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ENFORCEMENT PROCEEDINGSCommission Dismisses Application for Review of FINRA Disciplinary ActionOn remand from the United States Court of Appeals for the Ninth Circuit, the Commission has dismissed an application for review of FINRA disciplinary action taken against Sharemaster, a FINRA member firm and registered broker-dealer. FINRA found that Sharemaster violated Rule 17a-5 of the Securities Exchange Act by filing an annual report that was audited by an accounting firm that was not registered with the PCAOB. FINRA suspended the firm until it filed a compliant annual report. After Sharemaster filed an application for review, FINRA lifted the suspension because Sharemaster filed a compliant annual report. The Commission found that, because the suspension was no longer in effect, there was no final disciplinary sanction within the meaning of Exchange Act Section 19(d) that is subject to review by the Commission. (Rel. No. 34-70290) Investment company ordersAmerican General Life Insurance Company, Et Al.A notice has been issued giving interested persons until September 23, 2013 to request a hearing on an application filed by American General Life Insurance Company, The United States Life Insurance Company in the City of New York, SunAmerica Capital Services, Inc., Variable Separate Account, and FS Variable Separate Account (Applicants). Applicants request an order under Section 6(c) of the Investment Company Act of 1940, exempting them from Sections 2(a)(32), 22(c), and 27(i)(2)(A) of the Act and Rule 22c-1 thereunder, to permit the recapture, under specified circumstances, of payment enhancements previously applied to purchase payments under certain variable flexible premium deferred annuity contracts. (Rel. IC-30681 - August 29, 2013) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by ICE Clear Europe Limited (File No. SR-ICEEU-2013-08) to account for Sections 1471 through 1474 of the U.S. Internal Revenue Code and U.S. Treasury Regulations and other guidance thereunder (commonly known as the Foreign Account Tax Compliance Act or "FATCA") 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 September 2nd. (Rel. 34-70283) A proposed rule change filed by NYSE Arca, Inc. relating to investments in leveraged loans by the Peritus High Yield ETF (SR-NYSEArca-2013-83) 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 September 2nd. (Rel. 34-70284) A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. to extend a TRACE pilot program (SR-FINRA-2013-038) 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 September 2nd. (Rel. 34-70288) A proposed rule change filed by ICE Clear Europe Limited (File No. SR-ICEEU-2013-10) related to the regulatory reporting of swap data 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 September 2nd. (Rel. 34-70281) A proposed rule change filed by the NYSE Arca, Inc. (SR-NYSEARCA-2013-82) to amend the NYSE Arca Options Fee Schedule and NYSE Arca