Securities and Exchange Commission Suspends Trading in the Securities of Nine Issuers for Failure to Make Required Periodic Filings
The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on June 28, 2011, and terminating at 11:59 p.m. EDT on July 12, 2011.
The Commission temporarily suspended trading in the securities of these nine issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-64756)
Hedge Fund Returns $230 Million Held in Offshore Account to U.S.
Funds Returned As a Result of Order Obtained By SEC in Alleged Ponzi Scheme Case
The Securities and Exchange Commission today told a federal court that $230 million held in an offshore account by a hedge fund has been returned to the U.S. and will remain frozen pending completion of the SEC’s Ponzi scheme lawsuit against the fund’s adviser and its principal.
In a filing in the U.S. District Court for the District of Connecticut, the SEC said the money was returned as a result of the court order obtained by the SEC in its case against Francisco Illarramendi of Connecticut and his firm Highview Point Partners LLC, which managed three hedge funds.
“We’re pleased with the return of this money to the U.S. and believe it will help preserve these assets for the benefit of defrauded investors,” said David P. Bergers, Director of the SEC’s Boston Regional Office.
Ethiopis Tafara, Director of the SEC’s Office of International Affairs, added, “In this case, the ability to freeze and repatriate the alleged financial crime proceeds was critical to the SEC’s effective enforcement of the U.S. securities laws.”
The SEC charged Illarramendi and his unregistered investment advisory firm MK Capital Management in January with running a multi-year, multi-million dollar Ponzi scheme. Stamford, Conn.-based Highview was added as a defendant in May. Three hedge funds managed by Highview and several entities affiliated with MK Capital Management were named as relief defendants for allegedly holding funds tainted by the Ponzi scheme.
After an evidentiary hearing, the Honorable Janet Bond Arterton, U.S. District Judge for the District of Connecticut, entered an order on June 16 freezing the assets of three hedge funds and ordering that all assets of the funds, including $230 million held in an offshore account, be immediately returned to the U.S.
Judge Arterton had previously frozen the assets of Illarramendi, Highview, MK Capital Management, and several affiliated entities.
In its filing today, the SEC informed the court that the $230 million was received last week and is being held in a bank within the U.S.
The SEC charges Illarramendi, Highview, and Michael Kenwood Capital Management with violating Sections 206(1), 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder, and also charges Highview with violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The following entities are named as relief defendants, alleging that they received investor funds to which they have no right: Highview Point Master Fund, Ltd., Highview Point Offshore, Ltd., and Highview Point LP, Michael Kenwood Asset Management LLC, Michael Kenwood Energy and Infrastructure LLC, and MKEI Solar LP. In addition to preliminary emergency relief, the SEC seeks permanent injunctions, disgorgement of ill-gotten gains plus interest and penalties from the defendants, and disgorgement plus interest from the relief defendants.
Last year, the SEC returned more than $2.2 billion to harmed investors through financial recoveries in SEC enforcement actions.
Carlos J. Costa-Rodrigues, Sofia T. Hussain, Michelle Perillo, and LeeAnn Ghazil Gaunt of the SEC’s Boston Regional Office conducted the investigation following an examination conducted by Zerubbabel Johnson, Stephen M. Latin, Michael D. O’Connell, and Elizabeth Salini. Timothy Geishecker of the SEC’s Office of International Affairs assisted with the investigation. The SEC’s litigation effort is being led by Rua M. Kelly and Kathleen B. Shields. The SEC’s investigation is ongoing.
For more information about this enforcement action, contact: David P. Bergers, Regional Director, SEC’s Boston Regional Office, at (617) 573-8927. (Press Rel. 2011-135)
Commission Orders Hearings on Registration Suspension or Revocation Against Nine Companies for Failure to Make Required Periodic Filings
In conjunction with this trading suspension, the Commission today also instituted two separate public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of nine companies for failure to make required periodic filings with the Commission:
In the Matter of International Poultry Co., Inc. (n/k/a Carley Enterprises, Inc.), et al., Administrative Proceeding File No. 3-14439.
In the Matter of Internet Marketing, Inc., et al., Administrative Proceeding File No. 3-14440.
In the Order, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission.
