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U.S. Securities and Exchange Commission


Issue 2013-192
October 4, 2013

Commission Announcements

Commission Names Karen L. Martinez as Director of Salt Lake Regional Office

The Securities and Exchange Commission (Commission) today announced the appointment of Karen L. Martinez as director of the Salt Lake Regional Office.

Ms. Martinez joined the SEC staff in 2002 as trial counsel in the Salt Lake office. She became assistant director in 2010 and has since supervised the enforcement program in the office. Ms. Martinez also has supervised some investigations in the SEC’s Foreign Corrupt Practices Act (FCPA) specialized unit, which focuses on cases involving bribery of foreign officials.

“Karen has repeatedly proven herself as a creative and talented enforcer of the securities laws,” said Andrew J. Ceresney, Co-Director of the SEC’s Division of Enforcement. “Under her leadership, the Salt Lake City office’s enforcement program has achieved numerous significant successes, and we are pleased that she will continue her SEC service in this new role.”

Ms. Martinez has supervised investigations that included the SEC’s first-ever deferred prosecution agreement as well as cases against a company that targeted deaf investors, a $220 million Ponzi scheme, and a father and son allegedly scheming to profit from the deaths of terminally ill individuals. As trial counsel, Ms. Martinez successfully litigated cases involving insider trading, FCPA violations, and violations of Regulation S-P.

In her new role, Ms. Martinez will oversee both enforcement and examinations in the Salt Lake office.

Andrew J. Bowden, Director of the SEC’s National Exam Program, said, “We are grateful to have someone as dedicated and experienced as Karen to lead the Salt Lake Regional Office.

Ms. Martinez said, “It is a real honor to be named regional director of the Salt Lake office. I look forward to the challenges this new position will bring and continuing to work with all the talented professionals in the Salt Lake office. During the past 10 years, the Salt Lake staff has filed numerous important cases, returned millions to the victims of securities fraud, and worked diligently every day to protect investors.”

Before joining the SEC staff, Ms. Martinez was in private practice. She began her legal career as a law clerk to the Honorable Christine M. Durham of the Utah Supreme Court. Ms. Martinez earned her bachelor’s degree from the University of Idaho, and she earned a master’s degree in Mathematics and her law degree from the University of Utah. (Press Rel. 2013-216)

Commission Suspends Trading in the Securities of China Ritar Power Corp. for Failure to Make Required Periodic Filings

The Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the "Exchange Act"), of trading in the securities of China Ritar Power Corp. at 9:30 a.m. EDT on October 4, 2013, and terminating at 11:59 p.m. EDT on October 17, 2013.

The Commission temporarily suspended trading in the securities of China Ritar Power Corp. due to a lack of current and accurate information about the company because China Ritar Power Corp. has not filed any periodic reports since the period ended September 30, 2010.

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 the company.

Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to the securities of China Ritar Power Corp. until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.

If any broker, dealer or other person has any information which may relate to this matter,

they should immediately communicate it to Scott W. Friestad, Associate Director of the Division of Enforcement, at (202) 551-4962. (Rel. 34-70609)


Commission Orders Hearings on Registration Suspension or Revocation against China Ritar Power Corp. for Failure to Make Required Public Findings

In conjunction with this trading suspension, the Commission today also instituted a public administrative hearing proceeding to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of securities of China Ritar Power Corp. for failure to make required periodic filings with the Commission:

In the Matter of China Ritar Power Corp., Administrative Proceeding File No. 3-15551

In this Order, the Division of Enforcement (Division) alleges that the Respondent is delinquent in its required periodic filings with the Commission.

In these proceedings, 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 Home System Group 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 proceedings will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of China Ritar Power Corp. should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in these proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-70610)

Court Enters Final Judgment by Default against Defendant China MediaExpress Holdings, Inc.

The Commission announced that on October 3, 2013, the Honorable Ellen S. Huvelle, United States District Court Judge for the District of Columbia, entered a final judgment by default against Defendant China MediaExpress Holdings, Inc. (China Media). The final judgment permanently enjoins China Media from future violations of various provisions of the federal securities laws, including Section 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 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act. The final judgment also holds China Media liable for total combined disgorgement and prejudgment interest of $41,894.082.05 and a civil monetary penalty in the amount of $7,250,000.

