SEC Charges Former Consulting Executive and Friend With Insider Trading Ahead of Biotech Takeovers
The Securities and Exchange Commission today charged a former global consulting firm executive and his friend who once worked on Wall Street with insider trading on confidential information about impending takeovers of two biotechnology companies.
The SEC alleges that Scott Allen learned confidential information in advance of the acquisitions of Millennium Pharmaceuticals Inc. and Sepracor Inc. through his work at a global consulting firm that was advising the acquiring Japanese companies as they made cash tender offers. Allen allegedly tipped his longtime friend John Michael Bennett, an independent filmmaker who had previously worked at a Wall Street investment bank, as each acquisition took shape. On the basis of the nonpublic information, Bennett purchased thousands of dollars in call options in the companies and also tipped his business partner at the independent film company they co-own. The insider trading by Bennett and his tippee generated more than $2.6 million in illicit profits. Allen received cash from Bennett in exchange for the tips.
In a parallel action, the U.S. Attorney’s Office for the Southern District of New York today announced the unsealing of criminal charges against Allen and Bennett.
“Allen sold his clients’ secret information to a dear friend for easy cash, thinking they wouldn’t get caught,” said George S. Canellos, Director of the SEC’s New York Regional Office. “We will continue pursue every angle of investigation to uncover and punish this type of betrayal of trust.”
According to the SEC’s complaint filed in federal court in Manhattan, Allen and Bennett have been close friends for more than 15 years. Their scheme allegedly began in February 2008 as Allen first learned about the Millennium transaction through his work at the consulting firm, where he is no longer employed. Allen communicated with Bennett about the Millennium and Sepracor transactions through either phone calls or in-person meetings, some of which are tracked through their simultaneous use of Metrocards at subway stations in New York City and ATM withdrawals of cash made by Bennett prior to those meetings.
The SEC alleges that Allen first obtained nonpublic information about the Millennium transaction in mid-February 2008 when his firm began advising Japan-based Takeda Pharmaceutical Company during its negotiations with Millennium. Allen tipped Bennett with inside information concerning Takeda’s impending cash tender offer to acquire Millennium’s shares. For instance, after Allen received an evening e-mail on February 27 from a Takeda representative stating that the contemplated offer was for “23, potentially 24 per share,” he called Bennett just minutes later and then twice again that evening. Bennett then called his business partner. More calls took place the following day, and then on February 29 and continuing up until the week prior to the April 10 public announcement of the acquisition, Bennett and his business partner began amassing Millennium call options. The price of Millennium shares increased more than 48 percent after the public announcement, and beginning that afternoon Bennett and his business partner sold their entire positions of Millennium call options for ill-gotten gains of more than $602,000 and $1.12 million respectively.
According to the SEC’s complaint, Allen later was participating in his employer’s due diligence work in May 2009 for Japanese firm Dainippon Sumitomo Pharma Co. Ltd. (DSP) in connection with its impending acquisition of Sepracor. Allen again tipped Bennett with inside information about the upcoming transaction. In the months leading up to the September 3 public announcement that DSP had agreed to acquire Sepracor through a cash tender offer, Bennett purchased thousands of dollars worth of call options in Sepracor and again tipped his business partner who did the same. Following the public announcement, Sepracor’s stock price rose more than 26 percent. Both Bennett and his business partner then liquidated their Sepracor holdings for ill-gotten profits of more than $516,000 and $388,000 respectively.
The SEC’s complaint names Bennett’s wife as a relief defendant for the purposes of seeking disgorgement of unlawful profits in brokerage accounts that Bennett held jointly with her.
The SEC’s complaint charges Scott Allen and John Michael Bennett with violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Section 14(e) of the Exchange Act and Rule 14e-3 thereunder. The complaint seeks a final judgment permanently enjoining the defendants from future violations of these provisions of the federal securities laws and ordering them to disgorge their ill-gotten gains plus prejudgment interest and pay financial penalties.
