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Commission AnnouncementsIn the Matter of Americas Energy Company-AECoThe United States Securities and Exchange Commission (Commission) announced the issuance of an Order of Suspension of Trading (Order) in the Matter of Americas Energy Company-AECo (Americas). The Order finds that there appears to be a lack of current and accurate information concerning the securities of Americas (ticker symbol AENYQ) because Americas has not filed any periodic reports since the period ended September 30, 2011. Pursuant to Section 12(k) of the Securities Exchange Act of 1934, the Commission temporarily suspended trading in the securities of Americas for the period from 9:30 a.m. EST, on February 4, 2013, through 11:59 p.m. EST on February 15, 2013. (Rel. 34-68821) ENFORCEMENT PROCEEDINGSSEC Charges Husband and Wife in Florida With Defrauding Seniors Investing in Purported CharityThe Securities and Exchange Commission today charged a husband and wife who raised millions of dollars selling investments for a purported charitable organization in Tallahassee, Fla., while defrauding senior citizens and significantly exaggerating the amount of contributions actually made to charity. The SEC alleges that after Richard K. Olive and Susan L. Olive were hired at We The People Inc., the organization obtained $75 million from more than 400 investors in Florida, Colorado, and Texas among more than 30 states across the country by selling an investment product they described as a charitable gift annuity (CGA). However, the CGAs issued by We The People differed in several ways from CGAs issued legitimately, namely that they were issued primarily to benefit the Olives and other third-party promoters and consultants. Only a small amount of the money raised was actually directed to charitable services. Meanwhile the Olives received more than $1.1 million in salary and commissions, and they also siphoned away investor funds for their personal use. The SEC further alleges that the Olives lured elderly investors with limited investing experience into the scheme by making a number of false representations about the purported value and financial benefits of We The People’s CGAs. The Olives also lied about the safety and security of the investments. “The Olives raised millions from senior citizens by claiming that We The People’s so-called CGAs provided attractive financial benefits and were re-insured and backed by assets held in trust,” said Julie Lutz, Associate Director of the SEC’s Denver Regional Office. “Investors were not given the full story about the true value and security of their investments.” According to the SEC’s complaint against the Olives filed in U.S. District Court for the Southern District of Florida, investors were coaxed to transfer assets including stocks, annuities, real estate, and cash to We The People in exchange for a CGA. We The People claimed to operate as a non-profit organization while it was offering the CGAs from June 2008 to April 2012. However, We The People was not operating as a charity but instead for the primary purpose of issuing CGAs and using the proceeds to pay substantial sums to the Olives, third-party promoters, and consultants. On rare occasions when We The People did actually direct money raised toward charitable services, it was insignificant. For instance, the organization made public statements that it donated $21.8 million in relief aid to AIDS orphans in Zambia, but in fact the supplies were donated by others and We The People merely made a small payment to the third party that was shipping the supplies. The SEC alleges that We The People’s marketing and promotional materials for the CGA offering contained misrepresentations and omissions including:
The SEC’s complaint charges the Olives with violations, or aiding and abetting violations, of the antifraud provisions of the federal securities laws as well as violations of the securities and broker-dealer registration provisions of the federal securities laws. The SEC is seeking disgorgement of ill-gotten gains plus pre- and post-judgment interest and financial penalties against the Olives. The SEC also filed separate complaints today against We The People as well as the company’s in-house counsel William G. Reeves. They both agreed to settle the charges without admitting or denying the allegations. The settlements are subject to court approval. We The People consented to a final judgment that will enable the appointment of a receiver to protect more than $60 million of investor assets still held by the company. The final judgment also provides for disgorgement of ill-gotten gains and provides injunctive relief under the antifraud and registration provisions of the federal securities laws. Reeves entered into a cooperation agreement with the SEC, and the terms of his settlement reflect his assistance in the SEC’s investigation and anticipated cooperation in its pending action against the Olives. Reeves agreed to be suspended from appearing or practicing before the SEC for at least five years, and consented to a final judgment providing injunctive relief under the provisions of the federal securities laws that he violated. The court will determine at a later date whether a financial penalty should be imposed against Reeves. The SEC’s investigation was conducted by Michael Cates and Ian Karpel in the Denver Regional Office. The SEC’s litigation against the Olives will be led by Nicholas Heinke and Dugan Bliss. (Press Rel. 2013-19; [SEC v. We The People, Inc., of The United States, Civ. No. 2:13-cv-14050; SEC v. Richard K. Olive and Susan L. Olive, Civ. No. 2:13-civ-14047; SEC v. William G. Reeves, Esq., Civ. No. 2:13-cv-14048)], LR-22608) INVESTMENT COMPANY ACT RELEASESFidelity Commonwealth Trust, et al.An order has issued on an application filed by Fidelity Commonwealth Trust, et al. The order permits: (a) certain open-end management investment companies or series thereof to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares; and (f) certain series to perform creations and redemptions of Shares in-kind in a master-feeder structure. (Rel. IC-30375 - February 1) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by EDGX Exchange, Inc. relating to amendment to EDGX Rule 13.9 (SR-EDGX-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 February 4. (Rel. 34-68782) A proposed rule change filed by EDGA Exchange, Inc. relating to amendment to EDGA Rule 13.9 (SR-EDGA-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 February 4. (Rel. 34-68783) A proposed rule change filed by New York Stock Exchange LLC delaying the operative date of a rule change to NYSE Rule 80B, which provides for methodology for determining when to halt trading in all stocks due to extraordinary market volatility, from the date of February 4, 2013, until April 8, 2013 (SR-NYSE-2013-10) 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 February 4. (Rel. 34-68784) A proposed rule change filed by NYSE Arca, Inc. delaying the operative date of a rule change to Exchange Rule 7.12, which provides for methodology for determining when to halt trading in all stocks due to extraordinary market volatility, from the date of February 4, 2013, until April 8, 2013 (SR-NYSEArca-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 February 4. (Rel. 34-68785) A proposed rule change filed by The NASDAQ Stock Market LLC to delay the operative date of a rule change to NASDAQ Rule 4121 (SR-NASDAQ-2013-021) 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 February 4. (Rel. 34-68786) A proposed rule change filed by NYSE MKT LLC delaying the operative date of a rule change to Exchange Rule 80B - Equities, which provides for methodology for determining when to halt trading in all stocks due to extraordinary market volatility, from the date of February 4, 2013, until April 8, 2013 (SR-NYSEMKT-2013-08) 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 February 4. (Rel. 34-68787) A proposed rule change, (SR-C2-2013-004), filed by C2 