On June 20, 2013, the SEC filed a complaint against China Media and its Chairman and CEO, Zheng Cheng (collectively, the “Defendants”) alleging that from at least October 2009, the Defendants engaged in a scheme to mislead and defraud investors by, among other things, grossly overstating China Media’s cash balances. The complaint alleged that after China Media materially misrepresented its financial condition and business operations, its stock price tripled to more than $20 per share, making the company attractive to the investing public and allowing it to raise more than $53 million from stock sales to investors. [SEC v. China MediaExpress Holdings, Inc. and Zheng Cheng, Civil Action No. 1:13-cv-00927 (D.D.C.)]. (Rel. LR-22833)

Joshua Constantin Sanctioned

Joshua Constantin (Constantin), of Huntington, New York, has been barred from the securities industry. The sanction was ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against him.

Constantin was enjoined from violating the antifraud provisions of the securities laws, based on his wrongdoing while associated with Windham Securities, Inc., a small broker-dealer. (ID-505)

In the Matter of David F. Bandimere

An Administrative Law Judge has issued an Initial Decision in David F. Bandimere, Admin. Proc. File No. 3-15124, as to Respondent John O. Young (Young). The Initial Decision bars Young from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, orders Young to disgorge $430,972.16, including prejudgment interest, imposes a civil penalty of $100,000, and orders Young to cease and desist from committing or causing violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rule 10b-5. Young and the Division of Enforcement had previously submitted Stipulations as to Liability in which Young stipulated that he was liable for the allegations alleged against him in the Order Instituting Proceedings. The parties agreed to resolve the issue of what relief was appropriate by motion practice rather than through a live hearing. (ID-506)


Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by The NASDAQ Stock Market LLC to amend its Schedule of Fees and Credits applicable to execution and routing of orders in securities priced at $1 or more per share under Rule 7018 (SR-NASDAQ-2013-129) 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 October 7th. (Rel. 34-70614)

Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change

The Commission has issued a notice of filing of Amendment No. 1, and instituted proceedings to determine whether to approve or disapprove the proposed rule change, as modified by Amendment No. 1 (SR-FINRA-2013-025), filed by the Financial Industry Regulatory Authority, Inc. to adopt rules regarding supervision in the consolidated FINRA Rulebook. Publication is expected in the Federal Register during the week of October 7th. (Rel. 34-70612)

Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change

The Commission has designated a longer period within which to take action on a proposed rule change (SR-FINRA-2013-036), submitted by the Financial Industry Regulatory Authority, Inc. pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, relating to wash sale transactions and FINRA Rule 5210 (Publication of Transactions and Quotations). Publication is expected in the Federal Register during the week of October 7th. (Rel. 34-70613)


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-4     General Motors Financial Company, Inc., 801 CHERRY STREET, SUITE 3500, 
        FORT WORTH, TX, 76102, 8173027000 - 0 ($1,000,000,000.00) Debt, 
        (File 333-191542 - Oct. 3) (BR. 07B)

S-4     General Motors Financial Company, Inc., 801 CHERRY STREET, SUITE 3500, 
        FORT WORTH, TX, 76102, 8173027000 - 0 ($2,500,000,000.00) Debt, 
        (File 333-191543 - Oct. 3) (BR. 07B)

S-1     Mirati Therapeutics, Inc., 9363 TOWNE CENTRE DRIVE, SUITE 200, 
        SAN DIEGO, CA, 92121, (514) 337-3333 - 0 ($57,500,000.00) Equity, 
        (File 333-191544 - Oct. 3) (BR. 01A)

S-1     Spacepath, Inc., 7 MAYAKOVSKOGO STREET, BIROBIDJAN, 1Z, 679016, 
        503-660-3174 - 2,000,000 ($80,000.00) Equity, (File 333-191545 - 
        Oct. 3) (BR. 06)

S-8     FULLER H B CO, 1200 WILLOW LAKE BLVD, ST PAUL, MN, 55110-5132, 
        6126453401 - 3,500,000 ($150,430,000.00) Equity, (File 333-191549 - 
        Oct. 3) (BR. 06A)

S-1     TWITTER, INC., 1355 MARKET STREET, SUITE 900, San Francisco, CA, 94103, 
        (415) 222-9670 - 0 ($1,000,000,000.00) Equity, (File 333-191552 - 
        Oct. 3) (BR. 03B)

