In the Matter Of David G. Brouwer
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against David G. Brouwer. The Order finds that during 2007 and 2008, Brouwer recommended equity-linked notes to many of his customers. Brouwer told customers that the equity-linked notes were safe when in fact they were not and failed to disclose certain of the investment’s material risks. Brouwer failed to adequately disclose that there was a possibility that the equity-linked notes would convert into the underlying securities at a value less than the invested principal. Further, the Order finds that Brouwer’s recommendations of equity-linked notes were unsuitable for at least two customers, based on their stated risk tolerance, investment objectives and other factors.
Based on the above, the Order bars David G. Brouwer from association with any broker, dealer, investment adviser, municipal securities dealer, municipal adviser, transfer agent, or nationally recognized statistical rating organization, prohibits him 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 affliated person of such investment adviser, depositor, or principal underwriter, bars him 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, and orders him to pay disgorgement of $33,000 and prejudgment interest of $6,137.25 and a civil money penalty in the amount of $33,000. Brouwer is also ordered to cease and desist from committing or causing any violations and any future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. David G. Brouwer consented to the issuance of the Order without admitting or denying any of the findings. (Rel. No. 33-9253; 34-65208; IA- 3265; IC-29771; File No. 3-14516)
Commission Revokes Registration of Securities of International Petroleum Corp. for Failure to Make Required Periodic Filings
On August 29, 2011, the Commission revoked the registration of each class of registered securities of International Petroleum Corp. (International Petroleum) 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, International Petroleum 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 International Petroleum 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-16 thereunder and revoking the registration of each class of International Petroleum’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against International Petroleum in In the Matter of International Butec Industries Corp., et al., Administrative Proceeding File No. 3-14476.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . (Rel. No. 34- 65212; File No. 3-14476).
In The Matter Of Margaret Grey
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) and Notice of Hearing (Order) against Margaret Grey (Grey or Respondent) based upon the entry of a permanent injunction entered against her in the United States District Court for the Central District of California (SEC v. Nova Gen Corp., et al., Civil Action No. CV-09-2711).
In the Order, the Division of Enforcement alleges that on August 2, 2011, the United States District Court for the Central District of California entered a judgment of permanent injunction and other relief against Grey, which permanently enjoined her from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder.
A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to provide the Respondent an opportunity to dispute these allegations, and to determine, what, if any, remedial sanctions are appropriate and in the public interest.
The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of this Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. No. 34-65214; File No. 3-14517).
In the Matter of Shawn A. Icely
The United States Securities and Exchange Commission (Commission) announced the issuance of 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 Shawn A. Icely. The Order finds that on June 20, 2011, a final judgment was entered against Icely, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act and Exchange Act Rule 10b-5, in the civil action entitled Securities and Exchange Commission v. Shawn A. Icely, Civil Action Number 8:10-cv-2363-T17-AEP, in the United States District Court for the Middle District of Florida.
The complaint alleged that from no later than November 2008 through December 2009 Icely, while being registered as a registered representative and registered investment adviser, engaged in a scheme to defraud at least eleven customers by selling their securities and taking approximately $625,000 from their customer accounts. Icely diverted the funds to bank accounts in the name of his company, Icely, Inc. In most instances, Icely facilitated the transfer of customer funds with wire request or IRA distribution forms that were forged, and that falsely stated the funds would be transferred to a bank account in the customer’s name.
Based on the above, the Order bars Icely from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The Order also bars Icely from participating in any offering of a penny stock. Icely consented to the issuance of the Order without admitting or denying any of the findings therein, except as to the entry of the final judgment. (Rel. No. 34- 65215; IA-3266; File No. 3-14518).
In the Matter Of Jay L. Leboeuf
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities and Exchange Act of 1934 Making Findings and Imposing Remedial Sanctions (Order) against Jay L. LeBoeuf.
