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Commission AnnouncementsSEC Charges Florida-Based Financial Adviser With Illegally Tipping Inside InformationOn January 25, 2013, the Securities and Exchange Commission charged a financial adviser in Boca Raton, Fla., with illegally tipping inside information he learned about the upcoming sale of a pharmaceutical company in exchange for $35,000 and a jet ski dock. The SEC alleges that Kevin L. Dowd got details about the impeding acquisition of Princeton, N.J.-based Pharmasset Inc. by California-based Gilead Sciences from one of his supervisors at the brokerage firm where he worked. The supervisor learned about the deal from a customer who sat on Pharmasset’s board of directors. Dowd, who knew the customer, breached his duty to keep the information confidential by tipping a friend in the penny stock promotion business who bought Pharmasset stock on the last trading day before the public announcement of the deal. The trader also tipped another individual who bought Pharmasset call options, and collectively they made $708,327 in illicit insider trading profits in just two trading days. The SEC’s investigation is continuing. The SEC alleges that Dowd profited from the scheme in a roundabout way, receiving the jet ski dock from his tippee and a cashier’s check for $35,000, which he used for expensive upgrades to a pool at his home. “As an industry professional, Dowd surely knew what he was doing was wrong, but he incorrectly thought that his scheme was clever enough to avoid detection by investigators,” said Daniel M. Hawke, Chief of the SEC Enforcement Division’s Market Abuse Unit. “Professionals in the securities industry or any sector should know that you’ll be held accountable for violating insider trading laws, even if you don’t trade the securities yourself.” In a parallel action, the U.S. Attorney’s Office for the District of New Jersey today announced criminal charges against Dowd. According to the SEC’s complaint filed in federal court in New Jersey, the Pharmasset director told Dowd’s supervisor in confidence as his financial adviser that Pharmasset was going to be sold and the price would be in the high $130s per share. Dowd’s supervisor provided Dowd with the information along with an instruction that he was restricted from trading or recommending Pharmasset securities. Despite the warning, Dowd tipped his penny stock promoter friend, who wired $196,000 into a brokerage account with a zero balance and bought 2,700 shares of Pharmasset stock on Friday, Nov. 18, 2011. Dowd’s friend tipped another individual who bought 100 out-of-the-money call options, which are securities that derive their value from the underlying common stock of the issuer and give the purchaser the right to buy the underlying stock at a specific price within a specified time period. Investors typically purchase call options when they believe the value of the underlying securities is going up. According to the SEC’s complaint, Gilead and Pharmasset announced the acquisition on Monday, November 21. Dowd’s tippees immediately sold all of their Pharmasset securities to obtain their illegal profits. The SEC alleges that Dowd violated Sections 10(b) and (14)(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder. The SEC is seeking disgorgement of ill-gotten gains with prejudgment interest, a financial penalty, and a permanent injunction against Dowd. The SEC’s investigation is being conducted by Market Abuse Unit staff Mary P. Hansen, Paul