SEC Names Eric Pan as Associate Director in Office of International Affairs
The Securities and Exchange Commission today announced that Eric J. Pan has been named Associate Director in the SEC’s Office of International Affairs, where he will oversee the development of international regulatory policy.
The Office of International Affairs advises the Commission on cross-border enforcement and regulatory matters, engages in regulatory dialogues with authorities outside the U.S., provides technical assistance, and is responsible for the Commission’s participation in multilateral standard setting bodies such as the Financial Stability Board and International Organization of Securities Commissions.
“I am pleased to welcome Eric to the Office of International Affairs. In serving as an academic fellow this past year, Eric quickly established himself as a senior leader,” said Ethiopis Tafara, Director of the SEC’s Office of International Affairs. “Eric has tremendous intellectual skills and a remarkable ability to identify solutions to seemingly intractable issues in the regulation of cross-border activities.”
Mr. Pan said, “I am honored to have been offered the opportunity to help lead the Commission’s efforts in implementing aspects of the Dodd-Frank Act, working with our regulatory counterparts in the United States and abroad, and strengthening the international financial regulatory system. With our talented and committed team, the Office of International Affairs, together with the inter-agency community, is well positioned to continue to take the lead in addressing a wide variety of complex regulatory challenges across the globe.”
Mr. Pan has been an Academic Fellow in the Office of International Affairs since January 2011 while on leave as Associate Professor of Law and Director of The Heyman Center on Corporate Governance at the Benjamin N. Cardozo School of Law in New York. Mr. Pan previously was an attorney at the law firm Covington & Burling. He is a member of numerous professional organizations, including the American Law Institute and the Royal Institute of International Affairs (Chatham House), and has published research on international financial regulation, corporate governance, and international law.
Mr. Pan holds a J.D. from Harvard Law School, a master’s degree in European and International Politics from the University of Edinburgh, and an A.B. in Economics from Harvard College. (Press Rel. 2011-255)
David A. Souza Sanctioned
David A. Souza (Souza) has been barred from association with any investment adviser. The sanction was ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against him. In August 2011, Souza was enjoined from violating the antifraud and registration provisions of the federal securities laws based on his fraudulent scheme targeting members of a Redding, California, church community. (Rel. IA-3328; File No. 3-14548)
SEC Freezes Assets of Four Chinese Citizens Charged With Insider Trading
On December 5, 2011, the Securities and Exchange Commission charged four Chinese citizens and a Chinese-based entity with insider trading and obtained an emergency court order to freeze their assets after they reaped more than $2.7 million in profits by trading in advance of a recent public announcement of a merger agreement between London-based Pearson plc and Beijing-based Global Education and Technology Group, Ltd.
The SEC’s complaint names Sha Chen, Song Li, Lili Wang, Zhi Yao, All Know Holdings Ltd., and one or more unknown purchasers of Global Education stock as defendants. The SEC alleges that they purchased American Depository Shares (ADS) of Global Education in the two weeks leading up to a November 21 public announcement of a planned merger between the two education companies. Some of the defendants’ brokerage accounts were dormant until they bet heavily on Global Education shares, and some of the purchases made either equaled or exceeded the stated annual income of that trader. After the agreement was announced, they immediately began selling some of their Global Education shares. Their illicit gains totaled more than $2.7 million.
According to the SEC’s complaint, filed in the U.S. District Court in Chicago, Pearson and Global Education each announced before trading began on November 21 that Pearson agreed to acquire all of Global Education’s outstanding stock for $294 million ($11.006 per share traded in the U.S.). Global Education’s stock price increased 97 percent that day, from $5.37 to $10.60.
The SEC alleges that the defendants made their purchases of Global Education’s shares while in possession of material, non-public information about the merger. A Global Education co-founder apparently tipped Wang and possibly others about the potential acquisition. Wang then transferred new funds into her previously dormant brokerage account and bought 28,000 Global Education shares. The others also engaged in similarly suspicious trading in Global Education stock, which was typically thin. On November 18, the last trading day before the acquisition announcement, their purchases accounted for more than 35 percent of the entire day’s trading volume for the company’s shares, which trade on the NASDAQ.
The SEC alleges that the defendants each violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. In addition to the emergency relief, the SEC seeks permanent injunctions, disgorgement of ill-gotten gains with prejudgment interest, and financial penalties. The emergency court order that the SEC obtained on December 5 on an ex parte basis freezes approximately $2.7 million of defendants’ assets held in U.S. brokerage accounts and, among other things, grants expedited discovery and prohibits the defendants from destroying evidence. The investigation is continuing.
