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Enforcement ProceedingsIn the Matter of Omar Ali RizviAn Administrative Law Judge has issued an Initial Decision in Omar Ali Rizvi, Admin. Proc. No. 3-14984. The Initial Decision find that it is in the public interest to bar Omar Ali Rizvi (Rizvi) from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, and nationally recognized statistical rating organization, following a finding that the allegations in the Order Instituting Proceedings (OIP) issued by the Securities and Exchange Commission on August 15, 2012, are true. The OIP alleges that: (1) on July 24, 2012, the United States District Court for the Central District of California (Court) permanently enjoined Omar Ali Rizvi (Rizvi) from violating Sections 5 and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder in SEC v. Rizvi, No. 8:10-cv-01632-JVS-FFM; and (2) on March 6, 2012, the Court issued an Order on Motion for Summary Judgment finding that Rizvi violated the anti-fraud provisions of the federal securities laws by misrepresenting material facts in securities offerings from January 23, 2003, through September 14, 2005. (Initial Decision No. 479; File No. 3-14984) INVESTMENT COMPANY ACT RELEASESCambria Investment Management, L.P. and Cambria ETF TrustAn order has been issued on an application filed by Cambria Investment Management, L.P. and Cambria ETF Trust, for that permits: (a) actively-managed series of certain open-end 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 after 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. IC-30340 - January 4) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by BOX Options Exchange LLC to amend the Fee Schedule for trading on BOX (SR-BOX-2012-024) 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 January 7. (Rel. 34-68575) A proposed rule change filed by New York Stock Exchange LLC eliminating certain credits within the New York Stock Exchange LLC Price List (SR-NYSE-2012-78) 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 January 7. (Rel. 34-68579) A proposed rule change filed by New York Stock Exchange amending its Price List to adopt a trading license fee for calendar year 2013 (SR-NYSE-2012-79) 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 January 7. (Rel. 34-68580) A proposed rule change filed by NASDAQ OMX PHLX LLC, relating to strategy caps (SR-Phlx-2012-146) 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 January 7. (Rel. 34-68582) Proposed Rule ChangeThe Commission issued notice of a proposed rule change submitted by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-147) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of the shares of the First Trust High Yield Long/Short ETF of First Trust Exchange-Traded Fund IV. Publication is expected in the Federal Register during