Statement from Chairman Schapiro on IG Investigation into Former General Counsel’s Participation in Madoff-Related Matters
The following is a statement from SEC Chairman Mary L. Schapiro on the SEC’s Inspector General’s investigation of the former General Counsel’s participation in Madoff-related matters:
“Last March, after learning about the Trustee’s suit against the Becker estate, I asked for the Inspector General to look into the matter.
I take his report, which was published today, very seriously.
It would be inappropriate for me to comment on the Inspector General’s referral to the Department of Justice.
I do want to state that I’ve known David for many years to be a talented, highly skilled lawyer and a dedicated civil servant who served under three Chairmen.
As the Inspector General recommends, we will seek another vote of the Commission on the question of the SEC’s position on the valuation of Madoff victim accounts.
I believe that the decision the Commission made on that issue was appropriate under the law and in the best interest of investors.
Moving forward, we plan to implement the other recommendations contained in the report as well.”
Link to IG report: http://www.sec.gov/foia/docs/oig-560.pdf
(Press Rel. 2011-187)
In the Matter of Jason Mutascio
On September 19, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions as to Respondent Jason Mutascio (Mutascio). Respondent Mutascio consented to the issuance of the Order without admitting or denying any of the findings in the Order, except as to his guilty plea and Judgment against him.
The Order finds that Mutascio, a registered representative residing in Aventura, Florida, pled guilty to one count of wire fraud before the United States District Court for the Southern District of Florida in U.S. v. Mutascio, Case No. 10-60025-CR-COHN. In his guilty plea, Mutascio admitted that in March 2009, he devised a scheme to defraud one of his clients and to obtain money and property by means of false and fraudulent pretenses, representations, and promises and that, without the permission of his client, he caused the wire transfer of funds in the amount of $44,000 from his client’s brokerage account to bank accounts under his control.
The Order bars Mutascio 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.. (Rel. 34-65351; File No. 3-14437)
In the Matter of Delta Global Advisors Inc. and Charles P. Hanlon
On Sept. 20, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940 as to Delta Global Advisors, Inc. and an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 15(b) 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 as to Charles P. Hanlon (collectively, the Orders). The Orders find that Delta misrepresented its assets under management and eligibility for registration through various means. In addition, the Orders find that Delta did not disclose its precarious financial condition to clients, a court judgment in a breach of fiduciary duty lawsuit filed by one of Delta’s clients, or the fact that FINRA had suspended Hanlon from acting in any registered capacity.
Based on the above, Delta and Hanlon were ordered to cease and desist from committing or causing any violations and any future violations of Sections 203A, 206(1), 206(2), 206(4), and 207 of the Investment Advisers Act of 1940 and Rule 206(4)-1(a)(5) promulgated thereunder; Delta’s registration as an investment adviser was revoked; Hanlon was barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and prohibited from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter, and barred from participating in any offering of a penny stock, with the right to reapply after five years; and, Hanlon was ordered to pay a $50,000 penalty. Delta and Hanlon consented to the issuance of their respective Order without admitting or denying any of the findings, except as to the Commission’s jurisdiction and the subject matter of the proceedings, which were admitted. (Rel. 34-65356; IA-3282; IC-29795; Rel. IA-3283; IC-29796; File No. 3-14329)
In the Matter of Justin William Rifkin
On September 20, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Notice of Hearing (Order) against Justin William Rifkin of Corpus Christi, Texas, who previously resided in Colorado Springs, Colorado.
