Closed Meeting on Wednesday, September 21, 2011 at 2:00 p.m.
The subject matter of the Closed Meeting scheduled for Wednesday, September 21, 2011 will be: institution and settlement of injunctive actions; and institution and settlement of administrative proceedings.
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.
In the Matter of Tom Hirsch
An Administrative Law Judge has issued an Initial Decision in Tom Hirsch, Admin. Proc. No. 3-14394 (Sept. 15, 2011) finding that the allegation in the Order Instituting Proceeding are true and that the Respondents were enjoined from future violations of Sections 5 and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rule 10b-5 in SEC v. Radical Bunny, LLC, No. 2:09-CV-01560-SRB (D. Ariz. Apr. 28, 2011). Based on this finding and public interest considerations, the Initial Decision, pursuant to Section 15(b)(6)(A) of the Exchange Act, bars Tom Hirsch, Berta Walder, Howard Walder, and Harish P. Shah from association with any investment adviser, broker, dealer, municipal securities dealer, or transfer agent, and from participating in any penny stock offering. (Initial Decision No. 431; File No. 3-14394)
Commission Sustains NASD Disciplinary Action Against Dennis S. Kaminski
The Commission has sustained disciplinary action taken by NASD against Dennis S. Kaminski, formerly a General Securities Principal and senior executive officer of Mutual Service Corporation (MSC), an NASD member firm. NASD found that Kaminski violated NASD Conduct Rules 3010 and 2110 by failing to supervise MSC's review of the firm's variable annuity offers and sales. NASD suspended Kaminski for eighteen months in all capacities, fined him $50,000, and required that he requalify before acting in any capacity requiring qualification.
The Commission concluded that Kaminski violated NASD rules by failing to supervise MSC's review of the firm's variable annuity offers and sales. The Commission stated that "the result of Kaminski's failure to supervise could have been devastating to the firm or its customers." The Commission found that, given Kaminski's egregious supervisory failure, the sanctions imposed by the NASD achieved the goals of being remedial and deterring future violations, without being excessive or oppressive. (Rel. 34-65347; File No. 3 14054)
In the Matter of Comverse Technology, Inc.
On September 16, 2011, the Commission issued an Order terminating an administrative proceeding against Comverse Technology, Inc. (Comverse), brought under Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act).
An Administrative Law Judge issued an Initial Decision granting the Division of Enforcement’s motion for summary disposition on July 22, 2010, making findings of fact and conclusions of law, and recommending that the registration of each class of Comverse’s registered securities be revoked. Comverse appealed the Initial Decision. While the appeal was pending, Comverse filed with the Commission a comprehensive Form 10-K covering its fiscal years 2005 to 2008 and making restatement adjustments going back to 1991; Forms 10-K for its fiscal years 2009 and 2010, and a Form 10-Q for the first quarter of its fiscal year 2011.
On the basis of a settlement offer from Comverse, the Commission issued an Order on September 8, 2011, making certain findings and requiring Comverse to file, by no later than September 9, 2011, quarterly reports for its three fiscal quarters of 2010 and its quarterly report for the quarter ended July 31, 2011. The September 8, 2011 Order stated that, if Comverse made these filings, and if any noted deficiencies were corrected within five business days, the Commission would enter an Order terminating the proceeding without the requested remedy of revocation. Comverse has now filed the above reports in accordance with the Commission’s September 8th Order.
For further information see:
(Rel. 34-65348; File No. 3-13828)
In the Matter of Matthew R. Jennings
On September 16, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions against Matthew R. Jennings (Jennings). The Order finds that Jennings was the CEO of Westmoore Management, LLC; CEO of Westmoore Capital Management, Inc.; president of Westmoore Partners, Inc.; the general partner of Westmoore Investment, L.P.; and CEO and director of Westmoore Capital, LLC, and that on August 12, 2011 a final judgment was entered by consent against Jennings in SEC v. Westmoore Management, LLC, et al. (Civil Action No. SACV 10-00849 AG (MLGx)), permanently enjoining Jennings from future violations of Sections 5(a) and (c) and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder.
