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Enforcement proceedingsSecurities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Six Public Companies for Failure to Make Required Periodic FilingsOn January 7, 2013, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of six companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the six issuers are delinquent in their 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 Administrative Law Judge will hear evidence from the Division and the Respondents 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 Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents 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. 34-68597; File No. 3-15165) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Eight Public Companies for Failure to Make Required Periodic FilingsOn January 7, 2013, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of eight companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the eight issuers are delinquent in their 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 Administrative Law Judge will hear evidence from the Division and the Respondents 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 Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents 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. 34-68598; File No. 3-15166) William J. Reilly, Esq., SanctionedWilliam J. Reilly, Esq. (Reilly), has been permanently disqualified from appearing or practicing in any way before the Securities and Exchange Commission (Commission). The sanction was ordered in an administrative proceeding before an administrative law judge. Reilly had violated a previous order suspending him from appearing or practicing before the Commission as an attorney. In violation of the suspension, Reilly prepared a legal opinion that was incorporated in a Form S-8 registration statement that was filed with the Commission. (Rel. 34-68599; File No. 3-15126) Commission Orders Hearing on Registration Suspension or Revocation Against China North East Petroleum Holdings Limited for Failure to Make Required Periodic FilingsThe Commission today 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 China North East Petroleum Holdings Limited (CNEP or Respondent). In the Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order), the Division of Enforcement (Division) alleges that CNEP is delinquent in its required periodic filings with the Commission. In this proceeding, a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law 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 Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of the 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. 