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Commission announcementsCommission Suspends Trading in the Securities of Three Issuers for Failure to Make Required Periodic FilingsThe Securities and Exchange Commission (Commission) announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on September 5, 2013 and terminating at 11:59 p.m. EDT on September 18, 2013. • Anhui Taiyang Poultry Co., Inc. a/k/a The Parkview Group, Inc. (DUKS) The Commission temporarily suspended trading in the securities of these three issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, 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 these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. 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. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-70322) Commission Suspends Trading in the Securities of China Cablecom Holdings Ltd. (n/k/a China Cablecom Ltd.) for Failure to Make Required Periodic FilingsThe Commission announced the temporary suspension of trading in the securities of China Cablecom Holdings Ltd. (n/k/a China Cablecom Ltd.) (CABLF), commencing at 9:30 a.m. EDT on September 5, 2013 and terminating at 11:59 p.m. EDT on September 18, 2013. The Commission temporarily suspended trading in the securities of CABLF due to a lack of current and accurate information about the company because it has not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, 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 this company. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspension, no quotation may be entered relating to the securities of the subject company unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of this company that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. 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. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-70324) Commission MeetingsClosed Meeting on Thursday, September 12, 2013 at 2:00 p.m. The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings. 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 PROCEEDINGSThailand-Based Trader Agrees to Pay $5.2 Million to Settle Insider Trading CaseThe Commission today announced that a Bangkok-based trader whose U.S. brokerage account was frozen in an SEC emergency action in June has agreed to pay $5.2 million to settle charges that he traded on inside information in advance of a public announcement about a proposed acquisition of Smithfield Foods by a firm in China. The SEC obtained the asset freeze on June 5 after filing a complaint alleging that Badin Rungruangnavarat made more than $3 million in illicit profits just days earlier by insider trading in Smithfield securities. Badin loaded up on out-of-the-money Smithfield call options and single-stock futures contracts in the week leading up to a May 29 public announcement about the proposed sale of Smithfield Foods to Shuanghui International Holdings. Among his possible sources of material, non-public information about the impending deal was a Facebook friend who was an associate director at the investment bank for a different company that was considering a Smithfield acquisition. The settlement was approved today by Judge Matthew Kennelly of the U.S. District Court for the Northern District of Illinois. "Our quick action in June to stop Badin&'s insider trading profits from leaving the U.S. made this multi-million dollar settlement possible," said Daniel M. Hawke, Chief of the SEC