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Commission AnnouncementsSecurities and Exchange Commission Suspends Trading in the Securities of Five Issuers For Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EST on January 16, 2013 and terminating at 11:59 p.m. EST on January 30, 2013.
The Commission temporarily suspended trading in the securities of these five issuers due to a lack of current and accurate information about the companies because they have 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 these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies 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 these companies 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. 34-68663) Commission MeetingsDecimalization Roundtable Discussion, Tuesday, February 5, 2013, 10:00 a.m.Securities and Exchange Commission will hold a decimalization roundtable discussion on Tuesday, February 5, 2013, in the Auditorium, Room L-002. The meeting will begin at 10:00 a.m. and will be open to the public. Seating will be on a first-come, first served basis. Doors will be open at 9:30 a.m. Visitors will be subject to security checks. The roundtable will be webcast on the Commission’s website at www.sec.gov and will be archived for later viewing. On December 28, 2012, the Commission published notice of the roundtable discussion (Release No. 34-68510), indicating that the event is open to the public and inviting the public to submit written comments to the Commission staff. This Sunshine Act notice is being issued because a majority of the Commission may attend the roundtable discussion. The agenda for the roundtable includes opening remarks followed by three panel discussions. The participants in the first panel will address the impact of tick sizes on small and middle capitalization companies, the economic consequences (including the costs and benefits) of increasing or decreasing minimum tick sizes, and whether other policy alternatives might better address the concerns animating Section 106(b) of the JOBS Act. The participants in the second panel will address the impact of tick sizes on the securities market in general, including what benefits may have been achieved, and what, if any, negative effects have resulted. The participants in the third panel will address potential methods for analysis of the issues, including whether and how to conduct a pilot for alternative minimum tick sizes. For further information, please contact the Office of the Secretary at (202) 551-5400. Enforcement ProceedingsCommission Orders Hearings on Registration Suspension or Revocation Against Five Companies 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 five companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the five 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 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 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. 34-68664; File No. 3-15176) In the Matter of MiddleCove Capital, LLC and Noah L. MyersThe United States Securities and Exchange Commission (Commission) announced the issuance of an Order Making Findings and Imposing Remedial Sanctions and Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 (Order) against MiddleCove Capital, LLC (MiddleCove), an investment adviser registered with the Commission, and Noah L. Myers (Myers), the principal of MiddleCove. The Order finds that from approximately October 2008 to February 2011, Myers engaged in fraudulent