Securities and Exchange Commission Suspends Trading in the Securities of Seven Issuers For Failure to Make Required Periodic Filings
The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EST on January 19, 2012 and terminating at 11:59 p.m. EST on February 1, 2012.
The Commission temporarily suspended trading in the securities of these seven issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-66183)
Closed Meeting on Thursday, January 26, 2012 at 2:00 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, January 26, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; other matters relating to enforcement proceedings; and an adjudicatory matter.
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.
Commission Orders Hearings on Registration Suspension or Revocation Against Seven Companies for Failure to Make Required Periodic Filings
In conjunction with these trading suspensions, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission.
In these proceedings, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the 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 judge in the proceedings 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 the proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-66184; File No. 3-14702)
Commission Revokes Registration of Securities of Suncast Network, Inc. For Failure to Make Required Periodic Filings
On January 19, 2012, the Commission revoked the registration of each class of registered securities of Suncast Network, Inc. (Suncast Network) 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, Stelax Industries 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 Suncast Network, 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 Suncast Network’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Suncast Network in In the Matter of Regenesis Centers, Inc., et al., Administrative Proceeding File No. 3-14652.
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 Regenesis Centers, Inc., et al., Administrative Proceeding File No. 3-14652, Exchange Act Release No. 65891, December 5, 2011. (Rel. 34-66185; File No. 3-14652)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against E-Smart Technologies, Inc. For Failure to Make Required Periodic Filings
On January 19, 2012, 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 e-Smart Technologies, Inc. (“e-Smart”) for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that e-Smart is 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 e-Smart’s securities 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. 34-66191; File No. 3-14703)
In the Matter of Charles P. Copeland