In these proceedings, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceedings will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in the proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64757; File No. 3-14439 and Rel. 34-64758; File No. 3-14440)
In the Matter of Eddie W. Sawyers
On June 28, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Eddie W. Sawyers (Sawyers). The Order finds that Sawyers was associated with Wachovia as a registered representative from January 2004 to Oct. 14, 2008. While at Wachovia, Sawyers held Series 7, 63, and 66 licenses. On April 15, 2011, a judgment was entered by consent against Sawyers, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933 (“Securities Act”) [15 U.S.C. § 77 q(a)], Section 10(b) of the Exchange Act [15 U.S.C. § 78j(b)] and Rule 10b-5 thereunder [17 C.F.R. § 240.10b-5], and Sections 206(1), 206(2), and 206(4) of the Advisers Act [15 U.S.C. §§ 80b-6(1), (2), & (4)] and Rule 206(4)-8, thereunder [17 C.F.R. § 275.206(4)-8], in the civil action entitled Securities and Exchange Commission v. William K. Harrison, et al., Civil Action Number 3:10-cv-00634, in the United States District Court for the Western District of North Carolina.
The Commission’s complaint alleged the following facts: Between approximately December 2007 and October 2008, Sawyers and his co-defendant William K. Harrison used misrepresentations and omissions of material fact to defraud at least forty-two Wachovia brokerage customers of at least $8 million in customer funds. On or around December 2007, Harrison and Sawyers, acting under the d/b/a “Harrison/Sawyers Financial Services,” began offering their Wachovia customers an investment opportunity that they misrepresented was guaranteed to make a 35% return, with no risk of loss of principal. In those instances when customers were informed that their monies would be used for trading options, Harrison and Sawyers misrepresented the riskiness of their trading strategy by telling customers that they had a foolproof approach to trading options and that their principal investment was secure and would make handsome returns regardless of market volatility. Harrison and Sawyers either opened accounts with optionsXpress in the client’s name or commingled the client’s funds in accounts opened in Harrison’s wife’s name or a joint account in the name of Harrison and his wife. So as to not draw attention to their conduct, Harrison and Sawyers placed “limited trading authorizations” and other related documentation associated with their scheme in the name of Harrison’s wife. Although the trading strategy that Harrison and Sawyers employed was initially successful, it soon resulted in substantial investor losses. By October 2008, they had depleted the vast majority of the money they had raised from investors. On Oct. 13, 2008, Harrison submitted to Wachovia a resignation letter in which he confessed to “misdirecting” $6.6 million from seventeen of his Wachovia customers in order to trade online. He also admitted that he had conducted this online trading without first securing the authorization of these 17 individuals.
Based on the above, the Order bars Sawyers from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and 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. Sawyers 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. 34-64759; IA-3224; File No. 3-14441)
In the Matter of Level Global Investors, L.P.
On June 28, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934 and Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order and Remedial Sanctions (Order) against Level Global Investors, L.P. (Level Global). The Order finds that Level Global, a New York based hedge fund adviser, which is in the process of winding down, violated Rule 105 of Exchange Act Regulation M (Rule 105), which prohibits buying shares of an equity security through a public offering after having sold short the same equity security during a restricted period (generally defined as five business days before the pricing of the offering).
The Order finds that Level Global willfully violated Rule 105 twice during 2009. In April 2009, and again in May 2009, Level Global bought stock through a public offering after it had sold the same stock short within the restricted period. The Commission further found that, at the time of the violations, Level Global had no written policies, procedures or controls in place designed to detect or prevent Rule 105 violations.
Based on the above, the Order censures Level Global and requires the firm to cease and desist from committing or causing any violations and any future violations of Rule 105. Level Global will pay $2,679,515 in disgorgement and $189,656 in prejudgment interest, along with a $375,000 civil monetary penalty. Level Global consented to the issuance of the Order without admitting or denying any of the findings contained therein. (Rel. 34-64763; IA-3225; File No. 3-14443).
In the Matter of Brookside Capital, LLC
On June 28, 2011 the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934 and Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order and Remedial Sanctions (Order) against Brookside Capital, LLC (Brookside). The Order finds that Brookside, a Boston based registered investment adviser and manager of investment funds, violated Rule 105 of Exchange Act Regulation M (Rule 105), which prohibits buying shares of an equity security through a public offering after having sold short the same equity security during a restricted period (generally defined as five business days before the pricing of the offering).
The Order finds that Brookside willfully violated Rule 105 once during 2009. In June 2009, a fund managed by Brookside bought stock through a public offering after changing its investment thesis, even though the same fund had sold the same stock short three days before during the restricted period. The Commission further found that, at the time of the violation, Brookside had no policies, procedures or controls in place designed to detect or prevent Rule 105 violations.
Based on the above, the Order censures Brookside and requires the firm to cease and desist from committing or causing any violations and any future violations of Rule 105. Brookside will pay $1,658,660 in disgorgement and $90,419 in prejudgment interest, along with a $375,000 civil monetary penalty. Brookside consented to the issuance of the Order without admitting or denying any of the findings contained therein. (Rel. 34-64764; IA-3226; File No. 3-14444).
