In the Matter of China-Biotics, Inc.
On October 7, 2011, the Commission issued an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 against China-Biotics, Inc. (China-Biotics). The Order finds that China-Biotics is delinquent in its periodic filings with the Commission, having not filed any periodic reports since it filed a Form 10-Q for the period ended December 31, 2010.
The Commission also announced the issuance of an Order of Suspension of Trading Pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Order of Suspension) against China-Biotics, Inc. The Order of Suspension finds that there is a lack of current and accurate information concerning the securities of China-Biotics because it has been delinquent in its required periodic reports since February 2011.
Based on the above, the Order suspends the trading in the securities of China-Biotics for the period of October 7, 2011 through October 20, 2011. (Trading Suspension (Rel. 34-65509); Administrative Proceeding (Rel. 34-65510; File No 3-14581)
Following is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration.
Open meetings will be held in the Auditorium, Room L-002 at the Commission's headquarters building, 100 F Street, N.E., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting.
Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact SECInterpreter@SEC.gov at least three business days in advance. For any other reasonable accommodation related disability contact DisabilityProgramOfficer or call 202-551-4158.
Open Meeting on Wednesday, October 12, 2011 at 10:00 a.m.
The subject matters of the Open Meeting will be:
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.
Roundtable on Execution, Clearance and Settlement of Microcap Securities - Monday, October 17, 2011, at 1:00 p.m.
The Roundtable will take place in the Multi-Purpose Room of the Commission's headquarters at 100 F Street, NE, Washington D.C. The Roundtable will be open to the public with seating on a first-come, first-served basis. Doors will open at 12:30 p.m. Visitors will be subject to security checks.
The Roundtable will consist of a series of three panels. Panelists will consider a range of microcap securities topics, such as the current issues facing small cap issuers in the clearance and settlement process, potential regulatory changes impacting the Over-The-Counter markets, and Anti-Money laundering concerns specific to microcap issuers.
For further information, please contact the Office of the Secretary at (202) 551-5400.
Roundtable on Conflict Minerals on Tuesday, October 18, 2011, at 12:30 p.m.
The Roundtable will take place in the Auditorium of the Commission’s headquarters at 100 F Street, NE, Washington, DC. The Roundtable will be open to the public, with seating made available on a first-come, first-served basis. Doors will open at 12:00 p.m. Visitors will be subject to security checks.
The agenda for the meeting includes panel discussions addressing the Commission’s required rulemaking under Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which relates to reporting requirements regarding conflict minerals originating in the Democratic Republic of the Congo and adjoining countries.
For further information, please contact the Office of the Secretary at (202) 551-5400.
Notice of Filing Fees for Exempt Reporting Advisers and Private Fund Advisers
The Commission has issued notice of its intent to approve filing fees for exempt reporting advisers filing Form ADV with the Commission and, consistent with one of its recent rule proposals, private fund advisers filing Form PF. The fee for exempt reporting advisers would apply starting with the date on which an order approving the fee is published in the Federal Register. If the Form PF proposal is adopted, the fees for private fund advisers would apply starting with the effective date of Rule 204(b)-1 under the Investment Advisers Act of 1940.
The Commission has also provided notice of its determination that, if Form PF is adopted, the Financial Industry Regulatory Authority will develop and maintain the electronic filing system for Form PF as an extension of the existing Investment Adviser Registration Depository. (Rel. IA-3297)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Four 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 four companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the four issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-65507; File No. 3-14580)
In the Matter of Brian A. Bjork
On October 7, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities and Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Brian A. Bjork, a resident of Missouri City, Texas. The Order finds that, on August 25, 2011, a judgment was entered by consent against Bjork, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933; from violating or aiding and abetting violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder or from controlling another person who violates these provisions; and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940, in the civil action entitled Securities and Exchange Commission v. Brian A. Bjork, et al, Civil Action Number 4:11-cv-2830, in the United States District Court for the Southern District of Texas. The Order further finds that the Commission’s complaint alleged that, from 2004 through July 2011, Respondent offered securities in two fraudulent securities schemes, raising approximately $52 million combined. In the first scheme, Respondent offered investors corporate and other bonds, raising approximately $39 million from more than 100 investors. Respondent promised investors safe, fixed income from highly rated corporate and other bonds, but never acquired the bonds as promised. In the second scheme, Respondent offered securities issued by two private funds, raising approximately $13 million from at least 52 investors. The two funds, which Respondent controlled, commingled investor money, failed to provide promised financial statements, and transferred money to fund-affiliated entities in transactions undisclosed to investors. Moreover, in the affiliate loans, the funds disregarded due-diligence and loan-approval procedures promised in fund documents given to investors.