the week of January 7. (Rel. 34-68581) Approval of Proposed Rule ChangesThe Commission approved a proposed rule change submitted by C2 Options Exchange, Incorporated (SR-C2-2012-038) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to address authority to cancel orders when a technical or systems issue occurs and to describe the operation of routing service error accounts. Publication is expected in the Federal Register during the week of January 7. (Rel. 34-68583) The Commission approved a proposed rule change submitted by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-109) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 related to CBSX to address authority to cancel orders when a technical or systems issue occurs and to describe the operation of routing service error accounts. Publication is expected in the Federal Register during the week of January 7. (Rel. 34-68584) The Commission approved a proposed rule change submitted by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-108) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to address authority to cancel orders when a technical or systems issue occurs and to describe the operation of routing service error accounts. Publication is expected in the Federal Register during the week of January 7. (Rel. 34-68585) SECURITIES ACT REGISTRATIONSThe 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 ACNB CORP, 675 OLD HARRISBURG RD, P O BOX 3129, GETTYSBURG, PA, 17325, 7173343161 - 0 ($3,250,000.00) Equity, (File 333-185881 - Jan. 4) (BR. 07B) S-3 SEQUOIA MORTGAGE FUNDING CORP, 591 REDWOOD HWY, STE 3120, MILL VALLEY, CA, 94941, 415-389-7373 - 0 ($5,000,000.00) Asset-Backed Securities, (File 333-185882 - Jan. 4) (BR. OSF) F-10 TEKMIRA PHARMACEUTICALS Corp, 100-8900 GLENLYON PARKWAY, BURNABY, A1, V5J 5J8, 604-419-3200 - 0 ($50,000,000.00) Other, (File 333-185883 - Jan. 4) (BR. 01A) S-8 Pacific Ethanol, Inc., 400 CAPITOL MALL, SUITE 2060, SACRAMENTO, CA, 95814, 916-403-2123 - 5,000,000 ($1,675,000.00) Equity, (File 333-185884 - Jan. 4) (BR. 06A) S-3 WIRELESS RONIN TECHNOLOGIES INC, BAKER TECHNOLOGY PLAZA, 5929 BAKER ROAD, SUITE 475, MINNETONKA, MN, 55345, 952-564-3500 - 0 ($15,000,000.00) Other, (File 333-185885 - Jan. 4) (BR. 03C) S-8 WPP plc, 6 ELY PLACE, DUBLIN, L2, 2, 011442074082204 - 0 ($57,336,000.00) Equity, (File 333-185886 - Jan. 4) (BR. 11C) S-8 WPP plc, 6 ELY PLACE, DUBLIN, L2, 2, 011442074082204 - 0 ($114,672,000.00) Equity, (File 333-185887 - Jan. 4) (BR. 11C) S-8 TARGACEPT INC, 100 NORTH MAIN STREET, SUITE 1510, WINSTON-SALEM, NC, 27101, 3364802100 - 0 ($1,800,000.00) Equity, (File 333-185888 - Jan. 4) (BR. 01B) S-8 WPP plc, 6 ELY PLACE, DUBLIN, L2, 2, 011442074082204 - 0 ($157,674,000.00) Equity, (File 333-185889 - Jan. 4) (BR. 11C) S-8 WPP plc, 6 ELY PLACE, DUBLIN, L2, 2, 011442074082204 - 0 ($788,370,000.00) Equity, (File 333-185890 - Jan. 4) (BR. 11C) S-1 CERULEAN GROUP, INC., 2360 CORPORATE CIRCLE SUITE 400, HENDERSON, NV, 89074-7722, 79025161252 - 5,000,000 ($100,000.00) Equity, (File 333-185891 - Jan. 4) (BR. ) S-8 Triangle Capital CORP, 3700 GLENWOOD AVENUE, SUITE 530, RALEIGH, NC, 27612, 9197194770 - 0 ($39,345,000.00) Equity, (File 333-185892 - Jan. 4) (BR. 16) S-3 BOSTON PRIVATE FINANCIAL HOLDINGS INC, 10 POST OFFICE SQ, BOSTON, MA, 02109, 6175561900 - 225,000,000 ($225,000,000.00) Equity, (File 333-185896 - Jan. 4) (BR. 07B) 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
-----------------------------------------------------------------------------------------
A. H. Belo CORP DE 1.02 01/04/13
ACCURAY INC DE 5.02 01/01/13
Active Health Foods, Inc. CA 1.01,9.01 01/04/13
Adamis Pharmaceuticals Corp DE 1.01,2.03,3.02,8.01, 12/31/12
9.01
ADCARE HEALTH SYSTEMS INC OH 1.01,2.01,2.03,3.02, 12/28/12
5.02,9.01
AETHLON MEDICAL INC NV 7.01,9.01 01/03/13
AFFIRMATIVE INSURANCE HOLDINGS INC DE 1.01,9.01 12/20/12
ALLIED VENTURES HOLDING CORP. NV 5.03,9.01 01/02/13
ALLSTATE CORP DE 8.01,9.01 01/03/13
Alon USA Energy, Inc. DE 8.01 12/21/12
AlphaPoint Technology, Inc. DE 4.01,9.01 12/18/12
Altegris QIM Futures Fund, L.P. DE 3.02 01/01/13
Altegris Winton Futures Fund, L.P. CO 3.02 01/01/13
AMERICAN EAGLE ENERGY Corp 1.01,2.01,2.03,9.01 12/28/12
American Midstream Partners, LP DE 2.02,7.01 01/02/13
AMERICAN POWER GROUP Corp DE 2.02,9.01 01/02/13
AMERICAN STATES WATER CO CA 5.02,9.01 01/02/13
AMERICAN VANGUARD CORP DE 5.02,8.01,9.01 01/03/13
AP PHARMA INC /DE/ DE 5.02 12/28/12
Apollo Commercial Real Estate Finance MD 2.03 01/04/13
ARCH CAPITAL GROUP LTD. 8.01 01/02/13
ARMSTRONG WORLD INDUSTRIES INC PA 5.02,9.01 12/31/12
ARTHROCARE CORP DE 8.01 12/31/12
As Seen On TV, Inc. FL 1.01,3.02,9.01 12/28/12
ASTORIA FINANCIAL CORP DE 5.02 12/28/12
ATOSSA GENETICS INC DE 1.01,1.02,5.02,9.01 01/04/13
AUTONATION, INC. DE 7.01,9.01 01/04/13
Barclays Bank Delaware 8.01,9.01 01/04/13
Behringer Harvard Opportunity REIT I, MD 7.01,9.01 01/04/13
BIO REFERENCE LABORATORIES INC NJ 1.01,9.01 12/31/12
BIO-PATH HOLDINGS INC UT 8.01,9.01 01/03/13
BIOCRYST PHARMACEUTICALS INC DE 5.02 12/31/12
BioMed Realty Trust Inc MD 5.02,9.01 01/01/13
BIOSPECIFICS TECHNOLOGIES CORP DE 7.01,9.01 01/04/13
BLUCORA, INC. DE 5.02 12/31/12
BLUE SKY PETROLEUM INC. 5.02 01/03/13
BlueLinx Holdings Inc. DE 8.01,9.01 01/04/13
BnetEFactor, Inc. NV 1.01,9.01 01/04/13
Boomerang Systems, Inc. DE 1.01,2.03,3.02 12/28/12
Cactus Ventures, Inc. NV 1.01,2.01,3.02,4.01, 12/28/12 AMEND
5.01,5.02,5.05,5.06,
9.01
CALAVO GROWERS INC CA 2.02,9.01 01/03/13
Cardinal Ethanol LLC IN 1.02 01/02/13
CarePayment Technologies, Inc. OR 8.01 12/28/12
Carter Validus Mission Critical REIT, MD 1.01,2.03,9.01 12/28/12
CATALYST PHARMACEUTICAL PARTNERS, INC DE 1.01,9.01 10/26/12 AMEND