The proceedings are based on an August 31, 2011, final judgment that enjoined Rifkin from violating Sections 5(a), 5(c), and 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 a civil action entitled Securities and Exchange Commission v. Wellco Energy LLC, et al., Civil Action Number 1:09-CV-1114 (D. Colo.). In the Order, the Division of Enforcement alleges that in connection with sales of fractional undivided interests in four oil and gas projects, Rifkin misrepresented that Wellco Energy LLC was the operator of the four oil and gas projects. The Order alleges that Wellco did not operate the projects and instead purchased fractional undivided interests from another company, which interests it further divided and resold to investors. The Order also alleges Rifkin misrepresented that he had extensive experience operating oil and gas prospects. When in fact, Rifkin’s experience was limited to raising money through sales of other oil and gas projects. He had no experience operating oil and gas wells. The Order further alleges that he also misrepresented the use of investors’ funds and did not disclose he used approximately 42% of investors’ funds to acquire the working interests in the oil and gas wells, but spent the rest on sales commissions and business expenses or for his personal expenses. The Order also alleges that Rifkin sold securities when no registration statement was filed or in effect with the Commission. The Order further alleges Rifkin was not registered or associated with a broker or dealer during the time when he offered and sold the securities at issue in the case.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide the Respondent with an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. The Order requires that the administrative law judge issue an initial decision no later than 210 days from the date of service of the Order. (Rel. 34-65357; File No. 3-14554)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Eight 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 eight companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the eight 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 or 13a-16 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. 34-65359; File No. 3-14555)
Court Freezes Assets Linked to Suspicious Securities Purchases Ahead of Global Industries, Ltd., Acquisition Announcement
On September 16, 2011, the U.S. District Court for the Southern District of New York entered a Temporary Restraining Order freezing assets and trading proceeds of certain unknown purchasers of the securities of Global Industries, Ltd. (the “Unknown Purchasers”). The Commission filed a complaint alleging that the Unknown Purchasers engaged in illegal insider trading in the two trading days immediately preceding the September 12, 2011 public announcement that Technip S.A. (“Technip”), a French company, and Global Industries, Ltd. (“Global”), a company based in Carlyss, Louisiana, had entered into an agreement pursuant to which Technip would offer to acquire all of the outstanding common stock of Global at a price of $8.00 per share, a 55% premium over the closing price of the stock on the trading day preceding the announcement. The Commission’s complaint alleges that the Unknown Purchasers engaged in insider trading, thereby violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The complaint seeks permanent injunctive relief, the disgorgement of all illegal profits, and the imposition of civil money penalties.