The SEC’s investigation was conducted by Charles D. Riely and Amelia A. Cottrell of the SEC’s Market Abuse Unit in New York and Layla Mayer of the SEC’s New York Regional Office. The SEC acknowledges the assistance of the U.S. Attorney’s Office for the Southern District of New York, Federal Bureau of Investigation, and Options Regulatory Surveillance Authority.
The SEC’s investigation is continuing.
For more information about this enforcement action, contact: George S. Canellos, Director, New York Regional Office, (212) 336-1020 or Sanjay Wadhwa, Associate Director, New York Regional Office and Deputy Chief, Market Abuse Unit at (212) 336-0181. (Press Rel. 2011-183)
Implementation and Amendment of Exemptions
The Commission issued a final rule to exempt portions of three new systems of records, “Tips, Complaints, and Referrals (TCR) Records (SEC-63)”, “SEC Security in the Workplace Incident Records (SEC-64)”, and “Investor Response Information System (IRIS) (SEC-65)”, from provisions of the Privacy Act to the extent that the records contain investigatory materials compiled for law enforcement purposes; and to make technical amendments to its inventory of exempted systems of records. Publication is expected in the Federal Register during the week of September 19. (Rel. PA-47)
In the Matter of Gregory S. Schaefer
An Administrative Law Judge has issued an Order Making Findings and Imposing Remedial Sanctions by Default (Default Order) in Gregory S. Schaefer, Admin. Proc. No. 3-14435. The Order Instituting Proceedings (OIP) alleged that Respondent Gregory S. Schaefer (Schaefer) made misrepresentations to investors and diverted proceeds of three unregistered securities offerings to enrich himself and others. The OIP further stated that, on July 12, 2010, the U.S. District Court for the Southern District of New York entered a final judgment by default against Schaefer, permanently enjoining him from future violations, and from aiding and abetting future violations, of several antifraud provisions of the federal securities laws.
The Default Order finds the allegations of the OIP to be true and concludes that, pursuant to Section 15(b)(6)(A) of the Securities Exchange Act of 1934, it is in the public interest to bar Schaefer from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, and nationally recognized statistical rating organization. (Rel. 34-65278; File No. 3-14435)
In the Matter of Wayne A. Pratt, CPA
On September 14, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against Wayne A. Pratt, CPA. The Order finds that Pratt is a certified public accountant licensed in the State of Arizona, and was the Chief Financial Officer of Syntax-Brillian Corporation from at least November 2005 through September 2007.
The Order further finds that on September 1, 2011, a final judgment was entered against Pratt, by consent, enjoining him from future violations of Section 17(a) of the Securities Act of 1933 and Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 10b-5, 13a-14, 13b2-1, and 13b2-2, and aiding and abetting violations of Sections 10(b), 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act and Exchange Act Rules 10b-5, 12b-20, 13a-1, 13a-11, and 13a-13, and ordering him to pay disgorgement of $88,000 representing his executive bonus compensation received while participating in the fraud, $17,000 in prejudgment interest, and a $90,000 civil money penalty.
Based on the above, the Order suspends Wayne A. Pratt from appearing or practicing before the Commission as an accountant with the right to apply for reinstatement after a period of five years. Pratt 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. 34-65340; AAE Rel. 3320; File No. 3-14549)
In the Matter of James Davis Risher
On September 14, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing (Order) against James Davis Risher based upon his guilty plea before the United States District Court for the Middle District of Florida in the criminal action entitled United States v. James Davis Risher, Case No. 8:11-CR-343-T-23TGW.
In the Order, the Division of Enforcement alleges that on September 9, 2011, Risher pled guilty to one count of mail fraud, one count of money laundering, and one count of engaging in an illegal monetary transaction. The counts of the criminal information alleged, among other things, that Risher defrauded investors and obtained money and property by means of materially false and misleading statements which caused investors to invest their funds with him in a purported private equity fund.