T. Chryssikos, and John S. Rymas in the Philadelphia Regional Office. The litigation will be handled by G. Jeffrey Boujoukos and Christopher R. Kelly. The SEC has coordinated its action with the U.S. Attorney’s Office for the District of New Jersey, and appreciates the assistance of the Federal Bureau of Investigation and the Options Regulatory Surveillance Authority. (Press Rel. 2013-10) SEC Announces Agenda for Feb. 1 Meeting of Advisory Committee on Small and Emerging CompaniesThe Securities and Exchange Commission today announced the agenda for a meeting of its Advisory Committee on Small and Emerging Companies being held this Friday, February 1. The Committee will consider recommendations about trading spreads for smaller exchange-listed companies, creation of a separate U.S. equity market limited to sophisticated investors for small and emerging companies, and disclosure rules for smaller reporting companies. The meeting will begin at 9:30 a.m. in the multi-purpose room at the SEC’s Washington D.C. headquarters. Public seating will be on a first-come, first-served basis. The event will be webcast live on the SEC website and will be archived for later viewing. Members of the public who wish to provide their views on the matters to be considered by the Advisory Committee may submit comments using the comment form on the SEC’s website or by sending an e-mail to rule-comments@sec.gov. Include File Number 265-27 on the subject line. The SEC also accepts paper comments. Please send paper submissions in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street, N.E., Washington, D.C. 20549-1090, and refer to File Number 265-27. Any comments submitted will be made available to the public. (Press Rel. 2013-11) Enforcement ProceedingsCommission Revokes Registration of Securities of Hiko Bell Mining & Oil Co. (n/k/a Hiko Energy Corp.) for Failure to Make Required Periodic FilingsOn January 28, 2013, the Commission revoked the registration of each class of registered securities of Hiko Bell Mining & Oil Co. (n/k/a Hiko Energy Corp.) (Hiko Energy) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Hiko Energy consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Hiko Bell Mining & Oil Co. (n/k/a Hiko Energy Corp.) finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Hiko Energy’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Hiko Energy in In the Matter of Henley Healthcare, Inc., et al., Administrative Proceeding File No. 3-15165. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Henley Healthcare, Inc., et al., Administrative Proceeding File No. 3-15165, Exchange Act Release No. 68597, January 7, 2013. (Rel. 34-68739; File No. 3-15165) SEC Charges Former Jefferies Executive with Defrauding Investors in Mortgage-Backed SecuritiesThe Securities and Exchange Commission today charged a former executive at New York-based broker-dealer Jefferies & Co. with defrauding investors while selling mortgage-backed securities (MBS) in the wake of the financial crisis so he could generate additional revenue for his firm. According to the SEC’s complaint filed in federal court in Connecticut, Jesse Litvak arranged trades for customers as part of his job as a managing director on the MBS desk at Jefferies. Litvak would buy a MBS from one customer and sell it to another customer, but on many occasions he lied about the price at which his firm had bought the MBS so he could re-sell it to the other customer at a higher price and keep more money for the firm. On other occasions, Litvak