SEC and FSA Hold Strategic Dialogue Meeting
Securities and Exchange Commission Chairman Mary L. Schapiro and senior SEC staff met today with the UK Financial Services Authority’s (FSA) chief executive Hector Sants and its managing director of the conduct business unit Martin Wheatley as part of the regular, ongoing SEC-FSA Strategic Dialogue to discuss regulatory approaches to current issues.
During the SEC-FSA dialogue, the agencies exchanged views on a number of topics including issues relating to over-the-counter derivatives, technology-driven trading strategies, market surveillance, and short selling, as well as the agencies’ respective participation in the Financial Stability Board and the International Organization of Securities Commissions. In addition, the agencies discussed the impact of current regulatory reform efforts being undertaken in both jurisdictions.
Chairman Schapiro said, “The ongoing dialogue between the SEC and the UK FSA demonstrates both agencies’ commitment to aligning interests with the goal of achieving regulatory consistency. As Europe and the U.S. continue to enhance regulation in the wake of the financial crisis, working with all of our counterparts is essential to help prevent regulatory arbitrage, especially in the areas involving over-the-counter derivatives and market structure.”
FSA CEO Sants said, “Close cooperation between the FSA and the SEC is important as we seek to meet the G20 commitment to enhance transparency, mitigate systemic risk, and protect against market abuse. The strategic dialogue is key to this and gives the two agencies the opportunity to find common ground, build on areas of mutual interest, and identify potential regulatory gaps.”
The SEC and FSA have long had a close relationship. The SEC and the FSA’s predecessor agency first signed enforcement information-sharing arrangements in 1986. More recently in 2006, the SEC and FSA executed a supervisory information-sharing memorandum of understanding in which the two regulators laid out how they would share information relating to the financial health and regulatory compliance of regulated entities operating in both countries.
Today’s meeting provided an opportunity for the SEC and the FSA to restate their commitment to working together and continue discussions in the areas of common regulatory interest including cross-border enforcement cases, the oversight of dually-regulated firms, and the global regulatory agenda. (Press Rel. 2011-206)
SEC Advisory Committee on Small and Emerging Companies to Hold First Meeting on October 31
The Securities and Exchange Commission Advisory Committee on Small and Emerging Companies today announced that it will hold its first meeting on Monday, October 31.
The Commission established the advisory committee last month to provide a formal mechanism for it to receive advice and recommendations specifically related to privately held small businesses and smaller publicly traded companies.
The meeting will begin at 9 a.m. at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C. The event is open to the public, with seating on a first-come, first-served basis. It also will be webcast live on the SEC’s website, www.sec.gov, and will be archived on the website for later viewing.
The full agenda for the meeting will be released before the meeting date.
Closed Meeting on Thursday, October 20, 2011 at 10:00 a.m.
The subject matter of the Closed Meeting scheduled for Thursday, October 20, 2011 will be: settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement 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.
The decision of an administrative law judge with respect to American Resource Technologies, Inc., has become final. The law judge found that American Resource Technologies, Inc., violated Section 13(a) of the Securities Exchange Act of 1934 and Rules 13a-1 and 13a-13 by not filing any periodic reports since it filed a Form 10-Q for the period ended June 30, 2009, which showed a net loss of $394,684 for the prior nine months. Further, since August 14, 2008, American Resources has not filed a timely periodic report with the Commission, only a succession of untimely or missing reports. American Resource has failed to timely file thirty-seven of forty-six periodic reports during the filing periods ended December 1999 through March 2011. The law judge also noted that, although American Resource filed its Form 8-K for the period ended May 15, 2011, and Form 10-K for the period ended September 30, 2009, it still remains delinquent in its reporting obligations. (Rel. 34-65540; File No. 3-14378)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of International Solubles Corp., Internet Capital Ventures & Association, Inc. (n/k/a Atlantis Studios Corporation), Intratel Group, Ltd., iQrom Communications, Inc., Irutil Co. Inc., and ISNI.net, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-65546; File No. 3-14546)
In the Matter of Sharon Energy, Ltd.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default as to Sheldahl, Inc. (Default Order) in Sharon Energy, Ltd., Admin. Proc. No. 3-14556. The Order Instituting Proceedings alleged that Respondent repeatedly failed to file required annual and quarterly reports while its 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 Sheldahl, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934.
