In the Matter of Paul Randall Fraley
On October 4, the Commission issued 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 Paul Randall Fraley (Fraley or Respondent) based upon the entry of a permanent injunction entered against him in the United States District Court for the Southern District of California (SEC v. Nova Gen Corp., et al., Civil Action No. CV-09-2711-MMA-WVG).
In the Order, the Division of Enforcement alleges that on September 2, 2011, the United States District Court for the Southern District of California entered a judgment of permanent injunction and other relief against Fraley, which permanently enjoined him 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. 34-65485; File No. 3-14576)
In the Matter of Astralis Ltd.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Three Respondents (Default Order) in Astralis Ltd., Admin. Proc. No. 3-14535. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of registered securities of Cavit Sciences, Inc., Crystal International Travel Group, Inc., and Tasker Products Corp., pursuant to Section 12(j) of the Securities Exchange Act of 1934.
The Division of Enforcement is in settlement negotiations with Astralis. Accordingly, this proceeding is still ongoing as to Astralis Ltd. (Rel. 34-65486; File No. 3-14535)
Commission Revokes Registration of Securities of Astralis Ltd. For Failure to Make Required Periodic Filings
On October 5, 2011, the Commission revoked the registration of each class of registered securities of Astralis Ltd. (ASTR) 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, ASTR 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 Astralis Ltd. 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-13 thereunder and revoking the registration of each class of ASTR’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against ASTR in In the Matter of Astralis Ltd., et al., Administrative Proceeding File No. 3-14535.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Astralis Ltd., et al., Administrative Proceeding File No. 3-14535, Exchange Act Release No. 65276 (September 7, 2011). (Rel. 34-65487; File No. 3-14535)
SEC Obtains Final Judgment on Consent as to Steven Fortuna and Dismisses Case against S2 Capital Management, LP
The SEC announced that, on September 30, 2011, the Honorable Jed S. Rakoff, United States District Judge, United States District Court for the Southern District of New York, entered a Final Judgment on Consent as to Steven Fortuna in the SEC’s insider trading case, SEC v. Galleon Management, LP, et al., 09-CV-8811 (SDNY) (JSR). On the same day, the Court entered the SEC’s Notice of Dismissal as to S2 Capital Management, LP. The SEC filed its action on October 16, 2009, which alleged that Raj Rajaratnam, Galleon Management, LP, Fortuna, S2 Capital, and others engaged in a widespread insider trading scheme involving hedge funds, industry professionals, and corporate insiders.
At the time of the alleged conduct, Fortuna resided in Westwood, Massachusetts. Fortuna was a co-founder and principal of S2 Capital, which was an unregistered hedge fund investment adviser based in New York, New York. S2 Capital served as the investment adviser to the hedge fund S2 Capital Fund, LP. During the relevant time period, S2 Capital had over $125 million in assets under management.
The Commission alleged that Fortuna and S2 Capital violated the federal securities laws by trading on the basis of material nonpublic information concerning quarterly earnings of Akamai Technologies, Inc. and concerning Advanced Micro Devices Inc.’s pending transactions with two Abu Dhabi sovereign entities. Fortuna and S2 Capital learned the inside information from Danielle Chiesi, a consultant and portfolio manager at New Castle Funds LLC, then a registered investment adviser based in White Plains, New York. Specifically, in July 2008, an Akamai executive tipped Chiesi about Akamai’s disappointing earnings for its 2008 second quarter. Chiesi tipped others, including Fortuna, who traded based on that information on behalf of S2 Capital. Similarly, in October 2008, executives at IBM and AMD provided Chiesi with information concerning AMD’s pending transactions with the Abu Dhabi entities. Chiesi tipped others, including Fortuna, who traded based on that information on behalf of S2 Capital.