On January 19, 2012, the Commission issued an Order Instituting Administrative Proceedings, Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions against Charles P. Copeland. The Order finds that on October 19, 2011, a final judgment was entered by consent against Charles P. Copeland (Charles Copeland), permanently enjoining him from future 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 thereunder, and Sections 206(1) and 206(2) of the Advisers Act, in the civil action entitled Securities and Exchange Commission v. Charles P. Copeland, Copeland Wealth Management, A Financial Advisory Corporation, and Copeland Wealth Management, A Real Estate Corporation, Civil Action No. 11-08607, in the United States District Court for the Central District of California. The Commission alleged in its complaint that from 2003 through May 31, 2011 in connection with the sale of limited partnership interests by Copeland Wealth Management and unregistered investment adviser Copeland Wealth Management, a Real Estate Corporation, Charles Copeland made material misrepresentations and omissions regarding: (1) the use of investor funds, (2) conflicts of interest, (3) guaranteed returns, (4) the unauthorized trading of put options, and (5) the payment of undisclosed real estate commissions and other related compensation.
Based on the above, the Order bars Charles Copeland from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Charles Copeland consented to the issuance of the Order without admitting or denying the findings in the Order, except he admitted the entry of the injunction. (Rel. IA-3358; File No. 3-14704)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-003) to amend its Fees Schedule 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 January 23. (Rel. 34-66174)
A proposed rule change filed by EDGX Exchange, Inc. (SR-EDGX-2012-03) to amend EDGX Rule 1.5(q) 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 January 23. (Rel. 34-66176)
Proposed Rule Changes
The NASDAQ Stock Market LLC filed a proposed rule change (SR-NASDAQ-2012-004) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of shares of the Emerging Markets Corporate Bond Fund of the WisdomTree Trust. Publication is expected in the Federal Register during the week of January 23. (Rel. 34-66175)
The Chicago Stock Exchange, Inc. has filed a proposed rule change (SR-CHX-2012-02) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to add to and amend its rules regarding the obligations of Institutional Brokers registered with the Exchange. Publication is expected in the Federal Register during the week of January 23. (Rel. 34-66177)
The Commission issued notice of a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2012-04) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to listing and trading of shares of twenty-six series of ProShares Trust II under NYSE Arca Equities Rule 8.200. Publication is expected in the Federal Register during the week of January 23. (Rel. 34-66180)
Approval of Proposed Rule Changes
The Commission approved a proposed rule change submitted by NASDAQ OMX PHLX LLC (SR-Phlx-2011-170) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 requesting permanent approval of the pilot program permitting NASDAQ OMX PSX to receive certain inbound routes that Nasdaq Execution Services, LLC routes in its capacity as a facility of the NASDAQ Stock Market LLC. Publication is expected in the Federal Register during the week of January 23. (Rel. 34-66178)
