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Commission announcementsCommission Suspends Trading in the Securities of Newtech Resources Ltd. for Failure to Make Required Periodic FilingsThe Securities and Exchange Commission (Commission) announced the temporary suspension of trading in the securities of Newtech Resources Ltd., commencing at 9:30 a.m. EDT on October 21, 2013 and terminating at 11:59 p.m. EDT on November 1, 2013. The Commission temporarily suspended trading in the securities of Newtech Resources Ltd. 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. 34-70621) Commission Suspends Trading in the Securities of High End Ventures, Inc. for Failure to Make Required Periodic FilingsThe Commission announced the temporary suspension of trading in the securities of High End Ventures, Inc., commencing at 9:30 a.m. EDT on October 21, 2013 and terminating at 11:59 p.m. EDT on November 1, 2013. The Commission temporarily suspended trading in the securities of High End Ventures, Inc. 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. 34-70723) Commission MeetingsOpen Meeting on Wednesday, October 23, 2013 at 10:00 a.m. The Securities and Exchange Commission will hold an Open Meeting on October 23, 2013, at 10:00 a.m., in the Auditorium (Room L-002) at the Commission's headquarters building, to consider whether to propose rules and forms related to the offer and sale of securities through crowdfunding pursuant to Section 4(a)(6) of the Securities Act of 1933, as mandated by Title III of the Jumpstart Our Business Startups Act. 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 PROCEEDINGSIn the Matter of Peter OrthosThe 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 Peter C. Orthos, a resident of Manhasset, New York. The Order finds that, on July 29, 2011, Orthos was convicted by guilty plea of three counts of engaging in a Securities Fraud Scheme, one count of Grand Larceny in the Second Degree, and two counts of Grand Larceny in the Third Degree before the Supreme Court of the State of New York, in People of New York v. Joseph Stevens & Company, Inc., et al., Case Number 02394-2009. The Order further finds that the counts of the indictment to which Orthos pleaded guilty alleged, inter alia, that from in or about January 2001 to in or about September 2005, Orthos participated in a scheme to defraud investors that resulted in excessive and undisclosed commissions in stocks. Based on the above, the Order bars Orthos 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. Orthos consented to the issuance of the Order. (Rel. 34-70727). In the Matter of Stephen E. GagnonThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing (Order) against Stephen E. Gagnon, a resident of Riverside, Rhode Island. The Order alleges that on March 25, 2013, the Rhode Island Department of Business Regulation entered a final order, by consent, against the Respondent (the Rhode Island order), finding that he violated, among others, the anti-fraud provisions of Rhode Island's securities laws and certain Rhode Island laws concerning insurance producers. According to the Rhode Island order, a customer complained that Gagnon convinced her to terminate a variable annuity and replace it with two other variable annuities that were inappropriate for someone of her age, in a transaction which subjected her to charges in excess of $18,000. The customer further alleged that a signature in her name which appeared along with Gagnon's name on a disclosure document required