The Final Judgment permanently enjoins Fortuna from violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Exchange Act Rule 10b-5; and (2) orders him liable for disgorgement of $193,536, prejudgment interest thereon in the amount of $11,040, and a civil penalty in the amount of $96,768. Fortuna separately pleaded guilty in a parallel criminal case before the United States District Court of the Southern District of New York, titled United States v. Fortuna, 09 Cr. 01003 (SDNY), and has been cooperating in connection with this action and related investigations. The SEC dismissed its case against S2 Capital, an entity which has ceased operations and is essentially defunct. [SEC v. Galleon Management, LP, et al., Civil Action No. 09-CV-8811 (SDNY) (JSR)] (LR-22114)
Stone Harbor Investment Partners LP and Stone Harbor Investment Funds
An order has been issued on an application filed by Stone Harbor Investment Partners LP and Stone Harbor Investment Funds under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Rule 12d1-2(a) under the Act. The order permits open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29830 - October 4)
Approval of Proposed Rule Changes
The Commission approved a proposed rule change (SR-NYSEArca-2011-51) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade managed fund shares of TrimTabs Float Shrink ETF under NYSE Arca Equities Rule 8.600. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65468)
The Commission approved a proposed rule change (SR-FICC-2011-06) filed by Fixed Income Clearing Corporation (FICC) under Section 19(b)(1) of the Exchange Act to eliminate two Rules of the Mortgage-Backed Securities Division that FICC believes are no longer utilized or necessary. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65479)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NYSE Amex LLC (SR-NYSEAmex-2011-72) relating to fees applicable to Qualified Contingent Cross orders 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 to in the Federal Register during the week of October 3. (Rel. 34-65472)
A proposed rule change filed by BATS Exchange, Inc. (SR-BATS-2011-043) related to fees for use of BATS Exchange, Inc. has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65473)
A proposed rule change filed by the NASDAQ OMX PHLX LLC (SR-Phlx-2011-130) relating to the SQT Fees has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65478)
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-091) to amend CBOE stock exchange transaction fees has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65480)