A hearing on the SEC’s motion for preliminary injunction has been set for December 15, 2011 at 9:45 a.m. in the U.S. District Court for the Northern District of Illinois, Courtroom 1719, located at 219 South Dearborn Street, Chicago, Illinois, 60604. [SEC v. All Know Holdings Ltd, et al., Case No. 11 CV 8605 (N.D. Ill)] (LR-22180)
SEC Halts Prime Bank Scheme Operated By D.C. Law Firm and Pennsylvania Company
On December 6, 2011, the Securities and Exchange Commission announced that it filed an enforcement action under seal in federal court in Washington D.C. and obtained an emergency court order to halt a prime bank scheme that defrauded at least 13 investors out of more than $2 million since August 2010. The Court unsealed the action on December 5, 2011, at the SEC’s request.
The SEC’s complaint alleges that Pennsylvania resident Frank L. Pavlico III and Washington D.C. attorney Brynee K. Baylor operated a prime bank scheme, offering investors risk-free returns of up to 20 times the original investment within as few as 45 days through the purported “lease” and “trading” of foreign bank instruments, including “standby letters of credit” and “bank guarantees,” in highly complex transactions with unidentified parties and secretive “trading platforms.” However, the bank instruments and trading programs were entirely fictitious. Pavlico and Baylor provided investors with phony contracts and legal documents, digitally-created computer screen shots, and copies of fictitious foreign bank instruments as purported proof of the ongoing success of the transactions. Baylor and her law firm Baylor & Jackson P.L.L.C. acted as “counsel” for Pavlico’s company The Milan Group, vouching for Pavlico and acting as an escrow agent that in reality was merely receiving and diverting the majority of investor funds.
According to the SEC complaint, Pavlico and Baylor lured investors into believing they were being given an exclusive chance to participate in an international investing program involving complex financial instruments that generated astronomical profits. They used vague and complex terms in their communications to confuse investors, and claimed that confidentiality concerns prevented them from providing more complete details regarding the status of the investment. Pavlico and Baylor also provided investors with bogus excuses attempting to explain the delay in providing the promised returns, such as feigned illnesses and false representations that the European bankers supposedly involved in the transaction were on extended vacation.
In furtherance of the scheme, the complaint alleges that Baylor provided investors with “attorney attestation” letters that assured them the investments were legitimate, and investor contracts that promised investment profits would be shared among investors, Milan, and Baylor & Jackson. Meanwhile, Pavlico was using a fake name of “Frank Lorenzo” to conceal his 2008 money laundering conviction from investors. He failed to disclose that he served 10 months in prison and was on supervised release at the time he was soliciting their investments.
According to the SEC’s complaint, Pavlico and Baylor used investor funds to pay Baylor & Jackson business expenses as well as personal expenditures. Pavlico purchased a Range Rover and a Jaguar, and Baylor made purchases at expensive restaurants and retailers including Jimmy Choo, and financed a trip to the Bahamas in September 2010. Investor funds also were used to make payments to nine individuals and entities – including Baylor’s law partner Dawn R. Jackson – named as relief defendants in the SEC’s complaint for the purpose of recovering funds unrightfully in their possession.
None of the defendants charged in the SEC’s enforcement action has ever registered with the SEC to sell securities.
On November 30, 2011, the Honorable Rosemary M. Collyer granted the SEC’s request for a temporary restraining order to prevent Pavlico, Milan, Baylor, and Baylor & Jackson from further engaging in the alleged investment program. The Court also granted the SEC’s request for an order freezing the assets of all the defendants and relief defendants, requiring accountings, prohibiting the destruction or alteration of documents, and allowing for expedited discovery.
Separately, the Federal Bureau of Investigation arrested Pavlico on November 29, 2011, charging him with wire fraud.