The Order finds that on June 9, 2011, a final judgment was entered by consent against LeBoeuf, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder in the civil action entitled Securities and Exchange Commission v. Jay L. LeBoeuf and New Castle Energy, LLC, et al., Civil Action Number 11-CV-187-J in the United States District Court for the District of Wyoming. The Commission’s complaint alleged that, in connection with six oil and gas related offerings, LeBoeuf misused and misappropriated investor funds, falsely stated to investors the amount of their funds to be invested, mislead investors as to the returns they would receive, mislead investors regarding a permanent injunction obtained against him by the State of Colorado barring him from selling securities, mislead investors regarding a judgment entered against him in a bankruptcy proceeding where the court found LeBoeuf took advantage of an unsophisticated elderly investor and awarded the investor’s estate $3 million, and otherwise engaged in a variety of conduct which operated as a fraud and deceit on investors. The complaint also alleged that LeBoeuf acted as an unregistered broker-dealer when he actively solicited investors and raised over $500,000 from nine investors in eight different states after his licenses had lapsed.
The Order also finds that on February 28th, 2011, LeBoeuf pled guilty to one count of mail fraud in violation of Title 18 United States Code, Sections 1341 and 1342 before the United States District Court for the of Wyoming, in United States v. Jay L. LeBoeuf, et. al., Crim. Information No. 11-CR-00037. On May 27th 2011, a judgment in the criminal case was entered against LeBoeuf. He was sentenced to a prison term of 30 months followed by 3 years of supervised release and ordered to make restitution in the amount of $492,365.41.
Based on the above, the Order bars LeBoeuf from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The Order also bars LeBoeuf 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. LeBoeuf consented to the issuance of the Order without admitting or denying any of the findings except he admitted the entry of the final judgment in the civil action and the entry of a judgment in the criminal matter. (Rel. No. 34- 65216; File No. 3-14519).
In the Matter Of Matthew Crisp
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 (Order) against Matthew Crisp.
The Division of Enforcement alleges that Respondent Matthew Crisp exploited undisclosed conflicts of interest for his personal gain. While working as a partner and fiduciary of Adams Street Partners, LLC (“Adams Street”), a registered investment adviser to multiple private equity funds, Crisp and a friend secretly formed a private investment vehicle called AV Partners LP. Crisp then usurped from Adams Street’s funds, for AV Partners, a lucrative investment opportunity in a private company. Crisp concealed the misappropriation with misrepresentations and omissions regarding multiple material facts. Moreover, Crisp further enriched himself with a personal payment of $150,000 during a later buyout of the same private company. That money should have gone to Adams Street to reduce the fees due from its private equity funds. Crisp’s deceit also secured for AV Partners a second investment opportunity in another private company in which Adams Street’s funds invested. Further, Crisp attempted to arrange a second payout to AV Partners from that same company. Although later forced to repay some of the money, Crisp initially profited by over $2 million from this conduct, at the expense of Adams Streets and its private equity funds.
Based on the above, the Division alleges that Crisp willfully violated, or in the alternative aided and abetted and caused violations of, Sections 206(1), 206(2) and 206(4) of the Advisers Act and Rule 206(4)-8 thereunder, and that he willfully violated Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. (Rel. No. 34-65217; IA-3267, IC-29772; File No. 3-14520).
Commission Orders Hearing on Registration Suspension or Revocation Against Seven Public Companies For Failure to Make Required Periodic Filings
Today the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the seven issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law 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 Administrative Law Judge in the proceeding 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 this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. No. 34-65218; File No. 3-14521).
Approval of Proposed Rule Changes
The Commission granted approval of a proposed rule change submitted by NASDAQ OMX PHLX LLC (SR-PHLX-2011-90) pursuant to Section 19(b)(1) and Rule 19b-4 under the Securities Exchange Act of 1934 relating to board of director qualifications. Publication of the proposal is expected in the Federal Register during the week of August 29th. (Rel. No. 34-65201).
A proposed rule change filed by Chicago Mercantile Exchange, Inc. (CME) to amend certain rules to facilitate clearing of additional interest rate swap products (File No. SR-CME-2011-05) has been approved on an accelerated basis pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of August 29th. (Rel. No. 34-65202).
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NASDAQ OMX PHLX LLC to change the name and modify the contents of the PSX Ouch BBO Feed (SR-Phlx-2011-120) 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 August 29th. (Rel. 34-65203).
A proposed rule change (SR-NYSEArca-2011-60) filed by NYSE Arca LLC adding new Commentary .02 to NYSE Arca Options Rule 6.77 to provide for the nullification of reported trades by mutual agreement of the parties thereto 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 August 29th. (Rel. 34-65191).
