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Commission AnnouncementsSecurities and Exchange Commission Suspends Trading in the Securities of Twenty-Two 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 25, 2013 and terminating at 11:59 p.m. EST on February 7, 2013.
The Commission temporarily suspended trading in the securities of these twenty-two 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 a year. 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 Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rels. 34-68726; 34-68728; 34-68730) Commission MeetingsClosed Meeting on Thursday, January 31, 2013 at 2:00 p.m.The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; 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) 551-5400. Enforcement ProceedingsCommission Orders Hearings on Registration Suspension or Revocation Against Twenty-Three Companies for Failure to Make Required Periodic FilingsIn conjunction with these trading suspensions, the Commission today also instituted three 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 twenty-three companies for failure to make required periodic filings with the Commission: In the Matter of Largo Vista Group, Ltd., et al., Administrative Proceeding File No. 3-15187
In the Matter of Medis Technologies Ltd., et al., Administrative Proceeding File No. 3-15185
In the Matter of Law Enforcement Associates Corp., et al., Administrative Proceeding File No. 3-15186
In these Orders, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission. In these proceedings, 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 proceedings 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 the proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rels. 34-68727; 34-68729; 34-68731) In the Matter of Nicolette D. LoiselOn January 25, 2013, the Commission issued an Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice (Order) against Nicolette D. Loisel, Esq. (Loisel). The Order finds that Loisel is an attorney, whom the State of Texas admitted to practice law in 1981, but whose license was suspended on September 1, 2012 for failure to pay bar dues and the attorney occupational tax. The Order also finds that on May 22, 2012, a jury returned a guilty verdict against Loisel on one count of conspiracy to commit wire fraud, in violation of 18 U.S.C. ยง 371, in a proceeding before the United States District Court for the Middle District of Florida captioned United States v. Shoss, et al., Case # 8:11-cr-00366-T-30TBM. The criminal proceeding stemmed from Loisel’s activities in connection with four defunct, publicly-traded issuers during the period February 2005 through at least July 2006. The Order further finds that on December 20, 2012, a judgment of conviction was entered against Loisel and, as a result, Loisel was sentenced to 12 months and one day in federal prison, followed by 36 months of supervised release. The Order further finds that a final forfeiture money judgment, in the amount of $800,000, was also entered against Loisel. On the basis of the foregoing, the Order finds that Loisel has been convicted of a felony within the meaning of Rule 102(e) of the Commission’s Rules of Practice. Based on the above, the Commission Order forthwith suspends Loisel from appearing or practicing before the Commission pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice. (Rel. 34-68738; File No. 3-15188) Investment Company Act ReleasesOrders 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:
