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Commission announcementsCommission MeetingsClosed Meeting on Thursday, October 31, 2013 at 1:00 p.m. The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; adjudicatory matters; amicus consideration; 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) 5515400. ENFORCEMENT PROCEEDINGSCommission Charges Stryker Corporation with FCPA ViolationsThe Securities and Exchange Commission (Commission) today charged a Michiganbased medical technology company with violating the Foreign Corrupt Practices Act (FCPA) when subsidiaries in five different countries bribed doctors, health care professionals, and other governmentemployed officials in order to obtain or retain business. An SEC investigation found that Stryker Corporation's subsidiaries in Argentina, Greece, Mexico, Poland, and Romania made illicit payments totaling approximately $2.2 million that were incorrectly described as legitimate expenses in the company's books and records. Descriptions varied from a charitable donation to consulting and service contracts, travel expenses, and commissions. Stryker made approximately $7.5 million in illicit profits as a result of the improper payments. Stryker has agreed to pay more than $13.2 million to settle the SEC's charges. "Stryker's misconduct involved hundreds of improper payments over a number of years during which the company's internal controls were fatally flawed," said Andrew M. Calamari, director of the SEC's New York Regional Office. "Companies that allow corruption to occur by failing to implement robust compliance programs will not be allowed to profit from their misconduct." The SEC's order instituting settled administrative proceedings details improper payments by employees of Stryker's subsidiaries as far back as 2003. They used third parties to make the payments in order to win or keep lucrative contracts for the sale of Stryker's medical technology products. For example, in January 2006, Stryker's subsidiary in Mexico directed a law firm to pay approximately $46,000 to a Mexican government employee in order to secure the winning bid on a contract. The result was $1.1 million in profits for Stryker. The subsidiary reimbursed the Mexicobased law firm for the bribe and booked the payment as a legitimate legal expense. However, no legal services were actually provided and the law firm simply acted as a funnel to pay the bribe. According to the SEC's order, Stryker's subsidiary in Greece made a purported "donation" of nearly $200,000 in 2007 to a public university in Greece to fund a laboratory that was a pet project of a public hospital doctor. In exchange for the payment, the doctor agreed to provide business to Stryker. The SEC's investigation also found that Stryker's subsidiaries bribed foreign officials by paying their expenses for trips that lacked any legitimate business purpose. For example, in exchange for the promise of future business from the director of a public hospital in Poland, Stryker