In the Matter of UCBH Holdings, Inc.
On November 17, 2011, an Administrative Law Judge issued an Order Making Findings and Revoking Registration by Default (Default Order) in UCBH Holdings, Inc., Admin. Proc. No. 3-14584. The Default Order finds that the Respondent failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 13a-1 and 13a-13 because it has securities registered with the Securities and Exchange Commission pursuant to Section 12(g), but has failed to file periodic reports since March 16, 2009. Based on these findings, and pursuant to Section 12(j) of the Exchange Act, the Default Order revokes the registration of each class of registered securities of UCBH Holdings, Inc. (Rel. 34-65766; File No. 3-14584)
Commission Revokes Registration of Securities of Bottomline Home Loan, Inc. For Failure to Make Required Periodic Filings
On November 17, 2011, the Commission revoked the registration of each class of registered securities of Bottomline Home Loan, Inc. (Bottomline Home Loan) 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, Bottomline Home Loan 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 Bottomline Home Loan, Inc. 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 Bottomline Home Loan’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Bottomline Home Loan in In the Matter of Advanced Remote Communication Solutions, Inc., et al., Administrative Proceeding File No. 3-14608.
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 Advanced Remote Communication Solutions, Inc., et al., Administrative Proceeding File No. 3-14608, Exchange Act Release No. 65661, October 31, 2011. (Rel. 34-65767; File No. 3-14608)
In the Matter of FTN Financial Securities Corp.
On November 17, 2011, the Commission brought charges against FTN Financial Securities Corp. (FTN), a broker-dealer headquartered in Memphis, Tennessee, for assisting Sentinel Management Group, Inc. (Sentinel), a bankrupt former investment adviser, in its failure to maintain accurate books and records concerning its securities transaction liabilities in its year-end 2006 financial statements. Sentinel used the financial statements as part of its fraud against its advisory clients.
According to the Commission’s Order, over year-end 2006 and the first few days of 2007, Sentinel engaged in a five-day reverse repurchase transaction (Repo Transaction) with FTN. Sentinel used the proceeds from the Repo Transaction to pay down a portion of a bank loan balance temporarily before year-end 2006 in order to reduce the amount reported in its year-end financial statements. Sentinel did not include in its 2006 financial statements a liability associated with its obligation to repurchase the securities when the Repo Transaction was unwound.
The Order finds that FTN was a cause of Sentinel’s violation of Section 204(a) of the Investment Advisers Act of 1940 and Rule 204-2(a)(6) promulgated thereunder. The Order requires FTN to cease and desist from committing or causing any violations and any future violations of these provisions and to pay disgorgement of $1,495,878.00 and prejudgment interest of $377,758.73. FTN consented to the entry of the Order without admitting or denying the findings in the Order. (Rel. IA-3316; File No. 3-14632)
In the Matter of Dale E. St. Jean
An Administrative Law Judge has issued an Initial Decision (Decision) in Dale E. St. Jean, Admin. Proc. No. 3-14472. On June 30, 2011, the United States District Court for the Middle District of Florida entered a final judgment against Dale E. St. Jean (St. Jean), permanently enjoining him from violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and from violating Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 (Advisers Act), and Rule 206(4)-8 thereunder, in connection with his involvement in the fraudulent use of investor proceeds in two funds, Arcanum Equity Fund, LLC and Vestium Equity Fund, LLC.
Based on the final judgment entered against St. Jean, the Decision bars St. Jean from association with any investment adviser, broker, dealer, municipal securities dealer, and transfer agent, pursuant to Section 203(f) of the Advisers Act. (Initial Decision No. 442; File No. 3-14472)
Final Judgment Entered Against Frank C. Calmes, Lynn D. Rowntree, and James E. Pratt For Violating the Federal Securities Laws
The Securities and Exchange Commission announced today that the United States District Court for the Southern District of Florida entered final judgments, dated November 10, 2011, against Frank C. Calmes, Lynn D. Rowntree, and James E. Pratt. Calmes and Rowntree had been principals at First Equity Corporation, a Boca Raton company that took small companies public via reverse mergers. Pratt, a lawyer, provided legal opinions regarding the ability to sell stock in the newly public companies.
According to the SEC’s Complaint, Calmes, Rowntree, and Pratt, along with co-defendant Manny J. Shulman, illegally sold millions of shares of unregistered securities in violation of the registration provisions of the Securities Act of 1933 (“Securities Act”). In addition, Calmes, Rowntree, and Shulman were alleged to have committed fraud in selling securities, in violation of Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 10b-5 thereunder. Calmes, Rowntree, and Pratt entered into bifurcated settlements with the SEC in May of 2011, just before a jury trial was to begin. Under the bifurcated settlements, Calmes and Rowntree agreed to be permanently enjoined from violating Sections 5(a) and 5(c) of the Securities Act, Section 10(b) of the Exchange Act, and Rule 10b-5 thereunder, while Pratt agreed to be permanently enjoined from violating Sections 5(a) and 5(c) of the Securities Act. All three agreed to be barred from participating in any penny stock offering, and to cancel any shares of the corporations at issue in their possession or control. In addition, Defendant Calmes consented to be permanently barred from acting as an officer or director of any public issuer.