A proposed rule change (SR-NYSEAmex-2011-62) filed by NYSE Amex LLC adding new Commentary .02 to NYSE Amex Options Rule 965NY to provide for the nullification of reported trades by mutual agreement of the parties thereto 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 August 29th. (Rel. 34-65192).
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-1 Bazaarvoice Inc, 3900 N. CAPITAL OF TEXAS HIGHWAY, SUITE 300, AUSTIN, TX, 78746, 512-732-9990 - 0 ($86,250,000.00) Equity, (File 333-176506 - Aug. 26) (BR. ) S-1 VITAMIN BLUE, INC., 1005 WEST 18TH STREET, COSTA MESA, CA, 92627, 949-645-4591 - 16,450,000 ($32,900.00) Equity, (File 333-176507 - Aug. 26) (BR. 09) S-8 Primerica, Inc., 3120 BRECKINRIDGE BLVD., DULUTH, GA, 30099, 7703811000 - 0 ($39,200,000.00) Equity, (File 333-176508 - Aug. 26) (BR. 01A) S-1 GOFF, CORP, 9 NOF COMMERCIAL CENTER INDUSTRIAL PARK, OLD MALLOW RD, CORK CITY, L2, 000, 353861044784 - 7,090,000 ($70,900.00) Equity, (File 333-176509 - Aug. 26) (BR. ) S-8 SFN Group Inc., 2050 SPECTRUM BLVD, FT LAUDERDALE, FL, 33309-3008, 9543087600 - 2,000,000 ($27,940,000.00) Equity, (File 333-176510 - Aug. 26) (BR. 11A) S-8 CATO CORP, 8100 DENMARK ROAD, CHARLOTTE, NC, 28273-5975, 7045517352 - 10,000,000 ($10,000,000.00) Debt, (File 333-176511 - Aug. 26) (BR. 09B) S-3 EPICEPT CORP, 777 OLD SAW MILL RIVER RD., TARRYTOWN, NY, 10591, 914-606-3500 - 0 ($25,000,000.00) Equity, (File 333-176512 - Aug. 26) (BR. 01A) S-8 CHOICEONE FINANCIAL SERVICES INC, 109 E DIVISION, P O BOX 186, SPARTA, MI, 49345-0186, 6168877366 - 50,000 ($625,000.00) Equity, (File 333-176513 - Aug. 26) (BR. 07A) S-1 Location Based Technologies, Inc., 4989 E. LA PALMA AVE., ANAHEIM, CA, 92807, 800-615-0869 - 59,054,079 ($53,148,672.00) Equity, (File 333-176514 - Aug. 26) (BR. 05C) S-1 GRAYBAR ELECTRIC CO INC, 34 N MERAMEC AVE, ST LOUIS, MO, 63105, 3145129200 - 877,000 ($17,540,000.00) Equity, (File 333-176515 - Aug. 26) (BR. 10B) S-4 James River Coal CO, 901 E. BYRD STREET, SUITE 1600, RICHMOND, VA, 23219, 804-780-3000 - 275,000,000 ($275,000,000.00) Equity, (File 333-176516 - Aug. 26) (BR. 04B) S-8 Ardea Biosciences, Inc./DE, 4939 DIRECTORS PLACE, SAN DIEGO, CA, 92121, 858-652-6500 - 0 ($28,284,455.00) Equity, (File 333-176517 - Aug. 26) (BR. 01A) S-8 AGENT155 MEDIA CORP., 30 DENVER CRES, SUITE 200, TORONTO, A6, M2J 1G8, 646-770-5518 - 2,500,000 ($125,000.00) Equity, (File 333-176519 - Aug. 26) (BR. 02C) S-4 Horizon Lines, Inc., 4064 COLONY ROAD, SUITE 200, CHARLOTTE, NC, 28211, 704-973-7000 - 0 ($50,000,000.00) Equity, 0 ($280,000,000.00) Other, (File 333-176520 - Aug. 26) (BR. 05A) S-1 Dynamic Offshore Resources, Inc., 1301 MCKINNEY, SUITE 900, HOUSTON, TX, 77010, (713) 728-7840 - 0 ($400,000,000.00) Equity, (File 333-176521 - Aug. 26) (BR. )