Equities Fee Schedule to provide for fees for a 40 gigabit Liquidity Center Network connection in the exchange data center has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of September 2nd. (Rel. 34-70286) Notice of Proposed Rule ChangeThe Options Clearing Corporation filed a proposed rule change (SR-OCC-2013-10) under Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to amend its Policy Statement adopted under Rule 205 entitled "Back-up Communication Channel to Internet Access." Publication is expected in the Federal Register during the week of September 2nd. (Rel. 34-70289) Approval of a Proposed Rule ChangeThe Commission granted approval of a proposed rule change (SR-NYSEArca-2013-70) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade shares of First Trust Inflation Managed Fund. Publication is expected in the Federal Register during the week of September 2nd. (Rel. 34-70282) 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 LGI Homes, Inc., 1450 LAKE ROBBINS DRIVE, SUITE 430, THE WOODLANDS, TX,
77380, (281) 362-8998 - 0 ($125,000,000.00) Equity, (File 333-190853 -
Aug. 28) (BR. 06A)
S-8 NORTHWEST PIPE CO, 5721 SE COLUMBIA WAY, SUITE 200, VANCOUVER, WA,
98661, 3603976250 - 600,000 ($17,490,000.00) Equity, (File 333-190854 -
Aug. 28) (BR. 06A)
S-4 RAAM Global Energy Co, 1537 BULL LEA ROAD, SUITE 200, LEXINGTON, KY,
40511, 859-253-1300 - 0 ($50,000,000.01) Non-Convertible Debt,
(File 333-190855 - Aug. 28) (BR. 04B)
S-3 HEARTLAND FINANCIAL USA INC, 1398 CENTRAL AVE, DUBUQUE, IA, 52001,
5635892000 - 0 ($75,000,000.00) Equity, (File 333-190856 - Aug. 28)
(BR. 07C)
S-1 Diamond Lane, Inc., 2501 EAST ARAGON BLVD - UNIT 1, SUNRISE, FL, 33313,
954-800-5825 - 3,000,000 ($30,000.00) Equity, (File 333-190857 -
Aug. 28) (BR. 03A)
S-4 PERRIGO Co Ltd, 33 SIR JOHN ROGERSON'S QUAY, DUBLIN, L2, 2,
269-673-8451 - 0 ($16,811,180,432.86) Equity, (File 333-190859 -
Aug. 28) (BR. 01)
S-8 ARCH COAL INC, CITY PLACE ONE STE 300, ARCH MINERAL CORP, ST LOUIS, MO,
63141, 3149942700 - 0 ($14,700,000.00) Equity, (File 333-190861 -
Aug. 28) (BR. 09A)
S-3 MIDAMERICAN ENERGY CO, 666 GRAND AVE, P O BOX 657, DES MOINES, IA,
50306-0657, 5152424300 - 0 ($100,000,000.00) Debt, (File 333-190862 -
Aug. 28) (BR. 02B)
F-3 TASMAN METALS LTD., 1305-1090 W. GEORGIA ST., VANCOUVER, A1, V6E 3V7,
(604) 685-9316 - 25,000,000 ($25,000,000.00) Equity, (File 333-190863 -
Aug. 28) (BR. 09B)
F-3 Prima BioMed Ltd, LEVEL 7, 151 MACQUARIE STREET,
SYDNEY, NEW SOUTH WALES, C3, 2000, 612 9276 1224 -
0 ($60,000,000.00) Equity, (File 333-190864 - Aug. 28) (BR. 01B)
S-3 LRR Energy, L.P., HERITAGE PLAZA, SUITE 4600, 1111 BAGBY STREET,
HOUSTON, TX, 77002, (713) 292-9510 -
0 ($165,000,000.00) Unallocated (Universal) Shelf, (File 333-190865 -
Aug. 28) (BR. 04A)
S-3 California Republic Funding LLC, 1400 NEWPORT CENTER DRIVE SUITE 150,
NEWPORT BEACH, CA, 92660, 949 270-9700 -
0 ($1,000,000.00) Asset-Backed Securities, (File 333-190866 - Aug. 28)
(BR. )
