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ENFORCEMENT PROCEEDINGSPhilip Falcone and Harbinger Capital Agree to SettlementThe Securities and Exchange Commission ("Commission") today announced that New York-based hedge fund adviser Philip A. Falcone and his advisory firm Harbinger Capital Partners have agreed to a settlement in which they must pay more than $18 million and admit wrongdoing. Falcone also agreed to be barred from the securities industry for at least five years. The SEC filed enforcement actions in June 2012 alleging that Falcone improperly used $113 million in fund assets to pay his personal taxes, secretly favored certain customer redemption requests at the expense of other investors, and conducted an improper "short squeeze" in bonds issued by a Canadian manufacturing company. In the settlement papers filed in court today, Falcone and Harbinger admit to multiple acts of misconduct that harmed investors and interfered with the normal functioning of the securities markets. "Falcone and Harbinger engaged in serious misconduct that harmed investors, and their admissions leave no doubt that they violated the federal securities laws," said Andrew Ceresney, Co-Director of the SEC's Division of Enforcement. "Falcone must now pay a heavy price for his misconduct by surrendering millions of dollars and being barred from the hedge fund industry." The settlement, which must be approved by the U.S. District Court for the Southern District of New York, requires Falcone to pay $6,507,574 in disgorgement, $1,013,140 in prejudgment interest, and a $4 million penalty. The Harbinger entities are required to pay a $6.5 million penalty. Falcone has consented to the entry of a judgment barring him from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization with a right to reapply after five years. The bar will allow him to assist with the liquidation of his hedge funds under the supervision of an independent monitor. Among the set of facts that Falcone and Harbinger admitted to in settlement papers filed with the court: • Falcone improperly borrowed $113.2 million from the Harbinger Capital Partners Special Situations Fund (SSF) at an interest rate less than SSF was paying to borrow money, to pay his personal tax obligation, at a time when Falcone had barred other SSF investors from making redemptions, and did not disclose the loan to investors for approximately five months. • Falcone and Harbinger granted favorable redemption and liquidity terms to certain large investors in HCP Fund I, and did not disclose certain of these arrangements to the fund's board of directors and the other fund investors. • During the summer of 2006, Falcone heard rumors that a Financial Services Firm was shorting the bonds of the Canadian manufacturer, and encouraging its customers to do the same. • In September and October 2006, Falcone retaliated against the Financial Services Firm