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 11 GOOD ENERGY INC DE 1.01,8.01,9.01 07/11/11 AMEND ADEN SOLUTIONS INC. NV 5.02,9.01 04/21/11 AMEND ADHEREX TECHNOLOGIES INC 5.02,8.01,9.01 08/25/11 ADVANCE AUTO PARTS INC DE 5.02 08/23/11 AGILYSYS INC OH 5.02,9.01 08/22/11 AIVTECH INTERNATIONAL GROUP CO. NV 5.02 08/23/11 ALIMERA SCIENCES INC DE 5.02 08/23/11 AMARU INC NV 5.03,9.01 08/15/11 American Caresource Holdings, Inc. DE 8.01 08/22/11 American Exploration Corp NV 1.01,9.01 08/18/11 AMERICAN LITHIUM MINERALS, INC. 1.01,9.01 08/18/11 AMERICAS CARMART INC TX 5.02,9.01 11/13/09 AMEND AMERIGON INC MI 5.02,5.03,9.01 08/24/11 AMERIGON INC MI 2.02,9.01 08/24/11 AMKOR TECHNOLOGY INC DE 5.07 05/03/11 AMEND ANADYS PHARMACEUTICALS INC 5.02 08/25/11 ANCHOR BANCORP WISCONSIN INC WI 5.02 08/01/11 ANIXTER INTERNATIONAL INC DE 8.01,9.01 08/24/11 AOL Inc. DE 5.02 08/24/11 APPLE INC CA 5.02 08/24/11 ARKANSAS BEST CORP /DE/ DE 5.02,9.01 08/22/11 ASBURY AUTOMOTIVE GROUP INC DE 5.02,9.01 08/26/11 ASSURED GUARANTY LTD D0 8.01 08/25/11 ASSURED GUARANTY LTD D0 8.01,9.01 08/26/11 ATMEL CORP DE 1.01 08/22/11 AUTHENTIDATE HOLDING CORP DE 5.02,5.07,9.01 08/23/11 AVNET INC NY 1.01,2.03,9.01 08/25/11 BAETA CORP NJ 1.01,7.01,9.01 08/25/11 BANCFIRST CORP /OK/ OK 7.01 08/26/11 Bank of the Carolinas CORP NC 5.02 08/23/11 BAZI INTERNATIONAL, INC. NV 7.01,9.01 08/25/11 BEACON ENTERPRISE SOLUTIONS GROUP INC NV 7.01,9.01 08/26/11 BEESTON ENTERPRISES LTD NV 1.01 08/26/11 BELK INC 2.02,9.01 08/25/11 BELK INC 5.07 05/25/11 AMEND BioRestorative Therapies, Inc. NV 1.01,8.01,9.01 08/22/11 CABELAS INC DE 5.07 06/08/11 AMEND CABOT CORP DE 1.01,2.03 08/26/11 CANO PETROLEUM, INC 8.01 08/22/11 CENTRAL VALLEY COMMUNITY BANCORP CA 1.01,3.02,9.01 08/23/11 CENTURYLINK, INC LA 5.07 05/18/11 AMEND CF Industries Holdings, Inc. DE 5.02 08/22/11 China Agricorp, Inc NV 1.01,2.01,3.02,5.01, 02/11/11 AMEND 5.02,5.03,9.01 China YCT International Group, Inc. FL 1.01,2.01,5.01,9.01 08/15/11 CINCINNATI FINANCIAL CORP OH 1.01,9.01 08/25/11 CIT GROUP INC DE 1.01,1.02,2.03,9.01 08/25/11 CITIZENS HOLDING CO /MS/ MS 7.01,9.01 08/25/11 COCA-COLA ENTERPRISES, INC. DE 8.01 08/26/11 COLOMBIA CLEAN POWER & FUELS, INC NV 1.01,3.02,5.02 08/22/11 Colt Defense LLC DE 5.02 