Options Exchange, Incorporated, to amend the Fees Schedule 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 February 4. (Rel. 34-68792) A proposed rule change filed by International Securities Exchange, LLC (SR-ISE-2013-09) to amend ISE Rule 2102 to extend the market-wide circuit breaker pilot program 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 February 4. (Rel. 34-68794) A proposed rule change filed by BATS-Y Exchange, Inc. (SR-BYX-2013-007) to delay the operative date of changes to the rule for halting trading in all stocks due to extraordinary market volatility 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 February 4. (Rel. 34-68795) A proposed rule change filed by BATS Exchange, Inc. to amend Rule 11.17, entitled “Clearly Erroneous Executions” (SR-BATS-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 February 4. (Rel. 34-68797) A proposed rule change filed by BATS Y-Exchange, Inc. to amend Rule 11.17, entitled “Clearly Erroneous Executions” (SR-BYX-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 February 4. (Rel. 34-68798) A proposed rule change filed by The NASDAQ Stock Market LLC relating to NASDAQ Rule 4120 (SR-NASDAQ-2013-015) 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 February 4. (Rel. 34-68799) A proposed rule change filed by the Chicago Board Options Exchange, Incorporated to amend Rule 52.4 relating to the Clearly Erroneous Policy (SR-CBOE-2013-012) 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 February 4. (Rel. 34-68800) A proposed rule change filed by NYSE MKT LLC amending Rule 128 - Equities, which governs Clearly Erroneous Executions, extending the effective date of the pilot until September 30, 2013 and adopting new paragraph (i) to Rule 128-Equities in connection with the upcoming operation of the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Act (SR-NYSEMKT-2013-11) 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 February 4. (Rel. 34-68801) A proposed rule change filed by the Chicago Stock Exchange, Inc. amending Article 20, Rule 10 to extend the effective date of certain Clearly Erroneous Transactions provisions operating under a pilot until September 30, 2013 and to establish guidelines for the handling of Clearly Erroneous Transactions in connection with the Plan to Address Extraordinary Market Volatility (SR-CHX-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 February 4. (Rel. 34-68802) A proposed rule change filed by National Stock Exchange, Inc. to amend Rule 11.19 to extend a pilot program regarding Clearly Erroneous Executions (SR-NSX-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 February 4. (Rel. 34-68803) A proposed rule change filed by New York Stock Exchange LLC amending NYSE Rule 128, which governs Clearly Erroneous Executions, extending the effective date of the pilot until September 30, 2013 and adopting new paragraph (i) to NYSE Rule 128 in connection with the upcoming operation of the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Act (SR-NYSE-2013-11) 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 February 4. (Rel. 34-68804) A proposed rule change filed by EDGX Exchange, Inc. (SR-EDGX-2013-05) to delay the operative date of changes to the rule for halting trading in all stocks due to extraordinary market volatility 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 February 4. (Rel. 34-68805) A proposed rule change filed by EDGA Exchange, Inc. (SR-EDGA-2013-05) to delay the operative date of changes to the rule for halting trading in all stocks due to extraordinary market volatility 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 February 4. (Rel. 34-68806) A proposed rule change filed by Financial Industry Regulatory Authority, Inc. to extend the Clearly Erroneous Pilot Period and to adopt a new provision in connection with the Limit Up-Limit Down Plan (SR-FINRA-2013-012) 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 February 4. (Rel. 34-68808) A proposed rule change filed by NYSE Arca, Inc. to amend NYSE Arca