34-68601; File No. 3-15167) INVESTMENT COMPANY ACT RELEASESFidelity Commonwealth Trust, et al.A notice has been issued giving interested persons until January 31, 2013, to request a hearing on an application filed by Fidelity Commonwealth Trust, et al., for an order to permit: (a) certain open-end management investment companies or series thereof 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; (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares; and (f) certain series to perform creations and redemptions of Shares in-kind in a master-feeder structure. (Rel. IC-30341 - January 7) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by New York Stock Exchange LLC amending its price list with respect to regulatory fees related to the Central Registration Depository, which are collected by the Financial Industry Regulatory Authority, Inc. (SR-NYSE-2012-77) 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. 34-68587) A proposed rule change filed by NYSE Arca, Inc. amending its price list with respect to regulatory fees related to the Central Registration Depository, which are collected by the Financial Industry Regulatory Authority, Inc. (SR-NYSEARCA-2012-143) 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. 34-68588) A proposed rule change filed by NYSE MKT LLC amending its price list with respect to regulatory fees related to the Central Registration Depository, which are collected by the Financial Industry Regulatory Authority, Inc. (SR-NYSEMKT-2012-89) 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. 34-68589) A proposed rule change filed by NYSE Arca, Inc. amending its price list with respect to regulatory fees related to the Central Registration Depository, which are collected by the Financial Industry Regulatory Authority, Inc. (SR-NYSEARCA-2012-145) 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. 34-68590) The Depository Trust Company (DTC) filed a proposed rule change (SR-DTC-2012-11) under Section 19(b)(1) of the Securities Exchange Act of 1934, which proposed rule change became effective upon filing, to modify DTC’s fee schedule with respect to settlement and asset services. Publication is expected in the Federal Register during the week of January 7. (Rel. 34-68594) 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-4 PERNIX THERAPEUTICS HOLDINGS, INC., 33219 FOREST WEST STREET, MAGNOLIA, TX, 77354, (832) 934-1825 - 0 ($23,201,012.00) Equity, (File 333-185897 - Jan. 7) (BR. 01B) S-3 NORTHWEST BIOTHERAPEUTICS INC, 4800 MONTGOMERY LANE, SUITE 800, BETHESDA, MD, 20814, (240) 497-9024 - 0 ($100,000,000.00) Equity, (File 333-185898 - Jan. 7) (BR. 01B) S-3ASR lululemon athletica inc., 400 - 1818 CORNWALL AVENUE, VANCOUVER, A1, V6J 1C7, 604-732-6124 - 0 ($2,449,770,929.00) Equity, (File 333-185899 - Jan. 7) (BR. 09B) S-3 ZOGENIX, INC., 12400 HIGH BLUFF DRIVE, SUITE 650, SAN DIEGO, CA, 92130, (858) 259-1165 - 0 ($39,460,500.00) Equity, (File 333-185900 - Jan. 7) (BR. 01B) S-3 ZOGENIX, INC., 12400 HIGH BLUFF DRIVE, SUITE 650, SAN DIEGO, CA, 92130, (858) 259-1165 - 0 ($75,000,000.00) Unallocated (Universal) Shelf, (File 333-185901 - Jan. 7) (BR. 01B) S-1 AURORA GOLD CORP, C/- CORESCO AG, LEVEL 3, GOTTHARDSTRASSE 20, ZUG, 6304, V8, 00000, 41-7887-96966 - 135,000,000 ($5,400,000.00) Equity, (File 333-185908 - Jan. 7) (BR. 09B) S-1 INTERACTIVE MULTI MEDIA AUCTION Corp, 2/F ETON TOWER, 8 HYSAN AVENUE, CAUSEWAY BAY, HONG KONG, SAR, F4, 00000, (852) 291 07795 - 4,700,000 ($705,000.00) Equity, (File 333-185909 - Jan. 7) (BR. ) F-3 COMPUGEN LTD, 72 PINCHAS ROSEN ST, TEL AVIV, L3, 69512, 011-972-3-765-8585 - 0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-185910 - Jan. 7) (BR. 01A) S-3ASR TESORO LOGISTICS LP, 19100 RIDGEWOOD PARKWAY, SAN ANTONIO, TX, 78259, 210-626-6000 - 0 ($0.00) Equity, (File 333-185926 - Jan. 7) (BR. 04B) F-1 QGOG Constellation S.A., 40, avenue Monterey, L-2163, Luxembourg, N4, 00000, +352 20 20 2401 - 0 ($500,000,000.00) Equity, (File 333-185927 - Jan. 7) (BR. 04A) 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
-----------------------------------------------------------------------------------------
AAA CAPITAL ENERGY FUND L.P. 1.01,9.01 01/01/13
AAA CAPITAL ENERGY FUND L.P. II NY 1.01,9.01 01/01/13
ABBOTT LABORATORIES IL 2.01,9.01 01/01/13
ACORDA THERAPEUTICS INC 2.02,8.01,9.01 01/07/13
ADCARE HEALTH SYSTEMS INC OH 1.01,2.01,2.03 12/31/12
ADHEREX TECHNOLOGIES INC 8.01,9.01 01/07/13
ADMA BIOLOGICS, INC. DE 1.01 12/31/12
ADMA BIOLOGICS, INC. DE 7.01,9.01 01/07/13
Aegerion Pharmaceuticals, Inc. DE 8.01,9.01 01/07/13
AEMETIS, INC NV 1.01,9.01 12/31/12
AETHLON MEDICAL INC NV 8.01 01/04/13
AETNA INC /PA/ PA 2.02,7.01 01/07/13
AETRIUM INC MN 5.02 12/31/12
ALLDIGITAL HOLDINGS, INC. NV 1.01,7.01,9.01 01/06/13
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 01/07/13
Alliance Petroleum Corp NV 5.03 01/02/13
ALNYLAM PHARMACEUTICALS, INC. 2.02,9.01 01/06/13
AMAG PHARMACEUTICALS INC. DE 2.02,7.01,9.01 01/06/13
American Caresource Holdings, Inc. DE 1.01,5.02 12/31/12
AMERICAN CORDILLERA MINING Corp NV 1.01,5.03,5.07,7.01, 12/31/12
8.01,9.01
American Lorain CORP NV 5.07 12/28/12
American Realty Capital Trust, Inc. DE 1.01,9.01 01/06/13
American Tire Distributors Holdings, 2.01,9.01 11/30/12 AMEND
AMERITRANS CAPITAL CORP DE 1.01 01/04/13
AMICUS THERAPEUTICS INC DE 8.01,9.01 01/07/13
Amincor, Inc. NV 5.02 01/07/13
AP PHARMA INC /DE/ DE 8.01,9.01 01/07/13
APEX 5 INC. DE 5.03,5.07 12/20/12
APRICUS BIOSCIENCES, INC. NV 5.02 01/04/13
ARTS WAY MANUFACTURING CO INC DE 5.02,9.01 01/01/13
Ascent Capital Group, Inc. DE 7.01,9.01 01/04/13
ASSISTED LIVING CONCEPTS INC NV 8.01 12/21/12
ASSISTED LIVING CONCEPTS INC NV 1.01 12/31/12
ASTORIA FINANCIAL CORP DE 8.01,9.01 01/07/13
ASTRO MED INC /NEW/ RI 1.01 01/05/13
ATHENAHEALTH INC DE 1.01,7.01,9.01 01/07/13
ATHENAHEALTH INC DE 8.01,9.01 01/07/13
AtriCure, Inc. DE 2.02,7.01,9.01 01/07/13
AUTOVATIVE PRODUCTS INC NV 5.01 01/07/13
AUXILIUM PHARMACEUTICALS INC 2.02,7.01 01/07/13
AUXILIUM PHARMACEUTICALS INC 7.01,8.01,9.01 01/07/13
AVEO PHARMACEUTICALS INC DE 2.02,7.01,9.01 01/07/13
AVRA Surgical Robotics, Inc. DE 1.01,3.02,5.02,9.01 12/19/12
BAKERS FOOTWEAR GROUP INC MO 1.02,2.01,2.05,2.06, 12/31/12
8.01
BANK OF AMERICA CORP /DE/ DE 2.02,8.01,9.01 01/07/13
Berry Only Inc. 5.03,9.01 02/08/12
BG Medicine, Inc. DE 8.01,9.01 01/02/13
BIDGIVE INTERNATIONAL INC DE 1.01,2.03,3.02,5.01, 01/04/13
5.02,9.01
BILL BARRETT CORP DE 7.01,9.01 01/04/13
BIOLASE, INC DE 7.01,9.01 01/07/13
BIOLASE, INC DE 2.02,9.01 01/07/13