The proceeding has ended as to Sonoma International, Inc. See Sharon Energy Ltd., Exchange Act Release No. 65463 (Oct. 3, 2011). The proceeding is still ongoing as to Sharon Energy, Ltd., which filed a Form 15 with the Commission on September 30, 2011, to voluntarily revoke its registration effective by December 29, 2011. (Rel. 34-65547; File No. 3-14556)
In the Matter of Glenn M. Barikmo
An Administrative Law Judge has issued an Initial Decision (Decision) in Glenn M. Barikmo, Admin. Proc. No. 3-14474. On June 30, 2011, the U.S. District Court for the Middle District of Florida entered a final judgment against Glenn M. Barikmo (Barikmo), permanently enjoining him from violating Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rule 10b-5, and from aiding and abetting any violation of Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 (Advisers Act) and Advisers Act Rule 206(4)-8, in connection with his involvement in the fraudulent use of investor proceeds in two hedge funds, Arcanum Equity Fund, LLC and Vestium Equity Fund, LLC.
Based on the final judgment entered against Barikmo, the Decision bars Barikmo from association with a broker, dealer, investment adviser, municipal securities dealer, transfer agent, and NRSRO, pursuant to Section 15(b) of the Exchange Act and Section 203(f) of the Advisers Act. (Initial Decision No. 436; File No. 3-14474)
SEC Brings Settled FCPA Action Against Watts Water Technologies, Inc. and Leesen Chang
Today, the Commission entered an Order against Watts Water Technologies, Inc. (Watts) and a former employee, Leesen Chang, arising out of violations of the Foreign Corrupt Practices Act (FCPA) through a former Watts’ subsidiary in China, Watts Valve (Changsha) Co., Ltd. (CWV). As described in the Commission’s Order, CWV produced and supplied large valve products for infrastructure projects that were constructed and developed by state-owned entities in China. Between 2006 and 2009, employees of CWV made improper payments to employees of certain state-owned design institutes in order to influence the design institutes to recommend CWV valve products to the state-owned customers and to create design specifications that favored CWV valve products. The improper payments were facilitated by a sales incentive policy at the subsidiary that permitted sales employees to use their sales commissions to make payments to design institutes of up to three percent of the total contract amount. As a result, payments to design institute were recorded in CWV’s books and records as commissions, causing Watts’ books and records to be inaccurate. Chang, a U.S. citizen and the former vice president of sales for Watts’ management subsidiary in China, approved commission payments that itemized payments to design institutes and knew or should have known that the payments were improperly recorded as commissions.
As further described in the Commission’s Order, although Watts failed to implement a system of FCPA compliance and internal controls commensurate with the risks posed by CWV when it acquired the subsidiary, upon discovering the violations in 2009, the company voluntarily self-reported the improper payments, shared the results of its internal investigation and further cooperated with the Commission staff’s investigation. The company also promptly undertook numerous remedial measures.
Watts and Chang, without admitting or denying any of the findings in the Order except as to the jurisdiction of the Commission over them, consented to the entry of the Order that orders Watts to pay disgorgement of $2,755,815, prejudgment interest of $820,791 and a $200,000 penalty, orders Chang to pay a $25,000 penalty, orders Watts and Chang to cease and desist from committing or causing any violations and any future violations of Sections 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act, and orders Chang to cease and desist from committing or causing any violations and future violations of Exchange Act Rule 13b2-1. (Rel. 34-65555; File No. 3-14585; AAE Rel. 3328)
In the Matter of EDGA Exchange, Inc., EDGX Exchange, Inc. and Direct Edge ECN, LLC
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 19(h) and 21C of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against EDGA Exchange, Inc. (EDGA), EDGX Exchange, Inc. (EDGX) and Direct Edge ECN, LLC doing business as DE Route (DE Route) (collectively, Respondents).
The Order finds that Respondents violated the federal securities laws in connection with two systems incidents occurring in November 2010 and April 2011. The Order finds that in responding to the November 2010 incident, EDGA, EDGX and DE Route improperly assumed and traded out of member positions through DE Route’s error account in violation of the Exchanges’ rules, and DE Route engaged in improper short selling activity in violation of Regulation SHO. The Order further finds that in responding to the April 2011 incident, EDGX failed to timely identify its quotations as manual quotations in violation of Regulation NMS.
