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Commission announcementsRegulators Issue Joint Staff Review of Firms' Business Continuity and Disaster Recovery PlanningThe Securities and Exchange Commission (Commission) today joined the Commodity Futures Trading Commission (CFTC)'s Division of Swap Dealer and Intermediary Oversight and the Financial Industry Regulatory Authority (FINRA) in issuing a staff advisory on business continuity and disaster recovery planning. The advisory follows a joint review by regulators in the aftermath of Hurricane Sandy, which caused widespread damage to Northeastern states and closed U.S. equity and options markets for two days in October 2012. The SEC's Office of Compliance Inspections and Examinations (OCIE), the CFTC's Division of Swap Dealer and Intermediary Oversight, and FINRA issued the advisory to encourage firms to review their business continuity plans so as to improve responses to and reduce recovery time after significant large-scale events. "Market reliability and resilience are vital to investors and to the fair and efficient operation of capital markets," said OCIE Director Andrew Bowden. "In partnership with our fellow regulators at FINRA and the CFTC, we are sharing these lessons learned from Superstore Sandy to help industry participants better prepare for future events that threaten to disrupt market operations." FINRA Executive Vice President Grace Vogel said, "With hurricane season underway, and with the problems from last year fresh in mind, we trust that our member firms will review their business continuity planning procedures against these best practices." Gary Barnett, Director of the CFTC's Division of Swap Dealer and Intermediary Oversight added, "With this joint effort, we were able to leverage the experience of the entire industry to spread knowledge of best practices and identify areas that need improvement to help our firms be better prepared and better able to respond to disasters." Drawing on examination observations, the advisory suggests effective practices in the following areas:
Firms can strengthen their business continuity and disaster recovery plans by implementing these practices as appropriate. (Press Rel. 2013-158) Commission MeetingsClosed Meeting on Friday, August 16, 2013 at 12:30 p.m. The subject matter of the Closed Meeting will be: settlement of injunctive actions. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGSCommission Charges New York-Based Investment Adviser with Misappropriating Investor Monies and Making Misrepresentations Concerning Skin in the Game and Risk ControlsThe Commission today charged a New York-based investment adviser and the firm he controlled with misappropriating investor monies and making misrepresentations concerning his skin in the game and his firm's risk controls. According to the SEC's order instituting a settled administrative proceeding, Anthony T. Vicidomine, the sole principal of North East Capital, LLC (North East), an unregistered investment adviser, misappropriated $189,415 from the North East Capital Fund LP (the Fund), a pooled investment vehicle he managed, by charging the fund unearned "incentive fees." Vicidomine disbursed the monies directly into his own personal account, to his other business