Based on the above, the Order bars Jennings 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, with the right to apply for reentry after five years to the appropriate self-regulatory organization, or if there is none, to the Commission. Jennings consented to the issuance of the Order without admitting or denying any of the Findings except he admitted the entry of the judgment. (Rel. 34-65349; File No. 3-14551)
In the Matter of Vinayak S. Gowrish
On September 16, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 (Order) against Vinayak S. Gowrish, based on the entry of a permanent injunction in the civil action Securities and Exchange Commission v. Vinayak S. Gowrish, Civil Action Number 09-05883(SI) in the United States District Court for the Northern District of California.
On July 15, 2011, the United States District Court for the Northern District of California entered a final judgment permanently enjoining Gowrish from violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.
The Division of Enforcement alleges in the Order that the Commission’s complaint alleged that, from at least December 2006 through May 2007, Gowrish, in breach of a duty owed to his employer, misappropriated material nonpublic information from his employer in connection with TPG’s negotiations to acquire Sabre Holdings Corp. (Sabre), TXU Corp. (TXU), and Alliance Data Systems Corp. (ADS). The complaint further alleged that Gowrish tipped the confidential acquisition information to his long-time friend, Adnan Zaman. Zaman, in turn, tipped the information to their two friends, Pascal S. Vaghar and Sameer N. Khoury. On the basis of the information provided by Gowrish through Zaman, Vaghar and Khoury then traded Sabre, TXU, and ADS securities, realizing approximately $375,000 in illicit profits. The Commission’s complaint alleged that, in exchange for the confidential information, Vaghar provided cash kickbacks to both Gowrish and Zaman. On February 3, 2011, a federal jury found that Gowrish violated Section 10(b) of the Securities Exchange Act of 1934 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, to provide Gowrish an opportunity to dispute the allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest pursuant to Section 203(f) of the Investment Advisers Act of 1940. The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. IA-3279; File No. 3-14552)
Judgments Entered Against Defendants for Distributing Unregistered Shares of Universal Express Inc.
The Securities and Exchange Commission announced that the United States District Court for the Southern District of New York entered summary judgments on September 8, 2011, against defendants Doyle Scott Elliott, Scott Elliott, Inc. (SEI), Robert L. Weidenbaum, and CLX & Associates, Inc (CLX), all of Florida, finding they engaged in an unregistered distribution of billions of shares of Universal Express Inc. (USXP) between February 2004 and June 2007. The judgments enjoined Elliott, SEI, Weidenbaum, and CLX from future violations of the securities registration provisions of Section 5 of the Securities Act of 1933, ordered them to disgorge over $8.6 million in profits plus prejudgment interest and pay third tier penalties equal to their gains, and barred them from participating in penny stock offerings. The court also granted partial summary judgment against the remaining defendants, Michael J. Xirinachs and Emerald Asset Advisors LLC of New York, and set a hearing to resolve the remaining issues for December 6, 2011. The complaint in this case can be reviewed at www.sec.gov. (LR-21197, Sept. 3, 2009)
The Commission previously sued Universal Express, Inc. for violating the securities registration provisions. See SEC v. Universal Express, Inc. et al, 04 Civ-02322 (GEL), (LR-18636 Mar. 24, 2004). [SEC v. Doyle Scott Elliott, Scott Elliott, Inc., Michael J. Xirinachs, Emerald Asset Advisors LLC, Robert L. Weidenbaum, and CLX & Associates, Inc., Case No. 09-cv-7594-RJH-THK (S.D.N.Y.)] (LR-22094)
SEC Settles Disclosure and Accounting Fraud Charges Against Escala Group, Inc.’s Former CFO, Larry Lee Crawford, CPA
The Securities and Exchange Commission announced today that on September 9, 2011, the Honorable Denise Cote of the United States District Court for the Southern District of New York entered a final judgment against Larry Lee Crawford (Crawford) in SEC v. Escala Group, Inc. et al., 09-CV-2646, filed on March 23, 2009, and amended on August 28, 2009 (LR 20965).
