In the Matter of Gregory S. Schaefer
On June 23, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Gregory S. Schaefer, based on the entry of a permanent injunction against him in the civil action entitled Securities and Exchange Commission v. Gary S. Becker, et. al., Civil Action No. 09 cv 5707 (S.D.N.Y.)(SAS) in the United States District Court for the Southern District of New York.
In the Order, the Division of Enforcement alleges that on July 12, 2010, a judgment was entered against Becker and Schaefer, permanently enjoining each from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and from aiding and abetting future violations of Sections 15(b)(7), 15(c)(1), and 17(a) of the Exchange Act and Rules 10b-3, 15b3-1, 15b7-1, and 17a-3(a)(12) thereunder.
The Division of Enforcement further alleges in the Order that the Commission’s complaint alleged that, from at least January 2001 until July 2007, Becker and Schaefer sold three unregistered securities offerings of Gold Rush Technologies, Inc., Dillon Scott Securities, Inc.’s parent company, raising approximately $1.3 million in proceeds from 29 investors. Becker and Schaefer, through offering memoranda, direct solicitations, and solicitations by two of their salespersons, represented that the money raised would be used to form a brokerage firm, Dillon Scott, but they instead diverted approximately 79% of the offering proceeds to enrich themselves and others. In addition, Becker and Schaefer knowingly and substantially assisted Dillon Scott in violating numerous regulatory provisions governing broker-dealers by not disclosing in regulatory filings that Becker was controlling Dillon Scott, permitting individuals to effect securities transactions when they were not registered with FINRA, and not making or keeping required employment documentation for certain associated persons of Dillon Scott.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Schaefer an opportunity to dispute the allegations, and to determine what, if any, remedial action is appropriate and in the public interest pursuant to Section 15(b) of the Exchange Act.
The Order directed that an Administrative Law Judge shall issue an initial decision no later than 210 days from the date of service of the order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. Becker previously was barred from association with a broker or dealer, pursuant to Section 15(b) of the Exchange Act, on Nov. 9, 2010. Gary S. Becker, Exchange Act Rel. No. 63281 (Nov. 9, 2010). (Rel. 34-64723; File No. 3-14435)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of Consolidated Resources Health Care Fund III, Consolidated Resources Health Care Fund IV, Consolidated Resources Health Care Fund V, Consolidated Resources Health Care Fund VI, and Continental American Transportation, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-64737; File No. 3-14412)
Commission Revokes Registration of Securities of Seneca Acquisition Corp. for Failure to Make Required Periodic Filings
On June 24, 2011, the Commission revoked the registration of each class of registered securities of Seneca Acquisition Corp. (Seneca Acquisition) 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, Seneca Acquisition 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 Seneca Acquisition 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 Seneca Acquisition’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Seneca Acquisition in In the Matter of Saf T Lok, Inc., et al., Administrative Proceeding File No. 3-14392.
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 Saf T Lok, Inc., et al., Administrative Proceeding File No. 3-14392, Exchange Act Release No. 64505, May 16, 2011. (Rel. 34-64738; File No. 3-14392)
In the Matter of Travis L. Wright
On June 24, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act), Making Findings, and Imposing Remedial Sanctions (Order) against Travis L. Wright. The Order finds that on May 3, 2011, Wright consented to the entry of final judgment enjoining him from future violations of Sections 17(a), 5(a) and (c) of the Securities Act of 1933 and Section 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder.
Based on the above, the Order bars Wright from association with any broker, dealer, investment adviser, municipal securities dealer or transfer agent, and is prohibited from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter, and barred from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock.. Wright consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted the entry of the injunction. (Rel. 34-64739; File No. 3-14436)
Russell Exchange Traded Funds Trust, et al.