CD INTERNATIONAL ENTERPRISES, INC. FL 5.02,8.01 12/31/12
CenterState Banks, Inc. FL 7.01,9.01 01/04/13
CF Industries Holdings, Inc. DE 8.01 01/04/13
CHART INDUSTRIES INC DE 5.02,9.01 01/01/13
CHEMUNG FINANCIAL CORP NY 5.02 12/31/12
CHICAGO BRIDGE & IRON CO N V 1.01,2.03,9.01 01/04/13
CHINA GENGSHENG MINERALS, INC. NV 4.01 01/04/13
CHINA JO-JO DRUGSTORES, INC. 1.01,5.02,8.01,9.01 01/01/13
CHINA PHARMA HOLDINGS, INC. DE 1.01,3.03,9.01 12/31/12
CHINA SHEN ZHOU MINING & RESOURCES, I NV 1.01,9.01 12/28/12
Cindisue Mining Corp DE 8.01,9.01 01/02/13
CLEAN HARBORS INC MA 2.01,9.01 12/28/12
CLECO CORP LA 8.01 12/28/12
CLIFFS NATURAL RESOURCES INC. OH 1.02 12/28/12
COHU INC DE 2.01,9.01 12/31/12
COLLECTORS UNIVERSE INC DE 5.02 12/28/12
Colony Financial, Inc. MD 2.01,9.01 01/02/13
CombiMatrix Corp DE 8.01 12/31/12
COMMUNITY BANK SYSTEM INC DE 5.02,8.01 12/31/12
COMPX INTERNATIONAL INC DE 1.01,1.02,2.01,5.02, 12/28/12
7.01,9.01
Comstock Mining Inc. NV 7.01 01/04/13
COMVERSE TECHNOLOGY INC/NY/ NY 8.01 01/03/13
CONCHO RESOURCES INC DE 5.02,9.01 01/02/13
CONSTELLATION BRANDS, INC. DE 5.02 01/03/13
COOPER COMPANIES INC DE 1.01,9.01 01/03/13
CORE MOLDING TECHNOLOGIES INC DE 5.02 01/02/13
Cornerstone Core Properties REIT, Inc MD 1.01,9.01 12/31/12
CPI CORP DE 1.01,2.04,9.01 01/03/13
CRAY INC WA 2.02,9.01 01/04/13
CROWN AUTO HOLDINGS INC. NV 8.01,9.01 12/31/12
CTI INDUSTRIES CORP DE 5.02 01/02/13
CVR ENERGY INC DE 5.02,9.01 12/28/12
DCP Midstream Partners, LP DE 5.02,7.01,9.01 01/01/13
Dehaier Medical Systems Ltd 5.02,9.01 12/28/12
Del Frisco's Restaurant Group, Inc. DE 5.02 12/31/12
DICKS SPORTING GOODS INC DE 5.02 01/02/13
DIGITAL RIVER INC /DE DE 5.02 01/01/13
DISCOVERY LABORATORIES INC /DE/ DE 5.02,8.01,9.01 12/31/12
DLH Holdings Corp. NJ 3.01 12/31/12
DOVER DOWNS GAMING & ENTERTAINMENT IN DE 1.01 01/02/13
DRINKS AMERICAS HOLDINGS, LTD DE 5.02 12/07/12
EMCORE CORP NJ 1.01,2.03,9.01 12/28/12
ENDO HEALTH SOLUTIONS INC. DE 8.01,9.01 01/03/13
EnerJex Resources, Inc. NV 5.02,9.01 12/31/12
EPOCH HOLDING CORP DE 8.01,9.01 01/04/13
EXELON CORP PA 5.02 12/31/12
Federal Home Loan Bank of Boston X1 2.03 12/31/12
FEMALE HEALTH CO WI 7.01,9.01 01/03/13
FERRELLGAS PARTNERS L P DE 5.02 01/02/13
FINISH LINE INC /IN/ IN 2.02,8.01,9.01 01/03/13
FIRST CITIZENS BANC CORP /OH OH 2.02,8.01 01/04/13
First Guaranty Bancshares, Inc. LA 5.02 01/04/13
Flux Technologies, Corp. NV 2.01,5.02 12/31/12
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 01/03/13
FRANKLIN WIRELESS CORP NV 4.01,9.01 12/18/12 AMEND
FreightCar America, Inc. DE 5.02,9.01 12/28/12
FROZEN FOOD EXPRESS INDUSTRIES INC TX 3.01 01/02/13
GAIA REMEDIES, INC. NV 5.01,5.02 12/27/12
GASTAR EXPLORATION LTD 7.01,9.01 01/04/13
General Motors Co 8.01 01/03/13
GENWORTH FINANCIAL INC DE 5.02 12/10/12 AMEND
Global Cornerstone Holdings Ltd D8 8.01 01/04/13