The bifurcated settlements left open, and the final judgments entered last week addressed, defendants’ liability for disgorgement of ill-gotten gains, prejudgment interest thereon, and the imposition of penalties. The final judgments imposed the following relief: against Calmes, $1,886,918 in disgorgement, $468,441 in prejudgment interest, and a $5,000 penalty; against Rowntree, $693,948 in disgorgement, $157,411 in prejudgment interest, and a $5,000 penalty; and against Pratt, $258,796 in disgorgement, $64,247 in prejudgment interest, and a $5,000 penalty.
Shulman proceeded to trial and on May 9, 2011 the jury returned a verdict finding him liable for violating Sections 5(a) and 5(c) of the Securities Act by selling uregistered securities and for violating Section 10(b) of the Exchange Act and Rule 10b-5 thereunder by issuing materially false and misleading press releases regarding a company whose shares he was selling. On July 12, 2011, the Court enjoined Shulman from further violations of the federal securities laws, permanently barred Shulman from participating in any penny stock offering or acting as an officer or director of any public issuer, ordered disgorgement of $273,152, ordered payment of prejudgment interest of $95,633.44, and imposed a $5,000 penalty. The Court further ordered Shulman’s wife, Krystal Becnel, who was named as a relief defendant in the SEC’s Complaint, to disgorge $131,914. [SEC v. Frank C. Calmes, Lynn D. Rowntree, James E. Pratt, and Manny J. Shulman, Case No. 09-80524-CIV0-ZLOCH (S.D. Fla.] (LR-22157)
Court Enters Final Judgment in Settlement of Hedge Fund Insider Trading Case
The Securities and Exchange Commission announced today that on November 16, 2011, the Honorable Deborah A. Batts of the United States District Court for the Southern District of New York entered final judgments against Dr. Joseph F. Skowron III and Dr. Yves M. Benhamou in the SEC’s insider trading case, SEC v. Joseph F. “Chip” Skowron III, et al., Civil Action No. 10-CV-8266-DAB (S.D.N.Y.). The SEC charged Benhamou, a French doctor and medical researcher, with unlawfully tipping material, non-public information to Skowron, a former portfolio manager of six healthcare-related hedge funds, who was charged with using the inside information to trade ahead of a January 23, 2008 negative announcement, helping the hedge funds he managed avoid losses of approximately $30 million. The hedge funds were named as relief defendants.
The final judgments permanently enjoin Skowron and Benhamou from violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and Section 17(a) of the Securities Act of 1933. Skowron was ordered to disgorge $29,017,156 (a joint and several obligation with the relief defendants), plus $1,360,000 (for which he is individually obligated), plus prejudgment interest of $5,142,782, and to pay a civil penalty in the amount of $2,720,000. Benhamou was ordered to disgorge $52,138, plus prejudgment interest of $8,237. The six relief defendant hedge funds were ordered to disgorge $29,017,156, plus prejudgment interest of $4,003,669; the final judgment against Skowron provides that his disgorgement and prejudgment interest (but not penalty) obligation shall be credited dollar for dollar by amounts the relief defendants are ordered to disgorge and/or by amounts that Skowron is ordered to forfeit in the related criminal action.
Both Skowron and Benhamou pled guilty in parallel criminal cases before the United States District Court for the Southern District of New York, titled United States v. Joseph F. Skowron III, 11-CR-00699-DLC (S.D.N.Y.) and United States v. Yves M. Benhamou, 11-CR-336-GBD (S.D.N.Y.). [SEC v. Joseph F. “Chip” Skowron III, et al., Civil Action No. 10-CV-8266-DAB (S.D.N.Y.)] (LR-22158)
SEC Obtains Temporary Restraining Order and Asset Freeze Against New Hampshire Futures Day-Trading Business In Suit Alleging Fraudulent $1.3 Million Ponzi Scheme
The Securities and Exchange Commission announced that on November 16, 2011, it charged a New Hampshire business directed by a Canadian resident with obtaining over $1.3 million from investors in a fraudulent Ponzi scheme. The SEC also announced that the U.S. District Court in New Hampshire has issued a temporary restraining order that, among other things, freezes the assets of the company and its principal and prohibits them from continuing to solicit or accept investor funds.
In its complaint, the SEC alleges that Henry Roche through New Futures Trading International Corporation has since December 2010 raised over $1.3 million from at least 14 investors in nine states through the offer and sale of promissory notes purportedly yielding either 5-10% per month, or a 200% return within 14 months. Roche allegedly represented to some investors that funds supplied would be invested in bonds, Treasury notes and/or 10-year Treasury note futures contracts, and to others that the funds would be invested directly in New Futures, an on-line futures day-trading training business Roche was operating. The complaint alleges that, instead of using the funds for either purpose, Roche used approximately $937,000 provided by New Futures investors to make Ponzi “interest” payments to investors in prior Roche-controlled entities, including Masters Palace, Inc., and Third Realm Institute, and misappropriated at least another $359,000 to support his lifestyle and operate a horse breeding venture, Majestic Horses.