trade allocation – “cherry-picking” – at MiddleCove. Myers executed his cherry-picking scheme by unfairly allocating trades that had appreciated in value during the course of the day to his personal and business accounts and allocating trades that had depreciated in value during the day to the accounts of his advisory clients. Myers did this by purchasing securities in an omnibus account and delaying allocation of the purchases until later in the day (and sometimes the next day), after he saw whether the securities appreciated in value. When a security appreciated in value on the day of purchase, Myers would often sell the security and disproportionately allocate the purchase and the realized day-trading profit to his own accounts or accounts benefiting himself or his family members. In contrast, for securities that did not appreciate on the day of purchase, Myers would disproportionately allocate these purchases to his clients’ accounts and his clients would hold the position for more than one day. The Order finds that Myers and MiddleCove willfully violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and Sections 206(1), 206(2) and 207 of the Investment Advisers Act of 1940 and orders them to cease and desist from committing or causing any violations or future violations of these provisions. Myers and MiddleCove are also ordered to pay, jointly and severally, disgorgement in the amount of $462,022, prejudgment interest of $26,096 and a civil penalty of $300,000. Further, the Order revokes the registration of MiddleCove as an investment adviser and bars Myers from the securities industry. (Rel. 34-68669; IA-3534; IC-30351; File No. 3-14993) In the Matter of Mark A. Gelazela and Steven E. WoodsThe United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Mark A. Gelazela (Gelazela) and Steven E. Woods (Woods). In the Order, the Division of Enforcement alleges that, on December 18, 2012, a final judgment was entered against Gelazela and Woods, permanently enjoining them from future violations of Sections 5 and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Francis E. Wilde, et al., Civil Action Number SA CV11-00315 (C.D. Cal.). A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Gelazela and Woods with an opportunity to respond to these allegations, and to determine what sanctions, if any, are appropriate in the public interest. The Order directs the administrative law judge to issue an initial decision no later than 210 days from the date of service of the Order on the respondents. (Rel. 34-68670; File No. 3-15177) SEC Suspends Attorney Larry Lee AdairThe United States Securities and Exchange Commission announced today that it has issued an Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3)(i)(A) of the Commission’s Rules of Practice that suspends attorney Larry Lee Adair from appearing or practicing before the Commission. The Commission’s Order was based on a final judgment against Adair issued by the United States District Court for the Western District of Washington in SEC v. Merendon Mining (Nevada) Inc., et al., Case No. 2:10-cv-00955-RAJ, which permanently enjoins him from future violations of federal securities laws. The injunction stemmed from Adair’s role in a multi-national, $300 million Ponzi scheme that involved more than 3,000 U.S. and Canadian investors. Adair has 30 days to petition the Commission to lift the temporary suspension. If he does not make a timely petition, the suspension