The Commission has approved a proposed rule change (SR-DTC-2011-08) filed by The Depository Trust Company (DTC) under Section 19(b)(2) of the Securities Exchange Act of 1934 with respect to a change to enhance risk management controls associated with the receiver authorized delivery function. Publication is expected in the Federal Register during the week of January 23. (Rel. 34-66179)
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-3 Anthera Pharmaceuticals Inc, 25801 INDUSTRIAL BOULEVARD, SUITE B, HAYWARD, CA, 94545, (510) 856-5600 - 0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-179043 - Jan. 18) (BR. 01B) S-8 American Sands Energy Corp., 4760 S. HIGHLAND DRIVE, SUITE 341, SALT LAKE CITY, UT, 84117, 801-277-7888 - 7,000,000 ($6,008,750.00) Equity, (File 333-179044 - Jan. 18) (BR. 07B) S-8 Bridgepoint Education Inc, 13500 EVENING CREEK DR. #600, SAN DIEGO, CA, 92128, 858-668-2586 - 1,034,624 ($24,489,550.08) Equity, (File 333-179046 - Jan. 18) (BR. 11C) F-1 China Auto Rental Inc., 2F, LEAD INTERNATIONAL BUILDING, 2A ZHONGHUAN SOUTH ROAD, WANGJING, CHAOYANG DISTRICT. BEIJING, F4, 100102, (86)(10)58209999 - 0 ($300,000,000.00) ADRs/ADSs, (File 333-179048 - Jan. 18) (BR. 05) S-1 USA Synthetic Fuel Corp, 312 WALNUT STREET, SUITE 1600, CINCINNATI, OH, 45202, (513) 762-7870 - 10,000,000 ($100,000,000.00) Equity, (File 333-179049 - Jan. 18) (BR. 02C) S-3ASR Vanguard Natural Resources, LLC, 5847 SAN FELIPE, SUITE 3000, HOUSTON, TX, 77057, 832-327-2259 - 0 ($0.00) Debt, 0 ($0.00) Equity, (File 333-179050 - Jan. 18) (BR. 04B) S-8 SIONIX CORP, 914 WESTWOOD BLVD., BOX 801, LOS ANGELES, CA, 90024, (847) 235-4566 - 7,000,000 ($315,000.00) Equity, (File 333-179055 - Jan. 18) (BR. 06C) S-8 CORGENIX MEDICAL CORP/CO, 12061 TEJON STREET, 303-751-4831, WESTMINSTER, CO, 80234, 3034574345 - 0 ($697,500.00) Equity, (File 333-179057 - Jan. 18) (BR. 01A) S-8 OPENTABLE INC, 799 MARKET STREET, FOURTH FLOOR, SAN FRANCISCO, CA, 94103, (415) 344-4200 - 0 ($28,941,412.00) Equity, (File 333-179065 - Jan. 18) (BR. 02C) S-1 Francesca's Holdings CORP, 3480 WEST 12TH STREET, Houston, TX, 77008, 713-864-1358 - 0 ($229,873,500.00) Equity, (File 333-179069 - Jan. 18) (BR. 09) S-8 GigOptix, Inc., 2300 GENG ROAD, SUITE 250, PALO ALTO, CA, 94303, (650) 424-1937 - 4,077,286 ($6,951,772.63) Equity, (File 333-179070 - Jan. 18) (BR. 10B) S-4 CHC Helicopter S.A., 13-15 AVENUE DE LA LIBERTE, LUXEMBOURG, N4, L-1931, 352-2689-01 - 0 ($1,100,000,000.00) Non-Convertible Debt, (File 333-179072 - Jan. 18) (BR. ) S-1 Sagebrush Gold Ltd., 1640 TERRACE WAY, WALNUT CREEK, CA, 94597, 925-930-6338 - 80,437,279 ($37,805,521.13) Equity, (File 333-179073 - Jan. 18) (BR. 05A) S-8 LYRIS, INC., 6401 HOLLIS STREET, SUITE 125, EMERYVILLE, CA, 94608, 800-768-2929 - 9,800,000 ($1,176,000.00) Equity, (File 333-179074 - Jan. 18) (BR. 03C) S-8 Jazz Pharmaceuticals plc, 3180 PORTER DRIVE, PALO ALTO, CA, 94304, 650-496-3777 - 0 ($406,041,834.00) Equity, (File 333-179075 - Jan. 18) (BR. 01A) S-8 LSI CORP, 1621 BARBER LANE, MILPITAS, CA, 95035, 4084338000 - 9,232,935 ($16,995,117.16) Equity, (File 333-179076 - Jan. 18) (BR. 10B)