The Commission acknowledges the assistance of the Ontario Securities Commission and the New Hampshire Bureau of Securities in this matter. [SEC v. New Futures Trading International Corporation and Henry Roche (Civil Action No. 11-CV-532-JL, USDC, DNH] (LR-22159)
SEC Brings Emergency Action to Halt Fraudulent Scheme Offering Shares of Facebook and Other Pre-IPO Companies
The Securities and Exchange Commission announced that on November 17, 2011, it filed an emergency civil enforcement action to halt defendants’ fraudulent sale of securities of investment vehicles that claim to own coveted shares of companies like Facebook that are expected to conduct an initial public offering soon. Judge Kevin Castel of the United States District Court for the Southern District of New York has issued a temporary restraining order that, among other things, freezes the assets of multiple defendants and relief defendants.
According to the Commission’s complaint, Florida resident John A. Mattera and several other individuals carried out the fraud using a newly-minted hedge fund named The Praetorian Global Fund. They falsely claimed that the fund and affiliated Praetorian entities owned shares worth tens of millions of dollars in privately-held companies that were expected to soon hold an initial public offering, including Facebook, Groupon, and others. Mattera and others solicited investments by, among other things, telling investors that their funds would be safely held in escrow accounts.
In reality, according to the SEC’s complaint filed in federal court in Manhattan, Mattera and his confederates never owned the promised pre-IPO shares in these companies. The purported escrow service, headed by defendant John R. Arnold of Florida, merely transferred investor funds to personal accounts controlled by Mattera and Arnold. After Arnold took a cut of the money for himself, he released the money to entities controlled by Mattera, who misappropriated investors’ funds for private jets, luxury cars, fine art, jewelry, and other personal uses. Mattera also transferred money to his mother Ann Mattera and his wife Lan Phan. They are named as relief defendants in the SEC’s complaint for the purpose of reclaiming investor funds unrightfully in their possession.
The SEC’s complaint charges Mattera, Bradford Van Siclen, the Praetorian Fund, Praetorian G Power I LLC, Praetorian G Power II LLC, Praetorian G IV, Praetorian G Power V LLC, and Praetorian G Power VI LLC, Arnold, and First American Service Transmittals Inc. with violations, or aiding and abetting violations of, Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5. The complaint further charges Mattera, Van Siclen, the Praetorian G entities, Joseph Almazon, Spartan Capital Partners, and David Howard with violating Sections 5(a) and 5(c) of the Securities Act by engaging in the unregistered offering of securities, and Almazon and Spartan Capital with violations of Section 15(a) of the Exchange Act by acting as unregistered brokers.
The SEC’s investigation is ongoing. [SEC v. John A. Mattera, Bradford Van Siclen, et al., Civil Action No. 11-CV-8323 (S.D.N.Y.)]