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-092) relating to PULSe Fees has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65481)
A proposed rule change filed by the C2 Options Exchange, Incorporated (SR-C2-2011-028) relating to PULSe Fees has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65482)
Withdrawal of Proposed Rule Change
The Commission issued notice of withdrawal of a proposed rule change (SR-FINRA-2011-028), filed by the Financial Industry Regulatory Authority, Inc. to adopt rules regarding supervision in the Consolidated FINRA Rulebook. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65477)
Proposed Rule Changes
The Options Clearing Corporation (OCC) filed a proposed rule change (SR-OCC-2011-13) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to relative performance indexes. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65483)
The Options Clearing Corporation (OCC) filed a proposed rule change (SR-OCC-2011-14) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to clearing options on the CBOE Silver ETF Volatility Index. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65484)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-8 ENDO PHARMACEUTICALS HOLDINGS INC, 100 ENDO BOULEVARD, CHADDS FORD, PA, 19317, 6105589800 - 0 ($33,474,481.12) Equity, (File 333-177152 - Oct. 4) (BR. 01C) S-1 Global Seed Corp, 2386 S.DIARY ASHFORD STE 502, HOUSTON, TX, 77077, 713-898-6818 - 2,500,000 ($125,000.00) Equity, (File 333-177157 - Oct. 4) (BR. ) S-1 Island Language Studies, Inc., 12600 SW 189TH STREET, MIAMI, FL, 33177, (305) 322-8355 - 201,500 ($20,150.00) Equity, (File 333-177158 - Oct. 4) (BR. ) S-3 SANDERSON FARMS INC, 225 N 13TH AVE, PO BOX 988, LAUREL, MS, 39441, 6016494030 - 0 ($121,900,000.00) Equity, (File 333-177162 - Oct. 4) (BR. 05C) S-8 Fortune Brands Home & Security, Inc., 520 LAKE COOK ROAD, DEERFIELD, IL, 60015, 847-484-4400 - 0 ($6,612,500.00) Equity, (File 333-177163 - Oct. 4) (BR. 06C) S-8 Fortune Brands Home & Security, Inc., 520 LAKE COOK ROAD, DEERFIELD, IL, 60015, 847-484-4400 - 0 ($72,737,500.00) Equity, (File 333-177164 - Oct. 4) (BR. 06C) S-4 XOMA LTD /DE/, 2910 SEVENTH ST, BERKELEY, CA, 94710, 5106441170 - 33,406,136 ($54,619,032.36) Equity, (File 333-177165 - Oct. 4) (BR. 01C) S-4 KINDRED HEALTHCARE, INC, 680 SOUTH FOURTH STREET, LOUISVILLE, KY, 40202, 5025967300 - 550,000,000 ($550,000,000.00) Non-Convertible Debt, (File 333-177166 - Oct. 4) (BR. 11C) S-3 IDENIX PHARMACEUTICALS INC, 60 HAMPSHIRE STREET, CAMBRIDGE, MA, 02139, 617-995-9800 - 0 ($150,000,000.00) Equity, (File 333-177167 - Oct. 4) (BR. 01B) S-8 Cryoport, Inc., 20382 BARENTS SEA CIRCLE, LAKE FOREST, CA, 92630, 