paid travel costs for the director and her husband in May 2004. This included a sixnight stay at a New York City hotel, attendance at two Broadway shows, and a fiveday trip to Aruba. The SEC's order requires Stryker to pay disgorgement of $7,502,635, prejudgment interest of $2,280,888, and a penalty of $3.5 million. Without admitting or denying the allegations, Stryker agreed to cease and desist from committing or causing any violations and any future violations of Sections 13(b)(2)(A) and 13(b)(2)(B) of the Securities Exchange Act of 1934. The SEC's investigation was led by Sharon Binger and Justin Alfano of the New York Regional Office with significant assistance from the Enforcement Division's FCPA Unit. (Press Rel. 2013229; Rel. 3470751) Commission Revokes Registration of Securities of Skyview Holdings Corp. for Failure to Make Required Periodic FilingsOn October 24, 2013, the Commission revoked the registration of each class of registered securities of Skyview Holdings Corp. (Skyview Holdings) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Skyview Holdings consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Skyview Holdings Corp. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a1 and 13a13 thereunder and revoking the registration of each class of Skyview Holdings' securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Skyview Holdings in In the Matter of Skyview Holdings Corp., et al., Administrative Proceeding File No. 315515. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked. (Rel. 3470750) Investment company ordersVTL Associates, LLC, RevenueShares ETF Trust, and Foreside Fund Services, LLCA notice has been issued giving interested persons until November 18, 2013, to request a hearing on an application filed by VTL Associates, LLC, RevenueShares ETF Trust, and Foreside Fund Services, LLC for an order to permit: (a) activelymanaged series of certain openend management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC30763) Orders Of Deregistration Under the Investment Company Act of 1940Orders have been issued under Section 8(f) of the Investment Company Act of 1940 declaring that each of the following has ceased to be an investment company: Claymore China Strategy Fund [File No. 81122124] [Rel. No. IC 30756] Dominion Funds, Inc. [File No. 8116727] [Rel. No. IC 30757] Grosvenor Registered MultiStrategy Fund (TE), LLC [File No. 81122354] [Rel. No. IC 30758] RiverSource Dimensions Series Inc. [File No. 8111629] [Rel. No. IC 30759] Seligman Growth Fund, Inc. [File No. 811229] [Rel. No. IC 30760] Seligman LaSalle Real Estate Fund Series, Inc. [File No. 81121365] [Rel. No. IC 30761] International Equity Portfolio/MA [File No. 81121867] [Rel. No. IC 30762] Selfregulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by the Chicago Board Options Exchange, Incorporated related to extending the FLEX exercise settlement values pilot (SRCBOE2013099) 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 28th. (Rel. 3470752) A proposed rule