The final judgment to which Crawford consented without admitting or denying the allegations in the complaint permanently enjoins him from violation of Section 10(b) of the Exchange Act and Rule 10b-5; violation of Section 13(b)(5) of the Exchange Act and Exchange Act Rules 13b2-1 and 13b2-2; aiding and abetting Escala Group Inc’s violation of Exchange Act Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B), and Rules 12b-20, 13a-1, and13a-13; and violation of Exchange Act Rule 13a-14. It also orders Crawford to pay $164,584.75 in disgorgement, prejudgment interest and penalties, and bars Crawford from serving as an officer or director of a public company for 3 years. [SEC v. Escala Group, Inc., Gregory Manning, and Larry Lee Crawford, CPA, Civil Action No. 09 CV 2646 (S.D.N.Y.)] (LR-22095; AAE Rel. 3321)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NYSE Amex LLC (SR-NYSEAmex-2011-68) relating to the Messages to Contracts Traded Ratio Fee in the Options 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. 34-65341)
A proposed rule change filed by the Chicago Stock Exchange, Inc. (SR-CHX-2011-28) to retroactively waive its order cancellation fee for a limited duration 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. 34-65342)
Approval of Proposed Rule Change
The Commission approved a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2011-48), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to list and trade shares of the Teucrium Wheat Fund, the Teucrium Soybean Fund and the Teucrium Sugar Fund under NYSE Arca Equities Rule 8.200, Commentary .02. Publication is expected in the Federal Register during the week of September 19. (Rel. 34-65344)
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-4 BENIHANA INC, 8685 NW 53RD TERRACE, MIAMI, FL, 33166, 3055930770 - 11,513,078 ($95,328,286.00) Equity, (File 333-176842 - Sep. 15) (BR. 05A) S-1 Enova International, Inc., 200 WEST JACKSON BLVD., CHICAGO, IL, 60606, 312-568-4200 - 0 ($500,000,000.00) Equity, (File 333-176844 - Sep. 15) (BR. ) S-1 GCT SEMICONDUCTOR INC, 2121 RINGWOOD AVENUE, SAN JOSE, CA, 95131, (408) 434-8030 - 0 ($100,000,000.00) Equity, (File 333-176845 - Sep. 15) (BR. ) S-3 EASTERN LIGHT CAPITAL, INC., 100 PINE STREET, SUITE 560, SAN FRANCISO, CA, 94111, 415-693-9500 - 398,351 ($1,035,712.00) Equity, (File 333-176846 - Sep. 15) (BR. 08C) S-3 NEVADA GOLD & CASINOS INC, 50 BRIAR HOLLOW LANE,, SUITE 500W, HOUSTON, TX, 77027, (713) 621-2245 - 0 ($20,000,000.00) Equity, (File 333-176847 - Sep. 15) (BR. 05B) F-3ASR TIM PARTICIPACOES SA, AV. DAS AMERICAS, 3434, BLOCO 1, 7O ANDAR - PARTE, RIO DE JANEIRO - RJ, D5, 22640-102, 551181130582 