949-470-2300 - 0 ($2,438,000.00) Equity, (File 333-177168 - Oct. 4) (BR. 06C) S-3ASR iShares Silver Trust, 400 HOWARD STREET, SAN FRANCISCO, CA, 94105, 415-670-2000 - 75,000,000 ($2,178,000,000.00) Equity, (File 333-177170 - Oct. 4) (BR. 08B) S-8 Boston Therapeutics, Inc., 33 SOUTH COMMERCIAL STREET, MANCHESTER, NH, 03101, 978-886-0421 - 7,100,000 ($1,901,105.07) Equity, (File 333-177171 - Oct. 4) (BR. 01A)
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 3D SYSTEMS CORP DE 8.01,9.01 10/04/11 A.C. Moore Arts & Crafts, Inc. PA 1.01,8.01,9.01 10/03/11 A123 SYSTEMS, INC. DE 1.01,2.03 09/30/11 Abingdon Futures Fund LP NY 3.02 10/01/11 ABRAXAS PETROLEUM CORP NV 7.01,9.01 10/04/11 ACCURAY INC DE 5.02 09/29/11 ACME PACKET INC DE 2.02,9.01 10/04/11 ACQUIRED SALES CORP NV 1.01,2.01,3.02,5.02, 09/29/11 5.06,9.01 Adamis Pharmaceuticals Corp DE 5.02 09/30/11 AETHLON MEDICAL INC NV 1.01,9.01 09/30/11 AIS FUTURES FUND IV LP DE 3.02 09/30/11 Aleris International, Inc. DE 7.01,9.01 10/04/11 ALICO INC FL 8.01,9.01 10/04/11 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 10/04/11 AlphaMetrix Managed Futures III LLC 3.02 10/03/11 AMERICAN AIRLINES INC DE 2.03,9.01 10/04/11 American Natural Energy Corp OK 5.03,9.01 10/04/11 AMERICAN SAFETY INSURANCE HOLDINGS LT 5.02 10/04/11 American Standard Energy Corp. DE 1.01,2.03,3.02,9.01 09/21/11 AMERICAN TOWER CORP /MA/ DE 8.01,9.01 10/03/11 AMR CORP DE 2.03,9.01 10/04/11 Anchor Funding Services, Inc. DE 1.02 09/22/11 ANNALY CAPITAL MANAGEMENT INC MD 8.01,9.01 10/04/11 ANWORTH MORTGAGE ASSET CORP MD 7.01,9.01 10/03/11 AOTS 28, Inc. DE 5.03,9.01 09/30/11 AOTS 29, Inc. DE 5.03,9.01 09/30/11 APARTMENT INVESTMENT & MANAGEMENT CO MD 7.01,9.01 10/04/11 Artio Global Investors Inc. DE 3.02 09/29/11 ATLAS PIPELINE PARTNERS LP DE 5.02,9.01 09/28/11 Aurum, Inc. DE 7.01,9.01 10/04/11 AUTONATION, INC. DE 7.01,9.01 10/04/11 AVALONBAY COMMUNITIES INC MD 1.01,2.03 09/29/11 AVAYA INC DE 8.01 10/04/11 AVISTA CORP WA 8.01 09/30/11 Bank of Commerce Holdings CA 5.03,9.01 10/03/11 BAZI INTERNATIONAL, INC. NV 5.02 09/28/11 BCSB Bancorp Inc. 8.01,9.01 09/30/11 BEACON POWER CORP DE 1.01,3.03 10/03/11 Behringer Harvard Opportunity REIT I, MD 7.01,9.01 10/04/11 BEMIS CO INC MO 1.01,2.03,8.01,9.01 10/04/11 BIO-PATH HOLDINGS INC UT 8.01,9.01 10/04/11 BION ENVIRONMENTAL TECHNOLOGIES INC CO 3.02,5.02,7.01,9.01 09/30/11 BIOTIME INC CA 5.02,9.01 10/03/11 BLACKBOARD INC DE 7.01,9.01 10/04/11 BLUE SPHERE CORP. NV 2.03,9.01 10/04/11 BOEING CO DE 5.02,5.03,9.01 10/03/11 BofI Holding, Inc. DE 1.01,3.03,7.01,9.01 09/30/11 BOISE INC. DE 1.01,8.01,9.01 10/02/11 BRIDGE BANCORP INC NY 8.01,9.01 