Based on the above, the Order bars Bjork from association with any broker, dealer, investment adviser, municipal securities dealer, transfer agent, or nationally recognized statistical rating organization. Bjork consented to the issuance of the Order without admitting or denying any of the findings except as to the entry of the judgment, which he admitted. (Rels. 34-65520; IA-3299; File No. 3-14583)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-093) to amend the Customer Large Trade Discount 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 10. (Rel. 34-65491)
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-095) to amend the Fees Schedule to delete erroneous language with respect to the SPX Tier Appointment 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 10. (Rel. 34-65492)
A proposed rule change filed by BATS Y-Exchange, Inc. (SR-BYX-2011-028) related to fees for use of BATS Y-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 10. (Rel. 34-65493)
A proposed rule change filed by BATS Exchange, Inc. (SR-BATS-2011-044) 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 10. (Rel. 34-65494)
A proposed rule change filed by the Municipal Securities Rulemaking Board (MSRB) relating to Amended and Restated Articles of Incorporation of Municipal Securities Rulemaking Board (SR-MSRB-2011-18) 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 10. (Rel. 34-65495)
A proposed rule change submitted by BATS Y-Exchange, Inc. (SR-BYX-2011-027), to establish a revenue sharing program with Correlix and a free trial period for new users of the Correlix service, 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 10. (Rel. 34-65496)
A proposed rule change submitted by BATS Exchange, Inc. (SR-BATS-2011-042), to establish a revenue sharing program with Correlix and a free trial period for new users of the Correlix service, 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 10. (Rel. 34-65497)
A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2011-64) relating to professional customer fees 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 10. (Rel. 34-65499)
A proposed rule change filed by BATS Exchange, Inc. to adopt a definition of “Professional” and requiring that all professional orders be appropriately marked (SR-BATS-2011-041) 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 10. (Rel. 34-65500)
A proposed rule change filed by the International Securities Exchange, LLC to retire a Pilot Program and to harmonize ISE’s Rules regarding listing expirations with the existing rules of other exchanges (SR-ISE-2011-63) 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 10. (Rel. 34-65502)
