13

DST SYSTEMS INC                         DE       5.03,9.01            07/30/13

EASTMAN KODAK CO                        NJ       7.01                 08/02/13

Eaton Corp plc                                   2.02,9.01            08/02/13

Ellington Financial LLC                 DE       8.01,9.01            08/01/13

EMAGIN CORP                             DE       2.02,9.01            08/01/13

Energizer Resources, Inc.               MN       3.02                 08/02/13

Energy Future Holdings Corp /TX/                 2.02,9.01            08/02/13

EnerSys                                 DE       5.02,5.07,9.01       08/01/13

ENVESTNET, INC.                         DE       5.07                 07/31/13

ENVIRONMENTAL SCIENCE & TECHNOLOGIES,   DE       3.02                 07/26/13

Envision Healthcare Corp                DE       5.02,9.01            07/30/13

EPLUS INC                               DE       5.02                 07/29/13

EQM Technologies & Energy, Inc.         DE       8.01,9.01            08/02/13

EQUITY LIFESTYLE PROPERTIES INC         MD       2.02,8.01,9.01       08/01/13

Exelis Inc.                             IN       2.02,7.01,9.01       08/02/13

EXTREME NETWORKS INC                    DE       5.02                 07/29/13

Federal Home Loan Bank of Pittsburgh    PA       2.02,7.01,9.01       08/02/13

Fifth & Pacific Companies, Inc.         DE       8.01                 07/29/13

FIFTH THIRD BANCORP                     OH       8.01,9.01            08/01/13

FIRST BUSINESS FINANCIAL SERVICES, IN   WI       7.01,9.01            08/02/13

First Federal of Northern Michigan Ba            2.02,9.01            08/02/13

First Internet Bancorp                  IN       5.02                 07/29/13

FIRST KEYSTONE CORP                     PA       2.02,9.01            07/31/13

FIRST RELIANCE BANCSHARES INC           SC       5.02,9.01            07/29/13    AMEND

FIRST SOLAR, INC.                       DE       5.02,9.01            08/02/13

Flux Power Holdings, Inc.               NV       5.02,9.01            07/26/13

FORUM ENERGY TECHNOLOGIES, INC.         DE       5.02                 08/02/13

FRONTIER OILFIELD SERVICES INC          TX       5.02,8.01            07/29/13

Fulucai Productions Ltd.                NV       5.02,9.01            08/01/13

FURMANITE CORP                          DE       2.02,7.01,9.01       08/02/13

GARTNER INC                             DE       2.02,9.01            08/02/13

GCI INC                                 AK       9.01                 07/31/13    AMEND

GENERAL COMMUNICATION INC               AK       9.01                 07/31/13    AMEND

General Moly, Inc                       DE       2.02,7.01,9.01       08/02/13

General Motors Co                                8.01                 08/01/13

GeoVax Labs, Inc.                       DE       5.03,9.01            08/01/13

GERMAN AMERICAN BANCORP, INC.           IN       2.02,8.01,9.01       07/29/13

Granite Falls Energy, LLC               MN       1.01,2.01,2.03,9.01  07/31/13

GSE Holding, Inc.                       DE       1.01,2.03,2.06,	 07/30/13
						7.01,9.01          