Enforcement Division&'s Market Abuse Unit. "Once he was denied access to his trading account, Badin elected to forfeit all of his ill-gotten proceeds plus pay a $2 million penalty to settle the case against him." Badin agreed to the entry of a final judgment ordering him to pay $3.2 million in disgorgement and the $2 million penalty. Without admitting or denying the SEC&'s allegations, he agreed to be permanently enjoined from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 The SEC&'s investigation was conducted jointly by staff in the Market Abuse Unit and the Chicago Regional Office, including Kathryn A. Pyszka, Frank D. Goldman, R. Kevin Barrett, Benjamin J. Hanauer, and Steven C. Seeger. The Market Abuse Unit is led by Chief Daniel M. Hawke and the Chicago office is led by Acting Regional Director Timothy Warren. (Press Rel. 2013-173) Commission Orders Hearings on Registration Suspension or Revocation against Three Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of three companies for failure to make required periodic filings with the Commission: • Anhui Taiyang Poultry Co., Inc. a/k/a The Parkview Group, Inc. (DUKS) In this Order, the Division of Enforcement (Division) alleges that the three issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. In the Matter of Anhui Taiyang Poultry Co., Inc., et al., Administrative Proceeding File No. 3-15452. (Rel. 34-70321) Commission Orders Hearings on Registration Suspension or Revocation against China Cablecom Holdings Ltd. (n/k/a China Cablecom Ltd.), for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of China Cablecom Holdings Ltd. (n/k/a China Cablecom Ltd.) (CABLF) for failure to make required periodic filings with the Commission: In this Order, the Division of Enforcement (Division) alleges that CABLF is delinquent in its required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 thereunder, are true. The judge in the proceeding will then determine whether the registration pursuant to Exchange Act Section 12 of each class of the securities of this Respondent should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. In the Matter of China Cablecom Holdings, Ltd.,, Administrative Proceeding File No. 3-15453. (Rel. 34-70323) In the Matter of Ronald YeeThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Ronald Yee a resident of Freemont, California. The Order finds that on March 7, 2013, a final judgment was entered against Yee, permanently enjoining him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in the civil action entitled SEC v. King Chuen Tang a/k/a Chen Tang, et al., Civil Action number 3:09-cv-05146-JCS, in the United States District Court for the Northern District of California, San Francisco Division. The Order further finds that the Commission&'s complaint alleged that in 2007, Yee engaged in illegal insider trading by conveying to his brother-in-law material, non-public information about Acxiom Corporation, which Yee learned by virtue of his position as CFO of ValueAct, and which he had a duty to keep confidential. Based on the above, the Order bars Yee from association with any broker, dealer, investment adviser, municipal securities dealer, municipal adviser, transfer agent, or nationally recognized statistical rating organization with the right to apply for reentry after 5 years to the appropriate self-regulatory organization, or if there is none, to the Commission. Yee consented to the issuance of the Order without admitting or