The Order finds that EDGA violated Sections 19(b) and 19(g) of the Exchange Act, EDGX violated Sections 19(b) and 19(g) of the Exchange Act and Rule 602(a)(3) thereunder, and DE Route caused violations of Section 19(g) of the Exchange Act and violated Rules 200(g) and 203(b) thereunder. The Order finds that these violations occurred against the backdrop of weaknesses in the Respondents’ systems, processes, and controls.
Respondents, without admitting or denying the Commission’s findings, consented to the entry of an order imposing a censure and requiring them to cease and desist from further violations of the federal securities laws and to comply with significant undertakings designed to improve their information technology systems and controls and compliance procedures. Respondents have begun or completed many of the Undertakings and cooperated with the Commission staff’s investigation. (Rel. 34-65556; File No. 3-14586)
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 MPHASE TECHNOLOGIES INC, 587 CONNECTICUT AVE, PO BOX 566, NORWALK, CT, 06854, 2038312212 - 188,076,471 ($902,767.06) Equity, (File 333-177248 - Oct. 12) (BR. 10B) S-1 NSJ-US. Co., Ltd., 1955 BARRING BLVD., SPARKS, NV, 89434, 775-358-1412 - 8,028,775 ($802,887.50) Equity, (File 333-177249 - Oct. 12) (BR. 11) F-3 WNS (HOLDINGS) LTD, GATE 4, GODREJ & BOYCE COMPLEX, PIROJSHANAGAR, VIKHROLI (W), MUMBAI, K7, 400 079, 91-22-55976100 - 21,366,644 ($258,109,059.52) ADRs/ADSs, (File 333-177250 - Oct. 12) (BR. 03C) S-3ASR MOSAIC CO, 3033 CAMPUS DRIVE, SUITE E490, PLYMOUTH, MN, 55441, 7635772700 - 0 ($0.00) Non-Convertible Debt, (File 333-177251 - Oct. 12) (BR. 05C) S-3ASR KOHLS Corp, 4147835800 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-177252 - Oct. 12) (BR. 02C) S-8 DATARAM CORP, P O BOX 7528, PRINCETON, NJ, 08543, 6097990071 - 200,000 ($244,000.00) Equity, (File 333-177256 - Oct. 12) (BR. 03A) S-1 TELETOUCH COMMUNICATIONS INC, 1913 DEERBROOK, TYLER, TX, 75703, 9035958800 - 32,000,999 ($20,160,629.37) Equity, (File 333-177258 - Oct. 12) (BR. 11A) S-1 Armstrong Energy, Inc., 7733 FORSYTH BOULEVARD, SUITE 1625, ST. LOUIS, MO, 63105, 314-721-8202 - 0 ($69,000,000.00) Equity, (File 333-177259 - Oct. 12) (BR. ) S-1 Armstrong Resource Partners, L.P., 7733 FORSYTH BOULEVARD, SUITE 1625, ST. LOUIS, MO, 63105, 314-721-8202 - 0 ($22,000,000.00) Equity, (File 333-177260 - Oct. 12) (BR. ) S-1 Cempra Holdings, LLC, 6340 QUADRANGLE DRIVE, SUITE 100, CHAPEL HILL, NC, 27517-8149, 919-313-6617 - 0 ($86,250,000.00) Equity, (File 333-177261 - Oct. 12) (BR. ) S-11 Wheeler Real Estate Investment Trust, Inc., RIVERSEDGE NORTH, 2529 VIRGINIA BEACH BLVD., SUITE 200, VIRGINIA BEACH, VA, 23452, 757-627-9088 - 0 ($23,800,000.00) Equity, (File 333-177262 - Oct. 12) (BR. ) S-8 HEWLETT PACKARD CO, 3000 HANOVER ST, MS 1050, PALO ALTO, CA, 94304, 6508571501 - 6,034,258 ($84,688,636.00) Equity, (File 333-177263 - Oct. 12) (BR. 03C) S-4 ZaZa Energy Corp, 1301 MCKINNEY STREET, SUITE 2850, HOUSTON, TX, 77010, 713-595-1900 - 0 ($75,578,232.89) Equity, (File 333-177264 - Oct. 12) (BR. ) S-3 Susser Holdings CORP, 4525 AYERS STREET, CORPUS CHRISTI, TX, 78415, 361-884-2463 - 0 ($134,871,691.00) Equity, (File 333-177265 - Oct. 12) (BR. 02A) S-1 SGreenTech Group Ltd, ROOM 1, 13/F, HUNG TAI INDUSTRIAL BLDG, 37 HUNG TO ROAD, KOWLOON, HONG KONG, F4, 00000, (011) 845 27555022 - 1,200,000 ($3,600,000.00) Equity, (File 333-177266 - Oct. 12) (BR. 02) S-1 FIRST ULB CORP., 100 HEGENBERGER ROAD, OAKLAND, CA, 94621, 510 567-6900 - 0 ($28,750,000.00) Equity, (File 333-177267 - Oct. 12) (BR. ) S-1 BROMWELL FINANCIAL FUND LP, 505 BROOKFIELD DRIVE, DOVER, DE, 46737, 800-331-1532 - 31,361 ($20,000,000.00) Limited Partnership Interests, (File 333-177268 - Oct. 12) (BR. 08C) S-8 BREEZE-EASTERN CORP, 35 MELANIE LANE, WHIPPANY, NJ, 07981, 973 602 1001 - 0 ($6,870,000.00) Equity, (File 333-177269 - Oct. 12) (BR. 05C)
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 ABRAXAS PETROLEUM CORP NV 7.01,9.01 10/12/11 ADTRAN INC DE 2.02,9.01 10/11/11 ADVANCED ANALOGIC TECHNOLOGIES INC DE 8.01 10/07/11 ADVANCED ANALOGIC TECHNOLOGIES INC DE 8.01,9.01 10/12/11 AGENT155 MEDIA CORP. NV 3.02 07/26/11 ALCOA INC PA 2.02,9.01 10/11/11 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 10/11/11 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 10/11/11 AMERICAN AIRLINES INC DE 7.01 10/12/11 AMERICAN EXPRESS RECEIVABLES FINANCIN DE 8.01,9.01 10/12/11 AMERICAN REALTY CAPITAL NEW YORK RECO MD 2.01,2.03,9.01 10/05/11 AMERICAN RIVER BANKSHARES CA 7.01,9.01 10/12/11 AMR CORP DE 7.01 10/12/11 AmREIT Monthly Income & Growth Fund I 1.01,2.03,9.01 10/07/11 ANALOGIC CORP MA 1.01,2.03,9.01 10/11/11 ante5, Inc. DE 8.01 10/07/11 APAC CUSTOMER SERVICES, INC IL 5.07,8.01,9.01 10/12/11 AQUA SOCIETY, INC. NV 7.01 10/12/11 ARCADIA RESOURCES, INC NV 1.01,2.04 10/06/11 Armour Residential REIT, Inc. MD 1.01,9.01 10/11/11 Artio Global Investors Inc. DE 7.01,9.01 10/12/11 ARTS WAY MANUFACTURING CO INC DE 2.02,9.01 10/12/11 Atlas Capital Holdings, Inc. NV 1.01,1.02,9.01 10/06/11 AUDIOVOX CORP DE 2.02,8.01 10/11/11 BANK OF SOUTH CAROLINA CORP SC 2.02,9.01 10/12/11 Baron Energy Inc. NV 3.02,5.02 10/05/11 BEACON POWER CORP DE 1.01,3.02,3.03,9.01 10/05/11 BEST BUY CO INC MN 2.03 10/07/11 BILL BARRETT CORP 7.01,9.01 10/11/11 BioScrip, Inc. DE 1.01,5.02,9.01 10/12/11 BJs RESTAURANTS INC CA 8.01,9.01 10/12/11 Black Raven Energy, Inc. NV 2.01,9.01 10/12/11 AMEND