Tiaa-Cref Funds, Et Al.
A notice has been issued giving interested persons until July 18, 2011 to request a hearing on an application filed by TIAA-CREF Funds, et al. for an order under Section 17(d) of the Investment Company Act and Rule 17d-1 under the Act to permit certain joint transactions. The order would permit certain registered open-end investment companies in the same group of investment companies to enter into a special servicing agreement. (Rel. IC-29707 — June 24)
Notice of Applications for Deregistration under the Investment Company Act
For the month of June 2011, a notice has been issued giving interested persons until July 19, 2011, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act declaring that the applicant has ceased to be an investment company:
(Rel. IC-29708 — June 24)
A proposed rule change filed by The NASDAQ Stock Market to amend Rule 7034 regarding co-location fees for additional power and cable options (SR-NASDAQ-2011-086) 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. 34-64744)
A proposed rule change filed by NYSE Amex (SR-NYSEAmex-2011-45) to extend the operation of the Unlisted Trading Privileges 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 June 27. (Rel. 34-64746)
A proposed rule change filed by NASDAQ OMX BX to amend Rule 7034 regarding co-location fees for additional power and cable options (SR-BX-2011-037) 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. 34-64755)
Approval of Proposed Rule Changes
The Commission approved a proposed rule change (SR-BYX-2011-009) submitted by BATS Y-Exchange pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to amend BYX Rule 11.9, entitled “Orders and Modifiers” and BYX Rule 11.13, entitled “Order Execution.” Publication is expected in the Federal Register during the week of June 27. (Rel. 34-64753)
The Commission approved a proposed rule change (SR-BATS-2011-015) submitted by BATS Exchange pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to amend BATS Rule 11.9, entitled “Orders and Modifiers” and BATS Rule 11.13, entitled “Order Execution.” Publication is expected in the Federal Register during the week of June 27. (Rel. 34-64754)
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-8 Tri-Tech Holding, Inc., 16TH FLOOR, TOWER B, RENJI PLAZA NO. 101, JINGSHUN ROAD, CHAOYANG DISTRICT, BEIJING, F4, 100102, (86-10) 57323666 - 0 ($3,547,125.00) Equity, (File 333-175142 - Jun. 27) (BR. 06C) S-1 Advaxis, Inc., TECHNOLOGY CENTRE OF NEW JERSEY, 675 ROUTE 1, NORTH BRUNSWICK, NJ, 08902, 732 545 1590 - 72,666,815 ($10,536,688.18) Equity, (File 333-175145 - Jun. 27) (BR. 01A) S-1 YANEX GROUP, INC., FILDERBAHNPLATZ, 33-1404, STUTTGART, 2M, 70567, 0114917639059436 - 1,500,000 ($75,000.00) Equity, (File 333-175146 - Jun. 27) (BR. ) S-4 DRIVETIME AUTOMOTIVE GROUP INC, 4020 E. INDIAN SCHOOL ROAD, PHOENIX, AZ, 85018, (602) 852-6600 - 0 ($49,000,000.00) Other, (File 333-175147 - Jun. 27) (BR. 02) S-1 Solar America Corp, 1135 HODGES STREET, LAKE