On November 16, 2011, the U.S. Attorney’s Office for the Southern District of New York filed a criminal complaint charging Mattera with securities fraud, wire fraud and money laundering. The SEC thanks the U.S. Attorney’s Office for the Southern District of New York, Internal Revenue Service, and Swiss Financial Market Supervisory Authority for their assistance in this matter. [SEC v. John A. Mattera, Bradford Van Siclen, The Praetorian Global Fund, et al., (United States District Court for the Southern District of New York, Civil Action No. 11-CV-8323)] (LR-22160)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change submitted by The NASDAQ Stock Market LLC to adopt a “Post-Only” Order Type (Nasdaq-2011-152) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 14. (Rel. 34-65761
A proposed rule change filed by NASDAQ OMX BX, Inc. (SR-BX-2011-077) to add Good-till-Cancelled and Discretionary Orders has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 14. (Rel. 34-65763)
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2011-153) to add Good-till-Cancelled and Discretionary Orders has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 14. (Rel. 34-65764)
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 Horizontal Marketing Corp., 857 EAST SOUTHFORK DRIVE, DRAPER, UT, 84040, (801) 562-3200 - 1,000,000 ($25,000.00) Equity, (File 333-178000 - Nov. 16) (BR. 05) S-3 PARKWAY PROPERTIES INC, ONE JACKSON PL, 188 E CAPITOL ST STE 1000, JACKSON, MS, 39225-4647, 6019484091 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-178001 - Nov. 16) (BR. 08C) S-3 PARKWAY PROPERTIES INC, ONE JACKSON PL, 188 E CAPITOL ST STE 1000, JACKSON, MS, 39225-4647, 6019484091 - 1,800,000 ($21,375,000.00) Equity, (File 333-178003 - Nov. 16) (BR. 08C) S-8 ABOVENET INC, 9144216700 - 346,474 ($20,622,132.00) Equity, (File 333-178004 - Nov. 16) (BR. 11A) S-8 LRR Energy, L.P., HERITAGE PLAZA, SUITE 4600, 1111 BAGBY STREET, HOUSTON, TX, 77002, (713) 292-9510 - 0 ($28,575,000.00) Equity, (File 333-178005 - Nov. 16) (BR. 04C) F-3ASR AVIVA PLC, ST HELENS 1 UNDERSHAFT, 1 UNDERSHAFT, LONDON, X0, EC3P 3DQ, 01100441603622200 - 0 ($0.00) Debt, (File 333-178006 - Nov. 16) (BR. 01A) F-3ASR SYNGENTA AG, SCHWARZWALDALLEE 215, 4058 BASEL, V8, 00000, 41-61-323-11-11 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-178015 - Nov. 16) (BR. 05B) N-2 Prudential Short Term High Yield Fund, Inc., 100 MULBERRY STREET, GATEWAY CENTER THREE, NEWARK, NJ, 07102, 973-367-7530 - 50,000 ($1,000,000.00) Equity, (File 333-178016 - Nov. 16) (BR. ) S-3ASR STANLEY BLACK & DECKER, INC., 1000 STANLEY DR, P O BOX 7000, NEW BRITAIN, CT, 06053, 8602255111 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-178017 - Nov. 16) (BR. 06C) S-3ASR DUKE REALTY CORP, 600 EAST 96TH STREET, STE 100, INDIANAPOLIS, IN, 46240, 3178086000 - 2,500,000 ($2,500,000.00) Equity, (File 333-178018 - Nov. 16) (BR. 08C) S-1 Kips Bay Medical, Inc., 3405 ANNAPOLIS LANE, MINNEAPOLIS, MN, 55447, 763-235-3540 - 0 ($5,062,971.00) Equity, (File 333-178019 - Nov. 16) (BR. 10B) S-3ASR PROGRESS ENERGY INC, 410 S WILMINGTON ST, RALEIGH, NC, 27601, 9195466463 - 10,000,000 ($527,550,000.00) Equity, (File 333-178020 - Nov. 16) (BR. 02A) S-8 AEROFLEX HOLDING CORP., 35 SOUTH SERVICE ROAD, P.O. BOX 6022, PLAINVIEW, NY, 11803, 516 694 6700 - 4,462,632 ($41,859,488.00) Equity, (File 333-178022 - Nov. 16) (BR. 10A) S-3ASR IDACORP INC, 1221 WEST IDAHO STREET, BOISE, ID, 83702-5627, 2083882200 - 0 ($1.00) Unallocated (Universal) Shelf, (File 333-178023 - Nov. 16) (BR. 02B) S-4 NRG ENERGY, INC., 211 CARNEGIE CENTER, -, PRINCETON, NJ, 08540, 609-524-4500 - 0 ($2,000,000,000.00) Debt, (File 333-178024 - Nov. 16) (BR. 02A) S-8 OVERLAND STORAGE INC, 4820 OVERLAND AVENUE, SAN DIEGO, CA, 92123, 8585715555 - 0 ($8,702,000.00) Equity, (File 333-178025 - Nov. 16) (BR. 03C)