BOSTON BEER CO INC MA 5.07 05/25/11 AMEND BREEZE-EASTERN CORP DE 5.07 10/06/11 BROADCOM CORP CA 8.01,9.01 10/12/11 BROADSOFT, INC. DE 8.01,9.01 09/30/11 Buckingham Exploration Inc. 3.02 10/12/11 Bullion Monarch Mining, Inc. (NEW) UT 8.01,9.01 10/12/11 CALIX, INC 5.07 05/25/11 AMEND CAMPBELL FUND TRUST DE 3.02 10/12/11 CENTURY BANCORP INC MA 2.02,9.01 10/12/11 CHASE CORP MA 2.05 10/05/11 CHAUS BERNARD INC NY 9.01 10/06/11 CHEROKEE INC DE 5.02 10/10/11 China Fruits Corp NV 1.01,3.02,9.01 06/30/11 China Natural Gas, Inc. DE 5.02 10/04/11 CLAIBORNE LIZ INC DE 1.01,7.01,8.01,9.01 10/12/11 Colony Financial, Inc. MD 8.01 10/07/11 COMMERCE GROUP CORP /WI/ WI 5.02 10/11/11 CONOLOG CORP DE 1.01,3.02,9.01 10/06/11 COOPER COMPANIES INC DE 8.01,9.01 10/12/11 Copano Energy, L.L.C. 7.01,9.01 10/11/11 Copano Energy, L.L.C. 8.01,9.01 10/12/11 CREDIT ACCEPTANCE CORP MI 1.01,2.03,9.01 10/06/11 CubeSmart MD 2.02,7.01,9.01 10/12/11 DARDEN RESTAURANTS INC FL 8.01,9.01 10/12/11 DILLARDS INC DE 4.01,9.01 10/06/11 DOW CHEMICAL CO /DE/ DE 5.02,9.01 10/12/11 DXP ENTERPRISES INC TX 8.01 10/12/11 EARTHLINK INC DE 7.01,8.01,9.01 10/12/11 EMAGIN CORP DE 2.02,9.01 10/10/11 Emergent Health Corp. NV 8.01 10/11/11 Entertainment Art, Inc. NV 5.02 10/10/11 EOG RESOURCES INC DE 1.01,1.02,2.03,7.01, 10/11/11 9.01 EQUITY LIFESTYLE PROPERTIES INC MD 2.01,9.01 10/11/11 FASTENAL CO MN 7.01,9.01 10/12/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/07/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/07/11 Federal Home Loan Bank of Des Moines X1 5.02,9.01 10/05/11 Federal Home Loan Bank of San Francis X1 5.02 10/05/11 Federal Home Loan Bank of Topeka 2.03,9.01 10/06/11 First Clover Leaf Financial Corp. MD 4.01,9.01 10/05/11 FIRST FINANCIAL CORP /IN/ IN 1.01,9.01 10/10/11 First Surgical Partners Inc. DE 7.01,9.01 10/11/11 Ford Credit Floorplan Master Owner Tr DE 8.01,9.01 10/12/11 GALECTIN THERAPEUTICS INC NV 5.02,8.01,9.01 10/11/11 GC China Turbine Corp. NV 8.01,9.01 10/12/11 GLU MOBILE INC DE 5.02 10/06/11 GOOD TIMES RESTAURANTS INC NV 5.07,8.01 10/12/11 GRAMERCY CAPITAL CORP MD 2.02,7.01,9.01 10/11/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 10/12/11 GREAT SOUTHERN BANCORP INC MD 1.01,2.01,9.01 10/07/11 Grubb & Ellis Healthcare REIT II, Inc MD 1.01,2.03,9.01 10/06/11 HANSEN NATURAL CORP DE 8.01,9.01 10/12/11 HEALTHCARE SERVICES GROUP INC PA 2.02,9.01 10/11/11 HEIDRICK & STRUGGLES INTERNATIONAL IN DE 2.05,5.02,9.01 10/05/11 HELEN OF TROY LTD 2.02,9.01 10/06/11 HOLLY ENERGY PARTNERS LP DE 7.01,9.01 10/10/11 HollyFrontier Corp DE 7.01,9.01 10/10/11 Home Federal Bancorp, Inc. of Louisia LA 7.01,9.01 10/12/11 HORACE MANN EDUCATORS CORP /DE/ DE 1.01,1.02 10/07/11 HOST HOTELS & RESORTS, INC. MD 2.02,9.01 