change filed by NASDAQ OMX PHLX to establish for PHLX Orders Managed Data Solution fees for nondisplay usage (SRPhlx2013105) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 28th. (Rel. 3470748) Notice of Proposed Rule ChangeThe Options Clearing Corporation (OCC) filed a proposed rule change (File No. SROCC201317) under Section 19(b)(1) of the Securities Exchange Act of 1934 concerning charters for the Board of Directors, the Membership/Risk Committee, the Audit Committee and the Performance Committee. Publication is expected in the Federal Register during the week of October 28th. (Rel. 3470753) 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. S8 HANMI FINANCIAL CORP, 3660 WILSHIRE BLVD SUITE PHA, LOS ANGELES, CA,
90010, 2133822200 0 ($26,250,000.00) Equity, (File 333191855
Oct. 23) (BR. 07B)
S4 Sunshine Biopharma, Inc, 469 JEANTALON WEST, 3RD FLOOR, MONTREAL, A8,
H3N 1R4, 5147649698 56,839,061 ($11,936,203.00) Equity,
(File 333191862 Oct. 23) (BR. 08B)
F1 Constellium N.V., TUPOLEVLAAN 4161, SCHIPHOLRIJK, P7, 1119NW,
31206549780 0 ($100,000,000.00) Equity, (File 333191863
Oct. 23) (BR. 06C)
S8 ENDEAVOR IP, INC., 36 FAIRWAY PLACE, HALF MOON BAY, CA, 94019,
6504213089 47,619 ($43,333.29) Equity, (File 333191864 Oct. 23)
(BR. 03A)
S4 VORNADO REALTY TRUST, 888 SEVENTH AVE, NEW YORK, NY, 10019,
2128947000 0 ($25,000,000.00) Equity, (File 333191865 Oct. 23)
(BR. 08C)
S8 CISCO SYSTEMS, INC., 170 WEST TASMAN DR, SAN JOSE, CA, 951341706,
4085264000 9,757,794 ($179,110,868.99) Equity, (File 333191866
Oct. 23) (BR. 03A)
S1 xG TECHNOLOGY, INC., 240 S. PINEAPPLE AVENUE, SUITE 701, SARASOTA, FL,
34236, 941 953 9035 0 ($10,375,000.00) Equity, (File 333191867
Oct. 23) (BR. 11C)
S1 Cambridge Capital Acquisition Corp, 525 SOUTH FLAGLER DRIVE, SUITE 201,
WEST PALM BEACH, FL, 33401, 5619321601 0 ($173,075,000.00) Equity,
(File 333191868 Oct. 23) (BR. )
S3 PEDEVCO CORP, 4125 BLACKHAWK PLAZA CIRCLE, SUITE 201, DANVILLE, CA,
94506, 8557332685 0 ($100,000,000.00) Equity, (File 333191869
Oct. 23) (BR. 04B)
S8 UNIFI INC, 7201 WEST FRIENDLY RD, P O BOX 19109, GREENSBORO, NC,
274199109, 9192944410 1,000,000 ($23,340,000.00) Equity,
(File 333191870 Oct. 23) (BR. 02C)
N2 TriplePoint Venture Growth BDC Corp., 2755 SAND HILL ROAD, SUITE 150,
MENLO PARK, CA, 94025, (650) 8542093 0 ($125,000,000.00) Equity,
(File 333191871 Oct. 23) (BR. 22)
Recent 8K FilingsForm 8K is used by companies to file current reports on the following events:
8K 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
8X8 INC /DE/ DE 2.02,5.02,5.03,9.01 10/17/13
ACCELERA INNOVATIONS, INC. DE 8.01,9.01 10/22/13
ACORN ENERGY, INC. DE 8.01,9.01 10/21/13
ADCARE HEALTH SYSTEMS, INC OH 3.02 10/18/13
ADGS Advisory, Inc. DE 1.01,2.01,8.01,9.01 10/20/13
ADVANCED VENTURES CORP DE 3.02,9.01 10/18/13
AIRGAS INC DE 2.02,9.01 10/23/13
AKAMAI TECHNOLOGIES INC DE 2.02,9.01 10/23/13
ALABAMA GAS CORP AL 8.01 10/23/13
ALLEGHENY TECHNOLOGIES INC DE 2.02,9.01 10/23/13
Allegiant Travel CO NV 2.02,5.02,9.01 10/23/13