CHARLES, LA, 70601, 3372140097 - 6,000,000 ($120,000.00) Equity, (File 333-175148 - Jun. 27) (BR. ) S-3 FIDELITY SOUTHERN CORP, 3490 PIEDMONT RD, STE 1550, ATLANTA, GA, 30305, 4043715500 - 0 ($16,218,997.00) Equity, (File 333-175149 - Jun. 27) (BR. 07C) S-3ASR CARPENTER TECHNOLOGY CORP, 2 MERIDIAN BOULEVARD, WYOMISSING, PA, 19612, 6102082000 - 0 ($0.00) Non-Convertible Debt, (File 333-175150 - Jun. 27) (BR. 06B) S-3ASR AMEREN CORP, 1901 CHOUTEAU AVE, MC 1370, ST LOUIS, MO, 63166-6149, 314-621-3222 - 0 ($173,400,000.00) Equity, (File 333-175151 - Jun. 27) (BR. 02B) S-8 Kallo Inc., 15 ALLSTATE PARKWAY, SUITE 600, MARKHAM, A6, L3R 5B4, (416) 246-9997 - 10,000,000 ($1,500,000.00) Equity, (File 333-175152 - Jun. 27) (BR. 02B) S-8 MADISON AVE. MEDIA, INC., 1515 SO. FEDERAL HWY., SUITE 100, BOCA RATON, FL, 33432, 561-549-3131 - 10,000,000 ($750,000.00) Equity, (File 333-175153 - Jun. 27) (BR. 02C) S-8 Heritage Financial Group Inc, 721 NORTH WESTOVER BOULEVARD, ALBANY, GA, 31707, 229-420-0000 - 573,481 ($6,566,357.00) Equity, (File 333-175154 - Jun. 27) (BR. 07) S-8 National Health Partners Inc, 120 GIBRALTAR RD, SUITE 107, HORSHAM, PA, 19044, 215-682-7114 - 8,000,000 ($108,800.00) Equity, (File 333-175156 - Jun. 27) (BR. 09B) S-3 GMX RESOURCES INC, ONE BENHAM PLACE, SUITE 600, OKLAHOMA CITY, OK, 73114, 4056000711 - 0 ($15,337,254.03) Equity, (File 333-175157 - Jun. 27) (BR. 04C) S-1 Mobile Vault, Inc., 3384 LA CANADA DRIVE, SUITE 1, CAMERON PARK, CA, 95682, 530-409-3181 - 3,000,000 ($30,000.00) Equity, (File 333-175158 - Jun. 27) (BR. ) F-9 BARRICK GOLD CORP, BCE PLACE, CANADA TRUST TOWER, 161 BAY STREET SUITE 3700, TORONTO ONTARIO CANA, A6, M5J2S1, 4163077470 - 0 ($4,000,000,000.00) Non-Convertible Debt, (File 333-175159 - Jun. 27) (BR. 04B) N-2 Triangle Capital CORP, 3700 GLENWOOD AVENUE, SUITE 530, RALEIGH, NC, 27612, 9197194770 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-175160 - Jun. 27) (BR. 16) S-8 Ampio Pharmaceuticals, Inc., 5445 DTC PARKWAY, P4, GREENWOOD VILLAGE, CO, 80111, 303-418-1000 - 4,475,000 ($34,994,500.00) Equity, (File 333-175161 - Jun. 27) (BR. 01B) S-4 EXELON CORP, PO BOX 805398, CHICAGO, IL, 60680-5398, 3123947399 - 201,903,743 ($7,877,502,492.00) Equity, (File 333-175162 - Jun. 27) (BR. 02B) F-1 Trinseo S.A., 1000 CHESTERBROOK BOULEVARD, SUITE 3000, BERWYN, PA, 19312, 610-240-3200 - 0 ($400,000,000.00) Equity, (File 333-175163 - Jun. 27) (BR. 06C) S-3ASR OMEGA HEALTHCARE INVESTORS INC, 200 INTERNATIONAL CIRCLE, SUITE 3500, HUNT VALLEY, MD, 21030, 410-427-1700 - 10,000,000 ($208,900,000.00) Equity, (File 333-175164 - Jun. 27) (BR. 08C) S-8 Primo Water Corp, 104 CAMBRIDGE PLAZA DRIVE, Winston Salem, NC, 27104, 336-331-4000 - 1,037,817 ($13,328,264.86) Equity, (File 333-175165 - Jun. 27) (BR. 02)