GT Advanced Technologies Inc.           DE       5.02                 07/29/13

Guar Global Ltd.                        NV       1.01,2.01,9.01       07/31/13

H&R BLOCK INC                           MO       5.02                 08/01/13

HALLADOR ENERGY CO                      CO       2.02                 08/02/13

Hamilton Bancorp, Inc.                  MD       2.02,9.01            08/02/13

HANDY & HARMAN LTD.                     DE       2.02,9.01            08/02/13

HARLAND CLARKE HOLDINGS CORP            DE       2.02,9.01            08/02/13

HARRIS TEETER SUPERMARKETS, INC.        NC       2.02,9.01            08/01/13

HEALTH DISCOVERY CORP                   2Q       8.01,9.01            07/29/13

HEALTH MANAGEMENT ASSOCIATES, INC       DE       1.01,2.03            07/29/13

HEALTH MANAGEMENT ASSOCIATES, INC       DE       5.02,9.01            07/29/13

HEALTHCARE TRUST OF AMERICA, INC.       MD       8.01,9.01            08/01/13

HEALTHCARE TRUST OF AMERICA, INC.       MD       2.02,9.01            08/01/13

HERITAGE OAKS BANCORP                   CA       8.01,9.01            08/02/13

Heron Lake BioEnergy, LLC               MN       1.01,3.02,5.01,5.02  07/31/13

hhgregg, Inc.                           DE       5.07                 07/30/13

HOLOGIC INC                             DE       1.01,2.03,9.01       08/02/13

HOME BANCSHARES INC                              1.01,9.01            07/31/13

HOME PROPERTIES INC                     MD       2.02,9.01            08/01/13

Horizon Lines, Inc.                              2.02,7.01,9.01       08/02/13

HOST HOTELS & RESORTS, INC.             MD       2.02,9.01            08/02/13

HPC Acquisitions, Inc.                  NV       4.01                 08/02/13

HPIL HOLDING                            NV       1.01,3.02,9.01       08/02/13

HUNTINGTON BANCSHARES INC/MD            MD       8.01,9.01            08/02/13

ICON ECI FUND FIFTEEN, L.P.             DE       7.01,9.01            08/02/13

ICON Equipment & Corporate Infrastruc   DE       7.01,9.01            08/02/13

ICON INCOME FUND TEN LLC                DE       7.01,9.01            08/02/13

ICON LEASING FUND ELEVEN, LLC           DE       7.01,9.01            08/02/13

ICON LEASING FUND TWELVE, LLC           DE       7.01,9.01            08/02/13

IMMUNOGEN INC                           MA       2.02,9.01            08/02/13

IMPLANT SCIENCES CORP                   MA       7.01,8.01,9.01       08/01/13

INDUSTRIAL SERVICES OF AMERICA INC /F   FL       1.02                 07/31/13

INGLES MARKETS INC                      NC       2.02,9.01            08/02/13

Inland American Real Estate Trust, In   MD       1.01,9.01            07/30/13

INSITE VISION INC                       DE       1.01                 08/01/13

INTERCLOUD SYSTEMS, INC.                         5.03,9.01            07/30/13

INTERMOLECULAR INC                      DE       5.02                 08/01/13

INTERNATIONAL GAME TECHNOLOGY           NV       5.02,9.01            07/31/13

Internet Patents Corp                            2.02,9.01            08/01/13

INTEST CORP                             DE       2.02,9.01            07/31/13

INTUIT INC                              DE       2.01,7.01,9.01       08/01/13

IPASS INC                               DE       5.03,9.01            07/29/13

ISA INTERNATIONALE INC                  DE       1.01                 08/01/13

ITT EDUCATIONAL SERVICES INC            DE       7.01,9.01            08/02/13

JOHNSON OUTDOORS INC                    WI       2.02,9.01            08/02/13

JUNIATA VALLEY FINANCIAL CORP           PA       2.02,8.01,9.01       08/02/13