Alliance Bancorp, Inc. of Pennsylvani PA 2.02,9.01 10/23/13
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 10/23/13
Allied World Assurance Co Holdings, A 2.02,9.01 10/23/13
AMAG PHARMACEUTICALS INC. DE 2.02,8.01,9.01 10/22/13
AMERICAN ELECTRIC POWER CO INC NY 2.02,9.01 10/23/13
American Realty Capital Properties, I MD 1.01,7.01,8.01,9.01 10/21/13
AMR CORP DE 1.03,9.01 10/21/13
Angie's List, Inc. DE 2.02,9.01 10/23/13
APPLIANCE RECYCLING CENTERS OF AMERIC MN 2.02 10/23/13
APPLIED DNA SCIENCES INC DE 5.02 10/17/13
ASSOCIATED BANC-CORP WI 5.03,9.01 10/22/13
ASSOCIATED ESTATES REALTY CORP OH 2.02,9.01 10/22/13
ASSURANT INC 2.02,9.01 10/23/13
AT&T INC. DE 2.02,9.01 09/30/13
AT&T INC. DE 8.01,9.01 09/30/13
ATHERSYS, INC / NEW DE 1.01,1.02,2.02,3.02, 10/22/13
9.01
ATMI INC DE 2.02,9.01 10/23/13
AUBURN NATIONAL BANCORPORATION, INC DE 2.02,9.01 10/23/13
AUXILIUM PHARMACEUTICALS INC DE 7.01,9.01 10/23/13
AVALONBAY COMMUNITIES INC MD 2.02,9.01 10/23/13
B/E AEROSPACE INC DE 2.02,9.01 10/23/13
BANK OF THE JAMES FINANCIAL GROUP INC VA 2.02,9.01 10/23/13
BERRY PETROLEUM CO DE 2.02,9.01 10/23/13
Big Sky Productions, Inc. NV 3.02 10/15/13
BIODELIVERY SCIENCES INTERNATIONAL IN DE 5.02,9.01 10/17/13
BIOSPECIFICS TECHNOLOGIES CORP DE 8.01,9.01 10/23/13
BNC BANCORP NC 8.01,9.01 10/22/13
BOEING CO DE 2.02,9.01 10/23/13
BOOKS A MILLION INC DE 4.01 10/23/13
BOSTON SCIENTIFIC CORP DE 2.05 10/22/13
BRINKER INTERNATIONAL INC DE 2.02,9.01 10/23/13
BRISTOL MYERS SQUIBB CO DE 2.02,9.01 10/23/13
BROADVISION INC DE 2.02,9.01 10/23/13
BROOKLINE BANCORP INC DE 2.02,9.01 10/23/13
CADENCE DESIGN SYSTEMS INC DE 2.02,9.01 10/23/13
CAESARS ENTERTAINMENT Corp DE 1.01,2.01,5.01,9.01 10/21/13
CALIFORNIA FIRST NATIONAL BANCORP CA 2.02 10/23/13
CANCER GENETICS, INC 8.01,9.01 10/22/13
CAPITAL SOUTHWEST CORP TX 8.01,9.01 10/21/13
CAPITALSOURCE INC DE 2.02,7.01,9.01 10/23/13
CapLease, Inc. 8.01,9.01 10/23/13
CAPSTEAD MORTGAGE CORP MD 5.02,9.01 10/21/13
Carlyle GMS Finance, Inc. MD 3.02 10/21/13
CATERPILLAR FINANCIAL SERVICES CORP DE 2.02,9.01 10/23/13
CATERPILLAR INC DE 2.02,9.01 10/23/13
CATERPILLAR INC DE 7.01 10/23/13
CC Media Holdings Inc 8.01,9.01 10/23/13
CHEESECAKE FACTORY INC DE 2.02,8.01,9.01 10/21/13
Cinedigm Corp. DE 1.01,2.01,2.03,3.02, 10/17/13
9.01
CINTAS CORP WA 5.02,5.07,9.01 10/22/13
CITRIX SYSTEMS INC DE 2.02,8.01,9.01 10/23/13
Clear Channel Capital I, LLC DE 8.01,9.01 10/23/13
CLEAR CHANNEL COMMUNICATIONS INC TX 1.01,9.01 10/23/13
Clear Channel Outdoor Holdings, Inc. DE 1.01,9.01 10/23/13
Clearwater Paper Corp DE 2.02,9.01 10/23/13
CMS ENERGY CORP MI 2.02,9.01 10/23/13
CNB FINANCIAL CORP/PA PA 2.02,9.01 10/22/13
Cole Real Estate Investments, Inc. MD 1.01,5.03,7.01,8.01, 10/22/13
9.01
COMMERCIAL METALS CO DE 1.01,2.02,9.01 10/17/13
COMMUNICATIONS SYSTEMS INC MN 2.02,5.02,8.01,9.01 10/22/13
COMMUNITY BANK SYSTEM, INC. DE 5.02,9.01 10/18/13
COMPASS MINERALS INTERNATIONAL INC DE 5.02 10/23/13
CONCURRENT COMPUTER CORP/DE DE 5.07 10/22/13
CONSUMER PORTFOLIO SERVICES INC CA 2.02,9.01 10/17/13
CORELOGIC, INC. DE 2.02,9.01 10/23/13