BIOMIMETIC THERAPEUTICS, INC. DE 8.01 01/07/13
BIOSPECIFICS TECHNOLOGIES CORP DE 8.01,9.01 01/07/13
BIOTIME INC CA 7.01,9.01 01/04/13
Black Ridge Oil & Gas, Inc. DE 7.01,9.01 01/07/13
BROADCAST INTERNATIONAL INC UT 1.01,5.02,7.01,9.01 01/06/13
Business Marketing Services Inc DE 5.02,9.01 01/07/13
BWAY INTERMEDIATE COMPANY, INC. DE 7.01 01/07/13
CADENCE PHARMACEUTICALS INC 1.02,8.01 01/04/13
Cardium Therapeutics, Inc. DE 8.01,9.01 01/03/13
CBIZ, Inc. DE 8.01,9.01 12/31/12
CDEX INC NV 5.02 12/31/12
CDI CORP PA 1.01,5.02 12/31/12
CECO ENVIRONMENTAL CORP DE 1.01,9.01 12/31/12
CELGENE CORP /DE/ DE 2.02,9.01 01/07/13
Celldex Therapeutics, Inc. DE 7.01,9.01 01/07/13
CENTRAL EUROPEAN DISTRIBUTION CORP DE 3.01 01/02/13
CHAMPIONS ONCOLOGY, INC. DE 8.01,9.01 01/07/13
CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 01/07/13
CHESAPEAKE ENERGY CORP OK 5.02,8.01,9.01 12/31/12
CIG WIRELESS CORP. NV 1.01,2.03 12/31/12
Ciralight Global, Inc. NV 5.02 12/31/12
Clearwater Paper Corp DE 5.02,9.01 01/04/13
CLIFTON SAVINGS BANCORP INC 5.02 12/31/12
CNL Healthcare Properties, Inc. MD 4.02 01/07/13
COCA-COLA ENTERPRISES, INC. DE 8.01 01/07/13
COEUR D ALENE MINES CORP ID 5.02 01/01/13
COLONIAL PROPERTIES TRUST AL 5.02,9.01 01/07/13
Colorado Gold Mines, Inc. 1.01,3.02 12/31/12
COMMERCIAL METALS CO DE 2.02,9.01 01/07/13
COMPUSONICS VIDEO CORP CO 8.01 12/31/12
COMSTOCK RESOURCES INC NV 8.01,9.01 01/04/13
Consolidation Services, Inc. DE 1.01,9.01 12/01/12
CoreSite Realty Corp MD 1.01,2.03,9.01 01/03/13
CORONADO BIOSCIENCES INC DE 8.01,9.01 01/07/13
Coronus Solar Inc. A1 1.01,1.02,2.01,2.03, 01/07/13
7.01,9.01
Corporate Capital Trust, Inc. MD 1.01,9.01 12/31/12
CROSSTEX ENERGY INC DE 7.01,9.01 01/07/13
CROSSTEX ENERGY LP DE 7.01,9.01 01/07/13
CROWN HOLDINGS INC PA 1.01,2.03,9.01 01/03/13
CUBIC ENERGY INC TX 1.01,8.01,9.01 12/31/12
CUBIST PHARMACEUTICALS INC DE 2.02,9.01 01/07/13
Cyalume Technologies Holdings, Inc. DE 5.02,9.01 12/31/12
DAKOTA TERRITORY RESOURCE CORP NV 2.01,9.01 12/31/12
DecisionPoint Systems, Inc. DE 3.02,9.01 12/31/12
DELCATH SYSTEMS INC DE 7.01,9.01 01/07/13
dELiAs, Inc. DE 5.02,7.01,9.01 01/07/13
DEMAND MEDIA INC. DE 7.01,9.01 01/07/13
DENDREON CORP DE 2.02,9.01 01/07/13
DEXCOM INC DE 2.02,5.02,9.01 01/07/13
Digital Cinema Destinations Corp. DE 7.01,9.01 01/07/13
DIGITAL RIVER INC /DE DE 7.01,9.01 01/07/13
DIVERSIFIED MULTI-ADVISOR FUTURES FUN NY 1.01,9.01 01/01/13
DIVERSIFIED MULTI-ADVISOR FUTURES FUN NY 1.01,1.02,9.01 01/01/13
DOT HILL SYSTEMS CORP DE 2.02,8.01 01/07/13
DRIVETIME AUTOMOTIVE GROUP INC DE 1.01 12/31/12
DSP GROUP INC /DE/ DE 8.01,9.01 01/07/13
DubLi, Inc. NV 1.01,9.01 12/31/12
DYNAMICS RESEARCH CORP MA 8.01,9.01 12/31/12
DYNEGY INC. DE 5.02,7.01,9.01 01/04/13
EASTGATE ACQUISITIONS CORP NV 1.01,9.01 01/07/13
Education Realty Trust, Inc. MD 5.02 01/07/13
Ellington Financial LLC DE 1.01,3.02 01/01/13
Emergent BioSolutions Inc. DE 2.02 01/07/13
EMERGING CTA PORTFOLIO LP NY 1.01,9.01 01/01/13
ENBRIDGE ENERGY PARTNERS LP DE 8.01,9.01 01/04/13
ENDO HEALTH SOLUTIONS INC. DE 1.02,8.01 12/31/12
ENDO HEALTH SOLUTIONS INC. DE 7.01,9.01 01/07/13