08/25/11 COMERICA INC /NEW/ 1.01,5.02,8.01,9.01 08/22/11 CommonWealth REIT MD 9.01 08/26/11 COMPUWARE CORP MI 5.02,5.07 08/23/11 CONCEPTUS INC DE 1.01,2.03,9.01 08/25/11 CORE HEALTH CARE NETWORK, INC. 4.01 08/22/11 Corporate Capital Trust, Inc. MD 1.01,2.03,8.01,9.01 08/22/11 CREENERGY Corp NV 5.02 08/24/11 CRYO CELL INTERNATIONAL INC DE 5.02,9.01 08/24/11 DAKTRONICS INC /SD/ SD 5.07 08/24/11 DAVITA INC DE 8.01 08/26/11 DEX ONE Corp DE 3.01,9.01 08/23/11 Dialogic Inc. DE 5.02,9.01 08/26/11 DIGAGOGO VENTURES CORP DE 1.02 08/25/11 DIGAGOGO VENTURES CORP DE 5.06,9.01 08/24/11 AMEND DIRECT INSITE CORP DE 5.02 08/22/11 DreamWorks Animation SKG, Inc. 5.02 08/23/11 DTE ENERGY CO MI 8.01 08/23/11 Duke Energy CORP DE 5.07,8.01 08/23/11 DYNEGY INC. DE 7.01,9.01 08/26/11 ECO VENTURES GROUP, INC. NV 4.01,9.01 08/16/11 ECO VENTURES GROUP, INC. NV 2.01,9.01 07/26/11 AMEND EMAGIN CORP DE 3.01 08/23/11 Emdeon Inc. DE 5.02,9.01 08/23/11 EMULEX CORP /DE/ DE 5.02 08/22/11 ENOVA SYSTEMS INC CA 2.02,9.01 08/24/11 AMEND EPLUS INC DE 8.01 08/22/11 Fairmount Bancorp, Inc. MD 1.01,9.01 08/24/11 FedFirst Financial Corp 5.02,9.01 08/23/11 FIRST MARINER BANCORP MD 3.01 08/25/11 FLAGSTAR BANCORP INC MI 5.02 08/23/11 FORTUNE BRANDS INC DE 8.01,9.01 08/26/11 FRISCHS RESTAURANTS INC OH 2.06,9.01 08/23/11 FULLCIRCLE REGISTRY INC NV 1.01,8.01,9.01 08/25/11 FUNCTION (X) INC. DE 3.02,8.01,9.01 08/25/11 FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.03,9.01 08/25/11 GOLDMAN SACHS GROUP INC DE 9.01 08/26/11 Greenwood Gold Resources, Inc. NV 1.02 08/25/11 GULF POWER CO ME 8.01 08/23/11 Gulf United Energy, Inc. NV 1.01,9.01 08/26/11 HALLIBURTON CO DE 8.01 08/25/11 HCC INSURANCE HOLDINGS INC/DE/ DE 8.01,9.01 08/26/11 HCC INSURANCE HOLDINGS INC/DE/ DE 5.02,5.07 08/25/11 AMEND HECLA MINING CO/DE/ DE 8.01 08/10/11 Hines Global REIT, Inc. MD 5.07,7.01,9.01 08/23/11 HINES REAL ESTATE INVESTMENT TRUST IN 5.07,7.01,9.01 08/23/11 HMG COURTLAND PROPERTIES INC DE 5.07 08/25/11 HOOKER FURNITURE CORP VA 5.02,9.01 08/22/11 HORIZON BANCORP /IN/ IN 1.01,3.02,3.03,5.02, 08/25/11 5.03, 9.01 ImmunoCellular Therapeutics, Ltd. DE 5.02 08/22/11 Industrial Income Trust Inc. MD 1.01,2.01,2.03, 08/25/11 8.01, 9.01 INTERNATIONAL SILVER INC AZ 9.01 08/25/11 INTERPUBLIC GROUP OF COMPANIES, INC. DE 5.02 08/22/11 IRELAND INC. NV 5.02,8.01,9.01 08/24/11 ITERIS, INC. DE 8.01 08/25/11 KBR, INC. DE 8.01,9.01 08/26/11 KEY ENERGY SERVICES INC MD 5.07 08/25/11 AMEND KeyOn Communications Holdings Inc. DE 9.01 06/10/11 AMEND