F-1     Kofax Ltd, 15211 LAGUNA CANYON ROAD, IRVINE, CA, 92618, 441 295 1442 - 
        0 ($5,750,000.00) Equity, (File 333-191554 - Oct. 3) (BR. 03C)

S-1     Amarantus Bioscience Holdings, Inc., 675 ALMANOR AVE., SUNNYVALE, CA, 
        94085, (408) 737-2734 - 0 ($10,919,989.08) Equity, (File 333-191555 - 
        Oct. 3) (BR. 01A)


Form 8-K is used by companies to file current reports on the following events:


Entry into a Material Definitive Agreement


Termination of a Material Definitive Agreement


Bankruptcy or Receivership


Completion of Acquisition or Disposition of Assets


Results of Operations and Financial Condition


Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant


Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement


Cost Associated with Exit or Disposal Activities


Material Impairments


Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing


Unregistered Sales of Equity Securities


Material Modifications to Rights of Security Holders


Changes in Registrant's Certifying Accountant


Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review


Changes in Control of Registrant


Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer


Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year


Temporary Suspension of Trading Under Registrant's Employee Benefit Plans


Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics


Change in Shell Company Status


ABS Informational and Computational Material.


Change of Servicer or Trustee.


Change in Credit Enhancement or Other External Support.


Failure to Make a Required Distribution.


Securities Act Updating Disclosure.


Regulation FD Disclosure


Other Events


Financial Statements and Exhibits

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.

NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

ACORDA THERAPEUTICS INC                          8.01,9.01            10/02/13

Actavis, Inc.                           NV       8.01,9.01            09/30/13

Actavis, Inc.                           NV       1.01,2.01,2.03,3.01,
                                                 9.01                 10/01/13

Addus HomeCare Corp                     DE       5.02                 10/02/13

ALION SCIENCE & TECHNOLOGY CORP         DE       8.01,9.01            09/27/13

ALLIANT TECHSYSTEMS INC                 DE       1.01,2.03,9.01       09/26/13

ALTAIR NANOTECHNOLOGIES INC             Z4       5.02                 09/26/13

ALTAIR NANOTECHNOLOGIES INC             Z4       5.02                 09/26/13    AMEND

Amarantus Bioscience Holdings, Inc.     NV       8.01,9.01            10/02/13

AMAZONICA, CORP.                        NV       5.02,8.01,9.01       09/26/13

AMERICAN EAGLE ENERGY Corp              NV       1.01,8.01,9.01       10/01/13

AMERICAN INTERNATIONAL GROUP INC        DE       8.01,9.01            10/02/13

AMERICAN MEDIA INC                      DE       1.01,2.03,9.01       09/27/13

American Midstream Partners, LP         DE       9.01                 10/01/13    AMEND