Washington National Variable Annuity Fund AAn order has been issued pursuant to Section 8(f) of the Investment Company Act of 1940 declaring that Washington National Variable Annuity Fund A has ceased to be an investment company. (Rel. IC-30369 – January 23) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NYSE MKT LLC to extend the temporary suspension of those aspects of Rules 36.20 - Equities and 36.21 - Equities that would not permit Floor brokers to use personal portable phone devices on the Trading Floor following the aftermath of hurricane Sandy until the earlier of when phone service is fully restored or Friday, February 15, 2013 (SR-NYSEMKT-2013-06) 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 28. (Rel. 34-68705) A proposed rule change filed by New York Stock Exchange LLC amending NYSE rule 107C to allow retail liquidity providers to enter retail price improvement orders in a non-RLP capacity for securities to which the RLP is not assigned (SR-NYSE-2013-04) 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 28. (Rel. 34-68709) A proposed rule change filed by NYSE MKT LLC amending rule 107C - equities to allowretail liquidity providers to enter retail price improvement orders in a non-RLP capacity for securities to which the RLP is not assigned (SR-NYSEMKT-2013-02) 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 28. (Rel. 34-68710) A proposed rule change (SR-MIAX-2013-01) 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 28. (Rel. 34-68711) A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-01) relating to fees for EdgeBook Attributed 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 28. (Rel. 34-68713) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2013-01) relating to fees for EdgeBook Attributed 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 28. (Rel. 34-68714) A proposed rule change filed by NASDAQ OMX BX, Inc. relating to routing fees (SR-BX-2013-005) 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 28. (Rel. 34-68717) A proposed rule change filed by The NASDAQ Stock Market LLC relating to routing fees (SR-NASDAQ-2013-010) 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 28. (Rel. 34-68718) The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-BX-2013-006) filed by NASDAQ OMX BX, Inc. pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to Mini Options. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68719) The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-NASDAQ-2013-011) filed by The NASDAQ Stock Market LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to Mini Options. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68720) A proposed rule change filed by The NASDAQ Stock Market LLC to amend Rule 5710 (SR-NASDAQ-2013-008) 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 28. (Rel. 34-68721) A proposed rule change (SR-MIAX-2013-02) filed by the Miami International Securities Exchange LLC. to adopt MIAX Rule 319 relating to proxy voting 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 28. (Rel. 34-68723) New York Stock Exchange LLC has filed with the Securities and Exchange Commission a proposed change (SR-NYSE-2013-03) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder amending Rule 440B to provide how the Trigger Price will be calculated if trading is interrupted because of a systems or technical issue and is not restored during the trading day. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68724) Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule ChangeThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on proceedings to determine whether to approve or disapprove a proposed rule change (SR-NASDAQ-2012-090) filed by The NASDAQ Stock Market, LLC, to amend Rule 4626—Limitation of Liability. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68707) Approval of Proposed Rule ChangesThe Commission approved a proposed rule change (SR-NYSEArca-2012-131) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to listing and trading of shares of the Horizons S&P 500 Covered Call ETF, Horizons S&P Financial Select Sector Covered Call ETF, and Horizons S&P Energy Select Sector Covered Call ETF under NYSE Arca Equities Rule 5.2(j)(3). Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68708) The Commission approved a proposed rule change (SR-OCC-2012-23) filed by The Options Clearing Corporation (OCC) under Section 19(b)(2) of the Securities Exchange Act of 1934 to accommodate certain physically-settled options on U.S. Treasury securities. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68712) The Commission approved a proposed rule change (SR-NYSEARCA-2012-133) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder amending NYSE Arca Equities Rule 7.31(h)(7) to permit PL Select Orders to interact with incoming orders larger than the size of the PL Select Order. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68725) 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-3ASR First American Financial Corp, 1 FIRST AMERICAN WAY, SANTA ANA, CA, 92707, 714-250-3000 - 0 ($0.00) Debt, (File 333-186166 - Jan. 24) (BR. 01A) S-1 Daniels Corporate Advisory Company, Inc., 104-60 QUEENS BLVD, SUITE 12-B, FOREST HILLS, NY, 11375, 372-242-3148 - 4,801,069 ($4,901.07) Equity, (File 333-186169 - Jan. 24) (BR. 08C) S-8 MERIDIAN INTERSTATE BANCORP INC, 10 MERIDIAN STREET, EAST BOSTON, MA, 02128, 617-567-1500 - 1 ($1.00) Equity, (File 333-186170 - Jan. 24) (BR. 07C) S-3ASR FIRST HORIZON NATIONAL CORP, 165 MADISON AVENUE, MEMPHIS, TN, 38103, 9018186232 - 0 ($0.00) Other, (File 333-186171 - Jan. 24) (BR. 07C) S-8 UGI CORP /PA/, 460 N GULPH RD, P O BOX 858, KING OF PRUSSIA, PA, 19406, 6103371000 - 0 ($487,490,000.00) Equity, (File 333-186178 - Jan. 24) (BR. 02B) S-8 AFFYMAX INC, 4001 MIRANDA AVE, PALO ALTO, CA, 94304, 650-812-8700 - 0 ($32,500,125.00) Equity, (File 333-186180 - Jan. 24) (BR. 01A) S-3 Ocean Power Technologies, Inc., 1590 REED ROAD, PENNINGTON, NJ, 08534, 609-730-0400 - 0 ($40,000,000.00) Unallocated (Universal) Shelf, (File 333-186181 - Jan. 24) (BR. 02B) S-3D Corporate Property Associates 17 - Global INC, 50 ROCKEFELLER PLAZA, NEW YORK, NY, 10020, 212-492-1100 - 0 ($1,900,000,000.00) Equity, (File 333-186182 - Jan. 24) (BR. 08B) S-8 MICROS SYSTEMS INC, 7031 COLUMBIA GATEWAY DRIVE, COLUMBIA, MD, 21046-2289, 4432856000 - 1,200,000 ($52,020,000.00) Equity, (File 333-186183 - Jan. 24) (BR. 03B) S-8 Norwegian Cruise Line Holdings Ltd., 7665 CORPORATE DRIVE, MIAMI, FL, 33126, 305-436-4000 - 15,035,106 ($373,171,330.92) Other, (File 333-186184 - Jan. 24) (BR. 05B) S-8 TEKMIRA PHARMACEUTICALS Corp, 100-8900 GLENLYON PARKWAY, BURNABY, A1, V5J 5J8, 604-419-3200 - 0 ($9,731,517.00) Equity, (File 333-186185 - Jan. 24) (BR. 01A) S-8 CyrusOne Inc., 1649 W. FRANKFORD RD., CARROLLTON, TX, 75007, 214-488-1365 - 0 ($85,360,000.00) Equity, (File 333-186186 - Jan. 24) (BR. 08C) S-8 SCOTTS MIRACLE-GRO CO, 14111 SCOTTSLAWN ROAD, MARYSVILLE, OH, 43041, 9376440011 - 3,600,000 ($160,668,000.00) Equity, (File 333-186187 - Jan. 24) (BR. 05C) 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