10/04/11 BRISTOL MYERS SQUIBB CO DE 1.01,1.02,2.03,9.01 09/29/11 BROADCOM CORP CA 8.01 09/28/11 BROADVIEW NETWORKS HOLDINGS INC DE 5.02 09/28/11 BRYN MAWR BANK CORP PA 1.01,9.01 09/29/11 BSB Bancorp, Inc. MD 8.01,9.01 10/04/11 BWAY PARENT COMPANY, INC. DE 5.02 10/04/11 C&D TECHNOLOGIES INC DE 1.01,5.07,8.01,9.01 09/30/11 CAL MAINE FOODS INC DE 5.07 09/30/11 CALLIDUS SOFTWARE INC DE 1.01,2.01,7.01,9.01 10/03/11 CALLON PETROLEUM CO DE 5.07 05/12/11 AMEND CARDICA INC DE 2.03 09/30/11 CASCADE BANCORP OR 5.02,9.01 09/28/11 CASCADE MICROTECH INC 9.01 09/22/11 AMEND CENTURYLINK, INC LA 8.01,9.01 10/04/11 Chesapeake Lodging Trust MD 2.01,9.01 10/03/11 CHICOPEE BANCORP, INC. 8.01,9.01 09/29/11 AMEND China Energy Recovery, Inc. DE 1.01 09/30/11 CHINA RECYCLING ENERGY CORP 1.01,9.01 09/28/11 CITY HOLDING CO WV 7.01,9.01 10/03/11 Clark Holdings Inc. DE 5.02,8.01,9.01 09/30/11 CLEAR SYSTEM RECYCLING, INC. NV 8.01 10/03/11 CME GROUP INC. DE 7.01,9.01 10/04/11 Colt Defense LLC DE 1.01,1.02,2.03,9.01 10/04/11 Colt Finance Corp. DE 1.01,1.02,2.03,9.01 10/04/11 COMPUTER TASK GROUP INC NY 7.01,9.01 10/04/11 CONSUMER PORTFOLIO SERVICES INC CA 1.01,2.03,9.01 09/27/11 CONVERGYS CORP OH 8.01,9.01 10/04/11 COOPER TIRE & RUBBER CO DE 7.01 10/03/11 COPART INC CA 1.01,2.03,9.01 09/29/11 CORELOGIC, INC. DE 2.06 09/28/11 CORNERSTONE THERAPEUTICS INC DE 5.02 09/29/11 Corporate Property Associates 17 - Gl MD 2.01,9.01 09/28/11 CSX CORP VA 1.01,1.02,2.03,9.01 09/30/11 CUTERA INC DE 8.01,9.01 09/30/11 CYBERDEFENDER CORP CA 1.01,2.03,3.02,8.01, 09/28/11 9.01 DATAMILL MEDIA CORP. 2.01,3.02,5.01,5.02, 10/03/11 AMEND 5.03,5.06,9.01 DELCATH SYSTEMS INC DE 5.02,9.01 09/28/11 DGT Holdings Corp. NY 1.01,1.02,5.02,9.01 10/01/11 Diamond Foods Inc DE 8.01,9.01 10/03/11 DIAMOND HILL INVESTMENT GROUP INC OH 8.01 10/04/11 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 1.01,9.01 09/29/11 Douglas Lake Minerals Inc. NV 7.01,9.01 10/04/11 EL PASO CORP/DE DE 8.01 09/30/11 EL PASO ELECTRIC CO /TX/ TX 8.01 10/04/11 ELEPHANT TALK COMMUNICATIONS CORP CA 3.03,5.03,9.01 09/30/11 Emdeon Inc. DE 8.01,9.01 10/04/11 Energy Future Holdings Corp /TX/ TX 5.02 09/29/11 ENERGY XXI (BERMUDA) LTD D0 1.01,9.01 10/04/11 ENTECH SOLAR, INC. DE 1.01,3.02,9.01 09/28/11 EPOCH HOLDING CORP DE 8.01,9.01 10/04/11 EQUITY LIFESTYLE PROPERTIES INC MD 2.01,3.02,9.01 10/03/11 ERIE INDEMNITY CO PA 5.02 10/04/11 EVERGREEN ENERGY INC DE 8.01,9.01 09/26/11 FARMERS CAPITAL BANK CORP KY 5.03,9.01 10/03/11 Federal Home Loan Bank of Atlanta X1 2.03 10/04/11 Federal Home Loan Bank of Boston X1 2.03 09/28/11 Federal Home Loan Bank of Boston X1 5.02,9.01 09/29/11 Federal Home