10/12/11 HUGHES Telematics, Inc. DE 1.01,1.02,2.03,3.02, 10/07/11 9.01 IMPERIAL PETROLEUM INC NV 2.02,9.01 10/11/11 Inland American Real Estate Trust, In MD 7.01,9.01 10/12/11 INSWEB CORP 1.01,5.02,8.01,9.01 10/07/11 INTERNATIONAL PAPER CO /NEW/ NY 7.01,9.01 10/11/11 International Stem Cell CORP 5.02 10/05/11 Invesco Ltd. D0 7.01,9.01 10/11/11 IRIDEX CORP DE 5.02,9.01 10/10/11 JMP Group Inc. DE 7.01 10/12/11 JOHNSON CONTROLS INC WI 2.02,7.01,9.01 10/12/11 JOY GLOBAL INC DE 8.01,9.01 10/06/11 KB HOME DE 5.02,9.01 10/06/11 KBS Strategic Opportunity REIT, Inc. MD 1.01 10/08/11 KEY TECHNOLOGY INC OR 5.02,9.01 10/12/11 Kior Inc DE 5.02 10/06/11 Kraton Performance Polymers, Inc. DE 7.01,9.01 10/12/11 LAKELAND FINANCIAL CORP IN 5.02 10/11/11 LAKELAND FINANCIAL CORP IN 7.01 10/11/11 LAYNE CHRISTENSEN CO DE 5.07 06/14/11 AMEND LINKEDIN CORP DE 3.02 10/07/11 Madison Enterprises Group, Inc. DE 2.01,3.02,5.01,5.02, 05/10/11 AMEND 5.03,9.01 MAGNETEK, INC. DE 2.02,9.01 10/10/11 Magnolia Solar Corp NV 8.01,9.01 10/12/11 Manhattan Bancorp CA 5.02 10/11/11 MARCUS CORP WI 5.02,5.07,9.01 10/11/11 MARINE PRODUCTS CORP DE 8.01,9.01 10/11/11 Medical Design Studios, Inc. NV 5.01,5.02 10/06/11 MEDINA INTERNATIONAL HOLDINGS, INC. CO 5.02 10/07/11 Merck & Co. Inc. NJ 5.07 05/24/11 AMEND MERRILL LYNCH MUNICIPAL ABS INC NY 9.01 10/01/11 META FINANCIAL GROUP INC DE 5.02,9.01 10/10/11 METROPOLITAN HEALTH NETWORKS INC FL 9.01 10/04/11 AMEND MGP INGREDIENTS INC KS 7.01,9.01 10/12/11 MICHAEL BAKER CORP PA 7.01,9.01 10/12/11 Millstream Ventures, Inc. NV 5.02 10/08/11 MMRGlobal, Inc. DE 5.02 10/07/11 MOLINA HEALTHCARE INC DE 1.01 10/11/11 MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 10/12/11 Morgan Stanley Capital I Trust 2011-C 8.01,9.01 10/11/11 Morgans Hotel Group Co. DE 1.01 10/07/11 MOSAIC CO 8.01,9.01 10/12/11 NANOMETRICS INC DE 5.07 05/26/11 AMEND NESS TECHNOLOGIES INC 1.01,2.03,3.01,3.03, 10/11/11 5.01,5.02,5.03,8.01, 9.01 Net Savings Link, Inc. NV 5.03,5.07,9.01 10/12/11 NETLOGIC MICROSYSTEMS INC DE 8.01,9.01 10/12/11 NEUTRA CORP. FL 5.06 10/11/11 NEVADA GOLD & CASINOS INC NV 1.01,9.01 10/07/11 NewCardio, Inc. DE 1.01,3.03,9.01 10/05/11 News of China Inc DE 4.01,9.01 10/11/11 NGA Holdco, LLC NV 4.01,9.01 09/29/11 AMEND NORTHWEST PIPE CO OR 5.02,9.01 10/10/11 NOVA STAR INNOVATIONS INC NV 4.01 10/05/11 NUTRITION 21 INC NY 1.01,1.03,8.01,9.01 10/07/11 OIL DRI CORP OF AMERICA DE 2.02,5.02,9.01 10/05/11 OLD SECOND BANCORP INC DE 8.01 10/12/11 OMNOVA SOLUTIONS INC OH 7.01,9.01 10/12/11 ON SEMICONDUCTOR CORP DE 8.01,9.01 10/11/11 ONYX PHARMACEUTICALS INC DE 1.01 10/11/11 Opko Health, Inc. DE 2.01,7.01,9.01 10/11/11 ORIGINOIL INC NV 8.01,9.01 10/11/11 PACKAGING CORP OF AMERICA 1.01,1.02,2.03,9.01 