A notice has been issued giving interested persons until July 18, 2011, to request a hearing on an application filed by Russell Exchange Traded Funds Trust, et al., for an order to permit: (a) series of certain actively managed open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days 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; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-29706 – June 22)
A proposed rule change (SR-CBOE-2011-044), as modified by Amendment No. 1, filed by the Chicago Board Options Exchange to reduce the minimum size of the Nominating and Governance Committee has been approved pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of June 27. (Rel. 34-64725)
A proposed rule change (SR-C2-2011-012), as modified by Amendment No. 1, filed by the C2 Options Exchange, to reduce the minimum size of the Nominating and Governance Committee has been approved pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of June 27. (Rel. 34-64727)
A proposed rule change filed by NYSE Amex amending Rule 17 – NYSE Amex Equities to codify inbound routing functions performed by its affiliate broker-dealer, Archipelago Securities LLC (SR-NYSEAmex-2011-39) 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 June 27. (Rel. 34-64728)
A proposed rule change filed by New York Stock Exchange amending NYSE Rule 17 to codify inbound routing functions performed by its affiliate broker-dealer, Archipelago Securities LLC (SR-NYSE-2011-24) 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 June 27. (Rel. 34-64729)
A proposed rule change filed by NYSE Arca adopting new NYSE Arca Equities Rule 7.41 to codify outbound and inbound routing functions performed by its affiliate broker-dealer, Archipelago Securities LLC (SR-NYSEArca-2011-38) 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 June 27. (Rel. 34-64730)
A proposed rule change filed by NYSE Arca to include text in its options rules governing the use of its affiliate broker-dealer, Archipelago Securities LLC for outbound routing of option orders, and to adopt text in its options rules to permit the exchange to receive inbound routes of option orders from Arca Securities, acting as the Outbound Router for NYSE Amex LLC (SR-NYSEArca-2011-39) 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 June 27. (Rel. 34-64731)
A proposed rule change filed by NYSE Amex to include text in its options rules governing the use of its affiliate broker-dealer, Archipelago Securities LLC for outbound routing of option orders, and to adopt text in its options rules to permit the exchange to receive inbound routes of option orders from Arca Securities, acting as the outbound router for NYSE Arca, Inc. (SR-NYSEAmex-2011-40) 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 June 27. (Rel. 34-64732)