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 ABOVENET INC DE 5.02,5.07,9.01 06/23/11 AGENUS INC DE 7.01,9.01 06/27/11 Aircastle LTD D0 7.01,9.01 06/27/11 Alamo Energy Corp. NV 1.01,7.01,9.01 06/21/11 AMERICAN APPAREL, INC DE 5.03,5.07,9.01 06/21/11 AMERICAN CRYOSTEM Corp NV 4.01,9.01 06/22/11 AMERICAN LEARNING Corp NY 2.02,9.01 06/27/11 AMERICAS WIND ENERGY CORP NV 1.01,3.02,7.01,9.01 06/21/11 AMERIGAS PARTNERS LP DE 1.01,1.02,2.03,9.01 06/21/11 AMERIGO ENERGY, INC. DE 1.01,8.01 06/23/11 Amwest Imaging Inc NV 4.01,9.01 06/06/11 AMEND Apple REIT Eight, Inc. VA 8.01 05/27/11 Apple REIT Nine, Inc. VA 8.01 05/27/11 Apple REIT Seven, Inc. VA 8.01 05/27/11 APPLE REIT SIX INC 8.01 05/27/11 Apple REIT Ten, Inc. VA 8.01 05/27/11 Applied Minerals, Inc. DE 3.02 06/27/11 ARADIGM CORP CA 8.01 06/21/11 Archipelago Learning, Inc. DE 8.01,9.01 06/27/11 ARROW ELECTRONICS INC NY 8.01,9.01 06/27/11 AT&T INC. DE 5.03 06/24/11 AVALONBAY COMMUNITIES INC MD 7.01 06/24/11 Bacterin International Holdings, Inc. DE 7.01,9.01 06/27/11 BANCORP RHODE ISLAND INC 5.02,9.01 06/23/11 BANK OF HAWAII CORP DE 5.07 04/22/11 AMEND BankUnited, Inc. DE 8.01,9.01 06/27/11 BAZI INTERNATIONAL, INC. NV 3.02,5.02,9.01 06/22/11 BCSB Bancorp Inc. 5.02 06/23/11 BIOCRYST PHARMACEUTICALS INC DE 5.02,9.01 06/21/11 Blue Moose Media Inc NV 8.01 06/20/11 BORDERS GROUP INC MI 1.01,9.01 06/22/11 BOSTON PROPERTIES INC DE 1.01,2.03,9.01 06/24/11 BOSTON PROPERTIES LTD PARTNERSHIP DE 1.01,2.03,9.01 06/24/11 BreitBurn Energy Partners L.P. DE 5.07 06/23/11 Bridge Capital Holdings CA 8.01,9.01 06/27/11 Bridgepoint Education Inc DE 5.02,9.01 06/21/11 BTHC XV, Inc. DE 4.02 06/23/11 CAMBRIDGE HEART INC DE 5.03,5.07,9.01 06/24/11 Cardinal Ethanol LLC IN 5.07 02/10/11 AMEND Cardium Therapeutics, Inc. DE 1.01,3.02,9.01 06/26/11 CASCADE FINANCIAL CORP WA 8.01,9.01 06/27/11 CASEYS GENERAL STORES INC IA 5.02,9.01 06/23/11 CENTRA FINANCIAL HOLDINGS INC WV 5.02,9.01 06/21/11 CF Industries Holdings, Inc. DE 8.01,9.01 06/24/11 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 06/27/11 CHINA FORESTRY INC NV 5.01,5.02 06/27/11 China Information Technology, Inc. 5.07 06/27/11 China Modern Agricultural Information NV 1.01,9.01 06/21/11 CHINA RECYCLING ENERGY CORP 5.02,5.07,9.01 06/21/11 China Shenghuo Pharmaceutical Holding 5.02,5.07 06/22/11 China TransInfo Technology Corp. NV 8.01 06/27/11 China Youth Media, Inc. DE 1.01,1.02,2.01,3.02, 06/21/11 5.01,5.02,9.01 CIBER INC DE 5.02 06/23/11 CMG HOLDINGS, INC. NV 1.01 06/22/11 AMEND COINSTAR INC DE 5.02,9.01 06/27/11 COLUMBIA LABORATORIES INC DE 7.01,9.01 06/27/11 COMMUNITY BANK SHARES OF INDIANA INC IN 5.03,9.01 06/21/11 COMPLETE GENOMICS INC DE 5.02 06/24/11 COMPLETE GENOMICS INC DE 5.07 06/22/11 COMPUSONICS VIDEO CORP CO 8.01 06/24/11 Computer Graphics International Inc. NV 5.02,9.01 06/24/11 CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 2.01,9.01 06/21/11 CONTINUCARE CORP 1.01,8.01,9.01 06/26/11 COPsync, Inc. DE 5.02 06/27/11 CrowdGather, Inc. NV 7.01,9.01 06/27/11 CTPARTNERS EXECUTIVE SEARCH INC. DE 8.01 06/24/11 CYTEC INDUSTRIES INC/DE/ DE 1.01,2.03,9.01 06/21/11 Cytosorbents Corp 7.01,9.01 06/22/11 DELTA AIR LINES INC /DE/ DE 7.01,9.01 