for the transaction was not in fact her signature. Rhode Island's order required Gagnon to cease and desist from any further violations of those laws, revoked Gagnon's investment adviser representative and insurance producer licenses, and stated that Gagnon shall have the right to apply for re-registration as a broker-dealer, sales representative, insurance producer, investment adviser, and/or investment adviser representative in the state of Rhode Island after ten years. A hearing will be held by an Administrative Law Judge to determine whether the allegations contained in the Order are true, to afford the Respondent an opportunity to establish any defenses to such allegations, and to determine what, if any, remedial action is appropriate and in the public interest. The Order requires an Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. (Rel. IA-3697). In the Matter of Anthony ChiassonThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing against Anthony Chiasson (Chiasson). The Order finds that Chiasson was a founding partner of Level Global Investors, LP (Level Global), an unregistered investment adviser located in Greenwich, Connecticut and New York, New York. Chiasson served as Level Global's Director of Research and the Sector Head of the technology, media and telecommunications sector, and also had authority to execute trades for the hedge funds managed by the firm. (Level Global ceased investment activities in early 2011.) On January 18, 2012, the Commission filed a civil action against Chiasson in SEC v. Adondakis et al., Civil Action No. 12-CV-0409 (S.D.N.Y.). On October 4, 2013, the Court entered an order permanently enjoining Chiasson from future violations of Section 10(b) of the Securities Exchange Act of 1934, Rule 10b-5 thereunder, and Section 17(a) of the Securities Act of 1933. The Commission's complaint alleged, among other things, that, beginning in 2008, in connection with the purchase or sale of securities, Chiasson knew, recklessly disregarded, or should have known, that material nonpublic information he received from a Level Global analyst was disclosed or misappropriated in breach of a fiduciary duty, or similar relationship of trust and confidence, and that Chiasson is liable for insider trading because he directly or indirectly caused Level Global to place trades based on material nonpublic information and/or unlawfully tipped such information to Level Global. On December 17, 2012, Chiasson was convicted of one count of conspiracy to commit securities fraud and five counts of securities fraud in violation of Section 10(b) of the Exchange Act and Rule 10b-5 before the United States District Court for the Southern District of New York, in U.S. v. Newman et al., S2:12-cr-121 (RJS). On May 14, 2013, a judgment in the criminal case was entered against Chiasson. (The judgment was later amended on July 16, 2013.) He was sentenced to a prison term of 78 months followed by one year of supervised release. He was also ordered to pay a fine of $5 million and $1,382,217 in criminal forfeiture. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations against Chiasson are true, to afford him an opportunity to establish defenses to the allegations, to determine whether remedial action is appropriate in the public interest against Respondent pursuant to Section 203(f) of the Advisers Act. The Administrative Law Judge is directed to issue a decision no later than 210 days from the date of service of the Order Instituting Proceedings, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. (Rel. IA-3698) In the Matter of Todd NewmanThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing against Todd Newman (Newman). The Order finds that from 2006 to 2011, Newman was employed as a research analyst in the New York office of Diamondback Capital Management, LLC (Diamondback Capital), a registered investment adviser based in Stamford, Connecticut. On January 18, 2012, the Commission filed a civil action against Newman in SEC v. Adondakis et al., Civil Action No. 12-CV-0409 (S.D.N.Y.). On October 4, 2013, the Court entered an order permanently enjoining Newman from future violations of Section 10(b) of the Securities Exchange Act of 1934, Rule 10b-5 thereunder, and Section 17(a) of the Securities Act of 1933. The Commission's complaint alleged, among other things, that, beginning in 2008, in connection with the purchase or sale of securities, Newman knew, recklessly disregarded, or should have known, that material nonpublic information he received from a Diamondback analyst was disclosed or misappropriated in breach of a fiduciary duty, or similar relationship of trust and confidence, and that Newman is liable for insider trading because he directly or indirectly caused Diamondback to place trades based on material nonpublic information and/or unlawfully tipped such information to Diamondback. On December 17, 2012, in a parallel criminal proceeding, Newman was convicted of one count of conspiracy to commit securities fraud and four counts of securities fraud in violation of Section 10(b) of the Exchange Act and Rule 10b-5 before the United States District Court for the Southern District of New York, in U.S. v. Newman et al., S2:12-cr-121 (RJS). On May 9, 2013, a judgment in the criminal case was entered against Newman. He was sentenced to a prison term of 54 months followed by one year of supervised release. He was also ordered to pay a fine of $1 million and $737,724 in criminal forfeiture. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations against Newman are true, to afford him an opportunity to establish defenses to the allegations, and to determine whether remedial action is appropriate in the public interest against Respondent pursuant to Section 203(f) of the Advisers Act. The Administrative Law Judge is directed to issue a decision no later than 210 days from the date of service of the Order Instituting Proceedings, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. (Rel. IA-3699) Commission Orders Hearings on Registration Suspension or Revocation against Newtech Resources 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 Newtech Resources Ltd., for failure to make required periodic filings with the Commission. In the Matter of Newtech Resources Ltd., Administrative Proceeding File No. 3-15576. In this Order, the Division of Enforcement (Division) alleges that Newtech Resources Ltd. 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 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 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. (Rel. 34-70722) Commission Orders Hearings on Registration Suspension or Revocation against High End Ventures, Inc. 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 High End Ventures, Inc., for failure to make required periodic filings with the Commission. In the Matter of High End Ventures, Inc., Administrative Proceeding File No. 3-15577. In this Order, the Division of Enforcement (Division) alleges that High End Ventures, 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 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 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. (Rel. 34-70724) Investment company ordersThe KP Funds and