S-8 Biostar Pharmaceuticals, Inc., NO. 588 SHIJI XI AVENUE,
XIANYANG, SHAANXI PROVINCE, F4, 712046, 011-86-29-33686638 -
750,000 ($600,000.00) Equity, (File 333-190867 - Aug. 28) (BR. 01A)
S-8 FUSION-IO, INC., 2855 E. COTTONWOOD PARKWAY, SUITE 100, SALT LAKE CITY,
UT, 84121, 801-424-5500 - 0 ($60,778,312.59) Equity, (File 333-190868 -
Aug. 28) (BR. 03A)
S-3ASR NV ENERGY, INC., 6226 WEST SAHARA AVENUE, LAS VEGAS, NV, 89146,
702-367-5000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-190869 - Aug. 28) (BR. 02B)
S-8 DOCUMENT SECURITY SYSTEMS INC, 36 WEST MAIN ST, SUITE 710, ROCHESTER,
NY, 14614, 585 232 1500 - 6,000,000 ($8,670,000.00) Equity,
(File 333-190870 - Aug. 28) (BR. 03C)
S-8 AUDIOEYE INC, 9070 SOUTH RITA ROAD, SUITE 1450, TUSCON, AZ, 85747,
866-331-5324 - 10,000,000 ($4,500,000.00) Equity, (File 333-190871 -
Aug. 28) (BR. 08C)
N-2 GUGGENHEIM STRATEGIC OPPORTUNITIES FUND, 2455 CORPORATE WEST DRIVE,
LISLE, IL, 60532, 630-505-3700 - 0 ($150,000,000.00) Equity,
(File 333-190872 - Aug. 28) (BR. 16)
S-8 Citizens Community Bancorp Inc., 2174 EASTRIDGE CENTER, EAU CLAIRE, WI,
54701, 715 836 9994 - 597,605 ($4,401,361.00) Equity,
(File 333-190877 - Aug. 28) (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. ENFORCEMENT PROCEEDINGSCommission Dismisses Application for Review of FINRA Disciplinary ActionOn remand from the United States Court of Appeals for the Ninth Circuit, the Commission has dismissed an application for review of FINRA disciplinary action taken against Sharemaster, a FINRA member firm and registered broker-dealer. FINRA found that Sharemaster violated Rule 17a-5 of the Securities Exchange Act by filing an annual report that was audited by an accounting firm that was not registered with the PCAOB. FINRA suspended the firm until it filed a compliant annual report. After Sharemaster filed an application for review, FINRA lifted the suspension because Sharemaster filed a compliant annual report. The Commission found that, because the suspension was no longer in effect, there was no final disciplinary sanction within the meaning of Exchange Act Section 19(d) that is subject to review by the Commission. (Rel. No. 34-70290) Investment company ordersAmerican General Life Insurance Company, Et Al.A notice has been issued giving interested persons until September 23, 2013 to request a hearing on an application filed by American General Life Insurance Company, The United States Life Insurance Company in the City of New York, SunAmerica Capital Services, Inc., Variable Separate Account, and FS Variable Separate Account (Applicants). Applicants request an order under Section 6(c) of the Investment Company Act of 1940, exempting them from Sections 2(a)(32), 22(c), and 27(i)(2)(A) of the Act and Rule 22c-1 thereunder, to permit the recapture, under specified circumstances, of payment enhancements previously applied to purchase payments under certain variable flexible premium deferred annuity contracts. (Rel. IC-30681 - August 29, 