ventures, and to North East to pay his personal expenses. Additionally, Vicidomine and North East made misrepresentations, both orally and in writing, concerning Vicidomine's own investment in the Fund and the policies and procedures Vicidomine and North East employed to minimize investors' risk of losses. Based on the above, the Commission ordered Vicidomine and North East to cease and desist from committing or causing any violations and any future violations of Sections 5 and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. Vicidomine and North East agreed to pay disgorgement of $189,415 plus prejudgment interest of $6,717.04 as well as a civil monetary penalty of $150,000. Vicidomine is subject to a collateral industry bar and investment company bar, with the right to apply for reentry after five years. Vicidomine and North East consented to the issuance of the Order without admitting or denying any of the findings. (Rel. 33-9442) In the Matter of Marcellous S. McZealThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions (the Order) against Marcellous S. McZeal (McZeal). The Order finds that, on July 31, 2013, the Commission filed a complaint against McZeal in SEC v. Gandy et al. (Civil Action No. 4:13-cv-2233 (S.D. Tex.)) and that, on August 1, 2013, the court entered a final judgment permanently enjoining McZeal by consent from future violations of Sections 5 and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Based on the above, the Order suspends McZeal from appearing or practicing before the Commission as an attorney. McZeal consented to the issuance of the Order without admitting or denying its findings, except he admitted the Commission's jurisdiction, the filing of the complaint, and the entry of the injunction. (Rel. 34-70221) In the Matter of Jonathan S. Bristol, Esq.The Commission announced today that it has suspended Jonathan S. Bristol ("Bristol") from appearing or practicing before the Commission. This action follows Bristol's criminal conviction for conspiracy to commit money laundering, and subsequent permanent disbarment, by consent, from the practice of law in New Jersey. On December 16, 2010, the Commission added Bristol as a defendant to a civil action, SEC v. Kenneth Ira Starr, et al., 10 Civ. 4270 (S.D.N.Y.), filed against investment advisor Kenneth Starr ("Starr"), alleging that Bristol aided and abetted Starr's scheme to misappropriate millions of dollars from Starr's investment advisory clients. The same day, the United States Attorney for the Southern District of New York filed a criminal action against Bristol. On May 2, 2011, Bristol pleaded guilty to one count of conspiracy to commit money laundering arising from helping Starr defraud his clients and concealing Starr's criminal conduct by using two separate attorney trust fund accounts that were under his control to launder Starr's misappropriated funds. As part of his guilty plea, Bristol agreed to pay $18.8 million in criminal restitution. On December 18, 2012, Bristol was sentenced to time served and three years of supervised release. On May 8, 2013, Bristol was permanently disbarred by consent from the New Jersey bar. The Commission's Order was based on Bristol's criminal conviction and permanent disbarment from the practice of law in New