-----------------------------------------------------------------------------------------
3M CO DE 2.02,9.01 01/24/13
8X8 INC /DE/ DE 2.02,9.01 01/24/13
99 CENTS ONLY STORES CA 5.02,9.01 01/23/13
99 CENTS ONLY STORES CA 8.01,9.01 01/23/13
ACADIA PHARMACEUTICALS INC DE 5.02 01/18/13
ACCESS NATIONAL CORP VA 2.02,7.01,9.01 01/22/13
ACORDA THERAPEUTICS INC 8.01,9.01 01/24/13
AFS SenSub Corp. 8.01,9.01 01/24/13
AIRGAS INC DE 2.02,9.01 01/24/13
ALASKA AIR GROUP, INC. DE 2.02,7.01,9.01 01/23/13
Alliance Bancorp, Inc. of Pennsylvani PA 2.02,9.01 01/23/13
AMERICAN INTERNATIONAL GROUP INC DE 7.01,9.01 01/23/13
AMERICAN NATIONAL BANKSHARES INC VA 8.01,9.01 10/18/12
AMERICAN REALTY CAPITAL HEALTHCARE TR MD 8.01,9.01 01/24/13
AMERICAN RIVER BANKSHARES CA 2.02,9.01 01/24/13
American Strategic Minerals Corp NV 2.01,3.02,5.02,9.01 11/14/12 AMEND
American Water Works Company, Inc. DE 2.02,7.01,9.01 01/24/13
Americas Diamond Corp. NV 1.01,5.02,9.01 01/23/13
AMERISOURCEBERGEN CORP DE 2.02,9.01 01/24/13
AMETEK INC/ DE 2.02,9.01 01/24/13
AMPAL-AMERICAN ISRAEL CORP NY 3.01,9.01 01/24/13
AMPHENOL CORP /DE/ DE 2.02,5.02,9.01 01/24/13
ARIAD PHARMACEUTICALS INC DE 1.01,8.01,9.01 01/24/13
Ascend Acquisition Corp. DE 1.01,8.01,9.01 01/07/13
ASSOCIATED ESTATES REALTY CORP OH 5.02,7.01,9.01 01/21/13
ASTORIA FINANCIAL CORP DE 2.02,8.01,9.01 01/23/13
AT&T INC. DE 2.02,9.01 01/24/13
AT&T INC. DE 8.01,9.01 01/23/13
ATLANTIC TELE NETWORK INC /DE DE 1.01,9.01 01/21/13
Augme Technologies, Inc. DE 5.02,7.01,9.01 01/21/13
AVNET INC NY 2.02,9.01 01/24/13
AVX Corp DE 2.02,9.01 01/24/13
BANCORPSOUTH INC MS 2.02,7.01,9.01 01/23/13
BAXTER INTERNATIONAL INC DE 2.02,9.01 01/24/13
Bazaarvoice Inc DE 5.02,7.01,9.01 01/23/13
BEST BUY CO INC MN 7.01,9.01 01/24/13
BG Medicine, Inc. DE 1.01,2.02,3.02,8.01, 01/24/13
9.01
Big Tree Group, Inc. CO 8.01,9.01 01/23/13
BLUEGREEN CORP MA 7.01,8.01,9.01 01/22/13
BMW Vehicle Lease Trust 2013-1 8.01,9.01 01/24/13
BMW Vehicle Lease Trust 2013-1 1.01,9.01 01/16/13
BNC BANCORP NC 8.01,9.01 01/22/13
BOEING CAPITAL CORP DE 1.02,9.01 01/24/13
BOSTON PROPERTIES INC DE 5.02 01/24/13
BOSTON PROPERTIES LTD PARTNERSHIP DE 5.02 01/24/13
Bridge Capital Holdings CA 2.02,9.01 01/24/13
BRIGGS & STRATTON CORP WI 2.02,9.01 01/24/13
BRISTOL MYERS SQUIBB CO DE 2.02,9.01 01/24/13
BRUNSWICK CORP DE 2.02,9.01 01/24/13
BRYN MAWR BANK CORP PA 2.02,9.01 01/24/13
CABOT MICROELECTRONICS CORP DE 2.02,9.01 01/24/13
CALIFORNIA FIRST NATIONAL BANCORP CA 2.02,7.01,9.01 01/23/13
CapLease, Inc. 1.01,3.03,5.03,9.01 01/17/13
Caribou Coffee Company, Inc. MN 3.01,3.02,3.03,5.01, 01/23/13
5.02,5.03,8.01,9.01
CASH AMERICA INTERNATIONAL INC TX 2.02,7.01,8.01,9.01 01/17/13
CASS INFORMATION SYSTEMS INC MO 2.02,8.01,9.01 01/24/13
CELADON GROUP INC DE 2.02,9.01 01/23/13
CELGENE CORP /DE/ DE 2.02,9.01 01/24/13
CENTURY NEXT FINANCIAL Corp LA 5.02 01/22/13
CEPHEID CA 2.02,9.01 01/24/13
Chefs' Warehouse, Inc. DE 5.02,9.01 01/21/13
CIGNA CORP DE 7.01 01/24/13
CIRRUS LOGIC INC DE 2.02,7.01,9.01 01/24/13
CITIZENS & NORTHERN CORP PA 8.01,9.01 01/24/13