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 ----------------------------------------------------------------------------------------- 8X8 INC /DE/ DE 2.02,9.01 01/18/12 ACACIA RESEARCH CORP DE 8.01 01/12/12 ACCO BRANDS CORP DE 8.01,9.01 01/18/12 ACTIVE POWER INC DE 1.01,9.01 01/11/12 ADTRAN INC DE 2.02,9.01 01/17/12 AIR LEASE CORP DE 5.02 01/13/12 AKAMAI TECHNOLOGIES INC DE 5.02,9.01 01/18/12 ALABAMA POWER CO AL 8.01,9.01 01/10/12 All American Gold Corp. WY 1.01,1.02,9.01 01/12/12 Alliqua, Inc. FL 1.01,3.02,9.01 01/11/12 Ally Auto Assets LLC DE 1.01,8.01,9.01 01/18/12 AMERCO /NV/ NV 8.01,9.01 11/08/11 AMERICAN LIFE HOLDING CO INC 5.02 01/12/12 AMERICANWEST BANCORPORATION WA 7.01,9.01 01/13/12 AMERIGAS PARTNERS LP DE 1.01,8.01,9.01 01/11/12 AMERIGROUP CORP 1.01,2.03,9.01 01/18/12 AMPHENOL CORP /DE/ DE 2.02,9.01 01/18/12 APPIPHANY TECHNOLOGIES HOLDINGS CORP NV 1.01,3.02,9.01 01/16/12 Apple REIT Eight, Inc. VA 8.01 01/13/12 ATWOOD OCEANICS INC TX 1.01,9.01 01/12/12 AURORA GOLD CORP DE 1.01,7.01 01/13/12 BANCORPSOUTH INC MS 9.01 01/17/12 AMEND Bank of New York Mellon CORP DE 2.02,9.01 01/18/12 BANK OF THE OZARKS INC AR 2.02,7.01,8.01,9.01 01/17/12 BAZI INTERNATIONAL, INC. NV 2.03,3.02,9.01 12/16/11 BILL BARRETT CORP 7.01,9.01 01/18/12 BIOCANCELL THERAPEUTICS INC. 5.07 01/12/12 BRAINSTORM CELL THERAPEUTICS INC 7.01,9.01 01/17/12 BRITTON & KOONTZ CAPITAL CORP MS 5.02 01/18/12 CAMBRIDGE HEART INC DE 1.01,2.03,3.02,8.01, 01/17/12 9.01 CANTEL MEDICAL CORP DE 5.02,5.07 01/12/12 AMEND CARPENTER TECHNOLOGY CORP DE 1.01,9.01 01/13/12 CASH AMERICA INTERNATIONAL INC TX 7.01,9.01 01/17/12 Celanese CORP DE 2.02,7.01,9.01 01/16/12 CENTERPOINT ENERGY HOUSTON ELECTRIC L TX 1.01,8.01,9.01 01/11/12 CENTRAL VIRGINIA BANKSHARES INC VA 5.02,9.01 01/17/12 CENTURY BANCORP INC MA 2.02,9.01 01/17/12 CHESAPEAKE MIDSTREAM PARTNERS LP DE 7.01,9.01 01/12/12 Cheviot Financial Corp. MD 8.01,9.01 01/18/12 CHINA AGRITECH INC DE 5.02 01/16/12 CHINACAST EDUCATION CORP DE 5.07 01/10/12 AMEND CINCINNATI BELL INC OH 8.01,9.01 01/12/12 CIRCLE STAR ENERGY CORP. NV 5.02 01/13/12 CITIZENS FINANCIAL SERVICES INC PA 8.01,9.01 01/18/12 CleanTech Innovations, Inc. NV 8.01,9.01 01/05/12 CleanTech Innovations, Inc. NV 8.01,9.01 01/18/12 COLE REAL ESTATE INCOME STRATEGY (DAI MD 5.02,5.07 01/11/12 COMMERCIAL BARGE LINE CO DE 5.02 01/14/12 COMMUNITY TRUST BANCORP INC /KY/ KY 2.02,7.01,9.01 12/31/11 COMTECH TELECOMMUNICATIONS CORP /DE/ DE 5.07 01/13/12 COMTECH TELECOMMUNICATIONS CORP /DE/ DE 5.02,5.03,9.01 01/13/12 Conmed Healthcare Management, Inc. DE 8.01,9.01 01/18/12 Converted Organics Inc. DE 4.01 01/12/12 Copano Energy, L.L.C. 1.01,7.01,9.01 01/13/12 CORGENIX MEDICAL CORP/CO NV 5.02,5.07,7.01,9.01 01/17/12 Coronus Solar Inc. A1 1.01,7.01,9.01 01/17/12 CREDO PETROLEUM CORP DE 5.02 01/18/12 