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. IA-3278; File No. 3-14550)
Final Judgment of Disgorgement, Prejudgment Interest and Civil Penalty Entered Against Defendant Donald R. McKelvey
The Commission announced that on July 26, 2011, the United States District Court for the Middle District of Florida entered a final judgment of disgorgement, prejudgment interest and civil penalty against Defendant Donald R. McKelvey. The final judgment orders McKelvey to pay disgorgement in the amount of $266,780, prejudgment interest in the amount of $127,711.82, and imposes a civil penalty of $50,000. Previously, on January 6, 2011 the Court entered a judgment of permanent injunction and other relief against McKelvey.
The Commission began this action by filing its complaint on June 5, 2009, against Wall Street Communications, Inc., Howard Scala, Ross Barall, and McKelvey, charging them with securities fraud in connection with a series of stock manipulation schemes and a fraudulent, unregistered distribution of stock. [SEC v. Wall Street Communications, Inc., et al., Civil Action No. 8:09-CV-1046-JSM-TGW (M.D. Fla.)] (LR-22091)
SEC Files Injunctive Action Against James O’Reilly, James P. Mcaluney, and Martin Cutler
The Securities and Exchange Commission announced the filing of a complaint in federal district court against James O’Reilly (O’Reilly), James P. McAluney (McAluney), and Martin Cutler (Cutler) (collectively, “Defendants”). The complaint alleges that O’Reilly, McAluney, and Cutler were the managers and control persons involved in a series of fraudulent and unregistered offerings in Shale Synergy, LLC (Shale), Shale Synergy II, LLC (Shale II), and Ranch Rock Properties, LLC (Ranch Rock).
The Complaint alleges that from at least December 2007 until July 2009, Defendants solicited funds from investors through a series of Rule 506 Regulation D offerings of membership interests in Shale, Shale II and Ranch Rock. The Defendants raised approximately $16 million from about 130 investors. The companies were to generate returns of from 7.5% to 9% a quarter from investments in oil and gas interests purchased by Shale, Shale II and Ranch Rock. However, instead of purchasing oil & gas assets, approximately $13 million of the funds raised from investors were transferred to Joseph S. Blimline (Blimline) and various Blimline-controlled entities. Throughout Defendants’ solicitations, Blimline acted as a secret partner. Defendants never disclosed Blimline’s involvement and control, or his past securities disciplinary action to investors.
According to the Commission’s complaint filed in U.S. District Court for the Eastern District of Texas, the Defendants falsely represented to investors that Shale would acquire the promissory notes issued by two Blimline entities and acquire substantially all of the entities’ underlying assets. The Complaint alleges that, the defendants failed to disclose that investor funds of Shale, Shale II, and Ranch Rock would be commingled to pay expenses, and that Blimline would be making all investment decision.
The Complaint further alleges that although Shale failed to make its December 2008 investor distributions, the Defendants continued to solicit investors for Shale II and Ranch Rock without disclosing the financial difficulties at Shale.
The Commission’s complaint seeks to enjoin the defendants from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder and civil penalties. [SEC v. James O’Reilly, James P. McAluney, and Martin Cutler, Case No. 4:11-cv-592 (E.D. Texas)] (LR-22092)
Golub Capital BDC, Inc., et al.
An order has been issued on an application filed by Golub Capital BDC, Inc. (Company), et al. for an order under Section 6(c) of the Investment Company Act for an exemption from Sections 18(a) and 61(a) of the Act. The order permits the Company to adhere to a modified asset coverage requirement. (Rel. IC-29786 - September 13)
Investment Managers Series Trust, et al.