06/27/11 Deyu Agriculture Corp. NV 2.02,7.01,9.01 06/24/11 Discovery Communications, Inc. DE 8.01,9.01 06/24/11 DOLLAR FINANCIAL CORP DE 5.02,9.01 06/24/11 DOLPHIN DIGITAL MEDIA INC NV 8.01,9.01 06/27/11 Dot VN, Inc. DE 8.01,9.01 06/27/11 DUCKWALL ALCO STORES INC KS 5.02,5.03,7.01,9.01 06/21/11 Duke Energy CORP DE 8.01 06/27/11 DURECT CORP DE 5.02,5.07,9.01 06/23/11 EFL OVERSEAS, INC. NV 5.01 06/22/11 Empeiria Acquisition Corp DE 8.01 06/21/11 EMS TECHNOLOGIES INC GA 5.02,9.01 06/23/11 ENBRIDGE ENERGY PARTNERS LP DE 8.01 06/27/11 ENBRIDGE ENERGY PARTNERS LP DE 7.01,9.01 06/27/11 ENER1 INC FL 1.01,9.01 06/27/11 ENVIRONMENTAL CONTROL CORP. 5.02 06/13/11 EPICEPT CORP 5.07,7.01,8.01,9.01 06/27/11 EXAR CORP DE 5.02 06/22/11 Explortex Energy Inc. NV 1.01,9.01 06/27/11 EXPRESS, INC. 5.02 06/23/11 EZENIA INC DE 5.02 06/27/11 FactorShares 2X: Gold Bull/S&P500 Bea 5.03,9.01 06/27/11 FactorShares 2X: Oil Bull/S&P500 Bear 5.03,9.01 06/27/11 FactorShares 2X: S&P500 Bull/TBond Be 5.03,9.01 06/27/11 FactorShares 2X: S&P500 Bull/USD Bear 5.03,9.01 06/27/11 FactorShares 2X: TBond Bull/S&P500 Be 5.03,9.01 06/27/11 Federal Home Loan Bank of Boston X1 3.03,7.01,9.01 06/27/11 Federal Home Loan Bank of Boston X1 5.02 06/25/11 FIRST COMMUNITY CORP /SC/ SC 8.01,9.01 06/24/11 FIRST FEDERAL BANCSHARES OF ARKANSAS TX 5.07,8.01,9.01 06/22/11 FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 06/27/11 FIVE STAR QUALITY CARE INC 5.02 06/22/11 FORD MOTOR CREDIT CO LLC DE 8.01 06/27/11 FOREST LABORATORIES INC DE 9.01 06/27/11 AMEND FORTINET INC 5.02,5.07,9.01 06/23/11 FOUR RIVERS BIOENERGY INC. NV 8.01,9.01 06/27/11 Fuelstream INC DE 5.03,5.07,9.01 06/14/11 AMEND FULTON FINANCIAL CORP PA 8.01,9.01 06/27/11 GameStop Corp. DE 5.02,5.07,8.01,9.01 06/27/11 GBS Enterprises Inc NV 1.01,9.01 06/01/11 GENESCO INC TN 5.07 06/22/11 Gevo, Inc. DE 8.01,9.01 06/27/11 Glen Rose Petroleum CORP DE 4.01,9.01 06/20/11 GLIMCHER REALTY TRUST MD 1.01,2.03,9.01 06/21/11 Government Properties Income Trust MD 9.01 05/24/11 AMEND GSV Capital Corp. MD 8.01,9.01 06/27/11 HAMPTON ROADS BANKSHARES INC VA 8.01,9.01 06/27/11 HANMI FINANCIAL CORP DE 1.01,3.02,8.01,9.01 06/27/11 HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 06/27/11 HeartWare International, Inc. DE 8.01 06/23/11 HeartWare International, Inc. DE 8.01 06/22/11 HEIDRICK & STRUGGLES INTERNATIONAL IN DE 1.01,1.02,2.03,9.01 06/22/11 Helix Wind, Corp. NV 1.01,9.01 06/22/11 Heritage Financial Group Inc MD 5.07 06/22/11 Hines Global REIT, Inc. MD 8.01 06/01/11 Horizon Lines, Inc. 1.01,9.01 06/24/11 Horizon Lines, Inc. 1.01,9.01 06/24/11 Howard Hughes Corp DE 5.07 06/22/11 Hudson Pacific Properties, Inc. MD 9.01 04/29/11 AMEND ICAGEN INC DE 8.01,9.01 06/24/11 ID SYSTEMS INC DE 5.07 06/21/11 IRON MINING GROUP, INC. 1.01 06/21/11 ISABELLA BANK CORP MI 5.02,9.01 06/24/11 JACKSONVILLE BANCORP INC /FL/ FL 7.01,9.01 06/27/11 JACOBS ENTERTAINMENT INC DE 9.01 03/31/11 AMEND JONES LANG LASALLE INC MD 1.01,9.01 06/27/11 KALEIDOSCOPE