denying any of the findings, except he admitted to the entry of the final judgment. (Rel. IA-3660) In the Matter of Craig KugelThe Commission announced the issuance of an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Section 203(f) of the Investment Advisers Act of 1940 ("Order"), against Craig Kugel ("Kugel"). In the Order, the Commission finds that on June 5, 2012, Kugel pled guilty to one count of conspiracy to (a) obstruct or impede the lawful government functions of the Internal Revenue Service, and to (b) falsify statements in relation to documents required by ERISA; one count of making false statements in relation to documents required by ERISA; and three counts of subscribing to a false U.S. individual income tax return before the United States District Court for the Southern District of New York, in United States v. Craig Kugel, 10 Cr. 228 (LTS). The counts of the criminal information to which Kugel pled guilty alleged, among other things, that from at least in or about 2003 through 2008, Kugel was aware that there were individuals on BMIS&'s payroll who did not work for the firm but who nevertheless received salaries and benefits. Despite this knowledge, Kugel submitted to the United States Department of Labor fraudulent forms that included a number of fake employees who in fact did not work at BMIS. The criminal information also alleged that Kugel subscribed to several U.S. Individual Income Tax Returns that falsely omitted income that Kugel was not entitled to omit. Based on the above, the Order bars Kugel from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent; and bars Kugel from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. (Rel. 34-70329) Commission Orders Hearing on Registration Suspension or Revocation against Axius, Inc. for Failure to Make Required Periodic FilingsToday, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of Axius, Inc. for failure to make required periodic filings with the Commission. In this Order, the Division of Enforcement (Division) alleges that Axius, Inc. is delinquent in its required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondent to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of Axius, Inc. should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-70331) In the Matter of Spencer C. BaraschPursuant to Rule 102(e)(5) of the Commission&'s Rules of Practice, Spencer C. Barasch, Esq. has applied for and been granted reinstatement of his privilege to appear and practice before the Commission as an attorney. Mr. Barasch was suspended from appearing and practicing before the Commission as an attorney on May 24, 2012. His reinstatement is effective immediately. (Rel. 34-70332) Anthony John Johnson SanctionedAnthony John Johnson (Johnson) has been barred from the securities industry. The sanction was ordered in an administrative proceeding before an administrative law judge, following an August 2011 conviction for conspiracy to commit securities, mail, and wire fraud and an August 2012 conviction for mail fraud. Some of his wrongdoing occurred between March 2002 and March 2003, while associated with Park Capital Securities, LLC, where he engaged in manipulative trading and where brokers under his direction engaged in misrepresentations and material omissions to induce customers to purchase and refrain from selling certain stock. From approximately August 2010 to April 2011, Johnson operated a Ponzi scheme while associated with RAHFCO Management Group