for shorting the bonds by causing the Harbinger funds to purchase all of the remaining outstanding bonds in the open market. • Falcone and the other Defendants then demanded that the Financial Services Firm settle its outstanding transactions in the bonds and deliver the bonds that it owed. Defendants did not disclose at the time that it would be virtually impossible for the Financial Services Firm to acquire any bonds to deliver, as nearly the entire supply was locked up in the Harbinger funds' custodial account and the Harbinger funds were not offering them for sale. • Due to Falcone's and the other Defendants' improper interference with the normal interplay of supply and demand in the bonds, the bonds more than doubled in price during this period. The SEC's investigation was conducted by Conway T. Dodge, Jr., Robert C. Besse, Ken C. Joseph, Mark Salzberg, Brian Fitzpatrick, and David Stoelting. The SEC's litigation was handled by Mr. Stoelting, Mr. Besse, Mr. Salzberg, Kevin McGrath, David J. Gottesman, and Bridget Fitzpatrick. (Press Rel. 2013-159) Commission Charges Robert Narvett and Shield Management Group, Inc.The Commission charged Appleton, Wisconsin resident Robert Narvett and his company Shield Management Group, Inc. ("Shield") with fraud, alleging that he operated a scheme that raised at least $940,000 from twenty investors. In a complaint filed on August 16, 2013, filed in the U.S. District Court for the Eastern District of Wisconsin, the SEC alleges that beginning in at least March 2010, Narvett raised funds though the fraudulent offer and sale of promissory notes issued by Shield. The SEC alleges that in exchange for their money, Narvett guaranteed investors that they would receive their principal investment plus a twenty percent return at the end of a specified term. Although he provided few details regarding how he would use their funds, Narvett told some investors that he would use the money as working capital to build Shield's business. According to the SEC's complaint, instead of using investor money for Shield's business, Narvett misappropriated investor funds for his personal use. Narvett used investor money to, among other things, fund trading in his personal brokerage accounts, purchase a car and to pay for personal expenses such as his mortgage. The SEC complaint alleges violations of Section 17(a) of the Securities Act of 1933 ("Securities Act"), Section 10(b) Securities Exchange Act of 1934 ("Exchange Act"), and Rule 10b-5 thereunder by Narvett and Shield. As part of this action, the SEC seeks an order of permanent injunction against Narvett and Shield, the payment of disgorgement of ill-gotten gains, prejudgment interest and civil penalties. [SEC v. Robert Narvett and Shield Management Group, Inc., Civil Action No. 1:13-cv-00927 (E.D. Wisc.)] (LR-22782) American Technologies Group, Inc.An Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default (Default Order) in American Technologies Group, Inc., Admin. Proc. File No. 3-15379. The Default Order finds that American Technologies Group, Inc., Bonanza Oil & Gas, Inc., and Gulf Coast Oil & Gas, Inc., had securities registered with the Securities and Exchange Commission (Commission) pursuant to Section 12(g) of the Securities Exchange Act of 1934, and it was necessary and appropriate for the protection of investors to revoke the registration of each class of each company's registered securities because each company failed to file required periodic reports with the Commission. (Rel. 34-70226) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by Financial Industry Regulatory Authority, Inc. to amend the Form U4 regarding the reporting of unsatisfied judgments and liens (SR-FINRA-2013-034) 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. 34-70227) A proposed rule change filed by C2 Options Exchange, Incorporated to change the expiration date for most option contracts to the third Friday of the expiration month instead of the Saturday following the third Friday (SR-C2-2013-031) 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 19th. (Rel. 34-70229) Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2 between the Financial Industry Regulatory Authority, Inc. and the Topaz Exchange, LLCThe Commission approved and declared effective a proposed plan between the Financial Industry Regulatory Authority, Inc. and the Topaz Exchange, LLC for the allocation of regulatory responsibilities pursuant to Rule 17d-2 (File No. 4-663). Publication of the proposal is expected to be made in the Federal Register during the week of August 19th. (Rel. 34-70228) The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-1 Mineria Y Exploraciones Olympia, Inc., CALLE SAN PABLO, NO. 8,
BUENOS AIRES, MUNICIPIO MONSENOR NOVEL, G8, 809, 809-970-2353 -
25,000,000 ($50,000.00) Equity, (File 333-190652 - Aug. 16) (BR. 09)
S-1 Springleaf Holdings, LLC, 601 N.W. SECOND STREET, EVANSVILLE, IN,
47708, (812) 424-8031 - 0 ($50,000,000.00) Equity, (File 333-190653 -
Aug. 16) (BR. 07)
S-4 ARCH COAL INC, CITY PLACE ONE STE 300, ARCH MINERAL CORP, ST LOUIS, MO,
63141, 3149942700 - 0 ($375,000,000.00) Debt, (File 333-190654 -
Aug. 16) (BR. 09A)
S-8 SodaStream International Ltd., GILBOA STREET, AIRPORT CITY,
BEN GURION AIRPORT 70100, L3, 70100, 972 (3) 976-2323 -
900,000 ($38,047,099.00) Equity, (File 333-190655 - Aug. 16) (BR. 11C)
S-1 VESTA INTERNATIONAL, CORP., 56-26 CHONGSHAN MIDDLE RD, 1-5-1, HUANGGU,
SHENYANG, LIAONING, F4, 110031, 8615940503507 -
10,000,000 ($100,000.00) Equity, (File 333-190656 - Aug. 16) (BR. 06)
S-1 UpperSolution.com, 153 W. LAKE MEAD #2240, HENDERSON, NV, 89015,
702-586-1338 - 2,500,000 ($50,000.00) Equity, (File 333-190658 -
Aug. 16) (BR. 03)
S-8 TRIMAS CORP, 2486315400 - 0 ($75,460,000.00) Equity, (File 333-190665 -
Aug. 16) (BR. 06C)