Jersey. (Rel. 34-70219) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by BOX Options Exchange LLC regarding continuing education for registered persons (SR-BOX-2013-41) 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 19th. (Rel. 34-70224) The Chicago Mercantile Exchange Inc. (CME) filed a proposed rule change (File No. SR-CME-2013-15) under Section 19(b)(1) of the Securities Exchange Act of 1934 regarding the benchmark used in connection with settling CME Palm Oil Futures and CME Palm Oil Swaps. Publication is expected in the Federal Register during the week of August 19th. (Rel. 34-70220) Notice of Proposed Rule ChangeThe Options Clearing Corporation (OCC) filed a proposed rule change (File No. SR-OCC-2013-13) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to the use of manual signatures, reduction of segregated long positions in accounts with aggregated long positions, requirements to be physically present, and other technical changes to OCC's By-Laws and Rules to better reflect current operational practices. Publication is expected in the Federal Register during the week of August 19th. (Rel. 34-70225) 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 CU Bancorp, 15821 VENTURA BOULEVARD, SUITE 100, ENCINO, CA, 91436,
(818) 257-7779 - 1,535,352 ($27,252,498.00) Equity, (File 333-190625 -
Aug. 15) (BR. 07)
S-8 DIEBOLD INC, P.O. BOX 3077, 5995 MAYFAIR RD, NORTH CANTON, OH,
44720-8077, 3304904000 - 0 ($464,202.47) Equity, (File 333-190626 -
Aug. 15) (BR. 03B)
S-8 INTERLEUKIN GENETICS INC, 135 BEAVER ST, WATHAM, MA, 02452,
1-781-398-0700 - 11,295,500 ($4,518,200.00) Equity, (File 333-190627 -
Aug. 15) (BR. 01A)
S-8 Mellanox Technologies, Ltd., 350 OAKMEAD PARKWAY, SUITE 100, SUNNYVALE,
CA, 94085, 408-970-3400 - 0 ($6,654,592.00) Equity, (File 333-190631 -
Aug. 15) (BR. 10B)
N-2 ABERDEEN AUSTRALIA EQUITY FUND INC, 1735 MARKET STREET, 32ND FLOOR,
PHILADELPHIA, PA, 19103, 215-405-5700 - 0 ($1,000,000.00) Equity,
(File 333-190632 - Aug. 15) (BR. 17)
S-8 SAFEWAY INC, 5918 STONERIDGE MALL RD, PLEASANTON, CA, 94588,
9254673000 - 0 ($124,100,000.00) Equity, (File 333-190634 - Aug. 15)
(BR. 02A)
S-1 NANOANTIBIOTICS, INC., 9511 COLLINS AVENUE, SUITE 807, SURFSIDE, FL,
33154, 3055154118 - 10,000,000 ($3,000,000.00) Equity,
(File 333-190635 - Aug. 15) (BR. 01)
S-8 Crexendo, Inc., 1615 S. 52ND STREET, TEMPE, AZ, 85281, 8012270004 -
6,313,634 ($21,945,126.98) Equity, (File 333-190636 - Aug. 15) (BR. 03B)
S-8 STRATUS PROPERTIES INC, 212 LAVACA STREET, SUITE 300, AUSTIN, TX,
78701, 5124785788 - 180,000 ($2,303,100.00) Equity, (File 333-190637 -
Aug. 15) (BR. 08C)
S-3 INNERWORKINGS INC, 600 WEST CHICAGO, SUITE 750, CHICAGO, IL, 60610,
312-642-3700 - 766,670 ($9,115,706.30) Equity, (File 333-190638 -
Aug. 15) (BR. 05B)
S-8 ENDURANCE SPECIALTY HOLDINGS LTD, WELLESLEY HOUSE, 90 PITTS BAY ROAD,
PEMBROKE, D0, 00000, 441-278-0400 - 1,508,890 ($79,397,791.80) Equity,
(File 333-190639 - Aug. 15) (BR. 01B)
S-8 ANGIODYNAMICS INC, 14 PLAZA DRIVE, LATHAM, NY, 12110, 5187981215 -
2,500,000 ($29,375,000.00) Equity, (File 333-190640 - Aug. 15) (BR. 10A)
F-3ASR UNITED BREWERIES CO INC, AHUMADA 131, SANTIAGO CHILE, F3, 00000,
2125305000 - 0 ($0.00) Equity, (File 333-190641 - Aug. 15) (BR. 09A)
S-3 ANGIODYNAMICS INC, 14 PLAZA DRIVE, LATHAM, NY, 12110, 5187981215 -