CROWN DYNAMICS CORP DE 1.01,3.02,5.01,5.02, 01/03/12 8.01 CRYOLIFE INC FL 8.01,9.01 01/18/12 CubeSmart MD 2.02,7.01,9.01 01/18/12 CUBIST PHARMACEUTICALS INC DE 5.02 01/17/12 Cullman Bancorp, Inc. X1 8.01 01/17/12 CURAXIS PHARMACEUTICAL Corp NV 8.01,9.01 01/18/12 DARA BioSciences, Inc. DE 1.01,9.01 01/17/12 DDR CORP OH 8.01,9.01 01/11/12 diaDexus, Inc. DE 5.02,7.01,9.01 01/08/12 DIGITAL ALLY INC 5.02 01/11/12 Discover Card Execution Note Trust DE 8.01 01/18/12 Discover Card Execution Note Trust DE 8.01 01/18/12 DISCOVER CARD MASTER TRUST I DE 8.01 01/18/12 DITECH NETWORKS INC DE 5.02 01/16/12 DOCUMENT SECURITY SYSTEMS INC NY 5.03,9.01 01/16/12 DRIL-QUIP INC DE 5.02,9.01 10/20/11 AMEND Duke Energy CORP DE 8.01 01/13/12 DUPONT FABROS TECHNOLOGY, INC. MD 1.01,9.01 01/13/12 EBAY INC DE 2.02,9.01 01/18/12 ECO VENTURES GROUP, INC. NV 2.01,9.01 07/26/11 AMEND ECOLOGY COATINGS, INC. NV 5.02 01/18/12 ECOTALITY, INC. NV 5.02 01/16/12 ENTERPRISE BANCORP INC /MA/ MA 8.01,9.01 01/17/12 ENTERPRISE BANCORP INC /MA/ MA 5.07 01/18/12 F5 NETWORKS INC WA 2.02,9.01 01/18/12 FARMER BROTHERS CO CA 7.01,9.01 01/12/12 FASTENAL CO MN 2.02,9.01 01/18/12 FBC Holding, Inc. 4.01,9.01 08/03/11 FBL FINANCIAL GROUP INC IA 5.02 01/17/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 01/13/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/13/12 Federal Home Loan Bank of Topeka 2.03,9.01 01/11/12 FiberTower CORP DE 5.02 01/13/12 Fifth Season International, Inc. DE 2.01,3.02,5.01,5.02, 01/18/12 AMEND 5.03,5.06,9.01 Fifth Street Finance Corp DE 8.01,9.01 01/18/12 FINISH LINE INC /IN/ IN 8.01,9.01 01/18/12 First Advantage Bancorp 8.01,9.01 01/18/12 First Bancorp, Inc /ME/ ME 2.02 12/31/11 FIRST CENTURY BANKSHARES INC WV 8.01,9.01 01/17/12 FIRST NIAGARA FINANCIAL GROUP INC DE 1.01 01/11/12 FIRST PLACE FINANCIAL CORP /DE/ DE 8.01 01/18/12 FIRST QUANTUM VENTURES INC NV 1.01,2.01,3.02,4.01, 11/10/11 AMEND 5.01,5.02,9.01 FIRST SOUTH BANCORP INC /VA/ VA 5.02,9.01 01/17/12 FLATBUSH FEDERAL BANCORP INC 8.01 01/18/12 Forbes Energy Services Ltd. D0 1.01,2.01,9.01 01/12/12 FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 8.01,9.01 01/18/12 FREEPORT MCMORAN COPPER & GOLD INC DE 8.01 01/10/12 FTI CONSULTING INC MD 7.01,9.01 01/18/12 Fuelstream INC DE 2.01,3.02 01/18/12 FUNCTION (X) INC. DE 8.01,9.01 01/18/12 GENETHERA INC FL 5.02 01/18/12 GLOBAL PARTNERS LP 7.01,9.01 01/18/12 GLOBALSCAPE INC DE 7.01,9.01 01/18/12 GlyEco, Inc. NV 1.01,2.01,3.02,4.01, 11/11/11 AMEND 5.01,5.02,5.03,5.06, 9.01 GOLDMAN SACHS GROUP INC DE 2.02,8.01,9.01 01/18/12 GRAMERCY CAPITAL CORP MD 5.07 01/17/12 GRANITE CITY FOOD & BREWERY LTD MN 9.01 11/04/11 AMEND GRANITE CITY FOOD & BREWERY LTD MN 9.01 12/21/11 AMEND GRANITE CITY FOOD & BREWERY LTD MN 9.01 12/30/11 AMEND GREAT ATLANTIC & PACIFIC TEA CO INC MD 7.01,9.01 01/18/12 Greektown Superholdings, Inc. DE 2.02,8.01,9.01 01/18/12 GREEN EARTH TECHNOLOGIES, INC DE 8.01,9.01 01/18/12 Griffin-American Healthcare REIT II, MD 9.01 01/10/12 AMEND GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 