S-8 TRIMAS CORP, 2486315400 - 0 ($3,773,000.00) Equity, (File 333-190666 -
Aug. 16) (BR. 06C)
S-1 House of BODS Fitness, Inc., 1061 SOUTH SUN DRIVE, SUITE #1097,
LAKE MARY, FL, 32746, (407) 221-1294 -
26,040,000 ($2,604,000.00) Equity, (File 333-190667 - Aug. 16) (BR. 05)
F-10 DRAGONWAVE INC, 411 LEGGET DRIVE, SUITE 600, OTTAWA, A6, K2K 3C9,
613-599-9991 - 0 ($80,000,000.00) Unallocated (Universal) Shelf,
(File 333-190674 - Aug. 16) (BR. 11C)
S-11 QTS Realty Trust, Inc., 12851 FOSTER STREET, SUITE 205, OVERLAND PARK,
KS, 66213, 913-814-9988 - 0 ($300,000,000.00) Equity,
(File 333-190675 - Aug. 16) (BR. 08C)
S-8 West End Indiana Bancshares, Inc., 34 SOUTH 7TH STREET, RICHMOND, IN,
47374, (765) 962-9587 - 196,140 ($3,695,335.00) Equity,
(File 333-190676 - Aug. 16) (BR. 07)
S-8 DTS, INC., 5220 LAS VIRGENES ROAD, CALABASAS, CA, 91302, 818 436-1000 -
0 ($9,162,503.96) Equity, (File 333-190677 - Aug. 16) (BR. 03A)
S-8 Nuverra Environmental Solutions, Inc., 14646 N. KIERLAND BLVD,
SUITE 260, SCOTTSDALE, AZ, 85254, 602-903-7802 -
0 ($32,230,000.00) Equity, (File 333-190678 - Aug. 16) (BR. 04B)
S-1 COMMUNITY FINANCIAL SHARES INC, 357 ROOSEVELT ROAD, GLEN ELLYN, IL,
60137, 6305450900 - 0 ($283,470.00) Equity, (File 333-190679 - Aug. 16)
(BR. 07C)
S-8 FOOT LOCKER INC, FOOT LOCKER INC., 112 WEST 34TH STREET, NEW YORK, NY,
10120, 2127204477 - 3,000,000 ($104,370,000.00) Equity,
(File 333-190680 - Aug. 16) (BR. 09B)
S-1 GRAPHON CORP/DE, 1901 S. BASCOM AVENUE, SUITE 660, CAMPBELL, CA, 95008,
8004727466 - 4,652,500 ($2,093,625.00) Equity, (File 333-190681 -
Aug. 16) (BR. 03A)
S-3ASR GATX CORP, 222 WEST ADAMS STREET, CHICAGO, X1, 60606-5314, 3126216200 -
0 ($0.00) Other, (File 333-190682 - Aug. 16) (BR. 05B)
S-8 RADIANT LOGISTICS, INC, 405 114TH AVENUE, SE, THIRD FLOOR, BELLEVUE,
WA, 98004, 425-943-4599 - 0 ($9,574,781.00) Equity, (File 333-190683 -
Aug. 16) (BR. 05B)
S-8 HERTZ GLOBAL HOLDINGS INC, 225 BRAE BOULEVARD, PARK RIDGE, NJ, 07656,
201-307-2000 - 5,000,000 ($122,250,000.00) Equity, (File 333-190684 -
Aug. 16) (BR. 05C)
S-1 VISUALANT INC, 500 UNION STREET, SUITE 420, SEATTLE, WA, 98101,
206-903-1351 - 91,830,000 ($16,128,000.00) Other, (File 333-190685 -
Aug. 16) (BR. 10B)
S-3 BRT REALTY TRUST, 60 CUTTER MILL RD, SUITE 303, GREAT NECK, NY,
11021-3190, 5164663100 - 0 ($50,000,000.00) Other, (File 333-190686 -
Aug. 16) (BR. 08C)
S-3ASR JARDEN CORP, 555 THEODORE FREMD AVE, RYE, NY, 10580, 914 967 9400 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-190687 - Aug. 16)
(BR. 02C)
S-8 LHC Group, Inc, 420 WEST PINHOOK ROAD, LAFAYETTE, LA, 70503,
337-233-1307 - 250,000 ($6,242,500.00) Equity, (File 333-190688 -
Aug. 16) (BR. 09B)
S-3 MeetMe, Inc., 312 CLEMATIS STREET, SUITE 407, WEST PALM BEACH, FL,
33401, 561-491-4181 - 500,000 ($870,000.00) Equity, (File 333-190689 -
Aug. 16) (BR. 11A)
S-1 Exeo Entertainment, Inc., 4478 WAGON TRAIL AVE,, LAS VEGAS, NV, 89118,
702-361-3188 - 510,000 ($25,500.00) Equity, (File 333-190690 - Aug. 16)