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-176848 - Sep. 15) (BR. 11A) S-8 WNS (HOLDINGS) LTD, GATE 4, GODREJ & BOYCE COMPLEX, PIROJSHANAGAR, VIKHROLI (W), MUMBAI, K7, 400 079, 91-22-55976100 - 2,200,000 ($22,440,000.00) ADRs/ADSs, (File 333-176849 - Sep. 15) (BR. 03C) S-8 Uni-Pixel, 8708 TECHNOLOGY FOREST PLACE - SUITE 100, THE WOODLANDS, TX, 77381, 281-825-4500 - 1,300,000 ($8,707,250.00) Equity, (File 333-176850 - Sep. 15) (BR. 10C) S-8 PPG INDUSTRIES INC, ONE PPG PL 40 EAST, PITTSBURGH, PA, 15272, 4124343131 - 15,000 ($1,096,800.00) Equity, (File 333-176852 - Sep. 15) (BR. 06C) S-3ASR SEMPRA ENERGY, 101 ASH STREET, P O BOX 129400, SAN DIEGO, CA, 92101, 6196962000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-176855 - Sep. 15) (BR. 02B) S-8 FRANCO NEVADA Corp, EXCHANGE TOWER, 130 KING ST W, SUITE 740, TORONTO, XX, M5X 1E4, 416-306-6306 - 0 ($19,093,200.00) Equity, (File 333-176856 - Sep. 15) (BR. 04) S-3ASR DEERE & CO, ONE JOHN DEERE PLACE, MOLINE, IL, 61265-8098, (309) 765-4968 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-176858 - Sep. 15) (BR. 10A) S-8 SEARS HOLDINGS CORP, 3333 BEVERLY ROAD, HOFFMAN ESTATES, IL, 60179, 847-286-2500 - 0 ($18,770,500.00) Equity, (File 333-176859 - Sep. 15) (BR. 02B) N-2 CREDIT SUISSE HIGH YIELD BOND FUND, ELEVEN MADISON AVENUE, NEW YORK, NY, 10010, 2123252000 - 0 ($5,000,000.00) Equity, (File 333-176860 - Sep. 15) (BR. 17)
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 Access to Money, Inc. OR 5.02 09/15/11 ACORDA THERAPEUTICS INC 5.02,8.01,9.01 09/15/11 ADCARE HEALTH SYSTEMS INC OH 8.01,9.01 09/14/11 ADVANCED ENERGY INDUSTRIES INC DE 5.07 05/04/11 AMEND ADVISORY BOARD CO DE 5.02,5.07,9.01 09/13/11 AE BIOFUELS, INC. NV 1.01 09/09/11 AFS SenSub Corp. 8.01,9.01 09/13/11 AGL RESOURCES INC GA 8.01,9.01 09/15/11 Aircastle LTD D0 7.01,9.01 09/14/11 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 09/15/11 ALLSTATE CORP DE 7.01,9.01 09/15/11 ALTAIR NANOTECHNOLOGIES INC Z4 1.01,7.01,9.01 09/12/11 ALTERA CORP DE 5.02,9.01 09/14/11 AMERICAN EXPRESS CO NY 7.01 09/15/11 American Midstream Partners, LP DE 8.01,9.01 09/14/11 AMERICAN SUPERCONDUCTOR CORP /DE/ DE 7.01 09/14/11 AMERIGROUP CORP 7.01 09/15/11 AMERIPRISE FINANCIAL INC DE 1.01,2.03,9.01 09/09/11 AMERISTAR CASINOS INC NV 8.01,9.01 09/15/11 AMREP CORP. OK 2.02,9.01 09/13/11 ANTARES PHARMA, INC. DE 5.02,7.01 09/09/11 APOGEE ENTERPRISES, INC. MN 2.02,9.01 09/14/11 ARIBA INC DE 8.01 09/13/11 Ascena Retail Group, Inc. DE 2.02,9.01 09/14/11 Ascena Retail Group, Inc. DE 7.01,9.01 09/14/11 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 09/15/11 ASIA TIGERS FUND INC MD 7.01,9.01 09/14/11 