Kirin International Holding, Inc. NV 1.01,2.01,9.01 03/01/11 AMEND LAKES ENTERTAINMENT INC MN 1.01,9.01 08/23/11 LANDAUER INC DE 8.01,9.01 08/26/11 Legend Mining Inc. 2.03,9.01 08/26/11 LEVIATHAN MINERALS GROUP INC. DE 1.01,2.01,3.02,5.01, 08/22/11 5.02,5.03,5.06,9.01 Li3 Energy, Inc. NV 1.01,3.02,8.01,9.01 08/24/11 LNB BANCORP INC OH 7.01,9.01 08/23/11 Lone Star Gold, Inc. NV 8.01,9.01 08/11/11 LTV CORP DE 8.01,9.01 08/22/11 LV Futures Fund L.P. DE 1.02 08/18/11 MACC PRIVATE EQUITIES INC DE 1.01,9.01 08/26/11 Madison Square Garden Co DE 2.02,9.01 08/26/11 MANNATECH INC TX 8.01 08/22/11 MARTHA STEWART LIVING OMNIMEDIA INC DE 5.02 08/26/11 MedPro Safety Products, Inc. NV 5.07 08/23/11 Meritage Futures Fund L.P. DE 1.02 08/18/11 MINISTRY PARTNERS INVESTMENT COMPANY, 5.02,9.01 08/19/11 MORGAN STANLEY SMITH BARNEY SPECTRUM NY 1.02 08/18/11 MSB FINANCIAL CORP. X1 2.02,9.01 08/26/11 MTS SYSTEMS CORP MN 5.02,8.01,9.01 08/25/11 MUTUALFIRST FINANCIAL INC MD 1.01,3.02,3.03,5.02, 08/26/11 5.03,8.01,9.01 National CineMedia, Inc. DE 5.02,9.01 08/24/11 NAVARRE CORP /MN/ MN 1.01,5.02,9.01 04/06/11 AMEND NCR CORP MD 1.01,1.02,2.01, 08/22/11 2.03,9.01 NEOPROBE CORP DE 5.02 08/23/11 NEW CENTURY BANCORP INC NC 5.03,5.07,9.01 08/23/11 NEW FRONTIER MEDIA INC CO 5.07 08/25/11 NEWS CORP 8.01,9.01 08/26/11 NIVS IntelliMedia Technology Group, I DE 8.01 08/07/11 NORFOLK SOUTHERN CORP VA 8.01,9.01 08/26/11 NORTH SPRINGS RESOURCES CORP. NV 5.06,9.01 08/25/11 NORTHWEST INDIANA BANCORP IN 8.01,9.01 08/26/11 Nuance Communications, Inc. DE 2.01,9.01 06/15/11 AMEND Nuance Communications, Inc. DE 2.02,9.01 06/16/11 AMEND Oilsands Quest Inc 8.01,9.01 08/26/11 OLD LINE BANCSHARES INC MD 7.01 08/25/11 ORRSTOWN FINANCIAL SERVICES INC PA 5.02,9.01 08/25/11 OXYGEN BIOTHERAPEUTICS, INC. DE 5.02,9.01 08/24/11 AMEND P&F INDUSTRIES INC DE 8.01 08/23/11 PATHFINDER BANCORP INC DE 5.02 08/26/11 PETROHAWK ENERGY CORP DE 3.01,3.03,4.01,5.02, 08/25/11 5.03,9.01 PG&E CORP CA 8.01 08/26/11 PHARMATHENE, INC DE 5.02,7.01 08/22/11 PRIVATE MEDIA GROUP INC NV 1.03 08/25/11 PROSPECT CAPITAL CORP MD 5.03,9.01 08/24/11 ProText Mobility, Inc. DE 1.01,3.02,9.01 08/24/11 PROVIDENT NEW YORK BANCORP DE 5.02 08/25/11 PVF CAPITAL CORP OH 2.02,9.01 08/26/11 Q LOTUS HOLDINGS INC NV 1.01,2.03,9.01 08/24/11 QLOGIC CORP DE 5.07 08/25/11 Quanex Building Products CORP DE 2.02,7.01,9.01 08/25/11 QUANTUM SOLAR POWER CORP. 5.02 08/23/11 QUIDEL CORP /DE/ DE 5.07 05/10/11 AMEND RED ROCK PICTURES HOLDINGS, INC 5.02 08/26/11 Redpoint Bio