CorMedix Inc. DE 3.01,3.02,5.03,8.01, 10/22/13
9.01
COSTAR GROUP INC DE 2.02,9.01 10/23/13
COVANTA HOLDING CORP DE 2.02,7.01,9.01 10/23/13
Crestwood Midstream Partners LP DE 8.01,9.01 10/22/13
CROWN CASTLE INTERNATIONAL CORP DE 8.01,9.01 10/22/13
CUBIC ENERGY INC TX 7.01,9.01 10/23/13
Customers Bancorp, Inc. PA 2.02,9.01 10/23/13
CVENT INC DE 1.01,2.03 10/23/13
DCB FINANCIAL CORP OH 2.02,5.02,9.01 10/17/13
DEEP WELL OIL & GAS INC NV 8.01,9.01 09/20/13
DELCATH SYSTEMS, INC. DE 8.01,9.01 10/23/13
DELTIC TIMBER CORP DE 2.02,9.01 10/23/13
DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 10/23/13
Digital Cinema Destinations Corp. DE 7.01,9.01 10/23/13
Discover Card Execution Note Trust DE 1.01,9.01 10/22/13
DOMINOS PIZZA INC 7.01,9.01 10/23/13
DOVER MOTORSPORTS INC DE 7.01,9.01 10/23/13
Dr Pepper Snapple Group, Inc. DE 2.02,9.01 10/23/13
DUCOMMUN INC /DE/ DE 1.01,9.01 10/18/13
DYNARESOURCE INC DE 7.01,9.01 10/23/13
E TRADE FINANCIAL Corp DE 2.02,9.01 10/23/13
EASTERN CO CT 2.02,7.01,9.01 10/23/13
eLayaway, Inc. DE 3.02 10/17/13
EMCLAIRE FINANCIAL CORP PA 2.02,9.01 10/23/13
Eos Petro, Inc. NV 1.01,9.01 10/17/13
EPR PROPERTIES MD 1.01,9.01 10/17/13
EQUIFAX INC GA 2.02,9.01 10/23/13
EQUINIX INC DE 2.02,9.01 10/23/13
EURONET WORLDWIDE INC DE 2.02,9.01 10/22/13
EV Energy Partners, LP DE 1.01,7.01,9.01 10/18/13
Evercore Partners Inc. DE 2.02,8.01,9.01 10/23/13
EVEREST RE GROUP LTD D0 2.02,9.01 10/23/13
EXOPACK HOLDING CORP 1.01,3.03,7.01,9.01 10/22/13
F5 NETWORKS INC WA 2.02,9.01 10/23/13
FAMOUS DAVES OF AMERICA INC MN 2.02,9.01 10/23/13
FEDERAL MOGUL CORP DE 2.02,7.01,9.01 10/23/13
FERRELLGAS PARTNERS L P DE 1.01,2.03,8.01,9.01 10/21/13
Fidelity National Financial, Inc. 2.02,9.01 10/23/13
Fidelity National Financial, Inc. 8.01,9.01 10/23/13
Fifth Street Finance Corp. DE 8.01,9.01 10/23/13
FINANCIAL INSTITUTIONS INC NY 2.02,9.01 10/23/13
FINJAN HOLDINGS, INC. DE 8.01,9.01 10/23/13
FIRST BANCORP /NC/ NC 2.02,9.01 10/23/13
FIRST BANCORP /PR/ PR 2.02,9.01 10/23/13
FIRST COMMONWEALTH FINANCIAL CORP /PA PA 2.02,7.01,9.01 10/23/13
FIRST MIDWEST BANCORP INC DE 2.02,7.01,9.01 10/23/13
FIVE PRIME THERAPEUTICS INC 5.02 10/17/13
FLAGSTAR BANCORP INC MI 2.02,9.01 10/22/13
FLUSHING FINANCIAL CORP DE 2.02,9.01 10/22/13
Ford Credit Auto Lease Trust 2013-B 1.01,8.01,9.01 10/22/13
FORRESTER RESEARCH, INC. DE 2.02,8.01,9.01 10/22/13
FORTINET INC 2.02,9.01 10/23/13
Fortune Brands Home & Security, Inc. DE 2.02,9.01 10/23/13
FOX FACTORY HOLDING CORP DE 2.02,7.01,9.01 10/22/13
FUSION-IO, INC. DE 2.02,5.02,9.01 10/21/13
GAIAM, INC CO 1.01,1.02,2.01,5.02, 10/17/13
9.01
GENERAL DYNAMICS CORP DE 2.02,9.01 10/23/13
GENSPERA INC DE 8.01,9.01 10/21/13
GeoVax Labs, Inc. DE 5.02,9.01 10/21/13
Giggles N' Hugs, Inc. NV 1.01,3.02 10/22/13
GLOBAL PARTNERS LP 7.01,9.01 10/23/13
GLOWPOINT, INC. DE 1.01,2.03,9.01 10/22/13
Graystone Co DE 3.02,8.01 10/23/13
Green Energy Management Services Hold DE 5.02,8.01 10/17/13
GULFMARK OFFSHORE INC DE 2.02,9.01 10/22/13
HEARTLAND PAYMENT SYSTEMS INC DE 1.01,9.01 10/17/13