GLOBAL EARTH ENERGY, INC. NV 8.01,9.01 01/04/13
GLOBAL EARTH ENERGY, INC. NV 1.01,9.01 01/04/13 AMEND
GlyEco, Inc. NV 1.01,2.01,3.02,9.01 12/31/12
GMX RESOURCES INC OK 1.01,3.03,8.01,9.01 01/02/13
GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 01/04/13
GRAN TIERRA ENERGY INC. NV 1.01 12/28/12
GRANITE CITY FOOD & BREWERY LTD. MN 5.02,9.01 12/28/12
GRANITE CONSTRUCTION INC DE 1.01,2.03,7.01,9.01 12/28/12
GREAT PLAINS ENERGY INC MO 7.01,9.01 01/04/13
GREATBATCH, INC. DE 5.02,9.01 12/29/12
GT Advanced Technologies Inc. DE 5.02,9.01 12/21/12
Guaranty Bancorp DE 8.01,9.01 01/04/13
H&R BLOCK INC MO 5.02,9.01 01/03/13
HALOZYME THERAPEUTICS INC DE 1.01,2.03 12/28/12
HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 01/04/13
HEALTH NET INC DE 7.01 01/04/13
HEALTHCARE TRUST OF AMERICA, INC. MD 5.02 01/03/13
Heckmann Corp DE 5.02 01/02/13
HEIDRICK & STRUGGLES INTERNATIONAL IN DE 1.01,2.01,7.01,9.01 12/31/12
HELEN OF TROY LTD 1.01 12/28/12
HESKA CORP DE 5.02 01/04/13
HICKOK INC OH 1.01,2.03,3.02,9.01 01/04/13
HOLOGIC INC DE 3.03,5.03,9.01 01/01/13
HUMANA INC DE 2.02,7.01 01/04/13
Huntsman CORP DE 5.02,9.01 01/01/13
Huron Consulting Group Inc. DE 1.01,2.03,9.01 12/31/12
ICF International, Inc. DE 7.01,9.01 01/04/13
IndiePub Entertainment, Inc. DE 3.02,5.02,9.01 12/28/12
INERGETICS INC DE 5.02 12/26/12
Innophos Holdings, Inc. 1.01,8.01,9.01 12/31/12
INSULET CORP DE 1.01,7.01,9.01 01/03/13
INTER PARFUMS INC DE 2.01,7.01,9.01 12/31/12
INTERMOLECULAR INC DE 1.01 12/31/12
INTERNATIONAL BUSINESS MACHINES CORP NY 5.02 01/02/13
Internet Patents Corp 8.01 12/21/12
ION GEOPHYSICAL CORP DE 5.02,7.01,9.01 12/31/12
IRONCLAD PERFORMANCE WEAR CORP 5.02 12/31/12
ITEX CORP NV 5.07,8.01 12/28/12
ITT EDUCATIONAL SERVICES INC DE 2.02,8.01 12/28/12
JARDEN CORP DE 1.01,5.02,9.01 01/02/13
KBW, INC. 8.01,9.01 01/04/13
Kentucky First Federal Bancorp 2.01,5.02,9.01 12/31/12
KITE REALTY GROUP TRUST MD 2.06 12/31/12
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 01/04/13
LaSalle Hotel Properties MD 7.01,8.01,9.01 01/04/13
Lender Processing Services, Inc. DE 5.02 01/04/13
Liberty Global, Inc. DE 5.02 12/31/12
Liberty Interactive Corp 7.01,9.01 01/02/13
Liberty Media Corp DE 7.01,9.01 01/02/13
LILLY ELI & CO IN 2.02,9.01 01/04/13
LINCOLN ELECTRIC HOLDINGS INC OH 5.02,8.01,9.01 12/13/12
Lincolnway Energy, LLC IA 1.01 01/01/13
Lincolnway Energy, LLC IA 1.01 01/01/13
LMI AEROSPACE INC MO 1.01,2.01,2.03,3.02, 12/28/12
5.02,8.01,9.01
Magnolia Solar Corp NV 1.01,2.03,3.02 12/31/12
MANAGED FUTURES PREMIER ABINGDON L.P. NY 3.02 01/01/13
MANAGED FUTURES PREMIER WARRINGTON L. NY 3.02 01/01/13
MANAS PETROLEUM Corp NV 1.01,8.01,9.01 12/31/12
Marine Drive Mobile Corp. NV 4.01,9.01 01/03/13 AMEND
Marriott Vacations Worldwide Corp DE 5.02 01/02/13
Massive Dynamics, Inc. NV 8.01,9.01 12/31/12