Loan Bank of Chicago X1 2.03 09/28/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 09/30/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/04/11 Federal Home Loan Bank of New York X1 2.03,9.01 09/28/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 09/28/11 Federal Home Loan Bank of San Francis X1 2.03 09/28/11 Federal Home Loan Bank of Seattle 2.03 09/28/11 Federal Home Loan Bank of Topeka 2.03,9.01 09/28/11 FLOWSERVE CORP NY 8.01,9.01 10/04/11 FONAR CORP DE 2.02 06/30/11 FORD MOTOR CO DE 8.01,9.01 10/04/11 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 10/04/11 Francesca's Holdings CORP 5.02,9.01 09/28/11 Fresh Market, Inc. DE 1.01 09/30/11 FRONTIER COMMUNICATIONS CORP DE 7.01,9.01 10/04/11 Fuelstream INC DE 3.02 10/04/11 Fushi Copperweld, Inc. NV 8.01,9.01 09/29/11 FUTURES PORTFOLIO FUND L.P. MD 3.02 10/01/11 GASTAR EXPLORATION LTD 7.01,9.01 10/04/11 GBS Enterprises Inc NV 1.01,9.01 09/27/11 General Moly, Inc DE 7.01,9.01 10/03/11 GeoEye, Inc. DE 1.01 10/04/11 GeoMet, Inc. DE 3.01,5.07,9.01 05/06/11 GLOBAL CROSSING LTD 2.01,2.04,3.01,3.03, 10/04/11 5.01,5.02,5.03,8.01, 9.01 GLOBAL ENERGY INC NV 1.01,9.01 10/04/11 GLOBAL PAYMENTS INC GA 2.02,9.01 10/04/11 GOLDFIELD CORP DE 5.02,9.01 09/28/11 GOLDMAN SACHS GROUP INC DE 9.01 10/04/11 GRAYBAR ELECTRIC CO INC NY 1.01,1.02,2.03,7.01, 09/28/11 9.01 GREENHILL & CO INC DE 8.01,9.01 10/04/11 GUIDED THERAPEUTICS INC DE 7.01,9.01 10/04/11 Gulf United Energy, Inc. NV 8.01 10/03/11 Hallwood Group Inc DE 7.01,9.01 10/03/11 Halo Companies, Inc. DE 5.02 09/26/11 Hanesbrands Inc. MD 5.02,9.01 10/01/11 Horizon Lines, Inc. 8.01,9.01 10/03/11 Howard Hughes Corp DE 1.01,1.02,2.03,9.01 09/29/11 Hydrodynex, Inc. NV 1.01,3.02,9.01 09/30/11 Imperial Holdings, Inc. 7.01,8.01 09/28/11 INNOVATIVE ACQUISITIONS CORP DE 1.01,9.01 09/29/11 INVIVO THERAPEUTICS HOLDINGS CORP. NV 8.01,9.01 09/21/11 ION GEOPHYSICAL CORP DE 7.01 10/04/11 Iridium Communications Inc. DE 7.01,9.01 10/04/11 KEATING CAPITAL INC 5.02 09/30/11 KINDRED HEALTHCARE, INC DE 8.01,9.01 10/04/11 Kirin International Holding, Inc. NV 1.01,2.01,9.01 03/01/11 AMEND Kiwibox.Com, Inc. DE 2.01,2.03,3.02,5.02, 09/30/11 9.01 KORN FERRY INTERNATIONAL DE 5.07 09/28/11 LANDEC CORP \CA\ CA 2.02,9.01 10/04/11 LAWSON PRODUCTS INC/NEW/DE/ DE 1.01,2.03,9.01 09/30/11 LEAPFROG ENTERPRISES INC 2.03 10/03/11 LKQ CORP DE 1.01,2.03,9.01 09/30/11 LRI HOLDINGS, INC. 2.02,9.01 10/04/11 LYRIS, INC. 5.02 10/04/11 MACC PRIVATE EQUITIES INC DE 8.01,9.01 09/29/11 MAGNUM HUNTER RESOURCES CORP DE 1.01,2.03,7.01,9.01 09/28/11 Marina Biotech, Inc. DE 1.01,3.02,9.01 09/28/11 MAXWELL TECHNOLOGIES INC DE 5.07 05/11/11 