A proposed rule change (SR-NYSEArca-2011-71) filed by NYSE Arca, Inc. amending NYSE Arca Options Rule 6.87 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 10. (Rel. 34-65504)
A proposed rule change (SR-NYSEAmex-2011-76) filed by NYSE Amex LLC amending NYSE Amex Options Rule 975NY 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 10. (Rel. 34-65505)
Proposed Rule Change
International Securities Exchange, Inc. filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-ISE-2011-60) to expand the Short Term Options Series Program. Publication is expected to in the Federal Register during the week of October 10. (Rel. 34-65503)
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 MPT Operating Partnership, L.P., MEDICAL PROPERTIES TRUST, INC., 1000 URBAN CENTER DRIVE, SUITE 501, BIRMINGHAM, AL, 35242, 205-969-3755 - 0 ($450,000,000.00) Non-Convertible Debt, (File 333-177186 - Oct. 6) (BR. 08) S-4 Aristotle Holding, Inc., ONE EXPRESS WAY, ST. LOUIS, MO, 63121, (314) 692-1983 - 0 ($25,918,690,261.07) Equity, (File 333-177187 - Oct. 6) (BR. 01) S-1 United States Commodity Funds Trust I, 1320 HARBOR BAY PARKWAY, SUITE 145, ALAMEDA, CA, 94502, 510-522-9600 - 1,000 ($25,000.00) Other, (File 333-177188 - Oct. 6) (BR. 08) S-3ASR JOY GLOBAL INC, 100 EAST WISCONSIN AVE SUITE 2780, MILWAUKEE, WI, 53201-0554, 4144866400 - 0 ($0.00) Other, (File 333-177189 - Oct. 6) (BR. 10B) S-8 MISSION COMMUNITY BANCORP, 3380 S. HIGUERA STREET, SAN LUIS OBISPO, CA, 93401, 8057825000 - 0 ($1,713,266.50) Equity, (File 333-177199 - Oct. 6) (BR. 07A) S-1 Labor Smart, Inc., 1166 FRANKLIN RD. STE. 5, MARIETTA, GA, 30067, 877-208-6903 - 1,045,000 ($20,900.00) Equity, (File 333-177200 - Oct. 6) (BR. ) S-8 SABA SOFTWARE INC, 2400 BRIDGE PARKWAY, SIOTE 150, REDWOOD SHORES, CA, 94065-1166, 6506963822 - 3,000,000 ($16,200,000.00) Equity, (File 333-177201 - Oct. 6) (BR. 03C) S-8 DELL INC, ONE DELL WAY, STED, ROUND ROCK, TX, 78682-2244, 5127284737 - 0 ($9,120,851.00) Equity, (File 333-177202 - Oct. 6) (BR. 03B) S-4 RAAM Global Energy Co, 1537 BULL LEA ROAD, SUITE 200, LEXINGTON, KY, 40511, 859-253-1300 - 0 ($50,000,000.00) Non-Convertible Debt, (File 333-177203 - Oct. 6) (BR. 04) S-8 LEFT BEHIND GAMES INC., 25060 HANCOCK AVE, STE 103, BOX 110, MURRIETA, CA, 92562, 951-894-6597 - 500,000,000 ($100,000.00) Equity, (File 333-177204 - Oct. 6) (BR. 03B) S-8 ELEPHANT TALK COMMUNICATIONS CORP, 19103 CENTRE ROSE BLVD., LUTZ, FL, 33558, 813-926-8920 - 18,000,000 ($44,100,000.00) Equity, (File 333-177205 - Oct. 6) (BR. 11C) S-8 MURPHY OIL CORP /DE, 200 PEACH ST, PO BOX 7000, EL DORADO, AR, 71731-7000, 8708626411 - 600,000 ($25,593,000.00) Equity, (File 333-177206 - Oct. 6) (BR. 04C)