A proposed rule change filed by NASDAQ OMX PHLX (SR-Phlx-2011-85) relating to rebates and fees for adding and removing liquidity in Select Symbols has become immediately 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 June 27. (Rel. 34-64733)
Proposed Rule Change
The Financial Industry Regulatory Authority filed a proposed rule change (SR-FINRA-2011-028) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to adopt rules regarding supervision in the Consolidated FINRA Rulebook. Publication is expected in the Federal Register during the week of June 27. (Rel. 34-64736)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-3 TOR MINERALS INTERNATIONAL INC, 722 BURLESON, CORPUS CHRISTI, TX, 78402, 361-883-5591 - 1,622,044 ($24,947,036.72) Non-Convertible Debt, (File 333-175054 - Jun. 22) (BR. 06B) S-8 EdgeWave, Inc., 15333 AVENUE OF SCIENCE, SAN DIEGO, CA, 92128, 858-676-2277 - 330,000 ($66,000.00) Equity, (File 333-175055 - Jun. 22) (BR. 03C) S-8 TRANSWITCH CORP /DE, THREE ENTERPRISE DRIVE, SHELTON, CT, 06484, 2039298810 - 125,000 ($390,625.00) Equity, (File 333-175060 - Jun. 22) (BR. 10C) S-4 GCI INC, 2550 DENALI ST, STE 1000, ANCHORAGE, AK, 99503, 9072655600 - 0 ($325,000,000.00) Debt, (File 333-175064 - Jun. 22) (BR. 11C) S-8 FULTON FINANCIAL CORP, ONE PENN SQ, PO BOX 4887, LANCASTER, PA, 17604, 7172912411 - 500,000 ($5,330,000.00) Equity, (File 333-175065 - Jun. 22) (BR. 07B) S-8 AVATAR HOLDINGS INC, 201 ALHAMBRA CIRCLE, CORAL GABLES, FL, 33134, 3054427000 - 700,000 ($11,235,000.00) Equity, (File 333-175066 - Jun. 22) (BR. 06B) S-3ASR INSULET CORP, 9 OAK PARK DRIVE, BEDFORD, MA, 01730, (781) 457-5000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-175067 - Jun. 22) (BR. 10B) S-8 General Motors Co, 300 RENAISSANCE CENTER, DETROIT, MI, 48265-3000, 313.556.5000 - 75,000,000 ($2,188,500,000.00) Equity, (File 333-175068 - Jun. 22) (BR. 05A) S-8 TigerLogic CORP, 25A TECHNOLOGY DRIVE, IRVINE, CA, 92618, 949-442-4400 - 843,059 ($3,692,598.42) Equity, (File 333-175070 - Jun. 22) (BR. 03B) S-8 Orexigen Therapeutics, Inc., 3344 N. TORREY PINES CT., SUITE 200, LA JOLLA, CA, 92037, (858) 875-8600 - 0 ($23,400,000.00) Equity, (File 333-175071 - Jun. 22) (BR. 01C) S-8 POWER-SAVE ENERGY CO, 3940-7 BROAD STREET, #200, SAN LUIS OBISPO, CA, 93401, 866-297-7192 - 10,000,000 ($100,000.00) Debt Convertible into Equity, (File 333-175072 - Jun. 22) (BR. 02A) S-3 REXAHN PHARMACEUTICALS, INC., 15245 SHADY GROVE ROAD, SUITE 455, ROCKVILLE, MD, 20850, 2402685300 - 0 ($71,230,334.00) Equity, (File 333-175073 - Jun. 22) (BR. 01A) N-2 THL Credit, Inc., 100 FEDERAL STREET, 31ST FLOOR, BOSTON, MA, 02110, (800) 450-4424 - 0 ($250,000,000.00) Unallocated (Universal) Shelf, (File 333-175074 - Jun. 22) (BR. 16) S-4 J CREW GROUP INC, 770 BROADWAY, NEW YORK, NY, 10003, 2122092500 - 0 ($400,000,000.00) Other, (File 333-175075 - Jun. 22) (BR. 09B) N-2 CALAMOS CONVERTIBLE & HIGH INCOME FUND, 2020 CALAMOS COURT, C/O CALAMOS ADVISORS LLC, NAPERVILLE, IL, 60563, 6302451046 - 0 ($250,000,000.00) Equity, (File 333-175076 - Jun. 22) (BR. 16) S-4 LyondellBasell Industries N.V., WEENA 737, ROTTERDAM, P7, 3013AM, 713-309-4560 - 0 ($2,257,652,250.00) Non-Convertible Debt, (File 333-175077 - Jun. 22) (BR. 06A)