The Commission’s complaint alleges that on September 8 and 9, 2011, the Unknown Purchasers bought 685,840 shares of Global common stock in an omnibus account in the name of Raiffeisen Bank International AG Vienna, Austria, at Brown Brothers Harriman & Co., at share prices ranging from $5.14 to $5.39. These purchases accounted for 8.6% and 11.9%, respectively, of the total volume of Global trading on each of the trading days. The closing price for Global common stock on September 9 was $5.15 per share. On the next trading day, September 12, before the U.S. markets opened, the buy-out of Global by Technip was publicly announced. Following the public announcement, Global shares opened at $7.77. The Unknown Purchasers sold all 685,840 shares of Global stock on September 12 at prices ranging from $7.77 to $7.80 per share, realizing a profit of approximately $1,726,809.
The U.S. District Court for the Southern District of New York issued a Temporary Restraining Order freezing the assets relating to the trading; requiring the Unknown Purchasers to identify themselves, imposing an expedited discovery schedule, and prohibiting the defendants from destroying documents. [SEC v. One or More Unknown Purchasers of Securities of Global Industries, Ltd., 11 Civ. 6500 (S.D.N.Y)] (LR-22099)
Legg Mason Partners Equity Trust, et al..
A notice has been issued giving interested persons until October 11, 2011, to request a hearing on an application filed by Legg Mason Partners Equity Trust, et al., for an order under Section 6(c) of the Investment Company Act for an exemption from Rule 12d1-2(a) under the Act. The order would permit open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29789 - September 15)
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 DAIS ANALYTIC CORP, 11552 PROSPEROUS DRIVE, ODESSA, FL, 33556, 5,175,020 ($2,587,510.00) Equity, (File 333-176894 - Sep. 19) (BR. 06B) S-8 8X8 INC /DE/, 810 WEST MAUDE AVENUE, SUNNYVALE, CA, 94085, 4087271885 - 171,974 ($343,948.00) Equity, (File 333-176895 - Sep. 19) (BR. 11A) S-4 SAIC, Inc., 1710 SAIC DRIVE, MCLEAN, VA, 22102, 703-676-4300 - 0 ($750,000,000.00) Non-Convertible Debt, (File 333-176896 - Sep. 19) (BR. 03C) S-1 FX Alliance Inc., 909 THIRD AVENUE, 10TH FLOOR, NEW YORK, NY, 10022, (646) 268-9900 - 0 ($100,000,000.00) Equity, (File 333-176901 - Sep. 19) (BR. 08) S-8 AMERICAN WOODMARK CORP, 3102 SHAWNEE DRIVE, WINCHESTER, VA, 22601, (540) 665-9100 - 100,000 ($1,272,000.00) Equity, (File 333-176902 - Sep. 19) (BR. 06A) S-1 ATVROCKN, 1813 WINNERS CUP DRIVE, LAS VEGAS, NV, 89117, 702-334-4008 - 126,750,000 ($1,267,500.00) Equity, (File 333-176909 - Sep. 19) (BR. ) S-8 CANNABIS SCIENCE, INC., 2422 S. TRENTON WAY, UNIT H, DENVER, CO, 80231, 1-888-889-0888 - 20,000,000 ($600,000.00) Equity, (File 333-176910 - Sep. 19) (BR. 04B) S-8 HELMERICH & PAYNE INC, UTICA AT 21ST ST, TULSA, OK, 74114, 9187425531 - 0 ($327,120,000.00) Equity, (File 333-176911 - Sep. 19) (BR. 04B) S-3ASR Mellanox Technologies, Ltd., 