LLC, an unregistered investment adviser. (Rel. 34-70330) Delinquent Filers' Stock Registrations RevokedThe registrations of the registered securities of CNC Development, Ltd., Exousia Advanced Materials, Inc., and South American Minerals, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-70325) Delinquent Filers' Stock Registrations RevokedThe registrations of the registered securities of Gaming World International, Ltd., Gaspe Minerals, Ltd., Gem Porphyry, Inc., Genuity, Inc., Georgestore, Inc., Georgian Bancorp, Inc., and Gold & Green, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-70326) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by NASDAQ OMX PHLX LLC to amend Rule 640, Continuing Education for Registered Persons, and to adopt a corresponding fee (SR-PHLX-2013-85) 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 9th. (Rel. 34-70327) 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 ROYAL BANCSHARES OF PENNSYLVANIA INC, 732 MONTGOMERY AVE, NARBERTH, PA,
19072, 6106684700 - 8,333,333 ($10,000,000.00) Equity,
(File 333-190973 - Sep. 4) (BR. 07B)
S-8 FEDERAL SIGNAL CORP /DE/, 1415 W 22ND ST STE 1100, OAK BROOK, IL,
60523, 630-954-2000 - 0 ($1,198,000.00) Equity, (File 333-190976 -
Sep. 4) (BR. 05B)
S-8 FEDERAL SIGNAL CORP /DE/, 1415 W 22ND ST STE 1100, OAK BROOK, IL,
60523, 630-954-2000 - 0 ($599,000.00) Equity, (File 333-190977 -
Sep. 4) (BR. 05B)
S-1 USMetals, Inc., 4535 W. SAHARA AVE., SUITE 204, LAS VEGAS, NV, 89102,
702-933-4034 - 74,714,452 ($74,715.00) Equity, (File 333-190978 -
Sep. 4) (BR. 09)
S-1 EP Energy Corp, 1001 LOUISIANA STREET, HOUSTON, TX, 77002,
713.997.1200 - 0 ($100,000,000.00) Equity, (File 333-190979 - Sep. 4)
(BR. )
S-8 SINOVAC BIOTECH LTD, 39 SHANGDI XI ROAD, HAIDIAN DISTRICT, BEIJING, F4,
100085, 86-10-82890088 - 4,000,000 ($19,560,000.00) Equity,
(File 333-190980 - Sep. 4) (BR. 01A)
S-8 PARK CITY GROUP INC, 299 S. MAIN STREET, SUITE 2370, SALT LAKE CITY,
UT, 84111, 435-645-2100 - 250,000 ($1,600,000.00) Equity,
(File 333-190981 - Sep. 4) (BR. 03B)
S-8 VALUEVISION MEDIA INC, 6740 SHADY OAK RD, MINNEAPOLIS, MN, 55344-3433,
6129475200 - 0 ($14,355,000.00) Equity, (File 333-190982 - Sep. 4)
(BR. 02A)
S-11 Strategic Storage Trust II, Inc., 111 CORPORATE DRIVE, SUITE 120,
LADERA RANCH, CA, 92694, 877-327-3485 - 0 ($1,095,000,000.00) Equity,
(File 333-190983 - Sep. 4) (BR. )
S-3 Morgans Hotel Group Co., 475 TENTH AVENUE, NEW YORK, NY, 10018,
212-277-4100 - 0 ($500,000,000.00) Unallocated (Universal) Shelf,
(File 333-190984 - Sep. 4) (BR. 08C)
S-11 Rexit Inc., 1550 54TH STREET, BROOKLYN, NY, 11219, 718-782-9200 -
1,000,000 ($1,000,000.00) Equity, (File 333-190986 - Sep. 4) (BR. 08A)
S-1 MACROGENICS INC, 1500 East Gude Drive, Rockville, MD, 20850,
301-251-5172 - 0 ($60,000,000.00) Equity, (File 333-190994 - Sep. 4)
(BR. 01B)
S-1 ANAVEX LIFE SCIENCES CORP., 1600 ? 609 GRANVILLE STREET, VANCOUVER, A1,
V7Y 1C3, 800-689-3939 - 12,810,086 ($8,838,960.00) Equity,
(File 333-190995 - Sep. 4) (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
ABM INDUSTRIES INC /DE/ DE 2.02,8.01,9.01 09/03/13
ACCELRYS, INC. DE 1.01,8.01,9.01 09/03/13
ACQUIRED SALES CORP NV 4.01,9.01 09/01/13
Active Health Foods, Inc. CA 5.02 09/03/13
ACTIVECARE, INC. DE 1.01,3.02,9.01 08/25/13
AG Mortgage Investment Trust, Inc. MD 5.02,9.01 09/04/13
AGIOS PHARMACEUTICALS INC DE 5.02 08/28/13
ALTEVA, INC. NY 8.01,9.01 09/01/13
AMREP CORP. OK 1.01,2.03,9.01 08/30/13
Andina Acquisition Corp E9 1.01,9.01 08/17/13 AMEND