The SEC’s complaint alleges that Pavlico, Baylor, Milan, and Baylor & Jackson violated various antifraud, broker-dealer, and securities registration provisions of the federal securities laws. Specifically, the complaint alleges that they each violated Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; that Pavlico, Baylor, and Baylor & Jackson aided and abetted violations of Securities Act Section 17(a) and Exchange Act Section 10(b) and Rule 10b-5; that Baylor and Baylor & Jackson aided and abetted violations of Securities Act Sections 5(a) and 5(c); and that Pavlico and Baylor also violated Exchange Act Section 15(a). The SEC seeks permanent injunctions, disgorgement of ill-gotten gains with prejudgment interest thereon, and civil penalties against each defendant, and bars prohibiting Pavlico and Baylor from serving as an officer or director of a public company. [SEC v. The Milan Group, Inc., a/k/a The Milan Trading Group, Inc., Frank L. Pavlico III, a/k/a Frank Lorenzo, Brynee K. Baylor, Baylor & Jackson, P.L.L.C., Mia C. Baldassari, Elmo Baldassari, Brett A. Cooper, Global Funding Systems, LLC, GPH Holdings, LLC, Dawn R. Jackson, Patrick T. Lewis, Susan C. Kevra-Shiner, a/k/a Susan C. Kevra, The Law Office of Susan C. Kevra, Case No. 11-cv-02132 (RMC) (D.D.C.)] (LR-22181)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the NASDAQ OMX PHLX LLC (SR-Phlx-2011-154) relating to routing fees for PSX 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 December 5. (Rel. 34-65883)
A proposed rule change filed by NYSE Amex LLC amending NYSE Amex Equities Rule 72 priority of bids and offers and allocation of executions (SR-NYSEAmex-2011-91) 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 December 5. (Rel. 34-65887)
A proposed rule change filed by New York Stock Exchange LLC amending NYSE Rule 72 priority of bids and offers and allocation of executions (SR-NYSE-2011-60) 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 December 5. (Rel. 34-65889)
A proposed rule change filed by NYSE Arca, Inc. specifying in its rules an existing policy related to the application of NYSE Arca Options Rule 6.47A (SR-NYSEArca-2011-89) 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 December 5. (Rel. 34-65894)
Approval of Proposed Rule Changes
The Commission has approved a proposed rule change (SR-SCCP-2011-03) filed by Stock Clearing Corporation of Philadelphia (SCCP) under Section 19(b)(2) of the Securities Exchange Act of 1934 with respect to an amendment to the by-laws of The NASDAQ OMX Group, Inc. Publication is expected in the Federal Register during the week of December 5. (Rel. 34-65884)
The Commission has approved a proposed rule change (SR-BSECC-2011-03) filed by Boston Stock Exchange Clearing Corporation (BSECC) under Section 19(b)(2) of the Securities Exchange Act of 1934 with respect to an amendment to the by-laws of The NASDAQ OMX Group, Inc. Publication is expected in the Federal Register during the week of December 5. (Rel. 34-65885)