350 OAKMEAD PARKWAY, SUITE 100, SUNNYVALE, CA, 94085, 408-970-3400 - 0 ($0.00) Other, (File 333-176913 - Sep. 19) (BR. 10B) S-3ASR GOLDMAN SACHS GROUP INC, 200 WEST STREET, NEW YORK, NY, 10282, 2129021000 - 0 ($1.00) Unallocated (Universal) Shelf, (File 333-176914 - Sep. 19) (BR. 12A) S-8 Golden Minerals Co, 350 INDIANA STREET, SUITE 800, GOLDEN, CO, 80401, 3038395060 - 0 ($21,765,316.38) Equity, (File 333-176915 - Sep. 19) (BR. 04C) S-8 GASCO ENERGY INC, 8 INVERNESS DRIVE EAST, SUITE 100, ENGLEWOOD, CO, 80112, 3034830044 - 0 ($5,344,620.75) Equity, (File 333-176916 - Sep. 19) (BR. 04B) S-1 East Shore Distributors, Inc., 1020 FOURTH AVENUE, WALL TOWNSHIP, NJ, 07719, 732-414-7302 - 3,755,000 ($375,000.00) Equity, (File 333-176918 - Sep. 19) (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 ACCURAY INC DE 2.02,9.01 09/19/11 Allied Nevada Gold Corp. DE 7.01,9.01 09/16/11 American Realty Capital Daily Net Ass MD 8.01 09/15/11 American Water Works Company, Inc. DE 7.01,9.01 09/19/11 AMERICANWEST BANCORPORATION WA 7.01,9.01 09/15/11 AMERITRANS CAPITAL CORP DE 8.01 09/14/11 AMREP CORP. OK 5.02,5.07 09/14/11 Andatee China Marine Fuel Services Co DE 4.01,7.01,9.01 09/19/11 Anoteros, Inc. NV 1.01,9.01 09/14/11 APPIPHANY TECHNOLOGIES HOLDINGS CORP NV 4.01,9.01 09/19/11 ARCADIA RESOURCES, INC NV 2.04 09/13/11 AROTECH CORP DE 7.01,9.01 09/19/11 ASSURANT INC 5.02,9.01 09/16/11 ASSURED GUARANTY LTD D0 7.01 09/17/11 AVALONBAY COMMUNITIES INC MD 5.02 09/15/11 BAKERS FOOTWEAR GROUP INC MO 2.02,7.01,9.01 09/13/11 BAZI INTERNATIONAL, INC. NV 3.02 09/15/11 BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 09/19/11 Beneficial Mutual Bancorp Inc X1 8.01,9.01 09/19/11 BILL BARRETT CORP 5.07 05/12/11 AMEND BIONOVO INC DE 3.01,9.01 09/14/11 BioScrip, Inc. DE 5.02,8.01 09/16/11 BIOVEST INTERNATIONAL INC DE 7.01,9.01 09/19/11 BOND LABORATORIES, INC. NV 8.01 09/14/11 BOSTON SCIENTIFIC CORP DE 5.02,5.03,8.01,9.01 09/13/11 BRAZIL GOLD CORP. NV 4.01,9.01 09/13/11 BRT REALTY TRUST MA 8.01,9.01 09/19/11 Carey Watermark Investors Inc 9.01 05/05/11 AMEND CASEYS GENERAL STORES INC IA 5.07,7.01,9.01 09/16/11 CASINO PLAYERS, INC. NV 1.01 09/16/11 CENTRAL VERMONT PUBLIC SERVICE CORP VT 8.01,9.01 09/19/11 CHARTER FINANCIAL CORP/GA 7.01,9.01 09/19/11 Chartwell International, Inc. NV 8.01 09/08/11 Cheniere Energy Partners, L.P. DE 1.01,7.01,8.01,9.01 09/19/11 China Direct Industries, Inc. FL 2.01,7.01,9.01 09/19/11 China Housing & Land Development, Inc NV 8.01,9.01 09/15/11 China Youth Media, Inc. DE 3.02,9.01 09/13/11 CIFC Corp. DE 5.02,5.07,9.01 09/15/11 Cinedigm Digital Cinema Corp. DE 5.07 09/15/11 CIRCLE STAR ENERGY CORP. NV 2.03,3.02,9.01 09/14/11 Citadel EFT, Inc. NV 5.03 09/19/11 Citadel EFT, Inc. NV 5.03 09/19/11 Citadel EFT, Inc. NV 5.03 09/19/11 CITIZENS SOUTH BANKING CORP DE 7.01,9.01 09/19/11 CLIFFS NATURAL RESOURCES INC. OH 8.01,9.01 09/13/11 CNH CAPITAL RECEIVABLES LLC DE 8.01,9.01 09/14/11 CNH CAPITAL RECEIVABLES LLC DE 8.01,9.01 09/19/11 COEUR D ALENE MINES CORP ID 5.02,7.01,9.01 09/12/11 COLOMBIA CLEAN POWER & FUELS, INC NV 5.02,8.01 09/19/11 COMMUNITY BANCORP /VT VT 8.01,9.01 09/13/11 COMVERSE TECHNOLOGY INC/NY/ NY 8.01 09/16/11 Coronus Solar Inc. A1 1.01,7.01,9.01 09/19/11 COUSINS PROPERTIES INC GA 