HERITAGE FINANCIAL CORP /WA/ WA 2.02,8.01,9.01 10/23/13
HINTO ENERGY, INC WY 7.01,9.01 10/22/13
HORIZON PHARMA, INC. DE 8.01 10/22/13
Horsehead Holding Corp DE 2.02 10/23/13
HUDSON CITY BANCORP INC DE 2.02,9.01 10/23/13
IBERIABANK CORP LA 2.02,7.01,9.01 10/22/13
IBERIABANK CORP LA 7.01 10/23/13
ICAHN ENTERPRISES L.P. DE 8.01,9.01 10/23/13
ICU MEDICAL INC/DE DE 5.02,9.01 10/21/13
ILLUMINA INC DE 7.01 10/23/13
Indo Global Exchange(s) Pte, Ltd. NV 5.02,9.01 10/14/13
INFINERA CORP DE 2.02,9.01 10/23/13
INFINERA CORP DE 5.02,9.01 10/21/13
Insys Therapeutics, Inc. DE 1.01,1.02,2.03,9.01 10/17/13
Integrated Drilling Equipment Holding DE 1.01,9.01 10/17/13
INTEL CORP DE 5.02 10/18/13
INTERFACE INC GA 1.01,1.02,2.02,2.03, 10/23/13
9.01
IXYS CORP /DE/ DE 2.02,9.01 10/23/13
JACKSONVILLE BANCORP INC /FL/ FL 3.03,5.03,8.01,9.01 10/23/13
JAKKS PACIFIC INC DE 2.02,9.01 10/23/13
JMP Group Inc. DE 2.02,9.01 10/23/13
Jones Energy, Inc. DE 5.02,9.01 10/17/13
JPMORGAN CHASE & CO DE 8.01,9.01 10/23/13
KALOBIOS PHARMACEUTICALS INC DE 5.02,9.01 10/22/13
KCG Holdings, Inc. DE 8.01,9.01 10/23/13
KKR Financial Holdings LLC DE 2.02,8.01,9.01 10/23/13
KNIGHT TRANSPORTATION INC AZ 1.01,2.02,2.03,9.01 10/21/13
Kodiak Oil & Gas Corp B0 2.02,9.01 10/22/13
LAKE SHORE BANCORP, INC. 8.01 10/23/13
LAM RESEARCH CORP DE 2.02,9.01 10/23/13
LED Lighting Co DE 1.01,3.02,5.02,9.01 10/17/13
LEGGETT & PLATT INC MO 2.02,7.01,9.01 10/23/13
LILLY ELI & CO IN 2.02,9.01 10/23/13
Lincolnway Energy, LLC IA 1.02 10/17/13
LINKEDIN CORP DE 5.02,7.01,9.01 10/18/13
LITHIA MOTORS INC OR 2.02,8.01,9.01 10/23/13
LORILLARD, INC. DE 2.02,9.01 10/23/13
LSI CORP DE 2.02,8.01,9.01 10/23/13
Lumber Liquidators Holdings, Inc. 2.02,9.01 10/23/13
MAINSOURCE FINANCIAL GROUP IN 2.02,8.01,9.01 10/23/13
Marine Drive Mobile Corp. NV 4.01 10/23/13
MARINE PRODUCTS CORP DE 2.02,9.01 10/23/13
MARINE PRODUCTS CORP DE 8.01,9.01 10/23/13
MARKETAXESS HOLDINGS INC 2.02,8.01,9.01 10/23/13
Mastech Holdings, Inc. PA 2.02,9.01 10/23/13
MATTSON TECHNOLOGY INC DE 2.02,9.01 10/22/13
MEDICINES CO /DE DE 2.02,9.01 10/23/13
MEDTRONIC INC MN 8.01,9.01 10/18/13
MeeMee Media Inc. NV 1.01,7.01,9.01 10/23/13
Mellanox Technologies, Ltd. L3 2.02,9.01 10/23/13
MERIT MEDICAL SYSTEMS INC UT 2.02,9.01 10/23/13
Meritage Homes CORP MD 2.02,9.01 10/23/13
MICROSEMI CORP DE 1.01,9.01 10/21/13 AMEND
MID PENN BANCORP INC PA 2.02,8.01,9.01 10/23/13
MIMVI, INC. NY 4.01,9.01 10/17/13
MINE SAFETY APPLIANCES CO PA 2.02,9.01 10/23/13
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 10/18/13
MOLEX INC DE 2.02,9.01 10/23/13
MONARCH CASINO & RESORT INC NV 2.02,9.01 10/22/13
Morgan Stanley Bank of America Merril DE 8.01,9.01 10/23/13
Motorola Solutions, Inc. DE 2.02,9.01 10/23/13
Motors Liquidation Co DE 8.01 10/21/13
MVB FINANCIAL CORP WV 7.01,9.01 10/23/13
NABORS INDUSTRIES LTD D0 2.02,8.01,9.01 10/22/13
NASDAQ OMX GROUP, INC. DE 2.02,7.01,8.01,9.01 10/23/13
NEOGENOMICS INC NV 2.02,9.01 10/23/13
NETWORK 1 TECHNOLOGIES INC DE 8.01,9.01 10/23/13