Equities Rule 7.10, which governs Clearly Erroneous Executions, extend the effective date of the pilot until September 30, 2013, and adopt new paragraph (i) to NYSE Arca Equities Rule 7.10 in connection with the upcoming operation of the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Act (SR-NYSEArca-2013-12) 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 February 4. (Rel. 34-68809) A proposed rule change filed by NASDAQ OMX BX Inc. to extend a pilot program related to Rule 11890, entitled “Clearly Erroneous Transactions” (SR-BX-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 February 4. (Rel. 34-68818) Approval of Proposed Rule ChangeThe Commission has approved a proposed rule change (SR-ICEEU-2012-09) filed by ICE Clear Europe Limited under Section 19(b)(2) of the Securities Exchange Act of 1934 to provide for a customer clearing model for CDS products and to amend, clarify and consolidate certain rules and procedures. Publication is expected in the Federal Register during the week of February 4. (Rel. 34-68812) 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 PENN NATIONAL GAMING INC, 825 BERKSHIRE BLVD STE 200, WYOMISSING PROFESSIONAL CENTER, WYOMISSING, PA, 19610, 6103732400 - 0 ($975,000,000.00) Other, (File 333-186366 - Feb. 1) (BR. 08B) S-8 Zoetis Inc., 235 EAST 42ND STREET, NEW YORK, NY, 10017, 212-733-2323 - 0 ($650,000,000.00) Equity, (File 333-186367 - Feb. 1) (BR. 01B) S-8 SIONIX CORP, 914 WESTWOOD BLVD., BOX 801, LOS ANGELES, CA, 90024, (847) 235-4566 - 10,000,000 ($100,000.00) Equity, (File 333-186368 - Feb. 1) (BR. 06C) S-3 MERRIMACK PHARMACEUTICALS INC, ONE KENDALL SQUARE, SUITE B7201, CAMBRIDGE, MA, 02139, 617-441-1000 - 0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-186369 - Feb. 1) (BR. 01B) S-8 MERRIMACK PHARMACEUTICALS INC, ONE KENDALL SQUARE, SUITE B7201, CAMBRIDGE, MA, 02139, 617-441-1000 - 0 ($20,542,527.25) Equity, (File 333-186370 - Feb. 1) (BR. 01B) S-1 ORAMED PHARMACEUTICALS INC., 2 ELZA STREET, JERUSALEM, L3, 93706, 011 972-54-7909058 - 2,473,518 ($17,388,831.54) Equity, (File 333-186375 - Feb. 1) (BR. 01B) S-8 EMULEX CORP /DE/, 3333 SUSAN STREET, COSTA MESA, CA, 92626, 7146625600 - 3,191,795 ($23,300,103.50) Other, (File 333-186381 - Feb. 1) (BR. 03B) S-8 ARRAY BIOPHARMA INC, 3200 WALNUT STREET, BOULDER, CO, 80301, 3033816600 - 0 ($54,839,496.60) Equity, (File 333-186383 - Feb. 1) (BR. 01A) S-8 CORINTHIAN COLLEGES INC, 6 HUTTON CENTRE DR, SUITE 400, SANTA ANA, CA, 92707, 7144273000 - 0 ($10,780,000.00) Equity, (File 333-186384 - Feb. 1) (BR. 11C) S-4 PENNS WOODS BANCORP INC, 115 S MAIN ST, JERSEY SHORE, PA, 17740, 570-322-1111 - 0 ($44,359,669.00) Equity, (File 333-186385 - Feb. 1) (BR. 07C) S-8 RESMED INC, 9001 SPECTRUM CENTER BLVD., SAN DIEGO, CA, 92123, 8587462400 - 0 ($41,458,000.00) Equity, (File 333-186386 - Feb. 1) (BR. 10B) S-3 Verastem, Inc., 215 FIRST STREET, SUITE 440, CAMBRIDGE, MA, 02142, 617-252-9300 - 0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-186393 - Feb. 1) (BR. 01A) S-1 PURE BIOSCIENCE, INC., 1725 GILLESPIE WAY, EL CAJON, CA, 92020, 619-596-8600 - 0 ($15,000,000.00) Equity, (File 333-186394 - Feb. 1) (BR. 06C) S-1 STRUCTURED PRODUCTS CORP, 388 GREENWICH ST, NEW YORK, NY, 10013, 2128167496 - 1,000,000 ($1.00) Asset-Backed Securities, (File 333-186396 - Feb. 1) (BR. OSF) S-8 CYNOSURE INC, 5 CARLISLE ROAD, WESTFORD, MA, 01886, (978) 256-4200 - 0 ($7,887,000.00) Equity, (File 333-186398 - Feb. 1) (BR. 10A) S-3 QUALSTAR CORP, 3990-B HERITAGE OAK COURT, SIMI VALLEY, CA, 93063, 805-583-7744 - 530,000 ($784,400.00) Equity, (File 333-186399 - Feb. 1) (BR. 11C) S-4 NICOLET BANKSHARES INC, 111 N WASHINGTON ST, GREEN BAY, WI, 54301, 920 430 1400 - 617,608 ($9,611,290.20) Equity, (File 333-186401 - Feb. 1) (BR. 07B) S-8 Facebook Inc, 1601 WILLOW ROAD, MENLO PARK, CA, 94025, 650-618-7714 - 25,385,520 ($764,231,079.60) Equity, (File 333-186402 - Feb. 1) (BR. 03C) S-8 TRI Pointe Homes, Inc., 19520 JAMBOREE ROAD, SUITE 200, IRVINE, CA, 92612, (949) 478-8600 - 0 ($49,292,744.00) Equity, (File 