ENDOLOGIX INC /DE/ DE 2.02,9.01 01/07/13
ENERGY EDGE TECHNOLOGIES CORP. NJ 5.02 01/04/13
Energy Future Holdings Corp /TX/ TX 1.01,2.03,9.01 01/04/13
Energy Telecom, Inc. FL 8.01,9.01 01/07/13
EnergySolutions, Inc. DE 8.01,9.01 01/07/13
EnerJex Resources, Inc. NV 1.01,9.01 12/31/12
Entertainment Gaming Asia Inc. NV 1.01,5.02,9.01 12/31/12
EON COMMUNICATIONS CORP DE 9.01 01/07/13
EPOCH HOLDING CORP DE 8.01 01/07/13
EPOCRATES INC DE 1.01,9.01 01/07/13
EQUITY RESIDENTIAL MD 1.01,7.01,9.01 01/04/13
EQUUS TOTAL RETURN, INC. DE 8.01,9.01 01/07/13
ERBA Diagnostics, Inc. DE 7.01,9.01 01/07/13
EXTREME NETWORKS INC DE 1.01,2.02,2.03,2.05, 12/31/12
9.01
F5 NETWORKS INC WA 5.02,8.01,9.01 01/03/13
Farm Lands of Africa, Inc. NV 5.03 12/31/12
FEDERAL AGRICULTURAL MORTGAGE CORP 7.01,9.01 01/07/13
FEDERAL NATIONAL MORTGAGE ASSOCIATION 8.01 01/06/13
FEMALE HEALTH CO WI 5.02,9.01 01/01/13
FINDEX COM INC NV 5.02 12/31/12
First California Financial Group, Inc DE 5.02,9.01 12/31/12
FIRST PLACE FINANCIAL CORP /DE/ DE 2.01 01/01/13
FIRSTCITY FINANCIAL CORP DE 5.02 01/04/13
FIRSTFED FINANCIAL CORP DE 1.03 01/02/13
FITS MY STYLE INC NV 7.01,9.01 01/07/13
FSP GALLERIA NORTH CORP 1.01,9.01 12/31/12
FUELCELL ENERGY INC DE 9.01 10/31/12 AMEND
FUTURES PORTFOLIO FUND L.P. MD 3.02 01/01/13
GALLAGHER ARTHUR J & CO DE 8.01,9.01 01/07/13
GEO GROUP INC FL 1.01,5.02,5.03,8.01, 12/31/12
9.01
GERON CORP DE 2.02,7.01,9.01 01/04/13
GIBRALTAR INDUSTRIES, INC. DE 5.02,9.01 01/02/13
GLIMCHER REALTY TRUST MD 1.01,2.03,7.01,9.01 01/07/13
Global Arena Holding, Inc. DE 1.01,9.01 12/31/12
Global Eagle Acquisition Corp. DE 3.01,8.01,9.01 01/02/13
GLOBALWISE INVESTMENTS INC NV 1.01,2.03,3.02,9.01 12/31/12
GMS Capital Corp. FL 7.01 01/07/13
GOOD TIMES RESTAURANTS INC NV 1.01,2.01,2.03,8.01, 01/04/13
9.01
GreenChoice International, Inc. NV 8.01,9.01 01/02/13
GreenPlex Services, Inc. NV 1.01,3.02 12/31/12
GRYPHON GOLD CORP NV 5.02,7.01,9.01 01/07/12
GSE Holding, Inc. DE 5.02,9.01 01/07/13
GTJ REIT, Inc. MD 1.01,9.01 01/03/13
GUITAR CENTER HOLDINGS, INC. DE 5.02 01/04/13
HALOZYME THERAPEUTICS INC DE 7.01,9.01 01/07/13
HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 01/07/13
HARBINGER GROUP INC. DE 8.01 12/31/12
HARTFORD LIFE INSURANCE CO CT 2.01,9.01 01/07/13
HASTINGS ENTERTAINMENT INC TX 1.01,7.01,9.01 01/04/13
HAUPPAUGE DIGITAL INC DE 3.01 01/03/13
HAWAIIAN HOLDINGS INC DE 7.01,9.01 01/07/13
HEALTH ENHANCEMENT PRODUCTS INC NV 8.01 01/02/13
HEALTHCARE TRUST OF AMERICA, INC. MD 1.01,7.01,9.01 01/07/13
HEALTHSOUTH CORP DE 7.01,9.01 01/07/13
HealthWarehouse.com, Inc. DE 2.04 12/31/12
HeartWare International, Inc. DE 2.02,7.01,9.01 01/07/13
Highbridge Commodities FuturesAccess DE 9.01 01/03/13
HILLMAN COMPANIES INC DE 5.02 12/31/12
HITTITE MICROWAVE CORP 5.02,5.03,9.01 01/01/13
HollyFrontier Corp DE 7.01,9.01 01/07/13
HOSPIRA INC DE 5.02 01/01/13
Hudson Global, Inc. DE 1.01,2.03,5.02,9.01 12/31/12
Hudson Pacific Properties, Inc. MD 9.01 01/04/13
HYPERDYNAMICS CORP DE 1.01,2.01,9.01 12/31/12
iGambit, Inc. DE 1.01,2.01,2.03,3.02, 01/07/13
5.02,7.01,9.01