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1.01 | Entry into a Material Definitive Agreement |
1.02 |
Termination of a Material Definitive Agreement |
1.03 |
Bankruptcy or Receivership |
2.01 |
Completion of Acquisition or Disposition of Assets |
2.02 |
Results of Operations and Financial Condition |
2.03 |
Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant |
2.04 |
Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement |
2.05 |
Cost Associated with Exit or Disposal Activities |
2.06 |
Material Impairments |
3.01 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing |
3.02 |
Unregistered Sales of Equity Securities |
3.03 |
Material Modifications to Rights of Security Holders |
4.01 |
Changes in Registrant's Certifying Accountant |
4.02 |
Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review |
5.01 |
Changes in Control of Registrant |
5.02 |
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer |
5.03 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year |
5.04 |
Temporary Suspension of Trading Under Registrant's Employee Benefit Plans |
5.05 |
Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics |
5.06 |
Change in Shell Company Status |
6.01 |
ABS Informational and Computational Material. |
6.02 |
Change of Servicer or Trustee. |
6.03 |
Change in Credit Enhancement or Other External Support. |
6.04 |
Failure to Make a Required Distribution. |
6.05 |
Securities Act Updating Disclosure. |
7.01 |
Regulation FD Disclosure |
8.01 |
Other Events |
9.01 |
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.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ACACIA RESEARCH CORP DE 8.01 09/30/13 ACME UNITED CORP CT 2.02,9.01 10/18/13 Activision Blizzard, Inc. DE 1.01,1.02,2.01, 10/11/13 2.03,3.03,5.02,5.08,8.01,9.01 ADCARE HEALTH SYSTEMS, INC OH 5.03,8.01,9.01 10/17/13 ADVANCED MEDICAL ISOTOPE Corp DE 5.02,9.01 10/17/13 Advaxis, Inc. DE 8.01,9.01 10/16/13 AGENT155 MEDIA CORP. NV 3.02,9.01 05/15/13 AIR LEASE CORP DE 3.02 10/15/13 Aircastle LTD D0 7.01,9.01 10/17/13 ALIMERA SCIENCES INC DE 8.01,9.01 10/18/13 AlumiFuel Power Corp NV 5.03,9.01 10/14/13 AMEREN ENERGY GENERATING CO IL 2.01,8.01,9.01 10/11/13 AMERICAN HONDA RECEIVABLES LLC DE 6.01,9.01 10/18/13 Americas Diamond Corp. NV 8.01,9.01 10/15/13 AMERISERV FINANCIAL INC /PA/ PA 8.01 10/18/13 AMES NATIONAL CORP IA 2.02,7.01,9.01 10/18/13 Anacor Pharmaceuticals, Inc. DE 8.01,9.01 10/17/13 Andatee China Marine Fuel Services Co DE 5.02,9.01 09/25/13 Apollo Medical Holdings, Inc. DE 1.01,2.03,9.01 10/15/13 ARIAD PHARMACEUTICALS INC DE 8.01,9.01 10/18/13 ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 4.01,9.01 10/15/13 Aspect FuturesAccess LLC DE 5.03,9.01 10/14/13 BAKER HUGHES INC DE 2.02,7.01,9.01 10/18/13 BAYLAKE CORP WI 2.02,9.01 10/17/13 BILL BARRETT CORP DE 7.01,9.01 10/17/13 BIOANALYTICAL SYSTEMS INC IN 2.02,9.01 10/18/13 BLUE RIDGE REAL ESTATE CO PA 5.07 10/18/13 Blueknight Energy Partners, L.P. DE 1.01,9.01 10/16/13 BOB EVANS FARMS INC DE 5.02,9.01 08/16/13 AMEND Bohai Pharmaceuticals Group, Inc. NV 8.01 10/17/13 Booz Allen Hamilton Holding Corp DE 2.03 10/15/13 BORGWARNER INC DE 8.01,9.01 10/18/13 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 2.02,9.01 10/17/13 BRT REALTY TRUST MA 8.01,9.01 10/15/13 CADENCE PHARMACEUTICALS INC 8.01 10/18/13 CAESARS ENTERTAINMENT