333-186403 - Feb. 1) (BR. 06A) N-2 Nuveen Short Duration Credit Opportunities Fund, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 312-917-8146 - 1,000 ($20,480.00) Equity, (File 333-186405 - Feb. 1) (BR. 18) S-3 U.S. SILICA HOLDINGS, INC., 8490 PROGRESS DRIVE, SUITE 300, FREDERICK, MD, 21701, 301-682-0600 - 0 ($806,235,303.00) Equity, (File 333-186406 - Feb. 1) (BR. 09B) S-8 ASHLAND INC., 50 EAST RIVERCENTER BLVD., 16TH FLOOR, COVINGTON, KY, 41012, 859-815-3483 - 2,000,000 ($157,400,000.00) Equity, (File 333-186408 - Feb. 1) (BR. 06C) N-2 NUVEEN CALIFORNIA DIVIDEND ADVANTAGE MUNICIPAL FUND, C/O NUVEEN INVESTMENTS, 333 W WACKER DRIVE, CHICAGO, IL, 60606, 3129177783 - 1,000 ($15,980.00) Equity, (File 333-186409 - Feb. 1) (BR. 18) N-2 NUVEEN NEW JERSEY INVESTMENT QUALITY MUNICIPAL FUND INC, 333 W WACKER DRIVE, CHICAGO, IL, 60606, 3129178200 - 1,000 ($15,770.00) Equity, (File 333-186410 - Feb. 1) (BR. 18) 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
-----------------------------------------------------------------------------------------
30DC, INC. MD 8.01 01/31/13
Accenture plc L2 8.01,9.01 02/01/13
ACCENTURE SCA 8.01,9.01 02/01/13
ACL SEMICONDUCTORS INC 5.02 02/01/13
ACNB CORP PA 8.01,9.01 01/29/13
Affinity Gaming NV 2.01,5.02,7.01,9.01 02/01/13
AFFYMAX INC DE 5.02 01/30/13
AGILYSYS INC OH 2.02,7.01,9.01 01/31/13
AIR PRODUCTS & CHEMICALS INC /DE/ DE 5.02,9.01 02/01/13
ALLEGHENY TECHNOLOGIES INC DE 8.01,9.01 02/01/13
Allied Nevada Gold Corp. DE 7.01,9.01 01/31/13
Alpha Natural Resources, Inc. DE 5.02,9.01 01/30/13
AMCOL INTERNATIONAL CORP DE 4.02 01/23/13 AMEND
American Realty Capital Properties, I MD 8.01,9.01 02/01/13
American Realty Capital Trust IV, Inc MD 2.01,9.01 01/31/13
American Renal Associates Holdings, I DE 2.02,7.01,9.01 02/01/13
American Renal Holdings Inc. DE 2.02,7.01,9.01 02/01/13
AMERICAN SAFETY INSURANCE HOLDINGS LT 2.02,9.01 02/01/13
AMERICAN STATES WATER CO CA 5.02 01/29/13
AMERISTAR CASINOS INC NV 1.01,9.01 02/01/13
Aon plc X0 2.02,9.01 02/01/13
Apollo Global Management LLC DE 9.01 04/02/12 AMEND
ARBOR REALTY TRUST INC MD 3.03,5.03,8.01,9.01 01/29/13
ARCA biopharma, Inc. DE 1.01,9.01 01/31/13
ARRAY BIOPHARMA INC DE 5.02 01/31/13 AMEND
ASHLAND INC. KY 5.02,5.07,9.01 02/01/13
ASPEN INSURANCE HOLDINGS LTD D0 1.01,2.03,9.01 02/01/13
ATLANTIC POWER CORP A1 1.01,9.01 01/30/13
ATWOOD OCEANICS INC TX 7.01,9.01 01/31/13
AUTOLIV INC DE 2.02,5.02,7.01,8.01, 01/29/13
9.01
AUTONATION, INC. DE 7.01,9.01 02/01/13
AUXILIUM PHARMACEUTICALS INC DE 7.01,9.01 02/01/13
AXIALL CORP/DE/ DE 1.01,2.03,8.01,9.01 02/01/13
Bacterin International Holdings, Inc. DE 8.01 01/29/13
BankFinancial CORP 7.01,9.01 01/31/13
BAY BANKS OF VIRGINIA INC VA 2.02,9.01 02/01/13
BEAM INC DE 2.02,7.01,9.01 02/01/13
BERRY PLASTICS GROUP INC DE 2.02,9.01 02/01/13
BERRY PLASTICS GROUP INC DE 7.01,9.01 02/01/13
BLACK HILLS CORP /SD/ SD 2.02,9.01 01/31/13
BLUE NILE INC DE 5.02 01/30/13
BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 8.01 01/31/13
BreitBurn Energy Partners L.P. DE 5.02 01/28/13
BRINKS CO VA 2.02,7.01,9.01 02/01/13
BROADCAST INTERNATIONAL INC UT 8.01 01/30/13
BROWN & BROWN INC FL 2.02 12/12/12
CAMDEN PROPERTY TRUST TX 2.02,9.01 01/31/13
CAPITAL ONE FINANCIAL CORP DE 5.02,9.01 01/31/13
CAPITAL ONE FUNDING, LLC 8.01,9.01 02/01/13
CAPITOL BANCORP LTD MI 7.01 02/01/13
Cardium Therapeutics, Inc. DE 8.01,9.01 01/29/13
Care Investment Trust Inc. MD 5.02 01/31/13
CARMAX INC VA 5.02,5.03,8.01,9.01 01/28/13
CARPENTER TECHNOLOGY CORP DE 2.02,9.01 01/31/13
CARROLLTON BANCORP MD 2.02,8.01,9.01 02/01/13
CAVIUM, INC. DE 2.02,9.01 01/31/13 AMEND
Celsion CORP DE 1.01,9.01 02/01/13
CENTRAL EUROPEAN DISTRIBUTION CORP DE 8.01 02/01/13
CENTURY ALUMINUM CO DE 5.02,8.01,9.01 02/01/13
Chart Acquisition Corp. DE 8.01 01/28/13
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 02/01/13
Cheniere Energy Partners, L.P. DE 7.01,9.01 02/01/13
CHEVRON CORP DE 2.02 02/01/13
CHINA GREEN CREATIVE, INC. 4.01,9.01 01/31/13
China Media Group CORP TX 5.02 02/01/13