Anthera Pharmaceuticals Inc DE 4.01,9.01 08/29/13
Apollo Global Management LLC DE 5.02 09/04/13
APOLLO GROUP INC AZ 7.01,9.01 09/04/13
ARCA biopharma, Inc. DE 5.02,9.01 09/03/13
ARIAD PHARMACEUTICALS INC DE 8.01,9.01 09/04/13
ASPEN GROUP, INC. DE 7.01,9.01 09/03/13
ASTORIA FINANCIAL CORP DE 8.01,9.01 09/04/13
AWARE INC /MA/ MA 2.05 08/29/13
Bacterin International Holdings, Inc. DE 1.01,9.01 08/30/13
BANK JOS A CLOTHIERS INC /DE/ DE 5.02,7.01,9.01 09/04/13
Bazaarvoice Inc DE 2.02,9.01 09/04/13
BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 09/04/13
Biopower Operations Corp NV 5.03,9.01 09/04/13
BOK FINANCIAL CORP ET AL OK 5.02 08/30/13
Bristow Group Inc DE 7.01 08/29/13
BROADCOM CORP CA 7.01,9.01 09/04/13
CALAVO GROWERS INC CA 1.01,3.02,9.01 08/28/13
CARDINAL HEALTH INC OH 5.02 08/29/13
CARRIAGE SERVICES INC DE 7.01,9.01 09/04/13
CARRIZO OIL & GAS INC TX 1.01,7.01,9.01 09/03/13
Carter Validus Mission Critical REIT, MD 1.01,2.03,9.01 08/28/13
CERNER CORP /MO/ DE 5.02,7.01,9.01 09/04/13
CHAMPION INDUSTRIES INC WV 1.01,2.03,9.01 09/04/13
CHINA GENGSHENG MINERALS, INC. NV 5.07 09/04/13
CHINA PHARMA HOLDINGS, INC. DE 4.01,9.01 09/01/13
Chrysler Group LLC DE 8.01,9.01 09/04/13
CIENA CORP DE 2.02,9.01 09/04/13
CIGNA CORP DE 7.01 09/04/13
CLIFTON SAVINGS BANCORP INC 5.02,9.01 09/04/13
CMS ENERGY CORP MI 7.01,9.01 09/04/13
COCA-COLA ENTERPRISES, INC. DE 5.02,8.01,9.01 09/04/13
COLE REAL ESTATE INCOME STRATEGY (DAI MD 8.01 09/03/13
Cole Real Estate Investments, Inc. MD 7.01 09/03/13
Colfax CORP DE 7.01,9.01 09/03/13
COLUMBIA PROPERTY TRUST, INC. MD 5.02,5.03, 08/29/13
7.01,8.01,9.01
CONSOLIDATED EDISON INC NY 1.01,2.03,9.01 08/29/13
CORGENIX MEDICAL CORP/CO CO 1.01,1.02,9.01 08/28/13
CORPORATE OFFICE PROPERTIES TRUST MD 2.05,2.06,7.01 08/28/13
CYANOTECH CORP NV 5.07 08/29/13
DALECO RESOURCES CORP NV 1.01,9.01 08/28/13
DELTA AIR LINES INC /DE/ DE 7.01,9.01 09/04/13
DIAMOND HILL INVESTMENT GROUP INC OH 8.01 09/04/13
Diamondback Energy, Inc. DE 1.01,7.01,9.01 08/28/13
DIRECT INSITE CORP DE 7.01,9.01 09/04/13
Diversicare Healthcare Services, Inc. DE 1.01,2.01 09/04/13
Dixie Foods International, Inc FL 4.01,9.01 08/30/13
DOLLAR GENERAL CORP TN 2.02,7.01,9.01 09/04/13
E C CONSULTING INTERNATIONAL, INC. NV 1.01,5.01,5.02,9.01 08/29/13
E TRADE FINANCIAL Corp DE 8.01,9.01 09/03/13
EATON SCIENTIFIC SYSTEMS, INC. NV 5.03 08/23/13
Ecolivegreen Corp FL 4.01,9.01 08/29/13
ENVIVIO INC DE 2.02,9.01 09/04/13
Erickson Air-Crane Inc. DE 7.01,9.01 09/04/13
EROOMSYSTEM TECHNOLOGIES INC NV 4.01,9.01 09/01/13
ESSA Bancorp, Inc. PA 8.01,9.01 09/03/13
EVANS BANCORP INC NY 5.02,9.01 08/28/13
EXA CORP MA 2.02,9.01 09/04/13
EXCO RESOURCES INC TX 1.01,2.03,9.01 08/28/13
FARMER BROTHERS CO CA 8.01 08/28/13
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 08/29/13
Federal Home Loan Bank of Des Moines X1 2.03,9.01 08/30/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 09/04/13
Federal Home Loan Bank of Topeka 2.03,9.01 08/30/13
FIRST LEVEL ENTERTAINMENT GROUP, INC. FL 4.01,9.01 08/15/13
FIRSTENERGY CORP OH 7.01 09/04/13
FLEXIBLE SOLUTIONS INTERNATIONAL INC NV 5.07 08/29/13
FLEXTRONICS INTERNATIONAL LTD. U0 1.01,2.03,9.01 08/30/13
FORD MOTOR CO DE 8.01,9.01 09/04/13
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 09/04/13
Forex International Trading Corp. NV 8.01,9.01 09/02/13
Francesca's Holdings CORP 1.01,2.02, 08/30/13
7.01,8.01,9.01
FRANKLIN ELECTRIC CO INC IN 7.01,9.01 09/03/13
Franklin Financial Corp VA 8.01,9.01 08/29/13