9,433,008 ($110,837,844.00) Equity, (File 333-190642 - Aug. 15)
(BR. 10A)
S-1 Ophthotech Corp., 5 VAUGHN DRIVE, SUITE 106, PRINCETON, NJ, 08540,
609-945-6050 - 0 ($85,000,000.00) Equity, (File 333-190643 - Aug. 15)
(BR. 01B)
S-4 UNION FIRST MARKET BANKSHARES CORP, 1051 EAST CARY STREET, SUITE 1200,
RICHMOND, VA, 23219, 8046322103 - 0 ($496,892,439.00) Equity,
(File 333-190644 - Aug. 15) (BR. 07B)
S-3 PETROQUEST ENERGY INC, 400 E KALISTE SALOOM RD SUITE 6000, LAFAYETTE,
LA, 70508, 3372327028 -
0 ($350,000,000.00) Unallocated (Universal) Shelf, (File 333-190645 -
Aug. 15) (BR. 04A)
S-8 HNI CORP, 408 EAST SECOND STREET - PO BOX 1109, MUSCATINE, IA,
52761-7109, 5632727400 - 4,000,000 ($152,240,000.00) Equity,
(File 333-190646 - Aug. 15) (BR. 06B)
S-1 RED METAL RESOURCES, LTD., 195 PARK AVENUE, THUNDER BAY, A6, P7B 1B9,
807-345-5380 - 15,000,000 ($750,000.00) Equity, (File 333-190647 -
Aug. 15) (BR. 09A)
S-4 PETROQUEST ENERGY INC, 400 E KALISTE SALOOM RD SUITE 6000, LAFAYETTE,
LA, 70508, 3372327028 - 0 ($200,000,000.00) Debt, (File 333-190648 -
Aug. 15) (BR. 04A)
S-3 Fibrocell Science, Inc., 405 EAGLEVIEW BOULEVARD, EXTON, PA, 19341,
484-713-6000 - 0 ($100,000,000.00) Equity, (File 333-190649 - Aug. 15)
(BR. 01A)
S-8 Fibrocell Science, Inc., 405 EAGLEVIEW BOULEVARD, EXTON, PA, 19341,
484-713-6000 - 0 ($11,600,000.00) Equity, (File 333-190650 - Aug. 15)
(BR. 01A)
S-3 LPATH, INC, 4025 SORRENTO VALLEY BLVD., SAN DIEGO, CA, 92121-1404,
858-678-0800 - 0 ($31,830,000.00) Unallocated (Universal) Shelf,
(File 333-190651 - Aug. 15) (BR. 01A)
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 1ST CONSTITUTION BANCORP NJ 8.01,9.01 08/14/13 1ST CONSTITUTION BANCORP NJ 1.01,7.01,9.01 08/14/13 ADHEREX TECHNOLOGIES INC 5.02,9.01 08/14/13 AEROFLEX HOLDING CORP. DE 2.02,9.01 08/15/13 Affinion Group Holdings, Inc. DE 5.02 08/09/13 AFS SenSub Corp. 8.01,9.01 08/15/13 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 08/15/13 ALLIANCE FIBER OPTIC PRODUCTS INC CA 8.01,9.01 08/15/13 Aly Energy Services, Inc. DE 8.01,9.01 08/15/13 American Caresource Holdings, Inc. DE 2.02 08/13/13 AMERICAN EXPRESS CO NY 7.01 08/15/13 AMERICAN MEDIA INC DE 2.02,9.01 08/15/13 American Midstream Partners, LP DE 1.01,3.02,5.03,9.01 08/09/13 AMERICAN REALTY INVESTORS INC NV 2.02,9.01 08/14/13 AMERICAN SPECTRUM REALTY INC MD 2.02,9.01 08/15/13 AMERICAN WOODMARK CORP VA 5.02,9.01 08/09/13 AMERISTAR CASINOS INC NV 1.01,1.02,2.01, 08/13/13 2.03,3.01,3.03,5.01,5.02,5.03 AMES NATIONAL CORP IA 8.01,9.01 08/14/13 AmpliTech Group, Inc. NV 4.01,9.01 08/06/13 Amtrust Financial Services, Inc. DE 1.01,2.03,8.01,9.01 08/12/13 APPLIED DNA SCIENCES INC DE 8.01 08/14/13 APPLIED MATERIALS INC /DE DC 2.02,9.01 08/15/13 ARC Group Worldwide, Inc. UT 5.02,8.01,9.01 08/07/13 Argo Group International Holdings, Lt 7.01,9.01 08/14/13 Ascent Solar Technologies, Inc. DE 1.01,3.02,5.02,9.01 08/15/13 ASPEN TECHNOLOGY INC /DE/ DE 2.02,9.01 08/15/13 ASTEA INTERNATIONAL INC DE 2.02,9.01 08/15/13 ASURE SOFTWARE INC DE 2.02,9.01 08/14/13 Athlon Energy Inc. DE 5.02,7.01,9.01 08/07/13 ATOSSA GENETICS INC DE 5.07 05/06/13 AMEND AUXILIO INC NV 2.02,9.01 08/13/13 AXION INTERNATIONAL HOLDINGS, INC. CO 2.02,9.01 08/14/13 AxoGen, Inc. MN 8.01,9.01 08/15/13 Bacterin International Holdings, Inc. DE 5.02,9.01 