ASSOCIATED BANC-CORP WI 3.03,5.03,8.01,9.01 09/13/11 Atrinsic, Inc. DE 5.02,9.01 09/14/11 BAKER HUGHES INC DE 1.01,1.02,2.03,8.01, 09/09/11 9.01 BENIHANA INC DE 2.02,9.01 09/15/11 BGC Partners, Inc. DE 1.01,8.01,9.01 09/09/11 BIOVEST INTERNATIONAL INC DE 7.01,9.01 09/15/11 BIOZONE PHARMACEUTICALS, INC. NV 9.01 06/30/11 AMEND Bizzingo, Inc. NV 5.03,9.01 09/08/11 BLUE CALYPSO, INC. NV 1.01,9.01 09/09/11 BMW Vehicle Owner Trust 2011-A 1.01,9.01 09/12/11 BPZ RESOURCES, INC. TX 7.01,9.01 09/12/11 BRADY CORP WI 2.02,8.01,9.01 09/09/11 BRAZIL GOLD CORP. NV 5.02,7.01,9.01 09/14/11 BRIGHTPOINT INC IN 5.07 05/10/11 AMEND CABELAS INC DE 7.01,9.01 09/15/11 CABOT CORP DE 5.02 09/13/11 CALIFORNIA FIRST NATIONAL BANCORP CA 5.02,9.01 09/09/11 CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 09/14/11 CAPITALSOURCE INC DE 1.01,3.03,8.01,9.01 09/14/11 CAPITOL BANCORP LTD MI 5.02,9.01 09/15/11 CapLease, Inc. 9.01 09/08/11 AMEND CARMAX AUTO FUNDING LLC DE 1.01,8.01,9.01 09/14/11 CAROLINA POWER & LIGHT CO NC 8.01,9.01 09/12/11 CARRIAGE SERVICES INC DE 5.02,9.01 09/13/11 CASEYS GENERAL STORES INC IA 7.01 09/15/11 CASH AMERICA INTERNATIONAL INC TX 7.01,9.01 09/15/11 CATALYST PHARMACEUTICAL PARTNERS, INC DE 5.02,9.01 09/14/11 Celsion CORP DE 5.02 09/10/11 CENTENE CORP 1.01 09/09/11 CENTER FINANCIAL CORP CA 8.01,9.01 09/14/11 Chanticleer Holdings, Inc. 1.01,2.03,9.01 09/12/11 CHARTER FINANCIAL CORP/GA 1.01,2.01,7.01,9.01 09/09/11 CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 09/15/11 CHINA FIRE & SECURITY GROUP, INC. 8.01 09/15/11 China Internet Cafe Holdings Group, I NV 7.01,9.01 09/13/11 CIT GROUP INC DE 8.01,9.01 09/12/11 CITIBANK OMNI-S MASTER TRUST 8.01 09/15/11 CLARCOR INC DE 2.02 09/14/11 Clean Energy Fuels Corp. DE 5.02,9.01 09/12/11 COHU INC DE 5.07 05/11/11 AMEND COLE CORPORATE INCOME TRUST, INC. MD 9.01 09/14/11 AMEND Colfax CORP DE 1.01,2.03,3.02,9.01 09/12/11 COMMAND SECURITY CORP NY 5.07 09/13/11 COMMUNITY BANK SHARES OF INDIANA INC IN 5.03,8.01,9.01 09/09/11 CONAGRA FOODS INC /DE/ DE 1.01,1.02,2.03,9.01 09/14/11 Cooper Industries plc 8.01,9.01 09/15/11 CRACKER BARREL OLD COUNTRY STORE, INC TN 5.02,9.01 09/09/11 CSS INDUSTRIES INC DE 1.01,2.01,9.01 09/09/11 CUMULUS MEDIA INC DE 8.01,9.01 09/14/11 CUMULUS MEDIA INC DE 8.01,9.01 09/15/11 CYTORI THERAPEUTICS, INC. DE 1.01,2.03,3.02,9.01 09/09/11 DAIS ANALYTIC CORP 1.01,5.02,9.01 09/14/11 DEBT RESOLVE INC DE 8.01 09/15/11 DecisionPoint Systems, Inc. DE 5.02,9.01 09/01/11 DELCATH SYSTEMS INC DE 8.01,9.01 09/12/11 DENNYS CORP DE 5.02 09/13/11 Diamond Foods Inc DE 2.02,8.01,9.01 09/15/11 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 09/15/11 DIGITAL POWER