Corp DE 8.01,9.01 10/18/13 CALPINE CORP DE 7.01,9.01 10/17/13 CAMCO FINANCIAL CORP DE 4.01,9.01 10/11/13 Capitol Federal Financial Inc MD 7.01,9.01 10/18/13 Cardigant Medical Inc. DE 5.02 10/18/13 CARNIVAL CORP DE 5.02 10/14/13 CATO CORP DE 5.07 02/02/13 CCA INDUSTRIES INC DE 5.02,8.01,9.01 10/17/13 CD INTERNATIONAL ENTERPRISES, INC. FL 8.01,9.01 10/18/13 Celanese Corp DE 2.02,7.01,9.01 10/18/13 CENTRAL ENERGY PARTNERS LP DE 2.03 10/14/13 Ceres, Inc. DE 2.05,5.02 10/11/13 CHIMERIX INC DE 8.01,9.01 10/18/13 China Housing & Land Development, Inc NV 2.02,4.02,9.01 10/18/13 CHIPOTLE MEXICAN GRILL INC 2.02,9.01 10/17/13 ChromaDex Corp. DE 1.01,3.02,9.01 10/17/13 CIG WIRELESS CORP. NY 2.01,9.01 08/02/13 AMEND Cinedigm Corp. DE 2.02,7.01,9.01 10/18/13 Cinedigm Corp. DE 1.01,9.01 10/17/13 CION Investment Corp MD 2.02,9.01 10/18/13 Citadel EFT, Inc. NV 4.01,9.01 09/17/13 AMEND CLEVELAND BIOLABS INC DE 1.01,8.01,9.01 10/18/13 ClubCorp Holdings, Inc. NV 2.02,9.01 10/17/13 COMMUNICATIONS SYSTEMS INC MN 5.02,9.01 10/11/13 Compressco Partners, L.P. DE 1.01,1.02,2.03, 10/15/13 3.03,9.01 Cooper-Standard Holdings Inc. DE 8.01,9.01 10/18/13 CorMedix Inc. DE 1.01,3.02,9.01 10/17/13 Corporate Resource Services, Inc. DE 8.01,9.01 10/18/13 Crestwood Midstream Partners LP DE 7.01,9.01 10/17/13 CROSSTEX ENERGY INC DE 7.01,9.01 10/18/13 CROSSTEX ENERGY LP DE 7.01,9.01 10/18/13 CyrusOne Inc. MD 5.02 10/18/13 CYTEC INDUSTRIES INC/DE/ DE 2.02,9.01 10/17/13 Dakota Creek Minerals Inc. 5.02,9.01 10/08/13 DAWSON GEOPHYSICAL CO TX 5.02 10/11/13 DONEGAL GROUP INC DE 7.01,9.01 10/17/13 DREW INDUSTRIES INC DE 8.01,9.01 10/18/13 DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 10/16/13 EAGLE FINANCIAL SERVICES INC VA 2.02,9.01 10/18/13 EASTGROUP PROPERTIES INC MD 2.02,7.01,9.01 10/17/13 EDISON MISSION ENERGY DE 1.01,9.01 10/18/13 EFACTOR GROUP CORP. 5.02,9.01 10/18/13 Enerpulse Technologies, Inc. NY 2.01,3.02,4.01, 09/04/13 AMEND 5.01,5.02,5.03,5.06,9.01 ENTERPRISE FINANCIAL SERVICES CORP DE 5.02 10/11/13 EnviroStar, Inc. DE 1.01,9.01 10/16/13 Epcylon Technologies, Inc. NV 5.02,9.01 10/11/13 EPR PROPERTIES MD 8.01,9.01 10/18/13 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 3.01,9.01 10/18/13 FIRST BANKS, INC MO 2.02,9.01 10/18/13 First Federal of Northern Michigan Ba 8.01,9.01 10/15/13 FIRST FINANCIAL BANKSHARES INC TX 2.02,9.01 10/17/13 FIRST HORIZON NATIONAL CORP TN 2.02,7.01,9.01 10/18/13 FIRST HORIZON NATIONAL CORP TN 2.02,7.01,9.01 10/18/13 FIRST NIAGARA FINANCIAL GROUP INC DE 2.02,9.01 10/18/13 FIRST NIAGARA FINANCIAL GROUP INC DE 2.02 10/18/13 Frank's International N.V. P7 3.01 10/11/13 Franklin Credit Management Corp DE 3.02 10/18/13 FRONTIER OILFIELD SERVICES INC TX 2.01,8.01 10/11/13 Fuel Systems Solutions, Inc. 5.02 10/17/13 Gaming & Leisure Properties, Inc. PA 8.01 10/11/13 GASCO ENERGY INC NV 8.01,9.01 10/18/13 GELIA GROUP, CORP. NV 8.01 10/18/13 GelTech Solutions, Inc. DE 3.02 10/11/13 GENERAL ELECTRIC CAPITAL CORP CT 8.01,9.01 10/18/13 GENERAL ELECTRIC CO NY 2.02,9.01 10/18/13 GENUINE PARTS CO GA 2.02,9.01 10/18/13 Globalstar, Inc. DE 1.01,3.02 10/14/13 GRANDPARENTS.COM, INC. DE 1.01 10/11/13 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 09/30/13 Green Automotive Co 1.01,2.01,3.02, 12/14/12 AMEND 5.01,5.02,5.03,5.06,9.01 Guaranty Bancorp DE 2.02,9.01 10/16/13 HANMI FINANCIAL CORP DE 5.02,9.01 08/23/13 HARBINGER GROUP INC. DE 7.01 10/18/13 HCI Group, Inc. FL 1.01,3.03,5.03, 10/18/13 7.01,9.01 HEARTLAND EXPRESS INC NV 2.02,9.01 10/16/13 HEMISPHERX BIOPHARMA INC DE 5.07 