Independence Bancshares, Inc. SC 1.01,3.02,5.02,8.01, 12/31/12
9.01
Independence Resources PLC X0 1.01,9.01 01/01/13
INFINITY PHARMACEUTICALS, INC. DE 2.02,7.01,8.01,9.01 01/07/13
INFRAX SYSTEMS, INC. FL 8.01 01/07/13
INTERMOLECULAR INC DE 1.01 12/31/12
INTERMUNE INC DE 7.01,9.01 01/07/13
INTERNATIONAL SHIPHOLDING CORP DE 7.01 01/07/13
INUVO, INC. NV 5.02 01/07/13
KERYX BIOPHARMACEUTICALS INC DE 8.01,9.01 01/03/13
Keyuan Petrochemicals, Inc. NV 8.01 12/31/12
KILROY REALTY CORP MD 8.01,9.01 01/07/13
Lake Shore Bancorp, Inc. X1 5.03,8.01,9.01 01/01/13
LAPIS TECHNOLOGIES INC DE 1.01 12/31/12
Laredo Petroleum Holdings, Inc. DE 7.01,9.01 01/07/13
LASERLOCK TECHNOLOGIES INC NV 1.01,3.02,4.01 12/31/12
LAWSON PRODUCTS INC/NEW/DE/ DE 7.01,9.01 01/07/13
LBO CAPITAL CORP CO 8.01 12/31/12
LCA VISION INC DE 5.02,7.01,9.01 12/31/12
LEHMAN ABS CORP BACKED TR CERT FED EX DE 8.01,9.01 01/02/13
LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S DE 8.01,9.01 12/31/12
LGL GROUP INC DE 5.02,8.01,9.01 01/07/13
Liberty Global, Inc. DE 7.01 01/04/13
LIBERTY SILVER CORP NV 8.01,9.01 01/07/13
LIGHTSTONE VALUE PLUS REAL ESTATE INV MD 1.01,2.01,9.01 12/31/12
Lithium Corp 5.02 12/19/12
LITHIUM TECHNOLOGY CORP DE 5.02 01/03/13
LML PAYMENT SYSTEMS INC A1 5.07,9.01 01/07/13
LODGENET INTERACTIVE CORP DE 7.01,9.01 01/04/13
lululemon athletica inc. DE 8.01,9.01 01/04/13
MACERICH CO MD 5.02 01/03/13
Macquarie Leasing Pty Ltd C3 8.01,9.01 01/07/13
MAKO Surgical Corp. DE 2.02,9.01 01/07/13
Matador Resources Co TX 2.02,7.01,9.01 01/07/13
Medidata Solutions, Inc. DE 5.02,9.01 01/04/13
MEDIFAST INC DE 5.02,7.01,9.01 01/07/13
MedPro Safety Products, Inc. NV 1.01,2.03,5.01,9.01 12/31/12
MEDTRONIC INC MN 7.01,9.01 01/07/13
METROPCS COMMUNICATIONS INC DE 2.02,9.01 01/07/13
MICHAEL BAKER CORP PA 5.02,9.01 12/13/12 AMEND
MID PENN BANCORP INC PA 3.02,9.01 01/03/13
MIDDLEBY CORP DE 1.01,2.01,9.01 12/31/12
Midway Gold Corp A1 7.01,9.01 01/07/13
MIMVI, INC. NV 1.01,2.01,3.02,9.01 12/28/12
MOCON INC MN 5.02 12/31/12
MONARCH CEMENT CO KS 1.01,2.03,9.01 12/31/12
MONITRONICS INTERNATIONAL INC TX 7.01,9.01 01/04/13
Motorola Solutions, Inc. DE 5.02 01/07/13
MS STRUCTURED SATURNS SERIES 2002-11 DE 8.01,9.01 12/03/12
MULTIBAND CORP MN 1.01,9.01 01/02/13
NATUS MEDICAL INC DE 1.01 01/04/13
NAVIDEA BIOPHARMACEUTICALS, INC. DE 5.02,9.01 01/01/13
NEAH POWER SYSTEMS, INC. NV 8.01,9.01 01/07/13
NEUSTAR INC 7.01,8.01,9.01 01/07/13
NEUTRA CORP. FL 4.01,9.01 12/27/12
New Mountain Finance Corp DE 3.01 01/02/13
NEW ULM TELECOM INC MN 1.01,2.01,9.01 12/31/12
NEWCASTLE INVESTMENT CORP MD 1.01,7.01,8.01,9.01 01/04/13
NEWS CORP 8.01,9.01 01/07/13
NGL Energy Partners LP DE 1.01,2.01,9.01 12/31/12
NIC INC CO 7.01,9.01 01/07/13
NNN 2002 VALUE FUND LLC 5.02 12/31/12
NNN 2003 VALUE FUND LLC 5.02 12/31/12
OBJ Enterprises, Inc. FL 4.01,9.01 12/27/12
ODYSSEY MARINE EXPLORATION INC NV 1.01,8.01,9.01 01/02/13
OFFICIAL PAYMENTS HOLDINGS, INC. DE 8.01 01/07/13
OGE ENERGY CORP. OK 8.01 01/02/13
OLIE INC DE 5.02 01/07/13
ON THE MOVE SYSTEMS CORP. FL 4.01,9.01 12/27/12
ONYX PHARMACEUTICALS INC DE 2.02,9.01 01/07/13