misled purchasers by creating a fictional seller to purport that he was arranging a MBS trade between customers when in reality he was just selling MBS out of his firm’s inventory at a higher price. Because MBS are generally illiquid and difficult to price, it is particularly important for brokers to provide honest and accurate information. The SEC alleges that Litvak generated more than $2.7 million in additional revenue for Jefferies through his deceit. His misconduct helped him improve his own standing at the firm, as his bonuses were determined in part by the amount of revenue he generated for the firm. “Brokers must always tell their customers the truth, particularly in complex securities transactions in which it is difficult for investors to determine market prices on their own,” said George Canellos, Deputy Director of the SEC’s Division of Enforcement. “Litvak repeatedly lied to his customers and invented facts to bring additional profits into his firm and ultimately his own pocket at their expense.” The U.S. Attorney’s Office for the District of Connecticut today announced criminal charges against Litvak. According to the SEC’s complaint, Litvak worked in the Stamford, Conn., office at Jefferies, and his misconduct lasted from 2009 to 2011. Litvak’s customers included some funds created by the U.S. government under a program designed to help strengthen the markets for MBS during the financial crisis. Had these customers been aware that they could have paid less for the MBS they purchased, they likely would have done so. The SEC’s complaint charges Litvak with violating the antifraud provisions of the federal securities laws, particularly Section 10(b) of the Securities and Exchange Act of 1934 and Rule 10b-5, and Section 17(a) of the Securities Act of 1933. The SEC’s investigation, which is continuing, has been conducted by Kerry Dakin, James Goldman, Rachel Hershfang, and Kevin Kelcourse in the Boston Regional Office. Mr. Goldman is a member of the Enforcement Division’s Structured and New Products Unit headed by Kenneth Lench. The SEC’s litigation will be led by Ms. Hershfang. (Press Rel. 2013-12) SELF-REGULATORY ORGANIZATIONSAccelerated Approval of Proposed Rule ChangeICE Clear Europe Limited filed a proposed rule change (SR-ICEEU 2013-01) under Section 19(b)(1) of the Securities Exchange Act of 1934 to extend member liability for payment obligations to the clearing house. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68734) Approval of Proposed Rule ChangeThe Commission approved a proposed rule change (SR-NASDAQ-2012-119), 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 establish a new optional wireless connectivity for colocated clients. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68735) 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-1 Pharmagen, Inc., 9337 FRASER AVE., SILVER SPRING, MD, 20910,
(204) 898-8160 - 80,000,000 ($5,000,000.00) Equity, (File 333-186188 -
Jan. 25) (BR. 09B)
S-3 TherapeuticsMD, Inc., 951 BROKEN SOUND PARKWAY NW, SUITE 320,
BOCA RATON, FL, 33487, 561-961-1911 -
125,000,000 ($125,000,000.00) Equity, (File 333-186189 - Jan. 25)
(BR. 01A)
S-8 BRIGHT HORIZONS FAMILY SOLUTIONS INC., 200 TALCOTT AVENUE SOUTH,
WATERTOWN, MA, 02472, 617-673-8000 - 0 ($180,045,474.00) Equity,
(File 333-186193 - Jan. 25) (BR. 09)
S-8 BIOSTEM U.S. CORP, 13555 AUTOMOBILE BLVD., SUITE 110, CLEARWATER, FL,
33762, 267- 295-7814 - 10,000,000 ($6,500,000.00) Equity,
(File 333-186194 - Jan. 25) (BR. 11A)