AMEND MEDICINES CO /DE DE 1.01,8.01,9.01 09/30/11 MedQuist Holdings Inc. DE 8.01,9.01 10/03/11 MGIC INVESTMENT CORP WI 5.02 10/04/11 MGT CAPITAL INVESTMENTS INC DE 8.01,9.01 10/03/11 MICROCHANNEL TECHNOLOGIES CORP NV 5.01,7.01,9.01 09/28/11 Millburn Multi-Markets Fund L.P. DE 3.02 10/01/11 Mojo Ventures, Inc. DE 7.01,9.01 10/04/11 Molycorp, Inc. DE 7.01 10/04/11 MONARCH CASINO & RESORT INC NV 1.01,9.01 09/29/11 AMEND MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 09/30/11 MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 10/04/11 MYMETICS CORP DE 8.01,9.01 05/23/11 Nano Mask, Inc. NV 4.01,9.01 10/04/11 NATIONAL BEVERAGE CORP DE 5.07 09/30/11 NATURALLY ADVANCED TECHNOLOGIES INC A1 8.01,9.01 10/03/11 NBC ACQUISITION CORP DE 5.02,7.01,9.01 09/29/11 NEOPHOTONICS CORP DE 1.01,2.03,8.01 09/29/11 NEUROCRINE BIOSCIENCES INC CA 8.01,9.01 10/04/11 NEWPORT CORP NV 7.01,9.01 10/04/11 NEWS CORP 8.01,9.01 10/04/11 NovaBay Pharmaceuticals, Inc. CA 5.02 09/29/11 Och-Ziff Capital Management Group LLC DE 7.01 10/04/11 OCWEN FINANCIAL CORP FL 2.01,9.01 09/01/11 AMEND OGE ENERGY CORP. OK 5.02 09/28/11 AMEND OMNIVISION TECHNOLOGIES INC DE 5.07 09/29/11 ONLINE RESOURCES CORP DE 8.01,9.01 10/03/11 OptimumBank Holdings, Inc. FL 5.03,5.07,9.01 09/28/11 ORAGENICS INC FL 5.02 09/28/11 ORTHOFIX INTERNATIONAL N V 5.02,9.01 10/04/11 PANHANDLE OIL & GAS INC OK 1.01,9.01 10/04/11 PDL BIOPHARMA, INC. DE 7.01,9.01 10/04/11 PennyMac Mortgage Investment Trust MD 1.01,2.03,9.01 09/28/11 PERCEPTRON INC/MI MI 8.01 09/28/11 PETROQUEST ENERGY INC DE 1.01,2.03,7.01,9.01 10/04/11 PFF BANCORP INC DE 8.01,9.01 09/20/11 PHH CORP MD 1.01,2.03 09/28/11 PHOTOTRON HOLDINGS, INC. DE 1.01,2.03 09/28/11 PRECISION OPTICS CORPORATION INC MA 1.01,9.01 09/30/11 PRIMUS TELECOMMUNICATIONS GROUP INC DE 8.01,9.01 10/04/11 PROGRESS ENERGY INC NC 8.01,9.01 09/30/11 PROVIDENT NEW YORK BANCORP DE 7.01,9.01 10/04/11 PSI CORP NV 5.03,5.07,8.01,9.01 10/04/11 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 8.01 09/30/11 QUANTUM MATERIALS CORP. NV 4.01,9.01 09/28/11 RALCORP HOLDINGS INC /MO MO 1.01,2.03,7.01,9.01 10/04/11 Rand Logistics, Inc. DE 1.01,2.03,9.01 09/28/11 Raystream Inc. NV 8.01 10/03/11 Real Mex Restaurants, Inc. DE 1.03,2.04,7.01,9.01 10/04/11 RED HAT INC DE 1.01,9.01 10/03/11 RESOURCE HOLDINGS, INC. NV 1.01,2.03,3.02,9.01 09/28/11 RESOURCES CONNECTION INC DE 2.02,9.01 10/04/11 RF MICRO DEVICES INC NC 5.02,9.01 10/03/11 RFS HOLDING LLC 8.01 10/01/11 RING ENERGY, INC. NV 8.01 10/04/11 Rosetta Resources Inc. DE 7.01,9.01 10/04/11 RSC Holdings Inc. DE 1.01,2.03,9.01 09/28/11 RTI INTERNATIONAL METALS INC OH 5.02,9.01 10/01/11 