The Commission has approved a proposed rule change (SR-FINRA-2011-052) submitted by the Financial Industry Regulatory Authority, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to adopt NASD Rule 2320 (Best Execution and Interpositioning) and Interpretive Material (“IM”) 2320 as FINRA Rule 5310 in the Consolidated Rulebook. Publication is expected in the Federal Register during the week of December 5. (Rel. 34-65895)
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 RED MOUNTAIN RESOURCES, INC., 2515 MC KINNEY AVE, SUITE 900, DALLAS, TX, 75201, 720-204-1013 - 0 ($39,784,208.54) Equity, (File 333-178310 - Dec. 5) (BR. 04B) S-1 Roundy's Parent Company, Inc., 875 EAST WISCONSIN AVENUE, MILWAUKEE, WI, 53202, 414-231-5000 - 0 ($230,000,000.00) Equity, (File 333-178311 - Dec. 5) (BR. 02) S-3ASR NII Capital Corp., 1875 EXPLORER STREET, SUITE 1000, RESTON, VA, 20190, 703-390-5100 - 0 ($0.00) Other, (File 333-178312 - Dec. 5) (BR. 11A) S-8 PEOPLES EDUCATIONAL HOLDINGS, 299 MARKET ST, SADDLE BROOK, NJ, 07663, 6124717246 - 1,000,000 ($830,000.00) Equity, (File 333-178318 - Dec. 5) (BR. 11C) S-3ASR EL PASO ELECTRIC CO /TX/, 100 NORTH STANTON, EL PASO, TX, 79901, 9155435711 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-178319 - Dec. 5) (BR. 02C) F-1 Gazit-Globe Ltd, 1 HASHALOM ST., TEL-AVIV, L3, 67892, (212) 305-944-7988 - 0 ($145,176,000.00) Equity, (File 333-178320 - Dec. 5) (BR. 08C) S-1 SG BLOCKS, INC., 400 MADISON AVENUE, SUITE 16C, NEW YORK, NY, 10017, (646) 747-2423 - 23,090,050 ($10,852,323.50) Equity, (File 333-178321 - Dec. 5) (BR. 10) S-8 COINSTAR INC, 1800 114TH AVENUE S E, BELLEVUE, WA, 98004, 4259438000 - 0 ($61,466,727.15) Equity, (File 333-178323 - Dec. 5) (BR. 11A) S-8 CLEAN WIND ENERGY TOWER, INC., 1997 ANNAPOLIS EXCHANGE BLVD., SUITE 300, ANNAPOLIS, MD, 21401, 410-972-4713 - 35,000,000 ($6,300,000.00) Equity, (File 333-178324 - Dec. 5) (BR. 09A) S-3 SINOCOKING COAL & COKE CHEMICAL INDUSTRIES, INC., KUANGGONG ROAD AND TIYU ROAD 10TH FLOOR,, CHENGSHI XIN YONG SHE, TIYU ROAD, XINHUA, PINGDINGSHAN, HENAN PROVINCE, F4, 467000, 86-3752882999 - 0 ($120,000,000.00) Equity, (File 333-178325 - Dec. 5) (BR. 06B) S-8 INTEL CORP, 2200 MISSION COLLEGE BLVD, RNB-4-151, SANTA CLARA, CA, 95054, 4087658080 - 182,079 ($1,059,700.00) Equity, (File 333-178328 - Dec. 5) (BR. 10B) S-3ASR Clearwire Corp /DE, 4400 CARILLON POINT, KIRKLAND, WA, 98033, 425-216-7600 - 0 ($0.00) Equity, (File 333-178329 - Dec. 5) (BR. 11C) S-8 VALASSIS COMMUNICATIONS INC, 19975 VICTOR PARKWAY, LIVONIA, MI, 48152, 3135913000 - 0 ($14,711,026.33) Equity, (File 333-178331 - Dec. 5) (BR. 11A) S-8 RED HAT INC, 1801 VARSITY DRIVE, RALEIGH, NC, 27606, 9197543700 - 0 ($17,596,226.00) Equity, (File 333-178332 - Dec. 5) (BR. 03B) S-1 Horizon