A notice has been issued giving interested persons until October 11, 2011, to request a hearing on an application filed by Investment Managers Series Trust, et al., for an order exempting applicants from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (Rel. IC-29787 - September 13)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by EDGA Exchange, Inc. (SR-EDGA-2011-30) to amend EDGA By-Laws to, among other things, provide the Nominating Committee with additional responsibilities, 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 September 19. (Rel. 34-65328)
A proposed rule change filed by EDGX Exchange, Inc. (SR-EDGX-2011-29) to amend EDGX By-Laws to, among other things, provide the Nominating Committee with additional responsibilities, 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 September 19. (Rel. 34-65329)
A proposed rule change filed by NASDAQ OMX BX, Inc. (SR-BX-2011-064) to amend the BOX Fee 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 September 19. (Rel. 34-65337)
Proposed Rule Change
The Options Clearing Corporation (OCC) filed a proposed rule change (SR-OCC-2011-12) under Section 19(b)(1) of the Securities Exchange Act of 1934 to adopt fitness standards for directors, clearing members, and others. Publication is expected in the Federal Register during the week of September 19. (Rel. 34-65338)
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 EYES ON THE GO, INC., 60 BROADWAY, PH 12, BROOKLYN, NY, 11211, 908-229-4933 - 0 ($273,529.31) Equity, (File 333-176820 - Sep. 14) (BR. 09) S-8 Writers Group Film Corp, 8200 WILSHIRE BLVD., SUITE 200, BEVERLY HILLS, CA, 90211, 310-461-3737 - 2,750,000 ($22,000.00) Equity, (File 333-176822 - Sep. 14) (BR. 05B) S-8 HEMACARE CORP /CA/, 15350 SHERMAN WAY, SUITE 350, VAN NUYS, CA, 91406, 818-226-1968 - 1,000,000 ($300,000.00) Equity, (File 333-176823 - Sep. 14) (BR. 09A) S-3 MOTORCAR PARTS AMERICA INC, 2929 CALIFORNIA STREET, TORRANCE, CA, 90503, 3109724015 - 0 ($150,000,000.00) Equity, (File 333-176824 - Sep. 14) (BR. 10B) S-4 AMKOR TECHNOLOGY INC, 1900 SOUTH PRICE ROAD, CHANDLER, AZ, 85248, 480-821-5000 - 400,000,000 ($400,000,000.00) Non-Convertible Debt, (File 333-176825 - Sep. 14) (BR. 10A) S-3ASR O REILLY AUTOMOTIVE INC, 233 S PATTERSON AVE, SPRINGFIELD, MO, 65802, 417-829-5878 - 0 ($0.00) Non-Convertible Debt, (File 333-176829 - Sep. 14) (BR. 02C) S-3 UNITED STATES CELLULAR CORP, 8410 W BRYN MAWR AVE, STE 700, CHICAGO, IL, 60631, 7733998900 - 0 ($342,000,000.00) Debt, (File 333-176833 - Sep. 14) (BR. 11A) S-8 AMERICAN SCIENTIFIC RESOURCES INC, 