5.07 05/03/11 AMEND DARA BioSciences, Inc. DE 5.07 09/15/11 DDR CORP OH 5.02 09/13/11 DECKERS OUTDOOR CORP DE 9.01 07/01/11 AMEND Deer Consumer Products, Inc. NV 8.01,9.01 09/16/11 Dinello Restaurant Ventures, Inc. FL 5.02 09/15/11 Discover Card Execution Note Trust DE 1.01,8.01,9.01 09/19/11 DOLLAR TREE INC VA 7.01,9.01 09/16/11 E-Debit Global Corp. CO 9.01 09/16/11 EAGLE BANCORP INC MD 8.01,9.01 09/19/11 ECB BANCORP INC NC 5.02 09/19/11 El Paso Pipeline Partners, L.P. DE 8.01,9.01 09/15/11 EXELON CORP PA 7.01,9.01 09/19/11 ExlService Holdings, Inc. DE 1.01,8.01,9.01 09/13/11 FIRST CHINA PHARMACEUTICAL GROUP, INC NV 2.01,3.02,5.02,5.06, 09/15/10 AMEND 9.01 FIRST NIAGARA FINANCIAL GROUP INC DE 8.01 09/19/11 FIRST SECURITY GROUP INC/TN TN 5.07,9.01 09/13/11 FNB BANCORP/CA/ 1.01,3.02,3.03,5.03, 09/15/11 9.01 Fresh Harvest Products, Inc. NJ 3.03 09/16/11 GATX CORP NY 1.01,2.03,9.01 09/15/11 General Moly, Inc DE 5.07 06/16/11 AMEND GenOn Energy, Inc. DE 7.01,9.01 09/19/11 GENTEX CORP MI 5.02 09/13/11 GEOPETRO RESOURCES CO CA 2.01 09/19/11 Gevo, Inc. DE 1.01,5.02,9.01 09/15/11 Global Entertainment Holdings, Inc. NV 4.02 09/19/11 Gold Holding Corp. 3.02 09/15/11 Government Properties Income Trust MD 9.01 09/19/11 Grand Canyon Education, Inc. DE 8.01 09/19/11 GREAT SOUTHERN BANCORP INC MD 8.01,9.01 06/30/11 GT Advanced Technologies Inc. DE 7.01,8.01,9.01 09/19/11 HANOVER INSURANCE GROUP, INC. DE 9.01 07/08/11 AMEND HAUPPAUGE DIGITAL INC DE 3.01 09/16/11 HCW PENSION REAL ESTATE FUND LTD PART MA 1.01,9.01 09/13/11 HEWLETT PACKARD CO DE 8.01,9.01 09/13/11 HEWLETT PACKARD CO DE 8.01,9.01 09/13/11 AMEND HIGHWOODS PROPERTIES INC MD 8.01 09/16/11 Hines Global REIT, Inc. MD 7.01,9.01 09/09/11 HOME PROPERTIES INC MD 8.01 08/23/11 HOME PROPERTIES INC MD 8.01,9.01 09/19/11 IMAGENETIX INC /NV/ NV 8.01,9.01 09/19/11 IMAGINE MEDIA LTD DE 2.01,3.02,5.01,5.02, 09/19/11 5.06,9.01 IMAX CORP A6 5.02 09/15/11 ING USA ANNUITY & LIFE INSURANCE CO IA 1.02 09/14/11 INLAND REAL ESTATE CORP MD 8.01,9.01 09/19/11 INTEL CORP DE 7.01,8.01,9.01 09/14/11 INTERMUNE INC DE 1.01,2.03,8.01,9.01 09/13/11 INTERNAP NETWORK SERVICES CORP DE 5.02 09/19/11 IPG PHOTONICS CORP DE 5.02,9.01 09/16/11 IRON MOUNTAIN INC DE 8.01,9.01 09/19/11 IRON MOUNTAIN INC DE 8.01,9.01 09/19/11 J C PENNEY CO INC DE 1.01,1.02,3.03,9.01 09/16/11 JAZZ PHARMACEUTICALS INC DE 1.01,8.01 09/19/11 JETBLUE AIRWAYS CORP DE 5.07 05/26/11 AMEND KINETIC CONCEPTS INC TX 5.07 05/24/11 AMEND KONA GRILL INC DE 7.01,9.01 09/19/11 LADENBURG THALMANN FINANCIAL SERVICES FL 5.02 09/14/11 LENNAR CORP /NEW/ DE 2.02,9.01 09/19/11 Lightwave Logic, Inc. NV 3.02 09/19/11 LINCARE HOLDINGS INC DE 1.01,1.02,2.03,9.01 09/15/11 Lincolnway Energy, LLC IA 7.01,9.01 09/19/11 Lone Star Gold, Inc. NV 3.02,8.01,9.01 09/14/11 MARINEMAX INC DE 1.01,2.03 09/15/11 MATERION Corp 5.02,9.01 09/13/11 Mellanox Technologies, Ltd. L3 8.01,9.01 09/19/11 MESA ROYALTY TRUST/TX TX 2.02,9.01 09/19/11 MIDDLEBY CORP DE 8.01 09/16/11 Millstream Ventures, Inc. NV 5.02,5.03,5.07,9.01 09/13/11 NAVARRE CORP /MN/ MN 5.02,5.07,9.01 09/15/11 NEOPROBE CORP DE 8.01 09/13/11 NETWORK CN INC DE 5.03,9.01 09/19/11 NEWS CORP 8.01,9.01 09/19/11 Nissan Auto Lease Trust 2011-B DE 8.01,9.01 09/16/11 NORFOLK SOUTHERN CORP VA 8.01 