CORP CA 5.07 09/12/11 Digital Realty Trust, Inc. 8.01,9.01 09/15/11 Discover Card Execution Note Trust DE 1.01,9.01 09/13/11 DIXIE GROUP INC TN 1.01,1.02,2.03,8.01, 09/14/11 9.01 DIXIE GROUP INC TN 8.01,9.01 09/15/11 Duff & Phelps Corp DE 5.02,9.01 09/13/11 DYCOM INDUSTRIES INC FL 5.02 09/12/11 ECO VENTURES GROUP, INC. NV 7.01 09/15/11 EMMAUS LIFE SCIENCES, INC. DE 5.03,9.01 09/14/11 ENBRIDGE ENERGY PARTNERS LP DE 1.01,8.01,9.01 09/15/11 Energy Transfer Equity, L.P. DE 1.01,9.01 09/14/11 Energy Transfer Partners, L.P. DE 1.01,8.01,9.01 09/14/11 EPICEPT CORP 3.01 09/09/11 EPIQ SYSTEMS INC MO 8.01,9.01 09/15/11 EXTREME NETWORKS INC DE 5.02,9.01 09/13/11 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 5.02 09/15/11 FARMERS NATIONAL BANC CORP /OH/ OH 7.01,9.01 09/15/11 Federal Home Loan Bank of Atlanta X1 2.03 09/15/11 Federal Home Loan Bank of Boston X1 2.03 09/13/11 Federal Home Loan Bank of Chicago X1 2.03 09/12/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 09/13/11 Federal Home Loan Bank of New York X1 2.03,9.01 09/12/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 09/12/11 Federal Home Loan Bank of San Francis X1 2.03 09/12/11 Federal Home Loan Bank of Seattle 2.03 09/12/11 Federal Home Loan Bank of Topeka 2.03,9.01 09/12/11 Forbes Energy Services Ltd. D0 1.01,2.03,9.01 09/09/11 Fortune Brands Home & Security, Inc. DE 1.01,9.01 09/14/11 FORTUNE BRANDS INC DE 1.01,9.01 09/14/11 FreightCar America, Inc. DE 5.07 05/11/11 AMEND Fuelstream INC DE 1.01,3.02,9.01 09/12/11 FX ENERGY INC NV 5.07 09/15/11 FXCM Inc. 7.01,9.01 09/15/11 GAMETECH INTERNATIONAL INC DE 2.02,9.01 09/15/11 GENWORTH FINANCIAL INC DE 5.02 09/13/11 Global Arena Holding, Inc. DE 4.01,9.01 08/01/11 AMEND Global Aviation Holdings Inc. DE 1.01,2.03,3.03,8.01, 09/14/11 9.01 Global Indemnity plc L2 5.02,8.01,9.01 09/15/11 GOLDMAN SACHS GROUP INC DE 9.01 09/15/11 Griffin Capital Net Lease REIT, Inc. 8.01 09/14/11 H&R BLOCK INC MO 1.01,5.07,8.01,9.01 09/13/11 HANDY & HARMAN LTD. DE 1.01,2.03,8.01 09/12/11 HARDINGE INC NY 7.01,9.01 09/15/11 HEARTLAND FINANCIAL USA INC DE 1.01,3.02,3.03,5.03, 09/15/11 8.01,9.01 HEARUSA INC DE 2.01,5.02,5.03,9.01 09/09/11 HORIZON BANCORP /IN/ IN 8.01 09/09/11 AMEND HUDSON CITY BANCORP INC DE 5.07 04/19/11 AMEND HUNT J B TRANSPORT SERVICES INC AR 5.07 04/28/11 AMEND Hybred International, Inc. CO 8.01 09/15/11 IASIS Healthcare LLC DE 1.01 09/15/11 IBERIABANK CORP LA 8.01 09/15/11 Idle Media, Inc. NV 5.02 09/14/11 INDEPENDENT BANK CORP MA 8.01 09/15/11 INDIA FUND INC MD 7.01,9.01 09/14/11 INLAND REAL ESTATE CORP MD 8.01,9.01 09/15/11 INTERNET HOLDRS TRUST NY 8.01,9.01 09/15/11 INTERNET INFRASTRUCTURE