Amincor, Inc.                           NV       3.02                 10/02/13

Anacor Pharmaceuticals, Inc.            DE       8.01,9.01            10/01/13

Andalay Solar, Inc.                     DE       1.01,2.03,3.02,9.01  09/30/13

ANIKA THERAPEUTICS INC                  MA       1.01,5.02,9.01       09/30/13

ANNALY CAPITAL MANAGEMENT INC           MD       8.01,9.01            10/02/13

APPLIED MICRO CIRCUITS CORP             DE       5.02,9.01            09/26/13

ARRHYTHMIA RESEARCH TECHNOLOGY INC /D   DE       2.02,9.01            10/02/13

ASTORIA FINANCIAL CORP                  DE       8.01,9.01            10/02/13

ASURE SOFTWARE INC                      DE       1.01,9.01            09/30/13

AUTHENTIDATE HOLDING CORP               DE       3.02,5.02,9.01       09/30/13

AUTODESK INC                            DE       7.01,9.01            10/02/13

AUTONATION, INC.                        DE       7.01,9.01            10/02/13

BBX CAPITAL CORP                        FL       2.03,9.01            10/02/13

bebe stores, inc.                       CA       5.02                 10/02/13

BEHRINGER HARVARD MULTIFAMILY REIT I             7.01,9.01            10/02/13

BFC FINANCIAL CORP                      FL       2.03,9.01            09/26/13

BIOLARGO, INC.                          DE       8.01,9.01            09/27/13

BJs RESTAURANTS INC                     CA       8.01,9.01            10/01/13

Blue Water Petroleum Corp.                       7.01,9.01            10/02/13

BOISE CASCADE Co                        DE       1.01,2.01,7.01,9.01  09/30/13

BOISE INC.                              DE       8.01,9.01            10/02/13

BTU INTERNATIONAL INC                   DE       1.01,2.03,9.01       09/26/13

C & F FINANCIAL CORP                    VA       2.01,9.01            10/01/13

CAESARS ENTERTAINMENT Corp              DE       8.01                 10/02/13

CalAmp Corp.                            DE       2.02,9.01            10/02/13

Campus Crest Communities, Inc.          MD       1.01,7.01,9.01       09/30/13

Carter Validus Mission Critical REIT,   MD       1.01,2.03,9.01       09/26/13

Cellular Biomedicine Group, Inc.        DE       5.02,8.01,9.01       09/30/13

Cellular Concrete Technologies, Inc.    DE       4.01,9.01            10/02/13

Cellular Concrete Technologies, Inc.    DE       1.01,2.01,5.06,9.01  06/12/13    AMEND

CelLynx Group, Inc.                     NV       4.01,9.01            09/27/13

CenterState Banks, Inc.                 FL       1.01,9.01            09/30/13

CENTURY NEXT FINANCIAL Corp             LA       8.01,9.01            10/02/13

China Green Agriculture, Inc.           NV       5.02,8.01            09/28/13

CIRRUS LOGIC INC                        DE       7.01,9.01            10/01/13

CLAYTON WILLIAMS ENERGY INC /DE         DE       1.01,2.03,7.01,9.01  09/26/13

CMS ENERGY CORP                         MI       7.01,9.01            10/02/13

CODEXIS INC                                      4.01                 09/26/13

COLONIAL PROPERTIES TRUST               AL       1.02,2.01,3.01,
                                                 5.03,8.01,9.01       10/01/13

COMSCORE, INC.                          DE       1.01,2.03            09/26/13

Conatus Pharmaceuticals Inc             DE       1.02                 09/25/13

CONTANGO OIL & GAS CO                   DE       1.01,1.02,2.01,
                                                 9.01                 10/01/13

Corporate Resource Services, Inc.       DE       8.01,9.01            10/02/13

CORRECTIONS CORP OF AMERICA             MD       7.01                 10/02/13

CRIMSON EXPLORATION INC.                         2.01,3.01,3.03,5.01,
                                                 9.01                 10/01/13

CRIMSON EXPLORATION INC.                         1.02                 10/01/13

CROSSTEX ENERGY INC                     DE       7.01,9.01            10/02/13

CROSSTEX ENERGY LP                      DE       7.01,9.01            10/02/13

DARLING INTERNATIONAL INC               DE       1.01,2.03,8.01,9.01  09/27/13

DDR CORP                                OH       2.01,9.01            10/01/13

DELTA AIR LINES INC /DE/                DE       7.01,9.01            10/02/13

DIAMOND HILL INVESTMENT GROUP INC       OH       8.01                 10/02/13

Diligent Board Member Services, Inc.    DE       5.02,9.01            09/27/13

Discovery Energy Corp.                  NY       1.01,2.03,9.01       09/26/13

Diversicare Healthcare Services, Inc.   DE       5.02                 10/02/13

Dixie Foods International, Inc          FL       3.02                 10/01/13

EARTHSTONE ENERGY INC                   DE       5.07,8.01            09/25/13

Emerald Oil, Inc.                       MT       7.01,9.01            10/02/13

Enduro Royalty Trust                    DE       1.01,8.01,9.01       09/26/13

Ener-Core Inc.                          NV       1.01,9.01            09/26/13

Engility Holdings, Inc.                 DE       5.07                 05/23/13    AMEND

ENNIS, INC.                             TX       8.01,9.01            10/01/13

EQUINIX INC                             DE       1.01                 09/26/13

EXAR CORP                               DE       1.02                 09/30/13

EXAR CORP                               DE       5.02                 09/30/13

EXP Realty International Corp           DE       2.01,3.02,5.01,5.02,
                                                 5.03,5.06,9.01       09/27/13