CITIZENS HOLDING CO /MS/ MS 2.02,7.01,9.01 01/23/13
CITY NATIONAL CORP DE 2.02,9.01 01/24/13
CKE RESTAURANTS INC DE 8.01 01/24/13
Clearfield, Inc. MN 2.02,9.01 01/24/13
Clearwater Paper Corp DE 1.01,1.02,2.03,8.01, 01/17/13
9.01
CLIFFS NATURAL RESOURCES INC. OH 2.02,2.06,9.01 01/23/13
CLOUD PEAK ENERGY INC. DE 7.01,8.01,9.01 01/24/13
CNS RESPONSE, INC. DE 8.01 01/23/13
COBIZ FINANCIAL INC CO 2.02,9.01 01/24/13
COHERENT INC DE 2.02,9.01 01/24/13
Cole Credit Property Trust II Inc MD 1.01,9.01 01/22/13
Cole Credit Property Trust II Inc MD 8.01 01/23/13
COLONIAL PROPERTIES TRUST AL 2.02,7.01,9.01 01/24/13
Colorado Gold Mines, Inc. 5.03 01/22/13
COLUMBIA BANKING SYSTEM INC WA 2.02,8.01,9.01 01/24/13
COMMUNITY BANK SHARES OF INDIANA INC IN 8.01,9.01 01/22/13
Community Partners Bancorp NJ 8.01,9.01 01/24/13
Computer Graphics International Inc. NV 4.01,9.01 01/21/13
COVANCE INC DE 2.02,9.01 01/24/13
CROWN CASTLE INTERNATIONAL CORP DE 2.02,9.01 01/23/13
CUBIST PHARMACEUTICALS INC DE 7.01 01/23/13
CVR ENERGY INC DE 7.01,9.01 01/24/13
CVR ENERGY INC DE 1.01 01/16/13 AMEND
CVR PARTNERS, LP DE 7.01,9.01 01/24/13
CVR Refining, LP DE 1.01 01/16/13 AMEND
CYPRESS SEMICONDUCTOR CORP /DE/ DE 2.02,9.01 01/24/13
DAEGIS INC. DE 5.02,9.01 01/17/13
DATAWATCH CORP DE 5.02 01/17/13
DELUXE CORP MN 2.02,9.01 01/24/13
DELUXE CORP MN 8.01 01/24/13
DFC GLOBAL CORP. DE 2.02,9.01 01/24/13
DIEBOLD INC OH 2.02,5.02,9.01 01/19/13
DIGI INTERNATIONAL INC DE 2.02,9.01 01/24/13
DIME COMMUNITY BANCSHARES INC DE 2.02,9.01 01/24/13
DISCOUNT DENTAL MATERIALS, INC. NV 1.01,4.01,5.02,9.01 01/24/13
DNB FINANCIAL CORP /PA/ PA 2.02,9.01 01/24/13
DOVER Corp DE 2.02,9.01 01/24/13
DOVER DOWNS GAMING & ENTERTAINMENT IN DE 2.02,7.01,9.01 01/24/13
DOVER MOTORSPORTS INC DE 2.02,7.01,9.01 01/24/13
Dresser-Rand Group Inc. DE 5.02,9.01 01/18/13
DYNAMICS RESEARCH CORP MA 5.02 01/17/13
E TRADE FINANCIAL Corp DE 2.02,9.01 01/24/13
Eagle Bancorp Montana, Inc. 2.02,9.01 01/24/13
ELECTRONICS FOR IMAGING INC DE 2.02,9.01 01/24/13
Emergency Medical Services CORP DE 2.02,7.01,9.01 01/24/13
ENB Financial Corp PA 8.01,9.01 01/23/13
ENDEAVOUR INTERNATIONAL CORP NV 8.01,9.01 01/24/13
ENDEAVOUR INTERNATIONAL CORP NV 1.01,1.02,2.01,2.03, 05/31/12 AMEND
9.01
ENERGEN CORP AL 2.02,7.01,9.01 01/23/13
Energy Future Holdings Corp /TX/ TX 7.01 01/22/13 AMEND
EnteroMedics Inc 8.01,9.01 12/20/12
ENTERPRISE BANCORP INC /MA/ MA 2.02,9.01 01/24/13
ENTERPRISE FINANCIAL SERVICES CORP DE 2.02,9.01 01/24/13
EQT Corp PA 2.02,9.01 01/24/13
EQT Midstream Partners, LP DE 2.02,9.01 01/24/13
F&M BANK CORP VA 2.02,9.01 01/24/13
FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 2.02 01/24/13
FAIRPOINT COMMUNICATIONS INC DE 5.02,8.01 01/22/13
FARMERS CAPITAL BANK CORP KY 2.02,8.01,9.01 01/23/13
Federal Home Loan Bank of Atlanta X1 2.03 01/18/13
Federal Home Loan Bank of Chicago X1 2.03 01/22/13
Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/22/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 01/24/13
Federal Home Loan Bank of Indianapoli X1 7.01,9.01 01/18/13
Federal Home Loan Bank of New York X1 2.03,9.01 01/18/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 01/18/13
Federal Home Loan Bank of San Francis X1 2.03 01/18/13
FedFirst Financial Corp 8.01,9.01 01/23/13
FIRST BANCORP /NC/ NC 1.01,2.06,9.01 01/17/13
FIRST FINANCIAL BANCORP /OH/ OH 2.02,5.02,9.01 01/17/13
FIRST FINANCIAL HOLDINGS INC /DE/ DE 2.02,9.01 12/31/12