10/18/13 HONEYWELL INTERNATIONAL INC DE 2.02,9.01 10/18/13 HORIZON BANCORP /IN/ IN 2.02,9.01 10/17/13 HUB GROUP INC DE 2.02,9.01 09/30/13 Huntsman CORP DE 1.01,2.03,9.01 10/15/13 IASIS Healthcare LLC DE 7.01 10/18/13 IMH Financial Corp DE 7.01,9.01 10/18/13 Ingersoll-Rand plc L2 2.02,2.06,9.01 10/14/13 INTER PARFUMS INC DE 8.01 10/18/13 INTERPUBLIC GROUP OF COMPANIES, INC. DE 2.02,9.01 10/18/13 InvenSense Inc DE 1.01,9.01 10/14/13 INVESTMENT TECHNOLOGY GROUP INC DE 5.02 10/16/13 IRON MOUNTAIN INC DE 8.01 10/17/13 James River Coal CO VA 2.05 10/18/13 JDS UNIPHASE CORP /CA/ DE 5.02 10/18/13 K-V Pharmaceutical Co DE 5.02,7.01,9.01 10/10/13 KANSAS CITY SOUTHERN DE 2.02,9.01 10/18/13 KKR & Co. L.P. DE 3.02,7.01,9.01 10/18/13 KMG CHEMICALS INC TX 2.05,9.01 10/18/13 LABORATORY CORP OF AMERICA HOLDINGS DE 2.02 10/18/13 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 10/18/13 LABORATORY CORP OF AMERICA HOLDINGS DE 5.02 10/18/13 LASERLOCK TECHNOLOGIES INC NV 5.02 10/16/13 LEAP WIRELESS INTERNATIONAL INC DE 8.01 10/17/13 Leidos Holdings, Inc. 1.01 10/11/13 LEUCADIA NATIONAL CORP NY 1.01,8.01,9.01 10/15/13 LIBERTY STAR URANIUM & METALS CORP. NV 8.01,9.01 10/11/13 Lifevantage Corp CO 1.01,2.03,3.02,9.01 10/18/13 LIPOSCIENCE INC DE 5.02 10/18/13 Lone Pine Resources Inc. DE 3.01 10/11/13 LOOKSMART LTD DE 5.07 10/14/13 LORAL SPACE & COMMUNICATIONS INC. DE 8.01 10/17/13 MACROGENICS INC DE 5.03,8.01,9.01 10/16/13 MamaMancini's Holdings, Inc. NV 7.01,9.01 10/17/13 Manitex International, Inc. MI 1.01,9.01 10/15/13 MARCUS CORP WI 5.07 10/17/13 MB FINANCIAL INC /MD 2.02,9.01 10/17/13 MCDERMOTT INTERNATIONAL INC R1 5.02,9.01 10/17/13 MDC HOLDINGS INC DE 5.02,9.01 10/18/13 MEDGENICS, INC. DE 5.02,7.01,9.01 10/15/13 MEDICINOVA INC DE 5.02,9.01 10/15/13 MetroCorp Bancshares, Inc. TX 2.02,9.01 10/18/13 Millennial Media Inc. DE 3.01 10/14/13 MILLER ENERGY RESOURCES, INC. TN 5.02 10/17/13 Monarch Financial Holdings, Inc. VA 2.02,8.01,9.01 10/17/13 MORGAN STANLEY DE 2.02,9.01 10/18/13 MoSys, Inc. DE 2.02,9.01 10/18/13 MUELLER INDUSTRIES INC DE 8.01 10/18/13 MVB FINANCIAL CORP WV 5.03,9.01 10/15/13 N-VIRO INTERNATIONAL CORP DE 1.01 10/17/13 NATION ENERGY INC DE 9.01 10/17/13 NATIONAL HEALTH INVESTORS INC MD 8.01,9.01 10/16/13 NEULION, INC. 5.07 06/05/13 AMEND NORFOLK SOUTHERN CORP VA 1.01,9.01 10/18/13 NORWOOD FINANCIAL CORP PA 2.02,9.01 10/18/13 NRG ENERGY, INC. DE 1.01,9.01 10/18/13 NYSE Euronext DE 1.01,9.01 10/14/13 OCCIDENTAL PETROLEUM CORP /DE/ DE 8.01,9.01 10/18/13 OCEANFIRST FINANCIAL CORP DE 2.02,8.01,9.01 10/17/13 OLD SECOND BANCORP INC DE 1.02 10/17/13 Oncothyreon Inc. DE 5.02 09/05/13 AMEND ORAGENICS INC FL 7.01,9.01 10/18/13 PACIFIC GOLD CORP NV 3.03,5.03,9.01 10/18/13 PAN GLOBAL, CORP. NV 3.02,5.03,9.01 10/18/13 Panache Beverage, Inc. 7.01,9.01 10/16/13 PARK ELECTROCHEMICAL CORP NY 5.02 10/15/13 PARKER HANNIFIN CORP OH 2.02,7.01,9.01 10/18/13 PENN NATIONAL GAMING INC PA 2.02,9.01 10/17/13 PENN NATIONAL GAMING INC PA 1.01 10/11/13 People's United Financial, Inc. DE 2.02,7.01,9.01 10/17/13 PEREGRINE PHARMACEUTICALS INC DE 5.02,5.07 10/17/13 PIEDMONT NATURAL GAS CO INC NC 7.01 10/16/13 PIER 1 IMPORTS INC/DE DE 5.02,7.01,9.01 10/17/13 PINNACLE ENTERTAINMENT INC. DE 7.01,9.01 10/18/13 PIONEER NATURAL RESOURCES CO DE 2.02,7.01 10/18/13 Pioneer Southwest Energy Partners L.P DE 2.02,7.01 10/18/13 Polar Petroleum Corp. 1.01,2.03,9.01 10/16/13 PostRock Energy Corp DE 1.01,3.02 10/14/13 PPL Corp 2.03,8.01,9.01 09/17/13 Premier, Inc. 5.02,8.01,9.01 10/11/13 PRIMUS TELECOMMUNICATIONS