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 5Barz International, Inc. 1.01 09/30/11 ACCENTURE SCA 3.02 09/30/11 ACETO CORP NY 5.02,9.01 10/05/11 ACORN ENERGY, INC. DE 8.01 10/04/11 ADCARE HEALTH SYSTEMS INC OH 1.01,2.03,9.01 09/30/11 AE BIOFUELS, INC. NV 3.02 09/30/11 AECOM TECHNOLOGY CORP DE 1.01,2.03,9.01 09/30/11 AES CORP DE 5.02 09/30/11 AIR METHODS CORP DE 1.01,5.02,9.01 09/30/11 AKORN INC LA 1.01,2.03,7.01,9.01 10/05/11 AKORN INC LA 1.01 09/30/11 ALASKA AIR GROUP INC DE 7.01,9.01 10/05/11 ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 5.02 10/04/11 ALEXANDRIA REAL ESTATE EQUITIES INC MD 1.01 09/30/11 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 10/06/11 AMERICAN APPAREL, INC DE 2.02,9.01 10/06/11 American Realty Capital Trust III, In MD 2.01,9.01 09/30/11 AMERICAN TOWER CORP /MA/ DE 1.01,2.03,9.01 10/06/11 AMERIGAS PARTNERS LP DE 5.02,9.01 10/06/11 Ampio Pharmaceuticals, Inc. DE 8.01 10/06/11 ANGEION CORP/MN MN 8.01 09/30/11 ANGIODYNAMICS INC DE 2.02,9.01 10/06/11 APD ANTIQUITIES, INC. NV 1.01,9.01 09/30/11 APPLE INC CA 8.01 10/05/11 APPLETON PAPERS INC/WI 5.02 10/03/11 ARCHER DANIELS MIDLAND CO DE 8.01,9.01 10/06/11 Archipelago Learning, Inc. DE 1.01,7.01,9.01 10/05/11 ARDENT MINES LTD 8.01,9.01 09/28/11 ARIAD PHARMACEUTICALS INC DE 8.01,9.01 10/05/11 ARROWHEAD RESEARCH CORP DE 1.01,3.02,9.01 09/30/11 Ascent Capital Group, Inc. DE 5.02 09/30/11 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 10/06/11 ASSOCIATED ESTATES REALTY CORP OH 2.01,9.01 10/06/11 AMEND ASSURED GUARANTY LTD D0 7.01 10/06/11 ASTEC INDUSTRIES INC TN 8.01,9.01 10/06/11 Augme Technologies, Inc. DE 1.01,5.02,9.01 10/04/11 Avantair, Inc DE 7.01,9.01 10/06/11 Avenue South Ltd. NV 5.02,8.01 10/06/11 AMEND AxoGen, Inc. 1.01,2.01,2.03,3.03, 09/30/11 5.01,5.02,5.03,8.01, 9.01 AZZ INC TX 7.01,8.01,9.01 10/05/11 BAKKEN RESOURCES INC 8.01 09/30/11 BASSETT FURNITURE INDUSTRIES INC VA 2.02,9.01 10/06/11 BEACON POWER CORP DE 3.01,8.01,9.01 09/30/11 BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 10/06/11 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 7.01,9.01 10/06/11 BHM Discretionary Futures Fund L.P. DE 3.02 10/01/11 BIOMET INC IN 2.02,9.01 10/06/11 BIOVEST INTERNATIONAL INC DE 7.01,9.01 10/06/11 Blackstone Group L.P. DE 8.01,9.01 10/06/11 Blackwater Midstream Corp. 1.01,9.01 10/04/11 BlueLinx Holdings Inc. DE 2.03 09/30/11 Bluerock Enhanced Multifamily Trust, MD 1.01,2.03 09/30/11 BOYD GAMING CORP NV 8.01 10/04/11 BREEZE-EASTERN CORP DE 7.01,9.01 10/06/11 Bridgeline Digital, Inc. DE 1.01,2.01,3.02,7.01, 10/03/11 9.01 BROOKS AUTOMATION INC DE 2.01,9.01 07/25/11 AMEND Bullfrog Gold Corp. DE 2.01,3.02,4.01,5.01, 09/30/11 5.03,5.06,9.01 CAGLES INC GA 2.03 09/30/11 