S-1 IMAG Group, Inc., 144 WOODSIDE COURT, SAFETY HARBOR, FL, 34695,
727-736-4724 - 3,000,000 ($1,000.00) Equity, (File 333-186195 -
Jan. 25) (BR. 05)
S-3 TrovaGene Inc., 11055 FLINTKOTE AVENUE, SAN DIEGO, CA, 92121,
858-217-5420 - 0 ($150,000,000.00) Equity, (File 333-186196 - Jan. 25)
(BR. 01B)
S-1 COLD CAM, INC., 112 NORTH CURRY STREET, CARSON CITY, NV, 89703-4934,
(775)297-4412 - 4,000,000 ($100,000.00) Equity, (File 333-186197 -
Jan. 25) (BR. 10)
S-1 JMGT Studios Satellite Television Network, LLC., 7485 SVL BOX,
VICTORVILLE, CA, 92395, 760-671-0014 - 40,000 ($200,000.00) Equity,
(File 333-186198 - Jan. 25) (BR. 11)
S-4 PANTRY INC, 305 GREGSON DRIVE, PO BOX 8019, CARY, NC, 27511,
9197746700 - 0 ($250,000,000.00) Non-Convertible Debt,
(File 333-186199 - Jan. 25) (BR. 02B)
S-1 Canyon Minerals Inc., 3350 SOUTH 2940 EAST,SUITE#9948, SALT LAKE CITY,
UT, 84109, 604-331-4422 - 12,000,000 ($24,000.00) Equity,
(File 333-186200 - Jan. 25) (BR. 09)
S-1 Gaspard Mining Inc., 12865 WEST HIGHWAY 40, OCALA, FL, 34481,
604-331-4422 - 10,000,000 ($20,000.00) Equity, (File 333-186201 -
Jan. 25) (BR. )
S-1 Jewel Explorations Inc., #2-556 FURBY STREET, WINNIPEG, A2, R3B 2V8,
604-331-4422 - 10,000,000 ($20,000.00) Equity, (File 333-186202 -
Jan. 25) (BR. )
S-1 Coronation Mining Corp., 12865 WEST HIGHWAY 40, OCALA, FL, 34481,
604-331-4422 - 15,000,000 ($30,000.00) Equity, (File 333-186203 -
Jan. 25) (BR. )
S-4 LAMAR MEDIA CORP/DE, 5321 CORPORATE BOULEVARD, BATON ROUGE, LA, 70808,
5049261000 - 0 ($535,000,000.00) Non-Convertible Debt,
(File 333-186206 - Jan. 25) (BR. 11C)
S-8 SENOMYX INC, 4767 NEXUS CENTRE DRIVE, SAN DIEGO, CA, 92121,
8586468300 - 0 ($3,286,800.00) Equity, (File 333-186207 - Jan. 25)
(BR. 01B)
S-8 LIFETIME BRANDS, INC, 1000 STEWART AVENUE, GARDEN CITY, NY, 11530,
5166836000 - 700,000 ($7,350,000.00) Equity, (File 333-186208 -
Jan. 25) (BR. 06A)
S-8 Vocus, Inc., 4296 FORBES BOULEVARD, LANHAM, MD, 20706, (301) 459-2590 -
1,032,498 ($17,170,441.74) Equity, (File 333-186209 - Jan. 25) (BR. 11A)
S-4 HEMISPHERE MEDIA GROUP, INC., C/O INTERMEDIA PARTNERS, L.P.,
405 LEXINGTON AVENUE, 48TH FLOOR, NEW YORK, NY, 10174, 212-503-2862 -
0 ($195,637,507.00) Equity, (File 333-186210 - Jan. 25) (BR. )
S-3 LAKES ENTERTAINMENT INC, 130 CHESHIERE LANE, MINNETONKA, MN, 55305,
6124499092 - 0 ($50,000,000.00) Equity, (File 333-186211 - Jan. 25)
(BR. 05B)
S-1 Puramed Bioscience Inc., PO BOX 677, 1326 SCHOFIELD AVENUE, SCHOFIELD,
WI, 55476, 715-359-6373 - 0 ($412,300.00) Equity, (File 333-186212 -
Jan. 25) (BR. 01B)
S-8 ELLIE MAE INC, 4155 HOPYARD ROAD, SUITE 200, PLEASANTON, CA, 94588,
925-227-2082 - 1,563,511 ($37,367,912.90) Equity, (File 333-186213 -
Jan. 25) (BR. 03A)
S-8 MAXIM INTEGRATED PRODUCTS INC, 120 SAN GABRIEL DR, SUNNYVALE, CA,
94086, 4087377600 - 8,000,000 ($237,160,000.00) Equity,
(File 333-186214 - Jan. 25) (BR. 10B)
S-3ASR NEW JERSEY RESOURCES CORP, 1415 WYCKOFF RD, PO BOX 1468, WALL, NJ,
07719, 9089381494 - 2,000,000 ($82,720,000.00) Equity,
(File 333-186215 - Jan. 25) (BR. 02B)
S-1 Cereplast Inc, 300 N. CONTINENTAL, SUITE 100, EL SEGUNDO, CA, 90245,
310-615-1900 - 0 ($490,223.00) Equity, (File 333-186219 - Jan. 25)
(BR. 06B)
S-3ASR RAYTHEON CO/, 870 WINTER STREET, WALTHAM, MA, 02451-1449,
781-522-3031 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-186221 - Jan. 25) (BR. 05C)
F-1 FREESEAS INC., 10 ELEFTHERIOU VENIZELOU STREET, (PANEPISTIMIOU AVENUE),
ATHENS, J3, 10671, 011-30-210-452-8770 -
3,957,903 ($831,159.63) Equity, (File 333-186222 - Jan. 25) (BR. 05B)