will become permanent pursuant to Rule 102(e)(3)(ii). (Rel. 34-68673; File No. 3-15178) INVESTMENT COMPANY ACT RELEASESFranklin Advisers, Inc., et al.An order has been issued on an application filed by Franklin Advisers, Inc., et al. The order 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-30350 - January 15) SELF-REGULATORY ORGANIZATIONSNotice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified By Amendment Nos. 1 and 3The Commission issued notice of filing of Amendment No. 3 and granted accelerated approval of a proposed rule change, as modified by Amendment Nos. 1 and 3 thereto (SR-NYSEMKT-2012-48), submitted by NYSE MKT LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, to amend the listing rules for compensation committees to comply with Securities Exchange Act Rule 10C-1 and make other related changes. Publication is expected in the Federal Register during the week of January 14. (Rel. 34-68637) Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified By Amendment No. 2The Commission issued notice of filing of Amendment No. 2 and granted accelerated approval of a proposed rule change, as modified by Amendment No. 2 thereto (SR-NYSEArca-2012-105), submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, to amend the listing rules for compensation committees to comply with Securities Exchange Act Rule 10C-1 and make other related changes. Publication is expected in the Federal Register during the week of January 14. (Rel. 34-68638) Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified By Amendment Nos. 1 and 3The Commission issued notice of filing of Amendment No. 3 and granted accelerated approval of a proposed rule change, as modified by Amendment Nos. 1 and 3 thereto (SR-NYSE-2012-49), submitted by New York Stock Exchange LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, to amend the listing rules for compensation committees to comply with Securities Exchange Act Rule 10C-1 and make other related changes. Publication is expected in the Federal Register during the week of January 14. (Rel. 34-68639) Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified By Amendment Nos. 1 and 2The Commission issued notice of filing of Amendment Nos. 1 and 2 and granted accelerated approval of a proposed rule change, as modified by Amendment No. 1 and 2 thereto (SR-NASDAQ-2012-109), submitted by The NASDAQ Stock Market LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, to amend the listing rules for compensation committees to comply with Rule 10C-1 under the Act and make other related changes. Publication is expected in the Federal Register during the week of January 14. (Rel. 34-68640) Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified By Amendment No. 1The Commission issued notice of filing of Amendment No. 1 and granted accelerated approval of a proposed rule change, as modified by Amendment No. 1 thereto (SR-BX-2012-063), submitted by NASDAQ OMX BX, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, to amend the listing rules for compensation committees to comply with Rule 10C-1 under the Act and make other related changes. Publication is expected in the Federal Register during the week of January 14. (Rel. 34-68641) Approval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change, (SR-CBOE-2012-094), submitted by Chicago Board of Options Exchange, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, to amend the listing rules for compensation committees to comply with Securities