FIRST HORIZON NATIONAL CORP TN 8.01,9.01 01/23/13
FIRST MERCHANTS CORP IN 2.02,9.01 12/31/12
FIRST MERCHANTS CORP IN 2.02,9.01 12/31/12
FIRST POTOMAC REALTY TRUST MD 7.01,9.01 01/24/13
FLAGSTAR BANCORP INC MI 2.02,7.01,9.01 01/23/13
FLEXTRONICS INTERNATIONAL LTD. U0 2.02,2.05,9.01 01/23/13
FLOWSERVE CORP NY 2.02,9.01 01/24/13
FNB CORP/FL/ FL 8.01,9.01 01/17/13
FORTINET INC 5.02,9.01 01/24/13
GATX CORP NY 2.02,7.01,9.01 01/24/13
GLACIER BANCORP INC DE 2.02,9.01 01/24/13
Global Cash Access Holdings, Inc. DE 5.02,9.01 01/18/13
Global Eagle Acquisition Corp. DE 7.01,9.01 01/24/13
Global Security Agency Inc. NV 8.01 01/23/13
GRAINGER W W INC IL 2.02,9.01 01/24/13
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 12/31/12
Graystone Co DE 8.01 01/24/13
GREAT AMERICAN ENERGY, INC. 1.01,9.01 01/21/13
GREAT SOUTHERN BANCORP INC MD 7.01 01/24/13
GREENE COUNTY BANCORP INC DE 2.02,9.01 01/24/13
GREENHILL & CO INC DE 2.02,9.01 01/23/13
GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 01/22/13
GTJ REIT, Inc. MD 1.01,2.01,2.03,3.02, 01/17/13
5.02,9.01
HANCOCK HOLDING CO MS 2.02,9.01 01/24/13
HANMI FINANCIAL CORP DE 2.02,9.01 01/24/13
HARLEYSVILLE SAVINGS FINANCIAL CORP 2.02,5.07,9.01 01/23/13
Harvard Illinois Bancorp, Inc. MD 8.01,9.01 01/24/13
HENNESSY ADVISORS INC 5.02,5.07,9.01 01/17/13
Heritage Financial Group Inc MD 2.02,9.01 01/24/13
HERITAGE OAKS BANCORP CA 2.02,9.01 01/24/13
Hill-Rom Holdings, Inc. IN 2.02,9.01 01/24/13
HINES REAL ESTATE INVESTMENT TRUST IN 1.01 01/17/13
HOLLY ENERGY PARTNERS LP 7.01,9.01 01/24/13
Home Federal Bancorp, Inc. of Louisia LA 2.02,8.01,9.01 01/24/13
HORIZON BANCORP /IN/ IN 2.02,9.01 01/23/13
HUBBELL INC CT 2.02,9.01 01/24/13
ICAHN ENTERPRISES L.P. DE 8.01,9.01 01/24/13
ICAHN ENTERPRISES L.P. DE 8.01,9.01 01/16/13 AMEND
INDEPENDENT BANK CORP MA 2.02,7.01,9.01 01/24/13
INFORMATICA CORP DE 2.02,9.01 01/24/13
INTERNATIONAL SPEEDWAY CORP FL 2.02,7.01,8.01,9.01 01/24/13
International Stem Cell CORP DE 1.01,3.02,9.01 01/22/13
INTEVAC INC CA 2.06 12/19/12 AMEND
Invesco Ltd. D0 5.02 01/18/13
ITERIS, INC. DE 2.02,9.01 01/24/13
ITT EDUCATIONAL SERVICES INC DE 2.02,9.01 01/24/13
JACKSONVILLE BANCORP INC /FL/ FL 1.01,2.01,3.02,3.03, 12/27/12 AMEND
5.02,5.03,9.01
JACOBS ENGINEERING GROUP INC /DE/ DE 2.02,9.01 01/23/13
JANUS CAPITAL GROUP INC DE 2.02,5.02,9.01 01/22/13
JEWETT CAMERON TRADING CO LTD OR 5.02 01/18/13
JUNIPER NETWORKS INC DE 2.02,9.01 01/24/13
KB HOME DE 8.01,9.01 01/23/13
KBS Real Estate Investment Trust III, MD 1.01 01/18/13
KENNAMETAL INC PA 2.02,9.01 01/24/13
KEY TECHNOLOGY INC OR 2.02,9.01 01/24/13
KEYCORP /NEW/ OH 2.02,9.01 01/24/13
KLA TENCOR CORP DE 2.02,9.01 01/24/13
KNIGHT CAPITAL GROUP, INC. DE 2.02,5.02,7.01,9.01 01/17/13
LACLEDE GROUP INC MO 7.01,8.01,9.01 01/22/13
LAKELAND BANCORP INC NJ 2.02,8.01,9.01 01/24/13
LATTICE SEMICONDUCTOR CORP DE 2.02,9.01 01/24/13
LEUCADIA NATIONAL CORP NY 8.01,9.01 01/24/13
Liberty Media Corp DE 2.01,8.01,9.01 01/18/13
LOCAL Corp DE 2.02,9.01 01/24/13
LOCKHEED MARTIN CORP MD 2.02,9.01 01/24/13
LOGITECH INTERNATIONAL SA 2.02,9.01 01/23/13
LOJACK CORP MA 5.02,9.01 01/24/13
LOWES COMPANIES INC NC 8.01,9.01 01/24/13
MACK CALI REALTY CORP MD 1.01,9.01 01/17/13
Magyar Bancorp, Inc. DE 2.02,9.01 01/24/13
MAINSOURCE FINANCIAL GROUP IN 8.01 01/23/13
MAXIM INTEGRATED PRODUCTS INC DE 2.02,9.01 01/24/13
MAXIMUS INC VA 1.01,2.03,9.01 01/18/13
Mayflower Bancorp Inc MA 2.02,9.01 01/22/13
MBT FINANCIAL CORP MI 2.02,9.01 01/24/13