08/14/13 BANK JOS A CLOTHIERS INC /DE/ DE 2.02,9.01 08/15/13 BAY BANKS OF VIRGINIA INC VA 8.01,9.01 08/15/13 Behringer Harvard Opportunity REIT II MD 7.01,9.01 08/15/13 BERKSHIRE HATHAWAY INC DE 8.01,9.01 08/15/13 BIO-PATH HOLDINGS INC UT 2.02,9.01 08/15/13 BioMed Realty Trust Inc DE 9.01 06/03/13 AMEND BioScrip, Inc. DE 8.01,9.01 08/14/13 BRIGGS & STRATTON CORP WI 2.02,9.01 08/15/13 BUCKEYE TECHNOLOGIES INC DE 5.02,9.01 08/12/13 BUCKEYE TECHNOLOGIES INC DE 5.07,7.01,8.01,9.01 08/15/13 C&J Energy Services, Inc. DE 5.02,9.01 08/15/13 CABELAS INC DE 7.01,9.01 08/15/13 CACHE INC DE 1.01,3.03,5.02, 08/14/13 5.03,5.07,9.01 CADENCE PHARMACEUTICALS INC 5.02 08/14/13 CALLAWAY GOLF CO DE 1.01,3.02,8.01,9.01 08/15/13 CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 08/15/13 CASEYS GENERAL STORES INC IA 7.01 08/15/13 Castle Brands Inc FL 2.02,9.01 08/14/13 CATALYST PHARMACEUTICAL PARTNERS, INC DE 8.01,9.01 08/15/13 Celator Pharmaceuticals Inc DE 2.02,9.01 08/15/13 CENTURY ALUMINUM CO DE 2.01,9.01 06/01/13 AMEND CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 08/15/13 CHINA FUND INC MD 7.01,9.01 07/31/13 ChinaNet Online Holdings, Inc. NV 2.02,9.01 08/15/13 CION Investment Corp MD 2.02,5.02,9.01 08/15/13 CISCO SYSTEMS, INC. CA 2.05 08/14/13 CLEARSIGN COMBUSTION CORP WA 7.01,9.01 08/14/13 CNL LIFESTYLE PROPERTIES INC MD 2.02,9.01 08/15/13 Co-Signer, Inc. NV 1.01,2.01,3.02, 08/12/13 5.02,5.03,8.01,9.01 Cole Real Estate Investments, Inc. MD 8.01,9.01 08/15/13 COLUMBIA PROPERTY TRUST, INC. MD 5.03,9.01 08/14/13 Comjoyful International Co NV 5.02,9.01 08/09/13 COMMUNITY BANK SHARES OF INDIANA INC IN 2.02,9.01 08/14/13 COMPUTER SCIENCES CORP NV 5.07,8.01 08/13/13 CONSOLIDATED WATER CO LTD E6 2.02,9.01 08/09/13 Constellation Energy Partners LLC DE 2.02,9.01 08/14/13 CONTINENTAL MATERIALS CORP DE 2.02,9.01 08/14/13 CorMedix Inc. DE 2.02,5.02,9.01 08/14/13 Coronus Solar Inc. A1 1.01,7.01,9.01 08/15/13 COSI INC DE 2.02,7.01,9.01 08/15/13 CRC Health CORP DE 2.02,9.01 08/15/13 Crexendo, Inc. DE 5.02 08/14/13 CST Brands, Inc. DE 7.01 08/14/13 CU Bancorp CA 7.01,9.01 08/14/13 CURIS INC DE 5.02,8.01,9.01 08/12/13 Cynk Technology Corp. NV 8.01 08/14/13 Data Storage Corp NV 1.01,2.03,3.02,9.01 08/09/13 DEAN FOODS CO DE 5.03,8.01,9.01 08/14/13 DELL INC DE 2.02,9.01 08/15/13 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 08/15/13 DIEBOLD INC OH 2.02,9.01 08/14/13 DISCOUNT DENTAL MATERIALS, INC. NV 1.01,9.01 08/12/13 Discover Financial Services DE 7.01,9.01 08/15/13 DNA PRECIOUS METALS INC. NV 5.02 08/12/13 DOLLAR TREE INC VA 7.01,9.01 08/15/13 DORAL FINANCIAL CORP PR 8.01 08/14/13 DORAL FINANCIAL CORP PR 2.02,9.01 08/15/13 DOUBLE EAGLE PETROLEUM CO MD 1.02,5.02 08/12/13 DOVER SADDLERY INC 1.01,5.02,9.01 08/15/13 DOW CHEMICAL CO /DE/ DE 7.01 08/15/13 DRINKS AMERICAS HOLDINGS, LTD DE 1.01,2.03,9.01 08/09/13 DTS, INC. DE 2.02,9.01 08/15/13 EASTMAN KODAK CO NJ 8.01,9.01 08/15/13 EASTON-BELL SPORTS, INC. DE 2.02,9.01 08/13/13 Edgen Group Inc. DE 7.01,9.01 08/15/13 ELECTRO RENT CORP CA 2.02,9.01 08/14/13 Ellington Residential Mortgage REIT MD 2.02,7.01,9.01 08/14/13 EMERSON RADIO CORP DE 2.02,9.01 08/15/13 EMPIRE RESORTS INC DE 1.01,9.01 08/14/13 Energy Transfer Partners, L.P. DE 8.01,9.01 08/15/13 Ensco plc 7.01,9.01 08/15/13 ENTERPRISE FINANCIAL SERVICES