CALAVO GROWERS INC CA 1.01,2.03,9.01 09/30/11 Calumet Specialty Products Partners, DE 2.01,2.03,7.01,9.01 09/30/11 CAMBRIDGE HEART INC DE 7.01,9.01 10/06/11 Cardiovascular Systems Inc DE 2.02,9.01 10/06/11 CarePayment Technologies, Inc. OR 1.01,1.02,2.03,5.02, 07/07/11 9.01 CASCADE BANCORP OR 5.02,9.01 10/03/11 CASPIAN SERVICES INC NV 1.01,2.03,3.02,5.03, 09/30/11 9.01 CC Media Holdings Inc 5.02,9.01 10/02/11 CEF EQUIPMENT HOLDING LLC DE 1.01,9.01 10/05/11 CEL SCI CORP CO 1.01,9.01 10/03/11 CENTERLINE HOLDING CO DE 1.01,9.01 09/30/11 CERADYNE INC DE 7.01,9.01 10/04/11 CF Industries Holdings, Inc. DE 2.06 10/06/11 China Biologic Products, Inc. 5.02,9.01 10/06/11 China Forestry Industry Group, Inc. CA 5.03,9.01 10/06/11 CIRRUS LOGIC INC DE 8.01,9.01 10/06/11 CLEAR CHANNEL COMMUNICATIONS INC TX 5.02,9.01 10/02/11 Clear Channel Outdoor Holdings, Inc. DE 5.02,9.01 10/02/11 CLEVELAND BIOLABS INC DE 8.01 10/04/11 CLOROX CO /DE/ DE 5.02,9.01 10/03/11 Comstock Mining Inc. NV 8.01,9.01 10/05/11 CONSOL Energy Inc DE 1.01,2.01,7.01,9.01 09/30/11 CONSTELLATION BRANDS, INC. DE 2.02,7.01,9.01 10/06/11 Cornerstone Core Properties REIT, Inc MD 1.02 09/30/11 CORTEX PHARMACEUTICALS INC/DE/ DE 1.01,9.01 09/30/11 COSI INC DE 8.01,9.01 09/29/11 Covidien plc 5.02,9.01 10/01/11 CREENERGY Corp NV 5.02 10/03/11 Customers Bancorp, Inc. PA 3.02,8.01,9.01 10/06/11 Cyber Informatix, Inc. NV 1.01,2.01,3.02,5.01, 10/06/11 5.02,5.03,5.06,5.07, 9.01 CYBERDEFENDER CORP CA 1.01,2.03,3.02,8.01, 09/28/11 AMEND 9.01 DealerTrack Holdings, Inc. DE 1.01,2.01,9.01 10/01/11 DecisionPoint Systems, Inc. DE 3.02 09/30/11 DEL MONTE CORP 7.01 10/06/11 Destination Maternity Corp DE 2.02,9.01 10/06/11 Diamond Resorts Corp MD 7.01,9.01 10/06/11 DIGAGOGO VENTURES CORP DE 1.01 10/05/11 DIGITAL ANGEL CORP DE 5.02 09/30/11 DOUBLE EAGLE PETROLEUM CO MD 5.02 09/30/11 DYNASIL CORP OF AMERICA NJ 5.02,9.01 10/03/11 EASYLINK SERVICES INTERNATIONAL CORP DE 2.02,9.01 10/06/11 AMEND EBIX INC DE 8.01 10/05/11 ECOTALITY, INC. NV 1.01,8.01,9.01 09/30/11 ecoTECH Energy Group Inc. NV 1.01,7.01,9.01 09/23/11 eLayaway, Inc. DE 5.03 09/26/11 ELECTRO RENT CORP CA 2.02,9.01 10/05/11 EMERALD DAIRY INC NV 1.01,2.03,3.02,9.01 09/30/11 Emergent BioSolutions Inc. DE 1.01 09/30/11 EMERGING MEDIA HOLDINGS INC NV 1.01,9.01 09/30/11 EMMAUS LIFE SCIENCES, INC. DE 1.01,2.01,5.01,5.02, 05/03/11 AMEND 5.03,5.06,9.01 Encompass Group Affiliates, Inc FL 2.01,3.02,5.02,5.07, 10/03/11 9.01 ENCORIUM GROUP INC NV 2.02,9.01 10/06/11 ENDO PHARMACEUTICALS HOLDINGS INC DE 1.02 09/30/11 EnerJex Resources, Inc. NV 1.01,2.03,9.01 10/03/11 EQUINIX INC DE 8.01,9.01 10/06/11 ETHAN ALLEN INTERIORS INC DE 5.02,9.01 09/30/11 EXACTECH INC FL 5.02,9.01 