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Commission announcementsCommission Suspends Trading in the Securities of Pacific Clean Water Technologies, Inc.The Securities and Exchange Commission (Commission) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934, of trading in the securities of Pacific Clean Water Technologies, Inc. ("PCWT"), at 5:30 p.m. EDT, October 11, 2013, through 11:59 p.m. EDT, on October 24, 2013. The Commission temporarily suspended trading in the securities of PCWT because of questions that have been raised about the accuracy and adequacy of publicly disseminated information concerning, among other things, the company's business operations. PCWT is quoted on OTC Link under the ticker symbol PCWT. The Commission acknowledges the assistance of the Financial Industry Regulatory Authority. ee In the Matter of Pacific Clean Water Technologies, Inc. (Rel. 34-70681). ENFORCEMENT PROCEEDINGSFormer Detroit Mayor Kwame Kilpatrick, Previously Sued by the SEC for Fraud, Sentenced to 28 Years in PrisonThe Commission announced that on October 10, 2013, U.S. District Judge Nancy Edmunds sentenced former City of Detroit Mayor Kwame Kilpatrick to 28 years in prison. A jury had previously convicted Kilpatrick of racketeering, conspiracy, fraud, extortion, and tax crimes in March 2013. The U.S. Attorney's Office for the Eastern District of Michigan originally filed criminal charges against Kilpatrick on December 14, 2010. Kilpatrick is a defendant in a pending civil injunctive action filed by the SEC on May 9, 2012 in the United States District Court for the Eastern District of Michigan. The charges leveled by the SEC stem from facts also alleged by the U.S. Attorney's Office. The SEC's complaint alleged that Kilpatrick and former Detroit Treasurer Jeffrey W. Beasley, who were trustees to the city's public pension funds, solicited and received $125,000 worth of private jet travel and other perks paid for by MayfieldGentry Realty Advisors LLC, an investment adviser whose CEO Chauncey Mayfield was recommending to the trustees that the pension funds invest approximately $117 million in a real estate investment trust (REIT) controlled by the firm. Despite their fiduciary duties, neither Kilpatrick and Beasley nor Mayfield and his firm informed the boards of trustees about these trips and the conflicts of interest they presented. (Rel. LR-22844) In the Matter of John MicciolaThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against John Micciola (Micciola), a resident of Freehold, New Jersey. The Order finds that, on August 8, 2011, Micciola was convicted in the Supreme Court of the State of New York in People of the State of New York v. Joseph Stevens & Co., Inc., et al., Case Number 02394-2009 of two counts of securities fraud, one count of grand larceny in the second degree, and one count of grand larceny in the third degree. The Order further finds that Micciola participated in firm-wide