Exchange Act Rule 10C-1 and make other related changes. Publication is expected in the Federal Register during the week of January 14. (Rel. 34-68642) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the Financial Industry Regulatory Authority, Inc. to update cross-references and make other non-substantive changes within FINRA rules and by-laws 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 14. (Rel. 34-68650) A proposed rule change filed by New York Stock Exchange LLC extending the operation of its new market model pilot until the earlier of Securities and Exchange Commission approval to make such pilot permanent or July 31, 2013 (SR-NYSE-2012-75) 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 14. (Rel. 34-68658) A proposed rule change filed by New York Stock Exchange LLC extending the operation of its supplemental liquidity providers pilot (Rule 107B) until the earlier of the Securities and Exchange Commission’s approval to make such pilot permanent or July 31, 2013 (SR-NYSE-2012-76) 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 14. (Rel. 34-68560) A proposed rule change filed by The NASDAQ Stock Market LLC to modify an optional Historical Research and Administrative Report fee and related NASDAQ Rule 7022 revisions (SR-NASDAQ-2013-009) 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 14. (Rel. 34-68636) A proposed rule change (SR-MIAX-2012-05) filed by Miami International Securities Exchange LLC to amend the MIAX Options Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. Publication is expected in the Federal Register during the week of January 14. (Rel. 34-68645) A proposed rule change filed by Chicago Stock Exchange, Inc., as modified by Amendment Nos. 1 and 2 thereto, amending its price with respect to regulatory fees related to the continuing education regulatory element, certain examinations and Central Registration Depository, which are collected by the Financial Industry Regulatory Authority, Inc. (SR-CHX-2013-01) 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 14. (Rel. 34-68647) A proposed rule change filed by The NASDAQ Stock Market LLC to extend the operative date of recent changes made to rules 4613(a)(2)(F) and (G), and rule 4751(f)(15) (SR-NASDAQ-2013-007) 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 14. (Rel. 34-68654) The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-CBOE-2013-001) filed by Chicago Board Options Exchange, Incorporated pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to list and trade option contracts overlying 10 shares of certain securities. Publication is expected in the Federal Register during the week of January 14. (Rel. 34-68656) A proposed rule change filed by Chicago Stock Exchange, Inc. (SR-CHX-2012-19) to alter the fee schedule relating to port charges 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 January 14. (Rel. 34-68657) A proposed rule change filed by BATS Exchange, Inc. relating to fees for use of BATS Exchange, Inc. (SR-BATS-2013-002) 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 14. (Rel. 34-68659) Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation InformationThe Options Price Reporting Authority filed with the Securities and Exchange Commission a notice of filing of a proposed amendment pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608 thereunder (SR-OPRA-2012-07) to amend Section 3.5 of the OPRA Plan. Publication is expected in the Federal Register during the week of January 