CORP 5.02,9.01 08/25/11 Rhino Resource Partners LP DE 9.01 06/10/11 AMEND Roadrunner Transportation Systems, In DE 1.01,9.01 08/23/11 Rosetta Resources Inc. DE 5.07 08/25/11 AMEND ROWAN COMPANIES INC DE 7.01,9.01 08/26/11 RYLAND GROUP INC MD 8.01 08/26/11 S1 CORP /DE/ DE 8.01,9.01 08/25/11 ShengdaTech, Inc. 3.01,7.01,9.01 08/22/11 SHILOH INDUSTRIES INC DE 5.01 08/26/11 Silverhill Management Services Inc DE 1.01,2.01,3.02,5.01, 08/25/11 5.02,5.06,9.01 SINGLE TOUCH SYSTEMS INC DE 8.01,9.01 08/22/11 SinoCubate, Inc NV 5.06 05/23/11 SMITH A O CORP DE 2.01,9.01 08/22/11 SOLERA HOLDINGS, INC DE 9.01 06/14/11 AMEND STARBUCKS CORP WA 8.01 08/22/11 SUNOCO LOGISTICS PARTNERS L.P. DE 1.01,1.02 08/22/11 SUNOVIA ENERGY TECHNOLOGIES INC NV 1.02,5.02,9.01 08/24/11 TERRA NITROGEN CO L P /DE DE 5.02 08/22/11 Terreno Realty Corp MD 1.01,2.03,9.01 08/23/11 TESCO CORP 5.02 08/22/11 TETRA TECHNOLOGIES INC DE 8.01,9.01 08/22/11 TEXAS CAPITAL BANCSHARES INC/TX 8.01,9.01 08/24/11 Texas Rare Earth Resources Corp. NV 7.01,9.01 08/25/11 TIFFANY & CO DE 2.02,9.01 08/26/11 TMST, Inc. MD 7.01,9.01 08/24/11 TMX Finance LLC DE 2.02,9.01 08/23/11 TOMI Environmental Solutions, Inc. FL 5.02 08/23/11 TOYOTA MOTOR CREDIT CORP CA 7.01,9.01 08/26/11 Transcept Pharmaceuticals Inc DE 8.01 08/24/11 TWO RIVERS WATER Co CO 7.01 08/24/11 United Community Bancorp X1 2.02,9.01 08/23/11 UNITED SECURITY BANCSHARES INC DE 5.07 08/09/11 AMEND United States 12 Month Natural Gas Fu 7.01,9.01 08/26/11 United States 12 Month Oil Fund, LP 7.01,9.01 08/26/11 United States Brent Oil Fund, LP DE 7.01,9.01 08/26/11 United States Commodity Index Funds T DE 7.01,9.01 08/26/11 United States Gasoline Fund, LP DE 7.01,9.01 08/26/11 United States Heating Oil Fund, LP DE 7.01,9.01 08/26/11 United States Natural Gas Fund, LP 7.01,9.01 08/26/11 United States Oil Fund, LP DE 7.01,9.01 08/26/11 United States Short Oil Fund, LP DE 7.01,9.01 08/26/11 UNIVERSAL DISPLAY CORP \PA\ PA 1.01,1.02,9.01 08/22/11 URBAN OUTFITTERS INC PA 8.01,9.01 08/25/11 UROLOGIX INC MN 5.02 08/23/11 VALASSIS COMMUNICATIONS INC DE 5.02,9.01 08/22/11 VARIAN MEDICAL SYSTEMS INC DE 1.01,2.03,9.01 08/26/11 VIAD CORP DE 5.02,9.01 08/25/11 ViewPoint Financial Group Inc. MD 8.01,9.01 08/26/11 Warner Chilcott plc 5.02,9.01 08/26/11 Westway Group, Inc. DE 5.02 08/22/11 WIZZARD SOFTWARE CORP /CO CO 3.01,7.01,9.01 08/22/11 XCEL ENERGY INC MN 8.01 08/18/11 XCEL ENERGY INC MN 5.02 08/22/11 Yacht Finders, Inc. DE 4.01,9.01 08/26/11 ZION OIL & GAS INC DE 8.01,9.01 08/26/11