schemes that resulted in excessive and undisclosed commissions on stocks. Based on the above, the Order bars Micciola from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and 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. Micciola consented to the issuance of the Order. (Rel. 34-70686). Default Judgment Entered Against Peter MadoffThe Commission announced today that, on October 11, 2013, the Honorable Laura Taylor Swain, United States District Court for the Southern District of New York, entered a default judgment against Peter Madoff, former chief compliance officer and senior managing director at Bernard L. Madoff Investment Securities LLC (BMIS) from 1969 to 2008. The Commission's complaint alleged that Peter Madoff created stacks of compliance documents setting out supposedly robust policies and procedures over BMIS's investment advisory operations. However, no policies and procedures were ever implemented, and none of the reviews were actually performed even though Peter Madoff represented that he personally completed the reviews. The SEC's complaint also alleged that in addition to creating false compliance materials, Peter Madoff created false broker-dealer and investment advisor registration applications filed by BMIS. He also failed to implement and review required policies and procedures, and falsified the firm's books and records. Peter Madoff was richly rewarded for his misconduct, pocketing tens of millions of dollars through salary and bonuses, fake trades, sham loans, and direct, undocumented transfers of investor funds to himself from the bank account that BMIS used to perpetrate the Ponzi scheme. For additional information, see Litigation Release Number 22407 (June 29, 2012). Peter Madoff failed to answer, move or otherwise respond to the Commission's complaint. The default judgment permanently enjoins Peter Madoff from violating or aiding and abetting violations of Sections 10(b), 15(b)(1), 15(c) and 17(a) of the Securities Exchange Act of 1934 and Rules 10b-3, 10b-5, 15b3-1 and 17a-3 thereunder, and Sections 204, 206(1), 206(2), 206(4) and 207 of the Advisers Act of 1940 and Rules 204-2 and 206(4)-7 thereunder. The default judgment orders no monetary relief in light of Peter Madoff's criminal conviction and the $143 billion in restitution ordered in the parallel criminal proceeding United States v. Peter Madoff, 10 Crim. 228 (S.D.N.Y.) (LTS). (Rel. LR-22845) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change (SR-C2-2013-035) filed by the C2 Options Exchange, Incorporated relating to fees for the Complex Order Book Data Feed for C2 listed options has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected to be made in the Federal Register during the week of October 14th. (Rel. 34-70684). A proposed rule change (SR-BATS-2013-55) filed by BATS Exchange, Inc. related to fees for use of BATS Exchange, Inc. has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected to be made in the Federal Register during the week of October 14th. (Rel. 34-70687) A proposed rule change (SR-CBOE-2013-087) filed by the Chicago Board Options Exchange, Incorporated relating to fees for the Complex Order Book Data Feed for CBOE listed options has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected to be made in the Federal Register during the week of October 14th. (Rel. 34-70683). Notice of Proposed Rule ChangeNASDAQ OMX PHLX LLC filed a proposed rule change (SR-Phlx-2013-101) pursuant to Section 19(b)(1) of the Securities Exchange Act, and Rule 19b-4 thereunder, regarding the Short Term Option Series Program. Publication is expected in the Federal Register during the week of October 14th. (Rel. 34-70682) Chicago Board Options Exchange, Incorporated filed a proposed rule change and Amendment No. 1 thereto (SR-CBOE-2013-096) pursuant to Section 19(b)(1) of the Securities Exchange Act, and Rule 19b-4 thereunder, relating to the Short Term Option Series Program. Publication is expected in the Federal Register during the week of October 14th. (Rel. 34-70685) BATS Y-Exchange, Inc. filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-BYX-2013-036) to amend Rule 12.6 to conform to FINRA Rule 5320 relating to trading ahead of customer orders. Publication is expected in the Federal Register during the week of October 14th. (Rel. 34-70663) BATS Exchange, Inc. filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-BATS-2013-056) to amend Rule 12.6 to conform to FINRA Rule 5320 relating to trading ahead of customer orders. Publication is expected in the Federal Register during the week of October 14th. (Rel. 34-70662) The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-8 SYNERGY RESOURCES CORP, 20203 HIGHWAY 60, PLATTEVILLE, CO, 80651,
303-591-7413 - 9,000,000 ($90,720,000.00) Equity, (File 333-191684 -
Oct. 11) (BR. 04A)
S-4 SGH Holdco Inc., 15303 VENTURA BLVD, SUITE 1600, SHERMAN OAKS, CA,
91403, 8054094340 - 149,293,451 ($176,912,739.44) Equity,
(File 333-191685 - Oct. 11) (BR. 10A)
S-3 MATTSON TECHNOLOGY INC, 47131 BAYSIDE PARKWAY, FREMONT, CA, 94538,
510 657 5900 - 60,000,000 ($60,000,000.00) Equity, (File 333-191686 -
Oct. 11) (BR. 10B)
S-1 Celladon Corp, 12760 HIGH BLUFF DRIVE, SUITE 240, SAN DIEGO, CA, 92130,
858-366-4288 - 0 ($86,250,000.00) Equity, (File 333-191688 - Oct. 11)
(BR. 01B)
S-1 Xencor Inc, 111 WEST LEMON AVE, MONROVIA, CA, 91016, 626-305-5900 -
0 ($69,000,000.00) Equity, (File 333-191689 - Oct. 11) (BR. 01)
S-8 TAMINCO Corp, C/O APOLLO MANAGEMENT VII, L.P.,
9 WEST 57TH STREET, 43RD FLOOR, NEW YORK, NY, 10019, 610-366-6744 -
8,525,415 ($114,606,035.45) Equity, (File 333-191690 - Oct. 11)
(BR. 06B)
S-8 SCANA CORP, 100 SCANA PARKWAY, MAIL CODE - B123, CAYCE, SC, 29033,
8032179000 - 0 ($153,000,000.00) Equity, (File 333-191691 - Oct. 11)
(BR. 02C)
S-3ASR JPMORGAN CHASE & CO, 270 PARK AVE, 38TH FL, NEW YORK, NY, 10017,