14. (Rel. 34-68655) 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-3 Bonanza Creek Energy, Inc., 410 17TH STREET, SUITE 1500, DENVER, CO, 80202, 720-440-6100 - 0 ($1,000,000,000.00) Other, (File 333-186019 - Jan. 15) (BR. 04A) S-8 NEWLINK GENETICS CORP, 2503 SOUTH LOOP DRIVE, SUITE 5100, AMES, IA, 50010, 515-296-5555 - 838,375 ($9,850,906.25) Equity, (File 333-186020 - Jan. 15) (BR. 01B) S-3 MAGNEGAS CORP, 150 RAINVILLE ROAD, TARPON SPRINGS, FL, 34689, (727) 932-9593 - 0 ($8,495,000.00) Equity, (File 333-186027 - Jan. 15) (BR. 10B) S-3 IRELAND INC., 2441 WEST HORIZON RIDGE PARKWAY, SUITE 100, HENDERSON, NV, 89052, 702-932-0353 - 17,793,802 ($13,345,351.50) Equity, (File 333-186039 - Jan. 15) (BR. 09A) S-1 PLUG POWER INC, 968 ALBANY-SHAKER ROAD, LATHAM, NY, 12110, 5187827700 - 0 ($20,000,000.00) Equity, (File 333-186041 - Jan. 15) (BR. 10B) S-1 FIVE BELOW, INC, 1818 MARKET STREET, SUITE 1900, PHILADELPHIA, PA, 19103, 215 546 7909 - 8,050,000 ($253,414,000.00) Equity, (File 333-186043 - Jan. 15) (BR. 02A) N-2 Blackstone Alternative Alpha Fund II, 345 PARK AVENUE, 16TH FLOOR, NEW YORK, NY, 10154, 212-583-5000 - 0 ($250,000,000.00) Other, (File 333-186044 - Jan. 15) (BR. 17) N-2 DoubleLine Income Solutions Fund, C/O DOUBLELINE CAPITAL LP, 333 SOUTH GRAND AVENUE, SUITE 800, LOS ANGELES, CA, 90071, 213-633-8200 - 40,000 ($1,000,000.00) Equity, (File 333-186045 - Jan. 15) (BR. 17) S-3ASR ONYX PHARMACEUTICALS INC, 249 E. GRAND AVE., SOUTH SAN FRANCISCO, CA, 94080, 650-266-0000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186046 - Jan. 15) (BR. 01B) S-3 EZCORP INC, 1901 CAPITAL PKWY, AUSTIN, TX, 78746, 5123143400 - 1,400,098 ($28,267,978.62) Equity, (File 333-186047 - Jan. 15) (BR. 02C) S-3 PERNIX THERAPEUTICS HOLDINGS, INC., 33219 FOREST WEST STREET, MAGNOLIA, TX, 77354, (832) 934-1825 - 5,078,126 ($39,863,289.10) Equity, (File 333-186048 - Jan. 15) (BR. 01B) RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-----------------------------------------------------------------------------------------
ABRAXAS PETROLEUM CORP NV 7.01,9.01 01/15/13
ACORN ENERGY, INC. DE 5.02 01/14/13
ACTIVECARE, INC. DE 2.01,9.01 11/16/12 AMEND
Advanced Cloud Storage, Inc. NV 9.01 01/15/13 AMEND
AdvanSource Biomaterials Corp DE 4.01,9.01 01/15/13
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 01/15/13
AMANASU TECHNO HOLDINGS CORP NV 4.02 06/30/11
AMANASU TECHNO HOLDINGS CORP NV 4.02 03/31/11
AMERCO /NV/ NV 8.01,9.01 01/15/13
AMERICAN EXPRESS CO NY 7.01 01/15/13
AMERICAN GRAPHITE TECHNOLOGIES INC. NV 4.01,9.01 01/10/13
AMERICAN PACIFIC CORP DE 1.01,8.01,9.01 01/14/13
American Realty Capital Properties, I MD 7.01,8.01,9.01 01/14/13
American Realty Capital Trust III, In MD 7.01,8.01,9.01 01/14/13
AMERICAN RIVER BANKSHARES CA 7.01,9.01 01/14/13
American Sands Energy Corp. DE 5.02,9.01 01/14/13
AMERICAN SPECTRUM REALTY INC MD 8.01,9.01 01/15/13
American Water Works Company, Inc. DE 5.02 01/14/13
Andina Acquisition Corp E9 5.02 01/09/13
ARABIAN AMERICAN DEVELOPMENT CO DE 1.01 01/11/13
Armour Residential REIT, Inc. MD 7.01,9.01 01/15/13
ATMOS ENERGY CORP TX 1.01,9.01 01/11/13
Auto Home Lock, Inc. NV 5.03,9.01 12/10/12
Avalon Holding Group, Inc. NV 5.02 01/14/13
Be Active Holdings, Inc. DE 2.01,3.02,5.01,5.02, 01/09/13
5.06,5.07,9.01
BELK INC 7.01,9.01 01/15/13
BERKSHIRE HATHAWAY INC DE 8.01,9.01 01/15/13
BIG 5 SPORTING GOODS CORP DE 2.02,9.01 01/14/13
BILL BARRETT CORP DE 5.02 01/14/13
BioDrain Medical, Inc. MN 1.01,2.03,3.02,9.01 01/15/13