Lines, Inc., 4064 COLONY ROAD, SUITE 200, CHARLOTTE, NC, 28211, 704-973-7000 - 0 ($84,917,212.00) Debt Convertible into Equity, 0 ($814,717.00) Equity, 0 ($8,975,691.00) Other, (File 333-178333 - Dec. 5) (BR. 05A) S-8 LEGGETT & PLATT INC, NO. 1 LEGGETT ROAD, CARTHAGE, MO, 64836, (417) 358-8131 - 0 ($2,633,624.38) Equity, (File 333-178334 - Dec. 5) (BR. 06A) S-1 PRESSURE BIOSCIENCES INC, 14 NORFOLK AVENUE, SOUTH EASTON, MA, 02375, 5082301828 - 0 ($8,000,000.00) Equity, (File 333-178335 - Dec. 5) (BR. 10C)
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 250 WEST 57TH ST ASSOCIATES L.L.C. NY 1.01,3.03,5.03,9.01 12/05/11 3D SYSTEMS CORP DE 7.01,9.01 12/05/11 60 EAST 42ND STREET ASSOCIATES L.L.C. NY 1.01,3.03,5.03,9.01 12/05/11 AAA CAPITAL ENERGY FUND L.P. II NY 3.02 12/01/11 Abingdon Futures Fund LP NY 3.02 12/01/11 ACETO CORP NY 5.03,9.01 12/01/11 ACXIOM CORP DE 8.01 12/05/11 ADCARE HEALTH SYSTEMS INC OH 1.01,2.03 11/29/11 ADVANCED ANALOGIC TECHNOLOGIES INC DE 1.01,8.01,9.01 11/29/11 Aegerion Pharmaceuticals, Inc. DE 5.02 11/29/11 ALBANY MOLECULAR RESEARCH INC DE 1.01,2.03,9.01 12/01/11 ALCO, INC. NV 5.03,9.01 12/05/11 ALLIANT ENERGY CORP WI 5.02,8.01,9.01 12/01/11 AlphaMetrix Managed Futures III LLC DE 3.02 12/01/11 ALSERES PHARMACEUTICALS INC /DE DE 1.01 11/30/11 Alto Group Holdings Inc. NV 5.03,5.07,9.01 12/01/11 Altra Holdings, Inc. DE 1.01 11/30/11 AMACORE GROUP, INC. DE 5.02 11/30/11 AMERICAN AIRLINES INC DE 8.01 12/05/11 AMERICAN AIRLINES INC DE 8.01 12/05/11 AMERICAN ELECTRIC POWER CO INC NY 8.01 12/02/11 AMGEN INC DE 1.01,1.02,9.01 12/02/11 AMGEN INC DE 1.01,9.01 12/05/11 AMR CORP DE 8.01 12/05/11 AMR CORP DE 8.01 12/05/11 AMR CORP DE 8.01 12/05/11 ANALOG DEVICES INC MA 5.02 11/30/11 APOLLO GROUP INC AZ 8.01 12/03/11 Aquasil International Inc. NV 5.02 12/01/11 ARDENT MINES LTD 5.02 11/30/11 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 12/05/11 AUTONATION, INC. DE 7.01,9.01 12/05/11 BALCHEM CORP MD 7.01,9.01 12/01/11 Banks.com, Inc. FL 8.01 12/05/11 BEHRINGER HARVARD MULTIFAMILY REIT I 1.01 11/29/11 Beneficial Mutual Bancorp Inc X1 1.01,7.01,9.01 12/05/11 BHM Discretionary Futures Fund L.P. DE 3.02 12/01/11 BLUE RIDGE REAL ESTATE CO PA 5.02 12/01/11 Bluerock Enhanced Multifamily Trust, MD 1.01,2.03 12/03/11 BOISE INC. DE 1.01,8.01 12/05/11 CABOT MICROELECTRONICS CORP DE 5.02 11/22/11 Campus Crest Communities, Inc. MD 7.01,9.01 12/05/11 CardioNet, Inc. CA 1.01,9.01 11/30/11 Care Investment Trust Inc. MD 9.01 09/21/11 AMEND CHDT CORP FL 8.01 12/05/11 CHENIERE ENERGY INC DE 7.01,9.01 12/05/11 Cheniere Energy Partners, L.P. DE 7.01,9.01 12/05/11 CHESAPEAKE GRANITE WASH TRUST DE 2.02,9.01 12/05/11 Clearwire Corp /DE DE 1.01,2.03,9.01 11/30/11 Clearwire Corp /DE DE 8.01,9.01 12/05/11 COEUR D ALENE MINES CORP ID 7.01,9.01 12/05/11 COLONIAL PROPERTIES TRUST AL 7.01 12/05/11 Computer Vision Systems Laboratories DE 