HOLDRSSM TRUS NY 8.01,9.01 09/15/11 INTL FCSTONE INC. DE 8.01 09/15/11 JONES SODA CO WA 5.02,9.01 09/09/11 Kat Gold Holdings Corp. NV 8.01 09/15/11 KEMPER Corp DE 8.01,9.01 09/14/11 Kior Inc DE 5.02 09/09/11 Kohlberg Capital CORP DE 8.01,9.01 09/15/11 LANTRONIX INC DE 5.02 09/09/11 LANTRONIX INC DE 2.02,9.01 09/15/11 LAS VEGAS SANDS CORP NV 7.01,9.01 09/15/11 LECROY CORP DE 5.02 09/12/11 LEGGETT & PLATT INC MO 5.02 09/12/11 Limelight Networks, Inc. DE 5.02 09/14/11 Limelight Networks, Inc. DE 5.02 09/10/11 LOTON, CORP NV 5.01,5.02,9.01 09/09/11 MARCUS CORP WI 2.02,9.01 09/15/11 MASTERCARD INC DE 7.01,9.01 09/15/11 MATERIAL SCIENCES CORP DE 8.01,9.01 09/14/11 MAXIMUS INC VA 5.03,9.01 09/14/11 Medical Care Technologies Inc. NV 1.01,2.03,3.02,9.01 09/09/11 MEDICIS PHARMACEUTICAL CORP DE 1.01 09/12/11 MERCER GOLD CORP. NV 7.01,9.01 09/15/11 Mesa Energy Holdings, Inc. DE 7.01,9.01 09/09/11 METHODE ELECTRONICS INC DE 5.07 09/15/11 MIDDLESEX WATER CO NJ 8.01 09/15/11 MILLER ENERGY RESOURCES, INC. 7.01,9.01 09/15/11 MONKEY ROCK GROUP, INC. DE 1.01,5.01,5.02,9.01 09/15/11 MORGAN STANLEY DE 5.02,9.01 09/15/11 MSB FINANCIAL CORP. X1 8.01 09/12/11 Mueller Water Products, Inc. DE 5.02,9.01 09/12/11 MYLAN INC. PA 1.01 09/09/11 NAPCO SECURITY TECHNOLOGIES, INC DE 2.02,9.01 09/12/11 NATHANS FAMOUS INC DE 5.07 09/15/11 National American University Holdings DE 1.01,9.01 09/09/11 NATIONAL BANCSHARES CORP /OH/ OH 2.02 09/15/11 NATIONAL HEALTH INVESTORS INC MD 2.01,9.01 09/15/11 NET TALK.COM, INC. FL 5.02 09/15/11 NETFLIX INC DE 2.02,9.01 09/15/11 NEWS CORP 8.01,9.01 09/15/11 NEXT FUEL, INC. NV 8.01 08/24/11 NORFOLK SOUTHERN CORP VA 1.01,2.03,9.01 09/14/11 NorWesTech, Inc. DE 8.01 09/15/11 NORWOOD FINANCIAL CORP PA 8.01,9.01 09/15/11 O CHARLEYS INC TN 7.01,9.01 09/14/11 OLYMPIC STEEL INC OH 9.01 07/01/11 AMEND ONEOK INC /NEW/ OK 7.01,9.01 09/12/11 ORAMED PHARMACEUTICALS INC. NV 8.01,9.01 09/15/11 Patriot Coal CORP DE 5.02,9.01 09/09/11 PDL BIOPHARMA, INC. DE 8.01,9.01 09/15/11 Pebblebrook Hotel Trust MD 7.01,9.01 09/15/11 PediatRx Inc. NV 3.02,5.02,8.01,9.01 09/15/11 PIER 1 IMPORTS INC/DE DE 2.02,9.01 09/15/11 PLAINSCAPITAL CORP TX 8.01 09/13/11 PLANTRONICS INC /CA/ DE 5.02,9.01 09/14/11 PLUG POWER INC DE 7.01,9.01 09/15/11 PLURISTEM THERAPEUTICS INC NV 7.01,9.01 09/15/11 PMFG, Inc. DE 1.01,2.01,9.01 09/15/11 POINDEXTER J B & CO INC DE 5.02,9.01 09/12/11 POWELL INDUSTRIES INC NV 5.02,9.01 09/14/11 PRIVATE MEDIA GROUP INC NV 1.03,9.01 08/25/11 AMEND PROFESSIONAL VETERINARY PRODUCTS LTD NE 7.01,9.01 09/14/11 PROGENICS PHARMACEUTICALS INC DE 8.01,9.01 09/15/11 PROGRESSIVE CORP/OH/ OH 7.01,9.01 09/15/11 PSM HOLDINGS INC NV 9.01 07/07/11 