Form 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 ACACIA RESEARCH CORP DE 8.01 06/22/11 ACCENTIA BIOPHARMACEUTICALS INC 7.01,9.01 06/23/11 Accenture plc L2 2.02,9.01 06/23/11 ACCENTURE SCA 2.02,9.01 06/23/11 Addus HomeCare Corp DE 1.01,7.01,9.01 06/23/11 ADVENTRX PHARMACEUTICALS INC DE 4.01,9.01 06/17/11 AFLAC INC GA 7.01,9.01 06/23/11 Alamo Energy Corp. NV 1.01,2.03,3.02,9.01 06/21/11 ALASKA AIR GROUP INC DE 5.02 06/20/11 ALLEGHANY CORP /DE DE 5.07 05/04/11 AMEND ALLOS THERAPEUTICS INC DE 5.07 06/21/11 Alon USA Energy, Inc. DE 5.02 06/18/11 AMBASSADORS INTERNATIONAL INC DE 7.01,9.01 06/20/11 AMERCO /NV/ NV 8.01,9.01 06/07/11 AMERICAN EAGLE OUTFITTERS INC DE 5.07,7.01,9.01 06/21/11 ANNALY CAPITAL MANAGEMENT INC MD 3.03,5.07,9.01 06/23/11 Apartment Trust of America, Inc. 7.01,9.01 06/23/11 APPLIED DNA SCIENCES INC DE 1.01,9.01 06/17/11 ARIAD PHARMACEUTICALS INC DE 5.02,5.07,9.01 06/23/11 AURORA GOLD CORP DE 8.01,9.01 06/23/11 AVAYA INC DE 2.05 06/20/11 Axius Inc. NV 3.02,9.01 06/22/11 BAKER HUGHES INC DE 1.01,2.03,9.01 06/21/11 Bank of Commerce Holdings CA 7.01,9.01 06/22/11 BANK OF SOUTH CAROLINA CORP SC 8.01,9.01 06/23/11 BAZI INTERNATIONAL, INC. NV 1.01,3.02,9.01 06/21/11 BEACON ENTERPRISE SOLUTIONS GROUP INC NV 7.01,9.01 06/23/11 BERRY PLASTICS CORP DE 1.01,9.01 06/23/11 BIOGEN IDEC INC. DE 8.01 06/23/11 BIOMARIN PHARMACEUTICAL INC DE 1.01 06/22/11 BLACKBAUD INC 1.01,2.03,5.07,9.01 06/17/11 Blackhawk Fund NV 5.03,9.01 06/17/11 BlueLinx Holdings Inc. DE 5.07 05/19/11 AMEND Brekford Corp. DE 5.07 06/17/11 BROCADE COMMUNICATIONS SYSTEMS INC DE 5.02 06/20/11 BRT REALTY TRUST MA 1.01,2.03,9.01 06/22/11 Business Development Corp of America MD 1.01,1.02,9.01 06/23/11 CAMCO FINANCIAL CORP DE 5.02 06/22/11 CARBON 612 Corp DE 4.01,9.01 06/22/11 CEF EQUIPMENT HOLDING LLC DE 1.01,9.01 06/22/11 CENTERLINE HOLDING CO DE 5.07 06/20/11 CHESAPEAKE ENERGY CORP OK 7.01,9.01 06/20/11 Chesapeake Lodging Trust MD 2.01 06/17/11 CHEVIOT FINANCIAL CORP 1.01 06/23/11 CHICOS FAS INC FL 5.02,9.01 06/23/11 CHICOS FAS INC FL 8.01,9.01 06/23/11 China Biologic Products, Inc. 5.07 06/23/11 CHINA GENGSHENG MINERALS, INC. NV 1.01,9.01 06/23/11 China Ritar Power Corp. UT 3.01,9.01 06/23/11 China Wi-Max Communications, Inc. NV 7.01,9.01 06/22/11 CHINA-BIOTICS, INC DE 4.01,5.02,9.01 06/23/11 CHINA-BIOTICS, INC DE 3.01,9.01 06/20/11 CHOICE HOTELS INTERNATIONAL INC /DE DE 7.01 06/22/11 CIRTRAN CORP NV 5.02 06/15/11 Clear Skies Solar, Inc DE 