Kallo Inc.                              NV       7.01,9.01            08/01/13

KINDRED HEALTHCARE, INC                 DE       8.01,9.01            08/01/13

KIT digital, Inc.                       DE       8.01,9.01            08/01/13

Kodiak Oil & Gas Corp                   B0       1.01,9.01            07/30/13

KROGER CO                               OH       1.01,2.03            08/02/13

LACLEDE GROUP INC                       MO       1.01                 07/30/13

LANDMARK BANCORP INC                    DE       1.01,7.01,9.01       08/01/13

LAS VEGAS SANDS CORP                    NV       5.02                 07/29/13

LaSalle Hotel Properties                MD       7.01,8.01,9.01       08/02/13

Lehigh Gas Partners LP                  DE       1.01,8.01,9.01       08/01/13

Liberty Global plc                      X0       2.02,7.01,9.01       08/01/13

Liberty Global plc                      X0       2.02,7.01,9.01       08/02/13

Liberty Global plc                      X0       2.02,7.01,9.01       08/02/13

Liberty Global plc                      X0       2.02,7.01,9.01       08/02/13

LIGHTSTONE VALUE PLUS REAL ESTATE INV   MD       1.01,2.03            07/29/13

LOGITECH INTERNATIONAL SA                        5.02                 07/31/13

LOUISIANA BANCORP INC                   LA       2.02,9.01            08/02/13

LRR Energy, L.P.                        DE       2.02,9.01            08/01/13

MAGNUM HUNTER RESOURCES CORP            DE       5.02                 07/29/13

Marathon Petroleum Corp                 DE       5.02                 07/30/13

MCKESSON CORP                           DE       5.02,5.03,5.07,9.01  07/31/13

MERCADOLIBRE INC                                 2.02,7.01,9.01       08/01/13

METLIFE INC                             DE       8.01,9.01            07/30/13

MGT CAPITAL INVESTMENTS INC             DE       9.01                 05/20/13    AMEND

MID AMERICA APARTMENT COMMUNITIES INC   TN       8.01,9.01            08/02/13

MIDDLEBURG FINANCIAL CORP               VA       2.02,8.01,9.01       08/02/13

MIDDLESEX WATER CO                      NJ       2.02,9.01            08/02/13

MidWestOne Financial Group, Inc.        IA       1.01,9.01            08/02/13

MILLER ENERGY RESOURCES, INC.           TN       5.02,9.01            07/29/13

Mondelez International, Inc.            VA       8.01                 08/02/13

Monster Beverage Corp                   DE       5.03,9.01            07/29/13

Morningstar, Inc.                       IL       7.01                 08/02/13

MUELLER INDUSTRIES INC                  DE       8.01,9.01            08/02/13

MUTUALFIRST FINANCIAL INC               MD       7.01,9.01            08/02/13

MVP REIT, Inc.                          MD       1.01,1.02            08/02/13

NATIONAL HEALTHCARE CORP                DE       2.02,8.01,9.01       08/01/13

Naugatuck Valley Financial Corp                  2.02,9.01            08/02/13

Neuralstem, Inc.                        DE       8.01,9.01            08/01/13

NORTHSTAR REALTY FINANCE CORP.          MD       2.02,9.01            08/02/13

NOVAVAX INC                             DE       2.01,9.01            07/31/13

NPC Restaurant Holdings, LLC            DE       2.02,9.01            08/02/13

NUMBEER, INC.                           NV       1.01,3.02,9.01       07/30/13

Och-Ziff Capital Management Group LLC   DE       7.01                 08/02/13

Och-Ziff Capital Management Group LLC   DE       2.02,8.01,9.01       08/02/13

OGE ENERGY CORP.                        OK       1.01,9.01            07/29/13

OHIO POWER CO                           OH       8.01,9.01            08/01/13

OKLAHOMA GAS & ELECTRIC CO              OK       1.01,9.01            07/29/13