SAGE FUND LP MD 3.02 10/01/11 SALEM COMMUNICATIONS CORP /DE/ DE 5.02 09/28/11 AMEND SCRIPPS E W CO /DE OH 1.01,9.01 10/03/11 Scripps Networks Interactive, Inc. OH 2.01,9.01 09/30/11 SEALED AIR CORP/DE DE 1.01,2.01,2.03,3.02, 10/03/11 8.01,9.01 SEFE, INC. NV 5.02 09/30/11 SELECT MEDICAL HOLDINGS CORP 7.01,9.01 10/04/11 SENTRY PETROLEUM LTD. 7.01,9.01 10/04/11 SIGNET JEWELERS LTD 7.01 10/04/11 Sino-Global Shipping America, Ltd. VA 5.02,9.01 10/03/11 SKINVISIBLE INC NV 8.01 09/30/11 SMARTHEAT INC. NV 3.01 09/29/11 SNAP-ON Inc DE 1.01,2.03,9.01 09/30/11 SONIC FOUNDRY INC MD 5.02,8.01,9.01 09/30/11 Sonora Resources Corp. NV 1.01,2.03,9.01 09/27/11 Southern National Bancorp of Virginia VA 2.01,9.01 10/03/11 SPANISH BROADCASTING SYSTEM INC DE 5.02 09/28/11 STEEL DYNAMICS INC IN 2.03,8.01,9.01 09/29/11 Steel Excel Inc. DE 5.03,8.01,9.01 10/03/11 Stereotaxis, Inc. DE 1.01,9.01 09/30/11 STRATEGIC HOTELS & RESORTS, INC 7.01,9.01 10/04/11 SUNRISE REAL ESTATE GROUP INC TX 1.01,3.02,9.01 09/30/11 SupportSave Solutions Inc 8.01,9.01 10/04/11 SWS GROUP INC DE 5.02,9.01 10/03/11 SYNAPTICS INC DE 5.02,9.01 09/28/11 TAUBMAN CENTERS INC MI 1.01,2.03,9.01 09/30/11 TEAM INC TX 5.07 10/04/11 TEAMSTAFF INC NJ 5.02,9.01 09/28/11 TENNESSEE GAS PIPELINE CO DE 8.01 09/30/11 THOR INDUSTRIES INC DE 5.02 09/30/11 TIANYIN PHARMACEUTICAL CO., INC. DE 7.01,9.01 10/04/11 TORTOISE CAPITAL RESOURCES CORP 8.01,9.01 10/04/11 Towers Watson & Co. DE 5.02 10/03/11 TPC Group Inc. DE 7.01,9.01 10/04/11 TrueBlue, Inc. WA 1.01,2.03,9.01 09/30/11 UMH PROPERTIES, INC. MD 7.01,9.01 10/04/11 UNITED AMERICAN HEALTHCARE CORP MI 1.01,9.01 09/28/11 UNITED RENTALS INC /DE DE 1.01,2.03,9.01 09/28/11 UNIVERSAL HEALTH REALTY INCOME TRUST MD 9.01 07/25/11 AMEND VAALCO ENERGY INC /DE/ DE 5.07 06/01/11 VARIAN MEDICAL SYSTEMS INC DE 5.02,9.01 09/29/11 VASCO DATA SECURITY INTERNATIONAL INC DE 2.06,8.01,9.01 10/03/11 AMEND Verdant Automotive Corp DE 1.01,3.02,3.03,5.02, 09/20/11 5.03,5.07,9.01 VIRTUSA CORP 2.03 09/28/11 VISION SCIENCES INC /DE/ DE 1.01,9.01 09/30/11 VISTEON CORP DE 4.01,9.01 09/30/11 VLOV INC. NV 1.01,5.02,9.01 09/28/11 WACCAMAW BANKSHARES INC NC 8.01 09/30/11 WebMD Health Corp. DE 2.02 10/04/11 WEINGARTEN REALTY INVESTORS /TX/ TX 1.01,2.03,7.01,9.01 09/30/11 WILLIAM LYON HOMES DE 8.01 10/01/11 WILSHIRE BANCORP INC 5.02,9.01 09/28/11 WORTHINGTON INDUSTRIES INC OH 2.02,5.02,5.07,9.01 09/29/11 WRASP 30 INC DE 5.03,9.01 09/30/11 WRASP 31 INC DE 5.03,9.01 09/30/11 WRASP 32 INC DE 5.03,9.01 09/30/11 WRASP 33, INC DE 5.03,9.01 09/30/11 WRASP 34 INC DE 5.03,9.01 09/30/11 XCel Brands, Inc. NY 5.03,9.01 09/28/11 ZILLOW INC WA 7.01 10/04/11