(BR. )
S-8 First Community Financial Partners, Inc., 2801 BLACK ROAD, JOLIET, IL,
60435, 815-725-0123 - 100,000 ($271,000.00) Equity, (File 333-190691 -
Aug. 16) (BR. 07)
S-1 MOBIVITY HOLDINGS CORP., 58 W. BUFFALO ST. #200, CHANDLER, AZ, 85225,
866-622-4261 - 95,309,839 ($59,092,100.00) Equity, (File 333-190692 -
Aug. 16) (BR. 03A)
S-8 OSI SYSTEMS INC, 12525 CHADRON AVE, HAWTHORNE, CA, 90250, 3109780516 -
0 ($244,947,500.00) Equity, (File 333-190693 - Aug. 16) (BR. 10B)
S-4 CROWN HOLDINGS INC, ONE CROWN WAY, PHILADELPHIA, PA, 19154,
2156985100 - 0 ($1,000,000,000.00) Debt, (File 333-190694 - Aug. 16)
(BR. 06A)
S-1 Rocket Fuel Inc., 350 MARINE PARKWAY, SUITE 220, REDWOOD SHORES, CA,
94065, 650-595-1300 - 0 ($100,000,000.00) Equity, (File 333-190695 -
Aug. 16) (BR. 03A)
S-8 Envision Healthcare Holdings, Inc., 6200 S. SYRACUSE WAY, SUITE 200,
GREENWOOD VILLAGE, CO, 80111, (303) 495-1200 -
0 ($442,492,049.50) Other, (File 333-190696 - Aug. 16) (BR. 01B)
S-8 Heatwurx, Inc., 6041 SOUTH SYRACUSE WAY, SUITE 315, GREENWOOD VILLAGE,
CO, 80111, 303-532-1641 - 1,650,000 ($2,160,520.00) Equity,
(File 333-190697 - Aug. 16) (BR. 10A)
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
ACCESS MIDSTREAM PARTNERS LP DE 1.01,9.01 08/13/13
ACE Ltd V8 5.03,9.01 08/15/13
Actavis, Inc. NV 5.02,7.01,9.01 08/16/13
AFFYMAX INC DE 8.01 08/15/13
AJS Bancorp, Inc. MD 1.01,8.01,9.01 08/12/13
AK STEEL HOLDING CORP DE 7.01,9.01 08/16/13
Alexza Pharmaceuticals Inc. DE 5.02 08/14/13
ALLIANCEBERNSTEIN HOLDING L.P. DE 8.01,9.01 08/15/13
ALLIANCEBERNSTEIN L.P. DE 8.01,9.01 08/15/13
AMERICAN REALTY CAPITAL HEALTHCARE TR MD 5.03,9.01 08/13/13
AMP Holding Inc. NV 1.01,5.02,9.01 08/15/13
AMREP CORP. OK 5.02 08/15/13
ANGSTRON HOLDINGS Corp NY 4.01,8.01,9.01 08/12/13
AOL Inc. DE 2.05 08/15/13
AP PHARMA INC /DE/ DE 5.02 08/12/13
APPLIED INDUSTRIAL TECHNOLOGIES INC OH 5.02,9.01 08/13/13
APPLIED MATERIALS INC /DE DC 5.02,9.01 08/15/13
ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 5.07 08/15/13
AVID TECHNOLOGY, INC. DE 3.01,9.01 08/16/13
AVISTA CORP WA 1.01,2.03,9.01 08/14/13
Bazaarvoice Inc DE 5.02 08/12/13
Behringer Harvard Opportunity REIT I, MD 7.01,9.01 08/16/13
BEMIS CO INC MO 1.01,9.01 08/12/13
Biota Pharmaceuticals, Inc. DE 5.02,5.08 08/12/13
BOB EVANS FARMS INC DE 5.02,9.01 08/16/13
BOISE CASCADE Co DE 1.01,2.03,9.01 08/15/13
BOSTON PROPERTIES INC DE 9.01 05/30/13 AMEND
BOSTON PROPERTIES LTD PARTNERSHIP DE 9.01 05/30/13 AMEND
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 1.01,9.01 08/14/13
BullsNBears.com, Inc. DE 1.01,7.01,9.01 08/15/13
CA, INC. DE 8.01,9.01 08/16/13
CADENCE PHARMACEUTICALS INC 8.01 08/15/13
Calpian, Inc. TX 5.02 08/15/13
CAPITAL AUTO RECEIVABLES LLC DE 1.01,8.01,9.01 08/14/13
Capital Group Holdings, Inc. MN 1.01,5.01,5.02, 08/14/13
8.01,9.01
Cardium Therapeutics, Inc. DE 8.01,9.01 08/07/13
CBL & ASSOCIATES PROPERTIES INC DE 5.02,7.01,9.01 08/14/13