China Media Group CORP TX 1.01 02/01/13
CHRISTOPHER & BANKS CORP DE 1.01,5.02,5.05,9.01 01/29/13
Chrysler Group LLC DE 8.01,9.01 02/01/13
CISCO SYSTEMS, INC. CA 5.02 01/31/13
Citizens Community Bancorp Inc. MD 7.01,9.01 02/01/13
Citizens Community Bancorp Inc. MD 7.01,9.01 02/01/13 AMEND
CITY HOLDING CO WV 2.02,9.01 01/29/13
CLEAN DIESEL TECHNOLOGIES INC DE 1.01,9.01 01/30/13
Cleartronic, Inc. FL 3.02 02/01/13
Clearwire Corp /DE DE 1.01,8.01,9.01 01/31/13
CNB FINANCIAL CORP/PA PA 2.02,9.01 01/31/13
CNO Financial Group, Inc. DE 4.02 01/31/13
COLONIAL PROPERTIES TRUST AL 5.02 01/29/13
COLUMBIA BANKING SYSTEM INC WA 8.01,9.01 01/31/13
COMMUNITY TRUST BANCORP INC /KY/ KY 5.02,9.01 01/29/13
Compressco Partners, L.P. DE 7.01,9.01 02/01/13
COMPUTER TASK GROUP INC NY 7.01,9.01 02/01/13
CONSOL Energy Inc DE 5.02 01/29/13
CONSOLIDATED EDISON INC NY 2.02,9.01 01/31/13
CONSTELLATION BRANDS, INC. DE 7.01,8.01,9.01 01/31/13
CONVERGYS CORP OH 5.02 01/31/13
CORTLAND BANCORP INC OH 8.01,9.01 01/30/13
COSTCO WHOLESALE CORP /NEW WA 5.07 01/24/13 AMEND
Covidien plc 7.01,9.01 02/01/13
CRC Health CORP DE 5.02 01/31/13
CRYOLIFE INC FL 8.01 01/30/13
CUBIC CORP /DE/ DE 5.02 01/31/13
CUMBERLAND PHARMACEUTICALS INC 8.01 02/01/13
Cyclacel Pharmaceuticals, Inc. DE 8.01 01/28/13
DATARAM CORP NJ 3.01 02/01/13
Diamondback Energy, Inc. DE 1.01,9.01 01/28/13
Dividend Capital Diversified Property MD 8.01 01/01/13
Domtar CORP DE 2.02,9.01 02/01/13
DRINKS AMERICAS HOLDINGS, LTD DE 4.01 01/22/13
DSP GROUP INC /DE/ DE 5.02 01/29/13
DTE ENERGY CO MI 7.01,9.01 02/01/13
E-Debit Global Corp. CO 8.01,9.01 02/01/13
EastBridge Investment Group Corp AZ 8.01,9.01 01/15/13
ECB BANCORP INC NC 2.02 01/31/13
EINSTEIN NOAH RESTAURANT GROUP INC DE 8.01,9.01 01/30/13
EMCLAIRE FINANCIAL CORP PA 2.02,9.01 02/01/13
Emerald Oil, Inc. MT 9.01 07/26/12 AMEND
EMPIRE RESOURCES INC /NEW/ DE 8.01,9.01 01/31/13
ENGLOBAL CORP NV 8.01,9.01 01/31/13
ERA GROUP INC. DE 1.01,5.01,5.02,5.03, 01/31/13
8.01,9.01
ESSEX PROPERTY TRUST INC MD 2.02,9.01 12/31/12
Eureka Financial Corp. 5.07 01/28/13
Evercore Partners Inc. DE 5.02,9.01 01/29/13
EXELON CORP PA 5.02 01/29/13
EXXON MOBIL CORP NJ 2.02,7.01 02/01/13
FARMERS NATIONAL BANC CORP /OH/ OH 2.02,9.01 01/31/13
First Advantage Bancorp 2.02,9.01 02/01/13
FIRST BANCORP /NC/ NC 2.02,9.01 02/01/13
FIRST BANCSHARES INC /MS/ MS 1.01,7.01,9.01 01/31/13
FIRST CAPITAL INC IN 2.02,9.01 01/28/13
FIRST COMMONWEALTH FINANCIAL CORP /PA PA 5.02 01/28/13
FIRST COMMUNITY BANCSHARES INC /NV/ NV 2.02,7.01,9.01 02/01/13
First Connecticut Bancorp, Inc. MD 5.02 01/28/13
FIRST CORP /CN/ CO 5.06 06/04/12
FIRST RATE STAFFING Corp 2.01,3.02,5.06,9.01 11/09/12 AMEND
FNB BANCORP/CA/ 2.02,9.01 02/01/13
FNB CORP/FL/ FL 5.02 01/31/13
FRANKLIN RESOURCES INC DE 2.02,9.01 02/01/13
FS Energy & Power Fund DE 2.02,8.01 01/28/13
FS Investment Corp II MD 2.02,8.01 01/29/13
FSP PHOENIX TOWER CORP 7.01,8.01,9.01 01/31/12
Full Circle Capital Corp MD 5.07 02/01/13
FULL HOUSE RESORTS INC DE 3.01,9.01 01/31/13
Galaxy Gaming, Inc. 8.01,9.01 01/30/13
GELTOLOGY INC DE 1.01,9.01 01/31/13
GENCORP INC OH 1.01,2.03,3.03,8.01, 01/28/13
9.01
GENERAL METALS CORP DE 7.01,9.01 01/30/13
General Motors Co 5.02 02/01/13
GENERAL STEEL HOLDINGS INC NV 4.01,9.01 12/19/12 AMEND
Georgetown Bancorp, Inc. MD 8.01,9.01 01/28/13
Georgia-Carolina Bancshares, Inc GA 7.01,9.01 02/01/13
GEOSPACE TECHNOLOGIES CORP DE 8.01,9.01 02/01/13
GERON CORP DE 5.02 01/31/13
GIBRALTAR INDUSTRIES, INC. DE 1.01,1.02,2.03,2.04, 01/31/13
8.01,9.01
GLADSTONE CAPITAL CORP MD 8.01 01/31/13
GLADSTONE COMMERCIAL CORP MD 8.01 01/31/13
GLADSTONE INVESTMENT CORPORATION\DE DE 8.01 01/31/13
Global Eagle Entertainment Inc. DE 7.01,9.01 01/31/13
GLOBALWISE INVESTMENTS INC NV 1.01,1.02,2.03,9.01 01/28/13
GMX RESOURCES INC OK 8.01 02/01/13
GOLDMAN SACHS GROUP INC DE 9.01 02/01/13
GRAHAM CORP DE 2.02,8.01,9.01 01/31/13
GRANDPARENTS.COM, INC. DE 1.01,2.03,3.02,9.01 01/29/13
Greektown Superholdings, Inc. DE 8.01,9.01 01/30/13
Greektown Superholdings, Inc. DE 8.01,9.01 01/30/13