09/30/11 EXPRESS SCRIPTS INC DE 7.01,9.01 10/06/11 EXPRESS SCRIPTS INC DE 8.01 10/06/11 EZCORP INC DE 1.01,5.02,8.01,9.01 09/30/11 FARO TECHNOLOGIES INC FL 5.07 05/12/11 AMEND FASTENAL CO MN 7.01,9.01 10/06/11 FASTFUNDS FINANCIAL CORP NV 5.02 09/30/11 Federal Home Loan Bank of Atlanta X1 2.03 10/06/11 Federal Home Loan Bank of Chicago X1 2.03 10/03/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/03/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/04/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/06/11 Federal Home Loan Bank of New York X1 2.03,9.01 10/04/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/03/11 Federal Home Loan Bank of San Francis X1 2.03 10/03/11 Federal Home Loan Bank of Seattle 2.03 10/03/11 Federal Home Loan Bank of Topeka 2.03,9.01 10/03/11 FIRST POTOMAC REALTY TRUST MD 1.01,9.01 09/30/11 FIRST RELIANCE BANCSHARES INC SC 5.03,9.01 10/01/11 FIRST TRUST STRATEGIC HIGH INCOME FUN MA 7.01,9.01 10/06/11 FLEETCOR TECHNOLOGIES INC DE 1.01,9.01 09/30/11 FNBH BANCORP INC MI 5.07 09/22/11 AMEND FONAR CORP DE 8.01 10/05/11 FOREST OIL CORP NY 2.01,2.05,9.01 09/30/11 FOREST OIL CORP NY 2.01,2.05,9.01 09/30/11 AMEND Fortress Investment Group LLC DE 7.01 10/06/11 Franchise Holdings International, Inc NV 4.01,9.01 06/15/10 FRISCHS RESTAURANTS INC OH 5.07 10/05/11 GAP INC DE 7.01,9.01 10/06/11 GC China Turbine Corp. NV 4.01,9.01 09/21/11 AMEND GeNOsys, Inc. UT 1.01,9.01 09/23/11 GENWORTH FINANCIAL INC DE 2.01,9.01 10/01/11 GEOKINETICS INC DE 7.01 10/05/11 GLOBAL GREEN SOLUTIONS INC. NV 8.01 10/06/11 Global Growth Trust, Inc. MD 1.01,9.01 10/03/11 Globalstar, Inc. DE 5.02,7.01,9.01 10/06/11 Great Lakes Dredge & Dock CORP DE 7.01,9.01 10/06/11 GreenHaven Continuous Commodity Index DE 1.01,9.01 10/05/11 GRIFFIN LAND & NURSERIES INC DE 2.02,9.01 10/06/11 GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 10/04/11 GULFMARK OFFSHORE INC DE 8.01,9.01 10/03/11 HANSEN MEDICAL INC 8.01,9.01 10/06/11 Hawaiian Telcom Holdco, Inc. DE 1.01,2.03,9.01 10/03/11 HEALTH MANAGEMENT ASSOCIATES INC DE 1.01,2.01,2.03 09/30/11 HEALTHCARE TRUST OF AMERICA, INC. MD 7.01,9.01 10/06/11 Healthsport, Inc. DE 1.03 10/05/11 Highpower International, Inc. DE 4.01,9.01 09/30/11 Hoku Corp DE 1.01,2.03,9.01 10/05/11 Horizon Lines, Inc. 1.01,2.03,3.03,5.01, 10/03/11 8.01,9.01 HOUSTON AMERICAN ENERGY CORP DE 7.01,9.01 10/05/11 HSW International, Inc. DE 5.02 10/03/11 HYUNDAI ABS FUNDING CORP DE 1.01,9.01 10/06/11 ICF International, Inc. DE 7.01,9.01 10/06/11 ICU MEDICAL INC/DE DE 8.01,9.01 10/06/11 IDT CORP DE 2.02,9.01 10/06/11 Ingersoll-Rand plc L2 2.06,8.01,9.01 09/30/11 INLAND REAL ESTATE CORP MD 8.01,9.01 10/06/11 INTERNATIONAL SPEEDWAY CORP