VENTURE CAPITAL INC. NV 5.02 06/22/11 KILROY REALTY CORP MD 8.01 06/27/11 LIBBEY INC DE 5.02,7.01,9.01 06/22/11 Lincolnway Energy, LLC IA 8.01,9.01 06/23/11 LIQUIDITY SERVICES INC 2.02,9.01 06/27/11 Location Based Technologies, Inc. NV 1.01,9.01 05/11/11 LUMINEX CORP DE 2.01,9.01 06/27/11 MARRIOTT INTERNATIONAL INC /MD/ DE 1.01,2.03,9.01 06/23/11 MDU RESOURCES GROUP INC DE 8.01,9.01 06/27/11 MENDOCINO BREWING CO INC CA 1.01,2.03 06/23/11 MERIDIAN INTERSTATE BANCORP INC 8.01 06/27/11 MERRILL LYNCH DEPOSITOR INC INDEXPLUS DE 8.01,9.01 06/20/11 METROPOLITAN HEALTH NETWORKS INC FL 1.01,8.01,9.01 06/26/11 MFA FINANCIAL, INC. MD 4.01 05/27/11 AMEND MILLENNIA INC NV 1.01,3.02,5.01,5.02, 06/23/11 9.01 MISSION COMMUNITY BANCORP CA 1.01,9.01 06/24/11 MUSTANG GEOTHERMAL CORP 4.01 06/27/11 AMEND MVB FINANCIAL CORP WV 5.02 06/27/11 Naugatuck Valley Financial Corp X1 5.07,8.01,9.01 06/24/11 Naugatuck Valley Financial Corp X1 8.01,9.01 06/27/11 NBC ACQUISITION CORP DE 1.01,1.03,2.02,2.03, 06/27/11 2.04,7.01,9.01 NEPHROS INC DE 1.01,9.01 06/27/11 NEW YORK MORTGAGE TRUST INC MD 7.01,9.01 06/27/11 Nielsen Holdings N.V. P7 7.01 06/27/11 NIKE INC OR 2.02,9.01 06/27/11 NOVADEL PHARMA INC DE 5.07,7.01,8.01,9.01 06/23/11 NUCLEAR SOLUTIONS INC NV 8.01 06/27/11 NxStage Medical, Inc. DE 1.01 06/22/11 Oak Ridge Financial Services, Inc. NC 5.02,9.01 06/20/11 OIL DRI CORP OF AMERICA DE 5.02,8.01,9.01 06/23/11 OLD NATIONAL BANCORP /IN/ IN 5.02 06/27/11 AMEND ONCOSEC MEDICAL Inc NV 1.01,3.02,5.02,9.01 06/21/11 OptimumBank Holdings, Inc. FL 3.01 06/21/11 Orange 21 Inc. DE 1.01,2.03,9.01 06/21/11 ORASURE TECHNOLOGIES INC DE 1.01,9.01 06/24/11 PALMETTO BANCSHARES INC SC 5.03,9.01 06/27/11 PANTRY INC DE 5.02,9.01 06/27/11 PARAMOUNT GOLD & SILVER CORP. 1.01,7.01,9.01 06/23/11 PARK ELECTROCHEMICAL CORP NY 2.02,9.01 06/27/11 PDL BIOPHARMA, INC. DE 7.01,9.01 06/27/11 PERFECTENERGY INTERNATIONAL LTD NV 5.07 06/24/11 PINNACLE WEST CAPITAL CORP AZ 7.01,9.01 06/27/11 PONIARD PHARMACEUTICALS, INC. WA 1.01,5.02,8.01,9.01 06/22/11 PRE PAID LEGAL SERVICES INC OK 5.07,8.01,9.01 06/21/11 PREMIER ALLIANCE GROUP, INC. NV 5.07 06/09/11 PRINCETON REVIEW INC DE 3.01,5.07 06/21/11 PRIVATEBANCORP, INC DE 7.01,9.01 06/27/11 PROGRESS ENERGY INC NC 8.01,9.01 06/27/11 PROTECTIVE LIFE CORP DE 5.02,9.01 02/07/11 PSB Holdings, Inc. 4.01,9.01 06/22/11 QUANTUM SOLAR POWER CORP. 1.01,9.01 06/21/11 RASER TECHNOLOGIES INC UT 8.01 06/22/11 Real Goods Solar, Inc. CO 1.01,2.01,3.02,5.02, 06/21/11 9.01 REGENERON PHARMACEUTICALS INC NY 7.01,9.01 06/27/11 REGIS CORP MN 5.02 06/27/11 RESEARCH FRONTIERS INC DE 7.01 06/23/11 Revett Minerals Inc. A6 5.03,8.01 06/27/11 ROTECH HEALTHCARE INC DE 5.07 06/24/11 ROWAN COMPANIES INC DE 7.01,9.01 06/27/11 ROYAL MINES & MINERALS CORP NV 7.01,9.01 06/23/11 Rubicon Technology, Inc. DE 5.02,5.03,5.07,9.01 06/22/11 RURAL/METRO CORP /DE/ DE 5.07,9.01 06/27/11 Santa Lucia Bancorp CA 1.01,1.02,5.02,9.01 06/21/11 SCHOOL SPECIALTY INC WI 1.02,5.02,9.01 06/27/11 SCHULMAN A