09/19/11 NORTHWESTERN CORP DE 7.01,9.01 09/19/11 NorWesTech, Inc. DE 5.03,8.01,9.01 09/16/11 NTELOS HOLDINGS CORP 7.01,9.01 09/19/11 O REILLY AUTOMOTIVE INC 1.01,2.03,8.01,9.01 09/14/11 OMNICARE INC DE 1.01,9.01 09/15/11 OSI SYSTEMS INC DE 8.01,9.01 09/19/11 PANTRY INC DE 5.02,9.01 09/13/11 PAWS Pet Company, Inc. IL 2.01,2.03,3.02,4.01, 08/13/10 AMEND 5.01,5.02,5.03,5.06, 9.01 Pegasi Energy Resources Corporation. NV 1.01,3.02,9.01 09/15/11 PINNACLE WEST CAPITAL CORP AZ 7.01,9.01 09/19/11 PIZZA INN INC /MO/ MO 8.01,9.01 09/19/11 PNC FINANCIAL SERVICES GROUP INC PA 8.01,9.01 09/14/11 POWELL INDUSTRIES INC NV 5.02,9.01 09/13/11 PPL Corp 8.01,9.01 09/15/11 PREMIER ALLIANCE GROUP, INC. NV 5.02 09/15/11 PRESTIGE CAPITAL CORP NV 5.02,8.01 09/14/11 PROVECTUS PHARMACEUTICALS INC NV 8.01,9.01 09/16/11 QLT INC/BC A1 5.02,9.01 09/14/11 RADIOSHACK CORP DE 5.02,9.01 09/15/11 Raptor Pharmaceutical Corp DE 8.01,9.01 09/13/11 Redpoint Bio CORP 1.01,9.01 09/13/11 REPLIGEN CORP DE 8.01 09/19/11 REPUBLIC AIRWAYS HOLDINGS INC DE 5.07 06/02/11 AMEND RYLAND GROUP INC MD 7.01,9.01 09/19/11 SEALED AIR CORP/DE DE 1.01,8.01,9.01 09/16/11 SIERRA RESOURCE GROUP INC NV 5.02 09/12/08 SIMULATIONS PLUS INC 7.01,9.01 09/19/11 SKY PETROLEUM, INC. NV 7.01,9.01 09/19/11 SKYWEST INC UT 5.07 05/03/11 AMEND SKYWORKS SOLUTIONS, INC. DE 8.01 09/16/11 SOUTHERN COPPER CORP/ DE 5.02 09/18/11 SPARE BACKUP, INC. DE 3.02,5.03,9.01 09/13/11 SPICY PICKLE FRANCHISING INC CO 5.02 09/15/11 SPRINGLEAF FINANCE CORP IN 5.02,7.01,9.01 09/19/11 SPRINGLEAF FINANCE INC IN 5.02,7.01,9.01 09/19/11 STEIN MART INC FL 5.02,9.01 09/13/11 STERICYCLE INC DE 5.07 05/24/11 AMEND STILLWATER MINING CO /DE/ DE 7.01,8.01,9.01 09/19/11 Stream Global Services, Inc. DE 8.01 09/15/11 SUPERCLICK INC WA 2.02,9.01 09/15/11 Targa Resources Corp. DE 5.07 06/30/11 AMEND TAYLOR CALVIN B BANKSHARES INC MD 8.01 09/14/11 TELOS CORP MD 2.01,2.03,9.01 07/01/11 AMEND Theron Resource Group WY 5.02 09/12/11 Titan Holding Group, Inc. FL 3.02 09/19/11 TNP Strategic Retail Trust, Inc. MD 1.01,9.01 09/14/11 TRACTOR SUPPLY CO /DE/ DE 5.07 09/19/11 AMEND TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 09/19/11 Transcept Pharmaceuticals Inc DE 7.01,9.01 09/19/11 Travelport LTD D0 7.01,9.01 09/19/11 TTM TECHNOLOGIES INC WA 5.02,9.01 09/13/11 TYCO INTERNATIONAL LTD V8 5.02,8.01,9.01 09/19/11 UNIGENE LABORATORIES INC DE 8.01,9.01 09/19/11 UNIVERSAL BIOSENSORS INC DE 5.07 09/16/11 AMEND Upstream Worldwide, Inc. DE 5.02 09/13/11 URSTADT BIDDLE PROPERTIES INC MD 5.02,9.01 09/15/11 UTAH MEDICAL PRODUCTS INC UT 9.01 03/17/11 AMEND VIAD CORP DE 8.01,9.01 09/19/11 VIRTUAL PIGGY, INC. DE 8.01,9.01 09/15/11 VWR Funding, Inc. DE 5.02 09/16/11 WATSON PHARMACEUTICALS INC NV 1.01,1.02,2.03,9.01 09/16/11 WELLS FARGO & CO/MN DE 9.01 09/19/11 WEST PHARMACEUTICAL SERVICES INC PA 7.01,9.01 09/19/11 WESTERN DIGITAL CORP DE 5.02 09/14/11 WESTERN MASSACHUSETTS ELECTRIC CO MA 2.03,9.01 09/16/11 WESTLAKE CHEMICAL CORP 1.01,2.03,9.01 09/16/11 WILLIAMS COMPANIES INC DE 7.01,9.01 09/19/11 Williams Partners L.P. 7.01,9.01 09/19/11 WILSHIRE BANCORP INC 5.02,9.01 09/14/11 XCEL ENERGY INC MN 7.01 09/19/11 ZIONS BANCORPORATION /UT/ UT 9.01 09/19/11 ZIX CORP TX 1.01,9.01 09/14/11 ZIX CORP TX 3.03,5.03,9.01 09/13/11