CBRE GROUP, INC. DE 5.02 08/14/13
CHESAPEAKE ENERGY CORP OK 5.02 08/12/13
CHINA AUTOMOTIVE SYSTEMS INC DE 2.02,9.01 08/14/13
China Carbon Graphite Group, Inc. NV 2.02,9.01 08/15/13
CHINA JO-JO DRUGSTORES, INC. 2.02,9.01 08/16/13
CINCINNATI FINANCIAL CORP OH 7.01,9.01 08/16/13
Citadel EFT, Inc. NV 5.02 08/15/13
CNL Healthcare Properties, Inc. MD 8.01,9.01 08/01/13
CNS RESPONSE, INC. DE 1.01,3.02 08/12/13
COAST DISTRIBUTION SYSTEM INC DE 2.02,9.01 08/14/13
CollabRx, Inc. DE 2.02,9.01 08/13/13
COMCAST CORP PA 5.02,9.01 08/16/13
COMMERCE GROUP CORP /WI/ 8.01 08/09/13
COMMUNITY FINANCIAL SHARES INC DE 5.02,9.01 08/15/13
Corporate Resource Services, Inc. DE 2.02,5.02,9.01 08/16/13
CRACKER BARREL OLD COUNTRY STORE, INC 5.02 08/13/13
CubeSmart MD 2.02,7.01,9.01 08/16/13
DataJack, Inc. NV 4.01,9.01 08/15/13
Diamond Resorts International, Inc. DE 5.02,9.01 08/15/13
DILLARDS INC DE 2.02,9.01 08/14/13
DORAL FINANCIAL CORP PR 7.01,9.01 08/16/13
DSI REALTY INCOME FUND IX CA 4.01 06/30/13
DSI REALTY INCOME FUND VI CA 4.01 06/30/13
DSI REALTY INCOME FUND VII CA 4.01 06/30/13
DSI REALTY INCOME FUND VIII CA 4.01 06/30/13
DSI REALTY INCOME FUND X CA 4.01 06/30/13
DSI REALTY INCOME FUND XI CA 4.01 06/30/13
DTS8 COFFEE COMPANY, LTD. NV 5.02,9.01 08/16/13
Dynamic Energy Alliance Corp FL 5.02,9.01 08/08/13
EAGLE MATERIALS INC DE 5.02 08/12/13
EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 08/16/13
EARTHLINK INC DE 8.01,9.01 08/16/13
EARTHLINK INC DE 8.01,9.01 08/16/13
EASTERN VIRGINIA BANKSHARES INC VA 8.01,9.01 08/16/13
ECOLOCAP SOLUTIONS INC. NV 5.07 08/16/13
eHealth, Inc. DE 7.01,9.01 08/15/13
El Paso Pipeline Partners, L.P. DE 7.01 08/16/13
EMPIRE RESOURCES INC /NEW/ DE 2.02,9.01 08/14/13
EPICEPT CORP 8.01 08/12/13
EQUAL ENERGY LTD. A0 7.01,8.01,9.01 08/15/13
FAMOUS DAVES OF AMERICA INC MN 5.02,9.01 08/12/13
Federal Home Loan Bank of Boston X1 2.03 08/12/13
Fifth Third Auto Trust 2013-1 DE 1.01,8.01,9.01 08/14/13
FINISH LINE INC /IN/ IN 5.02 08/12/13
FIRST BANCORP /PR/ PR 8.01,9.01 08/12/13
FIRST M&F CORP/MS MS 5.04,8.01,9.01 08/15/13
FIRST NATIONAL COMMUNITY BANCORP INC PA 1.01,9.01 08/16/13
FIRST OF LONG ISLAND CORP NY 7.01 08/16/13
FLEXIBLE SOLUTIONS INTERNATIONAL INC NV 2.02,7.01,9.01 08/14/13
Fortune Brands Home & Security, Inc. DE 8.01 08/15/13
Fuse Science, Inc. NV 5.02 08/16/13
GENTEX CORP MI 5.02 08/14/13
GEOPETRO RESOURCES CO CA 3.01,9.01 08/12/13
GEORGIA POWER CO GA 8.01,9.01 08/12/13
GUIDED THERAPEUTICS INC DE 2.02,7.01,9.01 08/16/13
HEALTH MANAGEMENT ASSOCIATES, INC DE 5.02,5.03,5.07,9.01 08/12/13
HEALTH REVENUE ASSURANCE HOLDINGS, IN NV 5.02,8.01,9.01 08/07/13
HedgePath Pharmaceuticals, Inc. DE 1.01,2.01,3.02,3.03, 08/12/13
5.01,5.02,5.03,5.06,9.01
HERTZ GLOBAL HOLDINGS INC 5.02 08/15/13
HomeTrust Bancshares, Inc. MD 8.01,9.01 08/16/13
ICONIX BRAND GROUP, INC. DE 5.02 08/13/13
INGRAM MICRO INC DE 1.01,2.03,9.01 08/15/13
ITC Holdings Corp. MI 1.01,1.02,2.03,5.02,8.01,9.01 08/13/13