F&M BANK CORP                           VA       5.07                 09/26/13

FAB Universal Corp.                     CO       8.01,9.01            10/02/13

FASTENAL CO                             MN       7.01,9.01            10/02/13

Federal Home Loan Bank of San Francis   X1       7.01,9.01            10/02/13

FIELDPOINT PETROLEUM CORP               CO       7.01,9.01            10/02/13

FIRST CASH FINANCIAL SERVICES INC       DE       1.01,2.03,8.01,9.01  09/30/13

FIRST COMMUNITY CORP /SC/               SC       8.01,9.01            10/02/13

Foundation Medicine, Inc.               DE       5.03,9.01            09/30/13

Fuel Systems Solutions, Inc.                     5.03                 10/02/13

FUSION TELECOMMUNICATIONS INTERNATION   DE       3.02                 10/02/13

Gaming Partners International CORP      NV       8.01                 09/20/13

GENERAL STEEL HOLDINGS INC              NV       3.01,8.01,9.01       09/26/13

Global Ecology Corp                     NV       8.01                 10/01/13

Global Geophysical Services Inc         DE       1.01,2.03,7.01,9.01  09/30/13

GlyEco, Inc.                            NV       1.01,2.01,3.02,9.01  09/27/13

GNC HOLDINGS, INC.                      DE       7.01,9.01            10/02/13

GOODYEAR TIRE & RUBBER CO /OH/          OH       5.02                 10/01/13

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            09/27/13

GREENESTONE HEALTHCARE CORP             CO       1.02,8.01,9.01       09/30/13

GROUP 1 AUTOMOTIVE INC                  DE       8.01,9.01            09/30/13

HAMPSHIRE GROUP LTD                     DE       1.01,2.03,9.01       09/26/13

Hatteras Financial Corp                          5.02                 09/26/13

HCP, INC.                               MD       5.02                 09/27/13

HD Supply Holdings, Inc.                DE       7.01,9.01            10/02/13

Health Insurance Innovations, Inc.      DE       9.01                 07/17/13    AMEND

HEALTHWAYS, INC                         DE       1.01,2.03,3.02,7.01,
                                                 9.01                 10/01/13

HIGHWATER ETHANOL LLC                            1.01,7.01,9.01       09/27/13

HITTITE MICROWAVE CORP                           5.02,9.01            10/01/13

Horizon Technology Finance Corp         DE       2.02,9.01            10/02/13

Howard Hughes Corp                      DE       1.01,2.03,8.01,9.01  10/02/13

IASIS Healthcare LLC                    DE       2.01,7.01,9.01       09/26/13

ICEWEB INC                              DE       1.01,2.01,2.03,3.02,
                                                 7.01,9.01            10/01/13