S-1 Tonix Pharmaceuticals Holding Corp., 509 MADISON AVE. - SUITE 306,
NEW YORK, NY, 10022, 1-800-849-7894 - 0 ($9,794,583.70) Equity,
(File 333-186223 - Jan. 25) (BR. 09A)
S-4 Discover Financial Services, 2500 LAKE COOK ROAD, RIVERWOODS, IL,
60015, 224-405-0900 - 0 ($500,000,000.00) Debt, (File 333-186224 -
Jan. 25) (BR. 12A)
S-3 Dolan Co., 222 SOUTH NINTH STREET, SUITE 2300, MINNEAPOLIS, MN, 55402,
(612) 317-9420 - 0 ($16,100,000.00) Unallocated (Universal) Shelf,
(File 333-186225 - Jan. 25) (BR. 02C)
S-3 Ally Auto Assets LLC, 1209 ORANGE STREET, WILMINGTON, DE, 19801,
313-656-5500 - 0 ($18,006,045,000.00) Asset-Backed Securities,
(File 333-186227 - Jan. 25) (BR. OSF)
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
-----------------------------------------------------------------------------------------
ABERCROMBIE & FITCH CO /DE/ DE 1.01,2.03,9.01 01/23/13
ACELRX PHARMACEUTICALS INC DE 1.01 01/18/13
Actavis, Inc. NV 2.02,8.01,9.01 01/25/13
Actavis, Inc. NV 1.01,2.01,8.01,9.01 01/19/13
ACTIVE POWER INC DE 5.02,9.01 01/25/13
Advanced BioEnergy, LLC DE 5.02,9.01 01/18/13
ADVANCED CELL TECHNOLOGY, INC. DE 3.02 01/23/13
AEROSONIC CORP /DE/ DE 1.01 01/21/13
AK STEEL HOLDING CORP DE 5.02 01/23/13
ALBANY INTERNATIONAL CORP /DE/ DE 8.01,9.01 01/25/13
Alexander & Baldwin, Inc. HI 2.03 01/22/13
ALEXION PHARMACEUTICALS INC DE 5.02 01/25/13
ALICO INC FL 5.03,9.01 01/25/13
ALLETE INC MN 5.02 01/25/13
Alliance Petroleum Corp NV 8.01 01/14/13
AMARIN CORP PLC\UK X0 8.01 01/23/13
AMCOL INTERNATIONAL CORP DE 2.02,4.02,9.01 01/23/13
AMEREN CORP MO 8.01 01/25/13
AMERIANA BANCORP IN 2.02,9.01 01/25/13
AMERICAN CRYSTAL SUGAR CO /MN/ MN 7.01 01/25/13
American Realty Capital Properties, I MD 1.01,7.01,9.01 01/23/13
AMERITRANS CAPITAL CORP DE 8.01 01/18/13
Ampio Pharmaceuticals, Inc. DE 1.01,7.01,8.01,9.01 01/21/13
Ascent Solar Technologies, Inc. DE 5.03,9.01 01/25/13
ASSOCIATED ESTATES REALTY CORP OH 1.01,2.03,9.01 01/22/13
ASTORIA FINANCIAL CORP DE 5.02 01/23/13
AT&T INC. DE 8.01 01/25/13
Atlas Resource Partners, L.P. DE 1.01,2.03,9.01 01/23/13
Avantair, Inc DE 5.02,5.03,8.01,9.01 01/21/13
AXION INTERNATIONAL HOLDINGS, INC. CO 2.02,7.01,9.01 01/25/13
BANCFIRST CORP /OK/ OK 2.02,9.01 01/24/13
BANCTRUST FINANCIAL GROUP INC AL 8.01,9.01 01/24/13
BANK OF THE OZARKS INC AR 1.01,7.01,9.01 01/24/13
BANK OF THE OZARKS INC AR 1.01,7.01,9.01 01/24/13 AMEND
BAR HARBOR BANKSHARES ME 5.02 01/25/13
BAYLAKE CORP WI 2.02,9.01 01/22/13
BG Medicine, Inc. DE 1.01,8.01,9.01 01/25/13
BIGLARI HOLDINGS INC. IN 2.02,9.01 01/25/13
BION ENVIRONMENTAL TECHNOLOGIES INC CO 7.01,9.01 01/22/13
Biota Pharmaceuticals, Inc. DE 5.02 01/21/13
BJs RESTAURANTS INC CA 8.01,9.01 01/24/13
Bridgepoint Education Inc DE 8.01 01/22/13
BRISTOL MYERS SQUIBB CO DE 5.02 01/22/13
BRYN MAWR BANK CORP PA 7.01,9.01 01/25/13
BWAY INTERMEDIATE COMPANY, INC. DE 1.01,2.01,2.03,8.01, 01/18/13
9.01
C & F FINANCIAL CORP VA 2.02,9.01 01/24/13
CAMPBELL FUND TRUST DE 5.02 01/25/13
Campbell Global Trend Fund, L.P. DE 5.02 01/25/13
CAMPBELL STRATEGIC ALLOCATION FUND LP DE 5.02 01/25/13
CANYON COPPER CORP. 1.01,9.01 01/24/13
Capital Auto Receivables Asset Trust 1.01,8.01,9.01 01/24/13
CARROLLTON BANCORP MD 5.03,9.01 01/25/13
CATERPILLAR INC DE 7.01 01/25/13
Celsion CORP DE 1.01 01/18/13
CENVEO, INC CO 1.01,1.02,9.01 01/18/13
CHICOPEE BANCORP, INC. 8.01,9.01 01/24/13
CIG WIRELESS CORP. NV 5.03,8.01 01/23/13
CINCINNATI BELL INC OH 8.01,9.01 01/24/13
CLOROX CO /DE/ DE 5.02,9.01 01/23/13
COEUR D ALENE MINES CORP ID 8.01,9.01 01/24/13
COLE CORPORATE INCOME TRUST, INC. MD 9.01 11/09/12 AMEND