CORP DE 3.02,9.01 08/15/13 ESTEE LAUDER COMPANIES INC DE 2.02,9.01 08/15/13 Facebook Inc 1.01,1.02,2.03,9.01 08/15/13 Federal Home Loan Bank of Atlanta X1 2.03 08/12/13 Federal Home Loan Bank of Chicago X1 2.03 08/13/13 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 08/12/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 08/13/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/15/13 Federal Home Loan Bank of New York X1 2.03,9.01 08/13/13 Federal Home Loan Bank of New York X1 8.01,9.01 08/15/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/12/13 Federal Home Loan Bank of San Francis X1 2.03 08/12/13 Federal Home Loan Bank of Topeka 2.03,9.01 08/12/13 FIELDPOINT PETROLEUM CORP CO 7.01,9.01 08/15/13 Fifth Street Finance Corp DE 8.01,9.01 08/15/13 FINISAR CORP DE 8.01,9.01 08/09/13 First Community Financial Partners, I IL 8.01 08/12/13 FIRST MARBLEHEAD CORP 2.02,9.01 08/15/13 FIRST UNITED CORP/MD/ MD 2.02,9.01 08/14/13 FIRSTBANK CORP MI 1.01,5.02,8.01,9.01 08/14/13 FLEXSTEEL INDUSTRIES INC MN 2.02,9.01 08/14/13 FLOWSERVE CORP NY 5.02,5.03,9.01 08/13/13 FREEPORT MCMORAN COPPER & GOLD INC DE 8.01,9.01 08/15/13 FriendFinder Networks Inc. NV 2.02,9.01 08/14/13 FrogAds, Inc. NV 3.03,5.03,9.01 06/07/13 FSP 303 East Wacker Drive Corp. 7.01,9.01 08/15/13 FSP 50 South Tenth Street Corp 7.01,9.01 08/15/13 FSP GALLERIA NORTH CORP 7.01,9.01 08/15/13 G&K SERVICES INC MN 2.02,9.01 08/15/13 GATEWAY ENERGY CORP/NE DE 9.01 08/15/13 GeoMet, Inc. DE 2.02,9.01 08/15/13 GLOBAL AXCESS CORP NV 1.01,2.03,7.01,9.01 08/09/13 GLOBAL DIGITAL SOLUTIONS INC NJ 5.02,8.01,9.01 08/12/13 GLOBALWISE INVESTMENTS INC NV 2.02,9.01 08/14/13 Golden Minerals Co 4.01,9.01 08/13/13 GRANITE CITY FOOD & BREWERY LTD. MN 2.02,9.01 08/14/13 Graymark Healthcare, Inc. OK 2.02,9.01 08/13/13 Green Automotive Co 1.01,3.02,9.01 06/24/13 GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 08/15/13 GS Valet, Inc. NV 1.01,3.02,5.01, 08/15/13 5.02,9.01 GULF RESOURCES, INC. DE 2.02,9.01 08/09/13 Hallwood Group Inc DE 2.02,8.01 08/14/13 HAWTHORN BANCSHARES, INC. MO 2.02,9.01 08/14/13 HEMISPHERX BIOPHARMA INC DE 5.02 08/12/13 HERCULES OFFSHORE, INC. DE 7.01 08/15/13 HERSHEY CO DE 5.02 08/09/13 Hi-Crush Partners LP de 5.02 08/14/13 HOOPER HOLMES INC NY 2.02,9.01 08/14/13 IDT CORP DE 2.01,9.01 07/31/13 IMMUNOGEN INC MA 8.01 08/08/13 INCOME OPPORTUNITY REALTY INVESTORS I NV 2.02,9.01 08/14/13 InfuSystem Holdings, Inc DE 1.01,5.02,9.01 08/14/13 INLAND REAL ESTATE CORP MD 2.01,9.01 06/03/13 AMEND InsPro Technologies Corp DE 5.07 08/14/13 InsPro Technologies Corp DE 8.01,9.01 08/14/13 INTEGRYS ENERGY GROUP, INC. WI 8.01,9.01 08/12/13 Inteliquent, Inc. 3.01,9.01 08/13/13 INTERLEUKIN GENETICS INC DE 2.02,9.01 08/14/13 INTREXON CORP VA 5.03,9.01 08/13/13 iPayment Holdings, Inc DE 2.02,9.01 08/14/13 iSatori, Inc. DE 2.02,7.01,9.01 08/14/13 JANEL WORLD TRADE LTD NV 5.02 08/15/13 JBI, INC. NV 5.02,7.01,8.01,9.01 08/14/13 JDS UNIPHASE CORP /CA/ DE 7.01,9.01 08/15/13 JPMBB Commercial Mortgage Securities DE 8.01,9.01 08/15/13 Juhl Energy, Inc DE 5.07 08/13/13 KEATING CAPITAL INC 7.01,9.01 08/13/13 KID BRANDS, INC NJ 2.02,9.01 08/15/13 KOHLS Corp WI 2.02,7.01,8.01,9.01 08/15/13 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 08/14/13 LabStyle Innovations Corp. DE 5.02,9.01 08/09/13 