4.01,9.01 06/22/11 COLLECTIVE BRANDS, INC. DE 7.01,8.01 06/22/11 COLONY BANKCORP INC GA 5.02 06/21/11 CONAGRA FOODS INC /DE/ DE 2.02,9.01 06/23/11 CorMedix Inc. DE 8.01,9.01 06/23/11 CROSSTEX ENERGY INC DE 7.01,9.01 06/22/11 CROSSTEX ENERGY LP DE 7.01,9.01 06/22/11 CYBERMESH INTERNATIONAL CORP. 1.01,3.02,9.01 06/22/11 DANAHER CORP /DE/ DE 1.01,9.01 06/23/11 DATAMILL MEDIA CORP. 1.01,8.01,9.01 06/22/11 DAWSON GEOPHYSICAL CO TX 1.01,2.03,9.01 06/17/11 DAYBREAK OIL & GAS INC WA 7.01,9.01 06/21/11 Denarii Resources Inc. NV 5.03,9.01 05/23/11 DENDREON CORP DE 5.07 06/21/11 DEWMAR INTERNATIONAL BMC, INC. NV 1.01 06/21/11 DEWMAR INTERNATIONAL BMC, INC. NV 5.02 06/23/11 Discover Financial Services DE 2.02,9.01 06/23/11 Diversified Opportunities, Inc. DE 9.01 06/23/11 AMEND Dividend Capital Total Realty Trust I 5.07,8.01 06/22/11 DJSP Enterprises, Inc. D8 1.01,9.01 06/22/11 Domark International Inc. NV 5.02 06/20/11 Domtar CORP DE 1.01,1.02,2.03 06/23/11 DOVER DOWNS GAMING & ENTERTAINMENT IN DE 1.01,2.03,9.01 06/17/11 EAGLE MATERIALS INC DE 5.02,9.01 06/17/11 EAGLE ROCK ENERGY PARTNERS L P DE 1.01,2.03,7.01,9.01 06/22/11 Education Realty Trust, Inc. MD 7.01,9.01 06/23/11 EMAX HOLDINGS CORP DE 1.03,2.01,3.02,5.03, 06/22/11 8.01,9.01 EMERSON ELECTRIC CO MO 7.01 06/23/11 Empire Post Media, Inc. NV 5.02 03/15/11 EMULEX CORP /DE/ DE 5.02,5.03,9.01 06/22/11 Encore Energy Partners LP DE 1.01,7.01,9.01 06/23/11 Enertopia Corp. NV 4.01,7.01,9.01 06/23/11 EXERCISE FOR LIFE SYSTEMS, INC. NC 5.02 06/06/11 FBR & Co. VA 5.03,9.01 06/21/11 Federal Home Loan Bank of Atlanta X1 2.03 06/23/11 Federal Home Loan Bank of Chicago X1 2.03 06/20/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 06/20/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 06/21/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 06/23/11 Federal Home Loan Bank of New York X1 2.03,9.01 06/20/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 06/20/11 Federal Home Loan Bank of San Francis X1 2.03 06/20/11 Federal Home Loan Bank of Seattle 2.03 06/20/11 Federal Home Loan Bank of Topeka 2.03,9.01 06/20/11 Federal Home Loan Bank of Topeka 7.01,9.01 06/23/11 FINISH LINE INC /IN/ IN 2.02,9.01 06/23/11 FIRST BANCORP /PR/ PR 1.01,9.01 06/23/11 FIRST PACTRUST BANCORP INC MD 1.01,8.01,9.01 06/22/11 FULLER H B CO MN 2.02,9.01 06/22/11 GAMETECH INTERNATIONAL INC DE 5.02 06/20/11 GASTAR EXPLORATION LTD 1.01,3.03,5.03,7.01, 06/20/11 9.01 GASTAR EXPLORATION LTD 7.01,9.01 06/23/11 GE Equipment Transportation LLC, Seri DE 9.01 06/22/11 GOLDMAN SACHS GROUP INC DE 9.01 06/23/11 GRAHAM PACKAGING HOLDINGS CO DE 1.01,1.02,5.07,9.01 06/17/11 GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 06/20/11 GTX INC /DE/ DE 8.01,9.01 06/23/11 GULF RESOURCES, INC. DE 5.07 06/22/11 H&R BLOCK INC MO 2.02,5.02,9.01 06/21/11 HARBINGER GROUP INC. DE 