GROUP INC DE 5.03,9.01 10/15/13 pSivida Corp. DE 8.01,9.01 10/17/13 RAIT Financial Trust MD 1.01,2.03,9.01 10/11/13 RARE ELEMENT RESOURCES LTD A1 5.02 10/17/13 REPUBLIC BANCORP INC /KY/ KY 2.02,9.01 10/18/13 Resolute Forest Products Inc. DE 5.02 10/17/13 RICKS CABARET INTERNATIONAL INC TX 3.02 10/15/13 RING ENERGY, INC. NV 1.01,9.01 10/16/13 RLI CORP IL 7.01,9.01 10/17/13 ROCHESTER MEDICAL CORPORATION MN 8.01 10/17/13 ROSS STORES INC DE 7.01 10/15/13 RTI SURGICAL, INC. DE 1.01,8.01,9.01 10/12/13 SAGA COMMUNICATIONS INC DE 5.02,5.07,7.01,9.01 10/16/13 SBT Bancorp, Inc. CT 8.01,9.01 10/18/13 SCANSOURCE INC SC 5.02 10/15/13 SCHLUMBERGER LTD /NV/ P8 2.02,7.01,9.01 10/18/13 SCIENTIFIC GAMES CORP DE 1.01,1.02,2.01, 10/18/13 2.03,8.01,9.01 Scio Diamond Technology Corp NV 1.01,2.03,9.01 10/11/13 SELECT COMFORT CORP MN 1.01,2.03,9.01 10/15/13 SILVER STREAM MINING CORP. NV 9.01 10/17/13 Silverton Adventures, Inc. NV 5.03,9.01 10/18/13 AMEND SOLERA HOLDINGS, INC DE 8.01,9.01 10/17/13 SOLIGENIX, INC. DE 5.02 10/14/13 SOURCE FINANCIAL, INC. 5.02 10/16/13 Southern Trust Securities Holding Cor FL 5.02 10/17/13 SPAR GROUP INC DE 4.01,9.01 10/14/13 SPARTAN STORES INC MI 5.03 10/16/13 Standard Drilling, Inc. 9.01 10/17/13 Standard Financial Corp. MD 2.02,8.01,9.01 10/17/13 Starz DE 7.01,9.01 10/14/13 Starz, LLC DE 7.01,9.01 10/14/13 Strategic Realty Trust, Inc. MD 8.01 10/17/13 Stratex Oil & Gas Holdings, Inc. CO 1.01,9.01 10/15/13 Summit Materials, LLC DE 5.02,9.01 10/14/13 SUNTRUST BANKS INC GA 2.02,7.01,9.01 10/18/13 SUTRON CORP VA 5.02 10/11/13 TAYLOR CAPITAL GROUP INC DE 2.02,9.01 10/17/13 TECHPRECISION CORP 4.01,9.01 10/14/13 TENGASCO INC TN 5.07,7.01,9.01 10/17/13 TESSCO TECHNOLOGIES INC DE 1.01 10/18/13 TETRA TECHNOLOGIES INC DE 1.01,1.02,2.03, 10/15/13 3.03,9.01 TEXAS INDUSTRIES INC DE 5.07 10/16/13 TEXTRON INC DE 2.02,9.01 10/18/13 TigerLogic CORP DE 1.01,5.02,7.01,9.01 10/16/13 Titan Iron Ore Corp. NV 1.01,3.02,9.01 10/15/13 TOMPKINS FINANCIAL CORP NY 2.02,8.01,9.01 10/18/13 TRANS LUX CORP DE 3.02,8.01,9.01 10/16/13 TRINITY CAPITAL CORP NM 5.02,9.01 10/17/13 True Drinks Holdings, Inc. NV 8.01,9.01 10/16/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 10/18/13 TWENTY-FIRST CENTURY FOX, INC. 5.02,5.07,9.01 10/18/13 U S PRECIOUS METALS INC DE 5.02 10/16/13 U.S. Well Services, LLC DE 8.01,9.01 10/18/13 U.S. Well Services, LLC DE 1.01,2.03,9.01 10/18/13 Ubiquiti Networks, Inc. DE 5.02,9.01 10/11/13 UNITED BANCSHARES INC/OH OH 7.01,8.01,9.01 10/18/13 United Financial Bancorp, Inc. 2.02,9.01 10/17/13 UNITED STATES STEEL CORP DE 8.01,9.01 10/18/13 UNITIL CORP NH 4.01,9.01 09/19/13 URANIUM ENERGY CORP NV 7.01,9.01 10/18/13 usell.com, Inc. DE 8.01 10/18/13 VALLEY FINANCIAL CORP /VA/ VA 7.01,9.01 10/18/13 VALMONT INDUSTRIES INC DE 2.02,9.01 10/17/13 VERDE RESOURCES, INC. NV 5.02 10/17/13 WATERS CORP /DE/ DE 5.03,9.01 10/16/13 WAUSAU PAPER CORP. WI 8.01,9.01 10/17/13 WHITE MOUNTAIN TITANIUM CORP NV 7.01,9.01 10/17/13 WHOLELIFE COMMUNITIES, INC. 5.03 10/17/13 WIRELESS RONIN TECHNOLOGIES INC MN 5.02 10/18/13 WMS INDUSTRIES INC /DE/ DE 1.02,2.01,3.01, 10/18/13 3.03,5.01,5.02,5.03,9.01 WORTHINGTON INDUSTRIES INC OH 8.01,9.01 10/17/13 WOUND MANAGEMENT TECHNOLOGIES, INC. TX 1.01,2.03,3.02, 10/16/13 5.02,9.01 WRIGHT MEDICAL GROUP INC DE 1.01,7.01,9.01 10/17/13 WSI INDUSTRIES, INC. MN 2.02,5.02,8.01,9.01 10/15/13 XPLORE TECHNOLOGIES CORP DE 2.02,9.01 10/18/13 Zann Corp NV 8.01,9.01 10/14/13 ZBB ENERGY CORP WI 3.01,5.03,9.01 10/14/13
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