3.02,5.02 12/02/11 Confederate Motors, Inc. DE 5.02 12/04/11 CONNECTICUT WATER SERVICE INC / CT CT 8.01,9.01 12/05/11 CONSUMERS BANCORP INC /OH/ OH 5.02 12/01/11 CORNERSTONE BANCSHARES INC TN 7.01,9.01 11/24/11 Crestwood Midstream Partners LP DE 7.01,9.01 12/05/11 Cullman Bancorp, Inc. X1 8.01,9.01 12/05/11 CUMMINS INC IN 8.01 12/05/11 DATA I/O CORP WA 7.01 12/02/11 DAWSON GEOPHYSICAL CO TX 7.01 12/05/11 DENALI CONCRETE MANAGEMENT INC NV 4.01,9.01 11/29/11 Dialogic Inc. DE 5.02,9.01 12/05/11 DIGITAL RIVER INC /DE DE 5.02,9.01 12/01/11 Dolby Laboratories, Inc. DE 5.02,9.01 11/07/11 AMEND DOLLAR GENERAL CORP TN 2.02,7.01,9.01 12/05/11 DOVER Corp DE 7.01,9.01 12/05/11 DUKE REALTY CORP IN 1.02 12/01/11 DUKE REALTY LIMITED PARTNERSHIP/ IN 1.02 12/01/11 DUPONT FABROS TECHNOLOGY, INC. MD 5.03,9.01 11/30/11 DUPONT FABROS TECHNOLOGY, INC. MD 5.02,9.01 11/30/11 Eastern Insurance Holdings, Inc. PA 8.01,9.01 12/02/11 EBIX INC DE 5.07 12/02/11 EMERGING CTA PORTFOLIO LP NY 3.02 12/01/11 EMPIRE STATE BUILDING ASSOCIATES L.L. NY 1.01,3.03,5.03,9.01 12/05/11 ENBRIDGE ENERGY PARTNERS LP DE 1.01,7.01,9.01 12/02/11 Encompass Energy Services, Inc. DE 5.03,9.01 12/02/11 ENER1 INC FL 5.02,9.01 11/30/11 ENERGEN CORP AL 1.01,2.03,9.01 11/29/11 EQUITY RESIDENTIAL MD 1.01,7.01,9.01 12/02/11 EVERGREEN SOLAR INC DE 2.01,9.01 12/01/11 EXELIXIS INC DE 3.03,5.03,9.01 11/30/11 EXELON CORP PA 5.02 07/27/11 Expedia, Inc. 8.01 11/30/11 Federal Home Loan Bank of Dallas 2.03,9.01 11/29/11 Fifth Street Finance Corp DE 1.01,2.03,9.01 11/30/11 FLAGSTAR BANCORP INC MI 8.01,9.01 12/02/11 Fortress Investment Group LLC DE 7.01 12/05/11 FOUR RIVERS BIOENERGY INC. NV 8.01,9.01 12/05/11 FOUR RIVERS BIOENERGY INC. NV 1.01 05/24/11 AMEND FRANKLIN ELECTRIC CO INC IN 5.02,9.01 12/05/11 GASTAR EXPLORATION LTD 7.01,9.01 12/05/11 General Moly, Inc DE 8.01,9.01 12/05/11 General Motors Co 8.01 12/01/11 Genesis Biopharma, Inc NV 1.01,2.03,9.01 11/30/11 GENTA INC DE/ DE 8.01,9.01 12/02/11 GLATFELTER P H CO PA 2.04 12/05/11 GOLDRICH MINING CO AK 7.01,9.01 11/30/11 GreenHouse Holdings, Inc. 1.01,2.01,9.01 09/08/10 AMEND GRYPHON GOLD CORP NV 7.01,9.01 12/05/11 GRYPHON GOLD CORP NV 7.01,9.01 12/05/11 GULFPORT ENERGY CORP DE 1.01,7.01,8.01,9.01 11/29/11 HCW PENSION REAL ESTATE FUND LTD PART MA 1.01,9.01 11/29/11 HECLA MINING CO/DE/ DE 8.01,9.01 12/02/11 HUDSON HIGHLAND GROUP INC DE 1.01,2.03,9.01 11/29/11 INGLES MARKETS INC NC 2.02,9.01 12/05/11 INNOCAP INC NV 8.01 11/25/11 ITC Holdings Corp. MI 7.01,8.01,9.01 12/05/11 J&J SNACK FOODS CORP NJ 8.01,9.01 12/05/11 JONES SODA CO WA 5.02,9.01 12/01/11 Keyuan Petrochemicals, Inc. NV 8.01,9.01 12/02/11 KRAFT FOODS INC VA 5.02,8.01,9.01 12/05/11 LAKELAND FINANCIAL CORP IN 5.03,9.01 11/29/11 LAM RESEARCH CORP DE 5.02,9.01 11/30/11 LEE ENTERPRISES, INC DE 1.01,7.01,8.01,9.01 12/02/11 LEHMAN BROTHERS HOLDINGS INC DE 8.01 12/02/11 LyondellBasell Industries