J C PENNEY CO INC DE 1.01,9.01 08/15/13
JARDEN CORP DE 8.01,9.01 08/16/13
JDS UNIPHASE CORP /CA/ DE 1.02,8.01,9.01 08/15/13
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 08/16/13
KINDER MORGAN MANAGEMENT LLC DE 7.01 08/16/13
KINDER MORGAN, INC. DE 7.01 08/16/13
KMG CHEMICALS INC TX 9.01 05/31/13 AMEND
L & L ENERGY, INC. NV 1.01,3.02 08/16/13
LADENBURG THALMANN FINANCIAL SERVICES FL 8.01 08/15/13
LAKELAND INDUSTRIES INC DE 1.01,2.03,9.01 08/12/13
LAS VEGAS SANDS CORP NV 7.01,9.01 08/16/13
LEAPFROG ENTERPRISES INC 5.02 08/13/13
LESCARDEN INC NY 4.01,5.02,9.01 08/16/13
Liberty Global plc X0 7.01 08/16/13
INCOLN NATIONAL CORP IN 8.01,9.01 08/16/13
Live Nation Entertainment, Inc. DE 1.01,1.02,2.03, 08/13/13
5.02,8.01,9.01
Lone Pine Resources Inc. DE 8.01,9.01 08/15/13
MAINSTREET BANKSHARES INC VA 8.01 08/14/13
MANNKIND CORP DE 8.01 08/16/13
Market Leader, Inc. WA 5.07 08/16/13
Mastech Holdings, Inc. PA 2.01,7.01,9.01 08/12/13
MAXIM INTEGRATED PRODUCTS INC DE 8.01,9.01 08/15/13
MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01 08/16/13
MGE ENERGY INC WI 8.01,9.01 08/16/13
MICRONET ENERTEC TECHNOLOGIES, INC. DE 5.02 08/12/13
MIMVI, INC. NY 5.02 08/16/13
MMRGlobal, Inc. DE 2.02,9.01 08/15/13
ModusLink Global Solutions Inc DE 5.02 08/13/13
MOHEGAN TRIBAL GAMING AUTHORITY 1.01,1.02,2.03, 08/14/13
2.04,8.01,9.01
Murphy USA Inc. DE 1.01,2.03,7.01,9.01 08/16/13
MusclePharm Corp NV 5.02 08/12/13
NANOPHASE TECHNOLOGIES CORPORATION IL 5.07 08/13/13
NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 1.01,3.03,8.01,9.01 08/15/13
NATIONAL WESTERN LIFE INSURANCE CO CO 8.01 08/16/13
NETLIST INC DE 5.02,9.01 08/15/13
New York & Company, Inc. 5.02 08/12/13
Newport Bancorp Inc 5.07,8.01 08/15/13
Niska Gas Storage Partners LLC DE 7.01,9.01 08/16/13
Niska Gas Storage Partners LLC DE 5.02 08/15/13
NN INC DE 8.01,9.01 08/16/13
NORTHEAST COMMUNITY BANCORP INC X1 4.01,9.01 08/12/13
OCZ TECHNOLOGY GROUP INC DE 1.01,1.02,2.03, 08/12/13
3.02,8.01,9.01
OGE ENERGY CORP. OK 7.01 08/16/13
OLD LINE BANCSHARES INC MD 7.01 08/15/13
ONE LIBERTY PROPERTIES INC MD 8.01 08/12/13
Otter Tail Corp MN 1.01,2.03,9.01 08/14/13
Panache Beverage, Inc. 5.02 08/14/13
PATTERSON COMPANIES, INC. MN 8.01,9.01 08/16/13
PENSECO FINANCIAL SERVICES CORP PA 5.02 08/12/13
PFSWEB INC DE 8.01 08/13/13
PITOOEY!, INC. NV 8.01 08/15/13
PIXELWORKS, INC OR 1.01,8.01,9.01 08/16/13
POWERSECURE INTERNATIONAL, INC. DE 1.01,8.01,9.01 08/15/13
Primo Water Corp DE 8.01,9.01 08/14/13
Prologis, Inc. MD 1.01,2.03,9.01 08/14/13
Prologis, Inc. MD 5.02,9.01 08/13/13
Promap Corp CO 1.01,2.01,3.02, 08/14/13
5.01,5.02,9.01
ProPhase Labs, Inc. NV 2.02,9.01 08/13/13
PROVIDENT COMMUNITY BANCSHARES, INC. 2.02,9.01 08/16/13
Pzena Investment Management, Inc. DE 5.02 08/16/13
QEP Midstream Partners, LP DE 1.01,2.01,3.02, 08/14/13
5.03,9.01
QEP RESOURCES, INC. DE 1.01,2.01,9.01 08/14/13
RAMBUS INC DE 1.01,2.03,3.02, 08/12/13
8.01,9.01