BROADWIND ENERGY, INC. DE 5.02,9.01 01/14/13
BROCADE COMMUNICATIONS SYSTEMS INC DE 5.02,9.01 01/14/13
CABELAS INC DE 7.01,9.01 01/15/13
CALLISTO PHARMACEUTICALS INC DE 5.07,9.01 01/14/13
CAM Group, Inc. NV 1.01,9.01 01/15/13
CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 01/15/13
Carlyle Group L.P. DE 8.01,9.01 01/15/13
CASEYS GENERAL STORES INC IA 7.01 01/15/13
CHANCELLOR GROUP INC. NV 1.01 01/11/13
China Botanic Pharmaceutical 3.01,9.01 01/15/13
CHINA EDUCATION ALLIANCE INC. NC 4.01,9.01 01/14/13
CHRISTOPHER & BANKS CORP DE 7.01,9.01 01/15/13
CHYRON CORP NY 5.02,9.01 01/09/13
CLOUD PEAK ENERGY INC. DE 7.01,8.01,9.01 01/15/13
CODORUS VALLEY BANCORP INC PA 2.02,9.01 01/14/13
Cole Credit Property Trust Inc MD 7.01,8.01,9.01 01/10/13
Colony Financial, Inc. MD 1.01,9.01 01/11/13
COMMERCE BANCSHARES INC /MO/ MO 2.02,9.01 01/15/13
CONSOL Energy Inc DE 1.04 01/09/13
CORPORATE OFFICE PROPERTIES TRUST MD 2.02,7.01,9.01 01/15/13
Cortronix Biomedical Advancement Tech 4.01,9.01 01/10/13
COTTON BAY HOLDINGS, INC. 1.01,5.03,8.01,9.01 01/14/13
Crocs, Inc. 2.02,7.01,9.01 01/15/13
CROSS A T CO RI 2.02,9.01 01/14/13
DANA HOLDING CORP DE 7.01,9.01 01/15/13
DENBURY RESOURCES INC DE 1.01,7.01,9.01 01/14/13
Diamond Foods Inc DE 5.07 01/14/13
Digital Generation, Inc. DE 1.01,8.01,9.01 01/10/13
Digital Realty Trust, Inc. 8.01 01/15/13
Digital Realty Trust, Inc. 8.01 01/15/13
DIGITAL RIVER INC /DE DE 2.01,9.01 01/10/13 AMEND
DIRECTV DE 1.01,2.03,9.01 01/10/13
DOT HILL SYSTEMS CORP DE 8.01,9.01 01/15/13
DS HEALTHCARE GROUP, INC. FL 2.01,3.02,9.01 11/01/12
DUKE REALTY CORP IN 1.01,3.02,8.01,9.01 01/10/13
EAGLE ROCK ENERGY PARTNERS L P DE 7.01 01/15/13
Eaton Corp plc 9.01 11/30/12 AMEND
Echo Global Logistics, Inc. DE 8.01 01/15/13
Education Realty Trust, Inc. MD 1.01,2.03,9.01 01/15/13
EGAIN Corp DE 2.02,9.01 01/15/13
EGPI FIRECREEK, INC. NV 5.02 11/15/12
EGPI FIRECREEK, INC. NV 5.02 11/15/12
Elite Energies, Inc. DE 5.07 12/20/12
EMTEC INC/NJ UT 1.01,9.01 01/14/13
EMULEX CORP /DE/ DE 1.01,8.01,9.01 01/14/13
ENCORE CAPITAL GROUP INC DE 5.02,9.01 01/09/13
ENDEAVOUR INTERNATIONAL CORP NV 1.01,1.02,2.03,3.02, 01/09/13
9.01
ENDEAVOUR INTERNATIONAL CORP NV 3.03,5.03,9.01 01/14/13
EnergySolutions, Inc. DE 8.01,9.01 01/14/13
EnergySolutions, Inc. DE 5.02,9.01 01/09/13
ENTERPRISE BANCORP INC /MA/ MA 8.01,9.01 01/15/13
EQUITY ONE, INC. 5.02 01/13/13
EQUITY RESIDENTIAL MD 1.01,2.03,7.01,9.01 01/11/13
ETERNITY HEALTHCARE INC. NV 5.02 01/15/13
EXA CORP MA 7.01,9.01 01/15/13
EXPRESS, INC. 7.01,9.01 01/14/13
FBC Holding, Inc. 4.01,9.01 01/10/13
FEDERAL AGRICULTURAL MORTGAGE CORP 3.02,7.01,9.01 01/14/13
Federal Home Loan Bank of Atlanta X1 2.03 01/09/13
Federal Home Loan Bank of Boston X1 2.03 01/09/13
Federal Home Loan Bank of Chicago X1 2.03 01/09/13
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 01/10/13
Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/11/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 01/15/13
Federal Home Loan Bank of New York X1 2.03,9.01 01/09/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 01/09/13
Federal Home Loan Bank of San Francis X1 2.03 01/10/13
Federal Home Loan Bank of Seattle 2.03 01/10/13
Federal Home Loan Bank of Topeka 2.03,9.01 01/09/13
Fifth & Pacific Companies, Inc. DE 5.02 01/11/13
Fifth Street Finance Corp DE 8.01,9.01 01/14/13
First Federal of Northern Michigan Ba 5.02,9.01 01/15/13
First Titan Corp. FL 4.01,5.02,9.01 12/27/12
FIVE BELOW, INC PA 2.02,8.01,9.01 01/15/13