LEAR CORP DE 8.01,9.01 08/15/13 Leatt Corp NV 2.02,9.01 08/15/13 Liberator, Inc. FL 8.01,9.01 08/15/13 Liberty Global plc X0 7.01 08/15/13 LIBERTY STAR URANIUM & METALS CORP. NV 1.01,2.03,9.01 08/14/13 LPL Financial Holdings Inc. DE 5.02,8.01,9.01 08/14/13 LSB INDUSTRIES INC DE 1.01,9.01 08/12/13 MACROSOLVE INC OK 4.01,9.01 08/14/13 MamaMancini's Holdings, Inc. NV 1.01,3.02,9.01 08/13/13 Mandalay Digital Group, Inc. DE 1.01,9.01 08/15/13 Marina Biotech, Inc. DE 1.01,3.02,8.01,9.01 08/09/13 Marlin Midstream Partners, LP DE 5.02,9.01 08/14/13 MARTIN MIDSTREAM PARTNERS LP DE 7.01,9.01 08/14/13 MAXIM INTEGRATED PRODUCTS INC DE 8.01 08/15/13 MCGRAW HILL FINANCIAL INC NY 5.02 08/14/13 MEDICINES CO /DE DE 1.01,8.01,9.01 08/13/13 MEDIFAST INC DE 7.01,9.01 08/14/13 Mellanox Technologies, Ltd. L3 8.01 08/15/13 MERCANTILE BANK CORP MI 1.01,8.01,9.01 08/14/13 METLIFE INC DE 8.01,9.01 08/15/13 METRO BANCORP, INC. 7.01,8.01,9.01 08/15/13 MEXCO ENERGY CORP CO 2.02,9.01 08/14/13 Mill City Ventures III, Ltd MN 5.02 08/08/13 AMEND Millennium India Acquisition CO Inc. DE 8.01,9.01 08/15/13 MONDIAL VENTURES, INC. NV 8.01 08/15/13 Morgan Stanley Bank of America Merril DE 8.01,9.01 08/15/13 Motorola Solutions, Inc. DE 8.01 08/15/13 MPG Office Trust, Inc. 1.01,9.01 08/14/13 MRC GLOBAL INC. DE 7.01,9.01 08/15/13 MUNICIPAL MORTGAGE & EQUITY LLC DE 2.02,8.01,9.01 08/15/13 National Bank Holdings Corp DE 7.01,9.01 08/15/13 NAVARRE CORP /MN/ MN 8.01,9.01 08/15/13 NETLIST INC DE 2.02,9.01 08/13/13 Nevada Gold Holdings, Inc. DE 4.01,9.01 08/09/13 NORDSTROM INC WA 2.02,7.01,9.01 08/15/13 NORTHEAST BANCORP /ME/ ME 5.02,9.01 08/15/13 Northern Tier Energy LP DE 1.01,7.01,9.01 08/13/13 NTS, INC. NV 2.02,7.01,9.01 08/15/13 NUTRI SYSTEM INC /DE/ DE 1.01,9.01 08/13/13 Nuverra Environmental Solutions, Inc. DE 7.01,9.01 08/13/13 NV ENERGY, INC. NV 2.03 08/15/13 Oconee Federal Financial Corp. 2.02,9.01 08/15/13 OMNI BIO PHARMACEUTICAL, INC. CO 5.02 08/09/13 OMNICARE INC DE 8.01,9.01 08/09/13 OMNICOMM SYSTEMS INC DE 5.07 08/01/13 OMNICOMM SYSTEMS INC DE 5.02 08/13/13 ON SEMICONDUCTOR CORP DE 5.02 08/14/13 Onstream Media CORP FL 2.02,9.01 08/15/13 OptimizeRx Corp NV 1.01,3.02,5.02,9.01 08/14/13 Otter Tail Corp MN 5.02 08/15/13 OVERSEAS SHIPHOLDING GROUP INC DE 7.01 08/15/13 Owens Realty Mortgage, Inc. MD 8.01,9.01 08/15/13 PACIFIC MERCANTILE BANCORP CA 2.02,9.01 08/12/13 PACWEST BANCORP DE 9.01 05/31/13 AMEND PEOPLESTRING CORP DE 1.01,9.01 08/09/13 PERMA FIX ENVIRONMENTAL SERVICES INC DE 8.01 08/14/13 PERRIGO CO MI 2.02,8.01,9.01 08/15/13 Petron Energy II, Inc. NV 3.03,5.02,9.01 08/15/13 Pharmagen, Inc. NV 3.02,9.01 08/09/13 PHL VARIABLE INSURANCE CO /CT/ 7.01 08/15/13 PHOENIX COMPANIES INC/DE DE 2.02,7.01,9.01 08/15/13 PILGRIMS PRIDE CORP DE 7.01,9.01 08/14/13 PINNACLE ENTERTAINMENT INC. DE 1.01,1.02,2.01, 08/13/13 2.03,2.04,3.03,5.02,8.01,9.01 PIONEER POWER SOLUTIONS, INC. DE 2.02,9.01 08/14/13 PLAINS ALL AMERICAN PIPELINE LP DE 1.01,9.01 08/15/13 PLC SYSTEMS INC B0 2.02,9.01 08/14/13 PNC FINANCIAL SERVICES GROUP, INC. PA 5.02,5.03,9.01 08/12/13 PORTOLA PHARMACEUTICALS INC DE 2.02,9.01 08/15/13 Power REIT MD 2.02,9.01 08/15/13 POWIN CORP 5.07 06/12/13 AMEND PRECISION CASTPARTS CORP OR 5.02,5.03,5.07, 08/15/13 8.01,9.01 PROCTER & GAMBLE Co OH 8.01,9.01 08/15/13 PROGRESS ENERGY