RBC Bearings INC 8.01,9.01 08/16/13
RENASANT CORP MS 8.01,9.01 08/15/13
RENTRAK CORP OR 5.07 08/15/13
RF MICRO DEVICES INC NC 5.07 08/14/13
Riverbed Technology, Inc. DE 5.02,9.01 08/15/13
Rose Rock Midstream, L.P. DE 1.01,9.01 08/13/13
ROYAL BANCSHARES OF PENNSYLVANIA INC PA 2.02,9.01 08/14/13
RREEF Property Trust, Inc. MD 9.01 08/16/13 AMEND
SALON MEDIA GROUP INC DE 5.02,9.01 08/15/13
Samson Oil & Gas LTD C3 1.01,9.01 08/15/13
SCHNITZER STEEL INDUSTRIES INC OR 5.03,9.01 08/15/13
SERVICE CORPORATION INTERNATIONAL TX 5.03,9.01 08/14/13
Shire plc 8.01,9.01 08/16/13
Shire plc 8.01,9.01 08/16/13
SILGAN HOLDINGS INC DE 8.01,9.01 08/13/13
Sky Harvest Energy Corp. NV 5.03,8.01 08/13/13
Solar Power, Inc. CA 2.02,9.01 08/16/13
Solaris Power Cells, Inc. 5.03,7.01,9.01 08/12/13
SORL Auto Parts Inc DE 7.01,9.01 08/14/13
SPORT CHALET INC DE 5.07,7.01,9.01 08/15/13
SPORT CHALET INC DE 2.02,9.01 08/14/13
SPORT CHALET INC DE 1.01,2.03,7.01,9.01 08/14/13
SRA INTERNATIONAL, INC. VA 8.01 08/14/13
Standard Drilling, Inc. 1.01,2.01,3.02, 08/16/13 AMEND
4.01,5.01,5.02,5.06,9.01
Start Scientific, Inc. DE 5.02 08/16/13
STATER BROS HOLDINGS INC DE 2.02,9.01 08/13/13
Steadfast Income REIT, Inc. MD 7.01,9.01 08/16/13
Stereotaxis, Inc. DE 8.01,9.01 08/16/13
SURGLINE INTERNATIONAL, INC. NV 5.02,9.01 06/30/13
Tallgrass Energy Partners, LP DE 7.01,9.01 08/16/13
Technologies Scan Corp A8 1.01,9.01 07/31/13
TEL INSTRUMENT ELECTRONICS CORP NJ 2.02,9.01 08/15/13
Telanetix,Inc DE 7.01 08/14/13
TELETECH HOLDINGS INC DE 8.01,9.01 08/15/13
TORCHLIGHT ENERGY RESOURCES INC NV 8.01 08/14/13
Tower Group International, Ltd. D0 3.01,9.01 08/15/13
TRANS ENERGY INC NV 7.01,9.01 08/13/13
TRANS LUX CORP DE 1.01,2.02,3.03, 08/16/13
8.01,9.01
TransUnion Holding Company, Inc. DE 7.01,9.01 08/16/13
TRANSWITCH CORP /DE DE 8.01,9.01 08/15/13
TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 08/16/13
United Financial Bancorp, Inc. 8.01,9.01 08/15/13
UNITED FIRE GROUP INC 8.01,9.01 08/16/13
UNITED STATIONERS INC DE 5.02,9.01 08/14/13
UniTek Global Services, Inc. DE 2.02,9.01 08/12/13
UNIVEST CORP OF PENNSYLVANIA PA 8.01,9.01 08/16/13
US FOODS, INC. DE 5.02 08/15/13
US NUCLEAR CORP. DE 3.02 08/15/13
VALIDUS HOLDINGS LTD 7.01,9.01 08/16/13
VECTREN CORP IN 8.01 08/13/13
Viacom Inc. DE 8.01,9.01 08/12/13
VISTEON CORP DE 1.01,8.01,9.01 08/12/13
VR Holdings, Inc. DE 1.01,2.03,3.02,9.01 08/16/13
WELLS FARGO & COMPANY/MN DE 9.01 08/16/13
WELLS REAL ESTATE FUND XI L P GA 2.01,9.01 08/12/13
WELLS REAL ESTATE FUND XII LP GA 2.01,9.01 08/12/13
WEST MARINE INC DE 8.01 08/16/13
WESTERN DIGITAL CORP DE 2.02,5.02,9.01 08/14/13
WINDAUS GLOBAL ENERGY INC WY 1.02,1.03,1.04, 05/22/13 AMEND
3.02,4.01,5.01,5.02,5.03,9.01
WisdomTree Investments, Inc. DE 8.01 08/16/13
XPO Logistics, Inc. 2.01,3.02,7.01,9.01 08/15/13
ZYGO CORP DE 2.02,9.01 08/15/13
http://www.sec.gov/news/digest/2013/dig081913.htm
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