2013) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by ICE Clear Europe Limited (File No. SR-ICEEU-2013-08) to account for Sections 1471 through 1474 of the U.S. Internal Revenue Code and U.S. Treasury Regulations and other guidance thereunder (commonly known as the Foreign Account Tax Compliance Act or "FATCA") 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 September 2nd. (Rel. 34-70283) A proposed rule change filed by NYSE Arca, Inc. relating to investments in leveraged loans by the Peritus High Yield ETF (SR-NYSEArca-2013-83) 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 September 2nd. (Rel. 34-70284) A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. to extend a TRACE pilot program (SR-FINRA-2013-038) 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 September 2nd. (Rel. 34-70288) A proposed rule change filed by ICE Clear Europe Limited (File No. SR-ICEEU-2013-10) related to the regulatory reporting of swap data 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 September 2nd. (Rel. 34-70281) A proposed rule change filed by the NYSE Arca, Inc. (SR-NYSEARCA-2013-82) to amend the NYSE Arca Options Fee Schedule and NYSE Arca Equities Fee Schedule to provide for fees for a 40 gigabit Liquidity Center Network connection in the exchange data center has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of September 2nd. (Rel. 34-70286) Notice of Proposed Rule ChangeThe Options Clearing Corporation filed a proposed rule change (SR-OCC-2013-10) under Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to amend its Policy Statement adopted under Rule 205 entitled "Back-up Communication Channel to Internet Access." Publication is expected in the Federal Register during the week of September 2nd. (Rel. 34-70289) Approval of a Proposed Rule ChangeThe Commission granted approval of a proposed rule change (SR-NYSEArca-2013-70) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade shares of First Trust Inflation Managed Fund. Publication is expected in the Federal Register during the week of September 2nd. (Rel. 34-70282) 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 LGI Homes, Inc., 1450 LAKE ROBBINS DRIVE, SUITE 430, THE WOODLANDS, TX,
77380, (281) 362-8998 - 0 ($125,000,000.00) Equity, (File 333-190853 -
Aug. 28) (BR. 06A)
S-8 NORTHWEST PIPE CO, 5721 SE COLUMBIA WAY, SUITE 200, VANCOUVER, WA,
98661, 3603976250 - 600,000 ($17,490,000.00) Equity, (File 333-190854 -
Aug. 28) (BR. 06A)
S-4 RAAM Global Energy Co, 1537 BULL LEA ROAD, SUITE 200, LEXINGTON, KY,
40511, 859-253-1300 - 0 ($50,000,000.01) Non-Convertible Debt,
(File 333-190855 - Aug. 28) (BR. 04B)
S-3 HEARTLAND FINANCIAL USA INC, 1398 CENTRAL AVE, DUBUQUE, IA, 52001,
5635892000 - 0 ($75,000,000.00) Equity, (File 333-190856 - Aug. 28)
(BR. 07C)
S-1 Diamond Lane, Inc., 2501 EAST ARAGON BLVD - UNIT 1, SUNRISE, FL, 33313,
954-800-5825 - 3,000,000 ($30,000.00) Equity, (File 333-190857 -
Aug. 28) (BR. 03A)
S-4 PERRIGO Co Ltd, 33 SIR JOHN ROGERSON'S QUAY, DUBLIN, L2, 2,