Greektown Superholdings, Inc. DE 8.01,9.01 01/29/13
GWG Holdings, Inc. DE 1.01,9.01 01/25/13
HALLIBURTON CO DE 8.01 01/31/13
HAMPSHIRE GROUP LTD DE 5.02,9.01 01/28/13 AMEND
HARRIS TEETER SUPERMARKETS, INC. NC 2.02,9.01 01/31/13
HD SUPPLY, INC. DE 1.01,1.02,2.03 02/01/13
HF FINANCIAL CORP DE 8.01 01/31/13
Hi-Crush Partners LP de 2.02,9.01 01/31/13
Hyatt Hotels Corp DE 8.01,9.01 02/01/13
HYPERION THERAPEUTICS INC DE 8.01,9.01 02/01/13
iBio, Inc. DE 1.01,9.01 01/28/13
IMAGEWARE SYSTEMS INC DE 5.02 01/29/13
IMPERIAL OIL LTD 2.02,9.01 02/01/13
Infor, Inc. 5.02 01/31/13
Ingersoll-Rand plc L2 2.02,9.01 02/01/13
Inland Diversified Real Estate Trust, MD 7.01,9.01 02/01/13
Interactive Intelligence Group, Inc. IN 5.02 02/01/13
INTERLINE BRANDS, INC./DE DE 5.02,9.01 02/01/13
INTERNATIONAL BUSINESS MACHINES CORP NY 5.02 01/29/13
INTL FCSTONE INC. DE 1.01,9.01 01/29/13
Investors Bancorp Inc DE 2.02,8.01,9.01 01/31/13
ISLE OF CAPRI CASINOS INC DE 8.01,9.01 02/01/13
JOHNSON OUTDOORS INC WI 2.02,9.01 02/01/13
KALOBIOS PHARMACEUTICALS INC DE 1.01,8.01,9.01 01/31/13
KKR & Co. L.P. DE 1.01,2.03,9.01 02/01/13
LANNETT CO INC DE 2.02,9.01 01/31/13
LAPIS TECHNOLOGIES INC DE 1.01,9.01 01/28/13
LASALLE RE HOLDINGS LTD 7.01 02/01/13
LEAR CORP DE 2.02,9.01 02/01/13
LEARNING TREE INTERNATIONAL INC DE 8.01,9.01 01/31/13
LEGG MASON, INC. MD 2.02,9.01 02/01/13
LEUCADIA NATIONAL CORP NY 8.01,9.01 02/01/13
Li-ion Motors Corp. NV 3.02 01/31/13
Limoneira CO DE 8.01,9.01 02/01/13
LOCAL Corp DE 1.01,2.03,9.01 01/30/13
Location Based Technologies, Inc. NV 4.01,4.02,9.01 12/14/12 AMEND
LONGWEI PETROLEUM INVESTMENT HOLDING CO 5.02,9.01 01/28/13
LOUISIANA BANCORP INC LA 2.02,9.01 02/01/13
LOUISIANA BANCORP INC LA 5.02,9.01 01/29/13
LyondellBasell Industries N.V. P7 2.02,7.01,9.01 02/01/13
MAM SOFTWARE GROUP, INC. DE 2.02,9.01 02/01/13
MANITOWOC CO INC WI 2.02,9.01 01/31/13
Mass Hysteria Entertainment Company, NV 8.01 02/01/13
MATTEL INC /DE/ DE 2.02,8.01,9.01 02/01/13
MCMORAN EXPLORATION CO /DE/ DE 2.01,9.01 01/28/13
Measurement Specialties Inc NJ 1.01,9.01 02/01/13
MedClean Technologies, Inc. DE 3.03,9.01 01/03/13
MEDIVATION, INC. DE 8.01 02/01/13
Merck & Co. Inc. NJ 2.02,9.01 02/01/13
METLIFE INC DE 7.01,9.01 02/01/13
MICHAELS STORES INC DE 1.01,2.03,9.01 01/28/13
MICROSTRATEGY INC DE 2.02,9.01 01/28/13
MIDDLEBURG FINANCIAL CORP VA 2.02,8.01,9.01 02/01/13
Midway Gold Corp A1 5.02,7.01,9.01 02/01/13
MODINE MANUFACTURING CO WI 2.02,9.01 02/01/13
Mojo Organics, Inc. DE 1.01,2.03,3.02,5.02, 11/14/12
9.01
Monarch Financial Holdings, Inc. VA 2.02,9.01 01/31/13
MONRO MUFFLER BRAKE INC NY 2.02,8.01,9.01 01/29/13
Morningstar, Inc. IL 7.01 02/01/13
MoSys, Inc. DE 2.02,9.01 02/01/13
NANOVIRICIDES, INC. NV 1.01,3.02 02/01/13
NAPCO SECURITY TECHNOLOGIES, INC DE 5.07 12/17/12
NATIONAL HEALTH INVESTORS INC MD 8.01,9.01 02/01/13
NATIONAL HOLDINGS CORP DE 5.02,8.01,9.01 01/25/13 AMEND
NATIONAL OILWELL VARCO INC DE 2.02,9.01 02/01/13
Neenah Paper Inc DE 8.01,9.01 02/01/13
NETFLIX INC DE 1.01,2.03,9.01 01/29/13
NETLIST INC DE 3.01 01/28/13
NETSUITE INC DE 5.02 01/31/13
NEWELL RUBBERMAID INC DE 2.02,9.01 02/01/13
NEWS CORP 8.01,9.01 02/01/13
NEWTEK BUSINESS SERVICES, INC. NY 8.01 01/29/13
NOBLE ENERGY INC DE 5.02 01/31/13
NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 01/31/13
Norwegian Cruise Line Holdings Ltd. 7.01,9.01 02/01/13
Norwegian Cruise Line Holdings Ltd. 7.01,9.01 02/01/13
NuStar Energy L.P. DE 2.02,9.01 02/01/13
NuStar GP Holdings, LLC DE 2.02,9.01 02/01/13
Oasis Petroleum Inc. DE 2.02,9.01 01/31/13
OBA Financial Services, Inc. MD 2.02,9.01 01/28/13
OCZ TECHNOLOGY GROUP INC DE 2.02,9.01 01/31/13
Oneida Financial Corp. MD 2.02,9.01 01/31/13
ONLINE RESOURCES CORP DE 1.01,3.02,8.01,9.01 01/30/13
OPPENHEIMER HOLDINGS INC A6 8.01,9.01 01/31/13
ORAMED PHARMACEUTICALS INC. DE 5.03,9.01 02/01/13
OSHKOSH CORP WI 5.07 01/29/13
OTELCO INC. DE 1.01,2.02,8.01,9.01 02/01/13
PACIFIC OFFICE PROPERTIES TRUST, INC. MD 5.02 01/28/13
PACIFIC OFFICE PROPERTIES TRUST, INC. MD 5.02 01/28/13 AMEND
PBF Energy Inc. DE 8.01,9.01 01/31/13