2122706000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-191692 - Oct. 11) (BR. 12A)
S-8 ANTERO RESOURCES Corp, 1625 17TH STREET, SUITE 300, DENVER, CO, 80202,
303-357-7325 - 0 ($1,065,800,000.00) Equity, (File 333-191693 -
Oct. 11) (BR. 04B)
S-8 PRUDENTIAL BANCORP, INC., 1834 W. OREGON AVENUE, PHILADELPHIA, PA,
19145, 215-755-1500 - 0 ($3,273,000.00) Equity, (File 333-191694 -
Oct. 11) (BR. 07)
S-8 Lipocine Inc., 675 ARAPEEN DRIVE, SUITE 202, SALT LAKE CITY, X1, 84108,
801 994 7383 - 1,593,155 ($7,680,825.87) Equity, (File 333-191695 -
Oct. 11) (BR. 01A)
N-2 ALPS/Alerian MLP Equal Weight Index Fund, 1290 BROADWAY, SUITE 1100,
DENVER, CO, 80203, 303-623-2577 - 0 ($1,000,000.00) Equity,
(File 333-191696 - Oct. 11) (BR. )
S-3 SCANA CORP, 100 SCANA PARKWAY, MAIL CODE - B123, CAYCE, SC, 29033,
8032179000 - 0 ($182,248,290.00) Equity, (File 333-191697 - Oct. 11)
(BR. 02C)
S-1 CARDIODX INC, 2500 FABER PLACE, PALO ALTO, CA, 94303, (650) 475-2788 -
0 ($86,250,000.00) Equity, (File 333-191698 - Oct. 11) (BR. 09)
S-3 WAVE SYSTEMS CORP, 480 PLEASANT ST, LEE, MA, 01238, 4132431600 -
0 ($510,431.86) Equity, (File 333-191699 - Oct. 11) (BR. 03A)
S-8 FIVE PRIME THERAPEUTICS INC, TWO CORPORATE DRIVE, SOUTH SAN FRANCISCO,
CA, 94080, 415-365-5600 - 5,973,908 ($63,095,376.28) Equity,
(File 333-191700 - Oct. 11) (BR. 01A)
N-2 Fifth Street Senior Floating Rate Corp., 10 BANK STREET, 12TH FLOOR,
WHITE PLAINS, NY, 10606, (914) 286-6800 -
60,000,000 ($60,000,000.00) Equity, (File 333-191701 - Oct. 11) (BR. 16)
S-3 CALAVO GROWERS INC, 2530 RED HILL AVE., SANTA ANA, CA, 92705,
9098334200 - 0 ($5,864,309.00) Equity, (File 333-191702 - Oct. 11)
(BR. 05A)
S-4 LEGACY RESERVES LP, 303 W WALL, SUITE 1800, MIDLAND, TX, 79701,
432-689-5200 - 0 ($300,000,000.00) Debt, (File 333-191703 - Oct. 11)
(BR. 04B)
S-3 DOCUMENT SECURITY SYSTEMS INC, 36 WEST MAIN ST, SUITE 710, ROCHESTER,
NY, 14614, 585 232 1500 - 19,859,894 ($21,349,386.05) Equity,
(File 333-191704 - Oct. 11) (BR. 03B)
S-11 Carter Validus Mission Critical REIT, Inc., 4211 W BOY SCOUT BOULEVARD,
SUITE 520, TAMPA, FL, 33607, 813 287 0101 - 0 ($1.00) Equity,
(File 333-191705 - Oct. 11) (BR. 08B)
S-11 Carter Validus Mission Critical REIT II, Inc.,
4211 WEST BOY SCOUT BLVD., SUITE 500, TAMPA, FL, 33607, 813-287-0101 -
0 ($2,000,000,000.00) Equity, (File 333-191706 - Oct. 11) (BR. 08)
N-2 Little Harbor MultiStrategy Composite Fund, C/O LITTLE HARBOR ADVISORS,
30 DOAKS LANE, MARBLEHEAD, MA, 01945, 781-639-3000 -
300,000,000 ($300,000,000.00) Equity, (File 333-191707 - Oct. 11)
(BR. 17)
F-10 NOVADAQ TECHNOLOGIES INC, 2585 SKYMARK AVENUE, SUITE 306, MISSISSAUGA,
A6, L4W 4LS, 905-629-3822 -
0 ($250,000,000.00) Unallocated (Universal) Shelf, (File 333-191708 -
Oct. 11) (BR. 10B)
S-4 ING U.S., Inc., 230 PARK AVENUE, NEW YORK, NY, 10169, 860-580-2818 -
0 ($400,000,000.00) Debt, (File 333-191709 - Oct. 11) (BR. 01A)
S-1 VITAL THERAPIES INC, 15222 AVENUE OF SCIENCE, SUITE B, SAN DIEGO, CA,
92128, 858-673-6840 - 0 ($86,250,000.00) Equity, (File 333-191711 -