NeuroMetrix, Inc. DE 2.02,9.01 10/23/13
NEW JERSEY RESOURCES CORP NJ 7.01,8.01,9.01 10/23/13
NEW YORK COMMUNITY BANCORP INC DE 2.02,7.01,9.01 10/23/13
NEXTERA ENERGY INC FL 5.02 10/17/13
Nielsen Holdings N.V. P7 2.02,9.01 10/23/13
Noranda Aluminum Holding CORP DE 1.01,5.02,9.01 10/17/13
NORFOLK SOUTHERN CORP VA 2.02,7.01,9.01 10/23/13
NORTHRIM BANCORP INC AK 2.02,9.01 10/22/13
NORTHROP GRUMMAN CORP /DE/ 2.02,9.01 10/23/13
NVE CORP /NEW/ MN 2.02 10/23/13
OICCO ACQUISITION I, INC. DE 1.01,2.01,3.02,5.01, 10/18/13
5.02,8.01,9.01
OLD SECOND BANCORP INC DE 2.02,9.01 10/23/13
Omega Flex, Inc. PA 2.02,7.01,9.01 10/23/13
OMNICARE INC DE 2.02,9.01 10/23/13
ON ASSIGNMENT INC DE 2.02,9.01 10/23/13
OPTIMER PHARMACEUTICALS INC 5.07 10/23/13
Orchids Paper Products CO /DE DE 2.02,8.01,9.01 10/23/13
Oritani Financial Corp DE 2.02,9.01 10/23/13
OSI SYSTEMS INC DE 2.02,9.01 10/23/13
Owens Corning DE 2.02,9.01 10/23/13
PACIFIC PREMIER BANCORP INC DE 2.02,9.01 10/23/13
PACWEST BANCORP DE 2.02,8.01,9.01 10/23/13
PAIN THERAPEUTICS INC DE 1.01 10/21/13
PALMETTO BANCSHARES INC SC 2.02,9.01 10/23/13
PATRIOT GOLD CORP NV 5.02 10/14/13
PDF SOLUTIONS INC DE 2.02,9.01 10/23/13
PDK ENERGY INC. MS 5.02 09/01/13
PENNS WOODS BANCORP INC PA 2.02,9.01 10/18/13
PENSKE AUTOMOTIVE GROUP, INC. DE 5.03,8.01,9.01 10/23/13
PEOPLES FINANCIAL CORP /MS/ MS 2.02,9.01 10/23/13
PEPCO HOLDINGS INC DE 8.01 10/22/13
PETMED EXPRESS INC FL 8.01,9.01 10/21/13
PetroLogistics LP DE 2.02,9.01 10/23/13
PHILLIPS 66 PARTNERS LP DE 2.02,9.01 10/23/13
PLEXUS CORP WI 2.02 10/23/13
POLYCOM INC DE 2.02,8.01,9.01 10/23/13
POLYCOM INC DE 5.02,5.03,9.01 10/22/13
POPE RESOURCES LTD PARTNERSHIP DE 2.02,9.01 10/22/13
POPULAR INC 7.01,9.01 10/23/13
POPULAR INC 2.02,9.01 10/23/13
Prologis, Inc. MD 2.02,7.01,9.01 10/23/13
PROSPERITY BANCSHARES INC TX 2.02,9.01 10/23/13
QNB CORP PA 2.02,9.01 10/23/13
Quadrant 4 Systems Corp FL 8.01,9.01 10/21/13
QUANTUM CORP /DE/ DE 2.02,9.01 10/23/13
QUIDEL CORP /DE/ DE 2.02,9.01 10/23/13
RAINBOW INTERNATIONAL, CORP. 4.02,9.01 10/10/13 AMEND
RANCON REALTY FUND IV CA 2.02,9.01 10/23/13
RANCON REALTY FUND V CA 2.02,9.01 10/23/13
RAYMOND JAMES FINANCIAL INC FL 2.02,7.01,9.01 10/23/13
RBC LIFE SCIENCES, INC. DE 5.02 10/18/13
RealD Inc. DE 1.01,5.02,8.01,9.01 10/22/13
REMY INTERNATIONAL, INC. DE 2.02,9.01 10/23/13
REPROS THERAPEUTICS INC. DE 8.01,9.01 10/23/13
RESEARCH FRONTIERS INC DE 7.01,9.01 10/23/13
ROLLINS INC DE 8.01,9.01 10/22/13
ROLLINS INC DE 2.02,9.01 10/23/13
RPC INC DE 2.02,9.01 10/23/13
RPC INC DE 8.01,9.01 10/23/13
RUSH ENTERPRISES INC \TX\ TX 2.02,9.01 10/22/13
S Y BANCORP INC KY 2.02,9.01 10/23/13
Sabra Health Care REIT, Inc. MD 2.02,9.01 10/23/13
Sanborn Resources, Ltd. DE 4.01,9.01 10/21/13
SANDISK CORP DE 8.01,9.01 10/23/13
SANGAMO BIOSCIENCES INC DE 2.02,9.01 10/23/13
SED INTERNATIONAL HOLDINGS INC 2Q 1.01,1.02,5.02,9.01 10/17/13
Seneca Foods Corp NY 2.02,9.01 09/28/13
SERVICE CORPORATION INTERNATIONAL TX 2.02,9.01 10/23/13
ServiceNow, Inc. CA 2.02,9.01 10/23/13
SHARPS COMPLIANCE CORP DE 2.02,9.01 10/23/13