01/18/12 GTJ REIT, Inc. MD 2.01 01/18/12 GTSI CORP DE 5.02 01/11/12 GulfStar Energy Corp CO 4.01,9.01 11/15/11 HAIN CELESTIAL GROUP INC DE 5.02,9.01 01/12/12 HAVAYA CORP DE 5.02 01/16/12 HCP, INC. MD 9.01 01/18/12 AMEND HORIZON BANCORP /IN/ IN 2.02,9.01 01/18/12 HOSPITALITY PROPERTIES TRUST MD 5.03,8.01,9.01 01/13/12 IDACORP INC ID 8.01 01/12/12 InfuSystem Holdings, Inc DE 8.01,9.01 01/18/12 INLAND REAL ESTATE CORP MD 8.01,9.01 01/18/12 International Stem Cell CORP 3.02 01/16/12 INTEST CORP DE 2.01,8.01,9.01 01/16/12 INVIVO THERAPEUTICS HOLDINGS CORP. NV 5.02 01/11/12 ISRAMCO INC DE 5.03,8.01,9.01 01/11/12 ITC Holdings Corp. MI 8.01 01/13/12 ITRONICS INC TX 2.02,9.01 01/11/12 IVANHOE ENERGY INC 1.01,9.01 01/11/12 KIMCO REALTY CORP MD 5.02 01/11/12 KINDER MORGAN ENERGY PARTNERS L P DE 2.02,9.01 01/18/12 KINDER MORGAN, INC. DE 2.02,9.01 01/18/12 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 01/18/12 LAKELAND BANCORP INC NJ 5.02,9.01 01/16/12 LAZARE KAPLAN INTERNATIONAL INC DE 2.02,8.01 01/18/12 LEARNING TREE INTERNATIONAL INC DE 5.02,9.01 01/17/12 LEE ENTERPRISES, INC DE 2.02,8.01,9.01 01/17/12 Liberator, Inc. FL 7.01,9.01 01/17/12 Liberator, Inc. FL 7.01,9.01 01/17/12 LINCOLN NATIONAL CORP IN 5.02 01/13/12 LINEAR TECHNOLOGY CORP /CA/ DE 2.02,9.01 01/18/12 Location Based Technologies, Inc. NV 5.02 01/12/12 Lone Star Gold, Inc. NV 1.01 01/13/12 LSI CORP DE 9.01 01/18/12 MACE SECURITY INTERNATIONAL INC DE 5.02,8.01,9.01 01/12/12 MALVERN FEDERAL BANCORP INC X1 8.01,9.01 01/17/12 Marathon Petroleum Corp DE 5.03,9.01 01/18/12 MARSH & MCLENNAN COMPANIES, INC. DE 5.02,9.01 01/18/12 MEADWESTVACO Corp DE 2.02,9.01 01/18/12 MEMC ELECTRONIC MATERIALS INC DE 2.02,9.01 01/18/12 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 01/17/12 Merriman Holdings, Inc DE 5.02,9.01 01/11/12 MIDAMERICAN FUNDING LLC IA 8.01 01/18/12 MidWestOne Financial Group, Inc. IA 8.01 01/17/12 MILLER HERMAN INC MI 5.02,9.01 01/18/12 MULTIMEDIA GAMES HOLDING COMPANY, INC TX 8.01,9.01 01/18/12 MWI Veterinary Supply, Inc. DE 7.01,9.01 01/18/12 NANOMETRICS INC DE 8.01 01/13/12 NEOMEDIA TECHNOLOGIES INC DE 1.01,3.02,9.01 01/11/12 Net Element, Inc. DE 5.02 11/16/11 NET TALK.COM, INC. FL 3.02 01/16/12 NEUROCRINE BIOSCIENCES INC CA 2.02,8.01,9.01 01/18/12 NEWS CORP 8.01,9.01 01/18/12 NORTHERN TRUST CORP DE 2.02,9.01 01/18/12 NorthStar Real Estate Income Trust, I MD 8.01 01/06/12 Nova Lifestyle, Inc. NV 1.01,3.02,9.01 01/13/12 NVE CORP /NEW/ MN 2.02 01/18/12 Omagine, Inc. DE 7.01,9.01 01/18/12 Opexa Therapeutics, Inc. TX 7.01,9.01 01/18/12 Options Media Group Holdings, Inc. NV 3.02 01/11/12 OSHKOSH CORP WI 5.02 01/18/12 OSI SYSTEMS INC DE 8.01,9.01 01/18/12 PACWEST BANCORP DE 2.02,9.01 01/18/12 PAN AMERICAN GOLDFIELDS LTD DE 5.02 01/18/12 Pegasus Tel, Inc DE 1.02,5.01,5.02 01/12/12 PHAR MOR INC PA 7.01 01/17/12 PINNACLE FINANCIAL PARTNERS INC TN 2.02,9.01 01/17/12 PIONEER NATURAL RESOURCES CO DE 2.02,7.01 01/18/12 Pioneer Southwest Energy Partners L.P DE 7.01 01/18/12 