OmniAmerican Bancorp, Inc.              MD       2.02,9.01            08/02/13

ON SEMICONDUCTOR CORP                   DE       2.02,9.01            08/01/13

ONCOR ELECTRIC DELIVERY CO LLC          DE       2.02,9.01            08/02/13

OPTIMER PHARMACEUTICALS INC                      2.02,9.01            08/01/13

Orchid Island Capital, Inc.             MD       2.02,9.01            08/01/13

ORGANOVO HOLDINGS, INC.                 DE       1.01,2.02,8.01,9.01  08/01/13

Orion Marine Group Inc                           9.01                 08/01/13

PAR TECHNOLOGY CORP                     DE       5.03,9.01            07/29/13

PARK CITY GROUP INC                     NV       7.01,8.01            07/30/13

PARKERVISION INC                        FL       2.02,3.02,9.01       08/01/13

PG&E Corp                               CA       8.01                 08/01/13

PharMerica CORP                         DE       2.02,9.01            08/02/13

PHOTOMEDEX INC                                   5.07                 08/01/13

PILGRIMS PRIDE CORP                     DE       5.02                 07/31/13

Pinacle Enterprise, Inc.                2M       5.03                 08/01/13

Pingtan Marine Enterprise Ltd.          E9       8.01,9.01            07/29/13

PINNACLE ENTERTAINMENT INC.             DE       1.01,9.01            07/30/13

PINNACLE WEST CAPITAL CORP              AZ       2.02,7.01,9.01       08/02/13

PNM RESOURCES INC                       NM       2.02,9.01            08/02/13

POOL CORP                               DE       7.01,9.01            08/02/13

PORTLAND GENERAL ELECTRIC CO /OR/       OR       2.02,7.01,9.01       08/02/13

Post Holdings, Inc.                     MO       1.01,9.01            08/01/13

Premier Beverage Group Corp             NV       7.01                 07/31/13

Protea Biosciences Group, Inc.          DE       1.01,2.03,3.02,9.01  07/29/13

Public Storage                          MD       2.02,9.01            08/01/13

RACKSPACE HOSTING, INC.                          8.01                 08/02/13

Renewable Energy Acquisition Corp.      NV       4.01                 08/02/13

REX ENERGY CORP                         DE       1.01,5.02,7.01,9.01  07/29/13

RGC RESOURCES INC                       VA       2.02,9.01            07/31/13

RigNet, Inc.                            DE       7.01,8.01,9.01       08/01/13

RigNet, Inc.                            DE       7.01,9.01            08/02/13

Rock-Tenn CO                            GA       5.02,9.01            08/01/13

Ruths Hospitality Group, Inc.           DE       2.02,7.01,9.01       08/02/13

RYDER SYSTEM INC                        FL       9.01                 08/02/13

SAVE THE WORLD AIR INC                  NV       1.01,8.01            08/01/13

SBA COMMUNICATIONS CORP                 FL       2.02,9.01            08/01/13

SEALED AIR CORP/DE                      DE       2.02,9.01            08/02/13

SHENANDOAH TELECOMMUNICATIONS CO/VA/    VA       2.02,9.01            08/02/13

SHENANDOAH TELECOMMUNICATIONS CO/VA/    VA       7.01,9.01            08/02/13

Shire plc                                        8.01,9.01            08/01/13

SIRONA DENTAL SYSTEMS, INC.             DE       2.02,9.01            08/02/13

SIRONA DENTAL SYSTEMS, INC.             DE       7.01,9.01            08/02/13

SITEL Worldwide Corp                    DE       8.01,9.01            08/02/13

SolarWinds, Inc.                        DE       5.02                 07/30/13

SOUTHWESTERN ENERGY CO                  DE       7.01,9.01            08/02/13

Spectra Energy Partners, LP             DE       1.01,2.01,3.02,	 08/01/13
						7.01,9.01          