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 57th Street General Acquisition Corp DE 1.01,2.02,3.01,3.02, 11/14/11 5.02,5.03,9.01 ACACIA RESEARCH CORP DE 8.01 11/14/11 ACCURAY INC DE 2.05 11/15/11 ACORDA THERAPEUTICS INC 8.01 11/16/11 ADCARE HEALTH SYSTEMS INC OH 9.01 08/31/11 AMEND ADCARE HEALTH SYSTEMS INC OH 9.01 10/31/11 AMEND ADVANCED ANALOGIC TECHNOLOGIES INC DE 3.01,9.01 11/11/11 AE BIOFUELS, INC. NV 5.03,7.01,9.01 11/15/11 AEROPOSTALE INC 5.07 11/16/11 AMEND AETHLON MEDICAL INC NV 1.01,2.03,3.02 11/10/11 AFFIRMATIVE INSURANCE HOLDINGS INC DE 2.02,9.01 11/14/11 AIR LEASE CORP DE 8.01,9.01 11/15/11 Alamo Energy Corp. NV 1.01,2.01,7.01,9.01 11/15/11 ALASKA AIR GROUP INC DE 7.01,9.01 11/15/11 ALASKA PACIFIC BANCSHARES INC AK 5.02 11/11/11 ALCOA INC PA 5.02,9.01 11/14/11 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 11/15/11 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 11/15/11 Ally Auto Receivables Trust 2011-5 DE 1.01,8.01,9.01 11/16/11 ALMOST FAMILY INC DE 7.01,9.01 11/16/11 ALTAIR NANOTECHNOLOGIES INC Z4 4.01,9.01 11/02/11 AMEND AMERICAN ELECTRIC POWER CO INC NY 5.02 11/12/11 AMERICAN NATIONAL BANKSHARES INC VA 8.01,9.01 11/16/11 AMERITRANS CAPITAL CORP DE 1.02 11/16/11 AMTECH SYSTEMS INC AZ 2.02 11/15/11 ANAVEX LIFE SCIENCES CORP. NV 8.01,9.01 11/14/11 Antero Resources Finance Corp DE 2.02,9.01 11/15/11 APPLE INC CA 5.02 11/15/11 Apple REIT Eight, Inc. VA 2.02,9.01 11/14/11 Apple REIT Nine, Inc. VA 2.02,9.01 11/14/11 Apple REIT Seven, Inc. VA 2.02,9.01 11/14/11 APPLE REIT SIX INC 2.02,9.01 11/14/11 APPLIED MATERIALS INC /DE DC 2.02,9.01 11/16/11 APPLIED MATERIALS INC /DE DC 9.01 11/10/11 AMEND Approach Resources Inc DE 1.01,9.01 11/15/11 Aquilex Holdings LLC DE 7.01,9.01 11/16/11 ARAMARK CORP DE 2.02,9.01 11/16/11 Argo Group International Holdings, Lt 7.01,9.01 11/16/11 ASHFORD HOSPITALITY TRUST INC MD 5.02,9.01 11/10/11 Atkore International Holdings Inc. DE 2.02 11/16/11 Augme Technologies, Inc. DE 8.01,9.01 11/15/11 AUXILIO INC NV 2.02,9.01 11/15/11 BALTIMORE GAS & ELECTRIC CO MD 8.01,9.01 11/16/11 BENIHANA INC DE 2.02,9.01 11/16/11 Bio-Solutions Corp. NV 5.02,9.01 10/10/11 BIOSPECIFICS TECHNOLOGIES CORP DE 7.01,9.01 11/16/11 BRAINSTORM CELL THERAPEUTICS INC 5.02,9.01 08/22/11 AMEND BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 8.01,9.01 11/16/11 Brooklyn Federal Bancorp, Inc. X1 1.01,9.01 11/15/11 CABLEVISION SYSTEMS CORP /NY DE 1.01,2.03,9.01 11/14/11 CADENCE PHARMACEUTICALS INC 8.01,9.01 11/14/11 CAPELLA EDUCATION CO 8.01,9.01 11/15/11 Cardium Therapeutics, Inc. DE 8.01,9.01 11/14/11 Cardium Therapeutics, Inc. DE 8.01,9.01 11/16/11 CATALYST PHARMACEUTICAL PARTNERS, INC DE 8.01,9.01 11/14/11 CBRE GROUP, INC. DE 7.01,8.01,9.01 11/16/11 CENTER FINANCIAL CORP CA 5.02,9.01 11/14/11 CHINA AMERICA HOLDINGS, INC. FL 2.02,7.01,9.01 11/16/11 CHRISTOPHER & BANKS CORP DE 2.05,8.01,9.01 11/10/11 CLOROX CO /DE/ DE 8.01,9.01 11/14/11 COLLECTORS UNIVERSE INC DE 5.07 11/15/11 COMFORT SYSTEMS USA INC 5.02,8.01,9.01 11/15/11 Commercial Vehicle Group, Inc. DE 5.02,9.01 11/15/11 Conmed Healthcare Management, Inc. DE 1.01,1.02,5.07,8.01, 11/15/11 9.01 Conquest Petroleum Inc TX 8.01,9.01 11/15/11 CONSOLIDATED GRAPHICS INC /TX/ TX 5.07 08/25/11 AMEND CONTANGO OIL & GAS CO DE 2.02,9.01 11/09/11 COOPER COMPANIES INC DE 8.01,9.01 11/15/11 Cornerstone Core Properties REIT, Inc MD 1.01,9.01 11/10/11 CoroWare, Inc, DE 1.01,3.02,3.03,5.03, 11/10/11 9.01 Coyote Hills Golf, Inc. NV 5.02 11/11/11 CRC Health