Optex Systems Holdings Inc DE 5.02 12/31/12
OPTIMER PHARMACEUTICALS INC 2.02,9.01 01/07/13
ORBCOMM Inc. DE 1.01,1.02,2.03,8.01, 01/04/13
9.01
Orgenesis Inc. NV 1.01,5.02,8.01,9.01 01/03/13
ORION FUTURES FUND LP NY 1.01,9.01 01/01/13
ORMAT TECHNOLOGIES, INC. DE 5.02,9.01 01/07/13
ORTHOFIX INTERNATIONAL N V 2.02,9.01 01/07/13
OSHKOSH CORP WI 1.01,1.02,3.03,5.03, 01/04/13
8.01,9.01
OverNear, Inc. NV 1.01,3.02 12/14/12
PACIFIC PREMIER BANCORP INC DE 8.01,9.01 01/07/13
PACIFICHEALTH LABORATORIES INC DE 1.02 01/02/13
PDL BIOPHARMA, INC. DE 7.01,9.01 01/07/13
PennyMac Mortgage Investment Trust MD 1.01,2.03,9.01 01/03/13
PEOPLES FINANCIAL CORP /MS/ MS 5.02 01/07/13
PEREGRINE PHARMACEUTICALS INC DE 8.01,9.01 01/07/13
Perfumania Holdings, Inc. FL 7.01,9.01 01/03/13
PETROQUEST ENERGY INC DE 7.01,9.01 01/07/13
PETROQUEST ENERGY INC DE 9.01 01/07/13 AMEND
Pharma-Bio Serv, Inc. 5.02,9.01 12/31/12
PHI GROUP INC NV 1.01,9.01 12/24/12
PIONEER NATURAL RESOURCES CO DE 2.02,7.01,9.01 01/07/12
PLURISTEM THERAPEUTICS INC NV 7.01,9.01 01/07/13
PRICELINE COM INC DE 5.02,9.01 01/03/13
Primoris Services Corp DE 1.01,1.02,2.03,9.01 12/28/12
PROCERA NETWORKS INC NV 1.01,7.01,9.01 01/07/13
PROVIDENCE SERVICE CORP DE 7.01,9.01 01/07/13
PUBLIX SUPER MARKETS INC FL 1.01 01/04/13
Pzena Investment Management, Inc. DE 8.01,9.01 12/31/12
QLT INC/BC A1 8.01 01/07/13
QUEST DIAGNOSTICS INC DE 5.02,9.01 01/01/13
R F INDUSTRIES LTD NV 2.02,9.01 01/07/13
RADIAN GROUP INC DE 1.01,2.03,9.01 01/04/13
RADIO ONE, INC. DE 2.01 12/31/12
Rainbow Coral Corp. FL 4.01,9.01 12/27/12
REALNETWORKS INC WA 5.02 12/31/12
Realogy Holdings Corp. DE 5.08,8.01 01/07/13
REALTY INCOME CORP MD 1.01,9.01 01/07/13
REMY INTERNATIONAL, INC. DE 5.02,9.01 01/01/13
REPROS THERAPEUTICS INC. DE 8.01,9.01 01/07/13
REPROS THERAPEUTICS INC. DE 7.01,9.01 01/07/13
RLJ Lodging Trust MD 5.02 01/02/13
ROYAL BANCSHARES OF PENNSYLVANIA INC PA 8.01,9.01 12/31/12
S&W Seed Co NV 1.01,9.01 12/31/12
S&W Seed Co NV 9.01 09/24/12 AMEND
SABINE ROYALTY TRUST TX 2.02,9.01 01/04/13
Sabra Health Care REIT, Inc. MD 7.01,9.01 01/07/13
Sagetree Acquisition Corp DE 3.02,5.01,5.02 01/02/13
SCICLONE PHARMACEUTICALS INC DE 2.02,5.02,7.01,9.01 01/07/13
SELECT MEDICAL HOLDINGS CORP 7.01,9.01 01/07/13
SELECT MEDICAL HOLDINGS CORP 7.01,9.01 01/07/13
Sentio Healthcare Properties Inc MD 1.01,9.01 01/01/13
SEQUENOM INC DE 2.02,8.01,9.01 01/06/13
SHARPS COMPLIANCE CORP DE 7.01,9.01 01/03/13
Shengkai Innovations, Inc. FL 3.01 01/02/13
Shire plc 8.01,9.01 01/07/13
SIGA TECHNOLOGIES INC DE 1.01,2.03,9.01 12/31/12
SIGMA ALDRICH CORP DE 7.01,9.01 01/07/13
SIGMA DESIGNS INC CA 5.02 12/31/12
SIMMONS FIRST NATIONAL CORP AR 5.02,9.01 01/02/13
SM Energy Co DE 5.03,9.01 01/01/13
Snap Interactive, Inc DE 7.01,9.01 01/07/13
SOUPMAN, INC. DE 4.01,9.01 12/31/12
SOUTH AMERICAN GOLD CORP. NV 1.01,3.02,9.01 01/02/13
SOUTHERN CO DE 5.02 01/03/13
SPARTAN MOTORS INC MI 8.01,9.01 12/31/12
SPARTAN STORES INC MI 5.02 01/07/13
SPECTRANETICS CORP DE 2.01,9.01 01/07/13
SPINDLE, INC. NV 1.01,2.01,3.02,9.01 12/31/12
STANLEY BLACK & DECKER, INC. CT 7.01,9.01 01/07/13