COLE CREDIT PROPERTY TRUST IV, INC. MD 1.01 01/18/13
COLOMBIA ENERGY RESOURCES, INC. DE 1.01,2.03,3.02,3.03, 01/18/13
5.01,9.01
COLUMBUS MCKINNON CORP NY 2.02,9.01 01/25/13
CONAGRA FOODS INC /DE/ DE 8.01,9.01 01/15/13
COOPER COMPANIES INC DE 5.02,9.01 01/25/13
COSTCO WHOLESALE CORP /NEW WA 8.01,9.01 01/24/13
Covidien plc 2.02,9.01 01/25/13
CSB BANCORP INC /OH OH 2.02,9.01 01/25/13
CyrusOne Inc. MD 1.01,8.01,9.01 01/24/13
CYTOKINETICS INC 8.01 01/25/13
Data Call Technologies 3.02,4.01,9.01 01/25/13
DCB FINANCIAL CORP OH 2.02,9.01 01/25/13
Delek Logistics Partners, LP DE 1.01,7.01,9.01 01/24/13
DELTA APPAREL, INC GA 8.01,9.01 01/23/13
DELTA NATURAL GAS CO INC KY 1.01 01/23/13
DENNYS CORP DE 5.02,9.01 01/23/13
Digital Generation, Inc. DE 5.02 01/24/13
Digital Realty Trust, Inc. 1.01,2.03,9.01 01/18/13
DIGITALGLOBE, INC. DE 8.01,9.01 01/25/13
Dolan Co. DE 1.01,3.03,5.03,8.01, 01/24/13
9.01
DOLE FOOD CO INC DE 2.02,9.01 01/24/13
DOMINION RESOURCES INC /VA/ VA 5.02,9.01 01/24/13
DONALDSON CO INC DE 8.01,9.01 01/25/13
DubLi, Inc. NV 4.02 01/25/13 AMEND
DUPONT E I DE NEMOURS & CO DE 5.02 01/21/13
EACO CORP FL 1.01 01/21/13
EAGLE FINANCIAL SERVICES INC VA 2.02,9.01 01/25/13
EastBridge Investment Group Corp AZ 5.03,9.01 01/18/13
ENTERPRISE FINANCIAL SERVICES CORP DE 2.02,7.01,9.01 01/24/13
EQUAL ENERGY LTD. A0 8.01,9.01 01/25/13
EQUITY LIFESTYLE PROPERTIES INC MD 8.01 01/22/13
ETERNITY HEALTHCARE INC. NV 5.02 01/18/13
EWaste Systems, Inc. NV 5.03,8.01,9.01 01/23/13
EXELIXIS, INC. DE 8.01 01/24/13
FEDERAL HOME LOAN MORTGAGE CORP 2.02,9.01 01/25/13
FEDERATED INVESTORS INC /PA/ PA 2.02,9.01 01/24/13
FERRO CORP OH 8.01,9.01 01/24/13
First American Financial Corp DE 8.01,9.01 01/24/13
FIRST BANCSHARES INC /MS/ MS 2.02,7.01,9.01 01/25/13
FIRST BANKS, INC MO 2.02,9.01 01/25/13
FIRST FINANCIAL BANKSHARES INC TX 2.02,9.01 01/24/12
FIRST M&F CORP/MS MS 2.02,7.01,9.01 01/25/13
FIRST MID ILLINOIS BANCSHARES INC DE 2.02,9.01 12/31/12
FIRST SOUTH BANCORP INC /VA/ VA 5.02,9.01 01/24/13
GAIA REMEDIES, INC. NV 1.02,9.01 01/09/13
GeoMet, Inc. DE 5.02,7.01,9.01 01/22/13
GIGA TRONICS INC CA 1.01,3.03,8.01,9.01 01/23/13
Global Arena Holding, Inc. DE 1.01,9.01 01/22/13
GLOBAL EQUITY INTERNATIONAL INC NV 4.01,9.01 01/18/13
Global Geophysical Services Inc DE 5.02,8.01,9.01 01/25/13
Global Income Trust, Inc. MD 1.01,8.01,9.01 01/22/13
GOFF, CORP NV 5.03,7.01,9.01 01/21/13
GREAT SOUTHERN BANCORP INC MD 2.02,9.01 01/24/13
Greektown Superholdings, Inc. DE 5.02 01/21/13
GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 01/24/13
HALLIBURTON CO DE 2.02 01/25/13
HASBRO INC RI 2.02,8.01,9.01 01/25/13
Heelys, Inc. DE 2.01,3.01,5.01,5.02, 01/24/13
5.03,9.01
Helios & Matheson Information Technol DE 2.02,9.01 01/25/13
HERITAGE BANKSHARES INC /VA VA 8.01 01/23/13
HMN FINANCIAL INC DE 2.02,9.01 01/22/13
Home Federal Bancorp, Inc. MD 2.02,9.01 01/25/13
HOME LOAN SERVICING SOLUTIONS, LTD. E9 7.01,9.01 01/25/13
HONEYWELL INTERNATIONAL INC DE 2.02,9.01 01/25/13
HORTON D R INC /DE/ DE 5.07 01/24/13
HOST HOTELS & RESORTS, INC. MD 8.01,9.01 01/25/13
HUNT J B TRANSPORT SERVICES INC AR 2.02,9.01 01/24/13
IBERIABANK CORP LA 2.02,7.01,9.01 01/24/13
ICAHN ENTERPRISES L.P. DE 7.01,9.01 01/25/13
IEC ELECTRONICS CORP DE 1.01,2.03,7.01,9.01 01/18/13
IGATE CORP PA 5.02 01/18/13
IMMUNOGEN INC MA 2.02,9.01 01/25/13
Inland American Real Estate Trust, In MD 8.01 01/25/13
Inland Diversified Real Estate Trust, MD 8.01 01/25/13
INLAND REAL ESTATE CORP MD 8.01,9.01 01/24/13
Intellicell Biosciences, Inc. NV 1.01,3.01,9.01 12/31/12