SHARPS COMPLIANCE CORP DE 5.02,9.01 10/21/13
Shire plc 8.01,9.01 10/23/13
Shire plc 5.02,9.01 10/23/13
Six Flags Entertainment Corp 2.02,9.01 10/21/13
SKECHERS USA INC DE 2.02,9.01 10/23/13
SOFTECH INC MA 1.01,2.01,9.01 10/17/13
SOUTHERN MISSOURI BANCORP INC MO 2.02,9.01 10/21/13
SPARTAN STORES INC MI 2.02,8.01,9.01 10/23/13
STEPAN CO DE 2.02,9.01 10/21/13
Stereotaxis, Inc. DE 2.02,8.01,9.01 10/23/13
Stereotaxis, Inc. DE 8.01,9.01 10/23/13
STERICYCLE INC DE 2.02,9.01 10/23/13
Strategic Realty Trust, Inc. MD 5.03,9.01 10/17/13
SUSQUEHANNA BANCSHARES INC PA 2.02,9.01 10/23/13
SWIFT TRANSPORTATION Co 2.02,9.01 10/23/13
SYMANTEC CORP DE 2.02,9.01 10/23/13
Symetra Financial CORP DE 2.02,9.01 10/23/13
TAL International Group, Inc. DE 2.02,9.01 10/23/13
TELUPAY INTERNATIONAL INC NV 5.03,8.01,9.01 10/22/13
TEMPUR SEALY INTERNATIONAL, INC. DE 5.02,9.01 10/10/13
TENNANT CO MN 2.02,9.01 10/23/13
TEREX CORP DE 2.02,7.01,9.01 10/23/13
TESSCO TECHNOLOGIES INC DE 2.02,9.01 10/23/13
TESSCO TECHNOLOGIES INC DE 2.02,5.02,9.01 10/23/13 AMEND
THERMO FISHER SCIENTIFIC INC. DE 2.02,9.01 10/23/13
Titanium Asset Management Corp DE 2.01,3.02,3.03,5.02, 10/21/13
5.03,8.01,9.01
TORCHMARK CORP DE 2.02,9.01 10/23/13
TOWN SPORTS INTERNATIONAL HOLDINGS IN DE 2.02,9.01 10/23/13
TRACTOR SUPPLY CO /DE/ DE 2.02,9.01 10/23/13
TripAdvisor, Inc. DE 2.02,9.01 10/23/13
TRIQUINT SEMICONDUCTOR INC DE 2.02,9.01 10/23/13
TriState Capital Holdings, Inc. PA 2.02,9.01 10/23/13
TrueBlue, Inc. WA 2.02,9.01 10/23/13
TRULIA, INC. DE 5.02,8.01,9.01 10/18/13
TUPPERWARE BRANDS CORP DE 2.02,9.01 10/23/13
TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 10/23/13
UNIFI INC NY 5.02,5.07,9.01 10/23/13
UNIFIRST CORP MA 2.02,9.01 10/23/13
UNITED BANCSHARES INC/OH OH 2.02,7.01,9.01 10/23/13
UNIVERSAL AMERICAN CORP. DE 8.01,9.01 10/22/13
UNIVERSAL HEALTH REALTY INCOME TRUST MD 2.02,9.01 10/23/13
UNIVEST CORP OF PENNSYLVANIA PA 2.02,8.01,9.01 10/23/13
URANIUM ENERGY CORP NV 1.01,9.01 10/17/13
URBAN AG. CORP 1.01,3.03,5.03,9.01 10/21/13
US AIRWAYS GROUP INC DE 2.02,9.01 10/23/13
US AIRWAYS GROUP INC DE 7.01,9.01 10/23/13
VAPOR CORP. NV 1.01,3.02,9.01 10/22/13
VARIAN MEDICAL SYSTEMS INC DE 2.02,9.01 10/23/13
VECTOR GROUP LTD DE 8.01,9.01 10/23/13
ViewPoint Financial Group Inc. 2.02,8.01,9.01 10/22/13
VISA INC. DE 8.01,9.01 10/22/13
W R GRACE & CO DE 2.02,9.01 10/23/13
Waste Connections, Inc. DE 7.01 10/23/13
WELLPOINT, INC IN 2.02,9.01 10/23/13
WELLS FARGO & COMPANY/MN DE 5.02,9.01 10/22/13
WELLS MID-HORIZON VALUE-ADDED FUND I 7.01 10/23/13
WERNER ENTERPRISES INC NE 7.01,9.01 10/23/13
WHITING PETROLEUM CORP DE 2.02,9.01 10/23/13
WINMARK CORP MN 1.01,2.02,7.01,8.01, 10/21/13
9.01
Woodgate Energy Corp DE 4.01,9.01 09/03/13 AMEND
WWA GROUP INC NV 1.01,3.02,9.01 10/23/13
WYNDHAM WORLDWIDE CORP DE 2.02,9.01 10/23/13
WYNDHAM WORLDWIDE CORP DE 7.01,9.01 10/23/13
YuMe Inc DE 5.02 10/22/13
ZIOPHARM ONCOLOGY INC DE 7.01,9.01 10/23/13
http://www.sec.gov/news/digest/2013/dig102413.htm
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