N.V. P7 5.07 05/05/11 AMEND MARSHALL EDWARDS INC DE 5.02,5.07,9.01 12/01/11 MEDISAFE 1 TECHNOLOGIES CORP DE 5.03,9.01 09/30/11 MERU NETWORKS INC DE 5.02,9.01 11/30/11 MESA LABORATORIES INC /CO CO 5.02,9.01 12/01/11 MET PRO CORP PA 5.02,9.01 12/05/11 METLIFE INC DE 2.02,7.01,8.01,9.01 12/05/11 MICRO IMAGING TECHNOLOGY, INC. CA 3.03,5.02,7.01,9.01 12/02/11 MIDSOUTH BANCORP INC LA 3.02,8.01,9.01 12/01/11 ModusLink Global Solutions Inc DE 2.02,9.01 12/05/11 MOMENTA PHARMACEUTICALS INC DE 1.01 12/02/11 MONMOUTH REAL ESTATE INVESTMENT CORP MD 1.01,7.01,8.01,9.01 11/30/11 MONRO MUFFLER BRAKE INC NY 8.01,9.01 12/05/11 MPG Office Trust, Inc. MD 7.01,8.01,9.01 12/02/11 MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 11/25/11 MYRIAD GENETICS INC DE 5.02,5.07,9.01 12/02/11 NARA BANCORP INC DE 2.01,5.02,9.01 11/30/11 NATHANS FAMOUS INC DE 8.01,9.01 12/05/11 NATIONAL FUEL GAS CO NJ 8.01,9.01 12/01/11 NATIONAL RETAIL PROPERTIES, INC. MD 8.01,9.01 11/29/11 Natural Resources USA Corp 5.01,8.01,9.01 12/05/11 NETSCOUT SYSTEMS INC DE 5.02,5.03,9.01 12/05/11 Nevada Property 1 LLC DE 5.02 11/30/11 NEWFIELD EXPLORATION CO /DE/ DE 7.01,9.01 12/05/11 NII HOLDINGS INC DE 8.01,9.01 12/05/11 NORMAN CAY DEVELOPMENT, INC. NV 9.01 10/14/11 AMEND NORTHERN TRUST CORP DE 7.01,9.01 12/05/11 NPC INTERNATIONAL INC KS 7.01,9.01 12/05/11 NPC INTERNATIONAL INC KS 7.01,9.01 12/05/11 NPC INTERNATIONAL INC KS 5.02 12/05/11 Oak Ridge Financial Services, Inc. NC 2.02,9.01 12/05/11 OCEAN BIO CHEM INC FL 5.03,9.01 12/02/11 Oilsands Quest Inc 1.02,1.03,8.01,9.01 11/29/11 OLD NATIONAL BANCORP /IN/ IN 8.01,9.01 12/05/11 OLIN CORP VA 7.01,9.01 12/05/11 OMEGA PROTEIN CORP NV 7.01,9.01 12/05/11 ONEOK INC /NEW/ OK 7.01,9.01 12/05/11 ONEOK INC /NEW/ OK 7.01,9.01 12/05/11 ONEOK Partners LP DE 7.01,9.01 12/05/11 OPENWAVE SYSTEMS INC DE 5.07 12/01/11 ORION FUTURES FUND LP NY 3.02 12/01/11 PAWS Pet Company, Inc. IL 2.01,2.03,3.02,4.01, 08/13/10 AMEND 5.01,5.02,5.03,5.06, 9.01 PDL BIOPHARMA, INC. DE 7.01,9.01 12/05/11 PennyMac Mortgage Investment Trust MD 1.01,2.03,9.01 11/30/11 PEP BOYS MANNY MOE & JACK PA 2.02,9.01 12/05/11 Perfumania Holdings, Inc. FL 7.01,9.01 12/01/11 Perfumania Holdings, Inc. FL 7.01 12/05/11 PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC 2.01,3.01,3.03,5.01, 12/05/11 5.03,9.01 Polaris Futures Fund L.P. DE 3.02 12/01/11 POTASH AMERICA, INC. NV 1.01,7.01 11/30/11 POTLATCH CORP DE 7.01,9.01 12/05/11 PRECISION CASTPARTS CORP OR 1.01,1.02 12/02/11 PREMIER ALLIANCE GROUP, INC. NV 1.01 12/01/11 PRIME ESTATES & DEVELOPMENTS INC NV 1.01 12/01/11 PRIMUS GUARANTY LTD 8.01,9.01 11/30/11 ProPhase Labs, Inc. NV 3.01 12/05/11 PROSPECT GLOBAL RESOURCES INC. NV 5.02 11/29/11 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 12/05/11 PURESPECTRUM, INC. 5.01,5.02 12/05/11 QUESTAR PIPELINE CO UT 8.01,9.01 12/01/11 Radius Health, Inc. DE 5.02,9.01 11/30/11 RealD