269-673-8451 - 0 ($16,811,180,432.86) Equity, (File 333-190859 -
Aug. 28) (BR. 01)
S-8 ARCH COAL INC, CITY PLACE ONE STE 300, ARCH MINERAL CORP, ST LOUIS, MO,
63141, 3149942700 - 0 ($14,700,000.00) Equity, (File 333-190861 -
Aug. 28) (BR. 09A)
S-3 MIDAMERICAN ENERGY CO, 666 GRAND AVE, P O BOX 657, DES MOINES, IA,
50306-0657, 5152424300 - 0 ($100,000,000.00) Debt, (File 333-190862 -
Aug. 28) (BR. 02B)
F-3 TASMAN METALS LTD., 1305-1090 W. GEORGIA ST., VANCOUVER, A1, V6E 3V7,
(604) 685-9316 - 25,000,000 ($25,000,000.00) Equity, (File 333-190863 -
Aug. 28) (BR. 09B)
F-3 Prima BioMed Ltd, LEVEL 7, 151 MACQUARIE STREET,
SYDNEY, NEW SOUTH WALES, C3, 2000, 612 9276 1224 -
0 ($60,000,000.00) Equity, (File 333-190864 - Aug. 28) (BR. 01B)
S-3 LRR Energy, L.P., HERITAGE PLAZA, SUITE 4600, 1111 BAGBY STREET,
HOUSTON, TX, 77002, (713) 292-9510 -
0 ($165,000,000.00) Unallocated (Universal) Shelf, (File 333-190865 -
Aug. 28) (BR. 04A)
S-3 California Republic Funding LLC, 1400 NEWPORT CENTER DRIVE SUITE 150,
NEWPORT BEACH, CA, 92660, 949 270-9700 -
0 ($1,000,000.00) Asset-Backed Securities, (File 333-190866 - Aug. 28)
(BR. )
S-8 Biostar Pharmaceuticals, Inc., NO. 588 SHIJI XI AVENUE,
XIANYANG, SHAANXI PROVINCE, F4, 712046, 011-86-29-33686638 -
750,000 ($600,000.00) Equity, (File 333-190867 - Aug. 28) (BR. 01A)
S-8 FUSION-IO, INC., 2855 E. COTTONWOOD PARKWAY, SUITE 100, SALT LAKE CITY,
UT, 84121, 801-424-5500 - 0 ($60,778,312.59) Equity, (File 333-190868 -
Aug. 28) (BR. 03A)
S-3ASR NV ENERGY, INC., 6226 WEST SAHARA AVENUE, LAS VEGAS, NV, 89146,
702-367-5000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-190869 - Aug. 28) (BR. 02B)
S-8 DOCUMENT SECURITY SYSTEMS INC, 36 WEST MAIN ST, SUITE 710, ROCHESTER,
NY, 14614, 585 232 1500 - 6,000,000 ($8,670,000.00) Equity,
(File 333-190870 - Aug. 28) (BR. 03C)
S-8 AUDIOEYE INC, 9070 SOUTH RITA ROAD, SUITE 1450, TUSCON, AZ, 85747,
866-331-5324 - 10,000,000 ($4,500,000.00) Equity, (File 333-190871 -
Aug. 28) (BR. 08C)
N-2 GUGGENHEIM STRATEGIC OPPORTUNITIES FUND, 2455 CORPORATE WEST DRIVE,
LISLE, IL, 60532, 630-505-3700 - 0 ($150,000,000.00) Equity,
(File 333-190872 - Aug. 28) (BR. 16)
S-8 Citizens Community Bancorp Inc., 2174 EASTRIDGE CENTER, EAU CLAIRE, WI,
54701, 715 836 9994 - 597,605 ($4,401,361.00) Equity,
(File 333-190877 - Aug. 28) (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
1st Financial Services CORP NC 1.01,8.01,9.01 08/28/13
ADEPT TECHNOLOGY INC DE 5.02 07/12/13
ADEPT TECHNOLOGY INC DE 2.02,9.01 08/27/13
ADVANCED CREDIT TECHNOLOGIES INC NV 4.01,9.01 08/23/13
AdvanSource Biomaterials Corp DE 1.01,2.03,7.01,9.01 08/28/13
AK STEEL HOLDING CORP DE 7.01,9.01 08/28/13
AKORN INC LA 1.01,9.01 08/26/13
ALLDIGITAL HOLDINGS, INC. NV 1.01,2.03,3.02,9.01 08/26/13
ALLIED MOTION TECHNOLOGIES INC CO 1.01,7.01,8.01,9.01 08/22/13
ALTERA CORP DE 8.01,9.01 08/28/13
AMERICAN CAPITAL, LTD 1.01,9.01 08/23/13
American Midstream Partners, LP DE 5.02,9.01 08/22/13
AMERICAN PUBLIC EDUCATION INC DE 1.01,7.01,9.01 08/28/13