MASTEC INC FL 5.02,9.01 12/31/12
MB FINANCIAL INC /MD 2.01,9.01 12/28/12
MERISEL INC /DE/ DE 1.01,5.02,5.03,5.07, 12/17/12
9.01
Midway Gold Corp A1 7.01,9.01 01/04/13
MONDIAL VENTURES, INC. NV 8.01 12/27/12
MORGAN STANLEY DE 5.02 01/03/13
MOSAIC CO 2.02,9.01 01/04/13
MRC GLOBAL INC. DE 8.01,9.01 01/03/13
MV Oil Trust DE 2.02,9.01 01/04/13
MVB FINANCIAL CORP WV 3.02 01/03/13
MVB FINANCIAL CORP WV 5.02 01/03/13
NATIONAL MENTOR HOLDINGS, INC. DE 2.02,7.01,9.01 01/04/13
NATUS MEDICAL INC DE 5.02 01/03/13
New Western Energy Corp NV 1.01,2.01,3.02,7.01, 01/03/13
9.01
NEWLINK GENETICS CORP 8.01,9.01 01/03/13
NEWPARK RESOURCES INC DE 1.01,2.03,5.02,9.01 12/28/12
NEWS CORP 8.01,9.01 01/04/13
NORD RESOURCES CORP DE 1.01,9.01 01/02/13
NORTHEAST COMMUNITY BANCORP INC X1 5.02 01/03/13
NORTHWEST BANCORPORATION INC WA 1.01,3.02,9.01 12/28/12
NTELOS HOLDINGS CORP 5.02 12/28/12
NxStage Medical, Inc. DE 5.02 01/03/13
OFFICE DEPOT INC DE 5.02,9.01 12/31/12
OLYMPIC STEEL INC OH 5.02 01/01/13
OMEGA PROTEIN CORP NV 5.02,9.01 01/01/13
OMNICOMM SYSTEMS INC DE 5.02 12/31/12
One Horizon Group, Inc. PA 8.01 12/31/12
Onstream Media CORP FL 3.02 12/31/12
OPTI INC CA 8.01 01/04/13
ORION FUTURES FUND LP NY 3.02 01/01/13
OVERLAND STORAGE INC CA 3.01 01/02/13
Pebblebrook Hotel Trust MD 1.01,2.03,7.01,9.01 12/27/12
Pebblebrook Hotel Trust MD 7.01 01/04/13
PEQUOT RESOURCES INC 8.01 12/21/12
PERNIX THERAPEUTICS HOLDINGS, INC. MD 1.01,1.02,2.01,2.03, 12/28/12
3.02,8.01,9.01
Petron Energy II, Inc. NV 1.01,2.01,3.02,4.01, 01/04/12 AMEND
5.03,9.01
Phillips Edison - ARC Shopping Center MD 1.01 12/28/12
PLAINS EXPLORATION & PRODUCTION CO DE 5.02,7.01,9.01 12/31/12
Polar Petroleum Corp. 1.01,2.01,2.03,3.02, 11/05/12 AMEND
5.06,8.01,9.01
PostRock Energy Corp DE 2.02,3.02,9.01 12/31/12
Power REIT MD 8.01,9.01 01/03/13
Precision Aerospace Components, Inc. 8.01 01/04/13
PREFERRED APARTMENT COMMUNITIES INC MD 5.02,9.01 01/02/13
PREMIERWEST BANCORP OR 8.01,9.01 01/03/13
PRESSURE BIOSCIENCES INC MA 1.01,3.02,5.03,9.01 01/04/13 AMEND
PRICE T ROWE GROUP INC MD 5.02,9.01 01/03/13
PRISTINE SOLUTIONS INC. NV 8.01,9.01 01/03/13
PRIVATE MEDIA GROUP INC NV 1.01,3.02,5.01,5.03 12/28/12
PSB HOLDINGS INC /WI/ WI 5.02 01/02/13
QUESTCOR PHARMACEUTICALS INC CA 1.01,8.01,9.01 01/02/13
QUIDEL CORP /DE/ DE 2.02,9.01 01/04/13
QUIKSILVER INC DE 5.02,5.03,9.01 01/02/13
RAMCO GERSHENSON PROPERTIES TRUST MD 5.02,9.01 01/03/13
RENAISSANCERE HOLDINGS LTD D0 7.01,9.01 01/03/13
RESPONSE BIOMEDICAL CORP A1 8.01,9.01 01/03/13
Reven Housing REIT, Inc. CO 4.01,9.01 12/31/12
RIMAGE CORP MN 5.02,9.01 12/28/12
Roadrunner Transportation Systems, In DE 8.01,9.01 01/02/13
Roebling Financial Corp, Inc. 1.01,9.01 12/28/12
SAUER ENERGY, INC. NV 1.01,8.01,9.01 01/04/13
SEMTECH CORP DE 8.01 01/02/13
SENESCO TECHNOLOGIES INC DE 1.01,9.01 01/04/13