10/11/11 PATTERSON UTI ENERGY INC DE 2.02,9.01 10/12/11 PCS EDVENTURES COM INC ID 1.01,9.01 10/10/11 PCS EDVENTURES COM INC ID 1.01,2.03,9.01 09/27/10 AMEND PEPSICO INC NC 2.02,9.01 10/12/11 PERFECTENERGY INTERNATIONAL LTD NV 5.02 10/08/11 PERMA FIX ENVIRONMENTAL SERVICES INC DE 8.01,9.01 10/07/11 PHOENIX MEDICAL SOFTWARE, INC. NV 2.01,8.01 10/12/11 Pioneer Exploration Inc. NV 1.01,9.01 10/11/11 PLANAR SYSTEMS INC OR 5.02 10/06/11 PLATINUM UNDERWRITERS HOLDINGS LTD D0 2.02,8.01,9.01 10/11/11 PNM RESOURCES INC NM 1.01,2.03,8.01,9.01 10/06/11 PONIARD PHARMACEUTICALS, INC. WA 8.01,9.01 10/07/11 PROGRESSIVE CORP/OH/ OH 2.02,9.01 10/12/11 ProShares Trust II DE 8.01,9.01 10/12/11 PRUDENTIAL FINANCIAL INC NJ 5.02 10/11/11 PSM HOLDINGS INC NV 8.01,9.01 10/12/11 PVH CORP. /DE/ DE 7.01,9.01 10/12/11 QUANTUM SOLAR POWER CORP. 3.02 10/10/11 Real Mex Restaurants, Inc. DE 1.01,2.03,9.01 10/06/11 RECOVERY ENERGY, INC. NV 5.03,5.07,9.01 10/10/11 RESPECT YOUR UNIVERSE, INC. 3.02 08/05/11 AMEND Rhino Resource Partners LP DE 8.01 10/05/11 ROCKWELL AUTOMATION INC DE 2.03,8.01 10/12/11 RPC INC DE 8.01,9.01 10/11/11 RPM INTERNATIONAL INC/DE/ DE 5.07,8.01,9.01 10/06/11 Sagebrush Gold Ltd. NV 3.02,3.03 09/08/11 SCANSOURCE INC SC 2.03,9.01 10/11/11 SCICLONE PHARMACEUTICALS INC DE 8.01,9.01 10/06/11 Seagate Technology plc L2 7.01,9.01 10/12/11 Select Notes Trust LT 2004-1 DE 8.01,9.01 10/03/11 SENIOR HOUSING PROPERTIES TRUST MD 8.01,9.01 10/12/11 ShengdaTech, Inc. 5.02,7.01,9.01 10/08/11 Smart Kids Group Inc. FL 5.02 10/11/11 SONOCO PRODUCTS CO SC 1.01,7.01 10/09/11 Spirit Airlines, Inc. DE 2.02,9.01 10/12/11 STAGE STORES INC NV 8.01,9.01 10/11/11 STAR BUFFET INC DE 4.01,9.01 09/27/11 SUPERIOR ENERGY SERVICES INC DE 1.01,9.01 10/09/11 Support.com, Inc. DE 5.02,9.01 10/05/11 SYNTROLEUM CORP DE 8.01 10/12/11 TIME WARNER INC. DE 8.01,9.01 09/26/11 TITANIUM METALS CORP DE 7.01,9.01 10/11/11 TOPSPIN MEDICAL INC DE 5.02 10/06/11 TRANSATLANTIC PETROLEUM LTD. D0 7.01,9.01 10/12/11 United Continental Holdings, Inc. DE 7.01,9.01 10/12/11 UNITED THERAPEUTICS Corp DE 7.01,9.01 10/11/11 UNIVERSAL FOREST PRODUCTS INC MI 2.02,9.01 10/12/11 UNIVERSAL HEALTH REALTY INCOME TRUST MD 1.01,9.01 10/07/11 UNIVERSAL HOSPITAL SERVICES INC MN 7.01,9.01 10/12/11 USA TECHNOLOGIES INC PA 5.02 10/05/11 VISTA GOLD CORP B0 7.01,9.01 10/07/11 Weatherford International Ltd./Switze V8 5.02 10/07/11 WEIS MARKETS INC PA 9.01 10/11/11 WESTERN DIGITAL CORP DE 7.01,9.01 10/12/11 Western Refining, Inc. DE 7.01,9.01 10/12/11 WHITE MOUNTAINS INSURANCE GROUP LTD D0 5.07 05/25/11 AMEND WILLIAM LYON HOMES DE 8.01 10/07/11 World Surveillance Group Inc. DE 9.01 05/25/11 AMEND XENOPORT INC DE 8.01 10/11/11 ZALE CORP DE 5.02,9.01 10/12/11