1.01,8.01,9.01 06/22/11 HARBINGER GROUP INC. DE 8.01,9.01 06/23/11 HARRIS & HARRIS GROUP INC /NY/ NY 7.01 06/22/11 Homeland Security Capital CORP DE 1.01,9.01 06/22/11 Horsehead Holding Corp 8.01,9.01 06/22/11 HOVNANIAN ENTERPRISES INC DE 5.02 06/23/11 HUIHENG MEDICAL, INC. NV 1.01,2.01,9.01 03/14/11 iBio, Inc. DE 5.02,9.01 06/20/11 IF Bancorp, Inc. MD 8.01,9.01 06/23/11 INFRASTRUCTURE DEVELOPMENTS CORP. 5.02,7.01,9.01 06/14/11 Inland Diversified Real Estate Trust, MD 1.01,2.01,8.01,9.01 06/17/11 INLAND WESTERN RETAIL REAL ESTATE TRU MD 1.01 06/17/11 INTERNATIONAL SHIPHOLDING CORP DE 1.01,2.03 06/20/11 International Stem Cell CORP 4.02 05/25/11 AMEND INTL FCSTONE INC. DE 1.01,2.03,9.01 06/20/11 Invesco Mortgage Capital Inc. MD 1.01,8.01,9.01 06/20/11 INVESTORS REAL ESTATE TRUST ND 5.02,9.01 06/23/11 James River Coal CO VA 5.07 06/21/11 KERYX BIOPHARMACEUTICALS INC DE 5.07 06/21/11 KILROY REALTY CORP MD 1.01,9.01 06/22/11 LABARGE INC DE 5.07,9.01 06/23/11 Legacy Bancorp, Inc. 5.07,8.01,9.01 06/20/11 AMEND LendingClub Corp DE 5.02 06/20/11 LENNAR CORP /NEW/ DE 2.02,9.01 06/23/11 LEXARIA CORP. NV 4.01,7.01,9.01 06/23/11 LIGAND PHARMACEUTICALS INC DE 7.01,9.01 06/23/11 LKA INTERNATIONAL INC /DE/ DE 2.04 06/01/11 LONGWEI PETROLEUM INVESTMENT HOLDING CO 7.01,9.01 06/23/10 Magnolia Solar Corp NV 8.01,9.01 06/23/11 MB FINANCIAL INC /MD 8.01,9.01 06/17/11 MEDALLION FINANCIAL CORP DE 5.07 06/17/11 METALICO INC 5.07,8.01,9.01 06/22/11 METLIFE INC DE 5.03,9.01 06/21/11 METLIFE INC DE 5.07 04/26/11 AMEND MICRON TECHNOLOGY INC DE 2.02,9.01 06/23/11 Monster Offers NV 1.01,2.03,3.02,9.01 06/10/11 National CineMedia, Inc. DE 1.01,7.01,8.01,9.01 06/20/11 Native American Energy Group, Inc. DE 1.01,3.02,9.01 05/29/11 NAVISTAR INTERNATIONAL CORP DE 5.07 02/15/11 AMEND Neogenix Oncology Inc MD 5.02,5.07 06/17/11 NEW ENERGY SYSTEMS GROUP NV 5.02,8.01,9.01 06/20/11 NORDSTROM INC WA 1.01,1.02,2.03,9.01 06/23/11 NTS MORTGAGE INCOME FUND DE 1.01,9.01 06/15/11 NUPATHE INC. DE 7.01,9.01 06/23/11 Obscene Jeans Corp. FL 2.01,9.01 06/14/11 ONEOK INC /NEW/ OK 7.01,8.01,9.01 06/23/11 ORACLE CORP 2.02,8.01,9.01 06/23/11 ORRSTOWN FINANCIAL SERVICES INC PA 5.02,9.01 06/23/11 PANTRY INC DE 1.01 06/17/11 PANTRY INC DE 5.07 03/16/11 AMEND PEERLESS SYSTEMS CORP DE 7.01,9.01 06/23/11 PENN VIRGINIA RESOURCE PARTNERS L P DE 5.07,7.01,9.01 06/22/11 Pet Airways Inc. IL 9.01 08/13/10 AMEND PGT, Inc. DE 1.01,1.02,2.03,3.03, 06/23/11 9.01 PHILLIPS VAN HEUSEN CORP /DE/ DE 7.01,9.01 06/23/11 PHILLIPS VAN HEUSEN CORP /DE/ DE 7.01 06/23/11 Piedmont Office Realty Trust, Inc. MD 1.01,2.03 06/23/11 PostRock Energy Corp DE 1.01,3.02,7.01,9.01 06/21/11 PostRock Energy Corp DE 5.02,8.01 06/16/11 POTASH AMERICA, INC. NV 1.01 06/22/11 PREMIER EXHIBITIONS, INC. FL 2.02,5.02,9.01 06/20/11 PRIMUS TELECOMMUNICATIONS GROUP INC DE 5.02,9.01 06/17/11 