FOREST LABORATORIES INC DE 2.02,9.01 01/14/13
FREDERICK COUNTY BANCORP INC MD 2.02,7.01,9.01 01/14/13
FULTON FINANCIAL CORP PA 2.02,9.01 01/15/13
FXCM Inc. 7.01,9.01 01/15/13
General Motors Co 7.01,9.01 01/15/13
GENESCO INC TN 7.01 01/15/13
Genie Energy Ltd. DE 7.01,9.01 01/15/13
George Foreman Enterprises Inc DE 4.01,5.02,9.01 01/08/13
GILMAN CIOCIA, INC. DE 5.07 01/10/13
Global Security Agency Inc. NV 3.02 01/14/13
GLOBUS MEDICAL INC DE 2.02,9.01 01/15/13
GlyEco, Inc. NV 9.01 10/29/12 AMEND
Gordmans Stores, Inc. DE 5.02 01/13/13
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 01/11/13
GREAT CHINA MANIA HOLDINGS, INC. FL 5.02 01/14/13
Green Automotive Co 1.01,2.01,3.02,5.01, 12/14/12 AMEND
5.02,5.03,5.06,9.01
GREENBRIER COMPANIES INC OR 5.02,5.03,5.07,8.01, 01/09/13
9.01
GS Valet, Inc. NV 4.01,9.01 01/10/13 AMEND
GSI GROUP INC A3 7.01,9.01 01/15/13
GSI GROUP INC A3 1.01,2.01,7.01,9.01 01/15/13
HALCON RESOURCES CORP DE 1.01,2.03,9.01 01/09/13
HARTE HANKS INC DE 5.02 01/14/13
HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 01/14/13
HEALTH ENHANCEMENT PRODUCTS INC NV 8.01,9.01 01/14/13
HELEN OF TROY LTD 2.02,9.01 01/09/13
HERTZ CORP DE 7.01,9.01 01/14/13
HERTZ GLOBAL HOLDINGS INC 7.01,9.01 01/14/13
HII Technologies, Inc. 2.02,7.01,9.01 01/15/13
Hilltop Holdings Inc. MD 5.02 11/29/12 AMEND
HOLLYWOOD ENTERTAINMENT EDU HOLDING, DE 5.02 01/15/13
HOME LOAN SERVICING SOLUTIONS, LTD. E9 8.01 01/15/13
IDERA PHARMACEUTICALS, INC. DE 8.01 01/15/13
Idle Media, Inc. NV 4.02 01/03/13
Ignite Restaurant Group, Inc. 2.02,9.01 01/14/13
IMH Financial Corp DE 5.03,9.01 01/14/13
Imperial Holdings, Inc. 2.02,9.01 01/15/13
INLAND REAL ESTATE CORP MD 8.01,9.01 01/14/13
INTEGRATED DEVICE TECHNOLOGY INC DE 5.02 01/14/13
Interactive Brokers Group, Inc. DE 2.02,8.01,9.01 01/15/13
INTERFACE INC GA 5.02 01/15/13
IRONWOOD PHARMACEUTICALS INC DE 2.02,9.01 01/15/13
IsoRay, Inc. MN 1.01,9.01 01/09/13
JOE'S JEANS INC. DE 2.02,8.01,9.01 01/15/13
JONES FINANCIAL COMPANIES LLLP MO 3.02 11/01/12
JPMORGAN CHASE & CO DE 8.01 01/14/13
JPMorgan Chase Bank, National Associa X1 8.01,9.01 01/15/13
KALOBIOS PHARMACEUTICALS INC DE 3.03,5.03,5.07,9.01 01/11/13
KAMAN CORP CT 7.01,9.01 01/15/13
Kodiak Oil & Gas Corp B0 1.01,2.03,8.01,9.01 01/10/13
KRISPY KREME DOUGHNUTS INC NC 1.01,3.03,9.01 01/14/13
L & L ENERGY, INC. NV 3.02 01/15/13
LAKELAND INDUSTRIES INC DE 1.01,9.01 01/11/13
LAKES ENTERTAINMENT INC MN 7.01,9.01 01/11/13
Laredo Petroleum Holdings, Inc. DE 7.01,9.01 01/14/13
LAZARE KAPLAN INTERNATIONAL INC DE 2.02,8.01 01/15/13
LEAR CORP DE 7.01,9.01 01/14/13
LEGACY TECHNOLOGY HOLDINGS, INC. CO 5.02 01/10/13
LENNAR CORP /NEW/ DE 2.02 01/15/13
Liberty Global, Inc. DE 7.01 01/14/13
LIFELOCK, INC. DE 1.01,2.03,9.01 01/09/13
Lightman Grant, Inc. DE 4.01,9.01 12/17/12 AMEND
LIME ENERGY CO. DE 3.01,9.01 01/09/13
LKA INTERNATIONAL INC /DE/ DE 5.03,9.01 01/14/13
Location Based Technologies, Inc. NV 4.01,4.02,9.01 01/14/13
LYRIS, INC. 5.02 01/15/13
Maidenform Brands, Inc. DE 5.02,9.01 01/15/13
Manhattan Bancorp CA 5.02 01/09/13
MBIA INC CT 8.01 01/15/13
McEwen Mining Inc. CO 7.01,9.01 01/15/13
Medytox Solutions, Inc. NV 5.02 12/31/12
MERCANTILE BANK CORP MI 2.02,9.01 01/15/13
MICHAEL BAKER CORP PA 5.02 01/09/13
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 01/15/13
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 01/15/13
MOLLER INTERNATIONAL INC CA 1.01 01/15/13
MOMENTIVE SPECIALTY CHEMICALS INC. NJ 7.01 01/14/13
NATIONAL HEALTH INVESTORS INC MD 8.01 01/15/13