CORP DE 2.02,9.01 11/16/11 CROSS BORDER RESOURCES, INC. NV 2.02,5.03,9.01 11/14/11 CROWN CRAFTS INC DE 2.02,9.01 11/16/11 CYBEX INTERNATIONAL INC NY 8.01 11/15/11 CYTODYN INC CO 1.01,7.01,9.01 11/10/11 DCP Midstream Partners, LP DE 8.01 11/11/11 DEERE & CO DE 7.01 11/16/11 Delek US Holdings, Inc. 7.01,9.01 11/16/11 DELPHI FINANCIAL GROUP INC/DE DE 5.02 11/10/11 DELTA MUTUAL INC DE 4.01,9.01 05/06/11 DFC GLOBAL CORP. DE 5.07 11/10/11 DIGITAL ANGEL CORP DE 2.02,9.01 11/15/11 Discover Card Execution Note Trust DE 1.01,9.01 11/15/11 DITECH NETWORKS INC DE 3.01 11/10/11 Eagle Ford Oil & Gas Corp NV 4.02 11/09/11 AMEND EAGLE ROCK ENERGY PARTNERS L P DE 7.01 11/16/11 EDELMAN FINANCIAL GROUP INC. TX 8.01,9.01 11/16/11 EdgeWave, Inc. DE 2.02,9.01 11/15/11 EL PASO ELECTRIC CO /TX/ TX 1.01,8.01 11/15/11 EMMIS COMMUNICATIONS CORP IN 5.02 11/15/11 EMPIRE RESORTS INC DE 5.05,9.01 11/10/11 EMPIRE RESORTS INC DE 5.05,9.01 11/10/11 AMEND ENERGY FOCUS, INC/DE DE 2.02 11/14/11 ENERGY XXI (BERMUDA) LTD D0 8.01,9.01 09/30/11 EPLUS INC DE 8.01,9.01 11/16/11 EQUUS TOTAL RETURN, INC. DE 5.02,8.01,9.01 11/14/11 ETHAN ALLEN INTERIORS INC DE 5.07 11/15/11 EVEREST RE GROUP LTD D0 7.01,9.01 11/16/11 EVOLVING SYSTEMS INC DE 5.02,9.01 11/16/11 EXACT SCIENCES CORP DE 8.01 11/16/11 FiberTower CORP DE 2.06,3.01,5.02,7.01, 11/07/11 9.01 Fifth Street Finance Corp DE 3.01,9.01 11/16/11 FIFTH THIRD BANCORP OH 7.01,9.01 11/16/11 FINANCIAL INSTITUTIONS INC NY 8.01,9.01 11/16/11 FIRST FINANCIAL CORP /IN/ IN 8.01,9.01 11/16/11 FIRST QUANTUM VENTURES INC NV 1.01,2.01,3.02,4.01, 11/10/11 5.01,5.02,5.06,9.01 FIRST QUANTUM VENTURES INC NV 5.03 11/10/11 FLEXIBLE SOLUTIONS INTERNATIONAL INC NV 2.02,7.01,9.01 11/14/11 Fox Chase Bancorp Inc 5.02 11/16/11 Frontier Beverage Company, Inc NV 4.02 11/11/11 Fuelstream INC DE 5.02 11/14/11 Gaming Partners International CORP NV 7.01,9.01 11/16/11 General Moly, Inc DE 7.01,9.01 11/15/11 General Motors Co 5.02 11/14/11 GeoBio Energy, Inc. CO 1.01,2.01,8.01,9.01 11/16/11 GigOptix, Inc. DE 5.07 11/15/11 GLOBAL NUTECH, INC. 1.01,3.02,8.01,9.01 11/14/11 GMX RESOURCES INC OK 8.01,9.01 11/15/11 GOLD RESOURCE CORP CO 5.07 11/15/11 AMEND GOVERNMENT TRUST 1 D IL 8.01,9.01 11/15/11 GRAMERCY CAPITAL CORP MD 8.01,9.01 11/16/11 GRANITE CITY FOOD & BREWERY LTD MN 3.01,9.01 11/14/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 11/16/11 Great Lakes Dredge & Dock CORP DE 1.01,9.01 11/11/11 GREAT SOUTHERN BANCORP INC MD 7.01 11/16/11 GREENBRIER COMPANIES INC OR 3.02 11/14/11 GRIFFIN LAND & NURSERIES INC DE 8.01,9.01 11/16/11 Grubb & Ellis Healthcare REIT II, Inc MD 7.01,9.01 11/16/11 GULFMARK OFFSHORE INC DE 7.01,9.01 11/16/11 HALLADOR ENERGY CO CO 8.01 11/15/11 HANMI FINANCIAL CORP DE 1.01,8.01,9.01 11/14/11 Hazlo! Technologies, Inc. NV 5.03,9.01 10/30/11 Heritage Financial Group Inc MD 8.01,9.01 11/16/11 Heritage Financial Group Inc MD 5.07 06/22/11 AMEND HERSHEY CO DE 1.01,9.01 11/14/11 Homeowners Choice, Inc. FL 2.01 11/10/11 HORNBECK OFFSHORE SERVICES INC /LA DE 1.01,7.01,9.01 11/09/11 HORTON D R INC /DE/ DE 5.02,9.01 11/09/11 HOT TOPIC INC /CA/ CA 2.02,9.01 11/16/11 HUMAN GENOME SCIENCES INC DE 7.01,9.01 11/16/11 ICEWEB INC DE 3.02,9.01 10/03/11 IDENIX PHARMACEUTICALS INC DE 1.01,8.01,9.01 11/16/11 IDENTIVE GROUP, INC. DE 5.02 11/13/11 IDENTIVE GROUP, INC. DE 5.02 05/09/11 AMEND IDENTIVE GROUP, INC. DE 5.02 11/13/11 AMEND IGATE CORP PA 8.01,9.01 11/16/11 INCYTE CORP DE 8.01 11/16/11 Industrial Income Trust Inc. MD 8.01 11/16/11 INSMED INC