1112 WESTON ROAD, UNIT 278, WESTON, FL, 33326, (847) 386-1384 - 5,000,000 ($500,000.00) Equity, (File 333-176834 - Sep. 14) (BR. 10A) S-3ASR TELEPHONE & DATA SYSTEMS INC /DE/, 30 NORTH LASALLE STREET, STE 4000, CHICAGO, IL, 60602, 3126301900 - 0 ($0.00) Debt, (File 333-176835 - Sep. 14) (BR. 11A) S-1 Massive Dynamics, Inc., 320 OTERO, NEWPORT BEACH, CA, 92660, 310-200-5199 - 530,000 ($53,000.00) Equity, (File 333-176836 - Sep. 14) (BR. 07) S-8 GREAT PLAINS ENERGY INC, 1200 MAIN ST., KANSAS CITY, MO, 64106, 8165562200 - 3,000,000 ($56,205,000.00) Equity, (File 333-176840 - Sep. 14) (BR. 02B) S-11 Ares Commercial Real Estate Corp, TWO NORTH LASALLE STREET, STE 925, CHICAGO, IL, 60602, 312.324.5900 - 0 ($250,000,000.00) Equity, (File 333-176841 - Sep. 14) (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 21ST CENTURY HOLDING CO FL 5.07 09/13/11 8X8 INC /DE/ DE 1.01,9.01 09/11/11 A. H. Belo CORP DE 5.02,9.01 09/12/11 ACCENTIA BIOPHARMACEUTICALS INC 7.01,9.01 09/14/11 ADA-ES INC CO 1.01,7.01,8.01,9.01 09/09/11 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 09/13/11 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 09/13/11 Ally Auto Assets LLC DE 1.01,8.01,9.01 09/14/11 Alto Group Holdings Inc. NV 1.02 09/05/11 AMEND AMEDISYS INC DE 7.01,9.01 09/14/11 AMERICAN EXPRESS CO NY 7.01 09/14/11 AMERICAN PUBLIC EDUCATION INC DE 7.01 09/14/11 American Realty Capital Properties, I MD 8.01,9.01 09/08/11 AMERICAN VANGUARD CORP DE 8.01,9.01 09/14/11 AMHN, Inc. UT 1.01,3.02,9.01 09/08/11 Asia Carbon Industries, Inc. MD 7.01,9.01 09/12/11 ASSOCIATED BANC-CORP WI 7.01,9.01 09/14/11 ATOMIC PAINTBALL INC 3.02,5.02,9.01 08/08/11 AUTOZONE INC NV 1.01,2.03 09/13/11 AVIS BUDGET GROUP, INC. DE 7.01,9.01 09/14/11 Bancorp, Inc. 8.01,9.01 09/14/11 Bankrate, Inc. DE 5.02,9.01 09/14/11 BERKLEY W R CORP DE 5.07 05/17/11 AMEND BigBand Networks, Inc. DE 5.02 09/07/11 AMEND BIOMODA INC/NM 3.02,3.03,5.01,5.03, 08/22/11 9.01 Blueknight Energy Partners, L.P. DE 3.03,5.02,5.03,5.07, 09/14/11 7.01,9.01 BLYTH INC DE 5.07 06/09/11 AMEND BODY CENTRAL CORP 5.02 09/08/11 Bohai Pharmaceuticals Group, Inc. NV 4.02 09/13/11 BOISE INC. DE 8.01,9.01 09/14/11 BORDERS GROUP INC MI 5.02 09/09/11 BOSTON PROPERTIES INC DE 8.01,9.01 09/14/11 BRANDYWINE REALTY TRUST MD 5.07 06/01/11 AMEND BROADCOM CORP CA 8.01,9.01 09/13/11 BROWN SHOE CO INC NY 7.01,9.01 09/13/11 Burlington Coat Factory Investments H 7.01,9.01 09/13/11 BUTLER NATIONAL CORP DE 2.02,9.01 09/14/11 Cadista Holdings Inc. DE 5.02 09/12/11 CAI International, Inc. 1.01,2.03,9.01 09/09/11 CAMPBELL FUND TRUST