INC DE 5.03,9.01 06/23/11 SEMTECH CORP DE 5.07 06/23/11 SENIOR HOUSING PROPERTIES TRUST MD 1.01,1.02,2.03,9.01 06/24/11 Sino American Oil Co NV 7.01,9.01 06/27/11 SLM Student Loan Trust 2010-1 DE 9.01 06/17/11 SLM Student Loan Trust 2010-1 DE 1.01,9.01 06/17/11 Smart-tek Solutions Inc NV 5.03,8.01,9.01 06/27/11 AMEND SmartPros Ltd. DE 5.07 06/23/11 SOUTHERN UNION CO DE 7.01,8.01,9.01 06/25/11 STANDARD MICROSYSTEMS CORP DE 2.02,9.01 06/27/11 STANLEY BLACK & DECKER, INC. CT 7.01,9.01 06/27/11 STIFEL FINANCIAL CORP DE 5.07 06/27/11 STRATEGIC HOTELS & RESORTS, INC 8.01,9.01 06/27/11 STRATS SM TRUST FOR DOMINION RESOURCE DE 8.01,9.01 06/13/11 STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 06/15/11 STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 06/15/11 STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 06/15/11 STRATS SM TRUST FOR U S CELL CORP SEC 8.01,9.01 06/15/11 STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 06/15/11 STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 06/15/11 STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 06/15/11 STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 06/15/11 Sucampo Pharmaceuticals, Inc. 7.01,9.01 06/27/11 SYNTA PHARMACEUTICALS CORP 1.01 06/23/11 SYSTEMAX INC DE 8.01 06/21/11 TANGER FACTORY OUTLET CENTERS INC NC 2.03,7.01,9.01 06/27/11 TE Connectivity Ltd. V8 1.01,1.02,2.03,9.01 06/24/11 TECHE HOLDING CO LA 8.01,9.01 06/21/11 TEEN EDUCATION GROUP, INC. DE 8.01 06/24/11 TELTRONICS INC DE 1.03 06/27/11 THERMOENERGY CORP DE 1.01,9.01 06/17/11 TIDEWATER INC DE 8.01,9.01 06/24/11 TOWER BANCORP INC PA 8.01,9.01 06/27/11 TRANSDEL PHARMACEUTICALS INC DE 1.01,1.03,2.04,9.01 06/26/11 UGI CORP /PA/ PA 1.01,1.02 06/21/11 Umami Sustainable Seafood Inc. NV 2.03 06/21/11 UNIGENE LABORATORIES INC DE 8.01,9.01 06/24/11 Uniontown Energy Inc. NV 7.01,9.01 06/23/11 UNITED STATES CELLULAR CORP DE 5.02,9.01 06/22/11 UNIVERSAL DISPLAY CORP \PA\ PA 5.07 06/23/11 UTSTARCOM INC DE 5.07,8.01,9.01 06/24/11 UV FLU TECHNOLOGIES INC NV 5.03 06/23/11 AMEND VALASSIS COMMUNICATIONS INC DE 7.01,9.01 06/27/11 VANGUARD HEALTH SYSTEMS INC DE 1.01,3.03,5.02,5.03, 01/21/11 8.01,9.01 Vera Bradley, Inc. 5.02,5.07 05/25/11 Verdant Automotive Corp 1.01,3.02 06/20/11 VERENIUM CORP DE 1.01,9.01 06/23/11 Vertro, Inc. DE 1.01,2.03,9.01 06/21/11 VIPER POWERSPORTS INC NV 3.02 06/24/11 VIRCO MFG CORPORATION DE 5.02,5.07,9.01 06/21/11 VIVUS INC CA 7.01,9.01 06/26/11 VORNADO REALTY LP DE 7.01 06/23/11 VORNADO REALTY TRUST MD 7.01 06/23/11 WebMD Health Corp. DE 8.01 06/27/11 WESTBRIDGE RESEARCH GROUP CA 5.07 06/27/11 Westway Group, Inc. DE 1.01,7.01 06/23/11 WII Components, Inc. DE 8.01,9.01 06/24/11 WILLIAMS COMPANIES INC DE 7.01,8.01,9.01 06/27/11 WINNEBAGO INDUSTRIES INC IA 5.02,9.01 06/21/11 WINSONIC DIGITAL MEDIA GROUP, LTD. NV 2.02,7.01 06/27/11 Worldwide Biotech & Pharmaceutical CO DE 5.02 06/22/11 YADKIN VALLEY FINANCIAL CORP NC 5.07 06/23/11 ZION OIL & GAS INC DE 5.02,5.03,5.07,9.01 06/21/11