VA 7.01,9.01 11/16/11 INTERNATIONAL FLAVORS & FRAGRANCES IN NY 1.01,1.02,2.03,9.01 11/09/11 INTERNATIONAL PAPER CO /NEW/ NY 2.03,8.01,9.01 11/08/11 INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01 11/16/11 Intrepid Potash, Inc. DE 7.01,9.01 11/16/11 Jinmimi Network Inc NV 8.01 09/26/11 AMEND JOSHUA GOLD RESOURCES INC NV 5.02 09/30/11 KEATING CAPITAL INC 7.01,9.01 11/16/11 Kennedy-Wilson Holdings, Inc. DE 8.01,9.01 11/10/11 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 11/16/11 KINDER MORGAN MANAGEMENT LLC DE 7.01 11/16/11 KINDER MORGAN, INC. DE 7.01 11/16/11 KINETIC CONCEPTS INC TX 5.02,9.01 11/11/11 Kohlberg Capital CORP DE 3.01,9.01 11/11/11 LAKES ENTERTAINMENT INC MN 2.02,9.01 11/16/11 LianDi Clean Technology Inc. NV 2.02,9.01 11/16/11 LifeCare Holdings, Inc. DE 2.02,7.01,9.01 11/14/11 LL&E ROYALTY TRUST TX 5.07 11/10/11 Lotus Pharmaceuticals, Inc. NV 2.02,9.01 11/11/11 LRR Energy, L.P. DE 1.01,5.02,7.01,9.01 11/10/11 LUBYS INC DE 1.01,9.01 11/15/11 Madison Bancorp Inc MD 5.02,5.07 11/14/11 MAGELLAN PETROLEUM CORP /DE/ DE 5.02,9.01 11/09/11 AMEND MAGNETEK, INC. DE 2.02 11/16/11 MALAYSIA FUND INC PA 7.01 11/16/11 Manhattan Bancorp CA 2.02,9.01 11/14/11 MCJUNKIN RED MAN HOLDING CORP DE 1.01,5.02,5.03,9.01 11/10/11 Medefile International, Inc. NV 2.02,9.01 11/15/11 MERCURY COMPUTER SYSTEMS INC MA 7.01,9.01 11/16/11 MERIDIAN BIOSCIENCE INC OH 2.02,9.01 11/10/11 MICRON TECHNOLOGY INC DE 8.01 11/16/11 MISCOR GROUP, LTD. IN 2.02,9.01 11/16/11 MISSISSIPPI POWER CO MS 8.01 11/15/11 MONEYGRAM INTERNATIONAL INC 1.01,2.03,9.01 11/14/11 MORRIS PUBLISHING GROUP LLC GA 8.01 11/14/11 MSB FINANCIAL CORP. X1 5.07 11/14/11 NACCO INDUSTRIES INC DE 5.02,9.01 11/14/11 NET 1 UEPS TECHNOLOGIES INC 1.01,9.01 11/10/11 NetApp, Inc. CA 2.02,9.01 11/16/11 NEWS CORP 8.01,9.01 11/16/11 NORTHERN TECHNOLOGIES INTERNATIONAL C DE 2.02,9.01 11/16/11 NORTHWEST PIPE CO OR 3.01,9.01 11/15/11 O REILLY AUTOMOTIVE INC 8.01,9.01 11/16/11 Oconee Federal Financial Corp. 5.07,9.01 11/10/11 OCWEN FINANCIAL CORP FL 7.01,9.01 11/16/11 OFFICEMAX INC DE 7.01,9.01 11/16/11 OLD NATIONAL BANCORP /IN/ IN 7.01,9.01 11/16/11 OMNICARE INC DE 7.01,9.01 11/16/11 ONEOK INC /NEW/ OK 7.01,9.01 11/14/11 ONEOK Partners LP DE 7.01,9.01 11/14/11 Onteco Corp NV 5.03,9.01 11/14/11 Opexa Therapeutics, Inc. TX 7.01,9.01 11/16/11 ORIGINOIL INC NV 8.01,9.01 11/16/11 OVERLAND STORAGE INC CA 2.02,9.01 11/16/11 OXYGEN BIOTHERAPEUTICS, INC. DE 1.01,1.02,3.02,9.01 08/30/11 OxySure Systems Inc 1.01 11/16/11 PARK CITY GROUP INC 5.02 11/11/11 Park Place Energy Corp. NV 5.02,7.01 10/01/11 PARKWAY PROPERTIES INC MD 5.02,8.01,9.01 11/10/11 PARKWAY PROPERTIES INC MD 8.01,9.01 11/10/11 PDF SOLUTIONS INC DE 5.07 11/16/11 PENNANTPARK INVESTMENT CORP 9.01 11/16/11 PENNANTPARK INVESTMENT CORP 7.01,9.01 11/16/11 PETROLEUM DEVELOPMENT CORP NV 7.01 11/16/11 PETSMART INC DE 2.02,9.01 11/16/11 PFSWEB INC DE 8.01 11/10/11 Philip Morris International Inc. VA 8.01,9.01 11/16/11 PIONEER DRILLING CO TX 1.01,2.03,8.01 11/15/11 PLAINS EXPLORATION & PRODUCTION CO DE 8.01,9.01 11/16/11 Plures Technologies, Inc./DE DE 2.01,3.02,5.01,5.02, 08/10/11 AMEND 5.06,9.01 Point.360 CA 1.01,2.03,9.01 11/15/11 POLYMEDIX, INC DE 7.01 11/15/11 PRIME GLOBAL CAPITAL GROUP Inc NV 4.01,9.01 11/14/11 PRIVATE MEDIA GROUP INC NV 3.01,8.01,9.01 11/11/11 PRIVATEBANCORP, INC DE 7.01,9.01 11/16/11 PROGRESSIVE CORP/OH/ OH 7.01,9.01 11/16/11 PRUDENTIAL FINANCIAL INC NJ 9.01 11/16/11 PUGET SOUND ENERGY INC WA 8.01,9.01 11/14/11 PYRAMID