DE 5.02 09/14/11 Campbell Global Trend Fund, L.P. DE 5.02 09/14/11 CAMPBELL STRATEGIC ALLOCATION FUND LP DE 5.02 09/14/11 CAPITAL ONE FINANCIAL CORP DE 7.01 09/14/11 CapLease, Inc. 2.01,9.01 09/08/11 Caribou Coffee Company, Inc. MN 5.02 09/12/11 Castle Brands Inc FL 5.07,8.01,9.01 09/12/11 CHARMING SHOPPES INC PA 7.01,9.01 09/12/11 Cheniere Energy Partners, L.P. DE 7.01,9.01 09/14/11 CHINA SECURITY & SURVEILLANCE TECHNOL DE 5.07,8.01,9.01 09/14/11 CITADEL BROADCASTING CORP DE 8.01 09/13/11 Clean Energy Fuels Corp. DE 7.01 09/14/11 Constant Contact, Inc. DE 8.01 09/09/11 Corporate Capital Trust, Inc. MD 1.01,2.02,9.01 09/12/11 Crystal Rock Holdings, Inc. DE 2.02,9.01 09/14/11 CUMMINS INC IN 8.01 09/14/11 DATARAM CORP NJ 2.02,9.01 09/14/11 DAVE & BUSTERS INC MO 2.02,9.01 09/13/11 DDR CORP OH 5.03,9.01 09/13/11 DEL TORO SILVER CORP. NV 4.01 09/07/11 DELTA NATURAL GAS CO INC KY 1.01 09/12/11 DENTSPLY INTERNATIONAL INC /DE/ DE 9.01 08/31/11 AMEND DGSE COMPANIES INC NV 7.01,9.01 09/14/11 DGT Holdings Corp. NY 1.01,8.01,9.01 09/12/11 Diamond Resorts Corp MD 9.01 09/14/11 DIGAGOGO VENTURES CORP DE 5.06,9.01 09/12/11 AMEND DIODES INC /DEL/ DE 7.01,9.01 09/12/11 Dividend Capital Total Realty Trust I 7.01 09/07/11 DOLLAR GENERAL CORP TN 1.01,8.01,9.01 09/08/11 ECOLOGY COATINGS, INC. NV 3.02 09/14/11 eHealth, Inc. DE 5.07 09/08/11 AMEND EL PASO ELECTRIC CO /TX/ TX 8.01 09/13/11 ELEPHANT TALK COMMUNICATIONS INC CA 7.01,9.01 09/14/11 ENCORE CAPITAL GROUP INC DE 5.02,9.01 09/13/11 EPLUS INC DE 5.07 09/13/11 EVERGREEN ENERGY INC DE 7.01,9.01 09/14/11 FEDERATED INVESTORS INC /PA/ PA 1.01,2.03 09/09/11 FEEL GOLF CO INC CA 9.01 12/04/10 AMEND First Sentry Bancshares, Inc. WV 8.01 09/14/11 First Titan Corp. FL 5.02 09/13/11 FIRST TRUST/ABERDEEN EMERGING OPPORTU 7.01,9.01 09/14/11 FIRST TRUST/ABERDEEN GLOBAL OPPORTUNI 7.01,9.01 09/14/11 FMC CORP DE 7.01,9.01 09/14/11 FOX PETROLEUM INC. NV 2.01,2.03,2.05,5.02 09/13/11 FREDERICK'S OF HOLLYWOOD GROUP INC /N NY 5.02,9.01 09/08/11 FS Energy & Power Fund DE 2.02,9.01 09/13/11 FS Investment CORP MD 2.02,9.01 09/13/11 Full Circle Capital Corp MD 8.01,9.01 09/14/11 GBS Enterprises Inc NV 7.01,9.01 09/12/11 GBS Enterprises Inc NV 4.02,9.01 09/14/11 General Moly, Inc DE 5.02,8.01,9.01 09/12/11 GENTEX CORP MI 5.07 05/12/11 AMEND GLOBAL NUTECH, INC. 5.03,7.01,8.01,9.01 09/14/11 Globalstar, Inc. DE 3.01,9.01 09/12/11 GOLDMAN SACHS GROUP INC DE 9.01 09/14/11 Great Lakes Dredge & Dock CORP DE 7.01,9.01 09/14/11 Green Energy Management Services Hold DE 5.02 09/08/11 Green Plains Renewable Energy, Inc. IA 1.01,9.01 