MCCORMICK & CO INC MD 2.02,9.01 01/24/13
MCMORAN EXPLORATION CO /DE/ DE 2.01,8.01 01/17/13
MEDIENT STUDIOS, INC. NV 8.01,9.01 01/22/13
MEGA WORLD FOOD HOLDING CO NV 3.02,5.01,5.02,9.01 01/22/13
MEGAS INC NV 5.01,5.02,5.03,9.01 11/03/12
MERCHANTS BANCSHARES INC DE 2.02,9.01 01/23/13
MEREDITH CORP IA 2.02,9.01 01/18/13
MEREDITH CORP IA 2.02,9.01 01/24/13
MERIDIAN BIOSCIENCE INC OH 2.02,5.07,9.01 01/23/13
MERIT MEDICAL SYSTEMS INC UT 9.01 11/26/12 AMEND
MERITOR INC IN 5.07 01/24/13
MERRILL LYNCH DEPOSITOR INC DE 9.01 01/23/13
MICHAEL BAKER CORP PA 5.02,5.03,9.01 01/19/13
MICRON TECHNOLOGY INC DE 5.02,5.03,5.07,9.01 01/22/13
MICROS SYSTEMS INC MD 2.02,9.01 01/24/13
MICROSEMI CORP DE 2.02,9.01 01/24/13
MICROSOFT CORP WA 2.02,9.01 01/24/13
MID PENN BANCORP INC PA 1.01,2.02,9.01 01/23/13
MidWestOne Financial Group, Inc. IA 2.02,9.01 01/24/13
MINERALS TECHNOLOGIES INC DE 8.01,9.01 01/23/13
MUTUALFIRST FINANCIAL INC MD 5.02,9.01 01/23/13
Nano Mask, Inc. NV 5.02,9.01 01/01/13
National Bank Holdings Corp DE 8.01 01/22/13
NATIONAL PATENT DEVELOPMENT CORP DE 5.02 01/17/13
NATIONAL PENN BANCSHARES INC PA 2.02,7.01,9.01 01/24/13
NATIONAL PENN BANCSHARES INC PA 2.02,7.01,9.01 01/24/13
NEOPHOTONICS CORP DE 1.01 01/22/13
NEWS CORP 8.01,9.01 01/24/13
NORTHRIM BANCORP INC AK 2.02,9.01 01/23/13
Norwegian Cruise Line Holdings Ltd. 7.01,9.01 01/24/13
NVR INC VA 2.02,9.01 01/24/13
Oak Valley Bancorp CA 2.02,7.01,9.01 01/22/13
OCEANFIRST FINANCIAL CORP DE 2.02,8.01,9.01 01/24/13
Oconee Federal Financial Corp. 8.01,9.01 01/24/13
OFFICE DEPOT INC DE 5.03,8.01,9.01 01/24/13
OLD NATIONAL BANCORP /IN/ IN 8.01,9.01 01/24/13
OPEN TEXT CORP A6 2.02,9.01 01/24/13
ORANCO INC NV 4.01,9.01 01/22/13
Oritani Financial Corp DE 2.02,9.01 01/24/13
ORRSTOWN FINANCIAL SERVICES INC PA 5.03,9.01 01/24/13
ORRSTOWN FINANCIAL SERVICES INC PA 2.02,9.01 01/23/13
ORRSTOWN FINANCIAL SERVICES INC PA 2.02,9.01 01/23/13
OSI SYSTEMS INC DE 2.02,9.01 01/24/13
OVERSTOCK.COM, INC DE 2.02,9.01 01/24/13
Pebblebrook Hotel Trust MD 7.01,9.01 01/22/13
PEOPLES BANCORP INC OH 8.01,9.01 01/24/13
Performant Financial Corp DE 2.02,9.01 01/22/13
PERNIX THERAPEUTICS HOLDINGS, INC. MD 5.02,8.01,9.01 01/17/13
PETMED EXPRESS INC FL 8.01,9.01 01/22/13
PGT, Inc. DE 2.01,9.01 01/24/13
PINNACLE AIRLINES CORP DE 7.01,9.01 01/24/13
PISMO COAST VILLAGE INC CA 5.02,5.07 01/19/13
PMI GROUP INC DE 7.01,9.01 01/24/13
POPULAR INC 5.02,9.01 01/17/13
POPULAR INC 2.02,9.01 01/24/13
POPULAR INC 7.01,9.01 01/24/13
PRECISION CASTPARTS CORP OR 2.02,8.01,9.01 01/24/13
PRECISION OPTICS Corp INC MA 8.01 01/17/13
PREMIERWEST BANCORP OR 5.02,9.01 01/23/13
Protea Biosciences Group, Inc. DE 1.01,3.02,5.02,9.01 12/10/12
ProText Mobility, Inc. DE 1.01 01/24/13 AMEND
PROVIDENCE & WORCESTER RAILROAD CO/RI RI 2.03 01/24/13
PROVIDENT FINANCIAL HOLDINGS INC DE 8.01,9.01 01/22/13
PROVIDENT FINANCIAL HOLDINGS INC DE 2.02,7.01,9.01 01/24/13
PURE CYCLE CORP CO 8.01,9.01 01/24/13
PVF CAPITAL CORP OH 2.02,9.01 01/23/13
QLOGIC CORP DE 2.02,9.01 01/24/13
QUALITY SYSTEMS, INC CA 2.02,8.01,9.01 01/23/13
RALCORP HOLDINGS INC /MO MO 1.01,2.03,9.01 01/18/13
RAMBUS INC DE 2.02,9.01 01/24/13
RAYONIER INC NC 2.02,9.01 01/24/13
RAYTHEON CO/ DE 2.02,9.01 01/24/13
Redwood Mortgage Investors IX DE 9.01 09/30/12
RELIABRAND INC. 7.01,9.01 01/24/13
RESMED INC DE 2.02,8.01,9.01 01/24/13
RING ENERGY, INC. NV 2.03,3.02,5.02,5.03, 01/22/13
5.07,8.01,9.01
Rosetta Resources Inc. DE 2.02,9.01 01/24/13