Fuelstream INC DE 1.01,3.02 08/23/13
FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,9.01 09/04/13
Future Healthcare of America WY 1.01,2.03,3.02,9.01 08/30/13
FX ENERGY INC NV 8.01,9.01 09/04/13
G III APPAREL GROUP LTD /DE/ DE 2.02,9.01 09/04/13
GALLAGHER ARTHUR J & CO DE 7.01,9.01 09/03/13
Galt Petroleum, Inc. NV 4.01,9.01 09/04/13
GateHouse Media, Inc. DE 7.01 09/04/13
Genius Brands International, Inc. NV 1.01,2.03,3.02,3.03 08/30/13
GLADSTONE INVESTMENT CORPORATION\DE DE 8.01,9.01 08/30/13
Global Geophysical Services Inc DE 8.01,9.01 09/04/13
Global Immune Technologies Inc. 5.02 08/26/13
GLOWPOINT, INC. DE 5.07 06/13/13 AMEND
Graystone Co DE 3.02,5.02 08/30/13
HARBINGER GROUP INC. DE 8.01 09/03/13
HARTE HANKS INC DE 5.03,9.01 08/29/13
HEALTH NET INC DE 7.01 09/03/13
HELMERICH & PAYNE INC DE 8.01 09/04/13
HELMERICH & PAYNE INC DE 5.03,9.01 09/04/13
HERITAGE OAKS BANCORP CA 8.01,9.01 08/30/13
HOME BANCSHARES INC 7.01,8.01,9.01 09/03/13
HOOKER FURNITURE CORP VA 2.02,9.01 09/04/13
HOOKER FURNITURE CORP VA 5.02 09/04/13
Horsehead Holding Corp DE 8.01 09/04/13
HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 1.02,9.01 08/15/13
HUNTINGTON INGALLS INDUSTRIES, INC. DE 2.05,9.01 09/03/13
IDS Industries, Inc. NV 5.02 09/04/13
IMPAC MORTGAGE HOLDINGS INC MD 1.01,3.03, 09/03/13
5.03,7.01,9.01
INDEPENDENCE HOLDING CO DE 8.01,9.01 09/04/13
Ingredion Inc DE 5.02 09/03/13
Inland American Real Estate Trust, In MD 1.01,1.02 08/28/13
INOLIFE TECHNOLOGIES, INC. 4.01,9.01 08/30/13
INUVO, INC. NV 3.01,7.01,9.01 09/03/13
ION GEOPHYSICAL CORP DE 7.01 09/03/13
ISLE OF CAPRI CASINOS INC DE 2.02,9.01 09/04/13
IXYS CORP /DE/ DE 5.02,5.07 08/30/13
JANEL WORLD TRADE LTD NV 1.01,2.01,9.01 08/28/13
JARDEN CORP DE 1.01,9.01 09/04/13
John Deere Owner Trust 2013-B DE 9.01 09/04/13
John Deere Owner Trust 2013-B DE 8.01,9.01 09/04/13
Jones Energy, Inc. DE 2.02,5.02,9.01 08/30/13
KCG Holdings, Inc. DE 7.01 09/04/13
Kraft Foods Group, Inc. 7.01,9.01 09/04/13
LAKELAND FINANCIAL CORP IN 5.02,9.01 09/04/13
LAKES ENTERTAINMENT INC MN 1.02,8.01,9.01 08/29/13
LOT78, INC. NV 1.01,2.03,9.01 09/04/13
LOUISIANA-PACIFIC CORP DE 1.01,3.02,7.01 09/04/13
LUCAS ENERGY, INC. NV 1.01,8.01,9.01 08/30/13
MAGNUM HUNTER RESOURCES CORP DE 1.01,8.01,9.01 09/02/13
MARLIN BUSINESS SERVICES CORP 8.01,9.01 09/04/13
MINE SAFETY APPLIANCES CO PA 5.02,9.01 08/28/13
MITCHAM INDUSTRIES INC TX 2.02,9.01 09/04/13
MODINE MANUFACTURING CO WI 1.01,2.03,9.01 08/30/13
MVP REIT, Inc. MD 2.01 09/03/13
MWI Veterinary Supply, Inc. DE 1.01,7.01,9.01 09/03/13
NATIONAL HEALTH INVESTORS INC MD 2.01,9.01 09/03/13 AMEND
NAVISTAR INTERNATIONAL CORP DE 2.02,7.01,9.01 09/04/13
NCI BUILDING SYSTEMS INC DE 2.02,9.01 09/04/13
Neiman Marcus Group LTD Inc. DE 5.03,9.01 08/28/13
NEVADA GOLD & CASINOS INC NV 5.02 09/03/13
NEWCASTLE INVESTMENT CORP MD 7.01,8.01,9.01 09/03/13
Nuveen Long/Short Commodity Total Ret DE 8.01,9.01 09/04/13
Och-Ziff Capital Management Group LLC DE 7.01 09/04/13
OIL DRI CORP OF AMERICA DE 5.02 08/30/13
One Horizon Group, Inc. DE 5.02,9.01 08/28/13
Opexa Therapeutics, Inc. TX 8.01,9.01 09/04/13
OphthaliX, Inc. 8.01,9.01 09/03/13
ORGANOVO HOLDINGS, INC. DE 8.01 08/29/13
ORION ENERGY SYSTEMS, INC. WI 1.01,2.03,9.01 08/30/13
OVERLAND STORAGE INC CA 2.02,5.02,9.01 09/04/13
PDL BIOPHARMA, INC. DE 8.01,9.01 09/04/13
PEGASYSTEMS INC MA 5.02,7.01 08/28/13
PENN NATIONAL GAMING INC PA 8.01 08/30/13
PennantPark Floating Rate Capital Ltd 7.01,9.01 09/04/13
PENNANTPARK INVESTMENT CORP 7.01,9.01 09/04/13