NATIONAL TAX CREDIT INVESTORS II CA 5.02 01/11/13
NATIONAL TAX CREDIT PARTNERS L P CA 5.02 01/11/13
NATURAL HEALTH TRENDS CORP DE 2.02,9.01 01/15/13
NB&T FINANCIAL GROUP INC OH 2.02,7.01,9.01 01/15/13
NET TALK.COM, INC. FL 2.03,9.01 01/11/13
NEWS CORP 8.01,9.01 01/15/13
NEWS CORP 8.01,9.01 01/14/13
NTN BUZZTIME INC DE 5.02 01/11/13
NuStar Energy L.P. DE 7.01,9.01 01/15/13
NuStar GP Holdings, LLC DE 7.01,9.01 01/15/13
OPENTABLE INC DE 5.02 01/09/13
Opexa Therapeutics, Inc. TX 8.01,9.01 01/15/13
ORANCO INC NV 5.02 10/18/12
Orgenesis Inc. NV 8.01 12/27/12
OXIGENE INC DE 2.02,8.01 01/15/13
Pacific Ethanol, Inc. DE 1.01,3.02,9.01 01/11/13
Pacira Pharmaceuticals, Inc. DE 8.01,9.01 01/15/13
Pacira Pharmaceuticals, Inc. DE 2.02,7.01,9.01 01/15/13
PACKAGING CORP OF AMERICA 7.01,9.01 01/14/13
Pathfinder Cell Therapy, Inc. DE 2.03,3.02 01/15/13
PEDEVCO CORP TX 4.01,9.01 01/15/13
PEERLESS SYSTEMS CORP DE 5.02,9.01 01/14/13
PETMED EXPRESS INC FL 8.01,9.01 01/15/13
PharMerica CORP DE 5.02,8.01,9.01 01/14/13
PLURISTEM THERAPEUTICS INC NV 8.01 01/15/13
QLOGIC CORP DE 2.02,9.01 01/15/13
QUICK-MED TECHNOLOGIES INC 5.02 01/15/13
REAL ESTATE ASSOCIATES LTD II CA 5.02 01/11/13
REAL ESTATE ASSOCIATES LTD III CA 5.02 01/11/13
REAL ESTATE ASSOCIATES LTD IV CA 5.02 01/11/13
REAL ESTATE ASSOCIATES LTD VI CA 5.02 01/11/13
REAL ESTATE ASSOCIATES LTD VII CA 5.02 01/11/13
REAL ESTATE ASSOCIATES LTD/CA CA 5.02 01/11/13
RED MOUNTAIN RESOURCES, INC. FL 3.02 10/19/12 AMEND
REGAL ENTERTAINMENT GROUP DE 8.01,9.01 01/14/13
Regional Management Corp. DE 2.02,9.01 01/15/13
RENASANT CORP MS 2.02,9.01 01/15/13
RESPECT YOUR UNIVERSE, INC. NV 5.02 01/10/13
ROCKWELL AUTOMATION INC DE 5.02 01/11/13
SANTARUS INC DE 8.01 01/14/13
SCORES HOLDING CO INC UT 4.01,9.01 01/14/13
SCORES HOLDING CO INC UT 4.01,9.01 01/14/13 AMEND
SEACOAST BANKING CORP OF FLORIDA FL 8.01,9.01 01/10/13
SEYCHELLE ENVIRONMENTAL TECHNOLOGIES NV 7.01,9.01 01/15/13
Shengkai Innovations, Inc. FL 3.01 01/09/13
SHERIDAN GROUP INC DE 1.01,9.01 01/15/13
SIERRA MONITOR CORP /CA/ CA 7.01,9.01 01/15/13
SIGNET JEWELERS LTD 7.01 01/14/13
Silicon Graphics International Corp DE 2.02,9.01 01/15/13
SimplePons, Inc. DE 8.01 01/14/13
SolarWinds, Inc. DE 5.02 01/10/13
SPARTECH CORP DE 8.01 01/15/13
STAPLES INC DE 8.01,9.01 01/14/13
STEC, INC. CA 8.01 01/14/13
STILLWATER MINING CO /DE/ DE 7.01,9.01 01/15/13
SunOpta Inc. 5.02,9.01 01/15/13
Susser Holdings CORP DE 2.02 01/15/13
Susser Petroleum Partners LP DE 2.02 01/15/13
SWS GROUP INC DE 8.01,9.01 01/14/13
SYNTHESIS ENERGY SYSTEMS INC DE 7.01,9.01 01/15/13
SYNTHESIS ENERGY SYSTEMS INC DE 4.01,9.01 01/02/13 AMEND
Tamir Biotechnology, Inc. DE 5.02 01/03/13
TEREX CORP DE 5.02,8.01,9.01 01/14/13
TJX COMPANIES INC /DE/ DE 8.01 01/04/13
TRAVELCENTERS OF AMERICA LLC 1.01,9.01 01/15/13
Trinity Place Holdings Inc. DE 5.02 01/09/13
TRUSTCO BANK CORP N Y NY 8.01,9.01 01/14/13
U.S. RARE EARTH MINERALS, INC NV 1.01,2.01 01/15/13
UNITED COMMUNITY FINANCIAL CORP OH 1.01,3.02,7.01,9.01 01/11/13
USA Graphite Inc. NV 1.01,2.03,3.02,9.01 01/15/13
VAIL RESORTS INC DE 7.01,9.01 01/15/13
VECTOR GROUP LTD DE 5.02,9.01 01/15/13
Venaxis, Inc. CO 8.01,9.01 01/15/13
Vera Bradley, Inc. 7.01,9.01 01/15/13
VERTICAL COMPUTER SYSTEMS INC DE 1.01,9.01 01/09/13
Viggle Inc. DE 1.02,9.01 01/14/13
VOIS Inc. FL 4.01 12/19/12
VONAGE HOLDINGS CORP DE 5.02 01/15/13
Western Refining, Inc. DE 8.01 01/15/13
http://www.sec.gov/news/digest/2013/dig011613.htm
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