ROSS STORES INC DE 5.02,9.01 01/23/13
RURBAN FINANCIAL CORP OH 2.02,9.01 01/23/13
SANDY SPRING BANCORP INC MD 2.02,9.01 01/24/13
SCANSOURCE INC SC 2.02,9.01 01/24/13
SCOTTS MIRACLE-GRO CO OH 5.02,5.07,9.01 01/24/13
SELECT COMFORT CORP MN 2.02,9.01 01/24/13
SELECT COMFORT CORP MN 7.01,9.01 01/24/13
SENIOR HOUSING PROPERTIES TRUST MD 8.01,9.01 01/23/13
SILVERSTAR MINING CORP. NV 7.01,9.01 01/18/13
SIMMONS FIRST NATIONAL CORP AR 2.02,9.01 12/31/12
Skinny Nutritional Corp. NV 5.02,9.01 01/17/13
SMITH A O CORP DE 2.02,9.01 01/24/13
SMTC CORP DE 5.02,5.03,9.01 01/18/13
SOLAZYME INC DE 1.01,2.03,3.02,9.01 01/24/13
SOMERSET HILLS BANCORP NJ 2.02,9.01 01/24/13
SOUTHCOAST FINANCIAL CORP SC 2.02,9.01 01/17/13
SOUTHWEST AIRLINES CO TX 2.02,9.01 12/31/12
SPX CORP DE 5.02 01/22/13
STANLEY BLACK & DECKER, INC. CT 2.02,9.01 01/24/13
STARBUCKS CORP WA 2.02,9.01 01/24/13
STARBUCKS CORP WA 7.01,9.01 01/24/13
STARWOOD PROPERTY TRUST, INC. 1.01,7.01,9.01 01/23/13
STERLING BANCORP NY 7.01,9.01 01/22/13
STRATTEC SECURITY CORP WI 2.02,9.01 01/24/13
SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 01/24/13
SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 01/24/13
SunCoke Energy Partners, L.P. DE 1.01,2.01,2.03,3.02, 01/17/13
5.03,8.01,9.01
SunCoke Energy, Inc. 1.01,2.03,8.01,9.01 01/18/13
SUNVALLEY SOLAR, INC. NV 5.02 01/14/13
SVB FINANCIAL GROUP 2.02,9.01 01/24/13
SYNAPTICS INC DE 2.02,9.01 01/24/13
TAYLOR CAPITAL GROUP INC DE 2.02,7.01,9.01 01/24/13
TELEDYNE TECHNOLOGIES INC DE 2.02,5.02 01/22/13
TEMPUR PEDIC INTERNATIONAL INC DE 2.02,7.01,8.01,9.01 01/24/13
TERADYNE, INC MA 2.02,9.01 01/23/13
TEXAS CAPITAL BANCSHARES INC/TX 2.02,9.01 01/23/13
TF FINANCIAL CORP DE 2.02,9.01 01/24/13
TF FINANCIAL CORP DE 5.02 01/17/13
TF FINANCIAL CORP DE 5.05,9.01 01/23/13
Thompson Creek Metals CO Inc. A6 8.01,9.01 01/22/13
TIMBERLAND BANCORP INC WA 5.07 01/22/13
TIMKEN CO OH 2.02,9.01 01/24/13
TORCH ENERGY ROYALTY TRUST DE 3.01,9.01 01/24/13
TOWER FINANCIAL CORP IN 2.02,9.01 01/24/13
UMPQUA HOLDINGS CORP OR 2.02,9.01 01/23/13
Under Armour, Inc. MD 8.01,9.01 01/24/13
UNICO INC /AZ/ AZ 5.02 06/27/12
UNION FIRST MARKET BANKSHARES CORP VA 2.02,9.01 01/23/13
UNION PACIFIC CORP UT 2.02,9.01 01/24/13
UNITED BANCORP INC /MI/ MI 2.02,7.01,9.01 01/24/13
UNITED COMMUNITY BANKS INC GA 5.02 01/23/13
UNITED COMMUNITY BANKS INC GA 2.02,9.01 01/24/13
United Continental Holdings, Inc. DE 2.02,7.01,9.01 01/24/13
UNITED RENTALS INC /DE DE 2.02,7.01,9.01 01/23/13
UNIVEST CORP OF PENNSYLVANIA PA 5.02 01/23/13
USEC INC DE 1.01,9.01 01/23/13
VALERO ENERGY CORP/TX DE 5.02,9.01 01/23/13
VERISIGN INC/CA DE 2.02,9.01 01/24/13
Viking Minerals Inc. NV 1.01,5.02 01/16/13
Village Bank & Trust Financial Corp. 8.01,9.01 01/18/13
VISANT CORP 5.02,8.01 01/23/13
Walter Energy, Inc. DE 2.02,9.01 01/22/13
WALTER INVESTMENT MANAGEMENT CORP MD 3.01,9.01 01/23/13
WEBSENSE INC DE 5.02 01/22/13
WELLS FARGO & COMPANY/MN DE 9.01 01/24/13
WESTAMERICA BANCORPORATION CA 8.01,9.01 01/24/13
White River Capital Inc IN 8.01,9.01 01/17/13
WINMARK CORP MN 7.01,8.01,9.01 01/23/13
XCel Brands, Inc. DE 5.07 01/24/13
XEROX CORP NY 2.02,9.01 01/24/13
YADKIN VALLEY FINANCIAL CORP NC 2.02,9.01 01/24/13
YADKIN VALLEY FINANCIAL CORP NC 2.02 01/24/13 AMEND
ZION OIL & GAS INC DE 8.01,9.01 01/24/13
ZIPREALTY INC 5.02,9.01 01/21/13
http://www.sec.gov/news/digest/2013/dig012513.htm
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