ANALYSTS INTERNATIONAL CORP 1.01,3.03,5.02,8.01, 08/27/13
9.01
Apple REIT Eight, Inc. VA 2.02,9.01 08/27/13
Apple REIT Nine, Inc. VA 2.02,9.01 08/27/13
Apple REIT Seven, Inc. VA 2.02,9.01 08/27/13
Apple REIT Ten, Inc. VA 2.02,9.01 08/27/13
ARENA PHARMACEUTICALS INC DE 8.01 08/28/13
Armour Residential REIT, Inc. MD 5.02,9.01 08/27/13
ARROW ELECTRONICS INC NY 8.01,9.01 08/27/13
ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 08/28/13
AT&T INC. DE 8.01 08/28/13
AUXILIUM PHARMACEUTICALS INC DE 7.01,8.01,9.01 08/27/13
BAXTER INTERNATIONAL INC DE 1.01,9.01 08/28/13
BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 08/28/13
BioAmber Inc. DE 5.02 08/27/13
BIOTIME INC CA 8.01,9.01 08/26/13
Bluefire Equipment Corp DE 5.02 08/11/13
BON TON STORES INC PA 8.01,9.01 08/27/13
BOOKS A MILLION INC DE 2.02,9.01 08/27/13
BREEZE-EASTERN CORP DE 1.01,2.03,9.01 08/26/13
BRIGHT MOUNTAIN HOLDINGS, INC. NV 1.01,3.02,9.01 08/27/13
BROADCAST INTERNATIONAL INC UT 1.01,3.02,9.01 08/26/13
BROADWAY FINANCIAL CORP \DE\ DE 1.01,3.02,5.01,5.03, 08/22/13
8.01,9.01
BROWN FORMAN CORP DE 2.02,9.01 08/28/13
CANANDAIGUA NATIONAL CORP NY 2.02,9.01 08/26/13
CANANDAIGUA NATIONAL CORP NY 8.01,9.01 08/28/13
CAPELLA EDUCATION CO 5.02 08/22/13
Cardium Therapeutics, Inc. DE 8.01,9.01 08/26/13
CARROLLTON BANCORP MD 7.01,9.01 08/28/13
CASELLA WASTE SYSTEMS INC DE 2.02,9.01 08/28/13
CASH AMERICA INTERNATIONAL INC TX 7.01,9.01 08/28/13
CENTENE CORP 5.03,9.01 08/23/13
CHICOS FAS INC FL 2.02,9.01 08/28/13
Cinedigm Digital Cinema Corp. DE 5.02,9.01 08/22/13
CLOUD PEAK ENERGY INC. DE 7.01,8.01,9.01 08/28/13
CMS ENERGY CORP MI 7.01,9.01 08/28/13
COCA-COLA ENTERPRISES, INC. DE 8.01 08/28/13
CONMED CORP NY 8.01 08/27/13
CoroWare, Inc, DE 4.01 08/15/13 AMEND
CULP INC NC 2.02,9.01 08/28/13
DATAWATCH CORP DE 2.01,3.02,5.03,5.07, 08/28/13
9.01
DELTA APPAREL, INC GA 2.02,5.03,7.01,9.01 08/26/13
DESTINATION XL GROUP, INC. DE 7.01 08/26/13
Development Capital Group, Inc. FL 5.02,9.01 08/27/13
DNB FINANCIAL CORP /PA/ PA 8.01,9.01 08/28/13
DST SYSTEMS INC DE 1.01,9.01 08/23/13
DYCOM INDUSTRIES INC FL 2.02,7.01,9.01 08/27/13
DYCOM INDUSTRIES INC FL 8.01,9.01 08/27/13
EAST COAST DIVERSIFIED CORP NV 5.02,9.01 08/27/13
EASTON-BELL SPORTS, INC. DE 5.02 08/25/13
EGAIN Corp DE 2.02,5.02,9.01 08/28/13
ENDEAVOR IP, INC. 8.01,9.01 08/28/13
ENDO HEALTH SOLUTIONS INC. DE 7.01,9.01 08/28/13
Enertopia Corp. NV 7.01,9.01 08/28/13
ENVIRONMENTAL SCIENCE & TECHNOLOGIES, DE 2.01,3.02,5.06 06/21/13 AMEND
ESCALADE INC IN 1.01,2.03,9.01 08/27/13
EveryWare Global, Inc. DE 5.02 08/12/13
EXPRESS, INC. 2.02,9.01 08/28/13
FEDERAL HOME LOAN MORTGAGE CORP 7.01,9.01 08/28/13
FedFirst Financial Corp 8.01,9.01 08/28/13
FERRELLGAS PARTNERS L P DE 7.01 08/28/13
FIRST CITIZENS BANCSHARES INC /DE/ DE 8.01,9.01 08/28/13
FIRST COLOMBIA GOLD CORP. NV 1.01,3.02,9.01 08/12/13
FIRST FEDERAL BANCSHARES OF ARKANSAS AR 1.01,3.02,9.01 08/23/13
FIRST SOLAR, INC. DE 5.02,9.01 08/28/13
FRANKLIN STREET PROPERTIES CORP /MA/ 2.01,9.01 08/28/13