Oct. 11) (BR. 01B)
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
250 WEST 57TH ST ASSOCIATES L.L.C. NY 2.01 10/07/13
60 EAST 42ND STREET ASSOCIATES L.L.C. NY 2.01 10/07/13
A. H. Belo Corp DE 1.01,9.01 10/09/13
ACACIA RESEARCH CORP DE 8.01 09/30/13
Advaxis, Inc. DE 1.01,3.02,9.01 10/10/13
AKORN INC LA 8.01 10/11/13
ALCOA INC PA 2.02,9.01 10/08/13
ALKALINE WATER Co INC NV 1.01,3.02,5.02, 08/14/13
5.03,5.07,9.01
Ally Financial Inc. DE 8.01,9.01 10/11/13
American Railcar Industries, Inc. ND 5.02,7.01,9.01 10/09/13
AMERICAS CARMART INC TX 5.02 10/07/13
ANTERO RESOURCES Corp 1.01,5.02,9.01 10/11/13
Approach Resources Inc DE 1.01,2.01,9.01 10/07/13
ARCH COAL INC DE 7.01,9.01 10/10/13
Armour Residential REIT, Inc. MD 7.01,9.01 10/11/13
Arno Therapeutics, Inc DE 5.02,9.01 10/07/13
As Seen On TV, Inc. FL 2.01 10/11/13
Asterias Biotherapeutics, Inc. DE 1.01 10/07/13
Astex Pharmaceuticals, Inc DE 2.01,3.01,3.03, 10/11/13
5.01,5.02,5.03,8.01,9.01
AUXILIUM PHARMACEUTICALS INC DE 1.01,7.01,9.01 10/10/13
B&G Foods, Inc. DE 3.02,8.01,9.01 10/07/13
BANK OF THE OZARKS INC AR 2.02,7.01,9.01 10/10/13
BIOMARIN PHARMACEUTICAL INC DE 1.01,2.03,7.01,9.01 10/08/13
BIOTIME INC CA 1.01 10/07/13
BLUE CALYPSO, INC. DE 1.01,3.02,9.01 10/07/13
Blue Water Petroleum Corp. 7.01,9.01 10/10/13
Boomerang Systems, Inc. DE 5.02 10/10/13
Caldera Pharmaceuticals Inc DE 5.02,8.01,9.01 10/01/13
CALLIDUS SOFTWARE INC DE 2.02,9.01 10/08/13
CAMCO FINANCIAL CORP DE 1.01,9.01 10/09/13
Capital Group Holdings, Inc. MN 4.01 10/08/13
Capitol Federal Financial Inc MD 8.01,9.01 10/11/13
Cardinal Energy Group, Inc. NV 5.02 10/11/13
CARRIZO OIL & GAS INC TX 1.01,2.03,7.01,9.01 10/09/13
CEL SCI CORP CO 1.01,9.01 10/11/13
CENTURY ALUMINUM CO DE 5.02 10/08/13
CHASE CORP MA 5.02,9.01 10/07/13
CITIZENS & NORTHERN CORP PA 2.02,9.01 10/11/13
CNL Healthcare Properties, Inc. MD 1.01,9.01 10/07/13
CNS RESPONSE, INC. DE 1.01,3.02,5.02 10/07/13
COMMUNITY BANCORP /VT VT 2.02,9.01 10/10/13
COMMUNITY TRUST BANCORP INC /KY/ KY 7.01 10/07/13
CORE MOLDING TECHNOLOGIES INC DE 5.07 05/15/13 AMEND
CORINTHIAN COLLEGES INC 8.01 10/11/13
CORNING NATURAL GAS CORP NY 8.01 10/04/13
CYTODYN INC CO 3.02 10/07/13
DAWSON GEOPHYSICAL CO TX 7.01,9.01 10/11/13
DEERE JOHN CAPITAL CORP DE 9.01 10/11/13
DEL MONTE CORP 1.01,7.01,9.01 10/09/13
DEL TORO SILVER CORP. NV 7.01 10/11/13
Delanco Bancorp, Inc 8.01,9.01 10/09/13
Delta Tucker Holdings, Inc. DE 5.02 10/07/13
DONEGAL GROUP INC DE 4.01,9.01 10/11/13
Duke Energy CORP DE 8.01,9.01 10/08/13
DYAX CORP DE 1.01,9.01 10/09/13
E2open Inc DE 1.01,2.03,9.01 10/07/13 AMEND
EHOUSEGLOBAL, INC. NV 2.01 06/30/13 AMEND
EMPIRE STATE BUILDING ASSOCIATES L.L. NY 2.01 10/07/13
ENB Financial Corp PA 2.02,9.01 10/10/13
ENDOCYTE INC DE 7.01,9.01 10/11/13
ENERGEN CORP AL 7.01,9.01 10/08/13
ETHAN ALLEN INTERIORS INC DE 7.01,9.01 10/10/13
EXPEDITORS INTERNATIONAL OF WASHINGTO WA 5.02,9.01 10/11/13
Fifth Street Senior Floating Rate Cor DE 8.01,9.01 10/11/13
