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Commission announcementsCommission 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 CommissionCommissioner 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 PROCEEDINGSSEC Charges Penny Stock CEO in International Boiler Room SchemeThe 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 ordersASPIRIANT, 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 organizationsImmediate Effectiveness of Proposed Rule ChangeA 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 FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 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
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