Fresh Market, Inc. DE 2.02,9.01 08/28/13
FUHUIYUAN INTERNATIONAL HOLDINGS Ltd NV 1.01,9.01 08/22/13
GALECTIN THERAPEUTICS INC NV 7.01,9.01 08/28/13
GeNOsys, Inc. UT 5.02 08/23/13
GLOBAL EARTH ENERGY, INC. NV 1.01,3.02,8.01,9.01 08/28/13
GLOBALSCAPE INC DE 7.01,9.01 08/28/13
GMX RESOURCES INC OK 7.01,9.01 08/23/13
Gordmans Stores, Inc. DE 2.02,9.01 08/28/13
Gordmans Stores, Inc. DE 1.01,2.03,8.01,9.01 08/26/13
GRAINGER W W INC IL 5.02,9.01 08/28/13
GRANDPARENTS.COM, INC. DE 1.01,3.02 08/22/13
Grizzly Gold Corp. FL 4.01,9.01 08/23/13
GUESS INC DE 2.02,9.01 08/28/13
HANMI FINANCIAL CORP DE 5.02 08/26/13
HARRIS CORP /DE/ DE 5.02,9.01 08/23/13
Health Insurance Innovations, Inc. DE 5.02 08/22/13 AMEND
HEARTLAND FINANCIAL USA INC DE 5.02,9.01 08/26/13
HedgePath Pharmaceuticals, Inc. DE 4.01,9.01 08/13/13
HEICO CORP FL 2.02,9.01 08/27/13
HENRY JACK & ASSOCIATES INC DE 5.03,9.01 08/23/13
Hillshire Brands Co MD 5.02 08/22/13
HollyFrontier Corp DE 7.01,9.01 08/27/13
HOMELAND ENERGY SOLUTIONS LLC 8.01,9.01 08/28/13
HORIZON PHARMA, INC. DE 8.01 08/26/13
HPIL HOLDING NV 8.01 08/28/13
HUDSON TECHNOLOGIES INC /NY NY 5.07 08/27/13
Hyatt Hotels Corp DE 1.01,7.01,9.01 08/27/13
HYPERDYNAMICS CORP DE 5.02 08/28/13
IF Bancorp, Inc. MD 2.02,9.01 08/28/13
IMMUNOGEN INC MA 7.01 08/26/13
INDEPENDENT BANK CORP /MI/ MI 1.01,8.01,9.01 08/22/13
INERGY MIDSTREAM, L.P. DE 9.01 06/07/13 AMEND
INVESTORS CAPITAL HOLDINGS LTD MA 5.07 08/20/13 AMEND
JAVELIN MORTGAGE INVESTMENT CORP. MD 5.02,9.01 08/27/13
JOE'S JEANS INC. DE 1.01,9.01 08/23/13
JOY GLOBAL INC DE 2.02,7.01,9.01 08/28/13
Laredo Petroleum Holdings, Inc. DE 7.01 08/28/13
LaSalle Hotel Properties MD 7.01,8.01,9.01 08/28/13
LEMAITRE VASCULAR INC 1.01,7.01,9.01 08/28/13
LILLY ELI & CO IN 5.02,9.01 08/28/13
LIPOSCIENCE INC DE 8.01 08/23/13
LOTON, CORP NV 5.02 08/21/13
LRR Energy, L.P. DE 8.01,9.01 08/28/13
LTX-CREDENCE CORP MA 2.02,9.01 08/28/13
MACKINAC FINANCIAL CORP /MI/ MI 8.01,9.01 08/28/13
MARATHON OIL CORP DE 5.02 08/26/13
MARTHA STEWART LIVING OMNIMEDIA INC DE 5.07 08/27/13
MELA SCIENCES, INC. /NY 3.01 08/22/13
MICRON TECHNOLOGY INC DE 1.02 08/20/13
MILLER ENERGY RESOURCES, INC. TN 5.02,9.01 07/29/13
MILLER ENERGY RESOURCES, INC. TN 5.02,9.01 07/29/13 AMEND
MOHEGAN TRIBAL GAMING AUTHORITY 5.02 08/25/13
NAVISTAR INTERNATIONAL CORP DE 7.01 08/28/13
NEKTAR THERAPEUTICS DE 7.01 08/26/13
Neohydro Technologies Corp. NV 1.01,5.06 07/19/13
ONEOK INC /NEW/ OK 7.01,9.01 08/28/13
ONEOK Partners LP DE 7.01,9.01 08/28/13
PAA NATURAL GAS STORAGE LP DE 8.01,9.01 08/27/13
PACKAGING CORP OF AMERICA 7.01,9.01 08/28/13
Patriot Coal CORP DE 8.01 08/22/13
PCS EDVENTURES COM INC ID 7.01,9.01 08/26/13
PEOPLESTRING CORP DE 8.01 08/27/13
PERRIGO CO MI 8.01,9.01 08/28/13
PLAINS ALL AMERICAN PIPELINE LP DE 8.01,9.01 08/27/13
PREFERRED APARTMENT COMMUNITIES INC MD 5.03,9.01 08/23/13
PREMIER BIOMEDICAL INC NV 3.02,9.01 08/22/13
PREMIER FINANCIAL BANCORP INC KY 7.01,9.01 08/28/13
RBC LIFE SCIENCES, INC. DE 8.01,9.01 08/28/13