FL 2.02,7.01,8.01,9.01 10/06/11 IPG PHOTONICS CORP DE 8.01,9.01 10/06/11 ISSUER DIRECT CORP 5.07 09/30/11 JACOBS ENTERTAINMENT INC DE 1.01,2.01,9.01 10/03/11 JOY GLOBAL INC DE 8.01,9.01 10/06/11 JOY GLOBAL INC DE 8.01,9.01 10/06/11 AMEND Keyuan Petrochemicals, Inc. NV 3.01,9.01 10/05/11 KILROY REALTY CORP MD 5.07 05/24/11 AMEND LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 10/06/11 LAW ENFORCEMENT ASSOCIATES CORP NV 8.01 09/30/11 Lender Processing Services, Inc. DE 5.02 10/05/11 LEVEL 3 COMMUNICATIONS INC DE 1.01,2.01,2.03,3.01, 10/02/11 3.03,5.02,5.03,8.01, 9.01 LEXMARK INTERNATIONAL INC /KY/ DE 1.01,9.01 09/30/11 Liberator, Inc. FL 7.01,9.01 10/06/11 Lincolnway Energy, LLC IA 8.01 10/05/11 LITHIA MOTORS INC OR 1.01,2.03,9.01 10/05/11 LOCAL.COM DE 4.02,9.01 10/03/11 LRAD Corp DE 2.02,9.01 10/06/11 MACROSOLVE INC OK 1.01,2.03,9.01 09/30/11 MAGELLAN PETROLEUM CORP /DE/ DE 7.01,9.01 10/06/11 Marathon Petroleum Corp DE 1.01,8.01,9.01 09/29/11 Marine Drive Mobile Corp. NV 2.01,8.01,9.01 10/06/11 MAYS J W INC NY 2.02 10/05/11 MEDCATH CORP DE 1.01,2.01,9.01 09/30/11 Meiguo Ventures I, Inc. 5.02 09/23/11 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 10/03/11 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 10/03/11 Merriman Holdings, Inc DE 8.01,9.01 10/06/11 MERU NETWORKS INC DE 2.02,5.02,9.01 10/03/11 MET PRO CORP PA 5.02 10/06/11 METLIFE INC DE 7.01 10/06/11 METROPOLITAN HEALTH NETWORKS INC FL 1.01,2.01,2.03,5.02, 10/04/11 8.01,9.01 MICHAEL BAKER CORP PA 1.01,2.01,8.01,9.01 10/03/11 Mobile Data Corp. NV 5.02 10/05/11 MOHEGAN TRIBAL GAMING AUTHORITY 5.02 10/03/11 AMEND Monarch Investment Properties, Inc. NV 5.02 10/05/11 MultiCell Technologies, Inc. DE 1.01,9.01 09/30/11 MV Oil Trust DE 2.02,9.01 10/06/11 NAVARRE CORP /MN/ MN 1.01,5.02,9.01 09/15/11 AMEND NCO Group, Inc. DE 5.02,9.01 09/30/11 NEOMEDIA TECHNOLOGIES INC DE 5.02,9.01 10/01/11 Neuralstem, Inc. DE 7.01,9.01 10/04/11 NEWS CORP 8.01,9.01 10/06/11 NIC INC CO 5.05 10/05/11 NN INC DE 1.01,9.01 10/04/11 NORDSTROM INC WA 7.01,9.01 10/06/11 Nuance Communications, Inc. DE 2.01,9.01 09/30/11 NYTEX Energy Holdings, Inc. DE 1.01,9.01 09/30/11 Oncothyreon Inc. DE 3.02 10/04/11 One e Commerce CORP 5.01,5.02 09/22/11 AMEND ORAGENICS INC FL 1.01,9.01 10/05/11 OURPETS CO CO 1.01,2.03,3.02,9.01 09/30/11 PACIFIC CAPITAL BANCORP /CA/ DE 5.07 05/11/11 AMEND PATHEON INC 5.02,9.01 10/05/11 PCS EDVENTURES COM INC ID 2.03,9.01 06/20/11 AMEND Pebblebrook Hotel Trust MD 5.07 10/05/11 AMEND PEOPLES EDUCATIONAL HOLDINGS MN 2.02,9.01 10/06/11 PHARMATHENE, INC DE 5.02 09/30/11 PHYSICIANS FORMULA HOLDINGS, INC. DE 1.01,2.03,7.01,9.01 09/30/11 PNM RESOURCES INC NM 8.01,9.01 10/06/11 PNM RESOURCES