INTERCLOUD SYSTEMS, INC. 4.01 01/17/13 AMEND
ITT EDUCATIONAL SERVICES INC DE 5.02 01/25/13
JACKSONVILLE BANCORP INC /FL/ FL 3.01 01/24/13
JACOBS ENGINEERING GROUP INC /DE/ DE 5.02,5.03,5.07 01/24/13
JACOBS ENGINEERING GROUP INC /DE/ DE 5.02 11/15/12 AMEND
JACOBS ENGINEERING GROUP INC /DE/ DE 5.02 09/27/12 AMEND
JMP Group Inc. DE 1.01,2.03,9.01 01/24/13
JPMORGAN CHASE & CO DE 8.01,9.01 01/25/13
KBS Legacy Partners Apartment REIT, I MD 1.01 01/25/13
KEY ENERGY SERVICES INC MD 5.02,9.01 01/21/13
KIMBERLY CLARK CORP DE 2.02,9.01 01/25/13
KKR & Co. L.P. DE 7.01,9.01 01/25/13
KKR & Co. L.P. DE 7.01 01/25/13
LAKELAND FINANCIAL CORP IN 2.02,9.01 01/25/13
LANDSTAR SYSTEM INC DE 5.02 01/23/13
LANNETT CO INC DE 5.07 01/23/13
LEHMAN ABS CORP MOTOROLA DEBENTURE BA DE 8.01,9.01 01/10/13
LendingClub Corp DE 5.03 01/19/13
LOCAL Corp DE 7.01,9.01 01/25/13
LSB INDUSTRIES INC DE 8.01 01/22/13
LSI INDUSTRIES INC OH 2.02,9.01 01/25/13
MAGNUM HUNTER RESOURCES CORP DE 1.01,8.01,9.01 01/23/13
MAGNUM HUNTER RESOURCES CORP DE 7.01,9.01 01/25/13
Maidenform Brands, Inc. DE 5.02,9.01 01/25/13
MANTECH INTERNATIONAL CORP DE 5.02 01/18/13
MARKETAXESS HOLDINGS INC 5.03,9.01 01/23/13
MARKWEST ENERGY PARTNERS L P 5.02,8.01,9.01 01/23/13
MATTEL INC /DE/ DE 2.02,7.01,8.01,9.01 01/24/13
MEGA WORLD FOOD HOLDING CO 3.02,5.01,5.02,9.01 01/23/13 AMEND
METRO BANCORP, INC. 2.02,9.01 01/25/13
MetroCorp Bancshares, Inc. TX 2.02,9.01 01/25/13
Mid-Con Energy Partners, LP DE 7.01,8.01,9.01 01/23/13
MIDDLESEX WATER CO NJ 8.01,9.01 01/25/13
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 01/25/13
Monarch Financial Holdings, Inc. VA 8.01,9.01 01/25/13
Moody National REIT I, Inc. MD 9.01 11/08/12 AMEND
MOOG INC NY 2.02,9.01 01/25/13
MPHASE TECHNOLOGIES INC NJ 8.01 01/25/13
MRI INTERVENTIONS, INC. DE 3.02,9.01 01/25/13
MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 01/25/13
MUTUALFIRST FINANCIAL INC MD 5.07,8.01,9.01 01/25/13
MVP REIT, Inc. MD 8.01 01/25/13
NATIONAL HOLDINGS CORP DE 1.01,3.02,3.03,5.03, 01/24/13
8.01,9.01
NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 5.02 01/23/13
NATURAL RESOURCE PARTNERS LP DE 1.01,2.01,2.03,3.02, 01/23/13
9.01
NAVARRE CORP /MN/ MN 2.01,9.01 11/20/12 AMEND
NEW JERSEY RESOURCES CORP NJ 5.07 01/23/13
Newport Bancorp Inc 2.02,9.01 01/25/13
NEWS CORP 8.01,9.01 01/25/13
NISOURCE INC/DE DE 8.01 01/24/13
NORWOOD FINANCIAL CORP PA 2.02,9.01 01/25/13
NxStage Medical, Inc. DE 5.02,7.01,9.01 01/22/13
Oaktree Capital Group, LLC DE 7.01 01/25/13
OLD REPUBLIC INTERNATIONAL CORP DE 2.02,9.01 01/24/13
OLIN CORP VA 7.01,9.01 01/25/13
ONEOK INC /NEW/ OK 7.01,9.01 01/25/13
ONEOK Partners LP DE 7.01,9.01 01/25/13
OPTIMER PHARMACEUTICALS INC 5.02 01/22/13
OSHKOSH CORP WI 2.02,9.01 01/25/13
OWENS MORTGAGE INVESTMENT FUND A CALI CA 1.01 01/23/13
Pacific Coast Oil Trust DE 2.02,9.01 01/25/13
Park Place Energy Corp. NV 5.03,5.07,9.01 01/14/13
PARKE BANCORP, INC. NJ 2.02,9.01 01/25/13
Patriot Minefinders Inc. NV 5.02,9.01 01/25/13
PENNS WOODS BANCORP INC PA 2.02,9.01 01/23/13
PEOPLES BANCORP INC OH 2.02,9.01 01/22/13
PIER 1 IMPORTS INC/DE DE 8.01 01/21/13
PPG INDUSTRIES INC PA 8.01,9.01 01/25/13
PPL Corp 5.02,7.01,9.01 01/25/13
PROCTER & GAMBLE Co OH 2.02 12/31/12
PROCTER & GAMBLE Co OH 7.01 12/31/12
PROSPERITY BANCSHARES INC TX 2.02,9.01 01/25/13
Prothena Corp plc L2 5.02,9.01 01/22/13
PSB HOLDINGS INC /WI/ WI 2.02,9.01 01/25/13
PUGET TECHNOLOGIES, INC. NV 4.01,9.01 11/20/12
QNB CORP PA 2.02,9.01 01/25/13
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,2.03,3.02,9.01 01/24/13