FINJAN HOLDINGS, INC. DE 5.05,9.01 10/07/13
FIRST FINANCIAL HOLDINGS, INC. SC 9.01 07/26/13 AMEND
FOREST CITY ENTERPRISES INC OH 8.01,9.01 10/11/13
GAIN Capital Holdings, Inc. DE 7.01,9.01 10/10/13
GEI GLOBAL ENERGY CORP. NV 3.02 10/04/13
General Sales & Leasing, Inc. NV 1.01,5.01 10/08/13
GEOSPACE TECHNOLOGIES CORP DE 8.01,9.01 10/11/13
Global Clean Energy Holdings, Inc. DE 4.01 10/07/13
GLOBAL FOOD TECHNOLOGIES, INC. DE 5.02 10/10/13
GLOBAL HEALTHCARE REIT, INC. UT 5.02 10/01/13
GROWLIFE, INC. DE 1.01,2.03,3.02,9.01 10/11/13
Hanover Portfolio Acquisitions, Inc. DE 5.03,5.07 09/20/13
Health Insurance Innovations, Inc. DE 5.02 10/07/13
Healthient, Inc. 5.03,8.01,9.01 10/11/13
HEARTLAND PAYMENT SYSTEMS INC DE 5.02 10/09/13
HI TECH PHARMACAL CO INC NY 8.01 10/11/13
HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 1.01,9.01 10/09/13
HUNTINGTON BANCSHARES INC/MD MD 1.01,9.01 10/09/13
ICF International, Inc. DE 7.01,9.01 10/11/13
ICON Oil & Gas Fund-A L.P. DE 8.01 10/10/13
Ignite Restaurant Group, Inc. 3.01 10/09/13
II-VI INC PA 1.01,7.01,9.01 10/10/13
INDEPENDENT BANK CORP /MI/ MI 8.01 10/11/13
INTERFACE INC GA 2.04 10/10/13
InterMetro Communications, Inc. NV 3.02,9.01 10/07/13
INTERNATIONAL TEXTILE GROUP INC DE 2.01,2.02,2.04 10/07/13
INUVO, INC. NV 1.01 10/10/13
iShares S&P GSCI Commodity-Indexed Tr DE 5.02 10/09/13
ITERIS, INC. DE 5.02 10/09/13
JAMBA, INC. DE 5.02 10/07/13
JAVELIN MORTGAGE INVESTMENT CORP. MD 7.01,9.01 10/11/13
JetPay Corp NY 3.02,5.02,5.03,9.01 10/11/13
JPMORGAN CHASE & CO DE 2.02,9.01 10/11/13
JPMORGAN CHASE & CO DE 7.01,9.01 10/11/13
JPMORGAN CHASE & CO DE 8.01,9.01 10/11/13
KB HOME DE 5.02 10/10/13
KBR, INC. DE 8.01 10/09/13
KOPJAGGERS INC. FL 5.03,9.01 09/12/13
KOPJAGGERS INC. FL 4.01,9.01 10/11/13
LANDEC CORP \CA\ CA 5.02,5.07,9.01 10/10/13
Leatt Corp NV 5.02 10/11/13
LSB INDUSTRIES INC DE 1.01,9.01 10/07/13
LSI CORP DE 5.02 10/08/13
LUCID INC NY 1.01,2.03,9.01 10/07/13
Matson, Inc. HI 8.01 10/10/13
MENS WEARHOUSE INC TX 1.01,3.03,5.03, 10/09/13
8.01,9.01
MESABI TRUST NY 2.02,9.01 10/11/13
MINERALS TECHNOLOGIES INC DE 1.01,2.03,9.01 10/07/13
MMRGlobal, Inc. DE 3.02 10/02/13 AMEND
Molycorp, Inc. DE 5.02 10/08/13
MONDIAL VENTURES, INC. NV 5.03,9.01 10/11/13
Monster Arts Inc. NV 5.03 10/08/13
Nano Labs Corp. CO 1.01,9.01 09/25/13
NATIONAL MENTOR HOLDINGS, INC. DE 5.02,9.01 10/11/13
NATURAL HEALTH TRENDS CORP DE 2.02,9.01 10/11/13
NAVISTAR INTERNATIONAL CORP DE 1.01,2.03,3.02, 10/07/13
8.01,9.01
NEWMONT MINING CORP /DE/ DE 2.02,9.01 10/10/13
NewStar Financial, Inc. 5.02,9.01 10/09/13
Noble Corp / Switzerland V8 5.07,8.01,9.01 10/11/13
NORTH BAY RESOURCES INC DE 1.01,2.03,3.02,9.01 10/07/13
NORTHWEST NATURAL GAS CO OR 5.02 10/09/13
NOVELOS THERAPEUTICS, INC. DE 1.01,9.01 10/09/13
NUTRANOMICS, INC. NV 7.01,9.01 10/10/13
OCLARO, INC. DE 1.01,5.02,7.01,9.01 10/08/13
ON SEMICONDUCTOR CORP DE 1.01,2.03,9.01 10/10/13
ON4 COMMUNICATIONS INC. DE 8.01 10/11/13