PEPSICO INC NC 7.01 09/04/13
PHH CORP MD 8.01,9.01 09/04/13
Phillips Edison - ARC Shopping Center MD 8.01,9.01 08/30/13
PIEDMONT NATURAL GAS CO INC NC 8.01,9.01 05/29/13
Pinacle Enterprise, Inc. 2M 5.06,9.01 09/04/13
Power REIT MD 8.01 09/03/13
POZEN INC /NC 1.01 09/03/13
PREMIER EXHIBITIONS, INC. FL 5.07 08/29/13
Press Ventures, Inc. NV 1.01,2.03, 08/29/13
3.02,8.01,9.01
PROCTER & GAMBLE Co OH 7.01 09/04/13
PROSPECT GLOBAL RESOURCES INC. NV 5.02,5.03, 08/30/13
5.07,8.01,9.01
PROSPERITY BANCSHARES INC TX 7.01,8.01,9.01 08/29/13
PUGET TECHNOLOGIES, INC. NV 1.01,2.01,9.01 09/02/13
Quanex Building Products CORP DE 2.02,5.02,9.01 08/29/13
RAND WORLDWIDE INC DE 5.02,9.01 09/03/13
ReachLocal Inc 5.02 09/01/13
RENASANT CORP MS 2.01,2.03, 09/01/13
5.02,8.01,9.01
Resource Real Estate Opportunity REIT MD 1.01 09/04/13
Resource Real Estate Opportunity REIT MD 8.01,9.01 09/04/13
REX AMERICAN RESOURCES Corp DE 2.02,9.01 09/04/13
RICKS CABARET INTERNATIONAL INC TX 3.02 08/28/13
ROCHESTER MEDICAL CORPORATION MN 1.01,5.03,8.01,9.01 09/03/13
ROOMLINX INC NV 1.01,5.02,9.01 08/29/13
RUSH ENTERPRISES INC \TX\ TX 5.02 08/30/13
SAIC, Inc. 5.02,9.01 09/04/13
SAIC, Inc. 2.02,9.01 09/04/13 AMEND
Sanomedics International Holdings, In DE 1.01,2.03, 08/30/13
3.02,7.01,9.01
SANUWAVE Health, Inc. NV 5.02,9.01 09/03/13
Sanwire Corp NV 1.01,3.02,9.01 09/03/13
Sanwire Corp NV 1.01 09/04/13
SECURITY NATIONAL FINANCIAL CORP UT 4.01,9.01 09/01/13
Select Notes Trust LT 2004-1 DE 8.01,9.01 09/03/13
SELECTICA INC DE 1.01,9.01 09/04/13
SERVICEMASTER CO DE 5.02 08/28/13
Shire plc 8.01,9.01 09/04/13
Sierra Income Corp MD 8.01,9.01 09/04/13
SIGMA DESIGNS INC CA 2.02,9.01 09/04/13
SIMMONS FIRST NATIONAL CORP AR 8.01 09/03/13
SLM Student Loan Trust 2003-1 DE 8.01,9.01 09/04/13
SLM STudent Loan Trust 2003-12 DE 8.01,9.01 09/04/13
SLM Student Loan Trust 2003-4 DE 8.01,9.01 09/04/13
SLM Student Loan Trust 2003-7 DE 8.01,9.01 09/04/13
SONUS NETWORKS INC DE 5.02 08/28/13
SOURCEFIRE INC DE 8.01,9.01 09/04/13
SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 7.01,9.01 09/04/13
SPARTON CORP OH 7.01,9.01 09/04/13
Spectrum Brands Holdings, Inc. DE 1.01,1.02,2.03,8.01 09/03/13
Spectrum Brands, Inc. DE 1.01,1.02, 09/03/13
2.03,8.01,9.01
SPHERIX INC DE 1.01,9.01 08/30/13
SPRINT Corp DE 7.01,8.01,9.01 09/04/13
STEC, INC. CA 8.01 09/03/13
Strategic Storage Trust, Inc. MD 7.01,9.01 09/04/13
STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 09/03/13
STRUCTURED PRODUCTS CORTS TRUST FOR J DE 8.01,9.01 09/03/13
SUMMER ENERGY HOLDINGS INC NV 1.01,3.02,9.01 08/29/13
SYNTHESIS ENERGY SYSTEMS INC DE 1.01,1.02, 08/30/13
5.02,8.01,9.01
TANGER FACTORY OUTLET CENTERS INC NC 8.01,9.01 08/30/13
THERAVANCE INC DE 7.01,9.01 09/04/13
TITAN PHARMACEUTICALS INC DE 8.01,9.01 09/03/13
TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 09/04/13
U.S. RARE EARTHS, INC NV 3.02,5.02,9.01 08/28/13
Unique Underwriters, Inc. TX 1.01 08/28/13
United Continental Holdings, Inc. DE 3.02 08/28/13
US AIRWAYS GROUP INC DE 3.02 08/30/13
UWHARRIE CAPITAL CORP NC 2.02,9.01 08/30/13
VERINT SYSTEMS INC DE 2.02,7.01,9.01 09/04/13
VirtualScopics, Inc. DE 3.01 08/29/13
VIVUS INC CA 5.02,9.01 08/31/13
Warner Chilcott plc 8.01 09/04/13
Webfolio Inc. DE 4.01 09/03/13
WELLCARE HEALTH PLANS, INC. DE 5.02,8.01,9.01 09/04/13
WELLS FARGO & COMPANY/MN DE 9.01 09/04/13
Your Event, Inc. NV 3.02,5.01,5.02 08/30/13
http://www.sec.gov/news/digest/2013/dig090513.htm
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