09/09/11 Greenhouse Solutions Inc. NV 8.01 09/12/11 GRYPHON GOLD CORP NV 5.07 09/08/11 HANCOCK FABRICS INC DE 2.02,9.01 09/13/11 Hines Global REIT, Inc. MD 8.01 08/25/11 Horizon Technology Finance Corp DE 8.01,9.01 09/14/11 HOST HOTELS & RESORTS, INC. MD 8.01,9.01 01/01/10 Inland Diversified Real Estate Trust, MD 1.01,8.01,9.01 09/08/11 INNOSPEC INC. DE 8.01 09/13/11 Insight Management Corp FL 8.01 09/09/11 INSIGNIA SYSTEMS INC/MN MN 8.01 09/08/11 INTEL CORP DE 7.01,9.01 09/14/11 INTERNATIONAL ISOTOPES INC TX 3.03,8.01 09/08/11 JACKSONVILLE BANCORP INC /FL/ FL 2.02,9.01 09/14/11 JAKKS PACIFIC INC DE 8.01,9.01 09/14/11 KEMET CORP DE 7.01,9.01 09/14/11 KID BRANDS, INC NJ 5.02,8.01,9.01 09/12/11 KV PHARMACEUTICAL CO /DE/ DE 1.01,5.02,5.07 09/08/11 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 09/14/11 LANDEC CORP \CA\ CA 1.02,7.01,9.01 09/09/11 LATTICE SEMICONDUCTOR CORP DE 7.01,9.01 09/14/11 LAW ENFORCEMENT ASSOCIATES CORP NV 5.02 09/14/11 LEHMAN ABS CORP BCKD TR CRTS TOYS R U DE 8.01,9.01 09/01/11 LEHMAN ABS CORP KINDER MORGAN DEBEN B DE 8.01,9.01 09/01/11 LGL GROUP INC DE 7.01,9.01 09/14/11 LILLY ELI & CO IN 5.07 04/18/11 AMEND LML PAYMENT SYSTEMS INC A1 1.01,9.01 09/12/11 LUBRIZOL Corp OH 8.01,9.01 09/14/11 MACK CALI REALTY CORP MD 5.02,9.01 09/14/11 MACK CALI REALTY CORP MD 5.07 05/24/11 AMEND MADISON EXPLORATIONS, INC. NV 5.02 09/13/11 MANHATTAN BRIDGE CAPITAL, INC NY 5.07 09/09/11 MEDL Mobile Holdings, Inc. NV 7.01,9.01 09/14/11 MEXCO ENERGY CORP CO 5.02,5.03,5.07,9.01 09/14/11 MFA FINANCIAL, INC. MD 5.02 09/09/11 MILLER HERMAN INC MI 8.01 09/14/11 MOTORCAR PARTS AMERICA INC NY 9.01 09/13/11 NATIONAL PRESTO INDUSTRIES INC WI 8.01,9.01 09/09/11 NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 2.02,9.01 09/14/11 NAVISTAR INTERNATIONAL CORP DE 7.01 09/14/11 NETLOGIC MICROSYSTEMS INC DE 8.01,9.01 09/13/11 NEUROCRINE BIOSCIENCES INC CA 8.01,9.01 09/13/11 NEVADA GOLD & CASINOS INC NV 2.01,9.01 07/23/10 AMEND NEWMARKET CORP VA 8.01 09/13/11 NEWS CORP 8.01,9.01 09/14/11 NGP Capital Resources Co MD 7.01,9.01 09/14/11 NTS REALTY HOLDINGS LP DE 8.01,9.01 09/13/11 ONEOK Partners LP DE 7.01,9.01 09/12/11 Opko Health, Inc. DE 3.01,7.01,9.01 09/14/11 OPTICAL CABLE CORP VA 2.02,9.01 09/12/11 Oritani Financial Corp DE 8.01,9.01 09/14/11 OSIRIS THERAPEUTICS, INC. DE 1.01,9.01 09/09/11 PARKERVISION INC FL 8.01,9.01 09/14/11 PATTERSON COMPANIES, INC. MN 5.02,5.07,9.01 09/14/11 PCS EDVENTURES COM INC ID 7.01,9.01 09/14/11 PEABODY ENERGY CORP DE 8.01 09/08/11 PediatRx Inc. NV 1.01,8.01,9.01 09/12/11 PEERLESS SYSTEMS CORP DE 