INC NM 1.01,1.02,2.03,9.01 09/30/11 Polaris Futures Fund L.P. DE 3.02 10/01/11 POWELL INDUSTRIES INC NV 5.02 09/30/11 POZEN INC /NC 5.02 10/01/11 Pregis Holding II CORP DE 1.01,9.01 10/02/11 PRESSURE BIOSCIENCES INC MA 1.01,9.01 10/06/11 QC Holdings, Inc. KS 1.01,5.05,8.01,9.01 09/30/11 QR Energy, LP DE 1.01,2.01,2.03,3.02, 10/03/11 3.03,5.03,7.01,9.01 QUALCOMM INC/DE DE 5.02 10/03/11 QUALITY SYSTEMS, INC CA 5.03,9.01 10/03/11 REALTY INCOME CORP MD 7.01,9.01 10/05/11 Redpoint Bio CORP 1.01 09/30/11 Regency Energy Partners LP DE 8.01,9.01 10/06/11 REX ENERGY CORP DE 1.01,5.02,8.01 09/30/11 ROBBINS & MYERS, INC. OH 2.02,9.01 10/06/11 Rock-Tenn CO GA 8.01,9.01 10/05/11 RSC Holdings Inc. DE 1.01,3.01,5.02 09/30/11 SAKS INC TN 7.01,9.01 10/06/11 SANTANDER DRIVE AUTO RECEIVABLES LLC DE 8.01,9.01 10/06/11 SEALY CORP DE 7.01,9.01 10/05/11 SERVICESOURCE INTERNATIONAL, INC. 2.02,9.01 10/06/11 SHUFFLE MASTER INC MN 5.02,9.01 09/30/11 SIGNATURE GROUP HOLDINGS, INC. NV 1.01,2.03,8.01,9.01 10/05/11 SMITH & WESSON HOLDING CORP NV 8.01,9.01 10/06/11 Steel Excel Inc. DE 1.01,5.02,9.01 10/01/11 SYNAPTICS INC DE 5.02,8.01,9.01 10/04/11 SYNERGETICS USA INC 2.02,7.01,9.01 10/06/11 SYNERGY PHARMACEUTICALS, INC. FL 1.01,9.01 10/06/11 Target Acquisitions I, Inc. DE 2.01,3.02,5.01,5.06, 09/30/11 AMEND 9.01 TC GLOBAL, INC. WA 7.01,8.01 10/06/11 Teavana Holdings Inc 1.01,2.03,9.01 10/06/11 TERADYNE, INC MA 2.01,9.01 10/05/11 THERMO FISHER SCIENTIFIC INC. DE 2.02,9.01 10/06/11 TIDEWATER INC DE 8.01,9.01 10/04/11 TOTAL SYSTEM SERVICES INC GA 8.01 10/01/11 TPC Group Inc. DE 5.02,7.01,9.01 09/30/11 Travelport LTD D0 1.01,2.03,5.02,5.03, 09/30/11 9.01 Two Harbors Investment Corp. 5.02,9.01 09/14/11 U S PRECIOUS METALS INC DE 5.02 10/05/11 U.S. Auto Parts Network, Inc. DE 5.02 10/04/11 UGI CORP /PA/ PA 5.02,9.01 10/06/11 UNIGENE LABORATORIES INC DE 1.01,9.01 10/04/11 UNIGENE LABORATORIES INC DE 1.01,3.02,9.01 10/05/11 UNIGENE LABORATORIES INC DE 7.01,9.01 10/06/11 Unilife Corp DE 5.02 09/30/11 UNIVEST CORP OF PENNSYLVANIA PA 3.03,9.01 09/30/11 Unum Group DE 5.02,9.01 10/02/11 Vestin Realty Mortgage I, Inc. 1.01 10/06/11 Vestin Realty Mortgage II, Inc MD 1.01 10/06/11 WaferGen Bio-systems, Inc. NV 1.01,3.03,9.01 09/30/11 WASHINGTON REAL ESTATE INVESTMENT TRU MD 1.01,2.01,9.01 09/02/11 AMEND WebMD Health Corp. DE 5.07 10/04/11 WEINGARTEN REALTY INVESTORS /TX/ TX 8.01,9.01 10/06/11 WINNEBAGO INDUSTRIES INC IA 7.01,9.01 10/06/11 WISCONSIN ENERGY CORP WI 8.01 10/06/11 Wonder Auto Technology, Inc NV 1.01,9.01 10/06/11 WORLD HEALTH ENERGY HOLDINGS, INC. DE 5.02,9.01 10/04/11 XFONE INC. NV 2.03,9.01 10/06/11 Yanglin Soybean, Inc. NV 5.02,9.01 09/28/11 ZIX CORP TX 2.02,7.01 10/06/11