Steadfast Income REIT, Inc. MD 1.01,2.01,2.03,9.01 12/31/12
STERLING CONSTRUCTION CO INC DE 2.01,8.01,9.01 12/31/12
STRATUS PROPERTIES INC DE 1.01,2.03,8.01,9.01 12/31/12
Sucampo Pharmaceuticals, Inc. 5.02,7.01,9.01 12/31/12
Summit Hotel Properties, Inc. MD 8.01,9.01 01/07/13
SUN COMMUNITIES INC MD 8.01,9.01 12/31/12
SUNOCO LOGISTICS PARTNERS L.P. DE 5.02,9.01 12/31/12
SUNPEAKS VENTURES, INC. NV 5.02 12/31/12
Sunshine Heart, Inc. DE 7.01,9.01 01/07/13
SYNTHESIS ENERGY SYSTEMS INC DE 7.01,9.01 01/07/13
T3 Motion, Inc. DE 5.02,5.07 12/31/12
TACTICAL DIVERSIFIED FUTURES FUND L.P NY 1.01,1.02,9.01 01/01/13
Talon Therapeutics, Inc. DE 8.01,9.01 01/07/13
Targeted Medical Pharma, Inc. 7.01,8.01,9.01 01/07/13
TEAM INC TX 2.02,9.01 01/07/13
TECHPRECISION CORP 2.02,7.01,9.01 01/07/13
TENGION INC DE 1.01,9.01 01/04/13
TENGION INC DE 7.01,9.01 01/07/13
TESARO, Inc. DE 7.01,9.01 01/07/13
TESORO CORP /NEW/ DE 1.01,2.03,9.01 01/04/13
TESORO LOGISTICS LP DE 1.01,2.02,2.03,7.01, 01/04/13
9.01
TESORO LOGISTICS LP DE 8.01,9.01 01/07/13
TESORO LOGISTICS LP DE 9.01 11/15/12 AMEND
TETRA TECHNOLOGIES INC DE 1.01,2.03 12/31/12
Texas Rare Earth Resources Corp. DE 5.02 01/07/13
TIDEWATER FUTURES FUND LP NY 1.01,1.02,9.01 01/01/13
TILE SHOP HOLDINGS, INC. DE 2.02,7.01,9.01 01/07/13
TITAN PHARMACEUTICALS INC DE 7.01,9.01 01/07/13
Tornier N.V. P7 2.02,7.01,9.01 01/07/13
TRAILBLAZER RESOURCES INC. NV 8.01 12/31/12
TRANSATLANTIC PETROLEUM LTD. D0 5.02 01/01/13
Transcept Pharmaceuticals Inc DE 2.05 01/02/13
Transcept Pharmaceuticals Inc DE 7.01,9.01 01/07/13
TRAVELCENTERS OF AMERICA LLC 8.01,9.01 01/07/13
TRIG ACQUISITION 1, INC NV 1.01,2.01,9.01 10/18/12 AMEND
Trius Therapeutics Inc DE 2.02,8.01,9.01 01/07/13
UNIFIED GROCERS, INC. CA 5.02,9.01 12/31/12
United Continental Holdings, Inc. DE 1.01,2.03,9.01 12/31/12
URANIUM RESOURCES INC /DE/ DE 1.01,8.01,9.01 12/31/12
US BANCORP \DE\ DE 8.01,9.01 01/07/13
US ENERGY CORP WY 7.01,9.01 01/07/13
Venaxis, Inc. CO 7.01,9.01 01/07/13
Venaxis, Inc. CO 8.01,9.01 01/07/13
Venoco, Inc. DE 2.01,9.01 12/31/12
VENTRUS BIOSCIENCES INC DE 8.01,9.01 01/07/13
VERIZON COMMUNICATIONS INC DE 7.01 01/07/13
VERMILLION, INC. DE 3.01 01/03/13
Vertex Energy Inc. NV 5.02 01/02/13
VIROPHARMA INC DE 7.01,9.01 01/07/13
VIVUS INC CA 2.02,7.01 01/07/13
VIVUS INC CA 7.01,9.01 01/07/13
Volcano Corp DE 2.02,9.01 01/07/13
WAGEWORKS, INC. DE 1.01,2.03 12/31/12
WALTER INVESTMENT MANAGEMENT CORP MD 1.01 12/31/12
WAUSAU PAPER CORP. WI 5.02,8.01,9.01 12/13/12
WELLS FARGO & COMPANY/MN DE 9.01 01/07/13
WESBANCO INC WV 5.02,8.01 01/07/13
Westway Group, Inc. DE 2.01,8.01,9.01 01/07/13
WET SEAL INC DE 5.02,9.01 01/07/13
WHITE MOUNTAIN TITANIUM CORP NV 5.02,8.01,9.01 01/03/13
WILLIAMS COMPANIES INC DE 5.02 01/01/13
WINDSTREAM CORP DE 7.01 01/07/13
Xumanii, Inc. NV 1.01,2.03,9.01 01/04/13
YUM BRANDS INC NC 2.02 01/07/13
Zep Inc. DE 2.02,7.01,9.01 01/07/13
ZOGENIX, INC. DE 2.02 01/07/13
ZOOM TECHNOLOGIES INC DE 1.01,2.01,8.01,9.01 12/31/12
http://www.sec.gov/news/digest/2013/dig010813.htm
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