Imprimis Pharmaceuticals, Inc.          DE       1.02,5.02,5.07       09/26/13

Ingersoll-Rand plc                      L2       5.02,9.01            10/02/13

Inka Productions Corp.                  NV       3.02,5.01,5.02       09/24/13

INREIT Real Estate Investment Trust     ND       1.01,9.01            09/26/13

INSTITUTIONAL FINANCIAL MARKETS, INC.   MD       8.01,9.01            10/01/13

INTERMOLECULAR INC                      DE       5.02                 10/02/13

International Gold Corp.                NV       8.01,9.01            10/01/13

INVESTORS CAPITAL HOLDINGS LTD          MA       8.01,9.01            10/01/13

KBS Real Estate Investment Trust III,   MD       1.01                 09/27/13

KILROY REALTY CORP                      MD       8.01,9.01            10/02/13

KORN FERRY INTERNATIONAL                DE       5.03,5.07,9.01       09/26/13

LIBERTY STAR URANIUM & METALS CORP.     NV       3.02,5.02,9.01       09/05/13    AMEND

Limelight Networks, Inc.                DE       5.02                 10/02/13

LNB BANCORP INC                         OH       5.02                 10/01/13

MAGNUM HUNTER RESOURCES CORP            DE       5.07,7.01            09/27/13

MAKO Surgical Corp.                     DE       1.01,8.01,9.01       10/01/13

MARINE PRODUCTS CORP                    DE       8.01,9.01            10/01/13

MERITOR INC                             IN       7.01,9.01            10/02/13

METABOLIX, INC.                                  5.02                 09/27/13

METWOOD INC                             NV       5.03,9.01            10/02/13

MICREL INC                              CA       5.02,9.01            10/02/13

MICROCHIP TECHNOLOGY INC                DE       5.02,5.03,7.01,9.01  10/02/13

MICRON TECHNOLOGY INC                   DE       1.01                 07/31/13    AMEND

                                                 7.01,9.01            10/01/13

MILLER ENERGY RESOURCES, INC.           TN       7.01                 10/01/13

Minerco Resources, Inc.                 NV       8.01,9.01            10/02/13

MMRGlobal, Inc.                         DE       3.02                 10/02/13

MobileSmith, Inc.                       DE       2.03,3.02,5.02       09/26/13

MODEL N, INC.                           DE       7.01                 09/30/13

MONSANTO CO /NEW/                       DE       2.02,9.01            10/02/13

MRV COMMUNICATIONS INC                  DE       4.01                 10/02/13

National American University Holdings   DE       2.02,9.01            10/02/13

NEW CENTURY BANCORP INC                 NC       7.01,8.01,9.01       10/01/13

NEWBRIDGE BANCORP                       NC       2.01,9.01            10/01/13

NEXSTAR BROADCASTING GROUP INC          DE       5.02                 09/26/13

NEXSTAR BROADCASTING GROUP INC          DE       1.01,2.03,8.01,9.01  10/01/13

NOODLES & Co                            DE       5.02                 09/26/13

NORTHEAST COMMUNITY BANCORP INC         X1       5.02,8.01,9.01       09/26/13

NORTHERN EMPIRE ENERGY CORP.            NV       5.01,5.02            10/02/13

Oasis Petroleum Inc.                    DE       2.01,7.01,9.01       10/01/13

Och-Ziff Capital Management Group LLC   DE       7.01                 10/02/13

OCLARO, INC.                            DE       1.01                 09/26/13

ODYSSEY MARINE EXPLORATION INC          NV       8.01,9.01            09/26/13

OMNIVISION TECHNOLOGIES INC             DE       5.07,9.01            09/26/13

OMNOVA SOLUTIONS INC                    OH       7.01,9.01            10/02/13

OphthaliX, Inc.                                  8.01,9.01            10/02/13

PACIFIC GOLD CORP                       NV       1.01,9.01            09/24/13

Park Sterling Corp                      NC       8.01,9.01            09/30/13

Pattern Energy Group Inc.               DE       1.01,3.02,7.01,
                                                 8.01,9.01            09/26/13

PDL BIOPHARMA, INC.                     DE       1.01,2.03,8.01,9.01  10/01/13

PennantPark Floating Rate Capital Ltd            7.01,9.01            10/02/13

PHILLIPS 66 PARTNERS LP                 DE       5.02                 09/30/13

PITNEY BOWES INC /DE/                   DE       7.01,9.01            10/02/13

POWERSECURE INTERNATIONAL, INC.         DE       8.01,9.01            10/02/13

PRAXAIR INC                             DE       1.01,9.01            10/02/13

PRO DEX INC                             CO       5.08,9.01            09/24/13

PROGENICS PHARMACEUTICALS INC           DE       8.01,9.01            10/02/13

Promap Corp                             CO       5.03                 10/01/13

Promap Corp                             CO       4.01,9.01            10/01/13    AMEND

PRUDENTIAL BANCORP INC OF PENNSYLVANI            8.01,9.01            10/02/13

PUBLIX SUPER MARKETS INC                FL       2.02,9.01            10/01/13

QUEST DIAGNOSTICS INC                   DE       2.02,9.01            10/01/13

RCS Capital Corp                        DE       8.01,9.01            10/01/13

RCS Capital Corp                        DE       8.01,9.01            10/01/13    AMEND

REALNETWORKS INC                        WA       5.02,7.01,9.01       10/02/13

RegalWorks Media, Inc.                  NV       2.01,9.01            07/15/13    AMEND