Pebblebrook Hotel Trust MD 5.02 01/30/13
PENN NATIONAL GAMING INC PA 2.02,9.01 01/31/13
PENN VIRGINIA CORP VA 5.02,9.01 01/29/13
PERNIX THERAPEUTICS HOLDINGS, INC. MD 8.01 01/24/13
PERRIGO CO MI 2.02,9.01 02/01/13
PINNACLE ENTERTAINMENT INC. DE 1.01,9.01 02/01/13
PITNEY BOWES INC /DE/ DE 5.02 01/29/13
Post Holdings, Inc. MO 5.02,5.07,9.01 01/31/13
PPG INDUSTRIES INC PA 8.01,9.01 01/31/13
PPG INDUSTRIES INC PA 2.01,9.01 01/28/13
PRINCIPAL FINANCIAL GROUP INC DE 2.02,9.01 01/31/13
Protea Biosciences Group, Inc. DE 5.02 01/28/13
PROVIDENT FINANCIAL SERVICES INC DE 2.02,7.01,9.01 02/01/13
PRUDENTIAL BANCORP INC OF PENNSYLVANI 2.02,5.02,9.01 02/01/13
PULASKI FINANCIAL CORP MO 5.02,5.07 01/31/13
QUICK-MED TECHNOLOGIES INC 5.02 02/01/13
RADIOSHACK CORP DE 1.01,9.01 02/01/13
RAIT Financial Trust MD 5.02,9.01 01/29/13
REAL DATA INC UT 5.03 01/23/13
RED MOUNTAIN RESOURCES, INC. FL 2.01,3.02,9.01 01/28/13
Regulus Therapeutics Inc. DE 5.02 01/30/13
RESOLUTE ONCOLOGY INC NV 5.03,7.01 01/29/13
REX AMERICAN RESOURCES Corp DE 5.03,8.01,9.01 01/31/13
RITE AID CORP DE 8.01,9.01 01/31/13
RIVERVIEW BANCORP INC WA 2.02,9.01 01/30/13
ROCHESTER MEDICAL CORPORATION MN 5.02,5.07,9.01 01/29/13
Rock-Tenn CO GA 5.02 01/25/13 AMEND
ROI Acquisition Corp. DE 8.01,9.01 02/01/13
Ruby Creek Resources, Inc. NV 5.01,5.02,9.01 01/28/13
S&T BANCORP INC PA 5.02,9.01 01/28/13
Saga Energy, Inc. FL 5.02 01/29/13
SAIA INC DE 5.02,9.01 01/29/13
SANTARUS INC DE 8.01 02/01/13
SAUL CENTERS INC MD 8.01,9.01 01/31/13
SCHNITZER STEEL INDUSTRIES INC OR 5.07 01/30/13
SCOTTS LIQUID GOLD INC CO 1.01,2.01 02/01/13
SeaBright Holdings, Inc. DE 5.02,9.01 01/30/13
SEACOR HOLDINGS INC /NEW/ DE 1.01,2.01,5.02,8.01, 01/31/13
9.01
SERVICEMASTER CO DE 2.02,7.01 01/31/13
Shire plc 8.01,9.01 02/01/13
Shire plc 8.01,9.01 02/01/13
Sino-Global Shipping America, Ltd. VA 5.02 01/31/13
SLM FUNDING LLC DE 6.01,9.01 02/01/13
Somaxon Pharmaceuticals, Inc. DE 8.01 01/24/13
SOUTHERN COPPER CORP/ DE 2.02,9.01 01/31/13
SOUTHSIDE BANCSHARES INC TX 2.02 01/31/13
SPARTON CORP OH 7.01,9.01 01/30/13
SPORT CHALET INC DE 2.02,9.01 01/31/13
STANDEX INTERNATIONAL CORP/DE/ DE 2.02,9.01 12/31/12
STEWARDSHIP FINANCIAL CORP NJ 4.01,9.01 01/28/13
STUDIO ONE MEDIA, INC. DE 5.02 01/29/13
Sunstone Hotel Investors, Inc. MD 8.01,9.01 01/28/13
SUSSEX BANCORP NJ 2.02,9.01 01/31/13
SYCAMORE NETWORKS INC DE 1.01,2.01,5.02,5.07, 01/29/13
8.01,9.01
TELECOMMUNICATION SYSTEMS INC /FA/ MD 2.02,9.01 01/31/13
TELLABS INC DE 2.02,2.05,9.01 01/31/13
TETRA TECHNOLOGIES INC DE 2.02,7.01,9.01 02/01/13
TIDEWATER INC DE 8.01,9.01 01/30/13
Tower Group, Inc. DE 8.01 01/30/13
Tower International, Inc. DE 5.08 02/01/13
TOWERSTREAM CORP DE 1.01,8.01,9.01 01/30/13
TRANS1 INC 9.01 10/09/12 AMEND
TRENWICK GROUP LTD 7.01 02/01/13
TRINITY CAPITAL CORP NM 5.02 02/01/13
TRIUMPH GROUP INC DE 2.02 01/30/13
TYSON FOODS INC DE 2.02,9.01 02/01/13
UNITY BANCORP INC /NJ/ NJ 2.02,9.01 01/31/13
USA TRUCK INC DE 2.02,9.01 01/31/13
VALLEY FINANCIAL CORP /VA/ VA 2.02,5.03,8.01,9.01 01/31/13
VIAD CORP DE 2.02,9.01 02/01/13
VIASYSTEMS GROUP INC DE 2.02,9.01 01/31/13
Vishay Precision Group, Inc. DE 1.01,2.01,2.03,8.01, 02/01/13
9.01
VISTAPRINT N.V. P7 2.02,9.01 01/31/13 AMEND
VRDT Corp DE 1.01,2.01,3.02,9.01 01/28/13
Vringo Inc DE 5.05,9.01 01/31/13
VWR Funding, Inc. DE 1.01,2.03,9.01 01/31/13
WEB.COM GROUP, INC. DE 5.02,9.01 01/30/13
Wellesley Bancorp, Inc. 8.01,9.01 02/01/13
WEST COAST BANCORP /NEW/OR/ OR 8.01,9.01 01/31/13
Westway Group, Inc. DE 3.01,3.03,5.01,5.03, 01/30/13
8.01,9.01
WET SEAL INC DE 5.02,7.01,9.01 01/28/13
WEX Inc. 1.01,2.03,9.01 01/30/13
WINLAND ELECTRONICS INC MN 1.01,5.02,9.01 01/28/13
WISCONSIN ENERGY CORP WI 7.01,9.01 02/01/13
WisdomTree Investments, Inc. DE 2.02,9.01 02/01/13
WOODSTOCK HOLDINGS INC. GA 3.01 02/01/13
WSB Holdings Inc DE 2.02,9.01 01/31/13
WSFS FINANCIAL CORP DE 2.02,9.01 01/31/13
YAFARM TECHNOLOGIES, INC. DE 5.02,9.01 12/14/12
ZAP CA 5.02 01/19/13 AMEND
http://www.sec.gov/news/digest/2013/dig020413.htm
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