AMEND RADISYS CORP OR 2.01 07/07/11 AMEND Rand Logistics, Inc. DE 7.01 09/14/11 RED ROCK PICTURES HOLDINGS, INC 8.01,9.01 09/14/11 REGENERON PHARMACEUTICALS INC NY 5.07 09/15/11 AMEND RENTRAK CORP OR 2.02,7.01,9.01 09/15/11 RESEARCH FRONTIERS INC DE 7.01 09/13/11 Rhino Productions, Inc. NV 2.01,3.02,5.06,9.01 09/13/11 ROCKWELL COLLINS INC DE 7.01,9.01 09/14/11 RVUE HOLDINGS, INC. NV 7.01,9.01 09/15/11 Sagebrush Gold Ltd. NV 1.01,5.02,9.01 09/02/11 AMEND SAUER DANFOSS INC DE 8.01,9.01 09/15/11 SAVIENT PHARMACEUTICALS INC DE 5.02,9.01 09/15/11 SEAHAWK DRILLING, INC. DE 7.01,9.01 09/14/11 SEALED AIR CORP/DE DE 7.01,8.01,9.01 09/15/11 ShengdaTech, Inc. 5.02,9.01 09/09/11 SOLIGENIX, INC. DE 8.01,9.01 09/15/11 SOLTA MEDICAL INC DE 1.01,9.01 09/12/11 Southern Products, Inc. NV 8.01 09/14/11 SOUTHERN UNION CO DE 1.01,8.01,9.01 09/15/11 SouthPeak Interactive CORP DE 8.01 09/14/11 Spectra Energy Corp. DE 5.02,9.01 09/09/11 Spectra Energy Partners, LP DE 5.02,9.01 09/09/11 SPECTRANETICS CORP DE 5.02 09/12/11 SPECTRASCIENCE INC MN 7.01,9.01 09/13/11 STEEL DYNAMICS INC IN 8.01,9.01 09/12/11 STEWART ENTERPRISES INC LA 8.01,9.01 09/15/11 SUN HEALTHCARE GROUP INC DE 5.02 09/14/11 Susser Holdings CORP DE 7.01,9.01 09/15/11 TALEO CORP DE 1.01,2.03,9.01 09/12/11 TCF FINANCIAL CORP DE 7.01,8.01,9.01 09/15/11 TERADYNE, INC MA 1.01,8.01,9.01 09/14/11 TESORO CORP /NEW/ DE 5.02 09/10/11 TEXADA VENTURES INC NV 1.01,9.01 09/15/11 TEXAS INSTRUMENTS INC DE 8.01,9.01 09/15/11 THERAVANCE INC DE 8.01,9.01 09/15/11 Transcept Pharmaceuticals Inc DE 7.01,9.01 09/13/11 Transocean Ltd. V8 7.01,9.01 09/15/11 TTM TECHNOLOGIES INC WA 5.07 05/24/11 AMEND ULURU INC. NV 1.01,3.02,5.03,8.01, 09/15/11 AMEND 9.01 UMPQUA HOLDINGS CORP OR 8.01 09/15/11 UNIT CORP DE 1.01,9.01 09/13/11 UNITED RENTALS INC /DE DE 7.01,9.01 09/14/11 URANIUM ENERGY CORP NV 3.02 09/09/11 US ECOLOGY, INC. DE 7.01,9.01 09/15/11 US GEOTHERMAL INC DE 2.03,5.02,5.07,9.01 09/15/11 VANGUARD HEALTH SYSTEMS INC DE 5.02 09/15/11 VASCO DATA SECURITY INTERNATIONAL INC DE 2.06,8.01 09/14/11 VIRCO MFG CORPORATION DE 2.02,9.01 09/14/11 VIROPHARMA INC DE 8.01,9.01 09/14/11 VIRTUSA CORP 2.01,9.01 07/01/11 AMEND VISUALANT INC NV 2.01,9.01 09/15/11 VIVUS INC CA 8.01,9.01 09/15/11 WASHINGTON REAL ESTATE INVESTMENT TRU MD 2.01,9.01 09/13/11 Weatherford International Ltd./Switze V8 5.03,8.01,9.01 09/13/11 WELLS MID-HORIZON VALUE-ADDED FUND I 1.01 09/15/11 Wizard World, Inc. DE 1.01,5.02,9.01 09/14/11 WORLD WRESTLING ENTERTAINMENTINC DE 1.01,2.03,9.01 09/09/11 WRIGHT MEDICAL GROUP INC DE 2.05,2.06,9.01 09/14/11 WRIGHT MEDICAL GROUP INC DE 1.01,7.01,8.01,9.01 09/14/11 X RITE INC MI 5.07 05/18/11 AMEND