INC NC 7.01,9.01 06/30/13 Prologis, Inc. MD 2.03,8.01,9.01 08/15/13 Provision Holding, Inc. NV 8.01 04/12/13 PRUDENTIAL FINANCIAL INC NJ 9.01 08/15/13 PYRAMID OIL CO CA 2.02,9.01 08/14/13 QUALITY DISTRIBUTION INC FL 5.03,7.01,8.01,9.01 08/14/13 RADIOSHACK CORP DE 5.02 08/14/13 RAMBO MEDICAL GROUP, INC. 4.01,9.01 08/13/13 RED ROBIN GOURMET BURGERS INC DE 2.02,9.01 08/15/13 REVLON CONSUMER PRODUCTS CORP DE 2.03,9.01 08/14/13 REVLON CONSUMER PRODUCTS CORP DE 7.01,9.01 08/15/13 REVLON INC /DE/ DE 1.01,2.03,9.01 08/14/13 REVLON INC /DE/ DE 7.01,9.01 08/15/13 Revolution Lighting Technologies, Inc DE 1.01,3.02,9.01 08/09/13 Rock-Tenn CO GA 7.01,9.01 08/15/13 RPC INC DE 8.01,9.01 08/12/13 SAFEWAY INC DE 2.02,8.01,9.01 08/14/13 SALON MEDIA GROUP INC DE 2.02,9.01 08/14/13 SANUWAVE Health, Inc. NV 2.02,7.01,9.01 08/14/13 SCHNITZER STEEL INDUSTRIES INC OR 5.02 08/10/13 SECURE IT CORP DE 5.02 07/31/13 SEFE, INC. NV 3.02 08/07/13 Simplicity Bancorp, Inc. 8.01,9.01 08/09/13 Simplicity Bancorp, Inc. 2.02,9.01 08/14/13 SIRIUS XM RADIO INC. DE 7.01,9.01 08/15/13 SLAVIA, CORP. NV 5.03,8.01,9.01 08/14/13 SLM FUNDING LLC DE 9.01 08/15/13 SLM FUNDING LLC DE 1.01,2.01,9.01 08/15/13 SOURCEFIRE INC DE 8.01,9.01 08/14/13 SPHERIX INC DE 8.01,9.01 08/15/13 SquareTwo Financial Corp DE 2.02,9.01 08/15/13 STAGE STORES INC NV 8.01,9.01 08/15/13 State Auto Financial CORP OH 8.01 08/09/13 STOCK BUILDING SUPPLY HOLDINGS, INC. DE 1.01,5.02,5.03, 08/14/13 8.01,9.01 STRATS TRUST FOR SPRINT CAP CORP SEC DE 8.01 08/08/13 AMEND SUNOCO LOGISTICS PARTNERS L.P. DE 1.01,1.02,2.03 08/15/13 SUPERTEL HOSPITALITY INC VA 2.02,9.01 08/14/13 SUPERTEL HOSPITALITY INC VA 1.01,3.03,5.03,9.01 08/09/13 Swisher Hygiene Inc. DE 5.02 08/09/13 SYMMETRICOM INC DE 5.02 08/09/13 Sync2 Networks Corp NV 5.02,9.01 07/18/13 T-Mobile US, Inc. DE 8.01,9.01 08/14/13 TABLE TRAC INC NV 5.07 06/18/13 TAIWAN FUND INC DE 7.01,9.01 07/31/13 TC GLOBAL, INC. WA 1.01,1.02,2.01,5.02, 01/03/13 7.01,9.01 TECUMSEH PRODUCTS CO MI 2.02,9.01 08/12/13 TELETECH HOLDINGS INC DE 5.02 08/14/13 TESCO CORP 5.05,9.01 08/08/13 TIER REIT INC MD 7.01,9.01 08/15/13 Timberline Resources Corp DE 2.02,7.01,9.01 08/14/13 TRANSCONTINENTAL REALTY INVESTORS INC NV 2.02,9.01 08/14/13 TRANSUNION CORP. 5.02,7.01,9.01 08/09/13 TUFCO TECHNOLOGIES INC DE 2.02,9.01 08/13/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 08/15/13 ULURU INC. NV 2.02,9.01 08/15/13 UMB FINANCIAL CORP MO 7.01,9.01 08/15/13 UNITED AIRLINES, INC. DE 8.01,9.01 08/15/13 UNITED COMMUNITY BANKS INC GA 1.01,2.03,8.01,9.01 08/12/13 UNR HOLDINGS INC FL 8.01,9.01 07/25/13 UNWIRED PLANET, INC. DE 2.02,7.01,9.01 08/15/13 VANTAGESOUTH BANCSHARES, INC. 2.03,9.01 08/12/13 VERIFONE SYSTEMS, INC. DE 8.01 08/09/13 VIAD CORP DE 8.01 08/09/13 VIRGINIA ELECTRIC & POWER CO VA 8.01,9.01 08/12/13 VISTAPRINT N.V. P7 5.02 08/13/13 WAL MART STORES INC DE 2.02,9.01 08/14/13 WebMD Health Corp. DE 5.02,9.01 08/11/13 WELLS FARGO & COMPANY/MN DE 9.01 08/15/13 WideOpenWest Finance, LLC DE 2.02,9.01 08/14/13 WILLIS GROUP HOLDINGS PLC L2 1.01,8.01,9.01 08/15/13 WINLAND ELECTRONICS INC MN 2.02,9.01 08/14/13 WireCo WorldGroup Inc. 7.01,9.01 08/15/13 Youngevity International, Inc. 2.02,9.01 08/14/13 http://www.sec.gov/news/digest/2013/dig081613.htm
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