PROGRESS ENERGY INC NC 5.07 05/11/11 AMEND QSGI INC. DE 1.01,2.01 06/23/11 QUALITY DISTRIBUTION INC FL 8.01,9.01 06/23/11 RADIENT PHARMACEUTICALS Corp DE 3.01,7.01,9.01 06/23/11 RAINMAKER SYSTEMS INC DE 1.01,7.01,9.01 06/22/11 RCM TECHNOLOGIES INC NV 5.02 06/23/11 Real Goods Solar, Inc. CO 5.02 06/17/11 RED MOUNTAIN RESOURCES, INC. FL 1.01,9.01 06/20/11 REPROS THERAPEUTICS INC. DE 8.01,9.01 06/23/11 RETAIL OPPORTUNITY INVESTMENTS CORP DE 1.01,9.01 06/23/11 RITE AID CORP DE 2.02,9.01 06/23/11 RITE AID CORP DE 2.02,9.01 06/23/11 ROCHESTER MEDICAL CORPORATION MN 9.01 04/07/11 AMEND ROGERS INTERNATIONAL RAW MATERIALS FU 5.03 06/22/11 ROMA FINANCIAL CORP X1 5.02,9.01 06/22/11 SABA SOFTWARE INC DE 5.02 06/17/11 SAGA COMMUNICATIONS INC DE 5.02 06/17/11 SANTANDER DRIVE AUTO RECEIVABLES LLC DE 8.01,9.01 06/23/11 SAUER DANFOSS INC DE 5.07 06/17/11 SEARS HOLDINGS CORP DE 8.01,9.01 06/23/11 Secure Luggage Solutions Inc. 4.01,9.01 06/17/11 SERACARE LIFE SCIENCES INC 7.01,9.01 06/23/11 ServisFirst Bancshares, Inc. DE 1.01,3.02,9.01 06/21/11 SILVER HILL MINES INC NV 5.03,5.07,9.01 06/18/11 Solar Power, Inc. CA 5.03,5.07,9.01 06/22/11 SolarWinds, Inc. DE 1.01,7.01,9.01 06/20/11 Somaxon Pharmaceuticals, Inc. DE 7.01,9.01 06/23/11 SOUTHERN CHINA LIVESTOCK, INC. DE 5.02,9.01 06/20/11 Spansion Inc. DE 3.02 06/22/11 SRS LABS INC DE 5.07 06/20/11 STAGE STORES INC NV 8.01,9.01 06/21/11 STARTEK INC DE 5.02,9.01 06/19/11 Station Casinos LLC NV 1.01,2.01,3.02,5.02, 06/17/11 5.03,9.01 STEWARDSHIP FINANCIAL CORP NJ 8.01,9.01 06/22/11 STILLWATER MINING CO /DE/ DE 7.01,9.01 06/23/11 STR HOLDINGS, INC. DE 2.02,9.01 06/23/11 Surna Inc. NV 1.01,1.02,3.02,9.01 06/22/11 TIBCO SOFTWARE INC DE 2.02,9.01 06/23/11 TIFFANY & CO DE 5.02,9.01 06/23/11 Titan Holding Group, Inc. FL 5.01,5.02,8.01 06/23/11 TMST, Inc. MD 7.01,9.01 06/21/11 TOR MINERALS INTERNATIONAL INC DE 8.01,9.01 06/22/11 TORCHLIGHT ENERGY RESOURCES INC NV 5.02,9.01 06/22/11 TPG Specialty Lending, Inc. DE 3.02 06/17/11 TRANS LUX CORP DE 1.01,2.03,8.01,9.01 06/17/11 TreeHouse Foods, Inc. DE 7.01,9.01 06/22/11 TS&W / CLAYMORE TAX-ADVANTAGED BALANC DE 7.01,9.01 01/26/11 U-Store-It Trust MD 1.01,2.03,9.01 06/20/11 UMPQUA HOLDINGS CORP OR 7.01 06/23/11 United Continental Holdings, Inc. DE 7.01,9.01 06/23/11 United States Oil & Gas Corp DE 7.01,9.01 06/23/11 VALIDUS HOLDINGS LTD 2.02,9.01 06/23/11 Vanguard Natural Resources, LLC DE 1.01,7.01,9.01 06/23/11 VISTEON CORP DE 2.05 06/23/11 WARNACO GROUP INC /DE/ DE 1.01,2.03,9.01 06/23/11 WATAIR INC. WA 5.02 06/17/11 WATTS WATER TECHNOLOGIES INC DE 5.02 06/20/11 WESCO FINANCIAL CORP CA 8.01,9.01 06/23/11 Western Iowa Energy, L.L.C. IA 5.07 06/20/11 XERIUM TECHNOLOGIES INC DE 5.02,5.07 06/17/11 YUHE INTERNATIONAL, INC. NV 4.01,4.02,8.01,9.01 06/20/11 ZAP CA 1.01,5.03,5.07,9.01 06/20/11 Zep Inc. DE 8.01 06/23/11