Spirit Airlines, Inc.                   DE       1.01,9.01            07/29/13

STAMPS.COM INC                          DE       2.02,9.01            07/31/13

STANDARD REGISTER CO                    OH       1.01,2.01,2.02,	 08/01/13
						2.03,3.02,5.02,8.01,9.01        

STANDEX INTERNATIONAL CORP/DE/          DE       5.02                 08/02/13    AMEND

STATE INVESTORS BANCORP, INC.                    2.02,9.01            08/02/13

Stereotaxis, Inc.                       DE       1.01,2.03,3.02,9.01  07/31/13

STEVEN MADDEN, LTD.                     DE       2.02,9.01            08/01/13

STURM RUGER & CO INC                    DE       7.01                 08/01/13

Sucampo Pharmaceuticals, Inc.                    5.03,9.01            07/31/13

SUNGARD CAPITAL CORP                    DE       2.02,9.01            08/02/13

SUPERIOR INDUSTRIES INTERNATIONAL INC   CA       2.02                 08/02/13

SUPERIOR UNIFORM GROUP INC              FL       5.02,9.01            07/30/13

SURMODICS INC                           MN       1.01,9.01            07/30/13

SYNIVERSE HOLDINGS INC                  DE       5.02                 08/01/13

SYNTHESIS ENERGY SYSTEMS INC            DE       1.01,3.01            07/29/13

TE Connectivity Ltd.                    V8       1.01,9.01            08/02/13

TECH DATA CORP                          FL       5.02,9.01            08/02/13

Teleconnect Inc.                        OK       1.01                 07/31/13

TELEPHONE & DATA SYSTEMS INC /DE/       DE       2.02,8.01,9.01       08/02/13

TELEPHONE & DATA SYSTEMS INC /DE/       DE       8.01,9.01            08/02/13

TELETOUCH COMMUNICATIONS INC            DE       2.04,8.01,9.01       07/30/13

TESORO CORP /NEW/                       DE       7.01,9.01            08/02/13

TESORO CORP /NEW/                       DE       1.01,2.03,9.01       08/01/13

TESORO CORP /NEW/                       DE       2.01,9.01            06/01/13    AMEND

TESORO LOGISTICS LP                     DE       1.01,2.03,8.01,9.01  07/29/13

THOMAS PROPERTIES GROUP INC             DE       2.02,9.01            08/01/13

TRAC Intermodal LLC                     DE       1.01,2.03,9.01       07/31/13

Trade Street Residential, Inc.          MD       9.01                 05/17/13    AMEND

TRANSAKT LTD.                           A0       5.02                 07/31/13

TRANSCAT INC                            OH       2.02,9.01            07/30/13

TransCoastal Corp                       DE       3.02                 07/30/13

TransDigm Group INC                     DE       5.02,9.01            07/29/13

TREDEGAR CORP                           VA       2.02,9.01            08/01/13

TURBINE TRUCK ENGINES INC               NV       1.01,9.01            08/01/13

ULTRA PETROLEUM CORP                             2.02,9.01            06/30/13

UNION PACIFIC CORP                      UT       7.01                 08/02/13

UNITED STATES CELLULAR CORP             DE       2.02,9.01            08/02/13

UNITED STATES CELLULAR CORP             DE       8.01,9.01            08/02/13

UNIVERSAL AMERICAN CORP.                DE       2.02,9.01            08/01/13
 
Universal Business Payment Solutions    DE       5.02,5.03,		 07/31/13
						5.07,8.01,9.01          

URANIUM RESOURCES INC /DE/              DE       3.03,5.03,7.01,9.01  07/30/13

VALOR GOLD CORP.                        DE       5.02                 08/01/13

Venoco, Inc.                            DE       2.02,9.01            08/02/13

Vera Bradley, Inc.                               7.01,9.01            07/29/13

Viacom Inc.                             DE       2.02,8.01,9.01       08/02/13

VICON INDUSTRIES INC /NY/               NY       2.02,9.01            08/02/13

Village Bank & Trust Financial Corp.             2.02,9.01            08/02/13

VIRGIN MEDIA INC.                       DE       2.02,7.01,9.01       08/02/13

VistaGen Therapeutics, Inc.             NV       2.03,3.02,9.01       07/30/13

VIVUS INC                               CA       1.01,7.01,9.01       07/31/13

Warner Chilcott plc                              7.01,9.01            08/02/13

WASHINGTON POST CO                      DE       2.02,9.01            08/02/13

WATERSIDE CAPITAL CORP                  VA       5.02                 07/30/13

Western Gas Partners LP                 DE       8.01,9.01            08/02/13

WEYERHAEUSER CO                         WA       5.02                 07/29/13

Winthrop Realty Trust                   OH       2.02,7.01,8.01,9.01  08/01/13

WPCS INTERNATIONAL INC                  DE       3.01                 08/01/13

Wright Investors Service Holdings, In   DE       1.01,9.01            08/02/13

ZIONS BANCORPORATION /UT/               UT       3.03,8.01,9.01       07/30/13



http://www.sec.gov/news/digest/2013/dig080513.htm


Modified: 08/07/2013