Sensata Technologies Holding N.V. P7 5.02,9.01 01/01/13
SHAW GROUP INC LA 2.01,9.01 01/04/13
Shiner International, Inc. NV 5.07 12/27/12
Shire plc 8.01,9.01 01/04/13
Sibling Group Holdings, Inc. TX 5.02 12/28/12
Silverwood Acquisition Corp DE 5.03 12/19/12
Silverwood Acquisition Corp DE 3.02,5.01,5.02 12/21/12
SITEL Worldwide Corp DE 5.02,9.01 12/31/12
SMITH MIDLAND CORP DE 8.01,9.01 01/03/13
SOCKET MOBILE, INC. DE 1.01,9.01 12/28/12
Solar Capital Ltd. MD 7.01 12/28/12
SOLARCITY CORP DE 2.02,9.01 01/03/13
SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 7.01,8.01,9.01 01/04/13
SPARTAN STORES INC MI 2.04,7.01,9.01 01/04/13
SPX CORP DE 5.02,8.01,9.01 01/02/13
SQN Alternative Investment Fund III, DE 8.01 12/10/12
Standard Gold CO 5.02 01/03/13
STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 01/02/13
Sucampo Pharmaceuticals, Inc. 8.01 01/02/13
SUNLINK HEALTH SYSTEMS INC OH 8.01 12/31/12
SUNLINK HEALTH SYSTEMS INC OH 1.01,9.01 12/31/12 AMEND
SYNAGEVA BIOPHARMA CORP DE 8.01,9.01 01/03/13
SYNTHESIS ENERGY SYSTEMS INC DE 4.01,9.01 01/02/13
Talon Therapeutics, Inc. DE 5.02,9.01 12/28/12
Targa Resources Partners LP DE 2.01,9.01 12/31/12
TELESTONE TECHNOLOGIES CORP CO 5.02,5.07 01/04/13
Tennessee Valley Authority 5.02 01/01/13
THESTREET, INC. DE 5.02 12/31/12
TITAN INTERNATIONAL INC IL 9.01 10/19/12 AMEND
Tops Holding Corp DE 5.02,5.07 12/28/12
Tri-Tech Holding, Inc. E9 5.02,9.01 12/28/12
Triangle Petroleum Corp DE 1.01,3.02,9.01 12/28/12
TRX INC/GA GA 1.01 12/31/12
U.S. SILICA HOLDINGS, INC. DE 1.01,9.01 12/31/12
Ulta Salon, Cosmetics & Fragrance, In DE 7.01,9.01 01/04/13
United Realty Trust Inc MD 5.02,8.01,9.01 12/28/12
UNITED STATIONERS INC DE 5.02,9.01 01/04/13
UniTek Global Services, Inc. DE 1.01,2.01,8.01,9.01 12/28/12
UNITIL CORP NH 5.02,5.03,9.01 12/13/12 AMEND
Universal Business Payment Solutions DE 1.01,2.01,2.03,3.01, 12/28/12
3.03,5.03,5.06,5.07,
9.01
UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 4.01,9.01 12/29/12
UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 1.01,3.03,9.01 12/31/12
US AIRWAYS GROUP INC DE 2.02,9.01 01/04/13
US AIRWAYS GROUP INC DE 2.02,9.01 01/04/13
Valeant Pharmaceuticals International A6 2.02,9.01 01/04/13
Viggle Inc. DE 8.01,9.01 01/04/13
VIROPHARMA INC DE 5.02 01/03/13
WELLS REAL ESTATE INVESTMENT TRUST II MD 1.01,7.01,9.01 12/28/12
WFN CREDIT CO LLC 6.02,9.01 01/01/13
White River Capital Inc IN 5.02,8.01 12/28/12
WINDSTREAM CORP DE 5.02,9.01 01/04/13
WIRELESS RONIN TECHNOLOGIES INC MN 8.01,9.01 01/04/13
WISCONSIN ENERGY CORP WI 5.02 12/28/12
WSI INDUSTRIES, INC. MN 2.02,5.07,8.01,9.01 01/03/13
WYNN RESORTS LTD 1.01 01/03/13
XPO Logistics, Inc. 2.01,9.01 10/24/12 AMEND
Yew Bio-Pharm Group, Inc. NV 4.01,9.01 12/31/12
ZIPCAR INC 8.01,9.01 01/04/13
http://www.sec.gov/news/digest/2013/dig010713.htm
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