PLEXUS CORP WI 2.02,7.01,9.01 01/18/12 PNC FINANCIAL SERVICES GROUP, INC. PA 2.02,9.01 01/18/12 PNC FINANCIAL SERVICES GROUP, INC. PA 2.02,9.01 01/18/12 Poage Bankshares, Inc. MD 8.01,9.01 01/18/12 PORTFOLIO RECOVERY ASSOCIATES INC DE 8.01,9.01 01/16/12 PPL Corp 8.01,9.01 01/12/12 Prestige Brands Holdings, Inc. 2.02,7.01,9.01 01/18/12 PRINCIPAL FINANCIAL GROUP INC DE 7.01 01/18/12 PROASSURANCE CORP DE 7.01,9.01 01/18/12 PROGRESS ENERGY INC NC 8.01 01/13/12 PROVIDENT NEW YORK BANCORP DE 1.01,7.01,9.01 01/17/12 RadNet, Inc. DE 2.01,9.01 11/07/11 AMEND RALCORP HOLDINGS INC /MO MO 1.01,2.03,5.02,7.01, 01/13/12 8.01,9.01 RAM ENERGY RESOURCES INC DE 5.07,8.01 01/17/12 RANGE RESOURCES CORP DE 2.02,9.01 01/17/12 REALTY INCOME CORP MD 7.01,9.01 01/18/12 RICKS CABARET INTERNATIONAL INC TX 1.01,1.02,8.01,9.01 01/11/12 Rosetta Resources Inc. DE 7.01,9.01 01/17/12 Saga Energy, Inc. FL 1.02 12/27/11 SALAMON GROUP INC 5.02,8.01,9.01 01/18/12 SANMINA-SCI CORP DE 2.02,9.01 01/18/12 SCHWAB CHARLES CORP DE 2.02,9.01 01/18/12 SEACOR HOLDINGS INC /NEW/ DE 7.01 01/18/12 SEALED AIR CORP/DE DE 5.02,9.01 01/18/12 SEALY CORP DE 2.02,9.01 01/18/12 SEFE, INC. NV 5.02 01/17/12 Seven Arts Entertainment Inc. NV 9.01 01/17/12 SLM CORP DE 2.02,9.01 01/18/12 SONO TEK CORP NY 7.01,9.01 01/13/12 SPARE BACKUP, INC. DE 5.02 01/18/12 SPIRE Corp MA 3.01 01/18/12 SPX CORP DE 2.02,9.01 01/18/12 SRKP 16 INC DE 1.01,2.01,2.02,5.01, 01/11/12 5.02,5.06,9.01 STANDARD MICROSYSTEMS CORP DE 2.05 01/17/12 STATE STREET CORP MA 2.02,2.05,5.02,9.01 01/13/12 STIFEL FINANCIAL CORP DE 8.01,9.01 01/18/12 STILLWATER MINING CO /DE/ DE 1.01,9.01 01/13/12 SunCoke Energy, Inc. 5.01,9.01 01/17/12 SUPERCLICK INC WA 2.01,3.01,3.03,5.01, 01/18/12 5.02,5.03,5.07,7.01, 9.01 SUPERTEL HOSPITALITY INC VA 1.01,8.01,9.01 01/16/12 Sustainable Environmental Technologie CA 3.02 01/12/12 AMEND TELEPHONE & DATA SYSTEMS INC /DE/ DE 5.07,9.01 01/13/12 TELEPHONE & DATA SYSTEMS INC /DE/ DE 5.02,9.01 01/13/12 TELVUE CORP DE 1.01,3.02,9.01 01/11/12 TENNECO INC DE 5.02,9.01 01/18/12 TESSCO TECHNOLOGIES INC DE 2.02,9.01 01/17/12 TIBET PHARMACEUTICALS, INC. D8 5.02 01/12/12 TMX Finance LLC DE 5.02 01/11/12 TNP Strategic Retail Trust, Inc. MD 8.01,9.01 01/17/12 TRAILER BRIDGE INC 5.02,7.01,9.01 01/12/12 TRANSATLANTIC HOLDINGS INC DE 7.01,9.01 01/18/12 Travelport LTD D0 5.02 01/11/12 U. S. Premium Beef, LLC 7.01,9.01 01/17/12 U. S. Premium Beef, LLC 3.03,9.01 01/17/12 UGI CORP /PA/ PA 1.01,8.01,9.01 01/11/12 UNI CORE HOLDINGS CORP UT 8.01 01/18/12 UNIVERSAL AMERICAN CORP. DE 1.01,9.01 01/11/12 US BANCORP \DE\ DE 2.02,9.01 01/18/12 US BANCORP \DE\ DE 5.02,9.01 01/16/12 VALENCE TECHNOLOGY INC DE 3.02,9.01 01/13/12 Venoco, Inc. DE 5.02,9.01 01/16/12 Vishay Precision Group, Inc. DE 5.02 01/16/12 Vulcan Materials CO NJ 8.01 01/17/12 Willbros Group, Inc.\NEW\ 5.02,8.01 01/11/12 XENOPORT INC DE 8.01 01/17/12 XFONE INC. NV 2.02,9.01 01/17/12 XILINX INC DE 2.02,9.01 01/18/12 Z TRIM HOLDINGS, INC IL 8.01 01/15/12 Zoro Mining Corp. NV 1.01,3.02,9.01 12/13/11