2.02,9.01 09/14/11 PEOPLESTRING CORP DE 1.01,7.01,9.01 09/06/11 PEP BOYS MANNY MOE & JACK PA 5.02,9.01 09/10/11 PEPSICO INC NC 5.02,7.01,9.01 09/08/11 PETROQUEST ENERGY INC DE 8.01 09/13/11 Pharmasset Inc 8.01,9.01 09/13/11 Piedmont Office Realty Trust, Inc. MD 5.02,8.01,9.01 08/31/11 PIZZA INN INC /MO/ MO 9.01 09/14/11 PMC COMMERCIAL TRUST /TX TX 5.07 09/09/11 AMEND PPG INDUSTRIES INC PA 5.02 09/12/11 PRO DEX INC CO 2.02,5.02,9.01 09/14/11 PROSPERITY BANCSHARES INC TX 8.01,9.01 09/13/11 PURE CYCLE CORP CO 5.02 09/12/11 Q LOTUS HOLDINGS INC NV 1.01,2.03,9.01 09/12/11 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 2.02,9.01 09/14/11 RDA Holding Co. 5.02,9.01 09/08/11 READING INTERNATIONAL INC NV 4.01,9.01 09/08/11 RFS HOLDING LLC 1.01,8.01,9.01 09/12/11 ROBERTSON GLOBAL HEALTH SOLUTIONS COR NV 1.01,2.03,9.01 09/09/11 Samson Oil & Gas LTD C3 2.02,9.01 09/13/11 SCHAWK INC 8.01,9.01 09/13/11 SCIENTIFIC INDUSTRIES INC DE 8.01 09/13/11 SED INTERNATIONAL HOLDINGS INC 2Q 2.02,9.01 09/14/11 SILLENGER EXPLORATION CORP. NV 1.01,3.02 09/14/11 SINGLE TOUCH SYSTEMS INC DE 8.01,9.01 09/06/11 SINOCOKING COAL & COKE CHEMICAL INDUS FL 8.01,9.01 09/14/11 SIRIUS XM RADIO INC. DE 7.01,9.01 09/14/11 SITESEARCH CORP 1.01,9.01 09/08/11 SMITH & WESSON HOLDING CORP NV 7.01,9.01 09/13/11 AMEND SOLUTIA INC DE 7.01,9.01 09/14/11 SOVRAN SELF STORAGE INC MD 1.01,9.01 09/14/11 Spartan Gold Ltd. 1.01,3.02,9.01 09/07/11 Spirit Airlines, Inc. DE 1.01 09/08/11 SRI SURGICAL EXPRESS INC FL 8.01,9.01 09/14/11 SSI Investments II Ltd L2 2.02,9.01 09/13/11 Strategic Storage Trust, Inc. MD 7.01,9.01 09/14/11 SUN HYDRAULICS CORP FL 8.01,9.01 09/12/11 SURMODICS INC MN 7.01,9.01 09/14/11 SYNTHESIS ENERGY SYSTEMS INC DE 7.01,9.01 09/14/11 Teavana Holdings Inc 1.01,9.01 09/13/11 TEXTRON INC DE 7.01,8.01,9.01 09/14/11 THERAGENICS CORP DE 5.03,9.01 09/08/11 TRIMAS CORP DE 7.01,9.01 09/14/11 ULURU INC. NV 1.01,3.02,5.03,9.01 09/13/11 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 06/28/11 AMEND US BANCORP \DE\ DE 7.01,9.01 09/14/11 VERIZON COMMUNICATIONS INC DE 7.01 09/14/11 VISCOUNT SYSTEMS INC NV 5.02 09/14/11 VIST FINANCIAL CORP PA 7.01 09/14/11 VISTAPRINT N.V. P7 8.01 09/14/11 VSB BANCORP INC NY 8.01 09/14/11 VSB BANCORP INC NY 8.01 09/14/11 WABASH NATIONAL CORP /DE DE 5.02,9.01 09/08/11 WASHINGTON GAS LIGHT CO DC 8.01 09/09/11 WEST PHARMACEUTICAL SERVICES INC PA 7.01,9.01 09/14/11 World Energy Solutions, Inc. DE 1.01,2.01,9.01 09/13/11 WPCS INTERNATIONAL INC DE 2.02,9.01 09/14/11 WPCS INTERNATIONAL INC DE 7.01,9.01 09/14/11 XFONE INC. NV 8.01,9.01 09/14/11