READING INTERNATIONAL INC NV 8.01,9.01 08/27/13
REALTY INCOME CORP MD 1.01,2.03,9.01 08/27/13
Red Giant Entertainment, Inc. NV 4.01,9.01 04/03/13 AMEND
RELIABRAND INC. NV 7.01,9.01 08/27/13
REPLIGEN CORP DE 5.02 08/22/13
Resource Real Estate Opportunity REIT MD 8.01 08/22/13
ROYAL MINES & MINERALS CORP NV 5.03,5.07,9.01 08/22/13
RUBY TUESDAY INC GA 5.02,9.01 08/26/13
SaasMAX, Inc. NV 7.01 08/27/13
SAExploration Holdings, Inc. DE 2.01,2.02,9.01 06/24/13 AMEND
SAExploration Holdings, Inc. DE 4.02 08/19/13 AMEND
SCHNITZER STEEL INDUSTRIES INC OR 5.02,9.01 08/10/13 AMEND
SERENA SOFTWARE INC DE 8.01 08/27/13
Silicon Graphics International Corp DE 1.01,5.02,9.01 08/26/13
Skyline Medical Inc. MN 1.01,9.01 08/22/13
Standard Gold Holdings, Inc. NV 5.07 08/23/13
STOCK BUILDING SUPPLY HOLDINGS, INC. DE 2.02,9.01 08/28/13
Strategic Realty Trust, Inc. MD 7.01,9.01 08/28/13
STRATTEC SECURITY CORP WI 5.02 08/26/13
SUJA MINERALS, CORP NV 5.02,5.03 08/22/13
Sunshine Financial Inc MD 5.03,8.01,9.01 08/27/13
SWS GROUP INC DE 2.02,9.01 08/28/13
TEMPUR SEALY INTERNATIONAL, INC. DE 8.01 08/27/13
Texas Roadhouse, Inc. DE 8.01,9.01 08/28/13
Texas Roadhouse, Inc. DE 5.02 06/26/13 AMEND
Three Shades for Everybody, Inc. DE 4.01,9.01 08/28/13
TILLY'S, INC. DE 2.02,5.02,9.01 08/23/13
Timberline Resources Corp DE 1.01,3.02,7.01,9.01 08/22/13
TRAC Intermodal LLC DE 5.02,9.01 08/28/13
Trinity Place Holdings Inc. DE 2.01,8.01,9.01 08/22/13
TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 08/28/13
U.S. RARE EARTHS, INC NV 2.03,9.01 08/22/13
UNITED COMMUNITY FINANCIAL CORP OH 5.07 08/27/13
UNITED FIRE GROUP INC 7.01,8.01,9.01 08/28/13
UNITED RENTALS INC /DE DE 7.01,9.01 08/28/13
United States 12 Month Oil Fund, LP 8.01,9.01 08/28/13
United States Commodity Index Funds T DE 8.01,9.01 08/28/13
United States Gasoline Fund, LP DE 8.01,9.01 08/28/13
United States Natural Gas Fund, LP 8.01,9.01 08/28/13
United States Oil Fund, LP DE 8.01,9.01 08/28/13
UNITED TECHNOLOGIES CORP /DE/ DE 8.01,9.01 08/28/13
UNITY BANCORP INC /NJ/ NJ 1.01,9.01 08/28/13
UNIVERSAL ELECTRONICS INC DE 8.01,9.01 08/26/13
UNIVERSAL INSURANCE HOLDINGS, INC. DE 8.01,9.01 08/27/13
URBAN OUTFITTERS INC PA 8.01,9.01 08/28/13
VANTAGESOUTH BANCSHARES, INC. DE 5.02 08/27/13
VARIAN MEDICAL SYSTEMS INC DE 1.01,1.02,2.03 08/27/13
VISION SCIENCES INC /DE/ DE 5.07 08/26/13
WaferGen Bio-systems, Inc. NV 1.01,2.03,3.02,5.03, 08/27/13
8.01,9.01
WaferGen Bio-systems, Inc. NV 1.01,3.02,8.01,9.01 08/27/13
West End Indiana Bancshares, Inc. MD 8.01,9.01 08/27/13
WIDEPOINT CORP DE 8.01 08/26/13
WILLIAMS SONOMA INC CA 2.02,9.01 08/28/13
WINDSTREAM CORP DE 1.01,2.03,8.01,9.01 08/28/13
Writers Group Film Corp DE 1.01,2.01 08/21/13
WWA GROUP INC NV 1.01,3.02,9.01 08/27/13
XTREME GREEN PRODUCTS INC. NV 1.03 08/22/13
YuMe Inc DE 2.02,9.01 08/28/13
ZALE CORP DE 2.02,9.01 08/28/13
ZILLOW INC WA 2.01,7.01,9.01 08/26/13
http://www.sec.gov/news/digest/2013/dig082913.htm
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