                                                 3.02,9.01            09/26/13

RETRACTABLE TECHNOLOGIES INC            TX       8.01                 09/30/13

Retrophin, Inc.                         OK       5.02,9.01            09/26/13

REVLON CONSUMER PRODUCTS CORP           DE       5.02,9.01            10/01/13

REVLON INC /DE/                         DE       5.02,9.01            10/01/13

Rich Pharmaceuticals, Inc.                       5.03,9.01            10/02/13

RLI CORP                                IL       8.01,9.01            10/02/13

ROCKWELL AUTOMATION INC                 DE       5.02,9.01            09/30/13

ROGERS CORP                             MA       5.02,9.01            09/26/13

ROLLINS INC                             DE       8.01,9.01            10/01/13

ROYAL MINES & MINERALS CORP             NV       1.01,1.02,9.01       09/27/13

RPC INC                                 DE       8.01,9.01            10/01/13

RREEF Property Trust, Inc.              MD       7.01                 09/30/13

SABINE ROYALTY TRUST                    TX       2.02,9.01            10/02/13

Samson Oil & Gas LTD                    C3       5.02                 09/26/13

SCANA CORP                              SC       8.01                 10/02/13

SEARS HOLDINGS CORP                     DE       1.01,2.03,9.01       10/02/13

SED INTERNATIONAL HOLDINGS INC          2Q       8.01,9.01            10/02/13

SELECT COMFORT CORP                     MN       7.01,9.01            10/02/13

Shire plc                                        8.01,9.01            10/02/13

SIMON PROPERTY GROUP L P /DE/           DE       1.01,2.03,9.01       10/02/13

SMITHFIELD FOODS INC                    VA       4.01,5.02,9.01       09/26/13

Sorrento Therapeutics, Inc.             DE       1.01,2.03,3.02       09/27/13

SOUTHERN CO                             DE       7.01,8.01            10/02/13

SPHERIX INC                             DE       7.01,9.01            10/02/13

STANDARD REGISTER CO                    OH       2.05                 09/26/13

STERLING FINANCIAL CORP /WA/            WA       8.01,9.01            10/01/13

STONEMOR PARTNERS LP                    DE       1.01,9.01            09/26/13

STRATS TRUST FOR SPRINT CAP CORP SEC    DE       8.01,9.01            09/30/13

STRATUM HOLDINGS, INC.                  NV       5.01,5.02,9.01       10/01/13

Stratus Media Group, Inc                         1.01,8.01,9.01       09/30/13

SUPERTEL HOSPITALITY INC                VA       1.01,1.02,9.01       09/26/13

SVB FINANCIAL GROUP                              2.02                 10/02/13

Synacor, Inc.                                    1.01                 09/27/12

SYNCHRONOSS TECHNOLOGIES INC                     1.01                 09/27/13

TECH DATA CORP                          FL       3.01,9.01            10/02/13

TENGION INC                             DE       3.02,8.01,9.01       09/26/13

TIANYIN PHARMACEUTICAL CO., INC.        DE       7.01,9.01            09/27/13

TNI BIOTECH, INC.                       FL       1.01,9.01            09/17/13

Trade Street Residential, Inc.          MD       5.02,9.01            09/26/13

TRANS WORLD CORP                        NV       5.07                 10/02/13

Trinity Place Holdings Inc.             DE       3.02,3.03,5.02,5.03,
                                                 5.07,8.01,9.010      9/27/13

Trio Resources, Inc.                    NV       1.01,9.01            09/25/13

Truett-Hurst, Inc.                      DE       5.02                 10/02/13

UIL HOLDINGS CORP                       CT       7.01,9.01            10/02/13

UNIVERSITY GENERAL HEALTH SYSTEM, INC   NV       7.01,9.01            10/02/13

URANIUM ENERGY CORP                     NV       1.01,5.02,8.01,9.01  09/26/13

US GEOTHERMAL INC                       DE       2.03                 09/26/13

VOLT INFORMATION SCIENCES, INC.         NY       5.02                 09/27/13

Vu1 CORP                                CA       7.01,9.01            09/30/13

WaferGen Bio-systems, Inc.              NV       3.02,7.01,9.01       09/30/13

WALT DISNEY CO/                         DE       5.02,9.01            09/27/13

WASHINGTON REAL ESTATE INVESTMENT TRU   MD       5.02                 09/27/13

WELLCARE HEALTH PLANS, INC.             DE       1.01,9.01            09/26/13

Western Refining, Inc.                  DE       7.01,9.01            10/02/13

WINDAUS GLOBAL ENERGY INC               WY       1.01,1.02,2.01,3.02,
                                                 9.01                 05/22/13    AMEND

WOUND MANAGEMENT TECHNOLOGIES, INC.     TX       1.01,9.01            10/01/13

Xhibit Corp.                            NV       5.02,9.01            09/26/13

XRS Corp                                MN       5.02,9.01            10/01/13

ZALE CORP                               DE       8.01                 10/02/13

Zalicus Inc.                            DE       3.03,5.03,9.01       10/02/13

ZION OIL & GAS INC                      DE       7.01,9.01            10/02/13

ZOGENIX, INC.                           DE       8.01                 10/01/13



Modified: 10/04/2013