Inc. DE 8.01,9.01 12/05/11 Regency Energy Partners LP DE 7.01,9.01 12/05/11 REGENERON PHARMACEUTICALS INC NY 7.01,8.01,9.01 12/05/11 Richland Resources Corp. NV 4.01,9.01 11/14/11 AMEND RIVER VALLEY BANCORP IN 1.01,9.01 12/05/11 RoomStore, Inc. VA 8.01 12/03/11 Ruby Creek Resources, Inc. NV 1.01,2.01,9.01 11/29/11 SABINE ROYALTY TRUST TX 2.02,9.01 12/02/11 SALAMON GROUP INC 2.01,3.01,5.01,5.02, 05/13/11 AMEND 7.01,9.01 Seagate Technology plc L2 5.02,9.01 12/01/11 SENIOR HOUSING PROPERTIES TRUST MD 8.01,9.01 12/05/11 SEYCHELLE ENVIRONMENTAL TECHNOLOGIES NV 7.01,9.01 12/05/11 SIGNATURE GROUP HOLDINGS, INC. NV 8.01,9.01 12/05/11 Silicon Graphics International Corp DE 5.07 12/02/11 SIMULATIONS PLUS INC 8.01,9.01 12/01/11 SKYWORKS SOLUTIONS, INC. DE 1.01,9.01 11/29/11 SL GREEN REALTY CORP MD 7.01 12/05/11 SL GREEN REALTY CORP MD 1.01,3.02,9.01 11/14/11 SLM Student Loan Trust 2003-1 DE 8.01,9.01 12/05/11 SLM Student Loan Trust 2003-4 DE 8.01,9.01 12/05/11 SLM Student Loan Trust 2003-7 DE 8.01,9.01 12/05/11 Southeastern Bank Financial CORP GA 8.01 12/05/11 SPECTRUM PHARMACEUTICALS INC DE 5.02 11/29/11 Star Gold Corp. NV 5.02,5.07 11/30/11 STATE BANCORP INC NY 7.01,9.01 12/05/11 SuccessFactors, Inc. DE 1.01,8.01,9.01 12/03/11 SUNOCO INC PA 5.02,8.01,9.01 11/29/11 Susser Holdings CORP DE 1.01,9.01 12/01/11 SWIFT ENERGY CO 1.01,2.03,9.01 12/05/11 TACTICAL DIVERSIFIED FUTURES FUND L.P NY 3.02 12/01/11 TALBOTS INC DE 5.02,9.01 12/04/11 TANGOE INC 5.02 12/05/11 TE Connectivity Ltd. V8 1.01,9.01 11/29/11 TEAMSTAFF INC NJ 2.02,9.01 12/05/11 TESORO CORP /NEW/ DE 7.01,9.01 12/05/11 TESORO LOGISTICS LP DE 1.01,7.01,9.01 12/02/11 TESSERA TECHNOLOGIES INC DE 7.01,9.01 12/05/11 TIDEWATER INC DE 8.01,9.01 11/29/11 TOWERSTREAM CORP DE 8.01,9.01 12/05/11 TRANS ENERGY INC NV 5.07 11/30/11 TransMontaigne Partners L.P. DE 7.01,9.01 12/02/11 Transocean Ltd. V8 1.01,5.03,9.01 11/29/11 Transocean Ltd. V8 1.01,2.03,9.01 11/30/11 U S GOLD CORP CO 7.01,9.01 12/02/11 U.S. RARE EARTHS, INC NV 5.02 12/01/11 UFP TECHNOLOGIES INC DE 4.01,9.01 11/30/11 UNIGENE LABORATORIES INC DE 1.02,9.01 12/02/11 Unilife Corp DE 5.07,7.01,9.01 12/01/11 United American Petroleum Corp. NV 1.01,2.01,2.03,3.02, 11/29/11 9.01 UNIVERSAL INSURANCE HOLDINGS, INC. DE 8.01,9.01 12/05/11 US AIRWAYS GROUP INC DE 2.02,9.01 12/05/11 USA TECHNOLOGIES INC PA 5.02,8.01,9.01 11/14/11 VITRAN CORP INC A6 1.01,9.01 11/30/11 Vringo Inc DE 1.01,3.02,5.07,7.01, 12/01/11 9.01 WACCAMAW BANKSHARES INC NC 8.01 11/29/11 WALGREEN CO IL 2.02,9.01 12/05/11 WAVE SYSTEMS CORP DE 8.01 11/30/11 WEIGHT WATCHERS INTERNATIONAL INC VA 5.02,9.01 12/05/11 WESTPORT JWH FUTURES FUND LP NY 3.02 12/01/11 XENOPORT INC DE 8.01 12/05/11 YUM BRANDS INC NC 8.01,9.01 12/05/11 Z TRIM HOLDINGS, INC IL 5.07 12/01/11 Zalicus Inc. DE 8.01,9.01 12/05/11 ZIONS BANCORPORATION /UT/ UT 9.01 12/05/11 Zurvita Holdings, Inc. DE 5.02 11/30/11