Oncothyreon Inc. DE 5.02 10/09/13
Orchid Island Capital, Inc. MD 8.01,9.01 10/11/13
OSAGE EXPLORATION & DEVELOPMENT INC DE 1.01 10/07/13
OSIRIS THERAPEUTICS, INC. MD 1.01,2.01,9.01 10/10/13
PEGASYSTEMS INC MA 1.01,9.01 10/09/13
PLUG POWER INC DE 2.02,9.01 10/08/13
PLUG POWER INC DE 3.01,9.01 10/08/13
POTBELLY CORP 5.03,9.01 10/09/13
PROCTER & GAMBLE Co OH 5.07 10/11/13
Protea Biosciences Group, Inc. DE 1.01,2.03,3.02,9.01 10/07/13
PULSE ELECTRONICS CORP PA 5.02,9.01 10/07/13
PVF CAPITAL CORP OH 2.01,3.01,3.03,5.01 10/11/13
QVC INC DE 8.01,9.01 10/10/13
RealD Inc. DE 8.01,9.01 10/11/13
Reef Oil & Gas Drilling & Income Fund TX 8.01 10/11/13
REGIS CORP MN 5.02,9.01 10/11/13
RETAIL PROPERTIES OF AMERICA, INC. MD 5.02,5.07,9.01 10/08/13
RIMROCK GOLD CORP. NV 1.01,2.01,3.02, 09/23/13
8.01,9.01
ROCHESTER MEDICAL CORPORATION MN 8.01,9.01 10/10/13
ROCKFORD MINERALS INC /FI 1.01,2.01,3.02, 06/28/13 AMEND
4.01,5.01,5.02,5.03,5.06,9.01
rue21, inc. DE 3.01,8.01,9.01 10/10/13
Sanborn Resources, Ltd. DE 5.02 10/10/13
SCI Engineered Materials, Inc. OH 5.02 10/07/13
SEACHANGE INTERNATIONAL INC DE 7.01,9.01 10/10/13
SEYCHELLE ENVIRONMENTAL TECHNOLOGIES NV 7.01,9.01 10/11/13
SKYLINE CORP IN 2.02,9.01 10/11/13
Sorrento Therapeutics, Inc. DE 1.01,2.01,3.02, 10/09/13
7.01,9.01
SOUTHCOAST FINANCIAL CORP SC 2.02,9.01 10/08/13
SPEEDEMISSIONS INC FL 4.01,9.01 09/30/13
SPRINGLEAF FINANCE CORP IN 5.02 09/30/13 AMEND
SquareTwo Financial Corp DE 8.01,9.01 10/11/13
Steadfast Income REIT, Inc. MD 7.01 10/11/13
STEWART INFORMATION SERVICES CORP DE 8.01 10/10/13
SUPERTEL HOSPITALITY INC VA 5.02 10/09/13
SYNTHESIS ENERGY SYSTEMS INC DE 7.01,9.01 10/11/13
T-Mobile US, Inc. DE 8.01,9.01 10/08/13
Thunder Fusion Corp 5.03,9.01 10/11/13
TIFFANY & CO DE 8.01 10/11/13
Timberline Resources Corp DE 7.01,9.01 10/10/13
Titanium Asset Management Corp DE 8.01,9.01 10/10/13
Touchpoint Metrics, Inc. 5.02 10/09/13
TRW AUTOMOTIVE HOLDINGS CORP DE 5.02 10/10/13
TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 10/11/13
U. S. Premium Beef, LLC 7.01,9.01 10/11/13
U.S. SILICA HOLDINGS, INC. DE 5.02,9.01 10/08/13
U.S. Well Services, LLC DE 1.01,9.01 10/09/13
U.S. Well Services, LLC DE 8.01,9.01 10/11/13
UNITED AMERICAN HEALTHCARE CORP MI 1.01,9.01 10/10/13
UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 10/11/13
USA TRUCK INC DE 8.01,9.01 10/11/13
VIASPACE Inc. 1.01,5.02,9.01 10/09/13
VICON INDUSTRIES INC /NY/ NY 2.01 10/11/13
VIDEO DISPLAY CORP GA 1.01 10/04/13
VITRAN CORP INC A6 1.01,2.01,9.01 10/07/13
VIVUS INC CA 1.01,7.01,9.01 10/10/13
VOXX International Corp DE 2.02,8.01 10/09/13
WEBSTER FINANCIAL CORP DE 2.02,9.01 10/11/13
WELLS FARGO & COMPANY/MN DE 2.02,9.01 10/11/13
WOLVERINE WORLD WIDE INC /DE/ MI 1.01,5.03,9.01 10/09/13
WORLD FUEL SERVICES CORP FL 1.01,2.03,7.01,9.01 10/10/13
WYNN RESORTS LTD 7.01,9.01 10/11/13
Xhibit Corp. NV 1.01,9.01 10/07/13
http://www.sec.gov/news/digest/2013/dig101513.htm
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