RADIO ONE, INC. DE 8.01 01/24/13
RAINMAKER SYSTEMS INC DE 5.02 01/23/13
RANCON REALTY FUND IV CA 2.02,7.01,9.01 01/25/13
RANCON REALTY FUND V CA 2.02,7.01,9.01 01/25/13
REGIS CORP MN 4.02,9.01 01/22/13
RESPONSE BIOMEDICAL CORP A1 8.01,9.01 01/24/13
RICKS CABARET INTERNATIONAL INC TX 3.02 01/24/13
RIVER VALLEY BANCORP IN 9.01 11/09/12 AMEND
RLI CORP IL 7.01,9.01 01/24/13
ROLLINS INC DE 5.02,5.03,9.01 01/22/13
ROSS STORES INC DE 5.03,9.01 01/23/13
Rouse Properties, Inc. DE 1.01,2.03,9.01 01/22/13
Rouse Properties, Inc. DE 1.01,2.03,9.01 01/22/13 AMEND
ROYAL CARIBBEAN CRUISES LTD 5.02 01/21/13
ROYAL GOLD INC DE 1.01 01/21/13
S&T BANCORP INC PA 5.02,9.01 01/21/13
SALISBURY BANCORP INC CT 2.02,8.01,9.01 01/25/13
SAN JUAN BASIN ROYALTY TRUST TX 8.01,9.01 01/25/13
San Lotus Holding Inc NV 1.01,9.01 01/20/13
SCICLONE PHARMACEUTICALS INC DE 1.01 01/18/13
Scio Diamond Technology Corp NV 5.02 01/24/13
SEACHANGE INTERNATIONAL INC DE 5.02,9.01 01/25/13
SEACOR HOLDINGS INC /NEW/ DE 5.02 01/23/13
SEALY CORP DE 2.02,9.01 01/23/13
SECURITY NATIONAL FINANCIAL CORP UT 5.02 01/18/13
SEVERN BANCORP INC MD 2.02,9.01 01/25/13
Shire plc 8.01,9.01 01/25/13
SKY PETROLEUM, INC. NV 1.01,2.03,3.02,8.01, 01/18/13
9.01
SONIC CORP DE 5.02,9.01 01/21/13
SOUTH JERSEY INDUSTRIES INC NJ 5.02 01/18/13
SOUTHERN CO DE 8.01 01/24/13
Southern National Bancorp of Virginia VA 2.02,8.01,9.01 01/24/13
SPDR GOLD TRUST 8.01 01/24/13
StellarOne CORP VA 2.02 01/24/13
StellarOne CORP VA 8.01,9.01 01/25/13
STERLING FINANCIAL CORP /WA/ WA 2.02,7.01,9.01 01/24/13
SunCoke Energy Partners, L.P. DE 5.02,9.01 01/24/13
SUNOCO LOGISTICS PARTNERS L.P. DE 5.02,8.01,9.01 01/24/13
Sunstone Hotel Investors, Inc. MD 2.01,2.02,7.01,9.01 01/25/13
SurePure, Inc. NV 1.01,2.01,3.02,4.01, 12/12/12 AMEND
5.01,5.02,5.03,5.06,
9.01
Talon Therapeutics, Inc. DE 5.02,9.01 01/21/13
TCF FINANCIAL CORP DE 8.01,9.01 01/25/13
Telanetix,Inc DE 1.01,2.03,9.01 01/16/13
TherapeuticsMD, Inc. NV 8.01,9.01 01/25/13
THERAVANCE INC DE 1.01,2.03,8.01,9.01 01/24/13
THRESHOLD PHARMACEUTICALS INC DE 8.01,9.01 01/25/13
Tianli Agritech, Inc. D8 4.01,9.01 01/25/13
TITAN INTERNATIONAL INC IL 1.01,3.02,9.01 01/23/13
TOYOTA MOTOR CREDIT CORP CA 7.01,9.01 01/25/13
TransBiotec, Inc. DE 5.02,8.01 01/22/13
TRANSGENOMIC INC DE 1.01,3.02,8.01,9.01 01/24/13
Travelport LTD D0 5.02 01/23/13
TRUSTMARK CORP MS 8.01,9.01 01/24/13
Uni-Pixel DE 8.01,9.01 01/25/13
UNIONBANCAL CORP DE 2.02,9.01 01/25/13
United Community Bancorp IN 8.01,9.01 01/24/13
United Financial Bancorp, Inc. 2.02,9.01 01/24/13
UNITED ONLINE INC DE 5.02,9.01 01/25/13
UNITED STATIONERS INC DE 1.01,2.03,9.01 01/25/13
Vantage Drilling CO E9 8.01,9.01 01/22/13
VERIZON COMMUNICATIONS INC DE 7.01,9.01 01/25/13
VOLTERRA SEMICONDUCTOR CORP 5.02,9.01 01/18/13
VOLTERRA SEMICONDUCTOR CORP 5.02 12/05/12 AMEND
WABASH NATIONAL CORP /DE DE 7.01,8.01,9.01 01/24/13
WELLS FARGO & COMPANY/MN DE 9.01 01/25/13
WEST BANCORPORATION INC IA 2.02,9.01 01/25/13
WESTERN ALLIANCE BANCORPORATION NV 2.02,9.01 01/24/13
WESTERN DIGITAL CORP DE 5.02 01/22/13
WEX Inc. 8.01,9.01 01/25/13
WEYERHAEUSER CO WA 2.02,9.01 01/25/13
WHIRLPOOL CORP /DE/ DE 8.01,9.01 01/23/13
Willbros Group, Inc.\NEW\ 7.01 01/25/13
Woodward, Inc. DE 8.01,9.01 01/23/13
Woodward, Inc. DE 5.07 01/23/13
WVS FINANCIAL CORP PA 2.02,9.01 01/25/13
XERIUM TECHNOLOGIES INC DE 2.05,8.01,9.01 01/25/13
Xun Energy, Inc. NV 7.01,9.01 01/23/13
ZaZa Energy Corp DE 2.01,9.01 01/25/13 AMEND
http://www.sec.gov/news/digest/2013/dig012813.htm
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