OIL CO CA 2.02,9.01 11/14/11 QUEPASA CORP NV 3.02 11/15/11 RADIANT LOGISTICS, INC DE 2.02,9.01 11/14/11 RAIT Financial Trust MD 7.01,9.01 11/16/11 RAMBUS INC DE 8.01,9.01 11/16/11 RAND WORLDWIDE INC DE 5.07 11/09/11 RARE ELEMENT RESOURCES LTD A1 2.02,7.01,9.01 09/07/11 REPUBLIC BANCORP INC /KY/ KY 7.01,9.01 11/16/11 Richland Resources Corp. NV 4.01 11/14/11 Rockville Financial, Inc. /CT/ CT 8.01 11/16/11 Rockville Financial, Inc. /CT/ CT 8.01 11/16/11 ROYAL GOLD INC DE 8.01,9.01 11/16/11 RVUE HOLDINGS, INC. NV 2.02,9.01 11/11/11 Sally Beauty Holdings, Inc. 2.02,7.01,9.01 11/16/11 SALLY HOLDINGS LLC DE 2.02,7.01,9.01 11/16/11 SEVERN BANCORP INC MD 5.02,9.01 11/16/11 SIMON PROPERTY GROUP L P /DE/ DE 1.01,2.03,7.01,9.01 11/10/11 SIMULATIONS PLUS INC 1.01,7.01,9.01 11/15/11 SIONIX CORP NV 3.02,9.01 11/08/11 SOONER HOLDINGS INC /OK/ OK 8.01,9.01 11/15/11 Spectrum Brands Holdings, Inc. DE 2.02,9.01 11/16/11 SPECTRUM GROUP INTERNATIONAL, INC. NY 8.01 11/15/11 SPHERIX INC DE 5.07 11/15/11 Spirit Airlines, Inc. DE 7.01,9.01 11/15/11 STAAR SURGICAL CO DE 7.01 11/16/11 STRATEGIC DIAGNOSTICS INC/DE/ DE 1.01,7.01,9.01 11/10/11 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 11/15/11 SUNOVIA ENERGY TECHNOLOGIES INC NV 8.01,9.01 11/15/11 SUNPOWER CORP DE 1.01,3.03,5.03,5.07, 11/15/11 8.01,9.01 SWIFT ENERGY CO 8.01,9.01 11/15/11 SWIFT ENERGY CO 7.01,9.01 11/15/11 SYNERGETICS USA INC 7.01,9.01 11/16/11 SYNTA PHARMACEUTICALS CORP 1.02 11/16/11 SYSCO CORP DE 8.01,9.01 11/15/11 TARGET CORP MN 2.02,8.01,9.01 11/16/11 TASER INTERNATIONAL INC 8.01 11/16/11 TEKELEC CA 8.01,9.01 11/16/11 TEL INSTRUMENT ELECTRONICS CORP NJ 2.02 11/16/11 TELEPHONE & DATA SYSTEMS INC /DE/ DE 8.01,9.01 11/16/11 TELETECH HOLDINGS INC DE 7.01 11/14/11 TELETOUCH COMMUNICATIONS INC DE 5.07,8.01,9.01 11/14/11 TESSERA TECHNOLOGIES INC DE 8.01,9.01 11/16/11 TFS Financial CORP DE 2.02,9.01 11/16/11 TFS Financial CORP DE 7.01,9.01 11/16/11 Tonix Pharmaceuticals Holding Corp. NV 1.01,2.03,3.02,7.01, 11/16/11 9.01 TOWER BANCORP INC PA 5.07 11/16/11 TPC Group Inc. DE 7.01,9.01 11/15/11 AMEND TRAILER BRIDGE INC 1.03,2.04,9.01 11/16/11 Transocean Ltd. V8 7.01,9.01 11/15/11 Travelport LTD D0 5.02 11/10/11 Treaty Energy Corp NV 2.03 11/11/11 TRUSTCO BANK CORP N Y NY 8.01,9.01 11/15/11 TUPPERWARE BRANDS CORP DE 5.02 11/16/11 TYCO INTERNATIONAL LTD V8 2.02,9.01 11/16/11 UNIGENE LABORATORIES INC DE 5.02,9.01 11/14/11 UNIGENE LABORATORIES INC DE 7.01,9.01 11/16/11 Unilife Corp DE 1.01,9.01 11/16/11 UNITED STATES CELLULAR CORP DE 8.01,9.01 11/16/11 UNITED TECHNOLOGIES CORP /DE/ DE 8.01,9.01 11/16/11 UNIVERSAL FOREST PRODUCTS INC MI 1.01,9.01 11/14/11 US GEOTHERMAL INC DE 2.03,9.01 11/16/11 USG CORP DE 8.01 11/10/11 VALERO ENERGY CORP/TX DE 7.01,9.01 11/16/11 VALUEVISION MEDIA INC MN 2.02,9.01 11/16/11 Vanity Events Holding, Inc. DE 1.01,2.03,3.02,9.01 11/10/11 VASOMEDICAL INC DE 5.07 11/14/11 Versailles Financial Corp MD 5.02,5.07,9.01 11/15/11 VIRGIN MEDIA INC. DE 8.01 11/15/11 VITESSE SEMICONDUCTOR CORP DE 8.01 11/15/11 Vu1 CORP CA 5.03,9.01 11/10/11 WebXU, Inc. DE 1.01,2.01,9.01 11/14/11 WESCO INTERNATIONAL INC 7.01,9.01 11/15/11 WEST PHARMACEUTICAL SERVICES INC PA 7.01,9.01 11/16/11 WESTERN DIGITAL CORP DE 1.01 11/15/11 WFRBS Commercial Mortgage Trust 2011- NC 8.01,9.01 11/16/11 Williams Partners L.P. 7.01,8.01,9.01 11/14/11 WINNER MEDICAL GROUP INC NV 2.01,9.01 11/14/11 Zeltiq Aesthetics Inc DE 2.02,9.01 11/16/11 Zep Inc. DE 8.01 11/15/11 ZOLL MEDICAL CORP MA 2.02,9.01 11/16/11